TITLE 8. Industrial Relations
Division 1. Department of Industrial Relations
Chapter 1. Division of Workers' Compensation -- Qualified Medical Evaluator Regulations
Article 1. General
§1. Definitions.
Note     •     History

As used in the regulations in Chapter 1:
(a) “Accreditation” means the conferring of recognized status as a provider of physician education by the Administrative Director.
(b) “Administrative Director” means the administrative director of the Division of Workers' Compensation of the State of California Department of Industrial Relations, and includes his or her designee.
(c) “Agreed Panel QME” means the Qualified Medical Evaluator described in Labor Code section 4062.2(c), that the claims administrator, or if none the employer, and a represented employee agree upon and select from a QME panel list issued by the Medical Director without using the striking process. An Agreed Panel QME shall be entitled to be paid at the same rate as an Agreed Medical Evaluator under section 9795 of Title 8 of the California Code of Regulations for medical/legal evaluation procedures and medical testimony.
(d) “AMA Guides” means American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition].
(e) “AME” means Agreed Medical Evaluator, a physician selected by agreement between the claims administrator, or if none the employer, and a represented employee to resolve disputed medical issues referred by the parties in a workers' compensation proceeding.
(f) “Appeals Board” means the Workers' Compensation Appeals Board within the State of California Department of Industrial Relations.
(g) “Audit” means a formal evaluation of a continuing education program, disability evaluation report writing course, or an accredited education provider which is conducted at the request of the Medical Director.
(h) “Comprehensive Medical-Legal Evaluation” means a medical evaluation performed pursuant to Labor Code Sections 4060, 4061, 4062, 4062.1, 4062.2 or 4067 and meeting the requirements of section 9793(c) of Title 8 of the California Code of Regulations.
(i) “Claims Administrator” means the person or entity responsible for the payment of compensation for any of the following: a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a group self-insurer, an insured employer, the director of the Department of Industrial Relations as administrator for the Uninsured Employers Benefits Trust Fund (UEBTF) and for the Subsequent Injuries Benefit Trust Fund (SIBTF), a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, group self-insurer, or joint powers authority, and the California Insurance Guarantee Association (CIGA). The UEBTF shall only be subject to these regulations after proper service has been made on the uninsured employer and the Appeals Board has obtained jurisdiction over the UEBTF by joinder as a party.
(j) “Continuing Education Program” means a systematic learning experience (such as a course, seminar, or audiovisual or computer learning program) which serves to develop, maintain, or increase the knowledge, skills and professional performance of physicians who serve as Qualified Medical Evaluators in the California workers' compensation system.
(k) “Course” means the 12 hours of instruction in disability evaluation report writing which is required of a Qualified Medical Evaluator prior to appointment. A course must be approved by the Administrative Director.
(l) “Credit Hour” means a sixty minute hour. A credit hour may include time for questions and answers related to the presentation.
(m) “Direct medical treatment” means that special phase of the physician-patient relationship during which the physician: (1) attempts to clinically diagnose and to alter or modify the expression of a non-industrial illness, injury or pathological condition; or (2) attempts to cure or relieve the effects of an industrial injury.
(n) “Distance Learning” means an education program in which the instructor and student are in different locations, as in programs based on audio or video tapes, computer programs, or printed educational material.
(o) “DEU” is the Disability Evaluation Unit under the Administrative Director responsible for issuing summary disability ratings.
(p) “Education Provider” means the individual or organization which has been accredited by the Administrative Director to offer physician education programs. There are two categories of providers: (1) the Administrative Director; and (2) individuals, partnerships, or corporations, hospitals, clinics or other patient care facilities, educational institutions, medical or health-related organizations whose membership includes physicians as defined in Labor Code section 3209.3, organizations of non-medical participants in the California workers' compensation system, and governmental agencies. In the case of a national organization seeking accreditation, the California Chapter or organization affiliated with the national organization shall be accredited by the Administrative Director in lieu of the national organization.
(q) “Employer” means any employer within the meaning of Labor Code section 3300, including but not limited to, any of the following: (1) an uninsured employer and the Uninsured Employers Benefits Trust Fund (UEBTF) pursuant to Labor Code Section 3716, (2) an insured employer, (3) a self-insured employer and (4) a lawfully uninsured employer. The UEBTF shall only be subject to these regulations after proper service has been made on the uninsured employer and the Appeals Board has obtained jurisdiction over the UEBTF by joinder as a party.
(r) “Evaluator” means any of the following: “Qualified Medical Evaluator”, “Agreed Medical Evaluator”, “Agreed Panel QME” or “Panel QME”, as appropriate in a specific case.
(s) “Follow-up comprehensive medical-legal evaluation” means a medical evaluation performed pursuant to Labor Code sections 4060, 4061, 4062, 4062.1, 4062.2 or 4067 and meeting the requirements of Section 9793(f) of Title 8 of the California Code of Regulations.
(t) “Future medical care” means medical treatment as defined in Labor Code section 4600 that is reasonably required to cure or relieve an injured worker of the effects of the industrial injury after an injured worker has reached maximum medical improvement or permanent and stationary status including a description of the type of the medical treatment that might be necessary in the future. This opinion is not binding in any proceeding concerning an injured worker's need for medical treatment.
(u) “Medical Treatment Utilization Schedule” or “MTUS” means the treatment utilization scheduled adopted by the Administrative Director of the Division of Workers' Compensation as required by Labor Code section 5307.27 and sections 9792.20 et seq of Title 8 of the California Code of Regulations.
(v) “Medical Director” means the Medical Director appointed by the Administrative Director pursuant to Labor Code section 122 and includes any Associate Medical Directors when acting as his or her designee.
(w) “Mental health record” means a medical treatment or evaluation record created or reviewed by a licensed physician as defined in Labor Code section 3209.3 in the course of treating or evaluating a mental disorder.
(x) “Panel QME” means the physician, from a QME panel list provided by the Medical Director, who is selected under Labor Code section 4062.1(c) when the injured worker is not represented by an attorney, and when the injured worker is represented by an attorney, the physician whose name remains after completion of the striking process or who is otherwise selected as provided in Labor Code section 4062.2(c) when the parties are unable to agree on an Agreed Panel QME. 
(y) “Physician's office” means a bona fide office facility which is identified by a street address and any other more specific designation such as a suite or room number and which contains the usual and customary equipment for the evaluation and treatment appropriate to the physician's medical specialty or practice.
(z) “Qualified Medical Evaluator (QME)” means a physician licensed by the appropriate licensing body for the state of California and appointed by the Administrative Director pursuant to Labor Code section 139.2, provided, however, that acupuncturist QMEs shall not perform comprehensive medical-legal evaluations to determine disability.
(aa) “QME competency examination” means an examination administered by the Administrative Director for the purpose of demonstrating competence in evaluating medical-legal issues in the workers' compensation system. This examination shall be given at least as often as twice annually.
(bb) “QME competency examination for acupuncturists” means an examination administered by the Administrative Director for the purpose of demonstrating competence in evaluating medical-legal issues in the workers' compensation system which are not pertinent to the determination of disability, but should be understood by acupuncturist QMEs. This examination shall be given at least as often as twice annually.
(cc) “Request for factual correction” means a request by an unrepresented injured worker or a claims administrator to a panel QME to change an incorrect statement or assertion of fact contained in a comprehensive medical-legal evaluation to a statement or assertion of fact that is capable of capable of verification from written records submitted to a panel QME pursuant to section 35 of title 8 of the California Code of Regulations.
(dd) “Significant Financial Interest or Affiliation Held by Faculty”, as used in sections 11.5, 14, 55, 118 and 119 pertaining to faculty of approved disability report writing or continuing education courses under these regulations, means grant or research support; status as a consultant, member of a speakers' bureau, or major stock shareholder; or other financial or material interest for the program faculty member or his or her family.
(ee) “Specified Financial Interests” means having a shared financial interest that must be reported or disclosed pursuant to sections 11, 17, 29, 50 or on the “SFI Form 124” attached to QME Form 100, 103 or 104 as required by these regulations. 
(ff) “Supplemental medical-legal evaluation” means a medical evaluation performed pursuant to Labor Code sections 4060, 4061, 4062, 4062.1, 4062.2 or 4067 and meeting the requirements of section 9793(l) of Title 8 of the California Code of Regulations.
(gg) “Treating physician” means a physician who has provided direct medical treatment to an employee which is reasonably required to cure or relieve the effects of an industrial injury pursuant to section 4600 of the Labor Code.
(hh) “Unrepresented employee” means an employee not represented by an attorney.
NOTE

Authority cited: Sections 53, 133, 139.2, 4060, 4061, 4062, 4062.1, 4062.2 and 5307.3, Labor Code. Reference: Sections 139.2, 139.3, 139.31, 139.4, 139.43, 3716, 4060, 4061, 4061.5, 4062, 4062.1, 4062.2, 4062.3, 4062.5, 4067, 4600, 4604.5 and 4660-4664, Labor Code.
HISTORY

1. Repealer and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31). For prior history, see Register 93, No. 38.
2. Change without regulatory effect amending subsections (c), (g), (h), (k) and (p) filed 9-19-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 38).
3. Amendment of subsections (d) and (f), repealer and new subsection (m), amendment of subsections (n) and (o), new subsections (p) and (q) and subsection relettering, and amendment of newly designated subsection (r) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
4. New subsection (s) and subsection relettering filed 6-3-97; operative 7-3-97 (Register 97, No. 23).
5. Amendment of subsections (f) and (r) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
6. New subsections (a) and (e), repealer of former subsection (f), new subsections (h), (j), (k), (m), (r) and (x) and subsection relettering filed 10-16-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
7. New subsections (a) and (e), repealer of former subsection (f), new subsections (h), (j), (k), (r) and (x) and subsection relettering refiled 5-2-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 5-2-2001 order, including further amendment of section, transmitted to OAL 7-12-2001 and filed 8-23-2001 (Register 2001, No. 34). 
9. Amendment of chapter heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
10. Repealer of subsection (b), new subsections (t) and (cc) and subsection relettering filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 2. QME Eligibility
§10. Appointment of QMEs.
Note     •     History

(a) Applications for appointment as a QME shall be submitted on the form in section 100 (QME Form 100). The completed application form, and any supporting documentation as required by the application, shall be filed at the Administrative Director's office listed on the form in section 100. Upon his or her approval of each application form and supporting documentation, the Administrative Director shall certify, as eligible to sit for the QME competency examination, those applicants who meet all of the statutory and regulatory eligibility requirements. Any application for appointment may be rejected if it is incomplete, contains false information or does not contain the required supporting documentation listed in section 11. 
(b) The Administrative Director may deny appointment or reappointment to any physician who has performed a QME evaluation or examination without valid QME certification at the time of examining the injured worker or the time of signing the initial or follow-up evaluation report. An applicant serving a period of probation imposed by the applicant's professional licensing board or agency may be allowed to take the QME examination while on probationary license status. Applications for appointment or reappointment from physicians who are on probationary license status with a California licensing board or agency while the QME application is pending shall be reviewed by the Medical Director on a case-by-case basis consistent with the provisions of Labor Code section 139.2(m).
(c) No physician who has been convicted of a felony or misdemeanor related to his or her practice shall be appointed or reappointed as a QME. An applicant who has been convicted of any other type of felony or misdemeanor may be denied appointment or reappointment.
(d) Any physician who, while under investigation or after the service of a statement of issues or accusation for alleged violations of these regulations or the Labor Code, withdraws his or her application for appointment or reappointment, resigns or fails to seek reappointment as a QME, shall be subject to having the disciplinary process reactivated whenever an application for appointment or re-appointment is subsequently filed. In the event any of the alleged violations are found to have occurred, the physician's application for appointment or reappointment may be denied by the Administrative Director.

NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code; and Section 730, Business and Professions Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1 and 4062.2, Labor Code; and Section 730, Business and Professions Code.
HISTORY

1. Relocation of article 2 heading and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§10.1. The Application for Appointment as Qualified Medical Evaluator Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect updating QME Application Form filed 6-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 26).
3. Change without regulatory effect amending specialty codes filed 10-11-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 41).
4. Change without regulatory effect amending QME Application form and adding MAP specialty code filed 12-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
5. Change without regulatory effect amending MD/DO specialty codes filed 6-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
6. Change without regulatory effect amending MD/DO speciality codes and updating form revision date filed 4-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 16).
7. Change without regulatory effect amending QME appointment application form filed 8-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 34).
8. Change without regulatory effect amending MD/DO specialty codes and updating form revision date filed 7-12-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 29).
9. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§10.1A. Reappointment Application as Qualified Medical Evaluator Form. [Repealed]
History

HISTORY

1. Change without regulatory effect adding new section filed 6-20-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 25).
2. Change without regulatory effect repealing section and adding new section filed 4-16-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 16).
3. Change without regulatory effect amending block 2, item 3 and verification statement in block 5 filed 8-12-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 33).
4. Change without regulatory effect amending block 5 filed 10-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
5. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§10.2. The QME Fee Assessment Notice Form.
Note     •     History

View Graphic

View Graphic
NOTE

Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Repealer and new section filed 6-7-99 as an emergency; operative 6-7-99 (Register 99, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-5-99 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 3).
4. New section filed 1-19-2000; operative 1-19-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 3).
§10.5. [Reserved]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2. Reference: 8 U.S.C. Sections 1621, 1641 and 1642; Sections 139.2, 5307.3 and 5307.4, Labor Code; and Section 11507 et seq., Government Code.
HISTORY

1. New section filed 11-5-98; operative 12-5-98 (Register 98, No. 45).
2. Change without regulatory effect repealing and adding new Form 10.5, Rev. 5/99 (incorporated by reference) filed 7-12-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 29).
3. Amendment of subsections (e)(1), (e)(3) and (i) and repealer of subsections (i)(1)-(6) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§11. Eligibility Requirements for Initial Appointment as a QME.
Note     •     History

The Administrative Director shall appoint as QMEs all applicants who meet the requirements set forth in Labor Code Section 139.2(b) and all applicants:
(a) Shall submit the required supporting documentation:
(1) Copy of current license to practice in California;
(2) For Medical Doctors, or Doctors of Osteopathy:
(A) A copy of the applicant's certificate of completion of postgraduate specialty training at an institution recognized by the Accreditation Council for Graduate Medical Education or the osteopathic equivalent as defined pursuant to Section 12, or;
(B) A copy of the applicant's Board certification by a specialty board recognized by the Administrative Director or as defined pursuant to Section 12, or;
(C) A declaration under penalty of perjury accompanied by supporting documentation that the physician has qualifications that the Administrative Director and the Medical Board of California or the Osteopathic Medical Board of California both deem to be equivalent to board certification in a specialty.
(3) If a psychologist, (i) a copy of a doctoral degree in psychology or a doctoral degree deemed equivalent for licensure by the Board of Psychology pursuant to Section 2914 of the Business and Professions Code, and has not had less than five years postdoctoral experience in the treatment of emotional and mental disorders or (ii) served as an AME on eight or more occasions prior to January 1, 1990 and has not less than five years postdoctoral experience in the diagnosis and treatment of emotional and mental disorders.
(4) For Doctors of Chiropractic, the physician shall provide a copy of a current or otherwise valid certificate in California Workers Compensation Evaluation by either a California professional chiropractic association or an accredited California college recognized by the Administrative Director (i.e. Workers' Compensation Evaluation Certificate with a minimum 44 hours completed).
(5) Or, for other physicians, a copy of the physician's professional diploma.
(b)(1) Shall, prior to appointment as a QME, complete a course of at least twelve (12) hours in disability evaluation report writing pursuant to section 11.5 of this Article. Doctors of Chiropractic who submit documentation showing compliance with section 11(a)(4)(1) are exempt from this requirement; and
(2) Shall accurately and fully report on the SFI Form 124 attached to the application (QME Form 100) to the best of the applicant's knowledge the information required by section 29 of Title 8 of the California Code of Regulations, regarding applicant's specified financial interests.
(c) Shall provide supplemental information and/or documentation to the Administrative Director after an application, QME Form 100 (see, 8 Cal. Code Regs. §100), is submitted if requested to verify an applicant's eligibility for appointment.
(d) Shall agree that during a QME evaluation exam he or she will not treat or offer or solicit to provide medical treatment for that injury for which he or she has done a QME evaluation for an injured worker unless a medical emergency arises as defined under subdivision (a) or (b) of section 1317.1 of the Health and Safety Code. A QME may also provide treatment if requested by the employee pursuant to section 4600 of the Labor Code, but he or she shall not offer or solicit to provide it. A QME who solicits an injured worker to receive direct medical treatment or to become the primary treating physician of that employee shall be subject to disciplinary action pursuant to section 60.
(e) Shall declare under penalty of perjury on the QME application that he or she:
(1) Has an unrestricted California license and is not currently on probation from the state licensing board, or, if the applicant has a California restricted license or is currently on probation, state all the restrictions on the license and all terms of probation; and
(2) Devotes at least one-third of his or her total practice time to providing direct medical treatment during each year of the applicant's term of appointment. This requirement shall not apply if the applicant qualifies for appointment because the applicant served as an AME on 8 or more occasions in the year prior to application and in each year of the applicant's term; or if the applicant meets the requirements of section 15; and
(3) Has not performed a QME evaluation without QME certification; 
(4) Has accurately and fully reported on QME Form 124 to the best of the applicant's knowledge the specified financial interest information required by section 29 of Title 8 of the California Code of Regulations.
(f) Shall pass the QME Competency Examination, or if an acupuncturist, shall pass the QME Competency Examination for acupuncturists.
(1) In order to take this examination, a physician who is not currently appointed as a QME and not exempt pursuant to Labor Code section 139(b)(1), shall be considered to have applied to take the QME competency examination upon submitting the properly-completed Application for Appointment Form in Section 100 (see, 8 Cal. Code Regs. section 100), and the Registration Form for the QME Competency Examination in section 102 (see, 8 Cal. Code Regs. §102) and the appropriate fee as specified in section 11(f)(2).
(2) The fee for applying to take or retake the QME competency examination is $ 125.00 and may be waived by the Administrative Director at his or her discretion for first time applicants.
(3) The Administrative Director shall give appropriate public notice of the date, time and location of the examination no fewer than sixty (60) calendar days before a competency examination is to be given.
(4) An applicant must submit the properly completed forms as required in section 11(f)(1) to the Administrative Director at least thirty (30) calendar days prior to the date of the next scheduled competency examination unless the Administrative Director finds good cause to grant an extension to the physician(s).
(5) The Administrative Director shall inform the applicant in writing whether he or she shall be allowed to take the examination within fifteen (15) calendar days from the date the Administrative Director receives the properly-completed forms and appropriate fee.
(6) The Administrative Director shall inform the applicant in writing whether or not he or she passed the examination within sixty (60) calendar days from the date the applicant takes the competency examination.
(7) An applicant who passes the QME competency examination shall file the QME Fee Assessment Form in Section 103 (see, 8 Cal. Code Regs. section 103) including the appropriate fee within thirty (30) days of the date of the notice. The physician shall not be appointed to the official QME list until the appropriate fee is paid and has completed a disability evaluation report writing course pursuant to section 11.5. Appointments shall be for two-year terms beginning with the date of appointment by the Administrative Director.
(8) Any applicant, who upon good cause shown by the test administrator, is suspected of cheating may be disqualified from the examination and, upon a finding that the applicant did cheat in that exam, the applicant will be denied further admittance to any QME examination for a period of at least five years thereafter. Any applicant who fails to follow test instructions and/or proctor instructions either before or during or at the conclusion of an examination shall be disqualified from the examination procedure and the applicant's exam shall be nullified.
(9) If an applicant fails the competency examination or fails to appear for a noticed QME examination for which the applicant has submitted a QME Exam Registration Form 102 (see, 8 Cal. Code Regs. §102), the applicant may apply to take any subsequent examinations, upon submission of a new test application form and a fee of $125. An applicant who fails the exam three times shall show proof of having completed six (6) hours continuing education from a course approved by the Administrative Director prior to taking the examination again.
(10) Any applicant who receives a failing grade on a competency exam may appeal the failing grade to the Administrative Director. Appeals shall be considered on a case by case basis. Appeals will be accepted immediately after a candidate has completed the examination and until ten (10) days after the date of the examination results letter. The appeal shall state specific facts as to why the failing grade should be overturned. Pursuant to Section 6254(g) of the Government Code, the Administrative Director will consider appeals of test questions and will base his or her decision solely on the written appeal including any supporting documentation submitted by the physician. Appeals will only be accepted for the current examination period. Grounds for appeal are:
(A) Significant procedural error in the examination process;
(B) Unfair Discrimination;
(C) Bias or fraud.
(g) Each applicant shall pay the annual fee required by section 17 of this Article prior to appointment.

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2, 4060, 4062 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code; and Section 6254, Government Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. New subsections (a)-(c) and subsection relettering, amendment of newly designated subsections (d)-(f)(6), new subsections (f)(7) and (f)(8) and subsection renumbering, amendment of newly designated subsections (f)(9) and (f)(10), and new subsection (g) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Change without regulatory effect amending section (f)(5) filed 6-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
4. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
5. Amendment of section heading and section filed 8-23-2001; operative 8-23-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
6. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
7. Amendment of subsection (a)(4) and Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§11.1. Application for QME Competency Examination Form. [Repealed]
Note     •     History

NOTE

Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending form filed 3-11-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 11).
3. Change without regulatory effect amending form filed 7-23-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 30).
4. Amendment of form filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
5. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§11.5. Disability Evaluation Report Writing Course.
Note     •     History

Prior to appointment as a QME, a physician shall complete a course of at least twelve hours of instruction in disability evaluation report writing. The course curriculum shall be specified by the Administrative Director. Only report writing courses which are offered by education providers as defined in subdivision 1(q) of Title 8 of the California Code of Regulations shall qualify to satisfy this requirement.
(a) An education provider applicant shall submit:
(1) a completed QME Form 118 (Application for Accreditation) (see, 8 Cal. Code Regs. §118) which contains:
(A) the applicant's name; address; director of education with contact information; type of organization; length of time in business; nature of business; and past experience providing continuing education courses (including a list of other accrediting agencies that have approved such courses);
(B) a description of the proposed education program or course which includes the title; type (continuing education program or disability evaluation report writing course); location(s); date(s); length of training in clock hours; educational objectives; a complete description of the program or course content; faculty; and the names of other accrediting agencies that have approved the program.
(2) A curriculum vitae for each proposed instructor. A proposed instructor shall have education and/or training and recent work experience relevant to the subject of his/her presentation.
(3) The application for accreditation as an education provider, along with all required supporting documents, shall be submitted to the Administrative Director, at least 60 calendar days before any public advertisement of the applicant's course.
(b) The Administrative Director shall accredit an applicant that: meets the definition of an education provider; submits a completed, signed and dated application which demonstrates past experience in providing continuing education programs; and proposes a program which meets the requirements of section 55(c) or a course which meets the requirements of section 11.5(a) and (i). The applicant must demonstrate that adequate time is allocated to the curriculum set forth in section 11.5(i) for the course to be approved by the Administrative Director. Proposed content for continuing education program credit must relate directly to disability evaluation or California workers' compensation-related medical dispute evaluation. No credit shall be recognized by the Administrative Director for material primarily discussing the business aspects of workers' compensation medical practice, including but not limited to billing, coding and marketing.
(c) The Administrative Director shall notify the applicant within 20 calendar days after receipt of the application containing all the information listed in section 11.5(a) whether that education provider has been accredited for a two year period and the proposed course has been approved. Incomplete applications will be returned to the applicant.
(d) Each education provider that has been accredited by the Administrative Director will be given a number which must be displayed on course promotional material.
(e) On or before the date the course is first presented, the education provider shall submit the program syllabus (all program handouts) to the Administrative Director.
(f) An approved course may be offered for two (2) years. An accredited education provider shall notify the Administrative Director in writing of any change to the faculty in an approved course. The provider shall send the Administrative Director the program outline, promotional material and faculty for each offering of the program at least 45 days prior to the date of the presentation of the program. The Administrative Director may require submission of the program syllabi. The Administrative Director may require changes in the program based on its review of the program outline, program syllabi, promotional material or faculty if the Administrative Director finds that any aspect of the program is not in compliance with these regulations.
(g) To apply for re-accreditation, the education provider applicant must submit a completed QME Form 118 (Application for Accreditation) (see, 8 Cal. Code Regs. §118), using the application process in 11.5(a). The applicant may complete section 2 of the form using a new program or course or one which was given by the applicant during the recent accreditation period. The Administrative Director shall give the provider 90 days' notice of the need to seek re-accreditation.
(h) Promotional materials for a course must state the education provider's educational objectives; the professional qualifications of course faculty (at the least, all relevant professional degrees); the content of course activities; and the intended audience.
(i) The minimum of 12 hours of instruction in disability evaluation report writing shall include:
(1) The Qualified Medical Evaluator's Role in the Disability Evaluation Process (minimum recommended 1 hour)
How disability evaluation reports are used
The reasons why reports must be clear, complete and timely
The QME's role as an expert witness
Impact of the QME's report on the injured worker
QME ethics and the Confidentiality of Medical Information Act
(2) Elements of the Medical-Legal Report (minimum recommended 1 hour)
The Labor Code and regulatory requirements for medical-legal reports
(3) The Language of Reports (minimum recommended 4 hours)
Evaluation of disability in California (impairment and disability)
The occupational history
The physician examination and the role of testing
The Medical Treatment Utilization Schedule (MTUS) adopted by the Administrative Director pursuant to Labor Code section 5307.27, found in section 9792.20 et seq of Title 8 of the California Code of Regulations
Providing opinions that resolve disputed medical treatment issues consistent with the evaluation criteria specified in section 35.5 (d) of Title 8 of the California Code of Regulations
Packard Thurber's Evaluation of Industrial Disability, section 43 through 47 and section 9725 through 9727 of Title 8 of the California Code of Regulations (for cases with dates of injury not subject to the AMA guide-based impairment rating system, described below)
Factors of disability, including subjective and objective factors, loss of pre-injury capacity and work restrictions, for cases involving dates of injury not subject to the AMA guide-based impairment rating system
Activities of Daily Living, for cases subject to the AMA Guides
Work restrictions
Work Capabilities
American Medical Association, Guides to the Evaluation of Permanent Impairment, [Fifth Edition] (AMA Guides) and its use in determining permanent disability in accordance with the Schedule for Rating Permanent Disabilities [effective January 1, 2005] (for all claims with dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, in which either there is no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the employer is not required to provide the notice to the injured worker required by Labor Code section 4061)
Causation
Determination of permanent and stationary status
Apportionment including the requirements of Labor Code sections 4660, 4663 and 4664 added by SB 899 (Stats. 2004, ch. 34)
Future medical care
Review of records
Providing sufficient support for conclusions
(4) The Administrative Director's Disability Evaluation Protocols (minimum recommended 1 hour)
An overview of the Neuromusculoskeletal, Pulmonary, Cardiac, Immunologic, or Psychiatric protocols, and an in-depth discussion of measurement of impairment, calculations and rationale for rating under the AMA Guides, as relevant.
(5) The Third Party Perspective (minimum recommended 1 hour)
The report from the perspective of those who read it:
Judge(s), attorney(ies), insurer(s), rater(s), employer(s), qualified rehabilitation representative(s).
(6) Anatomy of a Good Report (small group or other interactive sessions -- minimum recommended 3 hours)
Discussion of examples of good reports and identification of weaknesses in reports
Opportunities for the practitioner to critique and/or correct reports.
If feasible, physician should have the opportunity to write a sample report.
Review of results of Administrative Director's annual report review and identification of common problems with reports.
(7) Mechanics of Report Writing (minimum recommended 1 hour)
The QME Process
Face to face time
Timelines for submission of report
Completion of required forms
Service of reports
Final questions and answers
(8) Submission and Critique of Written Medical/legal Report. As a condition of completion of the course taken to satisfy the requirements of this section, each physician enrollee shall draft at least one practice written medical/legal report, based on a sample case library of materials, which written report shall be critiqued with notations by the course education provider.
(j) All audio or video tapes, computer programs and printed educational material used in the course must be submitted to the Administrative Director on or before the date the course is first given. Up to the full twelve hours of instruction may be completed by distance learning whenever the Administrative Director has approved the submitted course prior to the first day the course is given. All distance learning materials shall bear a date of release and shall be updated yearly. The education provider shall notify the Administrative Director in writing of the revision.
(k) No one shall recruit members or promote commercial products or services in the instruction room immediately before, during, or immediately after the presentation of a course. Education providers or vendors may display/sell educational materials related to workers' compensation or applications for membership in an area adjoining a course. A course provider or faculty member shall disclose on QME Form 119 (Faculty Disclosure of Commercial Interest) (see, 8 Cal. Code Regs. §119) any significant financial interest held by faculty in or affiliation with any commercial product or service which is discussed in a course and that interest or affiliation must be disclosed to all attendees. An education provider shall file every Form 119 in its possession with the Administrator Director.
(l) The provider shall maintain attendance records for each disability evaluation report writing course for a period of no less than three years after the course is given. A physician attending the course must be identified by signature. The provider must submit a copy of the signature list to the Administrative Director within 60 days of completion of the course.
(m) The provider is required to give the QME Evaluation Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (see, 8 Cal. Code Regs. §117) to course attendees and request they submit the form to the Administrative Director. This information shall not be used in lieu of a certification of completion given by the provider, as specified pursuant to section (n). Destruction by a provider or its employee of a QME's Evaluation Form or failure by such provider or its employee to distribute Form 117 as part of its course shall constitute grounds for revocation of a provider's accredited status. The Administrative Director shall tabulate the responses and return a summary to the provider within 90 days of completion of the course.
(n) The provider shall issue a certificate of completion to the physician that states the name of the provider, the provider's number, the date(s) and location and title of the course. To be eligible for appointment as a QME, a physician must complete no less than 12 hours of the curriculum specified in Section 11.5(i) and must submit a copy of that certificate to the Administrative Director.
(o) Joint sponsorship of courses (as between an accredited and an unaccredited provider) must be approved by the Administrative Director prior to presentation of the course.
(p) The Administrative Director may audit a provider's course(s) at the request of the medical director to determine if the provider meets the criteria for accreditation. The Administrative Director may audit courses given by providers randomly, when a complaint is received, or on the basis of responses on QME Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (see, 8 Cal. Code Regs. §117). An auditor shall not receive QME credit for auditing a course. The Administrative Director shall make written results of the audit available to the provider no more than 30 days after the audit is completed.
(q) Accredited providers that cease to offer disability evaluation report writing courses shall notify the Administrative Director in writing no later than 60 days prior to the discontinuing an approved course.
(r) The Administrative Director may withdraw accreditation of a provider or deny such a provider's application for accreditation on the following grounds (in addition to failure to meet the relevant requirements of subsections 11.5(a):
(1) Conviction of a felony or any offense substantially related to the activities of the provider.
(2) Any material misrepresentation of fact made by the provider.
(3) Failure to comply with Administrative Director regulations.
(4) False or misleading advertising.
(5) Failure to comply with Administrative Director's recommendations following an audit.
(6) Failure to distribute QME Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (see, 8 Cal. Code Regs. §117) cards to course attendees.

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2, 4060, 4061, 4062, 4062.1, 4062.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4061.5, 4062, 4062.1, 4062.2, 4062.3 and 4067, Labor Code.
HISTORY

1. New section filed 10-16-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2001 order, including further amendment of section, transmitted to OAL 7-12-2001 and filed 8-23-2001 (Register 2001, No. 34). 
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
5. Amendment of subsection (i)(3) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§12. Recognition of Specialty Boards.
Note     •     History

The Administrative Director shall recognize only those specialty boards recognized by the respective California licensing boards for physicians as defined in Labor Code section 3209.3. 
NOTE

Authority cited: Sections 133, 139.2, 139.4, 139.43, 139.45 and 5307.3, Labor Code. Reference: Sections 139.2(b)(3)(A) and 3209.3, Labor Code; Section 651(i), Business and Professions Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§13. Physician's Specialty.
Note     •     History

A physician's specialty(ies) is one for which the physician is board certified or, one for which a medical doctor or doctor of osteopathy has completed a postgraduate specialty training as defined in Section 11(a)(2)(A) or held an appointment as a QME in that specialty on June 30, 2000, pursuant to Labor Code Section 139.2. To be listed as a QME in a particular specialty, the physician's licensing board must recognize the designated specialty board and the applicant for QME status must have provided to the Administrative Director documentation from the relevant board of certification or qualification. 
NOTE

Authority cited: Sections 133, 139.2, 139.4, 139.43, 139.45 and 5307.3, Labor Code. Reference: Section 139.2(b)(3)(A), Labor Code; and Section 651(i), Business and Professions Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment filed 8-23-2001; operative 8-23-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
5. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§13.5. Chiropractic Certification in Workers' Compensation Evaluation. [Repealed]
Note     •     History

Note: The “Physicians Guide” does not appear as a part of this regulation. Copies are available through the Executive Medical Director of the Industrial Medical Council; P.O. Box 8888 San Francisco, CA 94128-8888.
NOTE

Authority cited: Sections 139, 139.2 and 139.3, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending subsection (a) filed 12-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
3. Amendment filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Renumbering of former section 13.5 to section 14 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§13.7. Appointment of Retired or Teaching Physicians. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of opening paragraph and subsections (c)(2) and (c)(3) and new subsection (e) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Renumbering of former section 13.7 to section 15 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§14. Doctors of Chiropractic: Certification in Workers' Compensation Evaluation.
Note     •     History

(a) All doctors of chiropractic shall be certified in workers' compensation evaluation by either a California professional chiropractic association, or an accredited California college recognized by the Administrative Director. The certification program shall include instruction in disability evaluation report writing that meets the standards set forth in section 11.5.
(b) California professional chiropractic associations or accredited California colleges applying to be recognized by the Administrative Director for the purpose of providing these required courses to chiropractors in California workers' compensation evaluation, shall meet the following criteria:
(1) The provider's courses shall be administered and taught by a California professional chiropractic association or a California chiropractic college accredited by the Council on Chiropractic Education. Instructors shall be licensed or certified in their profession or if a member of a non-regulated profession have at least two years experience in their area of instruction regarding workers' compensation issues.
(2) The provider's method of instruction and testing shall include all of the following:
(A) Lecture, didactic sessions and group discussion including an initial 8 hours of overview of the workers' compensation system and 36 additional hours in medical-legal issues for total minimum class time of 44 hours. Up to 4 hours of the instruction covering the regulations affecting QMEs and/or writing ratable reports may be satisfied by distance learning. The initial 8 hours of overview are transferable to any other approved program provider for credit;
(B) Passing a written test at the completion of the program to determine proficiency and application of course material;
(C) Writing a narrative conclusion to medical-legal issues in response to facts presented or a narrative report, in appropriate format, which would meet the standards of a ratable report;
(3) The initial 8 hours of the course material shall cover the following information:
(A) Overview of California Labor Code, DWC (Division of Workers' Compensation of the California Department of Industrial Relations) and the regulations of the Division of Workers' Compensation and of the Workers' Compensation Appeals Board governing QMEs, medical-legal reports and evaluations;
(B) Obligations of the treating and evaluating physicians;
(C) Review of appropriate workers' compensation terminology;
(4) The remaining 36 hours shall include but not be limited to the following:
(A) History and examination procedure requirements, including all relevant treatment, treatment utilization and evaluation guidelines and regulations adopted by the Administrative Director;
(B) The subjects outlined in subdivision 11.5(i) not already addressed in the first 8 hours, including but not limited to, proper use of the AMA Guides, and the medical treatment utilization schedule (MTUS) adopted pursuant to Labor Code section 5307.27;
(C) Apportionment, including the changes in Labor Code sections 4660, 4663 and 4664 by SB 899 (Stats. 2004, ch. 34);
(D) Future medical care.
(5) The provider's course material and tests shall be submitted to the Administrative Director for annual review and the Administrative Director shall monitor a provider's course as necessary to determine if the provider meets the criteria for recognition.
(6) The provider's course advertising shall clearly state whether or not the course is recognized to satisfy the requirement for chiropractic California workers' compensation evaluation by the Administrative Director.
(c) Course Material shall also cover at a minimum, the material within the text of the “Physicians Guide to Medical Practice in the California Workers' Compensation System (Current Edition).” 
(d) No one shall recruit members or promote commercial products or services in the instruction room immediately before, during, or immediately after the presentation of a course. Education providers or vendors may display/sell educational materials related to workers' compensation or applications for membership in an area adjoining a course. A course provider or faculty member shall disclose on QME Form 119 (Faculty Disclosure of Commercial Interest) (see, 8 Cal. Code Regs. §119) any significant financial interest held by faculty in or affiliation with any commercial product or service which is discussed in a course and that interest or affiliation must be disclosed to all attendees. An education provider shall file every Form 119 in its possession with the Administrator Director.

NOTE: The “Physicians' Guide” does not appear as a part of this regulation. Copies are available through the Medical Director Division of Workers' Compensation, Attention: Medical Unit, P. O. Box 71010, Oakland, CA 94612.
NOTE

Authority cited: Sections 122, 133, 139.2, 139.3 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.3 and 4067, Labor Code.
HISTORY

1. New section filed 4-9-93 as an emergency; operative 4-9-93 (Register 93, No. 15). A Certificate of Compliance must be transmitted to OAL 8-9-93 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction amending subsections (a)(1) and (b) and Note (Register 93, No. 17).
3. New section refiled 9-16-93 with amendment of subsections (a)(1)-(b) as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-16-93 order including amendment of subsections (b) and (c) transmitted to OAL 10-28-93 and filed 12-14-93 (Register 93, No. 51).
5. Relocation of article 2 filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
6. Amendment of subsections (a)(1) and (a)(2), repealer of subsections (b)-(b)(2) and subsection relettering, and amendment of newly designated subsections (b) and (c) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
7. Amendment filed 6-7-99 as an emergency; operative 6-7-99 (Register 99, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-5-99 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section as it existed prior to 6-7-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 3).
9. Amendment filed 1-19-2000; operative 1-19-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 3).
10. Renumbering of former section 14 to section 16 filed 4-14-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 15).
11. Renumbering and amendment of former section 13.5 to section 14 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
12. Amendment of subsections (a), (b), (b)(4) and (b)(6) and redesignation and amendment of former subsection (b)(7) as new subsection (c) filed 8-23-2001; operative 8-23-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
13. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
14. Amendment of subsection (b)(4)(B), repealerof subsection (b)(4)(D), subsection relettering and amendment of newly designated subsection (b)(4)(D) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15. Appointment of Retired or Teaching Physicians.
Note     •     History

In order to be considered for appointment as a QME pursuant to Labor Code Section 139.2(c), a physician shall pass the QME competency examination and submit written documentation to the Administrative Director that he or she meets either (a), (b) or (c) of this section. 
The physician shall:
(a) Be a current salaried faculty member at an accredited university or college, have a current license to practice as a physician and be engaged in teaching, lecturing, published writing or medical research at that university or college in the area of his or her specialty for not less than one-third of his or her professional time. The physician's practice in the three consecutive years immediately preceding the time of application shall not have been devoted solely to the forensic evaluation of disability.
(b) Be retired from full-time practice; retain a current license to practice in California as a physician with his or her licensing board; and
(1) Have a minimum of 25 years' experience in his or her practice as a physician; and
(2) Have had a minimum of 10 years' experience in workers' compensation medical issues; and
(3) Be practicing currently fewer than 10 hours per week on direct medical treatment as a physician; and
(4) Not have engaged in a practice devoted solely to the forensic evaluation of disability during the three consecutive years immediately preceding the time of application.
(c) Be retired from active practice due to a documented medical or physical disability as defined pursuant to Government Code section 12926 and currently practice in his or her specialty fewer than 10 hours per week. The physician shall have 10 years experience in workers' compensation medical issues as a physician. The physician's practice in the three consecutive years immediately preceding the time of application shall not have been devoted solely to the forensic evaluation of disability.
(d) A physician appointed under section 11 of Title 8 of the California Code of Regulations or this section shall, notify the Administrative Director of changes in his or her status and shall complete the requirements for continuing education pursuant to section 55 of Title 8 of the California Code of Regulations prior to reappointment.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section139.2, Labor Code.
HISTORY

1. New section filed 4-9-93 as an emergency; operative 4-9-93 (Register 93, No. 15). A Certificate of Compliance must be transmitted to OAL 8-9-93 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction amending subsection (b) and Note (Register 93, No. 17).
3. New section refiled 9-16-93 with amendment of subsections (a)(1)-(b) as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-16-93 order including amendment of subsection (b) transmitted to OAL 10-28-93 and filed 12-14-93 (Register 93, No. 51).
5. Amendment filed 6-7-99 as an emergency; operative 6-7-99 (Register 99, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-5-99 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of section as it existed prior to 6-7-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 3).
7. Amendment filed 1-19-2000; operative 1-19-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 3).
8. Renumbering of former section 15 to section 17 filed 4-14-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 15).
9. Renumbering and amendment former section 13.7 to section 15 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
10. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§16. Determination of Fees for QME Eligibility.
Note     •     History

(a) For purposes of establishing the annual fee for any qualified medical evaluator pursuant to Article 2, physicians (as defined under Section 3209.3 of the Labor Code) shall be classified into one of three categories:
(1) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 0-10 comprehensive medical-legal evaluations in the twelve months prior to the assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(i) of this Chapter performed by a physician.
(2) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 11-24 comprehensive medical-legal evaluations in the twelve months prior to assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(i) of this Chapter performed by a physician.
(3) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 25 or more comprehensive medical-legal evaluations in the twelve months prior to assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(i) of this Chapter performed by a physician.
(b) The evaluations shall be conducted in compliance with all applicable statutes and regulations.
(c) Verification of the number of examinations shall be made by the Administrative Director using The Qualified or Agreed Medical Evaluator Findings Summary Form in section 111 (See, 8 Cal. Code Regs. §111), as well as any other relevant records or sources of information. Misrepresentation of the number of evaluations performed for purposes of establishing a physician's QME fee shall constitute grounds for disciplinary proceedings under section 60 of this chapter.

NOTE: Form referred to above is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 4-9-93 as an emergency; operative 4-9-93 (Register 93, No. 15). A Certificate of Compliance must be transmitted to OAL 8-9-93 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction amending Note (Register 93, No. 17).
3. New section refiled 9-16-93 with amendment of subsection (a) as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-16-93 order including amendments transmitted to OAL 10-28-93 and filed 12-14-93 (Register 93, No. 51).
5. Amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
6. Amendment filed 6-7-99 as an emergency; operative 6-7-99 (Register 99, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-5-99 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 6-7-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 3).
8. Amendment filed 1-19-2000; operative 1-19-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 3).
9. Renumbering of former section 16 to section 18 and renumbering of former section 14 to number 16 filed 4-14-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 15).
10. Amendment of subsection (c) and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§17. Fee Schedule for QME.
Note     •     History

(a) All physicians seeking QME status shall be required to pay to the Workers' Compensation Administration Revolving Fund, the following fee:
(1) QMEs performing 0-10 comprehensive medical-legal evaluations, $110 during each of the years or any part of a year the physician retains his or her eligibility on the approved QME list.
(2) QMEs performing 11-24 comprehensive medical-legal evaluations, $125 during each of the years or any part of a year the physician retains his or her eligibility on the approved QME list.
(3) QMEs performing 25 or more comprehensive medical-legal evaluations, $250 during each of the years or any part of a year the physician retains his or her eligibility on the approved QME list.
(b) Subject to the restriction in Labor Code section 139.2(h)(3)(B) regarding the 10 offices for conducting comprehensive medical-legal evaluations, individual QMEs who perform comprehensive medical-legal evaluations at more than one physician's office location shall be required to pay an additional $100 annually per additional office location. Each physician's office listed with the Medical Director must be located within California, be identified by a street address and any other more specific location such as a suite or room number, and must contain the usual and customary equipment for the type of evaluation appropriate to the QME's medical specialty or scope of practice. This requirement applies to all QMEs regardless of whether the QME is a sole practitioner, or corporation, or partnership pursuant to Corporations Code Chapter 2 (sections 15501-15533), Chapter 3 (sections 15611-15723) and/or Chapter 5 (sections 16100-16962).
(c) The Administrative Director may waive or return the statutory fee in the amount of $110 for the completion of a survey of QMEs to validate the QME competency examination. The term “completion of the survey” means the return of the survey to the testing agency designated by the Administrative Director on or before the date for the return of the survey.
(d) At the time of paying the appropriate QME annual fee, each QME shall also complete and forward to the Medical Director with the annual fee a completed QME SFI Form 124, providing updated information about the QME's specified financial interests as defined in section 29 of Title 8 of the California Code of Regulations. 
NOTE

Authority cited: Section 133, 139.2 and 5307.3, Labor Code. Reference: Section139.2, Labor Code.
HISTORY

1. New section filed 4-9-93 as an emergency; operative 4-9-93 (Register 93, No. 15). A Certificate of Compliance must be transmitted to OAL 8-9-93 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction amending Note (Register 93, No. 17).
3. New section refiled 9-16-93 with amendments as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-16-93 order including amendments transmitted to OAL 10-28-93 and filed 12-14-93 (Register 93, No. 51).
5. Renumbering former section 17 to new section 19 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
6. Renumbering of former section 15 to section 17 filed 4-14-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 15).
7. New subsection (c) and amendment of Note  filed 2-14-2002 as an emergency; operative 2-14-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-14-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
9. Amendment of subsection (b) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§18. QME Fee Due Dates.
Note     •     History

(a) All physicians, regardless of the number of comprehensive medical-legal evaluations performed under section 17 of Title 8 of the California Code of Regulations shall pay the required QME fees at yearly intervals within 30 days of receipt of notice from the Administrative Director that the QME fee for the next 12 months is due and payable. No physician who has passed the competency examination shall be placed on the active QME roster until the appropriate fee under section 17 has been paid.
(b) Any QME who fails to pay the required statutory fee within 30 days of receipt of a final notice that the fee is due shall be notified that he or she shall be terminated from the official QME roster of physicians within 30 days and shall not perform any panel QME or represented QME comprehensive medical-legal evaluation until the fee is paid. 
(c) If the QME fee is not paid within two years from the due date in the final fee notice from the Administrative Director to the QME or QME applicant that the fee is due, then the physician shall resubmit a new application pursuant to Sections 10 and 11 of Title 8 of the California Code of Regulations, pass the QME competency examination and pay the appropriate fee prior to regaining or obtaining QME active status.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section139.2, Labor Code.
HISTORY

1. New section filed 4-9-93 as an emergency; operative 4-9-93 (Register 93, No. 15). A Certificate of Compliance must be transmitted to OAL 8-9-93 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction amending subsections (b) and (b)(1) and Note (Register 93, No. 17).
3. New section refiled 9-16-93 with amendment of section heading and text as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-16-93 order including amendments transmitted to OAL 10-28-93 and filed 12-14-93 (Register 93, No. 51).
5. Repealer filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
6. Renumbering of former section 16 to section 18 filed 4-14-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 15).
7. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§19. Certificate of QME Status.
Note     •     History

(a) Upon receipt of the QME fees and review by the Administrative Director to ensure current compliance with section 139.2 of Labor Code and any other applicable regulations promulgated by the Administrative Director concerning QME eligibility, the Administrative Director shall within 45 days send to the physician a Qualified Medical Evaluator certificate. The QME certificate shall be displayed in a conspicuous manner at the QME's office location at all times during the period the QME is appointed by the Administrative Director to conduct evaluations. 
(b) It shall be unlawful for any physician who has been terminated or suspended from the QME list or who has failed to pay the required QME fee pursuant to sections 17 and 18 of Title 8 of the California Code of Regulations to display a Qualified Medical Evaluator certificate.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section139.2, Labor Code.
HISTORY

1. Renumbering and amendment of former section 17 to new section 19 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 2.5. Time Periods for Processing Applications for QME Status
§20. Time Periods.
Note     •     History

(a) Within 45 days of receipt of an application for QME status, the Administrative Director shall either inform the applicant, in writing, that the application is complete and accepted for filing, or that the application is deficient and what specific information is required.
(b) Within 45 days of receipt of a completed application, the Administrative Director shall inform the applicant, in writing, of its decision to allow or not to allow the applicant to proceed to take the required QME competency examination as per Section 11(f) of Title 8 of the California Code of Regulations.
(c) Within 45 days of receipt of a completed application, the Administrative Director must inform the applicant, in writing, of its decision to grant or deny the application.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 4060, 4061, 4062, 4062.1, 4062.2 and 4067, Labor Code.
HISTORY

1. New article 2.5 and section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 3. Assignment of Qualified Medical Evaluators, Evaluation Procedure
§29. Specified Financial Interests That May Affect Assignment to QME Panels.
Note     •     History

(a) Every physician seeking appointment or reappointment as a Qualified Medical Evaluator shall disclose specified financial interests, as defined in section 1 (dd) and 29(b) of Title 8 of the California Code of Regulations. 
(b) “Specified Financial Interests” means being a general partner or limited partner in, or having an interest of five (5) percent or more in, or receiving or being legally entitled to receive a share of five (5) percent or more of the profits from, any medical practice, group practice, medical group, professional corporation, limited liability corporation, clinic or other entity that provides treatment or medical evaluation, goods or services for use in the California workers' compensation system. 
(c) “SFI Form 124”, as used in sections 1 though 159 of Title 8 of the California Code of Regulations, means the QME SFI Form 124 that is completed and filed as an attachment to QME Form 100, 103 or 104 by the physician or QME with the Medical Director of the Division of Workers' Compensation.
(d) Specified financial interests shall be disclosed on QME SFI Form 124, respectively, when applying for appointment on QME Form 100, at the time of paying the annual fee on QME Form 103 or when applying for reappointment on QME Form 104. 
(e) The completed QME SFI Form 124 shall be filed along with the QME Form 100, 103 or 104, respectively, when the form is filed with the Medical Director of the Division of Workers' Compensation.
(f) Failure of a Qualified Medical Evaluator to complete and file a QME SFI Form 124 with the Medical Director when required by this section shall be grounds for disciplinary action pursuant to section 60 of Title 8 of the California Code of Regulations.
(g) The Administrative Director shall use the information provided by physicians pursuant to this section to avoid assigning QMEs who share specified financial interests to the same QME panel. If two or more QMEs assigned to a panel share specified financial interests as defined in this section, any party may request a replacement QME. If three QMEs share specified financial interests as defined in this section, two of the QMEs shall be replaced. If two QMEs share specified financial interests as defined in this section, one of the QMEs shall be replaced. The QMEs that must be replaced shall be randomly selected by the Medical Director. 

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§30. QME Panel Requests.
Note     •     History

(a) Unrepresented cases. Whenever an injured worker is not represented by an attorney and either the employee or the claims administrator requests a QME panel pursuant to Labor Code section 4062.1, the request shall be submitted on the form in section 105 (Request for QME Panel under Labor Code Section 4062.1)(See, 8 Cal. Code Regs. §105). The claims administrator (or if none the employer) shall provide Form 105 along with the Attachment to Form 105 (How to Request a Qualified Medical Evaluator if you do not have an Attorney) to the unrepresented employee by means of personal delivery or by first class or certified mailing. 
(b) Represented cases. Requests for a QME panel in a represented case, for all cases with a date of injury on or after January 1, 2005, and for all other cases where represented parties agree to obtain a panel of Qualified Medical Evaluators pursuant to the process in Labor Code section 4062.2, shall be submitted on the form in section 106 (Request for a QME Panel under Labor Code Section 4062.2)(See, 8 Cal. Code Regs. §106). The party requesting a QME panel shall: 
1) attach a written objection indicating the identity of the primary treating physician, the date of the primary treating physician's report that is the subject of the objection and a description of the medical dispute that requires a comprehensive medical/legal report to resolve; 
2) designate a specialty for the QME panel requested; 
3) state the specialty preferred by the opposing party, if known; and 
4) state the specialty of the treating physician.
(c) In the event a request form is incomplete, or improperly completed, so that a QME panel selection cannot properly be made, the request form shall be returned to the requesting party with an explanation of why the QME panel selection could not be made. The Medical Director also may delay issuing a new QME panel, if necessary, until the Medical Director receives additional reasonable information requested from a party or both parties, needed to resolve the panel request. Reasonable information as used in this subdivision includes but is not limited to whether a QME panel previously issued to the injured worker was used. 
(d)(1) After a claim form has been filed, the claims administrator, or if none the employer, may request a panel of Qualified Medical Evaluators only as provided in Labor Code section 4060, to determine whether to accept or reject a claim within the ninety (90) day period for rejecting liability in Labor Code section 5402(b), and only after providing evidence of compliance with Labor Code Section 4062.1 or 4062.2. 
(d)(2) Once the claims administrator, or if none, the employer, has accepted as compensable injury to any body part in the claim, a request for a panel QME may only be filed based on a dispute arising under Labor Code section 4061 or 4062. 
(e) If the request form is submitted by or on behalf of an employee who no longer resides within the state of California, the geographic area of the QME panel selection within the state shall be determined by agreement between the claims administrator, or if none the employer, and the employee. If no agreement can be reached, the geographic area of the QME panel selection shall be determined for an unrepresented employee by the employee's former residence within the state, and for a represented employee by the office of the employee's attorney.
(f) To compile a panel list of three (3) independent QMEs randomly selected from the specialty designated by the party holding the legal right to request a QME panel, the Medical Director shall exclude from the panel, to the extent feasible, any QME who is listed by another QME as a business partner or as having a shared specified financial interest, as those terms are defined in sections 1 and 29 of Title 8 of the California Code of Regulations. 
(g) The panel request in a represented case must be sent to the Medical Unit address on the QME Form 106 by means of first class mail delivered by the United States postal service. The Medical Unit will not accept panel requests in represented cases that are delivered in person by a party, the party's attorney, any other person or by other commercial courier or delivery services. 
(h) The time periods specified in Labor Code sections 4062.1(c) and 4062.2(c), respectively, for selecting an evaluator from a QME panel and for scheduling an appointment, shall be tolled whenever the Medical Director asks a party for additional information needed to resolve the panel request. These time periods shall remain tolled until the date the Medical Director issues either a new QME panel or a decision on the panel request. 

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062 and 5307.3, Labor Code. Reference: Sections 139.2, 4061, 4062, 4062.1, 4062.2, 4062.3, 4064 and 4067, Labor Code.
HISTORY

1. New article 3 and section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of subsection (b) and new subsections (d)-(e) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment of subsections (a), (c) and (d)(1) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
5. Amendment of subsection (b)(1), repealer of subsection (b)(2), subsection renumbering, amendment of newly designated subsection (b)(4) and repealer of subsections (d)(3)-(4) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§30.1. The Request for Qualified Medical Evaluator Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending specialty codes filed 6-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 26).
3. Editorial correction adding History 3 and including previously filed amendments (Register 95, No. 41).
4. Change without regulatory effect amending specialty code MPT, repealing specialty codes DDS and DMD and adding specialty code DEN filed 10-11-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 41).
5. Change without regulatory effect adding MAP specialty code filed 12-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
6. Change without regulatory effect amending form filed 6-20-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 25).
7. Change without regulatory effect amending form filed 2-25-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 9).
8. Change without regulatory effect amending MD/DO specialty codes filed 6-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
9. Change without regulatory effect amending MD/DO speciality codes and updating form revision date filed 4-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 16).
10. Change without regulatory effect amending MD/DO specialty codes and updating form revision date filed 7-12-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 29).
11. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§30.2. The Request for Qualified Medical Evaluator Instruction Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4061 and 4062, Labor Code. Reference: Sections 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending thrid paragraph filed 2-25-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 9).
3. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§30.5. Specialist Designation.
Note     •     History

The Medical Director shall utilize in the QME panel selection process the type of specialist(s) indicated by the requestor on the Request for Qualified Medical Evaluator Form 105 or 106 of Title 8 of the California Code of Regulations, unless otherwise provided in these regulations.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062 and 5307.3, Labor Code. Reference: Sections 139.2, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. Renumbering and amendment of former section 32 to new section 30.5 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§31. QME Panel Selection.
Note     •     History

(a) The panels shall be selected randomly from the appropriate specialty identified by the party who holds the legal right to designate the specialty, with consideration given to the proximity of the QME's medical office to the employee's residence. 
(b) The Medical Director shall exclude from the panel selection process any QME who has informed the Medical Director that he or she is unavailable pursuant to section 33 of Title 8 of the California Code of Regulations.
(c) Any physician who has served as a primary treating physician or secondary physician and who has provided treatment to the employee in accordance with section 9785 of Title 8 of the California Code of Regulations for the disputed injury shall not perform a QME evaluation on that employee. Whenever that physician's name appears on a QME panel, he or she shall disqualify him or herself if contacted by a party to perform the evaluation. Either party may request a replacement QME for this reason pursuant to section 31.5 of Title 8 of the California Code of Regulations.
(d) To issue a panel in a selected specialty there shall be at least five active QMEs in the specialty at the time the panel selection is requested. In the event less than five QMEs are active in a requested specialty, the Medical Director shall contact the party who holds the legal right to designate the specialty for an alternate specialty selection.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Repealer of subsection (d) and subsection relettering, and amendment of newly designated subsection (d) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment of subsections (b) and (d) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§31.1. QME Panel Selection Disputes in Represented Cases.
Note     •     History

(a) When the Medical Director receives two or more panel selection forms pursuant to Labor Code section 4062.2 on the same day and the forms designate different physician specialties for the QME panel, the Medical Director shall use the following procedures:
1) If one party requests the same specialty as that of the treating physician, the panel shall be issued in the specialty of the treating physician unless the Medical Director is persuaded by supporting documentation provided by the requestor that explains the medical basis for the requested specialty;
2) If no party requests a panel in the specialty of the treating physician, the Medical Director shall select a specialty appropriate for the medical issue in dispute and issue a panel in that specialty. 
3) Upon request by the Medical Director, the party requesting the panel shall provide additional medical records to assist the Medical Director in determining the appropriate specialty.
(b) In the event a party in a represented case wishes to request a QME panel pursuant to Labor Code section 4062.2 in a specialty other than the specialty of the treating physician, the party shall submit with the panel request form any relevant documentation supporting the reason for requesting a different specialty.
(c) In the event the Medical Director is unable to issue a QME panel in a represented case within thirty (30) calendar days of receiving the request, either party may seek an order from a Workers' Compensation Administrative Law Judge that a QME panel be issued. Any such order shall specify the specialty of the QME panel or the party to be designated to select the specialty.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 4060, 4061, 4062, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3). For prior history, see Register 2000, No. 15.
§31.2. QME Office Locations.
Note     •     History

(a) On January 1, 2013, a QME shall notify the Medical Director of the street address of the 10 or fewer office locations where the QME will conduct qualified medical evaluations. 
(b) Between January 1, 2013, and July 1, 2013, an office location maintained by a QME shall not be substituted for or exchanged for a different office location, except upon a showing of good cause to the Medical Director. For purposes of this section the term “good cause” includes, but is not limited to, natural disasters or other community catastrophes that interrupt the operation of the evaluator's business.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.5 and 4067, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 15.
§31.3. Scheduling Appointment with Panel QME.
Note     •     History

(a) When the employee is not represented by an attorney, the unrepresented employee shall, within ten (10) days of having been furnished with the form, select a QME from the panel list, contact the QME to schedule an appointment and inform the claims administrator of the QME selection and the appointment.
(b) Neither the employer, nor the claims administrator nor any other representative of the employer shall discuss the selection of the QME with an unrepresented worker who has the legal right to select the QME.
(c) If, within ten (10) days of the issuance of a QME panel, the unrepresented employee fails to select a QME from the QME panel or fails to schedule an appointment with the selected QME, the claims administrator may schedule an appointment with a panel QME only as provided in Labor Code section 4062.1(c), and shall notify the employee of the appointment as provided in that section.
(d) Whenever the employee is represented by an attorney and the parties have completed the conferring and striking processes described in Labor Code section 4062.2(c), the represented employee shall schedule the appointment with the physician selected from the QME panel. If the represented employee fails to do so within ten (10) business days of the date a QME is selected from the panel, the claims administrator or administrator's attorney may arrange the appointment and notify the employee and employee's attorney. 
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3). 
§31.5. QME Replacement Requests.
Note     •     History

(a) A replacement QME to a panel, or at the discretion of the Medical Director a replacement of an entire panel of QMEs, shall be selected at random by the Medical Director and provided upon request whenever any of the following occurs:
(1) A QME on the panel issued does not practice in the specialty requested by the party holding the legal right to request the panel.
(2) A QME on the panel issued cannot schedule an examination for the employee within sixty (60) days of the initial request for an appointment, or if the 60 day scheduling limit has been waived pursuant to section 33(e) of Title 8 of the California Code of Regulations, the QME cannot schedule the examination within ninety (90) days of the date of the initial request for an appointment.
(3) The injured worker has changed his or her residence address since the QME panel was issued and prior to date of the initial evaluation of the injured worker.
(4) A physician on the QME panel is a member of the same group practice as defined by Labor Code section 139.3 as another QME on the panel.
(5) The QME is unavailable pursuant to section 33 (Unavailability of the QME).
(6) The evaluator who previously reported in the case is no longer available.
(7) A QME named on the panel is currently, or has been, the employee's primary treating physician or secondary physician as described in section 9785 of Title 8 of the California Code of Regulations for the injury currently in dispute. 
(8) The claims administrator, or if none the employer, and the employee agree in writing, for the employee's convenience only, that a new panel may be issued in the geographic area of the employee's work place and a copy of the employee's agreement is submitted with the panel replacement request.
(9) The Medical Director, upon written request, finds good cause that a replacement QME or a replacement panel is appropriate for reasons related to the medical nature of the injury. For purposes of this subsection, “good cause” is defined as a documented medical or psychological impairment.
(10) The Medical Director, upon written request, filed with a copy of the Doctor's First Report of Occupational Injury or Illness (Form DLSR 5021 [see 8 Cal. Code Regs. §§14006 and 14007) and the most recent DWC Form PR-2 (“Primary Treating Physician's Progress Report” [See 8 Cal. Code Regs. §9785.2) or narrative report filed in lieu of the PR-2, determines after a review of all appropriate records that the specialty chosen by the party holding the legal right to designate a specialty is medically or otherwise inappropriate for the disputed medical issue(s). The Medical Director may request either party to provide additional information or records necessary for the determination.
(11) The evaluator has violated section 34 (Appointment Notification and Cancellation) of Title 8 of the California Code of Regulations, except that the evaluator will not be replaced for this reason whenever the request for a replacement by a party is made more than fifteen (15) calendar days from either the date the party became aware of the violation of section 34 of Title 8 of the California Code of Regulations or the date the report was served by the evaluator, whichever is earlier.
(12) The evaluator failed to meet the deadlines specified in Labor Code section 4062.5 and section 38 (Medical Evaluation Time Frames) of Title 8 of the California Code of Regulations and the party requesting the replacement objected to the report on the grounds of lateness prior to the date the evaluator served the report. A party requesting a replacement on this ground shall attach to the request for a replacement a copy of the party's objection to the untimely report. 
(13) The QME has a disqualifying conflict of interest as defined in section 41.5 of Title 8 of the California Code of Regulations.
(14) The Administrative Director has issued an order pursuant to section 10164(c) of Title 8 of the California Code of Regulations (order for additional QME evaluation).
(15) The selected medical evaluator, who otherwise appears to be qualified and competent to address all disputed medical issues refuses to provide, when requested by a party or by the Medical Director, either: A) a complete medical evaluation as provided in Labor Code sections 4062.3(i) and 4062.3(j), or B) a written statement that explains why the evaluator believes he or she is not medically qualified or medically competent to address one or more issues in dispute in the case.
(16) The QME panel list was issued more than twenty four (24) months prior to the date the request for a replacement is received by the Medical Unit, and none of the QMEs on the panel list have examined the injured worker. 
(b) Whenever the Medical Director determines that a request made pursuant to subdivision 31.5(a) for a QME replacement or QME panel replacement is valid, the time limit for an unrepresented employee to select a QME and schedule an appointment under section Labor Code section 4062.1(c) and the time limit for a represented employee to strike a QME name from the QME panel under Labor Code section 4062.2(c), shall be tolled until the date the replacement QME name or QME panel is issued.
(c) In the event the parties in a represented case have struck two QME names from a panel and subsequently a valid ground under subdivision 31.5 arises to replace the remaining QME, none of the QMEs whose names appeared on the earlier QME panel shall be included in the replacement QME panel.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062, 4062.3, 4062.5, 5307.3 and 5703.5, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.3, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Amendment of subsections (b), (b)(1) and (b)(3) and new subsections (b)(4)-(5) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§31.7. Obtaining Additional QME Panel in a Different Specialty.
Note     •     History

(a) Once an Agreed Medical Evaluator, an Agreed Panel QME, or a panel Qualified Medical Evaluator has issued a comprehensive medical/legal report in a case and a new medical dispute arises, the parties, to the extent possible, shall obtain a follow-up evaluation or a supplemental evaluation from the same evaluator.
(b) Upon a showing of good cause that a panel of QME physicians in a different specialty is needed to assist the parties reach an expeditious and just resolution of disputed medical issues in the case, the Medical Director shall issue an additional panel of QME physicians selected at random in the specialty requested. For the purpose of this section, good cause means:
(1) A written agreement by the parties in a represented case that there is a need for an additional comprehensive medical legal report by an evaluator in a different specialty and the specialty that the parties have agreed upon for the additional evaluation; or
(2) The AME or QME selected advises the parties and the Medical Director, or his or her designee, that she or he has completed or will complete a timely evaluation of the disputed medical issues within his or her scope of practice and areas of clinical competence but recommends that a new evaluator in another specialty is needed to evaluate one or more remaining disputed medical conditions, injuries or issues that are outside of the evaluator's areas of clinical competence, and either the injured worker is unrepresented or the parties in a represented case have been unable to select an Agreed Medical Evaluator for that purpose; or
(3) An order by a Workers' Compensation Administrative Law Judge for a panel of QME physicians that also either designates a party to select the specialty or states the specialty to be selected and the residential or employment-based zip code from which to randomly select evaluators; or
(4) In an unrepresented case, that the parties have conferred with an Information and Assistance Officer, have explained the need for an additional QME evaluator in another specialty to address disputed issues and, as noted by the Information and Assistance Officer on the panel request form, the parties have reached agreement in the presence of and with the assistance of the Officer on the specialty requested for the additional QME panel. The parties may confer with the Information and Assistance Officer in person or by conference call.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062, 4062.3, 4062.5, 5307.3 and 5703.5, Labor Code. Reference: Sections 139.2, 4061, 4062, 4062.1, 4062.2, 4062.3, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3). 
2. Amendment of subsections (b)(1) and (b)(3) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§32. Consultations.
Note     •     History

(a) In any case where an acupuncturist has been selected by the injured worker from a three-member panel and an issue of disability is in dispute, the acupuncturist shall request a consult from a QME defined under section 1(z) to evaluate the disability issue(s). The acupuncturist shall evaluate all other issues as required for a complete evaluation. If requested by the QME acupuncturist to obtain a QME to provide the consulting evaluation, the Medical Director shall issue a panel within fifteen (15) days of the request in the specialty selected by the QME acupuncturist.
(b) Except as provided in subdivision 32(a) above, no QME may obtain a consultation for the purpose of obtaining an opinion regarding permanent disability and apportionment consistent with the requirements of Labor Code sections 4660 through 4664 and the AMA Guides.
(c) For injuries occurring on or after January 1, 1994, a QME may obtain a consultation from any physician as reasonable and necessary pursuant to Labor Code section 4064(a). 
(d) Whenever an Agreed Panel QME or a QME determines that a consultation is necessary pursuant to this section and the physician selected for the consultation is not selected by the parties from a QME panel issued by the Medical Director, the referring QME must arrange the consultation appointment and advise the injured employee and the claims administrator, or if none the employer, and each party's attorney if any, in writing of the appointment date, time and place by use of QME Form 110 (QME Appointment Notification Form)(See, 8 Cal. Code Regs. §110).
(e) The consulting physician shall serve the consulting report on the referring QME. Upon receipt of the consulting physician's report, the referring evaluator shall review the consulting physician's report, incorporate that report by reference into the referring evaluator's medical-legal report and comment on the consulting physician's findings and conclusions in the discussion sections of the evaluator's report.
(f) The referring QME shall file the comprehensive medical-legal report within the time periods specified in section 38 of Title 8 of the California Code of Regulations. In the event a consulting physician's report has not been received, or will not be received, in time to comply with the time periods, the referring QME shall serve the comprehensive medical-legal report timely, and upon receipt of the consulting physician's report, the referring evaluator shall, within fifteen (15) calendar days of receipt of the consulting report, issue a supplemental report that incorporates the consulting physician's report by reference, and comments on whether and how the findings in the consulting report change the referring evaluator's opinions. The referring evaluator shall list, in the report commenting on a consulting physician's report, all reports and information received from each party for the consulting physician, indicate whether each item was forwarded to the consulting physician, and for items not forwarded the reason the referring evaluator determined it was not necessary to forward the item to the consulting physician.
(g) With the exception of verbal communications between an injured worker and the consulting physician in the course of the consulting examination, all other communications by the parties, as well as any reports and other information from the parties for the consulting physician, if any, shall be made in writing directed only to the referring QME, who may forward such communications on to the consulting physician as appropriate. With the exception of deposing the consulting physician if necessary and except as provided in this subdivision, neither party nor a party's attorney, shall communicate directly with nor send correspondence or records directly to the consulting physician.

NOTE: Form referred to above is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062, 4064, 5307.3 and 5703.5, Labor Code. Reference: Sections 3209.3, 4061, 4062, 4062.1, 4062.2, 4064, 4067 and 5703.5, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Renumbering of former section 32 to new section 30.5 and renumbering and amendment of former section 32.5 to section 32 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§32.5. [Reserved]
Note     •     History

NOTE

Authority cited: Sections 139.2, 4061, 4062 and 4064, Labor Code. Reference: Sections 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Renumbering of former section 32.5 to section 32 and renumbering and amendment of former section 32.7 to section 32.5 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§32.6. Additional QME Evaluations Ordered by the Appeals Board.
Note     •     History

The Medical Director shall issue a panel of Qualified Medical Evaluators upon receipt of an order of a Workers' Compensation Administrative Law Judge or the Appeals Board, that includes a finding that an additional evaluation is reasonable and necessary to resolve disputed issues under Labor Code sections 4060, 4061 or 4062. The order shall specify the residential or employment-based zip code from which to randomly select evaluators, specify the specialty for the QME panel or designate the party who shall select the specialty of the QME panel, and specify who shall select a new specialty in the event there are too few QMEs in the specialty initially selected to issue a panel in accordance with section 31(d) of Title 8 of the California Code of Regulations. 
NOTE

Authority cited: Sections 133, 139.2, 4061, 4062, 4064, 5307.3, 5703 and 5703.5, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2 and 4064, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3). 
§32.7. Rebuttal QME Examinations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139.2, 4061 and 4062, Labor Code. Reference: Sections 4061 and 4064, Labor Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Renumbering of former section 32.7 to section 32.5 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§33. Unavailability of QME.
Note     •     History

(a) A QME who will be unavailable to schedule or perform comprehensive medical evaluations as an Agreed Panel QME or as a Panel QME for a period of 14 days, or up to a maximum of 90 days during a one year fee period, for any reason shall notify the Medical Director by submitting the form in Section 109 (Notice of Qualified Medical Evaluator Unavailability) (see, 8 Cal. Code Regs. §109) at least 30 days before the period of unavailability is to begin. The Medical Director may, in his or her discretion, grant unavailable status within the 30-day notice period for good cause, including but not limited to medical or family emergency. 
(b) At the time of requesting unavailable status, the QME shall provide the Medical Director with a list of any and all comprehensive medical/legal evaluation examinations already scheduled during the time requested for unavailable status. The QME shall indicate whether each such examination is being rescheduled or the QME plans to complete the exam and report while in unavailable status.
(c) A QME who is unavailable as provided in subdivision (a) shall not perform any new evaluation examinations as a QME until the physician returns to active QME status. Such a QME may complete medical-legal examinations and reports already scheduled and reported to the Medical Director, as well as reports for evaluation examinations performed prior to becoming unavailable under subdivision (a). Such a QME also may complete supplemental reports. 
(d) It shall not be an acceptable reason for unavailability that a QME does not intend to perform comprehensive medical-legal evaluations for unrepresented workers. A QME who has filed notifications for unavailability totaling more than ninety (90) days during the QME fee period without good cause may be denied reappointment subject to section 52 of Title 8 of the California Code of Regulations. Good cause includes, but is not limited to, sabbaticals, or death or serious illness of an immediate family member.
(e) If a party with the legal right to schedule an appointment with a QME is unable to obtain an appointment with a selected QME within sixty (60) days of the date of the appointment request, that party may waive the right to a replacement in order to accept an appointment no more than ninety (90) days after the date of the party's initial appointment request. When the selected QME is unable to schedule the evaluation within ninety (90) days of the date of that party's initial appointment request, either party may report the unavailability of the QME and the Medical Director shall issue a replacement pursuant to section 31.5 of Title 8 of the California Code of Regulations upon request, unless both parties agree in writing to waive the ninety (90) day time limit for scheduling the initial evaluation. 
(f) If a QME fails to notify the Medical Director, by submitting the form in section 109 (Notice of Qualified Medical Evaluator Unavailability) (see, 8 Cal. Code Regs. §109), of his or her unavailability at a medical office at least thirty (30) days prior to the period the evaluator becomes unavailable, the Medical Director may designate the QME to be unavailable at that location for thirty (30) days from the date the Medical Director learns of the unavailability. 
(g) Whenever the Medical Director is notified by a party seeking an appointment with a Qualified Medical Evaluator, or otherwise becomes aware, that the QME is not available and not responding to calls or mail at a location listed for the QME, a certified letter will be sent to the QME by the Medical Director regarding his/her unavailability. If the Medical Director does not receive a response within fifteen (15) days of the date the certified letter is mailed, then the QME will be made unavailable at that location. The time a QME is placed on unavailable status pursuant to this subdivision shall count toward the ninety (90) day limit in subdivision 33(a) of Title 8 of the California Code of Regulations.
(h) The Medical Director shall designate a QME to be unavailable if on or after January 1, 2013, the QME has not notified the Medical Director of the 10 or fewer office locations where qualified medical evaluations will be conducted as specified in section 31.2(a).

NOTE: Form referred to above is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.5 and 4067, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
4. New subsection (h) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§33.1. The Notice of QME Unavailability Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section heading, repealer and new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§34. Appointment Notification and Cancellation.
Note     •     History

(a) Whenever an appointment for a comprehensive medical evaluation is made with a QME, the QME shall complete an appointment notification form by submitting the form in Section 110 (QME Appointment Notification Form)(See, 8 Cal. Code Regs. §110). The completed form shall be postmarked or sent by facsimile to the employee and the claims administrator, or if none the employer, within 5 business days of the date the appointment was made. In a represented case, a copy of the completed form shall also be sent to the attorney who represents each party, if known. Failure to comply with this requirement shall constitute grounds for denial of reappointment under section 51 of Title 8 of the California Code of Regulations.
(b) The QME shall schedule an appointment for a comprehensive medical-legal examination which shall be conducted only at the medical office listed on the panel selection form. However, upon written request by the injured worker and only for his or her convenience, the evaluation appointment may be moved to another medical office of the selected QME if it is listed with the Medical Director as an additional office location.
(c) The QME shall include within the notification whether a Certified Interpreter, as defined by Labor Code Section 5811 and subject to the provisions of section 9795.3 of Title 8 of the California Code of Regulations, is required and specify the language. The interpreter shall be arranged by the party who is to pay the cost as provided for in Section 5811 of the Labor Code.
(d) An evaluator, whether an AME, Agreed Panel QME or QME, shall not cancel a scheduled appointment less than six (6) business days prior to the appointment date, except for good cause. Whenever an evaluator cancels a scheduled appointment, the evaluator shall advise the parties in writing of the reason for the cancellation. The Appeals Board shall retain jurisdiction to resolve disputes among the parties regarding whether an appointment cancellation pursuant to this subdivision was for good cause. The Administrative Director shall retain jurisdiction to take appropriate disciplinary action against any Agreed Panel QME or QME for violations of this section.
(e) An Agreed Panel QME or a QME who cancels a scheduled appointment shall reschedule the appointment to a date within thirty (30) calendar days of the date of cancellation. The re-scheduled appointment date may not be more than sixty (60) calendar days from the date of the initial request for an appointment, unless the parties agree in writing to accept the date beyond the sixty (60) day limit. 
(f) An Agreed Medical Evaluator who cancels a scheduled appointment shall reschedule the appointment within sixty (60) calendar days of the date of the cancellation, unless the parties agree in writing to accept an appointment date no more than thirty (30) calendar days beyond the sixty (60) day limit.
(g) Failure to receive relevant medical records, as provided in section 35 of Title 8 of the California Code of Regulations and section 4062.3 of the Labor Code, prior to a scheduled appointment shall not constitute good cause under this section for the evaluator to cancel the appointment, unless the evaluator is a psychiatrist or psychologist performing an evaluation regarding a disputed injury to the psyche who states in the evaluation report that receipt of relevant medical records prior to the evaluation was necessary to conduct a full and fair evaluation.
(h) An appointment scheduled with an evaluator, whether an AME, Agreed Panel QME or QME shall not be cancelled or rescheduled by a party or the party's attorney less than six (6) business days before the appointment date, except for good cause. Whenever the claims administrator, or if none the employer, or the injured worker, or either party's attorney, cancels an appointment scheduled by an evaluator, the cancellation shall be made in writing, state the reason for the cancellation and be served on the opposing party. Oral cancellations shall be followed with a written confirming letter that is faxed or mailed by first class U.S. mail within twenty four hours of the verbal cancellation and that complies with this section. An injured worker shall not be liable for any missed appointment fee whenever an appointment is cancelled for good cause. The Appeals Board shall retain jurisdiction to resolve disputes regarding whether an appointment cancellation by a party pursuant to this subdivision was for good cause.
(i) The date of cancellation shall be determined from the date of postmark, if mailed, or from the facsimile receipt date as shown on the recipient's fax copy. 

NOTE: Form referred to above is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections , 133, 139.2 and 5307.3, Labor Code. Reference: Sections 4060, 4061, 4062, 4062.1, 4062.2 and 4067, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of subsections (a) and (c) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§34.1. The Appointment Notification Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§35. Exchange of Information and Ex Parte Communications.
Note     •     History

(a) The claims administrator, or if none the employer, shall provide, and the injured worker may provide, the following information to the evaluator, whether an AME, Agreed panel QME or QME:
(1) All records prepared or maintained by the employee's treating physician or physicians;
(2) Other medical records, including any previous treatment records or information, which are relevant to determination of the medical issue(s) in dispute; 
(3) A letter outlining the issues that the evaluator is requested to address in the evaluation, which shall be served on the opposing party no less than 20 days in advance of the evaluation;
(4) For evaluations conducted on or before June 30, 2013, for dates of injury prior to January 1, 2013, whenever the treating physician's recommended medical treatment is disputed, a copy of the treating physician's report recommending the medical treatment with all supporting documents, a copy of claims administrator's, or if none the employer's, decision to approve, delay, deny or modify the disputed treatment with the documents supporting the decision, and all other relevant communications about the disputed treatment exchanged during the utilization review process required by Labor Code section 4610;
(5) Non-medical records, including films and videotapes, which are relevant to determination of medical issue(s) in dispute, after compliance with subdivision 35(c) of Title 8 of the California Code of Regulations.
(b)(1) Except as expressly provided in Labor Code section 4062.3(f) concerning communications with an agreed medical evaluator, all communications by the parties with the evaluator shall be in writing and sent simultaneously to the opposing party when sent to the medical evaluator, except as otherwise provided in subdivisions (c), (k) and (l) of this section. Labor Code section 4062.3(f) allows oral or written communications with an AME physician or the physician's staff relative to nonsubstantive matters such as the scheduling of appointments, missed appointments, the furnishing of records and reports, and the availability of the report, unless the appeals board has made a specific finding of an impermissible ex parte communication.
(2) Represented parties who have selected an Agreed Medical Evaluator or an Agreed Panel QME shall, as part of their agreement, agree on what information is to be provided to the AME or the Agreed Panel QME, respectively.
(c) At least twenty (20) days before the information is to be provided to the evaluator, the party providing such medical and non-medical reports and information shall serve it on the opposing party. Mental health records that are subject to the protections of Health and Safety Code section 123115(b) shall not be served directly on the injured employee, but may be provided to a designated health care provider as provided in section 123115(b)(2), and the injured employee shall be notified in writing of this option for each such record to be provided to the evaluator. In both unrepresented and represented cases the claims administrator shall attach a log to the front of the records and information being sent to the opposing party that identifies each record or other information to be sent to the evaluator and lists each item in the order it is attached to or appears on the log. In a represented case, the injured worker's attorney shall do the same for any records or other information to be sent to the evaluator directly from the attorney's office, if any. The claims administrator, or if none the employer, shall include a cover letter or other document when providing such information to the employee which shall clearly and conspicuously include the following language: “Please look carefully at the enclosed information. It may be used by the doctor who is evaluating your medical condition as it relates to your workers' compensation claim. If you do not want the doctor to see this information, you must let me know within 10 days.”
(d) If the opposing party objects within 10 days to any non-medical records or information proposed to be sent to an evaluator, those records and that information shall not be provided to the evaluator unless so ordered by a Workers' Compensation Administrative Law Judge.
(e) In no event shall any party forward to the evaluator: (1) any medical/legal report which has been rejected by a party as untimely pursuant to Labor Code section 4062.5; (2) any evaluation or consulting report written by any physician other than a treating physician, the primary treating physician or secondary physician, or an evaluator through the medical-legal process in Labor Code sections 4060 through 4062, that addresses permanent impairment, permanent disability or apportionment under California workers' compensation laws, unless that physician's report has first been ruled admissible by a Workers' Compensation Administrative Law Judge; or (3) any medical report or record or other information or thing which has been stricken, or found inadequate or inadmissible by a Workers' Compensation Administrative Law Judge, or which otherwise has been deemed inadmissible to the evaluator as a matter of law. 
(f) Either party may use discovery to establish the accuracy or authenticity of non-medical records or information prior to the evaluation.
(g) Copies of all records being sent to the evaluator shall be sent to all parties except as otherwise provided in section (d) and (e). Failure to do so shall constitute ex parte communication within the meaning of subdivision (k) below by the party transmitting the information to the evaluator. 
(h) In the event that the unrepresented employee schedules an appointment within 20 days of receipt of the panel, the employer or if none, the claims administrator shall not be required to comply with the 20 day time frame for sending medical information in subsection (c) provided, however, that the unrepresented employee is served all non-medical information in subdivision (c) 20 days prior to the information being served on the QME so the employee has an opportunity to object to any non-medical information.
(i) In the event that a party fails to provide to the evaluator any relevant medical record which the evaluator deems necessary to perform a comprehensive medical-legal evaluation, the evaluator may contact the treating physician or other health care provider, to obtain such record(s). If the party fails to provide relevant medical records within 10 days after the date of the evaluation, and the evaluator is unable to obtain the records, the evaluator shall complete and serve the report to comply with the statutory time frames under section 38 of Title 8 of the California Code of Regulations. The evaluator shall note in the report that the records were not received within the required time period. Upon request by a party, or the Appeals Board, the evaluator shall complete a supplemental evaluation when the relevant medical records are received. For a supplemental report the evaluator need not conduct an additional physical examination of the employee if the evaluator believes a review of the additional records is sufficient.
(j) The evaluator and the employee's treating physician(s) may consult as necessary to produce a complete and accurate report. The evaluator shall note within the report new or additional information received from the treating physician.
(k) The Appeals Board shall retain jurisdiction in all cases to determine disputes arising from objections and whether ex parte contact in violation of Labor Code section 4062.3 or this section of Title 8 of the California Code of Regulations has occurred. If any party communicates with an evaluator in violation of Labor Code section 4062.3, the Medical Director shall provide the aggrieved party with a new panel in which to select a new QME or the aggrieved party may elect to proceed with the original evaluator. Oral or written communications by the employee, or if the employee is deceased by the employee's dependent, made in the course of the examination or made at the request of the evaluator in connection with the examination shall not provide grounds for a new evaluator unless the Appeals Board has made a specific finding of an impermissible ex parte communication.
(l) In claims involving a date of injury prior to 1/1/2005 where the injured worker is represented by an attorney and the parties have decided to each select a separate Qualified Medical Evaluator, the provisions of this section shall not apply to the communications between a party and the QME selected by that party.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.3, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. New subsection (c) and subsection relettering, amendment of newly designated subsections (d) and (e) and new subsection (f) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. New subsection (b)(3) and amendment of subsection (e) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
5. Amendment of subsections (a)(4) and (b)(1) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§35.5. Compliance by AMEs and QMEs with Administrative Director Evaluation and Reporting Guidelines.
Note     •     History

(a) Each evaluation examination and report completed pursuant to Labor Code sections 4060, 4061, 4062, 4062.1, 4062.2, 4064, 4067 or 5703.5 shall be performed in compliance with all appropriate evaluation procedures pursuant to this Chapter. 
(b) Each reporting evaluator shall state in the body of the comprehensive medical-legal report the date the examination was completed and the street address at which the examination was performed. If the evaluator signs the report on any date other than the date the examination was completed, the evaluator shall enter the date the report is signed next to or near the signature on the report.
(c)(1) The evaluator shall address all contested medical issues arising from all injuries reported on one or more claim forms prior to the date of the employee's appointment with the medical evaluator that are issues within the evaluator's scope of practice and areas of clinical competence. The reporting evaluator shall attempt to address each question raised by each party in the issue cover letter sent to the evaluator as provided in subdivision 35(a)(3).
(2) If the evaluator declares the injured worker permanent and stationary for all conditions and that the injury has caused permanent partial disability, the evaluator shall complete the Physician's Return-to-Work & Voucher Report (DWC-AD Form 10133.36) and serve it on the claims administrator together with the medical report.
(d) At the evaluator's earliest opportunity and no later than the date the report is served, the evaluator shall advise the parties in writing of any disputed medical issues outside of the evaluator's scope of practice and area of clinical competency in order that the parties may initiate the process for obtaining an additional evaluation pursuant to section 4062.1 or 4062.2 of the Labor Code and these regulations in another specialty. In the case of an Agreed Panel QME or a panel QME, the evaluator shall send a copy of the written notification provided to the parties to the Medical Director at the same time. However, only a party's request for an additional panel, with the evaluator's written notice under this section attached, or an order by a Workers' Compensation Administrative Law Judge, will be acted upon by the Medical Director to issue a new QME panel in another specialty in the claim.
(e) In the event a new injury or illness is claimed involving the same type of body part or body system and the parties are the same, or in the event either party objects to any new medical issue within the evaluator's scope of practice and clinical competence, the parties shall utilize to the extent possible the same evaluator who reported previously.
(f) Unless the Appeals Board or a Workers' Compensation Administrative Law Judge orders otherwise or the parties agree otherwise, whenever a party is legally entitled to depose the evaluator, the evaluator shall make himself or herself available for deposition within at least one hundred twenty (120) days of the notice of deposition and, upon the request of the unrepresented injured worker and whenever consistent with Labor Code section 5710, the deposition shall be held at the location at which the evaluation examination was performed, or at a facility or office chosen by the deposing party that is not more than 20 miles from the location of the evaluation examination. 
(g)(1) Where the evaluation is performed on or before June 30, 2013, for injuries that occurred before January 1, 2013, whenever an Agreed Medical Evaluator or Qualified Medical Evaluator provides an opinion in a comprehensive medical/legal report on a disputed medical treatment issue, the evaluator's opinion shall be consistent with and apply the standards of evidence-based medicine set out in Division 1, Chapter 4.5, Subchapter 1, sections 9792.20 et seq of Title 8 of the California Code of Regulations (Medical Treatment Utilization Schedule). In the event the disputed medical treatment, condition or injury is not addressed by the Medical Treatment Utilization Schedule, the evaluator's medical opinion shall be consistent with and refer to other evidence-based medical treatment guidelines, peer reviewed studies and articles, if any, and otherwise shall explain the medical basis for the evaluator's reasoning and conclusions.
(2) For any evaluation performed on or after July 1, 2013, pursuant to Labor Code Section 4061, and regardless of the date of injury, an Agreed Medical Evaluator or Qualified Medical Evaluator shall not provide an opinion on any disputed medical treatment issue, but shall provide an opinion about whether the injured worker will need future medical care to cure or relieve the effects of an industrial injury.
NOTE

Authority cited: Sections 133, 139.2, 4062.3 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064, 4067, 4604.5, 4610.5, 4628, 5703.5,  5307.27 and 5710, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section heading and section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
3. Redesignation of former subsection (c) as subsection (c)(1), new subsection (c)(2), redesignation and amendment of former subsection (g) as new subsection (g)(1), new subsection (g)(2) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§36. Service of Comprehensive Medical-Legal Evaluation Reports by Medical Evaluators Including Reports Under Labor Code Section 4061.
Note     •     History

(a) Whenever an injured worker is represented by an attorney, the evaluator shall serve each comprehensive medical-legal evaluation report, follow-up comprehensive medical-legal evaluation report and supplemental evaluation report on the injured worker, his or her attorney and on the claims administrator, or if none the employer, by completing QME Form 122 (AME or QME Declaration of Service of Medical-Legal Report Form)(See, 8 Cal. Code Regs. §122) and attaching QME Form 122 to the report, unless section 36.5 of Title 8 of the California Code of Regulations applies. If applicable in a claim involving disputed injury to the psyche, the evaluator shall comply with the requirements of section 36.5 of Title 8 of the California Code of Regulations (Service of Comprehensive Medical-Legal Report in Claims of Injury to the Psyche)(See, 8 Cal. Code Regs. §§36.5, 120 and 121). 
(b) Whenever an injured worker is not represented by an attorney, the Qualified Medical Evaluator shall serve each comprehensive medical-legal evaluation report, follow-up evaluation report or supplemental report that addresses only disputed issues outside of the scope of Labor Code section 4061, by completing the questions and declaration of service on the QME Form 111 (QME Findings Summary Form) (See, 8 Cal. Code Regs. §111), and by serving the report with the QME Form 111 attached, on the injured worker and the claims administrator, or if none on the employer, unless section 36.5 of Title 8 of the California Code of Regulations applies. If applicable in a claim involving disputed injury to the psyche, the evaluator shall comply with the requirements of section 36.5 of Title 8 of the California Code of Regulations (Service of Comprehensive Medical-Legal Report in Claims of Injury to the Psyche)(See, 8 Cal. Code Regs. §§36.5, 120 and 121.)
(c) Whenever the evaluator is serving a medical-legal evaluation report that addresses or describes findings and conclusions pertaining to permanent impairment, permanent disability or apportionment of an unrepresented injured worker, the evaluator shall serve the evaluation report, the completed QME Form 111 (QME Findings Summary Form) (See, 8 Cal. Code Regs. §111), DWC-AD Form 100 (DEU) (Employee's Disability Questionnaire)(See, 8 Cal. Code Regs. §§10160 and 10161) and DWC-AD Form 101 (DEU) (Request for Summary Rating Determination of Qualified Medical Evaluator's Report)(See, 8 Cal. Code Regs. §§10160 and 10161), with the document cover sheet, DWC-CA form 10232.1 (see, 8 Cal. Code Regs. §10232.1), and separator sheet, DWC-CA form 10232.2 (see, 8 Cal. Code Regs. §10232.2), as required by Title 8, California Code of Regulations section 10160(d)(4), on the local DEU office, at the same time as serving the report, QME Form 111, DWC-AD Form 100 (DEU) and DWC-AD Form 101 (DEU) on the claims administrator, or if none the employer, and on the unrepresented employee within the time frames specified in section 38 of Title 8 of the California Code or Regulations, unless section 36.5 of Title 8 of the California Code of Regulations applies. If applicable, in cases involving disputed injury to the psyche, the evaluator shall follow the procedures described in section 36.5 of Title 8 of the California Code of Regulations (Service of Comprehensive Medical-Legal Report in Claims of Injury to the Psyche)(See, 8 Cal. Code Regs.§§36.5, 120 and 121). 
(d) If an evaluation report is completed for an unrepresented employee, in which the QME determines that the employee's condition has not become permanent and stationary as of the date of the evaluation, the parties shall request any further evaluation from the same QME if the QME is currently an active QME and available at the time of the request for the additional evaluation. If the QME is unavailable, a new panel may be issued to resolve any disputed issue(s). If the evaluator is no longer a QME, he/she may issue a supplemental report as long as a face-to-face evaluation (as defined in section 49(b) of Title 8 of the California Code of Regulations) with the injured worker is not required. In no event shall a physician who is not a QME or no longer a QME perform a follow up evaluation on an unrepresented injured worker.
(e) Except as provided in Section 37 concerning a request for factual correction, after a Qualified Medical Evaluator has served a comprehensive medical-legal report that finds and describes permanent impairment, permanent disability or apportionment in the case of an unrepresented injured worker, the QME shall not issue any supplemental report on any of those issues in response to a party's request until after the Disability Evaluation Unit has issued an initial summary rating report, or unless the evaluator is otherwise directed to issue a supplemental report by the Disability Evaluation Unit, by the Administrative Director or by a Workers' Compensation Administrative Law Judge. A party wishing to request a supplemental report pursuant to subdivision 10160(f) of Title 8 of the California Code of Regulations, based on the party's objection to or need for clarification of the evaluator's discussion of permanent impairment, permanent disability or apportionment, may do so only by sending the detailed request, within the time limits of subdivision 10160(f), directly to the DEU office where the report was served by the evaluator and not to the evaluator until after the initial summary rating has been issued. 

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 4060, 4061, 4062, 4062.1, 4062.2, 4064, 4067, 4600 and 4660-4664, Labor Code. 
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section heading, section and Note filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
4. Amendment of subsection (e) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§36.1. The Qualified or Agreed Medical Evaluator's Findings Summary Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending section filed 11-9-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 45).
3. Amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
4. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§36.5. Service of Comprehensive Medical/Legal Report in Claims of Injury to the Psyche.
Note     •     History

(a) For any evaluation involving a claimed or disputed injury to the psyche, the injured worker shall be advised by the evaluator that the employee's copy of the comprehensive medical-legal report, and any follow up or supplemental reports, from the evaluation may be served either directly on the injured worker or instead on a physician designated in writing by the injured worker prior to leaving the evaluator's office, for the purpose of reviewing and discussing the evaluation report with the injured worker. The evaluator shall explain that the designated physician may be but need not be the injured worker's primary treating physician in the workers' compensation claim and that the employer will be responsible for payment for one office visit with the designated physician for this purpose.
(b) Whenever injury to the psyche is claimed and in the course of the evaluation, the evaluator makes a determination pursuant to Health and Safety Code section 123115(b) that there is a substantial risk of significant adverse or detrimental medical consequences to the injured worker from seeing or receiving a copy of part or all of evaluation report which is a mental health record, the evaluator shall do all of the following:
(1) Complete QME Form 121 (Declaration Regarding Protection of Mental Health Record);
(2) Advise the injured worker that the determination under Health and Safety Code 123115(b) has been made regarding the evaluation report as a mental health record and that the evaluator only may serve the injured worker's copy of the evaluation report on a person who is a licensed physician, as defined in Labor Code section 3209.3, whose name the injured worker may designate in writing prior to leaving the evaluator's office, or on the employee's attorney, if any; 
(3) Permit inspection and copying of the mental health record(s) subject to the Health and Safety Code section 123115(b) determination, only by a licensed physician as defined in Labor Code section 3209.3 or another health care provider as defined in Health and Safety Code section 123105(a);
(4) Complete the QME Form 121 and enter the name and address of the physician designated in writing by the injured worker on this form;
(5) Attach a completed copy of QME Form 121 (Declaration Regarding Protection of Mental Health Record) to the copy of the evaluation report in the injured worker's medical or medical-legal file;
(6) Serve the completed comprehensive medical-legal evaluation report, follow-up medical-legal report or supplemental medical-legal report(s) subject to the provisions of this section, with the completed QME Form 121 (Declaration Regarding Protection of Mental Health Record) attached, on the licensed physician designated by the injured worker on QME Form 121, and on the claims administrator, and on each party's attorney, if any, as provided in section 36, and within the time periods in section 38, of Title 8 of the California Code of Regulations. In the event the injured worker designates a physician on QME Form 121 other than the current primary treating physician in his or her workers' compensation claim, the evaluator shall also serve a copy of the report with the QME Form 121 attached on the primary treating physician; 
(7) Whenever the report addresses any permanent impairment, permanent disability or apportionment and the injured worker is not represented by an attorney, a copy of the report with the completed QME Form 121 attached shall also be served on the appropriate office of the Disability Evaluation Unit, along with the QME Form 111 (QME's Findings Summary Form), and DWC-AD form 100 (DEU) (Employee's Disability Questionnaire)(See, 8 Cal. Code Regs. §§10160 and 10161) and DWC-AD form 101 (DEU) (Request for Summary Rating Determination of Qualified Medical Evaluator's Report)(See, 8 Cal. Code Regs. §§10160 and 10161), with the document cover sheet, DWC-CA form 10232.1 (see, 8 Cal. Code Regs. §10232.1), and separator sheet, DWC-CA form 10232.2 (see, 8 Cal. Code Regs. §10232.2), as required by Title 8, California Code of Regulations section 10160(d)(4);
(8) Whenever the report addresses permanent impairment, permanent disability or apportionment and the injured worker is represented by an attorney, a copy of the report with the completed QME Form 121 attached shall be served with QME Form 122 (AME or QME Declaration of Service of Medical-Legal Report) on the physician designated by the injured worker, the injured worker's attorney and on the claims administrator's attorney, or if none on the claims administrator. 
(c) “Mental health record” for the purposes of this subdivision means a medical treatment or evaluation record created by or received and reviewed by a licensed physician, as defined in Labor Code section 3209.3, in the course of treating or evaluating the injured worker in a workers' compensation claim, and includes for the purposes of this subdivision but is not limited to, treatment records and comprehensive medical-legal reports. 
(d) Upon serving the employee's copy of the medical-legal report in compliance with subdivisions 36.5(b)(6), 36.5(b)(7) or 36.5(b)(8) of Title 8 of the California Code of Regulations on the physician designated by the employee on the QME Form 121 (Declaration Regarding Protection of Mental Health Record), the evaluator's obligation to serve the report on the injured worker under Labor Code sections 139.2(j)(1) and 4061(c), and section 36 of Title 8 of the California Code of Regulation, shall be deemed satisfied. 
(e) Mental health records subject to a determination under Health and Safety Code section 123115(b) and this subdivision shall be kept confidential by the claims administrator and all parties' attorneys in the case unless ordered otherwise by a Workers' Compensation Administrative Law Judge. Whenever such a mental health record is filed by a party at the Workers' Compensation Appeals Board, the party filing such a record shall request and obtain a protective order from a Workers' Compensation Administrative Law Judge that shall specify in what manner the mental health record may be inspected, copied and entered into evidence.
(f) Whenever the injured worker advises the evaluator that he or she prefers to have the evaluation report served on a designated physician as provided in subdivision 36.5(b) above, and the evaluator does not make a determination pursuant to Health and Safety Code section 123115(b), the evaluator shall provide QME Form 120 (Voluntary Directive for Alternate Service of Medical-Legal Report) (See, 8 Cal. Code Regs. §120) to the injured worker and shall request the injured worker to complete the form before leaving the evaluator's office. 
(g) Upon receipt by the evaluator of a QME Form 120 completed by the injured worker, the evaluator shall attach the original executed QME Form 120 to the original medical-legal report for service on the claims administrator, or if none on the employer. The evaluator shall serve the evaluation report with QME Form 120 attached by completing the questions and the declaration of proof of service on QME Form 111 (Qualified Medical Evaluator's Findings Summary Form)(See, 8 Cal. Code Regs. §111). In the case of an unrepresented injured worker, the evaluator shall serve the report with the required forms as provided in subdivision 36.5(b)(7) of Title 8 of the California Code of Regulations. In the case of a represented injured worker, the evaluator shall serve the report with QME Form 120 attached, by completing the declaration of service on QME Form 122 (AME or QME Declaration of Service of Medical-Legal Report)(See, 8 Cal. Code §122) and serving it with the report. 
(h) Whenever an evaluation report is being served on a designated physician with QME Form 120 (Voluntary Directive for Alternate Service of Medical-Legal Report) (See, 8 Cal. Code Regs. §120), the evaluator shall serve two copies of the medical-legal report with the QME Form 120 attached on the physician designated on the form by the injured worker, at the same time as serving the copies of the medical-legal report on the claims administrator, or if none on the employer, and on the injured worker's attorney if any. Service of a medical-legal report by an evaluator in compliance with this subdivision shall satisfy the evaluator's obligation to serve a copy of the report on the employee under Labor Code sections 139.2(j)(1) and 4061(c,) and section 36 of Title 8 of the California Code of Regulations.
(i) The physician designated by the injured worker in writing and listed on QME Form 120 or QME Form 121 shall not be limited to the primary treating physician in the disputed workers' compensation claim. As an additional medical treatment expense incurred in the claim within the meaning of section 4600 of the Labor Code, the claims administrator, or if none the employer, shall reimburse the physician designated by the injured worker and listed on either the QME Form 121 (Declaration Regarding Protection of Mental Health Record) or the QME Form 120 (Voluntary Directive for Alternate Service of Medical-Legal Evaluation Report on Disputed Injury to the Psyche), for one office visit, when used, for the purpose of reviewing and discussing the evaluator's report with injured worker, at the applicable rate under section 9789.11 (Physician Services Rendered on or After July 1, 2004) of Title 8 of the California Code of Regulations for an office visit and may include, as appropriate, record review, any necessary face-to-face time during the visit in excess of that specified in the applicable CPT office visit code, and charges, for time required to prepare a treatment report pertaining to the office visit, if necessary.
(j)Whenever the comprehensive medical-legal report is served by the evaluator on a physician pursuant to subdivision 36.5(f) with the QME Form 120 (Voluntary Directive for Alternate Service of Medical-Legal Report on Disputed Injury to the Psyche) attached, one of the two copies of the medical-legal report served on the designated physician shall be provided to the injured worker by the designated physician during the office visit.
(k) In the event the injured worker refuses or fails to designate a physician in writing to be listed on either QME Form 120 or QME Form 121, the evaluator shall serve the report as appropriate under section 36 or section 36.5, and within the time periods under section 38, of Title 8 of the California Code of Regulations, except that the injured worker's copy of the report which is subject to a finding under Health and Safety Code §123115(b) shall then be served only on the injured worker's attorney, if represented, or if not represented on the injured worker's primary treating physician. 

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 56-56.37, Civil Code; Sections 4060, 4061, 4062, 4062.1, 4062.2, 4064, 4067, 4600 and 4660-4664, Labor Code; Section 123115(b), Health and Safety Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§37. Request for Factual Correction of a Comprehensive Medical-Legal Report from a Panel QME.
Note     •     History

(a) An unrepresented employee or the claims administrator may request the factual correction of a comprehensive medical-legal report within 30 days of the receipt of a comprehensive medical-legal report from a panel Qualified Medical Evaluator.
(b) A request for factual correction using the form in subdivision (f) shall be served on the panel Qualified Medical Evaluator who examined the injured worker, the party who did not file the request, and the Disability Evaluation Unit office where the comprehensive medical-legal report was served. If the request for factual correction is served by the claims administrator, the injured worker shall have five (5) days after the service of the request for factual correction to respond to the corrections mentioned in the request. The injured workers' response shall be served on the panel Qualified Medical Evaluator and the claims administrator.
(c) If the request for factual correction is filed by the injured worker, the panel Qualified Medical Evaluator shall have ten (10) days after service of the request to review the corrections requested in the form and determine if factual corrections are necessary to ensure the factual accuracy of the comprehensive medical-legal report. If the request for factual correction is filed by the claims administrator or by both parties, the time to review the request for correction shall be extended to fifteen (15) days after the service of the request for correction. 
(d) At the end of the period for the panel QME to review the request for factual correction in subdivision (c), the panel QME shall file a supplemental report with the DEU office where the original comprehensive medical-legal report was filed indicating whether the factual correction of the comprehensive medical-legal report is necessary to ensure the factual accuracy of the report and, where factual corrections are necessary, if the factual corrections change the opinions of the panel QME stated in the report. 
(e) In no event shall a party file any documents with the panel QME other than the form indicating the facts that should be corrected; nor shall the panel QME review any documents not previously filed with the panel QME pursuant to Section 35 of these rules. 
(f) Request for Factual Correction of an Unrepresented Panel QME report form. [Form 37]

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NOTE: Form referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133 and 4061, Labor Code. Reference: Section 4061, Labor Code.
HISTORY

1. New section and new QME Form 37 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2009, No. 3.
§38. Medical Evaluation Time Frames; Extensions for QMEs and AMEs.
Note     •     History

(a) The time frame for an initial or a follow-up comprehensive medical-legal evaluation report to be prepared and submitted shall not exceed thirty (30) days after the QME, Agreed Panel QME or AME has seen the employee or otherwise commenced the comprehensive medical-legal evaluation procedure. If an evaluator fails to prepare and serve the initial or follow-up comprehensive medical-legal evaluation report within thirty (30) days and the evaluator has failed to obtain approval from the Medical Director for an extension of time pursuant to this section, the employee or the employer may request a QME replacement pursuant to section 31.5 of Title 8 of the California Code of Regulations. Neither the employee nor the employer shall have any liability for payment for the medical evaluation which was not completed within the timeframes required under this section unless the employee and the employer each waive the right to a new evaluation and elect to accept the original evaluation, in writing or by signing and returning to the Medical Director either QME Form 113 (Notice of Denial of Request For Time Extension) or QME Form 116 (Notice of Late QME/AME Report - No Extension Requested) (See, 8 Cal. Code Regs. §§113 and 116).
(b) All requests by an evaluator for extensions of time shall be made on form 112 (QME/AME Time Frame Extension Request) (See, 8 Cal. Code Regs. §112). If the evaluation will not be completed on the original due date, the evaluator may request an extension from the Medical Director, not to exceed an additional 30 days. An extension of the time for completing the report shall be approved, as follows:
(1) When the evaluator has not received test results or the report of a consulting physician, necessary to address all disputed medical issues in time to meet the initial 30-day deadline, an extension of up to thirty (30) days shall be granted;
(2) When the evaluator has good cause, as defined in Labor Code section 139.2(j)(1)(B), an extension of fifteen (15) days shall be granted.
(c) Not later than 5 days before the initial 30-day period to complete and serve the report expires, the evaluator shall notify the Medical Director, the employee and the claims administrator, or if none, the employer, of the request for an extension by use of QME Form 112 (QME/AME Time Extension Request) (See, 8 Cal. Code Regs. §112).
(d) The Medical Director shall notify the requesting evaluator and the parties of the decision on the extension request by completion of the box at the bottom of QME Form 112 (QME/AME Time Frame Extension Request)(See, 8 Cal. Code Regs. §112). In the event that a request for an extension of time is denied, the Medical Director shall also send the parties QME Form 113 (Notice of Denial of Request for Time Extension)(See, 8 Cal. Code Regs. §113) to be used by each party to state whether the party wishes to request a new evaluator or to accept the late report of the original evaluator. 
(e) Whenever the Medical Director becomes aware that the report of a Qualified Medical Evaluator or an Agreed Medical Evaluator has not been completed within the required time under section 38 and no extension of time was requested by the evaluator, the Medical Director shall send the parties a Notice of Late QME/AME Report - No Extension Requested (QME Form 116) (See, 8 Cal. Code Regs. §116). Each party shall complete the form and return it to the Medical Director in order to indicate whether or not the party wishes to accept the late report.
(f) Good cause, as defined in Labor Code section 139.2(j)(1)(B) and section 38(b)(2) of Title 8 of the California Code of Regulations, means:
(1) medical emergencies of the evaluator or the evaluator's family;
(2) death in the evaluator's family;
(3) natural disasters or other community catastrophes that interrupt the operation of the evaluator's office operations;
(g) Extensions shall not be granted because relevant medical information/records (including Disability Evaluation Form 101 (Request for Summary Determination of Qualified Medical Evaluator's Report) (See, 8 Cal. Code Regs. §10161)) have not been received. The evaluator shall complete the report based on the information available and state that the opinions and/or conclusions may or may not change after review of the relevant medical information/records.
(h) Except as provided in Section 37 with respect to a request for factual correction, the time frame for supplemental reports shall be no more than sixty (60) days from the date of a written or electronically transmitted request to the physician by a party. The request for a supplemental report, except for requests for factual correction, shall be accompanied by any new medical records that were unavailable to the evaluator at the time of the original evaluation and which were properly served on the opposing party as required by Labor Code section 4062.3. An extension of the sixty (60) day time frame for completing the supplemental report, of no more than thirty (30) days, may be agreed to by the parties without the need to request an extension from the Medical Director. 
(i) Evaluators requesting time extensions will be monitored and advised by the Medical Director when such a request appears unreasonable or excessive. Failure to comply with this section may constitute grounds for denial of the QME's request for reappointment pursuant to section 51 of Title 8 of the California Code of Regulations.

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2(j)(1), 4061, 4062 and 5307.3, Labor Code. Reference: Sections 139.2, 4061, 4062, 4062.1, 4062.2, 4062.5, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of subsections (a) and (b), new subsections (c)-(c)(3) and subsection relettering, and amendment of newly designated subsection (d) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
5. Amendment of subsection (h) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§38.1. The QME and AME Time Frame Extension Request Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending form filed 4-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
3. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§38.2. “The Time Extension Approval” Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending section filed 3-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
3. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§38.3. The “Denial of Time Extension” Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section heading and repealer and new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§38.4. The “Notice of Late QME Report” Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§39. Destruction of Records by the Medical Director.
Note     •     History

The Medical Director may destroy any forms filed pursuant to these regulations five years after the date of receipt, provided that the completed “Application for Appointment as Qualified Medical Evaluator” form shall be preserved for each QME during the period(s) of his or her appointment as a QME. The “Request for Qualified Medical Evaluator” forms may be destroyed by the Medical Director two years after the date of receipt.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code; and Section 14755, Government Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§39.5. Retention of Records by QMEs.
Note     •     History

(a) All QMEs shall retain a copy of all comprehensive medical-legal reports completed by the QME for a period of five years from the date of each evaluation report. A QME may satisfy this requirement by retaining only an electronic copy of the report, as long as the electronic copy retained is a true and correct copy of the original, showing the QME signature, that was served on the parties. Upon written request, a QME is required to return original radiological films, imaging studies and original medical records to the person who supplied the original records to the QME or to the injured worker.
(b) An evaluator shall submit all comprehensive medical/legal reports performed as a QME under this article to the Medical Director upon request for a review by the Medical Director. Failure to submit evaluations upon request by the Medical Director may constitute grounds for disciplinary action pursuant to Section 60.
NOTE

Authority cited: Sections 133, 139.2(j)(1) and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4062.5, Labor Code; and Section 14755, Government Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 4. Evaluation Procedures
§40. Disclosure Requirements: Injured Workers.
Note     •     History

(a) An evaluator selected from a QME panel shall advise an injured worker prior to or at the time of the actual evaluation of the following:
(1) That he or she is entitled to ask the evaluator and the evaluator shall promptly answer questions about any matter concerning the evaluation process in which the QME and the injured worker are involved;
(2) That subject to section 41(g), the injured worker may discontinue the evaluation based on good cause. Good cause includes: (A) discriminatory conduct by the evaluator towards the worker based on race, sex, national origin, religion, or sexual preference, (B) abusive, hostile or rude behavior including behavior that clearly demonstrates a bias against injured workers, and (C) instances where the evaluator requests the worker to submit to an unnecessary exam or procedure.
(b) When required as a condition of probation by the Administrative Director or his/her licensing authority, the QME shall disclose his/her probationary status. The QME shall be entitled to explain any circumstances surrounding the probation. If at that time, the injured worker declines to proceed with the evaluation, such termination shall be considered by the Administrative Director to have occurred for good cause.
(c) If the injured worker declines to ask any questions relating to the evaluation procedure as set forth in section 40(a), and does not otherwise object on the grounds of good cause to the exam proceedings under section 41(a) during the exam itself, the injured worker shall have no right to object to the QME comprehensive medical-legal evaluation based on a violation of this section.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2 and 4067, Labor Code.
HISTORY

1. New article 4 heading and section filed 4-11-95; operative 5-11-95 (Register 95, No. 15).
2. Amendment of article 4 heading filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§41. Ethical Requirements.
Note     •     History

(a) All QMEs, regardless of whether the injured worker is represented by an attorney, shall:
(1) Maintain a clean, professional physician's office (as defined in section 1(y) at all times which shall contain functioning medical instruments and equipment appropriate to conducting the evaluation within the physician's scope of practice and a functioning business office phone with the phone number listed with the Medical Director for that location which a party may use to schedule an examination or to handle other matters related to a comprehensive medical/legal evaluation. 
(2) Schedule all appointments for comprehensive medical-legal evaluations without regard to whether a worker is unrepresented or represented by an attorney. A QME shall not refuse to schedule an appointment with an injured worker solely because the worker is not represented by an attorney or because a promise to reimburse or reimbursement is not made prior to the evaluation. 
(3) Not request the employee to submit to an unnecessary exam or procedure.
(4) Refrain from treating or soliciting to provide medical treatment, medical supplies or medical devices to the injured worker.
(5) Communicate with the injured worker in a respectful, courteous and professional manner.
(6) Refrain from violating section 41.5 of Title 8 of the California Code of Regulations.
(7) Refrain from unilaterally rescheduling a panel QME examination more than two times in the same case.
(8) Refrain from cancelling a QME examination less than six (6) business days from the date the exam is scheduled without good cause and without providing a new examination date within thirty (30) calendar days of the date of cancellation. 
(b) Evaluators selected from a QME panel provided by the Administrative Director shall not engage in ex parte communication in violation of Labor Code section 4062.3.
(c) All QMEs, regardless of whether the injured worker is represented by an attorney, shall with respect to his or her comprehensive medical-legal evaluation:
(1) Refuse any compensation from any source contingent upon writing an opinion that in any way could be construed as unfavorable to a party to the case.
(2) Review all available relevant medical and non-medical records and/or facts necessary for an accurate and objective assessment of the contested medical issues in an injured worker's case before generating a written report. The report must list and summarize all medical and non-medical records reviewed as part of the evaluation.
(3) Render expert opinions or conclusions without regard to an injured worker's race, sex, national origin, religion or sexual preference.
(4) Render expert opinions or conclusions only on issues which the evaluator has adequate qualifications, education, and training. All conclusions shall be based on the facts and on the evaluator's training and specialty-based knowledge and shall be without bias either for or against the injured worker or the claims administrator, or if none the employer.
(5) Present a report that addresses all relevant and contested medical issues as presented on one or more claim forms, is ratable by the DEU, if applicable, and complies with all relevant guidelines of the Administrative Director.
(6) Date the report on the date it is completed and ready for signature and service on the parties. No report shall be dated on the date of the evaluation examination unless the full written text of the report is completed and ready for signature and service on that same date.
(7) Write all portions of the report that contain discussion of medical issues, medical research used as the basis for medical determinations, and medical conclusions made by the evaluator. In the event more than one evaluator signs a single report, each signing physician shall clearly state those parts of the employee evaluation examination performed and the portions of the report discussion and conclusion drafted by the signing evaluator. Where a consultation report is obtained by an evaluator from a physician in a different specialty, the consultation report shall be incorporated by reference into the final report and appended to the referring QME's report.
(8) Serve the report as provided in these regulations at the same time on the employee and the claims administrator, or if none the employer, and on each of their attorneys, respectively.
(d) All aspects of all physical and/or psychological comprehensive medical-legal evaluations, including history taking, shall be directly related to contested medical issues as presented by any party or addressed in the reports of treating physician(s). No evaluator shall engage in any physical contact with the injured worker which is unnecessary to complete the examination. 
(e) No physician certified by the Administrative Director as a QME, or his or her agent, shall contact an evaluator for the purpose of influencing that evaluator's opinions or conclusions in any comprehensive medical-legal evaluation or report.
(f) No evaluator shall schedule appointments to the extent that any injured worker will be required to wait for more than one hour at the evaluator's office prior to being seen for the previously agreed upon appointment time for an evaluation. An injured worker who is not seen by the evaluator within one hour may terminate the exam and request a replacement evaluator from the Administrative Director. No party shall be liable for the terminated exam. The evaluator may explain any reasons for the delay to the injured worker and, provided both parties agree, the evaluation may proceed or be rescheduled for a later date. If the evaluation is rescheduled, the evaluator shall provide notice of the new date of the evaluation to the parties within 5 business days after rescheduling the appointment.
(g) If the injured worker terminates the examination process based on an alleged violation of section 35(k), 40, 41(a) or 41.5 of Title 8 of the California Code of Regulations, and the Appeals Board later determines that good cause did not exist for the termination, the cost of the evaluation shall be deducted from the injured worker's award. A violation of section 40 or of any part of section 41(a) or 41.5 by the evaluator shall constitute good cause for purposes of an Appeals Board determination. No party shall be liable for any cost for medical reports or medical services delivered as a result of an exam terminated for good cause.
(h) Nothing in this section shall require an evaluator to undertake or continue a comprehensive medical-legal evaluation where the injured worker or his/her representative uses abusive language towards the evaluator or evaluator's staff or deliberately attempts to disrupt the operation of the evaluator's office in any way. The evaluator shall state under penalty of perjury, the facts supporting the termination of the evaluation process. Upon request, the Medical Director shall investigate the facts and make a final determination of the issue(s).
(i) Nothing in this section shall require an evaluator selected from a panel to undertake or continue a comprehensive medical-legal evaluation where the injured worker is intoxicated or under the influence of any medication which impairs the injured worker's ability to participate in the evaluation process. The evaluator shall state under penalty of perjury, the facts supporting the termination of the evaluation process. Upon request, the Medical Director shall investigate the facts and make a final determination of the issue(s).
NOTE

Authority cited: Sections 133, 139.2, 5307.3 and 5307.6, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.3, 4062.5, 4067 and 4628, Labor Code.
HISTORY

1. New section filed 4-11-95; operative 5-11-95 (Register 95, No. 15).
2. New subsection (b), subsection relettering, and amendment of redesignated subsection (b)(1) filed 7-18-95 as an emergency; operative 7-18-95 (Register 95, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-15-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-18-95 order including amendment of subsection (b), deletion of subsection (b)(1) designator, and amendment of Note transmitted to OAL 11-14-95 and filed 12-21-95 (Register 95, No. 51).
4. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
5. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§41.5. Conflicts of Interest by Medical Evaluators.
Note     •     History

(a) An evaluator shall not request or accept any compensation or other thing of value from any source that does or could create a conflict with his or her duties as an evaluator under the Labor Code or the regulations of the Administrative Director (Title 8 of the California Code of Regulations, Chapters 1 through 1.8, section 1 et seq) or of the Workers' Compensation Appeals Board (Title 8 of the California Code of Regulations, Chapters 1.9, sections 10600 through 10727) .
(b) A conflict with the duties of an evaluator as used in Labor Code section 139.2(o) means having a disqualifying conflict of interest with one or more of the persons or entities described in subdivision (c) and failing to disclose the fact of the conflict.
(c) The persons or entities with whom a disqualifying conflict of interest can exist are:
(1) The injured worker, or his or her attorney;
(2) The employer, or the employer's attorney;
(3) The claims adjuster or insurer or third party administrator, or their attorney, respectively;
(4) Any primary treating physician or secondary physician for the employee, if the treatment provided by that physician is disputed in the case;
(5) The utilization review physician reviewer or expert reviewer, or utilization review organization, only if the opinion of that reviewer or that utilization review organization is disputed in the case;
(6) The surgical center in which the injured worker had, or is proposed to be used to have, surgery, only if the need for surgery is disputed in the case.
(7) Other purveyor of medical goods or medical services, only if the medical necessity for using such goods or services is in dispute in the case.
(d) “Disqualifying Conflict of Interest” means the evaluator has any of the following relationships or interests with a person or entity listed in subdivision 41.5(c):
(1) A familial relationship of parent, child, grandparent, grandchild, sibling, uncle, aunt, nephew, niece, spouse, financee or cohabitant;
(2) A significant disqualifying financial interest, as defined below, including:
(A) Employment or a promise of employment;
(B) An interest of five (5) % or more in the fair market value of any form of business entity involved in workers' compensation matters, or of private real property or personal property, or in a leasehold interest;
(C) Five (5) % or more of the evaluator's income is received from direct referrals by or from one or more contracts with a person or entity listed in subdivision 41.5(c), except that contracts for participation in a Medical Provider Network as defined under Labor Code section 4616 et seq shall be excluded;
(D) A financial interest as defined in Labor Code section 139.3 that would preclude referral by the evaluator to such a person or entity;
(E) A financial interest as defined under the Physician Ownership and Referral Act of 1993 (PORA) set out in Business and Professions Code sections 650.01 and 650.02 that would preclude referral by the evaluator to such a person or entity.
(3) A professional affiliation which means the evaluator performs services in the same medical group or other business entity comprised of medical evaluators who specialize in workers' compensation medical - legal evaluations;
(4) Any other relationship or interest not addressed by subdivisions (d)(1) through (d)(3) which would cause a person aware of the facts to reasonably entertain a doubt that the evaluator would be able to act with integrity and impartiality.
(e) An Agreed Medical Evaluator or a Qualified Medical Evaluator may disqualify himself or herself on the basis of a conflict of interest pursuant to this section whenever the evaluator has a relationship with a person or entity in a specific case, including doctor-patient, familial, financial or professional, that causes the evaluator to decide it would be unethical to perform a comprehensive medical-legal evaluation examination or to write a report in the case. 
(f) An Agreed Medical Evaluator or Qualified Medical Evaluator who knows, or should know, that he or she has a disqualifying conflict of interest with any person or entity listed in subdivision 41.5(c), that also is involved in the specific workers' compensation claim identified to the evaluator, shall send written notification to the injured worker and the claims administrator, or if none the employer, or their respective attorneys if any, within five (5) business days of the evaluator becoming aware of the conflict. The written notice shall include, at a minimum: 1) disclosure that a disqualifying conflict of interest exists; 2) the person or entity with whom the conflict arises; and 3) the category of conflict, such as familial, significant financial, or other type of ethical conflict. Whenever the evaluator declines to perform an evaluation due to disqualifying himself or herself pursuant to subdivision 41.5(e), the parties shall be entitled to a replacement QME or, in represented cases a replacement panel pursuant to section 31.5 of Title 8 of the California Code of Regulations. Whenever the evaluator notifies the parties of a conflict without stating that he or she declines to perform the evaluation, the parties shall follow the procedures set out in section 41.6 of Title 8 of the California Code of Regulations. In any case in which the injured worker is not represented by an attorney, the evaluator shall fax a copy of the notice of conflict to the Medical Unit of the Division of Workers' Compensation at the same time it is sent to the parties. 
(g) Any injured worker or claims administrator or if none the employer, including his or her attorney respectively, who knows of, or becomes aware of, a potential disqualifying conflict of interest, as defined under this section, with a specific evaluator selected to perform a comprehensive medical/legal examination and report or a follow up examination and report, shall notify the selected evaluator in writing at the earliest opportunity and no later than within five (5) business days of becoming aware of the potential conflict, to enable the evaluator to determine whether the disqualifying conflict exists. The notice shall include the person with whom the alleged conflict exists and the nature of the conflict. A copy of this notice shall be served on the opposing party at the same time as it is sent to the evaluator. The evaluator shall review the information provided and advise the parties in writing within five (5) business days of receipt of the notice whether the evaluator has a conflict of interest as specified in this section.
NOTE

Authority cited: Sections 133, 139.2(o) and 5307.3, Labor Code. Reference: Sections 139.2 and 139.3, Labor Code; and Sections 650.01 and 650.02, Business and Professions Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§41.6. Procedures After Notice of Conflict of Interest and Waivers of Conflicts of Interest of an Evaluator.
Note     •     History

(a) Whenever an Agreed or Qualified Medical Evaluator notifies the parties that a disqualifying conflict of interest exists, and even if it arises after the evaluator has performed an initial or follow up comprehensive medical-legal evaluation, the parties shall use the following procedures.
(b) An evaluator shall proceed with any scheduled evaluation involving a physical examination or supplemental report in the case, unless either the evaluator declines to proceed due to disqualifying himself or herself pursuant to section 41.5(e) of Title 8 of the California Code of Regulations or unless, pursuant to this section, the injured worker or the claims administrator is entitled to a replacement QME. 
(c) Within five (5) business days of receipt of the evaluator's notice of conflict:
(1) If the injured worker is not represented by an attorney, the parties shall obtain a new evaluator by following the procedure provided under section 31.5 of Title 8 of the California Code of Regulations and a replacement QME, or when necessary replacement QME panel, shall be issued. 
(2) If the injured worker is represented by an attorney, each party shall notify the evaluator and the opposing party in writing of the party's decision either to waive the conflict or to object to the evaluator on the basis of the evaluator's conflict. Whenever either party objects to the evaluator due to a conflict, the parties shall obtain a new evaluator by following the procedures provided in Labor Code section 4062.2 and section 31.5 of Title 8 of the California Code of Regulations. 
(3) In the event the parties in a represented case wish to waive a conflict of interest, any such waiver shall be valid only if the general nature of the conflict of interest is disclosed in writing and on the same document, or duplicate copies of the same document, each party has signed a statement indicating that the signing party understands that the evaluator has a conflict of interest, the party understands the nature of the conflict, and the party wishes to waive the opportunity to obtain another evaluator. The signature of an attorney shall have the same effect as the signature of the party represented by the attorney, if a copy of the document signed by the attorney is served on the represented party by the attorney or by any other party or attorney. It shall be the duty of the attorney to serve a copy of the signed document on the party-client. 
(d) Any dispute over whether a conflict of interest of an evaluator may affect the integrity and impartiality of the evaluator with respect to an evaluation report or supplemental report, and any dispute over waiver of an evaluator's conflict under this section, shall be determined by a Workers' Compensation Administrative Law Judge. 
NOTE

Authority cited: Sections 133, 139.2(o) and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§41.7. Gifts to Medical Evaluators.
Note     •     History

(a) No physician reporting as an Agreed Medical Evaluator or a Qualified Medical Evaluator shall accept gifts that have a total fair market value in the aggregate of three hundred sixty dollars ($ 360) or more, from any single source that handles California workers' compensation matters, in the course of any consecutive twelve months. The sources include, but are not limited to, one or more attorneys, physicians, employers, claims administrators, medical or health care or insurance or utilization review business entities. This prohibition shall not include reasonable and appropriate income earned from a Medical Provider Network as defined in Labor Code sections 4616 et seq, from a Health Care Organization as defined in Labor Code sections 4600.3 et seq, from a Preferred Provider Organization or managed care organization as defined in Health and Safety Code sections 1340 et seq for services performed as a treating physician nor for reasonable and appropriate income paid for services performed as reviewing physician or medical director pursuant to Labor Code section 4610, or for services performed as an Agreed Medical Evaluator or Qualified Medical Evaluator.
(b) For the purposes of this section, “Gift” means any payment to the extent that consideration of equal or greater value is not received. It includes any rebate or discount in the price of anything of value, unless the rebate or discount is also made in the regular course of business to members of the public, and any loan, forgiveness or other thing of value having a fair market value in excess of $ 360 in the aggregate.
(c) Any person who claims that a payment, rebate, discount, loan, forgiveness, or other thing of value is not a gift by reason of receipt of consideration has the burden of proving that the consideration received is of equal or greater value. 
(d) A Qualified Medical Evaluator who violates any portion of this section shall be subject to disciplinary action pursuant to section 60 et seq of these regulations. 
NOTE

Authority cited: Sections 133, 139.2(o) and 5307.3, Labor Code. Reference: Sections 139.2 and 139.3, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§42. Disciplinary Proceedings. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139.2 and 5307.3, Labor Code; Section 11370 et seq., Government Code; and Section 11500 et seq., Government Code. Reference: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code
HISTORY

1. New section filed 4-11-95; operative 5-11-95 (Register 95, No. 15).
2. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§43. Method of Evaluation of Psychiatric Disability.
Note     •     History

(a) For all claims arising before January 1, 2005, not subject to section 43(b), the method of measuring the psychiatric elements of a disability shall be as set forth below in the “Psychiatric Protocols” as adopted by the Industrial Medical Council on July 16, 1992, and amended on March 18 and October 25, 1993. The full text of this document is available at no charge on the web at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the claims administrator, or if none the employer, is not required to provide the notice required by section 4061 to the injured worker, the method of evaluating the psychiatric elements of impairment shall include describing the employee's symptoms, social, occupational and, if relevant, school functioning, and describing the rationale for the evaluator's assignment to a level of impairment as published in the Permanent Disability Rating Schedule adopted by the Administrative Director on or after January 2005 pursuant to section 9805 of Title 8 of the California Code of Regulations. 

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NOTE

Authority cited: Sections 133, 139.2(j)(4) and 5307.3, Labor Code. Reference: Sections 139.2(j)(4), 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code, and Section 9805 of Title 8 of the California Code of Regulations.
HISTORY

1. New section filed 12-7-93; operative 1-6-94 (Register 93, No. 50).
2. Change without regulatory effect amending section filed 3-15-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 11).
3. Change without regulatory effect amending section filed 9-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 36).
4. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
5. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§44. Method of Evaluation of Pulmonary Disability.
Note     •     History

(a) For all claims arising before January 1, 2005, not subject to section 44(b), the method of measuring the pulmonary elements of disability shall be as set forth below in the “Guidelines for Evaluation of Pulmonary Disability” as adopted by the Industrial Medical Council on December 4, 1997. The full text of this document is available at no charge on the web at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the claims administrator, or if none the employer, is not required to provide the notice required by section 4061 to the injured worker, the method of measuring the pulmonary elements of impairment shall be as described in the American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition] (AMA Guides). Permanent disability shall be described by applying the provisions of the Permanent Disability Rating Schedule adopted by the Administrative Director pursuant to section 9805 of Title 8 of the California Code of Regulations.

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NOTE

Authority cited: Section 133, 39.2(j)(2) and 5307.3 Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. New section filed 5-23-94; operative 6-22-94 (Register 94, No. 21).
2. Amendment of section and Note filed 6-19-98; operative 7-19-98 (Register 98, No. 25).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§45. Method of Evaluation of Cardiac Disability.
Note     •     History

(a) For all claims arising before January 1, 2005, not subject to section 45(b), the method of measuring the cardiac elements of disability shall be set forth below in the “Guidelines for Evaluation of Cardiac Disability” as adopted by the Industrial Medical Council on December 4, 1997 and updated on July 19, 1998. The full text of this document is available at no charge on the web at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the claims administrator, or if none the employer, is not required to provide the notice required by section 4061 to the injured worker, the method of measuring the cardiac elements of impairment shall be as described in the American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition] (AMA Guides). Permanent disability shall be described by applying the provisions of the Permanent Disability Rating Schedule adopted by the Administrative Director pursuant to section 9805 of Title 8 of the California Code of Regulations.

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NOTE

Authority cited: Section 133, 139.2(j)(2) and 5307.3, Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code. 
HISTORY

1. New section filed 5-23-94; operative 6-22-94 (Register 94, No. 21).
2. Amendment of section and Note filed 6-19-98; operative 7-19-98 (Register 98, No. 25).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§46. Method of Evaluation of Neuromusculoskeletal Disability.
Note     •     History

(a) For all claims arising before January 1, 2005, not subject to section 46(b), the method of measuring the neuromusculoskeletal elements of disability shall be as set forth below in the “Guidelines for Evaluation of Neuromusculoskeletal Disability” as adopted by the Industrial Medical Council on October 20, 1994. The full text of this document is available on the web at no charge at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the claims administrator, or if none the employer, is not required to provide the notice required by section 4061 to the injured worker, the method of measuring the neuromusculoskeletal elements of impairment shall be as described in the American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition] (AMA Guides). Permanent disability shall be described by applying the provisions of the Permanent Disability Rating Schedule adopted by the Administrative Director pursuant to section 9805 of Title 8 of the California Code of Regulations.

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NOTE

Authority cited: Section 133, 139.2(j)(2) and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. New section filed 4-18-96; operative 4-18-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 16).
2. Change without regulatory effect amending “Guidelines for Evaluation of Neuromusculoskeletal Disability, 2nd Ed.” (incorporated by reference) filed 6-6-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 23).
3. Change without regulatory effect amending Note filed 8-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 31).
4. Amendment of section and Note filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
5. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
6. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§46.1. Guidelines for the Evaluation of Foot and Ankle Disability.
Note     •     History

(a) For all claims before January 1, 2005, not subject to section 46.1(b), the method of measuring the elements of foot and ankle shall be set forth below in the “Guidelines for Evaluation of Foot and Ankle Disability” as adopted by the Industrial Medical Council on October 28, 2000. The full text of this document is available on the web at no charge at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the claims administrator, or if none the employer, is not required to provide the notice required by section 4061 to the injured worker, the method of measuring the elements of foot and ankle impairment shall be described in the American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition] (AMA Guides). Permanent disability shall be described by applying the provisions of the Permanent Disability Rating Schedule adopted by the Administrative Director pursuant to section 9805 of Title 8 of the California Code of Regulations.
NOTE

Authority cited: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4061.5 and 4062, Labor Code.
HISTORY

1. New section and appendices A-C filed 1-8-2003; operative 2-7-2003 (Register 2003, No. 2).
2. Repealer of section and Appendices A-C and new section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§47. Method of Evaluation of Immunologic Disability.
Note     •     History

(a) For all claims before January 1, 2005, not subject to section 47(b), the method of measuring the immunologic elements of disability shall be set forth below in the “Guidelines for Immunologic Testing” as adopted by the Industrial Medical Council on March 17, 1994. The full text of this document id available on the web at no charge at www.dir.ca.gov/IMC/guidelines.html or by calling the Medical Unit at 1-800-794-6900.
(b) For all claims having dates of injury on or after January 1, 2005, and for those compensable claims arising before January 1, 2005, where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the employer is not required to provide the notice required by section 4061 to the injured worker, the method of measuring the immunological elements of impairment shall be described in the American Medical Association, Guides to the Evaluation of Permanent Impairment [Fifth Edition] (AMA Guides). Permanent disability shall be described by applying the provisions of the Permanent Disability Rating Schedule adopted by the Administrative Director pursuant to section 9805 of Title 8 of the California Code of Regulations.

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NOTE

Authority cited: Section 139.2(j)(2), Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 5-23-94; operative 6-22-94 (Register 94, No. 21).
2. Amendment of Note filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Amendment filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§48. QME Ethical Guidelines. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 139.2(j)(2) and (3) and 5307.3, Labor Code. Reference: Sections 139.2(j)(2) and (3), 4060, 4061 and 4062, Labor Code.
HISTORY

1. New section filed 5-23-94; operative 6-22-94 (Register 94, No. 21).
2. Repealer filed 4-11-95; operative 5-11-95 (Register 95, No. 15).
Article 4.5. Minimum Time Guidelines
§49. Definitions.
Note     •     History

The following definitions apply to this Article:
(a) Cardiovascular evaluation. “Cardiovascular evaluation” means the determination of disability due to pathological changes of the heart and/or the central circulatory system.
(b) Face to Face time. “Face to face time” means only that time the evaluator is present with an injured worker. This includes the time in which the evaluator performs such tasks as taking a history, performing a physical examination or discussing the worker's medical condition with the worker. Face to face time excludes time spent on research, records review and report writing. Any time spent by the injured worker with clinical or clerical staff who perform diagnostic or laboratory tests (including blood tests or x-rays) or time spent by the injured worker in a waiting room or other area outside the evaluation room is not included in face to face time.
(c) Medical evaluation. “Medical evaluation” means a comprehensive medical-legal evaluation as defined under section 9793 of Article 5.6, Subchapter 1, Chapter 4.5 of Title 8 of the California Code of Regulations.
(d) Neuromusculoskeletal evaluation. “Neuromusculoskeletal evaluation” means the determination of disability due to injury to the central nervous systems, the spine and extremities, and the various muscle groups of the body.
(e) Psychiatric evaluation. “Psychiatric evaluation” means the determination of disability due to psychopathology, by either a psychiatrist or psychologist following the Method of Measurement of Psychiatric Disability set out in section 43 of Title 8 of the California Code of Regulations.
(f) Pulmonary evaluation. “Pulmonary evaluation” means the determination of disability due to pathological changes of the lungs and/or other components of the respiratory system.
(g) QME. “QME” means Qualified Medical Evaluator appointed by the Administrative Director pursuant to Labor Code section 139.2.
(h) Uncomplicated evaluation. “Uncomplicated evaluation” means a face to face evaluation in which all of the following are recorded in the medical report: Minimal or no review of records, minimal or no diagnostic studies or laboratory testing, minimal or no research, and minimal or no medical history taking.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect relocating article 4.5 heading and renumbering former section 149 to new section 49 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Change without regulatory effect amending article heading filed 9-28-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 39).
3. Amendment of subsection (b) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§49.2. Neuromusculoskeletal Evaluation.
Note     •     History

A medical evaluation concerning a claim for neuromusculoskeletal injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 20 minutes of face to face time. Twenty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report the amount of face to face time actually spent with the injured worker and explain in detail any variance below the minimum amount of face to face time stated in this regulation.
NOTE

Authority cited: Sections 133,139.2(j) and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect  renumbering former section 149.2 to new section 49.2 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§49.4. Cardiovascular Evaluation.
Note     •     History

A medical evaluation concerning a claim for cardiovascular injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report the amount of face to face time actually spent with the injured worker and explain in detail any variance below the minimum amount of face to face time stated in this regulation.
NOTE

Authority cited: Sections 133, 139.2(j) and 5307.3, Labor Code, Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect  renumbering former section 149.4 to new section 49.4 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§49.6. Pulmonary Evaluation.
Note     •     History

A medical evaluation concerning a claim for pulmonary injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report the amount of face to face time actually spent with the injured worker and explain in detail any variance below the minimum amount of face to face time stated in this regulation.
NOTE

Authority cited: Sections 133, 139.2(j) and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect  renumbering former section 149.6 to new section 49.6 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§49.8. Psychiatric Evaluation.
Note     •     History

A medical evaluation concerning a claim for psychiatric injury (whether specific or cumulative in nature) shall not be completed by a QME in less than one hour of face to face time. One hour is considered the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report the amount of face to face time actually spent with the injured worker and explain in detail any variance below the minimum amount of face to face time stated in this regulation.
NOTE

Authority cited: Sections 133,139.2(j) and 5307.3, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect  renumbering former section 149.8 to new section 49.8 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§49.9. Other Evaluation.
Note     •     History

A medical evaluation concerning a claim for any injury (whether specific or cumulative in nature) not specifically included in this article shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report the amount of face to face time actually spent with the injured worker and explain in detail any variance below the minimum amount of face to face time stated in this regulation.
NOTE

Authority cited: Sections 133,139.2(j) and 5307.3, Labor Code, Reference: Sections , 139.2 4060, 4061, 4062, 4062.1, 4062.2, 4067, 4628 and 4660, Labor Code.
HISTORY

1. Change without regulatory effect  renumbering former section 149.9 to new section 49.9 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 5. QME Reappointment
§50. Reappointment: Requirements and Application Form.
Note     •     History

(a) In addition to the eligibility requirements set forth in section 11, a physician may seek reappointment on the basis that he or she was an active QME on June 30, 2000. For all physicians, applications for reappointment shall include a Reappointment Application Form in section 104, and the appropriate fee under section 17. The reappointment application and the appropriate fee shall be filed at the Administrative Director's headquarters office listed on the reappointment form.
(b) Any Reappointment Application Form may be rejected if it is incomplete or does not contain the required supporting documentation listed in section 11 and on the Reappointment Application Form. As part of the approval of the Reappointment Application Form, the Administrative Director shall verify that the QME has complied with all requirements under this Article.
(c) When a QME applies for reappointment, he or she shall submit a statement signed under penalty of perjury:
(1) attesting that he or she has completed the applicable QME continuing education requirement; and 
(2) listing the dates, locations, and titles of the continuing education programs and the names of the providers of those programs which he or she has taken to meet the requirement of Labor Code section 139.2(d)(3), as well as the number of hours of attendance at each program. The Administrative Director may randomly audit QMEs for documentation of program attendance, which supports compliance with this requirement; and
(3) attesting that the physician has accurately reported on the QME SFI Form 124 to the best of the QME's knowledge the information required by section 29 regarding the QME's specified financial interests; and
(4) attesting that the physician's license to practice as a physician, as defined under Labor Code section 3209.3, is neither restricted nor encumbered by suspension or probation, nor has the physician been convicted of a misdemeanor or felony related to the physician's practice or a crime of moral turpitude, and that the physician will notify the Administrative Director if the physician's license to practice is subsequently suspended or placed on probation or if the physician is convicted of a misdemeanor or felony related to the physician's practice or of a crime of moral turpitude; and
(5) attesting that the physician shall abide by all regulations of the Administrative Director and shall refrain from making referrals in violation of those regulations; and
(6) attesting that the physician has not performed a QME evaluation during a time when the physician was not appointed as a QME. 
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, Labor Code.
HISTORY

1. New article 5 and repealer and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31). For prior history, see Register 91, No. 26.
2. Change without regulatory effect amending first paragraph and subsection (i) filed 4-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 16).
3. Amendment of article 5 heading and renumbering of former section 50 to new section 53 and new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
4. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
5. Amendment of section heading and section and new Note filed 9-6-2001; operative 10-6-2001 (Register 2001, No. 36).
6. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§50.1. Reappointment: Failure to Comply with Time Frames. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 139.2, Labor Code. Reference: Section 139.2(d)(1), Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending section filed 12-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
3. Renumbering of former section 50.1 to section 51 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§50.2. Reappointment: Unavailability Notification. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Change without regulatory effect amending section filed 12-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
3. Renumbering of former section 50.2 to section 52 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§50.3. Reappointment: Evaluations Rejected by Appeals Board. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code.
HISTORY

1. New section filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
2. Renumbering of former section 50.3 to new section 52 filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
§51. Reappointment: Failure to Comply with Time Frames.
Note     •     History

All QMEs shall comply with the time frames in sections 34 and 38 as a condition for reappointment. The Administrative Director may deny reappointment to any QME who has failed to comply with the evaluation time frames in sections 34 and 38 on at least three occasions during the calendar year.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2(d)(1), Labor Code.
HISTORY

1. Repealer and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31). For prior history, see Register 91, No. 26.
2. Renumbering of former section 51 to new section 60 and new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Renumbering of former section 51 to section 53 and renumbering of former section 50.1 to section 51 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§52. Reappointment: Unavailability Notification.
Note     •     History

All QMEs shall comply with the unavailability notification requirements in section 33 as a condition for reappointment. The Administrative Director may deny reappointment of any QME who has filed notification for unavailability under section 33 for more than 90 calendar days during the calendar year, or who has on any single occasion refused without good cause to perform a medical-legal evaluation.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code.
HISTORY

1. Repealer and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31). For prior history, see Register 91, No. 26.
2. Renumbering of former section 52 to new section 61, renumbering of former section 50.3 to new section 52 and amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Renumbering of former section 52 to section 54 and renumbering of former section 50.2 to section 52 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§53. Reappointment: Failure of Board Certification Examination [Reserved].
History

HISTORY

1. Repealer and new section filed 8-1-94; operative 8-31-94 (Register 94, No. 31). For prior history, see Register 91, No. 26.
2. Renumbering of former section 53 to new section 62, renumbering of former section 50 to new section 53 and amendment of section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Renumbering of former section 53 to section 55 and renumbering of former section 51 to section 53 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
5. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§53.1. QME Continuing Education Response Form. [Repealed]
Note     •     History

NOTE

Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
2. Repealer filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
§54. Reappointment: Evaluations Rejected by Appeals Board.
Note     •     History

The Administrative Director may deny reappointment to any QME who has had more than five evaluations rejected by a Workers' Compensation Judge or the Appeals Board originally submitted at a contested hearing. The rejection shall be based on the failure of the QME's evaluation to prove or disprove a contested issue or failure to comply with guidelines promulgated by the Administrative Director pursuant to Labor Code section 139.2(j)(2), (3), (4) or (5). A specific finding must become final and the time for appeal must have expired before any rejected evaluation shall be counted as one of the five rejections.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code.
HISTORY

1. New section filed 5-9-91; operative 5-9-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351(a).
2. Repealer filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
3. Renumbering of former section 52 to section 54 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§55. Reappointment: Continuing Education Programs.
Note     •     History

A QME shall complete within the previous 24 months of his or her term of appointment 12 hours of continuing education in disability evaluation or workers' compensation related medical dispute evaluation given by a provider accredited by the Administrative Director.
(a) There are two types of continuing education programs:
(1) On-site programs, in which the instructor and QME are in the same location; and
(2) Distance learning programs.
(A) Providers of distance learning programs shall give either a pre- or post-course self-examination based on the program material. The provider shall grade the QME's test. Credit for the course can be given only for a passing rate of no lower than 70 percent correct responses. The Administrative Director may audit physicians' examinations and scores.
(B) Credit for distance learning courses shall be granted for the actual time spent viewing, listening to or participating in the program and for the reasonable and necessary time to take the examinations for up to six hours per program. Credit for the same distance learning program may be taken only once.
(C) All distance learning materials shall bear a date of release and shall be updated every three years. The provider shall notify the Administrative Director in writing of the revision.
(b) In addition to granting credit for attending a course or program which it gives, the Administrative Director may grant credit for:
(1) Participating in a panel on the development or review of the QME competency examination. A physician may receive one hour credit for each hour of participation on a panel. The QME shall obtain documentation of participation from the test administrator for submission to the Administrative Director.
(2) Instructing in a program given for QME credit by a provider accredited by the Administrative Director. The instructor may receive two hours of credit for each hour of instruction in an accredited provider's program or one hour of credit for each hour of participation on a panel. Credit for the same presentation may be taken only once during each calendar year. The QME shall submit documentation of participation from the program provider to the Administrative Director.
(3) Attending a program which is accepted by the QME's licensing board for renewal of his or her professional license, provided the subject matter is directly related to California impairment evaluation or workers' compensation medical dispute evaluation.
To request credit for this type of course, the QME must submit:
(A) proof of attendance;
(B) written material which describes the program content and program faculty; and
(C) documentation that the program is for continuing education credit by the physician's licensing board.
(4) Passing the QME competency examination. A QME may be granted six hours of continuing education credit for passing this examination for the purpose of receiving an initial appointment as a QME.
(c) To apply to the Administrative Director for accreditation, a provider shall submit to the Administrative Director, at least 60 calendar days before any public advertisement of the applicant's program or course is made:
(1) a completed form 118, in section 118 of these regulations.
(2) A curriculum vitae for each proposed instructor or author (for paper-based programs). A proposed instructor or author shall have education and/or training and recent work experience relevant to the subject of his/her presentation.
(3) The proposed promotional material for the program.
(4) An outline of course content, or actual course content, consistent with the topics in section 11.5(c) of Title 8 of the California Code of Regulations.
(d) The Administrative Director shall accredit an applicant who meets the definition of an education provider in Section 1(q); submits a completed, signed and dated application which demonstrates past experience in providing continuing education programs; and proposes a program which meets the requirements of section 55(c) or a course which meets the requirements of section 11.5(a) and (i). Proposed content for continuing education program credit must relate directly to disability evaluation or California workers' compensation-related medical dispute evaluation. No credit shall be recognized by the Administrative Director for material solely discussing the business aspects of workers' compensation medical practice such as billing, coding and marketing.
(e) The Administrative Director shall notify the applicant within 30 calendar days after receipt of the application containing all the information listed in section 55(c) whether that provider has been accredited for a two year period. Incomplete applications will be returned to the applicant.
(f) A provider that has been accredited by the Administrative Director will be given a number which must be displayed on any public advertisements of QME continuing education programs for that provider with the statement “Accredited by the Administrative Director of the California Division of Workers' Compensation for Qualified Medical Evaluator continuing education. Physicians may report up to ____ hours of credit for QME reappointment.”
(g) On or before the date the program is first presented or distributed, the provider shall submit the program syllabus (all program handouts) to the Administrative Director. Each distance learning program shall also submit one copy of the examinations and one copy of the audio/video tapes, computer program or each issue of the journal or newsletter for which credit is to be granted.
(h) A provider may offer different QME continuing education programs during the two-year accreditation period provided the subject matter is in disability evaluation or workers' compensation related medical dispute resolution. The provider shall send the Administrative Director the program outlined and faculty for each new program at least forty-five (45) days prior to the date of presentation of the new program. The Administrative Director may require submission of program syllabi. The Administrative Director may require changes in the program based on its review of the program outline, program syllabi, promotional material or faculty if the Administrative Director finds that any aspect of the program is not in compliance with these regulations.
(i) Promotional materials for a program must state the educational objectives; the professional qualifications of program faculty (at least all relevant professional degrees); the content of program activities; the maximum number of credit hours to be granted; and the intended audience.
(j) Joint sponsorship of education programs (as between an accredited and an unaccredited provider) must be approved by the Administrative Director prior to presentation of the program.
(k) Accredited providers that cease to offer education programs shall notify the Administrative Director in writing.
(l) Instructors shall not recruit members or promote commercial products or services immediately before, during or after a course. Providers or vendors may display/sell educational related to workers' compensation or applications for membership in an area adjoining a course. A course provider or faculty member shall disclose on QME Form 119 (Faculty Disclosure of Commercial Interest), located in section 119 of Title 8 of the California Code of Regulations, any significant financial interest in or affiliation with any commercial product or service held by faculty and discussed in a course and that interest or affiliation must be disclosed to all attendees. A provider shall file every Form 119 in its possession or in its control with the Administrative Director.
(m) The provider shall issue a certificate of completion to each QME who successfully completes a continuing education program. The certificate must list the provider; provider number; date(s); location and title of the continuing education program; and the number of hours in attendance for which credit is to be granted. Credit shall be granted only for the actual time of attendance at or participation in a program. Each accredited provider may in its sole discretion limit the amount of credit hours that a course will be granted to less than the amount of time actually spent in attendance in the course.
(n) To apply for re-accreditation, a provider must submit a completed QME Form 118 (Application for Accreditation or Re-Accreditation as Education Provider) (See, 8 Cal. Code Regs. §118). The provider may complete section 2 of the form using a new program or course or one which was given by the provider during the recent accreditation period. The Administrative Director shall give the provider ninety (90) days' notice of the need to seek re-accreditation.
(o) The provider shall maintain attendance records for each continuing education program for a period of no less than three (3) years after the program is given. A physician attending the program must be identified by signature. The provider must submit a copy of the signature list to the Administrative Director within sixty (60) days of completion of the program.
(p) The provider is required to give the QME's Evaluation Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (See, 8 Cal. Code Regs. §117) to program attendees and request they submit the form to the Administrative Director. This information shall not be used in lieu of a certification of completion given by the provider, as specified pursuant to section (m). Destruction by a provider or its employee of a QME's Evaluation Form or failure by such provider or its employee to distribute Form 117 as part of its program shall constitute grounds for revocation of a provider's accredited status. The Administrative Director shall tabulate the responses and return a summary to the provider within ninety (90) days of completion of the program.
(q) The Administrative Director may audit a provider's program(s) at the request of the medical director to determine if the provider meets the criteria for accreditation. The Administrative Director may audit programs randomly, when a complaint is received, or on the basis of responses on QME Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (See, 8 Cal. Code Regs. §117). An auditor shall not receive QME credit for an audited program. The Administrative Director shall make written results of the audit available to the provider no more than thirty (30) days after the audit is completed.
(r) The Administrative Director may withdraw accreditation of a provider or deny such a provider's application for accreditation on the following grounds (in addition to failure to meet the relevant requirements of subdivision 11.5(a) or 55(c) of Title 8 of the California Code of Regulations):
(1) Conviction of a felony or any offense substantially related to the activities of the provider.
(2) Any material misrepresentation of fact made by the provider.
(3) Failure to comply with Administrative Director regulations.
(4) False or misleading advertising.
(5) Failure to comply with Administrative Director recommendations following an audit.
(6) Failure to distribute QME Form 117 (Qualified Medical Evaluator Continuing Education Response Form) (See, 8 Cal. Code Regs. §117) cards to program attendees.

NOTE: Forms referred to above are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4062.3, 4067 and 4628, Labor Code.
HISTORY

1. New section filed 5-9-91; operative 5-9-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351(a).
2. Repealer filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
3. Renumbering of former section 53 to section 55 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Amendment of section heading and section filed 9-6-2001; operative 10-6-2001 (Register 2001, No. 36).
5. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§56. Reappointment: Failure to Comply with WCAB Order or Ruling.
Note     •     History

The Administrative Director may deny reappointment to any QME who has been found in violation of any order or ruling by a Workers' Compensation Judge or the Appeals Board.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§57. Reappointment: Professional Standard--Violation of Business and Professions Code Section 730.
Note     •     History

The Administrative Director may deny appointment or reappointment to any physician who has performed a QME evaluation or examination without valid QME certification at the time of examining the injured worker or the time of signing the initial or follow-up evaluation report.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code; and Section 730, Business and Professions Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code; and Section 730, Business and Professions Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 6. QME Discipline
§60. Discipline.
Note     •     History

(a) The Administrative Director may, in his or her discretion, suspend or terminate any physician from the QME list without hearing:
(1) whose license has been revoked;
(2) whose license has been suspended or terminated by the relevant licensing board so as to preclude practice;
(3) who has been convicted of a misdemeanor or felony related to the conduct of his or her practice or who has been suspended or placed on probation by his or her licensing board;
(4) based on a stipulation or a decision by the physician's licensing board that the physician has been placed on probation;
(5) who has failed to pay timely the appropriate fee as required under section 17 of Title 8 of the California Code of Regulations.
(b) The Administrative Director may, based on a complaint by the Medical Director, and following a hearing pursuant to section 61 of Title 8 of the California Code of Regulations, suspend, terminate or place on probation a QME found in violation of a statutory or administrative duty as described in the Administrative Director Sanction Guidelines for QMEs under section 65 of Title 8 of the California Code of Regulations. Such violations include, but are not limited to:
(1) one violation of Labor Code section 139.3 or 4628;
(2) failure to follow the medical procedures established by the Administrative Director pursuant to Labor Code section 139.2(j)(1)(2)(3)(4)(5) or (6);
(3) failure to comply with the requirements of Labor Code section 139.2(b) or (c) and/or section 10, 10.5, 11 or 12 of Title 8 of the California Code of Regulations;
(4) failure to comply with the unavailability notification requirements pursuant to section 33 of Title 8 of the California Code of Regulations.
(5) failure to comply with the disclosure, ethical or conflict of interest requirements pursuant to sections 40, 41 or 41.5, respectively, of Title 8 of the California Code of Regulations;
(6) failure to complete accurate and complete reports pursuant to Labor Code section 139.2(i) or to comply with section 39.5 of Title 8 of the California Code of Regulations.
(7) one finding by the Appeals Board of ex parte contact by the QME prohibited by Labor Code section 4062.3.
(8) one finding by the Administrative Director that the QME solicited an injured worker to take over that worker's treatment for his or her workers compensation claim.
(9) failure to disclose a disqualifying conflict of interest as required by section 41.5 of Title 8 of the California Code of Regulations;
(10) failure to disclose a significant financial interest, as defined in sections 1(cc) and 29 of Title 8 of the California Code of Regulations.
(c) The Medical Director may file a complaint with the Administrative Director against a QME on any of the grounds listed in subsection (b) based on a complaint from a member of the public and/or the Medical Director's own initiative. The Medical Director may assign legal counsel and investigators to conduct all matters related to this Article.
(d) The powers and discretion of the Administrative Director are hereby delegated to the Medical Director of the Division, or his or her designee Associate Medical Director, with respect to:
(1) Conducting investigations and assigning investigators;
(2) Issuing subpoenas for testimony and/or production of documents;
(3) Propounding interrogatories;
(4) Receiving and filing requests for hearing and notices of defense;
(5) Setting and calendaring cases for hearing;
(6) Issuing notices of hearing;
(7) Assigning counsel; and
(8) Performing all other functions related to QME discipline under this Article, except for issuing statements of issues, issuing accusations and issuing disciplinary orders after hearing.
(e) A report prepared by a QME which has not been completed and served on one or more parties prior to the date of the final decision taken by the licensing board or the date of the conviction, whichever is earlier, shall be inadmissible before the Appeals Board and no party shall have liability for payment for the report.
NOTE

Authority cited: Sections 11180-11191, Government Code; Sections 111, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2 and 4062.3, Labor Code.
HISTORY

1. New article 6 (sections 60-62), renumbering of former section 51 to new section 60, repealer and new subsection (a), amendment of subsection (b), new subsection (b)(6) and subsection renumbering, and new subsections (b)(8) and (d) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§61. Hearing Procedure.
Note     •     History

(a) Where the Medical Director determines that there is prima facie evidence of any violation of section 60 of Title 8 of the California Code of Regulations, he or she shall make and submit a prima facie case of the violation to the Administrative Director.
(b) If the Administrative Director sustains the Medical Director's prima facie case, the QME shall be notified in writing of the determination and shall also be notified of his or her right to a hearing in accordance with Chapter 4 (commencing with Section 11370) and Chapter 5 (commencing with section 11500) and Part 1 of Division 3 of the Government Code.
(1) The Administrative Director may, notwithstanding Government Code section 11502, assign the hearing to a hearing officer designated by the Medical Director who shall act as an Administrative Law Judge for the purposes of Government Code sections 11370 et. seq. and 11500 et. seq., or may delegate in whole or in part to an Administrative Law Judge the authority to conduct the hearing and decide the case. In the event of a hearing, the hearing officer or Administrative Law Judge shall fix the time and place of the hearing and notify interested parties in writing no fewer than 10 days in advance of the hearing and in accordance with Code of Civil Procedure sections 1013(a) and 2015.5 specifying the time and place of the hearing.
(2) If an Administrative Law Judge conducts a hearing, the Administrative Law Judge selected to preside over the hearing shall hear the case alone, and exercise all powers related to the conduct of the hearing.
(3) At the conclusion of the hearing, the Administrative Law Judge or hearing officer shall file a written statement of findings and proposed decision with the Administrative Director. The decision made pursuant to this action shall include specific findings in accordance with section 60(b) of Title 8 of the California Code of Regulations, and under section 65 of Title 8 of the California Code of Regulations shall recommend, but defer to the Administrative Director the final decision with respect to sanctions. 
(4) The Administrative Director's decision on which sanction(s) to impose on a QME, pursuant to Labor Code section 139.2(k) or any other statute giving the Administrative Director disciplinary authority, shall be in accordance with the Sanction Guidelines for Qualified Medical Evaluators under section 65 of Title 8 of the California Code of Regulations.
(5) In accordance with Government Code section 11517(c), if the proposed decision is not adopted by the Administrative Director, the Administrative Director shall determine whether or not to decide the case, based on the record and transcript, and/or whether or not to take additional evidence or to refer the case back to the Administrative Law Judge to take additional evidence on any issue or issues requested by the Administrative Director.
(6) Within thirty (30) days of the date the written decision is served upon the QME, the QME may file a petition for reconsideration with the Administrative Director. The petition shall be governed by Government Code section 11521 and shall set forth any legal or factual basis as to why the decision should not be confirmed. 
(c) Judicial Review of the Administrative Director's decision may be had by the filing of a petition for writ of mandate pursuant to Government Code Section 11523 no later than thirty (30) days after the last day on which the Administrative Director can order reconsideration in accordance with (b)(6) of this section.
NOTE

Authority cited: Sections 133, 139.2, 5307.3 and 5307.4, Labor Code; and Sections 11370 et seq. and 11500 et seq., Government Code. Reference: Section 139.2, Labor Code; and Sections 11502 et seq., Government Code.
HISTORY

1. Renumbering of former section 52 to new section 61, and amendment of subsections (c) and (d) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Repealer and new section and amendment of Note filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§62. Probation.
Note     •     History

(a) A physician on probationary status from his or her licensing authority may be placed on probationary status by the Administrative Director in its discretion in accordance with Sanction Guidelines for Qualified Medical Evaluators under section 65 of Title 8 of the California Code of Regulations.
(b) A QME on probationary status may be required to report periodically to the Medical Director to ensure compliance with any conditions of probation that have been imposed by the Administrative Director. These conditions may include the completion of specific courses and training.
(c) A QME shall be deemed to have passed probation and be eligible for reappointment if he or she has complied with the conditions imposed by the Administrative Director during the probation period, and meets the requirements for reappointment in accordance with Article 5.
(d) A QME shall be deemed to have failed probation if upon completion of the probation period it is determined that he or she has not complied with the conditions imposed by the Administrative Director during the probation period, and/or has failed to meet the requirements for reappointment in accordance with Article 5.
(e) The Administrative Director shall terminate probation, which shall be equivalent to a failure to pass probation, before completion of the probation period if during the probation period it is determined that a QME has not complied with the conditions of probation.
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4067 and 4628, Labor Code.
HISTORY

1. Renumbering of former section 53 to new section 62, new subsection (a) and subsection relettering, and amendment of subsections (c) and (d) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Amendment of subsections (a), (c) and (d) filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§63. Denial of Appointment or Reappointment.
Note     •     History

(a) Whenever the Administrative Director determines that an application for appointment or reappointment as a Qualified Medical Evaluator will be denied, the Administrative Director shall: 
(1) Notify the applicant in writing of the decision to deny the application and the reasons for the denial; and 
(2) Provide notice that if the applicant submits a specific, written response to the notice of denial within thirty (30) days, the Administrative Director will review the decision to deny the application, and within sixty (60) days of receipt of the response notify the applicant of the Administrative Director's final decision.
(b) If the applicant fails to submit a specific, written response to the notice of denial within thirty (30) days, the decision to deny shall become final without any further notice.
(c) If the applicant submits a specific, written response, and the Administrative Director's final decision is that the application should be denied, notice of the final decision shall be provided to the applicant by means of a statement of issues and notice of right to hearing under Chapter 5 (commencing with section 11500) of Title 2 of the Government Code.
(d) All notices and response under this section shall be made by certified mail.
NOTE

Authority cited: Sections 133, 139.2(f) and 5307.3, Labor Code; Section 11500 et seq., Government Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§65. Sanction Guidelines for Qualified Medical Evaluators.
Note     •     History

The guidelines for determining appropriate sanctions for physicians licensed as Qualified Medical Evaluators shall be set forth in the Sanction Guidelines for Qualified Medical Evaluators as adopted by the Industrial Medical Council on October 21, 1999, and re-adopted and enforced by the Administrative Director.

Sanction Guidelines for Qualified Medical Evaluators

I. PART ONE--OVERVIEW
The purpose of these guidelines is to provide the framework of the Administrative Director's (AD) disciplinary process for those affected by it -- Qualified Medical Evaluators, the Administrative Director, administrative law judges with the Office of Administrative Hearings, licensing boards and other interested parties. These guidelines are not intended to be an exhaustive list of violations or disciplinary actions that the Administrative Director may consider against any QME. Any violation of statutory or administrative duties may constitute grounds for discipline under these guidelines.
The Administrative Director believes that education is the most effective course of action in resolving less serious regulatory violations. These guidelines also set out the parameters for discipline for misconduct considered serious.
The Administrative Director recognizes the need to promulgate uniform guidelines for particular violations in order to establish consistency in imposing disciplinary sanctions for similar offenses. The Administrative Director also recognizes that mitigating or aggravating circumstances in a specific case may necessitate variance from these guidelines.
In the event of a hearing, if an administrative law judge finds that the circumstances of a particular case are not adequately addressed in these guidelines, the Administrative Director may request that the administrative law judge include in the proposed decision an explanation of the recommended sanction and/or terms of probation, so those circumstances are better understood by the Administrative Director during its review of the case for ultimate action.

A. Factors to be Considered in Determining Disciplinary Penalties
In cases of violations of Labor Code sections 139.2(k) and 139.2(m) and/or section 60 of Title 8 of the California Code of Regulations, the Administrative Director may impose discipline, up to and including suspension or termination, upon any physician certified by the Administrative Director as a Qualified Medical Evaluator.
In determining the level of the penalty to be imposed in a given case pursuant to section 61 of Title 8 of the California Code of Regulations, the following factors shall be considered:
(1) the seriousness of the violation including actual or potential harm to the public and any mitigating or rehabilitation evidence;
(2) whether or not a violation is an isolated incident or part of a pattern of behavior indicative of a disregard for the QME rules; e.g. (prior warnings of record; number and/or variety of current violations, time passed since the act(s) or offense(s));
(3) whether or not a violation is intentional as opposed to negligent;
(4) whether or not there is a history of previous violations cited under this section or by another court or tribunal (e.g.: prior disciplinary record, including level of compliance with disciplinary orders, compliance with terms of any criminal sentence, overall criminal record); and
(5) whether or not further education or training would be beneficial.

B. Mitigating Evidence
A respondent may present evidence at a hearing or in the settlement process and shall have the burden of demonstrating mitigating circumstances and/or any rehabilitative or corrective measures he or she has taken. The Administrative Director does not intend, by the following references to written statements, letters, and reports, to waive any evidentiary objections to the form of such evidence. The following are examples of appropriate evidence a respondent may submit to demonstrate his/her rehabilitative efforts and competency:
(1) Recent, dated written statements from persons in positions of authority who have on-the-job knowledge of the respondent's current competence in the practice of his or her specialty. Each statement should include the period of time and capacity in which the person worked with the respondent and should be signed under penalty of perjury. All letters will be subject to verification by the Administrative Director's staff.
(2) Recent, dated letters from counselors regarding the respondent's participation in a rehabilitation or recovery program, where appropriate. These should include at least a description and requirements of the program, a psychiatric diagnosis and current state of recovery and the psychiatrist's/psychologist's basis for determining need for rehabilitation.
(3) Recent, dated letters describing respondent's participation in support groups, (e. g. Alcoholics Anonymous, Narcotics Anonymous, Professional Support Groups, etc.), where appropriate.
(4) Recent, dated laboratory analyses or drug screen reports, where appropriate.
(5) Recent, dated performance evaluation(s) from the respondent's employer(s).
(6) Recent, dated physical examination or assessment report by a licensed physician, if appropriate.
In the above examples, the mitigating circumstances and/or rehabilitative efforts shall be detailed in any proposed decision or any transmittal memorandum accompanying a proposed stipulation.

C. Terms of Probation -- Standard Conditions 
If probation is imposed as part of a disciplinary action, the probation shall include: (1) Standard conditions, which will apply in all cases; and may include (2) Optional conditions, which will vary according to the nature of the offense(s) in the particular case.
The number in parenthesis refers to the paragraph number found in the sample Model Disciplinary Order, found in Part Two of these guidelines.
1. Obey all laws (#7);
2. File quarterly reports (#8);
3. Probation surveillance program compliance (#9);
4. Interviews with the Administrative Director's designee (#10);
5. Notation of probationary QME status (#33);
6. Tolling of probation, if out of state or while QME status inactive (#11);
7. Violation of probation extends Administrative Director jurisdiction (#13);
8. Reporting probationary status to Licensing Board (#6);
9. Reporting probationary status to parties since date of prior licensing board action or prior conviction (#6);
10. QME certificate surrender (if suspended or terminated) (#14).
D. Terms of Probation -- Optional Sanctions and Conditions of Probation: The following optional sanctions and conditions of probation may be imposed by the Administrative Director for proven or stipulated violations of the statutes or regulations cited.
Range of Optional Conditions:
1. Completion of a continuing education and/or ethics course related to the misconduct resulting in discipline (#17);
2. Completion of a QME ethics course (#17);
3. Monitoring of practice by another physician in the same area of practice, with periodic reports to the Administrative Director (#23);
4. Pass a written exam administered by the Administrative Director (#19);
5. Pass an oral exam administered by the Administrative Director (#19);
6. (For sexual transgressions) Requiring the presence of a designated third person during all medical/legal exams (#21);
7. Undergo psychiatric evaluation and/or psychiatric treatment (#24, #25);
8. Structured supervised practice (#22);
9. Undergo medical evaluation or treatment (#26, #27);
10. Abstain from drugs (#30);
11. Abstain from alcohol (#32);
12. Biological fluid testing (#28);
13. Maintain Controlled Substances Log (#31);
14. Diversion program (#29);
15. Restitution of monies received (#20);
16. Actual suspension during probation (#16);
17. Require QME to submit up to the next 5 med/legal reports to the Administrative Director (#34);
18. Print and distribute corrected information after advertising violation (#35).
The Administrative Director may also impose other conditions appropriate to the case which are not contrary to public policy or existing law.

II. Part Two -- Violations and Sanctions
The Administrative Director may impose disciplinary sanctions for violations by a Qualified Medical Evaluator of any material statutory or administrative duty (Labor Code §139.2(k)(1)).
Actions by a Qualified Medical Evaluator for which disciplinary action is appropriate are specified in the California Labor Code, the California Business and Professions Code, the California Penal Code, and Titles 8 and 16 of the California Code of Regulations.
Accordingly, the following, disciplinary sanctions shall be applied by the Administrative Director when a QME is found to be in violation of a material statutory and/or administrative duty.

A. Maximum Sanctions 
1. Maximum sanction: Revocation of QME status. 
2. Violations of material statutory administrative duties which shall result in the maximum sanctions are:
a. Professional licensure has been terminated (Labor Code §139.2(m));
b. Conviction of a felony or misdemeanor (including billing/insurance fraud) related to the conduct of the physician's practice (Labor Code §139.2(m));
c. Conviction of a felony or misdemeanor for a crime of moral turpitude (Labor Code §139.2(m));
d. Arranging for the impersonation of a QME or impersonating a physician in the QME competency exam;
e. Arranging for the impersonation of a QME or impersonating another physician during QME evaluation;
f. Performing QME evaluations without QME certificate or while knowing that their QME status is suspended; 
g. Failure to file a notice of defense to an accusation filed by the Administrative Director or failure to appear at disciplinary hearing initiated by the Administrative Director;
h. Failure to pay the required QME fee (Labor Code §139.2(n));
i. False statements made under penalty of perjury relating to medical/QME licensing and/or specialty credentials.
3. If warranted, the maximum penalty can be imposed in any case.

B. Violations of Material Statutory/Administrative Duties Which May Result in Alternative Sanctions
1. Sexual Misconduct  (Labor Code § 139.2(k); Bus. & Prof. Code §726)
Minimum sanction: Stayed revocation, 7 years probation and: 
a. Approved education course on sexual harassment, to be completed within 90 days (#17); and 
b. Require third party present during all workers' compensation related evaluations and treatment (# 21); and
If warranted, any or all of the following:
c. Psychiatric evaluation and/or psychotherapy (#24, #25);
d. Required supervised workers' compensation related practice environment (#22 or #23);
e. Actual suspension at least one (1) year, under the criteria of PART ONE A.
2. Abuse of Drugs or Alcohol and/or Intoxication While Evaluating or Treating Patients (Labor Code § 139.2(k); Bus. & Prof. Code § 2239)
Minimum sanction: Stayed revocation, five (5) years probation and: 
a. Evaluation by Diversion Program of appropriate licensing board and follow its recommendations; 
b. If a Diversion Program is not available through the licensing board, then will be evaluated by an alcohol/drug rehabilitation program acceptable to the Administrative Director and will follow its recommendations; 
c. Allow the pertinent program to report on status to the Administrative Director;
d. Abstain from use (#30, #32); and 
If warranted: 
e. Cease performing QME evaluation while being evaluated by the Diversion Program; 
f. Biological fluid testing (#28); 
g. Maintain controlled substances log (#31); 
h. Structured supervised practice (#22); 
i. Monitored practice (#23); 
j. Oral or written exam (#19);
k. Actual suspension.
3. Billing/Insurance Fraud or Submitting False Documents (Labor Code §139.2(k); Bus. & Prof. Code §2234(e); Bus. & Prof. Code §2261; Bus. & Prof. Code §810)
Minimum sanction: Stayed revocation and 5 years probation, and: 
If warranted, any or all of the following: 
a. Approved ethics course within 90 days (#17); 
b. Restitution of amounts received (#20); 
c. Pass oral or written exam (#19); 
d. Actual suspension at least 6 months, under the factors of PART ONE A.; 
e. Maximum sanctions.
4. False Statements Made Under Penalty of Perjury on QME Application Forms or Other QME or DWC Documents (Labor Code §139.2(k); 8 Cal. Code. Regs §11; Labor Code §139.2(b); Labor Code §139.2(c); Labor Code §139.2(d); Bus. & Prof. Code §2234(e); Bus. & Prof. Code §2261)
(Ex.: False statement on QME exam application, appointment application or reappointment application regarding: 
- probationary professional license status; 
- past criminal conviction related to professional practice; 
- completion of minimum continuing education, teaching or practice criteria for appointment or reappointment; 
- time spent in direct patient treatment; 
- number of QME or AME evaluations done in prior year(s) for purpose of annual fee or for reappointment; 
- extent of AME work in lieu of direct patient treatment;
(Representing self as QME with active status when status lapsed).
Minimum sanction: Stayed revocation and 5 years probation, and: 
If warranted, any or all of the following: 
a. Actual suspension at least 90 days (#16) under the factors of PART ONE A.; 
b. Approved ethics course within 90 days (#17).
5. Advertising Violations (Labor Code §139.2(k); Labor Code §139.4; Labor Code §§5430-5434; 8 Cal. Code Regs. §153; 8 Cal. Code Regs. §§9820-9837) and conduct including:
- misleading or deceptive advertising -- Bus. & Prof. Code §2271, 651
- failure to include required fraud warning -- Labor Code §§5432, 5433
- anonymous advertising - Bus. & Prof. Code §2272
- misuse of title `M.D.', `D.O.', `doctor', etc. Bus. & Prof. Code §§2275, 2276
- use of fictitious name without permit (Bus. & Prof. Code §2285)
Minimum sanction: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Stayed revocation 3 years probation; 
b. Approved ethics course within 90 days (#17); 
c. Oral or written exam by Administrative Director (#19); 
d. Print and distribute correct information (#35); 
e. Pay for ad(s) in WC publications advising readers of statutes and regulations on permissible advertising; 
f. Actual suspension at least 90 days (#16) under the factors of PART ONE A.; 
g. Maximum sanctions.
6. Soliciting or Providing Treatment in Course of QME Evaluation (Labor Code 139.2(k); 8 Cal. Code Regs. §§11(d) and 41(a)(4))
Minimum sanctions: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Stayed revocation, one (1) year probation; 
b. Approved ethics course (#17) within 90 days; 
c. Restitution of amounts received for report to payor (#20); 
d. Actual suspension at least 30 days (#16) under the factors of PART ONE A.
7. Self Interested Referral (Labor Code §§139.2(k) or 139.2(o); Labor Code §3215; 8 Cal. Code Regs. §§41 or 41.5; Labor Code §139.3)
Minimum sanction: Educational materials to be provided by Administrative Director, and:
If warranted, any or all of the following:
a. Stayed revocation and five (5) years probation;
b. Restitution of amounts received from unlawful referrals (#20);
c. Approved ethics course within 90 days (#17);
d. Actual suspension one (1) year (#16), under the factors of PART ONE A;
e. Maximum sanctions.
8. Ex Parte Communication (Labor Code §139.2(k), Labor Code §4062.3, 8 Cal. Code Regs. §41(b))
Minimum sanction: Educational material to be provided by the Administrative Director, and:
If warranted, any or all of the following:
a. Stayed revocation, one (1) year probation;
b. Approved ethics course within 90 days (#17); 
c. Restitution of amounts received for report to payor (#20);
d. Actual suspension at least 30 days, under the factors of PART ONE A;
e. Maximum sanctions.
9. Violations of QME Ethical and/or other Regulations 
Conduct including but not limited to:
- refusing to schedule unrepresented cases (8 Cal. Code Regs. §41(a)(2)) 
- routinely requiring IWs to wait over one hour (8 Cal. Code Regs. §41(f)) 
- rescheduling panel QME exam 3 or more times per case (8 Cal. Code Regs. §41(a)(7))
- switching location of QME exam to address not on QME panel letter (8 Cal. Code Regs. §34(b))
- failing to serve QME appointment notification form/3 or more instances (8 Cal. Code Regs. §34(a))
- failure to submit evaluations upon request by the Medical Director 
- failure to timely notify the parties of a disqualifying conflict of interest (8 Cal. Code Regs. §41.5)
- failure to report specified financial interests (8 Cal. Code Regs. §§1(ee) and 29)
Minimum sanction: Educational material to be provided by the Administrative Director, and 
If warranted, any or all of the following: 
a. Stayed revocation six (6) months probation under the factors of PART ONE A; 
b. Approved ethics course within 90 days (#17); 
c. Oral or written exam by Administrative Director (#19); 
d. Actual suspension up to 180 days (#16) under the criteria of PART ONE A. 
e. Maximum sanction.
10. False Statements in Medical/Legal Report (Labor Code §139.2(k); 8 Cal. Code Regs. §41(c)(4); Cal. Code Regs. §4628, Including Ghostwriting)
- Involving a reckless disregard for available information or facts known to the physician.
Minimum sanction: Stayed revocation and five (5) years probation, with:
a. Approved ethics course within 90 days (#17); and
If warranted, any or all of the following:
b. Actual suspension, up to one year under the factors of PART ONE A.
c. Maximum sanctions.
11. Failure to Spend Requisite Face-to-Face Time 
- minimum face-to-face time in evaluation (Labor Code §139.2(k); Labor Code §4628; 8 Cal. Code Regs. §49 et seq.) 
- in billing for medical/legal report (Labor Code §139.2(k); Labor Code §4628; 8 Cal. Code Regs. §9795).
Minimum sanction: Educational materials to be provided by the Administrative Director. 
If warranted, any or all of the following: 
a. Stayed revocation, up to one (1) year probation and 
b. Approved education course on related workers' compensation billing regulations (#17); 
c. Restitution to payor (#20); 
d. Approved ethics course, to be completed within 90 days (#17); 
e. Actual suspension of at least 90 days, under the factors of PART ONE A; 
f. Maximum sanctions.
12. Knowing Misrepresentation or Intentional Failure to Disclose Roles of Others Assisting with Medical/Legal Evaluation or Report, (Labor Code §139.2(k); Labor Code §4628) or Interference with or Obstruction of an Investigation by the Medical Director into a Complaint Against a QME (Labor Code 139.2(J)(6).)
Minimum sanction: Stayed revocation, one (1) year probation, and: 
If warranted, any or all of the following: 
a. Educational material to be provided by the Administrative Director; 
b. Approved ethics course within 90 days (#17); 
c. Restitution of amounts received for report to payor (#20); 
d. Actual suspension at least 90 days, under the criteria of PART ONE A (#16); 
e. Maximum sanctions.
13. Performing Unnecessary Medical Tests in Capacity as QME or AME (Labor Code §139.2(k); 8 Cal. Code Regs. §41(a)(3); Bus. & Prof. Code §725; Bus. & Prof. Code §2234(e))
Minimum sanction: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Stayed revocation and up to five (5) years probation, and; 
b. Restitution of amounts received for unnecessary tests (#20); 
c. Pass oral or written exam (#19); 
d. Completion of an approved clinical course (#18); 
e. Approved ethics course within 90 days (#17); 
f. Actual suspension, at least 90 days under the factors of PART ONE A; 
g. Maximum sanctions.
14. Late Reports (Labor Code §139.2(k); Labor Code §139.2(j)(1); 8 Cal. Code Regs. §38; 8 Cal. Code Regs. §60(b)(4) (3 or more instances))
Minimum sanction: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Stayed of revocation, six (6) months probation; 
b. Approved ethics and/or office management course within 90 days (#17); 
c. Suspension of 30 days (#16) under the factors of PART ONE A.
15. Failure to Follow AD Evaluation Guidelines (Labor Code §139.2(h); Labor Code §139.2(k); Labor Code §4628; 8 Cal. Code Regs. §41(c)(5)) 
- Involving 3 or more instances
Minimum sanction: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Approved course in medical/legal report writing within 90 days (#17); 
b. Stayed revocation, one (1) year probation; 
c. Actual suspension 30 days (#16), under the factors of PART ONE A.
16. Report Deficiencies (Labor Code §139.2(k)) 
- Defective declaration(s) required by Labor Code §4628; 
- Serving an unsigned report; 
- Omitting discussion in a report of relevant information provided to QME; 
- Inadequate or incorrect discussion of factors of disability; 
- Other report deficiencies identified by Administrative Director quality review panel; 
- Other report deficiencies that affect the substantial rights of a party and are in violation of the regulations governing QMEs;
- Determinations by DEU that a report is not ratable; 
- Decisions of Administrative Director granting rating reconsideration; 
- Omitting declaration(s) required by Labor Code §4628.
Minimum sanction: Educational material to be provided by the Administrative Director, and: 
If warranted, any or all of the following: 
a. Require QME to submit up to five medical/legal reports to the Administrative Director medical/legal quality review staff (#34); 
b. Approved course(s) in medical/legal report writing within 90 days (#17); 
c. Oral or written exam by Administrative Director (#19); 
d. Probation (six (6) months).
17. Report Deficiencies Affecting Admissibility (Labor Code §139.2(k))
- Three Finding(s) by WCJ under Labor Code §4628(e) or Labor Code §139.2(d)(2)
Minimum sanction: Stayed revocation, one (1) year probation, and: 
If warranted, any or all of the following: 
a. Approved course(s) in medical/legal report writing within 90 days (#17); 
b. Require QME to submit next five medical/legal reports to the Administrative Director medical/legal quality review staff (#34); 
c. Oral or written exam by Administrative Director (#19). 
18. Violation of Probation
Minimum sanction: Impose an actual period of suspension (Refer to #3, #4, or #5)

III. PART THREE - SAMPLE MODEL DISCIPLINARY ORDERS
A. The Administrative Director's disciplinary order may include, but are not limited to:
1. Revocation - Single Cause 
QME certificate number(s) __________ issued to Respondent _______________ is/are revoked.
2. Revocation - Multiple Causes 
QME certificate number(s) ____________ issued to Respondent ________________ is/are revoked, pursuant to the Determination of Issues (Ex. I, II, and III separately and for all of them.)
3. Actual Suspension - Single Cause 
QME certificate number(s) ________________issued to Respondent _________________ is/are suspended for (state time period). Actual suspension starts on the 16th day after the effective date of this decision.
4. Actual Suspension - Multiple Causes (To Run Concurrently)
QME certificate number(s) _______________ issued to Respondent _________________ is/are suspended for (state time period), pursuant to Determination of Issues (enter ¶ numbers), separately and for all of them. All suspensions shall run concurrently. Actual suspension starts on the 16th day after the effective date of this decision.
5. Actual Suspension - Multiple Causes (To Run Consecutively)
QME certificate number(s) _______________ issued to Respondent ________________  is/are suspended for (state time period), pursuant to Determination of Issues (enter ¶ number(s)); and (state time period), pursuant to Determination of Issues (enter ¶ number(s)). These suspension shall run consecutively, for a total period of (enter total time period). Actual suspension starts on the 16th day after the effective date of this decision.
6. Standard Stay Order
However, (revocation/suspension) is stayed and Respondent _______ is placed on probation for (enter time period) upon the following terms and conditions. Within 15 days after the effective date of this decision, the Respondent shall provide the Administrative Director (AD), or his/her designee, proof that Respondent has served a true copy of this decision on:
(a) Respondent's professional licensing board in California;
(b) Every party for whom Respondent has a pending QME or AME evaluation exam or medical/legal report due;
(c) The Court Administrator of the Division of Workers' Compensation, for distribution to Workers' Compensation Administrative Law Judges;
(d) The President of the California Applicants' Attorneys Association;
(e) The President of the California Defense Attorneys Association.
In the event Respondent's probation was imposed by the Administrative Director pursuant to Labor Code §139.2(m), due to an order by Respondent's professional licensing board which suspended or imposed probationary status on Respondent's professional license, or due to a misdemeanor or felony conviction related to Respondent's practice or for a crime of moral turpitude, Respondent shall also provide the Administrative Director proof that a true copy of this decision was served on every party for whom Respondent wrote a medical/legal report from the date of the licensing board action or the date of the criminal conviction until the effective date of this decision.
7. Obey All Laws 
Respondent shall obey all federal, state and local laws and regulations, all rules governing practice as a Qualified Medical Evaluator, all rules in California governing Respondent's professional area of practice, and remain in full compliance with any court ordered criminal probation, payments and other orders.
8. Quarterly Reports 
Respondent shall submit quarterly declarations under penalty of perjury on forms provided by the Administrative Director, stating whether there has been compliance with all the conditions of probation.
9. Probation Surveillance Program Compliance
Respondent shall comply with the Administrative Director's probation surveillance program. Respondent shall, at all times, keep the Administrative Director informed of his or her addresses of business and residence which shall both serve as addresses of record. Changes of such addresses shall be immediately communicated in writing to the assigned Administrative Director probation monitor. Under no circumstances shall a post office box serve as an address of record.
Respondent shall also immediately inform the Administrative Director, in writing, of any travel to any areas outside the jurisdiction of California which lasts, or is contemplated to last, more than thirty (30) days.
10. Interview with the Administrative Director or Designee or Designated Physicians
Respondent shall appear in person for interviews with the Administrative Director, his/her designee or his/her designated physician(s) or medical consultant(s), upon request at various intervals and with reasonable notice.
11. Tolling for Out-of-State Practice or Residence, for Periods of Inactive QME Status, or for In-State Non-Practice
In the event Respondent should leave California to reside or to practice outside the State, or for any reason should Respondent's QME status become inactive in California, Respondent shall notify the Administrative Director probation monitor in writing within ten (10) days of the dates of departure and return, or the dates of inactive QME status in California. Non practice is defined as any period of time exceeding thirty (30) days in which Respondent is not engaging in any activities defined in sections 2051 and 2052 of the Business and Professions Code. All time spent in an intensive training program approved by the Administrative Director or its designee shall be considered as time spent in practice.
Periods of temporary permanent residence or practice outside California or periods of non-practice within California, as defined in this condition, will not apply to the reduction of the probationary period.
12. Completion of Probation 
Upon successful completion of probation, Respondent's QME certificate(s) shall be fully restored.
13. Violation of Probation
If Respondent violates probation in any respect, the Administrative Director, after giving Respondent notice and the opportunity to be heard, may revoke probation and carry out the disciplinary order that was stayed. If an accusation or petition to revoke probation is filed against Respondent during probation, the Administrative Director shall have continuing jurisdiction until the matter is final and the period of probation shall be extended until the matter of the new accusation or petition to revoke is final.
14. QME Certificate Surrender 
Following the effective date of this decision, if Respondent ceases practicing as a Qualified Medical Evaluator, due to retirement, health reasons or is otherwise unable to satisfy the terms and conditions of probation, Respondent may voluntarily tender his/her QME certificate(s) to the Administrative Director. The Administrative Director reserves the right to evaluate Respondent's request and to exercise its discretion whether to grant the request, or to take any other action deemed appropriate and reasonable under the circumstances. Upon formal acceptance of the tendered QME certificate(s), Respondent will no longer be subject to the terms and conditions of probation.
15. Notation of Probationary QME Status 
Upon the effective date of this decision, the Administrative Director shall make a notation on each letter sent to an unrepresented injured worker, which lists Respondent's name on a panel of QMEs, indicating that Respondent is currently on probation as a QME. Administrative Director also shall make a notation next to Respondent's name wherever it appears in each QME roster issued during the period in which Respondent is on probation on the date the roster is issued. Respondent shall answer truthfully any questions from injured workers or other parties about Respondent's probationary QME status.

B. Optional Conditions of Probation
16. Actual Suspension as Part of Probation 
As part of probation, Respondent is suspended from performing any function as a Qualified Medical Evaluator or an Agreed Medical Evaluator for (enter total time period for suspension), beginning on the sixteenth (16th) day after the effective date of this decision.
17. Approved Ethics or other Educational Course 
Within thirty (30) days of the effective date of this decision, Respondent shall submit to the Administrative Director or his/her designee for his/her prior approval an educational course on forensic evaluator ethics, or on matters related to the violation(s) charged in the accusation, or both. Said course(s) shall be successfully completed by Respondent (enter time for completion), and in any event no later than during the first year of probation. Respondent shall provide theAdministrative Director or its designee with proof of attendance at such course(s).
Completion of any such course required as a term of probation shall be in addition to the continuing medical education requirements for reappointment as a Qualified Medical Evaluator.
Following completion of each course ordered as a term of probation, the Administrative Director or his/her designee may administer an examination to test Respondent's knowledge of the course(s).
18. Clinical Training 
Within sixty (60) days of the effective date of this decision, Respondent shall submit to the Administrative Director for its prior approval a clinical training or educational program. The exact number of hours and the specific content of the program shall be determined by the Administrative Director or his/her designee and shall be related to the violations charged in the accusation. Respondent shall successfully complete the training program and may be required to pass an examination administered by the Administrative Director or its designee related to the program's contents prior to performing work as a Qualified Medical Evaluator or Agreed Medical Evaluator.
19. Oral, Clinical or Written Exam 
Within sixty (60) days of the effective date of this decision, (or upon completion of the required education or ethics course) (or upon completion of the required clinical training program), Respondent shall take and pass a(n) (oral, clinical and/or written) examination to be administered by the Administrative Director or his/her designee. If Respondent fails this examination, Respondent must wait three months between reexaminations, except that after three failures Respondent must wait one year to take each necessary reexamination thereafter. Respondent shall pay the costs of all examinations.
(Use either of the following paragraphs with the above paragraph):
Option #1: Condition Precedent
Respondent shall not perform any functions as a Qualified Medical Evaluator or Agreed Medical Evaluator until Respondent has passed this examination and has been so notified by the Administrative Director in writing. 
Option #2: Condition Subsequent
If Respondent fails to take and pass the first examination,Respondent shall cease performing any functions as a Qualified Medical Evaluator or an Agreed Medical Evaluator until this examination has been successfully passed and Respondent has been so notified by the Administrative Director in writing.
20. Restitution 
Respondent shall provide restitution to ____________in the amount of $ ________ prior to completion of the first year of probation.
21. Third Party Presence -- Sexual Transgressions 
During probation, Respondent shall have a third party present while examining, evaluating or treating (enter appropriate: male/female/minor) injured workers. Respondent shall, within fifteen (15) days of the effective date of the decision, submit to the Administrative Director or his/her designee, for his/her approval, the name(s), business and home phone number(s), and business address, of the persons who will act as the third party present. Respondent shall execute a written release authorizing the designated third party(s) to divulge any information that the Administrative Director may request during interviews by the probation monitor on a periodic basis.
22. Supervised Structured Practice 
Respondent is prohibited from engaging in solo practice. Within thirty (30) days of the effective date of this decision, Respondent shall submit to the Administrative Director and receive his/her prior approval for a plan of practice limited to a supervised, structured environment in which respondent's activities will be overseen and supervised by another QME, who shall provide periodic reports to the Administrative Director.
23. Monitored Practice 
Within thirty (30) days of the effective date of this decision, Respondent shall submit to the Administrative Director and receive his/her prior approval for a plan of practice in which Respondent's activities as a QME or AME will be monitored by another QME, who shall provide periodic reports to the Administrative Director or his/her designee. 
If the monitor resigns or is no longer available, Respondent shall, within five (5) days, provide the Administrative Director or his/her designee the name, address and phone number of a new monitor, for the Administrative Director's approval.
Respondent shall execute a written release authorizing the designated third party(s) to divulge any information that the Administrative Director may request during interviews by the probation monitor on a periodic basis.
24. Psychiatric Evaluation 
Within thirty (30) days of the effective date of this decision, and on a periodic basis thereafter as may be required by the Administrative Director or his/her designee, Respondent shall undergo a psychiatric evaluation by a psychiatrist/psychologist appointed by the Administrative Director. The appointed evaluator shall furnish a report to the Administrative Director or his/her designee.
If Respondent is required by the Administrative Director or his/her designee to undergo psychiatric treatment, Respondent shall within thirty (30) days of the requirement notice, submit to the Administrative Director for his/her prior approval the name and qualifications of a psychotherapist of Respondent's choice. Upon approval of the treating psychotherapist, Respondent shall undergo and continue psychiatric treatment until further notice from the Administrative Director. Respondent shall have the treating psychotherapist submit quarterly status reports to the Administrative Director.
(Optional)
Respondent shall not perform any function as a Qualified Medical Evaluator or an Agreed Medical Evaluator until notified by the Administrative Director of his/her determination that Respondent is mentally fit to resume such forensic practice.
25. Psychiatric Treatment 
Within sixty (60) days of the effective date of this decision, Respondent shall submit to the Administrative Director for his/her prior approval the name and qualifications of a psychotherapist of Respondent's choice. Upon approval, Respondent shall undergo and continue treatment until his or her treating psychotherapist (i.e. psychiatrist, psychologist, other licensed mental health practitioner) deems that no further psychiatric treatment is necessary. Respondent shall have the treating psychotherapist submit quarterly status reports to the Administrative Director. The Administrative Director may require Respondent to undergo psychiatric evaluations by an Administrative Director-appointed psychiatrist/psychologist. 
(Note: This condition is for those cases where the evidence demonstrated that the respondent has had impairment [i.e. impairment by mental illness, alcohol abuse and drug self abuse] related to the violations but is not at present a danger to his/her patients.)
26. Medical Evaluation 
Within thirty (30) days of the effective date of this decision, and on a periodic basis thereafter as may be required by the Administrative Director or his/her designee, Respondent shall undergo a medical evaluation by an Administrative Director appointed physician who shall furnish a medical report to the Administrative Director or his/her designee.
If Respondent is required by the Administrative Director or his/her designee to undergo medical treatment, Respondent shall within thirty (30) days of the requirement notice, submit to the Administrative Director for his/her prior approval the name and qualifications of a physician of Respondent's choice. Upon approval of the treating physician, Respondent shall undergo and continue medical treatment until further notice from the Administrative Director. Respondent shall have the treating physician submit quarterly reports to the Administrative Director.
(Optional)
Respondent shall not perform any functions as a Qualified Medical Evaluator or an Agreed Medical Evaluator until notified by the Administrative Director of his/her determination that Respondent is medically fit to resume forensic practice safely.
(Note: This condition is for those cases where the evidence demonstrates that medical illness or disability was a contributing cause of the violations.)
27. Medical Treatment 
Within sixty (60) days of the effective date of this decision, Respondent shall submit to the Administrative Director for his/her prior approval the name and qualifications of a physician of Respondent's choice. Upon approval, Respondent shall undergo and continue treatment until the Administrative Director deems that no further medical treatment is necessary. Respondent shall have the treating physician submit quarterly reports to a physician appointed by the Administrative Director to evaluate Respondent. Such reports shall indicate whether Respondent is capable of practicing forensic medicine safely. The Administrative Director may require Respondent to undergo periodic medical evaluations by an Administrative Director appointed physician. The Respondent shall pay the costs of all required evaluations.
(Note: This condition is for those cases where there is evidence that medical illness or disability was a contributing cause of the violations but the Respondent is not at present a danger to his/her patients.)
28. Biological Fluid Testing 
Respondent shall immediately submit to biological fluid testing, at Respondent's cost, upon the request of the Administrative Director or his/her designee.
29. Diversion Program 
Within thirty (30) days from the effective date of this decision, Respondent shall enroll and participate in a diversion program designated by the Administrative Director or his/her designee, until the Administrative Director determines that further treatment and rehabilitation is no longer necessary. Quitting the program without permission or being expelled for cause shall constitute a violation of probation by Respondent.
30. Drugs -- Abstain from Use 
Respondent shall abstain completely from the personal use or possession of controlled substances as defined in the California Business and Professions Code, or any drugs requiring a prescription. This prohibition does not apply to medications lawfully prescribed to respondent for a bona fide illness or condition by another practitioner.
31. Controlled Drugs -- Maintain Record 
Respondent shall maintain a record of all controlled substances prescribed, dispensed or administered by Respondent during probation, showing all the following: 1) the name and address of patient, 2) the date, 3) the character and quantity of controlled substances involved, and 4) the indications and diagnoses for which the controlled substances were furnished.
Respondent shall keep these records in a separate file or ledger, in chronological order, and shall make them available for inspection and copying by the Administrative Director or his/her designees, upon request.
32. Alcohol -- Abstain from Use 
Respondent shall abstain completely from the use of alcoholic beverages.
33. Notation of Probationary QME Status 
Upon the effective date of this decision, the Administrative Director shall make a notation on each letter sent to an unrepresented injured worker, which lists Respondent's name on a panel of QMEs, indicating that Respondent is currently on probation as a QME. Administrative Director also shall make a notation next to Respondent's name wherever it appears in each QME roster issued during the period in which Respondent is on probation on the date the roster is issued. Respondent shall answer truthfully any questions from injured workers or other parties about Respondent's probationary QME status.
34. Submission of Reports to the Administrative Director 
Respondent shall submit to the Administrative Director copies of the next five medical/legal reports written by Respondent after the effective date of this decision, in the capacity of a Qualified Medical Evaluator. Respondent shall submit a copy of each such report to the Administrative Director probation monitor within 10 working days of forwarding the report to any party in the case.
35. Use of Terminology Regarding Area of Practice or Specialty
Respondent shall ensure all statements regarding Respondent's professional training and area of practice, appearing on letterhead, advertising, business cards, web sites and other public communications, conform to the provisions of Business and Professions Code 651. Further, Respondent shall refrain from using terms, including (state specific terms or phrases used which resulted in discipline). Respondent further agrees to (add specific terms as applicable to case). 
NOTE

Authority cited: Sections 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Change without regulatory effect amending section filed 10-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 44). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
3. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 7. [Reserved]
§70. Treatment Guideline for Low Back Problems. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8) Labor Code.
HISTORY

1. Editorial correction changing placement of article 7 heading (Register 97, No. 23).
2. New section filed 6-3-97; operative 7-3-97 (Register 97, No. 23).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
5. Repealer of article 7 (sections 70-77) and section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§71. Treatment Guideline for Industrial Neck Injuries. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 7-18-97; operative 8-17-97 (Register 97, No. 29).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§72. Treatment Guideline for Occupational Asthma. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 9-18-95; operative 10-18-95 (Register 95, No. 38).
2. Change without regulatory effect amending section heading and section filed 9-25-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 39).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
5. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§73. Treatment Guideline for Contact Dermatitis. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 9-18-95; operative 10-18-95 (Register 95, No. 38).
2. Change without regulatory effect amending section heading and section filed 9-25-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 39).
3. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
4. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
5. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§74. Treatment Guideline for Post-Traumatic Stress Disorder. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139 and 139.2, Labor Code.
HISTORY

1. New section filed 1-24-97; operative 2-23-97 (Register 97, No. 4).
2. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
3. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§75. Treatment Guidelines for Shoulder Problems. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 7-16-97; operative 8-15-97 (Register 97, No. 29).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§76. Treatment Guideline for Knee Problems. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New article 7 (section 76) and section filed 5-13-97; operative 6-12-97 (Register 97, No. 20).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§76.5. Treatment Guideline for Elbow Problems. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 7-17-97; operative 8-16-97 (Register 97, No. 29).
2. Amendment filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
4. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§77. Treatment Guideline for Problems of the Hand and Wrist. [Reserved]
Note     •     History

NOTE

Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code.
HISTORY

1. New section filed 7-18-97; operative 8-17-97 (Register 97, No. 29).
2. Change without regulatory effect amending section filed 7-12-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 28). Pursuant to this filing, material adopted pursuant to the Administrative Procedure Act that had previously been incorporated by reference in the California Code of Regulations was instead printed in full in the California Code of Regulations.
3. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 10. QME Application Forms
§100. The Application for Appointment as Qualified Medical Evaluator Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1 and 4062.2, Labor Code; Sections 1798 et seq., Civil Code; and Sections 6250 et seq., Government Code.
HISTORY

1. Renumbering of former article 10 to new article 15, new article 10 (sections 100-104) and new section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment filed 8-23-2001; operative 8-23-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
3. Change without regulatory effect amending section filed 5-2-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 18).
4. Change without regulatory effect amending section filed 1-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 4).
5. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
6. Repealer and new QME Form 100 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§101. The Alien Application Form. [Reserved]
History

HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§102. The Application for QME Competency Examination Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Change without regulatory effect amending section filed 1-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 4).
3. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§103. The QME Fee Assessment Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Change without regulatory effect amending section filed 6-27-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 26).
3. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§104. The Reappointment Application as Qualified Medical Evaluator Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4061.5, 4062, 4062.1 and 4062.2, Labor Code; Sections 1798 et seq., Civil Code; and Sections 6250 et seq., Government Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment filed 9-6-2001; operative 10-6-2001 (Register 2001, No. 36).
3. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Article 10.5. QME Process Forms
§105. The Request for Qualified Medical Evaluator Panel -- Unrepresented Form and Attachment to Form 105 (How to Request a QME If You Do Not Have an Attorney) and Form 105a for Dates of Injury on or After Jan. 1, 2013.
Note     •     History

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NOTE: Forms are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4061.5, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New article 10.5 (sections 105-117) and new section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
3. Amendment of section heading, new QME Form 105a and amendment of informational note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§106. The Request for Qualified Medical Evaluator Panel -- Represented Form and Attachment to Form 106 (How to Request a QME in a Represented Case) and Form 106a for Dates of Injury on or After Jan. 1, 2013.
Note     •     History

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NOTE: Forms are available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Change without regulatory effect amending section filed 5-2-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 18).
3. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
4. Amendment of section heading, new QME Form 106a and amendment of informational note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§107. The Qualified Medical Evaluator Panel Selection Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§108. The Qualified Medical Evaluator Panel Selection Instruction Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§109. The Qualified Medical Evaluator Notice of Unavailability Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§110. The Appointment Notification Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15). For prior history see Register 94, No. 31.
2. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§111. The Qualified Medical Evaluator's Findings Summary Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064, 4067 and 4660-4664, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§112. The QME/AME Time Frame Extension Request Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§113. Notice of Denial of Request for Time Extension Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§114. The Denial of Time Extension Form. [Reserved]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§115. The Notice of Late Qualified Medical Evaluator Report Form. [Reserved]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Repealer filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§116. Notice of Late QME/AME Report -- No Extension Requested Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§117. Qualified Medical Evaluator Course Evaluation Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
2. Change without regulatory effect amending section filed 5-2-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 18).
3. Amendment of section heading, repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§118. Application for Accreditation or Re-Accreditation As Education Provider.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 10-16-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2001 order, including further amendment of section, transmitted to OAL 7-12-2001 and filed 8-23-2001 (Register 2001, No. 34). 
4. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§119. Faculty Disclosure of Commercial Interest.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 10-16-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2001 order, including further amendment of section, transmitted to OAL 7-12-2001 and filed 8-23-2001 (Register 2001, No. 34). 
4. Repealer and new section and new Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§120. Voluntary Directive for Alternate Service of Medical-Legal Evaluation Report on Disputed Injury to Psyche.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§121. Declaration Regarding Protection of Mental Health Record.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§122. AME or QME Declaration of Service of Medical-Legal Report.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§123. QME/AME Conflict of Interest Disclosure and Objection or Waiver by Represented-Parties Form.
Note     •     History

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.1, 4062.2, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§124. Specified Financial Interest Attachment to QME Forms 100, 103 or 104 (“SFI Form 124”).
Note     •     History

Any physician who files a QME Form 100 (Application for Appointment), 103 (QME Fee Assessment Form) or 104 (Reappointment Application) with the Administrative Director also shall complete the QME SFI Form 124, in order to disclose specified financial interests that may affect the fairness of QME panels, and append it to the form 100, 103 or 104 being submitted when the form is filed.

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NOTE: Form is available at no charge by downloading from the web at www.dir.ca.gov/dwc/forms.html or by requesting at 1-800-794-6900.
NOTE

Authority cited: Sections 53, 133, 139.2 and 5307.3, Labor Code. Reference: Section 139.2, Labor Code.
HISTORY

1. New section filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§125. [Reserved]

§149. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 139, Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New article 4.5 and section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect relocating article 4.5 heading and renumbering former section 149 to new section 49 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§149.2. Neuromusculoskeletal Evaluation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect  renumbering former section 149.2 to new section 49.2 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§149.4. Cardiovascular Evaluation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect  renumbering former section 149.4 to new section 49.4 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§149.6. Pulmonary Evaluation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect  renumbering former section 149.6 to new section 49.6 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§149.8. Psychiatric Evaluation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect  renumbering former section 149.8 to new section 49.8 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§149.9. Other Evaluation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code.
HISTORY

1. New section filed 7-8-94; operative 8-8-94 (Register 94, No. 27).
2. Change without regulatory effect  renumbering former section 149.9 to new section 49.9 filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
Article 15. Fraudulent or Misleading Advertising
§150. Definitions.
Note     •     History

As used in this Article:
(a) Administrative Director -- means the Administrative Director of the Division of Workers' Compensation of the State of California, Department of Industrial Relations, and includes his or her designee.
(b) Advertising copy -- includes any “public communication” as defined in Business and Professions Code Section 651, or any other communication of any message in any form or medium regarding the availability for professional employment of any physician, which is made by or on behalf of any physician to the general public or any substantial portion thereof.
Advertising concerning medical services regarding industrial injuries or illnesses which benefits any physician, and which is placed by any medical clinic, medical service organization or other non-physician third party shall be deemed advertising copy subject to these regulations.
(c) Medical Board -- means the Medical Board of California as established in Business and Professions Code Section 2001.
(d) Medical Director -- means the physician appointed pursuant to Labor Code Section 122 or such person as he or she may designate.
(e) Physician -- has the meaning defined in Labor Code Section 3209.3.
(f) QME -- means a Qualified Medical Evaluator as defined in Labor Code Section 139.2.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.2, 139.4 and 139.45, Labor Code.
HISTORY

1. New article 10 and section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Renumbering of article 10 to article 15 filed 4-14-2000; operative 5-14-2000 (Register 2000, No. 15).
3. New subsection (a), repealer of subsection (b), subsection relettering and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§151. Filing of Documents.
Note     •     History

Any document filed under these regulations shall be deemed filed on the date when it is received by the Administrative Director.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 133, 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§152. Statement of Intent.
Note     •     History

Nothing in these regulations is intended to alter the interpretation or application of Business and Professions Code section 651. These regulations are promulgated under the authority of Labor Code sections 139.4 and 139.45 and are intended to reflect the Administrative Director's understanding of the Legislature's intent that the Administrative Director apply a higher and independent standard, pursuant to those Sections, to physician advertising which relates to industrial injuries or illnesses.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 28, 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§153. False or Misleading Advertising Copy Prohibited.
Note     •     History

No physician subject to these regulations, or any person acting on his or her behalf or for his or her benefit, shall use, cause to be used, or allow to be used:
(a) Any advertising copy which, through endorsements, testimonials or other representations, makes or implies any guarantee, warranty, or prediction that is intended, or is likely, to create a false or unjustified expectation of favorable results concerning the outcome of the employment of the physician.
(b) Any advertising copy which by use of a firm name, trade name, fictitious business name, or other professional designation states or implies a relationship between any physician in private practice and any governmental agency or entity, with the exception that, as provided in section 154 below, a physician currently or previously certified by the Administrative Director as a Qualified Medical Evaluator may state this fact in advertising copy, a curriculum vitae or in descriptive text, only for the period of time that is true and correct.
(c) Any advertising copy which states or implies that a medical-legal report written by any physician, or group or association of physicians enjoys any special degree of credibility by any workers' compensation judge or judges.
(d) Any advertising copy which advises or recommends the securing of any medical-legal examination, or which suggests that a tactical advantage may be secured by obtaining any medical-legal evaluation.
(e) Any advertising copy which contains the phrase “Qualified Medical Evaluator” or the designation “QME” unless such phrase is used to identify individual physicians who are currently certified as QMEs by the Administrative Director in accordance with Labor Code section 139.2.
(f) Any advertising copy which contains a firm name, trade name, or fictitious business name which contains the phrases “Qualified Medical Evaluator,” “Qualified Medical Examiner”, “Agreed Medical Evaluator”, “Agreed Medical Examiner”, “Independent Medical Examiner” , “Independent Medical Evaluator” or the designations “QME”, “AME” or “IME.”
(g) Any advertising copy which states or implies that any physician has an ongoing appointment, title or professional status as an “Agreed Medical Examiner,” “Agreed Medical Evaluator”, “Independent Medical Examiner,” “AME,” or “IME.”
(h) Any advertising copy which states or implies that the physician is currently an “Agreed Medical Examiner” or “Independent Medical Examiner” in the California Workers' Compensation system. 
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 28, 139.2, 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of subsections (b), (e) and (f), new subsection (h) and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§154. Permissible Advertising Content.
Note     •     History

(a) A physician subject to these regulations, or any person acting on his or her behalf, may use, disseminate, or cause to be disseminated to the public, or any portion of the public, advertising copy which relates to any industrial injury or illness which accurately states:
(1) The name of each physician affiliated with or participating in the physician's practice.
(2) The address, telephone number and business hours of the office or offices.
(3) The areas of practice each physician engages in.
(4) An individual physician's appointment as a QME. A physician who is not currently certified by the Administrative Director as a Qualified Medical Evaluator may, in a curriculum vitae or descriptive text, state any periods in the past during which the physician was certified as a Qualified Medical Evaluator.
(5) A statement that the physician is Board Certified or limits his or her practice to specific fields as authorized by Business and Professions Code Section 651. Any statement of Board Certification shall include the name of the certifying board.
(6) Any languages spoken fluently by the physician or his or her staff.
(7) A description of any diagnostic or therapeutic facilities available.
(8) The availability of surgery or hospitalization on a lien basis.
(9) The usual time frame for scheduling appointments or producing medical reports.
(10) That all billings are made in compliance with the Official Medical Fee Schedule promulgated by the Administrative Director.
(11) Biographic information concerning the physician's educational background, internships and residencies, hospital affiliations, professional affiliations and professional publications.
(b) Any physician who wishes to use, disseminate, or cause to be disseminated to the public, or any portion of the public, any advertising copy which relates to any industrial injury or illness which contains any material not specified in subsection (a) above, shall apply in writing to the Administrative Director for approval before using such material. The Administrative Director shall approve all requests which do not contain material which is false or likely to mislead the public with respect to workers' compensation. No advertising copy submitted to the Council pursuant to this subsection shall be used until the Administrative Director has given his/her written approval.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.2, 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of subsections (a)(4), (a)(10) and (b) and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§155. Filing of Complaints.
Note     •     History

(a) Any person may file a complaint with the Medical Director, alleging that any physician is using advertising copy which violates the provisions of Business and Professions Code Section 651, or the provisions of these regulations.
(b) Complaints filed with the Medical Director shall be in writing and contain the following:
(1) The full name and address of the party filing the complaint.
(2) The full name and address of the physician against whom the complaint is made, or if the complainant is unable to identify the physician using the advertising, as much information as the complainant can provide to assist the Administrative Director in identifying the physician who used the advertisement.
(3) A copy, if available to the complaining party, of the advertising copy against which the complaint is made, or a description of the medium in which the advertising copy appeared. Such description should contain sufficient details regarding the manner and form in which the advertising copy was published to allow a copy of the advertising copy to be obtained by the Administrative Director.
(4) A detailed statement of the grounds on which the advertising copy is alleged to violate Business and Professions Code Section 651 or these regulations.
(5) All complaints filed under this section shall be filed with the Medical Director, at Division of Workers' Compensation, P.O. Box 71010, Attention: Medical Unit, Oakland, CA 94612.
(6) Nothing in these regulations shall prevent the Administrative Director or Medical Director from acting independently, and without receipt of a complaint, to initiate an investigation and issue a complaint on the Administrative Director's own motion whenever the Administrative Director or Medical Director has reason to believe that there has been a violation of Business and Professions Code section 651 or these regulations.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of subsections (b)(2)-(3) and (b)(5)-(6) and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§156. Requests to Review Advertising Copy.
Note     •     History

(a) Upon receipt of a complaint under Section 155 of these regulations, the Administrative Director shall serve a written notice of complaint on the physician against whom the complaint was filed. Such notice shall direct the physician to file a copy of his or her advertising with the Medical Director within 15 working days of the date on which the notice was served.
(b) The Medical Director may take such steps as he or she deems necessary to determine whether the complaint has merit.
(1) The Medical Director shall respond to the complaint within fifteen (15) working days of the Administrative Director's receipt of the physician's response and notify the complainant that the Administrative Director:
(A) will investigate the complaint; or
(B) will require additional time to ascertain whether the complaint has merit; or
(C) will refer a copy of the complaint to another agency which also has jurisdiction over the subject matter of the complaint; or
(D) will take no further action on the complaint because the Administrative Director lacks jurisdiction over the person or conduct complained of; or
(E) will take no further action on the complaint because the allegations of the complaint do not warrant further action by the Administrative Director for the reasons stated in the response.
(c) At the time of filing the advertising copy with the Medical Director, the physician shall also file an answer to the complaint, briefly setting forth the grounds on which the physician believes the copy to be in compliance with Business and Professions Code Section 651, and the provisions of these regulations. Nothing contained in the answer shall preclude the right of the physician to present further or different grounds of defense before the Administrative Director or appropriate licensing board. Upon reviewing the physician's answer, the Medical Director may dismiss or informally resolve the complaint where he or she deems such action appropriate.
(d) The Administrative Director may, without receipt of a complaint, request a physician to provide a copy of any advertising used by that physician for review. Such a request shall be made in writing, and shall be personally served on the physician.
(e) If a physician who has been appointed as a QME fails to deliver a copy of the advertising used to the Administrative Director within fifteen (15) working days of receipt of the notice, the Administrative Director may infer from the failure to comply that the advertising material used by the QME is in violation of Business and Professions Code Section 651, or these regulations. The maximum penalty that the Administrative Director may impose for a finding of violation based solely on the negative inference created by this provision shall be suspension of the physician's appointment as a Qualified Medical Evaluator for a period of six months followed by a period of probation not to exceed one year.
(f) If a non-QME physician fails to deliver a copy of the advertising used to the Administrative Director within fifteen (15) working days of receipt of the request, the Administrative Director shall refer the matter to that physician's licensing board for such proceedings as that board may deem proper.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of section heading, section and Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§157. Determinations.
Note     •     History

(a) If, after reviewing the physician's advertising copy and the physician's answer to the complaint, the Medical Director determines that the advertising copy violates Business and Professions Code section 651, or these regulations and that the physician is currently a Qualified Medical Evaluator, the disciplinary and hearing procedures set forth in sections 60 through 65 of Title 8 of the California Code of Regulations shall apply. The Medical Director shall forward a copy of any final decision of such violations to the physician's licensing board for such proceedings as that board may deem proper.
(b) If the Medical Director determines that the physician subject to the investigation currently is not a QME, the Medical Director shall forward a copy of the preliminary determination, the complaint, and all supporting documentation to the appropriate physician's licensing board for such proceedings as that board may deem proper.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of subsections (a) and (b), repealer of subsections (c)-(d)(6) and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§158. Penalties.
Note     •     History

(a) A QME who is found to have violated any provision of Business and Professions Code section 651, or these regulations may have his or her QME status terminated, suspended, or placed on probation by the Administrative Director. Any probation imposed may have such conditions as the Administrative Director deems reasonable, including, but not limited to the publication of corrective advertising and the submission of future advertising copy for the Administrative Director's approval before its use.
(b) The Administrative Director shall consider the following factors in determining the appropriate penalty for a violation of Business and Professions Code section 651, or these regulations:
1. the seriousness or materiality of the misrepresentation,
2. whether the physician cooperated with the investigation,
3. whether the violation was a single event, or appeared to be part of a pattern sufficient to demonstrate a business practice,
4. whether the violator has a record of prior discipline by the Administrative Director, Medical Board, or other appropriate licensing board or authority,
5. whether the violator has a record of contempt reprimands or adjudications issued by the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of subsections (a), (b) and (b)4. and amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
§159. Severability.
Note     •     History

If any portion of this chapter or the application of any part thereof to any person, individual, party, entity, or circumstance is held invalid, the remainder of the chapter and its application to any other person, individual, party, entity, or circumstance, shall not be affected thereby.
NOTE

Authority cited: Sections 133, 139.4, 139.45 and 5307.3, Labor Code. Reference: Sections 139.4 and 139.45, Labor Code.
HISTORY

1. New section filed 3-31-93; operative 4-30-93 (Register 93, No. 14).
2. Amendment of Note filed 1-13-2009; operative 2-17-2009 (Register 2009, No. 3).
Chapter 2. California Apprenticeship Council
Subchapter 1. Apprenticeship
Article A-1. General Provisions
§200. General Provision.
Note     •     History

If any provision of this chapter or application thereof to any person, individual, party, entity or circumstances is held invalid, the remainder of the chapter and the application to any other person, individual, party, entity or circumstances, shall not be affected thereby.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 1777.5 and 3081, Labor Code.
HISTORY

1. Revision of Chapter 2 filed 9-25-69; effective thirtieth day thereafter (Register 69, No. 39). For former sections and history, see Registers 67, Nos. 24 and 32, and 69, No. 19.
2. Amendment filed 8-27-76; effective thirtieth day thereafter (Register 76, No. 35).
3. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33).
4. Editorial correction of NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
5. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 1. Procedures for Investigating, Holding Hearings and Determining Disputes
§201. Filing of Complaints.
Note     •     History

(a) Appeals by apprentices from discipline shall be filed in accordance with the procedures under 8 C.C.R. 207.1. Complaints that are not appeals from discipline may be filed by any interested person with the Administrator of Apprenticeship or the Administrator of Apprenticeship upon his/her own initiative may issue a complaint, within the time period specified below, when there is cause to believe that a decision, order or action of an apprenticeship program sponsor has been in violation of its standards or rules or an apprentice agreement and has been unfair or unreasonable; or that there has been a violation of:
(1) Chapter 4, Division 3 of the Labor Code (excluding Section 1777.5 and 3099 et. seq.);
(2) California Code of Regulations, Title 8, Chapter 2, Subchapter 1 (excluding Article 10); or
(3) Equal Opportunity Standards, which shall be filed and conducted in accordance with the State of California Plan for Equal Opportunity Apprenticeship (see title 8, California Code of Regulations, Section 215).
(b) All such complaints shall be filed within thirty days of the alleged violation, except for violations of Equal Opportunity Standards which shall be filed within 180 days.
(c) Complaints filed with, or issued by the Administrator of Apprenticeship shall contain the following:
(1) The full name and address of the party (person, organization, or other party) filing the complaint (hereinafter referred to as the “charging party”).
(2) The full name and address of the party (person, organization, or other party) against whom the complaint is made (hereinafter referred to as the “respondent”).
(3) A clear and concise statement of the facts constituting the basis for the complaint.
(4) The signature of the person filing the complaint or an authorized officer or agent in the case of an organization, employer, labor union, apprenticeship program sponsor, or other interested party.
(5) A declaration by the person signing the complaint, under penalties of law, that its contents are true and correct to the best of his/her knowledge and belief.
(d) Upon receipt or issuance of a complaint the Administrator of Apprenticeship shall cause a copy of such complaint to be served upon the respondent(s).
(e) Complaints may be withdrawn only with the consent of the Administrator of Apprenticeship.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3081 and 3082, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 5-18-73; effective thirtieth day thereafter (Register 73, No. 20).
2. Amendment of subsection (a) filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44).
3. Editorial correction of subsection (b) filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
4. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
5. Amendment filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
6. Editorial correction restoring section dropped from printing of  Register 90, No. 17 (Register 90, No. 42).
7. Reinstatement of section as it existed prior to 4-9-90 emergency amendment filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
8. Amendment filed 4-10-92; operative 5-11-2 (Register 92, No. 21).
9. Amendment of subsections (a)(1)-(2) and amendment of Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3).
10. Amendment filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
§202. Investigations, Holding of Hearings and Determinations.
Note     •     History

(a) The Administrator of Apprenticeship, or his or her designated representative may take such steps as he or she deems necessary under the circumstances to investigate the complaint and to bring about an amicable adjustment of the controversy. In the event that there are local adjustment procedures which have been approved by the Chief DAS, the charging party(s) shall be referred to that procedure for a period not to exceed 60 calendar days prior to the filing and/or processing of a complaint under this section or Labor Code Section 3081. The referral for local adjustment shall in no way be construed so as to abrogate the statutory right to file a complaint under Section 3081 of the Labor Code. 
(b) The Administrator of Apprenticeship may designate his/her duly authorized representative to conduct an investigation, to hold a hearing in connection with a complaint, and may designate his/her duly authorized representative to decide on the complaint. The Administrator of Apprenticeship may, in the alternative, delegate a representative only to investigate, or only to hold a hearing, and to report to the Administrator of Apprenticeship. The Administrator of Apprenticeship reserves the authority to decide on the complaint. In that case, the duly authorized representative shall submit to the Administrator of Apprenticeship the entire record together with his/her written recommendations. The Administrator of Apprenticeship shall review the record and the written recommendations before deciding on the complaint. 
The Administrator of Apprenticeship may dismiss any complaint that is not timely filed or that is without merit. In such cases the Administrator of Apprenticeship shall prepare a determination of dismissal and file it with the California Apprenticeship Council, and notify all parties to the complaint in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of his/her determination to dismiss the complaint and the basis for the determination. The determination of dismissal by the Administrator shall be within sixty (60) calendar days of receipt or issuance of the complaint, provided that the sixty (60) days allowed for a local adjustment procedure shall not affect the time provided for the determination of the Administrator. Any continuance caused by the parties shall toll the running of the sixty (60) day period provided for the determination of the Administrator. If any party to the complaint requests a hearing within 10 days of receipt of the notice of determination of dismissal of the complaint and shows good cause why a hearing is necessary, the Administrator or his/her duly authorized representative may conduct a hearing in the same manner as set forth in subdivision (c). 
(c) If the Administrator of Apprenticeship holds a hearing, it shall be in accordance with the following procedure: 
(1) He/she shall fix the time and place of the hearing which shall take place no more than 90 days after the decision to hold a hearing and notify all interested parties to the complaint not less than 30 days in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing and specifying whether the hearing will be for the purpose of hearing argument or taking evidence or both. 
(2) At the hearing, the parties to the complaint shall be given an opportunity to present evidence and/or oral or written arguments in support of their positions as set forth in the notice of hearing. 
(3) The hearing need not be conducted according to technical rules relating to evidence and witnesses. The hearing officer may require the parties to follow any of the rules of procedure set forth in 8 C.C.R. §232.01 et. seq. for hearings on public works complaints and shall notify the parties of any such rules that will be followed at the time the parties are advised of the time and place of the hearing.
(4) All witnesses testifying before the hearing officer shall testify under oath. 
(5) A recording shall be made of the hearing.
(d) In deciding on the complaint after a hearing, the Administrator of Apprenticeship or his/her duly authorized representative shall prepare a statement of findings of fact, and decision, file it with the California Apprenticeship Council and notify all parties to the complaint in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of the decision and of any action taken. The Administrator of Apprenticeship's decision on the complaint or any action taken shall be issued or taken no later than sixty (60) calendar days following the hearing.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3081 and 3082, Labor Code.
HISTORY

1. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
2. Editorial correction of NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
3. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
4. Amendment of subsection (a) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
5. Amendment filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
§203. Appeals to the California Apprenticeship Council.
Note     •     History

(a) The following procedures shall be followed when an appeal is filed with the Council within ten (10) days from the date the parties are given notification of the determination. The parties shall be deemed to have been given notification five (5) days after notice has been sent to their address of record. 
(1) The Chair of the Council shall appoint three (3) members of the Council to act as an appeal board and decide the appeal. This appeal board shall consist of one member of the Council representing an employee organization and one member representing an employer organization; the third member will be a member who does not represent either of the aforementioned groups and shall act as chair of the appeal board. 
(2) The appeal board shall review the entire record and may hold an appeal hearing thereon to hear argument from the parties. 
(3) In the event of a hearing, the designated chair of the appeal board shall fix the time and place of the hearing on the appeal and notify all interested parties to the appeal not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. 
(4) The hearing on the appeal shall be limited to a review of the record before the Administrator of Apprenticeship to determine whether there is substantial evidence in the record to support the decision, and to oral or written arguments by interested parties to the appeal; where the appeal board finds that there is relevant evidence which, in the exercise of reasonable diligence, could not have been produced or which was improperly excluded at the hearing before the Administrator of Apprenticeship, and such evidence might require a different decision, the appeal board may return the matter to the Administrator to admit such evidence to supplement the record and exercise his/her independent judgment upon all of the evidence in the record. The appeal board may, in its independent judgment, refer the matter to the program sponsor for reconsideration of its prior action, in an attempt to resolve the matter amicably. In the event the program changes its decision, an appellant apprentice, however, shall be entitled to file a new complaint in accordance with Title 8, Chapter 2, Section 201 or 207.1 of the California Code of Regulations. 
(5) The appeal board shall submit a written report to the Council summarizing the evidence, findings of fact, and recommended decision. The Council shall take appropriate action on the recommended decision. If for any reason the Council rejects the appeal board's recommended decision, a complete copy of the record shall have been made available to the Council for independent review and consideration before any action is taken by the Council in rendering a decision. 
(6) The Council will timely notify all parties to the appeal of its decision in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3082, 3083 and 3084, Labor Code.
HISTORY

1. Amendment filed 8-27-76; effective thirtieth day thereafter (Register 76, No. 35). 
2. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
3. Editorial correction of NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
4. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
5. Amendment filed 6-4-85; effective thirtieth day thereafter (Register 85, No. 23). 
6. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
7. Amendment of subsections (a)(2), (a)(4) and (a)(5) filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
Article 2. Definitions
§204. Declaration of Policy. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code.
HISTORY

1. Amendment of subsection (b) and (c) filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44). 
2. Amendment of Article 2 heading and repealer of Section 204 filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§205. Definitions.
Note     •     History

(a) “Journeyman” means a person who has either 
(1) completed an accredited apprenticeship in his/her craft, or 
(2) who has completed the equivalent of an apprenticeship in length and content of work experience and all other requirements in the craft which has workers classified as journeyman in the apprenticeable occupation. 
(b)“Instructor” means a person who has either 
(1) completed an accredited apprenticeship in his/her craft, or 
(2) who has completed the equivalent of an apprenticeship in length and content of work experience and all other requirements in the craft but may not necessarily be designated as a journeyman. 
(c) An “Apprenticeable Occupation” is one which requires independent judgment and the application of manual, mechanical, technical, or professional skills and is best learned through an organized system of on-the-job training together with related and supplemental instruction. 
(d) “Registration of an Apprentice Agreement”means the acceptance and recording thereof by the Division of Apprenticeship Standards which serves as evidence of the participation of the apprentice in a specific apprenticeship program. 
(e) “Apprenticeship Program” means a comprehensive plan containing, among other things, apprenticeship program standards, committee rules and regulations, related and supplemental instruction course outlines and policy statements for the effective administration of that apprenticeable occupation. 
(f) “Apprenticeship Program Standards” means that written document containing among other things all the terms and conditions for the qualification, recruitment, selection, employment and training, working conditions, wages, employee benefits, and other compensation for apprentices and all other provisions and statements including attachments as required by the Labor Code and this Chapter which, when approved by the Chief DAS, shall constitute registration of such, and authority to conduct that program of apprenticeship in the State of California.
(g) “Apprenticeship Program Sponsor” means a joint apprenticeship committee, a unilateral labor or management committee, or an individual employer program. 
(h) “Related and Supplemental Instruction” means an organized and systematic form of instruction designed to provide the apprentice with knowledge including the theoretical and technical subjects related and supplemental to the skill(s) involved. 
(i) “Competent Evidence” as used in Section 224 means a transcript or abstract of the record required to be maintained pursuant to Section 212(c)(6), or an attestation by the apprentice program sponsor stating that all training has been fully completed, on forms to be provided by the Division of Apprenticeship Standards, demonstrating that the apprenticeship program has been fully complete, certified by the apprenticeship program sponsor and endorsed by a representative of the Division of Apprenticeship Standards. 
(j) An “Interested Party” for the purpose of application for approval of an apprenticeship program, means an employer, employer organization or association, a group of employers, employer associations or organizations, an employe association or organization, or employee representatives, a group of employee representatives, associations or organizations, labor and/or management groups or any combination thereof whose interest may be affected by the apprenticeship program if approved. 
(k) “Maintenance” is defined as routine, recurring and usual work for the preservation, protection and keeping of any facility for its intended purposes in a safe and continually usable condition. 
(l) The term “Chief DAS” means the Chief of the Division of Apprenticeship Standards.
(m) “Employed as an apprentice” in the building and construction industry for the purpose of Labor Code Section 3098 means employment pursuant to the approved standards of apprenticeship of the Program, under the supervision of journeyman/men, where the apprentice is receiving at least the minimum wage applicable to the apprentice's period of apprenticeship as provided for in this chapter. 
(n) “Geographic Area of Operation” of an apprenticeship program means the geographic area in which the program regularly operates and trains apprentices. 
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3075, 3077, 3079, 3086 and 3090, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-27-76; effective thirtieth day thereafter (Register 76, No. 35). 
2. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 3). 
3. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
4. Amendment of subsection (f) and new subsection (l) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
5. New subsections (m) and (n) filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3).
§206. Approval and Registration of Apprentice Agreements.
Note     •     History

(a) Agreements approved by Joint Apprenticeship Committee 
(1) An apprentice agreement in an approved joint apprenticeship program shall be approved by the joint apprenticeship committee if the agreement complies with the apprenticeship program standards and Chapter 4 of Division 3 of the Labor Code and its implementing regulations under Title 8, California Code of Regulations, Section 200 et seq; and where there are adequate related and supplemental instruction and an assurance of employment to provide on-the-job training. 
(2) After approval by the joint apprenticeship committee, the agreement shall be sent to DAS for registration within thirty (30) days of its execution by the apprentice. 
(3) DAS shall register the agreement if DAS determines that it was approved in accordance with the requirements set out above, under subsection (a)(1), and it was submitted to DAS within thirty (30) days of its execution by the apprentice. 
(4) Within thirty (30) days of receipt of the agreement, DAS shall either register the agreement or return it to the program sponsor with the reasons for non-registration. If DAS registers the agreement, the registration shall be effective as of the date of its execution by the apprentice. 
(b) Agreements approved by the Administrator 
(1) If there is no joint apprenticeship committee, the apprenticeship agreement shall be sent to DAS for approval by the Administrator within thirty (30) days of its execution, and shall be approved if the Administrator determines that it complies with the requirements set out above, under subsection (a)(1), and it was submitted to DAS within thirty (30) days of its execution by the apprentice. 
(2) If approved, the agreement shall be considered registered as of the date of its execution by the apprentice. A copy of the approved agreement shall be filed with the CAC for its review. If the Administrator does not approve the agreement, it shall not be registered and shall be returned to the program sponsor within 30 days of the date of receipt with the reasons for non-approval. 
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3079 and 3080, Labor Code. 
HISTORY

1. New section filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). For prior history, see Register 85, No. 4.
§207. Termination of Apprentice Agreements.
Note     •     History

(a) During the probationary period, if any, an apprentice agreement shall be terminated by the program sponsor at the request in writing of either party. An apprentice terminated by the program sponsor while on probation shall have no right to file a complaint under section 201 nor to contest the cancellation under section 207.1. 
(b) After the probationary period, or where there is no probationary period, the apprentice agreement may only be terminated by the Administrator. 
(1) Where there is mutual agreement of the parties, an apprentice agreement may be terminated by submitting to the Administrator a request in writing to terminate the agreement signed by the parties. 
(2) Where there is not mutual agreement, either party may request that the agreement be terminated by the Administrator. The party making the request shall submit whatever evidence it believes shows that there is good and sufficient reason to terminate the agreement. The Administrator shall review the evidence and, where there is good and sufficient reason, shall terminate the agreement. The Administrator shall act within sixty days of receipt of the request. No program sponsor shall submit a request to terminate an apprentice agreement unless it shall first have given the apprentice notice in writing of its intended action and, if the program's standards provide for a local adjustment procedure, of the apprentice's right to exhaust the local adjustment procedure. In its request, the program sponsor shall advise the Administrator of the notice to the apprentice. 
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3077, 3078, 3079 and 3080, Labor Code. 
HISTORY

1. New section filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). For prior history, see Register 85, No. 4.
2. Amendment filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
§207.1. Appeals from Requests to Terminate Apprentice Agreements and from Apprentice Discipline.
Note     •     History

(a) An apprentice who contests a program sponsor's request for termination may file an appeal with the Administrator of Apprenticeship. 
(1) Any appeal must be filed within 30 days from written notice of the action of the Committee, and shall contain: 
(A) The full name and address of the apprentice filing the complaint (hereinafter referred to as the “complainant”). 
(B) The full name and address of the party (person, organization, or other party) against whom the complaint is made (hereinafter referred to as the “respondent”). 
(C) A clear and concise statement of the facts constituting the basis for the complaint and the specific section of the Standards, or Program Rules that the apprentice contends have been violated. 
(D) The signature of the person filing the complaint. 
(E) A declaration by the person signing the complaint, under penalty of perjury, that its contents are true and correct to the best of his/her knowledge and belief. 
(2) Upon receipt of an appeal, the Administrator of Apprenticeship shall cause a copy of such complaint to be served upon the respondent(s). 
(3) Respondent shall have 30 days to provide the Administrator with evidence that it had good and sufficient reason for terminating the agreement and that it followed its standards and rules in disciplining the apprentice. Respondent shall also provide a copy of the minutes of the appeal hearing which considered the action by the program. 
(4) After reviewing the complaint and the evidence provided, the Administrator shall have discretion to investigate the complaint further and may hold a hearing to allow the parties to present argument, either orally or in writing. The Administrator may also allow the parties to present evidence and in such case any hearing shall be in accordance with the procedures set out in 201(b) and (c) 
(b) An apprentice who contests a program sponsor's imposition of discipline short of termination may file an appeal with the Administrator following the same procedure set forth in (a) above and the appeal shall be considered in the same manner as set forth in (a) above for appeals from requests for termination. 
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3081 and 3082, Labor Code.
HISTORY

1. New section filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
Article 3. Standards for Minimum Wages, Maximum Hours and Working Conditions
§208. Wages, Employee Benefits, and Other Compensation for Apprentices.
Note     •     History

(a) For Apprentices In All Occupations Except The Building And Construction Industry:
For apprentices participating in approved apprenticeship programs in all industries, except the building and construction industry, the beginning wage rate, employee benefits and other compensation, and the progression of those rates, shall be decided by the sponsoring program in consultation with and subject to the approval of the Chief DAS.
(b) For Apprentices In The Building And Construction Industry Employed On Public Works Projects:
For apprentices participating in approved apprenticeship programs in the building and construction industry, the wages and employer payments for employees benefits as defined in 8 C.C.R. §16000 for regular and overtime work while employed on public works projects within the meaning of Labor Code §1720 et seq. shall be the per diem wage rates for apprentices in the apprenticeable occupation as determined by the Director of Industrial Relations in the geographic area of the project.
(c) For Apprentices In The Building And Construction Industry Employed On Projects Not Covered By Subsection (b), Above:
The hourly wage package as used herein consists of the total of the wages and employer payments for employee benefits as defined in 8 C.C.R. §16000. For apprentices participating in approved apprenticeship programs in the building and construction industry, the minimum hourly wage package for apprentices while employed on projects not covered by Subsection (b) above shall be as set forth either in subsections (1)-(5) of this subsection or, in the alternative, as set forth in subsection (6) of this subsection:
(1) A starting hourly wage package for first- period apprentices of not less than 40 percent of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project, as determined by the Director of Industrial Relations for purposes of Labor Code §1720 et seq., using the rate effective on the immediately preceding March 1. At least 65 percent of this minimum hourly wage package must be paid to the apprentice as taxable wages; 
(2) If there is no prevailing hourly wage package and wage package progression determined by the Director for journeymen for the apprenticeable occupation and geographic area, a starting wage rate decided by the sponsoring program in consultation with and subject to the approval of the Chief DAS based on consideration of the minimum starting hourly wage package and wage package progression for apprentices in the most analogous occupations and geographic areas; 
(3) Where an employer elects to satisfy a portion of the hourly wage package by employer payments for employee benefits as defined in 8 C.C.R. §16000, the payment of such contributions must be verifiable and the cost of the benefit(s) must be reasonably related to the amount of the contribution(s). The employer shall submit its books and records to an audit by the DAS staff, upon request, to verify such payments;
(4) Where an employer elects not to satisfy a portion of the apprentice's hourly wage package by employer payments for employee benefits as defined in 8 CCR §16000, the employer shall pay the entire hourly wage package to the apprentice on the apprentice's paycheck. Where an employer elects to satisfy a portion of the apprentice's hourly wage package by employer payments for employee benefits, the employer shall pay the remainder of the apprentice's hourly wage package to the apprentice in the apprentice's paycheck; 
(5) The minimum hourly wage package shall increase for each successfully completed period of apprenticeship to a higher percentage of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project. These periodic increases in percentage shall be equal (e.g., 40 percent, 50 percent, 60 percent, etc.) and shall be such that the minimum hourly wage package in the final period of apprenticeship is not less than 80 percent of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project, as determined by the Director, using the rate effective on the immediately preceding March 1. At least 65 percent of this minimum hourly wage package must be paid to the apprentice as taxable wages; 
(6) In the alternative, a contractor will be in compliance with this entire subsection (c) if the contractor provides the same total hourly wage package and wage package progression to apprentices employed on private projects as the contractor provides to apprentices employed on public works projects in the same geographic area, and that total hourly wage package is not less than the prevailing per diem apprentice wage package for the apprenticeable occupation and the geographic area of the project; 
(7) Existing apprenticeship programs already approved by the DAS and the CAC which are not in compliance with any aspect of this Subsection (c) shall have until February 17, 2002, to come into full compliance; 
(8) By the enactment of this regulation, it is not the CAC's intent to change the manner by which the Director of Industrial Relations currently determines the prevailing wage rate, and the provisions of this Subsection (c) shall not be used to determine the prevailing wage rate.
(9) After February 17, 2002, all contractors employing registered apprentices shall pay not less than the minimum wages required by this subsection (c). 
(d) For All Apprentices
Nothing in this Section shall permit the payment of less than the minimum wage prescribed by the Federal Fair Labor Standards Act or any applicable State minimum wage order.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 1777.5, Labor Code.
HISTORY

1. Amendment filed 11-5-75; effective thirtieth day thereafter (Register 75, No. 45). 
2. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
3. Editorial correction of Article 3 heading filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
4. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
5. Amendment of section heading, repealer and new section filed 9-6-95; operative 10-6-95 (Register 95, No. 36).
6. Amendment of section and Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3).
§209. Overtime Provision.
Note     •     History

Overtime shall not interfere with or impair the training and shall not be detrimental to the health and safety of apprentices.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3078, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
. 2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§210. Working Conditions.
Note     •     History

Apprentices shall work under and with competent journeymen and/or instructors and shall be assigned to work and learning tasks so that they obtain the diversified training on-the-job provided for in the apprenticeship standards.
NOTE

Authority cited: Sections 3071 and 3078, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 4. Apprenticeship Standards
§211. Apprenticeable Occupations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3076 and 3077, Labor Code.
HISTORY

1. Repealer filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33).
§212. Content of Apprenticeship Program Standards.
Note     •     History

Apprenticeship programs shall be established by written apprenticeship standards which must be approved by the Chief DAS under Section 212.2. In order to be approved, the standards must cover all work processes within the apprenticeable occupation. The standards must contain:
(a) A statement of: 
(1) the occupation(s) and an outline of the work processes in which the apprentice will receive supervised work experience and training on the job, and the allocation of the approximate time to be spent in each major process; 
(2) the parties to whom the standards apply, the program sponsor's labor market area, as defined by Section 215 appendix 2(l), for purposes of meeting equal employment opportunity goals in apprenticeship training and the program's geographic area of operation as defined by section 205(n); 
(3) the duties of the apprentice; 
(4) the apprentice's working conditions unique to the program; 
(5) the progressively increasing wage, employee benefits and other compensation of the apprentice, as set by Section 208; 
(6) the ratio of apprentices to journeymen, or the number of apprentices to be employed and the method used to determine the ratio whether by job site, workforce, department or plant; 
(7) the local education agency which has agreed to provide the related and supplemental instruction, and a description of the courses to be provided; 
(b) Provisions for: 
(1) establishment of an apprenticeship committee, if applicable;
(2) administration of the standards; 
(3) establishment of rules and regulations governing the program. An apprenticeship program's standards or rules may provide for a period of probation which may not be for more than the combination of 1,000 hours of employment and 72 hours of related instruction;  
(4) determining the qualifications of employers if other than single employer programs and an orientation, workshop, or other educational session for employers to explain the apprenticeship program's standards and the operation of the apprenticeship program; 
(5) determining the qualifications of apprentice applicants and fair and impartial treatment of applicants for apprenticeship selected through uniform selection procedures, which shall be an addendum to the standards, pursuant to Section 215; 
(6) the incorporation of the provisions of the standards into the apprentice agreement either directly or by reference; 
(7) a procedure to be utilized for the recording and maintenance of all records concerning apprenticeship and otherwise required by law including a system for recording the apprentice's worksite job progress and progress in related and supplemental instruction and a system for the periodic review and evaluation of the apprentice's progress in job performance and related instruction;  
(8) discipline of apprentices for failure to fulfill their obligations on-the-job or in related instruction, including provisions for fair hearings;
(9) terminating, or recommending the cancellation of, apprentice agreements in accordance with section 207; 
(10) recommending issuance of State Certificates of Completion of Apprenticeship pursuant to Section 224; 
(11) training and supervision, both on the job and in related instruction, in first aid, safe working practices and the recognition of occupational health and safety hazards; 
(12) training in the recognition of illegal discrimination and sexual harassment;
(13) approval of the standards, and revisions to the standards, by the Chief DAS;
(14) an adequate mechanism to be used for the rotation of the apprentice from work process to work process to assure the apprentice of complete training in the apprenticeable occupation including mobility between employers when essential to provide exposure and training in various work processes in the apprenticeable occupation; and an adequate mechanism that will be used to provide apprentices with reasonably continuous employment in the event of a lay-off or the inability of one employer to provide training in all work processes as outlined in the standards; 
(15) the on-going evaluation of the interest and capacity of individual employers to participate in the apprenticeship program and to train apprentices on-the-job and provisions for the evaluation of on-the-job training and related and supplemental instruction; 
(16) compliance with training criteria where such have been adopted pursuant to Section 212.01; and 
(17) meaningful representation of the interests of apprentices in the management of the program, which is shown where: 
(A) In a joint labor-management sponsored program, the apprentices participating in that program are represented by a labor organization pursuant to one of the following: National Labor Relations Act, the Railway Labor Act, the California Public Employee Relations Act, Agricultural Labor Relations Act, the Meyers-Milias Brown Act; 
(B) In a program sponsored by more than one employer or an association of employers, the apprentices participating in that program are at least equally represented on an advisory panel established by the apprenticeship committee responsible for the operation of the program. The apprentices shall be represented on the advisory panel by at least three representatives of the apprentices' choice who shall have full voice and vote on the panel except as to financial matters or matters that relate to the administration or structure of an employee benefit plan or the administration or operation of a trust fund. The representatives of the apprentices shall be selected by way of a secret ballot election among the apprentices conducted by the apprenticeship program not less than once every two (2) years. This advisory panel shall meet not less than once every quarter to address issues and concerns raised by and affecting the apprentices in the program. 
(c) The names and signatures of the parties.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3060, 3071, 3073, 3075 and 3078, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19). 
2. Amendment of subsection (a)(8) filed 11-5-75; effective thirtieth day thereafter (Register 75, No. 45). 
3. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
4. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
5. Amendment of initial paragraph and subsection (c)(15) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
6. Amendment filed 9-6-95; operative 10-6-95 (Register 95, No. 36).
7. Amendment of section and Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§212.01. State-Wide Minimum Industry Training Criteria.
Note     •     History

(a) The California Apprenticeship Council (“Council”) may adopt state-wide minimum industry training criteria adopted by a particular industry training committee established pursuant to the provisions of this section, unless the particular committee cannot establish such criteria by its deadline as provided under this section, in which case the CAC may otherwise determine state-wide minimum industry training criteria to be utilized in accordance with the provisions of this section.
(b) The following procedures shall be followed when initially establishing the minimum industry training criteria:
(1) A committee shall be established by the Chair of the Council for each apprenticeable construction-industry craft or trade, and may be established by the Chair of the Council for any apprenticeable non-construction industry craft or trade. The Chair shall appoint a minimum of eight (8) members in the following categories: two signatory employer representatives, two non signatory employer representatives, two signatory employee representatives, and two non signatory employee representatives. The term of each member shall be three years. The Chair may appoint additional members in the same proportion. The Chair shall appoint members from among candidates supplied by the sponsors of apprenticeship programs approved or proposed for approval under the Shelley-Maloney Apprentice Labor Standards Act of 1939, Chapter 4 (commencing with Section 3070) of Division 3 of the Labor Code (“Shelley-Maloney Act”) in the particular craft or trade. The Chair shall notify all programs approved or proposed for approval under the Shelley-Maloney Act in the particular craft or trade of the Chair's intent to form such committee or appoint committee members at least 45 days before making such appointments, and must provide such programs with a period of at least 30 days within which to submit candidates to the Chair. Where programs do not supply sufficient candidates in the categories required to the Chair within the period provided or where there are no programs to supply candidates, the Chair may select individuals working in the particular craft or trade to complete the committee. The Chair shall endeavor to appoint members from all segments of the industry.
(2) Committee action shall require a two-thirds majority vote of the members in attendance at a duly constituted meeting. For the purpose of this section, a duly constituted meeting shall mean that a quorum consisting of a majority of the entire committee is in attendance.
(3) The committee shall meet as often as necessary at the call of its chair. The chair of the committee shall be appointed annually by the Chair of the Council. The chair of the committee shall rotate between signatory and non signatory representatives.
(4) The committee shall establish the state-wide minimum industry training criteria for the trade or craft for which it was established, the content of which shall encompass all the requirements of Section 212 of these regulations and the following topics in addition thereto: length of training, related classroom instruction, types of work processes and the skills to be learned, on-the-job training, competency testing, and apprenticeship program completion percentages. The criteria for the barbering, cosmetology, skin care and nail care trades shall be consistent with the standards for licensure in these trades required by the State Board of Barbering and Cosmetology.
(5) The committee shall formulate the state-wide minimum industry training criteria for the applicable trade or craft no later than twelve months from the date of its first meeting, unless extended by the Council. The Council shall endeavor to complete its review of the criteria by the second regularly scheduled meeting of the Council following the submission. If the Council does not approve the criteria, the submission shall be promptly returned to the committee with the Council's written reasons and a new deadline for resubmission to the Council.
(c) Every three years following the adoption of a particular set of state-wide minimum industry training criteria, the particular committee shall meet to review the criteria, and revise it, if necessary, subject to approval by the Council.
(d) Every apprenticeship program approved or proposed for approval under the Shelley-Maloney Act in a particular craft or trade for which state-wide minimum industry training criteria has been adopted shall conform to such criteria in its operations no later than one (1) year after adoption of such criteria by the Council.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3073.2 and 3078, Labor Code.
HISTORY

1. New section filed 9-27-96; operative 10-27-96 (Register 96, No. 39).
2. Amendment of section heading and Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
3. Amendment of section heading and section filed 6-19-2007; operative 7-19-2007 (Register 2007, No. 25).
§212.1. Reciprocal Approval of Apprenticeship Programs.
Note     •     History

Apprenticeship programs and standards of employers and unions in other than the building and construction industry, which jointly form a sponsoring entity on a multistate basis and are registered pursuant to all requirements of Title 29 Code of Federal Regulations, Part 29, as adopted February 15, 1977, by any recognized State Apprenticeship Agency/Council or by the Bureau of Apprenticeship and Training, U.S. Department of Labor, shall be accorded approval reciprocity by the Chief DAS, if such reciprocity is requested by the sponsoring entity.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. New section filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
§212.2. Eligibility and Procedure for DAS Approval of an Apprenticeship Program.
Note     •     History

(a) To be eligible for approval, a program must comply with all applicable federal and state law and regulations. A revision to change the program's occupation or to change the program's geographic area of operation to include a different labor market area is subject to the same application and approval process set out in (a)-(j) of this section for approval of a program, including providing notice of the proposed revision and an opportunity for comment to existing programs in the same apprenticeable occupation in the labor market area. The program sponsor shall submit to the Chief, DAS, an application for approval of the program and shall provide the program standards and, either with the application or during the application review process, evidence of: 
(1) commitment to provide safe work site facilities and safe equipment sufficient to train the apprentices; 
(2) commitment to provide skilled workers as trainers at the work site who meet the criteria for journeyman or instructor as defined in Section 205(a) or (b); 
(3) adequate arrangements for related and supplemental instruction pursuant to Labor Code section 3074; 
(4) ability to offer training and supervision in all work processes of the apprenticeable occupation; 
(5) the program sponsor's ability, including financial ability, and commitment to meet and carry out its responsibility under the federal and state law and regulations applicable to the apprenticeable occupation and for the welfare of the apprentice. 
(b) The training must be in an apprenticeable occupation as defined in Section 205(c) and must conform to the requirements of Section 215 concerning equal opportunity in apprenticeship;
(c) Within thirty days after receipt of an application for approval of a program, or for approval of a revision to change the occupation or to change the program's geographic area of operation to include a different labor market area, the Chief DAS shall notify the sponsor in writing either that: (1) the application is complete and accepted for filing; or (2) the application is incomplete and specified additional information is required;
(d) Where a collective bargaining agreement exists, a program shall be jointly sponsored unless either party to the agreement waives its right to representation in writing; 
(e) If the standards or collective bargaining agreement of a program proposed by an employer or employers' association provide for participation by a union in the operation of the program, the sponsor shall provide evidence that the union accepts or does not oppose the program. The union may submit comments on the proposed program within thirty days after receipt of the proposed standards. The Chief may, in his or her discretion, consult with such union concerning the proposed program;
(f) If the standards and collective bargaining agreement of a program proposed by an employers' association do not provide for participation by a union in the operation of the program, the sponsor shall serve a copy of the proposed standards and any supplement thereto on the union, if any, which is the collective bargaining agent of the employees to be trained. The union may submit comments on the proposed program within thirty days after receipt of the completed standards. The Chief may, in his or her discretion, consult with such union concerning the proposed program;
(g) Upon receipt of the proposed standards of a program, the Chief shall serve a copy of the proposed standards and any supplement thereto on the sponsor of each existing program in the apprenticeable occupation in the labor market area of the program, unless the program has advised the Chief DAS that it does not wish to be so notified. Each such existing program may submit comments on the proposed program within thirty days after receipt of the completed standards. The Chief may, in his or her discretion, consult with such existing program concerning the proposed program;
(h) The Chief may, in his or her discretion, hold a hearing on any issue relating to the compliance of a proposed program with federal and state law and regulations. The Chief shall provide notice of, and an opportunity to attend, the hearing to the sponsor and to any union or existing program that is entitled to submit comments under this section. The hearing shall be conducted informally without the application of formal rules of evidence or procedure;
(i) The Chief's decision whether to approve a program shall be issued within ninety days after the receipt of the completed application for approval. The decision shall be served on the sponsor and on each party which submitted comments on the proposed program. The decision shall be in writing and shall set forth the relevant findings of fact, a discussion of any issues raised by any comments or at any hearing and the reasons for the decision;
(j) The median time for processing an application to train apprentices, from the receipt of the initial application to the final approval decision, based on the experience in the two years preceding the proposal of this Section, is two years. The minimum time is one and a half years, and the maximum time is three years.
(k) The Chief's decision approving or disapproving a proposed program shall be final and become an Order of the Council if no appeal is filed within 30 days following service of the decision on the parties. The appeal may be filed by the sponsor or by any union or existing program which was authorized to and did submit comments under this section;
(l) The chairperson of the Council shall refer the appeal, if any, to a three member panel which shall submit a recommendation to the full Council. The Panel's recommendation shall be submitted no later than the second regularly scheduled meeting of the Council after the filing of the appeal. The panel may, in its discretion, hold a hearing if the Chief did not hold a hearing in the consultation process. The hearing shall be conducted in compliance with Section 203.
(m) The Council may affirm, reverse, or modify the decision of the Chief or of the appeal panel. The decision of the Council on an appeal shall be final.
(n) All documents, notices and appeals filed or served under this Section shall be filed or served in accordance with Section 229.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3075 and 3090, Labor Code.
HISTORY

1. New section filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
2. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
4. Amendment of section heading and section filed 9-6-95; operative 10-6-95 (Register 95, No. 36).
5. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§212.3. Apprenticeship Program Self-Assessment and Audits.
Note     •     History

(a) Each apprenticeship program shall annually prepare and submit a Self-Assessment Review as well as a Program Improvement Plan to the Chief DAS; provided, however, that a program is not required to submit a Review and a Plan in the first year of its existence.
(b) The Self-Assessment Review shall contain an objective and critical appraisal of the following items at a minimum:
(1) curriculum and instruction;
(2) supervision and management;
(3) individual apprentice training plans;
(4) use of competent and qualified personnel;
(5) utilization of facilities, equipment and material;
(6) community, business and industry involvement;
(7) recruitment, assessment and placement;
(8) program promotion;
(9) program accountability;
(10) safety and drug-free environmental training; and
(11) training in the recognition of sexual harassment and illegal discrimination.
(c) The Program Improvement Plan shall contain provisions by which the program sponsor(s) represent that good faith efforts shall be made to improve identified deficiencies in program operations and in the training of apprentices. Such Plan shall contain at a minimum:
(1) remedial priorities;
(2) program improvement objectives;
(3) identification of personnel, resources, and action needed; and
(4) timelines for completion of objectives.
(d) The Chief DAS shall select a program for random audit using a method that is not based on factors specific to that audit subject. A program may be selected for random audit only once during each five-year period beginning January 1, 2000. A program may be selected for non-random audit at any time if: 
(1) there have been at least two previous final determinations that the program has violated laws or regulations regulating apprenticeship; or 
(2) the Chief, DAS, as the result of a previous audit under this section, has identified violations of the program's standards or laws or regulations regulating apprenticeship and believes that the violations may not have been remedied. 
(e) A program that has been selected for audit shall be notified by the Chief DAS fourteen (14) days prior to the commencement of the audit. The notice shall state whether the audit is a random audit or non-random. 
(f) An audit of a program shall include a review of the program records, including records of apprentice training and related and supplemental instruction; inspection of the program's training facilities; visits to on-the-job training locations; and review of individual apprentice records. Apprentice records may be reviewed by a method of random selection and not every apprentice record need be reviewed so long as a sufficient number are reviewed to fairly evaluate the program. The Chief DAS shall provide a copy of the proposed audit report to the program within 30 days of the completion of the audit. The program shall have 14 days following receipt of the report to make comments. The Chief DAS may reopen the audit in response to any comments, and shall submit a final audit report, taking into account any comments, to the California Apprenticeship Council within 10 days following the final completion of the audit. 
(g) Audit reports shall not include the name, address or social security number or other identifying information about any apprentice and shall not include any medical or other confidential information about any apprentice. 
(h) The audit report prepared by the Chief DAS for presentation to the California Apprenticeship Council shall contain recommendations for remedial action to correct deficiencies, if any, and a proposed time schedule for doing so. The Chief DAS shall report at each regular California Apprenticeship Council meeting the status of each audit, including whether or not the deficiencies identified in the audit report have been corrected. 
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3073.1, 3074, 3074.3, 3075, 3078 and 3090, Labor Code.
HISTORY

1. New section filed 9-27-96; operative 10-27-96 (Register 96, No. 39).
2. Amendment of section heading, repealer of subsections (d)-(e), new subsections (d)-(h) and amendment of Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§212.4. Deregistration of Programs.
Note     •     History

The deregistration of a program cancels the approval of a program to operate.
(a) The Chief DAS shall deregister an apprenticeship program upon the request of the sponsor as long as within fifteen days of the Chief's acknowledgment of the request for deregistration, the sponsor shall inform each apprentice in writing of the deregistration, the proposed effective date of the deregistration and the names and addresses of other programs in the area. The Chief shall not deregister the program unless the sponsor complies with this requirement.
(b) The Chief may deregister an apprenticeship program, if the program is not conducted, operated and administered in accordance with applicable federal and state law and regulations or the program's approved apprenticeship standards, or if a program has had no active apprentices for a period of two (2) years, except that deregistration proceedings for violation of equal opportunity requirements shall be processed in accordance with Section 215:
(1) If the Chief has information that a program is not being operated in accordance with applicable federal and state law and regulations or the program's approved apprenticeship standards, the Chief shall so notify the program sponsor in writing sent by registered or certified mail, with return receipt requested. The notice shall identify the violation and the action needed to correct the violation. The notice shall state that the program will be deregistered unless corrective action is completed within thirty days. Upon a showing of good cause, the Chief may grant the sponsor a reasonable extension of time to achieve corrective action. Where the Chief has information that a program has had no active apprentices for a period of two (2) years, that shall be considered grounds for deregistration and the Chief shall notify the program sponsor in writing as set forth above that the program will be deregistered unless the program can show good cause within thirty (30) days why it should not be deregistered; 
(2) The Chief shall advise the sponsor in every reasonable way to help the program sponsor correct the violation;
(3) If the required correction is made, the Chief may periodically review the program to see that the correction is maintained; 
(4) If the required correction is not completed, or if a program which has had no active apprentices for a period of two (2) years fails to show good cause why it should not be deregistered, within the allotted time, the Chief shall send a notice to the sponsor, by registered or certified mail, return receipt requested. The notice shall:
(A) State that it is sent pursuant to this subsection;
(B) Indicate that the program has had no active apprentices for a period of two (2) years and has failed to show good cause why it should not be deregistered; or identify the violation with particularity, state when it was called to the sponsor's attention, identify the correction required and state that the sponsor has failed or refused to correct the violation;
(C) State that the Chief will recommend that the Administrator deregister the program unless the sponsor requests a hearing within fifteen days of the date of the notice;
(5) If the sponsor does not request a hearing, the Chief shall transmit to the Administrator a report containing all pertinent facts and circumstances concerning the violation, including the findings and recommendation for deregistration, and copies of all relevant documents and records. Statements concerning interviews, meetings and conferences shall include the time, date, place, and persons present. The Administrator shall make a final order on the basis of the record.
(6) If the sponsor requests a hearing, the Chief shall transmit to the Administrator a report containing all the data listed in subparagraph (5) above. The Administrator shall hold a hearing in accordance with Section 202, and shall make a final decision on the basis of the record, including the proposed findings and recommended decision of the Chief. At the Administrator's discretion, he/she may allow the sponsor a reasonable period of time to achieve corrective action. 
(7) The decision of the Administrator concerning deregistration of a program shall be final and become an order of the Council unless an appeal is filed by the sponsor with the Council within thirty (30) days following the date the decision is issued. If the program is deregistered, and no appeal to the Council is filed, the deregistration shall be effective sixty (60) days following the date the Administrator's Decision was issued. 
(8) The sponsor may appeal the Administrator's Decision to the Council. If an appeal is filed, the procedures of Section 203 shall be followed. The Decision of the Council shall be final and shall be effective thirty (30) days following the date the Council's Decision is issued. 
(9) Upon issuance of the Administrator's Decision to deregister, the Administrator shall make public notice of this Decision and shall notify the sponsor and other programs in the same occupation and in the same labor market area. Within 15 days of service of the Administrator's Decision, the sponsor shall notify each apprentice of the Administrator's Decision to deregister the program. The sponsor shall inform each apprentice that, if the deregistration decision becomes final, it automatically terminates the apprentice's individual registration. The sponsor shall provide each apprentice with the names and addresses of other programs in the area. Finally, the sponsor shall provide Chief, DAS, with proof of said mailing. 
NOTE

Authority cited: Sections 3071 and 3081, Labor Code. Reference: Sections 3073, 3075, 3078, 3081, 3082, 3083 and 3090, Labor Code.
HISTORY

1. New section filed 9-6-95; operative 10-6-95 (Register 95, No. 36).
2. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§213. Discipline--Cancellation.
Note     •     History

The apprenticeship program standards may provide for the disciplining of apprentices for failure to fulfill their obligations on-the-job or in related instruction. Disciplinary measures may include provisions for the suspension of an apprentice for a period not to exceed sixty (60) days. Standards may provide for a recommendation to the Administrator of Apprenticeship for the immediate cancellation of the apprentice agreement for good and sufficient reason.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. Amendment filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
3. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
§214. Approved Forms. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code.
HISTORY

1. Amendment filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Amendment filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44). 
3. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 5. Selection Procedures
§215. State Compliance.
Note     •     History

Selection procedures must be in writing, approved by the apprenticeship program sponsor, and must meet objective standards. 
Apprenticeship programs must comply with the State of California Plan for Equal Opportunity in Apprenticeship adopted by the California Apprenticeship Council on April 26, 1986 to be effective September 28, 1986, as though expressly set forth herein and shall be considered as an appendix hereto and appropriately marked as such, including the month and year of adoption.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3075.1 and 3076, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 6-8-71; effective thirtieth day thereafter (Register 71, No. 24). 
2. New subsection (d) filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19). 
3. New subsection (e) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). 
4. Amendment of subsection (a) filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40). 
5. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
6. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
7. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
§216. Review and Compliance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code.
HISTORY

1. Repealer filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44). For prior history, see Registers 73, No. 20; and 71, No. 33. 
2. Renumbering from Section 217 to Section 216 and amendment of subsection (d) filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44). 
3. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§217. Review and Compliance. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). 
2. Renumbering from Section 217 to Section 216 filed 11-3-78; effective thirtieth day thereafter (Register 78, No. 44).
Article 6. Apprenticeship Programs and Committees
§218. Apprenticeship Programs.
Note     •     History

The administration and operation of apprenticeship programs shall be supervised by an apprenticeship program sponsor which shall approve apprentice agreements, adjust disputes and perform such other functions and duties as are agreed to in the apprenticeship standards. An apprenticeship program is not restricted to a local area of coverage and may provide for local, regional or statewide coverage in its standards. All actions and determinations regarding apprenticeship programs by apprenticeship program sponsors shall be made after giving reasonable notice and opportunity to be heard to all interested parties.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3073 and 3075-3080, Labor Code.
HISTORY

1. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§219. Local Joint Apprenticeship Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3075, Labor Code.
HISTORY

1. Repealer filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33).
§220. Local Unilateral Apprenticeship Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3079, Labor Code.
HISTORY

1. Repealer filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33).
§221. Federations of Apprenticeship Committees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code.
HISTORY

1. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33).
. 2. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§222. State and Regional Apprenticeship Advisory Committees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3073, Labor Code.
HISTORY

1. Amendment filed 8-9-71; effective thirtieth day thereafter (Register 71, No. 33).
2. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
3. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§223. State and Local Community Equal Opportunity Apprenticeship Committees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3075.1 and 3076, Labor Code.
HISTORY

1. Amendment filed 8-15-79; effective thirtieth day thereafter (Register 79, No. 33). 
2. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 7. State Certificates of Completion of Apprenticeship
§224. When Issued.
Note     •     History

(a) A “Certificate of Completion of Apprenticeship” attesting to the completion of an apprenticeship will be issued under the authority of the California Apprenticeship Council by the Division of Apprenticeship Standards upon receipt of such competent evidence as may be required by the California Apprenticeship Council. 
(b) The certificate shall signify completion of an apprenticeship under standards and apprentice agreement approved under the State Apprenticeship Law and these regulations. 
(c) Completion of the entire apprenticeship program by the apprentice shall be attested to by the local apprenticeship program sponsor. The local apprenticeship program sponsor will attest to the related and supplemental instruction after consulting with the appropriate school authorities regarding the completion of the educational requirements of related and supplemental subjects. 
(d) The certificate is in recognition of completion of an apprenticeship. The certificate may be granted to an apprentice only when the apprentice:
(1) in addition to previous on-the-job training and related school instruction which is of an approved nature, shall have completed not less than an additional six (6) months as an apprentice under the laws of the State of California; and 
(2) demonstrated to the satisfaction of the apprenticeship program sponsor, mastery of the skills and knowledge of the prescribed program.
(e) The local apprenticeship program sponsor in recognition of unusual ability and progress in mastering the skills of the occupations and the related and supplemental education program may decrease the apprenticeship period for individual apprentices by not more than twelve and one-half (12 1/2) percent. 
(f) Credit toward the apprenticeship for work experience prior to the apprenticeship may be given by the local apprenticeship program sponsor after verification and/or examination. Credit for partial completion of the education requirements for related and supplemental instruction may be given by the local apprenticeship program sponsor after consultation with the appropriate school authorities concerning the mastery of the related instruction ordinarily required of the apprentices. 
(g) In instances where school classes are not available or where attendance will result in an undue hardship on the apprentice, the local apprenticeship program sponsor, after consultation with the appropriate school officials, may make arrangements for acceptance of educational experiences such as home study or correspondence courses as fulfilling the related and supplemental education requirement.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3078, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
2. Editorial correction of subsection (g) (Register 95, No. 41).
Article 8. Local Joint Apprenticeship Committee Certificate of Authorization [Repealed]
HISTORY

1. Amendment of subsections (a), (a)(1), (a)(4), (a)(5), (a)(6) and (a)(8) filed 8-9-71; effective thirtieth day thereafter (Register 71, No. 33).
. 2. Repealer of Article 8 (Section 225) filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
Article 9. Certificates of Meritorious Service [Repealed]
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code.
HISTORY

1. Repealer of Article 9 (Section 226) filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 10. Required Apprentices On  Public Works Contract
§227. Scope and Application.
Note     •     History

These regulations shall govern all actions pursuant to provisions of Division 2, Part 7, Chapter 1, Labor Code Sections 1777.5 and 1777.7.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Sections 1777.5, 1777.6 and 1777.7, Labor Code. Hydrostorage, Inc. v. Northern California Boilermakers Local Joint Apprenticeship Committee, (1989) 891 F.2d 719.
HISTORY

1. Repealer and new section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For prior history, see Register 82, No. 40.
2. Reinstatement of section as it existed prior to 4-9-90 emergency repeal and adoption filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
3. Repealer and new section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Editorial correction of Authority cite (Register 95, No. 21).
§228. Definitions.
Note     •     History

For the purpose of this Article 10:
(a) ADMINISTRATOR means the Administrator of Apprenticeship or a duly authorized representative.
(b) CHIEF means the Chief of the Division of Apprenticeship Standards or a duly authorized representative.
(c) CONTRACTOR means a general, prime, specialty or subcontractor.
(d) COUNCIL means the California Apprenticeship Council.
(e) DAS means the Division of Apprenticeship Standards.
(f) DATE OF AGREEMENT OR CONTRACT AWARD means, whichever is earlier, the date the Public Work contract was signed by the party authorizing performance under the Public Work, or the date a Notice to Proceed was issued.
(g) WORKER means any journeyman as defined in Section 205(a) of Title 8 performing work of an apprenticeable occupation on a public works job, except a licensee who is a sole proprietor.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Sections 1777.5 and 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For history of former section 228, see Register 82, No. 40.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§229. Service, Notice and Computation of Time.
Note     •     History

(a) Except where otherwise provided for in these Regulations, all documents and notices required to be served pursuant to this Article shall be served personally, or by certified mail, or by first class mail on the party to be served or attorney or representative of Record.
(b) Service shall be prior to filing. Proof of service, by means of a written declaration under penalty of perjury stating the name(s) and address(es) of party(s) served and the date and manner of service, shall be attached to the papers filed.
(c) In computing the time within which a right may be exercised or an act is to be performed the first day shall be excluded and the last day shall be included. If the last day is a Saturday, Sunday or legal holiday, time shall be extended to the next weekday. For documents or notices served by first class main the time for performing any act shall be extended pursuant to the Code of Civil Procedure Section 1013.
(d) A request for review which is transmitted to the Administrator within 30 days after service of the order of debarment or civil penalty will be considered timely if the request was sent to the Administrator by first class mail or facsimile with a proof of service showing the date of service was within 30 days after service of the order of debarment or civil penalty. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. Repealer and new section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For prior history, see Register 82, No. 40.
2. Reinstatement of section as it existed prior to 4-9-90 emergency repeal and adoption filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
3. Repealer and new section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment of section heading and new subsection (d) filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§230. Notification of Contract Award Information.
Note     •     History

(a) Contractors shall provide contract award information to the apprenticeship committee for each applicable apprenticeable craft or trade in the area of the site of the public works project that has approved the contractor to train apprentices. Contractors who are not already approved to train by an apprenticeship program sponsor shall provide contract award information to all of the applicable apprenticeship committees whose geographic area of operation includes the area of the public works project. This contract award information shall be in writing and may be a DAS Form 140, Public Works Contract Award Information. The information shall be provided to the applicable apprenticeship committee within ten (10) days of the date of the execution of the prime contract or subcontract, but in no event later than the first day in which the contractor has workers employed upon the public work. Failure to provide contract award information, which is known by the awarded contractor, shall be deemed to be a continuing violation for the duration of the contract, ending when a Notice of Completion is filed by the awarding body, for the purpose of determining the accrual of penalties under Labor Code Section 1777.7. The DAS Form 140 or written notice shall include the following information, but shall not require information not enumerated in Section 230: 
(1) the contractor's name, address, telephone number and state license number;
(2) full name and address of the public work awarding body;
(3) the exact location of the public work site;
(4) date of the contract award;
(5) expected start date of the work;
(6) estimated journeyman hours;
(7) number of apprentices to be employed;
(8) approximate dates apprentices will be employed;
NOTE

Authority cited; Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code.
HISTORY

1. Repealer and new section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For prior history, see Register 82, No. 40.
2. Reinstatement of section as it existed prior to 4-9-90 emergency repeal and adoption filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
3. Repealer and new section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§230.1. Employment of Apprentices on Public Works.
Note     •     History

(a) Contractors, as defined in Section 228 to include general, prime, specialty or subcontractor, shall employ registered apprentice(s), as defined by Labor Code Section 3077, during the performance of a public work project in accordance with the required one hour of work performed by an apprentice for every five hours of labor performed by a journeyman, unless covered by one of the exemptions enumerated in Labor Code Section 1777.5 or this subchapter. Unless an exemption has been granted, the contractor shall employ apprentices for the number of hours computed above before the end of the contract. Contractors who are not already employing sufficient registered apprentices (as defined by Labor Code Section 3077) to comply with the one-to-five ratio must request the dispatch of required apprentices from the apprenticeship committees providing training in the applicable craft or trade and whose geographic area of operation includes the site of the public work by giving the committee written notice of at least 72 hours (excluding Saturdays, Sundays and holidays) before the date on which one or more apprentices are required. If the apprenticeship committee from which apprentice dispatch(es) are requested does not dispatch apprentices as requested, the contractor must request apprentice dispatch(es) from another committee providing training in the applicable craft or trade in the geographic area of the site of the public work, and must request apprentice dispatch(es) from each such committee, either consecutively or simultaneously, until the contractor has requested apprentice dispatches from each such committee in the geographic area. All requests for dispatch of apprentices shall be in writing, sent by first class mail, facsimile or email. Except for projects with less than 40 hours of journeyman work, each request for apprentice dispatch shall be for not less than an 8 hour day per each apprentice, or 20% of the estimated apprentice hours to be worked for an employer in a particular craft or trade on a project, whichever is greater, unless an employer can provide written evidence, upon request of the committee dispatching the apprentice or the Division of Apprenticeship Standards, that circumstances beyond the employer's control prevent this from occurring. If a non-signatory contractor declines to abide by and comply with the terms of a local committee's standards, the apprenticeship committee shall not be required to dispatch apprentices to such contractor. Conversely, if in response to a written request no apprenticeship committee dispatches, or agrees to dispatch during the period of the public works project any apprentice to a contractor who has agreed to employ and train apprentices in accordance with either the apprenticeship committee's standards or these regulations within 72 hours of such request (excluding Saturdays, Sundays and holidays) the contractor shall not be considered in violation of this section as a result of failure to employ apprentices for the remainder of the project, provided that the contractor made the request in enough time to meet the above-stated ratio. If an apprenticeship committee dispatches fewer apprentices than the contractor requested, the contractor shall be considered in compliance if the contractor employs those apprentices who are dispatched, provided that, where there is more than one apprenticeship committee able and willing to unconditionally dispatch apprentices, the contractor has requested dispatch from all committees providing training in the applicable craft or trade whose geographic area of operation include the site of the public work. Nothing in this section shall affect the right of a Contractor who participates in and employs registered apprentices from programs approved under Labor Code Section 3075 outside the geographic area of the public work from employing said apprentice(s) on the site of the public work in order to meet the ratio requirement of Labor Code Section 1777.5.
(b) Apprentices employed on public works shall be paid the applicable apprentice prevailing per diem wage rate, available from DAS, and derived from the Director's survey of wages paid on public works in the geographic area of the craft or trade. DAS shall refer complaints alleging any contractor's failure to pay the proper apprentice prevailing wage rate on a public works project to the Division of Labor Standards Enforcement for investigation and appropriate action.
(c) Apprentices employed on public works can only be assigned to perform work of the craft or trade to which the apprentice is registered. Work of the craft or trade consists of job duties normally assigned to journeymen in the apprenticeable occupation. Where an employer employs apprentices under the rules and regulations of the California Apprenticeship Council, as set forth in Labor Code Section 1777.5(c)(2), apprentices employed on public works must at all times work with or under the direct supervision of journeyman/men. The on-the-job training shall be in accordance with the apprenticeship standards and apprenticeship agreement under which the apprentice is training, provided that a contractor shall not be subject to any financial or administrative obligations to a trust fund or employee benefit plan unless the contractor has so agreed. 
(d) The provisions of this regulation shall not apply to contractors on public works projects that were bid prior to July 1, 2009. Such contractors shall comply with the version of this regulation that was in effect prior to July 1, 2009.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
5. Amendment of subsections (a) and (d) filed 6-22-2009; operative 7-1-2009 pursuant to Government Code section 11343.4(c) (Register 2009, No. 26). 
6. Amendment of subsection (a) filed 10-17-2011; operative 11-16-2011 (Register 2011, No. 42).
§230.2. Payment of Apprenticeship Training Contributions to the Council.
Note     •     History

(a) Contractors who are neither required nor wish to make apprenticeship training contributions to the applicable local training trust fund shall make their training contributions to the Council. Contractors may refer to the Director of the Department of Industrial Relations applicable prevailing wage determination for the amount owed for each hour of work performed by journeymen and apprentices in each apprenticeable occupation.
(b) Training contributions to the Council are due and payable on the 15th day of each month for work performed during the preceding month.
(c) Training contributions to the Council shall be paid by check and shall be accompanied by a completed CAC-2 Form, Training Fund Contributions, (Rev. 10/91), or the following information:
(1) The name, address, and telephone number of the contractor making the contribution.
(2) The contractor's license number.
(3) The name and address of the public agency that awarded the contract.
(4) The jobsite location, including the county where the work was performed.
(5) The contract or project number.
(6) The time period covered by the enclosed contributions.
(7) The contribution rate and total hours worked by apprenticeable occupation.
(8) The name of the program(s) that provided apprentices, if any. 
(9) The number of apprentice hours worked, by apprenticeable occupation and by program. 
(d) Training fund contribution paid to the CAC and deposited by the last day of a fiscal year into the Apprenticeship Training Contribution Fund shall be distributed in accordance with this subdivision within 90 days of the end of that fiscal year. Only apprenticeship programs that have had approval under Labor Code section 3075 for the entire fiscal year and are in existence at the time of the distribution of funds shall be entitled to receive a share of the distributed contributions. Contributions shall be distributed as follows: (i) payment shall first be made to the Division of Apprenticeship Standards for its budgeted expenses to administer this subdivision in the fiscal year in which the distribution is made; (ii) where there is only one applicable apprenticeship program in the same occupation for which contributions were made whose geographic area of operation as defined in 8 C.C.R. section 205(n) includes the county in which the work was performed, those contributions will be distributed to that program less the pro rata share of expenses paid by DAS; and (iii) where there are two or more applicable apprenticeship programs in the same occupation for which contributions were made whose geographic area of operation as defined in 8 C.C.R. section 205(n) includes the county in which the work was performed, those contributions will be distributed to each such program in proportion to the total number of registered apprentices that DAS has recorded in that program on June 30 of the fiscal year for which contributions were received less the pro rata share of expenses paid by DAS. “Pro rata share of expenses” means the share of DAS expenses that bears the same ratio to the contributions to be distributed as the total DAS expenses bear to the total contributions received in the fiscal year.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Sections 1770, 1773, 1773.1, 1777.5 and 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. New subsections (c)(8)-(9) filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
5. New subsection (d) and amendment of Note filed 4-6-2005; operative 5-6-2005 (Register 2005, No. 14).
§231. Complaints and Determinations of Noncompliance with Labor Code Section 1777.5.
Note     •     History

(a) Complaints alleging noncompliance with Labor Code Section 1777.5 may be filed with the Chief by any person. Such complaints shall contain the following:
(1) The full name and address of the party filing the complaint.
(2) The full name and address of the party(s) against whom the complaint is made (hereinafter referred to as the “respondent”).
(3) The name and address of the general contractor if the party against whom the complaint is filed is a subcontractor.
(4) The full name and address of the public work awarding body.
(5) The location (address or geographic location) of the public work site.
(6) A clear and concise statement of the facts constituting the basis for the complaint, date(s) of the alleged violation(s) and where appropriate, substantiation that respondent has: (A) failed to provide the applicable Apprenticeship Committee with notice of contract award information; and/or (B) failed to comply with the required apprentice to journeyman ratio; and/or (C) failed to properly employ apprentice(s) by assigning apprentice(s) to perform work outside the craft or trade of the apprenticeable occupation; and/or (D) failed to make required contributions to the Council or to the applicable apprenticeship program; and/or (E) failed to provide the applicable Apprenticeship Committee with a verified statement of the journeyman and apprentice hours performed on the contract; and/or (F) otherwise violated Labor Code Section 1777.5. 
(7) The apprenticeable occupation.
(8) A declaration by the person signing the complaint under penalty of perjury that its contents are true and correct to the best of his/her knowledge and belief.
(9) The signature of the person filing the complaint, or in the case of an organization, an authorized officer or agent.
(10) Proof of Service of the complaint on the respondent, and in the case of a respondent subcontractor also on the general and/or prime contractor, pursuant to the provisions of Section 229.
(b) The Chief shall investigate complaints and provide written notice to the complaining party, if any, and the respondent of the determination. Whether or not there is a complaint, the Chief shall conduct an investigation before making a determination that a violation has occurred. 
(c) The filing of a complaint is not a prerequisite to the initiation of an investigation by the Chief or to a determination by the Chief that a violation has occurred. 
(d) Before issuing a determination that a violation has occurred, the Chief shall provide the affected contractor(s) with written notice of the allegations and a reasonable opportunity to respond. 
(e) The Chief, on his/her own initiative, may issue a non-willful Notice when there is cause to believe that there has been a non-willful violation of Labor Code Section 1777.5. Such Notice shall be filed within six (6) months from the date of the alleged violation and shall contain the information required in subpart (b) of this section, but need not be under penalty of perjury. The Chief shall serve notice of a determination of a civil penalty or debarment on the affected contractor(s). The notice shall set forth the procedure set forth in Labor Code section 1777.7(c) for obtaining review of the Chief's decision. For purposes of commencing a period of debarment, the date of the determination of noncompliance by the Chief shall be the first date on which the Chief's decision is no longer subject to review. 
(f) Nothing in this subchapter shall prevent the Chief from entering into a settlement with the affected contractor, either before or after a notice of a determination. 
(g) If the Chief determines that a contractor has failed to submit contract award information and/or a verified statement of the journeyman and apprentice hours performed, the contractor shall use certified mail as the means of making subsequent submissions and maintain U.S. Postal Service return receipts as proof of mailing. The certified mail requirement shall end after two years from the notice of the determination. 
(h) For purposes of Labor Code Section 1777.7, a contractor knowingly violates Labor Code Section 1777.5 if the contractor knew or should have known of the requirements of that Section and fails to comply, unless the failure to comply was due to circumstances beyond the contractor's control. There is an irrebuttable presumption that a contractor knew or should have known of the requirements of Section 1777.5 if the contractor had previously been found to have violated that Section, or the contract and/or bid documents notified the contractor of the obligation to comply with Labor Code provisions applicable to public works projects, or the contractor had previously employed apprentices on a public works project. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Sections 1770, 1773, 1777.5 and 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment of section heading, section and Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
§231.1. Investigations of Alleged Willful Violations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Change without regulatory effect repealing section filed 12-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
§231.2. Proceedings Before Hearing on Alleged Willful Violations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Change without regulatory effect repealing section filed 12-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
§231.3. Proceedings After Issuance of a Citation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. Editorial correction of Authority and Reference cites (Register 95, No. 21).
§231.4. Proceedings Before Hearing on Alleged Willful Violations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. Editorial correction of Authority and Reference cites and History 2  (Register 95, No. 21).
§232. Hearings on Alleged Violations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Change without regulatory effect amending section heading, repealing subsections (b), (d) and (e) and relettering subsections filed 12-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
5. Repealer filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
Subarticle 1. General
§232.01. Scope and Application of Rules.
Note     •     History

(a) These Rules govern proceedings for review of Determinations of civil penalty or debarment under Labor Code section 1777.5 and 1777.7. The provisions of Labor Code section 1777.7, applicable provisions of chapter 4.5 of title 2, division 3, part 1 (commencing at Government Code section 11425.10) of the Government Code and these Rules apply to all such Determinations served on a Contractor, Subcontractor, or Responsible Officer on or after the effective date of these Rules and provide the exclusive method for an Affected Contractor, Subcontractor, or Responsible Officer to obtain review of any such Determination. 
(b) These Rules do not govern debarment proceedings under Labor Code section 1777.1, nor prevailing wage enforcement under Labor Code section 1742, nor any criminal prosecution.
(c) These Rules do not preclude any remedies otherwise authorized by law to remedy violations of Division 2, Part 7, Chapter 1 of the Labor Code. These Rules do preclude challenge by an Affected Contractor, Subcontractor, or Responsible Officer to determinations of violations of Labor Code section 1777.5 except as provided herein.
(d) For easier reference, individual sections within these prevailing wage hearing regulations are referred to as “Rules” using only their last two digits. For example, this Section 232.01 may be referred to as Rule 01.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code; and Section 11400.10, Government Code.
HISTORY

1. New article 1 (sections 232.01-232.12) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 1 as subarticle 1 (Register 2004, No. 33).
§232.02. Definitions.
Note     •     History

For the purpose of these Rules:
(a) “Administrator” means the Administrator of Apprenticeship, who is the Director of the Department of Industrial Relations;
(b) “Affected Contractor, Subcontractor, or Responsible Officer” means a contractor or subcontractor (as defined under Labor Code section 1722.1) or Responsible Officer (as defined herein at subpart (p)) to whom the Chief DAS has issued a Determination of civil penalty or debarment pursuant to Labor Code section 1777.7. ;
(c) “Awarding Body” means an awarding body or body awarding the contract (as defined in Labor Code section 1722);
(d) “Chief DAS” means the Chief of the Division of Apprenticeship Standards, who may act through his or her designee or the Division of Apprenticeship Standards;
(e) “DAS” means the Division of Apprenticeship Standards;
(f) “Debarment” means the denial of the right to bid on or be awarded or to perform work as a contractor or subcontractor on any public works contract, that has been issued by the Chief DAS under Labor Code section 1777.7;
(g) “Department” means the Department of Industrial Relations;
(h) “Determination” means a civil penalty or debarment issued by the Chief DAS or his or her designee pursuant to Labor Code section 1777.7;
(i) “Director” means the Director of the Department of Industrial Relations;
(j) “Division” means the Division of Apprenticeship Standards;
(k) “Hearing Officer” means any person appointed by the Director pursuant to Labor Code section 1777.7 to conduct hearings and other proceedings under Labor Code section 1777.7 and these Rules;
(l) “Joint Labor-Management Committee” means a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code);. 
(m) “Party” means an Affected Contractor, Subcontractor, or Responsible Officer , the Chief, DAS and any other Person who has intervened under subparts (a), (b), or (c) of Rule 08 (Section 232.08). 
(n) “Person” means an individual, partnership, limited liability company, corporation, governmental subdivision or unit of a governmental subdivision, or public or private organization or entity of any character;
(o) “Representative” means a person authorized by a Party to represent that Party in a proceeding before a Hearing Officer;
(p) “Responsible Officer” means a person responsible for exercising supervision and control of a contractor's or subcontractor's operations as is necessary to secure compliance with the public works -- including public works apprenticeship -- obligations of a public works contractor or subcontractor set forth in Chapter 1 of Part 7 of Division 2 of the Labor Code, commencing with Section 1720. 
(q) “Rule” refers to a section within sections 232.01-232.70 The Rule number corresponds to the last two digits of the full section number. (For example, Rule 08 is section 232.08.)
(r) “Settlement Officer” means a Hearing Officer as defined in subpart (k) who conducts a settlement meeting under the provisions of Rule 21 (Section 232.21).
(s) “Surety” means a surety (as defined in Civil Code section 2787) that issues a bond for the performance of a public works job, but only where the Surety assumed the contract for performance of the public works job by an Affected Contractor, Subcontractor, or Responsible Officer, and where the Surety operated the job when the violations of Labor Code section 1777.5 occurred. 
(t) “Working Day” means any day that is not a Saturday, Sunday, or State holiday, as determined with reference to Code of Civil Procedure sections 12(a) and 12(b) and Government Code sections 6700 and 6701.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.40, 11405.60, 11405.70 and 11405.80, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.03. Computation of Time and Extensions of Time to Respond or Act.
Note     •     History

(a) In computing the time within which a right may be exercised or an act is to be performed, the first day shall be excluded and the last day shall be included. If the last day is not a Working Day, the time shall be extended to the next Working Day.
(b) Unless otherwise indicated by proof of service, if the envelope was properly addressed, the mailing date shall be presumed to be: a postmark date imprinted on the envelope by the U.S. Postal Service if first-class postage was prepaid; or the date of delivery to a common carrier promising overnight delivery as shown on the carrier's receipt.
(c) Where service of any notice, decision, pleading or other document is by first class mail, and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed is extended five days if the place of address is within the State of California, and 10 days if the place of address is outside the State of California but within the United States. However, this Rule shall not extend the time within which the Administrator may reconsider or modify a decision to correct an error (other than a clerical error) under Labor Code section 1777.7(c)(4).
(d) Where service of any notice, pleading, or other document is made by an authorized method other than first class mailing, extensions of time to respond or act shall be calculated in the same manner as provided under section 1013 of the Code of Civil Procedure, unless a different requirement has been specified by the appointed Hearing Officer or by another provision of these Rules.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.04. Appointment of Hearing Officers; Delegation of Appointment Authority to Chief Counsel.
Note     •     History

(a) Upon receipt of a Request for Review of a Determination of civil penalty or debarment, the Administrator, acting through the Chief Counsel (see subpart (d) below), shall appoint an impartial Hearing Officer to conduct the review proceeding.
(b) The appointed Hearing Officer shall be an attorney employed by the Office of the Director -- Legal Unit. However, if no attorney employed by the Office of the Director -- Legal Unit is available or qualified to serve in a particular matter, the appointed Hearing Officer may be any attorney or administrative law judge employed by the Department, other than an employee of the Division of Apprenticeship Standards (“DAS”) or a person who has represented or advised the DAS on matters covered by Ch. 1 of Part 7 of Div. 2 of the Labor Code, commencing with Section 1720 within one year of the appointment, or who at any time has represented or advised the Affected Contractor, Subcontractor, or Responsible Officer regarding alleged violations of Ch. 1 of Part 7 of Div. 2 of the Labor Code, commencing with Section 1720.
(c) Any person appointed to serve as a Hearing Officer in any matter shall possess at least the minimum qualifications for service as an administrative law judge pursuant to Government Code section 11502(b) and shall be someone who is not precluded from serving under Government Code section 11425.30. 
(d) The Administrator's authority under Labor Code section 1777.7(c) to appoint an impartial Hearing Officer is delegated in all cases to the Chief Counsel of the Office of the Director, or to the Chief Counsel's designated Assistant or Acting Chief Counsel when the Chief Counsel is unavailable or disqualified from participating in a particular matter. This delegation includes all related authority under Rule 40 [Section 232.40] below to appoint a different Hearing Officer to conduct all or any part of a review proceeding as well as the authority to consider and decide or to assign to another Hearing Officer for consideration and decision any motion to disqualify an appointed Hearing Officer.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.80, 11425.30 and 11425.40, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.05. Authority of Hearing Officers.
Note     •     History

(a) In any proceeding assigned for hearing and decision under the provisions of Labor Code section 1777.7, the appointed Hearing Officer shall have full power, jurisdiction and authority to hold a hearing and ascertain facts for the information of the Administrator, to hold a prehearing conference, to issue a subpoena and subpoena duces tecum for the attendance of a Person and the production of testimony, books, documents, or other things, to compel the attendance of a Person residing anywhere in the state, to certify official acts, to regulate the course of a hearing, to grant a withdrawal, disposition or amendment, to order a continuance, to approve a stipulation voluntarily entered into by the Parties, to administer oaths and affirmations, to rule on objections, privileges, defenses, and the receipt of relevant and material evidence, to call and examine a Party or witness and introduce into the hearing record documentary or other evidence, to request a Party at any time to state the respective position or supporting theory concerning any fact or issue in the proceeding, to extend the submittal date of any proceeding, to exercise such other and additional authority as is delegated to Hearing Officers under these Rules or by an express written delegation by the Administrator, and to prepare a recommended decision, including a notice of findings, findings, and an order for approval by the Administrator.
(b) There shall be no right of appeal to or review by the Administrator of any decision, order, act, or refusal to act by an appointed Hearing Officer other than through the Administrator's review of the record in issuing or reconsidering a written decision under Rules 60 [Section 232.60] and 61 [Section 232.61] below.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.80, 11450.05, 11450.10, 11450.20 and 11450.30, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.06. Access to Hearing Records.
Note     •     History

(a) Hearing case records shall be available for inspection and copying by the public to the same extent and subject to the same policies and procedures governing other records maintained by the Department. Hearing case records normally will be available for review in the office of the appointed Hearing Officer; provided however, that a case file may be temporarily unavailable when in use by the appointed Hearing Officer or by the Administrator or his or her designee.
(b) Nothing in this Rule shall authorize the disclosure of any record or exhibit that is required to be kept confidential or is otherwise exempt from disclosure by law or that has been ordered to be kept confidential by an appointed Hearing Officer.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 6253.4, Government Code. Reference: Section 1777.7, Labor Code; and Section 6253.4, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.07. Ex Parte Communications.
Note     •     History

(a) Except as provided in this Rule, once a Request for Review is filed, and while the proceeding is pending, there shall be no direct or indirect communication regarding any issue in the proceeding to the appointed Hearing Officer or the Administrator, from the Chief DAS or any other Party or other interested Person, without notice and the opportunity for all Parties to participate in the communication.
(b) A communication made on the record in the hearing is permissible.
(c) A communication concerning a matter of procedure or practice is presumed to be permissible unless the topic of the communication appears to the Hearing Officer to be controversial in the context of the specific case. If so, the Hearing Officer shall so inform the other participant and may terminate the communication or continue it until after giving all Parties notice and an opportunity to participate. Any written communication concerning a matter of procedure or practice, and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, shall be added to the case file so that all Parties have a reasonable opportunity to review it. Unless otherwise provided by statute or these Rules, the appointed Hearing Officer may determine a matter of procedure or practice based upon a permissible ex-parte communication. The term “matters of procedure or practice” shall be liberally construed.
(d) A communication from the Chief DAS to the Hearing Officer or the Administrator which is deemed permissible under Government Code section 11430.30 is permitted only if any such written communication and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, is added to the case file so that all Parties have a reasonable opportunity to review it.
(e) If the Hearing Officer or the Administrator receives a communication in violation of this Rule, he or she shall comply with the requirements of Government Code section 11430.50.
(f) To the extent not inconsistent with Labor Code section 1777.7, the provisions of Article 7 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11430.10) of the Government Code governing ex parte communications in administrative adjudication proceedings shall apply to review proceedings conducted under these Rules.
(g) This Rule shall not be construed as prohibiting communications between the Administrator and the Chief DAS or between the Administrator and any other interested Person on issues or policies of general interest that coincide with issues involved in a pending review proceeding; provided that (1) the communication does not directly or indirectly seek to influence the outcome of any pending proceeding; (2) the communication does not directly or indirectly identify or otherwise refer to any pending proceeding; and (3) the communication does not occur at a time when the Director or the other party to the communication knows that a proceeding in which the other party to the communication is interested is under active consideration by the Administrator. 
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11430.10, 11430.20, 11430.30, 11430.40, 11430.50, 11430.60, 11430.70 and 11430.80, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.08. Intervention and Participation by other Interested Persons.
Note     •     History

(a) A bonding company and any Surety on a bond that secures the performance of the job covered by the Determination shall be permitted to intervene as a matter of right in any pending review filed by the Affected Contractor, Subcontractor, or Responsible Officer from the Determination in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 232.31] below and within either 15 days after the bonding company or Surety was served with a copy of the Determination, or 15 days after the filing of the request for review, whichever is later. Thereafter, any request to intervene by such a bonding company or Surety shall be treated as a motion for permissive participation under subpart (c) of this Rule. A bonding company or Surety shall have the burden of proof with respect to any claim that it did not receive notice of the Determination until after the filing of the Request for Review.
(b) The employee(s), labor union, or Joint Labor-Management Committee, or apprenticeship program (joint or unilateral) who filed the formal complaint which led the Chief DAS to issue the Determination of civil penalty or debarment shall be permitted to intervene in a pending review filed by the Affected Contractor, Subcontractor, or Responsible Officer from the Determination of civil penalty or debarment in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 232.31] below and there is no good cause to deny the request. Thereafter, any request to intervene by such employee(s), labor union, or Joint Labor-Management Committee or apprenticeship program shall be treated as a motion for permissive participation as an interested Person under subpart (d) of this Rule. 
(c) Any other Person may move to participate as an interested Person in a proceeding in which that Person claims a substantial interest in the issues or underlying controversy and in which that Person's participation is likely to assist and not hinder or protract the hearing and determination of the case by the Hearing Officer and the Administrator. Interested Persons who are permitted to participate under this Rule shall not be regarded as Parties to the proceeding for any purpose, but may be provided notices and the opportunity to present arguments under such terms as the Hearing Officer deems appropriate.
(d) Rights to intervene or participate as an interested Person are only in accordance with this Rule. Intervention or permissive participation under this Rule shall not expand the scope of issues under review nor shall it extend any rights or interests which have been forfeited as a result of an Affected Contractor, Subcontractor, or Responsible Officer's own failure to file a timely Request for Review. The Hearing Officer may impose conditions on an intervenor's or other interested Person's participation in the proceeding, including but not limited to those conditions specified in Government Code §11440.50(c).
(e) No Person shall be required to seek intervention in a review proceeding as a condition for pursuing any other remedy available to that Person for the enforcement of the public works apprenticeship requirements of section 1777.5 of the Labor Code.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.09. Representation at Hearing.
Note     •     History

(a) A Party may appear in person or through an authorized Representative, who need not be an attorney at law; however, a Party shall use the Director's Authorization For Representation By Non-Attorney form, revised 1/15/02, to authorize representation by any non-attorney who is not an owner, officer, or managing agent of that Party.
(b) Upon formal notification that a Party is being represented by a particular individual or firm, service of subsequent notices in the matter shall be made on the Representative, either in addition to or instead of the Party, unless and until such authorization is terminated or withdrawn by further written notice. Service upon an authorized Representative shall be effective for all purposes and shall control the determination of any notice period or the running of any time limit for the performance of any acts, regardless of whether or when such notice may also have been served directly on the represented Party.
(c) An authorized Representative shall be deemed to control all matters respecting the interests of the represented Party in the proceedings.
(d) Parties and their Representatives shall have a continuing duty to keep the appointed Hearing Officer and all other Parties to the proceeding informed of their current address and telephone number.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. 
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.10. Proper Method of Service.
Note     •     History

(a) Unless a particular method of service is specifically prescribed by statute or these Rules, service may be made by: (1) personal delivery; (2) priority or first class mailing postage prepaid through the U. S. Postal Service; (3) any other means authorized under Code of Civil Procedure section 1013; or (4) pursuant to Government Code section 11440.20(b), by facsimile or other electronic means.
(b) Service is complete at the time of personal delivery or mailing, or at the time of transmission as determined under Rule 11 [Section 232.11] below.
(c) Proof of service shall be filed with the document and may be made by: (1) affidavit or declaration of service; (2) written statement endorsed upon the document served and signed by the party making the statement; or (3) copy of letter of transmittal.
(d) Service on a Party who has appeared through an attorney or other Representative shall be made upon such attorney or Representative.
(e) In each proceeding, the Hearing Officer shall maintain an official address record which shall contain the names and addresses of all Parties and their Representatives, agents, or attorneys of record. Any change or substitution in such information must be communicated promptly in writing to the Hearing Officer. The official address record may also include the names and addresses of interested Persons who have been permitted to participate under Rule 08(d) [Section 232.08].
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.11. Filing and Service of Documents by Facsimile or Other Electronic Means.
Note     •     History

(a) In individual cases the Hearing Officer pursuant to Government Code section 11440.20(b) may authorize the filing and service of documents by facsimile or by other electronic means, subject to reasonable restrictions on the time of transmission and the page length of any document or group of documents that may be transmitted by facsimile or other electronic means, and subject to any further requirements on the use of cover sheets or the subsequent filing and service of originals or hard copies of documents as the Hearing Officer deems appropriate. Filing and service by facsimile or other electronic means shall not be authorized under terms that substantially disadvantage any Party appearing or participating in the proceeding as a matter of right. A document transmitted by facsimile or other electronic means shall not be considered received until the next Working Day following transmission unless it is transmitted on a Working Day and the entire transmission is completed by no later than 4:00 p.m. Pacific Time.
(b) Filings and service by facsimile or other electronic means shall not be authorized or accepted as a substitute for another method of service that is required by statute or these Rules, unless the Party served has expressly waived its right to be served in the required manner. 
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.12. Administrative Adjudication Bill of Rights.
Note     •     History

(a) The provisions of the Administrative Adjudication Bill of Rights found in Article 6 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11425.10) of the Government Code shall apply to these review proceedings to the extent not inconsistent with a state or federal statute, a federal regulation, or a court decision which applies specifically to the Department. The enumeration of certain rights in these Rules may expand but shall not be construed as limiting the same or similar provision of the Administrative Adjudication Bill of Rights; nor shall the enumeration of certain rights in these Rules be construed as negating other statutory rights not stated.
(b) Ex parte communications between the appointed Hearing Officer and the Administrator shall be in accordance with Government Code section 11430.80(b).
(c) The presentation or submission of any written communication by a Party or other interested Person during the course of a review proceeding shall be governed by the requirements of Government Code §11440.60 (b) and (c).
(d) Unless otherwise indicated by express reference within the body of one of these Rules, the provisions of Chapter 5 of Title 2, Division 3, Part 1 (commencing with section 11500) of the Government Code shall not apply to these review proceedings. 
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11415.20, 11425.10 and 11430.80(b), Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
Subarticle 2. Determinations and Request for Review
§232.20. Service and Contents of Determinations.
Note     •     History

(a) A Determination of civil penalty or debarment shall be served on the contractor, subcontractor, and responsible officer, if applicable, by first class and certified mail pursuant to the requirements of Code of Civil Procedure section 1013. A copy of the notice shall also be served by certified mail on any bonding company issuing a bond that secures the performance of the job covered by the Determination and to any Surety on the bond if its identities of such companies are known or reasonably ascertainable. The identity of any Surety issuing a bond for the benefit of an Awarding body as designated obligee shall be deemed ”known or reasonably ascertainable,” and the Surety shall be deemed to have received the notice required under this subpart if sent to the address appearing on the face of the bond.
(b) A Determination of civil penalty or debarment shall be in writing and shall include the following information:
(1) a description of the nature of the violation and basis for the Determination; and
(2) the amount of penalties due, including a specification of amounts to be withheld from available contract payments, and any period of debarment.
(c) A Determination of civil penalty or debarment shall also include the following information:
(1) the name and address of the office of the Administrator to whom a Request for Review must be sent, as well as the name and address of the office of the Chief DAS on whom a copy of the Request for Review must be served;
(2) information on the procedures for obtaining review of the Determination;
(3) notice of the opportunity to request a settlement meeting under Rule 21 [Section 232.21] below; and
(4) the following statement which shall appear in bold or another type face that makes it stand out from the other text: 
Failure by a contractor, subcontractor, or responsible officer to submit a timely Request for Review will result in a final order which shall be  binding on the contractor, subcontractor, or responsible officer. Labor  Code section 1777.7(c)(1).
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11440.20 and 11425.50, Government Code.
HISTORY

1. New article 2 (sections 232.20-232.29) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 2 as subarticle 2 (Register 2004, No. 33).
§232.21. Opportunity for Early Settlement.
Note     •     History

(a) Any Party may request a meeting with the Chief DAS for the purpose of attempting to settle the dispute regarding the Determination.
(b) A settlement meeting may be conducted subject only to the agreement of the Parties, including agreement to any particular Hearing Officer to act as the Settlement Officer, and agreement to waive any right to disqualify the Office of the Director -- Legal Unit from representing the Director or any division of the Department other than DAS in the event any part of the dispute goes to court. The settlement meeting may be held in person or by telephone.
(c) Nothing herein shall preclude the Parties from meeting or attempting to settle a dispute at any time.
(d) Neither the making or pendency of a request for a settlement meeting, nor the fact that the Parties have met or have failed or refused to meet as authorized by this Rule shall serve to extend the time for filing a Request for Review under Rule 22 [Section 232.22] below. 
(e) No evidence of anything said or any admission made for the purpose of, in the course of, or pursuant to, such a settlement meeting shall be admissible or subject to discovery in any administrative or civil proceeding. No writing prepared for the purpose of, in the course of, or pursuant to, such a settlement meeting, other than a final settlement agreement, shall be admissible or subject to discovery in any administrative or civil proceeding. Where a separate Settlement Officer has conducted the settlement meeting, all communications by and between the parties and the Settlement Officer are completely confidential, and not to be shared by the parties or by the Settlement Officer with the Hearing Officer, other attorneys working in the Office of the Director -- Legal Unit, or clients of the Office of the Director -- Legal Unit. 
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11415.60, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.22. Filing of Request for Review.
Note     •     History

(a) Any Request for Review of a Determination of civil penalty or debarment shall be transmitted in writing to the office of the Administrator within 30 days after service of the Determination. Failure to request review within 30 days shall result in the Determination becoming final and not subject to further review under these Rules.
(b) A Request for Review shall be transmitted to the office of the Administrator at the following address:

DEPARTMENT OF INDUSTRIAL RELATIONS
OFFICE OF THE DIRECTOR -- LEGAL UNIT
ATTENTION: LEAD HEARING OFFICER
P.O. BOX 420603
SAN FRANCISCO, CA 94142-0603
(c) A Request for Review shall be deemed filed on the date of mailing, as determined by the U.S. Postal Service postmark date on the envelope or the overnight carrier's receipt in accordance with Rule 03(b) [Section 232.03(b)] above, or on the date of receipt by the designated office of the Administrator, whichever is earlier.
(d) A copy of the Request for Review must be served on the Chief DAS, at the address as designated on the Determination from which review is sought.
(e) A Request for Review either shall clearly identify the Determination from which review is sought, including the date of the Determination, or it shall include a copy of the Determination as an attachment. A Request for Review shall also set forth the basis upon which the Determination is being contested. A Request for Review shall be liberally construed in favor of its sufficiency; however, the Hearing Officer may require the Party seeking review to provide a further specification of the issues or claims being contested and a specification of the basis for contesting those matters.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.23. Transmittal of Request for Review to Department.
Note     •     History

Within ten (10) days followings its receipt of a Request for Review, the Chief DAS shall transmit to the Office of the Director -- Legal Unit, the Request for Review and copies of the Determination of civil penalty or debarment at the following address.

DEPARTMENT OF INDUSTRIAL RELATIONS
OFFICE OF THE DIRECTOR -- LEGAL UNIT
ATTENTION: LEAD HEARING OFFICER
P.O. BOX 420603
SAN FRANCISCO, CA 94142-0603
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.24. Disclosure of Evidence.
Note     •     History

(a) Within ten (10) days following its receipt of a Request for Review, the Chief DAS shall also notify the Affected Contractor, Subcontractor, or Responsible Officer, if applicable, of its opportunity and the procedures for reviewing evidence to be utilized by the Chief DAS at the hearing on the Request for Review.
(b) The Chief DAS shall be deemed to have provided the opportunity to review evidence required by this Rule if it (1) gives the Affected Contractor, Subcontractor, or Responsible Officer the option, at the Affected Contractor's, Subcontractor's, or Responsible Officer's own expense, to either (A) obtain copies of all such evidence through a commercial copying service or (B) inspect and copy such evidence at the office of the Chief DAS during normal business hours; or if (2) the Chief DAS at its own expense forwards copies of all such evidence to the Affected Contractor, Subcontractor, or Responsible Officer.
(c) The evidence required to be provided under this Rule shall include the identity of witnesses whose testimony the Chief DAS intends to present, either in person at the hearing or by declaration or affidavit. This provision shall not be construed as requiring the Chief DAS to prepare or provide any separate listing of witnesses whose identities are disclosed within the written materials made available under subpart (a).
(d) The Chief DAS shall make evidence available for review as specified in subparts (a) through (c) within 20 days of its receipt of the Request for Review; provided that, this deadline may be extended by written request or agreement of the Affected Contractor, Subcontractor, or Responsible Officer. The Chief DAS's failure to make evidence available for review as required by Labor Code section 1777.7(c) and this Rule, shall preclude the Chief DAS from introducing such evidence in proceedings before the Hearing Officer or the Administrator.
(e) This Rule shall not preclude the Chief DAS from relying upon or presenting any evidence first obtained after the initial disclosure of evidence under subparts (a) through (d), provided that, such evidence is promptly disclosed to the Affected Contractor, Subcontractor, or Responsible Officer. This Rule also shall not preclude the Chief DAS from presenting previously undisclosed evidence to rebut new or collateral claims raised by another Party in the proceeding. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.25. Withdrawal of Request for Review; Reinstatement.
Note     •     History

(a) An Affected Contractor, Subcontractor, or Responsible Officer may withdraw a Request for Review by written notification at any time before a decision is issued or by oral motion on the hearing record. The Hearing Officer may grant such withdrawal by letter, order or decision served on the Parties.
(b) For good cause, a Request for Review so dismissed may be reinstated by the Hearing Officer or the Administrator upon a showing that the withdrawal resulted from misinformation given by the Chief DAS or otherwise from fraud or coercion. A motion for reinstatement must be filed within 60 days of service of the letter, order or decision granting withdrawal of the Request for Review or, in the event of fraud which could not have been suspected or discovered with the exercise of reasonable diligence, within 60 days of discovery of such fraud. The motion shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant.
(c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Administrator may reinstate any Request for Review where the underlying Determination has become final and entered as a court judgment.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.26. Dismissal or Amendment of Determinations.
Note     •     History

(a) Upon motion to the appointed Hearing Officer, the Chief DAS may dismiss or amend a Determination as follows:
(1) A Determination may be dismissed or amended to eliminate or reduce a charge of violation from serious and knowing to knowing, an amount of monetary penalty, or a period of debarment  that is not warranted under the facts and circumstances of the case, or that has been satisfied, or  to conform to an order of the Hearing Officer or the Administrator.
(2) For good cause, a Determination may be amended to revise or increase a charge from knowing to serious and knowing, an amount of monetary penalty, or a period of debarment  based upon a recomputation or the discovery of new evidence subsequent to the issuance of the  original Assessment or Notice.
(b) The Hearing Officer shall grant any motion to dismiss or amend a Determination downward under subparts (a)(1) absent a showing that such dismissal or amendment will result in the forfeiture of substantial substantive rights of another Party to the proceeding. The Hearing Officer may grant a motion to amend a Determination upward under subpart (a)(2) under such terms as are just, including where appropriate the extension of an additional opportunity for early settlement under Rule 21 [Section 232.21]. Unless the Hearing Officer determines otherwise, an amended Determination shall be deemed fully controverted without need for filing an additional or amended Request for Review.
(c) The Administrator may, upon the record on review of the Determination and without amendment, increase or decrease the penalty -- whether civil penalty or debarment -- based upon consideration of the factors listed in Labor Code section 1777.7(f).
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.27. Early Disposition of Untimely Assessment, Withholding, or Request for Review.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may issue an Order to Show Cause why a Determination or a Request for Review should not be dismissed as untimely under the relevant statute. 
(b) An Order to Show Cause issued under subpart (a) of this Rule shall be served on all Parties who have appeared or been served with any prior notice in the matter and shall provide the Parties with at least 10 days to respond in writing to the Order to Show Cause and an additional 5 days following the service of such responses to reply to any submission by any other Party. Evidence submitted in support or opposition to an Order to Show Cause shall be by affidavit or declaration under penalty of perjury. There shall be no oral hearing on an Order to Show Cause issued under this Rule unless requested by a Party or by the Hearing Officer.
(c) After the time for submitting responses and replies to the Order to Show Cause has passed or after the oral hearing, if any, the Hearing Officer may do one of the following: (1) recommend that the Administrator issue a decision setting aside the Determination or dismissing the Request for Review as untimely under the statute; (2) find the Determination or Request for Review timely and direct that the matter proceed to hearing on the merits; or (3) reserve the timeliness issue for further consideration and determination in connection with the hearing on the merits.
(d) A decision by the Administrator which sets aside a Determination or which dismisses a Request for Review as untimely shall be subject to reconsideration and to judicial review in the same manner as any other Final Order or Decision of the Administrator. A determination by the Hearing Officer that the Determination or Request for Review was timely or that the timeliness issue should be reserved for further consideration and determination in connection with the hearing on the merits shall not be subject to appeal or review except as part of any reconsideration or appeal from the Decision of the Administrator made after the hearing on the merits.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.28. Finality of Determinations When No Timely Request for Review is Filed; Authority of Awarding Body to Disburse Withheld Funds.
Note     •     History

(a) Upon the failure of an Affected Contractor, Subcontractor or Responsible Officer to file a timely Request for Review under Labor Code section 1777.7(c) and Rule 22 [Section 232.22] above, the Determination of civil penalty or debarment shall become a “final order” as to the Affected Contractor, Subcontractor, or Responsible Officer that the Chief DAS may certify and file with the superior court in accordance with Labor Code section 1777.7(c)(6).
(b) Where a Determination of civil penalty or debarment has become final as to at least one but not as to every Affected Contractor, Subcontractor, or Responsible Officer, the Awarding Body shall continue to withhold and retain the amounts required to satisfy any penalties at stake in a review proceeding initiated by any other Affected Contractor, Subcontractor, or Responsible Officer until there is a final order in that proceeding that is no longer subject to judicial review. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.29. [Reserved].

Subarticle 3. Prehearing Procedures
§232.30. Scheduling of Hearing; Continuances and Tolling.
Note     •     History

(a) The appointed Hearing Officer shall establish the place and time of the hearing on the merits, giving due consideration to the needs of all Parties and the statutory time limits for hearing and deciding the matter. Parties are encouraged to communicate scheduling needs to the Hearing Officer and all other Parties at the earliest opportunity. It shall not be a violation of Rule 07 [Section 232.07]'s prohibition on ex parte communications for the Hearing Officer or his or her designee to communicate with Parties individually for purposes of clearing dates and times and proposing locations for the hearing. The Hearing Officer may also conduct a prehearing conference by telephone or any other expeditious means for purposes of establishing the time and place of the hearing.
(b) Once a hearing date is set, a request for a continuance that is not joined in by all other Parties or that is for more than 30 days will not be granted absent a showing of extraordinary circumstances, giving due regard to the potential prejudice to other Parties in the case and other Persons affected by the matter under review. Absent an enforceable waiver (see subpart (d) below), no continuance will be granted nor any proceeding otherwise delayed if doing so is likely to prevent the Hearing Officer from commencing the hearing on the matter within the statutory time limit.
(c) A request for a continuance that is for 30 days or less and is joined by all Parties shall be granted upon a showing of good cause. Notwithstanding subpart (b) above, a unilateral request for a continuance made by the Party who filed the Request for Review shall be granted upon a showing of good cause if the new date for commencing the hearing is no more than 120 days after the date of service of the Determination of civil penalty or debarment
(d) If a Party makes or joins in any request that would delay or otherwise extend the time for hearing or deciding a review proceeding beyond any prescribed time limit, such request shall also be deemed a waiver by that Party of that time limit.
(e) The time limits for hearing and deciding a review proceeding shall also be deemed tolled (1) when proceedings are suspended to seek judicial enforcement of a subpoena or other order to compel the attendance, testimony, or production of evidence by a necessary witness; (2) when the proceedings are stayed or enjoined by any court order; (3) between the time that a proceeding is dismissed and then ordered reinstated under Rule 25 [Section 232.25] above; (4) upon the order of a court reinstating or requiring rehearing of the merits of a proceeding; or (5) during the pendency of any other cause beyond the Administrator's direct control (including but not limited to natural disasters, temporary unavailability of a suitable hearing facility, or absence of budget authority) that prevents the Administrator or any appointed Hearing Officer from carrying out his or her responsibilities under these Rules.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New article 3 (sections 232.30-232.37) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 3 as subarticle 3 (Register 2004, No. 33).
§232.31. Prehearing Conference.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may conduct a prehearing conference for any purpose that may expedite or assist the preparation of the matter for hearing or the disposition of the Request for Review. The prehearing conference may be conducted by telephone or other means that is convenient to the Hearing Officer and the Parties.
(b) The Hearing Officer shall provide reasonable advance notice of any prehearing conference conducted pursuant to this Rule. The Notice shall advise the Parties of the matters which the Hearing Officer intends to cover in the prehearing conference, but the failure of the Notice to enumerate some matter shall not preclude its discussion or consideration at the conference. The Notice shall advise the Parties that failure to appear at the prehearing conference may subject the Parties to default, pursuant to Rule 46 [Section 232.46].
(c) With or without a prehearing conference, the Hearing Officer may issue such procedural Orders as are appropriate for the submission of evidence or briefs and conduct of the hearing, consistent with the substantial rights of the affected Parties.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.32. Consolidation and Severance.
Note     •     History

(a) The Hearing Officer may consolidate for hearing and decision any number of proceedings where the facts and circumstances are similar and consolidation will result in conservation of time and expense. Where the Hearing Officer proposes to consolidate proceedings on his or her own motion, the Parties shall be given reasonable notice and an opportunity to object before consolidation is ordered.
(b) The Hearing Officer may sever consolidated proceedings for good cause.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.33. Prehearing Motions; Cut Off Date.
Note     •     History

(a) Any motion made in advance of the hearing on the merits, any opposition thereto, and any further reply shall be in writing and directed to the appointed Hearing Officer. No particular format shall be required; however, the following information shall appear prominently on the first page: (1) the case name (i.e., names of the Parties); (2) any assigned case number; (3) the name of the Hearing Officer to whom the paper is being submitted; (4) the identity of the Party submitting the paper; (5) the nature of the relief sought; and (6) the scheduled date, if any, for the hearing on the merits of the Request for Review. The motion shall also include a Proof of Service, as defined in Rule 10 [Section 232.10] above, showing that copies have been served on all other Parties to the proceeding.
(b) Prehearing motions shall be served and filed no later than 20 days prior to the hearing on the merits of the Request for Review. Any opposition shall be served and filed no later than 10 days after service of the motion or at least 7 days prior to the hearing on the merits, whichever is earlier. The Hearing Officer may in his or her discretion decide the motion in writing in advance of the hearing on the merits or reserve the matter for further consideration and determination at the hearing on the merits.
(c) There shall be no right to a separate oral hearing on any prehearing motion, except in those instances in which an oral hearing has been specially requested by a Party or the Hearing Officer and in which the enforcement or forfeiture of a fundamental right is at stake. When the Hearing Officer determines that such an oral hearing is necessary or appropriate, it may be conducted by telephone or other manner that is convenient to the Parties.
(d) With the exception of timeliness challenges under Rule 27 [Section 232.27], prehearing motions which seek to dispose of a Request for Review or any related claim or defense are disfavored and ordinarily will not be considered prior to the hearing on the merits.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.34. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 20 or more days prior to commencement of a hearing, a Party may serve upon all other Parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subpart (b). Unless another Party, within 10 days after service of such notice, delivers to the proponent a request to cross-examine the affiant or declarant, the right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified in person. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefor is made as herein provided, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence.
(b) The notice referred to in subpart (a) shall be substantially in the following form with the appropriate information inserted in the places enclosed by brackets:
“The accompanying affidavit or declaration of [name of affiant or declarant] will be introduced as evidence at the hearing in [title and other information identifying the proceeding]. [Name of affiant or declarant] will not be called to testify orally, and you will not be entitled to question the affiant or declarant unless you notify [name of the proponent, Representative, agent or attorney] at [address] that you wish to cross-examine the affiant or declarant. Your request must be mailed or delivered to [name of proponent, Representative, agent or attorney] on or before [specify date at least 10 days after anticipated date of service of this notice on the other Parties].”
(c) If a timely request is made to cross-examine an affiant or declarant under this Rule, the burden of producing that witness at the hearing shall be upon the proponent of the witness. If the proponent fails to produce the witness, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence under Rule 232.44.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.35. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for the production of documents at any reasonable time and place or at a hearing. 
(b) Subpoenas and subpoenas duces tecum shall be issued by the Hearing Officer at the request of a Party, or by the attorney of record for a Party, in accordance with sections 1985 to 1985.6, inclusive, of the Code of Civil Procedure. The burden of serving a subpoena that has been issued by the Hearing Officer shall be upon the Party who requested the subpoena.
(c) Service of subpoenas and subpoenas duces tecum, objections thereto, and mileage and witness fees shall be governed by the provisions of Government Code sections 11450.20 through 11450.40.
(d) Subpoenas and subpoenas duces tecum shall be enforceable through the Contempt and Monetary Sanctions provision set forth in Rule 47 [Section 232.47] below. A Party aggrieved by the failure or refusal of any witness to obey a subpoena or subpoena duces tecum shall have the burden of showing to the satisfaction of the Hearing Officer that the subpoena or subpoena duces tecum was properly issued and served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11450.05, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.36. Written Notice to Party in Lieu of Subpoena.
Note     •     History

(a) In the case of the production of a Party of record in the proceeding or of a Person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena upon any such witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the attorney of the Party or Person. For purposes of this Rule, a Party of record in the proceeding or Person for whose benefit a proceeding is prosecuted or defended includes an officer, director, or managing agent of any such Party or Person. 
(b) Service of written notice to attend under this Rule shall be made in the same manner and subject to the same conditions provided in section 1987 of the Code of Civil Procedure for service of written notice to attend in a civil action or proceeding.
(c) The Hearing Officer shall have authority under Rule 47 [Section 232.47] below to sanction a Party who fails or refuses to comply with a written notice to attend that meets the requirements of this Rule and has been timely served in accordance with section 1987 of the Code of Civil Procedure. However, the Hearing Officer may not initiate contempt proceedings against the witness for failing to appear based solely on non-compliance with a written notice to attend served on the Party's attorney. A Party seeking sanctions for another Party's failure or refusal to comply with a written notice to attend shall have the burden of showing to the satisfaction of the Hearing Officer that the written notice to attend was properly issued and timely served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11450.50, 11455.10, 11455.20 and 11455.30, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.37. Depositions and Other Discovery.
Note     •     History

(a) There shall be no right to take oral depositions or obtain any other form of discovery that is not expressly authorized under these Rules.
(b) Oral depositions may be conducted only by stipulation of all Parties to the proceedings or by order of the appointed Hearing Officer upon a showing of substantial good cause. Oral depositions will be permitted only for purposes of obtaining the testimony of witnesses who are likely to be unavailable to testify at the hearing. 
(c) Nothing in this Rule shall preclude the use of deposition testimony or other evidence obtained in separate proceedings, if such evidence is otherwise relevant and admissible.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11450.30, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
Subarticle 4.  Hearings
§232.40. Notice of Appointment of Hearing Officer; Objections.
Note     •     History

(a) Notice of the Appointment of a Hearing Officer under Rule 04 [Section 232.04] above shall be provided to the Parties as soon as practicable and no later than when the matter is noticed for a prehearing conference or hearing.
(b) The Administrator or Chief Counsel under Rule 04 [Section 232.04] may appoint a different Hearing Officer to conduct and hear the review or to conduct and dispose of any preliminary or procedural matter in a given case.
(c) A Party wishing to object to the appointment of a particular Hearing Officer, including for any one or more of the grounds specified in sections 11425.30 and 11425.40 of the Government Code or section 1777.7 of the Labor Code, shall within 10 days after receiving notice of the appointment and no later than the start of any hearing on the merits, whichever is earlier, file a motion to disqualify the appointed Hearing Officer together with a supporting affidavit or declaration. The motion shall be filed with the Chief Counsel of the Office of the Director at the address indicated in Rule 23 [Section 232.23] above. Notwithstanding the foregoing time limits, if a Party subsequently discovers facts constituting grounds for the disqualification of the Hearing Officer, including but not limited to that the Hearing Officer has received a prohibited ex parte communication in the pending case, the motion shall be filed as soon as practicable after the facts constituting grounds for disqualification are discovered. 
(d) Upon receipt of a motion to disqualify the Hearing Officer, the Administrator may: (1) consider and decide the motion or appoint another Hearing Officer to consider and decide the motion, in which case the challenged Hearing Officer shall first be given an opportunity to respond to the motion, but no proceedings shall be conducted by the challenged Hearing Officer until the motion is determined; or (2) appoint another Hearing Officer to hear the Request for Review, in which case the motion shall be deemed moot. 
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11425.30 and 11425.40, Government Code.
HISTORY

1. New article 4 (sections 232.40-232.53) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 4 as subarticle 4 (Register 2004, No. 33).
§232.41. Time and Place of Hearing.
Note     •     History

(a) A hearing on the merits of a timely Request for Review shall be commenced within 90 days after the date it is received by the office of the Administrator. The hearing shall be conducted at a suitable location within the county where the appointed Hearing Officer maintains his or her regular office, unless the hearing is moved to a different county in accordance with subpart (b) below.
(b) Upon the agreement of the Parties or upon a showing of good cause by either the Party who filed the Request for Review or the Chief DAS, the hearing shall be conducted at a suitable location within either (1) the county where a majority of the subject public works employment was performed, or (2) any other county that is proximate to or convenient for the Parties and necessary witnesses.
(c) A suitable location under this section means one that is open and accessible to members of the public and which includes appropriate facilities for the recording of testimony. Any facility that is regularly used by any state agency or by the Awarding Body for public hearings and that will reasonably accommodate the anticipated number of Parties and witnesses involved in the proceeding, is presumed suitable in the absence of a contrary showing. Parties seeking to change the location of a hearing under subpart (b) shall make reasonable efforts to identify, agree upon, and arrange for the availability of a suitable location within a county specified in subpart (b)(1) or (b)(2).
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.20, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.42. Open Hearing; Confidential Evidence and Proceedings; and Exclusion of Witnesses.
Note     •     History

(a) Subject to the qualifications set forth below, the hearing shall be open to the public. If all or part of the hearing is conducted by telephone, television, or other electronic means, the Hearing Officer shall conduct the hearing from a location where members of the public may be physically present, and members of the public shall also have a reasonable right of access to the hearing record and any transcript of the proceedings.
(b) Notwithstanding the provisions of subpart (a), the Hearing Officer may order closure of a hearing or make other protective orders to the extent necessary to: (1) preserve the confidentiality of information that is privileged, confidential, or otherwise protected by law; (2) ensure a fair hearing in the circumstances of the particular case; or (3) protect a minor witness or a witness with a developmental disability from intimidation or other harm, taking into account the rights of all persons.
(c) Upon motion of any Party or upon his or her own motion, the Hearing Officer may exclude from the hearing room any witnesses not at the time under examination. However, a Party to the proceeding and the Party's Representative shall not be excluded.
(d) This section does not apply to any prehearing or settlement conference.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.20, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.43. Conduct of Hearing.
Note     •     History

(a) Testimony shall be taken only on oath or affirmation under penalty of perjury.
(b) Every Party shall have the right to call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which Party first called the witness to testify; and to rebut any opposing evidence. A Party may be called by an opposing Party and examined as if under cross-examination, whether or not the Party called has testified or intends to testify on his or her own behalf.
(c) The Hearing Officer may call and examine any Party or witness and may on his or her own motion introduce exhibits.
(d) The Hearing Officer shall control the taking of evidence and other course of proceedings in a hearing and shall exercise that control in a manner best suited to ascertain the facts and safeguard the rights of the Parties. Prior to taking evidence, the Hearing Officer shall define the issues and explain the order in which evidence will be presented; provided that, for good cause the Hearing Officer later may vary the order of presentation as circumstances warrant. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.44. Evidence Rules; Hearsay.
Note     •     History

(a) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions.
(b) The rules of privilege shall be recognized to the same extent and applied in the same manner as in the courts of this state.
(c) The Hearing Officer may exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time.
(d) Hearsay evidence is admissible but shall not be sufficient in itself to support a finding unless it either would be admissible over objection in a civil action or no Party raises an objection to such use. Unless previously waived, an objection or argument that evidence is insufficient in itself to support a finding because of its hearsay character shall be timely if presented at any time before submission of the case for decision.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.45. Official Notice.
Note     •     History

(a) A Hearing Officer may take official notice of (1) the Director's General Prevailing Wage Determinations, the Director's Precedential Coverage Decisions, precedential decisions of the Administrator, and wage data, studies, and reports issued by the Division of Labor Statistics and Research; (2) any other generally accepted technical fact within the fields of labor and employment that are regulated by the Director under Divisions 1, 2, and 3 of the Labor Code; and (3) any fact which either must or may be judicially noticed by the courts of this state under Evidence Code sections 451 and 452.
(b) The Parties participating in a hearing shall be informed of those matters as to which official notice is proposed to be taken and given a reasonable opportunity to show why and the extent to which official notice should or should not be taken.
(c) The Hearing Officer or the Director shall state in a decision, order, or on the record the matters as to which official notice has been taken.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.46. Failure to Appear; Relief from Default.
Note     •     History

(a) Upon the failure of any Party to appear at a duly noticed hearing, the Hearing Officer may enter a default for failure to appear, or proceed in that Party's absence and may recommend whatever decision is warranted by the available evidence, including any lawful inferences that can be drawn from an absence of proof by the non-appearing Party.
(b) For good cause and under such terms as are just, the appointed Hearing Officer or the Director may relieve a Party from the effects of any failure to appear and order that a review proceeding be reinstated or reheard. A Party seeking relief from non-appearance shall file a written motion at the earliest opportunity and no later than 10 days following a proceeding of which the Party had actual notice. Such application shall be supported by an affidavit or declaration based on the personal knowledge of the declarant, and copies of the application and any supporting materials shall be served on all other Parties to the proceeding. No application shall be granted unless and until the other Parties have been afforded a reasonable opportunity to make a showing in opposition. An Order reinstating a proceeding or granting a rehearing under this section may be conditioned upon providing reimbursement to the Department and the other Parties for the costs associated with the prior non-appearance.
(c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Administrator may reinstate any Request for Review where the underlying Determination of civil penalty or debarment has become final and entered as a court judgment. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.47. Contempt and Monetary Sanctions.
Note     •     History

(a) If any Person in proceedings before a Hearing Officer disobeys or resists any lawful order or refuses, without substantial justification, to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined or is guilty of misconduct during a hearing or so near the place thereof as to obstruct the proceedings, or violates the prohibition against ex parte communications under Rule 07 [Section 232.07] above, the Hearing Officer may do any one or more of the following: (1) certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code section 11455.20; (2) exclude the Person from the hearing room; (3) prohibit the Person from testifying or introducing certain matters in evidence; and/or (4) establish certain facts, claims, or defenses if the Person in contempt is a Party.
(b) Either the Hearing Officer by separate order or the Administrator in his or her decision may order a Party, the Party's authorized Representative, or both, to pay reasonable expenses, including attorney's fees, incurred by another Party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay as defined in section 128.5 of the Code of Civil Procedure. Such order or the denial of such an order shall be subject to judicial review in the same manner as a decision of the Administrator on the merits. The order shall be enforceable in the same manner as a money judgment or by the contempt sanction.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11455.10, 11455.20 and 11455.30, Government Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.48. Interpreters.
Note     •     History

(a) Proceedings shall be conducted in the English language. The notice advising a Party of the hearing date shall also include notice of the Party's right to request an interpreter for a Party or witness who cannot speak or understand English, or who can do so only with difficulty, or who is deaf or hearing impaired as defined under Evidence Code section 754.
(b) A request for an interpreter for a Party or witness shall be submitted as soon as possible after the requesting Party becomes aware of the need for an interpreter and prior to the commencement of the hearing. The request should include information that (1) will enable the Hearing Officer and Department to obtain an interpreter with appropriate skills; and (2) will assist the Hearing Officer in determining whether the Department or the requesting Party should pay for the cost of the interpreter.
(c) Upon receipt of a timely request, the Hearing Officer shall direct the Department to provide an interpreter and shall also decide whether the Department or the requesting Party shall pay the cost of the interpreter, based upon an equitable consideration of all the circumstances, including the requesting Party's ability to pay.
(d) A person is qualified to serve as an interpreter if he or she (1) is on the current State Personnel Board List of Certified Administrative Hearing Interpreters maintained pursuant to Government Code section 11435.25; and (2) has also been examined and determined by the Department to be sufficiently knowledgeable of the terminology and procedures generally used in these proceedings.
(e) In the event that a qualified interpreter under subpart (d) is unavailable or if there are no certified interpreters for the language in which assistance is needed, the Hearing Officer may qualify and appoint another interpreter to serve as needed in a single hearing or case.
(f) Before appointment of an interpreter, the Hearing Officer or a Party may conduct a brief supplemental examination of the prospective interpreter to see if that person has the qualifications necessary to serve as an interpreter, including whether he or she understands terms and procedures generally used in these proceedings, can explain those terms and procedures in English and the other language being used, and can interpret those terms and procedures into the other language. An interpreter shall not have had any prior substantive involvement in the matter under review, and shall disclose to the Hearing Officer and the Parties any actual conflict of interest or appearance of conflict. Any condition that interferes with the objectivity of an interpreter constitutes a conflict of interest. A conflict may exist if an interpreter is an employee of, acquainted with, or related to a Party or witness to the proceeding, or if an interpreter has an interest in the outcome of the proceeding.
(g) The Hearing Officer shall disqualify an interpreter if the interpreter cannot understand and interpret the terms and procedures used in the hearing or prehearing conference, has disclosed privileged or confidential communications, or has engaged in conduct which, in the judgment of the Hearing Officer, creates an appearance of bias, prejudice, or partiality.
(h) Nothing in this section limits any further rights extended by Evidence Code section 754 to a Party or witness who is deaf or hard of hearing.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.49. Hearing Record; Recording of Testimony and other Proceedings.
Note     •     History

(a) The Hearing Officer and the Administrator shall maintain an official record of all proceedings conducted under these Rules. In the absence of a determination under subpart (b) below, all testimony and other proceedings at any hearing shall be recorded by audiotape. However, no recording by audiotape or otherwise shall be required of a duly noticed hearing at which none of the Parties appear. Recorded testimony or other proceedings need not be transcribed unless requested for purposes of further court review of a decision or order in the same case.
(b) Upon the application of any Party or upon his or her own motion, the Hearing Officer may authorize the use of a certified court reporter, videotape, or other appropriate means to record the testimony and other proceedings. Any application by a Party under this subpart shall be made at a prehearing conference or by prehearing motion filed no later than 10 days prior to the scheduled date of hearing. Upon the granting of any such application, it shall be the responsibility of the Party or Parties who made the application to procure and pay for the services of a qualified person and any additional equipment needed to record the testimony and proceedings by the requested means. Ordinarily the granting of such application will be conditioned on the applicant's paying for certified copies of the transcript for the official record and for the other Parties. The failure of a requesting Party to comply with this requirement shall not be cause for delaying the hearing on the merits, but instead shall result in the proceedings being tape recorded in accordance with subpart (a).
(c) The Parties may, at their own expense, arrange for the recording of testimony and other proceedings through a different means other than the one authorized by the Hearing Officer, provided that it does not in any way interfere with the Hearing Officer's control and conduct of the proceedings, and further provided that, it shall not be regarded as an official record for any purpose absent a stipulation by all of the Parties or order of the Hearing Officer.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.50. Burdens of Proof on Wages and Penalties.
Note     •     History

(a) The Chief DAS has the burden of coming forward with evidence that the Affected Contractor, Subcontractor, or Responsible Officer (1) was served with a Determination of civil penalty or debarment in accordance with Rule 20 [Section 232.20]; (2) was provided a reasonable opportunity to review evidence to be utilized at the hearing in accordance with Rule 24 [Section 232.24]; (3) that such evidence provides prima facie support for the Determination of civil penalty or debarment; (4) where the civil penalty is set above zero, that the Chief DAS has considered all of the circumstances listed in Labor Code section 1777.7(f); (5) where debarment is sought, that the violation is serious, and that the Chief DAS has considered all of the circumstances listed in Labor Code section 1777.7(f); and, (6) where a Determination has issued against a prime contractor for the violations of a subcontractor, that the evidence provides prima facie support to show knowledge of the prime contractor or failure by the prime contractor to comply with requirements as listed under Labor Code section 1777.7(d).
(b) If the Chief DAS meets its initial burden under subpart (a), the Affected Contractor, Subcontractor, or Responsible Officer has the burden of producing evidence to disprove a knowing violation of Labor Code section 1777.5, to disprove the circumstances relied on by the Chief DAS under Labor Code section 1777.7(f), and to disprove knowledge of the prime contractor or failure ot the prime contractor to comply with the requirements as listed under Labor Code section 1777.7(d).
(c) All burdens of proof and burdens of producing evidence shall be construed in a manner consistent with relevant sections of the Evidence Code, and the quantum of proof required to establish the existence or non-existence of any fact shall be by a preponderance of the evidence, unless a higher standard is prescribed by law.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.51. [Reserved].

§232.52. Oral Argument and Briefs.
Note     •     History

(a) Parties may submit prehearing briefs of reasonable length under such conditions as the appointed Hearing Officer shall prescribe. Parties shall also be permitted to present a closing oral argument of reasonable length at or following the conclusion of the hearing. 
(b) There shall be no automatic right to file a post-hearing brief. However, the Hearing Officer may permit the Parties to submit written post-hearing briefs, under such terms as are just. The Hearing Officer shall have discretion to determine, among other things, the length and format of such briefs and whether they will be filed simultaneously or on a staggered (opening, response, and reply) basis.
(c) In addition to or as an alternative to post-hearing briefs, the Hearing Officer may also prepare proposed findings or a tentative decision or may designate a Party to prepare proposed findings and thereafter give the Parties a reasonable opportunity to present arguments in support of or opposition to any proposed findings or tentative decision prior to the issuance of a decision by the Director under Rule 60 [Section 232.60] below.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.53. Conclusion of Hearing; Time for Decision.
Note     •     History

(a) The hearing shall be deemed concluded and the matter submitted either upon the completion of all testimony and post-hearing arguments or upon the expiration of the last day for filing any post-hearing brief or other authorized submission, whichever is later. Thereafter, the Administrator shall have 45 days within which to issue a written decision affirming, modifying, or dismissing the Determination of civil penalty or debarment.
(b) For good cause, the Hearing Officer may vacate the submission and reopen the hearing for the purpose of receiving additional evidence or argument, in which case the time for the Administrator to issue a written decision shall run from the date of resubmission.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
Subarticle 5. Decision of the Administrator
§232.60. Decision.
Note     •     History

(a) The appointed Hearing Officer shall prepare a recommended decision for the Administrator's review and approval. The decision shall contain a statement of the factual and legal basis for the decision, consistent with the requirements of Labor Code section 1777.7 and Government Code section 11425.50.
(b) A recommended decision shall have no status or effect unless and until approved by the Administrator and issued in accordance with subpart (c) below.
(c) A copy of the decision shall be served by first class mail on all Parties in accordance with the requirements of Code of Civil Procedure section 1013. If a Party has appeared through an authorized Representative, service shall be made on that Party at the last known address on file with the Chief DAS in addition to service on the authorized Representative.
NOTE

Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.50, Government Code.
HISTORY

1. New article 5 (sections 232.60-232.64) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 5 as subarticle 5 (Register 2004, No. 33).
§232.61. Reconsideration.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the Administrator may reconsider or modify a decision issued under Rule 60 [Section 232.60] above for the purpose of correcting any error therein.
(b) The decision must be reconsidered or modified within 15 days after its date of issuance pursuant to Rule 60(c) [Section 232.60(c)]. Thereafter, the decision may not be reconsidered or modified, except that a clerical error may be corrected at any time.
(c) The modified or reconsidered decision shall be served on the Parties in the same manner as a decision issued under Rule 60 [Section 232.60].
(d) A Party is not required to apply for reconsideration before seeking judicial review of a decision of the Administrator. An application for reconsideration made by any Party shall not extend the time for seeking judicial review pursuant to Labor Code section 1777.7(c)(5) unless the Administrator issues a modified or reconsidered decision within the 15-day time limit prescribed in subpart (b) of this section.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.62. Final Decision; Time for Seeking Review.
Note     •     History

(a) The decision of the Administrator issued pursuant to Section Rule 60 [Section 232.60] above shall be the final decision of the Director from which any Party may seek judicial review pursuant to the provisions of Labor Code section 1777.7(c)(6) and Code of Civil Procedure section 1094.5; provided however, that if the Administrator has issued a modified decision pursuant to and within the 15-day limit of the Administrator's reconsideration authority under Section Rule 61 [Section 232.61] above and Labor Code section 1777.7(c)(6), the right of review and time for seeking such review shall extend from the date of service of the modified decision rather than from the original decision.
(b) The modification of a decision to correct a clerical error after expiration of the 15-day time limit on the Administrator's reconsideration authority shall not extend the time for seeking judicial review. 
(c) The time for seeking judicial review shall be determined from the date of service of the decision of the Administrator under Code of Civil Procedure section 1013, including any applicable extension of time provided in that statute. 
(d) Any petition seeking judicial review of a decision under these Rules may be served (1) upon the Administrator by serving the Office of the Director -- Legal Unit where the appointed Hearing Officer who conducted the hearing on the merits regularly maintains his or her office; and (2) upon the Chief DAS by the serving the regular office of the attorney who represented the Chief DAS at the hearing on the merits. The intent of this subpart is to authorize and designate a preferred method for giving the Administrator and the Chief DAS formal notice of a court action seeking review of a decision of the Administrator under these Rules; it does not preclude the use any other service method authorized by law.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.63. Preparation of Record for Review.
Note     •     History

(a) Upon notice that a Party intends to seek judicial review of a decision of the Administrator and the payment of any required deposit, the Department, under the direction of the Hearing Officer, shall immediately prepare a hearing record consisting of all exhibits and other papers and a transcript of all testimony which the Party has designated for the inclusion in the record on review.
(b) The Party who has requested the record or any part thereof shall bear the cost of its preparation, including but not necessarily limited to any court reporter transcription fees and reasonable charges for the copying, binding, certification, and mailing of documents. Absent good cause, no record will be released to a Party or filed with a court until adequate funds to cover the cost of preparing the record have been paid by the requesting Party to the Department or to any third party designated to prepare the record. However, upon notice that a Party seeking judicial review has been granted in forma pauperis status under California Rule of Court 985, the Department shall bear the cost of preparing and filing the record where necessary for a proper review of the proceedings.
(c) The pendency of any request for the Department to prepare a hearing record shall not extend the time limits for filing a petition for review under Labor Code section 1777.7(c)(5) and Code of Civil Procedure section 1094.5.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
§232.64. Request for Participation by Administrator in Judicial Review Proceeding.
Note     •     History

Although the Administrator should be named as the Respondent in any action seeking judicial review of a final decision, the Administrator ordinarily will rely upon the Parties to the hearing (as Petitioner and Real Party in Interest) to litigate the correctness of the final decision in the writ proceeding and on any appeal. The Administrator may participate actively in proceedings raising issues that specifically concern the Administrator's authority under the statutes and regulations governing the payment of prevailing wages on public work contracts, or the validity of related laws, regulations, or the Director's decisions as to public works coverage or generally applicable prevailing wage rates, or the Administrator's precedential decisions under Labor Code section 1777.7(g). Any Party may request the Administrator to file a response in the action by including a separate written request with any court pleading being served on the Administrator in accordance with Rule 62(d) [Section 232.62(d)]. Any such separate written request should specify briefly what issues are raised by the petition that extend beyond the facts of the case and warrant the Administrator's participation.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
Subarticle 6. Limitations Period
§232.70. Limitations Period for Determinations.
Note     •     History

(a) A determination for violation of Labor Code section 1777.5 shall be issued and served on the Affected Parties no later than three years after date of accrual.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New article 6 (sections 232.70) and section filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
2. Editorial correction redesignating article 6 as subarticle 6 (Register 2004, No. 33).
§233. Appeals to the California Apprenticeship Council from Willful Hearings.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3082 and 3083, Labor Code.
HISTORY

1. Repealer and new section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For prior history, see Register 82, No. 40.
2. Reinstatement of section as it existed prior to 4-9-90 emergency repeal and adoption filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
3. Repealer and new section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Change without regulatory effect repealing section filed 12-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
§234. Determination of Willful Noncompliance.
Note     •     History

NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. Repealer and new section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90. For prior history, see Register 82, No. 40.
2. Reinstatement of section as it existed prior to 4-9-90 emergency repeal and adoption filed 5-21-91 pursuant to Government Code section 11346.1(f) 120 days from effective date (Register 91, No. 47).
3. Repealer and new section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Change without regulatory effect repealing section filed 12-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
§234.1. Penalties Imposed Under Labor Code Section 1777.7.
Note     •     History

If a contractor is found to have violated Labor Code Section 1777.5 in connection with more than one public works contract, penalties shall be imposed separately and consecutively for each violation.
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
§234.2. Administrative Procedures Are Not the Exclusive Remedy For Violations.
Note     •     History

The procedures in this Article are not intended to supersede, supplant, replace or limit any other means of enforcing the laws and regulations herein that may exist. The public agencies and political subdivisions administering them--the Chief, the Administrator and Council--or interested private parties, may initiate court proceedings where authorized under statutes in an appropriate case without recourse to (or during) administrative proceedings described under this Article. See, e.g., Labor Code Section 3084.5; Bus. & Prof. Code Section 17200, et seq. The initiation of administrative proceedings against a subcontractor shall not abrogate any responsibility attributed to any other contractor by statute. 
NOTE

Authority cited: Section 1777.7, Labor Code. Reference: Section 3084.5, Labor Code; and Section 17200, et seq., Business and Professions Code.
HISTORY

1. New section filed 4-9-90 as an emergency; operative 4-9-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-7-90.
2. Repealed by operation of Government Code section 11346.1(g) 120 days from effective date (Register 91, No. 47).
3. New section filed 4-10-92; operative 5-11-92 (Register 92, No. 21).
4. Amendment filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3). 
Article 11. Joint Regulations Regarding Excess Costs for Related and Supplemental Instruction of Apprentices
§235. Scope.
Note     •     History

Provisions of this Article apply only to those classes designed to provide related and supplemental instruction for apprentices and offered by local education agencies as authorized under Section 3074 of the California Labor Code.
The provisions of this article apply only in the event that there is a joint agreement between a local education agency and an apprenticeship program sponsor that excess costs incurred by the local education agency in connection with the program sponsored by the apprenticeship program sponsor shall be payable by the apprenticeship program sponsor. These regulations do not mandate such joint agreement. Once such joint agreement is reached, it shall be provided for as set forth in this article.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code.
HISTORY

1. New Article 11 (Sections 235-241) filed 7-8-76; effective thirtieth day thereafter (Register 76, No. 28). 
2. Amendment filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§236. Definitions.
Note     •     History

For the purpose of this article the following definitions apply: 
(a) LEA (Local Education Agency) means any public education agency authorized by law to provide related and supplemental instruction for apprentices. 
(b) Apprenticeship Program Sponsor means a joint apprenticeship committee, a unilateral apprenticeship committee or a party to a unilateral apprenticeship program where there is no apprenticeship committee established to administer apprenticeship in the occupation, area and industry. In any case the program sponsor must have approved written standards on file with the Division of Apprenticeship Standards. 
(c) Joint Agreement means a written agreement between an LEA and an apprenticeship program sponsor(s) which stipulates the method of calculating the excess costs in accordance with this article and provides for the method of payment of such excess costs, if any, to said LEA by the apprenticeship program sponsor(s). 
(d) Revenue earned means all revenue received by the LEA, as provided by law, for the hours of teaching time devoted to each apprentice enrolled in and attending classes of related and supplemental instruction conducted by the LEA.
(e) Excess costs means all allowable costs of the LEA for conducting related and supplemental instruction classes that exceed revenue earned by the LEA from the attendance of apprentices in related and supplemental instruction classes or programs. 
(f) Attendance of apprentices means each hour of teaching time for each apprentice enrolled in and attending classes of related and supplemental instruction in accordance with Section 3074 of the Labor Code as reported on forms approved by the Superintendent of Public Instruction or the Chancellor.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code; and Sections 8152 and 8153, Education Code.
HISTORY

1. Amendment filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§237. General Terms and Conditions.
Note     •     History

Pursuant to this article: 
(a) Revenue earned and resulting costs of apprenticeship classes will be based on the attendance of apprentices only. 
(b) Any joint agreement shall be completed prior to the beginning of course instruction and shall be reviewed annually, or as mutually agreed upon. Sponsors will be responsible only for those excess costs, if any, generated by their particular apprentices.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code; and Sections 8152 and 8153, Education Code.
HISTORY

1. Amendment filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§238. Calculation of Costs.
Note     •     History

The costs of each apprenticeship program conducted by an LEA pursuant to a joint agreement is to be calculated separately.
(a) The allowable costs of an apprenticeship program will consist of the following as jointly agreed upon: 
(1) Direct Costs. Identifiable expenses incurred to conduct the apprenticeship program in the classroom or at its location including instructional salaries and benefits, books and supplies, equipment replacement, contracted services, and capital outlay. 
Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. 
(2) Direct Support Charges. Identifiable expenses incurred in a support program directly benefitting the apprenticeship program. 
Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. 
The determination as to what items of direct support are applicable and the method or basis of charging to the apprenticeship program shall be mutually agreed upon and made a part of the joint agreement between the apprenticeship program sponsor(s) and the LEA. 
(3) Indirect Support Charges. Identifiable expenses incurred for routine services not performed as a special service for a particular apprenticeship program but supportive of all programs conducted by the LEA.
Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. 
The determination as to what items of noninstructional support are applicable and the method or basis of charging indirect support to the apprenticeship program shall be mutually agreed upon and made a part of the joint agreement between the apprenticeship program sponsor(s) and the LEA.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code.
HISTORY

1. Repealer of former Section 238 and renumbering and amendment of former Section 239 to Section 238 filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§239. Determining Excess Costs.
Note     •     History

If the costs of an apprenticeship program are greater than the revenue earned, the excess revenue earned from any other apprenticeship program(s) conducted by the LEA must be allocated on a pro rata basis to reduce the excess costs of the remaining program(s). Any excess costs remaining after allocation of any excess revenue earned can be claimed for payment from the apprenticeship program sponsor(s) pursuant to Section 240. If, after allocation of any excess revenue earned, no excess costs remain, no payment is required.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code.
HISTORY

1. Renumbering of former Section 239 to Section 238, and renumbering and amendment of former Section 240 to Section 239 filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§240. Payment.
Note     •     History

Upon the close of the school year or at other such time as may be specified in the joint agreement, all excess costs incurred by the LEA shall be verified to the apprenticeship program sponsor(s) and shall be payable by the apprenticeship program sponsor(s) directly to the LEA in accordance with the joint agreement between such sponsor(s) and the LEA. 
All LEA's providing related and supplemental instruction for apprentices that have executed a joint agreement with an apprenticeship program sponsor(s) shall submit a copy of the agreement and report any excess costs payments received to the Chancellor of the California Community Colleges or Superintendent of Public Instruction, as appropriate, and to the Division of Apprenticeship Standards on forms provided.
NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code.
HISTORY

1. Renumbering of former Section 240 to Section 239, and renumbering and amendment of former Section 241 to Section 240 filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
§241. Payment.
Note     •     History

NOTE

Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code.
HISTORY

1. Renumbering and amendment of Section 241 to Section 240 filed 5-31-85; effective thirtieth day thereafter (Register 85, No. 22).
Article 12. Apprenticeship Program Fees
§242. Scope.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.8, 3073 and 3077, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.1. Definitions.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.8, 3070, 3073, 3075 and 3077, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.2. Assessment Fee Determination and Collection.
Note     •     History

NOTE

Authority cited: Sections 54, 55, and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.3. Program Sponsor Registration Fee.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.5 and 1777.8, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.4. Collection of Excess Fees.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 30-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.5. Non-Payment of Fees.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
§242.6. Revised Assessment.
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code.
HISTORY

1. New section filed 11-20-90 as an emergency; operative 11- 20-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL by 3-20-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of law (Register 91, No. 21).
3. New section filed 4-24-91; operative 4-24-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL by 8-22-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-24-91 order transmitted to OAL 6-11-91; disapproved by OAL and order of repeal as to 4- 24-91 order issued on 7-11-91 (Register 91, No. 45).
5. New section refiled 7-11-91 as an emergency; operative 7- 11-91 (Register 91, No. 45). A Certificate of Compliance must be transmitted to OAL by 11-8-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
Subchapter 2. Other On-the-Job Training
Article A-1. General Provisions
§250. Authority.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. Repealer of Article A-1 (Section 250) filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 1. Declaration of Policy and Purpose
§251. Declaration of Policy.
Note     •     History

A bona fide state training program is defined as one that is approved by the Division of Apprenticeship Standards as being consistent with Labor Code Sections 3090 and 3093 and the applicable provisions of this Code.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Order of Repeal of subsections of (f) and (g) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
3. Renumbering of former article 1 to article 4, renumbering of former section 251 to section 262, renumbering of former article 2 to new article 1 and renumbering of former section 254 to new section 251 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§252. Definitions.
Note     •     History

(a) “Competent evidence” as used in Section 259 is a transcript or abstract of the records required to be maintained pursuant to Section 255(b)(5), or an attestation by the training program sponsor stating that all training has been fully completed, on forms to be furnished by the Division of Apprenticeship Standards, demonstrating that the training program has been fully completed, certified by the training program sponsor, and endorsed by a representative of the Division of Apprenticeship Standards. 
(b) “Training program sponsor” is a joint training committee, a unilateral training committee or the party to a unilateral training program where there is no training committee established or any combination thereof, and may include a school to career partnership.
(c) A “Training Committee” means those persons designated by the sponsor to act for it in the administration of the program.
(d) The term “trainee” means a person at least 16 years of age who has entered into a written agreement called a “trainee agreement” in accordance with Section 3093 of the Labor Code.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Renumbering of former section 252 to section 263 and renumbering and amendment of former section 255 to new section 252 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§253. Operation of Training Programs.
Note     •     History

The administration and operation of training programs shall be supervised by a training committee or single employer, which shall approve trainee agreements, adjust disputes and perform such other functions and duties as are agreed to in the training standards. A training program is not restricted to a local area of coverage and may provide for local, regional or statewide coverage in its standards.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code.
HISTORY

1. Amendment of subsection (a)(1) filed 8-27-76; effective thirtieth day thereafter (Register 76, No. 35). 
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
3. Renumbering of former section 253 to section 264 and renumbering of former section 268 to new section 253, including amendment of section heading and section, filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 2. Training Standards
§254. Training Programs.
Note     •     History

(a) Bona fide state training programs for other than apprenticeable occupations may be established through the adoption of written training standards by the interested parties, approved by the Division of Apprenticeship Standards. 
(b) Application for approval shall be rejected when it is found to be inconsistent, incompatible or in conflict with apprenticeship policies or programs. 
(c) To be approved, other on-the-job training programs must meet the following criteria: 
(1) The program is for an occupation other than an apprenticeable occupation and is either for workers entering the labor market for the first time or for workers entering new occupations by reason of having been displaced from former occupations by economic, industrial, technological or scientific changes or developments; 
(2) Such program is in accord with and agreed to by the parties to any applicable collective bargaining agreement and, where appropriate will include joint employer-employee cooperation; 
(3) The training plan, content and duration of the program are adequate to qualify the trainee for the job for which the trainee is to be trained; 
(4) There is reasonable assurance that the job for which the trainee is to be trained will be available at the end of the training period; 
(5) The job for which the trainee is to be trained is a recognized occupation; 
(6) The job for which the trainee is to be trained is one to which appointment is based upon skills and knowledge and not on such factors as length of service; 
(7) The job for which the trainee is to be trained customarily requires a period of on-the-job training of not less than three months; 
(8) Provision is made in the training standards for (i) vestibule or other pre-job training, if any, or (ii) related and supplemental instruction, if any, either full time before employment or part time combined with the on-the-job training. Related and supplemental classroom instruction, where appropriate, is the responsibility of and will be administered by state and local school boards responsible for vocational education; 
(9) There are adequate facilities, equipment, and personnel in the training establishment to provide satisfactory training; 
(10) Appropriate credit is given each trainee for previous training and work experience, if any, and wages and, the applicable training period are adjusted accordingly; and 
(11) Provision is made for trainees to be selected, employed and trained under fair and impartial procedures without discrimination.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code.
HISTORY

1. Amendment of subsection (j) filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4). 
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
4. Renumbering of former article 2 to article 1, renumbering of former section 254 to section 251, renumbering of former article 4 to new article 2 and renumbering and amendment of former section 261 to new section 254 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§255. Content of Training Standards.
Note     •     History

Training programs shall be established by written training standards agreed to by interested employers, employer associations and, if any, by an interested labor union where applicable, and approved by the Division of Apprenticeship Standards, if consistent with these regulations. 
Training standards may be approved by the Division of Apprenticeship Standards provided they contain the following: 
(a) A statement of the: 
(1) occupation(s); 
(2) party or parties to whom the standards apply and the geographic area; 
(3) definition and duties of the trainee; 
(b) Provisions for: 
(1) establishment of a training committee, if applicable; 
(2) administration of the standards; 
(3) establishment of rules and regulations governing the program; 
(4) determining the qualifications of employers if other than single employer program; 
(5) a system to record trainee progress; 
(6) graduated minimum wage schedule to be paid during the term of training; 
(7) discipline of trainees, including a description of provisions for fair hearings, if any. Disciplinary measures may include provision for the suspension of a trainee from the training program for a fixed period not to exceed sixty (60) days; 
(8) termination or recommendation of cancellation of trainee agreements;
(9) recommending issuance of a State Certificate of Training; 
(10) revision of standards; 
(11) training and education of the trainee in first aid, safe working practices and in the recognition of occupational health and safety hazards; 
(12) a selection procedure; 
(13) approval of the standards, and any revision of the standards, by the Division of Apprenticeship Standards. 
(c) The names and signatures of the parties. 
(d) Any apprenticeship committee provided for in this California Code of Regulations may serve as an apprenticeship and training committee to cover both apprenticeship and training programs.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Renumbering of former section 255 to section 252 and renumbering and amendment of former section 262 to new section 255 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§256. Wages.
Note     •     History

Training standards and trainee agreements shall contain graduated wage schedules to be paid trainees that provide for reasonable uniform progressive wage increases during the term of training, except where other schedules are provided in applicable collective bargaining agreements,  provided that in no case shall a training program be approved with a beginning wage which is lower than the minimum wages fixed by any federal or state law or regulation.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code.
HISTORY

1. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
2. Renumbering of former section 258 to new section 256, including amendment of section heading and section,  filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§257. Overtime Provision.
Note     •     History

Overtime shall not interfere with or impair the training and shall not be detrimental to the health and safety of trainees.
NOTE

Authority cited: Sections 3071 and 3093, Labor Code. Reference: Sections 3071 and 3093, Labor Code.
HISTORY

1. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
2. Renumbering of former section 259 to new section 257 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§258. Working Conditions.
Note     •     History

Trainees shall work under and with competent workers skilled in the occupation for which they are being trained and shall be assigned to working and learning tasks so that they master the on-the-job training provided for in the training standards.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3090 and 3093, Labor Code.
HISTORY

1. Amendment filed 11-5-75 ; effective thirtieth day thereafter (Register 75, No. 45). 
2. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
3. Repealer of article 3 heading, renumbering of former section 258 to section 256 and renumbering and amendment of former section 260 to new section 258 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§259. State Certificates of Training.
Note     •     History

(a) A “Certificate of Training” attesting to the completion of training will be issued under the authority of the California Apprenticeship Council by the Division of Apprenticeship Standards upon request and upon receipt of such competent evidence as may be required by the California Apprenticeship Council. 
(b) The certificate shall signify completion of training under standards and trainee agreements approved under State Law and these regulations.
(c) Completion of the entire training program by the trainee shall be attested to by the training program sponsor. The training program sponsor will attest to the related and supplemental instruction after consulting with the appropriate school authorities regarding the completion of the educational requirements of related and supplemental subjects.
(d) The certificate is in recognition of completion of training. The certificate may be granted to a trainee only when the trainee: 
(1) in addition to credit for previous on-the-job training and related school instruction, which is of an approved nature, shall have completed not less than an additional twelve and one-half (12 1/2) percent of the total training program but not less than a three months as a trainee under these regulations; and 
(2) demonstrated to the satisfaction of the training program sponsor mastery of the skills and knowledge of the prescribed program. 
(e) The training program sponsor in recognition of unusual ability and progress in mastering the skills of the occupations and the related and supplemental education program may decrease the training period for individual trainees by not more than twelve and one-half (12 1/2) percent.
(f) Credit toward the training for work experience prior to the training may be given by the training program sponsor after verification and/or examination. Credit for partial completion of the education requirements for related and supplemental instruction may be given by the training program sponsor after consultation with the appropriate school authorities concerning the mastery of the related instruction ordinarily required of the trainees. 
(g) In instances where school classes are not available or where attendance will result in an undue hardship on the trainee, the training program sponsor, after consultation with the appropriate school officials, may make arrangements for acceptance of educational experiences such as home study or correspondence courses as fulfilling the relate and supplemental educational requirement.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 10, No. 40). 
2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
3. Renumbering of former section 259 to section 257 and renumbering of former section 272 to new section 259, including amendment of section heading and section, filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 3. Selection Procedures
§260. Compliance.
Note     •     History

Selection procedures must be in writing, approved by the training program sponsors, and
(a) Each training program sponsor shall: 
(1) file a written copy of its selection procedures with the Chief DAS, which shall: 
(A) be signed by the secretary and/or chair of the training committee; or 
(B) be signed by the party to a unilateral training program where there is no training committee established; and 
(C) signify the date of approval. 
(2) provide each applicant making application with a copy of its selection procedure in summary form; 
(3) have available for the study and/or perusal of any applicant, at the place(s) applications are accepted, a copy of its complete selection procedure which is on file with the Chief DAS. 
(b) The employer, when authorized by the training committee to select the trainee, will have agreed in writing to abide by the standards and selection procedures. 
(c) Exemption from this Article may be granted by the Chief DAS for good cause. Requests for exemption from Article 5, or any part thereof, of this code shall be made in writing to the Chief DAS and shall contain a statement of reasons supporting the request. 
NOTE

Authority cited: Sections 3071 and 3090, Labor Code. Reference: Sections 3071 and 3091, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
3. Renumbering of former section 260 to section 258, renumbering of former article 5 to new article 3, and renumbering and amendment of former section 265 to new section 260 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§261. Content of Selection Procedures.
Note     •     History

Selection procedures shall include such provisions as may be necessary to afford all applicants full and fair opportunity to apply for training and shall be without discrimination on the basis of sex, race, color, religion, ancestry, national origin, disability, sexual orientation, age, political affiliation or creed.
(a) They shall include the following: 
(1) Required procedure for making written application. 
(2) Procedure for handling applications, that is, the method of dating and recording applications and the acceptance and rejection of applicants and how the applicants are notified of their acceptance or rejection. 
(3) Required minimum age limitations, if any. 
(4) Required formal education, if any, or equivalency if permitted. 
(5) Required physical examination, if any. 
(6) Procedure for the scheduling of tests and oral interviews, if any. 
(7) Required tests, if any, and by whom they are administered. 
(8) Where applicable, the relative weight given for tests and oral interviews in the overall evaluation of the applicants. 
(9) Procedure for acceptance, rejection and referral of applicants to job openings and how the applicants are so notified. 
(10) Procedure for testing, rating and placing applicants with previous experience in a higher wage bracket (training period). 
(b) Selection procedures shall not include the following: 
(1) Numerical rating of applicants based on their educational experience in excess of minimum educational requirements. 
(2) Test designed to determine the skill and knowledge of the occupation itself. 
(3) A requirement for a driver's license as a condition of accepting or processing an application. 
(4) A requirement of residency as a condition of accepting or processing an application.
NOTE

Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. Amendment of subsection (a)(1) filed 8-27-76; effective thirtieth day thereafter (Register 76, No. 35). 
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
3. Renumbering of former article 4 to article 2, renumbering of former section 261 to section 254, and renumbering and amendment of former section 266 to new section 261 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 4. Procedures for Investigating, Holding Hearings and Determining Disputes
§262. Filing of Complaints.
History

(a) Any interested person may file a complaint with the Administrator of Apprenticeship or the Administrator of Apprenticeship upon his/her own initiative may issue a complaint, when there is cause to believe that a decision, order or action of a training program sponsor (as defined in Section 252(b)) has been unfair or unreasonable; or that there has been a violation of: 
(1) Chapter 4, Division 3 of the Labor Code;
(2) California Code of Regulations Title 8, Chapter 2, Part II; 
(3) Training Standards; 
(4) Trainee Agreements; 
(5) Selection Procedures; 
(6) Rules, Regulations or Policies established by a training program sponsor. 
(b) Complaints filed with, or by, the Administrator of Apprenticeship shall be filed in writing within ninety (90) days of the date of the alleged violation or within thirty (30) days of a decision by, an order by, or an action of a program sponsor to adjust the matter locally, whichever is latest, and shall contain the following: 
(1) The full name and address of the party (person, organization, or other party) filing the complaint (hereinafter referred to as the “charging party”). 
(2) The full name and address of the party (person, organization or other party) against whom the complaint is made (hereinafter referred to as the “respondent”). 
(3) A clear and concise statement of the facts constituting the alleged complaint. 
(4) The signature of the person filing the complaint or an authorized officer or agent in the case of an organization, employer, labor union, training program sponsor or other interested party. 
(5) A declaration by the person signing the complaint, under penalties of law, that its contents are true and correct to the best of his/her knowledge and belief. 
(c) Upon receipt or issuance of a complaint the Administrator of Apprenticeship shall cause a copy of such complaint to be served upon the respondent(s). 
(d) Complaints may be withdrawn only with the consent of the Administrator of Apprenticeship. 
(e) The Administrator of Apprenticeship shall dismiss any complaint when it is found that the controversies or differences concerning the training agreement were adjusted locally or that there are provisions in a collective bargaining agreement for handling such disputes.
HISTORY

1. Amendment of subsection (e) filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19). 
2. Amendment of subsection (a)(8) filed 11-5-75; effective thirtieth day thereafter (Register 75, No. 45). 
3. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
4. Amendment of initial paragraph filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
5. Renumbering of former article 1 to new article 4, renumbering of former section 262 to section 255 and renumbering and amendment of former section 251 to new section 262 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§262.1. Discipline--Cancellation.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3073 and 3090, Labor Code.
HISTORY

1. New section filed 9-27-82; effective thirtieth day thereafter (Register 80, No. 40).
1. Repealer filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§263. Investigations, Holding of Hearings and Determinations.
Note     •     History

(a) The Administrator of Apprenticeship, upon the timely receipt or issuance of a complaint under Section 262, shall investigate the matter to determine whether the complaint has merit, and in the course of such investigations, the Administrator of Apprenticeship may take such steps as he/she deems necessary under the circumstances to bring about an amicable adjustment of the controversy. The Administrator of Apprenticeship shall dismiss any complaint that is not timely filed and may, following an investigation, dismiss any complaint that is found to be without merit. In such cases the Administrator of Apprenticeship shall prepare a statement of his/her findings and determinations and file it with the California Apprenticeship Council, and notify all parties in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of his/her determination to dismiss the complaint. 
(b) If the matter is not dismissed, withdrawn or settled satisfactorily, the Administrator of Apprenticeship shall hold a hearing in accordance with the following procedure: 
(1) He/she shall fix the time and place of the hearing and notify all interested parties not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. 
(2) The interested parties shall be given an opportunity to present evidence and oral or written arguments in support of their positions. 
(3) The hearing need not be conducted according to technical rules relating to evidence and witnesses. 
(4) All witnesses testifying before the Administrator of Apprenticeship shall testify under oath. 
(5) A full transcript of the hearing shall be taken by a qualified person.
(c) The Administrator of Apprenticeship or his/her duly authorized representative may conduct the investigation, hold the hearing and decide on the complaint. The Administrator of Apprenticeship may however delegate or authorize a representative only to hold a hearing and to report, reserving the authority to decide on the complaint. In that case, the duly authorized representative shall hold a hearing and submit to the Administrator of Apprenticeship the entire record of the hearing together with his/her written recommendations. The Administrator of Apprenticeship shall read the record and the written recommendations before deciding on the complaint.
(d) In deciding on the complaint, the Administrator of Apprenticeship or his/her duly authorized representative shall prepare a statement of findings of fact, make a decision, file it with the California Apprenticeship Council and notify all parties in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of the decision and of any action taken.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3081, 3082, 3090 and 3093, Labor Code.
HISTORY

1. Repealer filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
2. Renumbering and amendment of former section 252 to new section 263 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§264. Appeals to the California Apprenticeship Council.
Note     •     History

(a) The following procedures shall be followed when an appeal is filed with the Council within ten (10) days from the date the parties are given notification of the determination. The parties shall be deemed to have been given notification five (5) days after notice has been sent to their address of record. 
(1) The Chair of the Council shall appoint three (3) members of the Council to act as an appeal board. This appeal board shall consist of one member of the Council representing an employee organization and one member representing an employer organization; the third member will be a member who does not represent either of the aforementioned groups and shall act as chair of the appeal board. 
(2) The appeal board shall review the entire record and may hold an appeal hearing thereon. 
(3) In the event of a hearing, the designated chair of the appeal board shall fix the time and place of the hearing on the appeal and notify all interested parties to the appeal not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. 
(4) The hearing on the appeal shall be limited to a review of the record before the Administrator of Apprenticeship and to oral or written arguments by interested parties to the appeal; except where the appeal board finds that there is relevant evidence which, in the exercise of reasonable diligence, could not have been produced or which was improperly excluded at the hearing before the Administrator of Apprenticeship. In such cases, the appeal board may admit such evidence to supplement the record and exercise its independent judgment upon all of the evidence in the record. The appeal board may, in its independent judgment, refer the matter to the program sponsor for reconsideration of its prior action, in an attempt to resolve the matter amicably. 
(5) The appeal board shall submit a written report to the Council summarizing the evidence, findings of fact, and recommended decision. The Council shall take appropriate action on the recommended decision. If for any reason the Council rejects the appeal board's recommended decision, a complete copy of the record shall be furnished each member of the Council for independent review and consideration before any action is taken by the Council in rendering a decision. 
(6) The Council will timely notify all parties to the appeal of its decision in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3082-3084, 3090 and 3093, Labor Code.
HISTORY

1. Amendment filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
3. Renumbering and amendment of former section 253 to new section 264 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 5. Selection Procedures
§265. Compliance.
Note     •     History

NOTE

Authority cited: Sections 3071 and 3090, Labor Code. Reference: Sections 3071 and 3091, Labor Code.
HISTORY

1. New subsection (c) filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19). 
2. New subsection (d) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). 
3. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
4. Amendment of subsections (a) and (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
5. Renumbering of former article 5 to article 3 and renumbering of former section 265 to new section 260 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§266. Content of Selection Procedures.
Note     •     History

NOTE

Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. Amendment of subsections (a)(4) and (a)(9) filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
4. Renumbering of former section 266 to new section 261 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§267. Review and Compliance.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3090 and 3093, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
2. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Article 6. Training Programs and Committees
§268. Local Training Programs.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
2. Repealer of article 6 (sections 268-271) and renumbering  of section 268 to section 253 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
§269. Local Joint Training Programs.
History

HISTORY

1. Repealer filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
§270. Local Unilateral Training Programs.
History

HISTORY

1. Amendment filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Repealer filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
§271. State and Regional Joint Training Advisory Committees.
Note     •     History

NOTE

Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code.
HISTORY

1. Amendment filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 1). 
2. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
4. Repealer filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 7. State Certificates of Training
§272. When Issued.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 5-24-74; effective thirtieth day thereafter (Register 74, No. 21). 
2. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
3. Repealer of article 7 (section 272) and renumbering and amendment of former section 272 to section 259 filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Article 8. Local Joint Training Committee Certificate of Authorization
HISTORY

1. Repealer of Article 8 (Section 273) filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
Article 9. Certificates of Meritorious Service
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code.
HISTORY

1. Repealer of Article 9 (Section 274) filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
Subchapter 3. Journeyman On-the-Job Training
§280. Purpose and Intent.
Note     •     History

NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
. 2. Repealer filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
§281. Declaration of Policy.
Note     •     History

A state approved journeyman on-the-job training program is defined as one that is developed by its program sponsor and approved by the Division of Apprenticeship Standards as being consistent with Labor Code Sections 3090 and 3093 and applicable provisions of this Code.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. New NOTE filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40).
. 2. Amendment filed 1-25-85; effective thirtieth day thereafter (Register 85, No. 4).
. 3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36).
§282. Approval of Training Standards.
Note     •     History

(a) Voluntarily developed training standards for journeyman on-the-job training programs shall be approved by the Division of Apprenticeship Standards if those standards meet the following criteria: 
(1) They are agreed to and submitted in writing by the parties to any applicable collective bargaining agreement, by an employer, an employer association, or a union or its representative, and signed by the parties affected. 
(2) The program is designed for journeymen in an apprenticeable occupation to keep them abreast of current techniques, methods and materials and to provide them opportunities for advancement in their industries and does not replace apprentices in approved apprenticeship programs.
(3) The period of training is of not less than three months' duration. 
(4) There are adequate facilities, equipment and personnel to provide training. 
(5) Provision is made for: 
(A) Training in safety and safe practices.
(B) Necessary related and supplemental instruction, where applicable. Related and supplemental instruction will be administered by state and local boards responsible for vocational education. 
(C) Adequate supervision and administration of the program. 
(D) Adequate records to be kept to show the progress made by each journeyman in training toward the training objective. 
(E) Journeymen in training to be selected, employed and trained under fair and impartial procedures without discrimination on the basis of sex, race, religion, color, ancestry, national origin, disability, sexual orientation, political affiliation, creed or age. 
(F) Recommending issuance of State Certificates of Training to journeymen in training upon successful completion of training, attested to by the journeyman training program sponsor(s) by competent evidence which is defined as a transcript or abstract of the records required to be maintained pursuant to Section 282(a)(5)(D). 
(G) Each journeyman in training to sign an agreement based on the provisions of the training standards, with a copy filed with the training program sponsor.
(b) Journeyman on-the-job programs may be administered by a joint training committee, a unilateral training committee or a single employer.
NOTE

Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code.
HISTORY

1. Amendment filed 9-27-82; effective thirtieth day thereafter (Register 82, No. 40). 
2. Amendment of subsection (a) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 36). 
3. Amendment filed 5-12-98; operative 6-11-98 (Register 98, No. 20).
Subchapter 4. Electrician Certification
§290.0. General.
Note     •     History

Scope and Application: Improper electrical connections can result in fire or other damage to property and can cause injury and death. Any individual may apply for certification showing that the individual possesses the skill, knowledge and training to safely and competently make electrical connections of 100 volt-amperes or more in the course of doing work for a contractor licensed as a Class C-10 electrical contractor under the Contractors' State License Board Rules and Regulations. Certification displays an individual's expertise within the category of certification, and allows the individual to lawfully perform whatever part of the work within that category is work for which certification is required.
NOTE

Authority cited: Section 3099, Labor Code. References: Sections 3099-3099.4, Labor Code. 
HISTORY

1. New subchapter 4 (sections 290.0-295.0) and section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§290. 1 Definitions.
Note     •     History

(a) A General Electrician is one who performs work for an electrical contractor installing, constructing or maintaining any electrical system that is covered by the National Electric Code. 
(b) A Residential Electrician is one who: 
(1) performs work for an electrical contractor installing, constructing, or maintaining any electrical system that is covered by the National Electrical Code in single family homes and multi family units, including hotels and motels, where the primary occupancy of the building is considered residential and the maximum voltage received from a utility company is a 3 phase, 4 wire, 120/208 or 120/240 volts. 
(2) performs work installing the required panel boards and feeders for commercial tenant space in a multi-family/multi-use occupancies falling under subsection (b)(1) above, where less than 50 percent of the first floor level is used for commercial tenant space, but not performing any tenant improvement for these spaces. 
(3) does not perform work in occupancies that fall under the scope of Article 517 of the National Electrical Code. 
(c) Voice Data Video Technician is one who performs work for an electrical contractor installing, constructing or maintaining any system that falls within the scope of National Electrical Code, Articles 725, 770 (non-composite cables only), 800 (non-hybrid cables only), 810 and 820. 
(d) Fire/Life Safety Technician is one who performs work for an electrical contractor involving the installation, construction or maintenance of systems as covered in Article 760 of the National Electrical Code. 
(e) Nonresidential Lighting Technician is one who performs work for an electrical contractor repairing, servicing and maintaining existing nonresidential lighting fixtures and installing retrofit upgrade fixtures. Such work does not include the installation of branch circuits or the alteration of existing branch circuits except a technician may reconnect to existing power within 3 feet. 
(f) DAS is the Division of Apprenticeship Standards. 
(g) Chief DAS is the Chief of the Division of Apprenticeship Standards. 
(h) Director is the Director of Industrial Relations. 
(i) An Electrical Contractor is one who holds a C-10 license from the State Contractors License Board 
(j) National Electrical Code is the National Electrical Code 1999, National Fire Protection Association, Quincy, MA 02269. 
NOTE

Authority cited: Section 3099, Labor Code. Reference: Section 3099, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
§290.1. Definitions.
Note     •     History

Approved Curriculum is a program of classes covering the areas of subject matter content offered by an Educational Provider pursuant to a plan of classroom instruction and designated as approved by the Curriculum Committee. 
Certified Electrician is one who has been certified pursuant to Labor Code section 3099.2 and these regulations under any of the certification categories established by DAS. 
Chief DAS is the Chief of the Division of Apprenticeship Standards. 
Curriculum Committee is the Electrician Certification Curriculum Committee established pursuant to Labor Code section 3099(a)(6). 
Curriculum Standards are the standards for subject matter content for classroom instruction adopted by the Curriculum Committee. 
DAS is the Division of Apprenticeship Standards. 
Director is the Director of Industrial Relations. 
Educational Provider is a community college or public school district or public educational institution, or a state-licensed private post-secondary institution under contract with a public educational institution, community college or public school district, or a private postsecondary educational institution approved or registered by the Bureau for Private Postsecondary and Vocational Education. 
Electrician Trainee is an Electrician Trainee Registrant who has completed or is enrolled in an Approved Curriculum and is working under the direct supervision of a Certified Electrician, pursuant to Labor Code section 3099.4 and these regulations. Electrician Trainee Registrant is one who is registered with DAS pursuant to Labor Code section 3099.4 and these regulations. 
Fire/Life Safety Technician is one who performs work for a C-10 electrical contractor involving the installation, construction or maintenance of systems covered by Article 760 of the National Electrical Code. 
General Electrician is one who performs work for a C-10 electrical contractor installing, constructing or maintaining any electrical system that is covered by the National Electric Code. 
National Electrical Code is the National Electrical Code 1999, National Fire Protection Association, Quincy, MA 02269. 
NICET is the National Institute for Certification in Engineering Technologies. 
Nonresidential Lighting Technician is one who performs work for a C-10 electrical contractor repairing, servicing and maintaining existing nonresidential lighting fixtures and installing retrofit upgrade fixtures. Such work does not include the installation of branch circuits or the alteration of existing branch circuits except a Nonresidential Lighting Technician may reconnect to existing power within 3 feet. 
Residential Electrician is one who: 
(1) performs work for a C-10 electrical contractor installing, constructing, or maintaining any electrical system that is covered by the National Electrical Code in single family homes and multi family units, including hotels and motels, where the primary occupancy of the building is considered residential and the maximum voltage received from a utility company is a 3 phase, 4 wire, 120/208 or 120/240 volts. 
(2) performs work for a C-10 electrical contractor installing the required panel boards and feeders for commercial tenant space in a multi-family/multi-use occupancies falling under subsection (1) above, where less than 50 percent of the first floor level is used for commercial tenant space, but not performing any tenant improvement for these spaces. 
(3) does not perform work in occupancies that fall under the scope of Article 517 of the National Electrical Code. 
Voice Data Video Technician is one who performs work for a C-10 electrical contractor installing, constructing or maintaining any system that falls within the scope of National Electrical Code, Articles 725, 770 (non-composite cables only), 800 (non-hybrid cables only), 810 and 820. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. Reference: Sections 3099-3099.4, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Amendment filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§291.0. Types of Certification.
Note     •     History

(a) An applicant may apply for certification as a General Electrician, a Residential Electrician, a Voice Data Video Technician, a Fire/Life Safety Technician or a Nonresidential Lighting Technician. A certification category describes the type of work that is performed by that category of electrician, but certification may not be required for all the work within the category. 
(b) Certification in a particular category allows one to lawfully perform any work for which certification is required within the scope of that category, even when such work is also within the scope of another category. Certification as a General Electrician allows one to lawfully perform work for which certification is required in all categories. 
NOTE

Authority cited: Sections 3099 and 3099.2, Labor Code. Reference: Sections 3099 and 3099.2, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§291.1. Eligibility for Certification.
Note     •     History

(a) In order to be certified, an applicant must have the required experience as set forth herein, and pass a certification examination under Section 291.3. An applicant must provide proof of experience which may be done by showing: 
(1) successful completion of an apprenticeship program approved by the California Apprenticeship Council, the federal Bureau of Apprenticeship Training, or a state apprenticeship council authorized by the federal Bureau of Apprenticeship Training to approve apprenticeship programs, in the classification for which certification is sought; or 
(2) on-the-job experience, as follows: 
General Electrician: 8000 hours of work for a C-10 electrical contractor installing, constructing or maintaining electrical systems covered by the National Electrical Code. The 8000 hours must consist of work in two or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 8000 hour total are as follows: 
Stock room and Material handling - 300 hours 
Residential Wiring - 3000 hours 
Commercial Wiring - 6000 hours 
Industrial Wiring - 6000 hours 
Voice Data and Video installation - 1500 hours 
Underground Conduit installation - 750 hours 
Troubleshooting and Maintenance - 1500 hours 
Finish Work and fixtures - 600 hours 
Fire/Life Safety, Nurse call - 600 hours 
Residential Electrician: 4800 hours of work for a C-10 electrical contractor installing, constructing, or maintaining electrical systems covered by the National Electric Code. The 4800 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4800 hour total are as follows: 
Stock room and material handling - 300 hours 
Residential Wiring - 4800 hours 
Voice Data and Video installation - 150 hours 
Underground Conduit installation - 300 hours 
Troubleshooting and Maintenance - 600 hours 
Finish work and fixture - 600 hours 
Fire/Life Safety - 300 hours 
Voice Data Video Technician: 4000 hours of work for a C-10 electrical contractor installing, constructing or maintaining any system that falls within the scope of National Electrical Code, Articles 725, 770 (non-composite cables only), 800 (non-hybrid cables only), 810 and 820. The 4000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4000 hour total are as follows: 
Stock room and material handling - 300 hours 
Installations, including wire pulling, terminations, control panels devices and finish work - 4000 hours 
Troubleshooting and Maintenance - 750 hours 
Trade Specific training related to Voice, Data, Video - 300 hours 
Fire/Life Safety Technician: 4000 hours of work for a C-10 electrical contractor, involving the installation, construction or maintenance of systems as covered in Article 760 of the National Electrical Code. The 4000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4000 hour total are as follows: 
Stock room and material handling - 300 hours 
Installations, including wire pulling, terminations, control panels devices and finish work - 4000 hours 
Troubleshooting and Maintenance - 750 hours 
Nurse Call systems - 300 hours 
Proprietary systems training related to Fire/Life Safety - 300 hours 
The experience requirement for Fire/Life Safety Technician may also be satisfied by proof of NICET certification in Fire Alarm Systems at Level II or above. Nonresidential Lighting Technician: 2,000 hours of work installing, repairing and maintaining nonresidential lighting while employed by a C-10 electrical contractor engaged in the business of nonresidential lighting maintenance and retrofit installations. The 2,000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted towards the 2,000 hour total are as follows: 
Stockroom and material handling - 150 hours 
Maintenance of lighting fixtures - 1750 hours 
Installation of retrofit fixtures - 1500 hours 
Trouble shooting and repairing - 500 hours 
(b) Where an applicant holds a license as an electrician in another state and it is determined by the Chief DAS that the requirements for experience to hold a license in that state are comparable to the requirements of Section 291.1(a)(1) or Section 291.1(a)(2), the Chief may deem the applicant to have the required experience for certification. 
(c) Where the applicant can show other experience, including military experience or relevant work for a low voltage systems contractor holding a C-7 license, the applicant may apply to the Chief DAS for credit toward some or all of the experience required under Section 291.1(a)(2) The Chief DAS may grant credit if the Chief determines that the experience is comparable to experience for which credit would be granted under Section 291.1(a)(1) or Section 291.1(a)(2).
NOTE

Authority cited: Section 3099, Labor Code. References: Sections 3099 and 3099.2, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Amendment of subsection (a)(2) and Note filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§291.2. Application for Certification and Examination.
Note     •     History

(a) Any individual desiring to be certified as set forth in Section 291.0 must submit an application for certification and examination as set forth herein. The application and all information and attachments shall be submitted under penalty of perjury, and accompanied by all applicable fees as set forth herein. No application will be accepted for processing by the DAS unless accompanied by all required fees as set forth in Section 292.0 herein. 
(b) Applications may be obtained from any District Office for the DAS, or from the DAS website at www.dir.ca.gov/das, and shall be filed by mailing the completed application to the following address: 

DIVISION OF APPRENTICESHIP STANDARDS
ATTN: ELECTRICIAN CERTIFICATION UNIT
P.O. BOX 420603
SAN FRANCISCO, CA 94142-0603
(c) The application shall include: 
(1) Type of certification desired. 
(2) Full name of the applicant and any other names the applicant has used to work as an electrician within five years previous to the date of the application. 
(3) Date of Birth and Driver's license or state identification card number. 
(4) Mailing Address. 
(5) Telephone Number (Day and Evening).
(6) Request for Spanish language examination if applicable. 
(d) The applicant shall submit proof of experience as required under Section 291.1 with the application. Except as provided in subsections (f) and (g), only applicants who have the required experience are eligible to take the certification examination. 
(e) Within 30 days of the receipt of an application, the DAS shall inform the applicant in writing whether the applicant is eligible to take the certification examination, or whether the application is deficient or the applicant has not submitted sufficient proof of experience to take the certification examination. 
If the applicant is eligible to take the certification examination, the DAS shall provide the applicant with information about taking the examination. If the applicant does not take the examination within one year after being notified by DAS of eligibility to take the examination, the applicant must submit a new application to DAS and pay the required application and testing fee again. 
If the application is deficient or the applicant has not submitted sufficient proof of experience, the DAS shall return the application materials and refund all fees to the applicant. The DAS shall advise the applicant of the information or documentation required and why the proof of experience is insufficient. The applicant may submit a new application and pay the required application and testing fees. 
(f) A registered apprentice performing electrical work as part of an apprenticeship program approved under Labor Code sec. 3070 et seq., a federal Bureau of Apprenticeship Training program, or a state apprenticeship program authorized by the federal Bureau of Apprenticeship Training, who is within one year of completion of the apprenticeship term, is eligible to take the certification examination. Upon passing the examination, the apprentice shall be certified immediately upon completion of the term of apprenticeship. 
(g) An Electrician Trainee is eligible to test for certification upon completing the Approved Curriculum for the classification for which certification is sought. The Electrician Trainee must submit proof of completion of the Approved Curriculum with the application and pay the required application and testing fees. The Electrician Trainee shall not be certified until he or she passes the examination and submits proof of experience for the classification for which certification is sought as required under Section 291.1. The Electrician Trainee Registrant must renew registration to continue as an Electrician Trainee Registrant until certified. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.4, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of subsections (b), (c)(6) and (d), repealer and new subsection (e), new subsections (f) and (g) and amendment of Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Editorial correction adding subsection (e) designator (Register 2006, No. 16).
4. Amendment of subsection (g) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§291.3. Certification Examination.
Note     •     History

(a) All applicants must pass the written examination, established by the Chief DAS for the type of certification desired. 
(b) The examination shall be validated by an independent test validation organization based on content developed by a job analysis. 
(c) A description of the examination content and identification of relevant reference works will be provided by DAS upon request. 
(d) The examination for each type of certification shall be given at least once per year, in at least two locations, one in Northern California and one in Southern California. DAS may give the examinations at additional times and in additional locations for the convenience of the applicant pool. 
(e) Applicants requesting special accommodations for the examination on account of disability shall submit such requests to the Chief DAS or its designee. The Chief DAS or its designee shall respond promptly to such requests and may require additional information and/or documentation from the applicant. 
(f) DAS shall provide for the administration of the certification examinations in Spanish, and to the extent practicable, other non-English languages spoken by a substantial number of applicants, as defined in Section 7296.2 of the Government Code, except insofar as the ability to understand warning signs, instructions, and other information in English is necessary for safety reasons. 
(g) At the time of the examination, the applicant may be required to present valid photo identification and may be photographed for a certification card. 
(h) DAS shall make information about electrician certification available in non-English languages spoken by a substantial number of construction workers, as defined in Section 7296.2 of the Government Code. Such information shall contain the basic information DAS makes available to the public in English regarding electrician certification and shall be sufficient to inform interested persons of the process by which one may become certified. 
NOTE

Authority cited: Section 3099, Labor Code. References: Sections 3099-3099.3, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of subsections (e) and (f), new subsection (h) and amendment of Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§291.4. Retesting.
Note     •     History

An applicant may take the test as many times as he or she wishes under one application for one year following the date of the notification of eligibility to take the examination so long as there is at least 60 days between each sitting. The applicant must make payment of the test fee each time the test is taken. After one year following the date of notification of eligibility, an unsuccessful applicant must submit a new application and make new payment of fees.
NOTE

Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Editorial correction of section text (Register 2006, No. 16).
§291.5. Renewal and Replacements.
Note     •     History

(a) Certification shall be renewed every three (3) years. To be eligible for renewal an applicant must provide proof under penalty of perjury of 32 hours further electrical education from an Educational Provider  or from a state or federally approved apprenticeship program relevant to the type of certification, and must certify under penalty of perjury that he or she has worked in the industry 2000 hours within the previous three years. The same hours of education may be counted toward more than one category of certification. 
(b) Within 30 days of the receipt of a renewal application, the DAS shall inform the applicant in writing either that certification has been renewed, or that the application is deficient or that applicant has submitted insufficient proof of further education. If the application is deficient or applicant has submitted insufficient proof of further education, DAS shall inform the applicant of the information or documentation required and why the proof of further education is insufficient. 
(c) An individual who allows certification to lapse shall be required to retake the certification examination. A successful renewal application must be postmarked or received at DAS 30 days before the end of the certification period in order for certification to be renewed without a lapse. 
(d) Any person whose certification card has been lost or mutilated may request a replacement card from the DAS. Such request shall be in writing and accompanied with a current address and phone number and replacement fee in the amount of 30% of the renewal fee specified in Section 292.0(c).
(e) For purposes of any continuing education or recertification requirement, individuals who become certified prior to the deadline for certification shall be treated as having become certified on the first anniversary of their certification date that falls after the certification deadline.
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.4, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of subsection (a), new subsections (b) and (c), subsection relettering, new subsection (e) and amendment of Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Editorial correction amending subsection (d) (Register 2006, No. 16).
4. Amendment of subsection (a) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§292.0. Fees.
Note     •     History

(a) The fee for initially applying for certification is $75.00. 
(b) The fee for taking or retaking the examination is $100.00. 
(c) The fee for renewal of certification is $100.00. 
(d) The fee for registering as an Electrician Trainee Registrant is $25.00. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.5, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. New subsection (d) and amendment of Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Amendment of subsection (d) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§293.0. Denial, Suspension, or Revocation of Certification; Appeals.
Note     •     History

(a) The Chief DAS may for good cause deny certification to an applicant. Good cause shall exist when the applicant does not satisfy the requirements of Section 291.1 or has failed the certification examination. The Chief DAS shall provide the applicant with written notice of the denial at the address shown on the application for certification or other address known to the DAS. 
(b) The Chief DAS may for good cause and after notice and, if requested, a hearing, suspend or revoke the certification of a person certified pursuant to this Subchapter. Good cause shall be deemed to exist if the person certified has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the certification or if the person obtained certification through mistake, misrepresentation or fraud. 
(c) For suspension or revocation of a certification, notice of the intention to suspend or revoke the certification shall be given in writing and served upon the person certified. Service shall be by personal service or certified mail to the person's address as shown on the certification application or other address known to the DAS. The notice shall specify the reasons for the action proposed to be taken by the DAS and the applicant's right to request a hearing. 
(d) Any applicant may appeal the denial of certification to the Chief DAS. The appeal shall be in writing and made within 30 days of service of the denial. The applicant shall have the burden of establishing that he/she qualifies for certification. The Chief DAS shall rule on the appeal, and shall have discretion to hold a hearing on the appeal before the Chief DAS or his or her authorized representative prior to the ruling. Any hearing must commence within 90 days after the DAS receives the appeal of the denial of certification. The ruling shall be in writing and shall be sent to the applicant within 90 days after the DAS receives the appeal, or within 90 days after the last day of hearing, whichever is later. The decision of the Chief DAS shall be final, except for judicial review provided by law. 
(e) An individual served with notice of the intention of the Chief DAS to suspend or revoke his or her certification may request a hearing with the Director by filing a written request for hearing with the Director within 30 days of service of the notice. Where no timely request for hearing has been made, the effective date of the suspension or revocation is deemed the 31st day following service of the notice of intention. The Director shall schedule a hearing before the Director or his or her authorized representative within 90 days after the Director receives the request for hearing. Following the hearing, the Director shall issue a written ruling that shall be sent to the appellant within 90 days after the last day of hearing. The decision of the Director shall be final except for judicial review provided by law.
NOTE

Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of subsections (d) and (e) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§294.0. Enforcement.
Note     •     History

Any person who displays a certificate, or otherwise claims to be certified, who is not certified shall be prohibited from taking the test for certification or from registering as an Electrician Trainee Registrant for a period of seven (7) years. 
NOTE

Authority cited: Section 3099, Labor Code. References: Sections 3099 and 3099.4, Labor Code. 
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§295.0. Publication of Names; Responsibility To Provide a Current Address.
Note     •     History

(a) DAS shall publish, either electronically or in print, a current list of Certified Electricians and Electrician Trainee Registrants. Copies of this list shall be available to the public upon request and shall be updated yearly. The list shall include the zip code of the electrician's or trainee's mailing address. 
(b) Applicants, Electrician Trainee Registrants, and Certified Electricians shall be responsible for notifying DAS of changes in mailing address.
NOTE

Authority cited: Section 3099, Labor Code. References: Sections 3099 and 3099.4, Labor Code.
HISTORY

1. New section filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31).
2. Amendment of section and Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Amendment filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§296.0. Curriculum Committee; Curriculum Standards; Approved Curriculum.
Note     •     History

(a) The Curriculum Committee is comprised of the State Superintendent of Public Instruction, the Chancellor of the California Community Colleges, and the Chief DAS, or their respective designees. The Curriculum Committee shall meet at least twice a year, and a unanimous vote shall be necessary for committee action. Each committee member may appoint up to three non-voting advisory members to attend committee meetings. The Chief DAS or its designee will act as secretary for the committee. 
The address of the Curriculum Committee is: 

DIVISION OF APPRENTICESHIP STANDARDS
ATTN: ELECTRICIAN CERTIFICATION CURRICULUM COMMITTEE
P.O. BOX 420603
SAN FRANCISCO, CA 94142-0603 
(b) The Curriculum Committee shall adopt Curriculum Standards that satisfy the requirements of Labor Code section 3099.4. DAS shall publish the Curriculum Standards, either electronically or in print, and they shall be available to the public upon request. 
(c) To apply for designation of its curriculum as approved, an Educational Provider must submit to the Curriculum Committee a copy of its proposed curriculum, proof that the proposed curriculum has been certified by the State Department of Education, approved by the Chancellor of the California Community Colleges, or approved or registered by the Bureau for Private Postsecondary and Vocational Education, and a document that identifies how each element in the Curriculum Standards is covered in the proposed curriculum. Within 90 days of the receipt of an application, the Curriculum Committee shall inform the Educational Provider in writing either that the proposed curriculum is designated approved or that the application or the proposed curriculum is deficient, in which case the Curriculum Committee shall inform the Educational Provider the information or documentation required to complete the application and why the proposed curriculum is deficient. 
(d) The Curriculum Committee may designate as approved a curriculum that partially satisfies the Curriculum Standards where the Educational Provider attests that it intends to offer, or to cooperate with other Educational Providers to offer, a complete Approved Curriculum for the type of certification involved in the future. Approval of partial curriculum must be renewed on a yearly basis until a complete curriculum is approved, by submitting a renewal request to the Curriculum Committee.
(e) An Educational Provider must include language in publications regarding its Approved Curriculum that notifies which elements of the Curriculum Standards are covered, and which are not. An Educational Provider that is not offering all classes required to satisfy the Curriculum Standards must disclose in all communications to students and to the public that it has only received approval for a partial curriculum, and shall not make any representations that it offers a complete Approved Curriculum. For purposes of this subsection, “all communications” means all communications describing the curriculum, program, or course offerings of the Approved Curriculum, and does not refer to communications regarding internal institutional matters sent to students who are already enrolled in the Approved Curriculum with the Educational Provider. 
(f) An Educational Provider of Approved Curriculum must submit an annual notice to the Curriculum Committee on the anniversary of its effective date of approval, stating whether the Educational Provider is continuing to offer the Approved Curriculum, and whether any material changes have been made to the Approved Curriculum since the effective date of approval. 
(g) An Educational Provider shall send a copy of its current Approved Curriculum to the Curriculum Committee within 30 days of a written request. The Curriculum Committee may review the Approved Curriculum of an Educational Provider at any time. The Curriculum Committee may withdraw approval if the Educational Provider does not continue to meet the Curriculum Standards, or fails to provide a copy of its current Approved Curriculum to the Curriculum Committee upon written request. The Curriculum Committee must notify an Educational Provider in writing 30 days before the effective date of a withdrawal of approval, and the notice must inform the Educational Provider the grounds for withdrawal, including the ways in which the curriculum does not meet the Curriculum Standards. 
(h) DAS shall publish, either electronically or in print, a list of Educational Providers with Approved Curriculum. The list shall be made available to the public upon request. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. 
HISTORY

1. New section filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
2. Amendment of subsections (c)-(d), new subsections (e)-(g) and subsection relettering filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§296.1. Applying for and Renewing Registration as an Electrician Trainee Registrant.
Note     •     History

(a) An individual who is enrolled in or has completed an Approved Curriculum may register with DAS as an Electrician Trainee Registrant by submitting an application as set forth herein. The application and all information and attachments must be submitted under penalty of perjury and accompanied by the applicable fee as set forth in Section 292.0. No application will be accepted for processing unless accompanied by the required fee. 
(b) Applications may be obtained from any District Office for DAS or from DAS's website. Applications must be filed by mailing the completed application to the following address: 

DIVISION OF APPRENTICESHIP STANDARDS
ATTN: ELECTRICIAN CERTIFICATION UNIT
P.O. BOX 420603
SAN FRANCISCO, CA 94142-0603 
(c) The application must include: 
(1) Full name of the applicant and any other names the applicant has used to work in the electrical industry within five years previous to the date of application. 
(2) Date of birth and driver's license or state identification card number. 
(3) Mailing address. 
(4) Telephone number (Day and Evening). 
(5) Proof of enrollment in or completion of an Approved Curriculum. 
(6) Name, mailing address, and telephone number of current employer in the electrical industry, if any. 
(d) Within 90 days of the receipt of an application, the DAS shall inform the applicant in writing either that the application is accepted for filing or that it is deficient or that the applicant has submitted insufficient proof of enrollment in or completion of an Approved Curriculum. If the application is deficient or the applicant has submitted insufficient proof of enrollment in or completion of an Approved Curriculum, the DAS shall inform the applicant of the information or documentation required and why the proof of enrollment in or completion of an Approved Curriculum is insufficient. 
(e) An Electrician Trainee Registrant must renew his or her registration with DAS on an annual basis, by submitting a renewal application. The renewal application requirements are the same as that for the registration application, as set forth in subsections (a) through (c) above, except that no fee is required for renewal and the following additional information is required: 
(1) Copies of transcripts showing Approved Curriculum classwork completed during the prior year; and, 
(2) A list of the Electrician Trainee Registrant's employers in the electrical industry and on-the-job experience acquired during the prior year. 
(f) Within 90 days of the receipt of a renewal application, the DAS shall inform the applicant in writing either that the registration has been renewed or that the application is deficient or that the applicant has submitted insufficient proof of further classwork or experience, in which case DAS shall inform the applicant of the information or documentation required and why the proof of further classwork or experience is insufficient. 
(g) An individual whose registration as an Electrician Trainee Registrant was withdrawn, denied, or cancelled must show good cause to reapply as an Electrician Trainee Registrant. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. 
HISTORY

1. New section filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
2. Amendment of section heading and subsections (a), (e) and (e)(2) and new subsection (g) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§296.2. Enrollment in an Approved Curriculum.
Note     •     History

(a) For an individual to be considered enrolled toward the completion of an Approved Curriculum:
(1) the individual must be successfully completing at least 150 hours of classroom instruction from an approved Educational Provider each year, except that the individual who has fewer than 150 hours of classroom instruction remaining to complete the Approved Curriculum will be deemed enrolled during the final year while attending those classes to complete the Approved Curriculum; or,
(2) if within the first year of the Approved Curriculum, the individual must be attending classes on a schedule that will lead to the successful completion of 150 hours of classroom instruction from an approved Educational Provider within that first year (for example, an individual would need to be taking 50 hours of classroom instruction where the program offers three semesters per year, 75 hours where the program offers two semesters per year, or comparable hours based on the number of periods of instruction leading to 150 hours per year); provided, however, that an individual who certifies that he or she intends to enroll in the Approved Curriculum but that classes will not begin for a period of up to 180 days will be deemed enrolled for the period prior to beginning classes. This grace period will not be considered for purposes of assessing whether the individual is enrolled in sufficient hours of classroom instruction in the first year.
(b) For purposes of this section, a year is measured as a calendar year from when the individual begins classes. For example, an individual who begins classes on May 1 would have until April 30 of the following year to successfully complete 150 hours of classroom instruction under subsection (a)(1). 
(c) Upon receipt of an application for registration as an Electrician Trainee Registrant, DAS may request verification of the applicant's enrollment from the Educational Provider.
(d) An Electrician Trainee Registrant must notify DAS if the registrant ceases to be enrolled in an Approved Curriculum without completing it. 
(e) DAS will cancel the registration of an Electrician Trainee Registrant when notified that the registrant has ceased to be enrolled without completing an Approved Curriculum.
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. 
HISTORY

1. New section filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
2. Amendment filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§296.3. Employment of Electrician Trainees.
Note     •     History

(a) An employer who employs an Electrician Trainee to perform work for which certification would otherwise be required must ensure that the trainee is under the direct, on-site supervision of a Certified Electrician who is responsible for supervising no more than one trainee, but who also may be responsible for supervising registered apprentices. Registered apprentices are not to be counted as uncertified persons for purposes of this ratio. By employing an Electrician Trainee to perform work for which certification would otherwise be required, the employer attests that adequate supervision will be provided. 
(b) An employer that fails to provide adequate supervision to an Electrician Trainee may be barred by the Chief DAS from employing trainees in the future. 
(c) The Chief DAS shall serve written notice of the intention to bar an employer from employing Electrician Trainees. Service shall be by personal service or certified mail to the employer's address on file with the Contractor's State License Board or other address known to DAS. The notice shall specify the reasons for the action proposed to be taken by the DAS and the employer's right to request a hearing. The employer may request a hearing with the Director within 30 days of service of the notice. The Director shall schedule a hearing before the Director or his or her authorized representative within 90 days after the Director receives the applicant's request for hearing with the Director. Following the hearing, the Director shall issue a written ruling that shall be sent to the appellant within 90 days after the last day of hearing. The decision of the Director shall be final except for judicial review provided by law. 
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. 
HISTORY

1. New section filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
2. Amendment of subsection (a) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§296.4. Denial or Cancellation of Registration as an Electrician Trainee Registrant; Appeals.
Note     •     History

(a) The Chief DAS may for good cause deny an individual registration as an Electrician Trainee Registrant or cancel an individual's registration as an Electrician Trainee Registrant. The Chief DAS shall provide the individual with written notice of the denial or cancellation at the address shown on the application for registration or other address known to the DAS. Good cause shall be deemed to exist if the individual does not meet the requirements for registration or has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the registration or if the person obtained registration through mistake, misrepresentation or fraud. 
(b) An applicant or registrant may appeal the denial or cancellation of registration to the Chief DAS. The appeal shall be in writing and made within 30 days of service of the notice. The appellant shall have the burden of establishing that appellant qualifies for registration. The Chief DAS shall rule on the appeal, and shall have discretion to hold a hearing on the appeal before the Chief DAS or his or her authorized representative prior to the ruling. Any hearing must commence within 90 days after the DAS receives the applicant's appeal of the denial of registration. The ruling shall be in writing and shall be sent to the appellant within 90 days after the DAS receives the appeal, or within 90 days after the last day of hearing, whichever is later. The decision of the Chief DAS shall be final, except for judicial review provided by law.
NOTE

Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code.
HISTORY

1. New section filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
2. Amendment of section heading and subsection (a) filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
Chapter 3. Fair Employment and Housing Commission
Subchapter 1. Administration
NOTE

Authority cited: Section 1418(a), Labor Code; Section 35730.5(a), Health and Safety Code and Section 12935(a), Government Code. Reference: Part 4.5 of Division 2, Labor Code and Part 2.8 of Division 3 of Title 2, Government Code.
HISTORY

1. New Subchapter 1 (Sections 285.0-285.2) filed 4-26-78; effective thirtieth day thereafter (Register 78, No. 17).
2. Repealer of Subchapter 1 (Sections 285.0-285.2 filed 4-1-80; effective thirtieth day thereafter (Register 80, No. 14).
Subchapter 2. Discrimination in Employment
Article 1. General Matters
NOTE

Authority cited: Section 1418(a), Labor Code; Section 35730.5(a), Health and Safety Code and Section 12935(a), Government Code. Reference: Part 4.5 of Division 2, Labor Code and Part 2.8 of Division 3 of Title 2, Government Code.
HISTORY

1. New Subchapter 2 (Sections 285.5-296.4 not consecutive) filed 4-26-78; effective thirtieth day thereafter (Register 78, No. 17).
2. Repealer of Article 1 (Sections 285.5-285.6) filed 4-1-80; effective thirtieth day thereafter (Register 80, No. 14).
Article 11. Age Discrimination
NOTE

Authority cited: Section 1418(a), Labor Code; Section 12935(a), Government Code. Reference: Sections 1420.1 and 1420.15, Labor Code; Sections 12941, 12942, Government Code.
HISTORY

1. Editorial renumbering of Article 11 (Sections 295.0-296.4) of Chapter 3, Title 8 to Subchapter 11 (Sections 7295.0-7296.4) of Division 4, Title 2 (Register 81, No. 3).
Subchapter 4. Procedures of the Commission
§300. Definitions.
Note     •     History

NOTE

Authority cited: Section 1418(a), Labor Code. Reference: Section 1410, et seq., Labor Code.
HISTORY

1. Repealer of Sections 300-310 filed 8-15-78 as procedural and organizational; effective upon filing (Register 78, No. 33). For former history, see Registers 60, No. 20; 67, No. 24; 72, No. 45; 74, No. 22; and 78, No. 17.
2. Editorial renumbering of Subchapter 4 (Sections 311-316) of Chapter 3, Title 8 to Chapter 4 (Sections 7400-7405) of Division 4, Title 2 (Register 81, No. 3).
3. Editorial renumbering of Subchapter 4 (Sections 317-323) of Chapter 3, Title 8 to Chapter 5 (Sections 8317-8323) of Division 4, Title 2 (Register 81, No. 3). For prior history, see Registers 79, No. 51; 75, No. 30; and 72, No. 45.
Chapter 3.2. California Occupational Safety and Health Regulations (CAL/OSHA)

(Originally Printed 1-12-74)
Subchapter 1. Regulations of the Director of Industrial Relations
Article 1. Definitions Under California Occupational Safety and Health Act of 1973
§330. Definitions.
Note     •     History

In this chapter unless otherwise specifically indicated:
(a) “Chief” means the Chief Administrative Officer of the Division of Occupational Safety and Health.
(b) “Working days” means Mondays through Fridays but shall not include Saturday, Sunday or State Holidays. In computing 15 working days, the day of receipt of any notice shall not be included, and the last day of the 15 working days shall be included.
(c) “Inspection” means any inspection of an employer's factory, plant, establishment, construction site, or other area, workplace or environment where work is performed by an employee of an employer and includes any inspection conducted pursuant to a complaint, any reinspection, or follow-up inspection.
(d) “Code” means the California Labor Code.
(e) “Order” included within the term “order” are the General Orders adopted by the Industrial Safety Board or the Industrial Accident Commission, Rules and Regulations promulgated by the Director of the Department of Industrial Relations and the Division of Occupational Safety and Health, decisions, requirements and orders made by the Division of Occupational Safety and Health.
(f) “Carcinogen” includes the following recognized cancer causing substances for which standards have been adopted:
(1) Any of the following substances and any compound, mixture, or product containing such substances:
(A)  2-acetylaminofluorene.
(B)  4-aminodiphenyl.
(C)  Benzidine (and its salts).
(D)  Bis (chloromethyl) ether.
(E)  3,3'-dichlorobenzidine (and its salts).
(F)  4-dimethylaminoazobenzene.
(G)  Beta-naphthylamine.
(H)  4-Nitrobiphenyl.
(I)  N-nitrosodimethylamine.
(J)  Beta-propriolactone.
(K)  Methyl chloromethyl ether.
(L)  Alpha-naphthylamine.
(M)  4,4'-Methylenebis (2-Chloroaniline.)
(N)  Ethyleneimine.
(2)  Asbestos, including chrysotile, amosite, crocidolite, tremolite, anthophyllite, and actinolite.
(3)  Vinyl chloride.
(4)  1,2- dibromo -3 chloropropane (DBCP).
(5)  Coke oven emissions
(6)  Acrylonitrile.
(7)  Inorganic Arsenic.
(8)  Ethylene Dibromide (EDB)
(9)  Ethylene Oxide
(10)  Any other substance for which standards are adopted and in effect due to cancer causing properties and any compound, mixture, or product containing such a substance, except as specifically exempted from such standards.
(g) “Order To Take Special Action” means any order written by the Chief or his or her authorized representative which requires the employer to comply with applicable provisions of Division 5 of the California Labor Code, or with specific standards, orders or regulations of the Standards Board whose enforcement upon the employer are at the discretion of the Division
(h) “Serious injury or illness” means any injury or illness occurring in a place of employment or in connection with any employment which requires inpatient hospitalization for a period in excess of 24 hours for other than medical observation or in which an employee suffers a loss of any member of the body or suffers any serious degree of permanent disfigurement, but does not include any injury or illness or death caused by the commission of a Penal Code violation, except the violation of Section 385 of the Penal Code, or an accident on a public street or highway.
NOTE

Authority cited: Sections 54, 55, 6308, 6318 and 9004, Labor Code; and Bendix Forest Products Corporation v. Division of Occupational Safety and Health (1979) 25 Cal. 3d 465, (158 Cal. Rptr. 882). Reference: Sections 6302(h), 6308 and 6318 and 9004, Labor Code.
HISTORY

1. New Chapter 1, Group 1 (Sections 1-15) filed 1-4-74 as an emergency; effective upon filing (Register 74, No. 2).
2. Certificate of Compliance filed 5-3-74 (Register 74, No. 18).
3. Renumbering of Chapter 1, Group 1 (Sections 1-15) to Chapter 3.2, Group 1 (Sections 330, 331, 331.1-331.5, 332, 332.1, 332.2, 333-336 and 336.1) filed 7-31-74 as organizational and procedural; designated effective 8-1-74 (Register 74, No. 31).
4. Amendment of subsections (c), (d) and (r) and new subsection (s) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
5. Amendment filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
6. New subsection (g) filed 9-19-85; effective thirtieth day thereafter (Register 85, No. 38).
7. Amendment of subsection (f) and new subsection (h) filed 1-15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3).
Article 2. Advance Notice of Inspections
§331. Advance Notice.
Note     •     History

The intent of these regulations is the complete avoidance of the advance notice to employers of pending inspections or investigations unless there are important advantages in performance of inspections to be gained by the Division of Occupational Safety and Health. Any advance notification not allowed under these rules may constitute a violation of Labor Code Section 6321, punishable by a fine of not more than $1,000 or by imprisonment for not more than six months, or by both.
NOTE

Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code.
HISTORY

1. Amendment filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
§331.1. When Advance Notice Justified.
Note     •     History

(a) Except when the investigation or inspection is to be made as the result of an employee complaint, situations justifying advance notice include the following:
(1) Situations of apparent imminent danger where prompt abatement is essential;
(2) Situations when, to be effective, the inspection must be arranged to assure availability of essential personnel or access to the site, equipment, or process;
(3) Other situations where, in the judgment of the Chief or his designee, the giving of advance notice is advantageous for achieving a thorough inspection.
(b) When the investigation or inspection is to be made as the result of an employee complaint, advance notice is to be authorized only if the situation appears to present imminent danger to the health or safety of an employee or employees.
NOTE

Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code.
HISTORY

1. Repealer of former Section 331.1 and renumbering and amendment of former Section 331.2 to Section 331.1 filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52). For prior history, see Register 79, No. 9.
§331.2. Time of Advance Notice.
Note     •     History

The lapse of time between advance notice and the inspection shall not exceed a minimum that is consistent with the reason for such notice. In no instance will advance notice be given more than 24 hours prior to the scheduled inspection or investigation except in unusual circumstances, where imminent danger exists or where practical considerations mandate a longer period.
NOTE

Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 331.2 to Section 331.1 and renumbering and amendment of former Section 331.3 to Section 331.2 filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52). For prior history, see Register 79, No. 9.
§331.3. Notification to Employee Representative.
History

Any employer receiving advance notice shall promptly inform the employee representative of this fact, if there is one.
HISTORY

1. Renumbering and amendment of former Section 331.3 to Section 331.2 and renumbering of former Section 331.4 to Section 331.3 filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52). For prior history, see Register 79, No. 9.
§331.4. Arrangement for Inspection.
History

The employer receiving advance notice shall make any necessary arrangements at his place of business so that the inspection can proceed on schedule as planned.
HISTORY

1. Renumbering of former Section 331.4 to Section 331.3 and renumbering of former Section 331.5 to Section 331.4 filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52). For prior history, see Register 79, No. 9.
Article 3. Citation, Notice, Special Order, Order to Take Special Action, Notice of No Violations After Investigation: Procedures
§332. Form of Citation.
Note     •     History

The citation form shall set forth:
(a) The name of the employer, the employer's address and the workplace inspected;
(b) The nature of the violation, in specific terms with reference to the provision of the code, standard, regulation or order alleged to have been violated;
(c) Time allowed for correction of alleged violation;
(d) Rights of employees respecting the time fixed for correction of violations;
(e) Posting requirements
(f) Time within which an employer may contest a citation; and
(g) Such other information as the Division of Occupational Safety and Health deems appropriate for clear understanding of the form issued.
NOTE

Authority cited: Sections 54, 55 and 6317, Labor Code. Reference: Section 6317, Labor Code.
HISTORY

1. Amendment of subsection (g) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
2. Amendment filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
§332.1. Issuance of Notice.
Note     •     History

(a) If, after an inspection or investigation, the Division determines that a violation exists which is not classified as willful, serious, repeated, or related to a failure to abate, the Division may issue a Notice in lieu of citation if either of the following requirements are met:
(1) The violation does not bear a direct relationship upon employee safety or health, or;
(2) The violation bears a direct, but not immediate relationship upon employee safety or health, and is general or regulatory in nature.
(b) The Notice may be issued only if the criteria set forth in subdivision (a) hereof are satisfied, and in addition thereto, the employer agrees to abate the violative condition within a reasonable time as determined by the Division and agrees that the Notice will not be appealed. The agreement shall be indicated by the signature of the employer, or authorized employer representative, on the Notice itself.
(c) A Notice shall not be issued if the number of first instance violations, either general or regulatory, is 10 or more.
NOTE

Authority Cited: Sections 54, 55 and 6317, Labor Code. Reference: Section 6317, Labor Code.
HISTORY

1. Renumbering of former Section 332.1 to section 332.2 and new section 332.1 filed 1-15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3). For prior history, see Registers 85, No. 38; 84, No. 52 and 75, No. 10.
§332.2. Issuance of Special Order.
Note     •     History

If upon inspection or investigation the Division determines that an unsafe condition, device, or place of employment poses a threat to the health and safety of an employee which cannot be made safe under existing standards or orders of the Standards Board the Division may issue a special order.
NOTE

Authority cited: Sections 54, 55 and 6308, Labor Code. Reference: Sections 6305 and 6308, Labor Code.
HISTORY

1. Repealer of former Section 332.1 and renumbering and amendment of former Section 332.2 to Section 332.1 filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52). For prior history, see Register 75, No. 10.
2. Renumbering and amendment of former Section 332.1 to Section 332.3 and new Section 332.1 filed 9-19-85; effective thirtieth day thereafter (Register 85, No. 38).
3. Renumbering of former Section 332.2 to Section 332.3, and renumbering of former Section 332.1 to Section 332.2 filed 1-15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3). For history of former Section 332.2, see Register 75, No. 10.
§332.3. Issuance of Order to Take Special Action.
Note     •     History

After inspection or investigation the Division may require the employer to comply with applicable provisions of Division 5 of the California Labor Code or with specific standards or orders of the Standards Board whose enforcement upon the employer are at the discretion of the Division.
NOTE

Authority cited: Sections 54, 55 and 6308. Reference: Section 6308, Labor Code.
HISTORY

1. New section filed 9-19-85; effective thirtieth day thereafter (Register 85, No. 38). For history of former Section 332.2, see Register 75, No. 10.
2. Renumbering of former Section 332.3 to Section 332.4 and renumbering of former Section 332.2 to Section 332.3 filed 1-15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3).
§332.4. Posting of Citation, Special Order, Order to Take Special Action, and Notice of No Violation After Investigation.
Note     •     History

Citations issued pursuant to Labor Code Section 6317, Special Orders or Orders to Take Special Action issued pursuant to Labor Code Section 6308, and Notices of No Violation After Investigation issued pursuant to Labor Code Section 6318, or copies thereof, shall be posted at or near the referenced site of the violation or condition giving rise to the citation or order. The posted Citation, Special Order, Order to Take Special Action, or Notice of No Violation After Investigation shall be positioned so as to be easily read by employees working nearby. All postings shall be maintained for a period of three working days or until the unsafe condition is abated, whichever is longer.
NOTE

Authority cited: Sections 54, 55, 6308 and 6318, Labor Code. Reference: Sections 6305, 6308 and 6318, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 332.1 to Section 332.3 filed 9-19-85; effective thirtieth day thereafter (Register 85, No. 38).
2. Renumbering of former Section 332.3 to Section 332.4 filed 1--15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3).
Article 4. Proposed Penalty Procedure
§333. Notice of Proposed Assessment of Civil Penalties.
Note     •     History

Where a civil penalty is indicated, the Division shall after, or concurrent with the issuance of a citation, and within a reasonable time after the date the violation occurred, notify the employer by certified mail of the civil penalty proposed by the Division respecting the item(s) set forth as violation(s) in the citation. Any citation and/or Notice of Proposed Civil Penalty shall be deemed to be the final order of the Appeals Board, not subject to review by or appeal to any court or agency, unless within 15 working days from the date of the receipt of such citation or such notice of proposed civil penalty, the employer notifies the Appeals Board in writing of his intention to contest the citation and/or the civil penalty, with respect to violations alleged by the division, abatement periods, amount of proposed penalties, and the reasonableness of the changes required by the division to abate the condition.
NOTE

Authority cited: Sections 54, 55 and 6319, Labor Code. Reference: Section 6319, Labor Code.
HISTORY

1. Amendment filed 3-7-75; effective thirtieth day thereafter (Register 75, No. 10).
2. Amendment filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
§334. Classification of Violations and Definitions.
Note     •     History

For purposes of penalty assessments, violations of occupational safety and health standards, violations of California Health and Safety Code Sections 2950 and 25910, orders, special orders and regulations are classified as follows:
(a) Regulatory Violation--is a violation, other than one defined as Serious or General that pertains to permit, posting, recordkeeping, and reporting requirements as established by regulation or statute. For example, failure to obtain permit; failure to post citation, poster; failure to keep required records; failure to report industrial accidents, etc.
(b) General Violation--is a violation which is specifically determined not to be of a serious nature, but has a relationship to occupational safety and health of employees.
(c) Serious Violation.
(1) A “serious violation” shall be deemed to exist in a place of employment if there is a substantial probability that death or serious physical harm could result from a violation, including, but not limited to, circumstances where there is a substantial probability that either of the following could result in death or great bodily injury:
(A) A serious exposure exceeding an established permissible exposure limit or 
(B) A condition which exists, or from one or more practices, means, methods, operations, or processes which have been adopted or are in use, in the place of employment. 
(2) Notwithstanding subsection (c)(1), a serious violation shall not be deemed to exist if the employer can demonstrate that it did not, and could not with the exercise of reasonable diligence, know of the presence of the violation.
(3) As used in subsection (c)(1), “substantial probability” refers not to the probability that an accident or exposure will occur as a result of the violation, but rather to the probability that death or serious physical harm will result assuming an accident or exposure occurs as a result of the violation.
(4) For Carcinogens--is a violation of any standard, order, or special order respecting the use of a carcinogen, as defined in 8 California Code of Regulations 330(f). However, the violation shall not be considered serious if the employer can demonstrate that he did not, and could not with the exercise of reasonable diligence, know of the presence of the violation or he can demonstrate that the Division should have determined that the violation was minor and resulted in no substantial health hazard.
(d) Repeat Violation
(1) General--is a violation where the employer has corrected, or indicated correction of an earlier violation, for which a citation was issued, and upon a later inspection is found to have committed the same violation again within a period of three years immediately preceding the latter violation. For the purpose of considering whether a violation is repeated, a repeat citation issued to employers having fixed establishments (e.g., factories, terminals, stores . . .) will be limited to the cited establishment; for employers engaged in businesses having no fixed establishments (e.g., construction, painting, excavation . . .) a repeat violation will be based on prior violations cited within the same Region of the Division.
(2) Field Sanitation Violations--Is a violation of the State Field Sanitation Standard, currently set forth in 8 CCR 3457, or of the Federal Field Sanitation Standard, currently set forth in 29 CFR 1928.110, where the employer has corrected, or indicated correction of an earlier violation, for which a citation was issued, and upon a later inspection is found to have committed the same violation within a period of five years immediately preceding the latter violation. 
For the purpose of considering whether a violation is repeated, a repeat violation will be based on prior violations cited within the State.
(e) Willful Violation--is a violation where evidence shows that the employer committed an intentional and knowing, as contrasted with inadvertent, violation, and the employer is conscious of the fact that what he is doing constitutes a violation of a safety law; or, even though the employer was not consciously violating a safety law, he was aware that an unsafe or hazardous condition existed and made no reasonable effort to eliminate the condition.
(f) Abatement Date--is the date by which the employer is allowed and required to correct the condition constituting the violation.
NOTE

Authority cited: Sections 54, 55 and 6319, Labor Code. Reference: Sections 6302(i),6319, 6432 and 6712, Labor Code; and Sections 2950 and 25910, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(2) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9). For prior history, see Registers 75, No. 10, 77, No. 1 and 77, No. 18.
2. Amendment of introductory paragraph and subsection (a) filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
3. Amendment of subsection (c) filed 9-19-85; effective thirtieth day thereafter (Register 85, No. 38).
4. Amendment of subsection (c) filed 1-15-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3).
5. Amendment of newly designated subsection (d)(1), new subsection (d)(2) and amendment of Note filed 7-30-96; operative 8-29-96 (Register 96, No. 31).
6. Amendment filed 12-16-99 as an emergency; operative 1-1-2000 pursuant to Government Code section 11343.4(c) (Register 99, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-13-2000 and filed 5-11-2000 (Register 2000, No. 19).
8. Change without regulatory effect repealing subsection (d)(3) designator filed 7-10-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 28).
§335. Factors Considered in Assessing Civil Penalties.
History

In the assessment of civil penalties, the following factors shall be considered:
(a) The Gravity of the Violation--the Division establishes the degree of gravity of General and Serious violations from its findings and evidence obtained during the inspection/investigation, from its files and records, and other records of governmental agencies pertaining to occupational injury, illness or disease. The degree of gravity of General and Serious violations is determined by assessing and evaluating the following criteria:
(1) Severity.
(A) General Violation.
i. When the safety order violated pertains to employee illness or disease, Severity shall be based upon the degree of discomfort, temporary disability and time loss from normal activity (including work) which an employee is likely to suffer as a result of occupational illness or disease which could result from the violation. Depending on the foregoing, Severity shall be rated as follows:

	LOW--	No time loss from work or normal activity; or minimum discomfort.

	MEDIUM--	Loss of part or all of a day from work or normal activity including time for medical attention; or moderate temporary discomfort.

	HIGH--	Loss of more than one day from regular work or normal activity including time for medical attention; or considerable temporary discomfort.
ii. When the safety order violated does not pertain to employee illness or disease, Severity shall be based upon the type and amount of medical treatment likely to be required or which would be appropriate for the type of injury that would most likely result from the violation. Depending on such treatment, Severity shall be rated as follows:

	LOW--	Requiring first-aid only.

	MEDIUM--	Requiring medical attention but not more than 24-hour hospitalization.

	HIGH--	Requiring more than 24-hour hospitalization.
(B) Serious Violation.
The Severity of a Serious violation is considered to be HIGH.
(2) Extent. 
i. When the safety order violated pertains to employee illness or disease, Extent shall be based upon the number of employees exposed:

	LOW--	1 to 5 employees.

	MEDIUM--	6 to 25 employees.

	HIGH--	26 or more employees.
ii. When the safety order violated does not pertain to employee illness or disease, Extent shall be based upon the degree to which a safety order is violated. It is related to the ratio of the number of violations of a certain order to the number of possibilities for a violation on the premises or site. It is an indication of how widespread the violation is. Depending on the foregoing, Extent is rated as:

	LOW--	When an isolated violation of the standard occurs, or less than 15% of the units are in violation.

	MEDIUM--	When occasional violation of the standard occurs or 15-50% of the units are in violation.

	HIGH--	When numerous violations of the standard occur, or more than 50% of the units are in violation.
(3) Likelihood.
Likelihood is the probability that injury, illness or disease will occur as a result of the violation. Thus, Likelihood is based on (i) the number of employees exposed to the hazard created by the violation, and (ii) the extent to which the violation has in the past resulted in injury, illness or disease to the employees of the firm and/or industry in general, as shown by experience, available statistics or records. Depending on the above two criteria, Likelihood is rated as:
LOW, MODERATE OR HIGH
(b) The Size of the Business of the Employer--is based upon the number of individuals employed at the time of the inspection/investigation. Size of the Business is evaluated based upon the following classifications of the number of persons employed:

 10 or fewer employees.
 11 to 25 employees.
 26 to 60 employees.
 61 to 100 employees.
 More than 100 employees.
(c) The Good Faith of the Employer--is based upon the quality and extent of the safety program the employer has in effect and operating. It includes the employer's awareness of CAL/OSHA, and any indications of the employer's desire to comply with the Act, by specific displays of accomplishments. Depending on such safety programs and the efforts of the employer to comply with the Act, Good Faith is rated as:

	GOOD--	Effective safety program.

	FAIR--	Average safety program.

	POOR--	No effective safety program.
(d) The History of Previous Violations--is the employer's history of compliance, determined by examining and evaluating the employer's records in the Division's files. Depending on such records, the History of Previous Violations is rated as:

	GOOD--	Within the last three years, no Serious, Repeat, or Willful violations and less than one General or Regulatory violation per 100 employees at the establishment.

	FAIR--	Within the last three years, no Serious, Repeat, or Willful violations and less than 20 General or Regulatory violations per 100 employees at the establishment.

	POOR--	Within the last three years, a Serious, Repeat, or Willful violation or more than 20 General or Regulatory violations per 100 employees at the establishment.
For the purpose of this subsection, establishment and the three-year computation, shall have the same meaning as in Section 334(d) of this Article.
HISTORY

1. Amendment of subsections (a) and (b) filed 6-29-77; effective thirtieth day thereafter (Register 77, No. 27). For prior history, see Register 77, No. 18.
§336. Assessment of Civil Penalties.
Note     •     History

Civil penalties for Regulatory, General, Serious, Repeat, Willful, and Failure to Abate violations shall be assessed in the following manner:
(a) Regulatory Violation--
(1) In General--Any employer who commits any Regulatory violation (as provided in Section 334(a) of this article) shall be assessed a civil penalty of up to $7000 for each such violation. Except as set forth in parts (2) through (6) of this subsection, a minimum proposed penalty of $500, representing the gravity of the violation, shall be assessed against employers who commit Regulatory violations. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted.
(2) For Carcinogens--A minimum proposed penalty of $1,000 for all carcinogen standard regulatory violations, other than reporting use violations, representing the gravity of the violation, shall be assessed against the employers who commit such violations. The proposed penalty shall be adjusted for Size, Good Faith and History; however, an abatement credit shall not be granted.
(3) For Carcinogens Failure to Report Use. Any employer who violates a reporting requirement respecting the use of a carcinogen as defined in Title 8 of the California Code of Regulations section 330(f), shall be assessed a minimum proposed civil penalty of $2,500. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted.
(4) For Violation of Permit or Registration Requirements. Any employer who violates the permit requirements of article 2, Permits--Excavations, Trenches, Construction and Demolition, and The Underground Use of Diesel Engines in Work in Mines and Tunnels, commencing with section 341 of Title 8 of the California Code of Regulations, or the Registration requirements of article 2.5, Registration--Asbestos-Related Work commencing with section 341.6 of Title 8 of the California Code of Regulations, shall be assessed a minimum proposed civil penalty of $1,250. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted.
(5) For Violation of Elevator Permit and Posting Requirements. Any person owning or having custody, management, or operation of an elevator who operates any such elevator without a valid permit, or who fails to post the permit as required, may be assessed a civil penalty pursuant to the provisions of this article of up to $1000.
(6) For Failure to Report Serious Injury or Illness, or Death of an Employee -- Any employer who fails to timely report an employee's injury or illness, or death, in vioaltion of section 342(a) of Title 8 of the California Code of Regulations, shall be assessed a minimum penalty of $5,000.
(b) General Violation--Any employer who violates any occupational safety and health standard, order or special order and such violation is determined to be a General violation (as provided in section 334(b) of this article) may be assessed a civil penalty of up to $7000 for each such violation.
Gravity of a General Violation--The Base Penalty of a General violation is determined by evaluating Severity (as provided in section 335(a)(1)(A) of this article). If the Severity is:

	LOW--	The Base Penalty shall be $1,000.

	MEDIUM--	The Base Penalty shall be $1,500.

	HIGH--	The Base Penalty shall be $2,000.
	
The Base Penalty for the General violation determined under this subsection is then subjected to an adjustment for Extent (as provided in section 335(a)(2) of this article). If the Extent is:

	LOW--	25% of the Base Penalty shall be subtracted.

	MEDIUM--	No adjustment shall be made.

	HIGH--	25% of the Base Penalty shall be added.
	
The Base Penalty for the General violation thus far determined is further subjected to an adjustment for Likelihood (as provided in section 335(a)(3) of this article). If Likelihood is:

	LOW--	25% of the Base Penalty shall be subtracted.

	MEDIUM--	No adjustment shall be made.

	HIGH--	25% of the Base Penalty shall be added.
	
The resulting figure is called the Gravity-based penalty.
(c) Serious Violation
(1) In General--Any employer who violates any occupational safety and health standard, order, or special order, and such violation is determined to be a Serious violation (as provided in section 334(c)(1) of this article) shall be assessed a civil penalty of up to $25,000 for each such violation. Because of the extreme gravity of a Serious violation an initial base penalty of $18,000 shall be assessed.
The Base Penalty for the Serious violation determined under this subsection is then subjected to an adjustment for Extent (as provided in section 335(a)(2) of this article). If the Extent is:

	LOW--	25% of the Base Penalty shall be subtracted.

	MEDIUM--	No adjustment shall be made.

	HIGH--	25% of the Base Penalty shall be added.
	
The Base Penalty for the Serious violation thus far determined is further subjected to an adjustment for Likelihood (as provided in section 335(a)(3) of this article). If Likelihood is:

	LOW--	25% of the Base Penalty shall be subtracted.

	MEDIUM--	No adjustment shall be made.

	HIGH--	25% of the Base Penalty shall be added.
	
The resulting figure is called the Gravity-based penalty.
(2) For Carcinogens--Any employer who violates any occupational safety and health standard, order, or special order respecting the use of a carcinogen, and such violation is determined to be a Serious violation (as provided in section 334(c)(4) of this article) shall be assessed a total civil penalty of $2000 for each such violation. This penalty is not subject to adjustment.
(3) Serious Violation Causing Death or Serious Injury, Illness or Exposure--If the employer commits a Serious violation and the Division has determined that the violation caused death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302, the penalty shall not be reduced pursuant to this subsection, except the penalty may be reduced for Size as set forth in subsection (d)(1) of this section. The penalty shall not exceed $25,000.
(4) Operation of an Elevator in an Unsafe Condition or in Violation of an Order Prohibiting Use.
Any person owning or having custody, management or operation of an elevator who operates or permits the operation of the elevator in a condition which is dangerous to life or the safety of any person, or who operates or permits the operation of the elevator in violation of any Order Prohibiting Use issued by the Division, may be assessed a civil penalty pursuant to the provisions of this article of up to $2000.
(5) For Tower Cranes--Any employer who violates any tower crane standard, order or special order and such violation is determined to be a serious violation (as provided in section 334(c)(1) of this article) shall be assessed a penalty of $2,000. The penalty shall not be subject to adjustment as set forth in subsections (d) and (e) of this section.
(d) Further Adjustment of Regulatory, General, and Serious Violations--Subject to the provisions of parts (5) through (9) of this subsection, the Gravity-based Penalty established under either subsection (a), (b) or (c) of this section, shall be appropriately adjusted by giving due consideration to the following factors:
(1) The Size of the Business If the Size of the Business (as provided under section 335(b) of this article) is:

	10 or fewer 	--	40% of the Gravity-based
	employees		Penalty shall be subtracted.

	11-25 	--	30% of the Gravity-based
	employees		Penalty shall be subtracted.

	26-60 	--	20% of the Gravity-based
	employees		Penalty shall be subtracted.

	61-100 	--	10% of the Gravity-based
	employees 		Penalty shall be subtracted.
	More than	--	No adjustment shall be made.

	100 employees
	
(2) The Good Faith of the Employer--If the Good Faith of the Employer (as provided under section 335(c) of this article) is:

	GOOD--	30% of the Gravity-based Penalty shall be subtracted.
	FAIR--	15% of the Gravity-based Penalty shall be subtracted.
	POOR--	No adjustment shall be made.
	
(3) The History of Previous Violations--If the employer's History of Compliance (as provided under section 335(d) of this article) is:

	GOOD--	10% of the Gravity-based Penalty shall be subtracted. FAIR--	5% of the Gravity-based Penalty shall be subtracted. POOR--	No adjustment shall be made.
	
Following the preceding adjustments of the Gravity-based Penalty, the resultant penalty is termed Adjusted Penalty.
(4) If an employer cited for a violation of a safety and health provision within title 8 of the California Code of Regulations was, at the time of citation, making a good faith effort to abate the alleged violation, pursuant to written recommendations of a Consultant of the CAL/OSHA Consultation Service, the following penalty adjustments may apply:
(A) General Violation. All penalties assessed for such General violations may be waived by the Division.
(B) Serious Violation. All penalties for such Serious violations may be subject to an additional adjustment reducing the proposed penalty 50%.
(5) Serious Violations Respecting the Use of a Carcinogen--The penalty for any Serious violation respecting the use of a carcinogen as set forth in subsection (c)(2) of this section is not subject to adjustment pursuant to this subsection and shall not be otherwise reduced.
(6) Regulatory Violations of the Permit and Registration Requirements--The minimum penalty for any Regulatory violation of the permit or registration requirements as set forth in subsection (a)(4) of this section is $250.
(7) Serious Violations Causing Death or Serious Injury, Illness or Exposure--Subject to the provisions of subsection (c)(3) of this section, the penalty for any Serious violation determined by the Division to have caused death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302, shall not be adjusted pursuant to this subsection, except for Size set forth in part (1) of this subsection.
(8) Injury Prevention Program--The penalty for any Serious violation shall not be subject to adjustment pursuant to this subsection other than for Size as set forth in part (1) of this subsection where the employer does not have an operative injury prevention program as set forth in Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board.
(9) False Declarations of Abatement--Subject to the provisions of subsection (e) of this section, where it is determined after reinspection that the employer has not complied with the abatement requirements of the Division and employer has previously submitted a statement affirming compliance therewith, the recomputed penalty shall not be adjusted pursuant to this subsection, except for Size as set forth in part (1) of this subsection.
(10) No civil penalty shall be assessed against any new employer for a period of one year after the date the new employer establishes a business in the state for a regulatory or general violation of the Injury and Illness Prevention Program Standard adopted pursuant to Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board, if the employer has made a good faith effort to comply with the requirement set forth therein.
(11) No civil penalty shall be assessed against an employer who adopts, posts, and implements in good faith the Model Injury and Illness Prevention Program for Non-High-Hazard Employment prepared by the Division for a first violation of the Injury and Illness Prevention Program standard adopted pursuant to Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board.
(12) For an employer who commits a repeat violation (as provided under section 334(d) of this article), the penalty shall not be subject to adjustment pursuant to this subsection, other than for Size as set forth in part (1) of this subsection.
(e) Abatement Credit for General and Serious Violations--The Adjusted Penalty for General and Serious violations is reduced by 50% on the presumption that the employer will correct the violations by the abatement date. The resultant penalty is termed Proposed Penalty. The following types of violations are not subject to an abatement credit:
(1) Violations designated as Repeat or Willful;
(2) Serious violations for which extent and likelihood are rated high;
(3) Serious violations respecting the use of a carcinogen; and
(4) Serious violation causing death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302.
(f) Penalty for Failure to Abate Regulatory, General or Serious Violations--If the employer fails to abate the violation by the date permitted for its correction or fails to submit to the Division a signed statement of abatement of a violation within ten working days of the date set by the Division for correction of the violative condition, any abatement credit extended pursuant to subsection (e) of this Section shall be rescinded and this amount assessed as part of the failure to abate penalty. In addition, a penalty shall be assessed that is based upon the initial Gravity-based penalty for each calendar day that the previously cited violation continues unabated after expiration of the abatement period. Subject to the provisions of part (1) hereof, the Gravity-based penalty is reduced by the reevaluated adjustment factors. The adjustment factors of Size, Good Faith, and History shall be determined by evaluation of the circumstances at the time of the subsequent inspection when the failure to abate is discovered. The daily additional penalty for failure to abate a violation shall not exceed $15,000.
Limitations:
(1) Except (A) where the gravity of the violation is high and exposure to employees is continuous, or (B) the employer has exhibited a high degree of negligence in failing to correct the violation, the daily penalty for failure to abate a Regulatory or General violation may be further reduced up to 90% for the first 120 days the violation continues to exist and up to 50% thereafter where the violation does not bear a direct relationship on employee health and safety. The daily penalty for a Serious violation may be reduced up to 50% where the adjustment factors calculated pursuant to subsection (c) of this section are Low and the History and Good Faith calculated pursuant to subsection (d) of this section are Good.
(2) When a violation consisted of a number of instances and upon subsequent inspection some instances are found to have been abated and others have not, the daily penalty shall be calculated in proportion to the extent that the violation has been abated.
(3) Failure to Abate a Serious Violation Causing Death or Serious Injury, Illness or Exposure--If the employer fails to abate a Serious violation and the Division has determined that the failure to abate caused death or serious injury, illness, or exposure as defined pursuant to Labor Code section 6302, the penalty shall not be adjusted pursuant to this subsection, except for Size as set forth in subsection (d)(1) of this section.
(4) Failure to Abate a Serious Violation of Crane Standard, Order, or Special Order Causing Death or Serious Injury--If the employer fails to abate a serious violation of a crane standard, order, or special order and the Division has determined that the failure to abate caused death or serious injury as defined pursuant to Labor Code 6302, the penalty shall be $14,000 for each calendar day. The penalty is not subject to adjustment.
(5) False Declaration of Abatement--If it is determined after reinspection that the employer has not complied with the abatement requirements of the Division, and the employer has previously submitted a statement affirming compliance therewith, the recomputed penalty shall not be adjusted pursuant to this subsection, except for Size pursuant to part (1) of subsection (d) of this section.
(g) Repeat Violation--
(1) In General--If a Regulatory, General, or Serious violation is repeated (as provided under section 334(d) of this article) the Proposed Penalty is adjusted upward as follows:

	1st repeat--	the Proposed Penalty is multiplied by two.

	2nd repeat--	the Proposed Penalty is multiplied by four.

	3rd repeat--	the Proposed Penalty is multiplied by ten.
The resultant penalty shall not exceed $70,000.
(2) For Carcinogens--If a Serious violation respecting the use of a carcinogen or a Regulatory violation concerning a reporting requirement respecting the use of a carcinogen is repeated (as provided in section 334(d) of this article), the total civil penalty shall be as follows:
(A) For repeated Regulatory violations concerning a reporting requirement.

	1st repeat--	$5,000
	2nd repeat--	$10,000
	3rd repeat--	$20,000
(B) For repeated Serious violations respecting the use of a carcinogen.

	1st repeat--	$10,000
	2nd repeat--	$20,000
	3rd repeat--	$40,000
These penalties are not subject to adjustment.
(3) Repeated Violation Causing Death or Serious Injury, Illness or Exposure--The computation of the Proposed Penalty for a repeated violation shall not be subject to reduction, other than the Size pursuant to part (1) of subsection (d) of this section, where the violation is determined by the Division to have caused death or serious injury, illness or exposure within the meaning of Labor Code section 6302.
(h) Willful Violation--If a Regulatory, General, or Serious violation is determined to be willful (as provided under section 334(e) of this article) the Proposed Penalty is adjusted upward as follows:
Regulatory, General and Serious--the Proposed Penalty is multiplied by five. However, the penalty for any willful violation shall not be less than $5,000 and shall not exceed $70,000.
(1) Willful Violation Causing Death or Serious Injury, Illness or Exposure--The computation of the Proposed Penalty for a willful violation shall not be subject to reduction, other than the Size pursuant to part (1) of subsection (d) of this section, where the violation is determined by the Division to have caused death or serious injury, illness or exposure within the meaning of Labor Code section 6302.
(i) Serious Repeated or Willful Repeated Violation of Crane Standard, Order, or Special Order Causing Death or Serious Injury--If the employer commits a serious repeated or willful repeated violation of a crane standard, order, or special order, and the Division has determined that the violation caused death or serious injury as defined pursuant to Labor Code 6302, the penalty shall be $140,000. This penalty is not subject to adjustment.
(j) Rounding of the Fractions Amounts of the civil penalties are rounded down to the next whole dollar during the calculation stages, and final figures are adjusted downward to the next lower five dollar ($5) value.
(k) Multiple Violations Pertaining To A Single Hazard. When a single hazard is the subject matter of multiple violations resulting in civil penalties, the Division may, in its discretion, depart from the preceding criteria to mitigate the cumulative effect of such penalties.
(1) This subsection does not apply to any penalty assessed for a Serious, Willful or Repeated violation or a failure to abate a Serious violation where such violation or violations have been determined by the Division to have caused death or serious injury, illness or exposure pursuant to Labor Code section 6302. This subsection does not apply to any Regulatory, General or Serious violation where the employer does not have an operative injury prevention program as set forth in subsection (d) of this section.
NOTE

Authority cited: Sections 54, 55, 6319, 6319.3, 6401.7 and 9060, Labor Code. Reference: Sections 6314.5, 6318, 6319, 6320, 6401.7, 6409.1, 6427-6432, 6434, 7320, 7321, 7321.5, 7381 and 9060, Labor Code.
HISTORY

1. Amendment and new subsection (j) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9). For prior history, see Registers 75, No. 10; 77, No. 1; 77, No. 18 and 77, No. 27.
2. Editorial correction of subsection (d)(2) (Register 82, No. 15).
3. Amendment of subsections (c), (e)-(h) filed 12-31-84; designated effective 1-1-85 pursuant to Government Code section 11346.2(d) (Register 85, No. 1).
4. Amendment of subsections (c) and (g) filed 1-15-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 3).
5. Amendment filed 3-18-91; operative 4-17-91 (Register 91, No. 15).
6. Amendment filed 4-24-92; operative 5-25-92 (Register 92, No. 18).
7. Amendment of subsection (d)(8), new subsections (d)(10) and (d)(11), and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
8. Amendment of subsections (c)(1)-(c)(3) and (c)(5), new subsection (d)(12), amendment of subsections (f) and (h), and amendment of Note filed 12-16-99 as an emergency; operative 1-1-2000 pursuant to Government Code section 11343.4(c) (Register 99, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-13-2000 and filed 5-11-2000 (Register 2000, No. 19).
10. Change without regulatory effect amending subsection (a)(1), adopting new subsection (a)(6) and amending Note filed 1-30-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 5).
§336.1. Single Violation. [Repealed]
History

HISTORY

1. Repealer filed 3-7-75; effective thirtieth day thereafter (Register 75, No. 10).
Article 4.5. Multi-Employer Worksites
§336.10. Determination of Citable Employer.
Note     •     History

On multi-employer worksites, both construction and non-construction, citations may be issued only to the following categories of employers when the Division has evidence that an employee was exposed to a hazard in violation of any requirement enforceable by the Division:
(a) The employer whose employees were exposed to the hazard (the exposing employer);
(b) The employer who actually created the hazard (the creating employer);
(c) The employer who was responsible, by contract or through actual practice, for safety and health conditions on the worksite; i.e., the employer who had the authority for ensuring that the hazardous condition is corrected (the controlling employer); or
(d) The employer who had the responsibility for actually correcting the hazard (the correcting employer).
Note: The employers listed in subsections (b) through (d) may be cited regardless of whether their own employees were exposed to the hazard.
NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 50.7, 6317, 6400, 6401, 6402, 6403, 6404, 6405, 6406 and 6407, Labor Code.
HISTORY

1. New article 4.5 (sections 336.10-336.11) and section filed 12-1-97; operative 12-31-97 (Register 97, No. 49).
§336.11. Determination of Applicability of Defenses.
Note     •     History

Prior to issuing any citation to an exposing employer, the Division shall first determine whether available information indicates that the employer meets each of the defenses listed below. If the Division concludes that all five defenses have been met, the citation shall not be issued. These defenses are:
(a) The employer did not create the hazard.
(b) The employer did not have the responsibility or the authority to have the hazard corrected.
(c) The employer did not have the ability to correct or remove the hazard.
(d) The employer can demonstrate that the creating, the controlling and/or the correction employers, as appropriate, were specifically notified or were aware of the hazards to which his/her employees were exposed.
(e) The employer took appropriate feasible steps to protect his/her employees from the hazard, instructed them to recognize the hazard and, where necessary, informed them how to avoid the dangers associated with it. For the purposes of this section, where an extreme hazard is involved, appropriate feasible steps include removing the employer's employees from the job, if there is no other way to protect them from the hazard.
NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 50.7, 6317, 6400, 6401, 6402, 6403, 6404, 6405, 6406 and 6407, Labor Code.
HISTORY

1. New section filed 12-1-97; operative 12-31-97 (Register 97, No. 49).
Article 5. Hazardous Substances Information and Training
§337. Development and Maintenance of List.
Note     •     History

(a) Establishment of Initial List. Substances designated in the sources specified in Labor Code section 6382(b) shall be considered in formulating the initial list.
The Director shall presume all such substances to be potentially hazardous to human health when present occupationally except those which the Director determines do not pose any adverse acute or chronic risk to human health as present occupationally. Those substances which do not pose any risk shall be removed from the list. Evidence of risk shall include any immediate or long-term adverse effect which causes impairment of function, alteration of structure, or increased susceptibility to disease or contributes to adverse effects of other substances. In making a determination of risk, the Director shall consider available scientific data including, but not limited to, data from human epidemiological studies,  data from short-term in vitro studies, and data from animal bioassay tests.
Animal bioassay data is admissible and generally indicative of potential effects in humans.
For purposes of this regulation, substances are present occupationally when there is a possibility of exposure either as a result of normal work operations or a reasonably foreseeable emergency resulting from workplace operations. A reasonably foreseeable emergency is one which a reasonable person should anticipate based on usual work conditions, a substance's particular chemical properties (e.g., potential for explosion, fire, reactivity), and the potential for human health hazards. A reasonably foreseeable emergency includes, but is not limited to, spills, fires, explosions, equipment failure, rupture of containers, or failure of control equipment which may or do result in a release of a hazardous substance into the workplace.
(b) Administrative Procedure Followed by the Director for the Development of the Initial List. The Director shall hold a public hearing concerning the initial list. The record will remain open 30 days after the public hearing for additional written comment. Requests to exempt a substance in a particular physical state, volume, or concentration from the provisions of Labor Code sections 6390 to 6399.2 may be made at this time. If no comments in opposition to such a request are made at the public hearing or received during the comment period, or if the Director can find no valid reason why the request should not be considered, it will be incorporated during the Director's preparation of the list.
After the public comment period the Director shall formulate the initial list and send it to the Standards Board for approval. After receipt of the list or a modified list from the Standards Board, the Director will adopt the list and file it with the Office of Administrative Law.
(c) Concentration Requirement. In determining whether the concentration requirement of a substance should be changed pursuant to Labor Code section 6383, the Director shall consider valid and substantial evidence. Valid and substantial evidence shall consist of clinical evidence or toxicological studies including, but not limited to, animal bioassay tests, short-term in vitro tests, and human epidemiological studies. Upon adoption, a regulation indicating the concentration requirement for a substance shall consist of a footnote on the list.
(d) Procedures for Modifying the List. The Director will consider petitions from any member of the public to modify the list or the concentration requirements, pursuant to the procedures specified in Government Code section 11347.1. With petitions to modify the list, the Director shall make any necessary deletions or additions in accordance with the procedures herein set forth for establishing the list. The Director will review the existing list at least every two years and shall make any necessary additions or deletions in accordance with the procedures herein set forth for establishing the list.
(e) Criteria for Modifying the List. Petitions to add or remove a substance on the list, modify the concentration level of a substance, or reference when a particular substance is present in a physical state which does not pose any human health risk must be accompanied with relevant and sufficient scientific data which may include, but is not limited to, short-term tests, animal studies, human epidemiological studies, and clinical data. If the applicant does not include the complete content of a referenced study or other document, there must be sufficient information to permit the Director to identify and obtain the referenced material. The petitioner bears the burden of justifying any proposed modification of the list.
The Director shall consider all evidence submitted, including negative and positive evidence. All evidence must be based on properly designed studies for toxicological endpoints indicating adverse health effects in humans, e.g., carcinogenicity, mutagenicity, neurotoxicity, organ damage/effects.
For purposes of this regulation, animal data is admissible and generally indicative of potential effects in humans.
The absence of a particular category of studies shall not be used to prove the absence of risk.
Negative results generally indicate the absence of statistically positive results in appropriate studies. As all tests for toxicological effects have inherent insensitivities, negative results must be reevaluated in light of the limits of sensitivity of each study, its test design, and the protocol followed.
In evaluating different results among proper tests, as a general rule, positive results shall be given more weight than negative results for purposes of including a substance on the list or modifying the list in reference to concentration, physical state or volume, so that appropriate information may be provided regarding those positive results. In each case, the relative sensitivity of each test shall be a factor in resolving such conflicts.
NOTE

Authority cited: Section 6380, Labor Code. Reference: Sections 6361, 6380, 6380.5, 6382 and 6383, Labor Code.
HISTORY

1. New article 5 (section 337) filed 11-5-81; effective thirtieth day thereafter (Register 81, No. 45).
2. Amendment of subsection (d) filed 1-15-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 3).
3. Editorial correction of HISTORY 2. (Register 91, No. 19).
§338. Special Procedures for Supplementary Enforcement of State Plan Requirements Concerning Proposition 65.
Note     •     History

(a) This section sets forth special procedures necessary to comply with the terms of the approval by the United States Department of Labor of the California Hazard Communication Standard, pertaining to the incorporation of the occupational applications of the California Safe Drinking and Toxic Enforcement Act (hereinafter Proposition 65), as set forth in 62 Federal Register 31159 (June 6, 1997). This approval specifically placed certain conditions on the enforcement of Proposition 65 with regard to occupational exposures, including that it does not apply to the conduct of manufacturers occurring outside the State of California. Any person proceeding “in the public interest” pursuant to Health and Safety Code §25249.7(d) (hereinafter “Supplemental Enforcer”) or any district attorney or city attorney or prosecutor pursuant to Health and Safety Code §25249.7(c) (hereinafter “Public Prosecutor”), who alleges the existence of violations of Proposition 65, with respect to occupational exposures as incorporated into the California Hazard Communication Standard (hereinafter “Supplemental Enforcement Matter”), shall comply with the requirements of this section. No Supplemental Enforcement Matter shall proceed except in compliance with the requirements of this section.
(b) 22 CCR §12903, setting forth specific requirements for the content and manner of service of sixty-day notices under Proposition 65, in effect on April 22, 1997, is adopted and incorporated by reference. In addition, any sixty-day notice concerning a Supplemental Enforcement Matter shall include the following statement:
“This notice alleges the violation of Proposition 65 with respect to occupational exposures governed by the California State Plan for Occupational Safety and Health. The State Plan incorporates the provisions of Proposition 65, as approved by Federal OSHA on June 6, 1997. This approval specifically placed certain conditions with regard to occupational exposures on Proposition 65, including that it does not apply to the conduct of manufacturers occurring outside the State of California. The approval also provides that an employer may use the means of compliance in the general hazard communication requirements to comply with Proposition 65. It also requires that supplemental enforcement is subject to the supervision of the California Occupational Safety and Health Administration. Accordingly, any settlement, civil complaint, or substantive court orders in this matter must be submitted to the Attorney General.”
(c) A Supplemental Enforcer or Public Prosecutor who commences a Supplemental Enforcement Matter shall serve a file-endorsed copy of the complaint upon the Attorney General within ten days after filing with the Court.
(d) A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General a copy of any motion, or opposition to a motion for summary judgment or summary adjudication of issues, a demurrer, motion for preliminary or injunctive relief, or other dispositive motion, and all memoranda of points and authorities in support of or opposing such motions. These materials shall be served upon the Attorney General on the same day which they are served on the opposing party. A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General any decision or order of a court granting or denying summary adjudication, a demurrer, preliminary or final injunctive relief, penalties, or damages relating to a Supplemental Enforcement Matter within five working days after receipt.
(e) A Supplemental Enforcer or Public Prosecutor who agrees to a settlement of a Supplemental Enforcement Matter shall serve the settlement upon the Attorney General within two working days after the agreement is signed by the parties. Where the settlement is submitted to a court for its approval, the Supplemental Enforcer or Public Prosecutor shall notify the court in writing upon presentation of the settlement of its submission to the Attorney General pursuant to this regulation. The submission to the Attorney General shall contain the entire agreement between the parties.
(f) When this section requires that any document or information be provided to the Attorney General, service shall be in a manner prescribed by Code of Civil Procedure §1010 et seq. The envelope in which the document is transmitted shall state prominently “Hazard Communication Standard/Proposition 65 Supplemental Enforcement Matter.” The Attorney General may then specify that further documents be served upon a particular office and deputy.
(g) The special procedures set forth in subsections (a) through (f) shall be followed for motions or other applications for judicial enforcement of any existing or future settlement agreements pertaining to Proposition 65, with reference to occupational exposures.
(h) Where, in the judgment of the Director and the Attorney General, a Supplemental Enforcer or Public Prosecutor has not complied with the provisions of this section, or the provisions of the OSHA approval decision of June 6, 1997, the Attorney General may seek to intervene in the action, or take such actions within his authority as he deems appropriate to assure compliance.
NOTE

Authority cited: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997). Reference: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997).
HISTORY

1. New section filed 10-12-2000; operative 10-12-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 41).
§339. The Hazardous Substances List.
Note     •     History

(a) Purpose. The following is the List of Hazardous Substances prepared by the Director pursuant to Labor Code Section 6380. The substances on this list are subject to the provisions of Labor Code Sections 6360 through 6399.7 and Section 5194 in Title 8 of the California Code of Regulations.
(b) Definitions.
(1) CAS number means the unique identification number assigned by the Chemical Abstracts Service to specific chemical substances.
(2) Source means the sublists which the Director used in preparing the Hazardous Substances List pursuant to Labor Code 6382. The source(s) of each hazardous substance on the list is designated by a number in the middle column of the list. The numbers represent the following sources: (1) International Agency for Research on Cancer (IARC); (2) Environmental Protection Agency lists pursuant to the Clean Air and Clean Water Acts; (3) General Industry Safety Order Section 5155; (4) California Department of Pesticide Regulation's list of Restricted Materials; (5) Information Alerts put out by the Hazard Evaluation and Information Service pursuant to Labor Code Section 147.2.
(3) Synonym means an entry in the list which refers to another entry. This type of entry may identify alternate names for a given substance or associate a particular substance with a class of substances. Synonyms appear in the list as entries of the form: Substance x; see Substance y. The synonym entries included in this list are not all inclusive.

HAZARDOUS SUBSTANCES LIST *

* An MSDS is not required for tapes, films, or extruded, molded or coated products containing listed hazardous substances in bound form except when these substances can be released in the workplace under normal conditions of work or in reasonably foreseeable emergencies resulting from workplace operations.

CAS No.	Source	Substance	Footnotes

26148685	1	A-alpha-C (2-Amino-9H-
		 pyrido[2,3-b]indole)
3688537	1	AF-2 ([2-(2-Furyl)-3-
		 (5-nitro-2-furyl)] acrylamide)
86884	3	 ANTU; see 1-(1-Naphthyl)-2-
		 thiourea
83329	2	Acenaphthene
75070	1,2,3	Acetaldehyde
60355	1	Acetamide
64197	2,3	Acetic acid	1
108247	2,3	Acetic anhydride
67641	3	Acetone
75865	2	Acetone cyanohydrin
75058	3	Acetonitrile
81812	3	3-(alpha-Acetonylbenzyl)-4-
		 hydroxycoumarin; see Warfarin

CAS No.	Source	Substance	Footnotes

53963	3	2-Acetylaminofluorene
506967	2	Acetyl bromide
79367	2	Acetyl chloride
74862	3	Acetylene
540590	2,3	Acetylene dichloride
79276	3	Acetylene tetrabromide
79345	1,3	Acetylene tetrachloride
50782	3	Acetylsalicylic acid	37
107028	2,3,4	Acrolein
79061	1,3	Acrylamide
79107	3	Acrylic acid
107131	1,2,3,4	Acrylonitrile
50760	1	Actinomycin D
124049	2	Adlpic acid
23214928	1	Adriamycin
	1	Aflatoxins
116063	4	Aldicarb
51285	2	Aldifen; see Dinitrophenols
309002	1,2,3,4	Aldrin
107186	2,3,4	Allyl alcohol
107051	2,3	Allyl chloride
106923	3	Allyl glycidyl ether	12
57067	1	Allyl isothiocyanate
2835394	1	Allyl isovalerate
2179591	3	Allyl propyl disulfide
	3	Aluminum	3
	3	Aluminum, alkyls
7429905	3	Aluminum metal and oxide
20859738	4	Aluminum phosphide
	3	Aluminum pyro powders
	3	Aluminum, soluble salts	2
10043013	2	Aluminum sulfate; 
		 see Aluminum, soluble salts
117793	1	2-Aminoanthraquinone
60093	1	para-Aminoazobenzene
97563	1	o-Aminoazotoluene
1300738	3	Aminodimethylbenzene; see Xylidine
92671	1,3	4-Aminodiphenyl	31
75047	2	Aminoethane; see Ethylamine
141435	3	2-Aminoethanol; see Ethanolamine
82280	1	1-Amino-2-methylanthraquinone
91598	3	2-Aminonaphthalene;
		 see beta-Naphthylamine
712685	1	2-Amino-5-(5-nitro-2-
		furyl)-1,3,4-thiadiazole
121664	1	2-Amino-5-nitrothiazole
504290	3	2-Aminopyridine
504245	4	4-Aminopyridine
1918021	4	4-Amino-3,5,6-trichloropicolinic
		 acid; see Picloram
2432997	1	11-Aminoundecanoic acid
61825	1,3	Amitrole
7773060	2	Ammate; see Ammonium
		 sulfamate
7664417	2,3	Ammonia
631618	2	Ammonium acetate
1863634	2	Ammonium benzoate
1066337	2	Ammonium bicarbonate
7789095	2	Ammonium bichromate;
		 see Chromium compounds
1341497	2	Ammonium bifluoride; see
		 Flouride and inorganic fluoride
		 compounds
10192300	2	Ammonium bisulfite
1111780	2	Ammonium carbamate
506876	2	Ammonium carbonate
3012655	2	Ammonium citrate dibasic
12125029	2,3	Ammonium chloride fume
7788989	2	Ammonium chromate;
		 see Chromium compounds
13826830	2	Ammonium fluoborate
12125018	2	Ammonium fluoride; see Fluoride,
		 and inorganic fluoride compounds
1336216	2	Ammonium hydroxide	29
6009707	2	Ammonium oxalate
16919190	2	Ammonium silicofluoride
7773060	2,3	Ammonium sulfamate
12135761	2	Ammonium sulfide
10196040	2	Ammonium sulfite
3164292	2	Ammonium tartrate
1762954	2	Ammonium thiocyanate

CAS No.	Source	Substance	Footnotes

628637, 123922,	2,3	Amyl acetate, all isomers
626380, 625161
	1	Anabolic steroids
		 (Androgenic steroids)
62533	1,2,3	Aniline
90040	1,3	o-Anisidine
104949	3	p-Anisidine
191264	1	Anthanthrene
120127	2	Anthracene
7440360	2,3	Antimony	3
	2,3	Antimony compounds	4
7647189	2	Antimony pentachloride;
		 see Antimony compounds
28300745	2	Antimony potassium tartrate;
		 see Antimony compounds
7789619	2	Antimony tribromide;
		 see Antimony compounds
10025919	2	Antimony trichloride;
		 see Antimony compounds
77883564	2	Antimony trifluoride;
		 see Antimony compounds
1309644	2	Antimony trioxide
140578	1	AramiteÒ; see 2-(p-tert-
		 Butyphenoxy)isopropyl-2-
		 chloroethyl sulfite)
7440382	1,2,3,4	Arsenic and arsenic compounds	32
1303328	2	Arsenic disulfide;
		 see Arsenic and arsenic
		 compounds
1303282	1,2	Arsenic pentoxide; see
		 Arsenic and arsenic compounds
1327533	1,2	Arsenic trioxide; see
		 Arsenic and arsenic compounds
1303339	1,2	Arsenic trisulfide; see
		 Arsenic and arsenic compounds
784421	3	Arsine
1332214	1,2,3	Asbestos	5
8052424	3	Asphalt (petroleum) fumes	6
50782	3	Aspirin; see Acetylsalicylic acid
1912249	1,3,4	Atrazine
12174117	1	Attapulgite
492808	1	Auramine
12192573	1	Aurothioglucose
320672	1	5-Azacytidine
115026	1	Azaserine
446866	1	Azathioprine
86500	2,3,4	Azinphos methyl; see
		 O,O-Dimethyl S-(4-oxo-
		 benzotri-azino-3-methyl)
		 phosphorodithioate
151564	1	Aziridine; see Ethyleneimine
1072522	1	2-(1-Aziridinyl)ethanol
800248	1	Aziridyl benzoquinone
103333	1	Azobenzene
3333526	3	2,2'-Azobisisobutyronitrile
		 decomposition product; see
		 Tetramethyl succinonitrile
6923224	4	Azodrin; see
		 3-(Dimethoxyphosphinyloxy)-N-
		 methyl-cis-crotonamide
154938	1	BCNU; see 1,3-bis
		 (2-Chloroethyl)-1-nitrosourea
2426086	3	BGE; see n-Butyl glycidyl ether
58899	2	BHC; see Hexachlorocyclohexanes
319846	2	alpha-BHC
319857	2	beta-BHC
319869	2	delta-BHC
58899	2	gamma-BHC; see Lindane
86884	3	Bantu; see 1-(1-Naphthyl)-2-thiourea
101279	2	Barban
	2,3	Barium, soluble compounds	2
542621	2	Barium cyanide; see
		 Cyanides, inorganic salts
17804352	3	Benomyl
25057890	4	Bentazon
225514	1	Benz[c]acridine
56553	1,2	Benz [a]anthracene
56553	2	1,2-Benzanthracene; see
		 Benz[a]anthracene
71432	1,2,3	Benzene

CAS No.	Source	Substance	Footnotes

108907	2,3	Benzene chloride; see
		 Chlorinated benzenes
123319	3	1,4-Benzenediol; see Hydroquinone
108463	2	1,3-Benzenediol; see Resorcinol
118741	1,4	Benzene hexachloride; see
		 Chlorinated benzenes
531851, 531862,	1,2,3	Benzidine (and its salts)	31
92875
	1	Benzidine-based dyes
205992	1,2	Benzo [b]fluoranthene
205823	1	Benzo[i[fluoranthene
207089	1,2	Benzo[k]fluoranthene
207089	2	11,12 Benzofluoranthene;
		 see Benzo[k]fluoranthene
205992	2	3,4 Benzofluoranthene; see
		 Benzo[b]fluoranthene
65850	2	Benzoic Acid	7
71432	3	Benzol; see Benzene
100470	2	Benzonitrile
191242	2	1,12-Benzoperylene
191242	2	Benzo(ghi)perylene; see
		 1,12-Benzoperylene
50328	1,2	Benzo [a]pyrene
91225	2	Benzo(b)pyridine; see Quinoline
105113	1	para-Benzoquinone dioxime
106514	3	p-Benzoquinone; see Quinone
98077	1	Benzotrichloride
98884	2	Benzoyl chloride
94360	3	Benzoyl peroxide
140114	1	Benzyl acetate
100447	1,2,3	Benzyl chloride
1694093	1	Benzyl violet 4B
7440417	1,2,3	Beryllium	34
7787475	1,2	Berrylium chloride; see
		 Beryllium compounds
	1,2,3	Beryllium compounds
7787497	1,2	Beryllium fluoride; see
		 Beryllium compounds
7787555	2	Beryllium nitrate; see Beryllium
		 compounds
141662	4	Bidrin; see 3-Hydroxy-
		 N,N-dimethyl-cis-crotonamide
		 dimethyl phosphate
92524	3	Biphenyl
2168685	1	Bis(1-aziridinyl)morpholinophosphine
		 sulphide
111911	2	Bis(2-chloroethoxy) methane
111444	2,3	Bis(2-chloroethyl)ether; see
		 Chloroalkyl ethers
494031	1	N,N-Bis(2-chloroethyl)-2
		  -naphthylamine
154938	1	1,3-Bis(2-chloroethyl)-1 -nitrosourea
154938	1	Bischloroethyl nitrosourea;
		 see 1,3-Bis(2-chloroethyl)-
		 1-nitrosourea
13483186	1	1,2-Bis(chloromethoxy)ethane
56894981	1	1,4-Bis(chloromethoxymethyl)benzene
542881	1,3	Bis(chloromethyl) ether
108601	1	Bis(2-chloro-1-methylethyl) ether
108601	2	Bis(2-chloroisopropyl) ether
115322	1,2	1,1-Bis-(p-chlorophenyl)-2,2,2-
		  trichloroethanol(dicofol)
137268	3	Bis-(dimethylthiocarbamoyl) disulfide
2238075	3	Bis(2,3-epoxypropyl)ether; see
		 Diglycidyl ether
117817	2	Bis(2-ethylhexyl) phthalate; see
		 Phthalate esters
1304821	3	Bismuth telluride; see
		 Tellurium compounds
11056067	1	Bleomycins
129179	1	Blue VRS
	3	Borates, tetra, sodium salts	8
1303862	3	Boron oxide	8
10294334	3	Boron tribromide
7637072	3	Boron trifluoride
3844459	1	Brilliant Blue FCF
314409	3	Bromacil
7726956	3	Bromine
7789302	3	Bromine pentafluoride
74975	3	Bromochloromethane
75274	2	Bromodichloromethane
74964	3	Bromoethane; see Ethyl bromide
593602	3	Bromoethylene; see Vinyl bromide
75252	2,3	Bromoform

CAS No.	Source	Substance	Footnotes

74839	3	Bromomethane; see Methyl bromide
101553	2	4-Bromophenyl phenyl ether
75638	3	Bromotrifluoromethane
1689845	4	Bromoxynil
106990	1,2,3	1,3-Butadiene
106978	3	Butane
55981	1	1,4-Butanediol dimethanesulfonate 
		 (Busulfan)
109795	3	Butanethiol; see n-Butyl mercaptan
71363	3	Butanol; see Butyl alcohol
78933	3	2-Butanone
123739	2	2-Butenal propylene aldehyde; see 
		 Crotonaldehyde
2426086	3	1-Butoxy-2,3-epoxypropane; see 
		 n-Butyl glycidyl ether
111762	3	2-Butoxyethanol; see Ethylene 
		 glycol monobutyl ether
123864, 105464,	2,3	Butyl acetate, all isomers
540885, 110190
141322	3	Butyl acrylate
71363, 78922,	3	Butyl alcohol
75650
109739, 78819,	2,3	Butylamine, all isomers
513495, 13952846,
75649
25013165	1	Butylated hydroxyanisole
128370	1	Butylated hydroxytoluene; see 2,6-Di-
		 tert-butyl-p-cresol
85687	2	Butyl benzyl phthalate
299865	3	4-tert-Butyl-2-chlorophenylmethyl
		  methylphosphoramidate
1189851	3	tert-Butyl chromate; see Chromium 
		 compounds
2426086	3	n-Butyl glycidyl ether	12
138227	3	n-Butyl lactate
109795	3	n-Butyl mercaptan
89725	3	o-sec-Butylphenol
140578	1	2-(p-tert-Butylphenoxy)isopropyl-
		  2-chloroethyl sulfite
84742	2	n-Butyl phthalate; see Phthalate esters
98511	3	p-tert-Butyltoluene
107926	2	Butyric acid
3068880	1	beta-Butyrolactone
13010474	1	CCNU; see 1-(2-Chloroethyl)-3-
		 cyclohexyl-1-nitrosourea
543908	1,2	Cadmium acetate; see Cadmium 
		 compounds
7440439,
1306190	1,2,3,4	Cadmium and cadmium oxide	3
7789426	2	Cadmium bromide; see Cadmium 
		 compounds
10108642	1,2	Cadmium chloride; see Cadmium 
		 compunds
	1,2,3,4	Cadmium compounds
7440702	2	Calcium
7778441	1,2,3	Calcium arsenate; see Arsenic and arsenic
		 compounds
52740166	2	Calcium arsenite; see Arsenic and arsenic
		 compounds
75207	2	Calcium carbide
13765190	1,2	Calcium chromate; see Chromium 
		 compounds
156627	3	Calcium cyanamide
592018	2,4	Calcium cyanide; see Cyanides, inorganic
		 salts
26264062	2	Calcium dodecylbenzene-sulfonate 9
1305620	3	Calcium hydroxide
7778543	2	Calcium hypochlorite
1305788	3	Calcium oxide
76222	3	Camphor
56257	1	Cantharidin
105602	3	Caprolactam
2425061	1,3	Captafol
133062	1,2,3	Captan
63252	2,3,4	Carbaryl
86748	1	Carbazole
7786347	2,3,4	alpha-2-Carbomethoxy-1- methylvinyl
		  dimethyl phosphate(mevinphos)
7786347	3	2-Carbomethoxy-l-propen-2-yl 
		 dimethyl phosphate; see alpha-2-
		 Carbomethoxy-l-methylvinyl 
		 dimethyl phosphate
75150	2,4	Carbon bisulfide; see Carbon disulfide
1333864	1,3	Carbon black-Extracts	10

CAS No.	Source	Substance	Footnotes

124389	3	Carbon dioxide
75150	2,3,4	Carbon disulfide
630080	3	Carbon monoxide
558134	3	Carbon tetrabromide
56235	1,2,3,4	Carbon tetrachloride
75445	2,3	Carbonyl chloride; see Phosgene
353504	3	Carbonyl Fluoride
786196	4	Carbophenothion
154938	1	Carmoisine; see 1,3-Bis(2-chloro-
		 ethyl)-1-nitrosourea
120809	3	Catechol
1310732	3	Caustic soda; see Sodium hydroxide
110805	5	Cellosolve; see Ethylene glycol mono-	
		 ethyl ether
21351791	3	Cesium hydroxide
305033	1	Chlorambucil
56757	1	Chloramphenicol
57749	1,2,3,4	Chlordane
143500	1,2	Chlordecone
6164983	4	Chlordimeform
115286	1	Chlorendic acid
470906	4	Chlorfenvinphos
	1,2,3	Chlorinated benzenes
8001352	3	Chlorinated camphene; see Toxaphene
	2	Chlorinated cresols
55720995	3	Chlorinated diphenyl oxide
	2	Chlorinated ethanes
	2	Chlorinated naphthalenes, (other than
		  those listed elsewhere)
108171262	1	Chlorinated paraffins
	2	Chlorinated phenols; see Chlorinated 
		 cresols
	1	a-Chlorinated toluenes
7782505	2,3	Chlorine
10049044	3	Chlorine dioxide
7790912	3	Chlorine trifluoride
494031	1	Chlornaphazine; see N,N-bis(2-
		 Chloroethyl)-2-naphthylamine
107200	3	Chloroacetaldehyde
532274	3	alpha-Chloroacetophenone
79049	3	Chloroacetyl chloride
	1,2,3	Chloroalkyl ethers
108907	2,3	Chlorobenzene; see
		 Chlorinated benzenes
510156	1	Chlorobenzilate
2698411	3	o-Chlorobenzylidene-malononitrile
74975	3	Chlorobromomethane; see 
		 Bromochloromethane
126998	3	2-Chloro-1,3-butadiene; see 
		 Chloroprene
124481	2	Chlorodibromomethane
75456	1,3	Chlorodifluoromethane (FC-22)
53449219	3	Chlorodiphenyl; see Polychlorobiphenyls
106898	3	1-Chloro-2,3,-epoxypropane; see 
		 Epichlorohydrin
75003	2,3	Chloroethane; see Ethyl chloride
107073	3	2-Chloroethanol; see Ethylene
		 chlorohydrin
13010474	1	1-(2-Chloroethyl)-3-cyclohexyl-1-
		  nitrosourea
75014	3	Chloroethylene; see Vinyl chloride
13909096	1	1-(2-Chloroethyl)-3-(4-methycyclo-
		 hexyl)-1-nitrosourea (Methyl
		 -CCNU)
110758	2	2-Chloroethyl vinyl ether
593704	1	Chlorofluoromethane
67663	1,2,3	Chloroform
75445	2	Chloroformyl chloride; see Phosgene
59507	2	para-Chloro-meta-cresol
74873	3	Chloromethane; see Methyl chloride
107302	3	Chloromethyl methyl ether; see Methyl 
		 chloromethyl ether
91587	2	2-Chloronaphthalene
100005	3	1-Chloro-4-nitrobenzene; see p-
		 Nitrochlorobenzene
600259	3	1-Chloro-1-nitropropane
76153	3	Chloropentafluoroethane
95578	2	2-Chlorophenol; see Chlorophenols
	1	Chlorophenols
	1	Chlorophenoxy herbicides
95830	1	4-Chloro-o-phenylenediamine
7005723	2	4-Chlorophenyl phenyl ether
76062	3,4	Chloropicrin
126998	2,3	Chloroprene

CAS No.	Source	Substance	Footnotes

1331288	3	o-Chlorostyrene
7790945	2	Chlorosulfonic acid
1897456	1	Chlorothalonil
95498	3	o-Chlorotoluene
100447	3	alpha-Chlorotoluene; see Benzyl chloride
95692	1	p-Chloro-o-toluidine
7745893	4	3-Chloro-p-toluidine hydrochloride
1929824	3	2-Chloro-6-(trichloromethyl) pyridine
75887	1	2-Chloro-1,1,1-trifluoroethane
2921882	2,3	Chlorpyrifos
1066304	2	Chromic acetate; see Chromium 
		 compounds
11115745	2	Chromic acid; see Chromium compounds
10101538	2	Chromic sulfate; see Chromium 
		 compounds
7440473	2,3	Chromium	3
	1,2,3	Chromium compounds
7440473	3	Chromium metal; see Chromium
11115745	2	Chromium troixide; see Chromium 
		 compounds
10049055	2	Chromous chloride; see Chromium 
		 compounds
14977618	3	Chromyl chloride;
218019	1,2	Chrysenes; see Polynuclear aromatic
		 hydrocarbons
532821	1	Chrysoidine
87296	1	Cinnamyl anthranilate
108316	2,3	Cis-butenedioic anhydride; see Maleic 	
		 anhydride
15663271	1	Cisplatin
51875	1	Citrinin
6358538	1	Citrus Red no. 2
637070	1	Clofibrate
1420048	4	Clonitralid
2971906	3	Clopidol
	3	Coal (Bituminous) dust
65996932	1	Coal-tar pitches
8007452	1,3	Coal tar pitch volatiles	11
7440484	2,3	Cobalt	3,34
10210681	3	Cobalt carbonyl
16842038	3	Cobalt hydrocarbonyl
7789437	2	Cobaltous bromide
544183	2	Cobaltous formate
14017415	2	Cobaltous sulfamate
62748	4	Compound 1080; see Sodium 
		 fluoroacetate
7440508	2,3	Copper	3
	2,3	Copper compounds	39
	3	Cotton dust	27
56724	2	Coumaphos
91645	1	Coumarin
8001589	1	Creosotes
120718	1	p-Cresidine
95487, 106445,	2,3	Cresol (all isomers)
108394,1319773
123739	2,3	Crotonaldehyde
299865	3	Crufomate; see 4-tert-Butyl (-2-chlor-
		 ophenylmethyl) methylphos-
		 phoramidate
98828	3	Cumene
142712	2	Cupric acetate; see Copper compounds
12002038	2	Cupric acetoarsenite; see Copper 
		 compounds
7447394	2	Cupric chloride; see Copper compounds
3251238	2	Cupric nitrate; see Copper compounds
5893663	2	Cupric oxalate; see Copper compounds
10380297	2	Cupric sulfate, ammoniated; see Copper
		 compounds
7758987	2	Cupric sulfate; see Copper compounds
815827	2	Cupric tartrate; see Copper compounds
420042	3	Cyanamide
	2,3,4	Cyanides, inorganic salts
100470	2	Cyanobenzene; see Benzonitrile
460195	3	Cyanogen
506774	2,3	Cyanogen chloride
14901087	1	Cycasin
	1	Cyclamates
110827	2,3	Cyclohexane
108930	3	Cyclohexanol
108941	3	Cyclohexanone
110838	3	Cyclohexene
66819	4,5	Cycloheximide
108918	3	Cyclohexylamine

CAS No.	Source	Substance	Footnotes

121824	3	Cyclonite; see 
		 Cyclotrimethylenetrinitramine
542927	3	Cyclopentadiene
12079651	3	Cyclopentadienyltriocarbonyl 
		 manganese;
		 see Manganese compounds
287923	3	Cyclopentane
27208373	1	Cyclopenta[c,d]pyrene
50180	1	Cyclophosphamide
6055192
121824	3	Cyclotrimethylene-trinitramine
13121705	3	Cyhexatin; see Tin compounds
94757	2,3,4	2,4-D
94111, 94791, 94804,	2	2,4-D esters (2,4-dichloro-
1320189, 1928387,		phenoxyacetic acid esters)
1928616, 1929733,
2971382, 25168267,
53467111
94826	4	2,4-DB (2,4-dichloro- phenoxybutyric
		  acid)
72548	2,4	DDD; see TDE
72548	2	4,4-DDD; see TDE
72559	2	DDE; see 1,1-Dichloro-2,2-bis(p-
		 chlorophenyl)-ethylene
72559	2	4,4-DDE; see 1,1-Dichloro-2,2-bis(p-
		 chlorophenyl)-ethylene
120365	4	2,4-DP (2,4-dichlorophenoxy-propionic
		 acid)
50293	1,2,3,4	DDT-(1,1,1-trichloro-2,2-bis
		  (p-chlorophenyl)ethane)
50293	2	4,4-DDT; see DDT
62737	3	DDVP; see Dichlorvos
78488	4	DEF; see S,S,S Tributyl 
		 phosphorotrithioate
2238075	3	DGE; see Diglycidyl ether
68122	3	DMF; see N,N-Dimethylformamide
57147	3	DMH; see Dimethylhydrazine (all 
		 isomers)
81889	1	D&C Red No. 19; see Rhodamine B
432034	1	Dacarbazine
80080	1	Dapsone
115902	4	Dasanit; see O,O-Diethyl O-[4-
		 (methylsulfinyl) phenyl] 
		 phosphorothioate
20830813	1	Daunomycin
17702419	3	Decaborane
8065483	3,4	Demeton
298033	2	Demeton-O
126750	2	Demeton-S
123422	3	Diacetone alcohol; see 4-Hydroxy-
		 4-methyl-2-pentanone
613354	1	N,N'-Diacetylbenzidine
10311849	4	Dialifor
2303164	1	Diallate
615054	1	2,4-Diaminoanisole
39156417	1	2,4-Diaminoanisole sulfate
92875	3	4,4'-Diaminobiphenyl; see Benzidine
		  (and its salts)
91941	3	4,4'Diamino-3,3'-dichlorobiphenyl;
		 see Dichlorobenzidine and its salts
101814	1	4,4'-Diaminodiphenyl ether
107153	2,3	1,2-Diaminoethane; see Ethylenediamine
95807	1	2,4-Diaminotoluene
119904	1	ortho-Dianisidine; see 3,3-Dimethoxy-
		 benzidine
333415	2,3	Diazinon
334883	1,3	Diazomethane
226368	1	Dibenz [a,h]acridine
224420	1	Dibenz [a,j]acridine
53703	1,2	Dibenz [a,h]anthracene
215587	1	Dibenz[a,c]anthracene
224419	1	Dibenz[a,j]anthracene
53703	2	1,2,5,6-Dibenzanthracene; see 
		 Dibenz[a,h] anthracene
	1,2	Dibenzanthracenes; see Polynuclear
		 aromatic hydrocarbons
194592	1	7H-Dibenzo [c,g]carbazole
5385751	1	Dibenzo[a,e]fluoranthene
192472	1	Dibenzo[h,rst]pentaphene
192654	1	Dibenzo [a,e]pyrene
189640	1	Dibenzo [a,h]pyrene
189559	1	Dibenzo [a,i]pyrene
191300	1	Dibenzo[a,l]pyrene
92842	3	Dibenzothiazine; see Phenothiazine

CAS No.	Source	Substance	Footnotes

94360	3	Dibenzoyl Perozide; see Benzoyl
		 peroxide
19287457	3	Diborane
300765	2	Dibrom; see O,O-Dimethyl O-
		 (1,2-dibromo-2,2-dichloroethyl)	
		 phosphate
96128	1,3	1,2-Dibromo-3-chloropropane
75616	3	Dibromodifluoromethane
106934	2,3	1,2-Dibromoethane; see Ethylene	
		 dibromide
102818	3	2-(Dibutylamino) ethanol
128370	1,3	2,6-Di-tert-butyl-p-cresol	7
107664	3	Dibutyl phosphate
84742	3	Dibutyl phthalate; see Phthalate esters
84742	2	Di-n-butyl phthalate; see Phthaltate	 
		 esters
1918009	2,4	Dicamba
1194656	2	Dichlobenil
117806	2	Dichlone
7572294	1,3	Dichloroacetylene
541731	2	m-Dichlorobenzene
106467	1,2,3	p-Dichlorobenzene
95501	2,3	o-Dichlorobenzene
95501	2	1,2-Dichlorobenzene; see o-	
		 Dichlorobenzene
541731	2	1,3-Dichlorobenzene; see m-	
		 Dichlorobenzene
106467	2	1,4-Dichlorobenzene; see p-	
		 Dichlorobenzene
225321226	1,2,3	Dichlorobenzenes; see Chlorinated 	
		 benzenes
	1,2,3	Dichlorobenzidine (and its salts)
91941	1,2,3	3,3'-Dichlorobenzidine; see	
		 Dichlorobenzidene (and its salts)
72548	2	1,1-Dichloro-2,2-bis(p-chlorophenyl)	
		 ethane; see TDE
72559	2,4	1,1-Dichloro-2,2-bis
		  (p-chlorophenyl) ethylene
75274	2	Dichlorobromomethane; see	
		 Bromodichloromethane
28434868	1	3,3'-Dichloro-4,4'-diaminodiphenyl
		  ether
75718	3	Dichlorodifluoromethane (FC-12)
118525	3	1,3-Dichloro-5,5-dimethyl-hydantoin
107062	1,2	1,2-Dichloroethane; see Ethylene 	
		 dichloride
75343	2,3	1,1-Dichloroethane; see Ethylidene	 
		 chloride
156605	2	1,2-trans-Dichloroethylene
540590	2,3	1,2-Dichloroethylene; see Acetylene	
		 dichloride
75354	2,3	1,1 Dichloroethylene; see Vinylidene	
		 chloride
111444	,1,3	Dichloroethyl ether; see Chloroaikyl	
		 ethers
75092	3	Dichloromethane; see Methylene chloride
75434	3	Dichloromonofluoromethane (FC-21)
117806	2	Dichloronaphthoquinone; see Dichlone
594729	3	1,1-Dichloro-1-nitroethane
120832	2	2,4-Dichlorophenol
94757	2,3,4	2,4-Dichlorophenoxyacetic acid; see
		 2,4-D
609201	1	2,6-Dichloro-para-phenylenediamine
1836755	1,4	2,4-Dichlorophenyl p-nitrophenyl ether
26638197, 78875,	1,2,3	Dichloropropanes
142289, 78999
78875	1,2	1,2-Dichloropropane; see 	
		 Dichloropropanes
8003198	2	Dichloropropene-dichloropropane	
		 (mixture)
26952238, 542756,	1,2,3,4	Dichloropropenes
78886
709988	4	3,4-Dichloropropionanilide; see Propanil
75990	2,3	2,2-Dichloropropionic acid
8003198	2	1,2-Dichloropropylene
76142	3	1,2-Dichloro-1,1,2,2-tetrafluoro-ethane
		  (FC-114)
62737	2	2,2-Dichlorovinyl dimethyl phosphate;	
		 see Dichlorvos
62737	1,2,3	Dichlorvos
102307, 99309	2	Dicloran
115322	1,2	Dicofol; see 1,1-Bis(p-chlorophenyl)-2,
		 2,2-trichloroethanol

CAS No.	Source	Substance	Footnotes

5124301	3	Dicyclohexylmethane-4,4'- diisocyanate
77736	3	Dicyclopentadiene
102545	3	Dicyclopentadienyl iron
60571	1,2,3,4	Dieldrin
84173	1	Dienestrol
1464535	1	Diepoxybutane	12
111422	3	Diethanolamine
109897	2,3	Diethylamine
100378	3	2-(Diethylamino)ethanol
12391	3	1,4-Diethylene dioxide; see p-Dioxane
111400	3	Diethylenetriamine
60297	3	Diethyl ether; see Ethyl ether
298044	3	O,O-Diethyl S-2-(ethylthio)ethyl	
		 phosphorodithioate; see Disulfoton
298022	3	O,O-Diethyl S-(ethylthio)methyl	
		 phosphorodithioate; see Phorate
103231	1	Di(2-ethylehexyl)adipate
117817	1	Di-(2-ethylhexyl) phthalate; see	
		 Phthalate esters
1615801	1	1,2-Diethylhydrazine
333415	3	O,O-Diethyl O-(2-isopropyl-6-methy-	
		 4-pyrimidinyl phosphorothioate; see	
		 Diazinon
96220	3	Diethyl ketone
115902, 115913	3,4	O,O-diethyl O-[4-(methylsufiny)	
		 phenyl] phosphorothioate 	
		 (fensulfothion)
56382	3	O,O-Diethyl O-(p-nitrophenyl)	
		 phosphorothioate; see Parathion
84662	2,3	Diethyl phthalate; see Phthalate esters
56531	1	Diethylstilbestrol
64675	1	Diethyl sulfate
75616	3	Difluorodibromomethane; see	
		 Dibromodifluoromethane
2238075	3	Diglycidyl ether
101906	1	Diglycidyl resorcinol ether
1563662	2,3,4	2,3-Dihydro-2,2-dimethyl-7-benzo-
		  furanyl methylcarbamate (carbofuran)
94586	1	Dihydrosafrole
123319	3	p-Dihydroxybenzene; see Hydroquinone
108463	2	meta-Dihydroxybenzene; see Resorcinol
794934	1	Dihydroxymethylfuratrizine
108838	3	Diisobutyl ketone
108189	3	Diisopropylamine
108203	3	Diisopropyl ether; see Isopropyl ether
828002	1	Dimethoxane
119904	1	3,3'-Dimethoxybenzidine
91930	1	3,3'-Dimethoxybenzidine-4,4'-	
		 diisocyanate
109875	3	Dimethoxymethane; see Methylal
6923224	3,4	3-(Dimethoxyphosphinyloxy)-N-
		  methyl-cis-crotonamide
		  (Monocrotophos)
127195	3	N,N-Dimethylacetamide
124403	2,3	Dimethylamine
60117	1,3	4-Dimethylaminoazobenzene
1300738	3	Dimethylaminobenzene; see Xylidine
55738540	1	trans-2-[(Dimethylamino) methylimino]
		 -5-[2-(5-nitro-2-furyl)vinyl]-
		  1,3,4-oxadiazole
121697	3	N,N-Dimethylaniline
108383	2,3	Dimethylbenzene; see Xylene, all isomers

119937	1	3,3'-Dimethylbenzidine
108849	3	1,3-Dimethylbutyl acetate; see sec-	
		 Hexyl acetate
79447	1	Dimethylcarbamoyl chloride
300765	2,3	0,0-Dimethyl 0-(1,2-dibromo-2,
		  2-dichloroethyl) phosphate (Naled)
121755	3	O,O-Dimethyl S-(1,2-
		 dicarboethoxyethyl) 
		 phosphorodithioate; see Malathion
8022002	3	O,O-Dimethyl O-(2-(ethylthio)-ethyl)	
		 phosphorothioate and O,O-Dimethyl	
		 S-(2-(ethylthio)-ethyl) phosphoro-	
		 thioate mixture; see Methyl demeton
68122	3	N,N-Dimethylformamide
108838	3	2,6-Dimethyl-4-heptanone; see	
		 Diisobutyl ketone
540738	1	1,2-Dimethylhydrazine
57147, 540738	1,3	Dimethylhydrazine (all isomers)
67641	3	Dimethyl ketone; see Acetone

CAS No.	Source	Substance	Footnotes

115902, 115913	3,4	0,0-Dimethyl 0-[p-(methylsulfinyl)
		-phenyl]phosphorothioate
		  (fensulfothion)
55389	3	O,O-dimethyl O-[3-methyl-4	 
		 (methylthio) phenyl] 	
		 phosphorothioate; see Fenthion
298000	3	O,O-Dimethyl O-(p-nitrophenyl)	
		 phosphorothioate; see Methyl 	
		 parathion
62759	1,3	N,N-Dimethylnitrosamine; see	
		 N-Nitrosodimethylamine
		 
86500	2,3,4	0,0-Dimethyl S-(4-oxo-benzotri-
		  azino-3-methyl) phosphorodithioate
		  (Azinphos methyl)
105679	2	2,4-Dimethylphenol
1300716	2	Dimethylphenol; see Xylenol
121697	3	Dimethylphenylamine; see N,N-	
		 Dimethylaniline
10265926	4	0,S-Dimethyl phosphoramidothioate
950378	4	0,0-Dimethyl phosphorodithioate, S-
		  ester with 4-(mercaptomethyl)- 
		 2-methoxy-02-1,3,4-
		 thiadiazolin-5-one
77781	2,3	Dimethyl phthaltate; see Phthalate esters
77781	1,3	Dimethyl sulfate
299843	2,3	O,O-Dimethyl 
		 O-(2,4,5-trichlorophenyl) 
		 phosphorothioate; see Ronnel
148016	3	Dinitrolmide; see 3,5-Dinitro-o-	
		 toluamide
25154545, 99650,	2,3	Dinitrobenzenes, all isomers
100254, 528290
25154545	2	Dinitrobenzol; see Dinitrobenzenes, all	
		 isomers
534521	2,3,4	4,6-Dinitro-o-cresol
534521	2	Dinitrocresol; see Nitrophenols, all 	
		 isomers
51285	2,4	2,4-Dinitrophenol; see Dinitrophenols
51285, 329715,	2,4	Dinitrophenols
573568
42397648	1	1,6-Dinitropyrene
43977659	1	1,8-Dinitropyrene
148016	3	3,5-Dinitro-o-toluamide
606202	2	2,6-Dinitrotoluene
121142	2	2,4-Dinitrotoluene
25321146, 121142,	2,3	Dinitrotoluenes, all isomers
121142, 606202,
610399, 602017,
619518
88857	4	Dinoseb
117840	2	Di-n-octyl phthalate
117817	3	Di-sec-octyl phthalate; see Phthalate	
		  esters
123911	3	1,4-Dioxacyclohexane; see p-Dioxane
123911	1,3	p-Dioxane
123911	1	1,4-Dioxane; see p-Dioxane
78342	3,4	2,3-p-Dioxanedithiol S,S-bis (0,0-
		  diethyl phosphorodithioate)
		 (dioxathion)
78342	3,4	Dioxathion; see 2,3-p-Dioxanedithiol	
		 S,S-bis (O,O-diethyl	
		 phosphorodithioate)
92524	3	Diphenyl; see Biphenyl
122394	3	Diphenylamine
57410	1	Diphenylhydantoin (Phenytoin)
630933	1	Diphenylhydantoin (Phenytoin), sodium	
		 salt
38622183	2	Diphenylhydrazine
122667	2	1,2-Diphenylhydrazine; see 	
		 Hydrazobenzene
101688	3	Diphenylmethane diisocyanate; see 	
		 Methylene bis(4-phenylisocyanate)
34590948	3	Dipropylene glycol monomethyl ether
123193	3	Dipropyl ketone
85007, 2764729	2,3	Diquat
1937377	1	Direct Black 38 (technical grade)
2602462	1	Direct Blue 6 (technical grade)
16071866	1	Direct Brown 95
2475458	1	Disperse Blue 1
97778	3	Disulfiram
298044	2,3,4	Disulfoton

CAS No.	Source	Substance	Footnotes

298044	2,4	Disyston; see Disulfoton
1189851	3	Di-tert-butyl chromate; see Chromium 	
		 compounds
330541	2,3	Diuron
108576	3	Divinyl benzene
27176870	2	Dodecylbenzenesulfonic acid	9
23214928	1	Doxorubicin hydrochloride; see 	
		 Adriamycin
60004	2	EDTA
115297	2,3,4	Endosulfan
959988	2	alpha-Endosulfan
33213659	2	beta-Endosulfan
1031078	2	Endosulfan-sulfate
72208	2,3,4	Endrin
7421934	2	Endrin aldehyde
106898	1,2,3	Epichlorohydrin	12
2104645	3,4	EPN
106876	1	1-Epoxyethyl-3,4-epixycyclohexane;	
		 see Vinyl cyclohexene dioxide
4016142	3	1,2-Epoxy-3-isopropoxypropane;	
		 see Isopropyl glycidyl ether
141377	1	3,4-Epoxy-6-methylcyclohexyimethyl-	
		 3,4-epoxy-6-methylcyclohexane 	
		 carboxylate
122601	3	1,2-Epoxy-3-phenoxypropane; see	
		 Phenyl glycidyl ether
75569	3	1,2-Epoxypropane; see Propylene oxide
556525	3	2,3-Epoxypropanol; see Glycidol
12510428	1	Erionite
75058	3	Ethanenitrile; see Acetonitrile
75081	3	Ethanethiol; see Ethyl mercaptan
64175	1,3	Ethanol; see Ethyl alcohol
141435	3	Ethanolamine
463514	3	Ethenone; see Ketene
57636	1	Ethinyloestradiol
563122	2,3,4	Ethion
536334	1	Ethionamide
110805	3	2-Ethoxyethanol; see Ethylene glycol	
		 monoethyl ether
111159	3	2-Ethoxyethanol acetate; see Ethylene	
		 glycol monoethyl ether acetate
141786	3	Ethyl acetate
140885	1,3	Ethyl acrylate
64175	1,3	Ethyl alcohol	13
75047	2,3	Ethylamine
541855	3	Ethyl sec-amyl ketone
100414	2,3	Ethylbenzene
74964	3	Ethyl bromide
106354	3	Ethyl butyl ketone
75003	3	Ethyl chloride
510156	1	Ethyl-4,4'-dichlorobenzilate; see	
		 Chlorobenzilate
13194484	4	0-Ethyl S,S-dipropyl phosphorodithioate
		  (ethoprop)
85007	3	1,1'-Ethylene-2,2'-bipyridinium	
		 dibromide; see Diquat
107073	3	Ethylene chlorohydrin
107153	2,3	Ethylenediamine
106934	1,2,3,4,5	Ethylene dibromide	33
107062	1,2,3,4	Ethylene dichloride
107211	3	Ethylene glycol	14
628966	3	Ethylene glycol dinitrate
111762	2,3	Ethylene glycol monobutyl ether
110805	3,5	Ethylene glycol monoethyl ether
111159	3,5	Ethylene glycol monoethyl ether acetate
109864	3,5	Ethylene glycol monomethyl ether
110496	3,5	Ethylene glycol monomethyl ether acetate
151564	1,3	Ethyleneimine
75218	1,2,3,5	Ethylene oxide	12
420122	1	Ethylene sulphide
96457	1	Ethylenethiourea
79016	2	Ethylene trichloride; see Trichlorethylene
60297	3	Ethyl ether
109944	3	Ethyl formate
75343	3	Ethylidene chloride
16219753	3	Ethylidene norbornene
75081	3	Ethyl mercaptan
62500	1	Ethyl methanesulphonate
563122	2	Ethyl methylene; see Ethion
78933	3	Ethyl methyl ketone; see 2-Butanone
22224926	3,4	Ethyl 3-methyl-4-(methylthio)-phenyl
		  (1-methylethyl) phosphoramidate
100743	3	N-Ethylmorpholine

CAS No.	Source	Substance	Footnotes

2104645	3	O-Ethyl O-(p-nitrophenyl)	
		 phenylphosphonothioate; see EPN
759739	1	N-Ethyl-N-Nitrosourea; see N-Nitroso-
		 N-ethylurea
56382	2,4	Ethyl parathion; see Parathion
78104	3	Ethyl silicate
100743	3	4-Ethyl-1,4-tetrahydrooxazine; see	
		 N-Ethylmorpholine
110805	3	2-Ethyoxyethanol; see Ethylene glycol	
		 monoethyl ether
97530	1	Eugenol
314136	1	Evans blue
2353459	1	Fast Green FCF
22224926	3,4	Fenamiphos; see Ethyl-3-methyl-4	
		 (methylthio)phenyl (1-methylethyl)	
		 phosphoramidate
115902	3	Fensulfothion; see O,O-Diethyl O-	
		 [4-(methylsulfinyl)phenyl] 	
		 phosphorothioate
55389	3	Fenthion 
101428	2	Fenuron
4482557	2	Fenuron-TCA
14484641	3,4	Ferbam
1185575	2	Ferric ammonium citrate; see Iron salts,	
		 soluble
2944674	2	Ferric ammonium oxalate; see Iron salts,	
		 soluble
7705080	2	Ferric chloride; see Iron salts, soluble
14484641	3	Ferric N,N-dimethylthiocarbamate;	
		 see Ferbam
7783508	2	Ferric fluoride; see Iron salts, soluble
10421484	2	Ferric nitrate; see Iron salts, soluble
10028225	2	Ferric sulfate; see Iron salts, soluble
10045893	2	Ferrous ammonium sulfate; see Iron salts,
		 soluble
7758943	2	Ferrous chloride; see Iron salts, soluble
7720787	2	Ferrous sulfate; see Iron salts, soluble
12604589	3	Ferrovanadium dust	3
206440	2	Fluoranthene
53963	3	n-Fluoren-2-yl-acetamide; see 2-	
		 Acetylamino-fluorene
	2,3	Fluoride, and inorganic fluoride
		  compounds
7782414	2,3	Fluorine
640197	4	Fluoroacetamide/1081
75694	3	Fluorocarbon 11; see 	
		 Fluorotrichlormethane
75718	3	Fluorocarbon 12; see 	
		 Dichlorodifluoromethane
75434	3	Fluorocarbon 21; see	
		 Dichloromonofluoromethane
75456	3	Fluorocarbon 22; see 	
		 Chlorodifluoromethane
76120	3	Fluorocarbon 112; see 1,1,2,2-	
		 Tetrachloro-1,2-difluoroethane
76131	3	Fluorocarbon 113; see 1,1,2-	
		 Trichloro-1,2,2-trifluoroethane
76142	3	Fluorocarbon 114; see 
		 1,2-Dichloro-1,1,2,2-
		 tetrafluoroethane
75694	3	Fluorotrichloromethane
150505	4	Folex; see s,s,s-Tributyl 	
		 phosphorotritthioite
133073	4	Folpet
944229	3,4	Fonofos
50000	1,2,3	Formaldehyde
75127	3	Formamide
64186	2,3	Formic acid
3570750	1	2-(2-Formylhydrazino)-4-(5-
		  nitro-2-furyl) thiazole
110178	2	Fumaric acid	15
6164983	4	Fundal; see Chlordimeform
98011	2	2-Furaldehyde; see Furfural
98011	2,3	Furfural
98000	3	Furfuryl alcohol
6164983	4	Galecron; see Chlordimeform
8006619	3	Gasoline	16
7782652	3	Germanium tetrahydride
	3	Glass, fibrous or dust	38
67730114	1	Glu-P-1 (2-Amino-6-
		 methyldipyrido[1,2-a:3',2'-
		 d]imidazole

CAS No.	Source	Substance	Footnotes

67730103	1	Glu-P-2 (2-Aminodipyrido[1,2-a:3',2'	
		 -d]imidazole)
111308	3	Glutaraldehyde
765344	1	Glycidaldehyde
556525	3	Glycidol	12
7782425	3	Graphite	17
126078	1	Griseofulvin
4680788	1	Guinea Green B
86500	2	Guthion; see O,O-Dimethyl S-(4-	
		 oxobenzotriazino-3-methyl)	
		 phosphorodithioate
16568028	1	Gyromitrin (Acetaldehyde	
		 methylformylhydrazone)
822060	3	HDI; see Hexamethylene diisocyanate
7440586	3	Hafnium
	2	Haloethers (other than those listed else-
		  where, includes chloro-phenylphenyl 
		 ethers, bromophenylphenyl ether,
		  bis(dichloroisopropyl) ether, bis
		  (chloroethoxy) methane and 
		 polychlorinated diphenyl ethers)
	2	Halomethanes
2784943		HC Blue 1
76448	1,2,3,4	Heptachlor
1024573	2	Heptachlor epoxide
76448	3	1,4,5,6,7,8,8,-Heptachloro-3a,	
		 4,7,7a-tetrahydro-4,7-	
		 methanoindene; see Heptachlor 
142845	3	n-Heptane
106354	3	3-Heptanone; see Ethyl butyl ketone
110430	3	2-Heptanone; see Methyl n-amyl ketone
118741	1,2	Hexachlorobenzene; see Benzene	
		 hexachloride
87683	1,2,3	Hexachlorobutadiene
608731	2	Hexachlorocyclohexane
	1	Hexachlorocyclohexanes
77474	2,3	Hexachlorocyclopentadiene
72208	3	1,2,3,4,10,10-Hexachloro-6,7-epoxy-,	
		 1,4,4a,5,6,7,8,8a-octahydro-1,4,-	
		 endo-endo-5,8-dimethano 	
		 naphthalene and methabolites; see	
		 Endrin
60571	3	1,2,3,4,10,10-Hexachloro-6,7-epoxy-	
		 1,4,4a,5,6,7,8,8a-octahydro-1,4,-
		 endo-exo-5,8-dimethanonaphtha-	
		 lene; see Dieldrin
67721	1,2,3	Hexachloroethane
115297	3	6,7,8,9,10,10-Hexachloro-
		 1,5,5a,6,9,9a-hexahydro-6,9-	
		 methano-2,4,3-benzodioxathiepin-	
		 3-oxide; see Endosulfan
309002	3	1,2,3,4,10,10-Hexachloro-1,4,4a,5,8,8a-
		 hexahydro-endo-1,2-exo-5,8-di-	
		 methanonaphthalene; see Aldrin
1335871	2,3	Hexachloronaphthalene
70304	2	Hexachlorophene (HCP)
684162	3	Hexafluoroacetone
684162	3	1,1,1,3,3,3,-Hexafluoro-2-propanone;	
		 see Hexafluoroacetone
822060	3	Hexamethylene diisocyanate
680319	1	Hexamethylphosphoramide
	3	Hexane (all isomers)
591786	3	2-Hexanone; see Methyl n-butyl ketone
108101	3	Hexone; see Methyl isobutyl ketone
108849	3	sec-Hexyl acetate
107415	3	Hexylene glycol
86544	1	Hydralazine
302012	1,3	Hydrazine
10035106	3	Hydrobromic acid; see Hydrogen	
		 bromide
7647010	2,3	Hydrochloric acid; see Hydrogen chloride
74908	2,3,4	Hydrocyanic acid; see Hydrogen cyanide
7664393	2,3	Hydrofluoric acid; see Hydrogen fluoride
1333740	3	Hydrogen 
5124301	3	Hydrogenated MDI; see	 
		 Dicyclohexylmethane-4,4'-
		 diisocyanate
	3	Hydrogenated terphenyls
10035106	3	Hydrogen bromide
7647010	2,3	Hydrogen chloride
74908	2,3,4	Hydrogen cyanide
7664393	2,3	Hydrogen fluoride
7722841	1,3	Hydrogen peroxide

CAS No.	Source	Substance	Footnotes

7783075	2	Hydrogen selenide; see Selenium and	
		 selenium compounds
7783064	2,3	Hydrogen sulfide
123319	3	Hydroquinone
141662	3,4	3-Hydroxy-N,N-dimethyl-cis-croto-
		  namide dimethyl phosphate
		  (dicrotophos)
6923224	3	3-Hydroxy-N-methyl-cis-crotonamide	
		 dimethyl phosphate; see 3-	
		 (Dimethoxyphosphinyloxy)-N-	
		 methyl-ciscrotonamide
123422	3	4-Hydroxy-4-methyl-2-pentanone
999611	3	Hydroxypropyl acrylate
4016142	3	IGE; see Isopropyl glycidyl ether
4098719	3	IPDI; see Isophorone diisocyanate
76180966	1	IQ; (2-Amino-3-
		 methylimidazo[4,5-f]quinoline)
95316	3	Indene
193395	1,2	Indeno(1,2,3-cd)pyrene
	2,3	Indium and indium compounds
7553562	3	Iodine
75478	3	Iodoform
7439896	2	Iron
9004664	1	Iron dextran
8050939	1	Iron-dextrin complex
1309371	3	Iron oxide fume
13463406	3	Iron pentacarbonyl
	2,3	Iron salts, soluble	18
15503863	1	Isatidine
12392	3	Isoamyl acetate; see Amyl acetate
123513	3	Isoamyl alcohol
110190	3	Isobutyl acetate (2-methylpropyl acetate)
78831	3	Isobutyl alcohol
78819	2	Isobutylamine; see Butylamine, all 	
		 isomers
54853	1	Isonicotinic acid hydrazide (Isoniazid)
26952216	3	Isooctyl alcohol
78591	2,3	Isophorone
4098719	3	Isophorone diisocyanate
3778732	1	Isophosphamide
78795	2	Isoprene
42504461	2	Isopropanolamine dodecyl-	
		 benzenesulfonate	9
109591	3	Isopropoxyethanol
114261	3	2-Isopropoxyphenyl N-methylcarbamate
		 (propoxur)
108214	3	Isopropyl acetate
67630	1,3	Isopropyl alcohol
75310	3	Isopropylamine
643287	3	N-Isopropylaniline
98828	3	Isopropylbenzene; see Cumene
108203	3	Isopropyl ether
4016142	3	Isopropyl glycidyl ether	12
120581	1	Isosafrole
115322	2	Kelthane; see 1,1-Bis(p-chlorophenyl)-	
		 2,2,2-trichloroethanol
143500	1,2	Kepone; see Chlordecone
463514	3	Ketene
16752775	4	Lannate; see S-Methyl N-((methyl	
		 carbamoyl)oxy)-thioacetimidate
303344	1	Lasiocarpine
7439921	1,2,3	Lead	3
301042	2	Lead acetate; see Lead compounds
7784409, 7645252,	2,3	Lead arsenate; see Lead compounds
10102480
7758954	2	Lead chloride; see Lead compounds
7758976	3	Lead chromate; see Chromium 	
		 compounds
	1,2,3	Lead compounds
13814965	2	Lead fluoborate; see Lead compounds
7783462	2	Lead fluoride; see Lead compounds
10101630	2	Lead iodide; see Lead compounds
10099748	2	Lead nitrate; see Lead compounds
7446277	1	Lead phosphate; see Lead compounds
7428480, 1072351,	2	Lead stearate; see Lead compounds
52652592
1335326	1	Lead subacetate; see Lead compounds
7446142	2	Lead sulfate; see Lead compounds
1314870	2	Lead sulfide; see Lead compounds
78002	2,3	Lead tetraethyl; see Lead compounds
75741	3	Lead tetramethyl; see Lead compounds
592870	2	Lead thiocyanate; see Lead compounds
5141208	1	Light Green SF

CAS No.	Source	Substance	Footnotes

58899	2,3,4	Lindane and other 
		 Hexachlorocyclohexane isomers
330552	2	Linuron
14307358	2	Lithium chromate; see Chromate	
		 compounds
7580678	3	Lithium hydride
21884446	1	Luteoskyrin
101144	3	MBOCA; see 4,4'-Methylene bis(2-	
		 chloroaniline)
94746	4	MCPA (2-methyl-4-chloro-	
		 phenoxyacetic acid)
101779	3	MDA; see 4,4'-Methylene dianiline
101688	3	MDI; see Methylene 
		 bis(4-phenylisocyanate)
68006837	1	MeA-a-C (2-Amino-3-methyl-9H-	
		 pyrido [2,3-b]indole)
78933	3	MEK; see 2-Butanone
101144	1	MOCA; see 4,4'-Methylene 
		 bis(2-chloroaniline)
	1	MOPP
7439954	2	Magnesium
1309484	3	Magnesium oxide	3
121755	2,3	Malathion
110167	2	Maleic acid
108316	2,3	Maleic anhydride
7439965	2,3	Manganese	3
	3	Manganese compounds
12079651	3	Manganese, cyclopentadienyl-
		  tricarbonyl
1317537	3	Manganese tetroxide; see
		 Manganese compounds
551746	1	Mannomustine
71589	1	Medroxyprogesterone acetate
148823	1	Melphalan
2032657	2	Mercaptodimethur
592041	2	Mercuric cyanide; see Mercury 
		 and mercury compounds
10045940	2	Mercuric nitrate; see Mercury 
		 and mercury compounds
7783359	2	Mercuric sulfate; see Mercury 
		 and mercury compounds
592858	2	Mercuric thiocyanate; see Mercury 
		 and mercury compounds
7782867	2	Mercurous nitrate; see Mercury 
		 and mercury compounds
	2,3,4	Mercury and mercury compounds
531760	1	Merphalan
108678	3	Mesitylene; see Trimethylbenzene 
		 (all isomers)
141797	3	Mesityl oxide
72333	1	Mestranol
2032657	2	Mesurol; see Mercaptodimethur
79414	3	Methacrylic acid
74931	2,3	Methanethiol; see Methyl mercaptan
67561	3	Methanol; see Methyl alcohol
2032657	2	Methiocarb; see Mercaptodimethur
16752775	3,4	Methomyl; see 5-Methyl 
		 N-[(methylcarbamoyl)oxy]-
		 thioacetanide
298817	1	Methoxsalen (with ultraviolet therapy)
72435	2,3	Methoxychlor
109864	3	2-Methoxyethanol; see Ethylene 
		 glycol monomethyl ether
110496	3	2-Methoxyethyl acetate; see Ethylene 
		 glycol monomethyl ether acetate
150765	3	4-Methoxyphenol
484208		5-Methoxypsoralen
298817	1	8-Methoxypsoralen; see Methoxsalen
79209	3	Methyl acetate
74997	3	Methyl acetylene
	3	Methyl acetylene-propadiene mixture
123739	3	beta-Methylacrolein; see 
		 Crotonaldehyde
96333	3	Methyl acrylate
126987	3	alpha-Methylacrylonitrile
109875	3	Methylal
67561	3	Methyl alcohol	30
74895	2,3	Methylamine
108112	3	Methyl amyl alcohol; see 
		 Methyl isobutyl carbinol
110430	3	Methyl n-amyl ketone
	1	5-Methylangelicin
100618	3	N-Methylaniline
95534	1,3	o-Methylaniline

CAS No.	Source	Substance	Footnotes

75558	1,3	2-Methylaziridine
590965	1	Methylazoxymethanol
592621	1	Methylazoxymethyl acetate
74839	1,2,3,4	Methyl bromide
78795	2	2-Methyl-1,3-butadiene; see Isoprene
123513	3	3-Methylbutanol; see Isoamyl alcohol
123922	3	3-Methylbutyl acetate; see 
		 Amyl acetate, all isomers
591786	3	Methyl n-butyl ketone
13909096	1	Methyl-CCNU; see 
		 1-(2-Chloroethyl)-3-(4-
		 methylcyclohexyl)-1-nitrosourea
109864	5	Methyl CellosolveÒ; see 
		 Ethylene glycol monomethyl ether
74873	2,3	Methyl chloride
71556	2,3	Methyl chloroform
107302	1,3	Methyl chloromethyl ether	31
3351324	1	2-Methylchrysene
3351313	1	3-Methylchrysene
3351302	1	4-Methylchrysene
3697243	1	5-Methylchrysene
1705857	1	6-Methylchrysene
75058	3	Methyl cyanide; see Acetonitrile
137053	3	Methyl 2-cyanoacrylate
108872	3	Methylcyclohexane
1331233, 591231,	3	Methylcyclohexanol, all isomers
583595, 25639423
583608	3	o-Methylcyclohexanone
12108133	3	2-Methylcyclopentadienyl 
		 manganese tricarbonyl

8022002	3	Methyl demeton
534521	2,3	2-Methyl-4,6-dinitrophenol;
		 see 4,6-Dinitro-O-cresol
99809	1	N-Methyl-N,4-Dinitrosoaniline
75092	1,2,3,5	Methylene chloride
101144	1,3	4,4'-Methylene bis(2-chloroaniline)
5124301	3	Methylene bis(4-cyclohexylisocyanate);
		 see Dicyclohexylmethane-
		 4,4'-diisocyanate
101611	1	4,4'-Methylene 
		 bis(N,N-dimethyl)benzenamine
838880	1	4,4'-Methylene  bis(2-methylaniline)
101688	3	Methylenebis(4-phenyl isocyanate)
101779	1,3	4,4'-Methylenedianiline
13552448		4,4'-Methylenedianiline 
		 dihydrochloride
78933	3	Methyl ethyl ketone; see 2-Butanone
1338234	3	Methyl ethyl ketone peroxide
33543316	1	2-Methylfluoranthene
107313	3	Methyl formate
541855	3	5-Methyl-3-heptanone; see 
		 Ethyl sec-amyl ketone
60344	3	Methyl hydrazine
74884	1,3	Methyl iodide
110123	3	Methyl isoamyl ketone
108112	3	Methyl isobutyl carbinol
108101	3	Methyl isobutyl ketone
624839	3	Methyl isocyanate
563804	3	Methyl isopropyl ketone
74931	2,3	Methyl mercaptan
80626	2,3	Methyl methacrylate
66273	1	Methyl methanesulfonate
16752775	3,4	S-Methyl N-[(methylcarbamoyl)oxy]-
		  thioacetamidate
		  (Methomyl)
80626	2,3	Methyl 2-methyl-2-propenoate; 
		 see Methyl methacrylate
129157	1	2-Methyl-1-nitroanthraquinone
70257	1	N-Methyl-N'-nitro-N-nitroso-
		  guanidine
684935	1	N-Methyl-N-Nitrosourea; see 
		 N-Nitroso-N-methylurea
615532	1	N-Methyl-N-Nitrosourethane; 
		 see N-Nitroso-N-methylurethane
298000	2,3,4	Methyl parathion
108112	3	4-Methyl-2-pentanol; see 
		 Methyl isobutyl carbinol
141797	3	4-Methyl-3-pentene-2-one; 
		 see Mesityl oxide
108849	3	4-Methyl-2-pentyl acetate; see 
		 sec-Hexyl acetate
98839	3	1-Methyl-l-phenylethene; see 
		 alpha Methylstyrene

CAS No.	Source	Substance	Footnotes

78831	3	2-Methylpropanol; see Isobutyl alcohol
110190	3	2-Methylpropyl acetate; see 
		 Isobutyl acetate
107879	3	Methyl propyl ketone; see 2-Pentanone
54115	3	1-Methyl-2-(3-pyridyl) 
		 pyrrolidine; see Nicotine
681845	3	Methyl silicate
98839	3	alpha-Methylstyrene
77781	3	Methyl sulfate; see Dimethyl sulfate
58184	1	Methyl testosterone
56042	1	Methylthiouracil
484208	1	5-Methyoxypsoralen
443481	1	Metronidazole
7786347	2,3,4	Mevinphos; see 
		 alpha-2-Carbomethoxy-1-
		 methylvinyl dimethyl phosphate
315184	2	Mexacarbate
12001262	3	Mica	19
	3	Mineral wool fiber
2385855	1,2	Mirex
50077	1	Mitomycin C
13194484	4	Mocap; see O-Ethyl S,S 
		 dipropyl phosphorodithioate
2212671	4	Molinate
7439987	2,3	Molybdenum	3
	3	Molybdenum compounds	20
10265926	4	Monitor; see O,S-Dimethyl 
		 phosphoramidothioate
108907	2,3	Monochlorobenzene; see 
		 Chlorinated benzenes
315220	1	Monocrotaline
6923224	3,4	Monocrotophos; see 3-
		 (Dimethoxyphosphinyloxy)-N-
		 methyl-cis-crotonamide
75047	2	Monoethylamine; see Ethylamine
74895	2	Monomethylamine; see 
		 Methylamine
100618	3	Monomethylaniline; see 
		 N-Methylaniline
60344	3	Monomethyl hydrazine; see 
		 Methyl hydrazine
150685	1,2	Monuron
140410	2	Monuron-TCA
110918	3	Morpholine
139913	1	5-(Morpholinomethyl)-3-
		 [(5-nitrofurfurylidene)-amino]
		 -2-oxazolidinone
7647010	2	Muriatic acid; see Hydrogen chloride
505602	1	Mustard Gas
25551284	3	NDI; see Naphthalene diisocyanate
139139	2	NTA; see Nitrilotriacetic acid
3771195	1	Nafenopin
300765	3	Naled; see O,O-Dimethyl O-
		 (1,2-dibromo-2,2 dichloroethyl) 
		 phosphate
8030317	3	Naphtha, coal tar
91203	2,3	Naphthalene
2243621	1	1,5-Naphthalenediamine
25551284	3	Napthalene diisocyanate
1338245	2	Naphthenic acid
134327	3	1-Naphthylamine; see 
		 alpha-Naphthylamine
91598	1	2-Naphthylamine; see 
		 beta-Naphthylamine
134327	3	alpha-Naphthylamine
91598	1,3	beta-Naphthylamine	31
63252	3	1-Naphthyl N-methylcarbamate; 
		 see Carbaryl
86884	3	1-(1-Naphthyl)-2-thiourea
22224926	4	Nemacur; see Ethyl 3-methyl-
		 4-(methylthio) phenyl 
		 (1-methyl ethyl) phosphoramidate
563122	2	Nialate; see Ethion
7440020	1,2,3	Nickel	3
15699180	2	Nickel ammonium sulfate; 
		 see Nickel compounds
13463393	3	Nickel carbonyl; see Nickel compounds
37211055	2	Nickel chloride; see Nickel compounds
7718549	1,2,3	Nickel compounds
12054487	2	Nickel hydroxide; see Nickel compounds
14216752	2	Nickel nitrate; see Nickel compounds
12035722	1	Nickel subsulphide; see 
		 Nickel compounds
778614	2	Nickel sulfate; see Nickel compounds
54115	3,4	Nicotine

CAS No.	Source	Substance	Footnotes

56382	2	Niran; see Parathion
61574	1	Niridazole
139946	1	Nithiazide
1929824	3	Nitrapyrin; see 2-Chloro-
		 6-(trichloromethyl) pyridine
7697372	2,3	Nitric acid
10102439	3	Nitric oxide
139139	2	Nitrilotriacetic acid
602879	1	5-Nitroacenaphthene
100016	3	p-Nitroaniline
99592	1	5-Nitro-o-anisidine
98953	2,3	Nitrobenzene
100005	3	p-Nitrochlorobenzene
7496028	1	6-Nitrochrysene
92933	3	4-Nitrodiphenyl	31
79243	3	Nitroethane
1836755	1	Nitrofen (technical grade); see 
		 2,4-Dichlorphenyl p-nitrophenyl ether
607578	1	2-Nitrofluorene
59870	1	Nitrofurazone
555840	1	1-[(5-Nitrofurfurylidene)-amino]-2-
		 imidazolidinone
531828	1	N-4-[(5-Nitro-2-furyl)- 2-thiazolyl]
		  acetamide
10102440	2,3	Nitrogen dioxide
51752, 55867	1	Nitrogen mustard and its hydrochloride
302705, 126852	1	Nitrogen mustard N-oxide and its
		  hydrochloride
10102440	2,3	Nitrogen tetroxide; see Nitrogen dioxide
7783542	3	Nitrogen trifluoride
55630	3	Ntroglycerin
75525	3	Nitromethane
25154556, 554847,	2	Nitrophenols, all isomers
88755, 100027
79469	1,3	2-Nitropropane; see Nitropropanes
108032, 794691	3	Nitropropanes
57835924	1	4-Nitropyrene
5522430	1	1-Nitropyrene
	2	Nitrosamines
1133648	1	N'-Nitrosoanabasine
924163	1	N-Nitroso-di-n-butylamine
1116547	1	N-Nitrosodiethanolamine
55185	1	N-Nitrosodiethylamine
62759	1,2,3	N-Nitrosodimethylamine
86306	1,2	N-Nitrosodiphenylamine
621647	1,2	N-Nitroso-di-n-propylamine
759739	1	N-Nitroso-N-ethylurea
60153493	1	3-(N-Nitrosomethylamino)propionitrile
64091914	1	4-(N-Nitrosomethylamino)-1-
		 (3-pyridyl)-1-butanone (NNK)
10595956	1	N-Nitrosomethylethylamine
684935	1	N-Nitroso-N-methylurea
615532	1	N-Nitroso-N-methylurethane
4549400	1	N-Nitrosomethylvinylamine
59892	1	N-Nitrosomorpholine
16543558	1	N-Nitrosonornicotine
100754	1	N-Nitrosopiperidine
930552	1	N-Nitrosopyrrolidine
13256229	1	N-Nitrososarcosine
1321126, 88722,	2,3	Nitrotoluenes
99081, 99990
76062	3	Nitrotrichloromethane; see 
		 Chloropicrin
10024972	3	Nitrous oxide
111842	3	Nonane
68224	1	Norethisterone
51989	1	Norethisterone acetate
2698411	3	OCBM; see 
		 O-Chlorobenzylidine malonitrile
152169	4	OMPA; see Schradan
303479	1	Ochratoxin A
2234131	2,3	Octachloronaphthalene
57749	3	1,2,4,5,6,7,8,8-Octachloro
		 3a,4,7,7a,-tetrahydro-4,7-
		 methanoindane; see Chlordane
111659	3	Octane
50282	1	Oestradiol-17B
22966796	1	Oestradiol mustard
	1	Oestrogens, steroidal
	1	Oestrogens, nonsteroidal
53167	1	Oestrone
	1,2,3	Oil mist, particulate	21

CAS No.	Source	Substance	Footnotes

2646175	1	Oil orange SS
	1	Oral contraceptives, certain 
	 	 Oestrogen-progestin combinations

20816120	3	Osmium tetroxide
144627	3	Oxalic acid
604751	1	Oxazepam
301122	4	Oxydemetonmethyl
7783417	3	Oxygen difluoride
10028156	3	Ozone	22
	1,2,3	PCB; see Polychlorobiphenyls
12674112	2	PCB-1016; see Polychlorobiphenyls
11104282	2	PCB-1221; see Polychlorobiphenyls
11141165	2	PCB-1232; see Polychlorobiphenyls
53469219	2	PCB-1242; see Polychlorobiphenyls
12672296	2	PCB-1248; see Polychlorobiphenyls
11097691	2	PCB-1254; see Polychlorobiphenyls
11096825	2	PCB-1260; see Polychlorobiphenyls
82688	2	PCNB; see Quintozene 
		 (Pentachloronitrobenzene)
87865	2,3	PCP; see Pentachlorophenol
6423434	3	PGDN; see Propylene glycol 
		 dinitrate
122601	3	PGE; see Phenyl glycidyl ether
7440053	2	Palladium
794394	1	Panfuran S; see 
		 Dihydroxymethylfuratrizine
8002742	3	Paraffin wax fume
30525894	2	Paraformaldehyde
2074502, 1910425	3,4	Paraquat
10048325	1	Parasorbic acid
56382	2,3,4	Parathion
90653	1	Penicillic acid
19624227	3	Pentaborane
76017	1	Pentachloroethane
1321648	2,3	Pentachloronaphthalene
87865	2,3	Pentachlorophenol
109660	3	Pentane
107879	3	2-Pentanone
77474	2	Perchlorocyclopentadiene; see 
		 Hexachlorocyclo-pentadiene
67721	3	Perchloroethane; see 
		 Hexachloroethane
127184	1,2,3,5	Perchloroethylene
594423	3	Perchloromethyl mercaptan
7616946	3	Perchloryl fluoride
72560	2	Perthane
60102376	1	Petasitenine
62442	1	Phenacetin
532274	3	Phenacyl chloride; see 
		 alpha-Chloroacetophenone
85018	2	Phenanthrene
136403, 94780	1	Phenazopyridine and its hydrochloride
156514	1	Phenelzine sulphate
103037	1	Phenicarbazide
50066	1	Phenobarbital
108952	2,3	Phenol
	2	Phenolic compounds (4AAP)
	2	Phenols
92842	3	Phenothiazine
59861, 63923	1	Phenoxybenzamine and its hydrochloride
122394	3	n-Phenylaniline; see Diphenylamine
92524	3	Phenylbenzene; see Biphenyl
100470	2	Phenyl cyanide; see Benzonitrile
106503	3	p-Phenylenediamine
100414	2	Phenylethane; see Ethylbenzene
101848	3	Phenyl ether, vapor	14
100425	2,3	Phenylethylene; see Styrene, monomer
122601	1,3	Phenyl glycidyl ether	12
100630	3	Phenylhydrazine
108985	3	Phenyl mercaptan
135886	1	N-Phenyl-2-naphthylamine
132274	1	o-Phenylphenate, sodium; see 
		 Sodium ortho-phenylphenate
638211	3	Phenylphosphine
57410	1	Phenytoin; see Diphenylhydantoin
298022	3,4	Phorate
4104144	4	Phosacetim
7786347	2,4	Phosdrin; see alpha-2-
		 Carbomethoxy-1-methylvinyl 
		 dimethyl phosphate
75445	2,3	Phosgene
13171216	4	Phosphamidon
7803512	3	Phosphine
7664382	2,3	Phosphoric acid

CAS No.	Source	Substance	Footnotes

563122	2	Phosphorodithioate; see Ethion
7723140	2,3	Phosphorus
10025873	2,3	Phosphorus oxychloride
10026138	3	Phosphorus pentachloride

1314803	2,3	Phosphorus pentasulfide
7719122	2,3	Phosphorus trichloride
121755	2	Phosphothion; see Malathion
	1,2,3	Phthalate esters	36
85449	3	Phthalic anhydride
626175	3	m-Phthalodinitrile
1918021	1,3,4	Picloram
88891	3	Picric acid
83261	3	Pindone; see 2-Pivalyl-1,3-indandione
142643	3	Piperazine dihydrochloride
83261	3	2-Pivalyl-1,3-indandione (pindone)
744064	2,3	Platinum, metal
	3	Platinum, soluble salts
	1	Polybrominated biphenyls
1336363, 53449219,	1,2,3	Polyhlorobiphenyls
11097691	2	Polychlorinated biphenyls; see 
		 Polychlorobiphenyls
	2	Polycyclic Organic Matter; see 
		 Polynuclear aromatic hydrocarbons	
	1,2	Polynuclear aromatic hydrocarbons	23
	3	Polytetrafluoroethylene, decomposition
		  products
9003398	1	Polyvinyl pyrrolidone
3761533	1	Ponceau MX
3564098	1	Ponceau 3R
7440097	2	Potassium
7784410	2	Potassium arsenate; see 
		 Arsenic and arsenic compounds
10124502	2	Potassium arsenite; see 
		 Arsenic and arsenic compounds
7778509	2	Potassium bichromate; see 
		 Chromuim compounds
23746341	1	Potassium bis(2-hydroxyethyl)
		 dithiocarbamate
7758012	1	Potassium bromate
7789006	2	Potassium chromate; see 
		 Chromium compounds
151508	2	Potassium cyanide; see 
		 Cyanides, inorganic salts
1310583	2,3	Potassium hydroxide
7722647	2	Potassium permanganate
366701	1	Procarbazine hydrochloride
57830	1	Progesterone
	1	Progestins
51025	1	Pronetalol hydrochloride
120714	1	1,3-Propane sultone
709988	4	Propanil
2312358	2,4	Propargite
107197	3	Propargyl alcohol
122429	2	Propham
57578	1,3	beta-Propiolactone
79094	2,3	Propionic acid
123626	2	Propionic anhydride
114261	2,3	Propoxur; see 2-Isopropoxyphenyl 
		 N-methylcarbamate
109604	3	n-Propyl acetate
71238	3	n-Propyl alcohol
627123	1	n-Propyl carbamate
115071	3	Propylene
78875	2,3	Propylene dichloride; see 
		 Dichloropropanes
6423434	3	Propylene glycol dinitrate
107982	3	Propylene glycol monomethyl ether
75558	3	Propyleneimine; see 2-Methylaziridine
75569	1,2,3	Propylene oxide	12
627134	3	n-Propyl nitrate
51525	1	Propylthiouracil
74997	3	Propyne; see Methylacetylene
107197	3	2-Propyn-l-ol; see Propargyl alcohol
87625625	1	Ptaquiloside
129000	2	Pyrene
121299, 121211	2	Pyrethrins
8003347	3	Pyrethrum
110861	3	Pyridine
58140	1	Pyrimethamine
120809	3	Pyrocatechol; see Catechol
98011	2	Pyromucic aldehyde; see Furfural

117359	1	Quercetin
91225	2	Quinoline

CAS No.	Source	Substance	Footnotes

106514	3	Quinone
82688	1	Quintozene (Pentachloronitrobenzene)

121824	3	RDX; see 
		 Cyclotrimethylenetrinitramine
	2	Radionuclides
13982633	2	Radium 226
10043922	1	Radon
86884	3	Ratrack; see l-(1-Naphthyl)-2-thiourea
50555	1	Reserpine
108463	2,3	Resorcinol
480546	1	Retrorsine
989388	1	Rhodamine 6G
81889	1	Rhodamine B
7440166	3	Rhodium	3
	3	Rhodium compounds
36791045	5	Ribavirin
13292461	1	Rifampicin
299843	2,3	Ronnel
	3	Rosin core solder, pyrolysis products	24
83794	3	Rotenone, commercial
	3	Rubber solvent (naphtha)

8047674	1	Saccharated iron oxide
94597	1	Safrole
152169	4	Schradan
	2,3	Selenium and selenium compounds
7783791	3	Selenium hexafluoride; see 
		 Selenium and selenium compounds
7446084	2	Selenium oxide; see Selenium 
		 and selenium compounds
563417	1	Semicarbazide hydrochloride
2318185	1	Senkirkine
136787	3	Sesone; see Sodium 2-
		 (2,4-dichlorophenoxy) ethyl sulfate
63252	2,4	Sevin; see Carbaryl
68308349	1	Shale-oils
1982496	2	Siduron
7803625	3	Silane
7631869	1,3	Silica	25, 35
7803625	3	Silicon tetrahydride; see Silane
7440224	2,3	Silver	3
	2,3	Silver compounds	26
7761888	2	Silver nitrate; see Silver compounds
93721	2,4	Silvex; see 2,4,5 TP acid
	3	Soapstone	19
7440235	2	Sodium
7631892	2	Sodium arsenate; see 
		 Arsenic and arsenic compounds
7784465	2	Sodium arsenite; see 
		 Arsenic and arsenic compounds
26628228	3	Sodium azide
10588019	2	Sodium bichromate; see 
		 Chromium compounds
1333831	2	Sodium bifluoride; see 
		 Fluoride and fluoride compounds
7631905	2,3	Sodium bisulfite
7775113	2	Sodium chromate; see 
		 Chromium compounds
143339	2,4	Sodium cyanide; see 
		 Cyanides, inorganic salts
136787	3	Sodium 2-(2,4-dichlorophenoxy)-ethyl
		  sulfate
25155300	2	Sodium dodecylbenzene-sulfonate	9
7681494	2	Sodium fluoride; see 
		 Fluoride and fluoride compounds
62748	3,4	Sodium fluoroacetate
16721805	2	Sodium hydrosulfide
1310732	2,3	Sodium hydroxide
7681529	2	Sodium hypochlorite
7681574	3	Sodium metabisulfite
124414	2	Sodium methylate
7632000	2	Sodium nitrite
132274	1	Sodium ortho-phenylphenate
7558794, 10039324,	2	Sodium phosphate, dibasic
10140655
778544, 7601549,	2	Sodium phosphate, tribasic
10101890, 10361894,
7758294, 10124568
10102188	2	Sodium selenite; see 
		 Selenium and selenium compounds
	1	Soots, tars, and certain mineral oils
52017	1	Spironolactone
7745893	4	Starlicide; see 3-Chloro-p-
		 toluidine hydrochloride

CAS No.	Source	Substance	Footnotes

10048132	1	Sterigmatocystin
7803523	3	Stibine; see Antimony compounds
8052413	3	Stoddard solvent

18883664	1	Streptozotocin
7440246	2	Strontium
7789062	2	Strontium chromate; see 
		 Chromium compounds
57249	2,3,4	Strychnine
100425	1,2,3	Styrene, monomer
96093	1	Styrene oxide
1395217, 9014011	3	Subtilisins (proteolytic enzymes)
108305	1	Succinic anhydride
842079	1	Sudan I
3118976	1	Sudan II
95067	1	Sulfallate
723466	1	Sulfamethoxazole
3689245	3,4	Sulfotepp; see Tetraethyl 
		 dithiopyrophosphate
7704349	2	Sulfur
10025679	2	Sulfur chloride; see Sulfur 
		 monochloride
7446095	3	Sulfur dioxide
2551624	3	Sulfur hexafluoride
7664939	2,3	Sulfuric acid
7790945	2	Sulfuric chlorohydrin; see 
		 Chlorosulfonic acid
10025679	2,3	Sulfur monochloride
5714227	3	Sulfur pentafluoride
7783600	3	Sulfur tetrafluoride
2699798	3	Sulfuryl fluoride
35400432	3	Sulprofos
950378	4	Surpracide; see 
		 O,O-Dimethyl phosphorodithioate, 
		 S-ether with 
		 4-(mercaptomethyl)-2-methoxy-
		 O2-1,3,4-thiadiazolin-5-one
1918189	2	Swep
8065483	4	Systox; see Demeton

93765	2,3,4	2,4,5-T; 2,4,5-Trichloro-phenoxyacetic
		  acid
6369966, 6369977,	2	2,4,5-T amines
1319728, 3813147
2545597, 93798,	2	2,4,5-T esters;
61792072, 1928478,	 	 2,4,5-trichlorophenoxyacetic acid
25168154	 	 esters
13560991	2	2,4,5-T salt; acetic acid, 2,4,5-
		  trichlorophenoxy- sodium salt
93721	2,4	2,4,5-TP acid; propanoic acid,
		  2-(2,4,5-trichlorophenoxy)-
32534955	2	2,4,5-TP ester; propanoic acid,
		  2-(2,4,5-trichlorophenoxy)-, isooctyl
		  ester)
1746016	1,2	TCDD; see 2,3,7,8-
		 Tetrachlorodibenzo-p-dioxin
78308	3	TCP; see Tri-o-creysl phosphate
72548	2,4	TDE
584849	3	TDI; see Tolulene-2,4-diisocyanate
3689245	3	TEDP; see Tetraethyl 
		 dithionopyrophosphate
107493	2,3,4	TEPP; see Tetraethyl pyrophosphate
109999	3	THF; see Tetrahydrofuran
118967	3	TNT; see 2,4,6-Trinitrotoluene
115866	3	TPP; see Triphenyl phosphate
14807966	1,3	Talc	19
	1	Tannic acid and tannins
7440257	2,3	Tantalum	3
1314610	3	Tantalum oxide
10028167	3	Tellurium	3
	3	Tellurium compounds
7783804	3	Tellurium hexafluoride; see 
		 Tellurium compounds
3383968	3	Temephos; see Tetramethyl 
		 O, O'-thio-di-p-phenylene 
		 phosphorothiate
8001501	1	Terpene polychlorinates (Strobane6Ò)
	3	Terphenyls
58220	1	Testosterone (and its esters)
315377	1	Testosterone enanthate
79276	3	1,1,2,2-Tetrabromoethane; see 
		 Acetylene tetrabromide
1746016	1,2	2,3,7,8-Tetrachlorodibenzo-p-dioxin
76119	3	1,1,1,2-Tetrachloro-2, 2-difluoroethane

CAS No.	Source	Substance	Footnotes

72548	2	Tetrachlorodiphenylethane; see TDE
603206	1	1,1,1,2-Tetrachloroethane

76120	3	1,1,2,2-Tetrachloro-1,2- difluoroethane
	     	 (FC-112)

79345	1,2,3	1,1,2,2-Tetrachloroethane; see 
		 Acetylene tetrachloride
127184	2,3,5	Tetrachloroethylene; see 
		 Perchloroethylene
56235	2,3	Tetrachloromethane; see 
		 Carbon tetrachloride
1335882	2,3	Tetrachloronaphthalene
961115	1	Tetrachlorvinphos
3689245	3,4	Tetraethyl dithiopyrophosphate
		  (Sulfotepp)
78002	2	Tetraethyl lead; see Lead compounds
107493	2,3,4	Tetraethyl pyrophosphate
78104	3	Tetraethyl silicate; see Ethyl silicate
109999	3	Tetrahydrofuran
110918	3	Tetrahydro-4H-1-4-oxazine; 
		 see Morpholine
75741	3	Tetramethyl lead; see Lead 
		 compounds
681845	3	Tetramethyl silicate; see 
		 Methyl silicate
3383968	3	Tetramethyl 0,0'-thio-di-p-phenylene
		  phosphorothioate (temephos)
3333526	3	Tetramethyl succinonitrile
		  (decomposition product of 2,2'
		 -azobisisobutyronitrile)
137268	3	Tetramethyl thiuran disulfide; see 
		 Bis(dimethylthiocarbamoyl) 
		 disulfide
509148	3	Tetranitromethane
7722885	3	Tetra sodium pyrophosphate
479458	3	Tetryl
7440280	2	Thallium	3
	2,3	Thallium compounds
10031591, 7446186	2	Thallium sulfate; see 
		 Thallium compounds
298022	4	Thimet; see Phorate
62555	1	Thioacetamide
28249776	4	Thiobencarb
96695	3	4,4'-Thiobis(6-tert-butyl-m-cresol)
115297	2	Thiodan; see Endosulfan
139651	1	4,4'-Thiodianiline
68111	3	Thioglycolic acid
7719097	3	Thionyl chloride
52244	1	Thiotepa; see Tris(1-aziridinyl) 
		 phosphine sulphide
141902	1	Thiouracil
62566	1	Thiourea
137268	3	Thiram; see 
		 Bis(dimethylthiocarbamyl) disulfide
7440315	2,3	Tin	3
	3	Tin compounds
7440326	2	Titanium
1836755	4	Tok; see 2,4-Dichlorophenyl-p-
		 nitrophenyl ether
119937	1	o-Tolidine; see 3,3'-
		 Dimethylbenzidine
108883	2,3	Toluene
584849	1,3	Toluene-2, 4-diisocyanate
26471625, 91087,	1	Toluene diisocyanates
26471625, 584849
108441	3	m-Toluidine
106490	3	p-Toluidine
95534	3	o-Toluidine; see o-Methylaniline
636215	1	ortho-Toluidine; hydrochloride
108883	2,3	Toluol; see Toluene
10311849	4	Torak; see Dialifor
8001352	1,2,3,4	Toxaphene
14567738	3	Tremolite
299752	1	Treosulfan
299752	1	Treosulphan; see Treosulfan
75252	3	Tribomomethane; see Bromoform
126738	3	Tributyl phosphate
78488	4	S,S,S-Tributyl phosphoro-trithioate
150505	4	S,S,S-Tributyl phosphorotrithioite
	4	Tributyltin, coatings containing
52686	2	Trichlorfon
76039	3	Trichloroacetic acid
120821	2,3	1,2,4-Trichlorobenzene; see 
		 Chlorinated benzenes

CAS No.	Source	Substance	Footnotes

50293	3	1,1,1-Trichloro-2-2,bis
		 (p-chlorophenyl) ethane; see DDT
72435	3	1,1,1-Trichloro-2,2-bis
		 (p-methoxphenyl)-ethane; 
		 see Methoxychlor
79005	1,2,3	1,1,2-Trichloroethane

71556	2,3	1,1,1-Trichloroethane; see 
		 Methyl chloroform
79016	3	Trichloroethene; see Trichloroethylene
79016	1,2,3	Trichloroethylene
75694	3	Trichlorofluoromethane; see 
		 Fluorotrichloromethane
67663	2,3	Trichloromethane; see Chloroform
594423	3	Trichloromethanethiol; see 
		 Perchloromethyl mercaptan
1321659	2,3	Trichloronaphthalene
76062	3	Trichloronitromethane; see Chloropicrin
88062	2	2,4,6-Trichlorophenol; see 
		 Trichlorophenols
25167822,	1,2	Trichlorophenols
15950660, 933788,
933755, 95954,
609198, 88062
136254	2	2-(2,4,5-Trichlorophenoxy) 
		 ethyl 2,2-dichloropropionate (Erbon)
96184	3	1,2,3-Trichloropropane
76131	2,3	   1,1,2-Trichloro-1,2, 2-trifluoroethane
		   (FC-113)
78308	3	Tri-o-cresyl phosphate
13121705	3	Tricyclohexyltin hydroxide; see 
		 Tin compounds
27323417	2	Triethanolamine
		  dodecylbenzenesulfonate	9
121448	2,3	Triethylamine
1954285	1	Triethylene glycol diglycidyl ether
75638	3	Triflorobromomethane; see 
		 Bromotrifluoromethane
1582098	1,2	Trifuralin
552307	3	Trimellitic anhydride
75503	2,3	Trimethylamine
137177	1	2,4,5-Trimethylaniline
	3	 Trimethylbenzene (all isomers)
78591	3	3,5,5-Trimethyl-2-cyclohexene-
		 1-one; see Isophorone
121459	3	Trimethyl phosphite
88891	3	2,4,6-Trinitrophenol; see Picric acid
479458	3	2,4,6-Trinitrophenylmethylnitramine;
		 see Tetryl
118967	3	2,4,6-Trinitrotoluene
78308	3	Tri-ortho-cresyl phosphate; 
		 Tri-o-cresyl phosphate
603349	3	Triphenylamine
115866	3	Triphenyl phosphate
68768	1	Tris(aziridinyl)-para-benzoquinone;
		  (Triaziquone)
52244	1	Tris(1-aziridinyl)phosphine sulfide
51183	1	2,4,6-Tris(1-aziridinyl)-s-triazine
38571732	1	1,2,3-Tris(chloromethoxy)propane
126727	1	Tris(2,3-dibromopropyl) phosphate
786196	4	Trithion; see Carbophenothion
62450060	1	Trp-P-1 (Tryptophan-P-1)
62450071	1	Trp-P2 (Tryptophan-P-2)
72571	1	Trypan blue (commercial grade)
7440337	2,3	Tungsten, Tungsten compounds	3,34
8006642	3	Turpentine
66751	1	Uracil mustard
7440611	2,3	Uranium	3,34
	2,3	Uranium compounds
541093	2	Uranyl acetate; see Uranium compounds
10102064	2	Uranyl nitrate; see Uranium compounds
51796	1	Urethane
8030306	3	VM & P (Varnish Makers & Painters) 	
		 naphtha
110623	3	Valeraldehyde
7440622	2	Vanadium
1314621	2,3	Vanadium pentoxide	3
27774136	2	Vanadyl sulfate
62737	2	Vapona; see Dichlorvos
108054	2,3	Vinyl acetate
100425	2	Vinylbenzene; see Styrene, monomer
593602	1,3	Vinyl bromide
75014	1,2,3	Vinyl chloride
107131	2,3	Vinyl cyanide; see Acrylonitrile
100403	1	4-Vinylcyclohexene

CAS No.	Source	Substance	Footnotes

106876	1,3	Vinyl cyclohexene dioxide
106876	1	4-Vinyl-1-cyclohexene diepoxide; 
		 see Vinyl cyclohexene dioxide
75354	1,2,3	Vinylidene chloride
25013154	3	Vinyltoluene
79005	1	Vinyl trichloride; see 1,1,2-
		 Trichloroethane

81812	3	Warfarin
13983170	1	Wollastonite
1330207, 95476,	2,3	Xylene, all isomers
106423, 108383
1477550	3	m-Xylene-a',a'-diamine
1300716	2	Xylenol
1300738	3	Xylidine
95476	2,3	Xylol; see Xylene, all isomers
131793	1	Yellow OB
	3	Yttrium compounds
17924924	1	Zearalenone
7440666	2	Zinc	3
557346	2	Zinc acetate; see Zinc compounds
14639975, 14639986,	2	Zinc ammonium chloride; see Zinc
52628258			 compounds
1332076	2	Zinc borate; see Zinc compounds
7699458	2	Zinc bromide; see Zinc compounds
3486359	2	Zinc carbonate; see Zinc compounds
7646857	2,3	Zinc chloride; see Zinc compounds
1350659	3	Zinc chromate; see Chromium 
		 compounds
	2,3,4	Zinc compounds	28
557211	2	Zinc cyanide; see Cyanides, 
		 inorganic salts
7783495	2	Zinc fluoride; see Zinc compounds
557415	2	Zinc formate; see Zinc compounds
7779864	2	Zinc hydrosulfite; see Zinc compounds
7779886	2	Zinc Nitrate; see Zinc compounds
1314132	3	Zinc oxide fume; see Zinc compounds
127822	2	Zinc phenolsulfonate; see Zinc 
		 compounds
1314847	2,4	Zinc phosphide; see Zinc compounds
16871719	2	Zinc silicofluoride; see Zinc compounds
7733020	2	Zinc sulfate; see Zinc compounds
12122677			Zineb
7440677	2	Zirconium
7440677	2,3	Zirconium compounds, as Zr
13746899	2	Zirconium nitrate; see Zirconium 
		 compounds
16923958	2	Zirconium potassium fluoride; see 
		 Zirconium compounds
14644612	2	Zirconium sulfate; see
		 Zirconium compounds
10026116	2	Zirconium tetrachloride

FOOTNOTES FOR HAZARDOUS SUBSTANCE LIST

1. Refers to solutions greater than or equal to 10%. Exempt when present in food or beverages, such as vinegar, apple cider, and wine, regardless of concentration.
2. Refers to water-soluble salts only; all other salts are exempt.
3. An MSDS must be provided under the following circumstances:
a) The metal is supplied as a fine powder.
b) The metal is in welding or brazing rods.
c) The metal may be melted with the generation of toxic fume. 
d) Under normal use, toxic dust or fume is likely to be generated by any manufacturing process.
4. Exempt when in bonded form or when antimony compounds cannot be released due to cutting, grinding, heating, etc.
5. Except:
a) Exterior and interior coatings and laminating resins containing encapsulated asbestos fibers within such products.
b) Cold process asphalt roof coatings.
c) Non-friable encapsulated products such as floor tiles.
6. Any liquids; and products that could give rise to asphalt fume under normal conditions are included. Mechanical breakup of hardened asphalt surfaces is exempt. 
7. Exempt when used in foods and feeds as a preservative.
8. Exempt except when present as free crystal/powder.
9. Exempt when in solution.
10. Exempt when in form where exposure to dust cannot occur.
11. Products that could give rise to coal tar pitch volatiles during normal use are included.
12. Exempt when part of a cured epoxy or rubber.
13. Refers to solutions greater than or equal to 25%. Beverage alcohol (as defined by Sections 23004 and 23005 of the California Alcoholic Beverage Control Act) in any concentration is exempt.
14. Exempt except when vapors or particulates are or can be formed due to work practices or procedures.
15. Exempt except when present as a dust.
16. Exempt when used as fuel.
17. Exempt except when inhalable dust and/or particulates are present or are generated through use of the product.
18. Refers to the water-soluble salts only; exempt when mixed in food or animal feed.
19. Exempt except when inhalable dust is present or can be generated through use.
20. Exempt when in mixture, suspension, or where inhalable dust or particles are not present or cannot be formed.
21. Exempt except where mineral oil mists can be generated in the ordinary use of the products, e.g. cutting oils
22. Occupational sources of ozone include, but are not limited to:
a) during oxidizing process of fine organic chemicals production (primarily ozolaic acid);
b) during operations involving high-intensity UV light (plasma torch operations, glass blowing, hot metal operations, photoengraving operations, use of mercury vapor lamps, direct copying machines, projecting equipment);
c) during operations involving high voltage electrical equipment (spectrographic and fluorometric apparatus, electroplating operations, high-volt linear accelerators, and electrostatic precipitators);
d) during operations involving ozonizing process in treatment of water, industrial waste, and sewage; during air purification;
e) during drilling, cutting, and welding operations utilizing laser radiation;
f) during bleaching operations (textiles, pulp, paper, waxes, starch, sugar, Teflon, and synthetic fibers), refining of mineral oils and their derivatives, processing of perfumes, vanillin, and camphor, aging and drying operations (wood, wines, whiskeys, varnishes, and printing inks);
g) during food preserving operations for mold and bacteria control; 
h) during welding operations using inert gas shielded arc welding devices, bare wire arc welding; and 
i) during manufacturing production of ozone.
23. Includes benzanthracenes, benzopyrenes, benzofluoranthrene, chrysenes, dibenzanthracenes, and indenopyrenes.
24. Refers to smoke and fume products given off during soldering.
25. Exempt except when inhalable particulates are present or can be generated.
26. Silver compounds existing in stable emulsions or suspensions, as in photographic film, are exempt.
27. Applicable to cotton fiber for use in industries or operations covered by General Industry Safety Order 5219, Cotton Dust.
28. Exempt when present in motor oils at 2.5% or below. Zinc oxide is exempt except when present as dust or when generated as a fume. Zinc stearate is exempt except when present as dust.
29. Refers to solutions greater than or equal to 4%.
30. Refers to solutions greater than or equal to 3%.
31. Refers to any mixture containing 0.1% or greater of this substance. 
32. Refers to any mixture containing 0.02% or greater inorganic arsenic.
33. Refers to any mixture containing 0.1% or greater EDB.
34. Exempt when encapsulated in a capsule which meets the definition of “Special Form Materials” prescribed in 49 CFR 173.403(z).
35. Applies to silica sand and silica flour, but naturally occurring dirt and sand which has not been increased in silica concentration by beneficiation are exempt. 
36. Except butyl benzyl phthalate.
37. Exempt except when crystalline powder is being manufactured or being used.
38. Fibrous glass is a mechanical irritant. There is no present scientific evidence as to the existence of any other adverse health effect.
39. Except Copper phthalocyanine crudes and pigments.
NOTE

Authority cited: Sections 54, 55 and 6380, Labor Code; and 8 CCR  Section 337. Reference: Sections 6380, 6380.5, 6382 and 6383, Labor Code.
HISTORY

1. New section (including Appendix A) filed 8-25-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Amendment of Hazardous Substances List filed 10-7-82; effective thirtieth day thereafter (Register 82, No. 41)
3. Amendment of Hazardous Substances List and Appendix A filed 5-29-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 24).
4. Editorial correction of Appendix A filed 6-12-85 (Register 85, No. 24).
5. Editorial correction of Appendix A column headings (Register 91, No. 23).
6. Repealer of subsection (b) and Appendix A, subsection relettering, new subsection (b)(3), new FOOTNOTE 39  and amendment of Hazardous Substances List and Note filed 2-16-93; operative 3-18-93 (Register 93, No. 8). 
Article 6. Workers' Compensation Loss Control Consultation Services, Annual Health and Safety Loss Control Plan--Requirements and Procedures
§339.1. Scope and Application.
Note     •     History

This Article applies to all insurers and insureds as defined in section 339.3.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New article 6 and section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New article 6 and section refiled 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.2. Effective Dates and Start-Up Procedures.
Note     •     History

(a) This article shall take effect immediately, except for section 339.4 which shall take effect on April 1, 1994.  
(b) Provisional Certification Periods.
(1) Provisional certification shall be granted by the Division for a period of 120 days upon receipt by the Loss Control Consultation Certification Unit of an application which complies, at a minimum, with the requirements of 339.7(b) and (c)(1) through (3).  
(2) The Division may extend an insurer's provisional certification for an additional period of up to 120 days if the volume of applications received results in the Division's inability to process the insurer's application within the initial 120 day period.
(c) Certification Periods.
(1) The first period of certification shall include the period of provisional certification and shall last for one year unless extended by the Division for purposes of evenly distributing the workload associated with the ongoing processing of applications for recertification.
(2) All subsequent certifications shall last for a period of one year.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of section heading and text 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order including amendment of subsection (a) transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.3. Definitions.
Note     •     History

(a) “Annual Plan” means the insurer's annual health and safety loss control plan.
(b) “Budget” means a description of anticipated expenditures to be incurred in providing loss control consultation services to targeted employers as described by the insurer's annual plan, including the amount of funds allocated, the categories of services to be funded, and the amount of funding budgeted for each category.
(c) “Director” means the Director of the Department of Industrial Relations or an authorized representative.
(d) “Division” means the Division of Occupational Safety and Health.
(e) “Employer” means any insured.
(f) “Insured” means any person or entity other than a person or entity which has received a certificate of consent to self-insure pursuant to Labor Code Section 3700(b), which has secured workers' compensation insurance from an insurer.
(g) “Insurer” means any entity licensed by the California Department of Insurance to write workers' compensation insurance coverage.
(h) “Loss control” means reduction of exposure to workers' compensation losses and control of significant preventable health and safety hazards to workers.
(i) “Loss control consultation services” means assistance in recognizing, evaluating, and controlling significant preventable health and safety hazards and other potential sources of workers' compensation losses.  Loss control consultation services consist of services provided by an insurer only to those employers to which the insurer has extended workers' compensation coverage.
(j) “On site consultation” means observation of an insured's work operations to determine the existence of significant preventable health and safety hazards, including, where appropriate, monitoring of hazardous physical, chemical, and biological agents.
(k) “Significant preventable health and safety hazards” means those hazards which are capable of being controlled by the employer and which have the potential to substantially affect the frequency and severity of workplace injuries and illnesses and workers' compensation losses.
(l) “Targeted employer” means an employer selected by the insurer to receive loss control consultation services, based on the criteria set forth in section 339.11. This term does not include any part of the employer's operations which is outside of California.
NOTE: Where the employer has more than one worksite, “targeted employer” means only those worksites selected by the insurer to receive loss control consultation services based on the criteria set forth in section 339.11
(m) “Workers' compensation insurance” means only that workers' compensation insurance provided under the laws and regulations of the State of California. This term does not include excess reinsurance or any form of homeowner's insurance.
(n) “Workplace survey” means an evaluation of an insured's work operations which can consist of a comprehensive on-site consultation or any other procedure which effectively identifies significant preventable health and safety hazards to workers.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendments 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order including amendment of subsection (l) transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.4. Provision of Loss Control Consultation Services.
Note     •     History

(a) Every insurer issuing or maintaining a workers' compensation insurance policy covering an employer's current or future operations shall maintain or provide loss control consultation services certified by the Division in accordance with this Article.
NOTE: Insurers may elect to provide all or part of their loss control consultation services through another entity, e.g., consultants, insurance groups or health care organizations, to the extent that the services to be provided meet the requirements of this section.  However, such an election shall not alter the insurer's responsibility to maintain certification and to direct and control the provision of all loss control consultation services required by this Article.
(b) At the time the insurance policy is issued, and annually thereafter, the insurer shall provide to each of its insureds a written description of the insurer's loss control consultation services, including a notice stating that the services are available at no additional charge to the insured. The following statement shall be included with the notice: “Workers' compensation insurance policyholders may register comments about the insurer's loss control consultation services by writing to: State of California, Department of Industrial Relations, Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.”
(c) The insurer shall not charge the employer any fee in addition to the insurance premium for the provision of loss control consultation services.
(d) Targeted Employers.
(1) The insurer shall provide loss control consultation services to all targeted employers, which, at a minimum, shall include the following:
(A) Effective evaluation of the employer's operations, including:
1. Comprehensive on-site consultation for each targeted employer identified by the insurer's annual plan;
2. Discussions with management and, with permission of the employer, non-management personnel; and
3. Review with appropriate personnel of relevant records, including, but not limited to, the employer's log and summary of injuries and illnesses maintained pursuant to section 14301 and the employer's section 3203 injury and illness prevention program;
(B) Identification of the factors most related to the losses experienced by the employer, including:
1. First aid and other emergency or post-injury response procedures;
2. Workplace health and safety hazards;
3. Management policy and practices related to loss control;
4. The effectiveness with which company loss control policy is communicated among management personnel and between management and non-management personnel;
5. The effectiveness of training;
6. The extent and nature of worker participation in health and safety promotion efforts;
7. The adequacy of recordkeeping; and
8. The adequacy of the employer's section 3203 injury and illness prevention program.
(C) Formulation of recommended loss control measures, including specification of those critical to reduction of the employer's losses or potential for losses;
(D) A written report detailing the consultation provided, the findings of the consultation, and all loss control measures formulated pursuant to subsection (d)(1)(C); and
(E) Ongoing evaluation of the targeted employer to determine the impact of the consultation on the employer's loss control experience.
(2) The insurer shall maintain records of all loss control consultation services provided to targeted employers for 4 years and shall make those records available to the Division upon request.
(e) Non-targeted Employers.  Loss control consultation services available upon request to non-targeted employers shall, at a minimum, include the following:
(1) A workplace survey, including discussions with management, and, where appropriate, nonmanagement personnel with permission of the employer;
(2) Review of injury records with appropriate personnel; and
(3) Development of a plan to improve the employer's health and safety loss control experience, which shall include, where appropriate, modifications to the employer's section 3203 injury and illness prevention program. 

Exception: An insurer may, but is not required, to provide loss control consultation services to any insured whose place of employment does not pose significant preventable health and safety hazards to workers.  Criteria for determining that a place of employment does not pose significant preventable health and safety hazards must be clearly identified in the annual plan.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 4-1-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsections (a), (b), and (d)  4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.5. Requirements for Certification and Recertification of Loss Control Consultation Services.
Note     •     History

(a) Certification lasts for a period of one year, except as specified by section 339.2. To apply for certification or recertification, an insurer must submit a completed application and all supporting documentation as required by section 339.7.
(b) To qualify for certification and recertification the insurer shall demonstrate that:
(1) The insurer has developed and is prepared to implement an annual plan which meets the requirements of section 339.6; and
(2) The insurer has the capability to deliver effective loss control consultation services meeting the requirements of section 339.4.  Such a demonstration shall include, but not be limited to, each of the following:
(A) Identification of each entity supplying loss control consultation personnel, if consultation services are to be provided by personnel other than employees of the insurer.
(B) A description of the categories, the number in each category, and the individual qualifications, including professional licenses and certification, of the personnel who will be providing loss control consultation services.
(C) A detailed description of the services to be provided by each of the personnel and the types of industrial activities and settings with which their services will be associated, together with an explanation of how these personnel are qualified to address these activities and settings.
(D) An estimate of:
1. The number of on-site consultations the insurer's loss control consultation personnel will provide for the coming certification year, specifying what portion will consist of consultations to targeted employers;
2. The average number of hours to be spent on each on site consultation, not including preparation and travel time; and
3. The number of workplace surveys not consisting of on-site consultation to be provided for the coming certification year, including the average amount of time to be spent per survey.
(c) To maintain certification, the insurer shall notify the Division of any substantial change in the information provided to obtain certification from the Division and shall cooperate with any audit or request for information by the Division to determine the effectiveness of  the loss control consultation services provided by the insurer. 
(d) The Division shall provide written notice to the insurer of any finding of deficiency related to the loss control consultation services audited by the Division, and any corrective actions deemed necessary to retention of the insurer's certification by the Division.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (b) and (c) 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order including amendment of subsection (b)(1) transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.6. Annual Health and Safety Loss Control Plan.
Note     •     History

(a) Every insurer seeking certification or recertification shall submit an annual plan as required by section 339.7(c)(5).
(b) The annual plan shall detail the insurer's program objectives for delivering loss control consultation services to those insureds selected as targeted employers, and shall include, at a minimum, the following:
(1) A budget;
(2) The methodology used by the insurer to select targeted employers;
NOTE: Section 339.11 contains guidelines for selecting targeted employers.
(3) One-year and three-year loss reduction goals for targeted employers;
(4) Size, type, and identity of each targeted employer for the coming year; and
(5) A description of the loss control consultation services provided to targeted employers during the previous year, including:
(A) Identity of targeted employers served and a summary of the services provided to each;
(B) Total expenditures for all targeted employers served;
(C) Evaluation of the effectiveness of the consultations provided, including the extent to which the previous year's loss reduction goals were met for targeted employers and an analysis of any failure to meet such goals; and
(D) A list of all employers to whom loss control consultation services have been provided through an entity other than the insurer or the insurance group to which the insurer belongs.  The list shall include the identities and qualifications of the personnel who provided the consultation services.
(c) The plan shall demonstrate that the insurer has reliably identified as targeted employers those of its insureds who have the greatest worker's compensation losses and most significant preventable health and safety hazards, and that the insurer's loss control consultation services will effectively serve the needs of targeted employers.
(d) The Division shall maintain the confidentiality of all information provided by the plan, except for aggregate statistical data.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (c)  4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.7. Application for Certification or Recertification of Loss Control Consultation Services.
Note     •     History

(a) Applications may be obtained from the Loss Control Consultation Services Certification Unit of the Division.
(b) The application (Form LCC-1; 10-94) shall be lodged with the Loss Control Consultation Services Certification Unit and shall be accompanied by the required application fee.
(c) The application shall provide, be accompanied by, or be supplemented with the following items:
(1) Names under which the applicant is authorized to write workers' compensation insurance;
(2) Name and address of the insurer's employee directly responsible for administering the insurer's loss control consultation services; 
(3) Proof of authorization from the California Department of Insurance to write workers' compensation insurance within the State of California;
(4) Documentation demonstrating the insurer's capability to deliver loss control consultation services as described by section 339.5(b)(2); 
(5) A copy of the insurer's annual plan; and
(6) Any additional information requested by the Division, if reasonably necessary to evaluate the insurer's suitability for certification consistent with the requirements of this Article.
(d) Within 30 business days of receipt of an application for certification, the Division shall inform the applicant in writing either that the application is either complete and accepted for filing, or that the application is deficient and requires supplementation with additional information or documentation.
(1) An application shall be deemed complete if it is in compliance with the requirements of this section.
(2) A notice that the application is deficient shall explain what specific information or documentation is required to complete the application.
NOTE: If  the volume of applications received results in the Division's inability to process the insurer's start-up application for certification in compliance within the 30-business-day period, the Division may extend the period for up to 120 days. Where such an extension is made by the Division, the insurer's period of provisional certification shall be deemed extended by an equal amount of time pursuant to section 339.2(b).
(e) Within 30 business days of the date of acceptance for filing of a completed application, the Division shall issue to the applicant:
(1) A Notice of Certification which includes the date of expiration of the certification and specifies any conditions which attach to retention of the certification; or
(2) A Notice of Denial of Certification, accompanied by a written explanation of the reasons for the denial.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendments 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order including amendment of subsections (b), (c)(3) and (d) transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.8. Annual Collection of the Workers' Occupational Safety and Health Fund Fees.
Note     •     History

(a) The Director designates the Commission on Health and Safety and Workers' Compensation to collect the fee required by Labor Code Section 6354.7 for the purpose of establishing and maintaining a workers' occupational safety and health training and education program and insurance loss control services coordinator. 
(b) On or before April 1 of each year, each insurer subject to Labor Code Section 6354.5 shall pay to the Commission on Health and Safety and Workers' Compensation the workers' occupational safety and health training and education program fee required by Labor Code Section 6354.7. All fees collected pursuant to this section shall be deposited in the Workers' Occupational Safety and Health Education Fund, as provided in Section 6354.7 of the Labor Code. 
(c) The annual fee required under this section shall be the greater of one hundred dollars ($100) or 0.0286 percent of paid workers' compensation indemnity as reported for the previous calendar year to the designated rating organization for the analysis required under subdivisions (b) and (c) of Section 11759.1 of the Insurance Code. 
(d) Along with the payment required by this section, each insurer shall submit: 
(1) A copy of the insurer's response to the annual “Call for California Workers' Compensation Experience” for the preceding calendar year. 
(2) A summary report, on form CHSWC-1 “Workers' Occupational Safety and Health Fund Fee Report Form. (Rev.1/03)” The Commission shall provide a copy of the form CHSWC-1 to each insurer subject to Labor Code Section 6354.5 not later than February 1 of the year in which the fee is collected. The form CHSWC-1 shall include the following information: 
(A) the name of the insurer submitting the report, including a list of all insurer names used to write workers' compensation insurance in California. For each insurer listed, a copy of each insurer's Certificate of Authority, issued by the California Department of Insurance, to write workers' compensation insurance shall be submitted with the report as an attachment; 
(B) the name and contact information for a company officer to be contacted concerning the insurer's loss control services or the workers' occupational safety and health training and education program; 
(C) the amount of paid indemnity as reported by the insurer for the previous calendar year to the Workers' Compensation Insurance Rating Bureau in response to the annual “Call for California Workers' Compensation Experience;” and, 
(D) the amount of the fee being paid by the insurer. 
Note: Copies of the form CHSWC-1 may be obtained upon request from the Commission or downloaded from the Commission's web site at: http://www.dir.ca.gov/CHSWC/. 
(e) A group of insurers under the same management, direction and control may elect to submit a single consolidated payment so long as the information required by the Commission is separately provided for each insurer. 
NOTE

Authority cited: Section 6354.7, Labor Code; and section 11759.1, Insurance Code.  Reference: Section 6354.5, Labor Code; and Section 11759.1, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendments 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
4. Amendment of section heading, repealer and new section and amendment of Note filed 1-21-2003; operative 1-21-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§339.8.1. Workers' Occupational Safety and Health Fund Fee Report Form.
Note     •     History

View Graphic
NOTE

Authority cited: Section 6354.7, Labor Code; and Section 11759.1, Insurance Code. Reference: Section 6354.5, Labor Code; and Section 11759.1, Insurance Code.
HISTORY

1. New section filed 1-21-2003; operative 1-21-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§339.9. Denial of Certification or Recertification.
Note     •     History

(a) The Division shall deny certification or recertification if the insurer does not satisfy the requirements of this article.
(b) An applicant denied certification may:
(1) Reapply by submitting a new application together with a new application fee; or
(2) Appeal for reconsideration to the Director.
(c) Any applicant who wishes to appeal a denial of certification shall lodge with the Division, within 10 working days of receipt of the Notice of Denial, a written notice of the applicant's intent to appeal.
(1) The Director shall hold a hearing, at the Division's headquarters offices or such other location as the Director may designate, within five working days of the appeal.
(2) At the hearing, the insurer shall have the burden of establishing qualification for certification.
(d) The Director shall issue a decision within 10 days of the hearing.  The Director's decision shall be final.  A final decision by the Director may not be appealed except as provided for by law.
(e) The Insurance Commissioner shall be notified of every final decision by the Director to deny certification.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (c)(1) 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.10. Revocation, Suspension or Attachment of Conditions to Certification.
Note     •     History

(a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke, suspend, or attach conditions to the retention of, any certification issued pursuant to this article.  Good cause shall be deemed to exist if the Division establishes that the insurer has substantially failed to meet or comply with the requirements of this article.
(b) Notice of the Division's intent to take any adverse action with respect to a certification shall be in writing and served at least fifteen days in advance of the hearing.  Service shall be deemed complete if notice of the hearing is sent by certified mail or hand delivered to the address shown on the application form.  The notice shall specify the action intended to be taken by the Division and the reasons for the action in sufficient detail to allow the insurer to prepare for the hearing.
(c) The hearing shall be held at the Division's Headquarters offices, or at such other location as may be designated by the Director, and shall be conducted by the Chief or Deputy Chief of the Division.
(d) The insurer may appeal any adverse action to the Director in the same manner as provided for appeal of denial of certification by section 339.9(c) and (d) and the filing of an appeal shall stay the adverse action until the issuance of a final decision by the Director.
(e) The Insurance Commissioner shall be notified of every final decision by the Director to suspend or revoke certification.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
§339.11. Guidelines for Selecting Targeted Employers.
Note     •     History

(a) Section 339.6(b)(2) requires the insurer's annual plan to include a methodology for selecting targeted employers and section 339.6(c) requires the annual plan to demonstrate that the insurer has reliably identified as targeted employers those of its insureds who have the greatest workers' compensation losses and most significant preventable health and safety hazards, and that the insurer's loss control consultation services will effectively serve the needs of targeted employers.
(b) The Division will review the annual plan to determine the effectiveness of the insurer's targeting methodology.  Targeting methodologies may be different depending on the insurer and the type of insureds served, but shall utilize an effective combination of any of the following factors, or similar factors:
(1) Type, number, and rate of occupational injuries and illnesses;
(2) Number of workers' compensation claims, or injuries and illnesses, per payroll or premium dollar;
(3) Severity of workers' compensation claims, or injuries and illnesses, per payroll or premium dollar;
(4) Experience modification rating, or other ways of comparing the employer's loss experience to similar employers;
(5) Data from the insurers' previous evaluations of the employer; and
(6) Cal/OSHA citation history.

Exception: Other information, e.g., direct written premium per employer or the number of employees per employer,  may be used as additional factors to be considered in selecting targeted employers.  However, such information shall not be used in a manner which results in exclusion of those insureds who have the greatest workers' compensation losses and most significant preventable health and safety hazards.
NOTE

Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code.  Reference: Section 11721, Insurance Code.
HISTORY

1. New section filed 1-10-94 as an emergency; operative 1-10-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (c) and redesignated Exception 4-26-94 as an emergency; operative 4-26-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-94 order transmitted to OAL and filed 10-6-94 (Register 94, No. 40).
Subchapter 2. Regulations of the Division of Occupational Safety and Health
Article 1. Employers' Obligation to Provide Information to Employees
§340. Contents and Posting Requirements of CAL/OSHA Notice.
Note     •     History

Every employer shall be required to post immediately upon receipt and to keep posted the CAL/OSHA Notice of Employee Protections and Obligations entitled “Safety and Health Protection on the Job,” which is furnished pursuant to Labor Code Section 6328 by the Division of Occupational Safety and Health, Department of Industrial Relations, State of California, containing information on pertinent safety laws, regulations and certain rights of employees under the California Labor Code.
Each employer must post at least one Notice (CAL/OSHA Notice) in each establishment in a conspicuous place where notices to employees are customarily posted. “Establishment” as used in this regulation means a single physical location where business is conducted or where services or industrial operations are performed. Where employers are engaged in activities which are physically dispersed such as construction or transportation, the notice required by this section shall be posted at each location to which employees report each day. Where employees do not usually work at, or report to, a single establishment, such notice or notices shall be posted at the location or locations from which the employees operate to carry out their activities.
Each employer shall take steps to insure that such notices are not altered, defaced or covered by other material.
This notice shall contain the address and telephone number of the nearest Division of Occupational Safety and Health office, and shall inform the employees of their right to report any unsafe working conditions in their place of employment to the Division of Occupational Safety and Health and their right to request a safety inspection by the Division of Occupational Safety and Health for unsafe conditions.
The Notice shall also inform the employees that no employee shall be laid off or discharged for refusing to perform work in the performance of which the provisions of the California Labor Code, any occupational safety or health standard or any safety order of the Division will be violated, where such violation would create a real and apparent hazard to the employee or his fellow employees.
The Notice shall contain the information that each citation issued under Section 6317 of the California Labor Code, Special Order or Order to Take Special Action issued under Section 6308 or a copy or copies thereof shall be prominently displayed at or near each place a violation referred to in the citation or order occurred.
The Notice shall inform employees that employers who use any substance listed as a hazardous substance in Section 339 of Title 8 of the California Administrative Code must provide employees with information on the contents of material safety data sheets (MSDS) or equivalent information about the substance which trains employees to use the substance safely. That the employer is required to make available on a timely and reasonable basis a MSDS on each hazardous substance in the workplace upon request of an employee, collective bargaining representative, or an employee's physician. Further, that employees have the right to see and copy the medical record and other records of employee exposure to potentially toxic materials or harmful physical agents.
The Notice shall inform the employees that the employer shall provide an opportunity for employees or their representatives to observe monitoring or measuring of employee exposure to hazards conducted pursuant to standards promulgated under California Labor Code Section 142.3, and shall allow the employee or his representative access to accurate records of employee exposures to potentially toxic materials or harmful physical agents.
The Notice shall contain a statement that every employer and every employee shall comply with occupational safety and health standards and all rules, regulations and orders pursuant to Division 5 of the California Labor Code which are applicable to his or her own actions and conduct.
Failure of any employer to post the CAL/OSHA Notice entitled “Safety and Health Protection on the Job” as required by this regulation may result in imposition of a fine of up to $1,000 upon the employer for each violation as set forth in Labor Code Section 6431.
NOTE

Authority cited: Sections 60.5, 6308, 6318 and 6328, Labor Code. Reference: Sections 6318, 6328 and 6408, Labor Code.
HISTORY

1. Amendment filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9). For prior history, see Registers 74, No. 2; 74, No. 18 and 74, No. 13.
2. Amendment filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
3. Amendment filed 12-5-85; effective thirtieth day thereafter (Register 85, No. 49).
§340.1. Rights of Employees to Observe Monitoring or Measuring.
History

(a) Whenever an employer is required to conduct tests or to engage in monitoring or measuring, to determine employee exposure to hazards by specific standards promulgated under Labor Code Section 142.3, the employer shall notify the affected employee or employees or their representative, prior to commencement of the date, time and place of the testing, monitoring or measuring of employee exposure. The employer shall provide the affected employee or employees, or their representatives with the opportunity to observe the testing, sampling, monitoring or measuring undertaken pursuant to such standards.
(b) The affected employee, employees or their representatives shall be allowed access to the records and reports of the results of the testing monitoring or measuring when carried out under the requirements of a standard promulgated under Labor Code Section 142.3.
HISTORY

1. Amendment filed 7-31-74 as procedural and organizational; designated effective 8-1-74 (Register 74, No. 31).
§340.2. Notification to Employee of Exposure Required.

Whenever any employee has been or is being exposed to toxic materials or harmful physical agents in concentrations or at levels exceeding those prescribed by applicable standard, order, or special order, the employer of the affected employee must promptly notify any employee so affected in writing of the fact that the employee has been exposed, and of the corrective action being taken by the employer.
§340.3. Employee Access to Accurate Records. [Repealed]
History

HISTORY

1. Renumbering from Section 53 7-31-74 as procedural and organizational; designated effective 8-1-74 (Register 74, No. 31).
2. Repealer filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
Article 1.5. Employer's Declaration of Abatement and Other Documentation of Abatement--Employee Notification--Posting Requirements
§340.4. Declaration of Abatement, Other Documentation, Employee Notification and Posting Requirements.
Note     •     History

(a) Scope and application. This section applies to employers who receive a citation for a violation of Title 8 of the California Code of Regulations.
(b) Definitions. 
(1) Abatement means action by an employer to comply with a cited standard or regulation or to eliminate a recognized hazard identified by the Division during an inspection.
(2) Abatement date means:
(i) For an uncontested citation item, the later of:
(A) The date in the citation for abatement of the violation;
(B) The date otherwise approved by the Division as the result of an informal conference; or
(C) The date established in a citation by an informal settlement agreement.
(ii) For a contested citation item for which the Occupational Safety and Health Appeals Board (OSHAB) has issued a final order affirming the violation, the later of:
(A) The date identified in the final order for abatement; or
(B) The date computed by adding the period allowed in the citation for abatement to the final order date; or
(C) The date established by a formal settlement agreement.
(3) Affected employees means those employees who are exposed to the hazard(s) identified as violation(s) in a citation.
(4) Final order date means:
(i) For an uncontested citation item, the fifteenth working day after the employer's receipt of the citation;
(ii) For a contested citation item:
(A) The thirty-fifth day after the date on which a decision or order of an administrative law judge has been issued, unless a Petition for Reconsideration or Order of Reconsideration has been filed with or by OSHAB; or
(B) Where a Petition for Reconsideration or Order of Reconsideration has been filed, the thirty-fifth day after the date on which OSHAB issues its decision or order disposing of the matter; or
(C) The date on which the superior court issues a decision affirming the violation in a case in which a final order of OSHAB has been stayed.
(5) Movable equipment means a hand-held or non-hand-held machine or device, powered or unpowered, that is used to do work and is moved within or between worksites.
(c) Abatement certification. 
(1) Within 10 calendar days after the abatement date, the employer must certify to the Division that each cited violation has been abated, except as provided in paragraph (c)(2) of this section.
(2) The employer is not required to certify abatement if the OSHA Compliance Officer, during the on-site portion of the inspection:
(i) Observes, within 24 hours after a violation is identified, that abatement has occurred; and
(ii) Notes in the citation that abatement has occurred.
(3) The employer's certification that abatement is complete must include, for each cited violation, in addition to the information required by paragraph (h) of this section, the date and method of abatement and a statement that affected employees and their representatives have been informed of the abatement.
(4) For serious violations the certification of abatement must be submitted under penalty of perjury as required pursuant to Labor Code section 6320(b).
Note: See Appendix A for sample content and form of Abatement Certification Letter.
(d) Abatement documentation.
(1) The employer must submit to the Division, along with the information on abatement certification required by paragraph (c)(3) of this section, documents demonstrating that abatement is complete for each willful or repeat violation and for any serious violation for which the Division indicates in the citation that such abatement documentation is required.
(2) Documents demonstrating that abatement is complete may include, but are not limited to, evidence of the purchase or repair of equipment, photographic or video evidence of abatement, or other written records.
(e) Abatement plans.
(1) The Division may require an employer to submit an abatement plan for each cited violation (except non-serious violations) when the time permitted for abatement is more than 90 calendar days. If an abatement plan is required, the citation must so dictate.
(2) The employer must submit an abatement plan for each cited violation within 25 calendar days from the final order date when the citation indicates that such a plan is required. The abatement plan must identify the violation and the steps to be taken to achieve abatement, including a schedule for completing abatement and, where necessary, how employees will be protected from exposure to the violative condition in the interim until abatement is complete.
Note: See Appendix B for sample content and form of Abatement Plan.
(f) Progress reports. 
(1) An employer who is required to submit an abatement plan may also be required to submit periodic progress reports for each cited violation. The citation must indicate:
(i) That periodic progress reports are required and the citation items for which they are required;
(ii) The date on which an initial progress report must be submitted, which may be no sooner than 30 calendar days after submission of an abatement plan;
(iii) Whether additional progress reports are required; and
(iv) The date(s) on which additional progress reports must be submitted.
(2) For each violation, the progress report must identify, as briefly as possible, the action taken to achieve abatement and the date the action was taken.
Note: See Appendix B for sample content and form of Progress Report.
(g) Employee notification.
(1) The employer must inform affected employees and their representative(s) about abatement activities covered by this section by posting a copy of each document submitted to the Division, or a summary of the document(s), near the place where the violation occurred.
(2) Where such posting does not effectively inform employees and their representatives about abatement activities (for example, for employers who have mobile work operations), the employer must:
(i) Post each document or a summary of the document(s) in a location where it will be readily observable by affected employees and their representatives; or
(ii) Take other steps to communicate fully to affected employees and their representatives about abatement activities.
(3) The employer must inform employees and their representatives of their right to examine and copy all abatement documents submitted to the Division.
(i) An employee or an employee representative must submit a request to examine and copy abatement documents within 3 working days of receiving notice that the documents have been submitted.
(ii) The employer must comply with an employee's or employee representative's request to examine and copy abatement documents within 5 working days of receiving the request.
(4) The employer must ensure that notice to employees and employee representatives is provided at the same time or before the information is provided to the Division and that abatement documents are:
(i) Not altered, defaced, or covered by other material; and
(ii) Remain posted for three working days after submission to the Division.
(h) Transmitting abatement documents. 
(1) The employer must include, in each submission required by this section, the following information:
(i) The employer's name and address;
(ii) The inspection number to which the submission relates;
(iii) The citation and item numbers to which the submission relates;
(iv) A statement that the information submitted is accurate; and
(v) The signature of the employer and the employer's authorized representative.
(vi) For serious violations the documentation must be submitted under penalty of perjury as required pursuant to Labor Code section 6320(b).
(2) The date of postmark is the date of submission for mailed documents. For documents transmitted by other means, the date the Division receives the document is date of submission.
(i) Moveable equipment. 
(1) For serious, repeat, and willful violations involving movable equipment, the employer must attach a warning tag or a copy of the citation to the operating controls or to the cited component of equipment that is moved within the worksite or between worksites.
Note: Attaching a copy of the citation to the equipment will satisfy the tagging requirement of paragraph (i)(1) of this section as well as the posting requirements of section 332.4 of Title 8 of the California Code of Regulations.
(2) If the employer attaches a warning tag, in lieu of the citation, it must warn employees about the nature of the violation involving the equipment and identify the location of the citation issued.
Note: See Appendix C for sample form and content of a Warning Tag.
(3) If the violation has not already been abated, a warning tag or copy of the citation must be attached to the equipment:
(i) For hand-held equipment, immediately after the employer receives the citation; or
(ii) For non-hand-held equipment, prior to moving the equipment within or between worksites.
(4) The employer must assure that the tag or copy of the citation attached to movable equipment is not altered, defaced, or covered by other material.
(5) The employer must assure that the tag or copy of the citation attached to movable equipment remains attached until:
(i) The violation has been abated and all abatement verification documents required by this regulation have been submitted to the Division;
(ii) The cited equipment has been permanently removed from service or is no longer within the employer's control; or
(iii) OSHAB issues a final order vacating the citation; or
(iv) As otherwise directed by the Division.
Note: Appendices A through C provide information and non-mandatory guidelines to assist employers and employees in complying with the appropriate requirements of this section.
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Section 6320, Labor Code; and Title 29, Section 1903.19, Code of Federal Regulations.
HISTORY

. 1.New article 1.5 (section 340.4), section and appendices A-C filed 9-14-99; operative 10-14-99 (Register 99, No. 38).

Appendix A to Section 340.4--Sample Abatement-- Certification Letter (Non-Mandatory)

(Name), District Manager

Division of Occupational Safety and Health

Address of the District Office (on the citation)

[Company's Name]

[Company's Address]

The hazard referenced in Inspection Number [insert 9-digit #] for violation identified as:

Citation [insert #] and item [insert #] was corrected on [insert date] by:			.

Citation [insert #] and item [insert #] was corrected on [insert date] by:	 	.
(NOTE: Follow sample format for each citation or item)
I attest that the information contained in this document is accurate.

Signature

Typed or Printed Name
Note: For serious violations the submittal must be made under penalty of perjury. For Example:

“I declare under penalty of perjury the foregoing is true and correct. Executed this ________ day of (month) in the city of 	______, California.

	”
(Signature)

Appendix B to Section 1903.19--Sample Abatement Plan or Progress Report (Non-Mandatory)

(Name), District Manager

Division of Occupational Safety and Health

Address of the District Office (on the citation)

[Company's Name]

[Company's Address]

Check one:

 Abatement Plan [ ]

 Progress Report [ ]

Inspection Number

Page	 of 		

Citation Number(s)* 	

Item Numbers 	

	Proposed		

	Completion Date (for	Completion Date (for

Action	abatement plans only)	progress reports only)

1. 	

2. 	

Date required for final abatement:

I attest that the information contained in this document is accurate.

(NOTE: For serious violations the document must be submitted under penalty of perjury. See Appendix A, above)

Signature

Typed or Printed Name

Name of primary point of contact for questions:	

	 [optional]

Telephone Number 	
*Abatement plans or progress reports for more than one citation item may be combined in a single abatement plan or progress report if the abatement actions, proposed completion dates, and actual completion dates (for progress reports only) are the same for each of the citation items.

Appendix C to Section 340.4--Sample Warning Tag  (Non-Mandatory)

View Graphic
Article 1.6. Adjudicative Hearings--General Rules of Practice and Procedure--Denial, Suspension or Revocation of Permits, Licenses, Certifications, Registrations or Other Authorizations and Orders Prohibiting Use, Issued by the Division of Occupational Safety and Health
§340.40. Scope and Application.
Note     •     History

(a) These general rules of practice and procedure of the Division of Occupational Safety and Health (hereinafter “the Division”) are applicable to proceedings involving the denial, suspension or revocation of any license, permit, certification, registration or other authorization issued by the Division, and proceedings involving an Order Prohibiting Use (for purposes of this article, hereinafter referred to as “OPU”) issued pursuant to Labor Code section 6325. 
(b) These general rules of practice and procedure may supplement, but shall not replace, other codified administrative notice and appeal procedures. In case of conflict with codified notice and appeal procedures, the more-specific procedures shall apply. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New article 1.6 (sections 340.40-340.52) and section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.41. Notification of Division Proceedings for Denial, Suspension or Revocation.
Note     •     History

(a) When, after review, examination, investigation or inspection, the Division determines that good cause exists to deny, suspend or revoke any permit, license, certification, registration, or other authorization issued by the Division, written notification shall be provided to the person or entity against whom the Division intends to take such action. 
(b) The notification shall cite the statute or regulation authorizing the action taken by the Division, and shall state the grounds constituting good cause for the denial. suspension, revocation or other action proposed by the Division. 
(c) The notification may be served personally, by facsimile, by overnight delivery, or by certified mail. The provisions of this article are subject to Section 1013 of the California Code of Civil Procedure. 
(d) The Director of the Department of Industrial Relations (for purposes of this article, the Director of the Department of Industrial Relations shall hereinafter be referred to as “the Director”) or the Division shall make a copy of these regulations available to appellants, and shall advise appellants that the appeal proceedings shall not be subject to the provisions of Chapter 5 (commencing with Section 11500) of Part 1, Division 3, of Title 2 of the California Government Code. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.42. Request for Hearing.
Note     •     History

(a) Within five working days after receipt of the Division's denial of an application for any license, permit, certification, registration or other authorization, or the suspension or revocation of a permit, license, certification, registration or other authorization, or the issuance of an Order Prohibiting Use, the affected applicant or employer may request a hearing to review the validity of the Division's action. 
(b) The request for hearing must be in writing and must set forth specific reasons why the Division's action was improper. An appellant's failure to mail or otherwise deliver a request for hearing within five working days of receipt of notification of the action will result in the Division's action being considered final and not subject to review, except where review is otherwise provided by law. 
(1) For the denial of an application for a permit, license, certification, registration or other authorization, the written request for hearing shall be mailed or otherwise delivered to the headquarters office of the Director. 
(2) For the suspension or revocation of a permit, license, certification, registration, or other authorization, the written request for hearing shall be mailed or otherwise delivered to the headquarters of the Division. 
(3) For the issuance of an Order Prohibiting Use, the request for hearing shall be mailed or otherwise delivered to the District Manager of the district office which issued the Order Prohibiting Use. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.43. Designation of Presiding Officer and Notification of Hearing.
Note     •     History

(a) Upon receipt of a request for an appeal hearing regarding the Division's denial of an application for a permit, license, certification, registration, or other authorization, the Director or the Director's Chief Counsel shall designate a Presiding Officer to conduct the hearing. Upon receipt of a request for hearing regarding the suspension or revocation of a permit, license, certification, registration, or other authorization, the Chief of the Division shall designate a Presiding Officer to conduct the hearing. The Presiding Officer may be a Deputy Chief, Regional Manager, or other designated representative. For hearings regarding the issuance of Orders Prohibiting Use, the District Manager shall serve as Presiding Officer. 
(b) The Department or Division shall notify the appellant of the date, time and location of the hearing, and of the name of the Presiding Officer. The date and time of the hearing shall be subject to the specific provisions of the statute or regulation, if any, authorizing the action. Where no statute or regulation imposes specific time limitations, a hearing shall be set so as to provide sufficient time for preparation and attendance at the hearing, but in no event less than five working days following the receipt of a request for hearing, unless appellant agrees to or requests an earlier hearing. Hearings regarding the issuance of an OPU shall be held within 24 hours following receipt of the appellant's request for a hearing, unless appellant agrees to or requests a later hearing. 
(c) The Presiding Officer may change the date, time and location of the hearing for good cause upon his or her own motion or upon the written motion of either party at any time prior to the hearing. 
(d) The appellant must immediately notify all affected employees, former employees, and employee representatives, if any, of the date, time and location of the hearing along with a description of the purpose for the hearing, by posting the notification of hearing or otherwise providing written notice. The notification of hearing must remain posted in a conspicuous place for at least three working days or until the date of the hearing, whichever is less. 
(e) The Division or Department may serve the notification of hearing, as required under subsection (b), personally, by facsimile or by overnight delivery. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6327, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.44. Conduct of Hearing.
Note     •     History

(a) The Presiding Officer shall be responsible for receiving evidence both from Division representatives and the appellant and shall issue a decision as set forth in this article. Parties shall have the opportunity to present relevant documentary or other evidence through the presentation of direct testimony, the cross-examination of witnesses, and the rebuttal of any evidence presented during hearing. The Presiding Officer may also examine witnesses or request the presentation of additional relevant evidence. 
(1) Upon motion, the Presiding Officer may exclude witnesses from the hearing room. Each party may designate one representative who may stay in the hearing room, even if the representative will also serve as a witness. 
(2) A party may appear in person or through a representative who is not required to be an attorney. 
(3) Designated employee representatives may make written request to participate in the hearing if it is established that such participation will be relevant to any issues presented at the hearing. 
(4) The Presiding Officer shall receive evidence under oath or affirmation under penalty of perjury. The hearing shall be tape-recorded, unless the parties agree to some other method of recording the hearing. If the parties do not agree to an alternative method of recording, the Presiding Officer shall make the official record of the hearing by tape recording, and may allow each party to make and pay for an additional record if, in the Presiding Officer's opinion, the making of the additional record or records would not unduly disrupt the proceedings. 
(b) The hearing shall not be subject to the technical rules relating to evidence or witnesses. However, only relevant evidence of the sort responsible persons are accustomed to rely upon in conducting serious affairs shall be admitted and relied upon in rendering a decision. Hearsay evidence is admissible but, if objected to, may not be solely relied upon without other supporting evidence unless the hearsay would be admissible over objection in a civil proceeding. 
(c) Any hearing conducted pursuant to this article shall be open to the public as required pursuant to Government Code section 11425.20. 
(d) During all stages of a hearing, the Presiding Officer and all parties to the hearing shall be subject to the provisions of Article 7 (commencing with section 11430.10), of Chapter 4.5 of Part 1, Division 3, Title 2 of the Government Code regarding ex parte communication. 
(e) The matter shall be deemed submitted at the conclusion of the hearing unless some other submission date is agreed to between the parties or otherwise designated by the Presiding Officer. 
(f) The Presiding Officer shall, on behalf of the Director or Division, issue and serve a written decision on the parties no later than thirty (30) calendar days after submission of the matter for decision, except as follows. 
(1) The time for issuance and service of the decision may be extended by the Presiding Officer for good cause. 
(2) For an Order Prohibiting Use, a decision concerning the validity of the order shall be made as soon as possible, but not more than two working days, after the conclusion of the hearing. 
(g) Decisions shall be in writing and shall include findings of fact and conclusions supporting the decision. However, at his or her discretion, a Presiding Office may issue a preliminary decision without setting forth findings of fact and conclusions supporting the decision, as long as a complete decision is issued within the time period provided in this section. 
(h) Any right to request review of the decision shall be governed by the specific regulation or statute authorizing the action taken by the Division. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6308.5, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.45. Presiding Officer -- Grounds for Disqualification.
Note     •     History

Any Presiding Officer may be disqualified for any ground set forth in Government Code sections 11425.30 and 11425.40. A request for disqualification must be in writing to the Director and shall specifically detail the grounds upon which disqualification is sought and the factual basis for the request. The request shall be filed with the Director pursuant to the provisions of section 340.46 of this Article. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.46. Service of Process.
Note     •     History

(a) Unless otherwise required, service may be made by personal delivery or by depositing the documents in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, sealed, properly addressed, with first-class postage prepaid. 
(b) Service is complete at the time of the personal delivery or mailing. 
(c) Proof of service shall be filed with the document and may be made by any of the following means: 
(1) Affidavit or declaration of service by personal delivery or mail; 
(2) Written statement endorsed upon the document served and signed by the party making the statement; or 
(3) Letter of transmittal. 
(d) Facsimile (fax) machines may be used to serve and file documents under the following conditions: 
(1) The length of the document to be filed and/or served shall be no more than twelve (12) pages including cover page and attachments. 
(2) A copy sheet shall be attached containing the number of pages transmitted, the fax number of the sender, the sender's telephone number, and the name of the contact person. 
(3) If a document is filed by fax, all parties shall be served in the same manner or by guaranteed overnight delivery. The fax transmission shall include a proof of service indicating the method of service on each party, and 
(4) No later than 24 hours after transmission, the sending party shall file and serve on all parties the original of any faxed document as set forth in this section. 
(e) For facsimile service and filing of documents, a document is considered received on the following working day if transmission begins later than 5:00 p.m. Pacific Time. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.47. Discovery.
Note     •     History

(a) Upon written request made to the other party prior to hearing, a party to the proceeding is entitled to obtain the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing. Nothing in this section requires the disclosure of the identity of a person who submitted a complaint regarding the unsafe nature of an employment or place of employment unless the complainant requests otherwise. 
(b) A party is entitled upon written request to inspect and make copies of any of the following materials in the possession or custody or under the control of the other party: 
(1) Any statements of parties or witnesses relating to the subject matter of the proceeding; 
(2) All writings or things which the party then proposes to offer in evidence; 
(3) Any other writing or thing which is relevant and which would be admissible in evidence; 
(4) Inspection and investigative reports made by, or on behalf of, the Division or other party pertaining to the subject matter of the proceeding, to the extent that such reports: contain the names and addresses of witnesses or persons having personal knowledge of the acts, omissions or events which are the basis of the proceeding; reflect matters perceived by the Division or other party in the course of its inspection, investigation or survey; or contain or include by attachment any statement or writing described in this section. 
(c) The parties shall arrange for a mutually-agreeable time for exchange of requested materials and information but in no event later than 24 hours prior to the time set for hearing. 
(d) The Presiding Officer may, upon written request by either party, make provision for timely completion of discovery. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6309, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.48. Subpoenas and Subpoenas Duces Tecum -- Witness Fees.
Note     •     History

(a) Before the hearing has commenced, the Division or any party may issue a subpoena or subpoena duces tecum requiring the attendance of a person or the production of documents or things at the hearing. 
(b) Any subpoena or subpoena duces tecum issued pursuant to subsection (a) of this section extends to all parts of the state and shall be served in accordance with the provisions of sections 1985.3, 1987, 1987.5 and 1988 of the Code of Civil Procedure, except for the provisions governing the time for issuance of subpoenas and subpoenas duces tecum. Service of a subpoena or subpoena duces tecum is made by delivering a copy to the witness. 
(c) All witnesses appearing pursuant to subpoena, other than the parties, or their representatives directly associated with the action, shall be entitled to receive the following fees and mileage, payable in advance: 
(1) Witness fee for each day's actual attendance of thirty-five dollars ($35.00); 
(2) Mileage actually traveled, both ways, of twenty cents ($.20) a mile; 
(3) Per diem compensation of three dollars ($3.00) for expenses of subsistence for each day of actual attendance and for each day necessarily occupied in traveling to and from the hearing, if the hearing is at a point so far removed from a residence as to reasonably preclude return thereto from day to day; 
(d) Fees, mileage and expenses of subsistence shall be paid by the party at whose request the witness is subpoenaed. 
(e) A party who subpoenas a peace officer as listed at Government Code section 68097.1 or individuals designated by Government Code 68097.2 shall reimburse the public entity for the full cost of the public entity incurred in paying the officer his or her salary or other compensation and traveling expenses for each day that such officer is required to remain in attendance. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.49. Official Notice.
Note     •     History

(a) In reaching a decision, a Presiding Officer may take official notice either before or after submission of the proceeding for a decision, of any generally accepted technical or scientific matter within the field of occupational safely and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, Occupational Safety and Health Appeals Board or Occupational Safety and Health Standards Board. 
(b) The Presiding Officer shall take official notice of those matters set forth in section 451 of the Evidence Code and may take official notice of those matters set forth in section 452 of the Evidence Code. 
(c) Each party shall be given reasonable opportunity on request to present information relevant to (1) the propriety of taking official notice, and (2) the tenor of the matter to be noticed. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.50. Confidential Evidence.
Note     •     History

(a) A Presiding Officer shall consider confidential any exhibit which might reveal a trade secret referred to in section 1905 of Title 18 of the United States Code, information that is confidential pursuant to Chapter 3.5 (commencing with section 6250) of Division 7 of Title 1 of the Government Code, or photographs taken by the Division during the course of any inspection or investigation. 
(1) The Presiding Officer shall issue necessary orders to protect the confidentiality of such information, including the exclusion of witnesses during the course of the hearing if testimony might tend to reveal the substance of the confidential information. 
(2) Parties shall request confidentiality at the time the evidence is submitted. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308, 6314 and 6322, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.51. Prehearing Motions.
Note     •     History

(a) No later than 24 hours prior to a hearing, a party may make a written motion for continuance or for clarification of issues related to discovery or other matters deemed important to the issues to be addressed during the course of the hearing. 
(b) Such written motion shall be filed with the Presiding Officer and served upon the other party in conformance with section 340.46 of this article. 
(c) The Presiding Officer may issue such orders as it deems necessary to address the issues referenced in such written motion. 
(d) Prehearing motions in connection with the appeal of an OPU may be made up until and including the day of the appeal hearing. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. 
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
§340.52. Interpreters.
Note     •     History

(a) All hearings shall be conducted in the English language. The Division shall notify each party of the right to an interpreter at the time it serves notification of a proceeding pursuant to Section 340.41, or at the time it issues an OPU. 
(b) A party who does not proficiently speak or understand the English language, who calls a witness who does not proficiently speak or understand the English language, or who requests an interpreter, shall be provided with an approved interpreter during the hearing. A request for an interpreter shall be made at the same time as the request for appeal. The party requesting the interpreter shall pay the cost of the interpreter, unless the Division elects to pay the interpreter based on the financial hardship of the requesting party. 
(c) For purposes of this section, an approved interpreter is a person whose name appears on the list of interpreters approved by the Occupational Safety and Health Appeals Board, the State Personnel Board, or the Superior Court for the County in which the hearing is conducted. 
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code.
HISTORY

1. New section filed 8-26-2002; operative 9-25-2002 (Register 2002, No. 35).
Article 2. Permits--Excavations, Trenches, Construction and Demolition and the Underground Use of Diesel Engines in Work in Mines and Tunnels
§341. Permit Requirements.
Note     •     History

(a) Scope and Application.
(1) This article specifies:
(A) Work activities that require permits;
(B) What permit holders must do to comply with permit requirements;
(C) What types of permits can be obtained; and
(D) How to apply for a permit.
(2) The purpose of a permit is to provide notice to the Division that an employer will undertake permit-required activity and to allow the Division an effective means of ensuring that the proposed permit-required activity will be performed safely.
(3) There are two types of permits: Project Permits and Annual Permits. Both types are defined below in subsection (b) and explained in subsections (c), (d), and (e).
(4) The Permit application process is explained in section 341.1.
(b) Definitions. The following definitions apply to this article:
(1) “Annual permit” means a permit issued pursuant to section 341.1(a)(2) that allows a qualifying employer to conduct specified permit-required activity at any jobsite for a period of one year.
(2) “Climbing a fixed tower crane” means altering the height of the revolving section of the crane by adding or removing tower sections with the use of a climbing frame.
(3) “Conduct permit-required activity” means either:
(A) Engage in permit-required activity by having employees who actually perform the activity; or
(B) Act in the role of a project administrator at a site where permit-required activity is taking place, regardless of whether this role involves having employees who actually perform the activity.
Note: See definition of “permit required activity” below.
(4) “Emergency repair work to underground facilities” means the unscheduled repair or replacement of pipes or other underground structures for the purposes of protecting life or property.
(5) “Height” when used to describe a structure means the distance from the top of the structure, including any parapet walls, mechanical rooms or other penthouse structures, to the lowest point of the surrounding grade or ground level below. Mechanical screens, antennas, chimneys, flag poles, and similar attachments are not to be considered in determining the height of a structure.
(6) “Hold a project permit” or “Hold an annual permit” means to have a valid applicable permit which was obtained prior to the start of work. In the case of underground use of a diesel engine in a mine or tunnel the permit shall be obtained prior to placing the engine in the mine or tunnel.
(7) “Permit-required activity” means activity for which a permit is required by this Article.
Note: See section 341(d) below for a description of these activities.
(8) “Project Administrator” means a person or entity that has overall onsite responsibility for the planning, quality, management, or completion of a project involving the erection or demolition of a structure. Examples of Project Administrators include, without limitation, general contractors, prime contractors, owner/builders, joint ventures, and construction managers.
(9) “Project permit” means a permit issued pursuant to section 341.1(a)(1) that authorizes an employer to conduct permit-required activity at the specific location(s) named in the permit.
(10) “Structure” means any creation by human activity of a piece of work, formation, or series of parts joined together, including but not necessarily limited to the following:
Billboards.
Bridges.
Buildings.
Chimneys.
Dams.
Elevated highways.
Falsework.
Outdoor signs.
Powerhouses.
Scaffolding.
Silos.
Smokestacks.
Tanks or tank towers.
Transmission or communication towers.
(c) Basic permit requirement.
(1) Project Permits.
(A) Work on permit-required activities on a project subject to Project Permit requirements shall not begin until a Project Permit has been issued for the project.
(B) Only one Project Permit is required per project as long as the Project Permit holder continues to act in the role of Project Administrator, even though the project may have more than one employer fitting the description of a Project Administrator. If the holder of the current Project Permit no longer continues to act in the role of Project Administrator, that Project Permit is no longer valid, and no project work shall continue until a new Project Permit has been issued.
Note: See Sections 341.1(f) and 341.1(g) of this article for additional details regarding the scope of coverage of a Project Permit.
(2) Annual Permits.
(A) Any employer other than a Project Permit holder who conducts permit-required activity shall hold a current Annual Permit before engaging in the activity.
(B) An employer who conducts activity subject to Annual Permit requirements shall obtain an Annual Permit once per year and shall notify the Division each time the permit holder begins permit-required activity at a new site.
(d) Work Activities Subject to Permit Requirements and the Types of Permits Required to Conduct the Activities.
(1) To erect, raise or lower, or dismantle a fixed tower crane, the fixed tower crane erector, climber, or dismantler shall hold a Project Permit.
Note No. 1: See Section 341.1 of this article for additional details on Project Permit requirements for fixed tower cranes.
Note No. 2: See Sections 344.70 et seq. of Title 8 of the California Code of Regulations for additional requirements applicable to permits to operate a fixed tower crane.
(2) To engage in the underground use of a diesel engine in any mine or tunnel, each employer or entity who is to operate the diesel engine shall hold a Project Permit. The permit shall be obtained prior to placing the engine in the mine or tunnel.
(3) To conduct the demolition or dismantling of any building or structure more than 36 feet in height, the Project Administrator shall hold a Project Permit and all other employers directly engaging in demolition or dismantling activity shall hold an Annual Permit.
(4) To conduct any of the following activities on a structure intended to be more than 36 feet high when completed, the Project Administrator shall hold a Project Permit and all other employers directly engaging in these activities shall hold an Annual Permit:
(A) Erection and placement of structural steel or erection and placement of structural members made of materials other than steel.
Note: No permit is required for work limited to the erection or placement of reinforcing bars used in reinforced concrete construction.
(B) Installation of metal decking or decking made of substitute materials.
(C) Installation of curtain walls, precast panels, or fascia.
(D) Forming or placement of concrete structures or concrete decks on steel structures.
(E) Installation of structural framing, including roof framing, or the installation of panelized roof systems.
Note: No permit is required for work limited to the installation of interior partitions.
(5) To conduct the following activities, the employer shall hold an Annual or a Project Permit, and may apply for either:
(A) Construction of trenches or excavations 5 feet or deeper into which any person is required to descend.
Note: For purposes of this subsection, “descend” means to enter any part of the trench or excavation once the excavation has attained a depth of 5 feet or more.
(B) Erection and placement of scaffolding, vertical shoring, or falsework intended to be more than 36 feet high when completed.
(e) Exceptions to Permit Requirements. The provisions of this section shall not apply to the following:
(1) Government Bodies -- United States of America, its officers or agencies, State of California, county, city and county, city, or district.
(2) Any public utility subject to the jurisdiction of the Public Utilities Commission.
(3) Construction of trenches or excavations for the purpose of performing emergency repair work to underground facilities.
(4) Construction or final use of excavations or trenches where the construction or final use does not require a person to descend into the excavation or trench.
(5) Excavation for the construction of graves as defined in Section 7014 of the Health and Safety Code.
(6) Excavation for the construction of swimming pools.
Note: The construction of motion picture, television, or theater stages and sets does not require a permit unless the conditions specified in Section 6500(b) of the California Labor Code have occurred. For purposes of this requirement, stages and sets include, without limitation, scenery, props, backdrops, flats, greenbeds, and grids.
NOTE

Authority and reference cited: Sections 60.5, 6308 and 6501, Labor Code. Reference: Sections 6500, 6501 and 6508, Labor Code.
HISTORY

1. New Article 2 (Sections 341-341.5) filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 10-25-74 (Register 74, No. 43).
3. Amendment filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
4. Amendment of subsection (a) filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
5. Amendment of subsection (a) filed 12-5-85; effective thirtieth day thereafter (Register 85, No. 49).
6. New subsection (a)(4) filed 3-18-91; operative 3-18-91 (Register 91, No. 15).
7. Repealer and new section filed 9-29-2006; operative 10-29-2006 (Register 2006, No. 39).
§341.1. Issuance of Permits.
Note     •     History

(a) Where to Submit Permit Applications.
(1) Project Permits. A Project Permit application shall be submitted to the Division district office that has jurisdiction over the site of the project to be covered by the Project Permit.
(2) Annual Permits. An Annual Permit application shall be submitted to the Division district office where the employer's California headquarters is located. If the employer has no California headquarters, the application shall be submitted to the Division's headquarters.

Note: Project and Annual Permit application forms are available at all Division offices. Generally, the addresses and telephone numbers of Division district offices may be found on the Cal/OSHA Notice poster required pursuant to Section 340 of Title 8 of the California Code of Regulations.
(3) Permits for Use of Diesel Engines in Mines and Tunnels. Permit applications for the use of diesel engines in mines and tunnels shall be submitted to the nearest office of the Division's Mining and Tunneling Unit.

Note: Permit application forms for the underground use of diesel engines are available at all offices of the Division's Mining and Tunneling Unit.
(b) General Requirements for Permit Applications.
(1) All Permit applications shall include the following:
(A) The applicant's business name, business address, telephone number, fax number and, if applicable, the applicant's email address.
(B) The name of the applicant's representative; and that representative's contact telephone number(s).
(C) A valid and applicable license number issued by the California Contractors State License Board, if applicable.
(D) An attached copy of a current policy, binder or other proof of workers' compensation insurance, if applicable.
(E) An attached check or money order for the permit fee as provided in section 341.3 of this article.
(F) A certification from the applicant's representative that he or she has knowledge of the applicable occupational safety and health standards and will comply with such standards and any other lawful orders of the Division.
(G) A description of the conditions, practices, means, methods, operations or processes used or proposed to be used by the applicant to provide a safe and healthful place of employment.

Note: No cash or credit card payments will be accepted by the Division.
(2) In addition, an application for a project permit shall include the following information:
(A) A jobsite telephone number.
(B) The specific jobsite location(s), including street address(es) or cross streets.
(C) The anticipated start date and date of completion.
(D) The permit-required activity to be covered by the permit and a description of the activity for which the permit is sought in sufficient detail to allow an effective evaluation of the safety of the proposed project.
(c) Additional application Requirements for Permits for Underground Use of Diesel Engines in Mines and Tunnels and Permits for Fixed Tower Cranes.
(1) Permits for Underground Use of Diesel Engines in Mines and Tunnels. A permit application for the underground use of diesel engines in mines and tunnels, in addition to the information set forth in this section, shall provide the following:
(A) Complete details and specifications of each diesel engine and exhaust purifying device.
(B) Location of the mine or tunnel and details of how the diesel equipment is to be used.
(C) Length, cross-section, and layout of the underground haulage ways.
(D) Maximum number and brake horsepower of diesels to be operated in any aircourse.
(E) Ventilation plans, including direction of airflow, fan capacity, duct sizes, and auxiliary ventilation.
(F) Date when proposed diesel use is to begin and dates and locations where a representative of the Division may conduct tests of the diesel exhaust gases and mechanical conditions affecting exhaust gas emission.
(2) Permits for Erecting, Climbing, and Dismantling of Fixed Tower Cranes.
Each application for a permit to erect, climb, or dismantle a fixed tower crane shall, in addition to providing the information required by this article, certify that:
(A) A Division-licensed tower crane certifier or surveyor or safety representative for the distributor or manufacturer of the fixed tower crane will be present during erection, climbing, and dismantling operations to assure that such processes and operations are performed in accordance with manufacturer recommendations and applicable standards or orders; and

Note: See Sections 344.70 et seq. of Title 8 of the California Code of Regulations for additional requirements applicable for permits to operate a fixed tower crane.
(B) The applicant will notify the Division of the following dates and times:
(i) Initial erection at this site;
(ii) Completion of erection and commencement of operation;
(iii) Climbing of the tower crane; and
(iv) Dismantling of the tower crane.

Note: The notification must be received by the Division at least 24 hours prior to the activity which is the subject of the notification and may be in writing or by telephone followed by written notification. The notification shall be made to the district office of the Division from which the permit was obtained and must include the date and time of the intended activity.
(d) Safety Conference for Project Permits and Annual Permits.
(1) The Division may conduct any investigation and/or hearing it deems necessary for the purpose of this article, and may require a safety conference to discuss the permit applicant's safety program and the means, methods, devices, processes, practices, conditions or operations the permit applicant intends to use to provide employment and a place of employment that are safe and healthful.
(2) When scheduling a safety conference, the Division shall make a reasonable effort to accommodate the scheduling needs of the applicant, shall furnish the applicant with a recommended checklist of information and documentation to bring to the safety conference, and shall clearly inform the applicant which parties are required to attend.
(3) The safety conference shall be held at a district office or at a designated place convenient for the attending parties, and shall be open to the permit applicant, representatives of the owner, contracting agencies, and employees and their representatives. The permit applicant shall notify all attending parties of the safety conference a reasonable time prior to the holding of the safety conference. Proof of such notification shall be made at the safety conference.
(e) General Requirements Applicable to Issuance of All Permits.
(1) A permit may be issued to an applicant following the filing of a completed Permit Application form, compliance with all the requisites therein, payment of the permit fee as provided in Section 341.3 of this article, and a determination by the Division that all qualifications for receipt of a permit have been met by the applicant. Except as provided in Section 8470(l), the Division shall issue a Project Permit within five working days of the initial project permit safety conference, if the application materials presented by the applicant at the safety conference are complete. If the application materials are not complete, the applicant shall be given a written list before leaving the safety conference of the materials or information needed to complete the application. The Division shall issue the Project Permit within five working days of receiving complete application materials or deny the permit in writing pursuant to the requirements of Section 341.2.

Note: Where Project Permits are required for structures subject to the requirements of Section 341(d)(4), the Division may issue conditional permits when specific information is not yet available.
(2) Each permit issued by the Division shall include the following information:
(A) The person or entity to whom the permit has been issued.
(B) The permit number.
(C) The type of permit issued.
(D) The date through which the permit will remain valid.
(E) The fee amount collected; the check or money order number; and the name of the person collecting the fee.
(F) The name of the person who investigated the permit application and held the permit conference, and the name of the person approving the issuance of the permit.
(G) The specific activities and/or projects covered by the permit.
(f) Issuance of Project Permits for All Projects Other Than Erection of Tower Cranes. The permit applicant shall be required to obtain only one Project Permit for the following work activities:
(1) The construction or demolition of a building or structure over 36 feet high, and the associated excavation of trenches and excavations at the same site.
(2) Any project of construction of a building, structure, vertical shoring, or falsework and/or erection of scaffolding at the same site.
(3) Any project or demolition of a building, structure, or dismantling of scaffolding, vertical shoring or falsework at the same site.
(4) For all or any combination of activities listed in subsection (f)(1), (2), and (3) above at the same jobsite.
(5) Two or more projects when the work is part of the same contract but is located in different Division districts, and the work to be performed is the installation or erection of essentially identical structures.
(A) Such essentially identical structures may include structures such as silos, outdoor signs, tanks or tank towers, and transmission or communication towers.
(B) Such essentially identical structures shall not include bridges, dams, elevated highways, buildings, or tower cranes.
(C) The Project Permit for work on such essentially identical structures shall be issued by the Division district office where the first project scheduled to be commenced is located.
(D) For each subsequent project covered by the Project Permit, the permit holder shall notify the Division district office that has jurisdiction over the site of the project at least 24 hours prior to the activity which is the subject of the notification. Notification shall be given by mail, personal delivery, fax transmission or electronic mail, and shall provide the location of the project and the date and time the work activity is to commence.
(g) Issuance of Project Permits for Fixed Tower Cranes.
Only one permit is required to erect, alter the height of, and dismantle a single fixed tower crane, provided all of this work is done by the same entity. If another entity engages in any of these activities, that entity shall also obtain a Project Permit. If a fixed tower crane is relocated to a new position on the same project a new Project Permit is required.
(h) Issuance of Annual Permits.
(1) An Annual Permit may be issued upon the applicant's demonstration that it has an adequate safety program that has been developed for the work activity to be covered by the permit, subject to the conditions specified below and any additional conditions specified by the Division. Except as provided in the Note below, the permit shall expire one year later at the close of business on the day prior to the anniversary date of issuance. The permit shall display the expiration date.

Note: During the first year following the effective date of this article, the Division may issue Annual Permits for longer than one year in order to stagger the expiration dates.
(2) Annual Permits shall be issued subject to all of the following conditions:
(A) The work shall be performed by the entity named in the permit.
(B) The permit holder shall notify the Division district office that has jurisdiction over the site of the project at least 24 hours prior to the activity which is the subject of the notification. Notification shall be given by mail, personal delivery, fax transmission or electronic mail, and shall provide the location of the project and the date and time the work activity is to commence.
(3) Annual Permits may be renewed by mail.
NOTE

Authority cited: Sections 60.5, 6308, 6501, 6502 and 6503, Labor Code. Reference: Sections 6500, 6501, 6502, 6503, 7373 and 7382, Labor Code.
HISTORY

1. Amendment of subsections (a), (b) and (i) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (a) filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
3. Amendment of subsection (b) filed 5-6-75 as procedural and organizational; effective upon filing (Register 75, No. 19).
4. Amendment of subsections (b) and (c) filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
5. Amendment filed 12-5-85; effective thirtieth day thereafter (Register 85, No. 49).
6. New subsection (b)(1) filed 3-18-91; operative 3-18-91 (Register 91, No. 15).
7. Amendment of subsections (a), (b), (e) and (f) filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
8. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
9. Amendment of section and Note filed 7-13-95 as an emergency; operative 7-13-95 (Register 95, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-10-95 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction inserting History 4 designator (Register 95, No. 36).
11. Amendment of section and Note refiled 11-8-95 as an emergency; operative 11-8-95 (Register 95, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-7-96 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of subsection (f) as it existed prior to emergency amendment of 11-8-95 by operation of Government Code section 11346.1(f) (Register 96, No. 15).
13. Amendment of subsections (f)(1) and (f)(1)(C) filed 4-9-96; operative 4-9-96 pursuant to Government Code section 11346.2(d) (Register 96, No. 15).
14. Repealer and new section filed 9-29-2006; operative 10-29-2006 (Register 2006, No. 39).
§341.2. Denial of Permit.
Note     •     History

(a) The Division shall deny issuance of a permit if in its opinion, based on available facts, the employer has failed to show that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment. A relevant factor in the Division's determination will be the employer's prior occupational safety and health history. In denying a permit to an applicant employer, the district or field office shall immediately notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director.
(b) Any employer denied a permit by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the attending parties within two working days of the employer's appeal. The employer has the burden of establishing that it qualifies for a permit.
The hearing shall be presided by the Director or his authorized designee and shall also be open to employees or employees' representative. The employer shall notify the employees or employees' representative of such hearing a reasonable time prior to the holding of such hearing. Proof of such notification by the employer shall be made at the hearing.
(c) Following the hearing, the Director shall issue his decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's decision.
NOTE

Authority cited: Sections 60.5, 6308, 6502 and 6506, Labor Code. Reference: Sections 6308, 6308.5, 6502 and 6506, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
§341.3. Permit Fees.
Note     •     History

To cover the costs involved in investigating the permit application, and issuing permits, the following schedule of fees are deemed reasonable and necessary. Such applicable fees shall be paid by the employer to the Division of Occupational Safety and health before the issuance of the permit:
(a) Construction of excavations and/or trenches - $50.00.
(b) Construction of building, structure, or dismantling of falsework or scaffolding - $50.00.
(1) For the erection, including climbing and dismantling of the tower structure of a fixed tower crane - $350.00.
(c) Demolition of building or structure, or dismantling of scaffolding or falsework - $50.00.
(d) The underground use of diesel engines in work in mines and tunnels - $50.00.
(e) Annual permits as specified in section 341.1(e) of this article, for period January 1 to December 31 - $100.00.
(f) All fees collected by the Division under this section shall be paid into the General Fund of the State Treasury.
NOTE

Authority cited: Sections 60.5, 6308 and 6507, Labor Code. Reference: Sections 6507 and 7373, Labor Code.
HISTORY

1. Amendment filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
2. Amendment filed 5-16-85; effective thirtieth day thereafter (Register 85, No. 20).
3. Change without regulatory effect amending section (d) filed 9-14-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 43).
4. New subsection (d) and renumbering of subsection (d) and (e) to (e) and (f) filed 3-18-91; operative 3-18-91 (Register 91, No. 15).
5. Amendment of subsection (b) filed 7-15-91 as an emergency; operative 7- 15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
6. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§341.4. Posting of Permit.

Any employer issued a permit pursuant to this Article shall post a copy or copies of the permit at or near each place of employment. If such posting is impracticable at the site of an excavation, the permit shall be made available at such site at all times, or, in the case of a mobile unit, the permit shall be made available at all times at the employer's head office in the district.
§341.5. Revocation or Suspension of Permit.
Note     •     History

(a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any permit issued pursuant to this Article.
(b) Notice shall be in writing and served upon the employer at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the employer's address as shown on the Permit Application Form. The notice shall specify the reasons for the action taken by the Division in order that the employer may prepare for the hearing.
(c) The hearing shall be held as soon as possible at the district or field office, shall be presided by the district manager or his authorized designee and shall also be open to the affected employees or their representative. 
The employer shall notify the employees or employees' representative a reasonable time prior to such hearing. Proof of such notification by the employer shall be made at the hearing.
(d) At the hearing the Division shall establish good cause for the action taken by it. Good cause is established after the Division establishes that the employer has failed to comply with the requirements of the issuance of the permit, and that to permit the continuance of the project under the circumstances would constitute a hazard to the employees.
The employer may appeal such revocation or suspension to the Director in the same manner specified in Section 341.2 of this Article. The filing of an appeal shall not stay the revocation or suspension, except as provided for in Labor Code Section 6506. The employer has the burden of establishing that the Division did not have good cause for the action taken.
NOTE

Authority cited: Sections 60.5, 6308, 6505 and 6506, Labor Code. Reference: Sections 6505 and 6506, Labor Code.
HISTORY

1. Amendment filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
Article 2.5. Registration--Asbestos-  Related Work
§341.6. Registration Requirements.
Note     •     History

(a) An employer who will be engaging in asbestos-related work, as defined, in subsection (b), involving 100 square feet or more of surface area of asbestos-containing material, computed in accordance with subsection (e) of this section, shall apply for and obtain a registration from the division prior to the commencement of any such work. 
The registration shall be valid for one year after issuance by the division. 
(b) “Asbestos-related work” means any activity which by disturbing asbestos-containing construction materials may release asbestos fibers into the air and which is not related to its manufacture, the mining or excavation of asbestos-bearing ore or materials, or the installation or repair of automotive materials containing asbestos. 
(c) “Asbestos containing construction materials” means any manufactured construction material which contains more than 1/10th of 1% asbestos by weight. 
(d) “Asbestos” means fibrous forms of various hydrated minerals including chrysotile (fibrous serpentine), crocidolite (fibrous riebeckite), amosite (fibrous cummingtonite-grunerite), fibrous tremolite, fibrous actinolite, and fibrous anthophyllite. 
(e) The square footage of asbestos containing construction material, as defined in subsection (c) of this section, shall be determined by computing the surface area of any such material which will be handled during the course of the work being performed by the employer at a single worksite. If the asbestos containing construction material is situated in noncontiguous locations at a single worksite, the total square footage of such asbestos containing construction material shall be included in the computation, unless the work is performed as part of a routine and continuing maintenance and repair plan of existing fixtures or machinery where each component of such work involves less than 100 square feet. 
“A single worksite,” as used in this subsection, shall include all buildings, structures, premises, fixtures, machinery or other areas containing asbestos containing construction material which will be handled during the course of the work for which the employer has contracted whether pursuant to single or multiple contracts with the same hirer. 
This article is not intended to apply to asbestos-related work involving less than 100 square feet of asbestos containing construction material performed at separate unrelated worksites by the same employer even though the aggregate total of all such work equals or exceeds one hundred square feet annually. 

Note: The requirements of this section apply only to asbestos-related work involving 100 square feet or more of surface area of asbestos-containing construction material. Compliance with this section shall constitute compliance with the reporting requirements of section 5208 of title 8 of the California Code of Regulations. For asbestos-related work involving less than 100 square feet of surface area of asbestos-containing construction material, and for other work involving the use or handling of asbestos, employers shall comply with the reporting requirements of section 5208 of title 8 of the California Code of Regulations. 
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6501.5, 6501.7 and 6501.8, Labor Code. 
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22). 
2. Amendment filed 8-1-88 as an emergency; operative 8-1-88 (Register 88, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-88. 
3. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2). 
4. Change without regulatory effect amending section (a) filed 9-14-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 43).
§341.7. Application for Registration and Renewal of Registration.
Note     •     History

(a) An employer subject to the provisions of Section 341.6 of this Article shall register with the Division by applying for and obtaining a registration from the Division. Registration application forms may be obtained by writing or calling the headquarter offices of the Division located at 525 Golden Gate Avenue, San Francisco, CA 94102.
(b) Registration application form. A registration may be issued to any employer subject to the provisions of this article following the filing of a completed registration application form and full compliance with all the requirements thereof. All information and attachments given with the application for registration shall be given under penalty of perjury.
The registration application form shall contain the following:
(1) If a contractor, proof of certification if required pursuant to Section 7058.5 of the Business and Professions Code.
(2) Proof that sufficient health insurance coverage has been obtained to cover the entire cost of medical examinations and monitoring required by law or present proof that a $500 trust account has been provided for each employee engaged in such asbestos related work. In addition the employer must provide proof of coverage for worker's compensation insurance.
(3) Proof that all training and certification requirements for employees engaged in asbestos-related work have been completed in accordance with all requirements of law and section 5208, Title 8, California Code of Regulations.
(4) Proof that the employer has knowledge of the applicable occupational safety and health standards, and will comply with such standards and any other such lawful orders of the Division. In addition, that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment and that the employer is proficient in and has the necessary equipment to safely perform asbestos-related work.
(c) An employer may renew the registration by filing an application for renewal meeting the criteria of subsection (b) hereof, and paying a renewal fee as set forth in section 341.12(b) of this article. The application for renewal must be filed with the Division no later than thirty (30) days prior to the expiration date of the current registration.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code; Section 7058.5, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
2. Amendment of subsection (b)(3) and new subsection (c) filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
§341.8. Registration Application-Processing Time.
Note     •     History

(a) Within 15 business days of receipt of an application for registration pursuant to this subsection, the Division shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 6501.5, Labor Code and the provisions of this subsection.
(b) Within 30 business days from date of filing of a completed application, the Division shall inform the applicant in writing of its decision regarding the application.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code; and Section 15376, Government Code. Reference: Section 6501.5, Labor Code; Section 7058.5, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
2. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
§341.9. Notification to the Division--Asbestos-Related Work.
Note     •     History

(a) When an employer will be conducting separate jobs or phases of work which are the subject of the registration required under this article, or where the work process may differ or is performed at noncontiguous locations, written notice shall be provided to the nearest District Office of the Division prior to commencement of any such work activity, except where the circumstances require immediate abatement action in which case, the employer shall immediately notify the nearest district office by telephone or otherwise orally of the start of work, to be confirmed in writing no later than 24 hours thereafter.
The written notice shall contain the following:
(1) The address of the job.
(2) The precise physical location of the job at the given address.
(3) The projected starting and completion date.
(4) The name of the certified supervisor who has sufficient experience and authority and who will be responsible for the asbestos-related work activity.
(5) The name of the qualified person who will be responsible for conducting air sampling, calibration of air sampling equipment, evaluation of sampling results, and respiratory fit testing as well as the evaluation of those tests.
(6) A description of the type of work to be performed, work practices that will be utilized, and an evaluation of the potential for exposure.
Any change in the information provided the Division by the written notice shall be reported to the Division at or before the time of the change. If notification of any change is made by telephone, or otherwise orally, such notification shall be confirmed immediately in writing but in any event no later than 24 hours after the change.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code.
HISTORY

1. New Section filed 5-22-87; operative upon filing (Register 87, No. 22).
2. Amendment filed 8-1-88 as an emergency; operative 8-1-88 (Register 88, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-88.
3. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2).
§341.10. Posting and Notification--Asbestos-Related Work.
Note     •     History

(a) The employer shall post a sign readable at 20 feet at the location where any asbestos-related work subject to the registration and notification requirements of this article is to take place stating “Danger-Asbestos. Cancer and Lung Hazard. Keep Out.”
(b) The employer shall provide a copy of the registration before the commencement of any asbestos-related work to the prime contractor and other employers at the site. A copy of the registration shall be posted at the jobsite beside the Cal/OSHA poster.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
§341.11. Safety Conference.
Note     •     History

The Employer shall conduct a safety conference prior to the commencement of any asbestos-related work subject to the registration and notification requirements of this article. The safety conference shall include representatives of the owner or contracting agency, the contractor, the employer, employees, and employee representatives. The safety conference shall include a discussion of employer's safety program and such means, methods, devices, processes, practices, conditions, or operations as the employer intends to utilize in providing a safe and healthful place of employment. The requirement of this section shall apply to all asbestos-handling jobs regardless of the amount of asbestos to be handled.
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Sections 6501.5 and 6503.5, Labor Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
§341.12. Registration Fees and Renewal Fees.
Note     •     History

(a) To cover the costs involved in investigating the registration application, and issuing the registration, an application fee of $350.00 is deemed reasonable and necessary.
(b) To cover the costs involved in investigating the application for renewal of registration, and issuing the renewed registration, a fee of $150.00 is deemed reasonable and necessary.
(c) Such application or renewal fee shall be paid by the employer to the Division of Occupational Safety and Health before the issuance of the registration or renewal.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6501.5, 6507 and 6508.5, Labor Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
2. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
§341.13. Denial of Registration.
Note     •     History

(a) The Division shall deny the issuance of a registration if in its opinion, based on available facts, including the information provided by employer in the application for registration, the employer has failed to show that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment. A relevant factor in the Division's determination will be the employer's compliance history with the Division. In denying the registration to an applicant employer, the Division shall immediately notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director. 
(b) All procedures for denial shall follow the General Rules of Practice and Procedures in sections 340.40 through 340.52.
(c) The affected party may appeal the action of the Division following the General Rules of Practice and Procedures in sections 340.40 through 340.52.
NOTE

Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6308, 6308.5 and 6501.5, Labor Code. 
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22). 
2. Change without regulatory effect deleting duplicate subsection (b) filed 9-14-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 43).
3. Repealer and new subsections (b) and (c) filed 5-20-2011; operative 6-19-2011 (Register 2011, No. 20).
§341.14. Revocation or Suspension of Registration.
Note     •     History

(a) The Division may at any time, upon a showing of good cause and after notice, revoke or suspend any registration issued pursuant to this article.
(b) All procedures for suspension or revocation shall follow the General Rules of Practice and Procedures in sections 340.40 through 340.52.
(c) The affected party may appeal the action of the Division following the General Rules of Practice and Procedures in sections 340.40 through 340.52.
NOTE

Authority cited: Sections 60.5, 6308, 6501.5 and 6505.5, Labor Code. Reference: Sections 6308, 6308.5, 6501.5 and 6505.5, Labor Code.
HISTORY

1. New section filed 5-22-87; operative upon filing (Register 87, No. 22).
2. Amendment of subsection (a), repealer and new subsections (b) and (c) and repealer of subsection (d) filed 5-20-2011; operative 6-19-2011 (Register 2011, No. 20).
Article 2.6. Asbestos Consultants and Site Surveillance Technicians
§341.15. Certification of Asbestos Consultants and Site Surveillance Technicians.
Note     •     History

(a) Scope and Application.
Any individual performing services as an asbestos consultant or site surveillance technician as referenced and defined in section 1529(q) of Title 8 of the California Code of Regulations must apply for and obtain a certification pursuant to this article.

Note: This does not apply to individuals who perform preliminary site assessments or other such building inspection activities which may identify asbestos-containing construction materials but which are not for the primary purpose of finding asbestos-containing construction materials in buildings and evaluating the materials for the need of asbestos abatement.
(b) Application for Examination and Certification.
(1) Any individual desiring to be certified as set forth in subsection (a) of this section must submit an application for examination and certification as set forth herein. The application and all information and attachments shall be submitted under penalty of perjury, and accompanied by all applicable fees as set forth herein. No application will be accepted for processing by the Division unless accompanied by all required fees as set forth in subsection (c) herein.
Applications may be obtained from any District Office for the Division and shall be filed by mailing the completed application to the following address:

DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
P.O. BOX 420603
SAN FRANCISCO, CA 94142
ATTENTION: ASBESTOS CONSULTANT CERTIFICATION
The application shall include:
(A) Type of certification desired: Asbestos Consultant or Site Surveillance Technician.
(B) Full name of the applicant including the name under which the individual will be conducting business under the certification, and any other names the applicant has used to conduct business as an asbestos consultant within five years previous to the date of the application.
(C) Birthdate and Social Security Number.
(D) Address (Employment and Home).
(E) Telephone Number (Work and Home).
(F) 2 copies of 1 1/2” x 1 1/2” current color photograph of applicant (passport type taken within the past 30 days).
(G) Copies of valid certificates from AHERA training providers approved by the Division.

Note: The Division will publish a list of approved AHERA training providers.
(1) Asbestos consultant applicants shall submit copies of AHERA training certificates for management planner, abatement project designer, abatement contractor and supervisor, and all subsequent annual refresher courses. 
(2) Site surveillance technician applicants shall submit copies of AHERA training completion certificates for inspector, and abatement contractor and supervisor, and all subsequent annual refresher courses. Certificates for abatement worker and abatement project designer may be submitted in lieu of the abatement contractor and supervisor certificate.
(H) Required fee(s).
(I) Description of qualifications as required pursuant to section 1529(o) of Title 8 of the California Code of Regulations outlining the applicant's educational qualifications, (attach copy of diploma, official transcript, or other proof), and description of qualifying work experience as specified in Business and Professions Code sections 7184 and 7185. Qualifying work experience includes technical work associated with asbestos consulting activities. Written references attesting to the applicant's qualifying work experience which are certified under the penalty of perjury are required.
(c) Examination Requirements for Certification.
(1) All applicants must pass a written examination as set forth herein.
(2) The examination shall be a closed book written examination pertaining to the subjects described in (o)(6)(A) and (o)(7)(A) of section 1529 of Title 8 of the California Code of Regulations. The minimum passing score shall be correctly answering 70% of all the questions in the written examination.
(3) The examination shall be conducted at various locations as determined by the Division and administered at least annually or at other intervals when necessary.
(d) Fees for Certification and Renewal.
(1) Fees for asbestos consultant:

	Application and Examination Fee	$500
	Annual Renewal Fee	$325
(2) Fees for site surveillance technician:

	Application and Examination Fee	$400
	Annual Renewal Fee	$270
(3) All fees must be paid at the time the application is filed with the Division. Except as set forth in Part (5) of this subsection, all fees are non-refundable.
(4) All required fees shall be made payable to the Asbestos Consultant Certification Fund.
(5) The Division may refund 75% of the fee when an application is withdrawn by the applicant within 15 business days of the initial submission of the application. The Division may refund 50% of the fee when the Division determines that the applicant is not qualified to take the examination. The Division shall make no refund of the fee when a qualified applicant fails the written examination.
(e) Processing of Application.
(1) Within 15 business days of receipt of an application for certification, the Division shall inform the applicant in writing of its determination either that the application is complete or that it is deficient. The notice shall specify what additional information or documentation is necessary.
(2) Within 45 business days from the date the Division has determined an application is complete the Division shall:
(A) Inform the applicant that the application for certification is denied, specifying the reasons for the denial; or
(B) Inform the applicant that the qualification requirements of this article have been satisfied and that the applicant may take the required written examination; and,
(C) Inform the applicant of the date, time, and location of the examination.
(f) Provisional Certification.
(1) The Division may issue a provisional certification to an applicant when:
(A) The applicant has submitted a completed application and is qualified to take the written examination.
(B) The Division is not able to schedule an examination and issue the certification within 45 business days after the Division has found the application to be complete as set forth in subsection (c) above.
(2) The provisional certification card will authorize the applicant to perform services as an asbestos consultant or site surveillance technician. The provisional certification shall expire 15 days after the scheduled examination date of the applicant who receives the provisional certification.
(3) Only one provisional certification may be issued to an applicant.
(g) Re-examinations.
Within 30 days of notification, any applicant who fails the examination may take the next scheduled examination. The request shall be made to the Division in writing and accompanied by a re-examination fee in the amount of 50% of the application and examination fee specified in subsection (d) above. Any applicant who fails is entitled to retake the examination one time. If an applicant fails the examination twice the request for certification will be denied and the applicant must submit a new application.
(h) Renewal or Replacement of Certification.
(1) A certification issued pursuant to this article shall be valid for one year from the date of issuance as designated on the certification. Any individual certified under this article may renew the certification by filing a request for renewal with the Division at least 60 days prior to the expiration date of the certification. Any individual who fails to renew as required herein must submit a new application for certification.
(2) All requests for renewal must be submitted with a current photograph, copies of required AHERA refresher training certificates, and the required renewal fee specified in subsection (d) above.
(3) Any person whose certification card has been lost or mutilated may request a replacement card from the Division. Such request shall be in writing and accompanied with a current photograph and replacement fee in the amount of 30% of the annual renewal fee specified in (d) of this section.
(i) Denial, Suspension, or Revocation of Certification.
(1) The Division may for good cause deny certification to an applicant. Good cause shall be deemed to exist when the applicant does not satisfy the qualification requirements of this article or has failed the written examination.
(2) The Division may for good cause and after notice suspend or revoke the certification of a person certified pursuant to this section. Good cause shall be deemed to exist if the person certified has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the certification.
(3) All procedures for denial, suspension or revocation will follow the General Rules of Practice and Procedure in sections 340.40 through 340.52.
(4) The affected party may appeal the action of the Division following the General Rules of Practice and Procedures in sections 340.40 through 340.52.
NOTE

Authority cited: Section 7180, Business and Professions Code; and Sections 60.5, 6308 and 9021.5, Labor Code. Reference: Sections 7184 and 7185, Business and Professions Code; Sections 9021.5, 9021.6 and 9021.8, Labor Code; and Section 1529, Title 8, California Code of Regulations.
HISTORY

1. New article 2.6 and section filed 8-6-92; operative 8-6-92 (Register 92, No. 32).
2. Amendment of subsections (d)(1)-(2) filed 11-19-2001 as an emergency; operative 11-19-2001 (Register 2001, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-19-2001 order transmitted to OAL 3-4-2002 and filed 3-28-2002 (Register 2002, No. 13).
4. Amendment filed 5-20-2011; operative 6-19-2011 (Register 2011, No. 20).
Article 2.7. Approval of Courses and Course Providers
§341.16. Approval of Asbestos Training and Course Providers for Training Requirements Relating to Asbestos-Related Work and AHERA.
Note     •     History

(a) Scope and Application.
(1) Any course provider (individual or business entity) providing asbestos training for the purpose of satisfying Division approved training requirements of 1529(k)(9)(B) for employees engaged in asbestos-related work or providing asbestos training for the purpose of satisfying the accreditation requirements of AHERA must submit the training program to the Division for approval in accordance with the provisions of this article.
(2) The Division will approve initial and annual refresher training courses for Construction Craft Worker, and for each of the following AHERA crafts or disciplines: Inspector, Management Planner, Abatement Project Designer, Abatement Contractor/Supervisor, and Asbestos Abatement Worker. Construction Craft Worker means any employee engaged in asbestos-related work (other than asbestos-related work included under the above named AHERA disciplines) requiring employer registration under Section 341.6 and Section 1529.
(3) AHERA as used in this Article means the Asbestos Hazard Emergency Response Act which is codified in 15 U.S.C. Section 2641, et seq.
(b) Requirements for Asbestos Course Approval.
(1) General Requirements.
(A) The course provider shall inform the Division in writing of the starting date, time and location for each training course scheduled at least 15 days prior to each starting date. In cases where the 15-day notice cannot be provided, FAX or telephone with written follow-up notification may be made as soon as possible before commencement of the training, but in no case later than 24 hours prior to commencement.
(B) The Asbestos Abatement Worker courses, including the course materials and examinations, shall be given in a language that is understood by both the course instructor and trainees.
(C) The instructor directing each course shall have at least one year of experience in teaching courses of a similar nature or other professional teaching qualifications in areas related to occupational safety and health issues. The instructor for the hands-on portion of the course shall have at least one year of relevant work experience in asbestos-related work.
(D) The course provider shall update the information submitted to the Division whenever a substantive change is made to information previously submitted for Division approval. Examples of substantive changes include a change in course instructor, instructional materials, personnel, or course offerings. Such notification shall be made in writing to the Division at the address given in (d)(1) of this Section no later than 24 hours after the change is instituted.
(E) To obtain and maintain the required training certificate in an AHERA discipline, an individual must successfully complete an initial class in that discipline. Refresher classes in that discipline must be taken annually thereafter. Only holders of a certificate which is less than one year past the expiration date shown on the certificate shall be permitted to take the refresher training course.
(F) Training attendance is required for at least the duration specified for each course as set forth below. Breaks, including a lunch break, may be included in each eight hours of training.
(G) Except for AHERA courses, a course provider may combine trainees of various crafts for training on common curricula when appropriate, and then separate the trainees for the specific training for each craft.
(H) Training providers shall comply with the minimum recordkeeping requirements in Subpart F of Appendix A of Section 341.16.
(2) Specific Course Requirements
(A) Initial Course for Construction Craft Worker: the initial Construction Craft Worker course shall include the following:
1. The course curriculum and the course length in hours shall meet the requirements in Section 1529 for Class I, II, or III work or other federal requirements.
2. Hands-on training that is specific to the asbestos-related work for the construction craft of each employee attending the course.
(B) Refresher Course for Construction Craft Worker: the annual refresher shall include at least two hours of review of the important elements covered in the corresponding initial course, any changes in federal and state asbestos regulations, and the latest developments in the state of the art practices for asbestos-related work involving the specific construction craft.
(C) Initial AHERA Course: The initial course for each AHERA craft or discipline shall include and conform with the AHERA training course curriculum and required hours of instruction specified in the USEPA Model Accreditation Plan found in 40 CFR Part 763, Subpart E, Appendix C. The Model Accreditation Plan is included as Appendix A of this section.
1. When hands-on training is specified, the hands-on training must allow contractors, supervisors and workers to have actual experience performing tasks associated with asbestos abatement. Simulated asbestos materials shall be used instead of actual asbestos during the hands-on training.
2. The training course shall include a review of applicable federal and state regulations, including but not limited to, Sections 341.6, et seq. and Sections 1529 and 5208 of Title 8 of the California Code of Regulations.
(D) Annual AHERA Refresher Course: The refresher AHERA course shall include and conform with the AHERA training course curriculum described in the USEPA Model Accreditation Plan found in 40 CFR Part 763, Subpart E, Appendix C and shall be specific to each AHERA discipline.
1. The refresher training course shall include a review of the important elements covered in the initial course, any changes in federal, state, and local regulations, and the latest developments in state of the art practices.
2. A minimum of eight (8) hours training shall be given for the refresher training course for Asbestos Abatement Worker, Abatement Contractor/Supervisor and Abatement Project Designer. A minimum of four (4) hours training shall be given for the refresher training course for Inspector. Only the rightful holder of valid current AHERA Inspector and Management Planner certificates shall be allowed to take the Management Planner refresher accreditation training.
(E) Course Examinations.
1. As indicated in the table of examination requirements below an initial training course shall include an examination administered as a final part of the training course. The examination shall adequately cover the topics of the training course. Demonstration testing may be included as a part of the examination. The minimum number of multiple choice questions, each question having at least 4 choices for an answer, and the minimum passing score required for each type of training course are shown in Table 1.

Table 1
Course Examination Specifications

Craft/Discipline	Number of Questions	Passing Score

Construction Craft Worker: 
(closed book exam)	20	70%
Inspector 
(closed book exam):	50	70%
Management Planner 
(closed book exam)	50	70%
Asbestos Project Designer: 
(closed book exam)	100	70%
Asbestos Contractor/Supervisor: 
(closed book exam)	100	70%
Asbestos Abatement Worker: 
(closed book exam)	50	70%

2. Any trainee failing the examination may retake an equivalent but different examination one time; the course provider shall allow the trainee to retake the examination as soon as practicable after notifying the trainee of the exam results but no later than thirty (30) days after such date. If the trainee fails the second examination, the trainee must retake the course in order to take the examination again.
(F) Course Certificates.
1. The training provider shall issue certificates to trainees who complete a training course and pass the examination.
2. The certificate shall be issued within 15 business days after the course completion date. Compliance with this requirement may be delayed until the course provider receives payment for the course. The certificate shall be valid for one year after the successful completion of the examination. Certificates may be renewed annually by successfully completing annual refresher courses as long as the refresher training is taken within a year of the previous expiration date.
3. Each certificate shall contain the following information:
A. The name, address and telephone number of the training provider that issued the certificate. The name of the training course with an indication that it is approved by the Division.
B. The Course Approval Number issued by the Division and a unique certificate number issued by the training course provider. If the certificate is for a Construction Craft Worker, also include on the certificate a designation of the type of craft and the class of asbestos work as described in Section 1529; e.g., Roofer - Class II, General Building Maintenance Worker - Class III, etc.
C. The name of the trainee.
D. The dates when the training course started and ended, and the date of the examination if applicable.
E. The certificate expiration date.
F. The name and signature of an authorized officer of the training course provider with a written statement that the person receiving the certificate has completed the required training and passed the examination (if one is required). In the case of training for AHERA disciplines (but not for Construction Craft Workers), the written statement shall also indicate that the training completed is that required for asbestos accreditation under Toxic Substances Control Act, Title II.
(c) Division Roster of Certificate Holders.
(1) The course provider shall provide the following information to the Division on forms provided by the Division with the appropriate fee specified in subsection (e) for each certificated trainee within 15 business days after each course examination.
(A) The name of the training course and its State of California course approval number.
(B) Full name of certificated trainee.
(C) The unique certificate number issued by the training course provider. If the certificate is for a Construction Craft Worker, also include a designation of the type of craft and the class of asbestos work.
(D) Home address of trainee.
(E) The expiration date of the certificate.
(F) The name of the approved instructor.
(2) The Division will utilize this information to develop a roster of individuals who have received a certificate of training from an approved course provider. Only those individuals who appear on the roster will be considered in compliance with the training requirements of AHERA or subsections 1529(k)(9) for employees engaged in asbestos-related work requiring employer registration.
(d) Application for Course Approval.
(1) Any individual or organization that desires to become a course provider and satisfies the requirements of this article may apply to the Division for approval of an asbestos training course. The course provider shall complete a separate application for each training course for which approval is being sought using the following forms which are hereby incorporated by reference: Worker initial course, Form W-I 8/28/98; Contractor/Supervisor initial course, Form CS-I 8/28/98; Building Inspector initial course, Form BI-I 8/28/98; Project Designer initial course, Form PD-I 8/28/98; Management Planner initial course, Form MP-I 8/28/98; Construction Craft Worker initial course, Form CCW-I 8/28/98; Worker refresher course, Form W-R 8/28/98; Contractor/Supervisor refresher course, Form CS-R 8/28/98; Building Inspector refresher course, Form BI-R 8/28/98; Project Designer refresher course, Form PD-R 8/28/98; Management Planner refresher course, Form MP-R 8/28/98; Construction Craft Worker refresher course, Form CCW-R 8/28/98. Requests for application information and completed applications shall be sent to:

DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
P.O. BOX 420603
SAN FRANCISCO, CA 94142
(2) The application shall include:
(A) The name of the training course.
(B) The name of the course provider, the name and title of the person whom the Division will contact regarding course approval matters, address, phone number, and the name and title of the person completing the application with his or her signature and a statement certifying that the information in the application is correct.
(C) The appropriate fee specified in subsection (e).
(D) Evidence of any previous approval from USEPA or another state for the training course.
(E) Materials describing the contents and parameters of the training course.
(F) Copies of all training documents and visual training aids (projection transparencies, etc.) used in the training course.
(G) A sample copy of the examination to be administered for the training course, including the test key.
(H) A description of and a sample copy of the certificate to be issued for the training course.
(I) The name(s) and qualifications of the instructor(s) of the training course.
(J) A list of the equipment which is used in the training course with a description of each type of equipment and the quantity of each type available on site for training.
(3) Course approvals may not be transferred.
(4) Worker and Craft Worker courses may be approved in languages other than English.
(e) Fees for Course Approval.
(1) The application fee is $200 for the initial Construction Craft Worker course approval and $100 for the refresher course approval.
(2) The application fee is $600 for any initial AHERA course approval and $400 for any refresher AHERA course approval.
(3) Submitted application fees are not refundable. An appropriate application fee is required for each application.
(4) Fees are required to defray the cost of administering the approval process for assuring that approved providers continue to provide effective training as required. The continuing approval process includes course audits and the auditing activity for an approved provider will be related to the number of trainees trained by the provider and other information available to the Division. A roster fee shall be paid by the approved provider to fund this continuing approval process and to fund the maintenance of the roster specified in subsection (c). The course provider shall remit a roster fee of $5 for each certificated trainee of a Construction Craft Worker Course, and $10 for each certificated trainee of each AHERA training course as specified in Section 341.16(c)(1). The annual cumulative roster fees must total a minimum of $150 for each approved course. If the annual cumulative roster fees is less than $150 for an approved course and the course provider wants to maintain the approval for the course, the course provider must remit a supplemental amount needed to make the $150 minimum annual total by the end of the annual interval. The annual interval commences from the anniversary date of the issuance of approval for the approved course.
(5) Fees required by this subsection shall be payable to the Asbestos Training Approval Account.
(f) Processing of Application.
(1) Within 15 business days of receipt of an application for approval, the Division shall inform the applicant in writing whether the submitted application information required by (d)(2) is complete or additional information needs to be submitted.
(2) Within 45 business days from the date the Division has determined an application is complete, the Division shall inform the applicant that the training course is approved and issue a State of California Course Approval Number to the applicant or inform the applicant that the application for approval is denied, specifying the reason for denial. After an application is denied, a new application with another fee must be submitted if the applicant wishes to continue to seek course approval.
(g) Audit of Training Course.
(1) Each course provider, as a condition of approval, shall permit the Division to attend and audit any training course in part or in its entirety without prior notification to the course provider.
(2) The Division may administer a questionnaire to the trainees at the conclusion of an approved training course to evaluate training effectiveness.
(h) Denial, Suspension and Revocation of Course Approval and of Training Certificates.
(1) The Division may at any time, upon a showing of good cause and after notice deny any application for course approval or certificate; or, suspend or revoke any course approval or training certificate issued pursuant to this section.
(2) Good cause shall be deemed to exist if the Division establishes that a course provider:
(A) Misrepresented the extent of a training course's approval by a State or EPA;
(B) Failed to submit required information, notifications or fees in a timely manner;
(C) Failed to establish and maintain records of the training course materials, instructor qualifications, examinations, accreditation certificates, procedures to verify student fulfillment of prerequisites, and other records required by this section and Appendix A;
(D) Failed to confirm that their students possess valid accreditation before granting course admission for refresher training courses, or for courses with prerequisites;
(E) Falsified instructor qualifications, accreditation records, or other information;
(F) Issued a certificate, but did not provide the corresponding required training; or
(G) Failed to adhere to all requirements of the Model Accreditation Plan in Appendix A.
(3) Good cause shall be deemed to exist if the Division establishes that an individual:
(A) Performed asbestos work requiring accreditation without being in physical possession of initial and current accreditation certificates;
(B) Permitted the duplication or use of one's own accreditation certificate by another;
(C) Performed work for which accreditation has not been received;
(D) Obtained accreditation from a training provider that does not have approval to offer training for the particular discipline from either EPA or from a State that has a contractor accreditation plan at least as stringent as the EPA MAP;
(E) Obtained accreditation through fraudulent representation of training or examination documents;
(F) Obtained training documentation through fraudulent means;
(G) Gained admission to and completed refresher training through fraudulent representation of initial or previous refresher training documentation; or
(H) Obtained accreditation through fraudulent representation of accreditation requirements such as education, training, professional registration, or experience.
(4) All procedures for denial, suspension, or revocation shall follow the General Rules of Practice and Procedures in Section 340.40 through 340.52.
(5) The affected party may appeal the action of the Division following the General Rules of Practice and Procedures in Sections 340.40 through 340.52.
NOTE

Authority cited: Sections 60.5, 6308 and 9021.9, Labor Code; and 40 CFR Part 763. Reference: Sections 6501.5 and 6501.8(c), Labor Code; Sections 7184 and 7185, Business and Professions Code; and Section 15 of the Asbestos School Hazard Abatement Reauthorization Act.
HISTORY

1. New article 2.7 (section 341.16), section and Appendix A filed 12-3-98; operative 1-2-99 (Register 98, No. 48).
2. Amendment of section and Note filed 5-20-2011; operative 6-19-2011 (Register 2011, No. 20).

Appendix A  40 CFR Part 763, Appendix C to Subpart E,   Asbestos Model Accreditation Plan.
I. Asbestos Model Accreditation Plan for States
The Asbestos Model Accreditation Plan (MAP) for States has eight components:
(A) Definitions
(B) Initial Training
(C) Examinations
(D) Continuing Education
(E) Qualifications
(F) Recordkeeping Requirements for Training Providers
(G) Deaccreditation
(H) Reciprocity
A. Definitions
For purposes of Appendix C:
1. “Friable asbestos-containing material (ACM)” means any material containing more than one percent asbestos which has been applied on ceilings, walls, structural members, piping, duct work, or any other part of a building, which when dry, may be crumbled, pulverized, or reduced to powder by hand pressure. The term includes non-friable asbestos-containing material after such previously non-friable material becomes damaged to the extent that when dry it may be crumbled, pulverized, or reduced to powder by hand pressure.
2. “Friable asbestos-containing building material (ACBM)” means any friable ACM that is in or on interior structural members or other parts of a school or public and commercial building.
3. “Inspection” means an activity undertaken in a school building, or a public and commercial building, to determine the presence or location, or to assess the condition of, friable or non-friable asbestos-containing building material (ACBM) or suspected ACBM, whether by visual or physical examination, or by collecting samples of such material. This term includes reinspections of friable and non-friable known or assumed ACBM which has been previously identified. The term does not include the following:
a. Periodic surveillance of the type described in 40 CFR 763.92(b) solely for the purpose of recording or reporting a change in the condition of known or assumed ACBM;
b. Inspections performed by employees or agents of Federal, State, or local government solely for the purpose of determining compliance with applicable statutes or regulations; or
c. visual inspections of the type described in 40 CFR 763.90(i) solely for the purpose of determining completion of response actions.
4. “Major fiber release episode” means any uncontrolled or unintentional disturbance of ACBM, resulting in a visible emission, which involves the falling or dislodging of more than 3 square or linear feet of friable ACBM.
5. “Minor fiber release episode” means any uncontrolled or unintentional disturbance of ACBM, resulting in a visible emission, which involves the falling or dislodging of 3 square or linear feet or less of friable ACBM.
6. “Public and commercial building” means the interior space of any building which is not a school building, except that the term does not include any residential apartment building of fewer than 10 units or detached single-family homes. The term includes, but is not limited to: industrial and office buildings, residential apartment buildings and condominiums of 10 or more dwelling units, government-owned buildings, colleges, museums, airports, hospitals, churches, preschools, stores, warehouses and factories. Interior space includes exterior hallways connecting buildings, porticos, and mechanical systems used to condition interior space.
7. “Response action” means a method, including removal, encapsulation, enclosure, repair, and operation and maintenance, that protects human health and the environment from friable ACBM.
8. “Small-scale, short-duration activities (SSSD)” are tasks such as, but not limited to:
a. Removal of asbestos-containing insulation on pipes.
b. Removal of small quantities of asbestos-containing insulation on beams or above ceilings.
c. Replacement of an asbestos-containing gasket on a valve.
d. Installation or removal of a small section of drywall.
e. Installation of electrical conduits through or proximate to asbestos-containing materials.
SSSD can be further defined by the following considerations:
f. Removal of small quantities of ACM only if required in the performance of another maintenance activity not intended as asbestos abatement.
g. Removal of asbestos-containing thermal system insulation not to exceed amounts greater than those which can be contained in a single glove bag.
h. Minor repairs to damaged thermal system insulation which do not require removal.
i. Repairs to a piece of asbestos-containing wallboard.
j. Repairs, involving encapsulation, enclosure, or removal, to small amounts of friable ACM only if required in the performance of emergency or routine maintenance activity and not intended solely as asbestos abatement. Such work may not exceed amounts greater than those which can be contained in a single prefabricated mini-enclosure. Such an enclosure shall conform spatially and geometrically to the localized work area, in order to perform its intended containment function.
B. Initial Training
Training requirements for purposes of accreditation are specified both in terms of required subjects of instruction and in terms of length of training. Each initial training course has a prescribed curriculum and number of days of training. One day of training equals 8 hours, including breaks and lunch. Course instruction must be provided by EPA or State-approved instructors. EPA or State instructor approval shall be based upon a review of the instructor's academic credentials and/or field experience in asbestos abatement.
Beyond the initial training requirements, individual States may wish to consider requiring additional days of training for purposes of supplementing hands-on activities or for reviewing relevant state regulations. States also may wish to consider the relative merits of a worker apprenticeship program. Further, they might consider more stringent minimum qualification standards for the approval of training instructors. EPA recommends that the enrollment in any given course be limited to 25 students so that adequate opportunities exist for individual hands-on experience.
States have the option to provide initial training directly or approve other entities to offer training. The following requirements are for the initial training of persons required to have accreditation under TSCA Title II.
Training requirements for each of the five accredited disciplines are outlined below. Persons in each discipline perform a different job function and distinct role. Inspectors identify and assess the condition of ACBM, or suspect ACBM. Management planners use data gathered by inspectors to assess the degree of hazard posed by ACBM in schools to determine the scope and timing of appropriate response actions needed for schools. Project designers determine how asbestos abatement work should be conducted. Lastly, workers and contractor/supervisors carry out and oversee abatement work. In addition, a recommended training curriculum is also presented for a sixth discipline, which is not federally-accredited, that of “Project Monitor.” Each accredited discipline and training curriculum is separate and distinct from the others. A person seeking accreditation in any of the five accredited MAP disciplines cannot attend two or more courses concurrently, but may attend such courses sequentially. 
In several instances, initial training courses for a specific discipline (e.g., workers, inspectors) require hands-on training. For asbestos abatement contractor/supervisors and workers, hands-on training should include working with asbestos-substitute materials, fitting and using respirators, use of glovebags, donning protective clothing, and constructing a decontamination unit as well as other abatement work activities.
1. Workers
A person must be accredited as a worker to carry out any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as asbestos abatement workers shall complete at least a 4-day training course as outlined below. The 4-day worker training course shall include lectures, demonstrations, at least 14 hours of hands-on training, individual respirator fit testing, course review, and an examination. Hands-on training must permit workers to have actual experience performing tasks associated with asbestos abatement. A person who is otherwise accredited as a contractor/supervisor may perform in the role of a worker without possessing separate accreditation as a worker.
Because of cultural diversity associated with the asbestos workforce, EPA recommends that States adopt specific standards for the approval of foreign language courses for abatement workers. EPA further recommends the use of audio-visual materials to complement lectures, where appropriate.
The training course shall adequately address the following topics:
(a) Physical characteristics of asbestos. Identification of asbestos, aerodynamic characteristics, typical uses, and physical appearance, and a summary of abatement control options.
(b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency periods for asbestos-related diseases; a discussion of the relationship of asbestos exposure to asbestosis, lung cancer, mesothelioma, and cancers of other organs.
(c) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing; and regulations covering personal protective equipment.
(d) State-of-the-art work practices. Proper work practices for asbestos abatement activities, including descriptions of proper construction; maintenance of barriers and decontamination enclosure systems; positioning of warning signs; lock-out of electrical and ventilation systems; proper working techniques for minimizing fiber release; use of wet methods; use of negative pressure exhaust ventilation equipment; use of high-efficiency particulate air (HEPA) vacuums; proper clean-up and disposal procedures; work practices for removal, encapsulation, enclosure, and repair of ACM; emergency procedures for sudden releases; potential exposure situations; transport and disposal procedures; and recommended and prohibited work practices.
(e) Personal hygiene. Entry and exit procedures for the work area; use of showers; avoidance of eating, drinking, smoking, and chewing (gum or tobacco) in the work area; and potential exposures, such as family exposure.
(f) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire and explosion hazards, scaffold and ladder hazards, slips, trips, and falls, and confined spaces.
(g) Medical monitoring. OSHA and EPA Worker Protection Rule requirements for physical examinations, including a pulmonary function test, chest X-rays, and a medical history for each employee.
(h) Air monitoring. Procedures to determine airborne concentrations of asbestos fibers, focusing on how personal air sampling is performed and the reasons for it.
(i) Relevant Federal, State, and local regulatory requirements, procedures, and standards. With particular attention directed at relevant EPA, OSHA, and State regulations concerning asbestos abatement workers.
(j) Establishment of respiratory protection programs.
(k) Course review. A review of key aspects of the training course.
2. Contractor/Supervisors
A person must be accredited as a contractor/supervisor to supervise any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as asbestos abatement contractor/supervisors shall complete at least a 5-day training course as outlined below. The training course must include lectures, demonstrations, at least 14 hours of hands-on training, individual respirator fit testing, course review, and a written examination. Hands-on training must permit supervisors to have actual experience performing tasks associated with asbestos abatement.
EPA recommends the use of audiovisual materials to complement lectures, where appropriate.
Asbestos abatement supervisors include those persons who provide supervision and direction to workers performing response actions. Supervisors may include those individuals with the position title of foreman, working foreman, or leadman pursuant to collective bargaining agreements. At least one supervisor is required to be at the worksite at all times while response actions are being conducted. Asbestos workers must have access to accredited supervisors throughout the duration of the project.
The contractor/supervisor training course shall adequately address the following topics:
(a) The physical characteristics of asbestos and asbestos-containing materials. Identification of asbestos, aerodynamic characteristics, typical uses, physical appearance, a review of hazard assessment considerations, and a summary of abatement control options.
(b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; synergism between cigarette smoking and asbestos exposure; and latency period for diseases.
(c) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection, donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; and use, storage, and handling of non-disposable clothing; and regulations covering personal protective equipment.
(d) State-of-the-art work practices. Proper work practices for asbestos abatement activities, including descriptions of proper construction and maintenance of barriers and decontamination enclosure systems; positioning of warning signs; lock-out of electrical and ventilation systems; proper working techniques for minimizing fiber release; use of wet methods; use of negative pressure exhaust ventilation equipment; use of HEPA vacuums; and proper clean-up and disposal procedures. Work practices for removal, encapsulation, enclosure, and repair of ACM; emergency procedures for unplanned releases; potential exposure situations; transport and disposal procedures; and recommended and prohibited work practices. New abatement-related techniques and methodologies may be discussed.
(e) Personal hygiene. Entry and exit procedures for the work area; use of showers; and avoidance of eating, drinking, smoking, and chewing (gum or tobacco) in the work area. Potential exposures, such as family exposure, shall also be included.
(f) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire and explosion hazards, scaffold and ladder hazards, slips, trips, and falls, and confined spaces.
(g) Medical monitoring. OSHA and EPA Worker Protection Rule requirements for physical examinations, including a pulmonary function test, chest X-rays and a medical history for each employee.
(h) Air monitoring. Procedures to determine airborne concentrations of asbestos fibers, including descriptions of aggressive air sampling, sampling equipment and methods, reasons for air monitoring, types of samples and interpretation of results. 
EPA recommends that transmission electron microscopy (TEM) be used for analysis of final air clearance samples, and that sample analyses be performed by laboratories accredited by the National Institute of Standards and Technology's (NIST) National Voluntary Laboratory Accreditation Program (NVLAP).
(i) Relevant Federal, State, and local regulatory requirements, procedures, and standards, including:
(i) Requirements of TSCA Title II.
(ii) National Emission Standards for Hazardous Air Pollutants (40 CFR part 61), Subparts A (General Provisions) and M (National Emission Standard for Asbestos).
(iii) OSHA standards for permissible exposure to airborne concentrations of asbestos fibers and respiratory protection (29 CFR 1910.134).
(iv) OSHA Asbestos Construction Standard (29 CFR 1926.58).
(v) EPA Worker Protection Rule (40 CFR part 763, Subpart G).
(j) Respiratory Protection Programs and Medical Monitoring Programs.
(k) Insurance and liability issues. Contractor issues; worker's compensation coverage and exclusions; third-party liabilities and defenses; insurance coverage and exclusions.
(l) Recordkeeping for asbestos abatement projects. Records required by Federal, State, and local regulations; records recommended for legal and insurance purposes.
(m) Supervisory techniques for asbestos abatement activities. Supervisory practices to enforce and reinforce the required work practices and discourage unsafe work practices.
(n) Contract specifications. Discussions of key elements that are included in contract specifications.
(o) Course review. A review of key aspects of the training course.
3. Inspector
All persons who inspect for ACBM in schools or public and commercial buildings must be accredited. All persons seeking accreditation as an inspector shall complete at least a 3-day training course as outlined below. The course shall include lectures, demonstrations, 4 hours of hands-on training, individual respirator fit-testing, course review, and a written examination.
EPA recommends the use of audiovisual materials to complement lectures, where appropriate. Hands-on training should include conducting a simulated building walk-through inspection and respirator fit testing. The inspector training course shall adequately address the following topics:
(a) Background information on asbestos. Identification of asbestos, and examples and discussion of the uses and locations of asbestos in buildings; physical appearance of asbestos.
(b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency periods for asbestos-related diseases; a discussion of the relationship of asbestos exposure to asbestosis, lung cancer, mesothelioma, and cancers of other organs.
(c) Functions/qualifications and role of inspectors. Discussions of prior experience and qualifications for inspectors and management planners; discussions of the functions of an accredited inspector as compared to those of an accredited management planner; discussion of inspection process including inventory of ACM and physical assessment.
(d) Legal liabilities and defenses. Responsibilities of the inspector and management planner; a discussion of comprehensive general liability policies, claims-made, and occurrence policies, environmental and pollution liability policy clauses; state liability insurance requirements; bonding and the relationship of insurance availability to bond availability.
(e) Understanding building systems. The interrelationship between building systems, including: an overview of common building physical plan layout; heat, ventilation, and air conditioning (HVAC) system types, physical organization, and where asbestos is found on HVAC components; building mechanical systems, their types and organization, and where to look for asbestos on such systems; inspecting electrical systems, including appropriate safety precautions; reading blueprints and as-built drawings.
(f) Public/employee/building occupant relations. Notifying employee organizations about the inspection; signs to warn building occupants; tact in dealing with occupants and the press; scheduling of inspections to minimize disruptions; and education of building occupants about actions being taken.
(g) Pre-inspection planning and review of previous inspection records. Scheduling the inspection and obtaining access; building record review; identification of probable homogeneous areas from blueprints or as-built drawings; consultation with maintenance or building personnel; review of previous inspection, sampling, and abatement records of a building; the role of the inspector in exclusions for previously performed inspections.
(h) Inspecting for friable and non-friable ACM and assessing the condition of friable ACM. Procedures to follow in conducting visual inspections for friable and non-friable ACM; types of building materials that may contain asbestos; touching materials to determine friability; open return air plenums and their importance in HVAC systems; assessing damage, significant damage, potential damage, and potential significant damage; amount of suspected ACM, both in total quantity and as a percentage of the total area; type of damage; accessibility; material's potential for disturbance; known or suspected causes of damage or significant damage; and deterioration as assessment factors.
(i) Bulk sampling/documentation of asbestos. Detailed discussion of the “Simplified Sampling Scheme for Friable Surfacing Materials (EPA 560/5-85-030a October 1985)”; techniques to ensure sampling in a randomly distributed manner for other than friable surfacing materials; sampling of non-friable materials; techniques for bulk sampling; inspector's sampling and repair equipment; patching or repair of damage from sampling; discussion of polarized light microscopy; choosing an accredited laboratory to analyze bulk samples; quality control and quality assurance procedures. EPA's recommendation that all bulk samples collected from school or public and commercial buildings be analyzed by a laboratory accredited under the NVLAP administered by NIST.
(j) Inspector respiratory protection and personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing.
(k) Recordkeeping and writing the inspection report. Labeling of samples and keying sample identification to sampling location; recommendations on sample labeling; detailing of ACM inventory; photographs of selected sampling areas and examples of ACM condition; information required for inclusion in the management plan required for school buildings under TSCA Title II, section 203(i)(1). EPA recommends that States develop and require the use of standardized forms for recording the results of inspections in schools or public or commercial buildings, and that the use of these forms be incorporated into the curriculum of training conducted for accreditation.
(l) Regulatory review. The following topics should be covered: National Emission Standards for Hazardous Air Pollutants (NESHAP; 40 CFR part 61, Subparts A and M); EPA Worker Protection Rule (40 CFR part 763, Subpart G); OSHA Asbestos Construction Standard (29 CFR 1926.58); OSHA respirator requirements (29 CFR 1910.134); the Asbestos-Containing Materials in Schools Rule (40 CFR Part 763, Subpart E); applicable State and local regulations, and differences between Federal and State requirements where they apply, and the effects, if any, on public and nonpublic schools or commercial or public buildings.
(m) Field trip. This includes a field exercise, including a walk-through inspection; on-site discussion about information gathering and the determination of sampling locations; on-site practice in phsical assessment; classroom discussion of field exercise.
(n) Course review. A review of key aspects of the training course.
4. Management Planner
All persons who prepare management plans for schools must be accredited. All persons seeking accreditation as management planners shall complete a 3-day inspector training course as outlined above and a 2-day management planner training course. Possession of current and valid inspector accreditation shall be a prerequisite for admission to the management planner training course. The management planner course shall include lectures, demonstrations, course review, and a written examination.
EPA recommends the use of audiovisual materials to complement lectures, where appropriate.
TSCA Title II does not require accreditation for persons performing the management planner role in public and commercial buildings. Nevertheless, such persons may find this training and accreditation helpful in preparing them to design or administer asbestos operations and maintenance programs for public and commercial buildings.
The management planner training course shall adequately address the following topics:
(a) Course overview. The role and responsibilities of the management planner; operations and maintenance programs; setting work priorities; protection of building occupants.
(b) Evaluation/interpretation of survey results. Review of TSCA Title II requirements for inspection and management plans for school buildings as given in section 203(i)(1) of TSCA Title II; interpretation of field data and laboratory results; comparison of field inspector's data sheet with laboratory results and site survey.
(c) Hazard assessment. Amplification of the difference between physical assessment and hazard assessment; the role of the management planner in hazard assessment; explanation of significant damage, damage, potential damage, and potential significant damage; use of a description (or decision tree) code for assessment of ACM; assessment of friable ACM; relationship of accessibility, vibration sources, use of adjoining space, and air plenums and other factors to hazard assessment.
(d) Legal implications. Liability; insurance issues specific to planners; liabilities associated with interim control measures, in-house maintenance, repair, and removal; use of results from previously performed inspections.
(e) Evaluation and selection of control options. Overview of encapsulation, enclosure, interim operations and maintenance, and removal; advantages and disadvantages of each method; response actions described via a decision tree or other appropriate method; work practices for each response action; staging and prioritizing of work in both vacant and occupied buildings; the need for containment barriers and decontamination in response actions.
(f) Role of other professionals. Use of industrial hygienists, engineers, and architects in developing technical specifications for response actions; any requirements that may exist for architect sign-off of plans; team approach to design of high-quality job specifications.
(g) Developing an operations and maintenance (O&M) plan. Purpose of the plan; discussion of applicable EPA guidance documents; what actions should be taken by custodial staff; proper cleaning procedures; steam cleaning and HEPA vacuuming; reducing disturbance of ACM; scheduling O&M for off-hours; rescheduling or canceling renovation in areas with ACM; boiler room maintenance; disposal of ACM; in-house procedures for ACM-bridging and penetrating encapsulants; pipe fittings; metal sleeves; polyvinyl chloride (PVC), canvas, and wet wraps; muslin with straps, fiber mesh cloth; mineral wool, and insulating cement; discussion of employee protection programs and staff training; case study in developing an O&M plan (development, implementation process, and problems that have been experienced).
(h) Regulatory review. Focusing on the OSHA Asbestos Construction Standard found at 29 CFR 1926.58; the National Emission Standard for Hazardous Air Pollutants (NESHAP) found at 40 CFR part 61, Subparts A (General Provisions) and M (National Emission Standard for Asbestos), EPA Worker Protection Rule found at 40 CFR part 763, Subpart G; TSCA Title II; applicable State regulations.
(i) Recordkeeping for the management planner. Use of field inspector's data sheet along with laboratory results; on-going recordkeeping as a means to track asbestos disturbance; procedures for recordkeeping. EPA recommends that States require the use of standardized forms for purposes of management plans and incorporate the use of such forms into the initial training course for management planners.
(j) Assembling and submitting the management plan. Plan requirements for schools in TSCA Title II section 203(i)(1); the management plan as a planning tool.
(k) Financing abatement actions. Economic analysis and cost estimates; development of cost estimates; present costs of abatement versus future operation and maintenance costs; Asbestos School Hazard Abatement Act grants and loans.
(l) Course review. A review of key aspects of the training course.
5. Project Designer
A person must be accredited as a project designer to design any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD maintenance activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD maintenance activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as a project designer shall complete at least a minimum 3-day training course as outlined below. The project designer course shall include lectures, demonstrations, a field trip, course review and a written examination.
EPA recommends the use of audiovisual materials to complement lectures, where appropriate.
The abatement project designer training course shall adequately address the following topics:
(a) Background information on asbestos. Identification of asbestos; examples and discussion of the uses and locations of asbestos in buildings; physical appearance of asbestos.
(b) Potential health effects related to asbestos exposure. Nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency period of asbestos-related diseases; a discussion of the relationship between asbestos exposure and asbestosis, lung cancer, mesothelioma, and cancers of other organs.
(c) Overview of abatement construction projects. Abatement as a portion of a renovation project; OSHA requirements for notification of other contractors on a multi-employer site (29 CFR 1926.58).
(d) Safety system design specifications. Design, construction, and maintenance of containment barriers and decontamination enclosure systems; positioning of warning signs; electrical and ventilation system lock-out; proper working techniques for minimizing fiber release; entry and exit procedures for the work area; use of wet methods; proper techniques for initial cleaning; use of negative-pressure exhaust ventilation equipment; use of HEPA vacuums; proper clean-up and disposal of asbestos; work practices as they apply to encapsulation, enclosure, and repair; use of glove bags and a demonstration of glove bag use.
(e) Field trip. A visit to an abatement site or other suitable building site, including on-site discussions of abatement design and building walk-through inspection. Include discussion of rationale for the concept of functional spaces during the walk-through.
(f) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing.
(g) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire, and explosion hazards.
(h) Fiber aerodynamics and control. Aerodynamic characteristics of asbestos fibers; importance of proper containment barriers; settling time for asbestos fibers; wet methods in abatement; aggressive air monitoring following abatement; aggressive air movement and negative-pressure exhaust ventilation as a clean-up method.
(i) Designing abatement solutions. Discussions of removal, enclosure, and encapsulation methods; asbestos waste disposal.
(j) Final clearance process. Discussion of the need for a written sampling rationale for aggressive final air clearance; requirements of a complete visual inspection; and the relationship of the visual inspection to final air clearance. EPA recommends the use of TEM for analysis of final air clearance samples. These samples should be analyzed by laboratories accredited under the NIST NVLAP.
(k) Budgeting/cost estimating. Development of cost estimates; present costs of abatement versus future operation and maintenance costs; setting priorities for abatement jobs to reduce costs.
(l) Writing abatement specifications. Preparation of and need for a written project design; means and methods specifications versus performance specifications; design of abatement in occupied buildings; modification of guide specifications for a particular building; worker and building occupant health/medical considerations; replacement of ACM with non-asbestos substitutes.
(m) Preparing abatement drawings. Significance and need for drawings, use of as-built drawings as base drawings; use of inspection photographs and on-site reports; methods of preparing abatement drawings; diagramming containment barriers; relationship of drawings to design specifications; particular problems related to abatement drawings.
(n) Contract preparation and administration.
(o) Legal/liabilities/defenses. Insurance considerations; bonding; hold-harmless clauses; use of abatement contractor's liability insurance; claims made versus occurrence policies.
(p) Replacement. Replacement of asbestos with asbestos-free substitutes.
(q) Role of other consultants. Development of technical specification sections by industrial hygienists or engineers; the multi-disciplinary team approach to abatement design.
(r) Occupied buildings. Special design procedures required in occupied buildings; education of occupants; extra monitoring recommendations; staging of work to minimize occupant exposure; scheduling of renovation to minimize exposure.
(s) Relevant Federal, State, and local regulatory requirements, procedures and standards, including, but not limited to:
(i) Requirements of TSCA Title II.
(ii) National Emission Standards for Hazardous Air Pollutants, (40 CFR part 61) subparts A (General Provisions) and M (National Emission Standard for Asbestos).
(iii) OSHA Respirator Standard found at 29 CFR 1910.134.
(iv) EPA Worker Protection Rule found at 40 CFR part 763, subpart G.
(v) OSHA Asbestos Construction Standard found at 29 CFR 1926.58.
(vi) OSHA Hazard Communication Standard found at 29 CFR 1926.59.
(t) Course review. A review of key aspects of the training course.
6. Project Monitor
EPA recommends that States adopt training and accreditation requirements for persons seeking to perform work as project monitors. Project monitors observe abatement activities performed by contractors and generally serve as a building owner's representative to ensure that abatement work is completed according to specification and in compliance with all relevant statutes and regulations. They may also perform the vital role of air monitoring for purposes of determining final clearance. EPA recommends that a State seeking to accredit individuals as project monitors consider adopting a minimum 5-day training course covering the topics outlined below. The course outlined below consists of lectures and demonstrations, at least 6 hours of hands-on training, course review, and a written examination. The hands-on training component might be satisfied by having the student simulate participation in or performance of any of the relevant job functions or activities (or by incorporation of the workshop component described in item “n” below of this unit).
EPA recommends that the project monitor training course adequately address the following topics:
(a) Roles and responsibilities of the project monitor. Definition and responsibilities of the project monitor, including regulatory/specification compliance monitoring, air monitoring, conducting visual inspections, and final clearance monitoring.
(b) Characteristics of asbestos and asbestos-containing materials. Typical uses of asbestos; physical appearance of asbestos; review of asbestos abatement and control techniques; presentation of the health effects of asbestos exposure, including routes of exposure, dose-response relationships, and latency periods for asbestos-related diseases.
(c) Federal asbestos regulations. Overview of pertinent EPA regulations, including: NESHAP, 40 CFR part 61, subparts A and M; AHERA, 40 CFR part 763, subpart E; and the EPA Worker Protection Rule, 40 CFR part 763, subpart G. Overview of pertinent OSHA regulations, including: Construction Industry Standard for Asbestos, 29 CFR 1926.58; Respirator Standard, 29 CFR 1910.134; and the Hazard Communication Standard, 29 CFR 1926.59. Applicable State and local asbestos regulations; regulatory interrelationships.
(d) Understanding building construction and building systems. Building construction basics, building physical plan layout; understanding building systems (HVAC, electrical, etc.); layout and organization, where asbestos is likely to be found on building systems; renovations and the effect of asbestos abatement on building systems.
(e) Asbestos abatement contracts, specifications, and drawings. Basic provisions of the contract; relationships between principle parties, establishing chain of command; types of specifications, including means and methods, performance, and proprietary and nonproprietary; reading and interpreting records and abatement drawings; discussion of change orders; common enforcement responsibilities and authority of project monitor.
(f) Response actions and abatement practices. Pre-work inspections; pre-work considerations, precleaning of the work area, removal of furniture, fixtures, and equipment; shutdown/modification of building systems; construction and maintenance of containment barriers, proper demarcation of work areas; work area entry/exit, hygiene practices; determining the effectiveness of air filtration equipment; techniques for minimizing fiber release, wet methods, continuous cleaning; abatement methods other than removal; abatement area clean-up procedures; waste transport and disposal procedures; contingency planning for emergency response.
(g) Asbestos abatement equipment. Typical equipment found on an abatement project; air filtration devices, vacuum systems, negative pressure differential monitoring; HEPA filtration units, theory of filtration, design/construction of HEPA filtration units, qualitative and quantitative performance of HEPA filtration units, sizing the ventilation requirements, location of HEPA filtration units, qualitative and quantitative tests of containment barrier integrity; best available technology.
(h) Personal protective equipment. Proper selection of respiratory protection; classes and characteristics of respirator types, limitations of respirators; proper use of other safety equipment, protective clothing selection, use, and proper handling, hard/bump hats, safety shoes; breathing air systems, high pressure v. low pressure, testing for Grade D air, determining proper backup air volumes.
(i) Air monitoring strategies. Sampling equipment, sampling pumps (low v. high volume), flow regulating devices (critical and limiting orifices), use of fibrous aerosol monitors on abatement projects; sampling media, types of filters, types of cassettes, filter orientation, storage and shipment of filters; calibration techniques, primary calibration standards, secondary calibration standards, temperature/pressure effects, frequency of calibration, recordkeeping and field work documentation, calculations; air sample analysis, techniques available and limitations of AHERA on their use, transmission electron microscopy (background to sample preparation and analysis, air sample conditions which prohibit analysis, EPA's recommended technique for analysis of final air clearance samples), phase contrast microscopy (background to sample preparation, and AHERA's limits on the use of phase contrast micrscopy), what each technique measures; analytical methodologies, AHERA TEM protocol, NIOSH 7400, OSHA reference method (non clearance), EPA recommendation for clearance (TEM); sampling strategies for clearance monitoring, types of air samples (personal breathing zone v. fixed-station area) sampling location and objectives (pre-abatement, during abatement, and clearance monitoring), number of samples to be collected, minimum and maximum air volumes, clearance monitoring (post-visual-inspection) (number of samples required, selection of sampling locations, period of sampling, aggressive sampling, interpretations of sampling results, calculations), quality assurance; special sampling problems, crawl spaces, acceptable samples for laboratory analysis, sampling in occupied buildings (barrier monitoring).
(j) Safety and health issues other than asbestos. Confined-space entry, electrical hazards, fire and explosion concerns, ladders and scaffolding, heat stress, air contaminants other than asbestos, fall hazards, hazardous materials on abatement projects.
(k) Conducting visual inspections. Inspections during abatement, visual inspections using the ASTM E1368 document; conducting inspections for completeness of removal; discussion of “how clean is clean?”
(l) Legal responsibilities and liabilities of project monitors. Specification enforcement capabilities; regulatory enforcement; licensing; powers delegated to project monitors through contract documents.
(m) Recordkeeping and report writing. Developing project logs/daily logs (what should be included, who sees them); final report preparation; recordkeeping under Federal regulations.
(n) Workshops (6 hours spread over 3 days). Contracts, specifications, and drawings: This workshop could consist of each participant being issued a set of contracts, specifications, and drawings and then being asked to answer questions and make recommendations to a project architect, engineer or to the building owner based on given conditions and these documents.
Air monitoring strategies/asbestos abatement equipment: This workshop could consist of simulated abatement sites for which sampling strategies would have to be developed (i.e., occupied buildings, industrial situations). Through demonstrations and exhibition, the project monitor may also be able to gain a better understanding of the function of various pieces of equipment used on abatement projects (air filtration units, water filtration units, negative pressure monitoring devices, sampling pump calibration devices, etc.).
Conducting visual inspections: This workshop could consist, ideally, of an interactive video in which a participant is “taken through” a work area and asked to make notes of what is seen. A series of questions will be asked which are designed to stimulate a person's recall of the area. This workshop could consist of a series of two or three videos with different site conditions and different degrees of cleanliness.
C. Examinations
1. Each State shall administer a closed book examination or designate other entities such as State-approved providers of training courses to administer the closed-book examination to persons seeking accreditation who have completed an initial training course. Demonstration testing may also be included as part of the examination. A person seeking initial accreditation in a specific discipline must pass the examination for that discipline in order to receive accreditation. For example, a person seeking accreditation as an abatement project designer must pass the State's examination for abatement project designer. 
States may develop their own examinations, have providers of training courses develop examinations, or use standardized examinations developed for purposes of accreditation under TSCA Title II. In addition, States may supplement standardized examinations with questions about State regulations. States may obtain commercially developed standardized examinations, develop standardized examinations independently, or do so in cooperation with other States, or with commercial or non-profit providers on a regional or national basis. EPA recommends the use of standardized, scientifically-validated testing instruments, which may be beneficial in terms of both promoting competency and in fostering accreditation reciprocity between States.
Each examination shall adequately cover the topics included in the training course for that discipline. Each person who completes a training course, passes the required examination, and fulfills whatever other requirements the State imposes must receive an accreditation certificate in a specific discipline. Whether a State directly issues accreditation certificates, or authorizes training providers to issue accreditation certificates, each certificate issued to an accredited person must contain the following minimum information:
a. A unique certificate number
b. Name of accredited person
c. Discipline of the training course completed.
d. Dates of the training course.
e. Date of the examination.
f. An expiration date of 1 year after the date upon which the person successfully completed the course and examination.
g. The name, address, and telephone number of the training provider that issued the certificate.
h. A statement that the person receiving the certificate has completed the requisite training for asbestos accreditation under TSCA Title II. 
States or training providers who reaccredit persons based upon completion of required refresher training must also provide accreditation certificates with all of the above information, except the examination date may be omitted if a State does not require a refresher examination for reaccreditation.
Where a State licenses accredited persons but has authorized training providers to issue accreditation certificates, the State may issue licenses in the form of photo-identification cards. Where this applies, EPA recommends that the State licenses should include all of the same information required for the accreditation certificates. A State may also choose to issue photo-identification cards in addition to the required accreditation certificates.
Accredited persons must have their initial and current accreditation certificates at the location where they are conducting work.
2. The following are the requirements for examination in each discipline:
a. Worker:
i. 50 multiple-choice questions
ii. Passing score: 70 percent correct
b. Contractor/Supervisor:
i. 100 multiple-choice questions
ii. Passing score: 70 percent correct
c. Inspector:
i. 50 Multiple-choice questions
ii. Passing score: 70 percent correct
d. Management Planner:
i. 50 Multiple-choice questions
ii. Passing score: 70 percent correct
e. Project Designer:
i. 100 multiple-choice questions
ii. Passing score: 70 percent correct
D. Continuing Education
For all disciplines, a State's accreditation program shall include annual refresher training as a requirement for reaccreditation as indicated below:
1. Workers: One full day of refresher training.
2. Contractor/Supervisors: One full day of refresher training.
3. Inspectors: One half-day of refresher training.
4. Management Planners: One half-day of inspector refresher training and one half-day of refresher training for management planners.
5. Project Designers: One full day of refresher training.
The refresher courses shall be specific to each discipline. Refresher courses shall be conducted as separate and distinct courses and not combined with any other training during the period of the refresher course. For each discipline, the refresher course shall review and discuss changes in Federal, State, and local regulations, developments in state-of-the-art procedures, and a review of key aspects of the initial training course as determined by the State. After completing the annual refresher course, persons shall have their accreditation extended for an additional year from the date of the refresher course. A State may consider requiring persons to pass reaccreditation examinations at specific intervals (for example, every 3 years).
EPA recommends that States formally establish a 12-month grace period to enable formerly accredited persons with expired certificates to complete refresher training and have their accreditation status reinstated without having to re-take the initial training course.
E. Qualifications
In addition to requiring training and an examination, a State may require candidates for accreditation to meet other qualification and/or experience standards that the State considers appropriate for some or all disciplines. States may choose to consider requiring qualifications similar to the examples outlined below for inspectors, management planners and project designers. States may modify these examples as appropriate. In addition, States may want to include some requirements based on experience in performing a task directly as a part of a job or in an apprenticeship role. They may also wish to consider additional criteria for the approval of training course instructors beyond those prescribed by EPA.
1. Inspectors: Qualifications--possess a high school diploma. States may want to require an Associate's Degree in specific fields (e.g., environmental or physical sciences).
2. Management Planners: Qualifications--Registered architect, engineer, or certified industrial hygienist or related scientific field.
3. Project Designers: Qualifications--registered architect, engineer, or certified industrial hygienist.
4. Asbestos Training Course Instructor: Qualifications--academic credentials and/or field experience in asbestos abatement.
EPA recommends that States prescribe minimum qualification standards for training instructors employed by training providers.
F. Recordkeeping Requirements for Training Providers
All approved providers of accredited asbestos training courses must comply with the following minimum recordkeeping requirements.
1. Training course materials. A training provider must retain copies of all instructional materials used in the delivery of the classroom training such as student manuals, instructor notebooks and handouts.
2. Instructor qualifications. A training provider must retain copies of all instructors' resumes, and the documents approving each instructor issued by either EPA or a State. Instructors must be approved by either EPA or a State before teaching courses for accreditation purposes. A training provider must notify EPA or the State, as appropriate, in advance whenever it changes course instructors. Records must accurately identify the instructors that taught each particular course for each date that a course is offered.
3. Examinations. A training provider must document that each person who receives an accreditation certificate for an initial training course has achieved a passing score on the examination. These records must clearly indicate the date upon which the exam was administered, the training course and discipline for which the exam was given, the name of the person who proctored the exam, a copy of the exam, and the name and test score of each person taking the exam. The topic and dates of the training course must correspond to those listed on that person's accreditation certificate. States may choose to apply these same requirements to examinations for refresher training courses.
4. Accreditation certificates. The training providers or States, whichever issues the accreditation certificate, shall maintain records that document the names of all persons who have been awarded certificates, their certificate numbers, the disciplines for which accreditation was conferred, training and expiration dates, and the training location. The training provider or State shall maintain the records in a manner that allows verification by telephone of the required information.
5. Verification of certificate information. EPA recommends that training providers of refresher training courses confirm that their students possess valid accreditation before granting course admission. EPA further recommends that training providers offering the initial management planner training course verify that students have met the prerequisite of possessing valid inspector accreditation at the time of course admission.
6. Records retention and access.
(a) The training provider shall maintain all required records for a minimum of 3 years. The training provider, however, may find it advantageous to retain these records for a longer period of time.
(b) The training provider must allow reasonable access to all of the records required by the MAP, and to any other records which may be required by States for the approval of asbestos training providers or the accreditation of asbestos training courses, to both EPA and to State Agencies, on request. EPA encourages training providers to make this information equally accessible to the general public.
(c) If a training provider ceases to conduct training, the training provider shall notify the approving government body (EPA or the State) and give it the opportunity to take possession of that providers asbestos training records.
G. Deaccreditation
1. States must establish criteria and procedures for deaccrediting persons accredited as workers, contractor/supervisors, inspectors, management planners, and project designers. States must follow their own administrative procedures in pursuing deaccreditation actions. At a minimum, the criteria shall include:
(a) Performing work requiring accreditation at a job site without being in physical possession of initial and current accreditation certificates;
(b) Permitting the duplication or use of one's own accreditation certificate by another;
(c) Performing work for which accreditation has not been received; or
(d) Obtaining accreditation from a training provider that does not have approval to offer training for the particular discipline from either EPA or from a State that has a contractor accreditation plan at least as stringent as the EPA MAP. EPA may directly pursue deaccreditation actions without reliance on State deaccreditation or enforcement authority or actions. In addition to the above-listed situations, the Administrator may suspend or revoke the accreditation of persons who have been subject to a final order imposing a civil penalty or convicted under section 16 of TSCA, 15 U.S.C. 2615 or 2647, for violations of 40 CFR part 763, or section 113 of the Clean Air Act, 42 U.S.C. 7413, for violations of 40 CFR part 61, subpart M.
2. Any person who performs asbestos work requiring accreditation under section 206(a) of TSCA, 15 U.S.C. 2646(a), without such accreditation is in violation of TSCA. The following persons are not accredited for purposes of section 206(a) of TSCA:
(a) Any person who obtains accreditation through fraudulent representation of training or examination documents;
(b) Any person who obtains training documentation through fraudulent means;
(c) Any person who gains admission to and completes refresher training through fraudulent representation of initial or previous refresher training documentation; or
(d) Any person who obtains accreditation through fraudulent representation of accreditation requirements such as education, training, professional registration, or experience.
H. Reciprocity
EPA recommends that each State establish reciprocal arrangements with other States that have established accreditation programs that meet or exceed the requirements of the MAP. Such arrangements might address cooperation in licensing determinations, the review and approval of training programs and/or instructors, candidate testing and exam administration, curriculum development, policy formulation, compliance monitoring, and the exchange of information and data. The benefits to be derived from these arrangements include a potential cost-savings from the reduction of duplicative activity and the attainment of a more professional accredited workforce as States are able to refine and improve the effectiveness of their programs based upon the experience and methods of other States.
II. EPA Approval Process for State Accreditation Programs
A. States may seek approval for a single discipline or all disciplines as specified in the MAP. For example, a State that currently only requires worker accreditation may receive EPA approval for that discipline alone. EPA encourages States that currently do not have accreditation requirements for all disciplines required under section 206(b)(2) of TSCA, 15 U.S.C. 2646(b)(2), to seek EPA approval for those disciplines the State does accredit. As States establish accreditation requirements for the remaining disciplines, the requested information outlined below should be submitted to EPA as soon as possible. Any State that had an accreditation program approved by EPA under an earlier version of the MAP may follow the same procedures to obtain EPA approval of their accreditation program under this MAP.
B. Partial approval of a State Program for the accreditation of one or more disciplines does not mean that the State is in full compliance with TSCA where the deadline for that State to have adopted a State Plan no less stringent than the MAP has already passed. State Programs which are at least as stringent as the MAP for one or more of the accredited disciplines may, however, accredit persons in those disciplines only.
C. States seeking EPA approval or reapproval of accreditation programs shall submit the following information to the Regional Asbestos Coordinator at their EPA Regional office:
1. A copy of the legislation establishing or upgrading the State's accreditation program (if applicable).
2. A copy of the State's accreditation regulations or revised regulations.
3. A letter to the Regional Asbestos Coordinator that clearly indicates how the State meets the program requirements of this MAP. Addresses for each of the Regional Asbestos Coordinators are shown below:
EPA, Region I, (ATC-111) Asbestos Coordinator, JFK Federal Bldg., Boston, MA 02203-2211, (617) 565-3836.
EPA, Region II, (MS-500), Asbestos Coordinator, 2890 Woodbridge Ave., Edison, NJ 08837-3679, (908) 321-6671.
EPA, Region III, (3AT-33), Asbestos Coordinator, 841 Chestnut Bldg., Philadelphia, PA 19107, (215) 597-3160.
EPA, Region IV, Asbestos Coordinator, 345 Courtland St., N.E., Atlanta, GA 30365, (404) 347-5014.
EPA, Region V, (SP-14J), Asbestos Coordinator, 77 W. Jackson Blvd., Chicago, IL 60604-3590, (312) 886-6003.
EPA, Region VI, (6T-PT), Asbestos Coordinator, 1445 Ross Ave., Dallas, TX 75202-2744, (214) 655-7244.
EPA, Region VII, (ARTX/ASBS), Asbestos Coordinator, 726 Minnesota Ave., Kansas City, KS 66101, (913) 551-7020.
EPA, Region VIII, (8AT-TS), Asbestos Coordinator, 1 Denver Place, Suite 500, 999 - 18th St., Denver, CO 80202-2405, (303) 293-1442.
EPA, Region IX, (A-4-4), Asbestos Coordinator, 75 Hawthorne St., San Francisco, CA 94105, (415) 744-1128.
EPA, Region X, (AT-083), Asbestos Coordinator, 1200 Sixth Ave., Seattle, WA 98101, (206) 553-4762.
EPA maintains a listing of all those States that have applied for and received EPA approval for having accreditation requirements that are at least as stringent as the MAP for one or more disciplines. Any training courses approved by an EPA-approved State Program are considered to be EPA-approved for purposes of accreditation.
III. Approval of Training Courses
Individuals or groups wishing to sponsor training courses for disciplines required to be accredited under section 206(b)(1)(A) of TSCA, 15 U.S.C. 2646(b)(1)(A), may apply for approval from States that have accreditation program requirements that are at least as stringent as this MAP. For a course to receive approval, it must meet the requirements for the course as outlined in this MAP, and any other requirements imposed by the State from which approval is being sought. Courses that have been approved by a State with an accreditation program at least as stringent as this MAP are approved under section 206(a) of TSCA, 15 U.S.C. 2646(a), for that particular State, and also for any other State that does not have an accreditation program as stringent as this MAP.
A. Initial Training Course Approval
A training provider must submit the following minimum information to a State as part of its application for the approval of each training course:
1. The course provider's name, address, and telephone number.
2. A list of any other States that currently approve the training course.
3. The course curriculum.
4. A letter from the provider of the training course that clearly indicates how the course meets the MAP requirements for:
a. Length of training in days.
b. Amount and type of hands-on training.
c. Examination (length, format, and passing score).
d. Topics covered in the course.
5. A copy of all course materials (student manuals, instructor notebooks, handouts, etc.).
6. A detailed statement about the development of the examination used in the course.
7. Names and qualifications of all course instructors. Instructors must have academic and/or field experience in asbestos abatement.
8. A description of and an example of the numbered certificates issued to students who attend the course and pass the examination.
B. Refresher Training Course Approval
The following minimum information is required for approval of refresher training courses by States:
1. The length of training in half-days or days.
2. The topics covered in the course.
3. A copy of all course materials (student manuals, instructor notebooks, handouts, etc.).
4. The names and qualifications of all course instructors. Instructors must have academic and/or field experience in asbestos abatement.
5. A description of and an example of the numbered certificates issued to students who complete the refresher course and pass the examination, if required.
C. Withdrawal of Training Course Approval
States must establish criteria and procedures for suspending or withdrawing approval from accredited training programs. States should follow their own administrative procedures in pursuing actions for suspension or withdrawal of approval of training programs. At a minimum, the criteria shall include:
(1) Misrepresentation of the extent of a training course's approval by a State or EPA;
(2) Failure to submit required information or notifications in a timely manner;
(3) Failure to maintain requisite records;
(4) Falsification of accreditation records, instructor qualifications, or other accreditation information; or
(5) Failure to adhere to the training standards and requirements of the EPA MAP or State Accreditation Program, as appropriate.
In addition to the criteria listed above, EPA may also suspend or withdraw a training course's approval where an approved training course instructor, or other person with supervisory authority over the delivery of training has been found in violation of other asbestos regulations administered by EPA. An administrative or judicial finding of violation, or execution of a consent agreement and order under 40 CFR 22.18, constitutes evidence of a failure to comply with relevant statutes or regulations. States may wish to adopt this criterion modified to include their own asbestos statutes or regulations. EPA may also suspend or withdraw approval of training programs where a training provider has submitted false information as a part of the self-certification required under Unit V.B. of the revised MAP.
Training course providers shall permit representatives of EPA or the State which approved their training courses to attend, evaluate, and monitor any training course without charge. EPA or State compliance inspection staff are not required to give advance notice of their inspections. EPA may suspend or withdraw State or EPA approval of a training course based upon the criteria specified in this Unit III.C.
IV. EPA Procedures for Suspension or Revocation of Accreditation or Training Course Approval
A. If the Administrator decides to suspend or revoke the accreditation of any person or suspend or withdraw the approval of a training course, the Administrator will notify the affected entity of the following:
1. The grounds upon which the suspension, revocation, or withdrawal is based.
2. The time period during which the suspension, revocation, or withdrawal is effective, whether permanent or otherwise.
3. The conditions, if any, under which the affected entity may receive accreditation or approval in the future.
4. Any additional conditions which the Administrator may impose.
5. The opportunity to request a hearing prior to final Agency action to suspend or revoke accreditation or suspend or withdraw approval.
B. If a hearing is requested by the accredited person or training course provider pursuant to the preceding paragraph, the Administrator will:
1. Notify the affected entity of those assertions of law and fact upon which the action to suspend, revoke, or withdraw is based.
2. Provide the affected entity an opportunity to offer written statements of facts, explanations, comments, and arguments relevant to the proposed action.
3. Provide the affected entity such other procedural opportunities as the Administrator may deem appropriate to ensure a fair and impartial hearing.
4. Appoint an EPA attorney as Presiding Officer to conduct the hearing. No person shall serve as Presiding Officer if he or she has had any prior connection with the specific case.
C. The Presiding Officer appointed pursuant to the preceding paragraph shall:
1. Conduct a fair, orderly, and impartial hearing, without unnecessary delay.
2. Consider all relevant evidence, explanation, comment, and argument submitted pursuant to the preceding paragraph.
3. Promptly notify the affected entity of his or her decision and order. Such an order is a final Agency action.
D. If the Administrator determines that the public health, interest, or welfare warrants immediate action to suspend the accreditation of any person or the approval of any training course provider, the Administrator will:
1. Notify the affected entity of the grounds upon which the emergency suspension is based;
2. Notify the affected entity of the time period during which the emergency suspension is effective.
3. Notify the affected entity of the Administrator's intent to suspend or revoke accreditation or suspend or withdraw training course approval, as appropriate, in accordance with Unit IV.A. above. If such suspension, revocation, or withdrawal notice has not previously been issued, it will be issued at the same time the emergency suspension notice is issued.
E. Any notice, decision, or order issued by the Administrator under this section, and any documents filed by an accredited person or approved training course provider in a hearing under this section, shall be available to the public except as otherwise provided by section 14 of TSCA or by 40 CFR part 2. Any such hearing at which oral testimony is presented shall be open to the public, except that the Presiding Officer may exclude the public to the extent necessary to allow presentation of information which may be entitled to confidential treatment under section 14 of TSCA or 40 CFR part 2.
V. Implementation Schedule
The various requirements of this MAP become effective in accordance with the following schedules:
A. Requirements applicable to State Programs
1. Each State shall adopt an accreditation plan that is at least as stringent as this MAP within 180 days after the commencement of the first regular session of the legislature of the State that is convened on or after April 4, 1994.
2. If a State has adopted an accreditation plan at least as stringent as this MAP as of April 4, 1994, the State may continue to:
a. Conduct TSCA training pursuant to this MAP.
b. Approve training course providers to conduct training and to issue accreditation that satisfies the requirements for TSCA accreditation under this MAP.
c. Issue accreditation that satisfies the requirements for TSCA accreditation under this MAP.
3. A State that had complied with an earlier version of the MAP, but has not adopted an accreditation plan at least as stringent as this MAP by April 4, 1994, may:
a. Conduct TSCA training which remains in compliance with the requirements of Unit V.B. of this MAP. After such training has been self-certified in accordance with Unit V.B. of this MAP, the State may issue accreditation that satisfies the requirement for TSCA accreditation under this MAP.
b. Sustain its approval for any training course providers to conduct training and issue TSCA accreditation that the State had approved before April 4, 1994, and that remain in compliance with Unit V.B. of this MAP.
c. Issue accreditation pursuant to an earlier version of the MAP that provisionally satisfies the requirement for TSCA accreditation until October 4, 1994. Such a State may not approve new TSCA training course providers to conduct training or to issue TSCA accreditation that satisfies the requirements of this MAP until the State adopts an accreditation plan that is at least as stringent as this MAP.
4. A State that had complied with an earlier version of the MAP, but fails to adopt a plan as stringent as this MAP by the deadline established in Unit V.A.1., is subject to the following after that deadline date:
a. The State loses any status it may have held as an EPA-approved State for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646.
b. All training course providers approved by the State lose State approval to conduct training and issue accreditation that satisfies the requirements for TSCA accreditation under this MAP.
c. The State may not:
i. Conduct training for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646.
ii. Approve training course providers to conduct training or issue accreditation that satisfies the requirements for TSCA accreditation; or
iii. Issue accreditation that satisfies the requirement for TSCA accreditation. EPA will extend EPA-approval to any training course provider that loses State approval because the State does not comply with the deadline, so long as the provider is in compliance with Unit V.B. of this MAP, and the provider is approved by a State that had complied with an earlier version of the MAP as of the day before the State loses its EPA approval.
5. A State that does not have an accreditation program that satisfies the requirements for TSCA accreditation under either an earlier version of the MAP or this MAP, may not:
a. Conduct training for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646;
b. Approve training course providers to conduct training or issue accreditation that satisfies the requirements for TSCA accreditation; or
c. Issue accreditation that satisfies the requirement for TSCA accreditation.
B. Requirements applicable to Training Courses and Providers
As of October 4, 1994, an approved training provider must certify to EPA and to any State that has approved the provider for TSCA accreditation, that each of the provider's training courses complies with the requirements of this MAP. The written submission must document in specific detail the changes made to each training course in order to comply with the requirements of this MAP and clearly state that the provider is also in compliance with all other requirements of this MAP, including the new recordkeeping and certificate provisions. Each submission must include the following statement signed by an authorized representative of the training provider: “Under civil and criminal penalties of law for the making or submission of false or fraudulent statements or representations (18 U.S.C. 1001 and 15 U.S.C. 2615), I certify that the training described in this submission complies with all applicable requirements of Title II of TSCA, 40 CFR part 763, Appendix C to Subpart E, as revised, and any other applicable Federal, state or local requirements.” A consolidated self-certification submission from each training provider that addresses all of its approved training courses is permissible and encouraged.
The self-certification must be sent via registered mail, to EPA Headquarters at the following address: Attn. Self-Certification Program, Field Programs Branch, Chemical Management Division  (7404), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. A duplicate copy of the complete submission must also be sent to any States from which approval had been obtained.
The timely receipt of a complete self-certification by EPA and all approving States shall have the effect of extending approval under this MAP to the training courses offered by the submitting provider. If a self-certification is not received by the approving government bodies on or before the due date, the affected training course is not approved under this MAP. Such training providers must then reapply for approval of these training courses pursuant to the procedures outlined in Unit III.
C. Requirements applicable to Accredited Persons.
Persons accredited by a State with an accreditation program no less stringent than an earlier version of the MAP or by an EPA-approved training provider as of April 3, 1994, are accredited in accordance with the requirements of this MAP, and are not required to retake initial training. They must continue to comply with the requirements for annual refresher training in Unit I.D. of the revised MAP.
D. Requirements applicable to Non-Accredited Persons.
In order to perform work requiring accreditation under TSCA Title II, persons who are not accredited by a State with an accreditation program no less stringent than an earlier version of the MAP or by an EPA-approved training provider as of April 3, 1994, must comply with the upgraded training requirements of this MAP by no later than October 4, 1994. Non-accredited persons may obtain initial accreditation on a provisional basis by successfully completing any of the training programs approved under an earlier version of the MAP, and thereby perform work during the first 6 months after this MAP takes effect. However, by October 4, 1994, these persons must have successfully completed an upgraded training program that fully complies with the requirements of this MAP in order to continue to perform work requiring accreditation under section 206 of TSCA, 15 U.S.C. 2646.
[52 FR 15876, Apr. 30, 1987; 59 FR 5236, Feb. 3, 1994; 60 FR 31917, June 19, 1995]
§341.17. Approval of Asbestos Cement Pipe Training and Asbestos Cement Pipe Course Providers for the Purpose of Employer Exemption from Registration Requirements.
Note     •     History

(a) Scope and Application.
Any course provider (individual or business entity) desiring to provide asbestos cement pipe training for the purpose of employer exemption from requirements for “asbestos-related work” as provided by Section 1529(r) and Labor Code Section 6501.8(c) shall apply for and obtain approval pursuant to this section.
(b) Criteria for Asbestos Cement Pipe Course Approval.
(1) Initial course. The course shall consist of a minimum of four (4) hours training for workers and for supervisors, and shall include, but is not limited to the following topics:
(A) The physical characteristics and health hazards of asbestos.
(B) The types of asbestos cement pipe an employee may encounter in his or her specific work assignments.
(C) Safe practices and procedures for minimizing asbestos exposures from operations involving asbestos cement pipe.
(D) A review of general industry and construction safety orders relating to asbestos exposure.
(E) Hands-on instruction using pipe and the tools and equipment employees will use in the work place.
(2) Refresher course. Annual re-training must be provided in accordance with Section 1529(k)(9)(B). The annual refresher shall include at least two hours of review of the important elements covered in the initial course, any changes in federal and state asbestos regulations, and the latest developments in state of the art practices for work involving asbestos cement pipe.
(c) Applying for Course Approval.
Any individual or entity that desires to provide Division approved asbestos cement pipe training may apply to the Division at this address:

DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
AC PIPE TRAINING APPROVAL
P.O. BOX 420603
SAN FRANCISCO, CA 94142
The following information shall be provided:
(1) The name and address of the individual or entity providing the training, the name and title of the person submitting the application with his or her signature and a statement certifying that the information and material submitted will be used in the course for which approval is being sought, and the name, title, and telephone number of the person whom the Division should contact regarding course approval matters.
(2) A written description of the training topics and hands-on practices that will be taught, and a copy of any training documents and visual training aids that will be used.
(d) Application Fee.
(1) The application fee is $200 for the initial course and $100 for the annual refresher course.
(2) Remittance for the application fee shall be made payable to Asbestos Training Approval Account.
(3) The fee is not refundable.
(e) Process of Application.
(1) Within 25 business days of receipt of an application, the Division shall notify the applicant in writing that the application is approved and issue a Division Course Approval Number, or that the application is deficient. The notice shall specify what additional information or documentation is necessary when the application is found to be deficient.
(2) Within 15 business days of receipt of the requested additional information or documentation, the Division shall notify the applicant in writing that the application is approved and issue a Division Approval Number, or that the application is still deficient and denied.
(3) An applicant whose application is denied may submit a new application with another application fee.
(f) Training Records.
(1) To maintain the course approval, the course provider shall maintain records which give the names of the trainees, the dates that the training was provided, the name(s) of the instructor(s) giving the training, and the Division issued Course Approval Number. This applies whether or not the course provider is also the employer.
(2) The course provider shall provide a copy of the training records to the Division when requested.
(3) Training records shall be maintained for a minimum of three years.
(g) Denial, Suspension and Revocation of Course Approval and of Training Certificates.
(1) The Division may at any time, upon showing of good cause and after notice, revoke any course approval or training certificate issued pursuant to this section.
(2) All procedures for denial, suspension, or revocation shall follow the General Rules of Practice and Procedures in sections 340.40 through 340.52.
(3) The affected party may appeal the action of the Division following the General Rules of Practice and Procedures in sections 340.40 through 340.52.
NOTE

Authority cited: Sections 60.5, 6308 and 9021.9, Labor Code. Reference: Sections 6501 and 9021.9, Labor Code; and Section 1529, Title 8, California Code of Regulations.
HISTORY

1. New section filed 10-9-2003; operative 11-8-2003 (Register 2003, No. 41).
2. Change without regulatory effect amending subsection (g)(2) filed 12-22-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 52).
3. Amendment of subsections (g) and (g)(1), repealer and new subsections (g)(2) and (g)(3), repealer of subsections (g)(4)-(g)(6) and amendment of Note filed 5-20-2011; operative 6-19-2011 (Register 2011, No. 20).
Article 3. Reporting Work-Connected Injuries
§342. Reporting Work-Connected Fatalities and Serious Injuries.
Note     •     History

(a) Every employer shall report immediately by telephone or telegraph to the nearest District Office of the Division of Occupational Safety and Health any serious injury or illness, or death, of an employee occurring in a place of employment or in connection with any employment.
Immediately means as soon as practically possible but not longer than 8 hours after the employer knows or with diligent inquiry would have known of the death or serious injury or illness. If the employer can demonstrate that exigent circumstances exist, the time frame for the report may be made no longer than 24 hours after the incident.
Serious injury or illness is defined in section 330(h), Title 8, California Administrative Code.
(b) Whenever a state, county, or local fire or police agency is called to an accident involving an employee covered by this part in which a serious injury, or illness, or death occurs, the nearest office of the Division of Occupational Safety and Health shall be notified by telephone immediately by the responding agency.
(c) When making such report, whether by telephone or telegraph, the reporting party shall include the following information, if available:
(1) Time and date of accident.
(2) Employer's name, address and telephone number.
(3) Name and job title, or badge number of person reporting the accident.
(4) Address of site of accident or event.
(5) Name of person to contact at site of accident.
(6) Name and address of injured employee(s).
(7) Nature of injury.
(8) Location where injured employee(s) was (were) moved to.
(9) List and identity of other law enforcement agencies present at the site of accident.
(10) Description of accident and whether the accident scene or instrumentality has been altered.
(d) The reporting in (a) and (b) above, is in addition to any other reports required by law and may be made by any person authorized by the employers, state, county, or local agencies to make such reports.
NOTE

Authority cited: Sections 60.5, 6308 and 6409.1, Labor Code. Reference: Sections 6302(h), 6307, 6308, 6313 and 6409, Labor Code.
HISTORY

1. New Article 3 (Section 342) filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 10-25-74 (Register 74, No. 43).
3. Amendment filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
4. Amendment of subsection (a), repealer of subsection (d) and relettering of subsection (e) to subsection (d) filed 12-5-84; effective thirtieth day thereafter (Register 84, No. 49).
5. Amendment of subsection (a) and new subsection (c)(10) filed 12-5-85; effective thirtieth day thereafter (Register 85, No. 49).
6. Amendment of subsection (a) filed 5-22-87; operative upon filing (Register 87, No. 22). (p. 8.24.6.2.1)
7. Amendment of subsection (a) filed 8-2-96; operative 9-1-96 (Register 96, No. 31).
Article 4. Aerial Passenger Tramway Inspection Fee Schedule
§343. Aerial Passenger Tramway Inspection Fee Schedule.
Note     •     History

(a) Inspection Fees. Pursuant to Section 7350 of the Labor Code the Division hereby fixes inspection fees as follows:
(1) A fee of $245.00 per hour or fraction thereof shall be charged for new inspections, major alterations, operational inspections, and consultations performed by a Division engineer.
(2) Fees shall be charged for actual inspection time. Actual inspection time begins from the time the Division engineer arrives, by appointment, in the area and continues until the engineer has completed the Division's report and is ready to leave the area.
(3) Permit of an existing installation shall be:

Rope Tow	 $  245.00 per unit
Surface Lift	$   490.00 per unit
Fixed Grip Lift
  --up to 1000 feet	$   490.00 per unit
  --up to 4000 feet	$   735.00 per unit
  --over 4000 feet	$1,225.00 per unit
Detachable Grip Lift
 Chair--up to 1000 feet	$1,470.00 per unit
 Chair--up to 4000 feet	$1,960.00 per unit
 Chair--over 4000 feet	$2,450.00 per unit
 Gondola--up to 2000 feet	$1,470.00 per unit
 Gondola--over 2000 feet	$2,450.00 per unit
Aerial Tramway	$2,940.00 per unit
(4) A flat fee equal to one hour ($245.00) shall be charged to cover travel to each operator site for new inspections, major alterations, operational inspections, and consultations performed by a Division engineer. This fee shall be charged regardless of the actual travel time expended. The Division shall also charge an owner/operator either the inspector's actual travel time or the 1 hour flat fee, whichever is greater, at the hourly billing rate to a rescheduled inspection if the inspection was rescheduled because the owner/operator either failed to show up or was unprepared for the originally-scheduled inspection. 
(b) No charge shall be made in any one permit year for more than two inspections except where safety orders have not been complied with and subsequent inspections are necessary. Then, an additional fee not to exceed $245.00 per hour or fraction thereof may, at the discretion of the Division, be charged.
(c) The Division will charge no fee for an inspection performed by a certified insurance inspector except a charge of $10.00 to cover the cost of processing the permit to operate.
(d) Aerial passenger tramways shall be inspected at least two times each year.
(e) At least one of the inspections required by subdivision (d) shall take place between November 15 of each year and March 15 of the succeeding year.
NOTE

Authority cited: Sections 60.5, 6308 and 7350, Labor Code. Reference: Sections 7344, 7350 and 7352, Labor Code.
HISTORY

1. Repealer of article 4 (sections 343-343.2) and new article 4 (section 343) filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49). For prior history, see Registers 76, No. 50 and 77, No. 18.
2. Repealer and new section filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
3. Amendment of subsections (a) and (b) filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
4. Amendment of subsections (a) and (b) filed 12-4-84; effective thirtieth day thereafter (Register 84, No. 49).
5. Amendment of subsections (a)(1) and (b) filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
6. Amendment of subsections (a)(1) and (b) and new subsection (a)(3) filed 8-25-92; operative 9-24-92 (Register 92, No. 35).
7. Amendment of subsections (a)(1) and (a)(3), new subsection (a)(4), amendment of subsection (b) and amendment of Note filed 12-27-2011; operative 12-27-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 52).
Article 5. Boiler and Tank Permit and Inspection Fee Schedule
§344. Shop and Resale Inspection Fees, Consultation and Audit Fees, Boilers and Tanks.
Note     •     History

(a) A fee of $110.00 per hour, or part thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals, with a minimum of one-half hour, shall be charged for all shop, field erection and resale inspections of all tanks, boilers, parts of tanks and boilers, nuclear components and for consultation, surveys, audits, manual review and other activities required or related to the ASME code or other national standards concerning the design or construction of boilers or pressure vessels or for evaluating fabricator's plant facilities when these services are requested of the division by entities desiring these services.
(1) Travel time shall include the travel time from the Division's local office or the site of previous inspection, whichever is less, to the inspection site and travel time from the inspection site to the Division's local office or the site of a following inspection, whichever is less. The Division shall not charge more than one employer for the same period of travel time.
(b) Whenever a person using qualified engineers of the division to perform services stated in Section 344(a) fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification.
(c) Expenses.
(1) When the mileage from the division's office of the authorized inspector or authorized inspector-supervisor is in excess of 50 miles roundtrip to the inspection site a charge of 31 cents per mile will be added to the hourly rate charges.
(2) When overnight expenses are incurred by the authorized inspector or the authorized inspector-supervisor, the actual cost of meals and lodging, up to a maximum per day of $150.00 when lodging is obtained in the counties of Alameda, San Francisco, San Mateo and Santa Clara, and Central and Western Los Angeles, and up to a maximum per day of $124.00 when lodging is obtained in any other location in the state, will be added to the hourly rate charges.
(3) The division shall not charge more than one employer for the same amount of expenses incurred the same day except as follows: When more than one employer incurs these expenses the division may, at its discretion, equitably allocate the expenses among the parties inspected.
NOTE

Authority cited: Sections 60.5, 6308, 7721 and 7722, Labor Code. Reference: Sections 7721 and 7728, Labor Code.
HISTORY

1. New article 5 (sections 344, 344.1-344.4) filed 2-25-77; effective thirtieth day thereafter (Register 77, No. 9). 
2. Amendment filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49). 
3. Amendment of subsection (a) and new subsection (c) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9). 
4. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16). 
5. Amendment filed 3-24-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 13). 
6. Amendment filed 3-2-84 as an emergency; effective upon filing (Register 84, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-30-84. 
7. Order of Repeal of 3-2-84 emergency order filed 7-30-84 by OAL pursuant to Government Code section 11349.6 (Register 84, No. 31). 
8. Amendment of subsection (a) and new subsection (d) filed 7-30-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-27-84. 
9. Certificate of Compliance transmitted to OAL 11-5-84 and filed 12-4-84 (Register 84, No. 49). 
10. Amendment filed 8-16-88 as an emergency; operative 8-16-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-14-88. 
11. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2).
12. Amendment of subsection (a) and new subsection (a)(1) filed 9-20-90 as an emergency; operative 9-20-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-18-91 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (a) filed 3-18-91; operative 3-18-91 (Register 91, No. 15).
14. Emergency order filed 9-20-90 repealed by operation of Government Code section 11346.1 (Register 91, No. 15).
15. Amendment of subsections (a) and (c)(2) filed 11-22-91 as an emergency; operative 11-22-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 3-23-91 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsections (a) and (c)(2) refiled 4-29-92 as an emergency; operative 4-29-92 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 8-28-92 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 4-29-92 order transmitted to OAL 6-4-92 and filed 6-4-92 (Register 92, No. 23).
18. Amendment of subsections (a), (c)(1) and (c)(2) filed 6-19-2000 as an emergency; operative 6-19-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-2000 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 6-19-2000 order transmitted to OAL 8-28-2000 and filed 10-2-2000 (Register 2000, No. 40).
§344.1. Air Tank, Liquefied Petroleum Gas (L.P.G.), and Boiler Inspection Fees.
Note     •     History

(a) A fee of $135.00 per hour or any part thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals with a minimum of one-half hour, shall be charged for field permit inspection of air tanks, L.P.G. tanks, and boilers by qualified safety engineers employed by the division. Such fees may also, in the division's discretion, be charged for subsequent consultation or inspections to determine if applicable safety orders have been complied with. No additional fees shall be assessed for follow-up inspections when Safety Order requirements have been complied with, and the division notified, within 15 days of the compliance date shown on the Preliminary Order.
(1) Travel time shall include the travel time from the Division's local office or the site of previous inspection, whichever is less, to the inspection site and travel time from the inspection site to the Division's local office or the site of a following inspection, whichever is less. The Division shall not charge more than one employer for the same period of travel time.
(b) Whenever a person owning or having the custody, management or operation of an air tank, L.P.G. tank, or boiler fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification.
NOTE

Authority cited: Sections 60.5, 6308 and 7721, Labor Code. Reference: Sections 7721 and 7728, Labor Code.
HISTORY

1. Amendment filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49). 
2. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16). 
3. Amendment filed 3-24-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 13). 
4. Amendment filed 3-2-84 as an emergency; effective upon filing (Register 84, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-30-84. 
5. Order of Repeal of 3-2-84 emergency order filed 7-30-84 by OAL pursuant to Government Code section 11349.6 (Register 84, No. 31). 
6. Amendment of subsection (a) filed 7-30-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-27-84.
7. Certificate of Compliance transmitted to OAL 11-5-84 and filed 12-4-84 (Register 84, No. 49). 
8. Amendment of subsection (a) filed 8-16-88 as an emergency; operative 8-16-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-14-88. 
9. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2).
10. Amendment of subsection (a) filed 9-20-90 as an emergency; operative 9-20-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-18-91 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (a) filed 3-18-91; operative 3-18-91 (Register  91, No. 15).
12. Emergency order filed 9-20-90 repealed by operation of Government Code section 11346.1 (Register 91, No. 15).
13. Amendment of subsection (a) and adoption of subsection (a)(1) filed 11-22-91 as an emergency; operative 11-22-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 3-23-91 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (a) and adoption of subsection (a)(1) refiled 4-29-92 as an emergency; operative 4-29-92 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 8-28-92 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 4-29-92 order transmitted to OAL 6-4-92 and filed 6-4-92 (Register 92, No. 23).
16. Amendment of subsection (a) filed 6-19-2000 as an emergency; operative 6-19-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-2000 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 6-19-2000 order transmitted to OAL 8-28-2000 and filed 10-2-2000 (Register 2000, No. 40).
§344.2. Boiler, Tank and Resale Inspection Reports and Permits to Operate.
Note     •     History

(a) Permits to operate and Resale Permits shall be issued by the Division, a qualified city or county, or an insurance company, or a corporation or company that inspects only boilers and tanks to be used by such company and not for resale. A qualified city or county or insurance company or a corporation or company that inspects only boilers and tanks to be used by such company and not for resale, is one that employs certified inspectors, as provided for in Section 779 of the Boiler and Fired Pressure Vessel Safety Orders.
(b) The Division shall issue a permit to operate upon receipt of the inspection reports required by Labor Code section 7654 and a fee of $15.00 to cover the costs of processing the Permit to Operate. If a Permit to Operate is issued on the Division's behalf by a certified inspector employed by an insurance company or by an employer who inspects boilers and tanks for the employer's own use and not for resale, the Division shall assess a fee of $15.00 to cover the cost of processing the Permit to Operate.
(c) Whenever a person owning or having the custody, management or operation of an air tank, L.P.G. tank, or boiler fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification.
NOTE

Authority cited: Sections 6308 and 7721, Labor Code. Reference: Sections 7721, 7650, 7654 and 7680, Labor Code.
HISTORY

1. Amendment filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16).
3. Repealer and new section filed 3-24-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 13).
4. Amendment filed 8-16-88 as an emergency; operative 8-16-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-14-88.
5. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2).
6. Amendment of section heading,  amendment of subsection (a) including  repealer of second paragraph, and adoption of subsections (b) and (c) filed 11-22-91 as an emergency; operative 11-22-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 3-23-91 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading,  amendment of subsection (a) including  repealer of second paragraph, and adoption of subsections (b) and (c) refiled 4-29-92 as an emergency; operative 4-29-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-28-92 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-29-92 order transmitted to OAL 6-4-92 and filed 6-4-92 (Register 92, No. 23).
9. Amendment of subsections (a) and (b) and Note filed 8-2-96; operative 9-1-96 (Register 96, No. 31).
10. Amendment of subsections (a) and (b) filed 6-19-2000 as an emergency; operative 6-19-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 6-19-2000 order, including further amendment of subsections (a)-(b), transmitted to OAL 8-28-2000 and filed 10-2-2000 (Register 2000, No. 40).
§344.3. Boiler Shop Inspection Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6308 and 7721, Labor Code. Reference: Section 7721, Labor Code.
HISTORY

1. Amendment filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment of subsection (a) and new subsection (c) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
3. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16).
4. Repealer filed 3-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 13).
§344.4. Boiler Permit and Inspection Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6308 and 7721, Labor Code. Reference: Section 7721, Labor Code.
HISTORY

1. Amendment filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16).
3. Repealer filed 3-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 13).
Article 6. Permanent Amusement Rides
§344.5. Application.
Note     •     History

(a) This Article governs permanent amusement rides operated anywhere in the State of California. 
(b) This Article does not apply to any of the following: 
(1) Any playground operated by a school or local government if the playground is an incidental amenity and the operating entity is not primarily engaged in providing amusement, pleasure, thrills or excitement; 
(2) Museums or other institutions principally devoted to the exhibition of products of agriculture, industry, education, science, religion or the arts; 
(3) Skating rinks, arcades, laser or paint ball war games, indoor interactive arcade games, bowling alleys, miniature golf courses, mechanical bulls, inflatable rides, trampolines, ball crawls, exercise equipment, jet skis, paddle boats, air boats, helicopters, airplanes, parasails, hot air balloons (tethered or untethered,) theaters, amphitheaters, batting cages, stationary spring-mounted fixtures, rider-propelled merry-go-rounds, games, slide shows, live-animal rides, or live-animal shows; or 
(4) Permanent amusement rides operated at a private event that is not open to the general public and not subject to a separate admission fee. 
(5) Amusement rides that are not permanent amusement rides. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. Renumbering of former article 6 to article 6.1 and new article 6 (sections 344.5-344.17) and section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.6. Definitions.
Note     •     History

For purposes of this Article, the following terms are defined as set forth herein: 
(a) An “as-built document” is a document signed by a licensed engineer responsible for the construction of the permanent amusement ride stating that the ride has been constructed according to its final plans. 
(b) A “California-licensed engineer” is a professional engineer with a certificate of registration issued by the California Board of Professional Engineers and Land Surveyors. 
(c) A “licensed engineer” is a California-licensed engineer or a professional engineer with equivalent licensing by another state. 
(d) A “major modification” is any change in the structure or operation of a permanent amusement ride that materially alters either the performance of the ride or any safety-related system of the ride. For the purposes of this definition, the disassembly and relocation of a ride is considered to be a major modification of the ride. 
(e) A “new permanent amusement ride” is a permanent amusement ride that is placed in operation and opened to the public for the first time on or after November 5, 2001. 
(f) An “operational inspection” is an inspection that consists of inspecting the operation of the permanent amusement ride, including its safety-related systems and procedures, and reviewing any other specific information that is substantially related to the safe operation of the ride. 
(g) An “owner” or “operator” is a person or entity who owns or controls or has the duty to control the operation of a permanent amusement ride. The terms include the State and every political subdivision of the State, including every state agency, and each county, city, district, and all the public and quasi-public corporations and public agencies therein. 
(h) A “permanent amusement ride” is a mechanical device, aquatic device, or combination of devices of a permanent nature that carries or conveys passengers along, around, or over a fixed or restricted course for the purpose of giving its passengers amusement, pleasure, thrills, or excitement. “Permanent amusement ride” includes bungee-jumping services, but does not include dry slides, playground equipment, coin-operated devices, conveyances that operate directly on the ground or on pavement or a surface directly on the ground, or aerial passenger tramways as defined by Labor Code section 7340(a). For the purposes of this definition, the phrase “of a permanent nature” means remaining at a single location for longer than 180 days. 
(i) A “qualified safety inspector,” or “QSI,” is an individual certified by the Division pursuant to section 344.10. A QSI may be a safety inspector employed by the owner or operator of a permanent amusement ride, an employee or agent of the insurance underwriter or insurance broker of a permanent amusement ride, an employee or agent of the manufacturer of a permanent amusement ride, an employee of the Division of Occupational Safety and Health, or an independent consultant or contractor. 
(j) A “Ride Footprint” is the surface area, expressed in square feet, that is covered by the ride, itself, and does not include the passenger waiting area or queuing area. 
(k) “Safety-Related Systems and Procedures” are systems and procedures that materially affect safety or are designed or intended to increase the safety of a permanent amusement ride, including, but not limited to: 
(1) Ride-control devices, including safety devices; 
(2) Speed-limiting devices; 
(3) Brakes; 
(4) Passenger-carrying devices, including restraint systems; 
(5) Mechanical systems that materially affect the safe operation of the ride; 
(6) Ride electrical or electronic systems, including process-control equipment that are designed or intended to ensure safe operation of the ride; 
(7) Daily pre-operational safety-related tests; 
(8) Owner or operator safety-related maintenance, inspection and operational activities; 
(9) Emergency procedures related to the operation of the ride, including, but not limited to, cessation of operation, evacuation procedures, ingress and egress controls, location of communication devices, and summoning of medical or emergency assistance; and 
(10) Signage. 
(l) A “structural inspection” is an inspection of a permanent amusement ride, which includes examination of the following structural attributes: 
(1) Structural supports and foundations including wind and seismic integrity; 
(2) Structural bracing; and 
(3) Ride track elements, if any. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
2. New subsection (j) and subsection relettering filed 1-20-2011; operative 1-20-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 3). 
§344.7. Certificate of Compliance.
Note     •     History

(a) On or before November 5, 2002, the owner or operator of a permanent amusement ride who does not elect to have a Division QSI perform the annual inspection required by section 344.8(c) shall submit to the Division a Certificate of Compliance together with the fee required by section 344.16(c). A new Certificate of Compliance shall be submitted annually and shall become due on each anniversary date of the first submission, unless the owner or operator elects in compliance with section 344.8(c)(2) to have a Division QSI conduct the annual inspection. 
(b) The Certificate of Compliance shall include each of the following items: 
(1) The legal name and address of the owner and his, her or its representative, if any, and the primary place of business of the owner; 
(2) The legal name and address of the operator, if different from those of the owner; 
(3) The name and a description of the permanent amusement ride, the address at which it is located, the name(s) of the manufacturer(s) of the ride, and if provided by the manufacturer(s), the serial number and model number of the permanent amusement ride; and 
(4) A written declaration stating that, within the preceding 12-month period, the permanent amusement ride was inspected by a QSI, together with all of the individuals necessary to competently review the ride's safety-related systems and structural attributes, and that the permanent amusement ride is in conformance with the requirements of Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. The written declaration shall be executed by a QSI under penalty of perjury. 
Note: The requirement that the written declaration state that the permanent amusement ride is in conformance with the requirements of Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title shall not take effect until November 5, 2002, or 180 days after the date that Subchapter 6.2 has been adopted and takes effect, whichever is later. 
(c) The owner or operator of multiple permanent amusement rides at one address may submit a single Certificate of Compliance that provides the information required in section 344.7(b) for all of the permanent amusement rides located at that address. 
(d) Upon receipt of the Certificate of Compliance, the Division shall notify the owner or operator in writing within five (5) business days, that the Certificate of Compliance has been received and whether it meets the requirements of this Article. If a Certificate of Compliance is determined to be deficient, the Division's written notification shall enumerate the deficiencies and the information required to correct such deficiencies. 
(e) All current written notifications issued by the Division pursuant to subsection (d) shall be available for public inspection during normal business hours at a readily accessible location at the site where the permanent amusement ride is located. Such documents may either be posted at the entrance to each permanent amusement ride, or at the election of the owner or operator, located at a readily accessible central location. If the owner or operator chooses not to maintain the documents at the entrance to a ride, a sign shall be posted at the entrance to the ride notifying the public of the location where the documents can be viewed. 
(f) No person shall operate a permanent amusement ride unless the permanent amusement ride complies with all applicable requirements of this Article and Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. 
Note: The requirement that the amusement ride comply with all applicable requirements of Subchapter 2 shall not take effect unless and until Subchapter 2 is adopted and takes effect. 
(g) Starting on November 5, 2002, an owner or operator who has not elected in compliance with sections 344.8(c)(1) and (c)(2) to have the Division conduct the annual inspection required by section 344.8(c) shall not operate an amusement ride with passengers unless a valid Certificate of Compliance applicable to the ride has been submitted to, and accepted by, the Division as required by section 344.7. 

Exception No 1: If the Division fails to notify the owner or operator within 5 business days of receipt of a Certificate of Compliance that the Certificate has been received and whether it meets the requirements of this Article as required by subsection (d), the owner or operator may continue to operate the ride, unless and until the Division notifies the owner or operator that the Certificate is deficient. 

Exception No. 2: If a tardy request for a Division-conducted annual inspection is made, and the Division can accommodate the request, the ride may be operated after the inspection has been initiated and the Division informs the owner or operator that the ride may be operated. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.8. Inspections.
Note     •     History

(a) Initial Division Inspection of New Permanent Amusement Rides. A Division QSI shall conduct an operational inspection of each new permanent amusement ride before the ride is placed in operation and opened to the public to evaluate the safety of the ride. 
(1) The owner or operator of the ride shall notify the Division, in writing, at least 30 days prior to opening the ride to the public. 
(2) The notification shall state the location of the ride, the date the owner or operator intends to commence public operation, and the earliest date the ride will be ready for inspection by the Division. 
(3) If the Division receives notification in compliance with section 344.8(a)(1), the Division shall initiate the inspection before the date indicated by the operator for commencement of public operation of the ride, and shall make a reasonable effort to complete the inspection prior to that date. If the Division is unable to complete the inspection within 30 days of receiving notification by the owner or operator, and the lack of completion of the inspection is not attributable to the action or inaction of the owner or operator, the ride may by opened to the public until the inspection is completed, unless there is a substantial reason to question the safety of the ride. 
(4) The ride owner or operator shall ensure that a representative is present to operate the ride and perform the tests requested by the Division QSI as necessary to complete the operational inspection. 
(5) In conjunction with the inspection, the owner or operator of the ride shall make available to the Division each of the following: 
(A) A written certification from a licensed engineer that the ride meets the all applicable design requirements set forth in Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. 
Note: This requirement shall not take effect unless and until Subchapter 6.2 has been adopted and takes effect. 
(B) An as-built document. 
(C) A copy of the certificate of occupancy issued by the local building authority, if the local building authority has such a requirement. 
(b) Division Inspection of Major Modifications. After any major modification has been made to a permanent amusement ride, a Division QSI shall conduct an operational inspection of the ride before the ride is reopened to the public. 
(1) The owner or operator of the ride shall provide the Division with at least 30 days advance written notice of the anticipated date of reopening the ride to the public following the major modification. 
(2) The advance written notice shall state the date the owner or operator intends to resume public operation, and the earliest date the ride will be ready for Division inspection. 
(3) If the Division receives notification in compliance with section 344.8(b)(1), the Division shall initiate the inspection before the date indicated by the operator for reopening of the ride to the public, and shall make a reasonable effort to complete the inspection prior to that date. If the Division is unable to complete the inspection within 30 days of receiving notification by the owner or operator, and the lack of completion of the inspection is not attributable to the action or inaction of the owner or operator, the ride may by opened to the public until the inspection is completed, unless there is a substantial reason to question the safety of the ride. 
(4) In conjunction with the Division's major modification inspection, the owner or operator of a permanent amusement ride shall make available to the Division each of the following: 
(A) A written certification from a licensed engineer that the ride as modified meets all applicable design requirements set forth in Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. 
Note: This requirement shall not take effect unless and until Subchapter 6.2 has been adopted and takes effect. 
(B) An as-built document. 
(C) A copy of the certificate of occupancy issued by the local building authority, if the local building authority has such a requirement. 
(c) Annual QSI Inspection. An annual QSI inspection shall be conducted of each permanent amusement ride at least once each year by either a QSI selected by the owner/operator or by a Division QSI, at the election of the owner or operator. 
(1) If the owner or operator elects to have a Division QSI conduct the Annual QSI Inspection, the owner or operator shall submit a written request that the Division conduct the inspection. The request shall be submitted to the Division no later than 60 days prior to the date the Certificate of Compliance becomes due. 
(2) Whenever an owner or operator elects to have a Division QSI conduct an annual inspection, the date of completion of the Division's inspection shall become the anniversary date by which the owner or operator's Certificate of Compliance becomes due the following year if a request for a Division-conducted QSI inspection is not made pursuant to subsection (c)(1). 
(3) The annual QSI inspection shall include both a structural inspection and an operational inspection. 
(4) A permanent amusement ride found on inspection to be unsafe shall be closed to the public and shall not be reopened to the public until all necessary repairs and modifications have been completed and certified as completed by a QSI. 
(d) Annual Division Records Audit and Inspection. 
(1) Starting on December 4, 2002, a Division QSI shall annually audit the records pertaining to each permanent amusement ride, including, but not limited to, records of accidents, records of employee training, and records of maintenance, repair, and inspection of the ride. 
(2) A Division QSI shall conduct an operational inspection in conjunction with the annual records audit. The operational inspection shall be conducted in two phases, as follows: 
(A) One phase shall consist of an unannounced inspection conducted during business hours to observe the normal operation of the ride with passengers. 
(B) The other phase, consisting of all other aspects of the operational inspection, shall be pre-announced and conducted without passengers present. 
(e) Exception to subsections (a), (b), (c), and (d): The following provisions shall apply to each permanent amusement ride that is located within a county or other political subdivision of the State that, as of April 1, 1998, has adopted the provisions of Chapter 66 (commencing with section 6601.1) of the 1994 Uniform Building Code providing for the routine inspection of permanent amusement rides by counties and other political subdivisions of the State, provided that the Division determines that these inspections meet or exceed the inspection standards set forth in this Article: 
(1) The ride shall not be subject to the inspection or records audit requirements of subsections (a), (b), or (d), to the extent that the county or other political subdivision provides inspections according to the same criteria as those specified in each of these subsections. 
(2) The ride shall be subject to the requirements of subsection (c). However, the employer may elect to have the county or other political subdivision conduct the Annual QSI Inspection on the same basis that it may elect to have the Division conduct the Annual QSI Inspection, provided that the county or other political subdivision provides inspections according to the same criteria as those specified in subsection (c) and the owner or operator complies with all applicable deadlines for making written requests. 
(f) Discretionary Division Inspections. A Division QSI may conduct an inspection to determine the safety of a permanent amusement ride, in a manner consistent with any reasonable safety concern raised by the information available to the Division, whenever the Division: 
(1) Receives notification, or otherwise learns, of an accident involving the permanent amusement ride required to be reported pursuant to section 344.15; 
(2) Determines that a fraudulent Certificate of Compliance for the permanent amusement ride was submitted; 
(3) Determines, based on factors such as ride cycles or number of riders, that a permanent amusement ride has a disproportionately-high incidence of accidents when compared to other rides of similar type and design in the State of California; or 
(4) Receives a complaint or otherwise becomes aware of information, when the complaint or information reasonably appears to be reliable and credible, that one of the safety-related systems or structural components of a ride is unsafe, or that a particular practice associated with a ride is unsafe. 
(g) The Division shall cause the least possible disruption to the normal operation of a permanent amusement ride consistent with the effective completion of an inspection. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.9. Order Prohibiting Operation.
Note     •     History

(a) If, after inspection by a Division QSI, the Division determines that a permanent amusement ride, or any part thereof, presents an imminent hazard or is otherwise unsafe for patrons, the Division may prohibit the operation of the ride, or any affected part thereof. The Division shall frame the scope of the prohibition with the narrowest scope reasonably necessary to ensure the protection of the public. 

Exception No. 1: The Division shall not issue an Order Prohibiting Operation if the hazardous or unsafe condition can be corrected immediately and the operator, after being informed of the condition by the Division, immediately abates the hazardous or unsafe condition. 

Exception No. 2: If an unsafe condition does not constitute an imminent hazard to patrons, the Division shall, prior to issuing an Order Prohibiting Operation, engage in an informal consultation with the owner or operator in an effort to resolve any factual questions or gather information relevant to determining whether the public operation of the amusement ride should be prohibited. 
(b) The Division shall notify the owner or operator in writing of the grounds for prohibition of operation and of the conditions in need of correction at the time it issues the Order Prohibiting Operation. 
(c) Operation of the permanent amusement ride shall not be reopened to the public until the conditions cited in the Order Prohibiting Operation have been corrected and approved by an authorized Division representative. 
(d) The owner or operator may appeal any Order Prohibiting Operation. The Division shall conduct appeal proceedings in accordance with Labor Code Section 6327. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.10. Certification of a QSI.
Note     •     History

(a) No person shall perform the services of a QSI for permanent amusement rides unless he or she possesses a current, valid QSI Certificate issued by the Division. 
(b) An application for certification as a QSI shall be made to the Division on a form prescribed by the Division, which shall require the applicant to provide information limited to his or her name, social security number, mailing address, daytime telephone number, two passport photographs, and information required to satisfy subsection (c). 
(1) All statements on the application shall be made under penalty of perjury. 
(2) Within 20 business days of receipt of an application for certification as a QSI, the division shall notify the applicant in writing that the application is complete and accepted for filing or incomplete and what additional evidence, documentation, or information is necessary to complete the application. An application shall be considered to be complete once all evidence, documentation, and information required by subsection (c)(1) or (c)(2) have been submitted. 
(3) Within 20 business days of receipt of a completed application, the Division shall notify the applicant in writing of its decision to approve or disapprove the application. If the application is made pursuant to subsection (c)(2), the Division shall, upon approval of the application, allow the applicant to sit for an examination pursuant to subsection (c)(2)(D). 
(4) If the applicant has qualified for certification under subsection (c)(1), the Division shall issue a QSI Certificate to the applicant upon approval of the application. If the applicant has qualified for certification under subsection (c)(2), the Division shall issue a QSI Certificate to the applicant upon completion of the QSI Examination with a score of at least 80% as required by subsection (c)(2)(D). 
(c) To be eligible for certification as a QSI, an applicant shall qualify as either a licensed engineer or as a non-engineer. 
(1) To qualify as a licensed engineer, the applicant shall do all of the following: 
(A) Provide satisfactory evidence that the applicant is a licensed engineer and has completed at least two years of experience in the amusement ride field, consisting of at least one year of actual inspection of amusement rides for a manufacturer, government agency, amusement park, carnival or insurance underwriter, and an additional year of practicing any combination of amusement ride inspection, design, fabrication, installation, maintenance, testing, repair, or operation. 
(B) Provide any other information reasonably requested by the Division. 
(2) To qualify as a non-engineer, the applicant shall do all of the following: 
(A) Provide satisfactory evidence of completing a minimum of five years of experience in the amusement ride field, at least two years of which consisted of actual inspection of amusement rides for a manufacturer, government agency, amusement park, carnival or insurance underwriter. The remaining experience may consist of any combination of amusement ride inspection, design, fabrication, installation, maintenance, testing, repair, or operation. 
(B) Provide any other information reasonably requested by the Division. 
(C) Produce a valid certificate from a QSI Training Program approved by the Division pursuant to section 344.11, evidencing the applicant's successful completion of 80-hour QSI certification training. For the purposes of this subsection, the training must have been completed within the past five years as of the time the application is made, but must not have been received earlier than January 1, 1999. 
Note: A certificate of completion from an approved QSI Training Program which is based on training received prior to the date this Article takes effect is acceptable if the course work has been retroactively approved pursuant to section 344.11(f). 

Exception: An applicant may apply up to 40 hours of successfully completed nondestructive testing (NDT) training toward completion of the requirement for 80 hours of QSI certification training from an approved QSI Training Program. For the purposes of this exception, an acceptable NDT training course is one offered by an instructor certified by the American Society for Nondestructive Testing, Inc. (“ASNT”) Nondestructive Training Level III, and covering the test method body of knowledge as described in the ASNT Recommended Practice No. SNT-TC-1A, 1996. The applicant shall provide all documentation or evidence reasonably necessary to demonstrate that the NDT training sought to be applied toward the 80-hour requirement meets these criteria. Other NDT courses shall be considered to be acceptable if the QSI applicant can demonstrate that the course instructor and content are equally effective in imparting skills and subject matter to attendees that are necessary for competent inspection of permanent amusement rides. No course shall be considered acceptable if the Division reasonably determines that the subject matter is insufficiently related to the inspection of permanent amusement rides to qualify as substitutable NDT training, or if the Division reasonably determines that the manner of instruction is insufficiently managed or monitored to be considered bona fide training. 
(D) Achieve a score of at least 80% on a written examination (QSI Examination) pertaining to the subjects addressed in this Article and Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title and subject matter applicable to the safe operation of permanent amusement rides. The examination shall be given during the Division's normal business hours in Sacramento or Anaheim at a time convenient to the applicant. 
Note: The examination shall not require knowledge of any requirements in Subchapter 6.2 unless and until Subchapter 6.2 has been adopted and takes effect. 
(d) A QSI Certificate shall be valid for a period of two years from the date of issuance. 
(e) Application for renewal of a QSI Certificate shall be made to the Division on a form prescribed by the Division, which shall require the certificate holder to provide his or her name and daytime telephone number. 
(1) All statements on the renewal application shall be made under penalty of perjury. 
(2) Each application shall be accompanied by the application fee fixed by section 344.16(b). 
(3) The applicant shall provide evidence of having completed, during the previous biennial renewal cycle, at least 30 hours of training from the continuing education component of a QSI Training Program approved pursuant to section 344.11(c). This training shall include inservice industry or manufacturer updates and seminars. 
(4) The applicant shall provide any additional information reasonably requested by the Division. 
(5) Within 10 business days of receipt of an application for renewal of a QSI certificate, the Division shall notify the applicant in writing either that the application is complete and accepted for filing or deficient and what specific information is required to complete the application. Within 10 business days of receipt of a completed application for certification as a QSI or an application for renewal of a QSI certificate, the Division shall notify the applicant of its decision to approve or disapprove the application. 
(f) The Division shall determine whether the applicant meets the criteria necessary for certification or renewal of certification pursuant to this Article and Part 8.1 of Division 5 of the Labor Code, and shall approve or disapprove the application for certification or renewal of certification accordingly. 
(g) The Division may revoke or suspend the certification of a QSI, upon determining that the holder: 
(1) Has submitted a fraudulent inspection report to the Division or to the owner or operator of a permanent amusement ride; or 
(2) Has not performed competently as a QSI. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New article 6 (section 344.10) filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Repealer and new section filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
3. Amendment filed 12-4-84; effective thirtieth day thereafter (Register 84, No. 49).
4. Amendment of subsection (a) filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
5. Amendment of subsection (a)(1) filed 8-25-92; operative 9-24-92 (Register 92, No. 35).
6. Renumbering of former article 6 to new article 6.1 and renumbering of former section 344.10 to new section 344.18 filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.11. Approval of QSI Training Programs.
Note     •     History

(a) A school or training provider may apply to the Division for approval of a QSI Training Program (referred to in this section as “Program”) by submitting the following information: 
(1) The name(s) of the training courses offered by the Program. 
(2) The name, title, business address, and phone number of the person whom the Division will contact regarding Program approval matters, a statement certifying that the information provided with the application is true and correct to the best of the applicant's knowledge, and the name title, business address, and phone number of the person signing the declaration if different from the person who will be the Division's contact. 
(3) Materials describing the subject matter and hours of instruction of each course required by the Program, with an explanation as to which courses are to apply toward: 
(A) The QSI certification training requirements of section 344.10(c)(2)(C); 
(B) QSI certification training requirements based on completion of up to 40 hours of NDT training as allowed by the exception to section 344.10(c)(2)(C); and 
(C) The QSI continuing education requirements of section 344.10(e)(3). 
Note: A school or training provider may offer any or all of the above three options. 
(4) The name(s) and qualifications of the instructor(s) of the Program. 
(5) Any other information reasonably requested by the Division. 
(b) Processing of Application. 
(1) Within 20 business days of receipt of an application for approval, the Division shall inform the applicant in writing whether the submitted application information is complete or additional information needs to be submitted. 
(2) Within 45 business days of receipt of a completed application for approval, the Division shall inform the applicant that the Program is approved or inform the applicant that the application for approval is denied, specifying the reasons for denial. 
(c) Criteria for Approval. Upon receiving complete application materials from the provider, the Division shall determine whether the applicant meets the criteria necessary for approval pursuant to this Article and the Permanent Amusement Ride Safety Inspection Program, Labor Code section 7920 et seq., and shall approve or disapprove the application accordingly. The approval shall specify each component of QSI Training, as described in section 344.11(a)(3), to which the approval applies. To qualify for approval, the applicant shall demonstrate that its Program will meet all of the following requirements: 
(1) Ensure that the instructor for each course required by the Program is experienced in the subject matter of the course. 
(2) Ensure that the course content is current and will be kept current. 
(3) Require Program participants to attend each course required by the Program for its full duration so that the applicable requirements for hours of instruction as described by sections 344.10(c)(2)(C) and 344.10(e)(3) are met. 
(4) Utilize a reliable testing method to determine whether the course participants have learned the subject matter presented by the course. 
(5) Provide a certificate of completion to all successful participants at the completion of the Program. 
(6) Ensure that the courses required by the Program provide classroom training related to the inspection, design, maintenance, testing, and operation of permanent amusement rides and applicable provisions of Title 8 of this Code, ensure that the subject matter of the training is current and will be kept current, and ensure that the overall content of courses required by the Program meets the intent of the Permanent Amusement Ride Safety Inspection Program, Labor Code section 7920, et seq., that QSIs receive training allowing them to perform competent and effective inspections of permanent amusement rides for the purpose of ensuring the safety of patrons. 
(d) To maintain QSI Training Program approval, a school or training provider shall promptly notify the Division in writing each time the provider makes a substantive change to any of the information required pursuant to subsection (a). 
(e) The Division may suspend or revoke the approval of a QSI Training Program upon determining that the Program has substantially failed to comply with approval requirements. 
(f) The Division may grant retroactive approval of training provided after January 1, 1999 but before this Article takes effect, if the provider demonstrates that the training met the QSI Training Program approval criteria of this section. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.12. Suspension and Revocation Procedures.
Note     •     History

All suspension and revocation proceedings conducted by the Division shall be initiated by the provision of written notice of the Division's intent to conduct a hearing to determine whether a certification or approval will be suspended or revoked. 
(a) The written notice shall be served at least 48 hours in advance of the scheduled hearing date. 
(b) Service shall be by personal service or certified mail to the address shown on the application for certification or approval, or to any other address known to the Division and reasonably believed to be the current address of the certificate holder or course provider. 
(c) The written notice shall specify the time, date, and location of the hearing, and the reasons for the action proposed by the Division. 
(d) At the hearing the Division shall have the burden of establishing good cause for the action taken by it. Good cause shall be deemed to exist if the Division establishes that the holder of a certification has substantially failed to comply with the requirements for certification pursuant to section 344.10(g), or that the holder of an approval has substantially failed to comply with the requirements of approval pursuant to section 344.11(e). 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.13. Appeals to the Director.
Note     •     History

(a) The following may be appealed to the Director: 
(1) Suspensions and revocations by the Division. 
(2) Denials of applications for QSI certification or QSI Training Program approval. 
(3) Any final decision after hearing by the Division to uphold an Order Prohibiting Operation. 
(b) All appeals to the Director shall be in writing and shall be served within 5 business days of receipt of the notification of the Division's decision resulting in a denial, suspension, or revocation. 
(c) The Director or authorized representative shall schedule a hearing to be held within 5 business days of receipt of an appeal. At the hearing, the appellant shall have the burden of establishing that the Division's decision is in error. 
(d) Within 3 business days of completing the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.14. Insurance Requirements.
Note     •     History

A person or entity may operate a permanent amusement ride only if, at the time of operation, he, she, or it: 
(a) Has obtained a valid insurance policy in an amount not less than one million dollars ($1,000,000) per occurrence, and; 
(1) Has submitted to the Division a copy of the policy; 
(2) Has clearly identified in the policy the permanent amusement rides included and excluded; and 
(3) Does not operate permanent amusement rides for which coverage is not provided; or 
(b) Has obtained a bond in an amount not less than one million dollars ($1,000,000), except that the aggregate liability of the surety under that bond shall not exceed the face amount of the bond. A copy of the bond shall be submitted to the Division; or 
(c) Qualifies as self-insured. Qualification as self-insured shall be demonstrated by providing a letter to the Division attesting that the owner has total assets of at least ten million dollars ($10,000,000), and that the owner's total assets exceed the owner's total liabilities by either a minimum of two million dollars or a ratio of at least ten to one. All statements in the attestation letter to the Division shall be made under penalty of perjury. 

Exception: State and local governmental entities shall be deemed to qualify as self-insured. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code.
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.15. Accident Response and Notification.
Note     •     History

(a) Reporting of Accidents. 
Each operator of a permanent amusement ride shall report or cause to be reported to the Division's Anaheim or Sacramento Amusement Ride Section Office immediately by telephone each known accident where maintenance, operation, or use of the permanent amusement ride results in a death or serious injury to any person unless the injury does not require medical service other than ordinary first aid. 
(b) Preservation of Accident Scene. 
(1) If a death or serious injury results from the failure, malfunction, or operation of a permanent amusement ride, the equipment or conditions that caused the accident shall be preserved for the purpose of an investigation by the division. 
(2) Upon receiving a report of an accident from an owner or operator, the Division shall make a determination as to whether preservation is necessary and inform the owner or operator of its determination. 
(A) If the Division determines that preservation is necessary, the Division shall make a reasonable effort to initiate the inspection within 24 hours of receipt of the report from the owner or operator. 
(B) Upon initiating the inspection, the Division shall provide the owner or operator with an instruction as to how long the equipment or conditions shall continue to be preserved. 
(c) Notification of the Division by Emergency Responders. 
Whenever a state, county, or local fire or police agency is called to an accident involving a permanent amusement ride covered by this Article where the death of a patron or a patron injury requiring medical service other than first aid has occurred, the Anaheim or Sacramento Amusement Ride Section Office of the Division shall be notified by telephone immediately by the responding agency. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
§344.16. Permanent Amusement Ride Fee Schedule.
Note     •     History

(a) The application fee for a QSI Certificate shall be five hundred dollars ($500.00). 
(b) The fee for the biennial renewal of a QSI Certificate shall be one hundred and twenty-five dollars ($125.00). 
(c) The fee for review of Certificates of Compliance and provision of related notifications shall be two hundred and fifty dollars ($250.00). 
(d) Inspection Fees. 
(1) A fee of one hundred and ninety-five dollars ($195.00) per hour shall be charged for all on-site work performed in connection with audits, inspections, reinspections, and investigations pertaining to permanent amusement rides. The Division shall bill an inspector's time in quarter-hour increments, rounded up to the nearest quarter hour. 
(2) Fees shall be charged for actual inspection time. Actual inspection time begins from the time a Division engineer arrives, generally by appointment, in the area where the Division's information indicates the inspection is to be conducted, and continues until the engineer has completed the Division's report and is ready to leave the area. 
(3) The Division shall not bill at the hourly rate for an inspector's travel time in connection with routine inspections. However, if the owner or operator of a permanent amusement ride or rides, or his or her designee, fails to appear at the designated site for a scheduled inspection, or is not ready for the inspection at the designated time, and the Division is therefore required to reschedule the inspection, the Division may bill for the time its inspector spends traveling to the site of the rescheduled inspection(s) at the one hundred and ninety-five dollar ($195.00) hourly rate. 
(e) Annual Fee. In addition to the hourly fee for inspections, reinspections and investigations, each permanent amusement ride shall pay an annual fee to offset the Division's travel and administrative costs. The Division shall base the amount of the annual fee on the classification of the permanent amusement ride as either “Class I (Small),” “Class II (Medium),” “Class III (Large),” or “Class IV (Extra Large),” as follows: 
(1) Small rides -- Twenty-five dollars ($25.00) 
(2) Medium rides -- Three hundred and sixty-five dollars ($365.00)
(3) Large rides -- Seven hundred and forty dollars ($740.00) 
(4) Extra-large rides -- One thousand four hundred and seventy-five dollars ($1,475.00). 
(f) Classification of Permanent Amusement Rides. For purposes of this section, each permanent amusement ride shall be classified according to the criteria set forth below. A ride will be placed into the largest classification for which it satisfies two or more of the evaluation criteria. However, if a permanent amusement ride satisfies any single criterion in a classification, then the ride cannot fall into a classification more than one classification below, even if it satisfies two or more criteria in a lower classification. 
(1) Class I (Small): A permanent amusement ride shall be classified as “Small” if it: 
(A) has a footprint of 699 square feet, or less; 
(B) operates at ten or fewer revolutions per minute (“RPM”); 
(C) is a “Kiddie Coaster” (a ride designed for children age 12 or younger). 
(2) Class II (Medium): A permanent amusement ride shall be classified as “Medium” if it:
(A) has a footprint of greater than 699 square feet and up to and including 2,000 square feet;
(B) is a non-elevated ride that carries its own means of propulsion while towing one or more units (i.e., trains); 
(C) elevates passengers up to and including sixty feet off the ground. 
(3) Class III (Large): A permanent amusement ride shall be classified as “Large” if it: 
(A) has a footprint of greater than 2,000 and up to and including 8,000 square feet; 
(B) elevates passengers higher than 60 feet and up to 120 feet off the ground, and/or travels a distance of up to and including 1,500 feet; 
(C) consists of more than 50 units and/or has a capacity equal to, or greater than, 50 passengers; 
(4) Class IV (Extra-Large): A permanent amusement ride shall be classified as “Extra-Large” if it: 
(A) has a footprint of greater than 8,000 square feet; 
(B) elevates passengers higher than 120 feet off the ground and/or travels a distance of greater than 1,500 feet; 
(C) has complex features or controls (i.e., programmable logic controllers with safety features that interface with computer controllers or similar features or controls). 
NOTE

Authority cited: Sections 60.5, 7923, 7928 and 7929, Labor Code. Reference: Sections 7920-7932, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
2. Amendment of section heading, repealer of subsection (d) and new subsections (d)-(f)(4)(C) filed 1-20-2011; operative 1-20-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 3). 
§344.17. Confidentiality.
Note     •     History

The Division shall maintain the confidentiality of all documentation received pursuant to this Article to the extent that such documentation is protected by Labor Code Section 6322 or any other applicable provision of law. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 6322 and 7920-7928, Labor Code. 
HISTORY

1. New section filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
Article 6.1. Amusement Ride Inspection Fee Schedule
§344.18. Portable Amusement Ride Fee Schedule.
Note     •     History

(a) Inspection Fees. 
(1) A fee of one hundred and ninety-five dollars ($195.00) per hour shall be charged for all on-site work performed in connection with audits, inspections, reinspections, and investigations pertaining to portable amusement rides. The Division shall bill an inspector's time in quarter-hour increments, rounded up to the nearest quarter hour. 
(2) Fees shall be charged for actual inspection time. Actual inspection time begins from the time a Division engineer arrives, generally by appointment, in the area where the Division's information indicates the inspection is to be conducted, and continues until the engineer has completed the Division's report and is ready to leave the area. 
(3) The Division shall not bill at the hourly rate for an inspector's travel time in connection with routine inspections. However, if the owner or operator of a portable amusement ride or rides, or his or her designee, fails to appear at the designated site for a scheduled inspection, or is not ready for the inspection at the designated time, and the Division is therefore required to reschedule the inspection, the Division may bill for the time its inspector spends traveling to the site of the rescheduled inspection(s) at the one hundred and ninety-five dollar ($195.00) hourly rate. 
(b) Annual Fee. In addition to the hourly fee for inspections, reinspections and investigations, each portable amusement ride shall pay an annual fee to offset the Division's travel and administrative costs. The Division shall base the amount of the annual fee on the classification of the portable amusement ride as either “Class I (Small),” “Class II (Medium),” “Class III (Large),” or “Class IV (Extra Large),” as follows: 
(1) Small rides -- Twenty-five dollars ($25.00) 
(2) Medium rides -- Three hundred and sixty-five dollars ($365.00) 
(3) Large rides -- Seven hundred and forty dollars ($740.00) 
(4) Extra-large rides -- One thousand four hundred and seventy-five dollars ($1,475.00). 
(c) Classification of Portable Amusement Rides. For purposes of this section, each portable amusement ride shall be classified according to the criteria set forth below. A ride will be placed into the largest classification for which it satisfies two or more of the evaluation criteria. However, if a portable amusement ride satisfies any single criterion in a classification, then the ride cannot fall into a classification more than one classification below, even if it satisfies two or more criteria in a lower classification. 
(1) Class I (Small): A portable amusement ride shall be classified as “Small” if it: 
(A) has a footprint of 699 square feet, or less. (For purposes of this section, a “ride footprint” is the surface area, expressed in square feet, that is covered by the ride, itself, and does not include the passenger waiting area or queuing area); 
(B) operates at ten or fewer revolutions per minute (“RPM”); 
(C) is a “Kiddie Coaster” (a ride designed for children age 12 or younger). 
(2) Class II (Medium): A portable amusement ride shall be classified as “Medium” if it: 
(A) has a footprint of greater than 699 square feet and up to and including 2,000 square feet;
(B) is a non-elevated ride that carries its own means of propulsion while towing one or more units (i.e., trains); 
(C) elevates passengers up to sixty and including 60 feet off the ground. 
(3) Class III (Large): A portable amusement ride shall be classified as “Large” if it: 
(A) has a footprint of greater than 2,000 and up to and including 8,000 square feet;
(B) elevates passengers higher than 60 feet and up to 120 feet off the ground, and/or travels a distance of up to and including 1,500 feet; 
(C) consists of more than 50 units and/or has a capacity equal to, or greater than, 50 passengers; 
(4) Class IV (Extra-Large): A portable amusement ride shall be classified as “Extra-Large” if it: 
(A) has a footprint of greater than 8,000 square feet;
(B) elevates passengers higher than 120 feet off the ground and/or travels a distance of greater than 1,500 feet;
(C) has complex features or controls (i.e., programmable logic controllers with safety features that interface with computer controllers or similar features or controls). 
(d) The Division will charge no fee for an inspection performed by a certified insurance inspector except a charge of $10.00 to cover the cost of processing the permit to operate. 
NOTE

Authority cited: Sections 60.5, 6308 and 7904, Labor Code. Reference: Section 7904, Labor Code.
HISTORY

1. Renumbering of former article 6 to new article 6.1 and renumbering of former section 344.10 to new section 344.18 filed 10-30-2001; operative 10-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 44).
2. Amendment of article and section headings and repealer and new section filed 1-20-2011; operative 1-20-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 3). 
Article 7. Blaster's License
§344.20. Blaster's License--Application and Examination.
Note     •     History

(a) Every person requesting a Blaster's License shall submit a completed application form to the Division.
(b) The Division shall evaluate every applicant for a Blaster's License. This evaluation will be conducted of the person's training and experience as shown on the application.
(c) In order to obtain a Blaster's License, the applicant shall pass a written or an oral qualifying examination given at such times and places as determined by the Division. The examination shall include questions related to the license classification requested. Field tests may also be required as deemed necessary to determine the candidate's qualifications to perform the duties of a blaster.
(d) License classification.

Class	Category	                 Description
A	Unlimited	All types of blasting.
B	General Above Ground	All phases of blasting operations in quarries,
	  open pit mines, and above ground construction.
C	General Underground	All phases of blasting operations in under
	  ground mines, shafts, tunnels, and drifts.
D	Demolition	All phases of demolition.
E	Limited	Specific blasting operations indicated on the
	  License.

(e) The Blaster's License may be endorsed by any limitation or classification the Division may determine.
(f) The Blaster's License is not transferable.
NOTE

Authority cited: Sections 6308, 7314, 7350, 7720-7724, 7728, 7904 and 7991, Labor Code. Reference: Sections 7314, 7350, 7720-7724, 7728, 7904 and 7991, Labor Code.
HISTORY

1. New Article 7 (Sections 344.20-344.22) filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
§344.21. Expiration and Renewal.

(a) Each Blaster's License issued under this Article shall be valid for a period of five years with renewal privileges.
(b) Application for, and granting of a renewal, shall be administered in the same manner as an original Blaster's License. The Blaster's License examination will be required each five years. 
§344.22. Suspension or Revocation--Blaster's License.
Note     •     History

(a) The Division may suspend or revoke a blaster's license when in the opinion of the Division;
(1) There is a question or doubt as to the competency of the blaster, or
(2) The blaster has not complied with requirements, safety orders, or rules of the Division.
(b) The blaster shall be given notice and a hearing before suspending or revoking a blaster's license.
(c) In the event of suspension or revocation of a blaster's license, the person may not apply for a new license for a period of 6 months and the application shall be handled in the same manner as an original blaster's license.
NOTE

Authority cited: Sections 60.5, 6308 and 7991, Labor Code. Reference: Sections 6308 and 7995, Labor Code.
HISTORY

1. New section filed 12-5-85; effective thirtieth day thereafter (Register 85, No. 49).
Article 8. Elevator Inspection Fee Schedule
§344.30. Conveyance Inspection Program Fees.
Note     •     History

Pursuant to the provisions of Section 7314 of the Labor Code, the Division has fixed a schedule of inspection fees as follows:
(a) Reinspection (periodic inspection) and witnessing of periodic tests of an existing installation shall be:

(1) Hand dumbwaiters	$ 125.00 per unit
(2) Power dumbwaiters and material lifts	$ 225.00 per unit
(3) Hand elevators	$ 125.00 per unit
(4) Material lifts with automatic transfer devices	$ 225.00 per unit
(5) Power sidewalk elevators	$ 225.00 per unit
(6) Hand-powered man platforms	$ 225.00 per unit
(7) Escalators and moving walks	$ 675.00 per unit
(8) Manlifts	$ 225.00 per unit
(9) Hydraulic elevator--direct plunger and roped 
  hydraulic up to three stories	$ 225.00 per unit
(10) Hydraulic elevator--direct plunger and roped  
  hydraulic 4 stories or more	$ 225.00 per unit
(11) Cabled elevator--up to 3 stories	$ 225.00 per unit
(12) Cabled elevator--4 to 10 stories	$ 350.00 per unit
(13) Cabled elevator--11 to 20 stories	$ 450.00 per unit
(14) Cabled elevator--21 or more stories	$ 550.00 per unit
(15) Special access elevators	$ 225.00 per unit
(16) Screw type elevator	$ 225.00 per unit
(17) Wheel chair lift, vertical or incline 	$ 125.00 per unit
(18) Stairway chair lift	$ 125.00 per unit
(19) Elevator installed by variance	$ 225.00 per hour
(20) Elevators or dumbwaiters with automatic transfer 
 devices	$ 225.00 per unit
(21) Incline elevators	$ 350.00 per unit
(22) Construction personnel hoist	$ 225.00 per hour
(23) Special purpose personnel elevator	$ 225.00 per unit
(24) Rack & Pinion elevator	$ 225.00 per unit
(25) Vertical and inclined reciprocating conveyors	$ 225.00 per unit
(26) Witnessing of periodic tests	$ 225.00 per hour
(27) Automatic guided vehicles on guideways	$1800.00 per unit
(b) The fee for the inspection of a new installation of any type of conveyance will be $225.00 per hour or any fraction thereof.
(c) The fee for the inspection of any alteration to a conveyance will be $225.00 per hour or any fraction thereof.
(d) The fee for replacement inspections required under Section 3001(b)(3) will be $225.00 per hour, or any fraction thereof.
(e) The fee for field consultations will be $450.00 per hour or any fraction thereof. If the distance to the job site is more than 50 miles from the District Elevator Unit Office, the actual travel time will be added to the inspection time in order to obtain the total charge.
(f) No charge shall be made in any one permit year for more than one inspection except where safety orders have not been complied with and subsequent inspections are necessary, annual or periodic testing is required, or where an alteration has been made to a conveyance. A fee of $225.00 per hour or any fraction thereof shall be charged to determine if applicable safety orders have been complied with.
(g) A fee will be charged for processing and mailing a permit. The fee shall reflect the actual cost of processing and mailing up to a maximum of $15.00.
(h) The fees to cover the cost of various certifications are as follows:

(1) Certified Qualified Conveyance Company (CQCC)		$  700.00
(2) Certified Qualified Conveyance Inspection Company 
 (CQCIC)		$  700.00
(3) Certified Competent Conveyance Mechanic 
 (CCCM)		$  210.00
(4) Temporary Certified Competent Conveyance Mechanic
 (TCCCM)		$  35.00/
		application
(5) Emergency Certified Competent Elevator Mechanic
 (ECCEM)		$  35.00/
		application
(6) Certified Qualified Conveyance Inspector (CQCI)		$ 210.00
(7) Renewal of a CQCC, CCCM, CQCIC or a CQCI 
 certification		$ 140.00
(8) Replacement of a CQCC, CCCM, CQCIC or a CQCI 
 certification		$ 35.00
(9) Administration of Exam		$ 100/
		 exam
(i) The fee for an erection, construction, or installation permit, including the plan approval, is as follows:

(1) First hydraulic elevator, including direct plunger elevator 
 and roped hydraulic elevator in a building		$ 225.00 per story
(2) Additional similar conveyances in the same 
 building		$ 225.00 per unit
(3) First cable-, screw- and rack and pinion 
 type-elevators in a building		$ 350.00 per story
(4) Additional similar conveyances in the same 
 building		$ 350.00 per unit
(5) Dumbwaiters, material lifts, vertical reciprocating 
 conveyors and sidewalk elevators		$ 550.00 per unit
(6) Wheelchair lifts, stairway lifts, hand-powered 
 elevators and dumbwaiters		$ 450.00 per unit
(7) First Escalator or moving walk in a building		$ 900.00 per unit
(8) Additional similar conveyances in the same 
 building		$ 225.00 per unit
(9) Automatic guided vehicles on guideways		$1800.00 per unit
(10) All other conveyances		$ 225.00 per hour
(j) The fee for an alteration permit, including plan review, is as follows:

(1) Permit for one or two alterations to a single unit		$450.00
(2) Permit for same alterations to similar conveyances 
 in the same building		$225.00 
		per unit
(3) Permit for three or more alterations to a single conveyance		$900.00
(4) Permit for same alterations to similar conveyances 
 in the same building		$225.00
		 per unit
(k) The fee for any change order review of plans shall be $225.00 per hour.
(l) Whenever a person owning or having the custody, management or operation of an elevator fails to pay the fees required under this section within 60 days after notification, he or she shall pay in addition to the fees required by this section, a penalty fee equal to 100 percent of the fee.
(m) An additional fee in the amount of $675.00 shall be charged for inspections that result in the issuance of an Order Prohibiting Use.
NOTE

Authority cited: Sections 60.5, 6308, 7311.4 and 7314, Labor Code. Reference: Sections 60.5, 6308, 7311.4 and 7314, Labor Code.
HISTORY

1. New article 8 (section 344.30) filed 11-30-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9).
3. Amendment filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
4. Amendment filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16).
5. Amendment of subsection (a) and new subsection (i) filed 3-24-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 13).
6. Amendment filed 3-2-84 as an emergency; effective upon filing (Register 84, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-30-84.
7. Order of Repeal of 3-2-84 emergency order filed 7-30-84 by OAL pursuant to Government Code section 11349.6 (Register 84, No. 31).
8. Amendment filed 7-30-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-27-84.
9. Certificate of Compliance transmitted to OAL 11-5-84 and filed 12-4-84 (Register 84, No. 49).
10. Amendment filed 8-16-88 as an emergency; operative 8-16-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-14-88.
11. Certificate of Compliance transmitted to OAL 11-29-88 and filed 12-29-88 (Register 89, No. 2).
12. Amendment filed 5-12-92 as an emergency; operative 5-12-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-9-92 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 5-12-92 order including amendment of “Cabled” in subsection (a) and NOTE transmitted to OAL 7-20-92 (Register 92, No. 35).
14. Amendment of section heading and section filed 1-3-2003 as an emergency; operative 1-3-2003. A Certificate of Compliance must be transmitted to OAL by 5-5-2003 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Labor Code section 7314 (Register 2003, No. 1).
15. Reinstatement of section as it existed prior to 1-3-2003 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 23).  
16. Amendment of section heading and section filed 6-9-2003 as an emergency; operative 6-9-2003. A Certificate of Compliance must be transmitted to OAL by 10-7-2003 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Labor Code section 7314 (Register 2003, No. 24).
17. Reinstatement of section heading and section as they existed prior to 6-9-2003 amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 32).
18. Amendment of section heading and section filed 10-6-2004 as an emergency; operative 10-6-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-3-2005 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Labor Code section 7314.
19. Certificate of Compliance as to 10-6-2004 order, including further amendment of section and Note, transmitted to OAL 2-3-2005 and filed 3-16-2005 (Register 2005, No. 11).
20. Amendment of subsections (a)(1)-(f), (i)(1)-(i)(10) and (j)(1)-(k) and new subsection (m) filed 6-21-2010 as an emergency; operative 6-21-2010 (Register 2010, No. 26). This filing is deemed an emergency and is exempt from review by OAL pursuant to Labor Code section 7314. A Certificate of Compliance must be transmitted to OAL by 12-20-2010 or emergency language will be repealed by operation of law on the following day.
21. Editorial correction of History 20 (Register 2010, No. 50).
22. Amendment of subsections (a)(1)-(f), (i)(1)-(i)(10) and (j)(1)-(k) and new subsection (m) refiled 12-8-2010 as an emergency; operative 12-8-2010 (Register 2010, No. 50). This filing is deemed an emergency and is exempt from review by OAL pursuant to Labor Code section 7314. A Certificate of Compliance must be transmitted to OAL by 3-8-2011 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 12-8-2010 order transmitted to OAL 3-4-2011 and filed 4-18-2011 (Register 2011, No. 16).
Article 9. Correctional Industries
§344.40. Definitions.
Note     •     History

(a) Complaint. As used in this article, the term complaint shall refer to any written allegation of unsafe or unhealthful working conditions at the place of employment of a state prisoner working in a correctional industry. The Cal/OSHA form 7 may be used as a complaint form, but shall not be required.
(b) Committee. As used in this article, the term committee shall refer to the correctional industry safety committee established in accordance with Department of Corrections administrative procedures at each Department of Corrections facility maintaining a correctional industry.
(c) Committee Notice. A committee notice is a written notice suggesting the institution take specific corrective measures and setting forth an appropriate abatement date. The notice shall be served upon the Department of Corrections employee having supervisory responsibility over the unsafe or unhealthful condition. Copies of the notice shall be served upon the warden or superintendent of the institution and upon the complainant. Further, a copy of the notice shall be posted by the committee at a location where employees exposed to the unsafe or unhealthful condition will be likely to see it. Such posting shall be for a period of 15 days or until the unsafe condition is corrected, whichever is longer.
(d) Filing a complaint. A complaint is deemed filed for purposes of this article upon either being deposited in a readily accessible complaint box or being personally presented to any member of the committee.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code.
HISTORY

1. New Article 9 (Sections 344.40-344.46) filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
§344.41. Complaint Procedure.
Note

(a) Any state prisoner working in a correctional industry may file with the committee, a complaint alleging unsafe or unhealthful working conditions at her/his place of employment.
(b) The committee shall provide correctional industry employees with an expedient means of transmitting complaints to the committee. All correctional industry employees shall be informed by posted notice of the manner available to them for filing a complaint.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code.
§344.42. Operation of the Committee.
Note

(a) The committee shall meet as often as necessary but at least every 60 days to discuss health and safety issues relating to employees of correctional industries and to hear and act upon health and safety complaints filed by correctional industry employees.
(b) The committee shall review and take appropriate action on every complaint within 15 calendar days of its filing.
(c) The committee shall take one of the following actions on each complaint:
(1) Issue a notice recommending specific corrective measures in the manner set forth in Section 344.40 above. In addition, the committee shall inform the complainant in writing of his/her right to have the committee forward the original complaint and the notice for correction to the Division of Occupational Safety and Health for review if the complainant believes that the notice is insufficient to make the conditions safe or healthful or if the Department of Corrections refuses or fails to comply with the notice.
(2) Refer the complaint to the appropriate district office of the Division of Occupational Safety and Health for review. Such referral shall be made whenever the committee is unable, for any reason, to resolve the issues raised by the complaint within 15 days from the date of filing. Such referral shall be in writing and shall be made by the 15th calendar day from the day of filing. The complainant, if known to the committee, shall immediately be informed in writing of the referral.
(3) Dismiss the complaint for lack of merit. Unless the complainant is anonymous the committee shall set forth its reasons for dismissal in writing to the complainant. Said writing shall also inform the complainant of his/her right to require the committee to have the initial complaint and the committee finding reviewed by the Division in the event that the complainant finds the conclusions of the committee to be unsatisfactory for any reason.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code.
§344.43. Duties of the Department of Corrections and the Committee.
Note

(a) Neither the Department of Corrections nor the correctional industry safety committee shall in any way abridge the right of correctional industry employees to file complaints pursuant to this article or to require referral of the complaints to the Division of Occupational Safety and Health.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code.
§344.44. Division Participation.
Note

(a) Upon receipt of a complaint from the committee, which it determines to constitute a bona fide allegation of a safety or health violation, the Division shall investigate within 3 working days after receipt if the complaint alleges a serious violation, and not later than 14 calendar days after receipt if the complaint alleges a general violation. The Division may give advance notice of an inspection or investigation and may postpone the same if such action is necessary for the maintenance of security at the facility where the inspection or investigation is to be held, or for ensuring the safety and health of the Division's representative who will be conducting the inspection or investigation.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code.
(b) In addition to the investigations required under subsection (a) above, the Division shall investigate every fatality and every employment accident involving serious injury to five or more correctional industry employees. The Division may in its discretion investigate any other accident or report of a safety or health violation involving correctional industry employees which are reported to it.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code.
§344.45. Other Duties of the Correctional Industry Safety Committee.
Note

(a) The committee shall retain each complaint or a copy thereof and a record of all action taken pursuant to that complaint for a period of 3 years from the date that all issues with respect to the complaint have been resolved. Such records shall be made available to the Division.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code.
§344.46. Other Division Jurisdiction over Unsafe Conditions Pertaining to State Prisoners.
Note

(a) When the Division receives information, pursuant to Labor Code Section 6314, about injury or death of a state prisoner resulting from labor performed by the prisoner, the Division may make recommendations to the Department of Corrections, with or without conducting an inspection, of ways in which corrections might improve the safety of the working conditions and work areas of state prisoners and other safety matters.
(b) If the Department of Corrections fails to comply with the recommendations described in subsection (a) above, or in any other case in which the Division deems the safety of any state prisoner shall require it, the Division may conduct hearings and after such hearings may adopt such special orders, rules, or regulations, or otherwise proceed as authorized in Chapter 1 (commencing with Section 6300 of Division 5 Part 1 of the Labor Code) as it deems necessary. The Department of Corrections shall comply with any such order, rule, or regulations so adopted by the Division.
NOTE

Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code.
Article 10. Civil and Criminal Enforcement Policy of the Division of Occupational Safety and Health
§344.50. Civil Inspections and Investigations.
Note     •     History

Compliance personnel of the Division are responsible for conducting inspections and investigations under the California Occupational Safety and Health Act for the purpose of invoking civil enforcement remedies only. If hazardous or violative conditions are found, the civil enforcement remedies which can be utilized include, but are not limited to, the issuance of citations and civil penalties, special orders, orders to take special action, the initiation of injunction proceedings, issuance of orders prohibiting use, and the revocation or suspension of permits. Division compliance personnel have no authority to initiate criminal proceedings.
NOTE

Authority cited: Sections 6308, 6314 and 6315, Labor Code. Reference: Sections 6314 and 6315, Labor Code.
HISTORY

1. New Article 10 (Sections 344.50-344.53) filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
§344.51. Criminal Investigations.
Note     •     History

The central function of the Bureau of Investigations, within the Division of Occupational Safety and Health, is to conduct criminal investigations. The Bureau must investigate accidents involving violations of a standard, order, or special order, or section 25910 of the Health and Safety Code in which there is a serious injury to five or more employees, death, or request for prosecution by a Division representative. The Bureau of Investigations is the only entity within the Division which is empowered to conduct criminal investigations and to refer the results of such investigations when appropriate to a city attorney or district attorney for necessary action. The Bureau must analyze the circumstances surrounding the violation to determine whether the conduct is sufficiently aggravated to fall within the scope of Labor Code sections 6423, 6425 and other penal statutes.
NOTE

Authority cited: Sections 6308, 6314 and 6315, Labor Code. Reference: Sections 6315 and 6314, Labor Code.
HISTORY

1. Editorial correction of Health and Safety section cited in text (Register 91, No. 23).
§344.52. Referral of Cases Other Than Accident Cases by Compliance Personnel to the Bureau of Investigations.
Note

If Division compliance personnel become aware that there are conditions which may constitute criminal violations, the case must be referred trough the Regional Manager/Supervising Industrial Hygienist, with a copy to the appropriate Deputy, to the respective Northern or Southern Office of the Bureau of Investigations. In cases referred for investigation the Supervising Special Investigator will assign the case to a Special investigator for investigation. The investigator will review the facts of the case, interview witnesses, and otherwise, conduct a thorough investigation. The assigned investigator shall prepare a report to the Supervising Special Investigator which shall include a summary of evidence, findings, and recommendations for appropriate action.
NOTE

Authority cited: Sections 6308, 6314, 6315, Labor Code. Reference: Sections 6315, 6314, Labor Code.
§344.53. Nonreferral of Other Than Willful or Repeated Violations in the Context of Scheduled Inspections by Compliance Personnel to the Bureau of Investigations.
Note

Whenever the Division conducts a scheduled inspection according to a general administrative plan in contrast to an accident, complaint, or follow-up investigation, Division compliance personnel shall invoke only the civil enforcement remedies as set forth in Section 344.50 unless the violation is characterized as willful or repeated. This section shall not limit he Division's prerogative to enforce Labor Code Section 6326.
NOTE

Authority cited: Sections 6308, 6314, 6315, Labor Code. Reference: Sections 6315, 6314, Labor Code.
Article 11. License Requirements--Crane and Derrick Certification
§344.60. Licensing of Certifiers of Cranes and Derricks--Requirements.
Note     •     History

(a) Any person engaging in the testing, examination and/or certification of cranes, including but not limited to tower cranes, or derricks, used in lifting service exceeding three tons rated capacity, as defined in section 4885 of title 8 of the California Code of Regulations, as required pursuant to Labor Code section 7375 and sections 5020 through 5025 of title 8 of the California Code of Regulations shall apply for and obtain a license from the Division pursuant to this article or be approved by the Division to work as a surveyor under a license issued pursuant to this article prior to engaging in such activities.
(1) For the purposes of this article a “licensed certifier” refers to any individual or agency holding a license pursuant to this article.
(2) For the purposes of this article “approval”, “approved surveyor” or “surveyor” refers to an individual who has been approved to certify cranes only under the authority and supervision of a licensed certifier.
(b) Any person authorized by the Division to certify cranes and/or derricks prior to the effective date of this article may continue to perform services under such authority. Any such authority shall expire, however, in the year 1992. For purposes of the month of expiration in the year 1992, the Division will use the first day of the month in which the authorization was regularly scheduled to expire regardless of year. Any certificating agency or person desiring to continue to provide services pursuant to this article must have applied for and obtained a license from the Division prior to expiration of the existing authorization.
(c) All persons or agencies licensed or approved pursuant to this Article shall comply with the provisions of Labor Code section 7375(c).
NOTE

Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Sections 7375, 7378 and 7379 Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Repealer of NOTE in subsection (a) and amendment of subsection (c) and NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.61. License and Approval--Application Form and Applicant Qualifications.
Note     •     History

(a) A license to certify cranes pursuant to this article may be obtained by submitting a completed application to the Division and successfully completing a written examination as set forth herein. Application forms may be obtained by calling the Headquarters offices of the Division or by written request to Post Office Box 603, San Francisco, California 94101.
(1) An applicant seeking a license must satisfy one of the following criteria:
(A) Be an agency or person satisfying the definition of “certificating agency” as set forth in section 4885 of title 8 of the California Code of Regulations, or,
(B) Be an agency or person qualified to certify cranes pursuant to section 5021(a)(1) of title 8 of the California Code of Regulations who is not a certificating agency as defined but who will be operating under the direct technical supervision of a certificating agency as defined.
(2) All applicants must possess knowledge of sections 4884, et. seq. of Title 8 of the California Code of Regulations, as well as ANSI (American National Standards Institute) and SAE (Society of Automotive Engineers) standards, relating to the design and operation of cranes and derricks, including those specifically applicable to the types of cranes for which a license will be issued. In addition, all applicants must demonstrate at least five years related experience with cranes or derricks. This five years of experience must include not less than two years of crane related field duties such as crane inspection as a crane operator, heavy equipment mechanic, shop foreman, operations supervision, rigging specialist, or mechanical or civil engineer. Related education may be substituted for experience at a ratio of two years of education for one year of experience up to three years.
(A) Individuals who have been approved by the Division pursuant to section 5021(a) of Title 8 of the California Code of Regulations and engaging in the certification of cranes prior to the effective date of this Article may use such periods of time to satisfy the experience requirements of this Part.
(b) Any applicant for a license desiring to employ persons as surveyors to conduct inspections and examinations under the authority and supervision of the license must request that such individuals be approved by the Division in the application for license. Any surveyor desiring to work under the authority and supervision of a licensed certifier must meet the requirements of this subsection and successfully complete a written examination as set forth herein.
(1) To be approved the surveyor must possess knowledge and experience with the specific equipment subject to the license and demonstrate at least five years of related experience as set forth in subsection (a)(2) above. Such surveyors will be approved by the Division to perform certification services only under the authority and supervision of the person issued a license pursuant to this article. Approval of a surveyor pursuant to this subsection does not constitute authorization to engage in certification activities outside the authority of the license.
Note: A person may be considered approved as a surveyor by the Division if the person has been previously approved by the Division as a surveyor under another license issued pursuant to this article and the surveyor will be engaging in the certification of the same type(s) of equipment authorized under the previous license.
(c) In the case of a business entity, such as a corporation, or a business association, a license will be issued only where a designated responsible managing agent of the entity or association has been licensed pursuant to this article. In such cases the license will be valid only so long as the responsible managing agent remains with the entity or association. If the qualifying managing agent should leave the entity or association a new managing agent must meet the requirements of this article and be licensed pursuant thereto.
(d) Application Form. Any application for license and approval will be accepted by the Division upon the filing of a completed application, payment of the application fee and full compliance with all other requirements thereof. All information and attachments shall be given under penalty of perjury. In the case of an entity or agency, all submissions shall be made by a person expressly authorized in writing to act on behalf of the applicant. The application shall include, but not be limited to, the following:
(1) A statement of the types of cranes and/or derricks, including their capacities, the applicant desires to certify pursuant to the license.
(2) A statement of qualifications and experience satisfying at a minimum the criteria set forth in this section as well as any and all other qualifications the applicant wishes the Division to consider.
(3) A list of surveyors, if any, to be approved under the license, including their respective qualifications, whether any have been previously approved by the Division, and the license under which the prior approval was issued.
(4) Any other relevant information the applicant desires to be considered by the Division.
(e) Written examination.
Any qualified applicant and surveyor to be approved under a license must successfully complete a written examination administered by the Division or its authorized representative, as set forth in this section. The Division will evaluate the applicant's qualifications based on the application and the applicant's training, knowledge and experience before allowing participation in the written examination.
Note: An applicant will be considered “qualified” if the qualification and experience requirements of this article are satisfied.
The written examination will address the following, among other things:
(1) Applicable provisions of title 8 of the California Code of Regulations, including operation, testing, inspection and maintenance requirements, and the duties and recordkeeping responsibilities as set forth in this article.
(2) Safe operating and engineering principles and practices with respect to the specific types cranes or derricks subject to the license, including inspection and proof loading requirements.
NOTE

Authority cited. Sections 60.5, 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsections (a)(2), (b)(1) and NOTE and new subsection (a)(2)(A) filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.62. Issuance of License and Approvals.
Note     •     History

(a) If the applicant and the surveyor(s) the applicant is seeking to be approved under the license satisfy the requirements of this article, the Division shall issue a license and approval(s).
(b) The Division may impose restrictions on the scope and use of the license or approval(s), such as limiting it to specific types of cranes or derricks based upon the qualifications of the applicant, the desired license, and the qualifications of any surveyor approved under the license.
NOTE

Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.63. License Application--Processing Time.
Note     •     History

(a) Within 30 business days of receipt of a completed application for license the Division shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of this article.
(b) Within 30 business days of the date of the filing of a Completed application the Division shall inform the applicant if the minimum requirements of this article are satisfied and of the applicants eligibility to take the written examination.
(c) Within 60 business days from the date of completion of the written examination the Division shall inform the applicant in writing of its decision regarding the issuance of the license or approval(s).
NOTE

Authority cited: Sections 60.5, 6308 and 7375, Labor Code; and Section 15376, Government Code. Reference: Section 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.64. Duration and Renewal of License.
Note     •     History

(a) The license shall be valid for three years.
(b) Application for renewal shall be filed with the Division not less than 60 days prior to expiration. A renewal may be obtained by filing a completed application for renewal meeting the requirements of section 344.61 hereof.
(c) All applicants for renewal and approved surveyors shall successfully complete a written examination every six years.
NOTE

Authority cited: Sections 60.5. 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.65. License Application, Renewal and Examination Fees.
Note     •     History

(a) To cover the costs associated with investigating and evaluating the application for a license and administering the required written examination, a fee of $250.00 for the application, plus $190.00 for the written examination shall be paid.
(b) Where the applicant is seeking the approval of surveyors to work under the authority and supervision of the license either in the application for license or subsequent to the issuance of the license, a fee of $190.00 for each surveyor to be approved shall be paid to cover the costs associated with investigating the request for approval and administering the written examination.
(c) To cover the costs associated with investigating and evaluating an application for renewal of a license a fee of $75.00 shall be paid.
(d) To cover the costs associated with investigating and evaluating a request to transfer a person approved under an existing license to another license a fee of $50.00 shall be paid.
NOTE

Authority cited: Sections 60.5, 6308, 7375, and 7380, Labor Code. Reference: Sections 7375 and 7380, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (d) and NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.66. Denial of License.
Note     •     History

(a) The Division shall deny issuance of a license if the applicant does not satisfy the requirements of this article. In denying a license, the Division shall notify the applicant, in writing, as set forth in this article, specifying the reasons for such denial and shall send a copy thereof to the Director.
(b) Any applicant denied a license by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized representative within five working days of the appeal. The applicant has the burden of establishing qualification for a license. The hearing shall be presided over by the Director or authorized representative.
(c) The Director shall issue a decision within 10 days of the hearing. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's denial.
NOTE

Authority cited: Sections 60.5, 6308, and 7375, Labor Code. Reference: Section 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (a) and NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.67. Revocation or Suspension of License.
Note     •     History

(a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any license issued pursuant to this article.
(b) Notice shall be in writing and served at least two days in advance of the hearing. Service shall be by personal service or certified mail to the address as shown on the application form. The notice shall specify the reasons for the action taken by the Division in order that the applicant may prepare for the hearing. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the applicant will be entitled to apply for a new certification.
(c) The hearing shall be held at the Division's Headquarters offices or at such other location as may be designated by the Director and shall be presided over by the Chief of the Division or authorized representative.
(d) During the hearing, the Division shall establish good cause for the action taken. Good cause is deemed to exist if the Division establishes any of the criteria set forth in Labor Code section 7376(a) or that the licensed certifier has committed any of the following acts:
(1) Failure to meet or comply with the requirements of this article or the limitations imposed on the license;
(2) Performance of work not in compliance with applicable laws and regulations.
(e) The period of suspension or revocation for the commission of any act referenced in Labor Code section 7376(a) shall be six months for the first such suspension and one year for each subsequent suspension or revocation.
(1) The commission of any other act referenced in subsection (d) may result in suspension or revocation of up to one year.
(f) Following the period of suspension or revocation, an application for license may be filed with the Division.
(g) The certificating agency or person may appeal such suspension or revocation to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative within five work--ing days of the appeal. The certificating agency shall have the burden of establishing qualification for licensure.
(h) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearings shall be filed with the Director within 10 days from the date of the Director's decision.
(i) The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until such time as the applicant presents proof that the specified written conditions required by the Division are met or until otherwise ordered after resolution of the appeal.
NOTE

Authority cited: Sections 60.5, 6308, 7375, and 7376, Labor Code. Reference: Sections 7375 and 7376, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
Article 12. Tower Cranes--Operating Permit and Certification Requirements
§344.70. Tower Cranes--Operating Permit--Scope and Requirements.
Note     •     History

(a) The permit requirements of this article apply to two types of tower cranes referred to in these orders as:
(1) “Fixed Tower Crane”, which includes free standing and climber type tower cranes where the vertical mast or tower is attached to a fixed anchorage, foundation or undercarriage attached to rails, as defined in Labor Code section 7371(a) and (b) and section 4885 of title 8 of the California Code of Regulations, and,
(2) “Mobile Tower Crane”, which includes mobile and self erecting type tower cranes, as defined in Labor Code section 7371(a) and (c) and section 4885 of title 8 of the California Code of Regulations.
(b) Any employer operating a fixed or mobile tower crane as described in this section shall obtain a permit from the District Office of the Division pursuant to this article prior to operating the tower crane.
Note: The requirements of this article are in addition to the permit requirements of section 341 et seq. of title 8 of the California Code of Regulations applicable to the erection of the vertical mast or tower for a fixed tower crane.
(c) For the purposes of this article an operating permit is required when the fixed or mobile tower crane is ready for operation, which means the crane has been erected (in the case of a fixed tower crane) and certified for operation by a Division-licensed crane certifier.
NOTE

Authority cited: Sections 60.5, 6308, 7371, 7373 and 7375, Labor Code. Reference: Sections 7371, 7373 and 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.71. Application for and Issuance of Operating Permit.
Note     •     History

(a) Fixed and Mobile Tower Cranes--Application for Permit--Location.
(1) In the case of a fixed tower crane the application must be filed at he District Office nearest the location where the tower crane will be operated.
(2) In the case of a mobile tower crane the application may be filed at the District Office nearest the location where the mobile tower crane will be operated or nearest the principal business offices of the applicant.
(b) If the responsibility for operation of the fixed or mobile tower crane changes during the effective period of an existing permit the new employer shall apply for and obtain a separate permit from the Division as set forth in this article prior to continuing operation of the crane.
(c) Blank application forms and fee schedules may be obtained from any district Office of the Division.
(d) A permit may be issued by the Division following the filing of a completed application form and full compliance with all the requirements thereof. Application fees must be paid to the Division upon filing of the application. All inspection fees must be paid by the applicant before the permit will be issued by the Division, unless a temporary permit has been issued pursuant to section 344.72(d) of this article.
(1) In the case of a fixed tower crane the operating permit shall be valid only for the period it is located and operated at the specific site referenced in the permit.
(A) If a fixed tower crane is relocated to a new position on the same project a new operating permit is required.
(2) In the case of a mobile tower crane the permit shall be valid for one year.
(e) The information and attachments submitted with the application for an operating permit shall comply with this section and be given under penalty of perjury by a person duly authorized in writing to act on the behalf of the applicant with respect to the matters referenced in the application. The application shall contain the following:
(1) Employer/Applicant name, address, phone number, project safety contact person, employer's representative at the site including title and phone number and employer/applicant Contractor's Licence No.
(2) Designation of type of contractor and description of crane being operated.
(3) Location and phone number of crane jobsite including nearest cross street, city and county.
(4) Number of employees and anticipated starting date.
(5) Designation of existence of high voltage lines.
(6) Certification that the applicant possesses knowledge of the applicable occupational safety and health standards and manufacturer's operating instructions for the subject crane, as well as a statement of the applicants related training, education and/or experience within the last five years.
(7) Certification that the applicant will comply with all applicable standards and other lawful orders of the Division, and, that the conditions, practices, means, methods, operations or processes used or proposed to be used will be safe, and healthful and that the permit to operate will be posted at the site of operation.
(A) In addition, in the case of a fixed tower crane, the employer shall provide a written job plan which describes the intended operation of the subject crane including the specific uses of the crane and the nature and weight of anticipated loads.
(8) In the case of a fixed tower crane, certification that a Division-licensed certifier or surveyor, or safety representative for the distributor or manufacturer, will be present during erection, climbing and dismantling operations to ensure that such processes and operations are performed in accordance with manufacturer recommendations and applicable standards or orders.
(9) A statement of all previous business identities of the applicant within 10 years prior to the date of application.
(A) “Business identities” include, but shall not be limited to, fictitious business names, corporate names, and/or joint venture partnerships and any other business affiliations in the construction industry involving the use of cranes.
(10) A certification issued by a Division-licensed certifier for subject crane.
(f) The applicant issued a permit pursuant to this article shall have the fixed or mobile tower crane subject to the permit inspected by the Division twice a year. One of these required inspections must be completed prior to the issuance of a permit pursuant to this article.
Note: The initial permit inspection shall be considered as one of the two mandatory yearly inspections.
(g) The holder of a permit issued pursuant to this article shall notify the Division of the following:
(1) In the case of a fixed tower crane the date and time:
(A) The crane will commence operation;
(B) The climbing of the crane; and,
(C) The dismantling of the crane.
(2) In the case of a mobile tower crane the date, time and location of for each new site of operation. This notification is required only in instances where the mobile tower crane will be located at any given site in excess of one day. Where the crane will be operated at any site, or multiple sites, for less then one da notification is not required.
Note: The notification must be provided to the Division at least 24 hours prior to the activity which is the subject of the notification, and may be made in writing or by telephone followed by written notification. The notification shall be made to the District Office of the Division from which the permit was obtained and must include the date and time of the intended activity.
NOTE

Authority cited: Sections 60.5, 6308, 7372, 7373 and 7375, Labor Code. Reference: Sections 7371, 7372, 7373, 7382 and 7383 Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (e), new subsections (e)(1)-(5) and subsection renumbering, relettering the second subsection (e) and (f) to subsections (f) and (g) respectively and amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
3. Change without regulatory effect amending subsection (e)(8) filed 3-23-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 12).
§344.72. Tower Crane Operating Permit Application--Issuance and Processing Time.
Note     •     History

(a) Within 5 business days of receipt of an application the Division shall inform the applicant in writing of whether it is accepted for filing and if not what deficiencies exist with reference to the application.
(b) The Division shall issue a permit within 10 days of the receipt of a completed application.
(c) The Division may issue a temporary permit pending the payment of any inspection fees where such fees are not paid in advance. All inspection fees must be paid within 30 business days of the date of the invoice indicating such fees are due. If the inspection fees are not paid within thirty business days as set forth herein, the temporary permit shall immediately expire.
NOTE

Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code; and Section 15376, Government Code. Reference: Sections 7371 and 7373, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (b) and NOTE, repealer of subsection (c) and relettering filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.73. Tower Crane Operating Permit and Inspection Fee Schedule.
Note     •     History

(a) To cover the costs associated with investigating and issuing an operating permit for a fixed or mobile tower crane, the fee of $200.00 shall be paid.
Note: The permit to operate and the associated application fee is separate from, and in addition to, the permit and fee requirements of section 341 of title 8 of the California Code of Regulations for the erection of a fixed tower crane.
(b) In addition to the fees set forth in subsection (a) of this section, the hourly fee of $75.00 or fraction thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals, with a minimum of one-half hour, shall be paid to cover the costs associated with inspecting any fixed or mobile tower crane pursuant to the permit requirements of this article and Labor Code section 7373.
(1) Travel time shall include the time from the District Office of the Division processing the request for a permit to the inspection site, and from the inspection site back to the District Office. In the event the travel encompasses multiple permit inspections of different cranes operated by different employers the Division shall allocate the travel time equitably among the permit applicants.
NOTE

Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7371 and 7373, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.74. Denial of Permit.
Note     •     History

(a) The Division shall deny issuance of an operating permit  if the provisions of this article are not satisfied. Upon denying an operating permit to an applicant employer, the Division shall promptly notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director.
(b) Any employer denied a permit by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative for the convenience of the attending parties within two working days of the employer's appeal. The employer has the burden of establishing that it qualifies for a permit. The hearing shall be presided by the Director or authorized representative and shall also be open to employees or employees' representative. The employer shall notify the employees or employees' representative of such hearing a reasonable time prior to the such hearing, but in no case later than 24 hours prior to the hearing. Proof of such notification by the employer shall be made at the hearing.
(c) The Director shall issue a decision within ten business days of the hearing. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's decision.
NOTE

Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7371 and 7374, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (a) and NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
§344.75. Revocation or Suspension of Permit.
Note     •     History

(a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any permit issued pursuant to this article.
(b) Notice shall be in writing and served upon the applicant at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the project address as shown on the application form. The notice shall specify the reasons for the action taken by the Division. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the applicant will be entitled to resume operation of the tower crane.
(c) The hearing shall be held as soon as possible at the Division's headquarters offices or at such other location as may be designated by the Director and shall be presided by the Chief of the Division or authorized representative.
(d) During the hearing, the Division shall establish good cause for the action taken. Good cause is deemed to exist if the Division establishes any of the criteria set forth in Labor Code section 7374(a).
(e) The period of suspension or revocation for the commission of any act referenced in Labor Code section 7374(a) shall be six months for the first such suspension and one year for each subsequent suspension or revocation.
(1) The commission of any other act referenced in subsection (d) may result in suspension or revocation of up to one year.
(f) The crane employer may appeal such suspension or revocation to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative for the convenience of the attending parties within five working days of the appeal. The crane employer shall notify employees and employees' representatives of such hearing in a reasonable time prior to the hearing.
The crane employer shall have the burden of establishing qualification for crane operation.
(g) Following the hearing, the Director shall issue a decision within ten business days. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearings shall be filed with the Director within ten days from the date of the Director's decision.
(h) The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until such time as the applicant presents proof that the specified written conditions required by the Division are met or until otherwise ordered after resolution of the appeal.
NOTE

Authority cited: Sections 60.5, 6308, 7373, 7374 and 7375, Labor Code. Reference: Sections 7371, 7373 and 7374, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Repealer of subsections (d)(1)-(2) and amendment of NOTE filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
Article 13. Certification Requirements
§344.80. License--Duties and Recordkeeping Requirements.
Note     •     History

Every crane or derrick certifier, licensed pursuant to article 11 of these orders shall comply with the following requirements:
(a) All tests and examinations shall be performed in accordance with the requirements of title 8 of the California Code of Regulations commencing with section 4884.
(1) No certification shall be issued without first performing all necessary tests and examinations as required by applicable standards or orders, including but not limited to the examination of items 1 through 14 referenced in Plate V of section 4885 of title 8 of the California Code of Regulations.
(2) All certifications shall be issued in a form consistent with that set forth in Plate V of section 4885 of title 8 of the California Code of Regulations.
(b) All testing, examinations, inspections, heat treatments, and recordkeeping procedures shall be carried out by or under the direct supervision of the licensed certifier or surveyor.
(1) Certificates issued pursuant to the license shall be completed and personally signed by the licensed certifier or surveyor performing the test and/or examination.
(c) The District Office of the Division nearest the site of inspection shall be notified of any deficiencies affecting the safe operation of the crane found during the course of any certification inspection. This notification shall be made within five working days following the test/examination date and shall be submitted on a form equivalent to Division form No. IS-162 containing the information set forth in subsection (j) of this section.
Note: Blank IS-162 forms may be obtained from any District Office of the Division: or, see Plate 1 appended to these orders.
(d) Deficiencies for the purposes of this article include any and all conditions found during the course of the certification examination or testing which do not comply with applicable safety orders or manufacturer's specifications.
(e) Correction of all deficiencies affecting the safe operation of the crane shall be verified by the licensed certifier or surveyor prior to issuance of a certification. A signed and dated verification of correction shall be submitted to the Division location where notification was given pursuant to subsection (d) of this section and on the IS-162 form or equivalent along with the certificate issued.
(f) Complete and accurate records of all inspections, tests, and other work performed shall be maintained. At a minimum the licensed certifier shall maintain an inspection record for each crane or derrick inspected and/or tested for certification indicating all items inspected or tested during the course of the certification inspection, as well as copies of any Certifier's Notice of Crane Safety Deficiencies issued and records pertaining to the verification of corrections of any such deficiencies, and all certificates issued. All records shall be maintained for a period of at least five years and shall be made available to the Division upon request.
(g) The following records of the operating history of each crane being examined and/or tested for certification shall be reviewed, if available:
(1) Records of previous certifications and Notices of Crane Safety Deficiencies.
(2) Records of tests performed by others, and,
(3) Records of any modifications, downgrading, upgrading, accidents, and damage relating to the crane or derrick.
(h) Any inspection and/or testing, including proof load tests, being performed shall be limited to those machines authorized by the License.
(i) The Division shall be notified, within 24 hours, in writing if any approved surveyor ceases to be employed by the licensed certifier.
(j) The Notice of Crane Safety deficiencies shall contain at least the following:
(1) Name, address, license number and signature of the licensed certifier or surveyor conducting the inspection.
(2) Name, address and phone number of crane owner and location of crane.
(3) Description and rated capacity of equipment or device, including manufacturer, model No., serial No., and owners identification No., if any.
(4) Date of inspection and notification to the owner and description of deficiencies found during the course of the inspection.
(5) A statement that a certification will not be issued until all deficiencies affecting the safe operation of the crane or derrick have been corrected.
(6) Verification and dates of correction of noted deficiencies.
Note: See Plate 1 appended hereto for a sample form IS-162.
NOTE

Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Sections 7375, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsections (a)(1), (b), (g) and NOTE, repealer of subsection (c) and relettering and new subsection (d) filed 3-18-92; operative 3-18-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
3. Change without regulatory effect amending subsection (a)(1) filed 6-7-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 23).

View Graphic 
§344.81. Fixed and Mobile Tower Crane Certification.
Note     •     History

(a) Fixed tower cranes and mobile tower cranes subject to this article shall be examined, tested and certified pursuant to article 99 annually and in the case of a fixed tower crane whenever it is erected at a new site.
(b) If a fixed tower crane is relocated to a new position on the same project a new certification is required. This requirement does not apply to the climbing of the tower crane.
(c) Each annual certification of a fixed or mobile tower crane shall include examination and testing of the crane structure and its parts as required pursuant to sections 4884 et seq. of title 8 of the California Code of Regulations and manufacturer recommendations. In the case of any fixed tower crane the annual certification must include detailed non-destructive tests of the load hook, slewing ring, tower section and slewing ring bolts, as well as all structural welds in the crane's tower section, mast and the jibs shall be performed where applicable. All deficiencies shall be corrected prior to use.
Note: Written records of the tests and test procedures performed shall be maintained and made available to the Division upon request for a period of five years.
NOTE

Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7370-7383, Labor Code.
HISTORY

1. New section filed 7-15-91 as an emergency; operative 7-15-91 (Register 91, No. 44). A Certificate of Compliance must be transmitted to OAL 11-12-91 or emergency language will be repealed by operation of law on the following day.
Article 14. Limitations on Division Eligibility for Certifications, Licenses, and Registrations for Aliens
§344.85. Limitations on Division Eligibility for Certifications, Licenses, and Registrations for Aliens.
Note     •     History

(a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the applicant.
(b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, [Pub. L. No. 104-193 (PRWORA)], (8 U.S.C. section 1621), and notwithstanding any other provision of this division, an alien who is not a qualified alien, a nonimmigrant alien under the Immigration and Nationality Act (INA) (8 U.S.C. section 1101 et seq.), or an alien paroled into the United States under Section 212(d)(5) of the INA [(8 U.S.C. 1182(d)(5)], for less than one year, is not eligible for any of the following benefits, except as provided in 8 U.S.C. 1621(c)(2):
(1) A certification as an asbestos consultant or site surveillance technician pursuant to 8 CCR sections 341.15 and Business and Professions Code Section 7180,
(2) A blaster's license pursuant to 8 CCR sections 344.20 through 344.22 and Labor Code Section 7990,
(3) A license to certify cranes or derricks pursuant to 8 CCR section 344.60 through 344.67 and Labor Code Section 7375,
(4) A registration for asbestos-related work pursuant to 8 CCR sections 341.6 through 341.14 and Labor code Section 6501.5,
(5) A certification as a gas tester pursuant to 8 CCR sections 7104, 8406 and 8424 and Labor Code Section 7999.
(6) A certification as a safety representative pursuant to 8 CCR section 8406 and Labor Code Section 7999.
(c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is, under Section 431(b) and (c) of the PRWORA [8 U.S.C. section 1641(b) and (c)], any of the following:
(1) An alien lawfully admitted for permanent residence under the INA (8 U.S.C. section 1101 et seq.).
(2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. section 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. section 1157).
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA [8 U.S.C. section 1182(d)(5)] for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA [8 U.S.C. section 1253(h)], as in effect immediately before the effective date of Section 307 of division C of Public Law 104-208), or Section 241(b)(3) of such Act [8 U.S.C. Section 1251(b)(3)], (as amended by Section 305(a) of division C of Public Law 104-208). 
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. [8 U.S.C. § 1153(a)(7)] (See editorial note under 8 U.S.C. Section 1101, “Effective Date of 1980 Amendment.”)
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 [8 U.S.C. § 1522 note)].
(8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered to be acts of violence. 
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions), cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5. The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for:
1. Status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA [8 U.S.C. section 1154(a)(1)(A)(ii), (iii) or (iv)].
2. Classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA [8 U.S.C. section 1154(a)(1)(B)(ii) or (iii)]. 
3. Suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA [8 U.S.C. section 1254(a)(3)], as in effect prior to April 1, 1997 [Pub.L. 104-208, sec. 501 (effective Sept. 30, 1996, pursuant to sec. 591); Pub.L. 104-208, sec. 304 (effective April 1, 1997, pursuant to sec. 309) Pub.L. 105-33, sec. 5581 (effective pursuant to sec. 5582)] (incorrectly codified as “cancellation of removal under Section 240A of such act (8 U.S.C. Section 1229b) as in effect prior to April 1, 1997”).
4. Status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA [8 U.S.C. section 1154(a)(1)(A)] or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA [8 U.S.C. section 1154(a)(1)(B)(i)].
5. Cancellation of removal pursuant to Section 240A(b)(2) of the INA (8 U.S.C. Section 1229(b)(2)).
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for benefits to be provided in the opinion of the Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien's child to become self- sufficient following separation from the abuser.
2. The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
5. The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser.
(D) The alien meets the requirements of subsection (c)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien child's parent to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his or her job for safety reasons.
5. The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with the alien child's parent and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser.
(c) The alien child meets the requirements of Subsection (c)(8)(C).
(d) For purposes of this section, “nonimmigrant” is defined the same as in Section 101(a)(15) of the INA [8 U.S.C. section 1101(a)(15)].
(e) For purposes of establishing eligibility for benefits, as described in subsection (b)(1)-(b)(6), all of the following must be met:
(1) The applicant shall declare himself or herself to be a citizen of the United States or a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA [8 U.S.C. section 1182(d)(5)]. The applicant shall declare that status through use of the “Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits,” Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference.
(2) The applicant shall present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the applicant's declared status. 
(3) The applicant shall complete and sign a Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference.
(4) Where authorized by the INS, the documentation presented by an alien as reasonable evidence of the alien's declared immigration status must be submitted to the INS for verification through the Systematic Alien Verification for Entitlements (SAVE) system procedures as follows:
(A) Unless the primary SAVE system is unavailable for use, the primary SAVE system verification shall be used to access the biographical/immigration status computer record contained in the Alien Status Verification Index maintained by the INS. Except as provided in the next paragraph [(subparagraph (B)], this procedure shall be used to verify the status of all aliens who claim to be qualified aliens and who present an INS-issued document that contains an alien registration or alien admission number.
(B) In any of the following cases, the secondary SAVE system verification procedure shall be used to forward copies of original INS documents evidencing an alien's status as a qualified alien, as a nonimmigrant alien under the INA, or as an alien paroled into the United States under Section 212(d)(5) of the INS [8 U.S.C. section 1182(d)(5)], for less than one year:
1. The primary SAVE system is unavailable for verification.
2. A primary check of the Alien Status Verification Index instructs the Division to institute secondary verification.
3. The document presented indicates immigration status but does not include an alien registration or alien admission number.
4. The Alien Status Verification Index record includes the alien registration or admission number on the document presented by the alien but does not match other information contained in the document.
5. The document is suspected to be counterfeit or to have been altered.
6. The document includes an alien registration number in the “not yet issued” or “illegal border crossing” series, as defined by the INS.
Note: The numbers used by the INS for each series are A60 000 000 and A80 000 000 respectively, as of the date of adoption of this regulation.
7. The document is a fee receipt from INS for replacement of a lost, stolen, or unreadable INS document.
8. The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence; an Arrival-Departure Record (INS Form I-94); or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for a benefit described in subsection (b)(1)-(b)(6).
(5) Where verification through the SAVE system is not available, if the documents presented do not on their face reasonably appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the document shall be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The Division shall request verification by the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents, or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant should be referred to the local INS office to obtain documentation.
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, or a nonimmigrant or an alien paroled for less than one year under section 212(d)(5) of the INA, benefits shall be denied and the applicant notified pursuant to subsection (h) or (i) of his or her rights to appeal the denial of benefits.
(7) Provided that the alien has completed and signed form Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference, under penalty of perjury, eligibility for benefits for certification, license or registration, as found in subsection (b)(1)-(b)(6), shall not be delayed, denied, reduced or terminated while the status of the alien is verified.
(f) Pursuant to Section 432(d) of the PRWORA (8 U.S.C. section 1642(d)), a nonprofit charitable organization that provides federal, state, or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status or alienage.
(g) Pursuant to Section 434 of the PRWORA (8 U.S.C. section 1644), where the Division reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service.
(h) Denial of Application.
(1) The Division shall deny issuance of the benefit applied for if the applicant does not meet the requirements of this section. Upon denial of the benefit the Division shall promptly notify the applicant specifying the reason for the denial.
(2) Any applicant denied certification, license or registration by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the applicant within two working days of the applicant's appeal. The hearing shall be presided by the Director or his authorized designee.
(3) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within 10 days from the date of the Director's decision.
(i) Revocation or Suspension of Certification, License or Registration.
(1) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any benefit issued pursuant to this section.
(2) Notice shall be in writing and served upon the recipient of the benefit at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the recipient of the benefit to the address as shown on the application form. The notice shall specify the reasons for the action taken by the Division in order that the recipient may prepare for the hearing. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the recipient of the benefit will be entitled to reapply for the benefit of this section.
(3) The hearing shall be held as soon as possible at the Division's headquarters offices or at such other location as may be designated by the Director and shall be presided by the Chief of the Division or his authorized representative.
(4) At the hearing the Division shall establish good cause for the action taken by it. Good cause is deemed to exist if the Division establishes that the recipient of the benefit has failed to comply with the requirements of this section.
The recipient of the benefit may appeal such revocation or suspension to the Director in the same manner specified in subsection (h). The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until the benefit recipient provides proof that the requirements of this section have been met.
NOTE

Authority cited: Sections 54, 55, 59 and 60.5, Labor Code. Reference: Sections 6501.5, 7375, 7990 and 7999, Labor Code; Section 7180, Business and Professions Code; and Sections 1621, 1641 and 1642, Title 8, United States Code.
HISTORY

1. New article 14 (section 344.85) and section filed 4-30-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-30-98 order transmitted to OAL 8-18-98 and filed 9-29-98 (Register 98, No. 40).
§344.90. Impalement Protection. Specifications and Testing Criteria (See Construction Safety Orders, Title 8, CCR §1712).
Note     •     History

(a) Scope: This section governs the testing of manufactured protective covers designed to prevent accidental impalement from exposed reinforcing steel (rebar) or other similar projections.
(b) Effective Date: This section applies to all protective covers manufactured on or after October 1, 2000.
(c) All manufactured protective covers used as protection against impalement for workers at grade or the same level as the projection shall:
(1) Pass the drop test described in subsection (e) of this section, except that the drop height may be reduced to 7 1/2'.
(2) Meet all other applicable requirements of section 1712 of this Code.
(d) All manufactured protective covers used as protection against impalement for work performed at levels not to exceed 7 1/2' above grade shall:
(1) Have a minimum of 4” by 4” square surface area, or if round, a minimum diameter of 4 1/2”. Troughs shall be at least 4” wide.
(2) Pass the drop test specified in subsection (e) of this section.
(3) Meet all other applicable requirements of section 1712 of this Code.
(e) Manufactured protective covers shall be able to pass the following penetration tests, as verified by a person, firm, or entity with appropriate registered-engineering competence, or by a person, firm, or entity, independent of the manufacturer of the subject protective covers, with demonstrated competence in the field of such evaluation.
(1) Protective covers for rebar shall be tested for penetration by dropping a 250-lb. bag of dry sand (less than 10% moisture by weight) onto the subject protective cover from a height of 10'. The 10' shall be measured from the bottom of the bag to the top of the protective cover.
(A) The sandbag shall be generally round, and shall have a circumference of 36” to 42”. When filled with 250 lbs. of sand, the bag shall be tightly closed by use of crimping, drawstring, or twisting at the top level of the sand so that there is little extra room in the bag to allow the sand to shift. The bag shall be constructed and reinforced (as necessary) with material, which will not rupture or be penetrated by the protective cover for rebar.
(B)  The protective cover for rebar shall be installed over the sheared end of a piece of #4 rebar. The rebar shall be mounted on a support with 6” of the rebar projecting vertically above the surface of the support. The support shall be of such height and width that it shall not interfere with the falling sandbag, and shall allow the full initial impact of the sandbag to be borne by the protective cover.
(C) The drop test shall be repeated three times, using a new protective cover for each test. One drop test shall be performed with the protective cover sitting squarely on top of the rebar; the other two drop tests shall be performed with the protective cover sitting at the maximum angle out of square (out of level) that the protective cover will permit with its stabilizer vanes/fins removed.
(2) Protective covers for projections or equipment other than rebar, (such as lighting rods,) shall be tested in the same manner as protective covers for rebar, except that protruding equipment which is normally installed with a protective cover as a single unit may be tested as a unit, using the equipment in lieu of the rebar.
(3) Rebar troughs shall be tested for penetration by dropping a 250-lb bag of dry sand (less than 10% moisture by weight) onto the subject trough from a height of 10'. The 10' shall be measured from the bottom of the bag to the top of the protective cover.
(A) The sandbag shall be generally round, and shall have a circumference of 36” to 42”. When filled with 250 lbs. of sand, the bag shall be tightly closed by use of crimping, drawstring, or twisting at the top level of the sand so that there is little extra room in the bag to allow the sand to shift. The bag shall be constructed and reinforced (as necessary) with material, which will not rupture or be penetrated by the protective cover for rebar.
(B) The trough shall be installed over the sheared ends of three pieces of #4 rebar. The three pieces rebar shall be mounted in a straight line,  24” apart, on a support with 6” of each piece of rebar projecting vertically above the surface of the support. The trough shall be 72” in length, and shall be centered over the three pieces of rebar so that 12” of the trough extends beyond each of the outside pieces of rebar.
(C) The drop test shall be repeated four times, using a new trough for each test. The sandbag shall be dropped: (i) once with the trough level and the sandbag centered over the middle piece of rebar; (ii) once with the trough level and the sandbag centered over one of the end pieces of rebar; (iii) once with the trough tilted (at the maximum angle allowed by the design) with the sandbag centered over the middle piece of rebar; (iv) once with the trough tilted (at the maximum angle allowed by the design) with the sandbag centered over one of the end pieces of rebar.
(4) Other methods for penetration testing may be substituted for those set forth in this section where acceptable to the Division as being equally effective.
(f) Each manufacturer, or other person or entity reselling or distributing manufactured protective covers, shall furnish the ultimate user of the protective cover with instructions regarding appropriate use of the protective covers. The instructions, written in English, shall include at least the following:
(1) Instructions as to whether the protective cover is designed for use at grade or above grade.
(2) A statement indicating the maximum height of fall that the cover is designed to protect against impalement, but not to exceed 7 1/2'.
(3) Installation instructions.
(4) Instructions regarding the inspection and/or use of damaged or defective protective covers. The effects, if any, of damaged stabilizer vanes/fins shall be included in this instruction.
(5) Any other instructions deemed necessary by the manufacturer regarding the use of the protective covers.
(g) Each employer whose employees use or work around or above protective covers shall inform its employees of the content of the manufacturer's instructions. Such information shall be provided to employees in a manner that allows them to understand the appropriate use of protective covers and the hazards associated with impalement.
(h) Marking--Each protective cover shall be marked with the following information:
(1) Model Number or Trademark.
(2) California Approval Number as issued pursuant to Sections 1712 and 1505 of this Code.
(3) Size(s) designation.
NOTE

Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Sections 60.5 and 6308, Labor Code.
HISTORY

1. New section filed 6-26-2000; operative 10-1-2000 (Register 2000, No. 26).
2. Change without regulatory effect amending subsection (e) filed 10-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 42).
Chapter 3.3. Occupational Safety and Health Appeals Board

(Originally Printed 1-12-74)
Article 1. General
§345. Scope and Application of Rules.
Note     •     History

These rules of practice and procedure of the Occupational Safety and Health Appeals Board shall govern all appeals, contests, motions, hearings, petitions, and proceedings before the Appeals Board and an Administrative Law Judge of the Appeals Board, arising from actions by the Division of Occupational Safety and Health taken pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code or Section 2950 of the Health and Safety Code, or for employers' cost recovery pursuant to Section 149.5 of the Labor Code.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer of Article 1 (Sections 345-356.2) and new Article 1 (Sections 345-356.2) filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23). For prior history, see Registers 76, No. 38; 74, No. 31; 74, No. 18; and Register 74, No. 2.
2. Repealer of former Section 345 and renumbering of former Section 345.1 to Section 345 filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§346. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§347. Definitions.
Note     •     History

For the purpose of these rules:
(a) “Administrative Law Judge” means any person appointed by the Appeals Board pursuant to Labor Code Sections 6605 and 6607 as a hearing officer to conduct hearings and to decide matters within the jurisdiction of the Appeals Board;
(b) “Affected Employee” means an employee of a cited employer who is exposed to the alleged hazard described in the citation as a result of assigned duties;
(c) “Appeals Board” or “Board” means the Occupational Safety and Health Appeals Board, and includes the chairperson and members of the Appeals Board, administrative law judges, and staff of the Appeals Board;
(d) “Authorized Employee Representative” means a labor organization which has a collective bargaining relationship with the cited employer and which represents affected employees or an employee organization which has been formally acknowledged by a public agency as an employee organization that represents affected employees of the public agency;
(e) “Completed Appeal Form” means all required blanks filled in and boxes checked, with the signature of employer or employer's representative, and citation(s) appealed from attached to the appeal form.
(f) “Day”, unless specifically stated otherwise means calendar day.
(g) “Declaration” means a certification in substantially the following form:
(1) If executed within California:
I declare under penalty of perjury that the foregoing is true and correct.
Executed at _____________, California on ___________________,
    (City)             (Date)
 (Signature) ___________________________________________  
     (Typed or printed name)
(2) If executed outside California:
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
________________       (Signature) ______________________
  (Date)            (Typed or printed name)
(h) “Division” means the Division of Occupational Safety and Health;
(i) “Division Action” means any citation, notice, special order, order to take special action, notification of  penalty, notification of failure to abate alleged violation and of additional civil penalty, or notification of failure to return a signed statement of abatement issued by the Division pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code or Section 2950 of the Health and Safety Code, which by statute may be appealed to the Appeals Board;
(j) “Docketed Appeal” means any completed appeal form which has been received by the Appeals Board and assigned a specific docket number;
(k) “Employee” means every person who is required or directed by any employer, to engage in any employment, or to go to work or be at any time in any place of employment;
(l) “Employee Appeal” means any appeal filed by an employee from the period allowed by the Division to abate the alleged violation;
(m) “Employer” means the state and every state agency, each county, city, district, and all public and quasi-public corporations and public agencies therein, every person including any public service corporation, which has any natural person in service, and the legal representative of any deceased employer;
(n) “Hearing” means any hearing before the Appeals Board or an Administrative Law Judge set for the purpose of receiving evidence;
(o) “Hearing Record” means the official record of evidence taken by electronic device in any proceeding before the Appeals Board;
(p) “Intervenor” means a person, group of persons, trade association, legal foundation, or public or private interest group who has been granted leave to intervene in any proceeding;
(q) “Memorandum of Items of Costs” means an itemization of costs claimed pursuant to Section 149.5 of the Labor Code;
(r) “Obligor” means a person other than an employer who is obligated to an employer to repair any machine, device, apparatus, or equipment and to pay any penalties assessed against an employer;
(s) “Participation Notice” means a notice informing affected employees of their right to participate in certain proceedings;
(t) “Party” means a person who has made an appearance before the Appeals Board and been granted party status;
(u) “Person” means an individual, firm, partnership, trust, estate, association, corporation, company, or other entity.
(v) “Petition for Costs” means any claim for reasonable costs to be awarded by the Appeals Board pursuant to Section 149.5 of the Labor Code;
(w) “Proceeding” means any adjudicatory action begun by the filing of an appeal and includes a hearing, prehearing conference, petition for costs, reconsideration, or any other act that may result in an order or decision of the Appeals Board;
(x) “Representative” means a person authorized by a party or intervenor to represent that party or intervenor in a proceeding;
(y) “Rule” means any section set forth in this chapter adopted by the Appeals Board;
(z) “Working Days” means any day that is not a Saturday, Sunday or State-recognized holiday as provided in Government Code Sections 6700 and 6701.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 2015.5, Code of Civil Procedure; Sections 148.7, 149.5, 6301, 6302, 6304, 6304.1 and 6305(b), Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of subsections (f) and (g) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
3. Change without regulatory effect of subsections (b) and (t) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
4. New subsections (e)-(e)(1) and relettering, amendment of subsections (g), (h) and (k), new subsection (s) and relettering, and amendment of subsection (u) and  Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
5. Amendment of subsection (c), new subsections (e)-(f) and subsection relettering filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§347.1. Appendices. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§348. Computation of Time.
Note     •     History

(a) In computing the time within which a right may be exercised or an act is to be performed, the first day shall be excluded and the last day shall be included. If the last day is not a working day, time shall be extended to the next working day.
(b) Unless otherwise indicated by proof of service, if the envelope was properly addressed, the mailing date shall be presumed to be: 
(1) the postmark date appearing on the envelope if first-class postage was prepaid; or
(2) the date of delivery to a common carrier promising overnight delivery as shown on the carrier's receipt.
(c) Where service of any document, letter, application, request, motion, pleading, brief, decision, petition, answer, memorandum, response, or other writing is by mail, and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed is extended five days if the place of address is within the State of California, and 10 days if the place of address is outside the State of California but within the United States. Such extension shall not apply to extend the time for filing an appeal.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 1013(a), Code of Civil Procedure; and Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (b) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment of subsection (b), new subsection (b)(1) created from text of subsection (b), new subsection (b)(2), and amendment of subsection (c) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§349. Late Filing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6601, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Repealer of text and amendment of Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§350. Administrative Law Judge's Oath.
Note     •     History

(a) Before entering upon judicial duties, each Administrative Law Judge shall take the following oath or affirmation and sign a written copy: “I do solemnly swear (or affirm) that I will faithfully and fairly hear and determine matters and issues referred to me, to make just findings and to report according to my understanding.”
(b) The oath of affirmation taken by an Administrative Law Judge shall apply to all subsequent official actions taken in that capacity and need not be repeated for each matter or proceeding.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6607, Labor Code.
HISTORY

1. Change without regulatory effect filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§350.1. Authority of Administrative Law Judges.
Note     •     History

(a) In any proceeding assigned for hearing and decision under the provisions of Labor Code Sections 6604 and 6605, an Administrative Law Judge shall have full power, jurisdiction and authority to hold a hearing and ascertain facts for the information of the Appeals Board, to hold a prehearing conference, to hold a settlement conference, to hold a status conference, to issue a subpoena and subpoena duces tecum for the attendance of a person and the production of testimony, books, documents, or other things, to compel the attendance of a person residing anywhere in the state, to certify official acts, to regulate the course of a hearing, to grant a withdrawal, disposition or amendment, to order a continuance, to approve a stipulation voluntarily entered into by the parties, to administer oaths and affirmations, to rule on objections, privileges, defenses, and the receipt of relevant and material evidence, to call and examine a party or witness and introduce into the hearing record documentary or other evidence, to request a party at any time to state the respective position or supporting theory concerning any fact or issue in the proceeding, to extend the submittal date of any proceeding, to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, and decisions as may be necessary for the full adjudication of the matter, or take other action during the pendency of a proceeding to regulate the course of a prehearing, hearing, status conference, or settlement conference, that is deemed appropriate by the Administrative Law Judge to further the purposes of the California Occupational Safety and Health Act. Final orders, findings, and decisions issued by an Administrative Law Judge shall be the orders, findings, and decisions of the Appeals Board unless reconsideration is granted.
(b) In any proceeding which has been assigned for hearing and preparation of a proposed decision pursuant to Section 6604(b), an Administrative Law Judge shall have the same power, jurisdiction, and authority as set forth in subdivision (a) above except that a proposed decision shall be prepared in such form that it may be adopted by the Appeals Board as the decision in the matter.
NOTE

Authority cited: Sections 148.7, 149.5, 6604 and 6605, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5, 6604, 6605 and 6607, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment of subsection (a) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
4. Amendment of subsection (a) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§350.2. Authority of Executive Officer and Chief Counsel.
Note     •     History

The Executive Officer and the Chief Counsel shall have full power, jurisdiction and authority to issue a subpoena and subpoena duces tecum for the attendance of a person and the production of testimony, books, documents, or other things, to compel the attendance of a person residing anywhere in the State, to certify official acts, to grant a withdrawal, disposition or amendment, and to issue such other orders as may be necessary for the full adjudication of the matter. Final orders issued by the Executive Officer or the Chief Counsel shall be the orders of the Appeals Board unless reconsideration is granted.
NOTE

Authority cited: Sections 148.7, 149.5 and 6604, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5 and 6604, Labor Code.
HISTORY

1. New Section filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§351. Records of the Appeals Board.
Note     •     History

(a) Except where public disclosure of information or exhibits is restricted by law, records of the Appeals Board are public records and are available at its Principal Office in Sacramento, California, for inspection and copying between 8:00 a.m. and 12:00 noon and between 1:00 p.m. and 4:00 p.m. on any working day.
(b) Persons requesting copies of papers, records, or documents are encouraged to employ an independent copy service. However, the Appeals Board will copy and forward papers, records, or documents as its working conditions permit and upon payment of costs, fees, and applicable sales tax.
(c) No costs or fees will be charged for records furnished to California State Agencies.
(d) Payment of costs, fees, and sales tax must accompany the request by check or money order made payable to the Department of Industrial Relations.
(e) Unless otherwise required, compliance by the Appeals Board with a subpoena duces tecum from a court of record, administrative board or commission, hearing officer or other body conducting a legal or administrative proceeding will be pursuant to Article 4 (commencing with Section 1560) of the Evidence Code.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6314(a) and 6322, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§352. Ex Parte Communication.
Note     •     History

(a) Except as provided in subsection (b), a person shall not communicate with Appeals Board Members or Administrative Law Judges of the Appeals Board regarding a proceeding.
(b) The following communications are permitted:
(1) Written communications, if copies of them are contemporaneously served by the communicator on all parties to a proceeding in accordance with Sections 355(c) and 355(e);
(2) Oral communications, if advance notice of them is given by the communicator to all parties to a proceeding and adequate opportunity is afforded to all parties to participate in the communication;
(3) Oral or written requests for information related solely to the procedure of the Appeals Board or status of a proceeding;
(4) Oral or written communications which all the parties to a proceeding have agreed may be made on an ex parte basis;
(5) Oral or written communications proposing settlement, or an agreement for disposition of any or all issues in a proceeding; and
(6) Oral or written communications concerning a proceeding, if made more than 30 days after service by the Appeals Board of a final order or decision in that proceeding.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Repealer and new text and amendment of Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Amendment of subsection (a) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§353. Service, Notice and Posting. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6610, Labor Code.
HISTORY

1. Amendment of subsections (g) and (h) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Renumbering and amendment of former section 353 to section 355 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§354. Party Status.
Note     •     History

(a) The Division is a party to all proceedings before the Appeals Board, whether or not the Division has appeared or participated in a proceeding.
(b) An affected employee or authorized representative of an affected employee may move to participate as  a party to a proceeding by filing a motion in accordance with Section 371. 
(c) Affected employees or authorized representatives of affected employees shall not participate as parties to employers' cost recovery proceedings pursuant to Section 149.5 of the Labor Code.
(d) When an Employee Appeal is filed alleging the unreasonableness of the period allowed by the Division to abate an alleged violation, the employer charged with the responsibility of abating the violation is a party to the proceeding.
(e) An obligor may move to participate as a party to a proceeding by filing a motion in accordance with Section 371. 
(f) When an obligor appeal is filed from actions taken by the Division, the employer charged may move to participate as a party at any time prior to the beginning of a hearing. 
(g) An obligor shall not participate as a party to employers' cost recovery proceedings pursuant to Section 149.5 of the Labor Code.
(h) A person whose motion for party status has been granted by the Appeals Board becomes a party to the proceeding and is entitled to service of all documents and notices. Each party shall serve within 10 working days of the order granting party status, copies of all documents previously filed with the Appeals Board and not served on the new party. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7, 6319(b), 6600 and 6603(a), Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of subsections (b), (e), (h), and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Amendment of subsection (h) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§354.1. Intervention.
Note     •     History

(a) A person may move to participate as an intervenor in any proceeding by filing a motion in accordance with Section 371. Such participation shall be limited to the terms prescribed in the order of the Appeals Board.
(b) The motion to intervene shall set forth the interest of the moving party in the proceeding and how that interest is similar to that of a party, how the participation of the moving party will assist in the determination of the issues before the Appeals Board, and that intervention will not unnecessarily delay the proceeding.
(c) A person whose motion for intervention has been granted by the Appeals Board is entitled to service of all documents and notices to which parties are entitled and to participate in hearings and prehearing conferences to the extent consistent with the terms prescribed in the order of the Appeals Board granting intervention. An intervenor shall bear the costs of copying documents previously filed with the Appeals Board.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of subsection (a) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Amendment of subsections (b) and (c) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
Article 1.5. Service of Documents and Duty to Notify Others of Appeal and Hearing
§355. Proper Method of Service & Official Address of Record.
Note     •     History

(a) The Appeals Board shall maintain in each proceeding an official address record which shall contain the names and addresses of all parties and intervenors and their representatives. Documents sent by the Appeals Board to the official address of record for the employer that are returned or undeliverable may result in dismissal of the appeal if the Appeals Board is unable to effectively communicate with the employer.
(b) Any change or substitution in the name-and address of any party or intervenor, or its representative, must be communicated, in writing, promptly, and in no case more than 30 days after the change, to the Appeals Board's Sacramento office. The written communication must also be served on all parties and intervenors. Failure to communicate changes or substitutions promptly in writing by the employer may result in dismissal of the appeal if the Appeals Board is unable to effectively communicate with the employer.
(c) Service on a party or intervenor who has appeared through a representative shall be made upon such representative.
(d) Unless otherwise required, service may be made by personal delivery or by depositing the document in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, sealed, properly addressed, with first-class postage prepaid, by deposit with a carrier guaranteeing overnight delivery, or by facsimile (“FAX”) machine, as provided in subsections (i) and (j) below.
(e) Service is complete at the time of personal delivery or mailing.
(f) Proof of service shall be filed with the document and may be made by any of the following means:
(1) Affidavit or declaration of service by personal delivery, mail, overnight courier or FAX;
(2) Written statement endorsed upon the document served and signed by the party making the statement; or
(3) Letter of transmittal.
(g) Proof of service by the Appeals Board may be made by endorsement on the document served, setting forth the fact of service on the persons listed on the official address record on the date of service. The endorsement shall state whether such service was made personally, by mail, overnight courier or FAX, the date of service and the signature of the person making the service.
(h) Where service is made by the posting of a document, citation, notice, order or decision, proof or certification of such posting shall be filed with the issuing office of the Division not later than the second working day following the posting.
(i) The Appeals Board may serve documents on parties and parties may file documents with the Appeals Board and serve them on other parties by means of FAX under the following conditions:
(1) The length of the document to be filed and/or served shall be no more than twelve (12) pages including cover page and attachments;
(2) A cover sheet shall be attached containing the number of pages transmitted, the FAX number of the sender, the sender's telephone number, and the name of a contact person;
(3) If a document is filed by FAX, all parties shall be served in the same manner or by guaranteed overnight delivery. The FAX transmission shall include a proof of service indicating the method of service on each party.
(j) A document is considered received on the following working day if transmission begins later than 5:00 p.m. Pacific Time.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6610, Labor Code.
HISTORY

1. New article heading and renumbering and amendment of former section 353 to section 355 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of section, including renumbering and amendment of former section 355.1 to new subsections (h)-(i), and amendment of Note filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
3. Amendment of section heading and subsection (a), new subsection (b), subsection relettering and amendment of newly designated subsection (d) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§355.1. Use of Facsimile Machines. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Renumbering of former section 355.1 to new subsections 355(h)-(i) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§356. Notice to Employees of Appeal and Hearing.
Note     •     History

(a) The employer shall give notice of an appeal to its employees by posting the docketed Appeal Form, Participation Notice, and Notice of Hearing at or near the site of the alleged violation, positioned so as to be easily read by employees working in the area. If it is not practicable to post the document at or near the site of the alleged violation, the document may be posted in a conspicuous place where it will be readily observable by employees, or at a location to which employees report each day, or at a location from which employees operate to carry out their duties. The docketed Appeal Form, Participation Notice, and Notice of Hearing shall be posted immediately upon receipt from the Appeals Board and shall remain posted until the date of the hearing or receipt of an order disposing of the appeal.
(b) Service of the docketed Appeal Form, Participation Notice, and Notice of Hearing is required, in addition to posting, under the following circumstances:
(1) If affected employees are represented by an authorized employee representative, service in a manner prescribed in Section 355(c) shall be made upon the representative.
(2) If an employee sustained a serious injury or illness, or was killed, as a result of an alleged violation that is being appealed, service in the manner prescribed in Section 355(c) shall be made upon the employee or the representative of the deceased employee.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 6603(a), Labor Code.
HISTORY

1. Amendment of section heading and subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of subsections (a), (c) and (d) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
3. Renumbering and amendment of former section 356 to section 356.1 and new section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§356.1. Form of Participation Notice.
Note     •     History

(a)  The Participation Notice required by Section 356 shall be in the following form:
“Your employer, (name of employer), has been cited by the California Division of Occupational Safety and Health for violation of an Occupational Safety and Health standard. The citation and/or civil penalty has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board. Affected employees are entitled to participate in this hearing as parties under terms and conditions established by the Occupational Safety and Health Appeals Board in its rules of practice and procedure by filing a motion for party status. The motion for party status shall be sent to the Occupational Safety and Health Appeals Board, at the Appeals Board's principal office in Sacramento, California, and shall be accompanied by a proof of service and shall indicate that it was served on the Division and Employer and any other parties as provided in Section 355.
“All papers filed relative to this matter may be inspected at: (A place reasonably convenient to employees, preferably at or near work place.)”
Where appropriate, the second sentence of the above notice will be deleted and the following sentence will be substituted:
“The reasonableness of the period prescribed by the Division of Occupational Safety and Health for abatement of the violation has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board.”
(b) For a special order or an order to take special action, the first two sentences of the above notice will be deleted and the following sentences will be substituted:
“Your employer, (name of employer), has been issued an order by the California Division of Occupational Safety and Health. The order has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board.”
(c) An employer shall file with the issuing office of the Division, not later than the second working day following the service or posting, proof or certification of service or posting of the docketed Appeal and Participation Notice.
(d) This section and Section 356 do not apply to appeals from citations issued pursuant to Section 2950 of the Health and Safety Code.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7, 6602 and 6603(a), Labor Code.
HISTORY

1. Repealer of former section 356.1 and renumbering and amendment of former section 356 to section 356.1 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Change without regulatory effect amending subsection (a) filed 3-17-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 12).
3. Amendment of subsection (a) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§356.2. Responsibility of Employee to Notify Employer and Other Employees of Proceeding.
Note     •     History

(a) When an Employee Appeal is filed by an employee, a copy of the docketed Employee Appeal shall be forwarded by the Appeals Board to the employer.
(b) The employer shall post both a copy of the docketed Employee Appeal and a copy of the Participation Notice. Posting shall be in a manner as prescribed in Section 356(a). The form of the participation notice shall follow the format of section 356.1.
(c) When an Employee Appeal is filed by an employee and there are other employees who are represented by an authorized employee representative, the employee shall, upon receipt of the docketed Employee Appeal and the statement by the Division required by Section 361(e) relating to the reasonableness of the abatement period, serve a copy of the Employee Appeal, the Participation Notice, and the statement on the authorized employee representative. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
(d) An authorized employee representative who files an Employee Appeal shall serve a copy of the docketed Employee Appeal upon any other authorized employee representative whose members are affected employees.
(e) Where posting is required by this rule, such posting shall be maintained until the commencement of the hearing or until earlier disposition of the proceeding.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6603(a), Labor Code.
HISTORY

1. Amendment of subsections (b) and (c), repealer of subsection (e) and  relettering, repealer of subsection (g), and amendment of  Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§359. Filing of Appeal.
Note     •     History

(a) Except as provided in Section 361.1(b), an appeal shall be deemed filed on the date a communication indicating a desire to appeal the Division action is hand delivered, mailed to, or received by the Appeals Board in Sacramento, California, whichever is earlier. No particular format is necessary to institute the appeal. Communications to the Division of Occupational Safety & Health indicating a desire to appeal are not deemed filed with the Appeals Board and do not initiate the appeal.
(b) The time for filing any  appeal  may be extended or a late filing permitted upon a written showing of good cause that contains sufficient facts to show or establish a reasonable basis for the late filing.
(c) A request to file a late appeal shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 6601, Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of  section heading and subsections (a) and (b) and new subsection (c) filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Amendment of section heading and subsection (a) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§359.1. Appeal Form.
Note     •     History

(a) A completed appeal form shall be filed for each contested Division action.
(b) If an appeal is initiated by other than an appeal form, a completed appeal form shall be filed with the Appeals Board within 10 days of the Appeals Board's written acknowledgement by the Appeals Board of the desire to appeal. Failure to file a completed appeal form with the Appeals Board within 10 days of written acknowledgement by the Board of the intent to appeal constitutes grounds for dismissal.
(c) The Appeals Board shall furnish appeal forms upon request and shall provide them to the district offices of the Division.
(d) Upon receipt of a timely completed appeal form, the Appeals Board shall assign a docket number and deliver or mail a copy of the docketed appeal to each party.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Amendment of subsection (b) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§359.2. Issues on Appeal. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6317, 6319.5 and 6601, Labor Code.
HISTORY

1. New subsection (d) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of subsection (b) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
3. Amendment of subsections (b) and (c) filed 4-24-86; effective thirtieth day thereafter (Register 86, No. 17).
4. Renumbering and amendment of former section 359.2 to section 361.3 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§360. Stay of Abatement Period and Abatement Changes. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Renumbering and amendment of former section 360 to section 362 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§361. Employer Appeal.
Note     •     History

(a) An employer may appeal to the Appeals Board any Division citation or penalty for any ground set forth in Labor Code Section 6600.
(b) An employer may appeal to the Appeals Board a special order or order to take special action for any ground set forth in Labor Code Section 6600.5.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 6319(b) and 6600-6602, Labor Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment of subsection (a) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
3. Change without  regulatory effect of subsection (a) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
4. Renumbering of former section 361 to section 361.1, renumbering of former section 361.2 to section 361 with repealer of text, and new text filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§361.1. Employee Appeal.
Note     •     History

(a) An employee or authorized employee's representative may, within 15 working days of the issuance of a citation, special order, or order to take special action, appeal to the Appeals Board the reasonableness of  the period of time fixed by the Division for abatement.
(b) An Employee Appeal may be filed with the Division or the Appeals Board. No particular format is necessary to institute the appeal, but the notice of appeal must be in writing.
(c) If an Employee Appeal is filed with the Division, the Division shall note on the face of the document the date of receipt, include any envelope or other proof of the date of mailing,  and  promptly transmit the document to the Appeals Board.
(d)  The Division shall, no later than  10 working days from receipt of the Employee Appeal, file with the Appeals Board and serve on each party a clear and concise statement of the reasons why the abatement period prescribed by it is reasonable.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6602, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
2. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26). 
3. Renumbering of former section 361.1 to section 361.2, renumbering and amendment of former section 361 to section 361.1 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§361.2. Appeal by Persons Obligated to Employer.
Note     •     History

(a) An obligor may appeal to the Appeals Board a citation alleging a violation involving any machine, device, apparatus, or equipment to which the obligation applies, for any ground set forth in Labor Code Section 6600.
(b) An obligor may appeal to the Appeals Board a special order or order to take special action ordering changes to any machine, device, apparatus, or equipment to which the obligation applies, for any ground set forth in Labor Code Section 6600.5.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6319(b) and 6600-6602, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
2. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Renumbering of former section 361.2 to section 361, renumbering of former section 361.1 to section 361.2 with repealer of text, and new text filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§361.3. Issues on Appeal.
Note     •     History

The issues on appeal shall be limited to those set forth in the Division action that is contested by a docketed appeal, subject to the following limitations:
(a) If the Division action appealed from is a citation, the employer must specify on the appeal form which one or more of the following issues it is raising in its appeal;
(1) The existence of the violation alleged in the underlying citation;
(2) The classification of the violation;
(3) The abatement period;
(4) The reasonableness of the changes required by the Division to abate the violation; or
(5) Only the reasonableness of the proposed penalty.
If the appeal contests only the reasonableness of the proposed penalty, the issues on appeal shall be limited to the classification of the violation and the reasonableness of the proposed penalty, unless a timely motion pursuant to Section 371 is granted to amend the appeal to contest the existence of the violation, the abatement period, or the reasonableness of the changes required by the Division to abate the violation.
(b) If a citation is classified as a repeat violation pursuant to Section 334(d), the earlier citation established by failure to appeal or the entry of a final disposition by the Appeals Board shall not be in issue and shall not be a docketed appeal.
(c) If an  employer files a timely appeal from a notification of failure to abate but did not file an appeal from the underlying citation, the existence of the alleged violation shall be an issue in the same hearing if the  employer files a motion, in accordance with Section 371, demonstrating good cause for having not appealed the underlying citation. 
(d) If the Division amends a citation for the sole purpose of revoking an abatement credit, the employer may appeal the revocation within 15 working days from receipt of the amended citation. The amendment shall not give the Appeals Board jurisdiction over any other issue.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6317, 6319.5 and 6601, Labor Code.
HISTORY

1. Renumbering and amendment of former section 359.2 to section 361.3 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of first paragraph, repealer of subsection (a) and new subsections (a)(1)-(5) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§362. Stay of Abatement Period and Abatement Changes.
Note     •     History

Unless otherwise provided by statute, all abatement periods and changes required by the Division are stayed upon the filing of a docketed appeal with the Appeals Board and remain stayed until withdrawal of the appeal or a final disposition of the proceeding by the Appeals Board. 
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Renumbering and amendment of former section 360 to section 362 filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§363. Consolidation and Severance.
Note     •     History

(a) The Appeals Board may consolidate for hearing and decision any number of proceedings involving the same employer.
(b) Upon motion of a party or upon its own motion, the Appeals Board may consolidate for hearing and decision any number of proceedings involving different employers where the facts and circumstances are similar and consolidation will result in conservation of time and expense. Any party may object to consolidation in writing within 10 days of the date of service of the order of consolidation.
(c) Consolidated proceedings may be severed by the Appeals Board for good cause.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§364. Withdrawal of Appeal.
Note     •     History

(a)  An appellant may withdraw an appeal by written notification at any time before a decision is issued or by oral motion on the hearing record. The Appeals Board shall grant such withdrawal by letter, order or decision served on the parties.
(b) An appeal so dismissed shall be reinstated by the Appeals Board if the appellant files a written motion with sufficient facts to show that the withdrawal resulted from misinformation given by the Division or the Appeals Board, or from fraud or coercion. A motion for reinstatement must be filed within 60 days of service of the letter, order or decision or, in the event of fraud which could not have been suspected or discovered with the exercise of reasonable diligence, within 60 days of discovery of such fraud. The motion shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§364.1. Withdrawal of Division Action.
Note     •     History

(a) The Division may withdraw its action by written motion at any time or by oral motion on the hearing record.
(b) If the motion is made prior to the hearing, the Division shall serve a copy of the motion to withdraw on each party and on any authorized employee representative if known to the Division to represent affected employees. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
(c) Upon a showing of good cause, the Appeals Board shall grant such withdrawal by order or decision served on the parties.
(d) The employer shall post for 15 working days a copy of the order or decision granting the withdrawal. Posting shall be in a manner as prescribed in Section 356(a).
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6614, Labor Code.
HISTORY

1. Amendment of  section heading filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
2. Amendment of section heading, subsections (b) and (d), and repealer of subsections (e) and (f) filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§364.2. Disposition of Appeal.
Note     •     History

(a) Upon a showing of good cause, the Appeals Board may dispose of the issues on appeal by granting a written motion of the parties made at any time or an oral motion of the parties made on the hearing record or in the prehearing conference.
(b) The Division shall serve a copy of the disposition on any authorized employee representative if known to the Division to represent affected employees. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
(c) The Appeals Board shall grant such disposition by order or decision served on the parties.
(d) The employer shall post for 15 working days a copy of the order or decision and a copy of the disposition. Posting shall be in a manner as prescribed in Section 356(a).
(e) An appeal hearing will be taken off calendar if a disposition is received by the Appeals Board's Sacramento office before 10:00 a.m. on the working day preceding the first day of the hearing. If the terms of the disposition are given orally, confirmation by both the employer and the Division is required. The Appeals Board may allow up to 30 days for submission in writing of such oral dispositions.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6614, Labor Code.
HISTORY

1. Amendment of subsections (b) and (d), repealer and new subsections (e), and repealer of subsection (f) filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of subsection (a) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§368. Amendment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 11507 and 11516, Government Code; and Sections 148.7, 6317, 6319 and 6603(a), Labor Code.
HISTORY

1. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Repealer filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§370. Application of Article.
Note     •     History

This article applies to all proceedings before the Appeals Board brought pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code, Section 2950 of the Health and Safety Code and a petition for costs pursuant to Article 6 but not a proceeding under reconsideration pursuant to Article 5.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer of Article 3 (Sections 372-372.5) and new Article 3 (Sections 370-374.1) filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23). For prior history, see Registers 77, No. 19; 77, No. 2; 76, No. 38; 76, No. 18; and 76, No. 11.
Article 3. Prehearing Procedure Discovery, and Motions
§371. Prehearing Motions.
Note     •     History

(a) Any motion or request for action, any opposition thereto, and any reply  relating to any proceeding shall be in writing and directed to the Appeals Board. The caption of each motion or request shall contain the title and docket or petition number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefor.
(b) Any motion or request, any opposition thereto, and any reply shall be signed by the party filing or by the party's representative, and a copy shall be served on all parties. Service shall be in a manner as prescribed in Section 355(d) and proof of such service meeting the requirements of Section 355(f) shall be filed with the Appeals Board.
(c) Unless otherwise ordered, the following dates shall apply to prehearing motions or requests:
(1) A motion or request shall be served and filed no later than 20 days before the hearing date.
(2) Any opposition to the motion shall be served and filed no later than 10 days from service of the motion or request. 
(3) Any reply papers shall be served and filed no later than 5 days before the hearing date.
(d)  A request to file a motion, opposition, or reply later than the times specified in (c) shall be granted if accompanied by a declaration showing good cause for the late filing.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (b) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment of article heading and subsections (a)-(c), new subsections (c)(1)-(d) and amendment of Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
4. Amendment of subsection (b) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§371.1. Motions Concerning Hearing Dates.
Note     •     History

(a) Continuances are disfavored.
(b) A motion for a continuance shall be in writing and made promptly once the reason necessitating the continuance is ascertained. The motion shall be directed to the Appeals Board. Service shall be in a manner as prescribed in Section 355(d) and proof of such service meeting the requirements of Section 355(f) shall be filed with the Appeals Board. In the case of an emergency where the time for the hearing does not permit service as set forth above, service may be made upon a party by fax, email, or personal service. Motions to the Board, however, may not be made by email. The motion shall contain:
(1) The date(s) presently assigned for hearing and the date(s) to which continuance is sought;
(2) A declaration signed under penalty of perjury containing facts in support of the motion; and
(3) An indication of whether the other parties to the appeal were contacted, and if so, their position on the motion. Absent exigent circumstances, the Appeals Board will not rule on the motion without notification of the other party's position or until the time to oppose the motion as provided in (c) has run, whichever comes first. 
(c) Any opposition to a motion for continuance shall be filed with the Appeals Board immediately but no later than ten (10) days from service of the motion. Service shall be in a manner as prescribed in Section 355(d) and proof of such service meeting the requirements of Section 355(f) shall be filed with the Appeals Board.
(d) The motion shall be ruled on promptly and not delayed once the Board has received all information needed to rule on the motion.
(e) Each request for a continuance shall be considered on its own merits. The motion shall be granted on an affirmative showing of good cause. The following circumstances shall be considered when determining whether good cause exists for the granting of the continuance: 
(1) The unavailability of an essential witness, party, counsel or representative because an emergency arises, including, but not limited to, death or incapacitating illness. 
(2) The addition of a new party who has not had notice of the hearing date and an adequate opportunity to prepare for the hearing. 
(3) The age of the case and whether there were any previous continuances. 
(4) The ability of the parties to agree on at least three (3) alternative hearing dates in the immediate future and the Appeals Board's ability to calendar the case on one of the dates. 
(5) The prejudice that parties or witnesses will suffer as a result of the continuance being granted or denied.
(6) Whether the party's counsel is calendared in another hearing which conflicts with the Appeals Board's scheduled hearing, including administrative, civil or criminal matters, the specific attempts made by counsel to continue the other matter, and the results of such attempts. 
(7) Whether an alternative short of continuing the entire hearing, such as leaving the record open to allow testimony of an unavailable witness or witnesses at a later time, would accommodate the needs of the moving party while allowing the matter to proceed in the meantime. 
(8) Whether the employer has abated the alleged unsafe condition or conditions.
(9) The status of any related criminal investigations or proceedings.
(10) Whether the conflict necessitating the continuance was either foreseeable or created by the party(ies) or the party(ies) representative(s). 
(11) Any other fact or circumstance relevant to the fair determination of the motion. 
(f) The following circumstances shall not constitute good cause:
(1) Failure to obtain representation, unless a substitution is required through no fault of the party.
(2) Failure of another party to comply with a request for discovery, unless the Appeals Board orders a continuance of the hearing after a motion to compel discovery has been filed pursuant to Section 372.6. A continuance of the hearing may be ordered only if:
(A) a motion to compel discovery was filed at a time which would not have foreseeably delayed the hearing, or good cause for such later filing is shown, and
(B) the matters sought to be discovered are of sufficient importance to warrant a continuance of the hearing.
Note: At-hearing sanctions for discovery abuses are specified in Section 372.7 of these regulations.
(g) Once a motion for continuance has been ruled on by the Appeals Board, a motion for continuance based on the same grounds shall not be entertained at the hearing. If the motion was denied without prejudice a party may renew the motion and submit additional information supporting the request including, but not limited to, changed circumstances or new information not formerly available. 
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of subsection (e)(2) and new subsections (e)(2)(A)-(B) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
3. Amendment filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§371.2. Amendments Prior to Hearing.
Note     •     History

(a) Once the parties are notified that an appeal is docketed by the Appeals Board, any proposed amendment of the citation or appeal shall be made in accordance with the procedures set forth in Section 371. Where the parties are notified by mail, the notification date is deemed to be five days after the date on the notification letter. An amendment by the Division that alleges a new violation may be permitted by the Appeals Board, but not after six months have elapsed since occurrence of the alleged violation.
(b) Each party shall be given notice as provided in Section 371 of the intended amendment and an opportunity to prepare a response to an amendment which presents a new charge or defense. Any new charges or defenses shall be deemed controverted.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 11507, Government Code; Sections 6317 and 6603(a), Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of section heading and subsection (b) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
3. Amendment of subsection (a) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§372. Identity of Witnesses.
Note     •     History

After initiation of a proceeding, a party, upon written request made to another party, is entitled to obtain prior to the hearing the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing. Nothing in this section requires the disclosure of the identity of a person who submitted a complaint regarding the unsafeness of an employment or place of employment unless that person requests otherwise. A request under this section for a list of witnesses to be called may be satisfied only by the service of a list of witnesses.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11507.6, Government Code; and Sections 148.7, 149.5, 6309 and 6603(a), Labor Code.
HISTORY

1. Amendment filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§372.1. Access to Documents.
Note     •     History

After initiation of a proceeding and prior to the hearing, a party, upon written request made to another party, is entitled to inspect and make a copy of any of the following in the possession or custody or under the control of the other party:
(a) Any statements of parties or witnesses relating to the subject matter of the proceeding;
(b) All writings or things which the party then proposes to offer in evidence;
(c) Any other writing or thing which is relevant and which would be admissible in evidence;
(d) Inspection and investigative reports made by or on behalf of the Division or other party pertaining to the subject matter of the proceeding, to the extent that such reports
(1) Contain the names and addresses of witnesses or of persons having personal knowledge of the acts, omissions or events which are the basis of the proceeding, or
(2) Reflect matters perceived by the Division in the course of its inspection, investigation or survey, or
(3) Contain or include by attachment any statement or writing described in (a) to (c), inclusive, or summary thereof.
(e) For the purpose of this section, “statements” include written statements by the person, signed or otherwise authenticated, stenographic, mechanical, electrical or other recordings or transcripts thereof, of oral statements by the person, and written reports or summaries of such oral statements.
(f) Nothing in this Section requires the disclosure of the identity of a person who submitted a complaint regarding an unsafe condition in  an employment or place of employment unless that person requests otherwise. Nothing in this section authorizes the inspection or copying of any writing or thing which is privileged from disclosure by law or otherwise made confidential or protected as attorney's work product.
(g) Parties shall arrange a mutually convenient time for inspecting and copying the writings or things within 30 days of service of the written request. Unless other arrangements are made, the party requesting the writings must pay for the copying.
(h) Within 30 days of service of the written request, a party claiming that certain writings or things are privileged against disclosure shall serve on the requesting party a written statement setting forth what matters are claimed to be privileged and the reasons therefor.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Section 11507.6, Government Code; and Sections 148.7, 149.5, 6309, 6322 and 6603(a), Labor Code.
HISTORY

1. Change without regulatory effect of subsection (e) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of introductory paragraph, subsections (f)-(h) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§372.2. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Before the hearing has commenced, the Appeals Board shall issue a subpoena and subpoena duces tecum at the request of a party for attendance of a person at a hearing and for production of a document or thing at the hearing or prehearing conference or at any reasonable time and place. After the hearing has commenced, the Appeals Board may, upon a showing of good cause by the requesting party, issue a subpoena or subpoena duces tecum.
(b) Application for a subpoena duces tecum requires:
(1) Compliance with the provisions of Section 1985 to 1985.4, inclusive, of the Code of Civil Procedure as a condition precedent to the issuance of a subpoena duces tecum; and that
(2) The application for a subpoena duces tecum shall be in the form of an affidavit or declaration under penalty of perjury and shall show good cause for the production of the document or thing requested, specifying the exact document or thing desired to be produced, setting forth in full detail the materiality thereof to the issues involved in the proceeding, and stating that the witness has the desired document or thing in the possession or  control of the witness. The application shall also state that if the personal attendance of the witness or other qualified custodian of the records is not required, compliance pursuant to Article 4 (commencing with Section 1560) of the Evidence Code will be permitted.
(c) Any subpoena or subpoena duces tecum issued pursuant to subdivision (a) extends to all parts of the State. The provisions of Sections 1987 and 1988 of the Code of Civil Procedure are applicable to the service of a subpoena or a subpoena duces tecum. Service must be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance. Service of a subpoena or subpoena duces tecum is made by delivering a copy to the witness together with a copy of the affidavit or declaration upon which the subpoena duces tecum is based, giving or offering at the same time, if demanded, the fees to which the witness is entitled for travel to and from the place designated. See Section 382 for amount of witness fees and mileage. Service shall be made by personal delivery or by certified mail return receipt requested or by messenger.
(1) Service by personal delivery may be made by any person.
(2) Service by messenger shall be effected when the witness acknowledges receipt of the subpoena to the sender, by telephone, by mail, or in person, and identifies himself or herself either by reference to date of birth and driver's license number or Department of Motor Vehicles identification number, or the sender may verify receipt of the subpoena by obtaining other identifying information from the recipient. The sender shall make a written notation of the acknowledgment. A subpoena issued and acknowledged pursuant to this section has the same force and effect as a subpoena personally served. Failure to comply with a subpoena issued and acknowledged pursuant to this section may be punished as a contempt and the subpoena may so state.
(d) All witnesses appearing pursuant to subpoena, other than the parties or officers or employees of the State or any political subdivision thereof, shall receive fees, and all witnesses appearing pursuant to subpoena, except the parties, shall receive mileage in the same amount and under the same circumstances as prescribed by law for witnesses in civil actions in a superior court. Fees and mileage shall be paid by the party at whose request the witness is subpoenaed. See Section 382 for amount of witness fees and mileage. All reasonable costs, as defined at Section 1563(b)(1) of the Evidence Code, incurred by a witness not a party, with respect to the production of a business record pursuant to a subpoena duces tecum, shall be paid to the witness before being required to deliver the document.
(e) No witness shall be obligated to attend unless the witness is a resident of the state at the time of service.
(f) Upon timely motion of a party or witness, or upon its own motion, after notice to the parties and an opportunity to be heard, upon a showing of good cause, the Appeals Board may order the quashing of a subpoena or subpoena duces tecum entirely, may modify it, or may direct compliance with it upon other terms or conditions. In addition, the Appeals Board may make any other order as may be appropriate to protect a party or witness from unreasonable or oppressive demands.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 1985, 1987 and 1988, Code of Civil Procedure; Section 1563, Evidence Code; Sections 11181, 11184, 11450.10, 11450.20, 11450.30, 11450.40, 11450.50, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6603(a), Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Amendment filed 4-24-86; effective thirtieth day thereafter (Register 86, No. 17).
3. Amendment of subsections (a), (a)(2), (b), and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
4. Amendment of section and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
5. Permanent adoption of amended section and Note filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
§372.3. Deposition.
Note     •     History

(a) The Appeals Board or a party to the proceeding may cause the deposition of a person to be taken. At the request of a party, the Appeals Board may issue a subpoena re deposition and subpoena duces tecum re deposition to compel the person to appear for deposition, and to produce books, documents, or other things. Compliance with the provisions of Section 1985 of the Code of Civil Procedure shall be a condition precedent to the issuance of a subpoena duces tecum re deposition.
(b) When a person resides outside the state, the Appeals Board, if requested by a party to the proceeding, shall attempt, when possible, to have a like agency in the other state take the deposition.
(c) A person who is subpoenaed and required to give a deposition is entitled to receive the same witness fees and mileage as if the subpoena required the person to attend and testify at the hearing. See Section 382 for amount of witness fees and mileage.
(d) No person is obligated to attend at a place out of the county of residence unless the distance is less than 75 miles from the place of residence except that the Appeals Board, upon affidavit or declaration of a party showing good cause, may endorse on the subpoena re deposition an order requiring the attendance of such person.
(e) Depositions shall be noticed, taken, filed, and used in the manner prescribed by Article 3 (commencing with Section 2016) of Chapter 3 of Title 3 of Part 4 of the Code of Civil Procedure.
(f) Upon timely motion of a party or the person to be examined or notified to produce books, documents, or other things, or upon its own motion, after notice to the parties and an opportunity to be heard, upon a showing of good cause, the Appeals Board may order that the deposition not be taken, or that it may be taken only at some designated time or place other than stated in the notice of taking deposition or subpoena, or that the deposition may be taken outside the county of residence of the person to be examined and at a place more than 150 miles from the place of residence, or that certain matters shall not be inquired into, or that the scope of the examination shall be limited to certain matters, books, documents, or other things, or that the confidentiality of evidence described at Section 376.6(a) be appropriately protected. In addition, the Appeals Board may make any other order as may be appropriate to protect a party or person from unreasonable or oppressive demands.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 1985, 1987.5 and 2016-2036, Code of Civil Procedure; Sections 11181, 11184, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6613, Labor Code.
HISTORY

1. Change without regulatory effect of subsections (c) and (d) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of subsection (c) and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
3. Permanent adoption of amended subsection (c) and Note filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
§372.4. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 10 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subdivision (b). Unless an opposing party, within 7 days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant, the opposing party's right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefor is made as herein provided, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence.
(b) The notice referred to in subdivision (a) shall be substantially in the following form:
“The accompanying affidavit or declaration of (here insert name of affiant or declarant) will be introduced as evidence at the hearing in (here insert title and docket number or petition number of proceeding). (Here insert name) will not be called to testify orally and you will not be entitled to question the affiant or declarant unless you notify (name of the proponent, representative, agent or attorney) at (here insert address) that you wish to cross-examine the affiant or declarant. To be effective, your request must be mailed or delivered to (here insert name of proponent, representative, agent or attorney) on or before (here insert a date 7 days after the date of mailing or delivering the affidavit to the opposing party).”
(c) Nothing in this section shall be construed to limit or restrict the use of affidavits pursuant to Labor Code Section 6611.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11514, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code.
HISTORY

1. Amendment of section heading filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsections (a) and (b) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§372.5. Judicial Enforcement.
Note     •     History

(a) If any witness refuses to attend or testify or produce any papers required by a subpoena issued by the Appeals Board, a party may file with the Appeals Board a petition for judicial enforcement. The petition shall be verified and shall set forth that due notice of the time and place of attendance of the person or the production of the papers has been given, that the person has been subpoenaed in the manner prescribed by law and these rules, and that the person has failed and refused to attend or produce the papers required by the subpoena in the cause or proceeding named in the subpoena, or has refused to answer the questions propounded in the course of the hearing or deposition.
(b) If the Appeals Board determines that judicial enforcement is appropriate, it will petition the superior court in the county in which the hearing is pending for an order compelling the person to attend and testify or produce the papers pursuant to Government Code Sections 11186 through 11188, inclusive.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 11186-11188, 11455.10 and 11455.20, Government Code; and Sections 148.7, 148.8, 149.5 and 6603, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (a) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of subsection (a) and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
3. Permanent adoption of amended subsection (a) and Note filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
§372.6. Proceeding to Compel Discovery.
Note     •     History

(a) A party claiming that its request for discovery pursuant to Sections 372 and 372.1 has not been complied with may serve and file with the Administrative Law Judge or the Appeals Board, if the Appeals Board is hearing the case, a motion to compel discovery naming as respondent the party refusing to comply. The motion shall comply with Section 11507.7 of the Government Code and shall state:
(1) Facts showing that respondent refused or failed to comply with Section 372 or Section 372.1;
(2) A description of the matters sought to be discovered;
(3) The reason or reasons why such matter is discoverable under these rules; and
(4) A reasonable and good faith attempt to contact the respondent for an informal resolution of the issue has been made; and
(5) The ground or grounds of respondent's refusal so far as known.
(b) The motion to compel discovery shall be served upon respondent and filed within 15 days after respondent first evidenced a refusal or failure to comply with Sections 372 and 372.1, or within 30 days after the discovery request was made and respondent has failed to reply to the request, or within another time stipulated by the parties with the approval of the Administrative Law Judge or the Appeals Board, whichever period is longer. The motion shall comply with Section 371(a) and (b).
(c) The hearing on the motion to compel discovery shall be held within 15 days after the motion is made, or a later time that the Administrative Law Judge or the Appeals Board may, on its own motion for good cause determine. Respondent shall have the right to serve and file a written answer or other response to the motion before or at the time of hearing. The answer must comply with Section 371(a) and (b). The hearing may be conducted by telephone or other electronic means as provided in Government Code Section 11140.30. The parties may stipulate, with the approval of the Administrative Law Judge or the Appeals Board, to waive a hearing on the motion to compel discovery, provided that the stipulation provides a date by which respondent shall file its response and requires that the order on the motion shall issue within 30 days of the date the motion was filed.
(d) Where the matter sought to be discovered is under the custody or control of respondent and respondent asserts that the matter is not a discoverable matter under the provisions of Section 372.1(a) through (d), or is privileged against disclosure under (f), the Administrative Law Judge or the Appeals Board may order that the matter be lodged with it and examined in accordance with the provisions of Subdivision (b) of Section 915 of the Evidence Code. The Administrative Law Judge or the Appeals Board shall decide the motion based upon the matters examined in camera, the papers filed by the parties, and such oral argument and additional evidence as the Administrative Law Judge or the Appeals Board may allow.
(e) Unless otherwise stipulated by the parties with the approval of the Administrative Law Judge or the Appeals Board, the Administrative Law Judge or the Appeals Board shall, no later than 15 days after the hearing, issue a written order denying or granting the motion. The Administrative Law Judge or the Appeals Board shall promptly serve a copy of the order to each party or representative. Where the order grants the motion, in whole or in part, the order shall set forth the matters the moving party is entitled to discover under Sections 372 and 372.1. The order shall not become effective until 10 days after the date the order is served. Where the order denies the motion in its entirety, the order shall be effective on the date it is served.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11507.7, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (a) and (b) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
4. Permanent adoption of amended section, including new subsection (a)(4), subsection renumbering, and additional amendment of subsections (c) and (d), filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
5. Amendment of subsections (a) and (b)-(e) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§372.7. Discovery Abuses.
Note     •     History

(a)  The Administrative Law Judge or the Appeals Board may impose sanctions on a party who fails to respond to an authorized request for discovery or makes an evasive or incomplete response to discovery where such action results in surprise to the requesting party at the hearing.
(b) Such sanctions may include:
(1) An order prohibiting the introduction of designated matters into evidence by the abusing party; and/or
(2) An order establishing designated facts, claims, or defenses against the abusing party in accordance with the claim of a party adversely affected.
(3)  Any other order as the Administrative Law Judge or the Appeals Board may deem appropriate under the circumstances.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of subsections (a) and (b)(3) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§373. Expedited Proceeding.
Note     •     History

Upon motion of a party or upon its own motion, the Appeals Board may order an expedited proceeding. All parties shall be notified and shall be expected to do all things necessary to complete the proceeding in the minimum time consistent with fairness. Time limits for filing a motion to compel discovery, and for responsive filings under Section 372.6 may be shortened as necessary to accommodate the expedited date for disposition of the case.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§374. Prehearing Conference.
Note     •     History

(a) At any time before a hearing, upon motion of a party or upon its own motion, the Appeals Board may notice and order a prehearing conference for the purposes of simplifying the issues, expediting a hearing and affording parties an opportunity to participate in the disposition of the appeal. The prehearing conference may be conducted by means of a telephone conference call.
(b) Each party to a prehearing conference shall be prepared to discuss the issues, stipulate to any factual or legal issue about which there is no dispute, stipulate to the identification and admissibility of documentary evidence, comply with any request for discovery, report on discovery status where the ALJ has compelled discovery prior to the prehearing, and to do such other things as may aid in the disposition of the proceeding.
(c) The failure of a party or its representative to prepare for and participate in the prehearing conference shall be grounds for the imposition of such sanctions, inferences or other orders, then or during the hearing, as the Appeals Board may deem appropriate. These sanctions may include striking or excluding evidence offered by the non-complying party on that dispute, or precluding that party from contesting the position or information on that issue provided by the complying party.
NOTE

Authority cited: Section 148.7, Labor  Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of subsection (b) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§374.1. Prehearing Statement.
Note

At any time before a hearing, a party may file with the Appeals Board a statement of position or trial brief with respect to any issue to be decided.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
§374.2. Status Conference.
Note     •     History

(a) At any time before hearing, upon motion of a party or upon its own motion, the Appeals Board may notice and order a status conference to discuss the issues to be presented, the witnesses to be called, the status of discovery requests, pending and contemplated motions, and any other matters that may aid in expediting the hearing or otherwise disposing of the case. The status conference may be conducted by means of a telephone conference call. 
(b) The failure of a party or its representative to appear and participate in the status conference may be grounds for the imposition of such sanctions, inferences or other orders, then or during the hearing, as the Appeals Board may deem appropriate. These sanctions may include striking or excluding evidence offered by the non-complying party on that dispute, or precluding that party from contesting the position or information on that issue provided by the complying party. 
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. 
HISTORY

1. New section filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§374.3. Settlement Conference.
Note     •     History

The Appeals Board on its own motion, or upon written request of a party, may schedule a settlement conference to be held before an administrative law judge who shall not hear the appeal, unless otherwise stipulated by the parties. Each party shall attend or be represented by a person authorized to negotiate regarding settlement. The settlement conference may be conducted by means of a telephone conference call.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. 
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
Article 4. Hearing
§375. Application of Article.
Note     •     History

This article applies to all hearings before the Appeals Board, including a further hearing during reconsideration pursuant to Article 5 and a hearing on petition for costs pursuant to Article 6.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer of Article 4 (Sections 375-385) and new Article 4 (Sections 375-385) filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23).
§375.1. Assignment to Administrative Law Judge.
Note     •     History

(a) The Appeals Board may assign to an Administrative Law Judge for hearing and order or decision, or for hearing and proposed order or decision, or for hearing before the Appeals Board itself, any proceeding, any further hearing during reconsideration pursuant to Article 5, and hearing on petition for costs pursuant to Article 6.
(b) The Appeals Board may assign to an Administrative Law Judge any other proceeding that requires a hearing and order or decision.
(c) The Appeals Board may transfer to another Administrative Law Judge any proceeding if no oral testimony has been received. In the event proceedings have commenced and the assigned Administrative Law Judge is unable to complete the proceeding because of death, extended absence or disqualification, the Appeals Board may reassign such proceedings to another Administrative Law Judge who shall conduct a hearing de novo. The hearing de novo may be waived if all parties stipulate that the newly assigned Administrative Law Judge may review the hearing record and all of the evidence received, and that the hearing may proceed as if he had presided from the beginning.
(d) The Appeals Board may assign a further hearing or supplemental proceedings to the Administrative Law Judge who heard the original proceeding.
NOTE

Authority cited: Sections 148.7, 149.5, 6604 and 6605, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5, 6604, 6605 and 6607, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§375.2. Objections to Particular Administrative Law Judge.
Note     •     History

(a) The name of the particular Administrative Law Judge assigned by the Appeals Board to a proceeding is available upon request at the time the proceeding is noticed for hearing.
(b) A party wishing to object to the assignment of any proceeding to a particular Administrative Law Judge upon any one or more of the grounds specified in Government Code Section 11425.40 shall, at least 5 working days prior to the scheduled hearing, file with the Appeals Board or Administrative Law Judge a motion to disqualify the assigned Administrative Law Judge together with supporting affidavit or declaration. The hearing shall not begin until the Appeals Board has ruled on the motion.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 641, Code of Civil Procedure; and Sections 148.7, 149.5, and 6606, Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 89, No. 5).
2. Amendment of subsection (b) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§376. Time and Place of Hearing.
Note     •     History

(a) Appeals shall be heard promptly. 
(b) Appeals relating to a special order, order to take special action, the reasonableness of the abatement period and an expedited proceeding shall be given priority over other proceedings.
(c) When the Appeals Board is notified that a case is being reviewed by the Bureau of Investigations or any prosecuting authority, the Appeals Board shall delay the hearing until notified that review is concluded or for a period not exceeding three years, whichever occurs earlier. If the Appeals Board is notified that criminal charges have been filed, the Appeals Board shall subsequently extend the delay until completion of the criminal case, which shall be deemed to occur on the date of a verdict of not guilty, a dismissal of the case by a court, or the date of sentencing after a verdict or plea of guilty or no contest. The Appeals Board may also delay the case beyond three years from the date of the incident on the written request of a party or prosecuting authority if necessary to allow the Bureau of Investigations or any prosecuting authority to conclude its review or criminal prosecution of the case.
(d) The Appeals Board shall set the place of  the hearing at a location as near as practicable to the place of employment where the violation is alleged to have occurred. When making this determination, the Appeals Board's evaluation will include the location of Appeals Board hearing venues, the availability of Administrative Law Judges, the location of the parties and the witnesses. 
(e) When setting hearings, the Appeals Board will consider the following: 
(1) The type and complexity of the case. 
(2) Whether multiple hearings can be set on the same day without necessitating a continuance. 
(3) The parties' projection of the length of time needed for the hearing. 
(4) The Administrative Law Judge's projection of the length of time needed for the hearing. 
(5) Any other fact deemed relevant by the Administrative Law Judge or Presiding Administrative Law Judge. 
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6308(c), Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-14-85; effective thirtieth day thereafter (Register 85, No. 33).
2. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
3. Repealer and new subsection (c) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
4. Amendment of subsections (c) and (d) and new subsections (e)-(e)(5) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§376.1. Conduct of Hearing.
Note     •     History

(a) Testimony shall be taken only on oath, affirmation, or penalty of perjury.
(b) Each party shall have these rights: To call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations; to impeach any witness regardless of which party first called the witness to testify; and to rebut any opposing evidence. If a party does not testify on his or her behalf, the party may be called and examined as if under cross-examination.
(c) The Appeals Board may call and examine a party or witness and may, on its own motion, admit any relevant and material evidence.
(d) The taking of evidence in a hearing shall be controlled by the Appeals Board in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the Appeals Board shall define the issues and explain the order in which evidence will be received.
(e) Once a hearing has commenced and until a decision is issued, all motions or questions regarding the proceeding shall be referred to the assigned administrative law judge. If written, the motion shall be served in a manner as prescribed in Section 355(c) and proof of service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. An opposing party may respond in the manner and within such time as the administrative law judge may direct.
(f) Continuance requests shall be entertained at the hearing only in cases of: (1) unforeseen emergencies, including, but not limited to, death or illness of a party, witness, or representative, or (2) non-appearance of a subpoenaed  witness whose testimony is material to the outcome of the proceeding. 
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Section 11513, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code.
HISTORY

1. Change without regulatory effect of subsection (b) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of subsections (b) and (e), new subsection (f), and amendment of Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§376.2. Evidence Rules.
Note     •     History

The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but over timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. An objection to hearsay evidence is timely if made before submission of the case or raised in a petition for reconsideration. The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing and irrelevant evidence shall be excluded. The Appeals Board may exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11513, Government Code; and Sections 148.7, 149.5, 6603(a) and 6612, Labor Code.
HISTORY

1. Amendment filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
2. Permanent adoption of amended section and Note filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
§376.3. Official Notice.
Note

(a) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the field of occupational safety and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, the Appeals Board or the Standards Board.
(b) The Appeals Board shall take official notice of those matters set forth in Section 451 of the Evidence Code, including but not limited to:
(1) The decisional, constitutional, and public statutory law of this State and of the United States and the provisions of any county or city charter;
(2) The contents of each occupational safety and health standard and order or notice of the repeal of such standard and order;
(3) The true signification of all English words and phrases and of all legal expressions;
(4) Facts and propositions of generalized knowledge that are so universally known that they cannot reasonably be the subject of dispute.
(c) The Appeals Board may take official notice of those matters set forth in Section 452 of the Evidence Code, including but not limited to:
(1) Regulations and legislative enactments issued by or under the authority of the United States or any public entity in the United States;
(2) Official acts of the legislative, executive, and judicial departments of the United States and of any state of the United States;
(3) Records of any court of this state or any court of record of the United States or of any state of the United States;
(4) Facts and propositions that are of such common knowledge within California that they cannot reasonably be the subject of dispute;
(5) Facts and propositions that are not reasonably subject to dispute and are capable of immediate and accurate determination by resort to sources of reasonably indisputable accuracy.
(d) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to 
(1) the propriety of taking official notice, and 
(2) the tenor of the matter to be noticed.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Sections 451, 452 and 455, Evidence Code; Section 11515, Government Code; Sections 148.7, 149.5 and 6603(a), Labor Code.
§376.4. Return of Exhibit.
Note     •     History

(a) During the pendency of any proceeding, no exhibit filed or received in evidence shall be released into the custody of a party or representative except upon stipulation of all parties or upon order of the Appeals Board.
(b) At any time after a proceeding becomes final, the Appeals Board may, upon request or on its own motion, with or without notice, return to the owner or proponent, all exhibits of a physical, mechanical, or demonstrative character, unless the parties stipulate to some other disposition. The owner or proponent shall bear the cost of return of the exhibit.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (a) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§376.5. Interpreters.
Note     •     History

(a) The hearing and prehearing conference shall be conducted in the English language. The Appeals Board shall notify each party of the right to an interpreter at the time they are notified of the date of the prehearing conference and of the hearing date.
(b) A party who does not proficiently speak or understand the English language or  who requests an interpreter shall be provided, during the hearing or prehearing conference, an interpreter approved by the Appeals Board. A request for an interpreter shall be made to the Appeals Board no later than 10 working days prior to the date the interpreter is needed. The cost of providing the interpreter for a party shall be paid by the party requesting the interpreter unless the Appeals Board directs that the Appeals Board shall pay the cost of providing the interpreter due to financial hardship of the requesting party.
(c) If a party's witness does not proficiently speak or understand the English language, the terms and conditions set forth in subsection (b) shall apply. The party presenting the witness may request the Appeals Board to provide an interpreter under those terms and conditions. The cost of providing the interpreter for a witness shall be paid by the party presenting the witness unless the Appeals Board directs that the Appeals Board shall pay the cost of providing the interpreter due to financial hardship of that party.
(d) Language assistance for a party or a party's witness includes oral interpretation or written translation of a language other than English into English or of English into another language, and provision of sign interpreters for deaf or hard-of-hearing parties or persons.
(e) A person whose name appears on the list of interpreters known to be proficient in various languages published by the State Personnel Board shall be eligible to be examined by the Appeals Board relating to terminology and procedures generally used in hearings before the Appeals Board. 
(f) In the event that interpreters on the approved list cannot be present at the hearing or the prehearing conference, or if there is no interpreter on the approved list for a particular language, the Appeals Board may qualify and appoint other interpreters.
(g) Before appointment of an interpreter, the Appeals Board or a party may conduct a brief supplemental examination of the prospective interpreter to see if the person has the qualifications necessary to serve as an interpreter in the hearing or prehearing conference and to see if the person understands terms and procedures generally used in hearings and prehearing conferences before the Appeals Board, can explain these terms and procedures in English and the other language being used, and can interpret these terms and procedures into the other language. An interpreter shall not have had any involvement in the issues of the proceeding prior to the hearing or prehearing conference, and shall disclose to the Appeals Board and to all parties any actual or apparent conflict of interest. Any condition that interferes with the objectivity of an interpreter constitutes a conflict of interest. A conflict may exist if an interpreter is acquainted with or related to a party or witness to the proceeding or if an interpreter has an interest in the outcome of the proceeding.
(h) The Appeals Board shall disqualify an interpreter if the interpreter cannot understand and interpret the terms and procedures used in the hearing or prehearing conference, has engaged in conduct creating the appearance of bias, prejudice, or partiality, or has disclosed privileged or confidential communications.
NOTE

Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 11435.15, 11435.20, 11435.25, 11435.30(a), 11435.55(a), 11435.60 and 11435.65, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (f) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment of subsections (b)-(d), (g) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
4. Amendment of section and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
5. Permanent adoption of amended section and Note filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
6. Amendment of subsection (d) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§376.6. Confidential Evidence.
Note     •     History

(a) Any exhibit which contains or which might reveal a trade secret referred to in Section 1905 of Title 18 of the United States Code, information that is confidential pursuant to Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code, or photographs taken by the Division during the course of any inspection or investigation, shall be considered confidential.
(b) The Appeals Board shall issue such orders as may be appropriate to protect the confidentiality of trade secrets or other such confidential information.
(c) If testimony is taken which would reveal the substance of trade secrets or other such confidential information, the Appeals Board may exclude from the hearing room any person or witness; but a party to the proceeding, the party's representative, and the inspector or investigator for the Division and the Division's representative shall not be excluded.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6314(a) and 6322, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§376.7. Hearing Record.
Note     •     History

The Appeals Board shall make the official record for hearings. The record shall be made by means of an electronic device or by a court reporter. A party desiring the presence of a court reporter must make its own arrangements.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 6608, 6620, 6621 and 6629, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§377. Continuance of Hearing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§378. Representation at Hearing.
Note     •     History

(a) A party may appear in person or through a representative who is not required to be an attorney at law. A representative shall file a written notice of representation with the Sacramento Office of the Appeals Board and serve a copy on all parties. Service shall be in a manner prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding.
(c) An employee who is represented by an authorized employee representative may appear through such authorized employee representative.
(d) A representative may withdraw its representation of a party  by filing a written notice of withdrawal with the Appeals Board and by serving a copy on all parties. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (d) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. Amendment of subsections (a) and (d), repealer of subsection (e), and amendment of Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§379. Exclusion of Witnesses.
Note     •     History

Upon motion of a party, the Appeals Board may exclude from the hearing room any witnesses not at the time under examination; but a party to the proceeding, the party's representative, and the inspector or investigator for the Division and the Division's representative shall not be excluded.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Change without regulatory effect filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§380. Briefs.
Note     •     History

A motion for leave to submit a written post-hearing brief shall be made prior to the close of the hearing and shall be granted in the discretion of the Administrative Law Judge or the Appeals Board upon a determination that the brief will be productive and will not unreasonably delay the disposition of the proceeding. A party shall file its brief within 15 working days from the date of the hearing. Opposing parties may file an answer within 10 working days from service of the brief. The Administrative Law Judge or the Appeals Board, upon a showing of good cause, may extend or reduce the above filing dates for submission of a brief. Service on a party shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Administrative Law Judge or the Appeals Board. An original brief shall be filed with the Appeals Board in Sacramento, with a copy provided to the administrative law judge assigned to the hearing.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of section heading, repealer of subsection (a) and subsection (b) designator and amendment of section filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§381. Contempt; Bad Faith Actions and Tactics.
Note     •     History

(a) If any person in proceedings before the Appeals Board disobeys or resists any lawful order or refuses, without substantial justification, to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing or so near the place thereof as to obstruct the proceedings, the Administrative Law Judge or the Appeals Board may, on its own motion or the motion of a party:
(1) Certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code Section 11455.20;
(2) Exclude the person from the hearing room; 
(3) Prohibit the person from testifying or introducing designated matters in evidence;
(4) Establish designated facts, claims, or defenses if the person is a party;
(5) Grant the appeal without further proceedings if the person is a representative of the Division; or
(6) Dismiss the appeal without further proceedings if the person is the Employer or a representative of the Employer.
(b) If, after the docketing of an appeal and before submission of the appeal proceeding as provided in section 385, a party, representative or both engage in bad-faith actions or tactics that are frivolous or solely intended to cause unnecessary delay, the Administrative Law Judge or the Appeals Board may order that party, representative or both to pay any reasonable expenses, including attorney's fees, incurred by another party as a result of those bad faith actions or tactics.
(1) “Frivolous” means totally and completely without merit or for the sole purpose of harassing an opposing party.
(c) For purposes of subsection (b), before an order for reasonable costs is issued, a noticed hearing will be scheduled. An order to show cause will be issued stating the date, time, and place of the hearing at which all parties will have an opportunity to be heard as to whether or not reasonable costs should be ordered.
(d) A decision ordering or denying the payment of reasonable expenses incurred shall be in writing and comply with the provisions of Section 385. A decision ordering a party to pay reasonable expenses incurred by another party shall state in detail the conduct or circumstances justifying the order. A decision by an Administrative Law Judge under this section shall be subject to review by a petition for reconsideration under Article 5 of the Appeals Board's regulations. A final decision, as defined in Section 396(c), is enforceable as provided in Section 11455.30 of the Government Code.
NOTE

Authority cited: Sections 148.7 and 6603, Labor Code. Reference: Sections 11186-11188, 11455.10, 11455.20 and 11455.30, Government Code; and Sections 148.7, 148.8, 149.5 and 6603, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of section heading, section and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
3. Permanent adoption of amended section heading, section and Note, including additional amendment of subsection (b), filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
4. Amendment of section heading and amendment of subsections (a), (b) and (c)-(d) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§382. Witness Fees.
Note     •     History

(a) Witnesses subpoenaed for any deposition or hearing are entitled to the following fees and mileage, payable in advance:
(1) Witness fee for each day's actual attendance of thirty-five dollars ($35);
(2) Mileage actually traveled, both ways, of twenty cents ($.20) a mile;
(b) A party who subpoenas a peace officer as listed at Government Code Section 68097.1 shall reimburse the public entity for the full cost to the public entity incurred in paying the officer his salary or other compensation and traveling expenses for each day that such officer is required to remain in attendance. The amount of one hundred and fifty dollars ($150), together with the subpoena, shall be tendered to the person accepting the subpoena for each day that the officer is required to remain in attendance pursuant to the subpoena. If the actual expenses should later prove to be less than the amount tendered, the difference shall be refunded; or if the actual expenses should later prove to be more than the amount tendered, the difference shall be paid to the public entity by the party at whose request the subpoena was issued.
NOTE

Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Sections 11191, 11450.40, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6603(a), Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 2-1-84; effective thirtieth day thereafter (Register 84, No 5).
2. Amendment of section and Note filed 6-23-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act.
3. Permanent adoption of amended section and Note, including additional amendment of subsection (a), filed 7-11-97; operative 7-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 28).
§383. Failure to Appear.
Note     •     History

(a) If after service of a notice of hearing, notice of consolidated hearing, or continuance, a party fails to appear at a hearing either in person or by representative, the Appeals Board may take the proceeding off calendar; may, after notice, dismiss the proceeding; or may receive evidence from any party that appears.
(b) Any proceeding may be reinstated by the Appeals Board if the non-appearing party files a written  motion, no later than ten (10) days after receipt of notification of intent to dismiss,  that contains sufficient facts to establish a reasonable basis for the failure to appear at the hearing. A party opposing the reinstatement of any proceeding may file a response no later than ten (10) days from service of the reinstatement request. The motion and response shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the delcarant. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6611, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§384. Proposed Decisions; Action on by Appeals Board.
Note     •     History

(a) If a proceeding is referred to an Administrative Law Judge for hearing and preparation of a proposed order or decision pursuant to Labor Code Section 6604(b), the judge shall prepare a proposed order or decision in such form that it may be adopted as the order or decision in the case. A copy of the proposed order or decision shall be a public record. The Appeals Board may confirm, adopt, modify or set aside the proposed order or decision of the Administrative Law Judge and may, with or without further proceedings and with or without notice, enter its order, findings, or decision based upon the record in the case. Whenever the Appeals Board determines that additional evidence is necessary, it may take additional evidence in the case, or it may reassign the case to the same or to another Administrative Law Judge to take additional evidence. If the case is so reassigned to an Administrative Law Judge, the judge shall prepare a proposed order or decision.
(b) The Appeals Board shall take action on a proposed order or decision as described in subsection (a) above within 30 days after the case is submitted.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6604(b), 6608 and 6609, Labor Code.
HISTORY

1. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§385. Decisions.
Note     •     History

(a) Unless otherwise ordered, all proceedings shall be submitted for decision at the close of the hearing. The Appeals Board or Administrative Law Judge may extend the submission date and shall, within 30 days after the proceeding is submitted, summarize the evidence received and relied upon, make findings upon all facts involved in the appeal, and file an order or decision with the reasons or grounds upon which the order or decision was made.
(b) The order or decision shall be in writing, signed and dated by the Administrative Law Judge or the members of the Appeals Board deciding the proceeding.
(c) A copy of the order or decision shall be served on each party or representative together with a statement informing the parties of their right to petition the Appeals Board for reconsideration of the order or decision within 30 days of service of the order or decision.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6608 and 6609, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
3. Amendment of subsection (a) filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§386. Post-Submission Amendments.
Note     •     History

(a) The Appeals Board may amend the issues on appeal or the Division action after a proceeding is submitted for decision in order to:
(1) Correct a clerical error;
(2) Address an issue litigated by the parties;
(3) Amend the section number cited in the citation if the same set of facts apply to both the cited and proposed sections; or
(4) Amend any part of the Division action to conform it to a statutory requirement.
(b) Each party shall be given notice of the intended amendment and the opportunity to show that the party will be prejudiced thereby. If such prejudice is shown, the amendment shall not be made.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 6603(a), Labor Code; Section 11516, Government Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
Article 5. Reconsideration
§389. Application of Article.
Note     •     History

This article applies to all petitions for reconsideration, all orders of reconsideration on the Appeals Board's own motion, all answers in response, if any, and the taking of additional evidence by further hearing.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. Repealer of Article 5 (Sections 390-394) and new Article 5 (Sections 389-394) filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23). For prior history, see Registers 77, No. 19; 77, No. 2; and 76, No. 38.)
§390. Filing of Petition and Answer.
Note     •     History

(a) A party aggrieved by an order or decision may, within 30 days of service of such order or decision, petition the Appeals Board for reconsideration with respect to any matters determined or covered by the order or decision. The petition for reconsideration shall be filed at the Appeals Board in Sacramento, California, and shall be deemed filed on the date it is delivered or mailed to the Appeals Board.
(b) A party may, within 30 days of service of any petition for reconsideration, file an answer with the Appeals Board.
(c) Any petition for reconsideration and answer shall be signed by the party filing or by his representative and, except for those agencies listed at Section 446 of the Code of Civil Procedure, verified upon oath.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 446, Code of Civil Procedure; Sections 148.7, 149.5, 661(a), 6616 and 6619, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
§390.1. Reconsideration: General.
Note     •     History

(a) The petition for reconsideration shall be based upon one or more of the following grounds:
(1) That by the order or decision the Appeals Board acted without or in excess of its powers;
(2) That the order or decision was procured by fraud;
(3) That the evidence received by the Appeals Board does not justify the findings of fact;
(4) That petitioner has discovered new material evidence which the petitioner could not, with reasonable diligence, have discovered and produced at the hearing;
(5) That the findings of fact do not support the order or decision.
(b) Upon reconsideration, the Appeals Board may:
(1) Affirm, rescind, alter, or amend the findings, order or decision, or
(2) Request oral argument, the filing of briefs and amicus curiae (amicus) briefs, or other proceedings not involving the taking of additional evidence.
(3) Direct the taking of additional evidence either by submission or by further hearing as provided in Sections 393 and 394.
(c) If the Appeals Board is satisfied that no additional evidence is necessary, after considering the record, with or without further proceedings, it may enter its order, findings, or decision after reconsideration.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6617, 6620 and 6621, Labor Code.
HISTORY

1. Change without regulatory effect of subsection (a)(4) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
2. New subsection (b)(2), subsection renumbering and amendment of subsection (c) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§390.2. Appeals Board Reconsideration on Its Own Motion.
Note     •     History

(a) At any time within 30 days of the filing of any order or decision, the Appeals Board may, on its own motion, order reconsideration with respect to any matters determined or covered by the order or decision. The Appeals Board shall notify the parties if it orders reconsideration.
(b) A party may, within 30 days of service of any order of reconsideration, file an answer with the Appeals Board.
(c) Any answer shall be signed by the party filing or by the representative and, except for those agencies listed at Section 446 of the Code of Civil Procedure, verified upon oath.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 446, Code of Civil Procedure; Sections 148.7, 149.5, 6614(b) and 6619, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
2. Change without regulatory effect of subsection (c) filed 6-23-86; effective thirtieth day thereafter (Register 86, No. 26).
§390.3. Final Order or Decision.
Note     •     History

(a) If within 30 days of the filing of an order or decision no petition for reconsideration has been filed, and no reconsideration has been ordered on the Appeals Board's own motion, the order or decision is a final order of the Appeals Board and not subject to review by any court or agency.
(b) Any petition for reconsideration shall be deemed to have been denied by the Appeals Board if it is not acted upon within 45 days of service and the order or decision is a final order of the Appeals Board and not subject to review by any court or agency. The Appeals Board may, however, upon a showing of good cause, extend the time within which it may act upon the petition for a period not exceeding 15 days.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5, 6615 and 6624, Labor Code.
HISTORY

1. Amendment of subsection (b) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§390.9. Suspension of Order or Decision.
Note

The Appeals Board may stay, suspend or postpone the order or decision pending an order, findings, or decision after reconsideration.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6625, Labor Code.
§391. Format of Petition for Reconsideration.
Note     •     History

A petition for reconsideration shall set forth specifically and in full detail the grounds upon which the petitioner considers the order or decision to be unjust or unlawful, and every issue to be considered by the Appeals Board on reconsideration. Any objection or issue not raised in the petition for reconsideration is deemed waived by the petitioner. The petition for reconsideration will be denied if it contains no more than allegations of the statutory grounds for reconsideration, unsupported by specific references to the record and principles of law involved.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6618, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§391.1. Filing of Petition for Reconsideration -- Date.
Note     •     History

(a) A  petition meeting all requirements of these regulations and the Labor Code shall be deemed filed on the date indicated on the proof of service. If there is no proof of service, the date of filing shall be the date of hand delivery to the Sacramento Office of the Appeals Board or the mailing date.
(b) A petition that is not properly verified upon oath and/or not accompanied by a proof of service shall be considered filed in accordance with subsection (a) if the petitioner perfects the petition by filing the verification and/or proof of service within five days of the date of service of a letter from the Appeals Board noting the omission(s).
(c) Failure to perfect a petition in accordance with Subsection (b) shall result in the dismissal of the petition.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 6614, 6615, 6620, 6624, and 6625, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§392. Proof of Service.
Note     •     History

A petition for reconsideration, supplemental petition, answer, and supplemental answer shall be served on all parties who have been joined in the proceeding at the time of filing. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5, and 6619, Labor Code.
HISTORY

1. Amendment filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§392.3. Motion to File Supplemental Petition or Answer.
Note     •     History

(a) If a petition for reconsideration has been timely filed, a motion to file a supplemental petition may be granted at the discretion of the Appeals Board. If the motion is granted, the Appeals Board shall include in the order the date by which the supplemental petition must be received.
(b) An opposing party may file an answer to a supplemental petition no later than 30 days from the service of the supplemental petition, regardless of whether an initial answer was filed.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 6620, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
§392.4. Motions During Reconsideration Process.
Note     •     History

(a) Any motion or request for action, any opposition thereto, and any reply relating to any proceeding under reconsideration by the Appeals Board shall be in writing and directed to the Appeals Board's Sacramento office. The caption of each motion, request, opposition or reply shall contain the title and docket or petition number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefor.
(b) Any motion or request, or opposition thereto, and any reply shall be signed by the party filing or by the party's representative, and a copy shall be served on all parties. Service shall be in the manner prescribed in Section 355(c) and proof of service meeting the requirements of Section 355(c) shall be filed with the Appeals Board.
(c) Unless otherwise ordered, a motion or request may be served and filed at any time after reconsideration has been granted, but no later than 45 days before the date set forth in subsection (1) below:
(1) The Appeals Board shall notify the parties at least 90 days prior to the last day for making motions or requests relating to any proceeding under reconsideration.
(2) A motion or request shall be served and filed no later than 45 days before the date specified by the Appeals Board in 392.4(c)(1).
(3) Any opposition to such motion or request shall be served and filed no later than 30 days from service of the motion or request.
(4) Any reply papers shall be served and filed no later than 15 days from service of the opposition papers.
(d) A request to file a motion, request, opposition or reply later than the times specified in 392.4(c) may be granted in the Appeals Board's discretion if accompanied by a declaration showing good cause for the late filing.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 6617 and 6620, Labor Code.
HISTORY

1. New section filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§392.5. Availability of Recording Media.
Note     •     History

(a) The Appeals Board shall promptly provide a copy of the recording of the hearing to any requesting party upon receipt of a written request. The request may be made in person, by mail, or by facsimile.
(b) A party may request that the recording copy be sent via overnight delivery.
(c) The requesting party shall bear the cost of reproduction and delivery.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Sections 149.5, 6621 and 6629, Labor Code.
HISTORY

1. New section filed 10-30-92; operative 11-30-92 (Register 92, No. 44).
2. Amendment of section heading and section filed 11-26-2007; operative 12-26-2007 (Register 2007, No. 48).
§393. Oral Argument on Reconsideration; Amicus Curiae Briefs; Taking of Additional Evidence by Submission.
Note     •     History

(a) The Appeals Board may, at the request of a party or on its own motion, hear oral argument before the Board. The Appeals Board need not grant oral argument in any case, but may request argument in cases in which, in its judgment, oral argument may be helpful in deciding issues important to the administration of Division 5 of the Labor Code. Oral argument shall not be ordered if either the Division or the employer notifies the Appeals Board in writing that it declines to participate within 10 days of the issuance of the request for oral argument.
(b) The Appeals Board may designate specific issues to be addressed. The Appeals Board shall, within a reasonable time before the oral argument is to take place, notify all parties and intervenors of the date, time, and place for which oral argument has been set and the issues to be heard.
(c) The Appeals Board may request the filing of briefs either before or after oral argument by issuance of an order in writing, or at oral argument may order the filing of briefs on the record of the oral argument.
(d) Should either party fail to appear for oral argument, the party present may be allowed to proceed with its argument.
(e) A brief of an amicus curiae (amicus) may be filed only by leave of the Appeals Board. The brief shall be filed within the time allowed for the filing of the answer or brief of the party whose position the amicus will support unless the Board grants leave for filing at a later date specified by the order of the Appeals Board. Unless otherwise ordered, an amicus may not file a responding brief.
(f) An amicus will not be permitted to participate in oral argument without leave of the Appeals Board. An amicus may move no later than 10 days before oral argument is scheduled to participate in oral argument. Its motion shall identify its interest and state the reasons its participation would be helpful. Any opposition to the motion of an amicus to participate in oral argument shall be filed and served no later than 5 days before the date of oral argument.
(g) When reconsideration has been granted, either by petition or on the Appeals Board's own motion, the Appeals Board may request that additional evidence be submitted. Notice and an opportunity to respond to the request shall be given to all parties.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6620, Labor Code.
HISTORY

1. Amendment of section heading, new subsections (a)-(f) and designation of existing section as subsection (g) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§394. Taking of Additional Evidence by Further Hearing.
Note     •     History

(a) When reconsideration has been granted either by petition or on the Appeals Board's own motion, the Appeals Board may order that additional evidence be taken at a further hearing. Notice of the time and place of further hearing shall be given to all parties and to such other persons as the Appeals Board may direct.
(b) The issues on further hearing shall be limited to those set forth in the order.
(c) The time limit at Section 385(a) for filing an order or decision shall not apply to further hearings during reconsideration.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 149.5 and 6620, Labor Code.
HISTORY

1. Amendment of NOTE filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
Article 6. Employers' Cost Recovery
§395. Application of Article.
Note     •     History

This article shall apply to all petitions for costs to the Appeals Board brought pursuant to Section 149.5 of the Labor Code.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 149.5, Labor Code.
HISTORY

1. New Article 6 (Sections 395-397) filed 2-13-80; effective thirtieth day thereafter (Register 80, No. 7).
§396. Definitions.
Note     •     History

As used in Sections 395 to 397, inclusive, of these rules:
(a) “Burden of proof” means the burden on an employer petitioning for costs to establish by a preponderance of the evidence that the issuance of a citation was the result of arbitrary or capricious action or conduct by the Division.
(b) “Citation is withdrawn” means that after an employer has filed an appeal in accord with Section 359, and the Appeals Board has acknowledged jurisdiction, that the Appeals Board grants the Division's motion or petition to withdraw the citation.
(c) “Final decision” means a decision or order of the Appeals Board or an Administrative Law Judge which has not been stayed or from which no petition for reconsideration has been filed or no reconsideration has been granted on the Appeals Board's own motion within the time permitted by law. If the Appeals Board has granted reconsideration, a decision or order shall be final 30 days after the decision after reconsideration has been issued unless a writ of mandate has been filed as provided by law. If a writ of mandate has been filed, a decision or order shall be final after a judgment has been entered and no appeal is pending in the courts.
(d) “Prevails in the appeal” occurs when an employer has prevailed in the appeal on an item of a citation or a total citation. An employer who appeals the existence of a violation shall not be deemed to have prevailed in the appeal if the alleged violation is affirmed and the Appeals Board only amends the classification of the violation or reduces the amount of proposed civil penalty.
(e) “Reasonable costs” means costs necessarily incurred by an employer in preparing for and pursuing an appeal of a citation. Reasonable costs are those costs allowed under Section 149.5 of the Labor Code, including attorney's fees, consultant's fees, witness' fees and mileage, costs of discovery, costs of depositions, and costs of service of process if such costs were necessary disbursements for preparing and proceeding with a hearing on the citation. Determination of the appropriateness of an award of costs lies within the discretion of the Appeals Board. Where a citation covers more than one item, costs shall be apportioned to each item.
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 149.5, Labor Code.
HISTORY

1. Amendment filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Amendment filed 2-1-84; effective thirtieth day thereafter (Register 84,No. 5).
§397. Petition for Costs Procedures.
Note     •     History

(a) Any employer who appeals a citation resulting from an inspection or investigation conducted on or after January 1, 1980, issued by the Division for violation of an occupational safety and health standard, rule, order, or regulation established pursuant to Chapter 6 (commencing with Section 140) of Division 1 of the Labor Code may file a petition for costs together with a memorandum of items of cost with the Appeals Board to claim reasonable costs, not to exceed five thousand dollars ($5,000) in the aggregate per citation if either the employer prevails in the appeal or the citation is withdrawn, and the employer alleges that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division. The burden of proof shall be on the employer to establish by a preponderance of the evidence that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division.
(b) The procedures are:
(1) If an employer who appeals a citation prevails in the appeal of the citation or the citation is withdrawn and the employer wishes to claim reimbursement for reasonable costs alleging that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division, the employer shall file a petition for costs together with a memorandum of items of cost with the Appeals Board. The petition must be filed not more than 60 days after the filing of a final decision granting the Division's motion or petition to withdraw the citation, or a final decision granting the appeal. A petition for costs shall be deemed filed on the date it is delivered or mailed to the Appeals Board in Sacramento, California. A petition for costs shall set forth specifically and in full detail the grounds upon which the employer's claim is made and identify the particular item or items of the citation for which the petition for costs is being filed. A petition for costs shall be verified upon oath in the manner required for verified pleadings in courts of record.
(2) Upon receipt of a petition for costs, the Appeals Board shall enter a petition number on the petition and serve a copy on the Division. The Division shall have 30 days from the service of a petition for costs to file a response with the Appeals Board.
(3) The Appeals Board shall review the petition for costs, and the response, if any, and shall by order or notice exercise one of the following three options:
(A) The petition for costs may be summarily dismissed if no grounds are set forth or there are insufficient facts alleged to establish that the citation was issued as a result of arbitrary or capricious action or conduct by the Division. The employer may file a petition for reconsideration of the cost order denying the petition for costs within 30 days after issuance of a cost order. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules, or
(B) The petition for costs may be granted by a cost order and costs may be awarded if from a review of the petition for costs and the response submitted, if any, it is established that the Division issued a citation as the result of arbitrary or capricious action or conduct. The Division and the employer shall have the right to file a petition for reconsideration of the cost order granting the petition for costs within 30 days after service of such an order. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules, or
(C) If a review of the petition for costs and response, if any, establishes that a factual dispute exists, the matter shall be set for hearing. Parties shall receive not less than 15 days notice of hearing.
(4) If a hearing is ordered, the Division and employer shall have their cases prepared, discovery completed and be ready to proceed at the time of hearing. Ten calendar days before the time of hearing, an employer may file with the Appeals Board and the Division a supplemental memorandum of costs setting forth necessary disbursements claimed. When a party desires to present any point which requires a consideration of a prior hearing record, the party shall, prior to the hearing, request and pay the cost of preparing the prior hearing record.
(5) A hearing shall be conducted in accord with these rules.
(6) A cost decision shall be filed as provided in Section 385. A copy of the cost decision with a summary of the evidence received and relied upon and the reasons or grounds upon which the decision was made shall be mailed or served on each party or his representative together with a statement informing the parties of the right to petition the Appeals Board for reconsideration of the cost decision within 30 days after the service of the cost decision. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules.
NOTE

Authority cited: Section 148.7, Labor Code. Reference: Section 149.5, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Amendment of subsection (b) filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
3. Amendment of subsection (b)(3) and Note filed 10-30-92; operative 11-30-92 (Register 92, No. 44).

Appendix A and Appendix B
NOTE

Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code.
HISTORY

1. New Appendix A and B filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Repealer of Appendix A and B filed 2-1-84; effective thirtieth day thereafter (Register 84, No. 5).
Chapter 3.5. Occupational Safety and Health Standards Board

(Originally Printed 1-26-74)
Subchapter 1. Rules of Procedure for Permanent Variances and Appeals from Temporary Variances
Article 1. General
§401. Location of Principal Office.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. New Chapter 3.5 (Sections 401-427, not consecutive) filed 1-24-74 as an emergency; effective upon filing (Register 74, No. 4).
2. Certificate of Compliance filed 4-26-74 (Register 74, No. 17).
3. Repealer of Chapter 3.5 (Sections 401-427, not consecutive) and adoption of Chapter 3.5 (Sections 401-428, not consecutive) filed 5-31-74; effective thirtieth day thereafter (Register 74, No. 22).
4. Repealer of Chapter 3.5 (Sections 401-427, not consecutive) and adoption of Chapter 3.5 (Sections 401-428, not consecutive) refiled 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
5. Repealer filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Amendment of subchapter heading filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§402. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 10-22-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 43).
3. Editorial correction of printing error in History 1 (Register 94, No. 2).
§403. Definitions.
Note     •     History

For the purpose of these rules:
(a) “Standards Board” or “Board” means the Occupational Safety and Health Standards Board; except that wherever the words “Standards Board” or “Board” alone are used, the power to act may be delegated by the Board and whenever the words “Board itself” are used, the power will be exercised by the Board acting through a quorum of its members;
(b) “Chairperson” means the member of the Standards Board designated by the Governor to hold the office of chairperson;
(c) “Hearing Officer” means any person appointed by the Standards Board to preside over any variance or appeal from a temporary variance hearing or to hear and determine any such matter within the jurisdiction of the Standards Board;
(d) “Department” means the Department of Industrial Relations;
(e) “Division” means the Division of Occupational Safety and Health;
(f) “Appeals Board” means the Occupational Safety and Health Appeals Board;
(g) “Code” means the Labor Code;
(h) “Rule” means any section set forth in this subchapter adopted by the Standards Board;
(i) All terms which are defined in the code shall be construed as defined therein.
(j) “Representative” means any person, including an authorized employee representative, authorized by a party or intervenor to represent the party or intervenor in a proceeding. Unless the context otherwise requires the term “representative” is included in the words “appellant,” “party,” “petitioner,” “employer” or “employee.”
(k) “Authorized employee representative” means a labor organization which has a collective bargaining relationship with an employer and which represents affected employees or an employee organization which has been formally acknowledged by a public agency as an employee organization that represents employees of the public agency.
(l) “Affected Employee” means an employee of the employer seeking the variance who is exposed, as a result of his/her assigned duties, to the condition or hazards covered by the standard from which the variance is sought.
(m) “Proceeding” means any proceeding before the Standards Board or before a hearing officer relating to a permanent or interim variance or appeal from a temporary variance.
(n) “Employer” means (1) the State and every State agency; (2) each county, city, district and all public and quasi-public agencies therein; (3) every person, including any public service corporation which has any natural person in service; (4) any Conveyance Owner as defined in subsection (o); and (5) any employer who employs “affected employees” as defined by Rule 403(l).
(o) “Conveyance Owner” means a person or entity that has custody of a conveyance covered by the Elevator Safety Orders, or that owns property on or in which such a conveyance is to be installed.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code.
HISTORY

1. Amendment of subsections (c), (e) and (m) filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of  Regulations amending subsections (b), (j) and (l) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Amendment of subsections (a) and (n), new subsection (o) and amendment of Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§404. Computation of Time.
Note     •     History

In computing the time within which any act must be performed, “days” shall refer to calendar days. The first day shall be excluded and the last day shall be included. If the last day is a Saturday, Sunday or holiday, the required act must be performed by the following Monday, or if that Monday is a holiday, by the next day that is not a holiday.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code; and Sections 12 and 12a, Code of Civil Procedure.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section and Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§404.1. Late Filing.
Note     •     History

Unless otherwise specified in the code, the time for filing any application, appeal, petition, answer, pleading, brief, or other document to the Standards Board may be extended or a late filing permitted upon a showing of good cause.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6455, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§405. Hearing Officers.
Note     •     History

All hearings of the Standards Board relating to permanent or temporary variances shall be conducted by hearing officers on the staff of the Appeals Board or appointed by the Standards Board.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
§405.1. Authority of Hearing Officers.
Note     •     History

(a) Every hearing in a variance or appeal from a temporary variance proceeding shall be presided over by a hearing officer.
(b) When the Standards Board or a hearing panel hears the matter, the hearing officer shall preside at the hearing, rule on the admission and exclusion of evidence, and advise the Board or panel on matters of law; the Board or panel shall exercise all other powers relating to the conduct of the hearing but may delegate all or any of them to the hearing officer. When the hearing officer alone hears a matter, the hearing officer shall exercise all powers relating to the conduct of the hearing.
(c) A hearing officer or Standards Board member shall voluntarily disqualify himself/herself and withdraw from any case in which he/she cannot accord a fair and impartial hearing or consideration.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsections (b) and (c) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Amendment of subsection (b) and amendment Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§405.2. Standards Board Records Not Subject to Subpoena.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 10-22-82 by OAL pursuant to Government Code section 11349.7(j) (Register 82, No. 43).
3. Editorial correction of printing error in History 2 (Register 94, No. 2).
§406. Party Status.
Note     •     History

(a) Affected employees and/or an authorized employee representative may elect to participate as parties at any time before the commencement of the hearing, unless, for good cause shown, the Standards Board allows such election at a later time.
(b) The Division shall be deemed a party to all variance proceedings before the board, whether or not the division has appeared or participated in the proceeding and shall be entitled to receive the same service and notice as any other party.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 147, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of subsection (a) filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§406.1. Intervention; Appearance by Nonparties.
Note     •     History

(a) A petition for leave to intervene may be filed at any stage of a proceeding before commencement of the hearing.
(b) The petition shall set forth the interest of the petitioner in the proceeding and show that the participation of the petitioner will assist in the determination of the issues and questions, and that the intervention will not unnecessarily delay the proceeding.
(c) The Standards Board may grant a petition for intervention to such an extent and upon such terms as the board shall determine.
(d) Any person whose petition for intervention has been granted shall be entitled to all notices to which parties are entitled.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§407. Service and Notice.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§407.1. Proof of Service by Parties.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§407.2. Responsibilities of Employers to Notify Employees of Proceedings.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§407.3. Responsibilities of Employees to Notify Employers and Other Employees of Proceedings.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 6455, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
Article 2. Applications for Permanent Variances and Appeals from Temporary Variances
§411. Applications for Permanent Variances.
Note     •     History

(a) Any Employer desiring a permanent variance from an occupational safety or health standard, regulation or order contained in California Code of Regulations, Title 8 shall file a written application for a variance, submitted under penalty of perjury, with the Standards Board.
Note: See Rule 403(n) for definition of Employer.
(b) Six copies of the application for variance shall be submitted and shall include:
(1) The name and address of the Employer;
(2) The address(es) where the variance will be in effect;
(3) A description of the conditions, practices, means, methods, operations, or processes used or proposed to be used by the Employer to provide health and safety equal or superior to that provided by the regulations;
(4) A statement showing how the conditions, practices, means, methods, operations, or processes used or proposed to be used would provide health and safety equal or superior to that provided by the regulation from which a variance is sought;
(5) A certification that the Employer will comply with the notification and posting requirements contained in Rules 411.2 and 411.3 below;
(6) A specification of the Title 8 regulation from which the permanent variance is sought, including the appropriate subsections, if applicable; 
(7) A statement of whether or not an appeal has been filed or is pending with the Occupational Safety and Health Appeals Board relative to the same safety order, including the Occupational Safety and Health Appeals Board docket number.
(8) A statement estimating the number of witnesses to be called by the Employer at the hearing and of the amount of time the Employer will require to present its case at the hearing; and
(9) Six copies of any photographs, blueprints or other illustrative materials submitted to document or clarify the application.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2 and 146, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (a)(5) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing error in subsection (a) (Register 94, No. 2).
4. Amendment of article heading, section heading and section filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§411.1. Denial of Defective Application for Permanent Variance.
Note     •     History

An application for permanent variance that fails to comply with rule 411 shall not be docketed or considered by the Board. Employers shall be advised of the application's defective areas and requested to correct or resubmit the application in accordance with the Board Rules. Failure to correct or resubmit the application in accordance with the Board Rules within 60 days shall result in automatic denial of the application. A denial of the application pursuant to this Rule shall be without prejudice to the filing of another application.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading and section filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§411.2. Compliance with Notification and Posting Requirements Regarding Variance Proceedings and Temporary Variance Appeals.
Note     •     History

The notification and posting requirements contained in Sections 411.3 and 412.2 shall be satisfied as follows:
(a) Notification to a party who has appeared through a representative shall be made through such representative. Notification to an authorized employee representative shall be in addition to providing notice to the affected employees.
(b) Unless otherwise ordered, notification may be provided by postage-prepaid first class mail or by personal delivery. Notification is deemed effective at the time of mailing or personal delivery.
(c) Proof of notification or posting by parties may be made by any of the following means:
(1) Affidavit of service;
(2) Written statement endorsed upon the document served and signed by the party making the statement; or
(3) Letter of transmittal.
(d) Proof of notification or posting shall be submitted to the Board no later than the second working day following the posting or notification.
NOTE

Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code.
HISTORY

1. New section filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2). For prior history, see Register 2002, No. 27. 
§411.3. Employer Posting and Notification Responsibilities.
Note     •     History

Regarding Variance Proceedings and Temporary Variance Appeals.
(a) Employers shall post a copy of the following documents at the place(s) where notices to employees are usually posted. In lieu of posting, Conveyance Owners shall immediately provide copies of these documents to the building maintenance provider and to the maintenance provider for the conveyance.
(1) The docketed variance application or temporary variance appeal, or a statement giving a summary of the application or appeal that specifies where a copy may be examined. This posting shall occur immediately upon the Employer's receipt of the notice indicating that the variance application or appeal has been docketed.
(2) A notice contained in the application, or provided as a separate document but posted simultaneously with the application, informing affected employees of their right to:
(A) party status and to participate in the variance proceedings;
(B) inspect and copy all pleadings at a reasonable time; and
(C) petition the Standards Board for a hearing.
(3) A copy of the notice of hearing, which shall be posted immediately upon its receipt.

Exception: If the variance or appeal pertains to an elevator, escalator or other conveyance covered by the Elevator Safety Orders that is in a building that is under construction or otherwise unoccupied, and neither a maintenance provider for the conveyance nor a building maintenance provider has been retained or designated, the Conveyance Owner shall attest to these facts in its application. If a conveyance maintenance and/or building maintenance provider is retained or designated after the variance or appeal is requested, but before a hearing is held, the Conveyance Owner shall immediately comply with this section and shall inform the Board, in writing, of the actions taken to comply.
(b) In addition to complying with subsection (a), Employers shall provide any authorized employee representative with the following documents immediately upon their receipt:
(1) a copy of the docketed variance application or temporary variance appeal;
(2) a copy of the notice set forth in (a)(2);
(3) a copy of the notice of hearing.
(c) Where posting is required, such posting shall be maintained until the commencement of the hearing or until earlier disposition of the variance request or appeal.
NOTE

Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code.
HISTORY

1. New section filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2). For prior history, see Register 2002, No. 27. 
§411.4. Notice of Denial of Interim Variance.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§412. Appeals from Temporary Variances.
Note     •     History

(a) Any employer or other persons adversely affected by the granting or denial of a temporary variance by the Division may appeal the Division's decision to the Board.
(b) Such appeal from a temporary variance shall be in writing and shall include:
(1) The name and address of the appellant;
(2) The address of the place or places of employment involved;
(3) A specification of the temporary variance in question and of the standard or portion thereof from which the variance was allowed or denied and the grounds upon which it is based; and
(4) A statement of facts which shows that the appellant is either the affected employer or is a person adversely affected by the granting or denial of the temporary variance.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 6455, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Editorial correction of printing error in subsection (a) (Register 94, No. 2).
§412.1. Correction of Defective Appeal from a Temporary Variance.
Note     •     History

If any variance appeal fails to state the grounds upon which it is based, the appellant shall be notified that it does not comply with the Standards Board rules and shall be granted fifteen days after the date of mailing of such notice within which to file an amended appeal. If within the time permitted the appellant fails to amend the appeal to conform with rule 412 the appeal shall be dismissed.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment of section heading filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing error (Register 94, No. 2).
§412.2. Notification Requirements for Employees Appealing Temporary Variances.
Note     •     History

(a) Where an affected employee or an authorized employee representative appeals the granting or denial of a temporary variance, the employee or representative shall provide the Employer with a copy of the appeal for posting in the manner prescribed in Rule 411.3.
(b) An authorized employee representative who appeals the granting or denial of a temporary variance shall be responsible for serving any other authorized employee representative whose members are affected employees.
NOTE

Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code.
HISTORY

1. New section filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
Article 3. Prehearing Proceedings
§415. Referral of Variance Applications and Temporary Variance Appeals to the Division.
Note     •     History

(a) Applications for variances and appeals from temporary variances relating to occupational safety and health standards filed with the Board in proper form will be promptly referred to the Division for evaluation.
(b) Hearings on applications for variances and appeals will be scheduled so that the Division's evaluation report will be available for presentation at the hearing.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 147, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading and section filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§416. Publication of Variance Applications.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.1, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 7-7-87; operative 8-6-87 (Register 87, No. 29).
§417. Assignment to Hearing Panels.
Note     •     History

(a) The chairperson may assign variance proceedings before the board to a hearing panel consisting of one or more members for hearing and preparation of a proposed decision in such form that it may be adopted as the decision in the case. Assignments by the chairperson of members on such hearing panels shall be rotated among the members with the composition of the members so assigned being varied and changed to assure that there shall never be a fixed and continued composition of members.
(b) A variance proceeding shall be heard and decided by the Standards Board itself at the request of any two members of the Standards Board.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
§417.1. Objection to Hearing Panel or Hearing Officer or Board Member.
Note     •     History

(a) Any party may request, in writing, that a variance proceeding be heard by the board itself rather than by a hearing panel. Such a request must be accompanied by a showing of good cause and may be granted or denied at the discretion of the chairperson. The request must be made prior to, or upon receipt of, the notice of hearing and at least ten working days prior to the scheduled hearing date. Failure to provide a timely request will be sufficient grounds for denying the request. The hearing shall not be held until a determination is made on the party's request.
(b) Disqualification of Hearing Officer or Standards Board Member.
(1) Any party may request the disqualification of any hearing officer and/or Standards Board member by filing an affidavit, at least ten working days prior to the scheduled hearing date, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded.
(2) The name of the hearing officer and the hearing panel members shall be included in the notice of hearing served on all parties. If any change is made to the hearing panel and/or hearing officer assignments subsequent to service of the notice of hearing, the parties, whenever possible, shall be notified of such changes. If the parties are notified of such changes less than ten working days before the scheduled hearing, a party wishing to request a disqualification must make the request as soon as it learns of the new assignment(s). Under such circumstances, the request initially may be made orally, including by telephone, and shall be made to the board before the hearing is convened whenever possible. The request shall then be submitted in writing, in accordance with subsection (b)(1), as soon as possible, and no later than ten working days after the oral request is made. If the request to change the hearing panel and/or hearing officer assignments cannot be made prior to the beginning of the hearing because the parties were not notified of such assignments, or not notified in a timely manner, the request shall be made prior to the taking of evidence at the hearing. If an oral request is made on the record at the hearing and is fully explained at that time, a written request need not be submitted.
(3) The request to disqualify the hearing officer and/or a Standards Board member shall be determined by the Standards Board. In the case of a request to disqualify a Standards Board member, the individual member named in the request shall not participate in the disqualification decision pertaining to him or her.
(4) If a request to disqualify is made prior to the hearing being convened, the hearing shall not begin until a determination has been made on the party's request. If a party is unable to make its request prior to the convening of the hearing because it was not timely notified of the hearing panel and/or hearing officer assignments, the hearing will be held for the sole purpose of allowing the party to state its request on the record. The remainder of the hearing will be postponed until a determination on the request has been made.
(5) Failure to make a request to disqualify in accordance with the time specifications in this subsection is sufficient grounds for denying the request.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (a) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Amendment filed 5-22-2000; operative 6-21-2000 (Register 2000, No. 21).
§417.2. Merger of Successive Variance Applications or Appeals.
Note     •     History

If, at the time any variance application or appeal is filed, one or more prior applications or appeals by or involving the same employer and involving the same or similar issues have not been decided by the board or a hearing officer, such prior applications or appeals may, upon notice to the parties, be deemed merged into the last application or appeal filed, and the Standards Board may issue a single decision.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§417.3. Withdrawal of Variance Applications and Temporary Variance Appeals.
Note     •     History

(a) A variance application or appeal may only be withdrawn by written request and before a final decision is issued by the Board. If such request is made, the Board shall issue a decision dismissing the appeal or application.
(b) A variance application or appeal so dismissed shall be reinstated by the board if the party files a written petition and shows therein that the request for withdrawal resulted from misinformation given by the Division, Appeals Board or Standards Board or from fraud or coercion. Any petition for reinstatement shall be made within 60 days after personal service or mailing of the decision dismissing the variance application or appeal, or, in the event of fraud, within 60 days after discovery of such fraud.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Editorial correction of printing error in subsection (b) (Register 94, No. 2).
3. Amendment of section heading and subsection (a) filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§417.4. Dismissal of Late Appeals.
Note     •     History

If any appeal is not filed within the time permitted by the code or these rules, the board shall issue a decision dismissing the appeal unless the appellant shows good cause for late filing. If good cause is shown, the appeal shall be decided on the merits.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6455, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§417.5. Dismissal of Variance Applications.
Note     •     History

If an Employer fails to pursue its variance application after the application is docketed, or causes significant delay in the processing of its application, the Board will provide the Employer with written notice of the Board's intent to dismiss the application. Unless the Employer responds to the notice within 30 days from the date of service, and subsequently assists in the processing of the variance application, the Board may dismiss the application without prejudice.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code.
HISTORY

1. New section filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
§418. Pre-Hearing Requests for Action.
Note     •     History

All requests for action by the Standards Board relating to any proceeding pending before the Board shall be made in writing and directed to the hearing officer assigned to the matter, or to the executive officer if a hearing officer has not been assigned. Each written request shall contain the variance docket number and shall indicate the type of relief sought. If a hearing officer has been assigned, the hearing officer may resolve such requests without the Board's involvement.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading, section and Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
§419. Consolidation of Proceedings.
Note     •     History

Any number of proceedings may be consolidated for hearing or decision when the facts and circumstances are similar and no substantial right of any party will be prejudiced.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§420. Pre-Hearing Conference.
Note     •     History

(a) At any time before a hearing, the Standards Board or the hearing officer may, on its own initiative, or at the request of a party, direct the parties or their representatives to exchange information or to participate in a pre-hearing conference for the purpose of considering matters which will tend to simplify the issues or expedite the proceedings. If a hearing officer has been assigned, the hearing officer may resolve such requests without the Board's involvement.
(b) The Standards Board or the hearing officer may issue a prehearing order which includes the agreements reached by the parties. Such order shall be served on all parties and shall be a part of the record.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading, section and Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
Article 4. Hearings and Decisions
§421. Time and Place of Hearing.
Note     •     History

(a) Variance appeals from temporary variances shall be given scheduling priority over variance applications.
(b) Applications for variances shall be scheduled for hearing as soon as practicable after receipt.
(c) Except as hereinafter provided, the Standards Board may set the time and place of hearing at its principal office or at another location designated by the Board that is more convenient for the applicant.
(d) Where, because of the distance involved or for other reasons, it is impractical for parties and their witnesses to appear at the same place of hearing, a videoconference hearing may be scheduled.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2, 147 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of subsections (c) and (d) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§422. Witnesses and Subpoenas.
Note     •     History

(a) A party shall arrange for the presence of his/her witnesses at a hearing in a variance proceeding.
(b) A subpoena may be issued by the Standards Board or a hearing officer on the board's or hearing officer's own motion.
(c) A subpoena to compel the attendance of a witness shall be issued by the hearing officer upon request made by a party and a showing of the need therefor.
(d) An application for subpoena duces tecum for the production by a witness of books, papers, correspondence, memoranda, or other records, including records of the Division, shall be made by affidavit to the hearing officer and shall give the name and address of the person to be subpoenaed, shall describe the matters or things desired to be produced and show the materiality thereof to the issues involved in the proceeding and that, to the best of the applicant's knowledge, the witness has such matters or things in his/her possession or under his/her control.
(e) If the hearing officer finds that the affidavit is complete and supports the application for the subpeona duces tecum, the hearing officer shall issue the requested subpoena.
(f) Each party shall arrange for the service of all subpoenas, including subpoenas duces tecum, issued to the party. A copy of the affidavit for subpoenas duces tecum shall be served with such subpoena.
NOTE

Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Section 11450.20, Government Code.
HISTORY

1. Amendment of subsection (d) filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsections (a), (d) and (e) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing error in subsection (e) (Register 94, No. 2).
4. New subsection (e), subsection relettering, amendment of newly designated subsection (f) and amendment of Note filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§422.1. Confidential Evidence.
Note     •     History

(a) Any exhibit or evidence that contains, or that might reveal, a trade secret as defined in Civil Code Section 3426.1 shall be considered confidential. The Board shall take such appropriate action that is within its control to protect the confidentiality of trade secrets.
NOTE

Authority cited: Section 143.2, Labor Code; and Section 6254(k), Government Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsections (a) and (b) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Amendment of section heading, repealer and new section and amendment of Note filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§423. Conduct of Hearing.
Note     •     History

(a) Testimony shall be taken only on oath, affirmation, or penalty of perjury.
(b) Each party shall have these rights: To call and examine parties and witnesses; to introduce exhibits; to question opposing witnesses and parties on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him/her to testify; and to rebut the evidence against him/her.
(c) The Standards Board members or hearing officer may question any party or witness and may admit any relevant and material evidence.
(d) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall explain the issues and the order in which evidence will be received.
(e) The hearing shall be conducted in the English language. On the notice of hearing the Board shall notify each party of the right to an interpreter. A party or a party's witness who does not proficiently speak the English language shall be provided an interpreter if a request for language assistance is provided to the Board at least ten working days prior to the date of the hearing. A party may provide its own interpreter, if the interpreter is approved by the hearing officer as proficient in the English language and the language in which the witness will testify. The hearing officer shall approve any person whose name appears on the current list of interpreters published by the State Personnel Board. The interpreter shall not have any involvement in the issues of the case prior to the hearing.
(f) The cost of the interpreter shall be paid by the Standards Board if the hearing officer so directs, otherwise by the party requiring the interpreter. This determination shall be made consistent with Government Code Section 11435.25(b).
NOTE

Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11425.10, 11435.15, 11435.20, 11435.25, 11435.30, 11435.55, 11435.60 and 11435.65, Government Code.
HISTORY

1. Amendment of subsection (e) filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (b) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing error in subsection (d) (Register 94, No. 2).
4. Amendment of subsections (e) and (f) and amendment of Note filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§424. Evidence Rules.
Note     •     History

The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing, and irrelevant and unduly repetitious evidence shall be excluded.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 146 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§424.1. Official Notice.
Note     •     History

(a) In reaching a decision, official notice may be taken, either before or after submission of the case for decision, of any generally accepted technical or scientific matter within the field of occupational safety and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, the Appeals and the Standards Board.
(b) The Standards Board shall take official notice of those matters set forth in Sections 451 and 452 of the Evidence Code.
(c) Each party shall be given reasonable opportunity to present information relevant to (1) the propriety of taking official notice, and (2) the tenor of matters to be noticed.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 451 and 452, Evidence Code; and Sections 143.2 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Editorial correction of printing error in subsection (a) (Register 94, No. 2).
3. Amendment of section heading and amendment of subsections (b) and (c) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§424.2. Continuance of Hearings and Further Hearings.
Note     •     History

(a) The Standards Board may continue a hearing to another time or place on its own motion or may order further hearing on a matter at any time prior to the issuance of the Board's decision. Written notice of the time and place of the continued hearing shall be in accordance with Rule 411.2.
(b) Any party may request a continuance or further hearing, but such requests are disfavored and shall only be granted upon a clear showing of good cause. The parties are expected to submit for decision all matters in controversy and all necessary evidence at a single hearing.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§424.3. Representation at Hearing.
Note     •     History

(a) Employers must attend the variance hearing, either in person or through a representative. The representative does not need to be an attorney-at-law.
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding.
(c) Affected employees who are represented by an authorized employee representative may appear through such authorized employee representative.
(d) Withdrawal of appearance of any representative may be effected by filing a written notice of withdrawal with the Board.
(e) The Standards Board or hearing officer may refuse to allow any person to represent a party in any hearing when such person engages in unethical conduct or intentionally fails to observe the provisions of the code, proper instructions or orders of the Standards Board or these rules.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2, 146 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of subsections (a) and (d) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§424.4. Exclusion of Witnesses.
Note     •     History

Upon a demonstration of good cause by any party, the Standards Board, in its discretion, may exclude from the hearing room any witnesses not under examination at this time; but a party to the proceeding, and the party's counsel or representative cannot be excluded.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (b) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing error (Register 94, No. 2).
4. Amendment filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§424.5. Oral Arguments and Briefs.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§425. Judicial Enforcement.
Note     •     History

(a) If any witness refuses to attend or testify or produce any papers required by a subpoena issued by the Standards Board, any party may file with the board a petition for judicial enforcement. The petition shall be verified and shall set forth that due notice of time and place of attendance of the person or the production of the papers has been given, that the person has been subpoenaed in the manner prescribed by law or these rules and that he/she has failed and refused to attend or produce the papers required by subpoena before the officer in the case or proceeding named in the subpoena, or has refused to answer questions propounded to him/her in the course of the hearing.
(b) If the Standards Board determines that judicial enforcement is appropriate it will petition the superior court in the county in which the hearing is pending for an order compelling the person to attend and testify or produce the papers pursuant to Government Code Sections 11186 through 11188, inclusive.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11186-11188, Government Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (a) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Editorial correction of printing errors in subsection (b) and History 1 (Register 94, No. 2).
§425.1. Witness Fees.
Note     •     History

Witnesses subpoenaed for any hearing are entitled to fees and mileage as set forth in Sections 11450.40 and 68093 of the Government Code.
NOTE

Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11450.40 and 68093, Government Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section and Note filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§425.2. Failure to Appear.
Note     •     History

(a) Where it appears on record that a party was served with notice of hearing, but fails to appear at such hearing, either in person or by representative, the Standards Board may take the proceeding off calendar; may, after notice, dismiss the proceeding; or may hear the evidence from any party that attends the hearing and, after notice, make such decision as is just and proper.
(b) Any proceeding may be reinstated by the Board, at its discretion, if a non-appearing Employer submits to the Board, in writing, a reasonable explanation for the Employer's failure to appear at the hearing. The explanation must be submitted within ten days after service of the notification of intent to dismiss.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading and section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§426. Decision; Action on Proposed Decision.
Note     •     History

(a) A variance hearing may be held before the Standards Board itself, a hearing panel or a hearing officer. If a proceeding is heard before the Standards Board itself or a hearing panel, the hearing officer, if requested, shall assist and advise them. Where a proceeding is heard before the Standards Board itself, no member of the Board who did not hear the evidence shall vote on the decision.
(b) If a proceeding is heard by a hearing panel or a hearing officer, the panel or hearing officer shall prepare a proposed decision in such form that it may be adopted by the Board as the decision in the proceeding. The proposed decision shall be a public record and a copy of the proposed decision shall be served by the Standards Board on each party. The Board may adopt the proposed decision or decide the case itself as provided in subdivision (c) below.
(c) If the proposed decision is not adopted as provided in subdivision (b), the Standards Board itself may decide the case upon the record, with or without taking additional evidence, or may refer the case to a hearing panel or hearing officer to take additional evidence. 
(1) If the case is assigned to a hearing panel or hearing officer, the hearing panel or hearing officer shall prepare a proposed decision as provided in subdivision (b) based on the additional evidence and the record of the prior hearing. A copy of the proposed decision shall be furnished to each party as prescribed in subdivision (b). 
(2) If the case is heard by the Standards Board itself, and the Board chooses to take additional evidence, the parties shall be afforded the opportunity to present either oral or written argument before the Board itself. If additional oral evidence is introduced before the Board itself, no Board member may vote unless the member heard the additional oral evidence.
NOTE

Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143, 143.2 and 6457, Labor Code; and 11425.10, Government Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (d) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
3. Amendment of section and Note filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§426.1. Form of Decision.
Note     •     History

(a) The decision shall be in writing and shall contain findings of fact, the reasons for decision, and the decision. A copy of the decision shall be mailed to or served on each party or his/her representative.
(b) Any decision in a variance proceeding may be made subject to any reasonable conditions.
(c) After a decision or proposed decision has been mailed or served it shall not be changed except to correct clerical errors, in which case a corrected decision or proposed decision shall be prepared and mailed or served.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.2, 146 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations amending subsection (a) filed 2-25-91; operative 3-27-91 (Register 91, No. 14).
§426.2. Notice of the Granting of a Permanent Variance or Variance Appeal.
Note     •     History

NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 7-7-87; operative 8-6-87 (Register 87, No. 29).
§427. Petitions for Re-Hearing.
Note     •     History

(a) Petition for re-hearing may be filed by any party with the Standards Board within twenty (20) days after service of the decision upon the following grounds and no other:
(1) that the Standards Board acted without or in excess of its power;
(2) that the decision was not supported by substantial evidence; or,
(3) that the decision was contrary to law.
(b) Failure to file a petition for re-hearing within twenty days shall constitute valid grounds for denying the petition.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. New subsection (b) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§427.1. Form of Petition for Re-Hearing.
Note     •     History

(a) The petition for re--hearing shall state in detail the factual or legal basis for granting the petition for re-hearing.
(b) The petition for re-hearing shall be denied if it only states the permissible grounds for re-hearing contained in Rule 427, unsupported by specific references to the record and an explanation of the petitioner's position.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Editorial correction of printing error in History 1 (Register 94, No. 2).
3. New subsection (a) designator and new subsection (b) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§427.2. Service of Petition for Re-Hearing.
Note     •     History

The Board shall serve copies of the petition for re-hearing on all parties and interveners who have joined in the proceeding at the time that the petition is filed with the Standards Board.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment of section heading and section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§427.3. Re-Hearing.
Note     •     History

(a) If a petition for re-hearing is submitted to the Board in a timely fashion, the Board may;
(1) grant the petition;
(2) affirm the Board initial decision on the variance;
(3) take no action on the petition, in which case it is deemed denied 30 days after receipt by the Board; or
(4) deny the petition and explain its basis for doing so.
(b) If the Board acts under subsection (a)(3), the Board shall notify the Employer of the denial after the 30 days have passed.
(c) If a re-hearing is granted, the Board may review the petition itself,  or refer it to a hearing panel or hearing officer.
(d) The re-hearing may be based on the existing record, or the Board, hearing panel or hearing officer that hears the matter may request that additional testimony and/or written evidence be submitted.
(1) If further hearing is ordered, the Board shall issue a notice of hearing, and the Employer shall comply with the notification requirements contained in Rules 411.2(a)(3) and (b)(3).
(2) If the decision is to be based on the existing record, the Board may decide the matter without notice and without affording the parties further opportunity to testify or submit information.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§427.4. Decision on Petition for Re-Hearing.
Note     •     History

A decision issued on a re-hearing petition, shall be in the same manner and form as prescribed in Rule 426.1.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code.
HISTORY

1. New NOTE filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Amendment filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§428. Modifications to a Permanent Variance.
Note     •     History

(a) A variance is valid only for the Employer to whom it is issued and only for the locations specified in the variance. If an Employer transfers ownership of the business to a different entity, the variance does not transfer to the new Employer.
(b) An Employer must seek to modify a variance if:
(1) the Employer wants to change the terms or conditions of an existing variance;
(2) the Employer wants to acquire the variance from the Employer to whom it was issued; or
(3) the Employer wants to add to or change the locations listed in the existing variance.
(c) Employers seeking to modify a permanent variance must comply with Rules 411-411.2 and must include the docket number of the variance to be modified in the application. An Employer may satisfy 411(b)(3) and (4) by stating that it will comply with the conditions contained in the existing permanent variance that is subject to modification.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Sections 143(d), 143.2 and 6457, Labor Code.
HISTORY

1. New section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26). For prior history, see Register 87, No. 29.
Chapter 4. Division of Industrial Safety
Subchapter 1. Unfired Pressure Vessel Safety Orders

(Originally Printed 4-20-45) 

GENERAL NOTE
These Unfired Pressure Vessel Safety Orders were promulgated and adopted by the Industrial Safety Board for inclusion in Title 8, California Administrative Code, as Safety Regulations as authorized by Division 5, Chapter 3, Section 6500 of the California Labor Code.
It has been determined that certain of these orders are also applicable as Building Standards and those Sections approved by the State Building Standards Commission have been included in Title 24, California Administrative Code. Those regulations that have been designated as Building Standards have been printed in italics.
Article 1. Scope of These Orders
§450. Application of the Unfired Pressure Vessel Safety Orders.
Note     •     History

(a) These Orders apply to places of employment in California, and establish minimum standards for:
(1) The design, construction, and installation of LP-Gas containers, including the storage and handling of LP-Gas. National Fire Protection Association (NFPA) 58, LP-Gas Code, 1998 Edition, is hereby incorporated by reference. Supplementing NFPA 58 are these Safety Orders, beginning with Sections 470 through 494, which are determined necessary for the protection of the safety and health of employees.
(2) The design and construction of all other non-LP-Gas unfired pressure vessels.
(3) The installation, use, repair, and alteration of air tanks, LP-Gas and NH3 tanks and systems.
(4) The inspection of and issuance of permits to operate for air and LP-Gas tanks.
(5) The design, construction, installation, use, repair, and alteration of pressure vessels for the storage and dispensing of natural gas as a motor fuel, except in vehicles that are licensed to travel on highways.
(6) The design, construction, repair and alteration of LNG, LPG and NH3 storage tanks for operation at 15 psig or less.
(b) After the date on which these Orders become effective, all installations and equipment shall conform to these Orders, except as noted in Section 451.

Exception: Existing installations and equipment which were and remain in compliance with the Safety Orders, or variances therefrom, in effect at the time of manufacture or installation.
(c) When any provision of these Safety Orders conflicts with NFPA 58 and is more stringent than the corresponding Section of NFPA 58, the Safety Order shall take precedence.
NOTE

Authority cited: Section 142.3 Labor Code; and Section 13241, Health and Safety Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Subchapter 1 and new Subchapter 1 (T8-450 through T8-467, 470 through T8-485, 488 through 494, T8-500 through T8-513, and T8-550) filed 7-17-70; effective thirtieth day thereafter (Register 70, No. 29). Approved by State Building Standards Commission 6-26-70. For prior history, see Registers 58, No. 38; 64, No. 9; and 68, No. 38.
2. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
3. Amendment of subsection (a) filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
4. Repealer of subsection (b) and new subsection (b) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
5. Amendment of subsection (b) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
6. New subsection (a)(6) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
7. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
8. Amendment of section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
9. Amendment of subsections (a)(1) and (a)(6)-(c) filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
§451. Unfired Pressure Vessels Not Subject to These Safety Orders.
Note     •     History

(a) Pressure vessels that are under the jurisdiction and inspection of the United States Government or are specifically exempted by the Labor Code.
(b) Pressure vessels subject to an internal or external pressure of not more than 15 psig except for those listed in Section 450(a)(5), with no limitation on size, and vessels having an inside diameter not exceeding 6 inches with no limitation on pressure. However, vessels excluded in this section shall be designed and constructed in accordance with recognized standards when applicable, or in accordance with good engineering practices for pressure vessel design using a factor of safety of at least 4, and shall be fitted with necessary controls and safety devices to permit safe operation.
(c) Natural gas vessels and installations and air brake tanks subject to the jurisdiction and inspection of the Public Utilities Commission, the Department of Transportation, or the Department of the California Highway Patrol, except as provided in Article 7 of these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7624, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsection (c) filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
3. Amendment of subsection (b) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
4. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
5. Amendment of Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
6. Amendment of subsection (c) filed 9-25-2002 as an emergency; operative 9-25-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2003 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-2002 order, including further amendment of subsection (c), transmitted to OAL 1-17-2003 and filed 2-24-2003 (Register 2003, No. 9).
§452. Variances.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
2. Repealer filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
§453. Definitions.
Note     •     History

The following definitions shall apply in the application and interpretation of these Orders. 
For definitions directly relevant to LP-Gas, see 1998 Edition of NFPA 58, Section 1-6.
49 CFR: Title 49, Code of Federal Regulations, Parts 100-199.
Acceptable: Capable of performing the particular function specified in the Order with safety. 
Air Brake Tank: An air tank 10 inches or less in diameter, having a capacity of 1 1/2 cubic feet or less, and operating at 150 psig or less, and used exclusively to supply air to the braking systems of automotive vehicles and other air-operated auxiliaries used in the operation of such vehicles. The 150 psig limitation need not apply to tanks less than 6 inches in inside diameter. 
Air Tank: A pressure vessel used for the storage or accumulation of air under pressure. This definition is not intended to include utilization equipment, including such devices as grease tanks, fire extinguishers, paint sprayers, etc., where the tank is partly filled with a product and the air pressure is used only for a cushion or to eject the product from the tank, or such devices as strainers, scrubbers, separators, etc., that are a part of the piping system. 
Alteration: A change in any item described on the original Manufacturer's Data Report which affects the pressure capability of the pressure vessel. 
ANSI Standards: Standards approved by the American National Standards Institute, Inc.
(A) Chemical Plant and Petroleum Refinery Piping, ANSI B31.3 (except non-metallic pipe such as plastic is not acceptable unless permitted by specific safety orders). 
(B) Refrigeration Piping, ANSI B31.5. 
Applicator Tank: A service tank used in agriculture for applying anhydrous ammonia to the soil, or for other agricultural uses. 
Approved: See Section 3206, General Industry Safety Order.
Appurtenance: A device installed on and used in the normal operation of the vessel. This includes, but is not limited to, safety relief devices, liquid level gauging devices, valves, and pressure gauges. 
Artificial Heat: Any heat other than solar or atmospheric heat.
ASME Code: The American Society of Mechanical Engineers' Boiler and Pressure Vessel Code. 
(1) Power Boilers, Section I. 
(2) Materials Specifications, Section II. 
(3) Nuclear Power Plant Components, Section III, Division 1 and 2.
(4) Heating Boilers, Section IV. 
(5) Non-destructive Examination, Section V. 
(6) Recommended Rules for Care and Operation of Heating Boilers, Section VI. 
(7) Recommended Rules for Care of Power Boilers, Section VII. 
(8) Pressure Vessels, Section VIII, Division 1 and 2. 
(9) Welding and Brazing Qualifications, Section IX. 
(10) Fiberglass-Reinforced Plastic Pressure Vessels, Section X.
(11) Rules for Inservice Inspection of Nuclear Power Plant Components, Section XI. 
(12) Power Piping, ASME B31.1 (except non-metallic pipe such as plastic is not acceptable unless permitted by specific safety orders).
(13) Pressure Vessel for Human Occupancy (PVHO), Safety Standard for Pressure Vessels for Human Occupancy.
ASTM: American Society for Testing Materials. 
Brittle Failure: A pipe failure mode which exhibits no visible (to the naked eye) material deformation (stretching, elongation, or necking down) in the area of the break.
Bulk Plant: 
NH3, CNG, and LNG: An installation other than a dispensing unit, used to store the product for further transfer. 
Bulk Storage: Storage in vessels other than DOT cylinders. 
California Standard Tank: A tank built in accordance with the requirements for California standard tanks as set forth in the Air Pressure Tank Safety Orders in force at the time the tank was constructed. 
Capacity: The gross capacity of a pressure vessel in U.S. Gallons. See “Water Capacity.” 
Certificate of Competency: Certification issued by the Division to persons who have satisfactorily passed the written boiler and pressure vessel inspector's examination prescribed by the Division. 
Certificate of Resale Inspection: A certificate issued after a resale inspection and designating the maximum allowable working pressure for the tank when it is installed in compliance with these Orders. This certificate is not a permit to operate. This certificate shall expire not more than 5 years from date of inspection or when the tank is returned to service, whichever occurs first. 
Certified Inspector: A person holding a valid certificate of competency issued by the Division in accordance with the Boiler and Fired Pressure Vessel Safety Orders. 
CNG: Compressed natural gas. Natural gas that has been compressed for storage in containers. 
Container Assembly: An assembly consisting essentially of the container and fittings for all container openings, including shutoff valves, excess flow valves, liquid-level gauging devices, safety relief devices, and protective housing. 
Container: Any vessel, including tanks, cylinders, tubes, portable tanks and cargo tanks, used for transporting or storing any liquid or gas.
Dike: A concrete, metal, or compacted earth structure used to confine an accidental spill within an impounding area. 
Dispensing Unit: 
Natural Gas: A stationary natural gas installation other than a bulk plant from which CNG or LNG is dispensed into fuel tanks or portable cylinders from a storage tank, bank of cylinders, compressor, or a distribution gas pipeline. 
Division: Division of Occupational Safety and Health.
DOT Service: Service in which a pressure vessel is used, inspected and maintained in accordance with DOT regulations. 
DOT Specifications: Regulations of the Federal Department of Transportation published in 49 CFR Parts 100-199. 
Ductile Failure: A pipe failure mode which exhibits material deformation (stretching, elongation, or necking down) in the area of the break.
Ductile Plastic Materials: Plastic materials able to withstand external impact from both blunt and sharp objects, while charged with compressed gas under the full rated pressure of the piping system, without brittle failure.
Existing Installations: All pressure vessels installed in California prior to the adoption date of these Orders and in compliance with applicable Safety Orders of the Division in effect at that time and that have not changed ownership and location since the adoption date of these Orders.
External Inspection: An inspection of all visible external surfaces and appurtenances of an installed pressure vessel. 
Farm Cart: A vehicle for use on a farm on which is mounted a container of not over 1,200 gallons water capacity.
Field Inspection: An internal and/or external inspection of installed pressure vessels. 
Fill, Filling:
(A) Filled by Pressure: A means of filling a pressure vessel whereby the quantity of compressed gas in the vessel at normal temperature is determined by a pressure gauge or gauges. 
(B) Filled by Volume: A means of filling a tank or cylinder whereby the volume of liquid in the vessel is determined by measuring the liquid level.
(C) Filled by Weight: A means of filling a tank or cylinder whereby the amount of the product in the vessel is determined by weight. 
Flammable Gas: A flammable gas is one with either of the following properties: 
(A) At atmospheric pressure and temperature forms a flammable mixture with air when present at a concentration of 13 percent or less (by volume) or which forms a range of flammable mixtures with air wider than 12 percent regardless of the lower limit, or 
(B) projects a flame more than 18 inches beyond the ignition source with valve opened fully, or the flame flashes back and burns at the valve with any degree of valve opening, when tested in the Bureau of Explosives' Flame Projection Apparatus.
Flammable Liquid: A flammable liquid is one that has a flash point above 20 degrees Fahrenheit to and including 80 degrees Fahrenheit as determined by Tagliabue's Open-Cup-Method. When the flash point is 20 degrees Fahrenheit or less it is termed an Extremely Flammable Liquid. 
Gas: A form of matter having extreme molecular mobility and capable of diffusing and expanding rapidly in all directions.
Gas-Air Mixer: A device, or system of piping and controls, which mixes LNG vapor with air to produce a mixed gas of a lower heating value than the LNG.
GISO: Title 8, California Code of Regulations, Chapter 4, Subchapter 7, The General Industry Safety Orders. 
Hazardous: A substance or circumstance which by reason of being explosive, flammable, poisonous, corrosive, oxidizing, or otherwise harmful is likely to cause injury. 
Important Building: A building in which there may be a source of ignition under normal operating conditions. 
Impounding Area: An area used to contain an accidental liquid spill through the use of dikes and/or topography. 
Installation. 
(A) CNG and LNG: Includes natural gas pressure vessels, liquefiers, pumps, compressors and all attached valves, piping and appurtenances affecting the safety of the employment or place of employment. When filling directly from distribution lines by means of a compressor, the installation includes the compressor and all piping and piping components beyond the shutoff valve between the distribution system and the compressor. 
(B) NH3: Includes the pressure vessel and all attached valves and other appurtenances affecting the safety of the employment or place of employment. 
Labeled: See “Approved.”
Listed: See “Approved.” 
LNG: Liquefied Natural Gas. A fluid in the liquid state composed predominantly of methane and which may contain minor quantities of ethane, propane, nitrogen, or other components normally found in natural gas and in a cryogenic state.
Maximum Allowable Working Pressure: The pressure for which a tank was constructed, or if conditions have changed, the maximum pressure permitted at the last inspection by a certified inspector or qualified safety engineer.
Maximum Filling Density: The percent ratio of the weight of gas in the tank to the weight of water that the tank will hold. For determining the water capacity of the tank in pounds, the weight of a gallon (231 cubic inches) of water at 60 degrees Fahrenheit in air shall be 8.32828 pounds.
Metallic Hose: A hose in which the strength of the hose depends primarily upon the strength of metallic parts but it may have non-metallic liners and/or covers. 
Mobile Fuel Tank: A vessel mounted on a vehicle or other readily portable device and used only to supply fuel to an internal-combustion engine or other equipment secured to the vehicle or device. 
Mobile Storage Module: Assembly of a multiple number of tubes securely fastened within a framework structure and used in DOT service.
Mobile Storage Tank, MST: A tank installed on a trailer or semitrailer, and used temporarily to receive and store anhydrous ammonia. “Temporarily” means not more than 120 days. 
Motor Fuel Tank: See Mobile Fuel Tank. 
Natural Gas: Naturally occurring mixtures of hydrocarbon gases and vapors consisting principally of methane, either in gaseous or liquid form. 
New Installations: All pressure vessels, other than existing installations, installed or reinstalled in a new location after the effective date of these Orders. 
NH3: The chemical notation of anhydrous ammonia, a chemical compound composed of nitrogen and hydrogen. It is normally stored and transported as a liquid under pressure. However, in some large storage facilities it is refrigerated and stored at atmospheric pressure. 
Nurse Tank: A tank used in agriculture for off-highway service to deliver NH3 from a transportation tank or storage tank to an applicator tank in the field. 
Outage: That space required to be left in the vessel to provide for expansion of the liquid by an increase of temperature. For LNG outage is that space required to be left in vessels filled by volume to provide for separation of the vapors resulting from boil-off of the liquid and also to provide for the expansion of the liquid with increase of temperature. 
Poison: A substance which when taken in small quantities or low concentrations by mouth, inhaled, or absorbed through the skin rapidly jeopardizes life by other than mechanical or physical action. 
Portable Air Tank: An air tank mounted with an air compressor on a towed vehicle. 
Portable LNG Tank: A service tank not exceeding 2,000-gallon water capacity used to transport LNG. 
Portable NH3 Tank: A service tank not exceeding 1200-gallons capacity used to transport anhydrous ammonia. 
Pressure Vessel: An unfired container, including cylinders, used for the storage or accumulation of any gas or liquid under pressure. This definition is not intended to include pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses. 
Property Line: A line, imaginary or otherwise, separating a property from adjoining property of public or private ownership. 
Pull Away Device: A device installed and anchored so that any tension exceeding the manufacturer's rating on the hose will cause the device to separate and prevent the LP-Gas to escape from both the upstream and downstream lines.
Qualified Person, Attendant, or Operator. A person designated by an employer who by reason of training and experience has demonstrated the ability to safely perform his/her duties and, where required, is properly licensed in accordance with federal, state or local laws and regulations. Reference G.I.S.O. 3207.
Qualified Inspector: Either a certified inspector or a qualified safety engineer. 
Qualified Safety Engineer: A person who is qualified to make inspections or examinations of boilers or tanks according to the rules under which the vessel was constructed, and who holds a valid certificate of competency issued by the Division. 
Receiving Vessel: A tank or cylinder into which a product is being charged. 
Resale Inspection: The inspection of any used vessel to determine its allowable working pressure when reinstalled in accordance with these Orders. 
Respiratory Protective Device (RPD): A breathing device designed to protect the wearer from a hazardous atmosphere. 
SAE: Society of Automotive Engineers. 
Second-hand Pressure Vessel: A used pressure vessel that has changed both ownership and location. 
Service Valve: A valve connected directly to a vessel outlet not larger than 3/4-inch pipe size and having an inlet diameter not exceeding the internal diameter of 1/2-inch Schedule 80 pipe for applications other than LP-Gas.
Shop Inspection: Inspection of tanks in a fabricator's shop, or at the job site during erection, as required by the ASME Code. 
Standard Dimension Ratios (SDR): A specific ratio of the average specified outside diameter to the minimum specified wall thickness (Do/t) for outside diameter-controlled plastic pipe, the value of which is derived by adding one to the pertinent number selected from the ANSI Preferred Number Series 10 contained in American Society for Testing and Materials (ASTM) Designation No. F412-87a (1987), Standard Definitions of Terms Relating to Plastic Piping Systems which is herein incorporated by reference.
Storage Tank: A tank permanently located and used to store a product or to supply a product to utilization equipment. 
Suitable: See “Acceptable.”
Surge Tank: See “Gas-Air Mixer.”
Systems: An assembly of equipment and appurtenances consisting essentially of the container or containers, major devices such as vaporizers, safety relief valves, excess flow valves, regulators, and connecting piping. 
Tank: A container, other than a cylinder in DOT service, used for the storage or accumulation of any liquid or gas under pressure. This definition is not intended to include pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses. 
Transportation Tank: A tank permanently installed on a truck, trailer, or semi-trailer used to transport a product over the highway. 
Trap Tank (Trap Wagon): A tank mounted on wheels for off-highway use and having a capacity of 1200 gallons or less and used to transport LP-Gas from a storage tank to a mobile fuel tank. 
Tube: A hollow product of round or any other cross-section having a continuous periphery.
Note: For CNG service, a tube is a seamless, cylindrical-shaped pressure container used in DOT service such as transport trailers.
UM: Unfired Miniature, as Defined in ASME Code Section VIII, Division 1. 
Vapor Pressure: The pressure of the vapor (psig) in equilibrium with the liquid at a temperature of 100 degrees Fahrenheit. 
Vaporizers: 
LNG Vaporizer: A device used to convert LNG from the liquid to the gaseous state by means of artificial or atmospheric heat. 
Ventilation-Adequate: When specified for the prevention of fire during normal operation, ventilation shall be considered adequate when the concentration of the gas in a gas-air mixture does not exceed 25 percent of the lower flammable limit.
Volumetric Filling: The amount of water, in either lb. or gal., at 60oF (15.6oC) required to fill a container full of water.
Weight FIlling: See “Filled by Weight.”
WOG: Water, oil, or gas rating (as applied to valves and fittings). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7622, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50). 
2. Amendment filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13). 
3. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45). 
4. Amendment filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51). 
5. Amendment filed 6-15-79; effective thirtieth day thereafter (Register 79, No. 24). 
6. Amendment filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42). 
7. Amendment of subsection (a) filed 4-13-82; effective thirtieth day thereafter (Register 82, No. 16). 
8. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4). 
9. Amendment filed 2-15-90; operative 3-17-90 (Register 90, No. 8). 
10. New definitions for “Brittle Failure,” “Ductile Failure,” “Ductile Plastic Materials” and “Standard Dimension Ratios” filed 4-8-92; operative 5-8-92 (Register 92, No. 18).
11. Amendment of section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
12. Amendment of first two paragraphs filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
Article 2. Design and Construction
§454. Design and Construction of Air Tanks.
Note     •     History

(a) Except as permitted in Section 454 (b) all air tanks for new installations shall be constructed, inspected and stamped in compliance with the ASME Code (unless the design, material, and construction of the air tank are accepted by the Division as equivalent to the ASME Code) and, except for “UM” vessels, registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new air tanks or on nameplates attached thereto shall show the head and shell thickness in addition to the stamping required by the ASME Code.
(b) Air tanks used for self-contained breathing apparatus may be constructed in accordance with the ASME Code or DOT specifications provided they are inspected and maintained as required by DOT specifications and do not exceed a volumetric capacity of 1 cubic foot.
(c) The allowable working pressure of any existing air tank shall be determined by the provisions of the ASME Code effective when the tank was manufactured and upon its condition; provided, however, that tanks constructed to other than ASME Code standards for air pressure service shall be calculated with a factor of safety of not less than 5.
(d) Air brake tanks shall be constructed in accordance with the ASME Code or SAE standard J-10b, 1981 Edition.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsection (a) filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
3. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
§455. Design and Construction of CNG and LNG Tanks.
Note     •     History

(a) All CNG and LNG tanks for new installations over 15 psig shall be constructed, inspected, and stamped in compliance with the ASME Code (unless the design, material, and construction of the tank are accepted by the Division as equivalent to the ASME Code) and, except for “UM” vessels, registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new tanks or on nameplates attached thereto shall include, in addition to the stamping required by the ASME Code or the National Board of Boiler and Pressure Vessel Inspectors, the following:
(1) CNG Tanks:
(A) The volumetric capacity in standard cubic feet of natural gas when filled to the limits provided by these regulations.
(B) The words “For CNG.”
(C) The head and shell thicknesses.
(2) LNG Tanks:
(A) The net volumetric capacity in U.S. Gallons.
(B) The words “for LNG.”
(C) The head and shell thicknesses.
(D) The minimum safety relief valve capacity in CFM air. (See 541 (c)(1) and (2)).
(b) Tanks of brazed construction are prohibited.
(c) The outer shell of a double wall cryogenic vessel shall be designed for the full range of pressure and/or vacuum to which it will be subjected, and provide for adequate structural support of the inner tank and insulation under all imposed loadings.
(d) Welding to the shell, head, or any other part of the container subject to internal pressure, shall be done in compliance with the ASME Code under which the tank was fabricated. Other welding is permitted only on saddle plates, lugs, or brackets attached to the container by the tank manufacturer.
(e) All LNG tanks for new installations for low temperature storage at 15 psig or less, shall, as a minimum, be designed, constructed, inspected, and certified in accordance with API “Standard, 620, Recommended Rules for Design and Construction of Large, Welded, Low-Pressure Storage Tanks” and the following additional requirements which will supersede where there is any conflict, or to the ASME Code.
The references following in parentheses refers to specific paragraphs in API 620, 1978 Edition.
(1) The edges of the weld shall merge smoothly with the surface of the plate without a sharp angle. In making fillet welds, the weld metal shall be deposited in such a way that adequate penetration into the base metal at the root of the weld is secured. Although the provisions of 4.13 apply for horizontal butt joints, visible undercuts are not permitted for vertical butt joints. (4.13)
(2) The inspector shall have a valid certificate of competency issued by the Division. (5.02.1)
(3) The manufacturer shall have, and demonstrate, a quality control system to establish that all requirements including material, design, fabrication, examination (by manufacturer) and inspection (by the inspector) will be met. The written description of the quality control system shall, as a minimum, be in accordance with Appendix 10 of ASME Section VIII, Division 1. (5.02.3)
(4) Safety relief device and relieving capacities shall be in accordance with NFPA Pamphlet 59A and Appendix A, 1978 Edition.
(5) The manufacturer's report, or attachments, shall show for inner and outer tanks as a minimum:
(A) Manufacturer's name.
(B) Manufacturer's serial number for the tank.
(C) Nominal capacity.
(D) Design pressure for vapor space at the top.
(E) Design temperature.
(F) Maximum permissible specific gravity of liquid contents to be stored.
(G) Maximum level to which tank may be filled with liquid of that gravity, with full design pressure above the surfaces.
(H) Maximum level to which the tank may be filled with water for test or for purging purposes.
(I) Shell, head and other pressure boundary materials.
(J) Material thicknesses.
(K) Support and attachment materials.
(L) Nozzles, number and diameter.
(M) Year built. (5.27.2)
(6) The openings and/or connections between the tank and the pressure relief devices shall have an area at least equal to the combined areas of all the pressure relief inlets on that connection. The size of any discharge line shall be such that any pressure that may exist or develop will not reduce the relief capacity of the relieving devices below that required to properly protect the vessel. (N.3)
Where stop valves are used between the pressure relief devices and the tank, a written procedure shall be used to govern the use of the valves. Remote indicators shall be provided that will alert operating personnel when the stop valves are not in the fully open position or, alternately, reliable interlocks shall be provided to assure that minimum required relief capacity is always available. (N.8.)
(7) Design calculations shall be certified to be correct and complete by one or more currently registered professional engineers competent in the applicable field of design of LNG storage. The provisions of NFPA Pamphlet 59A, 1975, Section 4-1.3 shall be used for seismic loadings. For public utilities, the provisions of General Order 112(D) of the California Public Utilities Commission shall also be considered for all live loadings including Part III, Subpart B, Sections 193.115, 117 and 119, for seismic loadings, and shall be acceptable to the Commission.
(8) When butt joints are used in outer tanks, they shall be double welded and designed with a joint efficiency of 70% as a minimum in accordance with table UW-12 of ASME Section VIII, Division 1. (Q.6)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of subsection (a) filed 4-1-77; effective thirtieth da thereafter (Register 77, No. 14).
4. Repealer of subsection (e) filed 4-7-81 as an emergency; effective upon filing (Register 81, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-5-81.
5. Certificate of Compliance transmitted to OAL 7-7-81 and filed 8-6-81 (Register 81, No. 32).
6. Amendment of subsections (a)-(g), and renumbering of Section 459 to subsection (h) filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
7. Amendment of section heading, section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§456. Design and Construction of CNG Cylinders.
Note     •     History

All CNG cylinders shall be constructed according to DOT specifications.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
4. Amendment of section heading, section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§457. Design and Construction of LNG Vaporizers.
Note     •     History

(a) LNG Vaporizers:
(1) Vaporizers having a volumetric capacity in excess of 1 U.S. gallon shall be either:
(A) Constructed, inspected and stamped in accordance with the ASME Code unless the design and construction of the vaporizer are accepted by the Division as equivalent to the ASME Code, or;
(B) Fabricated and tested in accordance with ANSI B-31.3 when artificial heat is not used for vaporization and when of welded construction consisting of continuous pipe or tubing and fittings not exceeding 6 inches inside diameter, or;
(C) Made of threaded piping and pipe fittings and built to good engineering practice with a factor of safety of not less than 4, taking into account all imposed loadings.
(2) Vaporizers and any part thereof, including carbureting devices, shall be designed for minimum as well as maximum temperatures and the maximum pressure that can be imposed with a safety factor of at least 4.
(3) Vaporizers having a volumetric capacity in excess of 1 U.S. gallon shall be stamped with the information required by the ASME Code and shall also include:
(A) Head and shell thicknesses.
(B) The words “For LNG.”
(C) Heat exchange surface in square feet.
(D) The vaporizer capacity per hour in U.S. gallons.
(E) Minimum safety relief valve capacity in CFM air. (See Section 540 (c).)
(b) Vaporizers made of pipe or tubing shall have a nominal diameter of 2 inches or less and shall have the information required in (C), (D) and (E) above stamped on a nameplate which shall be permanently attached to the vaporizer. This nameplate shall also show the manufacturer's name, year built and maximum allowable working pressure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
4. Amendment of section heading, repealer of subsections (a)-(a)(5), subsection relettering, and amendment of Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§458. Design and Construction of NH 3  Tanks.
Note     •     History

(a) All NH3 tanks for new installations shall be constructed, inspected, and stamped in compliance with the ASME Code (unless the design, material, and construction of the tank are accepted by the Division as equivalent to the ASME Code) and registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new NH3 tanks or on nameplates attached thereto shall include the following, in addition to the stamping required by the ASME Code:
(1) The head and shell thicknesses.
(2) The gross volumetric capacity in U. S. gallons.
(3) Total outside surface area of the container in square feet.
(b) The allowable working pressure of any existing NH3 tank shall be determined by the provisions of the ASME Code effective when the tank was manufactured and upon its condition determined upon inspection. Containers once installed under ground shall not later be reinstalled above ground unless they successfully withstand hydrostatic pressure retests at the pressure specified for the original hydrostatic test as required by the ASME Code under which constructed and show no evidence of serious corrosion.
(c) Any tank used in refrigeration systems or for the refrigerated storage or transportation of NH3 shall be designed and constructed for an allowable working pressure which takes into consideration the temperature anticipated in the vessel and other appropriate design data.
(d) Except for tanks used in refrigeration systems, any tank used for the unrefrigerated storage, transportation, or utilization of NH3 shall be designed and constructed in accordance with the ASME Code for an allowable working pressure of at least 265 psig.
(e) All cold formed heads of ferrous material used on NH3 tanks shall be heat treated, either before or after welding to the tank, in accordance with paragraph UCS-56 of the ASME Code, regardless of the thickness of the metal when the tanks are to be used for the transportation of anhydrous ammonia or for the storage of anhydrous ammonia.
(f) Portable tanks or cylinders of 25 water gallons water capacity or less, that are transported inside service trucks for servicing NH3 refrigeration systems, shall be built either to the ASME Code or to the DOT specifications but must have a stamped pressure of at least 420 psig.
(g) Spot-radiography, partial radiography or 100% radiography shall be required for all vessels except DOT cylinders.
(h) Nonrefrigerated containers, and system nameplates, when required, shall be permanently attached to the system so as to be readily accessible for inspection and shall be marked as specified in the following:
(1) With the name and address of the supplier of the system or the trade name of the system and with the date of fabrication.
(2) With a notation “Anhydrous Ammonia.”
(3) With marking indicating the maximum level to which the container may be filled with liquid anhydrous ammonia at temperatures between 20o F and 130o F except on containers provided with fixed level indicators, such as fixed length dip tubes, or containers that are filled by weight. Markings shall be in increments of not more than 20o F.
(i) Marking refrigerated containers except in refrigeration plants where ammonia is used solely as a refrigerant. Each refrigerated container shall be marked with a nameplate on the outer covering in an accessible place as specified in the following:
(1) The maximum allowable water level to which the container may be filled for test purposes.
(2) With the density of the product in pounds per cubic foot for which the container was designed.
(3) With the maximum level to which the container may be filled with liquid anhydrous ammonia.
(4) With a notation “Anhydrous Ammonia.”
(j) All NH3 tanks for new installations with a design pressure of 15 psig or less shall be designed, constructed, inspected and certified in accordance with API Standard 620, 1978 Edition, with the additional requirements listed in Section 455(h)(1)-(8) of these Orders, which will supersede where there is any conflict, or they may be built to the ASME Code.
(k) The shell or head thickness of any container shall not be less than three-sixteenth inch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 3-28-75; effective 30th day thereafter (Register 75, No. 13).
3. Amendment of subsection (a) filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
4. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
5. Amendment of subsection (e) filed 9-23-88; operative 10-23-88 (Register 88, No. 40).
§459. Liquefied Natural Gas Tanks. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3). For prior history, see Registers77, No. 14, and 72, No. 50.
2. Renumbering of Section 459 to Section 455(h) filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
§460. Design and Construction of Pressure Vessels for Other Than Compressed Air, LPG, NH 3  and Natural Gas.
Note     •     History

(a) All new pressure vessels for pressures exceeding 15 psig used for the transportation, storage, or use of any poisonous, corrosive, or flammable substance, or other products at temperatures above their boiling points at atmospheric pressures, or in which the pressure is generated by means of a compressor, shall be constructed, inspected, and stamped in compliance with the ASME Code, unless the design, material and construction of the vessel are accepted by the Division as equivalent to the ASME Code. Except for “UM” vessels, all such vessels shall be registered with the National Board of Boiler and Pressure Vessel Inspectors.
(b) All secondhand pressure vessels defined in (a) above shall have been constructed, inspected, and stamped in compliance with the ASME Code (or DOT specifications, if in DOT service) unless the design, material, and construction of the vessel are accepted by the Division as equivalent to the ASME Code.
(c) The allowable working pressure of all existing pressure vessels defined in Section 460(a) shall be calculated in accordance with the ASME Code; or in the case of non-ASME Code pressure vessels, the working pressure shall be determined by the standards of the ASME Code with a factor of safety of not less than 4.
(d) All pressure vessels not otherwise covered herein shall be designed and constructed in accordance with the ASME Code or in accordance with good engineering practice for the pressure and service in which they are to be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3). For prior history, see Register 78, No. 13.
2. Editorial correction of History No. 1 (Register 81, No. 8).
3. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
Article 3. Air Tanks
§461. Permits to Operate.
Note     •     History

(a) Except during the time that a request for a permit remains unacted upon or as permitted in Section 461 (f), no air tank shall be operated unless a permit to operate has been issued.
(b) Except during the time that a request for a permit remains unacted upon, every person owning or having the custody, management, or operation of an air tank which requires a permit to operate who operates it without a permit is guilty of a misdemeanor. Operating an air tank without a permit constitutes a separate offense for each day that it is so operated.
(c) The permit shall be posted under glass in a conspicuous place on or near the air tank or in a weatherproof container secured to the unit, and shall be available at all times to any qualified inspector.
(d) Except as provided in Subsection 461(h), the permit for portable air tanks shall expire not more than three years from the date of inspection and for all other air tanks not more than 5 years from the date of inspection or upon the alteration of, or damage to, the air tank or installation, or upon change of ownership and location, whichever occurs first.
Note: The permit shall not expire upon change of ownership and location for portable tanks.
(e) A temporary permit to operate may be issued for not more than 30 days to allow a reasonable time for required changes to be made.
(f) Air tanks having a volume of 1 1/2 cubic feet or less which have safety valves set to open at not more than 150 psi do not require permits to operate, but shall comply with all other provisions of these Orders, including construction. Air tanks used for self-contained breathing apparatus and having a volumetric capacity of 1 cubic foot or less and constructed, inspected, and maintained in accordance with DOT regulations do not require permits to operate.
(g) No person, firm, or company shall rent or offer for rent for use in a place of employment any air tank requiring a permit to operate unless the required permit has been issued by or in behalf of the Division.
(h) Air tanks subject to a maximum allowable working pressure not exceeding 150 psi., as shown by the required code marking, and having a volume of 25 cubic feet or less shall be inspected when placed into service. An indefinite permit shall be issued provided that the tank has been constructed, inspected and stamped in compliance with the ASME Code, or the design, material, and construction of the tank is accepted by the Division as equivalent to the ASME Code and the tank is in compliance with the applicable provisions of these orders. A new inspection and permit for operation shall be required whenever there is a change of ownership and permanent location of the tank or there is an alteration or change in the tank which affects the tank's safety.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7681 and 7683, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsection (d) and new subsection (h) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§462. Field Inspections and Reports.
Note     •     History

(a) All air tanks requiring a permit to operate shall be inspected internally and externally at least once every 3 years for portable tanks and once every 5 years for all other tanks by a qualified inspector.
This subsection shall not be applicable for air tanks which fulfill the requirements for an indefinite permit as provided in Section 461(h).

Exception: The internal inspection of tanks less than 2 years old may be waived at the discretion of the inspector, provided all other requirements of Section 462(c) are met.
(1) Ultrasonic thickness determination shall be permitted in lieu of, or in conjunction with, internal inspection for air tanks of 36” diameter or less. Thickness determinations shall be made in at least eight areas: two on each head and two on both the top (upper) and bottom (lower) portions of the shell.
Thickness determinations indicating significant reduction in the material thickness over a general area (National Board Inspection Code Par. U-107 may be used as a guide) shall be shown on the inspection report as well as the calculations for the reduction in the allowable working pressure.
The qualified inspector's employer shall be responsible for the inspector's or ultrasonic examiner's competency in the use of the ultrasonic thickness gage, and the examiner's signed report shall be attached to the qualified inspector's inspection report.
(2) Air tanks shall be installed so that all drains, handholes, inspection plugs and manholes therein are easily accessible. Air tanks shall be supported with sufficient clearance to permit a complete external inspection and to avoid corrosion of external surfaces. Under no circumstances shall an air tank be buried underground or located in an inaccessible place.
(b) The owner or user of any air tank shall prepare it for inspection and make provisions to permit the required inspections to be made safely when requested to do so by the Division or a qualified inspector.
(1) Preparation for an internal inspection shall include the removal of such inspection plugs or plates as are deemed necessary by the qualified inspector.
(2) The qualified inspector shall decide whether a hydrostatic pressure test is necessary and if it is ordered, the owner or user shall make the necessary preparations for such tests by blanking off connections and filling the tanks with water and pressurizing the tank.
(3) If the owner or user finds the date set for inspection not convenient, the owner or user shall immediately ask the Division for a postponement and give good cause,in which case the inspection shall be permitted to be postponed for a period of not more than 30 days from the date first set for inspection.
(c) All air tanks subject to inspection under these Orders and regularly inspected by qualified inspectors not employed by the Division shall be exempt from periodic inspection by the Division if the tanks and systems conform to these Safety Orders and:
(1) Reports of all air tank inspections are submitted to the Division within 21 days of inspection;
(2) Reports indicate whether internal inspection or external inspection under pressure, or both, have been made.
(3) Reports give the reasons for any refusal to issue a permit and for any change in the allowable working pressure;
(4) Reports specify in detail the condition of the air tank and any changes or repairs ordered. If changes or repairs are ordered, a written report shall be furnished to the owner or user of the tank by the inspecting agency.
(d) Permits shall be issued only if tanks and systems comply in all respects with these orders and all inspection fees are paid.
(e) Qualified inspectors employed by insurance companies shall immediately notify the Division of the name of the owner or user, as shown on the permit to operate, the location and state serial number of every air tank on which insurance has been refused, canceled or discontinued, and shall give the reasons why.
(f) Qualified inspectors employed by other than insurance companies shall immediately notify the Division of the name of the owner or user and the location and state serial number of every tank inspected by them which is removed from active service or which is considered unsafe for further service as an air tank, and shall give the reasons why.
Note: Nothing in these order shall prevent a qualified safety engineer employed by the Division from inspecting any tank. However, no inspection fee shall be charged by the Division where the required inspection has been made and the provisions of subsection (c) above have been met.
(g) Qualified inspectors making the first field inspection of air tanks required by these Orders to have a permit to operate shall stamp on the tank a State serial number (unless a State serial number has previously been stamped thereon) which shall become a permanent means of identification. This assigned number shall be made either by steel die figures not less than 5/16 inch in height, or outlined by means of center punch dots with figures not less than 3/4 inch in height, and shall be stamped adjacent to the manufacturer's ASME Code stamping or above an inspection opening if the ASME Code stamping is not accessible.
(h) No state serial number or ASME Code stamping shall be permanently covered by insulating or other material unless such number and stamping is transferred to a fixed plate readily visible outside of all insulating material.
(i) Whenever the condition of an air tank is such as to make it unfit for air pressure service, a qualified safety engineer employed by the Division may affix a rejection mark

View Graphic
consisting of an “x” at least 1 inch in height with a circle at least 1/2 inch in diameter located between the upper arms of the “x.” The rejection mark shall be outlined in center punch marks and located immediately above or adjacent to the state serial number.
(j) All air tanks shall have inspection openings in compliance with the ASME Code. When inspection openings are not provided, the owner or user shall provide such openings, one (1) in each head or in the shell near each head and approximately opposite the longitudinal seam, as follows:
(1) Tanks 12 inches or less in inside diameter shall have at least two threaded openings not less than 3/4 inch pipe size.
(2) Tanks less than 18 inches and more than 12 inches in inside diameter shall have at least two handholes or two plugged, threaded openings not less than 1 1/2 inch pipe size.
(3) Tanks 18 inches to and including 36 inches in inside diameter shall have a manhole or at least two handholes or two plugged, threaded inspection openings not less than 2-inch pipe size.
(4) Tanks exceeding 36 inches in inside diameter shall have a manhole, except those whose shape or use makes a manhole impractical; in which case two handholes 4 inches by 6 inches or two openings of equivalent area may be substituted for the manhole opening.
(5) (A) An elliptical manhole shall be not less than 11 inches by 15 inches or 10 inches by 16 inches in size. The inside diameter of a circular manhole shall be not less than 15 inches.
(B) A handhole shall be at least 2 inches by 3 inches in size. It may be larger, depending upon the size of the tank and the location of the opening.
(C) All access and inspection openings shall be designed in accordance with the rules of the ASME Code for openings.
(k) Air tanks used in systems which have had moisture removed to the degree that the air has an atmospheric dew point of -50o F or less, shall not be required to have inspection openings.
(l) Air tanks shall meet and be installed in accordance with the following requirements:
(1) Air tank supports and appurtenances shall be in accordance with Paragraph UG-22 and recommended design practices of Appendix G of Section VIII, Division 1 of the ASME Code with sufficient clearance provided under the tank to allow for operation of the drain valve.
(2)(A) Air compressor units which have a reciprocating compressor and a driving unit over two horsepower mounted on the tank shall be in accordance with the requirements of paragraphs (B) and (C) as follows:
(B) The tank manufacturer's data report shall show the tank and machinery supports provided by the tank manufacturer. When reinforcing pads are used as a means of stress distribution at the legs and/or base plate attachment they shall be designed to minimize regions of high stress concentration and be sealed in such a manner as to inhibit corrosion.
(C) Based on written certification from the vessel manufacturer stating compatibility of the vessel and compressor-driving system, the assembler shall permanently affix a label or apply stamping with letters and figures not less than 5/32 inch in height to the side of the vessel machinery platform showing 462(l )(2) compliance. In those cases where the tank manufacturer is the assembler, this data shall be permitted to be stamped on the ASME Code nameplate, separated from the ASME Code stamping. Upon request of the Qualified Inspector or the Division, design calculations incorporating system dynamics or experimentally obtained test data shall be furnished by the tank manufacturer to verify compliance with this Order.
(D) New air tanks not complying with this subsection shall not have a reciprocating compressor and driving unit mounted on the tank unless the supports are modified to the satisfaction of the Qualified Inspector, and the Division.
(3) All visible undercuts at butt, groove, or fillet welds must be repaired prior to issuance of the permit to operate.
(4) The employer shall notify the Division and the inspection agency before further use in the event of cracking or leaking of the air tank.
(5) If an air tank has cracked because of the compressor mounting or supports, the compressor and driving unit shall be reinstalled separately from the air tank in accordance with the requirements of the applicable Safety Orders, unless the supports are modified to the satisfaction of the Qualified Inspector and the Division. Whenever possible, the reinstallation of the compressor and driving unit shall be in accordance with the recommendations of the original assembler. The reinstallation must be acceptable to the Qualified Inspector.
(m)(1) Air piping shall be in accordance with ANSI B31.1 or B31.3.
(2) All piping from the tank to the first shut-off valve shall be Schedule 80 metallic pipe.
(3) Plastic piping systems may be used for compressed air conveyance above and below ground, when meeting all of the following requirements:
(A) Only ductile plastic materials shall be used.
(B) Only plastic pipe, valves and fittings recommended for use by the manufacturer to convey compressed air shall be used.
(C) Plastic pipe, valves and fittings shall not be used for compressed air systems over 150 psi or temperatures over 140o F.
(D) Plastic piping systems shall be designed, installed, maintained, and operated in full accordance with the manufacturer's specifications and instructions.
(E) All plastic pipe shall be permanently marked continuously, but not to exceed 5-foot intervals, with the following information:
1. Size;
2. Manufacturer's name;
3. Pressure rating at 73o F and 140o F;
4. Material name, specification, ASTM cell classification, batch number, and the date of manufacture;
5. The words “For Compressed Air”; and
6. Either Schedule, “Sch Number”, or Standard Dimension Ratio, “SDR Number”.
(F) All plastic valves and fittings shall be permanently marked with the following:
1. Size;
2. Manufacturer's name or logo;
3. Pressure rating at 73o F; and
4. Material name.
(G) Plastic valves and fittings shall be of the same manufacturer and materials as the pipe.
(H) Only joining compounds meeting or exceeding manufacturer's specifications shall be used when assembling the plastic pipe.
(I) The employer shall use pipe that meets or exceeds the test requirements listed in Appendix C, and upon request, supply the Division written laboratory certification from the manufacturer that the pipe meets or exceeds all test requirements listed in Appendix C of these orders.
(J) The pipe system components, pipe, valves, fittings, and joining compounds shall be designed for the full working pressure of the system for its design life.

Exception: Pipe or tubing under 3/8-inch diameter need not meet these requirements.
(4) Plastic pipe and fittings that do not meet the requirements of subsection (m)(3) may be used in compressed air service, provided that all of the following conditions are satisfied:
(A) Pressure shall be limited to 150 psi, temperature to 120o F, size up to 2-inch diameter pipe size, and wall thickness to Schedule 40 or heavier;
(B) The piping system shall be protected from mechanical damage along its entire length by either location or actual guarding. The guarding shall be of sufficient strength to withstand any anticipated impact. It shall also be capable of containing exploding fragments; and
(C) The piping system shall be supported and secured by U bolts, conduit supports, rigid hangers or similar methods at intervals not to exceed five (5) feet.
(n) Any air tank having dished heads or conical heads the skirt (flange) and/or the knuckle radius of which does not meet the minimum ASME Code requirements shall have such heads stayed as flat surfaces in accordance with the ASME Code rules for braced and stayed flat plates. Any head dished to a radius greater than the diameter of the tank to which it is attached shall be stayed as a flat surface in accordance with the ASME Code rules for braced and stayed flat plates. No allowance shall be taken in such calculations for the curved portion of the head.
(o) All air tanks, including existing installations, having unstayed dished heads without a transition knuckle for attachment to the shell shall be permanently removed from service with the rejection mark affixed by the qualified inspector, as required in Section 462 (i).
(p) The bottom dished head of an air tank operated in the vertical position shall not be dished inward but must be concave to pressure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7650 and 7681, Labor Code.
HISTORY

1. Repealer and new subsection (m) filed 2-8-78; effective thirtieth day thereafter (Register 78, No. 6). For prior history, see Register 77, No. 26.
2. Amendment of subsection (m) filed 3-10-78 as an emergency; effective upon filing (Register 78, No. 6).
3. Amendment of subsection (m) refiled 6-2-78 as an emergency; effective upon filing. Certificate of Compliance included (Register 78, No. 22).
4. Amendment of subsection (m) filed 12-4-78 as an emergency; effective upon filing (Register 78, No. 49).
5. Certificate of Compliance filed 3-23-79 (Register 79, No. 12).
6. Amendment of subsections (a) and (m) filed 6-15-79; effective thirtieth day thereafter (Register 79, No. 24).
7. Amendment of subsection (a) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
8. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
9. Amendment of subsections (k) and (m) filed 4-8-92; operative 5-8-92 (Register 92, No. 18).
§463. Certification of Inspectors.
History

Inspectors shall be certified in accordance with Section 779 of the Boiler and Fired Pressure Vessel Safety Orders.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
§464. Air Tank Inspection Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13). For history of former section, see Register 77, No. 49.
2. Repealer filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
§465. Safety Devices and Systems.
Note     •     History

(a) Each air tank shall be protected by 1 or more safety valves and other indicating and controlling devices that will insure safe operation of the tank. If the tank has a volumetric capacity in excess of 2,000 gallons, it shall be fitted with at least 2 safety valves, the smallest of which shall have a relieving capacity of at least 50 percent of the relieving capacity of the largest valve.
(b) Safety relief valves shall:
(1) Be constructed and installed in accordance with ASME Boiler and Pressure Vessel Code, Section VIII.
(2) Be located and installed so that they cannot be readily rendered inoperative.
(A) No valve of any description shall be placed between the required safety valve or rupture disc and the air tank.
(B) The opening or connection between the tank and safety valve or valves shall have a cross-sectional area at least equal to the combined areas of all attached safety valve inlets.
(3) Be of the direct spring-loaded type. The springs shall not be adjusted to carry more than: 10 percent greater pressure than the set pressure stamped on the valve up to and including 250 psig; or 5 percent greater pressure than the set pressure stamped on the valve above 250 psig.
(A) For pressures of 2000 psig or less safety valves shall be equipped with a substantial lifting device so that the disc can be easily lifted from its seat not less than 1/8 the diameter of the seat when the pressure in the tank is 75 percent of that at which the safety valve is set to open.
(B) For pressures exceeding 2000 psig: the lifting device may be omitted providing the valve is removed for testing at least once each year and a record kept of this test and made available to the qualified inspector; acceptable rupture discs may be used in lieu of safety valves provided they are in compliance with Section 465 (b) (2), (4) and (5).
(4) Be set to open at not more than the allowable working pressure of the tank.
(5) Have a relieving capacity sufficient to prevent a rise of pressure in the tank of more than 10 percent above the allowable working pressure when all connected compressors are operating with all unloading devices rendered inoperative.
(6) When exposed to a temperature of 32 degrees Fahrenheit or less, have a suitable drain at the lowest point where water can collect.
(7) Not have seats or discs of cast iron.
(8) Be tested frequently and at regular intervals to determine whether they are in good operating condition.
(c) Discharge pipes from safety valves and rupture discs installed on air tanks shall:
(1) Have a cross-sectional area at least equal to the combined outlet areas of all valves discharging into them.
(2) Be designed and installed so that there will be no interference with the proper operation or discharge capacity of the safety valve or rupture disc.
(3) Have no valve of any description.
(4) Be fitted with open drains which will prevent the accumulation of liquid above the safety valve or rupture disc.
(5) Be installed and supported in a manner that will prevent undue stresses on the safety valve or rupture disc.
(6) Be led to a safe place of discharge.
(d) Each air tank shall be equipped with a suitable pressure-indicating gage with the dial graduated to approximately double the operating pressure, but in no case less than 1.2 times the pressure at which the safety-relieving device is set to function.
(e) Each air tank shall be equipped with a manually operated, valved drain located at the lowest point where water can collect. The valve for this drain shall be suitably located for convenient operation. Automatic drains shall not be considered as complying with this order unless also equipped with a manually operated by-pass.
Note: It is recommended that each air tank be completely drained of accumulated moisture at least once during each day of operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsection (a) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
3. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
§466. Repairs and Alterations.
Note     •     History

(a) No alteration or repair affecting the safety of any air tank covered by these Orders shall be made without the authorization of a qualified inspector.
(b) Any air tank which has suffered mechanical damage causing dents or other deformations exceeding a depth of 1 1/2 times the thickness of the deformed head or shell or two percent of the tank diameter, whichever is greater, shall be properly re-formed to its original shape or otherwise repaired as provided in these Orders. Deformations less than these amounts located in areas of high stress concentration and/or having abrupt changes in configuration may be required to be reformed to their original shape at the discretion of the qualified inspector.
(c) Any areas that are deteriorated by internal or external corrosion or by mechanical abrasion that affects the safety of the tank shall be properly repaired or the allowable working pressure shall be reduced proportionately. The building up by welding of such area is prohibited, except isolated pits shall be permitted to be properly prepared and welded at the discretion of the qualified inspector.
(d) No welded repair shall be permitted on a tank of brazed construction. If inspection openings are required in such tanks, they may be machine-cut and closed with handhole plates.
(e) Any welding necessary when making major repairs or alterations to tanks shall be done by a welder qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair or alteration.
(1) When minor welding repairs or alterations, such as closing openings not exceeding 2 inch pipe size, installing reinforcing rings around handhole openings, installing staybolts or through stays, etc., are made by a welder who is not ASME qualified, these repairs or alterations shall be authorized and approved by a qualified inspector.
(f) The qualified inspector who authorizes any welded repair or alteration shall report it to the Division within 21 days, giving full details, including the State serial number of the tank, the name and address of the owner or user, the location of the tank, and the name and address of the welder and the welder's employer.
(1) The qualified inspector shall stamp his/her certificate of competency number adjacent to all welded repairs authorized.
(g) If the longitudinal seam of any non-code air tank of welded construction is found to have incomplete penetration of the welded joint, the tank shall not be repaired. Such tanks shall be permanently removed from service, with the rejection mark affixed by the qualified inspector, as required in Section 462(i).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
Article 4. Pressure Vessels Other Than Air Tanks, LPG, NH 3  and CNG or LNG Tanks
§467. Controls.
Note     •     History

(a) Any pressure vessel not specifically covered or exempted elsewhere in these Orders shall be protected by one or more safety valves or rupture discs set to open at not more than the allowable working pressure of the vessel and by such other controlling and indicating devices as are necessary to insure safe operation of the pressure vessel.
(b) The owner or user of any pressure vessel not specifically covered or exempted elsewhere in these Orders shall provide such inspection and maintenance as is necessary to insure safe operation of the pressure vessel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 1-5-88; operative 2-4-88 (Register 88, No. 4).
Article 5. LP-Gas Systems
The provisions of Article 5 need not apply to liquefied petroleum gas installations up to the point of delivery to a transportation tank in plants manufacturing this product, nor beyond the storage tanks in plants using this product for processing only and not for fuel; provided, however, that tanks used in such plants shall be designed and constructed in accordance with provisions of Article 2, and shall be maintained and operated in accordance with the provisions of Article 4 of these Orders.
§470. Permit to Operate.
Note     •     History

(a) Except during the time a request for a permit remains unacted upon, no employer or employee shall use or cause to be used any pressure vessel for the storage or transportation of LP-Gas without first securing from the Division a permit to operate such container.
Exception: No permit to operate shall be required for pressure vessels of 125 gallons capacity or less or for cylinders used, inspected, and maintained in accordance with DOT regulations.
(b) Permits to operate dispensing units, trap tanks, and skid tanks shall expire in not more than 3 years while the permit to operate transportation tanks, mobile fuel tanks, and storage tanks shall expire in not more than 5 years.
It is intended that failure to maintain the installation in compliance with these Safety Orders will be justification to void the permit and require reinspection.
(c) The permit to operate any tank shall expire when any of the following occurs:
(1) The tank changes both ownership and location.
(2) Alterations are made which affect the safety of the installation.
(3) The tank has suffered mechanical or fire damage.
The permit to operate shall not expire due to the exchange or interchange of approved appurtenances intended for the same purposes.
(d) The permit to operate, or an acceptable copy, shall be kept readily available on the premises upon which the tank is located and shall be available at all times to any qualified inspector. In the case of a transportation or portable tank, the permit may be carried in the cab of the towing vehicle or in a suitable weatherproof container secured to the unit.
(e) No person shall charge LP-Gas into any tank requiring a permit to operate unless the permit to operate has been issued and posted, except where a request for a permit remains unacted upon. Containers shall be filled or used only upon authorization of the owner.
(f) No permit to operate shall be issued for any tank until all provisions of these Orders have been complied with and the required fee has been paid.
(g) Any tank that has been used for the storage or transportation of products other than LP-Gas shall be inspected internally by a qualified inspector at the time of the periodic inspection required by Section 470 (i).
(h) At the time of the first field inspection of each tank requiring a permit to operate, the qualified inspector shall stamp on the tank a state serial number in accordance with Section 462 (h).
(i) Except as permitted in Section 470 (a) each LP-Gas tank shall be inspected in accordance with the intervals shown in Section 470 (b).
(j) Inspectors shall be certified in accordance with Section 463.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (j) filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsection (e) filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of subsections (a), (b) and (c)(3) and  new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§471. Control of Products in Tanks and Cylinders.
Note     •     History

(a) No LP-Gas shall be transported or delivered into any vessel covered by these Orders until first odorized using a warning agent of such character that the gases are detectable, by a distinct odor, down to a concentration in air of not over one-fifth the lower limit of flammability.

Exception: When the LP-Gas is to be used exclusively in a process where the presence of an odorant would make the LP-Gas unfit for use in the process and for deliveries between refineries or between producing wells and refineries, a waiver may be obtained from the Division upon written request.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of section, including repealer of figure 1, and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
3. Repealer and new section filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
§472. Charging LP-Gas Containers.
Note     •     History

(a) Air pressure shall not be used to displace LP-Gas during the transfer operation.
(b) All filling connections shall be kept effectively plugged or capped when not in use. These caps or plugs shall be so designed that they will vent to the atmosphere while at least 3 full threads are engaged.
(c) An accessible 24-hour communication service shall be required for self-service dispenser systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment of subsection (e)(1)(D) filed 3-15-77; effective thirtieth day thereafter. (Register 77, No. 12). For prior history, see Register 76, No. 51.
2. Amendment of subsection (e)(3) filed 5-6-77; effective thirtieth day thereafter (Register 77, No. 19).
3. Amendment of section heading and section, including repealer of table 472, and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§473. Gauging Devices.
Note     •     History

(a) A permanent dip pipe or a fixed level gauge shall be installed in all containers filled by volume and shall be of such length or position that it will indicate when the tank is 86 1/2 percent full.
(1) This fixed dip tube or fixed level gauge shall be permanently installed in the tank. Additional dip pipes or fixed level gauges may be used providing they are permanently marked to show the outage they indicate.
(b) Each tank 125-gallon capacity or more, filled by volume, shall be equipped with a liquid level gauging device, such as a rotary gauge, magnetic gage, or series of fixed pipes, in addition to the fixed dip pipe required in Section 473(a). 
(c) Each tank having an allowable working pressure of less than 250 psi shall have a thermometer well. This Order does not apply to tanks built before January 1, 1946, or to code tanks constructed in accordance with Paragraphs U-68, U-69, and UW-52 (b) for a working pressure of 200 psi or more. The thermometer well shall be plugged or capped when not in use to prevent the entrance of moisture and the resulting hazard of corrosion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of section heading and section, including repealer of table 473 and figure 2, and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§474. Approval of Devices.
Note     •     History

(a) All devices which are used in LP-Gas installations shall be of an approved type and construction suitable for the use intended. See “Approved.”
(b) LP-Gas shall not be used to operate any device or equipment designed to be operated with compressed air, nor shall LP-Gas vapor be released into the air, except as provided for by these Orders.
(c) Container valves, connectors, regulators, manifolds, piping, and tubing shall not be used as structural supports for heaters.
(d) All electrical wiring and electrical equipment shall be in accordance with the Electrical Safety Orders administered by the Division and NFPA 58 Section 3-7.2.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a) and (d) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
3. Repealer and new subsection (e) filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
4. Amendment filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2).
5. Amendment of subsection (e), Table 474, Part D filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
6. Editorial reprinting of 7-8-85 order and correction of Register 85, No. 28 revision record sheet changing Chapter 3.5 to Chapter 4, Subchapter 1 (Register 85, No. 38).
7. Editorial correction of History 6 (Register 95, No. 21).
8. Amendment of section, including repealer of table 474 and figure 474, and amendment of Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§475. Location of Storage Containers and Regulating Equipment.
Note     •     History

(a) A single container of 575 gallons or less water capacity can be located 10 feet from an important building providing such container is at least 25 feet from any other container of more than 125 gallons water capacity. For important buildings constructed of concrete or masonry materials with no overhanging roof:
(1) A single container up to 500 gallons capacity may be located not less than 3 feet from an important building provided there is no opening in the building within 10 feet.
(2) A single container 501 to 1200 gallons capacity may be located not less than 3 feet from an important building provided there is no opening in the building within 25 feet.
(b) No stationary storage container shall be located less than 10 feet from the nearest street line or sidewalk, or less than 50 feet from the center line of any railroad main track.
(c) Installation of stationary LP-Gas containers on the rooftop shall be prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14). For prior history, see Register 76, No. 32.
2. New subsection (g) filed 9-11-81; effective thirtieth day thereafter (Register 81, No. 37).
3. Amendment filed 4-13-82; effective thirtieth day thereafter (Register 82, No. 16).
4. Amendment of subsection (a) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
5. Amendment of section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
6. New subsection (c) filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
§476. Location and Installation of Underground Tanks. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Repealer and new subsection (a) filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§477. Installation of Containers
Note     •     History

(a) Aboveground Containers.
(1) Metallic structural supports, when used, shall be encased in concrete or other material having a fire-resistant rating of at least 2 hours when the distance between the lower surface of the tank and the top of the concrete or masonry foundation exceeds 18 inches. 
(2) Aboveground storage containers shall be protected from impact from vehicles by means of crashposts, curbs, fences, railings or similar barriers. Where crashposts are used, they shall be no less than 5 feet long with 2 feet below ground and encased in concrete. Posts shall be no less than 4 inches in diameter and be filled with concrete if the wall thickness is less than that of standard pipe. Posts shall be 4 feet apart on centers (maximum) and at least 3 feet from the storage container. Other materials may be used and shall provide equivalent protection. Such curbs or fences shall be arranged so they will not hamper free ventilation around the containers.
(3) Containers installed in battery shall not be installed with liquid and vapor lines connecting into common headers unless either: 
(A) the working pressure of all such containers is at least equal to the vapor pressure of the product stored in any such container; or, 
(B) check valves or other devices are installed in the system to prohibit the introduction of the higher-pressure product into the lower-pressure container.
(b) Mounded Containers.
Containers shall not be mounded unless written permission to do so has been obtained from the Division.
In addition to the requirements of NFPA 58, Section 3-2.4.7, the following construction, maintenance, and documentation provisions shall apply:
(1) Construction.
(A) Where containers are to be installed closer than 30 inches above surrounding grade, a moisture barrier to prevent the upward migration of potentially corrosive salts or acids shall be installed.
(B) Drainage tile or pipe shall be installed to prevent the accumulation of moisture within the insulating medium. Where a moisture barrier is installed, the drainage material shall be placed above that barrier.
(C) Relief-valve capacity and installation shall be that which is required for aboveground containers and shall comply with NFPA 58, Section 3-2.6.3, as measured from the tank shell.
(D) All container-liquid and vapor-transfer openings shall be fitted with pneumatically-controlled internal-type valves incorporating excess-flow protection or spring-loaded backflow check valves. Remote emergency shutdown capability shall be provided.
(E) Container valves and appurtenances shall be accessible for operation, repair, or maintenance without disturbing mounding material.
Note: Access crawlways shall be evaluated for compliance with the General Industry Safety Orders, Article 108.
(F) Prior to mounding, inaccessible plugged openings, joints, and other appurtenances shall be tested for leaks at operating pressure.
(G) Liquid level and pressure gauges shall be accessible visually and physically and shall be vented outside of the mounding.
(H) Mounded containers shall be protected against corrosion by coating the container with corrosion-resistant material approved for buried installations provided the material is applied in accordance with the manufacturer's recommendations. The employer/user shall submit to the Division a copy of the manufacturer's data for the coating material showing the method and procedures for coating prior to installation.
(I) All containers shall be cathodically protected and electrically isolated from connecting piping or electrically conducive structures in accordance with good engineering practice.
(J) Depth gauges shall be installed at intervals of not greater than 6 feet along the vertical center line of the container to visually indicate when insulating material becomes less than 1 foot in depth over the container.
(2) Maintenance Requirements.
(A) Filling densities shall be as required for aboveground containers.
(B) Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfide half cell.
(C) All mounded containers shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 5 years. The intervals shall be extended when no failure in the cathodic protection has been detected, provided that every container shall be uncovered at least once every 30 years. Alternate methods of inspection may be used, e.g., UT, internal inspection.
(D) Where passive cathodic protection is provided, amperage readings shall be taken annually from each sacrificial anode. Where impressed current is used, amperage and voltage readings shall be reported at 6-month intervals.
(E) The depth gauges across the top of the container shall be observed annually to determine that a minimum of one-foot coverage of insulating material exists over the top of the entire container.
(F) Leak surveys shall be conducted annually using a combustible-gas indicator or comparably effective instrument to sample the air from the drainage system beneath the container and from test holes surrounding the container at intervals not greater than 10 feet.
(3) Documentation.
(A) The following documentation shall be maintained for the life of the system:
1. The construction requirements of this Section and of NFPA 58, Section 3-2.4.7 shall be documented through the use of photographs and other appropriate means.
2. All tests required in this Section shall be recorded in a system log showing the date the tests were taken, the related readings, and the name of the person making the tests. These tests shall be available to the Division at any time for the purpose of inspection and verification and shall be retained for the life of the installation.
3. The owner or operator of a mounded container shall send a copy of the system log for that container to the Division's principal safety engineer each year during the month of June.
(c) Underground Containers.
Containers shall not be installed underground unless written permission to do so has been obtained from the Division.
In addition to the requirements of NFPA 58, Section 3-2.4.8, the following construction, maintenance, and documentation provisions shall apply:
(1) Construction.
(A) Underground containers shall be protected against corrosion by coating the container with corrosion-resistant material approved for buried installations provided the material is applied in accordance with the manufacturer's recommendations. The employer/user shall submit to the Division a copy of the manufacturer's data for the coating material showing the method and procedures for coating prior to installation.
(B) All containers shall be cathodically protected and shall be electrically isolated from connecting piping or electrically conducive structures in accordance with good engineering practice.
(C) No tank used underground shall be installed aboveground until it has been inspected and found to be in compliance with requirements for an aboveground installation.
(2) Maintenance Requirements.
(A) Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfite half cell.
(B) All underground containers shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 5 years. The intervals shall be extended when no failure in the cathodic protection has been detected, provided that every container shall be uncovered at least once every 30 years.
Alternate methods of inspection such as internal inspection and ultrasonic testing may be used to check and verify the integrity of the container in lieu of it being uncovered.
(C) Where impressed current is used, amperage and voltage readings shall be recorded at 6-month intervals.
(D) Leak surveys shall be conducted annually using a combustible-gas indicator or comparably effective instrument to sample the air from the tests holes surrounding the container at intervals not greater than 10 feet.
(3) Documentation.
(A) The following documentation shall be maintained for the life of the system:
1. The construction requirements of this Section and NFPA 58, Section 3-2.4.8 shall be documented through the use of photographs and other appropriate means.
2. All tests required in this Section shall be recorded in a system log showing the date the tests were taken, the related readings, and the name of the person making the tests. These tests shall be available to the Division at any time for the purpose of inspection and verification and shall be retained for the life of the installation.
3. The owner or operator of a underground container shall send a copy of the system log for that container to the Division's principal safety engineer each year during the month of June.
(d) Partially Underground/Mounded Containers.
Partially underground or partially mounded containers shall be prohibited.
(e) Fusible plugs and/or rupture discs are prohibited for any container installed or reinstalled after the effective date of these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of subsection (a) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
4. Amendment of section heading and section and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
5. Amendment of subsections (a)(1) and (a)(2), repealer of subsection (a)(3), subsection renumbering and amendment of subsection (b)(1)(C) filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
6. Change without regulatory effect amending subsection (b)(1)(E) filed 5-7-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 19).
§478. Skid and Trap Tanks, and Containers on Transportation and Bulk Delivery Vehicles.
Note     •     History

(a) Unless installed in compliance with Section 477(a), skid and trap tanks shall not be used at any location for more than 180 days without written permission from the Division.
(b) Transportation tanks, or other tanks mounted on wheels, shall not be used in lieu of storage tanks or skid tanks without written permission from the Division. Such permission shall be granted for temporary use only and not to exceed 180 days.
NOTE

Authority cited: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of section heading and section and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§479. Installation of Tanks on Transportation and Bulk Delivery Vehicles. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of subsection (a)(3) filed 5-4-76 as procedural and organizational; effective upon filing (Register 76, No. 19).
4. New subsection (m) filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).
5. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§480. Pipes and Fittings for All Liquid Lines and for Vapor Lines Where the Pressure Exceeds 20 PSI.
Note     •     History

(a) All pipe between the container and first shutoff valve shall be Schedule 80 (extra heavy). All fittings between the container and first shutoff valve shall be steel as required by Section 480(c).
Aboveground piping in excess of 1 1/2 inch pipe size may be Schedule 40 when used beyond the first shutoff valve, providing:
(1) Threaded connections are used and the piping is used for vapor service only at less than 125 psi.
(2) Welded connections are used and the piping is used for liquid or vapor service at less than 400 psi.
All other piping shall be Schedule 80. 
Where used, flare nuts shall be of forged brass.
All welded piping shall be fabricated and tested in accordance with the ANSI Standard Code for Pressure Piping, Section 3, Petroleum Refinery Piping B-31.3, 1993 Edition or equivalent.
(b) Piping outside of buildings may be either buried or installed aboveground and shall be well-supported and protected against mechanical injury. All underground piping shall be Schedule 80 and shall be buried not less than 18 inches below the surface of the ground, unless otherwise protected, and shall be protected from corrosion by approved corrosion-resistant material and by cathodic protection.
Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfide half-cell. Where impressed current is used, amperage and voltage readings shall be recorded at 6-month intervals.
(c) All steel fittings used with Schedule 80 pipe shall be Schedule 80 if butt welded, 3,000 pounds WOG if socket welded, and 2,000 pounds WOG forged steel if threaded. All other steel fittings shall have a rating of at least Schedule 40 if butt welded, and 2,000 pounds WOG if socket welded or threaded.
All steel valves and fittings shall have a steam rating of at least one hundred fifty (150) psi, ANSI standard, with a minimum WOG rating of 250 psi. Valves of material other than steel shall have a pressure rating of at least two hundred (200) psi steam, or four hundred (400) psi WOG. The manufacturer of LP-Gas valves shall stamp or otherwise permanently mark the valve body to indicate the pressure rating. Steam valves when used for LP-Gas service shall be refitted for such service. Valve seat material, packing, gaskets, etc., shall be resistant to the action of LP-Gas.
(d) The use of the following is prohibited:
(1) Valves of a design that will allow the valve stem to be removed without removal of complete valve bonnet.
(2) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another valve of acceptable type between them and the tank.
(3) Aluminum tubing.
(4) Pipe nipples used in lieu of couplings or flanges on tanks.
(5) Multivalves without excess-flow valves and fixed dip tubes for use other than DOT cylinders.
(e) In addition to the valves required in NFPA 58, Section 2-3.3.2, all liquid and vapor connections shall be fitted with manually operated shutoff valves located as close to the container as practicable.
(f) Where containers are in liquid service or a combination of liquid and vapor service, all connections with manually operated shutoff valves  shall be legibly labeled to indicate whether they communicate with the vapor or liquid space. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14). For prior history, see Register 75, No. 45.
2. Amendment of section, including repealer of table 480, and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§481. Pipes and Fittings for Vapor Lines Where the Pressure Is 20 PSI or Less. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
4. Amendment of subsections (d) and (f) filed 4-13-82; effective thirtieth day thereafter (Register 82, No. 16).
5. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§482. Hose Specifications. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§483. Pressure Gages. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§484. Vaporizer Installation.
Note     •     History

(a) Surge tanks, gas-air mix tanks, etc., containing vapor only, shall be located at least 3 feet from important buildings and property lines. Such tanks operating at pressures exceeding 20 psi shall be located not less than 10 feet from any building opening, whereas such tanks exceeding 501 gallons shall be located not less than 25 feet from any building opening.
(b) The use of direct-fired container heaters is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
4. Amendment of section and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§485. Safety Valves. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment of subsection (f) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
4. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
5. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§486. Regulators. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. New section filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
2. Repealer filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
§487. Regulator Installation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. New section filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
2. Repealer filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
§488. LP Gas Tank Inspection Fees.
Note     •     History

See the Division of Occupational Safety and Health's regulations contained in Chapter 3.2, Group 2, Title 8, California Code of Regulations. The regulations for LP Gas tank inspection fees are reprinted in Appendix C of these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Repealer and new section filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13). For history of former section, see Register 76, No. 32.
2. Amendment of section and Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§489. Warning Signs.
Note     •     History

(a) All containers in excess of 125 gallons, except transportation containers and fuel containers on motor vehicles, shall have the word “FLAMMABLE” on each side that is readily visible. The letters of this sign shall be in standard-type letters and shall have a height of at least 1/12 of the diameter of the container, but need not be in excess of 1 1/2 inches for containers of 500 gallons capacity or less or 4 inches for containers exceeding 500 gallons capacity.
(b) Warning signs with the words “NO SMOKING, OPEN FLAMES OR OTHER SOURCE OF IGNITION PERMITTED WITHIN ______ FEET” shall be applied in letters at least 1 1/2 inches high, in sharply contrasting colors, on each stationary container or on a sign posted adjacent to the container. This sign shall also be posted adjacent to all loading and unloading terminals located more than 50 feet from the container.
(c) When 2 or more containers are installed in battery, the requirement of Sections 489 (a) and (b) will be considered as being complied with when the required warning signs are prominently displayed on all 4 sides of such battery of containers.
The distance shall be that shown on the following table:

Volumetric capacity of	Minimum distance  
 Containers  (in U.S. gallons)	from source of ignition

125 to 500 inclusive	 10 feet
501 to 2,000 inclusive	 25 feet
Over 2,000 	 50 feet

(d) The warning signs required in Section 489(b) shall be posted on each exterior wall of each room or building used for filling or storage of cylinders.
(e) When LP-Gas and one or more other gases are stored or used in the same area, the containers shall be marked to identify their content. Markings shall be in compliance with ANSI Z48.1-1992, “Method of Marking Portable Compressed Gas Containers To Identify the Material Contained.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 5-4-77 as an emergency; effective upon filing (Register 77, No. 19). For prior history, see Register 76, No. 32.
2. Amendment of subsection (a) filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
3. Amendment of section and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§490. Installation of Fuel Tanks for Motor Vehicles. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (g)(1) filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
2. Repealer of subsections (h)(3) and (h)(4) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment of subsection (g)(4) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Editorial reprinting of 7-8-85 order and correction of Register 85, No. 28 revision record sheet changing Chapter 3.5 to Chapter 4, Subchapter 1 (Register 85, No. 38).
5. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§491. Installation of Fuel Tanks and Cylinders Used on Tar Pots, Weed Burners, Etc. [Repealed]
History

HISTORY

1. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§492. Use of Tanks and Cylinders of Less than 60 U.S. Gallons. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a) and (c) and new subsection (f) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
3. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
4. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
5. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§493. Storage or Utilization of LP-Gas Within Buildings. [Repealed]
History

HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 11-7-75; effective thirtieth day thereafter (Register 75, No. 45).
3. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
4. Repealer filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
§494. Repairs and Alterations.
Note     •     History

(a) No repairs or alterations involving flame, arc, or other method of welding shall be made on any container cylinder, or system unless such container, cylinder, or system shall first have been certified as gas free or oxygen free by a qualified person.
(b) No repair or alteration affecting the safety of any container or cylinder shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. The owner or user of the LP-Gas container shall ensure that the repair or alteration is performed by a company with a valid ASME “U” or a National Board “R” Certificate of Authorization. The exchange or interchange of valves, fittings, and accessories intended for the same purpose shall not be considered a repair or alteration.
(c) No container or cylinder that has been subjected to a fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe.
Any container or cylinder which has suffered mechanical damage causing dents or other deformation exceeding a depth of 1 1/2 times the thickness of the deformed head or shell or two percent of the container diameter, whichever is greater, shall be re-formed to its original shape or otherwise repaired as provided in these Orders.
(d) Any vessel requiring repair or alteration or that has been subjected to a fire shall not be recharged until it has been retested in accordance with the requirements for its original hydrostatic test and found to be suitable for continued service, when such test is deemed necessary by the qualified inspector.
(e) The owner or user of the LP-Gas container shall ensure that all repairs or alterations affecting the safety of LP-Gas tanks are reported to the Division within 21 days by the ASME “U” or National Board “R” certificate holder making such repairs or alterations using the appropriate National Board Form, “R-1”, Report of Welded Repair, or “R-2”, Report of Alteration, or equivalent (See Appendix D). The owner or user shall ensure that the qualified inspector stamps his/her certificate of competency number adjacent to all welded repairs authorized by him/her, except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted in the inspector's report.
(f) Any welding necessary when making repairs or alterations to containers shall be done by a welder qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair.
(g) Repairs to DOT cylinders shall be made under DOT regulations and control in accordance with the requirements of 49 CFR Section 173.34.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of section and new Note filed 12-4-96; operative 1-3-97 (Register 96, No. 49).
3. Amendment filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
Article 6. Anhydrous Ammonia

INTRODUCTION
The provisions of Article 6 need not apply to anhydrous ammonia installations up to the point of delivery to a transportation tank in plants manufacturing this product or in refrigeration plants where ammonia is used solely as a refrigerant; provided, however, that tanks used in such plants be designed and constructed in accordance with the provisions of Article 2, and shall be maintained and operated in accordance with the provisions of Article 4 of these Orders.
HISTORY

1. Amendment of introduction filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§500. Approval of Devices.
History

(a) All devices which are used in anhydrous ammonia service shall be of a type and construction suitable for the use to which they are put. They shall preferably be listed by at least one nationally recognized testing laboratory such as, but not limited to, Underwriters Laboratories, Inc. and Factory Mutual Engineering Corp. (For the purposes of this paragraph, the word “listed” means that equipment is of a kind mentioned in a list which is published by a nationally recognized laboratory which makes periodic inspection of the production of such equipment, and states such equipment meets nationally recognized standards or has been tested and found safe for use in a specified manner.)
The Division may approve or accept devices upon satisfactory evidence that they are designed and constructed for safe operation in anhydrous ammonia service.
Drawings and calculations for custom-built devices must be submitted to the Division for acceptance. Both the drawings and calculations must be signed by a registered professional engineer.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§501. Installation of Aboveground Storage Tanks for Other Than Refrigeration Service.
History

(a) Stationary tanks shall be installed aboveground on firm masonry or concrete foundations, or on full length skids providing a bearing area limiting foundation loadings to not more than 2,000 pounds per square foot. Unless supported by continuous skids welded to pads on the tank shell, aboveground horizontal storage tanks shall have no more than 2 points of support longitudinally. Where necessary, tanks shall be securely anchored or weighted to prevent floating.
A tank may be installed on saddles, directly on concrete foundations, or it may be supported by properly designed metallic structural supports. When the tank is installed directly on concrete foundations, a corrosion pad shall be provided at the points of contact with the foundation. These corrosion pads shall be at least 3/16 inch thick, and shall have a width at least equal to the width of the foundation at the point of contact with the tank, but in no case shall they be less than 8 times the shell thickness in width.
When corrosion pads or pad-type steel supports are used, the pad shall have rounded or semielliptically shaped ends, and shall be attached to the shell with a continuous seal weld. Corrosion pads shall be not less than 1/4 the circumference of the shell in length.
Unless installed on concrete pads, skid tanks shall be placed on engineered soil or road base topped with well-drained gravel or oiled sand, capable of supporting 2,000 pounds per square foot.
Sufficient space shall be provided between stationary storage tanks to permit access for fire fighting. This space shall not be less than 5 feet for tanks over 1,200-gallon capacity. Tanks exceeding 1,200-gallon capacity shall be so installed that the bottom outside surface of the tank is at least 12 inches above ground level.
(b) All tanks over 1,200-gallon capacity shall be installed on foundations in such a manner as to permit expansion and contraction. Every tank shall be so supported as to prevent the concentration of excessive loads on the tank at the points of support. All foundations and fastenings shall be designed to provide reasonable safety under imposed loadings, including wind, earthquake, vibrations, etc.
(c) Containers shall be located outside of buildings, or in buildings or sections thereof especially equipped for this service. Consideration shall be given to the adverse health effects of ammonia, as well as the adjacent fire hazards, when selecting the location for a storage container.
Storage areas shall be kept free of readily ignitible materials such as waste, weeds, and long dry grass.
Stationary storage tanks shall be located with relation to property lines, residential buildings, highways, etc., in accordance with the following table:

		Minimum distance (feet) from tank to
	     Line of prop-
	erty adjoining	Highway or
Capacity of tank in	 which may	main track	Residential
       U.S. gallons	be built upon	of railroad	building

1,200 and less	 50	25	50
Over 1,200 to and including 30,000	 50	50	50
Over 30,000 to and including 70,000	 65	50	65
Over 70,000 to and including 500,000	100	50	100
Over 500,000	 150	50	150

		Minimum distance (feet) from tank to
	Any Building or
	area used by
	the public for
	deliberation,
	worship,
	education,	Hospital,	Open well,
	entertainment,	jail or	reservoir,
	amusement,	other	or other
Capacity of tank in	or awaiting	similar	source of
        U.S. gallons	transportation	institutions	potable water

1,200 and less	 250	750	50
Over 1,200 to and including 30,000	 400	1,000	100
Over 30,000 to and including 70,000	 520	1,300	100
Over 70,000 to and including 500,000	 800	2,000	200
Over 500,000	1,000	2,500	200

Electrical equipment and wiring for use in ammonia installations shall be general purpose or weather resistant as appropriate.
Electrical systems shall be installed and maintained in accordance with the Electrical Safety Orders.
(d) Where vehicle impact is possible or likely stationary tanks shall be protected against vehicle damage by a rugged fence, suitable crash posts, curbs, or other acceptable protection. All storage tanks located where unauthorized tampering is possible shall be surrounded with a rugged steel fence or equivalent, or all liquid and vapor outlets shall be kept effectively locked when not in use.
(e) All stationary storage tanks exceeding 1,200 gallons capacity shall have the loading and unloading connections secured to a concrete bulkhead or equivalent designed to withstand a horizontal pull of not less than 2,000 pounds in any direction, unless other suitable protection is provided. This bulkhead shall not be located underneath the tank. The loading and unloading connections shall be firmly secured to this bulkhead and the piping between the bulkhead and tank shall be installed in a manner to provide for expansion, contraction, jarring, vibrations, settling, etc. For skid tanks exceeding 1,200 gallons capacity, such loading and unloading connections shall be securely fastened to the skid or to the tank supports.
2,000 pounds may not be adequate for all sizes of loading and unloading hoses and connections.
(f) Where excess-flow valves [See Section 507 (e)] are used, liquid and vapor lines shall be at least full size from the excess-flow valve in the tank to the point of discharge or an additional excess-flow valve or equivalent shall be located as close to the point of pipe size reduction or other restriction as is practical, unless the excess-flow valve in the tank is designed to operate at the reduced flow condition, in which case the excess-flow valve in the tank may suffice.
Where excess-flow valves are used and 2 or more tanks are installed in battery, with common loading and/or unloading lines, the common liquid and vapor lines shall be fitted with excess-flow valves or equivalent (unless the common line has a cross-sectional area equal to or in excess of the combined areas of the individual tank lines; or unless the excess-flow valves are designed to operate at the reduced flow condition, in which case the excess-flow valve in the tank may suffice). Where additional excess-flow valves are used in common loading and/or unloading lines, the additional excess-flow valve or equivalent shall be located as close to the point of restriction as practical.
A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing:

(1) It is equipped with a means of closing the valve manually from a point remote from the delivery connection.
(2) The loading and/or unloading line in which it is located is secured to a bulkhead complying with Section 501 (e).
(3) The quick-closing valve is in the pipeline on the tank side of the bulkhead.
(g) Tanks installed in battery shall be so installed that the top surfaces of the tanks are substantially in the same horizontal plane.
(h) The following minimum equipment shall be installed, properly maintained, and readily available for use at all stationary storage tanks in readily accessible locations.
(1) At least two full face respiratory devices in compliance with Section 5144; preferably one self contained breathing apparatus, and one NH3 gas mask with spare canister.
(2) One pair NH3 resistant gloves.
(3) One pair NH3 resistant boots.
(4) NH3 resistant pants and jacket and/or slicker.
(5) One quick-acting deluge shower and bubble fountain or other method of simultaneously washing both eyes with clean water.
The minimum water supply shall be a 50-gallon container of clean water.
(6) One first-aid kit in compliance with Section 3400 or 3439.
(7) One fire extinguisher conforming to the provisions of California Administrative Code, Title 19, Chapter 1, Subchapter 3, and having a rating of not less 40B-C.
The employer shall have a program of periodic inspection of the above emergency equipment to maintain it in serviceable condition.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a), (c), (d), and (h) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
3. Amendment of subsection (a) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
4. Amendment of subsection (f) filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
§502. Warning Signs.
History

(a) Except as noted in Section 502 (b), all anhydrous ammonia tanks 60 gallons capacity or more shall have warning signs provided on at least 2 sides with the words “Caution--Ammonia” in sharply contrasting colors, with letters at least 1/12 of the tank diameter in height, but need not be in excess of 1 1/2 inches for tanks 500 gallons capacity or less or 4 inches for tanks exceeding 500 gallons capacity.
(b) All tanks used for the transportation of ammonia on the highways shall be marked as specified by the DOT and adopted by Section 1222, California Administrative Code, under authority of Section 34500, Vehicle Code. These markings also will be acceptable to the Division in lieu of the markings required under Section 502 (a) for such tanks in off-highway service.
(c) Uninsulated containers shall have a highly reflective surface maintained in good condition.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. New subsection (c) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§503. Portable Tanks.
History

(a) Portable tanks installed as permanent installations for periods of time exceeding 90 days shall be in compliance with Section 501.
Portable tanks filled at point of use shall be installed substantially level. A safe and accessible source of clean water (minimum 5 gallons) shall be immediately available to enable an employee to wash his eyes in case of accidental sprays or spillage. If a container is used, it shall have a suitable opening to permit the application of water to flush the eyes.
(b) Portable tanks shall comply with these orders, and legs or other supporting structures shall be secured to tanks in accordance with the code or rules under which the tank is designed and built, and shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8.
(c) Fittings on all portable tanks shall be installed in recessed wells or otherwise protected to prevent damage to the fittings during transportation and use.
(d) When portable tanks are transported from 1 location to another, they shall be securely fastened to the transporting vehicle.
(e) When containers are mounted on four-wheel trailers, care shall be taken to insure that the weight is distributed evenly over both axles.
(f) When the cradle and the tank are not welded together suitable material shall be used between them to eliminate metal-to-metal friction.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. New subsections (e) and (f) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
3. Editorial correction of subsection (a) (Register 95, No. 45).
§504. Installation of Tanks on Transportation and Bulk Delivery Vehicles.
History

(a) Transportation tanks mounted on truck or trailer frames shall be placed on saddles or bolsters with the center of gravity as low as possible. Such saddles, bolsters, and/or other fastenings shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8. Transportation tanks of the so-called “frameless-type” shall not be used in anhydrous ammonia service until the design of the tank and tank supports has been submitted to the Division and found acceptable. The installation must also comply with DOT requirements.
All transportation trailers shall be firmly and securely attached to the vehicle drawing them by means of suitable drawbars supplemented by a safety chain (or chains) or safety cables.
Every transportation trailer or semitrailer shall have a reliable system of brakes, and adequate provision shall be made to operate the brakes from the driver's seat.
Every transportation trailer shall be equipped with self-energizing brakes.
Transportation trailers shall be so designed that the towed vehicle will follow substantially in the path of the towing vehicle and will not whip or swerve dangerously from side to side.
Where a fifth wheel is employed, it shall be ruggedly designed, securely fastened to both units, and equipped with a positive locking mechanism which will prevent separation of the two units except by manual release.
(b) Every transportation tank shall be protected by a suitable steel bumper attached to the vehicle chassis or equivalent.
(c) All fittings on transportation tanks not protected by the vehicle frame shall be located in recessed wells or otherwise suitably guarded. Any such guards shall be designed to minimize the possibility of rupturing the tank head or shall in case of vehicular accident. The recessed well, if used, shall be of sufficient size and depth that the top of all fittings will be located below the tank shell or head line. The recessed well for safety relief valves shall be located at the top center of the tank and shall be equipped with an unlocked hinged cover or equivalent.
(d) No anhydrous ammonia piping or valves shall be installed within the cab or driver's compartment of a truck.
(e) All piping and fittings on the bottom of transport and bulk delivery tanks shall be adequately guarded.
(f) All tank trucks and all trucks pulling tank trailers used to transport anhydrous ammonia over 1,200 gallons water capacity shall be equipped with the following minimum safety equipment which shall be properly maintained and readily available for use:
(1) One pair of NH3 resistant gloves.
(2) Full face mask for ammonia service
(3) One fire extinguisher conforming to the provisions of Article 157 of the General Industry Safety Orders and having a rating of not less than 20B-C.
(4) A container of not less than 5 gallons of fresh water, so located as to permit immediate application. This container shall have a suitable opening to permit rinsing of eyes.
(g) Each liquid withdrawal opening 2 inches nominal pipe size or larger on transportation tanks and bulk delivery vehicles over 1,200 gallons capacity shall be fitted with a  remotely controlled internal shutoff valve of the type listed in Sections 507 (e) (3) through (5). Such tanks over 3,500 gallons capacity shall have 2 remote stations for the valve controls, 1 at each end of the tank and diagonally opposite each other.
One control mechanism at each control station may be used to operate all such remotely controlled valves.
All replacement valves for the above service shall comply with these Orders, if the openings in the tank are adaptable for conversion.
(h) Where excess-flow valves [See Section 507 (e) (2).] are used, all liquid and vapor lines shall be at least full size from the excess-flow valves in the tank to the point of discharge or an additional excess-flow valve or equivalent shall be located as close to the point of pipe size reduction or other restriction as is practical, unless the excess-flow valve in the tank is designed to operate at the reduced flow conditions, in which case the excess-flow valve in the tank may suffice.
Where excess flow valves are used on tank trucks having 2 or more tanks with common loading and/or unloading lines, the common liquid or vapor lines shall be fitted with an excess-flow valve or equivalent in the common line in addition to the excess-flow valve in the tank opening (unless the common line has a cross-sectional area equal to or in excess of the combined areas of the individual tank lines or unless the excess flow valves in the tank are designed to operate at the reduced flow condition, in either of which case the excess-flow valve in the tank may suffice). Where additional excess-flow valves are used in common loading and/or unloading lines, the additional excess-flow valve or equivalent shall be located as close to the point of restriction as is practical.
A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing:(1) It is equipped with a means for closing the valve manually from a point remote from the transfer hose connection.(2) The loading and/or unloading line in which it is located is secured to the tank or vehicle framework a required by Section 504 (i).(3) The quick-closing valve is located on the tank side of the structure used to secure the line or lines to the tank or vehicle frame.
(i) All liquid and vapor lines shall be adequately secured to the vehicle frame or tank. The device used to secure the lines shall be so designed that it will withstand the load imposed by the strongest hose and hose fitting to be used in the transfer operations without breaking, or 2,000 pounds, whichever is greater.
(j) All piping and fittings on transport and bulk delivery tanks shall be adequately guarded. The use of anhydrous ammonia hose between the tank and the transfer hose connection shall be limited to not more than 3 sections of metallic hose not over 24 inches in length in each liquid and vapor line. Such lengths of hose shall be used only where necessary to provide flexibility and shall not have 1 section of hose connected to another section of hose. Each section shall be so installed that it will be protected against mechanical damage and be readily visible for inspection. The manufacturer's identification required in Section 510 (b) shall be retained on each section.
(k) All transportation tanks shall be equipped for spray loading (filling in the vapor space), with an approved vapor return valve of adequate capacity.
HISTORY

1. Amendment of subsections (g), (h) and (j) filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a) and (f) and new subsection (k) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
3. Repealer and new subsection (f) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
§505. Installation of Mobile Storage Tanks.
History

(a) Mobile storage tanks shall meet the requirements of Section 504 except that:
(1) The design of saddles, bolsters, and/or other fastenings may be based on the empty weight of the tank for other than vertical loadings.(2) In addition to the requirements of Section 504 (f), there shall be available a container of not less than 50 gallons of fresh water unless there is immediately available another safe, reliable, and accessible source of water.
(b) When containing NH3 liquid, mobile storage tanks shall be located in accordance with Section 501 (c).
(c) Mobile storage tanks shall be maintained substantially level and be securely blocked against accidental movement and shall be adequately supported independently of the wheels when containing NH3 liquid.
(d) Only flexible connections shall be made to mobile storage tanks. No permanent piping to other installations is permitted. The loading and unloading connections shall be securely fastened to the vehicle frame or to the tank supports.
(e) All liquid shall be removed from mobile storage tanks before being moved to a new location.
(f) Unless surrounded by a rugged steel fence or equivalent, all liquid and vapor outlets shall be kept effectively locked when unattended.
(g) Transportation tanks shall not be used as mobile storage tanks without written permission from the Division, unless they are in full compliance with both Sections 504 and 505.
HISTORY

1. Amendment of subsection (b) filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
§506. Installation of Tanks Mounted on Farm Machinery.
History

(a) Tanks or cylinders used to furnish anhydrous ammonia to agricultural applicator tanks and tanks used on applicators, etc., shall be so installed that the bottom of the container and/or any outlet connection, including hose, shall not be lower than the lowest horizontal edge of the vehicle axle when fully loaded. These tanks shall be secured to prevent jarring loose, slipping, or rotating of the tanks while in service. Such supports and fastenings shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8.
Field welding where necessary, shall be made only on nonpressure parts that were installed by the manufacturer of the tank.
(b) The connections between the applicator tank and pressure-reducing valve shall be extra heavy fittings and Schedule-80 pipe, high-pressure anhydrous ammonia hose (1750 psi minimum bursting pressure), or equivalent, and where exposed, shall be protected against physical damage. All main shutoff valves shall be readily accessible while the unit is in normal operation. All shutoff valves shall be suitably protected against physical damage.
(c) While in use on farm machinery, each skid tank, applicator tank, or combination thereof shall have securely attached a container holding not less than 5 gallons of fresh water. This container shall have a suitable opening to permit the application of water to flush the eyes.
The container of fresh water required by this subsection may be attached to the tractor or other source of power used to tow the vehicle or device on which the tank is used.
(d) All trailers shall be securely attached to the vehicle drawing them by means of drawbars supplemented by suitable safety chains.
(e) A trailer shall be constructed so that it will follow substantially in the path of the towing vehicle and will not whip or swerve dangerously from side to side.
HISTORY

1. Amendment of subsection (a) and new subsections (d) and (e) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§507. Piping, Valves, and Fittings for Liquid and Vapor Lines.
History

(a) All pipe between the tank and first shutoff valve shall be at least Schedule 80.
All fittings between the tank and the first shutoff valve shall be steel as required by Section 507 (c), first paragraph.
Aboveground piping in excess of 1 1/2-inch pipe size may be Schedule 40 when used beyond the first shutoff valve provided welded, or welded and flanged connections are used.
All other piping shall be Schedule 80.
All piping shall be tested after assembly and proved free of leaks at a pressure of not less than its normal operating pressure or 150 psi, whichever is greater.
Flammable material shall not be used for the installation acceptance pressure test.
All welded piping shall be fabricated and tested in accordance with the ANS Standards Code for Pressure Piping, Section 3, Petroleum Refinery Piping B-31.3, 1966 Edition or equivalent.
All refrigerated piping shall conform to the Refrigeration Piping Code, American National Standards Institute, B-31.5-1966 with addenda B-31.1a-1968 as it applies to ammonia.
Hose shall not be used in lieu of piping between the tank and loading and/or unloading connection, except that a section of metallic hose, not to exceed 24 inches in length may be used in each pipeline to provide flexibility and except as provided in Section 504 (j). The manufacturer's identification required in Section 510 (b) shall be retained on each section.
(b) All piping shall run as directly as practical, with suitable provision for expansion, contraction, jarring, vibrations, and settling. Piping may be either buried or installed aboveground, and shall be well supported and protected against physical damage. All underground piping shall be buried not less than 18 inches below the surface of the ground unless otherwise protected, and shall be adequately coated or otherwise protected against corrosion. Pipe coated as follows will be considered acceptable:
(1) Clean and prime.
(2) Coat with asphalt enamel.
(3) Wrap with forty-pound felt.
(4) Coat with asphalt enamel.
(5) Wrap with forty-pound felt.
(6) Coat with asphalt enamel.
(7) Wrap with Kraft paper.
Equivalent wrapping will be accepted at the discretion of the Division.
(c) All steel fittings used with Schedule 80 pipe shall be Schedule 80 if butt welded, 3,000 pound WOG if socket welded, and 2,000 pound WOG forged steel if threaded.
All other steel fittings shall have a rating of at least Schedule 40 if butt welded and 2,000 pound WOG if socket welded or threaded. Threaded connections shall not be seal welded.
Joint compounds shall be resistant to ammonia.
All other valves and fittings shall be of a type suitable for use with anhydrous ammonia and shall have a pressure rating of at least 400 psi WOG. Valve seat material, packing, gaskets, etc., shall be suitable for anhydrous ammonia service.
(d) The use of the following is prohibited:
(1) Valves, cocks, and pipe fittings of semisteel other than ASTM Specification Nos. A 536-67, Grade 60-40-18; A 395-68; A 445-66; A 47-68, Grade 35018; unless they have a pressure rating of not less than 600 psi WOG. In no case shall valves of semisteel other than the 4 ASTM Specifications listed above be used for primary stop valves.
Cast iron fittings made specifically for anhydrous ammonia service, meeting ASTM A-126-66, class B or C, may be used for secondary service if they have a service rating of at least 600 psi.
(2) Street ells and screwed service tees unless they are extra-heavy forged construction.
(3) Valves of a design that will allow the valve stem to be removed without removal of the complete valve bonnet, unless the flow is restricted by an inlet orifice to not more than 54 drill gage size.
(4) Ordinary solid-wedge-type gate valves unless there is another stop valve of acceptable type between the gate valve and tank.
(5) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another valve of acceptable type between it and the tank.
(6) Threaded aluminum fittings and/or adapters that are required to be connected or disconnected as part of the filling or transfer operation.
(7) Copper and brass pipe, fittings, valves, etc.
(8) Pipe, fittings, etc., that are galvanized or otherwise plated with material which is attacked by ammonia where such plating or galanizing is exposed to ammonia.
(e) Except for service valves, safety relief valves, and gaging connections, all liquid and vapor connections shall have 1 of the following installed directly in the tank connections:
(1) Connections up to and including 4-inch pipe size:
(A) A back-pressure check valve.
(B) An excess-flow valve.
Excess flow valves shall be designed with a bypass, not to exceed a No. 60 drill-size opening to allow equalization of pressures.
All excess flow valves shall be plainly and permanently marked with the name or trademark of the manufacturer, the catalog number, and the rated capacity.
(C) A manually operated check valve (internal valve) equipped with means for closing the valve from a point remote from the delivery connection and with such control mechanism fitted with a fusible section having a melting point of 208 degrees Fahrenheit to 220 degrees Fahrenheit which will cause the valve to close automatically in case of fire.
(D) A positive check valve (internal valve) which can be operated manually and which will close automatically on excess-flow conditions and which can be closed manually from a point remote from the delivery connections. Such valve shall also incorporate a fusible section as required in Section 507 (e)(1)(C) which will cause the valve to close automatically in case of fire.
(E) A positive check valve (internal valve) which is normally closed and which is opened by pump discharge pressure and which can be closed manually from a point remote from the delivery connections. Such valve shall close automatically with a reduction of pump discharge pressure and shall also incorporate a fusible section as required in Section 507 (e)(1)(C) which will cause the valve to close automatically in case of fire.
Note: Service valve as used in this order is limited to vapor valves screwed into vessel outlets not larger than 3/4-inch pipe size and having an inlet internal diameter in the valve body not exceeding the internal diameter of a 1/2-inch Schedule 80 pipe.
(2) Valves larger than 4 inch pipe size need not be installed directly in a tank connection, under the following conditions:
(A) The valve must be installed at the first flange or welded joint immediately outside the container in such a manner that any undue strain beyond the valve will not cause breakage between the tank and the valve.
(B) Automatically or remotely controlled valves, or both, of the fail safe type, shall be used. They must also be capable of manual operation.
(C) Piping between the tank and the valve shall be at least Schedule 120.
(D) Acceptance of the valves by the Division must be requested prior to installation.
(E) Where cables are used for remote operation, the control must be fitted with a fusible section having a melting point of 208 Fahrenheit to 220 Fahrenheit, which will cause the valve to close automatically in case of fire.
(f) In addition to the valves required in Section 507 (e), all liquid and vapor connections other than safety relief valve and gaging connections shall be fitted with a manually operated shutoff valve located:
(1) As close to the tank as practicable in all pipelines on connections not included in Section 507 (f)(2) or (3).
(2) In the loading and/or unloading pipelines between the tank and the pump, compressor, meter, or bulkhead, whichever is nearest the tank and in each branch line where it leaves a loading and/or unloading line. This applies only to pipelines on stationary tanks having the loading and/or unloading lines secured to bulkheads specified in Section 501 (e) and having valves complying with Section 507 (e)(1)(D) or (E) installed in the tank connections of such pipelines.
When a pump is attached directly to a valve complying with Section 507 (e)(1)(D) or (E), the manually operated shutoff valve required by this Order may be located between said pump and the meter or bulkhead, whichever is nearest the tank.
(3) In the loading and/or unloading pipelines between the tank and the device used to secure the pipeline as required in Section 504 (i). This applies only to pipelines on transportation tanks having valves complying with Section 507 (e)(1)(D) or (E) installed in tank connections of such pipelines.
(g) Every liquid pipeline or hose that can be isolated by 2 or more stop valves shall have a safety relief valve installed in the pipeline or hose to prevent excessive hydrostatic pressure. The safety relief valve required by this subsection shall start to discharge at not less than 300 psi, nor more than 400 psi, and it must relieve to the atmosphere at a safe point of discharge.
(h) All valves, regulators, gaging, and other tank accessory equipment shall be protected against physical damage.
(i) All tank connections requiring manually operated shutoff valves shall be labeled or tagged to indicate whether they communicate with the liquid or vapor space.
(j) The liquid fill line used to transfer anhydrous ammonia from transportation tanks exceeding 3,500 gallons capacity to storage tanks exceeding 2,000 gallons capacity shall be equipped with a backflow check valve to prevent discharge of anhydrous ammonia from the receiving tank in case of hose rupture. This is not intended to prevent transferring anhydrous ammonia from containers, other than transportation tanks exceeding 3,500 gallons capacity, into storage tanks through the load-out line.
(k) All tanks shall be equipped with vapor return valves.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Repealer of subsection (e) and new subsection (e) filed 8-30-74; effective thirtieth day thereafter (Register 74, No. 35).
3. Amendment of subsections (a), (c), (d), (e), (g) and new subsection (k) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
4. Repealer and new subsections (e) and (f) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
§508. Gaging Devices.
History

(a) A permanent dip pipe shall be installed in all tanks designed to be filled by volume, and shall be of such length that it will indicate when the tank is 86 1/2 percent full. The fixed dip pipe required in this order shall be permanently installed in the tank.
Each applicator container shall have a fixed liquid-level gage.
(b) Each tank filled by volume shall be equipped with a liquid level gaging device, such as a rotary gage, a slip tube, an automatic gage, a magnetic gage, or a series of fixed dip pipes, to show the liquid level in the tank at any time. This gaging device shall be in addition to the fixed dip pipe required in Section 508 (a).
A thermometer well shall be provided in all storage tanks over 1,200 gallons capacity not equipped with a fixed dip pipe, and in all transportation tanks.
(c) Liquid level gaging devices that require bleeding of the product to the atmosphere, such as rotary gages, dip pipes, or slip tubes, shall be so designed that the maximum opening of the bleeder valve is not larger than No. 54 drill size.
(d) Liquid level gaging devices shall be designed for a working pressure of not less than 300 psi ANS rating.
(e) Tubular-type gage glasses shall not be used.
(f) Each transportation tank exceeding 1,200 gallon capacity shall have a pressure gage installed with the dial graduated to approximately double the operating pressure but in no case less than 1.2 times the pressure at which the pressure relieving device is set to function.
Each farm vehicle tank over 250 gallons and each storage container shall be provided with a pressure gage graduated from 0 to 400 p.s.i. Gages shall be designated for use in ammonia service.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a), (b) and (f) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§509. Transfer of Liquids.
History

(a) No anhydrous ammonia shall be vented to the atmosphere during the transfer operation unless the vent is led to a safe point of discharge.
Anhydrous ammonia shall not be stored in or transferred into a container at a temperature lower than that shown on the nameplate.
Containers shall be charged or used only upon authorization of the owner.
(b) No gas other than anhydrous ammonia vapor shall be used to displace anhydrous ammonia during the transfer operation.
(c) All filling connections and/or permanently installed transfer hoses shall be equipped with a shutoff valve at the discharge end and shall be kept effectively capped when not in use. These caps or plugs may be plastic or metallic, but must be so designed that they will be vented to the atmosphere while at least 3 full threads are engaged.
(d) During the transfer of anhydrous ammonia, at least 1 attendant familiar with the installation shall remain in attendance at the controls necessary to stop the transfer operation. This attendant shall be considered familiar with the installation only after he has been provided with a set of operating instructions for the unloading operation and has been instructed through a minimum of 3 full cycles of operation. During the transfer of anhydrous ammonia into or from a transportation tank, the brakes of the transporting vehicle shall be set and the wheels blocked.
Provisions for unloading tank cars shall conform to the applicable recommendations contained in the DOT regulations. See 560(e) for Railroad Tank Car Loading and Unloading.
(1) Caution signs shall be so placed on the track or car as to give necessary warning to persons approaching the car from open end or ends of siding and shall be left up until after the car is unloaded and disconnected from discharge connections. Signs shall be of metal or other suitable material, at least 12 by 15 inches in size and bear the words “STOP--Tank Car Connected” or “STOP--Men at Work” the word, “STOP,” being in letters at least 4 inches high and the other words in letters at least 2 inches high. The letters shall be white on a blue background.
(2) The track of a tank car siding shall be substantially level.
(e) No anhydrous ammonia shall be transferred with the point of delivery less than 10 feet from any residential building, street, public highway, or sidewalk unless the failure to transfer would create a hazard.
(f) All pumps and compressors used for the transfer of anhydrous ammonia shall be suitable for this service and shall be equipped with a pressure-actuated bypass valve and/or other acceptable device to prevent pressure in the transfer equipment of more than 400 psi unless the piping system is specifically designed for higher pressures. In no case shall safety relief valves used for this purpose be set to open at pressures of less than 325 psi or more than 400 psi.
(1) Pumps shall be designed for at least 250 p.s.i. working pressure. Positive displacement pumps shall have, installed off the discharged port, a constant differential relief valve discharging into the suction port of the pump through a line of sufficient size to carry the full capacity of the pump at relief valve setting, which setting and installation shall be according to the pump manufacturer's recommendations.
On the discharge side of the pump, before the relief valve line, there shall be installed a pressure gage graduated from 0 to 400 p.s.i.
Plant piping shall contain shutoff valves located as close as practical to pump connections.
(2) Compressors used for transferring or refrigerating ammonia shall be recommended for ammonia service by the manufacturer.
Compressors shall be designed for at least 250 p.s.i. working pressure.
Plant piping shall contain shutoff valves located as close as practical to compressor connections.
A relief valve large enough to discharge the full capacity of the compressor shall be connected to the discharge before any shutoff valve.
Compressors shall have pressure gages at suction and discharge graduated to at least one and one-half times the maximum pressure that can be developed.
Adequate means, such as drainable liquid trap, shall be provided on the compressor suction to minimize the entry of liquid into the compressor.
Where necessary to prevent contamination, an oil separator shall be provided on the discharge side of the compressor.
(g) The filling densities for containers that are not refrigerated shall not exceed the following:

	Percent	Percent
Type of Container	By Weight	By Volume

Uninsulated	  56	82   
Uninsulated (see 509(h) )	 	87.5
Insulated	  57	83.5

D.O.T. In accordance with D.O.T. Regulations
(h) Uninsulated containers may be charged 87.5 percent by volume provided the temperature of the anhydrous ammonia being charged is determined to be not lower than 30o F or provided the charging of the container is stopped at the first indication of frost or ice formation on its outside surface and is not resumed until such frost or ice has disappeared.
Any container, including DOT cargo and portable tanks, shipped under DOT jurisdiction shall be filled according to DOT regulations.
(i) Every portable unloading facility shall comply with the following additional requirements:
(1) A set of written instructions shall be posted at the location or supplied to the operating personnel, describing in detail the proper procedures to follow in operating the transfer equipment.
(2) A container of at least 5 gallons of fresh water shall be located at this facility. This container shall have a suitable opening to permit the application of water to flush the eyes. (A suitable deluge-type, fresh-water shower may be installed in lieu of the above if connected to a reliable source of supply.)
(3) The point of delivery from portable transfer facilities shall be in compliance with the requirements for stationary tanks, as listed in Section 501 (c); except that such point of delivery may be less than 50 feet but not less than 25 feet, from a highway or main track of a railroad.
(4) The working area at the portable transfer facility shall be kept clear of debris, and all compressors, pumps, hoses, valves, etc., shall be protected from vehicle impact. Such equipment shall also be suitably locked or otherwise confined when unattended, to prevent the release of ammonia to the atmosphere by unauthorized persons.
(5) The portable unloading facility must be secured at the end of each period of operation; i.e., the point at which it becomes unattended, the end of a workday, etc.
The facility will be considered secured when all ammonia liquid is confined in the pressure vessel and the gas pressure in any hose is less than 25 psi.
(6) All pressure vessels, hoses, piping, fittings, etc., shall be as required elsewhere in these orders for anhydrous ammonia in the liquid state (high pressure).
Portable transferring facilities for anhydrous ammonia is defined as any site at which anhydrous ammonia is transferred from one pressure vessel to another in which the compressor and receiving vessel are not permanently installed on concrete in accordance with Safety Section 501.
(j) Compressors, excepting those on farm vehicles, shall be equipped with manually operated shutoff valves on both suction and discharge connections. Pressure gages of bourdon-tube type shall be installed on the suction and discharge of the compressor before the shutoff valves. The compressor shall not be operated if either pressure gage is removed or is inoperative. A spring-loaded safety-relief valve capable of discharging to atmosphere the full flow of gas from the compressor at a pressure not exceeding 300 p.s.i. shall be connected between the compressor discharge and the discharge shutoff valve.
(k) Valve functions shall be clearly and legibly identified by metal tags or nameplates permanently affixed to each valve.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
3. Amendment of subsection (d) filed 5-6-77; effective thirtieth day thereafter (Register 77, No. 19).
§510. Hose Specifications.
History

(a) Hose and hose connections shall be fabricated of materials that are resistant to the action of anhydrous ammonia. Hose used in ammonia service shall conform to ANI-RMA (or TFI-RMA) Standard No. M-5 for anhydrous ammonia hose. (TFI-RMA) stands for The Fertilizer Institute-Rubber Manufacturers Association.)
Metallic hose is a hose in which the strength depends primarily upon the strength of its metallic parts, but it may have nonmetallic liners and/or covers. The metal used in this hose shall be stainless steel or other suitable materials acceptable to the Division.
All hose and hose connections subjected to tank pressure shall be designed for a minimum working pressure of 350 psi with a factor of safety of at least 5.
After the hose connections are made up, they shall withstand without leakage a test pressure of twice the working pressure for which the hose is designed.
Hose and hose connections located on the low-pressure side of pressure-reducing valves or devices and discharging to atmospheric pressure shall be designed for a working pressure of at least 125 psi with a factor of safety of at least 5.
(b) All hose 1/2 inch in diameter and larger used for either liquid or vapor service shall be permanently and clearly marked at intervals of not more than 5 feet with the following information:
(1) The words “Anhydrous Ammonia” or “NH3”
(2) The designed working pressure
(3) The manufacturer's name or trademark
(4) The year of manufacture
Hose smaller than 1/2 inch in diameter need only be marked with items (1) and (2) above.
(c) All anhydrous ammonia hoses and hose connections subjected to tank pressure shall be tested at least once each year to twice the tank working pressure but not less than 500 psi. While in transit all hoses and hose connections shall be protected from wear or injury.
All low-pressure hose shall be constructed for ammonia service with a factor of safety of at least 5, but in no case shall hose be used for this service unless designed for a working pressure of at least 125 psi with a factor of safety of at least 5.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a) and (c) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§511. Safety Relief Valves.
History

(a) Every vessel used in anhydrous ammonia service shall be fitted with 1 or more safety relief valves in direct communication with the vapor space. These safety relief valves shall be of the spring-loaded type suitable for anhydrous ammonia service. The discharge from safety relief valves shall be full size and be directed away from the vessel, and shall discharge upward and unobstructed to the open air.
All relief-valve discharge openings shall have suitable loose-fitting rain caps that will allow free discharge of the vapor and prevent entrance of water. Provision shall be made for draining condensate which may accumulate in the discharge pipe.
The safety relief valves for anhydrous ammonia service shall be set to start to discharge with relation to the allowable working pressure of the vessel as follows:

	Pressure vessels constructed
	in accordance with:	Minimum	Maximum

Code paragraphs U-68 and U-69	 110%	125%
Code paragraphs U-200, through 1974 edition	 100%	110%
API-ASME Code	 100%	110%
DOT Cylinders	 	As required by DOT
		Regulations

(b) Except for code paragraphs U-68 and U-69 tanks, the discharge capacity of safety relief valves for anhydrous ammonia tanks shall be sufficient to prevent pressure in the tank from exceeding 120 percent of the allowable working pressure of the tank. ASME code paragraphs U-68 and U-69 tanks shall have safety valve capacity sufficient to prevent pressure in the tank from exceeding 135 percent of the allowable working pressure of the tank. All safety relief valves required by this Order shall be ASME rated and stamped. The minimum required rate of discharge of safety relief valves for anhydrous ammonia tanks shall be in accordance with the following table:

Surface area	Flow rate	Surface area	Flow rate	Surface area	Flow rate
sq. ft.	CFM air	sq. ft.	CFM air	sq. ft.	CFM air

  20 or less	 258	185	 1,600	900	 5,850
  25	 310	190	 1,640	950	 6,120
  30	 360	195	 1,670	1,000	 6,380
  35	 408	200	 1,710	1,050	 6,640
  40	 455	210	 1,780	1,100	 6,900
  45	 501	220	 1,850	1,150	 7,160
  50	 547	230	 1,920	1,200	 7,410
  55	 591	240	 1,980	1,250	 7,660
  60	 635	250	 2,050	1,300	 7,910
  65	 678	260	 2,120	1,350	 8,160
  70	 720	270	 2,180	1,400	 8,410
  75	 762	280	 2,250	1,450	 8,650
  80	 804	290	 2,320	1,500	 8,900
  85	 845	300	 2,380	1,550	 9,140
  90	 885	310	 2,450	1,600	 9,380
  95	 925	320	 2,510	1,650	 9,620
100	 965	330	 2,570	1,700	 9,860
105	 1,010	340	 2,640	1,750	 10,090
110	 1,050	350	 2,700	1,800	 10,330
115	 1,090	360	 2,760	1,850	 10,560
120	 1,120	370	 2,830	1,900	 10,800
125	 1,160	380	 2,890	1,950	 11,030
130	 1,200	390	 2,950	2,000	 11,260
135	 1,240	400	 3,010	2,050	 11,490
140	 1,280	450	 3,320	2,100	 11,720
145	 1,310	500	 3,620	2,150	 11,950
150	 1,350	550	 3,910	2,200	 12,180
155	 1,390	600	 4,200	2,250	 12,400
160	 1,420	650	 4,480	2,300	 12,630
165	 1,460	700	 4,760	2,350	 12,850
170	 1,500	750	 5,040	2,400	 13,080
175	 1,530	800	 5,300	2,450	 13,300
180	 1,570	850	 5,590	2,500	 13,520

Surface area = total outside surface area of container in square feet. When the surface area is not stamped on the nameplate or when the marking is not legible, the area can be calculated by using one of the following formulas:
(1) Cylindrical container with hemispherical heads.
Area = overall length in feet times outside diameter in feet times 3.1416
(2) Cylindrical containers with other than hemispherical heads.
Area = (overall length in feet plus 0.3 outside diameter in feet) times outside diameter in feet times 3.1416
(3) Spherical container.
Area = outside diameter in feet squared times 3.1416
Flow rate--CFM Air = cubic feet per minute of air required at standard conditions, 60 degrees Fahrenheit and atmospheric pressure (14.7 psia).
The rate of discharge may be interpolated for intermediate values of surface area. For containers with total outside surface area greater than 2,500 square feet, the required flow rate can be calculated using the formula: Flow Rate CFM Air = 22.11A0.82, where A = outside surface area of the container in square feet.
The minimum required rate of discharge of safety relief valves for anhydrous ammonia DOT cylinders shall be in accordance with the regulations of the Bureau of Explosives.
(c) Safety relief valves shall be so designed and installed that the possibility of tampering will be minimized. If the pressure setting is external, the relief valves shall be provided with acceptable means for sealing the adjustment.
(d) Shutoff valves shall not be installed between the safety relief valve and tank, except that a shutoff valve may be used where the arrangement of this valve is such as always to provide full required capacity flow through sufficient relief valves to properly protect the tank. [This exception is intended to permit 3-way valves, mechanically interconnected valves, etc., to be installed between the tank and safety valve where the installation and arrangement will always permit the required number of valves to be in communication with the tank to provide the relief capacity required by (b) above.]
The flow capacity of the relief valve shall not be restricted by any connection to it on either the upstream or downstream side.
(e) Each safety relief valve used on anhydrous ammonia tanks shall be plainly marked with the following information:
(1) With the letters “AA.”
(2) The pressure in pounds per square inch gage (psig) at which the valve is set to start to discharge.
(3) The rate of discharge of the valve at its full open position in cubic feet per minute (cfm) of air.
(4) The manufacturer's name and catalog number.
(5) The symbol of the ASME Code.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
2. Amendment of subsections (a) and (d) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§512. Repairs and Alterations.
History

(a) Field welding, where necessary, shall be made only on nonpressure parts that were installed by the manufacturer of the tank.
(b) No repairs or alterations involving flame, arc, or other method of welding shall be made to any tank until such tank has first been certified as free of anhydrous ammonia by competent personnel.
(c) No repair or alteration affecting the safety of the tank shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. Nothing in this order shall prohibit the exchange or interchange of valves, fitting, and appurtenances intended for the same purpose.
(d) No tank that has been subjected to a fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe.
(e) Any vessel requiring repair or alteration or that has been subjected to a fire shall be prepared for hydrostatic test by the owner when such test is deemed necessary by the qualified inspector.
(f) All repairs affecting the safety of the tank shall be reported to the Division within 21 days by the qualified inspector authorizing such repairs. The qualified inspector shall stamp his certificate of competency number adjacent to all welded repairs authorized by him, except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted on the inspector's report.
(g) Any welding necessary when making repairs or alterations to tanks shall be done by welders and welding procedures qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
§513. Anhydrous Ammonia Refrigeration Systems.
History

Mechanical refrigeration systems using anhydrous ammonia as a refrigerant shall be installed and maintained according to the provisions of the General Industry Safety Orders.
HISTORY

1. Amendment filed 12-8-72 as procedural and organizational; effective upon filing (Register 72, No. 50).
§514. Installation of Refrigerated Storage Containers.
Note     •     History

(a) Containers shall be supported on suitable noncombustible foundations designed to accommodate the type of container being used.
Adequate protection against flotation or other water damage shall be provided wherever high flood water might occur.
Containers for product storage at less than 32o F shall be supported in such a way, or heat shall be supplied, to prevent the effects of freezing and consequent frost heaving.
(b) A check valve shall be installed in lieu of the required excess flow valve on the fill connection, except when flow is needed in both directions, and a remotely operated shutoff valve shall be installed on all other connections located below the maximum liquid level.
(c) The filling density for refrigerated storage containers shall be such that the container will not be liquid full at a liquid temperature corresponding to the vapor pressure at the start-to-discharge pressure setting of the safety-relief valve.
(d) Safety-relief valves shall be set to start-to-discharge at a pressure not in excess of the design pressure of the container and shall have a total relieving capacity sufficient to prevent a maximum pressure in the container of more than 120 percent of the design pressure. Relief valves for refrigerated storage containers shall be self-contained spring-loaded, weight-loaded, or self-contained pilot-operated type.
The total relieving capacity shall be the larger of:
(1) Possible refrigeration system upset such as (A) cooling water failure, (B) power failure, (C) instrument air or instrument failure, (D) mechanical failure of any equipment, (E) excessive pumping rates.
(2) Fire exposure determined in accordance with Compressed Gas Association (CGA) S-1, Part 3, Safety Relief Device Standards For Compressed Gas Storage Containers, 1959, except that “A” shall be the total exposed surface area in square feet up to 25-foot above grade or to the equator of the storage container if it is a sphere, whichever is greater. If the relieving capacity required for fire exposure is greater than that required by (1) of this subdivision, the additional capacity may be provided by weak roof-to-shell seams in containers operating at essentially atmospheric pressure and having an inherently weak roof-to-shell seam. The weak roof-to-shell seam is not to be considered as providing any of the capacity required in (1) of this subdivision.
If vent lines are installed to conduct the vapors from the relief valve, the back pressure under full relieving conditions shall not exceed 50 percent of the start-to-discharge pressure for pressure balanced valves or 10 percent of the start-to-discharge pressure for conventional valves. The vent lines shall be installed to prevent accumulation of liquid in the lines.
The valve or valve installation shall provide weather protection.
Atmospheric storage shall be provided with vacuum breakers. Ammonia gas, nitrogen, methane, or other inert gases can be used to provide a pad.
(e) Appurtenances shall be protected against tampering and physical damage.
(f) Containers of such size as to require field fabrication shall, when moved and reinstalled, be reconstructed and reinspected in complete accordance with the requirements under which they were constructed. The containers shall be subjected to a pressure retest and if rerating is necessary, rerating shall be in accordance with applicable requirements.
(g) Precaution shall be taken against damage from vehicles.
(h) The total refrigeration load shall be computed as the sum of the following:
(1) Load imposed by heat flow into the container caused by the temperature differential between design ambent temperature and storage temperature.
(2) Load imposed by heat flow into the container caused by maximum sun radiation.
(3) Maximum load imposed by filling the container with ammonia warmer than the design storage temperature.
More than one storage container may be handled by the same refrigeration system.
(i) A minimum of two compressors shall be provided, either of which shall be of sufficient size to handle the loads listed in Section 514(h)(1) and (2). Where more than two compressors are provided, minimum standby equipment equal to the largest normally operating equipment shall be installed. Filling compressors may be used as standby equipment for holding compressors.
Compressors shall be sized to operate with a suction pressure at least 10 percent below the minimum setting of the safety valve(s) on the storage container and shall withstand a suction pressure at least equal to 120 percent of the design pressure of the container.
(j) Each compressor shall have its individual driving unit.
An emergency source of power of sufficient capacity to handle the loads listed in Section 514(h)(1) and (2) shall be provided unless facilities are available to safely dispose of vented vapors while the refrigeration system is not operating.
(k) The refrigeration system shall be arranged with suitable controls to govern the compressor operation in accordance with the load as evidenced by the pressure in the container(s).
An emergency alarm system shall be installed to function in the event the pressure in the container(s) rises to the maximum allowable operating pressure.
An emergency alarm and shutoff shall be located in the condenser system to respond to excess discharge pressure caused by failure of the cooling medium.
All automatic controls shall be installed in a manner to preclude operation of alternate compressors unless the controls will function with the alternate compressors.
(l) An entrainment separator of suitable size and design pressure shall be installed in the compressor suction line of lubricated compression. The separator shall be equipped with a drain and gaging device.
An oil separator of suitable size shall be installed in the compressor discharge line. It shall be designed for at least 250 p.s.i. and shall be equipped with a gaging device and drain valve.
(m) The condenser system may be cooled by air or water or both. The condenser shall be designed for at least 250 p.s.i. Provision shall be made for purging noncondensibles either manually or automatically.
(n) A receiver shall be provided with a liquid-level control to discharge the liquid ammonia to storage. The receiver shall be designed for at least 250 p.s.i. and be equipped with the necessary connections, safety valves, and gaging device.
(o) Refrigerated containers and pipelines which are insulated shall be covered with a material of suitable quality and thickness for the temperatures encountered. Insulation shall be suitably supported and protected against the weather. Weatherproofing shall be of a type which will not support flame propagation.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§515. Systems Utilizing Portable DOT NH 3  Containers.
Note     •     History

(a) Cylinders shall comply with DOT specifications and shall be maintained, filled, packaged, marked, labeled, and shipped to comply with 49 CFR Chapter 1 and Marking Portable Compressed Gas Containers to Identify the Material Contained, ANSI Z48.1-1954 (R1970).
(b) Cylinders shall be stored in an area free from ignitable debris and in such manner as to prevent external corrosion. Storage may be indoors or outdoors.
(c) Cylinders filled in accordance with DOT regulations will become liquid full at 145o F. Cylinders shall be protected from heat sources such as radiant flame and steampipes. Heat shall not be applied directly to cylinders to raise the pressure.
(d) Cylinders shall be stored in such manner as to protect them from moving vehicles or external damage.
(e) Any cylinder which is designed to have a valve protection cap shall have the cap securely in place when the cylinder is not in service.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
Article 7. Compressed and Liquefied Natural Gas System*
*For Appendix A, refer to end of Subchapter 1.
The provisions of Article 7 apply to the storage, dispensing and use of natural gas as a motor fuel, but do not apply to the storage or use of natural gas on public roads and highways.
§523. Design and Construction of Natural Gas Tanks.
Note     •     History

(a) General. All new natural gas tanks shall be constructed, inspected, and stamped in compliance with the Code, unless the design, material, and construction of the tank are accepted by the Division as equivalent to code.
(b) Compressed Natural Gas. In addition to the stamping required by the Code, the stamping on all new CNG tanks shall include the following:
(1) Volumetric capacity in standard cubic feet of natural gas when filled to the limits provided by these regulations.
(2) The words “For CNG.”
(3) The head and shell thicknesses.
(c) Liquefied Natural Gas. The outer vessel of double wall cryogenic vessels shall be designed for the full range of pressure and/or vacuum to which it will be subjected and for adequate structural support of the inner tank and insulation under all imposed loadings. Equipment shall For Appendix A, refer to end of subchapter 1.
In addition to the stamping required by the Code, the stamping for all new LNG tanks shall include the following:
(1) Net volumetric capacity in U. S. gallons.
(2) The words “For LNG.”
(3) The head and shell thicknesses.
(4) Minimum safety relief valve capacity in cfm air. See 541 (c) (1) and (2).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code, and Chapter 855, Statutes of 1977.
HISTORY

1. Repealer of Article 7 (Section T8-550) and new Article 7 (Sections 523-544) filed 12-8-72 as an emergency; effective upon filing. Certificate of Compliance included (Register 72, No. 50).
2. Amendment of subsection (c) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
3. Amendment of subsection (a) filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
4. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
5. Amendment of article 7 headnote filed 9-25-2002 as an emergency; operative 9-25-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-25-2002 order transmitted to OAL 1-17-2003 and filed 2-24-2003 (Register 2003, No. 9).
§524. Design and Construction of Compressed Natural Gas Cylinders.

All new natural gas cylinders shall be constructed for the service pressure specified in and meet other DOT regulations.
§525. Design and Construction of LNG Vaporizers.
History

HISTORY

1. Amendment of subsection (a) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
2. Change without regulatory effect repealing Section 525 (Register 88, No. 15).
§526. Repairs and Alterations to Tanks, Welded Piping and to Welded Vaporizers Having a Volumetric Capacity in Excess of 1 U. S. Gallon.

(a) No repairs or alterations involving flame, arc or other method of welding shall be made on any tank, vaporizer or piping unless such tank, vaporizer or piping shall first have been certified as natural gas free or oxygen free by competent personnel.
(b) No repair or alteration to a natural gas tank or welded vaporizer which affects the safety of such natural gas tank or welded vaporizer shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. The exchange or interchange of valves, fittings and accessories intended for the same purpose need not be considered a repair or alteration.
(c) No tank, vaporizer or piping system that has been subjected to possible damage by fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe.
(d) Any vessel, vaporizer or piping requiring repair or alteration or that has been subjected to a fire shall be prepared for hydrostatic test by the owner when such test is deemed necessary by the qualified inspector.
(e) No repairs shall be performed on any natural gas fueled motor vehicle nor on a transport tank, trailer or skid tank, whether empty or loaded, until reasonable precaution has been taken to provide the required safety.
(f) All repairs to natural gas tanks or vaporizers affecting the safety of such tanks or vaporizers shall be reported to the Division within 21 days by the qualified inspector authorizing such repairs. The qualified inspector shall stamp his certificate of competency number adjacent to all welded repairs authorized by him except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted in the inspector's report.
(g) Any welding necessary when making repairs or alterations to tanks, vaporizers or piping shall be done according to welding procedures and by welders qualified in accordance with the rules of Section IX of the ASME Code in the position or positions used in making the repair.
(h) Repairs to DOT cylinders shall be made under DOT regulations and control.
§527. Control of Products in Tanks and Cylinders.
Note     •     History

(a) General. Natural gas contaminants such as hydrogen sulfide and water shall be so minimized as to prevent any adverse effects on storage and utilization equipment.
(b) Compressed Natural Gas.
No natural gas shall be delivered into any vessel or system covered by these Safety Orders unless odorized. The gas shall have a distinctive odor of sufficient intensity so that the presence of the gas may be detected down to the concentration in air of not over 20 percent of the lower explosive limit. Odorants in the concentrations used shall be:
(1) Harmless to humans.
(2) Non-toxic.
(3) Non-corrosive to steel, iron, brass or copper.
(4) Non-soluble in water to an extent greater than 2.5 parts by weight of odorant to 100 parts by weight of water.
(5) Be compatible with natural gas at the pressures and temperatures to be encountered in storage, transfer and service.
(c) Liquefied Natural Gas.
The delivery of LNG into any vessel or system covered by these Orders shall be subject to monitoring by a methane gas detection system, as follows:
(1) Each methane gas detection system required by this section shall provide a warning when an airborne methane gas concentration exceeding 20 percent of the lower explosive limit is detected. The warning shall be plainly audible and visible to those within the zone of potential exposure to fire or explosion of the vessel, system, or delivery operation.
(2) Where LNG is delivered into a vessel or system that is part of a motor vehicle, the methane gas detection system shall function continuously during the course of the delivery operation so that methane leaks resulting in an airborne concentration exceeding 20 percent of the lower explosive limit will be detected in the immediate vicinity of the operation.
(3) Where LNG is delivered to any other vessel or system covered by these Orders, the methane gas detection system shall function continuously during the course of the delivery operation so that methane gas leaks resulting in an airborne concentration exceeding 20 percent of the lower explosive limit will be detected in the immediate vicinity of the operation and the entire vessel or system into which the LNG is delivered. After delivery is completed, the methane gas detection system shall be operated continuously in the immediate vicinity of the entire vessel or system into which the LNG was delivered for as long as the vessel or system contains LNG.
(4) Nothing in this section is intended to supercede or alter the applicable requirements of 13 CCR Section 935.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b), new subsections (c)-(c)(4) and new Note filed 9-25-2002 as an emergency; operative 9-25-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-25-2002 order, including further amendment of subsections (b) and (c)(1)-(3), transmitted to OAL 1-17-2003 and filed 2-24-2003 (Register 2003, No. 9).
§528. Transfer, Operation and Maintenance.

(a) General. 
(1) No natural gas shall be vented to the atmosphere unless the vent is led to a safe point of discharge. Nothing in this Order shall prohibit the use of gaging devices which vent to the atmosphere through an opening not exceeding No. 54 drill size.
(2) No smoking or open flame shall be permitted within 10 feet of any vessel during the filling operation.
(3) All threaded filling connections shall be kept effectively capped when not in use. These caps or plugs shall be so designed that they will vent to the atmosphere while at least 3 full threads are engaged.
(4) No employer or employee shall charge natural gas into any tank or cylinder not specifically designed for the most severe pressure and temperature conditions to which the vessel may be subjected.
(5) During the transfer of natural gas at least one attendant familiar with the transfer operation shall be responsible for and be on the premises during the transfer operation. During the transfer of LNG the attendant shall remain in attendance at the controls necessary to stop the transfer operation. The attendant required by this Order may be considered familiar with the transfer operation after he has been provided with a set of instructions for the transfer operation and has performed the operation at least through 3 full cycles under supervision. When natural gas is being transferred to or from a motor vehicle, the engine shall be stopped unless the motor is used to operate a pump or compressor required to transfer the product. During such loading or unloading from transportation tanks, the hand or emergency brake of the vehicle shall be set and the wheels blocked. Transportation tanks shall be bonded during the transfer operation except that bonding is not required where the transfer systems are depressurized by bleeding before disconnecting, see Paragraph 537 (a) (4), and providing also that closed connections are made before transfer begins.
(6) No natural gas shall be transferred with the point of delivery less than 10 feet from any important building or house trailer, or within 5 feet from a sidewalk or public highway, street or road unless the failure to transfer would create a hazard. At the discretion of the Division, the point of delivery may be located a lesser distance from important buildings constructed of concrete or masonry materials. Nothing in this Order shall be so construed as to prohibit the following:
(A) The fueling of machinery or vehicles used in road construction or maintenance.
(B) The filling of motor fuel tanks or cylinders of not more than 30-gallon capacity.
(7) Pumps and compressors shall be suitable for use with the product to be handled for the full range of pressure and temperature to which they may be subjected. Positive displacement transfer pumps shall be equipped with a pressure actuated bypass valve and/or a recirculating system which shall limit the pressure to the maximum design pressure of the pump or piping system whichever is lower.
(8) Control devices shall be designed for the pressure, temperature and service expected and shall be so installed that icing conditions will not cause malfunction.
(9) The owner and/or user shall maintain all pressure vessels and their appurtenances, piping systems, vaporizers, controls and devices in a safe condition.
(10) A portable fire extinguisher having a rating of not less than 20BC shall be provided at the transfer operation area.
(b) Compressed Natural Gas. 
(1) The pressure to which a CNG tank is charged shall not exceed the maximum allowable working pressure of the tank being filled at normal temperature. DOT cylinders shall be charged in accordance with DOT pressure and temperature regulations.
(c) Liquefied Natural Gas. 
(1) To provide for the expansion of LNG with temperature, the tanks shall not be filled beyond the level specified by the tank manufacturer and in no case more than 90 percent.
(2) Tank fuel loading and unloading areas shall be substantially level.
§529. Gaging Devices for Liquefied Natural Gas Tanks.

(a) A permanent dip pipe shall be installed in all LNG tanks filled by volume and shall be of such length that it will indicate when the tank is filled to the level specified by the manufacturer and in no case more than 90 percent. This fixed dip pipe shall be permanently installed in the tank. Additional dip pipes may be used providing they are permanently marked to show the outage they indicate.
(b) In addition to the fixed dip pipe required in (a) above, each LNG tank 60-gallon capacity or more, filled by volume, and each motor fuel tank shall be equipped with a liquid level gage.
(c) Gaging devices that require bleeding of the product to the atmosphere shall be so designed that the maximum opening of the bleeder valve is No. 54 drill size.
(d) Gaging devices shall be designed for the most severe pressure and temperature conditions to which the device may be subjected with a factor of safety of not less than 4. Such gaging devices shall be labeled with the maximum permitted pressure by the manufacturer.
(e) Where the efficiency of the insulation of an insulated tank is dependent upon the vacuum in an annular space, an indicating device or other means shall be provided to warn of loss of vacuum.
§530. Approval of Devices.

(a) All devices which are used in natural gas installations shall be of a type and construction suitable for their intended use. The Division may approve or accept devices or package units upon satisfactory evidence that they are designed and constructed for safe operation in natural gas service.
(b) Except for control and indicating devices that are also designed for natural gas and which have an orifice not larger than No. 54 drill size, natural gas shall not be used to operate any device or equipment designed to be operated with compressed air which exhausts to the atmosphere. Natural gas vapor shall not be released into the air except as permitted by these Orders.
(c) All natural gas devices not otherwise specifically provided for shall be constructed and installed to provide safety equivalent to that required for other parts of the system.
(d) All electrical wiring and electrical equipment used with natural gas storage or dispensing apparatus shall be in accordance with the Electrical Regulations administered by the Division.
Note: For the purpose of this Order 530 (d), the electrical equipment installed in out-of-doors installations for stationary storage or the transfer of natural gas shall be suitable for use in a Class 1, Division 1, Group D hazardous location when installed within 10 feet in any direction of any connection used for the transfer of natural gas.
In order to comply with the “source of ignition” provisions of Order 531 (a) electrical switches, lamps, etc., located outside the above 10-foot area, but within the area specified in Order 531 (a) shall be suitable for use in a Class 1, Division 2, Group D, hazardous location. All electrical motors within this area shall be suitable for use in out-of-doors locations and shall be either:
(1) Of the explosion-proof type.
(2) Of a type having no contactors, commutators or sparking parts.
(3) Of a totally enclosed type.
§531. Location of Storage Tanks and Regulating Equipment.

(a) General.
(1) Except as provided elsewhere in these Orders, tanks, cylinders and regulating equipment used with natural gas storage and/or dispensing installations shall be located outside of buildings. Each individual tank or cylinder used for storage or dispensing natural gas shall be located with respect to the nearest important building, or line of adjoining property which may be built upon, or source of ignition, in accordance with the following table:

	Capacity Per Storage		Distance Between
	Tank or Bank of	Minimum Distance	Above Ground
	Cylinders U. S. Gallons	In Feet	Storage Tanks, Feet
	To 500	10	3            
	501 To 2,000	25	3            
	2,001 To 30,000	50	5            
	30,001 To 70,000	75	1/4 of Sum of Diameter
			   of Adjacent Tanks with
	70,001 To 90,000	100	a Minimum of 5 Feet
	
Note: At the discretion of the Division, tanks may be located a lesser distance from important buildings constructed of concrete or masonry materials.
(2) No stationary storage vessel shall be located less than 10 feet from the nearest street line or sidewalk, nor less than 50 feet from the nearest rail of any railroad main track.
The distance between underground tanks shall be not less than 12 inches.
(3) Except as permitted in Section 543, filling connections shall not be located less than 10 feet from any opening into or under a building closed on more than 3 sides for filling connections 1/2-inch pipe size or less and 15 feet for larger sized filling connections.
(4) Readily ignitible material shall not be permitted within 10 feet of any stationary vessel or vaporizer.
(5) Regulators which are vented to atmosphere shall be installed in such a manner that moisture cannot enter the vent and accumulate above the diaphragm. Where the regulator vent may be obstructed due to rain, snow or icing conditions, shields, hoods or other suitable devices shall be provided to guard against closing the vent opening.
(b) Compressed Natural Gas.
(1) Multiple cylinder units or groups stored in the vertical position shall be limited to a width of no more than 4 cylinders. Units or groups stored in the horizontal position shall be limited to a height of 6 and a width of 4 cylinders. When stacked horizontally, the units or groups shall be separated by not less than 3 feet.
(2) No cylinder filling platform shall be located less than 10 feet from any storage tank, or 25 feet from the nearest important building or line of adjoining property that may be built upon. At the discretion of the Division, cylinder filling platforms may be located a lesser distance from important buildings constructed of concrete or masonry materials.
(c) Liquefied Natural Gas.
(1) All aboveground LNG tanks larger than 2,000 gallons shall have diked impounding areas or equivalent in accordance with Pamphlet 59-A of the National Fire Protection Association.
§532. Installation of Aboveground Storage Tanks.
History

(a) General.
(1) Storage tanks installed aboveground shall be installed on firm masonry or concrete foundations. Aboveground horizontal tanks shall have no more than 2 points of support longitudinally. Where necessary, tanks shall be securely anchored to prevent floating.
(2) Metallic structural supports, when used, shall be encased in concrete or other material having a fire resistant rating of at least 2 hours when the distance between the lower surface of the tank and the top of the concrete or masonry foundations exceeds 18 inches. In the case of a vertical tank having no more than one opening in the support skirt, interior fire protection of the skirt may be omitted. (Tanks of not more than 575-gallon capacity installed in areas having an average snowfall exceeding 18 inches may, at the discretion of the Division, be exempt from the provisions of this paragraph.)
(3) Every tank shall be so supported as to prevent the concentration of excessive loads on the tank at the points of support. All foundations and fastenings shall be designed to provide reasonable safety under all imposed loads including wind, earthquake, vibrations, etc. All tanks over 1,200 gallons capacity shall be installed on foundations in such a manner as to permit expansion and contraction.
(4) The valves and other appurtenances on tanks at all bulk plants, if the plant is not otherwise fenced, shall be surrounded by a rugged steel fence or equivalent. Fences which are not of an open mesh type may be used providing they are acceptable to both the local fire department and the Division. The fence required by this Section shall be at least 6 feet in height. Any fence completely surrounding the tank shall be located a minimum distance of 3 feet from the tank. Other tanks shall also be surrounded by a rugged steel fence or equivalent, if in the opinion of the Division a fence is needed to prevent unauthorized tampering. All fenced areas shall be kept locked when unattended.
(5) Aboveground storage tanks shall be protected from impact from trucks, trailers and other vehicles, where such impact is likely or probable, by suitable curbs, fences or posts and railings. Such curbs or fences shall be arranged so that they will not hamper free ventilation around the tanks.
(6) All loading and unloading connections at bulk plants shall be secured to a concrete bulkhead or equivalent designed to withstand the load imposed by the strongest pipe, hose or flexible metal hose, and fittings to be used in the transfer operation without breaking, or 2,000 pounds whichever is greater unless other adequate protection is provided. This bulkhead shall not be located underneath the tank. The loading and unloading connections shall be firmly secured to this bulkhead and the line between the bulkhead and tank shall be installed in a manner to provide for expansion, contraction, jarring, vibration and settling. Such bulkhead shall be located no less than 25 feet from the nearest important building or line of property adjoining that may be built upon. When in the opinion of the Division such bulkhead is necessary for the safety of the place of employment, it shall be required at storage plants other than bulk plants mentioned above.
(7) The fill line on storage tanks shall be equipped with a back-flow check valve to prevent discharge of the natural gas from the receiving tank in case of line, hose or fittings rupture.
(8) A fire extinguisher conforming to the provisions of California Administrative Code, Title 19, Chapter 1, Subchapter 3, and having a rating of not less than 20B shall be available and ready for use during the time natural gas is being transferred. The extinguisher carried on a bulk delivery or transportation vehicle may be considered as meeting the requirements of this Order when transferring natural gas from or to such vehicle provided the extinguisher has the required rating listed above.
(b) Compressed Natural Gas.
(1) When the tank is installed directly on concrete or masonry foundations, a corrosion pad shall be provided at the points of contact with the foundation. These corrosion pads shall be at least 3/16-inch thick, and have a width at least equal to the width of the foundation at the point of contact with the tank, but in no case shall they be less than 8 times the shell thickness in width. When corrosion pads or pad-type steel supports are used, the pads shall have corners rounded to a radius of not less than 6 times the pad thickness, and shall be attached to the shell with a continuous seal weld. These pads shall be not less than 1/4 the circumference of the shell in length.
(2) Pressure vessels which are made of materials that are subject to corrosion by atmospheric conditions and which are not provided with an allowance for external corrosion by a suitable increase in the design thickness shall be protected by painting or other equivalent means necessary to check active corrosion.
(3) Cylinders used at dispensing stations shall be installed on firm concrete or masonry foundations and located in accordance with 531 (a) and (b).
(c) Liquefied Natural Gas.
(1) Supports for LNG tanks shall be designed to withstand low temperature effects of LNG spillage.
(2) LNG tanks installed in battery shall be so installed that the 90 percent outage levels or the top surfaces of the tanks are substantially in the same horizontal plane.
(3) Tanks installed in battery shall not be installed with liquid and/or vapor lines connecting into common headers unless either:
(A) The working pressure of all such tanks is the same.
(B) Check valves or other devices are installed in the system to prohibit the introduction of the higher pressure product into the lower pressure tank.
HISTORY

1. Amendment of subsection (b) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
§533. Location and Installation of Underground Tanks.

(a) General. Tanks and regulating equipment shall not be buried below ground unless written permission to do so has been obtained from the Division and the following special conditions are complied with:
(1) The proposed location complies with Order 531 (a) (1), (2) and (3).
(2) The tank shall be set with the top at least 24 inches below the surface of the ground, shall rest on firm foundations and shall not be installed under roadways.
(3) Before any back-filling is done, the installation shall be inspected by a qualified inspector and shall comply with all applicable sections of these Orders.
(4) The back-filling shall be done in such a manner that there will be at least 6 inches of water-washed sand free from soil, rocks or gravel immediately adjacent to the tank. The sand shall be well tamped into place during the back-filling operation.
(5) All buried tanks shall be constructed for underground service and the manufacturer shall provide means for lowering the tank into place without damage to the tank or corrosion-resistant coating.
(6) If the valves and fittings are located in a curb box, adequate provision shall be provided for proper drainage and ventilation of the curb box.
(7) No curb box shall be larger than necessary for the operation and maintenance of the valves and fittings located therein nor more than 3 feet in depth.
(8) All buried tanks shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 3 years.
The intervals may be changed at the discretion of the Division if a test plate is buried adjacent to the tank and shows no appreciable corrosion on inspection after 3 years of service; provided, however, that every tank shall be uncovered at least every 15 years. The test plates shall be of the same material as the shell of the tank and shall be at least 1/4 of the tank diameter in length and 6 inches wide and shall be buried in water-washed sand at least as deep as the lowest surface of the tank, and shall not be coated. Test plates shall be provided in accordance with the following table:
(A) Tanks 10 feet or less in length, one test plate.
(B) Tanks more than 10 feet but less than 20 feet in length, 2 test plates, one on each side near opposite ends.
(C) Tanks 20 feet or more in length, one test plate for each 10 feet of length, placed on alternate sides at 10-foot intervals.
(9) No tank used underground shall be reinstalled aboveground until it has been inspected and found to be in compliance with requirements for an aboveground installation.
(10) Where necessary, tanks shall be securely anchored or weighted to prevent floating.
(b) Compressed Natural Gas.
The exterior surfaces of CNG tanks shall be covered with an acceptable corrosion-resistant material.
Tanks will be considered acceptable when prepared and coated as follows:
(1) Clean and prime.
(2) Coat with asphalt enamel.
(3) Wrap with 40-pound felt.
(4) Coat with asphalt enamel.
(5) Wrap with 40-pound felt.
(6) Coat with asphalt enamel.
(7) Wrap with Kraft paper.
Equivalent corrosion protection may be accepted at the discretion of the Division.
(c) Liquefied Natural Gas.
(1) LNG vessels utilizing a vacuum jacket shall be so installed that a vacuum leak can be detected, and so piped that means can be provided to restore the vacuum or minimize the leak.
(2) Consideration shall be given to the design and installation of the supporting members and surrounding materials in the possible freezing zone to prevent damage to the tank and its supports by low temperature effects of LNG spillage or by frost-heaving.
(3) LNG vessels having an outer jacket made of a material which may be subject to corrosion shall be protected in accordance with (b) above.
§534. Skid Tanks.

(a) Skid tanks shall be securely fastened to skids extending the full length of the tank, including fittings and guards at the end of the tank. The bottom of the skids shall be not less than 2 inches nor more than 12 inches below the outside bottom of the tank shell. The skids or lugs for attachment of the skids shall be secured to tanks in accordance with the Code or rules under which the tank is designed and built, and shall be designed to withstand the loaded weight of the tank in any direction with a factor of safety of at least 8.
(b) Fittings on skid tanks shall be installed in a recessed well or otherwise protected by means of adequate guards properly installed.
(c) Unless installed in compliance with Order 532, skid tanks shall not be used at any location for more than 180 days without written permission from the Division.
(d) When skid tanks are transported from one location to another, they shall be adequately secured to the transporting vehicle.
§535. Installation of Tanks on Transportation and Bulk Delivery Vehicles.

Transportation tanks shall comply with the regulations for such vehicles adopted by the Department of Highway Patrol.
§536. Piping Standards.
History

(a) General.
(1) All pipe, tubing, fittings and other piping components between the tank and the first shutoff valve shall be designed for the full range of pressures, temperatures and loadings to which they may be subjected with a factor of safety of at least 8 based on the minimum specified tensile strength at room temperature. All other pipe, tubing, fittings and other piping components shall be suitable for the full range of pressures, temperatures and loadings to which they may be subjected with a factor of safety of at least 4. In no case may underground piping be less than Schedule 80 for piping systems having a working pressure exceeding 100 psi. Any material used, including gaskets and packing, shall be compatible with natural gas and its service conditions.
(2) All piping and tubing shall be run as directly as practical with adequate provisions for expansion, contraction, jarring, vibration and settling. Exterior piping may be either buried or installed aboveground and shall be well supported and protected against mechanical damage.
Underground piping shall be buried not less than 18 inches below the surface of the ground unless otherwise protected. All underground piping shall be protected from corrosion by coating in compliance with Section 533 (b) or equivalent. Zinc coatings (galvanizing) shall not be considered adequate protection for piping below ground.
(3) All welded piping shall be fabricated and tested in accordance with the ANSI Code for Pressure Piping, Petroleum Refinery Piping, B31.3, 1966 Edition or equivalent.
(4) All valves shall be suitable for the full range of pressure and temperature to which they may be subjected. The manufacturer shall stamp or otherwise permanently mark the valve body to indicate the service ratings. Other piping components such as strainers, snubbers and expansion joints shall also be permanently marked by the manufacturer to indicate the service ratings. All materials such as valve seats, packing, gaskets, diaphragms, etc. shall be resistant to the action of natural gas under the conditions to which they are subjected.
(5) Use of the following is prohibited:
(A) Valves, cocks, fittings and other piping components of cast iron or semisteel other than ASTM Specifications A-536-67, Grade 60-40-18; A-395-68; A-47-68, Grade 35018 and A-445-66 unless they have pressure-temperature ratings at least equal to 1 1/2 times the design service conditions. In no case shall valves of cast iron or semisteel other than the 3 ASTM specifications listed above be used for primary stop valves.
(B) Street ells and screwed service tees.
(C) Valves of a design that will allow the valve stem to be removed without removal of complete valve bonnet or disassembly of the valve body.
(D) Plastic pipe, tubing, hose and fittings, without written permission from the Division.
(E) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another stop valve of acceptable type between them and the vessel. This does not apply to service valves.
(F) Aluminum tubing for exterior locations and threaded aluminum connections and adapters that are required to be connected or disconnected as part of the filling or transferring operation except for those connections and adapters that are specifically designed with special threads suitable for this service.
(G) Pipe nipples in lieu of couplings or flanges in tank connections.
(H) Copper alloy with copper content exceeding 70 percent.
(b) Compressed Natural Gas.
Hose shall not be used in lieu of manifolds, piping or tubing between dispensing tanks and cylinders and the connection for the loading and/or unloading hose connections, except that a section of metallic hose not to exceed 24 inches in length may be used in each pipeline to provide flexibility where necessary. Each section shall be so installed that it will be protected against mechanical damage and be readily visible for inspection. The manufacturer's identification shall be retained in each section.
(c) Liquefied Natural Gas.
(1) Flanged joints or threaded joints which have not been seal welded on liquid lines between the tank and the first shutoff valve are prohibited.
(2) All LNG piping over 2-inch pipe size shall be welded, flanged or silver brazed with a material having a melting point exceeding 1,000 degrees Fahrenheit. Compression type couplings and threaded joints shall not be used except that seal welded threaded joints may be used.
(3) Piping 2-inch or smaller may be threaded, welded or flanged except as prohibited in 536 (c) (1).
(4) Threaded nipples and pipe shall be at least Schedule 80.
(5) Plugs shall be solid or else they shall be bull plugs of at least Schedule 80 seamless pipe.
(6) For service temperatures of minus 20 degrees Fahrenheit or above, threaded piping and tubing with compression type couplings may be used except as prohibited in 536 (c) (2).
(7) Pipe supports for piping having a service temperature below minus 20 degrees Fahrenheit shall be designed to minimize heat transfer so that support steel embrittlement and piping restraints caused by ice formation will be prevented.
(8) Bellows type expansion joints in low temperature service shall be provided with external insulation that will prevent ice from forming on the bellows.
HISTORY

1. Amendment of subsections (a)(1) and (a)(5)(F) filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
§537. Piping Systems Valving and Labeling.
History

(a) General.
(1) All piping and tubing shall be tested after assembly and proved free from leaks at a pressure equal to the maximum working pressure of that portion of the system or its safety valve setting, whichever is greater, except for welded piping [see 536 (a) (3)].
(2) Where excess-flow valves are used, the closing flow shall be less than the flow rating of the piping system between the excess-flow valve and the equipment downstream of the excess-flow valve.
(3) When two or more vessels, other than motor fuel tanks or cylinders, are manifolded together or when branches or restrictions are incorporated into the piping system, additional excess-flow valves or equivalent shall be installed where the flow rating of the piping is less than the closing flow rating of the excess-flow valves in the vessels. The additional excess-flow valves or equivalent shall be located as close to the point of branching or restriction as possible.
Note: A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing:(1) It is equipped with a means for closing the valve manually from a point remote from the delivery connection.(2) The loading and/or unloading line in which it is located is secured to a bulkhead complying with Section 532 (a) (6).(3) The quick-closing valve is in the pipeline on the tank side of the bulkhead.
(4) Bleed connections shall be provided in transfer systems to permit depressurizing the line before disconnecting. These bleed connections shall discharge at a safe place.
(5) Piping, compressors, pumps, valves, regulators, gaging and other vessel accessory equipment shall be protected against physical damage, including vehicular.
(b) Compressed Natural Gas.
(1) Except for safety relief valves and gaging connections all vessel connections, other than in motor fuel tanks or cylinders, larger than 1/4 inch pipe size shall have one of the following installed directly in each connection:
(A) A back-flow check valve to prevent flow from the tank.
(B) An excess-flow valve.
(2) A manually operated shut-off valve shall be installed as close to the vessel as practicable. Manually operated shut-off valves for DOT cylinders shall be provided in accordance with DOT regulations.
(3) Piping systems shall be protected against overpressure by safety relief devices. Relief devices installed to protect the piping system shall have sufficient capacity and shall be set to open at a pressure not exceeding 110 percent of the maximum allowable working pressure of the system or the pressure which produces a hoop stress of 75 percent of the specified minimum yield strength, whichever is lower.
(c) Liquefied Natural Gas.
(1) Except for safety relief valves and gaging connections all vessel connections, other than in motor fuel tanks, larger than 1/2-inch pipe size shall have one of the following installed directly in each connection (for the purpose of this Section tank connection location for double wall cryogenic vessels may be the point of penetration through the outer vessel or its jacketed extension):
(A) A back-flow check valve to prevent flow from the tank.
(B) A manually operated internal valve equipped with a means for closing the valve from a point remote from the delivery connection. The closing mechanism or its control shall be fitted with a fusible link having a melting point of 200 degrees Fahrenheit to 250 degrees Fahrenheit which will cause the valve to close automatically in case of fire.
(C) Either an internal valve which can be operated manually and will close on excess-flow conditions or one which is normally closed and is opened by pump discharge pressure. These valves shall be equipped with a means for closing from a point remote from the delivery connection and the closing mechanism shall be fitted with a fusible section as required in (B) above.
(D) An excess flow valve. In addition, there shall also be a quick closing automatic valve located as close to the tank as possible and which shall remain closed except during transfer. This valve shall be equipped with a means for closing automatically from a point remote from the delivery connection and shall be fitted with a fusible section having a melting point of 200 degrees Fahrenheit to 250 degrees Fahrenheit which will cause the valve to close in case of fire. Piping and valves shall be of austenitic stainless steel as listed in ANSI Code For Pressure Piping, B 31.3 1966 Edition, Table 302.3.1.A. Piping between the tank and the valve inlet shall be seamless and at least Schedule 40. All joints in the piping to and including the valve inlet shall be welded in accordance with 536 (a) (3).
(2) (A) Systems installed in accordance with (A) or (B) above shall have a manually operated shut-off valve located as close to the tank as practicable. Systems installed in accordance with (D) above shall have a manually operated shut-off valve located between the quick-closing automatic valve and the vessel.
(B) Systems with tank connections installed in accordance with (C) above shall have a manually operated shut-off valve located in the loading and/or unloading pipelines between the tank and the pump, meter or bulkhead whichever is nearest the tank.
(3) Wherever liquid can be trapped between two or more valves, a safety relief valve shall be installed to prevent excessive hydrostatic pressure. This safety relief valve shall start to discharge at not less than 125 percent nor more than 150 percent of the safe working pressure of the piping system between the two shut-off valves.
(4) All LNG tank connections having manually operated shut-off valves shall be labeled to indicate whether they communicate with the vapor or liquid space. At least one of the following methods shall be employed in labeling these connections:
(A) Tags of metal or other suitable material labeled “Liquid” or “Vapor.” These tags shall be fastened securely to the tank, to the primary manual valve or to the piping system at the valve. The legibility of these tags shall be maintained.
(B) Complete color painting of all visible parts of the piping or its insulation.
(C) Color bands not less than 4 inches wide at each tank connection or primary manual valve. These bands shall be readily visible on the insulation. Where identification is provided by complete color painting or by color bands, a color code shall be posted where visible from the transfer operation.
HISTORY

1. Amendment of subsection (c)(4) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
§538. Hose, Metallic Hose, Flexible Metal Hose and Tubing Specifications.
History

(a) Hose and metallic hose shall be of or lined with materials that are resistant to corrosion and to the actions of natural gas.
(b) Hose, metallic hose, flexible metal hose and tubing shall be suitable for the most severe pressure and temperature service conditions expected with a burst pressure of at least 4 times the maximum working pressure. Flexible metal hose or pipe with swivel joints shall be used for transfer operations where operating temperatures during transfer will be less than minus 20 degrees Fahrenheit.
(c) Connections for hose, metallic hose, flexible metal hose and tubing shall be designed with a burst pressure of at least 4 times the most severe pressure and temperature conditions expected.
(d) The components of the hose and metallic hose shall be tested after assembly and prior to use to at least 2 times the service pressure, and also tested to a pneumatic pressure of at least 600 psi under water. After the original installation, all hoses shall be examined visually at such intervals as are necessary to assure that they are safe for use. In no case shall such examination interval exceed one year. Hose shall be tested for leaks with soap suds or equivalent at least annually and any leakage shall be reason for rejection. This test shall be recorded and the record shall be available to the qualified inspector.
(e) All hose, metallic hose, flexible metal hose and tubing and their connections shall be maintained in a safe condition.
(f) While in transit, all hose and flexible metal hose and tubing to be used in the transfer operation, including their connections, shall be protected from wear or injury and shall be capped.
(g) Hose, metallic hose, flexible metal hose and tubing shall be distinctly marked either by the manufacturer's permanently attached tag or by distinct markings every 5 feet indicating the manufacturer's name or trademark, service and working pressure.
HISTORY

1. Repealer and new subsection (g) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
§539. Pressure Gages.

Every bulk storage tank, dispensing tank, transportation tank and bulk delivery tank shall be provided with a suitable pressure gage. The pressure gage shall be installed in a special gage outlet installed permanently on the tank or tank system and having an opening not to exceed No. 54 drill size opening at the tank connection. Pressure gages for LNG vessels shall have their connection above the maximum permissible liquid level. The pressure gage shall have a dial graduated to read approximately double the operating pressure, but in no case less than 1.2 times the pressure at which the pressure relief valve is set to function.
§540. LNG Vaporizer Installation.

(a) Vaporizers in excess of 1-gallon capacity shall be provided with suitable automatic means to prevent liquid from passing into the vapor system. This is not applicable to vaporizers discharging back to the vessel only.
(b) Vaporizers in excess of 1-gallon capacity shall be provided with one or more safety relief valves suitable for use with natural gas and set to open at not less than the maximum working pressure and not more than 110 percent of the maximum working pressure of the vaporizer.
(c) The minimum relieving capacity of the safety relief valves shall be at least equal to the capacity marking on the vaporizer nameplate as required in Section 525 (c)(5). This marking shall be determined for exposure to external fire and shall be sufficient to prevent pressure in the vaporizer from exceeding 120 percent of the maximum working pressure. When determined by calculation, the applicable formula in Appendix A shall be used.
The safety relief valve discharge shall be led outside of the vaporizer building, if any, and be discharged at a safe place.
(d) No coil or other device carrying artificial heat for vaporization shall be located inside of any LNG vessel not constructed for vaporizing only.
(e) Vaporizers shall not be installed inside of buildings unless the building is specifically designed for housing LNG vaporizers; in which case the building shall be constructed of non-combustible material and be adequately ventilated at both the floor line and ceiling. Ventilation shall be designed to prevent gasses lighter than air from being trapped at ceiling level.
Note: Ventilation is considered adequate when no mixture of flammable gases is permitted in concentrations exceeding 1/5 of the lower flammability limit for such mixture.
(f) Surge tanks, containing vapor only at 20 psi or less, shall be located at least 10 feet from important buildings and property lines. Such tanks operating at pressures exceeding 20 psi shall be located with respect to important buildings and property lines in accordance with Order 531 (a).
§541. Safety Relief Devices.

(a) General. 
(1) Unless covered elsewhere in these Orders, every natural gas tank shall be provided with one or more spring-loaded safety relief valves set to open as follows with relation to the maximum allowable working pressure:

	Minimum Safety	Maximum Safety
	Relief Valve	Relief Valve
Type of Vessel	Setting	Setting
ASME Code Constructed Vessels
  with a factor of
  safety of 5 or more	 100%	125%
ASME Code Constructed Vessels
  built with a factor of safety of
  less than 5	 100%	110%
DOT Cylinders--
 Safety Relief Devices		As approved by Bureau of Explosives

All safety relief valves required by this Order shall be ASME labeled except for safety relief devices on DOT cylinders and safety relief valves as required in 537 (c)(3), which may be ASME or Underwriters' Laboratories rated and stamped.
(2) Each safety relief valve shall be plainly marked by the manufacturer of the valve with the pressure in pounds per square inch at which the valve is set to start to discharge and the discharge capacity in cubic feet per minute (cfm) air.
(3) No shutoff valves shall be installed between the safety relief valves and the tank without written permission from the Division except that a shutoff valve may be used on multiple valve installations where the arrangement of the valves will provide full required flow through the safety relief valves at all times. The opening or connection between the tank and safety relief valve or valves shall have at least the combined areas of all connected safety relief valve inlets.
(4) Safety relief valves shall be so arranged that they will have an unobstructed full size discharge to a safe place, and shall be so arranged that escaping gas will not impinge on the vessel, valves or fittings.
(5) Except for safety valves that are integral with service valves, safety relief valves on tanks and cylinders shall be installed in a vertical position and shall be fitted with suitable raincaps.
(6) Safety relief valves for natural gas service shall not be fitted with lifting devices. The adjustment if external shall be provided with means for sealing the adjustment to prevent tampering by unauthorized persons. If at any time it is necessary to break such seal, the valve shall be removed from service until it has been reset and sealed. Any adjustments necessary to natural gas safety relief valves shall be made by the manufacturer or other companies having competent personnel and adequate facilities for the repair, adjustment and testing of such valves. The organization making such adjustment shall attach a permanent tag with the setting, capacity and date. All safety relief devices shall be tested at least annually and maintained in proper operating condition.
(7) If pressure regulators are used, a safety relief device shall be provided on the low-pressure side of each final stage regulator and on the low-pressure side of all other regulators unless the piping and/or fittings from the low-pressure side of such regulators to the high-pressure side of the next stage regulation are suitable for full tank pressure.
(8) Safety relief valves for surge tanks containing vapor only shall have a relieving capacity of not less than the maximum input from the system, vaporizer or reducing valves.
(9) Fusible plugs and/or rupture discs are prohibited for primary relief devices except as permitted in (b) (3) below.
(10) On underground installations, the discharge from safety relief valves shall be vertically upward and shall be piped to a point at least 10 feet aboveground, and shall meet the requirements for the location of tanks as specified in Order 531 (a) (1), (2) and (3).
(b) Compressed Natural Gas.
(1) The minimum required rate of discharge of the safety relief valves for aboveground CNG tanks shall be at least equal to any input from the system, whether stored or being compressed.
(2) Safety relief valves located on stationary tanks of over 166,000 cubic feet capacity, shall be fitted with ferrous standpipes which will discharge at least 2 feet above the top of the tank, but not less than 10 feet above ground level. These standpipes shall not be threaded at the open end, and shall be fitted with suitable drain openings. Return bends and pipe fittings at the upper ends of safety relief valve discharge pipes are prohibited. Standpipes shall be adequately braced or otherwise supported if over 4 feet in length.
(3) Safety relief devices for DOT cylinders shall be provided in accordance with DOT regulations.
(4) Safety relief valves for underground CNG tanks shall have a relieving capacity of not less than that required for aboveground tanks.
(c) Liquefied Natural Gas.
(1) The minimum relieving capacity of the safety relief valves for LNG tanks shall be at least equal to the capacity marking on the vessel nameplate required in 523 (c) (4).
(2) Safety relief capacity shall be determined for exposure to external fire and shall be sufficient to prevent pressure in the tank from exceeding 120 percent of the allowable working pressure for tanks built with a factor of safety of less than 5 and 150 percent for tanks built with a factor of safety of 5 or more. For calculating, the applicable formula in Appendix A shall be used to determine minimum relieving capacity.
(3) Safety relief valves for underground LNG tanks shall have a relieving capacity at least equal to the relief valve capacity markings on the vessel nameplate. When the capacity is not based on exposure of the vessel to fire, such underground tanks shall not be uncovered until they are free of liquid.
(4) Unless otherwise provided for in these Orders, safety relief valves shall have direct communication with the vapor space of the vessel.
(5) Safety relief valves located on stationary tanks over 2,000 gallons capacity shall be fitted with ferrous or suitable copper alloy standpipes which will discharge at least 2 feet above the top of the tank but not less than 10 feet above ground level. These standpipes shall not be threaded at the open end, and shall be fitted with suitable raincaps and shall be provided with a drain opening at their lower end unless the safety relief valves discharging into the standpipes are fitted with suitable drain openings. Return bends and pipe fittings at the upper ends of safety relief valve discharge pipes shall be prohibited. Standpipes shall be adequately braced or otherwise supported if over 4 feet in length.
(6) The outer tank of LNG vessels shall be provided with one or more relief devices set to open at not more than the maximum design working pressure of the outer tank. The discharge area shall be not less than .00024 square inch per pound of water capacity of the inner tank.
§542. Warning Signs.

(a) All tanks and cylinders in excess of 60 gallons capacity, except transportation tanks and fuel tanks on motor vehicles, shall have the word “FLAMMABLE” painted or otherwise suitably applied on each side that is readily visible. The letters of this sign shall be standard type and shall have a height of at least 1/12 of the diameter of the tank, but need not be in excess of 1 1/2 inches for tanks of 575 gallons capacity or less, or 4 inches for tanks exceeding 575 gallons capacity.
Transportation tanks shall have warning signs as required by the Department of Highway Patrol.
(b) Warning signs with the words “NO SMOKING OR OPEN FLAMES  PERMITTED  WITHIN ____FEET” shall be painted or otherwise suitably applied in letters at least 1 1/2 inches high, in sharply contrasting colors on each stationary tank or on a sign posted adjacent to the tank. This sign shall also be posted adjacent to all loading and unloading terminals and vaporizers located more than 50 feet from the tank.
Note: The distance shall be that shown in the following table:

Volumetric Capacity of
   Tanks and Cylinders	Minimum Distance
       in U. S. Gallons	From Open Flame
60 to 575 U. S. gallons inclusive	 10 feet       
576 to 2,000 U. S. gallons inclusive	 25 feet       
Over 2,000 U. S. gallons	 50 feet       
(c) When 2 or more tanks are installed in battery, the requirements of Order 542 (a) and (b) will be considered as being complied with when the required warning signs are prominently displayed on all exposed sides of tanks.
§543. Storage, Transfer and/or Vaporization of Natural Gas Within Buildings for the Purpose of Filling Motor Fuel Tanks or for Operating Stationary Internal Combustion Engines.
History

(a) CNG may be stored and LNG may be stored or vaporized within a building or an enclosure providing that the structure is of non-combustible construction, that it is used for industrial purposes only and that the floor area does not exceed 500 square feet.
(b) The space shall be used exclusively for the vaporization of the CNG or LNG or for the storage of not more than a total of 41,500 standard cubic feet of CNG or 500 gallons of LNG. If vapors heavier than air can be present, the structure shall not be below ground level and the space below the floor shall either be of solid fill or else properly ventilated to the open air.
(c) In all cases ventilation must be provided at both floor and ceiling levels and shall be considered adequate when no mixture of flammable gases is permitted in concentrations exceeding 20 percent of the lower flammability limit for the mixture. The requirements of this paragraph may be met by either:
(1) A continuously operating mechanical ventilation system.
(2) A gravity ventilation system composed of a combination of wall vents at the floor level and roof ventilators, or
(3) A combination of the two.
(d) Pumps and compressors should be located outdoors in a freely ventilated area. If installed within a building, such building shall be open on at least one side or be of louvered construction on at least two sides unless other acceptable ventilation is provided and it shall also be equipped with adequate roof ventilators.
(e) All electrical wiring and electrical equipment shall be suitable for use in Class 1, Division 1 location if natural gas is transferred within a building or enclosure. All other electrical wiring and electrical equipment located within a building where there is no transfer shall be suitable for use in a Class 1, Division 2, hazardous location.
(f) All gas piping to the building shall be provided with shutoff valves located outside the building. (Title 24, T8-543)
HISTORY

1. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
§544. Installation of Fuel Tanks or Cylinders for Motor Vehicles and Industrial Trucks.
History

Note: This Section does not apply to those vehicles under the control of the Department of Highway Patrol, except subsections (p), (q), and (r).
(a) Motor fuel tanks or cylinders shall be located in a place and in a manner to minimize the possibility of physical damage.
(b) Motor fuel tanks or cylinders for passenger type vehicles may be located in the trunk compartment provided the trunk compartment is properly ventilated and the safety relief valve discharge is piped outside. When a motor fuel tank or cylinder is installed inside a trunk or other compartment, positive means shall be provided to prevent leakage of natural gas into the passenger or driver's compartment. Vehicle tanks or cylinders that have their connections or appurtenances in the end shall have as much space as possible for connecting the required flexible metal hose or tubing and for operating the manually operated shutoff valve.
(c) If radio transmitting or receiving equipment is located in the same compartment as the fuel tank or cylinder such transmitting or receiving equipment shall be enclosed in a vapor-tight compartment or otherwise protected from escaping fuel, unless the radio equipment is approved for use in a Class 1, Division 1, Group D location.
(d) For passenger-carrying or other commercial vehicles, motor fuel tanks or cylinders and their valves and appurtenances may be installed in a recess which is vapor-tight to the inside of the vehicle and accessible from and vented to the outside.
(e) Valves, fittings and appurtenances containing natural gas shall not be located in the passenger or driver compartment unless all such valves fittings and appurtenances are positively sealed off from and vented to a point outside the passenger or driver compartment.
(f) Each motor fuel tank shall be provided with a manually operated shutoff valve screwed directly into the tank connection. The manual shutoff valve shall be readily accessible or an electrically operated valve shall be installed in the line next to the manual valve. The manual shutoff valve shall be legibly labeled “Shutoff Valve.” In installations of multiple cylinder manifolding, there shall also be a master shut-off valve either electrically or manually operated and located downstream from but as close as possible to the last cylinder in the series. In these cases there shall be a label indicating “Shut-off Valve” at the master valve and the individual tank valves need not be labeled.
(g) Motor fuel tanks or cylinders shall be installed in such a manner that the bottom of the vessel and/or any connection thereto shall not be lower than the lowest horizontal axle when the vehicle is fully loaded.
(h) Vents from control devices shall discharge outside the trunk compartment or other confined space.
(i) Motor fuel tanks or cylinders shall be secured in a manner to prevent jarring loose, slipping or rotating of the tanks. Such fastening shall be designed to withstand loadings in any direction equal to the filled weight of the tank with a factor of safety of at least 8. Motor fuel tanks or cylinders shall not be fastened directly to the gasoline fuel tank. Compensation shall be made for the added weight by proper design or redesign of the vehicle suspension system when the loaded weight of the vehicle exceeds the manufacturer's maximum specifications.
(j) Manifolded motor fuel tanks or cylinders shall be supported and held together as a unit by structurally adequate means. Manifolded branch lines shall be sufficiently flexible to prevent damage to the lines, valves and tanks due to vibration, expansion or contraction. Valves and appurtenances shall be protected from mechanical damage either by being located in recessed wells or by adequate guarding.
(k) All connecting parts of the fuel system shall be installed in such a manner as to prevent abrasion, vibration or fatigue and physical damage.
(l) Field welding, where necessary, shall be made only on saddle plates, brackets or other non-pressure parts that were provided and installed by the manufacturer of the tank or cylinder. There shall be no welding on the vessel shell or heads other than that by the manufacturer unless the welding is acceptable to the authorized inspector.
(m) The connection between the motor fuel tanks or cylinders and the reducing valves, vaporizer or other devices used to reduce the pressure to that needed for carburetion shall be of flexible metallic tubing, wire-braided hose or equivalent with a factor of safety of not less than 5 for the most severe pressure and temperature design conditions. There shall be as few connections and fittings as practicable.
(n) Automatic pressure reducing equipment shall be used for the purpose of reducing the pressure of natural gas to the carburetor, which shall not exceed 5 psi. Positive means shall be provided to prevent malfunction due to refrigeration effects. There shall be a device in the fuel supply system which will automatically stop the flow of fuel when the engine is not running.
(o) Each driver shall be trained in the safe use of this fuel system and be provided with a set of operating instructions. The driver's employer shall be responsible to see that this is done.
(p) While the natural gas motor fuel tank or cylinder is being filled, the vehicle parking or emergency brakes shall be set and the motor shut off. All transfer operations shall be supervised by an attendant familiar with the transfer operation. The attendant may be considered familiar with the transfer operation after he has been provided with a set of instructions and has performed the transfer operation at least through 3 full cycles under supervision. Where LNG motor fuel tanks or cylinders are being filled, the attendant shall remain at the controls necessary to stop the transfer operation.
(q) Fill connections for motor fuel tanks or cylinders shall have at least one back-flow check valve or device. Quick disconnect couplings may be used provided they are designed for the most severe pressure and temperature conditions with a factor of safety of at least 5 and provided they are leak-tight in the connected and disconnected shutoff conditions. These couplings shall not be used in lieu of any required manually operated shutoff valves.
(r) When motor vehicles are to be parked within buildings, adequate provisions shall be made such as roof ventilation to prevent gases lighter than air from being trapped at ceiling level. No source of ignition, electrical or otherwise, shall be permitted at those levels. (Title 24, T8-544(r))
HISTORY

1. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
Article 10. Safe Practices
§560. Safe Practices.
History

(a) No person shall do any of the following:
(1) Remove, displace, damage, destroy, or carry off any safety device, safeguard, notice, or warning for use in any employment or place of employment, or interfere in any way with their use by any other person (this is not intended to prohibit the removal for repair or maintenance of any safety device provided such device or a suitable replacement is reinstalled before the unit is replaced in service).
(2) Interfere with the use of any method or process adopted for the protection of any employee, including himself, in such employment or places of employment.
(3) Fail or neglect to do every other thing reasonably necessary to protect the life and safety of employees.
(b) The following Safety Orders from California Administrative Code, Title 8, are hereby made a part of these orders.
(1) General Industry Safety Order 3301: Use of Compressed Air or Gases. See Appendix B.
(2) General Industry Safety Order 3304: Miscellaneous Use of Compressed Cylinder Gas. See Appendix B.
(3) General Industry Safety Order 3312: Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. See Appendix B.
(4) General Industry Safety Order 3518: Air Compressors. See Appendix B.
(c) Compressed gases shall not be used to elevate or otherwise transfer any substance from or to a container unless the container(s) is/are designed to withstand the maximum possible pressure that may be applied with a factor of safety of at least 4.
Compressed gases shall not be used for pressure testing of any object until a safe pressure and procedure have been established.
Except where pressure tested in accordance with (d), elastic materials must not be gas tested at pressures above 67% of the minimum specified yield point at test temperature. Brittle materials must not be gas tested above 40% of the minimum specified ultimate strength without remote operation and missile shielding. “Brittle Material” is defined for this section as having a minimum specified elongation of 4% or less.
(d) Hydrostatic or Pneumatic Testing (subchapters 1 and 2) of Pressure Vessels, and included piping over 2” diameter.
(1) The rules of applicable Codes or Standards shall be used for hydrostatic, pneumatic or combination hydrostatic-pneumatic testing. Proof tests and tests to failure must also use procedures allowed by applicable codes or standards. If no applicable code or standard exists, the test procedure must be reviewed and accepted by the Division.
(2) All valves, fittings and flanges used for pressure testing equipment, for either new construction or repair, shall have a minimum pressure rating equal to the test pressure. Use of an applicable ANSI standard pressure-temperature table such as in ANSI B16.5, is acceptable to determine the pressure rating.
(3) Except as allowed in (4), all temporary closures shall be threaded, flanged with full bolting, or attached with full penetration welds; welded temporary closures must be so placed to preclude distortion or damage to the vessel or piping being tested.
Threaded connections shall conform to the following table:

MINIMUM NUMBER OF THREADS PER CONNECTION

  (a) Pressures up to and including 300 psi
Size of pipe connection, in.	 1 & 1 1/4	1 1/2 & 2	2 1/2 to 4	4 1/2 to 6	7 & 8	9 & 10	12
Threads engaged	 4	5	7	8	10	12	13
Min. plate thickness required, in.	 0.348	0.435	0.875	1.0	1.25	1.5	1.625

  (b) Pressures above 300 psi
Size of pipe connection, in.	 1/2 & 3/4	1 to 1 1/2	2	2 1/2 to 3	4 to 6	10	12
Threads engaged	 6	7	8	8	10	13	14
Min. plate thickness required, in.	 0.43	0.61	0.70	1.0	1.25	1.62	1.75

(4) The use of expansion plugs or serrated plugs without through stays is limited to 6” nominal pipe size and/or 150 psi; for use of such devices above these limits specific written test procedures must be developed by the employer to protect against injury in the event the plug blows out.
Such instructions may include applicable data and recommendations furnished by the plug manufacturer and must include the following as a minimum:
(A) Identification by function of the personnel responsible for the various procedures.
(B) The test plugs must be well maintained and inspected by the designated employee before use.
(C) Any opening to be plugged shall satisfy any limitation on straightness, roundness and diameter and shall be cleaned of dirt, mill scale or oil.
(D) The plug must be of the correct size and pressure rating, including any limitations on the test fluid or test temperature. It must be inserted for full length of engagement, in accordance with the plug manufacturer's instructions.
(E) The test piece must be so oriented to minimize probability of the plug striking personnel or equipment if the plug is ejected. All air must be vented from objects to be hydrostatically tested. Test plugs shall be barricaded or equipped with arresting devices when pneumatic pressure is used for testing.
(F) Provision shall be provided for safe egress. No one shall be allowed to stand in front of the test plug or in line of probable trajectory during test.
(G) No one shall be allowed to stand on top of the object being tested, or on a ladder to the test section until the test object is brought up to full test pressure, held at test pressure for at least ten minutes, and pressure is reduced to a predetermined safe level.
(H) Pressurization shall be stopped at intervals to check pressure gage (s) and position of test plug (s).
(I) The test pressure shall be reduced to zero before the plugs are loosened for removal.
(J) Damaged or expanded closure ends must be cut off.
(K) All repairs to test plugs shall follow the plug manufacturer's instructions.
(5) Pipe test machines are acceptable for use after they have been reviewed by the Division for safe operational procedures.
(6) Pressure during test must be controlled within 5% above the required test procedure. Protection against overpressure must be provided at 110% of the test pressure. A relief valve setting of 133% of the test pressure may be used, for elastic materials only, where calculations show that 133% of the test pressure will not exceed 90% of the specified minimum yield strength of the material. The discharge from the safety relief valve or rupture disc must be led full size to a safe place.
The requirement for a relief valve may be waived by a Qualified Pressure Vessel Safety Engineer or Certified Pressure Vessel Inspector if the only source of test pressure is a handpump.
(e) Railroad tank cars containing compressed gas may not be used for interrupted unloading into smaller containers, unless permitted by the Federal Department of Transportation. Provisions for such unloading shall conform to DOT regulations
See Petroleum Safety Orders, Sections 6879, 6880 and 6881 for requirements covering transfer operations at sidings inside petroleum refineries and distribution plants.
(1) An adequate unloading facility must be provided, and provisions must be made to support the transfer hoses. The transfer attendant must not be required to haul the transfer hoses up or down the tank car ladder.
(2) A bulkhead must be provided to prevent pullaway of the transfer hoses and/or to prevent imposing piping loads on the tank car valves. The bulkhead must be designed to withstand a horizontal pull of at least 2,000 pounds in any direction unless other adequate protection is provided. The unloading connections shall be firmly secured to the bulkhead. Excess flow valves, check valves or equivalent devices shall be provided where pipe or hose size is reduced.
The Qualified Transfer Attendant shall be instructed in all phases of the transfer operation. The instructions shall include a prohibition against overfilling any tank. Note: All valves in the transfer system must be fully open in order for an excess flow valve to function, so internal valves or check valves should be used whenever possible. The tank car excess flow valves are located in the internal piping beneath the dome.
Note: Bonding and grounding of the tankcar and transfer equipment may be required for compressed flammable gases by railroad leasing agreement or by the local fire official.
(3) Written notification shall be given the Division and the local fire official of each non-permanently equipped transfer site. In emergencies, verbal notice may be given followed by written confirmation. Each such site shall be located, with respect to the minimum distance tables as outlined in Section 501(c) for NH3 or Sections 475(a) and (b) for Flammable Compressed Gas. Sites for transfer of other compressed gases must be at least 50 feet from railroad main track or important buildings. The working areas must be kept clear of debris and all transfer equipment must be protected from physical damage. Transfer shall be done only during daylight hours unless the transfer area is equipped with a lighting system and which provides at least 5 foot candles of illumination at all points of operations.
(4) Vehicle and tank car wheels must be blocked during transfer. Tank car brakes must be set. Tank cars must not be left connected to hoses and/or pipelines except during the unloading operation and while the qualified transfer attendant is present and in charge, unless the tank car valves are closed and locked, hoses are depressurized and/or a hydrostatic relief valve is installed between shutoff valves.
Valves on vehicles must be closed and locked except during transfer. Where vehicular container valves cannot be locked closed, the filling hose(s) must be disconnected when the qualified attendant is not present.
(5) Transport tank trucks and towed vehicles may load into the tank cars if they are also equipped with pullaway protection, in addition to meeting the requirements of paragraphs (1) through (4). A brake interlock system that is acceptable to the Division, and is connected to the truck tank unloading hose connection, is considered as an adequate pullaway safeguard.
Personal protective devices and safety equipment which are required and used for stationary storage facilities must be provided. Fire extinguishers must be provided for flammable compressed gases and anhydrous ammonia as required by the applicable safety order.
HISTORY

1. New subsection (e) filed 5-6-77; effective thirtieth day thereafter (Register 77, No. 19). For prior history, see Register 76, No. 51.

Appendix A

Minimum Capacity Requirement Of Relief Valves for Fire
Exposure For Liquefied Natural Gas Tanks and Vaporizers
A1. The minimum total heat influx during a possible fire exposure of an insulated container shall be computed by the applicable formula:
Note: Equation (1) shall be used for vaporizers with external insulation and Equation (2) for uninsulated vaporizers. The value of A is obtained by adding the area of the shell in contact with LN-Gas and the area of heat exchange surface in contact with LN-Gas.

(1)	H = 1560C1A0.82+ Hn                                
where:
H = Total heat influx, Btu per hour.
C1 = Conductance of the insulation, Btu/sq. ft.-hr.-deg. F. (The value of C increases with temperature and a mean value for the range from -260 F to +1660 F should be used.)
A = Total exposed wetted surface area in sq. ft.
Hn = Total normal heat gain to the stored liquid without fire exposures and at maximum ambient temperatures, Btu per hour.
A2. If the insulation system, including any jacketing material, is such that it will disappear, deteriorate or dislodge in an exposure fire, a higher heat gain will occur. This requires special consideration depending upon the extent of loss of the insulating properties. If only a part of the insulation is lost, the heat gain may be estimated by the formula:

(2)	H = (34,500 - 360C2)A0.82+ Hn                       
In this case, the value of C2 should be the mean value for the range from -260o F to +100o F.
A3. The required relief valve capacity shall be computed by the formula

(3)	Qa = 3.09(H/L)Ö(T/M)                                   
where:
Qa = Required flow capacity of air, cu. ft. per hour at 60 F and 14.7 psia.
H = Total heat influx, Btu per hour from the formula (1) or (2).
L = Latent heat of vaporization of the stored liquid, Btu per lb. (219 may be used for LN-Gas).
T = Absolute temperature of the gas at the relief valve inlet, deg. R.
M = Molecular weight of the gas (16.0 may be used for LNG).
HISTORY

1. Relocation of Appendix A filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).

Appendix B
3301.1 Use of Compressed Air or Gases.
(a) Compressed air and other compressed gases in excess of 10 pounds per square inch gauge shall not be used to blow dirt, chips, or dust from clothing while it is being worn.
(b) Compressed air or gases shall not be used to empty containers of liquids where the pressure can exceed the safe working pressure of the container.
(c) The use of compressed air shall be so controlled, and proper personal protective equipment or safeguards utilized, as to protect against the possibility of eye or body injury to the operator or other workers.
(d) Abrasive blast cleaning nozzles shall be equipped with an operating valve which must be held open manually. A support shall be provided on which the nozzle may be mounted when it is not in use.
(e) Compressed gases shall not be used to elevate or otherwise transfer any hazardous substance from one container to another unless the containers are designed to withstand, with a factor of safety of at least four, the maximum possible pressure that may be applied.
Note: For further guidance in the utilization of compressed gases in cylinders see Group 10; for portable tanks, rail tank cars, or motor vehicle cargo tanks, see Compressed Gas Association Pamphlet P-1-1965.

1 Reprint General Industry Safety Order, Section 3301, Use of Compressed Air or Gases, from the California Administrative Code, Title 8, Subchapter 7 (Register 75, No. 29).
3304.2 Miscellaneous Use of Compressed Cylinder Gas.
(a) Employers shall not permit the use of compressed cylinder gas for testing pressure vessels unless there is installed in the compressed gas supply line or on the vessel being tested a pressure relief device set to function at a pressure not to exceed the safe working pressure of the vessel.
(b) Compressed gas shall never be used from a cylinder or cylinder manifold where pressures dangerous to employees may develop unless an accepted pressure regulating device is installed on the cylinder valve or manifold. The term “accepted” here means that the pressure regulating device is listed by Underwriters' Laboratories or some other recognized authority of equivalent standing.
Note: Cylinder as used in this order means an Interstate Commerce Commission compressed gas cylinder.

2 Reprint General Industry Safety Order, Section 3304, Miscellaneous Use of Compressed Cylinder Gas, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).
3312.3 Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels.
(a) Before employees are allowed to enter, through a manhole, the shell or drum of a steam boiler or an unfired steam pressure vessel for maintenance or repair, where such a boiler or pressure vessel is one of a battery of two or more boilers or vessels or is connected to another source of steam, the valves connecting to the steam header or other source of steam shall be closed and effectively blinded or two valves shall be installed with a bleeder between them and the valves shall be closed and bleeder open. Blow down valves and other valves on lines through which harmful material might accidentally flow back to the boiler or vessel shall be either sealed or closed and locked and the key retained by the employee or his supervisor while the employee is in the boiler or vessel. When lines are effectively blinded the valves need not be locked or sealed.
(b) Employees shall not enter or be required to enter the fire boxes, flues or combustion chambers of fired apparatus until:
(1) The pilot light, fuel and steam lines to burners entering the fire box or combustion chamber have been blinded, disconnected or effectively closed by the use of two block valves with an open bleeder between them.
(2) All probability of ignition of any solid combustibles in the fire box or combustion chamber has been removed.

3 Reprint of General Industry Safety Order, Section 3312, Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).
3518.4 Air Compressors.
(a) Air compressor discharge lines having a block valve between the air receiver and compressor shall have a pressure relieving safety device installed in the line between the compressor and block valve. The pressure relieving safety device shall be set to open at a pressure not to exceed the rated working pressure of the cylinder. The relieving capacity of the pressure relieving safety device shall be such as to prevent a rise of pressure in the compressor cylinder of more than 10 percent above its maximum allowable working pressure, and the discharge shall be to a safe place.
The installation of this pressure relieving safety device is not to be considered as providing the required safety relief valve for the protection of the air receiver.
(b) Air compressor intake lines shall not be located in atmospheres containing explosive concentrations of flammable gases or vapors.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New Appendix B (Sections 3301, 3304, 3312, and 3518) filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).

4 Reprint of General Industry Safety Order, Section 3518, Air Compressors, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).

Appendix C

Acceptance Tests for Plastic Piping
The following are tests that shall be passed for acceptance of plastic piping for the conveyance of compressed air:
1. Test for impact resistance at 0o C: (32o F)
Objective: To determine if the material will withstand the energy of impact without fracturing through the complete wall thickness.
Form of test specimen: Each specimen shall be a section of pipe, of a length equal to twice the nominal size or 150 mm (6”), whichever is greater, subject to a maximum length of 300 mm (12”). The ends of the specimen shall be cut clean and equal to the axis of the pipe.
For “round-the-clock” testing, each specimen shall be marked with the number of longitudinal lines shown in Table 1.
Note: For pipe sizes 50 mm (2”) and over, specimens are subjected to impact equally spaced around the pipe; this procedure is known as “round-the-clock” testing.
Apparatus: A falling weight machine (an example of which is shown in Figure 1) shall be used and shall consist essentially of the following:
a. A main frame which can be rigidly fixed in a true vertical position.
b. Guide rails, carried from the inside of the main frame, on side bearings which can be adjusted to keep them parallel and vertical.
c. A weighted striker that can fall freely within the guide rails and that is equipped with a hardened hemispherical striking surface 25 mm (1”) in diameter. The striking surface shall be free from flats and/or other imperfections.
d. An appropriate set of weights which can be firmly attached to the striker to enable the combined weight to be adjusted to the values shown in Table 2.
Procedure: Adjust the total energy of the striker to the value appropriate to the pipe diameter being tested as shown in Table 2.
Condition each specimen in a water or ethylene glycol bath for at least one hour prior to the test at a temperature of 0o C (32o F) + 1o. Test individual specimens within 10 seconds of removal from the bath. allow the striker to fall freely onto the pipe specimen, which is centrally mounted on the vee block support.
Specimens from 10 mm (3/8”) to 38 mm (1-1/2”) (inclusive) nominal size shall be subjected to a single strike only.
For pipe size 50 mm (2”) and above. Place the pipe on the vee block, so that one of the marked lines is uppermost. Then allow the weight striker to fall freely on the marked line on the pipe as described above. If the specimen does not fail as a result of cracking or splitting through the pipe wall, rotate the specimen until the next marked line is uppermost in the vee block, and cause a second blow to be made by the striker. Repeat the process until all the marked lines have been tested, or until a failure is recorded.
If the required sequence of impacts has not been completed within 10 seconds, interrupt the procedure and immediately recondition the specimen at a temperature of 0o C (32o F) + 1o for at least 10 minutes.
Fracturing or cracking through the complete wall thickness of the test specimen shall be a failure.
The following tests (Nos. 2 & 3) are intended to simulate a potential destructive impact. Splitting through the pipe wall or puncture is acceptable for passing results, if:
(a) No separation of one part of piping length from its mating part occurs.
(b) No separation of any material fragment from the body of the piping occurs.
2. Test for impact resistance at design pressure at 0o C (32o F) with blunt striker. Testing procedures and apparatus shall be the same as Test No. 1, except:
(a) Pressurize and maintain pipe sample  at design pressure and cool to 0o C (32o F) as in Test No. 1.
(b) Energy of the striker to be twice the total energy of Table 2.
(c) Only one drop required.
3. Test for impact resistance at design pressure at 0o C (32o F) with sharp striker. Same as Test No. 2 in all cases, except with a chisel edged sharp striker (Figure 2).
4. The plastic piping systems shall be capable of sustaining without failure at least 600 psi when tested to the Standard Test Method for Short-Time Hydraulic Failure Pressure of Plastic Pipe, Tubing, and Fittings, using ASTM Designation No. D1599-86 (1986) which is herein incorporated by reference. This test shall be performed on each batch of pipe and fittings.
5. The plastic piping system shall be capable of sustaining without failure at least 460 psi when tested to the Standard Test Method for Time-to-Failure of Plastic Pipe Under Constant Internal Pressure using ASTM Designation No. D1598-86 (1986), which is herein incorporated by reference, for at least 1,000 hours. This test shall be  performed anytime there is a change in:
(a) material composition, compound or processing technique;
(b) design or size of joint or fitting;
(c) but, in any case not less than every 12 months.

Table 1.

Number of Lines For “Round-the-Clock” Testing

		Number of Equidistant
	  Normal Size mm (inches)	Lines to be Drawn

		50	mm	(2”)	3
		63	mm	(2-1/2”)	4
		75	mm	(3”)	4
		100	mm	(4”)	6

Table 2.

Energy of Striker

		Total Energy
	     Normal Size of Pipe	of Striker
	           mm (inches	ft. lbs.

		10	mm	(3/8”)	22
		12	mm	(1/2”)	33
		19	mm	(3/4”)	43
		25	mm	(1”)	54
		38	mm	(1-1/2”)	65
		50	mm	(2”)	76
		63	mm	(2-1/2”)	98
		75	mm	(3”)	98
		100	mm	(4”)	110
(c) Whenever an owner or user of any apparatus or equipment fails to pay the fees required under this section within 60 days after notification, said owner or user shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of such fee. For the purpose of this section, the date of the invoice shall be considered the date of notification.

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HISTORY

1. New Appendix C filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer and new Appendix C filed 4-8-92; operative 5-8-92 (Register 92, No. 18).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

Appendix D

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View Graphic

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix D filed 1-30-2002; operative 3-1-2002 (Register 2002, No. 5).
Subchapter 2. Boiler and Fired Pressure Vessel Safety Orders

(Originally Printed 4-20-45 As Boiler Safety Orders
Repealer and New Subchapter 2 Filed 8-18-55)
Article 1. Scope of These Orders
§750. Application of Boiler and Fired Pressure Vessel Safety Orders.
Note     •     History

(a) These orders establish minimum standards for:
(1) The design, construction, installation, inspection, operation, and repair of all power boilers and nuclear boilers in California not specifically exempted from these Orders.
(2) The design, construction, installation, operation, and repair of all low-pressure boilers and high-temperature water boilers in California not specifically exempted from these Orders.
(3) The design and construction of fired pressure vessels in California not specifically exempted from these orders.
(b) After the date on which these orders become effective, all installations and equipment shall conform to these orders.

Exception: Existing installations and equipment which were in compliance with safety orders, or variances therefrom, in effect prior to the effective date of these safety orders, unless the hazard presented by the installation or equipment is, in the judgment of the Chief of the Division, of such severity as to warrant control by the application of the applicable sections of these orders.
Note: Unless otherwise designated in this subchapter, the phrase “Division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
NOTE

Authority cited: Section 6307, Labor Code. Additional authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 6302(d), Labor Code.
HISTORY

1. Repealer and new subsection (b) filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33). For prior history, see Register 66, No. 38.
2. Amendment of subsection (b) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
§751. Boilers and Fired Pressure Vessels Not Subject to These Orders.

These orders are not applicable to the following:
(a) Boilers and fired pressure vessels under the jurisdiction or inspection of the United States Government.
(b) Boilers and fired pressure vessels used in household service.
(c) Automobile boilers and boilers used exclusively to operate highway vehicles.
§752. Variances.
Note     •     History

(a) Any employer may apply to the Division for a temporary order granting a variance from an occupational safety and health standard. Such temporary order shall be granted only if the employer files an application which meets the requirements of Sections 6450 through 6457, inclusive, of the California Labor Code.
(b) Any employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, order, or portion thereof upon a showing of an alternative method, program, practice, means, device or process which will provide equal or superior safety for employees. Such application shall conform to the requirements of the California Administrative Code, Title 8, Chapter 3.5.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
Article 2. Definitions
§753. Definitions.
Note     •     History

Age: Period of time since date of manufacture or nearest estimate if date of manufacture is unknown.
ANSI Standards: Standards approved as American National Standards by the American National Standards Institute, Inc.
Appurtenance A device installed on and used in the normal operation of the boiler. This includes the piping between the boiler and device, but does not include piping beyond that point unless specifically required elsewhere in these Orders.
ASME: The American Society of Mechanical Engineers.
Automatic Safety Shutdown Devices: Safety controls (other than operating controls) which monitor certain essential operating conditions of a fired boiler and which will shut down the boiler in the proper sequence when any of the essential conditions vary from set limits and require the services of the attendant to place the boiler back in operation.
Automatically Controlled Boiler: A boiler equipped with devices to maintain the burner firing conditions, the pressure and/or temperature, and the water level or water content within the predetermined limits without manual manipulation.
Boiler: A fired or unfired pressure vessel used to generate steam pressure by the application of heat. (This definition is intended to include “steam generators” and “forced--circulation boilers” but excludes “unfired evaporators.”) [Note definition of: Code Boiler, High Temperature Water boiler, Low Pressure Boiler, Miniature Boiler, Nuclear Boiler, Power Boiler, Secondhand Boiler].
Certificate of Competency: Certification issued by the Division to persons who have satisfactorily passed the written boiler inspector's examination prescribed by the Division.
Certified Inspector: a person who is qualified to make inspections or examinations of boilers or tanks according to the rules under which the vessel is constructed, who has an unrevoked certificate of competency issued pursuant to this part, and who is employed by any one of the following:
A county.
A city
An insurer.
An employer, for the purpose of inspecting only tanks and boilers under his jurisdiction.
Code: The applicable sections of the ASME Boiler and Pressure Vessel Code and of the ANSI Standards.
Power Boilers. Section I, 1977 edition, (except PG--39 and PW--35 for which the 1974 edition will be used).
Material Specification, Section II, 1977 edition.
Nuclear Power Plant Components, Section III, 1977 edition, Division 1 and 2 (except NB/NC/ND--3612(a)(3), for which the 1974 edition will be used).
Heating Boilers, Section IV, 1977 edition.
Pressure Vessels, Section VIII, 1977 edition.
Welding and Brazing Qualifications, Section IX, 1977 edition.
Rules for In service Inspection of Nuclear Power Plant Components, Section XI, 1977 edition.
Power Piping, ANSI B 31, 1, 1977 edition (except nonmetallic pipe such as plastic is not acceptable unless permitted by specific safety orders).
Code addenda shall become effective six months after the date of issuance unless exception to specific parts thereof are made in the interim by the Division.
Code Boiler: a boiler constructed, inspected, and stamped as required by the code.
Division: Division of Industrial Safety.
Evaporator: An apparatus, usually closed, for driving off superfluous liquid, as in concentration plants for sugar and syrup, in fruit drying, etc., or for evaporating liquid for subsequent condensation to purify it, as from salts held in solution.
Existing Installations: Boilers installed in California prior to the adoption of these orders and in compliance with the safety orders of the Division in effect at the time of installation.
External Inspection: An inspection of all visible external surfaces and appurtenance of an installed boiler or fired pressure vessel. Where practicable this inspection shall be made with the boiler in operation to permit the inspector to witness the operation of the controls.
Field Inspection: An inspection of an installed boiler or fired pressure vessel.
Fired Pressure Vessel: A metallic vessel other than a boiler in which vapor pressure is generated in excess of 15 psi by direct firing with a solid, liquid, or gaseous fuel or by electric heating elements. (This does not apply to a coil or tubular section in which a fluid or other product is being continuously circulated by means of a pump or other mechanical device, provided the pipes or tubes do not exceed 6--inch size.)
Full Safety Pilot Control: A control that will shut off the fuel to the main burner and to the pilot burner and require manual resetting if:
The pilot burner flame should be extinguished, or
In the case of spark ignition, the main burner fails to light after 1 recycle of operation of the ignition mechanism.
High Temperature Water Boiler: A fired or unfired pressure vessel used to heat water to temperatures above 212o F. At pressure exceeding 160 psi or to temperatures exceeding 250o F regardless of pressure.
Internal Inspection: Inspection of all accessible internal and external surfaces of a boiler or fired pressure vessel and its appurtenances.
Low--pressure Boiler: A boiler which does not:
Operate at steam pressure or with steam safety valve settings exceeding 15 psi (low--pressure steam boiler), or
Operate at water pressure exceeding 160 psi or water temperatures exceeding 250o F (hot water heating boiler).
This definition is not intended to include domestic type water heaters provided all of the following are complied with:
The heater does not have more than 120--gallon water capacity.
The heater is used only for heating service water.
The operating control on all automatically controlled heaters is installed  by the manufacturer and is of a type that cannot be regulated to increase the water temperature at the top of the heater to more than 200o F.
A non--adjustable control is installed on all automatically controlled heaters by the manufacturer and set to shut off the heat input when the temperature at the top of the heater is 210o F or less. This control and the necessary fuel valve, switch, etc., shall be separate from the operating mechanisms required in (C) above.
Automatically controlled gas or oil fired heaters shall have a safety pilot mechanism installed by the manufacturer and so arranged that fuel will be shut off to both the main burner and pilot burner in case of failure of the pilot burner flame or of the spark igniter.
The heater is approved by the American Gas Association or other testing laboratory acceptable to the American National Standards Institute.
The heater is protected against over--pressure than the maximum allowable working pressure of the heater and having a relieving capacity in BTU/hr at least equal to the burner output.
Coil--type swimming pool heaters at places of employment rated at or below 400,000 BTU/hr input need not be considered boilers provided all of the following conditions are complied with:
They are used to heat pool water to a maximum temperature of 140o F, with a maximum pressure stamping of 150 psi.
The inside diameter of the tubes shall not exceed 1/8”.
The water volume within the casing does not exceed 6 gallons.
Pool heaters with 200,000 BTU/hr input and less need not be ASME Code, but shall be built to good engineering practice, and have a minimum factor of safety of 4.
They shall have an ASME Code safety valve rated at the full BTU output, and set at or below the stamped maximum allowable working pressure of the heater.
The maximum voltage of the control circuit shall be 120 volts.
The burner shall have a safety pilot mechanism installed by the manufacturer that will shut off the fuel to both the main burner and pilot burner in case of failure of the pilot burner or of the spark ignitor. The maximum time until the fuel valve is fully closed shall be 90 seconds for burners not exceeding 400,000 BTU/hr input.
There shall be a flow switch or low water pressure switch installed by the manufacturer within the heater casing to monitor flow through the coil.
There shall be a high temperature limit switch set below the boiling point at atmospheric pressure. This is in addition to the operating temperature control, set at 140o F.
There shall be two main burner fuel valves piped in series, or a single fuel valve having two seats.
Coil--type steam vapor cleaners need not be considered as boilers provided all of the following conditions are complied with:
The larges nominal pipe or tubing size is 3/4,” and has no drums or headers attached. They shall be built to good engineering practice with a factor of safety of at least 4.
The nominal water containing capacity does not exceed 6 gallons.
A non--adjustable high limit temperature control shall be set to operate at or below 350oF. 
Steam is not generated within the coil.
A safety valve set at or below the stamped maximum allowable working pressure, with relief capacity at least equal to the BTU output of the burner, shall be installed near the outlet.
The burner shall have a safety pilot mechanism installed by the manufacturer that will shut off the fuel to both the main burner and pilot burner in case of failure of the pilot burner or of the spark ignitor. The maximum time until the fuel valve is fully closed shall be 90 seconds for burners not exceeding 400,000 BTU/hr input.
Miniature Boiler: A boiler which does not exceed any of the following limits:
16 inches inside diameter of shell.
5 cubic feet gross volume, exclusive of casing and insulation. (This volume includes the total volume of the steam and water containing parts of the boiler plus the volume of the combustion space and gas passages up to the point of attachment of the smokestack or chimney breeching.)
20 square feet water heating surface.
100 psi maximum allowable working pressures.
National Board: The National Board of Boiler and Pressure Vessel Inspectors. 
New Installations: Boilers and fired pressure vessels installed or reinstalled after the effective date of these Orders.
Nuclear Boiler: A device consisting of a vessel or system of vessels in which nuclear fuel is present and a nuclear chain reaction may take place or in which the reactor coolant is circulated for the purpose of heating a fluid for generating useful energy. Such nuclear boiler shall include the interconnecting piping up to and including the required valve or valves needed to isolate the vessel or system of vessels.
Oil Field Recovery Heater: A forced--circulation, once--through, water tube steam generator, used only in oil field thermal recovery operations, having no fired pressure parts larger than 4--inch pipe size and no other pressure part larger than 6--inch pipe size.
Power Boiler: Steam boiler operated at pressure exceeding 15 psi.
Proved Pilot: a device that will not permit the fuel valve to the main burner to open until a proper source of ignition is established to light the main burner.
Psi: Pounds per square inch gage.
Qualified Inspector: Either a certified inspector or qualified safety engineer.
Qualified Safety Engineer: A person who is qualified to make inspections or examination of boilers or tanks according to the rules under which the vessel is constructed and who holds a valid certificate of competency issued by the Division.
Relief Valve: An automatic pressure relieving device actuated by the static pressure upstream of such device which opens further with the increase in pressure over the opening pressure. It is used primarily for liquid service.
Resale Inspection: The inspection of any used boiler to determine its maximum allowable working pressure when reinstalled in accordance with these Orders.
Safety Relief Valve: An automatic pressure actuated relieving device suitable for use either as a safety valved or relief valved, depending on application.
Safety Valve: An automatic pressure relieving device actuated by the static pressure upstream of such device and characterized by full opening pop action. It is used for gas or vapor service.
Secondhand Boiler: A boiler that has changed both ownership and location.
Shop Inspection: Inspection of boilers and fired pressure vessels in a fabricator's shop, or at the jobsite during erection, as required by the Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (e--2) and amendment of subsection (s--4) filed 8--12--76; effective thirtieth day thereafter (Register 76, No. 33). for prior history, see Register 75, No.6
2. Amendment filed 6--15--79; effective thirtieth day thereafter (Register 79, No. 24).
3. Amendment filed 5--28--81; effective thirtieth day thereafter (Register 81, No. 22).
4. Editorial correction of printing error in Internal Inspection (Register 92, No. 29).
Article 3. Design and Construction
§754. Design and Construction of Power Boilers and High Temperature Water Boilers.
History

All new power boilers and high temperature water boilers shall be constructed, inspected, and stamped in full compliance with the applicable sections of the Code, unless the design and construction of the boiler are accepted by the Division as equivalent to Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
2. Repealer and new section filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
§755. Design and Construction of Fired Pressure Vessels.
History

(a) All fired pressure vessels shall be constructed, inspected, and stamped in accordance with the Code insofar as applicable. Those vessels not included in the scope of the Code shall be designed and constructed in accordance with good engineering practice regarding pressure vessel design for the pressure and temperature to be expected in service with a factor of safety of at least four.
(b) Good engineering practice as used in this article shall be construed to require the employer to provide details of design and construction which will be as safe as otherwise provided by the rules in the Code including shop inspection.
HISTORY

1. Repealer and new subsection (a) filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
§756. Design and Construction of Low-Pressure Boilers.
History

All new low-pressure boilers shall be constructed, inspected, and stamped in accordance with the Code, unless the design and construction are accepted by the Division as equivalent to Code.
HISTORY

1. Repealer and new section filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
§757. Design and Construction of Nuclear Boilers.
Note     •     History

All pressure vessels installed as a part of a nuclear boiler shall be constructed, inspected, and stamped in accordance with the Code, unless the design and construction are accepted by the Division as equivalent to Code.
All piping included as a part of a nuclear boiler, up to and including the valve or valves required to isolate the boiler system, shall be constructed, inspected, and stamped in accordance with the requirements for pressure piping in Section I of the Code--except that the Code symbol stamp may be omitted from the stamping required by that section of the Code.
NOTE

Authority cited: Section 6307, Labor Code. Additional authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-17-65; effective thirtieth day thereafter (Register 65, No. 24). Former section 757 renumbered to 758.
2. Repealer and new section filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
§758. Maximum Allowable Working Pressure of Existing Installations.
History

(a) The maximum allowable working pressure of any code boiler shall be determined by the provisions of the code effective when the boiler was manufactured and upon its condition, determined after an internal inspection.
(b) The maximum allowable working pressure of any non-code power boiler shall be determined by the standards of the Code with a factor of safety not less than:
(1) Five if the boiler had been inspected and reported to the Division prior to January 1, 1936.
(2) Eight if the boiler had not been inspected and reported to the Division prior to January 1, 1936, and is of lap seam construction.
(3) Seven if the boiler had not been inspected and reported to the Division prior to January 1, 1936, and is of butt-strap construction.
(4) Six if of welded construction, providing it can be proven to the satisfaction of the Division that the material, workmanship, and details of construction are equivalent to the requirements for Code boilers.
(5) The factor of safety permitted at the time of last internal inspection prior to the adoption of these orders; provided, however, that a lower factor of safety may be allowed at the discretion of the Division.
(c) A higher factor of safety than provided for in (b) above may be applied at subsequent inspections by any qualified inspector when deterioration or other defects are found that affect the safety of the boiler.
(d) The maximum allowable working pressure of a fired pressure vessel constructed prior to the effect date of these orders shall be established in accordance with the rules of the code when applicable, or in accordance with good engineering practice regarding pressure vessel design.
HISTORY

1. Renumbered from former Section 757 (Register 65, No. 24).
Article 4. Installation
§761. Safety Valves and Pressure Relieving Devices, Boilers.
Note     •     History

(a) Each power boiler, nuclear boiler, and high temperature water boiler shall have safety valves or pressure relieving devices constructed, stamped and installed in accordance with the applicable section of the Code, except:
(1) For existing installations the stamping required by the Code at the time of original installation may be accepted until the valves are replaced.
(2) Upon written request by the employer, the Division may permit three-way two-port valves to be installed under two safety valves, each with the required relieving capacity, provided they are so installed that both safety valves cannot be closed off from the boiler at the same time and provided the three-way valve will permit at least full flow to the safety valve in service at all time.
(b) The user shall maintain all pressure relieving devices in good operating condition. Where the valves cannot be tested in service, the user shall maintain and make available to the inspector records showing the test dates and set pressure for such valves.
(c) Pressure relieving devices with open discharge installations shall have piping and supports designed for pressure relief reaction forces in accordance with Appendix II of ANSI B 31.1.
The discharge from pressure relieving devices shall be piped to a safe location where:
(1) The discharge of steam or hot water will not present a hazard to employees.
(2) The discharge of steam or water will not be detrimental to any electrical or other machinery or equipment.
(3) The discharge pipe cannot be readily plugged or otherwise obstructed.
NOTE

Authority cited: Section 142.3, Labor Code . Reference: Section 142.3, Labor Code .
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No.  38). Approved by State Building Standards Commission.
2. Amendment filed 6-16-79; effective thirtieth day thereafter (Register 79, No.  24).
3. Change without regulatory effect inserting “(a)” immediately preceding the first paragraph and “(b)” immediately preceding the fourth paragraph, filed 1-24-91  pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 7).
§762. Safety Valves and Pressure Relieving Devices, Fired Pressure Vessels.
History

(a) Boilers (or vaporizers) of the Dow-therm, mercury vapor or similar types shall be fitted with adequate safety relieving devices to assure their safe operation. Safety valves of Dow-therm vaporizers and similar equipment shall be removed at least once each year for inspection and cleaning of any deposits that might affect their operation. (To eliminate the necessity of shutting the unit down for this inspection, a three-way stop valve may be installed under 2 safety valves, each with the required relieving capacity, and so installed that both safety valves cannot be closed off from the vaporizer at the same time; or 2 or more separate safety valves may be installed with individual shutoff valves, in which case the shutoff valve stems shall be mechanically interconnected in a manner which will allow full required flow at all times.)
(b) Fired pressure vessels other than those mentioned in (a) above shall be fitted with safety relieving devices of sufficient capacity to relieve all vapor that can be generated in the vessel during normal operation and shall be fitted with proper controls to assure their safe operation.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§763. Low-Pressure Boilers.
Note     •     History

(a) All low-pressure boilers shall be installed and fitted with the fittings and appliances required by the Code, and any additional appurtenances required in the following subsections.
(b) When a hot water heating boiler is equipped with an electrically operated circulating pump and electrically operated burner controls, the control switches shall be labeled to show which is for the burner circuit and which is for the pump circuit, or the electrically operated burner controls shall be connected in the electric circuit ahead of the automatic pump switch or the burner control switch shall be mechanically interlocked to the disconnect switch for the circulating pumps.
(c) All low-pressure boilers shall be equipped with one or more pressure relieving device adjusted and sealed so as to discharge at a pressure not to exceed the maximum allowable working pressure of the boiler. The combined capacity of these devices shall be such that with the fuel burning equipment installed and operating at maximum capacity the pressure cannot rise more than 5 psi for steam boilers or 10% for water boilers above the maximum allowable working pressure of the boiler. All pressure relieving devices shall be installed as required by the Code and be ASME stamped and rated and shall be installed with the valve spindle vertical and shall have a manual lifting device to permit periodic testing.
The discharge from all drains and pressure relieving devices shall be piped to a safe place of discharge and shall have no shutoff valves in the pipe between the pressure relieving device and point of discharge.
A safe place of discharge as used in this section shall be a location where:
(1) The discharge of steam or hot water will not present a hazard to employees.
(2) The discharge of steam or water will not be detrimental to any electrical or other machinery or equipment.
(3) The discharge pipe cannot be readily plugged or otherwise obstructed.
(d) All automatically controlled low-pressure boilers shall be equipped with:
(1) A low-water control that will close the main burner fuel valve when the water in the boiler reaches the lowest operating level, or for boilers with no fixed steam or water line, when the highest permissible operating temperature is reached.
(2) A low-water safety cutout that will shut off the fuel to the burner when the water in the boiler reaches a predetermined level which shall not be below the lowest permissible level, and manual resetting of the low-water control or of the fuel valve or of the emergency control system shall be required to place the boiler back in operation after it has been shut down due to the operation of the low-water safety cutout.
(3) An adjustable operating control and fuel valve to regulate the flow of fuel to the burner to maintain the pressure or temperature below the following limits:
(A) 15 psi gage pressure for steam boilers.
(B) 250 F water temperature for water boilers.
(4) A high-limit safety control that will shut off fuel to the burner when the pressure in a steam boiler reaches a predetermined maximum not to exceed 15 psi gage or when the temperature in a water boiler reaches a predetermined maximum not to exceed 250 F. The high-limit safety control mechanism shall be in addition to the operating control required in (d)(3) above and manual resetting of the high-limit control or of the fuel valve or of the emergency control system shall be required to place the boiler back in operation after it has been shut down due to the operation of the high-limit safety control.
(5) (A) A full safety pilot control on boilers equipped with standing pilot burners, other than those included in subsection 763 (d)(5)(B), that will shut off the fuel to the main burner and any extinguished pilot burners if a pilot light is extinguished.
Such device shall actuate to close the safety fuel shutoff valve required in Subsection 763 (d)(6) within the time limits specified for flame failure shutoff in Table 1.
(B) A programmed flame safeguard system on burners equipped with spark ignition that will include a flame failure shutoff time not greater than specified in Table 1. Such system shall require the services of the attendant to place the boiler back into operation if a flame failure should occur while in operation or if the flame is not established within the time limit programmed into the system. Such time limits shall not exceed that specified for flame failure shutoff in Table 1.

View Graphic
Note 1. Flame failure shutoff as used in these Orders means the total elapsed time from the time of flame failure or other abnormal condition occurs until the fuel shutoff valve is closed.
Note 2. Where a burner is designed or equipped for a “starting firing rate” of less than the maximum firing rate of the burner, the flame failure shutoff time shown in Table 1 for the lesser firing rate may be used for establishing ignition, provided that firing rate cannot be increased until ignition is proven. The time limit for flame failure shutoff shall be determined by the maximum burner input.
Note 3. The 60-second time limit for flame failure shutoff may be used for burners having less than 20 gallons per hour input if equipped with a proved pilot.
Note 4. In case of pilot flame failure, the proved pilot shall de-energize the safety fuel shutoff valve electrical circuit and cause that valve to close within 10 seconds.
(6) In addition to the operating fuel shutoff valve(s) required in 763 (d) (1) and (3), an additional safety fuel shutoff valve that will be operated by the controls required by Section 763 (d) (2), (4), and (5). This valve shall be of a type that will close within 2 seconds after being de-energized if the burner input rating exceeds 400,000 BTU/hr.
(7) A means for obtaining adequate combustion chamber purging and for limiting the burner “trial for ignition” time during start up to 15 seconds or that permitted for flame failure shutoff in Table 1, whichever is greater.
(e) All low-pressure boilers shall be equipped with a pressure or altitude gage as required by the code. All water boilers shall be equipped with a thermometer to indicate temperature conditions at or near the hot water outlet. These devices shall be visible to the operator from the operating area.
(f) All low-pressure steam boilers shall be equipped with one or more water gage glass with shutoff valves and drain cocks. These devices shall be located on the boiler, or on a water column, within the permissible water level range for the boiler (unless specifically exempted by the Code).
(g) All hot water heating systems shall be equipped with a suitable expansion tank that will be consistent with the volume, temperature, pressure, and capacity of the system as required by the Code. All such expansion tanks shall have an allowable working pressure at least equal to the maximum allowable working pressure of the boiler with which they are used, and the maximum allowable working pressure shall be stamped on a nameplate visible after installation.
All expansion tanks connected into systems having boilers designed for more than 30 psi working pressure shall be constructed, inspected, and stamped according to the Code, Section VIII, unless it can be proven to the satisfaction of the Division that the design and construction will provide equivalent safety. Expansion tanks connected into systems having boilers designed for 30 psi or less shall be designed, constructed, and stamped according to the Code, Section VIII, or according to good engineering practices with a factor of safety of at least 4.
All expansion tanks shall be fitted with either: (1) a water gage glass or other means for indicating visually the water level in the tank, or (2) a bladder-type expansion tank provided the tank is fitted with an airtight bladder inside the tank and it is provided with a means of determining the presence of air cushion in the tank. The hot water heating system shall be installed, inspected, and equipped with the required safety relief and shut-off devices in accordance with the Uniform Mechanical Code, Chapter 10, February 1997 Edition.
(h) When low-pressure boilers are equipped with a float-type automatic water feeder, such water feeder shall be fitted with a valved drain on the float chamber. Float chambers of other control devices shall also be provided with valved drains on the float chambers.
(i) All valves, fittings, and controls shall be suitable for the pressures and temperatures expected in service and all such devices used in the fuel system shall be suitable for and compatible with the fuel and fuel pressures used. All electrically operated fuel valves shall be of the normally closed type to open only when energized. Fuel valves of a type that will fail to close due to abnormal fuel pressure shall not be permitted. Automatically operated fuel valves shall not be designed with integral manually operated by-passes unless such by-pass is of the constant pressure type.
(j) The electrical circuit for boiler controls shall not exceed 120 volts and shall be 2-wire with 1-conductor grounded and have the controls in the ungrounded conductor.
(k) After installation and before being placed in operation, the employer shall require all controls and burners to be checked for proper operation by a responsible person familiar with burner controls.
Instruction for the proper method of lighting, relighting, and shutting down the burner, type of fuel or fuels to be used, and the maximum fuel pressure shall be shown on a permanent and legible plate attached to the boiler or boiler casing and an operating manual giving complete boiler operating instructions, shall be furnished by the installer for each installation. The employer shall require operating personnel to become thoroughly familiar with these operating instructions before they are permitted to operate the boiler. These instructions shall include an instruction to the operator that the boiler shall not be placed back in service after having been shut down by the operation of the safety fuel shutoff valve required in 763 (d) (6) until the cause of such shutdown has been determined and corrected and the combustion chamber is properly purged.
NOTE

Authority cited: Section 142.3, Labor Code . Reference: Section 142.3, Labor Code .
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
2. Amendment of subsection (c) filed 5-31-74; effective thirtieth day thereafter (Register 74, No. 22).
3. Amendment filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
4. Amendment of subsection (g) and new Note filed 12-2-97; operative 1-1-98 (Register 97, No. 49).
§764. Blowoff Valves and Tanks.
History

(a) All boilers subject to these orders shall have blowoff valves and piping installed in accordance with the Code.
(b) All blowoff pipes shall terminate at a safe place of discharge and shall be adequately supported to prevent undue stresses on the valves or lines, and shall not be reduced in size between the blowoff valve and point of discharge.
Blowoff valves constructed with integrally threaded bonnets shall not be permitted.
No blowoff pipe shall discharge directly into a sewer. When the blowoff discharge is to be ultimately led to a sewer, local plumbing codes shall be consulted concerning requirements for discharging products into sewers.
When a blowoff tank is used, it shall be designed and constructed in accordance with good engineering practice for the maximum pressure and temperature expected during the blowdown period with a factor of safety of at least 4. All blowoff tanks shall be provided with means for cleaning and inspection.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§765. Means of Feeding Water to Boilers.
History

All power boilers subject to these Orders shall be equipped with at least one means for feeding water to the boiler at the maximum allowable pressure. Boilers having more than 500 square feet of water heating surface shall have at least 2 means of feeding when required by paragraph PG-59(d)(2)(g) of the Code. A water supply system may be considered as a means of feeding water to the boiler where the water pressure in the system is not less than 6 percent above the pressure at which the safety valve is set to open. Feed piping, valves, and appurtenances shall be installed as required by the Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§766. Water and Pressure Gages.
History

All power boilers and high-temperature water boilers subject to these Orders shall be equipped with water gages and pressure gages as required by the Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§767. Reinstallation of Secondhand Power Boilers.

When a power boiler changes both ownership and location, the purchaser shall report the state serial number and the new proposed location to the division.
§768. Access for Inspection and Cleaning.
History

(a) Where it is impracticable to remove the hood of any vertical fire-tube boiler for inspection purposes, an access opening of the following dimensions shall be provided in the hood:
(1) For boilers not exceeding thirty-six inches (36") diameter, not less than six inches by eight inches (6" x 8") or equivalent area with a minimum dimension of six inches (6") in any direction.
(2) For boilers over thirty-six inches (36") diameter, not less than twelve inches by sixteen inches (12" x 16") or equivalent area with a minimum dimension of eleven inches (11") in any direction and a minimum diameter of fifteen inches (15") for circular openings.
(b) Access for inspection and cleaning shall be provided in all boiler settings. The minimum dimension of access openings shall be 12 inches by 16 inches, unless the size and/or design of the boiler setting is such that inspection and cleaning can be adequately accomplished through smaller openings.
(c) When 2 or more steam, high-temperature water, or hot water heating boilers having manhole openings are installed in battery or connected to a common main or header, each boiler having a manhole opening shall be fitted with 2 stop valves between the boiler and the common main or header. An ample free blow drain shall be provided between the stop valves and the discharge from the drain shall be visible to the operator while manipulating the drain valve.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§769. Boiler Installation.
Note     •     History

(a) Effective for boiler installation and/or relocation building permits issued on or after November 1, 2002, all boiler supporting structures shall be designed for the following loads:
(1) The live and dead load of the boiler as prescribed in the 2001 California Building Code.
(2) Other imposed loads including those resulting from wind, and seismic forces, as prescribed in the 2001 California Building Code.
(b) Each member of a structural support shall be so located or insulated that the heat from the boiler cannot warp or impair its strength.
(c) The installation of water-tube boilers in battery settings shall be prohibited unless provisions are made at the time of installation to make possible the periodic inspection of the exterior surfaces of all heads installed in the common wall.
(d) The installation of horizontal tubular boilers in battery settings shall be prohibited, unless the boilers are suspended by independent outside suspension structures with top crossbeams sufficiently strong to safely carry all the boilers without intermediate supports.
(e) Each boiler shall be installed in such a manner that all external surfaces and all appurtenances can be made accessible for inspection, cleaning, maintenance, and operation. 
(f) Adequate passageways or work areas at least 24 inches wide shall be provided for safe access to and operation of controls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
2. Amendment filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14).
3. Amendment of subsection (a)(3) filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31).
4. Amendment of section heading and section and new Note filed 1-9-2003; operative 2-8-2003 (Register 2003, No. 2).
Article 5. Inspection
§770. Boilers Subject to Annual Inspection.
Note     •     History

(a) All boilers subject to these Orders are subject to annual internal and external inspection, except as provided in subsection (b), and except those boilers exempted from annual inspection in Section 771.
(b) Boilers installed in turboelectric plants in such a manner that each boiler furnishes steam to a single turbine only shall be inspected internally at least once each eighteen (18) months. The permit to operate issued following internal inspection shall expire not more than twelve (12) months after the date of inspection. The boiler shall be externally inspected prior to or on the expiration date of the permit by a qualified inspector who may, if conditions warrant, issue a temporary permit which shall expire not more than six (6) months after the date of external inspection. A copy of the external inspection report shall be forwarded to the Division by the qualified inspector. Such report shall show the expiration date of the temporary permit to operate.
The Division, upon individual application from petroleum companies, chemical plants, public utilities or other industries considered by the Division as having superior preventive maintenance and examination programs, may grant a maximum interval of thirty-six (36) months between internal inspection of fired boilers. A fired boiler is defined for this section as one whose temperature input can cause metallurgical damage to the boiler, or whose combustion of fuel can cause a furnace explosion. For boilers other than fired boilers, the Division may grant a maximum interval of seventy-two (72) months between internal inspections, provided the temperature input cannot cause metallurgical damage. Boilers of the latter type are typically called process steam generators. Such applications, to be reviewed by the Division, shall contain as a minimum the following information and proposals:
(1) The history of the unit (or of a similar installation) that shows that there is no significant deterioration from scaling, corrosion, erosion or overheating.
(2) Wall thickness reference points shall be established. Following internal inspection of each boiler, a complete record showing the total corrosion and any other conditions found which need correction at the time of inspection shall be forwarded to the Division as part of the inspection report required by 774(a)(1). This record shall show the location and extent of any corrosion, erosion or other defects noted and shall be verified and signed by the certified inspector making the inspection required by Section 770(a).
(3) The “Permit to Operate” shall expire one (1) year from the date of the internal inspection, or the date of startup if so noted on the inspection report and the “Permit to Operate.” Prior to or on the expiration date of this “Permit,” a certified inspector, who will review the operating logs and water treatment records, shall inspect the boiler externally. If conditions warrant, the certified inspector may issue a temporary permit not to exceed six (6) months. Prior to or on the expiration date of the second permit, the boiler shall again be inspected externally by a certified inspector; if conditions warrant, a “Permit” may be issued for an additional six (6) months.
Boilers operating longer than twenty-four (24) months between internal inspections shall have a program of on-stream examination of corrosion points, and inspection of operations and safety controls that is acceptable to the Division, and the certified inspection agency. The maximum interval of each temporary permit shall be six (6) months.
If the boiler is located within a local jurisdiction that has regulations concerning boiler inspections, the jurisdiction must also be consulted concerning the acceptability of the inspection program.
The certified inspector shall submit reports to the Division of each external inspection, noting the expiration date of the permit issued, and recording any unusual condition found. The inspection report shall include a statement that water treatment records have been reviewed. Reports of on-stream wall thickness readings must also be submitted to the Division via the certified inspector.
(4) For boilers and process steam generators where metallurgical damage may occur, the Division may categorize the boiler or process steam generator as unfired upon acceptance of a risk engineering analysis submitted by the owner of the boiler to the Division. The risk engineering analysis shall include the design basis for categorizing the boiler as unfired, the potential consequences to the boiler and to the safety of the person(s) responsible for attending the boiler, and a discussion of protective devices and specific procedures to prevent the consequences.
(5) The boiler water treatment and specific chemical limits shall be prescribed by a competent water treatment specialist, such as a chemical engineer. The boiler water chemistry shall be maintained within desirable limits and documentary records shall be kept of the tests and methods used to maintain the water chemistry within the prescribed limits. A summary of weekly test results shall be kept, and the records shall be available to the certified inspector.
(6) A copy of the Division letter granting the longer interval between internal inspections shall be posted near the boiler, the boiler control center, or the process unit control room.
NOTE

Authority cited: Sections 142.3 and 7682, Labor Code. Reference: Sections 142.3 and 7682, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of section and new Note filed 8-2-2005; operative 9-1-2005 (Register 2005, No. 31).
§771. Boilers Not Subject to Annual Inspection.
History

(a) The following boilers are not subject to annual inspection and do not require a permit to operate providing they comply with all of the provisions of subsection (b):
(1) Low-pressure boilers.
(2) Miniature boilers.
(3) High-temperature water boilers.
(4) Boilers, including forced circulation boilers, in which none of the following are exceeded:
(A) One hundred square feet (100 sq. ft.) of heating surface.
(B) Steam drum does not exceed 16 inches inside diameter.
(C) Maximum allowable working pressure does not exceed 100 psi.
(D) Water capacity does not exceed 35 gallons when filled to normal operating level.
(E) The BTU input to the burners does not exceed 400,000 BTU/hr.
(b) Boilers exempt from annual inspection in subsection (a) shall comply with all of the following:
(1) All other provisions of these Orders including construction and installation.
(2) Automatically controlled fired boilers shall be fitted with all the applicable controls required for low-pressure boilers in 763(d).
(3) All automatic controls shall be maintained in operating condition.
(c) Nothing in sections (a) and (b) above shall prohibit any qualified safety engineer employed by the Division from requiring any boiler to be prepared for inspection when in his opinion such inspection is necessary to determine the safety of the boiler.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§772. Preparation of Boilers for Inspection.
History

(a) The owner or user of a boiler or boilers herein required to be inspected shall, after 14 days' notice from the division, prepare the boiler for internal inspection.
If the owner or user finds the date set for inspection not to his convenience, he shall immediately advise the division, or qualified inspector, and ask for a postponement and state the reasons therefor, in which case the inspection date may be postponed for a period not to exceed thirty (30) days from the date first set for inspection.
(b) To prepare a boiler for internal inspection the water shall be drawn off and the boiler thoroughly washed. Manhole and handhold covers and washout plugs in the boiler feed lines and water column connections necessary for adequate inspection shall be removed and the furnace and combustion chamber thoroughly cooled and cleaned. Enough of the brickwork, refractory, or insulating material shall be removed to permit the qualified inspector to determine the condition of the boiler, furnace, or other parts and to enable the qualified inspector to obtain such data as is required at each annual inspection. The steam gage shall be removed for testing. At the discretion of the Division, data obtained by nondestructive examination may be used in lieu of visual inspection.
(c) The owner or user shall prepare the boiler for hydrostatic test when required by the qualified inspector. If the boiler to be hydrostatically tested is connected with other boilers that are under steam pressure, such connections shall be blanked off unless provided with double stop valves with a free blow drain between the valves.
(d) Before a resale inspection or other inspection of a secondhand boiler is made, the interior of the shell or drum may be required to be descaled and cleaned, such tubes shall be removed as the qualified inspector deems necessary to enable him to ascertain their condition, the lagging and brickwork shall be removed, and the exterior of the shell or drum shall be cleaned. No paint shall be applied before the inspection is made.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§773. Identification of Boilers.
History

(a) Qualified inspectors making the first field inspection of boilers required by these Orders to have a permit to operate, shall stamp on the boiler a state serial number (unless a state serial number has previously been stamped thereon) which shall become a permanent means of identification. This assigned number shall be made either by steel die figures not less than 5/16-inch in height, or outlined by means of center punch dots, with figures not less than 3/4-inch in height, and shall be stamped adjacent to the manufacturer's code stamping.
(b) No state serial number or code stamping shall be permanently covered by insulating material, unless such number and stamping is transferred to a fixed plate where readily visible outside of all insulating material.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§774. Boilers Exempt from Inspection by Qualified Safety Engineers Employed by the Division.
History

(a) Boilers annually inspected internally and externally by qualified inspectors employed by a company, city or county, may be exempt from annual inspections by qualified safety engineers employed by the division providing:
(1) Reports of inspection are submitted on prescribed forms to the Division within 21 days after the date of inspection.
(2) The boiler and all of its appurtenances complies with these orders as a minimum standard of safety.
(3) The report of inspection lists all repairs or changes ordered and the qualified inspector notifies the division when such repairs or changes have been satisfactorily completed.
(4) The permit to operate is posted on or near the boiler to which it applies.
(b) Nothing in this order shall prevent a qualified safety engineer employed by the division from inspecting any boiler. However, no fee shall be charged by the division where the annual inspection has been made and the report of inspection submitted to the division by a qualified inspector within the 21 days specified above and the permit to operate is posted on or near the boiler.
(c) Qualified inspectors employed by insurance companies shall notify the Division within 21 days of the name of the owner or user, as shown on the permit to operate, and the location and state serial number of every boiler requiring a permit to operate on which insurance has been refused, canceled, or discontinued, and shall give the reasons why.
(d) Qualified inspectors employed by other than insurance companies shall notify the Division within 21 days of the name of the owner or user and the location and state serial number of every boiler requiring a permit to operate and inspected by them which is removed from service or which is considered unsafe for further service as a boiler and shall give the reasons why.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§775. Operation of Unsafe Boilers.

(a) If the operation of any boiler, including those exempt from annual inspection, constitutes a serious menace to the life or safety of any person employed about it, the division or any of its safety engineers, or any person affected thereby, may apply to the superior court of the county in which the boiler is situated for an injunction restraining its operation until the condition has been corrected.
(b) Whenever the condition of a boiler is such as to make it unfit for any pressure, a qualified safety engineer, employed by the division, may affix a rejection mark 

View Graphic 
consisting of an “X” at least one inch (1”) high with a circle at least one-half inch (1/2”) diameter located between the upper arms of the “X.” The rejection mark shall be outlined in center punch marks and located immediately above the state serial number.
§776. Special Inspection of Lap Seam Boilers.

(a) Horizontal return tubular boilers over thirty-six-inch (36”) diameter with longitudinal lap-riveted seams shall not be operated at a pressure in excess of fifty pounds (50 lbs.) per square inch unless all of the following are done every five (5) years of operation:
(1) Sufficient tubes are removed to permit the internal surfaces of the shell to be completely cleaned of scale.
(2) Sufficient brickwork is removed to permit the external surfaces of the longitudinal seam to be cleaned.
(3) Before the tubes and brickwork are replaced the boiler shall be thoroughly inspected internally and externally by a qualified inspector. The tubes shall then be replaced and the boiler shall be subject to a hydrostatic test of one and one-half (1 1/2) times the working pressure. This pressure shall be maintained for at least thirty (30) minutes after which a qualified inspector shall examine all riveted joints for leakage and/or cracks.
The term five (5) years used in this section shall mean five (5) years under steam, but in no case shall the time of service be taken as less than six (6) months per calendar year; a hydrostatic test of one and one-half (1 1/2) times the allowed pressure on the boiler shall be made in the presence of a qualified inspector at least every five (5) calendar years. Each boiler shall be subject to any additional requirements found necessary by the qualified inspector.
(b) Secondhand lap seam horizontal return tubular boilers exceeding thirty-six inches (36”) diameter shall not be permitted a maximum allowable working pressure in excess of fifty (50) psi.
(c) The shell or drum of a boiler in which a typical lap seam crack is discovered along a longitudinal riveted seam for either butt-strap or lap-riveted construction shall be permanently discontinued for use under pressure. By lap seam crack is meant the typical crack frequently found in lap seams extending parallel to the longitudinal joint and located either between or adjacent to rivet holes.
§777. Boiler and Fired Pressure Vessel Inspection Fees.
Note     •     History

See the Division of Industrial Safety's regulations contained in Chapter 3.2, Group 2, Title 8, California Administrative Code. The shop inspection fees, permit fees, and inspection fees for boilers and fired pressure vessels are reprinted in Appendix 2 of these orders.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13). For history of former section, see Register 77, No. 49.
§778. Field Inspection Fees.
History

HISTORY

1. Repealer filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49). For prior history, see Register 76, No. 33.
§779. Certification of Inspectors.
Note     •     History

(a) Upon the written request of his employer, a certificate of competency may be issued to a person who is employed as provided in subsection (c) following and who obtains a passing grade in the examination prescribed by the division. The prescribed examination may be that of the National Board and shall determine the fitness and competency of any candidate for this certificate. An average of at least seventy percent (70%) shall be required for a passing grade.
(b) An applicant for a certificate of competency shall be at least three (3) years experience in boiler or unfired pressure vessel construction or repair or as an operating engineer in charge of high-pressure boilers or as inspector of steam boilers or unfired pressure vessels.
(1) bachelor of science degree in engineering from an accredited school plus one year experience in design, construction, operation or inspection of high pressure boilers and pressure vessels.
(2) An associate degree in mechanical technology plus two years experience in design, construction, operation or inspection of high pressure boiler and pressure vessels.
(3) A high school education or the equivalent plus three years experience:
(A) in high pressure boiler and high pressure vessel construction or repair, or
(B) in charge of high pressure boiler and pressure vessel operations, or
(C) in the inspection of high pressure boilers and pressure vessels.
(c) A certificate of competency may be issued only to a person employed as an inspector of steam boilers or pressure vessels by any county, city, insurance company, or by the division, or to an inspector continuously employed by a corporation or company to inspect only boilers and pressure vessels to be used by such company and not for resale. The certificate of competency shall be automatically revoked after a period of eighteen (18) months if the inspector does not make any boiler or pressure vessel inspections as evidenced by reports submitted to the division; provided, however, that this provision does not apply to supervising engineers whose regular duties include the supervision and review of the work of qualified inspectors. A written examination is required to revalidate such certificate. The employer shall notify the division when the employment of a certified inspector is terminated.
(d) Any applicant, who has previously obtained and continues to hold a commission as a boiler inspector issued by the National Board of Boiler and Pressure Vessel Inspectors, may be exempted from the written portion of the prescribed examination provided such applicant appears for an interview to determine his physical fitness and to prove his knowledge of the applicable Safety Orders of the Division. He shall have been actively engaged as a boiler inspector within eighteen (18) months prior to his application for the California certificate of competency.
(e) As near as practicable, the examination for certificate of competency shall be conducted on the first Wednesday in March, June, September, and December of each year.
(f) The Division reserves the right to decline to examine any candidate who has not had at least ninety (90) days' practical field boiler inspection experience under the supervision of a qualified inspector.
(g) Upon good cause being shown therefor, and after notice and an opportunity to be heard, the Division may revoke any certificate of competency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
2. Amendment of subsection (b) filed 6-15-79; effective thirtieth day thereafter (Register 79, No. 24).
3. Amendment of subsections (a) and (b) filed 5--12--89; operative 6--11--89 (Register 89 No. 29).
Article 6. Operation
§780. Permit to Operate.
History

(a) Except during the time that a request for a permit remains unacted upon, no boiler subject to annual inspection by these orders shall be placed in operation until a permit to operate has been issued and posted on or near the boiler.
(b) Upon the form supplied by the division, a permit to operate shall be issued by the qualified inspector making the inspection. The permit to operate shall indicate the date of inspection, state serial number of the boiler, the pressure allowed at the time of the internal inspection, the name of the inspector, and the name of the inspection agency. No permit shall be issued until the boiler is in compliance with these Safety Orders and satisfactory notice of compliance has been transmitted to the division.

Exception: The division may issue and renew temporary permits not to exceed thirty (30) days each, to permit replacements or repairs to be made.
(c) Each permit shall be posted under glass in a conspicuous place on or near the boiler. The permit shall be available to any safety engineer employed by the division. The permit to operate shall expire when a boiler changes both ownership and location.
HISTORY

1. Editorial correction restoring inadvertently omitted article heading (Register 97, No. 25).
§781. Attendance on Boilers.
Note     •     History

(a) All boilers subject to these orders shall be under the direct supervision of a responsible person. Such person shall be responsible for:
(1) Safe operation of the boiler by a competent attendant.
(2) Proper maintenance of the boiler and its appurtenances.
(b) While in operation, no fired boiler subject to these orders [except those boilers exempted from annual inspection by Order 771 that are automatically controlled and oil field recovery heaters complying with subsection (d)] shall be left unattended for a period of time longer than it will take the water level to drop from the normal operating level to the lowest permissible water level in the water gage glass--or indicated by indicating devices or recorders--when the feedwater is shut off and the boilers are forced to their maximum capacity unless all of the following are complied with:
(1) The boiler is equipped with an audible alarm that will operate when the water reaches the highest and lowest permissible operating level, or, for boilers having no fixed steam or water line, when the highest permissible operating temperature is reached.
(2) The audible alarm shall be sufficiently loud that it can be plainly heard by the attendant, without the use of an auxiliary paging system, at any point in any area that the attendant is required to work. He must be close enough to the boiler room so that he can safely respond to the alarm. The response time is that period of time that it takes the water level to go from the level at which the low level alarm sounds down to the lowest permissible water level of the boiler. The high water level alarm must be set so that the attendant will have time to respond before there will be carryover from the boiler.
(3) The boiler is equipped with a low water safety device that will shut off the fuel to the burner or burners when the water reaches the lowest permissible operating level, or, for boilers having no fixed steam or water line, when the highest permissible operating temperature is reached. This device shall require manual resetting unless the pilot is equipped with a full safety pilot control.
(4) The attendant shall personally check the operation of the boiler, the necessary auxiliaries and the water level in the boiler at such intervals as are necessary to insure the safe operation of the boiler; provided, however, that the maximum interval the boiler and its auxiliaries can be left without checking shall not exceed 60 minutes. The operation of the automatic controls shall be checked at the beginning of each shift. It is the intent of this Section to prohibit the use of time clocks to control the operation of fired boilers covered under this subsection 781(b).
(5) All float chambers of automatic controls shall be dismantled for inspection at the annual boiler inspection.
(c) The competent attendant shall be a person who is familiar with the boiler and who has been properly instructed in its safe operation.
The recommended minimum standards to be used by the employer to determine the competency of an attendant are:
(1) He shall be able to explain the function and operation of all controls on the boiler or boilers.
(2) He shall be able to light off the boiler or boilers in a safe manner.
(3) He shall know all possible methods of feeding water to the boiler or boilers.
(4) He shall know how to blow down the boiler or boilers in a safe manner.
(5) He shall know what would happen if the water was permitted to drop below the lowest permissible operating level.
(6) He shall know what would happen if the water in the boiler was carried too high.
(7) He shall know how to shut down the boiler or boilers.
(d) An oil field recovery heater designed for automatic operation shall be checked by a competent attendant at least once every 24 hours while in operation to determine that the heater is operating safely within the set operating conditions and provided that each of the following are complied with:
(1) The heater is equipped with automatic safety shutdown devices for each of the following conditions:
(A) Excessive tube skin or steam temperature
(B) Excessive steam pressure
(C) Flame failure
(D) Inadequate combustion air
(2) Within intervals not to exceed every 60 days of operation of the heater, the following inspection checks shall be performed by a person familiar with the equipment and who has been properly instructed in making such checks:
(A) Each safety shutdown device shall be tested for proper operation.
(B) All external piping and wiring shall be visually checked for obvious defects.
(C) All indicating gages shall be checked for proper calibration.
Equipment defects found in (A), (B), or (C) above shall be corrected before continuing the boiler in service.
(3) At the time of the annual inspection of the heater and its accessory equipment, all automatic operating controls and automatic safety shutdown devices which are not failsafe shall be serviced as necessary to assure their continued reliability to include:
(A) Replace vacuum tubes and check sensing devices in the flame-failure system and replace if not operating properly.
(B) Test all coils, diaphragms, and other operating parts of all safety shutdown and operating control valves. Such servicing shall be done by a person familiar with such controls and devices and who has been properly instructed in their servicing.
(4) A record shall be kept of the inspection and maintenance operations required by (2) and (3) above and this record shall be available to the certified inspector at the time of the annual inspection.
NOTE

Authority cited: Sections 6312, 6500 and 6502, Labor Code.
HISTORY

1. Amendment filed 12-17-65; effective thirtieth day thereafter (Register 65, No. 24).
2. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
3. Amendment of subsection (b)(2) filed 12-31-74; effective thirtieth day thereafter (Register 75, No. 1).
§782. Safe Practices.
History

(a) The following Safety Orders from Title 8, California Administrative Code are hereby made a part of these orders:
(1) General Industry Safety Order 3228(i): Number of Exits, Boilers Furnace and Incinerator Rooms. See Appendix 1.
(2) General Industry Safety Order 3274: Valves and Controls. See Appendix 1.
(3) General Industry Safety Order 3311: Flarebacks. See Appendix 1.
(4) General Industry Safety Order 3312: Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. See Appendix 1.
(5) General Industry Safety Order 3310: discharge Location. See Appendix 1.
(6) General Industry Safety Order 3514: Tubular Gage Guard. See Appendix 1.
(7) General Industry Safety order 3515: Try Cock Discharge Resceptable. See Appendix 1.
(8) General Industry Safety Order 3516: Steam Gage and Water Gage Glass Location. See Appendix 1.
(b) All fired boilers, not included in Sections 763 and 771, equipped with controls to permit the burners to be ignited automatically shall be equipped with a full safety pilot or other device that will provide equivalent safety. Such safety pilot or other device shall be of a type that will de--energize the electrical circuit and/or cause the main burner fuel valve to close within the following burner input and time limits.

400,000 BTU/HR and under	 90 seconds

400,001 to 2,500,000 BTU/HR	 9 seconds

Over 2,500,000 BTU/HR	 5 seconds

(c) All dampers used in smokestacks of boilers which use natural draft shall have suitable openings to vent the furnace.
(d) When portable electric lights are used inside any boiler or pressure vessel they shall be equipped with a vaportight globe, substantial guard, rugged nonconducting lamp holder and handle, and shall have type S cord or equivalent sufficiently long to reach to a plug-in or junction box outside the vessel.
HISTORY

1. Repealer and new subsection (b) filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33). For prior history, see Register 74, No. 42.
2. Amendment of subsection (a) filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).
Article 7. Repairs
§783. Renewals and Replacements.

All renewals or replacement boiler drums, shells, headers, tubes or appurtenances shall comply with the requirements of the code for new construction.
§784. Approval and Reporting of Repair.

(a) No repairs to drums, shells, stayed or unstayed surface of a boiler shall be made until the contemplated repairs have been approved by a qualified inspector. (This order shall not prohibit the replacement of tubes, staybolts and/or appurtenances without inspection where replacement is necessitated by normal usage and wear.)
(b) No repairs shall be made to any boiler which has moved from its setting or foundation due to the failure of the boiler or any part thereof until approved by the division.
(c) All repairs by fusion welding or riveting to a damaged boiler or boiler support, where the safety of the boiler is concerned, shall immediately be reported to the division by the qualified inspector who authorized the repair. Complete details with sketches of all repairs, including the identification number of the welder, if welding is used, shall be submitted to the division by the qualified inspector.
§785. Permissible Welded Patches and Welded Repair of Cracked Plates in Material of Known Weldable Quality.
History

The following welded repairs are permissible:
(a) Cracks in unstayed shells, drums, or headers of boilers or fired pressure vessels may be repaired by welding provided:
(1) The cracks do not extend between rivet holes in a riveted longitudinal seam.
(2) The crack is not located within six inches (6”) of the calking edge of any longitudinal riveted seam.
(3) The total length of any one crack shall not exceed sixteen (16) times the plate thickness or eight inches (8”) unless the completed repair is radiographed and stress-relieved.
(b) Cracks or patches in stayed surfaces may be welded provided:
(1) The crack or patch seam is located between two (2) rows of staybolts.
(2) The crack or patch seam if located in a flange or knuckle runs in a direction transverse to the flange or knuckle.
(3) The patch is set flush with adjacent plate and the welds are located between two (2) rows of staybolts.
(c) Cracks between tube holes in water-tube boiler drums or heads may be welded, provided there are not more than two (2) such cracks in any one row in any direction, nor more than a total of four (4) such cracks in any one drum or header and providing the diameter of the drum is not more than one percent (1%) out of round.
(d) Fire cracks extending from rivet hole to rivet hole in girth seams may be welded, provided there are not more than three (3) consecutive cracked ligaments nor more than a total of six (6) cracked ligaments in any one girth seam.
(e) Cracks between tube holes in fire-tube boilers not exceeding three (3) consecutive cracked ligaments may be welded.
(f) Cracks not to exceed two inches (2”) in length in wrought or cast steel (not cast iron) sectional headers of water-tube boilers may be welded except that not more than four (4) such cracks in any one header may be welded.
(g) Circumferential cracks in the knuckle or turn of a flange of a furnace or flue opening or adjacent to manhole opening of unstayed heads shall not be repaired by welding. When such cracks occur in an ogee flange, the affected material including the flange shall be removed and replaced by a flush patch of similar shape. The abutting edges shall be welded and the flange shall be riveted to the shell. Scotch marine and similar boilers shall have one (1) flange riveted to the shell or furnace and the other flange shall be attached by rivets or patch bolts.
(h) All welded patches installed in unstayed drums, shells or heads and exceeding the size of an unreinforced opening in paragraph PG-32 of the Code shall be flush-welded patches and shall be radiographed and post weld heat treated. The corner radius of such patches shall be rounded to a radius of at least twice the plate thickness. A joint efficiency of 90 percent (or more if allowed by the Code to which the boiler was built) shall be used in calculating the maximum allowable working pressure of such patches.
(i) Lap welded patches may be used to close openings in unstayed shells, drums, or heads providing:
(1) The maximum dimension of the opening does not exceed the size of an unreinforced opening in paragraph PG-32 of the Code.
(2) Two or more of such openings are not so located that they form a ligament in the longitudinal direction of the shell or drum.
(3) The patch plate is installed on the pressure side of the plate and has a lap of at least one inch (1”).
(4) The patch plate is not exposed to the products of combustion.
(j) Any portion of the tube sheet of a horizontal tubular boiler may be repaired by a flush welded patch providing:
(1) No welded repair shall be permitted in the knuckle in a circumferential direction.
(2) The patch shall be held in place by stays, tubes, or both.
(3) Where the patch extends to the outer row of tubes, it shall include the flanged portion of the head and be secured to the shell in the same manner as the original construction.
(k) The top tube sheet of a vertical tubular boiler may be replaced by a flush welded patch, provided the welded seam is not located nearer than one inch (1”) to the knuckle or curved part of the original head. The bottom tube sheet of a vertical tubular boiler shall not be so repaired.
(l) Pipe connections up to three-inch (3”) pipe size may be installed by welding without stress-relieving, provided the coupling used has a flange on the pressure side of the sheet and the welding is for tightness only. This type of repair shall not be used for blowoff connections or openings exposed to the products of combustion.
(m) Post weld heat treatment of a repaired part by heating, when necessary, shall be done in accordance with paragraph PW-39 of the Code. Care should be exercised in applying heat in the vicinity of riveted joints to avoid loosening of rivets. Peening may be used in lieu of post weld heat treatment at the discretion of the Division.
(n) Radiography of welded repairs, when required, shall be done in accordance with paragraph PW-51 of the Code.
(o) The thickness of any patch shall be equal to but not more than one-eighth inch (1/8") thicker than the plate being patched.
(p) All flush welded patches in unstayed surfaces shall be butt-doubled-welded or equivalent. Patch material shall conform to the requirements of Order 794(g) and (h).
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§786. Preparation for Welding.
History

(a) All cracks permitted to be repaired by welding shall be chipped or ground to form a clean welding groove with an included angle of not less than sixty degrees (60) and extending to a depth equal to at least the plate thickness less one-sixteenth inch (1/16”). The welding groove shall be extended until the crack has been removed for its entire length. Whenever possible the root of the weld shall be chipped out to clean metal and welded.
(b) Prior to repairing cracks by welding, all tubes, rivets, and threaded staybolts within 6 inches of the crack shall be removed. After welding is completed, such tube, rivet and/or staybolt holes shall be reamed before installing new tubes, rivets, or staybolts. For threaded staybolts the holes shall be tapped and new threaded staybolts installed. If a crack originates or terminates at a welded staybolt, the staybolt shall be removed prior to repairing the crack. After welding is completed, the hole shall be properly prepared for installation of the new staybolt in accordance with paragraph PW-19 of the Code.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§788. Repair of Corroded Surfaces.
History

The following corroded surfaces may be built up by fusion welding:
(a) Corroded surfaces in stayed sheets including tube sheets of fire-tube boilers, provided the remaining thickness is at least fifty percent (50%) of the original thickness and further provided the affected areas are not sufficiently extensive to seriously impair the safety of the object; the qualified inspector shall decide when such areas shall be repaired by other means.
(b) Corroded surfaces in plate around handholes or manholes in unstayed sheets within three inches (6”) of the opening, provided the remaining thickness is not less than fifty percent (50%) of the original thickness.
(c) Calking edges of girth seams, provided the metal remaining between the rivet and calking edge to be built up is at least fifty percent (50%) of the original thickness and also provided the length of calking edge to be built up does not exceed a length equal to the diameter of the boiler. Before any welding is done, all rivets in the affected area and six inches (6”) beyond each portion to be built up shall be removed. After the welded repair has been completed the rivet holes shall be reamed and new rivets driven.
(d) The building up or repair by welding of rivet heads, staybolts, braces, or attachments to braces, or grooved areas is not permitted.
(e) Scattered pits and corrosion in unstayed shells may be built up by welding, provided the largest dimension of such corroded area does not exceed the diameter of an unreinforced opening in paragraph PG-32 of the Code and providing such areas are not so located that they form a ligament in the longitudinal direction.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§789. Permissible Repair by Seal Welding.
History

(a) The ends of all tubes, suspension tubes, and nipples of water-tube boilers and superheaters may be seal-welded in accordance with the provisions of paragraph PWT-11 of the Code.
(b) Seal-welding of circumferential joints is permissible, provided the seam is calked first and made tight under hydrostatic pressure equal to the working pressure.
(c) The ends of fire tubes may be seal-welded provided the thickness of the tube is at least seventy-five percent (75%) of its original thickness, and the tubes are first rolled and beaded and found tight under hydrostatic pressure at least equal to the working pressure. The throat of the weld shall not exceed three-sixteenths inch (3/16”).
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§790. Permissible Tube Repair.
History

(a) All the tubes in a firetube boiler may be retipped, provided the tube wall thickness of the original tube is not less than ninety percent (90%) of the original thickness and the retipped ends are from new material. The new end shall be located in the tube sheet subject to the greatest heat. The circumferential welds in such tubes shall not exceed four (4) in number.
(b) Complete replacement of sections of tubes or pipe in water-tube boilers is permitted, providing the remaining tube is not less than the thickness required for the designed working pressure and the requirements of paragraph PW-41 of the Code are complied with.
(c) Bulges in tubes of water-tube boilers may be repaired when:
(1) The maximum dimension of the repaired area does not exceed the diameter of the tube or two inches (2”) whichever is the least.
(2) There are not more than three (3) such repairs in any one (1) tube.
(3) The tube wall adjacent to the bulge is not less than the thickness required for the designed working pressure.
(4) The requirements of paragraph PW-41 of the Code are complied with.
HISTORY

1. Amendment filed 11-2-66; effective thirtieth day thereafter (Register 66, No. 38). Approved by State Building Standards Commission.
§793. Qualification of Welding Procedures and Operators.

No welded repair shall be made to any boiler or boiler appurtenance until the welding procedure and operator have been qualified in accordance with Section IX of the code in the overhead and horizontal positions. The certificate of competency number of the qualified inspector authorizing the repair shall be stamped adjacent to all welded repairs made to power boilers.
On welded repairs that are completely radiographed the operator qualification may be eliminated at the discretion of the division provided the welding procedure is properly qualified inspector indicates on his report the welding procedure used and the operator employed in making the repair.
§794. Riveted Patches.

(a) Riveted patch seams exposed to the products of combustion may be double-riveted or constructed similar to the original seams of the boiler.
(b) Patches exceeding twenty-four inches (24") in length shall have the proper width as determined by these orders. Patches exceeding fifteen inches (15") to and including twenty-four inches (24") in length shall be triangular, crescent, diamond, or oval in shape and width, W, in the circumferential direction, shall be at least twice the length, L, in the longitudinal direction. Patches fifteen inches (15") or less in longitudinal direction may be circular in shape.
(c) If it is found that a patch will extend extremely high, and also to avoid calking in sharp corners, it may be shortened in width to the extent that not more than four (4) rivets will be in a longitudinal line, as shown in Figure 2.
(d) If it is found that a patch will have to be sixty inches (60") or more in length, consideration should be given to the use of a sheet having a width equivalent to five-eighths (5/8) of the circumference of the boiler, and the longitudinal seam shall be of a design similar to the design of the original seam of the boiler.
(e) In laying out new patches over twenty-four inches (24") long, it is recommended that they be triangular or diamond in shape as may be required for the particular job; with definite straight-line sides but with corners properly rounded to permit adequate caulking, as illustrated in Figures 1, 2, 3, and 4. The length designated as “L” and the width designated as “W” are also shown in Figures 1, 2, 3, and 4.
(f) Rivets shall be used in “riveted” patch seams unless their use is difficult or impossible, in which case, patch bolts may be used. Rivet holes may be countersunk in patches on shells that have the heads supported by tubes or braces, providing the angle of the chamfer with the center line of the rivet hole does not exceed forty-five degrees (45o), and the depth does not exceed half the thickness of the plate.
(g) Patch material shall be of fire box or flange steel depending upon the plate it replaces. Tank steel shall not be used. The repair shop shall be required to produce a copy of the manufacturer's mill test report for the material to be used.
(h) The patch plate material shall contain the steelmaker's brand. If only a part of a plate is required and this part does not contain the brand, the brand shall be transferred to the patch plate in the presence of a qualified inspector or a representative of the plate manufacturer before the plate is cut. Replacement rivets, patch bolts, and staybolts shall be of material approved for new construction by the code.
(i) All patch plates except patch plates containing blowoff connections shall be placed inside of the boiler shell or drum if exposed to the products of combustion and if installed where there is a possibility that scale deposits may be pocketed. Patch plates containing blowoff connections shall be placed on the outside of the boiler shell.
§795. Installation of Riveted Patches.

(a) The following procedure shall be followed when installing riveted patches:
(1) Distorted sheets which require patching shall first be set back straight as nearly as possible before proceeding with the cutting out of the plate so that the patch may be kept as small as possible.
(2) All defective or deteriorated material shall be removed and properly trimmed to provide for caulking and neat workmanship in attaching the patch.
(3) The edges of a patch shall be beveled for calking by planing, chipping, or gas cutting before applying it to the boiler. Rivets should be driven by gun, if at all possible.
(4) All rivet holes shall be drilled full size or the holes may be punched not to exceed one-fourth inch (1/4”) less than full size for plates over five-sixteenths inch (5/16”), and one-eighth inch (1/8”) less than full size for plates five-sixteenths inch (5/16”) or less in thickness, and then reamed to full size with patch in place. Rivet holes shall be not more than one-sixteenth inch (1/16”) greater in diameter than the nominal diameter of the rivet.
(5) Seal welding of the patch plate is permissible if a single bead is used with a throat thickness not more than three-sixteenths inch (3/16”). The patch shall be tight under a hydrostatic test pressure equal to the operating pressure before seal welding. Rivets and patch bolts shall not be seal welded.
(6) When three (3) plates are lapped at the corners of a patch, the middle plate shall be scarfed carefully to a feather edge the entire width of the lap as shown in Figure 1.
(7) Upon the completion of repairs, a hydrostatic test of one hundred fifty percent (150%) of the maximum allowable operating pressure shall be applied. All seams shall be tight at this pressure.
§796. Riveted Patch Seam Calculations.

(a) Riveted patch seams are calculated as follows:
(1) Determine the length, L, of the patch from the area of the defect to be repaired (Figures 1, 2, 3, and 4). The normal efficiency, e, of the single-riveted seam that is to be used in the patch should then be determined from Table 1. This is governed by the thickness of plate and diameter of rivet holes.

Table 1
EFFICIENCIES OF SINGLE--RIVETED SEAMS

Plate	Rivet Hole    	Pitch of     	Efficiency of
Thickness, t	Diameter, d      	Rivet, p     	Seam, e

	1/4	11/16	1 7/8	63.6
	9/32	3/4	1 7/8	60.3
	5/16	3/4	1 7/8	60.0
	11/32	13/16	1 15/16	58.0
	3/8	13/16	1 15/16	57.0
	13/32	7/8	2 1/16	57.5
	7/16	15/16	2 1/4	56.0
	15/32	15/16	2 1/8	55.5
	1/2	1	2 1/4	55.7
	9/16	1 1/16	2 3/8	53.0
	19/32	1 1/16	2 1/4	52.8
	5/8	1 1/16	2 1/4	50.5
	21/32	1 1/8	2 5/16	51.4
	11/16	1 1/8	2 5/16	51.4

Tensile strength assumed at 55,000 psi and shearing strength at 44,000 psi.

After determining the length, L, of a patch, determine its width girthwise, W. This is found by multiplying the length by the constant, C, as shown in Table 2 or 3, depending upon the type of boiler to be repaired. These tables give a constant, C, for a given efficiency, e, of patch and efficiency, E, of the longitudinal seam.
(2) To determine the longitudinal efficiency of an existing patch, the length, L, and width, W, the pitch, P, and the diameter, d, of rivet, should be measured. “W” divided by “L” will give the constant, C. Table 1 will give “e.” Then under “e” in Table 2 or 3, depending upon the type of boiler to be repaired, find the constant, C. Whatever “E” is in the first column is the longitudinal or allowed efficiency of the patch seam.
§797. Example of the Application and Explanation of Patch Tables and Charts.
History

(a) A patch is to be placed in the fire sheet of a horizontal return tubular boiler having a shell plate seven-sixteenths-inch (7/16") thick, a longitudinal seam efficiency of seventy-four percent (74%), and a length of patch of thirty-six inches (36"). Find the width, W, of patch to be applied so that there will be no reduction in pressure, using a single-riveted seam of normal design. 
Referring to Table 1, it is found that seven-sixteenths-inch (7/16”) plate with fifteen-sixteenths-inch (15/16”) diameter rivet holes, pitched two and one-fourth (2 1/4) gives a seam efficiency of fifty-six percent (56%).
Referring to Table 2, E = 0.74 and e = 0.56 gives a constant C = 1.75; then width W = L x C = 36 x 1.75 = sixty-three inches (63”).
(b) Pressure Allowed on an Existing Patch.
A crescent-shaped patch has already been installed on a horizontal-tubular boiler. It is thirty inches (30”) long and forty-eight inches (48”) wide. The seam is single riveted with thirteen-sixteenths-inch (13/16”) rivet holes pitched one and fifteen-sixteenths inches (1 15/16”). The boiler shell plate is three-eighths-inch (3/8”) thick. The longitudinal seam is of the double-riveted butt-strap type having an efficiency of eighty-two percent (82%). The safety valve is set for one hundred twenty-five pounds (125#) pressure. What maximum pressure should be allowed on the boiler? Reference to Table 1, shows that the normal efficiency of the patch seam is fifty-seven percent (57%). (If the efficiency is not found in the Table, refer to any other available table or determine it in the manner described in paragraphs A-1, A-2 and A-3 of the Appendix of the A.S.M.E. Boiler Code.)
Divide the width of the patch, W = forty-eight inches (48”) by the length, L = thirty inches (30”) to find the constant, C = 48/30 = 1.60. Follow down column 0.57 of Table 2 until 1.60 is found. It will be noted that this is somewhere between 1.56 and 1.62 representing E somewhere between 0.72 and 0.73. As the difference between 1.56 and 1.62 is 6, and the difference between 1.56 and 1.60 is 4, E will be 0.72 plus 4/6 of 0.01 which is 0.7266.
The maximum allowable working pressure varies directly as the seam efficiency. Accordingly, P = (0.7266/0.82) x 125 = 110#. If this pressure allowance interferes with the operation of the plant, the patch shall be replaced by a new one with the proper dimensions giving a diagonal efficiency of eighty-two percent (82%).
(c) Design of Patch for Water-tube Boiler.
Reference to Table 1 shows that a single-riveted lap seam with seven-sixteenths-inch (7/16”) plate, fifteen-sixteenths-inch (15/16”) diameter rivet holes, and two-and-one-half-inch (2 1/2”) pitch has a normal efficiency of fifty-six percent (56%).
Reference to Table 3, shows E = 0.82 and e = 0.56, the constant C is 3.16.
Then width W = C x 1 ¸ 2.
W = 3.16 x 36 ¸ 2 = 56.88 or practically fifty-seven inches (57”).

View Graphic

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View Graphic
HISTORY

1. Repealer and new subsections (a) and (b) filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
2. Change without regulatory effect repealing and adopting new Figures 1-6 within subsection (b) filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).

Appendix 1

3228. (i)1 Boiler, Furnace and Incinerator Rooms. 
Any room containing a boiler, furnace, incinerator, or other fuel-fired equipment must be provided with two means of egress when both of the following conditions exist:
(1) The area of the room exceeds 500 square feet, or
(2) The largest single piece of fuel-fired equipment exceeds 1,000,000 B.t.u. per hour input capacity.
Exception: Rooms housing high-pressure boilers (greater than 15 lbs. psi) where either of the conditions listed in (1) or (2) exist shall be provided with 2 exits.
If two means of egress must be provided, one may be a fixed ladder. The means of egress must be separated by a horizontal distance not less than half the greatest horizontal dimension of the room. All openings shall be protected with a self-closing fire assembly having a minimum one-hour fire-protection rating. Where oil-fired boilers are used, a 6-inch noncombustible sill (dike) shall be provided. There shall be no interior openings between any occupancy where flammable or explosive concentrations may be expected to accumulate.

1 Reprint of General Industry Safety Order, Section 3228(i), Exits, Boiler, Furnace and Incinerator Rooms, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).

3274.2 Valves and Controls.
(a) Where pipe valves require daily manipulation and are so located that they cannot be reached or operated from the floor, a permanent platform or other safe means of operation shall be provided.
(b) Valves or other controls shall not be so located that their manipulation exposes the employee to hazards of dangerous moving parts of prime movers, machines, or transmission equipment. (Title 24, T8-3274)

2 Reprint of General Industry Safety Order, Section 3274, Valves and Controls, of the California Administrative Code, Title 8, Subchapter 7 (Register 76, No. 29).
3311.3 Flarebacks.
(a) To provide greater safety in lighting and relighting fixed fired equipment, the employer shall designate one or more employees who shall be trained in the safe lighting and relighting of the equipment. It shall be the responsibility of the employer to limit lighting and relighting of the equipment to employees so designated. It shall be the responsibility of the employees to follow the instructions given them. Copies of the instructions shall be prominently displayed at a location near the equipment.
(b) In addition to the above fire boxes or combustion chambers shall be purged or allowed sufficient time to vent themselves before a source of ignition is introduced into them.
(c) Provision shall be made, for the furnishing of extension lighting rods, where their use is indicated. Valves and other controls shall be so located as to avoid placing the employee in an unsafe position if a flareback occurs.

3 Reprint of General Industry Safety Order, Section 3311, Flarebacks, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).
3312.4 Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels.
(a) Before employees are allowed to enter, through a manhole, the shell or drum of a steam boiler or an unfired steam pressure vessel for maintenance or repair, where such a boiler or pressure vessel is one of a battery of two or more boilers or vessels or is connected to another source of steam, the valves connecting to the steam header or other source of steam shall be closed and effectively blinded or two valves shall be installed with a bleeder between them and the valves shall be closed and bleeder open. Blow down valves and other valves on lines through which harmful material might accidentally flow back to the boiler or vessel shall be either sealed or closed and locked and the key retained by the employee or his supervisor while the employee is in the boiler or vessel. When lines are effectively blinded the valves need not be locked or sealed.
(b) Employees shall not enter or be required to enter the fire boxes, flues or combustion chambers of fired apparatus until:
(1) The pilot light, fuel and steam lines to burners entering the fire box or combustion chamber have been blinded, disconnected or effectively closed by the use of two block valves with an open bleeder between them.
(2) All probability of ignition of any solid combustibles in the fire box or combustion chamber has been removed.

4 Reprint of General Industry Safety Order, Section 3312, Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23).
3310.5 Discharge Location.
(a) The discharge opening from traps, drains, and blowoffs shall be located so as not to endanger the safety of employees.

5 Reprint of General Industry Safety Order, Section 3310(a), Discharge Location (Register 72, No. 23).
3514.6 Tubular Gage Guard.
(a) Tubular water gages on portable steam boilers shall be protected with a substantial guard affording protection at least equivalent to that obtained by an enclosure of one-half (1/2) inch wire mesh of No. 18 U.S.S. gage.
(b)(NI) Every portable steam boiler shall be equipped with liquid level gages of the reflex type.

6 Reprint of General Industry Safety Order, Section 3514, Tubular Gage Guard (Register 72, No. 23).
3515.7 Try Cock Discharge Receptacle.
Where discharge presents hazards to employees, try cocks shall discharge into a funnel, dripper, or other similar receptacle, which in turn shall be piped to a safe place of discharge.

7 Reprint of General Industry Safety Order, Section 3515, Try Cock Discharge Receptacle (Register 72, No. 23).
3516.8 Try Cock Manipulation.
Provisions shall be made whereby each of the try cocks can be manipulated by the employee while standing on the floor or platform on which the boiler is mounted.

8 Reprint of General Industry Safety Order, Section 3516, Try Cock Manipulation (Register 72, No. 23).
3517.9 Steam Gage and Water Gage Glass Location.
The steam gage and water gage glasses shall be so located on the boiler that they can be clearly seen by the operator.

9 Reprint of General Industry Safety Order, Section 3517, Steam Gage and Water Gage Glass Location (Register 72, No. 23)
HISTORY

1. New Appendix 1 (Sections 3228, 3274, 3311, 3312, 3310, 3514, 3515, 3516 and 3517) filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).

Appendix 2

Boiler and Fired Pressure Vessel Inspection Fees
Note: The following fee schedule adopted by the Division of Industrial Safety is reprinted from Chapter 3.2, Group 2, Title 8, California Administrative Code, solely for informational purposes. Should any discrepancy exist between this reprinting and the regulations of Chapter 3.2, then Chapter 3.2 will prevail.
344.3.1 Boiler Shop Inspection Fees.
(a) Fees shall be charged for shop inspections made by qualified safety engineers of the Division as follows:
(1) Boilers and fired pressure vessels inspected in the fabricator's shop at $20.00 per hour.
(2) Boilers and fired pressure vessels inspected at the jobsite during erection at $60.00 each or $20.00 per hour whichever is greater, with a minimum charge of $20.00 per visit to the jobsite.
(b) Whenever a manufacturer or user of any apparatus or equipment fails to pay the fees required by this section within 60 days after notification, said manufacturer or user shall pay, in addition to the fees required by this section, a penalty fee equal to 100 percent of such fee. For the purposes of this section, the date of the invoice shall be considered the date of notification.

1 Reprint from Chapter 3.2, Group 2, Title 8 (Register 77, No. 49).

344.4.2 Boiler Permit and Inspection Fees.
(a) Fees shall be charged for field inspections made by qualified safety engineers of the Division as follows:

(1) Miniature Boilers: 	Internal Inspection at $20.00
	External Inspection at $20.00

(2) Firetube Boilers not exceeding 48 inches in diameter:
	Internal Inspection at $30.00
	External Inspection at $20.00

(3) Firetube Boilers exceeding 48 inches in diameter:
	Internal Inspection at $50.00
	External Inspection at $25.00

(4) Watertube Boilers not exceeding 500 square feet of heating surface:
	Internal Inspection at $30.00
	External Inspection at $20.00

(5) Watertube Boilers exceeding 500 square feet of heating surface to and including 2500 square feet of heating surface:
	Internal Inspection of $50.00
	External Inspection of $25.00

(6) Watertube Boilers exceeding 2500 square feet of heating surface:
	Internal Inspection at $60.00
	External Inspection at $30.00

(7) Boilers other than firetube, watertube or miniature:
	Internal Inspection at $20.00 
	  per hour with $20.00
	  minimum per boiler
	External Inspection at $20.00

(8) Resale or repair inspection of all boilers and pressure vessels at $20.00 per hour:
	Minimum charge per boiler is at $20.00

(b) Whenever an owner or user of any apparatus or equipment fails to pay the fees required under this section within 60 days after notification, said owner or user shall pay, in addition to the fees required under this section a penalty fee equal to 100 percent of such fee. For the purposes of this section, the date of the invoice shall be considered the date of notification.
HISTORY

. 1 New Appendix 2 filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).

2 Reprint from Chapter 3.2, Group 2, Title 8 (Register 77, No. 49).
Subchapter 3. Compressed Air Safety Orders (Governing Work in Compressed Air)
Article 1. Application
§1200. Application of Orders.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amended Subchapter 3 (Sections 1200-1202, 1204, 1205, 1210, 1215-1217, 1220, 1225, 1230, 1240, 1250, 1270, 1280 and Appendices A and B) filed 7-18-66; effective thirtieth day thereafter (Register 66, No. 23). For former Subchapter 3, see Registers 3 and 55, No. 13.
2. Amendment filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
3. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
4. Repealer of subchapter 3 (articles 1-12, sections 1200-1280), article 1 (section 1200) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§1201. Permits for Variation from These Orders.
History

HISTORY

1. Repealer filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
§1202. Posting of Application.
History

HISTORY

1. Repealer filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
Article 2. Definitions
§1204. Definitions.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 2 (section 1204) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 3. General Provisions
§1205. General Provisions.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment of subsection (b) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
3. Repealer of article 3 (section 1205) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 4. Compression
§1210. Compression Rate.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment designating first paragraph as subsection (a) and new subsection (b) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
3. Repealer of article 4 (section 1210) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 5. Decompression
§1215. Normal Condition.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 8, No. 32).
2. Repealer of article 5 (sections 1215-1217) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§1216. Repetitive Exposures.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§1217. Decanting.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 6. Air Locks and Special Decompression Chamber
§1220. Air Locks.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment of subsections (c) and (g) and new subsection (p) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
3. Repealer of article 6 (sections 1220-1225) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§1225. Special Decompression Chamber.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 7. Temperature, Illumination, Sanitation and Ventilation
§1230. Temperature, Illumination, Sanitation and Ventilation.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment of subsections (b) and (d) and new subsections (g) and (h) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
3. Change without regulatory effect amending subsection (e) filed 12-30-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 53).
4. Repealer of article 7 (section 1230) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 8. Compressor Plant, Air Supply, and Telephone Communication
§1240. Compressor Plant, Air Supply and Telephone Communication.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 8 (section 1240) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 9. Bulkheads and Screens
§1250. Bulkheads and Screens.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 9 (section 1250) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 10. Fire Prevention
§1270. Fire Prevention.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 10 (section 1270) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 11. Medical Attendance, Examination, and Regulations
§1280. Medical Control.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 11 (section 1280) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Article 12. Suggestions for the Guidance of Compressed Air Workers
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 12 filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).

Appendix A
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Appendix A filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of article 12 (Appendices A and B) and Appendix A filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14). For prior history of article 12, see Register 85, No. 32).

Appendix B
HISTORY

1. Amendment of Appendix B filed 8-7-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer of Appendix B filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
Subchapter 4. Construction Safety Orders

(Originally Printed 4-20-45)
Article 1. Introduction
§1500. Title. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 142.3, 6312, 6500 and 6502, Labor Code.
HISTORY

1. Construction Safety Orders (§§ 1501 through 1756) originally printed 4-20-45 (Title 8).
2. Repealer and New Construction Safety Orders (Subchapter 4, §§ 1500 through 1733) filed 8-29-57; effective thirtieth day thereafter (Register 57, No. 14). (For prior amendments, see Registers 3, 5, 9, and 14, No. 8).
3. Repealer of Subchapter 4 and new Subchapter 4 (§§ 1500 through 1768) filed 7-9-65; effective thirtieth day thereafter (Register 65, No. 12).
4. Repealer of and new Introduction to Article 1 filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Repealer of Preamble to Article 1 and Section 1500 filed 8-13-84; effective thirtieth day thereafter (Register 84, No. 33).
§1501. Superseded Orders. [Repealed]
History

HISTORY

1. Repealer filed 8-13-84; effective thirtieth day thereafter (Register 84, No. 33).
§1502. Application.
Note     •     History

(a) These Orders establish minimum safety standards whenever employment exists in connection with the construction, alteration, painting, repairing, construction maintenance, renovation, removal, or wrecking of any fixed structure or its parts. These Orders also apply to all excavations not covered by other safety orders for a specific industry or operation.
(b) At construction projects, these Orders take precedence over any other general orders that are inconsistent with them, except for Tunnel Safety Orders or the Pressurized Worksite Standards in Article 154 of the General Industry Safety Orders.
(c) Machines, equipment, processes, and operations not specifically covered by these Orders shall be governed by other applicable general Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
2. Amendment of subsection (a) filed 8-13-84; effective thirtieth day thereafter (Register 84, No. 33).
3. Change without regulatory effect amending subsection (b) filed 9-1-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 36).
§1502.1. OSHA Standards. [Repealed]
History

HISTORY

1. New section filed 2-14-73; effective thirtieth day thereafter (Register 73, No. 7).
2. Repealer filed 8-13-84; effective thirtieth day thereafter (Register 84, No. 33).
§1503. Permits for Excavations, Trenches, Construction, (Building Structure, Scaffolding or Falsework), and Demolition. [Repealed]
Note     •     History

Note: Permit requirements of the Division of Occupational Safety and Health are contained in Chapter 3.2, Group 2, Title 8, CAC.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-30-75 as an emergency; effective upon filing (Register 75, No. 18). For history of former section, see Register 75, No. 8.
2. Certificate of Compliance filed 6-20-75 (Register 75, No. 25).
3. Repealer and new section filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20).
Article 2. Definitions
§1504. Definitions.
Note     •     History

(a) The following definitions shall apply in the application of these Orders.
Access. A means of reaching a workspace or a work area. 
Accessible. Within reach from a workspace or work area. 
Adequate Ventilation. Ventilation which, under normal operating conditions, is sufficient to keep the concentration of a hazardous gas, vapor, mist, fume or dust below the amount which will produce harmful effects or below 20 percent of the lower explosive limit, whichever is lower.
Anchorage. A secure point of attachment for lifelines, lanyards or deceleration devices.
Approved. See section 1505. 
Body Belt. A simple or compound strap with means for securing it about the waist and for securing a lanyard to it. 
Body Harness. Straps which may be secured about the employee in a manner that will distribute the fall arrest forces over at least the thighs, pelvis, waist, chest and shoulders with means for attaching it to other components of a personal fall arrest system.
Buckle. Any device for holding the body belt or body harness closed around the employee's body.
Bulldozer. A tractor having a blade in front for moving earth or other materials. 
Bull Float. A tool used to spread out and smooth a concrete surface.
Carryall. A self-loading and unloading vehicle pulled by a tractor or powered attachment, and used for movement and placing of earth or other materials. 
Certified Safety Professional or CSP. A safety professional who has met education and experience standards, has demonstrated by examination the knowledge that applies to professional safety practice, continues to meet recertification requirements established by the Board of Certified Safety Professionals (BCSP), and is authorized by BCSP to use the Certified Safety Professional designation.
Closed Container. A container as herein defined, so sealed by means of a lid or other device that neither liquid nor vapor will escape from it at ordinary temperatures. 
Combustible Liquid. A liquid having a flash point at or above 100oF (37.8 degrees C). Combustible liquids shall be subdivided as follows: 
(A) Class II liquids shall include those having flash points at or above 100o F (37.8oC) and below 140oF (60oC). 
(B) Class IIIA liquids shall include those having flash points at or above 140oF (60oC) and below 200oF (93.4oC). 
(C) Class IIIB liquids shall include those having flash points at or above 200oF (93.4oC). 
Competent Person. One who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.
Connector. A device which is used to couple (connect) parts of the personal fall arrest system and positioning device systems together. It may be an independent component of the system, such as a carabiner, or it may be an integral component of part of the system (such as a buckle or dee-ring sewn into a body belt or body harness, or a snap-hook spliced or sewn to a lanyard or self-retracting lanyard).
Contaminant. A harmful, irritating or nuisance material that is foreign to the environment. 

Note: For definition of “harmful exposure” refer to section 5140 of General Industry Safety Orders. 
Controlled Access Zone (CAZ). An area in which certain work may take place without the use of guardrails, personal fall arrest systems, or safety nets and access to the zone is controlled.
Coon. To straddle and move horizontally on a beam while walking on the bottom flanges. 
Crawling Board (Chicken Ladder). A plank with cleats spaced and secured at equal intervals and used by workers on roofs as a means of access. 
Dangerous Equipment. Equipment (such as pickling or galvanizing tanks, degreasing units, machinery, electrical equipment, and other construction related equipment such as hoppers and conveyors) which, as a result of form or function, may be hazardous to employees who fall onto or into such equipment.
Deceleration Device. Any mechanism, such as a rope grab, rip-stitch lanyard, specially-woven lanyard, tearing or deforming lanyards, automatic self-retracting lifelines/lanyards, etc., which serves to dissipate a substantial amount of energy during a fall arrest, or otherwise limit the energy imposed on an employee during fall arrest.
Deceleration Distance. The additional vertical distance a falling employee travels, excluding lifeline elongation and free fall distance, before stopping, from the point at which the deceleration device begins to operate. It is measured as the distance between the location of an employee's body belt or body harness attachment point at the moment of activation (at the onset of fall arrest forces) of the deceleration device during a fall, and the location of that attachment point after the employee comes to a full stop.
Defect. Any characteristic or condition which tends to weaken or reduce the strength or the safety of the tool, machine, object, or structure of which it is a part.
Division. The current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these Orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency. 
Drop Line (Safety Line). A vertical line from a fixed anchorage, independent of the work surface, to which the lanyard is affixed. 
Elevator, Construction. Any means used to hoist persons or material of any kind on a building under course of construction, when operated within guides, by any power other than muscular power. 
Emergency Medical Services. 
(A) Appropriately Trained Person. A physician or registered nurse currently licensed in California or a person possessing a current certificate (training within the past three years or as specifically stated on the certificate) from the American National Red Cross or equivalent training that can be likewise verified. Acceptable Red Cross certificates are those from the Standard First-Aid Multimedia, Standard First Aid and Personal Safety, or Advanced First Aid and Emergency Care courses. 

Note: Equivalent training includes, but is not limited to, training which is equivalent to that provided by the American National Red Cross, or training required for certification as mobile intensive care paramedics as provided under chapter 2.5, article 3, sections 1480 through 1484.4 of the California Health and Safety Code; and, courses that are given by nationally recognized voluntary health organizations, official agencies, such as Mine Safety and Health Administration, or accredited teaching institutions. 
(B) Emergency Medical Services. The communications, transportation and medical and related services, such as first aid, rendered in response to the individual need for immediate medical care in order to reduce or prevent suffering and disability and reduce the incidence of death.
(C) First Aid. The recognition of, and prompt care for injury or sudden illness prior to the availability of medical care by licensed health-care personnel. 
Employer. 
(A) The State and every State agency. 
(B) Each county, city, district, and all public and quasi-public corporations and public agencies therein. 
(C) Every person including any public service corporation which has any natural person in service. 
(D) The legal representative of any deceased employer. 
Excavation, Trenches, Earthwork. 
(A) Bank. A mass of soil rising above a digging level. 
(B) Exploration Shaft. A shaft created and used for the purpose of obtaining subsurface data. 
(C) Geotechnical Specialist (GTS). A person registered by the State as a Certified Engineering Geologist, or a Registered Civil Engineer trained in soil mechanics, or an engineering geologist or civil engineer with a minimum of 3 years applicable experience working under the direct supervision of either a Certified Engineering Geologist or Registered Civil Engineer. 
(D) Hard Compact (as it applies to section 1542). All earth material not classified as running soil. 
(E) Lagging. Boards which are joined, side-by-side, lining an excavation. 
(F) Running Soil (as it applies to section 1542). Earth material where the angle of repose is approximately zero, as in the case of soil in a nearly liquid state, or dry, unpacked sand which flows freely under slight pressure. Running material also includes loose or disturbed earth that can only be contained with solid sheeting. 
(G) Shaft. An excavation under the earth's surface in which the depth, is much greater than its cross-sectional dimensions such as those formed to serve as wells, cesspools, certain foundation footings, and under streets, railroads, buildings, etc. 
Exhaust Retrofit. An emission control device installed on a vehicle after the vehicle's manufacture, including, but not limited to, modified or added sections of exhaust pipe that connects the emission control device to the engine.
Exit. Exit is a continuous and unobstructed means of egress to a public way, and shall include intervening doors, doorways, corridors, exterior exit balconies, ramps, stairways, smoke-proof enclosures, horizontal exits, exit passageways, exit courts, and yards. 
Failure. Load refusal, breakage, or separation of component parts. Load refusal is the point where the ultimate strength is exceeded.
Falsework and Shoring for Concrete Construction. Temporary formwork and vertical shoring, etc., to support concrete and placing operations for supported slabs of concrete structures. 
Fire Extinguishers, Portable.
(A) Portable fire extinguishers are classified for use on certain classes of fires and rated for relative extinguishing effectiveness at a temperature of plus 70 degrees Fahrenheit by nationally recognized testing laboratories. This is based upon the classification of fires and the fire-extinguishment potentials as determined by fire tests. 
(B) The classification and rating system described in this standard is that used by Underwriters' Laboratories, Inc., and Underwriters' Laboratories of Canada and is based on extinguishing pre-planned fires of determined size and description as follows: 
1. Class A Rating. Wood and excelsior. 
2. Class B Rating. Two-inch depth n-heptane fires in square pans. 
3. Class C Rating. No fire test. Agent must be a nonconductor of electricity. 
4. Class D Rating. Special tests on specific combustible metal fires. 
Fires. 
(A) Class A. Fires in ordinary combustible materials, such as wood, cloth, paper, rubber, and many plastics. 
(B) Class B. Fires in flammable liquids, gases, and greases. 
(C) Class C. Fires which involve energized electrical equipment where the electrical nonconductivity of the extinguishing media is of importance. (When electrical equipment is de-energized, extinguishers for Class A or B fires may be used safely.) 
(D) Class D. Fires in combustible metals, such as magnesium, titanium, zirconium, sodium, and potassium. 
Flammable Liquid. A liquid having a flash point below 100o F (37.8o C) and having a vapor pressure not exceeding 40 pounds per square inch (absolute) at 100o F (37.8o C) and shall be known as a Class I liquid. Class I liquids shall be subdivided as follows: 
(A) Class IA shall include those having flash points below 73o F (22.8oC) and having a boiling point below 100oF (37.8o C). 
(B) Class IB shall include those having flash points below 73o F (22.8oC) and having a boiling point at or above 100o F (37.8o C). 
(C) Class IC shall include those having flash points at or above 73o F (22.8o C) and below 100o F (37.8o C).
Floor Area. The area included within the surrounding exterior walls of a building or portion thereof, exclusive of vent shafts and courts. The floor area of a building, or portion thereof, not provided with surrounding exterior walls shall be the usable area under the horizontal projection of the roof or floor above. 
Free Fall. The act of falling before a personal fall arrest system begins to apply force to arrest the fall.
Free Fall Distance. The vertical displacement of the fall arrest attachment point on the employee's body belt or body harness between onset of the fall and just before the system begins to apply force to arrest the fall. This distance excludes deceleration distance, and lifeline/lanyard elongation, but includes any deceleration device slide distance or self-retracting lifeline/lanyard extension before they operate and fall arrest forces occur.
Grade (Adjacent Ground Elevation). The lowest point of elevation of the finished surface of the ground, paving or sidewalk, within the area between the building and the property line, or when the property line is more than 5 feet from the building, between the building and a line 5 feet from the building. 
Guardrail. (See Railing) 
Guy. A line that steadies a mast or structure by pulling against an off-center load. 
Handrail. A rail used to provide employees with a handhold for support.
Haulage Vehicle, as used in these Orders. A self-propelled vehicle including its trailer, used to transport materials on construction projects. The term “haulage vehicle” includes trucks, truck and trailer combinations, and all other similar equipment used for haulage.
Hazardous Substance. One which by reason of being explosive, flammable, extremely flammable, poisonous, corrosive, oxidizing, irritant, or otherwise harmful is likely to cause injury. 
Helicopter. A rotary wing aircraft which depends principally for its support and motion in the air upon the lift generated by one or more power-driven rotors, rotating on substantially vertical axes. It can hover, fly backward and sideways, in addition to forward flight. (The following definitions (A) through (K) apply to helicopter operations only.): 
(A) Automatic Release Device. A mechanism for releasing the load without deliberate action by the pilot or crewmen. 
(B) Dangerous Materials. Explosives, flammables, oxidizing materials, corrosive liquids, compressed gases, poisons, radioactive materials, or a combination of other materials which could produce dangerous material. 
(C) Dust Control. The control of dust by use of water or other materials. 
(D) Emergency. Human lifesaving or protective operation. 
(E) External Load (Helicopter). A cargo which is not contained wholly within the fuselage of the aircraft. 
(F) Ground Crew (Helicopter). Those employees not on board the helicopter who are directly involved with helicopter operations. 
(G) Heliport. An area used for regular helicopter landings and takeoffs. 
(H) Line Stringing Operation (Helicopter). The placing of any line (power, communication, or other line, including the pulling line) between two or more points by pulling it with an airborne helicopter. This does not include towers, poles, or coiled lines transported as a unit. 
(I) Passenger (Helicopter). A person to be transported who is not a member of the helicopter crew. 
(J) Practicable. Means capable of being accomplished by reasonably available and workable means.
(K) Sling Load (Helicopter). An external load carried below or partly below the level of the landing gear.
Hole. Any opening in a floor or platform, which is smaller than an opening.
Jacking Operation. The task of lifting a slab (or group of slabs) vertically from one location to another (e.g., from the casting location to a temporary (parked) location, or from a temporary location to another temporary location, or to its final location in the structure), during the construction of a building/structure where the lift-slab process is being used.
Jobsite vehicle. A vehicle which is operated on a jobsite exclusively and is excluded from the provisions of applicable traffic and vehicular codes, and haulage and earthmoving vehicles regulated by the provisions of Article 10 of these Orders.
Ladders. 
(A) Ladder. A device other than a ramp or stairway, designed for use in ascending or descending at an angle with the horizontal. A ladder is intended to be stationary while in service and consists of two side pieces called siderails, joined at short intervals by crosspieces called steps, rungs or cleats. 
(B) Ladder, Double Cleat. A ladder that is similar to a single cleat ladder, but is wider, with an additional center rail which will allow for two-way traffic for workers in ascending and descending.
(C) Ladder, Extension. A ladder consisting of two or more sections, with guides or brackets so arranged that the ladder may be adjusted to different lengths by sliding and locking the movable section or sections.
(D) Ladder, Extension Trestle. A ladder consisting of an “A” or trestle ladder with an additional single ladder, which is supported in a vertical position by the “A” ladder.
(E) Ladder, Fixed. A ladder permanently fastened to a structure. 
(F) Ladder, Jacob's ladder. A ladder having rigid rungs suspended between two vertical chain or wire rope stringers, instead of the rigid side rails used on fixed or portable ladders.
(G) Ladder, Job-built. A ladder that is fabricated by employees, typically at the construction site, and is not commercially manufactured.
(H) Ladder, Portable. A ladder, not permanently fixed in place, which may be used at various locations.
(I) Ladder, Single-rail. A portable ladder with rungs, cleats, or steps mounted on a single rail instead of the normal two rails used on most other ladders.
(J) Ladder, Steps. Either rungs, treads, or cleats. 
(K) Ladder, Stepladder. A ladder having treads and so constructed as to be self-supporting. 
(L) Ladder, Step stool. A self-supporting, collapsible, portable ladder, nonadjustable in length, 32 inches or less in overall size, with flat steps and without a pail shelf, designed to be climbed on the ladder top cap as well as all steps. The rails may continue above the top cap.
(M) Ladder, Trestle or “A.” A ladder consisting of two special, single ladders hinged together at the top to form equal angles with the surface on which they stand. 
Lanyard. A flexible line to secure a wearer of a safety belt or harness to a drop line, lifeline, or fixed anchorage. 
Leading Edge. The edge of a floor, roof, or formwork for a floor or other walking/working surface (such as the deck) which changes location as additional floor, roof, decking, or formwork sections are placed, formed, or constructed. A leading edge is considered to be an “unprotected side and edge” during periods when it is not actively and continuously under construction.
Lifeline. A horizontal line (i.e. catenary line) between two fixed anchorages, independent of the work surface, to which the lanyard is secured either by tying off or by means of a suitable sliding connection. For the purposes of these orders, lifelines may be vertical as well as horizontal (i.e. when used with a body harness).
Lift-Slab. An operation whereby a concrete slab is lifted into an elevated position by means of jacks located above the slab on columns or other supporting members. 
Limited Access Zone. An area alongside a masonry wall which is under construction and which is clearly demarcated to limit access by employees.
Linemen's Body Belt. A leather or web (cotton or nylon) belt designed specifically for employees working on poles. It consists of a waist belt, generally cushioned, with a front buckle, two D rings for attaching safety straps and a multiple-looped strap for holding, rings, snaphooks, holsters and other tool holding devices. 
Liquid. As applied to flammable and combustible liquids means any material which has a fluidity greater than that of 300 penetration asphalt when tested in accordance with ASTM Test for Penetration for Bituminous Materials, D-5-7.1. 
Loading Device. A mobile mechanical-powered machine of the skip loader type used for picking up materials and loading or dumping them into haulage vehicles, bins, or hoppers, excluding boom-type excavators and endless belt or chain conveyors. 
Lower Levels. Those areas or surfaces to which an employee can fall. Such areas or surfaces include, but are not limited to, ground levels, floors, platforms, ramps, runways, excavations, pits, tanks, material, water, equipment, structures, or portions thereof.
Lumber. 
(A) Douglas Fir or Equivalent. “Selected lumber” or other suitable material of proper size, having strength at least equal to the specified Douglas fir members. 
(B) “Selected Lumber.” Douglas fir that has been graded under standards as high as those followed by the West Coast Lumber Inspection Bureau or by the Western Wood Products Association as suitable for a bending stress of 1,500 psi. 
(C) “Structural Plank.” 
1. Douglas fir graded for scaffold plank use and which has an allowable bending stress of at least 2,200 pounds per square inch (psi). Select structural scaffold plank, as described in Paragraph 171-b of the January 1, 2000 Standard Grading Rules No. 17, published by the West Coast Lumber Inspection Bureau and Scaffold No. 2 as described in Paragraph 58.12 of the 1998 Edition of the Western Lumber Grading Rules published by the Western Wood Products Association, satisfy this definition. 
2. Southern Pine graded for scaffold plank use that meets the Standard Grading Rules for Southern Pine, effective July 1, 2002, Section 501 for Dense Industrial 72 Scaffold Plank and Section 502 for Dense Industrial 65 Scaffold Plank.
3. Other solid sawn wood planking graded as a scaffold plank that meets the scaffold plank grading rules of an agency approved by the American Lumber Standards Committee for the species of wood used.
(D) Size. Unless otherwise stated, the lumber sizes referred to in these Orders mean nominal sizes and thus include both the rough and dressed members of those nominal sizes. 
Mast Tower. A single vertical member on which a cantilevered platform, suitable for carrying material, may be moved up and down. 
Material Hoist. A hoist for raising and lowering materials only, with the hoisting of persons being prohibited. 
(A) Cage. The load-carrying unit, consisting of a platform and enclosure, and including a top as well as walls. 
(B) Cantilevered Hoist Tower. A hoist tower in which the platform, cage, or bucket travels on guide rails that are generally an integral part of the vertical tower member(s) and in a vertical plane, outboard from the tower member. 
(C) Equivalent. An alternate design, feature, device, or protective action which provides an equal degree of safety. 
(D) Hoistway. A shaft way for the travel of one or more platforms, cages, or buckets. It includes the pit and terminates at the underside of the beam at the top of the tower or structure. 
(E) Inside Hoists. Hoistways contained entirely within the building being served, which sometimes use the building structure itself for the support of the top beams, guide rails, and appurtenant parts necessary for the proper functioning of the platform. 
(F) Load. The total superimposed weight on the hoist platform or bucket. 
(G) Platform. The load-carrying unit, including the frame, which directly supports the load. 
(H) Rated Load. The maximum load for which the material hoist is designed and built by the manufacturer and which is shown on the equipment nameplate(s).
(I) Rated Speed. The speed at which the platform, cage, or bucket is designed to operate in the up direction with a rated load in or on the load-carrying unit.
(J) Rope. Refers to wire rope only. 
(K) Tower. The primary structure which forms the hoistway for the travel of the platform, cage, or bucket, and which provides the support for the top beams, guide rails, and other appurtenant parts necessary for the operation of such units. 
Mechanical Equipment. All motor or human propelled wheeled equipment used for roofing work, except wheelbarrows and mopcarts.
Midrail. A rail approximately midway between the top rail and platform, that is secured to the uprights erected along the exposed sides and ends of platforms.
Nationally Recognized Testing Laboratory (NRTL). A laboratory which has been recognized by the Department of Labor, Occupational Safety and Health Administration (OSHA) as meeting the requirements of 29 CFR 1910.7. 
O.D. O.D. means optical density and refers to the light refractive characteristics of a lens. 
Opening. An opening in any floor or platform, 12 inches or more in the least horizontal dimension. It includes: stairway floor openings, ladderway floor openings, hatchways and chute floor openings.
Personal Fall Arrest System. A system used to arrest an employee in a fall from a working level. It consists of an anchorage, connectors, a body belt or body harness and may include a lanyard, deceleration device, lifeline, or suitable combinations of these. As of January 1, 1998, the use of a body belt for fall arrest is prohibited.
Personal Fall Restraint System. A system used to prevent an employee from falling. It consists of anchorages, connectors, body belt/harness. It may include, lanyards, lifelines, and rope grabs designed for that purpose.
Personal Fall Protection System. A personal fall protection system includes personal fall arrest systems, positioning device systems, fall restraint systems, safety nets and guardrails.
Personal Protective Equipment. Protection where modified by the words head, eye, body, hand, and foot, as required by the Orders in Subchapter 4, means the safeguarding obtained by means of safety devices and safeguards of the proper type for the exposure, and of such design, strength, and quality as to eliminate, preclude, or mitigate the hazard. 

Note: See “approved.” 
Personnel Hoist. A mechanism for use in connection with the construction, alteration, maintenance, or demolition of a building structure, or other work. It is used for hoisting and lowering workers or materials, or both, is equipped with a car that moves on guide members during its vertical movement, and includes its hoistway. 
(A) Buffer. A device used on construction elevators designed to stop a descending car or counterweight beyond its normal limit of travel by storing or by absorbing and dissipating the kinetic energy of the car or counterweight. 
1. Buffer, Hydraulic. A buffer using fluid as a medium which absorbs and dissipates the kinetic energy of the descending car or counterweight.
2. Buffer Stroke, Hydraulic. The fluid-displacing movement of the buffer plunger or piston, excluding the travel of the buffer-plunger accelerating device. 
3. Spring Buffer. A buffer which stores in a spring the kinetic energy of the descending car or counterweight. 
4. Spring-Buffer Load Rating. The load required to compress the spring an amount equal to its stroke. 
5. Spring-Buffer Stroke. The distance the contact end of the spring can move under a compressive load until all coils are essentially in contact.
(B) Car (Cage). 
1. Hoist Car. The load-carrying unit including its platform, car frame, enclosure, and car door or gate. 
2. Car Door or Gate Electric Contact. An electrical device, the function of which is to prevent operation of the driving machine by the normal operating device unless the car door or gate is in the closed position. 
3. Car Enclosure. The top and the walls of the car resting on, and attached to, the car platform. 
4. Car Frame (Sling). The supporting frame to which the car platform, upper and lower sets of guide shoes, car safety, and the hoisting ropes or hoisting rope sheaves or other lifting mechanism are attached. 
5. Car Platform. The structure which forms the floor of the car and which directly supports the load. 
(C) Clearance. 
1. Bottom Car Clearance. The clear vertical distance from the pit floor (ground or foundation) to the lowest structural or mechanical part, equipment, or device installed beneath the car platform, except guide shoes or rollers, safety-jaw assemblies, and platform aprons or guards, when the car rests on its fully compressed buffers. 
2. Top Car Clearance. The shortest vertical distance between the top of the car crosshead, or between the top of the car where no crosshead is provided, and the nearest part of the overhead structure, or any other obstruction, when the car floor is level with the top terminal landing. 
3. Top Counterweight Clearance. The shortest vertical distance between any part of the counterweight structure and the nearest part of the overhead structure, or any other obstruction, when the car floor is level with the bottom terminal landing. 
(D) Door or Gate. 
1. Car or Hoistway Door Gate. The sliding portion of the car or the hinged or sliding portion in the hoistway enclosure which closes the opening, giving access to the car or to the landing. 
2. Biparting Door. A vertically or horizontally sliding door consisting of two or more sections so arranged that the sections or groups of sections open away from each other and so interconnected that all sections operate simultaneously. 
3. Manually Operated Door or Gate. A door or gate which is opened and closed by hand. 
(E) Emergency Stop Switch. A device located in the car which, when manually operated, causes the power to be removed from the driving-machine motor, thereby causing the brake to be applied. 
(F) Guide Members. Fixed vertical steel sections designed to prevent lateral movement of the car. Guide members may be standard elevator T-rails or other suitable sections. 
(G) Guide Shoes or Rollers. Devices attached to the car frame or counterweight which cause the car to be guided by the guide members. 
(H) Hoistway. A temporary shaftway; the space traveled by the car. 
1. Hoistway Enclosure. The structure which isolates the hoistway from all other parts of the building and on which the hoistway doors or gates, and door or gate assemblies, are installed. 
2. Hoistway-Door or Gate Interlock. A device having the following two related and interdependent functions which are: 
a. Preventing the operation of the driving machine by the normal operating device unless the hoistway door or gate is locked in the closed position and, 
b. Preventing the opening of the hoistway door or gate from the landing side unless the car is within the landing zone and is either stopped or being stopped. 
3. Car Door or Gate Separate Mechanical Lock. A mechanical device, the function of which is to lock a car door or gate in the closed position as the car leaves the receiving landing and to prevent the door or gate from being opened unless the car is within the landing zone. 
4. Hoistway Unit System. A series of hoistway-door or gate interlocks, the function of which is to prevent operation of the driving machine by the normal operating device unless all hoistway doors or gates are in the closed position and locked. 
(I) Landing. 
1. Hoist Landing. That portion of a floor, balcony, or platform used to receive and discharge passengers or material. 
2. Electric Driving Machine. A machine whose energy is applied by an electric motor. 
3. Geared-Drive Machine. A direct-drive machine in which the energy is transmitted from the motor to the driving sheave, drum, or shaft through gearing. 
4. Gearless Traction Machine. A traction machine without intermediate gearing, which has the traction sheave and the brake drum mounted directly on the motor shaft. 
5. Rack and Pinion Machine. A machine in which the motion of a car is obtained by a power-driven rotating pinion, or pinions, mounted on the car, traveling on a stationary rack mounted on the supporting mast (tower). 
6. Traction Machine. A machine in which the motion of a car is obtained through friction between the suspension ropes and a traction sheave. 
7. Winding-Drum Machine. A geared-drive machine in which the hoisting ropes are fastened to, and wind on, a drum. 
8. Worm-Geared Machine. A direct-drive machine in which the energy from the motor is transmitted to the driving sheave or drum through worm gearing. 
(K) Mast (Tower). A vertical structure which supports and guides the cart (and the counterweight and overhead when used) outside of the mast structure. 
(L) Operating Device. The car switch, push button, lever, or other manual device used to actuate the control. 
(M) Operation. The method of actuating the control.
1. Car-Switch Operation. An operation wherein the movement and direction of travel of the car are directly and solely under the control of the operator by means of a manually operated car switch in the car.
(N) Overhead Structure (Cathead). All of the structural members or platforms supporting the hoist machinery, sheaves, or equipment at the top of the hoistway. 
(O) Oxygen Deficient Atmosphere. An atmosphere containing oxygen at a concentration of less than 19.5 percent by volume.
(P) Pit. That portion of a hoistway extending from the threshold level of the lowest landing door to the floor (ground or foundation) at the bottom of the hoistway. 
(Q) Rated Load. The load for which the hoist is designed and installed to lift at the rated speed. 
(R) Rated Speed. The speed in the up direction, with rated load in the car, at which a hoist is designed to operate.
(S) Rope. Hoist wire ropes, governor wire ropes, and compensating wire ropes. 
(T) Runby. 
1. Bottom Hoist-Car Runby. The distance between the car-buffer striker plate and the striking surface of the car buffer when the car floor is level with the bottom terminal landing. 
2. Bottom Hoist-Counterweight Runby. The distance between the counterweight-buffer striker plate and the striking surface of the counterweight buffer when the car floor is level with the top terminal landing.
(U) Safety, Car or Counterweight. A mechanical device attached to the car frame or to an auxiliary frame, or to the counterweight frame, to stop and hold the car or counterweight in case of predetermined over-speed or free fall, or if the hoisting ropes slacken. 
(V) Slack-Rope Switch. A device which automatically causes the power to be removed from the hoist driving-machine motor and applies the brake when the hoisting ropes of a winding-drum machine become slack. 
(W) Stopping Device. 
1. Terminal Speed-Limiting Device. A device which automatically reduces the speed as a car approaches a terminal landing, independently of the functioning of the operating device and the normal-terminal stopping device, if these devices fail to slow down the car as intended. 
2. Final-Terminal Stopping Device. A device which automatically causes the power to be removed from a hoist driving-machine motor and applies the brake independent of the functioning of the normal-terminal stopping device, the operating device, or an emergency terminal stopping device, after the car has passed terminal landings. 
3. Normal-Terminal Stopping Device. A device or devices to slow down and stop a hoist car automatically at or near a terminal landing, independently of the functioning of the operating device. 
(X) Tower. A vertical structure which supports and guides the car (and the counterweight and overhead when used) within the tower structure.
(Y) Travel (Rise). The vertical distance between the bottom terminal landing and the top terminal landing of a hoist. 
Platform. An elevated working area or surface used for supporting workers, materials and equipment. 
Powder-Actual Tools. 
(A) Cased Power Load. A power load with the propellant contained in a closed case. 
(B) Caseless Power Load. A power load with the propellant in solid form not requiring containment. 
(C) To Chamber. To fit the chamber exactly without force. 
(D) Fasteners. Any pins (unthreaded heads) or studs (threaded heads) driven by powder-actuated tools. 
(E) Fixture. A special shield which provides equivalent protection where the standard shield cannot be used. 
(F) Head. That portion of a fastener which extends above the work surface after being properly driven. 
(G) High-Velocity Tool. A tool whose velocity has been measured 10 times while utilizing the combination of: 
(1) The lightest commercially available fastener designed for the tool.
(2) The strongest commercially available power load that will properly chamber in the tool that will produce an average velocity from the 10 tests in excess of 492 feet per second (150m/s). 
(H) Medium-Velocity Tool. A tool whose test velocity has been measured 10 times while utilizing the highest velocity combination of: 
(1) The lightest commercially available fastener designed for the tool.
(2) The strongest commercially available power load that will properly chamber in the tool. 
(3) The piston designed for that tool and appropriate for that fastener that will produce an average test velocity from 10 tests in excess of 328 feet per second (100m/s) but not in excess of 492 feet per second (150m/s) with no single test having a velocity of 525 feet per second (160m/s). 
(I) Low-Velocity Tool. A tool whose test velocity has been measured 10 times while utilizing the highest velocity combination of: 
(1) The lightest commercially available fastener designed for the specific tool. 
(2) The strongest commercially available power load that will properly chamber in the tool. 
(3) The piston designed for that tool and appropriate for that fastener that will produce an average test velocity from the 10 tests not in excess of 328 feet per second (100m/s) with no single test having a velocity of over 354 feet per second (108m/s). 
(J) Misfire. A condition in which the power load fails to ignite after the tool has been operated. 
(K) Pole Tool Assembly. An attachment to a powder-actuated tool to facilitate remote operation. 
(L) Powder-Actuated Fastening System. A fastening system using a powder-actuated tool, a power load and a fastener. 
(M) Powder-Actuated Tool, also known as Tool. A tool that utilizes the expanding gases from a power load to drive a fastener. 
(N) Power Load. The energy source used in powder-actuated tools. 
(O) Shield. A device, attached to the muzzle end of a tool, which is designed to confine flying particles. 
(P) Spalled Area. A damaged and nonuniform concrete or masonry surface, such as one damaged by a blow or a previously unsuccessful fastening. 
(Q) Valid Operator's Card. A card issued by a qualified and authorized instructor which certifies the holder of the card has been trained in the proper operation of and is currently authorized to use the tool or tools specified on such card. 
Precast Concrete. Concrete members (such as walls, panels, slabs, columns, and beams) which have been formed, cast, and cured prior to final placement in a structure.
Positioning Device System. A body belt or body harness system rigged to allow an employee to be supported on an elevated surface, such as a wall, and work with both hands free while leaning.
Qualified Person, Attendant or Operator. A person designated by the employer who by reason of training, experience or instruction has demonstrated the ability to safely perform all assigned duties and, when required, is properly licensed in accordance with federal, state, or local laws and regulations.
Radiant Energy. Energy that travels outward in all directions from its source. 
Railing. A barrier consisting of a top rail and a midrail secured to uprights and erected along the exposed sides and ends of platforms. 
Ramp. A surfaced sloping passageway connecting two different levels. 
Readily Available. Means in a location with no obstacles to prevent immediate acquisition for use. 
Reeving. A rope system in which the rope travels around drums and sheaves. 
Reshoring. The construction operation in which shoring equipment (also called reshores or reshoring equipment) is placed, as the original forms and shores are removed, in order to support partially cured concrete and construction loads.
Roofing (or Bearer) Bracket. A bracket used in slope roof construction, having provisions for fastening over the ridge and secured to some suitable object. 
Rope. Refers to wire rope unless otherwise specified. 
Rope Grab. A deceleration device which travels on a lifeline and automatically, by friction, engages the lifeline and locks so as to arrest the fall of an employee. A rope grab usually employs the principle of inertial locking, cam/level locking, or both.
ROPS. ROPS means roll-over protective structure.
Runway. An elevated passageway. 
S.A.E. S.A.E. means Society of Automotive Engineers. 
Safety Belt or Harness. A device specifically for the purpose of securing, suspending, or retrieving a worker in or from a hazardous work area.
Safety Factor. Ratio of the ultimate breaking strength of a member or piece of material or equipment to the actual working stress or safe load when in use.
Safety Line. One that is provided to protect a worker from falls caused by failure of scaffolds, working platforms, or loss of balance, and shall extend to within 4 feet of ground or other stable surface. 
Safety-Monitoring System. A safety system in which a competent person is responsible for recognizing and warning employees of fall hazards.
Self-Retracting Lifeline/Lanyard. A deceleration device containing a drum-wound line which can be slowly extracted from, or retracted onto, the drum under slight tension during normal employee movement, and which, after onset of a fall, automatically locks the drum and arrests the fall.
Safety Strap. A web strap designed specifically for use in conjunction with a linemen's belt as an aid in climbing poles and to secure the employee to the pole in a manner that permits work with both hands. 
Scaffolds and Staging. 
(A) Scaffold. Any temporary, elevated structure used for the support of a platform. 

Note: The term “scaffold” is used with inclusion of the platform and all supporting members when reference is made to loading factors. 
(B) Scaffold, Engineered. Scaffold designed by a Civil Engineer currently registered in the State of California and experienced in scaffold design. 
(C) Scaffold, Light-Duty. A scaffold designed and constructed to carry a working load of 25 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. 

Note: Load requirements for light-duty interior scaffolds are contained in Section 1640(c)(1). 
(D) Scaffold, Medium-Duty. A scaffold designed and constructed to carry a working load of 50 pounds per square foot of scaffold platform, including weight of materials and workers on the platform.
(E) Scaffold, Heavy-Duty. A scaffold designed and constructed to carry a working load of 75 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. 
(F) Scaffold, Special-Duty. A scaffold designed and constructed to carry a working load that exceeds 75 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. 
(G) Ledger. The horizontal member of a scaffold that runs at right angles to the wall and directly supports the planking of the platform. 
(H) Ribbon. The horizontal member in a scaffold which runs from upright to upright parallel to the building and is normally placed directly under the ledger. 
(I) Uprights. The vertical members of a pole scaffold, such as posts, poles, or columns. 
(J) Scaffold, Outrigger. A scaffold not suspended by ropes, that is supported by outrigger beams cantilevered out from the structure to which they are anchored. 
(K) Scaffold, Suspended. A scaffold suspended from above by ropes or cables and rigged with pulley blocks, winches, or equivalent, so that the scaffold elevation is easily adjustable. 
(L) Scaffold, Suspended, Power-Driven. Any suspended scaffold equipped with 1 or more power units for raising or lowering that are a part of and travel with the scaffold. 
(M) Thrust-Out. The beam extending out from a structure to support a suspended scaffold. 
(N) Stud Jack. A scaffold device of metal with saw-like teeth that grip the stud when the load is applied, and having a cantilevered ledger for the support of a working platform. 
(O) Catenary or Stretch Cables. Cables for the support of staging, that are secured at each end and extend in a nearly horizontal plane. The staging is placed on and supported by these cables. 
(P) Boatswain's Chair. A seat which may be raised or lowered by means of attached rigging which suspends it and the seated worker from above. 
(Q) Working Load. Load imposed by workers, materials and equipment. 
(R) Brace. A tie that holds one scaffold member in a fixed position with respect to another. 
(S) Coupler. A device for locking together the component parts of a tubular metal scaffold. (The material used for the couplers shall be of a structural type, such as drop-forged steel, malleable iron, or structural grade aluminum.) 
(T) Maximum Rated Load. The total of all loads including the working load, the weight of the scaffold, and such other loads that may be reasonably anticipated. 
(U) Scaffold, Bricklayer's Square. A scaffold composed of framed wood squares which support a platform. 
(V) Scaffold, Carpenter's Bracket. A scaffold consisting of wood or metal brackets that support a platform.
(W) Scaffold, Float. A scaffold hung from overhead supports by means of ropes and usually consisting of a 3/4-inch plywood platform supported by 2 securely fastened bearers. 
(X) Scaffold, Horse. A scaffold composed of horses supporting a work platform. 
(Y) Scaffold, Interior Hung. A scaffold suspended from the ceiling or roof structure. 
(Z) Scaffold, Ladder Jack. A light trade scaffold supported by brackets attached to ladders. 
(AA) Scaffold, Manually Propelled Mobile. (See Rolling Scaffold.) 
(BB) Scaffold, Needle Beam. (See Outrigger Scaffold.) 
(CC) Scaffold, Pole. A scaffold built of one or two rows of vertical members, horizontal ledgers, platform planks, ribbons and braces. 
(DD) Scaffold, Rolling. A portable rolling scaffold supported by caster wheels.
(EE) Scaffold, Tube and Coupler. An assembly consisting of tubing which serves as posts, ledgers, ribbons, ties and braces, a base supporting the posts, and special couplers which serve to connect the uprights and to join the various members. 
(FF) Scaffold, Tubular Welded Frame. A sectional panel or frame metal scaffold substantially built-up of prefabricated, welded sections which consist of posts and horizontal ledgers with intermediate members. 
(GG) Scaffold, Window Jack. A scaffold, the platform of which is supported by a bracket or jack which projects through a window opening. 
(HH) Scaffold, Wooden Pole. A scaffold built of one or two rows of vertical members (uprights), horizontal ledgers, platform planks, ribbons and braces. A single pole scaffold consists of one row of uprights and a double pole scaffold consists of two rows of uprights.
Shall. Mandatory. 
Sheet Pile. A pile, or sheeting, that may form one of a continuous interlocking line, or a row of timber, concrete, or steel piles, driven in close contact to provide a tight wall to resist the lateral pressure of water, adjacent earth, or other materials. 
Shore. A supporting member that resists a compressive force imposed by a load. 
Should. Recommended. 
Side Pull or Side Loading. A load applied at any angle to the vertical plane of the boom. 
Skip. A container with sides in which materials are hoisted. 
Snaphook. A connector comprised of a hook-shaped member with a normally closed keeper, or similar arrangement, which may be opened to permit the hook to receive an object and, when released, automatically closes to retain the object.
Stairs, Stairways. A series of steps and landings having 2 or more risers leading from one level or floor to another. 
Standard. Standard as referred to ladders, ROPS, railings, etc., means as described elsewhere in the Orders, ultimately based upon standards established by ANSI, SAE, engineers competent in specialized fields, equipment manufacturers and other duly recognized authorities. 
Standing Rope (Guy). A supporting rope which maintains a constant distance between the points of attachment to the two components connected by the rope. 
Story. That portion of a building included between the upper surface of any floor and the upper surface of the floor next above, except that the topmost story shall be that portion of a building included between the upper surface of the topmost floor and the ceiling or roof above. If the finished floor level directly above a basement, cellar or unused underfloor space is more than 6 feet above grade as defined herein for more than 50 percent of the total perimeter or is more than 12 feet above grade as defined herein at any point, such basement, cellar or unused underfloor space shall be considered as a story. 
Structural Competence. The ability of the machine and its components to withstand the stresses imposed by applied loads. 
Structure. That which is built or constructed, an edifice or building of any kind, or any piece of work artificially built up or composed of parts joined together in some definite manner. 
Toeboard. A barrier secured along the sides and ends of a platform at the platform level used to guard against the falling of material. 
Trench Jack. Screw, pneumatic or hydraulic type jacks used as cross bracing in a trench shoring system.
Trench Shield. A shoring system composed of plates and bracing, welded or bolted together, which can safely support the walls of a trench from the ground level to the trench bottom and which can be moved along as work progresses. 
Unprotected Sides and Edges. Any side or edge (except at entrances to points of access) of a walking/working surface, e.g., floor, roof, ramp, or runway where there is no wall or standard guardrail or protection provided.
Vertical Slip Forms. Forms which are jacked vertically during placement of concrete. 
Wall opening. A gap or void 30 inches or more high and 18 inches or more wide, in a wall or partition, through which employees can fall to a lower level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 2-15-90; operative 3-17-90 (Register 90, No. 8). For prior history, see Register 87, No. 24.
2. Amendment of subsection (a) filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
3. Amendment of section adding definition for “Competent Person” and amending subsections under Excavation, Trenches, and Earthwork filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
4. Addition of “Handrail,” new subsections (D), (E) and (I) and relettering under Ladders filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
5. New definition “Jacking Operation” filed 8-11-92; operative 9-10-92 (Register 92, No. 33).
6. Amendment of “Qualified Person” definition filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
7. Amendment of definition of “Explosives” filed 6-26-97; operative 7-26-97 (Register 97, No. 26).
8. Amendment of “Lifeline” and adoption of twenty-five new definitions filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
9. Amendment of definition of ``Lumber” filed 6-19-2001; operative 7-19-2001 (Register 2001, No. 25).
10. Amendment of definition of “scaffolds and staging” repealing subsections (B) and (C), adding new subsection (B), relettering subsections and amending newly designated subsections (C)-(F), (P) and (DD) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
11. Amendment of subsection (a) and repealer of definition “Explosives” filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
12. New definition of “Jobsite vehicle” filed 3-5-2008; operative 4-4-2008 (Register 2008, No. 10).
13. Amendment of definition of “Lumber” redesignating subsection (C) as subsection (C)1. and adopting subsections (C)2.-3. filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).
14. Amendment of definition of “Ladders” filed 8-5-2011; operative 9-4-2011 (Register 2011, No. 31).
15. Editorial correction of definitions of “Combustible Liquid” and “Flammable Liquid” (Register 2011, No. 32).
16. New definition of “Certified Safety Professional or CSP” filed 8-29-2011; operative 9-28-2011 (Register 2011, No. 35).
17. New definition of “Exhaust retrofit” filed 2-1-2012; operative 3-2-2012 (Register 2012, No. 5).
§1505. Approvals.
Note     •     History

(a) Approvals. 
(1) When the term “approved” is used in these orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to applicable governmental or other nationally recognized standards, or applicable scientific principles. The approval, listing, labeling, or certification of conformity, shall be based upon an evaluation performed by a person, firm, or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation.

Exception: Where written approval by the Division is required in these orders.
(2) The term “approved” shall also refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified by a Nationally Recognized Testing Laboratory (NRTL). 
(b) The division may require proof in addition to that under (a) that the products, materials, devices, systems, or installations will provide reasonable safety under the conditions of use. 
(c) When these orders require an approval of products, materials, devices, systems, or installations and that approval is not available under (a), it will be necessary to submit to the division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The division will then approve or disapprove the product, material, device, system, or installation as submitted or under specified conditions. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8). 
2. Amendment filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42). 
3. Amendment of subsection (a) filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
Article 3. General
§1508. Permits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 81-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 11-22-74 (Register 74, No. 48).
3. Certificate of Compliance refiled 11-27-74 (Register 74, No. 48).
4. Repealer and new section filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
5. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
6. Editorial correction of History 5 (Register 2010, No. 50).
§1509. Injury and Illness Prevention Program.
Note     •     History

(a) Every employer shall establish, implement and maintain an effective Injury and Illness Prevention Program in accordance with section 3203 of the General Industry Safety Orders. 
(b) Every employer shall adopt a written Code of Safe Practices which relates to the employer's operations. The Code shall contain language equivalent to the relevant parts of Plate A-3 of the Appendix.
(c) The Code of Safe Practices shall be posted at a conspicuous location at each job site office or be provided to each supervisory employee who shall have it readily available.
(d) Periodic meetings of supervisory employees shall be held under the direction of management for the discussion of safety problems and accidents that have occurred.
(e) Supervisory employees shall conduct “toolbox” or “tailgate” safety meetings, or equivalent, with their crews at least every 10 working days to emphasize safety.
NOTE

Authority cited: Sections 142.3 and 6401.7, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. Amendment of subsection (b) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment of subsection (d) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
4. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
5. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8).
§1510. Safety Instructions for Employees.
Note     •     History

(a) When workers are first employed they shall be given instructions regarding the hazards and safety precautions applicable to the type of work in question and directed to read the Code of Safe Practices.
(b) The employer shall permit only qualified persons to operate equipment and machinery.
(c) Where employees are subject to known job site hazards, such as, flammable liquids and gases, poisons, caustics, harmful plants and animals, toxic materials, confined spaces, etc., they shall be instructed in the recognition of the hazard, in the procedures for protecting themselves from injury, and in the first aid procedure in the event of injury.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1511. General Safety Precautions.
Note     •     History

(a) No worker shall be required or knowingly permitted to work in an unsafe place, unless for the purpose of making it safe and then only after proper precautions have been taken to protect the employee while doing such work.
(b) Prior to the presence of its employees, the employer shall make a thorough survey of the conditions of the site to determine, so far as practicable, the predictable hazards to employees and the kind and extent of safeguards necessary to prosecute the work in a safe manner in accordance with the relevant parts of Plate A-2-a and b of the Appendix.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (a) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1512. Emergency Medical Services.
Note     •     History

(a) Provision of Services. Where more than one employer is involved in a single construction project on a given construction site, each employer is responsible to ensure the availability of emergency medical services for its employees. The employers on the project may agree to ensure employee access to emergency medical services for the combined work force present at the job site. Such an emergency medical service program shall be adequate to service the combined work force present, but only one emergency medical program need be established at such site.
(b) Appropriately Trained Person. Each employer shall ensure the availability of a suitable number of appropriately trained persons to render first aid. Where more than one employer is involved in a single construction project on a given construction site, the employers may form a pool of appropriately trained persons. However, such pool shall be large enough to service the combined work forces of such employers.

Exception: Engineering contractors or service providers on a job site not engaged in construction activity (e.g., operation of tools, equipment or machinery directly associated with construction) that are in compliance with the requirements of Section 3400(b) of the General Industry Safety Orders.
(c) First-Aid Kit.
(1) Every employer working on or furnishing personnel on a construction project, on line crews and on other short duration or transient jobs shall provide at least one first-aid kit in a weatherproof container. The contents of the first-aid kit shall be inspected regularly to ensure that the expended items are promptly replaced. The contents of the first-aid kit shall be arranged to be quickly found and remain sanitary. First-aid dressings shall be sterile in individually sealed packages for each item. The minimum first-aid supplies shall be determined by an employer-authorized, licensed physician or in accordance with the following Table:

			Type of Supply Required
	 		by Number of Employees
	           Supplies for First Aid				over 
Dressings in adequate quantities consisting of:	1-5	6-15	16-200	200
  1.	Adhesive dressings	X	X	X	X
  2.	Adhesive tape rolls, 1-inch wide	X	X	X	X
  3.	Eye dressing packet	X	X	X	X
  4.	1-inch gauze bandage roll or compress		X	X	X
  5.	2-inch gauze bandage roll or compress	X	X	X	X
  6.	4-inch gauze bandage roll or compress		X	X	X
  7.	Sterile gauze pads, 2-inch square	X	X	X	X
  8.	Sterile gauze pads, 4-inch square	X	X	X	X
  9.	Sterile surgical pads suitable for 
	pressure dressings			X	X
10.	Triangular bandages	X	X	X	X

11.	Safety pins	X	X	X	X
12.	Tweezers and scissors	X	X	X	X
* Additional equipment in adequate 
	quantities consisting of:
13.	Cotton-tipped applicators			X	X
14.	Forceps			X	X
15.	Emesis basin			X	X
16.	Flashlight			X	X
17.	Magnifying glass			X	X
18.	Portable oxygen and its 
	breathing equipment				X
19.	Tongue depressors				X
Appropriate record forms	X	X	X	X
Up-to-date `standard' or `advanced' 
	first-aid textbook, manual or 
	equivalent	X	X	X	X

---------
*To be readily available but not necessarily within the first-aid kit.
(2) Other supplies and equipment, when provided, shall be in accordance with the documented recommendations of an employer-authorized, licensed physician upon consideration of the extent and type of emergency care to be given based upon the anticipated incidence and nature of injuries and illnesses and availability of transportation to medical care.
(3) Drugs, antiseptics, eye irrigation solutions, inhalants, medicines, or proprietary preparations shall not be included in first-aid kits unless specifically approved, in writing, by an employer-authorized, licensed physician.
(d) Informing Employees of Emergency Procedures. Each employer shall inform all of its employees of the procedure to follow in case of injury or illness.
(e) Provision for Obtaining Emergency Medical Services. Proper equipment for the prompt transportation of the injured or ill person to a physician or hospital where emergency care is provided, or an effective communication system for contacting hospitals or other emergency medical facilities, physicians, ambulance and fire services, shall be provided. The telephone numbers of the following emergency services in the area shall be posted near the job telephone, telephone switchboard, or otherwise made available to the employees where no job site telephone exists:
(1) A physician and at least one alternate if available.
(2) Hospitals.
(3) Ambulance services.
(4) Fire-protection services.
(f) Emergency Washing Facilities. Where the eyes or body of any person may be exposed to injurious or corrosive materials, suitable facilities for drenching the body or flushing the eyes with clean water shall be conspicuously and readily accessible.
(g) Emergency Call Systems. A two-way voice emergency communication system shall be installed, for buildings and structures five or more floors or 48 feet or more above or below ground level, to notify persons designated in the emergency medical services plan. The location and condition of the employee shall be able to be communicated over the system. The use of the construction passenger elevators for medical emergencies shall take precedence over all other use.

Exception: Where jobsite conditions prevent or impair the communication of the required information over the system, an alternative system acceptable to the Division shall be used.
(h) Basket Litter. At least one basket or equally appropriate litter equipped with straps and two blankets, or other similar warm covering, shall be provided for each building or structure five or more floors or 48 feet or more either above or below ground level.
(i) Written Plan. The employer shall have a written plan to provide emergency medical services. The plan shall specify the means of implementing all applicable requirements in this section. When employers form a combined emergency medical services program with appropriately trained persons, one written plan will be considered acceptable to comply with the intent of this subsection.

Note: 

The provisions of Section 1512 are not intended to exclude immediate treatment of minor injuries which do not require the services of a physician.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Repealer and new section filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
4. Amendment of subsection (a)(1) NOTE filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
6. Amendment of subsection (g) filed 11-30-92; operative 12-30-92 (Register 92, No. 49).
7. Amendment of subsection (b) filed 4-13-2000; operative 5-13-2000 (Register 2000, No. 15).
8. Change without regulatory effect amending subsection (d) filed 9-17-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 38).
9. New subsection (i) -- Note 2. filed 10-27-2011; operative 10-27-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2011, No. 43).
10. Amendment of subsection (i) Note filed 9-5-2012; operative 10-5-2012 (Register 2012, No. 36).
§1513. Housekeeping.
Note     •     History

(a) During the course of construction, alteration, or repairs, form and scrap lumber with protruding nails and all other debris shall be kept reasonably cleared from work areas, passageways, and stairs in and around buildings or other structures.
(b) The ground area within 6 feet of a building under construction shall be reasonable free from irregularities wherever it is practicable to attain this condition by grading or similar methods, and open ditches shall be bridged to provide passageways at convenient places.
(c) Material storage areas and walkways on the construction site shall be maintained reasonably free of dangerous depressions, obstructions, and debris.
(d) Combustible debris accumulated within the building or structure shall be removed promptly during the course of construction. Safe means shall be provided to expedite such removal.
(e) Flammable or hazardous wastes shall be placed in covered containers separate from the normal debris.
(f) All waste shall be disposed of at intervals determined by the rate of accumulation and capacity of the job site container.
(g) Waste, materials, or tools shall not be thrown from buildings or structures to areas where employee(s) may be located, unless the area where the material falls is guarded by fences, barricades, or other methods/means to prevent employee(s) from entering and being struck by falling objects. Signs shall be posted to warn employees of the hazard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new subsections (c) and (d) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
3. New subsection (g) filed 8-21-92; operative 9-21-92 (Register 92, No. 34).
§1514. Personal Protective Devices.
Note     •     History

(a) The employer shall require employees to use the required personal protective equipment.
(b) Personal protective equipment required by these orders shall be approved and distinctly marked so as to facilitate identification. 

Exception: Employer manufactured shields, barriers, etc.
(c) Personal protective equipment shall be used in accordance with the manufacturer's instructions.
(d) The employer shall assure that employee-owned personal protective equipment complies with these regulations and that this equipment is maintained in a safe, sanitary condition.
(e) Protectors shall be of such design, fit and durability as to provide adequate protection against the hazards for which they are designed. They shall be reasonably comfortable and shall not unduly encumber the employee's movements.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsection (a) filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
3. Amendment of subsection (a) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
4. Amendment of subsection (a) NOTE filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
5. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85. No. 40).
§1515. Head Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
3. Repealer filed 1-28-2000; operative 2-27-2000 (Register 2000, No. 4).  
§1516. Eye and Face Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsection (a) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
3. Amendment of subsection (d) filed 6-23-82; effective thirtieth day thereafter (Register 82, No. 26).
4. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
5. Amendment of Tables EP-1 and EP-2 filed 12-3-86; effective thirtieth day thereafter (Register 86, No. 49).
6. Repealer filed 1-28-2000; operative 2-27-2000 (Register 2000, No. 4).  
§1517. Foot Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
3. Repealer filed 1-28-2000; operative 2-27-2000 (Register 2000, No. 4).  
§1518. Protection from Electric Shock.
Note     •     History

(a) Suitable protective equipment or devices shall be provided and used on or near energized equipment for the protection of employees where there is a recognized hazard of electrical shock or burns.
(b) When protective insulating equipment is used, it shall comply with the Electrical Safety Orders.
(c) In lieu of other protective equipment, barricades shall be used to provide protection from exposed, energized equipment.
(d) Before work is begun, the employer shall ascertain by inquiry, direct observation, or by instruments, whether any part of an energized electric power circuit, exposed or concealed, is so located that the performance of the work may bring any person, tool or machine into physical or electrical contact with the electric power circuit.
(1) Where such circuits exist, a legible marking shall be made indicating the presence and location of the energized circuit(s), or warning signs shall be posted in accordance with Section 3340 of the General Industry Safety Orders.
(2) The employer shall advise the employee of the location of such energized circuits, the hazards involved, and the protective measures to be taken in accordance with Section 1509 of these Orders. 

Note: Section 1518(d) applies to electrical installations present on the jobsite which do not involve excavations. For electrical installations involving excavations as defined in Section 1540, see Section 1541.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
3. Amendment of subsection (c) and new subsections (d)-(d)(2) filed 1-27-2006; operative 2-26-2006 (Register 2006, No. 4).
§1519. Sanitation.
Note     •     History

Personal protective equipment shall be kept clean and in good repair. Safety devices, including protective clothing worn by the employee, shall not be interchanged among the employees until properly cleaned. 

EXCEPTION: Safety devices worn over shoes or outer clothing, no part of which contacts the skin of the wearer, such as metal footguards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1520. Hand Protection.
Note     •     History

Hand protection shall be required for employees whose work involves unusual and excessive exposure to cuts, burns, harmful physical or chemical agents or radioactive materials which are encountered and capable of causing injury or impairments. 

EXCEPTION: Hand protection shall not be required where there is a danger of the hand protection becoming caught in moving machinery or materials.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
3. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1521. Ear Protection.
Note     •     History

Where required by Section 5096(b) of the General Industry Safety Orders, ear protection shall be provided by the employer and the employer shall require employees to wear the ear protection.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
3. Amendment filed 6-28-82; effective thirtieth day thereafter (Register 82, No. 27).
§1522. Body Protection.
Note     •     History

(a) Appropriate body protection shall be required for those employees whose work exposes them to injurious materials.
Note: Employees should be cautioned to wash promptly and thoroughly after exposure to injurious substances.
(b) Clothing appropriate for the work being done shall be worn. Loose sleeves, tails, ties, frills, lapels, cuffs, or other loose clothing shall not be worn around machinery in which it might become entangled.
(c) Clothing saturated or impregnated with flammable liquids, corrosive substances, irritants, or oxidizing agents shall be promptly removed, and shall not be worn until cleaned.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1523. Illumination.
Note     •     History

(a) Construction areas, ramps, corridors, offices, shops and storage areas, etc., shall be lighted to not less than the minimum illumination intensities in the following Table while work is in progress.
Minimum Illumination Intensities In Foot-Candles

View Graphic
Note: For areas or operations not covered above, refer to the recommended illumination values contained in the Illuminating Engineering Society (IES) of North America, Committee on Industrial Lighting, American National Standard, (ANSI/IES) Practice for Industrial Lighting, Publication RP-7-1991.
(b) Nighttime highway construction work lighting shall be provided within the work zone to illuminate the task(s) in a manner that will minimize glare to work crews and not interfere with the vision of oncoming motorists (e.g. providing screens, mounting lamps below the top edge of the barrier wall, varying the beam angle, etc.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Repealer and new section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
4. New NOTE filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
5. Redesignation and amendment of existing section as subsection (a) and new subsection (b) filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
§1524. Water Supply.
Note     •     History

(a) Potable Water.
(1) An adequate supply of potable water shall be provided in all places of employment.

Note: Additional requirements for the provision of drinking water in outdoor places of employment are contained in Section 3395.
(2) The employer shall take one or more of the following steps to ensure every employee has access to drinking water:
(A) Provide drinking fountains.
(B) Supply single-service cups. Where single-service cups are supplied, a sanitary container for the unused cups and a receptacle for disposing of the used cups shall be provided.
(C) Supply sealed one-time use water containers. Where sealed one-time use water containers are supplied, a receptacle for disposing of the used containers shall be provided.
(D) Ensure re-usable, closable containers are available for individual employee use. Where re-usable containers for individual use are relied upon for compliance with this section, the employer shall ensure the containers are marked to identify the user and maintained in a sanitary condition.
(3) Portable containers used to dispense drinking water to more than one person shall be equipped with a faucet or drinking fountain. Drinking water containers shall be capable of being tightly closed and shall be otherwise designed, constructed and serviced so that sanitary conditions are maintained. Water shall not be dipped from containers.
(4) Any container used to store or dispense drinking water shall be clearly marked as to the nature of its contents and shall not be used for any other purpose.
(5) Re-usable containers for individual use and drinking cups shall not be shared or used in common.

Exception: Re-usable containers for individual use and drinking cups which are safely and effectively cleaned and sanitized between use by different users.
(b) Nonpotable Water.
(1) Nonpotable water shall not be used for the purposes of drinking, washing, or food preparation.
(2) Outlets for nonpotable water, such as water for industrial or firefighting purposes, shall be posted in a manner understandable to all employees to indicate that the water is unsafe and is not to be used for drinking, washing or cooking purposes.
(3) Nonpotable water systems or systems carrying any other nonpotable substance shall be maintained so as to prevent backflow or backsiphonage into a potable water system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
4. Amendment filed 7-30-2008; operative 8-29-2008 (Register 2008, No. 31).
§1525. Glass.
Note     •     History

(a) Employees shall be protected against the hazard of walking through glass by barriers or by conspicuous durable markings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
3. New NOTE filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§1526. Toilets at Construction Jobsites.
Note     •     History

(a) A minimum of one separate toilet facility shall be provided for each 20 employees or fraction thereof of each sex. Such facilities may include both toilets and urinals provided that the number of toilets shall not be less than one half of the minimum required number of facilities. 

EXCEPTION: Where there are less than 5 employees, separate toilet facilities for each sex are not required provided the toilet facilities can be locked from the inside and contain at least one toilet.
(b) Under temporary field conditions, not less than one toilet shall be available.
(c) Where the provision of water closets is not feasible due to the absence of a sanitary sewer or the lack of an adequate water supply, nonwater carriage disposal facilities shall be provided. Unless prohibited by applicable local regulations, these facilities may include privies (where their use will not contaminate either surface or underground waters), chemical toilets, recirculating toilets, or combustion toilets.
(d) Toilet facilities shall be kept clean, maintained in good working order, designed and maintained in a manner which will assure privacy and provided with an adequate supply of toilet paper.
(e) The requirements of this section shall not apply to mobile crews having readily available transportation to nearby toilet facilities.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
3. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
4. Amendment of subsection (d) filed 1-26-94; operative 2-25-94 (Register 94, No. 4).
§1527. Washing Facilities, Food Handling, and Temporary Sleeping Quarters.
Note     •     History

(a) Washing Facilities. 
(1) General. Washing facilities shall be provided as follows: A minimum of one washing station shall be provided for each twenty employees or fraction thereof. Washing stations provided to comply with this requirement shall at all times:
(A) Be maintained in a clean and sanitary condition;
(B) Have an adequate supply of water for effective washing;
(C) Have a readily available supply of soap or other suitable cleansing agent;
(D) Have a readily available supply of single-use towels or a warm-air blower;
(E) Be located and arranged so that any time a toilet is used, the user can readily wash; and
(F) When provided in association with a nonwater carriage toilet facility in accordance with Section 1526(c),
1. Provide a sign or equivalent method of notice indicating that the water is intended for washing; and
2. Be located outside of the toilet facility and not attached to it.

Exception to subsection (a)(1)(F)(2.): Where there are less than 5 employees, and only one toilet facility is provided, the required washing facility may be located inside of the toilet facility.

Exception to subsection (a)(1): Mobile crews having readily available transportation to a nearby toilet and washing facility.
(2) Washing facilities for hazardous substances. Where employees are engaging in the application of paints or coatings, or in other operations involving substances which may be harmful to the employees, washing facilities shall be provided in near proximity to the worksite and shall be so equipped as to enable employees to remove such substances. Facilities provided to comply with this requirement shall at all times:
(A) Be maintained in a clean and sanitary condition;
(B) Have an adequate supply of water sufficient for effective removal of the hazardous substance from skin surfaces; and
(C) Have a readily available supply of soap, and where necessary to effect removal, special cleansing compounds designed specifically for removal of the hazardous substance from skin surfaces; and
(D) Have a readily available supply of single use towels or a warm-air blower.
(3) Showers. When showering is required by the employer or these orders, the shower shall meet the requirements of Section 3366(f).
(b) Food Handling. All food service facilities and operations shall meet the applicable laws, ordinances, and regulations of the jurisdictions in which they are located
(c) Temporary Sleeping Quarters. When temporary sleeping quarters are provided, they shall be heated, ventilated, and lighted and shall meet the applicable laws, ordinances and regulations of the jurisdictions in which they are located.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
2. Repealer and new section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
3. Amendment filed 1-6-2003; operative 2-5-2003 (Register 2003, No. 2).
Article 4. Dusts, Fumes, Mists, Vapors, and Gases
§1528. General.
Note     •     History

(a) Whenever an oxygen deficient atmosphere or harmful dusts, fumes, mists, vapors, or gases exist or are produced in the course of employment in quantities giving rise to harmful exposure of employees, such hazards shall be controlled by removing the employees from exposure to the hazard, by limiting the daily exposure of employees to the hazard, or by application of engineering controls. Whenever such controls are not practicable or fail to achieve full compliance, respiratory protective equipment shall be provided as prescribed in Section 1531.
(b) Employees exposed to hazardous substances shall be protected as required by Group 16 of the General Industry Safety Orders.
(c) When ventilation is used as an engineering control method, the system shall be installed and operated according to the requirements of this Article.
(d) The spraying of any substance containing any amount of asbestos in or upon a building or other structure during its construction, alteration or repair is prohibited. 

EXCEPTIONS:
1. Exterior and interior coatings and laminating resins containing encapsulated asbestos fibers bound within the finished product from manufacture through application.
2. Cold process asphalt roof coatings.
3. Substances containing less than one-quarter of 1 percent asbestos solely as a result of naturally occurring impurities in the substance or its components.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 25910, Health and Safety Code; and Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 1530 and amendment filed 6-18-75; effective thirtieth day thereafter (Register 75, No. 25).
2. New subsection (c) filed 11-1-77 as an emergency; effective upon filing (Register 77, No. 45).
3. Certificate of Compliance filed 1-17-78 (Register 78, No. 3).
4. Repealer and new subsection (c) filed 5-2-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 17).
5. Amendment of subsections (a) and (b) filed 9-6-79 as an emergency; effective upon filing (Register 79, No. 36). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-4-80.
6. Reinstatement of subsections (a) and (b) as existed prior to emergency amendment filed 9-6-79 by operation of Section 11422.1, Government Code (Register 80, No. 3).
7. Amendment of subsection (a) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
8. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
§1529. Asbestos.
Note     •     History

(a) Scope and application.
(1) This section regulates asbestos exposure in all construction work as defined in Section 1502 including but not limited to the following:
(A) Demolition or salvage of structures where asbestos is present;
(B) Removal or encapsulation of materials containing asbestos;
(C) Construction, alteration, repair, maintenance, or renovation of structures, substrates, or portions thereof, that contain asbestos;
(D) Installation of products containing asbestos;
(E) Asbestos spill/emergency cleanup;
(F) Transportation, disposal, storage, containment of and housekeeping activities involving asbestos or products containing asbestos, on the site or location at which construction activities are performed;
(G) Excavation which may involve exposure to asbestos as a natural constituent which is not related to asbestos mining and milling activities;
(H) Routine facility maintenance; and
(I) Erection of new electric transmission and distribution lines and equipment, and alteration, conversion and improvement of the existing transmission and distribution lines and equipment.
(2) Whenever employee exposures to asbestos, as defined in subsection (b) of this section consist only of exposure to tremolite, anthophyllite, and actinolite in the nonasbestiform mineral habit, the provisions of Section 5208.1 shall apply. 
(3) The provisions of this section are subject to the requirements of the Occupational Carcinogen Control Act of 1976 (Labor Code, Division 5, Part 10). 
(4) Coverage under this Section shall be based on the nature of the work operation involving asbestos exposure.
(b) Definitions.
“Aggressive-method” means removal or disturbance of building material by sanding, abrading, grinding or other method that breaks, crumbles, or disintegrates intact ACM.
“Amended water” means water to which surfactant (wetting agent) has been added to increase the ability of the liquid to penetrate ACM.
“Asbestos” includes chrysotile, amosite, crocidolite, tremolite asbestos, anthophyllite asbestos, actinolite asbestos, and any of these minerals that has been chemically treated and/or altered. For purposes of this standard, “asbestos” includes PACM, as defined below.
“Asbestos-containing material (ACM)”, means any material containing more than one percent asbestos.
“Assistant Secretary” means the Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor, or designee.
“Authorized person” means any person authorized by the employer and required by work duties to be present in regulated areas.
“Building/facility owner” is the legal entity, including a lessee, which exercises control over management and record keeping functions relating to a building and/or facility in which activities covered by this standard take place.
“Certified Industrial Hygienist (CIH)” means one certified in the practice of industrial hygiene by the American Board of Industrial Hygiene.
“Chief” means the Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
“Class I asbestos work” means activities involving the removal of TSI and surfacing ACM and PACM.
“Class II asbestos work” means activities involving the removal of ACM which is not thermal system insulation or surfacing material. This includes, but is not limited to, the removal of asbestos-containing wallboard, floor tile and sheeting, roofing and siding shingles, and construction mastics.
“Class III asbestos work” means repair and maintenance operations, where “ACM”, including TSI and surfacing ACM and PACM, is likely to be disturbed.
“Class IV asbestos work” means maintenance and custodial activities during which employees contact but do not disturb ACM or PACM and activities to clean up dust, waste and debris resulting from Class I, II, and III activities.
“Clean room” means an uncontaminated room having facilities for the storage of employees' street clothing and uncontaminated materials and equipment.
“Closely resemble” means that the major workplace conditions which have contributed to the levels of historic asbestos exposure, are no more protective than conditions of the current workplace.
“Competent person” means, in addition to one who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them, one who is capable of identifying existing asbestos hazards in the workplace and selecting the appropriate control strategy for asbestos exposure, who has the authority to take prompt corrective measures to eliminate them: in addition, for Class I and Class II work who is specially trained in a training course which meets the criteria of EPA's Model Accreditation Plan (40 CFR part 763) for supervisor, or its equivalent and, for Class III and Class IV work, who is trained in a manner consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92 (a)(2). Note: For operations involving more than 100 square feet of asbestos containing construction material as defined in subsection (r) of this section the competent person may fulfill the requirement contained in Section 341.9 to specify a certified supervisor for asbestos related work.
“Critical barrier” means one or more layers of plastic sealed over all openings into a work area or any other similarly placed physical barrier sufficient to prevent airborne asbestos in a work area from migrating to an adjacent area.
“Decontamination area” means an enclosed area adjacent and connected to the regulated area and consisting of an equipment room, shower area, and clean room, which is used for the decontamination of workers, materials, and equipment that are contaminated with asbestos.
“Demolition” means the wrecking or taking out of any load- supporting structural member and any related razing, removing, or stripping of asbestos products.
“Director” means the Director, National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
“Disturbance” means activities that disrupt the matrix of ACM or PACM, crumble or pulverize ACM or PACM, or generate visible debris from ACM or PACM. Disturbance includes cutting away small amounts of ACM and PACM, no greater than the amount which can be contained in one standard sized glove bag or waste bag in order to access a building component. In no event shall the amount of ACM or PACM so disturbed exceed that which can be contained in one glove bag or waste bag which shall not exceed 60 inches in length and width.
“Employee exposure” means that exposure to airborne asbestos that would occur if the employee were not using respiratory protective equipment.
“Equipment room (change room)” means a contaminated room located within the decontamination area that is supplied with impermeable bags or containers for the disposal of contaminated protective clothing and equipment.
“Fiber” means a particulate form of asbestos, 5 micrometers or longer, with a length-to-diameter ratio of at least 3 to 1.
“Glovebag” means an impervious plastic bag-like enclosure affixed around not more than a 60 x 60 inch asbestos-containing material, with glove-like appendages through which material and tools may be handled.
“High-efficiency particulate air (HEPA) filter” means a filter capable of trapping and retaining at least 99.97 percent of all mono-dispersed particles of 0.3 micrometers in diameter.
“Homogeneous area” means an area of surfacing material or thermal system insulation that is uniform in color and texture.
“Industrial hygienist” means a professional qualified by education, training, and experience to anticipate, recognize, evaluate and develop controls for occupational health hazards.
“Intact” means that the ACM has not crumbled, been pulverized, or otherwise deteriorated so that the asbestos is no longer likely to be bound with its matrix.
“Modification” for purposes of subsection (g)(6), means a changed or altered procedure, material or component of a control system, which replaces a procedure, material or component of a required system. Omitting a procedure or component, or reducing or diminishing the stringency or strength of a material or component of the control system is not a “modification” for purposes of subsection (g)(6) of this section.
“Negative Initial Exposure Assessment” means a demonstration by the employer, which complies with the criteria in subsection (f)(2)(C) of this section, that employee exposure during an operation is expected to be consistently below the PELs.
“PACM” means “presumed asbestos-containing material”.
“Presumed Asbestos Containing Material” means thermal system insulation and surfacing material found in buildings constructed no later than 1980. The designation of a material as “PACM” may be rebutted pursuant to subsection (k)(5) of this section.
“Project Designer” means a person who has successfully completed the training requirements for an abatement project designer established by 40 U.S.C. Sec. 763.90(g).
“Regulated area” means: an area established by the employer to demarcate areas where Class I, II, and III asbestos work is conducted, and any adjoining area where debris and waste from such asbestos work accumulate; and a work area within which airborne concentrations of asbestos, exceed or there is a reasonable possibility they may exceed the permissible exposure limit. Requirements for regulated areas are set out in subsection (e) of this section.
“Removal” means all operations where ACM and/or PACM is taken out or stripped from structures or substrates, and includes demolition operations.
“Renovation” means the modifying of any existing structure, or portion thereof.
“Repair” means overhauling, rebuilding, reconstructing, or reconditioning of structures or substrates, including encapsulation or other repair of ACM or PACM attached to structures or substrates.
“Surfacing material” means material that is sprayed, troweled-on or otherwise applied to surfaces (such as acoustical plaster on ceilings and fireproofing materials on structural members, or other materials on surfaces for acoustical, fireproofing, and other purposes).
“Surfacing ACM” means surfacing material which contains more than 1% asbestos.
“Thermal system insulation (TSI)” means ACM applied to pipes, fittings, boilers, breeching, tanks, ducts or other structural components to prevent heat loss or gain.
“Thermal system insulation ACM” is thermal system insulation which contains more than 1% asbestos.
(c) Permissible exposure limits (PELS).
(1) Time-weighted average limit (TWA). The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic centimeter of air as an eight (8) hour time-weighted average (TWA), as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(2) Excursion limit. The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 1.0 fiber per cubic centimeter of air (1 f/cc) as averaged over a sampling period of thirty (30) minutes, as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(d) Multi-employer worksites.
(1) On multi-employer worksites, an employer performing work requiring the establishment of a regulated area shall inform other employers on the site of the nature of the employer's work with asbestos and/or PACM, of the existence of and requirements pertaining to regulated areas, and the measures taken to ensure that employees of such other employers are not exposed to asbestos.
(2) Asbestos hazards at a multi-employer work site shall be abated by the contractor who created or controls the source of asbestos contamination. For example, if there is a significant breach of an enclosure containing Class I work, the employer responsible for erecting the enclosure shall repair the breach immediately.
(3) In addition, all employers of employees exposed to asbestos hazards shall comply with applicable protective provisions to protect their employees. For example, if employees working immediately adjacent to a Class I asbestos job are exposed to asbestos due to the inadequate containment of such job, their employer shall either remove the employees from the area until the enclosure breach is repaired; or perform an initial exposure assessment pursuant to subsection (f) of this section.
(4) All employers of employees working adjacent to regulated areas established by another employer on a multi-employer work-site, shall take steps on a daily basis to ascertain the integrity of the enclosure and/or the effectiveness of the control method relied on by the primary asbestos contractor to assure that asbestos fibers do not migrate to such adjacent areas.
(5) All general contractors on a construction project which includes work covered by this standard shall be deemed to exercise general supervisory authority over the work covered by this standard, even though the general contractor is not qualified to serve as the asbestos “competent person” as defined by subsection (b) of this section. As supervisor of the entire project, the general contractor shall ascertain whether the asbestos contractor is in compliance with this standard, and shall require such contractor to come into compliance with this standard when necessary.
(e) Regulated areas.
(1) All Class I, II and III asbestos work shall be conducted within regulated areas. All other operations covered by this standard shall be conducted within a regulated area where airborne concentrations of asbestos exceed, or there is a reasonable possibility they may exceed a PEL. Regulated areas shall comply with the requirements of subsections (2), (3), (4), and (5) of this subsection.
(2) Demarcation. The regulated area shall be demarcated in any manner that minimizes the number of persons within the area and protects persons outside the area from exposure to airborne asbestos. Where critical barriers or negative pressure enclosures are used, they may demarcate the regulated area. Signs shall be provided and displayed pursuant to the requirements of subsection (k)(7) of this section.
(3) Access. Access to regulated areas shall be limited to authorized persons and to persons authorized by the Chief or Director.
(4) Respirators. All persons entering a regulated area where employees are required pursuant to subsection (h)(1) of this section to wear respirators shall be supplied with a respirator selected in accordance with subsection (h)(2) of this section.
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in the regulated area.
(6) Competent Persons. The employer shall ensure that all asbestos work performed within regulated areas is supervised by a competent person, as defined in subsection (b) of this section. The duties of the competent person are set out in subsection (o) of this section.
(f) Exposure assessments and monitoring.
(1) General monitoring criteria.
(A) Each employer who has a workplace or work operation where exposure monitoring is required under this section shall perform monitoring to determine accurately the airborne concentrations of asbestos to which employees may be exposed.
(B) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour TWA and 30-minute short-term exposures of each employee.
(C) Representative 8-hour TWA employee exposure shall be determined on the basis of one or more samples representing full-shift exposure for employees in each work area. Representative 30-minute short-term employee exposures shall be determined on the basis of one or more samples representing 30 minute exposures associated with operations that are most likely to produce exposures above the excursion limit for employees in each work area.
(2) Initial Exposure Assessment.
(A) Each employer who has a workplace or work operation covered by this standard shall ensure that a “competent person” conducts an exposure assessment immediately before or at the initiation of the operation to ascertain expected exposures during that operation or workplace. The assessment must be completed in time to comply with requirements which are triggered by exposure data or the lack of a “negative exposure assessment,” and to provide information necessary to assure that all control systems planned are appropriate for that operation and will work properly. 
(B) Basis of Initial Exposure Assessment: Unless a negative exposure assessment has been made pursuant to subsection (f)(2)(C) of this section, the initial exposure assessment shall, if feasible, be based on monitoring conducted pursuant to subsection (f)(1)(C) of this section. The assessment shall take into consideration both the monitoring results and all observations, information or calculations which indicate employee exposure to asbestos, including any previous monitoring conducted in the workplace, or of the operations of the employer which indicate the levels of airborne asbestos likely to be encountered on the job. For Class I asbestos work, until the employer conducts exposure monitoring and documents that employees on that job will not be exposed in excess of the PELs, or otherwise makes a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, the employer shall presume that employees are exposed in excess of the TWA and excursion limit.
(C) Negative Exposure Assessment: For any one specific asbestos job which will be performed by employees who have been trained in compliance with the standard, the employer may demonstrate that employee exposures will be below the PELs by data which conform to the following criteria;
1. Objective data demonstrating that the product or material containing asbestos minerals or the activity involving such product or material cannot release airborne fibers in concentrations exceeding the TWA and excursion limit under those work conditions having the greatest potential for releasing asbestos; or
2. Where the employer has monitored prior asbestos jobs for the PEL and the excursion limit within 12 months of the current or projected job, the monitoring and analysis were performed in compliance with the asbestos standard in effect; and the data were obtained during work operations conducted under workplace conditions “closely resembling” the processes, type of material, control methods, work practices, and environmental conditions used and prevailing in the employer's current operations, the operations were conducted by employees whose training and experience are no more extensive than that of employees performing the current job, and these data show that under the conditions prevailing and which will prevail in the current workplace there is a high degree of certainty that employee exposures will not exceed the TWA and excursion limit; or
3. The results of initial exposure monitoring of the current job made from breathing zone air samples that are representative of the 8-hour TWA and 30-minute short-term exposures of each employee covering operations which are most likely during the performance of the entire asbestos job to result in exposures over the PELs.
(3) Periodic monitoring.
(A) Class I and II operations. The employer shall conduct daily monitoring that is representative of the exposure of each employee who is assigned to work within a regulated area who is performing Class I or II work, unless the employer pursuant to subsection (f)(2)(C) of this section, has made a negative exposure assessment for the entire operation.
(B) All operations under the standard other than Class I and II operations. The employer shall conduct periodic monitoring of all work where exposures are expected to exceed a PEL, at intervals sufficient to document the validity of the exposure prediction.
(C) Exception: When all employees required to be monitored daily are equipped with supplied-air respirators operated in the pressure demand mode, or other positive pressure mode respirator, the employer may dispense with the daily monitoring required by this subsection. However, employees performing class I work using a control method which is not listed in subsection (g)(4)(A), (B), or (C) of this section or using a modification of a listed control method, shall continue to be monitored daily even if they are equipped with supplied-air respirators.
(4) Termination of monitoring. (A) If the periodic monitoring required by subsection (f)(3) of this section reveals that employee exposures, as indicated by statistically reliable measurements, are below the permissible exposure limit and excursion limit the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring.
(B) Additional monitoring. Notwithstanding the provisions of subsections (f)(2), (f)(3), and (f)(4) of this section, the employer shall institute the exposure monitoring required under subsection (f)(3) of this section whenever there has been a change in process, control equipment, personnel or work practices that may result in new or additional exposures above the permissible exposure limit and/or excursion limit or when the employer has any reason to suspect that a change may result in new or additional exposures above the permissible exposure limit and/or excursion limit. Such additional monitoring is required regardless of whether a “negative exposure assessment” was previously produced for a specific job.
(5) Employee Notification of Monitoring Results.
(A) As soon as possible but not later than 5 working days following receipt of monitoring results required by this section, the employer shall notify affected employees of the monitoring results. 
(B) The employer shall notify affected employees of the results of monitoring representing the employee's exposure in writing either individually or by posting at a centrally located place that is accessible to affected employees. 
(C) The written notification required by subsection (f)(5)(A) of this section shall include the corrective action being taken by the employer to reduce employee exposure to or below the PEL and/or excursion limit wherever monitoring results have indicated that the PEL and/or excursion limit has been exceeded.
(6) Observation of monitoring.
(A) The employer shall provide affected employees and their designated representatives an opportunity to observe any monitoring of employee exposure to asbestos conducted in accordance with this section.
(B) When observation of the monitoring of employee exposure to asbestos requires entry into an area where the use of protective clothing or equipment is required, the observer shall be provided with and be required to use such clothing and equipment and shall comply with all other applicable safety and health procedures.
(g) Methods of compliance
(1) Engineering controls and work practices for all operations covered by this section. The employer shall use the following engineering controls and work practices in all operations covered by this section, regardless of the levels of exposure:
(A) Vacuum cleaners equipped with HEPA filters to collect all debris and dust containing ACM and PACM, except as provided in subsection (g)(8)(B) of this section in the case of roofing material.
(B) Wet methods, or wetting agents, to control employee exposures during asbestos handling, mixing, removal, cutting, application, and cleanup, except where employers demonstrate that the use of wet methods is infeasible due to for example, the creation of electrical hazards, equipment malfunction, and, in roofing, except as provided in subsection (g)(8)(B) of this section; and 
(C) Prompt clean-up and disposal of wastes and debris contaminated with asbestos in leak-tight containers except in roofing operations, where the procedures specified in subsection (g)(8)(B) of this section apply. 
(2) In addition to the requirements of subsection (g)(1) of this section, the employer shall use the following control methods to achieve compliance with the TWA permissible exposure limit and excursion limit prescribed by subsection (c) of this section;
(A) Local exhaust ventilation equipped with HEPA filter dust collection systems;
(B) Enclosure or isolation of processes producing asbestos dust;
(C) Ventilation of the regulated area to move contaminated air away from the breathing zone of employees and toward a filtration or collection device equipped with a HEPA filter;
(D) Use of other work practices and engineering controls that the Assistant Secretary can show to be feasible.
(E) Wherever the feasible engineering and work practice controls described above are not sufficient to reduce employee exposure to or below the permissible exposure limit and/or excursion limit prescribed in subsection (c) of this section, the employer shall use them to reduce employee exposure to the lowest levels attainable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (h) of this section.
(3) Prohibitions. The following work practices and engineering controls shall not be used for work related to asbestos or for work which disturbs ACM or PACM, regardless of measured levels of asbestos exposure or the results of initial exposure assessments:
(A) High-speed abrasive disc saws that are not equipped with point of cut ventilator or enclosures with HEPA filtered exhaust air.
(B) Compressed air used to remove asbestos, or materials containing asbestos, unless the compressed air is used in conjunction with an enclosed ventilation system designed to capture the dust cloud created by the compressed air.
(C) Dry sweeping, shoveling or other dry clean-up of dust and debris containing ACM and PACM.
(D) Employee rotation as a means of reducing employee exposure to asbestos.
(4) Class I Requirements. In addition to the provisions of subsections (g)(1) and (2) of this section, the following engineering controls and work practices and procedures shall be used.
(A) All Class I work, including the installation and operation of the control system shall be supervised by a competent person as defined in subsection (b) of this section;
(B) For all Class I jobs involving the removal of more than 25 linear or 10 square feet of thermal system insulation or surfacing material; for all other Class I jobs, where the employer cannot produce a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, or where employees are working in areas adjacent to the regulated area, while the Class I work is or being performed, the employer shall use one of the following methods to ensure that airborne asbestos does not migrate from the regulated area:
1. Critical barriers shall be placed over all the openings to the regulated area, except where activities are performed outdoors; or
2. The employer shall use another barrier or isolation method which prevents the migration of airborne asbestos from the regulated area, as verified by perimeter area surveillance during each work shift at each boundary of the regulated area, showing no visible asbestos dust; and perimeter area monitoring showing that clearance levels contained in 40 CFR Part 763, Subpart E, of the EPA Asbestos in Schools Rule are met, or that perimeter area levels, measured by Phase Contrast Microscopy (PCM) are no more than background levels representing the same area before the asbestos work began. The results of such monitoring shall be made known to the employer no later than 24 hours from the end of the work shift represented by such monitoring.

Exception: For work completed outdoors where employees are not working in areas adjacent to the regulated areas, this subsection (g)(4)(B) is satisfied when the specific control methods in subsection (g)(5) of this section are used.
(C) For all Class I jobs, HVAC systems shall be isolated in the regulated area by sealing with a double layer of 6 mil plastic or the equivalent; (D) For all Class I jobs, impermeable dropcloths shall be placed on surfaces beneath all removal activity;
(E) For all Class I jobs, all objects within the regulated area shall be covered with impermeable dropcloths or plastic sheeting which is secured by duct tape or an equivalent.
(F) For all Class I jobs where the employer cannot produce a negative exposure assessment, or where exposure monitoring shows that a PEL is exceeded, the employer shall ventilate the regulated area to move contaminated air away from the breathing zone of employees toward a HEPA filtration or collection device.
(5) Specific control methods for Class I work. In addition, Class I asbestos work shall be performed using one or more of the following control methods pursuant to the limitations stated below:
(A) Negative Pressure Enclosure (NPE) systems: NPE systems may be used where the configuration of the work area does not make the erection of the enclosure infeasible, with the following specifications and work practices.
1. Specifications:
a. The negative pressure enclosure (NPE) may be of any configuration,
b. At least 4 air changes per hour shall be maintained in the NPE,
c. A minimum of -0.02 column inches of water pressure differential, relative to outside pressure, shall be maintained within the NPE as evidenced by manometric measurements,
d. The NPE shall be kept under negative pressure throughout the period of its use, and
e. Air movement shall be directed away from employees performing asbestos work within the enclosure, and toward a HEPA filtration or a collection device.
2. Work Practices:
a. Before beginning work within the enclosure and at the beginning of each shift, the NPE shall be inspected for breaches and smoke- tested for leaks, and any leaks sealed.
b. Electrical circuits in the enclosure shall be deactivated, unless equipped with ground-fault circuit interrupters.
(B) Glove bag systems my be used to remove PACM and/or ACM from straight runs of piping and elbows and other connections with the following specifications and work practices:
1. Specifications:
a. Glovebags shall he made of 6 mil thick plastic and shall be seamless at the bottom.
b. Glovebags used on elbows and other connections must be designed for that purpose and used without modifications.
2. Work Practices:
a. Each glovebag shall be installed so that it completely covers the circumference of pipe or other structure where the work is to be done.
b. Glovebags shall be smoke-tested for leaks and any leaks sealed prior to use.
c. Glovebags may be used only once and may not be moved.
d. Glovebags shall not be used on surfaces whose temperature exceeds 150oF.
e. Prior to disposal, glovebags shall be collapsed by removing air within them using a HEPA vacuum.
f. Before beginning the operation, loose and friable material adjacent to the glovebag/box operation shall be wrapped and sealed in two layers of six mil plastic or otherwise rendered intact,
g. Where system uses attached waste bag, such bag shall be connected to collection bag using hose or other material which shall withstand pressure of ACM waste and water without losing its integrity:
h. Sliding valve or other device shall separate waste bag from hose to ensure no exposure when waste bag is disconnected:
i. At least two persons shall perform Class I glovebag removal operations.
(C) Negative Pressure Glove Bag Systems. Negative pressure glove bag systems may be used to remove ACM or PACM from piping.
1. Specifications: In addition to specifications for glove bag systems above, negative pressure glove bag systems shall attach HEPA vacuum systems or other devices to bag to prevent collapse during removal.
2. Work Practices:
a. The employer shall comply with the work practices for glove bag systems in subsection (g)(5)(B)2.d. of this section.
b. The HEPA vacuum cleaner or other device used to prevent collapse of bag during removal shall run continually during the operation until it is completed at which time the bag shall be collapsed prior to removal of the bag from the pipe.
c. Where a separate waste bag is used along with a collection bag and discarded after one use, the collection bag my be reused if rinsed clean with amended water before reuse.
(D) Negative Pressure Glove Box Systems: Negative pressure glove boxes may be used to remove ACM or PACM from pipe runs with the following specifications and work practices.
1. Specifications:
a. Glove boxes shall be constructed with rigid sides and made from metal or other material which can withstand the weight of the ACM and PACM and water used during removal:
b. A negative pressure generator shall be used to create negative pressure in the system:
c. An air filtration unit shall be attached to the box:
d. The box shall be fitted with gloved apertures:
e. An aperture at the base of the box shall serve as a bagging outlet for waste ACM and water:
f. A back-up generator shall be present on site:
g. Waste bags shall consist of 6 mil thick plastic double-bagged before they are filled or plastic thicker than 6 mil.
2. Work practices:
a. At least two persons shall perform the removal:
b. The box shall be smoke-tested for leaks and any leaks sealed prior to each use.
c. Loose or damaged ACM adjacent to the box shall be wrapped and sealed in two layers of 6 mil plastic prior to the job, or otherwise made intact prior to the job.
d. A HEPA filtration system shall be used to maintain pressure barrier in box.
(E) Water Spray Process System. A water spray process system may be used for removal of ACM and PACM from cold line piping if, employees carrying out such process have completed a 40-hour separate training course in its use, in addition to training required for employees performing Class I work. The system shall meet the following specifications and shall be performed by employees using the following work practices.
1. Specifications:
a. Piping shall be surrounded on 3 sides by rigid framing, 
b. A 360 degree water spray, delivered through nozzles supplied by a high pressure separate water line, shall be formed around the piping. 
c. The spray shall collide to form a fine aerosol which provides a liquid barrier between workers and the ACM and PACM.
2. Work Practices:
a. The system shall be run for at least 10 minutes before removal begins.
b. All removal shall take place within the water barrier.
c. The system shall be operated by at least three persons, one of whom shall not perform removal, but shall check equipment, and ensure proper operation of the system.
d. After removal, the ACM and PACM shall be bagged while still inside the water barrier.
(F) A small walk-in enclosure which accommodates no more than two persons (mini-enclosure) may be used if the disturbance or removal can be completely contained by the enclosure with the following specifications and work practices.
1. Specifications:
a. The fabricated or job-made enclosure shall be constructed of 6 mil plastic or equivalent:
b. The enclosure shall be placed under negative pressure by means of a HEPA filtered vacuum or similar ventilation unit:
2. Work practices:
a. Before use, the mini-enclosure shall be inspected for leaks and smoke tested to detect breaches, and any breaches sealed.
b. Before reuse, the interior shall be completely washed with amended water and HEPA-vacuumed.
c. During use, air movement shall be directed away from the employee's breathing zone within the mini-enclosure. 
(6) Alternative control methods for Class I work. Class I work may be performed using a control method which is not referenced in subsection (g)(5) of this section, or which modifies a control method referenced in subsection (g)(5) of this section, if the following provisions are complied with: 
(A) The control method shall enclose, contain or isolate the processes or source of airborne asbestos dust, or otherwise capture or redirect such dust before it enters the breathing zone of employees.
(B) A certified industrial hygienist or licensed professional engineer who is also qualified as a project designer as defined in subsection (b) of this section, shall evaluate the work area, the projected work practices and the engineering controls and shall certify in writing that the planned control method is adequate to reduce direct and indirect employee exposure to below the PELs under worst-case conditions of use, and that the planned control method will prevent asbestos contamination outside the regulated area, as measured by clearance sampling which meets the requirements of EPA's Asbestos in Schools rule issued under AHERA, or perimeter monitoring which meets the criteria in subsection (g)(4)(B)2. of this section.
1. Where the TSI or surfacing material to be removed is 25 linear or 10 square feet or less, the evaluation required in subsection (g)(6) of this section may be performed by a “competent person”, and may omit consideration of perimeter or clearance monitoring otherwise required.
2. The evaluation of employee exposure required in subsection (g)(6) of this section, shall include and be based on sampling and analytical data representing employee exposure during the use of such method under worst-case conditions and by employees whose training and experience are equivalent to employees who are to perform the current job.
(7) Work Practices and Engineering Controls for Class II work.
(A) All Class II work, shall be supervised by a competent person as defined in subsection (b) of this section.
(B) For all indoor Class II jobs, where the employer has not produced a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, or where during the job, changed conditions indicate there may be exposure above the PEL or where the employer does not remove the ACM in a substantially intact state, the employer shall use one of the following methods to ensure that airborne asbestos does not migrate from the regulated area;
1. Critical barriers shall be placed over all openings to the regulated area; or,
2. The employer shall use another barrier or isolation method which prevents the migration of airborne asbestos from the regulated area, as verified by perimeter area monitoring or clearance monitoring which meets the criteria set out in subsection (g)(4)(B)2. of this section.
(C) Impermeable dropcloths shall be placed on surfaces beneath all removal activity;
(D) All Class II asbestos work shall be performed using the work practices and requirements set out above in subsection (g)(1)(A) through (C) of this section.
(8) Additional Controls for Class II work. Class II asbestos work shall also be performed by complying with the work practices and controls designated for each type of asbestos work to be performed, set out in this subsection. Where more than one control method may be used for a type of asbestos work, the employer may choose one or a combination of designated control methods. Class II work also may be performed using a method allowed for Class I work, except that glove bags and glove boxes are allowed if they fully enclose the Class II material to be removed.
(A) For removing vinyl and asphalt flooring materials which contain ACM or for which, in buildings constructed no later than 1980, the employer has not verified the absence of ACM pursuant to subsection (g)(8)(A)9. of this section. The employer shall ensure that employees comply with the following work practices and that employees are trained in these practices pursuant to subsection (k)(9) of this section:
1. Flooring or its backing shall not be sanded.
2. Vacuums equipped with HEPA filter, disposable dust bag, and metal floor tool (no brush) shall be used to clean floors.
3. Resilient sheeting shall be removed by cutting with wetting of the snip point and wetting during delamination. Rip-up of resilient sheet floor material is prohibited.
4. All scraping of residual adhesive and/or backing shall be performed using wet methods.
5. Dry sweeping is prohibited.
6. Mechanical chipping is prohibited unless performed in a negative pressure enclosure which meets the requirements of subsection (g)(5)(A) of this section.
7. Tiles shall be removed intact, unless the employer demonstrates that intact removal is not possible.
8. When tiles are heated and can be removed intact, wetting may be omitted.
9. Resilient flooring material including associated mastic and backing shall be assumed to be asbestos-containing unless an industrial hygienist determines that it is asbestos-free using recognized analytical techniques. 
(B) For removing roofing material which contains ACM the employer shall ensure that the following work practices are followed:
1. Roofing material shall be removed in an intact state to the extent feasible.
2. Wet methods shall be used to remove roofing materials that are not intact, or that will be rendered not intact during removal, unless such wet methods are not feasible or will create safety hazards.
3. Cutting machines shall be continuously misted during use, unless a competent person determines that misting substantially decreases worker safety.
4. When removing built-up roofs with asbestos-containing roofing felts and an aggregate surface using a power roof cutter, all dust resulting from the cutting operation shall be collected by a HEPA dust collector, or shall be HEPA vacuumed by vacuuming along the cut line. When removing built-up roofs with asbestos containing roofing felts and a smooth surface using a power roof cutter, the dust resulting from the cutting operation shall be collected either by a HEPA dust collector or HEPA vacuuming along the cut line, or by gently sweeping and then carefully and completely wiping up the still-wet dust and debris left along the cut line. The dust and debris shall be immediately bagged or placed in covered containers.
5. Asbestos-containing material that has been removed from a roof shall not be dropped or thrown to the ground. Unless the material is carried or passed to the ground by hand, it shall he lowered to the ground via covered, dust-tight chute, crane or hoist:
a. Any ACM that is not intact shall be lowered to the ground as soon as is practicable, but in any event no later than the end of the work shift. While the material remains on the roof it shall either be kept wet, placed in an impermeable waste bag, or wrapped in plastic sheeting.
b. Intact ACM shall be lowered to the ground as soon as is practicable, but in any event no later than the end of the work shift.
6. Upon being lowered, unwrapped material shall be transferred to a closed receptacle in such manner so as to preclude the dispersion of dust.
7. Roof level heating and ventilation air intake sources shall be isolated or the ventilation system shall he shut down.
8. Notwithstanding any other provision of this section, removal or repair of sections of intact roofing less than 25 square feet in area does not require use of wet methods or HEPA vacuuming as long as manual methods which do not render the material nonintact are used to remove the material and no visible dust is created by the removal method used. In determining whether a job involves less than 25 square feet, the employer shall include all removal and repair work performed on the same roof on the same day.
(C) When removing cementitious asbestos-containing siding and shingles or transite panels containing ACM on building exteriors (other than roofs, where subsection (g)(8)(B) of this section applies) the employer shall ensure that the following work practices are followed:
1. Cutting, abrading or breaking siding, shingles, or transite panels, shall be prohibited unless the employer can demonstrate that methods less likely to result in asbestos fiber release cannot be used.
2. Each panel or shingle shall be sprayed with amended water prior to removal.
3. Unwrapped or unbagged panels or shingles shall be immediately lowered to the ground via covered dust-tight chute, crane or hoist, or placed in an impervious waste bag or wrapped in plastic sheeting and lowered to the ground no later than the end of the work shift.
4. Nails shall be cut with flat, sharp instruments.
(D) When removing gaskets containing ACM, the employer shall ensure that the following work practices are followed:
1. If a gasket is visibly deteriorated and unlikely to be removed intact, removal shall be undertaken within a glovebag as described in subsection (g)(5)(B) of this section.
2. The gasket shall be immediately placed in a disposal container.
3. Any scraping to remove residue must be performed wet.
(E) When performing any other Class II removal of asbestos containing material for which specific controls have not been listed in subsections (g)(8)(A) through (D) of this section, the employer shall ensure that the following work practices are complied with.
1. The material shall be thoroughly wetted with amended water prior to and during its removal.
2. The material shall be removed in an intact state unless the employer demonstrates that intact removal is not possible.
3. Cutting, abrading or breaking the material shall be prohibited unless the employer can demonstrate that methods less likely to result in asbestos fiber release are not feasible.
4. Asbestos-containing material removed, shall be immediately bagged or wrapped, or kept wetted until transferred to a closed receptacle, no later than the end of the work shift.
(F) Alternative Work Practices and Controls. Instead of the work practices and controls listed in subsection (g)(8)(A) through (E) of this section, the employer may use different or modified engineering and work practice controls if the following provisions are complied with.
1. The employer shall demonstrate by data representing employee exposure during the use of such method under conditions which closely resemble the conditions under which the method is to be used, that employee exposure will not exceed the PELs under any anticipated circumstances.
2. A competent person shall evaluate the work area, the projected work practices and the engineering controls, and shall certify in writing, that the different or modified controls are adequate to reduce direct and indirect employee exposure to below the PELs under all expected conditions of use and that the method meets the requirements of this standard. The evaluation shall include and be based on data representing employee exposure during the use of such method under conditions which closely resemble the conditions under which the method is to be used for the current job, and by employees whose training and experience are equivalent to employees who are to perform the current job.
(9) Work Practices and Engineering Controls for Class III asbestos work. Class III asbestos work shall be conducted using engineering and work practice controls which minimize the exposure to employees performing the asbestos work and to bystander employees.
(A) The work shall be performed using wet methods.
(B) To the extent feasible, the work shall be performed using local exhaust ventilation.
(C) Where the disturbance involves drilling, cutting, abrading, sanding, chipping, breaking, or sawing of thermal system insulation or surfacing material, the employer shall use impermeable dropcloths, and shall isolate the operation using mini-enclosures or glove bag systems pursuant to subsection (g)(5) of this section or another isolation method.
(D) Where the employer does not produce a “negative exposure assessment” for a job, or where monitoring results show the PEL has been exceeded, the employer shall contain the area using impermeable dropcloths and plastic barriers or their equivalent, or shall isolate the operation using a control system listed in and in compliance with subsection (g)(5) of this section. 
(E) Employees performing Class III jobs, which involve the disturbance of thermal system insulation or surfacing material, or where the employer does not produce a “negative exposure assessment” or where monitoring results show a PEL has been exceeded, shall wear respirators which are selected, used and fitted pursuant to provisions of subsection (h) of this section.
(10) Class IV asbestos work. Class IV asbestos jobs shall be conducted by employees trained pursuant to the asbestos awareness training program set out in subsection (k)(9) of this section. In addition, all Class IV jobs shall be conducted in conformity with the requirements set out in subsection (g)(1) of this section, mandating wet methods, HEPA vacuums, and prompt clean up of debris containing ACM or PACM.
(A) Employees cleaning up debris and waste in a regulated area where respirators are required shall wear respirators which are selected, used and fitted pursuant to provisions of subsection (h) of this section.
(B) Employers of employees who clean up waste and debris in, and employers in control of, areas where friable thermal system insulation or surfacing material is accessible, shall assume that such waste and debris contain asbestos.
(11) Alternative methods of compliance for installation, removal, repair, and maintenance of certain roofing and pipeline coating materials. Notwithstanding any other provision of this section, an employer who complies with all provisions of this subsection (g)(11) when installing, removing, repairing, or maintaining intact pipeline asphaltic wrap, or roof cements, mastics, coatings, or flashings which contain asbestos fibers encapsulated or coated by bituminous or resinous compounds shall be deemed to be in compliance with this section. If an employer does not comply with all provisions of this subsection (g)(11), or if during the course of the job the material does not remain intact, the provisions of subsection (g)(8) of this section apply instead of this subsection (g)(11).
(A) Before work begins and as needed during the job, a competent person who is capable of identifying asbestos hazards in the workplace and selecting the appropriate control strategy for asbestos exposure, and who has the authority to take prompt corrective measures to eliminate such hazards, shall conduct an inspection of the worksite and determine that the roofing material is intact and will likely remain intact.
(B) All employees performing work covered by this subsection (g)(11) shall be trained in a training program that meets the requirements of subsection (k)(9)(H).
(C) The material shall not be sanded, abraded, or ground. Manual methods which do not render the material non-intact shall be used.
(D) Material that has been removed from a roof shall not be dropped or thrown to the ground. Unless the material is carried or passed to the ground by hand, it shall be lowered to the ground via covered, dust-tight chute, crane or hoist. All such material shall be removed from the roof as soon as is practicable, but in any event no later than the end of the work shift. 
(E) Where roofing products which have been labeled as containing asbestos pursuant to subsection (k)(8) of this section are installed on non-residential roofs during operations covered by this subsection (g)(11), the employer shall notify the building owner of the presence and location of such materials no later than the end of the job.
(F) All removal or disturbance of pipeline asphaltic wrap shall be performed using wet methods.
(h) Respiratory protection.
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Class I asbestos work.
(B) Class II asbestos work where the ACM is not removed in a substantially intact state,
(C) Class II and III asbestos work which is not performed using wet methods, except for removal of ACM from sloped roofs when a negative exposure assessment has been made and the ACM is removed in an intact state.
(D) Class II and III asbestos work for which a “negative exposure assessment” has not been conducted.
(E) Class III asbestos work when TSI or surfacing ACM or PACM is being disturbed.
(F) Class IV asbestos work performed within regulated areas where employees performing other work are required to use respirators. 
(G) Work operations covered by this section where employees are exposed above the TWA or excursion limit.
(H) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) No employee shall be assigned to asbestos work that requires respirator use if, based on their most recent medical examination, the examining physician determines that the employee will be unable to function normally while using a respirator, or that the safety or health of the employee or other employees will be impaired by the employee's respirator use. Such employees must be assigned to another job or given the opportunity to transfer to a different position that they can perform. If such a transfer position is available, it must be with the same employer, in the same geographic area, and with the same seniority, status, rate of pay, and other job benefits the employee had just prior to such transfer.
(3) Respirator selection.
(A) The employer shall select, and provide to employees, the appropriate respirators as specified in Section 5144(d)(3)(A)1; however, employers shall not select or use filtering facepiece respirators for use against asbestos fibers.
(B) The employer shall provide HEPA filters for powered and non-powered air-purifying respirators.
(C) The employer shall provide a tight fitting powered, air- purifying respirator in lieu of any negative-pressure respirator selected according to subsection (h)(3)(A) whenever:
1. An employee chooses to use this type of respirator; and
2. This respirator will provide adequate protection to the employee.
(D) The employer shall provide a half-mask air purifying respirator, other than a filtering facepiece respirator, equipped with high efficiency filters whenever the employee performs: 
1. Class II and III asbestos work and a negative exposure assessment has not been conducted by the employer; 
2. Class III jobs where TSI or surfacing ACM or PACM is being disturbed.
(E) In addition to the above selection criteria, when employees are in a regulated area where Class I work is being performed, a negative exposure assessment of the area has not been produced, and the exposure assessment of the area indicates the exposure level will exceed 1 f/cc as an 8-hour time weighted average, employers must provide the employees with a full facepiece supplied-air respirator operated in the pressure-demand mode and equipped with an auxiliary positive pressure self-contained breathing apparatus. When the exposure assessment of the area indicates the exposure level will not exceed 1 f/cc as an 8-hour time weighted average, employers must provide the employees with one of the following respirators:
1. A tight-fitting powered air-purifying respirator equipped with high efficiency filters;
2. A full facepiece supplied air-respirator operated in the pressure-demand mode equipped with HEPA egress cartridges or an auxiliary positive-pressure, self-contained breathing apparatus (SCBA); or
3. A full facepiece supplied-air respirator operated in the pressure demand mode equipped with an auxiliary positive pressure self-contained breathing apparatus. 
(i) Protective clothing.
(1) General. The employer shall provide or require the use of protective clothing, such as coveralls or similar whole-body clothing, head coverings, gloves, and foot coverings for any employee exposed to airborne concentrations of asbestos that exceed the TWA and/or excursion limit prescribed in subsection (c) of this section, or for which a required negative exposure assessment is not produced, and for any employee performing Class I operations which involve the removal of over 25 linear or 10 square feet of TSI or surfacing ACM and PACM. The employer shall prohibit the removal of asbestos from protective clothing and equipment by blowing, shaking, or brushing.
(2) Laundering.
(A) The employer shall ensure that laundering of contaminated clothing is done so as to prevent the release of airborne asbestos in excess of the TWA or excursion limit prescribed in subsection (c) of this section.
(B) Any employer who gives contaminated clothing to another person for laundering shall inform such person of the requirement in subsection (i)(2)(A) of this section to effectively prevent the release of airborne asbestos in excess of the TWA and excursion limit prescribed in subsection (c) of this section.
(3) Contaminated clothing. Contaminated clothing shall be transported in sealed impermeable bags, or other closed, impermeable containers, and be labeled in accordance with subsection (k) of this section.
(4) Inspection of protective clothing.
(A) The competent person shall examine worksuits worn by employees at least once per workshift for rips or tears that may occur during performance of work.
(B) When rips or tears are detected while an employee is working, rips and tears shall be immediately mended, or the worksuit shall be immediately replaced.
(j) Hygiene facilities and practices for employees.
(1) Requirements for employees performing Class I asbestos jobs involving over 25 linear or 10 square feet of TSI or surfacing ACM and PACM. 
(A) Decontamination areas: the employer shall establish a decontamination area that is adjacent and connected to the regulated area for the decontamination of such employees. The decontamination area shall consist of an equipment room, shower area, and clean room in series. The employer shall ensure that employees enter and exit the regulated area through the decontamination area.
1. Equipment room. The equipment room shall be supplied with impermeable, labeled bags and containers for the containment and disposal of contaminated protective equipment.
2. Shower area. Shower facilities shall be provided which comply with Section 3366(f) of the General Industry Safety Orders, unless the employer can demonstrate that they are not feasible. The showers shall be adjacent both to the equipment room and the clean room, unless the employer can demonstrate that this location is not feasible. Where the employer can demonstrate that it is not feasible to locate the shower between the equipment room and the clean room, or where the work is performed outdoors, the employers shall ensure that employees:
A. Remove asbestos contamination from their worksuits in the equipment room using a HEPA vacuum before proceeding to a shower that is not adjacent to the work area; or
B. Remove their contaminated worksuits in the equipment room, then don clean worksuits, and proceed to a shower that is not adjacent to the work area.
3. Clean change room. The clean room shall be equipped with a locker or appropriate storage container for each employee's use. When the employer can demonstrate that it is not feasible to provide a clean change area adjacent to the work area or where the work is performed outdoors, the employer may permit employees engaged in Class I asbestos jobs to clean their protective clothing with a portable HEPA-equipped vacuum before such employees leave the regulated area. Following showering, such employees however must then change into street clothing in clean change areas provided by the employer which otherwise meet the requirements of this section.
(B) Decontamination area entry procedures. The employer shall ensure that employees:
1. Enter the decontamination area through the clean room;
2. Remove and deposit street clothing within a locker provided for their use; and
3. Put on protective clothing and respiratory protection before leaving the clean room.
4. Before entering the regulated area, the employer shall ensure that employees pass through the equipment room.
(C) Decontamination area exit procedures. The employer shall ensure that:
1. Before leaving the regulated area, employees shall remove all gross contamination and debris from their protective clothing.
2. Employees shall remove their protective clothing in the equipment room and deposit the clothing in labeled impermeable bags or containers.
3. Employees shall not remove their respirators in the equipment room.
4. Employees shall shower prior to entering the clean room.
5. After showering, employees shall enter the clean room before changing into street clothes.
(D) Lunch Areas. Whenever food or beverages are consumed at the worksite where employees are performing Class I asbestos work, the employer shall provide lunch areas in which the airborne concentrations of asbestos are below the permissible exposure limit and/or excursion limit.
(2) Requirements for Class I work involving less than 25 linear or 10 square feet of TSI or surfacing ACM and PACM, and for Class II and Class III asbestos work operations where exposures exceed a PEL or where there is no negative exposure assessment produced before the operation.
(A) The employer shall establish an equipment room or area that is adjacent to the regulated area for the decontamination of employees and their equipment which is contaminated with asbestos which shall consist of an area covered by a impermeable drop cloth on the floor or horizontal working surface.
(B) The area must be of sufficient size as to accommodate cleaning of equipment and removing personal protective equipment without spreading contamination beyond the area (as determined by visible accumulations).
(C) Work clothing must be cleared with a HEPA vacuum before it is removed.
(D) All equipment and surfaces of containers filled with ACM must be cleaned prior to removing them from the equipment room or area.
(E) The employer shall ensure that employees enter and exit the regulated area through the equipment room or area.
(3) Requirements for Class IV work. Employers shall ensure that employees performing Class IV work within a regulated area comply with the hygiene practice required of employees performing work which has a higher classification within that regulated area. Otherwise employers of employees cleaning up debris and material which is TSI or surfacing ACM or identified as PACM shall provide decontamination facilities for such employees which are required by subsection (j)(2) of this section.
(4) Smoking in work areas. The employer shall ensure that employees do not smoke in work areas where they are occupationally exposed to asbestos because of activities in that work area.
(k) Communication of hazards. (1) This section applies to the communication of information concerning asbestos hazards in construction activities to facilitate compliance with this standard. Most asbestos-related construction activities involve previously installed building materials. Building owners often are the only and/or best sources of information concerning them. Therefore, they, along with employers of potentially exposed employees, are assigned specific information conveying and retention duties under this section.
Installed Asbestos Containing Building Material. Employers and building owners shall identify TSI and sprayed or troweled on surfacing materials in buildings as asbestos-containing, unless they determine in compliance with subsection (k)(5) of this section that the material is not asbestos-containing. Asphalt and vinyl flooring material installed no later than 1980 must also be considered as asbestos containing unless the employer, pursuant to subsection (g)(8)(A)9. of this section determines that it is not asbestos-containing. If the employer/building owner has actual knowledge, or should have known through the exercise of due diligence, that other materials are asbestos-containing, they too must be treated as such. When communicating information to employees pursuant to this standard, owners and employers shall identify “PACM” as ACM. Additional requirements relating to communication of asbestos work on multi-employer worksites are set out in subsection (d) of this section.
(2) Duties of building and facility owners.
(A) Before work subject to this standard is begun, building and facility owners shall determine the presence, location, and quantity of ACM and/or PACM at the work site pursuant to subsection (k)(1) of this section.
(B) Building and/or facility owners shall notify the following persons of the presence, location and quantity of ACM or PACM, at the work sites in their buildings and facilities. Notification either shall be in writing, or shall consist of a personal communication between the owner and the person to whom notification must be given or their authorized representatives:
1. Prospective employers applying or bidding for work whose employees reasonably can be expected to work in or adjacent to areas containing such material;
2. Employees of the owner who will work in or adjacent to areas containing such material:
3. On multi-employer worksites, all employers of employees who will be performing work within or adjacent to areas containing such materials;
4. Tenants who will occupy areas containing such material.
(3) Duties of employers whose employees perform work subject to this standard in or adjacent to areas containing ACM and PACM. Building/facility owners whose employees perform such work shall comply with these provisions to the extent applicable.
(A) Before work in areas containing ACM and PACM is begun; employers shall identify the presence, location, and quantity of ACM, and/or PACM therein pursuant to subsection (k)(1) of this section.
(B) Before work under this standard is performed employers of employees who will perform such work shall inform the following persons of the location and quantity of ACM and/or PACM present in the area and the precautions to be taken to insure that airborne asbestos is confined to the area.
1. Owners of the building/facility;
2. Employees who will perform such work and employers of employees who work and/or will be working in adjacent areas.
(C) Within 10 days of the completion of such work, the employer whose employees have performed work subject to this standard, shall inform the building/facility owner and employers of employees who will be working in the area of the current location and quantity of PACM and/or ACM remaining in the area and final monitoring results, if any.
(4) In addition to the above requirements, all employers who discover ACM and/or PACM on a worksite shall convey information concerning the presence, location and quantity of such newly discovered ACM and/or PACM to the owner and to other employers of employees working at the work site, within 24 hours of the discovery.
(5) Criteria to rebut the designation of installed material as PACM.
(A) At any time, an employer and/or building owner may demonstrate, for purposes of this standard, that PACM does not contain asbestos. Building owners and/or employers are not required to communicate information about the presence of building material for which such a demonstration pursuant to the requirements of subsection (k)(5)(B) of this section has been made. However, in all such cases, the information, data and analysis supporting the determination that PACM does not contain asbestos, shall be retained pursuant to subsection (n) of this section.
(B) An employer or owner may demonstrate that PACM does not contain more than 1% asbestos by the following:
1. Having completed an inspection conducted pursuant to the requirements of AHERA (40 CFR Part 763, Subpart E) which demonstrates that the material is not ACM or;
2. Performing tests of the material containing PACM which demonstrate that no ACM is present in the material. Such tests shall include analysis of bulk samples collected in the manner described in 40 CFR 763.86. The tests, evaluation and sample collection shall be conducted by an accredited inspector or by a CIH. Analysis of samples shall be performed by persons or laboratories with proficiency demonstrated by current successful participation in a nationally recognized testing program such as the National Voluntary Laboratory Accreditation Program (NVLAP) or the National Institute for Standards and Technology (NIST) or the Round Robin for bulk samples administered by the American Industrial Hygiene Association (AIHA) or an equivalent nationally-recognized round robin testing program.
(C) The employer and/or building owner may demonstrate that flooring material including associated mastic and backing does not contain asbestos, by a determination of an industrial hygienist based upon recognized analytical techniques showing that the material is not ACM.
(6) At the entrance to mechanical rooms/areas in which employees reasonably can be expected to enter and which contain thermal system insulation and surfacing ACM and/or PACM, the building owner shall post signs which identify the material which is present, its location, and appropriate work practices which, if followed, will ensure that ACM and/or PACM will not be disturbed. The employer shall ensure, to the extent feasible, that employees who come in contact with these signs can comprehend them. Means to ensure employee comprehension may include the use of foreign languages, pictographs, graphics, and awareness training.
(7) Signs.
(A) Warning signs that demarcate the regulated area shall be provided and displayed at each location where a regulated area is required to be established by subsection (e) of this section. Signs shall be posted at such a distance from such a location that an employee may read the signs and take necessary protective steps before entering the area marked by the signs. 
(B) 1. The warning signs required by subsection (k)(7) of this section shall bear the following information:

DANGER 
ASBESTOS 
CANCER AND LUNG DISEASE HAZARD 
AUTHORIZED PERSONNEL ONLY
2. In addition, where the use of respirators and protective clothing is required in the regulated area under this section, the warning signs shall include the following:

RESPIRATORS AND PROTECTIVE CLOTHING ARE 
REQUIRED IN THIS AREA
(C) The employer shall ensure that employees working in and contiguous to regulated areas comprehend the warning signs required to be posted by subsection (k)(7)(A) of this section. Means to ensure employee comprehension may include the use of foreign languages, pictographs and graphics. 
(8) Labels.
(A) Labels shall be affixed to all products containing asbestos and to all containers containing such products, including waste containers. Where feasible, installed asbestos products shall contain a visible label.
(B) Labels shall be printed in large, bold letters on a contrasting background.
(C) Labels shall be used in accordance with the requirements of Section 5194 (f) of the General Industry Safety Orders, and shall contain the following information:

DANGER 
CONTAINS ASBESTOS FIBERS 
AVOID CREATING DUST 
CANCER AND LUNG DISEASE HAZARD
(D) Labels shall contain a warning statement against breathing asbestos fibers.
(E) The provisions for labels required by subsections (k)(8)(A) through (k)(8)(C) do not apply where:
1. Asbestos fibers have been modified by a bonding agent, coating, binder, or other material, provided that the manufacturer can demonstrate that, during any reasonably foreseeable use, handling, storage, disposal, processing, or transportation, no airborne concentrations of asbestos fibers in excess of the permissible exposure limit and/or excursion limit will be released, or
2. Asbestos is present in a waste product in concentrations less than 1.0 percent.
Note: Section 5194 of the General Industry Safety Orders requires that manufactured and imported products containing more than 0.1% asbestos by weight be labeled with an appropriate warning. The exemptions specified in subsection (k)(7)(E) only apply to waste products or waste containers. 
(F) When a building owner/or employer identifies previously installed PACM and/or ACM, labels or signs shall be affixed or posted so that employees will be notified of what materials contain PACM and/or ACM. The employer shall attach such labels in areas where they will clearly be noticed by employees who are likely to be exposed, such as at the entrance to mechanical room/areas. Signs required by subsection (k)(6) of this section may be posted in lieu of labels so long as they contain information required for labelling. The employer shall ensure, to the extent feasible, that employees who come in contact with these signs or labels can comprehend them. Means to ensure employee comprehension may include the use of foreign languages, pictographs, graphics, and awareness training.
(9) Employee Information and Training.
(A) The employer shall, at no cost to the employee, institute a training program for all employees who are likely to be exposed in excess of a PEL and for all employees who perform Class I through IV asbestos operations, and shall ensure their participation in the program.
(B) Training shall be provided prior to or at the time of initial assignment and at least annually thereafter. Employees engaged in asbestos-related work that requires employer registration under Section 341.6 or engaged in asbestos cement pipe operations as defined in subsection (r), shall be trained and certified by a Division approved training provider. To be approved by the Division, training providers shall (1) apply to the Division for course approval and (2) pay fees covering the cost of the approval process to the Division as specified in regulations promulgated by the Division pursuant to the provisions of Chapter 3.5 (beginning with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code.
(C) Training for Class I operations and for Class II operations that require the use of critical barriers (or equivalent isolation methods) and/or negative pressure enclosures under this section shall be the equivalent in curriculum training method and length to the EPA Model Accreditation Plan (MAP) asbestos abatement workers training (40 CFR Part 763, Subpart E, Appendix C).
(D) Training for other Class II work. 
1. For work with asbestos containing material involving roofing materials, flooring materials, siding materials, ceiling tiles, or transite panels, training shall include at a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specific work practices and engineering controls set forth in subsection (g) of this section which specifically relate to that category. Such course shall include “hands-on” training and shall take at least 8 hours. 
2. An employee who works with more than one of the categories of material specified in subsection (k)(9)(D)1. of this section shall receive training in the work practices applicable to each category of material that the employee removes and each removal method that the employee uses.
3. For Class II operations not involving the categories of material specified in subsection (k)(9)(D)1. of this section, training shall be provided which shall include at a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specific work practices and engineering controls set forth in subsection (g) of this section which specifically relate to the category of material being removed, and shall include “hands-on” training in the work practices applicable to each category of material that the employee removes and each removal method that the employee uses.
(E) Training for Class III employees shall be consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(2). Such a course shall also include “hands-on' training and shall take at least 16 hours. 

Exception: For Class III operations for which the competent person determines that the EPA curriculum does not adequately cover the training needed to perform that activity, training shall include as a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specific work practices and engineering controls set forth in subsection (g) of this section which specifically relate to that activity, and shall include “hands-on” training in the work practices applicable to each category of material that the employee disturbs.
(F) Training for employees performing Class IV operations shall be consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(1). Such a course shall include available information concerning the locations of thermal system insulation and surfacing ACM/PACM, and asbestos-containing flooring material, or flooring material where the absence of asbestos has not yet been certified; and instruction in recognition of damage, deterioration, and delamination of asbestos containing building materials. Such course shall take at least 2 hours.
(G) Training for employees who are likely to be exposed in excess of the PEL and who are not otherwise required to be trained under subsections (k)(9)(C) through (F) of this section, shall meet the requirements of subsection (k)(9)(H) of this section.
(H) The training program shall be conducted in a manner that the employee is able to understand. In addition to the content required by provisions in subsections (k)(9)(C) through (F) of this section, the employer shall ensure that each such employee is informed of the following:
1. Methods of recognizing asbestos, including the requirement in subsection (k)(1) of this section to presume that certain building materials contain asbestos;
2. The health effects associated with asbestos exposure;
3. The relationship between smoking and asbestos in producing lung cancer;
4. The nature of operations that could result in exposure to asbestos, the importance of necessary protective controls to minimize exposure including, as applicable, engineering controls, work practices, respirators, housekeeping procedures, hygiene facilities, protective clothing, decontamination procedures, emergency procedures, and waste disposal procedures, and any necessary instruction in the use of these controls and procedures where Class III and IV work will be or is performed, the contents of EPA 20T-2003, “Managing Asbestos In-Place” July 1990 or its equivalent in content;
5. The purpose, proper use, fitting instructions, and limitations of respirators as required by Section 5144;
6. The appropriate work practices for performing the asbestos job;
7. Medical surveillance program requirements;
8. The content of this standard including appendices;
9. The names, addresses and phone numbers of public health organizations which provide information, materials and/or conduct programs concerning smoking cessation. The employer may distribute the list of such organizations contained in Appendix J to this section, to comply with this requirement; and
10. The requirements for posting signs and affixing labels and the meaning of the required legends for such signs and labels.
(10) Access to training materials.
(A) The employer shall make readily available to affected employees without cost, written materials relating to the employee training program, including a copy of this regulation.
(B) The employer shall provide to the Chief and the Director, upon request, all information and training materials relating to the employee information and training program.
(C) The employer shall inform all employees concerning the availability of self-help smoking cessation program material. Upon employee request, the employer shall distribute such material, consisting of NIH Publication No. 89-1647, or equivalent self-help material, which is approved or published by a public health organization listed in Appendix J to this section.
(l) Housekeeping.
(1) Vacuuming. Where vacuuming methods are selected, HEPA filtered vacuuming equipment must be used. The equipment shall be used and emptied in a manner that minimizes the reentry of asbestos into the workplace.
(2) Waste disposal. Asbestos waste, scrap, debris, bags, containers, equipment, and contaminated clothing consigned for disposal shall be collected and disposed of in sealed, labeled, impermeable bags or other closed, labeled, impermeable containers except in roofing operations, where the procedures specified in subsection (g)(8)(B) of this section apply.
(3) Care of asbestos-containing flooring material.
(A) All vinyl and asphalt flooring material shall be maintained in accordance with this subsection unless the building/facility owner demonstrates, pursuant to subsection (g)(8)(A)9. of this section that the flooring does not contain asbestos.
(B) Sanding of flooring material is prohibited.
(C) Stripping of finishes shall be conducted using low abrasion pads at speeds lower than 300 rpm and wet methods. 
(D) Burnishing or dry buffing may be performed only on flooring which has sufficient finish so that the pad cannot contact the flooring material. 
(4) Waste and debris and accompanying dust in an area containing accessible thermal system insulation or surfacing ACM/PACM or visibly deteriorated ACM: 
(A) shall not be dusted or swept dry, or vacuumed without using a HEPA filter;
(B) shall be promptly cleaned up and disposed of in leak tight containers.
(m) Medical surveillance.
(1) General
(A) Employees covered.
1. The employer shall institute a medical surveillance program for all employees who, for a combined total of 30 or more days per year, are engaged in Class I, II and III work or are exposed at or above the permissible exposure limit. For purposes of this paragraph, any day in which a worker engages in Class II or Class III operations or a combination thereof on intact material for one hour or less (taking into account the entire time spent on the removal operation, including cleanup) and, while doing so, adheres fully to the work practices specified in this standard, shall not be counted.
2. For employees otherwise required by this standard to wear a negative pressure respirator, employers shall ensure employees are physically able to perform the work and use the equipment. This determination shall be made under the supervision of a physician.
(B) Examination.
1. The employer shall ensure that all medical examinations and procedures are performed by or under the supervision of a licensed physician, and are provided at no cost to the employee and at a reasonable time and place.
2. Persons other than such licensed physicians who administer the pulmonary function testing required by this section shall complete a training course in spirometry sponsored by an appropriate academic or professional institution.
(2) Medical examinations and consultations.
(A) Frequency. The employer shall make available medical examinations and consultations to each employee covered under subsection (m)(1)(A) of this section on the following schedules:
1. Prior to assignment of the employee to an area where negative- pressure respirators are worn;
2. When the employee is assigned to an area where exposure to asbestos may be at or above the permissible exposure limit for 30 or more days per year, or engage in Class I, II or III work for a combined total of 30 or more days per year, a medical examination must be given within 10 working days following the thirtieth day of exposure;
3. And at least annually thereafter.
4. If the examining physician determines that any of the examinations should be provided more frequently than specified, the employer shall provide such examinations to affected employees at the frequencies specified by the physician.
5. Exception: No medical examination is required of any employee if adequate records show that the employee has been examined in accordance with this subsection within the past 1 year period.
6. Employers shall provide a medical examination at the termination of employment for any employee who has been exposed to airborne concentrations of asbestos at or above the permissible exposure limit and/or excursion limit. The medical examination shall be given within 30 calendar days before or after the date of termination of employment.
(B) Content. Medical examinations made available pursuant to subsections (m)(2)(A)1. through (m)(2)(A)3. of this section shall include:
1. A medical and work history with special emphasis directed to the pulmonary, cardiovascular, and gastrointestinal systems.
2. On initial examination, the standardized questionnaire contained in Part 1 of Appendix D to this section, and, on annual examination, the abbreviated standardized questionnaire contained in Part 2 of Appendix D to this section.
3. A physical examination directed to the pulmonary and gastrointestinal systems, including a chest roentgenogram to be administered in accordance with Table 2 below, and pulmonary function tests of forced vital capacity (FVC) and forced expiratory volume at one second (FEV(1)). Interpretation and classification of chest roentgenograms shall be conducted in accordance with Appendix E to this section.
TABLE 2 
FREQUENCY OF CHEST X-RAYS

View Graphic
4. Any other examinations or tests deemed necessary by the examining physician.
(3) Information provided to the physician. The employer shall provide the following information to the examining physician:
(A) A copy of this standard and Appendices D, E, and I to this section;
(B) A description of the affected employee's duties as they relate to the employee's exposure;
(C) The employee's representative exposure level or anticipated exposure level;
(D) A description of any personal protective and respiratory equipment used or to be used; and
(E) Information from previous medical examinations of the affected employee that is not otherwise available to the examining physician.
(4) Physician's written opinion.
(A) The employer shall obtain a written opinion from the examining physician. This written opinion shall contain the results of the medical examination and shall include:
1. The physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of material health impairment from exposure to asbestos;
2. Any recommended limitations on the employee or on the use of personal protective equipment such as respirators; and
3. A statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions that may result from asbestos exposure.
4. A statement that the employee has been informed by the physician of the increased risk of lung cancer attributable to the combined effect of smoking and asbestos exposure.
(B) The employer shall instruct the physician not to reveal in the written opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to asbestos.
(C) The employer shall provide a copy of the physician's written opinion to the affected employee within 30 days from its receipt.
(n) Recordkeeping.
(1) Objective data relied on pursuant to subsection (f) to this section.
(A) Where the employer has relied on objective data that demonstrates that products made from or containing asbestos or the activity involving such products or material are not capable of releasing fibers of asbestos in concentrations at or above the permissible exposure limit and/or excursion limit under the expected conditions of processing, use, or handling to satisfy the requirements of subsection (f), the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) The record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of asbestos;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption. 
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data. 
(2) Exposure measurements.
(A) The employer shall keep an accurate record of all measurements taken to monitor employee exposure to asbestos as prescribed in subsection (f) of this section.
Note: The employer my utilize the services of competent organizations such as industry trade associations and employee associations to maintain the records required by this section.
(B) This record shall include at least the following information:
1. The date of measurement;
2. The operation involving exposure to asbestos that is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken;
5. Type of protective devices worn, if any; and
6. Name, social security number, and exposure of the employees whose exposures are represented.
(C) The employer shall maintain this record for at least thirty (30) years, in accordance with Section 3204 of the General Industry Safety Orders.
(3) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance by subsection (m) of this section, in accordance with Section 3204 of the General Industry Safety Orders.
(B) The record shall include at least the following information:
1. The name and social security number of the employee;
2. A copy of the employee's medical examination results, including the medical history, questionnaire responses, results of any tests, and physician's recommendations.
3. Physician's written opinions;
4. Any employee medical complaints related to exposure to asbestos; and
5. A copy of the information provided to the physician as required by subsection (m) of this section.
(C) The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with Section 3204 of the General Industry Safety Orders.
(4) Training records. The employer shall maintain all employee training records for one (1) year beyond the last date of employment by that employer. 
(5) Data to Rebut PACM. Where the building owner and employer have relied on data to demonstrate that PACM is not asbestos-containing, such data shall be maintained for as long as they are relied upon to rebut the presumption. 
(6) Records of Required Notifications. Where the building owner has communicated and received information concerning the identification, location and quantity of ACM and PACM, written records of such notifications and their content shall be maintained by the building owner for the duration of ownership and shall be transferred to successive owners of such buildings/facilities. 
(7) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available to the Chief and the Director for examination and copying.
(B) The employer, upon request, shall make any exposure records required by subsections (f) and (n) of this section available for examination and copying to affected employees, former employees, designated representatives, and the Chief, in accordance with Section 3204 of the General Industry Safety Orders. 
(C) The employer, upon request, shall make employee medical records required by subsections (m) and (n) of this section available for examination and copying to the subject employee, anyone having the specific written consent of the subject employee, and the Chief, in accordance with Section 3204 of the General Industry Safety Orders.
(8) Transfer of records.
(A) The employer shall comply with the requirements concerning transfer of records set forth in Section 3204 of the General Industry Safety orders. 
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Director at least 90 days prior to disposal and, upon request, transmit them to the Director.
(o) Competent person.
(1) General. On all construction worksites covered by this standard, the employer shall designate a competent person, having the qualifications and authorities for ensuring worker safety and health required by Sections 1509, 1510, 1512, 1513, 1514, 1523, and 1920 of these orders.
(2) Required Inspections by the Competent Person. Section 1509(a) of these orders, which requires health and safety prevention programs to provide for frequent and regular inspections of the job sites, materials, and equipment to be made by competent persons, is incorporated.
(3) Additional Inspections. In addition, the competent person shall make frequent and regular inspections of the job sites, in order to perform the duties set out below in subsection (o)(3)(A). For Class I jobs, on-site inspections shall be made at least once during each work shift, and at any time at employee request. For Class II, III and IV jobs, on-site inspections shall be made at intervals sufficient to assess whether conditions have changed, and at any reasonable time at employee request. 
(A) On all worksites where employees are engaged in Class I or II asbestos work, the competent person designated in accordance with subsection (e)(6) of this section shall perform or supervise the following duties, as applicable:
1. Set up the regulated area, enclosure, or other containment;
2. Ensure (by on-site inspection) the integrity of the enclosure or containment;
3. Set up procedures to control entry to and exit from the enclosure and/or area;
4. Supervise all employee exposure monitoring required by this section and ensure that it is conducted as required by subsection (f) of this section;
5. Ensure that employees working within the enclosure and/or using glove bags wear respirators and protective clothing as required by subsections (h) and (i) of this section;
6. Ensure through on-site supervision, that employees set up, use, and remove engineering controls, use work practices and personal protective equipment in compliance with all requirements;
7. Ensure that employees use the hygiene facilities and observe the decontamination procedures specified in subsection (j) of this section; 
8. Ensure that, through on-site inspection, engineering controls are functioning properly and employees are using proper work practices; and, 
9. Ensure that notification requirement in subsection (k) of this section are met.
(4) Training for the competent person.
(A) For Class I, and II asbestos work the competent person shall be trained in all aspects of asbestos removal and handling, including: abatement, installation, removal and handling; the contents of this standard; the identification of asbestos; removal procedures, where appropriate; and other practices for reducing the hazard. Such training shall be obtained in a comprehensive course for supervisors, that meets the criteria of EPA's Model Accredited Plan (40 CFR Part 763, Subpart E. Appendix C), such as a course conducted by an EPA-approved or state approved training provider, certified by EPA or a state, or a course equivalent in stringency, content and length. 
(B) For Class III and IV asbestos work, the competent person shall be trained in aspects of asbestos handling appropriate for the nature of the work, to include procedures for setting up glove bags and mini-enclosures, practices for reducing asbestos exposures, use of wet methods, the contents of this standard, and the identification of asbestos. Such training shall include successful completion of a course that is consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(2), or its equivalent in stringency, content, and length. Competent persons for Class III and IV work, may also be trained pursuant to the requirements of subsection (o)(4)(A) of this section.
(p) Appendices.
(1) Appendices A, C, D, and E to this section are incorporated as part of this section and the contents of these appendices are mandatory.
(2) Appendices B, F, H, I, J, and K to this section are informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
(q) Certified Asbestos Consultants and Certified Site Surveillance Technicians.
(1) The following definitions are applicable to subsection (q) only:
“Asbestos consultant” means any person who contracts to provide professional health and safety services relating to asbestos- containing construction material as defined in this subsection, which comprises 100 square feet or more of surface area. The activities of an asbestos consultant include building inspection, abatement project design, contract administration, sample collection, preparation of asbestos management plans, clearance monitoring, and supervision of site surveillance technicians as defined in this subsection.
“Asbestos-containing construction material” means any manufactured construction material which contains more than one tenth of 1 percent asbestos by weight. 
“Certified asbestos consultant” means any asbestos consultant certified by the Division pursuant to this section.
“Certified site surveillance technician” means any surveillance technician certified by the Division pursuant to the section.
“Division” means the Division of Occupational Safety and Health of the California Department of Industrial Relations.
“Site surveillance technician” means any person who acts as an independent on-site representative of an asbestos consultant. The site surveillance technician monitors the asbestos abatement activities of others, provides asbestos air monitoring services for area and personal samples, and performs building surveys and contract administration at the direction of an asbestos consultant.
“State-of-the-art” means all asbestos abatement and control work procedures currently in use which have been demonstrated to be the most effective, reliable, and protective of workers health. As new procedures are developed which demonstrate greater effectiveness, reliability, and worker protection and thereby come into use, they become state-of-the-art.
(2) Certified Asbestos Consultant Criteria.
To obtain certification, an asbestos consultant must apply to the Division and complete all application requirements specified in Section 341.15. In order to qualify as an asbestos consultant, the applicant must meet all of the following requirements: 
(A) Achievement of a passing score as determined by the Division on an examination approved or administered by the Division including, but not limited to, the following subjects:
1. The physical characteristics of asbestos;
2. The health effects of asbestos;
3. The regulatory requirements of the Division, the Federal Occupational Safety and Health Administration, the U.S. Environmental Protection Agency, air quality management districts, and the Department of Health Services, including protective clothing, respiratory protection, exposure limits, personal hygiene, medical monitoring, disposal, and general industry safety hazards;
4. State-of-the-art asbestos abatement and control work procedures;
5. Federal Asbestos Hazard Emergency Response Act training information and procedures for inspectors, management planners, and supervisors, as provided for under Subchapter II (commencing with Section 2641) of Chapter 53 of Title 15 of the United States Code, or the equivalent, as determined by the Division; and
6. Information concerning industrial hygiene sampling methodology, including asbestos sampling and analysis techniques and recordkeeping.
(B) Providing such documentation and other information as the Division shall require to substantiate:
1. The possession of a valid and appropriate federal Asbestos Hazard Emergency Response Act [Subchapter II (commencing with Section 2641) of Chapter 53 of Title 15 of the United States Code] certificate, or its equivalent, as determined by the Division; and
2. Any one of the following combinations of education and experience:
A. One year of asbestos-related experience and a bachelor of science degree in engineering, architecture, industrial hygiene, construction management, or a related biological or physical science;
B. Two years of asbestos-related experience and a bachelor's degree;
C. Three years of asbestos-related experience and an associate of arts degree in engineering, architecture, industrial hygiene, construction management, or a related biological or physical science; or
D. Four years of asbestos-related experience and a high school diploma or its equivalent.
(3) Certified Site Surveillance Technician Criteria.
To obtain certification, a site surveillance technician must apply to the Division and complete all application requirements specified in Section 341.15. In order to qualify as a site surveillance technician, the applicant must meet all of the following requirements:
(A) Achievement of a passing score as determined by the Division on an examination approved or administered by the Division including, but not limited to, the following subjects:
1. The physical characteristics of asbestos;
2. The health effects of asbestos;
3. The regulatory requirements of the Division, the Federal Occupational Safety and Health Administration, the U.S. Environmental Protection Agency, air quality management districts, and the Department of Health Services, including protective clothing, respiratory protection, exposure limits, personal hygiene, medical monitoring, disposal, and general industry safety hazards;
4. State-of-the-art asbestos abatement and control work procedures.
5. Information concerning industrial hygiene sampling methodology, including sampling techniques and recordkeeping.
(B) Providing such documentation and other information as the Division shall require to substantiate all of the following:
1. Possession of a valid federal Asbestos Hazard Emergency Response Act [Subchapter II (commencing with Section 2641) of Chapter 53 of Title 15 of the United States Code] certificate for the type of work being performed, or its equivalent, as determined by the Division.
2. Six (6) months of asbestos-related experience under the supervision of an asbestos consultant.
3. Possession of a high school diploma or equivalent.
(4) No employer shall engage the services of an asbestos consultant or site surveillance technician unless that person provides proof of certification by the Division.
(r) Report of Use and Asbestos-related Work Registration.
(1) The following definitions are applicable to subsection (r) only: 
“Asbestos-containing construction material” means any manufactured construction material which contains more than one tenth of 1 percent asbestos by weight. 
“Asbestos-related work” means any activity which by disturbing asbestos-containing construction materials may release asbestos fibers into the air and which is not related to its manufacture, the mining or excavation of asbestos-bearing ore or materials, or the installation or repair of automotive materials containing asbestos. Asbestos-related work does not include the installation, repair, maintenance, or nondestructive removal of asbestos cement pipe used outside of buildings if the work operations do not result in employee exposures to asbestos in excess of 0.1 fibers per cubic centimeter of air (f/cc) as an 8-hour time-weighted average and the employees and supervisors involved in the work operations are trained and certified by an asbestos cement pipe training program which is approved by the Division.
(2) Report of Use. See section 5203.
Note: Employers registered with the Chief in accordance with Sections 341.6 to 341.9 for the purpose of conducting asbestos-related work involving over 100 square feet, as defined in Section 341.6(a), of asbestos-containing construction material shall be deemed to be in compliance with section 5203 for the asbestos-related work requiring registration. Except that emergencies as defined in section 5203(a) must be reported as required in section 5203(f).

Exception: An employer need not register all the materials containing asbestos if objective data demonstrates that during all reasonably foreseeable uses, handling, storage, disposal, processing, or transportation, no airborne concentrations of asbestos fibers in excess of the permissible exposure limit and/or excursion limit will be released. The objective data shall include at least those elements specified in subsection (n)(1) of this section.
NOTE

Authority cited: Sections 142.3, 6501.5, 9020, 9021.5, 9021.9, 9030 and 9040, Labor Code. Reference: Sections 142.3, 6501.5, 6501.7, 6501.8, 6501.9, 6502, 9003, 9004(b), 9005, 9006, 9009, 9020, 9021.5, 9021.9, 9030 and 9040, Labor Code; Section 25910, Health and Safety Code; and Sections 7180, 7180.5, 7181, 7182, 7183, 7183.5, 7184, 7185, 7187, 7189, 7189.5 and 7189.7, Business and Professions Code.
HISTORY

1. New section filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19). 
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of subsection (b) and NOTE and adoption of subsections (o)(6)-(o)(8) and (t) filed 1-21-92 as an emergency; operative 2-20-92 (Register 92, No. 13).
4. Change without regulatory effect amending definition of chief in subsection  (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
5. Amendment of subsection (c)(1) filed 5-1-95; operative 5-31-95 (Register 95, No. 18).
6. Editorial correction of subsection (b) (Register 95, No. 41).
7. Change without regulatory effect deleting duplicate “Certified supervisor” definition filed 12-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 51).
8. Repealer and new section filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
9. Amendment of subsections (k)(9)(B), (q)(2)-(3) and (r)(1) definition of “Asbestos-related work,” and amendment of Note filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
10. New subsection (h)(2)(F), amendment of subsections (k)(6), (k)(8)(F) and (k)(9)(C)-(k)(9)(D)1., new (k)(9)(D)2.-3. and amendment of subsections (k)(9)(E) and (m)(1)(A)1. filed 10-3-97; operative 10-3-97. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 97, No. 40).
11. Amendment of former subsections (h)(1)-(h)(4)(B) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3)(D)3. filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
12. Amendment of subsections (r)-(r)(2), repealer of subsection (r)(2)(A), Note 1. and Note 2. designator, amendment of former Note 2., and repealer of subsections (r)(2)(B)-(r)(2)(B)1. and (r)(2)(B)2.-(r)(5) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
13. Change without regulatory effect amending subsections (h)(3)(D)2.-3. filed 12-20-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 52).
14. Amendment of subsection (g)(5) filed 3-22-2004; operative 3-22-2004. Submitted to OAL for printing only. This filing is necessary to correct a discrepancy between this section and the corresponding federal regulation, 29 CFR 1926.1101, and is not subject to Articles 5 and 6 of the Administrative Procedure Act pursuant to subdivision (a)(3) of Labor Code section 142.3 (Register 2004, No. 13).
15. Amendment of subsection (f)(5)(A) and repealer of subsection (g)(6)(C) filed 7-28-2005; operative 7-28-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 30).
16. Amendment of subsections (h)(3)(A), new subsection (h)(3)(B), subsection relettering and amendment of newly designated subsections (h)(3)(C), (h)(3)(D), (h)(3)(E) and (h)(3)(E)2.-3. filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

OSHA Reference Method
Mandatory
This mandatory appendix specifies the procedure for analyzing air samples for asbestos and specifies quality control procedures that must be implemented by laboratories performing the analysis. The sampling and analytical methods described below represent the elements of the available monitoring methods (such as appendix B to this section, the most current version of the OSHA method ID-60, or the most current version of the NIOSH 7400 method) which OSHA considers to be essential to achieve adequate employee exposure monitoring while allowing employers to use methods that are already established within their organizations. All employers who are required to conduct air monitoring under subsection (f) of this section are required to utilize analytical laboratories that use this procedure, or an equivalent method, for collecting and analyzing samples.
Sampling and Analytical Procedure 
1. The sampling medium for air samples shall be mixed cellulose ester filter membranes. These shall be designated by the manufacturer as suitable for asbestos counting. See below for rejection of blanks.
2. The preferred collection device shall be the 25-mm diameter cassette with an open-faced 50-mm extension cowl. The 37-mm cassette may be used if necessary but only if written justification for the need to use the 37-mm filter cassette accompanies the sample results in the employee's exposure monitoring record. Do not reuse or reload cassettes for asbestos sample collection. 
3. An air flow rate between 0.5 liter/min and 2.5 liters/min shall be selected for the 25-mm cassette. If the 37-mm cassette is used, an air flow rate between 1 liter/min and 2.5 liters/min shall be selected. 
4. Where possible, a sufficient air volume for each air sample shall be collected to yield between 100 and 1,300 fibers per square millimeter on the membrane filter. If a filter darkens in appearance or if loose dust is seen on the filter, a second sample shall be started. 
5. Ship the samples in a rigid container with sufficient packing material to prevent dislodging the collected fibers. Packing material that has a high electrostatic charge on its surface (e.g., expanded polystyrene) cannot be used because such material can cause loss of fibers to the sides of the cassette.
6. Calibrate each personal sampling pump before and after use with a representative filter cassette installed between the pump and the calibration devices.
7. Personal samples shall be taken in the “breathing zone” of the employee (i.e., attached to or near the collar or lapel near the worker's face).
8. Fiber counts shall be made by positive phase contrast using a microscope with an 8 to 10 X eyepiece and a 40 to 45 X objective for a total magnification of approximately 400 X and a numerical aperture of 0.65 to 0.75. The microscope shall also be fitted with a green or blue filter.
9. The microscope shall be fitted with a Walton-Beckett eyepiece graticule calibrated for a field diameter of 100 micrometers (+/- 2 micrometers).
10. The phase-shift detection limit of the microscope shall be about 3 degrees measured using the HSE phase shift test slide as outlined below. 
a. Place the test slide on the microscope stage and center it under the phase objective.
b. Bring the blocks of grooved lines into focus.

Note: The slide consists of seven sets of grooved lines (ca. 20 grooves to each block) in descending order of visibility from sets 1 to 7, seven being the least visible. The requirements for asbestos counting are that the microscope optics must resolve the grooved lines in set 3 completely, although they may appear somewhat faint, and that the grooved lines in sets 6 and 7 must be invisible. Sets 4 and 5 must be at least partially visible but may vary slightly in visibility between microscopes. A microscope that fails to meet these requirements has either too low or too high a resolution to be used for asbestos.
c. If the image deteriorates, clean and adjust the microscope optics. If the problem persists, consult the microscope manufacturer.
11. Each set of samples taken will include 10% field blanks or a minimum of 2 field blanks. These blanks must come from the same lot as the filters used for sample collection. The field blank results shall be averaged and subtracted from the analytical results before reporting. A set consists of any sample or group of samples for which an evaluation for this standard must be made. Any samples represented by a field blank having a fiber count in excess of the detection limit of the method being used shall be rejected.
12. The samples shall be mounted by the acetone/triacetin method or a method with an equivalent index of refraction and similar clarity.
13. Observe the following counting rules.
a. Count only fibers equal to or longer than 5 micrometers. Measure the length of curved fibers along the curve. 
b. Count all particles as asbestos that have a length-to-width ratio (aspect ratio) of 3:1 or greater.
c. Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle, shall receive the count of one half (1/2). Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area.
d. Count bundles of fibers as one fiber unless individual fibers can be identified by observing both ends of an individual fiber.
e. Count enough graticule fields to yield 100 fibers. Count a minimum of 20 fields; stop counting at 100 fields regardless of fiber count.
14. Blind recounts shall be conducted at the rate of 10 percent.
Quality Control Procedures
1. Intra-laboratory program. Each laboratory and/or each company with more than one microscopist counting slides shall establish a statistically designed quality assurance program involving blind recounts and comparisons between microscopists to monitor the variability of counting by each microscopist and between microscopists. In a company with more than one laboratory, the program shall include all laboratories and shall also evaluate the laboratory-to-laboratory variability.
2. a. Interlaboratory program. Each laboratory analyzing asbestos samples for compliance determination shall implement an interlaboratory quality assurance program that as a minimum includes participation of at least two other independent laboratories. Each laboratory shall participate in round robin testing at least once every 6 months with at least all the other laboratories in its interlaboratory quality assurance group. Each laboratory shall submit slides typical of its own work load for use in this program. The round robin shall be designed and results analyzed using appropriate statistical methodology.
b. All laboratories should participate in a national sample testing scheme such as the Proficiency Analytical Testing Program (PAT), the Asbestos Registry sponsored by the American Industrial Hygiene Association (AIHA).
3. All individuals performing asbestos analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos dust or an equivalent course. 
4. When the use of different microscopes contributes to differences between counters and laboratories, the effect of the different microscopes shall be evaluated and the microscopes shall be replaced, as necessary.
5. Current results of these quality assurance programs shall be posted in each laboratory to keep the microscopists informed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19). 
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix B

Sampling and Analysis (Non-mandatory)

Matrix Air: 

	OSHA Permissible Exposure Limits: 
	Time Weighted Average	 	0.1 fiber/cc 
	Excursion Level (30 minutes) 		 1.0 fiber/cc

Collection Procedure: 

A known volume of air is drawn through a 25-mm diameter cassette containing a mixed-cellulose ester filter. The cassette must be equipped with an electrically conductive 50-mm extension cowl. The sampling time and rate are chosen to give a fiber density of between 100 to 1,300 fibers/mm2 on the filter.

Recommended Sampling Rate	 0.5 to 5.0 liters/
	 	minute (L/min) 
Recommended Air Volumes: 

	Minimum 	 25 L 
	Maximum 	 2,400 L
	
Analytical Procedure:
A portion of the sample filter is cleared and prepared for asbestos fiber counting by Phase Contrast Microscopy (PCM) at 400X. Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources can be substituted.
1. Introduction
This method describes the collection of airborne asbestos fibers using calibrated sampling pumps with mixed-cellulose ester (MCE) filters and analysis by phase contrast microscopy (PCM). Some terms used are unique to this method and are defined below: Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, crocidolite, amosite (cummingtonite-grunerite asbestos), tremolite asbestos, actinolite asbestos, anthophyllite asbestos, and any of these minerals that have been chemically treated and/or altered. The precise chemical formulation of each species will vary with the location from which it was mined. Nominal compositions are listed:

	Chrysotile		Mg3Si2O5(OH)4 
	Crocidolite		Na2Fe32Fe23Si8O22(OH)2 
	Amosite		(Mg,Fe)7Si8O22(OH)2 
	Tremolite-actinolite		Ca2(Mg,Fe)5Si8O22(OH)2 
	Anthophyllite		(Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos which meets the criteria specified below for a fiber.
Aspect Ratio: The ratio of the length of a fiber to it's diameter (e.g. 3:1, 5:1 aspect ratios).
Cleavage Fragments: Mineral particles formed by comminution of minerals, especially those characterized by parallel sides and a moderate aspect ratio (usually less than 20:1).
Detection Limit: The number of fibers necessary to be 95% certain that the result is greater than zero.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from the fiber count because they do not appear to be asbestos.
Fiber: A particle that is 5 mm or longer, with a length-to-width ratio of 3 to 1 or longer.
Field: The area within the graticule circle that is superimposed on the microscope image.
Set: The samples which are taken, submitted to the laboratory, analyzed, and for which, interim or final result reports are generated.
Tremolite, Anthophyllite, and Actinolite: The non-asbestos form of these minerals which meet the definition of a fiber. It includes any of these minerals that have been chemically treated and/or altered.
Walton-Beckett Graticule: An eyepiece graticule specifically designed for asbestos fiber counting. It consists of a circle with a projected diameter of 100 plus or minus 2 mm (area of about 0.00785 mm2) with a crosshair having tic-marks at 3-mm intervals in one direction and 5-mm in the orthogonal direction. There are marks around the periphery of the circle to demonstrate the proper sizes and shapes of fibers. This design is reproduced in Figure 1. of this appendix. The disk is placed in one of the microscope eyepieces so that the design is superimposed on the field of view.
1.1. History
Early surveys to determine asbestos exposures were conducted using impinger counts of total dust with the counts expressed as million particles per cubic foot. The British Asbestos Research Council recommended filter membrane counting in 1969. In July 1969, the Bureau of Occupational Safety and Health published a filter membrane method for counting asbestos fibers in the United States. This method was refined by NIOSH and published as P & CAM 239. On May 29, 1971, OSHA specified filter membrane sampling with phase contrast counting for evaluation of asbestos exposures at work sites in the United States. The use of this technique was again required by OSHA in 1986. Phase contrast microscopy has continued to be the method of choice for the measurement of occupational exposure to asbestos.
1.2. Principle
Air is drawn through a MCE filter to capture airborne asbestos fibers. A wedge shaped portion of the filter is removed, placed on a glass microscope slide and made transparent. A measured area (field) is viewed by PCM. All the fibers meeting defined criteria for asbestos are counted and considered a measure of the airborne asbestos concentration.
1.3. Advantages and Disadvantages
There are four main advantages of PCM over other methods:
(1) The technique is specific for fibers. Phase contrast is a fiber counting technique which excludes non-fibrous particles from the analysis.
(2) The technique is inexpensive and does not require specialized knowledge to carry out the analysis for total fiber counts.
(3) The analysis is quick and can be performed on-site for rapid determination of air concentrations of asbestos fibers.
(4) The technique has continuity with historical epidemiological estimates of expected disease can be inferred from long-term determinations of asbestos exposures.
The main disadvantage of PCM is that it does not positively identify asbestos fibers. Other fibers which are not asbestos may be included in the count unless differential counting is performed. This requires a great deal of experience to adequately differentiate asbestos from non-asbestos fibers. Positive identification of asbestos must be performed by polarized light or electron microscopy techniques. A further disadvantage of PCM is that the smallest visible fibers are about 0.2mm in diameter while the finest asbestos fibers may be as small as 0.02mm in diameter. For some exposures, substantially more fibers may be present than are actually counted.
1.4. Workplace Exposure
Asbestos is used by the construction industry in such products as shingles, floor tiles, asbestos cement, roofing felts, insulation and acoustical products. Non-construction uses include brakes, clutch facings, paper, paints, plastics, and fabrics. One of the most significant exposures in the workplace is the removal and encapsulation of asbestos in schools, public buildings, and homes. Many workers have the potential to be exposed to asbestos during these operations.
About 95% of the asbestos in commercial use in the United States is chrysotile. Crocidolite and amosite make up most of the remainder. Anthophyllite and tremolite or actinolite are likely to be encountered as contaminants in various industrial products.
1.5. Physical Properties
Asbestos fiber possesses a high tensile strength along its axis, is chemically inert, non-combustible, and heat resistant. It has a high electrical resistance and good sound absorbing properties. It can be weaved into cables, fabrics or other textiles, and also matted into asbestos papers, felts, or mats.
2. Range and Detection Limit
2.1. The ideal counting range on the filter is 100 to 1,300 fibers/mm2 With a Walton-Beckett graticule this range is equivalent to 0.8 to 10 fibers/field. Using NIOSH counting statistics, a count of 0.8 fibers/field would give an approximate coefficient of variation (CV) of 0.13.
2.2. The detection limit for this method is 4.0 fibers per 100 fields or 5.5 fibers/mm2. This was determined using an equation to estimate the maximum CV possible at a specific concentration (95% confidence) and a Lower Control Limit of zero. The CV value was then used to determine a corresponding concentration from historical CV vs fiber relationships. As an example:
Lower Control Limit (95% Confidence) = AC -- 1.645(CV)(AC)
Where:
AC = Estimate of the airborne fiber concentration (fibers/cc) Setting the Lower Control Limit = 0 and solving for CV:
0 = AC - 1.645(CV)(AC)
CV = 0.61
This value was compared with CV vs. count curves. The count at which CV = 0.61 for Leidel-Busch counting statistics or for an OSHA Salt Lake Technical Center (OSHA-SLTC) CV curve (see Appendix A for further information) was 4.4 fibers or 3.9 fibers per 100 fields, respectively. Although a lower detection limit of 4 fibers per 100 fields is supported by the OSHA-SLTC data, both data sets support the 4.5 fibers per 100 fields value.
3. Method Performance -- Precision and Accuracy
Precision is dependent upon the total number of fibers counted and the uniformity of the fiber distribution on the filter. A general rule is to count at least 20 and not more than 100 fields. The count is discontinued when 100 fibers are counted, provided that 20 fields have already been counted. Counting more than 100 fibers results in only a small gain in precision. As the total count drops below 10 fibers, an accelerated loss of precision is noted.
At this time, there is no known method to determine the absolute accuracy of the asbestos analysis. Results of samples prepared through the Proficiency Analytical Testing (PAT) Program and analyzed by the OSHA-SLTC showed no significant bias when compared to PAT reference values. The PAT samples were analyzed from 1987 to 1989 (N=36) and the concentration range was from 120 to 1,300 fibers/mm(2).
4. Interferences
Fibrous substances, if present, may interfere with asbestos analysis. Some common fibers are:

	fiberglass 
	anhydrite 
	plant fibers 
	perlite veins 
	gypsum 
	some synthetic fibers 
	membrane structures 
	sponge spicules 
	diatoms 
	microorganisms 
	wollastonite
The use of electron microscopy or optical tests such as polarized light, and dispersion staining may be used to differentiate these materials from asbestos when necessary.
5. Sampling
5.1. Equipment
5.1.1. Sample assembly. Conductive filter holder consisting of a 25-mm diameter, 3-piece cassette having a 50-mm long electrically conductive extension cowl, Backup pad, 25-mm, cellulose. Membrane filter, mixed-cellulose ester (MCE), 25-mm, plain, white, 0.4- to 1.2-mm pore size.

Notes:

(a) DO NOT RE-USE CASSETTES.

(b) Fully conductive cassettes are required to reduce fiber loss to the sides of the cassette due to electrostatic attraction. 

(c) Purchase filters which have been selected by the manufacturer for asbestos counting or analyze representative filters for fiber background before use. Discard the filter lot if more than 4 fibers/100 fields are found.

(d) To decrease the possibility of contamination, the sampling system (filter-backup pad-cassette) for asbestos is usually preassembled by the manufacturer.

(e) Other cassettes, such as the Bell-mouth, may be used within the limits of their validation.
5.1.2. Gel bands for sealing cassettes.
5.1.3. Sampling pump. Each pump must be a battery operated, self- contained unit small enough to be placed on the monitored employee and not interfere with the work being performed. The pump must be capable of sampling at the collection rate for the required sampling time.
5.1.4. Flexible tubing, 6-mm bore.
5.1.5. Pump calibration.
Stopwatch and bubble tube/burette or electronic meter.
5.2. Sampling Procedure
5.2.1. Seal the point where the base and cowl of each cassette meet with a gel band or tape.
5.2.2. Charge the pumps completely before beginning.
5.2.3. Connect each pump to a calibration cassette with an appropriate length of 6-mm bore plastic tubing. Do not use luer connectors -- the type of cassette specified above has built-in adapters.
5.2.4. Select an appropriate flow rate for the situation being monitored. The sampling flow rate must be between 0.5 and 5.0 L/min for personal sampling and is commonly set between 1 and 2 L/min. Always choose a flow rate that will not produce overloaded filters.
5.2.5. Calibrate each sampling pump before and after sampling with a calibration cassette in-line (Note: This calibration cassette should be from the same lot of cassettes used for sampling). Use a primary standard (e.g. bubble burette) to calibrate each pump. If possible, calibrate at the sampling site.
If sampling site calibration is not possible, environmental influences may affect the flow rate. The extent is dependent on the type of pump used. Consult with the pump manufacturer to determine dependence on environmental influences. If the pump is affected by temperature and pressure changes, correct the flow rate using the formula shown in the section “Sampling Pump Flow Rate Corrections” at the end of this appendix.
5.2.6. Connect each pump to the base of each sampling cassette with flexible tubing. Remove the end cap of each cassette and take each air sample open face. Assure that each sample cassette is held open side down in the employee's breathing zone during sampling. The distance from the nose/mouth of the employee to the cassette should be about 10 cm. Secure the cassette on the collar or lapel of the employee using spring clips or other similar devices.
5.2.7. A suggested minimum air volume when sampling to determine TWA compliance is 25 L. For Excursion Limit (30 min sampling time) evaluations, a minimum air volume of 48 L is recommended.
5.2.8. The most significant problem when sampling for asbestos is overloading the filter with non-asbestos dust. Suggested maximum air sample volumes for specific environments are:

	Environment 	Air Vol. (L)

Asbestos removal operations (visible dust) 	100. 
Asbestos removal operations (little dust) 	240. 
Office environments. 400 to 2,400.

CAUTION: Do not overload the filter with dust. High levels of non- fibrous dust particles may obscure fibers on the filter and lower the count or make counting impossible. If more than about 25 to 30% of the field area is obscured with dust, the result may be biased low. Smaller air volumes may be necessary when there is excessive non-asbestos dust in the air.
While sampling, observe the filter with a small flashlight. If there is a visible layer of dust on the filter, stop sampling, remove and seal the cassette, and replace with a new sampling assembly. The total dust loading should not exceed 1 mg.
5.2.9. Blank samples are used to determine if any contamination has occurred during sample handling. Prepare two blanks for the first 1 to 20 samples. For sets containing greater than 20 samples, prepare blanks as 10% of the samples. Handle blank samples in the same manner as air samples with one exception: Do not draw any air through the blank samples. Open the blank cassette in the place where the sample cassettes are mounted on the employee. Hold it open for about 30 seconds. Close and seal the cassette appropriately. Store blanks for shipment with the sample cassettes.
5.2.10. Immediately after sampling, close and seal each cassette with the base and plastic plugs. Do not touch or puncture the filter membrane as this will invalidate the analysis.
5.2.11. Attach and secure a sample seal around each sample cassette in such a way as to assure that the end cap and base plugs cannot be removed without destroying the seal. Tape the ends of the seal together since the seal is not long enough to be wrapped end-to-end. Also wrap tape around the cassette at each joint to keep the seal secure.
5.3. Sample Shipment
5.3.1. Send the samples to the laboratory with paperwork requesting asbestos analysis. List any known fibrous interferences present during sampling on the paperwork. Also, note the workplace operation(s) sampled.
5.3.2. Secure and handle the samples in such that they will not rattle during shipment nor be exposed to static electricity. Do not ship samples in expanded polystyrene peanuts, vermiculite, paper shreds, or excelsior. Tape sample cassettes to sheet bubbles and place in a container that will cushion the samples in such a manner that they will not rattle.
5.3.3. To avoid the possibility of sample contamination, always ship bulk samples in separate mailing containers.
6. Analysis
6.1. Safety Precautions
6.1.1. Acetone is extremely flammable and precautions must be taken not to ignite it. Avoid using large containers or quantities of acetone. Transfer the solvent in a ventilated laboratory hood. Do not use acetone near any open flame. For generation of acetone vapor, use a spark free heat source. 
6.1.2. Any asbestos spills should be cleaned up immediately to prevent dispersal of fibers. Prudence should be exercised to avoid contamination of laboratory facilities or exposure of personnel to asbestos. Asbestos spills should be cleaned up with wet methods and/or a High Efficiency Particulate Air (HEPA) filtered vacuum.
CAUTION: Do not use a vacuum without a HEPA filter -- It will disperse fine asbestos fibers in the air.
6.2. Equipment
6.2.1. Phase contrast microscope with binocular or trinocular head.
6.2.2. Widefield or Huygenian 10X eyepieces (NOTE: The eyepiece containing the graticule must be a focusing eyepiece. Use a 40X phase objective with a numerical aperture of 0.65 to 0.75).
6.2.3. Kohler illumination (if possible) with green or blue filter.
6.2.4. Walton-Beckett Graticule, type G-22 with 100 plus or minus 2mm projected diameter.
6.2.5. Mechanical stage. A rotating mechanical stage is convenient for use with polarized light.
6.2.6. Phase telescope.
6.2.7. Stage micrometer with 0.01-mm subdivisions.
6.2.8. Phase-shift test slide, mark II (Available from PTR optics Ltd., and also McCrone).
6.2.9. Precleaned glass slides, 25 mm X 75 mm. One end can be frosted for convenience in writing sample numbers, etc., or paste-on labels can be used.
6.2.10. Cover glass #1 1/2.
6.2.11. Scalpel (#10, curved blade).
6.2.12. Fine tipped forceps.
6.2.13. Aluminum block for clearing filter (see Appendix D).
6.2.14. Automatic adjustable pipette, 100-to 500-mL. 
6.2.15. Micropipette, 5 mL.
6.3. Reagents
6.3.1. Acetone (HPLC grade).
6.3.3. Lacquer or nail polish.
6.4. Standard Preparation
A way to prepare standard asbestos samples of known concentration has not been developed. It is possible to prepare replicate samples of nearly equal concentration. This has been performed through the PAT program. These asbestos samples are distributed by the AIHA to participating laboratories.
Since only about one-fourth of a 25-mm sample membrane is required for an asbestos count, any PAT sample can serve as a “standard” for replicate counting.
6.5. Sample Mounting
See Safety Precautions in Section 6.1. before proceeding. The objective is to produce samples with a smooth (non-grainy) background in a medium with a refractive index of approximately 1.46. The technique below collapses the filter for easier focusing and produces permanent mounts which are useful for quality control and interlaboratory comparison.
An aluminum block or similar device is required for sample preparation. 
6.5.1. Heat the aluminum block to about 70 deg.C. The hot block should not be used on any surface that can be damaged by either the heat or from exposure to acetone.
6.5.2. Ensure that the glass slides and cover glasses are free of dust and fibers.
6.5.3. Remove the top plug to prevent a vacuum when the cassette is opened. Clean the outside of the cassette if necessary. Cut the seal and/or tape on the cassette with a razor blade. Very carefully separate the base from the extension cowl, leaving the filter and backup pad in the base.
6.5.4. With a rocking motion cut a triangular wedge from the filter using the scalpel. This wedge should be one-sixth to one-fourth of the filter. Grasp the filter wedge with the forceps on the perimeter of the filter which was clamped between the cassette pieces. DO NOT TOUCH the filter with your finger. Place the filter on the glass slide sample side up. Static electricity will usually keep the filter on the slide until it is cleared.
6.5.5. Place the tip of the micropipette containing about 200 mL acetone into the aluminum block. Insert the glass slide into the receiving slot in the aluminum block. Inject the acetone into the block with slow, steady pressure on the plunger while holding the pipette firmly in place. Wait 3 to 5 seconds for the filter to clear, then remove the pipette and slide from the aluminum block.
6.5.6. Immediately (less than 30 seconds) place 2.5 to 3.5 mL of triacetin on the filter (NOTE: Waiting longer than 30 seconds will result in increased index of refraction and decreased contrast between the fibers and the preparation. This may also lead to separation of the cover slip from the slide).
6.5.7. Lower a cover slip gently onto the filter at a slight angle to reduce the possibility of forming air bubbles. If more than 30 seconds have elapsed between acetone exposure and triacetin application, glue the edges of the cover slip to the slide with lacquer or nail polish.
6.5.8. If clearing is slow, warm the slide for 15 min on a hot plate having a surface temperature of about 50 deg.C to hasten clearing. The top of the hot block can be used if the slide is not heated too long.
6.5.9. Counting may proceed immediately after clearing and mounting are completed.
6.6. Sample Analysis
Completely align the microscope according to the manufacturer's instructions. Then, align the microscope using the following general alignment routine at the beginning of every counting session and more often if necessary.
6.6.1. Alignment
(1) Clean all optical surfaces. Even a small amount of dirt can significantly degrade the image.
(2) Rough focus the objective on a sample.
(3) Close down the field iris so that it is visible in the field of view. Focus the image of the iris with the condenser focus. Center the image of the iris in the field of view.
(4) Install the phase telescope and focus on the phase rings. Critically center the rings. Misalignment of the rings results in astigmatism which will degrade the image.
(5) Place the phase-shift test slide on the microscope stage and focus on the lines. The analyst must see line set 3 and should see at least parts of 4 and 5 but, not see line set 6 or 6. A microscope/microscopist combination which does not pass this test may not be used.
6.6.2. Counting Fibers
(1) Place the prepared sample slide on the mechanical stage of the microscope. Position the center of the wedge under the objective lens and focus upon the sample.
(2) Start counting from one end of the wedge and progress along a radial line to the other end (count in either direction from perimeter to wedge tip). Select fields randomly, without looking into the eyepieces, by slightly advancing the slide in one direction with the mechanical stage control.
(3) Continually scan over a range of focal planes (generally the upper 10 to 15 mm of the filter surface) with the fine focus control during each field count. Spend at least 5 to 15 seconds per field.
(4) Most samples will contain asbestos fibers with fiber diameters less than 1 mm. Look carefully for faint fiber images. The small diameter fibers will be very hard to see. However, they are an important contribution to the total count.
(5) Count only fibers equal to or longer than 5 mm. Measure the length of curved fibers along the curve.
(6) Count fibers which have a length to width ratio of 3:1 or greater.
(7) Count all the fibers in at least 20 fields. Continue counting until either 100 fibers are counted or 100 fields have been viewed; whichever occurs first. Count all the fibers in the final field.
(8) Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle shall receive a count of 1/2. Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area. If a fiber touches the circle, it is considered to cross the line.
(9) Count bundles of fibers as one fiber unless individual fibers can be clearly identified and each individual fiber is clearly not connected to another counted fiber. See Figure 1 of this appendix for counting conventions.
(10) Record the number of fibers in each field in a consistent way such that filter non-uniformity can be assessed.
(11) Regularly check phase ring alignment.
(12) When an agglomerate (mass of material) covers more than 25% of the field of view, reject the field and select another. Do not include it in the number of fields counted.
(13) Perform a “blind recount” of 1 in every 10 filter wedges (slides). Re-label the slides using a person other than the original counter.
6.7. Fiber Identification
As previously mentioned in Section 1.3., PCM does not provide positive confirmation of asbestos fibers. Alternate differential counting techniques should be used if discrimination is desirable. Differential counting may include primary discrimination based on morphology, polarized light analysis of fibers, or modification of PCM data by Scanning Electron or Transmission Electron Microscopy.
A great deal of experience is required to routinely and correctly perform differential counting. It is discouraged unless it is legally necessary. Then, only if a fiber is obviously not asbestos should it be excluded from the count. Further discussion of this technique can be found in reference 8.10. If there is a question whether a fiber is asbestos or not, follow the rule: “WHEN IN DOUBT, COUNT.”
6.8. Analytical Recommendations -- Quality Control System
6.8.1. All individuals performing asbestos analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos or an equivalent course.
6.8.2. Each laboratory engaged in asbestos counting shall set up a slide trading arrangement with at least two other laboratories in order to compare performance and eliminate inbreeding of error. The slide exchange occurs at least semiannually. The round robin results shall be posted where all analysts can view individual analyst's results.
6.8.3. Each laboratory engaged in asbestos counting shall participate in the Proficiency Analytical Testing Program, the Asbestos Analyst Registry or equivalent.
6.8.4. Each analyst shall select and count prepared slides from a “slide bank”. These are quality assurance counts. The slide bank shall be prepared using uniformly distributed samples taken from the workload. Fiber densities should cover the entire range routinely analyzed by the laboratory. These slides are counted blind by all counters to establish an original standard deviation. This historical distribution is compared with the quality assurance counts. A counter must have 95% of all quality control samples counted within three standard deviations of the historical mean. This count is then integrated into a new historical mean and standard deviation for the slide.
The analyses done by the counters to establish the slide bank may be used for an interim quality control program if the data are treated in a proper statistical fashion.
7. Calculations
7.1. Calculate the estimated airborne asbestos fiber concentration on the filter sample using the following formula:

View Graphic
where:

AC = Airborne fiber concentration 
FB = Total number of fibers greater than 5 mm counted 
FL = Total number of fields counted on the filter 
BFB = Total number of fibers greater than 5 mm counted in the blank 
BFL = Total number of fields counted on the blank 
ECA = Effective collecting area of filter (385 mm(2) nominal for a 25 - mm filter.) 
FR = Pump flow rate (L/min) 
MFA = Microscope count field area (mm(2)). This is 0.00785 mm(2) for a Walton-Beckett Graticule. 
T = Sample collection time (min) 
1,000 = Conversion of L to cc
The collection area of a filter is seldom equal to 385 mm(2). It is appropriate for laboratories to routinely monitor the exact diameter using an inside micrometer. The collection area is calculated according to the formula:
Area =  p (d/2)2
7.2. Short-Cut Calculation
Since a given analyst always has the same interpupillary distance, the number of fields per filter for a particular analyst will remain constant for a given size filter. The field size for that analyst is constant (i.e. the analyst is using an assigned microscope and is not changing the reticle).
For example, if the exposed area of the filter is always 385 mm(2) and the size of the field is always 0.00785 mm(2) the number of fields per filter will always be 49,000. In addition it is necessary to convert liters of air to cc. These three constants can then be combined such that ECA/(1,000 x MFA)=49. The previous equation simplifies to:

View Graphic
7.3. Recount Calculations
As mentioned in step 13 of Section 6.6.2., a “blind recount” of 10% of the slides is performed. In all cases, differences will be observed between the first and second counts of the same filter wedge. Most of these differences will be due to chance alone, that is, due to the random variability (precision) of the count method. Statistical recount criteria enables one to decide whether observed differences can be explained due to chance alone or are probably due to systematic differences between analysts, microscopes, or other biasing factors.
The following recount criterion is for a pair of counts that estimate AC in fibers/cc. The criterion is given at the type-I error level. That is, there is 5% maximum risk that we will reject a pair of counts for the reason that one might be biased, when the large observed difference is really due to chance.
Reject a pair of counts if:

View Graphic
Where:

AC(1) = lower estimated airborne fiber concentration 
AC(2) = higher estimated airborne fiber concentration 
AC(avg) = average of the two concentration estimates 
CV(FB) = CV for the average of the two concentration estimates
If a pair of counts are rejected by this criterion then, recount the rest of the filters in the submitted set. Apply the test and reject any other pairs failing the test. Rejection shall include a memo to the industrial hygienist stating that the sample failed a statistical test for homogeneity and the true air concentration may be significantly different than the reported value.
7.4. Reporting Results
Report results to the industrial hygienist as fibers/cc. Use two significant figures. If multiple analyses are performed on a sample, an average of the results is to be reported unless any of the results can be rejected for cause.
8. References
8.1. Dreesen, W.C., et al., U.S. Public Health Service: A Study of Asbestosis in the Asbestos Textile Industry (Public Health Bulletin No. 241), U.S. Treasury Dept., Washington, DC, 1938.
8.2. Asbestos Research Council: The Measurement of Airborne Asbestos Dust by the Membrane Filter Method (Technical Note), Asbestos Research Council, Rockdale, Lancashire, Great Britain, 1969.
8.3. Bayer, S.G., Zumwalde, R.D., Brown, T.A., Equipment and Procedure for Mounting Millipore Filters and Counting Asbestos Fibers by Phase Contrast Microscopy, Bureau of Occupational Health, U.S. Dept. of Health, Education and Welfare, Cincinnati, OH, 1969.
8.4. NIOSH Manual of Analytical Methods, 2nd ed., Vol. 1 (DHEW/ NIOSH Pub. No. 77-157-A). National Institute for Occupational Safety and Health, Cincinnati, OH, 1977. pp. 239-1 -- 239-21.
8.5. Asbestos, Code of Federal Regulations 29 CFR 1910.1001. 1971.
8.6. Occupational Exposure to Asbestos, Tremolite, Anthophyllite, and Actinolite. Final Rule, Federal Register 51:119 (20 June 1986). pp. 22612-22790.
8.7. Asbestos, Tremolite, Anthophyllite, and Actinolite, Code of Federal Regulations 1910.1001. 1988. pp. 711-752.
8.8. Criteria for a Recommended Standard -- Occupational Exposure to Asbestos (DHEW/NIOSH Pub. No. HSM 72-10267), National Institute for Occupational Safety and Health, NIOSH, Cincinnati, OH, 1972. pp. III-1 -- III-24.
8.9. Leidel, N.A., Bayer, S.G., Zumwalde, R.D., Busch, K.A., USPHS/NIOSH Membrane Filter Method for Evaluating Airborne Asbestos Fibers (DHEW/NIOSH Pub. No. 79-127). National Institute for Occupational Safety and Health, Cincinnati, OH, 1979.
8.10. Dixon, W.C., Applications of Optical Microscopy in Analysis of Asbestos and Quartz, Analytical Techniques in Occupational Health Chemistry, edited by D.D. Dollberg and A.W. Verstuyft. Wash. D.C.: American Chemical Society, (ACS Symposium Series 120) 1980. pp. 13-41.
Quality Control
The OSHA asbestos regulations require each laboratory to establish a quality control program. The following is presented as an example of how the OSHA-SLTC constructed its internal CV curve as part of meeting this requirement. Data is from 395 samples collected during OSHA compliance inspections and analyzed from October 1980 through April 1986.
Each sample was counted by 2 to 5 different counters independently of one another. The standard deviation and the CV statistic was calculated for each sample. This data was then plotted on a graph of CV vs. fibers/mm2. A least squares regression was performed using the following equation:
CV = antilog10 [A(log10(x))2+B(log10(x))+C]
where:

x = the number of fibers/mm2
Application of least squares gave:

A = 0.182205 
B = 0.973343 
C = 0.327499
Using these values, the equation becomes:
CV = antilog10 [0.182205(log10(x))2 + 0.973343(log10(x)) + 0.327499]
Sampling Pump Flow Rate Corrections
This correction is used if a difference greater than 5% in ambient temperature and/or pressure is noted between calibration and sampling sites and the pump does not compensate for the differences.

View Graphic

Where:

Q(act) = actual flow rate 
Q(cal) = calibrated flow rate (if a rotameter was used, the rotameter value) 
P(cal) = uncorrected air pressure at calibration 
P(act) = uncorrected air pressure at sampling site 
T(act) = temperature at sampling site (K) 
T(cal) = temperature at calibration (K)
Walton-Beckett Graticule
When ordering the Graticule for asbestos counting, specify the exact disc diameter needed to fit the ocular of the microscope and the diameter (mm) of the circular counting area. Instructions for measuring the dimensions necessary are listed:
(1) Insert any available graticule into the focusing eyepiece and focus so that the graticule lines are sharp and clear.
(2) Align the microscope.
(3) Place a stage micrometer on the microscope object stage and focus the microscope on the graduated lines.
(4) Measure the magnified grid length, PL (mm), using the stage micrometer.
(5) Remove the graticule from the microscope and measure its actual grid length, AL (mm). This can be accomplished by using a mechanical stage fitted with verniers, or a jeweler's loupe with a direct reading scale.
(6) Let D = 100 mm. Calculate the circle diameter, d(c)(mm), for the Walton-Beckett graticule and specify the diameter when making a purchase:

View Graphic

Example: If PL = 108 mm, AL = 2.93 mm and D = 100 mm, then,

View Graphic
(7) Each eyepiece-objective-reticle combination on the microscope must be calibrated. Should any of the three be changed (by zoom adjustment, disassembly, replacement, etc.), the combination must be recalibrated. Calibration may change if interpupillary distance is changed.
Measure the field diameter, D (acceptable range: 100 plus or minus 2 mm) with a stage micrometer upon receipt of the graticule from the manufacturer. Determine the field area (mm(2)).

Field Area = p(D/2)2 
If D = 100 mm = 0.1 mm, then 
Field Area = p(0.1 mm/2)2 = 0.00785mm2
The Graticule is available from: Graticules Ltd., Morley Road, Tonbridge TN9 IRN, Kent, England (Telephone 011-44-732-359061). Also available from PTR Optics Ltd., 145 Newton Street, Waltham, MA 02154 [telephone (617) 891-6000] or McCrone Accessories and Components, 2506 S. Michigan Ave., Chicago, IL 60616 [phone (312)- 842-7100]. The graticule is custom made for each microscope.

View Graphic

Figure 1: Walton-Beckett Graticule with some explanatory fibers.

Counts for the Fibers in the Figure

Structure No. 	Count 	Explanation

1 to 6	1		Single fibers all contained within the Circle. 7	1/2		Fiber crosses circle once.
8 	0		Fiber too short. 
9 	2		Two crossing fibers. 
10 	0		Fiber outside graticule. 
11 	0		Fiber crosses graticule twice.
12 	1/2		Although split, fiber only crosses once. 

NOTE

Authority cited: Section 142.3, Labor  Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix B to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1 (Register 91, No. 45).
3. Editorial correction of Appendix B (Register 95, No. 41).
4. Repealer and new appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
5. Change without regulatory effect providing more legible Figure 1 filed 1-20-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).

Appendix C

Qualitative and Quantitative Fit Testing Procedures, Mandatory

[See Section 5144, Appendix A]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix C to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Amendment repealing Appendix C and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).

Appendix D

Medical Questionnaires Manditory
This mandatory appendix contains the medical questionnaires that must be administered to all employees who are exposed to asbestos above the permissible exposure limit, and who will therefore be included in their employer's medical surveillance program. Part 1 of the appendix contains the Initial Medical Questionnaire, which must be obtained for all new hires who will be covered by the medical surveillance requirements. Part 2 includes the abbreviated Periodical Medical Questionnaire, which must be administered to all employees who are provided periodic examinations under the medical surveillance provisions of the standard.

Part 1 INITIAL MEDICAL QUESTIONNAIRE

1. NAME 									 2. SOCIAL SECURITY # 																		

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15 4. PRESENT OCCUPATION 											 5. PLANT 												 6. ADDRESS 												 7. 												 											 (Zip Code) 8. TELEPHONE NUMBER 																 9. INTERVIEWER 																	

10. DATE																			

								16		17		18		19		20	21

11. Date of Birth																			

		Month		Day	Year			22		23		24		25		26	27

12. Place of Birth 																	 13 Sex					1. Male			 					2. Female		 14. What is your marital status?			1. Single					4. Separated/					2. Married				  Divorced							3. Widowed		

 15. Race					1. White				4. Hispanic							2. Black				5. Indian									3. Asian				6. Other				

16. What is the highest grade completed in school? 											
	(For example 12 years is completion of high school) 											
OCCUPATIONAL HISTORY												
17A. Have you ever worked full time (30 hours					1. Yes 		2. No 		
per week or more) for 6 months or more?												
IF YES TO 17A:												
B.	Have you ever worked for a year or more in					1.		2.				
	any dusty job?					3.	Does Not Apply					
	Specify job/industry 					 Total Years Worked					
Was dust exposure:		1. Mild __		2.	Moderate __		3.	Severe __				

 C. Have you even been exposed to gas or 					1. Yes 		2. No 		    chemical fumes in your work?    Specify job/industry 						 Total Years Worked 		    Was exposure:		1. Mild __  2. Moderate __  3. Severe __  D. What has been your usual occupation or job--the one you have worked at the longest?    1. Job occupation 												    2. Number of years employed in this occupation 											    3. Position/job title 												    4. Business, field or industry												 (Record on lines the years in which you have worked in any of these industries. e.g. 1960-1969)

View Graphic

19. CHEST COLDS AND CHEST ILLNESSES

19A. If you get a cold, does it usually go to your chest? (Usually 	1.	Yes __ 2. No	__
means more than 1/2 the time)	3.	Don't get colds 	__

20A. During then past 3 years, have you had any chest illnesses	1.	Yes __ 2. No	__
that have kept you off work, indoors at home, or in bed?

   IF YES TO 20A

 B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. In the last 3 years, how many such illnesses with (increased)	Number of illnesses	__
 phlegm did you have which lasted a week or more?	No such illnesses		__

21. Did you have any lung trouble before the age of 16?	1.	Yes __ 2. No	__

22. Have you ever had any of the following?

1A. Attacks of bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 1A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age was your first attack?		Age in Years		__
		Does Not Apply	__

2A. Pneumonia (include bronchopneumonia)?	1.	Yes __ 2. No	__

   IF YES TO 2A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age did you first have it?		Age in Years		__
		Does Not Apply	__

3A. Hay fever?	1.	Yes __ 2. No	__

   IF YES TO 3A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__
	
 C. At what age did it start?		Age in Years		__
		Does Not Apply	__

23A. Have you ever had chronic bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 23A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

24A. Have you ever had emphysema?	1.	Yes __ 2. No	__

   IF YES TO 24A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

25A. Have you ever had asthma?	1.	Yes __ 2. No	__

   IF YES TO 25A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

 E. If you no longer have it, at what age did it stop?		Age stopped		__
		Does Not Apply	__

26. Have you ever had:
A. Any other chest illness?	1.	Yes __ 2. No	__
   If yes, please specify 				

B. Any chest operations?	1.	Yes __ 2. No	__
   If yes, please specify				

C. Any chest injuries?	1.	Yes __ 2. No	__
   If yes, please specify				

27A. Has a doctor ever told you that you had heart trouble?	1.	Yes __ 2. No	__
  
   IF YES TO 27A:
B. Have you ever had treatment for heart trouble in the	1.	Yes __ 2. No	__
  past 10 years?	3.	Does not apply		__

28A. Has a doctor ever told you that you had high blood pressure?	1.	Yes __ 2. No	__
  
   IF YES TO 28A:
B. Have you ever had treatment for high blood pressure 	1.	Yes __ 2. No	__
  (hypertension) in the past 10 years?	3.	Does not apply		__

29. When did you last have your chest X-rayed?	(Year)								
			25		26		27		28

30. Where did you last have your chest X-rayed (if known)?				
What was the outcome?				

FAMILY HISTORY

31. Were either of your natural parents ever told by a doctor that they had a chronic lung condition such as:

	FATHER	MOTHER

	1.	Yes	2.	No	3.	Don't	1.	Yes	2.	No	3.	Don't
						Know						Know

  A. Chronic
    Bronchitis?													

  B. Emphysema?													

  C. Asthma?													 

  D. Lung cancer?													

  E. Other chest conditions?													

  F. Is parent currently alive?													

  G. Please Specify			 Age if Living			 Age if Living
			 Age at Death				 Age at Death
			 Don't Know				 Don't Know
  H. Please specify cause of death

COUGH

32A. Do you usually have a cough? (Count a cough with first 	1.	Yes __ 2. No	__
smoke or on first going out of doors. Exclude clearing of
throat.) [If no, skip to question 32C.]

 B. Do you usually cough as much as 4 to 6 times a day	1.	Yes __ 2. No	__
4 or more days out of the week?

 C. Do you usually cough at all on getting up or first thing in	1.	Yes __ 2. No	__
the morning?

 D. Do you usually cough at all during the rest of the day	1.	Yes __ 2. No	__
or at night?

IF YES TO ANY OF ABOVE (32A, B, C, OR D), ANSWER THE FOLLOWING. IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO NEXT PAGE.

 E. Do you usually cough like this on most days for 3	1.	Yes __ 2. No	__
consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had the cough?	Number of Years		__
	Does Not Apply		__

33A. Do you usually bring up phlegm from your chest?	1.	Yes __ 2. No	__
(Count phlegm with the first smoke or on first
going out of doors. Exclude phlegm from the nose. 
Count swallowed phlegm.) (If no, skip to 33C)

 B. Do you usually bring up phlegm like this as much	1.	Yes __ 2. No	__
as twice a day 4 or more days out of the week?

 C. Do you usually bring up phlegm at all on getting	1.	Yes __ 2. No	__
up or first thing in the morning?

 D. Do you usually bring up phlegm at all during	1.	Yes __ 2. No	__
the rest of the day or at night?

IF YES TO ANY OF THE ABOVE (33A, B, C, OR D), ANSWER THE FOLLOWING:
IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO 34A.

 E. Do you bring up phlegm like this on most days	1.	Yes __ 2. No	__
for 3 consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had trouble with phlegm?	Number of years		__
	Does not apply		__

EPISODES OF COUGH AND PHLEGM

34A. Have you had periods or episodes of (increased*) cough	1.	Yes __ 2. No	__
and phlegm lasting for 3 weeks or more each year?
*(For persons who usually have cough and/or phlegm)

IF YES TO 34A

 B. For how long have you had at least 1 such episode per year?	Number of years		__
	Does not apply		__

WHEEZING

35A. Does you chest ever sound wheezy or whistling
   1. When you have a cold?	1.	Yes __ 2. No	__
   2. Occasionally apart from colds?	1.	Yes __ 2. No	__
   3. Most days or nights?	1.	Yes __ 2. No	__

IF YES TO 1, 2, or 3 in 35A

 B. For how many years has this been present?	Number of years		__
	Does not apply		__

36A. Have you ever had an attack of wheezing that has made you	1.	Yes __ 2. No	__
feel short of breath?

 B. How old were you when you had your first such attack?	Age in years		__
	Does not apply		__

 C. Have you had 2 or more such episodes?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 D. Have you ever required medicine or treatment	1.	Yes __ 2. No	__
for the(se) attack(s)?	3.	Does not apply		__

BREATHLESSNESS

37. If disabled from walking by any condition other
than heart or lung disease, please describe and
proceed to question 39A.
Nature of condition(s)			

38A. Are you troubled by shortness of breath when	1.	Yes __ 2. No	__
hurrying on the level or walking up a slight hill?

IF YES TO 38A

 B. Do you have a walk slower than people of your age	1.	Yes __ 2. No	__
on the level because of breathlessness?	3.	Does not apply		__

 C. Do you ever have to stop for breath when walking at	1.	Yes __ 2. No	__
your own pace on the level?	3.	Does not apply		__

 D. Do you ever have to stop for breath after walking	1.	Yes __ 2. No	__
about 100 yards (or after a few minutes) on the level?	3.	Does not apply		__

 E. Are you too breathless to leave the house or	1.	Yes __ 2. No	__
breathless on dressing or climbing one flight of stairs?	3.	Does not apply		__

TOBACCO SMOKING

39A. Have you ever smoked cigarettes? (No means less than 20	1.	Yes __ 2. No	__
packs of cigarettes or 12 oz. of tobacco in a lifetime or
less than 1 cigarette a day for 1 year.)

IF YES TO 39A

 B. Do you now smoke cigarettes (as of one month ago)	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. How old were you when you first started regular	Age in years		__
cigarette smoking?	Does not apply		__

 D. If you have stopped smoking cigarettes completely,	Age stopped		__
how old were you when you stopped?	Check if still 
	smoking		__
	Does not apply		__

 E. How many cigarettes do you smoke per day now?	Cigarettes per day		__
	Does not apply		__

 F. On the average of the entire time you smoked, how	Cigarettes per day		__
many cigarettes did you smoke per day?	Does not apply		__

 G. Do or did you inhale the cigarette smoke?	1.	Does not apply		__
	2.	Not at all		__
	3.	Slightly		__
	4.	Moderately		__
	5.	Deeply		__

40A. Have you ever smoked a pipe regularly?	1.	Yes __ 2. No	__
(Yes means more than 12 oz. of tobacco in a
lifetime.)

IF YES TO 40A:

 B. 1. How old were you when you started to smoke a pipe regularly?	Age			__

2. If you have stopped smoking a pipe completely, how old were	Age stopped			__
 you when you stopped?	Check of still smoking
	pipe			__
	Does not apply		__

 C. On the average over the entire time you smoked a pipe,	__	oz. per week (a standard pouch
how much pipe tobacco did you smoke per week?	  of tobacco contains 1 1/2 oz.)
	__	Does not apply

 D. How much pipe tobacco are you smoking now?	oz. per week			__
	Not currently 
	smoking a pipe		__

 E. Do you or did you inhale the pipe smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

41A. Have you ever smoked cigars regularly?	1.	Yes __ 2. No	__
(Yes means more than 1 cigar a week for a year)

IF YES TO 41A

FOR PERSONS WHO HAVE EVER SMOKED CIGARS

 B. 1. How old were you when you started smoking cigars regularly?	Age			__

2. If you have stopped smoking cigars completely, how old were	Age stopped			__
 you when you stopped?	Check if still 
	smoking cigars		__
	Does not apply		__

 C. On the average over the entire time you smoked cigars,	Cigars per week		__
how many cigars did you smoke per week?	Does not apply		__

 D. How many cigars are you smoking per week now?	Cigars per week		__
	Check if not 
	smoking cigars
	currently		__

 E. Do or did you inhale the cigar smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

Signature 		Date			

Part 2
PERIODIC MEDICAL QUESTIONNAIRE

1. NAME 									

2. SOCIAL SECURITY # 																			

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15

4. PRESENT OCCUPATION 											

5. PLANT 												

6. ADDRESS 												

7. 												
											 (Zip Code)

8. TELEPHONE NUMBER 																

9. INTERVIEWER 																	

10. DATE																				

								16		17		18		19		20	21

11. What is your marital status?	1.	Single			4.	Separated/	
	2.	Married				Divorced		
	3.	Widowed		

12. OCCUPATIONAL HISTORY

12A. In the past year, did you work full time (30 hours	1.	Yes __ 2. No	__
per week or more) for 6 months or more?

IF YES TO 12A:

12B. In the past year, did you work in a dusty job?	1.	Yes __ 2. No	__
	3.	Does not apply		__

12C. Was dust exposure:	1.	Mild			2.	Moderate		3.	Severe	

12D. In the past year, were you exposed to gas or	1.	Yes __ 2. No	__
chemical fumes in your work?

12E. Was exposure:	1.	Mild			2.	Moderate		3.	Severe	

12F. In the past year,
what was your:	1.	Job/occupation?					
	2.	Position/job title?					

13. RECENT MEDICAL HISTORY

13A. Do you consider yourself to be in good heath?	Yes __		No __

IF NO, state reason												

13B. In the past year, have you developed:							Yes  No
		Epilepsy?				___  ___
		Rheumatic fever?			___  ___
		Kidney disease?			___  ___
		Bladder disease?			___  ___
		Diabetes?				___  ___
		Jaundice?				___  ___
		Cancer?				___  ___

14. CHEST COLDS AND CHEST ILLNESSES

14A. If you get a cold, does it usually go to your chest?
(Usually means more than 1/2 the time)
	1.	Yes __	2 No.	__
	3.	Don't get colds		__

15A. During the past year, have you had any chest illnesses	1.	Yes __	2 No.	__
that have kept you off work, indoors at home, or in bed?	3.	Does Not Apply	__

IF YES TO 15A:

15B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __	2 No.	__
	3.	Does Not Apply	__

15C. In the past year, how many such illnesses with (increased)	Number of illnesses	__
phlegm did you have which lasted a week or more?	No such illnesses		__

16. RESPIRATORY SYSTEM
In the past year have you had:
	Yes or No	Further Comment on Positive
		Answers
Asthma	 ____

Bronchitis	 ____

Hay Fever	 ____

Other Allergies	 ____

	Yes or No	Further Comment on Positive
		Answers
Pneumonia	 ____

Tuberculosis	 ____

Chest Surgery	 ____

Other Lung Problems	 ____

Heart Disease	 ____

Do you have:

	Yes or No	Further Comment on Positive
		Answers
Frequent colds	 ____

Chronic cough	 ____

Shortness of breath when
walking or climbing one
flight of stairs	 ____

Do you:

Wheeze	 ____

Cough up phlegm	 ____

Smoke cigarettes	 ____	Packs per day ____ How many years ____

Date 		Signature 		

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix D to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Editorial correction of Part 1, No. 16 (Register 99, No. 28).

Appendix E

Interpretation and Classification of Chest Roentgenograms
Mandatory
(a) Chest roentgenograms shall be interpreted and classified in accordance with a professionally accepted classification system and recorded on an interpretation form following the format of the CDC/NIOSH (M) 2.8 form. As a minimum, the content within the bold lines of this form (items 1 through 4) shall be included. This form is not to be submitted to NIOSH.
(b) Roentgenograms shall be interpreted and classified only by a B-reader, a board eligible/certified radiologist, or an experienced physician with known expertise in pneumoconioses.
(c) All interpreters, whenever interpreting chest roentgenograms made under this section, shall have immediately available for reference a complete set of the ILO-U/C International Classification of Radiographs for Pneumoconioses, 1980.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix E to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix F

Work Practices and Engineering Controls for Class I Asbestos Operations (Non-mandatory)
This is a non-mandatory appendix to the asbestos standards for construction and for shipyards. It describes criteria and procedures for erecting and using negative pressure enclosures for Class I Asbestos Work, when NPEs are used as an allowable control method to comply with subsection (g)(5)(A) of this section. Many small and variable details are involved in the erection of a negative pressure enclosure. OSHA and most participants in the rulemaking agreed that only the major, more performance oriented criteria should be made mandatory. These criteria are set out in subsection (g) of this section. In addition, this appendix includes these mandatory specifications and procedures in its guidelines in order to make this appendix coherent and helpful. The mandatory nature of the criteria which appear in the regulatory text is not changed because they are included in this “non-mandatory” appendix. Similarly, the additional criteria and procedures included as guidelines in the appendix, do not become mandatory because mandatory criteria are also included in these comprehensive guidelines.
In addition, none of the criteria, both mandatory and recommended, are meant to specify or imply the need for use of patented or licensed methods or equipment. Recommended specifications included in this attachment should not discourage the use of creative alternatives which can be shown to reliably achieve the objectives of negative-pressure enclosures.
Requirements included in this appendix, cover general provisions to be followed in all asbestos jobs, provisions which must be followed for all Class I asbestos jobs, and provisions governing the construction and testing of negative pressure enclosures. The first category includes the requirement for use of wet methods, HEPA vacuums, and immediate bagging of waste; Class I work must conform to the following provisions:
* oversight by competent person
* use of critical barriers over all openings to work area
* isolation of HVAC systems
* use of impermeable dropcloths and coverageof all objects within regulated areas
In addition, more specific requirements for NPEs include:
* maintenance of -0.02 inches water gauge within enclosure
* manometric measurements
* air movement away from employees performing removal work
* smoke testing or equivalent for detection of leaks and air direction
* deactivation of electrical circuits, if not provided with ground-fault circuit interrupters.

Planning the Project
The standard requires that an exposure assessment be conducted before the asbestos job is begun [Subsection 1529(f)(1)]. Information needed for that assessment, includes data relating to prior similar jobs, as applied to the specific variables of the current job. The information needed to conduct the assessment will be useful in planning the project, and in complying with any reporting requirements under this standard, when significant changes are being made to a control system listed in the standard, [see also those of USEPA (40 CFR 61, subpart M). Thus, although the standard does not explicitly require the preparation of a written asbestos removal plan, the usual constituents of such a plan, i.e., a description of the enclosure, the equipment, and the procedures to be used throughout the project, must be determined before the enclosure can be erected. The following information should be included in the planning of the system:
A physical description of the work area;
A description of the approximate amount of material to be removed;
A schedule for turning off and sealing existing ventilation systems;
Personnel hygiene procedures;
A description of personal protective equipment and clothing to be worn by employees;
A description of the local exhaust ventilation systems to be used and how they are to be tested;
A description of work practices to be observed by employees;
An air monitoring plan;
A description of the method to be used to transport waste material; and
The location of the dump site.

Materials and Equipment Necessary for Asbestos Removal

Although individual asbsetos removal projects vary in terms of the equipment required to accomplish the removal of the materials, some equipment and materials are common to most asbestos removal operations.

Plastic sheeting used to protect horizontal surfaces, seal HVAC openings or to seal vertical openings and ceilings should have a minimum thickness of 6 mils. Tape or other adhesive used to attach plastic sheeting should be of sufficient adhesive strength to support the weight of the material plus all stresses encountered during the entire duration of the project without becoming detached from the surface.

Other equipment and materials which should be available at the beginning of each project are:

-- HEPA Filtered Vacuum is essential for cleaning the work area after the asbestos has been removed. It should have a long hose capable of reaching out-of-the-way places, such as areas above ceiling tiles, behind pipes, etc.

-- Portable air ventilation systems installed to provide the negative air pressure and air removal from the enclosure must be equipped with a HEPA filter. The number and capacity of units required to ventilate an enclosure depend on the size of the area to be ventilated. The filters for these systems should be designed in such a manner that they can be replaced when the air flow is reduced by the build-up of dust in the filtration material. Pressure monitoring devices with alarms and strip chart recorders attached to each system to indicate the pressure differential and the loss due to dust buildup on the filter are recommended.

-- Water sprayers should be used to keep the asbsetos material as saturated as possible during removal; the sprayers will provide a fine mist that minimizes the impact of the spray on the material.

-- Water used to saturate the asbestos containing material can be amended by adding at least 15 milliliters (1/4 ounce) of wetting agent in 1 liter (1 pint) of water. An example of a wetting agent is a 50/50 mixture of polyoxyethylene ether and polyoxyethylene polyglycol ester. 

-- Backup power supplies are recommended, especially for ventilation systems.

-- Shower and bath water should be with mixed hot and cold water faucets. Water that has been used to clean personnel or equipment should either be filtered or be collected and discarded as asbestos waste. Soap and shampoo should be provided to aid in removing dust from the workers' skin and hair.

-- See subsections (h) and (i) of this section for appropriate respiratory protection and protective clothing.

-- See subsection (k) of this section for required signs and labels.

Preparing the Work Area
Disabling the HVAC Systems: The power to the heating, ventilation and air conditioning systems that service the restricted area must be deactivated and locked off. All ducts, grills, access ports, windows and vents must be sealed off with two layers of plastic to prevent entrainment of contaminated air.
Operating HVAC Systems in the Restricted Area: If components of a HVAC system located in the restricted area are connected to a system that will service another zone during the project, the portion of the duct in the restricted area must be sealed and pressurized. Necessary precautions include caulking the duct joints, covering all cracks and openings with two layers of sheeting, and pressurizing the duct throughout the duration of the project by restricting the return of air flow. The power to the fan supplying the positive pressure should be locked “on” to prevent pressure loss.
Sealing Elevators: If an elevator shaft is located in the restricted area, it should be either shut down or isolated by sealing with two layers of plastic sheeting. The sheeting should provide enough slack to accommodate the pressure changes in the shaft without breaking the air-tight seal.
Removing Mobile Objects: All movable objects should be cleaned and removed from the work area before an enclosure is constructed unless moving the objects creates a hazard. Mobile objects will be assumed to be contaminated and should be either cleaned with amended water and a HEPA vacuum and then removed from the area or wrapped and then disposed of as hazardous waste.
Cleaning and Sealing Surfaces: After cleaning with water and a HEPA vacuum, surfaces of stationary objects should be covered with two layers of plastic sheeting. The sheeting should be secured with duct tape or an equivalent method to provide a tight seal around the object.
Bagging Waste: In addition to the requirement for immediate bagging of waste for disposal, it is further recommended that the waste material be double-bagged and sealed in plastic bags designed for asbestos disposal. The bags should be stored in a waste storage area that can be controlled by the workers conducting the removal. Filters removed from handling units and rubbish removed from the area are to be bagged and handled as hazardous waste.

Constructing the Enclosure
The enclosure should be constructed to provide an air-tight seal around ducts and openings into existing ventilation systems and around penetrations for electrical conduits, telephone wires, water lines, drain pipes, etc. Enclosures should be both airtight and watertight except for those openings designed to provide entry and/or air flow control.
Size: An enclosure should be the minimum volume to encompass all of the working surfaces yet allow unencumbered movement by the worker(s), provide unrestricted air flow past the worker(s), and ensure walking surfaces can be kept free of tripping hazards.
Shape: The enclosure may be any shape that optimizes the flow of ventilation air past the worker(s).
Structural Integrity: The walls, ceilings and floors must be supported in such a manner that portions of the enclosure will not fall down during normal use.
Openings: It is not necessary that the structure be airtight; openings may be designed to direct air flow. Such openings should be located at a distance from active removal operations. They should be designed to draw air into the enclosure under all anticipated circumstances. In the event that negative pressure is lost, they should be fitted with either HEPA filters to trap dust or automatic trap doors that prevent dust from escaping the enclosure. Openings for exits should be controlled by an airlock or a vestibule.
Barrier Supports: Frames should be constructed to support all unsupported spans of sheeting.
Sheeting: Walls, barriers, ceilings and floors should be lined with two layers of plastic sheeting having a thickness of at least 6 mil.
Seams: Seams in the sheeting material should be minimized to reduce the possibilities of accidental rips and tears in the adhesive or connections. All seams in the sheeting should overlap, be staggered and not be located at corners or wall-to-floor joints.
Areas Within an Enclosure: Each enclosure consists of a work area, a decontamination area, and waste storage area. The work area where the asbestos removal operations occur should be separated from both the waste storage area and the contamination control area by physical curtains, doors, and/or airflow patterns that force any airborne contamination back into the work area.
See subsection (j) of this section for requirements for hygiene facilities.
During egress from the work area, each worker should step into the equipment room, clean tools and equipment, and remove gross contamination from clothing by wet cleaning and HEPA vacuuming. Before entering the shower area, foot coverings, head coverings, hand coverings and coveralls are removed and placed in impervious bags for disposal or cleaning. Airline connections from airline respirators with HEPA disconnects and power cables from powered air-purifying respirators (PAPRs) will be disconnected just prior to entering the showering room.

Establishing Negative Pressure Within the Enclosure
Negative Pressure: Air is to be drawn into the enclosure under all anticipated conditions and exhausted through a HEPA filter for 24 hours a day during the entire duration of the project.
Air Flow Tests: Air flow patterns will be checked before removal operations begin, at least once per operating enclosure. The primary test for air flow is to trace air currents with smoke tubes or other visual methods. Flow checks are made at each opening and at each doorway to demonstrate that air is being drawn into the enclosure and to each worker's position to show that air is being drawn away from the breathing zone.
Monitoring Pressure Within the Enclosure: After the initial air flow patterns have been checked, the static pressure must be monitored within the enclosure. Monitoring may be made using manometers, pressure gauges, or combinations of these devices. It is recommended that they be attached to alarms and strip chart recorders at points identified by the design engineer.
Corrective Actions: If the manometers or pressure gauges demonstrate a reduction in pressure differential below the required level, work should cease and the reason for the change investigated and appropriate changes made. The air flow patterns should be retested before work begins again.
Pressure Differential: The design parameters for static pressure differentials between the inside and outside of enclosures typically range from 0.02 to 0.10 inches of water gauge, depending on conditions. All zones inside the enclosure must have less pressure than the ambient pressure outside of the enclosure (-0.02 inches water gauge differential). Design specifications for the differential vary according to the size, configuration, and shape of the enclosure as well as ambient and mechanical air pressure conditions around the enclosure.
Air Flow Patterns: The flow of air past each worker shall be enhanced by positioning the intakes and exhaust ports to remove contaminated air from the worker's breathing zone, by positioning HEPA vacuum cleaners to draw air from the worker's breathing zone, by forcing relatively uncontaminated air past the worker toward an exhaust port, or by using a combination of methods to reduce the worker's exposure.
Air Handling Unit Exhaust: The exhaust plume from air handling units should be located away from adjacent personnel and intakes for HVAC systems.
Air Flow Volume: The air flow volume (cubic meters per minute) exhausted (removed) from the workplace must exceed the amount of makeup air supplied to the enclosure. The rate of air exhausted from the enclosure should be designed to maintain a negative pressure in the enclosure and air movement past each worker. The volume of air flow removed from the enclosure should replace the volume of the container at every 5 to 15 minutes. Air flow volume will need to be relatively high for large enclosures, enclosures with awkward shapes, enclosures with multiple openings, and operations employing several workers in the enclosure.
Air Flow Velocity: At each opening, the air flow velocity must visibly “drag” air into the enclosure. The velocity of the air flow within the enclosure must be adequate to remove airborne contamination from each worker's breathing zone without disturbing the asbestos-containing material on surfaces.
Airlocks: Airlocks are mechanisms on doors and curtains that control the air flow patterns in the doorways. If air flow occurs, the patterns through doorways must be such that the air flows toward the inside of the enclosure. Sometimes vestibules, double doors, or double curtains are used to prevent air movement through the doorways. To use a vestibule, a worker enters a chamber by opening the door or curtain and then closing the entry before opening the exit door or curtain.
Airlocks should be located between the equipment room and shower room, between the shower room and the clean room, and between the waste storage area and the outside of the enclosure. The air flow between the adjacent rooms must be checked using smoke tubes or other visual tests to ensure the flow patterns draw air toward the work area without producing eddies.

Monitoring for Airborne Concentrations
In addition to the breathing zone samples taken as outlined in subsection (f) of this section, samples of air should be taken to demonstrate the integrity of the enclosure, the cleanliness of the clean room and shower area, and the effectiveness of the HEPA filter. If the clean room is shown to be contaminated, the room must be relocated to an uncontaminated area.
Samples taken near the exhaust of portable ventilation systems must be done with care.

General Work Practices
Preventing dust dispersion is the primary means of controlling the spread of asbestos within the enclosure. Whenever practical, the point of removal should be isolated, enclosed, covered, or shielded from the workers in the area. Waste asbestos containing materials must be bagged during or immediately after removal; the material must remain saturated until the waste container is sealed.
Waste material with sharp points or corners must be placed in hard airtight containers rather than bags.
Whenever possible, large components should be sealed in plastic sheeting and removed intact.
Bags or containers of waste will be removed to the waste holding area, washed, and wrapped in a bag with the appropriate labels.

Cleaning the Work Area
Surfaces within the work area should be kept free of visible dust and debris to the extent feasible. Whenever visible dust appears on surfaces, the surfaces within the enclosure must be cleaned by wiping with a wet sponge, brush, or cloth and then vacuumed with a HEPA vacuum.
All surfaces within the enclosure should be cleaned before the exhaust ventilation system is deactivated and the enclosure is disassembled. An approved encapsulant may be sprayed onto areas after the visible dust has been removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix F to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Repealer and new appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix G
NOTE

Authority cited: Sections 142.3, 6501.5, 9020, 9021.5, 9030, and 9040, Labor Code. Reference: Sections 142.3, 6501.5, 6501.7, 6501.8, 6501.9, 6502, 9003, 9004(b), 9005, 9006, 9009, 9020, 9021.5, 9030, and 9040, Labor Code, and Section 25910, Health and Safety Code.
HISTORY

1. New Appendix G to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Editorial correction of Figure G-1 (Register 95, No. 36).
4. Repealer of appendix filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix H

Substance Technical Information for Asbestos
Non-Mandatory
I. Substance Identification
A. Substance: “Asbestos” is the name of a class of magnesium-silicate minerals that occur in fibrous form. Minerals that are included in this group are chrysotile, crocidolite, amosite, anthophyllite asbestos, tremolite asbestos, and actinolite asbestos.
B. Asbestos is used in the manufacture of heat-resistant clothing, automotive brake and clutch linings, and a variety of building materials including floor tiles, roofing felts, ceiling tiles, asbestos-cement pipe and sheet, and fire-resistant drywall. Asbestos is also present in pipe and boiler insulation materials, and in sprayed-on materials located on beams, in crawlspaces, and between walls.
C. The potential for an asbestos-containing product to release breathable fibers depends on its degree of friability. Friable means that the material can be crumbled with hand pressure and is therefore likely to emit fibers. The fibrous fluffy sprayed-on materials used for fireproofing, insulation, or sound proofing are considered to be friable, and they readily release airborne fibers if disturbed. Materials such as vinyl-asbestos floor tile or roofing felt are considered non-friable if intact and generally do not emit airborne fibers unless subjected to sanding, sawing and other aggressive operations. Asbestos-cement pipe or sheet can emit airborne fibers if the materials are cut or sawed, or if they are broken. 
D. Permissible exposure: Exposure to airborne asbestos fibers may not exceed 0.1 fibers per cubic centimeter of air (0.1 f/cc) averaged over the 8-hour workday, and 1 fiber per cubic centimeter of air (1.0 f/cc) averaged over a 30 minute work period.
II. Health Hazard Data
A. Asbestos can cause disabling respiratory disease and various types of cancers if the fibers are inhaled. Inhaling or ingesting fibers from contaminated clothing or skin can also result in these diseases. The symptoms of these diseases generally do not appear for 20 or more years after initial exposure.
B. Exposure to asbestos has been shown to cause lung cancer, mesothelioma, and cancer of the stomach and colon. Mesothelioma is a rare cancer of the thin membrane lining of the chest and abdomen. Symptoms of mesothelioma include shortness of breath, pain in the walls of the chest, and/or abdominal pain.
III. Respirators and Protective Clothing
A. Respirators: You are required to wear a respirator when performing tasks that result in asbestos exposure that exceeds the permissible exposure limit (PEL) of 0.1 f/cc and when performing certain designated operations. Air-purifying respirators equipped with a high-efficiency particulate air (HEPA) filter can be used where airborne asbestos fiber concentrations do not exceed 1.0 f/cc; otherwise, more protective respirators such as air-supplied, positive-pressure, full facepiece respirators must be used. Disposable respirators or dust masks are not permitted to be used for asbestos work. For effective protection, respirators must fit your face and head snugly. Your employer is required to conduct fit tests when you are first assigned a respirator and annually thereafter. Respirators should not be loosened or removed in work situations where their use is required.
B. Protective Clothing: You are required to wear protective clothing in work areas where asbestos concentrations exceed the permissible exposure limit (PEL) of 0.1 f/cc.
IV. Disposal Procedures and Clean-up
A. Wastes that are generated by processes where asbestos is present include:
1. Empty asbestos shipping containers.
2. Process wastes such as cuttings, trimmings, or reject material.
3. Housekeeping waste from wet-sweeping or HEPA-vacuuming.
4. Asbestos fireproofing or insulating material that is removed from buildings.
5. Asbestos-containing building products removed during building renovation or demolition.
6. Contaminated disposable protective clothing.
B. Empty shipping bags can be flattened under exhaust hoods and packed into airtight containers for disposal. Empty shipping drums are difficult to clean and should be sealed.
C. Vacuum bags or disposable paper filters should not be cleaned, but should be sprayed with a fine water mist and placed into a labeled waste container.
D. Process waste and housekeeping waste should be wetted with water or a mixture of water and surfactant prior to packaging in disposable containers.
E. Asbestos-containing material that is removed from buildings must be disposed of in leak-tight 6-mil plastic bags, plastic-lined cardboard containers, or plastic-lined metal containers. These wastes, which are removed while wet, should be sealed in containers before they dry out to minimize the release of asbestos fibers during handling.
V. Access to Information
A. Each year, your employer is required to inform you of the information contained in this standard and appendices for asbestos. In addition, your employer must instruct you in the proper work practices for handling asbestos-containing materials, and the correct use of protective equipment.
B. Your employer is required to determine whether you are being exposed to asbestos. Your employer must treat exposure to thermal system insulation and sprayed-on and troweled-on surfacing material as asbestos exposure, unless results of laboratory analysis show that the material does not contain asbestos. You or your representative has the right to observe employee measurements and to record the results obtained. Your employer is required to inform you of your exposure, and, if you are exposed above the permissible exposure limit, he or she is required to inform you of the actions that are being taken to reduce your exposure to within the permissible limit.
C. Your employer is required to keep records of your exposures and medical examinations. These exposure records must be kept for at least thirty (30) years, Medical records must be kept for the period of your employment plus thirty (30) years.
D. Your employer is required to release your exposure and medical records to your physician or designated representative upon your written request. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix H to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Change without regulatory effect amending section III.A. of appendix H filed 12-23-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 52).

Appendix I

Medical Surveillance Guidelines for Asbestos
Non-Mandatory

I. 	Route of Entry:  Inhalation, Ingestion

II.	Toxicology
Clinical evidence of the adverse effects associated with exposure to asbestos is present in the form of several well-conducted epidemiological studies of occupationally exposed workers, family contacts of workers, and persons living near asbestos mines. These studies have shown a definite association between exposure to asbestos and an increased incidence of lung cancer, pleural and peritoneal mesothelioma, gastrointestinal cancer, and asbestosis. The latter is a disabling fibrotic lung disease that is caused only by exposure to asbestos. Exposure to asbestos has also been associated with an increased incidence of esophageal, kidney, laryngeal, pharyngeal, and buccal cavity cancers. As with other known chronic occupational diseases, disease associated with asbestos generally appears about 20 years following the first occurrence of exposure. There are no known acute effects associated with exposure to asbestos.
Epidemiological studies indicate that the risk of lung cancer among exposed workers who smoke cigarettes is greatly increased over the risk of lung cancer among non-exposed smokers or exposed nonsmokers. These studies suggest that cessation of smoking will reduce the risk of lung cancer for a person exposed to asbestos but will not reduce it to the same level of risk as that existing for an exposed worker who has never smoked.
III. Signs and Symptoms of Exposure-Related Disease
The signs and symptoms of lung cancer or gastrointestinal cancer induced by exposure to asbestos are not unique, except that a chest X-ray of an exposed patient with lung cancer may show pleural plaques, pleural calcification, or pleural fibrosis. Symptoms characteristic of mesothelioma include shortness of breath, pain in the walls of the chest, or abdominal pain. Mesothelioma has a much longer latency period compared with lung cancer (40 years versus 15-20 years), and mesothelioma is therefore likely to be found among workers who were first exposed to asbestos at an early age. Mesothelioma is always fatal.
Asbestosis is pulmonary fibrosis caused by the accumulation of asbestos fibers in the lungs. Symptoms include shortness of breath, coughing, fatigue, and vague feelings of sickness. When the fibrosis worsens, shortness of breath occurs even at rest. The diagnosis of asbestosis is based on a history of exposure to asbestos, the presence of characteristic radiologic changes, end inspiratory crackles (rales), and other clinical features of fibrosing lung disease. Pleural plaques and thickening are observed on X-rays taken during the early stages of the disease. Asbestosis is often a progressive disease even in the absence of continued exposure, although this appears to be a highly individualized characteristic. In severe cases, death may be caused by respiratory or cardiac failure.
IV. Surveillance and Preventive Considerations
As noted above, exposure to asbestos has been linked to an increased risk of lung cancer, mesothelioma, gastrointestinal cancer, and asbestosis among occupationally exposed workers. Adequate screening tests to determine an employee's potential for developing serious chronic diseases, such as cancer, from exposure to asbestos do not presently exist. However, some tests, particularly chest X-rays and pulmonary function tests, may indicate that an employee has been overexposed to asbestos, thus increasing his or her risk of developing exposure-related chronic disease. It is important for the physician to become familiar with the operating conditions in which occupational exposure to asbestos is likely to occur. This is particularly important in evaluating medical and work histories and in conducting physical examinations. When an active employee has been identified as having been overexposed to asbestos, measures taken by the employer to eliminate or mitigate further exposure should also lower the risk of serious long-term consequences. 
The employer is required to institute a medical surveillance program for all employees who are or will be exposed to asbestos at or above the permissible exposure limit (0.1 fiber per cubic centimeter of air). All examinations and procedures must be performed by or under the supervision of a licensed physician, at a reasonable time and place, and at no cost to the employee.
Although broad latitude is given to the physician in prescribing specific tests to be included in the medical surveillance program, the following elements in the routine examination are required: 
(i) Medical and work histories with special emphasis directed to symptoms of the respiratory system, cardiovascular system, and digestive tract.
(ii) Completion of one of the respiratory disease questionnaires contained in Appendix D: Part 1 for the initial examination and part 2 for periodic examinations. 
(iii) A physical examination including a chest X-ray (at the discretion of the examining physician for construction work) and pulmonary function testing that includes measurement of the employee's forced vital capacity (FVC) and forced expiratory volume at one second (FEV1).
(iv) Any laboratory or other test that the examining physician deems by sound medical practice to be necessary or appropriate.
The employer is required to make the prescribed tests available at least annually to those employees covered; more often than specified if recommended by the examining physician; and upon termination of employment.
The employer is required to provide the physician with the following information: a copy of this standard and appendices; a description of the employee's work assignments as they relate to asbestos exposure; the employee's representative level of exposure to asbestos; a description of any personal protective and respiratory equipment used; and information from previous medical examinations of the affected employee that is not otherwise available to the physician. Making this information available to the physician will aid in the evaluation of the employee's health in relation to assigned duties and fitness to wear personal protective equipment, if required.
The employer is required to obtain a written opinion from the examining physician containing the results of the medical examination; the physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of exposure-related disease; any recommended limitations on the employee or on the use of personal protective equipment; and a statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions related to asbestos exposure that require further explanation or treatment. This written opinion must not reveal specific findings or diagnoses unrelated to exposure to asbestos, and a copy of the opinion must be provided to the affected employee.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix I to section 1529 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix J

Smoking Cessation Program Information
for Asbestos Non-Mandatory
The following organizations provide smoking cessation information.
1. The National Cancer Institute operates a toll free Cancer Information Service (CIS) with trained personnel to help you. Call 1-800-4-CANCER to reach the CIS office serving your area, or write: Office of Cancer Communications, National Cancer Institute, National Institutes of Health, Building 31 Room 10A24, Bethesda, Maryland 20892.
2. American Cancer Society, 3340 Peachtree Road, N.E., Atlanta, Georgia 30026, (404) 320-3333. The American Cancer Society (ACS) is a voluntary organization composed of 58 divisions and 3,100 local units. Through “The Great American Smokeout” in November, the annual Cancer Crusade in April, and numerous educational materials, ACS helps people learn about the health hazards of smoking and become successful ex-smokers.
3. American Heart Association, 7320 Greenville Avenue, Dallas, Texas 75231, (214) 750-5300. The American Heart Association (AHA) is a voluntary organization with 130,000 members (physicians, scientists, and lay persons) in 55 state and regional groups. AHA produces a variety of publications and audiovisual materials about the effects of smoking on the heart. AHA also has developed a guidebook for incorporating a weight-control component into smoking cessation programs.
4. American Lung Association, 1740 Broadway, New York, New York 10019, (212) 245-8000. A voluntary organization of 7,500 members (physicians, nurses, and lay persons), the American Lung Association (ALA) conducts numerous public information programs about the health effects of smoking. ALA has 59 state and 85 local units. The organization actively supports legislation and information campaigns for non-smokers' rights and provides help for smokers who want to quit, for example, through ”Freedom From Smoking,” a self-help smoking cessation program.
5. Office on Smoking and Health, U.S. Department of Health and Human Services, 5600 Fishers Lane, Park Building, Room 110, Rockville, Maryland 20857. The Office on Smoking and Health (OSH) is the Department of Health and Human Services' lead agency in smoking control. OSH has sponsored distribution of publications on smoking-related topics, such as free flyers on relapse after initial quitting, helping a friend or family member quit smoking, the health hazards of smoking, and the effects of parental smoking on teenagers. In Hawaii, on Oahu call 524-1234 (call collect from neighboring islands), Spanish-speaking staff members are available during daytime hours to callers from the following areas: California, Florida, Georgia, Illinois, New Jersey (area code 201), New York, and Texas. Consult your local telephone directory for listings of local chapters.
NOTE

Authority cited: Section 142.3. Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix J to section 1529 filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix K

Polarized Light Microscopy of Asbestos 

Non-Mandatory

Method number: ID-191 
Matrix: Bulk
Collection Procedure: Collect approximately 1 to 2 grams of each type of material and place into separate 20 mL scintillation vials. Analytical Procedure: A portion of each separate phase is analyzed by gross examination, phase-polar examination, and central stop dispersion microscopy.
Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources may be substituted.

1. Introduction
This method describes the collection and analysis of asbestos bulk materials by light microscopy techniques including phase-polar illumination and central-stop dispersion microscopy. Some terms unique to asbestos analysis are defined below:
Amphibole: A family of minerals whose crystals are formed by long, thin units which have two thin ribbons of double chain silicate with a brucite ribbon in between. The shape of each unit is similar to an “I beam”. Minerals important in asbestos analysis include cummingtonite-grunerite, crocidolite, tremolite-actinolite and anthophyllite.
Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, cummingtonite-grunerite asbestos (amosite), anthophyllite asbestos, tremolite asbestos, crocidolite, actinolite asbestos and any of these minerals which have been chemically treated or altered. The precise chemical formulation of each species varies with the location from which it was mined. Nominal compositions are listed:

Chrysotile Mg3Si2O5(OH)4 
Crocidolite (Riebeckite asbestos) Na2Fe32Fe23Si8O22(OH)2 
Cummingtonite-Grunerite asbestos (Amosite) (Mg,Fe)7Si8O22(OH)2
Tremolite-Actinolite asbestos Ca2(Mg,Fe)5Si8O22(OH)2 
Anthophyllite asbestos (Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos meeting the criteria for a fiber. (See section 3.5. of this Appendix)
Aspect Ratio: The ratio of the length of a fiber to its diameter usually defined as “length : width”, e.g. 3:1.
Brucite: A sheet mineral with the composition Mg(OH)(2).
Central Stop Dispersion Staining (microscope): This is a dark field microscope technique that images particles using only light refracted by the particle, excluding light that travels through the particle unrefracted. This is usually accomplished with a McCrone objective or other arrangement which places a circular stop with apparent aperture equal to the objective aperture in the back focal plane of the microscope.
Cleavage Fragments: Mineral particles formed by the comminution of minerals, especially those characterized by relatively parallel sides and moderate aspect ratio.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from a phase contrast asbestos count because they are not asbestos.
Fiber: A particle longer than or equal to 5 mm with a length to width ratio greater than or equal to 3:1. This may include cleavage fragments. (see section 3.5 of this appendix).
Phase Contrast: Contrast obtained in the microscope by causing light scattered by small particles to destructively interfere with unscattered light, thereby enhancing the visibility of very small particles and particles with very low intrinsic contrast.
Phase Contrast Microscope: A microscope configured with a phase mask pair to create phase contrast. The technique which uses this is called Phase Contrast Microscopy (PCM).
Phase-Polar Analysis: This is the use of polarized light in a phase contrast microscope. It is used to see the same size fibers that are visible in air filter analysis. Although fibers finer than 1 mm are visible, analysis of these is inferred from analysis of larger bundles that are usually present.
Phase-Polar Microscope: The phase-polar microscope is a phase contrast microscope which has an analyzer, a polarizer, a first order red plate and a rotating phase condenser all in place so that the polarized light image is enhanced by phase contrast.
Sealing Encapsulant: This is a product which can be applied, preferably by spraying, onto an asbestos surface which will seal the surface so that fibers cannot be released.
Serpentine: A mineral family consisting of minerals with the general composition Mg(3)(Si(2)O(5)(OH)(4) having the magnesium in brucite layer over a silicate layer. Minerals important in asbestos analysis included in this family are chrysotile, lizardite, antigorite.

1.1. History
Light microscopy has been used for well over 100 years for the determination of mineral species. This analysis is carried out using specialized polarizing microscopes as well as bright field microscopes. The identification of minerals is an on-going process with many new minerals described each year. The first recorded use of asbestos was in Finland about 2500 B.C. where the material was used in the mud wattle for the wooden huts the people lived in as well as strengthening for pottery. Adverse health aspects of the mineral were noted nearly 2000 years ago when Pliny the Younger wrote about the poor health of slaves in the asbestos mines. Although known to be injurious for centuries, the first modern references to its toxicity were by the British Labor Inspectorate when it banned asbestos dust from the workplace in 1898. Asbestosis cases were described in the literature after the turn of the century. Cancer was first suspected in the mid 1930's and a causal link to mesothelioma was made in 1965. Because of the public concern for worker and public safety with the use of this material, several different types of analysis were applied to the determination of asbestos content. Light microscopy requires a great deal of experience and craft. Attempts were made to apply less subjective methods to the analysis. X-ray diffraction was partially successful in determining the mineral types but was unable to separate out the fibrous portions from the non-fibrous portions. Also, the minimum detection limit for asbestos analysis by X-ray diffraction (XRD) is about 1%. Differential Thermal Analysis (DTA) was no more successful. These provide useful corroborating information when the presence of asbestos has been shown by microscopy; however, neither can determine the difference between fibrous and non-fibrous minerals when both habits are present. The same is true of Infrared Absorption (IR).
When electron microscopy was applied to asbestos analysis, hundreds of fibers were discovered present too small to be visible in any light microscope. There are two different types of electron microscope used for asbestos analysis: Scanning Electron Microscope (SEM) and Transmission Electron Microscope (TEM). Scanning Electron Microscopy is useful in identifying minerals. The SEM can provide two of the three pieces of information required to identify fibers by electron microscopy: morphology and chemistry. The third is structure as determined by Selected Area Electron Diffraction -- SAED which is performed in the TEM. Although the resolution of the SEM is sufficient for very fine fibers to be seen, accuracy of chemical analysis that can be performed on the fibers varies with fiber diameter in fibers of less than 0.2 mm diameter. The TEM is a powerful tool to identify fibers too small to be resolved by light microscopy and should be used in conjunction with this method when necessary. The TEM can provide all three pieces of information required for fiber identification. Most fibers thicker than 1 mm can adequately be defined in the light microscope. The light microscope remains as the best instrument for the determination of mineral type. This is because the minerals under investigation were first described analytically with the light microscope. It is inexpensive and gives positive identification for most samples analyzed. Further, when optical techniques are inadequate, there is ample indication that alternative techniques should be used for complete identification of the sample.

1.2. Principle
Minerals consist of atoms that may be arranged in random order or in a regular arrangement. Amorphous materials have atoms in random order while crystalline materials have long range order. Many materials are transparent to light, at least for small particles or for thin sections. The properties of these materials can be investigated by the effect that the material has on light passing through it. The six asbestos minerals are all crystalline with particular properties that have been identified and cataloged. These six minerals are anisotropic. They have a regular array of atoms, but the arrangement is not the same in all directions. Each major direction of the crystal presents a different regularity. Light photons travelling in each of these main directions will encounter different electrical neighborhoods, affecting the path and time of travel. The techniques outlined in this method use the fact that light traveling through fibers or crystals in different directions will behave differently, but predictably. The behavior of the light as it travels through a crystal can be measured and compared with known or determined values to identify the mineral species. Usually, Polarized Light Microscopy (PLM is performed with strain-free objectives on a bright-field microscope platform. This would limit the resolution of the microscope to about 0.4 mm. Because OSHA requires the counting and identification of fibers visible in phase contrast, the phase contrast platform is used to visualize the fibers with the polarizing elements added into the light path. Polarized light methods cannot identify fibers finer than about 1 mm in diameter even though they are visible. The finest fibers are usually identified by inference from the presence of larger, identifiable fiber bundles. When fibers are present, but not identifiable by light microscopy, use either SEM or TEM to determine the fiber identity.

1.3. Advantages and Disadvantages
The advantages of light microcopy are:
(a) Basic identification of the materials was first performed by light microscopy and gross analysis. This provides a large base of published information against which to check analysis and analytical technique.
(b) The analysis is specific to fibers. The minerals present can exist in asbestiform, fibrous, prismatic, or massive varieties all at the same time. Therefore, bulk methods of analysis such as X-ray diffraction, IR analysis, DTA, etc. are inappropriate where the material is not known to be fibrous.
(c) The analysis is quick, requires little preparation time, and can be performed on-site if a suitably equipped microscope is available.
The disadvantages are:
(a) Even using phase-polar illumination, not all the fibers present may be seen. This is a problem for very low asbestos concentrations where agglomerations or large bundles of fibers may not be present to allow identification by inference.
(b) The method requires a great degree of sophistication on the part of the microscopist. An analyst is only as useful as his mental catalog of images. Therefore, a microscopist's accuracy is enhanced by experience. The mineralogical training of the analyst is very important. It is the basis on which subjective decisions are made.
(c) The method uses only a tiny amount of material for analysis. This may lead to sampling bias and false results (high or low). This is especially true if the sample is severely inhomogeneous.
(d) Fibers may be bound in a matrix and not distinguishable as fibers so identification cannot be made.

1.4. Method Performance
1.4.1. This method can be used for determination of asbestos content from 0 to 100% asbestos. The detection limit has not been adequately determined, although for selected samples, the limit is very low, depending on the number of particles examined. For mostly homogeneous, finely divided samples, with no difficult fibrous interferences, the detection limit is below 1%. For inhomogeneous samples (most samples), the detection limit remains undefined. NIST has conducted proficiency testing of laboratories on a national scale. Although each round is reported statistically with an average, control limits, etc., the results indicate a difficulty in establishing precision especially in the low concentration range. It is suspected that there is significant bias in the low range especially near 1%. EPA tried to remedy this by requiring a mandatory point counting scheme for samples less than 10%. The point counting procedure is tedious, and may introduce significant biases of its own. It has not been incorporated into this method.
1.4.2. The precision and accuracy of the quantitation tests performed in this method are unknown. Concentrations are easier to determine in commercial products where asbestos was deliberately added because the amount is usually more than a few percent. An analyst's results can be “calibrated” against the known amounts added by the manufacturer. For geological samples, the degree of homogeneity affects the precision.
1.4.3. The performance of the method is analyst dependent. The analyst must choose carefully and not necessarily randomly the portions for analysis to assure that detection of asbestos occurs when it is present. For this reason, the analyst must have adequate training in sample preparation, and experience in the location and identification of asbestos in samples. This is usually accomplished through substantial on-the-job training as well as formal education in mineralogy and microscopy.

1.5. Interferences
Any material which is long, thin, and small enough to be viewed under the microscope can be considered an interference for asbestos. There are literally hundreds of interferences in workplaces. The techniques described in this method are normally sufficient to eliminate the interferences. An analyst's success in eliminating the interferences depends on proper training.
Asbestos minerals belong to two mineral families: the serpentines and the amphiboles. In the serpentine family, the only common fibrous mineral is chrysotile. Occasionally, the mineral antigorite occurs in a fibril habit with morphology similar to the amphiboles. The amphibole minerals consist of a score of different minerals of which only five are regulated by federal standard: amosite, crocidolite, anthophyllite asbestos, tremolite asbestos and actinolite asbestos. These are the only amphibole minerals that have been commercially exploited for their fibrous properties; however, the rest can and do occur occasionally in asbestiform habit.
In addition to the related mineral interferences, other minerals common in building material may present a problem for some microscopists: gypsum, anhydrite, brucite, quartz fibers, talc fibers or ribbons, wollastonite, perlite, attapulgite, etc. Other fibrous materials commonly present in workplaces are: fiberglass, mineral wool, ceramic wool, refractory ceramic fibers, kevlar, nomex, synthetic fibers, graphite or carbon fibers, cellulose (paper or wood) fibers, metal fibers, etc.
Matrix embedding material can sometimes be a negative interference. The analyst may not be able to easily extract the fibers from the matrix in order to use the method. Where possible, remove the matrix before the analysis, taking careful note of the loss of weight. Some common matrix materials are: vinyl, rubber, tar, paint, plant fiber, cement, and epoxy. A further negative interference is that the asbestos fibers themselves may be either too small to be seen in Phase contrast Microscopy (PCM) or of a very low fibrous quality, having the appearance of plant fibers. The analyst's ability to deal with these materials increases with experience.

1.6. Uses and Occupational Exposure
Asbestos is ubiquitous in the environment. More than 40% of the land area of the United States is composed of minerals which may contain asbestos. Fortunately, the actual formation of great amounts of asbestos is relatively rare. Nonetheless, there are locations in which environmental exposure can be severe such as in the Serpentine Hills of California.
There are thousands of uses for asbestos in industry and the home. Asbestos abatement workers are the most current segment of the population to have occupational exposure to great amounts of asbestos. If the material is undisturbed, there is no exposure. Exposure occurs when the asbestos-containing material is abraded or otherwise disturbed during maintenance operations or some other activity. Approximately 95% of the asbestos in place in the United States is chrysotile.
Amosite and crocidolite make up nearly all the difference. Tremolite and anthophyllite make up a very small percentage. Tremolite is found in extremely small amounts in certain chrysotile deposits. Actinolite exposure is probably greatest from environmental sources, but has been identified in vermiculite containing, sprayed-on insulating materials which may have been certified as asbestos-free.

1.7. Physical and Chemical Properties
The nominal chemical compositions for the asbestos minerals were given in Section 1. Compared to cleavage fragments of the same minerals, asbestiform fibers possess a high tensile strength along the fiber axis. They are chemically inert, noncombustible, and heat resistant. Except for chrysotile, they are insoluble in Hydrochloric acid (HCl). Chrysotile is slightly soluble in HCl. Asbestos has high electrical resistance and good sound absorbing characteristics. It can be woven into cables, fabrics or other textiles, or matted into papers, felts, and mats.

1.8. Toxicology (This Section is for Information Only and Should Not Be Taken as OSHA Policy)
Possible physiologic results of respiratory exposure to asbestos are mesothelioma of the pleura or peritoneum, interstitial fibrosis, asbestosis, pneumoconiosis, or respiratory cancer. The possible consequences of asbestos exposure are detailed in the NIOSH Criteria Document or in the OSHA Asbestos Standards 29 CFR 1910.1001, 29 CFR 1926.1101, and 29 CFR 1915.1001.

2. Sampling Procedure
2.1. Equipment for sampling
(a) Tube or cork borer sampling device
(b) Knife
(c) 20 mL scintillation vial or similar vial
(d) Sealing encapsulant

2.2. Safety Precautions
Asbestos is a known carcinogen. Take care when sampling. While in an asbestos-containing atmosphere, a properly selected and fit-tested respirator should be worn. Take samples in a manner to cause the least amount of dust. Follow these general guidelines:
(a) Do not make unnecessary dust.
(b) Take only a small amount (1 to 2 g).
(c) Tightly close the sample container.
(d) Use encapsulant to seal the spot where the sample was taken, if necessary.

2.3. Sampling Procedure
Samples of any suspect material should be taken from an inconspicuous place. Where the material is to remain, seal the sampling wound with an encapsulant to eliminate the potential for exposure from the sample site. Microscopy requires only a few milligrams of material. The amount that will fill a 20 mL scintillation vial is more than adequate. Be sure to collect samples from all layers and phases of material. If possible, make separate samples of each different phase of the material. This will aid in determining the actual hazard. DO NOT USE ENVELOPES, PLASTIC OR PAPER BAGS OF ANY KIND TO COLLECT SAMPLES. The use of plastic bags presents a contamination hazard to laboratory personnel and to other samples. When these containers are opened, a bellows effect blows fibers out of the container onto everything, including the person opening the container.
If a cork-borer type sampler is available, push the tube through the material all the way, so that all layers of material are sampled. Some samplers are intended to be disposable. These should be capped and sent to the laboratory. If a non-disposable cork borer is used, empty the contents into a scintillation vial and send to the laboratory. Vigorously and completely clean the cork borer between samples.

2.4. Shipment
Samples packed in glass vials must not touch or they might break in shipment.
(a) Seal the samples with a sample seal over the end to guard against tampering and to identify the sample.
(b) Package the bulk samples in separate packages from the air samples. They may cross-contaminate each other and will invalidate the results of the air samples.
(c) Include identifying paperwork with the samples, but not in contact with the suspected asbestos.
(d) To maintain sample accountability, ship the samples by certified mail, overnight express, or hand carry them to the laboratory.

3. Analysis
The analysis of asbestos samples can be divided into two major parts: sample preparation and microscopy. Because of the different asbestos uses that may be encountered by the analyst, each sample may need different preparation steps. The choices are outlined below. There are several different tests that are performed to identify the asbestos species and determine the percentage. They will be explained below.

3.1. Safety
(a) Do not create unnecessary dust. Handle the samples in HEPA- filter equipped hoods. If samples are received in bags, envelopes or other inappropriate container, open them only in a hood having a face velocity at or greater than 100 fpm. Transfer a small amount to a scintillation vial and only handle the smaller amount.
(b) Open samples in a hood, never in the open lab area.
(c) Index of refraction oils can be toxic. Take care not to get this material on the skin. Wash immediately with soap and water if this happens.
(d) Samples that have been heated in the muffle furnace or the drying oven may be hot. Handle them with tongs until they are cool enough to handle.
(e) Some of the solvents used, such as THF (tetrahydrofuran), are toxic and should only be handled in an appropriate fume hood and according to instructions given in the Material Safety Data Sheet (MSDS).

3.2. Equipment
(a) Phase contrast microscope with 10x, 16x and 40x objectives, 10x wide-field eyepieces, G-22 Walton-Beckett graticule, Whipple disk, polarizer, analyzer and first order red or gypsum plate, 100 Watt illuminator, rotating position condenser with oversize phase rings, central stop dispersion objective, Kohler illumination and a rotating mechanical stage. (see Figure 1. of this appendix)
(b) Stereo microscope with reflected light illumination, transmitted light illumination, polarizer, analyzer and first order red or gypsum plate, and rotating stage.
(c) Negative pressure hood for the stereo microscope
(d) Muffle furnace capable of 600 deg.C
(e) Drying oven capable of 50 -- 150 deg.C
(f) Aluminum specimen pans
(g) Tongs for handling samples in the furnace
(h) High dispersion index of refraction oils (Special for dispersion staining.)

	n = 1.550 
	n = 1.585 
	n = 1.590 
	n = 1.605 
	n = 1.620 
	n = 1.670 
	n = 1.680 
	n = 1.690
(i) A set of index of refraction oils from about n=1.350 to n=2.000 in n=0.005 increments. (Standard for Becke line analysis.) 
(j) Glass slides with painted or frosted ends 1x3 inches 1mm thick, precleaned.
(k) Cover Slips 22x22 mm, #1 1/2
(l) Paper clips or dissection needles
(m) Hand grinder
(n) Scalpel with both #10 and #11 blades
(o) 0.1 molar HCl
(p) Decalcifying solution (Baxter Scientific Products) 
Ethylenediaminetetraacetic Acid, Tetrasodium 0.7 g/l 
Sodium Potassium Tartrate 8.0 mg/liter 
Hydrochloric Acid 99.2 g/liter 
Sodium Tartrate 0.14 g/liter 
(q) Tetrahydrofuran (THF)
(r) Hotplate capable of 60 deg.C
(s) Balance
(t) Hacksaw blade
(u) Ruby mortar and pestle

3.3. Sample Pre-Preparation
Sample preparation begins with pre-preparation which may include chemical reduction of the matrix, heating the sample to dryness or heating in the muffle furnace. The end result is a sample which has been reduced to a powder that is sufficiently fine to fit under the cover slip. Analyze different phases of samples separately, e.g., tile and the tile mastic should be analyzed separately as the mastic may contain asbestos while the tile may not.
(a) Wet Samples
Samples with a high water content will not give the proper dispersion colors and must be dried prior to sample mounting. Remove the lid of the scintillation vial, place the bottle in the drying oven and heat at 100 deg.C to dryness (usually about 2h). Samples which arenotsubmittedtothelab in glass must be removed and placed in glass vials or aluminum weighing pans before placing them in the drying oven.
(b) Samples With Organic Interference -- Muffle Furnace 
These may include samples with tar as a matrix, vinyl asbestos tile, or any other organic that can be reduced by heating. Remove the sample from the vial and weigh in a balance to determine the weight of the submitted portion. Place the sample in a muffle furnace at 500 deg.C for 1 to 2 h or until all obvious organic material has been removed. Retrieve, cool and weigh again to determine the weight loss on ignition. This is necessary to determine the asbestos content of the submitted sample, because the analyst will be looking at a reduced sample.

Note: Heating above 600 deg.C will cause the sample to undergo a structural change which, given sufficient time, will convert the chrysotile to forsterite. Heating even at lower temperatures for 1 to 2 h may have a measurable effect on the optical properties of the minerals. If the analyst is unsure of what to expect, a sample of standard asbestos should be heated to the same temperature for the same length of time so that it can be examined for the proper interpretation.
(c) Samples With Organic Interference -- THF
Vinyl asbestos tile is the most common material treated with this solvent, although, substances containing tar will sometimes yield to this treatment. Select a portion of the material and then grind it up if possible. Weigh the sample and place it in a test tube. Add sufficient THF to dissolve the organic matrix. This is usually about 4 to 5 mL. Remember, THF is highly flammable. Filter the remaining material through a tared silver membrane, dry and weigh to determine how much is left after the solvent extraction. Further process the sample to remove carbonate or mount directly.
(d) Samples With Carbonate Interference
Carbonate material is often found on fibers and sometimes must be removed in order to perform dispersion microscopy. Weigh out a portion of the material and place it in a test tube. Add a sufficient amount of 0.1 M HCl or decalcifying solution in the tube to react all the carbonate as evidenced by gas formation; i.e., when the gas bubbles stop, add a little more solution. If no more gas forms, the reaction is complete. Filter the material out through a tared silver membrane, dry and weigh to determine the weight lost.

3.4. Sample Preparation
Samples must be prepared so that accurate determination can be made of the asbestos type and amount present. The following steps are carried out in the low-flow hood (a low-flow hood has less than 50 fpm flow):
(1) If the sample has large lumps, is hard, or cannot be made to lie under a cover slip, the grain size must be reduced. Place a small amount between two slides and grind the material between them or grind a small amount in a clean mortar and pestle. The choice of whether to use an alumina, ruby, or diamond mortar depends on the hardness of the material. Impact damage can alter the asbestos mineral if too much mechanical shock occurs. (Freezer mills can completely destroy the observable crystallinity of asbestos and should not be used). For some samples, a portion of material can be shaved off with a scalpel, ground off with a hand grinder or hack saw blade.
The preparation tools should either be disposable or cleaned thoroughly. Use vigorous scrubbing to loosen the fibers during the washing. Rinse the implements with copious amounts of water and air-dry in a dust-free environment.
(2) If the sample is powder or has been reduced as in (1) above, it is ready to mount. Place a glass slide on a piece of optical tissue and write the identification on the painted or frosted end. Place two drops of index of refraction medium n=1.550 on the slide. (The medium n=1.550 is chosen because it is the matching index for chrysotile. Dip the end of a clean paper-clip or dissecting needle into the droplet of refraction medium on the slide to moisten it. Then dip the probe into the powder sample. Transfer what sticks on the probe to the slide. The material on the end of the probe should have a diameter of about 3 mm for a good mount. If the material is very fine, less sample may be appropriate. For non-powder samples such as fiber mats, forceps should be used to transfer a small amount of material to the slide. Stir the material in the medium on the slide, spreading it out and making the preparation as uniform as possible. Place a cover-slip on the preparation by gently lowering onto the slide and allowing it to fall “trapdoor” fashion on the preparation to push out any bubbles. Press gently on the cover slip to even out the distribution of particulate on the slide. If there is insufficient mounting oil on the slide, one or two drops may be placed near the edge of the coverslip on the slide. Capillary action will draw the necessary amount of liquid into the preparation. Remove excess oil with the point of a laboratory wiper.
Treat at least two different areas of each phase in this fashion. Choose representative areas of the sample. It my be useful to select particular areas or fibers for analysis. This is useful to identify asbestos in severely inhomogeneous samples.
When it is determined that amphiboles may be present, repeat the above process using the appropriate high-dispersion oils until an identification is made or all six asbestos minerals have been ruled out. Note that percent determination must be done in the index medium 1.550 because amphiboles tend to disappear in their matching mediums.

3.5. Analytical procedure

Note: This method presumes some knowledge of mineralogy and optical petrography.
The analysis consists of three parts: The determination of whether there is asbestos present, what type is present and the determination of how much is present. The general flow of the analysis is:
(1) Gross examination.
(2) Examination under polarized light on the stereo microscope.
(3) Examination by phase-polar illumination on the compound phase microscope.
(4) Determination of species by dispersion stain. Examination by Becke line analysis may also be used; however, this is usually more cumbersome for asbestos determination.
(5) Difficult samples may need to be analyzed by SEM or TEM, or the results from those techniques combined with light microscopy for a definitive identification.
Identification of a particle as asbestos requires that it be asbestiform. Description of particles should follow the suggestion of Campbell. (Figure 1 of this appendix)

View Graphic

Figure 1. Particle definitions showing mineral growth habits. 
From the U.S. Bureau of Mines
For the purpose of regulation, the mineral must be one of the six minerals covered and must be in the asbestos growth habit. Large specimen samples of asbestos generally have the gross appearance of wood. Fibers are easily parted from it. Asbestos fibers are very long compared with their widths. The fibers have a very high tensile strength as demonstrated by bending without breaking. Asbestos fibers exist in bundles that are easily parted, show longitudinal fine structure and may be tufted at the ends showing “bundle of sticks” morphology. In the microscope some of these properties may not be observable. Amphiboles do not always show striations along their length even when they are asbestos. Neither will they always show tufting. They generally do not show a curved nature except for very long fibers. Asbestos and asbestiform minerals are usually characterized in groups by extremely high aspect ratios (greater than 100:1). While aspect ratio analysis is useful for characterizing populations of fibers, it cannot be used to identify individual fibers of intermediate to short aspect ratio. Observation of many fibers is often necessary to determine whether a sample consists of “cleavage fragments” or of asbestos fibers.
Most cleavage fragments of the asbestos minerals are easily distinguishable from true asbestos fibers. This is because true cleavage fragments usually have larger diameters than 1 mm. Internal structure of particles larger than this usually shows them to have no internal fibrillar structure. In addition, cleavage fragments of the monoclinic amphiboles show inclined extinction under crossed polars with no compensator. Asbestos fibers usually show extinction at zero degrees or ambiguous extinction if any at all. Morphologically, the larger cleavage fragments are obvious by their blunt or stepped ends showing prismatic habit. Also, they tend to be circular rather than filiform.
Where the particles are less than 1 mm in diameter and have an aspect ratio greater than or equal to 3:1, it is recommended that the sample be analyzed by SEM or TEM if there is any question whether the fibers are cleavage fragments or asbestiform particles. Care must be taken when analyzing by electron microscopy because the interferences are different from those in light microscopy and may structurally be very similar to asbestos. The classic interference is between anthophyllite and biopyribole or intermediate fiber. Use the same morphological clues for electron microscopy as are used for light microscopy, e.g. fibril splitting, internal longitudinal striation, fraying, curvature, etc.
(1) Gross examination:
Examine the sample, preferably in the glass vial. Determine the presence of any obvious fibrous component. Estimate a percentage based on previous experience and current observation. Determine whether any prepreparation is necessary. Determine the number of phases present. This step may be carried out or augmented by observation at 6 to 40 x under a stereo microscope.
(2) After performing any necessary pre-preparation, prepare slides of each phase as described above. Two preparations of the same phase in the same index medium can be made side-by-side on the same glass for convenience. Examine with the polarizing stereo microscope. Estimate the percentage of asbestos based on the amount of birefringent fiber present.
(3) Examine the slides on the phase-polar microscopes at magnifications of 160 and 400x. Note the morphology of the fibers. Long, thin, very straight fibers with little curvature are indicative of fibers from the amphibole family. Curved, wavy fibers are usually indicative of chrysotile. Estimate the percentage of asbestos on the phase-polar microscope under conditions of crossed polars and a gypsum plate. Fibers smaller than 1.0 mm in thickness must be identified by inference to the presence of larger, identifiable fibers and morphology. If no larger fibers are visible, electron microscopy should be performed. At this point, only a tentative identification can be made. Full identification must be made with dispersion microscopy. Details of the tests are included in the appendices.
(4) Once fibers have been determined to be present, they must be identified. Adjust the microscope for dispersion mode and observe the fibers. The microscope has a rotating stage, one polarizing element, and a system for generating dark-field dispersion microscopy (see Section 4.6. of this appendix). Align a fiber with its length parallel to the polarizer and note the color of the Becke lines. Rotate the stage to bring the fiber length perpendicular to the polarizer and note the color. Repeat this process for every fiber or fiber bundle examined. The colors must be consistent with the colors generated by standard asbestos reference materials for a positive identification. In n=1.550, amphiboles will generally show a yellow to straw-yellow color indicating that the fiber indices of refraction are higher than the liquid. If long, thin fibers are noted and the colors are yellow, prepare further slides as above in the suggested matching liquids listed below:

	Type of asbestos	 Index of refraction

Chrysotile		n = 1.550. 
Amosite		n = 1.670 or 1.680. 
Crocidolite		n = 1.690. 
Anthophyllite		n = 1.605 and 1.620. 
Tremolite		n = 1.605 and 1.620. 
Actinolite		n = 1.620.

Where more than one liquid is suggested, the first is preferred; however, in some cases this liquid will not give good dispersion color. Take care to avoid interferences in the other liquid; e.g., wollastonite in n=1.620 will give the same colors as tremolite. In n=1.605 wollastonite will appear yellow in all directions. Wollastonite may be determined under crossed polars as it will change from blue to yellow as it is rotated along its fiber axis by tapping on the cover slip. Asbestos minerals will not change in this way.
Determination of the angle of extinction may, when present, aid in the determination of anthophyllite from tremolite. True asbestos fibers usually have 0 deg. extinction or ambiguous extinction, while cleavage fragments have more definite extinction.
Continue analysis until both preparations have been examined and all present species of asbestos are identified. If there are no fibers present, or there is less than 0.1% present, end the analysis with the minimum number of slides (2).
(5) Some fibers have a coating on them which makes dispersion microscopy very difficult or impossible. Becke line analysis or electron microscopy may be performed in those cases. Determine the percentage by light microscopy. TEM analysis tends to overestimate the actual percentage present.
(6) Percentage determination is an estimate of occluded area, tempered by gross observation. Gross observation information is used to make sure that the high magnification microscopy does not greatly over-or under-estimate the amount of fiber present. This part of the analysis requires a great deal of experience. Satisfactory models for asbestos content analysis have not yet been developed, although some models based on metallurgical grain-size determination have found some utility. Estimation is more easily handled in situations where the grain sizes visible at about 160x are about the same and the sample is relatively homogeneous.
View all of the area under the cover slip to make the percentage determination. View the fields while moving the stage, paying attention to the clumps of material. These are not usually the best areas to perform dispersion microscopy because of the interference from other materials. But, they are the areas most likely to represent the accurate percentage in the sample. Small amounts of asbestos require slower scanning and more frequent analysis of individual fields.
Report the area occluded by asbestos as the concentration. This estimate does not generally take into consideration the difference in density of the different species present in the sample. For most samples this is adequate. Simulation studies with similar materials must be carried out to apply microvisual estimation for that purpose and is beyond the scope of this procedure.
(7) Where successive concentrations have been made by chemical or physical means, the amount reported is the percentage of the material in the “as submitted” or original state. The percentage determined by microscopy is multiplied by the fractions remaining after pre-preparation steps to give the percentage in the original sample. For example:
Step 1. 60% remains after heating at 550 deg.C for 1 h.
Step 2. 30% of the residue of step 1 remains after dissolution of carbonate in 0.1 m HCl.
Step 3. Microvisual estimation determines that 5% of the sample is chrysotile asbestos.
The reported result is:

R = (Microvisual result in percent) x (Fraction remaining after step 2) 
 x (Fraction remaining of original sample after step 1)

R = (5) x (.30) x (.60) = 0.9%
(8) Report the percent and type of asbestos present. For samples where asbestos was identified, but is less than 1.0%, report “Asbestos present, less than 1.0%.” There must have been at least two observed fibers or fiber bundles in the two preparations to be reported as present. For samples where asbestos was not seen, report as “None Detected.”

Auxiliary Information
Because of the subjective nature of asbestos analysis, certain concepts and procedures need to be discussed in more depth. This information will help the analyst understand why some of the procedures are carried out the way they are.

4. 1. Light
Light is electromagnetic energy. It travels from its source in packets called quanta. It is instructive to consider light as a plane wave. The light has a direction of travel. Perpendicular to this and mutually perpendicular to each other, are two vector components. One is the magnetic vector and the other is the electric vector. We shall only be concerned with the electric vector. In this description, the interaction of the vector and the mineral will describe all the observable phenomena. From a light source such a microscope illuminator, light travels in all different direction from the filament.
In any given direction away from the filament, the electric vector is perpendicular to the direction of travel of a light ray. While perpendicular, its orientation is random about the travel axis. If the electric vectors from all the light rays were lined up by passing the light through a filter that would only let light rays with electric vectors oriented in one direction pass, the light would then be POLARIZED.
Polarized light interacts with matter in the direction of the electric vector. This is the polarization direction. Using this property it is possible to use polarized light to probe different materials and identify them by how they interact with light.
The speed of light in a vacuum is a constant at about 2.99 x 10(8) m/s. When light travels in different materials such as air, water, minerals or oil, it does not travel at this speed. It travels slower. This slowing is a function of both the material through which the light is traveling and the wavelength or frequency of the light. In general, the more dense the material, the slower the light travels. Also, generally, the higher the frequency, the slower the light will travel. The ratio of the speed of light in a vacuum to that in a material is called the index of refraction (n). It is usually measured at 589 nm (the sodium D line). If white light (light containing all the visible wavelengths) travels through a material, rays of longer wavelengths will travel faster than those of shorter wavelengths, this separation is called dispersion. Dispersion is used as an identifier of materials as described in Section 4.6.

4.2. Material Properties
Materials are either amorphous or crystalline. The difference between these two descriptions depends on the positions of the atoms in them. The atoms in amorphous materials are randomly arranged with no long range order. An example of an amorphous material is glass. The atoms in crystalline materials, on the other hand, are in regular arrays and have long range order. Most of the atoms can be found in highly predictable locations. Examples of crystalline material are salt, gold, and the asbestos minerals. 
It is beyond the scope of this method to describe the different types of crystalline materials that can be found, or the full description of the classes into which they can fall. However, some general crystallography is provided below to give a foundation to the procedures described.
With the exception of anthophyllite, all the asbestos minerals belong to the monoclinic crystal type. The unit cell is the basic repeating unit of the crystal and for monoclinic crystals can be described as having three unequal sides, two 90 deg. angles and one angle not equal to 90 deg.. The orthorhombic group, of which anthophyllite is a member has three unequal sides and three 90 deg. angles. The unequal sides are a consequence of the complexity of fitting the different atoms into the unit cell. Although the atoms are in a regular array, that array is not symmetrical in all directions. There is long range order in the three major directions of the crystal. However, the order is different in each of the three directions. This has the effect that the index of refraction is different in each of the three directions. Using polarized light, we can investigate the index of refraction in each of the directions and identify the mineral or material under investigation. The indices alpha, beta, and gamma are used to identify the lowest, middle, and highest index of refraction respectively. The x direction, associated with alpha is called the fast axis. Conversely, the z direction is associated with gamma and is the slow direction. Crocidolite has alpha along the fiber length making it “length-fast”. The remainder of the asbestos minerals have the gamma axis along the fiber length. They are called “length-slow”. This orientation to fiber length is used to aid in the identification of asbestos.

4.3. Polarized Light Technique
Polarized light microscopy as described in this section uses the phase-polar microscope described in Section 3.2. A phase contrast microscope is fitted with two polarizing elements, one below and one above the sample. The polarizers have their polarization directions at right angles to each other.
Depending on the tests performed, there may be a compensator between these two polarizing elements. A compensator is a piece of mineral with known properties that “compensates” for some deficiency in the optical train. Light emerging from a polarizing element has its electric vector pointing in the polarization direction of the element. The light will not be subsequently transmitted through a second element set at a right angle to the first element. Unless the light is altered as it passes from one element to the other, there is no transmission of light.

4.4. Angle of Extinction
Crystals which have different crystal regularity in two or three main directions are said to be anisotropic. They have a different index of refraction in each of the main directions. When such a crystal is inserted between the crossed polars, the field of view is no longer dark but shows the crystal in color. The color depends on the properties of the crystal. The light acts as if it travels through the crystal along the optical axes. If a crystal optical axis were lined up along one of the polarizing directions (either the polarizer or the analyzer) the light would appear to travel only in that direction, and it would blink out or go dark. The difference in degrees between the fiber direction and the angle at which it blinks out is called the angle of extinction. When this angle can be measured, it is useful in identifying the mineral. The procedure for measuring the angle of extinction is to first identify the polarization direction in the microscope. A commercial alignment slide can be used to establish the polarization directions or use anthophyllite or another suitable mineral. This mineral has a zero degree angle of extinction and will go dark to extinction as it aligns with the polarization directions. When a fiber of anthophyllite has gone to extinction, align the eyepiece reticle or graticule with the fiber so that there is a visual cue as to the direction of polarization in the field of view. Tape or otherwise secure the eyepiece in this position so it will not shift.
After the polarization direction has been identified in the field of view, move the particle of interest to the center of the field of view and align it with the polarization direction. For fibers, align the fiber along this direction. Note the angular reading of the rotating stage. Looking at the particle, rotate the stage until the fiber goes dark or “blinks out”. Again note the reading of the stage. The difference in the first reading and the second is an angle of extinction.
The angle measured may vary as the orientation of the fiber changes about its long axis. Tables of mineralogical data usually report the maximum angle of extinction. Asbestos forming minerals, when they exhibit an angle of extinction, usually do show an angle of extinction close to the reported maximum, or as appropriate depending on the substitution chemistry.

4.5. Crossed Polars with Compensator
When the optical axes of a crystal are not lined up along one of the polarizing directions (either the polarizer or the analyzer) part of the light travels along one axis and part travels along the other visible axis. This is characteristic of birefringent materials.
The color depends on the difference of the two visible indices of refraction and the thickness of the crystal. The maximum difference available is the difference between the alpha and the gamma axes. This maximum difference is usually tabulated as the birefringence of the crystal.
For this test, align the fiber at 45 deg. to the polarization directions in order to maximize the contribution to each of the optical axes. The colors seen are called retardation colors. They arise from the recombination of light which has traveled through the two separate directions of the crystal. One of the rays is retarded behind the other since the light in that direction travels slower. On recombination, some of the colors which make up white light are enhanced by constructive interference and some are suppressed by destructive interference. The result is a color dependent on the difference between the indices and the thickness of the crystal. The proper colors, thicknesses, and retardations are shown on a Michel-Levy chart. The three items, retardation, thickness and birefringence are related by the following relationship:

R = t (n gamma - n alpha) 
R = retardation, t = crystal thickness in mm, and 
n alpha, gamma = indices of refraction.
Examination of the equation for asbestos minerals reveals that the visible colors for almost all common asbestos minerals and fiber sizes are shades of gray and black. The eye is relatively poor at discriminating different shades of gray. It is very good at discriminating different colors. In order to compensate for the low retardation, a compensator is added to the light train between the polarization elements. The compensator used for this test is a gypsum plate of known thickness and birefringence. Such a compensator when oriented at 45 deg. to the polarizer direction, provides a retardation of 530 nm of the 530 nm wavelength color. This enhances the red color and gives the background a characteristic red to red-magenta color. If this “full-wave” compensator is in place when the asbestos preparation is inserted into the light train, the colors seen on the fibers are quite different. Gypsum, like asbestos has a fast axis and a slow axis. When a fiber is aligned with its fast axis in the same direction as the fast axis of the gypsum plate, the ray vibrating in the slow direction is retarded by both the asbestos and the gypsum. This results in a higher retardation than would be present for either of the two minerals. The color seen is a second order blue. When the fiber is rotated 90 deg. using the rotating stage, the slow direction of the fiber is now aligned with the fast direction of the gypsum and the fast direction of the fiber is aligned with the slow direction of the gypsum. Thus, one ray vibrates faster in the fast direction of the gypsum, and slower in the slow direction of the fiber; the other ray will vibrate slower in the slow direction of the gypsum and faster in the fast direction of the fiber. In this case, the effect is subtractive and the color seen is a first order yellow. As long as the fiber thickness does not add appreciably to the color, the same basic colors will be seen for all asbestos types except crocidolite. In crocidolite the colors will be weaker, may be in the opposite directions, and will be altered by the blue absorption color natural to crocidolite. Hundreds of other materials will give the same colors as asbestos, and therefore, this test is not definitive for asbestos. The test is useful in discriminating against fiberglass or other amorphous fibers such as some synthetic fibers. Certain synthetic fibers will show retardation colors different than asbestos; however, there are some forms of polyethylene and aramid which will show morphology and retardation colors similar to asbestos minerals. This test must be supplemented with a positive identification test when birefringent fibers are present which cannot be excluded by morphology. This test is relatively ineffective for use on fibers less than 1 mm in diameter. For positive confirmation TEM or SEM should be used if no larger bundles or fibers are visible.

4.6. Dispersion Staining
Dispersion microscopy or dispersion staining is the method of choice for the identification of asbestos in bulk materials. Becke line analysis is used by some laboratories and yields the same results as does dispersion staining for asbestos and can be used in lieu of dispersion staining. Dispersion staining is performed on the same platform as the phase-polar analysis with the analyzer and compensator removed. One polarizing element remains to define the direction of the light so that the different indices of refraction of the fibers may be separately determined. Dispersion microscopy is a dark-field technique when used for asbestos. Particles are imaged with scattered light. Light which is unscattered is blocked from reaching the eye either by the back field image mask in a McCrone objective or a back field image mask in the phase condenser. The most convenient method is to use the rotating phase condenser to move an oversized phase ring into place. The ideal size for this ring is for the central disk to be just larger than the objective entry aperture as viewed in the back focal plane. The larger the disk, the less scattered light reaches the eye. This will have the effect of diminishing the intensity of dispersion color and will shift the actual color seen. The colors seen vary even on microscopes from the same manufacturer. This is due to the different bands of wavelength exclusion by different mask sizes. The mask may either reside in the condenser or in the objective back focal plane. It is imperative that the analyst determine by experimentation with asbestos standards what the appropriate colors should be for each asbestos type. The colors depend also on the temperature of the preparation and the exact chemistry of the asbestos. Therefore, some slight differences from the standards should be allowed. This is not a serious problem for commercial asbestos uses. This technique is used for identification of the indices of refraction for fibers by recognition of color. There is no direct numerical readout of the index of refraction. Correlation of color to actual index of refraction is possible by referral to published conversion tables. This is not necessary for the analysis of asbestos. Recognition of appropriate colors along with the proper morphology are deemed sufficient to identify the commercial asbestos minerals. Other techniques including SEM, TEM, and XRD may be required to provide additional information in order to identify other types of asbestos
Make a preparation in the suspected matching high dispersion oil, e.g., n=1.550 for chrysotile. Perform the preliminary tests to determine whether the fibers are birefringent or not. Take note of the morphological character. Wavy fibers are indicative of chrysotile while long, straight, thin, frayed fibers are indicative of amphibole asbestos. This can aid in the selection of the appropriate matching oil. The microscope is set up and the polarization direction is noted as in Section 4.4. Align a fiber with the polarization direction. Note the color. This is the color parallel to the polarizer. Then rotate the fiber rotating the stage 90 deg. so that the polarization direction is across the fiber. This is the perpendicular position. Again note the color. Both colors must be consistent with standard asbestos minerals in the correct direction for a positive identification of asbestos. If only one of the colors is correct while the other is not, the identification is not positive. If the colors in both directions are bluish-white, the analyst has chosen a matching index oil which is higher than the correct matching oil, e.g. the analyst has used n=1.620 where chrysotile is present. The next lower oil (Section 3.5.) should be used to prepare another specimen. If the color in both directions is yellow-white to straw-yellow-white, this indicates that the index of the oil is lower than the index of the fiber, e.g. the preparation is in n=1.550 while anthophyllite is present. Select the next higher oil (Section 3.5.) and prepare another slide. Continue in this fashion until a positive identification of all asbestos species present has been made or all possible asbestos species have been ruled out by negative results in this test. Certain plant fibers can have similar dispersion colors as asbestos. Take care to note and evaluate the morphology of the fibers or remove the plant fibers in pre-preparation. Coating material on the fibers such as carbonate or vinyl may destroy the dispersion color. Usually, there will be some outcropping of fiber which will show the colors sufficient for identification. When this is not the case, treat the sample as described in Section 3.3. and then perform dispersion staining. Some samples will yield to Becke line analysis if they are coated or electron microscopy can be used for identification.

5. References

5.1. Crane, D.T., Asbestos in Air, OSHA method ID160, Revised November 1992.

5.2. Ford, W.E., Dana's Textbook of Mineralogy; Fourth Ed.; John Wiley and Son, New York, 1950, p. vii.

5.3. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 3,20.

5.4. Women Inspectors of Factories. Annual Report for 1898, H.M. Statistical Office, London, p. 170 (1898).

5.5. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 26,30.

5.6. Campbell, W.J., et al, Selected Silicate Minerals and Their Asbestiform Varieties, United States Department of the Interior, Bureau of Mines, Information Circular 8751, 1977.

5.7. Asbestos, Code of Federal Regulations, 29 CFR 1910.1001 and 29 CFR 1926.58.

5.8. National Emission Standards for Hazardous Air Pollutants; Asbestos NESHAP Revision, Federal Register, Vol. 55, No. 224, 20 November 1990, p. 48410.

5.9. Ross, M. The Asbestos Minerals: Definitions, Description, Modes of Formation, Physical and Chemical Properties and Health Risk to the

Mining Community, Nation Bureau of Standards Special Publication, Washington, D.C., 1977.

5.10. Lilis, R., Fibrous Zeolites and Endemic Mesothelioma in Cappadocia, Turkey, J. Occ Medicine, 1981, 23,(8),548-550.

5.11. Occupational Exposure to Asbestos -- 1972, U.S. Department of Health Education and Welfare, Public Health Service, Center for Disease Control, National Institute for Occupational Safety and Health, HSM-72-10267.

5.12. Campbell,W.J., et al, Relationship of Mineral Habit to Size Characteristics for Tremolite Fragments and Fibers, United States Department of the Interior, Bureau of Mines, Information Circular 8367, 1979.

5.13. Mefford, D., DCM Laboratory, Denver, private communication, July 1987.

5.14. Deer, W.A., Howie, R.A., Zussman, J., Rock Forming Minerals, Longman, Thetford, UK, 1974.

5.15. Kerr, P.F., Optical Mineralogy; Third Ed. McGraw-Hill, New York, 1959.

5.16. Veblen, D.R. (Ed.), Amphiboles and Other Hydrous Pyriboles -- Mineralogy, Reviews in Mineralogy, Vol 9A, Michigan, 1982, pp 1- 102.

5.17. Dixon, W.C., Applications of Optical Microscopy in the Analysis of Asbestos and Quartz, ACS Symposium Series, No. 120, Analytical Techniques in Occupational Health Chemistry, 1979.

5.18. Polarized Light Microscopy, McCrone Research Institute, Chicago, 1976.

5.19. Asbestos Identification, McCrone Research Institute, G & G printers, Chicago, 1987.

5.20. McCrone, W.C., Calculation of Refractive Indices from Dispersion Staining Data, The Microscope, No 37, Chicago, 1989.

5.21. Levadie, B. (Ed.), Asbestos and Other Health Related Silicates, ASTM Technical Publication 834, ASM, Philadelphia 1982.

5.22. Steel, E. and Wylie, A., Riordan, P.H. (Ed.), Mineralogical Characteristics of Asbestos, Geology of Asbestos Deposits, pp. 93-101, SME-AIME, 1981.

5.23. Zussman, J., The Mineralogy of Asbestos, Asbestos: Properties, Applications and Hazards, pp. 45-67 Wiley, 1979.
NOTE

Authority cited: Section 142.3. Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix K to section 1529 filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
2. Change without regulatory effect repealing and adopting new Figure 1 filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
§1530. General Requirements of Mechanical Ventilation Systems.
Note     •     History

(a) Design and Operation.
(1) When local exhaust ventilation is used, the system (including exhaust fans, jets, ducts, hoods, separators, and all necessary appurtenances) shall be designed, constructed, installed, inspected, tested, maintained, and operated so as to ensure the required protection by maintaining a volume and velocity of exhaust air sufficient to gather dusts, fumes, mists, vapors, or gases from the equipment or processes, and to convey them to suitable points of safe disposal, thereby preventing their dispersion in harmful quantities into the atmosphere of work rooms or other places where persons are employed.
(2) When general mechanical ventilation is used, the volume and distribution of air shall be sufficient to dilute airborne contaminant concentrations in employees' breathing zones to safe levels.
(b) Duration of Operations. The exhaust system shall be in operation continually during all operations for which it is designed. The system shall continue to operate some time after the cessation of said operations, the length of time to depend upon the individual circumstances and effectiveness of the ventilation system.
(c) Disposal of Exhaust Materials.
(1) The air outlet from every dust separator/collector and the dusts, fumes, mists, vapors or gases collected by an exhaust or ventilating system shall discharge to the outside atmosphere, provided that the exhaust system shall discharge to the outer air in such a manner that it will not cause a harmful exposure in any accessible workplace. Collecting systems which return air to work areas may be used if contaminants which accumulate in the work area air do not result in harmful exposure to employees.
(2) The air exhausted from blast-cleaning equipment, grinding, buffing, polishing equipment and all other equipment requiring exhausting of dust or particulate shall be discharged through dust-collecting equipment. Dust and refuse discharged from an exhaust system shall be disposed of in such a manner that it will not result in harmful exposure to employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-18-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
§1530.1. Control of Employee Exposures from Dust-Generating Operations Conducted on Concrete or Masonry Materials.
Note     •     History

(a) Scope and Application. This section applies to the use of powered tools or equipment to cut, grind, core, or drill, concrete or masonry materials. 

NOTE: This section does not preclude the application of other sections of Title 8 including, but not limited to, Sections 1509, 1530, 3203, 5141, 5143, 5144, 5155, and 5194. 

Exception: This section does not apply to: 

(1) Stucco, plastering material, or other similar products. 

(2) Wall cladding, siding, or other similar products. 

(3) Downward drilling. 

(4) Jack-hammering or chipping when that work is incidental to the scope of work or planned operations of a plumbing or landscaping activity. 

(5) Work with powder-actuated tools. 

(6) Work incidental to the installation of concrete and masonry materials such as the drilling of holes for plumbing fixtures. 

(7) Tile backer board when cut with powered shears or a dust reduction blade having a dust containment device. 
(b) Definitions. 
(1) Concrete or masonry material -- A hard stone-like building material made of clay or made by mixing cement or a combination of cement, sand, gravel, broken stone, or other aggregate with water. Examples include brick, clay brick, concrete block, mortar, natural or manufactured stone, floor, wall, or counter top tile, and terra cotta. Unless otherwise indicated by evidence presented by the employer that the mixture does not include cement, sand, gravel, stone, clay, or aggregate material containing silica, material that is apparently stone-like in appearance and texture shall be presumed to be concrete or masonry material. 
(2) Dust containment device -- A device attached to a power tool such as a pouch, bag, plastic container, or similar attachment which is intended to capture dust generated by the power tool. This device is not intended to be a dust reduction system as defined under this section. 
(3) Dust reduction system -- Technology that utilizes the application of water or local exhaust ventilation to reduce airborne dust generated by the use of powered tools or equipment. Local exhaust ventilation may include vacuum systems, dust collection systems, and dust exhaust systems. 
(4) Powered tools or equipment -- Tools or equipment for which the motive force that disrupts concrete or masonry materials is provided by a source other than human energy. Powered tools or equipment include those powered by electrical, combustion, hydraulic, chemical, or pneumatic energy. 
(c) Control of employee exposures to airborne particulate. 
During operations in which powered tools or equipment are used to cut, grind, core, or drill, concrete or masonry materials, a dust reduction system shall be applied to effectively reduce airborne particulate. 

EXCEPTION No 1: A dust-reduction system is not required if the operation, without considering any protection provided by personal protective equipment, does not result in employee exposure exceeding the Permissible Exposure Limits for applicable particulates listed in Section 5155 including, but not limited to, crystalline silica, as demonstrated reliably by air sampling data applicable to the specific operation being performed. 

EXCEPTION No. 2: A dust reduction system is not required for rooftop operations with roofing tile, roofing pavers, or similar materials. 

EXCEPTION No. 3: During the first 24 hours of an operation undertaken in response to an emergency, a dust reduction system is not required where it can reasonably be demonstrated or foreseen that use of a dust reduction system will materially impair the timely progress of the operation. For the purposes of this exception, “emergency” means an unexpected occurrence requiring immediate action to prevent or mitigate loss of, or damage to, life, health, property, or essential public services. “Emergency” includes, but is not limited to, a fire, flood, earthquake or other soil or geologic movement, structural collapse, damage to a subsurface installation, terrorist act, or sabotage. 
(d) Safety and effectiveness of dust reduction systems. 
(1) Procedures shall be implemented to ensure that dust reduction systems maintain their effectiveness for dust reduction throughout the work shift. 
(2) Dust reduction systems shall be installed, operated, and maintained in accordance with manufacturer recommendations to the extent they exist. 
(3) Local exhaust ventilation systems shall be designed, tested, maintained, used, and the waste materials they collect disposed of, in compliance with applicable requirements of Sections 1530 and 5143 of these orders. 
(4) Where electrical tools are used with water as a dust reduction system, this shall be done in accordance with applicable requirements of the Electrical Safety Orders. 
(e) Training. 
(1) Employee training. An employer whose operations include using powered tools or equipment to cut, grind, core, or drill concrete or masonry materials shall provide training on the following topics to all employees prior to their assignment to jobs or work areas where the employer will be conducting these operations: 
(A) The potential health hazards of overexposure to airborne dust generated from concrete and masonry materials, including silicosis, lung cancer, chronic obstructive lung disease (COPD) and decreased lung function. 
(B) Methods used by the employer to control employee exposures to airborne dust from concrete and masonry materials, including wet cutting, local exhaust ventilation systems, and isolation of the process from the operator or other employees by means of distance, enclosure, or other method, as applicable. 
(C) Proper use and maintenance of dust reduction systems, including the safe handling and disposal of waste materials collected in connection with their use. 
(D) The importance of good personal hygiene and housekeeping practices when working in proximity to dust from concrete and masonry materials including: 
1. Not smoking tobacco products; appropriate methods of cleaning up before eating, and appropriate methods of cleaning clothes. 
2. Avoiding, to the extent practical, activities that would contribute significantly to an employee's exposure to airborne dusts. 
(2) Supervisor training. Prior to engaging in supervision of employees who will be cutting, grinding, drilling, or coring concrete or masonry materials, supervisory employees shall be trained on the following topics: 
(A) The information required to be provided by subsection (e)(1) above. 
(B) Identification of tasks the employees will perform, which may result in employee exposure to concrete or masonry dust. 
(C) Procedures for implementation of the measures used by the employer to reduce the exposure to concrete or masonry dust. 
(3) Periodic training. The employer shall conduct the training required by this section at least annually. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 9-22-2008; operative 10-22-2008 (Register 2008, No. 39).
§1531. Respiratory Protective Equipment.
Note     •     History

Note: The requirements applicable to construction work under this section are identical to those set forth in section 5144.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsections (a) and (b) filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
3. Amendment of subsection (g) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
4. Amendment of subsection (e)(1) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
5. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment of subsection (h) filed 3-20-95; operative 4-19-95 (Register 95, No. 12).
7. Amendment of subsection (e)(3) filed 6-29-95; operative 7-29-95 (Register 95, No. 26).
8. Repealer and new section filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
§1532. Cadmium.
Note     •     History

(a) Scope.
This standard applies to all occupational exposures to cadmium and cadmium compounds, in all forms, in all construction work where an employee may potentially be exposed to cadmium. Construction work is defined as work involving construction, alteration and/or repair, including but not limited to the following:
(1) wrecking, demolition or salvage of structures where cadmium or materials containing cadmium are present;
(2) use of cadmium containing-paints and cutting, brazing, burning, grinding or welding on surfaces that were painted with cadmium-containing paints;
(3) construction, alteration, repair, maintenance, or renovation of structures, substrates, or portions thereof, that contain cadmium, or materials containing cadmium;
(4) cadmium welding; cutting and welding cadmium-plated steel; brazing or welding with cadmium alloys;
(5) installation of products containing cadmium;
(6) electrical grounding with cadmium welding, or electrical work using cadmium-coated conduit;
(7) maintaining or retrofitting cadmium-coated equipment;
(8) cadmium contamination/emergency cleanup; and
(9) transportation, disposal, storage, or containment of cadmium or materials containing cadmium on the site or location at which construction activities are performed.
(b) Definitions.
Action level (AL) is defined as an airborne concentration of cadmium of 2.5 micrograms per cubic meter of air (2.5 mg/m3), calculated as an 8-hour time-weighted average (TWA).
Authorized person means any person authorized by the employer and required by work duties to be present in regulated areas or any person authorized by the Chief to be in regulated areas.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Competent person, in accordance with section 1504, means a person designated by the employer to act on the employer's behalf who is capable of identifying existing and potential cadmium hazards in the workplace and the proper methods to control them in order to protect workers, and has the authority necessary to take prompt corrective measures to eliminate or control such hazards. The duties of a competent person include at least the following: determining prior to the performance of work whether cadmium is present in the workplace; establishing, where necessary, regulated areas and assuring that access to and from those areas is limited to authorized employees; assuring the adequacy of any employee exposure monitoring required by this standard; assuring that all employees exposed to air cadmium levels above the PEL wear appropriate personal protective equipment and are trained in the use of appropriate methods of exposure control; assuring that proper hygiene facilities are provided and that workers are trained to use those facilities; and assuring that the engineering controls required by this standard are implemented, maintained in proper operating condition, and functioning properly.
Emergency means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which results in an unexpected and potentially hazardous release of Cadmium.
Employee exposure and similar language referring to the air cadmium level to which an employee is exposed means the exposure to airborne cadmium that would occur if the employee were not using respiratory protective equipment.
Final medical determination is the written medical opinion of the employee's health status by the examining physician under subsections (l)(3)-(12) or, if multiple physician review under subsection (l)(13) or the alternative physician determination under subsection (l)(14) is invoked, it is the final, written medical finding, recommendation or determination that emerges from that process.
High-efficiency particulate air [HEPA] filter means a filter capable of trapping and retaining at least 99.97 percent of mono-dispersed particles of 0.3 micrometers in diameter.
NIOSH means the Director of the National Institute for Occupational Safety and Health (NIOSH), U.S. Department of Health and Human Services, or designee.
Regulated area means an area demarcated by the employer where an employee's exposure to airborne concentrations of cadmium exceeds, or can reasonably be expected to exceed the permissible exposure limit (PEL).
(c) Permissible Exposure Limit (PEL).
The employer shall assure that no employee is exposed to an airborne concentration of cadmium in excess of five micrograms per cubic meter of air (5   mg/m3), calculated as an eight-hour time-weighted average exposure (TWA).
(d) Exposure Monitoring.
(1) General.
(A) Prior to the performance of any construction work where employees may be potentially exposed to cadmium, the employer shall establish the applicability of this standard by determining whether cadmium is present in the workplace and whether there is the possibility that employee exposures will be at or above the action level. The employer shall designate a competent person who shall make this determination. Investigation and material testing techniques shall be used, as appropriate, in the determination. Investigation shall include a review of relevant plans, past reports, material safety data sheets, and other available records, and consultations with the property owner and discussions with appropriate individuals and agencies.
(B) Where cadmium has been determined to be present in the workplace, and it has been determined that there is a possibility the employee's exposure will be at or above the action level, the competent person shall identify employees potentially exposed to cadmium at or above the action level.
(C) Determinations of employee exposure shall be made from breathing-zone air samples that reflect the monitored employee's regular, daily 8-hour TWA exposure to cadmium.
(D) Eight-hour TWA exposures shall be determined for each employee on the basis of one or more personal breathing-zone air samples reflecting full shift exposure on each shift, for each job classification, in each work area. Where several employees perform the same job tasks, in the same job classification, on the same shift, in the same work area, and the length, duration, and level of cadmium exposures are similar, an employer may sample a representative fraction of the employees instead of all employees in order to meet this requirement. In representative sampling, the employer shall sample the employee(s) expected to have the highest cadmium exposures.
(2) Specific.
(A) Initial monitoring. Except as provided for in subsection (d)(2)(C), where a determination conducted under subsection (d)(1)(A) shows the possibility of employee exposure to cadmium at or above the action level, the employer shall conduct exposure monitoring as soon as practicable that is representative of the exposure for each employee in the workplace who is or may be exposed to cadmium at or above the action level.
(B) In addition, if the employee periodically performs tasks that may expose the employee to a higher concentration of airborne cadmium, the employee shall be monitored while performing those tasks.
(C) Where the employer has objective data, as defined in subsection (n)(2), demonstrating that employee exposure to cadmium will not exceed airborne concentrations at or above the action level under the expected conditions of processing, use, or handling, the employer may rely upon such data instead of implementing initial monitoring.
(D) Where a determination conducted under subsections (d)(1) or (d)(2) is made that a potentially exposed employee is not exposed to airborne concentrations of cadmium at or above the action level, the employer shall make a written record of such determination. The record shall include at least the monitoring data developed under subsections (d)(2)(A)-(C), where applicable, and shall also include the date of determination, and the name and social security number of each employee.
(3) Monitoring Frequency (periodic monitoring).
(A) If the initial monitoring or periodic monitoring reveals employee exposures to be at or above the action level, the employer shall monitor at a frequency and pattern needed to assure that the monitoring results reflect with reasonable accuracy the employee's typical exposure levels, given the variability in the tasks performed, work practices, and environmental conditions on the job site, and to assure the adequacy of respiratory selection and the effectiveness of engineering and work practice controls.
(B) If the initial monitoring or the periodic monitoring indicates that employee exposures are below the action level and that result is confirmed by the results of another monitoring taken at least seven days later, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring.
(4) Additional Monitoring.
The employer also shall institute the exposure monitoring required under subsections (d)(2)(A) and (d)(3) whenever there has been a change in the raw materials, equipment, personnel, work practices, or finished products that may result in additional employees being exposed to cadmium at or above the action level or in employees already exposed to cadmium at or above the action level being exposed above the PEL, or whenever the employer or competent person has any reason to suspect that any other change might result in such further exposure.
(5) Employee Notification of Monitoring Results.
(A) No later than five working days after the receipt of the results of any monitoring performed under this section, the employer shall notify each affected employee individually in writing of the results. In addition, within the same time period, the employer shall post the results of the exposure monitoring in an appropriate location that is accessible to all affected employees.
(B) Wherever monitoring results indicate that employee exposure exceeds the PEL, the employer shall include in the written notice a statement that the PEL has been exceeded and a description of the corrective action being taken by the employer to reduce employee exposure to or below the PEL.
(6) Accuracy of Measurement.
The employer shall use a method of monitoring and analysis that has an accuracy of not less than plus or minus 25 percent (±25%), with a confidence level of 95 percent, for airborne concentrations of cadmium at or above the action level and the permissible exposure limit.
(e) Regulated Areas.
(1) Establishment.
The employer shall establish a regulated area wherever an employee's exposure to airborne concentrations of cadmium is, or can reasonably be expected to be in excess of the permissible exposure limit (PEL).
(2) Demarcation.
Regulated areas shall be demarcated from the rest of the workplace in any manner that adequately establishes and alerts employees of the boundaries of the regulated area, including employees who are or may be incidentally in the regulated areas, and that protects persons outside the area from exposure to airborne concentrations of cadmium in excess of the PEL.
(3) Access.
Access to regulated areas shall be limited to authorized persons.
(4) Provision of Respirators.
Each person entering a regulated area shall be supplied with and required to use a respirator, selected in accordance with subsection (g)(2).
(5) Prohibited Activities.
The employer shall assure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in regulated areas, or carry the products associated with any of these activities into regulated areas or store such products in those areas.
(f) Methods of Compliance.
(1) Compliance Hierarchy.
(A) Except as specified in subsection (f)(1)(B), the employer shall implement engineering and work practice controls to reduce and maintain employee exposure to cadmium at or below the PEL, except to the extent that the employer can demonstrate that such controls are not feasible.
(B) The requirement to implement engineering controls to achieve the PEL does not apply where the employer demonstrates the following:
1. the employee is only intermittently exposed; and
2. the employee is not exposed above the PEL on 30 or more days per year (12 consecutive months).
(C) Wherever engineering and work practice controls are not sufficient to reduce employee exposure to or below the PEL, the employer nonetheless shall implement such controls to reduce exposures to the lowest levels achievable. The employer shall supplement such controls with respiratory protection that complies with the requirements of subsection (g) and the PEL.
(D) The employer shall not use employee rotation as a method of compliance.
(2) Specific Operations.
(A) Abrasive blasting. Abrasive blasting on cadmium or cadmium-containing materials shall be conducted in a manner that will provide adequate protection.
(B) Heating cadmium and cadmium-containing materials. Welding, cutting, and other forms of heating of cadmium or cadmium-containing materials shall be conducted in accordance with the requirements of sections 1536 and 1537, where applicable.
(3) Prohibitions.
(A) High speed abrasive disc saws and similar abrasive power equipment shall not be used for work on cadmium or cadmium-containing materials unless they are equipped with appropriate engineering controls to minimize emissions, if the exposure levels are above the PEL.
(B) Materials containing cadmium shall not be applied by spray methods, if exposures are above the PEL, unless employees are protected with supplied-air respirators with full facepiece, hood, helmet, suit, operated in positive pressure mode and measures are instituted to limit overspray and prevent contamination of adjacent areas.
(4) Mechanical Ventilation.
(A) When ventilation is used to control exposure, measurements that demonstrate the effectiveness of the system in controlling exposure, such as capture velocity, duct velocity, or static pressure shall be made as necessary to maintain its effectiveness.
(B) Measurements of the system's effectiveness in controlling exposure shall be made as necessary within five working days of any change in production, process, or control that might result in a significant increase in employee exposure to cadmium.
(C) Recirculation of air. If air from exhaust ventilation is recirculated into the workplace, the system shall have a high efficiency filter and be monitored to assure effectiveness.
(D) Procedures shall be developed and implemented to minimize employee exposure to cadmium when maintenance of ventilation systems and changing of filters is being conducted.
(5) Compliance Program.
(A) Where employee exposure to cadmium exceeds the PEL and the employer is required under subsection (f)(1) to implement controls to comply with the PEL prior to the commencement of the job, the employer shall establish and implement a written compliance program to reduce employee exposure to or below the PEL. To the extent that engineering and work practice controls cannot reduce exposures to or below the PEL, the employer shall include in the written compliance program the use of appropriate respiratory protection to achieve compliance with the PEL.
(B) Written compliance programs shall be reviewed and updated as often and as promptly as necessary to reflect significant changes in the employer's compliance status or significant changes in the lowest air cadmium level that is technologically feasible.
(C) A competent person shall review the comprehensive compliance program initially and after each change.
(D) Written compliance programs shall be provided upon request for examination and copying to the Chief, NIOSH, affected employees, and designated employee representatives.
(g) Respiratory Protection.
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls when employee exposures exceed the PEL;
(B) Maintenance and repair activities and during those brief or intermittent operations where exposures exceed the PEL and engineering and work practice controls are not feasible, or are not required;
(C) Work operations in the regulated areas specified in subsection (e);
(D) Work operations for which the employer has implemented all feasible engineering and work practice controls and such controls are not sufficient to reduce exposures to or below the PEL;
(E) Emergencies;
(F) Work operations for which an employee who is exposed to cadmium at or above the action level requests a respirator; and
(G) Work operations for which engineering controls are not required under subsection (f)(1)(B) to reduce employee exposures that exceed the PEL.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(B) If an employee exhibits breathing difficulty during fit testing or respirator use, the employer must provide the employee with a medical examination in accordance with subsection (l)(6)(B) to determine if the employee can use a respirator while performing the required duties.
(C) No employee must use a respirator when, based on their most recent medical examination, the examining physician determines that the employee will be unable to function normally while using a respirator. If the physician determines the employee must be limited in, or removed from, their current job because of the employee's inability to use a respirator, the job limitation or removal must be conducted in accordance with subsections (l)(11) and (12).
(3) Respirator Selection.
(A) The employer must select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) The employer shall provide a powered, air-purifying respirator (PAPR) in lieu of a negative pressure respirator wherever:
1. An employee entitled to a respirator chooses to use this type of respirator; and
2. This respirator will provide adequate protection to the employee.
(C) The employer shall provide employees with full facepiece respirators when they experience eye irritation.
(D) The employer shall provide HEPA filters for powered and non-powered air-purifying respirators.
(h) Emergency Situations.
The employer shall develop and implement a written plan for dealing with emergency situations involving substantial releases of airborne cadmium. The plan shall include provisions for the use of appropriate respirators and personal protective equipment. In addition, employees not essential to correcting the emergency situation shall be restricted from the area and normal operations halted in that area until the emergency is abated.
(i) Protective Work Clothing and Equipment.
(1) Provision and Use.
If an employee is exposed to airborne cadmium above the PEL or where skin or eye irritation is associated with cadmium exposure at any level, the employer shall provide at no cost to the employee, and assure that the employee uses, appropriate protective work clothing and equipment that prevents contamination of the employee and the employee's garments. Protective work clothing and equipment includes, but is not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, head coverings, and boots or foot coverings; and
(C) Face shields, vented goggles, or other appropriate protective equipment that complies with sections 1514 to 1522.
(2) Removal and Storage.
(A) The employer shall assure that employees remove all protective clothing and equipment contaminated with cadmium at the completion of the work shift and do so only in change rooms provided in accordance with subsection (j)(1).
(B) The employer shall assure that no employee takes cadmium-contaminated protective clothing or equipment from the workplace, except for employees authorized to do so for purposes of laundering, cleaning, maintaining, or disposing of cadmium-contaminated protective clothing and equipment at an appropriate location or facility away from the workplace.
(C) The employer shall assure that contaminated protective clothing and equipment, when removed for laundering, cleaning, maintenance, or disposal, is placed and stored in sealed, impermeable bags or other closed, impermeable containers that are designed to prevent dispersion of cadmium dust.
(D) The employer shall assure that containers of contaminated protective clothing and equipment that are to be taken out of the change rooms or the workplace for laundering, cleaning, maintenance or disposal shall bear labels in accordance with subsection (m)(3).
(3) Cleaning, Replacement, and Disposal.
(A) The employer shall provide the protective clothing and equipment required by subsection (i)(1) in a clean and dry condition as often as necessary to maintain its effectiveness, but in any event at least weekly. The employer is responsible for cleaning and laundering the protective clothing and equipment required by this subsection to maintain its effectiveness and is also responsible for disposing of such clothing and equipment.
(B) The employer also is responsible for repairing or replacing required protective clothing and equipment as needed to maintain its effectiveness. When rips or tears are detected while an employee is working they shall be immediately mended, or the worksuit shall be immediately replaced.
(C) The employer shall prohibit the removal of cadmium from protective clothing and equipment by blowing, shaking, or any other means that disperses cadmium into the air.
(D) The employer shall assure that any laundering of contaminated clothing or cleaning of contaminated equipment in the workplace is done in a manner that prevents the release of airborne cadmium in excess of the permissible exposure limit prescribed in subsection (c).
(E) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with cadmium of the potentially harmful effects of exposure to cadmium, and that the clothing and equipment should be laundered or cleaned in a manner to effectively prevent the release of airborne cadmium in excess of the PEL.
(j) Hygiene Areas and Practices.
(1) General.
For employees whose airborne exposure to cadmium is above the PEL, the employer shall provide clean change rooms, handwashing facilities, showers, and lunchroom facilities that comply with sections 1524, 1526 and 1527.
(2) Change Rooms.
The employer shall assure that change rooms are equipped with separate storage facilities for street clothes and for protective clothing and equipment, which are designed to prevent dispersion of cadmium and contamination of the employee's street clothes.
(3) Showers and Handwashing Facilities.
(A) The employer shall assure that employees whose airborne exposure to cadmium is above the PEL shower during the end of the work shift.
(B) The employer shall assure that employees who are exposed to cadmium above the PEL wash their hands and faces prior to eating, drinking, smoking, chewing tobacco or gum, or applying cosmetics.
(4) Lunchroom Facilities.
(A) The employer shall assure that the lunchroom facilities are readily accessible to employees, that tables for eating are maintained free of cadmium, and that no employee in a lunchroom facility is exposed at any time to cadmium at or above a concentration of 2.5 mg/m3.
(B) The employer shall assure that employees do not enter lunchroom facilities with protective work clothing or equipment unless surface cadmium has been removed from the clothing and equipment by HEPA vacuuming or some other method that removes cadmium dust without dispersing it.
(k) Housekeeping.
(1) All surfaces shall be maintained as free as practicable of accumulations of cadmium.
(2) All spills and sudden releases of material containing cadmium shall be cleaned up as soon as possible.
(3) Surfaces contaminated with cadmium shall, wherever possible, be cleaned by vacuuming or other methods that minimize the likelihood of cadmium becoming airborne.
(4) HEPA-filtered vacuuming equipment or equally effective filtration methods shall be used for vacuuming. The equipment shall be used and emptied in a manner that minimizes the reentry of cadmium into the workplace.
(5) Shoveling, dry or wet sweeping, and brushing may be used only where vacuuming or other methods that minimize the likelihood of cadmium becoming airborne have been tried and found not to be effective.
(6) Compressed air shall not be used to remove cadmium from any surface unless the compressed air is used in conjunction with a ventilation system designed to capture the dust cloud created by the compressed air.
(7) Waste, scrap, debris, bags, containers, personal protective equipment, and clothing contaminated with cadmium and consigned for disposal shall be collected and disposed of in sealed impermeable bags or other closed, impermeable containers. These bags and containers shall be labeled in accordance with subsection (m)(3).
(l) Medical Surveillance.
(1) General.
(A) Scope.
1. Currently exposed - The employer shall institute a medical surveillance program for all employees who are or may be exposed at or above the action level and all employees who perform the following tasks, operations or jobs: electrical grounding with cadmium welding; cutting, brazing, burning, grinding or welding on surfaces that were painted with cadmium-containing paints; electrical work using cadmium-coated conduit; use of cadmium containing paints; cutting and welding cadmium-plated steel; brazing or welding with cadmium alloys; fusing of reinforced steel by cadmium welding; maintaining or retrofitting cadmium-coated equipment; and, wrecking and demolition where cadmium is present. A medical surveillance program will not be required if the employer demonstrates that the employee:
a. is not currently exposed by the employer to airborne concentrations of cadmium at or above the action level on 30 or more days per year (twelve consecutive months); and,
b. is not currently exposed by the employer in those tasks on 30 or more days per year (twelve consecutive months).
2. Previously exposed - The employer shall also institute a medical surveillance program for all employees who might previously have been exposed to cadmium by the employer prior to the effective date of this standard in tasks specified under subsection (l)(1)(A)1., unless the employer demonstrates that the employee did not in the years prior to the effective date of this section work in those tasks for the employer with exposure to cadmium for an aggregated total of more than 12 months.
(B) To determine an employee's fitness for using a respirator, the employer shall provide the limited medical examination specified in subsection (l)(6).
(C) The employer shall assure that all medical examinations and procedures required by this section are performed by or under the supervision of a licensed physician, who has read and is familiar with the health effects section of Appendix A, the regulatory text of this section, the protocol for sample handling and lab selection in Appendix F, and the questionnaire of Appendix D.
(D) The employer shall provide the medical surveillance required by this section, including multiple physician review under subsection (l)(13) without cost to employees, and at a time and place that is reasonable and convenient to employees.
(E) The employer shall assure that the collecting and handling of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine (b2-M) taken from employees under this section is done in a manner that assures their reliability and that analysis of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine (b2-M) taken from employees under this section is performed in laboratories with demonstrated proficiency to perform the particular analysis. (See Appendix F.)
(2) Initial Examination.
(A) For employees covered by medical surveillance under subsection (l)(1)(A), the employer shall provide an initial medical examination. The examination shall be provided to those employees within 30 days after initial assignment to a job with exposure to cadmium or no later than 90 days after the effective date of this section, whichever date is later.
(B) The initial medical examination shall include:
1. A detailed medical and work history, with emphasis on: past, present, and anticipated future exposure to cadmium; any history of renal, cardiovascular, respiratory, hematopoietic, reproductive, and/or musculo-skeletal system dysfunction; current usage of medication with potential nephrotoxic side-effects; and smoking history and current status; and
2. Biological monitoring that includes the following tests:
a. Cadmium in urine (CdU), standardized to grams of creatinine (g/Cr);
b. Beta-2 microglobulin in urine (b2-M), standardized to grams of creatinine (g/Cr), with pH specified, as described in Appendix F; and
c. Cadmium in blood (CdB), standardized to liters of whole blood (lwb).
(C) Recent Examination: An initial examination is not required to be provided if adequate records show that the employee has been examined in accordance with the requirements of subsection (l)(2)(B) within the past 12 months. In that case, such records shall be maintained as part of the employee's medical record and the prior exam shall be treated as if it were an initial examination for the purposes of subsections (l)(3) and (4).
(3) Actions Triggered by Initial Biological Monitoring:
(A) If the results of the biological monitoring tests in the initial examination show the employee's CdU level to be at or below 3 mg/g Cr, b2-M level to be at or below 300 mg/g Cr and CdB level to be at or below 5 mg/lwb, then:
1. for employees who are subject to medical surveillance under subsections (l)(1)(A)1. because of current or anticipated exposure to cadmium, the employer shall provide the minimum level of periodic medical surveillance in accordance with the requirements in subsection (l)(4)(A); and
2. for employees who are subject to medical surveillance under subsection (l)(1)(A)2. because of prior but not current exposure, the employer shall provide biological monitoring for CdU, b2-M, and CdB one year after the initial biological monitoring and then the employer shall comply with the requirements of subsection (l)(4)(F).
(B) For all employees who are subject to medical surveillance under subsection (l)(1)(A), if the results of the initial biological monitoring tests show the level of CdU to exceed 3 mg/g Cr, the level of b2-M to be in excess of 300 mg/g Cr, or the level of CdB to be in excess of 5 mg/lwb, the employer shall:
1. within two weeks after receipt of biological monitoring results, reassess the employee's occupational exposure to cadmium as follows:
a. reassess the employee's work practices and personal hygiene;
b. reevaluate the employee's respirator use, if any, and the respirator program;
c. review the hygiene facilities;
d. reevaluate the maintenance and effectiveness of the relevant engineering controls;
e. assess the employee's smoking history and status;
2. within 30 days after the exposure reassessment, specified in (l)(3)(B)1., take reasonable steps to correct any deficiencies found in the reassessment that may be responsible for the employee's excess exposure to cadmium; and,
3. within 90 days after receipt of biological monitoring results, provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B). After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. If the physician determines that medical removal is not necessary, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr and CdB level falls to or below 5 mg/lwb, the employer shall:
a. Provide biological monitoring in accordance with subsection (l)(2)(B)2. on a semiannual basis; and
b. Provide annual medical examinations in accordance with subsection (l)(4)(B).
(C) For all employees who are subject to medical surveillance under subsection (l)(1)(A), if the results of the initial biological monitoring tests show the level of CdU to be in excess of 15 mg/g Cr, or the level of CdB to be in excess of 15 mg/lwb, or the level of b2-M to be in excess of 1,500 mg/g Cr, the employer shall comply with the requirements of subsections (l)(3)(B)1.-2.. Within 90 days after receipt of biological monitoring results, the employer shall provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B). After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. However, if the initial biological monitoring results and the biological monitoring results obtained during the medical examination both show that: CdU exceeds 15 mg/g Cr; or CdB exceeds 15 mg/lwb; or b2-M exceeds 1500 mg/g Cr, and in addition CdU exceeds 3 mg/g Cr or CdB exceeds 5 mg/liter of whole blood, then the physician shall medically remove the employee from exposure to cadmium at or above the action level. If the second set of biological monitoring results obtained during the medical examination does not show that a mandatory removal trigger level has been exceeded, then the employee is not required to be removed by the mandatory provisions of this subsection. If the employee is not required to be removed by the mandatory provisions of this subsection or by the physician's determination, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr and CdB level falls to or below 5 mg/lwb, the employer shall:
1. Periodically reassess the employee's occupational exposure to cadmium;
2. Provide biological monitoring in accordance with subsection (l)(2)(B)2. on a quarterly basis; and
3. Provide semiannual medical examinations in accordance with subsection (l)(4)(B).
(D) For all employees to whom medical surveillance is provided, beginning on January 1, 1999, and in lieu of subsection (l)(3)(C), whenever the results of initial biological monitoring tests show the employee's CdU level to be in excess of 7 mg/g Cr, or b2-M level to be in excess of 750 mg/g Cr, or CdB level to be in excess of 10 mg/lwb, the employer shall comply with the requirements of subsection (l)(3)(B)1.-2.. Within 90 days after receipt of biological monitoring results, the employer shall provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B). After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. However, if the initial biological monitoring results and the biological monitoring results obtained during the medical examination both show that: CdU exceeds 7 mg/g Cr; or CdB exceeds 10 mg/lwb; or b2-M exceeds 750 mg/g Cr, and in addition CdU exceeds 3 mg/g Cr or CdB exceeds 5 mg/liter of whole blood, then the physician shall medically remove the employee from exposure to cadmium at or above the action level. If the second set of biological monitoring results obtained during the medical examination does not show that a mandatory removal trigger level has been exceeded, then the employee is not required to be removed by the mandatory provisions of this subsection. If the employee is not required to be removed by the mandatory provisions of this subsection or by the physician's determination, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr and CdB level falls to or below 5 mg/lwb, the employer shall:
1. Periodically reassess the employee's occupational exposure to cadmium;
2. Provide biological monitoring in accordance with subsection (l)(2)(B)2. on a quarterly basis; and
3. Provide semiannual medical examinations in accordance with subsection (l)(4)(B).
(4) Periodic Medical Surveillance.
(A) For each employee who is covered by medical surveillance under subsection (l)(1)(A)1. because of current or anticipated exposure to cadmium, the employer shall provide at least the minimum level of periodic medical surveillance, which consists of periodic medical examinations and periodic biological monitoring. A periodic medical examination shall be provided within one year after the initial examination required by subsection (l)(2) and thereafter at least biennially. Biological sampling shall be provided at least annually either as part of a periodic medical examination or separately as periodic biological monitoring.
(B) The periodic medical examination shall include:
1. A detailed medical and work history, or update thereof, with emphasis on: past, present and anticipated future exposure to cadmium; smoking history and current status; reproductive history; current use of medications with potential nephrotoxic side-effects; any history of renal, cardiovascular, respiratory, hematopoietic, and/or musculo-skeletal system dysfunction; and as part of the medical and work history, for employees who wear respirators, questions 3-11 and 25-32 in Appendix D;
2. A complete physical examination with emphasis on: blood pressure, the respiratory system, and the urinary system;
3. A 14 inch by 17 inch, or a reasonably standard sized posterior-anterior chest X-ray (after the initial X-ray, the frequency of chest X-rays is to be determined by the examining physician);
4. Pulmonary function tests, including forced vital capacity (FVC) and forced expiratory volume at 1 second (FEV1);
5. Biological monitoring, as required in subsection (l)(2)(B)2.;
6. Blood analysis, in addition to the analysis required under subsection (l)(2)(B)2., including blood urea nitrogen, complete blood count, and serum creatinine;
7. Urinalysis, in addition to the analysis required under subsection (l)(2)(B)2., including the determination of albumin, glucose, and total and low molecular weight proteins;
8. For males over 40 years old, prostate palpation, or other at least as effective diagnostic test(s), and;
9. Any additional tests or procedures deemed appropriate by the examining physician.
(C) Periodic biological monitoring shall be provided in accordance with subsection (l)(2)(B)2..
(D) If the results of periodic biological monitoring or the results of biological monitoring performed as part of the periodic medical examination show the level of the employee's CdU, b2-M, or CdB to be in excess of the levels specified in subsections (l)(3)(B) or (C); or, beginning on January 1, 1999, in excess of the levels specified in subsection (l)(3)(B) or (D), the employer shall take the appropriate actions specified in subsections (l)(3)(B)-(D), respectively.
(E) For previously exposed employees under subsection (l)(1)(A)2.:
1. If the employee's levels of CdU did not exceed 3 mg/g Cr, CdB did not exceed 5 mg/lwb, and b2-M did not exceed 300 mg/g Cr in the initial biological monitoring tests, and if the results of the followup biological monitoring required by subsection (l)(3)(A)2. one year after the initial examination confirm the previous results, the employer may discontinue all periodic medical surveillance for that employee.
2. If the initial biological monitoring results for CdU, CdB, or b2-M were in excess of the levels specified in (l)(3)(A), but subsequent biological monitoring results required by (l)(3)(B)-(D) show that the employee's CdU levels no longer exceed 3 mg/g Cr, CdB levels no longer exceed 5 mg/lwb, and b2-M levels no longer exceed 300 mg/g Cr, the employer shall provide biological monitoring for CdU, CdB, and b2-M one year after these most recent biological monitoring results. If the results of the followup biological monitoring, specified in this subsection, confirm the previous results, the employer may discontinue all periodic medical surveillance for that employee.
3. However, if the results of the follow-up tests specified in (l)(4)(E)1. or 2. indicate that the level of the employee's CdU, b2-M, or CdB exceeds these same levels, the employer is required to provide annual medical examinations in accordance with the provisions of subsection (l)(4)(B) until the results of biological monitoring are consistently below these levels or the examining physician determines in a written medical opinion that further medical surveillance is not required to protect the employee's health.
(F) A routine, biennial medical examination is not required to be provided in accordance with subsections (l)(3)(A) and (l)(4) if adequate medical records show that the employee has been examined in accordance with the requirements of subsection (l)(4)(B) within the past 12 months. In that case, such records shall be maintained by the employer as part of the employee's medical record, and the next routine, periodic medical examination shall be made available to the employee within two years of the previous examination.
(5) Actions Triggered by Medical Examinations:
(A) If the results of a medical examination carried out in accordance with this section indicate any laboratory or clinical finding consistent with cadmium toxicity that does not require employer action under subsections (l)(2), (3) or (4), the employer shall take the following steps and continue to take them until the physician determines that they are no longer necessary.
1. Periodically reassess: the employee's work practices and personal hygiene; the employee's respirator use, if any; the employee's smoking history and status; the respiratory protection program; the hygiene facilities; the maintenance and effectiveness of the relevant engineering controls; and take all reasonable steps to correct the deficiencies found in the reassessment that may be responsible for the employee's excess exposure to cadmium.
2. Provide semi-annual medical reexaminations to evaluate the abnormal clinical sign(s) of cadmium toxicity until the results are normal or the employee is medically removed; and
3. Where the results of tests for total proteins in urine are abnormal, provide a more detailed medical evaluation of the toxic effects of cadmium on the employee's renal system.
(6) Examination for Respirator Use:
(A) To determine an employee's fitness for respirator use, the employer shall provide a medical examination that includes the elements specified in (l)(6)(A)1.-4.. This examination shall be provided prior to the employee's being assigned to a job that requires the use of a respirator or no later than 90 days after this section goes into effect, whichever date is later, to any employee without a medical examination within the preceding 12 months that satisfies the requirements of this subsection.
1. A detailed medical and work  history, or update thereof, with emphasis on: past exposure to cadmium; smoking history and current status; any history of renal, cardiovascular, respiratory, hematopoietic, and/or musculo-skeletal system dysfunction; a description of the job for which the respirator is required; and questions 3-11 and 25-32 in Appendix D;
2. A blood pressure test;
3. Biological monitoring of the employee's levels of CdU, CdB and b2-M in accordance with the requirements of subsection (l)(2)(B)2., unless such results already have been obtained within the twelve months; and
4. Any other test or procedure that the examining physician deems appropriate.
(B) After reviewing all the information obtained from the medical examination required in subsection (l)(6)(A), the physician shall determine whether the employee is fit to wear a respirator.
(C) Whenever an employee has exhibited difficulty in breathing during a respirator fit test or during use of a respirator, the employer, as soon as possible, shall provide the employee with a periodic medical examination in accordance with subsection (l)(4)(B) to determine the employee's fitness to wear a respirator.
(D) Where the results of the examination required under subsection (l)(6)(A), (B) or (C) are abnormal, medical limitation or prohibition of respirator use shall be considered. If the employee is allowed to wear a respirator, the employee's ability to continue to do so shall be periodically evaluated by a physician.
(7) Emergency Examinations:
(A) In addition to the medical surveillance required in subsections (l)(2)-(6), the employer shall provide a medical examination as soon as possible to any employee who may have been acutely exposed to cadmium because of an emergency.
(B) The examination shall include the requirements of subsection (l)(4)(B), with emphasis on the respiratory system, other organ systems considered appropriate by the examining physician, and symptoms of acute overexposure, as identified in subsections II(B)(1)-(2) and IV of Appendix A.
(8) Termination of Employment Examination:
(A) At termination of employment, the employer shall provide a medical examination in accordance with subsection (l)(4)(B), including a chest X-ray where necessary, to any employee to whom at any prior time the employer was required to provide medical surveillance under subsections (l)(1)(A) or (l)(7). However, if the last examination satisfied the requirements of subsection (l)(4)(B) of this standard and was less than six months prior to the date of termination, no further examination is required unless otherwise specified in subsections (l)(3) or (l)(5);
(B) In addition, if the employer has discontinued all periodic medical surveillance under (l)(4)(E), no termination of employment medical examination is required.
(9) Information Provided to the Physician:
The employer shall provide the following information to the examining physician:
(A) A copy of this standard and appendices;
(B) A description of the affected employee's former, current, and anticipated duties as they relate to the employee's occupational exposure to cadmium;
(C) The employee's former, current, and anticipated future levels of occupational exposure to cadmium;
(D) A description of any personal protective equipment, including respirators, used or to be used by the employee, including when and for how long the employee has used that equipment; and
(E) Relevant results of previous biological monitoring and medical examinations.
(10) Physician's Written Medical Opinion:
(A) The employer shall promptly obtain a written, signed medical opinion from the examining physician for each medical examination performed on each employee. This written opinion shall contain: 
1. The physician's diagnosis for the employee;
2. The physician's opinion as to whether the employee has any detected medical condition(s) that would place the employee at increased risk of material impairment to health from further exposure to cadmium, including any indications of potential cadmium toxicity;
3. The results of any biological or other testing or related evaluations that directly assess the employee's absorption of cadmium;
4. Any recommended removal from, or limitation on the activities or duties of the employee or on the employee's use of personal protective equipment, such as respirators;
5. A statement that the physician has clearly and carefully explained to the employee the results of the medical examination, including all biological monitoring results and any medical conditions related to cadmium exposure that require further evaluation or treatment, and any limitation on the employee's diet or use of medications.
(B) The employer shall promptly obtain a copy of the results of any biological monitoring provided by an employer to an employee independently of a medical examination under subsections (l)(2) and (l)(4), and, in lieu of a written medical opinion, an explanation sheet explaining those results.
(C) The employer shall instruct the physician not to reveal orally or in the written medical opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to cadmium.
(11) Medical Removal Protection (MRP):
(A) General.
1. The employer shall temporarily remove an employee from work where there is excess exposure to cadmium on each occasion that medical removal is required under subsections (l)(3), (l)(4), or (l)(6) and on each occasion that a physician determines in a written medical opinion that the employee should be removed from such exposure. The physician's determination may be based on biological monitoring  results, inability to wear a respirator, evidence of illness, other signs or symptoms of cadmium-related dysfunction or disease, or any other reason deemed medically sufficient by the physician.
2. The employer shall medically remove an employee in accordance with subsection (l)(11) regardless of whether at the time of removal a job is available into which the removed employee may be transferred.
3. Whenever an employee is medically removed under subsection (l)(11), the employer shall transfer the removed employee to a job where the exposure to cadmium is within the permissible levels specified in that subsection as soon as one becomes available.
4. For any employee who is medically removed under the provisions of subsection (l)(11)(A), the employer shall provide follow-up medical examinations semi-annually until, in a written medical opinion, the examining physician determines that either the employee may be returned to his/her former job status or the employee must be permanently removed from excess cadmium exposure.
5. The employer may not return an employee who has been medically removed for any reason to his/her former job status until a physician determines in a written medical opinion that continued medical removal is no longer necessary to protect the employee's health.
(B) Where an employee is found unfit to wear a respirator under subsection (l)(6)(B), the employer shall remove the employee from work where exposure to cadmium is above the PEL.
(C) Where removal is based upon any reason other than the employee's inability to wear a respirator, the employer shall remove the employee from work where exposure to cadmium is at or above the action level.
(D) Except as specified in subsection (l)(11)(E), no employee who was removed because his/her level of CdU, CdB and/or b2-M exceeded the trigger levels in subsections (l)(3) or (l)(4) may be returned to work with exposure to cadmium at or above the action level until the employee's levels of CdU fall to or below 3 mg/g Cr, CdB fall to or below 5 mg/lwb, and b2-M fall to or below 300 mg/g Cr.
(E) However, when in the examining physician's opinion continued exposure to cadmium will not pose an increased risk to the employee's health and there are special circumstances that make continued medical removal an inappropriate remedy, the physician shall fully discuss these matters with the employee, and then in a written determination may return a worker to his/her former job status despite what would otherwise be unacceptably high biological monitoring results. Thereafter and until such time as the employee's biological monitoring results have decreased to levels where he/she could have been returned to his/her former job status, the returned employee shall continue medical surveillance as if he/she were still on medical removal. Until such time, the employee is no longer subject to mandatory medical removal. Subsequent questions regarding the employee's medical removal shall be decided solely by a final medical determination.
(F) Where an employer, although not required by this section to do so, removes an employee from exposure to cadmium or otherwise places limitations on an employee due to the effects of cadmium exposure on the employee's medical condition, the employer shall provide the same medical removal protection benefits to that employee under subsection (l)(12) as would have been provided had the removal been required under subsection (l)(11).
(12) Medical Removal Protection Benefits.
(A) The employer shall provide medical removal protection benefits to an employee for up to a maximum of 18 months each time, and while the employee is temporarily medically removed under subsection (l)(11).
(B) For purposes of this section, the requirement that the employer provide medical removal protection benefits means that the employer shall maintain the total normal earnings, seniority, and all other employee rights and benefits of the removed employee, including the employee's right to his/her former job status, as if the employee had not been removed from the employee's job or otherwise medically limited.
(C) Where, after 18 months on medical removal because of elevated biological monitoring results, the employee's monitoring results have not declined to a low enough level to permit the employee to be returned to his/her former job status:
1. the employer shall make available to the employee a medical examination pursuant to this section in order to obtain a final medical determination as to whether the employee may be returned to his/her former job status or must be permanently removed from excess cadmium exposure; and
2. the employer shall assure that the final medical determination indicates whether the employee may be returned to his/her former job status and what steps, if any, should be taken to protect the employee's health;
(D) The employer may condition the provision of medical removal protection benefits upon the employee's participation in medical surveillance provided in accordance with this section.
(13) Multiple Physician Review.
(A) If the employer selects the initial physician to conduct any medical examination or consultation provided to an employee under this section, the employee may designate a second physician to:
1. Review any findings, determinations, or recommendations of the initial physician; and
2. Conduct such examinations, consultations, and laboratory tests as the second physician deems necessary to facilitate this review.
(B) The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician provided by the employer conducts a medical examination or consultation pursuant to this section. The employer may condition its participation in, and payment for, multiple physician review upon the employee doing the following within fifteen (15) days after receipt of this notice, or receipt of the initial physician's written opinion, whichever is later:
1. Informing the employer that he or she intends to seek a medical opinion; and
2. Initiating steps to make an appointment with a second physician.
(C) If the findings, determinations, or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
(D) If the two physicians have been unable to quickly resolve their disagreement, then the employer and the employee, through their respective physicians, shall designate a third physician to:
1. Review any findings, determinations, or recommendations of the other two physicians; and
2. Conduct such examinations, consultations, laboratory tests, and discussions with the other two physicians as the third physician deems necessary to resolve the disagreement among them.
(E) The employer shall act consistently with the findings, determinations, and recommendations of the third physician, unless the employer and the employee reach an agreement that is consistent with the recommendations of at least one of the other two physicians.
(14) Alternate Physician Determination.
The employer and an employee or designated employee representative may agree upon the use of any alternate form of physician determination in lieu of the multiple physician review provided by subsection (l)(13), so long as the alternative is expeditious and at least as protective of the employee.
(15) Information the Employer Must Provide the Employee.
(A) The employer shall provide a copy of the physician's written medical opinion to the examined employee within five working days after receipt thereof.
(B) The employer shall provide the employee with a copy of the employee's biological monitoring results and an explanation sheet explaining the results within five working days after receipt thereof.
(C) Within 30 days after a request by an employee, the employer shall provide the employee with the information the employer is required to provide the examining physician under subsection (l)(9).
(16) Reporting.
In addition to other medical events that are required to be reported on the Cal/OSHA Form No. 200, the employer shall report any abnormal condition or disorder caused by occupational exposure to cadmium associated with employment as specified in Title 8, Section 14301.
(m) Communication of Cadmium Hazards to Employees.
(1) General.
In communications concerning cadmium hazards, employers shall comply with the requirements of the Hazard Communication Standard, section 5194, including but not limited to the requirements concerning warning signs and labels, material safety data sheets (MSDS), and employee information and training. In addition, employers shall comply with the following requirements:
(2) Warning Signs.
(A) Warning signs shall be provided and displayed in regulated areas. In addition, warning signs shall be posted at all approaches to regulated areas so that an employee may read the signs and take necessary protective steps before entering the area.
(B) Warning signs required by subsection (m)(2)(A) shall bear the following information:

DANGER
CADMIUM
CANCER HAZARD
CAN CAUSE LUNG AND KIDNEY DISEASE
AUTHORIZED PERSONNEL ONLY
RESPIRATORS REQUIRED IN THIS AREA
(C) The employer shall assure that signs required by this subsection are illuminated, cleaned, and maintained as necessary so that the legend is readily visible.
(3) Warning Labels.
(A) Shipping and storage containers containing cadmium, cadmium compounds, or cadmium contaminated clothing, equipment, waste, scrap, or debris shall bear appropriate warning labels, as specified in subsection (m)(3)(B).
(B) The warning labels shall include at least the following information:

DANGER
CONTAINS CADMIUM
CANCER HAZARD
AVOID CREATING DUST
CAN CAUSE LUNG AND KIDNEY DISEASE
(C) Where feasible, installed cadmium products shall have a visible label or other indication that cadmium is present.
(4) Employee Information and Training.
(A) The employer shall institute a training program for all employees who are potentially exposed to cadmium, assure employee participation in the program, and maintain a record of the contents of such program.
(B) Training shall be provided prior to or at the time of initial assignment to a job involving potential exposure to cadmium and at least annually thereafter.
(C) The employer shall make the training program understandable to the employee and shall assure that each employee is informed of the following:
1. The health hazards associated with cadmium exposure, with special attention to the information incorporated in Appendix A;
2. The quantity, location, manner of use, release, and storage of cadmium in the workplace and the specific nature of operations that could result in exposure to cadmium, especially exposures above the PEL;
3. The engineering controls and work practices associated with the employee's job assignment;
4. The measures employees can take to protect themselves from exposure to cadmium, including modification of such habits as smoking and personal hygiene, and specific procedures the employer has implemented to protect employees from exposure to cadmium such as appropriate work practices, emergency procedures, and the provision of personal protective equipment;
5. The purpose, proper selection, fitting, proper use, and limitations of respirators and protective clothing;
6. The purpose and a description of the medical surveillance program required by subsection (l);
7. The contents of this section and its appendices, and,
8. The employee's rights of access to records under section 3204(e) and (g).
(D) Additional access to information and training program and materials.
1. The employer shall make a copy of this section and its appendices readily available to all affected employees and shall provide a copy without cost if requested.
2. Upon request, the employer shall provide to the Chief or NIOSH all materials relating to the employee information and the training program.
(5) Multi-employer Workplace.
In a multi-employer workplace, an employer who produces, uses, or stores cadmium in a manner that may expose employees of other employers to cadmium shall notify those employers of the potential hazard in accordance with subsection (e) of the hazard communication standard, section 5194.
(n) Recordkeeping.
(1) Exposure Monitoring.
(A) The employer shall establish and keep an accurate record of all air monitoring for cadmium in the workplace.
(B) This record shall include at least the following information:
1. The monitoring date, shift, duration, air volume, and results in terms of an 8-hour TWA of each sample taken, and if cadmium is not detected, the detection level;
2. The name, social security number, and job classification of all employees monitored and of all other employees whose exposures the monitoring result is intended to represent, including, where applicable, a description of how it was determined that the employee's monitoring result could be taken to represent other employee's exposures;
3. A description of the sampling and analytical methods used and evidence of their accuracy;
4. The type of respiratory protective device, if any, worn by the monitored employee and by any other employee whose exposure the monitoring result is intended to represent;
5. A notation of any other conditions that might have affected the monitoring results.
6. Any exposure monitoring or objective data that were used and the levels.
(C) The employer shall maintain this record for at least thirty (30) years, in accordance with section 3204.
(D) The employer shall also provide a copy of the results of an employee's air monitoring prescribed in subsection (d) of this standard to an industry trade association and to the employee's union, if any, or, if either of such associations or unions do not exist, to another comparable organization that is competent to maintain such records and is reasonably accessible to employers and employees in the industry.
(2) Objective Data for Exemption from Requirement for Initial Monitoring.
(A) For purposes of this section, objective data are information demonstrating that a particular product or material containing cadmium or a specific process, operation, or activity involving cadmium cannot release dust or fumes in concentrations at or above the action level even under the worst-case release conditions. Objective data can be obtained from an industry-wide study or from laboratory product test results from manufacturers of cadmium-containing products or materials. The data the employer uses from an industry-wide survey must be obtained under workplace conditions closely resembling the processes, types of material, control methods, work practices and environmental conditions in the employer's current operations.
(B) The employer shall maintain the record for at least 30 years of the objective data relied upon.
(3) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee covered by medical surveillance under subsection (l)(1)(A).
(B) The record shall include at least the following information about the employee:
1. Name, social security number, and description of duties;
2. A copy of the physician's written opinions and of the explanation sheets for biological monitoring results;
3. A copy of the medical history, and the results of any physical examination and all test results that are required to be provided by this section, including biological tests, X-rays, pulmonary function tests, etc., or that have been obtained to further evaluate any condition that might be related to cadmium exposure;
4. The employee's medical symptoms that might be related to exposure to cadmium; and
5. A copy of the information provided to the physician as required by subsection (l)(9).
(C) The employer shall assure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with section 3204.
(D) At the employee's request, the employer shall promptly provide a copy of the employee's medical record, or update as appropriate, to a medical doctor or a union specified by the employee.
(4) Training.
The employer shall certify that employees have been trained by preparing a certification record which includes the identity of the person trained, the signature of the employer or the person who conducted the training, and the date the training was completed. The certification records shall be prepared at the completion of training and shall be maintained on file for one (1) year beyond the date of training of that employee.
(5) Availability.
(A) Except as otherwise provided for in this section, access to all records required to be maintained by subsections (n)(1)-(4) shall be in accordance with the provisions of section 3204.
(B) Within 15 days after a request, the employer shall make an employee's medical records required to be kept by subsection (n)(3) available for examination and copying to the subject employee, to designated representatives, to anyone having the specific written consent of the subject employee, and after the employee's death or incapacitation, to the employee's family members.
(6) Transfer of Records.
Whenever an employer ceases to do business and there is no successor employer or designated organization to receive and retain records for the prescribed period, the employer shall comply with the requirements concerning transfer of records set forth in section 3204 (h).
(o) Observation of Monitoring.
(1) Employee Observation.
The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to cadmium.
(2) Observation Procedures.
When observation of monitoring requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with that clothing and equipment and shall assure that the observer uses such clothing and equipment and complies with all other applicable safety and health procedures.
(p) Reporting requirements. See section 5203.
(q) Dates.
(1) Effective Date.
This section shall become effective on June 14, 1993.
(2) Start-up Dates.
All obligations of this section commence on the effective date except as follows:
(A) Exposure monitoring. Except for small businesses [nineteen (19) or fewer employees], initial monitoring required by subsection (d)(2) shall be completed as soon as possible and in any event no later than 60 days after the effective date of this standard. For small businesses, initial monitoring required by subsection (d)(2) shall be completed as soon as possible and in any event no later than 120 days after the effective date of this standard.
(B) The permissible exposure limit (PEL). Except for small businesses, as defined under subsection (q)(2)(A) above, the employer shall comply with the PEL established by subsection (c) as soon as possible and in any event no later than 90 days after the effective date. For small businesses, the employer shall comply with the PEL established by subsection (c) as soon as possible and in any event  no later than 150 days after the effective date of this section.
(C) Regulated areas. Except for small businesses, as defined under subsection (q)(2)(A) above, regulated areas required to be established by subsection (e) shall be set up as soon as possible after the results of exposure monitoring are known and in any event no later than 90 days after the effective date of this section. For small businesses, regulated areas required to be established by subsection (e) shall be set up as soon as possible after the results of exposure monitoring are known and in any event no later than 150 days after the effective date of this section.
(D) Respiratory protection. Except for small businesses, as defined under subsection (q)(2)(A) above, respiratory protection required by subsection (g) shall be provided as soon as possible and in any event no later than 90 days after the effective date of this section. For small businesses, respiratory protection required by subsection (g) shall be provided as soon as possible and in any event no later than 150 days after the effective date of this section.
(E) Compliance program. Except for small businesses, as defined under subsection (q)(2)(A) above, written compliance programs required by subsection (f)(2) shall be completed and available as soon as possible and in any event no later than 90 days after the effective date of this section. For small businesses, written compliance programs required by subsection (f)(2) shall be completed and available as soon as possible and in any event no later than 180 days after the effective date of this section.
(F) Methods of compliance. Except for small businesses, as defined under subsection (q)(2)(A) above, the engineering controls required by subsection (f)(1) shall be implemented as soon as possible and in any event no later than 120 days after the effective date of this section. For small businesses, the engineering controls required by subsection (f)(1) shall be implemented as soon as possible and in any event no later than 240 days after the effective date of this section. Work practice controls shall be implemented as soon as possible. Work practice controls that are directly related to engineering controls to be implemented shall be implemented as soon as possible after such engineering controls are implemented.
(G) Hygiene and lunchroom facilities. Except for small businesses, as defined under subsection (q)(2)(A) above, handwashing facilities, showers, change rooms and eating facilities required by subsection (j), whether permanent or temporary, shall be provided as soon as possible and in any event no later than 60 days after the effective date of this section. For small businesses, handwashing facilities, showers, change rooms and eating facilities required by subsection (j), whether permanent or temporary, shall be provided as soon as possible and in any event no later than 120 days after the effective date of this section.
(H) Employee information and training. Except for small businesses, as defined under subsection (q)(2)(A) above, employee information and training required by subsection (m)(4) of this standard shall be provided as soon as possible and in any event no later than 90 days after the effective date of this standard. For small businesses, employee information and training required by subsection (m)(4) of this standard shall be provided as soon as possible and in any event no later than 180 days after the effective date of this standard.
(I) Medical surveillance. Except for small businesses, as defined under subsection (q)(2)(A) above, initial medical examinations required by subsection (l) of this standard shall be provided as soon as possible and in any event no later than 90 days after the effective date of this standard. For small businesses, initial medical examinations required by subsection (l) of this standard shall be provided as soon as possible and in any event no later than 180 days after the effective date of this standard.
(r) Appendices.
(1) Appendix C to this section is incorporated as part of this section, and compliance with its contents is mandatory.
(2) Except where portions of appendices A, B, D, E, and F to this section are expressly incorporated in requirements of this section, these appendices are purely informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. Repealer and new section filed 4-30-93; operative 6-14-93 (Register 93, No. 18). For prior history, see Register 84, No. 50.
2. Editorial correction of printing error in subsection (b) (Register 93, No. 22).
3. Change without regulatory effect, repealing appendices A-D and adding internal cross-references, and amending internal cross-references for appendices E-F, filed 9-30-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 40).
4. Amendment of subsections (a)(6), (f)(5)(A), (g)(2)(A) (Table 1), (l)(1)(A)1., (l)(3)(A)2., (l)(4)(D)-(l)(4)(D)2., (l)(6)(D), (l)(8)(B) and (m)(4)(C)8. and amendment of Note filed 1-2-97; operative 1-2-97 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 97, No. 1).
5. Amendment of former subsections (g)(1)-(g)(4)(E) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(B)2., and amendment of editorial reference following appendix C heading filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
6. Amendment of subsection (p) and repealer of subsections (p)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
7. Amendment of subsection (g) and (g)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
8. Amendment of subsections (g)(3)(A) and new subsections (g)(3)(C)-(D) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Substance Safety Data Sheet
Cadmium
Refer to section 5207, Appendix A.

Appendix B

Substance Technical Guidelines for Cadmium
Refer to section 5207, Appendix B.

Appendix C

Qualitative and Quantitative
Fit Testing Procedures
[See Section 5144, Appendix A]

Appendix D

Occupational Health History Interview
With Reference to Cadmium Exposure
Refer to section 5207, Appendix D.

Appendix E

CADMIUM IN WORKPLACE ATMOSPHERES
Refer to section 5207, Appendix E.

Appendix F

NONMANDATORY PROTOCOL FOR BIOLOGICAL
MONITORING
Refer to section 5207, Appendix F.
§1532.1. Lead.
Note     •     History

(a) Scope. This section applies to all construction work where an employee may be occupationally exposed to lead. All construction work excluded from coverage in the general industry standard for lead by section 5198(a)(2) is covered by this standard. Construction work is defined as work for construction, alteration and/or repair, including painting and decorating. It includes but is not limited to the following:
(1) Demolition or salvage of structures where lead or materials containing lead are present;
(2) Removal or encapsulation of materials containing lead;
(3) New construction, alteration, repair, or renovation of structures, substrates, or portions thereof, that contain lead, or materials containing lead;
(4) Installation of products containing lead;
(5) Lead contamination/emergency cleanup;
(6) Transportation, disposal, storage, or containment of lead or materials containing lead on the site or location at which construction activities are performed, and
(7) Maintenance operations associated with the construction activities described in this subsection.
(b) Definitions.
Action level means employee exposure, without regard to the use of respirators, to an airborne concentration of lead of 30 micrograms per cubic meter of air (30 mg/m3) calculated as an 8-hour time-weighted average (TWA).
Chief means the Chief of the Division of Occupational Safety and Health or designee.
Lead means metallic lead, all inorganic lead compounds, and organic lead soaps. Excluded from this definition are all other organic lead compounds.
NIOSH means the National Institute of Occupational Safety and Health (NIOSH), U.S. Department of Health and Human Services or designee.
Supervisor means one who is capable of identifying existing and predictable lead hazards in the surroundings or working conditions and who has authorization to take prompt corrective measures to eliminate them. Supervisors shall be trained, as required by this section, and, when required, be certified consistent with section (l)(3).
(c) Permissible exposure limit. 
(1) The employer shall assure that no employee is exposed to lead at concentrations greater than fifty micrograms per cubic meter of air (50 mg/m3) averaged over an 8-hour period.
(2) If an employee is exposed to lead for more than 8 hours in any work day the employees' allowable exposure, as a time weighted average (TWA) for that day, shall be reduced according to the following formula:
Allowable employee exposure (in mg/m3)=400 divided by hours worked in the day.
(3) When respirators are used to limit employee exposure as required under subsection (c) and all the requirements of subsections (e)(1) and (f) have been met, employee exposure may be considered to be at the level provided by the protection factor of the respirator for those periods the respirator is worn. Those periods may be averaged with exposure levels during periods when respirators are not worn to determine the employee's daily TWA exposure.
(d) Exposure assessment. 
(1) General. 
(A) Each employer who has a workplace or operation covered by this standard shall initially determine if any employee may be exposed to lead at or above the action level.
(B) For the purposes of subsection (d), employee exposure is that exposure which would occur if the employee were not using a respirator.
(C) With the exception of monitoring under subsection (d)(3), where monitoring is required under this section, the employer shall collect personal samples representative of a full shift including at least one sample for each job classification in each work area either for each shift or for the shift with the highest exposure level.
(D) Full shift personal samples shall be representative of the monitored employee's regular, daily exposure to lead.
(2) Protection of employees during assessment of exposure.
(A) With respect to the lead related tasks listed in subsection (d)(2)(A), where lead is present, until the employer performs an employee exposure assessment as required in subsection (d) and documents that the employee performing any of the listed tasks is not exposed above the PEL, the employer shall treat the employee as if the employee were exposed above the PEL, and not in excess of ten (10) times the PEL, and shall implement employee protective measures prescribed in subsection (d)(2)(E). The tasks covered by this requirement are:
1. Where lead containing coatings or paint are present: manual demolition of structures (e.g., dry wall), manual scraping, manual sanding, heat gun applications, and power tool cleaning with dust collection systems;
2. Spray painting with lead paint
(B) In addition, with regard to tasks not listed in subsection (d)(2)(A), where the employer has any reasons to believe that an employee performing the task may be exposed to lead in excess of the PEL, until the employer performs an employee exposure assessment as required by subsection (d) and documents that the employee's lead exposure is not above the PEL the employer shall treat the employee as if the employee were exposed above the PEL and shall implement employee protective measures as prescribed in subsection (d)(2)(E).
(C) With respect to the tasks listed in this subsection (d)(2)(C), where lead is present, until the employer performs an employee exposure assessment as required in subsection (d), and documents that the employee performing any of the listed tasks is not exposed in excess of 500 mg/m3, the employer shall treat the employee as if the employee were exposed to lead in excess of 500 mg/m3 and shall implement employee protective measures as prescribed in subsection (d)(2)(E). Where the employer does establish that the employee is exposed to levels of lead below 500 mg/m3, the employer may provide the exposed employee with the appropriate respirator prescribed for such use at such lower exposures, in accordance with Table 1 of this section. The tasks covered by this requirement are:
1. Using lead containing mortar; lead burning
2. Where lead containing coatings or paint are present: rivet busting; power tool cleaning without dust collection systems; cleanup activities where dry expendable abrasives are used; and abrasive blasting enclosure movement and removal.
(D) With respect to the tasks listed in this subsection (d)(2)(D) of this section, where lead is present, until the employer performs an employee exposure assessment as required in subsection (d) and documents that the employee performing any of the listed tasks is not exposed to lead in excess of 2,500 mg/m3 (50 x PEL), the employer shall treat the employee as if the employee were exposed to lead in excess of 2,500  mg/m3 and shall implement employee protective measures as prescribed in subsection (d)(2)(E). Where the employer does establish that the employee is exposed to levels of lead below 2,500 mg/m3 , the employer may provide the exposed employee with the appropriate respirator prescribed for use at such lower exposures, in accordance with Table I of this section. Interim protection as described in this subsection is required where lead containing coatings or  paint are present on structures when performing: 
1. Abrasive blasting,
2. Welding,
3. Cutting, and
4. Torch burning.
(E) Until the employer performs an employee exposure assessment as required under subsection (d) and determines actual employee exposure, the employer shall provide to employees performing the tasks described in subsections (d)(2)(A), (d)(2)(B), (d)(2)(C) and (d)(2)(D) with interim protection as follows:
1. Appropriate respiratory protection in accordance with subsection (f).
2. Appropriate personal protective clothing and equipment in accordance with subsection (g).
3. Change areas in accordance with subsection (i)(2).
4. Hand washing facilities in accordance with subsection (i)(5).
5. Biological monitoring in accordance with subsection (j)(1)(A), to consist of blood sampling and analysis for lead and zinc protoporphyrin levels, and
6. Training as required under subsection (l)(1)(A) regarding section 5194, Hazard Communication; training as required under subsection (l)(2)(C), regarding use of respirators; and training in accordance with section 1510, Safety Instruction for Employees.
(3) Basis of initial determination. 
(A) Except as provided under subsections (d)(3)(C) and (d)(3)(D) the employer shall monitor employee exposures and shall base initial determinations on the employee exposure monitoring results and any of the following, relevant considerations:
1. Any information, observations, or calculations which would indicate employee exposure to lead;
2. Any previous measurements of airborne lead; and
3. Any employee complaints of symptoms which may be attributable to exposure to lead.
(B) Monitoring for the initial determination where performed may be limited to a representative sample of the exposed employees who the employer reasonably believes are exposed to the greatest airborne concentrations of lead in the workplace.
(C) Where the employer has previously monitored for lead exposures, and the data were obtained within the past 12 months during work operations conducted under workplace conditions closely resembling the processes, type of material, control methods, work practices, and environmental conditions used and prevailing in the employer's current operations, the employer may rely on such earlier monitoring results to satisfy the requirements of subsections (d)(3)(A) and (d)(6) if the sampling and analytical methods meet the accuracy and confidence levels of subsection (d)(9).
(D) Where the employer has objective data, demonstrating that a particular product or material containing lead or a specific process, operation or activity involving lead cannot result in employee exposure to lead at or above the action level during processing, use, or handling, the employer may rely upon such data instead of implementing initial monitoring.
1. The employer shall establish and maintain an accurate record documenting the nature and relevance of objective data as specified in subsection (n)(4), where used in assessing employee exposure in lieu of exposure monitoring.
2. Objective data, as described in subsection (d)(3)(D), is not permitted to be used for exposure assessment in connection with subsection (d)(2).
3. Objective data for surface coatings and materials that contain lead shall meet the following methodology:
a. Lead analysis shall be performed for each unique surface coating and material that may constitute a health hazard to employees engaged in activities within the scope of this section and;
b. Analysis of surface coatings and materials shall be performed in a manner that meets the requirements of subsection (d)(9) and shall be recorded, as described in subsection (n)(4),
(4) Positive initial determination and initial monitoring. 
(A) Where a determination conducted under subsections (d)(1), (2) and (3) shows the possibility of any employee exposure at or above the action level the employer shall conduct monitoring which is representative of the exposure for each employee in the workplace who is exposed to lead.
(B) Where the employer has previously monitored for lead exposure, and the data were obtained within the past 12 months during work operations conducted under workplace conditions closely resembling the processes, type of material, control methods, work practices, and environmental conditions used and prevailing in the employer's current operations, the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (d)(4)(A) if the sampling and analytical methods meet the accuracy and confidence levels of subsection (d)(9).
(C) Objective data for an initial assessment that demonstrate surface coating or material that contain lead at concentrations equal to or exceeding 0.06% lead dry weight (600 ppm) demonstrate the presence of lead surface coatings or material that constitute a health hazard to employees engaged in lead-related construction work. The lead concentration of paint or materials is based on the lead content in the nonvolatile components of the surface coating or material such as paint. Objective data as described in this subsection are not permitted to be used in lieu of exposure assessment in connection with lead-related tasks listed in subsection (d)(2).
(5) Negative initial determination. 
(A) Where a determination, conducted under subsections (d)(1), (2), and (3) is made that no employee is exposed to airborne concentrations of lead at or above the action level the employer shall make a written record of such determination. The record shall include at least the information specified in subsection (d)(3)(A) and shall also include the date of determination, location within the worksite, and the name and social security number of each employee monitored.
(B) Objective data that meet the requirements of subsection (n)(4) for an initial assessment that demonstrate surface coating or material that contain lead at concentrations less than 0.06% lead dry weight (600 ppm) are sufficient to establish a negative determination. The lead concentration of surface coatings or materials is based on the lead content in the nonvolatile components of the surface coating or material such as paint. Objective data as described in this subsection are not permitted to be used in lieu of exposure assessment in connection with lead-related tasks listed in subsection (d)(2).
(6) Frequency. 
(A) If the initial determination reveals employee exposure to be below the action level further exposure determination need not be repeated except as otherwise provided in subsection (d)(7).
(B) If the initial determination or subsequent determination reveals employee exposure to be at or above the action level but at or below the PEL the employer shall perform monitoring in accordance with this subsection at least every 6 months. The employer shall continue monitoring at the required frequency until at least two consecutive measurements, taken at least 7 days apart, are below the action level at which time the employer may discontinue monitoring for that employee except as otherwise provided in subsection (d)(7).
(C) If the initial determination reveals that employee exposure is above the PEL the employer shall perform monitoring quarterly. The employer shall continue monitoring at the required frequency until at least two consecutive measurements, taken at least 7 days apart, are at or below the PEL but at or above the action level at which time the employer shall repeat monitoring for that employee at the frequency specified in subsection (d)(6)(B), except as otherwise provided in subsection (d)(7). The employer shall continue monitoring at the required frequency until at least two consecutive measurements, taken at least 7 days apart, are below the action level at which time the employer may discontinue monitoring for that employee except as otherwise provided in subsection (d)(7).
(7) Additional exposure assessments. Whenever there has been a change of equipment, process, control, personnel or a new task has been initiated that may result in additional employees being exposed to lead at or above the action level or may result in employees already exposed at or above the action level being exposed above the PEL, the employer shall conduct additional monitoring in accordance with this subsection.
(8) Employee notification. 
(A) Within 5 working days after completion of the exposure assessment the employer shall notify each employee in writing of the results which represent that employee's exposure.
(B) Whenever the results indicate that the representative employee exposure, without regard to respirators, is at or above the PEL the employer shall include in the written notice a statement that the employees exposure was at or above that level and a description of the corrective action taken or to be taken to reduce exposure to below that level.
(9) “Accuracy of measurement”. The employer shall use a method of monitoring and analysis which has an accuracy (to a confidence level of 95%) of not less than plus or minus 25 percent for airborne concentrations of lead equal to or greater than 30 mg/m3. Methods for the determination of lead concentrations of surface coatings and material shall be determined by methods which have an accuracy (to a confidence level of 95 percent) of not less than plus or minus 25 percent at 0.06% lead dry weight (600 ppm).
(e) Methods of compliance
(1) Engineering and work practice controls. 
(A) General. The employer shall implement engineering and work practice controls, including administrative controls, to reduce and maintain employee exposure to lead to or below the permissible exposure limit to the extent that such controls are feasible. Wherever all feasible engineering and work practices controls that can be instituted are not sufficient to reduce employee exposure to or below the permissible exposure limit prescribed in subsection (c), the employer shall nonetheless use them to reduce employee exposure to the lowest feasible level and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (f).
(2) Compliance program. 
(A) Prior to commencement of the job each employer shall establish and implement a written compliance program to achieve compliance with subsection (c).
(B) Written plans for these compliance programs shall include at least the following:
1. A description of each activity in which lead is emitted; e.g. equipment used, material involved, controls in place, crew size, employee job responsibilities, operating procedures and maintenance practices;
2. A description of the specific means that will be employed to achieve compliance and, where engineering controls are required engineering plans and studies used to determine methods selected for controlling exposure to lead;
3. A report of the technology considered in meeting the PEL;
4. Air monitoring data which documents the source of lead emissions;
5. A detailed schedule for implementation of the program, including documentation such as copies of purchase orders for equipment, construction contracts, etc.;
6. A work practice program which includes items required under subsections (g), (h) and (i) and incorporates other relevant work practices such as those specified in subsection (e)(5);
7. An administrative control schedule required by subsection (e)(4), if applicable;
8. A description of arrangements made among contractors on multi-contractor sites with respect to informing affected employees of potential exposure to lead and of regulated areas.
9. Other relevant information.
(C) The compliance program shall provide for frequent and regular inspections of job sites, regulated areas, materials, and equipment to be made by a supervisor.
(D) Written programs shall be submitted upon request to any affected employee or authorized employee representatives, to the Chief and NIOSH, and shall be available at the worksite for examination and copying by the Chief and NIOSH.
(E) Written programs shall be revised and updated at least every 6 months to reflect the current status of the program.
(3) Mechanical ventilation. When ventilation is used to control lead exposure, the employer shall evaluate the mechanical performance of the system in controlling exposure as necessary to maintain its effectiveness.
(4) Administrative controls. If administrative controls are used as a means of reducing employees TWA exposure to lead, the employer shall establish and implement a job rotation schedule which includes:
(A) Name or identification number of each affected employee;
(B) Duration and exposure levels at each job or work station where each affected employee is located; and
(C) Any other information which may be useful in assessing the reliability of administrative controls to reduce exposure to lead.
(5) The employer shall ensure that, to the extent relevant, employees follow good work practices such as described in Appendix B of this section.
(f) Respiratory protection.
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods when an employee's exposure to lead exceeds the PEL;
(B) Work operations for which engineering controls and work practices are not sufficient to reduce exposures to or below the PEL;
(C) Periods when an employee requests a respirator; and
(D) Periods when respirators are required to provide interim protection for employees while they perform the operations specified in subsection (d)(2).
(2) Respirator program.
(A) An employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(B) If an employee exhibits breathing difficulty during fit testing or respirator use, the employer must provide the employee with a medical examination in accordance with subsection (j)(3)(A)2. to determine if the employee can use a respirator while performing the required duties.
(3) Respirator selection. 
(A) The employer shall select, and provide to employees, the appropriate respirator or combination of respirators specified in Section 5144(d)(3)(A)1.
(B) The employer shall provide a powered, air-purifying respirator in lieu of the respirator specified in Section 5144(d)(3)(A)1 whenever:
1. An employee chooses to use this type of respirator; and 
2. This respirator will provide adequate protection to the employee.
(C) The employer shall provide employees with a full facepiece respirator instead of a half mask respirator for protection against lead aerosols that may cause eye or skin irritation at the use concentrations.
(D) The employer shall provide HEPA filters for powered and non-powered air-purifying respirators.
(g) Protective work clothing and equipment. 
(1) Provision and use. Where an employee is exposed to lead above the PEL without regard to the use of respirators, where employees are exposed to lead compounds which may cause skin or eye irritation (e.g. lead arsenate, lead azide), and as interim protection for employees performing tasks as specified in subsection (d)(2), the employer shall provide at no cost to the employee and assure that the employee uses appropriate protective work clothing and equipment that prevents contamination of the employee and the employee's garments such as, but not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, hats, and shoes or disposable shoe coverlets; and
(C) Face shields, vented goggles, or other appropriate protective equipment which complies with section 1516.
(2) Cleaning and replacement. 
(A) The employer shall provide the protective clothing required in subsection (g)(1) in a clean and dry condition at least weekly, and daily to employees whose exposure levels without regard to a respirator are over 200 mg/m3 of lead as an 8-hour TWA.
(B) The employer shall provide for the cleaning, laundering, and disposal of protective clothing and equipment required by subsection (g)(1).
(C) The employer shall repair or replace required protective clothing and equipment as needed to maintain their effectiveness.
(D) The employer shall assure that all protective clothing is removed at the completion of a work shift only in change areas provided for that purpose as prescribed in subsection (i)(2).
(E) The employer shall assure that contaminated protective clothing which is to be cleaned, laundered, or disposed of, is placed in a closed container in the change area which prevents dispersion of lead outside the container.
(F) The employer shall inform in writing any person who cleans or launders protective clothing or equipment of the potentially harmful effects of exposure to lead.
(G) The employer shall assure that the containers of contaminated protective clothing and equipment required by subsection (g)(2)(E) are labelled as follows:
Caution: Clothing contaminated with lead. Do not remove dust by blowing or shaking. Dispose of lead contaminated wash water in accordance with applicable local, state, or federal regulations.
(H) The employer shall prohibit the removal of lead from protective clothing or equipment by blowing, shaking, or any other means which disperses lead into the air.
(h) Housekeeping.
(1) All surfaces shall be maintained as free as practicable of accumulations of lead.
(2) Clean-up of floors and other surfaces where lead accumulates shall wherever possible, be cleaned by vacuuming or other methods that minimize the likelihood of lead becoming airborne.
(3) Shoveling, dry or wet sweeping, and brushing may be used only where vacuuming or other equally effective methods have been tried and found not to be effective.
(4) Where vacuuming methods are selected, the vacuums shall be equipped with HEPA filters and used and emptied in a manner which minimizes the reentry of lead into the workplace.
(5) Compressed air shall not be used to remove lead from any surface unless the compressed air is used in conjunction with a ventilation system designed to capture the airborne dust created by the compressed air.
(i) Hygiene facilities, practices and regulated areas. 
(1) The employer shall assure that in areas where employees are exposed to lead above the PEL without regard to the use of respirators, food or beverage is not present or consumed, tobacco products are not present or used, and cosmetics are not applied.
(2) Change areas. 
(A) The employer shall provide clean change areas for employees whose airborne exposure to lead is above the PEL, and as interim protection for employees performing tasks as specified in subsection (d)(2), without regard to the use of respirators.
(B) The employers shall assure that change areas are equipped with separate storage facilities for protective work clothing and equipment and for street clothes which prevent cross-contamination.
(C) The employer shall assure that employees do not leave the workplace wearing any protective clothing or equipment that is required to be worn during the work shift.
(3) Showers. 
(A) The employer shall provide shower facilities, where feasible, for use by employees whose airborne exposure to lead is above the PEL.
(B) The employer shall assure, where shower facilities are available, that employees shower at the end of the work shift and shall provide an adequate supply of cleansing agents and towels for use by affected employees.
(4) Eating facilities. 
(A) The employer shall provide lunchroom facilities or eating areas for employees whose airborne exposure to lead is above the PEL, without regard to the use of respirators.
(B) The employer shall assure that lunchroom facilities or eating areas are as free as practicable from lead contamination and are readily accessible to employees.
(C) The employer shall assure that employees whose airborne exposure to lead is above the PEL, without regard to the use of a respirator, wash their hands and face prior to eating, drinking, smoking or applying cosmetics.
(D) The employer shall assure that employees do not enter lunchroom facilities or eating areas with protective work clothing or equipment unless surface lead dust has been removed by vacuuming, downdraft booth, or other cleaning method that limits dispersion of lead dust.
(5) Hand Washing facilities.
(A) The employer shall provide adequate handwashing facilities for use by employees exposed to lead in accordance with section 1527.
(B) Where showers are not provided the employer shall assure that employees wash their hands and face at the end of the work-shift.
(6) Regulated Area.
(A) Employers shall establish regulated areas, where feasible, for work areas where employees are exposed to lead at or above the PEL or performing the tasks described in subsection (d)(2).
(B) Regulated areas shall be posted with signs as described in subsection (m)(2).
(C) Employers shall restrict access to the regulated area to employees authorized by the supervisor, to representatives of affected employees, as described in subsection (o) and to persons authorized by the Chief or NIOSH.
(D) Each employee authorized to enter the regulated area shall be provided with and be required to wear protective equipment required by subsections (f) and (g).
(j) Medical surveillance. 
(1) General. 
(A) The employer shall make available initial medical surveillance to employees occupationally exposed on any day to lead at or above the action level. Initial medical surveillance consists of biological monitoring in the form of blood sampling and analysis for lead and zinc protoporphyrin levels.
(B) The employer shall institute a medical surveillance program in accordance with subsections (j)(2) and (j)(3) for all employees who are or may be exposed by the employer at or above the action level for more than 30 days in any consecutive 12 months;
(C) The employer shall assure that all medical examinations and procedures are performed by or under the supervision of a licensed physician.
(D) The employer shall make available the required medical surveillance including multiple physician review under subsection (j)(3)(C) without cost to employees and at a reasonable time and place.
(2) Biological monitoring. 
(A) Blood lead and ZPP level sampling and analysis. The employer shall make available biological monitoring in the form of blood sampling and analysis for lead and zinc protoporphyrin levels to each employee covered under subsections (j)(1)(A) and (B) on the following schedule:
1. For each employee covered under subsection (j)(1)(B), at least every 2 months for the first 6 months and every 6 months thereafter;
2. For each employee covered under subsections (j)(1)(A) or (B) whose last blood sampling and analysis indicated a blood lead level at or above 40 mg/dl, at least every two months. This frequency shall continue until two consecutive blood samples and analyses indicate a blood lead level below 40 mg/dl; and
3. For each employee who is removed from exposure to lead due to an elevated blood lead level at least monthly during the removal period.
(B) Follow-up blood sampling tests. Whenever the results of a blood lead level test indicate that an employee's blood lead level is at or above the numerical criterion for medical removal under subsection (k)(1)(A), the employer shall provide a second (follow-up) blood sampling test within two weeks after the employer receives the results of the first blood sampling test.
(C) Accuracy of blood lead level sampling and analysis. Blood lead level sampling and analysis provided pursuant to this section shall have an accuracy (to a confidence level of 95 percent) within plus or minus 15 percent or 6 mg/dl, whichever is greater, and shall be conducted by a laboratory approved by OSHA. 
(D) Employee notification. 
1. Within five working days after the receipt of biological monitoring results, the employer shall notify each employee in writing of his or her blood lead level; and 
2. The employer shall notify each employee whose blood lead level is at or above 40 mg/dl that the standard requires temporary medical removal with Medical Removal Protection benefits when an employee's blood lead level is at or above the numerical criterion for medical removal under subsection (k)(1)(A).
(3) Medical examinations and consultations. 
(A) Frequency. The employer shall make available medical examinations and consultations to each employee covered under subsection (j)(1)(B) on the following schedule:
1. At least annually for each employee for whom a blood sampling test conducted at any time during the preceding 12 months indicated a blood lead level at or above 40 mg/dl;
2. As soon as possible, upon notification by an employee either that the employee has developed signs or symptoms commonly associated with lead intoxication, that the employee desires medical advice concerning the effects of current or past exposure to lead on the employee's ability to procreate a healthy child, that the employee is pregnant, or that the employee has demonstrated difficulty in breathing during a respirator fitting test or during use; and
3. As medically appropriate for each employee either removed from exposure to lead due to a risk of sustaining material impairment to health, or otherwise limited pursuant to a final medical determination.
(B) Content. The content of medical examinations made available pursuant to subsection (j)(3)(A)2. - 3. shall be determined by an examining physician and, if requested by an employee, shall include pregnancy testing or laboratory evaluation of male fertility. Medical examinations made available pursuant to subsection (j)(3)(A)1. shall include the following elements:
1. A detailed work history and a medical history, with particular attention to past lead exposure (occupational and non-occupational), personal habits (smoking, hygiene), and past gastrointestinal, hematologic, renal, cardiovascular, reproductive and neurological problems;
2. A thorough physical examination, with particular attention to teeth, gums, hematologic, gastrointestinal, renal, cardiovascular, and neurological systems. Pulmonary status should be evaluated if respiratory protection will be used;
3. A blood pressure measurement;
4. A blood sample and analysis which determines:
a. Blood lead level;
b. Hemoglobin and hematocrit determinations, red cell indices, and examination of peripheral smear morphology;
c. Zinc protoporphyrin;
d. Blood urea nitrogen; and,
e. Serum creatinine;
5. A routine urinalysis with microscopic examination; and
6. Any laboratory or other test relevant to lead exposure which the examining physician deems necessary by sound medical practice.
(C) Multiple physician review mechanism. 
1. If the employer selects the initial physician who conducts any medical examination or consultation provided to an employee under this section, the employee may designate a second physician:
a. To review any findings, determinations or recommendations of the initial physician; and
b. To conduct such examinations, consultations, and laboratory tests as the second physician deems necessary to facilitate this review.
2. The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician conducts a medical examination or consultation pursuant to this section. The employer may condition its participation in, and payment for, the multiple physician review mechanism upon the employee doing the following within fifteen (15) days after receipt of the foregoing notification, or receipt of the initial physician's written opinion, whichever is later:
a. The employee informing the employer that he or she intends to seek a second medical opinion, and
b. The employee initiating steps to make an appointment with a second physician.
3. If the findings, determinations or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
4. If the two physicians have been unable to quickly resolve their disagreement, then the employer and the employee through their respective physicians shall designate a third physician:
a. To review any findings, determinations or recommendations of the prior physicians; and
b. To conduct such examinations, consultations, laboratory tests and discussions with the prior physicians as the third physician deems necessary to resolve the disagreement of the prior physicians.
5. The employer shall act consistent with the findings, determinations and recommendations of the third physician, unless the employer and the employee reach an agreement which is otherwise consistent with the recommendations of at least one of the three physicians.
(D) Information provided to examining and consulting physicians. 
1. The employer shall provide an initial physician conducting a medical examination or consultation under this section with the following information:
a. A copy of this regulation for lead including all Appendices;
b. A description of the affected employee's duties as they relate to the employee's exposure;
c. The employee's exposure level or anticipated exposure level to lead and to any other toxic substance (if applicable);
d. A description of any personal protective equipment used or to be used;
e. Prior blood lead determinations; and
f. All prior written medical opinions concerning the employee in the employer's possession or control.
2. The employer shall provide the foregoing information to a second or third physician conducting a medical examination or consultation under this section upon request either by the second or third physician, or by the employee.
(E) Written medical opinions. 
1. The employer shall obtain and furnish the employee with a copy of a written medical opinion from each examining or consulting physician which contains only the following information:
a. The physician's opinion as to whether the employee has any detected medical condition which would place the employee at increased risk of material impairment of the employee's health from exposure to lead;
b. Any recommended special protective measures to be provided to the employee, or limitations to be placed upon the employee's exposure to lead;
c. Any recommended limitations upon the employee's use of respirators, including a determination of whether the employee can wear a powered air purifying respirator if an physician determines that the employee cannot wear a negative pressure respirator; and
d. The results of the blood lead determinations.
2. The employer shall instruct each examining and consulting physician to:
a. Not reveal either in the written opinion or orally, or in any other means of communication with the employer, findings, including laboratory results, or diagnoses unrelated to an employee's occupational exposure to lead; and
b. Advise the employee of any medical condition, occupational or nonoccupational, which dictates further medical examination or treatment.
(F) Alternate physician determination mechanisms. The employer and an employee or authorized employee representative may agree upon the use of any alternate physician determination mechanism in lieu of the multiple physician review mechanism provided by subsection (j)(3)(C) so long as the alternate mechanism is as expeditious and protective as the requirements contained in this subsection.
(4) Chelation. 
(A) The employer shall assure that any person whom he/she retains, employs, supervises or controls does not engage in prophylactic chelation of any employee at any time.
(B) If therapeutic or diagnostic chelation is to be performed by any person in subsection (j)(4)(A), the employer shall assure that it be done under the supervision of a licensed physician in a clinical setting with thorough and appropriate medical monitoring and that the employee is notified in writing prior to its occurrence.
(k) Medical removal protection. 
(1) Temporary medical removal and return of an employee. 
(A) Temporary removal due to elevated blood lead level. The employer shall remove an employee from work having an exposure to lead at or above the action level on each occasion that a periodic and a follow-up blood sampling test conducted pursuant to this section indicate that the employee's blood lead level is at or above 50 mg/dl; and,
(B) Temporary removal due to a final medical determination. 
1. The employer shall remove an employee from work having an exposure to lead at or above the action level on each occasion that a final medical determination results in a medical finding, determination, or opinion that the employee has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to lead.
2. For the purposes of this section, the phrase “final medical determination” means the written medical opinion on the employees' health status by the examining physician or, where relevant, the outcome of the multiple physician review mechanism or alternate medical determination mechanism used pursuant to the medical surveillance provisions of this section.
3. Where a final medical determination results in any recommended special protective measures for an employee, or limitations on an employee's exposure to lead, the employer shall implement and act consistent with the recommendation.
(C) Return of the employee to former job status. 
1. The employer shall return an employee to his or her former job status:
a. For an employee removed due to a blood lead level at or above 50 mg/dl when two consecutive blood sampling tests indicate that the employee's blood lead level is below 40 mg/dl;
b. For an employee removed due to a final medical determination, when a subsequent final medical determination results in a medical finding, determination, or opinion that the employee no longer has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to lead.
2. For the purposes of this section, the requirement that an employer return an employee to his or her former job status is not intended to expand upon or restrict any rights an employee has or would have had, absent temporary medical removal, to a specific job classification or position under the terms of a collective bargaining agreement.
(D) Removal of other employee special protective measure or limitations. The employer shall remove any limitations placed on an employee or end any special protective measures provided to an employee pursuant to a final medical determination when a subsequent final medical determination indicates that the limitations or special protective measures are no longer necessary.
(E) Employer options pending a final medical determination. Where the multiple physician review mechanism, or alternate medical determination mechanism used pursuant to the medical surveillance provisions of this section, has not yet resulted in a final medical determination with respect to an employee, the employer shall act as follows:
1. Removal. The employer may remove the employee from exposure to lead, provide special protective measures to the employee, or place limitations upon the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status.
2. Return. The employer may return the employee to his or her former job status, end any special protective measures provided to the employee, and remove any limitations placed upon the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status, with two exceptions. If: 
a. the initial removal, special protection, or limitation of the employee resulted from a final medical determination which differed from the findings, determinations, or recommendations of the initial physician or;
b. If the employee has been on removal status for the preceding eighteen months due to an elevated blood lead level, then the employer shall await a final medical determination.
(2) Medical removal protection benefits. 
(A) Provision of medical removal protection benefits. The employer shall provide an employee up to eighteen (18) months of medical removal protection benefits on each occasion that an employee is removed from exposure to lead or otherwise limited pursuant to this section.
(B) Definition of medical removal protection benefits. For the purposes of this section, the requirement that an employer provide medical removal protection benefits means that, as long as the job the employee was removed from continues, the employer shall maintain the total normal earnings, seniority and other employment rights and benefits of an employee, including the employee's right to his or her former job status as though the employee had not been medically removed from the employee's job or otherwise medically limited.
(C) Follow-up medical surveillance during the period of employee removal or limitation. During the period of time that an employee is medically removed from his or her job or otherwise medically limited, the employer may condition the provision of medical removal protection benefits upon the employee's participation in follow-up medical surveillance made available pursuant to this section.
(D) Workers' compensation claims. If a removed employee files a claim for workers' compensation payments for a lead-related disability, then the employer shall continue to provide medical removal protection benefits pending disposition of the claim. To the extent that an award is made to the employee for earnings lost during the period of removal, the employer's medical removal protection obligation shall be reduced by such amount. The employer shall receive no credit for workers' compensation payments received by the employee for treatment-related expenses.
(E) Other credits. The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program, or receives income from employment with another employer made possible by virtue of the employee's removal.
(F) Voluntary removal or restriction of an employee. Where an employer, although not required by this section to do so, removes an employee from exposure to lead or otherwise places limitations on an employee due to the effects of lead exposure on the employee's medical condition, the employer shall provide medical removal protection benefits to the employee equal to that required by subsection (k)(2)(A) and (B).
(l) Employee information, training and certification. 
(1) General. 
(A) The employer shall communicate information concerning lead hazards according to the requirements of the Hazard Communication Standard, section 5194, including but not limited to the requirements concerning warning signs and labels, material safety data sheets (MSDS), and employee information and training. 
(B) For all employees who are subject to exposure to lead at or above the action level on any day or who are subject to exposure to lead compounds which may cause skin or eye irritation (e.g. lead arsenate, lead azide), the employer shall provide a training program in accordance with subsection (l)(2) and assure employee participation.
(C) The employer shall provide the training program as initial training prior to the time of job assignment or prior to the start up date for this requirement, whichever comes last.
(D) The employer shall also provide the training program at least annually for each employee who is subject to lead exposure at or above the action level on any day.
(E) Where the certification of employee and supervisor training is required, as described in subsection (l)(3), the training shall be conducted by a training provider accredited by the California Department of Health Services, in accordance with Title 17, California Code of Regulations, Division 1, Chapter 8.
(2) Training program. 
The employer shall assure that each employee is trained in the following:
(A) The content of this standard and its appendices;
(B) The specific nature of the operations which could result in exposure to lead above the action level;
(C) The purpose, proper selection, fitting, use, and limitations of respirators;
(D) The purpose and a description of the medical surveillance program, and the medical removal protection program including information concerning the adverse health effects associated with excessive exposure to lead (with particular attention to the adverse reproductive effects on both males and females and hazards to the fetus and additional precautions for employees who are pregnant);
(E) The engineering controls and work practices associated with the employee's job assignment including training of employees to follow relevant good work practices described in Appendix B of this section;
(F) The contents of any compliance plan and the location of regulated areas in effect;
(G) Instructions to employees that chelating agents should not routinely be used to remove lead from their bodies and should not be used at all except under the direction of a licensed physician; and
(H) The employee's right of access to records under section 3204.
(3) Certification of training for residential and public buildings.
The employer shall ensure that all employees and supervisors who are engaged in lead related construction work as defined in Title 17, California Code of Regulations, Section 35040, and have been shown to be exposed to lead at or above the permissible exposure limit, meet the training requirements of this section, are trained by an accredited training provider and are certified by the California Department of Health Services. Lead related construction work is defined in Title 17 to be any construction, alteration, painting, demolition, salvage, renovation, repair, or maintenance of any residential or public building, including preparation and cleanup, that, by using or disturbing lead containing material or soil, may result in significant exposure of adults or children to lead. As used in the definition of lead related construction work, “public building” means a structure which is generally accessible to the public, including but not limited to, schools, daycare centers, museums, airports, hospitals, stores, convention centers, government facilities, office buildings and any other building which is not an industrial building or a residential building. Regulations for accreditation of training providers and for the certification of employees and supervisors are found in Title 17, California Code of Regulations, Division 1, Chapter 8.
(4) Access to information, training and certification materials. 
(A) The employer shall make readily available to all affected employees a copy of this standard and its appendices.
(B) The employer shall provide, upon request, all materials relating to the employee information training program and certification to affected employees, their designated representatives, the Chief and NIOSH.
(m) Signs. 
(1) General. 
(A) The employer may use signs required by other statutes, regulations or ordinances in addition to, or in combination with, signs required by this subsection.
(B) The employer shall assure that no statement appears on or near any sign required by this subsection which contradicts or detracts from the meaning of the required sign.
(2) Signs. 
(A) The employer shall post the following warning signs in each regulated area or work area where an employees exposure to lead is above the PEL.

WARNING

LEAD WORK  AREA

POISON

NO SMOKING OR EATING
(B) The employer shall assure that signs required by this subsection are illuminated and cleaned as necessary so that the legend is readily visible.
(n) Recordkeeping. 
(1) Exposure assessment. 
(A) The employer shall establish and maintain an accurate record of all monitoring and other data used in conducting employee exposure assessments as required in subsection (d).
(B) Exposure monitoring records shall include:
1. The date(s), number, duration, location and results of each of the samples taken if any, including a description of the sampling procedure used to determine representative employee exposure where applicable;
2. A description of the sampling and analytical methods used and evidence of their accuracy;
3. The type of respiratory protective devices worn, if any;
4. Name, social security number, and job classification of the employee monitored and of all other employees whose exposure the measurement is intended to represent; and
5. The environmental variables that could affect the measurement of employee exposure.
(C) The employer shall maintain monitoring and other exposure assessment records in accordance with the provisions of section 3204.
(2) Medical surveillance. 
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance as required by subsection (j).
(B) This record shall include:
1. The name, social security number, and description of the duties of the employee;
2. A copy of the physician's written opinions;
3. Results of any airborne exposure monitoring done on or for that employee and provided to the physician; and
4. Any employee medical complaints related to exposure to lead.
(C) The employer shall keep, or assure that the examining physician keeps, the following medical records:
1. A copy of the medical examination results including medical and work history required under subsection (j);
2. A description of the laboratory procedures and a copy of any standards or guidelines used to interpret the test results or references to that information;
3. A copy of the results of biological monitoring.
(D) The employer shall maintain or assure that the physician maintains medical records in accordance with the provisions of section 3204.
(3) Medical removals. 
(A) The employer shall establish and maintain an accurate record for each employee removed from current exposure to lead pursuant to subsection (k).
(B) Each record shall include:
1. The name and social security number of the employee;
2. The date of each occasion that the employee was removed from current exposure to lead as well as the corresponding date on which the employee was returned to his or her former job status;
3. A brief explanation of how each removal was or is being accomplished; and
4. A statement with respect to each removal indicating whether or not the reason for the removal was an elevated blood lead level.
(C) The employer shall maintain each medical removal record for at least the duration of an employee's employment.
(4) “Objective data for exemption from requirement for initial monitoring”. 
(A) For purposes of this section, objective data are information demonstrating that a particular product or material containing lead or a specific process, operation, or activity involving lead cannot release dust or fumes in concentrations at or above the action level under any expected conditions of use. Objective data can be obtained from any industry-wide study or from laboratory product test results from manufacturers of lead containing products, including surface coatings or other materials. The data the employer uses from an industry-wide survey must be obtained under workplace conditions closely resembling the processes, types of material, control methods, work practices and environmental conditions in the employer's current operations.
(B) The employer shall maintain the record of the objective data relied upon for at least 30 years.
(5) Availability. The employer shall make available upon request all records required to be maintained by subsection (n) to affected employees, former employees, and their designated representatives, and to the Chief and NIOSH for examination and copying.
(6) Transfer of records. 
(A) Whenever the employer ceases to do business, the successor employer shall receive and retain all records required to be maintained by subsection (n).
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records required to be maintained by this section for the prescribed period, these records shall be transmitted to NIOSH.
(C) At the expiration of the retention period for the records required to be maintained by this section, the employer shall notify NIOSH at least 3 months prior to the disposal of such records and shall transmit those records to NIOSH if requested within the period.
(D) The employer shall also comply with any additional requirements involving transfer of records set forth in section 3204(h).
(o) Observation of monitoring. 
(1) Employee observation. The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to lead conducted pursuant to subsection (d).
(2) Observation procedures. 
(A) Whenever observation of the monitoring of employee exposure to lead requires entry into an area where the use of respirators, protective clothing or equipment is required, the employer shall provide the observer with and assure the use of such respirators, clothing and equipment, and shall require the observer to comply with all other applicable safety and health procedures.
(B) Without interfering with the monitoring, observers shall be entitled to:
1. Receive an explanation of the measurement procedures;
2. Observe all steps related to the monitoring of lead performed at the place of exposure; and
3. Record the results obtained or receive copies of the results when returned by the laboratory.
(p) Lead-Work Pre-Job Notification. The employer shall provide written notification to the nearest Division District Office in the manner prescribed by subsections (p)(1) through (p)(4) when work is planned that includes any of the tasks listed in subsection (d)(2).
Exception No. 1: The employer is not required to notify the Division if:
A. The amount of lead-containing materials to be disturbed is less than 100 square or 100 linear feet; or
B. The only subsection (d)(2) task to be performed consists of torch cutting or welding, not to exceed a duration of 1 hour in any shift.
Exception No. 2: The employer is not required to notify the Division if the percentage of lead in the material disturbed is less than 0.5%, 5,000 parts per million (weight by weight), or 1.0 mg/cm2.
(1) The employer shall ensure that the information required by subsection (p)(2) is received by the nearest Division District Office at least 24 hours prior to the commencement of the work by any of the following means:
(A) Letter;
(B) Facsimile;
(C) Electronic mail; or
(D) Telephone call, followed by written notification sent or mailed within 24 hours of placing the call.
Exception: When an employer intends to initiate unforeseen lead-work on an urgent basis within 24 hours, the notification requirement may be met by giving telephone notice to the Division at any time prior to commencement of the work, followed by written notification sent or mailed within 24 hours of telephoning the Division.
(2) The written notification provided by the employer shall contain the following:
(A) The name, address and phone number of the employer;
(B) The address of the job (or common name of the site with closest streets or roadways identified);
(C) The precise physical location of the lead related work at the job site;
(D) The projected starting date;
(E) The expected completion date or approximate duration of the work in days;
(F) The approximate number of workers planned to do the lead-related work;
(G) The type of structure(s) in which or on which the work is to be performed;
(H) The amount of lead containing material to be disturbed in square feet or linear feet;
(I) A description of the type of lead-related work to be performed and work practices that will be utilized;
(J) The name of the supervisor who will be responsible for the lead-related work; and
(K) The amount of lead in the disturbed materials (percent by weight, parts per million or milligrams per square centimeter) if known.
(3) The employer shall notify the Division, and provide the current information, if changes are made to the starting date, the surface area to be disturbed, or the type of lead-related work performed or work practices to be utilized, before or upon adoption of that change.
(4) An employer conducting ongoing, lead-related operations and maintenance work on stationary steel structures need only notify the Division once for each structure if the duration of the operations and maintenance work is less than one year. If the duration of the work is more than one year, the employer shall submit to the Division at least once per year a supplemental written notification updating all of the information required by subsection (p)(2) for each structure.
(q) Appendices. The information contained in the appendices to this section is not intended by itself, to create any additional obligations not otherwise imposed by this standard nor detract from any existing obligation.
NOTE

Authority cited: Sections 142.3 and 6717, Labor Code. Reference: Sections 142.3 and 6717, Labor Code.
HISTORY

1. New section filed 9-28-93; operative 11-4-93 pursuant to Labor Code section 142.3(a)(4) (Register 93, No. 40). This section is identical to the interim final rule adopted  by the federal Occupational Safety and Health Administration on 5-4-93 and is exempt from OAL review. Pursuant to Labor Code section 142.3(a)(4)(c), this section shall remain in effect until 5-4-94 unless readopted for an additional 6 months or superceded by permanent regulations.
2. Change without regulatory effect amending opening paragraph filed 10-18-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 43).
3. New section refiled 4-28-94 with amendments; operative 5-4-94 pursuant to Labor Code section 142.3(a)(4) (Register 94, No. 17). This section is identical to the interim final rule adopted by the Federal Occupational Safety and Health Administration on 5-4-93 and is exempt from OAL review. Pursuant to Labor Code section 142.3(a)(4)(C), this section shall remain in effect for six months unless superseded by permanent regulations.
4. Amendment of section and amendment of Appendices headings and text filed 10-19-94; operative 10-19-94. Submitted to OAL for printing only pursuant to Labor Code section 142(a)(3) (Register 94, No. 42).
5. Change without regulatory effect amending Appendix A heading filed 2-16-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 7).
6. Editorial correction of subsection (d)(2)(E)5. (Register 95, No. 36).
7. Amendment of section, Appendix B and Note filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
8. Amendment of former subsections (f)(1)-(f)(4)(C) including subsection renumbering and relettering resulting in newly designated subsections (f)(1)-(f)(3)(B)2., amendment of Appendix B, subsection IV, and amendment repealing appendix D and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
9. Change without regulatory effect amending subsection (a) filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
10. Amendment of subsection (f)(3)(B)2. (Table I) filed 5-24-2000; operative 6-23-2000 (Register 2000, No. 21).
11. Repealer of subsection (p) and new subsections (p)-(p)(4) filed 12-26-2001; operative 1-25-2002 (Register 2001, No. 52).
12. Change without regulatory effect amending subsection (l)(3) filed 7-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 30).
13. Amendment of subsection (f)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
14. Editorial correction of subsection (p)(1)(B) designator (Register 2006, No. 29).
15. Amendment of subsections (f)(3)(A)-(B) and (f)(3)(B)2. and new subsections (f)(3)(C)-(D) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
16. Change without regulatory effect amending subsection (g)(2)(D) filed 8-8-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).
17. Amendment of subsections (j)(2)(B), (j)(2)(D)2. and (k)(1)(C)1.a. filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
18. Amendment of subsection (j)(2)(D)2. filed 9-4-2012; operative 10-4-2012 (Register 2012, No. 36).

Appendix A  to § 1532.1 -- Substance Data Sheet  for Occupational Exposure  to Lead
I. Substance Identification
A. Substance: Pure lead (Pb) is a heavy metal at room temperature and pressure and is a basic chemical element. It can combine with various other substances to form numerous lead compounds.
B. Compounds covered by the standard: The word “lead” when used in this standard means elemental lead, all inorganic lead compounds and a class of organic lead compounds called lead soaps. This standard does not apply to other organic lead compounds.
C. Uses: Exposure to lead occurs in several different occupations in the construction industry, including demolition or salvage of structures where lead or lead-containing materials are present; removal or encapsulation of lead-containing materials, new construction, alteration, repair, or renovation of structures that contain lead or materials containing lead; installation of products containing lead. In addition, there are construction related activities where exposure to lead may occur, including transportation, disposal, storage, or containment of lead or materials containing lead on construction sites, and maintenance operations associated with construction activities.
D. Permissible exposure: The permissible exposure limit (PEL) set by the standard is 50 micrograms of lead per cubic meter of air (50 mg/m3) averaged over an 8-hour workday.
E. Action level: The standard establishes an action level of 30 micrograms of lead per cubic meter of air (30 mg/m3) averaged over an 8-hour workday. The action level triggers several ancillary provisions of the standard such as exposure monitoring, medical surveillance, and training.
II. Health Hazard Data
A. Ways in which lead enters your body. When absorbed into your body in certain doses, lead is a toxic substance. The object of the lead standard is to prevent absorption of harmful quantities of lead. The standard is intended to protect you not only from the immediate toxic effects of  lead, but also from the serious toxic effects that may not become apparent until years of exposure have passed. Lead can be absorbed into your body by inhalation (breathing) and ingestion (eating). Lead (except for certain organic lead compounds not covered by the standard, such as tetraethyl lead) is not absorbed through your skin. When lead is scattered in the air as a dust, fume or mist it can be inhaled and absorbed through your lungs and upper respiratory tract. Inhalation of airborne lead is generally the most important source of occupational lead absorption. You can also absorb lead through your digestive system if lead gets into your mouth and is swallowed. If you handle food, cigarettes, chewing tobacco, or make-up which have lead on them or handle them with hands contaminated with lead, this will contribute to ingestion. A significant portion of the lead that you inhale or ingest gets into your blood stream. Once in your blood stream, lead is circulated throughout your body and stored in various organs and body tissues. Some of this lead is quickly filtered out of your body and excreted, but some remains in the blood and other tissues. As exposure to lead continues, the amount stored in your body will increase if you are absorbing more lead than your body is excreting. Even though you may not be aware of any immediate symptoms of disease, this lead stored in your tissues can be slowly causing irreversible damage, first to individual cells, then to your organs and whole body systems.
B. Effects of overexposure to lead. 
(1) Short term (acute) overexposure. Lead is a potent, systemic poison that serves no known useful function once absorbed by your body. Taken in large enough doses, lead can kill you in a matter of days. A condition affecting the brain called acute encephalopathy may arise which develops quickly to seizures, coma, and death from cardiorespiratory arrest. A short term dose of lead can lead to acute encephalopathy. Short term occupational exposures of this magnitude are highly unusual, but not impossible. Similar forms of encephalopathy may, however, arise from extended, chronic exposure to lower doses of lead. There is no sharp dividing line between rapidly developing acute effects of lead, and chronic effects which take longer to acquire. Lead adversely affects numerous body systems, and causes forms of health impairment and disease which arise after periods of exposure as short as days or as long as several years.
(2) Long-term (chronic) overexposure. Chronic overexposure to lead may result in severe damage to your blood-forming, nervous, urinary and reproductive systems. Some common symptoms of chronic overexposure include loss of appetite, metallic taste in the mouth, anxiety, constipation, nausea, pallor, excessive tiredness, weakness, insomnia, headache, nervous irritability, muscle and joint pain or soreness, fine tremors, numbness, dizziness, hyperactivity and colic. In lead colic there may be severe abdominal pain. Damage to the central nervous system in general and the brain (encephalopathy) in particular is one of the most severe forms of lead poisoning. The most severe, often fatal, form of encephalopathy may be preceded by vomiting, a feeling of dullness progressing to drowsiness and stupor, poor memory, restlessness, irritability, tremor, and convulsions. It may arise suddenly with the onset of seizures, followed by coma, and death. There is a tendency for muscular weakness to develop at the same time. This weakness may progress to paralysis often observed as a characteristic “wrist drop” or “foot drop” and is a manifestation of a disease to the nervous system called peripheral neuropathy. Chronic overexposure to lead also results in kidney disease with few, if any, symptoms appearing until extensive and most likely permanent kidney damage has occurred. Routine laboratory tests reveal the presence of this kidney disease only after about two-thirds of kidney function is lost. When overt symptoms of urinary dysfunction arise, it is often too late to correct or prevent worsening conditions, and progression to kidney dialysis or death is possible. Chronic overexposure to lead impairs the reproductive systems of both men and women. Overexposure to lead may result in decreased sex drive, impotence and sterility in men. Lead can alter the structure of sperm cells raising the risk of birth defects. There is evidence of miscarriage and stillbirth in women whose husbands were exposed to lead or who were exposed to lead themselves. Lead exposure also may result in decreased fertility, and abnormal menstrual cycles in women. The course of pregnancy may be adversely affected by exposure to lead since lead crosses the placental barrier and poses risks to developing fetuses. Children born of parents either one of whom were exposed to excess lead levels are more likely to have birth defects, mental retardation, behavioral disorders or die during the first year of childhood. Overexposure to lead also disrupts the blood-forming system resulting in decreased hemoglobin (the substance in the blood that carries oxygen to the cells) and ultimately anemia. Anemia is characterized by weakness, pallor and fatigability as a result of decreased oxygen carrying capacity in the blood.
(3) Health protection goals of the standard. Prevention of adverse health effects for most workers from exposure to lead throughout a working lifetime requires that a worker's blood lead level (BLL, also expressed as PbB) be maintained at or below forty micrograms per deciliter of whole blood (40 mg/dl). The blood lead levels of workers (both male and female workers) who intend to have children should be maintained below 30 mg/dl to minimize adverse reproductive health effects to the parents and to the developing fetus. The measurement of your blood lead level (BLL) is the most useful indicator of the amount of lead being absorbed by your body. Blood lead levels are most often reported in units of milligrams (mg) or micrograms (ug) of lead (1 mg=1000 mg) per 100 grams (100g), 100 milliliters (100 ml) or deciliter (dl) of blood. These three units are essentially the same. Sometime BLLs are expressed in the form of mg% or mg%. This is a shorthand notation for 100g, 100 ml, or dl. (Reference to BLL measurements in this standard are expressed in the form of mg/dl.)
BLL measurements show the amount of lead circulating in your blood stream, but do not give any information about the amount of lead stored in your various tissues. BLL measurements merely show current absorption of lead, not the effect that lead is having on your body or the effects that past lead exposure may have already caused. Past research into lead-related diseases, however, has focused heavily on associations between BLLs and various diseases. As a result, your BLL is an important indicator of the likelihood that you will gradually acquire a lead-related health impairment or disease.
Once your blood lead level climbs about 40 mg/dl, your risk of disease increases. There is a wide variability of individual response to lead, thus it is difficult to say that a particular BLL in a given person will cause a particular effect. Studies have associated fatal encephalopathy with BLLs as low as 150 mg/dl. Other studies have shown other forms of diseases in some workers with BLLs well below 80 mg/dl. Your BLL is a crucial indicator of the risks to your health, but one other factor is also extremely important. This factor is the length of time you have had elevated BLLs. The longer you have an elevated BLL, the greater the risk that large quantities of lead are being gradually stored in your organs and tissues (body burden). The greater your overall body burden, the greater the chances of substantial permanent damage. The best way to prevent all forms of lead-related impairments and diseases -- both short term and long term -- is to maintain your BLL below 40 mg/dl. The provisions of the standard are designed with this end in mind.
Your employer has prime responsibility to assure that the provisions of the standard are complied with both by the company and by individual workers. You, as a worker, however, also have a responsibility to assist your employer in complying with the standard. You can play a key role in protecting your own health by learning about the lead hazards and their control, learning what the standard requires, following the standard where it governs your own actions, and seeing that your employer complies with provisions governing his or her actions.
(4) Reporting signs and symptoms of health problems. You should immediately notify your employer if you develop signs or symptoms associated with lead poisoning or if you desire medical advice concerning the effects of current or past exposure to lead or your ability to have a healthy child. You should also notify your employer if you have difficulty breathing during a respirator fit test or while wearing a respirator. In each of these cases, your employer must make available to you appropriate medical examinations or consultations. These must be provided at no cost to you and at a reasonable time and place. The standard contains a procedure whereby you can obtain a second opinion by a physician of your choice if your employer selected the initial physician.

Appendix B  to § 1532.1 -- Employee  Standard Summary
This appendix summarizes key provisions of the standard for lead in construction that you as a worker should become familiar with.
I. Permissible Exposure Limit (PEL) - subsection (c)
The standard sets a permissible exposure limit (PEL) of 50 micrograms of lead per cubic meter of air (50 mg/m3), averaged over an 8-hour workday which is referred to as a time-weighted average (TWA). This is the highest level of lead in air to which you may be permissibly exposed over an 8-hour workday. However, since this is an 8-hour average, short exposures above the PEL are permitted so long as for each 8-hour work day your average exposure does not exceed this level. This standard, however, takes into account the fact that your daily exposure to lead can extend beyond a typical 8-hour workday as the result of overtime or other alterations in your work schedule. To deal with this situation, the standard contains a formula which reduces your permissible exposure when you are exposed more than 8 hours. For example, if you are exposed to lead for 10 hours a day, the maximum permitted average exposure would be 40 mg/m3.
II. Exposure Assessment - Subsection (d)
If lead is present in your workplace in any quantity, your employer is required to make an initial determination of whether any employee's exposure to lead exceeds the action level (30 mg/m3 averaged over an 8-hour day). Employee exposure is that exposure which would occur if the employee were not using a respirator. This initial determination requires your employer to monitor workers' exposures unless he or she has objective data which can demonstrate conclusively that no employee will be exposed to lead in excess of the action level. Where objective data is used in lieu of actual monitoring the employer must establish and maintain an accurate record, documenting its relevancy in assessing exposure levels for current job conditions. If such objective data is available, the employer need proceed no further on employee exposure assessment until such time that conditions have changed and the determination is no longer valid. Objective data for surfaces and materials that is less than 0.06% lead dry weight (600 ppm) is indicative of materials that will not give lead concentrations above the action level. Lead analysis must be performed for each unique surface coating or material. Surface coating or material objective data cannot be used to replace air monitoring for exposure assessments required for the lead-related tasks listed in subsection (d)(2). Objective data may be compiled from various sources, e.g., insurance companies and trade associations and information from suppliers or exposure data collected from similar operations. Objective data may also comprise previously-collected sampling data including area monitoring. If it cannot be determined through using objective data that worker exposure is less than the action level, your employer must conduct monitoring or must rely on relevant previous personal sampling, if available. Where monitoring is required for the initial determination, it may be limited to a representative number of employees who are reasonably expected to have the highest exposure levels. If your employer has conducted appropriate air sampling for lead in the past 12 months, he or she may use these results, provided they are applicable to the same employee tasks and exposure conditions and meet the requirements for accuracy as specified in the standard. As with objective data, if such results are relied upon for the initial determination, your employer must establish and maintain a record as to the relevancy of such data to current job conditions.
If there have been any employee complaints of symptoms which may be attributable to exposure to lead or if there is any other information or observations which would indicate employee exposure to lead, this must also be considered as part of the initial determination.
If this initial determination shows that a reasonable possibility exists that any employee may be exposed, without regard to respirators, over the action level, your employer must set up an air monitoring program to determine the exposure level representative of each employee exposed to lead at your workplace. In carrying out this air monitoring program, your employer is not required to monitor the exposure of every employee, but he or she must monitor a representative number of employees and job types. Enough sampling must be done to enable each employee's exposure level to be reasonably represent full shift exposure. In addition, these air samples must be taken under conditions which represent each employee's regular, daily exposure to lead. Sampling performed in the past 12 months may be used to determine exposures above the action level if such sampling was conducted during work activities essentially similar to present work conditions.
The standard lists certain tasks which may likely result in exposures to lead in excess of the PEL and, in some cases, exposures in excess of 50 times the PEL. If you are performing any of these tasks, your employer must provide you with appropriate respiratory protection, protective clothing and equipment, change areas, hand washing facilities, biological monitoring, and training until such time that an exposure assessment is conducted which demonstrates that your exposure level is below the PEL. Objective data cannot be used to replace air monitoring for this exposure assessment.
If you are exposed to lead and air sampling is performed, your employer is required to notify you in writing within 5 working days of the air monitoring results which represent your exposure. If the results indicate that your exposure exceeds the PEL (without regard to your use of a respirator), then your employer must also notify you of this in writing, and provide you with a description of the corrective action that has been taken or will be taken to reduce your exposure.
Your exposure must be rechecked by monitoring, at least every six months if your exposure is at or over the action level but below the PEL. Your employer may discontinue monitoring for you if 2 consecutive measurements, taken at least 7 days apart, are at or below the action level. Air monitoring must be repeated every 3 months if you are exposed over the PEL. Your employer must continue monitoring for you at this frequency until 2 consecutive measurements, taken at least 7 days apart, are below the PEL but above the action level, at which time your employer must repeat monitoring of your exposure every six months and may discontinue monitoring only after your exposure drops to or below the action level. However, whenever there is a change of equipment, process, control, or personnel or a new type of job is added at your workplace which may result in new or additional exposure to lead, your employer must perform additional monitoring.
III. Methods of Compliance - Subsection (e)
Your employer is required to assure that no employee is exposed to lead in excess of the PEL as an 8-hour TWA. The standard for lead in construction requires employers to institute engineering and work practice controls including administrative controls to the extent feasible to reduce employee exposure to lead. Where such controls are feasible but not adequate to reduce exposures below the PEL they must be used nonetheless to reduce exposures to the lowest level that can be accomplished by these means and then supplemented with appropriate respiratory protection. Your employer must establish a regulated area that includes the work area where airborne exposure to lead is above the PEL, or where the lead-related tasks listed in subsection (d)(2) are performed.
Your employer is required to develop and implement a written compliance program prior to the commencement of any job where employee exposures may reach the PEL as an 8-hour TWA. The standard identifies the various elements that must be included in the plan. For example, employers are required to include a description of operations in which lead is emitted, detailing other relevant information about the operation such as the type of equipment used, the type of material involved, employee job responsibilities, operating procedures and maintenance practices. In addition, your employer's compliance plan must specify the means that will be used to achieve compliance and, where engineering controls are required, include any engineering plans or studies that have been used to select the control methods. If administrative controls involving job rotation are used to reduce employee exposure to lead, the job rotation schedule must be included in the compliance plan. The plan must also detail the type of protective clothing and equipment, including respirators, housekeeping and hygiene practices that will be used to protect you from the adverse effects of exposure to lead.
The written compliance program must be made available, upon request, to affected employees and their designated representatives, the Chief and NIOSH.
Finally, the plan must be reviewed and updated at least every 6 months to assure it reflects the current status in exposure control.
IV. Respiratory Protection - Subsection (f)
Your employer is required to provide and assure your use of respirators when your exposure to lead is not controlled below the PEL by other means. The employer must pay the cost of the respirator. Whenever you request one, your employer is also required to provide you a respirator even if your air exposure level is not above the PEL. You might desire a respirator when, for example, you have received medical advice that your lead absorption should be decreased. Or, you may intend to have children in the near future, and want to reduce the level of lead in your body to minimize adverse reproductive effects. While respirators are the least satisfactory means of controlling your exposure, they are capable of providing significant protection if properly chosen, fitted, worn, cleaned, maintained, and replaced when they stop providing adequate protection.
Your employer is required to select respirators from the types listed in Table I of the Respiratory Protection section of the standard (section 1532.1(f)). Any respirator chosen must be approved by the National Institute for Occupational Safety and Health (NIOSH) under the provisions of 42 CFR part 84. This respirator selection table will enable your employer to choose a type of respirator which will give you a proper amount of protection based on your airborne lead exposure. Your employer may select a type of respirator that provides greater protection than that required by the standard; that is, one recommended for a higher concentration of lead than is present in your workplace. For example, a powered air purifying respirator (PAPR) is much more protective than a typical negative pressure respirator, and may also be more comfortable to wear. A PAPR has a filter, cartridge or canister to clean the air, and a power source which continuously blows filtered air into your breathing zone. Your employer might make a PAPR available to you to ease the burden of having to wear a respirator for long periods of time. The standard provides that you can obtain a PAPR upon request.
Your employer must assure that your respirator facepiece fits properly. Proper fit of a respirator facepiece is critical. Obtaining a proper fit on each employee may require your employer to make available two or three different mask types. In order to assure that your respirator fits properly and that facepiece leakage is minimized, your employer must give you either a qualitative fit test or a quantitative fit test as specified in Appendix A of the Respiratory Protection standard located at section 5144. 
You must also receive from your employer proper training in the use of respirators. Your employer is required to teach you how to wear a respirator, to know why it is needed, and to understand its limitations.
The standard provides that if your respirator uses filter elements, you must be given an opportunity to change the filter elements whenever an increase in breathing resistance is detected. You also must be permitted to periodically leave your work area to wash your face and respirator facepiece whenever necessary to prevent skin irritation. If you ever have difficulty in breathing during a fit test or while using a respirator, your employer must make a medical examination available to you to determine whether you can safely wear a respirator. The result of this examination may be to give you a positive pressure respirator (which reduces breathing resistance) or to provide alternative means of protection.
V. Protective Work Clothing and Equipment - Subsection (g)
If you are exposed to lead above the PEL as an 8-hour TWA, without regard to your use of a respirator, or if you are exposed to lead compounds such as lead arsenate or lead azide which can cause skin and eye irritation, your employer must provide you with protective work clothing and equipment appropriate for the hazard. If work clothing is provided, it must be provided in a clean and dry condition at least weekly, and daily if your airborne exposure to lead is greater than 200 mg/m3. Appropriate protective work clothing and equipment can include coveralls or similar full-body work clothing, gloves, hats, shoes or disposable shoe coverlets, and face shields or vented goggles. Your employer is required to provide all such equipment at no cost to you. In addition, your employer is responsible for providing repairs and replacement as necessary, and also is responsible for the cleaning, laundering or disposal of protective clothing and equipment.
The standard requires that your employer assure that you follow good work practices when you are working in areas where your exposure to lead may exceed the PEL. With respect to protective clothing and equipment, where appropriate, the following procedures should be observed prior to beginning work:
1. Change into work clothing and shoe covers in the clean section of the designated changing areas;
2. Use work garments of appropriate protective gear, including respirators before entering the work area; and
3. Store any clothing not worn under protective clothing in the designated changing area.
Workers should follow these procedures upon leaving the work area:
1. HEPA vacuum heavily contaminated protective work clothing while it is still being worn. At no time may lead be removed from protective clothing by any means which result in uncontrolled dispersal of lead into the air;
2. Remove shoe covers and leave them in the work area;
3. Remove protective clothing and gear in the dirty area of the designated changing area. Remove protective coveralls by carefully rolling down the garment to reduce exposure to dust.
4. Remove respirators last; and
5. Wash hands and face.
Workers should follow these procedures upon finishing work for the day (in addition to procedures described above):
1. Where applicable, place disposal coveralls and shoe covers with the abatement waste;
2. Contaminated clothing which is to be cleaned, laundered or disposed of must be placed in closed containers in the change room.
3. Clean protective gear, including respirators, according to standard procedures;
4. Wash hands and face again. If showers are available, take a shower and wash hair. If shower facilities are not available at the work site, shower immediately at home and wash hair.
VI. Housekeeping - Subsection (h)
Your employer must establish a housekeeping program sufficient to maintain all surfaces as free as practicable of accumulations of lead dust. Vacuuming is the preferred method of meeting this requirement, and the use of compressed air to clean floors and other surfaces is generally prohibited unless removal with compressed air is done in conjunction with ventilation systems designed to contain dispersal of the lead dust. Dry or wet sweeping, shoveling, or brushing may not be used except where vacuuming or other equally effective methods have been tried and do not work. Vacuums must be used equipped with a special filter called a high-efficiency particulate air (HEPA) filter and emptied in a manner which minimizes the reentry of lead into the workplace.
VII. Hygiene Facilities, Practices and Regulated Areas - Subsection (i)
The standard requires that hand washing facilities be provided where occupational exposure to lead occurs. In addition, change areas, showers (where feasible), and lunchrooms or eating areas are to be made available to workers exposed to lead above the PEL. Your employer must assure that except in these facilities, food and beverage is not present or consumed, tobacco products are not present or used, and cosmetics are not applied, where airborne exposures are above the PEL. Change rooms provided by your employer must be equipped with separate storage facilities for your protective clothing and equipment and street clothes to avoid cross-contamination. After showering, no required protective clothing or equipment worn during the shift may be worn home. It is important that contaminated clothing or equipment be removed in change areas and not be worn home or you will extend your exposure and expose your family since lead from your clothing can accumulate in your house, car, etc.
Lunchrooms or eating areas may not be entered with protective clothing or equipment unless surface dust has been removed by vacuuming, downdraft booth, or other cleaning method. Finally, workers exposed above the PEL must wash both their hands and faces prior to eating, drinking, smoking or applying cosmetics.
All of the facilities and hygiene practices just discussed are essential to minimize additional sources of lead absorption from inhalation or ingestion of lead that may accumulate on you, your clothes, or your possessions. Therefore, employers shall establish regulated areas, where access is controlled by the supervisor for work areas where employees are exposed to lead at or above the PEL or performing the specific tasks that require air monitoring, as required by subsection (d)(2). Any employee that enters the regulated area must be provided with protective equipment. Strict compliance with these provisions can virtually eliminate several sources of lead exposure which significantly contribute to excessive lead absorption.
VIII. Medical Surveillance - Subsection (j)
The medical surveillance program is part of the standard's comprehensive approach to the prevention of lead-related disease. Its purpose is to supplement the main thrust of the standard which is aimed at minimizing airborne concentrations of lead and sources of ingestion. Only medical surveillance can determine if the other provisions of the standard have affectively protected you as an individual. Compliance with the standard's provision will protect most workers from the adverse effects of lead exposure, but may not be satisfactory to protect individual workers (1) who have high body burdens of lead acquired over past years, (2) who have additional uncontrolled sources of non-occupational lead exposure, (3) who exhibit unusual variations in lead absorption rates, or (4) who have specific non-work related medical conditions which could be aggravated by lead exposure (e.g., renal disease, anemia). In addition, control systems may fail, or hygiene and respirator programs may be inadequate. Periodic medical surveillance of individual workers will help detect those failures. Medical surveillance will also be important to protect your reproductive ability-regardless of whether you are a man or woman.
All medical surveillance required by the standard must be performed by or under the supervision of a licensed physician. The employer must provide required medical surveillance without cost to employees and at a reasonable time and place. The standard's medical surveillance program has two parts -- periodic biological monitoring and medical examinations. Your employer's obligation to offer you medical surveillance is triggered by the results of the air monitoring program. Full medical surveillance must be made available to all employees who are or may be exposed to lead in excess of the action level for more than 30 days a year and whose blood lead level exceeds 40 mg/dl. Initial medical surveillance consisting of blood sampling and analysis for lead and zinc protoporphyrin must be provided to all employees exposed at any time (1 day) above the action level.
Biological monitoring under the standard must be provided at least every 2 months for the first 6 months and every 6 months thereafter until your blood lead level is below 40 mg/dl. A zinc protoporphyrin (ZPP) test is a very useful blood test which measures an adverse metabolic effect of lead on your body and is therefore an indicator of lead toxicity.
If your BLL exceeds 40 mg/dl the monitoring frequency must be increased from every 6 months to at least every 2 months and not reduced until two consecutive BLLs indicate a blood lead level below 40 mg/dl. Each time your BLL is determined to be over 40 mg/dl, your employer must notify you of this in writing within five working days of his or her receipt of the test results. The employer must also inform you that the standard requires temporary medical removal with economic protection when your BLL exceeds 50 mg/dl. (See Discussion of Medical Removal Protection-Subsection (k).) Anytime your BLL exceeds 50 mg/dl your employer must make available to you within two weeks of receipt of these test results a second follow-up BLL test to confirm your BLL. If the two tests both exceed 50 mg/dl, and you are temporarily removed, then your employer must make successive BLL tests available to you on a monthly basis during the period of your removal.
Medical examinations beyond the initial one must be made available on an annual basis if your blood lead level exceeds 40 mg/dl at any time during the preceding year and you are being exposed above the airborne action level of 30 mg/m3 for 30 or more days per year. The initial examination will provide information to establish a baseline to which subsequent data can be compared.
An initial medical examination to consist of blood sampling and analysis for lead and zinc protoporphyrin must also be made available (prior to assignment) for each employee being assigned for the first time to an area where the airborne concentration of lead equals or exceeds the action level at any time. In addition, a medical examination or consultation must be made available as soon as possible if you notify your employer that you are experiencing signs or symptoms commonly associated with lead poisoning or that you have difficulty breathing while wearing a respirator or during a respirator fit test. You must also be provided a medical examination or consultation if you notify your employer that you desire medical advice concerning the effects of current or past exposure to lead on your ability to procreate a healthy child.
Finally, appropriate follow-up medical examinations or consultations may also be provided for employees who have been temporarily removed from exposure under the medical removal protection provisions of the standard. (See Part IX, below.)
The standard specifies the minimum content of pre-assignment and annual medical examinations. The content of other types of medical examinations and consultations is left up to the sound discretion of the examining physician. Pre-assignment and annual medical examinations must include (1) a detailed work history and medical history; (2) a thorough physical examination, including an evaluation of your pulmonary status if you will be required to use a respirator; (3) a blood pressure measurement; and (4) a series of laboratory tests designed to check your blood chemistry and your kidney function. In addition, at any time upon your request, a laboratory evaluation of male fertility will be made (microscopic examination of a sperm sample), or a pregnancy test will be given.
The standard does not require that you participate in any of the medical procedures, tests, etc. which your employer is required to make available to you. Medical surveillance can, however, play a very important role in protecting your health. You are strongly encouraged, therefore, to participate in a meaningful fashion. The standard contains a multiple physician review mechanism which will give you a chance to have a physician of your choice directly participate in the medical surveillance program. If you are dissatisfied with an examination by a physician chosen by your employer, you can select a second physician to conduct an independent analysis. The two doctors would attempt to resolve any differences of opinion, and select a third physician to resolve any firm dispute. Generally your employer will choose the physician who conducts medical surveillance under the lead standard - unless you and your employer can agree on the choice of a physician or physicians. Some companies and unions have agreed in advance, for example, to use certain independent medical laboratories or panels of physicians. Any of these arrangements are acceptable so long as required medical surveillance is made available to workers.
The standard requires your employer to provide certain information to a physician to aid in his or her examination of you. This information includes (1) the standard and its appendices, (2) a description of your duties as they relate to occupational lead exposure, (3) your exposure level or anticipated exposure level, (4) a description of any personal protective equipment you wear, (5) prior blood lead level results, and (6) prior written medical opinions concerning you that the employer has. After a medical examination or consultation the physician must prepare a written report which must contain (1) the physician's opinion as to whether you have any medical condition which places you at increased risk of material impairment to health from exposure to lead, (2) any recommended special protective measures to be provided to you, (3) any blood lead level determinations, and (4) any recommended limitation on your use of respirators. This last element must include a determination of whether you can wear a powered air purifying respirator (PAPR) if you are found unable to wear a negative pressure respirator.
The medical surveillance program of the interim lead standard may at some point in time serve to notify certain workers that they have acquired a disease or other adverse medical condition as a result of occupational lead exposure. If this is true, these workers might have legal rights to compensation from public agencies, their employers, firms that supply hazardous products to their employers, or other persons. Some states have laws, including worker compensation laws, that disallow a worker who learns of a job-related health impairment to sue, unless the worker sues within a short period of time after learning of the impairment. (This period of time may be a matter of months or years.) An attorney can be consulted about these possibilities. It should be stressed that OSHA is in no way trying to either encourage or discourage claims or lawsuits. However, since results of the standard's medical surveillance program can significantly affect the legal remedies of a worker who has acquired a job-related disease or impairment, it is proper for OSHA to make you aware of this.
The medical surveillance section of the standard also contains provisions dealing with chelation. Chelation is the use of certain drugs (administered in pill form or injected into the body) to reduce the amount of lead absorbed in body tissues. Experience accumulated by the medical and scientific communities has largely confirmed the effectiveness of this type of therapy for the treatment of very severe lead poisoning. On the other hand, it has also been established that there can be a long list of extremely harmful side effects associated with the use of chelating agents. The medical community has balanced the advantages and disadvantages resulting from the use of chelating agents in various circumstances and has established when the  use of these agents is acceptable. The standard includes these accepted limitations due to a history of abuse of chelation therapy by some lead companies. The most widely used chelating agents are calcium disodium EDTA, (Ca Na2 EDTA), Calcium Disodium Versenate (Versenate), and d-penicillamine (penicillamine or Cupramine).
The standard prohibits “prophylactic chelation” of any employee by any person the employer retains, supervises or controls. “Prophylactic chelation” is the routine use of chelating or similarly acting drugs to prevent elevated blood levels in workers who are occupationally exposed to lead, or the use of these drugs to routinely lower blood lead levels to predesignated concentrations believed to be “safe”. It should be emphasized that where an employer takes a worker who has no symptoms of lead poisoning and has chelation carried out by a physician (either inside or outside of a hospital) solely to reduce the worker's blood lead level, that will generally be considered prophylactic chelation. The use of a hospital and a physician does not mean that prophylactic chelation is not being performed. Routine chelation to prevent increased or reduce current blood lead levels is unacceptable whatever the setting.
The standard allows the use of “therapeutic” or “diagnostic” chelation if administered under the supervision of a licensed physician in a clinical setting with thorough and appropriate medical monitoring. Therapeutic chelation responds to severe lead poisoning where there are marked symptoms. Diagnostic chelation involved giving a patient a dose of the drug then collecting all urine excreted for some period of time as an aid to the diagnosis of lead poisoning.
In cases where the examining physician determines that chelation is appropriate, you must be notified in writing of this fact before such treatment. This will inform you of a potentially harmful treatment, and allow you to obtain a second opinion.
IX. Medical Removal Protection - Subsection (k)
Excessive lead absorption subjects you to increased risk of disease. Medical removal protection (MRP) is a means of protecting you when, for whatever reasons, other methods, such as engineering controls, work practices, and respirators, have failed to provide the protection you need. MRP involves the temporary removal of a worker from his or her regular job to a place of significantly lower exposure without any loss of earnings, seniority, or other employment rights or benefits. The purpose of this program is to cease further lead absorption and allow your body to naturally excrete lead which has previously been absorbed. Temporary medical removal can result from an elevated blood lead level, or a medical opinion. For up to 18 months, or for as long as the job the employee was removed from lasts, protection is provided as a result of either form of removal. The vast majority of removed workers, however, will return to their former jobs long before this eighteen month period expires.
You may also be removed from exposure even if your blood lead level is below 50 mg/dl if a final medical determination indicates that you temporarily need reduced lead exposure for medical reasons. If the physician who is implementing your employers medical program makes a final written opinion recommending your removal or other special protective measures, your employer must implement the physician's recommendation. If you are removed in this manner, you may only be returned when the doctor indicates that it is safe for you to do so.
The standard does not give specific instructions dealing with what an employer must do with a removed worker. Your job assignment upon removal is a matter for you, your employer and your union (if any) to work out consistent with existing procedures for job assignments. Each removal must be accompanied in a manner consistent with existing collective bargaining relationships. Your employer is given broad discretion to implement temporary removals so long as no attempt is made to override existing agreements. Similarly, a removed worker is provided no right to veto an employer's choice which satisfies the standard.
In most cases, employers will likely transfer removed employees to other jobs with sufficiently low lead exposure. Alternately, a worker's hours may  be reduced so that the time weighted average exposure is reduced, or he or she may be temporarily laid off if no other alternative is feasible.
In all of these situation, MRP benefits must be provided during the period of removal - i.e., you continue to receive the same earnings, seniority, and other rights and benefits you would have had if you had not been removed. Earnings includes more than just your base wage; it includes overtime, shift differentials, incentives, and other compensation you would have earned if you had not been removed. During the period of removal you must also be provided with appropriate follow-up medical surveillance. If you were removed because your blood lead level was too high, you must be provided with a monthly blood test. If a medical opinion caused your removal, you must be provided medical tests or examinations that the doctor believes to be appropriate. If you do not participate in this follow up medical surveillance, you may lose your eligibility for MRP benefits.
When you are medically eligible to return to your former job, your employer must return you to your “former job status.” This means that you are entitled to the position, wages, benefits, etc., you would have had if you had not been removed. If you would still be in your old job if no removal had occurred that is where you go back. If not, you are returned consistent with whatever job assignment discretion your employer would have had if no removal had occurred. MRP only seeks to maintain your rights, not expand them or diminish them.
If you are removed under MRP and you are also eligible for worker compensation or other compensation for lost wages, your employer's MRP benefits obligation is reduced by the amount that you actually receive from these other sources. This is also true if you obtain other employment during the time you are laid off with MRP benefits.
The standard also covers situations where an employer voluntarily removes a worker from exposure to lead due to the effects of lead on the employee's medical condition, even though the standard does not require removal. In these situations MRP benefits must still be provided as though the standard required removal. Finally, it is important to note that in all cases where removal is required, respirators cannot be used as a substitute. Respirators may be used before removal becomes necessary, but not as an alternative to a transfer to a low exposure job, or to lay-off with MRP benefits.
X. Employee Information, Training and Certification - Subsection (l)
Your employer is required to provide an information and training program for all employees exposed to lead above the action level or who may suffer skin or eye irritation from lead compounds such as lead arsenate or lead azide. The program must train these employees regarding the specific hazards associated with their work environment, protective measures which can be taken, including the contents of any compliance plan in effect, the danger of lead to their bodies (including their reproductive systems), and their rights under the standard. All employees must be trained prior to initial assignment to areas where there is a possibility of exposure over the action level.
This training program must also be provided at least annually thereafter unless further exposure above the action level will not occur.
The California Department of Health Services requires the certification of employees and supervisors performing lead related construction activities in residential and public buildings, as defined in Title 17, California Code of Regulations, Division 1, Chapter 8. Lead related construction work is defined in Title 17 as any construction, alteration, painting, demolition, salvage, renovation, repair, or maintenance of any residential or public building, including preparation and cleanup, that, by using or disturbing lead containing material or soil, may result in significant exposure of adults or children to lead. “Public building” means a structure which is generally accessible to the public, including but not limited to, schools, daycare centers, museums, airports, hospitals, stores, convention centers, government facilities, office buildings and any other building which is not an industrial building or a residential building. Where training certification is required, the training must be given by a training provider accredited by the California Department of Health Services.
XI. Signs - Subsection (m)
The standard requires that the following warning sign be posted in each regulated area or work areas where the exposure to lead exceeds the PEL:

WARNING
LEAD WORK AREA
POISONNO 
SMOKING OR EATING
These signs are to be posted and maintained in a manner which assures that the legend is readily visible.
XII. Recordkeeping - Subsection (n)
Your employer is required to keep all records of exposure monitoring for airborne lead. These records must include the name and job classification of employees measured, details of the sampling and analytical techniques, the results of this sampling, and the type of respiratory protection being worn by the person sampled. Such records are to be retained for at least 30 years. Your employer is also required to keep all records of biological monitoring and medical examination results. These records must include the names of the employees, the physician's written opinion, and a copy of the results of the examination. Medical records must be preserved and maintained for the duration of employment plus 30 years. However, if the employee's duration of employment is less than one year, the employer need not retain that employee's medical records beyond the period of employment if they are provided to the employee upon termination of employment.
Recordkeeping is also required if you are temporarily removed from your job under the medical removal protection program. This record must include your name and social security number, the date of your removal and return, how the removal was or is being accomplished, and whether or not the reason for the removal was an elevated blood lead level. Your employer is required to keep each medical removal record only for as long as the duration of an employee's employment.
The standard requires that if you request to see or copy environmental monitoring, blood lead level monitoring, or medical removal records, they must be made available to you or to a representative that you authorize. Your union also has access to these records. Medical records other than BLL's must also be provided upon request to you, to your physician or to any other person whom you may specifically designate. Your union does not have access to your personal medical records unless you authorize their access.
XIII. Observation of Monitoring - Subsection (o)
When air monitoring for lead is performed at your workplace as required by this standard, your employer must allow you or someone you designate to act as an observer of the monitoring. Observers are entitled to an explanation of the measurement procedure, and to record the results obtained. Since results will not normally be available at the time of the monitoring, observers are entitled to record or receive the results of the monitoring when returned by the laboratory. Your employer is required to provide the observer with any personal protective devices required to be worn by employees working in the area that is being monitored. The employer must require the observer to wear all such equipment and to comply with all other applicable safety and health procedures.
XIV. Effective Date - Subsection (p)
The standard's effective date was November 4, 1993. Employer obligations under the standard begin as of that date with full implementation of engineering controls as soon as possible but no later than within 4 months, and all other provisions completed as soon as possible, but no later than within 2 months from the effective date.
XV. For Additional Information
A. A copy of the standard for lead in construction can be obtained free of charge by calling or writing your local Cal/OSHA Office.
B. Additional information about the standard, its enforcement, and your employer's compliance can be obtained from the nearest Cal/OSHA Office listed in your telephone directory.

Appendix C to § 1532.1 -- Medical  Surveillance Guidelines
Introduction
The primary purpose of the Occupational Safety and Health Act of 1970 is to assure, so far as possible, safe and healthful working conditions for every working man and woman. The occupational health standard for lead in construction is designed to protect workers exposed to inorganic lead including metallic lead, all inorganic lead compounds and organic lead soaps.
Under this standard occupational exposure to inorganic lead is to be limited to 50 mg/m3 (micrograms per cubic meter) based on an 8 hour time-weighted average (TWA). This permissible exposure limit (PEL) must be achieved through a combination of engineering, work practice and administrative controls to the extent feasible. Where these controls are in place but are found not to reduce employee exposures to or below the PEL, they must be used nonetheless, and supplemented with respirators to meet the 50 mg/m3 exposure limit.
The standard also provides for a program of biological monitoring for employees exposed to lead above the action level at any time, and additional medical surveillance for all employees exposed to levels of inorganic lead above 30 mg/m3 (TWA) for more than 30 days per year and whose BLL exceeds 40 mg/dl.
The purpose of this document is to outline the medical surveillance provisions of the interim standard for inorganic lead in construction, and to provide further information to the physician regarding the examination and evaluation of workers exposed to inorganic lead.
Section 1 provides a detailed description of the monitoring procedure including the required frequency of blood testing for exposed workers, provisions for medical removal protection (MRP), the recommended right of the employee to a second medical opinion, and notification and recordkeeping requirements of the employer. A discussion of the requirements for respirator use and respirator monitoring and OSHA's position on prophylactic chelation therapy are also included in this section.
Section 2 discusses the toxic effects and clinical manifestations of lead poisoning and effects of lead intoxication on enzymatic pathways in heme synthesis. The adverse effects on both male and female reproductive capacity and on the fetus are also discussed.
Section 3 outlines the recommended medical evaluation of the worker exposed to inorganic lead, including details of the medical history, physical examination, and recommended laboratory tests, which are based on the toxic effects of lead as discussed in Section 2.
Section 4 provides detailed information concerning the laboratory tests available for the monitoring of exposed workers. Included also is a discussion of the relative value of each test and the limitations and precautions which are necessary in the interpretation of the laboratory results.
I. Medical Surveillance and Monitoring Requirements for Workers Exposed to Inorganic Lead
Under the standard for inorganic lead in the construction industry, initial medical surveillance consisting of biological monitoring to include blood lead and ZPP level determination shall be provided to employees exposed to lead at or above the action level on any one day. In addition, a program of biological monitoring is to be made available to all employees exposed above the action level at any time and additional medical surveillance is to be made available to all employees exposed to lead above 30 mg/m3 TWA for more than 30 days each year and whose BLL exceeds 40 mg/dl. This program consists of periodic blood sampling and medical evaluation to be performed on a schedule which is defined by previous laboratory results, worker complaints or concerns, and the clinical assessment of the examining physician.
Under this program, the blood lead level (BLL) of all employees who are exposed to lead above 30 mg/m3 for more than 30 days per year or whose blood lead is above 40 mg/dl but exposed for no more than 30 days per year is to be determined at least every two months for the first six months of exposure and every six months thereafter. The frequency is increased to every two months for employees whose last blood lead level was 40 mg/dl or above. For employees who are removed from exposure to lead due to an elevated blood lead, a new blood lead level must be measured monthly. A zinc protoporphyrin (ZPP) measurement is strongly recommended on each occasion that a blood lead level measurement is made.
An annual medical examination and consultation performed under the guidelines discussed in Section 3 is to be made available to each employee exposed above 30 mg/m3 for more than 30 days per year for whom a blood test conducted at any time during the preceding 12 months indicated a blood lead level at or above 40 mg/dl. Also, an examination is to be given to all employees prior to their assignment to an area in which airborne lead concentrations each or exceed the 30 mg/m3 for more than 30 days per year. In addition, a medical examination must be provided as soon as possible after notification by an employee that the employee has developed signs and symptoms commonly associated with lead intoxication, that the employee desires medical advice regarding lead exposure and the ability to procreate a healthy child, or that the employee has demonstrated difficulty in breathing during a respirator fitting test or during respirator use. An examination is also to be made available to each employee removed from exposure to lead due to a risk of sustaining material impairment to health, or otherwise limited or specially protected pursuant to medical recommendations.
Results of biological monitoring or the recommendations of an examining physician may necessitate removal of an employee from further lead exposure pursuant to the standard's medical removal protection (MRP) program. The object of the MRP program is to provide temporary medical removal to workers either with substantially elevated blood lead levels or otherwise at risk of sustaining material health impairment from continued substantial exposure to lead.
Under the standard's ultimate worker removal criteria, a worker is to be removed from any work having an eight hour TWA exposure to lead of 30 mg/m3 when his or her blood lead level reaches 50 mg/dl and is confirmed by a second follow-up blood lead level performed within two weeks after the employer receives the results of the first blood sampling test. Return of the employee to his or her job status depends on a worker's blood lead level declining to 40 mg/dl.
As part of the interim standard, the employer is required to notify in writing each employee whose blood lead level exceeds 40 mg/dl. In addition each such employee is to be informed that the standard requires medical removal with MRP benefits, discussed below, when an employee's blood lead level exceeds the above defined limit.
In addition to the above blood lead level criterion, temporary worker removal may also take place as a result of medical terminations and recommendations. Written medical opinions must be prepared after each examination pursuant to the standard. If the examining physician includes a medical finding, determination or opinion that the employee has a medical condition which places the employee at increased risk of material health impairment from exposure to lead, then the employee must be removed from exposure to lead at or above 30 mg/m3. Alternatively, if the examining physician recommends special protective measures for an employee (e.g., use of a powered air purifying respirator) or recommends limitations on an employee's exposure to lead, then the employer must implement these recommendations.
Recommendations may be more stringent than the specific provisions of the standard. The examining physician, therefore, is given broad flexibility to tailor special protective procedures to the needs of individual employees. This flexibility extends to the evaluation and management of pregnant workers and male and female workers who are planning to raise children. Based on the history, physical examination, and laboratory studies, the physician might recommend special protective measures or medical removal for an employee who is pregnant or who is planning to conceive a child when, in the physician's judgment, continued exposure to lead at the current job would pose a significant risk. The return of the employee to his or her former job status, or the removal of special protections or limitations, depends upon the examining physician determining that the employee is no longer at increased risk of material impairment or that special measures are no longer needed.
During the period of any form of special protection or removal, the employer must maintain the worker's earnings, seniority, and other employment rights and benefits (as though the worker had not been removed) for a period of up to 18 months or for as long as the job the employee was removed from lasts if less than 18 months. This economic protection will maximize meaningful worker participation in the medical surveillance program, and is appropriate as part of the employer's overall obligation to provide a safe and healthful workplace. The provisions of MRP benefits during the employee's removal period may, however, be conditioned upon participation in medical surveillance.
The lead standard provides for a multiple physician review in cases where the employee wishes a second opinion concerning potential lead poisoning or toxicity. If an employee wishes a second opinion, he or she can make an appointment with a physician of his or her choice. This second physician will review the findings, recommendations or determinations of the first physician and conduct any examinations, consultations or tests deemed necessary in an attempt to make a final medical determination. If the first and second physicians do not agree in their assessment they must try to resolve their differences. If they cannot reach an agreement then they must designate a third physician to resolve the dispute.
The employer must provide examining and consulting physicians with the following specific information: A copy of the lead regulations and all appendices, a description of the employee's duties as related to exposure, the exposure level or anticipated level to lead and any other toxic substances (if applicable), a description of personal protective equipment used, blood lead levels, and all prior written medical opinions regarding the employee in the employer's possession or control. The employer must also obtain from the physician and provide the employee with a written medical opinion containing blood lead levels, the physician's opinion as to whether the employee is at risk of material impairment to health, any recommended protective measures for the employee if further exposure is permitted, as well as any recommended limitations upon an employee's use of respirators.
Employers must instruct each physician not to reveal to the employer in writing or in any other way his or her findings, laboratory results, or diagnoses which are felt to be unrelated to occupational lead exposure. They must also instruct each physician to advise the employee of any occupationally or non-occupationally related medical condition requiring further treatment or evaluation.
The standard provides for the use of respirators where engineering and other primary controls are not effective. However, the use of respirator protection shall not be used in lieu of temporary medical removal due to elevated blood lead levels or findings that an employee is at risk of material health impairment. This is based on the numerous inadequacies of respirators including skin rash where the facepiece makes contact with the skin, unacceptable stress to breathing in some workers with underlying cardiopulmonary impairment, difficulty in providing adequate fit, the tendency for respirators to create additional hazards by interfering with vision, hearing, and mobility, and the difficulties of assuring the maximum effectiveness of a complicated work practice program involving respirators. Respirators do, however, serve a useful function where engineering and work practice controls are inadequate by providing supplementary, interim, or short-term protection, provided they are properly selected for the environment in which the employee will be working, properly fitted to the employee, maintained and cleaned periodically, and worn by the employee when required.
In its standard on occupational exposure to inorganic lead in the construction industry, OSHA has prohibited prophylactic chelation. Diagnostic and therapeutic chelation are permitted only under the supervision of a licensed physician with appropriate medical monitoring in an acceptable clinical setting. The decision to initiate chelation therapy must be made on an individual basis and take into account the severity of symptoms felt to be a result of lead toxicity along with blood lead levels, ZPP levels, and other laboratory tests as appropriate. EDTA and penicillamine which are the primary chelating agents used in the therapy of occupational lead poisoning have significant potential side effects and their use must be justified on the basis of expected benefits to the worker. Unless frank and severe symptoms are prevent, therapeutic chelation is not recommended, given the opportunity to remove a worker from exposure and allow the body to naturally excrete accumulated lead. As a diagnostic aid, the chelation mobilization test using CA-EDTA has limited applicability. According to some investigators, the test can differentiate between lead-induced and other nephropathies. The test may also provide an estimation of the mobile fraction of the total body lead burden.
Employers are required to assure that accurate records are maintained on exposure assessment, including environmental monitoring, medical surveillance, and medical removal for each employee. Exposure assessment records must be kept for at least 30 years. Medical surveillance records must be kept for the duration of employment plus 30 years except in cases where the employment was less than one year. If duration of employment is less than one year, the employer need not retain this record beyond the term of employment if the record is provided to the employee upon termination of employment. Medical removal records also must be maintained for the duration of employment. All records required under the standard must be made available upon request to the Chief and the National Institute for Occupational Safety and Health. Employers must also make environmental and biological monitoring and medical removal records available to affected employees and to former employees or their authorized employee representatives. Employees or their specifically designated representatives have access to their entire medical surveillance records.
In addition, the standard requires that the employer inform all workers exposed to lead at or above 30 mg/m3 of the provisions of the standard and all its appendices, the purpose and description of medical surveillance and provisions for medical removal protection if temporary removal is required. An understanding of the potential health effects of lead exposure by all exposed employees along with full understanding of their rights under the lead standard is essential for an effective monitoring program.
II. Adverse Health Effects of Inorganic Lead
Although the toxicity of lead has been known for 2,000 years, the knowledge of the complex relationship between lead exposure and human response is still being refined. Significant research into the toxic properties of lead continues throughout the world, and it should be anticipated that our understanding of thresholds of effects and margins of safety will be improved in future years. The provisions of the lead standard are founded on two prime medical judgments: First, the prevention of adverse health effects from exposure to lead throughout a working lifetime requires that worker blood lead levels be maintained at or below 40 mg/dl and second, the blood lead levels of workers, male or female, who intend to parent in the near future should be maintained below 30 mg/dl to minimize adverse reproductive health effects to the parents and developing fetus. The adverse effects of lead on reproduction are being actively researched and Cal/OSHA encourages the physician to remain abreast of recent developments in the area to best advise pregnant workers or workers planning to conceive children.
The spectrum of health effects caused by lead exposure can be subdivided into five developmental stages: Normal, physiological changes of uncertain significance, pathophysiological changes, overt symptoms (morbidity), and mortality. Within this process there are no sharp distinctions, but rather a continuum of effects. Boundaries between categories overlap due to the wide variation of individual responses and exposures in the working population. OSHA's development of the lead standard focused on pathophysiological changes as well as later stages of disease.
1. Heme Synthesis Inhibition. The earliest demonstrated effect of lead involves its ability to inhibit at least two enzymes of the heme synthesis pathway at very low blood levels. Inhibition of delta aminolevulinic acid dehydrase (ALA-D) which catalyzes the conversion of delta-aminolevulinic acid (ALA) to protoporphyrin is observed at a blood lead level below 20 mg/dl. At a blood lead level of 40 mg/dl, more than 20% of the population would have 70% inhibition of ALA-D. There is an exponential increase in ALA excretion at blood lead levels greater than 40 mg/dl.
Another enzyme, ferrochelatase, is also inhibited at low blood lead levels. Inhibition of ferrochelatase leads to increased free erythrocyte protoporphyrin (FEP) in the blood which can then bind to zinc to yield zinc protoporphyrin. At a blood lead level of 50 mg/dl or greater, nearly 100% of the population will have an increase in FEP. There is also an exponential relationship between blood lead levels greater than 40 mg/dl and the associated ZPP level, which has led to the development of the ZPP screening test for lead exposure.
While the significance of these effects is subject to debate, it is Cal/OSHA's position that these enzyme disturbances are early stages of a disease process which may eventually result in the clinical symptoms of lead poisoning. Whether or not the effects do progress to the later stages of clinical disease, disruption of these enzyme processes over a working lifetime is considered to be a material impairment of health.
One of the eventual results of lead-induced inhibition of enzymes in the heme synthesis pathway is anemia which can be asymptomatic if mild but associated with a wide array of symptoms including dizziness, fatigue, and tachycardia when more severe. Studies have indicated that lead levels as low as 50 mg/dl can be associated with a definite decreased hemoglobin, although most cases of lead-induced anemia, as well as shortened red-cell survival times, occur at lead levels exceeding 80 mg/dl. Inhibited hemoglobin synthesis is more common in chronic cases whereas shortened erythrocyte life span is more common in acute cases.
In lead-induced anemias, there is usually a reticulocytosis along with the presence of basophilic stippling, and ringed sideroblasts, although none of the above are pathognomonic for lead-induced anemia.
2. Neurological Effects. Inorganic lead has been found to have toxic effects on both the central and peripheral nervous systems. The earliest stages of lead-induced central nervous system effects first manifest themselves in the form of behavioral disturbances and central nervous system symptoms including irritability, restlessness, insomnia and other sleep disturbances, fatigue, vertigo, headache, poor memory, tremor, depression, and apathy. With more severe exposure, symptoms can progress to drowsiness, stupor, hallucinations, delirium, convulsions and coma.
The most severe and acute form of lead poisoning which usually follows ingestion or inhalation of large amounts of lead is acute encephalopathy which may arise precipitously with the onset of intractable seizures, coma, cardiorespiratory arrest, and death within 48 hours.
While there is disagreement about what exposure levels are needed to produce the earliest symptoms, most experts agree that symptoms definitely can occur at blood lead levels of 60 mg/dl whole blood and therefore recommend a 40 mg/dl maximum. The central nervous system effects frequently are not reversible following discontinued exposure or chelation therapy and when improvement does occur, it is almost always only partial.
The peripheral neuropathy resulting from lead exposure characteristically involves only motor function with minimal sensory damage and has a marked predilection for the extensor muscles of the most active extremity. The peripheral neuropathy can occur with varying degrees of severity. The earliest and mildest form which can be detected in workers with blood lead levels as low as 50 mg/dl is manifested by slowing of motor nerve conduction velocity often without clinical symptoms. With progression of the neuropathy there is development of painless extensor muscle weakness usually involving the extensor muscles of the fingers and hand in the most active upper extremity, followed in severe cases by wrist drop or, much less commonly, foot drop.
In addition to slowing of nerve conduction, electromyographical studies in patients with blood lead levels greater than 50 mg/dl have demonstrated a decrease in the number of acting motor unit potentials, an increase in the duration of motor unit potentials, and spontaneous pathological activity including fibrillations and fasciculations. Whether these effects occur at levels of 40 mg/dl is undetermined. 
While the peripheral neuropathies can occasionally be reversed with therapy, again such recovery is not assured particularly in the more severe neuropathies and often improvement is only partial. The lack of reversibility is felt to be due in part to segmental demyelination.
3. Gastrointestinal. Lead may also affect the gastrointestinal system producing abdominal colic or diffuse abdominal pain, constipation, obstipation, diarrhea, anorexia, nausea and vomiting. Lead colic rarely develops at blood lead levels below 80 mg/dl.
4. Renal. Renal toxicity represents one of the most serious health effects of lead poisoning. In the early stages of disease nuclear inclusion bodies can frequently be identified in proximal renal tubular cells. Renal function remains normal and the changes in this stage are probably reversible. With more advanced disease there is progressive interstitial fibrosis and impaired renal function. Eventually extensive interstitial fibrosis ensues with sclerotic glomeruli and dilated and atrophied proximal tubules; all represent end stage kidney disease. Azotemia can be progressive, eventually resulting in frank uremia necessitating dialysis. There is occasionally associated hypertension and hyperuricemia with or without gout.
Early kidney disease is difficult to detect. The urinalysis is normal in early lead nephropathy and the blood urea nitrogen and serum creatinine increase only when two-thirds of kidney function is lost. Measurement of creatinine clearance can often detect earlier disease as can other methods of measurement of glomerular filtration rate. An abnormal Ca-EDTA mobilization test has been used to differentiate between lead-induced and other nephropathies, but this procedure is not widely accepted. A form of Fanconi syndrome with aminoaciduria, glycosuria, and hyperphosphaturia indicating severe injury to the proximal renal tubules is occasionally seen in children.
5. Reproductive effects. Exposure to lead can have serious effects on reproductive function in both males and females. In male workers exposed to lead there can be a decrease in sexual drive, impotence, decreased ability to produce healthy sperm, and sterility. Malformed sperm (teratospermia), decreased number of sperm (hypospermia), and sperm with decreased motility (asthenospermia) can all occur. Teratospermia has been noted at mean blood lead levels of 53 mg/dl and hypospermia and athenospermia at 41 mg/dl. Furthermore, there appears to be a dose-response relationship for teratospermia in lead exposed workers.
Women exposed to lead may experience menstrual disturbances including dysmenorrhea, menorrhagia and amenorrhea. Following exposure to lead, women have a higher frequency of sterility, premature births, spontaneous miscarriages, and stillbirths.
Germ cells can be affected by lead and cause genetic damage in the egg or sperm cells before conception and result in failure to implant, miscarriage, stillbirth, or birth defects.
Infants of mothers with lead poisoning have a higher mortality during the first year and suffer from lowered birth weights, slower growth, and nervous system disorders.
Lead can pass through the placental barrier and lead levels in the mother's blood are comparable to concentrations of lead in the umbilical cord at birth. Transplacental passage becomes detectable at 12-14 weeks of gestation and increases until birth.
There is little direct data on damage to the fetus from exposure to lead but it is generally assumed that the fetus and newborn would be at least as susceptible to neurological damage as young children. Blood lead levels of 50-60 mg/dl in children can cause significant neurobehavioral impairments and there is evidence of hyperactivity at blood levels as low as 25 mg/dl. Given the overall body of literature concerning the adverse health effects of lead in children, Cal/OSHA feels that the blood lead level in children should be maintained below 30 mg/dl with a population mean of 15 mg/dl. Blood lead levels in the fetus and newborn likewise should not exceed 30 mg/dl.
Because of lead's ability to pass through the placental barrier and also because of the demonstrated adverse effects of lead on reproductive function in both the male and female as well as the risk of genetic damage of lead on both the ovum and sperm, Cal/OSHA recommends a 30 mg/dl maximum permissible blood lead level in both males and females who wish to bear children.
6. Other toxic effects. Debate and research continue on the effects of lead on the human body. Hypertension has frequently been noted in occupationally exposed individuals although it is difficult to assess whether this is due to lead's adverse effects on the kidney or if some other mechanism is involved. Vascular and electrocardiographic changes have been detected but have not been well characterized. Lead is thought to impair thyroid function and interfere with the pituitary-adrenal axis, but again these effects have not been well defined.
III. Medical Evaluation
The most important principle in evaluating a worker for any occupational disease including lead poisoning is a high index of suspicion on the part of the examining physician. As discussed in Section 2, lead can affect numerous organ systems and produce a wide array of signs and symptoms, most of which are non-specific and subtle in nature at least in the early stages of disease. Unless serious concern for lead toxicity is present, many of the early clues to diagnosis may easily be overlooked.
The crucial initial step in the medical evaluation is recognizing that a worker's employment can result in exposure to lead. The worker will frequently be able to define exposures to lead and lead containing materials but often will not volunteer this information unless specifically asked. In other situations the worker may not know of any exposures to lead but the suspicion might be raised on the part of the physician because of the industry or occupation of the worker. Potential occupational exposure to lead and its compounds occur in many occupations in the construction industry, including demolition and salvaging operations, removal or encapsulation of materials containing lead, construction, alteration, repair or renovation of structures containing lead, transportation, disposal, storage or containment of lead or lead-containing materials on construction sites, and maintenance operations associated with construction activities.
Once the possibility for lead exposure is raised, the focus can then be directed toward eliciting information from the medical history, physical exam, and finally from laboratory data to evaluate the worker for potential lead toxicity.
A complete and detailed work history is important in the initial evaluation. A listing of all previous employment with information on job description, exposure to fumes or dust, known exposures to lead or other toxic substances, a description of any personal protective equipment used, and previous medical surveillance should all be included in the worker's record. Where exposure to lead is suspected, information concerning on-the-job personal hygiene, smoking or eating habits in work areas, laundry procedures, and use of any protective clothing or respiratory protection equipment should be noted. A complete work history is essential in the medical evaluation of a worker with suspected lead toxicity, especially when long term effects such as neurotoxicity and nephrotoxicity are considered.
The medical history is also of fundamental importance and should include a listing of all past and current medical conditions, current medications including proprietary drug intake, previous surgeries and hospitalizations, allergies, smoking history, alcohol consumption, and also non-occupational lead exposures such as hobbies (hunting, riflery). Also known childhood exposures should be elicited. Any previous history of hematological, neurological, gastrointestinal, renal, psychological, gynecological, genetic, or reproductive problems should be specifically noted.
A careful and complete review of systems must be performed to assess both recognized complaints and subtle or slowly acquired symptoms which the worker might not appreciate as being significant. The review of symptoms should include the following:
1. General - weight loss, fatigue, decreased appetite.
2. Head, Eyes, Ears, Nose, Throat (HEENT) - headaches, visual disturbances or decreased visual acuity, hearing deficits or tinnitus, pigmentation of the oral mucosa, or metallic taste in mouth.
3. Cardio-pulmonary - shortness of breath, cough, chest pains, palpitations, or orthopnea.
4. Gastrointestinal - nausea, vomiting, heartburn, abdominal pain, constipation or diarrhea.
5. Neurologic - irritability, insomnia, weakness (fatigue), dizziness, loss of memory, confusion, hallucinations, incoordination, ataxia, decreased strength in hands or feet, disturbances in gait, difficulty in climbing stairs, or seizures.
6. Hematologic - pallor, easy fatigability, abnormal blood loss, melena.
7. Reproductive (male and female and spouse where relevant) - history of infertility, impotence, loss of libido, abnormal menstrual periods, history of miscarriages, stillbirths, or children with birth defects.
8. Musculo-skeletal - muscle and joint pains.
The physical examination should emphasize the neurological, gastrointestinal, and cardiovascular systems. The worker's weight and blood pressure should be recorded and the oral mucosa checked for pigmentation  characteristic of a possible Burtonian or lead line on the gingiva. It should be noted, however, that the lead line may not be present even in severe lead poisoning if good oral hygiene is practiced.
The presence of pallor on skin examination may indicate an anemia which, if severe, might also be associated with a tachycardia. If an anemia is suspected, an active search for blood loss should be undertaken including potential blood loss through the gastrointestinal tract.
A complete neurological examination should include an adequate mental status evaluation including a search for behavioral and psychological disturbances, memory testing, evaluation for irritability, insomnia, hallucinations, and mental clouding. Gait and coordination should be examined along with close observation for tremor. A detailed evaluation of peripheral nerve function including careful sensory and motor function testing is warranted. Strength testing particularly of extensor muscle groups of all extremities is of fundamental importance.
Cranial nerve evaluation should also be included in the routine examination.
The abdominal examination should include auscultation for bowel sounds and abdominal bruits and palpation for organomegaly, masses, and diffuse abdominal tenderness.
Cardiovascular examination should evaluate possible early signs of congestive heart failure. Pulmonary status should be addressed particularly if respirator protection is contemplated.
As part of the medical evaluation, the interim lead standard requires the following laboratory studies:
1. Blood lead level;
2. Hemoglobin and hematocrit determinations, red cell indices, and examination of the peripheral blood smear to evaluate red blood cell morphology;
3. Blood urea nitrogen;
4. Serum creatinine;
5. Routine urinalysis with microscopic examination;
6. A zinc protoporphyrin level.
In additional to the above, the physician is authorized to order any further laboratory or other tests which he or she deems necessary in accordance with sound medical practice. The evaluation must also include pregnancy testing or laboratory evaluation of male fertility if requested by the employee. Additional tests which are probably not warranted on a routine basis but may be appropriate when blood lead and ZPP levels are equivocal include delta aminolevulinic acid and coproporphyrin concentrations in the urine, and dark-field illumination for detection of basophilic stippling in red blood cells.
If an anemia is detected further studies including a careful examination of the peripheral smear, reticulocyte count, stool for occult blood, serum iron, total iron binding capacity, bilirubin, and, if appropriate, vitamin B12 and folate may be of value in attempting to identify the cause of the anemia.
If a peripheral neuropathy is suspected, nerve conduction studies are warranted both for diagnosis and as a basis to monitor any therapy.
If renal disease is questioned, a 24 hour urine collection for creatinine clearance, protein, and electrolytes may be indicated. Elevated uric acid levels may result from lead-induced renal disease and a serum uric acid level might be performed.
An electrocardiogram and chest x-ray may be obtained as deemed appropriate.
Sophisticated and highly specialized testing should not be done routinely and where indicated should be under the direction of a specialist.
IV. Laboratory Evaluation
The blood lead level at present remains the single most important test to monitor lead exposure and is the test used in the medical surveillance program under the lead standard to guide employee medical removal. The ZPP has several advantages over the blood lead level. Because of its relatively recent development and the lack of extensive data concerning its interpretation, the ZPP currently remains an ancillary test.
This section will discuss the blood lead level and ZPP in detail and will outline their relative advantages and disadvantages. Other blood tests currently available to evaluate lead exposure will also be reviewed.
The blood lead level is a good index of current or recent lead absorption when there is no anemia present and when the worker has not taken any chelating agents. However, blood lead levels along with urinary lead levels do not necessarily indicate the total body burden of lead and are not adequate measures of past exposure. One reason for this is that lead has a high affinity for bone and up to 90% of the body's total lead is deposited there. A very important component of the total lead body burden is lead in soft tissue (liver, kidney, and brain). This fraction of the lead body burden, the biologically active lead, is not entirely reflected by blood lead levels since it is a function of the dynamics of lead absorption, distribution, deposition in bone and excretion. Following discontinuation of exposure to lead, the excess body burden is only slowly mobilized from bone and other relatively stable body stores and excreted. Consequently, a high blood lead level may only represent recent heavy exposure to lead without a significant total body excess and likewise a low blood lead level does not exclude an elevated total body burden of lead.
Also due to its correlation with recent exposures, the blood lead level may vary considerably over short time intervals.
To minimize laboratory error and erroneous results due to contamination, blood specimens must be carefully collected after thorough cleaning of the skin with appropriate methods using lead-free blood containers and analyzed by a reliable laboratory. Under the standard, samples must be analyzed in laboratories which are approved by OSHA. Analysis is to be made using atomic absorption spectrophotometry, anodic stripping voltammetry or any method which meets the accuracy requirements set forth by the standard.
The determination of lead in urine is generally considered a less reliable monitoring technique than analysis of whole blood primarily due to individual variability in urinary excretion capacity as well as the technical difficulty of obtaining accurate 24 hour urine collections. In addition, workers with renal insufficiency, whether due to lead or some other cause, may have decreased lead clearance and consequently urine lead levels may underestimate the true lead burden. Therefore, urine lead levels should not be used as a routine test.
The zinc protoporphyrin test, unlike the blood lead determination, measures an adverse metabolic effect of lead and as such is a better indicator of lead toxicity than the level of blood lead itself. The level of ZPP reflects lead absorption over the preceding 3 to 4 months, and therefore is a better indicator of lead body burden. The ZPP requires more time than the blood lead to read significantly elevated levels; the return to normal after discontinuing lead exposure is also slower. Furthermore, the ZPP test is simpler, faster, and less expensive to perform and no contamination is possible. Many investigators believe it is the most reliable means of monitoring chronic lead absorption.
Zinc protoporphyrin results from the inhibition of the enzyme ferrochelatase which catalyzes the insertion of an iron molecule into the protoporphyrin molecule, which then becomes heme. If iron is not inserted into the molecule then zinc, having a greater affinity for protoporphyrin, takes the place of the iron, forming ZPP.
An elevation in the level of circulating ZPP may occur at blood lead levels as low as 20-30 mg/dl in some workers. Once the blood lead level has reached 40 mg/dl there is more marked rise in the ZPP value from its normal range of less than 100 mg/dl100 ml. Increases in blood lead levels beyond 40 mg/100 g are associated with exponential increases in ZPP.
Whereas blood lead levels fluctuate over short time spans, ZPP levels remain relatively stable. ZPP is measured directly in red blood cells and is present for the cell's entire 120 day life-span. Therefore, the ZPP level in blood reflects the average ZPP production over the previous 3-4 months and consequently the average lead exposure during that time interval.
It is recommended that a hematocrit be determined whenever a confirmed ZPP of 50 mg/100 ml whole blood is obtained to rule out a significant underlying anemia. If the ZPP is in excess of 100 mg/100 ml and not associated with abnormal elevations in blood lead levels, the laboratory should be checked to be sure that blood leads were determined using atomic absorption spectrophotometry anodic stripping voltammetry, or any method which meets the accuracy requirements set forth by the standard by an OSHA approved laboratory which is experienced in lead level determinations. Repeat periodic blood lead studies should be obtained in all individuals with elevated ZPP levels to be certain that an associated elevated blood lead level has not been missed due to transient fluctuations in blood leads.
ZPP has a characteristic fluorescence spectrum with a peak at 594 nm which is detectable with a hematofluorimeter. The hematofluorimeter is accurate and portable and can provide on-site, instantaneous results for workers who can be frequently tested via a finger prick.
However, careful attention must be given to calibration and quality control procedures. Limited data on blood lead-ZPP correlations and the ZPP levels which are associated with the adverse health effects discussed in Section 2 are the major limitations of the test. Also it is difficult to correlate ZPP levels with environmental exposure and there is some variation of response with age and sex. Nevertheless, the ZPP promises to be an important diagnostic test for the early detection of lead toxicity and its value will increase as more data is collected regarding its relationship to other manifestations of lead poisoning.
Levels of delta-aminolevulinic acid (ALA) in the urine are also used as a measure of lead exposure. Increasing concentrations of ALA are believed to result from the inhibition of the enzyme delta-aminolevulinic acid dehydrase (ALA-D). Although the test is relatively easy to perform, inexpensive, and rapid, the disadvantages include variability in results, the necessity to collect a complete 24 hour urine sample which has a specific gravity greater than 1.010, and also the fact that ALA decomposes in the presence of light.
The pattern of porphyrin excretion in the urine can also be helpful in identifying lead intoxication. With lead poisoning, the urine concentrations of coproporphyrins I and II, porphobilinogen and uroporphyrin I rise. The most important increase, however, is that of coproporphyrin III; levels may exceed 5,000 mg/1 in the urine in lead poisoned individuals, but its correlation with blood lead levels and ZPP are not as good as those of ALA. Increases in urinary porphyrins are not diagnostic of lead toxicity and may be seen in porphyria, some liver diseases, and in patients with high reticulocyte counts.
Summary. The standard for inorganic lead in the construction industry places significant emphasis on the medical surveillance of all workers exposed to levels of inorganic lead above 30 mg/m3 TWA. The physician has a fundamental role in this surveillance program, and in the operation of the medical removal protection program.
Even with adequate worker education on the adverse health effects of lead and appropriate training in work practices, personal hygiene and other control measures, the physician has a primary responsibility for evaluating potential lead toxicity in the worker. It is only through a careful and detailed medical and work history, a complete physical examination and appropriate laboratory testing that an accurate assessment can be made. Many of the adverse health effects of lead toxicity are either irreversible or only partially reversible and therefore early detection of disease is very important.
This document outlines the medical monitoring program as defined by the occupational safety and health standard for inorganic lead. It reviews the adverse health effects of lead poisoning and describes the important elements of the history and physical examinations as they relate to these adverse effects. Finally, the appropriate laboratory testing for evaluating lead exposure and toxicity is presented.
It is hoped that this review and discussion will give the physician a better understanding of the OSHA standard with the ultimate goal of protecting the health and well-being of the worker exposed to lead under his or her care.

Appendix D to § 1532.1 -- Qualitative and  Quantitative Fit Test Protocols

[See Section 5144, Appendix A]
§1532.2. Chromium (VI).
Note     •     History

(a) Scope. 
(1) This standard applies to occupational exposures to chromium (VI) in all forms and compounds in construction, except: 
(2) Exposures that occur in the application of pesticides regulated by the California Department of Pesticide Regulation, the U.S. Environmental Protection Agency or another Federal government agency (e.g., the treatment of wood with preservatives); 
(3) Exposures to portland cement; or 
(4) Where the employer has objective data demonstrating that a material containing chromium or a specific process, operation, or activity involving chromium cannot release dusts, fumes, or mists of chromium (VI) in concentrations at or above 0.5 mg/m3 as an 8-hour time-weighted average (TWA) under any expected conditions of use. 

Note: Exposures to strontium chromate shall comply with the provisions of Section 5155 in addition to this standard. 
(b) Definitions. For the purposes of this section the following definitions apply: 
Action level means a concentration of airborne chromium (VI) of 2.5 micrograms per cubic meter of air (2.5 mg/m3) calculated as an 8-hour time-weighted average (TWA). 
Chromium (VI) [hexavalent chromium or Cr(VI)] means chromium with a valence of positive six, in any form and in any compound. 
Emergency means any occurrence that results, or is likely to result, in an uncontrolled release of chromium (VI). If an incidental release of chromium (VI) can be controlled at the time of release by employees in the immediate release area, or by maintenance personnel, it is not an emergency. 
Employee exposure means the exposure to airborne chromium (VI) that would occur if the employee were not using a respirator. 
High efficiency particulate air [HEPA] filter means a filter that is at least 99.97 percent efficient in removing mono dispersed particles of 0.3 micrometers in diameter or larger. 
Historical monitoring data means data from chromium (VI) monitoring conducted prior to September 19, 2006, obtained during work operations conducted under workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Objective data means information such as air monitoring data from industry-wide surveys or calculations based on the composition or chemical and physical properties of a substance demonstrating the employee exposure to chromium (VI) associated with a particular product or material or a specific process, operation, or activity. The data must reflect workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Physician or other licensed health care professional [PLHCP] is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide some or all of the particular health care services required by subsection (i) of this section. 
“This section” means this 1532.2 Chromium (VI) standard. 
(c) Permissible exposure limit (PEL). The employer shall ensure that no employee is exposed to an airborne concentration of chromium (VI) in excess of 5 micrograms per cubic meter of air (5 mg/m3), calculated as an 8-hour time-weighted average (TWA). 
(d) Exposure determination. 
(1) General. Each employer who has a workplace or work operation covered by this section shall determine the 8-hour TWA exposure for each employee exposed to chromium (VI). This determination shall be made in accordance with either subsection (d)(2) or subsection (d)(3) of this section. 
(2) Scheduled monitoring option. 
(A) The employer shall perform initial monitoring to determine the 8-hour TWA exposure for each employee on the basis of a sufficient number of personal breathing zone air samples to accurately characterize full shift exposure on each shift, for each job classification, in each work area. Where an employer does representative sampling instead of sampling all employees in order to meet this requirement, the employer shall sample the employee(s) expected to have the highest chromium (VI) exposures. 
(B) If initial monitoring indicates that employee exposures are below the action level, the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring. 
(C) If monitoring reveals employee exposures to be at or above the action level, the employer shall perform periodic monitoring at least every six months. 
(D) If monitoring reveals employee exposures to be above the PEL, the employer shall perform periodic monitoring at least every three months. 
(E) If periodic monitoring indicates that employee exposures are below the action level, and the result is confirmed by the result of another monitoring taken at least seven days later, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring. 
(F) The employer shall perform additional monitoring when there has been any change in the production process, raw materials, equipment, personnel, work practices, or control methods that may result in new or additional exposures to chromium (VI), or when the employer has any reason to believe that new or additional exposures have occurred. 
(3) Performance-oriented option. The employer shall determine the 8-hour TWA exposure for each employee on the basis of any combination of air monitoring data, historical monitoring data, or objective data sufficient to accurately characterize employee exposure to chromium (VI). 
(4) Employee notification of determination results. 
(A) As soon as possible but not more than 5 working days after making an exposure determination in accordance with subsections (d)(2) or (d)(3), the employer shall either post the results in an appropriate location that is accessible to all affected employees or shall notify each affected employee individually in writing of the results. 
(B) Whenever the exposure determination indicates that employee exposure is above the PEL, the employer shall describe in the written notification the corrective action being taken to reduce employee exposure to or below the PEL. 
(5) Accuracy of measurement. Where air monitoring is performed to comply with the requirements of this section, the employer shall use a method of monitoring and analysis that can measure chromium (VI) to within an accuracy of plus or minus 25 percent (+/- 25%) and can produce accurate measurements to within a statistical confidence level of 95 percent for airborne concentrations at or above the action level. 
(6) Observation of monitoring. 
(A) Where air monitoring is performed to comply with the requirements of this section, the employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to chromium (VI). 
(B) When observation of monitoring requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with clothing and equipment and shall assure that the observer uses such clothing and equipment and complies with all other applicable safety and health procedures. 
(e) Methods of compliance. 
(1) Engineering and work practice controls. 
(A) Except as permitted in subsection (e)(1)(B) of this section, the employer shall use engineering and work practice controls to reduce and maintain employee exposure to chromium (VI) to or below the PEL unless the employer can demonstrate that such controls are not feasible. Wherever feasible engineering and work practice controls are not sufficient to reduce employee exposure to or below the PEL, the employer shall use them to reduce employee exposure to the lowest levels achievable, and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (f) of this section. 
(B) Where the employer can demonstrate that a process or task does not result in any employee exposure to chromium (VI) above the PEL for 30 or more days per year (12 consecutive months), the requirement to implement engineering and work practice controls to achieve the PEL does not apply to that process or task. 
(2) Prohibition of rotation. The employer shall not rotate employees to different jobs to achieve compliance with the PEL. 
(f) Respiratory protection. 
(1) General. The employer shall provide respiratory protection for employees during: 
(A) Periods necessary to install or implement feasible engineering and work practice controls; 
(B) Work operations, such as maintenance and repair activities, for which engineering and work practice controls are not feasible; 
(C) Work operations for which an employer has implemented all feasible engineering and work practice controls and such controls are not sufficient to reduce exposures to or below the PEL; 
(D) Work operations where employees are exposed above the PEL for fewer than 30 days per year, and the employer has elected not to implement engineering and work practice controls to achieve the PEL; or 
(E) Emergencies. 
(2) Respiratory protection program. Where respirator use is required by this section, the employer shall institute a respiratory protection program in accordance with Section 5144. 
(g) Protective work clothing and equipment. 
(1) Provision and use. Where a hazard is present or is likely to be present from skin or eye contact with chromium (VI), the employer shall provide appropriate personal protective clothing and equipment at no cost to employees, and shall ensure that employees use such clothing and equipment. 
(2) Removal and storage. 
(A) The employer shall ensure that employees remove all protective clothing and equipment contaminated with chromium (VI) at the end of the work shift or at the completion of their tasks involving chromium (VI) exposure, whichever comes first. 
(B) The employer shall ensure that no employee removes chromium (VI)-contaminated protective clothing or equipment from the workplace, except for those employees whose job it is to launder, clean, maintain, or dispose of such clothing or equipment. 
(C) When contaminated protective clothing or equipment is removed for laundering, cleaning, maintenance, or disposal, the employer shall ensure that it is stored and transported in sealed, impermeable bags or other closed, impermeable containers. 
(D) Bags or containers of contaminated protective clothing or equipment that are removed from change rooms for laundering, cleaning, maintenance, or disposal shall be labeled in accordance with the requirements of the Hazard Communication Standard, Section 5194. 
(3) Cleaning and replacement. 
(A) The employer shall clean, launder, repair and replace all protective clothing and equipment required by this section as needed to maintain its effectiveness. 
(B) The employer shall prohibit the removal of chromium (VI) from protective clothing and equipment by blowing, shaking, or any other means that disperses chromium (VI) into the air or onto an employee's body. 
(C) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with chromium (VI) of the potentially harmful effects of exposure to chromium (VI) and that the clothing and equipment should be laundered or cleaned in a manner that minimizes skin or eye contact with chromium (VI) and effectively prevents the release of airborne chromium (VI) in excess of the PEL. 
(h) Hygiene areas and practices. 
(1) General. Where protective clothing and equipment is required, the employer shall provide change rooms in conformance with Section 3367. Where skin contact with chromium (VI) occurs, the employer shall provide washing facilities in conformance with Section 1527. Eating and drinking areas provided by the employer shall be in conformance with Section 3368. 
(2) Change rooms. The employer shall assure that change rooms are equipped with separate storage facilities for protective clothing and equipment and for street clothes, and that these facilities prevent cross-contamination. 
(3) Washing facilities. 
(A) The employer shall provide readily accessible washing facilities capable of removing chromium (VI) from the skin, and shall ensure that affected employees use these facilities when necessary. 
(B) The employer shall ensure that employees who have skin contact with chromium (VI) wash their hands and faces at the end of the work shift and prior to eating, drinking, smoking, chewing tobacco or gum, applying cosmetics, or using the toilet. 
(4) Eating and drinking areas. 
(A) Whenever the employer allows employees to consume food or beverages at a worksite where chromium (VI) is present, the employer shall ensure that eating and drinking areas and surfaces are maintained as free as practicable of chromium (VI). 
(B) The employer shall ensure that employees do not enter eating and drinking areas with protective work clothing or equipment unless surface chromium (VI) has been removed from the clothing and equipment by methods that do not disperse chromium (VI) into the air or onto an employee's body. 
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in areas where skin or eye contact with chromium (VI) occurs; or carry the products associated with these activities, or store such products in these areas. 
(i) Medical surveillance. 
(1) General. 
(A) The employer shall make medical surveillance available at no cost to the employee, and at a reasonable time and place, for all employees: 
1. Who are or may be occupationally exposed to chromium (VI) at or above the action level for 30 or more days a year; 
2. Experiencing signs or symptoms of the adverse health effects associated with chromium (VI) exposure; or 
3. Exposed in an emergency. 
(B) The employer shall assure that all medical examinations and procedures required by this section are performed by or under the supervision of a PLHCP. 
(2) Frequency. The employer shall provide a medical examination: 
(A) Within 30 days after initial assignment, unless the employee has received a chromium (VI) related medical examination that meets the requirements of this subsection within the last twelve months; 
(B) Annually; 
(C) Within 30 days after a PLHCP's written medical opinion recommends an additional examination; 
(D) Whenever an employee shows signs or symptoms of the adverse health effects associated with chromium (VI) exposure; 
(E) Within 30 days after exposure during an emergency which results in an uncontrolled release of chromium (VI); or 
(F) At the termination of employment, unless the last examination that satisfied the requirements of subsection (i) of this section was less than six months prior to the date of termination. 
(3) Contents of examination. A medical examination consists of: 
(A) A medical and work history, with emphasis on: past, present, and anticipated future exposure to chromium (VI); any history of respiratory system dysfunction; any history of asthma, dermatitis, skin ulceration, or nasal septum perforation; and smoking status and history; 
(B) A physical examination of the skin and respiratory tract; and 
(C) Any additional tests deemed appropriate by the examining PLHCP. 
(4) Information provided to the PLHCP. The employer shall ensure that the examining PLHCP has a copy of this standard, and shall provide the following information: 
(A) A description of the affected employee's former, current, and anticipated duties as they relate to the employee's occupational exposure to chromium (VI); 
(B) The employee's former, current, and anticipated levels of occupational exposure to chromium (VI); 
(C) A description of any personal protective equipment used or to be used by the employee, including when and for how long the employee has used that equipment; and 
(D) Information from records of employment-related medical examinations previously provided to the affected employee, currently within the control of the employer. 
(5) PLHCP's written medical opinion. 
(A) The employer shall obtain a written medical opinion from the PLHCP, within 30 days for each medical examination performed on each employee, which contains: 
1. The PLHCP's opinion as to whether the employee has any detected medical condition(s) that would place the employee at increased risk of material impairment to health from further exposure to chromium (VI); 
2. Any recommended limitations upon the employee's exposure to chromium (VI) or upon the use of personal protective equipment such as respirators; 
3. A statement that the PLHCP has explained to the employee the results of the medical examination, including any medical conditions related to chromium (VI) exposure that require further evaluation or treatment, and any special provisions for use of protective clothing or equipment. 
(B) The PLHCP shall not reveal to the employer specific findings or diagnoses unrelated to occupational exposure to chromium (VI). 
(C) The employer shall provide a copy of the PLHCP's written medical opinion to the examined employee within two weeks after receiving it. 
(j) Communication of chromium (VI) hazards to employees. 
(1) General. In addition to the requirements of the Hazard Communication Standard, Section 5194, employers shall comply with the following requirements. 
(2) Employee information and training. 
(A) The employer shall ensure that each employee can demonstrate knowledge of at least the following: 
1. The contents of this section; and 
2. The purpose and a description of the medical surveillance program required by subsection (i) of this section. 
(B) The employer shall make a copy of this section readily available without cost to all affected employees. 
(k) Recordkeeping. 
(1) Air monitoring data. 
(A) The employer shall maintain an accurate record of all air monitoring conducted to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The date of measurement for each sample taken; 
2. The operation involving exposure to chromium (VI) that is being monitored; 
3. Sampling and analytical methods used and evidence of their accuracy; 
4. Number, duration, and the results of samples taken; 
5. Type of personal protective equipment, such as respirators worn; and 
6. Name, social security number, and job classification of all employees represented by the monitoring, indicating which employees were actually monitored. 
(C) The employer shall ensure that exposure records are maintained and made available in accordance with Section 3204. 
(2) Historical monitoring data. 
(A) Where the employer has relied on historical monitoring data to determine exposure to chromium (VI), the employer shall establish and maintain an accurate record of the historical monitoring data relied upon. 
(B) The record shall include information that reflects the following conditions: 
1. The data were collected using methods that meet the accuracy requirements of subsection (d)(5) of this section; 
2. The processes and work practices that were in use when the historical monitoring data were obtained are essentially the same as those to be used during the job for which exposure is being determined; 
3. The characteristics of the chromium (VI) containing material being handled when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; 
4. Environmental conditions prevailing when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; and 
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exception. 
(C) The employer shall ensure that historical exposure records are maintained and made available in accordance with Section 3204. 
(3) Objective data. 
(A) The employer shall maintain an accurate record of all objective data relied upon to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The chromium containing material in question; 
2. The source of the objective data; 
3. The testing protocol and results of testing, or analysis of the material for the release of chromium (VI); 
4. A description of the process, operation, or activity and how the data support the determination; and 
5. Other data relevant to the process, operation, activity, material, or employee exposures. 
(C) The employer shall ensure that objective data are maintained and made available in accordance with Section 3204. 
(4) Medical surveillance. 
(A) The employer shall establish and maintain an accurate record for each employee covered by medical surveillance under subsection (i) of this section. 
(B) The record shall include the following information about the employee: 
1. Name and social security number; 
2. A copy of the PLHCP's written opinions; 
3. A copy of the information provided to the PLHCP as required by subsection (i)(4) of this section. 
(C) The employer shall ensure that medical records are maintained and made available in accordance with Section 3204. 
(l) Dates. 
(1) For employers with 20 or more employees, all obligations of this section, except engineering controls required by subsection (e) of this section, commence November 27, 2006. 
(2) For employers with 19 or fewer employees, all obligations of this section, except engineering controls required by subsection (e) of this section, commence May 30, 2007. 
(3) For all employers, engineering controls required by subsection (e) of this section shall be implemented no later than May 31, 2010. 
(m) Reporting requirements. See Section 5203.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 9-19-2006; operative 9-19-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 38). 
2. New subsection (m) and amendment of Note filed 10-30-2007; operative 11-29-2007 (Register 2007, No. 44).
3. Amendment of subsection (d)(4)(A) filed 9-13-2010; operative 9-13-2010. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 38).
§1533. Internal Combustion Engines.
Note     •     History

(a) Internal combustion engine-driven equipment shall be operated inside buildings or enclosed structures, or, if they are 20 feet or less in depth, inside shafts, culverts, pipelines or other excavations, only when such operation does not result in exposure to dangerous gases or fumes in concentrations above the maximum acceptable limits listed in Section 5155 of the General Industry Safety Orders. Some acceptable methods of control are:
(1) Piping exhaust gases to the outside atmosphere.
(2) Providing a system of building ventilation that dilutes and removes exhaust products to outside atmosphere.
(3) Installing effective, catalyst-type exhaust treatment units on the engines.
(b) When shafts, culverts, pipelines or other excavations are 20 feet or less in depth and when internal combustion engine-driven equipment is operated therein, a mechanical ventilation system shall be provided to prevent exposure to the internal combustion engine's emissions. The ventilation system, which may consist of a mechanical exhaust system, a forced air ventilation (blower) system or a combination of the two, shall: 
(1) Supply fresh air at a minimum of 60 lineal feet per minute through the area where the engine is operated; 
(2) Supply at least 100 cubic feet of fresh air per minute per engine brake horsepower of the internal combustion engine used; 
(3) Supply a minimum of 200 cubic feet of fresh air per minute for each person that enters the space, and 
(4) Be inspected by a competent person at the beginning of each shift, or more frequently, to ensure an effective supply of fresh air. 
(c) If any work location subject to subsection (b) is subject to confined space safety orders contained in these orders, the General Industry Safety Orders or other Title 8 safety orders, and if the provisions of subsection (b) are less protective than a confined space safety order, the confined space safety order shall take precedence. 

Note: For shafts greater than 20 feet in depth and excavations subject to the Tunnel Safety Orders, refer to Title 8, Division 1, Chapter 4, Subchapter 20, the Tunnel Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment of subsection (a) and new subsections (b)-(c) filed 5-1-2012; operative 5-31-2012 (Register 2012, No. 18).
§1534. Flammable Vapors.
Note     •     History

(a) Flammable vapors shall be controlled so as to avoid hazard to workers.
(b) No source of ignition such as smoking, gas pilot lights, or operating electrical equipment, other than explosion-proof or equivalent, shall be allowed in a room or building when hazardous concentrations of flammable vapors are present.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
§1535. Methylenedianiline.
Note     •     History

(a) Scope and application.
(1) This section applies to all construction work in which there is exposure to MDA, including but not limited to the following:
(A) Construction, alteration, repair, maintenance, or renovation of structures, substrates, or portions thereof, that contain MDA;
(B) Installation or the finishing of surfaces with products containing MDA;
(C) MDA spill/emergency cleanup at construction sites; and
(D) Transportation, disposal, storage, or containment of MDA or products containing MDA on the site or location at which construction activities are performed.
(2) Except as provided in subsections (a)(7) and (f)(5), this section does not apply to the processing, use, and handling of products containing MDA where initial monitoring indicates that the product is not capable of releasing MDA in excess of the action level under the expected conditions of processing, use, and handling which will cause the greatest possible release; and where no “dermal exposure to MDA” can occur.
(3) Except as provided in subsection (a)(7), this section does not apply to the processing, use, and handling of products containing MDA where objective data are reasonably relied upon which demonstrate the product is not capable of releasing MDA under the expected conditions of processing, use, and handling which will cause the greatest possible release; and where no “dermal exposure to MDA” can occur.
(4) Except as provided in subsection (a)(7), this section does not apply to the storage, transportation, distribution or sale of MDA in intact containers sealed in such a manner as to contain the MDA dusts, vapors, or liquids, except for the provisions of section 5194 and subsection (e)
(5) Except as provided in subsection (a)(7), this section does not apply to materials in any form which contain less than 0.1% MDA by weight or volume. 
(6) Except as provided in subsection (a)(7), this section does not apply to “finished articles containing MDA.”
(7) Where products containing MDA are exempted under subsections (a)(2) through (a)(6), the employer shall maintain records of the initial monitoring results or objective data supporting that exemption and the basis for the employer's reliance on the data, as provided in the recordkeeping provision of subsection (o).
(b) Definitions. For the purpose of this section, the following definitions shall apply:
Action level means a concentration of airborne MDA of 5 ppb as an eight (8)-hour time-weighted average.
Authorized person means any person specifically authorized by the employer whose duties require the person to enter a regulated area, or any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring and measuring procedures under subsection (p), or any other person authorized by the Act or regulations issued under the Act.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Container means any barrel, bottle, can, cylinder, drum, reaction vessel, storage tank, commercial packaging or the like, but does not include piping systems.
Decontamination area means an area outside of but as near as practical to the regulated area, consisting of an equipment storage area, wash area, and clean change area, which is used for the decontamination of workers, materials, and equipment contaminated with MDA.
Dermal exposure to MDA occurs where employees are engaged in the handling, application or use of mixtures or materials containing MDA, with any of the following non-airborne forms of MDA:
(A) Liquid, powdered, granular, or flaked mixtures containing MDA in concentrations greater than 0.1% by weight or volume; and
(B) Materials other than “finished articles” containing MDA in concentrations greater than 0.1% by weight or volume.
Emergency means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which results in an unexpected and potentially hazardous release of MDA.
Employee exposure means exposure to MDA which would occur if the employee were not using respirators or protective work clothing and equipment.
Finished article containing MDA is defined as a manufactured item:
(A) Which is formed to a specific shape or design during manufacture;
(B) Which has end use function(s) dependent in whole or part upon its shape or design during end use; and
(C) Where applicable, is an item which is fully cured by virtue of having been subjected to the conditions (temperature and time) necessary to complete the desired chemical reaction.
Historical monitoring data means monitoring data for construction jobs that meet the following conditions:
(A) The data upon which judgments are based are scientifically sound and were collected using methods that are sufficiently accurate and precise;
(B) The processes and work practices that were in use when the historical monitoring data were obtained are essentially the same as those to be used during the job for which initial monitoring will not be performed;
(C) The characteristics of the MDA-containing material being handled when the historical monitoring data were obtained are the same as those on the job for which initial monitoring will not be performed;
(D) Environmental conditions prevailing when the historical monitoring data were obtained are the same as those on the job for which initial monitoring will not be performed; and
(E) Other data relevant to the operations, materials, processing, or employee exposures covered by the exception are substantially similar. The data must be scientifically sound, the characteristics of the MDA containing material must be similar and the environmental conditions comparable.
4,4' Methylenedianiline or MDA means the chemical, 4,4'-diaminodiphenylmethane, Chemical Abstract Service Registry number 101-77-9 in the form of a vapor, liquid, or solid. The definition also includes the salts of MDA.
NIOSH means the director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
Regulated areas means areas where airborne concentrations of MDA exceed or can reasonably be expected to exceed, the permissible exposure limits, or where “dermal exposure to MDA” can occur.
STEL means short term exposure limit as determined by any 15- minute sample period.
(c) Permissible exposure limits. The employer shall assure that no employee is exposed to an airborne concentration of MDA in excess of ten parts per billion (10 ppb) as an 8-hour time-weighted average and a STEL of one hundred parts per billion (100 ppb).
(d) Communication among employers. On multi-employer worksites, an employer performing work involving the application of MDA or materials containing MDA for which establishment of one or more regulated areas is required shall inform other employers on the site of the nature of the employer's work with MDA and of the existence of, and requirements pertaining to, regulated areas.
(e) Emergency situations.
(1) Written plan.
(A) A written plan for emergency situations shall be developed for each construction operation where there is a possibility of an emergency. The plan shall include procedures where the employer identifies emergency escape routes for his employees at each construction site before the construction operation begins. Appropriate portions of the plan shall be implemented in the event of an emergency.
(B) The plan shall specifically provide that employees engaged in correcting emergency conditions shall be equipped with the appropriate per--sonal protective equipment and clothing as required in subsections (i) and (j) until the emergency is abated.
(C) The plan shall specifically include provisions for alerting and evacuating affected employees as well as the applicable elements prescribed in section 3220.
(2) Alerting employees. Where there is the possibility of employee exposure to MDA due to an emergency means shall be developed to promptly alert employees who have the potential to be directly exposed. Affected employees not engaged in correcting emergency conditions shall be evacuated immediately in the event that an emergency occurs. Means shall also be developed for alerting other employees who may be exposed as a result of the emergency.
(f) Exposure monitoring.
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of each employee's exposure to airborne MDA over an eight (8) hour period. Determination of employee exposure to the STEL shall be made from breathing zone air samples collected over a 15 minute sampling period.
(B) Representative employee exposure shall be determined on the basis of one or more samples representing full shift exposure for each shift for each job classification in each work area where exposure to MDA may occur.
(C) Where the employer can document that exposure levels are equivalent for similar operations in different work shifts, the employer shall only be required to determine representative employee exposure for that operation during one shift.
(2) Initial-monitoring. Each employer who has a workplace or work operation covered by this standard shall perform initial monitoring to determine accurately the airborne concentrations of MDA to which employees may be exposed unless:
(A) the employer can demonstrate, on the basis of objective data, that the MDA-containing product or material being handled cannot cause exposures above the standard's action level, even under worst-case release conditions; or
(B) the employer has historical monitoring or other data demonstrating that exposures on a particular job will be below the action level.
(3) Periodic monitoring and monitoring frequency.
(A) If the monitoring required by subsection (f)(2) reveals employee exposure at or above the action level, but at or below the PELs, the employer shall repeat such monitoring for each such employee at least every six (6) months.
(B) If the monitoring required by subsection(f)(2) reveals employee exposure above the PELs, the employer shall repeat such monitoring for each such employee at least every three (3) months.
(C) Employers who are conducting MDA operations within a regulated area can forego periodic monitoring if the employees are all wearing supplied-air respirators while working in the regulated area.
(D) The employer may alter the monitoring schedule from every three months to every six months for any employee for whom two consecutive measurements taken at least 7 days apart indicate that the employee exposure has decreased to below the PELs but above the action level.
(4) Termination of monitoring.
(A) If the initial monitoring required by subsection (f)(2) reveals employee exposure to be below the action level, the employer may discontinue the monitoring for that employee, except as otherwise required by subsection (f)(5).
(B) If the periodic monitoring required by subsection (f)(3) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are below the action level the employer may discontinue the monitoring for that employee, except as otherwise required by subsection (f)(5).
(5) Additional monitoring. The employer shall institute the exposure monitoring required under subsections (f)(2) and (f)(3) when there has been a change in production process, chemicals present, control equipment, personnel, or work practices which may result in new or additional exposures to MDA, or when the employer has any reason to suspect a change which may result in new or additional exposures.
(6) Accuracy of monitoring. Monitoring shall be accurate, to a confidence level of 95 percent, to within plus or minus 25 percent for airborne concentrations of MDA.
(7) Employee notification of monitoring results.
(A) The employer shall, within 5 working days after the receipt of the results of any monitoring performed under this standard, notify each employee of these results, in writing, either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) The written notification required by subsection (f)(7)(A) shall contain the corrective action being taken by the employer or any other protective measures which have been implemented to reduce the employee exposure to or below the PELs, wherever the PELs are exceeded.
(8) Visual monitoring. The employer shall make routine inspections of employee hands, face and forearms potentially exposed to MDA. Other potential dermal exposures reported by the employee must be referred to the appropriate medical personnel for observation. If the employer determines that the employee has been exposed to MDA the employer shall:
(A) Determine the source of exposure;
(B) Implement protective measures to correct the hazard; and
(C) Maintain records of the corrective actions in accordance with subsection (n).
(g) Regulated areas.
(1) Establishment.
(A) Airborne exposures. The employer shall establish regulated areas where airborne concentrations of MDA exceed or can reasonably be expected to exceed, the permissible exposure limits.
(B) Dermal exposures. Where employees are subject to “dermal exposure to MDA” the employer shall establish those work areas as regulated areas.
(2) Demarcation. Regulated areas shall be demarcated from the rest of the workplace in a manner that minimizes the number of persons potentially exposed.
(3) Access. Access to regulated areas shall be limited to authorized persons.
(4) Personal protective equipment and clothing. Each person entering a regulated area shall be supplied with, and required to use, the appropriate personal protective clothing and equipment in accordance with subsections (i) and (j).
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in regulated areas.
(h) Methods of compliance.
(1) Engineering controls and work practices and respirators.
(A) The employer shall use one or any combination of the following control methods to achieve compliance with the permissible exposure limits prescribed by subsection (c):
1. Local exhaust ventilation equipped with HEPA filter dust collection systems;
2. General ventilation systems;
3. Use of work practices; or
4. Other engineering controls such as isolation and enclosure that the Chief can show to be feasible.
(B) Wherever the feasible engineering controls and work practices which can be instituted are not sufficient to reduce employee exposure to or below the PELs, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protective devices which comply with the requirements of subsection (i).
(2) Special Provisions. For workers engaged in spray application methods, respiratory protection must be used in addition to feasible engineering controls and work practices to reduce employee exposure to or below the PELs.
(3) Prohibitions. Compressed air shall not be used to remove MDA, unless the compressed air is used in conjunction with an enclosed ventilation system designed to capture the dust cloud created by the compressed air.
(4) Employee rotation. The employer shall not use employee rotation as a means of compliance with the exposure limits prescribed in subsection (c).
(5) Compliance program.
(A) The employer shall establish and implement a written program to reduce employee exposure to or below the PELs by means of engineering and work practice controls, as required by subsection (h)(1), and by use of respiratory protection where permitted under this section.
(B) Upon request this written program shall be furnished for examination and copying to the Chief, NIOSH, affected employees and designated employee representatives. The employer shall review and, as necessary, update such plans at least once every 12 months to make certain they reflect the current status of the program.
(i) Respiratory protection.
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Period necessary to install or implement feasible engineering and work practice controls;
(B) Work operations such as maintenance and repair activities and spray application processes for which engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the PELs; and
(D) Emergencies.
(2) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(3) Respirator selection.
(A) The employer must select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) An employee who cannot wear a negative pressure respirator shall be given the option of wearing a positive pressure respirator or a supplied-air respirator operated in the continuous flow or pressure demand mode.
(C) Employers shall provide HEPA filters for powered and non-powered air-purifying respirators.
(D) For escape, employers shall provide employees with one of the following respirator options:  any self-contained breathing apparatus with a full facepiece or hood operated in the positive-pressure or continuous-flow mode; or a full facepiece air-purifying respirator.
(E) Employers shall provide a combination HEPA filter and organic vapor canister or cartridge with air-purifying respirators when MDA is in liquid form or used as part of a process requiring heat.
(j) Protective work clothing and equipment. 
(1) Provision and use. Where employees are subject to dermal exposure to MDA, where liquids containing MDA can be splashed into the eyes, or where airborne concentrations of MDA are in excess of the PEL, the employer shall provide, at no cost to the employee, and ensure that the employee uses, appropriate protective work clothing and equipment which prevent contact with MDA such as, but not limited to:
(A) Aprons, coveralls or other full-body work clothing;
(B) Gloves, head coverings, and foot coverings; and
(C) Face shields, chemical goggles; or
(D) Other appropriate protective equipment which comply with section 1516.
(2) Removal and storage.
(A) The employer shall ensure that, at the end of their work shift, employees remove MDA-contaminated protective work clothing and equipment that is not routinely removed throughout the day in change areas provided in accordance with the provisions in subsection (k).
(B) The employer shall ensure that, during their work shift, employees remove all other MDA-contaminated protective work clothing or equipment before leaving a regulated area.
(C) The employer shall ensure that no employee takes MDA-contaminated work clothing or equipment out of the decontamination areas, except those employees authorized to do so for the purpose of laundering, maintenance, or disposal.
(D) MDA-contaminated work clothing or equipment shall be placed and stored and transported in sealed, impermeable bags, or other closed impermeable containers.
(E) Containers of MDA-contaminated protective work clothing or equipment which are to be taken out of decontamination areas or the workplace for cleaning, maintenance, or disposal, shall bear labels warning of the hazards of MDA.
(3) Cleaning and replacement.
(A) The employer shall provide the employee with clean protective clothing and equipment. The employer shall ensure that protective work clothing or equipment required by this subsection is cleaned, laundered, repaired, or replaced at intervals appropriate to maintain its effectiveness.
(B) The employer shall prohibit the removal of MDA from protective work clothing or equipment by blowing, shaking, or any methods which allow MDA to re-enter the workplace.
(C) The employer shall ensure that laundering of MDA-contaminated clothing shall be done so as to prevent the release of MDA in the workplace.
(D) Any employer who gives MDA-contaminated clothing to another person for laundering shall inform such person of the requirement to prevent the release of MDA.
(E) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with MDA of the potentially harmful effects of exposure.
(4) Visual Examination.
(A)  The employer shall ensure that employees' work clothing is examined periodically for rips or tears that may occur during performance of work.
(B) When rips or tears are detected, the protective equipment or clothing shall be repaired and replaced immediately.
(k) Hygiene facilities and practices. 
(1) General.
(A) The employer shall provide decontamination areas for employees required to work in regulated areas or required by subsection (j)(1) to wear protective clothing. Exception: In lieu of the decontamination area requirement specified in subsection (k)(1)(A), the employer may permit employees engaged in small scale, short duration operations, to clean their protective clothing or dispose of the protective clothing before such employees leave the area where the work was performed.
(B) Change areas. The employer shall ensure that chance areas are equipped with separate storage facilities for protective clothing and street clothing, in accordance with section 3366(f).
(C) Equipment area. The equipment area shall be supplied with impermeable, labeled bags and containers for the containment and disposal of contaminated protective clothing and equipment.
(2) Shower area.
(A) Where feasible, shower facilities shall be provided which comply with section 3366(f) wherever the possibility of employee exposure to airborne levels of MDA in excess of the permissible exposure limit exists.
(B) Where dermal exposure to MDA occurs, the employer shall ensure that materials spilled or deposited on the skin are removed as soon as possible by methods which do not facilitate the dermal absorption of MDA.
(3) Lunch Areas.
(A) Whenever food or beverages are consumed at the worksite and employees are exposed to MDA the employer shall provide clean lunch areas were MDA levels are below the action level and where no dermal exposure to MDA can occur.
(B) The employer shall ensure that employees wash their hands and faces with soap and water prior to eating, drinking, smoking, or applying cosmetics.
(C) The employer shall ensure that employees do not enter lunch facilities with contaminated protective work clothing or equipment.
(l) Communication of hazards to employees.
(1) Signs and labels.
(A) The employer shall post and maintain legible signs demarcating regulated areas and entrances or accessways to regulated areas that bear the following legend:

DANGER
MDA
MAY CAUSE CANCER
LIVER TOXIN
AUTHORIZED PERSONNEL ONLY
RESPIRATORS AND PROTECTIVE CLOTHING
MAY BE REQUIRED TO BE WORN IN THIS AREA
(B) The employer shall ensure that labels or other appropriate forms of warning are provided for containers of MDA within the workplace. The labels shall comply with the requirements of section 5194(f) and shall include one of the following legends:
1. For pure MDA:

DANGER
CONTAINS MDA
MAY CAUSE CANCER
LIVER TOXIN
2. For mixtures containing MDA:

DANGER
CONTAINS MDA
CONTAINS MATERIALS WHICH MAY CAUSE CANCER
LIVER TOXIN
(2) Material safety data sheets (MSDS). Employers shall obtain or develop, and shall provide access to their employees, to a material safety data sheet (MSDS) for MDA.
(3) Information and training.
(A) The employer shall provide employees with information and training on MDA, in accordance with section 5194(h), at the time of initial assignment and at least annually thereafter.
(B) In addition to the information required under section 5194 the employer shall:
1. Provide an explanation of the contents of this section, including appendices A and B, and indicate to employees where a copy of the standard is available;
2. Describe the medical surveillance program required under subsection (n), and explain the information contained in Appendix C of the section; and
3. Describe the medical removal provision required under subsection (n).
(4) Access to training materials.
(A) The employer shall make readily available to all affected employees, without cost, all written materials relating to the employee training program, including a copy of this regulation.
(B) The employer shall provide to the Chief and NIOSH, upon request, all information and training materials relating to the employee information and training program.
(m) Housekeeping.
(1) All surfaces shall be maintained as free as practicable of visible accumulations of MDA.
(2) The employer shall institute a program for detecting MDA leaks, spills, and discharges, including regular visual inspections of operations involving liquid or solid MDA.
(3) All leaks shall be repaired and liquid or dust spills cleaned up promptly.
(4) Surfaces contaminated with MDA may not be cleaned by the use of compressed air.
(5) Shoveling, dry sweeping, and other methods of dry clean-up of MDA may be used where HEPA filtered vacuuming and/or wet cleaning are not feasible or practical.
(6) Waste, scrap, debris, bags, containers, equipment, and clothing contaminated with MDA shall be collected and disposed of in a manner to prevent the re-entry of MDA into the workplace.
(n) Medical surveillance.
(1) General.
(A) The employer shall make available a medical surveillance program for employees exposed to MDA under the following circumstances:
1. Employees exposed at or above the action level for 30 or more days per year;
2. Employees who are subject to dermal exposure to MDA for 15 or more days per year;
3. Employees who have been exposed in an emergency situation;
4. Employees whom the employer, based on results from compliance with subsection (f)(8), has reason to believe are being dermally exposed; and
5. Employees who show signs or symptoms of MDA exposure.
(B) The employer shall ensure that all medical examinations and procedures are performed by or under the supervision of a licensed physician at a reasonable time and place, and provided without cost to the employee.
(2) Initial examinations.
(A) Within 150 days of the effective date of this standard, or before the time of initial assignment, the employer shall provide each employee covered by subsection (n)(1)(A) with a medical examination including the following elements:
1. A detailed history which includes:
a. Past work exposure to MDA or any other toxic substances;
b. A history of drugs, alcohol, tobacco, and medication routinely taken (duration and quantity); and
c. A history of dermatitis, chemical skin sensitization, or previous hepatic disease.
2. A physical examination which includes all routine physical examination parameters, skin examination, and examination for signs of liver disease.
3. Laboratory tests including:
a. Liver function tests; and
b. Urinalysis.
4. Additional tests as necessary in the opinion of the physician.
(B) No initial medical examination is required if adequate records show that the employee has been examined in accordance with the requirements within the previous six months prior to the effective date of this standard or prior to the date of initial assignment.
(3) Periodic examinations.
(A) The employer shall provide each employee covered by this section with a medical examination at least annually following the initial examination. These periodic examinations shall include at least the following elements:
1. A brief history regarding any new exposure to potential liver toxins, changes in drug, tobacco, and alcohol intake, and the appearance of physical signs relating to the liver, and the skin;
2. The appropriate tests and examinations including liver function tests and skin examinations; and
3. Appropriate additional tests or examinations as deemed necessary by the physician.
(B) If in the physician's opinion the results of liver function tests indicate an abnormality, the employee shall be removed from further MDA exposure in accordance with subsection (n)(9). Repeat liver function tests shall be conducted on advice of the physician.
(4) Emergency examinations. If the employer determines that the employee has been exposed to a potentially hazardous amount of MDA in an emergency situation under subsection (e), the employer shall provide medical examinations in accordance with subsection (n)(3)(A) and (B). If the results of liver function testing indicate an abnormality, the employee shall be removed in accordance with subsection (n)(9). Repeat liver function tests shall be conducted on the advice of the physician. If the results of the tests are normal, tests must be repeated two to three weeks from the initial testing. If the results of the second set of tests are normal and on the advice of the physician, no additional testing is required.
(5) Additional examinations. Where the employee develops signs and symptoms associated with exposure to MDA, the employer shall provide the employee with an additional medical examination including liver function tests. Repeat liver function tests shall be conducted on the advice of the physician. If the results of the tests are normal, tests must be repeated two to three weeks from the initial testing. If the results of the second set of tests are normal and on the advice of the physician, no additional testing is required.
(6) Multiple physician review mechanism.
(A) If the employer selects the initial physician who conducts any medical examination or consultation provided to an employee under this section, and the employee has signs or symptoms of occupational exposure to MDA (which could include an abnormal liver function test), and the employee disagrees with the opinion of the examining physician, and this opinion could affect the employee's job status the employee may designate an appropriate and mutually acceptable second physician:
1. To review any findings determinations or recommendations of the initial physician; and
2. To conduct such examinations, consultations, and laboratory tests as the second physician deems necessary to facilitate this review.
(B) The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician conducts a medical examination or consultation pursuant to this section. The employer may condition its participation in, and payment for, the multiple physician review mechanism upon the employee doing the following within fifteen (15) days after receipt of the foregoing notification, or receipt of the initial physician's written opinion, whichever is later:
1. The employee informing the employer that he or she intends to seek a second medical opinion, and
2. The employee initiating steps to make an appointment with a second physician.
(C) If the findings, determinations, or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
(D) If the two physicians have been unable to quickly resolve their disagreement, then the employer and the employee through their respective physicians shall designate a third physician:
1. To review any findings, determinations, or recommendations of the prior physicians; and
2. To conduct such examinations, consultations, laboratory tests and discussions with the prior physicians as the third physician deems necessary to resolve the disagreement of the prior physicians.
(E) The employer shall act consistent with the findings, determinations, and recommendations of the second physician, unless the employer and the employee reach a mutually acceptable agreement.
(7) Information provided to the examining physician.
(A) The employer shall provide the following information to the examining physician:
1. A copy of this regulation and its appendices;
2. A description of the affected employee's duties as they relate to the employee's potential exposure to MDA;
3. The employee's current actual or representative MDA exposure level;
4. A description of any personal protective equipment used or to be used; and
5. Information from previous employment related medical examinations of the affected employee.
(B) The employer shall provide the foregoing information to a second physician under this section upon request either by the second physician, or by the employee.
(8) Physician's written opinion.
(A) For each examination under this section, the employer shall obtain, and provide the employee with a copy of, the examining physician's written opinion within 15 days of its receipt. The written opinion shall include the following:
1. The occupationally pertinent results of the medical examination and tests;
2. The physician's opinion concerning whether the employee has any detected medical conditions which would place the employee at increased risk of material impairment of health from exposure to MDA;
3. The physician's recommended limitations upon the employee's exposure to MDA or upon the employee's use of protective clothing or equipment and respirators; and
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions resulting from MDA exposure which require further explanation or treatment.
(B) The written opinion obtained by the employer shall not reveal specific findings or diagnoses unrelated to occupational exposures.
(9) Medical removal.
(A) Temporary medical removal of an employee.
1. Temporary removal resulting from occupational exposure. The employee shall be removed from work environments in which exposure to MDA is at or above the action level or where dermal exposure to MDA may occur, following an initial examination (subsection (n)(2)) periodic examinations (subsection (n)(3)), an emergency situation (subsection (n)(4), or an additional examination (subsection (n)(5)) in the following circumstances:
a. When the employee exhibits signs and/or symptoms indicative of acute exposure to MDA; or
b. When the examining physician determines that an employee's abnormal liver function tests are not associated with MDA exposure but that the abnormalities may be exacerbated as a result of occupational exposure to MDA.
2. Temporary removal due to a final medical determination.
a. The employer shall remove an employee from work having an exposure to MDA at or above the action level or where the potential for dermal exposure exists on each occasion that a final medical determination results in a medical finding, determination, or opinion that the employee has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to MDA.
b. For the purposes of this section, the phrase “final medical determination” shall mean the outcome of the physician review mechanism used pursuant to the medical surveillance provisions of this section.
c. Where a final medical determination results in any recommended special protective measures for an employee, or limitations on an employee's exposure to MDA, the employer shall implement and act consistent with the recommendation.
(B) Return of the employee to former job status.
1. The employer shall return an employee to his or her former job status:
a. When the employee no longer shows signs or symptoms of exposure to MDA, or upon the advice of the physician.
b. When a subsequent final medical determination results in a medical finding, determination, or opinion that the employee no longer has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to MDA.
2. For the purposes of this section, the requirement that an employer return an employee to his or her former job status is not intended to expand upon or restrict any rights an employee has or could have had, absent temporary medical removal, to a specific job classification or position under the terms of a collective bargaining agreement.
(C) Removal of other employee special protective measure or limitations. The employer shall remove any limitations placed on an employee or end any special protective measures provided to an employee pursuant to a final medical determination when a subsequent final medical determination indicates that the limitations or special protective measures are no longer necessary.
(D) Employer options pending a final medical determination. Where the physician review mechanism used pursuant to the medical surveillance provisions of this section, has not yet resulted in a final medical determination with respect to an employee, the employer shall act as follows:
1. Removal. The employer may remove the employee from exposure to MDA, provide special protective measures to the employee, or place limitations upon the employee, consistent with the medical findings, determinations, or recommendations of the physician who has reviewed the employee's health status.
2. Return. The employer may return the employee to his or her former job status, and end any special protective measures provided to the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status, with two exceptions:
a. If the initial removal, special protection, or limitation of the employee resulted from a final medical determination which differed from the findings, determinations, or recommendations of the initial physician; or
b. The employee has been on removal status for the preceding six months as a result of exposure to MDA, then the employer shall await a final medical determination.
(E) Medical removal protection benefits.
1. Provisions of medical removal protection benefits. The employer shall provide to an employee up to six (6) months of medical removal protection benefits on each occasion that an employee is removed from exposure to MDA or otherwise limited pursuant to this section.
2. Definition of medical removal protection benefits. For the purposes of this section, the requirement that an employer provide medical removal protection benefits means that the employer shall maintain the earnings, seniority, and other employment rights and benefits of an employee as though the employee had not been removed from normal exposure to MDA or otherwise limited.
3. Follow-up medical surveillance during the period of employee removal or limitations. During the period of time that an employee is removed from normal exposure to MDA or otherwise limited, the employer may condition the provision of medical removal protection benefits upon the employee's participation in follow-up medical surveillance made available pursuant to this section.
4. Workers' compensation claims. If a removed employee files a claim for workers' compensation payments for a MDA-related disability, then the employer shall continue to provide medical removal protection benefits pending disposition of the claim. To the extent that an award is made to the employee for earnings lost during the period of removal, the employer's medical removal protection obligation shall be reduced by  such amount. The employer shall receive no credit for workers' compensation payments received by the employee for treatment-related expenses.
5. Other credits. The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program, or receives income from employment with any employer made possible by virtue of the employee's removal.
6. Employees who do not recover within the 6 months of removal. The employer shall take the following measures with respect to any employee removed from exposure to MDA:
a. The employer shall make available to the employee a medical examination pursuant to this section to obtain a final medical determination with respect to the employee;
b. The employer shall assure that the final medical determination obtained indicates whether or not the employee may be returned to his or her former job status, and, if not, what steps should be taken to protect the employee's health;
c. Where the final medical determination has not yet been obtained, or once obtained indicates that the employee may not yet be returned to his or her former job status the employer shall continue to provide medical removal protection benefits to the employee until either the employee is returned to former job status, or a final medical determination is made that the employee is incapable of ever safely returning to his or her former job status; and
d. Where the employer acts pursuant to a final medical determination which permits the return of the employee to his or her former job status despite what would otherwise be an unacceptable liver function test, later questions concerning removing the employee again shall be decided by a final medical determination. The employer need not automatically remove such an employee pursuant to the MDA removal criteria provided by this section.
(F) Voluntary removal or restriction of an employee. Where an employer, although not required by this section to do so, removes an employee from exposure to MDA or otherwise places limitations on an employee due to the effects of MDA exposure on the employee's medical condition, the employer shall provide medical removal protection benefits to the employee equal to that required by subsection (n)(9)(E).
(o) Recordkeeping.
(1) Objective data for exempted operations.
(A) Where the employer has relied on objective data that demonstrate that products made from or containing MDA are not capable of releasing MDA or do not present a dermal exposure problem under the expected conditions of processing, use, or handling to exempt such operations from the initial monitoring requirements under subsection (f)(2), the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) The record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of MDA;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Historical monitoring data.
(A) Where the employer has relied on historical monitoring data that demonstrate that exposures on a particular job will be below the action level to exempt such operations from the initial monitoring requirements under subsection (f)(2), the employer shall establish and maintain an accurate record of historical monitoring data reasonably relied upon in support of the exception.
(B) The record shall include information that reflect the following conditions:
1. The data upon which judgments are based are scientifically sound and were collected using methods that are sufficiently accurate and precise;
2. The processes and work practices that were in use when the historical monitoring data were obtained are essentially the same as those to be used during the job for which initial monitoring will not be performed;
3. The characteristics of the MDA-containing material being handled when the historical monitoring data were obtained are the same as those on the job for which initial monitoring will not be performed;
4. Environmental conditions prevailing when the historical monitoring data were obtained are the same as those on the job for which initial monitoring will not be performed; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exception.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such historical monitoring data.
(3) The employer may utilize the services of competent organizations such as industry trade associations and employee associations to maintain the records required by this section.
(4) Exposure measurements.
(A) The employer shall keep an accurate record of all measurements taken to monitor employee exposure to MDA.
(B) This record shall include at least the following information:
1. The date of measurement;
2. The operation involving exposure to MDA;
3. Sampling and analytical methods used and evidence of their accuracy:
4. Number, duration, and results of samples taken;
5. Type of protective devices worn, if any; and
6. Name, social security number, and exposure of the employees whose exposures are represented.
(C) The employer shall maintain this record for at least thirty (30) years, in accordance with section 3204.
(5) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance by subsection (n), in accordance with section 3204.
(B) The record shall include at least the following information:
1. The name and social security number of the employee:
2. A copy of the employee's medical examination results, including the medical history, questionnaire responses, results of any tests, and physician's recommendations;
3. Physician's written opinions;
4. Any employee medical complaints related to exposure to MDA; and
5. A copy of the information provided to the physician as required by subsection (n).
(C) The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with section 3204.
(D) A copy of the employee's medical removal and return to work status.
(6) Training records. The employer shall maintain all employee training records for one (1) year beyond the last date of employment.
(7) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available to the Chief and NIOSH for examination and copying.
(B) The employer, upon request, shall make any exposure records required by subsections (f) and (n) available for examination and copying to affected employees, former employees, designated representatives, and the Chief, in accordance with section 3204, (a)-(e) and (g)-(i).
(C) The employer, upon request, shall make employee medical records required by subsections (n) and (o) available for examination and copying to the subject employee, anyone having the specific written consent of the subject employee, and the Chief, in accordance with section 3204.
(8) Transfer of records.
(A) The employer shall comply with the requirements concerning transfer of records set forth in section 3204(h).
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify NIOSH at least 90 days prior to disposal and, upon request, transmit them to NIOSH.
(p) Observation of monitoring.
(1) Employee observation. The employer shall provide affected employees, or their designated representatives, an opportunity to observe the measuring or monitoring of employee exposure to MDA conducted pursuant to subsection (f).
(2) Observation procedures. When observation of the measuring or monitoring of employee exposure to MDA requires entry into areas where the use of protective clothing and equipment or respirators is required, the employer shall provide the observer with personal protective clothing and equipment or respirators required to be worn by employees working in the area, assure the use of such clothing and equipment or respirators, and require the observer to comply with all other applicable safety and health procedures.
(q) Reporting requirements. See section 5203.
(r) Appendices. The information contained in Appendices A, B, C and D to this section is not intended by itself, to create any additional obligations not otherwise imposed by this standard nor detract from any existing obligation. The protocols for respiratory fit testing in Appendix E are mandatory.
(s) Dates. All obligations related to meeting the PEL for MDA in section 5155 remain in effect until replaced by the more specific requirements of this section on its effective date or on the following dates:
(1) Initial monitoring under subsection (f)(2) shall be completed as soon as possible but no later than 90 days from the effective date of this section.
(2) Medical examinations under subsection (n) shall be completed as soon as possible but no later than 150 days from the effective date of this section.
(3) Emergency plans required by subsection (e) shall be provided and available for inspection and copying as soon as possible but no later than 120 days from the effective date of this section.
(4) Initial training and education shall be completed as soon as possible but no later than 120 days from the effective date of this section.
(5) Decontamination and lunch areas under subsection (k) shall be in operation as soon as possible but no later than 1 year from the effective date of this section.
(6) Respiratory Protection required by subsection (i) shall be provided as soon as possible but no later than 120 days from the effective date of this section.
(7) Written compliance plans required by subsection (h)(5) shall be completed and available for inspection and copying as soon as possible but no later than 120 days from the effective date of this section.
(8) The permissible exposure limits in subsection (c) 120 days from the effective date of this section.
(9) Engineering controls needed to achieve the PELs must be in place 1 year from the effective date of this section.
(10) Personal protective clothing required by subsection (j) shall be available 120 days from the effective date of this section.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 3-3-93; operative 4-2-93 (Register 93, No. 11). For prior history, see Register 84, No. 50.
2. Editorial corrections (Register 95, No. 41).
3. Change without regulatory effect, repealing appendices A-E and adding  internal cross-references, filed 9-30-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 40).
4. Amendment of former subsections (i)(1)-(i)(5)(B) including subsection renumbering and relettering resulting in newly designated subsections (i)(1)-(i)(3)(B), and amendment of editorial reference following appendix E heading filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
5. Amendment of subsection (q) and repealer of subsections (q)(1)-(3) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
6. Amendment of subsection (i)(2) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
7. Amendment of subsection (f)(7)(A) filed 7-28-2005; operative 7-28-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 30).
8. Amendment of subsections (i)(3)(A)-(B) and new subsections (i)(3)(C)-(E) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A to Section 1535  Substance Data Sheet for 4-4'-Methylenedianiline
Refer to section 5200, Appendix A.

Appendix B to Section 1535--Substance Technical Guidelines for MDA
Refer to section 5200, Appendix B.

Appendix C to Section 1535--Medical Surveillance  Guidelines for MDA
Refer to section 5200, Appendix C.

Appendix D to Section 1535--Sampling and Analytical Methods for MDA Monitoring and Measurement Procedures
Refer to section 5200, Appendix D.

Appendix E to Section 1535--Qualitative and Quantitative Fit Testing Procedures
[See Section 5144, Appendix A]
§1536. Ventilation Requirements for Welding, Brazing, and Cutting.
Note     •     History

(a) Mechanical Ventilation for Indoor Operations. Local exhaust systems providing a minimum air velocity of 100 lineal feet per minute in the welding zone shall be used except as otherwise specified by this section.
(1) Where local exhaust ventilation is not feasible, mechanical dilution ventilation sufficient to prevent exposure to concentrations of airborne contaminants from exceeding those specified in Section 5155 shall be provided.
(2) Respiratory protective equipment, in accordance with Section 1531, shall be used when the methods described in paragraphs (a) and (a)(1) above are not feasible.
(b) Toxic Substances Used in Any Enclosed Space.
(1) Local exhaust ventilation shall be used when potentially hazardous materials are employed as base metals, fluxes, coatings, platings or filler metals. These include, but are not limited to, the following materials:

(A) Beryllium	(E) Lead

(B) Cadmium 	(F) Mercury

(C) Chromium	(G) Zinc

(D) Fluorides	(H) Inert-gas metal-arc
	welding or oxygen cutting of
	stainless steel
(2) When the nature of the work is such that local exhaust ventilation is not an effective means for preventing potentially hazardous exposure levels, as specified by Section 5155, supplied-air respirators shall be worn.
(c) Toxic Substances Used in the Open Air. Where toxic substances such as those listed in paragraph (b)(1) are used, respiratory protective equipment, in accordance with Section 1531, shall be provided except as otherwise specified by this subsection.
(1) In operations involving beryllium-containing base or filler metals, only supplied-air respirators shall be used.
(2) Except for operations involving beryllium, cadmium, lead, or mercury, respiratory protective equipment is not required when natural or mechanical ventilation is sufficient to remove welding fumes from the breathing zone of the workers.
(d) Improper Use of Welding Gases. Compressed gases used for welding and cutting shall not be used for ventilation purposes, comfort cooling, blowing dust from clothing, or cleaning the work area.
(e) Chlorinated Hydrocarbons. Degreasing or other operations involving chlorinated hydrocarbons shall be located or controlled such that vapors from these operations will not enter the atmosphere surrounding any welding or cutting operations to prevent the degradation of such chlorinated hydrocarbon vapors to more highly toxic gases by the action of heat or ultraviolet radiation.
(f) Precautionary Labels. Hazardous materials used in welding and cutting shall bear precautionary labels as required by Section 5150 of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-18-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
§1537. Welding, Cutting, and Heating of Coated Metals.
Note     •     History

(a) Before welding, cutting, or heating is commenced on any surface covered by a preservative coating of unknown flammability, a test shall be made by a qualified person to determine its flammability.
(b) Precautions shall be taken to prevent ignition of highly flammable hardened preservative coatings. When coatings are determined to be highly flammable, they shall be stripped from the area to be heated to prevent ignition.
(c) All surfaces covered with toxic preservatives, including coatings which generate toxic substances upon heating, shall be stripped for a distance of at least four inches from the area of heat application, or employees shall be required to use supplied-air respirators in accordance with Section 1531, or the provisions of Section 1536(b), (c) shall apply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-18-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment of NOTE filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
Article 5. Rock Drilling
§1538. Rock Drilling Operations.
Note     •     History

(a) When drilling holes in rock, or other dust-producing material, the dust shall be controlled within the maximum acceptable concentrations set forth in Section 5208 (asbestos) and Section 5155 (silica and silicates) of the General Industry Safety Orders. Respiratory protection may be acceptable; refer to Article 4, Sections 1530 and 1531.
(b) All power controlled air drilling shall be performed by use of water or chemical solutions for controlling dust, or other equivalent means.
(c) The ends and each joint of air hoses 1 inch inside diameter or larger shall be chained or secured, as necessary, to prevent whipping in the event of a disconnected hose unless a suitable ball check device or equivalent is provided at the air source.
(d) Air pipe lines shall be protected against accidental impact from vehicles and falling objects at points where breakage of lines would constitute a hazard to employees.
(e) Iron or steel hammers used for removing detachable bits shall be malleable or annealed, so that they will not readily chip or break while being used.
(f) Tugger and anchor lines shall be provided for securing drilling equipment on steep slopes.
(g) Workers shall be provided with, and required to use, personal fall protection as described in Article 24 for all scaling and drilling operations performed on steep slopes. A positive descent control device shall be used for all such applications.
Note: See Section 1565(i) for regulation on drilling and loading in the same area. See Section 1696 for requirement for portable compressors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment of subsections (c) and (g) filed 8-13-84; effective thirtieth day thereafter (Register 84, No. 33).
3. Amendment of subsection (g) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
Article 6. Excavations
§1539. Permits.
Note     •     History

For regulations relating to Permits for excavations and trenches, refer to the California Code of Regulations Title 8, Chapter 3.2, Article 2, Section 341 of the California Occupational Safety and Health Regulations (Cal/OSHA).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-21-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Repealer and new section filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
3. Certificate of Compliance filed 11-22-74 (Register 74, No. 48).
4. Certificate of Compliance refiled 11-27-74 (Register 74, No. 48).
5. Repealer and new section filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
6. Amendment of article heading and section filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1540. Excavations.
Note     •     History

(a) Scope and application. This article applies to all open excavations made in the earth's surface. Excavations are defined to include trenches.
(b) Definitions applicable to this article.
Accepted engineering practices means those requirements which are compatible with standards of practice required by a registered professional engineer.
Aluminum hydraulic shoring. A pre-engineered shoring system comprised of aluminum hydraulic cylinders (crossbraces) used in conjunction with vertical rails (uprights) or horizontal rails (walers). Such system is designed specifically to support the sidewalls of an excavation and prevent cave-ins.
Bell-bottom pier hole. A type of shaft or footing excavation, the bottom of which is made larger than the cross section above to form a belled shape.
Benching (Benching system). A method of protecting employees from cave-ins by excavating the sides of an excavation to form one or a series of horizontal levels or steps, usually with vertical or near-vertical surfaces between levels.
Cave-in. The separation of a mass of soil or rock material from the side of an excavation, or the loss of soil from under a trench shield or support system, and its sudden movement into the excavation, either by falling or sliding, in sufficient quantity so that it could entrap, bury, or otherwise injure and immobilize a peron.
Crossbraces. The horizontal members of a shoring system installed perpendicular to the sides of the excavation, the ends of which bear against either uprights or wales.
Excavation. Any man-made cut, cavity, trench, or depression in an earth surface, formed by earth removal.
Faces or sides. The vertical or inclined earth surfaces formed as a result of excavation work.
Failure. The breakage, displacement, or permanent deformation of a structural member or connection so as to reduce its structural integrity and its supportive capabilities.
Hazardous atmosphere. An atmosphere which by reason of being explosive, flammable, poisonous, corrosive, oxidizing, irritating, oxygen deficient, toxic, or otherwise harmful, may cause death, illness, or injury.
Kickout. The accidental release or failure of a cross brace.
Protective system. A method of protecting employees from cave-ins, from material that could fall or roll from an excavation face or into an excavation, or from the collapse of adjacent structures. Protective systems include support systems, sloping and benching systems, shield systems, and other systems that provide the necessary protection.
Ramp. An inclined walking or working surface that is used to gain access to one point from another, and is constructed from earth or from structural materials such as steel or wood.
Registered professional engineer. A person who is registered as a professional engineer in the state where the work is to be performed. However, a professional engineer, registered in any state is deemed to be a “registered professional engineer” within the meaning of this standard when approving designs for “manufactured protective systems” or “tabulated data” to be used in interstate commerce.
Sheeting. The members of a shoring system that retain the earth in position and in turn are supported by other members of the shoring system.
Shield (Shield system). A structure that is able to withstand the forces imposed on it by a cave-in and thereby protect employees within the structure. Shields can be permanent structures or can be designed to be portable and moved along as work progresses. Additionally, shields can be either premanufactured or job-built in accordance with Section 1541.1(c)(3) or (c)(4). Shields used in trenches are usually referred to as “trench boxes” or “trench shields.”
Shoring (Shoring system). A structure such as a metal hydraulic, mechanical or timber shoring system that supports the sides of an excavation and which is designed to prevent cave-ins.
Sides. See “Faces.”
Sloping (Sloping system). A method of protecting employees from cave-ins by excavating to form sides of an excavation that are inclined away form the excavation so as to prevent cave-ins. The angle of incline required to prevent a cave-in varies with differences in such factors as the soil type, environmental conditions of exposure, and application of surcharge loads.
Stable rock. Natural solid mineral material that can be excavated with vertical sides and will remain intact while exposed. Unstable rock is considered to be stable when the rock material on the side or sides of the excavation is secured against caving-in or movement by rock bolts or by another protective system that has been designed by a registered professional engineer.
Structural ramp. A ramp built of steel or wood, usually used for vehicle access. Ramps made of soil or rock are not considered structural ramps.
Support system. A structure such as underpinning, bracing, or shoring, which provides support to an adjacent structure, underground installation, or the sides of an excavation.
Tabulated data. Tables and charts approved by a registered professional engineer and used to design and construct a protective system.
Trench (Trench excavation). A narrow excavation (in relation to its length) made below the surface of the ground. In general, the depth is greater than the width, but the width of a trench (measured at the bottom) is not greater than 15 feet. If forms or other structures are installed or constructed in an excavation so as to reduce the dimension measured from the forms or structure to the side of the excavation to 15 feet or less, (measured at the bottom of the excavation), the excavation is also considered to be a trench.
Trench box. See “Shield.”
Trench shield. See “Shield.”
Uprights. The vertical members of a trench shoring system placed in contact with the earth and usually positioned so that individual members do not contact each other. Uprights placed so that individual members are closely spaced, in contact with or interconnected to each other, are often called “sheeting.”
Wales. Horizontal members of a shoring system placed parallel to the excavation face whose sides bear against the vertical members of the shoring system or earth.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35). For prior history, see Register 75, No. 21.
2. Amendment of subsection (b)(3) filed 11-18-83; effective thirtieth day thereafter (Register 83, No. 47).
3. Amendment of subsections (b)(2) and (b)(3) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
4. Repealer and new section filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1541. General Requirements.
Note     •     History

(a) Surface encumbrances. All surface encumbrances that are located so as to create a hazard to employees shall be removed or supported, as necessary, to safeguard employees.
(b) Subsurface installations.
(1) The approximate location of subsurface installations, such as sewer, telephone, fuel, electric, water lines, or any other subsurface installations that reasonably may be expected to be encountered during excavation work, shall be determined by the excavator prior to opening an excavation.
(A) Excavation shall not commence until:
1. The excavation area has been marked as specified in Government Code Section 4216.2 by the excavator; and
2. The excavator has received a positive response from all known owner/operators of subsurface installations within the boundaries of the proposed project; those responses confirm that the owner/operators have located their installations, and those responses either advise the excavator of those locations or advise the excavator that the owner/operator does not operate a subsurface installation that would be affected by the proposed excavation.
(B) When the excavation is proposed within 10 feet of a high priority subsurface installation, the excavator shall be notified by the facility owner/operator of the existence of the high priority subsurface installation before the legal excavation start date and time in accordance with Government Code Section 4216.2(a), and an onsite meeting involving the excavator and the subsurface installation owner/operator's representative shall be scheduled by the excavator and the owner/operator at a mutually agreed on time to determine the action or activities required to verify the location of such installations. High priority subsurface installations are high pressure natural gas pipelines with normal operating pressures greater than 415 kPA gauge (60 p.s.i.g.), petroleum pipelines, pressurized sewage pipelines, conductors or cables that have a potential to ground of 60,000 volts or more, or hazardous materials pipelines that are potentially hazardous to employees, or the public, if damaged.
(C) Only qualified persons shall perform subsurface installation locating activities, and all such activities shall be performed in accordance with this section and Government Code Sections 4216 through 4216.9. Persons who complete a training program in accordance with the requirements of Section 1509, Injury and Illness Prevention Program (IIPP), that meets the minimum training guidelines and practices of the Common Ground Alliance (CGA) Best Practices, Version 3.0, published March 2006, or the standards of the National Utility Locating Contractors Association (NULCA), Standard 101: Professional Competence Standards for Locating Technicians, 2001, First Edition, which are incorporated by reference, shall be deemed qualified for the purpose of this section.
(D) Employees who are involved in the excavation operation and exposed to excavation operation hazards shall be trained in the excavator notification and excavation practices required by this section and Government Code Sections 4216 through 4216.9.
(2) All Regional Notification Centers as defined by Government Code Section 4216(j) in the area involved and all known owners of subsurface facilities in the area who are not members of a Notification Center shall be advised of the proposed work at least 2 working days prior to the start of any digging or excavation work. EXCEPTION: Repair work to subsurface facilities done in response to an emergency as defined in Government Code Section 4216(d).
(3) When excavation or boring operations approach the approximate location of subsurface installations, the exact location of the installations shall be determined by safe and acceptable means that will prevent damage to the subsurface installation, as provided by Government Code Section 4216.4.
(4) While the excavation is open, subsurface installations shall be protected, supported, or removed as necessary to safeguard employees.
(5) An excavator discovering or causing damages to a subsurface installation shall immediately notify the facility owner/operator or contact the Regional Notification Center to obtain subsurface installation operator contact information immediately after which the excavator shall notify the facility operator. All breaks, leaks, nicks, dents, gouges, grooves, or other damages to an installation's lines, conduits, coatings or cathodic protection shall be reported to the subsurface installation operator. If damage to a high priority subsurface installation results in the escape of any flammable, toxic, or corrosive gas or liquid or endangers life, health or property, the excavator responsible shall immediately notify 911, or if 911 is unavailable, the appropriate emergency response personnel having jurisdiction. The facility owner/operator shall also be contacted.

Note: The terms excavator and operator as used in Section 1541(b) shall be as defined in Government Code Section 4216(c) and (h) respectively. The term “owner/operator” means an operator as the term “operator” is defined in Government Code Section 4216(h).
(c) Access and egress.
(1) Structural ramps.
(A) Structural ramps that are used solely by employees as a means of access or egress from excavations shall be designed by a competent person. Structural ramps used for access or egress of equipment shall be designed by a competent person qualified in structural design, and shall be constructed in accordance with the design.
(B) Ramps and runways constructed of two or more structural members shall have the structural members connected together to prevent displacement.
(C) Structural members used for ramps and runways shall be of uniform thickness.
(D) Cleats or other appropriate means used to connect runway structural members shall be attached to the bottom of the runway or shall be attached in a manner to prevent tripping.
(E) Structural ramps used in lieu of steps shall be provided with cleats or other surface treatments to the top surface to prevent slipping.
(2) Means of egress from trench excavations.
A stairway, ladder, ramp or other safe means of egress shall be located in trench excavations that are 4 feet or more in depth so as to require no more than 25 feet of lateral travel for employees.
(d) Exposure to vehicular traffic. Employees exposed to public vehicular traffic shall be provided with, and shall wear, warning vests or other suitable garments marked with or made of reflectorized or high-visibility material.
(e) Exposure to falling loads. No employee shall be permitted underneath loads handled by lifting or digging equipment. Employees shall be required to stand away from any vehicle being loaded or unloaded to avoid being struck by any spillage or falling materials. Operators may remain in the cabs of vehicles being loaded or unloaded when the vehicles are equipped, in accordance with Section 1591(e), to provide adequate protection for the operator during loading and unloading operations.
(f) Warning system for mobile equipment. When mobile equipment is operated adjacent to an excavation, or when such equipment is required to approach the edge of an excavation, and the operator does not have a clear and direct view of the edge of the excavation, a warning system shall be utilized such as barricades, hand or mechanical signals, or stop logs. If possible, the grade should be away from the excavation.
(g) Hazardous atmospheres.
(1) Testing and controls. In addition to the requirements set forth in the Construction Safety Orders and the General Industry Safety Orders to prevent exposure to harmful levels of atmospheric contaminants and to assure acceptable atmospheric conditions, the following requirements shall apply:
(A) Where oxygen deficiency (atmospheres containing less than 19.5 percent oxygen) or a hazardous atmosphere exists or could reasonably be expected to exist, such as in excavations in landfill areas or excavations in areas where hazardous substances are stored nearby, the atmospheres in the excavation shall be tested before employees enter excavations greater than 4 feet in depth.
(B) Adequate precautions shall be taken to prevent employee exposure to atmospheres containing less than 19.5 percent oxygen and other hazardous atmospheres. These precautions include providing proper respiratory protection or ventilation.
(C) Adequate precaution shall be taken such as providing ventilation, to prevent employee exposure to an atmosphere containing a concentration of a flammable gas in excess of 20 percent of the lower flammable limit of the gas.
(D) When controls are used that are intended to reduce the level of atmospheric contaminants to acceptable levels, testing shall be conducted as often as necessary to ensure that the atmosphere remains safe.
(2) Emergency rescue equipment.
(A) Emergency rescue equipment, such as breathing apparatus, a safety harness and line, or a basket stretcher, shall be readily available where hazardous atmospheric conditions exist or may reasonably be expected to develop during work in an excavation. This equipment shall be attended when in use.
(B) Employees entering bell-bottom pier holes, or other similar deep and confined footing excavations, shall wear a harness with a lifeline securely attached to it. The lifeline shall be separate from any line used to handle materials, and shall be individually attended at all times while the employee wearing the lifeline is in the excavation.
(3) Whenever internal combustion engine-driven equipment is operated inside a shaft subject to Section 1542 of these Orders, a ventilation system shall be provided and operated in accordance with Sections 1530 and 1533(b) of these Orders. 

Note: For shafts greater than 20 feet in depth and excavations unrelated to the Construction Safety Orders, refer to Title 8, Division 1, Chapter 4, Subchapter 20, the Tunnel Safety Orders. 
(h) Protection from hazards associated with water accumulation.
(1) Employees shall not work in excavations in which there is accumulated water, or in excavations in which water is accumulating, unless adequate precautions have been taken to protect employees against the hazards posed by water accumulation. The precautions necessary to protect employees adequately vary with each situation, but could include special support or shield systems to protect from cave-ins, water removal to control the level of accumulating water, or use of a safety harness and lifeline.
(2) If water is controlled or prevented from accumulating by the use of water removal equipment, the water removal equipment and operations shall be monitored by a competent person to ensure proper operation.
(3) If excavation work interrupts the natural drainage of surface water (such as streams), diversion ditches, dikes, or other suitable means shall be used to prevent surface water from entering the excavation and to provide adequate drainage of the area adjacent to the excavation. Excavations subject to runoff from heavy rains will require an inspection by a competent person and compliance with Sections 1541 (h)(1) and (h)(2).
(i) Stability of adjacent structures.
(1) Where the stability of adjoining buildings, walls, or other structures is endangered by excavation operations, support systems such as shoring, bracing, or underpinning shall be provided to ensure the stability of such structures for the protection of employees.
(2) Excavation below the level of the base or footing of any foundation or retaining wall that could be reasonably expected to pose a hazard to employees shall not be permitted except when:
(A) A support system, such as underpinning, is provided to ensure the safety of employees and the stability of the structure; or
(B) The excavation is in stable rock; or
(C) A registered professional engineer has approved the determination that such excavation work will not pose a hazard to employees.
(3) Sidewalks, pavements and appurtenant structure shall not be undermined unless a support system or another method of protection is provided to protect employees from the possible collapse of such structures.
(j) Protection of employees from loose rock or soil.
(1) Adequate protection shall be provided to protect employees from loose rock or soil that could pose a hazard by falling or rolling from an excavation face. Such protection shall consist of scaling to remove loose material; installation of protective barricades at intervals as necessary on the face to stop and contain falling material; or other means that provide equivalent protection.
(2) Employees shall be protected from excavated or other materials or equipment that could pose a hazard by falling or rolling into excavations. Protection shall be provided by placing and keeping such materials or equipment at least 2 feet from the edge of excavations, or by the use of retaining devices that are sufficient to prevent materials or equipment from falling or rolling into excavations, or by a combination of both if necessary.
(k) Inspection.
(1) Daily inspections of excavations, the adjacent areas, and protective systems shall be made by a competent person for evidence of a situation that could result in possible cave-ins, indications of failure of protective systems, hazardous atmospheres, or other hazardous conditions. An inspection shall be conducted by the competent person prior to the start of work and as needed throughout the shift. Inspections shall also be made after every rain storm or other hazard increasing occurrence. These inspections are only required when employee exposure can be reasonably anticipated.
(2) Where the competent person finds evidence of a situation that could result in a possible cave-in, indications of failure of protective systems, hazardous atmospheres, or other hazardous conditions, exposed employees shall be removed from the hazardous area until the necessary precautions have been taken to ensure their safety.
l Fall protection.
(1) Where employees or equipment are required or permitted to cross over excavations over 6-feet in depth and wider than 30 inches, walkways or bridges with standard guardrails shall be provided.
(2) Adequate barrier physical protection shall be provided at all remotely located excavations. All wells, pits, shafts, etc., shall be barricaded or covered. Upon completion of exploration and other similar operations, temporary wells, pits, shafts, etc., shall be backfilled.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 4216, Government Code.
HISTORY

1. Repealer and new section filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35). For prior history, see Registers 75, No. 21; 74, No. 35; and 74, No. 17.
2. Repealer and new section filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
3. Change without regulatory effect amending subsection (h)(3) filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
4. Amendment of subsections (c)(2) and (l)(1) filed 1-24-94; operative 2-23-94 (Register 94, No. 4).
5. Change without regulatory effect amending subsection (b)(2) filed  2-10-94  pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 6).
6. Editorial correction restoring amendment to subsection (l)(7) (Register 94, No. 16).
7. Change without regulatory effect amending subsection (l)(1) filed 11-3-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 45).
8. Amendment of subsections (b)-(b)(1) and (b)(2)-(4) and new subsections (b)(1)(A)-(D) and (b)(5) filed 3-1-2007; operative 3-31-2007 (Register 2007, No. 9).
9. New subsection (g)(3) filed 5-1-2012; operative 5-31-2012 (Register 2012, No. 18).
§1541.1. Requirements for Protective Systems.
Note     •     History

(a) Protection of employees in excavations.
(1) Each employee in an excavation shall be protected from cave-ins by an adequate protective system designed in accordance with Section 1541.1(b) or (c) except when:
(A) Excavations are made entirely in stable rock; or
(B) Excavations are less than 5 feet in depth and examination of the ground by a competent person provides no indication of a potential cave-in.
(2) Protective systems shall have the capacity to resist without failure all loads that are intended or could reasonably be expected to be applied or transmitted to the system.
(b) Design of sloping and benching systems. The slopes and configurations of sloping and benching systems shall be selected and constructed by the employer or his designee and shall be in accordance with the requirements of Section 1541.1(b)(1), Section 1541.1(b)(2), Section 1541.1(b)(3), or Section 1541.1(b)(4), as follows:
(1) Option (1) --Allowable configurations and slopes.
(A) Excavations shall be sloped at an angle not steeper than one and one-half horizontal to one vertical (34 degrees measured from the horizontal), unless the employer uses one of the other options listed below.
(B) Slopes specified in Section 1541.1(b)(1)(A) shall be excavated to form configurations that are in accordance with the slopes shown for Type C soil in Appendix B to this article.
(2) Option (2) --Determination of slopes and configurations using Appendices A and B. Maximum allowable slopes, and allowable configurations for sloping and benching systems, shall be determined in accordance with the conditions and requirements set forth in Appendices A and B to this article.
(3) Option (3) --Designs using other tabulated data.
(A) Designs of sloping or benching systems shall be selected from and be in accordance with tabulated data, such as tables and charts.
(B) The tabulated data shall be in written form and shall include all of the following:
1. Identification of the parameters that affect the selection of a sloping or benching system drawn from such data;
2. Identification of the limits of use of the data, to include the magnitude and configuration of slopes determined to be safe;
3. Explanatory information as may be necessary to aid the user in making a correct selection of a protective system from the data.
4. At least one copy of the tabulated data which identifies the registered professional engineer who approved the data, shall be maintained at the jobsite during construction of the protective system. After that time the data may be stored off the jobsite, but a copy of the data shall be made available to the Division upon request.
(4) Option (4) --Design by a registered professional engineer.
(A) Sloping and benching systems not utilizing Option (1) or Option (2) or Option (3) under Section 1541.1(b) shall be stamped and signed by a registered professional engineer.
(B) Designs shall be in written form and shall include at least the following:
1. The magnitude of the slopes that were determined to be safe for the particular project;
2. The configurations that were determined to be safe for the particular project;
3. The identity of the registered professional engineer approving the design.
(C) At least one copy of the design shall be maintained at the jobsite while the slope is being constructed. After that time the design need not be at the jobsite, but a copy shall be made available to the Division upon request.
(c) Design of support systems, shield systems, and other protective systems. Designs of support systems, shield systems, and other protective systems shall be selected and constructed by the employer or his designee and shall be in accordance with the requirements of Section 1541.1(c)(1); or, in the alternative, Section 1541.1(c)(2); or, in the alternative, Section 1541.1(c)(3); or, in the alternative, Section 1541.1(c)(4) as follows:
(1) Option (1) --Designs using Appendices A, C and D. Designs for timber shoring in trenches shall be determined in accordance with the conditions and requirements set forth in Appendices A and C to this article. Designs for aluminum hydraulic shoring shall be in accordance with Section 1541.1(c)(2), but if manufacturer's tabulated data cannot be utilized, designs shall be in accordance with Appendix D.
(2) Option (2) --Designs Using Manufacturer's Tabulated Data.
(A) Design of support systems, shield systems, or other protective systems that are drawn from manufacturer's tabulated data shall be in accordance with all specifications, recommendations, and limitations issued or made by the manufacturer.
(B) Deviation from the specifications, recommendations, and limitations issued or made by the manufacturer shall only be allowed after the manufacturer issues specific written approval.
(C) Manufacturer's specifications, recommendations, and limitations, and manufacturer's approval to deviate from the specifications, recommendations, and limitations shall be in written form at the jobsite during construction of the protective system. After that time this data may be stored off the jobsite, but a copy shall be made available to the Division upon request.
(3) Option (3) --Designs using other tabulated data.
(A) Designs of support systems, shield systems, or other protective systems shall be selected from and be in accordance with tabulated data, such as tables and charts.
(B) The tabulated data shall be in written form and include all of the following:
1. Identification of the parameters that affect the selection of a protective system drawn from such data;
2. Identification of the limits of use of the data;
3. Explanatory information as may be necessary to aid the user in making a correct selection of a protective system from the data.
(C) At least one copy of the tabulated data, which identifies the registered professional engineer who approved the data, shall be maintained at the jobsite during construction of the protective system. After that time the data may be stored off the jobsite, but a copy of the data shall be made available to the Division upon request.
(4) Option (4) --Design by a registered professional engineer.
(A) Support systems, shield systems, and other protective systems not utilizing Option 1, Option 2, or Option 3, above, shall be approved by a registered professional engineer.
(B) Designs shall be in written form and shall include the following:
1. A plan indicating the sizes, types, and configurations of the materials to be used in the protective system; and
2. The identity of the registered professional engineer approving the design.
(C) At least one copy of the design shall be maintained at the jobsite during construction of the protective system. After that time, the design may be stored off the jobsite, but a copy of the design shall be made available to the Division upon request.
(d) Materials and equipment.
(1) Materials and equipment used for protective systems shall be free from damage or defects that might impair their proper function.
(2) Manufactured materials and equipment used for protective systems shall be used and maintained in a manner that is consistent with the recommendations of the manufacturer, and in a manner that will prevent employee exposure to hazards.
(3) When material or equipment that is used for protective systems is damaged, a competent person shall examine the material or equipment and evaluate its suitability for continued use. If the competent person cannot assure the material or equipment is able to support the intended loads or is otherwise suitable for safe use, then such material or equipment shall be removed from service, and shall be evaluated and approved by a registered professional engineer before being returned to service.
(e) Installation and removal of supports.
(1) General.
(A) Members of support systems shall be securely connected together to prevent sliding, falling, kickouts, or other predictable failure.
(B) Support systems shall be installed and removed in a manner that protects employees from cave-ins, structural collapses, or from being struck by members of the support system.
(C) Individual members of support systems shall not be subjected to loads exceeding those which those members were designed to withstand.
(D) Before temporary removal of individual members begins, additional precautions shall be taken to ensure the safety of employees, such as installing other structural members to carry the loads imposed on the support system.
(E) Removal shall begin at, and progress from, the bottom of the excavation. Members shall be released slowly so as to note any indication of possible failure of the remaining members of the structure or possible cave-in of the sides of the excavation.
(F) Backfilling shall progress together with the removal of support systems from excavations.
(2) Additional requirements for support systems for trench excavations.
(A) Excavation of material to a level no greater than 2 feet below the bottom of the members of a support system shall be permitted, but only if the system is designed to resist the forces calculated for the full depth of the trench, and there are no indications while the trench is open of a possible loss of soil from behind or below the bottom of the support system.
(B) Installation of a support system shall be closely coordinated with the excavation of trenches.
(f) Sloping and benching systems. Employees shall not be permitted to work on the faces of sloped or benched excavations at levels above other employees except when employees at the lower levels are adequately protected from the hazard of falling, rolling, or sliding material or equipment.
(g) Shield systems.
(1) General.
(A) Shield systems shall not be subjected to loads exceeding those which the system was designed to withstand.
(B) Shields shall be installed in a manner to restrict lateral or other hazardous movement of the shield in the event of the application of sudden lateral loads.
(C) Employees shall be protected from the hazard of cave-ins when entering or exiting the areas protected by shields.
(D) Employees shall not be allowed in shields when shields are being installed, removed, or moved vertically.
(2) Additional requirements for shield systems used in trench excavations. The sides of the shield shall extend a minimum of 18 inches above the vertical walls of compound excavations as shown in Appendix B, figures B-1, B-1.2 and B-1.3. On vertically cut trenches, the shield shall extend to at least the catch point of the trench. Excavations of earth material to a level not greater than 2 feet below the bottom of a shield shall be permitted, but only if the shield is designed to resist the forces calculated for the full depth of the trench, and there are no indications while the trench is open of a possible loss of soil from behind or below the bottom of the shield.
(h) Uprights shall extend to the top of the trench with the lower end of the upright not more than 2 feet from the bottom of the trench.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section including Appendices A-F filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
2. Change without regulatory effect amending Appendix B, subsection (c)(3)(C) filed 6-29-92; operative 7-29-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 27).
3. Change without regulatory effect amending Appendix A, subsection (b), Soil classification system  filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
4. Change without regulatory effect amending subsection (b)(1)(B) filed 12-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 51).
5. Editorial correction restoring subsection (g)(1)(A) (Register 97, No. 6).
6. Amendment of subsections (b) and (b)(4)(A), new subsection (g)(1)(A), and amendment of subsection (g)(2) filed 3-5-97; operative 4-4-97 (Register 97, No. 10).
7. New subsection (h) and amendment of Appendix D, subsection (g)(7) filed 4-9-2001; operative 5-9-2001 (Register 2001, No. 15).
8. Change without regulatory effect clarifying graphics in Appendices B and E filed 7-14-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 29).
9. Editorial correction of Appendix A, subsection (d)(1)(B) (Register 2010, No. 34).
10. Editorial correction of Appendix A, subsection (d)(2)(E)2. (Register 2010, No. 50).
11. Change without regulatory effect amending Appendix A, subsection (d)(2)(B) filed 12-12-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 50).

Appendix A

Soil Classification
(a) Scope and application.
(1) Scope. This appendix describes a method of classifying soil and rock deposits based on site and environmental conditions, and on the structure and composition of the earth deposits. The appendix contains definitions, sets forth requirements, and describes acceptable visual and manual tests for use in classifying soils.
(2) Application. This appendix applies when a sloping or benching system is designed in accordance with the requirements set forth in Section 1541.1(b)(2) as a method of protection for employees from cave-ins. This appendix also applies when timber shoring for excavations is designed as a method of protection from cave-ins in accordance with Appendix C to this article, and when aluminum hydraulic shoring is designed in accordance with Appendix D. This appendix also applies if other protective systems are designed and selected for use from data prepared in accordance with the requirements set forth in Section 1541.1(c), and the use of the data is predicated on the use of the soil classification system set forth in this appendix.
(b) Definitions.
Cemented soil. A soil in which the particles are held together by a chemical agent, such a calcium carbonate, such that a hand-size sample cannot be crushed into powder or individual soil particles by finger pressure.
Cohesive soil. Clay (fine grained soil), or soil with a high clay content, which has cohesive strength. Cohesive soil does not crumble, can be excavated with vertical side slopes, and is plastic when moist. Cohesive soil is hard to break up when dry, and exhibits significant cohesion when submerged. Cohesive soils include clayey silt, sandy clay, silty clay, clay and organic clay.
Dry soil. Soil that does not exhibit visible signs of moisture content.
Fissured. A soil material that has a tendency to break along definite planes of fracture with little resistance, or a material that exhibits open cracks, such as tension cracks, in an exposed surface.
Granular soil. Gravel, sand, or silt (coarse grained soil) with little or no clay content. Granular soil has no cohesive strength. Some moist granular soils exhibit apparent cohesion. Granular soil cannot be molded when moist and crumbles easily when dry.
Layered system. Two or more distinctly different soil or rock types arranged in layers. Micaceous seams or weakened planes in rock or shale are considered layered.
Moist soil. A condition in which a soil looks and feels damp. Moist cohesive soil can easily be shaped into a ball and rolled into small diameter threads before crumbling. Moist granular soil that contains some cohesive material will exhibit signs of cohesion between particles.
Plastic. A property of a soil which allows the soil to be deformed or molded without cracking, or appreciable volume change.
Saturated soil. A soil in which the voids are filled with water. Saturation does not require flow. Saturation, or near saturation, is necessary for the proper use of instruments such as a pocket penetrometer or sheer vane.
Soil classification system. A method of categorizing soil and rock deposits in a hierarchy of Stable Rock, Type A, Type B, and Type C, in decreasing order of stability. The categories are determined based on an analysis of the properties and performance characteristics of the deposits  and the environmental conditions of exposure.
Stable rock. Natural solid mineral matter that can be excavated with vertical sides and remain intact while exposed.
Submerged soil. Soil which is underwater or is free seeping.
Type A soil. Cohesive soils with an unconfined, compressive strength of 1.5 ton per square foot (tsf) or greater. Examples of cohesive soils are: clay, silty clay, sandy clay, clay loam and, in some cases, silty clay loam and sandy clay loam. Cemented soils such as caliche and hardpan are also considered Type A. However, no soil is Type A if:
(1) The soil is fissured; or
(2) The soil is subject to vibration from heavy traffic, pile driving, or similar effects; or
(3) The soil has been previously disturbed; or
(4) The soil is part of a sloped, layered system where the layers dip into the excavation on a slope of four horizontal to one vertical (4H:1V) or greater; or
(5) The material is subject to other factors that would require it to be classified as a less stable material.
Type B soil:
(1) Cohesive soil with an unconfined compressive strength greater than 0.5 tsf but less than 1.5 tsf; or
(2) Granular cohesionless soils including: angular gravel (similar to crushed rock), silt, silt loam, sandy loam and, in some cases, silty clay loam and sandy clay loam.
(3) Previously disturbed soils except those which would otherwise be classed as Type C soil.
(4) Soil that meets the unconfined compressive strength or cementation requirements for Type A, but is fissured or subject to vibration; or
(5) Dry rock that is not stable; or
(6) Material that is part of a sloped, layered system where the layers dip into the excavation on a slope less steep than four horizontal to one vertical (4H:1V), but only if the material would otherwise be classified as Type B.
Type C soil:
(1) Cohesive soil with an unconfined compressive strength of 0.5 tsf or less; or
(2) Granular soils including gravel, sand, and loamy sand; or
(3) Submerged soil or soil from which water is freely seeping; or
(4) Submerged rock that is not stable, or
(5) Material in a sloped, layered system where the layers dip into the excavation or a slope of four horizontal to one vertical (4H:1V) or steeper.
Unconfined compressive strength. The load per unit area at which a soil will fail in compression. It can be determined by laboratory testing, or estimated in the field using a pocket penetrometer, by thumb penetration tests, and other methods.
Wet soil. Soil that contains significantly more moisture than moist soil, but in such a range of values that cohesive material will slump or begin to flow when vibrated. Granular material that would exhibit cohesive properties when moist will lose those cohesive properties when wet.
(c) Requirements.
(1) Classification of soil and rock deposits. Each soil and rock deposit shall be classified by a competent person as Stable Rock, Type A, Type B, or Type C in accordance with the definitions set forth in paragraph (b) of this appendix.
(2) Basis of classification. The classification of the deposits shall be made based on the results of at least one visual and at least one manual analysis. Such analyses shall be conducted by a competent person using tests described in paragraph (d) below, or in other approved methods of soil classification and testing such as those adopted by the American Society for Testing Materials, or the U.S. Department of Agriculture textural classification system.
(3) Visual and manual analyses. The visual and manual analyses, such as those noted as being acceptable in paragraph (d) of this appendix, shall be designed and conducted to provide sufficient quantitative and qualitative information as may be necessary to identify properly the properties, factors, and conditions affecting the classification of the deposits.
(4) Layered systems. In a layered system, the system shall be classified in accordance with its weakest layer. However, each layer may be classified individually where a more stable layer lies under a less stable layer.
(5) Reclassification. If, after classifying a deposit, the properties, factors, or conditions affecting its classification change in any way, the changes shall be evaluated by a competent person. The deposit shall be reclassified as necessary to reflect the changed circumstances.
(d) Acceptable visual and manual tests.
(1) Visual tests. Visual analysis is conducted to determine qualitative information regarding the excavation site in general, the soil adjacent to the excavation, the soil forming the sides of the open excavation, and the soil taken as samples from excavated material.
(A) Observe samples of soil that are excavated and soil in the sides of the excavation. Estimate the range of particle sizes and the relative amounts of the particle sizes. Soil that is primarily composed of fine-grained material is cohesive material. Soil composed primarily of coarse-grained sand or gravel is granular material.
(B) Observe soil as it is excavated. Soil that remains in clumps when excavated is cohesive. Soil that breaks up easily and does not stay in clumps is granular.
(C) Observe the side of the opened excavation and the surface area adjacent to the excavation. Crack-like openings such as tension cracks could indicate fissured material. If chunks of soil spall off a vertical side, the soil could be fissured. Small spalls are evidence of moving ground and are indications of potentially hazardous situations.
(D) Observe the area adjacent to the excavation and the excavation itself for evidence of existing utility and other underground structures, and to identify previously disturbed soil.
(E) Observe the opened side of the excavation to identify layered systems. Examine layered systems to identify if the layers slope toward the excavation. Estimate the degree of slope of the layers.
(F) Observe the area adjacent to the excavation and the sides of the opened excavation for evidence of surface water, water seeping from the sides of the excavation, or the location of the level of the water table.
(G) Observe the area adjacent to the excavation and the area within the excavation for sources of vibration that may affect the stability of the excavation face.
(2) Manual tests. Manual analysis of soil samples in conducted to determine quantitative as well as qualitative properties of soil and to provide more information in order to classify soil properly.
(A) Plasticity. Mold a moist or wet sample of soil into a ball and attempt to roll it into threads as thin as 1/8-inch in diameter. Cohesive material can be successfully rolled into threads without crumbling. For example, if at least a two inch length of 1/8-inch thread can be held on one end without tearing, the soil is cohesive.
(B) Dry strength. If the soil is dry and crumbles on its own or with moderate pressure into individual grains or fine powder, it is granular (any combination of gravel, sand, or silt). If the soil is dry and falls into clumps which break up into smaller clumps, but the smaller clumps can only be broken up with difficulty, it may be clay in any combination with gravel, sand or silt. If the dry soil breaks into clumps which do not break up into small clumps and which can only be broken with difficulty, and there is no visual indication the soil is fissured, the soil may be considered unfissured.
(C) Thumb penetration. The thumb penetration test can be used to estimate the unconfined compressive strength of cohesive soils. Type A soils with an unconfined compressive strength of 1.5 tsf can be readily indented by the thumb; however, they can be penetrated by the thumb only with very great effort. Type C soils with an unconfined compressive strength of 0.5 tsf can be easily penetrated several inches by the thumb, and can be molded by light finger pressure. This test should be conducted on an undisturbed soil sample, such as a large clump of spoil, as soon as practicable after excavation to keep to a minimum the effects of exposure to drying influences (rain, flooding), the classification of the soil must be changed accordingly.
(D) Other strength tests. Estimates of unconfined compressive strength of soils can also be obtained by use of a pocket penetrometer or by using a hand-operated shearvane.
(E) Drying test. The basic purpose of the drying test is to differentiate between cohesive material with fissures, unfissured cohesive material, and granular material. The procedure for the drying test involves drying a sample of soil that is approximately one inch thick and six inches in diameter until it is thoroughly dry:
1. If the sample develops cracks as it dries, significant fissures are indicated.
2. Samples that dry without cracking are to be broken by hand. If considerable force is necessary to break a sample, the soil has significant cohesive material content. The soil can be classified as an unfissured cohesive material and the unconfined compressive strength should be determined.
3. If a sample breaks easily by hand, it is either a fissured cohesive material or a granular material. To distinguish between the two, pulverize the dried clumps of the sample by hand or by stepping on them. If the clumps do not pulverize easily, the material is cohesive with fissures. If they pulverize easily into very small fragments, the material is granular.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix B

Sloping and Benching
(a) Scope and application. This appendix contains specifications for sloping and benching when used as methods of protecting employees working in excavations from cave-ins. The requirements of this appendix apply when the design of sloping and benching protective systems is to be performed in accordance with the requirements set forth in Section 1541.1(b).
(b) Definitions.
Actual slope means the slope to which an excavation face is excavated.
Distress means that the soil is in a condition where a cave-in is imminent or is likely to occur. Distress is evidenced by such phenomena as the development of fissures in the face of or adjacent to an open excavation; the subsidence of the edge of an excavation; the slumping of material from the face or the bulging or heaving of material from the bottom of an excavation; the spalling of material from the face of an excavation; and ravelling, i.e., small amounts of material such as pebbles or little clumps of material suddenly separating from the face of an excavation and trickling or rolling down into the excavation.
Maximum allowable slope means the steepest incline of an excavation face that is acceptable for the most favorable site conditions as protection against cave-ins, and is expressed as the ratio of horizontal distance to vertical rise (H:V),
Short term exposure means a period of time less than or equal to 24 hours that an excavation is open.
(c) Requirements.
(1) Soil classification. Soil and rock deposits shall be classified in accordance with Appendix A to Section 1541.1.
(2) Maximum allowable slope. The maximum allowable slope for a soil or rock deposit shall be determined from Table B-1 of this appendix.
(3) Actual slope.
(A) The actual slope shall not be steeper than the maximum allowable slope.
(B) The actual slope shall be less steep than the maximum allowable slope, when there are signs of distress. If that situation occurs, the slope shall be cut back to an actual slope which is at least 1/2 horizontal to one vertical (1/2H:1V) less steep than the maximum allowable slope.
(C) When surcharge loads from stored material or equipment, operating equipment, or traffic are present, a competent person shall determine the degree to which the actual slope must be reduced below the maximum allowable slope, and shall assure that such reduction is achieved. Surcharge loads from adjacent structures shall be evaluated in accordance with Section 1541(i).
(4) Configurations. Configurations of sloping and benching systems shall be in accordance with Figure B-1.

TABLE B-1
MAXIMUM ALLOWABLE SLOPES

View Graphic

FIGURE B-1
SLOPE CONFIGURATIONS
(All slopes stated below are in the horizontal to vertical ratio)
B - 1.1 Excavations made in Type A soil.
1. All simple slope excavations 20 feet or less in depth shall gave a maximum allowable slope of 3/4:1.

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Simple Slope - General
Exception: Simple slope excavations which are open 24 hours or less (short term) and which are 12 feet or less in depth shall have a maximum allowable slope of 1/2:1.

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Simple Slope - Short Term
2. All benched excavations 20 feet or less in depth shall have a maximum allowable slope of 3/4 to 1 and maximum bench dimensions as follows:

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Simple Bench

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Multiple Bench
3. All excavations 8 feet or less in depth which have unsupported vertically sided lower portions shall have a maximum vertical side 3 1/2 feet.

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Unsupported Vertically Sided Lower Portion - Maximum 8 Feet in Depth
All excavations more than 8 feet but not more than 12 feet in depth with unsupported vertically sided lower portions shall have a maximum allowable slope of 1:1 and a maximum vertical side of 3 1/2 feet.

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Unsupported Vertically Sided Lower Portion - Maximum 12 Feet in Depth
All excavations 20 feet or less in depth which have vertically sided lower portions that are supported or shielded shall have a maximum allowable slope of 3/4:1. The support or shield system must extend at least 18 inches above the top of the vertical side.

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Supported or Shielded Vertically Sided Lower Portion
4. All other simple slope, compound slope, and vertically sided lower portion excavations shall be in accordance with the other options permitted under 1541.1(b).

B - 1.2 Excavations Made in Type B Soil
1. All simple slope excavations 20 feet or less in depth shall have a maximum allowable slope of 1:1.

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Simple Slope
2. All benched excavations 20 feet or less in depth shall have a maximum allowable slope of 1:1 and maximum bench dimensions as follows:

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Single Bench

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Multiple Bench
3. All excavations 20 feet or less in depth which have vertically sided lower portions shall be shielded or supported to a height at least 18 inches above the top of the vertical side. All such excavations shall have a maximum allowable slope of 1:1.

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Vertically Sided Lower Portion
4. All other sloped excavations shall be in accordance with the other options permitted in 1541.1(b).

B - 1.3 Excavations Made in Type C Soil
1. All simple slope excavations 20 feet or less in depth shall have a maximum allowable slope of 1 1/2:1.

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Simple Slope
2. All excavations 20 feet or less in depth which have vertically sided lower portions shall be shielded or supported to a height at least 18 inches above the top of the vertical side. All such excavations shall have a maximum allowable slope of 1 1/2:1.

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Vertically Sided Lower Portion
3. All other sloped excavations shall be in accordance with the other options permitted in 1541.1(b).

B - 1.4 Excavations Made in Layered Soil
1. All excavations 20 feet or less in depth made in layered soils  shall have a maximum allowable slope for each layer as set forth below:

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B OVER A

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C OVER A

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C OVER B

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A OVER B

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A OVER C

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B OVER C
2. All other sloped excavations shall be in accordance with the other options permitted in 1541.1(b).
Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix C

Timber Shoring for Trenches
(a) Scope. This appendix contains information that can be used when timber shoring is provided as a method of protection from cave-ins in trenches that do not exceed 20 feet in depth. This appendix must be used when design of timber shoring protective systems is to be performed in accordance with Section 1541.1(c)(1). Other timber shoring configurations; other systems of support such as hydraulic and pneumatic systems; and other protective systems such as sloping, benching, shielding, and freezing systems must be designed in accordance with the requirements set forth in Section 1541.1(b) and 1541.1(c).
(b) Soil Classification. In order to use the data presented in this appendix, the soil type or types in which the excavation is made must first be determined using the soil classification method set forth in Article 6.
(c) Presentation of Information.
Information is presented in several forms as follows:
(1) Information is presented in tabular form in Tables C-1.1, C-1.2 and C-1.3, and Tables C-2.1, C-2.2 and C-2.3 following Section (g) of Appendix C. Each table presents the minimum sizes of timber members to use in a shoring system, and each table contains data only for the particular soil type in which the excavation or portion of the excavation is made. The data are arranged to allow the user the flexibility to select from among several acceptable configurations of members based on varying the horizontal spacing of the crossbraces. Stable rock is exempt from shoring requirements and therefore, no data are presented for this condition.
(2) Information concerning the basis of the tabular data and the limitations of the data is presented in Section (d) of this appendix, and on the tables themselves.
(3) Information explaining the use of the tabular data is presented in Section (e) of this appendix.
(4) Information illustrating the use of the tabular data is presented in Section (f) of this appendix.
(5) Miscellaneous notations regarding Tables C-1.1 through C-1.3 and Tables C-2.1 through C-2.3 are presented in Section (g) of this appendix.
(d) Basis and limitations of the data.
(1) Dimensions of timber members.
(A) The sizes of the timber members listed in Tables C-1.1 through C-1.3 are taken from the National Bureau of Standards (NBS) report, ``Recommended Technical Provisions for Construction Practice in Shoring and Sloping of Trenches and Excavations.'' In addition, where NBS did not recommend specific sizes of members, member sizes are based on an analysis of the sizes required for use by existing codes and on empirical practice.
(B) The required dimensions of the members listed in Tables C-1.1 through C-1.3 refer to actual dimensions and not nominal dimensions of the timber. Employers wanting to use nominal size shoring are directed to Tables C-2.1 through C-2.3, or have this choice under Section 1541.1(c)(3).
(2) Limitation of application.
(A) It is not intended that the timber shoring specification apply to every situation that may be experienced in the field. These data were developed to apply to the situations that are most commonly experienced in current trenching practice. Shoring systems for use in situations that are not covered by the data in this appendix must be designed as specified in Section 1541.1(c).
(B) When any of the following conditions are present, the members specified in the tables are not considered adequate. Either an alternate timber shoring system must be designed or another type of protective system designed in accordance with Section 1541.1.
1. When loads imposed by structures or by stored material adjacent to the trench weigh in excess of the load imposed by a two-foot soil surcharge. The term ``adjacent'' as used here means the area within a horizontal distance from the edge of the trench equal to the depth of the trench.
2. When vertical loads imposed on crossbraces exceed a 240-pound gravity load distributed on a one-foot section of the center of the crossbrace.
3. When surcharge loads are present from equipment weighing in excess of 20,000 pounds.
4. When only the lower portion of a trench is shored and the remaining portion of the trench is sloped or benched unless: The sloped portion is sloped at an angle less steep than three horizontal to one vertical; or the members are selected from the tables for use at a depth which is determined from the top of the overall trench, and not from the toe of the sloped portion.
(e) Use of Tables. The members of the shoring system that are to be selected using this information are the crossbraces, the uprights, and the wales, where wales are required. Minimum sizes of members are specified for use in different types of soil. There are six tables of information, two for each soil type. The soil type must first be determined in accordance with the soil classification system described in Appendix A. Using the appropriate table, the selection of the size and spacing of the members is then made. The selection is based on the depth and width of the trench where the members are to be installed and, in most instances, the selection is also based on the horizontal spacing of the crossbraces. Instances where a choice of horizontal spacing of crossbracing is available, the horizontal spacing of the crossbraces must be chosen by the user before the size of any member can be determined. When the soil type, the width and depth of the trench, and the horizontal spacing of the crossbraces, the size and vertical spacing of the crossbraces are known, the size and vertical spacing of the crossbraces, the size and vertical spacing of the wales, and the size and horizontal spacing of the uprights can be read from the appropriate table.
(f) Examples to Illustrate the Use of Tables C-1.1 through C-1.3.
(1) Example 1.
A trench dug in Type A soil is 13 feet deep and five feet wide. From Table C-1.1, four acceptable arrangements of timber can be used.
Arrangement #1
Space 4X4 crossbraces at six feet horizontally and four feet vertically. Wales are not required.
Space 3X8 uprights at six feet horizontally. This arrangement is commonly called ``skip shoring.''
Arrangement #2
Space 4X6 crossbraces at eight feet horizontally and four feet vertically.
Space 8X8 wales at four feet vertically.
Space 2X6 uprights at four feet horizontally.
Arrangement #3
Space 6X6 crossbraces at 10 feet horizontally and four feet vertically.
Space 8X10 wales at four feet vertically.
Space 2X6 uprights at five feet horizontally.
Arrangement #4
Space 6X6 crossbraces at 12 feet horizontally and four feet vertically.
Space 10X10 wales at four feet vertically.
Space 3X8 uprights at six feet horizontally.
(2) Example 2.
A trench dug in Type B soil is 13 feet deep and five feet wide. From Table C-1.2 three acceptable arrangements of members are listed.
Arrangement #1
Space 6X6 crossbraces at six feet horizontally and five feet vertically.
Space 8X8 wales at five feet vertically.
Space 2X6 uprights at two feet horizontally.
Arrangement #2
Space 6X8 crossbraces at eight feet horizontally and five feet vertically.
Space 10X10 wales at five feet vertically.
Space 2X6 uprights at two feet horizontally.
Arrangement #3
Space 8X8 crossbraces at 10 feet horizontally and five feet vertically.
Space 10X12 wales at five feet vertically.
Space 2X6 uprights at two feet vertically.
(3) Example 3.
A trench dug in Type C soil is 13 feet deep and five feet wide.
From Table C-1.3 two acceptable arrangements of members can be used.
Arrangement #1
Space 8X8 crossbraces at six feet horizontally and five feet vertically.
Space 10X12 wales at five feet vertically.
Position 2X6 uprights as closely together as possible.
If water must be retained use special tongue and groove uprights to form tight sheeting.
Arrangement #2
Space 8X10 crossbraces at eight feet horizontally and five feet vertically.
Space 12X12 wales at five feet vertically.
Position 2X6 uprights in a close sheeting configuration unless water pressure must be resisted. Tight sheeting must be used where water must be retained.
(4) Example 4.
A trench dug in Type C soil is 20 feet deep and 11 feet wide. The size and spacing of members for the section of trench that is over 15 feet in depth is determined using Table C-1.3. Only one arrangement of members is provided.
Space 8X10 crossbraces at six feet horizontally and five feet vertically.
Space 12X12 wales at five feet vertically.
Use 3X6 tightsheeting.
Use of Tables C-2.1 through C-2.3 would follow the same procedures.
(g) Notes for all Tables.
1. Members sizes at spacings other than indicated are to be determined as specified in Section 1541.1(c), ``Design of Protective Systems.''
2. When conditions are saturated or submerged use Tight Sheeting. Tight Sheeting refers to the use of specially-edged timber planks (e.g., tongue and groove) at least three inches thick, steel sheet piling, or similar construction that when driven or placed in position provide a tight wall to resist the lateral pressure of water and to prevent the loss of backfill material. Close Sheeting refers to the placement of planks side-by-side allowing as little space as possible between them.
3. All spacing indicated is measured center to center.
4.. Wales to be installed with greater dimension horizontal.
5. If the vertical distance from the center of the lowest crossbrace to the bottom of the trench exceeds two and one-half feet, uprights shall be firmly embedded or a mudsill shall be used. Where uprights are embedded, the vertical distance from the center of the lowest crossbrace to the bottom of the trench shall not exceed 36 inches. When mudsills are used, the vertical distance shall not exceed 42 inches. Mudsills are wales that are installed at the toe of the trench side.
6. Trench jacks may be used in lieu of or in combination with timber crossbraces.
7. Placement of crossbraces. When the vertical spacing of crossbraces is four feet, place the top crossbrace no more than two feet below the top of the trench. When the vertical spacing of crossbraces is five feet, place the top crossbrace no more than 2.5 feet below the top of the trench.

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Appendix D

Aluminum Hydraulic Shoring for Trenches
(a) Scope. This appendix contains information that can be used when aluminum hydraulic shoring is provided as a method of protection against cave-ins in trenches that do not exceed 20 feet in depth. This appendix must be used when design of the aluminum hydraulic protective system cannot be performed in accordance with Section 1541.1(c)(2).
(b) Soil Classification. In order to use data presented in this appendix, the soil type or types in which the excavation is made must first be determined using the soil classification method set forth in Appendix A of this Article.
(c) Presentation of Information. Information is presented in several forms as follows:
(1) Information is presented in tabular form in Tables D-1.1, D-1.2, D-1.3 and D-1.4. Each table presents the maximum vertical and horizontal spacings that may be used with various aluminum member sizes and various hydraulic cylinder sizes. Each table contains data only for the particular soil type in which the excavation or portion of the excavation is made. Tables D-1.1 and D-1.2 are for vertical shores in Types A and B soil. Tables D-1.3 and D-1.4 are for horizontal waler systems in Types B and C soil.
(2) Information concerning the basis of the tabular data and the limitations of the data is presented in Section (d) of this appendix.
(3) Information explaining the use of the tabular data is presented in Section (e) of this appendix.
(4) Information illustrating the use of the tabular data is presented in Section (f) of this appendix.
(5) Miscellaneous notations (footnotes) regarding Table D-1.1 through D-1.4 are presented in Section (g) of this appendix.
(6) Figures, illustrating typical installations of hydraulic shoring, are included just prior to the Tables. The illustrations page is entitled ``Aluminum Hydraulic Shoring: Typical Installations.''
(d) Basis and limitations of the data.
(1) Vertical shore rails and horizontal wales are those that meet the Section Modulus requirements in the D-1 Tables. Aluminum material is 6061-T6 or material of equivalent strength and properties.
(2) Hydraulic cylinders specifications.
(A) 2-inch cylinders shall be a minimum 2-inch inside diameter with a minimum safe working capacity of no less than 18,000 pounds axial compressive load at maximum extension. Maximum extension is to include full range of cylinder extensions as recommended by product manufacturer.
(B) 3-inch cylinders shall be minimum 3-inch inside diameter with a safe working capacity of not less than 30,000 pounds axial compressive load at extensions as recommended by product manufacturer.
(3) Limitation of application.
(A) It is not intended that the aluminum hydraulic specification apply to every situation that may be experienced in the field. These data were developed to apply to the situations that are most commonly experienced in current trenching practice. Shoring systems for use in situations that are not covered by the data in this appendix must be otherwise designed as specified in Section 1541.1(c).
(B) When any of the following conditions are present, the members specified in the Tables are no considered adequate. In this case, an alternative aluminum hydraulic shoring system or other type of protective system must be designed in accordance with Section 1541.1.
1. When vertical loads imposed on crossbraces exceed a 100 pound gravity load distributed on a one foot section of the center of the hydraulic cylinder.
2. When surcharge loads are present from equipment weighing in excess of 20,000 pounds.
3. When only the lower portion of a trench is shored and the remaining portion of the trench is sloped or benched unless: The sloped portion is sloped at an angle less steep than three horizontal to one vertical; or the members are selected from the tables for use at a depth which is determined from the top of the overall trench, and not from the toe of the sloped portion.
(e) Use of Tables D-1.1, D-1.2, D-1.3 and D-1.4. The members of the shoring system that are to be selected using this information are the hydraulic cylinders, and either the vertical shores or the horizontal wales. When a waler system is used the vertical timber sheeting to be used is also selected from these tables. The Tables D-1.1 and D-1.2 for vertical shores are used in Type A and B soils that do not require sheeting. Type B soils that may require sheeting, and Type C soils that always require sheeting, are found in the horizontal wale Tables D-1.3 and D-1.4. The soil type must first be determined in accordance with the soil classification system described in Appendix A to Section 1541.1. Using the appropriate table, the selection of the size and spacing of the members is made. The selection is based on the depth and width of the trench where the members are to be installed. In these tables the vertical spacing is held constant at four feet on center. The tables show the maximum horizontal spacing of cylinders allowed for each size of wale in the waler system tables, and in the vertical shore tables, the hydraulic cylinder horizontal spacing is the same as the vertical shore spacing.
(f) Example to Illustrate the Use of the Tables:
(1) Example 1.
A trench dug in Type A soil is 6 feet deep and 3 feet wide. From Table D-1.1: Find vertical shores and 2 inch diameter cylinders spaced 8 feet on center (o.c.) horizontally and 4 feet on center (o.c.) vertically. (See Figures 1 & 3 for typical installations.)
(2) Example 2:
A trench is dug in Type B soil that does not require sheeting, 13 feet deep and 5 feet wide. From Table D-1.2: Find vertical shores and 2 inch diameter cylinders spaced 6.5 feet o.c. horizontally and 4 feet o.c. vertically. (See Figures 1 & 3 for typical installations.)
(3) Example 3:
A trench is dug in Type B soil that does not require sheeting, but does experience some minor raveling of the trench face. The trench is 16 feet deep and 9 feet wide. From Table D-1.2: Find vertical shores and 2 inch diameter cylinder (with special oversleeves as designated by footnote #2) spaced 5.5 feet o.c. horizontally and 4 feet o.c. vertically. Plywood (per footnote (g)(7) to the D-1 Table) should be used behind the shores. (See Figures 2 & 3 for typical installations.)
(4) Example 4:
A trench is dug in previously disturbed Type B soil, with characteristics of a Type C soil, and will require sheeting. The trench is 18 feet deep, and 12 feet wide. 8 foot horizontal spacing between cylinders is desired for working space. From Table D-1.3: Find horizontal wale with a section modulus of 14.0 spaced at 4 feet o.c. vertically and 3 inch diameter cylinder spaced at 9 feet maximum o.c. horizontally, 3 x 12 timber sheeting is required at close spacing vertically. (See Figure 4 for typical installation.)
(5) Example 5:
A trench is dug in Type C soil, 9 feet deep and 4 feet wide. Horizontal cylinder spacing in excess of 6 feet is desired for working space. From Table D-1.4: Find horizontal wale with a section modulus of 7.0 and 2 inch diameter cylinders spaced at 6.5 feet o.c. horizontally. Or, find horizontal wale with a 14.0 section modulus and 3 inch diameter cylinder spaced at 10 feet o.c. horizontally. Both wales are spaced 4 feet o.c. vertically, 3x12 timber sheeting is required at close spacing vertically. (See Figure 4 for typical installation.)
(g) Footnotes, and general notes, for Tables D-1.1, D-1.2, D-1.3, and D-1.4.
(1) For applications other than those listed in the tables, refer to Section 1541.1(c)(2) for use of manufacturer's tabulated data. For trench depths in excess of 20 feet, refer to Section 1541.1(c)(2) and 1541.1(c)(3).
(2) 2-inch diameter cylinders, at this width, shall have structural steel tube (3.5 x 3.5 x 0.1875) oversleeves, or structural oversleeves of manufacturer's specification, extending the full, collapsed length.
(3) Hydraulic cylinders capacities.
(A) 2-inch cylinders shall be a minimum 2-inch inside diameter with a safe working capacity of not less than 18,000 pounds axial compressive load at maximum extension. Maximum extension is to include full range of cylinder extensions as recommended by product manufacturer.
(B) 3-inch cylinders shall be a minimum 3-inch inside diameter with a safe work capacity of not less than 30,000 pounds axial compressive load at maximum extension. Maximum extension is to include full range of cylinder extensions as recommended by product manufacturer.
(4) All spacing indicated is measured center to center.
(5) Vertical shoring rails shall have a minimum section modulus of 0.40 inch.
(6) When vertical shores are used, there must be a minimum of three shores spaced equally, horizontally, in a group.
(7) Plywood shall be 1.125 inches thick of wood or 0.75 inch thick, 14 ply, arctic white birch (Finland form). Please note that plywood is not intended as a structural member, but only for prevention of local raveling (sloughing of the trench face) between shores. Equivalent material may be used if it has been approved in accordance with Section 1505(a).
(8) See Appendix C for timber specifications.
(9) Wales are calculated for simple span conditions.
(10) See Appendix D, Section (d), for basis and limitations of the data.

ALUMINUM HYDRAULIC SHORING
TYPICAL INSTALLATIONS
FIGURE NO. 1

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ALUMINUM HYDRAULIC SHORING
TYPICAL INSTALLATIONS
FIGURE NO. 2

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ALUMINUM HYDRAULIC SHORING
TYPICAL INSTALLATIONS
FIGURE NO. 3

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ALUMINUM HYDRAULIC SHORING
TYPICAL INSTALLATIONS
FIGURE NO. 4

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

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Figure 1. Aluminum Hydraulic Shoring

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Figure 2. Pneumatic/hydraulic Shoring

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Figure 3. Trench Kacks (Screw Jacks)

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Figure 4. Trench Shields

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NOTE

Authority Cited: Section 142.3, Labor Code. Reference 142.3, Labor Code. 

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§1542. Shafts.
Note     •     History

(a) General.
(1) All wells or shafts over 5 feet in depth into which employees are permitted to enter shall be retained with lagging, spiling, or casing. 

EXCEPTION: Exploration shafts; see Section 1542(d).
(2) The lagging, spiling or casing shall extend at least one foot above ground level and shall be provided the full depth of the shaft or at least five feet into solid rock if possible.
(3) All wells, pits, shafts, caissons, etc. shall be barricaded or securely covered.
(4) Upon completion of exploration and similar operations, temporary wells, pits, shafts, etc., shall be backfilled.
(b) Small Shafts in Hard Compact Soil.
Two-inch (nominal) cribbing may be used in square shafts not over 4 feet square in hard compact soil. Each member shall be cut 1/2 way through the width of the member and dovetailed into position so each member will act as a shore as well as lagging. Strips shall be nailed in each corner to prevent the boards from dropping down.
(c) Shafts in Other Than Hard Compact Soil.
(1) A system of lagging supported by braces and corner posts shall be used for square or rectangular shafts. Corner posts of 4-inch by 4-inch material are normally acceptable in shafts 4 feet square, or smaller, if they are braced in each direction with horizontal 4-inch by 4-inch members at intervals not exceeding 4 feet. Braces and corner posts in larger shafts shall be correspondingly larger as determined by a civil engineer.
(2) Round shafts shall be completely lagged with 2-inch material which is supported at intervals not greater than 4 feet by means of adjustable rings of metal or timber that are designed to resist the collapsing force, or cased in a manner that provides equivalent protection.
(d) Exploration Shafts. Only a geotechnical specialist shall be permitted to enter an exploration shaft without lagging, spiling or casing for the purpose of subsurface investigations under the following conditions:
(1) Initial Inspection. The type of materials and stability characteristics of the exploration shaft shall be personally observed and recorded by the geotechnical specialist during the drilling operation. Potentially unsafe exploration shafts shall not be entered.
(2) Surface Casing. The upper portion of the exploration shaft shall be equipped with a surface ring-collar to provide casing support of the material within the upper 4 feet of the exploration shaft. The ring-collar shall extend at least 1-foot above the ground surface.
(3) Gas Tests. Prior to entry into exploration shafts, tests and/or procedures shall be instituted to assure that the atmosphere within the shaft does not contain dangerous air contamination or oxygen deficiency. These tests and/or procedures shall be maintained while working within the shaft to assure that dangerous air contamination or oxygen deficiency will not occur. (See Section 5156 of the General Industry Safety Orders.)
(4) Unstable Local Conditions. The geotechnical specialist shall not descend below any portion of any exploration shaft where caving or groundwater seepage is noted or suspected.
(5) Ladder and Cable Descents. A ladder may be used to inspect exploration shafts 20 feet or less in depth. In deeper exploration shafts, properly maintained mechanical hoisting devices with a safety factor of at least 6 shall be provided and used. Such devices shall be under positive control of the operator being positive powered up and down with fail-safe brakes.
(6) Emergency Standby Employee. An emergency standby employee shall be positioned at the surface near the exploration shaft opening whenever a geotechnical specialist is inside the shaft.
(7) Communication. A two-way, electrically-operated communication system shall be in operation between the standby employee and the geotechnical specialist whenever boring inspections are being made in exploration shafts over 20 feet in depth or when ambient noise levels make communication difficult.
(8) Safety Equipment. The following safety equipment shall be used to protect the geotechnical specialist:
(A) An approved safety harness which will suspend a person upright and that is securely attached to the hoist cable.
(B) A 12-inch to 18-inch diameter steel coneshaped headguard/deflector that is attached to the hoist cable above the harness.
(C) A hoist cable having a minimum diameter of 5/16 inches.
(D) Approved head protection. (See Section 1515.)
(9) Electrical Devices. All electrical devices used within the exploration shaft by the geotechnical specialist shall be approved for hazardous locations.
(10) Surface Hazards. The storage and use of flammable or other dangerous materials shall be controlled at the surface to prevent them from entering the exploration shaft.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
3. Amendment of subsection (a) and new subsection (e) filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
4. Repealer of subsection (a) NOTE, adoption of subsections (a)(3) and (a)(4), repealer of subsection (d) text and relettering filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
5. Change without regulatory effect amending subsection (a)(1) filed 8-19-92; operative 8-19-92 (Register 92, No. 34).
6. Editorial correction of printing error restoring designation of subsection (d) (Register 92, No. 34).
7. Change without regulatory effect amending subsection (a)(1) Exception filed 2-22-93; operative 3-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 9).
§1543. Cofferdams.
Note     •     History

(a) If overtopping of the cofferdam by high waters is possible, means shall be provided for controlled flooding of the work area.
(b) Warning signs for evacuation of employees in case of emergency shall be developed and posted.
(c) Cofferdam walkways, bridges, or ramps with at least two means of rapid exit, shall be provided with guardrails as specified in Section 1620.
(d) Cofferdams located close to navigable shipping channels shall be protected from vessels in transit, where possible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section142.3, Labor Code.
HISTORY

1. New section filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 3). For history of former section, see Registers 82, No. 35 and 70, No.48.
2. Adoption of NOTE filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1544. Earthwork and Excavating. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (d) and (e) filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1545. Overburden. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1546. Face Inspection and Control. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (d) and (e) filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
§1547. Protection of Workers at the Face. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).
Article 7. Bins, Bunkers, Hoppers, and Material Storage
§1548. Bins, Bunkers, and Hoppers.
Note     •     History

(a) Every open bin, bunker, hopper, and dangerous equipment whose upper edge is less than 36 inches above the floor or working level shall be equipped with a standard railing around its edges, or a grating or grille shall cover the top. Where grille or grating is the only protection, it shall have no opening whose least dimension exceeds 10 inches. Where railings are used they may be temporarily removed to provide necessary working openings.
(b) The grating or grille shall be of strength sufficient to withstand any load that is customarily imposed upon it.
(c) Where bins, bunkers, or hoppers are loaded by backing an automotive truck to one edge, there shall be installed bumper stops not less than 10 by 10 inches, securely fastened in a manner to prevent the truck overrunning the runway. At least 8- by 8-inch timbers or equivalent shall be securely fastened along the sides of the runway to prevent a truck overrunning the sides of the runway.
(d) Open Top Bins.
(1) Where employees are permitted or required to work in or above open top bins over 8 feet in depth, an upper working area consisting of a platform or walkway shall be provided, and shall be guarded with a standard railing and toeboard.
(2) Personal fall arrest or restraint systems complying with the requirements of Section 1670 shall be provided and used by employees when above requirements are not met.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (d)(1) and (2) filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15).
2. Amendment of subsections (a) and (d)(2) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
§1549. Piling Material.
Note     •     History

(a) Piles of brick, tile, masonry blocks, and similar material shall be stabilized against falling by the use of headers at least every sixth course. When a loose brick stack reaches a height of 4 feet, it shall be tapered back at least 2 inches in every foot of height above the 4-foot level. Brick stacks shall not be more than 7 feet in height. When masonry blocks are stacked higher than 6 feet, the stack shall be tapered back one-half block per tier above the 6-foot level.
(b) In piling bags of cement or other material more than 5 feet high, the face of the pile shall be tapered back (except where supported by walls or otherwise), or the sacks shall be so tied in horizontal layers as to prevent them from falling or collapsing.
(c) Piles of lumber, structural steel, and similar materials shall be maintained so that the stack is stable against falling or collapsing. Headers, crosspieces, or other means shall be used as needed in the pile to prevent slipping, tipping, or collapsing. Lumber piles shall not exceed 20 feet in height provided that lumber to be handled manually shall not be stacked more than 16 feet high.
(d) Sheetrock, plywood, trusses, and similar material shall not be stacked on edge unless positively secured against tipping or falling.
(e) Material inside buildings under construction shall not be placed within 6 feet of any hoistway or inside floor openings, nor within 10 feet of an exterior wall which does not extend above the top of the material unless the material is positively barricaded, placed, or secured to prevent it from falling.
(f) The maximum safe load limits of floors, or portions of floors, used for storage areas within buildings and structures, shall not be exceeded.
(g) Materials which may cause a hazardous reaction or unstable condition while in storage shall be segregated.
(h) Material on balconies or in other similar elevated locations on the exteriors of buildings under construction shall be placed, secured or positively barricaded in order to prevent the material from falling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) and new subsections (e), (f), and (g) filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Amendment of subsections (c) and (e) filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15).
3. New subsection (h) filed 2-2-2010; operative 3-4-2010 (Register 2010, No. 6).
Article 8. Explosives [Repealed]
HISTORY

1. Repealer of article 8 (sections 1550-1580) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28). For prior history, see Register 85, No. 30.  
Article 9. Derricks, Cranes, Boom-Type Excavators [Repealed]
HISTORY

1. Repealer of article 9 (sections 1581-1589) filed 8-29-86; operative 9-28-86 (Register 86, No. 39).
Article 10. Haulage and Earth Moving

(Applicable Orders included in this Article shall apply to such equipment as haulage vehicles, scrapers, loaders, crawler or wheeled tractors, bulldozers, graders and similar equipment) 
§1590. Haulage and Earth Moving, General.
Note     •     History

(a) Private Roadways and Off-Highway Conditions.
(1) Single-lane private roads with two-way traffic shall be provided with turnouts. Where turnouts are not practicable, a control system shall be provided to prevent vehicles from meeting on such single-lane roads.
(2) On private roads used for two-way traffic, arrangements shall be such that vehicles travel on the right side as much as possible. Signs shall be posted to clearly indicate variations from this system. Where practicable, separate haulage roads shall be provided between loaded and empty units. Haulage roads shall be wide enough to allow for safe passage. Safe distances between moving units shall be maintained.
Note: Left hand traffic patterns are permitted provided that vehicle operators are advised of the pattern and job site conditions warrant that the procedure is safe.
(3) Private roads shall be maintained free from holes and ruts that affect the safe control of the vehicle. Every emergency access ramp and berm used by an employer shall be constructed to restrain and control runaway vehicles.
(4) Where a hazard exists to employees because of traffic or haulage conditions, a system of traffic controls shall be required so as to abate the hazard. (See Section 1598(b)).
Note: Nothing in this subsection shall preclude the use of additional signs that are not included in the Manual referenced in Section 1598(b). Examples: “Haul Road,” “Left Hand Pattern,” “Scraper Crossing,” etc.
(5) Employees (on foot), such as grade-checkers, surveyors and others exposed to the hazard of vehicular traffic, shall wear high visibility safety apparel in accordance with the requirements of Sections 1598 and 1599 of these Orders.
(b) Dust Control. Action shall be taken to prevent dust from seriously reducing visibility. In dusty operations, equipment operators shall use adequate respiratory protection.
(c) Equipment Control.
(1) Equipment shall be under control at all times and shall be kept in gear when descending grades.
(2) No vehicle shall be driven at a speed greater than is reasonable and proper, with due regard for weather, traffic, intersections, width and character of the roadway, type of motor vehicle, and any other existing conditions.
(d) Exhaust. Arrangements shall be made to direct exhaust gases away from the operator's breathing zone.
(e) Heat Shields. When push-tractors are working in tandem, heat shields, or equivalent protection, shall be provided for operators.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) and new subsections (f), (g) and (h) filed 10-2-70; effective thirtieth day thereafter (Register 70, No. 40).
2. Amendment of subsections (a) and (d) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Repealer and new section filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
4. Amendment of subsections (a) and (c) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
5. Amendment of subsection (a)(5) filed 6-2-2010; operative 7-2-2010 (Register 2010, No. 23).
§1591. Haulage Vehicles, Equipment-Construction and Maintenance.
Note     •     History

(a) Windshields complying with the applicable provisions of the Vehicle Code shall be provided and maintained on haulage vehicles and scrapers.
(b) Equipment and accessories installed on haulage vehicles shall be arranged so as to avoid impairing the driver's operational vision to the front or sides.
(c) Brakes, General. Service brake systems for self-propelled, rubber-tired, off-highway equipment manufactured before January 1, 1972 (for scrapers January 1, 1971) shall meet minimum performance criteria for service brake systems as set forth in the Society of Automotive Engineers Recommended Practices listed below. Service, emergency and parking brake systems for self-propelled, rubber-tired, off-highway equipment manufactured after January 1, 1972 (for scrapers January 1, 1971) shall meet the applicable minimum performance criteria for each system as set forth in the same Society of Automotive Engineers Recommended Practices:

Self-Propelled Graders	 SAE J236-1971
Trucks and Wagons	 SAE J166-1971
Front-End Loaders & Dozers	 SAE J237-1971
Self-Propelled Scrapers	 SAEJ319b-1971

Note: Equipment that meets the performance criteria of SAE Recommended Practice J1152-APR 1980, Braking Performance--Rubber-Tired Construction Machines, satisfies the requirements of this Section.
(d) Air Tank Service. Liquids should be drained automatically from vehicle's compressed air tanks, but if such automatic equipment is not provided, the tanks shall be drained manually at least once each operating shift.
(e) Cab Shield. Haulage vehicles, whose pay load is loaded by means of cranes, power shovels, loaders, or similar equipment, shall have a cab shield and/or canopy adequate to protect the operator from shifting or falling materials.
(f) Fenders. Fenders complying with the following standards from SAE Recommended Practice J321, November, 1967 or J321b April, 1978, shall be provided on new scrapers, carryalls, related power units, and trailed hauling units manufactured and placed into service after January 1, 1971.
(g) Lights. Whenever visibility conditions warrant additional light, all vehicles, or combinations of vehicles, in use shall be equipped with at least two headlights and two taillights in operable condition.
(h) Canopy. Crawler tractors, bulldozers, carryalls and similar equipment manufactured and used prior to April 1, 1971, except for scrapers, front-end loaders and new equipment covered by 1596, shall have canopy protection and seat belts for the operator when used where there is exposure to falling or rolling objects.
(i) Operating Levers. Operating levers controlling hoisting or dumping devices on haulage bodies shall be equipped with a latch or other device which will prevent accidental starting or tripping of the mechanism.
(j) Trip Handles. Trip handles for tailgates of dump trucks shall be so arranged that in dumping, the operator will not be exposed either to the hazard of being struck by falling material or any part of the truck.
(k) Dump Bodies. Haulage vehicles equipped with dump bodies that tilt to release their load by gravity through an opening at the rear or side shall be provided with a device that gives the operator a clearly audible or visible warning when sufficient force is applied by the elevating mechanism to cause or sustain dump body elevation.
(l) Hazard Signals. Tractor-scrapers (self-propelled) pushed by other equipment during loading operations shall be provided with a clearly audible or visible warning device that can be activated by the operator of the tractor-scraper to communicate an “ALL STOP” warning to the pushing equipment in event of an emergency.
(m) Exhaust retrofits. If an exhaust retrofit is installed on a vehicle, it shall be installed and maintained in accordance with the following:
(1) An exhaust retrofit shall not reduce the capacity, structural integrity, or safe performance of a vehicle. 
(2) An exhaust retrofit shall not reduce an employee's ability to access or egress a vehicle safely.
(3) An exhaust retrofit shall be located or effectively shielded such that it does not increase the risk of a fire due to accidental contact with hydraulic fluid or fuel spilled during transfer or sprayed from a broken hose, pipe, or container. 
(4) An exhaust retrofit shall be located or effectively shielded such that it does not increase the risk of an employee contacting exhaust system surfaces having a temperature of 140 degrees F (60 degrees C) or higher. Heat shielding is not required on an exhaust retrofit located under the hood of a vehicle if space limitations make shielding impracticable. 
(5) An exhaust retrofit, excluding exhaust stacks which are the subject of subsection (6), shall not obstruct the driver's view of an area or object located 40 inches outside of the smallest rectangle that encompasses the perimeter of a vehicle, as determined in accordance with the following:
(A) A modification or addition made to a vehicle to install a retrofit, such as an expanded engine compartment hood or added heat shield, shall be considered part of the exhaust retrofit, 
(B) If a bucket or blade is attached to a vehicle, it shall be placed in the traveling position and shall be considered a part of the vehicle for the purpose of establishing the perimeter of the vehicle to the front and rear, but not to the sides, 
(C) The driver's view shall be determined without the use of mirrors or cameras, and
(D) The driver's view shall represent the view that a driver would have under the following conditions:
1. The driver weighs at least 195 pounds and is less than 70 inches tall,
2. The driver is sitting upright in the driver's seat and is looking towards the exhaust retrofit, and
3. The driver's seat is positioned in the middle of its adjustable range. 
Note: The Visibility Test Procedures in Non-Mandatory Appendix A constitute one method that may be used to demonstrate compliance with this subsection. 
(6) Exhaust stacks on exhaust retrofits, when compared to exhaust stacks on the vehicle as originally manufactured, shall comply with the following conditions:
(A) Retrofit exhaust stacks shall be located or effectively shielded such that the stacks do not increase the risk of an employee contacting stack surfaces having a temperature of 140 degrees F (60 degrees C) or higher;
(B) Retrofit exhaust stacks shall not reduce the driver's view of the outside edge of the blade or bucket on earthmoving equipment, as determined without the use of mirrors or cameras; and 
(C) Retrofit exhaust stacks shall not reduce the driver's view to the front, sides, or rear of the vehicle, as determined without the use of mirrors or cameras. A retrofit exhaust stack reduces the driver's view if the area it obstructs from the driver's view is wider than the area obstructed by the original exhaust stack. Exhaust stack modifications that shall be considered to reduce the driver's view include, but are not limited to, the following: 
(i) Increasing the diameter of an exhaust stack,
(ii) Moving an exhaust stack closer to the driver,
(iii) Moving an exhaust stack from a location where it is hidden from the driver's view by a part of the vehicle, such as the cab frame, to a location where it obstructs the driver's view, or 
(iv) Moving an exhaust stack from a location in the driver's peripheral view to a location in the driver's operational view.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (d), renumbering of subsections (e)-(k) to subsections (d)-(j), and new subsections (k) and (l) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12). For prior history, see Register 75, No. 21.
2. Amendment of subsection (k) EXCEPTION filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Editorial correction of subsection (k) (Register 79, No. 24).
4. Repealer and new subsections (k) and ( l) filed 5-6-81; effective thirtieth day thereafter (Register 81, No. 19).
5. Amendment of subsections (a)-(g) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
6. New subsections (m)-(m)(6)(C)(iv) and new appendix A filed 2-1-2012; operative 3-2-2012 (Register 2012, No. 5).

Appendix A to Section 1591

Visibility Test Procedures (Non-Mandatory)
A. General Requirements. 
1. Scope and Application. These test procedures may be used to determine compliance with Section 1591(m)(5).
2. Definitions. 
a) Exhaust Retrofit. An emission control device installed on a vehicle after the vehicle's manufacture, including, but not limited to, modified or added sections of exhaust pipe that connect the emission control device to the engine. For the purpose of these test procedures, an exhaust retrofit does not include an exhaust stack. A modification or addition made to a vehicle to install an exhaust retrofit, such as an expanded engine compartment hood or added heat shield, shall be considered part of an exhaust retrofit.
3. All sections of the exhaust retrofit shall be evaluated in accordance with the test procedures in Section B. A retrofit passes the visibility test if all sections of the retrofit meet the criteria for passing the visibility test in subsections B.1.b or B.2.d. It is not necessary for all sections of the exhaust retrofit to pass the same test criteria, but all sections must pass at least one of the test criteria. 
B. Visibility Test Procedures and Criteria. 
1. Determine which sections of an exhaust retrofit are inside the Original Equipment Manufacturer (OEM) engine compartment as follows: 
a) Determine the location of the retrofit section with respect to the OEM engine compartment. 
b) The retrofit section passes the visibility test if the section is located inside the boundary of the OEM engine compartment. 
2. Evaluate retrofit sections outside the OEM engine compartment as follows:
a) Position the vehicle as instructed in Section D.
b) Draw a rectangular boundary line on the ground 40 inches outside of the smallest rectangle that encompasses the perimeter of the vehicle. If a bucket or blade is attached to a vehicle, it shall be placed in the traveling position and shall be considered a part of the vehicle when drawing the boundary line to the front and rear of the vehicle, but not to the sides. 
c) Position a camera as instructed in Section G and photograph the exhaust retrofit from the driver's view.
d) The retrofit section passes the visibility test if photographs taken in accordance with subsection B.2.c. demonstrate that it meets one of the following test criteria: 
(i) The retrofit section is below the driver's view to the edge of the vehicle (see Figure 1), or
(ii) The retrofit section does not block the driver's view of the rectangular boundary line drawn according to subsection B.2.b.
C. Test Records.
1. Create a written record for each vehicle that passes the visibility test, unless all sections of the exhaust retrofit(s) are inside the OEM engine compartment. The record shall include the following information:
a) Type of vehicle, manufacturer, and model number;
b) Vehicle identification number;
c) Manufacturer and model of the exhaust retrofit;
d) The picture(s) demonstrating that the exhaust retrofit passes the visibility test criteria; 
e) A statement to the effect that the vehicle was evaluated in accordance with the visibility test procedures and met the requirements for passing the test;
f) The printed name and signature of the person conducting the visibility test along with that person's contact information; and
g) The test date.
D. Vehicle Position.
1. Park the vehicle on an area of compacted earth or paved surface with a gradient of no more than 3% in any direction. 
2. Turn off the vehicle engine, set the parking brake, and block the tires. Position attachments, such as buckets and blades, in the traveling position and block them in place. The bucket or blade may be lowered to the ground instead of being blocked in the traveling position, provided that this lowered position does not affect the visibility test results. 
E. Seat Reference Point. 
1. Locate and mark the seat reference point, as follows:
a) If the seat pan has a tilt feature, adjust the seat pan so that it is as level as possible.
b) If the seat can be adjusted forward and backward, adjust the seat so that it is midway between the maximum forward and maximum rearward position. 
c) If the seat height can be adjusted, adjust the seat height so that it is midway between the minimum and maximum height.
d) If the compression of the seat cushion is adjustable (air suspension seats), adjust the seat compression so that it is midway between its maximum and minimum range.
e) Use a carpenter's square to locate the seat reference point, as follows (see Figure 2):
(i) Rest the edge of one arm of the carpenter's square on the seat cushion such that it is level and bisects the seat from left to right.
(ii) Position the other arm of the carpenter's square such that it is vertical and its edge touches the most forward part of the seat backrest. 
f) Mark a point on the center line of the seat 4 inches in front of the most forward part of the backrest. This point is the seat reference point.
F. Camera Lens Height. 
1. The camera lens height represents the eye level of the average height and weight driver when sitting in the driver's seat. For seats that do not sink or compress when occupied, the camera lens height is 30 inches above the seat reference point on the unoccupied seat. If a seat sinks or compresses when occupied, such as an air suspension seat or a seat with a cushion, the average driver's eye level, when sitting in the seat, will be lower than 30 inches above the seat reference point on the unoccupied seat, in which case seat compression is to be determined by following these steps:
a) Select a person weighing at least 195 pounds to represent the driver. The driver shall sit on a hard bench or similar surface that does not compress when sat on. Measure and record the distance from the seat surface to the top of the driver's head. This distance is represented by distance D1 in Figure 3. 
b) With the driver seated upright in the driver's seat (with the seat adjusted as described in Section E.) measure and record the distance from the top of the driver's head to an overhead reference point directly above. This distance is represented by distance D2 in Figure 3. If an overhead reference point, such as a cab ceiling or a roll bar, is not available, construct an overhead reference point out of plastic pipe or other material. 
c) With the seat unoccupied and adjusted as provided in Section E, measure the distance from the overhead reference point to the seat reference point. This distance is represented by distance D3 in Figure 3.
d) Calculate seat compression as follows:
Seat compression = D1 + D2 - D3, as illustrated in Figure 3.
2. Calculate the camera lens height as follows:
Camera lens height = 30 inches minus the seat compression.
G. Camera Lens Position. 
1. The camera lens position represents the eye position of an average height and weight driver. Position the camera lens such that: 
a) It is directly above the seat reference point,
b) The distance between the center of the lens and the seat reference point is equal to the camera lens height calculated in subsection F.2, and 
c) It points directly towards the retrofit. 

View Graphic
§1592. Warning Methods.
Note     •     History

(a) Every vehicle with a haulage capacity of 2 1/2 cubic yards or more used to haul dirt, rock, concrete, or other construction material shall be equipped with a warning device that operates automatically while the vehicle is backing. The warning sound shall be of such magnitude that it will normally be audible from a distance of 200 feet and will sound immediately on backing. In congested areas or areas with high ambient noise which obscures the audible alarm, a signaler, in clear view of the operator, shall direct the backing operation.
(b) Those vehicles not subject to 1592(a) and operating in areas where their backward movement would constitute a hazard to employees working in the area on foot, and where the operator's vision is obstructed to the rear of the vehicle shall be equipped with an effective device or method to safeguard employees such as:
(1) An automatic back-up audible alarm which would sound immediately on backing, or
(2) An automatic braking device at the rear of the vehicle that will apply the service brake immediately on contact with any obstruction to the rear, or
(3) In lieu of 1 or 2 above, administrative controls shall be established such as:
(A) A spotter or flagger in clear view of the operator who shall direct the backing operation, or
(B) Other procedures which will require the operator to dismount and circle the vehicle immediately prior to starting a back-up operation, or
(C) Prohibiting all foot traffic in the work area.
(4) Other means shall be provided that will furnish safety equivalent to the foregoing for personnel working in the area.
(c) All vehicles shall be equipped with a manually operated warning device which can be clearly heard from a distance of 200 feet.
(d) The operator of all vehicles shall not leave the controls of the vehicle while it is moving under its own engine power.
(e) Hauling or earth moving operations shall be controlled in such a manner as to ensure that equipment or vehicle operators know of the presence of rootpickers, spotters, lab technicians, surveyors, or other workers on foot in the areas of their operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (c) and (d) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer and new section filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
3. Amendment of subsections (a), (b) and (e) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6). 
§1593. Haulage Vehicle Operation.
Note     •     History

(a) Vehicles shall not be operated at speeds which will endanger the driver or traffic.
(b) Haulage vehicles shall be under positive control during all periods of operation. When descending grades, the vehicles shall be kept in gear.
(c) When wire rope is being wound on a power-driven drum, a mechanical threading device shall be used, where practicable, to guide the cable. When this operation must be done manually, the feet shall not be used and the hands shall be kept at least 3 feet from the drum.
(d) All vehicles in use shall be checked at the beginning of each shift to assure that the following parts, equipment, and accessories are in safe operating condition and free of apparent damage that could cause failure while in use: service brakes, including trailer brake connections; parking system (hand brake); emergency stopping system (brake); tires; horn; steering mechanism; coupling devices; seat belts; operating controls; and safety devices. All defects affecting safe operation shall be corrected before the vehicle is placed in service. These requirements also apply to equipment such as lights, reflectors, windshield wipers, defrosters, fire extinguishers, etc., where such equipment is necessary.
(e) Exhaust Gases. Vehicle engines shall not be allowed to run in closed garages or other enclosed places, unless vents are provided which effectively remove the exhaust gases from the building.
(f) Securing Loads. Loads on vehicles shall be secured against displacement.
(g) Tire Repair. Except for emergency field repairs, a safety tire rack, cage, or equivalent protection shall be used when inflating truck or equipment tires after mounting on a rim, if such tires depend upon a locking ring or similar device to hold them on the rim.
(h) Parking Brakes. Whenever the equipment is parked, the parking brake shall be set. Equipment parked on inclines shall have the wheels chocked and the parking brake set or be otherwise prevented from moving by effective mechanical means.
(i) Scissor points on all front-end loaders which constitute a hazard to the operator shall be adequately guarded.
(j) A loader shall not travel without adequate visibility for the driver and stability of the equipment.
(k) No loading device shall be left unattended until the load or bucket is lowered to the ground, unless proper precautions such as blocking are taken to prevent accidental lowering.
(l) All high lift trucks (e.g., fork lifts), industrial trucks, and rider trucks used on a construction site shall conform with the applicable orders in Article 25 of the General Industry Safety Orders and:
(1) If a load is lifted by two or more trucks working in unison, the proportion of the total load carried by any one truck shall not exceed its capacity.
(2) Steering or spinner knobs shall not be attached to the steering wheel unless the steering mechanism is of a type that prevents road reactions from causing the steering handwheel to spin. The steering knob shall be mounted within the periphery of the wheel.
(m) Loading buckets, scoops, blades or similar attachments on haulage vehicles which do not provide fall protection equivalent to that required by Section 3210 of the General Industry Safety Orders or Article 24 of the Construction Safety Orders (starting with Section 1669) shall not be used as work platforms or to elevate or transport employees except as provided by Section 1597 of these Orders.
(n) The use, care and maintenance of slings used in lifting suspended loads with excavators, loaders and similar equipment shall comply with the requirements of Article 101 of the General Industry Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (i) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment of subsection (a), repealer of former subsection (c), relettering and amendment of former subsections (d) and (e) to subsections (c) and (d) and relettering of former subsections (f)-(i) to subsections (e)-(h) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
3. New subsections (i)-(l) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
4. Amendment of subsection (d) and new subsection (m) filed 4-11-94; operative 5-11-94 (Register 94, No. 15).
5. Amendment of subsection (f) filed 6-28-2004; operative 7-28-2004 (Register 2004, No. 27).
6. New subsection (n) filed 10-23-2012; operative 11-22-2012 (Register 2012, No. 43).
§1594. Fueling.
Note     •     History

(a) No internal combustion engine fuel tank shall be refilled with a flammable liquid while the engine is running. Fueling shall be done in such a manner that the likelihood of spillage is minimal. If a spill occurs it shall be washed away completely, evaporated, or equivalent action taken to control vapors before restarting the engine. Fuel tank caps shall be replaced before starting the engine.
(b) A good metal-to-metal contact shall be kept between fuel supply tank or nozzle of supply hose and the fuel tank.
(c) No open lights, welding, or sparking equipment shall be used near internal combustion equipment being fueled or near storage tanks.
(d) No smoking shall be permitted at or near the gasoline storage area or on equipment being fueled. Post a conspicuous sign in each fuel storage and fueling area stating: “NO SMOKING WITHIN 25 FEET.”
(e) Class I liquids shall not be dispensed by pressure from drums, barrels, and similar containers. Approved pumps taking suction through the top of the container or approved self-closing faucets shall be used.
(f) No repairs shall be made to equipment while it is being fueled.
(g) Each fuel storage tank or drum shall have the word “Flammable” conspicuously marked thereon and should also have a similarly sized word indicating the contents of the container.
(h) A dry chemical or carbon dioxide fire extinguisher rated 6:BC or larger shall be in a location accessible to the fueling area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section title, and repealer and new subsection (a) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Amendment of subsections (e) and (h) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
§1595. Repair of Haulage Vehicles, Tractors, Bulldozers and Similar Equipment.
Note     •     History

(a) No repairs shall be attempted on power equipment until arrangements are made to eliminate possibility of injury, caused by sudden movements or operation of the equipment or its parts. When the equipment being repaired is a bulldozer, carryall, ripper, or other machine having sharp or heavy moving parts such as blades, beds, or gates, such parts shall be lowered to the ground or securely and positively blocked in an inoperative position.
All controls shall be in a neutral position, with the engine(s) stopped and brakes set, unless work being performed requires otherwise.
(b) Trucks with dump bodies shall be equipped with positive means of support, permanently attached, and capable of being locked in position to prevent accidental lowering of the body while maintenance or inspection work is being done. In all cases where the body is raised for any work, the locking device shall be used.
NOTE

Authority cited: Section 142.3, Labor Code: Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (b) through (f) filed 10-2-70; effective thirtieth day thereafter (Register 70, No. 40).
2. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No.12).
4. Amendment of subsection (a) filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
§1596. Roll-Over Protective Structures (ROPS).
Note     •     History

(a) Installation Schedule. ROPS and seat belts (see Section 1596(g)) shall be installed and used on all equipment specified in this section in accordance with the following effective dates for each type or use of equipment listed below:
Note: The provisions of this section do not apply to non-rider equipment.
(1) Scrapers, tractors, front-end loaders, bulldozers, motor graders and water wagon prime movers having brake horsepower ratings above 20: 

Equipment Manufacture Dates 	Effective Date for ROPS and Seat Belts
(A) On or after April 1, 1971	 April 1, 1971
(B) On or after July 1, 1969	 January 1, 1977
  and prior to April 1, 1971
(C) On or after January 1, 1960	 July 1, 1977
  and prior to July 1, 1969
(D) Prior to January 1, 1960	 July 1, 1977
  (If operated under any of
  the conditions specified
  in Section 1596(a)(2)(B),
  (i) or (ii) or (iii).)

EXCEPTIONS to Section 1596(a)(1):

(1) Side boom, pipe-laying tractors.

(2) An operator restraining system, acceptable to the Division, shall be permitted to be used in lieu of the required seat belts on motor graders not designed for seated operations.

(3) ROPS or seat belts shall not be required for the equipment identified in Section 1596(a)(1)(D) when loading/unloading from transportation vehicles on relatively flat surfaces.
(2) Rollers and compactors having a weight greater than 5,950 pounds.
(A) Rollers or compactors having segmented and/or sheepsfoot-type wheels or drums by July 1, 1977.
(B) All rollers and compactors (other than those specified in Section 1596(a)(2)(A)) when operating under any of the following conditions on or after July 1, 1977:
(i) Parallel to and within 3 feet of a down slope steeper than 3 feet horizontal to 1 foot vertical, or
(ii) Within 3 feet of a vertical or nearly vertical drop-off exceeding 1 foot in height, or
(iii) On any grade exceeding 15 percent (10 feet horizontal to 1 1/2 feet vertical).

EXCEPTIONS to Section 1596(a)(2)(B):

(1) Smooth, steel wheel rollers where the operator stands at the extreme rear of the vehicle.

(2) Rollers and compactors identified in Section 1596(a)(2)(B) when loading/unloading from transportation vehicles on relatively flat surfaces.

(b) ROPS Approval. ROPS shall be approved for their intended use as defined in Section 1505 of these Orders.

EXCEPTION: See Section 1596(i).
(c) Overhead Protection. ROPS shall provide operator protection against the hazard of falling objects.
(d) Retrofit Design Criteria. The following items comprise the basic design criteria for retrofit ROPS used on scrapers, tractors, front-end loaders, bulldozers, motor graders and water wagon prime movers manufactured prior to April 1, 1971, and for rollers and compactors manufactured prior to July 1, 1977:
(1) Designs shall be based on one of the following:
(A) SAE Recommended Practice J-1040-a, February, 1975, or
(B) Structural analysis calculations equivalent to SAE J-1040-a, or
(C) Capability to support at least 2 times the gross machine weight applied vertically subsequent to an independently applied side load not less than 1.25 times the gross machine weight applied horizontally at the top of ROPS.
Note: 1. Gross vehicle weight includes the ROPS, all fuels and other components required for normal use of the vehicle.
2. The structural characteristics of the vehicle frame must be included in the design of the ROPS system.
3. The mounting brackets shall be capable of withstanding vibration and the design loads applied to the ROPS.
(2) The inside dimensions of the ROPS shall meet the deflection limiting volume requirements of SAE J-397-a, July, 1973.
(3) The design of the ROPS shall be approved by a registered civil or mechanical engineer. 

EXCEPTION: See Section 1596(i).
(e) Modification or Repair. ROPS required by Section 1596(a) may be modified or repaired providing such modification or repair complies with the provisions of Section 1596(d) or Federal OSHA standard 1926.1000(c)(2).
(f) Labeling. Each ROPS shall bear a label with the following information:
(1) Name and address of manufacturer.
(2) Manufacturer's ROPS model number.
(3) Make and model of equipment for which the ROPS is designed.
Labels shall be stamped plates or other permanently attached means of identification, and shall not be obscured, obliterated or changed.
(g) Seat Belts (i.e., lap belts) and Combination Pelvic/Upper Torso Restraint Systems. Seat belts shall be adequate for the intended service and in good repair. Belts previously approved by the Division and installed prior to January 1, 1971, are acceptable provided they remain serviceable. Belts installed on or after January 1, 1971, shall be labeled as meeting the requirements of the Society of Automotive Engineers (SAE) standard in effect at the time the belt was manufactured. Where installed, combination pelvic/upper torso (Type 2) restraint systems shall be labeled as meeting the requirements of SAE J2292 AUG97, Combination Pelvic/Upper Torso (Type 2) Operator Restraint Systems For Off-Road Work Machines.
Note: For the purpose of subsection (g), the term “upper torso restraint” means a portion of a seat belt assembly intended to restrain movement of the chest and shoulder regions.
(1) Adjustment. The seat belts shall be capable of snug adjustment by the employee by a means easily within the employee's reach or shall be provided with an automatic locking or emergency locking retractor.
(2) Marking. Each seat belt and combination pelvic/upper torso restraint system shall be permanently and legibly marked or labeled with year of manufacture, model or style number and name or trademark of manufacturer or distributor, or of the importer if manufactured outside of the United States. 
(3) Stiffness. To minimize “roping,” the seat belt webbing shall be woven and/or treated to produce a stiffness in the transverse direction equal to or greater than that obtained with a weave of double plain with one up, one down binder,without stuffers. This stiffness shall be effective for the usable life of the webbing. The webbing shall be flexible in the longitudinal direction to permit adjustment to -40oF.
(4) Material. The seat belt webbing material shall have a resistance to acids, alkalis, mildew, aging, moisture and sunlight equal to or better than that of untreated polyester fiber. The webbing shall not be less than three (3) inches in width; its ends shall be protected or treated to prevent unravelling and the breaking strength shall be at least 6,000 pounds.
Note: For seat belt requirements for agricultural and industrial tractors, see Section 3653, General Industry Safety Orders.
(5) Release. The seat belt buckle shall be designed so that it can be easily released with a single motion. It shall also be capable of being released with either available mittened hand.
(6) Closure. The seat belt buckle shall be designed so that it can be easily closed with mittened hands.
(7) Location. When a two-piece belt is used, the adjustment means shall be on each half of the belt to allow for the centering of the buckle on the operator.
(8) Operation. Each adjustment shall be capable of being made with the use of one mittened hand.
(9) Tests. A typical complete seat belt assembly, including webbing, straps, buckles, adjustment and attachment hardware, and retractors, shall be capable of passing the following destructive tests:
(A) The assembly loop shall withstand, without failure, a force of not less than 5,000 pounds and each structural component of the assembly a force of not less than 2,500 pounds.
(B) The length of the assembly loop between anchorages shall not increase more than 14 inches and each half of the assembly loop shall not increase more than 7 inches when subjected to a force of 5,000 pounds.
(C) Any webbing cut by the hardware during testing shall have a breaking strength at the cut of not less than 4,200 pounds.
(h) Wheel-type Agricultural or Industrial Tractors.
(1) ROPS and seat belts shall be installed and used on all wheel-type agricultural or industrial tractors used in construction in accordance with the installation schedule in Section 1596(a)(1).
(2) The ROPS specified above shall be approved for their intended use as defined in Section 1505.
(3) Protective enclosures, if used, shall be approved for their intended use as defined in Section 1505.
(4) ROPS approvals granted for wheel-type agricultural or industrial tractors will remain effective for the specified models of equipment for which they were granted, unless revoked for cause. These ROPS shall bear a label with their California State Approval Number.
(i) Existing ROPS Approvals. ROPS and canopies installed prior to July 24, 1976 and having a label with a California approval number on the specific model of construction equipment for which the approval was granted shall be deemed to be in compliance with the provisions of this section relating to ROPS.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code
HISTORY

1. Amendment of subsections (a) and (d) filed 5-25-76 as an emergency; effective upon filing (Register 76, No. 22). For prior history, see Register 76, No. 6.
2. Repealer and new section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
3. Amendment of subsections (b) and (d) and new subsection (i) filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
4. Amendment of subsections (a)(1) and (a)(2)(B) filed 5-6-81; effective thirtieth day thereafter (Register 81, No. 19).
5. Amendment filed 2-7-86; effective thirtieth day thereafter (Register 86, No. 6).
6. Amendment of subsections (g)-(g)(2) filed 3-4-98; operative 4-3-98 (Register 98, No. 10).
7. Amendment of subsections (b), (f)(4), (h)(2) and (h)(3) filed 5-17-99; operative 6-16-99 (Register 99, No. 21).
Article 11. Vehicles, Traffic Control, Flaggers, Barricades, and Warning Signs
§1597. Jobsite Vehicles.
Note     •     History

Jobsite vehicles as defined in Section 1504 of these Orders, which are utilized on jobsites exclusively and are, therefore, excluded from the provisions of applicable traffic and vehicular codes shall be equipped and operated in the following manner:
(a) Vehicles shall have a service brake system, an emergency brake system, and a parking brake system. These systems may use common components, and shall be maintained in operable condition.
(b) Whenever visibility conditions warrant additional light, all vehicles, or combinations of vehicles, in use shall be equipped with at least two headlights and two taillights in operable condition.
(c) All vehicles, or combination of vehicles, shall have brake lights in operable condition regardless of light conditions.
(d) Vehicles with cabs shall have windshields and powered windshield wipers. Cracked or broken windshields shall be replaced promptly. Where fogging or frosting of windshields is prevalent, operable defogging or defrosting equipment shall be required.
(e) Tools and material shall be secured to prevent movement when transported in the same compartment with employees.
(f) Vehicles used to transport employees shall have seats firmly secured and adequate for the number of employees to be carried.
(g) Vehicles on construction sites, not covered by the provisions of 1596 (g) or applicable provisions of the State of California Motor Vehicle Code shall have installed seat belts and anchorages meeting the requirements of 49 CFR Part 571 (Department of Transportation, Federal Motor Vehicle Safety Standards).
(h) The employer shall require the use of seat belts.
(i) Vehicles excluded from provisions of 1591 and the State of California Motor Vehicle Code shall be equipped with fenders or, if vehicle is not designed for fenders, mud flaps.
(j) Vehicles not covered under other sections shall be checked at the beginning of each shift to assure that the following parts, equipment, and accessories are in safe operating condition and free of apparent damage that could cause failure while in use: service brakes, including trailer brake connections; parking system (hand brake); emergency stopping system (brakes); tires; horn; steering mechanism; coupling devices; seat belts; operating controls; and safety devices. All defects shall be corrected before the vehicle is placed in service. These requirements also apply to equipment such as lights, reflectors, windshield wipers, defrosters, fire extinguishers, etc., where such equipment is necessary.
(k) Where vehicles are operated, temporary covers for conduits, trenches and manholes and their supports, when located in roadways and vehicular aisles, shall be designed to carry at least 2 times the maximum intended vehicular live load and they shall be designed and installed as to prevent accidental displacement.
(l) Exhaust retrofits. If an exhaust retrofit is installed on a vehicle, it shall be installed and maintained in accordance with Section 1591(m).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. New subsection (i) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Editorial correction of subsection (g) (Register 82 No. 3).
4. Amendment of Article 11 Title and Section 1597 filed 9-10-85; effective thirtieth day thereafter (Register 85, No. 37).
5. Editorial correction of Article 11 Title filed 12-3-85; effective thirtieth day thereafter (Register 85, No. 49).
6. Amendment of subsection (d) filed 4-4-96; operative 5-4-96 (Register 96, No. 14).
7. Amendment of first paragraph filed 3-5-2008; operative 4-4-2008 (Register 2008, No. 10).
8. New subsection (l) filed 2-1-2012; operative 3-2-2012 (Register 2012, No. 5).
§1598. Traffic Control for Public Streets and Highways.
Note     •     History

(a) Where a hazard exists to employees because of traffic or haulage conditions at work sites that encroach upon public streets or highways, a system of traffic controls in conformance with the “California Manual on Uniform Traffic Control Devices for Streets and Highways, September 26, 2006,” which is herein incorporated by reference and referred to as the “Manual”, published by the State Department of Transportation, shall be required so as to abate the hazard.

Note: Additional means of traffic control, such as continuous patrol, detours, barricades, or other techniques for the safety of employees may be employed. 
(b) Specifications for the size and design of signs, lights, and devices used for traffic control shall be as described in the “Manual”, pursuant to the provisions of California Vehicle Code Section 21400, which is incorporated by this reference.
(c) Employees (on foot) exposed to the hazard of vehicular traffic shall wear warning garments such as vests, jackets, or shirts manufactured in accordance with the requirements of the American National Standards Institute (ANSI)/International Safety Equipment Association (ISEA) 107-2004, High Visibility Safety Apparel and Headwear.
(d) During hours of darkness, warning garments shall be retroreflective and shall be manufactured in accordance with the requirements of the American National Standards Institute (ANSI)/International Safety Equipment Association (ISEA) 107-2004, High Visibility Safety Apparel and Headwear. The retroreflective material shall be visible at a minimum of 1,000 feet. White outer garments with retroreflective material that meets the above requirements may be worn during hours of darkness but not during snow or fog conditions, in lieu of colored vests, jackets and/or shirts.
(e) The employer shall the select the proper type (class) of high visibility safety apparel for a given occupational activity by consulting the Manual, apparel manufacturer, ANSI/ISEA 107-2004, Appendix B or the American Traffic Safety Services Association (ATSSA).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer and new section filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 9-6-83; effective thirtieth day thereafter (Register 83, No. 37).
4. Amendment of section including new subsection (d) filed 11-30-92; operative 12-30-92 (Register 92, No. 49).
5. Amendment of subsections (a), (c) and (d) filed 2-19-97; operative 3-21-97 (Register 97, No. 8).
6. Amendment of subsections (a) and (b) filed 12-29-2006; operative 1-28-2007 (Register 2006, No. 52).
7. Amendment of subsections (c) and (d) and new subsection (e) filed 7-23-2009; operative 8-22-2009 (Register 2009, No. 30).
§1599. Flaggers.
Note     •     History

(a) A flagger or flaggers shall be utilized at locations on a construction site where barricades and warning signs cannot control the moving traffic. Unless this section provides differently, the number of flaggers required and matters regarding the deployment of the flagger or flaggers shall be according to the California Manual on Uniform Traffic Control Devices for Streets and Highways, September 26, 2006, published by the State Department of Transportation (the Manual), which is herein incorporated by reference.
(b) When a flagger or flaggers are required, they shall be placed in relation to the equipment or operation so as to give effective warning.
(c) Placement of warning signs shall be according to the Manual.
(d) Flaggers shall wear warning garments such as vests, jackets, or shirts manufactured in accordance with the requirements of the American National Standards Institute (ANSI)/International Safety Equipment Association (ISEA) 107-2004, High Visibility Safety Apparel and Headwear. 
(e) During the hours of darkness, flaggers' stations shall be illuminated such that the flagger will be clearly visible to approaching traffic and flaggers shall be outfitted with reflectorized garments manufactured in accordance with the requirements of the American National Standards Institute (ANSI)/International Safety Equipment Association (ISEA) 107-2004, High Visibility Safety Apparel and Headwear. The retroreflective material shall be visible at a minimum distance of 1,000 feet. White outer garments with retroreflective material that meets the above requirements may be worn during hours of darkness but not during snow or fog conditions, in lieu of colored vests, jackets and/or shirts.
(f) The employer shall select the proper type (class) of high visibility safety apparel for a given occupational activity by consulting the Manual, apparel manufacturer, ANSI/ISEA 107-2004, Appendix B or the American Traffic Safety Services Association (ATSSA).
(g) Flaggers shall be trained in the proper fundamentals of flagging moving traffic before being assigned as flaggers. Signaling directions used by flaggers shall conform to the Manual. The training and instructions shall be based on the Manual and work site conditions and also include the following:
(1) flagger equipment which must be used,
(2) layout of the work zone and flagging station,
(3) methods to signal traffic to stop, proceed or slow down,
(4) methods of one-way traffic control,
(5) trainee demonstration of proper flagging methodology and operations,
(6) emergency vehicles traveling through the work zone,
(7) handling emergency situations,
(8) methods of dealing with hostile drivers,
(9) flagging procedures when a single flagger is used (when applicable),
Documentation of the training shall be maintained as required by Section 3203, Injury Illness and Prevention Program of the General Industry Safety Orders.
(h) Flaggers shall be trained by persons with the qualifications and experience necessary to effectively instruct the employee in the proper fundamentals of flagging moving traffic.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment filed 9-6-83; effective thirtieth day thereafter (Register 83, No. 37).
3. Amendment of subsections (c)-(f) filed 11-30-92; operative 12-30-92 (Register 92, No. 49).
4. Amendment of subsections (c), (d) and (e) filed 2-19-97; operative 3-21-97 (Register 97, No. 8).
5. Amendment of subsection (f) and new subsections (f)(1)-(g) filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
6. Amendment of subsection (c) filed 12-29-2006; operative 1-28-2007 (Register 2006, No. 52).
7. Amendment of subsections (d) and (e), new subsection (f) and subsection relettering filed 7-23-2009; operative 8-22-2009 (Register 2009, No. 30).
8. Amendment of subsections (a)-(c) and (g) filed 5-25-2010; operative 6-24-2010 (Register 2010, No. 22).
Article 12. Pile Driving and Pile Extraction
§1600. Pile Driving.
Note     •     History

(a) A danger zone shall be clearly delineated around the operating hammer where employees involved in cutting, chipping or welding operations shall be prohibited so as to protect them from the hazards of falling objects.
(1) The employer shall establish the danger zone.
(2) The danger zone shall be maintained under the supervision of a competent person.
(b) A blocking device or other effective means capable of safely supporting the weight of the hammer shall be provided to secure the hammer in the leads and shall be used at all times when any employee is working under the hammer.
(c) Pressurized Lines and Hoses.
(1) All pile driver hose connections including those to pile driver hammers, pile ejectors, or jet pipes shall be securely tethered with an adequate length of at least 1/4 inch (0.635 cm) alloy steel chain having 3,250 pounds (1,500 kg) rated capacity (working load limit), or equivalent strength alloy steel cable to prevent the line from thrashing around in case the coupling becomes disconnected.
(A) Chains or wire rope shall not be shortened with knots, bolts or other makeshift devices.
(2) Steam and compressed air line controls shall consist of two shutoff valves. At least one shutoff valve shall be equipped with a quick-acting lever within easy reach of the pile hammer operator.
(d) When used, platforms shall be of sufficient size so that the employee can easily avoid contact with the hammer. It shall be surrounded on all sides, except between the hammer leads, with a railing or guard line 42 to 45 inches in height. Guard lines shall be taut and at least 3/8 inch wire rope or equivalent. If railings are used, they shall be constructed in accordance with Section 1620.

Exception: Pipe or structural steel railings of equivalent strength may be used.
(e) Precautions shall be taken to ensure that objects are secured against wind and accidental displacement, to prevent tools, material, and equipment from falling off elevated platforms. Toeboards shall be installed on all sides of the platform in accordance with Section 1621(b).
(f) Access to Pile Leads.
(1) Leads shall be provided with a continuous ladder or horizontal bracing that is uniformly spaced at intervals no greater than 18 inches, and the leads shall be equipped with adequate anchorages, so that the employee may engage a personal fall protection system to the leads. The personal fall protection system shall comply with the requirements of Article 24.
(2) The operator of the equipment will apply all brakes and necessary safety switches to prevent uncontrolled motion of the equipment before an employee may access the leads.
(g) Sheet Pile Access.
(1) If an employee is required to go aloft on sheet piling, the employee shall use an aerial device or ladder.
(A) Employee(s) shall not ride the hammer, crane load block or overhaul ball.
(B) A crane suspended personnel platform may be used for access if used in accordance with Section 1616.6(p).
(2) Sheet piling shall be firmly stabilized before workers are permitted to work on them.
(3) Stirrups shall be provided for use by employees who must take a position on sheet piles.
(h) Specific Pile Driving Requirements.
(1) Where work is to be performed, walkways at least 20 inches in width shall be provided across piles or other open work with the exception of those piles on which the driver is standing.
(2) Before any type of pile is placed in position for driving, the pile head must be cut square to the driving head and free of concrete spall, steel fragments, or other debris.
(3) Where a drop hammer is used for driving piling other than sheet piling, a driving head or bonnet shall be provided to bell the head of the pile and hold it true in the leads.
(i) Pile Hammer Requirements.
(1) General.
(A) The pile hammer, clamp, power unit and supply hoses shall be inspected in accordance with their manufacturer's recommendations. Associated equipment such as the couplings, support and lifting equipment, rigging and retaining bolts shall be inspected before each shift and periodically during use.
(B) Driving heads shall be kept aligned with the pile and pile hammer as a pile is driven.
(2) Vibratory pile hammers.
(A) When driving with a crane-suspended vibratory pile hammer, the person operating the remote on/off clamp switch shall be in direct visual contact with the signal person.
(B) The exciter (vibratory pile hammer) shall not be unclamped from the pile when there is any line pull on the suspension or when the pile hammer is still vibrating.
(j) Ring buoys shall be provided in accordance with Article 13 and located where readily available at intervals not exceeding 200 feet on all structures over water under the course of construction.
Where employees are concentrated in groups, there shall be additional ring buoys consisting of not less than 1 additional buoy for each 25 employees in that area. Portable standards or equivalent means to hold the ring buoys in plain view shall be provided. Life saving boats shall be provided in accordance with Article 13.
(k) Pile driving from barges and floats. Barges or floats supporting pile driving operations shall meet the requirements of Article 13. All floating rigs, with the exception of small work rafts or pontoons, shall be equipped with at least 2 ring buoys.
(l) In every crew there shall be a designated signaler, and the engine or winch operator shall receive signals from no other except, that when an employee is aloft, the hammer shall not be moved except on the signal of the employee aloft.

Note: For recommended standard hand signals, see Plate C-11.
(m) All deck engines, not operated by an operator on the throttle sides, shall be equipped with a cross extension of the throttle that is within the reach of the spool tender.
(n) Hoist Drums.
(1) Every hoisting drum on a pile driver that uses a pawl and ratchet arrangement to hold it in position shall be equipped with an effective pawl and ratchet capable of holding the rated load capacity when it is suspended. 
(2) This pawl shall be readily visible from the engine operator's station or shall be provided with a directly connected and positive telltale device that will be visible.
(3) Pawls which automatically disengage either by relieving the load or rotating the drum are prohibited.
(o) Pile Leads.
(1) Stop blocks shall be provided for the leads to prevent the hammer from being raised against the head block.
(2) Guards or devices shall be provided across the top of the head block to prevent the cable from jumping out of the sheaves.
(3) When the leads must be inclined in the driving of batter piles, provisions shall be made to stabilize the leads.
(4) Pile gates, when used, shall be of a size sufficient to secure piling at the bottom of the leads during driving operations.
(p) Pile Driving Rig Stability.
(1) Guys, outriggers, thrustouts, or counter-balances shall be provided as necessary to maintain stability of pile driver rigs.
(2) Hammers shall be lowered to the bottom of the leads while the pile driver is being moved (traveling).
(3) All employees shall be kept clear when piling is being hoisted into the leads.
(q) When steel tube (pipe) piles are being “blown out,” employees shall be kept well beyond the range of falling materials.
(r) When driving jacked piles, all access pits shall be provided with ladders and bulkheaded curbs to prevent material from falling into the pit.

Note: Section 5158 of the General Industry Safety Orders prescribes the minimum standards for preventing employee exposure to dangerous air contamination and/or oxygen deficiency in confined spaces.
(s) Hoisting of piling shall be done by hooks provided with a means to prevent accidental disengagement or a shackle shall be used in place of a hook.
(t) Taglines shall be used for controlling unguided piles and free hanging (flying) hammers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (q)-(w) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
3. Amendment of subsection (f) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
4. Amendment filed 5-24-2004; operative 6-23-2004 (Register 2004, No. 22).
5. Amendment filed 10-27-2010; operative 11-26-2010 (Register 2010, No. 44).
6. Editorial correction amending article heading and subsection (p)(2) (Register 2011, No. 24).
7. Amendment of subsection (k) filed 8-5-2011; operative 9-4-2011 (Register 2011, No. 31).
8. Amendment of subsection (g)(1)(B) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1600.1. Pile Extraction.
Note     •     History

(a) The rated capacity of the hammer's suspension shall not be exceeded. The manufacturer's recommendations for extracting piling shall be observed at all times.
(b) The provisions of Subsection 1600(i) shall apply to the extraction process.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-27-2010; operative 11-26-2010 (Register 2010, No. 44).
§1601. Methods of Unloading and Storing Piles.
Note     •     History

Piles shall be unloaded and stored in a controlled manner so that employees are not exposed to the hazard of rolling or falling piles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Repealer and new section filed 5-24-2004; operative 6-23-2004 (Register 2004, No. 22).
3. Amendment of section heading and section filed 10-27-2010; operative 11-26-2010 (Register 2010, No. 44).
Article 13. Work Over or Near Water
§1602. Work Over or Near Water.
Note     •     History

(a) The following safety devices shall be provided for and used by employees at those locations where the danger of drowning exists: 

Exception: Where employees are continuously protected by railings, nets, safety belts or other applicable provisions of these Orders.
(1) Personal Flotation Devices (PFD). Employees shall be required to wear U. S. Coast Guard approved personal flotation devices that are marked or labeled Type I PFD, Type II PFD, or Type III PFD, or a U.S. Coast Guard approved Type V PFD that is marked or labeled for use as a work vest for commercial use or for use on vessels.
(2) Ring Buoys. U. S. Coast Guard approved 30-inch ring buoys with at least 150 feet of 600 pound capacity line shall be readily available for emergency rescue operations. Distance between ring buoys shall not exceed 200 feet.
(3) Lifesaving Boats. One or more lifesaving boats, either manually or power-operated, shall be provided and readily accessible at all times. Lifesaving boats shall be properly maintained, ready for emergency use and equipped with oars and oarlocks attached to the gunwales, boathook, anchor, ring buoy with 50 feet of 600 pound capacity line and two life preservers in accordance with Section 1602(a)(1) and (2). Oars are not required on boats that are powered by an inboard motor.
(A) Where, because of swift current, lifeboats cannot be used, a line shall be stretched across the stream with tag lines or floating planks trailing in the water at intervals not to exceed 6 feet. If this is impracticable, some other arrangement for providing effective life lines near the water surface shall be provided.
(4) The employer shall ensure that there is in the vicinity of each barge in use at least one portable or fixed ladder which will reach from the top of the apron to the surface of the water. If the above equipment is not available at the pier, the employer shall furnish it during the time that the barge is in use.
(b) Provisions for rendering first aid and medical assistance shall be in accordance with General Industry Safety orders, Section 3400.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of subsections (a)-(c) to (d)-(h) and new subsections (a)-(c) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer of Article 13 (Section 1602) and new Article 13 (Sections 1602-1603) filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
3. Amendment of subsection (a)(3) filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
4. Amendment of subsection (a)(1) filed 12-8-2004; operative 1-7-2005 (Register 2004, No. 50).
5. New subsections (a)(4) and (b) filed 8-5-2011; operative 9-4-2011 (Register 2011, No. 31).
§1603. Access to or from Wharves, Floats, Barges, and/or Boats.
Note     •     History

(a) Ramps for access of vehicles to or between barges shall be of adequate strength, provided with side boards, well maintained, and properly secured.
Note: See also Section 3337.
(b) Unless employees can step safely to or from the wharf, float, barge, or river towboat, either a ramp meeting the requirements of subsection (a), or a safe walkway shall be provided.
(c) When dredge discharge pipe lines are used as walkways, they shall be provided with a flat surface walkway at least 12 inches wide, anchored to the pipe line to prevent displacement. A railing providing at least a  single rail or taut rope 42 to 45 inches high shall be provided along one side. When rope is used, it shall be at least as strong as 3/4-inch diameter Manila or at least 3/8-inch diameter wire rope, or equivalent.
(d) Catwalks or platforms shall be at least 20 inches wide with railings provided at all locations over bodies of water more than 4 feet deep. Plank for such use at those locations subject to immersion shall be rough sawn and treated to resist rot. Railings shall be installed in accordance with the provisions of Section 1620.
(e) When the upper end of the means of access rests on or is flush with the top of the bulwark, substantial steps properly secured and equipped with at least one substantial hand rail not less than thirty-four (34) inches or more than thirty-eight (38) inches above the tread nosing shall be provided between the top of the bulwark and the deck.
(f) Obstructions shall not be laid on or across the gangway, ramp, catwalk or other means of access.
(g) The means of access shall be adequately illuminated for its full length.
(h) Jacob's ladders shall be of the double rung or flat tread type. They shall be well maintained and properly secured.
(i) A Jacob's ladder shall either hang without slack from its lashings or be pulled up entirely.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Amendment of section heading and section filed 8-5-2011; operative 9-4-2011 (Register 2011, No. 31).
§1603.1. Working Surfaces of Barges.
Note     •     History

(a) Employees shall not be permitted to walk along the sides of covered lighters or barges with coamings more than 5 feet high unless there is a 3-foot clear walkway or a grab or a taut hand line is provided.
(b) Decks and other working surfaces shall be maintained in a safe condition as prescribed by Section 1511.
(c) Employees shall not be permitted to pass fore and aft, or over, or around deck loads, nor shall employees be permitted to walk over deck loads from rail to coaming, unless there is a safe passage.
(d) If it is necessary for an employee to stand at the outboard or inboard edge of the deck load where less than 36 inches of bulwark, rail, coaming, or other protection exists, the employee shall be provided with a suitable means of protection against falling from the deck load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-5-2011; operative 9-4-2011 (Register 2011, No. 31).
Article 14. Construction Hoists
§1604. Personnel Hoists.
Note     •     History

Sections 1604.1 through 1604.30 are taken, with revisions necessary to conform to State codification numbering requirements and existing laws, from ANSI 10.4-1973 American National Standard Safety Requirements for Personnel Hoists.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 14 (Sections 1604-1607) and new Article 14 (Sections 1604, 1604.1-1604.30, 1605, 1605.1-1605.21) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46). For prior history, see Register 70, No. 48.
§1604.1. General.
History

(a) Scope.
(1) These Safety Orders apply to the design, construction, installation, operation, inspection, testing, maintenance, alterations, and repair of structures and hoists which are installed inside or outside buildings during construction, alteration, or demolition, and are used to raise and lower workers and other persons connected with, or related to, the building project. The hoist may also be used for transportation of materials.
(2) These Safety Orders shall not apply to hoists for raising and lowering materials with no provision for carrying personnel nor to mine hoists.
(3) Endless belt-type manlifts are prohibited for use as personnel hoists.
(4) Non-guided or wire-rope guided hoists are prohibited.

Exception: Wire-rope guided personnel hoists may be used in chimney and stack construction provided the hoist is designed by a civil or mechanical engineer registered in California; the hoist is erected under the supervision of a qualified engineer; the engineering design and calculations have been approved by the Division of Industrial Safety; and, a valid operating permit has been issued by the Division prior to use of the hoist.
(b) Purpose.
The purpose of this Standard is to provide safety requirements for life, limb, and property for those engaged in occupations requiring the use of personnel hoists. The requirements of this Standard are minimum for that purpose.
(c) Engineering Supervision.
(1) The employer shall comply with the manufacturer's specifications and limitations applicable to the operation of all hoists and elevators. Where manufacturer's specifications are not available, the limitations assigned to the equipment shall be based on the determinations of a professional engineer competent in the field.
(2) Personnel hoists used in bridge tower construction shall be approved by a registered professional engineer and erected under the supervision of a qualified engineer competent in this field.
HISTORY

1. Amendment of subsection (a)(4) filed 3-30-76 as an emergency; effective upon filing (Register 76, No. 14).
2. Amendment of subsection (a)(4) filed 7-30-76 as an emergency; effective upon filing (Register 76, No. 31).
3. Certificate of Compliance filed 8-13-76 (Register 76, No. 33).
§1604.2. Related Standards.

(a) These Personnel Hoist Safety Orders are supplemented by the following:
(1) The General Industry Safety Orders requirements for floor and wall openings, railings and toeboards.
(2) The Elevator Safety Orders.
(3) American National Standard Building Code Requirements for Reinforced Concrete, A89.1-1972 (ACI 318-71).
(4) The Electrical Safety Orders.
(5) American Welding Society, Structural Welding Code Z49.1-1973.
(6) American Institute of Steel Construction. Specification for the Design, Fabrication and Erection of Structural Steel for Buildings, 1969.
(7) American Gear Manufacturers Association Standards AGMA 210.02, AGMA 220.02 and AGMA 240.01.
§1604.3. Definitions. [Repealed]
History

HISTORY

1. Change without regulatory effect repealing section filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
§1604.4. Temporary Use of Permanent Elevators for Carrying Workers or Materials.

(a) Permanent passenger or freight elevators installed in buildings under construction, modification, or demolition may be used as construction hoists when they have been arranged to meet the requirements of this Article.
(b) Permanent passenger or freight elevators may be used on construction sites on automatic operation after a permit to operate has been issued by the Division.
§1604.5. Construction of Towers, Masts, and Hoistway Enclosures.
Note     •     History

(a) Tower or Mast Construction.
The tower or mast construction forming the supports for the machinery and guide members shall be designed and installed to support the load and forces specified.
(b) Protection of Spaces Below Hoistways.
Where the space below the hoistway is used for a passageway or is occupied by persons or, if unoccupied, is not secured against unauthorized access, the following requirements shall be met:
(1) Hoist counterweights shall be provided with a Type “A” or “B,” or rack and pinion safety. Broken-rope type safeties may be provided on car counterweights.

Exception: Where it can be demonstrated by recognized engineering calculations, submitted in writing by a qualified engineer, that the structure over the passageway, vault, or other usable space is capable of withstanding the impact of the counterweights falling their maximum distance, no safety device need be provided.
(2) The cars and counterweights shall be provided with spring or oil buffers conforming to the following:
(A) Spring or oil buffers shall conform with Section 1604.14.
(B) Spring buffers for hoists shall be so designed and installed that they will not be fully compressed when struck by the car with its rated load and by the counterweight at governor-tripping speed where the safety is governor-operated and at 125% of rated speed where the safety is not governor-operated.
(3) Car and counterweight buffer supports shall be of sufficient strength to withstand without permanent deformation the impact resulting from buffer engagement at governor-tripping speed where the safety is governor-operated and at 125% of rated speed where the safety is not governor-operated.
(c) Hoistway Enclosures.
(1) Hoists Located Outside of Structures.
For hoists located outside of structures, the enclosures, except those at the lowest landing, may be omitted on the sides where there is no floor or scaffold adjacent to the hoistway. Enclosures on the building side of the hoistway shall be full height or a minimum of 8 feet at each floor landing. Enclosure at the pit shall be not less than 8 feet on all sides.
(2) Hoists Located Inside of Structures.
For hoists located inside of structures, the hoistway shall be enclosed throughout its height.
(3) Design.
Hoistway enclosures shall be so supported and braced that when subjected to a pressure of 100 pounds applied horizontally at any point, the deflection shall not exceed 1 inch and shall not reduce the running clearance below the minimum required in Section 1604.11(a).
Hoistway enclosures, if of openwork, shall be provided on all sides within the building or structure with an unperforated kickplate extending not less than 12 inches above the level of each floor above the lowest.
(d) Hoist Structure.
(1) Hoists shall be supported by a firm foundation of such dimensions as to adequately distribute the transmitted load so as not to exceed the safe load bearing capacity of the ground upon which such hoists are erected.
(2) Each hoist structure shall be anchored to the building or other structure at vertical intervals not exceeding 30 feet. Where the building or other structure is of such character that tie-ins cannot be made, the hoist structure shall be guyed by means of a suitable number of guys. Such guys shall be fastened to adequate anchorages to ensure hoist structure stability. When wire rope is used for guys, the rope shall be at least 1/2-inch in diameter.
(3) Tie-ins shall conform to, or be equal to, the manufacturer's specifications and shall remain in place until the tower or mast is dismantled.
(4) The free-standing portion of the hoist structure shall be in accordance with manufacturer's specifications.
(5) Cars in multiple hoistways are prohibited when one or more cars are designed according to the requirements of Section 1605.9 for material hoists.
(6) Each personnel hoist shall be independently powered and operated.
(7) Booms shall be prohibited on hoists and structures.

Exception: Booms used to erect rack and pinion towers.
(e) Erection and Dismantling.
Personnel and building materials connected with, or related to, the building project may not be moved by the hoist while erection, dismantling or inspection of the hoist are taking place.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c)(3) and new Note filed 1-28-2003; operative 2-27-2003 (Register 2003, No. 5).
§1604.6. Hoistway Doors and Door Locking Devices.
Note     •     History

(a) Height, Material, and Installation.
(1) Hoistway doors shall be not less than 6 feet 6 inches high.
(2) Hoistway doors and gates including their components, such as guides, guide shoes, tracks, locking devices, hangers, hinges, etc., shall be so designed, constructed, installed and maintained that the fully closed door or gate shall not deflect beyond the centerline of the car-to-landing sill clearance when subjected to a force of 75 pounds applied perpendicular to the door or gate and distributed over an area of 1 square foot on any part of the door or gate, including the components.
(3) When subjected to a force of 250 pounds applied as described in subsection (a)(2), doors or gates and their components shall not be displaced from their supports, guides, tracks, hinges, latches and locking devices, or be permanently deformed or otherwise made inoperative.
(4) Where multi-section doors or gates are used, each panel shall withstand the forces specified in subsections (a)(2) and (a)(3).
(5) Solid doors, where used, shall be provided with a vision-panel or panels having an opening width of not more than 6 inches, and an area not more than 80 square inches per panel covered with expanded metal or wire mesh which shall reject a 3/4-inch ball or clear material having equivalent strength. The vision panel shall withstand a force of 75 pounds applied perpendicularly to any part of the panel and distributed over an area of 1 square foot with no greater deflection than any other part of the door as allowed in subsection (a)(2).
(b) Door Locking Devices.
Landing doors shall be provided with a means that will lock the doors mechanically so that they cannot be opened from the landing side.
These locks shall, at the landings other than the lowest landing, be of a type that can be released only by a person in the car.
If the door at the lowest terminal landing is locked automatically when closed with the car at the landing, it shall be provided with means to unlock it from the landing side to permit access to the car. The means provided shall be accessible only to authorized persons. A hook and eye shall be prohibited as a door locking device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a), new subsections (a)(1)-(5) and new Note filed 1-28-2003; operative 2-27-2003 (Register 2003, No. 5).
§1604.7. Overhead Beams, Foundations, and Flooring Over Hoistway.

(a) Overhead Beams and Foundations.
Overhead beams and foundations for the direct support of the machinery or sheaves, or both, shall conform to the following requirements:
(1) Beams and Supports Required.
Machines, machinery, and sheaves shall be so supported and maintained in place as to effectually prevent any part from becoming loose or displaced under the conditions imposed in service.
Supporting beams, if used, shall be of steel or reinforced concrete. Beams are not required under machines, sheaves, and machinery or control equipment which are supported on floors, provided such floors are designed and installed to support the load imposed thereon.
(2) Overhead Beams, Floors, and Their Supports.
Overhead beams, floors, and their supports shall be designed for not less than the sum of the following loads:
(A) The load resting on the beams and supports which shall include the complete weight of the machine, sheaves, controller, governor, and any other equipment, together with that portion, if any, of the machine room floor supported thereon.
(B) Twice the sum of the tensions in all wire ropes supporting the car, passing over sheaves or drums supported by the beams, with rated load in the car.
(3) Foundations, Beams, and Floors for Machinery and Sheaves Not Located Directly Over the Hoistway.
For machines and sheaves located below, or at the sides of, the hoistway, the foundation for the machine and sheave beams and their supports shall be designed to withstand loads as follows:
(A) The foundation shall support the total weight of the machine, sheaves, and other equipment, and the floor, if any.
(B) The sheave beams and the foundation bolts shall withstand twice the vertical component of the tensions in all hoisting ropes passing over sheaves or drums on the foundation or beams, less the weight of the machine or sheaves.
(C) The sheave beams and the foundation bolts shall withstand twice the horizontal component, if any, of the tensions in all hoisting ropes passing over sheaves or drums on the foundation or beams.
(D) The foundation shall withstand twice the overturning moment, if any, developed by the tensions in all the hoisting ropes passing over sheaves or drums on the foundation or beams.
(4) Securing of Machinery and Equipment to Beams, Foundations, or Floors.
(A) Overhead Beams and Floors.
Machinery or equipment shall be secured to, and supported on or from the top of, overhead beams or floors.

Exceptions: 
1. Secondary or deflecting sheaves of traction hoists.
2. Devices and their accessories for limiting or retarding car speed.
(B) Beams or Foundations Supporting Machinery and Sheaves Not Located Directly Over the Hoistway.
Machines and sheaves located below, or at one side of, a hoistway shall be anchored to beams, foundations, or floors with bolts, shall conform to American National Standard Specification for Low-Carbon Steel Externally and Internally Threaded Standard Fasteners, G38.5-1969 (ASTM A307-68), and shall be of sufficient size and number to withstand the applicable load conditions specified under Section 1604.7(a)(2). Based on these initial loads, total tension in anchor bolts shall not exceed 12,00 lb./in.2 of net section, and the total shear shall not exceed 8,600 lb./in.2 of actual area in the shear plane. Where bolts are used through sloping flanges of structural shapes, the bolt heads shall be of the tipped or beveled-head type or shall be fitted with beveled steel washers, and nuts on sloping flanges shall seat on beveled steel washers.

Exception: Bolts made of steel having a greater strength than that specified by American National Standard G38.5-1969 (ASTM A307-68) may be used and the maximum allowable stresses increased proportionally based on the ratio of the ultimate strengths. Elongation must conform to the requirements of the corresponding American National Standard.
(C) Overhead Hoisting Rope Hitches.
Where hoisting ropes are secured to the structure above a hoistway, the hitch plates and hitch plate blocking beams, where used, shall be secured to, and mounted on top of, overhead beams, machine beams, or on top of auxiliary beams connected to the webs of overhead beams. Hitch plates, blocking beams or auxiliary beams shall be secured by bolting, riveting, or welding, and shall be so located that the tension in the hoisting ropes will not develop direct tensions in the bolts or rivets. Bolts shall conform to American National Standard G38.5-1969 (ASTM A307.68), American National Standard Specification for High Strength Bolts and Structural Steel Joints, Including Suitable Nuts and Plain Hardened Washers, G38.6-1972 (ASTM A325-71a), or American National Standard Specifications for Quenched and Tempered Alloy Steel Bolts for Structural Steel Joints, G24.19-1972 (ASTM A490-71). Rivets shall conform to American National Standard Specification for Steel Structural Rivets, G42.2-1968 (ASTM A502-65). Welding shall conform to American Welding Society, Structural Welding Code D1.1. Where bolts and rivets are subject to shearing stresses due to tensions in the hoist ropes, the total shear shall not exceed 8,600 lb./in.2 of actual area in the shear plane. Except where friction-type connections are used in accordance with American National Standard G38.6-1972 (ASTM A325-71a) and American National Standard G24.19-1972 (ASTM A490-71), the allowable stresses per Section 1604.7(a)(5)(A) shall be used.
The stresses in welds due to tensions in the hoisting ropes shall not exceed 12,000 lb./in.2 based on the throat area of the weld.
The hitch plate supporting beams shall be designed to withstand twice the sum of the tension in all hoisting ropes attached to the hitch plates.
Total stresses in tension plus bending in hitch plates and hitch plate shapes shall not exceed 12,000 lb./in.2 

Exception: Bolts made of steel having a greater strength than specified by American National Standard G38.5-1969 (ASTM A307-68) may be used and the maximum allowable stresses increased proportionally based on the ratio of the ultimate strengths. Elongation must conform to the requirements of the corresponding American National Standard.
(D) Cast Metals in Tension or Bending.
Cast metals having an elongation of less than 20% in a length of 2 inches, which are subject to tension or bending, shall not be used to support machinery or equipment from the underside of overhead beams or floors.
(5) Allowable Stresses for Machinery and Sheave Beams, or Floors and Their Supports.
The unit stresses for all machinery and sheave beams, and floors and their supports, based on the loads computed as specified under Section 1604.7(a)(2), shall not exceed 80 percent and the unit stresses in tower or mast structures shall not exceed one hundred percent of those permitted for static loads by the following standards:
(A) Structural Steel.
AISC Specification for the Design, Fabrication and Erection of Structural Steel for Building.
(B) Reinforced Concrete.
Building Code Requirements for Reinforced Concrete ANSI A89.1 (ACI 318).
Where stresses due to loads other than hoist loads, supported on the beams or floor, exceed those due to the hoist loads, 100 percent of the permitted stresses may be used.
(b) Flooring Over Hoistway.
Where the hoisting machine is installed at the top of the hoistway, a solid floor shall be provided for maintenance, inspection, and lubrication. The floor shall be of 2-inch plank, or the equivalent, secured against movement with guardrails installed on all open sides. Where the hoisting machine is located at the bottom of the hoistway suitable access shall be provided for maintenance, inspection, and lubrication of top cathead and sheaves.
§1604.8. Electrical Wiring, Fittings, and Fixtures.

(a) Wiring, Raceways, and Cables in Hoistways and Machine Rooms.
Main feeders for supplying power to the hoist may be installed inside or outside the hoistway.
(1) Only such electrical wiring, raceways, and cables used directly in connection with the hoist may be installed inside the hoistway.
(A) All conduits, armored cables, electrical metallic tubing, metal wireways, flexible conduits, and cabled conductors located within hoistways shall be securely fastened to the hoistway construction or to the guide member(s), or to the guide member supports.
(2) The installation of all electrical wiring in hoistways and machine rooms, except as may be provided elsewhere in this Standard, shall conform to the requirements of the Electrical Safety Orders.
Traveling cables, where used between the car and hoistway wiring, shall be Type E.O., E.T.T., S.O., or a type approved by an accepted testing laboratory.
(b) Enclosure of Live Parts on Cars and in Hoistway.
All live parts of electrical apparatus, located in or on hoist cars or in their hoistways, shall be suitably enclosed to protect against accidental contact.
The maximum circuit voltage of control or operating circuits permitted in or on hoist cars and their hoistways shall not exceed that specified in Section 1604.24(c)(1).
(c) Fittings, Fixtures, and Switches.
Where the hoistway is exposed to the weather, as in open shafts outside the structure; the electrical wiring, fittings, fixtures, and switches shall be weatherproof.
Slack rope switches, where required, lower normal-terminal and lower final-terminal hoistway limit switches, slowdown switches, and pit stop switches shall be located as far above the bottom of the pit as practicable.
§1604.9. Protection of, and Access to, Machinery and Control Equipment, and Lighting of Machinery Spaces.

(a) Access shall be provided to the machinery and control spaces to permit proper lubrication and maintenance of the equipment.
(b) Machinery and control equipment shall be protected from the weather and from access by unauthorized persons.
(c) Spaces containing driving machines and control equipment shall be provided with adequate lighting.
§1604.10. Bottom and Top Clearances and Runbys for Cars and Counterweights.
History

(a) Bottom Car Clearances.
When the car rests on its fully compressed buffer, there shall be a vertical clearance of not less than 2 feet between the pit area (ground or foundation) and the lowest structural or mechanical part, equipment, or device installed beneath the car platform except guide shoes or rollers, safety-jaw assemblies, and platform aprons, guards, or other equipment located within 12 inches horizontally from the sides of the car platform (See Figure 1).
When the car rests on its fully compressed buffer, no part of the car or any equipment attached thereto shall strike any part of the pit or any part of the equipment located therein.
(1) The bottom clearance should be determined as shown in Figure 1 and should be not less than the following:
(A) Where no equipment under the car platform, except as noted in Figure 1, projects below the bottom of the car frame plank channel, c = 2'0”. 

View Graphic

Figure 1 -- Bottom Car Clearance
(B) Where any equipment under the car platform, except as noted in Figure 1, projects a distance, d, below the bottom of the car frame plank channel, c = d + 2'0”.
(b) Bottom Runby for Counterweighted Hoists.
The bottom runby of cars and counterweights shall be not less than 6 inches.

Exception: Where spring return-type oil buffers are used, the runby may be eliminated so that the buffers are compressed by not more than 25% of their stroke when the car floor is level with the terminal landings.
(1) Where spring buffers are used, a minimum of 6 inches shall be required where generator field control is used; where rheostatic control is used, not less than the following minimum runbys shall apply:

	Rated Speed	Runby
	(feet per minute)	 (inches)
	 51 to 200	 9
	201 to 600	12
(c) Bottom Runby for Uncounterweighted Hoists.
The bottom runby of uncounterweighted elevators shall be not less than 6 inches.
(d) Maximum Bottom Runby for Permanent Elevators Used as Hoists.
(1) Twenty-four inches for cars.
(2) Thirty-six inches for counterweights.
(e) Top Car Clearances for Counterweighted Hoists.
The top car clearance shall be not less than the sum of the following:
(1) The bottom counterweight runby.
(2) The stroke of the counterweight buffer used.
(3) Two feet or the distance which any sheave or any other equipment mounted in or on the car crosshead projects above the top of the car crosshead, whichever is greater.
(4) Where an oil buffer is used for the counterweight and no provision is made to prevent the jump of the car at counterweight buffer engagement, add one-half the gravity stopping distance based on 115% of rated speed, or one-half the counterweight buffer stroke if a reduced stroke buffer conforming to Section 1604.14(c) is used. Where counterweight spring buffers are used, add one-half the gravity stopping distance based on governor-tripping speed.
(f) Top Car Clearance for Uncounterweighted Hoists.
The top car clearance shall be not less than 2 feet 6 inches.
(g) Top Counterweight Clearances.
The top counterweight clearance shall be not less than the sum of the following:
(1) The bottom car runby.
(2) The stroke of the car buffer used.
(3) Six inches.
(4) Where an oil buffer is used for the car and no provision is made to prevent the jump of the counterweight at car buffer engagement, add one-half the gravity stopping distance based on 115% of rated speed, or one-half the car buffer stroke if a reduced stroke buffer conforming to Section 1604.14(c) is used.
Where car spring buffers are used, add one-half the gravity stopping distance based on governor-tripping speed.
(h) Overhead Clearances Where Overhead Beams Are Not Over Car Crosshead.
Where overhead beams or other overhead hoistway construction except sheaves are located vertically over the car, but not over the crosshead, the clearance from the car top to such beams or construction, when the car is level with the top landing, shall be not less than the amount specified in Sections 1604.10(e) and 1604.10(f).
(i) Equipment on Top of Car Striking Overhead Structure.
When the car crosshead, or car top where no crosshead is provided, is at a distance of 2 feet from the nearest obstruction above it, no equipment on top of the car shall strike any part of the overhead structure or the equipment located in the hoistway.
(j) Gravity Stopping Distances.
The following formula gives the value of the stopping distance based on gravity retardation from any initial velocity:

View Graphic
where
V = initial velocity, in feet per minute
S = free fall, in inches (gravity stopping distance)
Figure 2 shows the gravity stopping distances from various initial velocities. 

View Graphic
HISTORY

1. Change without regulatory effect repealing and adopting new Figure 1 within subsection (a)(1)(A) filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
§1604.11. Horizontal Car and Counterweight Clearances.

(a) Clearance Between Car and Hoistway Enclosures.
The clearance between the car and the hoistway enclosure shall be not less than 3/4-inch except on the sides used for loading and unloading.
(b) Clearance Between Car and Counterweight and Counterweight Screen.
The clearance between the car and counterweight shall be not less than 1 inch. The clearance between counterweight and the counterweight screen, and between the counterweight and the hoistway enclosure, shall be not less than 3/4-inch.
(c) Clearance Between Cars and Landing Sills.
The clearance between the car platform sill and the hoistway edge of any landing sill, or the hoistway side of any vertically sliding counterweighted hoistway door or of any vertically sliding counterweighted hoistway door or of any vertically sliding counterbalanced biparting hoistway door, shall be not less than 1/2-inch where side guides are used and not less then 3/4-inch where corner guides are used. The maximum clearance shall be not more than 1 1/2-inches.
(d) Clearance Between Car Platform Sills and Hoistway Enclosures. The clearance between the edge of the car platform and the hoistway enclosure at each landing for the full width of the clear car gate opening shall be not more than 8 inches.
(e) Measurement of Clearances.
The clearances specified in this Section shall be measured with no load on the car platform.
§1604.12. Location and Guarding of Counterweights.
Note     •     History

(a) Location of Counterweights.
Counterweights shall be located either in or on the hoist structure which they serve.
(b) Counterweight Pit Guards.
(1) Design, Construction, and Location of Guards.
Guards shall extend from a point not more than 12 inches above the pit floor to a point not less than 6 feet or more than 8 feet above such floor, and shall be fastened to a metal frame properly reinforced and braced to be at least equal in strength and stiffness to No. 14 U.S. Gage Sheet Steel.
(c) Enclosure of Counterweight by the Hoisting Enclosure.
(1) Hoists Located Outside of Structure.
For hoists located outside of structures, the enclosures, except those at the lowest landing, may be omitted on the sides where there is no floor or scaffold adjacent to the counterweight way. Enclosures on the building side of the counterweight way shall be full height or a minimum of 8 feet at each floor landing. Other enclosures, where required, shall not be less than 8 feet high.
(2) Hoists Located Inside of Structure.
For hoists located inside of structures, the counterweight way shall be enclosed its full height.
(d) Pit Access. All doors, gates, or other entryways into the counterweight pit area shall be locked so as to prevent access by unauthorized personnel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, Labor Code.
HISTORY

1. New subsection (d) filed 12-13-90; operative 1-12-91 (Register 91, No. 3).
§1604.13. Car and Counterweight Guide Members, Guide Member Supports, and Fastenings.

(a) Requirement for Guide Members.
Personnel hoists shall be provided with car and counterweight guide members.
(b) Material.
Guide member(s), guide member brackets, rail clips, fishplates, and their fastenings shall be of steel or other metals conforming to the requirements as follows:
(1) Members, Brackets, Fishplates, and Rail Clips.
Members, brackets, fishplates, and rail clips shall be made of open hearth steel, or its equivalent, having a tensile strength of not less than 55,000 lb./in.2 and having an elongation of not less than 22% in a length of 2 inches.
(2) Bolts.
Bolts shall conform to American National Standard Specification for Low Carbon Steel Externally and Internally Threaded Standard Fasteners, G38.5-1969 (ASTM A307-68), American National Standard Specification for High Strength Bolts for Structural Steel Joints, Including Suitable Nuts and Plain Hardened Washers, G38.6-1972 (ASTM A325-71a), or American National Standard Specification for Quenched and Tempered Alloy Steel Bolts for Structural Steel Joints, G24.19-1972 (ASTM A490-71).
(3) Rivets.
Rivets shall conform to American National Standard Specification for Steel Structural Rivets, G42.2-1968 (ASTM A502-65).
(4) Requirements for Metals Other Than Steel.
Metals other than steel may be used provided the factor of safety is not less than, and the deflections not more than, the values specified in Section 1604.13(b), and provided that cast iron is not used.
(c) Stresses and Deflections.
(1) Guide Members.
The stresses in a guide member, or in the member and its reinforcement, due to the horizontal forces imposed on the member during loading, unloading, or running, calculated without impact, shall not exceed 15,000 lb./in.2 based upon the class of loading, and the deflection shall not exceed 1/4-inch.

Exception: Where steels of greater strength than those specified under Section 1604.13(b) are used, the stresses specified may be increased proportionately based on the ratio of the ultimate strengths.
(2) Fastenings and Supports.
The guide member fastenings and supports shall be capable of resisting the horizontal forces imposed by the loading with a total deflection at the point of support not in excess of 1/8-inch.
(d) Overall Length of Guide Members.
The top and bottom ends of each run of guide member shall be so located in relation to the extreme positions of travel of the car and counterweight that the car and counterweight guide shoes or rollers cannot travel beyond the ends of the guide members.
(e) Guide Member Fastenings and Supports.
(1) Design and Strength of Fastenings and Supports.
The supports of the guide members, and the guide member fastenings, shall be of such design as to safely withstand the application of the car or counterweight safety when stopping the car and its rated load or the counterweight, and withstand the forces specified in Section 1604.13(c) within the deflection limits specified.
(2) Fastenings.
Guide member fastenings, when used, shall be secured to their supporting structure by means of structural bolts, clips, rivets, or by welding. Fastening bolts and bolt holes in fastenings and their supporting beams shall conform to the requirements of Section 1604.13(f). Welding shall conform to the requirements of American Welding Society Code D1.1.
(f) Type of Fastenings.
Guide members shall be secured by clips, rivets, bolts, or welds.
Bolts used for fastening shall be of such strength as to withstand the forces specified under Section 1604.13(c).
Welding, where used, shall conform to the requirements of American National Standard Z49.1-1973.
§1604.14. Car and Counterweight Buffers.

(a) Type and Location.
(1) Spring or Oil Buffers.
Buffers of the spring or oil type shall be installed under the cars and counterweights of personnel hoists.
Note: Section 1604.5(b)(1) requires buffers under all cars and counterweights in hoistways which are above accessible spaces.
Spring buffers or their equivalent may be used where the rated speed is not in excess of 300 feet per minute.

Exception: For rated speeds of 301 to 600 feet per minute, spring buffers having a stroke of not less than 12 inches may be used provided a terminal speed limiting device conforming to the requirements given under Section 1604.23(d) is provided.
(2) Location.
Buffers shall be located symmetrically with reference to the vertical center line of the car frame or the counterweight frame within a tolerance of 2 inches.
(b) Construction and Requirements for Spring Buffers.
(1) Buffer Stroke.
The stroke of the buffer spring, as marked on its marking plate, shall be equal to, or greater than, the following:

	Rated Car Speed	Stroke
	(feet per minute)	(inches)
	100 or less	1 1/2
	101 to 150	2 1/2
	151 to 200	4
	201 to 250	6
	251 to 300	9
(2) Buffers for Cars and Counterweights.
Buffers for cars and counterweights shall be of the following:
(A) Capable of supporting, without being compressed solid, a static load having a minimum of twice the total weight of the car and its rated load for car buffers, and the counterweight for counterweight buffers.
(B) Compressed solid with a static load of three times the weight of the car and its rated load for car buffers, and the counterweight for counterweight buffers.

Exception: When the requirements of Section 1604.5(b)(2) necessitate a greater load rating.
(3) Marking Plate.
Each spring buffer shall have permanently attached to it a metal plate marked in a legible and permanent manner to show its stroke and load rating.
(c) Construction and Requirements for Oil Buffers.
(1) When oil buffers are used they shall comply with Section 3031 of the Elevator Safety Orders.
(2) When oil buffers are used and the air temperature is below 0oF, means to maintain the temperature of the oil above 0oF or above the pour point of the oil, whichever is lower, shall be provided.
(3) Terminal speed limiting devices installed in connection with reduced stroke oil buffers shall conform to the requirements of Section 1604.23.
§1604.15. Counterweights.

(a) General Requirements.
(1) Sectional Counterweights.
Sectional counterweights and frames shall be so designed as to retain the weights securely in place.
(2) Horizontal Clearances Between Car and Counterweight and Counterweight Screen.
The clearance between the car and the counterweight shall be not less than 1 inch. The clearance between counterweight and the counterweight screen and between counterweight and the hoistway enclosure shall be not less than 3/4 inch.
(b) Design Requirements for Counterweights.
The weight of the counterweight shall be not more than the total weight of the car plus 50% of the rated load.
(c) Cars Counterbalancing One Another.
A hoist car shall not be used to counterbalance another hoist car. 
(d) Compensating Chain or Rope Fastenings.
Compensating chains or ropes, when used, shall be fastened to the counterweight or to the counterweight frame and shall not be fastened to tie rods.
§1604.16. Car Frames and Platforms.
History

(a) Requirement for Car Frames.
Every hoist car shall have a frame. The car frame and platform may be an integral part of the car construction.
(b) Guide Members.
Car frames shall be guided on each guide member by upper and lower guide shoes or rollers attached to the frame.
(c) Design of Car Frames and Guide Shoes or Rollers.
The frame and its guide shoes or rollers shall be designed to withstand the forces resulting under the loading conditions for which the hoist is designed.
(d) Underslung or Subpost Car Frames.
The vertical distance between the top and bottom guide shoes of a hoist car having a subpost car frame, or having an underslung car frame located entirely below the car platform, shall be not less than 40% of the distance between guide rails.
(e) Car Platforms.
Every car shall have a platform consisting of a nonperforated floor attached to a platform frame supported by the car frame and extending over the entire area within the car enclosure. The platform frame members and the floor shall be designed to withstand the forces developed under the loading conditions for which the hoist is designed and installed.
(f) Materials for Car Frames and Platform Frames.
(1) Car frames and outside members of platform frames shall be made of steel or other metals.
(2) Cast iron shall not be used for any part subject to tension, torsion, or bending.

Exception: Exceptions are guide rollers, guide shoes and compensating rope anchorages.
(3) Steel, where used in the construction of car frames and platforms, shall conform to the requirements given in Sections 1604.16(f)(3)(A) and 1604.16(f)(3)(B).

Exception: Steels of greater strength than those specified may be used provided they have an elongation of not less than 22% in a length of 2 inches and provided that the stresses and deflections conform to the requirements of Sections 1604.16(h) and 1604.16(i), respectively.
(A) Car Frame and Platform Frame Members.
Steel shall be rolled, forged, or cast, conforming to the requirements of the following American National Standards:
1. Rolled and Formed Steel: American National Standard Specification for Structural Steel, G41.5-1970 (ASTM A36-69) or American National Standard Specification for Low and Intermediate Tensile Strength Carbon Steel Plates of Structural Quality, G24.2-1972 (ASTM A283-70a), Grade D.
2. Forged Steel: American National Standard Specification for Carbon Steel Forgings for General Industrial Use, G55.20-1969 (ASTM A235-67), Class C.
3. Cast Steel: American National Standard Specifications for Mild to Medium strength Carbon Steel Castings for General Application, G50.1-1972 (ASTM A27-71), Grade 60/30.
(B) Rivets, Bolts, and Rods.
Steel used for rivets, bolts, and rods shall conform to the following American National Standards:
1. Rivets: American National Standard Specification for Steel Structural Rivets, G42.2-1968 (ASTM A502-65).
2. Bolts and Rods: American National Standard Specification for Low Carbon Steel Externally and Internally Threaded Standard Fasteners, G38.5-1969 (ASTM A307-68).
(4) Metals other than steel may be used in the construction of car frames and platforms provided the metal used has the essential properties to meet all the requirements for the purpose in accordance with good engineering practice, and provided the stresses and deflections conform to the requirements of Sections 1604.16(h) and 1604.16(i), respectively.
(g) Car Frame and Platform Connections.
Connections between members of car frames and platforms shall be riveted, bolted, or welded, and shall conform to the following requirements:
(1) Bolts. Bolts, where used through sloping flanges of structural members, shall have bolt heads of the tipped head type or shall be fitted with beveled washer.
(2) Nuts.
Nuts, used on sloping flanges of structural members, shall seat on beveled washers.
(3) Welding.
Welding of parts upon which safe operation depends shall be performed in accordance with the requirements of the American Welding Society D1.1. At the option of the manufacturer, the welders may be qualified by one of the following:
(A) The manufacturer.
(B) A professional consulting engineer.
(C) A recognized testing laboratory.

Exception: Tack welds not later incorporated into finished welds carrying calculated loads are an exception. 

Table 1
Maximum Allowable Stresses* in Car-Frame and Platform Members
and Connections, for Steels Specified in Sections 1604.16(f) (3) (A)
and 1604.16 (f) (3) (B)

	Member 	Type of	Maximum	Area Basis
		Stress	Stress (psi)

Car crosshead	Bending	12,500	Gross section
Car-frame plank, normal loading	Bending	12,500	Gross section
Car-frame plank, buffer reaction	Bending	25,000	Gross section
Car-frame uprights (stiles)	Bending plus	15,000	Gross section
	 tension	18,000	Net section
Hoisting-rope hitch	Bending plus
 shapes or plates	 tension	8,000	Net section
Platform framing	Bending	12,500	Gross section
Platform stringer	Bending	15,000	Gross section
Threaded brace rods and other 
 tension members
 except bolts	Tension 	8,000	Net section
Bolts	Tension 	7,000	Net section
Bolts in clearance holes	Shear	7,000	Actual area
			in shear plane
Bolts in clearance holes	Bearing	16,000	Gross section
Rivets or tight body fit bolts	Shear	10,000	Actual area in
			 shear plane
Rivets or tight body-fit bolts	Bearing	18,000	Gross section
Any framing member,
 normal loading	Compression	14,000 59L	Gross section
		R

* Stresses shall be determined on the basis of a uniformly distributed load over the entire area of the car platform or a single concentrated load placed at the center of the car platform.
(h) Maximum Allowable Stresses in Car Frame and Platform Members and Connections.
The stresses in car frame and platform members and their connections, based on the static load imposed upon them, shall be as follows:
(1) Stresses in steel shall not exceed the stresses listed in Table 1. For steels of greater strength, as permitted by the Exception to Section 1604.16(f)(3), the stresses listed in Table 1 may be increased proportionately based on the ratio of the ultimate strengths.
(2) For metals other than steel, the factor of safety shall be not less than is required for steel as given in Table 1.
(i) Maximum Allowable Deflections of Car Frame and Platform Members.
The deflections of car frame and platform members based on the static load imposed upon them, shall be not more than the following: 
(1) For crosshead, 1/960 of the span
(2) For plank, 1/960 of the span
(3) For platform frame members, 1/960 of the span. For uprights (stiles), the moment of inertia shall be not less than determined by the following formula: 

View Graphic
where
I = moment of inertia of member, gross section, in4
K = turning moment, in inch-pounds
L = free length of uprights, in inches
E = modules of elasticity
H = vertical center distance between upper and lower guide shoes
(j) Car Frames With Crosshead Sheaves.
Where a hoisting rope sheave is mounted on the car frame, the construction shall conform to the following requirements:
(1) Where multiple sheaves mounted on separate sheave shafts are used, provision shall be made to take the compressive forces, developed by tension in the hoist ropes between the sheaves, on a strut or struts between the sheave shaft supports, or by providing additional compressive strength in the car frame or car frame members supporting the sheave shafts.
(2) Where the sheave shaft extends through the web of a car frame member, the reduction in area of the member shall not reduce the strength of the member below that required. Where necessary, reinforcing plates shall be welded or riveted to the member to provide the required strength. The bearing pressure shall in no case be more than that permitted in Table 1 for bolts in clearance holes. 
(3) Where the sheave is attached to the car crosshead by means of a single threaded rod or specially designed member or members in tension, the following requirements shall be met:
(A) The single rod, member, or members in tension shall have a factor of safety 50% higher than the factor of safety required for the suspension wire ropes, but in no case less than fifteen.
(B) The means for fastening the single threaded rod, member, or members in tension to the car frame shall conform to the requirements of Section 1604.16(k).
(k) Hoisting Rope Hitch Plates or Shapes.
Where cars are suspended by hoisting ropes attached to the car frame by means of rope shackles, the shackles shall be attached to steel hitch plates or to structural or formed steel shapes. Such plates or shapes shall be secured to the underside or to the webs of the car frame member with bolts, rivets or welds so located that the tensions in the hoisting ropes will not develop direct tension in the bolts or rivets. The stresses shall not exceed those permitted in Section 1604.7(a)(3)(C).
(l) Platform Side Braces.
Where side bracing and similar members are attached to car frame uprights, the reduction in area of the upright shall not reduce the strength of the upright below that required by Section 1604.16.
HISTORY

1. Editorial correction of subsection (f)(2) (Register 2010, No. 34).
§1604.17. Car Enclosures.

(a) Material for Enclosures.
Materials for car enclosures and car enclosure linings shall be metal or wood.
(b) Extent of Enclosures.
Personnel hoist cars shall be permanently enclosed on the top and on all sides except the entrance and exit.
(c) Securing of Enclosures.
The enclosure shall be securely fastened to the car platform and so supported that it cannot loosen or become displaced in ordinary service, on the application of the car safety, or on buffer engagement.
(d) Deflection of Walls.
The enclosure walls shall be of such strength and so designed and supported that, when subjected to a pressure of 100 pounds applied horizontally on any 4 square-inch area of the walls of the enclosure, the deflection will not reduce the running clearance below 3/4 inch.
(e) Number of Compartments.
Cars shall have not more than one compartment.
(f) Top Emergency Exits.
An emergency exit with a cover shall be provided in the top of all cars and shall conform to the following requirements:
(1) The exit opening shall have an area of not less than 400 square inches and shall measure not less than 16 inches on any one side.
(2) The exit shall be so located as to provide a clear passageway unobstructed by fixed hoist equipment located in, or on top of, the car.
(3) The exit cover shall open outward.
(g) Car Enclosure Tops.
Tops of car enclosures shall be so designed and installed as to be capable of sustaining a load of 300 pounds on any square area 2 feet on a side and 100 pounds applied at any point. Simultaneous application of these loads is not required.
(h) Equipment on Top of Cars.
A working platform or equipment which is not required for the operation of the hoist or its appliances, except where specifically provided in this Standard, shall not be located on the top of a hoist car.
(i) Use of Glass in Cars.
Wire glass or the equivalent shall be used for vision panels. Plain glass may be used only for car operating appliances.
§1604.18. Car Doors, Gates, and Electrical Contacts.

(a) Car Doors and Gates.
(1) Requirement for Door or Gates.
A door or gate shall be provided at each entrance to the car.
(2) Type of Doors.
Doors shall be of the horizontally or vertically sliding type.
(3) Type of Gates.
Gates shall be either of the horizontally or vertically sliding type, subject to the requirements given under Sections 1604.18(a)(5) and 1604.18(a)(9). Scissor type gates shall be prohibited.
(4) Strength of Doors, Gates, and Their Guides, Guide Shoes, Tracks, and Hangers.
Doors and gates and their guides, guide shoes, tracks, and hangers shall be so designed, constructed, and installed that when the fully closed door or gate is subjected to a force of 75 pounds, applied on an area of 1-foot square at right angles to, and approximately at the center of, the door or gate, it will not deflect beyond the line of the car sill. When subjected to a force of 250 pounds similarly applied, doors and vertically sliding gates shall not break or be permanently deformed and shall not be displaced from their guides or tracks. Where multisection doors or gates are used, each panel shall withstand the forces specified.
(5) Sliding Doors and Gates.
Sliding doors or gates shall conform to the following requirements:
(A) Vertically sliding gates shall be of the balanced counterweighted type or the biparting counterbalanced type.
(B) Gates or doors shall be of a design which will reject a ball 1 1/2 inches in diameter.
(C) Doors or gates shall guard the full width and height of the car entrance opening.
(D) Balanced counterweighted doors or gates may be either single or multiple section, and may slide either up or down to open.
(6) Weights for Closing or Balancing Doors or Gates.
Weights used to close or balance doors or gates shall be located outside the car enclosure and shall run in guides or be boxed in. Guides shall be of metal, and the bottom of the guides or boxes shall be so constructed as to retain the weight if the suspension member fails.
(7) Suspension Members.
Suspension members of vertically sliding car doors or gates, and of weights used with car doors or gates, shall have a factor of safety of not less than five.
(8) Manual Opening of Car Doors or Gates.
Car doors or gates shall be arranged so that when the car is stopped they may be opened by hand from inside the car, subject to the requirements of Section 1604.18(b)(3).
(9) Number of Entrances Permitted.
There shall be not more than two entrances to the car.

Exception: Special building arrangements requiring more than two entrances and accepted by the division before construction is begun. 
(b) Car Door Gate Electric Contacts.
Car doors or gates shall be provided with car door or gate electric contacts.
(1) Location of Car Door or Gate Electric Contacts.
Car door or gate electric contacts shall be so located that they are not readily accessible from the inside of the car.
(2) General Design Requirements.
Car door or gate electric contacts shall conform to the following requirements:
(A) Car door or gate electric contacts shall be positively opened by a lever or other device attached to, and operated by, the door or gate.
(B) Car door or gate electric contacts shall be maintained in the open position by the action of gravity or by a restrained compression spring, or both, or by positive mechanical means.
(3) Mechanical Lock of Car Door on Side Opposite Building or Other Structure.
A mechanical lock shall be provided to prevent opening of the car gate on the side opposite the building or structure, unless the car is at the ground level landing or equivalent.
(4) Closed Position of Car Doors or Gates.
Car doors or gates shall be considered to be in the closed position under the conditions as follows:
(A) Horizontally sliding doors or gates shall be considered to be in the closed position when the clear open space between the leading edge of the door or gate and the nearest face of the jamb does not exceed 2 inches.
(B) Vertically sliding counterweighted doors or gates shall be considered to be in the closed position when the clear open space between the leading edge of the door or gate and the car platform sill does not exceed 2 inches.
(C) Horizontally sliding biparting doors, or vertically sliding biparting counterbalanced doors, shall be considered to be in the closed position when the door panels are within 2 inches of contact with each other.
§1604.19. Car and Counterweight Safeties.

(a) Where Safeties are Required.
The car of every personnel hoist shall be provided with one or more car safety devices of one of the types identified under Section 1604.19(d). The safeties shall be attached to the car frame or supporting structure.
All car safeties shall be mounted on a single car frame and shall operate either on one pair of guide members, on tension members conforming to Section 1604.19(p), or on one vertical rack.
(b) Function and Stopping Distance.
The safety device, or the combined safety devices, where furnished, shall be capable of stopping and sustaining the entire car with its rated load from governor-tripping speed.
Type B safeties shall stop the car with its rated load from governor-tripping speed within the range of the maximum and minimum stopping distances as determined in the following formulas: 

View Graphic
where
S = maximum stopping distance, in feet 
S' = minimum stopping distance, in feet 
V = governor-tripping speed, in feet per minute
Table 2 shows the maximum and minimum stopping distances for various governor-tripping speeds.
(c) Counterweight Safeties.
Counterweight safeties, where furnished shall conform to the requirements for car safeties.

Exceptions: 
1. Where otherwise specified in Section 1604.19.
2. For rated speeds of not over 150 feet per minute, counterweight safeties may be operated as a result of the breaking or slackening of the hoisting ropes and may be of the inertia or other approved type without governors.
(d) Types of Safeties.
Car safety devices (safeties) are identified and classified on the basis of performance characteristics. In general, there are three types of safeties that operate to apply pressure on the guide rails or tension members and one type that uses a separately mounted rack and accompanying pinion gear. The former are classified A, B, and C based upon how the safety begins to apply pressure.
(1) Type A Safeties.
These are safeties which develop a rapidly increasing pressure on the guide members during the stopping interval, the stopping distance being very short due to the inherent design of the safety. The operating force is derived entirely from the mass and the motion of the car or the counterweight being stopped. These safeties apply pressure on the guide or tension members through eccentrics, rollers, or similar devices without any flexible medium purposely introduced to limit the retarding force and increase the stopping distance.
(2) Type B Safeties.
These are safeties which apply limited pressure on the guide or tension members during the stopping interval and which provide stopping distances that are related to the mass being stopped and the speed at which application of the safety is initiated. Retarding forces are reasonably uniform after the safety is fully applied. Continuous tension in the governor rope may or may not be required to operate the safety during the entire stopping interval. Minimum and maximum distances are specified on the basis of governor-tripping speed.
(3) Type C Safeties (Type A With Oil Buffers).
These are safeties which develop retarding forces during the compression stroke of one or more oil buffers interposed between the lower members of the car frame and a governor operated Type A auxiliary safety plank applied on the guide or tension members. The stopping distance is equal to the effective stroke of the buffers.
(4) Rack and Pinion Safeties.
These are safeties in which a freely rotating safety pinion, a governor, and a safety device may form an integral unit mounted on the car. The freely rotating pinion travels on a stationary rack mounted vertically on the hoist structure. The rotating pinion drives the governor. When the downward speed of the car reaches the tripping value, the rotating governor actuates the safety device, which, in turn, brings the car to a gradual stop. 

Table 2
Maximum and Minimum Stopping Distances
                                    For Other Than Instantaneous                             
Maximum

				Stopping Distances
		Governor-Trip	                              (feet-inches)      
	Rated Speed	Speed 
	(feet per minute)	(feet per minute)	Minimum	Maximum

	0 to 125	175	0-1	1-3
	150	210	0-2	1-4
	175	250	0-3	1-7
	200	280	0-4	1-10
	225	308	0-5	2-0
	250	337	0-6	2-3
	300	395	0-8	2-9
	350	452	0-1	03-4
	400	510	1-1	4-10
	450	568	1-5	4-10
	500	625	1-8	5-8
	600	740	2-4	7-7
				
(e) Safeties to Stop Ascending Cars or Counterweights.
Safeties shall not stop ascending car or counterweight.

Exception: Safeties of the rack and pinion type.
(f) Governor Actuated Safeties and Safety Switches.
(1) Car safeties and counterweight safeties, where provided, shall be actuated by separate speed governors.

Exception: Speed governors are not required for the operation of counterweight safeties of hoists having a rated speed of not more than 150 feet per minute.
(2) Every car safety shall be provided with a switch operated by the car safety mechanism. This switch shall conform to the requirements given under Section 1604.20(d).
(g) Limits of Use of Various Types of Safeties.
(1) Type A (Instantaneous) Safeties.
Type A safeties may be used on hoists having a rated speed of not more than 200 feet per minute.
(2) Type C Safeties.
Spring buffers may be substituted for oil buffers on Type C car safeties for rated speeds up to and including 300 feet per minute provided that the springs do not fully compress during the operation of the car safety with rated load in the car, and the rate of retardation conforms to the requirements of Section 1604.14(c)(1).
(h) Application and Release of Safeties.
(1) Means of Application.
Safeties shall be applied mechanically. Electric, hydraulic, or pneumatic devices shall not be used to apply the safeties required by Section 1604.19 nor to hold such safeties in the retracted position.
(2) Level of Car on Safety Application.
The application of the safety to stop the car, with one-fourth of its rated load distributed on each quarter of the platform symmetrically with relation to the center lines of the platform, shall not cause the platform to be out of level more than 3/8-inch per foot in any direction.
(3) Release.
When car safeties are applied, no decrease in tension in the governor rope or motion of the car in the down direction shall release the safeties, but such safeties may be released by the motion of the car in the up direction.
(4) Force Providing Stopping Action.
Safeties shall be so designed that on their application the forces which provide the stopping action shall be compressive forces on either side of the guide or tension member section.

Exception: For rack and pinion safeties, the stopping action may be obtained by the engagement of the teeth of the safety pinion on the car and the stationary vertical rack.
(i) Minimum Clearance on Guide Members.
In the normally retracted position of the safety, the distance between the member gripping faces of the safety parts shall not be less than the thickness of the guide member plus 0.14 (9/64) inch, and the clearance on any side between the gripping face and the guide member shall be not less than 0.0625 (1/16) inch as measured on the side of the rail toward which the car frame is pressed with sufficient force to take up all clearances in the guide shoe assembly. Safety jaws, which in the retracted position, shall be so restrained as to prevent a reduction of this minimum clearance.
(j) Maximum Permissible Movement of Governor Rope or Car.
(1) Type B and C Safeties.
For all Type B and C safeties, the movement of the governor rope relative to the car or the counterweights, respectively, required to operate the safety mechanism from its fully retracted position to a position where the safety jaws begin to exert pressure against the guide members shall not exceed the following values based on rated speed:
(A) For car safeties: 200 feet per minute or less, 42 inches; 201 to 375 feet per minute, 36 inches; over 375 feet per minute, 30 inches.
(B) For counterweight safeties: all speeds, 42 inches.
Drum operated car and counterweight safeties, requiring continual unwinding of the safety drum rope to fully apply the safety, shall be so designed that not less than three turns of the safety rope will remain on the drum after the overspeed test of the safety has been made with rated load in the car.
(2) Rack and Pinion Safeties.
For rack and pinion safeties, the travel of the car measured from the governor-tripping time to the full-stop time shall not exceed the following values based on rated speed:
(A) For car safeties: 200 feet per minute or less, 64 inches; 201 to 375 feet per minute, 76 inches; over 375 feet per minute, 78 inches.
(B) For counterweight safeties: all speeds, 78 inches.
(k) Factors of Safety of Safety Parts.
Parts of safeties, except springs, shall have a factor of safety of not less than 3.5, and the materials used shall have an elongation of not less than 15% in a length of 2 inches. Forged, cast, or welded parts shall be stress relieved.

Exception: Safety rope drums, leading sheaves, and their supporting brackets and safety jaw gibs shall be made of metal and shall have a factor of safety of not less than ten.
Rope used as a connection from the safety to the governor rope, including rope wound on the safety rope drum, shall be not less than 3/8-inch in diameter and shall be made of a corrosion resistant metal. Tiller rope construction shall not be used. The factor of safety of the rope shall be not less than five.
All gears shall meet the following standards of the American Gear Manufacturers Association: AGMA 210.02, AGMA 220.02 and AGMA 240.01.
The factors of safety shall be based upon the maximum stresses developed in the parts during the operation of the safety when stopping rated load from governor-tripping speed.
Springs may be used in the operation of car or counterweight safeties. Where used, and where partially loaded prior to safety operation, the loading on the spring shall not produce a fiber stress exceeding one-half the elastic limit of the material. During operation of the safety, the fiber stress shall not exceed 85% of the elastic limit of the material. Helical springs, where used, shall be in compression.
Safety rope loading sheave brackets and other safety operating parts shall not be attached to, or supported by, wood platform members.
(l) Corrosion Resistant Bearings.
Bearings in safeties and of the safety operating mechanism shall be of corrosion resistant construction with one or both members of a bearing made of, or electroplated with, a corrosion resistant material.
(m) Marking Plates.
A metal plate shall be securely attached to each safety so as to be readily visible and shall be marked in a legible and permanent manner with letters and figures not less than 1/4-inch in height, indicating the following:
(1) The maximum tripping speed, in feet per minute, for which the safety may be used.
(2) The maximum weight, in pounds, which the safety as installed is designed to stop and sustain.
(n) Releasing Carriers.
The governor rope releasing carrier on the car or on the counterweight shall be set to require a tension in the governor rope, to pull the rope from the carrier, of not more than 60% of the pull through tension developed by the governor, and the carrier shall be designed so that the pullout tension cannot be adjusted in a normal manner to exceed the amount specified.
(o) Rail Lubricants.
Rail lubricants or coatings which will reduce the holding power of the safety or prevent its functioning as required in 1604.19(b) shall not be used. The use of graphite for lubricants shall be prohibited.
(p) Application of Safeties Upon Suspended Tension Members.
Safeties that apply on tension members suspended from the top of the hoistway and anchored in the pit in lieu of guide members shall be in conformity with the following requirements.
(1) The tension members shall have a minimum factor of safety of ten when the car and its rated load is stopped, with an average retardation of 32 feet per second per second.
(2) Steel wire rope tension members shall be inspected by the procedure set forth under Sections 1604.25(j) and 1604.25(k). 

Table 3
Maximum Speeds, in Feet Per Minute, at Which Speed Governor
Trips and Governor Overspeed Switch Operates

			Maximum
		Maximum	Speed at Which
		Governor-Trip	Governor Overspeed
	Rated Speed	Speed	Switch Operates, Down
				
	0-125	175	175*
	150	210	210*
	175	250	225
	200	280	252
	225	308	277
	250	337	303
	300	395	355
	350	452	407
	400	510	459
	450	 568	512
	500	625	563
	600	740	703

* Governor overspeed switch not required on car speed governors. 

View Graphic
§1604.20. Governors.

(a) Requirement for Governors and Location.
Car safeties, and counterweight safeties, where furnished, shall be actuated by a speed governor.
The governor shall be located where it cannot be struck by the car or the counterweight in case of over-travel and where there is adequate space for full movement of governor parts.
(b) Tripping Speeds.
(1) Car Governors.
Governors for car safeties shall be set to trip at overspeeds as follows:
(A) At not less than 115% of rated speed.
(B) At not more than the tripping speed listed opposite the applicable rated speed in Table 3. Maximum tripping speeds for intermediate rated speeds shall be determined from Figure 3.
(2) Counterweight Governors.
Governors for counterweight safeties, where provided, shall be set to trip at an overspeed greater than, but not more than 10% above, that at which the car speed governor is set to trip.
(c) Sealing and Painting.
Governors shall have their means of speed adjustment sealed after test. If speed governors are painted after sealing, all bearing and rubbing surfaces shall be freed of, or kept free from, paint and a hand test made to determine that all parts operate freely as intended. Seals shall be of a type which will prevent readjustment of the governor-tripping speed without breaking the seal.
(d) Governor Overspeed and Safety Switches.
(1) A switch shall be provided on the governor and operated by the overspeed action of the governor. A switch shall be provided on the governor when used with a counterweight safety. Every car safety shall be provided with a switch operated by the car safety mechanism when the safety is applied. These switches shall, when operated, remove power from the driving-machine motor and brake before, or at the time of, application of the safety. The governor overspeed switch and the safety switch may be the same switch on rack and pinion safeties.

Exception: A period of five years from the effective date of these orders will be allowed during which the overspeed switch on existing governors may be omitted where the governor is of a type not designed to operate a switch.
(2) The setting of the car governor overspeed switch shall conform to the following requirements:
(A) The car governor overspeed switch shall open in the down direction of the hoist at not more than 100% of the speed at which the governor is set to trip in the down direction.
(B) The switch, when set as specified in Section 1604.20(d)(2)(A), shall open in the up direction at not more than 100% of the speed at which the governor is set to trip in the down direction.

Exception: Rack and pinion safeties.
(3) Switches used to perform the functions specified shall be positively opened and shall remain in the open position until manually reset. Switches operated by the car safety mechanism shall be of a type which will not reset unless the car safety mechanism has been returned to the “off” position.
(e) Governor Ropes and Tripping Mechanisms.
(1) Material and Factor of Safety.
Governor ropes shall be of iron, steel, nickel-copper alloys (Monel Metal, or the equivalent), phosphor bronze, or stainless steel, of regular lay construction, and shall be not less than 3/8-inch in diameter. Tiller rope construction shall not be used.
The factor of safety of governor ropes or governor-tripping mechanisms shall be not less than five.
(2) Replacement of Existing Governor Ropes.
Replacement governor ropes shall be of the same size, material, and construction as the rope originally furnished by the hoist manufacturer, except that a rope of the same size but of either different material or construction may be employed provided there is conformance with the requirements of Section 1604.20(g) and a test is made of the car or counterweight safety and speed governor with the new rope to demonstrate that the safety will function as required by Section 1604.19(b).
(3) Governor Rope Clearance.
During normal operation of the hoist, the governor rope shall run free and clear of the governor jaws, rope guards, or other stationary parts.
(4) Splicing Governor Ropes.
Governor ropes shall not be lengthened or repaired by splicing.
(f) Design of Governor Jaws.
Type B and C car and counterweight safeties shall be actuated by a governor equipped with rope-grip jaws which will permit the governor rope to pull through the jaws. The maximum tension in the governor rope to cause it to slip through the governor jaws shall not exceed 1/5 of the rated ultimate strength of the rope.
Governor jaws shall be of such shape and minimum length that no appreciable damage to, or deformation of, the rope shall result from the stopping action of the jaws in operating the car or counterweight safety.
(g) Design of Speed Governor Sheaves and Traction Between the Speed Governor Rope and Sheaves.
The arc of contact between the governor rope and the governor sheaves shall, in conjunction with a governor-rope tension device, provide sufficient traction to cause proper functioning of the governor.
Governor-sheave grooves shall have machine-finished surfaces. Governor tension sheaves shall have machine-finished grooves for rated car speeds of more than 200 feet per minute. Machined governor-sheave grooves shall have a groove diameter of not more than 1 1/8 times the diameter of the governor rope.
The pitch diameter of governor sheaves and governor tension sheaves shall be not less than the product of the diameter of the rope and the applicable multiplier in the following list, based on the rated speed and the number of strands in the rope:

	No. of
            Rated Speed	Strands 	Multiplier
200 feet per minute or less	6 	42
200 feet per minute or less 	8 	30
Over 200 feet per minute 	6 	46
Over 200 feet per minute 	8 	32

(h) Governor Marking Plate.
A plate shall be securely attached to each governor and shall be marked in a legible and permanent manner with letters and figures not less than 1/4-inch in height, indicating the following:
(1) The speed, in feet per minute, at which the governor is set and sealed to trip the governor rope-grip jaws.
(2) The size, material and construction of the governor rope on which the governor jaws were designed to operate.
§1604.21. Capacity and Loading.
History

(a) Inside Net Platform Area.
The inside net platform area (see Figure 4) of the hoist car is determined by the rated capacity of the hoist and shall be no greater than that given in Table 4.

Exception: The rated capacity of hoists with existing oversized cars shall be based on not less than 65 pounds per square foot of inside net platform area. A period of five years from the effective date of these Orders will be allowed for existing personnel hoists to be made to comply with Section 1604.21(a). 

Table 4 
Relationship of Hoist Rated Capacity 
to Inside Net Platform Area 

	Rated Load	Inside Net Platform Area
	(pounds) 	(square feet)

 	2,000	 24.2
 	2,500	 29.1
 	3,000	 33.7
 	3,500	 38.0
 	4,000	 42.2
 	4,500	 46.2
 	5,000	 50.0
 	10,000	 88.0
			
(b) Capacity and Data Plates.
Every hoist car shall be provided with a capacity plate and a data plate permanently and securely fastened in place. Capacity plates shall be located in a conspicuous place inside the car. Data plates shall be located on the car crosshead.
Exception: For cantilever cars having no crosshead, the data plate shall be located inside the car.

View Graphic

Figure 4 -- Inside Net Platform Areas For Personnel-Hoist Cars
(c) Information Required on Plates.
(1) Capacity plates shall indicate the following:
(A) The rated capacity of the car, in pounds.
(B) The number of persons (200 pounds per person).
(2) Data plates shall indicate the following:
(A) The weight of the car, including safety and all auxiliary equipment attached thereto.
(B) The rated load and speed.
(C) The wire rope data required under 1604.25(b).
(d) Material and Marking of Plate.
Plates shall have letters and figures printed, stamped, or etched or cast on the surface of a durable plate in such a manner as to be readily legible at all times. The height of the letters and figures shall not be less than 1-inch for capacity plates, and 1/8-inch for data plates.
(e) Overload Devices.
Overload devices shall not be permitted.
HISTORY

1. Change without regulatory effect repealing and adopting new Figure 4 within subsection (b) filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
§1604.22. Driving Machines, Sheaves, and Drums.

(a) Type of Driving Machines.
Driving machines shall be powered by electric or hydraulic motors. Hydraulic units, where used shall be electrically driven. The hydraulic drive shall consist of an oil storage tank, a hydraulic pump and a hydraulic motor brake and shall conform to the following requirements:
(1) Valves, piping and fittings shall not be subjected to working pressures exceeding those recommended by the manufacturer for the type of service for which they are used.
(2) Piping shall be so supported as to eliminate undue stresses at joints and fittings, particularly at any section of the line subject to vibration.
(3) Flexible connections shall--where installed in high pressure lines--have a bursting strength of not less than three times the working pressure. Flexible joints may be used in hydraulic lines connecting control or check valves to the motor provided the failure of the flexible sealing element shall not permit separation of the parts connected.
(4) Each pump or group of pumps shall be equipped with a relief valve conforming to the following requirements:
(A) The relief valve shall be located between the pump and the check valve and shall be of such a type and so installed in a bypass connection that the valve cannot be shutoff from the hydraulic system.
(B) The relief valve shall be preset to open at a pressure not greater than 125 percent of the working pressure at the pump.
(C) The size of the relief valve and bypass shall be sufficient to pass the maximum rated capacity of the pump without raising the pressure more than 20 percent above that at which the valve opens. Two or more relief valves may be used to obtain the required capacity.
(D) Relief valves having exposed pressure adjustments, if used, shall have their means of adjustment sealed after being set to the correct pressure.
(5) An electric interlock shall be provided to prevent the start or the movement of the hoist car unless the pump operates at the normal operating speed and pressure.
(6) The brake shall remain in applied position until the pump operates at the normal operating speed and pressure and the movement of the hoist car is initiated.
(7) All components of the hydraulic system shall be shielded.
(b) Winding Drums.
Winding-drum machines may be used irrespective of car travel provided that the drums are grooved for hoisting wire rope. Grooves shall be machine-finished and shall be of the helical or parallel type.
If drums are equipped with helical grooving, only one layer of rope shall be permitted on the drum. If drums are equipped with parallel grooving, (LeBus System, or the equivalent) more than one, but not more than four, layers of rope shall be permitted on the drum.
(c) Car Speed.
The car speed for all drives shall not exceed 600 feet per minute.
(d) Diameter of Drums and Sheaves.
Driving sheaves and drums shall have a pitch diameter of not less than forty times the diameter of the hoisting wire rope. Overhead and deflector sheaves shall have a diameter of not less than thirty times the rope diameter.

Exception: Where 8 x 19 wire hoist rope is used on machines existing at the time of the effective date of these Orders, sheaves and drums may have a diameter of not less than 32 times the rope diameter.
(e) Worms and Worm Gears.
Worms and worm gears, where used in the drive machine, shall be of steel and bronze, respectively.
(1) Helical or parallel drives must run in oil.
(f) Friction Gearing and Clutches.
Friction gearing or clutch mechanisms shall be prohibited.
(g) Brakes.
The driving machine shall be equipped with a friction brake applied by a spring or by gravity and released electrically or hydraulically. The brake shall be designed to have a capacity sufficient to stop and hold the car at rest at 125% of its rated load.
(h) Rack and Pinion Drive.
The rack and pinion drive shall consist of one or more power-driven rotating pinions mounted on the car and arranged to travel on a stationary vertical rack mounted on the hoist structure. The drive shall have at least one pinion, one rack, and two backup rollers. The pinions and rack shall be of steel and shall comply with the following standards of the American Gear Manufacturing Association: AGMA 210.22, AGMA 220.02, and AGMA 240.01. Driving machines located within the car shall be fully enclosed with solid or open metal and if in a cabinet, the cabinet shall be locked.
(i) Factors of Safety.
The factor of safety to be used in the design of driving machines and in the design of sheaves used with hoisting and compensating ropes shall be not less than the following:
(1) Eight for steel, bronze, or for other metals having an elongation of at least 14% in a length of 2 inches.
(2) Ten for cast iron, or for other metals having an elongation of less than 14% in a length of 2 inches.
The load to be used in determining the factor of safety shall be the resultant of the maximum tensions in the ropes leading from the sheave or drum with car at rest and with rated load in the car.
§1604.23. Terminal Stopping Devices.

(a) General Requirements.
Normal- and final-terminal stopping device switches shall conform to the following requirements:
(1) Where located on the car or on the hoist structure, normal- and final-terminal stopping device switches shall be of the enclosed type and securely mounted in such a manner that the movement of the switch lever or roller to open the contacts shall be as nearly as possible in a direction at right angles to a vertical plane through the face of the car guide members.
(2) Operating cams shall be of metal and shall be rigid.
(3) The switch contacts shall be directly opened mechanically.
Arrangements which depend on a spring or gravity, or both, to open the contacts shall not be used.
(b) Normal-Terminal Stopping Devices.
(1) Where Stopping Devices are Required and Function.
Upper and lower normal-terminal stopping devices shall be provided to stop the car automatically, at or near the top and bottom terminal landings, with any load up to and including rated load in the car and from any speed attained normal stopping means and of the final-terminal stopping device. The device shall be so designed and installed that it will continue to function until the final-terminal stopping device operates. The normal-terminal stopping device may be used as the normal stopping means.
(2) Location of Stopping Switches.
Stopping switches for normal-terminal stopping devices shall be located as follows:
(A) Stopping switches for traction machines shall be located on the car, on the hoist structure, or in the machine room, and shall be operated by the movement of the car.
(B) Stopping switches for winding-drum machines shall be located on the car or on the hoist structure and shall be operated by the movement of the car.
(C) Rack and pinion hoists shall have normal-terminal stopping switches located on the cage and operated by cams attached to the hoist structure or switches located on the hoist structure and operated by cams attached to the car.
(3) Requirements for Stopping Switches in Machine Rooms.
Stopping switches located in a machine room shall conform to the following requirements:
(A) The stopping-switch contacts shall be mounted on, and operated by, a stopping device mechanically connected to, and driven by, the car. Stopping devices depending on friction or traction shall not be used.
(B) Tapes, chains, ropes, or similar devices mechanically connecting the stopping device to the car and used as a driving means shall be provided with a device which will cause the electric power to be removed from the elevator driving-machine motor and brake if the driving means fails.
(C) Only one set of floor-stopping contacts is necessary for each terminal landing on floor controllers or other similar devices used to stop the car automatically at the landings (such as automatic operation, signal operation, etc.), provided these contacts and the means for operating them conform to the requirements of Sections 1604.23(b)(3)(A) and 1604.23(b)(3)(B). These contacts may then serve also normal-terminal stopping devices.
(c) Final-Terminal Stopping Devices.
(1) Where Stopping Devices Are Required and Function.
Final-terminal stopping devices shall be provided and arranged to cause the electric power to be removed automatically from the hoist driving-machine motor and brake after the car has passed a terminal landing. The device shall be set to function as close to the terminal landing as practicable but so that under normal operating conditions it will not function when the car is stopped by the normal-terminal stopping device. Where spring buffers are provided, the device shall function before the buffer is engaged. The device shall be so designed and installed that it will continue to function at the following:
(A) At the top terminal landing, until the car has traveled above this landing a distance equal to the counterweight runby plus 1 1/2 times the buffer stroke, but in no case less than 2 feet.
(B) At the bottom terminal landing, until the car rests on its fully compressed buffer.
The operation of final-terminal stopping devices shall prevent movement of the car by the normal operating devices in both directions of travel and shall be reset manually.
(2) Location.
Final-terminal stopping devices shall be located as follows:
(A) Hoists having traction machines shall have final-terminal stopping switches located on the hoist structure and operated by cams attached to the car.
(B) Hoists having winding-drum machines shall have final-terminal stopping switches located on, and operated by, the driving machine and also stopping switches located on the hoist structure and operated by cams attached to the car.
(C) Rack and pinion hoists shall have final-terminal stopping devices located on the cage and operated by cams attached to the hoist structure or switches located on the hoist structure and operated by cams attached to the car.
(3) Controller Switches Controlled by Final-Terminal Stopping Device.
The normal- and final-terminal stopping device shall not control the same controller switches unless two or more separate and independent switches are provided, two of which shall be closed to complete the driving-machine motor-and-brake circuit in either direction of travel. Where a two- or three-phase AC driving-machine motor is used, these switches shall be of the multi-pole type.
The control shall be so designed and installed that a single ground or short circuit may permit either, but not prevent both, the normal- or final-terminal stopping device circuits from stopping the car.
(4) Requirements for Drum-Type Personnel Hists.
Final-terminal stopping devices for drum machines shall conform to the following requirements:
(A) Stopping switches located on, and operated by, the driving machine shall not be driven by chains, ropes, or belts.
(d) Terminal Speed-Limiting Devices.
Terminal speed-limiting devices shall be installed when reduced-stroke oil buffers are used, and car speed exceeds 300 feet per minute. These devices shall conform to the following requirements: 
(1) Terminal speed-limiting devices shall operate independently of the normal-terminal stopping device should this device fail to slow down the car at the terminal as intended.
(2) Terminal speed-limiting devices shall provide a retardation not in excess of 32.2 feet per second per second.
(3) Terminal speed-limiting devices shall not apply the car safety.
(4) Terminal speed-limiting devices shall be so designed and installed that a single short circuit caused by a combination of grounds or by other conditions shall not prevent their functioning.
§1604.24. Operating Devices and Control Equipment.
Note     •     History

(a) Operation and Operating Devices.
(1) Types of Operating Devices. All operating devices shall be of the enclosed electric type. Rope or rod operating devices actuated directly by hand, or rope operating devices actuated by wheels, levers, or cranks, shall not be used.
(2) Operating Devices for Car-Switch Operation Hoists.
Handles of lever-type operating devices of car-switch operation hoists shall be so arranged that they will return to the stop position when the hand of the operator is removed. Car-switch push-buttons shall be of the constant-pressure type so that when the hand is removed from the button the car will stop.
(3) Top-of-Car Operation During Inspection, Maintenance, Repair, Tower Erection and Dismantling.
(A) When persons are on top of a car for the purposes of inspection, maintenance, repair, tower erection or dismantling, the car shall be operated by a competent authorized operator using car top operating devices. In addition, during inspection and maintenance the car shall be operated only in the slowest speed. 
(B) Car top operating devices shall conform to the requirements of subsection (a)(2), and be installed in such a manner that the in-car operating devices are not functional when car top operation is selected. The car top operating devices shall include an emergency stop button, conforming to the requirements of Section 1604.24(b)(4) that when activated will stop the car at any point of travel.
(C) Car top operating devices shall be so located and arranged to prevent inadvertent exposure of the operator to hazards of contact with moving counterweights and stationary elements of the hoist tower, tower tie-ins, or adjacent structure.
(D) The tops of cars shall be enclosed by a standard guardrail and toeboard meeting the specifications of Section 3209 of the General Industry Safety Orders except that for the purposes of this subsection, the area between the car top and the midrail may be filled with screen material with maximum openings that will reject a 3/4 inch diameter ball.
(b) Electrical Protective Devices.
Electrical protective devices shall be provided in accordance with the following requirements:
(1) Slack-Rope Switch.
Hoists having winding-drum machines shall be provided with a slack-rope device equipped with a slack rope of the enclosed manually reset type which shall cause the electric power to be removed from the hoist driving-machine motor and brake if the hoisting ropes become slack.
(2) Motor-Generator Running Switch.
Where generator-field control is used, means shall be provided to prevent the application of power to the hoist driving-machine motor and brake unless the motor-generator-set connections are properly switched for the running condition of the hoist. It is not required that the electrical connections between the hoist driving-machine motor and the generator be opened in order to remove power from the hoist motor.
(3) Motor-Field Excitation Switch.
Where generator-field control is used, a motor-field excitation switch shall be provided which shall cause the electric power to be removed from the hoist driving-machine motor and brake unless current is flowing in the shunt-field circuit of the hoist driving-machine motor.
(4) Emergency Stop Switch.
An emergency stop switch shall be provided in the car and located in, or adjacent to, the car operating pane. When opened, this switch shall cause the electric power to be removed from the hoist driving machine motor and brake. Emergency stop switches shall have the following characteristics:
(A) They shall be of the manually opened and closed type.
(B) They shall have red operating handles or buttons.
(C) They shall be conspicuously and permanently marked “STOP.”
(D) They shall be positively opened mechanically and their opening shall not be solely dependent on springs.
(5) Broken-Rope, Tape, or Chain Switches Used in Connection with Machine-Room Normal-Terminal Stopping Switches.
Broken-rope, tape, or chain switches shall be provided in connection with normal-terminal stopping devices located in machine rooms of traction hoists. Such switches shall be opened by a failure of the rope, tape, or chain.
(6) Car-Safety-Mechanism Switch.
A switch conforming to the requirements of Sections 1604.19(f), 1604.20(d)(1), and 1604.20(d)(3) shall be required where a car safety is provided.
(7) Speed-Governor Overspeed Switch.
A speed-governor overspeed switch shall be provided when required by Section 1604.20(d)(1) and shall conform to the requirements given under Sections 1604.20(d)(2) and 1604.20(d)(3).
(8) Final-Terminal Stopping Devices.
Final-terminal stopping devices conforming to the requirements given under Section 1604.23(c) shall be provided.
(9) Terminal Speed-Limiting Devices.
Where reduced-stroke oil buffers are provided or car rated speed exceeds 300 feet per minute, emergency terminal stopping devices conforming to the requirements given under Section 1604.23(d) shall be provided.
(10) Compensating-Rope Sheave Switch.
Compensating-rope sheaves, when used, shall be provided with a compensating-rope sheave switch or switches mechanically opened by the compensating-rope sheave before the sheave reaches its upper or lower limit of travel, to cause the electric power to be removed from the elevator driving-machine motor and brake.
(11) Primary Magnetic Switch.
A primary magnetic contactor shall be provided for main power disconnect, in addition to the normal service disconnect switch as required by Section 1604.24(d). The primary magnetic contactor shall perform its power disconnect function upon any interruption of the final-terminal stopping devices and all other electrical safety devices.
(12) Car Door or Gate Electric Contacts.
Car door or gate electric contacts conforming to the requirements given under Section 1604.18(b) shall be provided for all hoists.
(13) Normal-Terminal Stopping Devices.
Normal-terminal stopping devices conforming to the requirements given under Section 1604.23(b) shall be provided for every hoist.
(14) Motor-Generator Overspeed Protection.
Means shall be provided to cause the electric power to be removed automatically from the hoist driving-machine motor and brake should a motor-generator set, driven by a DC motor, overspeed.
(c) Voltages Permitted in the Hoistway or on the Car.
The maximum system or circuit potential permitted on any equipment in the hoistway or on the car shall not be more than 440 volts (nominal). Where the potential exceeds 120 volts, a grounding conductor shall be incorporated in the traveling cable. The type and size of the grounding conductor and the grounding fastening means shall conform to the requirements of the Electrical Safety Orders.

Exception: Installations provided with an inherent grounding system for the car.
(1) The nominal rated system or circuit potential for all circuits, in locations other than those specified, shall not exceed 600 volts except for driving motors of motor-generator sets.
(d) Supply-Line Disconnecting Means.
A fused-disconnect switch or a circuit breaker shall be installed and connected into the power-supply line to each elevator motor or motors or to the motor of the motor-generator set. Disconnect switches or circuit breakers shall be of the manually closed multi-pole type arranged to be locked in the open position and their location shall conform to the requirements of the Electrical Safety Orders.
Disconnect means for hoists having a DC primary power supply and rheostatic control shall have the disconnect switch arranged so that its opening will directly open the driving-machine brake circuit.
Where circuit breakers are used as a disconnecting means, they shall not be of the instantaneous type and shall not be opened automatically by a fire alarm system.
(e) Phase-Reversal and Failure Protection.
Hoists having polyphase AC power supply shall be provided with means to prevent the starting of the hoist motor if the phase rotation is in the wrong direction, or there is a failure of any phase.
This protection shall be considered provided in the case of generator-field control having AC motor-generator driving motors, provided a reversal of phase will not cause the hoist driving-machine motor to operate in the wrong direction. Controllers whose switches are operated by polyphase torque motors provide inherent protection against phase reversal or failure.
(f) Devices to Make Electrical Protective Devices Inoperative.
The installation of condensers, the operation or failure of which will cause an unsafe operation of the hoist, is prohibited. No permanent device shall be installed, except as provided in this Standard, which will make any required electrical protective device inoperative.
(g) Driving Machine Brakes.
Driving machine brakes shall not be electrically released until power has been applied to the driving machine motor.
All power feed lines to the brake shall be opened, and the brake shall apply automatically when the following conditions prevail:
(1) The operating device of a car switch or continuous pressure operation hoist is in the stop position.
(2) A floor stop device functions.
(3) Any of the electrical protective devices function.
Under conditions (1) and (2) above, the application of the brake may occur on or before the completion of the slowdown and leveling operations.
The brake shall not be permanently connected across the armature or field of a DC hoist driving-machine motor.
(h) Control and Operating Circuit.
In the design and installation of the control and operating circuits, the following requirements shall be met:
(1) Springs shall not be used to actuate switches, contactors, or relays to break the circuit to stop the hoist.
(2) The completion or maintenance of an electric circuit shall not be used to interrupt the power to the hoist driving-machine motor or brake at the terminal landings, nor to stop the car when the emergency stop switch is opened or any of the electrical protective devices operate.

Exception: The requirements of Section 1604.24(h)(2) do not apply to dynamic braking or to speed control switches.
(3) The failure of any single magnetically operated switch, contactor, or relay to release in the intended manner, or the occurrence of a single accidental ground, shall not permit the car to start or run if any hoistway door interlock is unlocked or if any hoistway door or car door or gate contact is not in the closed position.
(4) Where generator-field control is used, means shall be provided to prevent the generator from building up and applying sufficient current to the hoist driving-machine motor to move the car when the hoist motor control switches are in the “off” position. The means used shall not interfere with maintenance of an effective dynamic braking circuit during stopping and standstill conditions.
(i) Absorption of Regenerated Power.
Where a power source is used which, in itself, is incapable of absorbing the energy generated by an overhauling load, means of absorbing sufficient energy shall be provided on the load side of each hoist power supply-line disconnecting means to prevent the hoist from attaining governor-tripping speed or a speed in excess of 125% of rated speed, whichever is less.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending subsections (b)(12) and (h)(3) and adding Note filed 12-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 52).
2. Amendment of subsection (a)(3), new subsections (a)(3)(A)-(D), repealer of subsection (b)(6), subsection renumbering and amend of newly designated subsection (b)(10) filed 7-17-2008; operative 8-16-2008 (Register 2008, No. 29).
§1604.25. Hoisting and Counterweight Ropes, and Rope Connections.

(a) Suspension Means.
Hoist cars shall be suspended by steel wire ropes attached to the car frame or passing around sheaves attached to the car frame specified in Section 1604.16.
Exception: Exceptions are hoists with rack and pinion machines.
(1) Only steel wire ropes having the commercial classification “elevator wire rope,” or specifications recommended by wire rope manufacturers for hoist use, shall be used for the suspension of hoist cars or for the suspension of counterweights.
(b) Wire Rope Data.
(1) Wire Rope Data on Crosshead Data Plate.
The crosshead data plate required by Section 1604.21(b) shall bear the following wire rope data:
(A) The number of ropes.
(B) The diameter, in inches.
(C) The manufacturer's rated breaking strength per rope, in pounds.
(2) Wire Rope Data on Rope Data Tag.
A metal data tag shall be securely attached to one of the wire rope fastenings. This data tag shall bear the following wire rope data:
(A) The diameter, in inches.
(B) The manufacturer's rated breaking strength.
(C) The grade of material used.
(D) The month and year the ropes were installed.
(E) Whether rope is non-preformed or preformed.
(F) Construction classification.
(G) Name of person or firm that installed ropes.
(H) Name of manufacturer of the rope.
A new tag shall be installed at each rope renewal. The material and marking of the rope data tag shall conform to the requirements of Section 1604.21(d), except that the height of the letters and figures shall be not less than 1/16-inch.
(3) Wire Rope Data Log.
A log shall be kept by the employer at the work site office which will indicate the following:
(A) The day, month, and year the ropes were installed, and whether they were new or used when installed.
(B) The day, month, and year the ropes were refastened to permit increase in the height of the hoist.
(C) The name of the person or firm who performed the functions described in 1604.25(b)(3)(A) and (B).
(c) Factor of Safety.
The factors of safety of the suspension wire ropes shall be not less than shown in Table 5. Figure 5 gives the minimum factors of safety for intermediate rope speeds. The factor of safety shall be based on the actual rope speed corresponding to the rated speed of the car. The factor of safety shall be calculated by the following formula:

View Graphic
where
S = Manufacturer's rated breaking strength of one rope.
N = Number of runs of rope under load (see Note).
W = Maximum static load imposed on all car ropes, with the car and its rated load at any position in the hoistway.
Note: In the case of multiple roping, the number of runs of rope (N) under the load will be: twice the number of ropes used, for 2:1 roping; three times the number of ropes used, for 3:1 roping, etc.

Table 5 
Minimum Factors of Safety for Suspension Wire Ropes

	Rope Speed 	Minimum Factor 
	(feet per minute) 	of Safety

	50	 7.60
 	75	 7.75
 	100	 7.95
 	125	 8.10
 	150	 8.25
 	175	 8.40
 	200	 8.60
 	225	 8.75
 	250	 8.90
 	300	 9.20
 	350	 9.50
 	400	 9.75
 	450	 10.00
 	500	 10.25
 	550	 10.45
 	600	 10.70
			
(d) Minimum Number and Diameter of Ropes.
The minimum number of hoisting ropes used shall be three for traction hoists and two for drum type hoists.
Where a car counterweight is used, the number of counterweight ropes used shall be not less than two.
The term “diameter,” where used in Section 1604.25, shall refer to the nominal diameter as given by the rope manufacturer.
The minimum diameter of hoisting and counterweight ropes shall be 1/2-inch.
(e) Rope Equalizers.
Suspension rope equalizers may be used.
(f) Securing Ropes to Winding Drums.
Car suspension ropes of winding-drum machines shall have the ends of the rope secured to the drum or drum flange by means of clamps or tapered sockets or by other means approved by the enforcing authorities.
(g) Spare Rope Turns on Winding Drums.
Wire suspension ropes of drum type machines shall have not less than three wraps of the rope on the drum when the car is resting on the fully compressed buffers.
(h) Splicing Rope.
Suspension wire ropes shall not be lengthened or repaired by splicing.
(i) Rope Fastenings.
(1) Type of Rope Fastening.
Hoisting and counterweight wire ropes shall be attached to cars and counterweights by means of zinc-coated or galvanized drop forged fist grips or equal and wire rope thimbles, or by approved special fastening devices. When fist grips are used, the minimum number, spacing, and tightening torque shall be in accordance with the instructions of the grip manufacturer. Grips shall be periodically checked and retightened to the recommended torque.
When extra wire rope is carried on top of the frame of the hoisting platform, a drum and clamp tie down or equivalent type anchor device, which will not damage or deform the wire rope, shall be used.
(2) Babbitted Rope Sockets.
Babbitted rope sockets shall be prohibited except on permanent passenger or freight elevators which are temporarily being used as construction personnel hoists. 

View Graphic
(j) Rope Inspection.
(1) A representative of the user of the personnel hoist shall be appointed, and this representative shall keep written records of the rope condition on file at the work site.
(2) Inspection periods shall be established for each hoist installation, with the frequency of inspection determined by the type of installation and operating conditions. Inspection shall be made at least once each 30 days.
(3) If ropes are dirty or over-lubricated, a proper inspection may not be possible unless the dirt or excess lubricant is removed.
(4) Examination of traction machine ropes and counterweight ropes of drum type hoists should preferably start with the car located at the top of the hoistway and should be made from the top of the car, with the ropes examined on the counterweight side.
(5) The hoist ropes of overhead drum type machines must be examined from the overhead machinery space.
(6) Where a traction or drum machine is located below, the portions of the ropes leading from the driving machine drum or sheave and from the counterweight to the overhead sheaves can be examined from the top of the car as it descends, except for a small portion which must be examined from the pit.
(7) The rope should be marked with chalk to indicate location of unexamined sections which must be inspected from other locations such as the pit or overhead machinery space.
(8) Sheaves, guards, guides, drums, flanges, and other surfaces contacted by wire rope during operation should be examined at the time of inspection. Any condition harmful to the rope shall be corrected.
(k) Rope Replacement.
If one wire rope of a set requires replacement, the entire set of ropes shall be replaced. Wire rope shall be removed or replaced immediately if it has one or more of the following defects:
(1) Severe corrosion. (Any development of slight corrosion should be noted and watched closely.)
(2) One or more valley breaks. (A valley break is a wire break occurring in the valley between two adjacent strands.)
(3) Six randomly distributed broken wires in one rope lay or three broken wires in one strand in one rope lay. (A rope lay is the length along the rope in which one strand makes a complete revolution around the rope.)
(4) Development of broken wires in the vicinity of attachments. If this condition is localized in an operating rope and the section in question can be eliminated by making a new attachment, this may be done rather than replacing the entire rope.
(5) Abrasion, scrubbing, flattening, or peening causing loss of more than one-third of the original diameter of the outside wires.
(6) Severe kinking, crushing, birdcaging, or other damage resulting in distortion of the rope structure.
(7) Evidence of any heat damage resulting from a torch or any caused by contact with electrical wires.
(8) Reduction from nominal diameter of more than 3/64-inch for diameters up to and including 3/4-inch, 1/16-inch for diameters 7/8 to 1 1/8 inches, and 3/32-inch for diameters 1 1/4 to 1 1/2 inches. Marked reduction in diameter indicates deterioration of the core.
Governor ropes shall be replaced on the same basis as hoisting ropes. (These ropes are lightly loaded and may show little or no wear. Inspectors should check for fatigued wires in strand valleys by bending over a small radius.) 
§1604.26. Inspection, Tests and Operation of Personnel Hoists.
Note     •     History

(a) Acceptance Inspections and Tests of New Installations and Alterations. In order to ensure the safe operation of new hoists, such devices shall, on their completion and before being placed in service, be subjected to an acceptance inspection and tests in the field to determine that all parts of the installation conform to the applicable requirements of this Standard and that all safety equipment functions as required. A similar inspection and test shall be made following a major alteration of an existing installation and at any time the hoist is moved to a new location. (A jump of the tower after initial installation shall not be considered a major alteration.) Records shall be maintained and kept on file at the job site for the duration of the job.
(1) Persons Authorized to Make Acceptance Inspections and Tests. Inspections shall be made by a representative of the Division of Industrial Safety. The following tests shall be performed by the person or firm installing or altering the equipment in the presence of the Division representative.
(A) Acceptance tests for car and counterweight safeties and governors.
(B) Acceptance tests for oil buffers.
(C) Any tests which require rendering of any safety device or equipment inoperative or which require removal or resetting of devices or equipment.
(2) Acceptance Inspection Requirements. All parts of the installation shall be inspected for conformity with the applicable requirements of these Safety Orders.
(3) Acceptance Test for Safeties. Car safeties shall be tested with rated load in the car. Counterweight safeties, where provided, shall be tested with no load in the car.
(4) Acceptance Test for Governors. Governor-tripping speed shall be measured and the operation of the governor overspeed switch and safety mechanism switch inspected.
(5) Acceptance Test for Oil Buffers. Oil buffers under the car shall be tested with a rated load on the car traveling at rated speed. Oil buffers under the counterweight shall be tested with no load on the car and the counterweight traveling at rated speed.
(b) Periodic Inspections and Tests. All existing installations, and all new installations after being placed in service, shall be subjected to periodic inspections and tests at regular intervals of not more than 3 months for construction hoists and not more than one week for bridge construction elevators to determine that the equipment is in safe operating condition and has not been altered. All parts subject to wear shall be inspected and those worn to such an extent as to affect the safe operation of the installation shall be adjusted or replaced. Whenever the hoisting equipment installed on bridges is exposed to winds exceeding 35 miles per hour, it shall be inspected and put into operable condition before use. The employer shall prepare a certification record which includes the date the inspection and test of all functions and safety devices was performed; the signature of the person who performed the inspection and test; and a serial number or other identifier for the hoist that was inspected and tested. The most recent certification record shall be maintained on file at the job site.
(1) Periodic Inspections. Periodic inspections and tests as recommended by the hoist manufacturer shall be performed by a person designated by the employer and qualified to perform such service. Records shall be maintained and kept on file at the job site for the duration of the job.
(c) Operation. Hoists shall be operated only by a competent authorized operator, in the car, or stationed adjacent to the driving machine subject to the following conditions:
(1) A regular attendant is stationed in the car.
(2) A constant-pressure-type switch shall be provided in the car, which must be held manually in the closed position by the attendant in the car in order to permit operation of the driving machine and which shall be opened automatically when released by the operator during normal or emergency stop operations.
(3) A means of closed voice communication shall be provided between the car attendant and the operator stationed adjacent to the driving machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 4-19-90; operative 5-19-90 (Register 90, No. 19). For prior history, see Register 75, No. 46.
2. Amendment of section heading filed 7-17-2008; operative 8-16-2008 (Register 2008, No. 29).
§1604.27. Maintenance.

(a) Lubrication.
All parts of the machinery and equipment requiring lubrication shall be lubricated at regular intervals as recommended by the manufacturer, and a log maintained.
(b) Making Safety Devices Inoperative.
No person shall at any time make any required safety device or electrical protective device inoperative, except where necessary during tests, inspections, and maintenance. Immediately upon completion of such tests, inspections, and maintenance, such devices shall be restored to their normal operating condition in conformance with the applicable requirements of this Standard.
§1604.28. Use of Hoists for Carrying Materials.

(a) Personnel hoists may be used for carrying materials provided the hoists are designed and installed for the type of loading to be used.
(b) Only the operator and personnel necessary to load and unload materials being hoisted shall be allowed in the personnel hoist when it is being used primarily to hoist materials. 
§1604.29. Permit to Operate.

(a) After inspection of each new personnel hoist by an authorized representative of the Division, a permit to operate shall be issued before the device is placed in service, except that the hoist may be placed in service while the permit to operate is being processed if, in the opinion of the inspecting representative of the Division, the hoist is safe to operate.
(b) Inspection fees to cover the cost to the Division of making the inspection shall be charged as follows: 

New Inspection 

4 to 8 landings	 $25.00
9 to 15 landings	 $30.00
16 to 21 landings	 $35.00
over 21 landings	 $40.00

(c) After completion of such requirements as may be necessary in the opinion of the Division to comply with these regulations and upon payment of the inspection fee, a permit to operate will be issued and shall be posted in a conspicuous location in the car.
The permit shall be in effect for one year or for the length of time the personnel hoist is at the same location except that the permit may be revoked if periodic inspections and tests show the hoist to be in an unsafe condition.
No personnel hoist shall be operated without a valid permit except as permitted by Section 1604.29(a).
§1604.30. Revision of American National Standards Referred to in This Document.

(a) When the following American National Standards referred to in this document are superseded by a revision approved by the American National Standards Institute, Inc., the revision shall apply:
(1) American National Standard Building Code Requirements for Reinforced Concrete, A89.1-1972 (ACI 318-71).
(2) American National Standard Specification for Low and Intermediate Tensile Strength Carbon Steel Plates of Structural Quality, G24.2-1972 (ASTM A283-70a).
(3) American National Standard Specification for Quenched and Tempered Alloy Steel Bolts or Structural Steel Joints, G24.19-1972 (ASTM A490-71).
(4) American National Standard Specification for Low Carbon Steel Externally and Internally Threaded Standard Fasteners, G28.5-1969 (ASTM A307.68).
(5) American National Standard Specification for High-Strength Bolts for Structural Steel Joints, including Suitable Nuts and Plain Hardened Washers, G38.6-1972 (ASTM A325-71a).
(6) American National Standard Specification for Structural Steel, G41.5-1970 (ASTM A325-69).
(7) American National Standard Specification for Steel Structural Rivets, G42.2-1968 (ASTM A502.65).
(8) American National Standard Specification for Mild to Medium Strength Carbon Steel Castings for General Application, G50.1-1972 (ASTM A27-71).
(9) American National Standard Specification for Carbon Steel Forgings for General Industrial Use, G55.20-1969 (ASTM A235-67).
(10) American National Standard Methods of Static Tests of Timbers in Structural Sizes, 04.2-1969 (ASTM D198-67).
(11) American National Standard Methods for Establishing Structural Grades for Visually Graded Lumber, 04.3-1969 (ASTM D245-68T).
(12) American National Standard Safety in Welding and Cutting, Z49.1-1973. 
§1605. Construction Material Hoists.

Construction material hoists shall comply with Sections 1605.1 through 1605.21.
§1605.1. General Requirements.

The employer shall comply with the manufacturer's specifications and limitations applicable to the operation of all hoists and elevators. Where manufacturer's specifications are not available, the limitations assigned to the equipment shall be based on the determinations of a professional engineer competent in the field.
§1605.2. References to Other Codes.

These Safety Orders are supplemented by the following Subchapters of Title 8 of the California Administrative Code.
(a) Construction Safety Orders, Subchapter 4
(b) General Industry Safety Orders, Subchapter 7
(c) Electrical Safety Orders, Subchapter 5
§1605.3. Requirements for Hoisting Towers.

(a) Material hoist towers shall be constructed of structural steel, steel pipe, wrought iron, or other equivalent.
(b) All sheaves, guy ties, bolt connections, miscellaneous clamps, braces, and similar parts shall be regularly inspected after the installation is initially placed in operation, and at least once each month thereafter. All broken, defective, and worn parts shall be replaced or repaired.
(c) Hoist-operating rules shall be established and posted in conspicuous locations adjacent of the hoist to the operator's station and the structure it serves. The operating rules shall include the following:
(1) A signal system.
(2) Provision for authorized riding on the hoist platform for the purpose of inspection and servicing only.
(3) Acceptable safe procedures for loading and unloading cages, platforms, and buckets.
(4) Operating procedures including allowable line speed for various loads.
(5) A sign on the car frame reading “No Riders Allowed.”
(d) All material hoist towers shall be designed by licensed professional engineers. 
§1605.4. Foundations.

(a) Hoist-tower foundations shall be constructed to safely support the intended tower live and dead loads, and shall not exceed the safe bearing capacity of the ground or floor upon which they rest.
§1605.5. Erection.

(a) Personnel engaged in the erection, maintenance, and dismantling of a material hoist shall be provided with and required to use such appropriate personal protective devices as set forth in these Orders.
(b) Hoist towers shall be vertically straight.
(c) Hoist towers shall be electrically grounded.
(d) The guide rails of hoists shall be of steel securely fastened, and shall deflect no more than 1/4-inch under normal operation.
(e) Hoist towers may be used with or without an enclosure on all sides. However, whichever alternate is chosen, the following conditions applicable to either, must be met:
(1) When a hoist tower is enclosed it shall be enclosed on all sides for its entire height with a wire-screen enclosure of not less than No. 18 U. S. Standard gage wire or equivalent material, with openings not exceeding 1/2-inch mesh, securely fastened to the tower structure, with openings formed onto each landing.
(2) When a hoist tower is not enclosed, the hoist platform or car shall be totally enclosed (caged) on all sides, including the roof, for the full height between the floor and the cage top. The walls of the cage shall be constructed of 1/2-inch mesh of No. 14 U. S. Standard gage wire or equivalent. The hoist-platform enclosure shall include the required gates for loading and unloading.
(f) All entrances to hoistways shall be protected by substantial gates or bars which shall guard the full width of the landing entrance.
(1) Gates shall be not less than 66 inches in height and located not more than 4 inches from the hoistway line with a maximum under-clearance of 2 inches. Gates of grille or lattice or other open work shall have openings of not more than 2 inches.
(2) Bars shall be not less than 2 by 4-inch wooden bars or the equivalent, located 2 feet from the hoistway line. Bars shall be located not less than 36 inches nor more than 42 inches above the floor.
(3) Gates or bars protecting the entrances to hoistway shall be equipped with a latching device. Material hoists serving structures over 70 feet in height, or where the hoist landing platforms are not clearly visible to the hoist operator, shall be equipped with a telephone system or an electrical system or both, to assure that all gates or bars are closed before the hoist platform can be moved.
(g) Hoist towers shall be erected to a height necessary for immediate needs. However, the tower shall not be extended in height beyond the designer's recommendations and never more than 66 feet above the last (highest) guy point.
(h) An enclosure of No. 18 U. S. Standard gage wire mesh or equivalent material, which will reject a one-inch steel ball, shall be provided to prevent access into the space at the bottom of the hoist tower. The enclosure shall extend not less than 6 feet above the base of the hoist tower.
(i) Positive connections, such as those made with bolts or pins, shall join the various segments from which assembled towers are made.
(j) Diagonal bracing, or the equivalent, shall be placed on each of the four sides of the tower and between horizontal crossties, except at loading platforms, in which case bracing of equivalent strength shall be provided.
(k) Hoist towers shall only be erected and dismantled under the direct supervision of competent personnel.
§1605.6. Guying.

(a) Towers shall be secured with guys or rigid braces at each corner at intervals not to exceed 30 feet vertically.
(b) Towers guys shall be at least 1/2-inch diameter improved plow-steel wire rope, secured to anchorages with wire-rope clips as specified in Table 5, or the equivalent. The wire-rope fastenings and the anchorages shall withstand four times the maximum intended loadings. 
§1605.7. Cantilever Towers.

(a) The requirements outlined in 1605.5(j) of this Standard do not apply to cantilever towers.
(b) Cantilever towers shall be secured with guys or rigid braces, according to manufacturer's recommendation, at intervals not to exceed 30 feet vertically or the manufacturer's recommended spacing, whichever is the lesser.
(c) All other Sections of this Standard are applicable to cantilever towers.
§1605.8. Requirements for Inside Hoists.

(a) The sides of the hoistways not used for entrances shall be enclosed on each floor for their entire height with wire mesh or equivalent material and reinforced to withstand a horizontal force of 100 pounds per square foot, applied to any point. The openings in the mesh shall reject a one-inch steel ball.
(b) Protective covering of heavy planking shall be provided below the cathead of all hoists to prevent objects falling down the hoistway.
§1605.9. Hoist Platforms and Cages.

(a) Workmen shall be prohibited from riding the hoist platform except for authorized inspection and maintenance.
(b) When wheelbarrows or other rolling equipment are transported, they shall be held securely in place on the hoist platform.
(c) Overhead protective covering of two-inch planking, 3/4-inch plywood or other solid material of equivalent strength shall be provided on the top of every material hoist cage or platform to prevent objects falling on the workmen loading or unloading the hoist.
(d) The protective covering on the top of the cage or platform may be made in hinged sections that may be raised when hoisting long material.
(e) When using a cage or platform for long material, the several pieces of the material shall be securely fastened together and made fast to the cage or platform, so that no part of the load can fall or project beyond the sides of the cage or platform.
(f) Platform floors covered with metal, shall have a non-slip surface.
(g) When a hoist tower is not enclosed, the hoist platform or car shall be totally enclosed (caged) on all sides including the roof, for the full height between the floor and the cage top. The walls of the cage shall be constructed of 1/2-inch mesh of No. 14 U. S. Standard gage wire or the equivalent. The hoist-platform enclosure will include the required gates for loading and unloading.
(h) A stamped plate indicating the manufacturer's rated load of the hoist in pounds shall be conspicuously displayed in the hoist cage.
(i) Broken-rope safety devices, if and when used in conjunction with material platforms or concrete buckets, shall conform to the following conditions. However, under no circumstances shall they be construed to satisfy the requirements of Section 1604 of these Orders.
(1) The safety device when engaged shall be capable of stopping and holding the platform or bucket with its rated load.
(2) The safety device shall be securely attached to the frame of the platform, or bucket, in such manner that the platform, or bucket, will not become separated from the safety device under the conditions cited in (1) above.
(3) Any platform, or bucket, used in conjunction with safety devices shall be capable of meeting the conditions cited in (1) above without resultant failures or loss of its load.
(4) Any material hoist structure including tower components, guide rails, and their attachments, and any parts affected by the action of the safety device, when subjected to the conditions cited in (1) above shall sustain the platform or bucket with its rated load without structural failure.
(5) The safety device shall be activated by a positive means in the event of rope failure, and when engaged shall be released only by raising the platform or bucket from the stopped position.
(6) The ability of the equipment to satisfy the requirements of (1) and (2) above, shall be established by tests witnessed by the enforcing author-- 
ity, an independent testing laboratory, or registered professional engineer.
§1605.10. Concrete Buckets.
Note     •     History

(a) When employees are required to work in the pit, the bucket shall be shored on two sides with timbers, or their equivalent, of sufficient strength to support the bucket. Timbers shall not protrude into an adjacent hoistway.
(b) Employees shall be prohibited from riding the bucket.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 12-22-97; operative 1-21-98 (Register 97, No. 52).
§1605.11. Booms.

(a) All booms mounted on a material hoist tower shall operate at fixed radii.
(b) Live booms shall be prohibited.
§1605.12. Hoisting Wire Rope and Sheaves.

(a) Breaking Strength. All hoisting wire rope shall be of such breaking strength as to provide a minimum factor of safety of seven. The factor of safety (F) shall be calculated by the following formula:

View Graphic
where
S = Manufacturer's rated breaking strength of one rope.
N = Number of parts of ropes under load.
W = Maximum static load imposed on all ropes with the platform, cage, or bucket, and its rated load at any position in the hoistway.
(b) Wire Rope Inspection.
(1) Inspector.
A representative of the user of the material hoist shall be appointed and this representative shall keep written reports of the rope condition on file at the work site. The representative shall have the authority to order wire rope replacements and keep unsafe wire rope from being used.
(2) Periods of Inspection.
Inspection periods shall be set-up for each material-hoist wire rope. The frequency of inspection shall be determined by consideration of environment, degree of hazard to materials, frequency of operation, and the frequency with which the rope is subjected to its capacity limits. Inspections shall be made not less often than once each 30 days.
(3) Method of Inspection.
The working length of the wire rope shall be unwound from the hoist drum. Thorough inspection shall be made of the rope sections that pass over sheaves, drums, or contact saddles, or which make opposing turns. The rope close to end attachments shall be carefully inspected.
(4) Inspection of Used Wire Rope.
A used wire rope shall be thoroughly inspected prior to installation.
(5) Inspection of Wire Rope on Idle Equipment.
The wire rope on equipment that has been idle or shutdown for a period of one month or more shall be completely inspected prior to operation.
(6) Surfaces Contacted by Wire Rope.
Sheaves, guards, guides, drums, flanges, and other surfaces contacted by wire rope during operation should be examined at the time of inspection. Any condition harmful to the rope in use at the time should be corrected.
(c) Wire Rope Removal and Replacement.
Wire rope with one or more of the following defects shall be removed or replaced immediately:
(1) Corrosion. Severe corrosion shall be cause for replacement. Any development of slight corrosion should be noted and watched closely.
(2) Broken Wires. One or more valley breaks shall be cause for replacement. (A valley break is a wire break occurring in the valley between two adjacent strands.)
Six randomly distributed broken wires in one rope lay, or three broken wires in one strand in one rope lay, shall be cause for replacement. (A rope lay is the length along the rope in which one strand makes a complete revolution around the rope.)
(3) End Attachments. Development of broken wires in the vicinity of attachments shall be cause for replacement. If this condition is localized in an operating rope and the section in question can be eliminated by making a new attachment, this can be done rather than replacing the entire rope.
(4) Abrasion. Abrasion, scrubbing, flattening, or peening causing loss of more than one-third of the original diameter of the outside wires shall be cause for replacement.
(5) Kinking. Severe kinking, crushing, birdcaging, or other damage resulting in distortion of the rope structure shall be cause for replacement.
(6) Heat. Evidence of any heat damage resulting from a torch, or any caused by contact with electrical wires shall be cause for replacement.
(7) Reduction of Rope Diameter. Reduction from nominal diameter of more than 3/64-inch for diameters up to and including 3/4-inch; 1/16-inch for diameters 7/8 to 1 1/8 inches; and 3/22-inch for diameter 1 1/4 to 1 1/2 inches shall be causes for replacement. Marked reduction in diameter indicates deterioration of the core.
(d) Wire Rope Installation. Hoisting ropes shall be installed in accordance with the wire rope manufacturer's recommendations. The hoisting ropes shall be secured to the drum by clamps or by an approved equivalent means.
(e) Drums and Sheaves.
(1) Pitch diameters of drums shall be a minimum of 24 times the nominal rope diameter. The drum flange shall extend at least 2 inches radially beyond the last layer of rope when all rope is coiled on the drum.
(2) The winding drum shall have not less than three turns of rope when the platform, cage, or bucket is at the lowest point of travel. 
(3) All hoisting wire rope shall be improved plow steel grade or stronger, and equal in flexibility to 6 x 19 classification wire rope. The joining of hoisting ropes by splicing is prohibited.
(4) There shall be at least 4 feet of clearance between the cathead sheave and the hoisting-rope fastening on the platform, cage, or bucket when either is at the uppermost terminal or landing. 
(5) The arc of the bottom of the sheave groove shall be smooth and concentric with the bore or shaft of the sheave. The center line of the groove shall be in a plane perpendicular to the axis of the bore or shaft of the above sheave.
(6) Sheave grooves shall be machined or cast, providing the bottom of the groove has a radius subtending an arc of 150 degrees and conforms to Table 1.

Table 1 
Groove Radii for New and Reconditioned Sheave Grooves

	Wire Rope, 		Root
	Nominal	Groove 	Radius
	Diameter 	Minimum 	Maximum	

		1/4	.140	.150
		5/16	.170	.180
		3/8	 .205	.215
		1/2	.265	.275
		5/8	.330	.340
		3/4	.390	.400
		7/8	.460	.475
	1		 .525	 .540
	1	1/8	.585	.600
	1	1/4	.655	.670
					
(7) Load-bearing sheaves for wire rope shall be grooved to accommodate the rope and shall have a diameter at least 20 times that of the wire rope. For minimum tread diameter of sheaves see Table 2. (The diameter of a sheave is measured at the bottom of the grooves.)
(8) Sheaves intended for use with fiber rope shall not be used with wire rope.
(9) Defective and worn sheaves that may cause equipment failure or damage to the wire rope shall be replaced. If pillow blocks are used, they shall be mounted on top of beams and securely bolted. Open bearings shall not be used. 
(10) No snatch blocks or hood-type sheaves shall be used on any hoist tower.

Table 2
Minimum Ratio of Rope Diameter to Sheave Tread Diameter

	Diameter	Minimum
	of Hoisting	Tread Diameter
	Rope	of Sheaves*
	(Inches) 	(Inches)

 		1/4	5
 		5/16	6	1/2
 		3/8	7	1/2
 		1/2	10
 		5/8	12	1/2
 		3/4 	15
 		7/8	17	1/2
 	1		20
 	1	1/8 	22	1/2
 	1	1/4	25

* Based on 20 times rope diameter.
(11) All sheaves shall be of iron or steel.
(12) All sheave bearings shall be lined with babbit, or other equivalent bearing metal, or have ball or roller bearings.
(13) Sheave bearings shall be provided with adequate means for lubrication.
§1605.13. Wire Rope Fastenings.

(a) Hoisting ropes shall be attached by means of zinc-coated or galvanized drop forged fist grips or equal and wire rope thimbles, or by approved special fastening devices. When fist grips are used, the minimum number, spacing, and tightening torque shall be in accordance with the instructions of the grip manufacturer. Grips shall be periodically checked and retightened to the recommended torque.
(b) When extra wire rope is carried on top of the frame of the hoisting platform, a drum and clamp tie down or equivalent type anchor device, which will not damage the wire rope, shall be used.
§1605.14. Hoisting Machines.

(a) Hoisting machines shall be designed, installed, and maintained to vertically raise and lower the rated load plus the weight of equipment and ropes.
(b) The hoisting machine shall be equipped with brakes capable of stopping and holding 125 percent of rated hoisting capacity under all operating conditions.
(c) The hoisting machine shall be secured in position so as to prevent lateral movement, shifting, or dislodgement.
(d) The location and arrangement of the hoisting machine, tower, and related sheaves shall be such that proper wrapping of the wire rope on the drum will be assured to prevent “overriding,” fouling, improper spacing, or any other condition which will cause damage to the wire rope or hoisting machine.
(e) Hoisting machines shall not be left unattended with the load suspended.
(f) Adequate blocking and bracing shall be provided between the hoisting machine and the tower to prevent the transmission of any unbalanced lateral forces to the tower resulting from the pull of the hoisting ropes.
(g) When hoisting machinery is set on an elevated platform, such platforms shall be of substantial construction, properly engineered, and provided with guardrails and toeboards which conform to these Orders.
(h) Wire hoisting ropes within 7 feet of floor or ground shall be guarded by an enclosure or fence.
(i) All gears on hoisting machines shall be completely guarded.
(j) Not more than one platform winch head, boom, or bucket shall be operated at the same time by any one hoisting machine.
(k) Brake drums shall be kept free of oil, grease, or any other substance which reduces their efficiency.
(l) Mechanical brakes shall be so installed as to stop movement of the winding drum, and equipped with a positive acting latch or other mechanical device, designed as part of the hoist, which will hold the brake in the engaged position.
(m) Each manually operated hoisting machine shall be equipped with an effective pawl and ratchet capable of holding the rated load capacity when it is suspended.
(n) Internal-combustion-engine exhaust pipes shall be arranged to exhaust away from workmen so the gases will be dissipated harmlessly. A muffler shall be installed to reduce the noise.
(o) Only approved safety cans shall be used for fueling internal-combustion engines. When gravity-type fuel systems are used, a cutoff valve shall be installed between the internal-combustion engine and the fuel-supply tank.
(p) Open light, flames, or spark-producing devices shall be kept at a safe distance while refueling internal-combustion engines, and no person shall smoke or carry lighted smoking materials in the immediate area. The engine shall be stopped during refueling.
(q) A fire extinguisher which meets the requirements of the General Industry Safety Orders shall be part of the hoisting equipment.
(r) The operation of every hoist shall be controlled by an electrically or mechanically designed signal system. Manual signals may only be used when visibility and distance permit, and the signals can be relayed directly to the hoist operator. See Section 1605.21 for recommended signal systems.
(s) The platform, cage, or bucket shall be brought to its lowest position, the hoisting machine shall be shutdown and positively secured against accidental start-up when men climb the hoist tower or work on any part of the tower below the cathead. The platform, cage, or bucket may be used to raise workmen for authorized maintenance and repairs that cannot be done otherwise.
(t) All hoisting equipment, including brakes, gears, levers, and wire rope, shall be visually inspected daily. All broken, worn, or defective parts shall be repaired or replaced when discovered.
(u) Electrical equipment shall be effectively grounded. Ground cables shall be enclosed or shielded as necessary, and shall be tagged for identification.
(v) Each automatically operated electrical-motor-driven hoist shall be provided with a mechanical automatic motor brake, or equivalent device, to hold the load automatically in case of power failure.
§1605.15. Protection of Operator.

(a) See Article 4, Construction Safety Orders for protection of operator from dust and airborne material.
(b) The operator station of a hoisting machine shall be provided with overhead protection equivalent to tight planking not less than 2 inches thick. The support for the overhead protection shall be of equal strength.
(c) The area occupied by the hoisting machine and its operator shall be protected from the elements and shall be heated in cold weather.
(d) No open-flame heaters shall be allowed inside any operator's enclosure. All other types shall be properly vented.
(e) Heating systems using liquefied petroleum gases shall be installed in compliance with the Unfired Pressure Vessel Safety Orders.
§1605.16. Signal Systems.

(a) Hoisting machines shall be operated in response to manual signals, telephone communications, or to a visible or audible code signal. Any of these may be used separately or in combination. Refer to Section 1605.21.
(b) Operators and signalmen shall be able to comprehend signals readily and to execute them properly. Refer to Section 1605.21.
§1605.17. Indicators.

Hoisting ropes shall be accurately marked, or equivalent means taken, to indicate when the load has reached specific positions, including top and bottom landings. 
§1605.18. Electric Motors.

(a) Motor installations shall be made in accordance with provisions of applicable local codes and the Electrical Safety Orders.
(b) Only enclosed switches with grounded cases and fuses or circuit breakers shall be used.
(c) Control panels shall be enclosed and unauthorized persons shall not be permitted access to such panels.
(d) An emergency means shall be provided within reach of the operator to cutoff the electric power.
§1605.19. Landings and Runways.
Note     •     History

(a) Landing platforms and runways that connect the hoistway or tower to the building shall be designed and constructed to sustain safely the maximum intended load. If floors or platforms are covered with metal, they shall have non-slip surfaces.
(b) Railings and toeboards which conform to these Orders shall be placed on the open sides of runways connecting the tower to the structure.
(c) All landing platforms where employees may be exposed to falling objects shall be provided with a solid overhead protection composed of 2-inch planking or the equivalent.
(d) A barricade shall be required at the building face which extends a minimum distance of 6 feet laterally along the outer edge of the building, from each side of the landing or runway. The barricade shall extend a minimum distance of 36 inches above the level of the landing, runway or structure floor. The material used for the barricade shall be the equivalent of No. 18 U. S. Standard gage wire with openings not exceeding 1/2-inch mesh or equivalent.
(e) Working platforms of ample size and strength, and railings and toeboards which conform to these Orders, shall be built at each level where employees are required to work, such as bucket dumps, hopper headers, and similar places.
(f) Access to and around landings and the area around the hoisting machine shall be kept clear of rubbish and waste material.
(g) Materials shall not be stored on landing platforms or landing runways.
(h) All hoistway entrance barriers and gates shall be painted with diagonal black and yellow stripes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (e) and new Note filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
§1605.20. Capacity Statement and Design.

(a) All material hoist towers, masts, etc., shall be substantially constructed and of such design that maximum intended loads will not stress any members beyond safe limits established by applicable engineering formulas.
(b) The design shall also provide ample strength for loads imposed by the use of booms attached to a tower or mast. Where auxiliary equipment or other load-bearing devices, in addition to that of the loaded platform or bucket, is supported by the tower, the tower shall be built to withstand these additional loads and stresses safely. The rated load, specified by the manufacturer, shall not be exceeded.
§1605.21. Introduction.

One or a combination of several types of signal systems may be used: manual signals, audible signals, or electrical signals. Whatever the system in use, a copy of the signals shall be posted in a conspicuous place on or near each landing and at the hoist operator's position. The height of the tower and the number of wells in the tower shall be the determining factor in selecting the type of signals for safe operation.
(a) One-Hand Signals to Hoist Operators.
(1) Hoist: Forearm vertical and forefinger pointing upward, move hand in small horizontal circle.
(2) Lower: Arm extended and palm down, move hand in small vertical circle.
(3) Stop: Arm extended horizontally and palm down, hold position rigidly.
(4) Emergency Stop: Both arms extended horizontally but move hands rapidly right and left.
(5) Dog Off Load: With forearms extended vertically, clasp and unclasp fists several times.
(b) Two-Hand Signals to Hoist Operators.
(1) Hoist: Hold both arms horizontal at sides, fully extended, move upward and return.
(2) Lower: Let arms hang at sides, fully extended, move out and return.
(3) Stop: Hold both arms horizontal at sides, fully extended; hold position rigidly.
(4) Emergency Stop: Hold both arms horizontal at sides, fully extended; move both arms rapidly from back to front.
(5) Dog Off Load: Clasp fingers of one hand with fingers of the other, palms facing each other.
(c) Audible Signals.
Audible signals shall not be used when there are surrounding noises of the same, or nearly the same, frequency and octave level. Signals given by means of a whistle, bell, horn, or other audible means are as follows:
(1) Hoist: Two short blasts or gongs.
(2) Lower: Three short blasts or gongs.
(3) Slow: Four long blasts or gongs.
(4) Stop: One short blast or gong.
(5) Emergency Stop: Series of short blasts or gongs.
(6) Dog Off Load: One long blast or gong.
(d) Electrical Signals.
An electrical signal system utilizing bells or lights may be used. A bell signal system that does not register landing calls shall use the signals indicated in the preceding paragraph to control movement of the platform or bucket. One of two types of light systems, either a general system or a specific call system, may be installed.
(1) General Light Systems.
The necessary light or lights shall be so located at the hoist operator's station that they are readily visible to him at all times. A call button must be installed at each landing. Control of the hoist platform or bucket is governed by the following light signals:
(A) Hoist: Two lights or two light flashes.
(B) Lower: Three lights or three light flashes.
(C) Stop: One light or one light flash.
(D) Emergency Stop: Series of light flashes.
(E) Dog Off Load: One long light or lighting of separate dog-off light.
(2) Specific Call Light Systems.
A light to indicate each floor landing shall be installed in the most visible position at the hoist operator's station. A call signal button shall be installed at each landing. When the platform or bucket is needed at a certain floor, the call signal button registers that location on the proper light at the operator's station. Signals for movement may be given by audible or visible means.
(e) Electrical Intercommunication Systems.
(1) Electrical intercommunication systems may be installed. The wiring for such systems shall comply with the pertinent provisions of the Electrical Safety Orders.
(2) Speakers shall be so located at the hoist operator's position that he can communicate with all stations. A speaker shall also be located at each landing so that communication can be maintained with the hoist operator.
(3) Mechanical and electrical signal systems shall be inspected daily. Excessively worn or damaged parts shall be replaced immediately.
(4) All wires, cords, or other devices used in connection with signal systems shall be protected against unauthorized or unintentional use, breakage, or interference.
Article 15. Cranes and Derricks in Construction
§1610. General Requirements.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and repealer and new section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27). For prior history of article 15, sections 1610-1616, see Register 87, No. 19.
§1610.1. Scope.
Note     •     History

(a) This Article applies to power operated equipment, when used in construction, that can hoist, lower and horizontally move a suspended load. Such equipment includes, but is not limited to: Articulating cranes (such as knuckle-boom cranes); crawler cranes; floating cranes; cranes on barges; locomotive cranes; mobile cranes (such as wheel-mounted, rough-terrain, all-terrain, commercial truck-mounted, and boom truck cranes); multi-purpose machines when configured to hoist and lower (by means of a winch or hook) and horizontally move a suspended load; industrial cranes (such as carry-deck cranes); dedicated pile drivers; service/mechanic trucks with a hoisting device; a crane on a monorail; tower cranes [such as a fixed jib, (i.e., “hammerhead boom”), luffing boom and self-erecting]; pedestal cranes; portal cranes; overhead and gantry cranes; straddle cranes; sideboom cranes; derricks; and variations of such equipment. However, items listed in subsection (c) of this section are excluded from the scope of this standard.
(b) Attachments. This Article applies to equipment included in subsection (a) when used with attachments. Such attachments, whether crane-attached or suspended include, but are not limited to: Hooks, magnets, grapples, clamshell buckets, orange peel buckets, concrete buckets, drag lines, personnel platforms, augers or drills and pile driving equipment.
(c) Exclusions. This Article does not cover:
(1) Machinery included in subsection (a) while it has been converted or adapted for a non-hoisting/lifting use. Such conversions/adaptations include, but are not limited to, power shovels, excavators and concrete pumps.
(2) Power shovels, excavators, wheel loaders, backhoes, loader backhoes, track loaders. This machinery is also excluded when used with chains, slings or other rigging to lift suspended loads.
(3) Automotive wreckers and tow trucks when used to clear wrecks and haul vehicles.
(4) Digger derricks when used for augering holes for poles carrying electric and telecommunication lines, placing and removing the poles, and for handling associated materials to be installed on or removed from the poles.
(A) Digger derricks used in work subject to the Electrical Safety Orders shall comply with Section 2940.7 of those Safety Orders. 
(B) Digger derricks used in construction work for telecommunication service (as defined in the Telecommunication Safety Orders) shall comply with those Safety Orders.
(5) Machinery originally designed as vehicle-mounted aerial devices (for lifting personnel) and self-propelled elevating work platforms.
(6) Telescopic/hydraulic gantry systems.
(7) Stacker cranes.
(8) Powered industrial trucks (forklifts), except when configured to hoist and lower (by means of a winch or hook) and horizontally move a suspended load.
(9) Mechanic's truck with a hoisting device when used in activities related to equipment maintenance and repair.
(10) Machinery that hoists by using a come-a-long or chainfall.
(11) Dedicated drilling rigs.
(12) Gin poles when used for the erection of communication towers.
(13) Anchor handling or dredge related operations with a vessel or barge using an affixed A-frame.
(14) Unpowered, rolling material lifts with hand-powered winches (roustabouts).
(15) Helicopter cranes.
(d) All sections of this Article 15 apply to the equipment covered by this Article unless specified otherwise.
(e) For work covered by the High-Voltage Electrical Safety Orders, compliance with those Orders is deemed compliance with Section 1611.5 and Sections 1612.1 through 1612.4.
(f) Section 1610.5 does not apply to cranes designed for use on railroad tracks, when used on railroad tracks that are part of the general railroad system of transportation that is regulated pursuant to the Federal Railroad Administration under 49 CFR part 213, and that comply with applicable Federal Railroad Administration requirements. See Section 1610.5(f).
(g) Effective date. Cranes and derricks used in construction operations shall be subject to the provisions of General Industry Safety Orders, Group 13, until July 6, 2011. The requirements of these Construction Safety Orders, Article 15, shall become effective on July 7, 2011.

NOTE: For the relationship between these Construction Safety Order (CSO) crane and derrick standards and the General Industry Safety Orders (GISO) crane and derrick standards, see CSO Section 1502(b) and GISO Section 3202(a).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of subsection (c)(14) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1610.2. Design Standards.
Note     •     History

(a) Cranes and derricks used in construction which are manufactured prior to July 7, 2011 shall be designed, constructed and installed in accordance with the applicable standards of General Industry Safety Orders, Section 4884.
(b) Cranes and derricks used in construction which are manufactured on or after July 7, 2011 shall be designed, constructed and installed in accordance with the following applicable standards which are hereby incorporated by reference: 
(1) American National Standards Institute (ANSI)/American Society of Mechanical Engineers (ASME) standards:
(A) ASME B30.2-2005, Overhead and Gantry Cranes (Top Running Bridge, Single or Multiple Girder, Top Running Trolley Hoist), issued Dec. 30, 2005. 
(B) B30.3-1996, Construction Tower Cranes (includes Hammerhead Tower Cranes). 
(C) B30.4-1996, Portal, Tower and Pedestal. 
(D) ASME B30.5-2004, Mobile and Locomotive Cranes, issued Sept. 27, 2004. 
(E) B30.6-1995, Derricks. 
(F) ASME B30.7-2001, Base-Mounted Drum Hoists, issued Jan. 21, 2002.
(G) B30.8-1982, Floating Cranes and Floating Derricks. 
(H) B30.11-1980, Monorails and Underhung Cranes. 
(I) B30.13-1977, Controlled Mechanical Storage Cranes. 
(J) ASME B30.14-2004, Side Boom Tractors, issued Sept. 20, 2004.
(K) B30.17-1992, Overhead and Gantry Cranes (Top Running Bridge, Single Girder, Underhung Hoist). 
(2) American Welding Society (AWS) standards:
(A) AWS D1.1/D1.1M:2002, Structural Welding Code--Steel, 18th ed., ANSI approved Aug. 31, 2001.
(B) ANSI/AWS D14.3-94, Specification for Welding Earthmoving and Construction Equipment, ANSI approved Jun. 11, 1993. 
(3) British Standards Institution (BSI) standards:
(A) BS EN 13000:2004, Cranes--Mobile Cranes, published Jan. 4, 2006.
(B) BS EN 14439:2006, Cranes--Safety--Tower Cranes, published Jan. 31, 2007.
(4) International Organization for Standardization (ISO) standards:
(A) ISO 11660-1:2008(E), Cranes--Access, guards and restraint--Part 1: General, 2d ed., Feb. 15, 2008.
(B) ISO 11660-2:1994(E), Cranes--Access, guards and restraints--Part 2: Mobile cranes, 1994. 
(C) ISO 11660-3:2008(E), Cranes--Access, guards and restraint--Part 3: Tower cranes, 2d ed., Feb. 15, 2008.
(5) Power Crane and Shovel Association (PCSA) standards:
(A) PCSA Std. No. 1, Mobile Crane and Excavator Standards, 1968.
(B) PCSA Std. No. 2, Mobile Hydraulic Crane Standards, 1968.
(C) PCSA Std. No. 3, Mobile Hydraulic Excavator Standards, 1969.
(6) Society of Automotive Engineers (SAE) standards:
(A) SAE J185 (reaf. May 2003), Access Systems for Off-Road Machines, reaffirmed May 2003.
(B) SAE J987 (rev. Jun. 2003), Lattice Boom Cranes -- Method of Test, revised Jun. 2003.
(C) SAE J1063 (rev. Nov. 1993), Cantilevered Boom Crane Structures -- Method of Test, revised Nov. 1993.
(c) All electrically powered cranes and derricks shall also comply with applicable CCR Title 8 Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1610.3. Definitions.
Note     •     History

A/D Director (Assembly/Disassembly Director). An individual who meets this section's requirements for an A/D director, irrespective of the person's formal job title or whether the person is non-management or management personnel.
Accessory gear. Those items specified by the crane manufacturer as being authorized for use on the load chart such as jibs, blocks, and hooks.
Articulating Crane. A crane whose boom consists of a series of folding, pin connected structural members, typically manipulated to extend or retract by power from hydraulic cylinders.
Assembly/Disassembly. The assembly and/or disassembly of equipment covered under this standard. With regard to tower cranes, “erecting and climbing” replaces the term “assembly,” and “dismantling” replaces the term “disassembly.” Regardless of whether the crane is initially erected to its full height or is climbed in stages, the process of increasing the height of the crane is an erection process.
Assist Crane. A crane used to assist in assembling or disassembling a crane.
Attachment(s). Any device that expands the range of tasks that can be done by the equipment. Examples include, but are not limited to: An auger, drill, magnet, pile-driver, and boom-attached personnel platform.
Audible Signal. A signal made by a distinct sound or series of sounds. Examples include, but are not limited to, sounds made by a bell, horn, or whistle.
Blocking (also referred to as “cribbing”) is wood or other material used to support equipment or a component and distribute loads to the ground. It is typically used to support lattice boom sections during assembly/disassembly and under outrigger and stabilizer floats.
Boatswain's Chair. A single-point adjustable suspension scaffold consisting of a seat or sling (which may be incorporated into a full body harness) designed to support one employee in a sitting position.
Bogie. See “Trolley (Travel Bogie),” which is defined below.
Boom. A member section of a crane or derrick, the lower end of which is affixed to a mast, base, carriage, or support, and the upper end supports a hook or other end attachment. The length of the boom shall be taken as the straight line distance between the axis of the foot pin and the axis of the end sheave pin.
Boom (equipment other than tower crane). An inclined spar, strut, or other long structural member which supports the upper hoisting tackle on a crane or derrick. Typically, the length and vertical angle of the boom can be varied to achieve increased height or height and reach when lifting loads. Booms can usually be grouped into general categories of hydraulically extendible, cantilevered type, latticed section, cable supported type or articulating type.
Boom (tower cranes): On tower cranes, if the “boom” (i.e., principal horizontal structure) is fixed, it is referred to as a jib; if it is moveable up and down, it is referred to as a boom.
Boom angle indicator. A device which measures the angle of the boom relative to horizontal.
Boom hoist limiting device. Includes boom hoist disengaging device, boom hoist shut-off, boom hoist disconnect, boom hoist hydraulic relief, boom hoist kick-outs, automatic boom stop device, or derricking limiter. This type of device disengages boom hoist power when the boom reaches a predetermined operating angle. It also sets brakes or closes valves to prevent the boom from lowering after power is disengaged.
Boom length indicator. Indicates the length of the permanent part of the boom (such as ruled markings on the boom) or, as in some computerized systems, the length of the boom with extensions/attachments.
Boom stop. Includes boom stops, (belly straps with struts/standoff), telescoping boom stops, attachment boom stops, and backstops. These devices restrict the boom from moving above a certain maximum angle and toppling over backward.
Boom suspension system. A system of pendants, running ropes, sheaves, and other hardware which supports the boom tip and controls the boom angle.
Builder. The builder/constructor of equipment.
Center of gravity: The center of gravity of any object is the point in the object around which its weight is evenly distributed. If you could put a support under that point, you could balance the object on the support.
Certificating Agency. Certificating agencies are qualified agencies, and/or persons, licensed by the Division to examine, test and certify cranes and derricks in accordance with Sections 344.60 through 344.67 of Title 8 of the California Code of Regulations.
Certified Agent. The manufacturer, or a person who is currently registered as a professional civil, mechanical, or structural engineer by the State of California and is knowledgeable in the structure and use of the equipment.
Certified welder. A welder who meets nationally recognized certification requirements applicable to the task being performed.
Climbing. The process in which a tower crane is raised to a new working height, either by adding additional tower sections to the top of the crane (top climbing), or by a system in which the entire crane is raised inside the structure (inside climbing).
Come-a-long. A mechanical device typically consisting of a chain or cable attached at each end that is used to facilitate movement of materials through leverage.
Competent person. A person who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.
Controlled load lowering. Lowering a load by means of a mechanical hoist drum device that allows a hoisted load to be lowered with maximum control using the gear train or hydraulic components of the hoist mechanism. Controlled load lowering requires the use of the hoist drive motor, rather than the load hoist brake, to lower the load.
Controlling entity. An employer that is a prime contractor, general contractor, construction manager or any other legal entity which has the overall responsibility for the construction of the project -- its planning, quality and completion.
Counterweight. A weight used to supplement the weight of equipment in providing stability for lifting loads by counterbalancing those loads.
Crane. A machine for lifting or lowering a load and moving it horizontally, in which the hoisting mechanism is an integral part of the machine. It may be driven manually or by power and may be a fixed or a mobile machine, but does not include stackers, lift trucks, power shovels, backhoes, or excavators. Some of the common types of cranes are defined as follows:
(A) Boom-Type Mobile Crane. A self-propelled crane equipped with a boom and mounted on a chassis which is supported on either rubber tires, crawler treads or railway wheels running on railroad tracks.
(B) Cantilever Gantry Crane. A crane in which the bridge girders or trusses are extended transversely beyond the crane runway on one or both sides. Its runway may be either on the ground or elevated.
(C) Crawler Crane. A crane consisting of a superstructure with power plant, operating machinery and boom, mounted on a base, equipped with crawler treads for travel.
(D) Floor Operated Crane. A crane which is pendant or nonconductive rope controlled by an operator on the floor or an independent platform.
(E) Gantry Crane. A crane similar to an overhead traveling crane, except that the bridge for carrying the trolley or trolleys is rigidly supported on two or more movable legs running on fixed rails or other runway.
(1) Container Handling Yard Crane. Rubber tired gantry crane. 
(F) Hammerhead Crane. A rotating, counterbalanced cantilever, equipped with one or more trolleys and supported by a pivot or turntable on a traveling or fixed tower.
(G) Jib Crane. A fixed crane consisting of a supported vertical member from which extends a horizontal swinging arm carrying a trolley hoist or other hoisting mechanism.
(H) Locomotive Crane. A crane mounted on a base or car equipped for travel on a railroad track. 
(I) Monorail Crane. A crane whose hoisting mechanism is suspended from, and is an integral part of, one or more trolleys mounted on a single track.
(J) Motor Truck Crane. A boom-type mobile crane mounted on a motor truck frame or rubber-tired chassis. It consists of a rotating superstructure with power plant, operating mechanism and boom.
(K) Overhead Traveling or Bridge Crane. A crane on a pair of parallel elevated runways, adapted to lift and lower a load and carry it horizontally parallel to, or at right angles to, the runways or both; and consisting of one or more trolleys operating on the bridge which in turn consists of one or more girders or trusses mounted on trucks operating on the elevated runways, with its operation limited to the area between the runways.
(L) Pillar Crane. A fixed crane consisting of a vertical member held in position at the base to resist overturning moment with constant-radius revolving boom supported at the outer end by a tension member.
(M) Pillar Jib Crane. A fixed crane consisting of a vertical member held at the base with a horizontal revolving arm carrying a trolley.
(N) Polar Crane. A bridge or gantry type crane which travels on a circular track.
(O) Portal Crane (Whirly Type). A type of crane consisting of a rotating upperstructure, hoist machinery, and boom mounted on top of a structural gantry which may be fixed in one location or have travel capability. The gantry legs or columns usually have portal openings in between to allow passage of traffic beneath the gantry. 
(P) Power Operated Crane. A crane whose mechanism is driven by electric, air, hydraulic or internal combustion means.
(Q) Pulpit-Operated Crane. A crane operated from a fixed operation station not a hazard to the crane.
(R) Remote-Operated Crane. A crane controlled by an operator not in a pulpit or in a cab hooked to the crane, by any method other than pendant or rope control.
(S) Standby Crane. A crane which is not in regular service but which is used occasionally or intermittently as required.
(T) Semi-Gantry or Single Leg Crane. A gantry crane with 1 end of the bridge rigidly supported on one or more movable legs, running on a fixed rail or runway, the other end of the bridge being supported by a truck running on an elevated rail or runway.
(U) Semi-Portal Crane. A portal crane mounted on a semi-gantry frame instead of a gantry frame.
(W) Traveling Jib Crane. A jib crane with the vertical member running on a track, its upper end guided by a parallel overhead track.
(X) Wall Crane. A crane having jib with or without a trolley and supported from a side wall or line of columns of a building.
(Y) Wheel Mounted Crane. A crane consisting of a rotating superstructure with power plant, operating machinery and boom, mounted on a base or platform equipped with axles and rubber-tired wheels for travel. The base is usually propelled by the engine in the superstructure, but it may be equipped with a separate engine controlled from the superstructure. Its function is to hoist and swing loads at various radii.
Crossover points. Locations on a wire rope which is spooled on a drum where one layer of rope climbs up on and crosses over the previous layer. This takes place at each flange of the drum as the rope is spooled onto the drum, reaches the flange, and begins to wrap back in the opposite direction.
Dedicated channel. A line of communication assigned by the employer who controls the communication system to only one signal person and crane/derrick or to a coordinated group of cranes/derricks/signal person(s).
Dedicated drilling rig. A machine which creates bore holes and/or shafts in the ground.
Dedicated pile-driver is a machine that is designed to function exclusively as a pile-driver. These machines typically have the ability to both hoist the material that will be pile-driven and to pile-drive that material.
Dedicated spotter (power lines): To be considered a dedicated spotter, the requirements of Section 1618.2 (Signal person qualifications) must be met and his/her sole responsibility is to watch the separation between the power line and the equipment, load line and load (including rigging and lifting accessories), and ensure through communication with the operator that the applicable minimum approach distance is not breached.
Derrick. An apparatus consisting of a mast or equivalent member held at the top by guys or braces, with or without a boom, for use with a hoisting mechanism and operating rope, for lifting or lowering a load and moving it horizontally.
(A) A-Frame Derrick. A derrick in which the boom is hinged from a cross member between the bottom ends of two upright members spread apart at the lower ends and joined at the top; the boom point secured to the junction of the side members, and the side members are braced or guyed from this junction point.
(B) Breast Derrick. A derrick without a boom. The mast consists of two side members spread farther apart at the base than at the top and tied together at top and bottom by rigid members. The mast is prevented from tipping forward by guys connected to its top. The load is raised and lowered by ropes through a sheave or block secured to the top crosspiece.
(C) Gin Pole Derrick. A derrick without a boom. Its guys are so arranged from its top to permit leaning the mast in any direction. The load is raised and lowered by ropes reeved through sheaves or blocks at the top of the mast.
(D) Guy Derrick. A fixed derrick consisting of a mast capable of being rotated, supported in a vertical position by guys, and a boom whose bottom end is hinged or pivoted to move in a vertical plane with a reeved rope between the head of the mast and the boom point for raising and lowering the boom, and a reeved rope from the boom point for raising and lowering the load.
(E) Stiffleg Derrick. A derrick similar to a guy derrick except that the mast is supported or held in place by two or more stiff members, called stifflegs, which are capable of resisting either tensile or compressive forces. Sills are generally provided to connect the lower ends of the stifflegs to the foot of the mast.
(F) Shearleg Derrick. A derrick without a boom and similar to a breast derrick. The mast, wide at the bottom and narrow at the top, is hinged at the bottom and has its top secured by a multiple reeved guy to permit handling loads at various radii by means of load tackle suspended from the mast top.
Designated Person. A person selected or assigned by the employer or the employer's representative, qualified to perform specific duties.
Directly under the load. A part or all of an employee is directly beneath the load.
Dismantling. Includes partial dismantling (such as dismantling to shorten a boom or substitute a different component).
Drum rotation indicator. A device on a crane or hoist which indicates in which direction and at what relative speed a particular hoist drum is turning.
Electrical contact. Occurs when a person, object, or equipment makes contact or comes in close proximity with an energized conductor or equipment that allows the passage of current.
Employer-made equipment. Floating cranes/derricks designed and built by an employer for the employer's own use.
Encroachment. Where any part of the crane, load line or load (including rigging and lifting accessories) breaches a minimum clearance distance that this Article 15 requires to be maintained from a power line.
Equipment criteria. Instructions, recommendations, limitations and specifications.
Fall protection equipment. Guardrail systems, safety net systems, personal fall arrest systems, positioning device systems or fall restraint systems.
Fall restraint system. A fall protection system that prevents the user from falling any distance. The system is comprised of either a body belt or body harness, along with an anchorage, connectors and other necessary equipment. The other components typically include a lanyard, and may also include a lifeline and other devices.
Fall zone. The area (including but not limited to the area directly beneath the load) in which it is reasonably foreseeable that partially or completely suspended materials could fall in the event of an accident.
Flange points. Points of contact between rope and drum flange where the rope changes layers.
Floating cranes/derricks. Equipment designed by the manufacturer (or employer) for marine use by permanent attachment to a barge, pontoons, vessel or other means of flotation.
For example means “one example, although there are others.”
Free fall (of the load line) means that only the brake is used to regulate the descent of the load line (the drive mechanism is not used to drive the load down faster or retard its lowering).
Free surface effect is the uncontrolled transverse movement of liquids in compartments which reduce a vessel's transverse stability.
Hoist. A mechanical device for lifting and lowering loads by winding a line onto or off a drum.
Hoisting. The act of raising, lowering or otherwise moving a load in the air with equipment covered by this standard. As used in this standard, “hoisting” can be done by means other than wire rope/hoist drum equipment.
Include/including means “including, but not limited to.”
Insulating link/device. An insulating device listed, labeled, or accepted by a Nationally Recognized Testing Laboratory in accordance with 29 CFR 1910.7.
Jib stop (also referred to as a jib backstop), is the same type of device as a boom stop but is for a fixed or luffing jib.
Land crane/derrick. Equipment not originally designed by the manufacturer for marine use by permanent attachment to barges, pontoons, vessels, or other means of floatation.
List. The angle of inclination about the longitudinal axis of a barge, pontoons, vessel or other means of floatation.
Load refers to the object(s) being hoisted and/or the weight of the object(s); both uses refer to the object(s) and the load-attaching equipment, such as, the load block, ropes, slings, shackles, and any other ancillary attachment.
Load moment (or rated capacity) indicator. A system which aids the equipment operator by sensing (directly or indirectly) the overturning moment on the equipment, i.e., load multiplied by radius. It compares this lifting condition to the equipment's rated capacity, and indicates to the operator the percentage of capacity at which the equipment is working. Lights, bells, or buzzers may be incorporated as a warning of an approaching overload condition.
Load moment (or rated capacity) limiter. A system which aids the equipment operator by sensing (directly or indirectly) the overturning moment on the equipment, i.e., load multiplied by radius. It compares this lifting condition to the equipment's rated capacity, and when the rated capacity is reached, it shuts off power to those equipment functions which can increase the severity of loading on the equipment, e.g., hoisting, telescoping out, or luffing out. Typically, those functions which decrease the severity of loading on the equipment remain operational, e.g., lowering, telescoping in, or luffing in. 
Locomotive crane. A crane mounted on a base or car equipped for travel on a railroad track.
Luffing jib limiting device. Similar to a boom hoist limiting device, except that it limits the movement of the luffing jib.
Marine hoisted personnel transfer device. A device, such as a “transfer net,” that is designed to protect the employees being hoisted during a marine transfer and to facilitate rapid entry into and exit from the device. Such devices do not include boatswain's chairs when hoisted by equipment covered by this standard.
Marine worksite. A construction worksite located in, on or above the water.
Mobile crane. A lifting device incorporating a cable suspended latticed boom or hydraulic telescopic boom designed to be moved between operating locations by transport over the road.
Moving point-to-point means the times during which an employee is in the process of going to or from a work station.
Multi-purpose machine. A machine that is designed to be configured in various ways, at least one of which allows it to hoist (by means of a winch or hook) and horizontally move a suspended load. For example, a machine that can rotate and can be configured with removable forks/tongs (for use as a forklift) or with a winch pack, jib (with a hook at the end) or jib used in conjunction with a winch. When configured with the forks/tongs, it is not covered by this standard. When configured with a winch pack, jib (with a hook at the end) or jib used in conjunction with a winch, it is covered by this standard.
Nonconductive means that, because of the nature and condition of the materials used, and the conditions of use (including environmental conditions and condition of the material), the object in question has the property of not becoming energized (that is, it has high dielectric properties offering a high resistance to the passage of current under the conditions of use).
Operational aids. Devices that assist the operator in the safe operation of the crane by providing information or automatically taking control of a crane function. These include, but are not limited to, the devices listed in Section 1615.2 (“listed operational aids”).
Operational controls. Levers, switches, pedals and other devices for controlling equipment operation.
Operator. A person who is operating the equipment.
Overhead and gantry cranes. Includes overhead/bridge cranes, semi-gantry, cantilever gantry, wall cranes, storage bridge cranes, launching gantry cranes, and similar equipment, irrespective of whether it travels on tracks, wheels, or other means.
Pendants.
(A) Wire type: A fixed length of wire rope with mechanical fittings at both ends for pinning segments of wire rope together. 
(B) Bar type: Instead of wire rope, a bar is used. Pendants are typically used in a latticed boom crane system to easily change the length of the boom suspension system without completely changing the rope on the drum when the boom length is increased or decreased.
Power lines. Electric transmission and distribution lines.
Procedures. Include, but are not limited to: Instructions, diagrams, recommendations, warnings, specifications, protocols and limitations.
Proximity alarm. A device that provides a warning of proximity to a power line and that has been listed, labeled, or accepted by a Nationally Recognized Testing Laboratory in accordance with 29 CFR 1910.7, or approved in accordance with Section 1505.
Qualified evaluator (not a third party). A person employed by the signal person's employer who has demonstrated that he/she is competent in accurately assessing whether individuals meet the Qualification Requirements in this Article 15 for a signal person.
Qualified evaluator (third party). An entity that, due to its independence and expertise, has demonstrated that it is competent in accurately assessing whether individuals meet the Qualification Requirements in this Article 15 for a signal person.
Qualified rigger is a rigger who meets the criteria for a qualified person.
Radius (Load). The horizontal distance from the center of rotation of a crane or derrick to the center of the vertical hoist line, hook shank or pin, or tackle with load applied. 
Range control limit device. A device that can be set by an equipment operator to limit movement of the boom or jib tip to a plane or multiple planes.
Range control warning device. A device that can be set by an equipment operator to warn that the boom or jib tip is at a plane or multiple planes.
Rated capacity. The maximum working load permitted by the manufacturer under specified working conditions. Such working conditions typically include a specific combination of factors such as equipment configuration, radii, boom length, and other parameters of use.
Rated capacity indicator: See load moment indicator.
Rated capacity limiter: See load moment limiter.
Registered Professional Engineer (RPE). A person who is registered as a professional civil, mechanical, or structural engineer by the State of California and is knowledgeable in the structure and use of the equipment.
Repetitive pickup points refer to, when operating on a short cycle operation, the rope being used on a single layer and being spooled repetitively over a short portion of the drum.
Running wire rope. A wire rope that moves over sheaves or drums.
Runway. A firm, level surface designed, prepared and designated as a path of travel for the weight and configuration of the crane being used to lift and travel with the crane suspended platform. An existing surface may be used as long as it meets these criteria.
Sideboom crane. A track-type or wheel-type tractor having a boom mounted on the side of the tractor, used for lifting, lowering or transporting a load suspended on the load hook. The boom or hook can be lifted or lowered in a vertical direction only.
Special hazard warnings. Warnings of site-specific hazards (for example, proximity of power lines).
Stability (flotation device). The tendency of a barge, pontoons, vessel or other means of flotation to return to an upright position after having been inclined by an external force.
Standard Method means the protocol in General Industry Safety Orders, Section 5001, Plate I for hand signals.
Superstructure: See “Upperworks.”
Tagline. A rope (usually fiber) attached to a lifted load for purposes of controlling load spinning and pendular motions or used to stabilize a bucket or magnet during material handling operations.
Tender. An individual responsible for monitoring and communicating with a diver.
Tilt up or tilt down operation. Raising/lowering a load from the horizontal to vertical or vertical to horizontal.
Trolley (Travel bogie). A truck or carriage supporting the load mounted on an overhead beam, bridge, cableway or track.
Trim. Angle of inclination about the transverse axis of a barge, pontoons, vessel or other means of floatation.
Two-Blocking. A condition in which the lower load block or hook assembly comes into contact with the upper load block or boom point sheave assembly. This binds the system and continued application of power can cause failure of the hoist rope or other component.
Unavailable procedures. Procedures that are no longer available from the manufacturer, or have never been available, from the manufacturer.
Upperstructure: See “Upperworks.”
Upperworks. The revolving frame of equipment on which the operating machinery (and many cases the engine) are mounted along with the operator's cab. The counterweight is typically supported on the rear of the upperstructure and the boom or other front end attachment is mounted on the front.
Up to means “up to and including.”
Wire rope. A flexible rope constructed by laying steel wires into various patterns of multi-wired strands around a core system to produce a helically wound rope.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. New definitions of “Accessory gear,” “Dedicated drilling rig,” “Designated person” and “Registered Professional Engineer (RPE)” filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
3. New definition of ``Radius” filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 
§1610.4. Design, Construction and Testing.
Note     •     History

The following requirements apply to equipment that has a manufacturer rated hoisting/lifting capacity of more than 2,000 pounds.
(a) Crawler, truck and locomotive cranes manufactured prior to July 7, 2011 shall meet the applicable requirements for design, construction, and testing as prescribed in the applicable edition of ANSI B30.5 as prescribed by General Industry Safety Orders, Section 4884.
(b) Mobile (including crawler and truck) and locomotive cranes manufactured on or after July 7, 2011 shall meet the following portions of ASME B30.5-2004 (incorporated by reference) as applicable:
(1) In section 5-1.1.1 (“Load Ratings--Where Stability Governs Lifting Performance”), paragraphs (a)-(d) (including subparagraphs).
(2) In section 5-1.1.2 (“Load Ratings--Where Structural Competence Governs Lifting Performance”), paragraph (b).
(3) Section 5-1.2 (“Stability (Backward and Forward)”).
(4) In section 5-1.3.1 (“Boom Hoist Mechanism”), paragraphs (a), (b)(1) and (b)(2), except that when using rotation resistant rope, Section 1614(e)(4)(B)1 applies.
(5) In section 5-1.3.2 (“Load Hoist Mechanism”), paragraphs (a)(2) through (a)(4) (including subparagraphs), (b) (including subparagraphs), (c) (first sentence only) and (d).
(6) Section 5-1.3.3 (“Telescoping Boom”).
(7) Section 5-1.4 (“Swing Mechanism”).
(8) In section 5-1.5 (“Crane Travel”), all provisions except 5-1.5.3(d).
(9) In section 5-1.6 (“Controls”), all provisions except 5-1.6.1(c).
(10) Section 5-1.7.4 (“Sheaves”).
(11) Section 5-1.7.5 (“Sheave sizes”).
(12) In section 5-1.9.1 (“Booms”), paragraph (f).
(13) Section 5-1.9.3 (“Outriggers”).
(14) Section 5-1.9.4 (“Locomotive Crane Equipment”).
(15) Section 5-1.9.7 (“Clutch and Brake Protection”).
(16) In section 5-1.9.11 (“Miscellaneous equipment”), paragraphs (a), (c), (e), and (f).
(c) Prototype testing: Cranes manufactured on or after November 8, 2010 shall meet the prototype testing requirements prescribed in 29 CFR 1926.1433(c). 
(d) All equipment covered by this Article shall meet the following requirements:
(1) Rated capacity and related information. The information available in the cab [see Section 1616.1(c)] regarding “rated capacity” and related information shall include, at a minimum, the following information:
(A) A complete range of the manufacturer's equipment rated capacities, as follows:
1. At all manufacturer approved operating radii, boom angles, work areas, boom lengths and configurations, jib lengths and angles (or offset).
2. Alternate ratings for use and nonuse of option equipment which affects rated capacities, such as outriggers, stabilizers, and extra counterweights.
(B) A work area chart for which capacities are listed in the load chart.
(NOTE: An example of this type of chart is in ASME B30.5-2004, section 5-1.1.3, Figure 11).
(C) The work area figure and load chart shall clearly indicate the areas where no load is to be handled.
(D) Recommended reeving for the hoist lines shall be shown.
(E) Recommended parts of hoist reeving, size, and type of wire rope for various equipment loads.
(F) Recommended boom hoist reeving diagram, where applicable; size, type and length of wire rope.
(G) Tire pressure (where applicable).
(H) Caution or warnings relative to limitations on equipment and operating procedures, including an indication of the least stable direction.
(I) Position of the gantry and requirements for intermediate boom suspension (where applicable).
(J) Instructions for boom erection and conditions under which the boom, or boom and jib combinations, may be raised or lowered.
(K) Whether the hoist holding mechanism is automatically or manually controlled, whether free fall is available, or any combination of these.
(L) The maximum telescopic travel length of each boom telescopic section. 
(M) Whether sections are telescoped manually or with power.
(N) The sequence and procedure for extending and retracting the telescopic boom section.
(O) Maximum loads permitted during the boom extending operation, and any limiting conditions or cautions.
(P) Hydraulic relief valve settings specified by the manufacturer.
(2) Load hooks (including latched and unlatched types), ball assemblies and load blocks shall be of sufficient weight to overhaul the line from the highest hook position for boom or boom and jib lengths and the number of parts of the line in use.
(3) Hook and ball assemblies and load blocks shall be marked with their rated capacity and weight.
(4) Latching hooks.
(A) Hooks shall be equipped with latches, except where the requirements of subsection (d)(4)(B) of this section are met.
(B) Hooks without latches, or with latches removed or disabled, must not be used unless:
1. A qualified person has determined that it is safer to hoist and place the load without latches (or with the latches removed/tied-back).
2. Routes for the loads are preplanned to ensure that no employee is required to work in the fall zone except for employees necessary for the hooking or unhooking of the load.
(C) The latch must close the throat opening and be designed to retain slings or other lifting devices/accessories in the hook when the rigging apparatus is slack.
(5) Posted warnings. Posted warnings required by this Article as well as those originally supplied with the equipment by the manufacturer shall be maintained in legible condition.
(6) An accessible fire extinguisher shall be on the equipment.
(7) Cabs. Equipment with cabs shall meet the following requirements:
(A) Cabs shall be designed with a form of adjustable ventilation and method for clearing the windshield for maintaining visibility and air circulation. Examples of means for adjustable ventilation include air conditioner or window that can be opened (for ventilation and air circulation); examples of means for maintaining visibility include heater (for preventing windshield icing), defroster, fan, windshield wiper.
(B) Cab doors (swinging, sliding) shall be designed to prevent inadvertent opening or closing while traveling or operating the machine. Swinging doors adjacent to the operator shall open outward. Sliding operator doors shall open rearward.
(C) Windows.
1. The cab shall have windows in front and on both sides of the operator. Forward vertical visibility shall be sufficient to give the operator a view of the boom point at all times.
2. Windows shall have sections designed to be opened or readily removed. Windows with sections designed to be opened shall be designed so that they can be secured to prevent inadvertent closure.
3. Windows shall be of safety glass or material with similar optical and safety properties, that introduce no visible distortion or otherwise obscure visibility that interferes with the safe operation of the equipment.
(D) A clear passageway shall be provided from the operator's station to an exit door on the operator's side.
(E) Areas of the cab roof that serve as a workstation for rigging, maintenance or other equipment-related tasks shall be capable of supporting 250 pounds without permanent distortion.
(8) Belts, gears, shafts, pulleys, sprockets, spindles, drums, fly wheels, chains, and other parts or components that reciprocate, rotate or otherwise move shall be guarded where contact by employees (except for maintenance and repair employees) is possible in the performance of normal duties.
(9) All exhaust pipes, turbochargers, and charge air coolers shall be insulated or guarded where contact by employees (except for maintenance and repair employees) is possible in the performance of normal duties.
(10) Hydraulic and pneumatic lines shall be protected from damage to the extent feasible.
(11) The equipment shall be designed so that exhaust fumes are not discharged in the cab and are discharged in a direction away from the operator.
(12) Friction mechanisms. Where friction mechanisms (such as brakes and clutches) are used to control the boom hoist or load line hoist, they shall be:
(A) Of a size and thermal capacity sufficient to control all rated loads with the minimum recommended reeving.
(B) Adjustable to permit compensation for lining wear to maintain proper operation.
(13) Hydraulic load hoists. Hydraulic drums shall have an integrally mounted holding device or internal static brake to prevent load hoist movement in the event of hydraulic failure.
(e) The employer's obligations under subsections (a) through (c) and (d)(7) through (13) of this section are met where the equipment has not changed (except in accordance with Section 1610.6 (Equipment modifications)) and it can refer to documentation from the manufacturer showing that the equipment has been designed, constructed and tested in accordance with those subsections.
(f) Proof load tests and examinations of cranes and their accessory gear shall be conducted as required by General Industry Safety Orders, Section 5022.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. New subsection (f) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1610.5. Ground Conditions.
Note     •     History

(a) Definitions.
(1) Ground conditions. The ability of the ground to support the equipment (including slope, compaction, and firmness).
(2) Supporting materials. Blocking, mats, cribbing, marsh buggies (in marshes/wetlands), or similar supporting materials or devices.
(b) The equipment must not be assembled or used unless ground conditions are firm, drained, and graded to a sufficient extent so that, in conjunction (if necessary) with the use of supporting materials, the equipment manufacturer's specifications for adequate support and degree of level of the equipment are met. The requirement for the ground to be drained does not apply to marshes/wetlands.
(c) The controlling entity shall:
(1) Ensure that ground preparations necessary to meet the requirements in subsection (b) are provided.
(2) Inform the user of the equipment and the operator of the location of hazards beneath the equipment set-up area (such as voids, tanks, utilities) if those hazards are identified in documents (such as site drawings, as-built drawings, and soil analyses) that are in the possession of the controlling entity (whether at the site or off-site) or the hazards are otherwise known to that controlling entity.
(d) If there is no controlling entity for the project, the requirement in subsection (c)(1) shall be met by the employer that has authority at the site to make or arrange for ground preparations needed to meet subsection (b). 
(e) If the A/D director or the operator determines that ground conditions do not meet the requirements in subsection (b), that person's employer shall have a discussion with the controlling entity regarding the ground preparations that are needed so that, with the use of suitable supporting materials/devices (if necessary), the requirements in subsection (b) can be met.
(f) This section does not apply to cranes designed for use on railroad tracks when used on railroad tracks that are part of the general railroad system of transportation that is regulated pursuant to the Federal Railroad Administration under 49 CFR part 213 and that comply with applicable Federal Railroad Administration requirements.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1610.6. Equipment Modifications.
Note     •     History

(a) Modifications or additions which affect the capacity or safe operation of the equipment are prohibited except where the requirements of subsections (a)(1), (a)(2), (a)(3), (a)(4), or (a)(5) of this section are met.
(1) Manufacturer review and approval.
(A) The manufacturer approves the modifications/additions in writing.
(B) The load charts, procedures, instruction manuals and instruction plates/tags/decals are modified as necessary to accord with the modification/addition.
(C) The original safety factor of the equipment is not reduced.
(2) Manufacturer refusal to review request. The manufacturer is provided a detailed description of the proposed modification/addition, is asked to approve the modification/addition, but it declines to review the technical merits of the proposal or fails, within 30 days, to acknowledge the request or initiate the review, and all of the following are met:
(A) A registered professional engineer who is a qualified person with respect to the equipment involved:
1. Approves the modification/addition and specifies the equipment configurations to which that approval applies, and 
2. Modifies load charts, procedures, instruction manuals and instruction plates/tags/decals as necessary to accord with the modification/addition.
(B) The original safety factor of the equipment is not reduced.
(3) Unavailable manufacturer. The manufacturer is unavailable and the requirements of subsections (a)(2)(A) and (B) of this section are met.
(4) Manufacturer does not complete the review within 120 days of the request. The manufacturer is provided a detailed description of the proposed modification/addition, is asked to approve the modification/addition, agrees to review the technical merits of the proposal, but fails to complete the review of the proposal within 120 days of the date it was provided the detailed description of the proposed modification/addition, and the requirements of subsections (a)(2)(A) and (B) of this section are met.
(5) Multiple manufacturers of equipment designed for use on marine work sites. The equipment is designed for marine work sites, contains major structural components from more than one manufacturer, and the requirements of subsections (a)(2)(A) and (B) of this section are met.
(b) Modifications or additions which affect the capacity or safe operation of the equipment are prohibited where the manufacturer, after a review of the technical safety merits of the proposed modification/addition, rejects the proposal and explains the reasons for the rejection in a written response. If the manufacturer rejects the proposal but does not explain the reasons for the rejection in writing, the employer may treat this as a manufacturer refusal to review the request under subsection (a)(2) of this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1610.7. Fall Protection.
Note     •     History

(a) Application.
(1) Subsections (b), (c)(3), (e) and (f) apply to all equipment covered by Construction Safety Orders (CSO) Article 15 except tower cranes.
(2) Subsections (c)(1), (d), and (g) apply to all equipment covered by CSO Article 15.
(3) Subsections (c)(3) and (h) apply only to tower cranes.
(b) Boom walkways.
(1) Equipment manufactured after July 7, 2012 with lattice booms shall be equipped with walkways on the boom(s) if the vertical profile of the boom (from cord centerline to cord centerline) is 6 or more feet.
(2) Boom walkway criteria.
(A) The walkways shall be at least 12 inches wide.
(B) Guardrails, railings and other permanent fall protection attachments along boom walkways are:
1. Not required.
2. Prohibited on booms supported by pendant ropes or bars if the guardrails/railings/attachments could be snagged by the ropes or bars.
3. Prohibited if of the removable type (designed to be installed and removed each time the boom is assembled/disassembled).
4. Where not prohibited, guardrails or railings shall be in accordance with Article 16.
(c) Steps, handholds, ladders, grabrails, guardrails and railings.
(1) The employer shall maintain in good condition originally-equipped steps, handholds, ladders and guardrails/railings/grabrails.
(2) Equipment manufactured after July 7, 2012 shall be equipped so as to provide safe access and egress between the ground and the operator work station(s), including the forward and rear positions, by the provision of devices such as steps, handholds, ladders, and guardrails/railings/grabrails. These devices shall meet the following criteria:
(A) Steps, handholds, ladders and guardrails/railings/grabrails shall meet the criteria of SAE J185 (May 2003) (incorporated by reference) or ISO 11660-2:1994(E) (incorporated by reference) except where infeasible.
(B) Walking/stepping surfaces, except for crawler treads, shall have slip-resistant features/properties (such as diamond plate metal, strategically placed grip tape, expanded metal, or slip-resistant paint).
(3) Tower cranes manufactured after July 7, 2012 shall be equipped so as to provide safe access and egress between the ground and the cab, machinery platforms, and tower (mast), by the provision of devices such as steps, handholds, ladders, and guardrails/railings/grabrails. These devices shall meet the following criteria:
(A) Steps, handholds, ladders, and guardrails/railings/grabrails shall meet the criteria of ISO 11660-1:2008(E) (incorporated by reference) and ISO 11660-3:2008(E) (incorporated by reference) or SAE J185 (May 2003) (incorporated by reference) except where infeasible.
(B) Walking/stepping surfaces shall have slip-resistant features/properties (such as diamond plate metal, strategically placed grip tape, expanded metal, or slip-resistant paint).
(d) Personal fall arrest and fall restraint systems. 
Personal fall arrest system components shall be used in personal fall arrest and fall restraint systems and shall conform to the criteria in Section 1670 except that Section 1670(b)(10) does not apply to components used in personal fall arrest and fall restraint systems.
(e) For non-assembly/disassembly work, the employer shall provide and ensure the use of fall protection equipment for employees who are on a walking/working surface with an unprotected side or edge more than 7-1/2 feet above a lower level as follows:
(1) When moving point-to-point:
(A) On non-lattice booms (whether horizontal or not horizontal).
(B) On lattice booms that are not horizontal.
(C) On horizontal lattice booms where the fall distance is 15 feet or more.
(2) While at a work station on any part of the equipment (including the boom, of any type), except when the employee is at or near draw-works (when the equipment is running), in the cab, or on the deck.
(f) For assembly/disassembly work, the employer shall provide and ensure the use of fall protection equipment for employees who are on a walking/working surface with an unprotected side or edge more than 15 feet above a lower level, except when the employee is at or near draw-works (when the equipment is running), in the cab, or on the deck.
(g) Anchorage criteria.
(1) Sections 1670(b)(10) and 1670(c)(4) apply to equipment covered by this section only to the extent delineated in subsection (g)(2) of this section.
(2) Anchorages for personal fall arrest and positioning device systems.
(A) Personal fall arrest systems shall be anchored to any apparently substantial part of the equipment unless a competent person, from a visual inspection, would conclude that the criteria in Section 1670(b)(10) would not be met.
(B) Positioning device systems shall be anchored to any apparently substantial part of the equipment unless a competent person, from a visual inspection, without an engineering analysis, would conclude that the criteria in Section 1670(c)(4) would not be met.
(C) Attachable anchor devices (portable anchor devices that are attached to the equipment) shall meet the anchorage criteria in Section 1670(b)(10) for personal fall arrest systems and Section 1670(c)(4) for positioning device systems.
(3) Anchorages for fall restraint systems. Fall restraint systems shall be anchored to any part of the equipment that is capable of withstanding twice the maximum load that an employee may impose on it during reasonably anticipated conditions of use.
(h) Tower cranes.
(1) For work other than erecting, climbing, and dismantling, the employer shall provide and ensure the use of fall protection equipment for employees who are on a walking/working surface with an unprotected side or edge more than 7-1/2 feet above a lower level, except when the employee is at or near draw-works (when the equipment is running), in the cab, or on the deck.
(2) For erecting, climbing, and dismantling work, the employer shall provide and ensure the use of fall protection equipment for employees who are on a walking/working surface with an unprotected side or edge more than 15 feet above a lower level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1610.8. Equipment with a Rated Hoisting/Lifting Capacity of 2,000 Pounds or Less.
Note     •     History

The following subsections specify requirements for employers using equipment with a maximum rated hoisting/lifting capacity of 2,000 pounds or less.
(a) The employer using this equipment shall comply with the following provisions of this Article 15: Section 1610.1 (Scope); Section 1610.3 (Definitions); Section 1610.5 (Ground conditions); Section 1611.1 (Assembly/disassembly -- selection of manufacturer or employer procedures); Section 1611.4 (Assembly/disassembly -- employer procedures); Section 1611.5 and Sections 1612.1 through 1612.4 (Power line safety); Section 1613.3 (Post-assembly); Section 1613.10 (Wire Rope Inspection); Section 1614 (Wire Rope Selection); Section 1616.2 (Authority to stop operation); Sections 1617.1 through 1617.3 (Signals); Section 1610.7 (Fall protection); Section 1616.4 (Keeping clear of the load) [except for Section 1616.4(c)(2) (qualified rigger)]; Section 1616.5 (Free fall and controlled load lowering); Section 1616.7 (Multiple Crane/Derrick Lifts -- supplemental requirements); Section 1610.6 (Equipment Modifications); Section 1619.1 (Tower cranes); Section 1619.2 (Derricks); Section 1619.3 (Floating cranes/derricks and land cranes/derricks on barges); Section 1619.4 (Overhead & gantry cranes).
(b) Assembly/disassembly.
(1) In addition to compliance with Section 1611.1 (Assembly/disassembly -- selection of manufacturer or employer procedures) and Section 1611.4 (Assembly/disassembly -- employer procedures), the employer shall also comply with Section 1610.8(b)(2)-(3).
(2) Components and configuration.
The employer shall ensure that: 
(A) The selection of components, and the configuration of the equipment, that affect the capacity or safe operation of the equipment complies with either the:
1. Manufacturer instructions, recommendations, limitations, and specifications. When these documents and information are unavailable, a certified agent familiar with the type of equipment involved shall approve, in writing, the selection and configuration of components; or
2. Approved modifications that meet the requirements of Section 1610.6 (Equipment modifications).
(B) Post-Assembly Inspection. Upon completion of assembly, the equipment is inspected to ensure that it is in compliance with subsection (b)(2)(A) of this section (see Section 1613.3 for post-assembly inspection requirements).
(3) Manufacturer prohibitions. The employer shall comply with applicable manufacturer prohibitions.
(c) Operation -- Procedures.
(1) The employer shall comply with all manufacturer procedures applicable to the operational functions of the equipment, including its use with attachments.
(2) Unavailable operation procedures.
The employer shall:
(A) When the manufacturer's procedures are unavailable, develop, and ensure compliance with, all procedures necessary for the safe operation of the equipment and attachments.
(B) Ensure that procedures for the operational controls are developed by a qualified person.
(C) Ensure that procedures related to the capacity of the equipment are developed and signed by a certified agent familiar with the equipment.
(3) Accessibility. The employer shall ensure that:
(A) The load chart is available to the operator at the control station;
(B) Procedures applicable to the operation of the equipment, recommended operating speeds, special hazard warnings, instructions, and operator's manual are readily available for use by the operator.
(C) When rated capacities are available at the control station only in electronic form and a failure occurs that makes the rated capacities inaccessible, the operator immediately ceases operations or follows safe shut-down procedures until the rated capacities (in electronic or other form) are available.
(d) Safety devices and operational aids.
(1) The employer shall ensure that safety devices and operational aids that are part of the original equipment are maintained in accordance with manufacturer's procedures.
(2) Anti two-blocking. The employer shall ensure that equipment covered by this section manufactured more than one year after July 7, 2011 have either an anti two-block device that meets the requirements of Section 1615.2(d)(3), or is designed so that, in the event of a two-block situation, no damage or load failure will occur (for example, by using a power unit that stalls in response to a two-block situation).
(e) Operator qualifications. The employer shall train each operator, prior to operating the equipment, on the safe operation of the type of equipment the operator will be using.
(f) Signal person qualifications. The employer shall train each signal person in the proper use of signals applicable to the use of the equipment.
(g) [Reserved.]
(h) Inspections. The employer shall ensure that equipment is inspected in accordance with manufacturer's procedures.
(i) [Reserved.]
(j) Hoisting personnel. The employer shall ensure that equipment covered by this section is not used to hoist personnel.
(k) Design. The employer shall ensure that the equipment is designed by a qualified engineer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1610.9. Equipment Over Three Tons Rated Capacity.
Note     •     History

(a) All cranes and derricks used in lifting service, exceeding three tons rated capacity, and their accessory gear shall not be used until the employer has ascertained that such equipment has been certificated as evidenced by current and valid documents attesting to compliance with the following: 
(1) Tests and examinations shall be conducted annually by a currently licensed certificating agency or designee listed in the certificating agency license, and a certificate shall be issued by the certificating agency; 
(2) Certificates attesting to current compliance with testing and examination standards of requirements shall be maintained for each crane or derrick and shall be in a form acceptable to the Division. (See Section 4885, Plate V.) A copy of such certification shall be available with each crane and derrick or at the project site.

NOTE: The term “lifting service” as used in this Section is not intended to include operations of the following equipment: (1) Clamshells, draglines and other similar equipment used for casting-type work; (2) Pile drivers, other than those using gravity (drop) hammers. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of section heading and subsection (a)(2) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1611. Assembly/Disassembly.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1611.1. Assembly/Disassembly -- Selection of Manufacturer or Employer Procedures.
Note     •     History

When assembling or disassembling equipment (or attachments), the employer shall comply with all applicable manufacturer prohibitions and shall comply with either:
(a) Manufacturer procedures applicable to assembly and disassembly, or
(b) Employer procedures for assembly and disassembly. Employer procedures may be used only where the employer can demonstrate that the procedures used meet the requirements in Section 1611.4. Note: The employer shall follow manufacturer procedures when using synthetic slings during assembly or disassembly rigging. [See Section 1611.2(r).]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1611.2. Assembly/Disassembly--General Requirements (Applies to All Assembly and Disassembly Operations).
Note     •     History

(a) Supervision--competent-qualified person.
(1) Assembly/disassembly shall be directed by a person who meets the criteria for both a competent person and a qualified person, or by a competent person who is assisted by one or more qualified persons (“A/D director”).
(2) Where the assembly/disassembly is being performed by only one person, that person shall meet the criteria for both a competent person and a qualified person. For purposes of this standard, that person is considered the A/D director.
(b) Knowledge of procedures. The A/D director shall understand the applicable assembly/disassembly procedures.
(c) Review of procedures. The A/D director shall review the applicable assembly/disassembly procedures immediately prior to the commencement of assembly/disassembly unless the A/D director understands the procedures and has applied them to the same type and configuration of equipment (including accessories, if any).
(d) Crew instructions.
(1) Before commencing assembly/disassembly operations, the A/D director shall ensure that the crew members understand all of the following:
(A) Their tasks.
(B) The hazards associated with their tasks.
(C) The hazardous positions/locations that they need to avoid.
(2) During assembly/disassembly operations, before a crew member takes on a different task, or when adding new personnel during the operations, the requirements in subsections (d)(1)(A) through (d)(1)(C) of this section shall be met.
(e) Protecting assembly/disassembly crew members out of operator view.
(1) Before a crew member goes to a location that is out of view of the operator and is either in, on, or under the equipment, or near the equipment (or load) where the crew member could be injured by movement of the equipment (or load), the crew member must inform the operator that he/she is going to that location.
(2) Where the operator knows that a crew member went to a location covered by subsection (e)(1), the operator shall not move any part of the equipment (or load) until the operator is informed in accordance with a prearranged system of communication that the crew member is in a safe position.
(f) Working under the boom, jib or other components.
(1) When pins (or similar devices) are being removed, employees shall not be under the boom, jib, or other components. 
(g) Capacity limits. During all phases of assembly/disassembly, rated capacity limits for loads imposed on the equipment, equipment components (including rigging), lifting lugs and equipment accessories, shall not be exceeded for the equipment being assembled/disassembled.
(h) Addressing specific hazards. The A/D director supervising the assembly/disassembly operation shall address the hazards associated with the operation, which include but are not limited to: 
(1) Site and ground bearing conditions. Site and ground conditions shall be adequate for safe assembly/disassembly operations and to support the equipment during assembly/disassembly (see Section 1610.5 for ground condition requirements).
(2) Blocking material. The size, amount, condition and method of stacking the blocking shall be sufficient to sustain the loads and maintain stability.
(3) Proper location of blocking. When used to support lattice booms or components, blocking shall be appropriately placed to:
(A) Protect the structural integrity of the equipment, and
(B) Prevent dangerous movement and collapse.
(4) Verifying assist crane loads. When using an assist crane, the loads that will be imposed on the assist crane at each phase of assembly/disassembly shall be verified in accordance with Section 1616.1(n)(3) before assembly/disassembly begins.
(5) Boom and jib pick points. The point(s) of attachment of rigging to a boom (or boom sections or jib or jib sections) shall be suitable for preventing structural damage and facilitating safe handling of these components.
(6) Center of gravity.
(A) The center of gravity of the load shall be identified if that is necessary for the method used for maintaining stability.
(B) Where there is insufficient information to accurately identify the center of gravity, measures designed to prevent unintended dangerous movement resulting from an inaccurate identification of the center of gravity shall be used. 
(7) Stability upon pin removal. The boom sections, boom suspension systems (such as gantry A-frames and jib struts), and components shall be rigged or supported to maintain stability upon the removal of the pins.
(8) Snagging. Suspension ropes and pendants shall not be allowed to catch on the boom or jib connection pins or cotter pins (including keepers and locking pins).
(9) Struck by counterweights. The potential for unintended movement from inadequately supported counterweights and from hoisting counterweights.
(10) Boom hoist brake failure. Each time reliance is to be placed on the boom hoist brake to prevent boom movement during assembly/disassembly, the brake shall be tested prior to such reliance to determine if it is sufficient to prevent boom movement. If it is not sufficient, a boom hoist pawl, other locking device/back-up braking device, or another method of preventing dangerous movement of the boom (such as blocking or using an assist crane) from a boom hoist brake failure shall be used.
(11) Loss of backward stability. Backward stability before swinging the upperworks, travel, and when attaching or removing equipment components.
(12) Wind speed and weather. The effect of wind speed and weather on the equipment.
(i) [Reserved.]
(j) Cantilevered boom sections. Manufacturer limitations on the maximum amount of boom supported only by cantilevering shall not be exceeded. Where these are unavailable, a California registered professional engineer familiar with the type of equipment involved must determine in writing this limitation, which shall not be exceeded.
(k) Weight of components. The weight of each of the components shall be readily available.
(l) [Reserved.]
(m) Components and configuration.
(1) The selection of components, and configuration of the equipment, that affect the capacity or safe operation of the equipment shall be in accordance with:
(A) Manufacturer instructions, prohibitions, limitations, and specifications. Where these are unavailable, a California registered professional engineer familiar with the type of equipment involved shall approve, in writing, the selection and configuration of components; or
(B) Approved modifications that meet the requirements of Section 1610.6 (Equipment Modifications).
(2) Post-assembly inspection. Upon completion of assembly, the equipment shall be inspected to ensure compliance with subsection (m)(1) (see Section 1613.3 for post-assembly inspection requirements).
(n) [Reserved.]
(o) Shipping pins. Reusable shipping pins, straps, links, and similar equipment shall be removed. Once they are removed they shall either be stowed or otherwise stored so that they do not present a falling object hazard.
(p) Pile driving. Equipment used for pile driving shall not have a jib attached during pile driving operations.
(q) Outriggers and Stabilizers. When the load to be handled and the operating radius require the use of outriggers or stabilizers, or at any time when outriggers or stabilizers are used, all of the following requirements shall be met (except as otherwise indicated):
(1) The outriggers or stabilizers shall be either fully extended or, if manufacturer procedures permit, deployed as specified in the load chart.
(2) The outriggers shall be set to remove the equipment weight from the wheels, except for locomotive cranes (see subsection (q)(6) for use of outriggers on locomotive cranes). This provision does not apply to stabilizers.
(3) When outrigger floats are used, they shall be attached to the outriggers. When stabilizer floats are used, they shall be attached to the stabilizers.
(4) Each outrigger or stabilizer shall be visible to the operator or to a signal person during extension and setting.
(5) Outrigger and stabilizer blocking shall:
(A) Meet the requirements in subsections (h)(2) and (h)(3). 
(B) Be placed only under the outrigger or stabilizer float/pad of the jack or, where the outrigger or stabilizer is designed without a jack, under the outer bearing surface of the extended outrigger or stabilizer beam.
(6) For locomotive cranes, when using outriggers or stabilizers to handle loads, the manufacturer's procedures shall be followed. When lifting loads without using outriggers or stabilizers, the manufacturer's procedures shall be met regarding truck wedges or screws.
(r) Rigging. In addition to following the requirements in General Industry Safety Orders, Article 101 and other requirements in this and other standards applicable to rigging, when rigging is used for assembly/disassembly, the employer shall ensure that:
(1) The rigging work is done by a qualified rigger.
(2) Synthetic slings are protected from: Abrasive, sharp or acute edges, and configurations that could cause a reduction of the sling's rated capacity, such as distortion or localized compression. 

NOTE: Requirements for the protection of wire rope slings are contained in General Industry Safety Orders, Article 101, Section 5042.
(3) When synthetic slings are used, the synthetic sling manufacturer's instructions, limitations, specifications and recommendations shall be followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1611.3. Disassembly--Additional Requirements for Dismantling of Booms and Jibs (Applies to Both the Use of Manufacturer Procedures and Employer Procedures).
Note     •     History

Dismantling (including dismantling for changing the length of) booms and jibs.
(a) None of the pins in the pendants are to be removed (partly or completely) when the pendants are in tension.
(b) None of the pins (top or bottom) on boom sections located between the pendant attachment points and the crane/derrick body are to be removed (partly or completely) when the pendants are in tension.
(c) None of the pins (top or bottom) on boom sections located between the uppermost boom section and the crane/derrick body are to be removed (partly or completely) when the boom is being supported by the uppermost boom section resting on the ground (or other support).
(d) None of the top pins on boom sections located on the cantilevered portion of the boom being removed (the portion being removed ahead of the pendant attachment points) are to be removed (partly or completely) until the cantilevered section to be removed is fully supported.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1611.4. Assembly/Disassembly -- Employer Procedures -- General Requirements.
Note     •     History

(a) When using employer procedures instead of manufacturer procedures for assembly/disassembly, the employer shall ensure that the procedures:
(1) Prevent unintended dangerous movement, and prevent collapse, of any part of the equipment.
(2) Provide adequate support and stability of all parts of the equipment.
(3) Position employees involved in the assembly/disassembly operation so that their exposure to unintended movement or collapse of part or all of the equipment is minimized.
(b) Qualified person. Employer procedures shall be developed by a qualified person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1611.5. Power Line Safety (Up to 350 kV)--Assembly and Disassembly.
Note     •     History

(a) Before assembling or disassembling equipment, the employer shall determine if any part of the equipment, load line, or load (including rigging and lifting accessories) could get closer than 20 feet to a power line during the assembly/disassembly process. If so, the employer shall meet the requirements in Option (1), Option (2), or Option (3) of this section, as follows:
(1) Option (1) -- Deenergize and ground. Confirm from the utility owner/operator that the power line has been deenergized and visibly grounded at the worksite.
(2) Option (2) -- 20 foot clearance. Ensure that no part of the equipment, load line or load (including rigging and lifting accessories), gets closer than 20 feet to the power line by implementing the measures specified in subsection (b).
(3) Option (3) -- Table A clearance.
(A) Determine the line's voltage and the minimum clearance distance permitted under Table A (see Section 1612.1).
(B) Determine if any part of the equipment, load line, or load (including rigging and lifting accessories), could get closer than the minimum clearance distance to the power line permitted under Table A (see Section 1612.1). If so, then the employer shall follow the requirements in subsection (b) to ensure that no part of the equipment, load line, or load (including rigging and lifting accessories), gets closer to the line than the minimum clearance distance.
(b) Preventing encroachment/electrocution. Where encroachment precautions are required under Option (2), or Option (3) of this section, all of the following requirements shall be met:
(1) Conduct a planning meeting with the A/D Director, operator, assembly/disassembly crew and the other workers who will be in the assembly/disassembly area to review the location of the power line(s) and the steps that will be implemented to prevent encroachment/electrocution.
(2) If tag lines are used, they shall be nonconductive.
(3) At least one of the following additional measures shall be in place. The measure selected from this list must be effective in preventing encroachment.
The additional measures are:
(A) Use a dedicated spotter who is in continuous contact with the equipment operator. The dedicated spotter shall:
1. Be equipped with a visual aid to assist in identifying the minimum clearance distance. Examples of a visual aid include, but are not limited to: A clearly visible line painted on the ground; a clearly visible line of stanchions; a set of clearly visible line-of-sight landmarks (such as a fence post behind the dedicated spotter and a building corner ahead of the dedicated spotter).
2. Be positioned to effectively gauge the clearance distance.
3. Where necessary, use equipment that enables the dedicated spotter to communicate directly with the operator.
4. Give timely information to the operator so that the required clearance distance can be maintained.
(B) A device that automatically warns the operator when to stop movement, such as a range control warning device. Such a device must be set to give the operator sufficient warning to prevent encroachment.
(C) A device that automatically limits range of movement, set to prevent encroachment.
(D) An elevated warning line, barricade, or line of signs, in view of the operator, equipped with flags or similar high-visibility markings.
(c) Assembly/disassembly below power lines prohibited. No part of a crane/derrick, load line, or load (including rigging and lifting accessories), whether partially or fully assembled, is allowed below a power line unless the employer has confirmed that the utility owner/operator has deenergized and (at the worksite) visibly grounded the power line.
(d) Assembly/disassembly inside Table A clearance prohibited. No part of a crane/derrick, load line, or load (including rigging and lifting accessories), whether partially or fully assembled, is allowed closer than the minimum approach distance under Table A (see Section 1612.1) to a power line unless the employer has confirmed that the utility owner/operator has deenergized and (at the worksite) visibly grounded the power line.
(e) Voltage information. Where Option (3) of this section is used, the utility owner/operator of the power lines shall provide the requested voltage information within two working days of the employer's request.
(f) Power lines presumed energized. The employer shall assume that all power lines are energized unless the utility owner/operator confirms that the power line has been and continues to be deenergized and visibly grounded at the worksite.
(g) Posting of electrocution warnings. There shall be at least one electrocution hazard warning conspicuously posted in the cab so that it is in view of the operator and (except for overhead gantry and tower cranes) at least two on the outside of the equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1612. Power Line Safety.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1612.1. Power Line Safety (Up to 350 kV) -- Equipment Operations.
Note     •     History

(a) Hazard assessments and precautions inside the work zone. Before beginning equipment operations, the employer shall:
(1) Identify the work zone by either:
(A) Demarcating boundaries (such as with flags, or a device such as a range limit device or range control warning device) and prohibiting the operator from operating the equipment past those boundaries, or
(B) Defining the work zone as the area 360 degrees around the equipment, up to the equipment's maximum working radius.
(2) Determine if any part of the equipment, load line or load (including rigging and lifting accessories), if operated up to the equipment's maximum working radius in the work zone, could get closer than 20 feet to a power line. If so, the employer shall meet the requirements in Option (1), Option (2), or Option (3) of this section, as follows:
(A) Option (1)--Deenergize and ground. Confirm from the utility owner/operator that the power line has been deenergized and visibly grounded at the worksite.
(B) Option (2)--20 foot clearance. Ensure that no part of the equipment, load line, or load (including rigging and lifting accessories), gets closer than 20 feet to the power line by implementing the measures specified in subsection (b).
(C) Option (3)--Table A clearance.
1. Determine the line's voltage and the minimum approach distance permitted under Table A (see Section 1612.1).
2. Determine if any part of the equipment, load line or load (including rigging and lifting accessories), while operating up to the equipment's maximum working radius in the work zone, could get closer than the minimum approach distance of the power line permitted under Table A. If so, then the employer shall follow the requirements in subsection (b) to ensure that no part of the equipment, load line, or load (including rigging and lifting accessories), gets closer to the line than the minimum approach distance.
(b) Preventing encroachment/electrocution. Where encroachment precautions are required under Option (2) or Option (3) of this section, all of the following requirements shall be met:
(1) Conduct a planning meeting with the operator and the other workers who will be in the area of the equipment or load to review the location of the power line(s), and the steps that will be implemented to prevent encroachment/electrocution.
(2) If tag lines are used, they shall be non-conductive.
(3) Erect and maintain an elevated warning line, barricade, or line of signs, in view of the operator, equipped with flags or similar high-visibility markings, at 20 feet from the power line (if using Option (2) of this section) or at the minimum approach distance under Table A (if using Option (3) of this section). If the operator is unable to see the elevated warning line, a dedicated spotter shall be used as described in subsection (b)(4)(A) in addition to implementing one of the measures described in subsections (b)(4)(B) and (C).
(4) Implement at least one of the following measures:
(A) A dedicated spotter who is in continuous contact with the operator. Where this measure is selected, the dedicated spotter shall:
1. Be equipped with a visual aid to assist in identifying the minimum clearance distance. Examples of a visual aid include, but are not limited to: A clearly visible line painted on the ground; a clearly visible line of stanchions; a set of clearly visible line-of-sight landmarks (such as a fence post behind the dedicated spotter and a building corner ahead of the dedicated spotter).
2. Be positioned to effectively gauge the clearance distance.
3. Where necessary, use equipment that enables the dedicated spotter to communicate directly with the operator.
4. Give timely information to the operator so that the required clearance distance can be maintained.
(B) A device that automatically warns the operator when to stop movement, such as a range control warning device. Such a device shall be set to give the operator sufficient warning to prevent encroachment.
(C) A device that automatically limits range of movement, set to prevent encroachment.
(5) The requirements of subsection (b)(4) do not apply to work covered by the High-Voltage Electrical Safety Orders.
(c) Voltage information. Where Option (3) of this section is used, the utility owner/operator of the power lines shall provide the requested voltage information within two working days of the employer's request.
(d) Operations below power lines.
(1) No part of the equipment, load line, or load (including rigging and lifting accessories) is allowed below a power line unless the employer has confirmed that the utility owner/operator has deenergized and (at the worksite) visibly grounded the power line, except where one of the exceptions in subsection (d)(2) applies.
(2) EXCEPTIONS. Subsection (d)(1) is inapplicable where the employer demonstrates that one of the following applies:
(A) The work is covered by the High-Voltage Electrical Safety Orders.
(B) For equipment with nonextensible booms: The uppermost part of the equipment, with the boom at true vertical, would be more than 20 feet below the plane of the power line or more than the Table A of this section minimum clearance distance below the plane of the power line.
(C) For equipment with articulating or extensible booms: The uppermost part of the equipment, with the boom in the fully extended position, at true vertical, would be more than 20 feet below the plane of the power line or more than the Table A of this section minimum clearance distance below the plane of the power line.
(D) The employer demonstrates that compliance with subsection (d)(1) is infeasible and meets the requirements of Section 1612.3.
(e) Power lines presumed energized.
The employer shall assume that all power lines are energized unless the utility owner/operator confirms that the power line has been and continues to be deenergized and visibly grounded at the worksite.
(f) When working near transmitter/communication towers where the equipment is close enough for an electrical charge to be induced in the equipment or materials being handled, the transmitter shall be deenergized or the following precautions shall be taken:
(1) The equipment shall be provided with an electrical ground.
(2) If tag lines are used, they shall be non-conductive.
(g) Training.
(1) The employer shall train each operator and crew member assigned to work with the equipment on all of the following:
(A) The procedures to be followed in the event of electrical contact with a power line. Such training shall include:
1. Information regarding the danger of electrocution from the operator simultaneously touching the equipment and the ground.
2. The importance to the operator's safety of remaining inside the cab except where there is an imminent danger of fire, explosion, or other emergency that necessitates leaving the cab.
3. The safest means of evacuating from equipment that may be energized.
4. The danger of the potentially energized zone around the equipment (step potential).
5. The need for crew in the area to avoid approaching or touching the equipment and the load.
6. Safe clearance distance from power lines.
(B) Power lines are presumed to be energized unless the utility owner/operator confirms that the power line has been and continues to be deenergized and visibly grounded at the worksite.
(C) Power lines are presumed to be uninsulated unless the utility owner/operator or a registered engineer who is a qualified person with respect to electrical power transmission and distribution confirms that a line is insulated.
(D) The limitations of a range control device, if used. 
(E) The procedures to be followed to properly ground equipment and the limitations of grounding.
(2) Employees working as dedicated spotters shall be trained to enable them to effectively perform their task, including training on the applicable requirements of this section.
(3) Training under this section shall be administered in accordance with Section 1618.4(g).
(h) Devices originally designed by the manufacturer for use as: A safety device (see Section 1615.1), operational aid, or a means to prevent power line contact or electrocution, when used to comply with this section, shall meet the manufacturer's procedures for use and conditions of use.

TABLE A--MINIMUM CLEARANCE DISTANCES

	Voltage	Minimum clearance distance
	(nominal, kV, alternating current)	(feet)

up to 50 		10
over 50 to 175		15
over 175 to 350		20
over 350 to 550		27
over 550 to 1,000		45
over 1,000	(as established by the utility owner/
	operator or registered professional
	engineer who is a qualified person 
 	with respect to electrical power 
	transmission and distribution).

NOTE: The value that follows “to” is up to and includes that value. For example, over 50 to 200 means up to and including 200kV.
NOTE

Authority cited: Sections 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1612.2. Power Line Safety (Over 350 kV).
Note     •     History

The requirements of Section 1611.5 and Section 1612.1 apply to power lines over 350 kV except:
(a) For power lines at or below 1000 kV, wherever the distance “20 feet” is specified, the distance “50 feet” shall be substituted; and
(b) For power lines over 1000 kV, the minimum clearance distance shall be established by the utility owner/operator or registered professional engineer who is a qualified person with respect to electrical power transmission and distribution.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1612.3. Power Line Safety (All Voltages) -- Equipment Operations Closer Than the Table A Zone.
Note     •     History

(a) Equipment operations in which any part of the equipment, load line, or load (including rigging and lifting accessories) is closer than the minimum approach distance under Table A of Section 1612.1 to an energized power line is prohibited.
(b) Except where overhead electrical distribution and transmission lines have been de-energized and visibly grounded, the operation, erection, or handling of tools, machinery, apparatus, supplies, or materials, or any part thereof, over energized overhead high-voltage lines is prohibited. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1612.4. Power Line Safety -- While Traveling Under or Near Power Lines with No Load.
Note     •     History

(a) This section establishes procedures and criteria that shall be met for equipment traveling under or near a power line on a construction site with no load. Equipment traveling on a construction site with a load is governed by Sections 1612.1, 1612.2 or 1612.3, whichever is appropriate, and Section 1616.1(t). 
(1) The provisions of Electrical Safety Orders, Group 2, Article 37, shall also apply to any work in proximity to overhead power lines where more protective.
(b) The employer shall ensure that:
(1) The boom/mast and boom/mast support system are lowered sufficiently to meet the requirements of this section.
(2) The clearances specified in Table T of this section are maintained.
(3) The effects of speed and terrain on equipment movement (including movement of the boom/mast) are considered so that those effects do not cause the minimum clearance distances specified in Table T of this section to be breached.
(4) Dedicated spotter. If any part of the equipment while traveling will get closer than 20 feet to the power line, the employer shall ensure that a dedicated spotter who is in continuous contact with the driver/operator is used. The dedicated spotter shall:
(A) Be positioned to effectively gauge the clearance distance.
(B) Where necessary, use equipment that enables the dedicated spotter to communicate directly with the operator.
(C) Give timely information to the operator so that the required clearance distance can be maintained.
(5) Additional precautions for traveling in poor visibility. When traveling at night, or in conditions of poor visibility, in addition to the measures specified in subsections (b)(1) through (4), the employer shall ensure that:
(A) The power lines are illuminated or another means of identifying the location of the lines is used.
(B) A safe path of travel is identified and used.

TABLE T--MINIMUM CLEARANCE DISTANCES WHILE TRAVELING WITH NO LOAD

	Voltage		While traveling--minimum 
	(nominal, kV, alternating current)	clearance distance (feet)

up to 0.60 	4
over .60 to 50 	6
over 50 to 345	10
over 345 to 750 	16
Over 750 to 1,000	20
Over 1,000		(as established by the utility owner/
	operator or registered professional
		engineer who is a qualified person
 		with respect to electrical power
 		transmission and distribution).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613. Inspections and Repairs.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of section heading filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1613.1. Inspections -- Modified Equipment.
Note     •     History

(a) Equipment that has had modifications or additions which affect the safe operation of the equipment (such as modifications or additions involving a safety device or operational aid, critical part of a control system, power plant, braking system, load sustaining structural components, load hook, or in-use operating mechanism) or capacity shall be inspected by a certificating agency after such modifications/additions have been completed, prior to initial use. The inspection shall meet all of the following requirements:
(1) The inspection shall assure that the modifications or additions have been done in accordance with the approval obtained pursuant to Section 1610.6 (Equipment Modifications).
(2) The inspection shall include functional testing of the equipment.

Exception: These inspections may be performed by a qualified person for cranes not exceeding 3 tons rated capacity.
(b) Equipment shall not be used until an inspection under this section demonstrates that the requirements of subsection (a)(1) have been met.
(c) In the case of major modifications or repairs to important structural components, cranes shall be proof load tested in accordance with GISO Section 5022 before being returned to service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.2. Inspections -- Repaired/Adjusted Equipment.
Note     •     History

(a) Equipment that has had a repair or adjustment that relates to safe operation (such as: A repair or adjustment to a safety device or operator aid, or to a critical part of a control system, power plant, braking system, load hook, or in-use operating mechanism), shall be inspected by a qualified person after such a repair or adjustment has been completed, prior to initial use. 

NOTE: Load-sustaining structural components shall be repaired and inspected in accordance with Sections 1613.11 and 1613.12.
(b) The inspection shall meet all of the following requirements:
(1) The qualified person shall determine if the repair/adjustment meets manufacturer equipment criteria (where applicable and available).
(2) Where manufacturer equipment criteria are unavailable or inapplicable, the qualified person shall:
(A) Determine if a registered professional engineer (RPE) is needed to develop criteria for the repair/adjustment. If an RPE is not needed, the employer shall ensure that the criteria are developed by the qualified person. If an RPE is needed, the employer shall ensure that they are developed by an RPE.
(B) Determine if the repair/adjustment meets the criteria developed in accordance with subsection (b)(2)(A). 
(3) The inspection shall include functional testing of the repaired/adjusted parts and other components that may be affected by the repair/adjustment.
(c) Equipment shall not be used until an inspection under this section demonstrates that the repair/adjustment meets the requirements of subsection (b)(1) [or, where applicable, subsection (b)(2)].

NOTES: 1. These inspections may be performed by a qualified person for cranes not exceeding 3 tons rated capacity.

2. Proof load tests are required in the case of major modifications or repairs to important structural components, and shall comply with General Industry Safety Orders, Section 5022.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1613.3. Inspections -- Post-Assembly.
Note     •     History

(a) Upon completion of assembly, the equipment shall be inspected by a qualified person or certificating agency to assure that it is configured in accordance with manufacturer equipment criteria.
(b) Where manufacturer equipment criteria are unavailable, a qualified person or certificating agency shall:
(1) Determine if a registered professional engineer (RPE) familiar with the type of equipment involved is needed to develop criteria for the equipment configuration. If an RPE is not needed, the employer shall ensure that the criteria are developed by the qualified person. If an RPE is needed, the employer shall ensure that they are developed by an RPE.
(2) Determine if the equipment meets the criteria developed in accordance with subsection (b)(1).
(c) Equipment shall not be used until an inspection under this subsection demonstrates and documents that the equipment is configured in accordance with the applicable criteria.

Exception: These inspections may be performed by a qualified person for cranes not exceeding 3 tons rated capacity.

NOTE: Applicable criteria are prescribed in General Industry Safety Orders, Articles 99 (Testing) and 100 (Inspection and Maintenance).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.4. Inspections -- Each Shift.
Note     •     History

(a) Each shift. A qualified person shall visually inspect the crane's or derrick's controls, rigging and operating mechanism prior to the first operation on any work shift. The inspection shall consist of observation for apparent deficiencies. Taking apart equipment components and booming down is not required as part of this inspection unless the results of the visual inspection or trial operation indicate that further investigation necessitating taking apart equipment components or booming down is needed. Any unsafe conditions disclosed by the inspection requirements of this Article shall be corrected promptly. Defective components of equipment which create an imminent safety hazard shall be replaced, repaired or adjusted prior to use. At a minimum the inspection shall include all of the following:
(1) Control mechanisms for maladjustments interfering with proper operation.
(2) Control and drive mechanisms for apparent excessive wear of components and contamination by lubricants, water or other foreign matter.
(3) Air, hydraulic, and other pressurized lines for deterioration or leakage, particularly those which flex in normal operation.
(4) Hydraulic system for proper fluid level.
(5) Hooks and latches for deformation, cracks, excessive wear, or damage such as from chemicals or heat.
(6) Wire rope reeving for compliance with the manufacturer's specifications. 
(7) Wire rope, in accordance with Section 1613.10(a).
(8) Electrical apparatus for malfunctioning, signs of apparent excessive deterioration, dirt or moisture accumulation.
(9) Tires (when in use) for proper inflation and condition.
(10) Ground conditions around the equipment for proper support, including ground settling under and around outriggers/stabilizers and supporting foundations, ground water accumulation, or similar conditions.
This section does not apply to the inspection of ground conditions for railroad tracks and their underlying support when the railroad tracks are part of the general railroad system of transportation that is regulated pursuant to the Federal Railroad Administration under 49 CFR part 213.
(11) The equipment for level position within the tolerances specified by the equipment manufacturer's recommendations, both before each shift and after each move and setup.
(12) Operator cab windows for significant cracks, breaks, or other deficiencies that would hamper the operator's view.
(13) Rails, rail stops, rail clamps and supporting surfaces when the equipment has rail traveling. This section does not apply to the inspection of rails, rail stops, rail clamps and supporting surfaces when the railroad tracks are part of the general railroad system of transportation that is regulated pursuant to the Federal Railroad Administration under 49 CFR part 213.
(14) Safety devices and operational aids for proper operation.
(b) If any deficiency in subsections (a)(1) through (13) (or in additional inspection items required to be checked for specific types of equipment in accordance with other sections of this standard) is identified, an immediate determination shall be made by the qualified person as to whether the deficiency constitutes a safety hazard. If the deficiency is determined to constitute a safety hazard, the equipment shall be taken out of service until it has been corrected.
(c) If any deficiency in subsection (a)(14) (safety devices/operational aids) is identified, the action specified in Section 1615.1 and Section 1615.2 shall be taken prior to using the equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.5. Inspections -- Periodic.
Note     •     History

(a) Periodic inspections shall be conducted at least four times a year. The annual certification, as required by General Industry Safety Orders, Sections 5021(a) and Construction Safety Orders Section 1613.6, can serve as one of the required periodic inspections. The periodic inspections shall be evenly spaced or as close to evenly spaced as scheduling permits through the year. Cranes shall not be operated more than 750 hours, between periodic inspections. The inspection shall include the following in addition to the items in Section 1613.4 (Inspections -- Daily): 
(1) Excessive wear of all functional operating mechanisms. 
(2) Ropes, brakes, friction clutches, chain drives, and other parts subject to wear which may be readily inspected.
(3) An inspection record shall be maintained which includes the date of the inspection, the signature of the person who performed the inspection, and the serial number or other identifier of the crane inspected, the items checked and the results of the inspection. The most recent inspection record shall be maintained on file. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.6. Inspections -- Annual/Comprehensive.
Note     •     History

(a) At least every 12 months the equipment shall be inspected by a certificating agency in accordance with Section 1613.4 (Daily/each shift) except that the corrective actions set forth in Sections 1613.4, 1613.5 and 1613.6 shall apply in place of the corrective action required by Sections 1613.2 and 1613.3. 
(b) In addition, at least every 12 months, equipment shall be inspected by a certificating agency. Disassembly is required, as necessary, to complete the inspection; however, whenever it is practical and advisable to avoid disassembly of equipment, removal of pins, etc., examination of structure or parts by electronic, ultrasonic, or other nondestructive methods shall be carried out. The equipment shall be inspected for all of the following: 
(1) Equipment structure (including the boom and, if equipped, the jib):
(A) Structural members: Deformed, cracked, or significantly corroded.
(B) Bolts, rivets and other fasteners: loose, failed or significantly corroded.
(C) Welds for cracks.
(D) Junction areas of removable boom sections, particularly for proper seating, cracks, deformities, or other defects in securing bolts and in the vicinity of such bolts.
(2) All functional operating mechanisms for improper function, maladjustment, and excessive component wear, with particular attention to the following:
(A) Sheaves and drums for cracks or significant wear.
(B) Parts such as pins, bearings, shafts, gears, rollers and locking devices for distortion, cracks or significant wear.

NOTE: This shall include operation with partial load, in which all functions and movements, including, where applicable, maximum possible rotation in both directions, are performed. 
(3) Excessive wear on and free operation of brake and clutch system parts, linings, pawls, and ratchets. 
(4) Safety devices and operational aids for proper operation (including significant inaccuracies).
(5) Gasoline, diesel, electric, or other power plants for safety-related problems (such as leaking exhaust and emergency shut-down feature) and conditions, and proper operation.
(6) Chains and chain drive sprockets for excessive wear of sprockets and excessive chain stretch.
(7) Travel steering, brakes, and locking devices, for proper operation.
(8) Tires for damage or excessive wear.
(9) Hydraulic, pneumatic and other pressurized hoses, fittings and tubing, as follows:
(A) Flexible hose or its junction with the fittings for indications of leaks.
(B) Threaded or clamped joints for leaks.
(C) Outer covering of the hose for blistering, abnormal deformation or other signs of failure/impending failure.
(D) Outer surface of a hose, rigid tube, or fitting for indications of excessive abrasion or scrubbing.
(10) Hydraulic and pneumatic pumps and motors, as follows:
(A) Performance indicators: Unusual noises or vibration, low operating speed, excessive heating of the fluid, low pressure.
(B) Loose bolts or fasteners.
(C) Shaft seals and joints between pump sections for leaks.
(11) Hydraulic and pneumatic valves, as follows:
(A) Spools: Sticking, improper return to neutral, and leaks.
(B) Leaks.
(C) Valve housing cracks.
(D) Relief valves: Failure to reach correct pressure (if there is a manufacturer procedure for checking pressure, it shall be followed).
(12) Hydraulic and pneumatic cylinders, as follows:
(A) Drifting caused by fluid leaking across the piston.
(B) Rod seals and welded joints for leaks.
(C) Cylinder rods for scores, nicks, or dents.
(D) Case (barrel) for significant dents.
(E) Rod eyes and connecting joints: Loose or deformed.
(13) Outrigger or stabilizer pads/floats for excessive wear or cracks.
(14) Slider pads for excessive wear or cracks
(15) Electrical components and wiring for cracked or split insulation and loose or corroded terminations.
(16) Warning labels and decals originally supplied with the equipment by the manufacturer or otherwise required under this standard: Missing or unreadable.
(17) Originally equipped operator seat (or equivalent): Missing or unserviceable.
(18) Originally equipped steps, ladders, handrails, guards: Missing, or in unusable/unsafe condition.
(19) Load, boom angle, or other indicators shall be checked for any inaccuracy.
(20) Loose gear components (i.e. hooks, etc.), including wire rope and wire rope terminals and connections, with particular attention to sections of wire rope exposed to abnormal wear and sections not normally exposed for examination. 
(A) Crane hooks with cracks or with deformation of throat opening more than 15 percent in excess of normal opening or more than 10 degree twist from plane of unbent hook shall be removed from service. 
(21) Rope reeving for compliance with certified agent's recommendations.
(22) It shall be ascertained that no counterweights in excess of the certified agent's specifications are fitted. 
(23) Such other examinations deemed necessary under the circumstances.
(c) This inspection shall include functional testing to determine that the equipment as configured in the inspection is functioning properly.
(d) If any deficiency is identified, an immediate determination shall be made by the certificating agency as to whether the deficiency constitutes a safety hazard or, though not yet a safety hazard, needs to be monitored in the periodic inspections.
(e) If the certificating agency determines that a deficiency is a safety hazard, the equipment shall be taken out of service until it has been corrected, except when temporary alternative measures are implemented as specified in Section 1615.2(d) or Section 1619.1(e). See Section 1616.1.
(f) If the certificating agency determines that, though not presently a safety hazard, the deficiency needs to be monitored, the employer shall ensure that the deficiency is checked in the periodic inspections.
(g) Documentation of annual/comprehensive inspection. 
(1) The following information shall be documented, maintained, and retained for a minimum of 12 months, by the employer that conducts the inspection:
(A) The items checked and the results of the inspection.
(B) The name and signature of the person who conducted the inspection and the date.

Exception: Annual/Comprehensive inspections of Section 1613.6 may be performed by a qualified person for cranes not exceeding 3 tons rated capacity.
(2) Records required for crane certification shall be maintained in accordance with the provisions of Title 8 CCR Section 344.80.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.7. Inspections -- Severe Service.
Note     •     History

Where the severity of use/conditions is such that there is a reasonable probability of damage or excessive wear (such as loading that may have exceeded rated capacity, shock loading that may have exceeded rated capacity, prolonged exposure to a corrosive atmosphere), the employer shall stop using the equipment and a qualified person shall:
(a) Inspect the equipment for structural damage to determine if the equipment can continue to be used safely.
(b) In light of the use/conditions determine whether any items/conditions listed in Section 1613.6 need to be inspected; if so, the qualified person shall inspect those items/conditions.
(c) If a deficiency is found, the employer shall follow the requirements in subsections 1613.6(d) through (f).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.8. Inspections -- Equipment Not in Regular Use.
Note     •     History

Equipment that has been idle for 3 months or more shall be inspected by a certificating agency or qualified person in accordance with the requirements of Section 1613.5 (Inspections - Periodic), before initial use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.9. Inspections -- General.
Note     •     History

(a) Any part of a manufacturer's procedures regarding inspections that relate to safe operation (such as to a safety device or operational aid, critical part of a control system, power plant, braking system, load-sustaining structural components, load hook, or in-use operating mechanism) that is more comprehensive or has a more frequent schedule of inspection than the requirements of this Article shall be followed.
(b) All documents produced under this Article shall be available, during the applicable document retention period, to all persons who conduct inspections under this Article.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1613.10. Inspections -- Wire Rope.
Note     •     History

(a) Shift inspection.
(1) A qualified person shall begin a visual inspection prior to each shift the equipment is used, which shall be completed before or during that shift.
The inspection shall consist of observation of wire ropes (running and standing) that are likely to be in use during the shift for apparent deficiencies, including those listed in subsection (a)(2). Untwisting (opening) of wire rope or booming down is not required as part of this inspection.
(2) Apparent deficiencies.
(A) Category I. Apparent deficiencies in this category include the following:
1. Significant distortion of the wire rope structure such as kinking, crushing, unstranding, birdcaging, signs of core failure or steel core protrusion between the outer strands.
2. Significant corrosion.
3. Electric arc damage (from a source other than power lines) or heat damage.
4. Improperly applied end connections.
5. Significantly corroded, cracked, bent, or worn end connections (such as from severe service).
(B) Category II. Apparent deficiencies in this category are:
1. Visible broken wires, as follows:
a. In running wire ropes: Six randomly distributed broken wires in one rope lay or three broken wires in one strand in one rope lay, where a rope lay is the length along the rope in which one strand makes a complete revolution around the rope.
b. In rotation resistant ropes: Two randomly distributed broken wires in six rope diameters or four randomly distributed broken wires in 30 rope diameters.
c. In pendants or standing wire ropes: More than two broken wires in one rope lay located in rope beyond end connections and/or more than one broken wire in a rope lay located at an end connection.
2. A diameter reduction of more than 5% from nominal diameter.
(C) Category III. Apparent deficiencies in this category include the following:
1. In rotation resistant wire rope, core protrusion or other distortion indicating core failure.
2. Prior electrical contact with a power line.
3. A broken strand.
(3) Critical review items. The qualified person shall give particular attention to all of the following:
A. Rotation resistant wire rope in use.
B. Wire rope being used for boom hoists and luffing hoists, particularly at reverse bends.
C. Wire rope at flange points, crossover points and repetitive pickup points on drums.
D. Wire rope at or near terminal ends.
E. Wire rope in contact with saddles, equalizer sheaves or other sheaves where rope travel is limited.
(4) Removal from service.
(A) If a deficiency in Category I [see subsection (a)(2)(A)] is identified, an immediate determination shall be made by the qualified person as to whether the deficiency constitutes a safety hazard. If the deficiency is determined to constitute a safety hazard, operations involving use of the wire rope in question shall be prohibited until:
1. The wire rope is replaced, or 
2. If the deficiency is localized, the problem is corrected by severing the wire rope in two; the undamaged portion may continue to be used. Joining lengths of wire rope by splicing is prohibited. If a rope is shortened under this section, the employer shall ensure that the drum will still have two wraps of wire when the load and/or boom is in its lowest position.
(B) If a deficiency in Category II [see subsection (a)(2)(B)] is identified, operations involving use of the wire rope in question shall be prohibited until:
1. The wire rope is replaced, or
2. If the deficiency is localized, the problem is corrected by severing the wire rope in two; the undamaged portion may continue to be used. Joining lengths of wire rope by splicing is prohibited. If a rope is shortened under this section, the employer shall ensure that the drum will still have two wraps of wire when the load and/or boom is in its lowest position. 
(C) If a deficiency in Category III is identified, operations involving use of the wire rope in question shall be prohibited until:
1. The wire rope is replaced, or
2. If the deficiency (other than power line contact) is localized, the problem is corrected by severing the wire rope in two; the undamaged portion may continue to be used. Joining lengths of wire rope by splicing is prohibited. Repair of wire rope that contacted an energized power line is also prohibited. If a rope is shortened under this section, the employer shall ensure that the drum will still have two wraps of wire when the load and/or boom is in its lowest position. 
(D) Where a wire rope is required to be removed from service under this section, either the equipment (as a whole) or the hoist with that wire rope shall be tagged-out, in accordance with Section 1616.1(g)(1), until the wire rope is repaired or replaced.
(b) Monthly inspection.
(1) Each month an inspection shall be conducted in accordance with subsection (a) (Shift Inspection).
(2) The inspection shall include any deficiencies that the qualified person who conducts the annual inspection determines under subsection (c)(3)(B) shall be monitored.
(3) Wire ropes on equipment shall not be used until an inspection under this section demonstrates that no corrective action under subsection (a)(4) is required.
(4) The inspection shall be documented according to Section 1613.5(a)(3) (monthly inspection documentation).
(c) Annual/comprehensive.
(1) At least every 12 months, wire ropes in use on equipment shall be inspected by a qualified person in accordance with subsection (a) (Shift Inspection).
(2) In addition, at least every 12 months, the wire ropes in use on equipment shall be inspected by a qualified person, as follows:
(A) The inspection shall be for deficiencies of the types listed in subsection (a)(2).
(B) The inspection shall be complete and thorough, covering the surface of the entire length of the wire ropes, with particular attention given to all of the following:
1. Critical review items listed in subsection (a)(3). 
2. Those sections that are normally hidden during shift and monthly inspections.
3. Wire rope subject to reverse bends.
4. Wire rope passing over sheaves.

Exception: In the event an inspection under subsection (c)(2) is not feasible due to existing set-up and configuration of the equipment (such as where an assist crane is needed) or due to site conditions (such as a dense urban setting), such inspections shall be conducted as soon as it becomes feasible, but no longer than an additional 6 months for running ropes and, for standing ropes, at the time of disassembly.
(3) If a deficiency is identified, an immediate determination shall be made by the qualified person as to whether the deficiency constitutes a safety hazard.
(A) If the deficiency is determined to constitute a safety hazard, operations involving use of the wire rope in question shall be prohibited until:
1. The wire rope is replaced, or
2. If the deficiency is localized, the problem is corrected by severing the wire rope in two; the undamaged portion may continue to be used. Joining lengths of wire rope by splicing is prohibited. If a rope is shortened under this section, the employer shall ensure that the drum will still have two wraps of wire when the load and/or boom is in its lowest position. 
(B) If the qualified person determines that, though not presently a safety hazard, the deficiency needs to be monitored, the employer shall ensure that the deficiency is checked in the periodic inspections.
(4) The inspection shall be documented according to Section 1613.6(g) Inspections -- Annual/Comprehensive. 
(d) Rope lubricants that are of the type that hinder inspection shall not be used.
(e) All documents produced under this section shall be available, during the applicable document retention period, to all persons who conduct inspections under this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Repealer of subsection (a)(4)(B)1. and subsection renumbering filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1613.11. Repairs.
Note     •     History

Repairs to load sustaining members and other critical crane and derrick parts shall be performed in accordance with the provisions of General Industry Safety Orders, Section 5034(e) and (f).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1613.12. Damaged Booms.
Note     •     History

Prior to further use, boom sections or boom suspension components that have been damaged shall be repaired as prescribed by General Industry Safety Orders, Section 5035.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1614. Wire Rope -- Selection and Installation Criteria.
Note     •     History

(a) Original equipment wire rope and replacement wire rope shall be selected and installed in accordance with the requirements of this section. Selection of replacement wire rope shall be in accordance with the recommendations of the wire rope manufacturer, the equipment manufacturer, or a qualified person.
(b) Wire rope design criteria: Wire rope (other than rotation resistant rope) shall comply with either Option (1) or Option (2) of this section, as follows:
(1) Option (1). Wire rope shall comply with section 5-1.7.1 of ASME B30.5-2004 except that subsection 5-1.7.1(c) shall not apply.
(2) Option (2). Wire rope shall be designed to have, in relation to the equipment's rated capacity, a sufficient minimum breaking force and design factor so that compliance with the applicable inspection provisions in Section 1613.10 (Inspections -- Wire Rope) will be an effective means of preventing sudden rope failure.
(c) Wire rope shall be compatible with the safe functioning of the equipment.
(d) Boom hoist reeving.
(1) Fiber core ropes shall not be used for boom hoist reeving, except for derricks.
(2) Rotation resistant ropes shall be used for boom hoist reeving only where the requirements of subsection (e)(4)(B) are met.
(e) Rotation resistant ropes.
(1) Definitions.
(A) Type I rotation resistant wire rope (“Type I”). Type I rotation resistant rope is stranded rope constructed to have little or no tendency to rotate or, if guided, transmits little or no torque. It has at least 15 outer strands and comprises an assembly of at least three layers of strands laid helically over a center in two operations. The direction of lay of the outer strands is opposite to that of the underlying layer.
(B) Type II rotation resistant wire rope (“Type II”). Type II rotation resistant rope is stranded rope constructed to have significant resistance to rotation. It has at least 10 outer strands and comprises an assembly of two or more layers of strands laid helically over a center in two or three operations. The direction of lay of the outer strands is opposite to that of the underlying layer.
(C) Type III rotation resistant wire rope (“Type III”). Type III rotation resistant rope is stranded rope constructed to have limited resistance to rotation. It has no more than nine outer strands, and comprises an assembly of two layers of strands laid helically over a center in two operations. The direction of lay of the outer strands is opposite to that of the underlying layer.
(2) Requirements.
(A) Types II and III with an operating design factor of less than 5 shall not be used for duty cycle or repetitive lifts.
(B) Rotation resistant ropes (including Types I, II and III) shall have an operating design factor of no less than 3.5.
(C) Type I shall have an operating design factor of no less than 5, except where the wire rope manufacturer and the equipment manufacturer approves the design factor, in writing.
(D) Types II and III shall have an operating design factor of no less than 5, except where the requirements of subsection (e)(3) are met.
(3) When Types II and III with an operating design factor of less than 5 are used (for non-duty cycle, non-repetitive lifts), the following requirements shall be met for each lifting operation:
(A) A qualified person shall inspect the rope in accordance with Section 1613.10(a). The rope shall be used only if the qualified person determines that there are no deficiencies constituting a hazard. In making this determination, more than one broken wire in any one rope lay shall be considered a hazard.
(B) Operations shall be conducted in such a manner and at such speeds as to minimize dynamic effects.
(C) Each lift made under subsection (e)(3) shall be recorded in the monthly and annual inspection documents. Such prior uses shall be considered by the qualified person in determining whether to use the rope again.
(4) Additional requirements for rotation resistant ropes for boom hoist reeving.
(A) Rotation resistant ropes shall not be used for boom hoist reeving, except where the requirements of subsection (e)(4)(B) are met.
(B) Rotation resistant ropes may be used as boom hoist reeving when load hoists are used as boom hoists for attachments such as luffing attachments or boom and mast attachment systems. Under these conditions, all of the following requirements shall be met:
1. The drum shall provide a first layer rope pitch diameter of not less than 18 times the nominal diameter of the rope used.
2. The requirements in Section 1616.5(a) (irrespective of the date of manufacture of the equipment), and Section 1616.5(b).
3. The requirements in ASME B30.5-2004 sections 5-1.3.2(a), (a)(2) through (a)(4), (b) and (d) except that the minimum pitch diameter for sheaves used in multiple rope reeving is 18 times the nominal diameter of the rope used (instead of the value of 16 specified in section 5-1.3.2(d)).
4. All sheaves used in the boom hoist reeving system shall have a rope pitch diameter of not less than 18 times the nominal diameter of the rope used.
5. The operating design factor for the boom hoist reeving system shall be not less than five.
6. The operating design factor for these ropes shall be the total minimum breaking force of all parts of rope in the system divided by the load imposed on the rope system when supporting the static weights of the structure and the load within the equipment's rated capacity.
7. When provided, a power controlled lowering system shall be capable of handling rated capacities and speeds as specified by the manufacturer.
(f) Wire rope clips used in conjunction with wedge sockets shall be attached to the unloaded dead end of the rope only, except that the use of devices specifically designed for dead-ending rope in a wedge socket is permitted.
(g) Socketing shall be done in the manner specified by the manufacturer of the wire rope or fitting.
(h) Prior to cutting a wire rope, seizings shall be placed on each side of the point to be cut. The length and number of seizings shall be in accordance with the wire rope manufacturer's instructions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1615. Safety Devices. [Reserved]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1615.1. Safety Devices.
Note     •     History

(a) Safety devices. The following safety devices are required on all equipment covered by Article 15, unless otherwise specified:
(1) Crane level indicator.
(A) The equipment shall have a crane level indicator that is either built into the equipment or is available on the equipment.
(B) If a built-in crane level indicator is not working properly, it shall be tagged-out or removed. If a removable crane level indicator is not working properly, it shall be removed.
(C) This requirement does not apply to portal cranes, derricks, floating cranes/derricks and land cranes/derricks on barges, pontoons, vessels or other means of flotation.
(2) Boom stops, except for derricks and hydraulic booms.
(3) Jib stops (if a jib is attached), except for derricks.
(4) Equipment with foot pedal brakes shall have locks.
(5) Hydraulic outrigger jacks and hydraulic stabilizer jacks shall have an integral holding device/check valve.
(6) Equipment on rails shall have rail clamps and rail stops, except for portal cranes.
(7) Horn
(A) The equipment shall have a horn that is either built into the equipment or is on the equipment and immediately available to the operator.
(B) If a built-in horn is not working properly, it shall be tagged-out or removed. If a removable horn is not working properly, it shall be removed.
(b) Proper operation required.
Operations shall not begin unless all of the devices listed in this section are in proper working order. If a device stops working properly during operations, the operator shall safely stop operations. If any of the devices listed in this section are not in proper working order, the equipment shall be taken out of service and operations shall not resume until the device is again working properly. See Section 1616.1 (Operation). Alternative measures are not permitted to be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1615.2. Operational Aids.
Note     •     History

(a) The devices listed in this section (“listed operational aids”) are required on all equipment covered by Article 15, unless otherwise specified.
(1) The requirements in subsections (e)(1), (e)(2), and (e)(3) do not apply to articulating cranes.
(2) The requirements in subsections (d)(3), (e)(1), and (e)(4) apply only to those digger derricks manufactured after July 7, 2012.
(b) Operations shall not begin unless the listed operational aids are in proper working order, except where an operational aid is being repaired the employer uses the specified temporary alternative measures. The time periods permitted for repairing defective operational aids are specified in subsections (d) and (e). 
More protective alternative measures specified by the crane/derrick manufacturer, if any, shall be followed.
(c) If a listed operational aid stops working properly during operations, the operator shall safely stop operations until the temporary alternative measures are implemented or the device is again working properly.
(d) Category I operational aids. Operational aids listed in this section that are not working properly shall be repaired no later than 7 calendar days after the deficiency occurs. 

Exception: If the employer documents that it has ordered the necessary parts within 7 calendar days of the occurrence of the deficiency, the repair shall be completed within 7 calendar days of receipt of the parts. See Section 1616.1(j) for additional requirements.
(1) Boom hoist limiting device.
(A) For equipment manufactured after December 16, 1969, a boom hoist limiting device is required. 
Temporary alternative measures (use at least one). One or more of the following methods shall be used:
1. Use a boom angle indicator.
2. Clearly mark the boom hoist cable (so that it can easily be seen by the operator) at a point that will give the operator sufficient time to stop the hoist to keep the boom within the minimum allowable radius. In addition, install mirrors or remote video cameras and displays if necessary for the operator to see the mark.
3. Clearly mark the boom hoist cable (so that it can easily be seen by a spotter) at a point that will give the spotter sufficient time to signal the operator and have the operator stop the hoist to keep the boom within the minimum allowable radius.
(B) If the equipment was manufactured on or before December 16, 1969, and is not equipped with a boom hoist limiting device, at least one of the measures in subsections (d)(1)(A)1-3 shall be used.
(2) Luffing jib limiting device.
Equipment with a luffing jib shall have a luffing jib limiting device. 
Temporary alternative measures are the same as in subsection (d)(1)(A), except to limit the movement of the luffing jib rather than the boom hoist.
(3) Anti two-blocking device.
(A) Telescopic boom cranes manufactured after February 28, 1992, shall be equipped with a device which automatically prevents damage from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component). The device(s) shall prevent such damage at all points where two-blocking could occur.
(B) Lattice boom cranes.
1. Lattice boom cranes manufactured after Feb 28, 1992, shall be equipped with a device that either automatically prevents damage and load failure from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component), or warns the operator in time for the operator to prevent two-blocking. The device shall prevent such damage/failure or provide adequate warning for all points where two-blocking could occur.
2. Lattice boom cranes and derricks manufactured after July 7, 2012 shall be equipped with a device which automatically prevents damage and load failure from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component). The device(s) shall prevent such damage/failure at all points where two-blocking could occur.

Exception: The requirements in subsection (d)(3)(B) do not apply to such lattice boom equipment when used for dragline, clamshell (grapple), magnet, and drop ball work.
(C) Articulating cranes manufactured after December 31, 1999, that are equipped with a load hoisting device (winch) shall be equipped with a device that automatically prevents damage from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component). The device shall prevent such damage at all points where two-blocking could occur.
(e) Category II operational aids and alternative measures. Operational aids listed in this subsection that are not working properly shall be repaired no later than 30 calendar days after the deficiency occurs. 

Exception: If the employer documents that it has ordered the necessary parts within 7 calendar days of the occurrence of the deficiency, and the part is not received in time to complete the repair in 30 calendar days, the repair shall be completed within 7 calendar days of receipt of the parts. See Section 1616.1(j) for additional requirements.
(1) Boom angle or radius indicator. Cranes shall be provided with a boom angle or radius indicator which clearly shows the boom angle in degrees to the operator at all times. 

Exception: When a boom angle or radius indicator is inoperative or malfunctioning, a qualified person shall determine the radius or boom angle by measurement until the indicator is restored to operation. 
(A) Boom angle or radius indicators shall be repaired in accordance with the manufacturer's recommendations.
(2) Jib angle indicator if the equipment has a luffing jib. 
Temporary alternative measures: Radii or jib angle shall be determined by a qualified person ascertaining the main boom angle and then measuring the radii or jib angle with a measuring device.
(A) Jib angle or radius indicators shall be repaired in accordance with the manufacturer's recommendations.
(3) Boom length indicator if the equipment has a telescopic boom, except where the rated capacity is independent of the boom length.
Temporary alternative measures. One or more of the following methods shall be used:
(A) Mark the boom with measured marks to calculate boom length,
(B) Calculate boom length from boom angle and radius measurements,
(C) Measure the boom with a measuring device.
(4) Load weighing and similar devices.
(A) Equipment (other than derricks and articulating cranes) manufactured after March 29, 2003 with a rated capacity over 6,000 pounds shall have at least one of the following: load weighing device, load moment (or rated capacity) indicator, or load moment (or rated capacity) limiter.
Temporary alternative measures: The weight of the load must be determined from a source recognized by the industry (such as the load's manufacturer) or by a calculation method recognized by the industry (such as calculating a steel beam from measured dimensions and a known per foot weight). This information must be provided to the operator prior to the lift. 
(B) Articulating cranes manufactured after July 7, 2012 shall have at least one of the following: automatic overload prevention device, load weighing device, load moment (or rated capacity) indicator, or load moment (rated capacity) limiter.
Temporary alternative measures: The weight of the load shall be determined from a source recognized by the industry (such as the load's manufacturer) or by a calculation method recognized by the industry (such as calculating a steel beam from measured dimensions and a known per foot weight). This information shall be provided to the operator prior to the lift.
(5) The following devices are required on equipment manufactured after July 7, 2012:
(A) Outrigger/stabilizer position (horizontal beam extension) sensor/monitor if the equipment has outriggers or stabilizers.
Temporary alternative measures: The operator shall verify that the position of the outriggers or stabilizers is correct (in accordance with manufacturer procedures) before beginning operations requiring outrigger or stabilizer deployment.
(B) Hoist drum rotation indicator if the equipment has a hoist drum not visible from the operator's station.
Temporary alternative measures: Mark the drum to indicate the rotation of the drum. In addition, install mirrors or remote video cameras and displays if necessary for the operator to see the mark.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1615.3. Rigging Equipment for Material Handling.
Note     •     History

(a) Employers must ensure that rigging equipment:
(1) Has permanently affixed and legible identification markings as prescribed by the manufacturer that indicate the recommended safe working load; 
(2) Not be loaded in excess of its recommended safe working load as prescribed on the identification markings by the manufacturer; and 
(3) Not be used without affixed, legible identification markings as required by subsection (a)(1) of this section. 
(b) Employers must not use improved plow-steel wire rope and wire-rope slings with loads in excess of the rated capacities (i.e., working load limits) indicated on the sling by permanently affixed and legible identification markings prescribed by the manufacturer. 
(c) Wire rope slings shall have permanently affixed, legible identification markings stating size, rated capacity for the type(s) of hitch(es) used and the angle upon which it is based, and the number of legs if more than one. 
(d) Employers shall not use shackles with loads in excess of the rated capacities (i.e., working load limits) indicated on the shackle by permanently affixed and legible identification markings prescribed by the manufacturer. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§1616. Operations. [Reserved]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1616.1. Operation.
Note     •     History

(a) The employer shall comply with all manufacturer procedures applicable to the operational functions of equipment, including its use with attachments.
(b) Unavailable operation procedures.
(1) Where the manufacturer procedures are unavailable, the employer shall develop and ensure compliance with all procedures necessary for the safe operation of the equipment and attachments.
(2) Procedures for the operational controls shall be developed by a certified agent.
(3) Procedures related to the capacity of the equipment shall be developed and signed by a certified agent.
(c) Each crane shall be provided with a descriptive booklet, written in English, containing a comprehensive summary of design characteristics, erection procedures, operation techniques, repair recommendations, and safety precautions. This booklet shall be available on in the cab at all times for use by the operator. 
(1) A durable, clearly legible load rating chart shall be provided with each crane and securely affixed in the cab or operator's station easily visible to the operator while at the controls. The chart shall include load ratings and restrictions as specified by the certified agent for specific lengths of components, counterweights, swing, and radii. Where load ratings for cranes are governed by structural competence, the limitation on loading shall be such that no structural member is overstressed, and load rating charts shall be subject to this limitation. 
(2) Where rated capacities are available in the cab only in electronic form: In the event of a failure which makes the rated capacities inaccessible, the operator shall immediately cease operations or follow safe shut-down procedures until the rated capacities (in electronic or other form) are available.
(d) The operator shall not engage in any practice or activity that diverts his/her attention while actually engaged in operating the equipment, such as the use of cellular phones (other than when used for signal communications).
(e) Before leaving the crane unattended, the operator shall be required to:
(1) Land or properly secure any attached load, bucket, lifting magnet, or other device;
(2) Disengage clutch;
(3) Set travel, swing, boom brakes, and other locking devices unless otherwise specified by the certified agents;
(4) Put controls in the “off” position;
(5) Stop the engine or motor;
(6) Secure crane against accidental travel.
(f) Holding the Load.
(1) When a load of any kind is to be suspended for any considerable time, the drum holding mechanism shall be used in addition to the brake which shall also be applied. 
(2) Cranes, hoists, or derricks shall not be left unattended while the load is suspended unless the load is suspended over water, a barricaded area, or is blocked up or otherwise supported from below during repairs or emergency.
(g) Tag-out.
(1) Tagging out of service equipment/functions. Where the employer has taken the equipment out of service, a tag shall be placed in the cab stating that the equipment is out of service and is not to be used. Where the employer has taken a function(s) out of service, a tag shall be placed in a conspicuous position stating that the function is out of service and is not to be used.
(2) Response to “do not operate”/tagout signs.
(A) If there is a warning (tag-out or maintenance/do not operate) sign on the equipment or starting control, the operator shall not activate the switch or start the equipment until the sign has been removed by a person authorized to remove it in accordance with the provisions of General Industry Safety Orders, Section 3314.
(B) If there is a warning (tag-out or maintenance/do not operate) sign on any other switch or control, the operator shall not activate that switch or control until the sign has been removed by a person authorized to remove it in accordance with the provisions of General Industry Safety Orders, Section 3314.
(h) Before starting the engine, the operator must verify that all controls are in the proper starting position and that all personnel are in the clear.
(i) Storm warning. When a local storm warning has been issued, the competent person shall determine whether it is necessary to implement manufacturer recommendations for securing the equipment.
(j) If equipment adjustments or repairs are necessary:
(1) The operator shall, in writing, promptly inform the person designated by the employer to receive such information and, where there are successive shifts, to the next operator; and
(2) The employer shall notify all affected employees, at the beginning of each shift, of the necessary adjustments or repairs and all alternative measures.
(k) Safety devices and operational aids shall not be used as a substitute for the exercise of professional judgment by the operator.
(l) If a qualified person determines that there is a slack rope condition requiring re-spooling of the rope, it must be verified (before starting to lift) that the rope is seated on the drum and in the sheaves as the slack is removed.
(m) The competent person shall adjust the equipment and/or operations to address the effect of wind, ice, and snow on equipment stability and rated capacity.
(n) Compliance with rated capacity.
(1) The equipment shall not be operated in excess of its rated capacity.
(2) The operator shall not be required to operate the equipment in a manner that would violate subsection (n)(1) of this section.
(3) Load weight. A crane, derrick, or hoist shall not be loaded beyond the rated capacity or safe working load whichever is smaller, except for test purposes. In all operations where the weight of the load being handled is unknown and may approach the rated capacity, there shall be a qualified person (rigger) assigned to determine the magnitude of the load, unless the crane or derrick is equipped with a load weighing device. The operator shall not make any lift under these conditions until informed of such weight by the qualified person (rigger) assigned to that operation.
(o) During lifting operations, the load, boom, or other parts of the equipment shall not contact any obstruction in a way which could cause falling material or damage to the boom.
(p) Side Loading. Side loading of booms shall be limited to freely suspended loads, and booms shall not be used for dragging loads sideways unless the boom is specifically designed and constructed to withstand such side loading.
(q) On wheel-mounted equipment, no loads shall be lifted over the front area, except as permitted by the manufacturer.
(r) The operator shall test the brakes each time a load that is 90% or more of the maximum line pull is handled by lifting the load a few inches and applying the brakes. In duty cycle and repetitive lifts where each lift is 90% or more of the maximum line pull, this requirement applies to the first lift but not to successive lifts.
(s) The load or the boom shall not be lowered below the point where less than two full wraps of rope remain on grooved drums and three full wraps on ungrooved drums.
(t) Travel.
(1) The travel of cranes or boom-type excavators shall be controlled so as to avoid collision with persons, material, and equipment. The cabs of units (of the revolving type) traveling under their own power shall be turned so as to provide the least obstruction to the operator's vision in the direction of travel, unless receiving signals from someone with an unobstructed view. 
(2) In transit, the following additional precautions for mobile cranes shall be exercised: 
(A) The boom shall be carried in line with the direction of motion and the superstructure shall be secured against rotation, except when negotiating turns when there is an operator in the cab, or when the boom is supported on a dolly. 
(B) The empty hook, headache ball, or block shall be lashed or otherwise restrained so that it cannot swing freely.
(3) Traveling with a load is prohibited if the practice is prohibited by the manufacturer.
(4) Where traveling with a load, the employer shall ensure that:
(A) A competent person supervises the operation, determines if it is necessary to reduce rated capacity, and makes determinations regarding load position, boom location, ground support, travel route, overhead obstructions, and speed of movement necessary to ensure safety.
(B) For equipment with tires, tire pressure specified by the manufacturer is maintained.
(u) Swing. When rotating the crane, sudden stops shall be avoided. Rotational speed shall be such that the load does not swing out beyond the radius at which it can be safely controlled.
(v) A tag or restraint line shall be used if necessary to prevent rotation of the load that would be hazardous.
(w) The brakes shall be adjusted in accordance with manufacturer procedures to prevent unintended movement.
(x) The qualified person (rigger) shall be trained and capable of safely performing the rigging operation. All loads shall be rigged by a qualified person (rigger) or by a trainee under the direct visual supervision of a qualified person (rigger). 
(y) Swinging locomotive cranes. A locomotive crane must not be swung into a position where railway cars on an adjacent track could strike it, until it is determined that cars are not being moved on the adjacent track and that proper flag protection has been established.
(z) Counterweight/ballast.
(aa) The use, care and maintenance of slings shall be in accordance with General Industry Safety Orders, Group 13, Article 101. 
(1) The following applies to equipment other than tower cranes:
(A) Equipment shall not be operated without the counterweight or ballast in place as specified by the manufacturer.
(B) The maximum counterweight or ballast specified by the manufacturer for the equipment shall not be exceeded.
(2) Counterweight/ballast requirements for tower cranes are specified in Section 1619.1(b)(8).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of subsection (o), repealer and new subsection (x) and new subsection (aa) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1616.2. Authority to Stop Operation.
Note     •     History

Whenever there is a concern as to safety, the operator shall have the authority to stop and refuse to handle loads until a qualified person has determined that safety has been assured.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1616.3. Work Area Control.
Note     •     History

(a) Swing radius hazards.
(1) The requirements of this section apply where there are accessible areas in which the equipment's rotating superstructure poses a hazard of:
(A) Striking and injuring an employee; or
(B) Pinching/crushing an employee against another part of the equipment or another object.
(2) To prevent employees from entering these hazard areas, the employer shall:
(A) Train each employee assigned to work on or near the equipment (“authorized personnel”) in how to recognize struck-by and pinch/crush hazard areas posed by the rotating superstructure.
(B) Erect and maintain control lines, warning lines, railings or similar barriers to mark the boundaries of the hazard areas. 

Exception: When the employer can demonstrate that it is not feasible to erect such barriers on the ground or on the equipment, the hazard areas shall be clearly marked by a combination of warning signs (such as “Danger--Swing/Crush Zone”) and high visibility markings on the equipment that identify the hazard areas. The markings shall be visible to employees from outside the hazard area. In addition, the employer shall train each employee to understand what these markings signify.
(3) Protecting employees in the hazard area.
(A) Before an employee goes to a location in the hazard area that is out of view of the operator, the employee shall inform the operator that he/she is going to that location.
(B) When the operator has been informed of employee entry to a location covered by subsection (a)(1), the operator shall not rotate the superstructure until the operator is informed by the employee or visually confirms that the employee has exited the location and is in a safe position.
Where any part of a crane/derrick is within the load radius of another crane/derrick, the controlling entity shall institute a system to coordinate operations. If there is no controlling entity, the employer (if there is only one employer operating the multiple pieces of equipment) shall institute such a system. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 
§1616.4. Overhead Loads.
Note     •     History

(a) Operations shall be conducted and the job controlled in a manner that will avoid exposure of employees to the hazard of overhead loads. Wherever loads must be passed directly over workers, occupied work spaces or occupied passageways, safety type hooks or equivalent means of preventing the loads from becoming disengaged shall be used. 

NOTE: Employees should not work in the area directly beneath a suspended load.
(b) While the operator is not moving a suspended load, no employee shall be within the fall zone, except for employees:
(1) Engaged in hooking, unhooking or guiding a load;
(2) Engaged in the initial attachment of the load to a component or structure; or
(3) Operating a concrete hopper or concrete bucket.
(c) When employees are engaged in hooking, unhooking, or guiding the load, or in the initial connection of a load to a component or structure and are within the fall zone, all of the following criteria shall be met:
(1) The materials being hoisted shall be rigged to prevent unintentional displacement.
(2) The materials shall be rigged by a qualified rigger.
(d) Receiving a load. Only employees needed to receive a load shall be permitted to be within the fall zone when a load is being landed.
(e) During a tilt-up or tilt-down operation:
(1) No employee shall be directly under the load.
(2) Only employees essential to the operation are permitted in the fall zone (but not directly under the load). An employee is essential to the operation if the employee is conducting one of the following operations and the employer can demonstrate it is infeasible for the employee to perform that operation from outside the fall zone: 
(A) Physically guide the load; 
(B) Closely monitor and give instructions regarding the load's movement; or 
(C) Either detach it from or initially attach it to another component or structure (such as, but not limited to, making an initial connection or installing bracing).

NOTE: Boom free fall is prohibited when an employee is in the fall zone of the boom or load, and load line free fall is prohibited when an employee is directly under the load; see Section 1616.5.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1616.5. Free Fall and Controlled Load Lowering.
Note     •     History

(a) Boom free fall prohibitions.
(1) The use of equipment in which the boom is designed to free fall (live boom) is prohibited in each of the following circumstances:
(A) An employee is in the fall zone of the boom or load.
(B) An employee is being hoisted.
(C) The load or boom is directly over a power line, or over any part of the area extending the Table A of Section 1612.1 clearance distance to each side of the power line; or any part of the area extending the Table A clearance distance to each side of the power line is within the radius of vertical travel of the boom or the load.
(D) The load is over a shaft, except where there are no employees in the shaft.
(E) The load is over a cofferdam, except where there are no employees in the fall zone of the boom or the load.
(F) Lifting operations are taking place in a refinery or tank farm.
(2) The use of equipment in which the boom is designed to free fall (live boom) is permitted only where none of the circumstances listed in subsection (a)(1) are present and:
(A) The equipment was manufactured prior to October 31, 1984; or
(B) The equipment is a floating crane/derrick or a land crane/derrick on a vessel/flotation device.
(b) Preventing boom free fall. Where the use of equipment with a boom that is designed to free fall (live boom) is prohibited, the boom hoist shall have a secondary mechanism or device designed to prevent the boom from falling in the event the primary system used to hold or regulate the boom hoist fails, as follows:
(1) Friction drums shall have:
(A) A friction clutch and, in addition, a braking device, to allow for controlled boom lowering.
(B) A secondary braking or locking device, which is manually or automatically engaged, to back-up the primary brake while the boom is held (such as a secondary friction brake or a ratchet and pawl device).
(2) Hydraulic drums shall have an integrally mounted holding device or internal static brake to prevent boom hoist movement in the event of hydraulic failure.
(3) Neither clutches nor hydraulic motors shall be considered brake or locking devices for purposes of this Article 15.
(4) Hydraulic boom cylinders shall have an integrally mounted holding device.
(c) Preventing uncontrolled retraction.
Hydraulic telescoping booms shall have an integrally mounted holding device to prevent the boom from retracting in the event of hydraulic failure.
(d) Load line free fall. In each of the following circumstances, controlled load lowering is required and free fall of the load line hoist is prohibited:
(1) An employee is directly under the load.
(2) An employee is being hoisted.
(3) The load is directly over a power line, or over any part of the area extending the Table A of Section 1612.1 clearance distance to each side of the power line; or any part of the area extending the Table A of Section 1612.1 clearance distance to each side of the power line is within the radius of vertical travel of the load.
(4) The load is over a shaft.
(5) The load is over a cofferdam, except where there are no employees in the fall zone of the load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1616.6. Hoisting Personnel.
Note     •     History

The requirements of this section are supplemental to the other requirements in this Article and apply when one or more employees are hoisted.
(a) The use of equipment to hoist employees is prohibited except where the employer demonstrates that the erection, use, and dismantling of conventional means of reaching the work area, such as a personnel hoist, ladder, stairway, aerial lift, elevating work platform, or scaffold, would be more hazardous, or is not possible because of the project's structural design or worksite conditions. This subsection does not apply to work covered by CSO Section 1710, Steel Erection.
(b) Use of personnel platform.
(1) When using equipment to hoist employees, the employees shall be in a personnel platform that meets the requirements of subsection (e).
(2) Exceptions: A personnel platform is not required for hoisting employees:
(A) Into and out of drill shafts that are up to and including 8 feet in diameter [see subsection (o) for requirements for hoisting these employees].
(B) In pile driving operations (see subsection (p) for requirements for hoisting these employees).
(C) Solely for transfer to or from a marine worksite in a marine-hoisted personnel transfer device [see subsection (r) for requirements for hoisting these employees].
(D) In storage-tank (steel or concrete), shaft and chimney operations [see subsection (s) for requirements for hoisting these employees]. 
(c) Equipment set-up.
(1) The equipment shall be uniformly level, within one percent of level grade, and located on footing that a qualified person has determined to be sufficiently firm and stable.
(2) Equipment with outriggers or stabilizers shall have them all extended and locked. The amount of extension shall be the same for all outriggers and stabilizers and in accordance with manufacturer procedures and load charts.
(d) Equipment criteria.
(1) Capacity: Use of suspended personnel platforms. The total load (with the platform loaded, including the hook, load line and rigging) shall not exceed 50 percent of the rated capacity for the radius and configuration of the equipment, except during proof testing.
(2) Capacity: Use of boom-attached personnel platforms. The total weight of the loaded personnel platform shall not exceed 50 percent of the rated capacity for the radius and configuration of the equipment (except during proof testing).
(3) Capacity: Hoisting personnel without a personnel platform. When hoisting personnel without a personnel platform pursuant to subsection (b)(2) of this section, the total load (including the hook, load line, rigging and any other equipment that imposes a load) shall not exceed 50 percent of the rated capacity for the radius and configuration of the equipment, except during proof testing.
(4) When the occupied personnel platform is in a stationary working position, the load and boom hoist brakes, swing brakes, and operator actuated secondary braking and locking features (such as pawls or dogs) or automatic secondary brakes shall be engaged.
(5) Devices.
(A) Equipment (except for derricks and articulating cranes) with a variable angle boom shall be equipped with all of the following:
1. A boom angle indicator, readily visible to the operator, and
2. A boom hoist limiting device.
(B) Articulating cranes shall be equipped with a properly functioning automatic overload protection device.
(C) Equipment with a luffing jib shall be equipped with:
1. A jib angle indicator, readily visible to the operator, and.
2. A jib hoist limiting device.
(D) Equipment with telescoping booms shall be equipped with a device to indicate the boom's extended length clearly to the operator, or shall have measuring marks on the boom.
(E) Anti two-block. A device which automatically prevents damage and load failure from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component) shall be used. The device(s) shall prevent such damage/failure at all points where two-blocking could occur. 

Exception: This device is not required when hoisting personnel in pile driving operations. Instead, subsection (p)(2) of this section specifies how to prevent two-blocking during such operations.
(F) Controlled load lowering. The load line hoist drum shall have a system, other than the load line hoist brake, which regulates the lowering rate of speed of the hoist mechanism. This system or device shall be used when hoisting personnel. NOTE: Free fall of the load line hoist is prohibited (see Section 1616.5(d); the use of equipment in which the boom hoist mechanism can free fall is also prohibited (see Section 1616.5(a)(1).
(G) Proper operation required.
Personnel hoisting operations shall not begin unless the devices listed in this section are in proper working order. If a device stops working properly during such operations, the operator shall safely stop operations. Personnel hoisting operations shall not resume until the device is again working properly. Alternative measures are not permitted. (See Section 1616.1 for tag-out and related requirements.)
(6) Direct attachment of a personnel platform to a luffing jib is prohibited.
(e) Personnel platform criteria.
(1) A qualified person familiar with structural design shall design the personnel platform and attachment/suspension system used for hoisting personnel.
(2) The system used to connect the personnel platform to the equipment shall allow the platform to remain within 10 degrees of level, regardless of boom angle.
(3) The suspension system shall be designed to minimize tipping of the platform due to movement of employees occupying the platform.
(4) The personnel platform itself (excluding the guardrail system and personal fall arrest system anchorages), shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load.
(5) All welding of the personnel platform and its components shall be performed by a certified welder familiar with the weld grades, types and material specified in the platform design.
(6) The personnel platform shall be equipped with a guardrail system which meets the requirements of Article 16 of these Orders, and shall be enclosed at least from the toeboard to mid-rail with either solid construction material or expanded metal having openings no greater than 1/2 inch (1.27 cm). Points to which personal fall arrest systems are attached shall meet the anchorage requirements in Article 24 of these Orders.
(7) A grab rail shall be installed inside the entire perimeter of the personnel platform except for access gates/doors.
(8) Access gates/doors. If installed, access gates/doors of all types (including swinging, sliding, folding, or other types) shall:
(A) Not swing outward. If due to the size of the personnel platform, such as a 1-person platform, it is infeasible for the door to swing inward and allow safe entry for the platform occupant, then the access gate/door may swing outward.
(B) Be equipped with a device that prevents accidental opening.
(9) Headroom shall be sufficient to allow employees to stand upright in the platform.
(10) In addition to the use of hard hats, employees shall be protected by overhead protection on the personnel platform when employees are exposed to falling objects. The platform overhead protection shall not obscure the view of the operator or platform occupants (such as wire mesh that has up to 1/2 inch openings), unless full protection is necessary.
(11) All edges exposed to employee contact shall be smooth enough to prevent injury.
(12) The weight of the platform and its rated capacity shall be conspicuously posted on the platform with a plate or other permanent marking.
(f) Personnel platform loading.
(1) The personnel platform shall not be loaded in excess of its rated capacity.
(2) Use.
(A) Personnel platforms shall be used only for employees, their tools, and the materials necessary to do their work. Platforms shall not be used to hoist materials or tools when not hoisting personnel.
(B) Exception: Materials and tools to be used during the lift, if secured and distributed in accordance with subsection (f)(3) of this section may be in the platform for trial lifts.
(3) Materials and tools shall be:
(A) Secured to prevent displacement.
(B) Evenly distributed within the confines of the platform while it is suspended.
(4) The number of employees occupying the personnel platform shall not exceed the maximum number the platform was designed to hold or the number required to perform the work, whichever is less.
(g) Attachment and rigging.
(1) Hooks and other detachable devices.
(A) Hooks used in the connection between the hoist line and the personnel platform (including hooks on overhaul ball assemblies, lower load blocks, bridle legs, or other attachment assemblies or components) shall be:
1. Of a type that can be closed and locked, eliminating the throat opening.
2. Closed and locked when attached.
(B) Shackles used in place of hooks shall be of the alloy anchor type, with either:
1. A bolt, nut and retaining pin, in place; or
2. Of the screw type, with the screw pin secured from accidental removal.
(C) Where other detachable devices are used, they shall be of the type that can be closed and locked to the same extent as the devices addressed in subsections (g)(1)(A) and (B) of this section. Such devices shall be closed and locked when attached.
(2) Rope bridle. When a rope bridle is used to suspend the personnel platform, each bridle leg shall be connected to a master link or shackle (see subsection (g)(1) of this section) in a manner that ensures that the load is evenly divided among the bridle legs.
(3) Rigging hardware (including wire rope, shackles, rings, master links, and other rigging hardware) and hooks shall be capable of supporting, without failure, at least five times the maximum intended load applied or transmitted to that component. Where rotation resistant rope is used, the slings shall be capable of supporting without failure at least ten times the maximum intended load.
(4) Eyes in wire rope slings shall be fabricated with thimbles.
(5) Bridles and associated rigging for suspending the personnel platform shall be used only for the platform and the necessary employees, their tools and materials necessary to do their work. The bridles and associated rigging shall not have been used for any purpose other than hoisting personnel.
(h) Trial lift and inspection.
(1) A trial lift with the unoccupied personnel platform loaded at least to the anticipated lift weight shall be made from ground level, or any other location where employees will enter the platform, to each location at which the platform is to be hoisted and positioned. Where there is more than one location to be reached from a single set-up position, either individual trial lifts for each location, or a single trial lift, in which the platform is moved sequentially to each location, shall be performed; the method selected shall be the same as the method that will be used to hoist the personnel.
(2) The trial lift shall be performed immediately prior to each shift in which personnel will be hoisted. In addition, the trial lift shall be repeated prior to hoisting employees in each of the following circumstances:
(A) The equipment is moved and set up in a new location or returned to a previously used location.
(B) The lift route is changed, unless the competent person determines that the new route presents no new factors affecting safety.
(3) The competent person shall determine that:
(A) Safety devices and operational aids required by this section are activated and functioning properly. Other safety devices and operational aids shall meet the requirements of Sections 1615.1 and 1615.2.
(B) Nothing interferes with the equipment or the personnel platform in the course of the trial lift.
(C) The lift will not exceed 50 percent of the equipment's rated capacity at any time during the lift.
(D) The load radius to be used during the lift has been accurately determined.
(4) Immediately after the trial lift, the competent person shall:
(A) Conduct a visual inspection of the equipment, base support or ground, and personnel platform, to determine whether the trial lift has exposed any defect or problem or produced any adverse effect.
(B) Confirm that, upon the completion of the trial lift process, the test weight has been removed.
(5) Immediately prior to each lift:
(A) The platform shall be hoisted a few inches with the personnel and materials/tools on board and inspected by a competent person to ensure that it is secure and properly balanced.
(B) The following conditions shall be determined by a competent person to exist before the lift of personnel proceeds:
1. Hoist ropes shall be free of deficiencies in accordance with Section 1613.10(a).
2. Multiple part lines shall not be twisted around each other.
3. The primary attachment shall be centered over the platform.
4. If the load rope is slack, the hoisting system shall be inspected to ensure that all ropes are properly seated on drums and in sheaves.
(6) Any condition found during the trial lift and subsequent inspection(s) that fails to meet a requirement of this standard or otherwise creates a safety hazard shall be corrected before hoisting personnel. (See Section 1616.1 for tag-out and related requirements.)
(i) [Reserved.]
(j) Proof testing.
(1) At each jobsite, prior to hoisting employees on the personnel platform, and after any repair or modification, the platform and rigging shall be proof tested to 125 percent of the platform's rated capacity. The proof test may be done concurrently with the trial lift.
(2) The platform shall be lowered by controlled load lowering, braked, and held in a suspended position for a minimum of five minutes with the test load evenly distributed on the platform.
(3) After proof testing, a competent person shall inspect the platform and rigging to determine if the test has been passed. If any deficiencies are found that pose a safety hazard, the platform and rigging shall not be used to hoist personnel unless the deficiencies are corrected, the test is repeated, and a competent person determines that the test has been passed. (See Section 1616.1 for tag-out and related requirements.)
(4) Personnel hoisting shall not be conducted until the competent person determines that the platform and rigging have successfully passed the proof test.
(k) Work practices.
(1) Hoisting of the personnel platform shall be performed in a slow, controlled, cautious manner, with no sudden movements of the equipment or the platform.
(2) Platform occupants must:
(A) Keep all parts of the body inside the platform during raising, lowering, and horizontal movement. This provision does not apply to an occupant of the platform when necessary to position the platform or while performing the duties of a signal person.
(B) Not stand, sit on, or work from the top or intermediate rail or toeboard, or use any other means/device to raise their working height.
(C) Not pull the platform out of plumb in relation to the hoisting equipment.
(3) Before employees exit or enter a hoisted personnel platform that is not landed, the platform shall be secured to the structure where the work is to be performed, unless the employer can demonstrate that securing to the structure would create a greater hazard.
(4) If the platform is tied to the structure, the operator shall not move the platform until the operator receives confirmation that it is freely suspended. 
(5) Tag lines shall be used when necessary to control the platform.
(6) Platforms without controls. Where the platform is not equipped with controls, the equipment operator shall remain at the equipment controls, on site, and in view of the equipment, at all times while the platform is occupied.
(7) Platforms with controls. Where the platform is equipped with controls, all of the following shall be met at all times while the platform is occupied:
(A) The occupant using the controls in the platform shall be a qualified person with respect to their use, including the safe limitations of the equipment and hazards associated with its operation.
(B) The equipment operator shall be at a set of equipment controls that include boom and swing functions of the equipment, and must be on site and in view of the equipment.
(C) The platform operating manual shall be in the platform or on the equipment.
(8) Environmental conditions.
(A) Wind. When wind speed (sustained or gusts) exceeds 20 mph at the personnel platform, a qualified person shall determine if, in light of the wind conditions, it is not safe to lift personnel. If it is not, the lifting operation shall not begin (or, if already in progress, shall be terminated).
(B) Other weather and environmental conditions. A qualified person shall determine if, in light of indications of dangerous weather conditions, or other impending or existing danger, it is not safe to lift personnel. If it is not, the lifting operation shall not begin (or, if already in progress, shall be terminated).
(9) Employees being hoisted shall remain in direct communication with the signal person (where used), or the operator.
(10) Fall protection.
(A) Except over water, employees occupying the personnel platform shall be provided with and shall use a personal fall arrest system. The system shall be attached to a structural member within the personnel platform. When working over or near water, the requirements of Section 1602 apply.
(B) The fall arrest system, including the attachment point (anchorage) used to comply with subsection (k)(10)(A) of this section, shall meet the requirements in Article 24 of these Orders.
(11) Other load lines.
(A) No lifts shall be made on any other of the equipment's load lines while personnel are being hoisted, except in pile driving operations.
(B) Factory-produced boom-mounted personnel platforms that incorporate a winch as original equipment. Loads are permitted to be hoisted by such a winch while employees occupy the personnel platform only where the load on the winch line does not exceed 500 pounds and does not exceed the rated capacity of the winch and platform.
(12) Traveling -- equipment other than derricks.
(A) Hoisting of employees while the equipment is traveling is prohibited, except for:
1. Equipment that travels on fixed rails; or
2. Where the employer demonstrates that there is no less hazardous way to perform the work.
3. This exception does not apply to rubber-tired equipment.
(B) Where employees are hoisted while the equipment is traveling, all of the following criteria shall be met:
1. Equipment travel shall be restricted to a fixed track or runway.
2. Where a runway is used, it shall be a firm, level surface designed, prepared and designated as a path of travel for the weight and configuration of the equipment being used to lift and travel with the personnel platform. An existing surface may be used as long as it meets these criteria.
3. Equipment travel shall be limited to boom length.
4. The boom shall be parallel to the direction of travel, except where it is safer to do otherwise.
5. A complete trial run shall be performed to test the route of travel before employees are allowed to occupy the platform. This trial run can be performed at the same time as the trial lift required by subsection (h) of this section which tests the lift route.
(13) Traveling -- derricks. Derricks are prohibited from traveling while personnel are hoisted.
(l) [Reserved.]
(m) Pre-lift meeting. A pre-lift meeting shall be:
(1) Held to review the applicable requirements of this section and the procedures that will be followed.
(2) Attended by the equipment operator, signal person (if used for the lift), employees to be hoisted, and the person responsible for the task to be performed.
(3) Held prior to the trial lift at each new work location, and shall be repeated for any employees newly assigned to the operation.
(n) Hoisting personnel near power lines. Hoisting personnel within 20 feet of a power line that is up to 350 kV, and hoisting personnel within 50 feet of a power line that is over 350 kV, is prohibited, except for work covered by the High Voltage Electrical Safety Orders.
(o) Hoisting personnel in drill shafts.
When hoisting employees into and out of drill shafts that are up to and including 8 feet in diameter, all of the following requirements shall be met:
(1) The employee shall be in either a personnel platform or on a boatswain's chair.
(2) If using a personnel platform, subsections (a) through (n) of this section apply.
(3) If using a boatswain's chair:
(A) The following subsections of this section apply: (a), (c), (d)(1), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (f)(1), (f)(2)(A), (f)(3)(A), (g), (h), (k)(1), (k)(6), (k)(8), (k)(9), (k)(11)(A), (m), (n). Where the terms “personnel platform” or “platform” are used in these subsections, substitute them with “boatswain's chair.”
(B) A signal person shall be stationed at the shaft opening.
(C) The employee shall be hoisted in a slow, controlled descent and ascent.
(D) The employee shall use personal fall protection equipment, including a full body harness, attached independent of the crane/derrick.
(E) The fall protection equipment shall meet the applicable requirements in Articles 16 and 24 of these Orders.
(F) The boatswain's chair itself (excluding the personal fall arrest system anchorages), shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load.
(G) No more than one person shall be hoisted at a time.
(p) Hoisting personnel for pile driving operations. When hoisting an employee in pile driving operations, the following requirements shall be met:
(1) The employee shall be in a personnel platform or boatswain's chair.
(2) For lattice boom cranes: Clearly mark the cable (so that it can easily be seen by the operator) at a point that will give the operator sufficient time to stop the hoist to prevent two-blocking, or use a spotter who is in direct communication with the operator to inform the operator when this point is reached. 
For telescopic boom cranes: Clearly mark the cable (so that it can be easily seen by the operator) at a point that will give the operator sufficient time to stop the hoist to prevent two-blocking, and use a spotter who is in direct communication with the operator to inform the operator when this point is reached.
(3) If using a personnel platform, subsections (b) through (n) of this section apply.
(4) If using a boatswain's chair:
(A) The following subsections of this section apply: (a), (c), (d)(1), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (f)(1), (f)(2)(A), (f)(3)(A), (g), (h), (j), (k)(1), (k)(6), (k)(8), (k)(9), (k)(11)(A), (m), and (n). Where the terms “personnel platform” or “platform” are used in these subsections, substitute them with “boatswains chair.”
(B) The employee shall be hoisted in a slow, controlled descent and ascent.
(C) The employee shall use personal fall protection equipment, including a full body harness, independently attached to the lower load block or overhaul ball.
(D) The fall protection equipment shall meet the applicable requirements in Article 24 of these Orders.
(E) The boatswain's chair itself (excluding the personal fall arrest system anchorages), shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load. 
(F) No more than one person shall be hoisted at a time.
(q) [Reserved.]
(r) Hoisting personnel for marine transfer. When hoisting employees solely for transfer to or from a marine worksite, the following requirements shall be met:
(1) The employee shall be in either a personnel platform or a marine-hoisted personnel transfer device.
(2) If using a personnel platform, subsections (a) through (n) of this section apply.
(3) If using a marine-hoisted personnel transfer device:
(A) The following subsections of this section apply: (a), (c)(2), (d)(1), (d)(3), (d)(4), (e)(1) through (5), (e)(12), (f)(1), (g), (h), (j), (k)(1), (k)(8), (k)(9), (k)(10)(B), (k)(11)(A), (k)(12), (m), and (n). Where the terms “personnel platform” or “platform” are used in these subsections, substitute them with “marine-hoisted personnel transfer device.”
(B) The transfer device shall be used only for transferring workers.
(C) The number of workers occupying the transfer device shall not exceed the maximum number it was designed to hold.
(D) Each employee shall wear a U.S. Coast Guard personal flotation device approved for industrial use.
(s) Hoisting personnel for storage-tank (steel or concrete), shaft and chimney operations. When hoisting an employee in storage tank (steel or concrete), shaft and chimney operations, the following requirements shall be met:
(1) The employee shall be in a personnel platform except when the employer can demonstrate that use of a personnel platform is infeasible; in such a case, a boatswain's chair shall be used. 
(2) If using a personnel platform, subsections (a) through (n) of this section apply.
(3) If using a boatswain's chair:
(A) The following subsections of this section apply: (a), (c), (d)(1), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (f)(1), (f)(2)(A), (f)(3)(A), (g), (h), (k)(1), (k)(6), (k)(8), (k)(9), (k)(11)(A), (m), (n). Where the terms “personnel platform” or “platform” are used in these subsections, substitute them with “boatswains chair.”
(B) The employee shall be hoisted in a slow, controlled descent and ascent.
(C) The employee shall use personal fall protection equipment, including a full body harness, attached independent of the crane/derrick. When there is no adequate structure for attachment of personal fall arrest equipment as required in Article 24, the attachment shall be to the lower load block or overhaul ball.
(D) The fall protection equipment shall meet the applicable requirements in Articles 16 and 24 of these Orders.
(E) The boatswain's chair itself (excluding the personal fall arrest system anchorages), shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load.
(F) No more than one person shall be hoisted at a time.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1616.7. Multiple-Crane/Derrick Lifts -- Supplemental Requirements.
Note     •     History

(a) Plan development. Before beginning a crane/derrick operation in which more than one crane/derrick will be supporting the load, the operation shall be planned. The planning shall meet the following requirements:
(1) The plan shall be developed by a qualified person.
(2) The plan shall be designed to ensure that the requirements of this Article 15 are met.
(3) Where the qualified person determines that engineering expertise is needed for the planning, the employer shall ensure that it is provided.
(b) When two or more cranes are used to lift one load, a qualified person, other than the operators, shall direct the operation. This person shall analyze the operation and instruct all personnel involved in the proper positioning, rigging of the load, and the movements to be made. A qualified person shall be in direct audible communication with both crane operators at all times to direct the lifting operation. Where two cranes or more are used to lift one load, the rating chart shall be reduced on each crane by not less than 25 percent, unless equalizer or other acceptable provisions assure safe distribution of both vertical and horizontal load to the cranes involved, in which case a lesser reduction may be applied.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1617. Signals.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1617.1. Signals -- General Requirements.
Note     •     History

(a) A signal person shall be provided in each of the following situations: 
(1) The point of operation, meaning the load travel or the area near or at load placement, is not in full and direct view of the operator.
(2) When the equipment is traveling, the view in the direction of travel is obstructed.
(3) Due to site-specific safety concerns, either the operator or the person handling the load determines that it is necessary.
(b) Only qualified persons shall be permitted to give signals, and the operator shall respond to signals only from a designated signal person.

Exception: The operator shall obey a stop or emergency stop signal from any person. 
(c) Types of signals. Signals to operators shall be by hand, voice, or audible.
(d) Hand Signals. 
(1) A uniform signal system shall be used on all operations and if hand signals are used, they shall be clearly understood by the operator. (NOTE: For recommended hand signals, see General Industry Safety Orders, Section 5001, Plate I.)

Exception: Where an operation or use of an attachment is not covered in the recommended hand signals, Plate I, nonstandard hand signals may be used in accordance with subsection (d)(2).
(2) Non-standard hand signals. When using non-standard hand signals, the signal person, operator, and lift director (where there is one) shall contact each other prior to the operation and agree on the non-standard hand signals that will be used.
(3) There shall be conspicuously posted in the vicinity of the hoisting operations, a legible chart depicting and explaining the system of signals used.
(4) Hand signal charts shall be either posted on the equipment or conspicuously posted in the vicinity of the hoisting operations.
(e) Suitability. The signals used (hand, voice, or audible), and means of transmitting the signals to the operator (such as direct line of sight, video, radio, etc.), shall be appropriate for the site conditions.
(f) During operations requiring signals, the ability to transmit signals between the operator and signal person shall be maintained. If that ability is interrupted at any time, the operator shall safely stop operations requiring signals until it is reestablished and a proper signal is given and understood.
(1) Signal systems other than manual shall be protected against unauthorized use, breakage, weather or obstruction which will interfere with safe operation. In the event of any known malfunction, an alternate signal system shall be used or all motion shall be stopped.
(g) If the operator becomes aware of a safety problem and needs to communicate with the signal person, the operator shall safely stop operations. Operations shall not resume until the operator and signal person agree that the problem has been resolved.
(h) Only one person shall give signals to a crane/derrick at a time, except in circumstances covered by subsection (i).
(i) [Reserved]
(j) All directions given to the operator by the signal person shall be given from the operator's direction perspective.
(k) Communication with multiple cranes/derricks. Where a signal person(s) is in communication with more than one crane/derrick, a system shall be used for identifying the crane/derrick each signal is for, as follows:
(1) for each signal, prior to giving the function/direction, the signal person shall identify the crane/derrick the signal is for, or
(2) shall use an equally effective method of identifying which crane/derrick the signal is for.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of subsections (a)(1) and (b) and repealer of subsection (i) (reserved) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1617.2. Signals -- Radio, Telephone or Other Electronic Transmission of Signals.
Note     •     History

(a) The device(s) used to transmit signals shall be tested on site before beginning operations to ensure that the signal transmission is effective, clear, and reliable.
(b) Signal transmission shall be through a dedicated channel, except:
(1) Multiple cranes/derricks and one or more signal persons may share a dedicated channel for the purpose of coordinating operations.
(2) Where a crane is being operated on or adjacent to railroad tracks, and the actions of the crane operator need to be coordinated with the movement of other equipment or trains on the same or adjacent tracks.
(c) The operator's reception of signals shall be by a hands-free system.
(d) The signal person shall audibly or visually signal the operator if the signal person becomes aware that communication with the operator has been interrupted during hoisting operations and the operator shall safely stop operations in accordance with Section 1617.1(f).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. New subsection (d) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1617.3. Signals -- Voice Signals -- Additional Requirements.
Note     •     History

(a) Prior to beginning operations, the operator, signal person and lift director (if there is one), shall contact each other and agree on the voice signals that will be used. Once the voice signals are agreed upon, these workers need not meet again to discuss voice signals unless another worker is added or substituted, there is confusion about the voice signals, or a voice signal is to be changed.
(b) Each voice signal shall contain the following three elements, given in the following order: (1) function (such as hoist, boom, etc.); (2) direction, approximate distance and/or speed; (3) function, stop command. 
(c) The operator, signal person and lift director (if there is one), shall be able to effectively communicate in the language used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of subsection (b) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1618. Qualification and Training.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1618.1. Operator Qualification and Certification.
Note     •     History

(a) Qualifications and Certification. The employer shall ensure that, prior to operating any equipment covered under CSO Article 15, the person is operating the equipment during a training period in accordance with subsection (d) of this section, or the operator is qualified or certified to operate the equipment in accordance with the following: 
(1) When a non-military government entity issues operator licenses for equipment covered under this Article, and that government licensing program meets the requirements of subsections (c)(2) and (b)(1)(C) and (D) of this section, the equipment operator shall be licensed by that government entity for operation of equipment within that entity's jurisdiction. 
(2) Where subsection (a)(1) of this section is not applicable, the certification or qualification shall comply with subsection (b) of this section.
(3) Whenever operator qualification or certification is required under this section, the employer shall provide the qualification or certification at no cost to operators who are employed by the employer on July 7, 2011.
(b) Option (1): Certification by an accredited crane operator certifying entity. 
(1) Qualifications. The employer shall only permit operators who have a valid certificate of competency (certificate) issued in accordance with this section by an Accredited Certifying Entity for the type of crane to be used to operate a crane covered by this section. Certificates shall be issued to operators who:
(A) Pass a physical examination conducted by a physician which at a minimum shall include the examination criteria specified in the American Society of Mechanical Engineers (ASME) B30.5-2000 standard, Chapter 5-3.1.2(a)(1-5, 7, 8) or the U.S. Department of Transportation (US DOT) physical examination requirements contained in 49 CFR Sections 391.41 through 391.49. 
(B) Pass a substance abuse test. The level of testing shall be consistent with the standard practice for the industry where the crane is in use and this test shall be conducted by a recognized laboratory service; 
(C) Pass a written examination developed, validated, and administered in accordance with the Standards for Educational and Psychological Testing (Copyright 1999) published jointly by the Joint Committee of the American Educational Research Association, the American Psychological Association, and the National Council in Measurement in Education. The exam shall test knowledge and skills identified as necessary for safe crane operations and shall, at a minimum, include the following: 
1. Operational characteristics and controls, including characteristic and performance questions appropriate to the crane type for which qualification is sought; 
2. Emergency control skills, such as a response to fire, power line contact, loss of stability, or control malfunction; 
3. A demonstration of basic arithmetic skills necessary for crane operation and the ability to read and comprehend the crane manufacturer's operation and maintenance instruction materials, including load capacity information (load charts) for the crane for which certification is sought; 
4. Knowledge of chapters 5-0 through 5-3 of The American Society of Mechanical Engineers (ASME) B30.5-2000 and B30.5a-2002 Addenda to the standard for mobile and locomotive cranes or chapters 4-0 through 4-3 of the ASME B30.4-1996 standard for portal, tower, and pedestal cranes or Chapter 3-3 of the ASME B 30.3-1996 standard for Construction Tower Cranes, depending on the type of crane(s) the operator intends to operate. 
5. Procedures for preventing and responding to power line contact.
6. Technical knowledge applicable to:
(i) The suitability of the supporting ground and surface to handle expected loads.
(ii) Site hazards.
(iii) Site access.
(D) Pass a “hands-on” examination to demonstrate proficiency in operating the specific type of crane, which at a minimum shall include the following:
1. Ability to recognize, from visual and auditory observation, the items listed in Section 1613.4 (shift inspection).
2. Operational and maneuvering skills.
3. Application of load chart information.
4. Application of safe shut-down and securing procedures.
(2) Certification. Certificates shall be valid for a maximum of five (5) years. An Accredited Certifying Entity shall issue the certificate of competency to operators who successfully demonstrate the qualifications set forth in subsection (b)(1)(A)-(b)(1)(D) of this section.
(A) An operator will be deemed qualified to operate a particular piece of equipment if the operator is certified under subsection (b) of this section for that type and capacity of equipment or for higher-capacity equipment of that type. If no accredited testing agency offers certification examinations for a particular type and/or capacity of equipment, an operator will be deemed qualified to operate that equipment if the operator has been certified for the type/capacity that is most similar to that equipment and for which a certification examination is available. The operator's certificate shall state the type/capacity of equipment for which the operator is certified.
(B) A certification issued under this option (Option 1) is portable and meets the requirements of subsection (a)(2).
(3) Accredited Certifying Entity. A certifying entity is any organization whose certification program is accredited by either the National Commission for Certifying Agencies (NCCA), or the American National Standards Institute (ANSI). ANSI accreditation shall be in accordance with the requirements of the ANSI, International Organization for Standardization (ISO), International Electrotechnical Commission (IEC) 17024:2003(E), Conformity Assessment-General Requirements for Bodies Operating Certification of Persons, which is hereby incorporated by reference.
(A) The accredited certifying entity shall have its accreditation reviewed by the nationally recognized accrediting agency at least every three years.
(4) Re-certification. Crane operators shall re-certify every five (5) years and shall be required to meet all of the qualifications set forth in subsection (b)(1). Operators with at least one-thousand (1,000) hours of documented experience operating the specific type of crane for which re-certification is sought as covered by this section during the immediately preceding certification period and who meet the physical examination, substance abuse, and written examination requirements set forth in subsections 1618.1(b)(1)(A)-(b)(1)(C) of this section shall not be required to take the “hands-on” examination specified in subsection (b)(1)(D) to re-certify.
(5) The accredited certifying entity shall have procedures for operators to re-apply and be re-tested in the event an operator applicant fails a test or is decertified.
(c) Option (2): Licensing by a government entity.
(1) For purposes of this section, a government licensing department/office that issues operator licenses for operating equipment covered by this standard is considered a government accredited crane operator testing organization if the criteria in subsection (c)(2) of this section are met.
(2) Licensing criteria.
(A) The requirements for obtaining the license include passing a physical examination and a substance abuse test as prescribed in subsections (b)(1)(A) and (B), and an assessment, by written and practical tests, of the operator applicant regarding, at a minimum, the knowledge and skills listed in subsections (b)(1)(C) and (D) of this section.
(B) The testing meets industry recognized criteria for written testing materials, practical examinations, test administration, grading, facilities/equipment and personnel.
(C) The government authority that oversees the licensing department/office, has determined that the requirements in subsections (c)(2)(A) and (B) of this section have been met.
(D) The licensing department/office has testing procedures for re-licensing designed to ensure that the operator continues to meet the requirements in subsection (c)(2)(A).
(3) A license issued by a government accredited crane operator testing organization that meets the requirements of this option:
(A) Meets the operator qualification requirements of this section for operation of equipment only within the jurisdiction of the government entity.
(B) Is valid for the period of time stipulated by the licensing department/office, but no longer than 5 years.
(d) Pre-qualification/certification training period. An employee who is not qualified or certified under this section is permitted to operate equipment only as an operator-in-training and only where the requirements of this subsection are met.
(1) The employer shall provide each operator-in-training with sufficient training prior to operating the equipment to enable the operator-in training to operate the equipment safely under limitations established by this section (including continuous monitoring) and any additional limitations established by the employer.
(2) The tasks performed by the operator-in-training while operating the equipment shall be within the operator-in-training's ability.
(3) Trainees may be authorized to operate equipment provided they are under the direct supervision of an operator possessing a valid certificate of competency for the type of crane operated by the trainee.
The term direct supervision means the supervising operator is in the immediate area of the trainee and within visual sighting distance and able to effectively communicate with the trainee. When performing direct supervision, the supervising operator shall have no other duties other than to observe the operation of the crane by the trainee.
(A) The operator's trainer shall be an employee or agent of the operator-in-training's employer.
(B) For equipment other than tower cranes: The operator's trainer and the operator-in-training shall be in direct line of sight of each other. In addition, they shall communicate verbally or by hand signals. For tower cranes: The operator's trainer and the operator-in-training shall be in direct communication with each other.
(C) The operator-in-training shall not operate the equipment in any of the following circumstances unless the exception stated in subsection (d)(3)(C)5 of this section is applicable:
1. If any part of the equipment, load line or load (including rigging and lifting accessories), if operated up to the equipment's maximum working radius in the work zone [see Section 1612.1(a)(1)], could get within 20 feet of a power line that is up to 350 kV, or within 50 feet of a power line that is over 350 kV.
2. If the equipment is used to hoist personnel.
3. In multiple-equipment lifts.
4. If the equipment is used over a shaft, cofferdam, or in a tank farm.
5. In multiple-lift rigging operations, except where the operator's trainer determines that the operator-in-training skills are sufficient for this high-skill work.
(e) Effective Dates and Phase-in.
(1) Mobile and tower crane operator qualifications and certification shall be in accordance with the provisions of General Industry Safety Orders, Section 5006.1 effective June 1, 2005, until July 7, 2015.
(2) The provisions of this section are applicable July 7, 2011, except for subsections (a)(2) and (d) which are applicable July 7, 2015. 
(3) When subsection (a)(1) is not applicable, the following requirements shall apply until July 7, 2015:
(A) The employer shall ensure that operators of equipment covered by this standard are competent to operate the equipment safely.
(B) Where an employee assigned to operate machinery does not have the required knowledge or ability to operate the equipment safely, the employer shall train that employee prior to operating the equipment. The employer shall ensure that each operator is evaluated to confirm that he/she understands the information provided in the training.

EXCEPTIONS TO SECTION 1618.1:
(1) Operator qualification or certification under this section is not required for operation of derricks, side boom cranes or equipment with a maximum manufacturer-rated hoisting/lifting capacity of 2000 pounds or less.
(2) Operator qualification or certification under this section is not required for operation of articulating/knuckle-boom cranes having a boom length of less than 25 feet or a maximum rated load capacity of less than 15,000 pounds when used to deliver material to a construction site. 
(3) Operators of electric line trucks (digger derrick trucks) as defined in Section 2700 of the Electrical Safety Orders and regulated by Section 2940.7 of the High Voltage Electrical Safety Orders. This exception does not include mobile truck cranes designed and built in accordance with the American Society of Mechanical Engineers (ASME) B30.5 standards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. Amendment of subsections (c)(2)(A) and (c)(2)(D) and new subsection (e)(3) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1618.2. Signal Person Qualifications.
Note     •     History

(a) The employer of the signal person shall ensure that each signal person meets the Qualification Requirements [subsection (c)] prior to giving any signals. This requirement shall be met by using either Option (1) or Option (2) of this section.
(1) Option (1) -- Third party qualified evaluator. The signal person has documentation from a third party qualified evaluator [see Qualified Evaluator (third party), Section 1610.3 for definition] showing that the signal person meets the Qualification Requirements [see subsection (c)].
(2) Option (2) -- Employer's qualified evaluator. The employer's qualified [see Qualified Evaluator (not a third party), Section 1610.3 for definition] evaluator assesses the individual and determines that the individual meets the Qualification Requirements [see subsection (c)] and provides documentation of that determination. An assessment by an employer's qualified evaluator under this option is not portable -- other employers are not permitted to use it to meet the requirements of this section.
(3) The employer shall make the documentation for whichever option is used available at the site while the signal person is employed by the employer. The documentation shall specify each type of signaling (e.g. hand signals, radio signals, etc.) for which the signal person meets the requirements of subsection (c).
(b) If subsequent actions by the signal person indicate that the individual does not meet the Qualification Requirements [see subsection (c)], the employer shall not allow the individual to continue working as a signal person until re-training is provided and a reassessment is made in accordance with subsection (a) of this section that confirms that the individual meets the Qualification Requirements.
(c) Qualification Requirements. Each signal person shall:
(1) Know and understand the type of signals used. If hand signals are used, the signal person shall know and understand the Standard Method for hand signals.
(2) Be competent in the application of the type of signals used.
(3) Have a basic understanding of equipment operation and limitations, including the crane dynamics involved in swinging and stopping loads and boom deflection from hoisting loads.
(4) Know and understand the relevant requirements of Section 1617.1 through Section 1617.3 and Section 1618.2.
(5) Demonstrate that he/she meets the requirements in subsection (c)(1) through (4) of this section through an oral or written test, and through a practical test.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1618.3. Qualifications of Maintenance and Repair Employees.
Note     •     History

(a) Maintenance, inspection and repair personnel are permitted to operate the equipment only where all of the following requirements are met:
(1) The operation is limited to those functions necessary to perform maintenance, inspect the equipment, or verify its performance.
(2) The personnel either:
(A) Operate the equipment under the direct supervision of an operator who meets the requirements of Section 1618.1 (Operator Qualification and Certification); or
(B) Are familiar with the operation, limitations, characteristics and hazards associated with the type of equipment.
(b) Maintenance and repair personnel shall meet the definition of a qualified person with respect to the equipment and maintenance/repair tasks performed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1618.4. Training.
Note     •     History

The employer shall provide training as follows:
(a) Overhead power lines. The employer shall train each employee specified in Section 1612.1(g) in the topics listed in Section 1612.1(g).
(b) Signal persons. The employer shall train each employee who will be assigned to work as a signal person who does not meet the requirements of Section 1618.2(c) in the areas addressed in that section.
(c) Operators.
(1) Operators-in-Training for equipment where certification or qualification is required by this Article.
The employer shall train each operator-in-training in the areas addressed in Section 1618.1(b)(1)(C) and (D). The employer shall provide re-training if the operator-in-training does not pass a qualification or certification test.
(2) Transitional Period. During the four-year phase-in period for operator certification or qualification, as provided in Section 1618.1(e), employers shall train each operator who has not yet been certified or qualified in the areas addressed in Section 1618.1(b)(1)(C) and (D).
(3) Operators excepted from the requirements of Section 1618.1. The employer shall train each operator excepted under Section 1618.1(a) from the requirements of Section 1618.1 on the safe operation of the equipment the operator will be using.
(4) The employer shall train each operator of the equipment covered by this subpart in the following practices: 
(A) On friction equipment, whenever moving a boom off a support, first raise the boom a short distance (sufficient to take the load of the boom) to determine if the boom hoist brake needs to be adjusted. On other types of equipment with a boom, the same practice is applicable, except that typically there is no means of adjusting the brake; if the brake does not hold, a repair is necessary. See Section 1616.1(g) and (j) for additional requirements.
(B) Where available, the manufacturer's emergency procedures for halting unintended equipment movement.
(d) Competent persons and qualified persons. The employer shall train each competent person and each qualified person regarding the requirements of this subpart applicable to their respective roles.
(e) Crush/pinch points. The employer shall train each employee who works with the equipment to keep clear of holes, and crush/pinch points and the hazards addressed in Section 1616.3 (Work area control).
(f) Tag-out. The employer shall train each operator and each additional employee authorized to start/energize equipment or operate equipment controls (such as maintenance and repair employees), in the tag-out and start-up procedures in Sections 1616.1(g) and (h).
(g) Training administration.
(1) The employer shall evaluate each employee required to be trained under this subpart to confirm that the employee understands the information provided in the training.
(2) The employer shall provide refresher training in relevant topics for each employee when, based on the conduct of the employee or an evaluation of the employee's knowledge, there is an indication that retraining is necessary.
(3) Whenever training is required under this Article, the employer shall provide the training at no cost to the employee.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1619. Supplemental Requirements.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section heading filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1619.1. Tower Cranes.
Note     •     History

(a) This section contains supplemental requirements for tower cranes; all sections of this Article 15 apply to tower cranes unless specified otherwise.
(b) Erecting, climbing and dismantling.
The erection, climbing (up and down) and dismantling of a fixed tower crane shall comply with the requirements of Title 8, Section 341.1(b)(2) and General Industry Safety Orders, Section 4966. In addition the following supplemental requirements are applicable for all tower cranes.
(1) Section 1611.1 (Assembly/Disassembly -- selection of manufacturer or employer procedures), Section 1611.2 (Assembly/Disassembly -- general requirements (applies to all assembly and disassembly operations)), Section 1611.3 (Disassembly -- additional requirements for dismantling of booms and jibs (applies to both the use of manufacturer procedures and employer procedures)), and Section 1611.4 (Assembly/Disassembly -- Employer Procedures -- general requirements), apply to tower cranes (except as otherwise specified), except that the term “assembly/disassembly” is replaced by “erecting, climbing and dismantling,” and the term “disassembly” is replaced by “dismantling.”
(2) Dangerous areas (self-erecting tower cranes). In addition to the requirements in Section 1611.2(e), for self-erecting tower cranes, the following applies: Employees shall not be in or under the tower, jib, or rotating portion of the crane during erecting, climbing and dismantling operations until the crane is secured in a locked position and the competent person in charge indicates it is safe to enter this area, unless the manufacturer's instructions direct otherwise and only the necessary personnel are permitted in this area.
(3) Foundations and structural supports. Tower crane foundations and structural supports (including both the portions of the structure used for support and the means of attachment) shall be designed by the manufacturer or a certified agent.
(A) The controlling entity shall ensure the tower crane foundations and structural supports are installed in accordance with the manufacturer's or certified agent's instructions.
(B) The controlling entity shall provide a written statement of compliance with subsection (A), above, to the erecting entity prior to erection or jump of the tower crane. 
(C) The top of the support/foundation shall be accessible and free of debris, materials and standing water. No materials shall be stored on the support unless approved by a qualified person. The foundation and fasteners shall remain accessible and visible for inspection at all times.
(4) Addressing specific hazards. The requirements in Section 1611.2(h)(1) through (9) apply. In addition, the A/D director shall address the following:
(A) Foundations and structural supports. The A/D director shall determine that tower crane foundations and structural supports are installed in accordance with their design.
(B) Loss of backward stability. Backward stability before swinging self-erecting cranes or cranes on traveling or static undercarriages.
(C) Wind speed. Wind must not exceed the speed recommended by the manufacturer or, where manufacturer does not specify this information, the speed determined by a qualified person.
(5) Plumb tolerance. Towers shall be erected plumb to the manufacturer's tolerance and verified by a qualified person. Where the manufacturer does not specify plumb tolerance, the crane tower shall be plumb to a tolerance of at least 1:500 (approximately 1 inch in 40 feet).
(6) Multiple tower crane jobsites. On jobsites where more than one fixed jib (hammerhead) tower crane is installed, the cranes shall be located such that no crane can come in contact with the structure of another crane. Cranes are permitted to pass over one another.
(7) Climbing procedures. Prior to, and during, all climbing procedures (including inside climbing and top climbing), the employer shall:
(A) Comply with all manufacturer prohibitions.
(B) Have a certified agent verify that the host structure is strong enough to sustain the forces imposed through the braces, brace anchorages and supporting floors.
(8) Counterweight/ballast.
(A) Equipment shall not be erected, dismantled or operated without the amount and position of counterweight and/or ballast in place as specified by the manufacturer or a certified agent familiar with the equipment.
(B) The maximum counterweight and/or ballast specified by the manufacturer or certified agent familiar with the equipment shall not be exceeded.
(c) Signs. The size and location of signs installed on tower cranes shall be in accordance with manufacturer specifications. Where these are unavailable, a certified agent familiar with the type of equipment involved shall approve in writing the size and location of any signs.
(d) Safety devices.
(1) Section 1615.1 does not apply to tower cranes.
(2) The following safety devices are required on all tower cranes unless otherwise specified:
(A) Boom stops on luffing boom type tower cranes.
(B) Jib stops on luffing boom type tower cranes if equipped with a jib attachment.
(C) Travel rail end stops at both ends of travel rail. 
(D) Travel rail clamps on all travel bogies.
(E) Integrally mounted check valves on all load supporting hydraulic cylinders.
(F) Hydraulic system pressure limiting device.
(G) The following brakes, which shall automatically set in the event of pressure loss or power failure, are required:
1. A hoist brake on all hoists.
2. Swing brake.
3. Trolley brake.
4. Rail travel brake.
(H) Deadman control or forced neutral return control (hand) levers.
(I) Emergency stop switch at the operator's station.
(J) Trolley end stops shall be provided at both ends of travel of the trolley.
(3) Proper operation required.
Operations shall not begin unless the devices listed in this section are in proper working order. If a device stops working properly during operations, the operator shall safely stop operations. The equipment shall be taken out of service, and operations shall not resume until the device is again working properly. See Section 1616.1(g). Alternative measures are not permitted to be used.
(e) Operational aids.
(1) Section 1615.2 does not apply to tower cranes.
(2) The devices listed in this section (“operational aids”) are required on all tower cranes covered by this Article, unless otherwise specified.
(3) Operations shall not begin unless the operational aids are in proper working order, except where the employer meets the specified temporary alternative measures. More protective alternative measures specified by the tower crane manufacturer, if any, shall be followed. See Section 1616.1(j) for additional requirements.
(4) If an operational aid stops working properly during operations, the operator shall safely stop operations until the temporary alternative measures are implemented or the device is again working properly. 
(5) Category I operational aids. Operational aids listed in this subsection shall be operational prior to and during operation at all times. 
(A) Trolley travel limiting device. The travel of the trolley shall be restricted at both ends of the jib by a trolley travel limiting device to prevent the trolley from running into the trolley end stops.
(B) Boom hoist limiting device. The range of the boom shall be limited at the minimum and maximum radius.
(C) Anti two-blocking device. The tower crane shall be equipped with a device which automatically prevents damage from contact between the load block, overhaul ball, or similar component, and the boom tip (or fixed upper block or similar component). The device(s) shall prevent such damage at all points where two-blocking could occur. 
(D) Hoist drum lower limiting device. Tower cranes manufactured after July 7, 2012 shall be equipped with a device that prevents the last 2 wraps of hoist cable from being spooled off the drum. 
(E) Load moment limiting device. The tower crane shall have a device that prevents moment overloading. 
(F) Hoist line pull limiting device. The capacity of the hoist shall be limited to prevent overloading, including each individual gear ratio if equipped with a multiple speed hoist transmission. 
(G) Rail travel limiting device. The travel distance in each direction shall be limited to prevent the travel bogies from running into the end stops or buffers.
(H) Boom hoist drum positive locking device and control. The boom hoist drum shall be equipped with a control that will enable the operator to positively lock the boom hoist drum from the cab. Temporary alternative measure: The device shall be manually set when required if an electric, hydraulic or automatic control is not functioning.
(I) Boom angle or hook radius indicator.
1. Luffing boom tower cranes shall have a boom angle indicator readable from the operator's station.
2. Hammerhead tower cranes manufactured after July 7, 2012 shall have a hook radius indicator readable from the operator's station.
(J) Trolley travel deceleration device. The trolley speed shall be automatically reduced prior to the trolley reaching the end limit in both directions. 
(K) Boom hoist deceleration device. The boom speed shall be automatically reduced prior to the boom reaching the minimum or maximum radius limit. 
(L) Load hoist deceleration device. The load speed shall be automatically reduced prior to the hoist reaching the upper limit. 
(M) Wind speed indicator. A device shall be provided to display the wind speed and shall be mounted above the upper rotating structure on tower cranes. On self erecting cranes, it shall be mounted at or above the jib level.
Temporary alternative measures: 
Use of wind speed information from a properly functioning indicating device on another tower crane on the same site, or a qualified person estimates the wind speed.
(N) Load indicating device. Cranes manufactured after July 7, 2012 shall have a device that displays the magnitude of the load on the hook. Displays that are part of load moment limiting devices that display the load on the hook meet this requirement.
(f) Inspections.
(1) Sections 1613.1-1613.9 (Inspections) apply to tower cranes, except that the term “assembly” is replaced by “erection.” Section 1613.10 (Wire rope -- Inspection) applies to tower cranes.
(2) Pre-erection inspection. Before each crane component is erected, it shall be inspected by a qualified person for damage or excessive wear.
(A) The qualified person shall pay particular attention to components that will be difficult to inspect thoroughly during shift inspections.
(B) If the qualified person determines that a component is damaged or worn to the extent that it would create a safety hazard if used on the crane, that component shall not be erected on the crane unless it is repaired and, upon reinspection by the qualified person, found to no longer create a safety hazard.
(C) If the qualified person determines that, though not presently a safety hazard, the component needs to be monitored, the employer shall ensure that the component is checked in the monthly inspections. Any such determination shall be documented, and the documentation shall be available to any individual who conducts a monthly inspection. 
(3) Post-erection inspection. In addition to the requirements in Section 1613.3, the following requirements shall be met:
(A) A load test using certified weights, or scaled weights using a certified scale with a current certificate of calibration, shall be conducted after each erection.
(B) The load test shall be conducted in accordance with General Industry Safety Orders, Section 5022 and the manufacturer's instructions when available. Where the manufacturer's instructions are unavailable, other methods of proof load testing may be substituted for the above where acceptable to the Division.
(4) Monthly. The following additional items shall be included:
(A) Tower (mast) bolts and other structural bolts (for loose or dislodged condition) from the base of the tower crane up or, if the crane is tied to or braced by the structure, those above the upper-most brace support.
(B) The upper-most tie-in, braces, floor supports and floor wedges where the tower crane is supported by the structure, for loose or dislodged components.
(5) Annual. In addition to the items that shall be inspected under Section 1613.6, all turntable and tower bolts shall be inspected for proper condition and torque.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
2. New subsections (b)(3)(A)-(C) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§1619.2. Derricks.
History

(a) This section contains supplemental requirements for derricks, whether temporarily or permanently mounted; all sections of this Article 15 apply to derricks unless specified otherwise.
(b) Operation -- Procedures.
(1) Section 1616.1 (Operation) applies except for Section 1616.1(c) (Accessibility of procedures).
(2) Load chart contents. Load charts shall contain at least the following information:
(A) Rated capacity at corresponding ranges of boom angle or operating radii.
(B) Specific lengths of components to which the rated capacities apply.
(C) Required parts for hoist reeving.
(D) Size and construction of rope shall be included on the load chart or in the operating manual.
(3) Load chart location.
(A) Permanent installations. For permanently installed derricks with fixed lengths of boom, guy, and mast, a load chart shall be posted where it is visible to personnel responsible for the operation of the equipment.
(B) Non-permanent installations. For derricks that are not permanently installed, the load chart shall be readily available at the job site to personnel responsible for the operation of the equipment.
(c) Construction.
(1) General requirements.
(A) Derricks shall be constructed to meet all stresses imposed on members and components when installed and operated in accordance with the manufacturer's/builder's procedures and within its rated capacity.
(B) Welding of load sustaining members shall conform to recommended practices in ANSI/AWS D14.3-94 (incorporated by reference) or AWS D1.1/D1.1M:2002 (incorporated by reference).
(2) Guy derricks.
(A) The minimum number of guys shall be 6, with equal spacing, except where a qualified person or derrick manufacturer approves variations from these requirements and revises the rated capacity to compensate for such variations.
(B) Guy derricks shall not be used unless the employer has the following guy information from the manufacturer or a qualified person, when not available from the manufacturer:
1. The number of guys.
2. The spacing around the mast.
3. The size, grade, and construction of rope to be used for each guy.
(C) For guy derricks manufactured after December 18, 1970, in addition to the information required in subsection (c)(2)(B) of this section, the employer shall have the following guy information from the manufacturer or a qualified person, when not available from the manufacturer:
1. The amount of initial sag or tension.
2. The amount of tension in guy line rope at anchor.
(D) The mast base shall permit the mast to rotate freely with allowance for slight tilting of the mast caused by guy slack.
(E) The mast cap shall:
1. Permit the mast to rotate freely.
2. Withstand tilting and cramping caused by the guy loads.
3. Be secured to the mast to prevent disengagement during erection.
4. Be provided with means for attaching guy ropes.
(3) Stiffleg derricks.
(A) The mast shall be supported in the vertical position by at least two stifflegs; one end of each shall be connected to the top of the mast and the other end securely anchored.
(B) The stifflegs shall be capable of withstanding the loads imposed at any point of operation within the load chart range.
(C) The mast base shall:
1. Permit the mast to rotate freely (when necessary).
2. Permit deflection of the mast without binding.
(D) The mast shall be prevented from lifting out of its socket when the mast is in tension.
(E) The stiffleg connecting member at the top of the mast shall:
1. Permit the mast to rotate freely (when necessary).
2. Withstand the loads imposed by the action of the stifflegs.
3. Be secured so as to oppose separating forces.
(4) Gin pole derricks.
(A) Guy lines shall be sized and spaced so as to make the gin pole stable in both boomed and vertical positions.

Exception: Where the size and/or spacing of guy lines do not result in the gin pole being stable in both boomed and vertical positions, the employer shall ensure that the derrick is not used in an unstable position.
(B) The base of the gin pole shall permit movement of the pole (when necessary).
(C) The gin pole shall be anchored at the base against horizontal forces (when such forces are present).
(5) Chicago boom derricks. The fittings for stepping the boom and for attaching the topping lift shall be arranged to:
(A) Permit the derrick to swing at all permitted operating radii and mounting heights between fittings.
(B) Accommodate attachment to the upright member of the host structure.
(C) Withstand the forces applied when configured and operated in accordance with the manufacturer's/builder's procedures and within its rated capacity.
(D) Prevent the boom or topping lift from lifting out under tensile forces.
(d) Anchoring and guying.
(1) Load anchoring data developed by the manufacturer or a qualified person shall be used.
(2) Guy derricks.
(A) The mast base shall be anchored.
(B) The guys shall be secured to the ground or other firm anchorage.
(C) The anchorage and guying shall be designed to withstand maximum horizontal and vertical forces encountered when operating within rated capacity with the particular guy slope and spacing specified for the application.
(3) Stiffleg derricks.
(A) The mast base and stifflegs shall be anchored.
(B) The mast base and stifflegs shall be designed to withstand maximum horizontal and vertical forces encountered when operating within rated capacity with the particular stiffleg spacing and slope specified for the application.
(e) Swingers and hoists.
(1) The boom, swinger mechanisms and hoists shall be suitable for the derrick work intended and shall be anchored to prevent displacement from the imposed loads.
(2) Hoists.
(A) Base mounted drum hoists shall meet the requirements in the following sections of ASME B30.7-2001 (incorporated by reference):
1. Sections 7-1.1 (“Load ratings and markings”).
2. Section 7-1.2 (“Construction”), except: 7-1.2.13 (“Operator's cab”); 7-1.2.15 (“Fire extinguishers”).
3. Section 7-1.3 (“Installation”).
4. Applicable terms in section 7-0.2 (“Definitions”).
(B) Load tests for new hoists. The employer shall ensure that new hoists are load tested to a minimum of 110% of rated capacity, but not more than 125% of rated capacity, unless otherwise recommended by the manufacturer. This requirement is met where the manufacturer has conducted this testing.
(C) Repaired or modified hoists. Hoists that have had repairs, modifications or additions affecting their capacity or safe operation shall be evaluated by a qualified person to determine if a load test is necessary. If it is, load testing shall be conducted in accordance with subsections (e)(2)(B) and (D) of this section.
(D) Load test procedure. Load tests required by subsections (e)(2)(B) or (e)(2)(C) of this section shall be conducted as follows:
1. The test load shall be hoisted a vertical distance to assure that the load is supported by the hoist and held by the hoist brake(s).
2. The test load shall be lowered, stopped and held with the brake(s).
3. The hoist shall not be used unless a competent person determines that the test has been passed.
(f) Operational aids.
(1) Section 1615.2 (Operational aids) applies, except for Section 1615.2(d)(1) (Boom hoist limiting device), Section 1615.2(e)(1) (Boom angle or radius indicator), and Section 1615.2(e)(4) (Load weighing and similar devices).
(2) Boom angle aid. A boom angle indicator is not required but if the derrick is not equipped with a functioning one, the employer shall ensure that either:
(A) The boom hoist cable shall be marked with caution and stop marks. The stop marks shall correspond to maximum and minimum allowable boom angles. The caution and stop marks shall be in view of the operator, or a spotter who is in direct communication with the operator; or
(B) An electronic or other device that signals the operator in time to prevent the boom from moving past its maximum and minimum angles, or automatically prevents such movement, is used.
(3) Load weight/capacity devices.
(A) Derricks manufactured more than one year after July 7, 2011 with a maximum rated capacity over 6,000 pounds shall have at least one of the following: load weighing device, load moment indicator, rated capacity indicator, or rated capacity limiter. 
Temporary alternative measures: 
The weight of the load shall be determined from a source recognized by the industry (such as the load's manufacturer), or by a calculation method recognized by the industry (such as calculating a steel beam from measured dimensions and a known per foot weight), or by other equally reliable means. This information shall be provided to the operator prior to the lift. See Section 1616.1(j) for additional requirements.
(B) A load weight/capacity device that is not working properly shall be repaired no later than 30 days after the deficiency occurs. 

Exception: If the employer documents that it has ordered the necessary parts within 7 days of the occurrence of the deficiency, and the part is not received in time to complete the repair in 30 days, the repair shall be completed within 7 days of receipt of the parts.
(g) Post-assembly approval and testing -- new or reinstalled derricks.
(1) Anchorages.
(A) Anchorages, including the structure to which the derrick is attached (if applicable), shall be approved by a certificating agency.
(B) If using a rock or hairpin anchorage, the certificating agency shall determine if any special testing of the anchorage is needed. If so, it shall be tested accordingly.
(2) Functional test. Prior to initial use, new or reinstalled derricks shall be tested by a certificating agency with no hook load to verify proper operation. This test shall include:
(A) Lifting and lowering the hook(s) through the full range of hook travel.
(B) Raising and lowering the boom through the full range of boom travel.
(C) Swinging in each direction through the full range of swing.
(D) Actuating the anti two-block and boom hoist limit devices (if provided).
(E) Actuating locking, limiting and indicating devices (if provided).
(3) Load test. Prior to initial use, new or reinstalled derricks shall be load tested by a certificating agency. The testing shall be done in accordance with the provisions of General Industry Safety Orders, Section 5023.
(A) The test shall consist of:
1. Hoisting the test load a few inches and holding to verify that the load is supported by the derrick and held by the hoist brake(s).
2. Swinging the derrick, if applicable, the full range of its swing, at the maximum allowable working radius for the test load.
3. Booming the derrick up and down within the allowable working radius for the test load.
4. Lowering, stopping and holding the load with the brake(s).
(C) The derrick shall not be used unless the certificating agency determines that the test has been passed.
(4) Documentation. Tests conducted under this subsection shall be documented. The document shall contain the date, test results and the name of the tester. The document shall be retained until the derrick is re-tested or dismantled, whichever occurs first. All such documents shall be available, during the applicable document retention period, to all persons who conduct inspections in accordance with Sections 1613.1-1613.9.
(h) Load testing repaired or modified derricks. Derricks that have had repairs, modifications or additions affecting the derrick's capacity or safe operation shall be evaluated by a certificating agency to determine if a load test is necessary. If it is, load testing shall be conducted and documented in accordance with subsection (g) of this section.
(i) [Reserved.]
(j) Power failure procedures. If power fails during operations, the derrick operator shall safely stop operations. This shall include:
(1) Setting all brakes or locking devices.
(2) Moving all clutch and other power controls to the off position.
(3) If practical, the suspended load shall be landed under brake control.
(k) Use of winch heads.
(1) Ropes shall not be handled on a winch head without the knowledge of the operator.
(2) While a winch head is being used, the operator shall be within reach of the power unit control lever.
(l) [Reserved.]
(m) Securing the boom.
(1) When the boom is being held in a fixed position, dogs, pawls, or other positive holding mechanisms on the boom hoist shall be engaged.
(2) When taken out of service for 30 days or more, the boom shall be secured by one of the following methods:
(A) Laid down.
(B) Secured to a stationary member, as nearly under the head as possible, by attachment of a sling to the load block.
(C) For guy derricks, lifted to a vertical position and secured to the mast.
(D) For stiffleg derricks, secured against the stiffleg.
(n) The process of jumping the derrick shall be supervised by the A/D director.
(o) Derrick operations shall be supervised by a competent person.
(p) Inspections. In addition to the requirements in Sections 1613.1-1613.9, the following additional items shall be included in the inspections:
(1) Daily: Guys for proper tension.
(2) Annual.
(A) Gudgeon pin for cracks, wear, and distortion.
(B) Foundation supports for continued ability to sustain the imposed loads.
(q) Qualification and Training. The employer shall train each operator of a derrick on the safe operation of equipment the individual will operate. Section 1618.1 (Operator qualification and certification) does not apply.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1619.3. Floating Cranes/Derricks and Land Cranes/Derricks on Barges.
Note     •     History

(a) This section contains supplemental requirements for floating cranes/derricks and land cranes/derricks on barges, pontoons, vessels or other means of flotation (i.e., vessel/flotation device). The sections of this Article 15 apply to floating cranes/derricks and land cranes/derricks on barges, pontoons, vessels or other means of flotation, unless specified otherwise. The requirements of this section do not apply when using jacked barges when the jacks are deployed to the river, lake, or sea bed and the barge is fully supported by the jacks.
(b) General requirements. The requirements in subsections (c) through (k) of this section apply to both floating cranes/derricks and land cranes/derricks on barges, pontoons, vessels or other means of flotation.
(c) Work area control.
(1) The requirements of Section 1616.3 (Work area control) apply, except for Section 1616.3(a)(2)(B).
(2) The employer shall either:
(A) Erect and maintain control lines, warning lines, railings or similar barriers to mark the boundaries of the hazard areas; or
(B) Clearly mark the hazard areas by a combination of warning signs (such as, “Danger -- Swing/Crush Zone”) and high visibility markings on the equipment that identify the hazard areas. In addition, the employer shall train each employee to understand what these markings signify.
(d) Keeping clear of the load. Section 1616.4 does not apply.
(e) Additional safety devices. In addition to the safety devices listed in Section 1615.1, the following safety devices are required:
(1) Barge, pontoon, vessel or other means of flotation list and trim device. The safety device shall be located in the cab or, when there is no cab, at the operator's station.
(2) Positive equipment house lock.
(3) Wind speed and direction indicator. A competent person shall determine if wind is a factor that needs to be considered; if wind needs to be considered, a wind speed and direction indicator shall be used.
(f) Operational aids.
(1) An anti two-block device is required only when hoisting personnel or hoisting over an occupied cofferdam or shaft.
(2) Section 1615.2(e)(4) (Load weighing and similar devices) does not apply to dragline, clamshell (grapple), magnet, drop ball, container handling, concrete bucket, and pile driving work performed under this section.
(g) Accessibility of procedures applicable to equipment operation. If the crane/derrick has a cab, the requirements of Section 1616.1(c) apply. If the crane/derrick does not have a cab, the employer shall ensure that:
(1) Rated capacities (load charts) are posted at the operator's station. If the operator's station is moveable (such as with pendant-controlled equipment), the load charts are posted on the equipment.
(2) Procedures applicable to the operation of the equipment (other than load charts), recommended operating speeds, special hazard warnings, instructions and operators manual, shall be readily available on board the vessel/flotation device.
(h) Inspections. In addition to meeting the requirements of Sections 1613.1-1613.9 for inspecting the crane/derrick, the employer shall inspect the barge, pontoons, vessel or other means of flotation used to support a floating crane/derrick or land crane/derrick, and ensure that:
(1) Shift. For each shift inspection, the means used to secure/attach the equipment to the vessel/flotation device is in proper condition, including wear, corrosion, loose or missing fasteners, defective welds, and (when applicable) insufficient tension.
(2) Monthly. For each monthly inspection:
(A) The means used to secure/attach the equipment to the vessel/flotation device is in proper condition, including inspection for wear, corrosion, and, when applicable, insufficient tension.
(B) The vessel/flotation device is not taking on water.
(C) The deck load is properly secured.
(D) The vessel/flotation device is watertight based on the condition of the chain lockers, storage, fuel compartments, and hatches.
(E) The firefighting and lifesaving equipment is in place and functional.
(3) The shift and monthly inspections are conducted by a qualified person, and:
(A) If any deficiency is identified, an immediate determination is made by a qualified person whether the deficiency constitutes a hazard.
(B) If the deficiency is determined to constitute a hazard, the vessel/flotation device is removed from service until the deficiency has been corrected.
(4) Annual: external vessel/flotation device inspection. For each annual inspection:
(A) The external portion of the barge, pontoons, vessel or other means of flotation used is inspected annually by a qualified person who has expertise with respect to vessels/flotation devices and that the inspection includes the following items:
1. The items identified in subsections (h)(1) (Shift) and (h)(2) (Monthly) of this section.
2. Cleats, bitts, chocks, fenders, capstans, ladders, and stanchions, for significant corrosion, wear, deterioration, or deformation that could impair the function of these items.
3. External evidence of leaks and structural damage; evidence of leaks and damage below the waterline may be determined through internal inspection of the vessel/flotation device.
4. Four-corner draft readings.
5. Firefighting equipment for serviceability.
(B) Rescue skiffs, lifelines, work vests, life preservers and ring buoys are inspected for proper condition.
(C) If any deficiency is identified, an immediate determination is made by the qualified person whether the deficiency constitutes a hazard or, though not yet a hazard, needs to be monitored in the monthly inspections.
1. If the qualified person determines that the deficiency constitutes a hazard, the vessel/flotation device is removed from service until it has been corrected. See requirements in Section 1616.1(g).
2. If the qualified person determines that, though not presently a hazard, the deficiency needs to be monitored, the deficiency is checked in the monthly inspections.
(5) Four-year: internal vessel/flotation device inspection. For each four-year inspection:
(A) A marine engineer, marine architect, licensed surveyor, or other qualified person who has expertise with respect to vessels/flotation devices surveys the internal portion of the barge, pontoons, vessel, or other means of flotation.
(B) If the surveyor identifies a deficiency, an immediate determination is made by the surveyor as to whether the deficiency constitutes a hazard or, though not yet a hazard, needs to be monitored in the monthly or annual inspections, as appropriate.
1. If the surveyor determines that the deficiency constitutes a hazard, the vessel/flotation device is removed from service until it has been corrected.
2. If the surveyor determines that, though not presently a hazard, the deficiency needs to be monitored, the deficiency is checked in the monthly or annual inspections, as appropriate.
(6) Documentation. The monthly and annual inspections required in subsections (h)(2) and (h)(4) of this section are documented in accordance with Sections 1613.5(a)(3) and 1613.6(g), respectively, and that the four-year inspection required in subsection (h)(5) of this section is documented in accordance with Section 1613.6(g), except that the documentation for that inspection shall be retained for a minimum of 4 years. All such documents shall be made available, during the applicable document retention period, to all persons who conduct inspections in accordance with Sections 1613.1-1613.9.
(i) [Reserved.]
(j) [Reserved.]
(k) Manufacturer's specifications and limitations.
(1) The employer shall ensure that the barge, pontoons, vessel, or other means of flotation shall be capable of withstanding imposed environmental, operational and in-transit loads when used in accordance with the manufacturer's specifications and limitations.
(2) The employer shall ensure that the manufacturer's specifications and limitations with respect to environmental, operational, and in-transit loads for a barge, pontoon, vessel, or other means of flotation are not exceeded or violated.
(3) When the manufacturer's specifications and limitations are unavailable, the employer shall ensure that the specifications and limitations established by a qualified person with respect to environmental, operational and in-transit loads for the barge, pontoons, vessel, or other means of flotation are not exceeded or violated.
(m) Floating cranes/derricks. For equipment designed by the manufacturer (or employer) for marine use by permanent attachment to barges, pontoons, vessels or other means of flotation:
(1) Load charts.
(A) The employer shall not exceed the manufacturer load charts applicable to operations on water. When using these charts, the employer shall comply with all parameters and limitations (such as dynamic and environmental parameters) applicable to the use of the charts.
(B) The employer shall ensure that load charts take into consideration a minimum wind speed of 40 miles per hour.
(2) The employer shall ensure that the requirements for maximum allowable list and maximum allowable trim as specified in Table M1 of this section are met.

TABLE M1

	Maximum 	Maximum
	Allowable List 	Allowable Trim
Rated Capacity	(degrees)	(degrees)
			
Equipment designed for marine 
use by permanent attachment 
(other than derricks): 
			
25 tons or less	5	5
			
Over 25 tons	7	7
			
Derricks designed for marine use 
by permanent attachment: 
			
Any rated capacity	10	10
			
(3) The employer shall ensure that the equipment is stable under the conditions specified in Tables M2 and M3 of this section. (NOTE: Freeboard is the vertical distance between the water line and the main deck of the vessel.)

TABLE M2

		Minimum
Operated at	Wind speed (mph)	freeboard (ft)
			
Rated capacity	60	2
			
Rated capacity plus 25%	60	1
			
High boom, no load	60	2

TABLE M3

	Operated at	Wind speed (mph)
			
	For backward stability of the boom:	90
	High boom, no load, full back list 
	(least stable condition)
			
(4) If the equipment is employer-made, it shall not be used unless the employer has documents demonstrating that the load charts and applicable parameters for use meet the requirements of subsections (m)(1) through (3) of this section. Such documents shall be signed by a registered professional engineer who is a qualified person with respect to the design of this type of equipment (including the means of flotation).
(5) The employer shall ensure that the barge, pontoons, vessel or other means of flotation used:
(A) Are structurally sufficient to withstand the static and dynamic loads of the crane/derrick when operating at the crane/derrick's maximum rated capacity with all planned and actual deck loads and ballasted compartments.
(B) Have a subdivided hull with one or more longitudinal watertight bulkheads for reducing the free-surface effect.
(C) Have access to void compartments to allow for inspection and pumping.
(n) Land cranes/derricks. For land cranes/derricks used on barges, pontoons, vessels or other means of flotation, the employer shall ensure that:
(1) The rated capacity of the equipment (including but not limited to modification of load charts) applicable for use on land is reduced to:
(A) Account for increased loading from list, trim, wave action, and wind.
(B) Be applicable to a specified location(s) on the specific barge, pontoons, vessel or other means of flotation that will be used, under the environmental conditions expected and encountered.
(C) The conditions required in subsections (n)(3) and (n)(4) of this section are met.
(2) The rated capacity modification required in subsection (n)(1) of this section is performed by the equipment manufacturer, or a qualified person who has expertise with respect to both land crane/derrick capacity and the stability of vessels/flotation devices.
(3) For list and trim.
(A) The maximum allowable list and the maximum allowable trim for the barge, pontoon, vessel or other means of flotation shall not exceed the amount necessary to ensure that the conditions in subsection (n)(4) of this section are met. In addition, the maximum allowable list and the maximum allowable trim does not exceed the least of the following: 5 degrees, the amount specified by the crane/derrick manufacturer, or, when, an amount is not so specified, the amount specified by the qualified person.
(B) The maximum allowable list and the maximum allowable trim for the land crane/derrick does not exceed the amount specified by the crane/derrick manufacturer, or, when, an amount is not so specified, the amount specified by the qualified person.
(4) For the following conditions:
(A) All deck surfaces of the barge, pontoons, vessel or other means of flotation used are above water.
(B) The entire bottom area of the barge, pontoons, vessel or other means of flotation used is submerged.
(5) Physical attachment, corralling, rails system and centerline cable system meet the requirements in Option (1), Option (2), Option (3), or Option (4) of this section, and that whichever option is used also meets the requirements of subsection (n)(5)(E) of this section.
(A) Option (1) -- Physical attachment.
The crane/derrick is physically attached to the barge, pontoons, vessel or other means of flotation. Methods of physical attachment include crossed-cable systems attached to the crane/derrick and vessel/flotation device, bolting or welding the crane/derrick to the vessel/flotation device, strapping the crane/derrick to the vessel/flotation device with chains, or other methods of physical attachment.
(B) Option (2) -- Corralling. The crane/derrick is prevented from shifting by installing barricade restraints (i.e., a corralling system). Employers shall ensure that corralling systems do not allow the equipment to shift by any amount of shifting in any direction.
(C) Option (3) -- Rails. The crane/derrick shall be prevented from shifting by being mounted on a rail system. Employers shall ensure that rail clamps and rail stops are used unless the system is designed to prevent movement during operation by other means.
(D) Option (4) -- Centerline cable system. The crane/derrick is prevented from shifting by being mounted to a wire rope system. The employer shall ensure that the wire rope system meets the following requirements:
1. The wire rope and attachments are of sufficient size and strength to support the side load of crane/derrick.
2. The wire rope is attached physically to the vessel/flotation device.
3. The wire rope is attached to the crane/derrick by appropriate attachment methods (such as shackles or sheaves) on the undercarriage, and that the method used will allow the crew to secure the crane/derrick from movement during operation and to move the crane/derrick longitudinally along the vessel/flotation device for repositioning.
4. Means are installed to prevent the crane/derrick from passing the forward or aft end of the wire rope attachments.
5. The crane/derrick is secured from movement during operation.
(E) The systems/means used to comply with Option (1), Option (2), Option (3), or Option (4) of this section are designed by a marine engineer, registered professional engineer familiar with floating crane/derrick design, or qualified person familiar with floating crane/derrick design.
(6) Exception. For mobile auxiliary cranes used on the deck of a floating crane/derrick, the requirement specified by subsection (n)(5) of this section to use Option (1), Option (2), Option (3), or Option (4) does not apply when the employer demonstrates implementation of a plan and procedures that meet the following requirements:
(A) A marine engineer or registered professional engineer familiar with floating crane/derrick design develops and signs a written plan for the use of the mobile auxiliary crane.
(B) The plan is designed so that the applicable requirements of this section are met despite the position, travel, operation, and lack of physical attachment (or corralling, use of rails or cable system) of the mobile auxiliary crane.
(C) The plan specifies the areas of the deck where the mobile auxiliary crane is permitted to be positioned, travel, and operate, and the parameters and limitations of such movements and operation.
(D) The deck is marked to identify the permitted areas for positioning, travel, and operation.
(E) The plan specifies the dynamic and environmental conditions that must be present for use of the plan.
(F) If the dynamic and environmental conditions in subsection (n)(6)(E) of this section are exceeded, the mobile auxiliary crane is attached physically or corralled in accordance with Option (1), Option (2) or Option (4) of subsection (n)(5) of this section.
(7) The barge, pontoons, vessel or other means of flotation used:
(A) Are structurally sufficient to withstand the static and dynamic loads of the crane/derrick when operating at the crane/derrick's maximum rated capacity with all anticipated deck loads and ballasted compartments.
(B) Have a subdivided hull with one or more longitudinal watertight bulkheads for reducing the free surface effect.
(C) Have access to void compartments to allow for inspection and pumping.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1619.4. Overhead & Gantry Cranes.
Note     •     History

(a) Permanently installed overhead and gantry cranes. The requirements of General Industry Safety Orders, Article 92, apply to the following equipment when used in construction and permanently installed in a facility: overhead and gantry cranes, including semi-gantry, cantilever gantry, wall cranes, storage bridge cranes, and others having the same fundamental characteristics.
(b) Overhead and gantry cranes that are not permanently installed in a facility.
(1) This subsection applies to the following equipment when used in construction and not permanently installed in a facility: Overhead and gantry cranes, overhead/bridge cranes, Semi-gantry, cantilever gantry, wall cranes, storage bridge cranes, launching gantry cranes, and similar equipment having the same fundamental characteristics, irrespective of whether it travels on tracks, wheels, or other means. 
(2) The following requirements apply to equipment identified in subsection (b)(1) of this section:
(A) All sections of this Article 15 apply except the following sections: Sections 1615.1, 1615.2, 1616.5(a) through 1616.5(c), 1619.1, 1619.2, and 1619.4.
(B) The requirements of General Industry Safety Orders, Article 92, Cranes (Except Boom-Type Mobile Cranes).
(C) Applicable Standards:
1. For equipment identified in subsection (b)(1) which was manufactured before July 7, 2011, the standards prescribed by General Industry Safety Orders, Section 4884 shall apply.
2. For equipment manufactured on or after July 7, 2011, the following sections of ASME B30.2-2005 shall apply: 2-1.3.1; 2-1.3.2; 2-1.4.1; 2-1.6; 2-1.7.2; 2-1.8.2; 2-1.9.1; 2-1.9.2; 2-1.11; 2-1.12.2; 2-1.13.7; 2-1.14.2; 2-1.14.3; 2-1.14.5; 2-1.15.; 2-2.2.2; 2-3.2.1.1. In addition, 2-3.5 applies, except in 2-3.5.1(b), “29 CFR 1910.147” is substituted for “ANSI Z244.1.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1619.5. Dedicated Pile Drivers.
Note     •     History

(a) The provisions of this Article 15 apply to dedicated pile drivers, except as specified in this section.
(b) Section 1615.2(d)(3) (Anti two-blocking device) does not apply.
(c) Section 1615.2(e)(4) (Load weighing and similar devices) applies only to dedicated pile drivers manufactured after July 7, 2011.
(d) In Section 1610.4, only Sections 1610.4(d) and (e) apply to dedicated pile drivers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
Article 16. Railings
Note: For permanent guardrails see Section 3209 of the General Industry Safety Orders.
§1620. Design and Construction of Railings.
Note     •     History

Railings required by these Orders, except as otherwise provided, shall conform to the following standards:
(a) Railings shall be constructed of wood or in an equally substantial manner from other materials, and shall consist of the following:
(1) A top rail not less than 42 inches or more than 45 inches in height measured from the upper surface of the top rail to the floor, platform, runway or ramp. 
(2) A mid-rail shall be halfway between the top rail and the floor, platform, runway or ramp when there is no wall or parapet wall at least 21 inches (53 cm) high.
(A) Screens, mesh, intermediate vertical members, solid panels or equivalent members, may be used in lieu of a mid-rail subject to the following:
1. Screens and mesh, when used, shall extend from the top rail to the floor, platform, runway or ramp and along the entire opening between top rail supports.
2. Intermediate vertical members (such as balusters), when used between posts, shall be installed such that there are no openings greater than 19 inches (48 cm) wide.
3. Other intermediate members (such as solid panels, or equivalent members) shall be installed such that there are no openings that are more than 19 inches (.5 m) wide.
(b) Wood railings.
(1) “Selected lumber” (see definitions), free from damage that affects its strength, shall be used for railings constructed of wood.
(2) Wood posts shall be not less than 2 inches by 4 inches in cross section, spaced at 8-foot or closer intervals.
(3) Wood top railings shall be smooth and of 2-inch by 4-inch or larger material. Double, 1-inch by 4-inch members may be used for this purpose, provided that one member is fastened in a flat position on top of the posts and the other fastened in an edge-up position to the inside of the posts and the side of the top member. Mid-rails shall be of at least 1-inch by 6-inch material.
(4) The rails shall be placed on that side of the post which will afford the greatest support and protection.
(c) All railings, including their connections and anchorage, shall be capable of withstanding without failure, a force of at least 200 pounds applied to the top rail within 2 inches of the top edge, in any outward or downward direction, at any point along the top edge.
(1) When the 200 pound test load is applied in a downward direction, the top edge of the guardrail shall not deflect to a height less than 39 inches above the walking/working level.
(d) Mid-rails, screens, mesh, intermediate vertical members, solid panels, and equivalent members shall be capable of withstanding, without failure, a force of at least 150 pounds (666 N) applied in any downward or outward direction at any point along the mid-rail, screen, mesh, or other intermediate member.
(e) Railings exposed to heavy stresses from employees trucking or handling materials shall be provided additional strength by the use of heavier stock, closer spacing of posts, bracing, or by other means.
(f) The ends of the rails shall not overhang the terminal posts, except where such overhang does not constitute a projection hazard.
(g) Railings shall be so surfaced as to prevent injury to an employee from punctures or lacerations, and to prevent snagging of clothing.
(h) Steel banding and plastic banding shall not be used as top rails or mid-rails.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (d) and renumbering of subsections (e)-(i) to subsections (d)-(h) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12). For prior history, see Register 76, No. 41.
2. Amendment of subsection (c) filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
3. New subsection (i) filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
4. Editorial correction reinstating inadvertently omitted subsection (e) (Register 98, No. 25).
5. Amendment of article heading, section heading and section filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
6. Editorial correction of subsection (c)(1) (Register 2007, No. 44).
§1621. Railings and Toeboards.
Note     •     History

(a) Unless otherwise protected, railings as set forth in Section 1620 shall be provided along all unprotected and open sides, edges and ends of all built-up scaffolds, runways, ramps, rolling scaffolds, elevated platforms, surfaces, wall openings, or other elevations 7 1/2 feet or more above the ground, floor, or level underneath. 

Exceptions: 

(1) Float and ladder jack scaffolds.

(2) Bricklayers' and masons' scaffolds used in accordance with Sections 1641(e) and 1644(a)(6).

(3) During demolition on the floor or surface being demolished.
(b) A standard toeboard shall be 4 inches (nominal) minimum in vertical height from its top edge to the level of the floor, platform, runway, or ramp. It shall be securely fastened in place and have not more than 1/4-inch clearance above floor level. It may be made of any substantial material, either solid, or with openings not over one inch in greatest dimension. Toeboards shall be provided on all open sides and ends of railed scaffolds at locations where persons are required to work or pass under the scaffold and at all interior floor, roof, and shaft openings.
Note: Except for structural steel crafts.
(c) Where material is piled to such height that a standard toeboard does not provide protection, paneling or screening from floor to intermediate rail or top rail shall be provided. Where such paneling or screening extend to the toprail, midrails may be omitted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (a) filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
3. Amendment of subsection (a) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
4. Amendment of subsections (b) and (c) filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
5. Change without regulatory effect amending subsection (a) filed 7-17-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 50).
6. Amendment of subsection (a) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
Article 17. Ramps, Runways, Stairwells, and Stairs
§1623. Wheelbarrow Runways.
Note     •     History

Ramps or runways over three feet high, used for wheelbarrows, shall be not less than two feet, six inches wide and secured at each end to prevent ramp from sliding. Platform planks shall be firmly cleated together.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment and renumbering of Section 1625 filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Editorial Correction (Register 81, No. 12).
4. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
§1624. Runways for Foot Traffic.
Note     •     History

(a) Except as provided elsewhere, ramps or runways erected for the use of workmen shall be not less than 20 inches in width, and shall be secured and supported so as to avoid deflection and springing action.
(b) Securely fastened cleats or other means shall be used on inclined runways sloped two feet in 10 feet or more to improve the footing. Where cleats are used, they shall be eight inches or more in length and not more than 16 inches apart.
(c) When planks are used for raised walkways, runways, or sidewalks, they shall be secured against displacement. Planks shall be uniform in thickness and all exposed ends shall be provided with beveled cleats to prevent tripping. 

Exception: The use of beveled cleats on scaffold platforms is not required.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment and renumbering of Section 1626 filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Repealer and new subsection (c) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
4. Amendment of subsection (b) filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
§1625. Powered Buggy Runways.
Note     •     History

Ramps or runways erected for the use of power-driven concrete buggies shall be capable of supporting at least four times the maximum load to be imposed. Curbs of four inch by four inch lumber, or a member of similar size made from laminated two inch by four inch members, shall be securely fastened on the runway edges. Such runways shall be at least five feet wide between the curbs and, where necessary, shall provide turn-outs sufficiently wider to permit safe meeting or passing of buggies.
Note: See Plate B-17, Appendix, for required slope of ramps; and Article 29, Section 1717 (a)(2) for design load requirements.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment and renumbering of Section 1627 filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
§1626. Stairwells and Stairs.
Note     •     History

(a) General.
(1) Stairways shall be al least 24 inches in width and shall be equipped with stair rails, handrails, treads, and landings.
(2) Railings and toeboards meeting the requirements of Article 16 of these safety orders shall be installed around stairwells.
(b) The following requirements apply to all stairways as indicated:
(1) Temporary stairways that will not be a permanent part of the structure on which construction work is being performed shall be at least 24 inches in width. The stairway shall have landings at each floor, or level, of not less than 30 inches in the direction of travel and extend at least 24 inches in width at every 12 feet or less of vertical rise.
(2) Stairs shall be installed between 30o and 50o from horizontal.
(3) Riser height and tread depth shall be uniform within each flight of stairs, including any foundation structure used as one or more treads of the stairs. Variations in riser height or tread depth shall not be over 1/4-inch (0.6 cm) on any stairway.
(4) Where doors or gates open directly on a stairway, a platform shall be provided, and the swing of the door shall not reduce the effective width of the platform to less than 20 inches (51 cm).
(5) Unprotected sides and edges of stairway landings shall be provided with railings. Design criteria for railings are prescribed in Section 1620 of these safety orders.
(6) Metal pan landings and metal pan treads, when used, shall be secured in place before filling with concrete or other material.
(7) All parts of stairways shall be free of hazardous projections, such as protruding nails.
(8) Slippery conditions on a stairway shall be eliminated before the stairway is used to reach another level.
(c) Stair rails and handrails. The following requirements apply to all stairways as indicated:
(1) Stairways having four or more risers or rising more than 30 inches (76 cm), whichever is less, shall be equipped with:
(A) At least one handrail; and
(B) A stair rail consisting of a top rail and mid-rail along each unprotected side or edge.
(2) Winding and spiral stairways shall be equipped with a handrail offset sufficiently to prevent walking on those portions of the stairways where the tread width is less than 6 inches (15 cm).
(3) The height of stair rails shall be not less than 34 inches nor more than 38 inches from the upper surface of the stair rail to the surface of the tread, in line with the face of the riser at the forward edge of the tread.
(4) Mid-rails shall be located at a height midway between the top edge of the stair rail and the stairway steps.
(A) Screens, mesh, or other material, when used in lieu of mid-rails, shall extend from the top rail to the stairway step, and along the entire opening between top rail supports.
(B) Other structural members, when used, shall be installed such that there are no openings in the stair rail that are more than 18 inches (46 cm) wide.
(5) Handrails and the top rails of stair rails shall be capable of withstanding, without failure, a force of at least 200 pounds (890 n) applied within 2 inches (5 cm) of the top edge, in any downward or outward direction, at any point along the top edge.
(6) The height of handrails shall be not less than 34 inches nor more than 38 inches from the upper surface of the handrail to the surface of the tread, in line with the face of the riser at the forward edge of the tread.
(7) When the top edge of a stair rail also serves as a handrail, the height of the top edge shall be not less than 34 inches nor more than 38 inches from the upper surface of the stair rail to the surface of the tread, in line with the face of the riser at the forward edge of the tread.
(8) Stair rails and handrails shall be so surfaced as to prevent injury to employees from punctures or lacerations, and to prevent snagging of clothing.
(9) Handrails shall provide an adequate handhold.
(10) The ends of stair rails, handrails and mid-rails shall be constructed so as not to constitute a projection hazard.
(11) Handrails that will not be a permanent part of the structure being built shall have a minimum clearance of 3 inches (8 cm) between the handrail and walls, stair rails, and other objects.
(d) Temporary Service. The following requirements apply to all stairways as indicated:
(1) Except during stairway construction, foot traffic is prohibited on stairways with pan stairs where the treads and/or landings are to be filled in with concrete or other material at a later date, unless the stairs are temporarily fitted with wood or other solid material at least to the top edge of each pan.
(2) Except during stairway construction, foot traffic is prohibited on skeleton metal stairs where permanent treads and/or landings are to be installed at a later date, unless the stairs are fitted with secured temporary treads and landings long enough to cover the entire tread and/or landing area.
(3) Treads for temporary service shall be made of wood or other solid material, shall cover the full width and depth of the stair and shall be supported to prevent undue deflection.
(4) Temporary treads and landings shall be replaced when worn below the level of the top edge of the pan.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-11-72; effective thirtieth day thereafter; former Section 1626 renumbered Section 1624 (Register 72, No. 7).
2. Repealer of subsection (g) and new subsections (g) and (h) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment of subsection (c) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
4. Repealer and new subsections (f) and (g) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
5. Amendment of subsection (a) filed 4-3-2002; operative 5-3-2002 (Register 2002, No. 14).
6. Repealer and new section filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
Article 18. Access and Egress
§1629. Stairways and Ladders.
Note     •     History

(a) General.
(1) In all buildings or structures 2 or more stories or 24 feet or more in height or depth, suitable permanent or temporary stairways shall be installed as required in Section 1629(b). 

Exception: At those locations where unusual site conditions prevail, an alternate effective means of access acceptable to the Division may be afforded.
(2) For the purpose of this Section, scaffolds shall not be considered to be structures. 
(3) Stairways, ramps or ladders shall be provided at all points where a break in elevation of 18 inches or more occurs in a frequently traveled passageway, entry or exit.
(4) A minimum of 1 stairway shall be provided for access and exit for buildings and structures to 3 stories or 36 feet; if more than 3 stories or 36 feet, 2 or more stairways shall be provided.
(A) When a building or structure has only one stairway between levels, that stairway shall be kept clear to permit free passage of employees.
(B) Where two or more stairways are provided and work is being performed in the stairways, at least one stairway shall be maintained clear for access between levels at all times.
Note: For stairway access at demolition projects, refer to Article 31 of these safety orders. 
Exception for subsection (a)(4):
1. At those locations where unusual site conditions prevail, an alternate effective means of access acceptable to the Division may be afforded.
(5) Stairways shall conform to the criteria shown in Plate B-17, Appendix and Article 17 of these safety orders.
(6) Spiral stairways that are not part of the permanent structure shall not be used.
(7) Sufficient illumination on all stairways, providing at least five (5) foot-candles of light on the steps, shall be maintained. All lamps providing stairway illumination shall be substantially guarded either physically or by location.
(b) Buildings.
(1) Wood Frame Buildings.
(A) The stairway to a second or higher floor shall be completed before studs are raised to support the next higher floor.
(B) Cleats shall not be nailed to studs to provide access to and egress from roof or other work areas.
(2) Steel Frame Buildings. Stairways shall extend to the uppermost floor that has been planked or decked. Ladders may be used above that point.
(3) Reinforced Concrete or Composite Steel--Concrete Buildings. Stairways shall extend to the lowermost floor upon which a complete vertical shoring system is in place. A minimum of two ladders at different locations for each floor may be used above this floor but not to exceed three floors.
(4) Roof and attic work areas of all buildings shall be provided with a safe means of access and egress, such as stairways, ramps or ladders that conform to the provisions of Article 25 of these safety orders.
(c) Ladder Use.
(1) Single cleat ladders shall not exceed 30 feet in length.
(2) Where ladders are allowed as primary access or exit as in (b) above from a working area for 25 or more employees, or simultaneous two-way traffic is expected, double cleat ladders shall be installed. Double cleat ladders shall not exceed 24 feet in length.
(3) Side rails of all ladders shall extend at least 3 feet above the landing or level they serve.
(4) Ladders and their use shall also conform to Article 25 of these Safety Orders.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Repealer and new section filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment of subsection (c)(2) filed 10-14-75 as procedural and organizational; effective upon filing (Register 75, No. 42).
4. Amendment of subsection (b) filed 3-19-79; effective thirtieth day after filing (Register 79, No. 12).
5. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
6. New subsection (a)(6) filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
7. Amendment of subsection (c)(2) filed 3-26-2001; operative 4-25-2001 (Register 2001, No. 13).
8. Amendment filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§1630. Elevators for Hoisting Workers.
Note     •     History

(a) In addition to the stairways required in Section 1629, a construction passenger elevator for hoisting workers shall be installed and in operation on or in any building, or structure, 60 feet or more in height above or 48 feet in depth below ground level. The building or structure height shall be determined by measuring from ground level to the highest structural level including the parapet walls, mechanical rooms, stair towers and elevator penthouse structures but excluding antennas, smokestacks, flag poles and other similar attachments.
The building or structure depth shall be determined by measuring from ground level to the lowest floor level excluding local depression such as sumps and elevator pits.
Ground level, for the purposes of this section, is defined as the level of the primary construction entrance to the building or structure.
When computing the height, the depth shall not be considered; and when computing the depth of the building or structure, the height shall not be considered. If the height is at 60 feet or more above or at 48 feet or more below ground level, a construction elevator(s) shall be installed to serve both locations. 

Exceptions: (1) Scaffolds and falsework.(2) At work locations where unusual site conditions or unusual structure configurations exist, alternate means of access in conformance with Section 1630(c) shall be permitted.
Note: For the purposes of this Section, unusual site conditions and structure configurations are considered to exist at those work locations where the installation of a construction passenger elevator is not feasible. 
EXAMPLES: 
Unusual site conditions or structure configurations are bridges, steel tank erection, dams, water towers, antennas, cooling towers, refinery towers, stacks, prefabricated parking structures, tower cranes, etc.
(b) Construction passenger elevators shall be installed, operated and maintained in compliance with Article 14 of the Construction Safety Orders.
(c) At unusual site conditions or structure configurations, the Division shall permit alternate means of access, consisting of one or more, but not limited to, the following:
(1) Use of personnel platforms designed, constructed, and operated as specified by Section 5004 of the General Industry Safety Orders, and only under the conditions permitted by the general requirements of that section.
(2) Use of suspended power-driven scaffolds where employees are protected by safety belts secured to independent safety lines by means of a descent control device acceptable to the Division.
(3) Use of appropriate vehicle-mounted elevating and rotating work platforms.
(4) Use of other means, such as inclined elevators, etc. acceptable to the Division, presented in written form and acceptance granted prior to use.
(d) Landings shall be provided for the passenger elevator on or in buildings or structures at the upper-most floor and at intervals not to exceed 3 floors or 36 feet.
Note: Other landing locations acceptable to the Division may be substituted where the design of the building or structure make the above impractical.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment of subsections (a) and (b) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment of section title and subsection (a) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
4. Amendment of subsection (a) filed 3-27-79; effective thirtieth day thereafter (Register 79, No. 12).
5. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
6. Amendment of subsection (a) filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
7. Amendment of subsection (c) filed 9-5-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
8. Repealer and new section filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
9. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
10. Amendment of subsection (c)(1) filed 12-22-97; operative 1-21-98 (Register 97, No. 52).
§1631. Ladders. [Repealed]
History

HISTORY

1. Amendment filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Repealer filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21). 
Article 19. Floor, Roof, and Wall Openings
§1632. Floor, Roof, and Wall Openings to Be Guarded.
Note     •     History

(a) This section shall apply to temporary or emergency conditions where there is danger of employees or materials falling through floor, roof, or wall openings, or from stairways or runways.
(b)(1) Floor, roof and skylight openings shall be guarded by either temporary railings and toeboards or by covers.
Note: Requirements for guarding existing skylights are found in Section 3212(e) of the General Industry Safety Orders.
(2) Temporary railing and toeboards shall meet the requirements of Sections 1620 and 1621. The railing shall be provided on all exposed sides, except at entrances to stairways.
(3) Covers shall be capable of safely supporting the greater of 400 pounds or twice the weight of the employees, equipment and materials that may be imposed on any one square foot area of the cover at any time. Covers shall be secured in place to prevent accidental removal or displacement, and shall bear a pressure sensitized, painted, or stenciled sign with legible letters not less than one inch high, stating: “Opening--Do Not Remove.” Markings of chalk or keel shall not be used.
(c) Ladderway floor openings or platforms shall be guarded by standard railings with standard toeboards on all exposed sides, except at entrance to opening, with the passage through the railing either provided with a swinging gate or so offset that a person cannot walk directly into the opening.
(d) Hatchways and chute floor openings shall be guarded by one of the following:
(1) Hinged covers of standard strength and construction and a standard railing with only one exposed side. When the opening is not in use, the cover shall be closed or the exposed side shall be guarded at both top and intermediate positions by removable standard railings.
(2) A removable standard railing with toeboard on not more than two sides of the opening and fixed standard railings with toeboards on all other exposed sides. The removable railing shall be kept in place when the opening is not in use and should preferably be hinged or otherwise mounted so as to be conveniently replaceable.
(e) Pits and trap-door floor openings shall be guarded by floor opening covers of standard strength and construction. While the cover is not in place the pit or trap openings shall be protected on all exposed sides by movable standard railings.
(f) Manhole floor openings shall be guarded by standard covers which need not be hinged in place. While the cover is not in place, the manhole opening shall be protected by standard railings.
(g) Temporary floor openings shall have standard railings.
(h) Floor holes, into which persons can accidentally walk, shall be guarded by either a standard railing with standard toeboard on all exposed sides, or a floor hole cover of standard strength and construction that is secured against accidental displacement. While the cover is not in place, the floor hole shall be protected by standard railing.
(i) Where doors or gates open directly on a stairway, a platform shall be provided and the swing of the door shall not reduce the effective width of the platform to less than 20 inches.
(j) Wall openings, from which there is a drop of more than 4 feet, and the bottom of the opening is less than 3 feet above the working surface, shall be guarded as follows:
(1) When the height and placement of the opening in relation to the working surface is such that either a standard rail or intermediate rail will effectively reduce the danger of falling, one or both shall be provided;
(2) The bottom of a wall opening, which is less than 4 inches above the working surface, regardless of width, shall be protected by a standard toeboard or an enclosing screen either of solid construction or as specified in this section.
(k) An extension platform outside a wall opening onto which materials can be hoisted for handling shall have side rails or equivalent guards of standard specifications. One side of an extension platform may have removable railings in order to facilitate handling materials.
(l) When a chute is attached to an opening, the provisions of this section shall apply, except that a toeboard is not required.
(m) Wall opening protection shall meet the following requirements:
(1) Barriers shall be of such construction and mounting that, when in place at the opening, the barrier is capable of withstanding a load of at least 200 pounds applied in any direction (except upward).
(2) Screens shall be of such construction and mounting that they are capable of withstanding a load of at least 200 pounds applied horizontally at any point on the near side of the screen. They may be of solid construction, of grill work with openings not more than 8 inches long, or of slat work with openings not more than 4 inches wide with length unrestricted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (d)-(h) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment of subsection (a) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
4. Amendment of subsection (b) and repealer of subsection (e) and subsection relettering filed 5-2-96; operative 6-1-96 (Register 96, No. 18).
5. Amendment of subsection (b) filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
6. Redesignation and amendment of subsection (b) as subsections (b)(1) and (b)(3) and new subsection (b)(2) filed 7-7-2004; operative 8-6-2004 (Register 2004, No. 28).
§1633. Elevator Shafts to Be Guarded.
Note     •     History

(a) All elevator shafts in which cages are not installed and which are not enclosed with solid partitions and doors shall be guarded on all open sides by standard railings and toeboards.
(b) Overhead protection shall be provided at all times when persons are employed in the shaft and other workmen area above them.
(c) In a shaft, if one elevator is put into service before the others are completed, such elevator(s) in use shall be separated from the other elevators by a continuous partition of solid material, or a wire screen with mesh not larger than 2 inches.
(d) Temporary platforms, such as false cars, shall cover approximately the full area of the shaft. Standard railings shall be provided when opening between platform and structure exceeds 16 inches.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
2. Editorial correction of printing error in subsection (i) (Register 86, No. 45).
Article 20. Temporary Floors
§1635. Floors, Walls and Structural Steel Framed Buildings.
Note     •     History

(a) For multifloor buildings, other than structural steel framed buildings, the following shall apply:
(1) Every building shall have the joists, beams, or girders of floors below the floor or level where any work is being done, or about to be done, covered with flooring laid close together, or with other suitable material to protect workers engaged in such building from falling through joists or girders, and from falling substances, whereby life or safety is endangered.
(2) Every building which is of reinforced concrete construction, with reinforced concrete floors, shall have the floor filled in, either with forms or concrete, on each floor before the commencement of work upon the walls of the second floor above or the commencement of work upon the floor of the next floor above.
(3) Every building having wooden floors other than a steel frame building shall have the underflooring, if double flooring is to be used, laid on each floor within the time prescribed above for reinforced concrete floors. Where single wooden floors are to be used, each floor shall be planked over within the time prescribed above for reinforced concrete floors.
(4) If a span of a floor on a building exceeds 13 feet, an intermediate beam shall be used to support the temporary flooring, but spans not to exceed 16 feet may be covered by three-inch planks without an intermediate beam. The intermediate beam shall be of a sufficient strength to sustain a live load of 50 pounds per square foot of the area supported.
(5) If building operations are suspended and the temporary flooring required by this article is removed, the building shall be replanked upon the resumption of work so that every worker at work has a covered floor not more than two stories below.
(6) Planked floors on buildings shall be tightly laid together of proper thickness, grade and span to carry the working load; such working load to be assumed as at least 25 pounds per square foot.
(7) Fall protection shall be required in accordance with Article 24.
(8) No person shall proceed with any work assigned to or undertaken or require or permit any other person to proceed with work assigned to or undertaken by either, unless the planking or nets required by this article are in place. 
(b) For multifloor structural steel framed buildings more than two stories high, the following shall apply: These provisions shall apply to buildings erected in tiers or stories and shall not apply to steel framed buildings having large open spans or areas such as, mill buildings, gymnasiums, auditoriums, hangars, arenas, or stadiums.
(1) The derrick or working floor of every building shall be solidly decked over its entire surface except for access openings.
(2) There shall be a tight and substantial temporary floor within two floors below and directly under that portion of each tier of beams on which erection, riveting, bolting, welding or painting is being done. For operations of short duration of exposure to falling, fall protection shall be required as set forth in Article 24 and Section 1710.
(3) Temporary floors shall be wood planking of proper thickness, grade and span to carry the working load, but shall not be less than two inches thick, full size undressed.
(4) Provision shall be made to secure temporary flooring against displacement by strong winds or other forces.
(5) Planks shall extend a minimum of 12 inches beyond centerline of their supports at each end.
(6) Wire mesh or plywood (exterior grade) shall be used to cover openings adjacent to columns where planks or metal decking do not fit tightly. The materials used must be of sufficient strength as required by Section 1632(b) to provide fall protection for personnel and prevent objects from falling through. 
(7) Metal decking where used in lieu of wood planking shall be of equivalent strength and shall be laid tightly and secured to prevent movement.
(8) Floor planks or metal decking that are temporarily removed for any reason whatsoever shall be replaced as soon as work requiring their removal is completed or the open area shall be properly guarded.
(9) Prior to removal of temporary floor planks or metal decking, employees shall be instructed by assigned supervision the steps to be taken to perform the work safely and in proper sequence.
(10) When gathering and stacking temporary floor plank on a lower floor, in preparation for transferring such plank for use on an upper working floor, the steel erector's personnel shall remove such plank successively, working toward the last panel of such floor, so that the work is always being done from the planked floor.
(11) When gathering and stacking temporary floor planks from the last panel, the steel erector's personnel assigned to such work shall be protected by a personal fall protection system used in accordance with Article 24 and Section 1710.
(12) The sequence of erection, bolting temporary guying, riveting and welding shall be such as to maintain the stability of the structural frame at all times during construction. This applies to the dead weight of the structure, plus weight and working reactions of all construction equipment placed thereon plus any external forces that may be applied.
(13) Where a building is being constructed in sections, each section constitutes a building.
(14) Personal fall protection and nets shall be required in accordance with Article 24 and Section 1710.
(15) No person shall proceed with any work unless the planking and metal decking, or nets required by this article are in place.
(c) Special Provisions Applicable to Floor Openings. Section 1632(b) applies to floor openings at locations where steel erection work is taking place. This subsection applies where work is in progress that requires floor openings to be uncovered. For such work, all of the following requirements shall apply:
(1) The floor or working level where such work is in progress shall be under the exclusive control of the steel erection employer and shall be barricaded to prohibit entry by unauthorized personnel.
(2) The floor area adjacent to the floor opening shall be barricaded or the floor opening shall be covered when not attended by steel erection personnel.
(3) All planking and other materials used to cover floor openings shall be capable of safely supporting the greater of 400 pounds or twice the weight of the employees, equipment and materials that may be imposed on any one square foot area of the cover at any time. The cover shall have not less than 12 inches of bearing on the surrounding structure.
(4) All floor opening covers shall bear a sign stating, “OPENING-DO NOT REMOVE”, in 2 inch high, black bold letters on a yellow background.
(5) The placement of covers shall be verified by a qualified person prior to each shift and following strong wind conditions.
(6) Workers shall be instructed and required to adhere to the following:
(A) Keep covers in place when not engaged in work requiring the opening to be uncovered, and
(B) Never remove a cover by walking forward or by stepping into an area where they cannot directly observe the surface their feet will touch.
(7) After work requiring floor openings to be uncovered has been completed and prior to allowing other trades in the work area, the guarding and covers for floor openings shall meet the provisions of Section 1632(b).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7101, 7102, 7103, 7104, 7105, 7107, 7108, 7109, 7251, 7252, 7253, 7254, 7255, 7256, 7257, 7258, 7259, 7261, 7262, 7263, 7264, 7265 and 7266, Labor Code.
HISTORY

1. Amendment filed 4-21-72 as procedural and organizational; effective upon filing (Register 72, No. 17).
2. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
3. Change without regulatory effect correctly numbering subsection (b)(2) filed 11-3-92; operative 12-3-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 45).
4. Amendment of subsection (b)(14) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
5. Amendment of subsections (a), (a)(7), (b)(2) and (b)(6) filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
6. Amendment of subsections (b)(6) and (b)(11) filed 7-3-2003; operative 8-2-2003 (Register 2003, No. 27).
7. Amendment of subsections (b)(2), (b)(8)-(9), (b)(11) and (b)(14)-(15), new subsections (c)-(c)(7) and amendment of Note filed 1-25-2006; operative 2-24-2006 (Register 2006, No. 4).
Article 21. Scaffolds--General Requirements
§1635.1. Permits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 11-22-74 (Register 74, No. 48).
3. Certificate of Compliance refiled 11-28-74 (Register 74, No. 48).
4. Repealer and new section filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
5. Amendment of NOTE filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
6. Change without regulatory effect repealing section filed 10-29-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
§1636. Periphery Railings on Buildings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
§1637. General Requirements.
Note     •     History

(a) Scaffolds shall be provided for all work that cannot be done safely by employees standing on permanent or solid construction at least 20 inches wide, except where such work can be safely done from ladders. 

Exceptions:
1. Work of a limited nature and of short duration when the permanent or solid construction is less than 20 inches in width and the fall distance does not exceed 15 feet in height and provided adequate risk control is recognized and maintained under competent supervision.
2. Work of a short duration from joists or similar members at 2 feet or closer centers, planks resting on these members forming a plank platform 12 inches wide or equivalent protection.
(b) Scaffold Design and Construction.
(1) Scaffolds shall be constructed of wood or other suitable materials such as steel or aluminum members of known strength characteristics. Where materials other than wood are used, or where scaffold designs differ from those specified in these Orders, the scaffold and its parts must provide a degree of strength, rigidity and safety equivalent to that provided by the described scaffold it replaces.
(2) Each scaffold shall be designed and constructed using a dead load safety factor that will ensure the scaffold supports, without failure, its own weight and 4 times the maximum intended working (live) load applied or transmitted to it. Maximum intended working loads shall be as follows: 
(A) Light-duty scaffolds: 25 pounds per square foot of work platform. 

Exception: Light-duty interior scaffolds shall adhere to the loading requirements contained in Section 1640(c)(1). 
(B) Medium-duty scaffolds: 50 pounds per square foot of work platform. 
(C) Heavy-duty scaffolds: 75 pounds per square foot of work platform. 
(D) Special-duty scaffolds: exceeding 75 pounds per square foot of work platform as determined by a qualified person or a Civil Engineer currently registered in the State of California and experienced in scaffold design. 
(E) Engineered scaffolds: as determined by a Civil Engineer currently registered in the State of California and experienced in scaffold design. 
(3) A scaffold shall not be subjected to loads greater than its maximum intended working load (see 1637(b)(2)). 
(4) Manufactured scaffolds shall be used in accordance with the manufacturer's recommendations. 

Exception: Where specific requirements that address riding on a rolling scaffold in Section 1646(i) and (j) may conflict with the manufacturer's recommendations, the provisions in Section 1646(i) and (j) take precedence.
(5) A qualified person shall determine the maximum intended working loads for scaffolds that are neither manufactured nor engineered. 
(6) The maximum intended working load for each scaffold shall be posted at a conspicuous location at each jobsite or be provided to each supervisory employee who shall have it readily available at the jobsite.
(c) Anchorage and bracing shall be such that scaffolds and falsework will be prevented from swaying, tipping, or collapsing.
(d) Scaffold lumber, except for planks, used on suspended or ladder-jack scaffolds, shall be the equivalent of “selected lumber,” free from damage that affects its strength. (See definitions for lumber specifications.)
(e)(1) Extension planking of the finger type shall be made with at least 5 fingers on each side. These fingers shall be at least 1-inch by 2 1/8-inch selected straight-grained Douglas fir or material of equal strength. All metal fittings shall be adequate to maintain the structural qualities of the device.
(2) The length of the extended planking shall not exceed 12 feet 6 inches, and the actual mechanical overlap between the 2 halves shall be not less than 1/8 of the length of the extended planking. A substantial stop shall be provided to maintain this overlap.
(3) Not more than one employee shall be permitted at one time on any extension planking that is more than 3 feet in height.
(4) Extension planking shall not be used as a platform on ladder-jack, suspended, or other unstable scaffolds.
(f) This subsection provides minimum labeling, design and construction requirements for scaffold planking, such as solid sawn planks, manufactured platforms of wood (including laminated planks), metal planking, and planking manufactured from other materials.
(1) Except as specified in other Orders, all solid sawn planking shall be at least equivalent to 2-inch x 10-inch (nominal) lumber selected for scaffold grade plank as defined in Section 1504, Lumber--“Structural Plank.”
(2)(A) The maximum permissible spans for Douglas Fir and Southern Pine planking for 2 x 10-inch (nominal) or 2 x 9-inch (rough) planks shall be as shown in the following Table:

Working (Live) Load (psf) 	25	50	75
Permissible Span (ft.)	10	8	7
			
(B) The maximum permissible spans allowed for other wood species of scaffold planking shall not exceed 10 feet and shall be determined by a licensed professional engineer.
(3)(A) All manufactured scaffold planking including, but not limited to, engineered wood products, laminated veneer lumber, metal, composite, plastic, or any other manufactured planks shall be capable of supporting, without failure, its own weight and 4 times the maximum intended working (live) load.
(B) Manufactured planks with spans in excess of 10 feet shall be labeled to indicate the maximum intended working (live) load.
(C) Manufactured scaffold planks shall be used in accordance with the manufacturer's specifications.
(4) Prior to being placed in service, all laminated veneer lumber scaffold planks, manufactured after December 2, 2010 shall be labeled with the seal of an independent, nationally recognized, inspection agency approved by the International Accreditation Services (IAS) certifying compliance with ASTM D 5456-09a and ANSI/ASSE A10.8-2001, Section 5.2.10.

Note: ASTM D 5456-09a is the standard for the evaluation of structural composite lumber products. ANSI/ASSE A10.8-2001, Section 5.2.10. requires the inspection agency to certify that laminated veneer lumber scaffold planks are compliant with the design criteria in the ANSI/ASSE A10.8 standard.
(5) Prior to being placed into service, all solid sawn wood scaffold planks shall be certified by, or bear the grade stamp of, a grading agency approved by the American Lumber Standards Committee.
(6) All scaffold planks shall be visually inspected for defects before use each day.
(7) Defective or damaged scaffold planks shall not be used and shall be removed from service.
(g) Except as specified in other Orders, a scaffold plank shall not overhang its support by more than 18 inches, unless access to this overhanging portion is prevented by a guardrail, or other barrier, or unless the other plank end is securely anchored.
(h) Inspection of Lumber. All scaffold lumber shall be visually inspected for defects before and during use. Defective lumber shall not be used.
(i)(1) Nailing. All nailed joints in scaffolds and wooden falsework must contain enough properly placed nails of ample size to carry the loads they are intended to support.
(2) Nailed joints or connections shall not be used to support concrete hoppers with a capacity in excess of 1/2 cubic yard.
(3) Double-headed nails shall not be used for attaching railings or in other service where the projections might catch on the clothing of workers or create similar hazards.
(4) No nail smaller than 8-penny shall be used in the construction of scaffolding.
(5) All nails shall be driven full length or to the first head when double-headed nails are used.
(6) The minimum number of nails per connection shall be in accordance with the following table: 

	1” x 6” Material 	1” x 8” Material	2” Material

Ledgers	4-8d	5-8d	2-16d

Ribbons	3-8d	3-8d

Braces	3-8d	3-8d	2-16d

Guardrails	2-8d	2-8d	2-16d

(7) Lubricated or wax-coated nails shall not be used in the construction of scaffolds, falsework, or other temporary installations.
(j) Prohibited Types of Scaffolds. Lean-to or jack scaffolds, shore scaffolds, nailed brackets, loose tile, loose brick, loose blocks, stilts, or other similar unstable objects shall not be used as working platforms, or for the support of such platforms. See Plate B-40, Appendix. 

Exception: Bricklayer's “jump boards” no higher than 20 inches above the regular scaffold platform are acceptable for such service when supported by piers of carefully piled bricks or concrete blocks.
(k) Erection and Dismantling.
(1) The erection and dismantling of scaffolds or falsework shall be performed under the supervision and direction of a qualified person.

Note: In addition to persons meeting the requirements of “qualified persons” as defined in Section 1504, person(s) possessing a certification of competence in scaffold erection, dismantling and use issued by trade associations, State-approved apprenticeship or training programs or other similar training programs shall be considered a “qualified person(s).”
(2) Erection and dismantling of scaffolds shall be performed in accordance with good engineering practice. Where engineering design is required by these orders, the engineering drawings shall be made available at the job site during erection or upon request by the Division.
(3) All required ties to the structure shall be installed as soon as the scaffold has been completed to the tie-in area during erection.
(4) Ties shall only be removed during dismantling as the work progresses downward unless other methods are used to prevent the scaffold from falling over.
(5) No structural members shall be removed from scaffolds during dismantling operations below the level being dismantled.
(6) Where work platforms are proposed, guardrails shall be installed before other work not directly related to scaffold erection is permitted to begin.
(7) The requirements of Section 1637(k) (2) through (6), inclusive, may be temporarily suspended for short durations, provided adequate risk control is recognized and maintained under immediate, competent supervision.
(l) Removal of Braces. Scaffolds or falsework installations shall not be altered by removing uprights, braces, or supports unless other members providing equivalent strength are substituted.
(m) Loading. Scaffolds shall not be overloaded. Material shall not be allowed to accumulate to the extent that a scaffold is subjected to loading it is not designed to support.
(n) Access.
(1) A safe and unobstructed means of access, such as a walkway, stair, or ladder shall be provided to all scaffold platforms.
(2) Climbing ladders or stairways on scaffolds used for access and egress shall be affixed or built into the scaffold by proper design and engineering, and shall be so located that their use will not disturb the stability of the scaffold.
(A) Manufactured hook-on and attachable ladders shall be securely attached to the scaffold and:
1. Shall be specifically designed for the type of scaffold used;
2. Shall have a minimum rung length of 11-1/2 inches (29 cm); and
3. Shall have uniform spaced rungs with a maximum spacing between rungs of 16-3/4 inches.
(B) If a ladder is used as a means of access to the scaffold, it shall be securely attached and shall comply with Article 25 of the Construction Safety Orders.
(C) Permanent stairways shall comply with the applicable provisions of the General Industry Safety Orders. Prefabricated scaffold steps or stairs, manufactured on or before May 28, 2005, shall comply with the design, manufacture and installation requirements of either the American National Standard ANSI A10.8-1988, Scaffolding-Safety Requirements, or the ANSI/ASSE A10.8-2001, Safety Requirements for Scaffolding, which are hereby incorporated by reference. Prefabricated scaffold steps or stairs, manufactured after May 28, 2005, shall comply with the design, manufacture and installation requirements of ANSI/ASSE A10.8-2001, Safety Requirements for Scaffolding.
(D) Horizontal members of end frames may be designed and used as a climbing device provided that the steps are:
1. Reasonably parallel and level.
2. Arranged to form a continuous ladder as required in Section 1644(a)(8).
3. Provided with sufficient clearance to provide a good handhold and foot space.
(o) Sloped Platforms. Platforms shall not be sloped more than 2 feet vertically to 10 feet horizontally and shall be positively secured against slipping from supports.
(p) Slippery Conditions. No worker shall be permitted to work on a scaffold platform where slippery conditions exist unless such conditions are a necessary part of the work.
(q) Overhead Protection. Workers on scaffolds who are exposed to overhead hazards shall be provided with overhead protection or other means that will effectively eliminate the hazard.
(r) Bolted Connections. Bolts used in the construction of scaffolds shall be of a size and in sufficient numbers at each connection to develop the designed strength of the scaffold. (See Plate B-31, Appendix.)
(s) Hoisting of Materials. Where materials are line-hoisted onto a scaffold, a tag line shall be used where necessary to control the load.
(t) Platform Planks at Corners. When a scaffold materially changes its direction, the platform planks shall be laid to prevent tipping. The planks that meet the corner ledger at an angle shall be laid first, extending over the diagonally placed ledger far enough to have a good safe bearing, but not far enough to involve any danger from tipping. The planking running in the opposite direction at an angle shall be laid so as to extend over and rest on the first layer of planking.
(u) Work on or from scaffolds is prohibited during storms or high winds unless a qualified person has determined that it is safe for employees to be on the scaffold and those employees are protected by a personal fall arrest system, as defined in Section 1504 of these Orders, or wind screens. Wind screens shall not be used unless the scaffold is secured against the anticipated wind forces imposed.
(v) Wood platforms shall not be covered with opaque finishes, except that platform edges may be covered or marked for identification. Platforms may be coated periodically with wood preservatives, fire-retardant finishes, and slip-resistant finishes; however, the coating may not obscure the top or bottom wood surfaces.
(w) Platforms, including, but not limited to, those consisting of solid sawn wood planks, engineered wood products, laminated veneer lumber, metal, composite, plastic, or any other manufactured planks, shall not deflect more than 1/60 of the span when loaded to the manufacturer's recommended maximum load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsections (i) and (l) filed 10-5-81; effective thirtieth day thereafter (Register 81, No. 41).
3. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
4. Amendment of subsection (n)(2)(B) filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
5. New subsections (u) and (v) filed 4-6-2001; operative 5-6-2001 (Register 2001, No. 14).
6. New subsection (b), redesignation of former subsection (b) as new subsection (b)(1) and new subsections (b)(2)-(6) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
7. New subsections (n)(2)(A)-(n)(2)(A)3., subsection relettering and amendment of newly designated subsections (n)(2)(C) and (n)(2)(D)2. filed 4-28-2005; operative 5-28-2005 (Register 2005, No. 17).
8. New subsection (b)(4) Exception filed 7-31-2009; operative 8-30-2009 (Register 2009, No. 31).
9. New subsection (f), amendment of subsection (f)(1), redesignation and amendment of subsection (f)(2) as subsection (f)(2)(A), new subsection (f)(2)(B), repealer of subsections (f)(3)-(4) and new subsections (f)(3)(A)-(f)(7) and (w) filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).
Article 22. Scaffolds--Various Types
§1640. Light-Duty Wooden Pole Scaffolds.
Note     •     History

(a) Pole scaffolds to be used by carpenters, lathers, shinglers, painters, plasterers, sheet metal workers, or other trades not using heavy tools or storing heavy materials on the scaffolds, shall be constructed as follows:
(See Plate B-18, Appendix)
(b) Light-Duty Exterior Scaffolds.
(1) Uprights. For heights not to exceed 20 feet, the uprights shall be 2-inch by 4-inch lumber or heavier, spaced not more than 3 feet between uprights at right angles to the wall and not more than 10 feet center to center, parallel to the wall. The inside uprights may be omitted and ledgers attached to the permanent structure, provided that the method of attaching the ledgers to the permanent structure will make the connection as secure as though the ledger were nailed to the upright with 5 8-penny nails. The splices of uprights shall be made with square butt joints, and scabs of 1-inch by 4-inch or heavier material at least 48 inches long shall be nailed on 2 sides of each upright with 6 nails in each 1/2 of each scab. If the uprights of the scaffold rest on a surface that might cause slipping, a continuous sill or other means shall be provided to hold the uprights in place. When the scaffold is resting on earth or other such material, the uprights shall rest on and be secured to the equivalent of a 2-inch by 10-inch by 10-inch wooden base.
Note: 1 1/8-inch by 10-inch by 10-inch piece of exterior grade plywood may be used in lieu of the wooden base mentioned above.
(2) Ledgers and Ribbons. The platforms of the scaffold shall be supported by ledgers. For ledgers spanning not more than 3 feet between uprights, use 2 pieces of 1-inch by 6-inch board, 1 being on each side of the uprights and fastened securely at each point of support. Single 2-inch by 4-inch ledgers are not permitted. Vertical spacing of ribbons and ledgers shall not exceed 7 feet. The ribbons shall be 1-inch by 6-inch or heavier material, placed on the outer uprights, directly under, and in contact with, the ledgers. The ribbons shall be long enough to extend from upright to upright without splices. 

Exceptions: 
1. When metal ledgers are used or when ledgers are bolted or when a 45-degree angle brace is nailed to the uprights between double ledgers, and ledgers also nailed to this brace, the ribbon may be placed at other elevations such as guardrail height, but they cannot be eliminated from the scaffold. 
2. Metal ledgers and ribbons that are part of a patented scaffold system may be used when installed in accordance with the manufacturer's instructions.
(3) Ties and Braces. The scaffold shall be securely tied to the building or structure by means of a double looped No. 12 iron wire, or single looped No. 10 iron wire or 1-inch by 4-inch boards with at least 2 nails at each connection or equivalent means. Ties shall connect to the inside uprights and shall not be more than 20 feet apart horizontally and vertically. The outside line of uprights shall contain sufficient diagonal bracing of 1-inch by 6-inch material in a vertical plane across the entire face of the scaffold in both directions to prevent swaying, tipping, or collapsing. (See Appendix Plate B-18). 

Exception: Bracing of 2-inch by 4-inch material may be used provided that the bracing extends from ledger to next higher or lower ledger or from ledger to sill in the form of an ”X” in the end bays and in every third bay in between so that the “X” bracing also extends from the upper-most ledger to the sill, vertically, in each of these bays.
(4) Railing. Open sides and ends of intermediate working levels 7 1/2 feet or more above grade shall be guarded by a 2-inch by 4-inch top rail nailed to the uprights so that the top edge is between 42 inches and 45 inches above the platform. Midrails of at least 2-inch by 4-inch material are required at all work levels. The uppermost platform shall be protected by a top rail consisting of double 2-inch by 4-inch members. One member shall be fastened in a flat position on top of the uprights and the other member shall be fastened in an edge-up position to the inside of the uprights and at the side of the top member. A single 2-inch by 4-inch member having an allowable bending stress of at least 1,900 psi may be used as a top rail.
(5) Platforms.
(A) Platform planks shall be of 2-inch by 10-inch or larger material and of such length that they overlap the ledgers at each end by at least 6 inches. A plank shall not overlap an unsupported end of another plank. The working platform shall cover the entire space between scaffold uprights, except for the open area under the backrailing, which shall not be more than 8 inches wide. Platforms shall be at least 20 inches wide and within 14 inches of the structure wall. When moving platforms to the next level, the old platform shall be left undisturbed until the new ledgers have been set in place ready to receive the platform planks. 

Exception: A single 2-inch by 10-inch plank may be used for light trades work up to a height of 4 feet.
(B) Working platforms for light-trades work may be made of 3/4-inch Douglas fir plywood instead of 2-inch plank if the platform is at least 2 feet wide, nailed in place and supported on cross members at 4-foot or closer intervals along its length.
(c) Light-Duty Interior Scaffolds.
(1) Loading. For scaffolds of the following design, the imposed load on the platform area shall not apply more than 1,500 pounds to any 1 ledger or a single upright, and the total load on the whole platform area shall not average more than 15 pounds per square foot.
(2) Uprights.
(A) For heights not to exceed 20 feet the uprights shall be 2-inch by 4-inch lumber, or heavier. For heights between 20 feet and 60 feet, the uprights shall be 3-inch by 4-inch lumber, or heavier, except for the top 20 feet which may be 2-inch by 4-inch material. The horizontal distance between uprights shall not exceed 10 feet measured either parallel or at right angles to the direction of the platform planks.
(B) If uprights are spliced, the joints must conform to that described in subsection 1640(b)(1), and they shall be located near a point where ribbons are attached or where equivalent lateral support is provided. Pairs of horizontal ribbons at right angles to one another are required at vertical intervals of 7 feet, or less.
(3) Ledgers and Ribbons. The platform of the scaffold shall be supported by ledgers made of one piece of 2-inch by 10-inch or heavier material, placed with the edge upward. The ribbons shall be 1-inch by 6-inch or heavier material, placed on all uprights directly under and in contact with the ledgers. Additional horizontal ribbons, in pairs at right angles to one another, shall be provided at lower levels in order to provide lateral support for all uprights at vertical intervals not greater than 7 feet.
(4) Diagonal Braces. Each line of uprights shall contain sufficient diagonal bracing of 1-inch by 6-inch material in vertical planes, lengthwise and crosswise, to prevent swaying, tipping, or collapsing. If the scaffold extends to and bears against the walls of the building, the horizontal ribbons and ledgers may provide adequate support without diagonal braces, but provision must always be made for adequate lateral stability.
(5) Platforms.
(A) The platform shall consist of 2-inch by 10-inch or larger planks laid closely together. There shall be no other openings in the platform except those necessary for the passage of employees and material. Unless nailed in place, planks shall be of such length that they overlap the ledgers at each end by at least 6 inches. A plank shall not overlap an unsupported end of another plank.
(B) Working platforms shall cover the entire space between scaffold uprights, except for the open area under the backrailing which shall not be more than 8 inches.
(C) Platforms shall extend within 14 inches of the finished face of the building.
(D) Douglas fir plywood that is 3/4 inch thick, or thicker, may be used for platforms if the panels are 4 feet wide, or wider, and are supported on ledgers or crossmembers at 4-foot or closer intervals.
(6) Railings. Open sides of working levels 7 1/2 feet or more above grade shall be provided with top rails and midrails as specified in Subsection 1640(b)(4). When scaffold platforms are erected in sections it is necessary for workers to travel between these sections, such sections shall be provided with connecting runways equipped with railings as described in Section 1620.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (f)(2)(B) (Register 70, No. 48).
2. Repealer and new section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
4. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
5. Amendment of section heading and subsection (b), redesignation and amendment of former subsection (b)(5)(C) as new subsection (c) and amendment of newly designated subsection (c)(1) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§1641. Heavy-Trade Wooden Pole Scaffolds.
Note     •     History

(a) Pole scaffolds to be used by bricklayers, stonemasons, concrete workers, or other trades using heavy tools or storing heavy material on the scaffold shall be constructed as follows:
(See Plate B-19, Appendix):
(b) When buggies are used on scaffolds to transport concrete, a strong scaffold shall be designed that is capable of supporting a concentrated load equal to the weight of a loaded buggy at any point on girders, beams, or planking.
(c) Uprights. For heights not to exceed 20 feet, the uprights shall be of 4-inch by 4-inch lumber or heavier material, with a space of 4 feet between uprights at right angle to the wall and not more than 7 feet, center to center, parallel to the wall. The splices of 4-inch by 4-inch uprights shall be made with square butt joints, and scabs of 2-inch by 4-inch material at least 48 inches long shall be nailed in place on 2 sides with 6 nails in each 1/2 of each scab. Uprights laminated from 2-inch by 4-inch material are acceptable if the joints of each lamination are staggered, and either reinforced by scabs or so arranged that they occur at or near ribbon attachment points. If the uprights rest on a surface that might cause slipping, a continuous sill or other means shall be provided to hold the uprights in place. When the scaffold is resting on earth or other such material, the uprights shall rest on and be secured to the equivalent of a 2-inch by 10-inch by 10-inch wooden base.

Note: A 1  1/8-inch by 10-inch by 10-inch piece of exterior grade plywood may be used in lieu of the wooden base mentioned above.
(d) Ledgers and Ribbons.
(1) The platform shall be supported by ledgers and ribbons, nailed or bolted to the uprights. For ledgers spanning not more than 4 feet between uprights, use either 1 piece of 2-inch by 6-inch lumber securely fastened at each point of support or 2 pieces of 1-inch by 6-inch board, 1 being on each side of the uprights and fastened securely at each point of support.
(2) Ribbons shall be 1-inch by 6-inch or heavier material securely fastened to both inside and outside uprights directly under and in contact with the ledgers. Vertical spacing of ribbons and ledgers shall not exceed 7 feet. Ribbons shall be long enough to extend from upright to upright without splices.
(e) Railing. Open sides and ends of working levels 7 1/2 feet or more above grade shall be provided with top rails and midrails as specified in subsection 1640(b)(4).

Exception: That side of bricklayers' and masons' scaffolds adjacent to the work under construction provided that the wall is higher than the adjacent work platform.
(f) Ties and Braces.
(1) The scaffold shall be rigidly tied to the building or structure by means of a double looped No. 12 iron wire, or single looped No. 10 iron wire or equivalent or stronger material used in combination with spacer blocks between inside uprights and the structure. Ties shall connect to the inside uprights, and they shall be not more than 15 feet apart vertically or horizontally.
(2) The entire scaffold shall be rigidly braced with 1-inch by 6-inch boards, and every part thereof so secured as to prevent swaying, tipping, or collapsing. The diagonal bracing shall extend in both directions across the entire outside vertical face. (See Appendix Plate B-19.)
(g) Platforms.
(1) The platform shall be not more than 4 feet wide, constructed of planks at least 2 inches thick and 10 inches wide, laid closely together. Platform planks that are butt-ended (not overlapped) must be nailed to ledgers consisting of 2-inch by 6-inch or heavier material. If the planks are not nailed, they shall be of such length that they overlap the ledgers at each end by at least 6 inches. A plank shall not overlap an unsupported end of another plank. The working platform shall cover the entire space between scaffold uprights except for the open area under the backrailing, which shall not be more than 8 inches.
(2) Platforms shall extend within 14 inches of the finished face of the building, except those used primarily by bricklayers and stonemasons shall extend to within 7 inches of the finish face of the building on which the work is being performed.
(3) When moving platforms to the next level, the old platform shall be left undisturbed until the new ledgers have been set in place ready to receive the platform planks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No.  46.)
2. Amendment of subsections (a), (d), and (e) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment of subsection (c) filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
4. Amendment of subsection (c) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
5. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
6. Editorial correction to insert subsection (a) indicator (Register 91, No. 23).
§1642. Schedules of Timber Scaffolds up to 60 Feet in Height.
Note     •     History

(Listed lumber sizes are those required for the specified spans; other sizes may be used for different spans, if equivalent strength is provided.)

		Light	Heavy
	Interior	Trades	Trades
Uprights for scaffolds 
not over 20'in height	 2”x4”	2”x4”	4”x4”
Uprights for scaffolds 20'
to 60'in height	 3”x4”	3”x4”	4”x6”
Ribbons directly under ledgers	 1”x6”	1”x6”	1”x6”
Ledgers	 2”x10”	2--1”x6”	2--1”x6”
			or 1--2”x6”
Spacing uprights, transverse, 
at right angles to platform planks	 10'	3' in clear	4' in clear
Spacing uprights, longitudinal, 
parallel to direction of platform 
planks	 10'	10'	7'
Spacing ribbons or ledgers, 
vertical	 7'0” max.	7'0” max.	7'0” max.
Splice pieces 48” long 
(for uprights)	 2--1”x4” or	2--1”x4” or	2--2”x4”
	(2--2”x4”)	(2--2”x4”)
Braces	 1”x6”	1”x6”	1”x6”
Railing	 2”x4”	2”x4”	2”x4”
Toeboard	 1”x4”	1”x4”	1”x4”
Width of platform	 10'	3' max.	4' max.
Planking		 2” thick and at least 10” wide

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
§1643. Scaffolds over 60 Feet in Height.
Note     •     History

All wooden pole scaffolds over 60 feet in height shall be designed by a Civil Engineer currently registered in California and constructed and erected in accordance with such design.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46). 
2. New Note filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1644. Metal Scaffolds.
Note     •     History

(a) General.
(1) Metal scaffolds shall be designed to support all dead, live, and wind loads to which they will be subjected.
(2) No metal scaffold equipment that is broken or deteriorated to the extent that its section is structurally weakened shall be used.
(3) All stationary scaffold legs, including those of outriggers, shall rest upon base plates available from the manufacturer for this service. Each base plate shall have support adequate to sustain the load and prevent horizontal movement. When the scaffold or outrigger is resting on earth or soft material, the base plate shall rest on and be secured to the equivalent of a 2-inch by 10-inch by 10-inch wooden base.
Note: A 1 1/8-inch by 10-inch by 10-inch piece of exterior grade plywood may be used in lieu of the wooden base mentioned above.
(4) Platform planks shall not be placed on guardrails to obtain greater height.
(5) Metal scaffolds shall be securely tied to the building or structure by means of a double looped No. 12 iron wire, or single looped No. 10 iron wire or equivalent at intervals not to exceed 30 feet horizontally and subject to the following:
(A) Ties shall be required at the free ends of the scaffold when the height of the scaffold platform exceeds 3 times the least base dimension. The remaining ties of the first row shall be required when the height of the scaffold platform is four times the least base dimensions.
(B) Ties for subsequent levels shall be installed at 26-foot intervals vertically, with the last tie no further from the top than four times the least base dimension.
(C) As an alternate means, scaffolds shall be guyed or outriggers shall be used to prevent tipping or upsetting.
(D) Wind Loading. When scaffolds are partially or fully enclosed, specific precautions shall be taken to assure the frequency and adequacy of ties attaching the scaffolding to the building.
(6) Securely attached railings as provided by the scaffold manufacturer, or other material equivalent in strength to the standard 2- by 4-inch wood railing made from “selected lumber” (see definition), shall be installed on open sides and ends of work platforms 7 1/2 feet or more above grade. The top rail shall be located at a height of not less than 42 inches nor more than 45 inches measured from the upper surface of the top rail to the platform level. A midrail shall be provided approximately halfway between the top rail and the platform.
Note: Toeboards or side screens may also be required. (See Section 1621.)
(A) “X” bracing is acceptable as a toprail if the intersection of the “X” occurs at 45 inches (plus or minus 3 inches) above the work platform, provided a horizontal rail is installed as a midrail between 19 and 25 inches above the work platform. The maximum vertical distance between the “X” brace members at the uprights shall not exceed 48 inches.
(B) “X” bracing is acceptable as a midrail if the intersection of the “X” falls between 20 inches and 30 inches above the work platform. 

Exceptions: 
(1) Railings are not required on that side of bricklayers' and masons' scaffold adjacent to the work under construction provided the wall is higher than the adjacent work platform.
(2) For end rail openings less than 3 feet, double wrapped iron wire at least No. 12 gauge in thickness, or wire rope at least 1/4 inch minimum diameter is permitted, provided the wire or wire rope is securely fastened.
(7) Platform planks shall be of 2-inch by 10-inch or wider material and of such length that they overlap the ledgers at each end by at least 6 inches.
A plank shall not overlap an unsupported end of another plank.
The working platform shall cover the entire space between scaffold uprights, except for the open area under the back railing. Such open area shall not exceed 10 inches in width.
The inboard edge of the work platform shall be no more than 16 inches from the building or structure wall except for those scaffolds used by bricklayers and stonemasons the platforms of which shall extend to within 7 inches of the finish face of the building or structure on which the work is being performed.
(8) All ladders used for access shall conform to ladders, Article 25. When only a part of the width of the metal scaffold frame conforms to ladder spacing, then these frames must be erected in a manner that makes a continuous ladder bottom to top, with ladder sides of the frames in a vertical line.
(b) Tube and Coupler Scaffolds.
(1) A light duty tube and coupler scaffold shall have all posts, ledgers, ribbons and bracing of nominal 2-inch O. D. steel tubing. The posts shall be spaced no more than 6 feet apart by 10 feet along the length of the scaffold. Other structural metals when used must be designed to carry an equivalent load. No dissimilar metals shall be used together.
(2) A medium duty tube and coupler scaffold shall have all posts, ribbons and bracing of nominal 2-inch O. D. steel tubing. Posts spaced not more than 6 feet apart by 8 feet along the length of the scaffold shall have ledgers of nominal 2 1/2-inch O. D. steel tubing. Posts spaced not more than 5 feet apart by 8 feet along the length of the scaffold shall have ledgers of nominal 2-inch O. D. steel tubing. Other structural metals, when used, must be designed to carry an equivalent load. No dissimilar metals shall be used together.
(3) A heavy duty tube and coupler scaffold shall have posts, ribbons, and bracing of nominal 2-inch O. D. steel tubing, with the posts spaced not more than 6 feet by 6 feet 6 inches. Other structural metals, when used, must be designed to carry an equivalent load. No dissimilar metals shall be used together.
(4) Tube and coupler scaffolds shall be limited in heights and working levels to those permitted in Tables 1, 2, and 3. Drawings and specifications of all tube and coupler scaffolds above the limitations in Tables 1, 2, and 3 shall be designed by a Civil Engineer currently registered in the State of California.
(5) All tube and coupler scaffolds shall be constructed and erected to support 4 times the maximum intended loads as set forth in Tables 1, 2, and 3, or as set forth in the specifications by a Civil Engineer currently registered in California.
Table 1

View Graphic
Table 2

View Graphic
Table 3

View Graphic
(6) Posts shall be accurately spaced, erected on suitable bases, and maintained plumb.
(7) Ribbons shall be erected along the length of the scaffold, located on both the inside and the outside posts at even height. Ribbons shall be interlocked to the inside and the outside posts at even heights. Ribbons shall be interlocked to form continuous lengths and coupled to each post. The bottom ribbons shall be located as close to the base as possible. Ribbons shall be placed not more than 6 feet 6 inches on centers.
(8) Ledgers shall be installed transversely between posts and shall be securely coupled to the posts bearing on the ribbon coupler. When coupled directly to the ribbons, the coupler must be kept as close to the posts as possible.
(9) Ledgers shall be at least 4 inches but not more than 12 inches longer than the post spacing or ribbon spacing.
(10) Cross bracing shall be installed across the width of the scaffold at least every third set of posts horizontally and every fourth ribbon vertically. Such bracing shall extend diagonally from the inner and outer ribbons upward to the next outer and inner ribbons.
(11) Longitudinal diagonal bracing on the inner and outer rows of poles shall be installed at approximately a 45 degree angle from near the base of the first outer post upward to the extreme top of the scaffold. Where the longitudinal length of the scaffold permits, such bracing shall be duplicated beginning at every fifth post. In a similar manner, longitudinal diagonal bracing shall also be installed from the last post extending back and upward toward the first post. Where conditions preclude the attachment of this bracing to the posts, it may be attached to the ribbons.
(c) Tubular Welded Frame Scaffolds.
(1) Metal tubular frame scaffolds, including accessories such as braces, brackets, trusses, screw legs, ladders, etc., shall be designed, constructed, and erected to safely support four times the maximum rated load. The scaffold manufacturer's erection instructions shall be followed on all installations.
(2) Spacing of panels or frames shall be consistent with the loads imposed.
(3) Panels or frames shall be braced by horizontal bracing, cross bracing, diagonal bracing or any combination thereof for securing vertical members together laterally, and the cross braces shall be of such length as will automatically square and align vertical members so that the erected scaffold is always plumb, square, and rigid. All brace connections shall be made secure.
(4) Panel or frame legs shall be set on adjustable bases or plain bases placed on mud sills or other foundations adequate to support the maximum anticipated load.
(5) Panels or frames shall be placed one on top of the other with coupling or stacking pins to provide proper vertical alignment of the legs.
Note: Where an intervening ledge prevents the vertical stacking of legs, the ledge may be used as a base provided that an equally safe installation is obtained.
(6) Where uplift may occur, panels shall be locked together vertically by pins or other equivalent suitable means.
(7) Drawings and specifications for all frame scaffolds over 125 feet in height above the base plates shall be designed by a Civil Engineer currently registered in California.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (a)(6) filed 8-3-76 as an emergency; effective upon filing (Register 76, No. 32).
3. Certificate of Compliance filed 10-8-76 (Register 76, No. 41).
4. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
5. Amendment of subsection (a)(5) filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
6. Amendment of subsections (a)(4) and (a)(5) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
7. Amendment of subsection (a)(7) filed 10-5-81; effective thirtieth day thereafter (Register 81, No. 41).
8. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
9. Amendment of subsection (a)(6) Exceptions filed 10-28-98; operative 11-27-98 (Register 98, No. 44).
10. Amendment of subsection (a)(6)(B) filed 2-28-2006; operative 3-30-2006 (Register 2006, No. 9).
§1645. Outrigger and Bracket Scaffolds.
Note     •     History

(a) Heavy Trades.
(1) Outrigger beams of outrigger scaffolds for use by bricklayers, stonemasons, or other heavy trades shall be made of “selected lumber,” or better. Those of the following sizes shall not project more than 6 feet beyond the outer support; shall be securely anchored and braced to prevent tipping or turning; and shall be spaced at centers of 7 feet 6 inches, or closer.
The inboard end of outrigger beams, measured from the fulcrum point to anchorage point, shall not be less than 1 1/2 times the outboard end in length. The fulcrum point of the beam shall rest on a secure bearing at least 6 inches square.
(2) On continuous scaffolds, where the beams may receive load from work platforms on each side, such beams shall not be less than 3 inches by 16 inches in cross section. For single scaffolds, consisting of a platform between 2 beams, the outrigger beams may have a smaller cross section, but not less than 3 inches by 12 inches. The platforms shall consist of planks, at least 2 inches by 10 inches, covering the full width of the projection. Planking shall be nailed or bolted or otherwise secured to outriggers.
The ends of the planks shall not project more than 18 inches beyond the outrigger, and not less than 6 inches, unless they are nailed in place. Every outrigger scaffold 7 1/2 feet or more in height shall be provided with a railing and toeboard. The top rail shall consist of double 2-inch by 4-inch members. One member shall be fastened in a flat position on top of the posts and the other member shall be fastened in an edge-up position to the inside of the posts and at the side of the top rail.
Additional protection in the form of screen enclosing the opening between rail and toeboard shall be provided if material on the scaffold is piled higher than the toeboard.
(3) Where additional working levels are required to be supported by the outrigger method, the plans and specifications of the outrigger and scaffolding structure shall be prepared by a Civil Engineer currently registered in California.
(b) Figure Four or Light Outrigger Scaffolds. (See Plate B-22, Appendix.) Figure Four or light outrigger frames shall be spaced not more than 10 feet apart, and shall be constructed as follows from sound lumber:
The outrigger ledger shall consist of 2 pieces of 1-inch by 6-inch or heavier material nailed on opposite sides of the vertical and angle braces. Ledgers shall project not more than 3 feet 6 inches from the outside wall line and shall be substantially braced and secured to prevent tipping or turning. The knee or angle brace shall intersect the beam at least 3 feet from the wall at an angle of 45 degrees, and the lower end shall be nailed to a vertical brace near the point where it contacts the wall. The platform shall consist of 2 or more 2-inch by 10-inch planks, which shall be of such length that they extend at least 6 inches beyond ledgers at each end. Unsupported projecting ends of planks shall be limited to an overhang of 18 inches, or less.
Each wooden bracket shall be hooked over a well-secured and adequately strong supporting member.
Every Figure Four or light outrigger scaffold 7 1/2 feet or more in height shall be provided with a railing and toeboard. The top rail shall consist of double 2-inch by 4-inch members. One member shall be fastened in a flat position on top of the posts and the other member shall be fastened in an edge-up position to the inside of the posts and at the side of the top member.
(c) Stud Jacks. (See Plate B-40, Appendix.) Stud-jack scaffold supports shall have ledgers of at least 2-inch by 6-inch materials, or equal, not longer than 5 feet, and each jack shall attach to not less than 2 sound, adequately fastened, 2-inch by 4-inch wall studs of normal length. Stud-jack scaffolds shall not be used at elevations of 7 1/2 feet or higher above the ground, unless so designed that a substantial backrail may be easily attached.
(d) Bracket Scaffolds. The use of bracket scaffolds shall be permitted only when through-bolted to walls, with at least 5/8-inch diameter bolts; welded to steel tanks; secured with a metal stud attachment device; or, hooked over a well-secured and adequately strong supporting member.
Note: This Order does not prohibit the use of bracket scaffolds that are an integral part of movable form panels or similar construction. (See Plates B-20 and B-21, Appendix.)
All form scaffolds shall be designed and erected with a minimum safety factor of 4, computed on the basis of the maximum rated load; i.e., the total of all loads including the working load, the weight of the scaffold, and such other loads as may be reasonably anticipated.
(1) Spacing of brackets shall be such that they are not more than 10 feet apart horizontally.
(2) If brackets are secured to walers held by snap-tie or she-bolts, they must extend through both wall forms and be properly secured.
(3) Railings shall be installed on bracket scaffolds for all heights 7 1/2 feet or more above the ground.
(4) The platform shall consist of two or more 2-inch by 10-inch planks, laid closely together, and shall be of such length that they overlap the ledgers at each end by at least 6 inches. Unsupported projecting ends of planks shall be limited to an overhang of 18 inches or less.
(5) Wooden bracket form scaffolds shall be an integral part of the form panel and shall not be used to support loads exceeding 25 pounds per square foot, unless specifically designed for a heavier loading. Ledgers shall be made from 2-inch by 6-inch or heavier material and shall not project more than 3 feet 6 inches from the form panel. Uprights shall consist of 2-inch by 4-inch or heavier material. Scaffold planks shall be either nailed, wired or bolted to the ledgers. Planks shall overlap the ledgers at each end by at least 6 inches. Unsupported projecting ends of platform planks shall be limited to a maximum overhang of 18 inches. Ledgers shall not be spaced more than 8 feet on centers. (See Appendix Plate B-20.)
(6) Bracket scaffolds installed on metal tanks larger than 40 feet in diameter for the use of those engaged in tank erection operations, shall have platforms that are at least 30 inches wide, with the open ends and sides protected by a substantial railing, with midrail, which may be altered by the substitution of 3/8-inch wire rope for the top and middle rails. Platforms on 40-foot or smaller diameter tanks will be acceptable if not less than 24 inches in width, consisting normally of two 2-inch by 12-inch planks side by side, protected by railings as described above.
Note: For railing requirements, see Section 1620.
(e) Carpenters' Bracket Scaffolds. 
(1) The brackets shall consist of a triangular wood frame not less than 2 x 3 inches in cross section, or of metal of equivalent strength. Each member shall be properly fitted and securely joined.
(2) Each bracket shall be attached to the structure by means of one of the following:
(A) A bolt, no less than 5/8-inch in diameter, which shall extend through to the inside of the building wall;
(B) A metal stud attachment device;
(C) Welding to steel tanks;
(D) Hooking over a well-secured and adequately strong supporting member.
(3) The brackets shall be spaced no more than 10 feet apart.
(4) No more than two employees shall occupy any given 10 feet of a bracket scaffold at any one time. Tools and materials shall not exceed 75 pounds in addition to the occupancy.
(5) The platform shall consist of not less than two 2- x 10-inch nominal size planks extending not more than 18 inches or less than 6 inches beyond each end support.
Note: For railings see Section 1620.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (b) (Register 70, No. 48).
2. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1646. Tower Scaffolds and Rolling Scaffolds, Wood or Metal.
Note     •     History

(a) The minimum dimension of the base of any free-standing tower or rolling scaffold shall not be less than 1/3 the height of the scaffold unless such scaffold is securely guyed or tied. For restrictions when worker rides scaffold see paragraph (f) following.
(b) Construction and Erection.
(1) The uprights, ledgers, ribbons, braces, and splices shall be equivalent to the standards specified in other applicable Sections of these Orders. Railings are required if the platform is 7 1/2 feet or more above grade. Railings shall be installed in accordance with the provisions of Section 1644(a)(6).

Note: Toeboards or side screens may also be required. (See Section 1621.)
(2) The screw jack shall extend into its leg tube at least 1/3 its length, but in no case shall the exposed thread exceed 12 inches.
(3) The uprights (legs of rolling scaffolds) shall not exceed 24 inches without being braced according to the manufacturer's specifications.
(c) Wheels or casters of rolling scaffolds shall be provided with an effective locking device, and kept locked when workers are climbing or working on the scaffold. At least 2 of the 4 casters or wheels shall be a swivel type. All wheels or casters shall be properly designed for strength and dimension to support at least 4 times the maximum intended load.
(d) Joints of metal scaffolds shall be locked together with lock pins, bolts or equivalent fastening, including caster joints. Lock pins used must be of a locking type. 

Exception: Screw jacks and guardrail posts.
(e) Platform planks on rolling or tower scaffolds shall not project farther than 18 inches past supports at the edges of the scaffold. An effective method of preventing platform planks on rolling scaffolds from slipping off must be provided. The nailing of cleats of 1-inch material on the underside of each projecting end, or other equivalent means, will be acceptable. Platforms shall be tightly planked for the full width of the scaffold except for any necessary entrance openings.

Note: Refer to Orders 1621 and 1637(f) for regulations on required plank and platform sizes.
(f) Ladders. Ladders or other unstable objects shall not be placed on top of rolling scaffolds to gain greater height.
(g) Scaffolds on Vehicles. When scaffolds are built on motor trucks or vehicles, they must be rigidly attached to the truck or vehicle. The attachment must be made in a manner that will develop the full strength of the scaffold in resisting an overturning force.
(h) Trucks or vehicles that have scaffolds attached to them shall have a device in use whenever employees are on the scaffold that prevents swaying or listing of the platforms.
(i) Riding. Employees may ride on rolling scaffold moved by others below if the following conditions exist:
(1) The floor or surface is within 3 degrees of level, and free from pits, holes, or obstructions;
(2) The minimum dimension of the scaffold base, when ready for rolling, is at least 1/2 of the height. Outriggers, if used, shall be installed on both sides of staging;
(3) The wheels are equipped with rubber or similar resilient tires. For towers 50 feet or over, metal wheels may be used;
(4) The manual force used to move the scaffold shall be applied as close to the base as practicable, but not more than 5 feet (1.5 meters) above the supporting surface of the scaffold;
(5) Before a scaffold is moved, each employee on the scaffold shall be made aware of the move; and,
(6) No employee shall be on any part of the scaffold which extends outward beyond the wheels, casters, or other supports.
(j) Riding on a Self-Propelled Scaffold. One employee may ride on and move a rolling scaffold while on the platform without assistance from others below provided the following conditions are met:
(1) All of the provisions in subsection (i) of this Section shall be met, except that the scaffold need not be moved by others below;
(2) The scaffold platform shall not be more than 4 feet above the floor level;
(3) The working platform shall be no less than 20 inches in width with a maximum 1 inch space between platform planks;
(4) Wheels or casters of rolling scaffolds shall be provided with an effective locking device that is used in accordance with subsection (c) of this section; or rolling scaffolds shall be provided with an effective device that is used to prevent movement of the scaffold when workers are climbing or working on the scaffold; and,
(5) The use of power systems such as motor vehicles, add-on motors, or battery powered equipment to propel a rolling scaffold is prohibited.
(k) Training. Employees who ride on rolling scaffolds and employees that assist in moving employees riding on a rolling scaffold shall be trained in accordance with the requirements of this Section and with the requirements of the Construction Safety Orders, Section 1509 to recognize the hazards associated with riding on a rolling scaffold.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (b)(1) filed 8-3-76 as an emergency; effective upon filing (Register 76, No. 32).
3. Certificate of Compliance filed 10-8-76 (Register 76, No. 41).
4. Amendment of subsection (b) filed 9-5-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
5. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
6. Editorial correction of printing error in Note following subsection (b)(1) (Register 92, No. 24).
7. Relettering of former subsections (g)-(i) as subsections (f)-(h), relettering of former subsection (f) as new subsection (i), amendment of newly designated subsections (i)(1)-(3) and new subsections (i)(4)-(k) filed 7-31-2009; operative 8-30-2009 (Register 2009, No. 31).
8. Editorial correction redesignating subsection (i)(5)(b) as subsection (i)(5)(6) (Register 2010, No. 34).
§1647. Horse Scaffolds.
Note     •     History

(a) General. (1) Lumber for construction of scaffolded horses shall be of “selected lumber” grade.
Note: The lumber sizes specified are nominal sizes for which standard finished sizes may be substituted. (See Plate B-41, Appendix.)
(2) The members of horses used for scaffolds shall be securely nailed or bolted together, and well braced to prevent collapse.
(3) The distance between the bottoms of adjacent legs measured perpendicular to the ledger shall be approximately 1/2 the horse height.
(4) The shimming of horse ledgers to obtain added height is prohibited.
(5) Horses or parts which have become weak or defective shall not be used.
(6) When horse legs are extended by splicing, the joints must be butt-ended, and scabs not less than 18 inches long and of the same cross section as the leg shall be nailed on each side of the joint. As an alternative, new legs of adequate length may be installed, provided that they completely overlap the original legs and are well secured to them from top to bottom. Vertical extensions shall not be used to extend height of metal folding horses if the stability of the horse is impaired.
(7) When arranged in tiers, each horse shall be placed directly over the horse in the tier below.
(8) On all scaffolds arranged in tiers, the legs shall be nailed down or otherwise secured to the planks to prevent displacement or thrust and each tier shall be substantially cross braced.
(9) Railings meeting the requirements of Section 1620 shall be installed on all open sides and ends of work platforms 7 1/2 feet or more above the ground, floor or level underneath.
(b) Light Trades.
(1) Horses for light-trade scaffolds shall have top horizontal members or ledgers of 2-inch by 4-inch lumber or material of equivalent strength, if the distance between the leg connections is 4 feet or less. Ledgers of 2-inch by 6-inch lumber or material of equivalent strength are required if the distance between the leg connections is greater than 4 feet but does not exceed 8 feet.
If the distance between leg connections exceeds 8 feet, the ledger strength must be increased in proportion to the amount by which the 8-foot distance is exceeded.
(2) The legs of horses for light-trade scaffolds shall be 1-inch by 6-inch lumber or material of equivalent strength for horses not exceeding 4 feet in height and 2-inch by 4-inch lumber or material of equivalent strength for horses between 4 feet and 10 feet in height. Horse scaffolds shall not be constructed or arranged more than two tiers or 10 feet in height.
(c) Heavy Trades.
(1) Horses for heavy-trade scaffolds shall have top horizontal members or ledgers of 3-inch by 4-inch lumber or material of equivalent strength, if the distance between the leg connections is 4 feet or less. Ledgers of 2-inch by 6-inch lumber or material of equivalent strength are required if the distance between the leg connections is greater than 4 feet but does not exceed 8 feet. If the distance between leg connections exceeds 8 feet, the ledger strength must be increased in proportion to the amount by which the 8-foot distance is exceeded.
(2) The legs of horses for heavy-trade scaffolds shall be 1-inch by 8-inch lumber or material of equivalent strength, for horses not exceeding 4 feet in height, and 2-inch by 4-inch lumber or material of equivalent strength, for horses between 4 feet and 10 feet in height.
(d) Collapsible Types.
(1) Collapsible horses constructed of well-braced frames hinged at the top may be used in place of the specified rigid horses, if construction is such that equivalent strength is provided.
(2) Adjacent legs of a collapsible horse shall be connected near the bottom with securely attached chains, hinged brackets, or other suitable links to prevent the legs from spreading beyond the distance intended. The height of collapsible horse scaffolds shall not exceed 6 feet.
(e) Platforms.
(1) Scaffold platforms shall not be supported by single horses having a total height exceeding 10 feet. Tiered horse scaffolds shall be limited to 10 feet in height made from no more than 2 tiers of horses. All horse scaffolds shall be substantially constructed and braced both transversely and laterally.
(2) Platforms shall be not less than 20 inches wide for light trades, and 4 feet wide for bricklayers, stonemasons, stone cutters, or concrete workers. Platforms used primarily by bricklayers or stonemasons shall extend to within 5 inches of the building face upon which the work is being performed. A single 2-inch by 10-inch plank may be used for light trades work up to a height of 4 feet.
(3) Planks used for platforms shall not be less than 2 inches by 10 inches, and the distance between supports shall not exceed 10 feet for light trades and 7 feet 6 inches for heavy trades.
(4) For horse scaffolds up to a height of 6 feet, platform planks shall not be more than 2 inches apart. Platform planks on higher scaffolds shall be laid closely together. Planks shall be of such length that they overlap the supports at each end by at least 6 inches. A plank shall not overlap an unsupported end of another plank. Unsupported projecting ends of planks shall be limited to an overhang of 18 inches or less.
(5) Douglas fir plywood that is 3/4 inch thick or thicker may be used for platforms if the panels are 4 feet wide or wider and are supported on cross members at 4-foot or closer intervals for light trades and 2-foot intervals for heavy trades.
(6) Provide standard ladder or other safe, unobstructed means of access to all work platforms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (e) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. New subsection (a)(9) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1648. Ladder-Jack Scaffolds.
Note     •     History

(a) Ladder-jack scaffolds shall not be used when the platform is over 16 feet above the ground. Not more than two employees shall be allowed on a scaffold of this type. The ladders shall be secured against displacement. (See Plate B-34, Appendix.)
(b) The platform shall be at least 14 inches wide consisting of ladder staging, “structural plank” or equivalent, free from damage that affects the strength. The ladders shall not be placed over 16 feet center to center, and where the platform consists of a single-dressed 2-inch by 14-inch plank, the spacing shall not be greater than 12 feet. Both metal and wood platform planks shall overlap the bearing surface by at least 12 inches.
(c) Drop lines of at least 3/4-inch diameter Manila rope or other rope of equivalent diameter and strength shall hang from secure overhead anchorages where the working platform is 7 1/2 feet high or more. An independently anchored line shall be provided for and used by each employee in accordance with the provisions of Article 24 of the Construction Safety Orders.
(d) All ladders used in connection with ladder jack scaffolds shall be Type I, IA, or IAA duty rated ladders and shall be designed and constructed in accordance with the General Industry Safety Orders, Section 3276(c). Job-built ladders shall not be used for this purpose.

NOTE: See Section 3276(d) for portable ladder types, duty ratings and working loads.
(e) The ladder jack shall be so designed and constructed that it will bear on the side rails in addition to the ladder rungs, or if bearing on rungs only, the bearing area shall be at least 10 inches on each rung.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (b) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
4. Amendment of subsection (d), including new explanatory Note, filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
§1649. Float Scaffolds. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (a)(5) (Register 70, No. 48).
2. Amendment of subsection (a)(4) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Renumbering and amendment of Section 1649 to Section 1663 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1650. Needle-Beam Scaffold. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Renumbering and amendment of Section 1650 to Section 1664 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1651. Boatswains' Chairs. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Renumbering and amendment of Section 1651 to Section 1662 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1652. Staging Supported by Catenary or Horizontal Wire Ropes. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Section 1652 to Section 1666 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1653. Bricklayers' Square Scaffolds.
Note     •     History

(a) The squares shall not exceed 5 feet in width and 5 feet in height.
(b) Members shall be not less than those specified in the Schedule below: (See Plate B-32, Appendix) 

                                               Minimum Dimensions for 
                                   Bricklayers' Square Scaffold Members
 Members 	Dimensions
Ledgers or horizontal members	 2 x 6 in.
Legs	 2 x 6 in.
Braces at corners	 1 x 6 in.
Braces diagonally from center frame	 1 x 8 in.

(c) The squares shall be reinforced on both sides of each corner with 1- x 6-inch gusset pieces. They shall also have diagonal braces 1 x 8 inches on both sides running from center to center of each member, or other means to secure equivalent strength and rigidity.
(d) The squares shall be set not more than 5 feet apart for medium duty scaffolds, and not more than 8 feet apart for light duty scaffolds. Bracing, 1 x 8 inches, extending from the bottom of each square to the top of the next square, shall be provided on both front and rear sides of the scaffold.
(e) Platform planks shall be at least 2- x 10-inch nominal size. The ends of the planks shall overlap the ledgers of the squares and each plank shall be supported by not less than three squares.
(f) Bricklayers' square scaffolds shall not exceed three tiers in height and shall be so constructed and arranged that one square shall rest directly above the other. The upper tiers shall stand on a continuous row of planks laid across the next lower tier and be nailed down or otherwise secured to prevent displacement.
(g) Scaffolds shall be level and set upon a firm foundation.
(h) For guardrailing requirements see Section 1621.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (b) and new subsection (h) filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1654. Window Jack Scaffolds.
Note     •     History

(a) Window jack scaffolds shall be used only for the purpose of working at the window opening through which the jack is placed. (See Plate B-35)
(b) Window jacks shall not be used to support planks placed between one window jack and another or for other elements of scaffolding.
(c) Window jack scaffolds shall be provided with guardrails unless safety belts and lanyards are provided for and used by employees. (See Section 1670.)
(d) Not more than one employee shall occupy a window jack scaffold at any one time.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsections (a) and (c) filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1655. Pump Jack Scaffolds.
Note     •     History

(a) Pump jack scaffolds shall:
(1) Be limited to a maximum working load of 500 pounds; and
(2) Have a Safety Factor of at least four times the maximum intended load.
(3) The manufactured components shall not be loaded in excess of the manufacturer's recommended limits. (See Plate B-33, Appendix)
(b) Pump jack brackets, braces, and accessories shall be fabricated from metal plates and angles. Each pump jack bracket shall have two positive gripping mechanisms to prevent any failure or slippage.
(c) The platform bracket shall be fully decked and the planking secured. Planking, or equivalent, shall conform with Section 1637.
(1) When wood scaffold planks are used as platforms, poles used for pump jacks shall not be spaced more than 10 feet center to center. When fabricated platforms are used that fully comply with all other provisions of this Order, pole spacing may exceed 10 feet center to center.
(2) Poles shall not exceed 30 feet in height.
(3) Poles shall be secured to the work wall by rigid triangular bracing, or equivalent, at the bottom, top, and other points as necessary, to provide a maximum vertical spacing of not more than 10 feet between braces. Each brace shall be capable of supporting a minimum of 225 pounds tension or compression.
(4) For the pump jack bracket to pass bracing already installed, an extra brace shall be used approximately 4 feet above the one to be passed until the original brace is reinstalled.
(d) All poles shall bear on mud sill or other adequate firm foundations.
(e) Pole lumber shall be two 2 x 4's, of Douglas fir, or equivalent, straight-grained, clear, free of cross-grain, shakes, large loose or dead knots, and other defects which might impair strength.
(f) When poles are constructed of two continuous lengths, they shall be 2 x 4's, spiked together with the seam parallel to the bracket, and with 10d common nails, no more than 12 inches center to center, staggered uniformly from opposite outside edges.
(g) If 2 x 4's are spliced to make up the pole, the splices shall be so constructed as to develop the full strength of the member.
(h) Not more than two employees shall be permitted at one time upon a pump jack scaffold between any two supports.
(i) Pump jacks scaffolds shall be provided with standard guardrails as described in Article 16 but no guardrail is required when safety belts with lanyards are provided for and used by employees.
(j) When a work bench is used at an approximate height of 42 inches, the top guardrail may be eliminated, if the work bench is fully decked, the planking secured, and is capable of withstanding 200 pounds load in any direction.
(k) Employees shall not be permitted to use a work bench as a scaffold platform.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
Article 23. Suspended Scaffolds
§1658. Suspended Scaffolds--General.
Note     •     History

(a) Hoisting machines or winches that are a part of a suspended scaffold, and are used in raising or lowering that scaffold, shall be approved.
(b) All scaffolds shall be fastened or hung so as to avoid swaying from the building or structure. Window cleaners' anchors shall not be used for this purpose. Supporting cables shall be vertical for their entire length, unless otherwise designed by a currently registered civil engineer in California. The baskets of single-unit, power-driven suspended scaffolds shall not be swayed nor shall support cables be fixed to intermediate points to change the original paths of travel.
(c) Design. All scaffold members, including related parts and rigging, shall be of adequate strength to support intended loads to which they will be subjected, without exceeding stresses established by factors of safety specified in these Orders; or if no safety factors are given, those generally accepted by the engineering profession.
(d) Ladders shall not be used as scaffold platforms, even if a horizontal working surface has been placed over the rungs. Other Orders in this Article call for the use of stage ladders, planking, or specially designed platforms for such service.
(e) Supporting Ropes. Ropes supporting scaffolds shall have a factor of safety of at least 6. They shall be inspected on each job before being used to determine if they are unsafe because of damage, wear, chemical action or similar defects. The use of repaired wire rope as suspension rope is prohibited.
(f) Manila, or other fiber or synthetic ropes shall not be used to support scaffolds upon which workers are using welding or burning equipment of any type, sandblasting equipment, or any chemical substance which may damage the rope by chemical action if splashed or spilled on the rope. Wire rope is required for the above uses. Further, the wire shall be protected against burning or a welding arc to a height of 8 feet above the platform with a rubber hose or equivalent protection.
(g) Inspection. Suspended scaffolds that are in service shall be inspected by a qualified person daily and tested as frequently as is necessary in order to provide proper maintenance. Special attention shall be given to ropes and other rigging.
(h) Suspended scaffolds shall be hung so as to avoid overlap or possible interference with movement from a scaffold above or below.
(i) When suspended scaffolds are supported by a second wire rope, employees shall fasten their lanyards to the work platform trolley line or droplines hanging from secure overhead anchorages between each pair of hangers or falls. One line shall be provided for each employee. It shall be a continuous rope in good condition and free of imperfections, serious wear, or fraying.
(j) Outrigger beams used as supports for suspended scaffold shall be tied back or secured in place and placed in saddles or otherwise positively secured against the possibility of turning or twisting. The attachments on these beams for support of suspended loads shall consist of well-anchored L-hooks fitted with 1/2 inch shackle bolts, or equivalent. See Plate B-24, Appendix.
(1) The outrigger beams and supporting system shall be capable of safely sustaining 4 times the rated load of the platform or hoist whichever is greater.
(2) When a counterweight system is used, the counterweights shall consist of solid materials such as steel or concrete (See Plate B-39, Appendix) and the tiebacks shall be at least equivalent in strength to the suspension ropes and anchored securely.
(k) Unless otherwise designed by a currently registered civil engineer in California, each suspended stage or plank-type platform shall be supported at two or more places by rigging that receives its load from only that one platform. Thus, two or more suspended scaffolds, suspended stage, or plank type platforms shall not be combined into one by bridging the distance between them with planks or similar connecting platforms.
(l) Metal hangers for suspended scaffolds shall be made of mild steel or equivalent material, capable of sustaining 4 times the maximum rated load.
(m) Except where overhead protection is required and which would result in a greater hazard, employees working in single or two-point suspended scaffolds, shall be required to use safety belts and lanyards attached to independently anchored droplines.
(n) Where the use of independently anchored drop line is not possible, alternate safety measures shall be used.
(o) Railing. All scaffolds or staging referred to in this Article suspended more than 7 1/2 feet from the ground or floor below shall have a standard guardrail of 2-inch by 4-inch of selected structural grade lumber, free of knots or defects, not less than finished size of 1 7/8 inches by 3 1/2 inches, or of other equally rigid materials of equivalent strength. This railing shall be not less than 36 inches nor more than 42 inches above the platform with midrails attached at half the distance from the platform floor to the top rail. All wood members shall not contain any splices that fail to provide full strength and rigidity to the wood member. When railing is longer than 10 feet between stirrups, it shall have a vertical support near the midpoint of the span.
(p) Unattended Scaffold. When a suspended scaffold is left unattended in an elevated position, it shall be securely lashed to the building and be cleared of all tools, buckets, or other moveable materials.
(q) When employees on the scaffolds are exposed to the hazards of falling objects, overhead protection not more than 9 feet above the platform shall be installed.
(r) Hooks used as a part of rigging for scaffold support shall be closed or “moused” (See Plate C-4, Appendix).
(s) Where a single outrigger beam is used, the steel shackles or clevises with which the wire ropes are attached to the outrigger beams shall be placed directly over the hoisting machines.
(t) The free end of the suspension wire ropes shall be equipped with proper size thimbles and secured by splicing or other equivalent means. Where applicable, the running ends shall be securely attached to the hoisting machines and at least four turns of wire rope shall at all times remain on the drum.
(u) Multi-level platforms and suspended scaffolds with overhead protection shall be equipped with additional independent lines equivalent in strength to the suspension ropes to support the units if the primary suspension system fails. These additional independent lines shall be tied to a structural member other than the primary suspension member, capable of supporting the resulting suspended load imposed. (See Plate B-42, Appendix.)
(v) Gasoline-powered equipment and hoists shall not be located on suspension scaffolds.
(w) Devices whose sole function is to provide emergency escape and rescue shall not be used as working platforms. This provision does not preclude the use of systems which are designed to function both as suspension scaffolds and emergency systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7152, Labor Code. 
HISTORY

1. Editorial correction in subsection (i) (Register 70, No. 48).
2. Amendment of subsection (a) and (b) and new subsection (k) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment of subsection (c) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
4. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
5. Amendment of subsection (e) and new subsections (v) and (w) filed 4-6-2001; operative 5-6-2001 (Register 2001, No. 14).
6. Change without regulatory effect amending subsection (p) filed 11-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 47).
§1659. Bricklayers' or Masons' Suspended Scaffolds.
Note     •     History

Note: Stone setters' adjustable multiple-point suspended scaffolds shall also be constructed in accordance with this Order. See Plate B-26, Appendix.
(a) Each outrigger shall be equal in strength to at least a standard 7-inch, 15.3-pound steel at least 15 feet long. It shall not project more than 6 feet 6 inches beyond the bearing point and it shall be supported laterally at or near its fulcrum point. Where the overhang exceeds 6 feet 6 inches, thrustouts shall be composed of stronger beams or multiple beams and be installed under the supervision of a person who is capable of securing a safe installation. Outriggers shall be securely fastened to the structure by the equivalent of “U” bolts and anchor plates, washers, and nuts. All beams shall be set with their webs vertical, and they shall rest on wood bearing blocks. A stop bolt shall be placed at the outer end of the outrigger to prevent suspension rope from slipping off.
(b) The platform shall be suspended by wire ropes capable of supporting at least 6 times the intended load, properly secured to the outriggers and to each end of the bolster (putlog), or to hoisting machines.
(c) Bolsters not more than 4 1/2 feet long between supports may be of wood, provided they are equal in strength to 4-inch by 6-inch “selected lumber” grade, free from damage that affects the strength.
(d) The bolsters and outriggers shall be spaced not more than 8 feet center to center.
(e) Platform Width. The platform shall be not less than 4 feet wide and made of 2-inch by 10-inch or larger “selected lumber” laid closely together and adequately secured to prevent them from slipping, tipping, or collapsing.
(f) The scaffold shall be as close to the wall as reasonably possible, but not more than 6 inches from the wall.
(g) When employees are at work on the scaffold and an overhead hazard exists, overhead protection shall be provided on the scaffold, not more than 9 feet above the platform, consisting of 2-inch planking, or material of equivalent strength, laid tight, and extending not less than the width of the scaffold.
(h) The scaffold shall be capable of sustaining a working load of 50 pounds per square foot and shall not be loaded in excess of that figure.

Exception: When the scaffold is designed for loads in excess of 50 pounds per square foot by a Civil Engineer currently registered in California.
(i) The use of fiber rope is prohibited.
(j) Toeboards and side screens shall be installed in accordance with the applicable Sections of Article 16.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (a) (Register 70, No. 48).
2. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1660. Suspended Scaffolds for Loads of 425 Pounds or Less.
Note     •     History

(a) Only one employee for each fall or hanger shall be allowed on this type of suspended scaffold. (See Plates B-24, B-26, B-26-a and B-27-a, Appendix). 

Exception: Single, power-driven units described in Section 1667.
(b) Stirrups or slings shall be made of wire rope of at least 9,000 pounds breaking strength, or of solid round or square mild steel (reinforcing steel shall not be used) not less than 3/4 inch dimension, forged or welded into one piece. Loops in wire rope slings for the use of bolsters shall be spliced. The top loop shall have a galvanized thimble fastened in place with a clip.
(c) Bolsters shall be 2-inch by 4-inch “selected lumber,” or stronger material, placed so that the 4-inch sides are vertical. An iron or steel bolt 6 inches long and 3/4 inch in diameter shall be fastened through wooden bolsters at right angles to same not nearer than 3 inches to the end to prevent sling from accidentally slipping off the end of bolster.
(d) Scaffold platforms shall be at least 14 inches wide. Planks of dressed 2-inch lumber shall consist of “structural plank” free from damage affecting its strength. Where platforms are composed of two 2-inch by 10-inch or two 2-inch by 12-inch dressed planks, side by side, they shall be firmly cleated together so as to act as a unit. Maximum platform width shall be 36 inches.
(e) The span between hangers or falls shall not be more than 10 feet when the planks are composed of two 2-inch by 10-inch planks or more than 12 feet when composed of two 2-inch by 12-inch planks as permitted in Subsection 1660 (d). The span between hangers or falls when being used with patented-type planks shall not exceed the manufacturer's specifications. The platform shall not extend beyond the hangers more than 18 inches. A bar or other effective means shall be securely fastened at each end of the platform to prevent it from slipping off the hanger.
(f) Ladder-Type and Needle Beam-Type Platforms.
(1) Platforms placed in service after April 18, 1999 shall comply with the American National Standard (ANSI) Scaffolding-Safety Requirements, A10.8-1988, which is hereby incorporated by reference. Platforms placed in service on or before April 18, 1999 shall comply with ANSI A10.8-1977, Safety Requirements for Scaffolding, which is hereby incorporated by reference.
(2) Light metal-type platforms shall be approved.
(g) Each employee shall be provided with and use personal fall protection in accordance with the requirements of Article 24. Lanyards shall be securely attached to substantial members of the structure (not scaffold), or to securely rigged lines, which will safely suspend the employee in case of a fall. In order to keep the lanyard continuously attached, with a minimum of slack, to a fixed structure, the attachment point of the lanyard shall be appropriately changed as the work progresses.
(h) Hooks supporting scaffolds or stagings shall be made of mild steel (reinforcing steel shall not be used), free from flaws or other imperfections. Each hook shall, if loaded to point of failure, be capable of supporting a load 4 times that to which it will be subjected in service. The expected load per hook in service shall include its share (normally half) of the total scaffold and rigging weight plus the total weight of employees and movable tools or equipment, which shall never be considered as less than 500 pounds. All hooks shall be provided with rings for tie-back ser--

vice. The ring should be fitted through a hole in the hook not more than 5 inches from the hook point. Hooks shall be kept clean at all times.
Each hook shall be tied back to a substantial object on the roof with at least a 3/4-inch diameter Manila rope or equivalent.
(i) Where the rope blocks supporting scaffolds or boatswains' chairs are not attached directly to hooks, the extension from the top block to the support shall be wire rope at least 1/2-inch in diameter, or equivalent, and sufficient protection shall be provided to prevent this wire rope from chafing.
The sheaves of all blocks, consisting of at least one double and one single block, shall fit the size and type of rope used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (k) (Register 70, No. 48).
2. Amendment of subsection (g) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
4. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
6. Amendment of subsection (g) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
7. Amendment of subsection (f)(1) filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
§1661. Suspended Scaffolds for Loads Between 425 and 1000 Pounds.
Note     •     History

(a) Suspended scaffolds providing all of the safety features required by Orders 1658 and 1660 may be used to support as much as 1,000 pounds if the platform and other components are designed and constructed to carry such a live load without exceeding allowable working stresses.
(b) Suspended scaffolds in this load range which are used by cement masons shall have platforms at least 24 inches wide.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1662. Boatswains' Chairs.
Note     •     History

(a) Persons shall be trained and/or experienced in the use of boatswains' chairs before being permitted to use such equipment.
(b) When a boatswains' chair is suspended over an area traversed by employees, pedestrians or vehicular traffic, the ground area immediately below shall be effectively blocked by barricades, or an attendant shall be stationed to keep the area clear. Warnings signs shall also be posted below.
(c) An employee using a boatswains' chair shall wear a safety belt with attached lanyard secured to a separate drop line or other means affording equivalent safety.
(d) Rope attachment to a block shall be by a thimble and splice.
(e) Hooks shall be provided with a means to prevent accidental disengagement or a shackle shall be used in place of a hook.
(f) Each double block of luff (or watch) tackle shall be branded or otherwise clearly marked so as to indicate the fully extended length in feet from block to block. A knot or splice shall be made in the end of the line to prevent it from running through the block.
(g) Thimbles shall not be used where the chair connects to the hook.
(h) Tackle shall consist of rope equivalent in strength to at least 5/8 inch rope of first grade Manila as well as properly-sized blocks.
(i) The chair shall be suspended from its four corners by means of rope slings. It shall have a seat not less than 24 inches long by 10 inches wide and, if of soft wood, 2 inches thick (1 1/8 inches if of oak or ash). It shall be reinforced across the full width by cleats securely fastened to each end. The seat may be constructed of material other than wood, provided the material used is equivalent in strength to 2 inches of soft wood or 1 1/8 inches of oak or ash. If constructed of material of equivalent strength, cleats across the full width of the seat shall be provided unless structural analysis indicates that they are not necessary. Other design and construction of equivalent safety and strength may be substituted.
(j) Boatswains' chairs with fiber rope slings shall not be used to support an employee with welding, burning torch, sandblasting equipment, or chemicals harmful to fiber rope. In such cases, the slings shall be at least 3/8 inch wire rope, or equivalent. Further, the wire rope shall be protected against burning or welding arc by covering with a rubber hose or other equally effective means. 

View Graphic
(k) Fiber rope seat slings shall be of 5/8 inch Manila rope, or equivalent, reeved through the four seat holes so as to cross each other on the underside of the seat.
(l) Boatswains' chairs, their supports and all accessories shall be capable of supporting, without failure, at least 4 times the maximum load.
(m) Parapet or cornice hooks or clamps used to support chairs shall be provided with rings for tie-back use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No.  6).
2. Amendment of subsection (b) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Renumbering and amendment of former Section 1662 to Section 1667, and renumbering and amendment of Section 1651 to Section 1662 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
4. Change without regulatory effect amending ``Moused Hook” graphic in subsection (j) filed 6-25-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
5. Change without regulatory effect repealing and adopting new illustration within subsection (j) filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
§1663. Float Scaffolds.
Note     •     History

(a) Scaffolds of this type are to support not more than three employees and light tools, such as those needed for riveting, bolting, and welding. They shall be constructed as follows, unless substitute designs and materials provide equivalent strength, stability, and safety (See B-38, Appendix).
(1) The platform shall be not less then 3 feet wide and 6 feet long, made of 3/4 inch plywood, equivalent to Douglas Fir Plywood Association Grade A-A Exterior.
(2) Under the platform, there shall be 2 supporting bearers made from 2-inch by 4-inch “selected lumber,” or better. They shall be free of knots or other flaws and project 6 inches beyond the platform on both sides. The ends of the platform shall extend about 6 inches beyond the outer edges of the bearers. Each bearer shall be fastened to the platform by at least two 1/2 inch-diameter bolts.
(3) An edging of wood not less than 3/4 inch by 1 1/2 inches, or equivalent, shall be placed around all sides of the platform to prevent tools from rolling off.
(4) Supporting ropes shall be 1-inch-diameter Manila rope, or equivalent, free from deterioration, chemical damage, flaws, or other imperfections. Rope connections shall be such that the platform cannot shift or slip. If two ropes are used with each float, they shall be arranged so as to provide four ends which are to be securely fastened to an overhead support. Each of the two supporting ropes shall be hitched around one end of a bearer and pass under the platforms to the other end of the bearer where it is hitched again, leaving sufficient rope at each end for the supporting ties.
(5) Each employee working from a float scaffold shall be provided with and use fall protection in accordance with the requirements of Article 24.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Renumbering and amendment of former Section 1663 to Section 1665, and renumbering and amendment of Section 1649 to Section 1663 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
3. Amendment of subsection (a)(5) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
§1664. Needle-Beam Scaffold.
Note     •     History

(a) Needle-beam scaffolds shall be designed with a factor of safety of at least 4, to support the loads to be imposed, but in no case shall the strength or quality be less than required by the following specifications. (See B-37, Appendix)
(1) Wood needle beams shall be not less than 4 inches by 6 inches in cross section, if the distance between supports does not exceed 10 feet. Larger beams are required for spans in excess of 10 feet, and in all cases they shall be placed with the greater dimension vertical. They shall be “selected lumber,” or equivalent, straight-grained, and free of knots or other defects. Other materials or types may be used if of equivalent strength and rigidity.
(2) Wood needle beams shall be made from one piece of material without splices or laminated joints. Laminated wood beams, manufactured of good quality, glued members, subjected to proper bonding pressure, may along with other materials be used if of equivalent strength.
(3) Wood needle beams shall not be painted in such a manner as to hide the grain structure. They may be coated with linseed oil or other transparent coating.
(4) Ropes used for the support of needle beams shall be not less than 1 1/4-inch diameter Manila rope, or equivalent, free from flaws, deterioration, chemical damage, or other imperfections. C-clamps or open hooks shall not be used for support of needle beams or needle-beam ropes.
(5) The ropes shall be attached to the needle beams by a scaffold hitch, or some other equally effective method, at a point not less than 1 foot from the end of the beam. Ropes shall be so secured to the beams or girders as to prevent tipping or slipping of either the beam or the scaffold. When the rope attachment is within 2 feet of beam end, bolt or cleat shall be attached or other means taken to prevent rope from coming off beam.
(6) Planks making up platforms on needle beams shall not be less than 2 inches by 10 inches and not have more than a 10 foot span. All planks shall be secured by suitable cleats or drop bolts to prevent slipping, tipping, or collapsing, with special attention for those planks that are on the beam overhang outside the rope attachment. When planks are in an inclined position of 5 percent or more, they shall be provided with cleats on the working surface at least 1 3/4 inches by 2 inches in cross section, spaced not more than 16 inches apart.
(7) Platforms used for riveting or other work requiring similar tools shall be not less than 36 inches wide when used on exterior of structures, and not less than 30 inches wide for interior work.
(8) Needle-beam platforms that are used for rivet heaters shall be not less than 6 feet wide and 10 feet long, with planks laid close together, and some provision shall be made to prevent materials or tools from rolling off edges.
(9) Where the supports for needle beams are fixed members rather than suspension ropes, positive means shall be taken to prevent the beams from turning or rotating to a position where the strength is reduced.
(10) All unattached tools, bolts, and nuts used on needle beam scaffolds shall be kept in suitable containers, properly secured.
(11) If one end of a needle beam scaffold platform rests on a permanent structural section, all applicable sections of this Article and Article 23 shall be observed.
(12) Each employee working on a needle beam scaffold shall be provided with and use personal fall protection in accordance with the requirements of Article 24 or by a safety net rigged as provided in Section 1671.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 1650 to Section 1664 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Amendment of subsection (a)(12) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
§1665. Interior Hung Scaffolds.
Note     •     History

(a) An interior hung scaffold shall be hung or suspended from the roof structure or ceiling beams.
(b) The suspension rope shall be wrapped at least twice around the supporting members and twice around the ledgers of the scaffold, with each end of the wire rope secured by at least three standard wire-rope clips properly installed.
(c) For hanging wood scaffolds, the following minimum nominal size material shall be used:
(1) Supporting ledgers 2 x 10 inches on edge;
(2) Planking 2 x 10 inches, with maximum span 7 feet for heavy duty and 10 feet for light duty or medium duty.
(d) Steel tube and coupler members may be used for hanging scaffolds with both types of scaffold designed to sustain a uniform distributed working load up to heavy duty scaffold loads with a safety factor of four.
(e) When a hanging scaffold is supported by means of wire rope, it shall be attached with a thimble to a 1/2-inch shackle or bolt of not less than 1/2-inch diameter. The shackle shall be secured by means of a stop bolt 4 inches from the end of the beam or ledger. Wire rope shall not be wrapped around either member. See Plate C-2, Appendix.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 1663 to Section 1665 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1666. Staging Supported by Catenary or Horizontal Wire Ropes.
Note     •     History

(a) Staging supported by wire rope shall have hook-shaped stops on each end of staging members so as to prevent them from slipping off the wire ropes. These hooks shall be so placed that they will also tend to prevent the staging members from falling if one wire rope breaks. Planks shall be at least 14 inches wide and consist of “structural plank” or the equivalent.
(b) Wire ropes shall not be tightened to the extent that the application of a scaffold load may overstress them.
Note: It is suggested that a hanger or set of falls be used every 50 feet to pick up the sag of the wire rope. Cables shall be continuous without splices between anchors.
(c) A safety factor of at least 6 shall be used in determining the size of wire rope to be used.
(d) The wire rope manufacturer's recommendations with respect to the number and spacing of clamps shall be followed. The clamps shall be placed with the “U” on the dead end. See Plate C-2, Appendix.
(e) Standard guardrail shall be installed to protect all open sides and ends of staging or safety nets shall be installed.
In lieu of guardrails or safety nets, safety belts and lanyards shall be used, provided the lanyard is tied off to the structure or to a separate cable for this purpose. (See Article 24 of the Construction Safety Orders.)
(f) A safe means of access and egress shall be provided to the stage at all times.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 1652 to Section 1666 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
§1667. Suspended, Power-Driven Scaffolds.
Note     •     History

Note: For additional details relating to exterior building maintenance and window cleaning operations see Articles 5 and 6 of the General Industry Safety Orders.
(a) Powered scaffold platforms, not required to be completely railed, such as those supported by 2 or more hoisting units, shall at least have a protective railing, or equivalent, on all open sides and ends. The railing shall be not less than 36 inches nor more than 42 inches high, and it shall be capable of supporting a 200-pound concentrated load without permanent deflection.
(b) Loading. The total load on any 1 power unit shall not exceed the rated working capacity. If a unit is to support 500 pounds or more, special attention shall be given in advance to eliminate the possibility that the staging, hooks, shackles, parapet walls, and other load-carrying items will be overstressed. The total allowable load on stage ladders of the type described in Section 1660(f) shall not exceed 425 pounds.
(c) Wire Rope. Powered scaffolds shall be supported by wire rope providing a safety factor of 6 or more. It shall be 6 by 19 or 6 by 37 hemp center construction or better, not less than 5/16 inch in diameter, or with a breaking strength of not less than 6,000 pounds.
(d) Platforms shall not be less than 20 inches wide and shall be provided with a guardrail as specified in Section 1658(o). Platforms shall be designed to support the loads to be imposed without exceeding allowable working stresses established by recognized engineering practice.
(e) Safety Devices for Electric-Powered Unit.
(1) Wiring. All wiring including supply cords shall conform to the Electrical Safety Orders.
(2) Electrical Devices. All electrical devices, such as control switches, shall conform to the Electrical Safety Orders.
(3) Load Release. A hand-operated release mechanism to allow unit to descend faster than normal speed is prohibited.
(f) Safety Devices for Air-Powered Unit.
(1) Control Valve. Control valve shall be a nonlocking dead-man-control type. A shutoff valve shall be installed ahead of the control valve for the purpose of shutting off air when employees leave the stage.
(2) Load Release. A hand-operated release mechanism to allow unit to descend faster than normal speed is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Section 1662 to Section 1667 filed 7-24-87; operative 8-2-87 (Register 87, No. 33).
Article 24. Fall Protection
§1669. General.
Note     •     History

(a) When work is performed from thrustouts or similar locations, such as trusses, beams, purlins, or plates of 4-inch nominal width, or greater, at elevations exceeding 15 feet above ground, water surface, or floor level below and where temporary guardrail protection is impracticable, employees shall be required to use approved personal fall protection system in accordance with Section 1670.
(b) When requirements in subsection (a) are impractical, approved safety nets shall be used in accordance with Section 1671.
(c) When the work is of short duration (i.e., non-repetitive) and limited exposure and the hazards involved in rigging and installing the safety devices required by this Article equals or exceeds the hazards involved in the actual construction, these provisions may be temporarily suspended, provided adequate risk control is recognized and maintained under immediate, competent supervision.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction in subsection (a) Note (Register 70, No. 48).
2. Amendment filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
3. Amendment of article heading and amendment of subsections (a) and (c) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
§1670. Personal Fall Arrest Systems, Personal Fall Restraint Systems and Positioning Devices.
Note     •     History

(a) Approved personal fall arrest, personal fall restraint or positioning systems shall be worn by those employees whose work exposes them to falling in excess of 7 1/2 feet from the perimeter of a structure, unprotected sides and edges, leading edges, through shaftways and openings, sloped roof surfaces steeper than 7:12, or other sloped surfaces steeper than 40 degrees not otherwise adequately protected under the provisions of these Orders.
Note: (1) Requirements relating to fall protection for employees working at elevated locations on poles, towers and other structures are provided in Section 2940.6(b) and (c) of the High Voltage Electrical Safety Orders. 

(2) Requirements relating to fall protection for employees working on poles, towers, or similar structures are provided in Section 8615(g) of the Telecommunications Safety Orders.

(3) Requirements relating to fall protection for employees working in roofing operations are provided in Section 1730 of the Construction Safety Orders.
(b) Personal fall arrest systems and their use shall comply with the provisions set forth below. Effective January 1, 1998, except as permitted in subsections (c) and (d), body belts shall not be used as part of a personal fall arrest system.
(1) On suspended scaffolds or similar work platforms with horizontal lifelines which may become vertical lifelines, the devices used to connect to a horizontal lifeline shall be capable of locking in both directions on the lifeline.
(2) Horizontal lifelines shall be designed, installed, and used, under the supervision of a qualified person, as part of a complete personal fall arrest system, which maintains a safety factor of at least two.
(3) Lanyards and vertical lifelines shall have a minimum breaking strength of 5,000 pounds.
(4) Except as provided in Section 1670(b)(5), when vertical lifelines are used, each employee shall be attached to a separate lifeline.
(5) During the construction of elevator shafts, two employees may be attached to the same lifeline in the hoistway, provided both employees are working atop a false car that is equipped with guardrails; the strength of the lifeline is 10,000 pounds [5,000 pounds per employee attached]; and all other criteria specified in this section for lifelines have been met.
(6) Lifelines shall be protected against being cut or abraded.
(7) Self-retracting lifelines and lanyards which automatically limit free fall distance to 2 feet or less shall be capable of sustaining a minimum tensile load of 3,000 pounds applied to the device with the lifeline or lanyard in the fully extended position.
(8) Self-retracting lifelines and lanyards which do not limit free fall distance to 2 feet or less, ripstitch lanyards, and tearing and deforming lanyards shall be capable of sustaining a minimum tensile load of 5,000 pounds applied to the device with the lifeline or lanyard in the fully extended position.
(9) Ropes and straps (webbing) used in lanyards, lifelines, and strength components of body belts and body harnesses shall be made from synthetic fibers except for when they are used in conjunction with hot work where the lanyard may be exposed to damage from heat or flame.
(10) Anchorages used for attachment of personal fall arrest equipment shall be independent of any anchorage being used to support or suspend platforms and capable of supporting at least 5,000 pounds per employee attached, or shall be designed, installed, and used as follows:
(A) as part of a complete personal fall arrest system which maintains a safety factor of at least two; and (B) under the supervision of a qualified person.
(11) Personal fall arrest systems, when stopping a fall, shall:
(A) limit maximum arresting force on an employee to 1,800 pounds when used with a body harness;
(B) be rigged such that an employee can neither free fall more than 6 feet, nor contact any lower level, and, where practicable, the anchor end of the lanyard shall be secured at a level not lower than the employee's waist;
(C) bring an employee to a complete stop and limit maximum deceleration distance an employee travels to 3.5 feet; and
(D) have sufficient strength to withstand twice the potential impact energy of an employee free falling a distance of 6 feet, or the free fall distance permitted by the system, whichever is less.
(12) The attachment point of the body belt shall be located in the center of the wearer's back. The attachment point of the body harness shall be located in the center of the wearer's back near shoulder level, or above the wearer's head.
(13) Body belts, harnesses, and components shall be used only for employee protection and not to hoist materials. Body belts used in conjunction with fall restraint systems or positioning devices shall limit the maximum arresting force on an employee to 900 pounds.
(14) The employer shall provide for prompt rescue of employees in the event of a fall or shall assure that employees are able to rescue themselves.
(15) Personal fall arrest systems shall be inspected prior to each use for wear, damage, and other deterioration, and defective components shall be removed from service.
(16) Body belts shall be at least one and five-eighths (1 5/8) inches wide.
(17) Personal fall arrest systems shall not be attached to hoists, except as specified in these Orders, nor shall they be attached to guardrails.
(18) When a personal fall arrest system is used at hoist areas, it shall be rigged to allow the movement of the employee only as far as the edge of the working level or working area.
(19) Each personal fall arrest system shall be inspected not less than twice annually by a competent person in accordance with the manufacturer's recommendations. The date of each inspection shall be documented.
(c) Positioning device systems.
Positioning device systems and their use shall conform to the following provisions:
(1) Positioning devices shall be rigged such that an employee cannot free fall more than 2 feet.
(2) Positioning device systems shall be inspected prior to each use for wear, damage, and other deterioration, and defective components shall be removed from service.
(3) The use of non-locking snaphooks shall be prohibited after January 1, 1998.
(4) Anchorage points for positioning device systems shall be capable of supporting two times the intended load or 3,000 pounds, whichever is greater.
(d) Personal fall restraint.
(1) Body belts or harnesses may be used for personal fall restraint.
(2) Body belts shall be at least one and five-eights (1-5/8) inches wide.
(3) Anchorage points used for fall restraint shall be capable of supporting 4 times the intended load.
(4) Restraint protection shall be rigged to allow the movement of employees only as far as the sides of the working level or working area.
(e) Lanyards shall be secured to a substantial member of the structure or to securely rigged lines.
(f) All fall arresting, descent control, and rescue equipment shall be approved as defined in Sections 1504 and 1505 and used in accordance with the manufacturer's recommendations.
(g) If an employee's duties require horizontal movement, rigging shall be provided so that the attached lanyard will slide along with the employee. Such rigging shall be provided for all suspended staging, outdoor advertising sign platforms, floats, and all other catwalks, or walkways 7 1/2 feet or more above the ground or level beneath.
Note: For additional fall protection requirements during steel erection operations, see Article 29.
(h) Any lanyard, safety belt, harness, dropline, lifeline or other component subjected to in-service loading, as distinguished from static load testing, shall be immediately removed from service and shall not be used again for employee safeguarding.
Note: For the purpose of this subsection, “in-service loading” shall mean loading equivalent to that received in a drop test.
(i) Lifelines and anchorages shall be capable of supporting a minimum dead weight of 5000 pounds. 

Exception: Retractable lanyards, controlled descent and rescue devices provided they are approved as defined in Sections 1504 and 1505.
(j) Lifelines subject to excessive fraying or rock damage shall be protected and shall have a wire rope center. Seriously worn or damaged rope shall be promptly removed from service.
(k) All safety belts, harnesses and lanyards placed in service or purchased on or before February 1, 1997, shall be labeled as meeting the requirements contained in ANSI A10.14-1975, Requirements for Safety Belts, Harnesses, Lanyards, Lifelines and Drop Lines for Construction and Industrial Use or be in compliance with the requirement stated in Subsection (l).
(l) All personal fall arrest, personal fall restraint and positioning device systems purchased or placed in service after February 1, 1997, shall be labeled as meeting the requirements contained in ANSI A10.14-1991 American National Standard for Construction and Demolition Use, or ANSI Z359.1-1992 American National Standard Safety Requirements for Personal Fall Arrest Systems, Subsystems and Components.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (d)-(h) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
4. Change without regulatory effect amending subsection (c) filed 3-26-93; operative 4-26-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 13).
5. Amendment of section heading and subsection (a), new subsections (b)-(d)(4), subsection relettering, and amendment of newly designated subsections (j), (k) and (l), and new subsection (m) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
6. Change without regulatory effect amending subsections (i), (j) and (l) filed 1-6-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
7. Amendment filed 11-21-2000; operative 12-21-2000 (Register 2000, No. 47).
8. Change without regulatory effect renumbering former subsections (c)(4) and (c)(5) to subsections (c)(3) and (c)(4) filed 1-17-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 3).
9. Change without regulatory effect renumbering former subsection (b)(20) to subsection (b)(19) filed 2-13-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
10. Amendment of subsection (b)(11)(B) filed 6-15-2005; operative 7-15-2005 (Register 2005, No. 24).
§1671. Safety Nets.
Note     •     History

(a) Where the elevation is 25 feet or more above the ground, water surface, or continuous floor level below, and when the use of personal fall arrest systems, personal fall restraint systems, positioning device systems or more conventional types of protection are clearly impractical, the exterior and/or interior perimeter of the structure shall be provided with an approved safety net extending at least 8 feet horizontally from such perimeter and being positioned at a distance not to exceed 10 feet vertically below where such hazards exist, or equivalent protection provided safety nets shall extend outward from the outermost projection of the work surface as follows:

Vertical distance from	Minimum required horizontal
working level to horizontal	distance of outer edge of net 
plane of net.	from the edge of working surface.

Up to 5 feet	8 feet
More than 5 feet up to 10 feet.	10 feet
More than 10 feet but not to exceed	13 feet
30 feet
Nets shall be hung with sufficient clearance to prevent user's contact with the surfaces or structures below. Such clearances shall be determined by impact load testing. 

Exception: See Section 1709(c) and 1710(k) and (l) for flooring requirements and nets for steel erection in tiered buildings and structures.
(b) Only one level of nets shall be required for bridge construction.
(c) Safety nets purchased on or after January 1, 1998 shall be labeled as meeting the requirements of American National Standards Institute (ANSI) A10.11-1989, American National Standard for Construction and Demolition Operations - Personnel and Debris Nets, Repair and Demolition Operations. Safety nets purchased before January 1, 1998 shall be labeled as meeting the requirements of ANSI A10.11-1979, Safety Nets Used During Construction, Repair and Demolition Operations, or ANSI A10.11-1989.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
3. Amendment of subsections (a) and (c) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
4. Change without regulatory effect amending subsection (c) filed 1-6-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
5. Amendment of Exception to subsection (a) filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
§1671.1. Fall Protection Plan.
Note     •     History

(a) This section applies to all construction operations when it can be shown that the use of conventional fall protection is impractical or creates a greater hazard.
(1) The fall protection plan shall be prepared by a qualified person and developed specifically for the site where the construction work is being performed and the plan must be maintained up to date. The plan shall document the identity of the qualified person.
Note: The employer need only develop a single site fall protection plan for sites where the construction operations are essentially identical.
(2) Any changes to the fall protection plan shall be approved by a qualified person. The identity of the qualified person shall be documented.
(3) A copy of the fall protection plan with all approved changes shall be maintained at the job site.
(4) The implementation of the fall protection plan shall be under the supervision of a competent person. The plan shall document the identity of the competent person.
(5) The fall protection plan shall document the reasons why the use of conventional fall protection systems (guardrails, personal fall arrest systems, or safety nets) are infeasible or why their use would create a greater hazard.
(6) The fall protection plan shall include a written discussion of other measures that will be taken to reduce or eliminate the fall hazard for workers who cannot be provided with protection provided by conventional fall protection systems. For example, the employer shall discuss the extent to which scaffolds, ladders, or vehicle mounted work platforms can be used to provide a safer working surface and thereby reduce the hazard of falling.
(7) The fall protection plan shall identify each location where conventional fall protection methods cannot be used. These locations shall then be classified as controlled access zones and the employer must comply with the criteria in Section 1671.2(a).
(8) Where no other alternative measure (i.e. scaffolds, ladders, vehicle mounted work platforms, etc.) has been implemented, the employer shall implement a safety monitoring system in conformance with Section 1671.2(b).
(9) The fall protection plan must include a statement which provides the name or other method of identification for each employee (i.e., job title) who is designated to work in controlled access zones. No other employees may enter controlled access zones.
(10) In the event an employee falls, or some other related, serious incident occurs (e.g., a near miss), the employer shall investigate the circumstances of the fall or other incident to determine if the fall protection plan needs to be changed (e.g., new practices, procedures, or training) and shall implement those changes to prevent similar types of falls or incidents.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
2. Editorial correction of subsection (a)(10) (Register 2006, No. 17).
§1671.2. Controlled Access Zones and Safety Monitoring Systems.
Note     •     History

(a) Controlled access zones.
(1) When used to control access to areas where leading edge and other operations are taking place, the controlled access zone shall be defined by a control line or by any other means that restricts access. Signs shall be posted to warn unauthorized employees to stay out of the controlled access zone.
(2) When control lines are used, they shall be erected not less than 6 feet nor more than 25 feet from the unprotected or leading edge, except when erecting precast concrete members.
(3) When erecting precast concrete members, the control line shall be erected not less than 6 feet nor more than 60 feet or half the length of the member being erected, whichever is less, from the leading edge.
(4) The control line shall extend along the entire length of the unprotected or leading edge and shall be approximately parallel to the unprotected or leading edge.
(5) The control line shall be connected on each side to a standard railing or wall, or securely anchored on each end.
(6) Control lines shall consist of ropes, wires, tapes, or equivalent materials, and supporting stanchions as follows:
(A) Each line shall be flagged or otherwise clearly marked at not more than 6-foot intervals with high-visibility material.
(B) Each line shall be rigged and supported in such a way that its lowest point (including sag) is not less than 39 inches from the working level/working area and its highest point is not more than 45 inches.
(C) Each line shall have a minimum breaking strength of 200 pounds.
(b) Safety monitoring systems.
(1) The employer shall designate a competent person to monitor the safety of other employees and the employer shall ensure that the safety monitor complies with the following requirements:
(A) The safety monitor shall be competent to recognize fall hazards;
(B) The safety monitor shall warn the employee when it appears that the employee is unaware of a fall hazard or is acting in an unsafe manner;
(C) The safety monitor shall be within visual sighting distance of the employee and shall always be in communication with the employee being monitored; and,
(D) The safety monitor shall not have other responsibilities which could take the monitor's attention from the monitoring function.
(2) No employee, other than an employee covered by a fall protection plan, shall be allowed in an area where an employee is being protected by a safety monitoring system.
(3) Each employee working in a controlled access zone shall be directed to comply promptly with fall hazard warnings from safety monitors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
2. Amendment of subsection (b)(1)(C), repealer of subsection (b)(1)(D) and subsection relettering filed 11-21-2000; operative 12-21-2000 (Register 2000, No. 47).
3. Amendment of subsection (b)(1)(C) filed 9-12-2002; operative 10-12-2002 (Register 2002, No. 37).
§1672. Tests. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Repealer filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
Article 25. Ladders
§1675. General.
Note     •     History

(a) General requirements. Except where either permanent or temporary stairways or suitable ramps or runways are provided, ladders described in this section shall be used to give safe access to all elevations.
(b) All portable ladders used in construction shall comply with the provisions of Section 3276 of the General Industry Safety Orders.
(c) All fixed ladders used in construction shall comply with the provisions of Sections 3277 and 3278 of the General Industry Safety Orders. 
(d) Single-rail ladders shall not be used. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. New subsections (m) and (n) filed 11-14-75; effective thirtieth day thereafter (Register 75; No. 46).
3. Amendment of subsection (h) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
4. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
5. Amendment of subsections (c) and (d) and new subsection (m) filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
6. Amendment of subsection (k) and new subsection (n) and explanatory Note filed 6-16-98; operative 7-16-98 (Register 98, No. 25).
7. Repealer of subsections (b)-(n), including repealer of explanatory Note, and new subsections (b)-(c) filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
8. Amendment of subsection (c) and new subsection (d) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§1676. Job-Made Ladders.
Note     •     History

(a) Job-made ladders shall be constructed for intended use. If a ladder is to provide the only means of access or exit from a working area for 25 or more employees, or simultaneous two-way traffic is expected, a double cleat ladder shall be installed.
Note: Cleats for job-made ladders are defined as crosspieces used by a person in ascending or descending a ladder. Cleats are also known as steps or rungs.
(b) Side rails, when of wood, shall be the equivalent of dressed Douglas fir “selected lumber”, free from sharp edges and splinters, and shall not have knots, except for an occasional one less than 1/2-inch in diameter that appears only on the wide face and is at least 1/2-inch back from either edge.
If splicing of side rails is necessary to attain the required length, the splice shall develop the full strength of a continuous side rail of the same length.
(c) Cleats of wood shall be clear, straight-grained and absolutely free from knots of any size that appear in the narrow face. Knots appearing in the wide faces of cleats shall not exceed a diameter of 1/4-inch. Cleats shall be uniformly spaced within 1/4-inch tolerance, and not farther apart than 12 inches measured from the tops of cleats. The clear space in the plane of the cleats between the top of any cleat and an obstruction above shall be at least 4 1/2 inches. 

Exception: The cleats of ladders used only by hod carriers and plaster tenders shall be uniformly spaced within 1/4-inch tolerance at not more than 9 inches measured from the tops of cleats.
(d) Double cleat ladders shall not exceed 24 feet in length.
(e) Single cleat ladders shall not exceed 30 feet in length between supports (base and top landing). If ladders are to connect different landings, or if the length required exceeds this maximum length, two or more separate ladders shall be used, offset with a platform between each ladder. Guardrails and toeboards shall be erected on the exposed sides of the platforms.
(f) The width of single cleat ladders shall be at least 15 inches, but not more than 20 inches, between rails at the top.
(g) Side rails shall be parallel or flared top to bottom by not more than one-quarter of an inch for each 2 feet of length.
(h) 2-inch by 4-inch lumber shall be used for side rails of single cleat ladders up to 16 feet long: 3-inch by 6-inch lumber shall be used for single cleat ladders from 16 to 30 feet in length.
(i) 2-inch by 4-inch lumber shall be used for side and middle rails of double cleat ladders up to 12 feet in length: 2-inch by 6-inch lumber for double cleat ladders from 12 to 24 feet in length. 
(j) Cleats shall be inset into the edges of the side rails one-half inch, or filler blocks shall be used on the rails between the cleats. The cleats shall be secured to each rail with three 10d common wire nails or other fasteners of equivalent strength. Cleats shall be uniformly spaced, 12 inches top-to-top. Double-head nails shall not be used for ladder construction. 
(k) Every portable ladder shall be of such material, size, and construction that it will safely carry the load to be placed thereon. Ladders which are customarily used for special purposes, such as those used for access to and additional support for overhead platforms, ladder brackets, and ladder scaffolding, shall be of such design, material, and construction that they will support all normal loads which may be imposed upon them.
Note: It is recognized that the stresses in ladders are of a somewhat indeterminate nature and are difficult of analysis, but when the Division has determined that ladders may not safely carry the loads placed thereon, the Division may require that they be tested according to the following: The material, size, and construction of every portable ladder to be such that when placed at an angle obtained by moving the foot of the ladder out of the perpendicular a distance equal to 1/4 its length, it will support a vertical load of at least 200 pounds applied at the center of the middle step without imposing stresses in excess of the allowable working stresses of the material used in the ladder. The material, size, and construction of every fixed ladder to be such that it will support a vertical load of at least 200 pounds applied at the center of any step without imposing stresses in excess of the allowable safe working stresses of the materials used in the ladder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (c) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
4. Editorial correction of subsection (k) printing error (Register 86, No. 44).
5. Amendment of subsections (a)-(c) and repealer of subsection (l) filed 1-3-2000; operative 2-2-2000 (Register 2000, No. 1).  
§1677. Manufactured Ladders--Specifications and Fabrication. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of subsections (a) and (b) to Section 1676 (k) and (l), and repealer of subsection (c) filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
§1678. Extension Ladders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
2. Repealer filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
Article 26. Saws--Power [Repealed]

Note:  See General Industry Safety Orders Article 59 for regulations applying to woodworking machines.
HISTORY

1. Repealer of article 26 (sections 1680-1682) filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 40).
Article 27. Powder-Actuated Tools
§1684. Tool Design Requirements.
Note     •     History

(a) Only powder-actuated tools shall be used that:
(1) are approved for their intended use as defined in Section 1505 of these orders, or
(2) have California approval numbers. 

Exception: This article does not apply to devices designed for attaching objects to soft construction materials such as wood, plaster, tar, dry wallboard, or to stud welding equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 27 (Sections 1684-1692) and new Article 27 (Sections 1684-1692) filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31). For prior history, see Register 75, No. 2.
2. Repealer and new section filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
3. Amendment filed 4-22-98; operative 5-22-98 (Register 98, No. 17).
§1685. Operator and Instructor Qualifications.
Note     •     History

(a) Operator Qualifications.
(1) The employer shall ensure that only qualified persons who carry valid operator's cards for the tools used be permitted to operate powder-actuated tools. 

Exception:  A person who is receiving training may be permitted to operate a powder-actuated tool when under the direct supervision of a qualified instructor.
(2) The operators' cards shall be issued either by qualified instructors who carry a valid, authorized instructor(s) card(s) issued by the tool manufacturer(s) or by persons acceptable to the Division.
(b) Instructor Qualifications.
(1) Qualified instructors shall be trained in accordance with the training requirements established by either the tool manufacturer or by the Powder Actuated Tool Manufacturers Institute (PATMI).
(2) Instructors authorized by the Division shall certify in writing to the Division that they are knowledgeable in the use, maintenance and repair of the tool(s) that is (are) acceptable to the Division and that their instructions will cover applicable safety orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1686. Approvals. [Repealed]
History

HISTORY

1. Repealer filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1687. Container and Label Requirements.
Note     •     History

(a) A lockable container shall be provided and kept with each tool. The words “POWDER-ACTUATED TOOL” shall appear in plain sight on the outside of the container. The following notice shall be attached on the inside of the cover of the container: 
“WARNING-POWDER-ACTUATED TOOL TO BE USED ONLY BY A QUALIFIED OPERATOR AND TO BE KEPT UNDER LOCK AND KEY WHEN NOT IN USE.”
(b) Each tool shall be supplied with the following:
(1) Operator's instruction and service manual.
(2) Power load and fastener chart.
(3) Tool inspection and service record.
(4) Service tools and accessories.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1688. Pole Tool Assemblies.
Note     •     History

(a) Only approved pole tool assemblies shall be used by employees.
Note: See Appendix Plate C-37 for pole tool approval criteria.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1689. Maintenance and Storage.
Note     •     History

(a) The tool shall be serviced and inspected for worn or damaged parts at regular intervals as recommended by the tool manufacturer. Prior to the tool being put back into use, all worn or damaged parts shall be replaced by a qualified person. A record of this inspection and service shall be noted and dated on the tool inspection record.
(b) Instruction manuals, maintenance tools and accessories supplied with the tool shall be stored in the tool container when not in use.
(c) Powder-actuated tools and power loads shall be locked in a container and stored in a safe place when not in use and shall be accessible only to authorized personnel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1690. Limitations of Use.
Note     •     History

(a) The tool shall not be used in an explosive or flammable atmosphere.
(b) A loaded tool shall never be left unattended.
(c) Fasteners shall not be driven into very hard or brittle materials including, but not limited to, cast iron, glazed tile, hardened steel, glass block, natural rock, hollow tile or most brick.
(d) Fasteners shall not be driven into easily penetrated or thin materials or materials of questionable resistance unless backed by a material that will prevent the fastener from passing completely through the other side.
(e) Fasteners shall not be driven closer than 1/2 inch (13 mm) from the edge of steel except for specific applications recommended by the tool manufacturer.
(f) Fasteners shall not be driven closer than 3 inches (76 mm) from the unsupported edge of masonry materials except for specific applications recommended by the tool manufacturer.
(g) Fasteners shall not be driven into concrete unless material thickness is at least three times the fastener shank penetration.
(h) Fasteners shall not be driven into any spalled area.
(i) Fasteners shall not be driven through existing holes unless a specific guide means, as recommended and supplied by the tool manufacturer, is used to assure positive alignment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
§1691. Operation.
Note     •     History

The employer shall require that:
(a) Tools be operated in accordance with the manufacturer's instructions. 

EXCEPTION: Loads and fasteners meeting Section 1691(f).
(b) Eye or face protection be worn by operators and assistants when the tool is in use.
(c) Prior to use, the operator inspect the tool to determine that it is in proper working condition in accordance with the testing methods recommended by the manufacturer of the tool.
(d) Any tool found not to be in working condition be immediately removed from service, tagged “DEFECTIVE” and not used until it has been repaired in accordance with the manufacturer's instructions.
(e) The shield, fixture, adapter, or accessory suited for the application as recommended and supplied by the manufacturer, be used.
(f) Only those fasteners and power loads recommended by the tool manufacturer for a particular tool, or those providing the same level of safety and performance, be used.
(g) Tools not be loaded until just prior to the intended firing time.
(h) If the work is interrupted after loading, then the tool shall be unloaded immediately.
(i) Neither loaded nor empty tools be pointed at any person.
(j) Hands and feet be kept clear of the open barrel end.
(k) The tool always be held perpendicular to the work surface when fastening into any material, except for specific applications recommended by the tool manufacturer.
(l) In the event of a misfire, the operator hold the tool firmly against the work surface for a period of 30 seconds and then follow the instructions set forth in the manufacturer's instructions.
(m) Power loads of different power levels and types be kept in separate compartments or containers.
(n) A sign at least 8 x 10 inches (20 x 25 cm), using boldface type no less than 1-inch (2.5 cm) in height, be conspicuously posted within 50 feet (15 m) of the area where the tools are being used. The sign shall bear wording similar to the following: 

CAUTION
POWDER-ACTUATED TOOL IN USE
Note: Caution signs shall meet the requirements of Section 3340.
(o) Signs be removed promptly when no longer applicable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 5-8-78 as procedural and organizational; effective upon filing (Register 78, No. 18).
2. Amendment filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
3. Amendment of subsection (n) Note filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
§1692. Power Loads.
Note     •     History

(a) Identification of Cased Power Loads. Cased power loads shall be coded to identify power load levels by case color and power load color as specified in Table 1.
(b) Identification of Caseless Power Loads. Caseless power loads shall be coded to identify power load levels by power load color as specified in Table 1 and by configuration.
(c) Power Load Use Limitation. No power load (cased or caseless) shall be used if it will properly chamber in any existing commercially available tool and will cause a fastener to have a test velocity in excess of the maximum test velocities specified for the tool.
(d) Identification of Power Load Packages. Power load packages shall provide a visual number-color indication of the power level of the power load as specified in Table 1. 

Table 1 
Power Load Identification

		Nominal	Nominal
Power 	                     Color Identification	                       	Velocity	Velocity
Level	Case Color	Load Color	(± 45'/s)	(± 14m/s)

	1	Brass	Gray	300	90
	2	Brass	Brown	390	120
	3	Brass	Green 	480	145
	4	Brass	Yellow	570	175
	5	Brass	Red 	660	200
	6	Brass	Purple	750	230
	7	Nickel	Gray 	840	255
	8	Nickel	Brown	930	285
	9	Nickel	Green 	1020	310
	10	Nickel	Yellow	 1110	340
	11	Nickel	Red	1200	365
	12	Nickel	Purple	1290	395
					
Note: The nominal velocity applies to a 3/8-inch (9 mm), 350-grain (113 carat) ballistic slug fired in a test device and has no reference to actual fastener velocity developed in any specific tool.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42).
Article 28. Miscellaneous Construction Tools and Equipment
§1693. Temporary Heating Devices.
Note     •     History

(a) Temporary heating devices shall be of an approved type.
(b) Ventilation.
Fresh air shall be supplied in sufficient quantities to maintain the health and safety of employees. Where natural means of fresh air supply is inadequate, mechanical ventilation shall be provided.
(c) Clearance and Mounting.
(1) Temporary heating devices shall be installed to provide clearance to combustible material not less than the amount in Table A.
(2) Temporary heating devices, which are listed for installation with lesser clearances than specified in Table A, may be installed in accordance with their approval. 

                                                        Table  A
			
		MINIMUM CLEARANCE
		                                (Inches)                     
Heating			Chimney
Appliances	Sides	Rear	Connector
			
Room heater, circulating type	 12	12	18
Room heater, radiant-type	 36	36	18
			
(3) Heaters not intended by the manufacturer for use on wood floors shall not be set directly upon them or other combustible materials. When such heaters are used, they shall rest on suitable heat insulating material or at least 1-inch concrete, or equivalent. The insulating material shall extend beyond the heater 2 feet or more in all directions.
(4) Heaters used in the vicinity of combustible tarpaulins, canvas, or similar coverings shall be located at least 10 feet from the coverings. All coverings shall be securely fastened so as to prevent action by the wind from displacing a loose covering and upsetting the heater or igniting the coverings.
(d) Stability. Heaters, when in use, shall be set horizontally level, unless otherwise permitted by the manufacturer's markings.
(e) Solid Fuel Salamanders.
Solid fuel salamanders are prohibited in buildings and on scaffolds.
(f) Oil-Fired Heaters.
(1) Flammable liquid-fired heaters shall be equipped with a primary safety control to stop the flow of fuel in the event of flame failure. Barometric or gravity oil feed shall not be considered a primary safety control.
(2) Heaters designed for barometric or gravity oil feed shall be used only with the integral tanks.
(3) Heaters specifically designed and approved for use with separate supply tanks may be directly connected for gravity feed, or an automatic pump, from a supply tank.
(g) Fire Protection.
At least a 4A:40-B:C rated fire extinguisher shall be readily available for use when temporary heating devices are used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of subsections (b)-(e) and (g) filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1694. Sideboom Cranes.
Note     •     History

(a) Sideboom cranes mounted on wheel or crawler tractors and manufactured prior to July 7, 2011 shall meet the requirements of SAE J 743 DEC80.
(b) Effective July 7, 2011 the provisions of this Article 15 apply, except Section 1610.5 (Ground conditions), Section 1615.1 (Safety devices), Section 1615.2 (Operational aids), and Section 1618.1 (Operator Qualification and Certification).
(c) Section 1616.5 (Free fall and controlled load lowering) applies, except Section 1615.5(a)(2)(A). Sideboom cranes in which the boom is designed to free fall (live boom) are permitted only if manufactured prior to July 7, 2011.
(d) Sideboom cranes mounted on wheel or crawler tractors shall meet all of the following requirements of ASME B30.14-2004 (incorporated by reference):
(1) Section 14-1.1 (“Load Ratings”).
(2) Section 14-1.3 (“Side Boom Tractor Travel”).
(3) Section 14-1.5 (“Ropes and Reeving Accessories”).
(4) Section 14-1.7.1 (“Booms”).
(5) Section 14-1.7.2 (“General Requirements - Exhaust Gases”).
(6) Section 14-1.7.3 (“General requirements -- Stabilizers (Wheel-Type Side Boom Tractors)”).
(7) Section 14-1.7.4 (“General Requirements -- Welded Construction”).
(8) Section 14-1.7.6 (“General Requirements -- Clutch and Brake Protection”).
(9) Section 14-2.2.2 (“Testing -- Rated Load Test”), except that it applies only to equipment that has been altered or modified.
(10) In section 14-3.1.2 (“Operator Qualifications”), paragraph (a), except the phrase “When required by law.”
(11) In section 14-3.1.3 (“Operating Practices”), paragraphs (e), (f)(1)-(f)(4), (f)(6), (f)(7), (h), and (i).
(12) In section 14-3.2.3 (“Moving the Load”), paragraphs (j), (l), and (m).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Amendment filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
3. Editorial correction of printing error (Register 89, No. 19).
4. Amendment filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§1695. Pneumatic Impact Tools. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1696. Portable Compressors.
Note     •     History

(a) When portable compressors on wheels stand unattached to other equipment, they shall be positively locked, blocked, or otherwise adequately prevented from rolling.
(b) Fans shall be guarded with a shroud or side screens.
(c) Compressed air tanks shall be drained of liquid as recommended by the manufacturer's specifications.
(d) Compressor safety valves shall be popped at least weekly.
(e) Compressed air tanks shall comply with all applicable safety orders of Article 3 of the Unfired Pressure Vessel Safety Orders, Title 8, California Code of Regulations, applying to tank design, safety devices and operating permits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment of subsection (c) filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
3. Change without regulatory effect amending subsection (e) filed 10-29-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
§1697. Weed Burner Pressure Hoses.
Note     •     History

The hose on weed-burning equipment shall be of a type designed to handle the pressure and solvents used. Water hose shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New note filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1698. Concrete and Masonry Equipment.
Note     •     History

(a) Concrete Mixers. Concrete mixers equipped with 1-yard, or larger, loading skips shall be provided with a device to clear the skip of material. Skip clearing shall not be done by a worker standing under or near a raised skip while striking it with a hand-held implement.
(b) On concrete mixers of 1 yard capacity, or larger, guardrails of pipe or similar material shall be provided on each side of the dangerous area under the raised skip.
(c) Bull float handles, which could come in contact with energized electrical conductors, shall be constructed of nonconductive material.
(d) Concrete troweling machines--of the powered, rotating-blade type--that are guided manually shall be equipped with a control or switch that will automatically shut off the power whenever the operator's hands are removed from the equipment handles.
(e) Mortar, Plaster or Fireproofing Mixers.
(1) Grid guards on mortar, plaster or fireproofing mixers of 1 yard capacity or smaller shall have a grid opening not to exceed 16 square inches with a minimum clearance of 5 inches from the top of the grid guard to the top of the mixing paddles.
(2) All mortar, plaster or fireproofing mixers of 1 yard capacity or smaller ordered or purchased after the effective date of this regulation shall be equipped with grid guards with an opening not to exceed 16 square inches with a minimum clearance of 5 inches from the top of the grid guard to the top of the mixing paddles.
(f) Tremies. Sections of tremies and similar concrete conveyances shall be secured with wire rope in addition to the regular couplings or connections.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) and new subsection (e) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 35).
2. New subsection (f) filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
3. Change without regulatory effect amending subsection (b) filed 6-22-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 26).
4. Repealer and new subsection (c) filed  10-21-99; operative 11-20-99 (Register 99, No. 43).
5. Amendment of subsections (e)(1) and (e)(2) filed 10-23-2001; operative 11-22-2001 (Register 2001, No. 43).
§1699. Hand Tools.
Note     •     History

(a) Tools having mushroomed heads, split or defective handles, worn parts, or other defects that impair their strength or render them unsafe for use shall be removed from service and shall not be reissued until the necessary repairs have been made.
(b) Tools not needed for the work to be done shall not be left on scaffolds, ladders, or overhead levels. When work is being performed overhead on scaffolds, ladders, or on other surfaces, positive methods shall be used to prevent tools from falling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New note filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1700. Application Equipment.
Note     •     History

When air hose, water hose, electric cable, or other equipment of this type is used on staging or other elevated locations by an employee, it shall be securely fastened to a substantial anchorage independent of the employee. The anchorage shall be at or near the working level, and the hose or other equipment shall be attached at a point no more than 15 feet from the working end.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1701. Hot Pipes and Hot Surfaces. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1702. Warning Signs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1703. Rigging Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1704. Pneumatically-Driven Nailers and Staplers.
Note     •     History

(a) Definitions. 
(1) Light-Duty Nailers and Staplers: Tools designed to only drive fasteners meeting both of these requirements: 
(A) Fasteners 1-inch nominal length or shorter. 
(B) Fasteners made from wire with cross sectional area less than 18 ASWG. 
(2) Mode of actuation: The use of a trigger, workpiece contact and/or other operating control, separately or in some combination or sequence, to actuate the tool. Modes of actuation include “bump fire” and sequential modes. 
(b) General. 
(1) All pneumatically-driven nailers and staplers shall have a safety device on the muzzle to prevent the tool from operating unless the muzzle is in contact with the work surface, to prevent accidental discharge.

Exception: Light-Duty Nailers and Staplers. 
(2) All pneumatically-driven nailers and staplers shall be operated and maintained in accordance with the manufacturer's operating and safety instructions. 
(3) Personal protective equipment shall be utilized in accordance with Construction Safety Orders Section 1514. 
(4) Operating controls shall not be removed, tampered with, altered, or otherwise disabled. 
(5) Pneumatically-driven nailers and staplers shall be connected to the air supply with a safety disconnect that consists of a spring loaded shut-off valve and a positive locking mechanism to prevent the tool from becoming accidentally disconnected. 
(6) Tools shall be equipped with a fitting that will discharge all compressed air in the tool at the time the fitting or hose coupling is disconnected. 
(c) Pneumatically-driven nailers and staplers shall be disconnected from the air supply at the tool when: 
(1) performing any maintenance or repair on the tool, or
(2) clearing a jam. 
(d) On roofs sloped steeper than 7:12 the air hose shall be secured at roof level in such a manner as to provide ample, but not excessive, amounts of hose.
(e) All pneumatic hoses exceeding 1/2-inch inside diameter shall have a safety device at the source of supply or branch line to reduce pressure in case of hose failure.
(f) The employer's written Code of Safe Practices shall include provisions for the use of pneumatically-driven nailers and staplers where applicable. 
(g) Training. 
(1) The requirements of this Section shall apply in addition to training required by Construction Safety Orders, Section 1509, and General Industry Safety Orders, Section 3203(a)(7). 
(2) Safety training shall be conducted prior to initial assignment to operate pneumatically-driven nailers or staplers. 
(3) Refresher training shall be provided to the operator when: 
(A) The operator has been observed using the pneumatically-driven nailer or stapler in an unsafe manner; or
(B) The operator has been involved in an accident. 
(4) Safety training shall include, but not be limited to, the following elements: 
(A) The employer's Code of Safe Practices for pneumatically-driven nailers or staplers. 
(B) The hazards related to each mode of actuation for pneumatically-driven nailers and staplers. 
(C) Hands-on training to verify that the operator understands the operating and safety instructions. 
(5) Training shall be conducted by a qualified person. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
2. Amendment filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
3. Amendment of section heading and section filed 10-31-2007; operative 11-30-2007 (Register 2007, No. 44).
§1705. Airless Spray Guns. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1706. LP-Gas Fired Space Heaters.
Note     •     History

(a) The floor areas immediately adjacent to where such heaters are used must be kept clean and clear of combustible materials.
(b) While a building is under construction or alteration and before occupancy, not more than 60 U. S. gallons of LP-Gas shall be permitted in any one room having a floor area of 2,000 square feet or less or in any floor area of 2,000 square feet in rooms having floor areas exceeding 2,000 square feet. Under all other conditions the provisions of Section 492 (a) of the Unfired Pressure Vessel Safety Orders shall apply.
The maximum water capacity of individual containers shall be 245 pounds (nominal 30 gallons LP-Gas).
(c) No cylinders or tanks of LP-Gas shall be filled or stored in any building under construction or renovation. The cylinders shall be removed from the building and into an area at least 10 feet from any building or source of ignition when being refilled.
Container safety relief devices and regulator relief vents shall be located at least 5 feet in any direction from air openings into sealed combustion system appliances or mechanical ventilation air intakes.
(d) The valves and connections on the cylinders shall be protected by a cap or collar during transportation, storage, and handling to prevent damage to the valves and fittings, and shall be protected from damage while in use.
(e) The cylinders shall be in a position to keep the safety valve in direct communication with the vapor space in the cylinder at all times.
(f) When in use, the LPG cylinder shall be installed so that the heat from the burner will not increase temperature of the tank more than 10 degrees Fahrenheit above that ambient at the installation after 1 hour of operation of the burner at full capacity. “In use” means connected for use.
(g) Means shall be provided to prevent the cylinders from being accidentally knocked over or upset. This can be done by chaining or securing each cylinder to a column or wall or by use of a stand.
Containers, regulating equipment, manifolds, pipe, tubing, and hose shall be located to minimize exposure to high temperatures or physical damage.
(h) Adequate ventilation close to the floor must be provided so any escaping or unburnt gas is dispersed.
(i) Heaters shall be equipped with a 100 percent safety pilot, have regulation stamped LP-Gas hose and LP-Gas pressure regulator, and be in safe working order.
Note: The fire department having jurisdiction in the area where LP-Gas is used in this service shall be notified before LP-Gas heaters are used.
(j) Heaters shall be equipped with an approved regulator in the supply line between the fuel cylinder and the heater unit. Cylinder connectors larger than 1/2 inch pipe size shall be provided with an excess flow valve to minimize the flow of gas in the event the fuel line becomes ruptured.
(k) Regulators and low-pressure relief devices shall be rigidly attached to the cylinder valves, cylinders, supporting standards, the building walls, or otherwise rigidly secured, and shall be so installed or protected that the elements (rain, sleet, snow or ice) will not affect their operation.
(1) Hose shall be designed for a working pressure of at least 250 p.s.i. Design, construction, and performance of hose, and hose connections shall have their suitability determined by listing by a nationally recognized testing agency. The hose length shall be as short as practicable. Hoses shall be long enough to permit compliance with spacing provisions without kinking or straining, or causing hose to be so close to a burner as to be damaged by heat. 
(m) For temporary heating, heaters (other than integral heater-container units) shall be located at least 6 feet from any LP-Gas container. This shall not prohibit the use of heaters specifically designed for attachment to the container or to a supporting standard, provided they are designed and installed so as to prevent direct or radiant heat application from the heater onto the containers. Blower and radiant type heaters shall not be directed toward any LP-Gas container within 20 feet.
(n) Container valves, connectors, regulators, manifolds, piping, and tubing shall not be used as structural supports for heaters.
(o) If two or more heater-container units, of either the integral or nonintegral type, are located in an unpartitioned area on the same floor, the container or containers of each unit shall be separated from the container or containers of any other unit by at least 20 feet.
(p) When heaters are connected to containers for use in an unpartitioned area on the same floor, the total water capacity of containers, manifolded together for connection to a heater or heaters, shall not be greater than 735 pounds (nominal 300 pounds LP-Gas capacity). Such manifolds shall be separated by at least 20 feet.
(q) The storage of containers awaiting use shall comply with Section 1706(r) and Unfired Pressure Vessel Safety Orders Section 492.
(r) Storage outside of buildings, for containers awaiting use, shall be located from the nearest building or group of buildings, in accordance with the following:

Quantity of LP-Gas stored: 	Distance
	(feet)
500 lbs	 0
501 to 6,000 lbs	 10
6,001 to 10,000	 20
Over 10,000 lbs	 25

(s) Containers shall be in a suitable ventilated enclosure or otherwise protected against tampering.
(t) Storage locations shall be provided with at least one approved portable fire extinguisher having a rating of not less than 30-BC.
(u) Any welding on containers on a construction site is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
2. Amendment of subsections (b), (c), (g), and (q) filed 1-13-87; effective thirtieth day thereafter (Register 87, No.4).
§1707. Power-Operated Hand Tools.
Note     •     History

(a) Electric Power-Operated Tools. The use of electric cords for hoisting or lowering tools shall not be permitted.
(b) Pneumatic Power Tools.
(1) All hose connections including that one at the tool shall be secured by some positive means to prevent accidental disconnection unless a suitable ball check device or equivalent is provided at the air source.
(2) The manufacturer's safe operating pressure for hoses, pipes, valves, filters, and other fittings shall not be exceeded.
(3) The use of hoses for hoisting or lowering tools shall not be permitted.
(c) Hydraulic Power Tools. The manufacturer's safe operating pressures for hoses, valves, pipes, filters, and other fittings shall not be exceeded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
2. Amendment filed 1-15-75 as an emergency; designated effective 2-6-75. Certificate of Compliance included (Register 75, No. 2).
3. Repealer and new section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
4. Amendment filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
5. Change without regulatory effect relettering former subsection (d) to subsection (c) (Register 87, No. 20).
§1708. Jacks--Lever and Ratchet, Screw, and Hydraulic. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-75; effective thirtieth day thereafter (Register 75, No. 2).
2. Amendment filed 1-15-75; designated effective 2-6-75. Certificate of Compliance included (Register 75, No. 2).
3. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
Article 29. Erection and Construction
§1709. General Requirements.
Note     •     History

(a) No building, structure, or part thereof, or any temporary support or scaffolding in connection therewith shall be subjected to any load beyond its design load strength, unless the employer determines, based on information received from a qualified person who is experienced in structural design, that the structure or portion of the structure is capable of safely supporting the load. For the purpose of this subsection, the design load strength refers to the load bearing capacity of a structural member(s) computed on the basis of the allowable stresses which are assumed in the design. 
(b) Bracing. 
(1) Trusses and beams shall be braced laterally and progressively during construction to prevent buckling or overturning. 
(2) The first member shall be plumbed, connected, braced and/or guyed against shifting before succeeding members are erected and secured to it. 
(3) The total system shall be adequately braced and stabilized to the foundation, to suitable anchors buried in the ground, or by other equivalent method(s). 
(4) Beams, trusses and other material being lifted and placed by cranes or other hoisting apparatus shall not be released from the crane or hoisting apparatus until the person detaching the load has verified that the load has been secured or supported to prevent inadvertent movement. 
(c) Wood Floor Construction. 
(1) In the erection of a building having double wood floor construction, the rough flooring shall be completed as the building progresses, including the tier below the one on which floor joists are being installed. 
(2) For single wood floor or other flooring systems, the floor immediately below the story where the floor joists are being installed shall be kept planked or decked over. 
(d) Erection Guide for Trusses and Beams Over 25 Feet Long. The employer shall provide an erection plan and procedure prepared by a civil engineer currently registered in California which shall be followed and kept available on the job site for inspection by the Division. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from section 1710 filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Editorial correction adding article heading (Register 91, No. 23).
4. Amendment of section heading, designation of first paragraph as subsection (a) and new subsections (b)-(d) filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
5. Amendment of subsection (a) filed 12-29-2010; operative 1-28-2011 (Register 2010, No. 53).
§1710. Structural Steel Erection.
Note     •     History

(a) Scope and application. 
(1) This section sets forth requirements to protect employees from the hazards associated with steel erection activities involved in the construction, alteration, and/or repair of single and multi-story buildings, bridges, and other structures where steel erection occurs. The requirements of this section apply to employers engaged in steel erection unless otherwise specified. 

Exception: This section does not cover electrical transmission towers, communication and broadcast towers, or tanks. 

NOTE: Additional requirements for work on steel framed structures are contained in Article 20, Section 1635(b) of these orders. 
(2) Steel erection activities include hoisting, connecting, welding, bolting, and rigging structural steel, steel joists and metal buildings; installing metal deck, siding systems, miscellaneous metals, ornamental iron and similar materials; and moving from point-to-point to perform these activities. 
(3) The duties of controlling contractors under this section include the duties specified in (c)(1) & (3), (f)(2)(B), (j)(2) and (o) of this section. 
(4) Effective date for the design component requirements of this section. This section contains a number of provisions that address the safety of certain structural components referred to as “component requirements.” The design component requirements contained in subsections, (e)(1)(A), (f)(1), (g)(4), (g)(5), (g)(6), (h)(1)(A)1., (h)(1)(G)1., (i)(2), and (i)(5) will not apply to the project if the project was permitted, or steel erection commenced prior to the effective date of May 1, 2002. 
(b) Definitions. 
“Anchored bridging” means that the steel joist bridging is connected to a bridging terminus point. 
“Bolted diagonal bridging” means diagonal bridging that is bolted to a steel joist or joists. 
“Bridging clip” means a device that is attached to the steel joist to allow the bolting of the bridging to the steel joist. 
“Bridging terminus point” means a wall, a beam, tandem joists (with all bridging installed and a horizontal truss in the plane of the top chord) or other element at an end or intermediate point(s) of a line of bridging that provides an anchor point for the steel joist bridging. 
“Cold forming” means the process of using press brakes, rolls, or other methods to shape steel into desired cross sections at room temperature. 
“Column” means a load-carrying vertical member that is part of the primary skeletal framing system. Columns do not include posts. 
“Connector” means an employee who, working with hoisting equipment, is placing and connecting beams or other structural members. 
“Constructibility” means the ability to erect structural steel members in accordance with Section 1710 without having to alter the over-all structural design. 
“Construction load” (for joist erection) means any load other than the weight of the employee(s), the joists and the bridging bundle. 
“Controlled Decking Zone (CDZ)” means an area established specifically for the initial placement and securing of metal decking where access to the area is restricted and work may take place without the use of a personal fall protection system when the provisions of Section 1710(n) are met. 
“Controlled load lowering” means lowering a load by means of a mechanical hoist drum device that allows a hoisted load to be lowered with maximum control using the gear train or hydraulic components of the hoist mechanism. Controlled load lowering requires the use of the hoist drive motor, rather than the load hoist brake, to lower the load. 
“Controlling contractor” means a prime contractor, general contractor, construction manager or any other legal entity which has the overall responsibility for the construction of the project -- its planning, quality and completion. 
“Critical lift” (used in Appendix C to Section 1710) means a lift that exceeds 75 percent of the rated capacity of the crane or derrick, or requires the use of more than one crane or derrick. 
“Derrick floor” (working floor) means an elevated floor of a building or structure that has been designated to receive hoisted pieces of steel prior to final placement. 
“Double connection” means an attachment method where the connection point is intended for two pieces of steel which share common bolts on either side of a central piece. 
“Double connection seat” means a structural attachment that, during the installation of a double connection, supports the first member while the second member is connected. 
“Erection bridging” means the bolted diagonal bridging that is required to be installed prior to releasing the hoisting cables from the steel joists. 
“Girt” (in systems-engineered metal buildings) means a “Z” or “C” shaped member formed from sheet steel spanning between primary framing and supporting wall material. 
“Metal decking” means a commercially manufactured, structural grade, cold rolled metal panel formed into a series of parallel ribs; for this section, this includes metal floor and roof decks, standing seam metal roofs, other metal roof systems and other products such as bar gratings, checker plate, expanded metal panels, and similar products. After installation and proper fastening, these decking materials serve a combination of functions including, but not limited to: a structural element designed in combination with the structure to resist, distribute and transfer loads, stiffen the structure and provide a diaphragm action; a walking/working surface; a form for concrete slabs; a support for roofing systems; and a finished floor or roof. 
“Multiple lift rigging” means rigging manufactured by rigging suppliers that facilitates the attachment of up to five independent loads to the hoist rigging of a crane. 
“Permanent floor” means a structurally completed floor at any level or elevation (including slab on grade). 
“Post” means a structural member with a longitudinal axis that is essentially vertical, that weighs 300 pounds or less and is axially loaded (a load presses down on the top end), or is not axially loaded, but is laterally restrained by the above member. Posts typically support stair landings, wall framing, mezzanines and other substructures. 
“Project structural engineer of record” means the registered, California licensed engineer responsible for the design of structural steel framing and whose seal appears on the structural contract documents. 
“Purlin” (in systems-engineered metal buildings) means a “Z” or “C” shaped member formed from sheet steel spanning between primary framing and supporting roof material. 
“Safety deck attachment” means an initial attachment that is used to secure an initially placed sheet of decking to keep proper alignment and bearing with structural support members. 
“Shear connector” means headed steel studs, steel bars, steel lugs, and similar devices which are attached to a structural member for the purpose of achieving composite action with concrete. 
“Steel erection” means the construction, alteration or repair of steel buildings, bridges and other structures, including the installation of metal decking and all planking used during the process of erection. 
“Steel joist” means an open web, secondary load-carrying member of 144 feet (43.9 m) or less, designed by the manufacturer, used for the support of floors and roofs. This does not include structural steel trusses or cold-formed joists. 
“Steel joist girder” means an open web, primary load-carrying member, designed by the manufacturer, used for the support of floors and roofs. This does not include structural steel trusses. 
“Steel truss” means an open web member designed of structural steel components by the project structural engineer of record. For the purposes of this section, a steel truss is considered equivalent to a solid web structural member. 
“Structural steel” means a steel member, or a member made of a substitute material. These members include, but are not limited to, steel joists, joist girders, purlins, columns, beams, trusses, splices, seats, metal decking, girts, and all bridging, and cold formed metal framing which is integrated with the structural steel framing of a building. 
“Systems-engineered metal building” means a metal, field-assembled building system consisting of framing, roof and wall coverings. Typically, many of these components are cold-formed shapes. These individual parts are fabricated in one or more manufacturing facilities and shipped to the job site for assembly into the final structure. The engineering design of the system is normally the responsibility of the systems-engineered metal building manufacturer. 
“Tank” means a container for holding gases, liquids or solids. 
(c) Site layout and construction sequence. 
(1) Approval to begin steel erection. Before authorizing the commencement of steel erection, the controlling contractor shall ensure that the steel erector is provided with the following written notifications: 
(A) The concrete in the footings, piers and walls and the mortar in the masonry piers and walls has attained, on the basis of an approved test method of field-cured samples (i.e. appropriate ASTM standard test method), either 75 percent of the intended minimum compressive design strength or sufficient strength to support the loads imposed during steel erection. 
(B) Any repairs, replacements and modifications to the anchor bolts were conducted in accordance with Section 1710(f)(2). 
(2) Commencement of steel erection. A steel erection contractor shall not erect steel unless it has received written notification that the concrete in the footings, piers and walls or the mortar in the masonry piers and walls has attained, on the basis of an approved test method of field-cured samples (i.e., appropriate ASTM standard test method), either 75 percent of the intended minimum compressive design strength or sufficient strength to support the loads imposed during steel erection. 
(3) Site layout. The controlling contractor shall ensure that the following is provided and maintained: 
(A) Adequate access roads into and through the site for the safe delivery and movement of derricks, cranes, trucks, other necessary equipment, and the material to be erected and means and methods for pedestrian and vehicular control. 

Exception: This requirement does not apply to roads outside of the construction site. 
(B) A firm, properly graded, drained area, adequately compacted to support the intended loads, readily accessible to the work with adequate space for the safe storage of materials and the safe operation of the erector's equipment. 
(4) Pre-planning of overhead hoisting operations. All hoisting operations in steel erection shall be pre-planned to ensure that the requirements of Section 1710(d)(1) are met. 
(5) Site-specific erection plan. Where employers elect, due to conditions specific to the site, to develop alternate means and methods that provide employee protection in accordance with Sections 1710(d)(9), 1710(h)(1)(C) or 1710(h)(5)(D), a site-specific erection plan shall be developed by a qualified person and be available at the work site. Guidelines for establishing a site-specific erection plan are contained in Appendix C of this section. 
(d) Hoisting and rigging. 
(1) Working under loads. 
(A) Routes for suspended loads shall be pre-planned to ensure that no employee is working below a suspended load except as necessary for: 
1. Connectors making the initial connection of the steel; or 
2. Riggers when hooking or unhooking of the load. 
(B) When working under suspended loads, the following criteria shall be met: 
1. Materials being hoisted shall be rigged to prevent unintentional displacement; 
2. Hooks with self-closing safety latches or their equivalent shall be used to prevent components from slipping out of the hook; and 
3. All loads shall be rigged by a qualified rigger. 
(2) Multiple Lift Rigging Procedure. 
(A) A multiple lift shall only be performed if the following criteria are met: 
1. A multiple lift rigging assembly is used; 
2. A maximum of five members are hoisted per lift; 
3. Rigging procedures shall prevent hazardous contact between the structural steel members being hoisted and adjacent structures or workers; 
4. Only beams and similar structural members are lifted; 
5. All employees engaged in the multiple lift have been trained in these procedures in accordance with Section 1710(q)(3)(A); and 
6. No crane is permitted to be used for a multiple lift where such use is contrary to the manufacturer's specifications and limitations. 
(B) Components of the multiple lift rigging assembly shall be specifically designed and assembled to support the maximum capacity for the total assembly and for each individual attachment point. This capacity, certified by the manufacturer, shall be based on the manufacturer's specifications with a 5 to 1 safety factor for all components. 
(C) The total load shall not exceed: 
1. 75 percent of the rated capacity of the hoisting equipment specified in the hoisting equipment load charts; 
2. The rigging capacity specified by the manufacturer. 
(D) The multiple lift rigging assembly shall be rigged with members: 
1. Attached at their center of gravity and maintained reasonably level; 
2. Rigged from top down; and 
3. Rigged at least 7 feet (2.1 m) apart. 
(E) The members on the multiple lift rigging assembly shall be set from the bottom up. 
(F) Controlled load lowering shall be used whenever the load is over the connectors. 
(3) Whenever there is any doubt as to safety, the crane or derrick operator shall have the authority to stop and refuse to handle loads until safety has been assured. 
(4) Metal decking bundles shall be landed on framing members so that enough support is provided to allow the bundles to be unbanded without dislodging the bundles from the supports. 
(5) Temporary loads placed on a derrick floor shall be distributed over the underlying support members so as to prevent local overloading of the deck material. 
(6) Bundle packaging and strapping shall not be used for hoisting unless specifically designed for that purpose. 
(7) If loose items such as dunnage, flashing, or other materials are placed on the top of metal decking bundles to be hoisted, such items shall be secured to the bundles. 
(8) Cranes or derricks may be used to hoist employees on a personnel platform when work under this section is being conducted, provided the provisions of General Industry Safety Orders, Section 5004 [except for subsection (c)] are met. 
(9) Safety latches on hooks shall not be deactivated or made inoperable except: 
(A) When a qualified rigger has determined that the hoisting and placing of purlins and single joists can be performed more safely by doing so; and 
(B) When the steel erector develops and implements a site-specific erection plan that ensures the load will not travel over or expose employees in other trades to the hazards of suspended loads. 

NOTE: Other applicable regulations pertaining to hoisting and rigging operations for the use of cranes and derricks in steel erection construction are contained in the General Industry Safety Orders, Group 13, Cranes and Other Hoisting Equipment. 
(e) Walking/working surfaces. 
(1) Shear connectors and other similar devices. 
(A) Tripping hazards. Shear connectors (such as headed steel studs, steel bars or steel lugs), reinforcing bars, deformed anchors or threaded studs shall not be attached to the top flanges of beams, joists or beam attachments so that they project vertically from or horizontally across the top flange of the member until after the metal decking, or other walking/working surface, has been installed. 
(B) Installation of shear connectors on composite floors, roofs and bridge decks. When shear connectors are used in construction of composite floors, roofs and bridge decks, employees shall lay out and install the shear connectors after the metal decking has been installed, using the metal decking as a working platform. 

NOTE: Section 1710(n)(8) prohibits the installation of shear connectors within a controlled decking zone. 
(f) Column anchorage. 
(1) General requirements for erection stability. 
(A) All columns shall be anchored by a minimum of 4 anchor rods (anchor bolts). 

Exception: When columns are braced or guyed to provide the stability to support an eccentric load as specified in subsection (f)(1)(B) of this section.
(B) Each column anchor rod (anchor bolt) assembly, including the column-to-base plate weld and the column foundation, shall be designed to resist a minimum eccentric gravity load of 300 pounds (136.2 kg) located 18 inches (.46m) from the extreme outer face of the column in each direction at the top of the column shaft. 
(C) Columns shall be set on level finished floors, pre-grouted leveling plates, leveling nuts, or shim packs which are adequate to transfer the construction loads. 
(D) All columns shall be evaluated by a competent person to determine whether guying or bracing is needed; if guying or bracing is needed, it shall be installed. 
(2) Repair, replacement or field modification of anchor rods (anchor bolts). 
(A) Anchor rods (anchor bolts) shall not be repaired, replaced or field-modified without the approval of the project structural engineer of record. 

NOTE: Minor adjustment of anchor rods (anchor bolts) that do not affect the structural integrity of anchor rods (anchor bolts) are not considered “repairs” for the purposes of this subsection. 
(B) Prior to the erection of a column, the controlling contractor shall provide written notification to the steel erector if there has been any repair, replacement or modification of the anchor rods (anchor bolts) of that column. 
(g) Beams and columns.
(1) During the final placing of solid web structural members, the load shall not be released from the hoisting line until the members are secured with at least two bolts per connection, of the same size and strength as shown in the erection drawings, drawn up wrench-tight or the equivalent as specified by the project structural engineer of record, except as specified in subsection (g)(3) of this section. 
(2) A competent person shall determine if more than two bolts are necessary to ensure the stability of cantilevered members; if additional bolts are needed, they shall be installed. 
(3) Diagonal bracing. Solid web structural members used as diagonal bracing shall be secured by at least one bolt per connection drawn up wrench-tight or the equivalent as specified by the project structural engineer of record. 
(4) Double connections at columns and/or at beam webs over a column. 
(A) When two structural members on opposite sides of a column web, or a beam web over a column, are connected sharing common connection holes, at least one bolt with its wrench-tight nut shall remain connected to the first member unless a shop-attached or field-attached seat or equivalent connection device is supplied with the member to secure the first member and prevent the column from being displaced (See Appendix B of this section for examples of equivalent connection devices). 
(B) If a seat or equivalent device is used, the seat (or device) shall be designed to support the load during the double connection process. It shall be adequately bolted or welded to both a supporting member and the first member before the nuts on the shared bolts are removed to make the double connection. 
(5) Column splices. Each column splice shall be designed to resist a minimum eccentric gravity load of 300 pounds (136.2 kg) located 18 inches (.46 m) from the extreme outer face of the column in each direction at the top of the column shaft. 
(6) Perimeter columns. Perimeter columns shall not be erected unless: 
(A) The perimeter columns extend a minimum of 48 inches (1.2 m) above the finished floor to permit installation of perimeter safety cables prior to erection of the next tier, except where constructibility does not allow. 
(B) The perimeter columns have holes or other devices in or attached to perimeter columns at 42-45 inches (107-114 cm) above the finished floor and the midpoint between the finished floor and the top cable to permit installation of perimeter safety cables (wire rope) required by subsection (l)(3) of this section, except where constructibility does not allow. 
(h) Open web steel joists. 
(1) General. 
(A) Except as provided in subsection (h)(1)(B) of this section, where steel joists are used and columns are not framed in at least two directions with solid web structural steel members, a steel joist shall be field-bolted at the column to provide lateral stability to the column during erection. For the installation of this joist: 
1. A vertical stabilizer plate shall be provided on each column for steel joists. The plate shall be a minimum of 6 inch by 6 inch (152 mm by 152 mm) and shall extend at least 3 inches (76 mm) below the bottom chord of the joist with a 13/16 inch (21 mm) hole to provide an attachment point for guying or plumbing cables. 
2. The bottom chords of steel joists at columns shall be stabilized to prevent rotation during erection. 
3. Hoisting cables shall not be released until the seat at each end of the steel joist is field-bolted, and each end of the bottom chord is restrained by the column stabilizer plate. 
(B) Where constructibility does not allow a steel joist to be installed at the column: 
1. An alternate means of stabilizing joists shall be installed on both sides near the column and shall: 
a. Provide stability equivalent to subsection (h)(1)(A) of this section; 
b. be designed by a qualified person; 
c. be shop installed; and 
d. be included in the erection drawings. 
2. Hoisting cables shall not be released until the seat at each end of the steel joist is field-bolted and the joist is stabilized. 
(C) Where steel joists at or near columns span more than 60 feet (18.3 m), the joists shall be set in tandem with all bridging installed unless an alternative method of erection, which provides equivalent stability to the steel joist, is designed by a qualified person and is included in the site-specific erection plan. 
(D) A steel joist or steel joist girder shall not be placed on any support structure unless such structure is stabilized. 
(E) When steel joist(s) are landed on a structure, they shall be secured to prevent unintentional displacement prior to installation. 
(F) No modification that affects the strength of a steel joist or steel joist girder shall be made without the approval of the project structural engineer of record. 
(G) Field-bolted joists. 
1. Except for steel joists that have been pre-assembled into panels, connections of individual steel joists to steel structures in bays of 40 feet (12.2 m) or more shall be fabricated to allow for field bolting during erection. 
2. These connections shall be field-bolted unless constructibility does not allow. 
(H) Steel joists and steel joist girders shall not be used as anchorage points for a fall arrest system unless written approval to do so is obtained from a qualified person. 
(I) A bridging terminus point shall be established before bridging is installed. (See Appendix A of this section.) 
(2) Attachment of steel joists and steel joist girders. 
(A) Each end of “K” series steel joists shall be attached to the support structure with a minimum of two 1/8-inch (3 mm) fillet welds 1 inch (25 mm) long or with two 1/2-inch (13 mm) bolts, or the equivalent. 
(B) Each end of “LH” and “DLH” series steel joists and steel joist girders shall be attached to the support structure with a minimum of two 1/4-inch (6 mm) fillet welds 2 inches (51 mm) long, or with two 3/4-inch (19 mm) bolts, or the equivalent. 
(C) Except as provided in subsection (h)(2)(D) of this section, each steel joist shall be attached to the support structure, at least at one end on both sides of the seat, immediately upon placement in the final erection position and before additional joists are placed. 
(D) Panels that have been pre-assembled from steel joists with bridging shall be attached to the structure at each corner before the hoisting cables are released. 
(3) Erection of steel joists. 
(A) Both sides of the seat of one end of each steel joist that requires bridging under Tables A and B shall be attached to the support structure before hoisting cables are released. 
(B) For joists over 60 feet, both ends of the joist shall be attached as specified in subsection (h)(2) of this section and the provisions of subsection (h)(4) of this section met before the hoisting cables are released. 
(C) On steel joists that do not require erection bridging under Tables A and B, only one employee shall be allowed on the joist until all bridging is installed and anchored. 
(D) Employees shall not be allowed on steel joists where the span of the steel joist is equal to or greater than the span shown in Tables A and B except in accordance with subsection (h)(4) of this section. 
(E) When permanent bridging terminus points cannot be used during erection, additional temporary bridging terminus points are required to provide stability. (See Appendix A of this section.) 

Table A.
Erection Bridging for Short Span Joists 

Joist 	Span -- Feet 
8K1		NM 
10K1		NM 
12K1 		23-0 
12K3 		NM 
12K5		NM 
14K1 		27-0 
14K3 		NM 
14K4 		NM
14K6 		NM 
16K2 		29-0 
16K3 		30-0 
16K4 		32-0 
16K5 		32-0 
16K6 		NM 
16K7 		NM 
16K9 		NM 
18K3 		31-0 
18K4 		32-0 
18K5 		33-0 
18K6 		35-0 
18K7 		NM 
18K9 		NM
18K10 		NM 
20K3 		32-0 
20K4 		34-0 
20K5 		34-0 
20K6 		36-0 
20K7 		39-0 
20K9 		39-0 
20K10 		NM 
22K4 		34-0 
22K5 		35-0 
22K6 		36-0 
22K7 		40-0 
22K9 		40-0 
22K10 		NM 
22K11		NM 
24K4 		36-0 
24K5 		38-0 
24K6 		39-0 
24K7 		43-0 
24K8 		43-0 
24K9 		44-0
24K10 		NM 
24K12 		NM
26K5 		38-0 
26K6 		39-0 
26K7 		43-0 
26K8 		44-0 
26K9 		44-0 
26K10		49-0 
26K12 		NM 
28K6 		40-0 
28K7 		43-0 
28K8 		44-0 
28K9 		45-0 
28K10 		49-0 
28K12 		53-0 
30K7 		44-0 
30K8 		45-0 
30K9 		45-0 
30K10		 50-0 
30K11 		52-0 
30K12 		54-0 
10KCS1 		NM 
10KCS2 		NM 
10KCS3 		NM 
12KCS1 		NM 
12KCS2 		NM 
12KCS3 		NM 
14KCS1 		NM 
14KCS2 		NM 
14KCS3 		NM 
16KCS2 		NM 
16KCS3 		NM 
16KCS4 		NM 
16KCS5 		NM 
18KCS2 		 35-0 
18KCS3 		NM 
18KCS4 		NM 
18KCS5 		NM 
20KCS2 		36-0 
20KCS3 		39-0 
20KCS4 		NM 
20KCS5 		NM 
22KCS2 		36-0 
22KCS3 		40-0 
22KCS4 		NM 
22KCS5 		NM 
24KCS2 		39-0 
24KCS3 		44-0 
24KCS4 		NM 
24KCS5 		NM 
26KCS2 		39-0 
26KCS3 		44-0 
26KCS4 		NM 
26KCS5 		NM 
28KCS2 		40-0 
28KCS3 		45-0 
28KCS4 		53-0 
28KCS5 		53-0 
30KCS3 		45-0 
30KCS4 		54-0 
30KCS5 		54-0 
NM=diagonal bolted bridging not mandatory. 

Table B.
Erection Bridging for Long Span Joists 

Joist	 Span - Feet 
18LH02 		33-0. 
18LH03 		NM. 
18LH04 		NM. 
18LH05 		NM. 
18LH06 		NM. 
18LH07 		NM. 
18LH08 		NM. 
18LH09 		NM. 
20LH02 		33-0. 
20LH03 		38-0. 
20LH04 		NM. 
20LH05 		NM. 
20LH06 		NM. 
20LH07 		NM. 
20LH08 		NM. 
20LH09 		NM. 
20LH10 		NM. 
24LH03 		35-0. 
24LH04 		39-0. 
24LH05 		40-0. 
24LH06 		45-0. 
24LH07 		NM. 
24LH08 		NM. 
24LH09 		NM. 
24LH10 		NM. 
24LH11 		NM. 
28LH05 		42-0. 
28LH06 		46-0. 
28LH07 		54-0 
28LH08 		54-0 
28LH09 		NM. 
28LH10 		NM. 
28LH11 		NM. 
28LH12 		NM. 
28LH13 		NM. 
32LH06 		47-0 through 60-0. 
32LH07 		47-0 through 60-0. 
32LH08 		55-0 through 60-0. 
32LH09 		NM through 60-0. 
32LH10 		NM through 60-0. 
32LH11 		NM through 60-0. 
32LH12 		NM through 60-0. 
32LH13 		NM through 60-0. 
32LH14 		NM through 60-0. 
32LH15 		NM through 60-0. 
36LH07 		47-0 through 60-0. 
36LH08 		47-0 through 60-0. 
36LH09 		57-0 through 60-0. 
36LH10 		NM through 60-0. 
36LH11 		NM through 60-0. 
36LH12 		NM through 60-0. 
36LH13 		NM through 60-0. 
36LH14 		NM through 60-0. 
36LH15 		NM through 60-0. 
NM = diagonal bolted bridging not mandatory. 
(4) Erection bridging. 
(A) Where the span of the steel joist is equal to or greater than the span shown in Tables A and B, the following shall apply: 
1. A row of bolted diagonal erection bridging shall be installed near the midspan of the steel joist; 
2. Hoisting cables shall not be released until this bolted diagonal erection bridging is installed and anchored; and 
3. No more than one employee shall be allowed on these spans until all other bridging is installed and anchored. 
(B) Where the span of the steel joist is over 60 feet (18.3 m) through 100 feet (30.5 m), the following shall apply: 
1. All rows of bridging shall be bolted diagonal bridging; 
2. Two rows of bolted diagonal erection bridging shall be installed near the third points of the steel joist; 
3. Hoisting cables shall not be released until this bolted diagonal erection bridging is installed and anchored; and 
4. No more than two employees shall be allowed on these spans until all other bridging is installed and anchored. 
(C) Where the span of the steel joist is over 100 feet (30.5 m) through 144 feet (43.9 m), the following shall apply: 
1. All rows of bridging shall be bolted diagonal bridging; 
2. Hoisting cables shall not be released until all bridging is installed and anchored; and 
3. No more than two employees shall be allowed on these spans until all bridging is installed and anchored. 
(D) For steel members spanning over 144 feet (43.9 m), the erection methods used shall be in accordance with subsection (g) of this section. 
(E) Where any steel joist specified in subsections (h)(3)(B) and (h)(4)(A), (h)(4)(B), and (h)(4)(C) of this section is a bottom chord bearing joist, a row of bolted diagonal bridging shall be provided near the support(s). This bridging shall be installed and anchored before the hoisting cable(s) is released. 
(F) When bolted diagonal erection bridging is required by this section, the following shall apply: 
1. The bridging shall be indicated on the erection drawing; 
2. The erection drawing shall be the exclusive indicator of the proper placement of this bridging; 
3. Shop-installed bridging clips, or functional equivalents, shall be used where the bridging bolts to the steel joists; 
4. When two pieces of bridging are attached to the steel joist by a common bolt, the nut that secures the first piece of bridging shall not be removed from the bolt for the attachment of the second; and 
5. Bridging attachments shall not protrude above the top chord of the steel joist. 
(5) Landing and placing loads. 
(A) During the construction period, the employer placing a load on steel joists shall ensure that the load is distributed so as not to exceed the carrying capacity of any steel joist. 
(B) Except for subsection (h)(5)(D) of this section, no construction loads are allowed on the steel joists until all bridging is installed and anchored and all joist-bearing ends are attached. 
(C) The weight of a bundle of joist bridging shall not exceed a total of 1,000 pounds (454 kg). A bundle of joist bridging shall be placed on a minimum of three steel joists that are secured at one end. The edge of the bridging bundle shall be positioned within 1 foot (.30 m) of the secured end. 
(D) No bundle of decking may be placed on steel joists until all bridging has been installed and anchored and all joist bearing ends attached, unless all of the following conditions are met: 
1. The employer has first determined from a qualified person and documented in a site-specific erection plan that the structure or portion of the structure is capable of supporting the load; 
2. The bundle of decking is placed on a minimum of three steel joists; 
3. The joists supporting the bundle of decking are attached at both ends; 
4. At least one row of bridging is installed and anchored; 
5. The total weight of the bundle of decking does not exceed 4,000 pounds (1816 kg); and 
6. The edge of the construction load shall be placed within 1 foot (.30 m) of the bearing surface of the joist end. 
(i) Systems-engineered metal buildings. 
(1) All of the requirements of this section apply to the erection of systems-engineered metal buildings except subsection (f) (column anchorage) and subsection (h) (open web steel joists). 
(2) Each structural column shall be anchored by a minimum of four anchor rods (anchor bolts). 
(3) Rigid frames shall have 50 percent of their bolts or the number of bolts specified by the manufacturer (whichever is greater) installed and tightened on both sides of the web adjacent to each flange before the hoisting equipment is released. 
(4) Construction loads shall not be placed on any structural steel framework unless such framework is safely bolted, welded or otherwise adequately secured. 
(5) In girt and eave strut-to-frame connections, when girts or eave struts share common connection holes, at least one bolt with its wrench-tight nut shall remain connected to the first member unless a manufacturer-supplied, field-attached seat or similar connection device is present to secure the first member so that the girt or eave strut is always secured against displacement. 
(6) Both ends of all steel joists or cold-formed joists shall be fully bolted and/or welded to the support structure before: 
(A) Releasing the hoisting cables; 
(B) Allowing an employee on the joists; or 
(C) Allowing any construction loads on the joists. 
(7) Purlins may only be used as a walking/working surface when installing safety systems, after all permanent bridging has been installed and fall protection is provided. 
(8) Construction loads may be placed only within a zone that is within 8 feet (2.5 m) of the center-line of the primary support member. 
(j) Falling object protection. 
(1) Securing loose items aloft. All materials, equipment, and tools, which are not in use while aloft, shall be secured against accidental displacement. 
(2) Protection from falling objects other than materials being hoisted. The controlling contractor shall bar other construction processes below steel erection unless overhead protection for the employees below is provided. 
(k) Permanent Flooring--Skeleton Steel Construction in Tiered Buildings.
(1) The permanent floors shall be installed as the erection of structural members progresses, and there shall be not more than eight stories between the erection floor and the uppermost permanent floor, except where the structural integrity is maintained as a result of the design.
(2) At no time shall there be more than four floors or 48 feet, whichever is less, of unfinished bolting or welding above the foundation or uppermost permanently secured floor, except where structural integrity is maintained as a result of the design.
(l) Temporary Flooring--Skeleton Steel Construction in Multistory Buildings.
(1) The derrick or erection floor shall be solidly planked or decked except for access openings. Planking or decking of equivalent strength, shall be of proper thickness to carry the working load. Planking shall be not less than 2 inches thick full size undressed, and shall be laid tight. Both planking and decking shall be secured. 
(2) On buildings or structures not adaptable to temporary floors, and where scaffolds or approved fall protection is not used, safety nets shall be installed and maintained whenever the potential fall distance exceeds two stories or 30 feet, whichever is less.
(3) The exposed edges of all temporary planked and metal decked floors at the periphery of the building, or at interior openings, such as stairways and elevator shafts shall be protected by a single 3/8-inch minimum diameter wire rope of 13,500 pounds minimum breaking strength located between 42 and 45 inches above design finish floor height. Other guardrail protection may be used if equal fall protection is provided. 

Note: If the periphery fall protection is intended to be used as a catenary line, it shall meet the provisions of Section 1710(m)(4).
(4) Midrail protection. 
(A) Midrail protection shall be installed as soon as the metal decking has been installed; and 
(B) Shall be installed prior to the decked area being used by trades other than the steel erector or decking crew. 
(5) Framed metal deck openings shall have structural members turned down to allow continuous deck installation except where not allowed by structural design constraints or constructibility. 
(6) Metal decking holes and openings shall not be cut until immediately prior to being permanently filled with the equipment or structure needed or intended to fulfill its specific use and which meets the strength requirements of Section 1632(b) of these orders, or shall be immediately covered. 
(7) Where skeleton steel is being erected, a tightly planked and substantial floor shall be maintained within two stories or 30 feet, whichever is less, below and directly under that portion of each tier of beams on which any work is being performed. 
Note: Where a planked floor is not practical, subsection (l)(2) of this section applies.
(A) When gathering and stacking temporary floor planks, the planks shall be removed successively, working toward the last panel of the temporary floor so that the work is always done from the planked floor.
(B) When gathering and stacking temporary floor planks from the last panel, the employees assigned to such work shall be protected by an approved personal fall protection system attached to a catenary line or other substantial anchorage.
(m) Working and Traveling on the Skeleton Steel of Multistory Buildings or Structures.
(1) Connecting.
(A) When connecting beams or other structural members at the periphery or interior of a building or structure where the fall distance is greater than two stories or 30 feet, whichever is less, iron workers shall be provided with and use a personal fall protection system as described in Article 24 tied-off to either columns, pendant lines secured at the tops of columns, catenary lines, or other secure anchorage points.
(B) At heights over 15 and up to 30 feet above a lower level, connectors shall be provided with a personal fall arrest system, positioning device system or fall restraint system and wear the equipment necessary to be able to be tied off; or be provided with other means of protection from fall hazards in accordance with subsection (m). 

NOTE: For fall protection requirements associated with work above reinforcing steel and similar projections, see Section 1712 of the Construction Safety Orders. 
(C) Shinning of Columns. 
1. When connecting beams or other structural members at columns the practice of shinning (vertically climbing up or down) columns to access workpoints shall be permitted where the fall distance does not exceed two stories or 30 feet, whichever is less. 
2. Where the fall distance exceeds two stories or 30 feet, whichever is less, iron workers shall be provided with and use a personal fall protection system as described in Article 24 tied-off to either columns, pendant lines secured at the tops of columns, catenary lines, or other secure anchorage points. 
(2) Work Other Than Connecting.
When performing any other work at a work point, iron workers shall be provided with and use personal fall protection as described in Article 24 where the fall distance is greater than 15 feet.
(3) Traveling at Periphery or Interior of Building.
(A) When moving from work point to work point or releasing slings, and the fall distance is greater than 30 feet or two stories, whichever is less, connectors:
1. Shall coon or walk the bottom flange (inside flange of peripheral beams); 
2. May walk the top surface of securely landed decking bundles; or 
3. May walk the top flange if they are tied-off to catenary lines or use other fall protection in accordance with Article 24. 
(B) When moving from work point to work point or releasing slings, and the fall distance is greater than 15 feet for other than connecting, iron workers:
1. Shall coon or walk the bottom flange (inside flange of peripheral beams);
2. May walk the top surface of securely landed decking bundles; or 
3. May walk the top flange if they are tied-off to catenary lines  or use other fall protection in accordance with Article 24. 
(4) Pendant lines, catenary lines and other lines used to secure workers shall be used in accordance with the Construction Safety Orders, Section 1670.
(5) If the procedure specified in subsection (m)(1) above is impractical, perimeter safety nets shall be installed at a distance of no more than 25 feet below the work surface and extend at least 8 feet beyond the perimeter of the building or structure. Nets shall meet the requirements set forth in accordance with Section 1671.
(n) Controlled Decking Zone (CDZ). A CDZ is an area established specifically for the initial placement and securing of metal decking where access to the area is restricted and work may take place without the use of a personal fall protection system. 
(1) A controlled decking zone is permitted only in that area of the structure over 15 feet and up to 30 feet above a lower level when it can be shown that the use of a personal fall protection system is impractical or creates a greater hazard. 
(2) The CDZ shall be limited to that area where metal decking is initially being installed and forms the leading edge work. 
(3) The implementation of a CDZ shall be under the supervision of a competent person. 
(4) The employer shall document the reasons why the use of conventional fall protection systems (guardrails, personal fall arrest systems, positioning device systems, fall restraint systems or safety nets) are infeasible or why their use would create a greater hazard. 
(A) The name or other method of identification for each employee (e.g., job title) who is designated to work in the CDZ must be documented. 
(B) The documentation required by this subsection shall be in writing and shall be available at the job site. 
(5) Where a CDZ is being used, the employer shall assure that a safety monitoring system is provided and shall designate a competent person to monitor the safety of employees within the CDZ. The safety monitor shall comply with the following requirements: 
(A) The safety monitor shall be competent to recognize fall hazards; 
(B) The safety monitor shall warn the employee when it appears that the employee is unaware of a fall hazard or is acting in an unsafe manner; 
(C) The safety monitor shall be within visual sighting distance of the employee; 
(D) The safety monitor shall be close enough to communicate orally with the employee; 
(E) The safety monitor shall not have other responsibilities which could take the monitor's attention from the monitoring function; and 
(F) The safety monitor shall not be located within the CDZ. 
(6) In each CDZ, the following shall apply: 
(A) Each employee working within a CDZ shall be protected from fall hazards greater than two stories or 30 feet, whichever is less, by the use of a personal fall protection system. 
(B) Access to a CDZ shall be limited to only those employees engaged in leading edge work. 
(C) The boundaries of a CDZ shall be designated and clearly marked. The CDZ shall be defined by a control line or by any equivalent means that restrict access. 
1. Control lines shall meet the requirements of Section 1671.2(a)(4) through (a)(6). 
2. When control lines or equivalent means are used, they shall be erected not less than 6 feet from the unprotected leading edge. 
3. The CDZ shall not be more than 90 feet wide and 90 feet deep from any leading edge. 
4. Signs meeting the requirements of the General Industry Safety Orders, Section 3340 shall be posted to warn unauthorized persons to stay out of the CDZ. 
(7) Safety deck attachments shall be performed in the CDZ from the leading edge back to the control line and shall have at least two attachments for each metal decking panel. The area of decking without completed safety deck attachments shall not exceed 3000 square feet. 
(8) Final deck attachments, installation of shear connectors, and flashing shall not be performed in the CDZ. 
(9) Where a CDZ is being used, the employer shall assure that each affected employee has been provided training in accordance with subsection (q)(3)(C) of this section. 
(o) Custody of guardrail systems. Wire rope or other guardrail protection provided by the steel erector shall remain in the area where steel erection activity has been completed, to be used by other trades, only if the controlling contractor or its authorized representative: 
(1) Has directed the steel erector to leave the wire rope or other guardrail protection in place; and 
(2) Has inspected and accepted control and responsibility of the wire rope or other guardrail protection prior to authorizing persons other than steel erectors to work in the area. 
(p) Smoke dome or skylight fixtures that have been installed, are not considered covers for the purpose of this section unless they meet the strength requirements of Section 1632(b) of these orders. 
(q) Training. 
The following provisions supplement the requirements of Section 1509 “Injury and Illness Prevention Program” regarding the hazards associated with structural steel erection. 
(1) Training personnel. Training required by this section shall be provided by a qualified person(s). 
(2) Fall hazard training. The employer shall provide a training program for all employees exposed to fall hazards. The program shall include training and instruction in the following areas: 
(A) The recognition and identification of fall hazards in the work area; 
(B) The use and operation of guardrail systems (including perimeter safety cable systems), personal fall arrest systems, positioning device systems, fall restraint systems, safety net systems, and other protection to be used; 
(C) The correct procedures for erecting, maintaining, disassembling, and inspecting the fall protection systems to be used; 
(D) The procedures to be followed to prevent falls to lower levels and through or into holes and openings in walking/working surfaces and walls; and 
(E) The fall protection requirements for structural steel erection. 
(3) Special training programs. In addition to the training required in subsections (q)(1) and (q)(2) of this section, the employer shall provide special training to employees engaged in the following activities. 
(A) Multiple lift rigging procedure. The employer shall ensure that each employee who performs multiple lift rigging has been provided training in the hazards associated with multiple lifts including the following areas: 
1. The proper inspection and removal of hoisting slings, eye-hooks and other rigging components used in multiple lift rigging. 
2. Procedures for determining the proper sling length for structural members. 
3. The use of rated load charts and capacities for manufactured rigging equipment. 
4. The design and use of manufactured rigging assemblies. 
5. Proper rigging techniques to maintain a distance of 7 feet between structural members being hoisted. 
6. Instruction that no more than 5 structural members can be hoisted per lift. 
7. Proper techniques for rigging structural members from the top down and setting structural members from the bottom up. 
8. Procedures and techniques for rigging structural members at the center of gravity. 
9. Procedures to ensure that no crane is used for multiple lifts that violates the crane manufacturer's specifications. 
10. Procedures to ensure that no load exceeds 75 percent of the rated capacity for the hoisting equipment as specified in the hoisting equipment load charts. 
11. The use of controlled load lowering on hoisting equipment used for multiple lifts. 
12. Procedures for performing multiple lifts that are site-specific. 
13. Procedures for preplanning overhead routes of suspended loads. 
(B) Connector procedures. The employer shall ensure that each connector has been provided training in the following areas: 
1. The nature of the hazards associated with connecting; and 
2. Shinning of columns, access, proper connecting techniques and work practices required by subsections (g)(4) and (m) of this section. 
(C) Controlled Decking Zone Procedures. Where CDZs are being used, the employer shall assure that each employee has been provided training in the following areas: 
1. The nature of the hazards associated with work within a controlled decking zone; and 
2. The establishment of CDZs, access, proper installation techniques and work practices required by subsection (n) of this section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7252, 7253, 7254, 7258, 7261, 7262 and 7266, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18). For prior history, see Register 76, No. 41.
2. Amendment of subsection (e)(1)(C) filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20).
3. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
4. New subsections (i)-(i)(2) filed 12-15-93; operative 1-14-94 (Register 93, No. 51).
5. Amendment of subsections (g)(1), (g)(2), (g)(3)(A)-(B) and (g)(5) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
6. Amendment of subsections (g)(1)-(2) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
7. New subsection (a)(4) filed 7-25-2001; operative 8-24-2001 (Register 2001, No. 30).
8. Amendment of section heading, section and Note and new Appendices A and B filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
9. Amendment of section and Appendix A heading and new Appendix C filed 7-3-2003; operative 8-2-2003 (Register 2003, No. 27).
10. Amendment of subsection (f)(1)(A) filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
11. Change without regulatory effect amending appendices A and B filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
12. Amendment of subsection (k)(2) filed 6-6-2008; operative 7-6-2008. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2008, No. 23).

Appendix A to Section 1710 -- Illustrations of Bridging Terminus Points: Non-mandatory Guidelines  for Complying with Sections 1710(h)(1)(J) and 1710(h)(3)(E).

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Horizontal Bridging Terminus at Wall

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Horizontal Bridging Terminus at Wall

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Horizontal Bridging Terminus at Panel Wall

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Horizontal Bridging Terminus at Structural Shape

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Horizontal Bridging Terminus at Structural 
Shape with Optimal “X-Bridging”

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Bolted Diagonal Bridging Terminus at Wall

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Bolted Diagonal Bridging Terminus at Wall

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Bolted Diagonal Bridging Terminus at Wall

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Joists Pair Bridging Terminus Point

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Joists Pair Bridging Terminus Point w/Horiz. Truss

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Horizontal Bridging Terminus Point Secured by Temp Guy Cables

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Diagonal Bridging Terminus Point Secured by Temp Guy Cables

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix B to Section 1710 -- Double Connections: Illustrations of a Clipped End Connection  and a Staggered Connection: Non-Mandatory Guidelines for Complying with Section 1710(g)(4).

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Clipped end connections are connection material on the end of a structural member which has a notch at the bottom and/or top to allow the bolt(s) of the first member placed on the opposite side of the central member to remain in place. The notch(es) fits around the nut or bolt head of the opposing member to allow the second member to be bolted up without removing the bolt(s) holding the first member.

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Staggered connections are connection material on a structural member in which all of the bolt holes in the common member web are not shared by the two incoming members in the final connection. The extra hole in the column web allows the erector to maintain at least a one bolt connection at all times while making the double connection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix C to Section 1710 -- Guidelines for Establishing the Components of a Site-Specific Erection Plan: Non-Mandatory Guidelines for Complying with Section 1710(c)(5)
(a) General. This appendix serves as a guideline to assist employers who elect to develop a site-specific erection plan in accordance with Section 1710(c)(5) with alternate means and methods to provide employee protection in accordance with Sections 1710(c)(5), 1710(d)(9), 1710(h)(1)(C) or Section 1710(h)(5)(D). 

NOTE: The development of a site-specific erection plan does not eliminate the mandatory requirement for an erection plan and procedure prepared by a civil engineer as required by Section 1709(d) when trusses or beams over 25 feet long are used.
(b) Development of a site-specific erection plan. Pre-construction conference(s) and site inspection(s) are held between the erector and the controlling contractor, and others such as the project engineer and fabricator before the start of steel erection. The purpose of such conference(s) is to develop and review the site-specific erection plan that will meet the requirements of this section. 
(c) Components of a site-specific erection plan. In developing a site-specific erection plan, a steel erector considers the following elements: 
(1) The sequence of erection activity, developed in coordination with the controlling contractor, that includes the following: 
(A) Material deliveries: 
(B) Material staging and storage; and 
(C) Coordination with other trades and construction activities. 
(2) A description of the crane and derrick selection and placement procedures, including the following: 
(A) Site preparation; 
(B) Path for overhead loads; and 
(C) Critical lifts, including rigging supplies and equipment. 
(3) A description of steel erection activities and procedures, including the following: 
(A) Stability considerations requiring temporary bracing and guying; 
(B) Erection bridging terminus point; 
(C) Anchor rod (anchor bolt) notifications regarding repair, replacement and modifications; 
(D) Columns and beams (including joists and purlins); 
(E) Connections; 
(F) Decking; and 
(G) Ornamental and miscellaneous iron. 
(4) A description of the fall protection procedures that will be used to comply with Section 1710(m). 
(5) A description of the procedures that will be used to comply with Section 1710(j). 
(6) A description of the special procedures required for hazardous non-routine tasks. 
(7) A certification for each employee who has received training for performing steel erection operations as required by Section 1710(q). 
(8) A list of the qualified and competent persons. 
(9) A description of the procedures that will be utilized in the event of rescue or emergency response. 
(d) Other plan information. The plan: 
(1) Includes the identification of the site and project; and 
(2) Is signed and dated by the qualified person(s) responsible for its preparation and modification. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§1711. Oiling Forms.
Note     •     History

The oiling of floor panels that are in place shall not be done until the carpentry work on the form has been completed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 1712 filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. New NOTE filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
§1712. Reinforcing Steel and Other Similar Projections.
Note     •     History

(a) Scope. This section applies to all work sites and locations where employees work around or over exposed, projecting, reinforcing steel or other similar projections.
(b) Definitions.
Job-Built. As used in this section, protective covers and troughs usually constructed at the job-site of wood or other materials of equal or greater strength and designed specifically for covering exposed ends of reinforcing steel or other similar projections at a specific job-site.
Protective Covers. Manufactured or job-built apparatus designed to cover exposed ends of reinforcing steel or other similar projections so as to prevent impalement.
Troughs. Manufactured or job-built protective covers designed to cover two or more exposed ends of reinforcing steel or other similar projections so as to prevent impalement, and which meet the applicable requirements in subsection (d).
(c) Protection from Reinforcing Steel and Other Similar Projections.
(1) Employees working at grade or at the same surface as exposed protruding reinforcing steel or other similar projections, shall be protected against the hazard of impalement by guarding all exposed ends that extend up to 6 feet above grade or other work surface, with protective covers, or troughs.
(2) Employees working above grade or any surface and exposed to protruding reinforcing steel or other similar projections shall be protected against the hazard of impalement. Protection shall be provided by:
(A) The use of guardrails, or
(B) Approved fall protection systems meeting the design requirements of Article 24, or
(C) Protective covers as specified in subsection (d).
(3) Protective covers shall not be used to protect against impalement where the maximum height of fall exposure, to the top of the protective cover, exceeds 7 1/2 feet, unless the protective covers meet the requirement of subsection (d)(4)(D).
(d) Protective Covers, Specifications, Testing and Approval.
(1) Protective covers shall be made of wood, plastic, or other materials of equal or greater strength.
(2) Protective covers shall have a minimum 4-inch by 4-inch square surface area, or if round, a minimum diameter of 4 1/2 inches.
(3) Manufactured protective covers shall meet the following requirements:
(A) Manufactured protective covers shall be approved as provided for in Section 1505 and be legibly marked with the manufacturer's name or logo.
(B) Manufactured protective covers made before October 1, 2000 shall, at the minimum, be capable of withstanding the impact of a 250-pound weight dropped from a height of 10 feet without penetration failure of the cover.
(C) Manufactured protective covers made on or after October 1, 2000 shall meet the testing requirements of Section 344.90.
(4) Job-built protective covers shall meet the following requirements:
(A) Job-built protective covers shall be designed as specified by an engineer currently registered in the State of California. A copy of the engineering drawing(s) depicting the job-built protective covers shall be kept at the worksite and made available to the Division upon request.

Exception: Job-built troughs as depicted in Appendix Plate C-25 may be used as a substitute for engineered or manufactured protective covers when employees are working at heights not greater than 6 feet above grade or other working surface.
(B) Job-built wood protective covers and troughs shall be constructed of at least “Standard Grade” Douglas Fir, as graded by either the Western Lumber Grading Rules 98, handbook, effective March 1, 1998, published by the Western Wood Products Association, or the Standard No. 17 Grading Rules for West Coast Lumber, handbook, effective September 1, 1991 and revised January 1, 2000, published by the West Coast Lumber Inspection Bureau, which are hereby incorporated by reference.
(C) Job-built protective covers, except for troughs as depicted in Appendix Plate C-25, shall, at the minimum, be capable of withstanding the impact of a 250-pound weight dropped from a height of 10 feet without penetration failure of the cover.
Note: The drop test requirement in subsection (d)(4)(C) applies to protective covers used to prevent employee impalement where the employee is exposed to fall heights of up to 7 1/2 feet.
(D) Drop test specifications for job-built protective covers listed in subsection (d)(4)(C) shall be modified where fall heights greater than 7 1/2 feet are anticipated, to ensure that the protective cover can withstand increased impact loading. 
(e) Fall Protection.
Employees shall not be permitted to place or tie reinforcing steel in walls, piers, columns, etc., more than 6 feet above an adjacent surface, unless a personal fall protection system is used in accordance with Section 1670 or other method affording equivalent protection from the hazard of falls from elevated surfaces.

Exception: Point-to-point horizontal or vertical travel on reinforcing steel up to 24 feet above the surface below providing there are no impalement hazards.
(f) Securing Reinforcing Steel.
(1) Reinforcing steel for walls, piers, columns, and similar vertical structures shall be guyed and supported to prevent collapse.
(A) Guys, supports, and braces shall be installed and removed as directed by a qualified person.
(2) Wire mesh rolls shall be secured to prevent dangerous recoiling action.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from section 1713 filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Amendment of subsection (a) and new subsections (b), (c) and (d) filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
3. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
5. Repealer of subsection (a) and adoption of subsections (a)-(d)(5), relettering and amendment of former subsection (b) to subsection (e), relettering of former subsection (c) to subsection (f), and relettering of former subsection (d) to subsection (g) filed 11-8-93; operative 12-8-93 (Register 93, No. 46).
6. Amendment of subsection (e) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
7. Amendment of section heading and section filed 2-3-2004; operative 3-4-2004 (Register 2004, No. 6).
§1713. Framing and Concrete Forms.
Note     •     History

(a) Framed panels for structures shall be securely anchored, guyed, or braced to prevent them from falling.
(b) Form panels for concrete structures shall be securely anchored, guyed, or braced to prevent them from falling or collapsing.
(1) Panels exceeding 500 pounds shall have lifting attachments with a safety factor of 4.
(2) Nailed lifting attachments shall not be used.
(c) Reinforcing steel shall not be used as guy attachments.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from section 1714 filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Amendment of section heading filed 1-16-92; operative 2-17-92 (Register 92, No. 12).
§1714. Hoisting and Erecting Precast, Prefabricated Concrete Construction (Other Than Tilt-Up Panels).
Note     •     History

(a) An erection plan and procedure shall be prepared by, or under the direction of, a civil engineer currently registered in California (hereinafter referred to as the responsible engineer).
(1) The erection plan and procedure shall be available at the job site.
(2) Job site inspections shall be made by the responsible engineer, or an authorized representative, during the course of erection to ensure that the erection plan and procedures are followed.
(3) Any proposed field modifications shall be approved by the responsible engineer and added to the plan and procedure available at the job site.
(4) Precast member or vertical panel bracing shall be designed by, or under the direction of, and installed in accordance with the direction of, the responsible engineer.
(5) Lifting methods and procedures shall be such that employees are not at risk of being struck by the concrete member, panel or supporting equipment.
(b) Lifting inserts, which are embedded or otherwise attached to precast concrete members, shall be capable of supporting at least four times the maximum intended load applied or transmitted to them, and shall be used in accordance with the manufacturer's recommendations.
(c) Lifting hardware shall be capable of supporting at least five times the maximum intended load applied or transmitted to the lifting hardware.
(d) Precast concrete members and structural framing shall be supported to prevent falling, overturning and collapse until the permanent connections specified in the erection plan are completed.
(e) Adjustment of precast members after initial placement, which requires the lifting of the members in any manner, shall not be made unless wire rope safety tie backs are used or the members are reattached to a load line.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Amendment of section heading and section filed 7-2-2001; operative 8-1-2001 (Register 2001, No. 27).
§1715. Tilt-Up Concrete Panel Construction.
Note     •     History

(a) Concrete erection stresses, lifting point attachments and locations in tilt-up concrete panels shall be designed for expected loads, including impact, by, or under the direction of, a civil engineer currently registered in California (hereinafter referred to as the responsible engineer).
(b) Lifting inserts, which are embedded or otherwise attached to tilt-up concrete members shall be capable of supporting at least two times the maximum intended load applied or transmitted to them, and shall be used in accordance with the manufacturer's recommendations.
(c) Lifting hardware shall be capable of supporting at least five times the maximum intended load applied or transmitted to the lifting hardware.
(d) Vertical panel bracing used to support the tilt-up panels prior to final bolting/attachment shall be designed by, or under the direction of, and installed in accordance with the direction of the responsible engineer. 
(1) Bracing shall be designed to withstand, at a minimum, a wind load induced force of a 70 mile per hour wind.
(2) Prior to the commencement of panel erection, detailed lifting and erection plans shall be prepared by, or under the direction of, the responsible engineer. All panel erection shall be performed in accordance with the plan.
(3) The lifting and erection plans and procedures shall be available on the job site.
(4) Field modifications to the lifting plan shall be approved by the responsible engineer and added to the plans and procedures available at the job site.
(5) Lifting methods and procedures shall be such that employees are not at risk of being struck by the panel or other supporting equipment.
(e) Tilt-up wall panels shall be supported to prevent overturning, toppling and/or collapse until permanent connections are completed as specified in the erection plan.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-79 as an emergency; effective upon filing (Register 79, No. 40). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-31-80.
2. Certificate of Compliance filed 1-30-80 (Register 80, No. 5).
3. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
4. New subsections (b), (c) and renumbering (b) to (d) filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
5. Amendment of section heading and section filed 7-2-2001; operative 8-1-2001 (Register 2001, No. 27).
§1716. Bolting, Riveting, Fitting-Up and Plumbing.
Note     •     History

(a) General requirements:
(1) Containers shall be provided for storing or carrying rivets, bolts, and drift pins, and secured against accidental displacement when aloft.
(2) Pneumatic hand tools shall be disconnected from the power source, and pressure in hose lines shall be released, before any adjustments or repairs are made.
(3) Air line hose sections shall be tied together except when quick disconnect couplers are used to join sections.
(b) Bolting
(1) When bolts or drift pins are being knocked out, means shall be provided to keep them from falling.
(2) Impact wrenches shall be provided with a locking device for retaining the socket.
(c) Riveting
(1) Riveting shall not be done in the vicinity of combustible material unless precautions are taken to prevent fire.
(2) When rivet heads are knocked off, or backed out, means shall be provided to keep them from falling.
(3) A safety wire shall be properly installed on the snap and on the handle of the pneumatic riveting hammer and shall be used at all times. The wire size shall be not less than No. 9 (B & S gauge), leaving the handle and annealed No. 14 on the snap, or equivalent.
(d) Plumbing-up
(1) Connections of the equipment used in plumbing-up shall be properly secured.
(2) The turnbuckles shall be secured to prevent unwinding while under stress.
(3) Plumbing-up guys related equipment shall be placed so that employees can get at the connection points.
(4) Plumbing-up guys shall be removed only under the supervision of a competent person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former section 1810 to section 1716 filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4). For history of former section 1716, see Register 85, No. 25.
§1716.1. Structural Wood Framing Systems.
Note     •     History

(a) Scope. This section applies to the construction and placement of structural wood framing systems.
(b) Definitions.
(1) Structural wood framing systems. Operations, methods, and procedures associated with the installation of essentially horizontal wood framing systems (including panelized roof systems) that are typically associated with construction used in non-residential type structures, such as warehouses, gymnasiums, shopping malls or similar structures. These orders do not apply to framing procedures typically associated with residential structures.
(2) Administrative controls. Employee training and instructions for the hazards associated with the construction of structural wood framing systems and the immediate presence of competent supervision on the jobsite to ensure safe work practices are followed where engineering controls have proven not to be feasible.
(c) Exposure and Protection.
(1) Employees are to be protected from falls by guardrails as specified in Section 1620 or a safety net, personal fall protection system, or other methods specified in Article 24 while walking/working on surfaces 15 feet or more above a lower level.
(A) Employees working at the leading edge shall be provided with either fall protection as specified in Article 24, utilize a fall protection plan or be protected by parapets at least 24 inches high.
(d) Use of lift trucks and elevated work platforms.
(1) When it is necessary to elevate employees using an industrial truck, the requirements of General Industry Safety Orders, Section 3657, Elevating Employees with Lift Trucks, and Section 3659, Back Guards, shall apply.

Exception: The seven foot back guard for the mast may be omitted where restricted clearance exists or the nature of the work prohibits its use. Where either of these conditions exists, administrative controls to ensure the safety of the employee shall be used.
(2) Employees and/or loads shall not be on the elevated work platform when the operator is not at the lift controls unless the following is complied with: the operator is able to see the lift, is within 25 feet, and has unobstructed return access to the lift; the power is turned off; brakes are set; and, the lift is on a level surface.
Note: Where it is necessary to tilt the mast of the lift truck to allow an employee to accomplish a necessary activity at an elevated location, the operator may tilt the mast forward, not to exceed 3 feet from the vertical if the work is of short duration and competent supervision is immediately present during the operation. Prior to elevating and tilting the mast, the operator shall inspect and verify the work platform is secure to the lift forks.
(e) Roof or Floor Openings.
(1) Roof or floor openings which exist during the construction of a structural wood framing system are to be guarded by a standard railing and toeboard or by a cover. The covering shall be secured in place and identified as an opening cover in letters not less than one inch high.
(2) Temporary openings shall be covered or guarded as soon as the operation reasonably permits.
(f) Erection procedure.
(1) A site-specific, written erection procedure shall be prepared by a qualified person, and implemented under the direct supervision of a competent person.
(2) A copy of the erection procedure shall be available at the jobsite.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section 1716.1 filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 11-22-74 (Register 74, No. 48).
3. Certificate of Compliance refiled 11-27-74 (Register 74, No. 48).
4. Repealer and new section filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
5. Repealer filed 6-21-85; effective thirthieth day thereafter (Register 85, No. 25).
6. New section filed 1-21-92; operative 2-20-92 (Register 92, No. 12).
7. Change without regulatory effect amending subsection (e)(1) filed 3-22-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 12).
8. Amendment of subsection (c)(1), repealer of subsection (c)(1)(A), redesignation of former subsection (c)(1)(A)1. as new subsection (c)(1)(A), and repealer of subsections (c)(1)(A)2.-(c)(1)(E) filed 7-30-97; operative 8-29-97 (Register 97, No. 31).
9. Amendment of subsection (f)(1) filed 1-29-2001; operative 2-28-2001 (Register 2001, No. 5).
§1716.2. Wood and Light Gage Steel Frame Construction, Residential/Light Commercial.
Note     •     History

(a) Scope and Application. 
This section applies to work directly associated with the framing of new buildings or structures using the operations, methods, and procedures associated with residential-type framing activities, i.e., joists or trusses resting on stud walls. 
(b) Definitions. 
(1) Bottom Plate. The bottom horizontal member of a frame wall. Sometimes called the “sole plate.” 
(2) Eaves. The lowest edge of a sloped roof. 
(3) Fascia Board. The exterior trim board at the perimeter of the roof. 
(4) Joist. One of a series of parallel beams used to create a structural support system for a floor deck or flat roof, onto which sheathing is fastened. 
(5) Nominal Size. For purposes of this section, the commercial size designation of a standard width and depth of standard sawn lumber and glue laminated lumber grades; larger than the standard actual net size of the finished, dressed lumber. An approximate rough-cut dimension assigned to a piece of material as a convenience in referencing to the piece, such as “2 x 4”. 
(6) Rafter. One of a series of structural members of a roof designed to support roof loads. A framing member that runs up and down the slope of a pitched roof. The beams that slope from the ridge of a roof to the eaves and make-up the main body of the roof's framework. The rafters of a flat roof are sometimes called roof joists. 
(7) Residential-type Framing Activities. For the purposes of this section, residential-type framing activities include: installation of floor joists, floor sheathing, layout and installation of walls, hanging and nailing of shear panels, setting and bracing roof trusses and rafters, installation of starter board, roof sheathing, and fascia board; installation of windows, siding and exterior trim. 
(8) Roof Slope. For the purposes of this section, the incline angle of a roof surface, given as a ratio of the vertical rise to the horizontal run. A 7:12 roof has 7 feet of vertical rise for 12 feet of horizontal run. 
(9) Sheathing. The structural panel covering fastened onto studs, floor joists, and/or rafters/trusses. 
(10) Slide Guards. A 2-inch nominal cleat, on centers not to exceed 4 feet, securely fastened to the roof sheathing to provide footing on a sloped roof. 
(11) Starter Board. The board-type sheathing material installed at eaves and gable ends in the plane of the sheathing and visible from the underside. 
(12) Stud. A vertical framing member in walls and partitions, also referred to as a wall stud, attached to the horizontal sole plate below and the top plate above. 
(13) Top Plate. Top horizontal member of a frame wall supporting ceiling joists, rafters, or other structural members. 
(14) Truss. Prefabricated structural roof unit consisting of triangular bracing (truss webs) between the ceiling joist (bottom chord) and the roof rafter (top chord) commonly installed parallel with other trusses to create a structural support system for a roof after which sheathing is fastened. The bottom chord often serves as a ceiling joist. Each member is usually subjected to longitudinal stress only, either tension or compression. 
(15) Truss Support Plate. A temporary support structure erected near mid-span of an area with a large open span, such as a garage, to support trusses during installation. 
(c) Raising Walls. 
(1) Before manually raising framed walls that are 15 feet or more in height, temporary restraints such as cleats on the foundation/floor system or straps on the wall bottom plate shall be installed to prevent inadvertent horizontal sliding or uplift of the framed wall bottom plate. 
(2) Anchor bolts alone shall not be used for blocking or bracing when raising framed walls 15 feet or more in height. 
(d) Stabilization of Structures. 
Employees shall not work from or walk on top plates, joists, rafters, trusses, beams or other structural members until they are securely braced and supported. 
(e) Work on Top Plate, Joists and Roof Structure Framing. 
(1) When employees are walking/working on top plates, joists, rafters, trusses, beams or other similar structural members over 15 feet above the surrounding grade or floor level below, fall protection shall be provided by scaffolding, guardrails, a personal fall protection system, or by other means prescribed by CSO Article 24, Fall Protection. 

Exceptions: (A) When employees are walking/working on securely braced joists, rafters or roof trusses on center spacing not exceeding 24 inches, and more than 6 feet from an unprotected side or edge, they shall be considered protected from falls between the joists, rafters or roof trusses. 

(B) When installing floor joists, employees shall be considered protected from falls up to and including 15 feet above the surrounding grade or floor level below when standing on or working from joists laid on their sides on the top plate on center spacing not exceeding 24 inches when walking/working within 24 inches of the top plate or other structural support. 
(2) Truss Support Plate. Where a truss support plate is used during the installation of trusses, it shall be constructed of a 2x6 plank laid flat, secured lineally to a 2x6 plank laid on edge, supported with 2x4 wood members (legs) spaced no more than 6 feet on center and attached to diagonal bracing adequately secured to support its intended load. All material dimensions are minimum and nominal. 
(f) Work on Floors and Other Walking/Working Surfaces. When working on floors and other walking/working surfaces that will later be enclosed by framed exterior walls, employees directly involved with the layout and construction of framed stud walls shall be protected from falling by standard guardrails as specified in Section 1620 around all unprotected sides or edges, or by other means prescribed by CSO Article 24, Fall Protection, when the floor or walking/working surface is over 15 feet above the surrounding grade or floor level below. 
(g) Work on Starter Board, Roof Sheathing and Fascia Board. 
(1) When installing starter board, roof sheathing, and fascia board, employees shall be protected from falling by scaffolding, guardrails, personal fall protection systems, or other means prescribed by CSO Article 24, Fall Protection as follows: 
(A) For structures greater than one story in height where the fall height exceeds 15 feet above the surrounding grade or floor level below, or 
(B) When working on roofs sloped greater than 7:12. 

EXCEPTION to (g)(1)(B): For roofs sloped up to 12:12, slide guards may be used as fall protection up to and including 15 feet as measured from the eaves to the surrounding grade or floor level below. 
(2) Employees working inside the gable end truss or rafter shall be considered protected from falls where the gable end truss has been installed and braced to withstand a lateral force of 200 pounds and the employee installs fascia or starter board working from within the gable end truss or rafter. 
(3) When work must be performed outside the gable end truss or rafter, the employee shall be protected from falling by scaffolding, or a personal fall protection system, or other means prescribed by CSO Article 24. 

EXCEPTION to (g)(3): When the work is of short duration and limited exposure and the hazards involved in rigging and installing the safety devices required equal or exceed the hazards involved in the actual construction, these provisions may be temporarily suspended provided the work is performed by a qualified person. 
(h) Installation of Windows. Wall openings shall be guarded as required by Section 1632. The guardrail may be removed immediately prior to the installation of the window components if removal of the guardrail is necessary to install the window(s). 
(i) Scaffolding. 
(1) Where scaffolding is used, it shall be constructed in accordance with all applicable requirements of CSO Articles 21 and 22 (Scaffolds). 
(2) Where scaffolds are installed parallel and adjacent to framed structure walls, the interior railing may be omitted for installing joists, rafters or trusses if the scaffold platform is 15 feet or less from the interior floor level below and the top plate is higher than the adjacent work platform. 
(3) When a scaffold is used as an edge protection platform: 
(A) The platform shall not be more than 2 feet vertically below the top plate, and shall be fully planked. 
(B) The distance between the inboard edge of the platform and the building or structure wall shall not be more than 16 inches. 
(4) Additional provisions where a metal frame scaffold is used as an edge protection platform: 
(A) A 2” x 6” or larger toeboard shall be secured on edge parallel to the outer rail. 
(B) Scaffolds shall be secured in tension and compression to the structure at or near the top of the scaffold at each end and at every other frame not to exceed 20-foot intervals. 
(C) Guard railings shall extend not less than 42 inches vertically above the eaves if the outboard edge of the platform extends less than 12 inches horizontally beyond the eaves. 
(j) Training: 
Employees exposed to fall hazards shall be trained in accordance with the requirements of Sections 1509 and 3203 to recognize fall hazards associated with the erection and construction activities they will be performing and shall be trained in the procedures to be followed in order to minimize these hazards. Such training shall be documented in accordance with Section 3203. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-1-2002; operative 5-1-2002. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2002, No. 18).
2. Amendment of section heading and section filed 7-7-2004; operative 8-6-2004 (Register 2004, No. 28).
§1717. Falsework and Vertical Shoring.
Note     •     History

(a) Design Loads. 
(1) Formwork and falsework or shoring for the support of concrete or other materials shall be designed, erected, supported, braced and maintained so as to assure its ability to safely withstand all intended loads during erection, construction, usage and removal. 
(2) The minimum total design load for any formwork and shoring shall be not less than 100 pounds per square foot for the combined live and dead load regardless of slab thickness; however, the minimum allowance for live load and formwork shall be not less than 20 pounds per square foot in addition to the weight of the concrete. 
When the equipment listed below is used, the above figures shall be increased in all cases by the amounts shown. 

	Worker propelled carts	 10 pounds per square foot. 
	Motorized carts	 25 pounds per square foot. 
(3) Special consideration shall be given and the necessary additional allowances made for any unusual circumstances such as floor hoppers, concentrated piles of reinforcing steel bars, or similar loads. 
(4) The lateral loads for shoring to be resisted at each floor in both directions by diagonal bracing, or other means, shall be taken at not less than 100 pounds per lineal foot of floor edge or two percent of the total dead load whichever is greater. 
(b) Design. 
(1) Detailed design calculations and working drawings shall be approved and signed by a civil engineer, currently registered in California, for all falsework or vertical shoring installations where any of the following conditions exists: 
(A) The height, as measured from the top of the sills to the soffit of the superstructure exceeds 14 feet. 
(B) Individual horizontal span lengths exceed 16 feet. 
(C) Provisions for vehicular or railroad traffic through the falsework or vertical shoring are made. 
(2) For all falsework and vertical shoring installations not covered by (b)(1) above, the falsework plan or shoring layout shall be approved and signed by one of the following: 
(A) A civil engineer currently registered in California. 
(B) A manufacturer's authorized representative. 
(C) A licensed contractor's representative qualified in the usage and erection of falsework and vertical shoring. 
(3) A falsework plan or a shoring layout shall be available on the job site at all times. 
(4) All vertical supports shall be erected on a properly compacted and reasonably level and stable base. Plate, pads and load bearing characteristics of the soil shall be adequate to support the imposed loads. 
Note: (1) Precautions shall be taken so that weather and concrete pouring conditions do not change the load carrying capacity of the soil below the design minimum.(2) The Division may require that evidence be submitted to justify the design for any falsework or vertical shoring installation.  
(c) Inspection. 
(1) After construction of the falsework or vertical shoring system enumerated in section 1717(b)(1) and prior to placement of concrete, a civil engineer, currently registered in California, or authorized representative, shall inspect the falsework or vertical shoring system for conformity with the working drawings. The person performing the inspection shall certify in writing that the falsework or vertical shoring system substantially conforms to the workingdrawings and that the material and workmanship are satisfactory. 
(2) After construction of the falsework or vertical shoring system enumerated in section 1717(b)(2) and prior to the placement of concrete, an inspection for conformity with the working drawings shall be made by one of the following persons. 
(A) A civil engineer currently registered in California. 
(B) A manufacturer's authorized representative. 
(C) A licensed contractor's representative qualified in the usage and erection of falsework and vertical shoring. 
(3) The person performing the inspection shall certify in writing that the falsework or vertical shoring system conforms to the working drawings and that the material and workmanship are satisfactory. The certification shall be available at the job site. 
(d) Work Area and Procedures. 
(1) Where wood shores are butt spliced, they shall be made with square joints and secured on four sides with not less than 2-inch material or of 5/8-inch plywood of the same width as the post. The scabs shall extend at least two feet beyond the joint. 
(2) If metal shore clamps are used, they shall be installed according to manufacturer's specifications. 
(3) In lieu of requirements for standard walkways and work platforms in the immediate area where forms are being installed, joists or similar members not less than 5 1/2 inches wide and on centers not to exceed 36 inches shall be provided. 
(4) When the formwork and shoring are being erected, the first set of protective guardrails shall be installed at the perimeter immediately after such supporting members are in place. Railings are to be installed and maintained at perimeter of and at openings in all floors of buildings and sides of bridge decks at all times. 
(5) In the area immediately adjacent to where the joists or similar members are being installed, a 12-inch wide plank resting on the joists is acceptable as a walkway for distributing joists. 
(6) Building floor form installation 
(A) Employees shall be prohibited from working below a building floor form installation, except those individuals actually engaged in this installation, removal, or inspection. Warning signs to this effect shall be posted at the perimeter of the affected work area. 
(B) During the actual placement of concrete, only those individuals who are engaged in the inspection or necessary building floor form modifications shall be permitted in the affected work area below the concrete placement. 
(C) Areas underneath building floor form installations described in sections 1717(b)(1)(A) or 1717(b)(1)(B) shall not be occupied before, during, or after the placement of concrete unless the building floor form installations have been inspected and certified, by a civil engineer currently registered in California, to safely withstand all anticipated loads. All other building floor form installations shall be inspected and certified by one of the following persons, to safely withstand all anticipated loads.
1. A civil engineer currently registered in California. 
2. A licensed contractor, or representative, qualified to determine that the floor form installation can safely withstand all anticipated loads. 
(7) Stripped forms and shoring shall be removed and stockpiled promptly in all areas in which persons are required to work or pass. Protruding nails, wire ties, and other form accessories not necessary to subsequent work shall be pulled, cut, or other means taken to eliminate the related hazards. 
(e) Removal.
(1) Formwork and shores (except those used for slabs on grade and slip forms) shall not be removed until the employer determines that the concrete has gained sufficient strength to support its weight and superimposed loads. Such determination shall be based on compliance with the stipulated conditions for removal of forms and shores indicated in the plans and specifications.
(2) Reshoring shall not be removed until the concrete being supported has attained the strength to support its weight and all loads placed upon it.
Note: For regulations relating to permits for falsework, see Section 1503. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Editorial correction in subsection (b) (Register 70, No. 48). 
2. Repealer and new section filed 12-6-73; effective thirtieth day thereafter (Register 73, No. 49). 
3. Repealer of subsection (a) new subsections (a), and (d)(8) filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8). 
4. Amendment of subsection (a)(1) filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18). 
5. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
6. Amendment of subsection (d)(6) filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
7. New subsection (e) filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
8. Editorial correction of printing error in subsections (d)(6)(B) and (d)(6)(C) (Register 92, No. 19).
§1718. Riding on Loads.
Note     •     History

(a) No person shall be permitted to ride on loads, hooks, or slings of any derrick, hoist, or crane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No.  25).
2. Amendment of subsection (a) filed 12-11-90; operative 1-10-91 (Register 91, No. 4).
§1719. Vertical Slip Form Operations.
Note     •     History

(a) The steel rods or pipe on which the jacks climb or by which the forms are lifted shall be specifically designed for the purpose. Such rods shall be adequately braced where not encased in concrete.
(b) Jacks and vertical supports shall be positioned in such a manner that the vertical loads are distributed equally and do not exceed the capacity of the jacks.
(c) The jacks or other lifting devices shall be provided with mechanical dogs or other automatic holding devices to provide protection in case of failure of the power supply or the lifting mechanism.
(d) Lifting shall proceed steadily and uniformly and shall not exceed the predetermined safe rate of lift.
(e) Lateral and diagonal bracing of the forms shall be provided to prevent excessive distortion of the structure during the jacking operation.
(f) During jacking operations, the form structure shall be maintained in line and plumb.
(g) All vertical lift forms shall be provided with scaffolding or work platforms completely encircling the area of placement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Amendment of NOTE filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
§1720. Placement of Concrete.
Note     •     History

(a) Concrete Buggies.
(1) Handles of buggies shall not extend beyond the wheels on either side of the buggy.
(2) Handles shall be guarded or equipped with knuckle guards.
(b) Concrete Pumps and Placing Booms.
(1) Scope. This subsection is applicable to truck-mounted concrete boom pumps, trailer-mounted concrete pumps and separate concrete placing booms.
(2) Definitions.
Concrete delivery hose. A flexible delivery hose having a coupling on each end.
Control panel. The place where the control actuating devices for the operation of the machine are located.
Delivery system. Delivery lines, hoses, and their components, as well as transfer valves, through which the material to be transported is pumped.
End hose. A flexible concrete delivery hose which has only one end coupling.
Placing boom. Manual or power driven, slewable working device, consisting of one or more extendable or foldable parts which support the concrete delivery system, and which direct the discharge into the desired location.
Remote control. A control device for the machine that is portable and may be connected to the machine by a wire umbilical cord or linked by radio or other wireless means.
(3) General.
(A) Equipment identification and ratings.
1. The following information shall be legibly marked on a durable identification plate on the concrete pump.
a. Manufacturer's name.
b. Year of manufacture.
c. Serial number.
d. Type or model identification.
e. Maximum working pressure in the hydraulic system.
f. Maximum material pressure.
g. Power rating for electrical equipment (voltage, frequency, amperage).
2. The following information shall be legibly marked on a durable identification plate on the placing boom.
a. Manufacturer's name.
b. Year of manufacture.
c. Serial number.
d. Type or model identification.
e. Maximum working pressure in the hydraulic system.
f. Maximum weight per foot of the delivery system, including concrete at 150 lbs/foot3.
(B) Set-up and operation. Concrete pumping equipment and placing booms shall be set-up and operated in accordance with the manufacturer's operation and safety manuals, and these Orders.
1. The manufacturer's operation manual shall be maintained in legible condition and shall be available to the operator during set-up and operation of the equipment.
2. The concrete placing boom shall not be used to drag hoses or lift other loads.
3. Concrete delivery hoses shall not be used as end hoses.

Exceptions for (B)3:

1. Shotcrete operations.

2. When the hose is supported by the walking/working surface while pumping and placing flatwork.
(C) Controls.
1. Controls shall have their function clearly marked.
2. If there are several control locations, the same operation shall only be possible from one location at a time.

Exception for (C)2:

Emergency stop controls required by subsection (b)(3)(C)4 shall have priority and shall be operable from any installed location.
3. Controls shall be safeguarded against unintentional operation.

Exception for (C)3: Equipment manufactured before May 3, 2006.
4. Each machine shall be equipped with an emergency stop system.
a. The machine shall be equipped with emergency stop devices at the control panels and at the remote control device.
(D) Guarding. Guarding shall be provided and maintained in accordance with the manufacturers' specifications to prevent unintentional access to moving parts.
(E) Delivery systems.
1. Concrete pumping systems using discharge pipes shall be provided with pipe supports designed for twice the rated load, including concrete at 150 lbs/ft3.
2. Compressed air hoses, if used, shall be equipped with connecting ends that shall be chained or otherwise secured to prevent whipping in case of separation when pressurized.
(F) Operation of concrete placing booms in proximity of overhead high-voltage lines shall be in accordance with Article 37 of the High-Voltage Electrical Safety Orders.
1. Warning signs. Concrete placing booms shall be posted with durable warning signs in accordance with Section 2947.

Exception: Minimum clearances from overhead high-voltage lines in accordance with manufacturers' specifications may be posted where minimum clearance distances are greater than those prescribed by Article 37 of the High-Voltage Electrical Safety Orders.
(4) Inspection, maintenance and repairs.
(A) A qualified attendant or operator shall visually inspect the machine's controls and functional mechanisms for maladjustment, damage or deterioration prior to daily use. Any condition that affects the safe operation shall be corrected prior to use.
1. Hoses, clamps and pipes shall be inspected by a qualified attendant or operator prior to use. Damaged or defective hoses, clamps or pipes shall not be used.
(B) A preventative maintenance program shall be established and implemented in accordance with the manufacturer's specifications.
(C) Inspection, maintenance and repairs shall be performed by a qualified person in accordance with the manufacturer's specifications and procedures.
(D) Inspection records shall include the following:
1. A listing of the components and parts inspected and tested.
2. A brief description of test methods, results, and repairs made.
3. Names and signatures of persons performing the inspections.
(E) Records of inspections and maintenance shall be made available to the Division on request.
(5) Manufacturer no longer in business.
(A) If the manufacturer is no longer in business and manufacturer's specifications are no longer available, required set-up, operation, inspection, and maintenance procedures and repairs shall be specified by a qualified person experienced in the field of concrete pumps and placing booms.
(B) Inspection, maintenance and repairs shall be performed by a qualified person in accordance with the specifications and procedures established under the provisions of subsection (b)(5)(A).
(c) Concrete Buckets.
(1) Buckets equipped with hydraulic of pneumatic operating gates shall have devices installed to prevent accidental dumping.
(2) Buckets shall be designed to prevent aggregate and loose material from accumulating on the top and sides of the bucket.
(3) Riding of concrete buckets for any purpose shall be prohibited.
(4) No employee shall be permitted to work under concrete buckets while buckets are being elevated or lowered into position.
(d) General.
(1) When discharging on a slope, the wheels of ready-mix trucks shall be blocked and the brakes set to prevent movement.
(2) Nozzle-gun operators shall be required to wear protective head and face equipment as prescribed in article 3.
(e) Adjustment of single post shores to raise formwork shall not be made after the placement of concrete.
(f) Reshoring shall be erected, as the original forms and shores are removed,whenever the concrete is required to support loads in excess of its capacity.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Amendment filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Amendment of subsection (c)(4) and new subsections (e) and (f) filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
4. Amendment filed 4-3-2006; operative 5-3-2006 (Register 2006, No. 14).
§1721. Post-Tensioning Operations.
Note     •     History

(a) No employee (except those essential to the post-tensioning operations) shall be permitted to be behind the jack during tensioning operations.
(b) Signs and barriers shall be erected to limit employee access to the post-tensioning area during tensioning operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
§1722. Masonry Construction.
Note     •     History

(a) A limited access zone shall be established whenever a masonry wall is being constructed. The limited access zone shall conform to the following:
(1) The limited access zone shall be established prior to the start of construction of the wall.
(2) The limited access zone shall be established on the side of the wall which will be unscaffolded.
(3) The width of the limited access zone (measured perpendicularly from the base of the wall on the unscaffolded side) shall be equal to the height of the wall to be constructed plus four feet. The limited access zone shall run the entire zone of the wall. If the width of the limited access zone can not be attained because the wall being constructed is located adjacent to the property line or adjacent to a structure, the width of the limited access zone shall be the width permitted by the obstruction of the property line or structure.
(4) The limited access zone shall be restricted to entry by employees actively engaged in constructing the wall. No other employee shall be permitted to enter the zone.
(5) The limited access zone shall remain in place until the wall is adequately supported to prevent collapse unless the height of wall is over eight feet, in which case, the limited access zone shall remain in place until the requirements of section 1722(b) have been met.
(b) All masonry walls over eight feet in height shall be adequately braced to prevent overturning and to prevent collapse unless the wall is adequately supported through its design and/or construction method to prevent overturning or collapse. The bracing shall remain in place until permanent supporting elements of the structure are in place.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-22-90; operative 11-21-90 (Register 90, No. 48).
§1722.1. Requirements for Lift-Slab Construction Operations.
Note     •     History

(a) Lift-slab operations shall be designed and planned by a civil engineer currently registered in California who determines that he/she has sufficient experience in lift-slab construction to so design and plan the lift-slab operation. Such plans and designs shall be implemented by the employer and shall include detailed instructions and sketches indicating the prescribed method of erection. These plans and designs shall also include provisions for ensuring lateral stability of the building/structure during construction.
(b) Jacks/lifting units shall be marked to indicate their rated capacity as established by the manufacturer.
(c) Jacks/lifting units shall not be loaded beyond their rated capacity as established by the manufacturer.
(d) Jacking equipment shall be capable of supporting at least two and one-half times the load being lifted during jacking operations and the equipment shall not be overloaded. For the purpose of this provision, jacking equipment includes any load bearing component which is used to carry out the lifting operation(s). Such equipment includes, but is not limited, to the following: threaded rods, lifting attachments, lifting nuts, hook-up collars, T-caps, shearheads, columns, and footings.
(e) Jacks/lifting units shall be designed and installed so that they will neither lift nor continue to lift when they are loaded in excess of their rated capacity.
(f) Jacks/lifting units shall have a safety device installed which will cause the jacks/lifting units to support the load in any position in the event any jack/lifting unit malfunctions or loses its lifting ability.
(g) Jacking operations shall be synchronized in such a manner to insure even and uniform lifting of the slab. During lifting, all points at which the slab is supported shall be kept within one-half inch of that needed to maintain the slab in a level position.
(h) If leveling is automatically controlled, a device shall be installed which will stop the operation when the one-half-inch tolerance set forth in Section 1722.1(g) is exceeded or where there is a malfunction in the jacking (lifting) system.
(i) If level is maintained by manual controls, such controls shall be located in a central location and attended by a competent person while lifting is in progress. The competent person must have previously operated the type of manually controlled lifting equipment being used.
(j) The maximum number of manually controlled jacks/lifting units on one slab shall be limited to a number that will permit the operator to maintain the slab level within specified tolerances of section 1722.1(g), but in no case shall that number exceed 14.
(k) No employee, except those essential to the jacking operation, shall be permitted in the building/structure while any jacking operation is taking place unless the building/structure has been reinforced sufficiently to ensure its integrity during erection. The phrase “reinforced sufficiently to ensure its integrity” used in this section means that a civil engineer currently registered in California, independent of the engineer who designed and planned the lifting operation, has determined from the plans that if there is a loss of support at any jack location, that loss will be confined to that location and the structure as a whole will remain stable.
(1) Under no circumstances, shall any employee who is not essential to the jacking operation be permitted immediately beneath a slab while it is to be lifted.
(2) For the purpose of section 1722.1(k), a jacking operation begins when a slab or group of slabs is lifted and ends when such slabs are secured (with either temporary connections or permanent connections).
(l) When making temporary connections to support slabs, wedges shall be secured by tack welding, or an equivalent method of securing the wedges to prevent them from falling out of position. Lifting rods may not be released until the wedges at that column have been secured.
(m) All welding on temporary and permanent connections shall be performed by a certified welder, according to the welding requirements specified in the plans and specifications for the lift-slab operation.
(n) Load transfer from jacks/lifting units to building columns shall not be executed until the welds on the column shear plates (weld blocks) are cooled to air temperature.
(o) Jacks/lifting units shall be positively secured to building columns so that they do not become dislodged or dislocated.
(p) Equipment shall be designed and installed so that the lifting rods cannot slip out of position or the employer shall institute other measures, such as the use of locking or blocking devices, which will provide positive connection between the lifting rods and attachments and will prevent components from disengaging during lifting operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-22-90; operative 11-21-90 (Register 90, No. 48). 
2. Amendment of section heading and text filed 8-11-92; operative 9-10-92 (Register 92, No. 33).
Article 30. Roofing Operations and Equipment
§1723. Application.
Note     •     History

(a) The Orders contained in this Article are intended to apply to employees engaged in the removal or application of:
(1) Single-unit (Monolithic) roof coverings which include built-up roofing of asphalt or coal-tar pitch or like materials, and flat-seam metal roofings or like materials, and
(2) Multiple-unit roof coverings which include asphalt shingles, asbestos-cement shingles, standing-seam metal panels, shingle metal roofing, wood shakes and shingles, clay tile, concrete tile, slate or like materials.
(b) Applicable parts of this Article shall apply wherever kettles, tankers or pots with capacities in excess of 5 gallons are used in providing hot asphalt, pitch or like materials for construction or maintenance operations.
(c) When the work is of short duration and limited exposure, such as minor patching, measuring, roof inspection, etc., and the hazards involved in rigging and installing the safety devices required by this Article equals or exceeds the hazards involved in the actual construction, these provisions may be temporarily suspended provided that adequate risk control is recognized and maintained.
Note: See Appendix for additional information on roofing safety.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 30 (Sections 1725-1730) and new Article 30 (Sections 1723-1730) filed 6-6-80; effective thirtieth day thereafter (Register 80, No. 23). For prior history, see Registers.
2. Amendment of subsections (a)(1) and (a)(2) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
§1724. Roofing--General.
Note     •     History

(a) Roof Jack Systems (Includes Jacks, Planks and Appurtenances.) 
(1) Roof jacks shall be constructed to fit the slope of the roof and be designed, fabricated and installed in such a manner that they will sustain all expected loads. The supported plank shall be positioned at some angle from perpendicular to the roof to horizontal. For suggested installation, see Appendix Plate C-19.
(2) Intervals (spans) between roof jacks shall not exceed 10 feet. 
(3) When rope supports are used, they shall consist of first-grade Manila rope of at least 3/4-inch diameter or other material of equivalent strength.
(4) Wooden supporting members that span between jacks, as illustrated in Appendix Plate C-19, shall be selected lumber as defined in Section 1504(a), or equivalent and be of at least 2-inch by 6-inch material. Where supporting members other than wood are used they shall be of at least the equivalent strength.
(b) Crawling Boards.
(1) Crawling boards shall be not less than 10 inches wide and 1-inch thick, and shall have cleats of at least 1-inch by 1 1/2-inch material. The cleats shall be equal in length to the width of the board and spaced at equal intervals not to exceed 24 inches. Nails shall be driven through and clinched on the underside of the board.
(2) Where building design permits, the crawling boards shall extend from the ridge pole to the eaves.
(3) A firmly fastened line of at least 3/4-inch diameter Manila rope, or equivalent, shall be laid beside each crawling board for use as a handhold.
(4) Crawling boards shall be secured to the roof by adequate ridge hooks or other effective means.
(c) Catch Platforms.
(1) When catch platforms are used, they shall be installed in close proximity below the eaves below roof work areas, extend at least 2 feet horizontally beyond the projection of the eaves, and be provided with standard railings and toeboards (See Article 16).
(2) The platforms shall be fully planked.
(d) Scaffold Platforms.
(1) When built-up scaffold platforms are used to protect workers from falls from the edges of roofs, they shall be installed and maintained in accordance with the provisions of Article 22, Scaffolds.
(2) A fully planked platform shall be provided near the eave level.
(e) Eave Barriers.
(1) When a system of eave barriers is provided to prevent falls from roofs, the barrier, unless of solid construction, shall be in accordance with the provisions of Article 16, Standard Railings.
(2) The barrier system shall be securely anchored at eave level or supported by ropes securely tied to substantial anchorages on the roof.
(3) If the barrier system is to be moved from one work area to another, employees performing the moving operation shall be protected by the use of safety belts and lines.
(f) Personal Fall Protection.
(1) Where used to prevent workers from falling off roofs, personal fall arrest systems, personal fall restraint systems and positioning devices shall be installed and used in accordance with the provisions of Article 24, Fall Protection.
(2) Safety lines shall be attached in a secure manner to substantial anchorages on the roof.
(g) High-Lift Material Trucks. Standard railings and toeboards shall be provided on the open sides of the platforms of high-lift material trucks when the platform is used as a work surface, except when it is not feasible during loading or unloading operations at elevations 7 1/2-feet or more above ground, floor or level underneath.
(h) Ramps and Runways.
(1) Ramps or runways erected and used exclusively for the purpose of loading or unloading roofing materials at elevations above ground, or other level below, not exceeding 20 feet in height shall be at least 40 inches in width. At those elevations exceeding 20 feet in height, standard guardrails shall be installed and maintained on both sides of the ramp or runway.
Note: A 10-inch wide horizontal opening is permitted between the railing and the ramp or runway platform.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (h)(1) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (g) filed 10-30-81; effective thirtieth day thereafter (Register 81, No. 44).
3. Amendment of subsection (a) filed 3-29-82; effective thirtieth day thereafter (Register 82, No. 14).
4. Amendment of subsections (a), (b), (d), (e) and (h) filed 12-15-86; effective thirtieth day thereafter (Register 86, No. 51).
5. Amendment of subsection (f)(1) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
§1725. Handling of Buckets, Kettles and Tankers.
Note     •     History

(a) Buckets containing hot asphalt or pitch shall not be carried on ladders.
(b) Not more than one bucket of hot asphalt or pitch shall be carried at one time by a worker on a roof having a slope ratio of 6 vertical in 12 horizontal (6:12) or steeper.
(c) Buckets used in carrying service shall be filled so that the liquid surface is not closer than 4 inches from the top. No other open container transporting hot asphalt or pitch shall be filled beyond 75 percent of capacity.
(d) An attendant shall be within 100 feet of a kettle or tanker at all times while the burner flame is on, with no ladders or similar obstacles forming a part of the route to be taken to reach the kettle or tanker. However, if the kettle or tanker is controlled by an operating thermostat, the above distance and route limitations do not apply, provided that arrangements are made for needed service.
(e) A clear path, free of debris, shall be maintained between the kettle and the hoist or hand line.
(f) When moving the kettle on any public street or roadway, it shall be drained at least 5 inches below the splash rail.
(g) When in use, the LPG fuel container shall be installed in accordance with the provisions of Article 32, Oxygen, Acetylene and Fuel Gas.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsections (c) and (g) filed 12-15-86; effective thirtieth day thereafter (Register 86, No. 51).
§1726. Asphalt and Pitch Kettles.
Note     •     History

(a) The covers on kettles shall be constructed to close tightly.
(b) Kettles shall be equipped with adjustable supports for use in setting kettles so that they are prevented from turning over.
(c) Relief Valve. The fuel tank of every kettle that depends upon the pressure of power-pumped (machine compressed) air for fuel delivery shall be equipped with a spring-loaded relief valve set to pop at a pressure not to exceed the maximum safe working pressure of the vessel, but in no case greater than 60 pounds per square inch.
(d) A Class BC fire extinguisher shall be kept near each kettle in use. Extinguisher capacity shall be at least as follows:

Less than 150 gallons	 8:B.C.
150 to 350 gallons	 16:B.C.
Larger than 350 gallons	 20:B.C.

(e) An extension handle of sufficient length to permit safe closing of a stuck spigot shall be accessible near the kettle at all times.
(f) Kettle and tanker pumps shall be provided with a means of stopping the flow of hot asphalt or pitch manually from the roof top in emergencies when an attendant is not provided within 100 feet horizontally or 20 feet vertically from the kettle or tanker.
(g) Pumper pipelines shall be securely fastened at roof top and shall not be supported by ladders used for access.
(h) Kettles shall have the following safety features:
(1) A fluid level indicator, such as a dipstick, that will indicate the level of liquid asphalt or pitch within the kettle without the necessity of opening the lid for direct observation.
(2) Vents providing a total open area of not less than 100 square inches for up to 200 gallons capacity and not less than 200 square inches for kettles of larger capacities.
Note: See Sections on LP-Gas use, Article 32.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (h) filed 12-15-86; effective thirtieth day thereafter (Register 86, No. 51).
§1727. Kettles Mounted and Used on Elevated Truck Beds.
Note     •     History

(a) Platforms shall be designed and constructed to:
(1) Carry imposed load without excessive tipping or distortion.
(2) Provide a clear work area at least 4 feet wide at the accessible sides and ends of the kettle, including an unobstructed 4-foot passageway between the kettle spigot and the roof.
(3) Provide a noncombustible platform or platform covering.
(b) An access ladder to the platform must be provided. This ladder shall be fixed or be provided with an easily engaged attachment bracket that will prevent ladder slippage. Ladder rails must extend 3 feet above the platform, unless adequate handholds above the platform are provided.
(c) Railings shall be provided around the edges of the platform in accordance with the provisions of Article 16, Standard Railings.
(d) The platform shall be kept reasonably free from asphalt or pitch drippings.
(e) Kettle covers shall be closed when the truck is in motion.
(f) Kettles shall be securely attached to the platform so they will not shift or tip.
(g) Kettle burners must be extinguished when the truck is moving.
(h) No riders are to be allowed on the elevated platform while the truck is in motion.
(i) Platforms which can be raised and lowered shall be locked in place when in an elevated position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)-(c) and (f) filed 12-15-86; effective thirtieth day thereafter (Register 86, No. 51).
§1728. Handling Coal Tar Pitch.
Note

(a) When coal tar pitch is being handled, suitable skin protection substances shall be readily available at the job site for the use of workers, and workers shall be instructed in its use in accordance with Section 1510.
(b) Suitable respiratory and eye protection shall be readily available to workers handling coal tar pitch in confined spaces where ventilation is inadequate to promptly dissipate the fumes and vapors.
(c) Suitable washing or cleansing facilities shall be available for use on exposed skin surfaces of those handling coal tar pitch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§1729. Hot Asphalt and Hot Pitch Buckets and Gallows-Type Frames.
Note     •     History

(a) Hot Asphalt and Hot Pitch Buckets.
(1) Every hot asphalt and hot pitch bucket shall be made of No. 24 gauge or heavier sheet steel and shall have a metal bail of 1/4-inch diameter or larger material. The bail shall be fastened to offset ears, or equivalent, which have been riveted, welded, or otherwise securely attached to the bucket.
(2) Mop buckets shall not have a capacity in excess of 9 1/2 gallons.
(3) Mop buckets shall not be used as carrying buckets.
(4) Carrying buckets shall not have a capacity in excess of 6 gallons.
(b) Gallows-Type Frames.
(1) Gallows-type frames shall be made of “selected lumber,” or material of equivalent strength, firmly bolted or nailed together and may be job site fabricated or a manufactured assembly. Construction may be as illustrated in Plate C-18, Appendix, or alternate designs may be used provided equivalent or greater strength is afforded.
(2) Gallows-type frames shall be securely tied back to solid construction on the roof at all times while in use or in the case of designs incorporating counterbalancing means, shall be counterbalanced with items or materials which will not be used in performing the work which is being done during the period the hoist is being used.
(3) If a tieback is used, the tieback shall be of Manila rope not less than 3/4-inch in diameter, or equivalent, tied securely to the tailpiece, stretched tight and lashed to an object on the roof suitable to provide secure anchorage to hold the frame in place when loaded.
(4) Gallows-type frames are for single line hand use and muscle power only. Any attachment of a power system, winch, hoist, or blocks is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b)(4) filed 10-30-81; effective thirtieth day thereafter (Register 81, No. 44).
§1730. Roof Hazards.
Note     •     History

(a) During roofing operations the employer shall comply with the provisions of Section 1509 and employees shall be trained and instructed in accordance with the provisions of Section 1510 of these orders.
(b) Slopes 0:12 to 4:12--Single-Unit (Monolithic) Roof Coverings.
(1) Employees shall be protected from falls from roofs of a height of more than 20 feet by use of one or a combination of the methods in this section. Whenever felt laying machines or other equipment that is pulled by an operator who walks backwards is being used, this provision shall apply regardless of the height.
(2) Warning lines consisting of rope, wire or similar material, flagged with highly visible material hanging from the warning lines at approximately 6-foot intervals, shall be installed 34 to 45 inches above the roof surface to warn employees that they are approaching the edge of the roof.
(A) The stanchions (portable or fixed) supporting the warning lines shall be designed and installed to minimize tip over or displacement under normal working conditions.
(B) Warning lines shall have a minimum tensile strength of 500 pounds.
(C) The line shall be attached at each stanchion in such a way that pulling on one section of the line between stanchions will not result in slack being taken up in adjacent sections before the stanchion tips over.
(3) Unless conditions prohibit, headers consisting of sheets of roofing or other roofing materials shall also be laid parallel to the edges of the roof to warn employees that they are approaching the edge of the roof.
(4) The warning lines and headers shall be placed no closer than 5 feet from the roof edge.
(5) When using felt-laying machines or other equipment that is pulled by an operator who walks backwards or motorized equipment on which the operator rides, the headers shall be placed no closer than 10 feet and the warning lines shall be placed no closer than 5 feet from those roof edges that are perpendicular (or nearly so) to the direction in which the operator is moving and when conditions prohibit the use of headers, the warning lines shall be placed no closer than 10 feet from those roof edges that are perpendicular (or nearly so) to the direction in which the operator is moving.
(6) The warning lines and headers shall be erected either around the complete perimeter of the roof or only in areas of the roof where work is being accomplished, so long as the warning lines and headers are moved as the work progresses in such a manner as to provide continuous warning to employees in the work area when they approach the roof edge. Access paths shall be erected as follows:
(A) Points of access, materials handling areas and storage areas shall be connected to the work area by a clear access path formed by two warning lines.
(B) When the path to a point of access is not in use, a rope, wire, or chain, equal in strength and height to the warning line, shall be placed across the path at the point where the path intersects the warning line erected around the work area.
(7) Employees shall be instructed to stay inside the warning lines and headers except when work must be performed at the roof edge.
(8) Application of materials outside the warning lines shall be closely supervised by a qualified person.
(9) On narrow roofs and roofs of unusual shape where warning lines and headers would be impractical, the application of materials shall be closely supervised by a qualified person.
(10) When a felt-laying machine or any other equipment that is pulled by an operator who walks backwards is being used, the operator shall be no closer than 3 feet to the roof edges that are parallel (or nearly so) to the direction in which the operator is moving. Motorized equipment on which the operator rides shall not be used or stored between the warning line and the roof edge.

Note: The provisions of subsection (b) do not apply when employees are protected by the use of one or a combination of the following methods:
Personal Fall Protection [Section 1724(f)].
Catch Platforms [Section 1724(c)].
Scaffold Platforms [Section 1724(d)].
Eave Barriers [Section 1724(e)].
Standard Railings and Toeboards (Article 16).
Parapets at least 24 inches high; except that at those job sites where felt-laying machines or other equipment that is pulled by an operator who walks backwards or motorized equipment on which the operator rides is being used, the provisions of this subsection shall not apply provided that the parapet is 36 inches or more in height at those roof edges which are perpendicular (or nearly so) to the direction in which the equipment is moving.
(c) Slopes Greater Than 4:12--Single-Unit (Monolithic) Roof Coverings. Employees shall be protected from falls from roofs of a height of more than 20 feet by use of one or a combination of the following methods:
(1) Parapets, 24 inches or higher.
(2) Personal Fall Protection [Section 1724(f)].
(3) Catch Platforms [Section 1724(c)].
(4) Scaffold Platforms [Section 1724(d)].
(5) Eave Barriers [Section 1724(e)].
(6) Standard Railings and Toeboards (Article 16).

Note: The provisions of this subsection (c) do not apply under the following conditions:

At those job sites where motorized equipment on which the operator rides which has been designed for use on roofs of slopes greater than 4:12 is being used if the parapet is 36 inches or more in height at those roof edges which are perpendicular (or nearly so) to the direction in which the equipment is moving.

(d) Equipment Hazards on Sloped Roofs--Single-Unit (monolithic) Roof Coverings. Equipment that is pulled by an operator who walks backwards shall not be used on a roof having a slope greater than 4:12.
(e) Slopes 0:12 Through 5:12--Multiple-Unit Roof Coverings. Employees shall be protected from falls from roofs that are of a height of more than 20 feet by the use of a roof jack system as provided in Section 1724(a), a minimum of 24-inch high parapet, or other method affording equivalent protection.
(f) Slopes Greater Than 5:12--Multiple-Unit Roof Coverings. Employees shall be protected from falls from roofs that are of a height of more than 20 feet by one or a combination of the following methods:
(1) A parapet at least 24 inches high.
(2) Personal Fall Protection [Section 1724(f)].
(3) Catch Platforms [Section 1724(c)].
(4) Scaffold Platforms [Section 1724(d)].
(5) Eave Barriers [Section 1724(e)].
(6) Roof Jack Systems [Section 1724(a)] (Safety lines shall be required in conjunction with roof jack systems on roofs steeper than 7:12)

Note: For purposes of Section 1730, the height measurement shall be determined by measuring the vertical distance from the lowest edge of the roof or eaves to the ground or level below. The height of parapets shall not be included in the roof height measurements.
Exception to Section 1730: Section 1731 applies instead of Section 1730 for roofing work on new production-type residential construction with roof slopes 3:12 or greater.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b)(5) and (b)(9) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (b) filed 8-6-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsections (b)(1), (c), (e) and (f) filed 10-30-81; effective thirtieth day thereafter (Register 81, No. 44).
4. Amendment of subsection (a) filed 12-15-86; effective thirtieth day thereafter (Register 86, No. 51).
5. Editorial correction of subsection (c)(5) (Register 95, No. 41).
6. Amendment of subsections (b)(10), (c)(2) and (f)(2) filed 7-2-98; operative 8-1-98 (Register 98, No. 27).
7. Amendment adding Exception to subsection (f)(6) filed 3-2-2007; operative 4-1-2007 (Register 2007, No. 9).
§1731. Roof Hazards -- New Production-Type Residential Construction.
Note     •     History

(a) Scope and Application.
(1) This section shall apply only to roofing work on new production-type residential construction with roof slopes 3:12 or greater.
(2) This section does not apply to custom-built homes, re-roofing operations, roofing replacements or additions on existing residential dwelling units.
For other roofing operations and slopes less than 3:12, see Section 1730.
(b) Definitions.
Custom-built home. A single detached housing unit built under a single contract.
Eaves. The lowest edge of a sloped roof.
Production-type residential construction. Any new residential housing unit that is not a custom-built home.
Roof. The exterior surface on the top of a building. This does not include floors or formwork which, because a building has not been completed, temporarily become the top surface of a building.
Roof slope. For the purposes of this section, the incline angle of a roof surface, given as a ratio of the vertical rise to the horizontal run. For example, a 4:12 roof has 4 feet of vertical rise for 12 feet of horizontal run.
Roof work. The loading and installation of roofing materials, including related insulation, sheet metal that is integral to the roofing system, and vapor barrier work, but not including the construction of the roof deck.
(c) Fall protection for roofing work.
(1) Roof Slopes 3:12 through 7:12: Employees shall be protected from falling when on a roof surface where the eave height exceeds 15 feet above the grade or level below by use of one or any combination of the following methods:
(A) Personal Fall Protection (Section 1670).
(B) Catch Platforms [Section 1724(c)].
(C) Scaffold Platforms [Section 1724(d)].
(D) Eave Barriers [Section 1724(e)].
(E) Standard Railings and Toeboards (Article 16).
(F) Roof Jack Systems [Section 1724(a)].
(2) Roof Slopes Steeper than 7:12: Employees shall be protected from falling by methods prescribed in Subsections (c)(1)(A), (B), (C), or (E) regardless of height.
(d) Training.
(1) In addition to training required by Sections 1509 and 3203, each affected employee shall be trained to ensure specific awareness of the fall hazards associated with roofing work, including, but not limited to:
(A) Work on or near gable ends,
(B) Slipping hazards,
(C) Roof holes and openings,
(D) Skylights,
(E) Work on ladders and scaffolds,
(F) Access to roof,
(G) Placement and location of materials on the roof,
(H) Impalement hazards, and
(I) Care and use of fall protection systems.
(2) Documentation of employee training shall be maintained as required by Section 3203 of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-2-2007; operative 4-1-2007 (Register 2007, No. 9).
Article 31. Demolition
§1733. Permits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-1-74 as an emergency; effective upon filing (Register 74, No. 31).
2. Certificate of Compliance filed 11-22-74 (Register 74, No. 48). 
3. Certificate of Compliance refiled 11-27-74 (Register 74, No. 48).
4. Repealer and new section filed 11-29-74; effective thirtieth day thereafter (Register 74, No. 48).
5. Repealer filed 12-4-86; effective thirtieth day thereafter (Register 86, No.49).
§1734. Supervision.
Note     •     History

(a) Demolition work shall at all times be under the immediate supervision of a qualified person with the authority to secure maximum safety for employees engaged in demolition work.
(b)(1) Prior to permitting employees to start demolition operations, a qualified person shall make a survey of the structure to determine the condition of the framing, floors, and walls, and the possibility of an unplanned collapse of any portion of the structure. Any adjacent structure where employees may be exposed shall also be similarly checked.
(2) The survey shall be in written form, kept on the job-site and made available to the Division upon request. The written survey shall be maintained for the duration of the demolition project.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (b) filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment filed 12-4-86; effective thirtieth day thereafter (Register 86, No. 49).
3. Amendment of subsection (a) and newly designated subsection (b)(1) and new (b)(2) filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
§1735. Demolishing Buildings.
Note     •     History

(a) Utility companies shall be notified and all utility service shut off, capped, or otherwise controlled, at the building or curb line before starting demolition, unless it is necessary to use electricity or water lines during demolition. If use is necessary, the utility services shall be relocated or rearranged as necessary and protected from physical damage. 
(b) It shall also be determined if any type of hazardous chemicals, gases, explosives, flammable materials, or similarly dangerous substances have been used in any pipes, tanks, or other equipment on the property. When the presence of any such substances is apparent or suspected, testing and purging shall be performed and the hazard eliminated before demolition is started.
(c) Pipe-covering insulation, steel beam and column fire protection, and heating, ventilating and air-conditioning duct work shall be surveyed for asbestos. If asbestos is present, the employer shall comply with Section 1529.
(d)(1) Prior to starting demolition operations, all structural or other hazardous deficiencies noted during the survey required by Section 1734(b)(1) shall be shored, braced or otherwise corrected as recommended in the survey.
(2) Walls, which serve as retaining walls to support earth or adjoining structures, shall not be demolished until the hazard from moving ground has been eliminated by sloping, shoring or, where necessary, adjoining structures have been properly underpinned.
(3) Walls, which are to serve as retaining walls against which debris will be piled, shall not be so used unless determined to be capable of safely supporting the imposed load.
(4) During demolition, continuing inspections shall be made as the work progresses to detect hazards resulting from weakened or deteriorated floors or walls, or loosened material.
Employees shall not be permitted to work where such hazards exist until they are corrected by shoring, bracing, or other effective means.
(e) In demolishing any building or structure or alteration involving partial demolition thereof, all material displaced, unless required for reconstruction, shall be transported immediately to the ground. The amount of material stored upon any structure or any portion of such structure shall not exceed its safe carrying capacity.
(f)(1) Except for the cutting of holes in floors for chutes, holes through which to drop materials, preparation of storage space, and similar necessary preparatory work, the demolition of exterior walls and floor construction shall begin at the top of the structure and proceed downward and each story of exterior wall and floor construction shall be removed and dropped into the storage space before commencing the removal of exterior walls and floors in the story next below.
(2) Any openings cut in a floor for the disposal of materials shall be no larger in size than 25 percent of the aggregate of the total floor area, unless the lateral supports of the removed flooring remain in place. Floors weakened or otherwise made unsafe by demolition operations shall be shored to safely support the intended imposed load from demolition operations.
(3) Flooring boards may be removed from not more than one floor above grade to provide storage space for debris, provided falling material is not permitted to endanger structural stability.
(4) When wood floor beams serve to brace interior walls or free-standing exterior walls, such beams shall be left in place until other equivalent support can be installed to replace them.

Note: For selective demolition by explosives of buildings and structures, refer to appropriate Articles of Group 18, Explosives and Pyrotechnics of the General Industry Safety Orders and this Article.
(g) Sections of walls shall not be allowed to fall upon floors supported by wood joists or other floors unable to withstand such impact.
(h) Walkways that meet the requirements of Section 1624 shall be provided where necessary for access.
(i) Walking across exposed floor joists, steel beams, or girders is prohibited.
(j) All persons on demolition projects shall be protected from falling material at employee entrances to multi-story structures being demolished, by sidewalk sheds or canopies or both, providing protection extending from the face of the building for a minimum of 8 feet. All such canopies shall be at least two feet wider than the building entrances or openings (one foot wider on each side thereof) and shall be capable of sustaining a load of 150 pounds per square foot. 
(k) Exterior wall openings on all floors shall be protected to a height of not less than 42 inches, except on the ground floor and the floor being demolished.
(l) Where a hazard exists from fragmentation of glass, all glazed openings shall be removed at least one floor below the working level.
(m)(1) No wall section, which is more than one story or 12 feet in height, shall be permitted to stand alone without lateral bracing, unless a civil engineer, currently registered in California, has submitted engineering data to the Division substantiating the capability of the wall to stand without lateral support.
(2) All walls shall be left in a stable condition at the end of each work day.
(n) Steel construction shall be dismantled column length by column length, and tier by tier (columns may be two-story lengths.) Any structural unit being dismantled shall not be overstressed.
(o) Planks spanning the distance between adequate beams shall be used where necessary as a substitute for weakened floors, and as access walkways over open or weakened areas. 
When demolishing floors and roofs, employees shall be prohibited from working below this activity. Demolition of floor spaces shall continue until all unsupported flooring is removed. When employees are required to remove floor support beams, wall sections, etc., by hand, scaffolding as described in Article 21 of the Construction Safety Orders or elevating work platforms and aerial devices as described in Article 24 of the General Industry Safety Orders shall be provided and used where necessary to insure employee safety.
(p)(1) Stairways designated as means of access shall be maintained clear for use within two floors or twenty-four feet of the demolition work above.
(2) Ladders shall be provided for these remaining two floors and shall be constructed and maintained in accordance with Article 25, Ladders. Other access ways shall be entirely closed off at all times.
(3) Walkways or ladders shall be provided to enable employees to safely reach or leave any scaffold or wall.
(q) In a multi-story building, when a stairwell is being used for access or egress, it shall be properly illuminated by either natural or artificial means, and completely and substantially covered over at a point not less than two floors below the floor on which work is being performed, and access to the floor where the work is in progress shall be through a properly lighted, protected, and separate passageway.
(r)(1) Construction passenger elevators for hoisting employees shall be provided on demolition projects on multi-story buildings seven or more floors or seventy-two feet or more in height.
(2) Landings shall be provided for the passenger elevators on or in buildings at intervals not to exceed four floors or forty-eight feet.
(3) Where there is doubt concerning structural integrity or engineering data indicates attachment of an elevator may jeopardize the strength of the building or structure, the Division may permit alternate methods of installation. Other means of employee access may also be allowed by the Division where the above is clearly impractical.
(s) If the method of demolition leaves the structural steel frame in place, then the tier of beams next below the tier from which beams and columns are being removed shall be planked over, unless safety nets are used or the floor of such tier has not been removed. Necessary openings for material handling are allowed. All loose material shall be removed from the steel frame as demolition progresses downward.
(t) Provisions for dust control shall include the use of water to keep material or debris sufficiently wet or other equivalent steps taken to prevent dust from rising.
(u) Mechanical equipment shall not be used on floors or working surfaces unless a qualified person has determined that such floors or surfaces are of sufficient strength to support the imposed load.
(v) Where mechanical equipment is used for demolition work, floor openings shall have curbs or stop-logs to prevent equipment from running over the edge.
(w) No salvage of materials shall be permitted during demolition operations on any building, structure, falsework or scaffold more than three stories high or the equivalent height for which a permit is required.

Note: For mechanical demolition of buildings and structures, refer to appropriate sections of Article 10 of the Construction Safety Orders, Article 93 of the General Industrial Safety Orders, and this Article.
NOTE

Authority cited: Sections 142.3, Labor Code. Reference: Sections 142.3 and 6401.5, Labor Code.
HISTORY

1. Amendment filed 2-11-72, effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment filed 5-21-75, effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment of subsection (n) filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).
4. New subsection (z) filed 4-3-78; effective thirtieth day thereafter (Register 78, No. 13).
5. Amendment filed 12-4-86; effective thirtieth day thereafter (Register 86, No. 49).
6. Editorial correction of printing error in subsection (o) (Register 92, No. 33).
7. Amendment filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
8. Editorial correction redesignating erroneous second subsection (g) as subsection (q) (Register 2010, No. 34).
§1736. Disposal of Waste Material.
Note     •     History

(a) Whenever waste material is dropped to any point lying outside the exterior walls of the building, enclosed chutes shall be used unless the area is effectively protected by barricades, fences or equivalent means. Signs shall be posted to warn employees of the hazards of falling debris.
(b) When chutes are used to load trucks, they shall be fully enclosed. Gates shall be installed in each chute at or near the discharge end. A qualified person shall be assigned to control the operation of the gate, and the backing and loading of trucks.
(c) Enclosed chutes should be designed for free flow of material, but if clogging or stoppages occur, employees shall not remove material from the chutes with their hands. Picks or other suitable implements shall be used for this purpose. 
(d) Any chute opening, into which employees dump debris by hand, shall be protected by a guardrail. Any open spaces between the chute and the edge of floor openings through which the chute passes shall be covered over.
(e) When operations are not in progress, the discharge end of the chute shall be securely closed off, or the area barricaded or fenced as provided in Section 1736(a).
(f) When debris is dropped through holes in the floor without the use of chutes, the area onto which the material is dropped shall be completely enclosed with barricades not less than 42 inches high, and not less than six feet back from the projected edge of the opening above. Signs warning of the hazard of falling materials shall be posted at each level. Debris removal shall not be permitted in this lower drop area until debris handling ceases above.
(g) All scrap lumber, waste material, and rubbish shall be removed from the immediate work area as the work progresses.
(h) All solvent waste, oily rags, and flammable liquids shall be kept in fire resistant covered containers until removed from the work site.
(i)(1) Where the material is dumped from mechanical equipment or wheelbarrows, a securely attached toeboard or bumper, not less than six inches thick and six inches high, shall be provided at each chute opening.
(2) Chutes shall be designed and constructed of such strength as to eliminate failure due to impact of materials or debris loaded therein.
(j) All material chutes, or sections thereof, at an angle of more than 45 degrees from the horizontal, shall be entirely enclosed, except for openings equipped with closures at or about floor level for the insertion of materials. The openings shall not exceed 48 inches in height measured along the wall of the chute. At all stories below the top floor, such openings shall be kept closed when not in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-11-72; effective thirtieth day thereafter (Register 72, No. 7).
2. Amendment of subsection (b) and new subsection (h) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21). for specific requirements involving permit requirements, see the Unfired Pressure Vessel Safety Orders.
3. Amendment filed 12-4-86; effective thirtieth day thereafter (Register 86, No. 49).
4. Amendment of section heading, subsections (a)-(c), new subsection (d), subsection relettering, amendment of newly designated subsections (e)-(f) and (i)(1), and new subsection (j) filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
§1737. Fire Prevention. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-11-72; effective thirtieth day thereafter (Register 72, No.7).
2. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Repealer filed 12-4-86; effective thirtieth day thereafter (Register 86, No.49).
Article 32. Oxygen, Acetylene,  and Fuel Gas
§1739. Permit to Operate. [Repealed]
History

HISTORY

1. Repealer filed 1-18-78; effective thirtieth day thereafter (Register 78, No. 3).
§1740. Storage and Use of Cylinders.
Note     •     History

(a) All gas cylinders shall be protected against undue absorption of heat. 
(b) Acetylene and Fuel gas cylinders, including but not limited to welding and cutting fuel gas cylinders, shall be stored and used with the valve end up. 

Exception: Fuel gas cylinders containing fuel gas used to power industrial trucks regulated by Article 25 of the General Industry Safety Orders.
Cylinders containing oxygen, acetylene or fuel-gases shall not be taken into confined spaces.
(c) Gas cylinders in portable service shall be conveyed by suitable hand trucks to which they are securely fastened, or safely carried where job conditions require. All gas cylinders in service shall be securely held in substantial fixed or portable racks, or placed so they will not fall or be knocked over.
Valve protection caps, when provided for, shall be put in place before cylinders are moved, transported or stored.
(d) Gas cylinders raised or lowered by crane, hoist, or derrick must be handled in suitable cradles, nets, or skip boxes, and shall never be lifted by magnet or by rope or chain slings.
(e) Cylinders must not be placed where they might form a part of any electric circuit.
(f) No attempt shall be made to transfer acetylene from one cylinder to another, or to mix gases in a cylinder.
(g) Oxygen cylinders in storage shall be separated from fuel-gas cylinders or combustible materials (especially oil or grease), a minimum distance of 20 feet or by a noncombustible barrier at least 5 feet high having a fire-resistance rating of at least one-half hour.
(h) Cylinders shall be kept far enough away from the actual welding or cutting operation so that sparks, hot slag, or flame will not reach them. When this is impractical, fire resistant shields shall be provided.
(i) LP-Gas vessels used for roofer's tar pots, plumber's pots and torches, space heaters, etc., shall be so installed that heat from the burner will not increase the temperature of the tank more than 10 degrees Fahrenheit after one hour of operation of the burner at full capacity.
(j) LP-Gas vessels installed on mobile equipment shall have the bottom of the container, and/or any outlet connection, not lower than the lowest horizontal edge of the vehicle axle when fully loaded. Such units shall be adequately secured to prevent jarring loose, slipping, or rotating.
(k) Use of Fuel Gas.
(1) The employer shall instruct employees in the safe use of fuel gas.
(2) Before a regulator to a cylinder valve is connected, the valve shall be opened slightly and closed immediately. (This action is generally termed “cracking” and is intended to clear the valve of dust or dirt that might otherwise enter the regulator.)
(3) The person cracking the valve shall stand to one side of the outlet, not in front of it. The valve of a fuel gas cylinder shall not be cracked where the gas would reach welding work, sparks, flame, or other possible sources of ignition.
(l) The cylinder valve shall be opened slowly to prevent damage to the regulator. For quick closing, valves on fuel gas cylinders shall not be opened more than 1 1/2 turns. When a special wrench is required, it shall be left in position on the stem of the valve while the cylinder is in use so that the fuel gas flow can be shut off quickly in case of an emergency. In the case of manifolded or coupled cylinders, at least one such wrench shall be available for immediate use. Nothing shall be placed on top of a fuel gas cylinder, when in use, which may damage the safety device or interfere with the quick closing of the valve.
(m) When the valve on a fuel gas cylinder is opened and there is found to be a leak around the valve stem, the valve shall be closed and the gland nut tightened. If this action does not stop the leak, the use of the cylinder shall be discontinued, and it shall be properly tagged and removed from the work area. In the event that fuel gas should leak from the cylinder valve, rather than from the valve stem, and the gas cannot be shut off, the cylinder shall be properly tagged and taken outdoors, to an isolated area, away from personnel and sources of ignition. The supplier shall promptly be notified of the leaking cylinder valve and the supplier's instructions shall be followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 1-5-87; effective thirtieth day thereafter (Register 87, No. 2).
3. Amendment of subsection (m) filed 1-6-99; operative 2-5-99 (Register 99, No. 2).
4. Amendment of subsection (b) filed 8-21-2007; operative 9-20-2007 (Register 2007, No. 34).
§1741. Pressure Regulators.
Note     •     History

Regulators that reduce the vapor pressure of fuel gas to not more than 20 psi are required for all installations within structures or confined spaces unless the burner or appliance specifically requires a higher pressure and equivalent safety is provided. The use of regulators or automatic pressure-reducing valves shall be limited to the pressures and the types of gases for which they were designed. Regulators are required for installations where a fuel gas hose is between fuel source and burner.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-5-87; effective thirtieth day thereafter (Register 87, No. 2).
§1742. Hose and Connections.
Note     •     History

(a) Fuel gas hose and oxygen hose shall be easily distinguished from each other. Note: The contrast may be made by different colors or by surface characteristics readily distinguishable by the sense of touch.
(b) A single hose having more than 1 gas passage shall not be used as a connection between torch and gas outlet if a wall failure would permit the flow of either gas into the other passage.
(c) Hoses used for liquefied petroleum gas, such as butane or propane, shall be of, or lined with, materials that are resistant to the action of LP-Gas. They shall be designed for a bursting pressure of at least 1,250 psi, and shall be marked every 5 feet with the letters “LPG.” Hoses over 1/2 inch diameter shall also be marked with the manufacturer's name.
(d) The connection between fuel source and burner shall be with extra heavy steel pipe (Schedule 80), flexible metallic tubing or hose suitable for the service, and where exposed shall be protected against physical damage.
(e) When not in use, manifold and header hose connections shall be capped. As used in this subsection, “manifold” means a device used to connect the outlets of one or more gas cylinders to a central piping system, and “header” means a pipe or duct through which liquid or gas is conveyed and supplied to or received from multiple branches.
(f) When parallel sections or oxygen and fuel gas hose are taped together, not more than 4 inches out of 12 inches shall be covered by tape.
(g) Hose couplings shall be of the type that cannot be unlocked or disconnected by means of a straight pull without rotary motion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (e)-(g) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment of subsections (a), (b) and (d) filed 1-5-87; effective thirtieth day thereafter (Register 87, No. 2).
3. Amendment of subsection (e) filed 12-9-2010; operative 1-8-2011 (Register 2010, No. 50).
§1743. General Precautions.
Note     •     History

(a) No device or attachment facilitating or permitting mixture of air or oxygen with combustible gases prior to consumption, except at the burner or in a standard torch or blowpipe, shall be allowed unless approved for the purpose.
(b) Acetylene shall not be generated or utilized at a pressure in excess of 15 pounds per square inch gauge pressure.

Exception: Acetylene dissolved in suitable solvent and stored in cylinders manufactured according to Interstate Commerce Commission requirements.
(c) Oxygen cylinders and fittings shall be kept away from oil or grease. Cylinders, cylinder caps and valves, couplings, regulators, hose, and apparatus shall be kept free from oil or greasy substances and shall not be handled with oily hands or gloves. Oxygen shall not be directed at oily surfaces, greasy clothes, or within a fuel oil or other storage tank or vessel.
(d) Hose piping systems, apparatus, and fittings shall not be used.
(e) Oxygen shall never be used from a cylinder or cylinder manifold unless a pressure-reducing device intended for use with oxygen, and so marked, is provided.
(f) Acetylene shall never be brought into contact with unalloyed copper except in a blowpipe or torch.
(g) Cylinders not having fixed hand wheels shall have keys, handles or nonadjustable wrenches on valve stems while these cylinders are in service. In multiple cylinder installations only one key or handle is required for each manifold.
(h) Cylinders shall never be used as rollers or supports whether full or empty.
(i) Compressed oxygen shall not be used for ventilation, testing, or similar purposes different from its intended function in welding and burning.
(j) A dry chemical or carbon dioxide fire extinguisher rated at least 10 B:C shall be kept near operations where bottled fuel gases are being used.
(k) LP-Gas vessels shall be kept in a position so that the safety relief valve is in direct contact with the vapor space in the vessel at all times.
(l) When operations are suspended for any substantial period of time, such as during lunch or overnight, gas cylinders shall be shut off. The torch and hose shall be removed from the confined space. Upon completion or discontinuance of welding operations, the welder shall warn other workers of the location of hot metal.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-5-87; effective thirtieth day thereafter (Register 87, No. 2).
Article 33. Electrical Requirements for Construction Work
§1760. Scope.
Note     •     History

All electrical work shall be performed in accordance with the following provisions of the Electrical Safety Orders, Title 8, California Administrative Code, which are hereby expressly incorporated by reference. A subsequent repeal or amendment to any of these incorporated provisions shall also repeal or amend the incorporated provision as it applies pursuant to this section unless the Board indicates an exception for the construction industry. 

LOW-VOLTAGE ELECTRICAL SAFETY ORDERS
2300. Definitions
2305.2. Application
2320.1. General
2320.4. De-Energized Equipment or Systems
2320.6. Accident Prevention Tags
2340.1. Maintenance
2340.11. Deteriorating Agents
2340.13. Mounting and Cooling of Equipment
2340.16. Work Space About Electrical Equipment
2340.17(a). Guarding of Energized Parts
2340.22. Identification of Equipment
2340.26. Mechanical Protection
2375.18. Clearance From Ground
2390.1. General
2395.5(b). Alternating-Current Circuits and Systems to be Grounded
2395.6. Portable and Vehicle-Mounted Generators
2395.45. Equipment Connected by Cord and Plug
2395.51. Effective Grounding
2395.59. Cord- and Plug-Connected Equipment
2395.70. General
2405.1(a). Scope
2405.2. General
2405.3. Temporary Poles
2405.4. Ground-Fault Circuit Protection-Construction Site
2500.7. Uses Permitted
2500.9. Splices
2500.10. Pull at Joints and Terminals
2510.2(a). Receptacles. Grounding Type
2510.2(b). Skirted Plugs
2510.6. Portable Handlamps

HIGH-VOLTAGE ELECTRICAL SAFETY ORDERS
2700. Definitions
2710. Mounting Requirements
2711. Readily and Safely Accessible
2712. Atmospheric and Environmental Protection
2713. Protection Against Physical Damage
2714. Installation and Maintenance
2715. Identification
2716. Ampacities
2717. Energized Parts
2743. Grounding of Systems Supplying Portable High-Voltage
   Equipment
2790. Use
2797. Use
2798. Guarding
2799. Time Limits
2845. Power Fuses
2906. General
2907. Overcurrent Protection
2908. Enclosures
2909. Collector Rings
2910. Power Cable Connections to Mobile Machines
2930. Enclosure and Grounding
2933. Illumination
2934. Elevation of Unguarded Live Parts
2935. Installation of Electrical Equipment in an Outdoor Enclosure  2936. Passageway and Open Spaces
2940. General Provisions
2946. Provisions for Preventing Accidents Due to Proximity to
   Overhead Lines
2947. Warning Signs Required
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 33 (Sections 1760-1768) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). For prior history, see Registers 70, No. 48; 73, No. 30; 74, No. 28.
2. New Article 33 (Section 1760) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment filed 3-16-83; effective thirtieth day thereafter (Register 83, No. 12).
4. Editorial correction filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20).
Article 34. Nonionizing Radiation
§1800. Scope. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former Article 34 to Article 35 and new Article 35 (§§ 1800 through 1813) filed 2-14-73; effective thirtieth day thereafter (Register 73, No. 7 ).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1801. Nonionizing Radiation.
Note     •     History

(a) Only qualified and trained employees shall be assigned to install, adjust, and operate laser equipment.
(b) Proof of qualification of the laser equipment operator shall be available and in possession of operator at all times.
(c) Employees, when working in areas in which a potential exposure to direct or reflected laser light greater than 0.005 watt (5 milliwatts) exists, shall be provided with antilaser eye protection devices as specified in Section 3382(e) of the General Industry Safety Orders.
(d) Areas in which lasers are used shall be posted with laser warning signs and labels in accordance with American National Standards Institute (ANSI) Z136.1-2000, American National Standard for Safe Use of Lasers, Section 4.7, which is hereby incorporated by reference.
(e) Beam shutters or caps shall be utilized, or the laser turned off, when laser transmission is not actually required. When the laser is left unattended for a substantial period of time, such as during lunch hour, overnight, or at change of shifts, the laser shall be turned off.
(f) Only mechanical or electronic means shall be used as a detector for guiding the internal alignment of the laser.
(g) The laser beam shall not be directed at employees.
(h) When it is raining or snowing, or when there is dust or fog in the air, the operation of laser systems shall be prohibited where practicable; in any event, employees shall be kept out of range of the area of source and target during such weather conditions.
(i) Laser equipment shall bear a label to indicate maximum output.
(j) Employees shall not be exposed to light intensities above:
(1) Direct staring: 1 micro-watt per square centimeter;
(2) Incidental observing: 1 milliwatt per square centimeter;
(3) Diffused reflected light: 2 1/2 watts per square centimeter.
(k) Employees shall not be exposed to microwave power densities in excess of 10 milliwatts per square centimeter.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of subsection (d) filed 8-25-97; operative 9-24-97 (Register 97, No. 35).
3. Amendment of subsections (c) and (d) filed 4-27-2007; operative 5-27-2007 (Register 2007, No. 17).
§1802. Eye and Face Protection. [Repealed]
History

HISTORY

1. Repealer filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
§1803. Fire Prevention. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1804. Arc Welding and Cutting. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1805. Fire Prevention. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1806. Base-Mounted Drum Hoists. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1807. Overhead Hoists. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1808. Conveyors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1809. Marine Operations and Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1810. Bolting, Riveting, Fitting-Up and Plumbing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Section 1810 to section 1716 filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1811. Cofferdams. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).
§1812. Underwater Blasting. [Repealed]
History

HISTORY

1. Repealer filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
§1813. Blasting in Excavation Work Under Compressed Air. [Repealed]
History

HISTORY

1. Repealer filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
Article 35. Helicopter Operations
§1900. Scope.
Note     •     History

These orders shall establish minimum safety standards for the use of helicopters. These orders do not supersede any of the regulations administered by the F.A.A., the California Division of Aeronautics, and City or County entities.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 35 (Sections 1900-1909, not consecutive) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13). For former Article 35, see “Appendices” following Article 35 (Register 75, No. 13).
2. Amendment of NOTE filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
§1901. General Requirements.
Note     •     History

(a) Prior to the start of any operation involving the use of a helicopter, a thorough survey of the conditions and hazards on the job site shall be made by the employer in conjunction with the pilot or pilot's representative to ensure a safe operation.
(b) A Code Of Safe Practices shall be formulated and enforced for operations involving the use of a helicopter. This code shall include, but is not limited to, the safe practices presented in Appendix Plate C-36-a.
(c) A daily briefing shall be conducted prior to starting work to set forth the plan of operation for that day. This briefing shall include planning to minimize possible hazards of the day's operation and all personnel exposed shall be informed and directed as to safeguards and escape procedures.
(d) If the helicopter pilot in command for any reason believes that a lift or operation cannot be performed safely, then that lift or operation shall not be attempted.
(e) Helicopter operations shall not be performed beyond the helicopter's approved external load capacity or pilot's certification. The pilot's employer shall ascertain before operations begin that the pilot is properly certificated by the F.A.A. and qualified to perform the planned operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
2. Amendment of subsection (e) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§1903. Landing Operations.
Note     •     History

(a) Landing and hovering sites shall be chosen with approval of the pilot or pilot's representative.
(b) All such sites shall have at least a 200-foot diameter area clear of all loose materials and objects which could be hazardous if displaced by rotor downwash. The helicopter shall be required to deposit or lift loads in the center of the approved area.
(c) Precautions shall be taken by the employer to eliminate as far as practical reduced visibility.
(d) Access and egress to the helicopter shall be from the front and along the same level or to a level lower than the helicopter. No one shall be permitted to approach or leave the helicopter while the engine is running or the rotor is turning without a permissive signal or instruction from the pilot or pilot's designee.
(e) Built-up landing sites shall be capable of supporting a helicopter on any single square foot of the landing surface and provide good footing.
(f) Prepared landing sites on hillsides shall be no less than 12 feet by 12 feet and shall be large enough to land the helicopter so that the largest rotor clears the hillside by a distance equal to its radius measured horizontally from the tip of the rotor.
Note: Except in emergency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
2. Amendment of subsection (b) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§1904. Static Electricity.
Note     •     History

An effective method of protecting workers from static electrical discharge shall be provided.
Note: See Appendix for a recommended method.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
§1905. Fueling.
Note     •     History

(a) The engines and radio transmitters shall be shut off, and smoking, open flame or other source of ignition shall not be permitted within 50 feet of fueling operations or fuel storage areas.

Note: Except for F.A.A. approved alternate fueling methods or closed circuit hot refueling.
(b) The helicopter and fuel supply shall be securely bonded before and during fueling operations for static electrical discharge.
(c) There shall be two 60B:C rated fire extinguishers or equivalent fire fighting protection at each fueling station attended by ground crews.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
2. Amendment of subsection (b) filed 2-23-2012; operative 3-24-2012 (Register 2012, No. 8).
§1906. Communications.
Note     •     History

(a) During helicopter operations, the pilot shall be notified at least 30 minutes prior to any blasting operation on the project and also after each blast to signify the all-clear condition.
(b) The pilot shall be informed by the person in charge of the project of the erection of any newly suspended line or other navigational hazard on the project or in the area of helicopter operations.
(c) Signal systems between air crew and ground personnel shall be understood and checked in advance of hoisting the load. Hand signals shall be as shown in Plate C-36-c Appendix.
(d) The pilot shall receive signals from only one signal person who is distinguishable from the rest of the crew.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
§1907. Ground Crew.
Note     •     History

(a) All ground crewmembers shall be thoroughly instructed by the pilot or pilot's representative in their duties and of the immediate hazards. Escape procedures shall be planned with the pilot or pilot's representative in event of helicopter failure.
(b) Ground crewmembers shall wear dust goggles for eye protection and approved head protection with chin straps in place. Ear protection and dust protection where required shall be in accordance with applicable safety orders.
(c) Only those persons associated with the helicopter operations shall be permitted to approach within 50 feet of the operating helicopter.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
§1908. Cargo Loading and Handling.
Note     •     History

(a) All cargo shall be loaded and secured under the direction of the pilot or pilot's designee.
(b) No passenger shall be transported in the helicopter with a sling load and no person shall be transported as an external or sling load, except in an emergency. 

Exception: Unless authorized by the F.A.A.
(c) Explosives and other “dangerous materials” shall not be transported except as authorized by F.A.A.
(d) All sling loads, including line stringing devices, shall be attached only to quick-release devices. Steel or metallic sling ends shall be of the pressed sleeve or swedged eye-type, or equivalent. Tag lines shall be of a length or secured in such a manner that will not allow their being drawn up into the rotors.
(e) Automatic release devices are prohibited in all construction operations where ground crews are used. The devices shall be activated only for actual placement of loads. Electrical release devices shall have mechanical back-up, be checked each day of operation, and be designed to prevent inadvertent operation.
(f) When stringing conductive lines or conductors, there shall be radio communication between the helicopter and the ground crew.
(g) When stringing lines or conductors close to or parallel to energized lines, conductive lines or reels, pay-out machines, and conductors shall be grounded as required by the High Voltage Electrical Safety Orders. Hoist wires or other gear shall not be attached to any fixed ground structure. 

Exception: When pulling lines or conductors that are allowed to “pay-out” from a container or roll off a reel.
(h) External sling load operations shall not be performed if electrical storms in the immediate vicinity make the work unsafe.
(i) Load landing operations shall not be performed when the wind conditions are deemed too unsafe by the pilot or ground crew.
(j) There shall be a minimum clearance of at least 25 feet between any energized power line, rated 50 KV or below, and any part of the rotorcraft load combination. This clearance requirement shall increase at the rate of 1/2 inch for each 1 KV. 

Exception: These minimum clearances shall not apply to helicopters or their external loads specifically utilized for power line construction, maintenance, and repair where the work in progress is under the direct supervision of the utility.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
§1909. Exposed Locations.
Note     •     History

(a) While working at the edge of or on a steep slope, members of ground crews shall be protected from falling by:
(1) A barrier of adequate design to restrain a falling person or; 
(2) A safety belt with a quick-release buckle and a life line at least 50 feet long.
(A) Where practicable when using safety belts, the area shall be cleared of objects which might snag the life lines in an escape procedure. (See Plate C-36-b, Appendix.)
(b) Workers receiving materials while on a tower-type structure shall not be positioned in a place of unnecessary exposure and shall be secured to the structure by safety belts or other equivalent protection.
(c) Ground crews on elevated surfaces more than 7 1/2 feet high, shall be protected against being swept off by rotor downwash. (See Plate C-36-b, Appendix.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
Article 36. Fire Protection and Prevention
§1920. General Requirements.
Note     •     History

(a) The employer shall be responsible for the development of a fire protection program to be followed throughout all phases of the construction work; and he shall provide for the fire fighting equipment as specified in this Article. As fire hazards occur, there shall be no delay in providing the necessary fire protection and/or prevention equipment.
Note: In cases where orders of local jurisdiction are more restrictive, those orders shall prevail.
(b) A safe and unobstructed access to all available fire fighting equipment shall be maintained at all times.
(c) All fire fighting equipment, provided by the employer, shall be conspicuously located or the location conspicuously marked.
(d) All fire fighting equipment shall be maintained in operating condition. Defective equipment shall be immediately replaced.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 36 (Sections 1920-1937, not consecutive) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (d) filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1921. Water Supply.
Note     •     History

(a) A temporary or permanent water supply, of sufficient volume, duration, and pressure, required to properly operate the fire fighting equipment as required by these orders shall be made available as soon as combustible materials accumulate.
(b) Where underground water supply lines are to be provided, they shall be installed, completed, and made available for use as soon as practicable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1922. Portable Fire Fighting Equipment.
Note     •     History

(a) Fire Extinguishers and Small Hose Lines.
(1) A fire extinguisher, rated not less than 2A, shall be provided for each 3,000 square feet of the floor area, or fraction thereof. Where the floor area is less than 3,000 square feet at least one extinguisher shall be provided. Travel distance from any point of the protected area to the nearest fire extinguisher shall not exceed 75 feet.
One 55-gallon open container of water with two fire pails may be substituted for a fire extinguisher having a 2A rating.
A 3/4-inch diameter garden-type hose line, not to exceed 75 feet in length and equipped with an adjustable nozzle, may be substituted for a 2A-rated fire extinguisher, provided it is connected to a reliable water pressure system capable of discharging a minimum, continuous flow of 5 gallons per minute with a minimum hose stream range of 30 feet horizontally. The garden-type hose lines shall be mounted on conventional racks or reels. The number and location of hose racks or reels shall be such that at least one hose stream can be applied to all points in the floor area.
At least one fire extinguisher rated not less than 2A, shall be provided on each floor. In multi-story buildings, at least one fire extinguisher shall be located adjacent to the stairway at each floor level. 

Exception: Single family residential dwellings other than apartments, lodging houses, hotels or dormitories provided that there is at least one fire extinguisher rated not less than 2A, or the equivalent, available at the job site during working hours.
(2) Extinguishers and water containers subject to freezing shall be protected from freezing.
(3) A fire extinguisher, rated not less than 10B, shall be provided within 50 feet of wherever more than 5 gallons of flammable or combustible liquids or 5 pounds of flammable gas are being used on the job site. This requirement does not apply to the integral fuel tanks of motor vehicles.
(4) Portable fire extinguishers shall be inspected monthly, or at more frequent intervals, and serviced at least annually by a person licensed or registered by the State Fire Marshal as required by the Health and Safety Code, Division 12, Part 2, Chapter 1.5, Articles 2, 3, and 6.
Note: Inspection is a “quick check” that an extinguisher is available and will operate. It is intended to give reasonable assurance that the extinguisher is fully charged and operable. This is done by seeing that it is in its designated place, that it has not been actuated or tampered with, and that there is no obvious or physical damage or condition to prevent operation.
Note: Service as defined in the State Fire Marshal's regulations pertains to the act of charging, recharging, inspecting, repairing, and hydrostatic testing of any portable fire extinguisher.
(5) The selection of extinguishers for a given situation will depend upon the character of the fires anticipated, the construction and occupancy of the individual property, the vehicle or hazard to be protected, ambient temperature conditions, and other factors. The number of extinguishers required shall be determined by reference to Section 6151 of the General Industry Safety Orders. Portable fire extinguishers shall be limited to those listed or bearing labels of the Underwriters' Laboratory or laboratories approved by the State Fire Marshal. (See Table A-2-1, NFPA 10-1984)
(b) Fire Hose and Connections.
(1) Up to 100 feet of 1 1/2-inch hose, with a nozzle capable of discharging a continuous flow of water at 25 gallons or more per minute may be substituted for a fire extinguisher rated not more than 2A in the designated area provided that the hose line can reach all points in the floor area.
(2) If fire hose connections are not compatible with local fire fighting equipment, the contractor shall provide adapters, or equivalent, to permit connections.
Note: For demolition in construction, see Section 1737, “Fire Prevention.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction of subsection (a)(4) filed 6-10-83 (Register 83, No. 24).
3. Amendment of subsection (a) filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1923. Fixed Fire Fighting Equipment.
Note     •     History

(a) Sprinkler Protection.
(1) If the facility being constructed includes the installation of automatic sprinkler protection which is proposed to be used in lieu of temporary protection, the installation shall closely follow the construction and be placed in service as soon as applicable laws permit following completion of each story.
(2) During demolition or alterations, existing automatic sprinkler installations shall be retained in service as long as reasonable. The operation of sprinkler control valves shall be permitted only by qualified persons. Modification of sprinkler systems to permit alterations or additional demolition should be expedited so that the automatic protection may be returned to service as quickly as possible. Sprinkler control valves shall be checked daily to ascertain that the protection is in service.
(3) During the construction of a building and until the permanent fire extinguishing system has been installed and in service, fire protection shall be provided in accordance with these orders.
(b) Standpipes.
(1) In all structures in which standpipes are required, or where standpipes exist in structures being altered, they shall, unless replaced by temporary construction protection, be brought up as soon as applicable laws permit, and shall be maintained as construction progresses in such a manner that they are always ready for fire protection use. The standpipes shall be provided with Siamese fire department connections on the outside of the structure, at the street level and shall be conspicuously marked and accessible. There shall be at least one standard hose outlet at each floor. These installations, when planned as part of the permanent installation, shall meet the applicable requirements of Articles 158 and 159 of the General Industry Safety Orders.
(2) Every building six (6) stories or more in height shall be provided with not less than one operable standpipe. Such standpipes shall be installed when the progress of construction is not more than 50 feet in height above grade. Such standpipes shall be provided with fire department outlet connections at accessible locations adjacent to usable stairs. Such standpipe systems shall be extended as construction progresses to within one floor of the highest point of construction having secured decking or flooring.
Where permanent fire protection equipment is required by local jurisdiction, it may be used during construction provided it is constructed concurrently and progressively with the structure and is maintained operational and accessible.
(3) Every floor shall be provided with not less than one 2 1/2-inch valve outlet for fire department use. Where construction height requires installation of a combination standpipe, fire pumps and water connections shall be provided to serve the standpipe. 
Note: For specific requirements for portions of the fire protection system not contained in these orders, refer to Article 158 of the General Industry Safety Orders or consult with the local fire authorities.
(4) Temporary standpipes may be provided in place of permanent systems if they are designed to furnish a minimum continuous flow of 75 gallons of water per minute at 50 pounds per square inch pressure with a standpipe size of not less than 4 inches. All outlets shall be not less than 2 1/2 inches. Pumping equipment sufficient to provide this pressure and volume shall be available at all times when a combination system is required.
(5) Standpipe systems for buildings under construction, if a part of the permanent system, shall be installed as required for permanent standpipe systems and meet the applicable requirements of Articles 158 and 159 of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1924. Fire Alarm Devices.
Note     •     History

(a) An alarm system, e.g., telephone system, siren, etc., shall be established by the employer whereby employees on the site and the local fire department can be alerted for an emergency.
(b) The alarm code and reporting instructions shall be conspicuously posted at phones and at employee entrances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1925. Fire Cutoffs.
Note     •     History

(a) Fire walls and exit stairways, required for the completed buildings, shall be given construction priority. Fire doors, with automatic closing devices, shall be hung on openings as soon as practicable.
(b) Fire cutoffs shall be retained in buildings undergoing alterations until operations necessitate their removal.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1930. Flammable and Combustible Liquids.
Note     •     History

(a) General.
(1) Only approved containers and portable tanks shall be used. Metal containers and portable tanks meeting the requirements of and containing products authorized by Chapter I, Title 49, of the Code of Federal Regulations (DOT Regulations), shall be deemed to be acceptable.
(2) Containers and portable tanks for flammable and combustible liquids shall conform to Table A. 

Table A 
Maximum Allowable Size of 
Containers and Portable Tanks

	Flammable Liquids 	  Combustible Liquids 

Container Type 	Class IA	Class IB 	Class IC 	Class II 	Class III

Glass	 	1 pt. 	1 qt. 	1 gal. 	1 gal. 	5 gal. 
Metal (Other than DOT 
Drums) or approved 
plastic	 	1 gal.	 5 gal. 	5 gal. 	5 gal. 	5 gal. 
Safety cans	 	2 gal.	5 gal. 	5 gal. 	5 gal. 	5 gal. 
Metal Drum (DOT Spec)	60 gal.	60 gal. 	60 gal. 	60 gal. 	60 gal. 
Approved Portable 
Tanks		660 gal.	660 gal.  	660 gal. 	660 gal. 	660 gal. 
Polyethylene
 DOT Spec 34 or as
 authorized by DOT
Exemption	 	1 gal.	 5 gal. 	5 gal. 	60 gal. 	60 gal. 
      SI Units: 1 pt. = 0.43 L; 1 qt. = 0.95 L; 1 gal. = 3.785 L
						
(3) Portable tanks in excess of 660 gallons shall have emergency venting and other devices as required by Chapters II and III of the Flammable and Combustible Liquids Code (NFPA 30-1984).
(4) Flammable or combustible liquids shall not be stored so as to limit use of exits, stairways or areas normally used for the safe egress of people.
(A) Storage in excess of 25 gallons of flammable liquids or 60 gallons of Class III liquids shall be within cabinets constructed to the requirements of NFPA 30.
(B) Not more than 25 gallons of flammable liquids shall be stored in safety cans outside of a flammable liquids storage room or storage cabinet.
(5) Not more than 120 gallons of Class I, Class II, or Class IIIA liquids may be stored in a storage cabinet. Of this total, not more than 60 gallons may be of Class I and Class II liquid. Not more than three such cabinets may be located in a single floor area, except that in an industrial occupancy additional cabinets may be located in the same floor area if the additional cabinet, or group of not more than three cabinets, is separated from any other cabinets or group of cabinets by at least 100 feet.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1931. Inside Storage.
Note     •     History

(a) Inside storage rooms shall be constructed in accordance with NFPA 30-1984.
(b) Materials which will react with water shall not be stored in the same room with flammable or combustible liquids.
(c) Storage in inside storage rooms shall comply with the following:

   Automatic 			Total Allowable  

Fire Protection * 	Fire 	Maximum 	Quantities        
 Provided 	Resistance 	Floor Area 	Gals./sq. ft./floor area
			
  yes	2-hour	500 sq. ft.	10    
  no	2-hour	500 sq. ft.	4 **   
  yes 	1-hour	150 sq. ft.	5     
  no	1-hour	150 sq. ft.	2     

* Fire protection system shall be sprinkler, water spray, carbon dioxide, dry chemical, halon or other approved system.

** Total allowable quantities of Class IA and IB Liquids shall not exceed that permitted in Table 4-4.2.7 and the provisions of 4-4.2.10 of NFPA 30-1984.
(d) Electrical wiring and equipment located in inside storage rooms used for Class I liquids shall be approved for Class I, Division 2 Locations in accordance with the Low Voltage Electrical Safety Orders.
(e) Provisions shall be made for ventilation of inside storage rooms in accordance with General Industry Safety Orders, Section 5143.
(f) In every inside storage room there shall be maintained one clear aisle at least three feet wide. Containers over 30 gallons capacity storing Class I or Class II liquids shall not be stacked one upon the other. Dispensing shall be by approved pump or self-closing faucet only.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
2. Editorial correction of subsection (e) (Register 95, No. 21).
§1932. Outside Storage.
Note     •     History

(a) Storage outside buildings shall be in accordance with Table B.

View Graphic

NOTE 1: When two or more classes of materials are stored in a single pile, the maximum gallonage in that pile shall be the smallest of the two or more separate gallonages.

NOTE 2: Within 200 feet of each container, there shall be a 12-foot wide access way to permit approach of fire control apparatus.

NOTE 3: The distances listed apply to properties that have protection for exposures as defined. If there are exposures, and such protection for exposures does not exist, the distances in column four shall be doubled.

NOTE 4: When total quantity stored does not exceed 50% of maximum per pile, the distances in columns four and five may be reduced 50%, but not less than three feet.
(b) The storage area shall be graded in a manner to divert possible spills away from buildings or other exposures or shall be surrounded by a curb at least 12 inches high. When curbs are used, provisions shall be made for draining of accumulations of ground or rain water or spills of flammable or combustible liquids. Drains shall terminate at a safe location and shall be accessible to operation under fire conditions.
(c) All available precautions shall be taken to protect the storage area against tampering or trespassers where necessary. The area shall be kept free of vegetation and combustible material.
(d) Each portable tank shall be provided with one or more devices installed in the top with sufficient emergency venting capacity to limit internal pressure under fire exposure conditions to 10 psig, or 30 percent of the bursting pressure of the tank, whichever is greater. The total venting capacity shall be not less than that specified in Section 1932(e) below. At least one pressure-actuated vent having a minimum capacity of 6,000 cubic feet of free air per hour (14.7 psig and 60oF.) shall be used. It shall be set to open at not less than 5 psig. If fusible vents are used, they shall be actuated by elements that operate at a temperature not exceeding 300o F.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1933. Fire Control.
Note     •     History

(a) Suitable fire control devices, such as small hose or portable fire extinguishers, shall be available at locations where flammable or combustible liquids are stored.
(b) At least one portable fire extinguisher having a rating of not less than 20-B units shall be located outside of, but not more than 10 feet from, the door opening into any room used for storage.
(c) At least one portable fire extinguisher having a rating of not less than 20-B units shall be located not less than 25 feet, nor more than 75 feet, from any flammable liquid storage area located outside.
(d) When sprinklers are provided, they shall be installed in an approved manner. The Standard for the Installation of Sprinkler Systems, NFPA 13-1984, provides information on the installation of sprinkler systems.
(e) At least one portable fire extinguisher having a rating of not less than 20-B:C units shall be provided on all tank trucks or other vehicles used for transporting and/or dispensing flammable or combustible liquids.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1934. Dispensing Liquids.
Note     •     History

(a) Areas in which flammable or combustible liquids are transferred at one time, in quantities greater than 5 gallons from one tank or container to another tank or container, shall be separated from other operations by 25-feet distance or by construction having a fire resistance of at least 1 hour. Drainage or other means shall be provided to control spills. Adequate natural or mechanical ventilation shall be provided to maintain the concentration of flammable vapor at or below 10 percent of the lower flammable limit.
(b) When flammable liquids are transferred from one container to another, the fill spout, nozzle or fill pipe shall be kept continuously in contact with the edge of the fill opening to prevent the discharge of static sparks. Bonding or grounding of tanks, tank vehicles, tank cars, etc., shall be in accordance with NFPA 77-1983. 
(c) Flammable liquids shall be drawn from or transferred into vessels, containers or portable tanks within a building only through a closed piping system, from safety cans, by means of a device drawing through the top, or from a container or portable tanks by gravity through an approved self-closing valve. Transferring any liquids by means of air pressure on the container or portable tanks shall be prohibited.
(d) The dispensing unit and its piping shall be protected against collision damage.
(e) Dispensing devices and nozzles for flammable liquids shall be of an approved type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1935. Use of Flammable Liquids.
Note     •     History

(a) Flammable liquids shall be kept in closed containers when not actually in use.
(b) Leakage or spillage of flammable or combustible liquids shall be disposed of promptly and safely.
(c) Flammable liquids may be used only where there are no open flames or other sources of ignition within the possible path of vapor travel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1936. Service and Refueling Areas.
Note     •     History

(a) Only approved containers and portable tanks shall be used. Metal containers and portable tanks meeting the requirements of and containing products authorized by Chapter I, Title 49, of the Code of Federal Regulations (DOT Regulations), shall be deemed to be acceptable.
(b) Dispensing devices for Class I liquids shall be of approved type. The dispensing nozzle shall be of an approved automatic-closing type without a latch-open device.
(c) Underground tanks taken out of service shall be safeguarded or disposed of by any one of the three following means:
(1) Placed in a “temporarily out of service” condition. Tanks should be rendered “temporarily out of service” only when it is planned that they will be returned to active service within a reasonable period or pending removal or abandonment within 90 days.
(2) Abandoned in place with proper safeguarding to render them inactive to explosion and/or collapse.
(3) Removed.
(d) For emergency power cutoff, a clearly identified and easily accessible switch(es) or circuit breaker(s) shall be provided at a location remote from dispensing devices, including remote pumping systems, to shut off the power to all dispensing devices in the event of an emergency.
(e) Heating equipment using gas or oil fuel may be installed in the lubrication or service room where there is no dispensing or transferring of Class I liquids provided the bottom of the combustion chamber is at least 18 inches above the floor and the heating equipment is protected from physical damage.
(f) Heating equipment approved for use in garages may be installed in the lubrication or service room where Class I liquids are dispensed provided the equipment is installed at least 8 feet above the floor.
(g) Smoking or open flames shall not be permitted in the areas used for fueling, servicing fuel systems for internal combustion engines, receiving or dispensing of flammable liquids. Conspicuous and legible signs prohibiting smoking shall be posted within sight of the person being served. The motors of all equipment being fueled shall be shut off during the fueling operation except for emergency generators, pumps, etc., where continuing operation is essential.
(h) Each service or fueling area shall be provided with at least one fire extinguisher having a rating of not less than 20-B:C located so that an extinguisher will be within 75 feet of each pump, dispenser, underground fill pipe opening, and lubrication or service area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1937. Repairs and Alterations to LP-Gas Containers.
Note     •     History

(a) No repairs or alterations involving flame, arc, or other method of welding, shall be made on any tank, cylinder, or system unless such tank, cylinder, or system shall first have been certified as free of combustible gases by competent personnel.
(b) No repair or alteration affecting the safety of the tank or cylinder shall be made to any LP-Gas tank or cylinder until the contemplated repair or alteration has been approved by a qualified inspector. Nothing in this order shall prohibit the exchange or interchange of valves, fittings, and accessories intended for the same purpose.
(c) All repairs affecting the safety of LP-Gas tanks shall be reported to the Division within twenty-one days (21 days) by the qualified inspector authorizing such repairs.
(d) Any welding necessary when making repairs or alterations to tanks shall be done by a welder qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair. Repairs to DOT cylinders shall be made under DOT regulations and control.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
§1938. Construction Site, General.
Note     •     History

(a) Internal combustion engine powered equipment shall be so located that the exhausts are well away from combustible materials. When the exhausts are piped to outside the building under construction, a clearance of at least 6 inches shall be maintained between such piping and combustible material.
(b) Temporary buildings.
(1) No temporary building shall be erected where it will adversely affect any means of exit.
(2) Temporary buildings, when located within another building or structure, shall be of either noncombustible construction or of combustible construction having a fire resistance of not less than 1 hour.
(3) Temporary buildings, located other than inside another building and not used for the storage, handling, or use of flammable or combustible liquids, flammable gases, explosives, or blasting agents, or similar hazardous occupancies, shall be located at a distance of not less than 10 feet from another building or structure. Groups of temporary buildings, not exceeding 2,000 square feet in aggregate, shall, for the purposes of this section, be considered a single temporary building.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4). 

Appendix A

Labor Code Excerpts;
Accident Prevention Program Ideas; Etc. 

PLATE A-1

LABOR CODE SECTIONS DEALING WITH DIVISION OF 
OCCUPATIONAL SAFETY AND HEALTH  IN GENERAL AS WELL AS CONSTRUCTION 

Division 5. Safety in Employment
Part 1. Occupational Safety and Health

Chapter 1. Jurisdiction and Duties 		6300-6331

Chapter 2. Education and Research	 6350-6355

Chapter 2.5 Hazardous Substances Information and Training

Article
 1. General Provisions		 6360-6363
 2. Definitions		6365-6374
 3. Hazardous Substances		6380-6386
 4. Duties		6390-6399.2
 5. Liability and Remedies		6399.5-6399.7

Chapter 3. Responsibilities and Duties of Employers and
Employees		6400-6413.5

Chapter 4. Penalties		6423-6436

Chapter 5. Temporary Variances		6450-6457

Chapter 6. Permit Requirements		6500-6511

Chapter 7. Appeal Proceedings		6600-6633

Chapter 8. Enforcement of Civil Penalties		6650-6652

Chapter 9. Miscellaneous Safety Provisions		6700-6715

Part 3. Safety on Buildings

Chapter 1. Buildings Under Construction or Repair

Article 
 1. Floors and Walls		7100-7150
 2. Scaffolding		7150-7158

 3. Construction Elevators		7200-7205
 4. Structural Steel Framed Buildings		7250-7267

Chapter 3. Safety Devices Upon Buildings to Safeguard

Window Cleaners		7325-7332

Chapter 5. Cranes

Article
 1. Permits for Tower Cranes		7370-7374
 2. Certification		7375-7384

Part 10. Use of Carcinogens

Chapter 1. General Provisions and Definitions		9000-9009

Chapter 2. Exemptions		9015

Chapter 3. Standards and Administration		9020-9022

Chapter 4. Reporting		9030-9032

Chapter 5. Medical Examination		9040

Chapter 6. Inspections		9050-9052

Chapter 7. Penalties		9060-9061

PLATE A-2 
SUGGESTED SAFETY PROGRAM FOR 
CONTRACTORS
GENERAL
1. Demonstrate your interest in safety by establishing a firm and positive accident prevention policy that includes the supplying of tangible items like hard hats, good ladders, first aid materials, and safety devices on equipment.
2. Provide that capable, responsible supervisors make regular inspections of all excavations, forms, scaffolds, stairs, ladders, structures, machinery, and equipment at frequent intervals; take immediate corrective measures to eliminate hazards directly under control of the employer, or report violations of Safety Orders and safe practices to the responsible employer.
3. Make certain that the foremen assume their share of the responsibility for accidents, and require a written report from them on each. Require that each report suggests a feasible means of avoiding future accidents of a similar nature.
4. Monthly, or more frequent, meetings of all foremen should be held under direction of the superintendent for a discussion of safety problems and accidents that have occurred. Have something specific ready for discussion, such as safety regulations, or any changes in equipment and methods that are to be adopted for safety reasons.
5. Display safety posters and warning signs. A sign indicating how many consecutive accident-free days have passed is often worthwhile.
6. Consider the advisability of posting a list of all foremen who have kept their crews accident free for a certain period of time.
7. Consider the advisability of establishing various forms of safety competition, including suitable rewards or recognition to individuals and crews with good records.
8. Require foremen to give individual safety instructions and orders, as needed, to new workers and those found to be working unsafely.
9. Consider the advisability of having the foremen call short “toolbox” or “tail-gate” safety meetings with their crews about once a week on the job, to emphasize some particular safety problem that needs special attention.
10. Keep track of your safety record and keep everyone posted as to progress. A graph or chart, indicating gains or losses, is good for this purpose.
11. Encourage safety suggestions from all workers and, if the suggestion cannot be followed promptly, explain why to the worker.
12. Consider the advisability of giving each worker a copy of certain important safety rules that they are expected to follow.
13. Arrange for frequent and regular field safety inspections.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-3-85, effective thirtieth day thereafter (Register 85, No. 14). 
2. Change without regulatory effect deleting appendices' introduction and index and amending Plate A-1 filed 6-14-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 25).

PLATE A-2-a 
ADVANCE PLANNING SUGGESTED FOR 
CONSTRUCTION WORK
Each operation of a construction job should be planned in advance. Such planning is needed at all stages of the project. It should start with the estimators, prior to preparations of bids, and continue throughout the job, with superintendents and foremen doing their share.
Construction planning will eliminate some accidents automatically, by creating a well-organized job. But expert planning gives special attention to safety, and thus is highly effective in making the operation safe and efficient.
1. Safe Access and Movement
(a) Workers
(1) Adequate work areas.
(2) Adequate walkways and runways.
(3) Adequate ladders, stairways, or elevators.
(4) Work areas and passageways clear of rubbish, debris, nails, etc.
(5) Protection for floor and roof openings.
(6) Adequate illumination.
(b) Vehicles
(1) Good roads.
(A) Adequate turn space.
(B) Adequate parking area.
(C) Free from excessive mud and dump areas.
(2) Separate materials storage areas and dump areas.
(3) Adequate signs, signals, etc., to route vehicles on job.
(4) Maintenance and repair of vehicles.
(c) Location of Utilities and Service
(1) Locate saw, tool sheds, office, etc., in a safe, convenient place.
(2) Consider location of high-voltage lines.
(A) Arrange to move, de-energize, or erect barrier, if contact is a possibility.
(3) Locate sanitary facilities, drinking water, power, etc., for safety and convenience.
2. Schedule Work for Safety
(a) Have safety materials on job when needed, i.e., personal protective equipment, shoring, first aid, etc.
(b) Plan work so that too many trades are not in a small area at the same time.
3. Work Procedures
(a) Materials Handling
(1) Methods of elevating and handling materials.
(A) Adequate space.
(B) Proper auxiliary equipment, i.e., cranes, hoists, elevators, trucks, etc.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14). 

PLATE A-2-b
(2) Methods of loading and unloading.
(A) Adequate space.
(B) Proper auxiliary equipment, i.e., power shovels, cranes, rigging, fork lifts, etc.
(b) Tools and Equipment
(1) Repair, maintenance, and care.
(2) Inspection.
(3) Adequate supplies of the right tools for each part of job.
(c) Workers and Foremen
(1) Proper job placement.
(2) Adequate training and supervision.
(3) Adequate manpower.
(4) Plans for maintaining interest in safety.
(A) Safety bulletins, record charts, and posters.
(B) Recognition for groups or individuals with safety records.
(C) Investigation and reporting on all accidents.
(D) Knowledge of safety orders.
(E) Safety meetings.

View Graphic

A RULE BREAKER IS AN ACCIDENT MAKER

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE A-3 
CODE OF SAFE PRACTICES
(This is a suggested code. It is general in nature and intended as a basis for preparation by the contractor of a code that fits his/her operations more exactly.)

GENERAL
1. All persons shall follow these safe practices rules, render every possible aid to safe operations, and report all unsafe conditions or practices to the foreman or superintendent.
2. Foremen shall insist on employees observing and obeying every rule, regulation, and order as is necessary to the safe conduct of the work, and shall take such action as is necessary to obtain observance.
3. All employees shall be given frequent accident prevention instructions. Instructions shall be given at least every 10 working days. When applicable, the accident prevention instructions shall also include specific instruction on the safe use, care and maintenance of fall protection equipment (i.e. fall arrest systems, positioning device systems, safety nets, etc.) used at the jobsite.
4. Anyone known to be under the influence of drugs or intoxicating substances which impair the employee's ability to safely perform the assigned duties shall not be allowed on the job while in that condition.
5. Horseplay, scuffling, and other acts which tend to have an adverse influence on the safety or well-being of the employees shall be prohibited.
6. Work shall be well planned and supervised to prevent injuries in the handling of materials and in working together with equipment. 
7. No one shall knowingly be permitted or required to work while the employee's ability or alertness is so impaired by fatigue, illness, or other causes that it might unnecessarily expose the employee or others to injury.
8. Employees shall not enter manholes, underground vaults, chambers, tanks, silos, or other similar places that receive little ventilation, unless it has been determined that it is safe to enter.
9. Employees shall be instructed to ensure that all guards and other protective devices are in proper places and adjusted, and shall report deficiencies promptly to the foreman or superintendent.
10. Crowding or pushing when boarding or leaving any vehicle or other conveyance shall be prohibited.
11. Workers shall not handle or tamper with any electrical equipment, machinery, or air or water lines in a manner not within the scope of their duties, unless they have received instructions from their foreman.
12. All injuries shall be reported promptly to the foreman or superintendent so that arrangements can be made for medical or first aid treatment.
13. When lifting heavy objects, the large muscles of the leg instead of the smaller muscles of the back shall be used.
14. Inappropriate footwear or shoes with thin or badly worn soles shall not be worn.
15. Materials, tools, or other objects shall not be thrown from buildings or structures until proper precautions are taken to protect others from the falling objects.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14).
2. Amendment of first paragraph and provision number 3. filed 7-30-97; operative 8-29-97 (Register 97, No. 31).

PLATE A-3-a
16. Employees shall cleanse thoroughly after handling hazardous substances, and follow special instructions from authorized sources.
17. Hod carriers should avoid the use of extension ladders when carrying loads. Such ladders may provide adequate strength, but the rung position and rope arrangement make such climbing difficult and hazardous for this trade.
18. Work shall be so arranged that employees are able to face ladder and use both hands while climbing.
19. Gasoline shall not be used for cleaning purposes.
20. No burning, welding, or other source of ignition shall be applied to any enclosed tank or vessel, even if there are some openings, until it has first been determined that no possibility of explosion exists, and authority for the work is obtained from the foreman or superintendent.
21. Any damage to scaffolds, falsework, or other supporting structures shall be immediately reported to the foreman and repaired before use. 

USE OF TOOLS AND EQUIPMENT
22. All tools and equipment shall be maintained in good condition.
23. Damaged tools or equipment shall be removed from service and tagged “DEFECTIVE.”
24. Pipe or Stillson wrenches shall not be used as a substitute for other wrenches.
25. Only appropriate tools shall be used for the job.
26. Wrenches shall not be altered by the addition of handle-extensions or “cheaters.”
27. Files shall be equipped with handles and not used to punch or pry.
28. A screwdriver shall not be used as a chisel.
29. Wheelbarrows shall not be pushed with handles in an upright position.
30. Portable electric tools shall not be lifted or lowered by means of the power cord. Ropes shall be used.
31. Electric cords shall not be exposed to damage from vehicles.
32. In locations where the use of a portable power tool is difficult, the tool shall be supported by means of a rope or similar support of adequate strength.

MACHINERY AND VEHICLES
33. Only authorized persons shall operate machinery or equipment. 
34. Loose or frayed clothing, or long hair, dangling ties, finger rings, etc., shall not be worn around moving machinery or other sources of entanglement.
35. Machinery shall not be serviced, repaired or adjusted while in operation, nor shall oiling of moving parts be attempted, except on equipment that is designed or fitted with safeguards to protect the person performing the work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14).

PLATE A-3-b
36. Where appropriate, lock-out procedures shall be used.
37. Employees shall not work under vehicles supported by jacks or chain hoists, without protective blocking that will prevent injury if jacks or hoists should fail.
38. Air hoses shall not be disconnected at compressors until hose line has been bled.
39. All excavations shall be visually inspected before backfilling, to ensure that it is safe to backfill.
40. Excavating equipment shall not be operated near tops of cuts, banks, and cliffs if employees are working below.
41. Tractors, bulldozers, scrapers and carryalls shall not operate where there is possibility of overturning in dangerous areas like edges of deep fills, cut banks, and steep slopes.
42. When loading where there is a probability of dangerous slides or movement of material, the wheels or treads of loading equipment, other than that riding on rails, should be turned in the direction which will facilitate escape in case of danger, except in a situation where this position of the wheels or treads would cause a greater operational hazard. 

BLASTING OPERATIONS
1. Cases that have contained explosives shall be destroyed by burning out-of-doors. Do not burn in a stove or furnace.
2. Shoes with nails or metal plates shall not be worn in magazines or near explosives.
3. Blasting caps shall only be carried in approved containers.
4. The least amount of proper strength explosive that will do the job effectively shall be used.
5. Detonators and primers shall be separated from the explosives until it is necessary to bring them together in preparing for the blast.
6. Holes loaded during a shift should be fired during that shift. 
7. The operations of loading and firing should be carried out with as few workers as possible.
8. Drill holes shall be blown out and made ready before explosives are brought to the site.
9. In tamping explosives, steady, even pressure should be used.
10. For electric blasting, the following shall apply:
(a) Tight electrical connections.
(b) No short circuits or breaks in the wires.
(c) Enough current to fire all shots.
(d) A strong, properly-applied force when using a blasting machine operated by physical effort.
(e) Care not to damage the insulation of wires when tamping charges.
11. If misfires occur, the licensed blaster shall be contacted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).

PLATE A-3-c
ROOFING OPERATIONS
1. Knotted hand lines should not be used.
2. Roofers tending kettles, or carrying buckets of hot tar, shall wear gloves that fit snugly at the wrists, and long sleeved shirts fastened at the wrists.
3. At no time should a roofer, while handling or exposed to injury from hot tar, work without a shirt or appropriate footwear.
4. Appropriate portable fire extinguishers shall be kept at or near the kettle, attached, if practicable, to the tongue of the kettle, away from the danger zone.
5. Kettle covers should be equipped with a handle that projects at least fourteen inches (14“) away from the surface of the cover or lid.
6. Kettle covers shall be closed and latched when in transit and the kettle should be slop-proof when cover is closed.
7. When parked, means shall be provided to prevent inadvertent movement of the kettle.
8. Ladders should be used with great caution, and roof gutters should not be depended upon for support.
9. Workers handling buckets of hot tar should not carry anything that will interfere with the safety of this operation.
10. The gallows frame shall be securely anchored before hoisting materials.
11. Only muscular power shall be used to hoist materials by means of a gallows frame. A winch or power hoist shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Item No. 58 and renumbering of Item Nos. 59-61 filed 6-6-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Amendment filed 4-3-85; effective thirtieth day thereafter (Register 85, No. 14). 

Appendix B

Handy Construction Data; Facts; and
Information Plate B-1
Handy Things to Know
1. TO FIND--
(a) the circumference of a circle, multiply the diameter by 3.1416 (approx. 3 1/7).
(b) the diameter of a circle, multiply the circumference by .31831.
(c) the area of a circle, multiply the square of the diameter by .7854.
(d) the area of a triangle, multiply the base by 1/2 the perpendicular height.
(e) the volume of a sphere, multiply cube of the diameter by .5236.
A gallon of water weighs 8 1/2 pounds.
A gallon of water contains 231 cubic inches.
A cubic foot of water contains 7 1/2 gals., 1728 cubic inches and weighs 62 1/2 lbs.
In board measure all boards are assumed to be 1 inch thick. Area of a lineal foot multiplied by length in feet will give the surface contents in square feet.

PLATE B-1-a 
SANITATION OF PERSONAL SAFETY DEVICES 
(except respiratory protective equipment)
Thorough scrubbing with soap and hot water is ordinarily adequate for cleaning purposes. When additional cleaning appears necessary, one of the following treatments should be used, in addition to the soap and water scrubbing:
(1) Immerse in boiling water for five (5) minutes.
(2) The method recommended by the manufacturer for cleaning and sterilizing.
After following any of these procedures, the equipment should be thoroughly rinsed with water and hung up to dry.
Such items that have been in contact with the skin of the wearer must be replaced if they cannot be cleaned as described.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Plate B-1-a filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
2. Amendment of Plate B-1-a repealing paragraphs (1)-(2) and renumbering paragraphs filed 7-28-2006; operative 8-27-2006 (Register 2006, No. 30).

PLATE B-2
MEASURES

1 SQUARE MILE 	= 640 acres
	= 6400 square chains

1 ACRE 	= 10 square chains 
	= 4840 square yards
	= 43,560 square feet
	= a square, each side of which is 208.7 feet
	= 16 square rods 

1 SQUARE CHAIN 	= 484 square yards
	= 4356 square feet
	= 30.25 square yards 

1 SQUARE ROD	= 272.25 square feet
	= 625 square links

1 SQUARE YARD 	= 9 square feet

1 SQUARE FOOT 	= 144 square inches
	= 0.1337 cu. feet 

1 U.S. GALLON 	= 231 cu. inches
	= 4 quarts
	= 8 pints

1 CUBIC FOOT 	= 7.48 U.S. Gallons

PLATE B-3
WEIGHTS OF MATERIALS

Approximate Weight 
Material	Per Cubic Foot--Lbs.
Aluminum	166
Ashes	43
Asphalt	81
Brass	524
Brick (common)	120 (about 3 tons per 1000) 
Brick (fire)	145
Bronze	 534 
Concrete 150 	(4050 lbs. per cu. yd.)
Copper	537
Crushed Rock	95 (2565 lbs. per cu. yd.) 
Dry earth, loose 	76 (2052 lbs. per cu. yd.) 
Granite	179 
Iron, casting	450 
Lead	708 
Lumber, Fir 	32 (2666 lbs. 1000 ft.) 
Lumber, Oak 	62 (5166 lbs. 1000 ft.) 
Marble 	168 
Mortar 	100 
Port. Cement 	94 (376 lbs. per barrel) 
River Sand 	120 (3240 lbs. cu. yd.) 
Steel 	490 
Tar 	63
Tile 	115
Water 	62.5 
Zinc 437

PLATE B-4 
WEIGHTS OF METALS PER SQUARE FOOT

Thickness	Wrought	Cast 
Inches	 Iron	Iron 	Steel 	 Copper	Tin 	Zinc 	Brass 	Lead

	                                       Weights, Pounds per Square Foot
									
1/16	2.50	 2.34 	2.55 	2.89	2.41	2.28	2.63 	3.7
1/8 	5.00 	4.69 	5.10 	5.79	4.81	4.55	5.26 	7.4
3/16 	7.50 	7.03 	7.65 	8.68	7.22	6.83	7.89	11.1
1/4 	10.0 	9.38 	10.2 	11.6	9.63	9.10	10.5 	14.8
5/16 	12.50 	11.7 	12.8 	14.5	12.0	11.4	13.2 	18.5
3/8 	15.00 	14.1 	15.3 	17.4	 14.4	13.7	15.8 	22.2
7/16 	17.50 	16.4 	17.9 	20.3	16.8	15.9	18.4 	25.9
1/2 2	0.00 	18.7 	20.4 	23.2	19.3	18.2	21.1 	29.7
9/16 	22.50 	21.1 	23.0 	26.0	21.7	20.5	23.7 	23.4
5/8 	25.00 	23.5 	25.5 	28.9	24.1	22.8	26.3 	37.1
11/16 	27.50 	25.8 	28.1 	31.8	26.5	25.0	28.9 	40.8
3/4 	30.00 	28.1 	30.6 	34.7	28.9	27.3	31.6 	44.4
13/16 	32.50 	30.5 	33.2 	37.6	31.3	 29.6	34.2 	48.2
7/8 	35.00 	32.8 	35.7 	40.5	33.7	31.9	36.8 	51.9
15/16 	37.50 	35.2 	38.3 	43.4	36.1	34.1	39.5 	55.6
1 	40.00 	37.5 	40.8 	46.3	38.5	36.4	42.1 	59.3

For rates in square inch, divide by 144.

PLATE B-5
WIND FORCE

FORCE OF WIND IN POUNDS PER SQUARE FOOT

  		Force 		Force    
  Miles 	per Square	Miles 	per Square 
per Hour	Foot--in Lbs. 	per Hour 	Foot--in Lbs.

	1	0.005	20	1.969
	2	0.020	25	3.075
	3	0.044	30	4.429
	4	0.079	35	6.027
	5	0.123	40	7.873
	6	0.177	45	9.963
	7	0.241	50	12.30
	8	0.315	55	14.9
	9	0.400	60	17.71
	10	0.492	65	20.85
	12	0.708	70	24.1
	14	0.964	75	27.7
	15	1.107	80	31.49
	16	1.25	100	49.2
	18	1.55

PLATE B-6
RULE OF THUMB
(The following are not suggested as a substitute for accurate tables and reference material, but are sometimes useful in making a final safety check.)
Nails
Safe load lateral resistance in pounds equal eight (8) times the pennyweight.
1-6d nail = 8 x 6, or 48 pound
1-6d nail = 8 x 8, or 64 pounds
1-10d nail = 8 x 10, or 80 pounds
Manila Rope
Safe load in tons equals diameter in inches squared. Not accurate in sizes larger than one inch (1”).
1” rope = 1 x 1, or 1 ton safe load
1/2” rope = 1/2 x 1/2, or 1/ Ss4 ton safe load
For sisal rope, decrease safe loads by one-third
Plow-steel Cable
Safe load in tons is eight (8) times the diameter in inches squared.
1/2” rope = 1/2 x 1/2 = 1/4 x 8 = 2 tons
Open Eye Hook
Safe load in tons is diameter of eye in inches squared.
2” hook, 2 x 2 = 4 tons
Shackle
Safe load in tons is diameter of pin in one-fourth inches (1/4“) squared and divided by three (3).
1/2” diameter = 2 quarters 

View Graphic
Chains
Safe load in tons in six (6) times the square of the diameter of chain stock.
1/2” diameter chain stock
1/2 x 1/2 x 6 = 1 1/2 tons or 3,000 pounds 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).

PLATE B-7
DOUGLAS FIR “STRUCTURAL PLANKS” ESPECIALLY SUITED FOR SCAFFOLDS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).

PLATE B-8
DOUGLAS FIR “SELECTED LUMBER” FOR ORDINARY
SCAFFOLD PLANK SERVICE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).

PLATE B-9
SQUARE COLUMNS--UNBRACED
ROUGH LUMBER--NOT SURFACED

Suggested Maximum Loads in Pounds -- 1,000 Pounds per Square Inch Douglas Fir

View Graphic
HISTORY

1. Change without regulatory effect correcting error in Plate B-9 filed 5-28-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 27).

PLATE B-10
SUGGESTED LOAD LIMITS
FOR TIMBER BEAMS

STRESS GRADE DOUGLAS FIR -- 500 POUNDS PER SQUARE INCH

(The loads given are for dressed beams which are slightly smaller than nominal sizes listed).

View Graphic

PLATE B-11
STRENGTH OF U.S. STANDARD
BOLTS FROM 1/4” TO 2” DIAMETER

View Graphic
HISTORY

1. Editorial correction of  Diameter of Bolts second entry (Register 95, No. 21).

PLATE B-12
CALIFORNIA HIGHWAY PATROL
STOPPING DISTANCE CHART
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Plate B-12 filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). 

PLATE B-13
MAXIMUM ALLOWABLE CONCENTRATIONS FOR
MINERAL DUSTS
HISTORY

1. Repealer of Appendix Plate B-13 filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43). 

PLATE B-13-a
TABLE 1--MINERAL DUSTS
HISTORY

1. Repealer of Appendix Plate B-13-a filed 10-18-77; effective thirtieth day thereafter (Register 77, No. 43).

PLATE B-14 Table 1
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 12006, Health and Safety Code.
HISTORY

1. Repealer and new Plate B-14 filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30).
2. Repealer and new Plate B-14 filed 6-26-97; operative 7-26-97 (Register 97, No. 26).
3. Amendment transferring Plate B-14 -- Table 1 to section 5352 -- Table EX-1 filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

Plate B-14 Table 2
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 12006, Health and Safety Code.
HISTORY

1. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

PLATE B-14a
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B-14a filed 6-26-97; operative 7-26-97 (Register 97, No. 26). For prior history, see Register 85, No. 30.
2. Amendment transferring Plate B-14a to section 5352 -- Table EX-3 filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

PLATE B-15

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Plates B-15-a and B-15-b and new Plate B-15 filed 7-8-81; effective thirtieth day thereafter (Register 81, No. 28).
2. Amendment of NOTE filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30). 
3. Repealer and new Plate B-15 filed 6-26-97; operative 7-26-97 (Register 97, No. 26). 
4. Amendment transferring Plate B-15 (tables 1-5) to section 5306 filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

PLATE B-16
LADDERS

View Graphic

Safe Procedure In Setting Up a Ladder 
The base should be one-fourth the ladder length from the vertical plane of the top support
HISTORY

1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-17
CRITERIA FOR STAIRS, LADDERS AND RAMPS OR INCLINES

View Graphic

“Don't be the Fall Guy” (for stairs installed on or after April 3, 1997)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Amendment filed 12-4-2007; operative 1-3-2008 (Register 2007, No. 49).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

1PLATE B-18 
LIGHT-TRADE POLE SCAFFOLD
For Scaffolds Over 20 Feet High Use 3” x 4” Uprights

For carpenters, lathers, shinglers, painters, plasterers, sheet metal workers
and other trades not using heavy tools or storing heavy materials on the scaffold.

View Graphic

Note: (1) Continuous sills may be required on pavement or other surfaces that might cause slipping. When uprights are placed on the ground, they must rest on sills or foot blocks that are adequate to sustain the load.
(2) Ladders do not have to be placed as shown, but may be located at any suitable place on the scaffold that gives proper access to the platform or platforms.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate B-18 filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-19
HEAVY-TRADE POLE SCAFFOLD
For Scaffolds Over 20 Feet High Use 4” x 6” Uprights

For bricklayers, stone masons, stone cutters, concrete workers and
other trades using heavy tools or storing heavy materials on the scaffold. 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate B-19 filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-20
WOODEN BRACKET SCAFFOLD (Suggested)
(Can be Prefabricated for Attachment to Wall
Forms at Various Positions, Or Can be Made As a
Permanent Part of Movable Form Panel)

View Graphic

NOTE: (1) Maximum load is 25 psf.

(2) For railing and toeboard requirements, see Article 16 and Section 1645.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-21 
METAL BRACKET SCAFFOLD (Suggested)
(“WALER JACK”)

View Graphic

Note: Bracket should not be used on walers held by wire ties unless there are at least three such ties fairly close to each jack. Bolted walers are preferred where brackets are used.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-22 
LIMIT SPANS TO 7'6” (Suggested) 
(FOR MULTIPLE SCAFFOLD USE AT LEAST
3” x 16” OUTRIGGERS)

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-23
BOATSWAIN'S CHAIR (Suggested)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Plates B-18, B-19, B-20, B-21, B-22 and B-23 filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46). 
2. Relocation and amendment of former Plate B-23 to Section 1662 (j) filed 7-24-87; operative 8-23-87 (Register 87, No. 33).

PLATE B-24 
OUTRIGGER BEAM FOR SUSPENDED STAGING (Suggested)

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Plate B-24 to Plate B-26 and renumbering and amendment of Plate B-23-a to Plate B-24 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-24
ACCEPTABLE SCAFFOLDS (Suggested)
HISTORY

1. Renumbering and amendment of former Plate B-24 to Plate B-26 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).

PLATE B-24-a
SUSPENDED LADDER SCAFFOLD (Suggested)
HISTORY

1. Renumbering and amendment of Plate B-24-a to Plate B-26-a filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 

PLATE B-25
SWING STAGE SHOWING CENTER SUPPORT
HISTORY

1. Renumbering and amendment of Plate B-25 to Plate B-28 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 

PLATE B-25-a
SAFE HITCHES AND KNOTS

View Graphic
HISTORY

1. Renumbering of Appendix Plate C-7 to B-25-a filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-25-b
PAINTER'S HITCH

View Graphic

STEPS IN MAKING A SAFE HITCH
 1. Locate and prepare place where load is to go. 
 2. Determine the weight of the load. 
 3. Determine the places where the hitching equipment is to be put on.
 4. Decide on the type of hitch and hitching equipment which is necessary.
 5. Decide on size of hitching equipment. 
 6. Put on hitch after checking condition of hitching equipment.
 7. Take out the slack and check the hitch.
 8. Raise the load to a safe level and travel to destination.
 9. Lower the load near the landing area. 
10. Adjust the blocking. 
11. Set the load down on the blocking. 
12. Remove the hitching equipment. 
13. Check the hitching equipment. 
14. Return equipment to proper place.
HISTORY

1. Renumbering of Appendix Plate C-8 to B-25-b filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Change without regulatory effect amending step 1 in Plate B-25-b filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 27).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-26
ACCEPTABLE SCAFFOLDS
(Suggested*)
SUSPENDED SCAFFOLD

View Graphic

*See section 1658 for required railing protection

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Plate B-26 filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Renumbering and amendment of former Plate B-26 to Plate B-29, and renumbering and amendment of former Plate B-24 to Plate B-26 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-26-a
SUSPENDED LADDER SCAFFOLD 
(Suggested)*

View Graphic

*See Section 1658 for required railing protection.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Plate B-24-a to Plate B-26-a filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-27
MASON'S OUTRIGGER SCAFFOLD
(Suggested)

View Graphic

PLATE B-27-a
WELDERS' PLATFORM CAGES (Suggested)

View Graphic
HISTORY

1. Renumbering of Plate B-28 to Plate B-27-a filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations for plates B-27 and B-27-a filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-28
SWING STAGE SHOWING CENTER SUPPORT ACCEPTABLE
FOR RAILING REINFORCEMENT*

View Graphic

*See Section 1658 for required railing protection.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Plate B-28 to Plate B-27-a and renumbering and amendment of Plate B-25 to Plate B-28 filed 7--24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-29
ACCEPTABLE MASONS' SUSPENDED SCAFFOLD
That Will Comply with Order No. 1659
Limit Plank Spans to 8'-0”

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Plate B-29 to Plate B-31, and renumbering and amendment of Plate B-26 to Plate B-29 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATES B-29, B-29-a and B-29-b 
HISTORY

1. Renumbering of former Plates B-29, B-29-a and B-29-b to Plates B-31, B-31-a and B-31-b filed 7-24-87; operative 8-23-87 (Register 87, No. 33).

PLATE B-30 
Nails and Spikes.
(1) Safe Lateral Strength. A common wire nail driven perpendicular to grain of the wood, when used to fasten wood members together, shall not be subjected to a greater load causing shear and bending than the safe lateral strength of the wire nail or spike as set forth in Plate B-30-a.
A wire nail driven parallel to the grain of the wood or toe nailed shall not be subjected to more than two-thirds of the lateral load allowed when driven perpendicular to grain.

PLATE B-30-a
SAFE LATERAL STRENGTH AND REQUIRED PENETRATION OF COMMON WIRE NAILS
Driven Perpendicular to Grain of the Wood

View Graphic
(2) Safe Resistance to Withdrawal. A wire nail driven perpendicular to grain of the wood shall not be subjected to a greater load, tending to cause withdrawal, than the safe resistance of the nail to withdrawal, as set forth in Plate B-30-b.
Nails driven parallel to grain of the wood shall not be allowed for resisting withdrawal forces. 

PLATE B-30-b
SAFE RESISTANCE TO WITHDRAWAL OF COMMON WIRE NAILS 
Inserted Perpendicular to Grain of the Wood, in Pounds per Linear Inch of Penetration into the Main Member 

View Graphic
(3) Spacing and Penetration. Common wire nails shall have penetration into the piece receiving the point as set forth in Plate B-30-a. Nails or spikes, for which the wire gauges or lengths are not specified in Plate B-30-a, shall have a required penetration of not less than nine and one-half diameters, and allowable loads may be interpolated.
For wood to wood joints the spacing center-to-center shall be not less than the required penetration.
Edge and end distances shall be not less than one-half of the required penetration.
Holes for nails, where necessary to prevent splitting, shall be bored of a diameter smaller than that of the nails. 

PLATE B-31 BOLTS 
Safe loads in pounds for bolts in double shear and in seasoned lumber of the following species: cypress, southern; Douglas fir (coast and inland region); larch, wester; pine, southern yellow; in joints consisting of three members in which the side members are one-half the thickness of the main member, shall not exceed values set forth in Plates B-31-a, -b. 

PLATE B-31-a
HOLDING POWER OF BOLTS 
Loads Parallel to Grain (p) 

View Graphic

1 This assumes dressed size lumber. Safe loads for other lengths of bolt in main member may be obtained by interpolation. 

PLATE B-31-b
HOLDING POWER OF BOLTS
Loads Perpendicular to Grain (q) 

View Graphic

1 This assumes dressed size lumber. Safe loads for other lengths of bolt in main member may be obtained by interpolation.
HISTORY

1. Renumbering and amendment of Plates B-29, B-29-a and B-29-b to Plates B-31, B-31-a and B-31-b filed 7-24-87; operative 8-23-87 (Register 87, No. 33).

PLATE B-32 
(EXAMPLE) 
BRICKLAYERS' SQUARE SCAFFOLD 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3. Labor Code.
HISTORY

1. New Plate B-32 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-33 
PUMP JACK SCAFFOLD 
(EXAMPLE)

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3. Labor Code.
HISTORY

1. New Plate B-33 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-34
(EXAMPLE)
LADDER JACK SCAFFOLD

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3. Labor Code.
HISTORY

1. New Plate B-34 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-35
(EXAMPLE)
WINDOW JACK SCAFFOLD

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3. Labor Code.
HISTORY

1. New Plate B-35 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-36
(EXAMPLE) STONE SETTERS' ADJUSTABLE MULTI-POINT SUSPENDED SCAFFOLD WITH MANUAL WINDING DRUM HOISTS

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B-36 filed 7-24-87: operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-37
NEEDLE BEAM SCAFFOLD
(EXAMPLE)
STRUCTURAL MEMBER ABOVE 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B-37 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-38 
FLOAT SCAFFOLD 
(EXAMPLE) 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B-38 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-39 
TWO-POINT SUSPENDED SCAFFOLD 
(Example) 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B-39 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-40
PROHIBITED SCAFFOLDS
(Examples) 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Plate C-20 to Plate B-40 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-41 
SUGGESTED SCAFFOLD  HORSES
(See Construction Safety Order 1647) 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Plate C-21 to Plate B-41 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations and correcting cross-reference filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE B-42 
MULTI-LEVEL SUSPENDED SCAFFOLD WITH POWERED HOISTS 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate B42 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

Appendix C

Helpful Construction Methods

PLATE C-1 
EFFICIENCY OF WIRE ROPE CONNECTIONS 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-2 
APPLYING WIRE ROPE CLIPS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new plate filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-3 
SAFE WORKING LOADS FOR SHACKLES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new plate filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4). 

PLATE C-4 
STRENGTH OF MANUFACTURED EYE HOOKS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-5 
WIRE ROPE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-6
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-a 
RATED CAPACITY 
(WORKING LOAD LIMIT), 
FOR ALLOY STEEL CHAIN SLINGS RATED CAPACITY (WORKING LOAD LIMIT), 
POUNDS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New plates C-7-a through C-7-n filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-b 
MAXIMUM ALLOWABLE WEAR AT ANY POINT OF LINK
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-c 
RATED CAPACITIES FOR SINGLE LEG SLINGS
6 X 19 AND 6 X 37 CLASSIFICATION 
IMPROVED PLOW STEEL GRADE ROPE WITH FIBER CORE (FC) 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-d 
RATED CAPACITIES FOR SINGLE LEG SLINGS 
6 X 19 AND 6 X 37 CLASSIFICATION 
IMPROVED PLOW STEEL GRADE ROPE WITH INDEPENDENT WIRE ROPE CORE (IWRC) 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-e
RATED CAPACITIES FOR SINGLE LEG SLINGS
CABLE LAID ROPE-MECHANICAL SPLICE ONLY 
7 X 7 X 7 & 7 X 7 X 19 CONSTRUCTIONS GALVANIZED 
AIRCRAFT GRADE ROPE
7 X 6 X 19 IWRC CONSTRUCTION IMPROVED PLOW STEEL GRADE ROPE 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-f 
RATED CAPACITIES FOR SINGLE LEG SLINGS 
8-PART AND 6-PART BRAIDED ROPE 
6 X 7 AND 6 X 19 CONSTRUCTION IMPROVED 
PLOW STEEL GRADE ROPE 
7 X 7 CONSTRUCTION GALVANIZED 
AIRCRAFT GRADE ROPE 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-g 
RATED CAPACITIES FOR 2-LEG & 3-LEG BRIDLE SLINGS 
6 X 19 AND 6 X 37 CLASSIFICATION 
IMPROVED PLOW STEEL GRADE ROPE WITH FIBER CORE (FC)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4). 

PLATE C-7-h 
RATED CAPACITIES FOR 2-LEG & 3-LEG BRIDLE SLINGS 
6 X 19 AND 6 X 37 CLASSIFICATION IMPROVED 
PLOW STEEL GRADE ROPE WITH INDEPENDENT WIRE ROPE CORE (IWRC) 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-i 
RATED CAPACITIES FOR 2-LEG & 3-LEG BRIDLE SLINGS
7 X 7 X 7 AND 7 X 7 X 19 CONSTRUCTIONS GALVANIZED AIRCRAFT GRADE ROPE
7 X 6 X 19 IWRC CONSTRUCTION IMPROVED PLOW STEEL GRADE ROPE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-j 
RATED CAPACITIED FOR 2-LEG AND 3-LEG BRIDLE SLINGS 8-PART AND 6-PART BRAIDED ROPE
6 X 7 SNF 6 X 19 
CONSTRUCTION IMPROVED PLOW STEEL GRADE ROPE 
7 X 7 CONSTRUCTION GALVANIZED AIRCRAFT GRADE ROPE 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-k
RATED CAPACITIES FOR STRAND LAID GROMMET-HAND TUCKED IMPROVED PLOW STEEL GRADE ROPE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-l
RATED CAPACITIES FOR CABLE LAID 
GROMMET-HAND TUCKED 
7 X 6 X 7 AND 7 X 6 X 19 CONSTRUCTIONS IMPROVED 
PLOW STEEL GRADE ROPE 
7 X 7 X 7 CONSTRUCTION GALVANIZED AIRCRAFT 
GRADE ROPE 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4). 

PLATE C-7-m 
RATED CAPACITIES FOR STRAND LAID ENDLESS SLINGS-MECHANICAL JOINT IMPROVED PLOW STEEL GRADE ROPE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-7-n 
RATED CAPACITIES FOR CABLE LAID ENDLESS SLINGS-MECHANICAL JOINT
7 X 7 X 7 AND 7 X 7 X 19 
CONSTRUCTION GALVANIZED AIRCRAFT GRADE ROPE 
7 X 6 X 19 IWRC CONSTRUCTION IMPROVED PLOW STEEL GRADE ROPE
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C8-a 
MANILA ROPE SLINGS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New plates C-8-a through C-8-d filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-8-b 
NYLON ROPE SLINGS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-8-c 
POLYESTER ROPE SLINGS 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-8-d 
POLYPROPYLENE ROPE SLINGS 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-9 
MANILA ROPE 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 4).

PLATE C-10
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-13-87; effective thirtieth day thereafter (Register 87, No. 

PLATE C-11 
RECOMMENDED HAND SIGNALS FOR
CONTROLLING CRANE OPERATIONS 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-11 filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-11-a 
RECOMMENDED HAND SIGNALS FOR
CONTROLLING CRANE OPERATIONS 

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-11-a filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-11-b
RECOMMENDED HAND SIGNALS FOR CONTROLLING CRANE OPERATIONS

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Plate title filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-11-c
STANDARD CRANES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-d
STANDARD CRANES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-e
STANDARD CRANES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-f
STANDARD CRANES AND DERRICKS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-g
STANDARD CRANES
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-h
STANDARD CRANES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-i
STANDARD CRANES 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-j
STANDARD DERRICKS 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-k
STANDARD DERRICKS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-l
STANDARD DERRICKS
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-11-m
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-11-m filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Amendment of Plate C-11-m filed 7-3-80 as procedural and organizational; effective upon filing (Register 80, No. 27).
3. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 

PLATE C-12
HOW TO LIFT
1. Size up the load first. Get help if you need it.
2. Be sure of your footing.
3. Lift with your legs, not your back.
4. Keep your balance--don't twist under strain or jerk the load.

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Note: Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending Plate C-12 filed 1-28-93 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 4).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-13
FIRE EXTINGUISHMENT

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HISTORY

1. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-13-a
CLASSES OF FIRES

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HISTORY

1. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-13-b
TYPES OF FIRE EXTINGUISHERS

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PLATE C-14
TILT-UP CONCRETE SLAB ERECTION METHODS
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25). 

PLATE C-15
RAMP FOR MOTOR-DRIVEN CONCRETE BUGGIES 

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HISTORY

1. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-16
CAB PROTECTION (FOR TRUCKS HAULING
GRAVEL, ROCK, DIRT, ETC.)

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HISTORY

1. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-17
SUGGESTED TEST FOR SCAFFOLD PLANKS [Repealed]
HISTORY

1. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).
2. Repealer filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).

PLATE C-18
ROOFER'S GALLOWS FRAME (Suggested) 
MATERIAL--CLEAR, STRAIGHT GRAINED, SELECTED 
LUMBER OR EQUIVALENT 

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HISTORY

1. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-19
ROOFER'S JACK (Suggested) 
FOR COMPOSITION SHINGLES OR ROLL ROOFING 

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-19 filed 6-6-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-20
HISTORY

1. Renumbering and amendment of former Plate C-20 to Plate B-40 filed 7-24-87; operative 8-23-87 (Register 87, No. 33). 

PLATE C-21
HISTORY

1. Renumbering and amendment of former Plate C-2l to Plate B-41 filed 7-24-87; operative 8-23-87 (Register 87, No. 33).

PLATE C-22
BEARING VALUE OF SOIL
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-23
SHORING SYSTEM FOR TRENCHES
HISTORY

1. Amendment filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
2. Repealer filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).

PLATE C-24-a 
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-24-a filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of printing error (Register 82, No. 50).
3. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-24-b
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-24-b filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of printing error (Register 82, No. 50).
3. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-24-c
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-24-c filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of printing error (Register 82, No. 50). 
3. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-24-d
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-24-d filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of printing error (Register 82, No. 50).
3. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-24e
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-24-e filed 8-23-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of printing error (Register 82, No. 50).
3. Repealer filed 8-26-91; operative 9-25-91 (Register 92, No. 13).

PLATE C-25 
PROTECTIVE TROUGHS FOR PROTRUDING
REINFORCING STEEL (Suggested)
SEE ORDER 1712 

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-19-75; effective thirtieth day thereafter (Register 75, No. 8).
2. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
4. Editorial correction (Register 80, No. 13).
5. Amendment of Note filed 6-21-85; effective thirtieth day thereafter (Register 85, No. 25).
6. Amendment filed 4-1-97; operative 5-1-97 (Register 97, No. 14).
7. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-26-a
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30). 
2. Repealer of Plate C-26-a filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

PLATE C-26-b
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 3).
2. Repealer filed 6-26-97; operative 7-26-97 (Register 97, No. 26). 

PLATE C-27 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Plate C-27 filed 6-26-97; operative 7-26-97 (Register 97, No. 26). 
2. Transfer of Plate C-27 to section 5304 and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

PLATE C-28
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30).
2. Relocation and amendment of former Plate C-28 to new section 1573.1 filed 6-26-97; operative 7-26-97 (Register 97, No. 26). 

PLATE C-29
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30).
2. Relocation and amendment of former Plate C-29 to new section 1573.2 filed 6-26-97; operative 7-26-97 (Register 97, No. 26).

PLATE C-30
TEMPORARY POWER POLE
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-21-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-30-a
KEY TO DIAGRAM OF TEMPORARY POWER POLE ON
PREVIOUS PAGE
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of (2) filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of (2) filed 5-21-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-30-b
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-9-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-31
ALLOWABLE CURRENT-CARRYING
CAPACITY OF FLEXIBLE CORD
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-31-a
APPROVED CONFIGURATIONS FOR NONLOCKING PLUGS AND RECEPTACLES FOR GENERAL PURPOSE 60 HERTZ A.C. USE
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-31-b
APPROVED CONFIGURATIONS FOR LOCKING TYPE
PLUGS AND RECEPTACLES FOR GENERAL PURPOSE
60 HERTZ A.C. USE
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-31-c
OVERCURRENT PROTECTION CRITERIA
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).

PLATE C-33--Plate C-35-B
HISTORY

1. Repealer of Plates C-33, C-33-A, C-33-B, C-33-C, C-33-D, C-33-E, C-33-F, C-34, C-35, C-35-A and C-35-B filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46) 

APPENDIX
PLATE C-36-a
SAFE PRACTICES--HELICOPTERS
1. Do not approach or leave a helicopter while its engines are running unless in a crouched position and the pilot or pilot's designee signals that it is safe to do so.
2. Always approach and leave the helicopter in plain view of the pilot or as directed by the pilot's designee; never from the rear.
3. Approach and leave the helicopter on a level with the craft or a lower level, never from or to higher ground than that of the helicopter.
4. Wear goggles and head protection with chin strap under the chin when in the vicinity of an operating helicopter. Loose-fitting clothing likely to flap in the downwash and possibly be snagged on the hoist line shall not be worn.
5. Load all cargo and secure it to the satisfaction of the pilot or pilot's designee.
6. Do not put tag lines on sling loads without the pilot's or pilot's designee's permission and limit their numbers, their placement, and their lengths to the pilot's satisfaction.
7. Do not place explosives, flammables, or other dangerous materials on board any aircraft without the pilot's knowledge.
8. Carry all materials to or from the helicopter in a horizontal position not above waist level.
9. Do not smoke within 50 feet of a helicopter, fuel storage, or fueling operation.
10. Do not stand directly under a hovering helicopter longer than necessary to hook-up or unhook the load.
11. Always watch the helicopter, sling load, hook, or bottom end of the cable to avoid being hit.
12. Know the escape procedure at each operation site.
13. Keep landing and hovering areas clear of loose and lightweight materials.
14. Notify the person in charge of the project when erecting a suspended line, tower or other navigational hazard.
15. Turn off radio transmitter when in vicinity of explosives or explosive loading operations.
16. Passengers transported by helicopter shall be instructed to:
(A) Board and depart only on instruction from the pilot.
(B) Use seat belts during take off, flight, and landing.
(C) Do not talk unnecessarily to the pilot.
(D) Remain seated during the time you are aboard.
(E) Watch for other airborne aircraft and navigational hazards and call them to the attention of the pilot.
(F) Do not smoke unless permitted by the pilot.
17. When performing as a crew member in external operations, listen to and be familiar with the normal sounds emitted by the helicopter in flight so that you will have the earliest notice of trouble and can avoid dangerous exposure.
(18) When visibility is reduced by dust or other conditions, ground personnel shall exercise special caution to keep clear of main and stabilizing rotors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
2. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).

PLATE C-36-b  
TEMPORARY HELICOPTER LANDING SITE (Elevated)

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PLATE C-36-b
GROUND CREW PROTECTION 

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5). 
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-36-c
HELICOPTER HAND SIGNALS

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New plates C-36-a, C-36-b (Figures 1-6) and C-36-c filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. New NOTE filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5). 
3. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).

PLATE C-37
Approval Criteria Pole Tool Assemblies
(1) The maximum extension of the pole tool assembly shall not exceed 6 feet (183 cm) in length measured from the heel of the powder-actuated tool to the trigger mechanism on the pole.
(2) The powder-actuated tool, to which the pole tool assembly is attached, shall be only of low velocity type.
(3) The extension assembly shall be of such structural integrity as to withstand the forces involved in the use of the tool.
(4) The powder-actuated tool shall be of a type whereby either fasteners or power loads must be loaded individually.
(5) The trigger mechanism shall be attached to the assembly.
(6) Pole tool extension assemblies shall either be constructed of a dielectric* material, or those portions of the trigger mechanism and pole normally held by the operator while using the tool in the upright position shall be covered with a dielectric material sufficient to preclude the possibility of electric shock or burn caused by contact between the tool or attachments with energized wiring.

* The pole tool handle and connecting controls shall be capable of withstanding for one minute, without breakdown, the application of a 60 hertz essentially sinusoidal potential of 1000 volts + 2 x (rated voltage). 
EXAMPLE: 1000 + 2(600) = 2200 volts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate C-37 filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 42). 
Subchapter 5. Electrical Safety Orders
Group 1. Low-Voltage Electrical Safety Orders
§2299. Foreword.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Group 1 (Articles 1 through 35; Sections 2300 through 2596, not consecutive, and Article 38--Tables), adoption of new Group 1 (Foreword and Articles 1 through 82, Sections 2299 through 2570.2, not consecutive) and renumbering of Article 36 to Article 83 (Section 2599) filed 10-14-75; effective thirtieth day thereafter (Register 75, No. 42). For prior history see, Original Title 8; Register 3; Register 23, No. 4; Register 28, No. 3; Register 55, No. 3; Register 62, No. 24; Register 73, No. 30; Register 73, No. 49; Register 74, No. 47.
2. Editorial correction repealing section filed 11-2-83 (Register 83, No. 45).
Article 1. Definitions
§2300. Scope.
Note     •     History

(a) Only definitions of terms peculiar to and essential to the proper use of this Safety Order are included. In general, only those terms used in two or more Articles are defined in Article 1. Other definitions are included in the Article in which they are used but may be referenced in Article 1.
(b) Definitions.
Acceptable. An installation or equipment is acceptable to the Division of Occupational Safety and Health, if approved as prescribed in Section 2305.4 of these Safety Orders.
Accepted. An installation is “accepted” if it has been inspected and found by a nationally recognized testing laboratory to conform to specified plans or to procedures of applicable codes.
Accessible.
(A) Equipment Application (Other than Wiring Methods). Admitting close approach because not guarded by locked doors, elevation, or other effective means.
(B) Readily. Capable of being reached quickly for operation, renewal, or inspections, without requiring those to whom ready access is requisite to climb over or remove obstacles or to resort to portable ladders, chairs, etc.
(C) Safely. Not exposing persons installing, operating, maintaining, or inspecting electrical apparatus to serious risks of tripping or falling or of coming in contact with energized electrical parts, moving machinery, surfaces or objects operating at high temperatures or other hazardous equipment.
(D) Wiring Method Application. Capable of being removed or exposed without damaging the building structure or finish, or not permanently closed in by the structure or finish of the building (see “Concealed” and “Exposed”).
Ampacity. The current, in amperes, that a conductor can carry continuously under the conditions of use without exceeding its temperature rating.
Appliance. Utilization equipment, generally other than industrial, normally built in standardized sizes or types, which is installed or connected as a unit to perform one or more functions such as clothes washing, air conditioning, food mixing, deep frying, etc.
Appliance, Fixed. An appliance which is fastened or otherwise secured at a specific location.
Appliance, Portable. An appliance which is actually moved or can easily be moved from one place to another in normal use.
Approved. The conductors and equipment required or permitted by these orders shall be acceptable to the Division of Occupational Safety and Health only if approved as prescribed in Section 2305.4 of these Safety Orders.
Armored Cable (Type AC). A fabricated assembly of insulated conductors in a flexible metallic enclosure.
Askarel. A generic term for a group of nonflammable synthetic chlorinated hydrocarbons used as electrical insulating media. Askarels of various compositional types are used. Under arcing conditions the gases produced, while consisting predominantly of noncombustible hydrogen chloride, can include varying amounts of combustible gases depending upon the askarel type.
Attachment Plug (Plug Cap) (Cap). A device which, by insertion in a receptacle, establishes connection between the conductors of the attached flexible cord and the conductors connected permanently to the receptacle.
Authorized Person. A qualified person delegated to perform specific duties under the conditions existing.
Automatic. Self-acting, operating by its own mechanism when actuated by some impersonal influence, as, for example, a change in current strength, pressure, temperature, or mechanical configuration.
Bare Conductor. See Conductor.
Barrier. A physical obstruction that is intended to prevent contact with equipment or live parts or to prevent unauthorized access to a work area.
Bathroom. An area including a basin with one or more of the following: a toilet, a tub, or a shower.
Bond. An electrical connection from one metallic element to another for the purpose of minimizing potential differences and providing suitable conductivity for fault current or for mitigation of leakage current and electrolytic action.
Bonding (Bonded). The permanent joining of metallic parts to form an electrically conductive path which will assure electrical continuity and the capacity to conduct safely any current likely to be imposed. 
Bonding Jumper. A reliable conductor to assure the required electrical conductivity between metal parts required to be electrically connected.
Bonding Jumper, Circuit. The connection between portions of a conductor in a circuit to maintain required ampacity of the circuit. 
Bonding Jumper, Equipment. The connection between two or more portions of the equipment grounding conductor.
Bonding Jumper, Main. The connection between the grounded circuit conductor and the equipment grounding conductor at the service.
Branch Circuit. The circuit conductors between the final overcurrent device protecting the circuit and the outlet(s).
Branch Circuit, Appliance. A branch circuit supplying energy to one or more outlets to which appliances are to be connected; such circuits to have no permanently connected lighting fixtures not a part of an appliance.
Branch Circuit, General Purpose. A branch circuit that supplies a number of outlets for lighting and appliances.
Branch Circuit, Individual. A branch circuit that supplies only one utilization equipment.
Branch Circuit, Multiwire. A branch circuit consisting of two or more ungrounded conductors having a potential difference between them, and an identified grounded conductor having equal potential difference between it and each ungrounded conductor of the circuit and which is connected to the neutral conductor of the system.
Building. A structure which stands alone or which is cut off from adjoining structures by fire walls with all openings therein protected by approved fire doors.
Building Space. A room, vault, or wiring enclosures such as conduit, pull box, switchboards, and other like enclosures.
Cabinet. An enclosure designed either for surface or flush mounting and provided with a frame, mat, or trim in which a swinging door or doors are or can be hung.
Cable Tray System. A unit or assembly of units or sections and associated fittings forming a rigid structural system used to securely fasten or support cables and raceways. Cable tray systems include ladders, troughs, channels, solid bottom trays, and other similar structures.
Cablebus. An assembly of insulated conductors with fittings and conductor terminations in a completely enclosed, ventilated, protective metal housing.
Cell Line. An assembly of electrically interconnected electrolytic cells supplied by a source of direct current power.
Cell Line Attachments and Auxiliary Equipment. Cell line attachments and auxiliary equipment include, but are not limited to, auxiliary tanks, process piping, ductwork, structural supports, exposed cell line conductors, conduits and other raceways, pumps, positioning equipment, and cell cutout or bypass electrical devices. Auxiliary equipment also includes tools, welding machines, crucibles, and other portable equipment used for operation and maintenance within the electrolytic cell line working zone. In the cell line working zone, auxiliary equipment includes the exposed conductive surfaces of ungrounded cranes and crane-mounted cell-servicing equipment.
Center Pivot Irrigation Machine. A multi-motored irrigation machine that revolves around a central pivot and employs alignment switches or similar devices to control individual motors.
Certified. Equipment is “certified” if it bears a label, tag, or other record of certification that the equipment:
(A) Has been tested and found by a nationally recognized testing laboratory to meet nationally recognized standards or to be safe for use in a specified manner; or
(B) Is of a kind whose production is periodically inspected by a nationally recognized testing laboratory and is accepted by the laboratory as safe for its intended use.
Circuit Breaker. A device designed to open and close a circuit by nonautomatic means and to open the circuit automatically on a predetermined overcurrent without damage to itself when properly applied within its rating.
(A) Adjustable. (As applied to Circuit Breakers.) A qualifying term indicating that the circuit breaker can be set to trip at various values of current and/or time within a predetermined range. 
(B) Instantaneous Trip. (As applied to Circuit Breakers.) A qualifying term indicating that no delay is purposely introduced in the tripping action of the circuit breaker.
(C) Inverse Time. (As applied to Circuit Breakers.) A qualifying term indicating there is purposely introduced a delay in the tripping action of the circuit breaker, which delay decreases as the magnitude of the current increases.
(D) Nonadjustable. (As applied to Circuit Breakers.) A qualifying term indicating that the circuit breaker does not have any adjustment to alter the value of current at which it will trip or the time required for its operation.
(E) Setting. (Of Circuit Breaker.) The value of current and/or time at which an adjustable circuit breaker is set to trip.
Concealed. Rendered inaccessible by the structure or finish of the building. Wires in concealed raceways are considered concealed, even though they may become accessible by withdrawing them. [See “Accessible--(As applied to wiring methods)”]
Conductor.
(A) Bare. A conductor having no covering or electrical insulation whatsoever. (See “Conductor, Covered.”)
(B) Covered. A conductor encased within material of composition or thickness that is not recognized by these Orders as electrical insulation. (See “Conductor, Bare.”)
(C) Insulated. A conductor encased within material of composition and thickness that is recognized by these Orders as electrical insulation.
Conduit. (See “Raceway.”)
Conduit Body. A separate portion of a conduit or tubing system that provides access through one or more removable covers to the interior of the system at a junction of two or more sections of the system or at a terminal point of the system. Boxes such as FS and FD or larger cast or sheet metal boxes are not classified as conduit bodies.
Connector, Pressure (Solderless). A device that establishes a connection between two or more conductors or between one or more conductors and a terminal by means of mechanical pressure and without the use of solder.
Continuous Duty. (See under “Duty.”)
Continuous Load. A load where the maximum current is expected to continue for three hours or more.
Controller. A device or group of devices that serves to govern, in some predetermined manner, the electric power delivered to the apparatus to which it is connected.
Cooking Unit, Counter-Mounted. A cooking appliance designed for mounting in or on a counter and consisting of one or more heating elements, internal wiring, and built-in or separately mountable controls. (See “Oven, Wall-Mounted.”)
Covered Conductor. (See under “Conductor.”)
Cutout Box. An enclosure designed for surface mounting and having swinging doors or covers secured directly to and telescoping with the walls of the box proper. (See “Cabinet.”)
Damp Location. (See under “Location.”)
Dead Front Without live parts exposed to a person on the operating side of the equipment.
Deenergized. Free from any electrical connection to a source of potential difference and from electrical charge; not having a potential different from that of the earth.
Demand Factor. The ratio of the maximum demand of a system, or part of a system, to the total connected load of a system or the part of the system under consideration.
Device. A unit of an electrical system which is intended to carry but not utilize electric energy.
Dielectric Heating. The heating of a nominally insulating material due to its own dielectric losses when the material is placed in a varying electric field.
Different Systems. Those which derive their supply from different sources, or from individual transformers or banks of transformers which do not have their secondary windings interconnected, or from individual service switches.
Disconnecting Means. A device, or group of devices, or other means by which the conductors of a circuit can be disconnected from their source of supply.
Division. Unless otherwise designated in this subchapter, the term “Division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
Dry Location. (See under “Location.”)
Dustproof. So constructed or protected that dust will not interfere with its successful operation.
Dust-Tight. So constructed that dust will not enter the enclosing case.
Duty.
(A) Continuous Duty. Operation at a substantially constant load for an indefinitely long time.
(B) Intermittent Duty. Operation for alternate intervals of (1) load and no load; or (2) load and rest; or (3) load, no load and rest.
(C) Periodic Duty. Intermittent operation in which the load conditions are regularly recurrent.
(D) Short Time Duty. Operation at a substantially constant load for a short and definitely specified time.
(E) Varying Duty. Operation at loads, and for intervals of time, both of which may be subject to wide variation.
Electrolytic Cell Line Working Zone. The cell line working zone is the space envelope wherein operation or maintenance is normally performed on or in the vicinity of exposed energized surfaces of electrolytic cell lines or their attachments.
Electrolytic Cells. A tank or vat in which electrochemical reactions are caused by applying energy for the purpose of refining or producing usable materials.
Enclosed. Surrounded by a case, housing, fence or walls which will prevent persons from accidentally contacting energized parts.
Enclosure. The case or housing of apparatus, or the fence or wall surrounding an installation to prevent personnel from accidentally contacting energized parts, or to protect the equipment from physical damage.
Energized. Electrically connected to a source of potential difference.
Energized Parts (Live Parts). Parts which are of a potential different from that of the earth, or some conducting body which serves in place of the earth.
Equipment. A general term including material, fittings, devices, appliances, fixtures, apparatus, and the like used as a part of, or in connection with, an electrical installation.
Equipment Grounding Conductor. See “Grounding Conductor, Equipment.”
Explosion-Proof Apparatus. Apparatus enclosed in a case that is capable of withstanding an explosion of a specified gas or vapor which may occur within it and of preventing the ignition of a specified gas or vapor surrounding the enclosure by sparks, flashes, or explosion of the gas or vapor within, and which operates at such an external temperature that a surrounding flammable atmosphere will not be ignited thereby.
Exposed. (As applied to live parts.) Capable of being inadvertently touched or approached nearer than a safe distance by a person. It is applied to parts not suitably guarded, isolated, or insulated. (See “Accessible” and “Concealed.”)
Exposed. (As applied to wiring methods.) On or attached to the surface or behind panels designed to allow access. [See “Accessible--(As applied to wiring methods)”]
Exposed. (For the purposes of Article 87.) Where the circuit is in such a position that in case of failure of supports or insulation, contact with another circuit may result.
Externally Operable. Capable of being operated without exposing the operator to contact with live parts.
Feeder. All circuit conductors between the service equipment, the source of a separate derived system, or other power supply source and the final branch circuit overcurrent device. 
Fitting. An accessory such as a locknut, bushing, or other part of a wiring system that is intended primarily to perform a mechanical rather than an electrical function.
Fountain. Fountains, ornamental pools, display pools, and reflection pools.

NOTE: This definition does not include drinking fountains.
Ground. A conducting connection, whether intentional or accidental, between an electrical circuit or equipment and the earth, or to some conducting body that serves in place of the earth. 
Grounded. Connected to earth or to some conducting body that serves in place of the earth.
Grounded, Effectively. Intentionally connected to earth through a ground connection or connections of sufficiently low impedance and having sufficient current-carrying capacity to prevent the buildup of voltages that may result in undue hazards to connected equipment or to persons.
Grounded Conductor. A system or circuit conductor that is intentionally grounded.
Grounding Conductor. A conductor used to connect equipment or the grounded circuit of a wiring system to a grounding electrode or electrodes.
Grounding Conductor, Equipment. The conductor used to connect the noncurrent-carrying metal parts of equipment, raceways, and other enclosures to the system grounded conductor, the grounding electrode conductor, or both, at the service equipment or at the source of a separately derived system.
Grounding Electrode Conductor. The conductor used to connect the grounding electrode to the equipment grounding conductor, to the grounded conductor, or to both, of the circuits at the service equipment or at the source of a separately derived system.
Ground-Fault Circuit-Interrupter. A device intended for the protection of personnel that functions to de-energize a circuit or portion thereof within an established period of time when a current to ground exceeds some predetermined value that is less than that required to operate the overcurrent protective device of the supply circuit.
Guarded. Covered, shielded, fenced, enclosed, or otherwise protected by means of suitable covers, casings, barriers, rails, screens, mats, or platforms to remove the likelihood of approach to a point of danger or contact by persons or objects. 
Healthcare Facilities. Buildings or portions of buildings in which medical, dental, psychiatric, nursing, obstetrical, or surgical care are provided.

NOTE: Healthcare facilities include, but are not limited to, hospitals, nursing homes, limited care facilities, clinics, medical and dental offices, and ambulatory care centers, whether permanent or movable.
Heating Equipment. For the purposes of Article 77.2, the term “heating equipment” includes any equipment used for heating purposes if heat is generated by induction or dielectric methods.
Hoistway. Any shaftway, hatchway, well hole, or other vertical opening or space that is designed for the operation of an elevator or dumbwaiter.
Identified (as applied to equipment). Approved as suitable for the specific purpose, function, use, environment, or application, where described in a particular requirement.

NOTE: Some examples of ways to determine suitability of equipment for a specific purpose, environment, or application include investigations by a nationally recognized testing laboratory (through listing and labeling), inspection agency, or other organization recognized under the definition of “acceptable.”
Induction Heating. The heating of a nominally conductive material due to its own I2R losses when the material is placed in a varying electromagnetic field.
Insulated. Separated from other conducting surfaces by a dielectric (including air space) offering a high resistance to the passage of current.
Insulated Conductor. See “Conductor, Insulated.”
Interlock. An electrical, mechanical, or key-locked device intended to prevent an undesired sequence of operations.
Interrupting Rating. The highest current at rated voltage that an overcurrent protective device is intended to interrupt under standard test conditions.
Irrigation Machine. An electrically driven or controlled machine, with one or more motors, not hand portable, and used primarily to transport and distribute water for agricultural purposes.
Isolated. (As applied to location.) Not readily accessible to persons unless special means for access are used.
Isolated Power System. A system comprising an isolating transformer or its equivalent, a line isolation monitor, and its ungrounded circuit conductors.
Labeled. Equipment is “labeled” if there is attached to it a label, symbol, or other identifying mark of a nationally recognized testing laboratory, that maintains periodic inspection of production of such equipment and by whose labeling is indicated compliance with nationally recognized standards or tests to determine safe usage in a specified manner. 
Lighting Outlet. An outlet intended for the direct connection of a lampholder, a lighting fixture, or a pendant cord terminating in a lampholder.
Listed. Equipment or materials included in a list published by a nationally recognized testing laboratory that maintains periodic inspection of production of such equipment, and whose listing states either that the equipment meets nationally recognized standards or has been tested and found safe for use in a specified manner. 
Live Parts. Energized conductive components.
Location.
(A) Damp Location. Partially protected locations under canopies, marquees, roofed open porches, and like locations, and interior locations subject to moderate degrees of moisture, such as some basements, some barns, and some cold storage warehouses.
(B) Dry Location. A location not normally subject to dampness or wetness. A location classified as dry may be temporarily subject to dampness or wetness, as in the case of a building under construction.
(C) Wet Location. Installations underground or in concrete slabs or masonry in direct contact with the earth, and locations subject to saturation with water or other liquids, such as vehicle washing areas, and locations exposed to weather and unprotected.
Locking in the Open Position. The use of lockable devices, such as padlocks, combination locks or other positive methods or procedures which will effectively prevent unexpected or inadvertent energizing of a designated circuit, equipment or appliance.
Metal-Clad Cable (Type MC). A factory assembly of one or more insulated circuit conductors with or without optical fiber members enclosed in an armor of interlocking metal tape, or a smooth or corrugated metallic sheath.
Metal-Enclosed. Metal-enclosed, as an adjective, refers to electrical apparatus surrounded by a metal case or housing.
Mineral-Insulated Metal-Sheathed Cable (Type MI). Type MI, mineral-insulated metal-sheathed, cable is a factory assembly of one or more conductors insulated with a highly compressed refractory mineral insulation and enclosed in a liquidtight and gastight continuous copper or alloy steel sheath.
Mobile X-Ray. X-ray equipment mounted on a permanent base with wheels or casters or both for moving while completely assembled.
Motor Control Center. An assembly of one or more enclosed sections having a common power bus and principally containing motor control units.
Nonmetallic-Sheathed Cable (Types NM, NMC, and NMS). A factory assembly of two or more insulated conductors having an outer sheath of moisture resistant, flame-retardant, nonmetallic material.
Open Wiring. Uninsulated conductors or insulated conductors without grounded metallic sheaths or shields installed above ground, but not inside apparatus or wiring enclosures.
Open Wiring on Insulators. Open wiring on insulators is an exposed wiring method using cleats, knobs, tubes, and flexible tubing for the protection and support of single insulated conductors run in or on buildings, and not concealed by the building structure.
Outlet. A point on the wiring system at which current is taken to supply utilization equipment.
Outline Lighting. An arrangement of incandescent lamps or electric discharge lighting to outline or call attention to certain features such as the shape of a building or the decoration of a window.
Oven, Wall-Mounted. An oven for cooking purposes designed for mounting in or on a wall or other surface and consisting of one or more heating elements, internal wiring, and built-in or separately mountable controls. (See “Cooking Unit, Counter-Mounted.”)
Overcurrent. Any current in excess of the rated current of equipment or the ampacity of a conductor. It may result from overload, short circuit, or ground fault.
Overload. Operation of equipment in excess of normal, full-load rating, or of a conductor in excess of rated ampacity that, when it persists for a sufficient length of time, would cause damage or dangerous overheating. A fault, such as a short circuit or ground fault, is not an overload. (See Overcurrent.)
Panelboard. A single panel or group of panel units designed for assembly in the form of a single panel including buses, automatic overcurrent devices, and with or without switches for the control of light, heat, or power circuits; designed to be placed in a cabinet or cutout box placed in or against a wall or partition and accessible only from the front. (See “Switchboard.”)
Permanently Installed Decorative Fountains and Reflection Pools. Pools that are constructed in the ground, on the ground, or in a building in such a manner that the fountain or pool cannot be readily disassembled for storage, whether or not served by electrical circuits of any nature. These units are primarily constructed for their aesthetic value and are not intended for swimming or wading.
Permanently Installed Swimming, Wading, and Therapeutic Pools. Pools that are constructed in the ground or partially in the ground, and all other capable of holding water in a depth greater than 42 in. (1.07 m). The definition also applies to all pools installed inside of a building, regardless of water depth, whether or not served by electric circuits of any nature.
Portable X-Ray. X-ray equipment designed to be hand-carried.
Power and Control Tray Cable (Type TC). A factory assembly of two or more insulated conductors, with or without associated bare or covered grounding conductors under a nonmetallic sheath, approved for installation in cable trays, in raceways, or where supported by a messenger wire.
Power-Limited Tray Cable (Type PLTC). A factory assembly of two or more insulated conductors under a nonmetallic jacket.
Power Outlet. An enclosed assembly which may include receptacles, circuit breakers, fuseholders, fused switches, buses and watt-hour meter mounting means; intended to supply and control power to mobile homes, recreational vehicles or boats, or to serve as a means for distributing power required to operate mobile or temporarily installed equipment.
Premises Wiring (Premises Wiring System). That interior and exterior wiring, including power, lighting, control, and signal circuit wiring together with all of its associated hardware, fittings, and wiring devices; both permanently and temporarily installed which extends from the service point of utility conductors or source of power (such as a battery, a solar photovoltaic system, or a generator, transformer, or converter) to the outlet(s). Such wiring does not include wiring internal to appliances, fixtures, motors, controllers, motor control centers, and similar equipment. 
Pull Box. A box with a blank cover into which workers may reach but not enter which is inserted in one or more runs of raceway to facilitate pulling, joining, supporting, distributing or inspecting conductors. The term “pull box” includes but is not limited to: junction boxes, splice boxes, conductor support boxes, inspection boxes, and handholes.
Qualified Person. A person, designated by the employer, who has received training in and has demonstrated skills and knowledge in the construction and operation of electric equipment and installations and the hazards involved.

NOTES: 

1. Whether an employee is considered to be a “qualified person” will depend upon various circumstances in the workplace. For example, it is possible for an individual to be considered “qualified” with regard to certain equipment in the workplace, but “unqualified” as to other equipment. 

2. An employee who is undergoing on-the-job training and who, in the course of such training, has demonstrated an ability to perform duties safely at his or her level of training and who is under the direct supervision of a qualified person is considered to be a qualified person for the performance of those duties.
Raceway. An enclosed channel of metal or nonmetallic materials designed expressly for holding wires, cables, or busbars, with additional functions as permitted in these orders. Raceways include, but are not limited to rigid metal conduit, rigid nonmetallic conduit, intermediate metal conduit, liquid-tight flexible conduit, flexible metallic tubing, flexible metal conduit, electrical nonmetallic tubing, electrical metallic tubing, underfloor raceways, cellular concrete floor raceways, cellular metal floor raceways, surface raceways, wireways, and busways.
Rainproof. So constructed, protected, or treated as to prevent rain from interfering with successful operation of the apparatus.
Raintight. So constructed or protected that exposure to a beating rain will not result in the entrance of water.
Receptacle. A contact device installed at the outlet for the connection of an attachment plug. A single receptacle is a single contact device with no other contact device on the same yoke. A multiple receptacle is two or more contact devices on the same yoke. 
Receptacle Outlet. An outlet where one or more receptacles are installed.
Remote-Control Circuit. Any electric circuit that controls any other circuit through a relay or an equivalent device.
Separately Derived System. A premises wiring system whose power is derived from a battery, a solar photovoltaic system, or from a generator, transformer, or converter windings and that has no direct electrical connection, including a solidly connected grounded circuit conductor, to supply conductors originating in another system.
Service. The conductors and equipment for delivering energy from the electricity supply system to the wiring system of the premises served. 
Service Cable. Service conductors made up in the form of a cable.
Service Conductors. The conductors from the service point to the service disconnecting means.
Service Drop. The overhead service conductors from the last pole or other aerial support to and including the splices, if any, connecting to the service-entrance conductors at the building or other structure.
Service-Entrance Cable. A single conductor or multiconductor assembly provided with or without an overall covering, primarily used for services, and is of the following types:
(A) Type SE. Type SE, having a flame-retardant, moisture resistant covering; and
(B) Type USE. Type USE, identified for underground use, having a moisture-resistant covering, but not required to have a flame-retardant covering. Cabled, single-conductor, Type USE constructions recognized for underground use may have a bare copper conductor cabled with the assembly. Type USE single, parallel, or cable conductor assemblies recognized for underground use may have a bare copper concentric conductor applied. These constructions do not require an outer overall covering.
Service-Entrance Conductors, Overhead System. The service conductors between the terminals of the service equipment and a point usually outside the building, clear of building walls, where joined by tap or splice to the service drop.
Service-Entrance Conductors, Underground System. The service conductors between the terminals of the service equipment and the point of connection to the service lateral. 
Service Equipment. The necessary equipment, usually consisting of one or more circuit breakers or switches and fuses, and their accessories, connected to the load end of service conductors to a building or other structure, or an otherwise designated area, and intended to constitute the main control and cutoff of the supply.
Service Point. The point of connection between the facilities of the serving utility and the premises wiring.
Service Lateral. The underground service conductors between the street main, including any risers at a pole or other structure or from transformers, and the first point of connection to the service-entrance conductors in a terminal box or meter or other enclosure with adequate space inside or outside the building wall. Where there is no terminal box, meter, or other enclosure with adequate space, the point of connection shall be considered to be the point of entrance of the service conductors into the building.
Service Raceway. The raceway that encloses the service-entrance conductors.
Shielded Nonmetallic-Sheathed Cable (Type SNM). A factory assembly of two or more insulated conductors in an extruded core of moisture-resistant, flame-resistant nonmetallic material, covered with an overlapping spiral metal tape and wire shield and jacketed with an extruded moisture-, flame-, oil-, corrosion-, fungus-, and sunlight-resistant nonmetallic material.
Show Window. Any window used or designed to be used for the display of goods or advertising material, whether it is fully or partly enclosed or entirely open at the rear and whether or not it has a platform raised higher than the street floor level.
Signaling Circuit. Any electric circuit that energizes signaling equipment.
Storable Swimming or Wading Pool. A pool that is constructed on or above the ground and is capable of holding water to a maximum depth of 42 in. (1.07 m), or a pool with nonmetallic, molded polymeric walls or inflatable fabric walls regardless of dimension.
Suitable. Capable of performing with safety the particular function specified in these Orders.
Switches.
(A) General-Use Switch. A switch intended for use in general distribution and branch circuits. It is rated in amperes, and it is capable of interrupting its rated current at its rated voltage.
(B) General-Use Snap Switch. A form of general-use switch so constructed that it can be installed in device boxes or on box covers, or otherwise used in conjunction with wiring systems recognized by this Order.
(C) Isolating Switch. A switch intended for isolating an electric circuit from the source of power. It has no interrupting rating, and it is intended to be operated only after the circuit has been opened by some other means.
(D) Motor Circuit Switch. A switch, rated in horsepower, capable of interrupting the maximum operating overload current of a motor of the same horsepower rating as the switch at the rated voltage.
Switchboard. A large single panel, frame, or assembly of panels on which are mounted, on the face or back or both, switches, overcurrent and other protective devices, buses, and usually instruments. Switchboards are generally accessible from the rear as well as from the front and are not intended to be installed in cabinets. (See “Panelboard.”)
Thermal Cutout. An overcurrent protective device that contains a heater element in addition to and affecting a renewable fusible member which opens the circuit. It is not designed to interrupt short-circuit currents.
Thermally Protected. (As applied to motors.) The words “Thermally Protected” appearing on the nameplate of a motor or motor-compressor indicate that the motor is provided with a thermal protector.
Thermal Protector. An inherent overheating protective device which is responsive to temperature and/or current and which protects the equipment against overheating due to overload or failure to start.
Utilization Equipment. Equipment which utilizes electric energy for electronic, electromechanical, chemical, heating, lighting, or similar purposes.
Vehicle. A device by which any person or property may be propelled, moved, or drawn, excepting a device moved by human power or used exclusively upon stationary rails or tracks.
Ventilated. Provided with a means to permit circulation of air sufficient to remove an excess of heat, fumes, or vapors.
Volatile Flammable Liquid. A flammable liquid having a flash point below 38oC (100oF) or a flammable liquid whose temperature is above its flash point, or a Class II combustible liquid having a vapor pressure not exceeding 276 kPa (40 psia) at 38oC (100oF) and whose temperature is above its flash point.
Voltage (Of A Circuit). The greatest root-mean-square (rms) (effective) difference of potential between any two conductors of the circuit concerned.
Some systems, such as 3-phase 4-wire, single-phase 3-wire, and 3-wire direct-current may have various circuits of various voltages. 
Voltage, Nominal. A nominal value assigned to a circuit or system for the purpose of conveniently designating its voltage class (as 120/240 volts, 480Y/277 volts, 600 volts, etc.).
The actual voltage at which a circuit operates can vary from the nominal within a range that permits satisfactory operation of equipment. (See “Voltage Ratings for Electric Power Systems and Equipment (60 Hz),” ANSI C84.1-1977 and supplement C84.1a-1980.)
Voltage to Ground. For grounded circuits, the voltage between the given conductor and that point or conductor of the circuit that is grounded; for ungrounded circuits, the greatest voltage between the given conductor and any other conductor of the circuit.
Watertight. So constructed that moisture will not enter the enclosure.
Weatherproof. So constructed or protected that exposure to the weather will not interfere with successful operation.
Rainproof, raintight, or watertight equipment can fulfill the requirements for weatherproof, where varying weather conditions other than wetness, such as snow, ice, dust, or temperature extremes, are not a factor.
Wireways. Sheet-metal troughs with hinged or removable covers for housing and protecting electric wires and cable and in which conductors are laid in place after the wireway has been installed as a complete system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
3. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No 6).
4. Editorial correction of subsection (a) and NOTE filed 11-2-83 (Register 83, No. 45).
5. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
6. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 2. Administration
§2305.1. Purpose.
Note     •     History

The purpose of these Electrical Safety Orders is to provide minimum safety requirements and assist in the elimination of accidents which may result from the operation, installation, removal, use and maintenance of electrical equipment and tools.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
3. Editorial correction filed 11-3-83 (Register 83, No. 45).
§2305.2. Application.
Note     •     History

(a) These Low-Voltage Electrical Safety Orders apply to all electrical installations and electrical equipment operating or intended to operate on systems of 600 volts, nominal, or less and to all work performed directly on or in proximity to such electrical installations, equipment or systems in all places of employment in the State of California as defined in Labor Code Section 6303. 
(1) These Orders do not apply to:
(A) Installations or conductors and equipment in ships, watercraft, railway rolling stock, aircraft, or automotive vehicles other than mobile homes and recreational vehicles.
(B) Installations of conductors and equipment in vehicles, operating at less than 50 volts or to their ignition system, unless otherwise specified.
(C) Installations of conductors, equipment, and associated enclosures subject to the jurisdiction of the California Public Utilities Commission, that are owned, operated and maintained by an electric, communication or electric railway utility. 

Exception: No. 1. These orders apply to conduit, vaults, and other like enclosures containing the conductors and equipment of such a utility when located indoors on premises not used exclusively for utility purposes, but do not apply to the utilities conductors and the equipment therein. 

Exception: No. 2. Article 3, Work Procedures, apply to all work performed by electric utilities.
(b) Extent of application. 
(1) Requirements applicable to all installations. 
The following requirements apply to all electrical installations and utilization equipment, regardless of when they were designed or installed:
Sec. 2340.2 -- Examination, Installation, and Use of Equipment.
Sec. 2340.8 -- Insulation Integrity.
Sec. 2340.9 -- Interrupting Rating.
Sec. 2340.10 -- Circuit Impedance and Other Characteristics.
Sec. 2340.11 -- Deteriorating Agents.
Sec. 2340.12 -- Mechanical Execution of Work.
Sec. 2340.13 -- Mounting and Cooling of Equipment.
Sec. 2340.14(c) -- Electrical Connections -- Splices.
Sec. 2340.17 -- Guarding of Energized Parts.
Sec. 2340.18 -- Arcing Parts.
Sec. 2340.21 -- Marking.
Sec. 2340.22(a)-(d) -- Identification of Equipment.
Sec. 2350.2 -- Use and Identification of Grounded and Grounding Conductors -- General.
Sec. 2390.1 -- Overcurrent Protection -- General.
Sec. 2390.24 -- Location.
Sec. 2390.41 -- Arcing or Suddenly Moving Parts.
Sec. 2395.3(a) -- Grounding -- Direct Current Systems.
Sec. 2395.5 -- Grounding -- Alternating-Current -- Circuits and Systems to Be Grounded.
Sec. 2395.23 -- Grounding Connections.
Sec. 2395.42(a)-(d) -- Equipment Fastened in Place or Connected by Permanent Wiring Methods (Fixed).
Sec. 2395.44 -- Nonelectrical Equipment.
Sec. 2395.45 -- Equipment Connected by Cord and Plug (without exceptions).
Sec. 2395.51 -- Effective Grounding.
Sec. 2395.57 -- Equipment Fastened in Place or Connected by Permanent Wiring Methods (Fixed)--Grounding.
Sec. 2500.7 -- Flexible Cords and Cables -- Uses Permitted.
Sec. 2500.8 -- Flexible Cords and Cables -- Uses Not Permitted.
Sec. 2500.9 -- Splices.
Sec. 2500.10 -- Pull at Joints and Terminals.
Sec. 2500.11 -- In Show Windows and Show Cases.
Article 59. Hazardous (Classified) Locations -- except as specified in Section 2540.2(a) Documentation.
(2) Requirements applicable to installations made after March 15, 1972. 
Every electrical installation and all utilization equipment installed or overhauled after March 15, 1972, shall comply with the provisions of these Safety Orders, except as noted in Sections 2305.2(b)(3) and (b)(4) of this Article.
(3) Requirements applicable only to installations made after April 16, 1981. The following requirements apply only to electrical installations and utilization equipment installed after April 16, 1981:
Sec. 2390.81(b) -- Circuit Breakers.
Sec. 2390.81(c) -- Circuit Breakers.
Sec. 2562.6 -- Elevators, Dumbwaiters, Escalators, Moving Walks, Wheelchair Lifts, and Stairway Chair Lifts -- Interconnection Between Multicar Controllers.
Article 78 -- Electrically Driven or Controlled Irrigation Machines
Sec. 2569.51 -- Fountains.
Sec. 2585.2 -- Class 1, Class 2, and Class 3 remote control, signaling, and power-limited circuits-Marking.
Article 86 -- Fire Alarm Systems
(4) Requirements applicable only to installations made after May 5, 2008. 
The following requirements apply only to electrical installations and utilization equipment installed after May 5, 2008:
Sec. 2340.16(d)(1) -- Work Space About Electric Equipment.
Sec. 2340.16(g) -- Work Space About Electric Equipment.
Sec. 2340.22(e) -- Identification of Equipment -- Capable of Accepting a Lock.
Sec. 2340.22(f) -- Identification of Equipment -- Marking for Series Combination Ratings.
Sec. 2360.1 -- Identification of Multiwire Branch Circuits.
Sec. 2360.3 -- Ground-Fault Circuit Interrupter Protection for Personnel--General Industry.
Sec. 2395.6 -- Portable and Vehicle-Mounted Generators.
Sec. 2480.7(b) -- Connection of Switches.
Sec. 2480.9(b) -- Snap Switches.
Sec. 2560.2(c) -- Electric Signs and Outline Lighting--Disconnecting Means.
Sec. 2562.2(c) -- Elevators, Dumbwaiters, Escalators, Moving Walks, Wheelchair Lifts, and Stairway Chair Lifts -- Disconnecting Means -- Operation.
Sec. 2562.2(d) -- Elevators, Dumbwaiters, Escalators, Moving Walks, Wheelchair Lifts, and Stairway Chair Lifts -- Disconnecting Means -- Location.
Sec. 2562.3 -- Identification and Signs.
Sec. 2562.4 -- Single-Car and Multi-Car Installations.
2569.5(c) -- Swimming Pools, Fountains, and Similar Installations -- Receptacles.
Sec. 2571.30 -- Emergency Power Systems -- Signs.
Article 84. Carnivals, Circuses, Fairs, and Similar Events
Sec. 2585.3 -- Class 1, Class 2, and Class 3 Remote Control, Signaling, and Power-Limited Circuits -- Separation From Conductors of Other Circuits.
Article 88. Solar Photovoltaic Systems
(c) Regulations herein which may affect Building Standards apply to all building, or building alteration, or building modification for which construction is commenced after the effective date of the regulations. Date of commencement of construction for the purpose of this Section, shall be:
(1) The advertising date for invitation of bids for State and local government projects;
(2) The building construction permit issuance date for other than government projects.
(d) For installation requirements not specifically contained herein, installations in compliance with CCR, Title 24, Part 3, California Electrical Code, in effect at the time of construction, will be considered as complying with the intent of these orders.
(e) Nothing contained in these regulations shall be considered as abrogating the provisions relating to public safety of any ordinance, rule or regulation of any governmental agency, providing such local ordinance, rule or regulation does not lessen the provisions for safety contained in these regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsections (a) and (d) filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Editorial correction of subsections (a), (c) and NOTE filed 11-2-83 (Register 83, No. 45).
3. Amendment of subsections (a) and (d) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
5. Amendment of subsection (b)(4) filed 4-6-2010; operative 5-6-2010 (Register 2010, No. 15).
§2305.3. Variances.
Note     •     History

(a) Any employer may apply to the Division for a temporary order granting a variance from an occupational safety and health standard. Such temporary order shall be granted only if the employer files an application which meets the requirements of Section 6450 through 6457, inclusive, of the California Labor Code.
(b) Any employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, order, special order, or portion thereof upon a showing of an alternative program, method, practice, means, device or process which will provide equal or superior safety for employees. Such application shall conform to the requirements of the California Administrative Code, Title 8, Chapter 3.5.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of section heading filed 11-3-83 (Register 83, No. 45).
§2305.4. Approvals.
Note     •     History

The conductors and equipment required or permitted by these orders shall be acceptable only if approved. 
(a) When the term “approved” is used in these orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to applicable governmental or other nationally recognized standards, or applicable scientific principles. The approval, listing, labeling, or certification of conformity, shall be based upon an evaluation performed by a nationally recognized testing laboratory recognized pursuant to 29 CFR §1910.7, which is incorporated by reference; or by a person, firm, or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation. 

Exception: Where written approval by the Division is required in these orders.
(b) The Division may require proof in addition to that under (a) that the products, materials, devices, systems, or installations will provide reasonable safety under the conditions of use.
(c) When these orders require an approval of products, materials, devices, systems, or installations and that approval is not available under (a), it will be necessary to submit to the Division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The Division will then approve or disapprove the product, material, device, system, or installation as submitted or under specified conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of first paragraph, subsection (a) and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 3. Work Procedures
§2320.1. General.
Note     •     History

(a) Only qualified persons shall work on electrical equipment or systems.
(b) Only qualified persons shall be permitted to perform any function in proximity to energized overhead conductors unless means to prevent accidental contact have been provided in accordance with Articles 3 and 4 of these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 3 (Sections 2320.1-2320.4) and new Article 3 (Sections 2320.1-2320.9) filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of subsection (b) filed 3-3-99; operative 4-2-99 (Register 99, No. 10).
§2320.2. Energized Equipment or Systems.
Note     •     History

(a) Work shall not be performed on exposed energized parts of equipment or systems until the following conditions are met:
(1) Responsible supervision has determined that the work is to be performed while the equipment or systems are energized.
(2) Involved personnel have received instructions on the work techniques and hazards involved in working on energized equipment.
(3) Suitable personal protective equipment and safeguards (i.e., approved insulated gloves or insulated tools) are provided and used.

Exception: The use of approved insulating gloves or insulated tools or other protective measures are not required when working on exposed parts of equipment or systems energized at less than 50 volts provided a conclusive determination has been made prior to the start of work by a qualified person that there will be no employee exposure to electrical shock, electrical burns, explosion or hazards due to electric arcs.
(A) Rubber insulating gloves shall meet the provisions of the American Society for Testing Materials (ASTM) D 120-02a, Standard Specification for Rubber Insulating Gloves, and be maintained in accordance with ASTM F 496-02a, Standard Specification for In-Service Care of Insulating Gloves and Sleeves, which are hereby incorporated by reference.
Note: The ASTM F 496-02a standard contains provisions regarding the care, inspection, testing and use of insulating gloves and sleeves. Among other requirements, this standard provides that electrical retests shall not exceed 6 months for insulating gloves and 12 months for insulating sleeves and that insulating gloves and sleeves that have been electrically tested but not issued for service shall not be placed into service unless they have been electrically tested within the previous twelve months.
(B) Insulated tools shall meet the provisions of the American Society for Testing Materials (ASTM) F 1505-01, Standard Specification for Insulated and Insulating Hand Tools, which is hereby incorporated by reference.
(4) Approved insulated gloves shall be worn for voltages in excess of 250 volts to ground.
(5) Suitable barriers or approved insulating material shall be provided and used to prevent accidental contact with energized parts.
(6) Suitable eye protection has been provided and is used.
(7) Where required for personnel protection, suitable barricades, tags, or signs are in place.
(8) Each employee who is exposed to the hazards of flames or electric arcs wears apparel that, when exposed to flames or electric arcs, does not increase the extent of injury that would be sustained by the employee. This subsection prohibits clothing made from the following types of fabrics, either alone or in blends, unless the employee can demonstrate that the fabric has been treated with flame retardant: acetate, nylon, polyester, and rayon.
(b) After the required work on an energized system or equipment has been completed, an authorized person shall be responsible for:
(1) Removing from the work area any temporary personnel protective equipment, and
(2) Reinstalling all permanent barriers or covers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (a)(3) filed 8-27-86; effective thirtieth day thereafter (Register 86. No. 37).
3. Amendment of subsection (a)(3), new subsection (a)(4), subsection renumbering, and amendment of newly designated subsection (a)(6) filed 1-16-2001; operative 2-15-2001 (Register 2001, No. 3).
4. New subsection (a)(7) filed 8-27-2001; operative 9-26-2001 (Register 2001, No. 35).
5. Amendment filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
6. Amendment of subsections (a)(3)-(a)(3)(B) filed 10-9-2007; operative 11-8-2007 (Register 2007, No. 41).
§2320.3. Tests.
Note     •     History

All electrical equipment and systems shall be treated as energized as required by Section 2320.2 until tested or otherwise proven to be de- energized.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2320.4. De-Energized Equipment or Systems.
Note     •     History

(a) An authorized person shall be responsible for the following before working on de-energized electrical equipment or systems unless the equipment is physically removed from the wiring system:
(1) Notifying all involved personnel.
(2) Locking the disconnecting means in the “open” position with the use of lockable devices, such as padlocks, combination locks or disconnecting of the conductor(s) or other positive methods or procedures which will effectively prevent unexpected or inadvertent energizing of a designated circuit, equipment or appliance. 
Note: See also Section 3314 of the General Industry Safety Orders (GISO) for lock-out requirements pertaining to the cleaning, repairing, servicing and adjusting of prime movers, machinery and equipment.

Exception: Locking is not required under the following conditions:

(A) Where tagging procedures are used as specified in subsection (a)(3), and

(B) Where the disconnecting means is accessible only to personnel instructed in these tagging procedures.
(3) Tagging the disconnecting means with suitable accident prevention tags conforming to the provisions of Section 2320.6 and GISO Section 3314(e).
(4) Effectively blocking the operation or dissipating the energy of all stored energy devices which present a hazard, such as capacitors or pneumatic, spring-loaded and like mechanisms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction (Register 79, No. 15).
2. Amendment of subsection (a)(4) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment filed 3-3-99; operative 4-2-99 (Register 99, No. 10).
4. Change without regulatory effect amending subsection (a)(3) filed 4-17-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§2320.5. Energizing (or Re-Energizing) Equipment or Systems.
Note     •     History

(a) An authorized person shall be responsible for the following before energizing equipment or systems which have been de-energized: 
(1) Determining that all persons are clear from hazards which might result from the equipment or systems being energized.
(2) Removing locking devices and tags.
(A) Locking devices and tags may be removed only by the employee who placed them. Locking devices and tags shall be removed upon completion of the work and after the installation of the protective guards and/or safety interlock systems. 

Exception: When the employee has left the premises or is otherwise unavailable, other persons may be authorized by the employer to remove the locking devices and tags in accordance with a procedure determined by the employer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (a) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2320.6. Accident Prevention Tags.
Note     •     History

(a) Suitable accident prevention tags shall be used to control a specific hazard. Such tags shall provide the following minimum information:
(1) Reason for placing tag.
(2) Name of person placing the tag and how that person may be contacted.
(3) Date tag was placed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (a)(1) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2320.7. Safety Precautions.
Note     •     History

(a) Suitable temporary barriers, or barricades, shall be installed when access to opened enclosures containing exposed energized electrical equipment is not under the control of an authorized person.
(b) Conductive measuring tapes, ropes or similar measuring devices shall not be used when working on or near exposed energized conductors or parts of equipment.
(c) Conductive fish tapes shall not be used in raceways entering enclosures containing exposed energized parts unless such parts are isolated by suitable barriers.
(d) Prior to climbing poles or other elevated structures supporting overhead electrical lines or equipment, an inspection shall be made to assure that such poles or structures are in safe condition for the work to be performed. Where poles or structures are determined to be unsafe for climbing, they shall not be climbed until made safe by guying, bracing or other adequate means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of section heading and new subsection (d) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2320.8. Fall Protection.
Note     •     History

(a) Fall Protection. When work is performed at elevated locations more than 4 feet (1.2 meters) above the ground on poles, towers or similar structures, the employer shall require the employees to use either fall arrest equipment, work positioning equipment, or travel restricting equipment, if other fall protection methods have not been provided (e.g., guardrails, safety nets, etc.). The use of body belts for fall arrest systems is prohibited.

Exception: Point to point travel by a qualified person, unless conditions such as ice, high winds, design of the structure, or other condition (e.g., chemical contaminants) prevents the employee from gaining a firm hand or foothold while traveling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-10-99; operative 10-10-99 (Register 99, No. 37). For prior history see Register 86, No. 37.
§2320.9. Backfeeding or Interconnection.
Note     •     History

No electrical power source, permanent or temporary, shall be connected to a premises wiring system, or parts of such a system, unless positive means are used to prevent the transmission of electricity beyond the premises wiring system, or beyond any intentionally segregated parts of such system. 

Exception: When an interconnection has been authorized by the servicing utility.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2320.10. Medical Services and First Aid -- Additional Requirements for Power Generation, Transmission and Distribution.
Note     •     History

(a) Application. This section applies to:
(1) Power generation, transmission, and distribution installations, including, but not limited to, related equipment for the purpose of communication or metering, which are accessible only to qualified employees. 
The types of installations covered by this section include the generation, transmission, and distribution installations of electric utilities, as well as equivalent installations of industrial establishments. Supplementary electric generating equipment that is used to supply a workplace for emergency, standby, or similar purposes only is covered under other parts of these Orders.
(2) Other installations at an electric power generating station, as follows:
a. Fuel and ash handling and processing installations, such as coal conveyors,
b. Water and steam installations, such as penstocks, pipelines, and tanks, providing a source of energy for electric generators, and
c. Chlorine and hydrogen systems.
(3) Test sites where electrical testing involving temporary measurements associated with electric power generation, transmission, and distribution is performed in laboratories, in the field, in substations, and on lines, as opposed to metering, relaying, and routine line work.
(4) Work on, or directly associated with, the installations covered in subsections (a)(1) through (a)(3) and
(5) Line-clearance tree-trimming operations.

NOTE: See High-Voltage Electrical Safety Orders, Article 38, for additional requirements for line-clearance tree-trimming operations.
(b) This Section 2320.10 does not apply to: 
(1) Construction work.
(2) Electrical installations other than power generation, transmission and distribution.
(3) Electric utilization systems.
(4) Premises wiring.
(c) The employer shall provide medical services and first aid as required in General Industry Safety Orders, Section 3400. In addition to the requirements of Section 3400, the following requirements also apply: 
(1) Cardiopulmonary resuscitation and first aid training. When employees are performing work on or associated with exposed lines or equipment energized at 50 volts or more, persons trained in first aid including cardiopulmonary resuscitation (CPR) shall be available as follows: 
a. For field work involving two or more employees at a work location, at least two trained persons shall be available. 

Exception: Only one trained person need be available if all new employees are trained in first aid, including CPR, within 3 months of their hiring dates. 
b. For fixed work locations such as generating stations, the number of trained persons available shall be sufficient to ensure that each employee exposed to electric shock can be reached within 4 minutes by a trained person. 

Exception: Where the existing number of employees is insufficient to meet this requirement (at a remote substation, for example), all employees at the work location shall be trained. 
(2) First aid supplies. First aid supplies required by Section 3400(c) shall be placed in weatherproof containers if the supplies could be exposed to the weather. 
(3) First aid kits. Each first aid kit shall be maintained, shall be readily available for use, and shall be inspected frequently enough to ensure that expended items are replaced but at least once per year. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-27-2011; operative 10-27-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2011, No. 43).
2. Amendment of section heading and section filed 9-5-2012; operative 10-5-2012 (Register 2012, No. 36).
Article 4. Requirements for Electrical Installations
GENERAL
§2340.1. Maintenance.
Note     •     History

Electrical equipment shall be maintained free from recognized hazards that are likely to cause death or serious physical harm to employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2340.2. Examination, Installation, and Use of Equipment.
Note     •     History

(a) Examination. Electric equipment shall be free from recognized hazards that are likely to cause death or serious physical harm to employees. Safety of equipment shall be determined using the following considerations: 
(1) Suitability for installation and use in conformity with the provisions of these Orders;

NOTE to subsection (a)(1): Suitability of equipment for an identified purpose may be evidenced by listing or labeling for that identified purpose.
(2) Mechanical strength and durability, including, for parts designed to enclose and protect other equipment, the adequacy of the protection thus provided;
(3) Wire-bending and connection space;
(4) Electrical insulation;
(5) Heating effects under all conditions of use;
(6) Arcing effects;
(7) Classification by type, size, voltage, current capacity, and specific use; and
(8) Other factors that contribute to the practical safeguarding of persons using or likely to come in contact with the equipment.
(b) Installation and use. Listed or labeled equipment shall be installed and used in accordance with any instructions included in the listing or labeling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.5. Conductors.
Note     •     History

(a) Insulation. All conductors used for general wiring shall be insulated unless otherwise permitted in these safety orders.
(b) Type. The conductor insulation shall be of a type that is approved for the voltage, operating temperature, and location of use.
(c) Distinguishable. Insulated conductors shall be distinguishable by appropriate color or other suitable means as being grounded conductors, ungrounded conductors, or equipment grounding conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 12.
§2340.8. Insulation Integrity.
Note     •     History

Completed wiring installations shall be free from short circuits and from grounds other than those required or permitted by these Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 12.
§2340.9. Interrupting Rating.
Note     •     History

(a) Equipment intended to interrupt current at fault levels shall have an interrupting rating sufficient for the nominal circuit voltage and the current which is available at the line terminals of the equipment. 
(b) Equipment intended to interrupt current at other than fault levels shall have an interrupting rating at nominal circuit voltage sufficient for the current that must be interrupted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.10. Circuit Impedance and Other Characteristics.
Note     •     History

The overcurrent protective devices, the total impedance, the component short-circuit current ratings, and other characteristics of the circuit to be protected shall be selected and coordinated to permit the circuit protective devices used to clear a fault to do so without the occurrence of extensive damage to the electrical components of the circuit. This fault shall be assumed to be either between two or more of the circuit conductors, or between any circuit conductor and the grounding conductor or enclosing metal raceway.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 12.
§2340.11. Deteriorating Agents.
Note     •     History

(a) Unless approved for the purpose, no conductors or equipment shall be located: 
(1) In damp or wet locations. 
(2) Where exposed to gases, fumes, vapors, liquids, or other agents that have a deteriorating effect on the conductors or equipment. 
(3) Where exposed to excessive temperatures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (b) and (c) filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.12. Mechanical Execution of Work.
Note     •     History

Electric equipment shall be installed in a neat and workmanlike manner.
(a) Unused openings in boxes, raceways, auxiliary gutters, cabinets, equipment cases, or housings shall be effectively closed to afford protection substantially equivalent to the wall of the equipment.
(b) Conductors shall be racked to provide ready and safe access in underground and subsurface enclosures that persons enter for installation and maintenance.
(c) Internal parts of electrical equipment, including busbars, wiring terminals, insulators, and other surfaces, shall not be damaged or contaminated by foreign materials such as paint, plaster, cleaners, abrasives, or corrosive residues.
(d) There shall be no damaged parts that may adversely affect safe operation or mechanical strength of the equipment, such as parts that are broken, bent, cut, or deteriorated by corrosion, chemical action, or overheating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 12.
§2340.13. Mounting and Cooling of Equipment.
Note     •     History

(a) Mounting. Electric equipment shall be firmly secured to the surface on which it is mounted.

NOTE: Wooden plugs driven into holes in masonry, concrete, plaster, or similar materials are not considered secure means of fastening electric equipment
(b) Electric equipment that depends on the natural circulation of air and convection principles for cooling of exposed surfaces shall be installed so that room airflow over such surfaces is not prevented by walls or by adjacent installed equipment. For equipment designed for floor mounting, clearance between top surfaces and adjacent surfaces shall be provided to dissipate rising warm air.
(c) Cooling. Electrical equipment provided with ventilating openings shall be installed and maintained so that free circulation of air through the equipment is not obstructed. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.14. Electrical Connections.
Note     •     History

(a) General. Because of different characteristics of dissimilar metals:
(1) Devices such as pressure terminal or pressure splicing connectors and soldering lugs shall be identified for the material of the conductor and shall be properly installed and used;
(2) Conductors of dissimilar metals may not be intermixed in a terminal or splicing connector where physical contact occurs between dissimilar conductors (such as copper and aluminum, copper and copper-clad aluminum, or aluminum and copper-clad aluminum) unless the device is identified for the purpose and conditions of use; and
(3) Materials such as solder, fluxes, inhibitors, and compounds, where employed, shall be suitable for the use and shall be of a type that will not adversely affect the conductors, installation, or equipment.
(b) Terminals. 
(1) Connection of conductors to terminal parts shall ensure a good connection without damaging the conductors and shall be made by means of pressure connectors (including set-screw type), solder lugs, or splices to flexible leads. However, No. 10 or smaller conductors may be connected by means of wire binding screws or studs and nuts having upturned lugs or equivalent.
(2) Terminals for more than one conductor and terminals used to connect aluminum shall be so identified.
(c) Splices.
(1) Conductors shall be spliced or joined with splicing devices identified for the use or by brazing, welding, or soldering with a fusible metal or alloy. Soldered splices shall first be spliced or joined to be mechanically and electrically secure without solder and then soldered. All splices and joints and the free ends of conductors shall be covered with an insulation equivalent to that of the conductors or with an insulating device identified for the purpose.
(2) Wire connectors or splicing means installed on conductors for direct burial shall be listed for such use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 12.
§2340.16. Work Space About Electric Equipment.
Note     •     History

(a) Space about electric equipment.
Sufficient access and working space shall be provided and maintained about all electric equipment to permit ready and safe operation and maintenance of such equipment.
(b) Work Space. Working space for equipment likely to require examination, adjustment, servicing, or maintenance while energized shall comply with the following dimensions, except as required or permitted elsewhere in these Orders.
(1) Depth. The depth of the working space in the direction of access to live parts shall not be less than indicated in Table 2340.16 unless permitted elsewhere in these orders. 
Distances shall be measured from the live parts if they are exposed or from the enclosure front or opening if they are enclosed.
(2) Width. In addition to the dimensions of depth shown in Table 2340.16, the width of the workspace in front of the electric equipment shall not be less than the width of the equipment or 30 inches, whichever is greater. 
In all cases, the workspace shall be adequate to permit at least a 90 degree opening of equipment doors or hinged panels.
(3) Height. The work space shall be clear and extend from the grade, floor, or platform to the height required by subsection (f) of this section. However, other equipment associated with the electrical installation and located above or below the electric equipment may extend not more than 6 in. (153 mm) beyond the front of the electric equipment.

Table 2340.16. Minimum Depth of Clear Working Space at 
Electrical Equipment, 600 V or Less

View Graphic
Notes to Table 2340.16:
Where the “Conditions” are as follows:
Condition 1--Exposed live parts on one side and no live or grounded parts on the other side of the working space, or exposed live parts on both sides effectively guarded by suitable wood or other insulating materials. Insulated wire or insulated busbars operating at 300 volts or less shall not be considered live parts.
Condition 2--Exposed live parts on one side and grounded parts on the other side. Concrete, brick, or tile surfaces shall be considered as grounded surfaces.
Condition 3--Exposed live parts on both sides of the work space (not guarded as provided in Condition (1)) with the operator between.

EXCEPTIONS: 

*1. Minimum clear distances may be 2.5 ft. (0.7 m) for installations built before April 16, 1981.

2. Working space is not required in back of assemblies such as dead-front switchboards or motor control centers where there are no renewable or adjustable parts (such as fuses or switches) on the back and where all connections are accessible from locations other than the back. 

3. Where rear access is required to work on deenergized parts on the back of enclosed equipment, a minimum working space of 30 in. (762 mm) horizontally shall be provided.
(c) Clear Spaces. Working space required by this section shall not be used for storage. When normally enclosed live parts are exposed for inspection or servicing, the working space, if in a passageway or general open space, shall be suitably guarded. 
(d) Entrance and Access to Workspace. At least one entrance of sufficient area shall be provided to give access to the working space about electric equipment. 
(1) For equipment rated 1,200 amperes or more and over 6 feet (1.83 m) wide, containing overcurrent devices, switching devices, or control devices, there shall be one entrance not less than 24 inches (610 mm) wide and 6 feet 6 inches (1.98 m) high at each end of the workspace, except that: 
(A) Where the location permits a continuous and unobstructed way of exit travel, one means of exit is permitted; or
(B) Where the working space required by subsection (b) of this section is doubled, only one entrance to the working space is required; however, the entrance shall be located so that the edge of the entrance nearest the equipment is the minimum clear distance given in Table 2340.16 away from such equipment.
(2) Attics, furred ceilings and underfloor spaces shall have minimum unobstructed access openings of 22 inches by 30 inches.
(e) Illumination. Portable or fixed illumination, suitable for the nature of the work being performed, shall be provided when working on electrical equipment. The light fixtures and their control points shall be so arranged that persons operating light switches, replacing lamps or making repairs on the lighting system will not be endangered by energized parts of other equipment. 

Exception: Additional lighting fixtures are not required where the working space is illuminated by an adjacent light source. In electric equipment rooms, the illumination may not be controlled by automatic means only.
(f) Headroom. The minimum headroom of working space about service equipment, switchboards, panelboards and motor control centers, which require manual operation or where there are energized parts exposed at any time, shall be as follows:
(1) For installations built before May 5, 2008 6 feet 3 inches (1.91 m). 
(2) For installations built on or after May 5, 2008 6 feet 6 inches (1.98 m), except that where the electrical equipment exceeds 6.5 feet (1.98 m) in height, the minimum headroom may not be less than the height of the equipment.
(g) For installations built on or after May 5, 2008, switchboards, panelboards, and distribution boards installed for the control of light and power circuits, and motor control centers shall be located in dedicated spaces and protected from damage. 
(1) Indoor. For indoor installation, the dedicated space shall comply with the following:
(A) The space equal to the width and depth of the equipment and extending from the floor to a height of 6.0 feet (1.83 m) above the equipment or to the structural ceiling, whichever is lower, shall be dedicated to the electrical installation. Unless isolated from equipment by height or physical enclosures or covers that will afford adequate mechanical protection from vehicular traffic or accidental contact by unauthorized personnel or that complies with subsection (g)(1)(B) of this section, piping, ducts, or equipment foreign to the electrical installation shall not be located in this area;
(B) The space equal to the width and depth of the equipment shall be kept clear of foreign systems unless protection is provided to avoid damage from condensation, leaks, or breaks in such foreign systems. This area shall extend from the top of the electric equipment to the structural ceiling;
(C) Sprinkler protection is permitted for the dedicated space where the piping complies with this section; and
(D) Control equipment that by its very nature or because of other requirements in these Orders must be adjacent to or within sight of its operating machinery is permitted in the dedicated space.

NOTE to subsection (g)(1): A dropped, suspended, or similar ceiling that does not add strength to the building structure shall not be considered a structural ceiling.
(2) Outdoor. Outdoor electric equipment shall be installed in suitable enclosures and shall be protected from accidental contact by unauthorized personnel, or by vehicular traffic, or by accidental spillage or leakage from piping systems. No architectural appurtenance or other equipment may be located in the working space required by subsection (b) of this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Amendment of Table 2340.16 and Plate 2340.16(a)(1) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Editorial correction filed 11-2-83 (Register 83, No. 45).
4. Editorial correction of Table 2340.16 filed 11-3-83 (Register 83, No. 45).
5. Amendment of Table 2340.16, subsections (c)-(f) and Plate 2340.16(a)(2) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
6. Amendment of section, repealer of Plate 2340.16(a)(2), and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
7. Amendment of subsection (b)(2), repealer of subsections (b)(2)(A)-(B) and amendment of subsection (b)(3) filed 4-6-2010; operative 5-6-2010 (Register 2010, No. 15).
§2340.17. Guarding of Energized Parts.
Note     •     History

(a) Except as elsewhere required or permitted by these orders, energized parts of electric equipment operating at 50 volts or more shall be guarded against accidental contact by use of approved cabinets or other forms of approved enclosures or by any of the following means: 
(1) By location in a room, vault, or similar enclosure that is accessible only to qualified persons.
(2) By suitable permanent, substantial partitions or screens so arranged that only qualified persons will have access to the space within reach of the energized parts. Any openings in such partitions or screens shall be so sized and located that persons are not likely to come into accidental contact with the energized parts or to bring conducting objects into contact with them.
(3) By location on a suitable balcony, gallery, or platform so elevated and otherwise located as to prevent access by unqualified persons; or
(4) By elevation of 8.0 feet (2.44 m) or more above the floor or other working surface.
(b) In locations where electric equipment is likely to be exposed to physical damage, enclosures or guards shall be so arranged and of such strength as to prevent such damage.
(c) Entrances to rooms and other guarded locations containing exposed live parts shall be marked with conspicuous warning signs forbidding unqualified persons to enter. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of subsection (a)(1) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.18. Arcing Parts.
Note     •     History

Parts of electric equipment which in ordinary operation produce arcs, sparks, flames, or molten metal shall be enclosed or separated and isolated from all combustible material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.21. Marking.
Note     •     History

(a) Identification of Manufacturer and Ratings. 
Electric equipment shall not be used unless the following markings have been placed on the equipment:
(1) The manufacturer's name, trademark, or other descriptive marking by which the organization responsible for the product may be identified; and
(2) Other markings giving voltage, current, wattage, or other ratings.
(b) Durability. The marking shall be of sufficient durability to withstand the environment involved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Repealer and new section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.22. Identification of Equipment.
Note     •     History

(a) Motors and Appliances. 
Each disconnecting means required by this Safety Order for motors and appliances shall be legibly marked to indicate its purpose, unless located and arranged so the purpose is evident.
(b) Services, Feeders, and Branch Circuits. Each service, feeder, and branch circuit, at its disconnecting means or overcurrent device, shall be legibly marked to indicate its purpose, unless located and arranged so the purpose is evident.
(c) Each service disconnecting means shall plainly indicate whether it is in the open or closed position.
(d) Durability of Markings. The markings shall be of sufficient durability to withstand the environment involved.
(e) Capable of Accepting a Lock. Effective with installations made after May 5, 2008 disconnecting means required by these Orders shall be capable of being locked in the open position.
(f) Marking for Series Combination Ratings. 
Effective with installations made after May 5, 2008:
(1) Where circuit breakers or fuses are applied in compliance with the series combination ratings marked on the equipment by the manufacturer, the equipment enclosures shall be legibly marked in the field to indicate that the equipment has been applied with a series combination rating.
(2) The marking required by subsection (f)(1) of this section shall be readily visible and shall state “Caution--Series Combination System Rated ---- Amperes. Identified Replacement Component Required.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
5. Change without regulatory effect amending subsection (f)(2) filed 5-7-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 19).
§2340.23. Openings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-12-76 as procedural and organizational; effective upon filing (Register 76, No. 33).
2. Repealer and new section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section see Registers 76, No. 33 and 75, No. 42.
3. Editorial correction filed 11-2-83 (Register 83, No. 45).
4. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
5. Repealer of section and amendment of NOTE filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2340.24. Discontinued Circuits.
Note     •     History

When a circuit is abandoned or discontinued, its conductors shall be removed from the raceways, or be maintained as if in use.
(Title 24, Part 3, Section 3-110-24.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 8-12-76 as procedural and organizational; effective upon filing (Register 76, No. 33).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2340.26. Mechanical Protection.
Note     •     History

In locations where electric equipment would be exposed to physical damage, enclosures or guards shall be so arranged and of such strength as to prevent such damage.
(Title 24, Part 3, Section 3-110-26.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2340.27. Location of Control and Protective Devices.
Note     •     History

All switches, circuit breakers, fuses and other control and protective devices shall be so located or arranged that they may be safely operated, removed or repaired.
(Title 24, Part 3, Section 3-110-27.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of section title filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 5. Use and Identification of Grounded and Grounding Conductors
§2350.2. General.
Note     •     History

(a) Identification of Conductors. 
(1) A conductor used as a grounded conductor shall be identifiable and distinguishable from all other conductors.
(2) A conductor used as an equipment grounding conductor shall be identifiable and distinguishable from all other conductors.
(b) Polarity of Connections. No grounded or grounding conductor shall be attached to any terminal or lead so as to reverse designated polarity.
(c) Use of Grounding Terminals and Devices. A grounding terminal or grounding-type device on a receptacle, cord connector, or attachment plug shall not be used for purposes other than grounding.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (a) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of article heading, repealer and new section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2350.3. Connection to Grounded System. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2350.6. Means of Identifying Grounded Conductors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2350.7. Use of White or Natural Gray Color. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2350.9. Means of Identification of Terminals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2350.10. Identification of Terminals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2350.11. Polarity of Connections. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Repealer of section and amendment of NOTE filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 6. Branch Circuits
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 6 (Sections 2360.1-2360.9, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32). For prior history, see Registers 76, No. 48 and 77, No. 34.
§2360.1. Identification of Multiwire Branch Circuits.
Note     •     History

For installations built on or after May 5, 2008 where more than one nominal voltage system exists in a building containing multiwire branch circuits, each ungrounded conductor of a multiwire branch circuit, where accessible, shall be identified by phase and system. The means of identification shall be permanently posted at each branch-circuit panelboard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 6 (sections 2360.1-2360.5) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history of article 6, see Register 79, No. 32.
§2360.2. Receptacles and Cord Connectors.
Note     •     History

(a) Receptacles installed on 15- and 20-ampere branch circuits shall be of the grounding type except as permitted for replacement receptacles in subsection (d) of this section. Grounding-type receptacles shall be installed only on circuits of the voltage class and current for which they are rated, except as provided in Table 2360.4(b)(2) and Table 2360.4(b)(3).
(b) Receptacles and cord connectors having grounding contacts shall have those contacts effectively grounded except for receptacles mounted on portable and vehicle-mounted generators in accordance with Section 2395.6 of these Orders and replacement receptacles installed in accordance with subsection (d) of this section.
(c) The grounding contacts of receptacles and cord connectors shall be grounded by connection to the equipment grounding conductor of the circuit supplying the receptacle or cord connector. The branch circuit wiring method shall include or provide an equipment grounding conductor to which the grounding contacts of the receptacle or cord connector shall be connected.
(d) Replacement of receptacles shall comply with the following requirements:
(1) Where a grounding means exists in the receptacle enclosure or a grounding conductor is installed, grounding-type receptacles shall be used and shall be connected to the grounding means or conductor;
(2) Ground-fault circuit-interrupter protected receptacles shall be provided where replacements are made at receptacle outlets that are required to be so protected elsewhere in these Orders; and
(3) Where a grounding means does not exist in the receptacle enclosure, the installation shall comply with one of the following provisions:
(A) A nongrounding-type receptacle may be replaced with another nongrounding-type receptacle; or
(B) A nongrounding-type receptacle may be replaced with a ground-fault circuit-interrupter-type of receptacle that is marked “No Equipment Ground;” an equipment grounding conductor shall not be connected from the ground-fault circuit-interrupter-type receptacle to any outlet supplied from the ground-fault circuit-interrupter receptacle; or
(C) A nongrounding-type receptacle may be replaced with a grounding-type receptacle where supplied through a ground-fault circuit-interrupter; the replacement receptacle shall be marked “GFCI Protected” and “No Equipment Ground;” an equipment grounding conductor shall not be connected to such grounding-type receptacles.
(e) Receptacles connected to circuits having different voltages, frequencies, or types of current (ac or dc) on the same premises shall be of such design that the attachment plugs used on these circuits are not interchangeable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2360.3. Ground-Fault Circuit Interrupter Protection for Personnel -- General Industry.
Note     •     History

(a) All 120-volt (nominal), single-phase, 15- and 20-ampere receptacles installed in bathrooms or on rooftops shall have ground-fault circuit-interrupter protection for personnel.
(b) The following requirements apply to temporary wiring installations that are used during maintenance, remodeling, or repair of buildings, structures, or equipment or during similar activities.
(1) All 120-volt (nominal), single-phase, 15-, 20-, and 30-ampere receptacle outlets that are not part of the permanent wiring of the building or structure and that are in use by personnel shall have ground-fault circuit-interrupter protection for personnel.

NOTE 1 to subsection (b)(1): A cord connector on an extension cord set is considered to be a receptacle outlet if the cord set is used for temporary electric power.

NOTE 2 to subsection (b)(1): Cord sets and devices incorporating the required ground-fault circuit-interrupter that are connected to the receptacle closest to the source of power are acceptable forms of protection.
(2) Receptacles other than 120 volt (nominal), single-phase, 15-, 20-, and 30-ampere receptacles that are not part of the permanent wiring of the building or structure and that are in use by personnel shall have ground-fault circuit-interrupter protection for personnel.
(3) Where the ground-fault circuit-interrupter protection required by subsection (b)(2) of this section is not available for receptacles other than 120-volt (nominal), single-phase, 15-, 20-, and 30-ampere, the employer shall establish and implement an assured equipment grounding conductor program covering cord sets, receptacles that are not a part of the building or structure, and equipment connected by cord and plug that are available for use or used by employees on those receptacles. This program shall comply with the following requirements:
(A) A written description of the program, including the specific procedures adopted by the employer, shall be available at the jobsite for inspection and copying by the Division of Occupational Safety and Health and any affected employee;
(B) The employer shall designate one or more qualified persons as defined in Section 2300 to implement the program;
(C) Each cord set, attachment cap, plug, and receptacle of cord sets, and any equipment connected by cord and plug, except cord sets and receptacles which are fixed and not exposed to damage, shall be visually inspected before each day's use for external defects, such as deformed or missing pins or insulation damage, and for indications of possible internal damage. Equipment found damaged or defective shall not be used until repaired;
(D) The following tests shall be performed on all cord sets and receptacles which are not a part of the permanent wiring of the building or structure, and cord- and plug-connected equipment required to be grounded:
1. All equipment grounding conductors shall be tested for continuity and shall be electrically continuous;
2. Each receptacle and attachment cap or plug shall be tested for correct attachment of the equipment grounding conductor. The equipment grounding conductor shall be connected to its proper terminal; and
3. All required tests shall be performed before first use; before equipment is returned to service following any repairs; before equipment is used after any incident which can be reasonably suspected to have caused damage (for example, when a cord set is run over); and at intervals not to exceed 3 months, except that cord sets and receptacles which are fixed and not exposed to damage shall be tested at intervals not exceeding 6 months;
(E) The employer shall not make available or permit the use by employees of any equipment which has not met the requirements of subsection (b)(3) of this section; and
(F) Tests performed as required in subsection (b)(3) of this section shall be recorded. This test record shall identify each receptacle, cord set, and cord- and plug-connected equipment that passed the test and shall indicate the last date it was tested or the interval for which it was tested. This record shall be kept by means of logs, color coding, or other effective means and shall be maintained until replaced by a more current record. The record shall be made available on the jobsite for inspection by the Division and any affected employee.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
2. Amendment of subsection (b) filed 4-6-2010; operative 5-6-2010 (Register 2010, No. 15).
§2360.4. Outlet Devices.
Note     •     History

Outlet devices shall have an ampere rating not less than the load to be served and shall comply with the following provisions:
(a) Where connected to a branch circuit having a rating in excess of 20 amperes, lampholders shall be of the heavy-duty type. A heavy-duty lampholder shall have a rating of not less than 660 watts if of the admedium type and not less than 750 watts if of any other type; and
(b) Receptacle outlets shall comply with the following provisions:
(1) A single receptacle installed on an individual branch circuit shall have an ampere rating of not less than that of the branch circuit;
(2) Where connected to a branch circuit supplying two or more receptacles or outlets, a receptacle may not supply a total cord- and plug-connected load in excess of the maximum specified in Table 2360.4(b)(2).

Table 2360.4(b)(2) -- Maximum Cord- and Plug-Connected Load to Receptacle

	Circuit Rating 	Receptacle Rating 	Maximum Load
	(Amperes)	(Amperes)	(Amperes)
				
	15 or 20	15	12
	20	20	16
	30	30	24
				
(3) Where connected to a branch circuit supplying two or more receptacles or outlets, receptacle ratings shall conform to the values listed in Table 2360.4(b)(3); or, where larger than 50 amperes, the receptacle rating may not be less than the branch-circuit rating. 

Exception: Receptacles for one or more cord- and plug-connected arc welders shall have ampere ratings not less than the minimum branch-circuit conductor ampacity.

Table 2360.4(b)(3) -- Receptacle Ratings for Various Size Circuits

	Circuit Rating (Amperes)	Receptacle Rating (Amperes)
					15	Not over 15
	20	15 or 20
	30	30
	40	40 or 50
	50	50
				
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2360.5. Cord Connections.
Note     •     History

A receptacle outlet shall be installed wherever flexible cords with attachment plugs are used. Where flexible cords are permitted to be permanently connected, receptacles may be omitted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 7. Feeders [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 7 (Sections 2365.1 and 2365.9) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
Article 8. Outdoor Wiring
§2375.1. Scope.
Note     •     History

This Article applies to branch-circuit, feeder, and service conductors rated 600 volts, nominal, or less and run outdoors as open conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section and amendment of Article heading filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2375.7. Conductors on Poles.
Note     •     History

Conductors on poles shall have a separation of not less than 1 foot (305 mm) where not placed on racks or brackets. Conductors supported on poles shall provide a horizontal climbing space not less than the following:
(a) Power conductors below communication conductors--30 in. (762 mm);
(b) Power conductors alone or above communication conductors:
(1) 300 volts or less--24 in. (610 mm),
(2) Over 300 volts--30 in. (762 mm);
(c) Communication conductors below power conductors--same as power conductors; and
(d) Communications conductors alone--no requirement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 32.
§2375.10. Wiring on Buildings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2375.12. Open-Conductor Supports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32.)
§2375.13. Festoon Supports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2375.18. Clearance from Ground.
Note     •     History

Open conductors, open multiconductor cables, and service-drop conductors of not over 600 volts, nominal, shall conform to the following minimum clearances: 
Installations built before May 5, 2008:

Above areas (other than thoroughfares) 
  where it is possible to drive vehicles	 16 feet (4.88 m)

Above areas accessible to pedestrians only	 12 feet (3.66 m)
Installations built on or after May 5, 2008:

Table 2375.18 Clearances from Ground.

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2375.19. Clearances from Buildings.
Note     •     History

(a) Over roofs. Open wiring and cables shall have a clearance of not less than 8 feet from the highest point of roofs over which they pass. 

Exception: No. 1: Where the voltage between conductors does not exceed 300 and the roof has a slope of not less than 4 inches in 12 inches, a reduction in clearance to 3 feet shall be permitted. 

Exception: No. 2: Where the voltage between conductors does not exceed 300, a reduction in clearance over the overhanging portion of the roof to 18 inches shall be permitted if:

a. They do not pass over more than 4 feet of the overhang portion of the roof; and

b. They are terminated at a (through-the-roof) raceway or approved support.

Exception: No. 3: The area above a roof surface subject to pedestrian or vehicular traffic shall have a vertical clearance from the roof surface in accordance with the clearance requirements of Section 2375.18.
(b) Horizontal Clearances. Open wiring and cables not attached to a building shall have a minimum horizontal clearance of 3 feet. 
(c) Final Spans.
(1) Open wiring and cables to a building they supply or from which they are fed shall be permitted to be attached to the building, but they shall be kept 3 feet from windows that are designed to be opened, doors, porches, balconies, ladders, stairs, fire escapes, or similar locations.
(2) Conductors run above the top level of a window shall be permitted to be less than 3 feet above the window provided that they are at the maximum practical distance and that in no case are they less than 1 foot above the window.
(3) Vertical clearance of final spans above, or within 3.0 feet measured horizontally of, platforms, projections, or surfaces from which they might be reached shall be maintained in accordance with Section 2375.18.
(4) Overhead service conductors shall not be installed beneath openings through which materials may be moved, such as openings in farm and commercial buildings, and may not be installed where they will obstruct entrance to these building openings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2375.25. Location of Outdoor Lamps.
Note     •     History

Lamps for outdoor lighting shall be located below all energized conductors, transformers, or other electric equipment, unless such equipment is controlled by a disconnecting means that can be locked in the open position, or unless adequate clearances or other safeguards are provided for relamping operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history, see Register 79, No. 32.
Article 9. Services
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 9 (Sections 2380.1-2380.95, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32). For prior history, see Register 76, No. 33.
§2380.1. Disconnecting Means.
Note     •     History

(a) Means shall be provided to disconnect all conductors in a building or other structure from the service-entrance conductors. The service disconnecting means shall plainly indicate whether it is in the open or closed position and shall be installed at a readily accessible location nearest the point of entrance of the service-entrance conductors.
(b) Each service disconnecting means shall simultaneously disconnect all ungrounded conductors.
(c) Each service disconnecting means shall be suitable for the prevailing conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 9 (section 2380.1) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history of article 9, see Register 79, No. 32.
Article 10. Overcurrent Protection
§2390.1. General.
Note     •     History

Conductors and equipment shall be protected from overcurrent in accordance with their ability to safely conduct current. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 10 (Sections 2390.1-2390.83, not consecutive) and new Article 10 (Sections 2390.1-2390.41, not consecutive) filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.10. Grounded Conductors.
Note     •     History

Except for motor running overload protection, overcurrent devices shall not interrupt the continuity of the grounded conductor unless all conductors of the circuit are opened simultaneously.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.20. Disconnecting Means for Fuses.
Note     •     History

A disconnecting means shall be provided on the supply side of all fuses in circuits over 150 volts to ground and cartridge fuses in circuits of any voltage where accessible to other than qualified persons so that each individual circuit containing fuses can be independently disconnected from the source of power. However, a current-limiting device without a disconnecting means is permitted on the supply side of the service disconnecting means. In addition, a single disconnecting means is permitted on the supply side of more than one set of fuses as permitted by the exception in Section 2530.112 for group operation of motors, and a single disconnecting means is permitted for fixed electric space-heating equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.24. Location.
Note     •     History

Overcurrent devices shall be readily accessible to each employee or authorized building management personnel. These overcurrent devices shall not be located where they will be exposed to physical damage or in the vicinity of easily ignitable material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.41. Arcing or Suddenly Moving Parts.
Note     •     History

Arcing or suddenly moving parts shall comply with the following:
(a) Location. Fuses and circuit breakers shall be so located or shielded that persons will not be burned or otherwise injured by their operation.
(b) Suddenly Moving Parts. Handles or levers of circuit breakers, and similar parts which may move suddenly in such a way that persons in the vicinity are likely to be injured by being struck by them, shall be guarded or isolated. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37.)
3. Amendment of subsection (b) and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.42. Indicating. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of Section 2390.42 to Section 2390.81 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, Nos. 45 and 6.
§2390.43. Circuit Breakers Used as Switches. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of Section 2390.43 to Section 2390.83 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, Nos. 45 and 6.
§2390.81. Circuit Breakers.
Note     •     History

(a) Circuit breakers shall clearly indicate whether they are in the open “off” or closed “on” position. 
(b) Where circuit breaker handles on switchboards or in panelboards are operated vertically rather than rotationally or horizontally, the up position of the handle shall be the “on” position.
(c) Circuit Breakers Used as Switches. 
Where used as switches in 120-volt and 277-volt fluorescent lighting circuits, circuit breakers shall be listed and shall be marked “SWD.”
(d) Applications.
(1) A circuit breaker with a straight voltage rating, such as 240 V or 480 V, shall only be installed in a circuit in which the nominal voltage between any two conductors does not exceed the circuit breaker's voltage rating. A two-pole circuit breaker shall not be used for protecting a 3-phase, corner-grounded delta circuit unless the circuit breaker is marked 1f - 3f to indicate such suitability. 
(2) A circuit breaker with a slash rating, such as 120/240 V or 480Y/277 V, shall only be installed in a circuit where the nominal voltage of any conductor to ground does not exceed the lower of the two values of the circuit breaker's voltage rating and the nominal voltage between any two conductors does not exceed the higher value of the circuit breaker's voltage rating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 2390.42 to Section 2390.81 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, Nos. 45 and 6.
2. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2390.83. Circuit Breakers Used as Switches. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 2390.43 to Section 2390.83 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, Nos. 45 and 6.
2. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 11. Grounding
§2395.1. Scope.
Note     •     History

This Article covers general requirements for grounding and bonding of electrical installations, and specific requirements in Section 2395.1(a) through (g) below.
(a) Systems, circuits, and equipment required, permitted, or not permitted to be grounded.
(b) Circuit conductor to be grounded on grounded systems.
(c) Location of grounding connections.
(d) Types and sizes of grounding and bonding conductors and electrodes.
(e) Methods of grounding and bonding.
(f) Conditions under which guards, isolation, or insulation may be substituted for grounding.
(g) Connections for lightning rods.
Note: Circuits are grounded to limit excessive voltages from lightning line surges, or unintentional contact with higher voltage lines and to limit the voltage to ground during normal operation.
Note: Conductive materials enclosing electric conductors or equipment, or forming part of such equipment, are grounded for the purpose of preventing a voltage above ground on these materials.
(Title 24, Part 3, Sections 250-1 and 3-250-1(g).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37.)
§2395.3. Direct-Current Systems.
Note     •     History

Systems to be Grounded. Systems that supply premises wiring shall be grounded as follows:
(a) Two-Wire Direct Current Systems. Two-wire DC systems operating at over 50 volts through 300 volts between conductors shall be grounded. 

Exceptions: 1. A system equipped with a ground detector and supplying only industrial equipment in limited areas. 
2. A rectifier derived DC system supplied from a grounded AC system.
3. DC Fire Alarm Circuits having a maximum current of 0.030 amperes.
(b) Three-Wire Direct-Current Systems. The neutral conductor of all 3-wire DC systems shall be grounded. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.5. Alternating-Current Circuits and Systems to Be Grounded.
Note     •     History

AC circuits and systems supplying premises wiring shall be grounded as provided for in this Section.
(a) AC circuits of less than 50 volts shall be grounded under any of the following conditions:
(1) Where supplied by transformers if the transformer primary supply system exceeds 150 volts to ground.
(2) Where supplied by transformers if the transformer primary supply system is ungrounded.
(3) Where installed as overhead conductors outside of buildings.
(b) AC systems of 50 volts or more shall be grounded under any of the following conditions:
(1) Where the system can be so grounded that the maximum voltage to ground on the ungrounded conductors does not exceed 150 volts.
(2) Where the system voltage is rated 3-phase, 4-wire wye-connected in which the neutral is used as a circuit conductor.
(3) Where the system voltage is rated 3-phase, 4-wire delta-connected in which the midpoint of one phase is used as a circuit conductor.
(4) Where a service conductor is uninsulated. 

Exceptions: AC systems of 50 volts or more are not required to be grounded under any of the following conditions:

1: Electric systems used exclusively to supply industrial electric furnaces for melting, refining, tempering, and the like. 

2: Separately derived systems used exclusively for rectifiers supplying only adjustable speed industrial drives. 

3: Separately derived systems supplied by transformers that have a primary voltage rating less than 1000 volts provided that all of the following conditions are met: 

a. The system is used exclusively for control circuits.

b. The conditions of maintenance and supervision assure that only qualified persons will service the installation.

c. Continuity of control power is required.

d. Ground detectors are installed on the control system. 
4: Isolated power systems that supply circuits in health care facilities.

5. The system is a high-impedance grounded neutral system in which a grounding impedance, usually a resistor, limits the ground-fault current to a low value for 3-phase ac systems of 480 volts to 1000 volts provided all of the following conditions are met:

(a) The conditions of maintenance and supervision ensure that only qualified persons will service the installation;

(b) Continuity of power is required;

(c) Ground detectors are installed on the system; and

(d) Line-to-neutral loads are not served.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Change without regulatory effect amending subsection (c) filed 8-1-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 31).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.6. Portable and Vehicle-Mounted Generators.
Note     •     History

(a) The frame of a portable generator need not be grounded and may serve as the grounding electrode for a system supplied by the generator under the following conditions:
(1) The generator supplies only equipment mounted on the generator or cord- and plug-connected equipment through receptacles mounted on the generator, or both; and
(2) The noncurrent-carrying metal parts of equipment and the equipment grounding conductor terminals of the receptacles are bonded to the generator frame.
(b) The frame of a vehicle need not be grounded and may serve as the grounding electrode for a system supplied by a generator located on the vehicle under the following conditions:
(1) The frame of the generator is bonded to the vehicle frame, and
(2) The generator supplies only equipment located on the vehicle and cord- and plug-connected equipment through receptacles mounted on the vehicle, and
(3) The noncurrent-carrying metal parts of equipment and the equipment grounding conductor terminals of the receptacles are bonded to the generator frame, and
(4) The system complies with all other provisions of Article 11 of these Low-Voltage Electrical Safety Orders.
(c) A system conductor that is required to be grounded by the provisions of Section 2395.25 shall be bonded to the generator frame where the generator is a component of a separately derived system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of subsection (a)(4) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
5. Amendment of subsections (a)(2) and (b)(4) and repealer of subsections (a)(3) and (b)(5) filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§2395.7. Circuits Not to Be Grounded. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
4. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
LOCATION OF SYSTEM GROUNDING CONNECTIONS
§2395.21. Objectionable Current over Grounding Conductors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.23. Grounding Connections.
Note     •     History

(a) For a grounded system, a grounding electrode conductor shall be used to connect both the equipment grounding conductor and the grounded circuit conductor to the grounding electrode. Both the equipment grounding conductor and the grounding electrode conductor shall be connected to the grounded circuit conductor on the supply side of the service disconnecting means, or on the supply side of the system disconnecting means or overcurrent devices if the system is separately derived. 
(b) For an ungrounded service-supplied system, the equipment grounding conductor shall be connected to the grounding electrode conductor at the service equipment. For an ungrounded separately derived system, the equipment grounding conductor shall be connected to the grounding electrode conductor at, or ahead of, the system disconnecting means or overcurrent devices.
(c) On extensions of existing branch circuits that do not have an equipment grounding conductor, grounding-type receptacles may be grounded to a grounded cold water pipe near the equipment if the extension was installed before May 5, 2008. 
(1) When any element of this branch circuit is replaced, the entire branch circuit shall use an equipment grounding conductor that complies with all other provisions of Article 11.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Exception No. 3 and subsection (b), and new subsection (c) filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.25. Conductor to Be Grounded-- Alternating-Current Systems.
Note     •     History

For AC premises wiring systems the conductor required to be grounded by Section 2395.5 shall be as follows:
(a) One conductor of a single-phase, two-wire system shall be grounded;
(b) The neutral conductor of a single-phase, three-wire system shall be grounded;
(c) The common conductor of a multiphase system having one wire common to all phases shall be grounded;
(d) One phase conductor of a multiphase system where one phase is grounded shall be grounded; and
(e) The neutral conductor of a multiphase system in which one phase is used as a neutral conductor shall be grounded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.26. Grounding Separately Derived Alternating-Current Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
ENCLOSURE GROUNDING
§2395.32. Supports, Enclosures, and Equipment to be Grounded.
Note     •     History

(a) Metal cable trays, metal raceways, and metal enclosures for conductors shall be grounded, except that:
(1) Metal enclosures such as sleeves that are used to protect cable assemblies from physical damage need not be grounded; and
(2) Metal enclosures for conductors added to existing installations of open wire, knob-and-tube wiring, and nonmetallic-sheathed cable need not be grounded if all of the following conditions are met:
(A) Runs are less than 25.0 feet (7.62 meters);
(B) Enclosures are free from probable contact with ground, grounded metal, metal laths, or other conductive materials; and
(C) Enclosures are guarded against employee contact.
(b) Metal enclosures for service equipment shall be grounded.
(c) Frames of electric ranges, wall-mounted ovens, counter-mounted cooking units, clothes dryers, and metal outlet or junction boxes that are part of the circuit for these appliances shall be grounded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, repealer and new section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.33. Other Conductor Enclosures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
4. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
EQUIPMENT GROUNDING
§2395.42. Equipment Fastened in Place or Connected by Permanent Wiring Methods (Fixed).
Note     •     History

Exposed noncurrent-carrying metal parts of fixed equipment that may become energized shall be grounded under any of the following conditions: 
(a) Where within 8 feet vertically or 5 feet horizontally of ground or grounded metal objects and subject to contact by persons.
(b) Where located in a wet or damp location and not isolated.
(c) Where in electrical contact with metal.
(d) Where in a hazardous (classified) location as covered by Article 59.
(e) Where supplied by a metal-clad, metal-sheathed, or grounded metal-raceway wiring method. 
(f) Where equipment operates with any terminal at over 150 volts to ground.
(g) Grounding of equipment mounted on poles shall comply with the Rules of Overhead Electric Line Construction of the California Public Utilities Commission, General Order No. 95.

Exceptions: to Section 2395.42: Exposed noncurrent-carrying metal parts of the following types of fixed equipment need not be grounded:

1. Enclosures for switches or circuit breakers used for other than service equipment and accessible to qualified persons only;

2. Electrically heated appliances that are permanently and effectively insulated from ground;

3. Distribution apparatus, such as transformer and capacitor cases, mounted on wooden poles, at a height exceeding 8 feet (2.44 m) above ground or grade level; and

4. Listed equipment protected by a system of double insulation, or its equivalent, and distinctively marked as such.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Editorial correction filed 11-2-83 (Register 83, No. 45).
4. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
5. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.43. Equipment Fastened in Place or Connected by Permanent Wiring Methods (Fixed)--Specific. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.44. Nonelectrical Equipment.
Note     •     History

The metal parts of nonelectrical equipment described in (a) through (d) below shall be grounded.
(a) Frames and tracks of electrically operated cranes and hoists.
(b) Frames of nonelectrically driven elevator cars to which electric conductors are attached.
(c) Metal partitions, grill work, and similar metal enclosures around equipment. 
(d) Hand-operated metal shifting ropes or cables of electric elevators.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.45. Equipment Connected by Cord and Plug.
Note     •     History

(a) The exposed noncurrent-carrying metal parts of cord- and plug-connected equipment that may become energized shall be grounded under any of the following conditions:
(1) Utilization equipment used in hazardous (classified) locations (See Article 59). 
(2) Any electric equipment which is operated at over 150 volts to ground. 
(3) If the equipment is of the following types:
(A) Refrigerators, freezers, and air conditioners. 
(B) Clothes-washing, clothes-drying and dishwashing machines, sump pumps, and electrical aquarium equipment. 
(C) Hand-held motor-operated tools, stationary and fixed motor-operated tools, and light industrial motor-operated tools.
(D) Motor-operated tools and utilization equipment of the following types: drills, hedge clippers, lawn mowers, snow blowers, wet scrubbers, sanders and saws. 
(E) Cord- and plug-connected appliances used in damp or wet locations or by persons standing on the ground or on metal or exposed concrete floors or working inside of metal tanks or boilers. 
(F) Portable and mobile x-ray and associated equipment. 
(G) Portable hand lamps. 
(H) Tools likely to be used in wet and conductive locations.
EXCEPTIONS to 2395.45: The following equipment shall not be required to be grounded: 

(1) Listed portable tools or utilization equipment likely to be used in wet and conductive locations if supplied through an isolating transformer with an ungrounded secondary of not over 50 volts. 

(2) Listed or labeled portable tools and utilization equipment protected by an approved system of double insulation. Where such a system is employed, the equipment shall be distinctively marked.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Editorial correction filed 11-2-83 (Register 83, No. 45).
4. Amendment deleting Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
5. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
METHODS OF GROUNDING
§2395.50. Equipment Grounding Connections. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.51. Effective Grounding.
Note     •     History

(a) The path to ground from circuits, equipment, and conductor enclosures shall:
(1) be permanent and continuous, and
(2) have ample carrying capacity to conduct safely any currents liable to be imposed on it, and
(3) have impedance sufficiently low to limit the potential above ground and to facilitate the operation of the overcurrent devices in the circuit. 
(Title 24, Part 3, Section 250-51.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2395.54. Common Grounding Electrode.
Note     •     History

Where an AC system is connected to a grounding electrode in or at a building as specified in Section 2395.23, the same electrode shall be used to ground conductor enclosures and equipment in or on that building.
Note: Two or more electrodes that are effectively bonded together shall be considered as a single electrode in this sense.
(Title 24, Part 3, Section 250-54).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.57. Equipment Fastened in Place or Connected by Permanent Wiring Methods (Fixed)--Grounding.
Note     •     History

Noncurrent-carrying metal parts of fixed equipment, raceways, and other enclosures, where required to be grounded, shall be grounded by an equipment grounding conductor that is contained within the same raceway, cable, or cord, or runs with or encloses the circuit conductors. For dc circuits only, the equipment grounding conductor may be run separately from the circuit conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.58. Electric Equipment Considered Effectively Grounded.
Note     •     History

The following electric equipment, under the conditions specified in (a) and (b) below, shall be considered effectively grounded: 
(a) Electric equipment secured to, and in electrical contact with, a metal rack or structure that is provided for its support and the metal rack or structure is grounded by the method specified for the noncurrent-carrying metal parts of fixed equipment in Section 2395.57.
(1) For installations made before April 16, 1981, electric equipment is also considered to be effectively grounded if it is secured to, and in metallic contact with, the grounded structural metal frame of a building. The structural metal frame of a building shall not be used as the required AC equipment grounding conductor for installations made on or after April 16, 1981. 
(2) Effective with installations on or after April 16, 1981, when any element of this branch circuit is replaced, the entire branch circuit shall use an equipment grounding conductor that complies with all other provisions of Article 11 of these Safety Orders. 
(b) Metal Car Frames. Metal car frames supported by metal hoisting cables attached to or running over metal sheaves or drums of grounded elevator machines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of subsection (a) filed 2-25-93; operative 2-25-93 (Register 93, No. 9).
4. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2395.59. Cord- and Plug-Connected Equipment.
Note     •     History

Noncurrent-carrying metal parts of cord- and plug-connected equipment, where required to be grounded, shall be grounded by one of the methods indicated in (a), (b), or (c) below:
(a) By means of the metal enclosure of the conductors supplying such equipment if grounding-type attachment plug with one fixed grounding contact is used for grounding the metal enclosure, and if the metal enclosure of the conductors is secured to the attachment plug and to equipment by connectors approved for the purpose.
(b) By means of a grounding conductor run with the power supply conductors in a cable assembly or flexible cord properly terminated in grounding-type attachment plug with one fixed grounding contact. An uninsulated grounding conductor shall be permitted but, if individually covered, the covering shall have a continuous outer finish that is either green or green with one or more yellow stripes.
(c) By means of a separate flexible wire or strap, insulated or bare, protected as well as practicable against physical damage, where part of an approved portable equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.61. Use of Grounded Circuit Conductor for Grounding Equipment.
Note     •     History

(a) Supply-Side Equipment. A grounded circuit conductor shall be permitted to ground noncurrent-carrying metal parts of equipment on the supply side of the service disconnecting means, such as meter enclosures, service raceways, etc., and on the supply side of the main disconnecting means of separate buildings and of separately derived systems.
(Title 24, Part 3, Section 250-61(a).)
(b) Load-Side Equipment. A grounded circuit conductor shall not be used for grounding noncurrent-carrying metal parts of equipment on the load side of the service disconnecting means or on the load side of a separately derived system disconnecting means or the overcurrent devices for a separately derived system not having a main disconnecting means. 

Exception: It shall be permissible to ground meter enclosures by connection to the grounded circuit conductor on the load-side of the service disconnect if:
a. No service ground-fault protection is installed; and
b. All meter enclosures are located adjacent to the service disconnecting means.
(Title 24, Part 3, Section 250-61(b) without Exceptions 1 or 2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment of subsection (b) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
4. Change without regulatory effect amending subsection (a) filed 8-1-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 31).
BONDING
§2395.70. General.
Note     •     History

Bonding shall be provided where necessary to assure electrical continuity and the capacity to conduct safely any fault current likely to be imposed.
(Title 24, Part 3, Section 250-70.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.71. Bonding Service Equipment.
Note     •     History

The metal noncurrent-carrying parts of equipment indicated in (a), (b), and (c) below shall be effectively bonded together:
(a) Service raceways cable trays or service cable armor or sheath; 
(b) All service equipment enclosures containing service-entrance conductors, including meter fittings, boxes, or the like, interposed in the service raceway or armor;
(c) Any metallic raceway or armor enclosing a grounding electrode conductor. 
(Title 24, Part 3, Section 250-71(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.74. Connecting Receptacle Grounding Terminal to Box.
Note     •     History

An equipment bonding jumper shall be used to connect the grounding terminal of a grounding-type receptacle to a grounded box. 

Exception: No. 1: Where the box is surface-mounted, direct metal-to-metal contact between the device yoke and the box shall be permitted to ground the receptacle to the box. This Exception shall not apply to cover-mounted receptacles unless the box and cover combination are listed as providing satisfactory ground continuity between the box and the receptacle. 

Exception: No. 2: Contact devices or yokes designed and listed for the purpose shall be permitted in conjunction with the supporting screws to establish the grounding circuit between the device yoke and flush-type boxes. 

Exception: No. 3: Floor boxes designed for and listed as providing satisfactory ground continuity between the box and the device. 

Exception: No. 4: Where required for the reduction of electrical noise (electromagnetic interference) on the grounding circuit, a receptacle in which the grounding terminal is purposely insulated from the receptacle mounting means shall be permitted. The receptacle grounding terminal shall be grounded by an insulated equipment grounding conductor run with the circuit conductors. This grounding conductor shall be permitted to pass through one or more panelboards without connection to the panelboard grounding terminal so as to terminate directly at and equipment grounding conductor terminal of the applicable derived system or service.
(Title 24, Part 3, Section 250-74.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction to add Exception No. 4 which was erroneously deleted in Register 79, No. 12 (Register 79, No. 15).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.75. Bonding Other Enclosures.
Note     •     History

Metal raceways, cable trays, cable armor, cable sheath, enclosures, frames, fittings and other metal noncurrent-carrying parts that are to serve as grounding conductors, shall be effectively bonded.
(Title 24, Part 3, Section 250-75.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.78. Bonding in Hazardous Locations.
Note     •     History

Regardless of the voltage of the electrical system, the electrical continuity of metal noncurrent-carrying parts of equipment, raceways, and other enclosures in any hazardous location as defined in Article 59 of these Orders shall be assured by any of the methods specified for services that are approved for the wiring method used. 
(Title 24, Part 3, Section 250-78.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.79. Equipment Bonding Jumpers.
Note     •     History

(a) Material. Equipment bonding jumpers shall be of copper or other corrosion-resistant material.
(b) Attachment. Equipment bonding jumpers shall be attached in the manner specified by the applicable provisions of Section 2395.113 for circuits and equipment.
(c) Installation. The equipment bonding jumper shall be permitted to be installed inside or outside of a raceway or enclosure. Where installed on the outside, the length of the equipment bonding jumper shall not exceed six (6) feet and shall be routed with the raceway or enclosure.
(Title 24, Part 3, Section 250-79(a), (b) and (e).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
GROUNDING ELECTRODES
§2395.81. Water Pipe Electrode.
Note     •     History

Where available on the premises, a metal underground water pipe shall always be used as the grounding electrode, regardless of its length and whether supplied by a community or a local underground water piping system or by a well on the premises. Where the buried portion of the water pipe (including any metal well casing effectively bonded to the pipe) is less than 10 feet long or where the water pipe is or is likely to be isolated by insulated sections or joints so that the effectively grounded portion is less than 10 feet long, it shall be supplemented by the use of an additional electrode of a type specified by Section 2395.82 or Section 2395.83. The interior metal cold water piping system shall always be bonded to the service-equipment enclosure, the grounded conductor at the service, the grounding electrode conductor where of sufficient size, or to the one or more grounding electrodes used.
Note: Expanding use of nonmetallic piping for water systems and insulating couplings on metal water systems makes it more important that water piping within a building be adequately grounded without depending on connections to an outside piping system.
(Title 24, Part 3, Section 250-81(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.82. Other Available Electrodes.
Note     •     History

Where a water system as described in Section 2395.81 is not available, the grounding connection shall be made to any of the electrodes specified in (a) through (d) below, where available.
(a) The metal frame of the building, where effectively grounded.
(Title 24, Part 3, Section 250-81(b).)
(b) An electrode encased by at least 2 inches of concrete, located within and near the bottom of a concrete foundation or footing that is in direct contact with the earth, consisting of at least 20 feet of one or more steel reinforcing bars or rods of not less that 1/2-inch diameter, or consisting of at least 20 feet of bare copper conductor not smaller than No. 4 AWG.
(Title 24, Part 3, Section 250-81(c).)
(c) An electrically continuous metal underground gas piping system that is uninterrupted with insulating sections or joints and without an outer nonconductive coating, and then only if acceptable to and expressly permitted by both the serving gas supplier and the authority having jurisdiction.
(Title 24, Part 3, Section 250-83(a).)
(d) Other local metal underground systems or structures, such as piping systems and underground tanks. 
(Title 24, Part 3, Section 250-83(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.83. Made Electrodes.
Note     •     History

Where none of the electrodes specified in Sections 2395.81 and 2395.82 is available, one or more of the electrodes specified in (a) or (b) below shall be used. Where practicable, electrodes shall be embedded below permanent moisture level. Where more than one electrode is used (including those used for signaling or communication circuits, radio or television installations, or lightning rods), each electrode shall not be less than 6 feet from any other electrodes. All electrodes shall be free from nonconductive coatings, such as paint or enamel.
Note: Two or more electrodes that are effectively bonded together are to be treated as a single electrode in this sense.
(Title 24, Part 3, Section 250-83(a).)
(a) Rod and Pipe Electrodes. Rod and pipe electrodes shall not be less than 8 feet in length and shall consist of the following materials, and shall be installed in the following manner:
(1) Electrodes of pipe or conduit shall not be smaller than 3/4-inch trade size and, where of iron or steel, shall have the outer surface galvanized or otherwise metal-coated for corrosion protection.
(2) Electrodes of rods of steel or iron shall be at least 5/8-inch in diameter. Nonferrous rods or their equivalent shall be listed and shall be not less than 1/2-inch in diameter.
(3) The electrode shall be installed such that at least 8 feet of length is in contact with the soil. It shall be driven to a depth of not less than 8 feet except that where rock bottom is encountered, the electrode shall be driven at an oblique angle not to exceed 45 degrees from the vertical or shall be buried in a trench that is at least 2 1/2 feet deep. The upper end of the electrode shall be flush with or below ground level unless the aboveground end and the grounding electrode conductor attachment are protected against physical damage.
(Title 24, Part 3, Section 250-83(c).)
(b) Plate Electrodes. Each plate electrode shall expose not less than 2 square feet of surface to exterior soil. Electrodes of iron or steel plates shall be at least 1/4-inch in thickness. Electrodes of nonferrous metal shall be at least 0.06-inch in thickness. 
(Title 24, Part 3, Section 250-83(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.84. Resistance of Made Electrodes.
Note     •     History

A single electrode consisting of a rod, pipe, or plate which does not have a resistance to ground of 25 ohms or less shall be augmented by one additional electrode of any of the types specified in Sections 2395.82 or 2395.83.
(Title 24, Part 3, Section 250-84.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2395.86. Use of Lightning Rods.
Note     •     History

Lightning rod conductors and driven pipes, rods, or other made electrodes used for grounding lightning rods shall not be used in lieu of the made grounding electrodes required by Section 2395.83 for grounding wiring systems and equipment. This provision shall not prohibit the bonding together of grounding electrodes of different systems.
Note: Bonding together of all separate electrodes will limit potential differences between them and between their associated wiring systems.
(Title 24, Part 3, Section 250-86.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
GROUNDING CONDUCTORS
§2395.91. Material. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
§2395.95. Size of Equipment Grounding Conductors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
§2395.113. Connection Devices for Grounding Conductors.
Note     •     History

Connection devices or fittings that depend on solder shall not be used.
(Title 24, Part 3, Section 250-113.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2395.114. Continuity and Attachment of Branch-Circuit Equipment Grounding Conductors to Boxes.
Note     •     History

Where more than one equipment grounding conductor of a branch circuit enters a box, all such conductors shall be in good electrical contact with each other and the arrangement shall be such that the disconnection or removal of a receptacle, fixture, or other device fed from the box will not interfere with or interrupt the grounding continuity.
(a) Metal Boxes. A connection shall be made between the one or more equipment grounding conductors and a metal box by means of a grounding screw which shall be used for no other purpose, or an approved grounding device.
(b) Nonmetallic Boxes. One or more equipment grounding conductors brought into a nonmetallic outlet box shall be so arranged that a connection can be made to any fitting or device in that box requiring grounding.
(Title 24, Part 3, Section 250-114.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2395.115. Connection to Electrodes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
§2395.117. Protection of Attachment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former Section, see Register 75, No. 42.
§2395.118. Clean Surfaces. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12). For history of former section, see Register 75, No. 42.
Article 12. Wiring Methods, Components, and Equipment for General Use
§2400.1. Scope.
Note     •     History

The provisions of this Article do not apply to conductors that are an integral part of factory-assembled equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New article 12 (sections 2400.1-2400.2) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history of article 12, see Register 79, No. 32.
§2400.2. General Requirements.
Note     •     History

(a) Metal raceways, cable trays, cable armor, cable sheath, enclosures, frames, fittings, and other metal noncurrent-carrying parts that are to serve as grounding conductors, with or without the use of supplementary equipment grounding conductors, shall be effectively bonded where necessary to ensure electrical continuity and the capacity to conduct safely any fault current likely to be imposed on them. Any nonconductive paint, enamel, or similar coating shall be removed at threads, contact points, and contact surfaces or be connected by means of fittings designed so as to make such removal unnecessary.
(b) Where necessary for the reduction of electrical noise (electromagnetic interference) of the grounding circuit, an equipment enclosure supplied by a branch circuit may be isolated from a raceway containing circuits supplying only that equipment by one or more listed nonmetallic raceway fittings located at the point of attachment of the raceway to the equipment enclosure. The metal raceway shall be supplemented by an internal insulated equipment grounding conductor installed to ground the equipment enclosure.
(c) No wiring systems of any type may be installed in ducts used to transport dust, loose stock, or flammable vapors. No wiring system of any type may be installed in any duct used for vapor removal or for ventilation of commercial-type cooking equipment, or in any shaft containing only such ducts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history of article 12, see Register 79, No. 32.
Article 12. Wiring Methods
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 12 (Sections 2400.1-2400.21, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32). For prior history, see Registers 76, No. 31 and 76, No. 41.
Article 13. Temporary Wiring
§2405.1. Scope.
Note     •     History

Except as specifically modified in this Article, all other requirements of this Order for permanent wiring shall also apply to temporary wiring installations. 
(a) Temporary electrical power and lighting installations of 600 volts, nominal, or less may be used only as follows:
(1) During and for the period of construction, remodeling, maintenance, repairs, or demolition of buildings, structures, equipment or similar activities; or
(2) For a period not to exceed 90 days for work associated with non-permanent work locations, such as carnivals, music festivals, Christmas decorative lighting, Christmas tree lots, and similar purposes; or
(3) For the period of work associated with experimental or developmental work and during emergencies.
(b) Temporary wiring shall be removed immediately upon completion of the project or purpose for which the wiring was installed. 
(c) Temporary electrical installations of more than 600 volts shall be in accordance with the High-Voltage Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 13 (Sections 2405.1-2405.3) and new Article 13 (Sections 2405.1-2405.4) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2405.2. General Requirements for Temporary Wiring.
Note     •     History

(a) Feeders. The following requirements apply to feeders:
(1) Feeders shall originate in an approved distribution center.
(2) Conductors shall be run as multi-conductor cord or cable assemblies. However, if installed as permitted in Section 2405.1(a)(3), and if accessible only to qualified persons, feeders may be run as single insulated conductors. 
(b) Branch Circuits. The following requirements apply to branch circuits:
(1) Branch circuits shall originate in an approved power outlet or panelboard.
(2) Conductors shall be multiconductor cord or cable assemblies or open conductors. If run as open conductors, they shall be fastened at ceiling height every 10 feet (3.05 m).
(3) No branch-circuit conductor may be laid on the floor.
(4) Each branch circuit that supplies receptacles or fixed equipment shall contain a separate equipment grounding conductor if run as open conductors.
(c) Receptacles. Receptacles shall be of the grounding type. Unless installed in a continuous grounded metallic raceway or metallic covered cable, each branch circuit shall contain a separate equipment grounding conductor and all receptacles shall be electrically connected to the grounding conductor. 
(d) No bare conductors nor earth returns shall be used for the wiring of any temporary circuit. 
(e) Disconnecting means. Suitable disconnecting switches or plug connectors shall be installed to permit the disconnection of all ungrounded conductors of each temporary circuit. Multiwire branch circuits shall be provided with a means to disconnect simultaneously all ungrounded conductors at the power outlet or panelboard where the branch circuit originated.

NOTE for Section 2405.2(e): Circuit breakers with their handles connected by approved handle ties are considered a single disconnecting means for the purpose of this requirement.
(f) Lamps. 
All lamps for general illumination shall be protected from accidental contact or breakage by a suitable fixture or lampholder with a guard. Brass shell, paper-lined sockets, or other metal-cased sockets may not be used unless the shell is grounded.
(g) Physical Protection. Flexible cords and cables shall be protected from accidental damage. Sharp corners and projections shall be avoided. When passing through doorways or other pinch points, protection shall be provided to avoid damage.
(h) Multi-conductor cords and cables shall be hard service type or equivalent, with multi-conductor fittings.
(i) Cable assemblies and flexible cords and cables shall be supported in place at intervals that ensure that they will be protected from physical damage. Support shall be in the form of staples, cables ties, straps, or similar type fittings installed so as not to cause damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (b) filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36).
2. Amendment of subsection (c) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Amendment of subsections (a) and (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section heading and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2405.3. Temporary Poles.
Note

The minimum size of a temporary wood pole shall be 6 inches by 6 inches (nominal) if square, or have a top diameter of at least 5 inches if round, and be of sufficient length to maintain all required overhead clearances specified in Section 2375.18, but not less than 20 feet long. The lower end shall be embedded not less than 4 feet in the ground. A pole of a material other than wood, if of equivalent strength, may be used. 

Exception: For distribution poles in areas accessible to pedestrians only, a 4-inch x 4-inch (nominal) wood pole, or equivalent (embedded 4 feet in the ground), shall be permitted, provided that a minimum overhead conductor clearance of 10 feet is maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2405.4. Ground-Fault Circuit Protection-Construction Site.
Note     •     History

(a) General. For purposes of this Section, a construction site is a place of employment where erection, demolition, alteration or excavation is being performed on a building, structure or underground facility, other than mining.
(b) Construction Sites. To protect employees on construction sites, the employer shall use either or both ground-fault circuit interrupters as specified in Subsection (c) of this Section or an assured equipment grounding conductor program as specified in Subsection (d) of this Section. These requirements are in addition to any other requirements for equipment grounding conductors. 
(c) Ground-Fault Circuit Interrupters. All 120-volt, AC, single-phase, 15- and 20-ampere receptacle outlets on construction sites, which are not a part of the permanent wiring of the building or structure and which are in use by employees, shall have approved ground-fault circuit interrupters for personnel protection. Receptacles on a two-wire, single phase portable or vehicle-mounted generator rated not more than 5 KW, where the circuit conductors of the generator are insulated from the generator frame and all their grounded surfaces, need not be protected with ground-fault circuit interrupters.
Feeders supplying 15- and 20-ampere receptacle branch circuits shall be permitted to be protected by a ground-fault circuit interrupter approved for the purpose in lieu of the above provisions.
(d) Assured Equipment Grounding Conductor Program. The employer shall establish and implement an assured equipment grounding conductor program on construction sites covering all cord sets, receptacles which are not a part of the permanent wiring of the building or structure and equipment connected by cord and plug, which are available for use or used by employees. This program shall comply with the following minimum requirements:
(1) A written description of the program, including the specific procedures adopted by the employer shall be available at the job site for inspection and copying by the Division of Occupational Safety and Health and any affected employee.
(2) The employer shall designate one or more qualified persons as defined in Section 2300 to implement the program.
(3) Each cord set, attachment cap, plug and receptacle of cord sets, and any equipment connected by cord and plug including these which are not required to be grounded, except cord sets and receptacles which are fixed and not exposed to damage, shall be visually inspected before each day's use for external defects, such as, deformed or missing pins or insulation damage, and for indication of possible internal damage. Equipment found damaged or defective shall not be used until repaired.
(4) The following tests shall be performed on all cord sets and receptacles which are not a part of the permanent wiring of the building or structure, and cord- and plug-connected equipment required to be grounded:

Note: Double-insulated tools or other similar equipment are not required to be grounded. See Section 2395.45 Exception 2.
(A) All equipment grounding conductors shall be tested for continuity and shall be electrically continuous.
(B) Each receptacle and attachment cap or plug shall be tested for correct attachment of the equipment grounding conductor. The equipment grounding conductor shall be connected to its proper terminal.
(5) All tests required in Subsection (d)(4) shall be performed:
(A) Before first use for newly acquired equipment;
(B) Before equipment is returned to service following any repairs; 
(C) Before equipment is used after any incident which can be reasonably suspected to have caused damage (for example, when a cord set is run over); and
(D) At intervals not to exceed three (3) months, except that cord sets and receptacles which are fixed and not exposed to damage shall be tested at intervals not exceeding 6 months.
(6) The employer shall not make available or permit the use by employees of any equipment which has not met the requirements of Subsection (d) of this Section.
(7) Receptacles, cord sets and cord- and plug-connected equipment passing the tests required in Subsection (d) shall be identified. Identification may be made by means of logs, color coding or other effective means, shall be maintained until replaced by a more current identification, and shall indicate the last test date or the interval for which the tests were performed. These dates or intervals shall be readily available to the Division of Occupational Safety and Health and affected employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
2. Amendment of subsection (d)(5)(D) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6). 
3. Amendment of subsections (a), (d) and (d)(4) filed 4-6-2010; operative 5-6-2010 (Register 2010, No. 15).
Article 14. Conductors for General Wiring [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 14 (Sections 2410.1-2410.15, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
Article 15. Cable Trays
§2418.2. Wiring Methods.
Note     •     History

Only the following wiring methods may be installed in cable tray systems: armored cable; electrical metallic tubing; electrical nonmetallic tubing; fire alarm cables; flexible metal conduit; flexible metallic tubing; instrumentation tray cable; intermediate metal conduit; liquidtight flexible metal conduit; liquidtight flexible nonmetallic conduit; metal-clad cable; mineral-insulated, metal-sheathed cable; multiconductor service-entrance cable; multiconductor underground feeder and branch-circuit cable; multipurpose and communications cables; nonmetallic-sheathed cable; power and control tray cable; power-limited tray cable; optical fiber cables; and other factory-assembled, multiconductor control, signal, or power cables that are specifically approved for installation in cable trays, rigid metal conduit, and rigid nonmetallic conduit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New article 15 (sections 2418.2-2418.6) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19). For prior history of article 15, see Register 86, No. 37.
§2418.3. Industrial Establishments.
Note     •     History

In industrial establishments where conditions of maintenance and supervision assure that only qualified persons will service the installed cable tray system, the following cables may also be installed in ladder, ventilated-trough, or ventilated-channel cable trays:
(a) Single conductor cable.
(1) Single conductor cable shall be No. 1/0 or larger and shall be of a type listed and marked on the surface for use in cable trays; where Nos. 1/0 through 4/0 single conductor cables are installed in ladder cable tray, the maximum allowable rung spacing for the ladder cable tray shall be 9 in. (229 mm); where exposed to direct rays of the sun, cables shall be identified as being sunlight resistant;
(2) Welding cables installed in dedicated cable trays;
(3) Single conductors used as equipment grounding conductors; these conductors, which may be insulated, covered, or bare, shall be No. 4 or larger; and
(b) Multiconductor cable, Type MV; where exposed to direct rays of the sun, the cable shall be identified as being sunlight resistant.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2418.4. Equipment Grounding Conductors.
Note     •     History

Metallic cable trays may be used as equipment grounding conductors only where continuous maintenance and supervision ensure that qualified persons will service the installed cable tray system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2418.5. Hazardous (Classified) Locations.
Note     •     History

Cable trays in hazardous (classified) locations may contain only the cable types permitted in such locations. (See Article 59.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2418.6. Uses Not Permitted.
Note     •     History

Cable tray systems may not be used in hoistways or where subjected to severe physical damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 16. Open Wiring on Insulators
§2420.3. Exposed Wiring, Uses Permitted.
Note     •     History

(a) Scope. Open exposed wiring shall not be installed in any building or portion of a building except:
(1) In substations, transformer vaults, transformer enclosures, on the supply side of electric furnace electrodes, or in tunnels or similar locations, where such spaces are restricted to electrical use and are accessible to qualified and authorized persons only. 
(2) For insulated conductors as permitted in Article 13; Temporary Wiring.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 2420.17 to Section 2420.3 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, No. 45 and 81, No. 41.
2. Amendment of article heading, section heading, subsection (a)(1) and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2420.4. Conductor Supports.
Note     •     History

(a) Conductors smaller than No. 8 shall be rigidly supported on noncombustible, nonabsorbent insulating materials and may not contact any other objects. Supports shall be installed as follows:
(1) Within 6 in. (152 mm) from a tap or splice;
(2) Within 12 in. (305 mm) of a dead-end connection to a lampholder or receptacle; and
(3) At intervals not exceeding 4.5 ft. (1.37 m), and at closer intervals sufficient to provide adequate support where likely to be disturbed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2420.5. Flexible Nonmetallic Tubing.
Note     •     History

In dry locations, where not exposed to severe physical damage, conductors may be separately enclosed in flexible nonmetallic tubing. The tubing shall be in continuous lengths not exceeding 15 feet (4.57 m) and secured to the surface by straps at intervals not exceeding 4.5 feet (1.37 m).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2420.6. Penetrations of Walls, Floors, Wood Cross Members, etc.
Note     •     History

Open conductors shall be separated from contact with walls, floors, wood cross members, or partitions through which they pass by tubes or bushings of noncombustible, nonabsorbent insulating material. If the bushing is shorter than the hole, a waterproof sleeve of nonconductive material shall be inserted in the hole and an insulating bushing slipped into the sleeve at each end in such a manner as to keep the conductors absolutely out of contact with the sleeve. Each conductor shall be carried through a separate tube or sleeve.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2420.7. Protection from Physical Damage.
Note     •     History

Where open conductors cross ceiling joints or wall studs and are exposed to physical damage (for example, located within 7 feet (2.13 m) of the floor), they shall be protected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2420.17. Exposed Wiring. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of Section 2420.17 to Section 2420.3 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Registers 83, No. 45 and 81, No. 41.
Article 17. Concealed Knob-and-Tube Wiring [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 17 (Sections 2424.1-2424.6, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 18. Mineral-Insulated Metal-Sheathed Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 18 (Sections 2430.1-2430.4, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 19. Aluminum-Sheathed Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 19 (Sections 2431.1-2431.10, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 20. Copper-Sheathed Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 20 (Sections 2432.1-2432.10, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 21. Metal-Clad Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 21 (Sections 2434.1-2434.6, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 22. Nonmetallic-Sheathed Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 22 (Sections 2436.1-2436.3) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 23. Shielded Nonmetallic-Sheathed Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 23 (Sections 2437.1-2437.4, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 24. Service-Entrance Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 24 (Sections 2438.1-2438.3) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 25. Underground Feeder and Branch Circuit Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 25 (Sections 2439.1 and 2439.3) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 26. Power and Control Tray Cable [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 26 (Sections 2440.1-2440.5, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 27. Nonmetallic Extensions [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 27 (Sections 2442.1-2442.6, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 28. Underplaster Extensions [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 28 (Sections 2444.1 and 2444.2) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 29. Intermediate Metal Conduit [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 29 (Sections 2445.1-2445.4, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 30. Rigid Metal Conduit [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 30 (Section 2446.1) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 31. Rigid Nonmetallic Conduit [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 31 (Sections 2447.2 and 2447.3) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 32. Electrical Metallic Tubing [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 32 (Section 2448.1) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 33. Flexible Metal Conduit [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 33 (Sections 2450.2 and 2450.5) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 34. Liquidtight Flexible Metal Conduit [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 34 (Sections 2451.1-2451.7 not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 35. Surface Raceways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 35 (Sections 2452.1-2452.27, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 36. Multi-Outlet Assembly [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 36 (Sections 2453.2 and 2453.3) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 37. Underfloor Raceways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 37 (Sections 2454.2-2454.7 not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 38. Cellular Metal Floor Raceways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 38 (Sections 2456.1-2456.7, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 39. Cellular Concrete Floor Raceways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 39 (Sections 2458.1 and 2458.2) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 40. Wireways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 40 (Sections 2462.1 and 2462.2) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 41. Flat Cable Assemblies [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 41 (Sections 2463.1-2463.4, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 42. Busways [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 42 (Sections 2464.2-2464.11, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 43. Cablebus [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 43 (Sections 2465.1 and 2465.2) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 44. Electrical Floor Assemblies [Repealed]
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 44 (Sections 2466.1-2466.5, not consecutive) filed 8-17-81; effective thirtieth day thereafter (Register 81, No. 34).
Article 45. Cabinets, Boxes, and Fittings
§2473.1. Conductors Entering Boxes, Cabinets, or Fittings.
Note     •     History

(a) Conductors entering cutout boxes, cabinets, or fittings shall be protected from abrasion, and openings through which conductors enter shall be effectively closed.
(b) Unused openings in cabinets, boxes, and fittings shall be effectively closed.
(c) Where cable is used, each cable shall be secured to the cabinet, cutout box, or meter socket enclosure. However, where cable with an entirely nonmetallic sheath enters the top of a surface-mounted enclosure through one or more nonflexible raceways not less than 18 in. (457 mm) or more than 10 feet (3.05 m) in length, the cable need not be secured to the cabinet, box, or enclosure provided all of the following conditions are met:
(1) Each cable is fastened within 12 in. (305 mm) of the outer end of the raceway, measured along the sheath;
(2) The raceway extends directly above the enclosure and does not penetrate a structural ceiling;
(3) A fitting is provided on each end of the raceway to protect the cable from abrasion, and the fittings remain accessible after installation;
(4) The raceway is sealed or plugged at the outer end using approved means so as to prevent access to the enclosure through the raceway;
(5) The cable sheath is continuous through the raceway and extends into the enclosure not less than 0.25 in. (6.35 mm) beyond the fitting;
(6) The raceway is fastened at its outer end and at other points as necessary; and
(7) Where installed as conduit or tubing, the allowable cable fill does not exceed that permitted for complete conduit or tubing systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and new section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2473.2. Covers and Canopies.
Note     •     History

(a) All pull boxes, junction boxes, and fittings shall be provided with covers identified for the purpose. If metal covers are used, they shall be grounded. In completed installations, each outlet box shall have a cover, faceplate, or fixture canopy. Covers of outlet boxes having holes through which flexible cord pendants pass shall be provided with bushings designed for the purpose or shall have smooth, well-rounded surfaces on which the cords may bear.
(b) Where a fixture canopy or pan is used, any combustible wall or ceiling finish exposed between the edge of the canopy or pan and the outlet box shall be covered with noncombustible material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2473.7. Space in Enclosures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2473.8. Enclosures for Switches or Overcurrent Devices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealed filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
Article 46. Auxiliary Gutters [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 46 (Sections 2474.1-2474.7, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
Article 47. Switches [Repealed]
§2480.1. Enclosures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of Section 2480.1 to Section 2480.3 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Register 83, No. 45.
§2480.3. Enclosures.
Note     •     History

Switches shall comply with the following: All manually operated switches shall be of an approved externally operable type enclosed in boxes or cabinets, except where other types are specifically permitted by these orders. Switches are not required to be of the externally operable type when operating at 50 volts or less; as for example, in some electric furnace and electrolytic installations. In such cases the switches shall be protected by suitable guards or enclosures if they are exposed to danger of short circuiting or accidental contact.
(Title 24, Part 3, Section 380-3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2480.1 to Section 2480.3 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Register 83, No. 45.
§2480.5. Single-Throw Knife Switches.
Note     •     History

Single-throw knife switches shall be so placed that gravity will not tend to close them. Single-throw knife switches approved for use in the inverted position shall be provided with a locking device that will ensure that the blades remain in the open position when so set.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2480.6. Double-Throw Knife Switches.
Note     •     History

Double-throw knife switches shall be permitted to be mounted so that the throw will be either vertical or horizontal. However, where the throw is vertical, a locking device shall be provided that will insure the blades remaining in the open position when so set.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2480.7. Connection of Switches.
Note     •     History

(a) Single-throw knife switches and switches with butt contacts shall be so connected that the blades are deenergized when the switch is in the open position.
(b) For installations built on or after May 5, 2008 single-throw knife switches, molded-case switches, switches with butt contacts, and circuit breakers used as switches shall be connected so that the terminals supplying the load are deenergized when the switch is in the open position. 

Exception: Blades and terminals supplying the load of a switch may be energized when the switch is in the open position where the switch is connected to circuits or equipment inherently capable of providing a backfeed source of power. For such installations, a permanent sign shall be installed on the switch enclosure or immediately adjacent to open switches that read, “WARNING--LOAD SIDE TERMINALS MAY BE ENERGIZED BY BACKFEED.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2480.8. Accessibility and Grouping. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Repealer of section and amendment of NOTE filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2480.9. Snap Switches.
Note     •     History

(a) Faceplates for flush-mounted snap switches. Snap switches mounted in boxes shall have faceplates installed so as to completely cover the opening and seat against the finished surface.
(b) Grounding. For installations built on or after May 5, 2008 snap switches, including dimmer switches, shall be effectively grounded and shall provide a means to ground metal faceplates, whether or not a metal faceplate is installed. However, if no grounding means exists within the snap-switch enclosure, or where the wiring method does not include or provide an equipment ground, a snap switch without a grounding connection is permitted for replacement purposes only. Such snap switches shall be provided with a faceplate of nonconducting, noncombustible material if they are located within reach of conducting floors or other conducting surfaces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2480.18. Capacity. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2480.19. Signs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 48. Switchboards and Panelboards
§2484.3. Support and Arrangement of Busbars and Conductors.
Note     •     History

Conductors and busbars on a switchboard, panelboard, or control board shall be so located as to be free from physical damage and shall be held firmly in place.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2484.5. Switchboards with Exposed Live Parts.
Note     •     History

Switchboards that have any exposed live parts shall be located in permanently dry locations and shall be accessible only to qualified persons.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2484.6. Panelboard Enclosures.
Note     •     History

Panelboards shall be mounted in cabinets, cutout boxes, or enclosures designed for the purpose and shall be dead front. However, panelboards other than the dead front externally-operable type are permitted where accessible only to qualified persons.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2484.19. Relative Arrangement of Switches and Fuses.
Note     •     History

In panelboards, fuses of any type shall be installed on the load side of any switches. 
(Title 24, Part 3, Section 384-19.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-3-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2484.24. Knife Switches Mounted in Switchboards or Panelboards.
Note     •     History

Exposed blades of knife switches mounted in switchboards or panelboards shall be dead when open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-3-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 48.1. Enclosures for Damp or Wet Locations
§2485.1. Cabinets, Cutout Boxes, Fittings, Boxes, and Panelboard Enclosures.
Note     •     History

(a) Cabinets, cutout boxes, fittings, boxes, and panelboard enclosures in damp or wet locations shall be installed so as to prevent moisture or water from entering and accumulating within the enclosures and shall be mounted so there is at least 0.25 in. (6.35 mm) airspace between the enclosure and the wall or other supporting surface. 

Exception: Nonmetallic enclosures may be installed without the airspace on a concrete, masonry, tile, or similar surface. 
(b) Enclosures shall be weatherproof in wet locations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 48.1 (sections 2485.1-2485.2) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2485.2. Switches, Circuit Breakers, and Switchboards.
Note     •     History

Switches, circuit breakers, and switchboards installed in wet locations shall be enclosed in weatherproof enclosures. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 49. Flexible Cords and Cables
§2500.7. Uses Permitted.
Note     •     History

(a) Flexible cords and cables shall be approved for conditions of use and location.
(b) Flexible cords and cables shall be used only for: 
(1) pendants; 
(2) wiring of fixtures; 
(3) connection of portable lamps or appliances;
(4) portable and mobile signs; 
(5) elevator cables;
(6) wiring of cranes and hoists; 
(7) connection of stationary equipment to facilitate their frequent interchange; 
(8) prevention of the transmission of noise or vibration; 
(9) appliances where the fastening means and mechanical connections are designed to permit removal for maintenance and repair; 
(10) data processing cables as a part of the data processing system;
(11) connection of moving parts; and
(12) temporary wiring as permitted in Article 13 of these Low-Voltage Electrical Safety Orders.
(c) Where used as permitted in subsections (b)(3), (b)(7), and (b)(9) above, each flexible cord shall be equipped with an attachment plug and shall be energized from an approved receptacle outlet. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (b) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
4. Change without regulatory effect designating former duplicate subsection (b) as subsection (c) filed 7-18-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 29).
5. Change without regulatory effect amending subsection (c) filed 1-15-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 3).
§2500.8. Uses Not Permitted.
Note     •     History

(a) Unless specifically permitted otherwise in Section 2500.7, flexible cords and cables shall not be used: 
(1) as a substitute for the fixed wiring of a structure; 
(2) where run through holes in walls, ceilings, or floors; 
(3) where run through doorways, windows or similar openings; 
(4) where attached to building surfaces; 
(5) where concealed behind building walls, ceilings, or floors; or
(6) Where installed in raceways, except as otherwise permitted in these Electrical Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2500.9. Splices.
Note     •     History

(a) Flexible cords shall be used only in continuous lengths without splice or tap. Hard service flexible cords No. 12 or larger shall be permitted to be repaired if spliced so that the splice retains the insulation, outer sheath properties, and usage characteristics of the cord being spliced.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2500.10. Pull at Joints and Terminals.
Note     •     History

(a) Flexible cords and cables shall be connected to devices and fittings so that strain relief is provided which will prevent pull from being directly transmitted to joints or terminal screws.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2500.11. In Show Windows and Show Cases.
Note     •     History

Flexible cords used in show windows and show cases shall be Type S, SE, SEO, SEOO, SO, SJ, SJE, SJEO, SJEOO, SJO, SJOO, SJT, SJTO, SJTOO, SO, SOO, ST, STO, or STOO, 

Exception: No. 1: For the wiring of chain-supported lighting fixtures. 

Exception: No. 2: As supply cords for portable lamps and other merchandise being displayed or exhibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2500.13. Overcurrent Protection.
Note     •     History

Flexible cords not smaller than No. 18, and tinsel cords or cords having equivalent characteristics of smaller size approved for use with specific appliances, shall be considered as protected against overcurrent by the overcurrent devices described in Section 2390.1. 
(Title 24, Part 3, Section 400-13.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2500.23. Conductor Identification.
Note     •     History

(a) A conductor of a flexible cord or cable that is used as a grounded conductor or an equipment grounding conductor shall have a continuous identifying marker readily distinguishing it from the other conductor or conductors. 
(1) Conductors having a continuous green color or a continuous green color with one or more yellow stripes shall not be used for other than grounding purposes. The identifying marker shall consist of one of the methods in (A) or (B) below: 
(A) Colored Braid. A braid finished to show a continuous green color or a continuous green color with one or more yellow stripes. 
(B) Colored Insulation or Covering. For cords having no braids on the individual conductors, an insulation of a continuous green color or a continuous green color with one or more yellow stripes.
(b) Types S, SC, SCE, SCT, SE, SEO, SEOO, SJ, SJE, SJEO, SJEOO, SJO, SJT, SJTO, SJTOO, SO, SOO, ST, STO, and STOO flexible cords and Types G, G-GC, PPE, and W flexible cables shall be durably marked on the surface at intervals not exceeding 24 in. (610 mm) with the type designation, size, and number of conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2500.25. Maintenance of Outer Sheath.
Note     •     History

Flexible cords shall be repaired or replaced if the outer sheath is damaged such that any conductor insulation or conductor is exposed. Repair of the outer sheath shall only be permitted if the conductors are not damaged and the completed repair retains the insulation, outer sheath properties, and usage characteristics of the cord being repaired.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-28-2000; operative 2-27-2000 (Register 2000, No. 4).  
Article 50. Fixture Wires
§2505.1. Scope. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2505.2. General.
Note     •     History

Fixture wires shall be approved for the voltage, temperature, and location of use. A fixture wire which is used as a grounded conductor shall be identified.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2505.10. Uses Permitted.
Note     •     History

Fixture wires shall be permitted only for: 
(1) installation in lighting fixtures and in similar equipment where enclosed or protected and not subject to bending or twisting in use; or 
(2) connecting lighting fixtures to the branch-circuit conductors supplying the fixtures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2505.11. Uses Not Permitted.
Note     •     History

Fixture wires shall not be used as branch-circuit conductors. 

Exception: As permitted for Class 1 power limited circuits and for fire alarm circuits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No.37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2505.12. Overcurrent Protection.
Note     •     History

Overcurrent protection for fixture wires shall be as specified in Section 2390.1. 
(Title 24, Part 3, Section 402-12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 51. Lighting Fixtures, Lampholders, Lamps and Receptacles
§2510.1. Maximum Voltage.
Note     •     History

Voltage to Ground. Lampholders, fixtures, or standard receptacles rated 15 amperes or less shall not be supplied by voltages exceeding 150 volts to ground. 

Exception: No. 1: Supply voltages between 150 and 300 volts to ground shall be permitted provided all of the following conditions are met: a. Only qualified persons will service the lighting fixtures;
b. The lighting fixtures are approved for the supply voltage;
c. The fixtures, other than permanently installed electric discharge-type, are mounted not less than 8 feet above the floor. Where conditions do not permit 8 feet, the light fixture shall be permitted at the available height provided the fixtures are suitably guarded; and
d. Integral lighting switches, if used, shall not be readily accessible. 

Exception: No. 2: The supply voltage may exceed 300 volts for permanently installed fixtures at a height of 18 feet or more.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 51 (Sections 2510.3-2510.81, not consecutive) and new Article 51 (Sections 2510.1-2510.58, not consecutive) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32). For prior history, see Register 78, No. 5.
2. Amendment of Exception No. 1 filed 9-7-79; effective thirtieth day thereafter (Register 79, No. 36).
3. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2510.2. Receptacles. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2510.3. Location of Lamps.
Note

Lamps for lighting shall be safely accessible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2510.4. Live Parts.
Note     •     History

Fixtures, lampholders, lamps, rosettes, and receptacles shall have no live parts normally exposed to contact. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.5. Wet and Damp Locations.
Note     •     History

Fixtures installed in wet or damp locations shall be approved for the purpose and shall be so constructed or installed that water cannot enter or accumulate in wireways, lampholders, or other electrical parts.
(a) A receptacle installed in a wet or damp location shall be suitable for the location.
(b) A receptacle installed outdoors in a location protected from the weather or in other damp locations shall have an enclosure for the receptacle that is weatherproof when the receptacle is covered (attachment plug cap not inserted and receptacle covers closed).

NOTE: A receptacle is considered to be in a location protected from the weather when it is located under roofed open porches, canopies, marquees, or the like and where it will not be subjected to a beating rain or water runoff.
(c) A receptacle installed in a wet location where the product intended to be plugged into it is not attended while in use (for example, sprinkler system controllers, landscape lighting, and holiday lights) shall have an enclosure that is weatherproof with the attachment plug cap inserted or removed.
(d) A receptacle installed in a wet location where the product intended to be plugged into it will be attended while in use (for example, portable tools) shall have an enclosure that is weatherproof when the attachment plug cap is removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.6. Portable Handlamps.
Note     •     History

Handlamps of the portable type supplied through flexible cords shall be equipped with a handle of molded composition or other material approved for the purpose, and a substantial guard shall be attached to the lampholder or the handle. Metal shell, paper-lined lampholders shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.7. Receptacles.
Note     •     History

(a) Grounding Type.
Receptacles shall be of the grounding type as prescribed in Article 6.
(b) Skirted Plugs. 
Attachment plugs or other connectors supplying equipment at more than 300 volts shall be of the skirted type. 

Exception: Plugs or connectors so designed that the arc will be confined within the body or case of the device shall be acceptable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.8.  
Note     •     History

Lampholders of the screw-shell type shall be installed for use as lampholders only. Where supplied by a circuit having a grounded conductor, the grounded conductor shall be connected to the screw shell. Lampholders installed in wet or damp locations shall be of the weatherproof type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.56. Receptacles, Cord Connectors and Attachment Plugs (Caps).
Note     •     History

(a) Attachment Plugs. All new or replacement 15- and 20-ampere attachment plugs and connectors shall be constructed so that there are no exposed current-carrying parts except the prongs, blades or pins. The cover for wire terminations shall be a part that is essential for the operation of an attachment plug or connector (dead-front construction). Attachment plugs shall be installed so that their prongs, blades, or pins are not energized unless inserted into an energized receptacle. No receptacles may be installed so as to require an energized attachment plug as its source of supply.
(b) Non-interchangeability. Receptacles, cord connectors and attachment plugs shall be constructed so that the receptacle or cord connectors will not accept an attachment plug with a different voltage or current rating than that for which the device is intended. 

Exception: A 20-ampere T-slot receptacle or cord connector shall be permitted to accept a 15-ampere attachment plug of the same voltage rating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of Section heading filed 11-3-83 (Register 83, o. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37.)
4. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2510.58. Non-Grounding-Type Receptacles, Adapters, Cord Connectors, and Attachment Plugs.
Note     •     History

(a) Nongrounding-type receptacles and connectors shall not be used for grounding-type attachment plugs.
(b) Adapters. Two-pole to three-pole adapters shall not be used. Adapters permitting change to different rated (amperes or volts) configurations shall not be used. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsections (b) and (d) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 52. Appliances
GENERAL
§2522.2. Energized Parts.
Note     •     History

(a) Appliances shall have no live parts normally exposed to contact. 

Exception: Toasters, grills, or other appliances in which the current-carrying parts at high temperatures are necessarily exposed. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
INSTALLATION OF APPLIANCES
§2522.7. General.
Note     •     History

All appliances shall be installed in an approved manner. 
(Title 24, Part 3, Section 422-7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.8. Flexible Cords. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2522.9. Portable Immersion Heaters.
Note     •     History

Electric heaters of the portable immersion type shall be so constructed and installed that current-carrying parts are effectively insulated from electrical contact with the substance in which they are immersed. The authority having jurisdiction may make exceptions for special applications of apparatus if suitable precautions are taken.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.10. Protection of Combustible Material.
Note     •     History

Each electrically heated appliance that is intended by size, weight, and service to be located in a fixed position shall be so placed as to provide ample protection between the appliance and adjacent combustible material. 
(Title 24, Part 3, Section 422-10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.11. Stands for Portable Appliances.
Note     •     History

Each smoothing iron and other portable electrically heated appliance intended to be applied to combustible material shall be equipped with an approved stand, which shall be permitted to be a separate piece of equipment or a part of the appliance.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.12. Signals for Heated Appliances.
Note     •     History

Electrically heated appliance or group of appliances intended to be applied to combustible material shall be provided with a signal. 

Exception: If an appliance is provided with an integral temperature-limiting device.
(Title 24, Part 3, Section 422-12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.15. Infrared Lamp Industrial Heating Appliances.
Note     •     History

(a) Infrared heating lamps rated at 300 watts or less shall be permitted with lampholders of the medium-base, unswitched porcelain type or other types approved for the purpose.
(b) Screw shell lampholders shall not be used with infrared lamps over 300 watts rating. 

Exception: Lampholders approved for the purpose.
(c) Lampholders shall be permitted to be connected to any of the branch circuits supplying lighting and/or appliance loads and, in industrial occupancies, shall be permitted to be operated in series on circuits of over 150 volts to ground provided the voltage rating of the lampholders is not less than the circuit voltage.
Each section, panel, or strip carrying a number of infrared lampholders (including the internal wiring of such section, panel, or strip) shall be considered an appliance. The terminal connection block of each such assembly shall be considered an individual outlet.
(Title 24, Part 3, Section 422-15.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.17. Wall-Mounted Ovens and Counter-Mounted Cooking Units.
Note     •     History

(a) Wall-mounted ovens and counter-mounted cooking units complete with provisions for mounting and for making electrical connections shall be considered as fixed appliances.
(b) A separable connector or a plug and receptacle combination in the supply line to an oven or cooking unit used only for ease in servicing or for installation shall:
(1) Not be installed as the disconnecting means.
(2) Be approved for the temperature of the space in which it is located.
(Title 24, Part 3, Section 422-17.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
CONTROL AND PROTECTION OF APPLIANCES
§2522.20. Disconnecting Means.
Note     •     History

Each appliance shall have a means to disconnect it from all ungrounded conductors. If an appliance is supplied by more than one source, the disconnecting means shall be grouped and identified.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2522.21. Disconnection of Fixed Appliances.
Note     •     History

(a) For fixed appliances rated at not over 300 volt amperes or 1/8 hp., the branch circuit overcurrent device shall be permitted to serve as the disconnecting means.
(b) For fixed appliances of greater rating the branch circuit switch or circuit breaker shall be permitted to serve as the disconnecting means where readily accessible to the user of the appliance.
(Title 24, Part 3, Section 422-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (b) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.22. Disconnection of Portable Appliances.
Note     •     History

(a) For portable appliances, a separable connector or an attachment plug and receptacle shall be permitted to serve as the disconnecting means.
(b) The rating of a receptacle or of a separable connector shall not be less than the rating of any appliance connected thereto. 

Exception: Demand factors authorized elsewhere in these Orders shall be permitted to be applied.
(c) Attachment plugs and connectors shall conform to the following:
(1) Energized Parts. They shall be so constructed and installed as to guard against inadvertent contact with energized parts.
(2) Interrupting Capacity. They shall be capable of interrupting their rated current without hazard to the operator.
(3) Interchange ability. They shall be so designed that they will not fit into receptacles of lesser rating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.23. Disconnection of Stationary Appliances.
Note     •     History

(a) For stationary appliances rated at not over 300 volt amperes or 1/8 horsepower, the branch circuit overcurrent device shall be permitted to serve as the disconnecting means. 
(Title 24, Part 3, Section 422-21(a).)
(b) For stationary appliances of greater rating, the branch circuit switch or circuit breaker shall be permitted to serve as the disconnecting means where readily accessible to the user of the appliance.
(Title 24, Part 3, Section 422-21(b).)
(c) For cord-connected appliances, such as free-standing household-type ranges and clothes dryers, a separable connector or an attachment plug and receptacle shall be permitted to serve as the disconnecting means. Attachment plugs and connectors shall comply with Section 2522.22(c).
For household electric ranges, an attachment plug and receptacle connection at the rear base of a range, if it is accessible from the front by removal of a drawer, shall be considered as meeting the intent of this rule.
(Title 24, Part 3, Section 422-22(a) and (b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.26. Disconnecting Means for Motor-Driven Appliances.
Note     •     History

If a switch or circuit breaker serves as the disconnecting means for a stationary or fixed motor-driven appliance of more than 1/8 horsepower, it shall be located within sight from the motor controller and shall comply with the disconnecting means specified in Article 56.
(Title 24, Part 3, Section 422-26.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
MARKING OF APPLIANCES
§2522.30. Nameplate.
Note     •     History

(a) Each electric appliance shall be provided with a nameplate, giving the identifying name and the rating in volts and amperes, or in volts and watts. If the appliance is to be used on a specific frequency or frequencies, it shall be so marked.
When motor overload protection external to the appliance is required, the appliance shall be so marked.
(b) Marking shall be located so as to be visible or easily accessible after installation.
(Title 24, Part 3, Section 422-30.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2522.31. Marking of Heating Elements.
Note     •     History

All heating elements that are rated over one ampere, replaceable in the field, and a part of an appliance shall be legibly marked with the ratings in volts and amperes, or in volts and watts, or with the manufacturer's part number.
(Title 24, Part 3, Section 422-31.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2522.32. Appliances Consisting of Motors and Other Loads.
Note     •     History

Appliances shall be marked in accordance with (a) or (b) below.
(a) In addition to the marking required in Section 2522.30, the marking on an appliance consisting of a motor with other load(s) or motors with or without other load(s) shall specify the minimum circuit size and the maximum rating of the circuit overcurrent protective device. 

Exception: No. 1: Portable appliances and other appliances, factory-equipped with cords and attachment plugs, complying with Section 2522.30. 

Exception: No. 2: An appliance where both the minimum circuit size and maximum rating of the circuit overcurrent protective device are not more than 15 amperes and complies with Section 2522.30.
(b) An alternate marking method shall be permitted to specify the rating of the largest motor in volts and amperes, and the additional load(s) in volts and amperes or volts and watts in addition to the marking required in Section 2522.30. 

Exception: No. 1: Portable appliances and other appliances, factory-equipped with cords and attachment plugs, complying with Section 2522.30. 

Exception: No. 2: The ampere rating of a motor 1/8 hp. or less or a nonmotor load one ampere or less shall be permitted to be omitted unless such loads constitute the principal load.
(Title 24, Part 3, Section 422-32.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 53. Fixed Electric Space Heating Equipment
GENERAL
§2524.1. Scope.
Note     •     History

This article covers fixed electric equipment used for space heating. Equipment shall be of a type approved for the purpose and location where installed. For the purpose of this article, heating equipment shall include heating cable, unit heaters, boilers, central systems, or other approved fixed electric space heating equipment. This article shall not apply to process heating and room air conditioning. 
(Title 24, Part 3, Section 424-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2524.19. Disconnecting Means.
Note     •     History

Means shall be provided to disconnect the heater, controller(s), and overcurrent protective device(s) of all fixed electric space heating equipment from all ungrounded conductors. 
(Title 24, Part 3, Section 424-19.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2524.21. Switch and Circuit Breaker to Be Indicating.
Note     •     History

Switches and circuit breakers used as disconnecting means shall be of the indicating type. 
(Title 24, Part 3, Section 424-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2524.65. Location of Disconnecting Means.
Note     •     History

Duct heater controller equipment shall be accessible with the disconnecting means installed at or within sight from the controller. 

Exception: The disconnecting means shall be arranged to be locked in the “open” position if it is not within sight of the controller. A distance of 50 feet shall be considered as equivalent to being out of sight.
(Title 24, Part 3, Section 424-65.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 54. Fixed Outdoor Electric De-Icing and Snow Melting Equipment
GENERAL
§2526.1. Scope.
Note     •     History

This article covers electrically energized heating units, panels, and cables where embedded in driveways, walks, steps, and other areas.
(Title 24, Part 3, Section 426-1(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
CONTROL AND PROTECTION
§2526.20. Disconnecting Means.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of Section 2526.20 to Section 2526.50 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2526.50. Disconnecting Means.
Note     •     History

All fixed outdoor electric de-icing and snow melting equipment shall be provided with a means for disconnection from all ungrounded conductors. Where readily accessible to the user of the equipment, the branch circuit switch or circuit breaker shall be permitted to serve as the disconnecting means. Switches used as disconnecting means shall be of the indicating type.
(Title 24, Part 3, Section 426-50.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2526.20 to Section 2526.50 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For history of former section, see Register 83, No. 45.
Article 55. Fixed Electric Heating Equipment for Pipelines and Vessels
GENERAL
§2527.1. Scope.
Note     •     History

The requirements of this article shall apply to electrically energized heating systems and the installation of these systems used with pipelines and/or vessels. This article covers electrical heating of pipelines and/or vessels by separate external heating elements, other than the skin electric current tracing or impedance methods.
(Title 24, Part 3, Section 427-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.2. Definitions.
Note     •     History

For the purpose of this article:
(a) A pipeline is a length of pipe including pumps, valves, flanges, control devices, strainers and/or similar equipment for conveying fluids.
(b) A vessel is a container such as a barrel, drum, or tank for holding fluids or other material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
INSTALLATION
§2527.10. General.
Note     •     History

Equipment for pipeline and vessel electrical heating shall be of a type compatible with the chemical, thermal and physical environment. 
(Title 24, Part 3, Section 427-10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.11. Use.
Note     •     History

Electric heating equipment shall be installed in such a manner as to be afforded protection from physical damage. 
(Title 24, Part 3, Section 427-11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.12. Marking. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of Section 2527.12 to Section 2527.13 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.13. Identification.
Note     •     History

The presence of electric pipeline and vessel heating equipment shall be evident by the posting of appropriate signs or other markings at frequent intervals in the area involved. 
(Title 24, Part 3, Section 427-13.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2527.12 to Section 2527.13 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
CONTROL AND PROTECTION
§2527.20. Disconnecting Means. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering of Section 2527.20 to Section 2527.55 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.22. Overcurrent Protection.
Note     •     History

Heaters shall be protected against overcurrent.
(Title 24, Part 3, Section 3-427-22.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2527.55. Disconnecting Means.
Note     •     History

(a) Means shall be provided to disconnect all fixed electric pipeline or vessel heating equipment from all ungrounded conductors. The branch circuit switch or circuit breaker, where readily accessible to the user of the equipment, shall be permitted to serve as the disconnecting means. Switches used as disconnecting means shall be of the indicating type, and shall be provided with a positive lockout in the “off” position.
(b) The factory-installed attachment plug of cord-connected equipment, rated 20 amperes or less and 150 volts or less to ground is an acceptable means of disconnection. 
(Title 24, Part 3, Section 427-55.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering of former Section 2527.20 to Section 2527.55 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 56. Motors, Motor Circuits and Controllers
GENERAL
§2530.4. In Sight From.
Note     •     History

If specified that one equipment shall be “in sight from” another piece of equipment, one shall be visible and not more than 50 feet from the other.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.36. Fuses--In Which Conductor. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2530.43. Automatic Restarting.
Note     •     History

(a) A motor-running overload device that can restart a motor automatically after overload tripping shall not be installed unless approved for use with the motor it protects. 
(b) A motor that can restart automatically after shutdown shall not be installed if its automatic restarting can result in injury to persons.
(Title 24, Part 3, Section 430-43.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Change without regulatory effect amending section filed 11-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 47).
§2530.74. Disconnection.
Note     •     History

(a) General. Control circuits shall be so arranged that they will be disconnected from all sources of supply when the disconnecting means is in the “Open” position. The disconnecting means shall be permitted to consist of two or more separate devices, one of which disconnects the motor and the controller from the source(s) of power supply for the motor, and the other(s), the control circuit(s) from its power supply. Where separate devices are used, they shall be located immediately adjacent to each other. 
(Title 24, Part 3, Section 430-74(a) without exceptions.)
(b) Control Transformer in Controller. Where a transformer or other device is used to obtain a reduced voltage for the control circuit and is located in the controller, such transformer or other device shall be connected to the load side of the disconnecting means for the control circuit.
(Title 24, Part 3, Section 430-74(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (a) filed 11-3-83 (Register 83, No. 45).
3. Amendment of subsection (a) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
MOTOR CONTROLLERS
§2530.81. General.
Note     •     History

This Section, “Motor Controllers,” is intended to require suitable controllers for all motors.
(a) Definition. For definition of “Controller,” see Article 1. For the purpose of this Article, the term “Controller” includes any switch or device normally used to start and stop a motor.
(b) Stationary Motor of 1/8 Horsepower or Less. For a stationary motor rated at 1/8 horsepower or less that is normally left running and is so constructed that it cannot be damaged by overload or failure to start, such as clock motors and the like, the branch circuit protective device shall be permitted to serve as the controller.
(c) Portable Motor of 1/3 Horsepower or Less. For a portable motor rated at 1/3 horsepower or less, the controller shall be permitted to be an attachment plug and receptacle. 
(Title 24, Part 3, Section 430-81.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2530.82. Controller Design.
Note     •     History

(a) Starting and Stopping. Each controller shall be capable of starting and stopping the motor it controls, and shall be capable of interrupting the stalled-rotor current of the motor.
(b) Autotransformer. An autotransformer starter shall provide an off position, a running position, and at least one starting position. It shall be so designed that it cannot rest in the starting position or in any position that will render the overload device in the circuit inoperative.
(c) Rheostats. Rheostats shall be in compliance with the following:
(1) Motor-starting rheostats shall be so designed that the contact arm cannot be left on intermediate segments. The point or plate on which the arm rests when in the starting position shall have no electrical connection with the resistor.
(2) Motor-starting rheostats for direct current motors operated from a constant voltage supply shall be equipped with automatic devices that will interrupt the supply before the speed of the motor has fallen to less than 1/3 its normal value.
(Title 24, Part 3, Section 430-82.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2530.83. Rating.
Note     •     History

The controller shall have a horsepower rating not lower than the horsepower rating of the motor. 

Exception: No. 1: For a stationary motor rated at 2 horsepower or less, and 300 volts or less, the controller shall be permitted to be a general-use switch having an ampere rating not less than twice the full load current rating of the motor.
On AC circuits, general-use snap switches suitable only for use on AC (not general-use AC-DC snap switches) shall be permitted to control a motor rated at 2 horsepower or less and 300 volts or less having a full load current rating not more than 80 percent of the ampere rating of the switch.

Exception: No. 2: A branch circuit inverse time circuit breaker rated in amperes only shall be permitted as a controller. Where this circuit breaker is also used for overload protection, it shall conform to the appropriate provisions of this Article governing overload protection. 

Exception: No. 3: The motor controller for a torque motor shall have a continuous-duty full load current rating not less than the nameplate current rating of the motor.
(Title 24, Part 3, Section 430-83.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Editorial correction of Exception No. 1 (Register 92, No. 15).
§2530.84. Need Not Open All Conductors.
Note     •     History

The controller shall not be required to open all conductors to the motor.

Exception: Where the controller serves also as a disconnecting means, it shall open all ungrounded conductors to the motor.
(Title 24, Part 3, Section 430-84.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2530.86. Motor Not in Sight from Controller.
Note     •     History

(a) If a motor and the driven machinery are not in sight from the controller location, the installation shall comply with one of the following conditions:
(1) The controller disconnecting means shall be capable of being locked in the open position.
(2) A manually operable switch that will disconnect the motor from its source of supply shall be placed in sight from the motor location.
(Title 24, Part 3, Section 430-86.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
DISCONNECTING MEANS
§2530.102. In Sight from Controller Location.
Note     •     History

An individual disconnecting means shall be provided for each controller. A disconnecting means shall be located in sight from the controller location. 

Exception: A single disconnecting means may be located adjacent to a group of coordinated controllers mounted adjacent to each other on a multi-motor continuous process machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.103. To Disconnect Both Motor and Controller.
Note     •     History

The disconnecting means shall disconnect the motor and the controller from all ungrounded supply conductors and shall be so designed that no pole can be operated independently. The disconnecting means shall be permitted in the same enclosure with the controller. (See Section 2530.113 for equipment receiving energy from more than one source.) 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.104. To Be Indicating.
Note     •     History

The disconnecting means shall plainly indicate whether it is in the “open” (off) or “closed” (on) position. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.105. Grounded Conductors.
Note     •     History

One pole of the disconnecting means shall be permitted to disconnect a permanently grounded conductor, provided the disconnecting means is so designed that the pole in the grounded conductor cannot be opened without simultaneously disconnecting all conductors of the circuit. 
(Title 24, Part 3, Section 430-105.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2530.106. Service Switch as Disconnecting Means.
Note     •     History

Where an installation consists of a single motor, the service switch may serve as the disconnecting means if it complies with this Article and is within sight from the controller location. 
(Title 24, Part 3, Section 430-106.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2530.107. Readily Accessible.
Note     •     History

The disconnecting means shall be readily accessible. If more than one disconnect is provided for the same equipment, only one need be readily accessible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.112. Motors Served by Single Disconnecting Means.
Note     •     History

(a) Each motor shall be provided with an individual disconnecting means. 

Exception: A single disconnecting means shall be permitted to serve a group of motors under any one of the following conditions:
(1) Where a number of motors drive several parts of a single machine or piece of apparatus, such as metal or woodworking machines, cranes, and hoists.
(2) Where a group of motors is in a single room within sight from the location of the disconnecting means. 
(3) Where a group of motors is under the protection of one set of branch-circuit protective devices.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsections (a)(1) and (a)(2), new subsection (a)(3) and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.113. Energy from More Than One Source.
Note     •     History

Equipment receiving electrical energy from more than one source shall be provided with disconnecting means from each source of electrical energy immediately adjacent to the equipment served. Each source shall be permitted to have a separate disconnecting means.
(Title 24, Part 3, Section 430-113 without the Exceptions.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2530.120.  
Note     •     History

Motors, motor-control apparatus, and motor branch-circuit conductors shall be protected against overheating due to motor overloads or failure to start, and against short-circuits or ground faults. These provisions do not require overload protection that will stop a motor where a shutdown is likely to introduce additional or increased hazards, as in the case of fire pumps, or where continued operation of a motor is necessary for a safe shutdown of equipment or process and motor overload sensing devices are connected to a supervised alarm.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2530.121.  
Note     •     History

Where live parts of motors or controllers operating at over 150 volts to ground are guarded against accidental contact only by location, and where adjustment or other attendance may be necessary during the operation of the apparatus, suitable insulating mats or platforms shall be provided so that the attendant cannot readily touch live parts unless standing on the mats or platforms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 57. Transformers and Transformer Vaults  (Including Secondary Ties)
§2533.1. Scope.
Note     •     History

This Article covers the installation of all transformers. 

Exception: No: 1: Current transformers. 

Exception: No: 2: Dry-type transformers that constitute a component part of other apparatus and comply with the requirements for such apparatus. 

Exception: No: 3: Transformers which are an integral part of an X-ray, high-frequency, or electrostatic-coating apparatus. 

Exception: No: 4: Transformers for sign and outline lighting that comply with Article 73. 

Exception: No: 5: Transformers for electric-discharge lighting that comply with Article 51. 

Exception: No: 6: Transformers used for power limited fire protective signaling circuits. 

Exception: No: 7: Transformers used with Class 2 and Class 3 circuits. 

Exception: No: 8: Liquid-filled or dry-type transformers used for research, development, or testing, where effective arrangements are provided to safeguard unqualified persons from contacting high-voltage terminals or energized conductors.
This Article also covers the installation of transformers in hazardous locations as modified by Article 59. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
GENERAL PROVISIONS
§2533.2. Location.
Note     •     History

Transformers and transformer vaults shall be readily accessible to qualified personnel for inspection and maintenance. 

Exception: Dry-type transformers located in the open on walls, columns, or structures, shall not be required to be readily accessible.
(Title 24, Part 3, Section 450-2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 58. Capacitors
§2534.2. Enclosing and Guarding.
Note     •     History

(a) Capacitors containing more than 3 gallons of flammable liquid shall be enclosed in vaults or outdoor fenced enclosures.
(b) Capacitors shall be enclosed, located, or guarded so that persons cannot come into accidental contact or bring conducting materials into accidental contact with exposed energized parts, terminals, or buses associated with them. 

Exception: No additional guarding is required for enclosures accessible only to authorized and qualified persons.
(Title 24, Part 3, Section 460-2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2534.6. Drainage of Stored Charge.
Note     •     History

Capacitors shall be provided with an automatic means of draining the stored charge after the capacitor is disconnected from its source of supply. 
(a) Time of Discharge. The residual voltage of a capacitor shall be reduced to 50 volts or less within one minute after the capacitor is disconnected from the source of supply.
(b) Means of Discharge. The discharge circuit shall be either permanently connected to the terminals of the capacitor or capacitor bank, or provided with automatic means of connecting it to the terminals of the capacitor bank on removal of voltage from the line. Manual means of switching or connecting the discharge circuit shall not be used. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2534.8. Disconnecting Means.
Note     •     History

A disconnecting means shall be provided in each ungrounded conductor for each capacitor bank and shall meet the following requirements:
(a) The disconnecting means shall open all ungrounded conductors simultaneously.
(b) The disconnecting means shall be permitted to disconnect the capacitor from the line as a regular operating procedure.
(c) The rating of the disconnecting means shall not be less than 135 percent of the rated current of the capacitor.

Exception: A separate disconnecting means shall not be required where a capacitor is connected on the load side of a motor controller.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
4. Amendment filed 4-6-2010; operative 5-6-2010 (Register 2010, No. 15).
Article 58.1. Storage Batteries
§2535.1. Storage Batteries.
Note     •     History

Provisions shall be made for sufficient diffusion and ventilation of gases from storage batteries to prevent the accumulation of explosive mixtures. See General Industry Safety Orders, Section 5185 for additional requirements.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 58.1 (section 2535.1) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 59. Hazardous (Classified) Locations
§2540.1. Scope.
Note     •     History

(a) Applicability. This Article covers the requirements for electric equipment and wiring for all voltages in locations that are classified depending on the properties of the flammable vapors, liquids or gases, or combustible dusts or fibers which may be present therein and the likelihood that a flammable or combustible concentration or quantity is present. Hazardous (classified) locations may be found in occupancies such as, but not limited to, the following: Aircraft hangers, gasoline dispensing and service stations, bulk storage plants for gasoline or other volatile flammable liquids, paint-finishing process plants, health care facilities, agricultural or other facilities where excessive combustible dusts may be present, marinas, boat yards, and petroleum and chemical processing plants. Each room, section or area shall be considered individually in determining its classification.
(1) These hazardous (classified) locations are assigned the following designations:
Class I, Division 1 
Class I, Division 2 
Class I, Zone 0
Class I, Zone 1
Class I, Zone 2
Class II, Division 1 
Class II, Division 2 
Class III, Division 1 
Class III, Division 2
(b) Classifications.
(1) Class I locations. Class I locations are those in which flammable gases or vapors are or may be present in the air in quantities sufficient to produce explosive or ignitable mixtures. Class I locations include the following:
(A) Class I, Division 1. A Class I, Division 1 location is a location:
1. In which ignitable concentrations of flammable gases or vapors may exist under normal operating conditions; or 
2. In which ignitable concentrations of such gases or vapors may exist frequently because of repair or maintenance operations or because of leakage; or 
3. In which breakdown or faulty operation of equipment or processes might release ignitable concentrations of flammable gases or vapors, and might also cause simultaneous failure of electric equipment. 

Note: This classification usually includes locations where volatile flammable liquids or liquefied flammable gases are transferred from one container to another, interiors of spray booths and areas in the vicinity of spraying and painting operations where volatile flammable solvents are used: locations containing open tanks or vats of volatile flammable liquids; drying rooms or compartments for the evaporation of flammable solvents; locations containing fat and oil extraction equipment using volatile flammable solvents; portions of cleaning and dyeing plants where flammable liquids are used; gas generator rooms and other portions of gas manufacturing plants where flammable gas may escape; inadequately ventilated pump rooms for flammable gas or for volatile flammable liquids; the interiors of refrigerators and freezers in which volatile flammable materials are stored in open, lightly stoppered, or easily ruptured containers; and all other locations where ignitable concentrations of flammable vapors or gases are likely to occur in the course of normal operations.
(B) Class I, Division 2. A Class I, Division 2 location is a location:
1. In which volatile flammable liquids or flammable gases are handled, processed, or used, but in which the hazardous liquids, vapors, or gases will normally be confined within closed containers or closed systems from which they can escape only in the event of accidental rupture or breakdown of such containers or systems, or as a result of abnormal operation of equipment; or 
2. in which ignitable concentrations of gases or vapors are normally prevented by positive mechanical ventilation, and which might become hazardous through failure or abnormal operations of the ventilating equipment; or 
3. that is adjacent to a Class I, Division 1 location, and to which ignitable concentrations of gases or vapors might occasionally be communicated unless such communication is prevented by adequate positive-pressure ventilation from a source of clean air, and effective safeguards against ventilation failure are provided. 

Note: This classification usually includes locations where volatile flammable liquids or flammable gases or vapors are used, but which would become hazardous only in case of an accident or of some unusual operating condition. The quantity of flammable materials that might escape in case of accident, the adequacy of ventilating equipment, the total area involved, and the record of the industry or business with respect to explosions or fires are all factors that merit consideration in determining the classification and extent of each location. 
Piping without valves, checks, meters, and similar devices would not ordinarily introduce a hazardous condition even though used for flammable liquids or gases. Locations used for the storage of flammable liquids or of liquefied or compressed gases in sealed containers would not normally be considered hazardous unless also subject to other hazardous conditions. 
Electrical conduits and their associated enclosures separated from process fluids by a single seal or barrier are classed as a Division 2 location if the outside of the conduit and enclosures is a non-hazardous location.
(C) Class I, Zone 0. A Class I, Zone 0 location is a location in which one of the following conditions exists:
1. Ignitable concentrations of flammable gases or vapors are present continuously; or
2. Ignitable concentrations of flammable gases or vapors are present for long periods of time.

NOTE: As a guide in determining when flammable gases or vapors are present continuously or for long periods of time, refer to Recommended Practice for Classification of Locations for Electrical Installations of Petroleum Facilities Classified as Class I, Zone 0, Zone 1 or Zone 2, API RP 505-1997; Electrical Apparatus for Explosive Gas Atmospheres, Classifications of Hazardous Areas, IEC 79-10-1995; Area Classification Code for Petroleum Installations, Model Code--Part 15, Institute for Petroleum; and Electrical Apparatus for Explosive Gas Atmospheres, Classifications of Hazardous (Classified) Locations, ISA S12.24.01-1997.
(D) Class I, Zone 1. A Class I, Zone 1 location is a location in which one of the following conditions exists:
1. Ignitable concentrations of flammable gases or vapors are likely to exist under normal operating conditions; or
2. Ignitable concentrations of flammable gases or vapors may exist frequently because of repair or maintenance operations or because of leakage; or
3. Equipment is operated or processes are carried on of such a nature that equipment breakdown or faulty operations could result in the release of ignitable concentrations of flammable gases or vapors and also cause simultaneous failure of electric equipment in a manner that would cause the electric equipment to become a source of ignition; or
4. A location that is adjacent to a Class I, Zone 0 location from which ignitable concentrations of vapors could be communicated, unless communication is prevented by adequate positive pressure ventilation from a source of clean air and effective safeguards against ventilation failure are provided.
(E) Class I, Zone 2. A Class I, Zone 2 location is a location in which one of the following conditions exists:
1. Ignitable concentrations of flammable gases or vapors are not likely to occur in normal operation and if they do occur will exist only for a short period; or
2. Volatile flammable liquids, flammable gases, or flammable vapors are handled, processed, or used, but in which the liquids, gases, or vapors are normally confined within closed containers or closed systems from which they can escape only as a result of accidental rupture or breakdown of the containers or system or as the result of the abnormal operation of the equipment with which the liquids or gases are handled, processed, or used; or
3. Ignitable concentrations of flammable gases or vapors normally are prevented by positive mechanical ventilation, but which may become hazardous as the result of failure or abnormal operation of the ventilation equipment; or
4. A location that is adjacent to a Class I, Zone 1 location, from which ignitable concentrations of flammable gases or vapors could be communicated, unless such communication is prevented by adequate positive-pressure ventilation from a source of clean air, and effective safeguards against ventilation failure are provided.
(2) Class II Locations. Class II locations are those that are hazardous because of the presence of combustible dust. Class II locations include the following: 
(A) Class II, Division 1. A Class II, Division 1 location is a location: 
1. In which combustible dust is or may be in suspension in the air under normal operating conditions, in quantities sufficient to produce explosive or ignitable mixtures; or 
2. Where mechanical failure or abnormal operation of machinery or equipment might cause such explosive or ignitable mixtures to be produced, and might also provide a source of ignition through simultaneous failure of electric equipment, through operation of protection devices, or from other causes; or 
3. In which combustible dusts of an electrically conductive nature may be present. 

NOTE: This classification may include areas of grain handling and processing plants, starch plants, sugar-pulverizing plants, malting plants, hay-grinding plants, coal pulverizing plants, areas where metal dusts and powders are produced or processed, and other similar locations that contain dust producing machinery and equipment (except where the equipment is dust-tight or vented to the outside). These areas would have combustible dust in the air, under normal operating conditions, in quantities sufficient to produce explosive or ignitable mixtures. Combustible dusts which are electrically nonconductive include dusts produced in the handling and processing of grain and grain products, pulverized sugar and cocoa, dried egg and milk powders, pulverized spices, starch and pastes, potato and wood flour, oil meal from beans and seed, dried hay, and other organic materials which may produce combustible dusts when processed or handled. Dusts containing magnesium or aluminum are particularly hazardous and the use of extreme caution is necessary to avoid ignition and explosion. 
(B) Class II, Division 2. A Class II, Division 2 location is a location where: 
1. Combustible dust will not normally be in suspension in the air in quantities sufficient to produce explosive or ignitable mixtures, and dust accumulations will normally be insufficient to interfere with the normal operation of electric equipment or other apparatus, but combustible dust may be in suspension in the air as a result of infrequent malfunctioning of handling or processing equipment; and
2. Resulting combustible dust accumulations on, in, or in the vicinity of the electric equipment may be sufficient to interfere with the safe dissipation of heat from electric equipment or may be ignitable by abnormal operation or failure of electric equipment.

NOTE: This classification includes locations where dangerous concentrations of suspended dust would not be likely, but where dust accumulations might form on or in the vicinity of electric equipment. These areas may contain equipment from which appreciable quantities of dust would escape under abnormal operating conditions or be adjacent to a Class II Division 1 location, as described above, into which an explosive or ignitable concentration of dust may be put into suspension under abnormal operating conditions.
(3) Class III Locations. Class III locations are those that are hazardous because of the presence of easily ignitable fibers or flyings but in which such fibers or flyings are not likely to be in suspension in the air in quantities sufficient to produce ignitable mixtures. Class III locations include the following: 
(A) Class III, Division 1. A Class III, Division 1 location is a location in which easily ignitable fibers or materials producing combustible flyings are handled, manufactured, or used. 

NOTE: Such locations usually include some parts of rayon, cotton, and other textile mills; combustible fiber manufacturing and processing plants; cotton gins and cotton-seed mills; flax-processing plants; clothing manufacturing plants; woodworking plants, and establishments and industries involving similar hazardous processes or conditions. 
Easily ignitable fibers and flyings include rayon, cotton (including cotton linters and cotton waste), sisal or henequen, istle, jute, hemp, tow, cocoa fiber, oakum, baled waste kapok, Spanish moss, excelsior, and other materials of similar nature. 
(B) Class III, Division 2. A Class III, Division 2 location is a location in which easily ignitable fibers are stored or handled, other than in the process of manufacture.
(c) Other sections of these Safety Orders. All applicable requirements in these Safety Orders apply to hazardous (classified) locations unless modified by provisions of this Article.
(d) Division and zone classification. In Class I locations, an installation must be classified as using the division classification system meeting Sections 2540.3 and 2540.4 of this Article or using the zone classification system meeting Section 2540.11. In Class II and Class III locations, an installation must be classified using the division classification system meeting Sections 2540.3 and 2540.4. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer of article 59 (sections 2540.1-2540.6) and new article 59 (sections 2540.1, 2540.2 and 2540.4-2540.9) filed 2-1-83, effective thirtieth day thereafter (Register 83, No. 6). For prior history, see Register 75, No. 42.
2. Editorial correction of Note filed 11-2-83 (Register 83, No. 45).
3. Editorial correction filed 11-3-83 (Register 83, No. 45).
4. Amendment of title 24 cross references filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
5. Change without regulatory effect amending (a)(2)(C) Note filed 7-6-93; operative 8-5-93 (Register 93, No. 28).
6. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2540.2. General.
Note     •     History

(a) Documentation. All areas designated as hazardous (classified) locations under the Class and Zone system and areas designated under the Class and Division system established after May 5, 2008 shall be properly documented. This documentation shall be available to those authorized to design, install, inspect, maintain, or operate electric equipment at the location. 
(b) Intrinsically safe equipment. Equipment and associated wiring approved as intrinsically safe shall be permitted in any hazardous (classified) location for which it is approved. Intrinsically safe equipment and wiring shall not be capable of releasing sufficient electrical or thermal energy under normal or abnormal conditions to cause ignition of a specific hazardous atmospheric mixture in its most easily ignited concentration. Abnormal conditions shall include accidental damage to any field-installed wiring, failure of electrical components, application of over-voltage, adjustment and maintenance operations, and other similar conditions. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of Title 24 cross references filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2540.3. Electrical Installations.
Note     •     History

(a) Equipment, wiring methods and installations of equipment in hazardous (classified) locations shall be one or more of the following: 
(1) Intrinsically safe. 
(2) Approved for the hazardous (classified) location. 
(3) Safe for the hazardous (classified) location.
(b) Requirements for each of these options are as follows:
(1) Intrinsically safe equipment. Equipment and associated wiring approved as intrinsically safe shall be permitted in any hazardous (classified) location for which it is approved. 
(2) Approved for the hazardous (classified) location. 
(A) Equipment shall be approved not only for the class of location, but also for the ignitable or combustible properties of the specific gas, vapor, dust, or fiber that will be present.

NOTE: NFPA 70, the National Electrical Code, lists or defines hazardous gases, vapors, and dusts by “Groups” characterized by their ignitable or combustible properties.
(B) Equipment shall be marked to show the class, group, and operating temperature or temperature range, based on operation in a 40-degree C ambient, for which it is approved. The temperature marking may not exceed the ignition temperature of the specific gas or vapor to be encountered. However, the following provisions modify this marking requirement for specific equipment:
1. Equipment of the nonheat-producing type, such as junction boxes, conduit, and fittings, and equipment of the heat-producing type having a maximum temperature not more than 100 degrees C (212 degrees F) need not have a marked operating temperature or temperature range.
2. Fixed lighting fixtures marked for use in Class I, Division 2 or Class II, Division 2 locations only need not be marked to indicate the group.
3. Fixed general-purpose equipment in Class I locations, other than lighting fixtures, that is acceptable for use in Class I, Division 2 locations need not be marked with the class, group, division, or operating temperature.
4. Fixed dust-tight equipment, other than lighting fixtures, that is acceptable for use in Class II, Division 2 and Class III locations need not be marked with the class, group, division, or operating temperature.
5. Electric equipment suitable for ambient temperatures exceeding 40 degrees C (104 degrees F) shall be marked with both the maximum ambient temperature and the operating temperature or temperature range at that ambient temperature.
(3) Safe for the hazardous (classified) location. Equipment that is safe for the location shall be of a type and design that the employer demonstrates will provide protection from the hazards arising from the combustibility and flammability of vapors, liquids, gases, dusts, or fibers involved.

NOTE: The National Electrical Code, NFPA 70, contains guidelines for determining the type and design of equipment and installations that will meet this requirement. Those guidelines address electric wiring, equipment, and systems installed in hazardous (classified) locations and contain specific provisions for the following: wiring methods, wiring connections; conductor insulation, flexible cords, sealing and drainage, transformers, capacitors, switches, circuit breakers, fuses, motor controllers, receptacles, attachment plugs, meters, relays, instruments, resistors, generators, motors, lighting fixtures, storage battery charging equipment, electric cranes, electric hoists and similar equipment, utilization equipment, signaling systems, alarm systems, remote control systems, local loud speaker and communication systems, ventilation piping, live parts, lightning surge protection, and grounding. 
(c) Conduits. All conduits shall be threaded and shall be made wrench-tight. Where it is impractical to make a threaded joint tight, a bonding jumper shall be utilized.
(d) Equipment in Division 2 Locations. Equipment that has been approved for a Division 1 location may be installed in a Division 2 location of the same class and group. General-purpose equipment or equipment in general-purpose enclosures may be installed in Division 2 locations if the employer can demonstrate that the equipment does not constitute a source of ignition under normal operating conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2540.4. Protection Techniques.
Note     •     History

(a) The following are acceptable protection techniques for electric and electronic equipment in hazardous (classified) locations.
(1) Explosion-proof apparatus. This protection technique is permitted for equipment in the Class I, Division 1 and 2 locations for which it is approved.
(2) Dust ignition-proof. This protection technique is permitted for equipment in the Class II, Division 1 and 2 locations for which it is approved.
(3) Dust-tight. This protection technique is permitted for equipment in the Class II, Division 2 and Class III locations for which it is approved.
(4) Purged and pressurized. This protection technique is permitted for equipment in any hazardous (classified) location for which it is approved.
(5) Nonincendive circuit. This protection technique is permitted for equipment in Class I, Division 2; Class II, Division 2; or Class III, Division 1or 2 locations.
(6) Nonincendive equipment. This protection technique is permitted for equipment in Class I, Division 2; Class II, Division 2; or Class III, Division 1 or 2 locations.
(7) Nonincendive component. This protection technique is permitted for equipment in Class I, Division 2; Class II, Division 2; or Class III, Division 1 or 2 locations.
(8) Oil immersion. This protection technique is permitted for current-interrupting contacts in Class I, Division 2 locations as described in these Orders.
(9) Hermetically sealed. This protection technique is permitted for equipment in Class I, Division 2; Class II, Division 2; and Class III, Division 1 or 2 locations.
(10) Other protection techniques. Any other protection technique that meets Section 2540.3 of these Orders is acceptable in any hazardous (classified) location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of section heading, repealer and new section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2540.5. Commercial Garages, Repair and Storage.
Note     •     History

(a) Scope. These occupancies shall include locations used for service and repair operations in connection with self-propelled vehicles (including passenger automobiles, buses, trucks, tractors, etc.) in which volatile flammable liquids are used for fuel or power. Areas in which flammable fuel is transferred to vehicle fuel tanks shall conform to Section 2540.8. Parking garages used for parking or storage and where no repair work is done except exchange of parts and routine maintenance requiring no use of electrical equipment, open flames, welding, or the use of volatile flammable liquids are not classified as hazardous areas, but they shall be adequately ventilated to carry off the exhaust fumes of the engines. 
(Title 24, Part 3, Section 511-1.)
(b) Hazardous Areas.
(1) Up to a Level of 18 Inches Above the Floor. For each floor the entire area up to a level of 18 inches above the floor shall be considered to be a Class I, Division 2 location except where there is mechanical ventilation providing a minimum of four air changes per hour.
(2) Any Pit or Depression Below Floor Level. Any pit or depression below floor level shall be considered to be a Class I, Division 1 location which shall extend up to said floor level, except that any pit or depression in which six air changes per hour are exhausted at the floor level of the pit shall be permitted to be a Class I, Division 2 location.
(3) Areas Adjacent to Defined Locations with Positive Pressure Ventilation. Areas adjacent to defined locations in which hazardous vapors are not likely to be released such as stock rooms, switchboard rooms and other similar locations shall not be classed as hazardous when mechanically ventilated at a rate of four or more air changes per hour or when effectively cut off by walls or partitions.
(4) Adjacent Areas by Special Permission. Adjacent areas which, by reason of ventilation, air pressure differentials or physical spacing, are such that no hazard exists, shall be classified as nonhazardous.
(5) Fuel Dispensing Units. When fuel dispensing units (other than liquid petroleum gas which is prohibited) are located within buildings, the requirements of Section 2540.8 shall govern. When mechanical ventilation is provided in the dispensing area, the controls shall be interlocked so that the dispenser cannot operate without ventilation as prescribed in Section 2540.1(a)(2).
(6) Portable Lamps. Portable lamps shall be equipped with handle, lampholder, hook and substantial guard attached to the lampholder or handle. All exterior surfaces which might come in contact with battery terminals, wiring terminals, or other objects shall be of nonconducting material or shall be effectively protected with insulation. Lampholders shall be of unswitched type and shall not provide means for plug-in of attachment plugs. Outer shell shall be of molded composition or other material approved for the purpose. Unless the lamp and its cord are supported or arranged in such a manner that they cannot be used in the hazardous areas classified in this section, they shall be of a type approved for such hazardous locations. 
(Title 24, Part 3, Section 511-2.)
(c) Battery Charging Equipment. Battery chargers and their control equipment, and batteries being charged shall not be located within hazardous areas. 
(Title 24, Part 3, Section 511-7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
§2540.6. Aircraft Hangars.
Note     •     History

(a) Definition. An aircraft hangar is a location used for storage or servicing of aircraft in which gasoline, jet fuels, or other volatile flammable liquids or flammable gases are used. It shall not include locations used exclusively for aircraft that have never contained such liquids or gases, or that have been drained and properly purged. 
(Title 24, Part 3, Section 513-1.)
(b) Classification of Locations.
(1) Below Floor Level. Any pit or depression below the level of the hangar floor shall be classified as a Class I, Division 1 location that shall extend up to said floor level.
(2) Areas Not Cut Off or Ventilated. The entire area of the hangar, including any adjacent and communicating areas not suitably cut off from the hangar, shall be classified as a Class I, Division 2 location up to a level 18 inches above the floor.
(3) Vicinity of Aircraft. The area within 5 feet horizontally from aircraft power plants or aircraft fuel tanks shall be classified as a Class I, Division 2 location that shall extend upward from the floor to a level 5 feet above the upper surface of wings and of engine enclosures.
(4) Areas Suitably Cut Off and Ventilated. Adjacent areas in which flammable liquids or vapors are not likely to be released, such as stock rooms, electrical control rooms, and other similar locations, shall not be classified as hazardous where adequately ventilated and where effectively cut off from the hangar itself by walls or partitions. 
(Title 24, Part 3, Section 513-2.)
(c) Mobile Stanchions. Mobile stanchions with electric equipment which is not approved for a hazardous location shall carry at least one permanently affixed warning sign essentially reading: 

“WARNING--KEEP 5 FEET CLEAR OF AIRCRAFT ENGINES AND FUEL TANK AREAS.” 
(Title 24, Part 3, Section 513-6.)
(d) Aircraft Electrical Systems. Aircraft electrical systems shall be de-energized when the aircraft is stored in a hangar, and whenever possible, while the aircraft is undergoing maintenance. 
(Title 24, Part 3, Section 513-6.)
(e) Aircraft Battery--Charging and Equipment. Aircraft batteries shall not be charged when installed in an aircraft located inside or partially inside a hangar. Battery charges and their control equipment shall not be located or operated within any of the hazardous areas. Mobile chargers shall carry at least one permanently affixed warning sign essentially reading: 

“WARNING--KEEP 5 FEET CLEAR OF AIRCRAFT ENGINES AND FUEL TANK AREAS.”
Tables, racks, trays, and wiring shall not be located within a hazardous location. 
(Title 24, Part 3, Section 513-9.)
(f) External Power Sources for Energizing Aircraft.
(1) Not Less than 18 inches Above Floor. Aircraft energizers shall be so designed and mounted that all electric equipment and fixed wiring will be at least 18 inches above floor level and shall not be operated in a hazardous location.
(2) Marking for Mobile Units. Mobile energizers shall carry at least one permanently affixed warning sign essentially reading: 

“WARNING--KEEP 5 FEET CLEAR OF AIRCRAFT ENGINES AND FUEL TANK AREAS.”
(Title 24, Part 3, Section 513-10.)
(g) Mobile Servicing Equipment with Electric Components.
(1) General. Mobile servicing equipment (such as vacuum cleaners, air compressors, air movers, etc.) having electric wiring and equipment not suitable for Class I, Division 2 locations shall be so designed and mounted that all such fixed wiring and equipment will be at least 18 inches above the floor. Such mobile equipment shall not be operated within the hazardous location and shall carry at least one permanently affixed warning sign essentially reading: 

“WARNING--KEEP 5 FEET CLEAR OF AIRCRAFT ENGINES AND FUEL TANK AREAS.”
(2) Restricted Use. Mobile equipment not suitable for Class I, Division 2 locations shall not be operated in locations where maintenance operations likely to release flammable liquids or vapors are in progress. 
(Title 24, Part 3, Section 513-11(a), (c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
§2540.7. Gasoline Dispensing and Service Stations.
Note     •     History

(a) Definition. A gasoline dispensing and service station is a location where gasoline or other volatile flammable liquids or liquefied flammable gases are transferred to the fuel tanks (including auxiliary fuel tanks) of self-propelled vehicles.
Other areas used as lubritoriums, service rooms, repair rooms, offices, salesrooms, compressor rooms, and similar locations shall comply with Section 2540.6 with respect to electric wiring and equipment. Where it can be determined that flammable liquids having a flashpoint below 38oC (100oF), such as gasoline, will not be handled, such a location may be classified as nonhazardous. 
(Title 24, Part 3, Section 514-1.)
(b) Hazardous Locations.
(1) Vicinity of Dispenser. The space within the dispenser up to 4 feet from its base and the space within 18 inches extending horizontally from the dispenser up to 4 feet from its base shall be considered a Class I, Division 1 location. This classification shall also apply to any space below the dispenser that may contain electric wiring or equipment.
(2) Within 20 Feet of Dispenser. In an outside location, any area (excluding Class I, Division 1, but including buildings not suitably cut off) within 20 feet horizontally from the exterior enclosure of any dispensing pump shall be classified as a Class I, Division 2 location, which shall extend to a level 18 inches above driveway or ground level.
(3) Vicinity of Tank Fill-Pipe. In an outside location, any area (excluding Class I, Division 1, but including buildings not suitably cut off) within 10 feet horizontally from any tank fill-pipe shall be classified as a Class I, Division 2 location, which shall extend upward to a level 18 inches above driveway or ground level.
(4) Below Surface. Electric wiring and equipment, any portion of which is below the surface grade of locations defined as Class I, Division 1 or Division 2 in (1), (2) or (3) above, shall be classified as a Class I, Division 1 location, which shall extend at least to the point of emergency above grade.
(5) Overhead Dispensing Units. Where the dispensing unit, including the hose and hose nozzle valve, is suspended from a canopy, ceiling, or structural support, the Class I, Division 1 location shall include the volume within the enclosure and shall also extend 18 inches in all directions from the enclosure where not suitably cut off by a ceiling or wall. The Class I, Division 2 locations shall extend 2 feet horizontally in all directions beyond the Division I classified location and extend to grade below this classified location. In addition, the horizontal area 18 inches above grade for a distance of 20 feet, measured from a point vertically below the edge of any dispenser enclosure, shall be classified as a Division 2 location. All electric equipment integral with the dispensing hose or nozzle shall be approved for Class I locations.
(6) Vicinity of Tank Vent-Pipe. The spherical volume within a 3-foot radius from point of discharge of any tank vent-pipe shall be classified as a Class I, Division 1 location, and the volume between 3-foot to 5-foot radius from point of discharge of a vent shall be classified as a Class I, Division 2 location. For any vent that does not discharge upward, the cylindrical volume below both the Division 1 and 2 locations extending to the ground shall be classified as a Class I, Division 2 location. The hazardous location shall not extend beyond an unpierced wall.
(7) Pits Below Grade. In addition to the requirements of Section 2540.8(a) (Definition), the space within any pit, or space below grade in lubrication rooms, shall be classified as a Class I, Division 1 location. The area within the entire lubrication room up to 18 inches above the floor or grade, and the space within 3 feet measured in any direction from the dispensing point of a hand-operated unit dispensing Class I liquids, shall be classified as a Class I, Division 2 location.
(8) Vapor Processing (Recovery) System.
(A) Pits. Any pit, box or space below grade level, any part of which is within a Division 1 or 2 classified area or which houses any equipment used to transport or process vapors shall be classified as a Class I, Division 1 location.
(B) Vapor Processing Equipment Located Within Protective Enclosures. The space within any protective enclosure housing vapor processing equipment shall be classified as a Class I, Division 2 location.
(C) Vapor Processing Equipment Not Within Protective Enclosures (excluding piping and combustion device). The space within 18 inches in all directions of equipment containing flammable vapor or liquid extending to grade level and up to 18 inches above grade level within 10 feet horizontally of the vapor processing equipment shall be classified as a Class I, Division 2 location.
(D) Equipment Enclosures. Any area within the enclosure where vapor or liquid is present under normal operating conditions shall be classified as a Class I, Division 2 location. The entire area within the enclosure, other than Division 1, shall be classified as a Class I, Division 2 location.
(E) Vacuum Assist Blowers. The space within 18 inches in all directions extending to grade level and up to 18 inches above grade level within 10 feet horizontally shall be classified as a Class I, Division 2 location.
(Title 24, Part 3, Section 514-2.)
(c) Circuit Disconnects. Each circuit leading to or through a dispensing pump shall be provided with a switch or other acceptable means to disconnect simultaneously from the source of supply all conductors of the circuit, including the grounded neutral, if any. 
(Title 24, Part 3, Section 514-5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (b) Title 24 cross references only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2540.8. Bulk-Storage Plants.
Note     •     History

(a) Definition. A bulk-storage plant is a location where gasoline or other volatile flammable liquids are stored in tanks having an aggregate capacity of one carload or more, and from which such products are distributed (usually by tank truck). This shall also include locations where volatile flammable liquids are loaded or unloaded from tanker ships.
(Title 24, Part 3, Sections 515-1)
(b) Hazardous Locations.
(1) Pumps, Bleeders, Withdrawal Fittings, Meters and Similar Devices.
(A) Adequately ventilated indoor locations containing pumps, bleeders, withdrawal fittings, meters and similar devices that are located in pipe lines handling flammable liquids under pressure shall be classified as a Class I, Division 2 location with a 5-foot distance extending in all directions from the exterior surface of such devices. The Class I, Division 2 location shall also extend 25 feet horizontally from any surface of these devices and extend up to 3 feet above the floor or grade level.
(B) Inadequately ventilated indoor locations containing pumps, bleeders, withdrawal fittings, meters and similar devices that are located in pipe lines handling flammable liquids under pressure shall be classified as a Class I, Division 1 location within a 5-foot distance extending in all directions from the exterior surface of such devices. The Class I, Division 1 location shall also extend 25 feet horizontally from any surface of the devices and extend upward to 3 feet above floor or grade level.
(C) Outdoor locations containing pumps, bleeders, withdrawal fittings, meters, and similar devices that are located in pipe lines handling flammable liquids under pressure shall be classified as Class I, Division 2 locations within a 3-foot distance extending in all directions from the exterior surfaces of such devices. The Class I, Division 2 location shall also extend up to 18 inches above grade level within 10 feet horizontally from any surface of the devices.
(Title 24, Part 3, Section 515-2.)
(2) Transfer of Flammable Liquids to Individual Containers.
(A) In outdoor locations or wherever positive and reliable mechanical ventilation is provided in indoor locations in which flammable liquids are transferred to individual containers, such locations shall be classified as a Class I, Division 1 location within 3 feet of the vent or fill opening extending in all directions. A Class I, Division 2 location shall be within the space extending between 3-foot and 5-foot radius from the vent or fill opening extending in all directions, and including the area within a horizontal radius of 10 feet from the vent or fill opening and extending to a height of 18 inches above floor or grade levels.
(B) Indoor locations in which flammable liquids are transferred to containers and where positive and reliable mechanical ventilation is not provided shall be classified as Class I, Division 1 locations. 
(Title 24, Part 3, Section 515-2.)
(3) Loading and Unloading of Tank Vehicles and Tank Cars in Outside Locations.
(A) The space extending 3 feet in all directions from the dome when loading through an open dome or from the vent when loading through a closed dome with atmospheric venting shall be classified as a Class I, Division 1 location.
(B) The space extending between a 3-foot and 15-foot radius from the dome when loading through an open dome or from the vent when loading through a closed dome with atmospheric venting shall be classified as a Class I, Division 2 location.
(C) The space extending within 3 feet in all directions from a fixed connection used in bottom loading or unloading, loading through a closed dome with atmospheric venting, or loading through a closed dome with a vapor recovery system, shall be classified as a Class I, Division 2 location. In the case of bottom loading or unloading, this classification shall also be applied to the area within a 10-foot radius from the point of connection and extending 18 inches above grade. 
(Title 24, Part 3, Section 515-2.)
(4) Aboveground Tanks.
(A) The space above the roof and within the shell of a floating roof type tank shall be classified as a Class I, Division 1 location.
(B) For all types of aboveground tanks, the space within 10 feet from the shell, ends, and roof of other than a floating roof shall be classified as a Class I, Division 2 location. Where dikes are provided, the space inside the dike and extending upward to the top of the dike shall be classified as a Class I, Division 2 location.
(C) The space within 5 feet of a vent opening and extending in all directions shall be classified as a Class I, Division 1 location.
(D) The space between 5 and 10 feet of a vent opening and extending in all directions shall be classified as a Class I, Division 2 location.
(Title 24, Part 3, Section 515-2.)
(5) Pits.
(A) Any pit or depression, any part of which lies within a Division 1 or Division 2 location as defined herein, shall be classified as a Class I, Division 1 location unless provided with positive and reliable mechanical ventilation.
(B) Any such location that is provided with positive and reliable mechanical ventilation shall be classified as a Class I, Division 2 location.
(C) Any pit or depression not within a Division 1 or Division 2 location as defined herein, but that contains piping, valves, or fittings, shall be classified as a Class I, Division 2 location. 
(Title 24, Part 3, Section 515-2.)
(6) Docks for Loading and Unloading of Tanker Ships. Docks used for loading and unloading of tanker ships shall conform to Figure 1, “Marine Terminal Handling Flammable Liquids”.
(Title 24, Part 3, Section 515-1(a).)
(A) The interior of a building, any portion of which is located in such Class I, Division 2 locations shall also be classified as a Class I, Division 2 location. 

Exception: Buildings which are provided with satisfactory positive ventilation, and safeguards, with air taken from a clean air source may be considered to be a nonhazardous location.
(B) All electrical power driven pumps and transfer apparatus for flammable liquids shall be provided with an identified `STOP' or normal control switch readily accessible to the person operating the equipment.
(Title 24, Part 3, Section 515-(a).)
(7) Garages for Tank Vehicles. Storage and repair garages for tank vehicles shall be classified as a Class I, Division 2 location up to 18 inches above the floor or grade level. 

Exception: Where conditions warrant, a more severe classification or greater extent of the hazardous location may be required.
(Title 24, Part 3, Section 515-2.)
(c) Gasoline Dispensing. Where gasoline dispensing is carried on in conjunction with bulk station operations, the applicable provisions of Section 2540.8 shall apply. 
(Title 24, Part 3, Section 515-7.)

View Graphic

Notes:
(1) The “source of vapor” shall be the operating envelope and stored postion of the outboard flange connection of the loading arm (or hose).

(2) The berth area adjacent to tanker and barge cargo tanks is to be Division 2 of the following extent:
a. 25 ft. (7.6 m) horizontally in all directions on the pier side from that portion of the hull containing cargo tanks.
b. From the water level to 25 ft. (7.6 m) above the cargo tanks at their highest position.

(3) Additional locations may have to be classified as required by the presence of other sources of flammable liquids on the berth, or by Coast Guard or other regulations.

Figure 1. Marine Terminal Handling Flammable Liquids.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Change without regulatory effect amending subsection (b)(6)(D) filed 7-9-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 28).
4. Amendment of subsections (a) and (b)(6), repealer of subsections (b)(6)(A) and (b)(6)(D), subsection relettering, new Figure 1, and amendment of Note filed 8-28-95; operative 9-27-95 (Register 95, No. 35).
5. Change without regulatory effect providing more legible illustration filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2540.9. Finishing Processes.
Note     •     History

(a) Definition. This section covers locations where paints, lacquers, or other flammable finishes are regularly or frequently applied by spraying, dipping, brushing, or by other means; where volatile flammable solvents or thinners are used; and where readily ignitable deposits or residues from such paints, lacquers, or finishes may occur. 
(Title 24, Part 3, Section 516-1.)
(b) Hazardous Locations. Classification is with respect to the effects of an exposure to flammable vapors, and in some cases deposits of paint spray residue.
(1) Class I, Division 1 Locations. The following spaces shall be considered Class I, Division 1 locations.
(A) The interiors of spray booths and their exhaust ducts.
(B) Any space in the direct path of spray or any space containing dangerous quantities of air-suspended combustible residue, deposits, vapor or mists as a result of spraying operations more extensive than touch-up spraying and not conducted within spray booths.
(C) For dipping operations, all space within 5 feet in any direction from the vapor source. The vapor source shall be the liquid surface in the dip tank, the wetted surface of the drain board and the surface of the dipped object over either the liquid surface or the wetted surface of the drain board and extending from these surfaces to the floor.
(D) Pits having an opening within Class I, Division 1 and Division 2 locations.
(2) Class I, Division 2 locations. The following spaces shall be considered Class I, Division 2 locations.
(A) For extensive open spraying, all space outside of, but within 20 feet horizontally and 10 feet vertically of the Class I, Division 1 location as defined in Section 2540.9(b)(1) and not separated from it by partitions. See Figure 1.
(B) For spraying operations conducted within a closed top, open face or front spray booth, the space shown in Figures 2 and 3, and the space within 3 feet in all directions from openings other than the open face of front.
The Class I, Division 2 location shown in Figures 2 and 3 shall extend from the open face or front of the spray booth in accordance with the following:
1. If the ventilation system is interlocked with the spraying equipment so as to make the spraying equipment inoperable when the ventilation system is not in operation, the space shall extend 5 feet from the open face or front of the spray booth, and as otherwise shown in Figure 2.
2. If the ventilation system is not interlocked with the spraying equipment so as to make the spraying equipment inoperable when the ventilation system is not in operation, the space shall extend 10 feet from the open face or front of the spray booth, and as otherwise shown in Figure 3.
(C) For spraying operations conducted within an open top spray booth, the space 5 feet above the booth and within the space shown in Figure 3 as a Class I, Division 2 location adjacent to openings. 
(D) For spraying operations confined to an enclosed spray booth, the space within 3 feet in all directions from any openings in the spray booth.
(E) For dip tanks and drain boards, and for other hazardous operations, all space beyond the limits for Class I, Division 1 and within 8 feet of the vapor source as defined in (b)(1)(C). In addition, all space from the door to 3 feet above the floor, and extending 20 feet horizontally from the vapor source as defined in (b)(1)(C).
(3) Nonhazardous Locations. Locations utilizing drying, curing, or fusion apparatus and provided with positive mechanical ventilation adequate to prevent formation of flammable concentrations of vapors, and provided with effective interlocks to de-energize all electric equipment (other than equipment approved for Class I locations) in case the ventilating equipment is inoperative, may be classified as nonhazardous.
(Title 24, Part 3, Section 516-2.)
(c) Fixed and Hand-held Electrostatic Spraying Equipment and Powder Coating.
The installation and/or use of fixed and hand-held electrostatic spraying equipment and powder coating shall comply with the applicable provisions of Title 24, Part 3.

Note: The National Electrical Code, 1984 Edition, contains guidelines that are appropriate for determining the type and design of equipment and installations with respect to fixed and hand-held electrostatic spraying and powder coating. The guidelines f this referenced document address electric wiring, equipment and systems installed in hazardous (classified) locations and contains specific provisions for the following: Location of power and control equipment, ventilation, protection from electric shock, protection of high voltage conductors and leads, proper separation of spray heads from materials being sprayed, proper support of materials, proper grounding, guarding and isolation, warning signs and labels, and automatic controls to assure adequate ventilation, minimize shock hazard and preclude arcing in the hazardous location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsections (b)(3) and (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
3. Change without regulatory effect providing more legible versions of Figures 1-3 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).

Figure 1 

View Graphic

Figure 2

View Graphic

Figure 3

View Graphic
§2540.10. Wastewater Wells.
Note     •     History

(a) Definition.
(1) Sewage Wastewater Well (wet or dry types): A physical structure, usually underground, the prime function of which is to lift wastewater.
(2) Sewage Drywell: A sewage well which does not incorporate a reservoir in addition to the pump(s).
(3) Sewage Wetwell: A sewage well which incorporates a reservoir in addition to the pump(s).
(Title 24, Part 3, Section 3-512-9.)
(b) Hazardous Locations. Sewage wells, and the surrounding enclosure shall be classified in accordance with Section 2540.1 and the following:
(1) Sewage Dry Well. The interior of sewage dry wells shall be classified as a Class I, Division 2 location. 

Exception: A sewage dry well shall be permitted to be unclassified provided the following conditions are met:
(A) The well and the surrounding enclosure is treated in accordance with the provisions of the General Industry Safety Orders, Article 108, as a potential confined space; and
(B) The well and surrounding area are provided with a suitable, continuously operating ventilation system to maintain the flammability of the interior atmosphere below 20% of the lower explosive limit (LEL). The air for the ventilation systems shall be supplied from a non-hazardous source. Means shall be provided to automatically de-energize all electrical sources of ignition in the well in the event of ventilation system failure, which would result in the interior atmosphere of the well reading 20% of the lower explosive limit (LEL).
(2) Sewage Wet Well. The interior of sewage wet wells shall be classified as a Class I, Division 1, location. 

Exception: No. 1: A sewage wet well shall be permitted to be classified as Class I, Division 2, location provided the following conditions are met:
(A) The well and surrounding area are treated in accordance with the provisions of the General Industry Safety Orders, Article 108, as a potential confined space; and
(B) The well and surrounding area are provided with a suitable, continuously operating ventilation system to maintain the flammability of the interior atmosphere below 20% of the lower explosive limit (LEL). The air for the ventilation system shall be supplied from a non-hazardous source. Means shall be provided to automatically de-energize all electrical sources of ignition in the well in the event of ventilation system failure, which would result in the interior atmosphere of the well reaching 20% of the lower explosive limit (LEL). 

Exception: No. 2: A sewage wet well shall be permitted to be classified as a Class I, Division 2, location provided the following conditions are met:
(A) The well and surrounding area are treated in accordance with the provisions of the General Industry Safety Orders, Article 108, as a confined space, and
(B) The pump motor(s) is completely submerged in the water whenever the motor is running, and
(C) The motor controller(s) is identified for use in a Class I location or is located outside the classified location, and
(D) The sensors-transducers are identified as intrinsically safe or for use in a Class I location.
(Title 24, Part 3, Section 3-521-10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-11-83; effective thirtieth day thereafter (Register 83, No. 45).
§2540.11. Class I, Zone 0, 1, and 2 Locations.
Note     •     History

(a) Scope. Employers may use the zone classification system as an alternative to the division classification system for electric and electronic equipment and wiring for all voltages in Class I, Zone 0, Zone 1, and Zone 2 hazardous (classified) locations where fire or explosion hazards may exist due to flammable gases, vapors, or liquids.
(b) Location and General Requirements. 
(1) Locations shall be classified depending on the properties of the flammable vapors, liquids, or gases that may be present and the likelihood that a flammable or combustible concentration or quantity is present. Where pyrophoric materials are the only materials used or handled, these locations need not be classified.
(2) Each room, section, or area shall be considered individually in determining its classification.
(c) Threading. All threaded conduit shall be threaded with an NPT [National (American) Standard Pipe Taper] standard conduit cutting die that provides 3/4-in. taper per foot. The conduit shall be made wrench tight to prevent sparking when fault current flows through the conduit system and to ensure the explosion-proof or flame-proof integrity of the conduit system where applicable.
Equipment provided with threaded entries for field wiring connection shall be installed in accordance with subsection (1) or (2) as follows: 
(1) For equipment provided with threaded entries for NPT threaded conduit or fittings, listed conduit, conduit fittings, or cable fittings shall be used.
(2) For equipment with metric threaded entries, such entries shall be identified as being metric, or listed adaptors to permit connection to conduit of NPT-threaded fittings shall be provided with the equipment. Adapters shall be used for connection to conduit or NPT-threaded fittings.
(d) Protection Techniques. One or more of the following protection techniques shall be used for electric and electronic equipment in hazardous (classified) locations classified under the zone classification system.
(1) Flameproof “d.” This protection technique is permitted for equipment in the Class I, Zone 1 locations for which it is approved.
(2) Purged and pressurized. This protection technique is permitted for equipment in the Class I, Zone 1 or Zone 2 locations for which it is approved.
(3) Intrinsic safety. This protection technique is permitted for equipment in the Class I, Zone 0 or Zone 1 locations for which it is approved.
(4) Type of protection “n.” This protection technique is permitted for equipment in the Class I, Zone 2 locations for which it is approved. Type of protection “n” is further subdivided into nA, nC, and nR.
(5) Oil Immersion “o.” This protection technique is permitted for equipment in the Class I, Zone 1 locations for which it is approved.
(6) Increased safety “e.” This protection technique is permitted for equipment in the Class I, Zone 1 locations for which it is approved.
(7) Encapsulation “m.” This protection technique is permitted for equipment in the Class I, Zone 1 locations for which it is approved.
(8) Powder Filling “q.” This protection technique is permitted for equipment in the Class I, Zone 1 locations for which it is approved.
(e) Special Precaution. This Article (Article 59) requires equipment construction and installation that will ensure safe performance under conditions of proper use and maintenance.
(1) Classification of areas and selection of equipment and wiring methods shall be under the supervision of a qualified registered professional engineer.
(2) In instances of areas within the same facility classified separately, Class I, Zone 2 locations may abut, but not overlap, Class I, Division 2 locations. Class I, Zone 0 or Zone 1 locations shall not abut Class I, Division 1 or Division 2 locations.
(3) A Class I, Division 1 or Division 2 location may be reclassified as a Class I, Zone 0, Zone 1, or Zone 2 location only if all of the space that is classified because of a single flammable gas or vapor source is reclassified.

NOTE to subsection (e): Low ambient conditions require special consideration. Electric equipment depending on the protection techniques described by subsection (d)(1) of this section may not be suitable for use at temperatures lower than -20 degrees C (-4 degrees F) unless they are approved for use at lower temperatures. However, at low ambient temperatures, flammable concentrations of vapors may not exist in a location classified Class I, Zone 0, 1, or 2 at normal ambient temperature.
(f) Listing and Marking. 
(1) Equipment that is listed for a Zone 0 location may be installed in a Zone 1 or Zone 2 location of the same gas or vapor. Equipment that is listed for a Zone 1 location may be installed in a Zone 2 location of the same gas or vapor.
(2) Equipment shall be marked in accordance with subsections (f)(2)(A) or (f)(2)(B) as follows: 
(A) Division equipment. Equipment approved for Class I, Division 1 or Class 1, Division 2 shall, in addition to being marked in accordance with Section 2540.3(b)(2)(B), be marked with the following:
1. Class I, Zone 1 or Class I, Zone 2 (as applicable);
2. Applicable gas classification groups; and
3. Temperature classification; or
(B) Zone equipment. Equipment meeting one or more of the protection techniques described in subsection (d) of this section shall be marked with the following in the order shown:
1. Class, except for intrinsically safe apparatus;
2. Zone, except for intrinsically safe apparatus;
3. Symbol “AEx;”
4. Protection techniques;
5. Applicable gas classification groups; and
6. Temperature classification, except for intrinsically safe apparatus.

NOTE to subsection (f)(2)(B): An example of such a required marking is “Class I, Zone 0, AEx ia IIC T6.” See Figure S-1 for an explanation of this marking.

Exception: to (f)(2): Equipment that the employer demonstrates will provide protection from the hazards arising from the flammability of the gas or vapor and the zone of location involved and will be recognized as providing such protection by employees need not be marked.

NOTE for EXCEPTION: The National Electrical Code, NFPA 70, contains guidelines for determining the type and design of equipment and installations that will meet this provision.

Figure S-1--Example Marking for Class I, Zone 0, AEx ia IIC T6

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 60. Oil and Gas Wells
§2548.21. General.
Note     •     History

(a) Other Orders. The requirements of this Section shall be deemed to be additional to, or amendatory of, those prescribed in Articles 1 through 59.
(b) Scope. This section shall be applicable to oil or gas wells located over water, on man-made islands offshore, or at land-based locations. Areas adjacent to oil or gas wells shall be classified as Class I Locations as outlined below, and installations shall comply with the requirements for such locations.
(c) Definitions. Adequate Ventilation. (As applied to enclosed areas) a mechanical ventilation system supplied from a nonhazardous source that provides for a minimum of 12 air changes per hour.
Enclosed Area. Roofed areas having at least three (3) walls, or open sumps or pits into which highly volatile liquids are run, or areas surrounded by buildings or walls in which flammable vapors may accumulate.
Locomotive Cable. Cable having the physical property of being oil resistant and constructed as to be suitable for application on power and control circuits in diesel or electric locomotives and suitable for oil rigging applications.
Positive Pressure Ventilation. A mechanical ventilation system capable of providing a minimum outward air velocity of 60 feet per minute through all openings.
Hazardous Location. See Section 5416 of the General Industry Safety Orders, Title 8, CAC. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer of Article 60 (Sections 2541.1-2541.16) and renumbering and amendment of Article 67.1 (Sections 2548.21-2548.26) to Article 60 (Sections 2548.21-2548.26) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6). For prior history, see Registers 78, No. 13, and 75, No. 42.
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Editorial correction of subsection (a) filed 11-3-83 (Register 83, No. 45).
4. Amendment of subsections (b) and (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2548.22. Drilling Wells.
Note     •     History

(a) The following areas shall be classified as Class I, Division I Locations:
(1) Below grade well cellars, sumps or ditches (see Figures 2 and 6).
(2) Enclosed and inadequately ventilated areas below the derrick floor (see Figure 1).
(3) Enclosed areas containing mud tanks or shale shakers (see Figures 3, 4, 5 and 6). 

Exception: Adequately enclosed areas shall be permitted to be classified as Class I, Division 2 Locations.
(b) The following areas shall be classified as Class I, Division 2 Locations:
(1) Within 10 feet horizontally and 18 inches vertically from the edge of well cellars or other below grade, Class I, Division I Locations.
(2) Within 10 feet radially of the center of the bell nipple in open derricks.
(3) The entire area above the derrick floor in enclosed derricks. (4) Areas adjacent to mud tanks as required in Figures 3 and 4; pits as required in Figure 2; shale shakers as required in Figure 5; or openings as required in Figure 2; in enclosures classified Class I, Division I Location in subsection (a) above.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 118943(c Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (b) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2548.23. Producing Wells.
Note     •     History

(a) The following areas shall be classified as Class I, Division I Locations:
(1) Below grade well cellars (see Figures 7 and 9).
(2) Enclosed areas; such as, wellhead, compressor or pump rooms where volatile flammable liquids or gases may be present in concentrations sufficient to render the area a hazardous location (see Figures 8, 9 and 10). 

Exception: Adequately ventilated enclosed areas shall be permitted to be classified as Class I, Division 2 Locations (see Figure 7).
(b) The following areas shall be classified as Class I, Division 2 Locations:
(1) Within 10 feet horizontally and 18 inches vertically from the well casing and 3 feet radially from the stuffing box of all producing wells equipped with beam pumping units (see Figures 8 and 9).
(2) Within 10 feet horizontally and 18 inches vertically above grade from the edge of well cellars or other below grade Class I, Division I Locations.
(3) Within 10 feet horizontally and vertically from openings in enclosed areas classified as Class I, Division I Locations in Subsection (a) above (see Figures 3, 4, 5 and 10).
(c) Areas within a 10-foot radius of oil field auxiliary equipment, such as gas vents, oil-gas separator vessels, tanks, pumps, compressors and similar equipment, shall be classified in accordance with Figures 11 through 19.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (c) filed 11-3-83 (Register 83, No. 45).
3. Amendment of subsection (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 

Figure 1

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Figure 2

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Figure 3

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Figure 4

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Figure 5

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Figure 6

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Figure 7

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Figure 8

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Figure 9

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Figure 10

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Figure 11

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Figure 12

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Figure 13

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Figure 14

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Figure 15

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Figure 16

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Figure 17

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Figure 18

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Figure 19

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment deleting Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect providing more legible versions of Figures 1-19 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2548.24. Overload Protection.
Note     •     History

No overload protection will be required for drilling rigs using railroad locomotive power systems for the draw works, rotary table and mud pumps.
Note: In this electrical system, generators, generator power leads, and DC motors are automatically protected against overload by inherent characteristics of compound and differential field windings in the DC motor and generator, respectively.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2548.25. Wiring Methods.
Note     •     History

(a) Where drilling platforms are not enclosed around the drilling operation, all wiring and equipment within 25 feet of the casing of the well being drilled shall be of the type required for Class I, Division 2, or be installed in enclosed areas supplied with adequate ventilation. The electrical power supply to wiring and equipment within positive pressure ventilated areas shall be arranged to prevent energizing the electrical wiring and apparatus until air pressure has been established, for not less than 2 minutes, and arranged to automatically actuate an audible and visual alarm with a 5-minute shut-down time delay to allow safe operational shutdown prior to de-energizing the wiring and apparatus when the ventilation fails.
Enclosed areas supplied with positive pressure ventilation from a nonhazardous area shall be permitted to be classified as nonhazardous areas, provided no flammable vapor source exists within the enclosed areas.
(b) Special locomotive cables and other equivalent portable cables may be run in cable trays under the following conditions in all locations:
(1) Open cable trays may be run horizontally under floors or ceilings.
(2) In all locations, solid covers shall be installed on horizontal runs where persons or materials may accidentally contact the conductors.
(3) Vertical runs of trays shall be totally enclosed.
(4) Where the rig moves over a series of wellholes and a transverse section of cable tray drops trailing cables in a long fixed runway tray, cleats or other means shall be used to secure the cable against shifting in the moving section of the tray.
(5) For single hole setups onshore, cables may be buried in the earth or run in covered, wooden troughs between outdoor units of equipment. A substantial nominal 2-inch thick wooden cover, or equivalent, shall be installed over the trough.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2548.26. Lighting.
Note     •     History

Lighting systems for oil or gas well drilling rigs, production hoists, derricks or masts shall be permitted to be wired using an approved prefabricated assembly of flexible cables with vulcanized, molded or other approved terminating receptacle devices so designed that electric arcs will be confined within the receptacle enclosure which shall be of the concealed contact-type. The lighting fixture shall be of the type permitted for Class I, Division 1 Locations, or of the enclosed gasketed-type. Such assemblies shall be securely fastened to the drilling rig or hoist structure and so located that they will be protected from physical damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Amendment deleting Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 61. Class II Locations
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 61 (Sections 2542.1-2542.16) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 62. Class III Locations
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 62 (Sections 2543.1-2543.16) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 63. Hazardous (Classified) Locations Specific
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 63 (Sections 2544.1 and 2544.2) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 64. Commercial Garages, Repair and Storage
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 64 (Sections 2545.1-2545.8) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 65. Aircraft Hangars
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 65 (Sections 2546.1-2546.12) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 66. Gasoline Dispensing and Service Stations
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 66 (Sections 2547.1-2547.8) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 67. Bulk Storage Plants
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 67 (Sections 2548.1-2548.8) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 67.1. Oil and Gas Wells
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Article 67.1 (Sections 2548.21-2548.26) to Article 60 (Sections 2548.21-2548.26) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6). For prior history, see Register 78, No. 13.
Article 68. Finishing Processes
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 68 (Sections 2549.1-2549.8) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
Article 69. Places of Assembly
§2551.1. Scope.
Note     •     History

This Article covers all buildings or that part of a building or structure designed or intended for use by 100 or more persons for assembly purposes, such as dining, meetings, entertainment, lectures, bowling, worship, dancing or exhibition, and includes museums, gymnasiums, armories, group rooms, mortuaries, skating rinks, pool rooms, places of awaiting transportation, places for deliberation (court rooms), places for sporting events, and similar purposes.
When any such building structures or portion thereof contain a projection booth or stage platform or area for the presentation of theatrical or musical production, either fixed or portable, the wiring for that area shall comply with all applicable provisions of Article 70. (For methods of determining population capacity, see local building code or in its absence Life Safety Code (NFPA No. 101-1981). 
(Title 24, Part 3, Section 518-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2551.2. Other Articles.
Note     •     History

(a) Hazardous areas located in any assemblage occupancy shall be installed in accordance with Article 59.
(b) In exhibition halls used for display booths, as in trade shows, the temporary wiring shall be installed in accordance with Article 13, except that approved portable cables and cords shall be permitted to be laid on floors where protected from contact by the general public. 
(Title 24, Part 3, Section 518-2.)
(c) Control of emergency systems shall comply with Article 80, Emergency Systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. New subsection (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2551.3. Wiring Methods.
Note     •     History

The fixed wiring methods shall be metal raceways, nonmetallic raceways encased in not less than 2 inches of concrete. Type ALS cable, Type CS cable, mineral-insulated metal-sheathed cable, or Type MC cable. 

Exception: No. 1: Nonmetallic-sheathed cable, Type AC metal-clad cable, and rigid nonmetallic conduit shall be permitted to be installed in those buildings or portions thereof that are not required to be fire rated construction by the applicable building code. 

Exception: No. 2: As provided in Article 76, Sound Recording and Similar Equipment, and for communication circuits, remote control and signaling circuits, and for fire protective signaling circuits.
(Fire rated construction is the fire-resistive classification used in building codes.) 
(Title 24, Part 3, Section 518-3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 70. Theaters and Similar Locations
GENERAL
§2552.1. Scope.
Note     •     History

This Article covers all buildings or that part of a building or structure designed or intended to be used for dramatic, musical, motion picture projection, or similar purposes and to areas of motion picture and television studios which incorporate assembly areas. 
(Title 24, Part 3, Section 520-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.2. Motion Picture Projectors.
Note     •     History

Motion picture equipment and its installation and use shall comply with Article 72. 
(Title 24, Part 3, Section 520-2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45.)
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.3. Sound Reproduction.
Note     •     History

Sound reproducing equipment and its installation shall comply with Article 76. 
(Title 24, Part 3, Section 520-3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45.)
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
FIXED STAGE SWITCHBOARD
§2552.21. Dead Front.
Note     •     History

Stage switchboards shall be of the dead-front type.
(Title 24, Part 3, Section 520-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.22. Guarding Back of Switchboard.
Note     •     History

Stage switchboards having exposed live parts on the back of such boards shall be enclosed by the building walls, wire mesh grills, or by other methods approved for the purpose. The entrance to this enclosure shall be by means of a self-closing door.
(Title 24, Part 3, Section 520-22.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.47. Lamps in Scene Docks.
Note     •     History

Lamps installed in scene docks shall be so located and guarded as to be free from physical damage and shall provide an air space of not less than 2 inches between such lamps and any combustible material.
(Title 24, Part 3, Section 520-47.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
PORTABLE SWITCHBOARDS ON STAGE
§2552.51. Supply.
Note     •     History

Portable switchboards shall be supplied only from outlets of sufficient voltage and ampere rating. Such outlets shall include only externally operable, enclosed fused switches or circuit breakers mounted on stage or at the permanent switchboard in locations readily accessible from the stage floor. Provisions for connection of an equipment grounding conductor shall be provided. 
(Title 24, Part 3, Section 520-51.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.52. Overcurrent Protection.
Note     •     History

Circuits from portable switchboards directly supplying equipment containing incandescent lamps of not over 300 watts shall be protected by overcurrent devices having a rating or setting of not over 20 amperes. Circuits for lampholders over 300 watts shall be permitted where overcurrent protection complies with Article 10. Other circuits shall be provided with overcurrent devices with a rating or setting not higher than the current required for the connected load. 
(Title 24, Part 3, Section 520-52.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.53. Construction.
Note     •     History

Portable switchboards for use on stages shall comply with (a) through (j) below:
(a) Enclosure. Portable switchboards shall be placed within an enclosure of substantial construction, which shall be permitted to be so arranged that the enclosure is open during operation. Enclosures of wood shall be completely lined with sheet metal of not less than No. 24 MSG and shall be well galvanized, enameled, or otherwise properly coated to prevent corrosion or be of a corrosion-resistant material.
(b) Live Parts. There shall be no exposed live parts within the enclosure. 

Exception: For dimmer faceplates as provided in (e) below.
(c) Switches and Circuit Breakers. All switches and circuit breakers shall be of the externally operable, enclosed-type.
(d) Circuit Protection. Overcurrent devices shall be provided in each ungrounded conductor of every circuit supplied through the switchboard. Enclosures shall be provided for all overcurrent devices in addition to the switchboard enclosure.
(e) Dimmers. The terminals of dimmers shall be provided with enclosures, and dimmer faceplates shall be so arranged that accidental contact cannot be readily made with the faceplate contacts.
(f) Interior Conductors. All conductors within the switchboard enclosure shall be stranded and approved for an operating temperature of 200oC (392oF).
Each conductor shall have an ampacity at least equal to the rating of the circuit breaker, switch, or fuse which it supplies. 

Exception: Conductors for incandescent lamp circuits having overcurrent protection of not over 20 amperes.
Conductors shall be enclosed in metal wireways or be securely fastened in position and shall be bushed where they pass through metal.
(g) Pilot Light. A pilot light shall be provided within the enclosure and shall be so connected to the circuit supplying the board that the opening of the master switch will not cut off the supply to the lamp. This lamp shall be on an independent circuit having overcurrent protection rated or set at not over 15 amperes. 
(h) Supply Connections. The supply to a portable switchboard shall be by means of Type S, SO, ST, or STO flexible cord terminating within the switchboard enclosure or in an externally operable fused master switch or circuit breaker. The supply cable shall have sufficient ampacity to carry the total load connected to the switchboard and shall be protected by overcurrent devices. 

Exception: No. 1: Supply Conductors Not Over 10 Feet Long. In cases where supply conductors do not exceed 10 feet in length between supply and switchboard or supply and a subsequent overcurrent device, the ampacity of the supply conductors shall be at least one-quarter of the ampacity of the supply overcurrent protection device where all of the following conditions are met:
a. The supply conductors shall terminate in a single overcurrent protection device that will limit the load to the ampacity of the supply conductors. This single overcurrent device shall be permitted to supply additional overcurrent devices on its load side.
b. The supply conductors shall not penetrate walls, floors, or ceilings, or be run through doors or traffic areas. The supply conductors shall be adequately protected from physical damage.
c. The supply conductors shall be suitably terminated in an approved manner.
d. Conductors shall be continuous without splices or connectors.
e. Conductors shall not be bundled.
f. Conductors shall be supported above the floor in an approved manner. 

Exception: No. 2: Supply Conductors Not Over 20 Feet Long. In cases where supply conductors do not exceed 20 feet in length between supply and switchboard or supply and a subsequent overcurrent protection device, the ampacity of the supply conductors shall be at least one-half the rating of the supply overcurrent protection device where all of the following conditions are met:
a. The supply conductors shall terminate in a single overcurrent protection device that will limit the load to the ampacity of the supply conductors. This single overcurrent device shall be permitted to supply additional overcurrent devices on its load side.
b. The supply conductors shall not penetrate walls, floors, or ceilings, or be run through doors or traffic areas. The supply conductors shall be adequately protected from physical damage.
c. The supply conductors shall be suitably terminated in an approved manner.
d. The supply conductors shall be supported in an approved manner at least 7 feet above the floor except at terminations.
e. The supply conductors shall not be bundled.
f. Tap conductors shall be in unbroken lengths.
(i) Cable Arrangement. Cables shall be protected by bushings where they pass through enclosures and shall be so arranged that tension on the cable will not be transmitted to the connections.
(j) Terminals. Terminals to which stage cables are connected shall be so located as to permit convenient access to the terminals. 
(Title 24, Part 3, Section 520-53.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
STAGE EQUIPMENT--PORTABLE
§2552.61. Arc Lamps.
Note     •     History

Arc lamps shall be approved. 
(Title 24, Part 3, Section 520-61.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 3).
§2552.62. Portable Plugging Boxes.
Note     •     History

Portable plugging boxes shall comply with (a) through (d) below.
(a) Enclosure. The construction shall be such that no current-carrying part will be exposed.
(b) Receptacles and Overcurrent Protection. Each receptacle shall have a rating of not less than 30 amperes, and shall have overcurrent protection installed in an enclosure equipped with self-closing doors.
(c) Busbars and Terminals. Busbars shall have an ampacity equal to the sum of the ampere ratings of all the receptacles. Lugs shall be provided for the connection of the master cable.
(d) Flanged Surface Inlets. Flanged surface inlets (recessed plugs) that are used to accept the power shall be rated in amperes. 
(Title 24, Part 3, Section 520-62.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.63. Bracket Fixture Wiring.
Note     •     History

(a) Bracket Wiring. Brackets for use on scenery shall be wired internally, and the fixture stem shall be carried through to the back of the scenery where a bushing shall be placed on the end of the stem. 

Exception: Externally wired brackets or other fixtures shall be permitted where wired with cords designed for hard usage that extend through scenery and without joint or splice in canopy of fixture back and terminate in an approved type stage connector located, where practicable, within 18 inches of the fixture.
(b) Mounting. Fixtures shall be securely fastened in place.
(Title 24, Part 3, Section 520-63.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2552.64. Portable Strips.
Note     •     History

The supply cable shall be protected by bushings where it passes through metal and shall be so arranged that tension on the cable will not be transmitted to the connections. 
(Title 24, Part 3, Section 520-64.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.65. Festoons.
Note     •     History

Joints in festoon wiring shall be staggered where practicable. Lamps enclosed in lanterns or similar devices of combustible material shall be equipped with guards. 
(Title 24, Part 3, Section 520-65.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.66. Special Effects.
Note     •     History

Electrical devices used for simulating lightning, waterfalls, and the like shall be so constructed and located that flames, sparks, or hot particles cannot come in contact with combustible material. 
(Title 24, Part 3, Section 520-66.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.67. Cable Connectors.
Note     •     History

Cable connectors, male and female, for flexible conductors shall be so constructed that tension on the cord or cable will not be transmitted to the connections. The female half of the connector shall be attached to the load end of the power cord or cable. The connector shall be rated in amperes and designed so that differently rated devices cannot be connected together. (See Section 2500.10 for pull at terminals.)
(Title 24, Part 3, Section 520-67.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.68. Conductors for Portables.
Note     •     History

Flexible conductors used to supply portable stage equipment shall be Type S, SO, ST, or STO. 

Exception: Reinforced cord shall be permitted to supply stand lamps where the cord is not subject to severe physical damage and is protected by an overcurrent device rated at not over 20 amperes.
(Title 24, Part 3, Section 520-68.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
DRESSING ROOMS
§2552.71. Pendant Lampholders.
Note     •     History

Pendant lampholders shall not be installed in dressing rooms.
(Title 24, Part 3, Section 520-71.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2552.72. Lamp Guards.
Note     •     History

All incandescent lamps in dressing rooms, where less than 8 feet from the floor, shall be equipped with open-end guards riveted to the outlet box cover or otherwise sealed or locked in place. 
(Title 24, Part 3, Section 520-72.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 71. Motion-Picture Studios and Similar Locations
§2553.1. Scope.
Note     •     History

The requirements of this Article shall apply to television studios and motion picture studios using either film or electronic cameras (except as covered in Section 2552.1), and exchanges, factories, laboratories, stages, or a portion of the building in which motion-picture films more than 7/8-inch in width are manufactured, exposed, developed, printed, cut, edited, rewound, repaired, or stored.
Note: For methods of protecting against cellulose nitrate film hazards, see Standard for the Storage and Handling of Cellulose Nitrate Motion Picture Film (NFPA No. 40-1982).
(Title 24, Part 3, Section 530-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.12. Portable Wiring.
Note     •     History

The wiring for stage set lighting, stage effects, electric equipment used as stage properties, and other wiring not fixed as to location shall be done with approved flexible cords and cables. Splices or taps shall be permitted in flexible cords used to supply stage properties when such are made with approved devices and the circuit is protected at not more than 20 amperes. Such cables and cords shall not be fastened by staples or nailing.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.13. Stage Lighting and Effects Control.
Note     •     History

Switches used for studio stage set lighting and effects (on the stages and lots and on location) shall be of the externally operable type. Where contactors are used as the disconnecting means for fuses, an individual externally operable switch, such as a tumbler switch, for the control of each contactor shall be located at a distance of not more than 6 feet from the contactor, in addition to remote-control switches. 

Exception: A single externally operable switch shall be permitted to simultaneously disconnect all the contactors on any one location board, where located at a distance of not more than 6 feet from the location board.
(Title 24, Part 3, Section 530-13.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.14. Plugging Boxes.
Note     •     History

Each receptacle of plugging boxes shall be rated at not less than 30 amperes. 
(Title 24, Part 3, Section 530-14.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.15. Enclosing and Guarding Live Parts.
Note     •     History

(a) Live parts shall be enclosed or guarded to prevent accidental contact by persons and objects.
(b) All switches shall be of the externally operable type.
(c) Rheostats shall be placed in approved cases or cabinets that enclose all live parts, having only the operating handles exposed.
(d) Current-carrying parts of “bull-switches,” “location boards,” “spiders,” and plugging boxes shall be so enclosed, guarded, or located that persons cannot accidentally come into contact with them or bring conductive material into contact with them. 
(Title 24, Part 3, Section 530-15.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2553.16. Portable Lamps.
Note     •     History

Portable lamps and work lights shall be equipped with portable cords, composition or metal-sheathed porcelain sockets, and substantial guards. 

Exception: Portable lamps used as properties in a motion picture set or television stage set, on a studio stage or lot, or on location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.17. Portable Arc Lamps.
Note     •     History

Portable arc lamps shall be substantially constructed. The arc shall be provided with an enclosure designed to retain sparks and carbons and to prevent persons or materials from coming into contact with the arc or bare live parts. The enclosures shall be ventilated. All switches shall be of the externally operable type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.18. Overcurrent Protection--Short-Time Rating.
Note     •     History

Automatic overcurrent protective devices (circuit breakers or fuses) for motion picture studio stage set lighting and the stage cables for such stage set lighting shall be as given in (a) through (e) below.
Note: Special consideration is given to motion picture studios and similar locations because filming periods are of short duration.
(a) Stage Cables. Stage cables for stage set lighting shall be protected by means of overcurrent devices.
(b) Feeders. In buildings used primarily for motion picture production, the feeders from the substations to the stages shall be protected by means of overcurrent devices (generally located in the substation) having suitable ampere rating. The overcurrent devices shall be permitted to be multipole or single-pole gang-operated. No pole or overcurrent device shall be required in the neutral conductor. The overcurrent device setting for each feeder shall not exceed 400 percent of the ampacity of the feeder.
(c) Location Boards. Overcurrent protection (fuses or circuit breakers) shall be provided at the “location boards.” Fuses in the “location boards” shall have an ampere rating of not over 400 percent of the ampacity of the cables between the “location boards” and the plugging boxes.
(d) Plugging Boxes. Where plugging boxes are not provided with overcurrent devices, each cable or cord smaller than No. 8 supplied through a plugging box shall be attached to the plugging box by means of a plug containing two cartridge fuses or a circuit breaker. The rating of the fuses or the setting of the circuit breaker shall not be over 400 percent of the safe ampacity of the cables or cords. 
(e) Lighting. Work lights, stand lamps, and fixtures shall be connected to plugging boxes by means of plugs containing two cartridge fuses not larger than 20 amperes, or they shall be permitted to be connected to special outlets on circuits protected by fuses or circuit breakers rated at not over 0 amperes. Plug fuses shall not be used unless they are on the load side of the fuse or circuit breakers on the “location boards.” 
(Title 24, Part 3, Section 530-18.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (e) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.19. Sizing of Feeder Conductors for Television Studio Sets.
Note     •     History

(a) General. It shall be permissible to apply the demand factors listed in Table 2553.19(a) to that portion of the maximum possible connected load for studio or stage set lighting for all permanently installed feeders between substations and stages and to all permanently installed subfeeders between the main stage switchboard and stage distribution centers or location boards.

                                                   TABLE 2553.19(a)
                       DEMAND FACTORS FOR STAGE SET LIGHTING
Total Stage Set Lighting	Feeder Demand
Load (Wattage)	Factors
	
First 50,000 or less at	 100%
Next 50,001 to 100,000 at	  75%
Next 100,001 to 200,000 at	  60%
All over 200,000	  50%

(b) Portable Feeders. A demand factor of 50 percent of maximum possible connected load shall be permitted for all portable feeders.
(Title 24, Part 3, Section 530-19.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of Table 2553.19(a) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.20. Grounding.
Note     •     History

Metal-clad cable, metal raceways, and all noncurrent-carrying metal parts of appliances, devices, and equipment shall be grounded as specified in Article 11. This shall not apply to pendant and portable lamps, to stage lighting and stage sound equipment, nor to other portable or semiportable special stage equipment operating at not over 150 volts to ground.
(Title 24, Part 3, Section 530-20.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
VIEWING, CUTTING, AND PATCHING TABLES
§2553.41. Lamps at Tables.
Note     •     History

Only composition or metal-sheathed, porcelain, keyless lampholders equipped with suitable means to guard lamps from physical damage and from film and film scrap shall be used at patching, viewing, and cutting tables.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
FILM STORAGE VAULTS
§2553.51. Lamps in Cellulose Nitrate Film Storage Vaults.
Note     •     History

Lamps in cellulose nitrate film storage vaults shall be rigid fixtures of the glass enclosed and gasketed type. Lamps shall be controlled by a switch having a pole in each ungrounded conductor. This switch shall be located outside of the vault and provided with a pilot light to indicate whether the switch is on or off. This switch shall disconnect from all sources of supply all ungrounded conductors terminating in any outlet in the vault. 
(Title 24, Part 3, Section 530-51.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.52. Motors and Other Equipment in Cellulose Nitrate Film Storage Vaults.
Note     •     History

No receptacles, outlets, electric motors, heaters, portable lights, or other portable electric equipment shall be located in film storage vaults.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
SUBSTATIONS
§2553.64. Working Space and Guarding.
Note     •     History

Working space and guarding in permanent fixed substations shall comply with Section 2340.16 and 2340.17. 

Exception: Switchboards of not over 250 volts DC between conductors, when located in substations or switchboard rooms accessible to qualified persons only, shall not be required to be dead-front.
(Title 24, Part 3, Section 530-64.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.65. Portable Substations.
Note     •     History

Wiring and equipment in portable substations shall conform to the sections applying to installations in permanent fixed substations; but, due to the limited space available, the working spaces shall be permitted to be reduced, provided that the equipment shall be so arranged that the operator can do his work safely, and so that other persons in the vicinity cannot accidentally come into contact with current-carrying parts or bring conducting objects into contact with them while they are energized.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Cod.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2553.66. Grounding at Substations.
Note     •     History

Noncurrent-carrying metal parts shall be grounded. 

Exception: Frames of DC circuit breakers installed on switchboards.
(Title 24, Part 3, Section 530-66.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
Article 72. Motion Picture Projectors
GENERAL
§2554.1. Scope.
Note     •     History

This article covers motion picture projectors and associated equipment of the professional and nonprofessional types.
For further information, see Storage and Handling of Cellulose Nitrate Motion Picture Film (NFPA No. 40-1982).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
EQUIPMENT AND PROJECTORS OF THE PROFESSIONAL TYPE
§2554.2. Professional Projector--Definition.
Note     •     History

The professional projector is a type employing 35- or 70-millimeter film which has a minimum width of 1 3/8 inches (35 mm) and has on each edge 5.4 perforations per inch, or a type using carbon arc, Xenon, or other light source equipment which develops hazardous gases, dust, or radiation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2554.10 to Section 2554.2 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For history of former section, see Register 83, No. 45.
§2554.10. Location of Equipment.
Note     •     History

Motor generator sets, transformers, rectifiers, rheostats, and similar equipment for the supply or control of current to arc lamps on projectors shall, if practicable, be located in separate rooms. Where placed in the projector room, they shall be so located or guarded that arcs or sparks cannot come in contact with film, and motor generator sets shall have the commutator end or ends protected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2554.10 to Section 2554.2, and renumbering and amendment of former Section 2554.17 to Section 2554.10 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For history of former section, see Register 83, No. 45.
§2554.11. Equipment Prohibited.
Note     •     History

Switches, overcurrent devices, or other equipment not normally required or used for projectors, sound reproduction, flood, or other special effect lamps or other equipment shall not be installed in such booths or rooms. 

Exception: Remote control switches for the control of auditorium lights or a switch for the motor operating the curtain at the motion picture screen.
(Title 24, Part 3, Section 540-11(b) without Exception 2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2554.19 to Section 2554.11 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For history of former section, see Register 83, No. 45.
§2554.12. Motor-Driven Projectors.
Note     •     History

Motor-driven projectors shall be approved for the purpose as an assembly or shall comply with all of the following conditions:
(a) A listed projector shall be used.
(b) A listed projector lamp shall be used.
(c) Motors shall be so designed or guarded as to prevent ignition of film by sparks or arcs.
(d) Projectors shall be in charge of a qualified operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code, and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (c) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.13. Conductors Size.
Note     •     History

Conductors supplying outlets for arc projectors of the professional type shall not be smaller than No. 8 and shall be of sufficient size for the projector employed. 
(Title 24, Part 3, Section 540-13.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.14. Conductors on Lamps and Hot Equipment.
Note     •     History

Insulated conductors having a maximum operating temperature of 200oC (392oF) shall be used on all lamps or other equipment where the ambient temperature at the conductors as installed will exceed 50oC (122oF).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.15. Flexible Cords.
Note     •     History

Cords approved for hard service shall be used on portable equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.16. Lamp Guards.
Note     •     History

Incandescent lamps in projection rooms or booths shall be provided with an approved lamp guard unless otherwise protected by noncombustible shades or other enclosures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No 37).
§2554.17. Location of Equipment.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of Section 2554.17 to Section 2554.10 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.19. Equipment Prohibited.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of Section 2554.19 to Section 2554.11 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.20. Approval.
Note     •     History

Projectors and enclosures for arc, Xenon and incandescent lamps and rectifiers, transformers, rheostats and similar equipment shall be approved. 
(Title 24, Part 3, Section 540-20.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.21. Marking.
Note     •     History

Projectors and other equipment as set forth in Section 2554.20 shall be marked with the name or trademark of the maker and with the voltage and current for which they are designed. 
(Title 24, Part 3, Section 540-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
EQUIPMENT AND PROJECTORS OF THE  NONPROFESSIONAL TYPE
§2554.30. Nonprofessional Projector--Definition.
Note     •     History

The nonprofessional projector is a type employing film other than that used on professional-type projectors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.31. Booth Not Required.
Note     •     History

Projectors of the nonprofessional or miniature type, when employing only approved slow-burning (cellulose acetate or equivalent) film, shall be permitted to be operated without a booth.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.32. Approval.
Note     •     History

Projectors, lamp enclosures, and current-controlling devices and similar devices shall be listed as component parts of the projector equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.33. Source of Illumination.
Note     •     History

The source of illumination shall be a lamp or a type listed for stereopticon use or for motion picture projection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.34. Marking.
Note     •     History

(a) Projectors shall be marked with:
(1) The name or trademark of the maker;
(2) The current and voltage for which they are designed; and
(3) For projectors of this type using the standard 35-millimeter film, the wording “For use with slow-burning films only.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2554.35. Nonprofessional Film Marking.
Note     •     History

The slow-burning (cellulose acetate or equivalent) film shall have a permanent distinctive marker for its entire length identifying the manufacturer and the slow-burning character of the film stock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
3. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
SOUND RECORDING AND REPRODUCTION
§2554.50. Sound Recording and Reproduction.
Note     •     History

Sound recording and reproduction equipment shall comply with Article 76.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 73. Electric Signs and Outline Lighting
§2560.2. Disconnecting Means.
Note     •     History

(a) Each sign and outline lighting system, or feeder circuit or branch circuit supplying a sign or outline lighting system, shall be controlled by an externally operable switch or circuit breaker that will open all ungrounded conductors. 

Exceptions:  

1. A disconnecting means is not required for an exit directional sign located within a building.

2. A disconnecting means is not required for cord-connected signs with an attachment plug.
(b) Each outline lighting installation, and each sign of other than the portable type, shall be controlled by an externally operable switch or breaker which will open all ungrounded conductors.
The disconnecting means shall be within sight of the sign or outline lighting which it controls. 

Exception: Signs operated by electronic or electromechanical controllers located external to the sign shall have a disconnecting means located within sight from the controller location. The disconnecting means shall disconnect the sign and the controller from all ungrounded supply conductors and shall be so designed that no pole can be operated independently. The disconnecting means shall be permitted to be in the same enclosure with the controller. The disconnecting means shall be capable of being locked in the “open” position.
(c) For installations built on or after May 5, 2008 signs and outline lighting systems located within fountains shall have the disconnect located at least 5.0 feet (1.52 m) from the inside walls of the fountain.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Repealer of subheading and amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2560.3. Location.
Note     •     History

(a) The disconnecting means shall be within sight of the sign or outline lighting system that it controls. Where the disconnecting means is out of the line of sight from any section that may be energized, the disconnecting means shall be capable of being locked in the open position.
(b) Signs or outline lighting systems operated by electronic or electromechanical controllers located external to the sign or outline lighting system may have a disconnecting means located within sight of the controller or in the same enclosure with the controller. The disconnecting means shall disconnect the sign or outline lighting system and the controller from all ungrounded supply conductors. It shall be designed so no pole can be operated independently and shall be capable of being locked in the open position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2560.10. Clearances.
Note     •     History

(a) Vertical and Horizontal. Signs and outline system enclosures shall have not less than the vertical and horizontal clearances from open conductors specified in the following table: 

                                            TABLE 2560.10
                                            CLEARANCES
	
Vertical clearance above all signs upon which persons can walk	 8 feet
Vertical clearance above all signs upon which persons cannot walk	 3 feet
Vertical clearance under signs	 3 feet
Horizontal clearance from signs	 3 feet
	
(Title 24, Part 3, Section 3-600-10(a).)
(b) Elevation. The bottom of sign and outline lighting enclosures shall not be less than 16 feet above areas accessible to vehicles. 

Exception: The bottom of such enclosures may be less than 16 feet above areas accessible to vehicles where such enclosures are protected from physical damage.
(Title 24, Part 3, Section 600-10(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (a) filed 11-3-83 (Register 83, No. 45).
Article 74. Cranes and Hoists
§2561.1. Scope.
Note     •     History

This Article applies to the installation of electric equipment and wiring used in connection with cranes, monorail hoists, hoists, and all runways.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 74 (Sections 2561.1-2561.55 not consecutive) and new Article 74 (Sections 2561.1-2561.55, not consecutive) filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
2. Amendment filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2561.2. Special Requirements for Particular Locations.
Note     •     History

Combustible Materials. Where a crane or hoist operates over readily combustible material, the resistors shall be placed in a well ventilated cabinet composed of noncombustible material so constructed that it will not emit flames or molten metal. 

Exception: Resistors shall be permitted to be located in a cage or cab constructed of noncombustible material which encloses the sides of the cage or cab from the floor to a point at least 6 inches above the top of the resistors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2561.3. Clearance.
Note     •     History

(a) On every new installation, major replacement, modification or repair made after March 15, 1972, the dimension of the working space in the direction of access to energized parts which may require examination, adjustment, servicing, or maintenance while energized shall be a minimum of 2.5 feet (762 mm). Where controls are enclosed in cabinets, the doors shall either open at least 90 degrees or be removable.

Note: For the purpose of this section, a major replacement, modification, or repair shall mean 50 percent or more of the current replacement value of the crane or hoist.
(b) On floor operated overhead cranes a suitable work platform with means of access shall be provided, attached to the building structure, or on the overhead crane bridge, giving ready and safe access to electrical control cabinets for service, maintenance or repair. 

Exception: Floor operated porta-lift type platforms, rolling scaffolds or similar type platforms may be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting Title 24 cross reference filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2561.7. Lifting Magnets.
Note

All cranes using a lifting magnet shall have a magnet circuit switch of the enclosed type with provision for locking in the “open” position. A separate means for discharging the inductive load of the magnet shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2561.8. Remote Control Circuits.
Note     •     History

Switching devices shall not be placed in the grounded conductor of remote control circuits. 
(Title 24, Part 3, Section 3-610-16.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2561.11. Wiring Method.
Note     •     History

Conductors shall be enclosed in a raceway or shall be Type MC or MI cable. 

Exception: No. 1: Contact conductors so located or arranged that persons cannot inadvertently touch energized parts or bring conducting material into contact with them. 

Exception: No. 2: Short lengths of open conductors at resistors, collectors, DC motors and other equipment so located or arranged that persons cannot inadvertently touch energized parts or bring conducting material into contact with them.

Exception: No. 3: Where flexibility is necessary, multi-conductor cable may be used. 

Exception: No. 4: Where multi-conductor cable is used with a suspended push button station, the station shall be supported in some suitable manner that protects the electrical connections against strain.
(Title 24, Part 3, Section 610-11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2561.31. Runway Conductor Disconnecting Means.
Note     •     History

(a) A disconnecting means shall be provided between the runway contact conductors and the power supply. Such disconnecting means shall consist of a motor-circuit switch, circuit breaker, or molded case switch. The disconnecting means shall open all ungrounded conductors simultaneously and shall be:
(1) Readily accessible and operable from the ground or floor level;
(2) Arranged to be locked in the open position; and
(3) Placed within view of the runway contact conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section heading, section and Note filed 8-25-2003; operative 9-24-2003 (Register 2003, No. 35).
4. Amendment of section heading and repealer and new section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2561.32. Disconnecting Means for Cranes and Monorail Hoists.
Note     •     History

(a) A motor-circuit switch, molded case switch, or circuit breaker shall be provided in the leads from the runway contact conductors or other power supply on all cranes and monorail hoists.

Exception: The disconnecting means may be omitted where a monorail hoist or hand-propelled crane bridge installation meets all of the following conditions:

(1) The unit is controlled from the ground or floor level;

(2) The unit is within view of the power supply disconnecting means; and

(3) No fixed work platform has been provided for servicing the unit.
(b) The disconnecting means shall be capable of being locked in the open position.
(c) Means shall be provided at the operating station to open the power circuit to all motors of the crane or monorail hoist where the disconnecting means is not readily accessible from the crane or monorail hoist operating station.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Editorial correction of printing error in Exception 3 (Register 94, No. 26).
4. Amendment of section and Note filed 8-25-2003; operative 9-24-2003 (Register 2003, No. 35).
5. Amendment of section heading and repealer and new section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2561.50. Controls. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsections (h) and (i) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Repealer of section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2561.51. Separate Controls.
Note     •     History

Each motor shall be provided with an individual controller. 

Exception: No. 1: Where two or more motors drive a single hoist, carriage, truck, or bridge, they shall be permitted to be controlled by a single controller. 

Exception: No. 2: One controller shall be permitted to be switched between motors provided:
(a) The controller's horsepower rating is not lower than the horsepower rating of the largest motor.
(b) Only one motor is operated at one time.
(Title 24, Part 3, Section 610-51.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2561.55. Limit Switch.
Note     •     History

A limit switch or other device shall be provided to prevent the load block from passing the safe upper limit of travel of any hoisting mechanism.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
Article 74.1. Elevators, Dumbwaiters, Escalators, Moving Walks, Wheelchair Lifts, and Stairway Chair Lifts
§2562.1. Scope.
Note     •     History

The following requirements apply to elevators, dumbwaiters, escalators, moving walks, wheelchair lifts, and stairway chair lifts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 74.1 (sections 2562.1-2562.7) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.2. Disconnecting Means.
Note     •     History

Elevators, dumbwaiters, escalators, moving walks, wheelchair lifts, and stairway chair lifts shall have a single means for disconnecting all ungrounded main power supply conductors for each unit. 
(a) Control Panels. Control panels not located in the same space as the drive machine shall be located in cabinets with doors or panels capable of being locked closed.
(b) Type. The disconnecting means shall be an enclosed externally operable fused motor circuit switch or circuit breaker capable of being locked in the open position. The disconnecting means shall be a listed device.
(c) Operation. For installations built on or after May 5, 2008 no provision may be made to open or close this disconnecting means from any other part of the premises. If sprinklers are installed in hoistways, machine rooms, or machinery spaces, the disconnecting means may automatically open the power supply to the affected elevators prior to the application of water. No provision may be made to close this disconnecting means automatically (that is, power may only be restored by manual means).
(d) Location. For installations built on or after May 5, 2008 the disconnecting means shall be located where it is readily accessible to qualified persons.
(1) Elevators Without Generator Field Control. On elevators without generator field control, the disconnecting means shall be located within sight of the motor controller. Driving machines or motion and operation controllers not within sight of the disconnecting means shall be provided with a manually operated switch installed in the control circuit adjacent to the equipment in order to prevent starting. Where the driving machine is located in a remote machinery space, a single disconnecting means for disconnecting all ungrounded main power supply conductors shall be provided and be capable of being locked in the open position.
(2) Elevators With Generator Field Control. On elevators with generator field control, the disconnecting means shall be located within sight of the motor controller for the driving motor of the motor-generator set. Driving machines, motor-generator sets, or motion and operation controllers not within sight of the disconnecting means shall be provided with a manually operated switch installed in the control circuit to prevent starting. The manually operated switch shall be installed adjacent to this equipment. Where the driving machine or the motor-generator set is located in a remote machinery space, a single means for disconnecting all ungrounded main power supply conductors shall be provided and be capable of being locked in the open position.
(3) Escalators And Moving Walks. On escalators and moving walks, the disconnecting means shall be installed in the space where the controller is located.
(4) Wheelchair Lifts And Stairway Chair Lifts. On wheelchair lifts and stairway chair lifts, the disconnecting means shall be located within sight of the motor controller.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.3. Identification and Signs.
Note     •     History

For installations built on or after May 5, 2008:
(a) Where there is more than one driving machine in a machine room, the disconnecting means shall be numbered to correspond to the identifying number of the driving machine that they control.
(b) The disconnecting means shall be provided with a sign to identify the location of the supply-side overcurrent protective device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.4. Single-Car and Multicar Installations.
Note     •     History

For installations built on or after May 5, 2008 on single-car and multicar installations, equipment receiving electrical power from more than one source shall be provided with a disconnecting means for each source of electrical power. The disconnecting means shall be within sight of the equipment served.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.5. Warning Sign for Multiple Disconnecting Means.
Note     •     History

A warning sign shall be mounted on or next to the disconnecting means where multiple disconnecting means are used and parts of the controllers remain energized from a source other than the one disconnected. The sign shall be clearly legible and shall read: “WARNING--PARTS OF THE CONTROLLER ARE NOT DEENERGIZED BY THIS SWITCH.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.6. Interconnection Between Multicar Controllers.
Note     •     History

A warning sign worded as required in Section 2562.5 shall be mounted on or next to the disconnecting means where interconnections between controllers are necessary for the operation of the system on multicar installations that remain energized from a source other than the one disconnected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2562.7. Motor Controllers.
Note     •     History

Motor controllers may be located outside the spaces otherwise required by this Article, provided they are in enclosures with doors or removable panels capable of being locked closed and the disconnecting means is located adjacent to or is an integral part of the motor controller. Motor controller enclosures for escalators or moving walks may be located in the balustrade on the side located away from the moving steps or moving treadway. If the disconnecting means is an integral part of the motor controller, it shall be operable without opening the enclosure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 75. Electric Welders
§2563.22. Overcurrent Protection.
Note     •     History

Overcurrent protection for motor generator arc welders shall be as provided in (a) below. Where the nearest standard rating of the overcurrent device used is under the value specified in this Section, or where the rating or setting specified results in unnecessary opening of the overcurrent device, the next higher rating or setting shall be permitted.
(a) Each welder shall have overcurrent protection rated or set at not more than 200 percent of the rated primary current of the welder. 

Exception: An overcurrent device shall not be required for a welder having supply conductors protected by an overcurrent device rated or set at not more than 200 percent of the rated primary current of the welder.
(Title 24, Part 3, Section 630-22.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (a) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2563.23. Disconnecting Means--Arc Welders.
Note     •     History

(a) A disconnecting means shall be provided in the supply circuit for each arc welder that is not equipped with a disconnect mounted as an integral part of the welder. The disconnecting means shall be a switch or circuit breaker, and its rating shall not be less than that necessary to accommodate overcurrent protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2563.33. Disconnecting Means--Resistance Welders.
Note     •     History

(a) A switch or circuit breaker shall be provided by which each resistance welder and its control equipment can be disconnected from the supply circuit. The ampere rating of this disconnecting means may not be less than the supply conductor ampacity. The supply circuit switch may be used as the welder disconnecting means where the circuit supplies only one welder. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 76. Sound Recording and Similar Equipment
§2564.1. Scope.
Note     •     History

This Article covers equipment and wiring for sound recording and reproduction, centralized distribution of sound, public address, speech-input systems, and electronic organs. 
(Title 24, Part 3, Section 640-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2564.6. Grouping of Conductors.
Note     •     History

Conductors of different systems grouped in the same conduit or other metal enclosure or in portable cords or cables shall comply with (a) through (c) below.
(a) Power-Supply Conductors. Power-supply conductors shall be properly identified and shall be used solely for supplying power to the equipment to which the other conductors are connected.
(b) Leads to Motor Generator or Rotary Converter. Input leads to a motor generator or rotary converter shall be run separately from the output leads.
(c) Conductor Insulation. The conductors shall be insulated individually, or collectively in groups, by insulation at least equivalent to that on the power supply and other conductors. 

Exception: Where the power supply and other conductors are separated by a lead sheath or other continuous metallic covering.
(Title 24, Part 3, Section 640-6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
Article 77. Information Technology Equipment
§2565.1. Disconnecting Means. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
3. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of article heading filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2565.2. Supply Circuits and Interconnecting Cables.
Note     •     History

(a) Branch-Circuit Conductors. The branch-circuit conductors to which one or more units of a data processing system are connected to a source of supply shall have an ampacity not less than 125 percent of the total connected load.
(b) Connecting Cables. The data processing system shall be permitted to be connected by means of computer or data processing cable or flexible cord and an attachment plug cap or cord-set assembly specifically approved as a part of the data processing system. Separate units shall be permitted to be interconnected by means of flexible cords and cables specifically approved as part of the data processing system. When run on the surface of the floor, they shall be protected against physical damage.
(c) Under Raised Floors. Power cables, communications cables and interconnecting cables associated with the data processing equipment shall be permitted under a raised floor provided:
(1) The raised floor is of suitable construction.
(2) The branch-circuit supply conductors to receptacles are in rigid metal conduit, intermediate metal conduit, electrical metallic tubing, metal wireway, metal surface raceway with metal cover, flexible metal conduit, liquidtight flexible metal conduit, mineral-insulated, metal-sheathed cable, metal-clad cable, or Type AC cable.
(3) Ventilation in the underfloor area is used for the data processing equipment and data processing area only.
(Title 24, Part 3, Section 645.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45)
3. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Editorial correction redesignating erroneous subsection (e) as subsection (c)(3) (Register 2008, No. 29).
§2565.3. Disconnecting Means.
Note     •     History

(a) A disconnecting means shall be provided to disconnect the power to all electronic equipment in an information technology equipment room. There shall also be a similar means to disconnect the power to all dedicated heating, ventilating and air conditioning (HVAC) systems serving the room and to cause all required fire/smoke dampers to close.

Exception: Integrated electrical systems covered by Article 89 need not have the disconnecting means required by this section. 
(b) Grouping. The control for these disconnecting means shall be grouped and identified and shall be readily accessible at the principal exit doors. A single means to control both the electronic equipment and HVAC system is permitted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 77.1. X-Ray Equipment
§2566.1. Scope.
Note     •     History

This Article applies to X-ray equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 77.1 (sections 2566.1-2566.3) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2566.2. Disconnecting Means.
Note     •     History

(a) A disconnecting means shall be provided in the supply circuit. The disconnecting means shall be operable from a location readily accessible from the X-ray control. For equipment connected to a 120-volt branch circuit of 30 amperes or less, a grounding-type attachment plug cap and receptacle of proper rating may serve as a disconnecting means.
(b) If more than one piece of equipment is operated from the same high-voltage circuit, each piece or each group of equipment as a unit shall be provided with a high-voltage switch or equivalent disconnecting means. The disconnecting means shall be constructed, enclosed, or located so as to avoid contact by employees with its live parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2566.3. Control.
Note     •     History

The following requirements apply to industrial and commercial laboratory equipment.
(a) Radiographic and fluoroscopic-type equipment shall be effectively enclosed or shall have interlocks that deenergize the equipment automatically to prevent ready access to live current-carrying parts.
(b) Diffraction- and irradiation-type equipment shall have a pilot light, readable meter deflection, or equivalent means to indicate when the equipment is energized, unless the equipment or installation is effectively enclosed or is provided with interlocks to prevent access to live current-carrying parts during operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 77.2. Induction and Dielectric Heating Equipment
§2567.1. Scope.
Note     •     History

This Article applies to induction and dielectric heating equipment and accessories for industrial and scientific applications, but not for medical or dental applications or for appliances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 77.2 (sections 2567.1-2567.3) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2567.2. Guarding and Grounding.
Note     •     History

(a) The converting apparatus (including the dc line) and high-frequency electric circuits (excluding the output circuits and remote-control circuits) shall be completely contained within enclosures of noncombustible material.
(b) All panel controls shall be of dead-front construction.
(c) Doors or detachable panels shall be employed for internal access. Where doors are used giving access to voltages from 500 to 600 volts ac or dc, either door locks shall be provided or interlocks shall be installed. Detachable panels not normally used for access to such parts shall be fastened in a manner that will make them difficult to remove (for example, by requiring the use of tools).
(d) Warning labels or signs that read “DANGER--HIGH VOLTAGE--KEEP OUT” shall be attached to the equipment and shall be plainly visible where persons might contact energized parts when doors are opened or closed or when panels are removed from compartments containing over 250 volts ac or dc.
(e) Induction and dielectric heating equipment shall be protected as follows:
(1) Protective cages or adequate shielding shall be used to guard work applicators other than induction heating coils.
(2) Induction heating coils shall be protected by insulation or refractory materials or both.
(3) Interlock switches shall be used on all hinged access doors, sliding panels, or other such means of access to the applicator, unless the applicator is an induction heating coil at dc ground potential or operating at less than 150 volts ac.
(4) Interlock switches shall be connected in such a manner as to remove all power from the applicator when any one of the access doors or panels is open.
(f) A readily accessible disconnecting means shall be provided by which each heating equipment can be isolated from its supply circuit. The ampere rating of this disconnecting means shall not be less than the nameplate current rating of the equipment. The supply circuit disconnecting means is permitted as a heating equipment disconnecting means where the circuit supplies only one piece of equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2567.3. Remote Control.
Note     •     History

(a) If remote controls are used for applying power, a selector switch shall be provided and interlocked to provide power from only one control point at a time.
(b) Switches operated by foot pressure shall be provided with a shield over the contact button to avoid accidental closing of the switch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 78. Electrically Driven or Controlled Irrigation Machines
GENERAL
§2568.2. Definitions.
Note     •     History

Irrigation Machines. An irrigation machine is an electrically driven or controlled machine, with one or more motors, not hand portable, and used primarily to transport and distribute water for agricultural purposes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register86, No. 37).
§2568.4. Irrigation Cable.
Note     •     History

(a) Supports. Irrigation cable shall be secured by approved straps, hangers or similar fittings so designed and installed as not to injure the cable. Cable shall be supported at intervals not exceeding 4 feet.
(b) Fittings. Fittings shall be used at all points where irrigation cable terminates. The fittings shall be designed for use with the cable and shall be suitable for the conditions of service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (b) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2568.8. Disconnecting Means.
Note     •     History

(a) The main disconnecting means for a center pivot irrigation machine shall be located at the point of connection of electrical power to the machine or shall be visible and not more than 50 feet (15.2 m) from the machine.
(b) The disconnecting means shall be readily accessible and capable of being locked in the open position. 
(c) A disconnecting means shall be provided for each motor and controller. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 2568.8 to Section 2568.12, and new Section 2568.8 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). For prior history, see Register 83, No. 45.
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2568.12. Grounding.
Note     •     History

The following equipment shall be grounded:
(a) All electrical equipment on the irrigation machine.
(b) All electrical equipment associated with the irrigation machine.
(c) Metallic junction boxes and enclosures.
(d) Control panels or control equipment that supply or control electrical equipment to the irrigation machine. 
EXCEPTION: Grounding shall not be required on machines where all of the following provisions are met:
(1) The machine is electrically controlled but not electrically driven.
(2) The control voltage is 30 volts or less.
(3) The control or signal circuits are current limited.
(Title 24, Part 3, Section 675-12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2568.12 to Section 2568.16, and renumbering and amendment of former Section 2568.8 to Section 2568.12 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2568.15. Lightning Protection.
Note     •     History

If an irrigation machine has a stationary point, a grounding electrode system shall be connected to the machine at the stationary point for lightning protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2568.16. Energy from More Than One Source.
Note     •     History

Equipment within an enclosure receiving electrical energy from more than one source shall not be required to have a disconnecting means for the additional source, provided that its voltage is 30 volts or less. 
(Title 24, Part 3, Section 675-16).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 2568.12 to Section 2568.16 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2568.23. Disconnecting Means.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
Article 79. Swimming Pools, Fountains and Similar Installations
GENERAL
§2569.1. Scope.
Note     •     History

The provisions of this Article apply to electric wiring for and equipment in or adjacent to all swimming, wading, therapeutic, and decorative pools and fountains, and hydro-massage bathtubs, whether permanently installed or storable, and to metallic auxiliary equipment, such as pumps, filters, and similar equipment. Therapeutic pools in health care facilities are exempt from these provisions. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2569.5. Receptacles.
Note     •     History

(a) Receptacles. A single receptacle of the locking and grounding type that provides power for a permanently installed swimming pool recirculating pump motor may be located not less than 5 feet (1.52 m) from the inside walls of a pool. All other receptacles on the property shall be located at least 10 feet (3.05 m) from the inside walls of a pool. 
(b) Receptacles which are located within 15 feet (4.57 m) or 20 feet (6.08 m) if the installation was built after May 5, 2008, of the inside walls of the pool shall be protected by ground-fault circuit interrupters. 
(c) For installations built on or after May 5, 2008 where a pool is installed permanently at a dwelling unit, at least one 125-volt, 15- or 20-ampere receptacle on a general-purpose branch circuit shall be located a minimum of 10 feet (3.05 m) and not more than 20 feet (6.08 m) from the inside wall of the pool. This receptacle shall be located not more than 6.5 feet (1.98 m) above the floor, platform, or grade level serving the pool.

NOTE: In determining these dimensions, the distance to be measured is the shortest path the supply cord of an appliance connected to the receptacle would follow without piercing a floor, wall, or ceiling of a building or other effective permanent barrier.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2569.6. Lighting Fixtures, Lighting Outlets, and Ceiling Suspended (Paddle) Fans.
Note     •     History

(a) In outdoor pool areas, lighting fixtures, lighting outlets, and ceiling-suspended (paddle) fans may not be installed over the pool or over the area extending 5 feet (1.52 m) horizontally from the inside walls of a pool unless no part of the lighting fixture of a ceiling-suspended (paddle) fan is less than 12 feet (3.66 m) above the maximum water level. However, a lighting fixture or lighting outlet that was installed before April 16, 1981, may be located less than 5 feet (1.52 m) measured horizontally from the inside walls of a pool if it is at least 5 feet (1.52 m) above the surface of the maximum water level and is rigidly attached to the existing structure. It shall also be protected by a ground-fault circuit interrupter installed in the branch circuit supplying the fixture.
(b) Lighting fixtures and lighting outlets installed in the area extending between 5 feet (1.52 m) and 10 feet (3.05 m) horizontally from the inside walls of a pool shall be protected by a ground-fault circuit interrupter unless installed 5 feet (1.52 m) above the maximum water level and rigidly attached to the structure adjacent to or enclosing the pool. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment of section heading, repealer and new section and amendment of Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2569.7. Cord- and Plug-Connected Equipment.
Note     •     History

(a) Flexible cords used with the following equipment may not exceed 3 feet (0.9 m) in length and shall have a copper equipment grounding conductor with a grounding-type attachment plug.
(1) Cord- and plug-connected lighting fixtures installed within 16 feet (4.88 m) of the water surface of permanently installed pools.
(2) Other cord- and plug-connected, fixed or stationary equipment used with permanently installed pools.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
PERMANENTLY INSTALLED POOLS
§2569.20. Underwater Equipment.
Note     •     History

(a) A ground-fault circuit interrupter shall be installed in the branch circuit supplying underwater fixtures operating at more than 15 volts. Equipment installed underwater shall be identified for the purpose.
(b) No underwater lighting fixtures may be installed for operation at over 150 volts between conductors.
(c) A lighting fixture facing upward shall have the lens adequately guarded to prevent contact by any person. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
2. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
STORABLE POOLS
§2569.30. Pumps.
Note     •     History

A cord-connected swimming pool filter pump shall incorporate an approved system of double insulation or its equivalent, and shall be provided with means of grounding only the internal and nonaccessible noncurrent-carrying metal parts of the appliance.
The means for grounding shall be an equipment grounding conductor run with the power-supply conductors in the flexible cord that is properly terminated in a grounding-type attachment plug having a fixed grounding contact member.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2569.31. Ground-Fault Circuit Interrupters Required.
Note     •     History

All electric equipment, including power-supply cords, used with storable swimming pools shall be protected by ground-fault circuit interrupters. 
(Title 24, Part 3, Section 680-31.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment deleting subsection (a) designation only filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
FOUNTAINS
§2569.51. Fountains.
Note     •     History

All electric equipment, including power supply cords, operating at more than 15 volts, and used with fountains shall be protected by ground-fault circuit interrupters. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
2. Amendment of section heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 80. Emergency Power Systems
§2571.1. Scope.
Note     •     History

The provisions for emergency power systems apply to circuits, systems, and equipment intended to supply power for illumination and special loads, in the event of failure of the normal supply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer and new section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Amendment of article heading, section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2571.4. Tests and Maintenance.
Note     •     History

(a) Systems shall be tested periodically on a schedule acceptable to the authority having jurisdiction to assure their maintenance in proper operating condition.
(b) Where battery systems or unit equipments are involved, including batteries used for starting or ignition in auxiliary engines, the authority having jurisdiction shall require periodic maintenance.
(c) A written record shall be kept of such tests and maintenance.
(d) Means for testing all emergency lighting and power systems during maximum anticipated load conditions shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of subsection (d) filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2571.9. Wiring Methods.
Note     •     History

Emergency circuit wiring shall be kept entirely independent of all other wiring and equipment and may not enter the same raceway, cable, box, or cabinet or other wiring except either where common circuit elements suitable for the purpose are required, or for transferring power from the normal to the emergency source.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2571.14. Emergency Illumination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2571.16. Emergency Illumination.
Note     •     History

(a) Emergency illumination shall include all required means of egress lighting, illuminated exit signs, and all other lights necessary to provide illumination.
(b) Where emergency lighting is necessary, the system shall be so arranged that the failure of any individual lighting element, such as the burning out of a light bulb, cannot leave any space in total darkness. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Amendment of section and Note filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2571.19. Switch Location. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of Section 2571.19 to Section 2571.21 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2571.21. Switch Location.
Note     •     History

(a) All manual switches for controlling emergency circuits shall be in locations convenient to authorized persons responsible for their actuation. In places of assembly, such as theaters, a switch for controlling emergency lighting systems shall be located in the lobby or at a place conveniently accessible thereto.
(b) In no case shall a control switch for emergency lighting in a theater or motion picture theater or place of assembly be placed in a motion picture projection booth or on a stage. 

Exception: Where multiple switches are provided, one such switch shall be permitted in such locations where so arranged that it can energize but not disconnect the circuit.
(Title 24, Part 3, Section 700-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of former Section 2571.21 to Section 2571.25, and renumbering and amendment of former Section 2571.19 to Section 2571.21 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2571.25. Accessibility.
Note     •     History

The branch circuit overcurrent devices in emergency circuits shall be accessible to authorized persons only. 
(Title 24, Part 3, Section 700-25.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering and amendment of former Section 2571.21 to Section 2571.25 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37). 
§2571.30. Signs.
Note     •     History

For installations built on or after May 5, 2008:
(a) A sign shall be placed at the service entrance equipment indicating the type and location of on-site emergency power sources. However, a sign is not required for individual unit equipment.
(b) Where the grounded circuit conductor connected to the emergency source is connected to a grounding electrode conductor at a location remote from the emergency source, there shall be a sign at the grounding location that shall identify all emergency and normal sources connected at that location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 81. Stand-By Power Generation Systems
§2575.1. Scope. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2575.10. Legally Required Stand-By Power Generation Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Repealer filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 82. Electrolytic Systems
§2580.1. Scope.
Note     •     History

The provisions of this article shall apply to electroplating and electrostripping processes. 
(Title 24, Part 3, Section 3-669-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2580.2. Wiring Methods. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Renumbering of Section 2580.2 to Section 2580.6 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2580.6. Wiring Methods.
Note     •     History

(a) Systems not exceeding 50 volts DC. Insulated open conductors on insulators or bare busbars shall be permitted for the supply of electrolytic installations not exceeding 50 volts DC.
(b) Systems exceeding 50 volts DC.
(1) Insulated open conductors on insulators or bare busbars shall be permitted for the supply of electrolytic installations exceeding 50 volts DC, when guarded as required in Section 2340.17. 

Exception: Unguarded bare conductors or busbars shall be permitted at the tanks.
(2) When access to the process while energized is necessary, the entrance door guarding the electrolytic process shall be electrically interlocked so that access by employees will be prevented when the voltage exceeds 50 volts DC.
(Title 24, Part 3, Section 3-669-6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Renumbering of former Section 2580.2 to Section 2580.6 filed 8-27-86; effective thirtieth day thereafter (Register 86, No. 37).
§2599. General. [Repealed]
History

HISTORY

1. Amendment filed 2-9-55; effective thirtieth day thereafter (Register 55, No. 3).
2. Amendment filed 11-27-62; effective thirtieth day thereafter (Register 62, No. 24).
3. Renumbering of Article 36 to Article 83 (Section 2599) filed 10-14-75; effective thirtieth day thereafter (Register 75, No. 42).
4. Repealer of Article 83 (Section 2599) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
Article 83. Electrolytic Cells
§2583.1. Scope.
Note     •     History

This Article applies to the installation of the electrical components and accessory equipment of electrolytic cells, electrolytic cell lines, and process power supply for the production of aluminum, cadmium, chlorine, copper, fluorine, hydrogen peroxide, magnesium, sodium, sodium chlorate, and zinc. Cells used as a source of electric energy and for electroplating processes and cells used for production of hydrogen are not covered by this Article.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 83 (sections 2583.1-2583.8) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.2. Application.
Note     •     History

Installations covered by this Article shall comply with all applicable provisions of these Safety Orders, except as follows:
(a) Overcurrent protection of electrolytic cell dc process power circuits need not comply with the requirements of Article 10, Overcurrent Protection;
(b) Equipment located or used within the cell line working zone or associated with the cell line dc power circuits need not comply with the provisions of Article 11, Grounding; and
(c) Electrolytic cells, cell line conductors, cell line attachments, and the wiring of auxiliary equipment and devices within the cell line working zone need not comply with the provisions of Article 2. Administration, Article 6, Branch Circuits, or Article 8, Outdoor Wiring.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.3. Disconnecting Means.
Note     •     History

If more than one dc cell line process power supply serves the same cell line, a disconnecting means shall be provided on the cell line circuit side of each power supply to disconnect it from the cell line circuit. Removable links or removable conductors may be used as the disconnecting means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.4. Portable Electric Equipment.
Note     •     History

(a) The frames and enclosures of portable electric equipment used within the cell line working zone may not be grounded, unless the cell line circuit voltage does not exceed 200 volts DC or the frames are guarded.
(b) Ungrounded portable electric equipment shall be distinctively marked and shall employ plugs and receptacles of a configuration that prevents connection of this equipment to grounding receptacles and that prevents inadvertent interchange of ungrounded and grounded portable electric equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.5. Power Supply Circuits and Receptacles for Portable Electric Equipment.
Note     •     History

(a) Circuits supplying power to ungrounded receptacles for hand-held, cord- and plug-connected equipment shall meet the following requirements:
(1) The circuits shall be electrically isolated from any distribution system supplying areas other than the cell line working zone and shall be ungrounded;
(2) The circuits shall be supplied through isolating transformers with primaries operating at not more than 600 volts between conductors and protected with proper overcurrent protection;
(3) The secondary voltage of the isolating transformers may not exceed 300 volts between conductors; and
(4) All circuits supplied from the secondaries shall be ungrounded and shall have an approved overcurrent device of proper rating in each conductor.
(b) Receptacles and their mating plugs for ungrounded equipment may not have provision for a grounding conductor and shall be of a configuration that prevents their use for equipment required to be grounded.
(c) Receptacles on circuits supplied by an isolating transformer with an ungrounded secondary:
(1) Shall have a distinctive configuration;
(2) Shall be distinctively marked; and
(3) Shall not be used in any other location in the facility.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.6. Fixed and Portable Electric Equipment.
Note     •     History

(a) The following need not be grounded:
(1) AC systems supplying fixed and portable electric equipment within the cell line working zone; and
(2) Exposed conductive surfaces, such as electric equipment housings, cabinets, boxes, motors, raceways and the like that are within the cell line working zone.
(b) Auxiliary electric equipment, such as motors, transducers, sensors, control devices, and alarms, mounted on an electrolytic cell or other energized surface shall be connected to the premises wiring systems by any of the following means:
(1) Multiconductor hard usage or extra hard usage flexible cord;
(2) Wire or cable in suitable nonmetallic raceways or cable trays; or
(3) Wire or cable in suitable metal raceways or metal cable trays installed with insulating breaks such that they will not cause a potentially hazardous electrical condition.
(c) Fixed electric equipment may be bonded to the energized conductive surfaces of the cell line, its attachments, or auxiliaries. If fixed electric equipment is mounted on an energized conductive surface, it shall be bonded to that surface.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.7. Auxiliary Nonelectrical Connections.
Note     •     History

Auxiliary nonelectrical connections such as air hoses, water hoses, and the like, to an electrolytic cell, its attachments, or auxiliary equipment may not have continuous conductive reinforcing wire, armor, braids, or the like. 
Hoses shall be of a nonconductive material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2583.8. Cranes and Hoists.
Note     •     History

(a) The conductive surfaces of cranes and hoists that enter the cell line working zone need not be grounded. The portion of an overhead crane or hoist that contacts an energized electrolytic cell or energized attachments shall be insulated from ground.
(b) Remote crane or hoist controls that may introduce hazardous electrical conditions into the cell line working zone shall employ one or more of the following systems:
(1) Isolated and ungrounded control circuit;
(2) Nonconductive rope operator;
(3) Pendant pushbutton with nonconductive supporting means and with nonconductive surfaces or ungrounded exposed conductive surfaces; or
(4) Radio.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 84. Carnivals, Circuses, Fairs, and Similar Events
§2584.1. Scope.
Note     •     History

This Article covers the installation of portable wiring and equipment, including wiring in or on all structures, for carnivals, circuses, exhibitions, fairs, traveling attractions, and similar events installed on or after May 5, 2008.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 84 (sections 2584.1-2584.8) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.2. Protection of Electric Equipment.
Note     •     History

Electric equipment and wiring methods in or on rides, concessions, or other units shall be provided with mechanical protection where such equipment or wiring methods are subject to physical damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.3. Services.
Note     •     History

(a) Services shall be installed in accordance with applicable requirements of these Safety Orders, and, in addition, shall comply with the following:
(1) Service equipment shall not be installed in a location that is accessible to unqualified persons, unless the equipment is lockable; and
(2) Service equipment shall be mounted on solid backing and installed so as to be protected from the weather, unless the equipment is of weatherproof construction.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.4. Overhead Conductor Clearances.
Note     •     History

Amusement rides and amusement attractions shall be maintained not less than 15 feet (4.57 m) in any direction from overhead conductors operating at 600 volts or less, except for the conductors supplying the amusement ride or attraction. Amusement rides or attractions may not be located under or within 15 feet (4.57 m) horizontally of conductors operating in excess of 600 volts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.5. Wiring Methods.
Note     •     History

(a) Flexible cords and cables shall be listed for extra-hard usage. When used outdoors, flexible cords and cables shall also be listed for wet locations and shall be sunlight resistant.
(b) Single conductor cable shall be size No. 2 or larger.
(c) Open conductors are prohibited except as part of a listed assembly or festoon lighting installed in accordance with Article 8, Outdoor Wiring.
(d) Flexible cords and cables shall be continuous without splice or tap between boxes or fittings. Cord connectors shall not be laid on the ground unless listed for wet locations. Connectors and cable connections shall not be placed in audience traffic paths or within areas accessible to the public unless guarded.
(e) Wiring for an amusement ride, attraction, tent, or similar structure shall not be supported by another ride or structure unless specifically identified for the purpose.
(f) Flexible cords and cables run on the ground, where accessible to the public, shall be covered with approved nonconductive mats. Cables and mats shall be arranged so as not to present a tripping hazard.
(g) A box or fitting shall be installed at each connection point, outlet, switch point, or junction point.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.6. Inside Tents and Concessions.
Note     •     History

Electrical wiring for temporary lighting, where installed inside of tents and concessions, shall be securely installed, and, where subject to physical damage, shall be provided with mechanical protection. All temporary lamps for general illumination shall be protected from accidental breakage by a suitable fixture or lampholder with a guard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.7. Portable Distribution and Termination Boxes.
Note     •     History

Employers shall only use portable distribution and termination boxes that meet the following requirements:
(a) Boxes shall be designed so that no live parts are exposed to accidental contact. Where installed outdoors, the box shall be of weatherproof construction and mounted so that the bottom of the enclosure is not less than 6 in. (152 mm) above the ground;
(b) Busbars shall have an ampere rating not less than the overcurrent device supplying the feeder supplying the box. Busbar connectors shall be provided where conductors terminate directly on busbars;
(c) Receptacles shall have overcurrent protection installed within the box. The overcurrent protection shall not exceed the ampere rating of the receptacle, except as permitted in Article 56 for motor loads;
(d) Where single-pole connectors are used, they shall comply with the following:
(1) Where ac single-pole portable cable connectors are used, they shall be listed and of the locking type. Where paralleled sets of current-carrying single-pole separable connectors are provided as input devices, they shall be prominently labeled with a warning indicating the presence of internal parallel connections. The use of single-pole separable connectors shall comply with at least one of the following conditions:
(A) Connection and disconnection of connectors are only possible where the supply connectors are interlocked to the source and it is not possible to connect or disconnect connectors when the supply is energized; or
(B) Line connectors are of the listed sequential-interlocking type so that load connectors are connected in the following sequence:
1. Equipment grounding conductor connection;
2. Grounded circuit-conductor connection, if provided; and
3. Ungrounded conductor connection; and so that disconnection is in the reverse order; or
(C) A caution notice is provided adjacent to the line connectors indicating that plug connection must be in the following sequence:
1. Equipment grounding conductor connection;
2. Grounded circuit-conductor connection, if provided; and
3. Ungrounded conductor connection; and indicating that disconnection is in the reverse order; and
(2) Single-pole separable connectors used in portable professional motion picture and television equipment may be interchangeable for ac or dc use or for different current ratings on the same premises only if they are listed for ac/dc use and marked to identify the system to which they are connected;
(e) Overcurrent protection of equipment and conductors shall be provided; and
(f) The following equipment connected to the same source shall be bonded:
(1) Metal raceways and metal sheathed cable;
(2) Metal enclosures of electrical equipment; and
(3) Metal frames and metal parts of rides, concessions, trailers, trucks, or other equipment that contain or support electrical equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2584.8. Disconnecting Means.
Note     •     History

(a) Each ride and concession shall be provided with a fused disconnect switch or circuit breaker located within sight and within 6 feet (1.83 m) of the operator's station.
(b) The disconnecting means shall be readily accessible to the operator, including when the ride is in operation.
(c) Where accessible to unqualified persons, the enclosure for the switch or circuit breaker shall be of the lockable type.
(d) A shunt trip device that opens the fused disconnect or circuit breaker when a switch located in the ride operator's console is closed is a permissible method of opening the circuit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 85. Class 1, Class 2, and Class 3 Remote Control, Signaling, and Power-Limited Circuits
§2585.1. Classification.
Note     •     History

Class 1, Class 2, and Class 3 remote control, signaling, or power-limited circuits are characterized by their usage and electrical power limitation that differentiates them from light and power circuits. These circuits are classified in accordance with their respective voltage and power limitations as summarized in subsections (a)-(c) below: 
(a) A Class 1 power-limited circuit shall be supplied from a source having a rated output of not more than 30 volts and 1000 volt-amperes.
(b) A Class 1 remote control circuit or a Class 1 signaling circuit shall have a voltage not exceeding 600 volts; however, the power output of the source need not be limited.
(c) The power source for a Class 2 or Class 3 circuit shall be listed equipment marked as a Class 2 or Class 3 power source, except as follows:
(1) Thermocouples do not require listing as a Class 2 power source.
(2) A dry cell battery is considered an inherently limited Class 2 power source, provided the voltage is 30 volts or less and the capacity is less than or equal to that available from series-connected No. 6 carbon zinc cells.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 85 (sections 2585.1-2585.3) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2585.2. Marking.
Note     •     History

A Class 2 or Class 3 power supply unit shall be durably marked where plainly visible to indicate the class of supply and its electrical rating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2585.3. Separation from Conductors of Other Circuits.
Note     •     History

For installations built on or after May 5, 2008 cables and conductors of Class 2 and Class 3 circuits may not be placed in any cable, cable tray, compartment, enclosure, manhole, outlet box, device box, raceway, or similar fitting with conductors of electric light, power, Class 1, nonpower-limited fire alarm circuits, and medium power network-powered broadband communications cables unless a barrier or other equivalent form of protection against contact is employed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 86. Fire Alarm Systems
§2586.1. Classifications.
Note     •     History

Fire alarm circuits shall be classified either as nonpower limited or power limited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 86 (sections 2586.1-2586.4) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2586.2. Power Sources.
Note     •     History

The power sources for use with fire alarm circuits shall be either power limited or nonpower limited as follows:
(a) The power source of nonpower-limited fire alarm (NPLFA) circuits shall have an output voltage of not more than 600 volts, nominal; and
(b) The power source for a power-limited fire alarm (PLFA) circuit shall be listed equipment marked as a PLFA power source.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2586.3. Separation from Conductors of Other Circuits.
Note     •     History

(a) Nonpower-limited fire alarm circuits and Class 1 circuits may occupy the same enclosure, cable, or raceway provided all conductors are insulated for maximum voltage of any conductor within the enclosure, cable, or raceway. Power supply and fire alarm circuit conductors are permitted in the same enclosure, cable, or raceway only if connected to the same equipment.
(b) Power-limited circuit cables and conductors may not be placed in any cable, cable tray, compartment, enclosure, outlet box, raceway, or similar fitting with conductors of electric light, power, Class 1, non-power-limited fire alarm circuit conductors, or medium power network-powered broadband communications circuits.
(c) Power-limited fire alarm circuit conductors shall be separated at least 2 in. (50.8 mm) from conductors of any electric light, power, Class 1, nonpower-limited fire alarm, or medium power network-powered broadband communications circuits unless a special and equally protective method of conductor separation is employed.
(d) Conductors of one or more Class 2 circuits are permitted within the same cable, enclosure, or raceway with conductors of power-limited fire alarm circuits provided that the insulation of Class 2 circuit conductors in the cable, enclosure, or raceway is at least that needed for the power-limited fire alarm circuits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2586.4. Identification.
Note     •     History

Fire alarm circuits shall be identified at terminal and junction locations in a manner that will prevent unintentional interference with the signaling circuit during testing and servicing. Power-limited fire alarm circuits shall be durably marked as such where plainly visible at terminations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 87. Communications Systems
§2587.1. Scope.
Note     •     History

This Article applies to central-station-connected and non-central-station-connected telephone circuits, radio and television receiving and transmitting equipment, including community antenna television and radio distribution systems, telegraph, district messenger, and outside wiring for fire and burglar alarm, and similar central station systems. These installations need not comply with the provisions of Article 2 through Article 86 of these Low-Voltage Electrical Safety Orders, except for Section 2375.7 and Article 59.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 87 (sections 2587.1-2586.5) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2587.2. Protective Devices.
Note     •     History

(a) A listed primary protector shall be provided on each circuit run partly or entirely in aerial wire or aerial cable not confined within a block.
(b) A listed primary protector shall be also provided on each aerial or underground circuit when the location of the circuit within the block containing the building served allows the circuit to be exposed to accidental contact with electric light or power conductors operating at over 300 volts to ground.
(c) In addition, where there exists a lightning exposure, each interbuilding circuit on premises shall be protected by a listed primary protector at each end of the interbuilding circuit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2587.3. Conductor Location.
Note     •     History

(a) Lead-in or aerial-drop cables from a pole or other support, including the point of initial attachment to a building or structure, shall be kept away from electric light, power, Class 1, or nonpower-limited fire alarm circuit conductors so as to avoid the possibility of accidental contact.
(b) A separation of at least 6 feet (1.83 m) shall be maintained between communications wires and cables on buildings and lightning conductors.
(c) Where communications wires and cables and electric light or power conductors are supported by the same pole or run parallel to each other in-span, the following conditions shall be met:
(1) Where practicable, communication wires and cables on poles shall be located below the electric light or power conductors; and
(2) Communications wires and cables shall not be attached to a crossarm that carries electric light or power conductors.
(d) Indoor communications wires and cables shall be separated at least 2 in. (50.8 mm.) from conductors of any electric light, power, Class 1, non-power-limited fire alarm, or medium power network-powered broadband communications circuits, unless a special and equally protective method of conductor separation, identified for the purpose, is employed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2587.4. Equipment Location.
Note     •     History

Outdoor metal structures supporting antennas, as well as self-supporting antennas such as vertical rods or dipole structures, shall be located as far away from overhead conductors of electric light and power circuits of over 150 volts to ground as necessary to prevent the antenna or structure from falling into or making accidental contact with such circuits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2587.5. Grounding.
Note     •     History

(a) If exposed to contact with electric light and power conductors, the metal sheath of aerial cables entering buildings shall be grounded or shall be interrupted close to the entrance to the building by an insulating joint or equivalent device. Where protective devices are used, they shall be grounded in an approved manner.
(b) Masts and metal structures supporting antennas shall be permanently and effectively grounded without splice or connection in the grounding conductor.
(c) Transmitters shall be enclosed in a metal frame or grill or separated from the operating space by a barrier, all metallic parts of which are effectively connected to ground. All external metal handles and controls accessible to the operating personnel shall be effectively grounded. Unpowered equipment and enclosures are considered to be grounded where connected to an attached coaxial cable with an effectively grounded metallic shield.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 88. Solar Photovoltaic Systems
§2588.1. Scope.
Note     •     History

This Article covers solar photovoltaic systems constructed or installed on or after May 5, 2008 that can be interactive with other electric power production sources or can stand alone with or without electrical energy storage such as batteries. These systems may have ac or dc output for utilization.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 88 (sections 2588.1-2588.3) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2588.2. Conductors of Different Systems.
Note     •     History

Photovoltaic source circuits and photovoltaic output circuits shall not be contained in the same raceway, cable tray, cable, outlet box, junction box, or similar fitting as feeders or branch circuits of other systems, unless the conductors of the different systems are separated by a partition or are connected together. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2588.3. Disconnecting Means.
Note     •     History

Means shall be provided to disconnect all current-carrying conductors of a photovoltaic power source from all other conductors in a building or other structure. Where a circuit grounding connection is not designed to be automatically interrupted as part of the ground-fault protection system, a switch or circuit breaker used as disconnecting means shall not have a pole in the grounded conductor.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Article 89. Integrated Electrical Systems
§2589.1. Scope.
Note     •     History

This Article covers integrated electrical systems, other than unit equipment, in which orderly shutdown is necessary to ensure safe operation. An integrated electrical system as used in this section shall be a unitized segment of an industrial wiring system where all of the following conditions are met:
(a) An orderly shutdown process minimizes employee hazard and equipment damage;
(b) The conditions of maintenance and supervision ensure that only qualified persons will service the system; and
(c) Effective safeguards are established and maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 89 (sections 2589.1-2589.2) and section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
§2589.2. Location of Overcurrent Devices in or on Premises.
Note     •     History

Overcurrent devices that are critical to integrated electrical systems need not be readily accessible to employees as required by Section 2390.24 if they are located with mounting heights to ensure security from operation by unqualified persons.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-5-2008; operative 5-5-2008. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2008, No. 19).
Group 2. High-Voltage Electrical Safety Orders
Article 1. Definitions

(Formerly Article 50)
§2700. Definitions.
Note     •     History

The following definitions of frequently used terms shall be accepted as the intended meanings of these terms whenever used in these High-Voltage Electrical Safety Orders.

Note: Definitions of other terms used in only one article are included in the front of that article.
Accepted. An installation is “accepted” if it has been inspected and found by a nationally recognized testing laboratory to conform to specified plans or to procedures of applicable codes.
Accessible.
(A) Accessible (as applied to equipment). Admitting close approach because not guarded by locked doors (unless keys are readily available to those requiring access), elevation or other effective means. (See “Readily Accessible.”) 
(B) Accessible (as applied to wiring methods). Not permanently closed in by the structure or finish of the building; capable of being removed or exposed without disturbing the building structure, finish, or fixed appurtenance thereto. (See “Concealed” and “Exposed.”) 
(C) Readily Accessible. Capable of being reached quickly for operation, renewal, or inspections, without requiring those to whom ready access is requisite to climb over or remove obstacles or to resort to portable ladders, chairs, etc. 
(D) Safely Accessible. Not exposing persons installing, operating, maintaining, or inspecting electrical apparatus to serious risks of tripping or falling or of coming in contact with energized electrical parts, moving machinery, surfaces or objects operating at high temperatures, or other hazardous equipment.
Aerial Lift. A device used to raise workers to an elevated position.
Ambient Temperature. The temperature of the cooling medium that comes in contact with the device or equipment.
Ampacity. The current, in amperes, that a conductor can carry continuously under the conditions of use without exceeding its temperature rating.
Apparatus Case. The case (or tank) of electrical apparatus is that part which serves as the container for the principal energized parts and insulating medium.
Armored cable (Type AC). A fabricated assembly of insulated conductors in a flexible metallic enclosure.
Askarel. A generic term for a group of nonflammable synthetic chlorinated hydrocarbons used as electrical insulating media. Askarels of various compositional types are used. Under arcing conditions the gases produced, while consisting predominantly of noncombustible hydrogen chloride, can include varying amounts of combustible gases depending upon the askarel type.
Atmosphere.
(See Environment, also.)
(A) Contaminated Atmosphere. An atmosphere containing contaminants which tend to impair the effectiveness of electrical insulation.
(B) Corrosive Atmosphere. An atmosphere containing contaminants which react chemically with the parts of an electrical installation so as to impair its electrical conductivity and/or its mechanical strength.
(C) Explosive Atmosphere. (See Article 34.)
(D) Flammable Atmosphere. (See Article 34.)
Authorized Person. A qualified person delegated to perform specific duties under the conditions existing.
Automatic. Self-acting, operating by its own mechanism when actuated by some impersonal influence, as, for example, a change in current strength, pressure, temperature, or mechanical configuration.
Automatic Circuit Recloser. A self-controlled device for automatically interrupting and reclosing an alternating current circuit, with a predetermined sequence of opening and reclosing followed by resetting, hold closed, or lockout operation. 
Automatic Opening. (Tripping). The opening of a switching device under predetermined conditions without the intervention of an attendant.
AWG. American Wire Gauge.
Bare Conductor. See Conductor.
Barricade. Physical obstruction such as tapes, screens or cones intended to warn and limit access to a hazardous area.
Barrier. Physical obstruction which is intended to prevent contact with energized lines or equipment. 
Basic Impulse Level (BIL). (See Ratings.) 
Bonding (Bonded). The permanent joining of metallic parts to form an electrically conductive path which will assure electrical continuity and the capacity to conduct safely any current likely to be imposed.
Bonding Jumper. A reliable conductor to assure the required electrical conductivity between metal parts required to be electrically connected.
Branch Circuit. That portion of a wiring system extending beyond the automatic overcurrent protective device, excluding any thermal cutout or motor running overload protective device that is not approved for short circuit duty.
Building. For the purposes of these Orders, a building is a structure which stands alone or which is cut off from adjoining structures by fire walls with all openings therein protected by approved fire doors. 
Bus.
(A) Isolated Phase Bus. One in which each phase conductor is enclosed by an individual metal housing separated from adjacent conductor housings by an air space.
(B) Non-Segregated Phase Bus. One in which all phase conductors are in a common metal enclosure without barriers between phases.
(C) Segregated Phase Bus. One in which all phase conductors are in a common metal enclosure but are segregated by barriers between phases. 
Bushing. An insulating structure including a through conductor, or providing a passageway for such a conductor, with provision for mounting on a barrier, conducting or otherwise, for the purpose of insulating the conductor from the barrier and conducting current from one side of the barrier to the other. 
BWG. Birmingham Wire Gauge.
Cabinet. An enclosure designed either for surface or flush mounting, and provided with a frame, mat, or trim in which a swinging door or doors are or can be hung.
Cablebus. An assembly of insulated conductors with fittings and conductor terminations in a completely enclosed, ventilated, protective metal housing.
Cable, Electrical. A stranded conductor (single-conductor cable) or a combination of conductors insulated from one another (multiple-conductor cable). 
Cable Riser. (See Riser.)
Cable Sheath. A protective covering applied to cables.

Note: A cable sheath shall be permitted to consist of multiple layers of which one or more is conductive.
Cable Terminations.
(A) Pothead. A device for the electrical and mechanical termination of an insulated electrical cable.
(B) Stress Cone. Cable termination which provides electrical stress relief for an insulated electrical cable. 
(C) Terminal Chamber (Conduit Box). A separate compartment on electrical apparatus for terminating insulated electrical cables.
(D) Wiping Sleeve. A hollow, cylindrical, metal attachment to the tank (or case) or terminal chamber of electrical apparatus which is used for the mechanical termination of lead-sheathed insulated electrical cable.
Cable tray system. A unit or assembly of units or sections and associated fittings forming a rigid structural system used to securely fasten or support cables and raceways. Cable tray systems include ladders, troughs, channels, solid bottom trays, and other similar structures.
Case (Tank). (See Apparatus Case.)
Certified. Equipment is “certified” if it bears a label, tag, or other record of certification that the equipment:
(A) Has been tested and found by a nationally recognized testing laboratory to meet nationally recognized standards or to be safe for use in a specified manner; or
(B) Is of a kind whose production is periodically inspected by a nationally recognized testing laboratory and is accepted by the laboratory as safe for its intended use.
Circuit. A conductor or system of conductors through which an electric current is intended to flow.
Circuit Breaker. (See Switching Devices.) 
Clearance (Authorization). Authorization to enter an area and/or to perform an act restricted to authorized personnel.
Clearing Time. The time elapsing from the beginning of an overcurrent to the final circuit interruption. 
Close and Hold. (See Ratings.) 
Collector Ring. An assembly of slip rings for transferring electrical energy between a stationary and a rotating member. 
Communication Lines. The conductors and their supporting or containing structures which are used for public or private signal or communication service, and which operate at potentials not exceeding 400 volts to ground or 750 volts between any two points of the circuit, and the transmitted power of which does not exceed 150 watts. When operating at less than 150 volts no limit is placed on the capacity of the system.

Note: Telephone, telegraph, railroad signal, data, clock, fire, police-alarm, community television antenna, and other systems conforming with the above are included. Lines used for signaling purposes, but not included under the above definition, are considered as supply lines of the same voltage and are to be so run.
Concealed. Rendered inaccessible by enclosures, raceways, structures, the finish of a building, etc. 
Conductor. A wire, cable, or other conducting material suitable for carrying current. 
(1) Bare. A conductor having no covering or electrical insulation whatsoever.
(2) Covered. A conductor encased within material of composition or thickness that is not recognized by these Safety Orders as electrical insulation.
(3) Insulated. A conductor encased within material of composition and thickness that is recognized by these Safety Orders as electrical insulation.
Construction. The erection of new wiring and equipment, and the alteration, conversion, and improvement of existing wiring and equipment.
Contactor. A device for repeatedly establishing and interrupting an electric power circuit. 
Contaminated. (See Atmosphere.)
Control.
(A) Automatic Control. An arrangement of electrical controls that provides for switching or otherwise controlling or both in an automatic sequence and under predetermined conditions the necessary devices comprising an equipment. These devices thereupon maintain the required character of service and provide adequate protection against all usual operating emergencies.
(B) Manual Control. Control in which the main devices, whether manually or power operated, are controlled by an attendant.
(C) Manual Operation. Operation by hand without using any other source of power. 
Controller. A device, or group of devices, which serves to govern, in some predetermined manner, the electric power delivered to the apparatus to which it is connected. 
Corrosive. (See Atmosphere.)
Covered Conductor. See under “Conductor.”
Current.
(A) Asymmetrical Current. The combination of the symmetrical and the direct current component of the current.
(B) Available (Prospective) Short Circuit Current (at a given point in a circuit). The maximum current that the power system can deliver through a given circuit point to any negligible impedance short circuit applied at the given point, or at any other point that will cause the highest current to flow through the given point.
(C) Excitation (Magnetizing) Current. The current supplied to unloaded transformers or similar equipment.
(D) Minimum Operating Current (of a relay or fuse). The minimum current that will cause a device to complete its intended operation. 
(E) Overcurrent.
Any current in excess of the rated current of equipment or the ampacity of a conductor. It may result from overload, short circuit, or ground fault.
(F) Overload. Operation of equipment in excess of normal, full-load rating, or of a conductor in excess of rated ampacity that, when it persists for a sufficient length of time, would cause damage or dangerous overheating. A fault, such as a short circuit or ground fault, is not an overload. (See Overcurrent.)
(G) Short-Time Current. (See Ratings.)
Cutout. (See Switching Devices.) 
Cutout Box. An enclosure designed for surface mounting and having swinging doors or covers secured directly to and telescoping with the walls of the box proper. (See Cabinet.)
Damp Location. See “Environment.”
Dead. Free from any electrical connection to a source of potential difference and from electrical charges: Not having a potential difference from that of earth.
Dead-Front. Without live parts exposed to a person on the operating side of the equipment.
De-energized. Free from any electrical connection to a source of potential difference and from electrical charge; not having a potential different from that of the earth.
Designated Employee. A qualified person delegated to perform specific duties under the conditions existing.
Device. A unit of an electrical system that is intended to carry but not utilize electric energy.
Dielectric Heating. The heating of a nominally insulating material due to its own dielectric losses when the material is placed in a varying electric field.
Discharge Device. A device intended for the dissipation of the energy stored in a disconnected inductive or capacitive device. 
Disconnect (Isolator). (See Switching Devices.) 
Disconnected Position (of a switchgear assembly removable element). That position in which the primary and secondary disconnecting devices of the removable element are separated by a safe distance from the stationary element contacts. 
Disconnecting Means. (See Switching Devices.) 
Division. Unless otherwise designated in this subchapter, the phrase “division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
Drawout Mounted Device. One having disconnecting devices and in which the removable portion may be removed from the stationary portion without the necessity of unbolting connections or mounting supports.
Dust-Proof. So constructed or protected that dust will not interfere with its successful operation. 
Dust-Tight. So constructed that dust will not enter the enclosing case.
Duty.
(A) Continuous. A requirement of service that demands operation at a substantially constant load for an indefinitely long time.
(B) Intermittent. A requirement of service that demands operation for alternate intervals of (1) load and no load; or (2) load and rest; or (3) load, no load and rest.
(C) Periodic. A type of intermittent duty in which the load conditions are regularly recurrent.
(D) Short-Time. A requirement of service that demands operation at a substantially constant load for a short and definitely specified time.
(E) Varying. A requirement of service that demands operation at loads, and for intervals of time, both of which may be subject to wide variation.
Electric Line Truck. A truck used to transport workers, tools, and material, and to serve as a traveling workshop for electric power line construction and maintenance work. It is sometimes equipped with a boom and auxiliary equipment for setting poles, digging holes, and elevating material or workers.
Electric Supply Lines. Those conductors used to transmit electric energy and their necessary supporting or containing structures. Signal lines of more than 400 volts to ground are always supply lines within the meaning of the rules, and those of less than 400 volts to ground may be considered as supply lines, if so run and operated throughout.
Enclosed. Surrounded by a fence, wall, case, or housing which will prevent persons from accidentally contacting wiring, equipment, or energized parts contained therein. 
Enclosure. The case or housing of apparatus, or the fence or walls surrounding an installation to prevent personnel from accidentally contacting energized parts, or to protect the equipment from physical damage.
Energized Parts (Live Parts). Parts which are of a potential different from that of the earth, or some conducting body which serves in place of the earth.
Environment. (See Atmosphere, also.)
(A) Damp Location. Partially protected locations under canopies, marquees, roofed open porches, and like locations, and interior locations subject to moderate degrees of moisture, such as some basements, some barns, and some cold-storage warehouses.
(B) Dry Location. A location not normally subject to dampness or wetness. A location classified as dry may be temporarily subject to dampness or wetness, as in the case of some buildings under construction.
(C) Wet Location. Installations underground or in concrete slabs or masonry in direct contact with the earth, and locations subject to saturation with water or other liquids, such as vehicle washing areas, and locations exposed to weather and unprotected.
Equipment. A general term which includes material, fittings, devices, appliances, fixtures, apparatus, and the like, used as part of, or in connection with, an electrical installation.
Equipment Grounding Conductor. See “Grounding Conductor, Equipment.”
Explosion-Proof Apparatus. Apparatus enclosed in a case which is capable of withstanding an explosion of a specified gas or vapor which may occur within it and of preventing the ignition of a specified gas or vapor surrounding the enclosure by sparks, flashes, or explosion of the gas or vapor within, and which operates at such an external temperature that a surrounding flammable atmosphere will not be ignited thereby. 
Exposed (as applied to energized parts). Energized parts that can be inadvertently touched or approached nearer than a safe distance by a person. It is applied to parts not suitably guarded, isolated, or insulated. (See Accessible and Concealed.)
Exposed (as applied to wiring methods). On or attached to the surface or behind panels designed to allow access. [See “Accessible (as applied to wiring methods).”] 
Exposed (for the purposes of Article 41). Where the circuit is in such a position that in case of failure of supports or insulation, contact with another circuit may result.
Externally Operable. Capable of being operated without exposing the operator to contact with live parts.
Fault. (See Current.)
Feeder. All circuit conductors between the service equipment, the source of a separate derived system, or other power supply source and the final branch-circuit overcurrent device.
Fitting. An accessory such as a locknut, bushing, or other part of a wiring system that is intended primarily to perform a mechanical rather than an electrical function. 
Fuse. An overcurrent protective device with a circuit opening fusible part that is heated and severed by the passage of overcurrent through it. (Note: A fuse comprises all the parts that form a unit capable of performing the prescribed functions. It may or may not be the complete device necessary to connect it into an electrical circuit.)
(A) Expulsion Fuse Unit (Expulsion Fuse). A vented fuse unit in which the expulsion effect of gases produced by the arc and lining of the fuseholder, either alone or aided by a spring, extinguishes the arc.
(B) Power Fuse Unit. A vented, non-vented, or controlled vented fuse unit in which the arc is extinguished by being drawn through solid material, granular material, or liquid, either alone or aided by a spring.
1. Vented Power Fuse. A fuse with provision for the escape of arc gases, liquids, or solid particles to the surrounding atmosphere during circuit interruption.
2. Non-Vented Power Fuse. A fuse without intentional provision for the escape of arc gases, liquids, or solid particles to the atmosphere during circuit interruption.
3. Controlled Vented Power Fuse. A fuse with provision for controlling discharge during circuit interruption such that no solid material may be exhausted into the surrounding atmosphere. The discharge gases shall not ignite or damage insulation in the path of the discharge, nor shall these gases propagate a flashover to or between grounded members or conduction members in the path of the discharge when the distance between the vent and such insulation or conduction members conforms to manufacturer's recommendations.
Ground. A conducting connection, whether intentional or accidental, between an electrical circuit or equipment and earth, or to some conducting body which serves in place of the earth.
(A) Ground (Reference). That conducting body, usually earth, to which electric potential is referenced. 
Grounded. Connected to the earth or to some conducting body that serves in place of the earth.
Grounded Conductor. A system or circuit conductor which is intentionally grounded. 
Grounded, Effectively. Intentionally connected to earth through a ground connection or connections of sufficiently low impedance and having sufficient current-carrying capacity to prevent the buildup of voltages that may result in undue hazards to connected equipment or to persons.
Grounded, Impedance. Connected to ground through a connection in which an impedance has been inserted intentionally. 
Grounded, Solidly. Grounded through a grounding connection in which no impedance has been inserted intentionally. 
Grounded System, Impedance. A system which has one conductor or point (usually the mid-tap or neutral point of a transformer or generator windings) connected to the reference ground through an impedance.
Grounded System, Solidly. A system which has one conductor or point (usually the mid-tap or neutral point of a transformer or generator windings) connected to the reference ground with no intentional impedance imposed in the circuit. 
Grounding Conductor. A conductor used to connect equipment or the grounded circuit of a wiring system to a grounding electrode or electrodes. 
Grounding Conductor, Equipment. The conductor used to connect noncurrent-carrying metal parts of equipment, raceways and other enclosures to the system grounded conductor, the grounding electrode conductor, or both, at the service equipment or at the source of a separately derived system.
Grounding Connection (Ground Connection). (See Ground.) 
Grounding Electrode (Ground Electrode). A conductor imbedded in the earth, used for maintaining ground potential on conductors connected to it, and for dissipating into the earth current conducted to it. 
Grounding Electrode Conductor. The conductor used to connect the grounding electrode to the equipment grounding conductor, to the grounded conductor, or to both, of the circuits at the service equipment or at the source of a separately derived system.
Grounding Electrode Resistance. The resistance of the grounding electrode to earth.
Grounding Transformer. A transformer intended primarily for providing a neutral point for system grounding purposes. 
Group Operation. The essentially simultaneous operation of all poles of a multi-pole switching device by one operating mechanism. 
Guarded. Covered, shielded, fenced, enclosed, or otherwise protected by means of suitable covers, casings, barriers, rails, screens, mats, or platforms to remove the likelihood of approach to a point of danger or contact by persons or objects. 
Health care facilities. Buildings or portions of buildings in which medical, dental, psychiatric, nursing, obstetrical, or surgical care are provided.

NOTE: Health care facilities include, but are not limited to, hospitals, nursing homes, limited care facilities, clinics, medical and dental offices, and ambulatory care centers, whether permanent or movable.
Heating Equipment. For the purposes of Article 42, the term “heating equipment” includes any equipment used for heating purposes if heat is generated by induction or dielectric methods.
High Voltage. A sustained voltage of more than 600 volts. (See Voltage.) 
High-Voltage System. Associated electrical conductors and equipment operating at or intended to operate at a sustained voltage of more than 600 volts between conductors. 
Hook Stick. (See Switch Stick.)
Hot Tools and Ropes. Tools and ropes which are especially designed for work on energized high voltage lines and equipment. Insulated aerial equipment especially designed for work on energized high voltage lines and equipment shall be considered hot line.
Identified (as applied to equipment). Approved as suitable for the specific purpose, function, use, environment, or application, where described in a particular requirement.

NOTE: Some examples of ways to determine suitability of equipment for a specific purpose, environment, or application include investigations by a nationally recognized testing laboratory (through listing and labeling), inspection agency, or other organization recognized under the definition of “acceptable.”
Indoor. Indoor, as an adjective, describes a device or equipment which, because of its construction, must be protected from the weather, or be installed in a location which is protected from the weather. 
Induction Heating. The heating of a nominally conductive material due to its own I 2 R losses when the material is placed in a varying electromagnetic field.
Insulated. Separated from other conducting surfaces by a dielectric substance (including air space) offering a high resistance to the passage of current.

Note: When any object is said to be insulated, it is understood to be insulated in suitable manner for the conditions to which it is subjected. Otherwise, it is within the purpose of these orders, uninsulated. Insulating covering of conductors is one means of making the conductor insulated. 
Insulated Conductor. See Conductor, Insulated.
Insulation (As applied to Cable). That which is relied upon to insulate the conductor from other conductors or conducting parts or from ground.
Interlock. An electrical, mechanical, or key-locked device intended to prevent an undesired sequence of operations. 
Interrupter Switch. (See Switching Devices.) 
Interrupting Rating. (See Ratings.) 
Isolated (as applied to location). Not readily accessible to persons unless special means for access are used.
Isolated Power System. A system comprising an isolating transformer or its equivalent, a line isolation monitor, and its ungrounded circuit conductors.
Junction Box. (See Pull Box.) 
Labeled. Equipment is “labeled” if there is attached to it a label, symbol, or other identifying mark of a nationally recognized testing laboratory:
(1) That makes periodic inspections of the production of such equipment, and
(2) Whose labeling indicates compliance with nationally recognized standards or tests to determine safe use in a specified manner.
Lanyard. A flexible line to secure a wearer of a safety belt or harness to a drop line, lifeline, or fixed anchorage.
Line Clearance Tree Trimming Operations. Operations which include the pruning, trimming, repairing, maintaining, chemical treatment, removal or cleaning of trees, or cutting of brush and miscellaneous vegetation, that is within 10 ft. (305 cm) of electric supply lines and equipment.
Linemen's Body Belt. A leather or web (cotton or nylon) belt designed specifically for employees working on poles or structures. It consists of a waist belt, generally cushioned, with a front buckle, two D rings for attaching safety straps and a multiple-looped strap for holding rings, snaphooks, holsters and other tool holding devices.
Listed. Equipment is “listed” if it is of a kind mentioned in a list that:
(1) Is published by a nationally recognized laboratory that makes periodic inspection of the production of such equipment, and
(2) States that such equipment meets nationally recognized standards or has been tested and found safe for use in a specified manner.
Live Parts. Energized conductive components.
Location. (See Environment.)
Magnetizing Current. (See Current--Excitation.)
Main Switch. (See Service Entrance Switch.) 
Make and Latch (or Close and Hold) Rating. (See Ratings.) 
Manhole. A chamber, in an underground system, containing working space large enough for a person to enter, which provides space and access for installation and maintenance of cables, transformers, or other equipment or apparatus. 
Manhole Chimney. A vertical passageway for workers or equipment between the roof of the manhole and the surface (street) level. 
Manual Control. (See Control.) 
Manual Operation. (See Control.) 
Maximum Voltage. (See Ratings.) 
Medium Voltage Cable (Type MV). A single or multiconductor solid dielectric insulated cable rated 2001 volts or higher.
Metal-Clad Cable (Type MC). A factory assembly of one or more insulated circuit conductors with or without optical fiber members enclosed in an armor of interlocking metal tape, or a smooth or corrugated metallic sheath.
Metal-Enclosed. Metal-enclosed, as an adjective, refers to electrical apparatus surrounded by a metal case or housing, usually grounded.
Minimum Bending Radius. The minimum recommended radius to which a conduit or an insulated cable may be bent, measured from its inner surface. 
Minimum Operating Current. (See Current.)
Multiple Fuse. An assembly of two or more single-pole fuses.
Nominal System Voltage. (See Voltage.) 
Nonpropagating Liquid. A liquid which, when subjected to a source of ignition, may burn but the flame will not spread from the source of ignition.
Oil (Filled) Cutout. (See Switching Devices.) 
Open Wiring. Uninsulated conductors or insulated conductors without grounded metallic sheaths or shields installed above ground, but not inside apparatus or wiring enclosures. 
Outdoor. Outdoor, as an adjective, describes a device or equipment of weatherproof construction, or a location exposed to the weather. 
Outlet. A point on the wiring system at which current is taken to supply utilization equipment.
Outline Lighting. An arrangement of incandescent lamps or electric discharge lighting to outline or call attention to certain features, such as the shape of a building or the decoration of a window.
Overcurrent. (See Current.)
Overload. (See Current.)
Overtemperature Protective Device. (See Thermal Protector.) 
Panelboard. A single panel or group of panel units designed for assembly in the form of a single panel; including buses, automatic overcurrent devices, and with or without switches for the control of light, heat, or power circuits; designed to be placed in a cabinet or cutout box placed in or against a wall or partition and accessible only from the front. (See “Switchboard.”)
Portable or Mobile Equipment. Electrical equipment mounted on skids, pads, legs, or vehicles, and capable of being moved to any required location.
Pothead. (See Cable Terminations.) 
Power and Control Tray Cable (Type TC). A factory assembly of two or more insulated conductors, with or without associated bare or covered grounding conductors under a nonmetallic sheath, approved for installation in cable trays, in raceways, or where supported by a messenger wire.
Power Fuse. (See Fuse.)
Power-Limited Tray Cable (Type PLTC). A factory assembly of two or more insulated conductors under a nonmetallic jacket.
Premises Wiring. (Premises wiring system.) The interior and exterior wiring, including power, lighting, control, and signal circuit wiring together with all of their associated hardware, fittings, and wiring devices, both permanently and temporarily installed, that extends from the service point of utility conductors or source of power (such as a battery, a solar photovoltaic system, or a generator, transformer, or converter) to the outlets. Such wiring does not include wiring internal to appliances, fixtures, motors, controllers, motor control centers, and similar equipment.
Protective Device. A device or combination of devices capable of detecting and automatically interrupting a specific condition. 
Pull Box. A box with a blank cover into which workers may reach but not enter which is inserted in one or more runs of raceway to facilitate pulling, joining, supporting, or inspecting conductors. The term “pull box” includes but is not limited to: junction boxes, splice boxes, conductor support boxes, inspection boxes, and handholes. 
Pulling Tension. The longitudinal force exerted on a cable during installation.
Qualified Electrical Worker. A qualified person who by reason of a minimum of two years of training and experience with high-voltage circuits and equipment and who has demonstrated by performance familiarity with the work to be performed and the hazards involved.
Qualified Line Clearance Tree Trimmer. A person who has completed a minimum of 18 months-related training and on-the-job experience and is familiar with the special techniques and hazards involved in line clearance tree trimming operations.
Qualified Line Clearance Tree Trimmer Trainee. Any worker regularly assigned to a line clearance tree trimming crew and undergoing on-the-job training who, in the course of such training, has demonstrated the ability to perform the assigned duties safely at that level of training.
Qualified Person. A person who by reason of experience or instruction is familiar with the operation to be performed and the hazards involved.
Raceway. An enclosed channel of metal or nonmetallic materials designed expressly for holding wires, cables or bus bars, with additional functions as permitted in this standard. 
Raceways include, but are not limited to, rigid metal conduit, rigid nonmetallic conduit, intermediate metal conduit, liquidtight flexible conduit, flexible metallic tubing, flexible metal conduit, electrical metallic tubing, electrical nonmetallic tubing, underfloor raceways, cellular concrete floor raceways, cellular metal floor raceways, surface raceways, wireways, and busways.
Rated. A designated value of an operating characteristic at which other characteristics are measured and specified. 
Ratings.
(A) Basic Impulse Level (BIL). A reference impulse insulation strength expressed in terms of the crest value of the withstand voltage of a standard full impulse voltage wave.
(B) Interrupting Rating. Maximum interrupting capability under specified conditions, expressed in amperes or MVA.
(C) Make and Latch (Close and Hold) Rating. The highest RMS current at which the device or equipment is designed to operate.
(D) Short-Time Current Rating. The maximum RMS current a device, an assembly, or a bus is designed to carry for a specified short-time interval. 
Readily Accessible. (See Accessible.) 
Regulator Bypass Switch. (See Switching Devices.) 
Release Free (Trip Free). A descriptive term indicating that the opening operation of a switching device can prevail over the closing operation during specified portions of the closing operation. 
Remote-Control Circuit. Any electric circuit that controls any other circuit through a relay or an equivalent device.
Riser (Cable Riser). A vertical run of insulate cable, associated raceway, and termination.
Safely Accessible. (See Accessible.) 
Safety Strap. A web strap designed specifically for use in conjunction with a linemen's body belt to secure the employee to a pole or structure in a manner that permits work with both hands.
Separately Derived System. A premises wiring system whose power is derived from a battery, a solar photovoltaic system, or from a generator, transformer, or converter windings, and that has no direct electrical connection, including a solidly connected grounded circuit conductor, to supply conductors originating in another system.
Service. The conductors and equipment for delivering energy from the electricity supply system to the wiring system of the premises served.
Service Cable. Service conductors made up in the form of a cable.
Service Conductors. That portion of the supply conductors which extends from the supply main, duct, or from transformers of the serving agency to the service equipment of the premises supplied. For overhead conductors this includes the conductors from the last line pole to the service equipment. 
Service Entrance Conductors. The consumer-owned conductors extending between the service point and the service entrance equipment.
Service Entrance Switch (Main Switch). The disconnecting means and overcurrent protection installed at or near the service point. 
Service Equipment. The necessary equipment, usually consisting of one or more circuit breakers or switches and fuses, and their accessories, connected to the load end of service conductors to a building or other structure, or an otherwise designated area, and intended to constitute the main control and means of cutoff for the supply to a building or structure. 
Service Factor. A multiplier which, applied to the rated output of an electric machine, indicates a permissible loading which may be carried continuously under the conditions for that service factor.
Service Point. The point of connection between the facilities of the serving agency and those of the premises wiring. 
Shielded Cable. A cable in which the insulated conductor(s) is enclosed in a conducting envelope(s), so constructed that substantially every point on the surface of the insulation is at ground potential or at some predetermined potential with respect to ground.
Stored-Energy Operation. Operation by means of energy stored in the mechanism, sufficient to complete a specified operation.
Stress Cone. (See Cable Terminations.) 
Submersible. Submersible, as an adjective, describes a device which is so constructed that it will operate satisfactorily when completely or partially submerged in a liquid under specified conditions.
Suitable. Capable of performing with safety the particular function specified in these Orders.
Supervised. Under continuous or intermittent surveillance by a local or remote operator or automatic data processing system.
Switch (Hook) Stick. A device with an insulated handle and a hook or other means for performing stick operation of a switching device. 
Switching Device. A device designed to close and/or open one or more electric circuits. Included in this category are circuit breakers, cutouts, disconnecting (or isolating) switches, disconnecting means, interrupter switches, and oil (filled) cutouts. 
Switching Devices.
(A) Circuit Breaker. A device designed to open and close a circuit by non-automatic means, and to open the circuit automatically on a predetermined overcurrent without damage to itself when properly applied within its rating.
(B) Cutout. An assembly of a fuse support with either a fuseholder, fuse carrier, or disconnecting blade. The fuseholder or fuse carrier may include a conducting element (fuse link), or may act as a disconnecting blade by the inclusion of a non-fusible member. 
(C) Disconnecting Means. A device, or group of devices, or other means whereby the conductors of a circuit can be disconnected from their source of supply. 
(D) Disconnecting (or Isolating) Switch (Disconnector, Isolator). A mechanical switching device used for isolating a circuit or equipment from a source of power. It has no interrupting rating and is intended to be operated only after the circuit has been opened by some other means. 
(E) Interrupter Switch. A switch, capable of making, carrying, and interrupting specified currents.
(F) Oil Cutout (Oil-Filled Cutout). A cutout in which all or part of the fuse support and its fuse link or disconnecting blades are mounted in oil with complete immersion of the contacts and the fusible portion of the conducting element (fuse link), so that arc interruption by severing of the fuse link or by opening of the contacts will occur under oil. 
(G) Oil Switch. A switch having contacts which operate under oil (or askarel or other suitable liquid). 
(H) Regulator Bypass Switch. A specific device or combination of devices designed to bypass a regulator. 
Tag. A system or method of identifying circuits, systems or equipment for the purpose of alerting persons that the circuit, system or equipment is being worked on.
Terminal Chamber. (See Cable Terminations.)
Test Position (of a switchgear assembly). That position in which the primary disconnecting devices of the removable element are separated by a safe distance from those in the housing and the secondary disconnecting devices are in operating contact. 
Thermal Protector--General. An inherent protective device which is responsive to temperature or current, or both, and which, when properly applied, protects the equipment against overheating due to overload or failure to start. 
Transformer Bank. A transformer installation consisting of two or more transformers.
Transformer Installation. An electrical installation consisting of one or more transformers, including associated lead wires and interconnections, which transforms electric energy from one or more alternating current circuits to one or more other alternating current circuits.
Transformer Primary Winding. The winding on the energy input (source) side.
Transformer Secondary Winding. The winding on the energy output (load) side.
Utilization Equipment. Equipment that utilizes electric energy for electronic, electromechanical, chemical, heating, lighting, or similar purposes.
Vault. A room (including manholes) of fire-resistant construction, primarily used to house electrical equipment. 
Ventilated. Provided with a means to permit circulation of air sufficient to remove an excess of heat, fumes, or vapors.
Voltage.
(A) Maximum Voltage. (See Ratings.) 
(B) Nominal Voltage. A nominal value assigned to designate a system of a given voltage class. 
(C) Voltage (of a circuit). The greatest root-mean-square (rms) (effective) difference of potential between any two conductors of the circuit concerned. 

Note: On various systems such as 3-phase, 4-wire, single phase 3-wire and 3-wire direct current, there may be various circuits of various voltages. 
(D) Voltage to Ground. In grounded circuits the voltage between the given conductor and that point or conductor of the circuit which is grounded; in ungrounded circuits, the greatest voltage between the given conductor and any other conductor of the circuit. 
Weatherproof. So constructed or protected that exposure to the weather will not interfere with successful operation. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Group 2 (Articles 50 through 86, Sections 2700 through 2949) filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30). Approved by State Building Standards Commission 2-23-73.
2. Amendment and deletion of numbers preceding definitions of subsection (b) filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42). Issuing Agency: Occupational Safety and Health Standards Board.
3. Certificate of Compliance filed 1-9-76 (Register 76, No. 2).
4. Amendment of subsection (b) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
5. Amendment of subsection (b) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
6. Amendment of subsection (b) filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
7. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
8. Editorial correction including renumbering of former Article 50 to Article 1 filed 11-2-83 (Register 83, No. 45). 
9. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
10. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 2. Administration

(Formerly Article 51)
§2703. Special Requirements.
Note     •     History

Where these regulations contain special requirements for special classes of installations, or for installations under special conditions, such special requirements shall take precedence over the general requirements of the regulations in any point of apparent conflict or inconsistency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 51 to Article 2 filed 11-2-83 (Register 83, No. 45).
§2704. Titles and Subtitles.
Note     •     History

The titles and subtitles following each regulation number are intended to serve as a general guide and index to these regulations and are not necessarily to be considered as a part of any particular regulation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2705. Scope.
Note     •     History

These High-Voltage Electrical Safety Orders are intended to establish essential requirements and minimum standards for the installation, operation, and maintenance of electrical installations and equipment to provide practical safety and such freedom from danger to personnel as the employment reasonably permits.
These orders are not to be regarded as a design specification or an instruction manual for untrained personnel. 
(Title 24, Part 3, Section 90-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2706. Application.
Note     •     History

(a) These High-Voltage Electrical Safety Orders, apply to all electrical installations and electrical equipment operating or intended to operate on systems of more than 600 volts between conductors and to all work performed directly on or in proximity to such electrical installations, equipment or systems in all places of employment in the State of California as defined in Labor Code Section 6303. These orders do not apply to:
(1) Installations or conductors and equipment in ships, watercraft, railway rolling stock, or aircraft.
(2) Installations of conductors, equipment, and associated enclosures subject to the jurisdiction of the California Public Utilities Commission, that are owned, operated and maintained by an electric, communication or electric railway utility. 

Exception: No. 1. These orders apply to conduit, vaults, and other like enclosures containing the conductors and equipment of such a utility when located indoors on premises not used exclusively for utility purposes, but do not apply to the utilities conductors and the equipment therein. 

Exception: No. 2. Article 36, Work and Operating Procedures; and Article 38, Line Clearance Tree Trimming Operations apply to all work performed by electric utilities and electric railways.
(b) Extent of Application. 
(1) Requirements applicable to all installations. The following requirements apply to all electrical installations and utilization equipment, regardless of when they were designed or installed:
Sec. 2710 -- Examination, Installation and Use of Equipment.
Sec. 2710.1 -- Mounting and Cooling of Equipment.
Sec. 2712 -- Atmospheric and Environmental Protection.
Sec. 2714 -- Installation and Maintenance.
Sec. 2715(c) -- Splices.
Sec. 2716.1 -- Arcing Parts.
Sec. 2718 -- Marking.
Sec. 2718.1 -- Disconnecting Means and Circuits, Except for (e) and (f).
Sec. 2739.4 -- Grounding Connections.
Sec. 2742.0 -- Grounding Path.
Sec. 2742.1(b)(1)-(b)(4) -- Grounding of Supports, Enclosures and Equipment.
Sec. 2742.2 -- Nonelectrical Equipment.
Sec. 2742.3(a) -- Methods of Grounding Fixed Equipment.
Article 34, Hazardous (Classified) Locations, Sec. 2925 -- General.
(2) Requirements applicable to installations made after March 15, 1972. Every electrical installation and all utilization equipment installed or overhauled after March 15, 1972, shall comply with the provisions of these Safety Orders, except as noted in Sections 2706(b)(3) and (b)(4) of this Article.
(3) Requirements applicable only to installations made after April 16, 1981. The following requirements apply only to electrical installations and utilization equipment installed after April 16, 1981:
Sec. 2743(a) -- Grounding of Systems and Circuits.
Sec. 2749.1(b) -- Systems over 600 volts, nominal -- Aboveground Wiring Methods.
Sec. 2890(c) -- Switching.
Sec. 2931 -- Entrance and Access to Workspace.
(4) Requirements applicable only to installations made after April 1, 2009. The following requirements apply only to electrical installations and utilization equipment installed after April 1, 2009:
Sec. 2718.1(e) -- Capable of accepting a lock.
Sec. 2718.1(f) -- Marking for series combination ratings.
Sec. 2735(a)(1), (a)(2), and (b)(1) -- Overcurrent Protection.
Sec. 2738 -- Identification of Multiwire Branch Circuits.
Sec. 2833.1(c)(2) and (c)(3) -- Connection of switches.
Sec. 2833.2(b) -- Load interrupter switches.
Sec. 2932(e) --Workspace.
Sec. 2946(b)(2) EXCEPTION -- Provisions for Preventing Accidents Due to Proximity to Overhead Lines.
(c) Regulations herein which may affect building standards apply to all buildings, or building alteration, or building modification for which construction is commenced after the effective date of the regulations. Date of commencement of construction for the purpose of this section, shall be:
(1) The advertising date for invitation of bids for State and local government projects:
(2) The building construction permit issuance date for other than government projects. 
(d) For installation requirements not specifically contained herein, installations in compliance with Title 24, Part 3, in effect at the time of construction, will be considered as complying with the intent of these orders.
(e) Nothing contained in these regulations shall be considered as abrogating the provisions relating to public safety of any ordinance, rule or regulation of any governmental agency, providing such local ordinance, rule or regulation does not lessen the provisions for safety contained in these regulations.
(f) These orders take precedence over any other orders in the California Administrative Code, Title 8, relating to high-voltage facilities or work procedures that are inconsistent with them.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42).
2. Certificate of Compliance filed 1-9-76 (Register 76, No. 2).
3. Repealer and new section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
4. Editorial correction filed 11-2-83 (Register 83, No. 45). 
5. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
6. Amendment of subsection (a)(2), repealer and new subsection (b), new subsections (b)(1)-(4) and amendment of subsection (c)(2) and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2707. Approvals.
Note     •     History

(a) Approved means acceptable to the Division of Occupational Safety and Health which has the responsibility and authority to grant the approval for the specified condition or application.
(b) An installation or equipment is acceptable to the Division of Occupational Safety and Health, and approved within the meaning of these Safety Orders:
(1) If it is accepted, or certified, or listed, or labeled, or otherwise determined to be safe by a nationally recognized testing laboratory recognized pursuant to 29 CFR Sec. 1910.7; or
(2) With respect to an installation or equipment of a kind that no nationally recognized testing laboratory accepts, certifies, lists, labels, or determines to be safe, the Division of Occupational Safety and Health will approve materials, devices, appliances, installations, arrangement or methods of construction intended for use under these orders, provided necessary safety requirements are met for quality, strength, effectiveness, fire resistance, durability, and the protection of life and health. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2708. New Installations: Additions, Alterations, and Renewals of Existing Installations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
§2709. Variances from These Orders.
Note     •     History

(a) Any employer may apply to the Division for a temporary order granting a variance from an occupational safety and health standard. Such temporary order shall be granted only if the employer files an application which meets the requirements of Sections 6450 through 6457, inclusive, of the California Labor Code.
(b) Any employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, order, special order, or portion thereof upon a showing of an alternative program, method, practice, means, device or process which will provide equal or superior safety for employees. Such application shall conform to the requirements of the California Administrative Code, Title 8, Chapter 3.5.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42).
2. Certificate of Compliance filed 1-9-76 (Register 76, No. 2).
3. New section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
Article 3. General

(Formerly Article 52)
§2710. Examination, Installation, and Use of Equipment.
Note     •     History

(a) Examination. Electric equipment shall be free from recognized hazards that are likely to cause death or serious physical harm to employees. Safety of equipment shall be determined using the following considerations:
(1) Suitability for installation and use in conformity with the provisions of these Orders;

NOTE to subsection (a)(1): Suitability of equipment for an identified purpose may be evidenced by listing or labeling for that identified purpose.
(2) Mechanical strength and durability, including, for parts designed to enclose and protect other equipment, the adequacy of the protection thus provided;
(3) Wire-bending and connection space;
(4) Electrical insulation;
(5) Heating effects under all conditions of use;
(6) Arcing effects;
(7) Classification by type, size, voltage, current capacity, and specific use; and
(8) Other factors that contribute to the practical safeguarding of persons using or likely to come in contact with the equipment.
(b) Installation and use. Listed or labeled equipment shall be installed and used in accordance with any instructions included in the listing or labeling.
(c) Insulation integrity. Completed wiring installations shall be free from short circuits and from grounds other than those required or permitted by these Safety Orders.
(d) Interrupting rating. 
(1) Equipment intended to interrupt current at fault levels shall have an interrupting rating sufficient for the nominal circuit voltage and the current that is available at the line terminals of the equipment. 
(2) Equipment intended to interrupt current at other than fault levels shall have an interrupting rating at nominal circuit voltage sufficient for the current that must be interrupted.
(e) Circuit impedance and other characteristics. The overcurrent protective devices, the total impedance, the component short-circuit current ratings, and other characteristics of the circuit to be protected shall be selected and coordinated to permit the circuit protective devices used to clear a fault to do so without the occurrence of extensive damage to the electrical components of the circuit. This fault shall be assumed to be either between two or more of the circuit conductors, or between any circuit conductor and the grounding conductor or enclosing metal raceway.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 52 to Article 3 filed 11-2-83 (Register 83, No. 45).
2. Amendment of section heading and repealer and new section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2710.1. Mounting and Cooling of Equipment.
Note     •     History

(a) Mounting. Electrical apparatus and equipment shall be firmly secured to surfaces upon which it is mounted. 

NOTE: Wooden plugs driven into holes in masonry, concrete, plaster, or similar materials are not considered secure means of fastening electric equipment.
(b) Cooling. 
(1) Electric equipment that depends on the natural circulation of air and convection principles for cooling of exposed surfaces shall be installed so that room airflow over such surfaces is not prevented by walls or by adjacent installed equipment. For equipment designed for floor mounting, clearance between top surfaces and adjacent surfaces shall be provided to dissipate rising warm air.
(2) Electric equipment provided with ventilating openings shall be installed so that walls or other obstructions do not prevent the free circulation of air through the equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2711. Readily and Safely Accessible.
Note     •     History

Switches, circuit breakers, contactors, relays, and other control equipment requiring operation, examination, adjustment, maintenance, or repair shall be readily and safely accessible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2712. Atmospheric and Environmental Protection.
Note     •     History

(a) Electrical installations and equipment shall be constructed or protected to withstand the atmospheric and environmental conditions to which they will be subjected. 
(b) Unless identified for use in the operating environment, no conductors or equipment shall be located in damp or wet locations; where exposed to gases, fumes, vapors, liquids, or other agents that have a deteriorating effect on the conductors or equipment; or where exposed to excessive temperatures.
(c) Cabinets, cutout boxes, fittings, boxes, and panelboard enclosures. 
(1) Cabinets, cutout boxes, fittings, boxes, and panelboard enclosures in damp or wet locations shall be installed so as to prevent moisture or water from entering and accumulating within the enclosures and shall be mounted so there is at least 0.25 in. (6.35 mm) airspace between the enclosure and the wall or other supporting surface. 

EXCEPTION FOR (c)(1): Nonmetallic enclosures may be installed without the airspace on a concrete, masonry, tile, or similar surface. 
(2) Enclosures shall be weatherproof in wet locations.
(d) Switches, circuit breakers, and switchboards. 
Switches, circuit breakers, and switchboards installed in wet locations shall be enclosed in weatherproof enclosures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2713. Protection Against Physical Damage.
Note     •     History

Electrical equipment installed in locations where it is exposed to physical damage shall be suitably protected. 
(Title 24, Part 3, Section 110-17(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2714. Installation and Maintenance.
Note     •     History

(a) All electrical installations shall be made in a neat and workmanlike manner and shall be so designed, constructed, and installed that the hazard to personnel will be reduced, as far as it is reasonably possible. Installations of new equipment and conductors, and extensions, repairs, and changes in existing installations shall be made only by, or under the supervision or direction of, qualified electrical workers. 
(b) All electrical installations shall be maintained in a safe operating condition. If any unsafe condition develops, it shall be promptly corrected.
(c) Unused openings in boxes, raceways, auxiliary gutters, cabinets, equipment cases, or housings shall be effectively closed to afford protection substantially equivalent to the wall of the equipment.
(d) Conductors shall be racked to provide ready and safe access in underground and subsurface enclosures that persons enter for installation and maintenance.
(e) Internal parts of electrical equipment, including busbars, wiring terminals, insulators, and other surfaces, shall not be damaged or contaminated by foreign materials such as paint, plaster, cleaners, abrasives, or corrosive residues.
(f) There shall be no damaged parts that may adversely affect safe operation or mechanical strength of the equipment, such as parts that are broken, bent, cut, or deteriorated by corrosion, chemical action, or overheating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2715. Electrical Connections.
Note     •     History

(a) General. Because of different characteristics of dissimilar metals:
(1) Devices such as pressure terminal and pressure splicing connectors shall be identified for the material of the conductor and shall be properly installed and used.
(2) Conductors of dissimilar metals shall not be intermixed in a terminal or splicing connector where physical contact occurs between dissimilar conductors (such as copper and aluminum, copper and copper-clad aluminum, or aluminum and copper-clad aluminum) unless the device is identified for the purpose and conditions of use.
(3) Materials such as inhibitors and compounds, where employed, shall be suitable for the use and shall be of a type that will not adversely affect the conductors, installation, or equipment.
(b) Terminals. 
(1) Connection of conductors to terminal parts shall ensure a good connection without damaging the conductors and shall be made by means of pressure connectors (including set-screw type), solder lugs, or splices to flexible leads. However, No. 10 or smaller conductors may be connected by means of wire binding screws or studs and nuts having upturned lugs or equivalent.
(2) Terminals for more than one conductor and terminals used to connect aluminum shall be so identified.
(c) Splices.
(1) Conductors shall be spliced or joined with splicing devices identified for the use or by brazing, welding, or soldering with a fusible metal or alloy. Soldered splices shall first be spliced or joined to be mechanically and electrically secure without solder and then soldered. All splices and joints and the free ends of conductors shall be covered with an insulation equivalent to that of the conductors or with an insulating device identified for the purpose. 
(2) Wire connectors or splicing means installed on conductors for direct burial shall be listed for such use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section heading, repealer and new section amendment of Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2716. Ampacities.
Note     •     History

All conductors shall have ampacities to carry safely the normal load which they supply in accordance with the requirements of Section 2821.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2716.1. Arcing Parts.
Note     •     History

Parts of electric equipment which in ordinary operation produce arcs, sparks, flames, or molten metal shall be enclosed or separated and isolated from all combustible material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2717. Energized Parts.
Note     •     History

Energized parts shall be so located or enclosed as to prevent accidental contact by persons or objects. 
(Title 24, Part 3, Section 110-31.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2718. Marking.
Note     •     History

(a) Identification of manufacturer and ratings. Electric equipment shall not be used unless the following markings have been placed on the equipment:
(1) The manufacturer's name, trademark, or other descriptive marking by which the organization responsible for the product may be identified; and
(2) Other markings giving voltage, current, wattage, or other ratings as necessary.
(b) Durability. The marking shall be of sufficient durability to withstand the environment involved.
(c) All switches, circuit breakers, and other control devices shall be located or marked to indicate clearly the equipment controlled by them.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2718.1. Disconnecting Means and Circuits.
Note     •     History

(a) Motors and appliances. 
Each disconnecting means required by these Electrical Safety Orders for motors and appliances shall be legibly marked to indicate its purpose, unless located and arranged so the purpose is evident.
(b) Services, feeders, and branch circuits. Each service, feeder, and branch circuit, at its disconnecting means or overcurrent device, shall be legibly marked to indicate its purpose, unless located and arranged so the purpose is evident.
(c) Durability of markings. The markings required by subsections (a) and (b) of this section shall be of sufficient durability to withstand the environment involved.
(d) Capable of accepting a lock. Disconnecting means required by these Electrical Safety Orders shall be capable of being locked in the open position.
(e) Marking for series combination ratings. 
(1) Where circuit breakers or fuses are applied in compliance with the series combination ratings marked on the equipment by the manufacturer, the equipment enclosures shall be legibly marked in the field to indicate that the equipment has been applied with a series combination rating.
(2) The marking required by subsection (e)(1) of this section shall be readily visible and shall state “Caution -- Series Combination System Rated -- Amperes. Identified Replacement Component Required.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 4. Service and Service Entrance Equipment

(Formerly Article 53)
§2719. Application.
Note     •     History

This article applies to all equipment and wiring from the service point to and including the service equipment. (See Diagram 2719.) 

Diagram 2719

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18953(c), Health and Safety Code.
HISTORY

1. Editorial correction renumbering former Article 53 to Article 4 and adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Change without regulatory effect providing more legible version of Diagram 2719 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2720. General.
Note     •     History

No building or premises shall be supplied at more than one service point except when one or more of the following conditions apply:
(a) Capacity Requirements. Where the load requirements of the installation are greater than the serving agency will supply through one set of service conductors, or where the capacity of available equipment is exceeded.
(b) Continuity of Service. Where the installation is of such a character as to require alternate or multiple sources of supply from the serving agency to ensure service continuity.
(c) Character of Load. Where the character of the load is of such a nature as to require isolation from other loads.
(d) Location of Load. Where the load is distributed so that more than one service point is desirable.
(Title 24, Part 3, Section 230-200.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2721. Service Raceways.
Note     •     History

Service conductors within buildings shall be installed in suitable raceways or be of approved meta-clad cable.
(Title 24, Part 3, Section 230-202.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2722. Service Through Buildings.
Note     •     History

Overhead or underground services or service entrance conductors shall not supply one building through another. 

Exception: This requirement does not apply to conductors in conduit or duct placed under or encased in at least 3 inches of concrete or equivalent fire-resistant material.
(Title 24, Part 3, Section 3-230-202(i).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2723. Service Entrance Conductors and Clearances.
Note     •     History

Service entrance conductors to buildings or enclosures (including transformer vaults and enclosures, and substations, indoor and outdoor) shall be installed to conform to one of the following methods: 
(Title 24, Part 3, Section 3-230-202.)
(a) Overhead service entrance conductors shall be permitted to be run open and unguarded, in which case they shall be supported and maintained at clearances not less than the minimum required by General Order No. 95, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, 1981 Edition. 
(Title 24, Part 3, Section 3-230-202(c).)
(b) Open service entrance conductors shall be attached to the building at one point only, and shall be suitably guarded against accidental contact. The length of open conductor between such point of attachment and the point where the conductors enter the building or the raceway shall be as short as practicable, but in no case greater than 3 feet. There shall be a conspicuous and permanent “HIGH VOLTAGE” sign placed on the outside immediately adjacent to the point of attachment. 
(Title 24, Part 3, Sections 3-230-202(e) and 3-230-203.)
(c) Where service entrance conductors are installed in or on a building other than a substation or transformer vault or transformer enclosure, the conductors within and upon the building shall have an approved insulation and shall be installed in rigid conduit or in other approved raceways, or as metal-clad cable approved for the application. 
(Title 24, Part 3, Section 3-230-202(j).)
(d) Suitably insulated service entrance conductors shall be permitted to be installed underground in conduit, raceway, pre-assembled flexible conduit, or shall be permitted to be direct buried at a depth of at least 36 inches. A grounded neutral conductor or an equipment grounding conductor, either bare or insulated, shall be permitted to be installed in the service entrance conduit or raceway or shall be permitted to be direct buried immediately adjacent to the associated service entrance conduit, raceway, or direct buried ungrounded conductors.
(Title 24, Part 3, Section 3-230-202(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2724. Conductors in Service Entrance Raceway.
Note     •     History

Conductors other than service entrance conductors and grounding conductors shall not be installed in service entrance raceways. 
(Title 24, Part 3, Section 3-230-212.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2725. Location of Switching Devices and Other Service Entrance Equipment.
Note     •     History

(a) Means shall be provided to disconnect all conductors in a building or other structure from the service-entrance conductors. The service disconnecting means shall plainly indicate whether it is in the open or closed position and shall be installed at a readily accessible location nearest the point of entrance of the service-entrance conductors.
(b) The service disconnecting means shall simultaneously disconnect all ungrounded conductors supplied through the service entrance conductors. 

Exception: No. 1: Metering equipment shall be permitted to be placed on the source side of the service switching device and fuses, provided the metering is suitably enclosed and no energized parts or wiring are exposed or accessible to other than employees of the serving agency.

Exception: No. 2: Current transformers for protection of service equipment or current indication. 

Exception: No. 3: When suitable overcurrent protection and disconnecting means are provided, a circuit used for any of the following purposes shall be permitted to also be connected on the source side of the service entrance switching device: (a) Fire pumps; and (b) Potential or control transformers for electrical operation or protection of the service equipment, or for voltage indication. If voltage indication is provided, it shall be on all phases. 
(c) Surge and lightning protection equipment shall be connected to the source side of switching devices.
(d) Each service disconnecting means shall be suitable for the prevailing conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2726. Enclosure.
Note     •     History

Energized parts of service entrance equipment, including instrument transformers, shall be enclosed so that they will not be exposed to accidental contact. 
(Title 24, Part 3, Section 3-230-213.)
NOTE

Authority cited: Section 142.3, Labor ode. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2727. Ampacity. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45). 
3. Repealer filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2728. Overcurrent Protection Requirements.
Note     •     History

Service entrance conductors shall have a protective device in each ungrounded conductor, on the load side of, or as an integral part of the service entrance switch. The protective device shall be capable of detecting and interrupting all values of current in excess of its minimum trip setting or minimum melting point which can occur at its location. A fuse rated in continuous amperes not to exceed three times the nominal current rating of the conductors, or a circuit breaker with a minimum trip setting of not more than six times the nominal current rating of the conductors, will be considered as providing the required protection. The nominal current rating of the conductors shall be as required by Section 2821. 

Exception: Where the serving agency agrees to provide overcurrent protection in accordance with the above requirement, no further overcurrent protection is required.
(Title 24, Part 3, Section 230-208.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2729. Switching Requirements.
Note     •     History

Each set of service entrance conductors shall have a service entrance switch meeting the requirements of Article 20 or 21.
The service entrance switch shall be group operated to open each set of ungrounded service entrance conductors and shall be capable of being padlocked in the open position. 
(Title 24, Part 3, Section 3-230-74.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2730. Switches in Parallel (Multiple).
Note     •     History

When the load of an existing service entrance switch increases beyond its continuous current rating or continuity of service requires, a second service entrance switch of identical rating shall be permitted to be connected in parallel with it, provided:
(a) Each switch has interrupting capacity equal to or greater than the maximum fault current that can occur at its location.
(b) Each switch has its own overcurrent protection arranged to trip both switches automatically.
(c) Both switches have a common electrical or mechanical tripping arrangement. 

Exception: Both switches need not have a common tripping arrangement if continuity of service requires that both switches not be tripped together, under fault conditions, and a suitable relay protection scheme is employed to separate faulted portions from the system.
(d) Both switches can be padlocked in the open position. 
(Title 24, Part 3, Section 3-230-214.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2731. Isolation Requirements.
Note     •     History

A means conforming to Article 20 or 21 shall be provided to isolate the load and each overcurrent protective device in the service entrance conductors from all sources of supply. 
(Title 24, Part 3, Section 3-230-215.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference:Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2732. Paralleling and Isolating Switches.
Note     •     History

(a) Two or more sets of service entrance conductors which can be operated in parallel shall be provided with a suitable means to isolate each set from all other sets of service entrance conductors. 
(b) The paralleling switch or switches intended to make and break parallel shall conform to Article 20 or 21.
(c) Operation of paralleling switches shall be restricted to qualified and authorized persons only. A written switching procedure shall be made available to and followed by such personnel. 
(Title 24, Part 3, Section 3-230-216.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 8, No. 1).
Article 5. Feeders and Branch Circuits

(Formerly Article 54)
§2734. Ampacity.
Note     •     History

Feeder and branch circuit conductors shall meet the requirements of Section 2821.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 54 to Article 5 filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
§2735. Overcurrent Protection.
Note     •     History

(a) Feeders and branch circuit conductors shall have overcurrent protection in each ungrounded conductor located at the point where the conductor receives its supply or at a location in the circuit determined under engineering supervision.
(1) Circuit breakers used for overcurrent protection of three-phase circuits shall have a minimum of three overcurrent relays operated from three current transformers. On three-phase, three-wire circuits, an overcurrent relay in the residual circuit of the current transformers may replace one of the phase relays. An overcurrent relay, operated from a current transformer that links all phases of a three-phase, three-wire circuit, may replace the residual relay and one of the phase-conductor current transformers. Where the neutral is not grounded on the load side of the circuit, the current transformer may link all three phase conductors and the grounded circuit conductor (neutral); and
(2) If fuses are used for overcurrent protection, a fuse shall be connected in series with each ungrounded conductor;
(3) Each protective device shall be capable of detecting and interrupting all values of current that can occur at its location in excess of its trip setting or melting point. 
(4) The operating time of the protective device, the available short-circuit current, and the conductor used shall be coordinated to prevent damaging or dangerous temperatures in conductors or conductor insulation under short-circuit conditions; and
(5) The nominal rating of the cables will be as required by Section 2821. 
(b) The following additional requirements apply to feeders only:
(1) The continuous ampere rating of a fuse shall not exceed three times the ampacity of the conductors. The long-time trip element setting of a breaker or the minimum trip setting of an electronically actuated fuse shall not exceed six times the ampacity of the conductor. 

Exception for fire pumps: Conductors may be protected for short circuit only.
(2) Taps to a feeder need not have separate fault protective devices, provided that the conductors are capable of withstanding the maximum short circuit current that can occur for the time necessary for a fault protective device on the source side of the conductors to operate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2736. Switching Requirements.
Note     •     History

A switch meeting the requirements of these regulations shall be installed on the source end of each feeder or branch circuit.
(a) Paralleling Switches.
(1) Two or more feeders which can be operated in a parallel shall be provided with a suitable switch(es) to isolate each feeder from all other feeders.
(2) The switch(es) intended to make and break parallel shall conform to Article 20 or 21.
(3) Operation of paralleling switches shall be restricted to qualified and authorized persons only. A written switching procedure shall be made available to and followed by such personnel. 
(Title 24, Part 3, Section 3-710-24(r).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2737. Isolation Requirements.
Note     •     History

Each feeder shall be arranged so that it can be isolated from all sources of supply except that isolating switches are not required for taps. Isolating switches shall meet the requirements of Articles 20 or 21. 
(Title 24, Part 3, Section 3-710-24(r).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2738. Identification of Multiwire Branch Circuits.
Note     •     History

Where more than one nominal voltage system exists in a building containing multiwire branch circuits, each ungrounded conductor of a multiwire branch circuit, where accessible, shall be identified by phase and system. The means of identification shall be permanently posted at each branch-circuit panelboard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 6. Grounding

(Formerly Article 55)
§2739. Grounding of Systems and Circuits--General. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 55 to Article 6 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Renumbering of former section 2739 to new section 2739.1 filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2739.0. Scope.
Note     •     History

This Article contains grounding requirements for systems, circuits, and equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2739.1. Grounding of Systems and Circuits--General.
Note     •     History

(a) Grounding of high-voltage systems and circuits is permitted, but is not mandatory unless specifically required elsewhere in these regulations. Where high-voltage systems are grounded, the applicable requirements of this Article 6 shall apply.
(b) Grounding connections shall be arranged to prevent objectionable current in the equipment grounding conductor during normal system operation. The temporary current carried by the equipment grounding conductor during fault conditions, while the grounding system is performing its intended protective function, is not objectionable.
(c) Grounding connections shall be clamp type, pressure type, welded, or other approved type.
(d) Grounding electrodes shall be of corrosion-resistant material and of adequate size, number, and location to effectively ground the system.
(e) Local piping systems, well casings, and the like shall not be used as system grounding electrodes unless their resistance to ground will be maintained low enough to insure effective grounding.
(f) Identification of conductors.
(1) A conductor used as a grounded conductor shall be identifiable and distinguishable from all other conductors.
(2) A conductor used as an equipment grounding conductor shall be identifiable and distinguishable from all other conductors.
(g) Polarity of connections. No grounded conductor may be attached to any terminal or lead so as to reverse designated polarity. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 2739 to new section 2739.1, including amendment of section and Note, filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2739.4. Grounding Connections.
Note     •     History

(a) For a grounded system, a grounding electrode conductor shall be used to connect both the equipment grounding conductor and the grounded circuit conductor to the grounding electrode. Both the equipment grounding conductor and the grounding electrode conductor shall be connected to the grounded circuit conductor on the supply side of the service disconnecting means or on the supply side of the system disconnecting means or overcurrent devices if the system is separately derived.
(b) For an ungrounded service-supplied system, the equipment grounding conductor shall be connected to the grounding electrode conductor at the service equipment. For an ungrounded separately derived system, the equipment grounding conductor shall be connected to the grounding electrode conductor at, or ahead of, the system disconnecting means or overcurrent devices.
(c) Grounding connections shall be clamp type, pressure type, welded, or other approved types. Solder-type connections shall not be used for grounding. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2740. Solidly Grounded Neutral Systems.
Note     •     History

(a) Grounding of solidly grounded neutral systems shall be accomplished in a manner illustrated by Diagram 2740 if the system neutral is available at the service entrance equipment.
(b) If the grounded neutral conductor is carried into the premises, it shall be identified as the grounded conductor. The minimum insulation level for neutral conductors of solidly grounded systems shall be 600 volts. 

Exception: Bare conductors be used for the neutral of direct buried portions of solidly grounded systems.
(c) The neutral grounding conductor shall be permitted to be a bare conductor if properly isolated from phase conductors and protected from physical damage.
(d) Equipment grounding circuit conductors shall be permitted to be bare and shall be connected to the ground bus and grounding electrode conductor at the service entrance equipment. (See Diagram 2740.)
(e) Multiple grounding of the equipment grounding conductor is permitted.
(f) The use of multiple neutral grounds on exterior wiring systems is permitted.
(Title 24, Part 3, Section 250-152.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1). 

Diagram 2740
SOLIDLY GROUNDED SYSTEM

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer of Diagram 2740(a) and new Diagram 2740 filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
2. Change without regulatory effect providing more legible versions of Diagram 2740 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2741. Impedance Grounded Neutral Systems.
Note     •     History

(a) Grounding of impedance grounded neutral systems shall be accomplished in a manner illustrated by Diagram 2741, if practicable.
(b) If the impedance grounded neutral conductor is carried into the premises, it shall be identified, as well as fully insulated with the same insulation as the phase conductors.
(c) The system neutral shall not be connected to ground except through the neutral grounding impedance.
(d) Equipment grounding conductors shall be permitted to be bare and shall be connected to the ground bus and grounding electrode conductor at the service entrance equipment. (See Diagram 2741.)
(Title 24, Part 3, Section 250-153.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1). 

Diagram 2741
IMPEDANCE GROUNDED SYSTEM

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer of Diagram 2741(a) and new Diagram 2741 filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
2. Change without regulatory effect providing more legible versions of Diagram 2741 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2742. Grounding of Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment of subsections (c) and (h) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Repealer filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2742.0. Grounding Path.
Note     •     History

The path to ground from circuits, equipment, and enclosures shall be permanent, continuous, and effective.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2742.1. Grounding of Supports, Enclosures and Equipment.
Note     •     History

(a) The following shall be permanently and effectively grounded before the associated high-voltage equipment is energized. 
(1) Metal conduit, cable armor, metal cable trays, metal raceways, and other metal raceways or enclosures for conductors. 

EXCEPTION for Section 2742.1(a)(1):

Metal enclosures such as sleeves that are used to protect cable assemblies from physical damage need not be grounded.
(2) Lightning arrester ground terminals and such other equipment.
(b) Exposed noncurrent-carrying metal parts of fixed equipment that may become energized shall be grounded under any of the following conditions:
(1) If within 8 ft. (2.44 m) vertically or 5 ft. (1.52 m) horizontally of ground or grounded metal objects and subject to employee contact;
(2) If located in a wet or damp location and not isolated;
(3) If in electrical contact with metal;
(4) If in a hazardous (classified) location; 
(5) If supplied by a metal-clad, metal-sheathed, or grounded metal raceway wiring method; or
(6) If equipment operates with any terminal at over 150 volts to ground.

EXCEPTIONS for Section 2742.1(b): 

Exposed noncurrent-carrying metal parts of the following types of fixed equipment need not be grounded: 

1. Enclosures for switches or circuit breakers used for other than service equipment and accessible to qualified persons only.

2. Distribution apparatus, such as transformer and capacitor cases, mounted on wooden poles, at a height exceeding 8.0 ft. (2.44 m) above ground or grade level. 

NOTE: Clearances prescribed by the California Public Utilities Commission shall apply where applicable if more protective.
(c) Effective grounding of all equipment shall be assured by the use of an equipment grounding conductor, where feasible, such that the path to ground will: 
(1) Be permanent, and continuous. 
(2) Have ample ampacity to conduct safely any currents liable to be imposed upon it. 
(3) Have impedance sufficiently low to limit the potential above ground, and to facilitate the operation of the overcurrent or ground fault detecting devices in the system. Where the conduit is intended to function as the equipment grounding conductor, approved threaded couplings, hubs, and joints, or double locknuts and bushings with bonding jumpers are required.
(d) Where high-voltage equipment and associated metal enclosures or structures are intentionally isolated from ground, provision shall be made to prevent any person who can make contact with ground from contacting the isolated equipment and associated metal enclosures or structures when such equipment is energized. Intentional grounds shall be applied after such equipment is de-energized and before access is permitted, in accordance with Work Procedures, Article 36.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2742.2. Nonelectrical Equipment.
Note     •     History

The metal parts of the following nonelectrical equipment shall be grounded: 
(a) Frames and tracks of electrically operated cranes and hoists.
(b) Non-energized metal parts of all fixed equipment and associated fences, housings, partitions, grillework and similar metal enclosures, and supporting structures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2742.3. Methods of Grounding Fixed Equipment.
Note     •     History

(a) Noncurrent-carrying metal parts of fixed equipment, if required to be grounded by these orders, shall be grounded by an equipment grounding conductor that is contained within the same raceway, cable, or cord, or runs with or encloses the circuit conductors. 

EXCEPTION for DC circuits only: The equipment grounding conductor may be run separately from the circuit conductors.
(b) Electric equipment is considered to be effectively grounded if it is secured to, and in electrical contact with, a metal rack or structure that is provided for its support and the metal rack or structure is grounded by the method specified for the noncurrent-carrying metal parts of fixed equipment in subsection 2742.3(a).
(c) For installations made before April 16, 1981, electric equipment is also considered to be effectively grounded if it is secured to, and in metallic contact with, the grounded structural metal frame of a building. When any element of this branch circuit is replaced, the entire branch circuit shall use an equipment grounding conductor that complies with all other provisions of Article 6 of these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2743. Grounding of Systems and Circuits.
Note     •     History

If high voltage systems are grounded, they shall comply with all applicable provisions of other sections of this Article as supplemented and modified by the following requirements:
(a) Systems supplying portable or mobile high voltage equipment, other than substations installed on a temporary basis, shall comply with the following:
(1) The system shall have its neutral grounded through an impedance.
Where a delta-connected high-voltage system is used to supply the equipment, a system neutral shall be derived.
(2) Exposed non-current-carrying metal parts of portable and mobile equipment shall be connected by an equipment grounding conductor to the point at which the system neutral impedance is grounded.
(3) Ground fault detection and relaying shall be provided to automatically de-energize any high-voltage system component which has developed a ground fault. The continuity of the equipment grounding conductor shall be continuously monitored so as to de-energize automatically the high-voltage feeder to the portable equipment upon loss of continuity of the equipment grounding conductor.
(4) The grounding electrode to which the portable equipment system neutral impedance is connected shall be isolated from and separated in the ground by at least 20 feet (6.1 m) from any other system or equipment grounding electrode, and there shall be no direct connection between the grounding electrodes, such as buried pipe, fence, etc.
(b) All Noncurrent-carrying metal parts of all portable and fixed equipment including their associated fences, housings, enclosures, and supporting structures, shall be grounded. 

Exception: Equipment that is guarded by location and isolated from ground need not be grounded. 
(c) The product of the maximum ground fault current and the impedance of the ground return conductor shall be such as to limit the voltage developed between the portable equipment frame and ground (by the flow of ground fault current) to not more than 100 volts.
(d) High-voltage trailing cables and couplers for interconnection of portable equipment shall be the type approved for the purpose. See Article 14.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section heading, section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 7. General Requirements--Wiring Methods

(Formerly Article 56)
§2745. Covers Required. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 56 to Article 7 filed 11-2-83 (Register 83, No. 45).
2. Renumbering of former section 2745 to new section 2745.2 filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2745.0. Scope.
Note     •     History

The provisions of this Article do not apply to conductors that are an integral part of factory-assembled equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2745.1. General Requirements.
Note     •     History

(a) Metal raceways, cable trays, cable armor, cable sheath, enclosures, frames, fittings, and other metal noncurrent-carrying parts that are to serve as grounding conductors, with or without the use of supplementary equipment grounding conductors, shall be effectively bonded where necessary to ensure electrical continuity and the capacity to conduct safely any fault current likely to be imposed on them. Any nonconductive paint, enamel, or similar coating shall be removed at threads, contact points, and contact surfaces or be connected by means of fittings designed so as to make such removal unnecessary.
(b) Where necessary for the reduction of electrical noise (electromagnetic interference) of the grounding circuit, an equipment enclosure supplied by a branch circuit may be isolated from a raceway containing circuits supplying only that equipment by one or more listed nonmetallic raceway fittings located at the point of attachment of the raceway to the equipment enclosure. The metal raceway shall be supplemented by an internal insulated equipment grounding conductor installed to ground the equipment enclosure.
(c) No wiring systems of any type may be installed in ducts used to transport dust, loose stock, or flammable vapors. No wiring system of any type may be installed in any duct used for vapor removal or for ventilation of commercial-type cooking equipment, or in any shaft containing only such ducts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2745.2. Covers Required.
Note     •     History

Suitable covers shall be installed on all boxes, fittings, and enclosures to prevent accidental contact with live parts or physical damage to parts or insulation. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 2745 to new section 2745.2, including amendment of section and Note, filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2746. Conductors of Different Systems.
Note     •     History

Conductors of high-voltage and low-voltage systems shall not occupy the same wiring enclosure or pull and junction boxes except in approved switchgear and control assemblies. 
(Title 24, Part 3, Section 300-32.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2747. Inserting Conductors in Raceways.
Note     •     History

Raceways, except those used for exposed work and having a removable cover, shall first be installed as a complete raceway system without the conductors. Pull wires, if used, shall not be installed until the raceway system is in place.
Approved pulling compound shall be permitted to be used as a lubricant in inserting conductors in raceways. Cleaning agents or lubricants having a deleterious effect on conductor coverings shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2748. Conductor Bending Radius.
Note     •     History

The conductor shall not be bent to a radius less than eight times the overall diameter for non-shielded conductors or twelve times the diameter for shielded or lead-covered conductors during or after installation.
(Title 24, Part 3, Sections 300-34.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2749. Protection Against Induction Heating. [Repealed]
History

HISTORY

1. Repealer filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
§2749.1. Aboveground Wiring Methods.
Note     •     History

(a) Aboveground conductors shall be installed in rigid metal conduit, in intermediate metal conduit, in electrical metallic tubing, in rigid nonmetallic conduit, in cable trays, as busways, as cablebus, in other identified raceways, or as open runs of metal-clad cable suitable for the use and purpose. In locations accessible to qualified persons only, open runs of Type MV cables, bare conductors, and bare busbars are also permitted. Busbars shall be either copper or aluminum. Open runs of insulated wires and cables having a bare lead sheath or a braided outer covering shall be supported in a manner designed to prevent physical damage to the braid or sheath.
(b) Conductors emerging from the ground shall be enclosed in approved raceways.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14). 
§2749.2. Braid-Covered Insulated Conductors -- Open Installations.
Note     •     History

The braid on open runs of braid-covered insulated conductors shall be flame-retardant or shall have a flame-retardant saturant applied after installation. This treated braid covering shall be stripped back a safe distance at conductor terminals, according to the operating voltage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2750. Grounding.
Note     •     History

Wiring and equipment installations shall be grounded to conform with the applicable provisions of Article 6. 
(Title 24, Part 3, Section 300-36.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2751. Overcurrent Devices in Grounded Conductors.
Note     •     History

No overcurrent device shall be placed in any permanently grounded conductor, except where the overcurrent device simultaneously opens all conductors of the circuit or for motor running protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42).
2. Certificate of Compliance filed 1-9-76 (Register 76, No. 2).
3. Editorial correction of NOTE filed 11-2-83 (Register 83, No. 45).
Article 8. Cabinets, Boxes, and Fittings

(Formerly Article 57)
§2752. Size of Pull Boxes and Raceway Entrance Locations.
Note     •     History

(a) Pull boxes shall be of sufficient size and design to accommodate the installation and maintenance of all conductors installed in them without damaging the insulation on any conductor. 
(Title 24, Part 3, Section 3-370-51(a).)
(b) Where permanent barriers are installed in a box, each section shall be considered as a separate box. 
(Title 24, Part 3, Section 3-370-51(d).)
(c) One or more sides of a pull box shall be removable. 
(Title 24, Part 3, Section 370-51(c).)
(d) Horizontal conductors of 6 feet or more in length inside the box shall be supported. 
(Title 24, Part 3, Section 3-370-51(e).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 57 to Article 8 filed 11-2-83 (Register 83, No. 45).
2. Amendment of article heading filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2753. Construction and Installation Requirements.
Note     •     History

(a) Pull boxes shall be made of material inherently resistant to corrosion or shall be suitably protected, both internally and externally, by enameling, galvanizing, plating, or other equivalent means.
(b) Suitable bushings, shields, or fittings having smooth rounded edges shall be provided where conductors pass through partitions and at other locations where necessary.
(c) Boxes shall provide a complete enclosure for the contained conductors or cables.
(d) Pull boxes shall be so installed that the wiring is accessible without removing any part of the building. Working space shall be provided in accordance with Article 35.
(e) Pull boxes shall be of a type approved for the respective location in which they are installed.
(f) Boxes shall be effectively closed by suitable covers secured against unauthorized entry. Underground box covers that weigh over 100 pounds (45.4 kg) shall be considered secured against unauthorized entry.
(g) Pull boxes and their covers shall be able to withstand the loading to which they may be subjected.
(h) Pull boxes shall be securely fastened or set in place.
(i) Covers for boxes shall be labeled “HIGH VOLTAGE.” The label shall be on the outside of the box cover and readily visible. Letter shall be block letters at least 1/2 inch in height.
(j) For grounding, see Article 6.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2754.1. Conductors Entering Boxes, Cabinets, or Fittings.
Note     •     History

(a) Conductors entering cutout boxes, cabinets, or fittings shall be protected from abrasion, and openings through which conductors enter shall be effectively closed.
(b) Unused openings in cabinets, boxes, and fittings shall be effectively closed.
(c) Where cable is used, each cable shall be secured to the cabinet, cutout box, or meter socket enclosure. 

Exception: Where cable with an entirely nonmetallic sheath enters the top of a surface-mounted enclosure through one or more nonflexible raceways not less than 18 in. (457 mm) or more than 10 ft. (3.05 m) in length, the cable need not be secured to the cabinet, box, or enclosure provided all of the following conditions are met:

(a) Each cable is fastened within 12 in. (305 mm) of the outer end of the raceway, measured along the sheath;

(b) The raceway extends directly above the enclosure and does not penetrate a structural ceiling;

(c) A fitting is provided on each end of the raceway to protect the cable from abrasion, and the fittings remain accessible after installation;

(d) The raceway is sealed or plugged at the outer end using approved means so as to prevent access to the enclosure through the raceway;

(e) The cable sheath is continuous through the raceway and extends into the enclosure not less than 0.25 in. (6.35 mm) beyond the fitting;

(f) The raceway is fastened at its outer end and at other points as necessary; and

(g) Where installed as conduit or tubing, the allowable cable fill does not exceed that permitted for complete conduit or tubing systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2754.2. Covers and Canopies.
Note     •     History

All pull boxes, junction boxes, and fittings shall be provided with covers identified for the purpose. If metal covers are used, they shall be grounded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 9. Open Wiring (Bare)

(Formerly Article 58)
§2755. Scope.
Note     •     History

Bare open wiring is permitted in enclosed areas which are accessible only to qualified and authorized persons. Such areas shall be restricted to electrical use only and shall be enclosed in accordance with Article 17. This article shall not apply to the internal wiring of enclosed equipment.
See Article 19 for requirements for overhead lines. 
(Title 24, Part 3, Section 3-710-35.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 58 to Article 9 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2756. Spacing Between Bare Energized Parts and Adjacent Surfaces.
Note     •     History

Minimum spacing for bare conductors shall be in accordance with Table 2756, although greater spacing may be required by unusual atmospheric or other special conditions. 

Table 2756
Minimum Spacing in Inches Between Bare Energized Parts
and Adjacent Surfaces

Voltage	                        Outdoor		                      Indoor
						
	Phase	Phase	Phase	Phase	Phase
	to	to	to	to	to
	Phase	Ground	Phase	Ground	Phase

	601	3	1/2	5			3/4		3/4
	750	3	1/2	5			3/4		3/4
	1200	3	1/2	5		1	1/4	1	1/4
	2500	3	1/2	5		2		2	1/2
	5000	6		7		2	1/2	4
	7500	6		7		4		5
	15000	7		12		6		7
	23000	10		15		10		15
	35000	13		18		13		18
Above 35 KV	.37	/KV	.455	/KV	36	/KV	.455	/KV

NOTES:
(1) Spacings shown are minimum for energized parts to energized parts or energized parts to ground for elevations up to 3,300 feet above sea level. From 3,301 to 10,000 feet elevations, increase spacings by 10 percent, and above 10,000 feet elevation, increase spacings by 20 percent. For voltages above 230 KV, spacings shall be as required for the BIL of the system.
(2) For intermediate values of system voltage, use next higher voltage in table.
(Title 24, Part 3, Section 3-710-33.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 1210-87; operative 1-9-88 (Register 88, No. 1).
§2757. Insulators.
Note     •     History

Insulators and insulator supports shall have sufficient mechanical strength to withstand the maximum stress to which they may be subjected by a fault on the system to which they are applied. Insulators for bare conductors shall have a minimum voltage rating equal to the nominal system voltage. 
(Title 24, Part 3, Section 3--710-84(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2758. Clearances.
Note     •     History

Clearances over driveways within outdoor transformer or switching enclosures shall conform to Rule 37, General Order No. 95, Rules for Overhead Electric Line Construction, State of California Public Utilities Commission, 1981 Edition, which is hereby incorporated by reference.

Exception: These clearances will not be required for wiring protected by barriers, or screens, or for wiring located so as to prevent accidental contact.
(Title 24, Part 3, Section 3-710-85.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 10. Conduit

(Formerly Article 59)
§2760. General.
Note     •     History

(a) Types and Sizes. Rigid metallic conduit and rigid nonmetallic conduit are approved for general use. Flexible metal conduit shall be permitted to be used as permitted by Section 2881(c). Electrical metallic tubing is not approved for high-voltage installations. 
(Title 24, Part 3, Section 3-710-10(a).)
(b) Circuit in a Conduit. The conductors in a conduit shall be only those of a single circuit or feeder with the associated neutral and grounding conductor(s) if used. 
(Title 24, Part 3, Section 3-710-10(b).)
(c) Reaming. All ends of conduit shall be reamed to remove rough edges. 
(Title 24, Part 3, Section 3-710-10(c).)
(d) Fittings.
(1) Conduit fittings shall be of a size and type which will permit at least the minimum radius cable bend as required by Section 2748 for the size, type, and voltage to be installed. No splices or taps shall be made within conduit fittings.
(2) The conduit shall be secured to each enclosure by locknuts on the inside and outside of the enclosure, by threaded hubs, or by other approved fittings. 

Exception: Locknuts are not required where conduit is stubbed through a concrete surface which forms a side of the enclosure.
(3) A bushing shall be installed where cables enter a conduit unless the design of the equipment is such as to afford equal protection. 
(Title 24, Part 3, Section 3-710-10(d).)
(e) Conduit Bends. Conduit bends shall be so made that the cable will not be injured and the internal diameter of the conduit is not reduced.
(Title 24, Part 3, Section 3-710-10(e).)
(f) Continuity of System. Conduit shall be installed as a complete continuous system so connected to all boxes, fittings, and enclosures as to provide effective enclosure for the conductors. 
(Title 24, Part 3, Section 3-710-10(f).)
(g) Support. The entire system shall be securely fastened in place. Conduits to be encased in concrete shall be secured in place to maintain spacing and alignment during placing and curing of the concrete. 
(Title 24, Part 3, Section 3-710-10(g).)
(h) Conduit Fill. The conduit shall be of such size that the sum of the cross-sectional areas of the individual conductors will not be more than the percentage of the interior cross-sectional area of the conduit as shown in Table 2760.

                                                       Table 2760	
                                                                 Percent Area of Conduit
	                                                                  Number of Conductors
		1	2	3	4	Over 4
All types of conductors	 60	40	45	50	50

(Title 24, Part 3, Section 3-710-10(h).) 
(i) Grounding. Conduit systems shall be grounded as required by Article 6 of these regulations. 
(Title 24, Part 3, Section 3-710-7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 59 to Article 10 filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (a) filed 11-2-83 (Register 83, No. 45). 3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2761. Rigid Metal Conduit.
Note     •     History

(a) Use. Rigid metal conduit shall be permitted to be used under all atmospheric conditions and occupancies, provided conduits and fittings exposed to the weather or to severe corrosive influences are of corrosion-resistant material or have coatings inside and outside suitable for the conditions. Where dissimilar metals are used, they shall be joined by an approved device or method. 
(Title 24, Part 3, Section 3-346-1.)
(b) Running Threads. Running threads shall not be used. 
(Title 24, Part 3, Section 3-346-9(b).)
(c) Support. Conduit shall be supported at least every 10 feet. However, rigid metallic runs of conduit made up with approved threaded couplings and uninterrupted by pull boxes shall be permitted to be secured in accordance with Table 2, provided such fastening prevents transmission of stresses to terminus when conduit is deflected between supports.

                                                    Table 2761	
		Maximum Distance Between
	Conduit Size	Conduit Supports

		1/2	inch	10 feet
		3/4	inch	10 feet
	1		inch	12 feet
	1	1/4	inch	14 feet
	1	1/2	inch	14 feet
	2		inch	16 feet
	2	1/2	inch	16 feet
	3		inch and larger	20 feet

(Title 24, Part 3, Section 3-346-12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2762. Rigid Nonmetallic Conduit.
Note     •     History

(a) Description. Nonmetallic conduit shall be resistant to moisture, chemical atmospheres, impact and crushing, and distortion due to heat where such conditions are likely to be encountered in service. It shall be weather resistant where installed out of doors. 
(Title 24, Part 3, Section 3-347-1.)
(b) Use. Rigid nonmetallic conduit and fittings approved for the purpose shall be permitted to be used for exposed work if properly protected where exposed to severe mechanical damage. 
(Title 24, Part 3, Section 3-347-2(b).)
(c) Support. Conduit shall be supported within 4 feet of each box, cabinet, or other conduit termination and shall be adequately supported elsewhere as required in Table 2762.

                                                     Table 2762	
				Maximum Distance Between
   	Conduit Size	Conduit Supports
		1/2 inch	4 feet
		3/4 inch	4 feet
	1 		inch	5 feet
	1 	1/4 inch	5 feet
	1 	1/2 inch	5 feet
	2 		inch	5 feet
	2 	1/2 inch	6 feet
	3 		inch	6 feet
	3 	1/2 inch	7 feet
	4 		inch	7 feet
	5 		inch	7 feet
	6 		inch	8 feet

Rigid nonmetallic conduit and fittings approved for the purpose shall be permitted to be used underground if properly protected where exposed to severe mechanical damage.
(Title 24, Part 3, Section 3-347-8.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 11. Metal-Enclosed Bus

(Formerly Article 60)
§2764. Grounding.
Note     •     History

Metal-enclosed bus shall be grounded in accordance with Article 6.
(Title 24, Part 3, Section 364-22.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 60 to Article 11 filed 11-2-83 (Register 83, No. 45).
§2765. Adjacent and Supporting Structures.
Note     •     History

Metal-enclosed busways shall be installed so that temperature rise from induced circulating currents in any adjacent metallic parts will not be hazardous to personnel or constitute a fire hazard. 
(Title 24, Part 3, Section 364-23.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2766. Neutral.
Note     •     History

Neutral bus, where required, shall be sized to carry neutral load current and shall have adequate momentary and short circuit rating consistent with system requirements. 
(Title 24, Part 3, Section 364-24.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2767. Barriers and Seals.
Note     •     History

Bus runs having sections located both inside and outside of building shall provide a vapor seal at the building wall to prevent interchange of air between indoor and outdoor sections unless forced cooled. Fire barriers shall be provided at walls where fire separation is required. 
(Title 24, Part 3, Section 364-25.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2768. Perforated Enclosures.
Note     •     History

Where perforated enclosures are used, bus shall be installed in accordance with Article 9, Open Wiring. 
(Title 24, Part 3, Section 3-364-27.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2769. Terminations and Connections.
Note     •     History

Flexible or expansion connections shall be provided in long, straight runs of bus to allow for temperature expansion or contraction, or where the bus run crosses building vibration insulation joints.
All conductor termination and connection hardware shall be accessible for installation, connection, and maintenance.
Where bus enclosures terminate at machines cooled by flammable atmospheres, seal-off bushings, baffles, or other means shall be provided to prevent accumulation of flammable gas in the bus enclosure.
(Title 24, Part 3, Section 364-28.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2770. Switches.
Note     •     History

Switching devices or disconnecting links provided in the bus run shall have the same momentary rating as the bus.
Disconnecting links shall be plainly marked to be removable only when bus is de-energized. Switching devices which are not load break shall be interlocked to prevent operation under load and disconnecting link enclosures shall be interlocked to prevent access to energized parts.
(Title 24, Part 3, Section 364-29.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2771. Identification.
Note     •     History

Each bus run shall be provided with a permanent nameplate on which the following information shall be provided:
(a) Rated voltage.
(b) Rated continuous current; if bus is forced cooled, both the normal forced cooled rating and the self-cooled (not forced cooled) rating for the same temperature rise shall be given.
(c) Rated frequency.
(d) Rated impulse withstand voltage.
(e) Rated 60-cycle withstand voltage (dry).
(f) Rated momentary current.
(g) Manufacturer's name and address.
Note: Metal-enclosed buses shall be constructed and tested in accordance with ANSI C37.20--1969.
(Title 24, Part 3, Section 364-21.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
§2772. Drain Facilities.
Note     •     History

Drain plugs, filter drains, or similar methods shall be provided to remove condensed moisture from low points in bus run. 
(Title 24, Part 3, Section 364-26.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2773. Low-Voltage Wiring.
Note     •     History

Secondary control devices and wiring which are provided as part of the metal-enclosed bus run shall be isolated by grounded metal barriers from all primary circuit elements with the exception of short lengths of wire, such as at instrument transformer terminals.
(Title 24, Part 3, Section 364-30.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 12. Continuous Rigid Cable Supports (Cable Trays)

(Formerly Article 61)
§2775. Definition.
Note     •     History

A continuous rigid cable support is a unit or an assembly of units or sections, and associated fittings, made of metal or other fire-resistant materials forming a continuous rigid structure used to support cables. Continuous rigid cable supports include ladders, troughs, trays, channels, and other similar structures. 
(Title 24, Part 3, Section 318-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 61 to Article 12 filed 11-2-83 (Register 83, No. 45).
2. Amendment of article heading filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2776. Use.
Note     •     History

Continuous rigid cable supports shall be permitted to be used as the mechanical support for metal-clad cables in fire-resistive building constructions as permitted in Section 2783, but shall not be used in hoistways, or where subjected to severe physical damage. Continuous rigid cable supports shall be permitted to be used to support metal-clad cables in flammable atmospheres as permitted in Article 34.
(Title 24, Part 3, Sections 3-318-2(a) and 318-3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2777. Installation.
Note     •     History

(a) Continuous rigid cable supports shall be installed as a complete support system. 
(Title 24, Part 3, Section 3-318-5(a).)
(b) Each run of continuous rigid cable support shall be complete before the installation of cables. 
(Title 24, Part 3, Section 318-5(b).)
(c) Where cables may be subjected to physical damage, noncombustible covers or enclosures providing the required protection shall be used.
(Title 24, Part 3, Section 3-318-5(d).)
(d) Continuous rigid cable supports shall be permitted to extend transversely through partitions or walls, other than fire walls, provided the section of the support within the wall is continuous and unventilated. 
(Title 24, Part 3, Section 318-5(g).)
(e) Continuous rigid cable supports shall be permitted to extend vertically through floors and platforms, provided the continuous rigid cable support is totally enclosed where it passes through the floor or platform opening and for a distance of 6 feet above the floor or platform to provide protection from physical damage. 
(Title 24, Part 3, Section 318-5(g).)
(f) Continuous rigid cable supports shall be permitted to extend vertically through floors and platforms in wet locations where there are curbs or other suitable means to prevent water flow through the floor or platform opening, and the continuous rigid cable support is totally enclosed where it passes through the floor or platform to provide protection from physical damage. 
(Title 24, Part 3, Section 318-5(g).)
(g) In other than horizontal runs, the cables shall be fastened securely to transverse members of the continuous rigid cable support. 
(Title 24, Part 3, Section 318-7(b).)
(h) A working space of 24 inches minimum shall be maintained on one side of each rigid cable support. 
(Title 24, Part 3, Section 3-318-5(i).)
(i) A minimum vertical clearance of 6 inches shall be maintained from the top of the rigid cable support to all ceilings, beams, and other similar obstructions exceeding 24 inches, measured along the length of the cable support. 
(Title 24, Part 3, Section 3-318-5(k).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment of subsections (c)-(g) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2778. Grounding.
Note     •     History

All metal sections of continuous rigid cable supports and fittings shall be electrically continuous and effectively grounded to provide a continuous circuit for fault current. A continuous rigid cable support system shall not be used either as a grounded circuit conductor or as an equipment grounding conductor. 
(Title 24, Part 3, Section 3-318-6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2779. Construction.
Note     •     History

Continuous rigid cable supports shall comply with the following:
(a) Shall have suitable strength and rigidity to provide adequate support for all contained wiring.
(b) Shall not present sharp edges, burrs, or projections injurious to the insulation or jackets of the wiring.
(c) If made of metal, shall be adequately protected against corrosion or shall be made of corrosion-resistant material.
(d) Shall have side rails or equivalent structural members.
(e) Shall include fittings for changes in direction and elevation of runs.
(Title 24, Part 3, Section 318-4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 13. Metal-Clad Cable

(Formerly Article 62)
§2781. Use.
Note     •     History

(a) Metal-clad cable shall be permitted to be used in dry locations.
(b) Metal-clad cable shall be permitted to be used in wet locations, provided the insulated conductors and grounding conductors under the metallic covering are suitable for use in wet locations, and
(1) The metallic covering is impervious to moisture, or
(2) A moisture-resistant jacket is provided over the metallic covering.
(c) Metal-clad cable installed in corrosive locations shall be of a type which is corrosion-resistant or be protected with a covering of corrosion-resistant material.
(d) Metal-clad cable shall be permitted to be used in locations containing flammable atmospheres as permitted in Article 34. 
(Title 24, Part 3, Section 3-334-3(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 62 to Article 13 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2782. Grounding. Grounding Conductor.
Note     •     History

An internal grounding conductor or conductors, either copper or aluminum, shall be provided in each cable and shall be grounded in accordance with Article 6. 
(Title 24, Part 3, Section 3-334-23.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2783. Supports.
Note     •     History

Metal-clad cable shall be permitted to be installed on metal racks, trays, troughs, or continuous rigid cable supports which are effectively grounded. Each cable shall be supported at intervals not exceeding 6 feet and within 2 feet of every box or fitting, and each cable shall be attached to the support at intervals of not more than 10 feet horizontally and 2 feet vertically. 
(Title 24, Part 3, Section 3-334-25.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2784. Bends.
Note     •     History

All bends shall be so made that the cable will not be injured. (See Section 2748.)
(Title 24, Part 3, Section 334-11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2785. Fittings.
Note     •     History

At all points where metal-clad cable terminates, suitable fittings for use with the particular type of cable and the conditions of service shall be used. 
(Title 24, Part 3, Section 3-334-12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2786. Elevation.
Note     •     History

Metal-clad cable shall not be installed below an elevation of 8 fee above working platform or grade without additional mechanical protection. 

Exception: Where the cable terminates in the top of metal-enclosed switchgear, transformers, rotating equipment, and other enclosed equipment, the cable may be extended vertically down to the top of the enclosure if adequate mechanical support is provided.
(Title 24, Part 3, Section 3-334-26.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2787. Strength.
Note     •     History

The flexible metal enclosure shall provide the equivalent mechanical strength of not less than .025 inch of steel. 
(Title 24, Part 3, Section 3-334-27.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2787.1. Splices and Terminations of Metal-Clad Cable.
Note     •     History

(a) Metal-clad cable splices or terminations shall be electrically and mechanically suitable for the conditions.
(b) Bonding shall be provided across splices to maintain the electrical continuity of the metal sheath. 
(Title 24, Part 3, Section 3-110-14(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 14. Portable (Flexible) Cable

(Formerly Article 63)
§2789. Scope.
Note     •     History

This article applies to multi-conductor portable cables, size 8 AWG or larger.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 63 to Article 14 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2790. Conductor Construction.
Note     •     History

Multiconductor portable cable for use in supplying power to portable or mobile equipment at over 600 volts, nominal, shall consist of No. 8 or larger conductors employing flexible stranding. However, the minimum size of the insulated ground-check conductor of Type G-GC cables shall be No. 10.

Exception: Portable-type cable is not required to supply mobile equipment that is not frequently moved, provided the cable is suitably protected and will not be moved while energized.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section heading and section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2791. Shielding.
Note     •     History

(a) All high-voltage portable cables shall be operated with grounded shielding.
(b) Cables operated at over 2,000 volts shall be shielded for the purpose of confining the voltage stresses to the insulation. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2792. Equipment Grounding Conductors.
Note     •     History

(a) Grounding conductors shall be provided.
(b) Identification. A conductor of a flexible cord or cable that is used as a grounded conductor or an equipment grounding conductor shall be distinguishable from other conductors.
(c) Connection of grounding conductors shall be in accordance with Article 6.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section heading and section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2793. Minimum Bending Radii.
Note     •     History

The minimum bending radii for portable cables during installation and handling in service shall be adequate to prevent damage to the cable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2794. Fittings.
Note     •     History

Connectors used to connect lengths of cable in a run shall be of an approved type which lock firmly together. Provisions shall be made to prevent opening or closing these connectors while energized. Suitable means shall be used to eliminate tension at connectors and terminations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2795. Splices and Terminations.
Note     •     History

(a) Portable (Flexible) cables shall not be operated with splices unless the splices are of the permanent molded, vulcanized, or other approved type. 
(b) Terminations. Termination enclosures shall be suitably marked with a high voltage hazard warning, and terminations shall be accessible only to authorized and qualified personnel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 15. Temporary Wiring

(Formerly Article 64)
§2796. Scope.
Note     •     History

Except as specifically modified in this Article, all other requirements of these Safety Orders for permanent wiring shall also apply to temporary wiring installations. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2797. Use.
Note     •     History

Temporary electrical installations of more than 600 volts may be used only during periods of construction, test, experiment, or emergencies.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 64 to Article 15 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2798. Guarding.
Note     •     History

Suitable fencing, barriers, or other means shall be provided to prevent access of other than authorized and qualified personnel to temporary wiring.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2799. Time Limit. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Renumbering of former section 2799 to new section 2799.0 filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.0. Time Limit.
Note     •     History

(a) Temporary wiring as permitted in this section shall not be used for a period exceeding 90 days, except for construction purpose in which case it may be used for not to exceed one year. If necessary to exceed the above time limitation, special permission shall be obtained from the enforcing authority.
(b) All temporary wiring shall be removed immediately upon the completion of the project or purpose for which the wiring was installed; or upon the expiration of the time limit specified above.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 2799 to new section 2799.0, including amendment of subsection (b), filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.1. Feeders.
Note     •     History

The following requirements apply to feeders:
(a) Feeders shall originate in an approved distribution center.
(b) Conductors shall be run as multi-conductor cord or cable assemblies. However, if installed as permitted in Section 2797, and if accessible only to qualified persons, feeders may be run as single insulated conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.2. Branch Circuits.
Note     •     History

The following requirements apply to branch circuits:
(a) Branch circuits shall originate in an approved panelboard.
(b) Conductors shall be multiconductor cord or cable assemblies or open conductors. 
(c) No branch-circuit conductor may be laid on the floor.
(d) Each branch circuit that supplies fixed equipment shall contain a separate equipment grounding conductor if run as open conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.3.  
Note     •     History

No bare conductors nor earth returns may be used for the wiring of any temporary circuit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.4.  
Note     •     History

Suitable disconnecting switches shall be installed to permit the disconnection of all ungrounded conductors of each temporary circuit. Multiwire branch circuits shall be provided with a means to disconnect simultaneously all ungrounded conductors at the power outlet or panelboard where the branch circuit originated.

NOTE: Circuit breakers with their handles connected by approved handle ties are considered a single disconnecting means for the purpose of this requirement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.5.  
Note     •     History

Flexible cords and cables shall be protected from accidental damage, as might be caused, for example, by sharp corners, projections, and doorways or other pinch points.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2799.6.  
Note     •     History

Cable assemblies and flexible cords and cables shall be supported in place at intervals that ensure that they will be protected from physical damage. Support shall be in the form of cable ties, straps, or similar type fittings installed so as not to cause damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 16. Vertical Suspension of Cables

(Formerly Article 65)
§2801. Cable Suspended by Its Conductor(s).
Note     •     History

When a cable is suspended by its conductor(s), the total suspended weight shall not be greater than one-seventh of the ultimate tensile strength of the supporting conductor(s). Cable supports shall be designed to carry adequately the weight of the cable.
Separate supports shall be provided for the sheath of unarmored lead-sheathed cable. 
(Title 24, Part 3, Section 3-300-37(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 65 to Article 16 filed 11-2-83 (Register 83, No. 45).
§2802. Cable Suspended by Wire or Messenger.
Note     •     History

When a cable is suspended by wire armor or messenger, the total suspended weight shall not be greater than one-fifth of the ultimate tensile strength of the armor or messenger. 
(Title 24, Part 3, Section 3-300-37(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2803. Wire Mesh Holding Devices.
Note     •     History

When wire mesh mechanical holding devices are used, either as the sole means of support or in conjunction with other means of support, the total suspended weight on each device and the distance between devices shall not exceed recommendations of the cable and wire mesh manufacturers. 
(Title 24, Part 3, Section 3-300-37(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 17. Enclosures for Electrical Installations

(Formerly Article 66)
§2805. Vaults--General.
Note     •     History

Transformer vaults shall be constructed so as to contain fire and combustible liquids within the vault and to prevent unauthorized access. 
(a) Strength. Vault structures shall have sufficient strength to withstand the loading to which they may be subjected and to support the equipment mounted therein.
(b) Wall Material. Vault interior walls shall be of assemblies of materials approved for not less than one-hour, non-combustible fire-resistive construction.
(c) Doors. Door openings to vaults shall be protected by approved one-hor rated fire door and frame assemblies.
(d) Ceiling Access. Vault ceiling access opening covers or grates weighing less than 100 pounds shall be securely fastened in place.Openings must be minimum of 26 inches diameter or 24 inches by 26 inches in size. Safe access shall be provided from the opening to the floor or other working surface.
(e) Ventilating Ducts. All ventilating flues or ducts shall be of noncombustible construction.
(f) Ventilating Openings. Ventilating openings shall not be through the vault door, except where door opens to outdoors.
(g) Adequate Ventilation. Vaults shall be provided with means for ventilation adequate to prevent equipment temperatures in excess of those at which the equipment may be safely operated.
(h) Drainage. Where drainage from sumps in vaults is to a sewage system, a suitable trap shall be installed capable of preventing the entrance of sewer gas into the vault.
(i) Foreign Pipes and Accessories. Any pipe or duct system foreign to the electrical installation shall not enter or pass through a transformer vault.

Exception: Piping or other facilities provided for vault fire protection, or for transformer cooling, are not considered foreign to the electrical installation. 
(j) Material shall not be stored in transformer vaults.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 66 to Article 17 filed 11-2-83 (Register 83, No. 45).
2. Amendment of article heading, section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2806. Vaults Containing Oil-Filled Equipment.
Note     •     History

Vaults containing oil-filled equipment shall conform to the following in addition to Section 2805:
(a) Construction. Walls, roofs, and floors (other than when laid on earth) shall be of assemblies of materials approved for three-hour non-combustible fire-resistive construction.
(b) Doors. Door openings to vaults shall be protected by approved three-hour rated fire doors and frame assemblies.
(c) Sills or Curbs. A door sill or curb of sufficient height to confine within the vault the oil from the largest oil-filled equipment shall be provided, and in no case shall the height be less than 4 inches.
(d) Ventilating Openings. Ventilating openings shall be located as far away as practicable from building doors, windows, fire escapes, and combustible material. All openings from vaults into buildings, except approved fire door openings and viewing ports, shall be connected to a non-combustible duct or flue leading directly to the exterior, or shall be equipped with approved three-hour rated fire doors or fire dampers.
(e) Vents. Ducts and flues shall not be connected with any other ventilating or air distribution system, except that ventilation may be supplied from conditioned air systems into the vault, provided approved three-hour rated fire doors or fire dampers are installed in each opening.
(f) Sprinkler Systems. Water-type fire sprinkler systems shall be prohibited. 
(Title 24, Part 3, Section 3-110-36.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New subsection (f) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2807. Separate Buildings.
Note     •     History

Electrical equipment containing flammable gas or more than 10 gallons of flammable oil per unit shall not be installed indoors except in a vault or a separate building meeting the following requirements:
(a) Neither the building nor its contents present a fire hazard to any other building or property.
(b) The building is used only for supplying electrical service.
(c) The interior is accessible only to qualified persons. 
(Title 24, Part 3, Section 3-110-38.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2808. Roof Installations.
Note     •     History

Electrical equipment shall be permitted to be installed on the roof of a building, provided:
(a) The building structure has sufficient strength to support the entire installation.
(b) Where oil-insulated equipment is used, the roof shall be of two-hour, non-combustible fire resistive construction, and a curb high enough to contain the oil from the largest oil-filled equipment shall be provided. In no case shall the height of the curb be less than 6 inches. A drain shall be provided from the curbed enclosure to carry any oil which it may contain well away from the building. 
(Title 24, Part 3, Section 3-110-39.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2809. Metal Enclosures.
Note     •     History

No additional enclosure is required for equipment, provided (a) all energized parts and conductors are protected by metallic enclosures from accidental contact, and (b) such enclosures are bonded together and effectively grounded in accordance with Article 6.
(Title 24, Part 3, Section 3-110-40.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2810. Locked Rooms, Vaults, or Enclosures.
Note     •     History

(a) The entrances to enclosures containing exposed high-voltage energized parts shall be kept locked, except where such entrances are at all times under the observation of a qualified attendant. Access doors or gates to rooms, vaults, or fenced enclosures containing electrical equipment shall be readily opened from the inside without the use of a key.
(b) The type of enclosure used in a given case shall be designed and constructed according to the hazards associated with the installation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2811. Warning Signs.
Note     •     History

Permanent and conspicuous warning signs shall be posted on all doors or gates that provide access to enclosures containing exposed energized parts and conductors. Such signs shall be legible at 12 feet and shall read substantially as follows: 

“WARNING--HIGH VOLTAGE--KEEP OUT.”
(Title 24, Part 3, Section 110-34(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2812. Fenced or Walled Enclosures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Renumbering of former section 2812 to new section 2812.1 filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2812.1. Fenced or Walled Enclosures.
Note     •     History

(a) The height of enclosures shall be 8 feet minimum, or floor to ceiling if the ceiling is less than 8 feet. 

Exceptions: 

1. A fenced enclosure shall be not less than 8 ft. in height or a combination of 7 ft. or more (vertical) of fence fabric and an extension not less than 1 ft. in vertical height utilizing three or more strands of barbed wire or equivalent.
(2) The height of the enclosure shall be not less than 10 feet where any exposed energized part is more than 8 feet above the ground, unless the energized part is located more than 5 feet horizontally from the enclosure.
(b) The enclosure shall be so constructed that it cannot be readily climbed.
(c) The size and location of openings in fences or similar enclosures shall be such that persons are not liable to come into accidental contact with energized parts, or to bring conducting objects into contact with them.
(d) The gate or door in the enclosure shall have minimum dimensions of 2 feet 6 inches wide and 6 feet 6 inches high, and shall be readily operable. No reduction in enclosure height at the door or gate is permitted.
(e) Metal gates or doors shall be grounded or bonded to a grounded metal enclosure. Metal fences shall be grounded as required by Article 6.
(f) If buildings form a part of an enclosure, there shall be no unguarded doors or windows which permit unintentional access to the enclosure. Where the enclosure is adjacent to and below stairways, fire escapes, balconies, or windows, suitable guards shall be installed to prevent persons from making accidental contact with energized parts.
(g) Where oil-filled apparatus is installed within an enclosure adjacent to combustible material or combustible buildings, provision shall be made to confine within the enclosure the largest amount of oil contained in a single piece of apparatus.
(h) Pressure relief devices of oil-filled apparatus shall be designed and located to minimize the hazard to persons from escaping oil.
(i) Materials other than those required for operation of the facilities shall not be stored in vaults or fenced enclosures. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 2812 to new section 2812.1, including amendment of section and Note, filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2812.2. Indoor Installations Accessible to Other Than Qualified Persons.
Note     •     History

The following requirements apply to indoor installations that are accessible to other than qualified persons:
(a) The installations shall be made with metal-enclosed equipment or shall be enclosed in a vault or in an area to which access is controlled by a lock.
(b) Metal-enclosed switchgear, unit substations, transformers, pull boxes, connection boxes, and other similar associated equipment shall be marked with appropriate caution signs; and 
(c) Openings in ventilated dry-type transformers and similar openings in other equipment shall be designed so that foreign objects inserted through these openings will be deflected from energized parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2812.3. Outdoor Electrical Installations.
Note     •     History

(a) Outdoor electrical installations having exposed live parts shall be accessible to qualified persons only.
(b) The following requirements apply to outdoor enclosed equipment accessible to unqualified personnel:
(1) Ventilating or similar openings in equipment shall be so designed that foreign objects inserted through these openings will be deflected from energized parts;
(2) Where exposed to physical damage from vehicular traffic, suitable guards shall be provided;
(3) Nonmetallic or metal-enclosed equipment located outdoors and accessible to the general public shall be designed so that exposed nuts or bolts cannot be readily removed, permitting access to live parts;
(4) Where nonmetallic or metal-enclosed equipment is accessible to the general public and the bottom of the enclosure is less than 8.0 ft. (2.44 m) above the floor or grade level, the enclosure door or hinged cover shall be kept locked; and
(5) Except for underground box covers that weigh over 100 lb. (45.4 kg), doors and covers of enclosures used solely as pull boxes, splice boxes, or junction boxes shall be locked, bolted, or screwed on.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2813. Underground Vaults.
Note     •     History

Except to the extent that the following subsections (a) and (b) provide otherwise, manholes or underground rooms in which it may be necessary for persons to work shall comply with Division 4, Sections 8051 through 8057 of the California Public Utilities Code, which is hereby incorporated by reference:
(a) The inside measurement shall be not less than 4 feet between the end walls and between the side walls thereof, or if circular in shape, not less than 4 feet in diameter inside measurement, and not less than 6 1/2 feet at all points between the floor and the top or ceiling.
(b) Any access opening to outer air shall be not less than 26 inches if circular in shape, or not less than 24 inches by 26 inches clear measurement if rectangular in shape.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of first paragraph and repealer of last paragraph filed 12-9-2010; operative 1-8-2011 (Register 2010, No. 50).
Article 18. Conductors

(Formerly Article 67)
§2815. General.
Note     •     History

Conductors shall have mechanical strength, insulation, and ampacity adequate for the particular conditions under which they are to be used. These provisions are not intended to apply to conductors which form an integral part of equipment, such as the windings of a motor, a motor controller, and the like, or which are provided for elsewhere in these regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 67 to Article 18 filed 11-2-83 (Register 83, No. 45).
§2816. Insulation.
Note     •     History

(a) Conductors shall be insulated, except where uninsulated conductors are specifically permitted by these orders, and shall have a voltage rating not less than the operating voltage of the circuit. 
(b) The conductor insulation shall be of a type that is approved for the voltage, operating temperature, and location of use.
(1) Wet Locations. Conductors installed in wet locations either above or below ground shall be moisture-resistant or of a type approved for use under wet conditions. 
(2) Corrosive Conditions. Conductors exposed to oils, greases, vapors, gases, fumes, liquids, or other substances having a deleterious effect upon the conductor or the insulation shall be of a type approved for the use. 
(c) Distinguishable. Insulated conductors shall be distinguishable by appropriate color or other suitable means as being grounded conductors, ungrounded conductors, or equipment grounding conductors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, N. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2817. Conductors in Multiple.
Note     •     History

Conductors in size 1/0 or larger shall be permitted to be run in multiple. Where conductors are run in multiple, they shall be so installed and terminated to prevent overloading of any conductor. Where conductors are run in multiple, the conductors shall be connected together at each end. 
(Title 24, Part 3, Section 3-310-4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2818. Neutral Conductors.
Note     •     History

(a) Size. Neutral conductors shall be of sufficient size to carry the current to which they may be subjected.
(b) Insulation. The insulation level of neutral conductors of ungrounded systems shall be the same as that of the phase conductors of services, feeders, and branch circuits. For insulation levels of grounded conductors, see Article 6. 
(Title 24, Part 3, Section 3-310-62.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2819. Conductor Terminations.
Note     •     History

(a) Where insulated conductors are terminated or spliced, suitable terminations or stress cones shall be installed unless other effective means are used to reduce voltage stress. The metallic shielding or any other voltage shields on cables shall be stripped back to a safe distance according to the circuit voltage and insulation, at all terminations of the shielding, as in potheads and joints. 
(b) Moisture or mechanical protection for metal-sheathed cables. Where cable conductors emerge from a metal sheath and where protection against moisture or physical damage is necessary, the insulation of the conductors shall be protected by a cable sheath terminating device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2820. Grounding of Shielding.
Note     •     History

Metallic shielding components such as tapes, wires, or braids, or combinations thereof, and their associated conducting and semi-conducting components shall be grounded in accordance with Article 6.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2821. Ampacities.
Note     •     History

The ampacities of conductors shall be as shown in IPCEA Publication No. P46-426, Volumes I and II, “Power Cable Ampacities,” published September 1, 1966 by the Insulated Power Cable Engineers Association, which is hereby incorporated by reference. 
(Title 24, Part 3, Section 310-15.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 19. Outdoor Wiring

(Formerly Article 68)
§2823. General.
Note     •     History

(a) Scope. The requirements of this article shall apply to electrical equipment or exposed wiring run between buildings or structures. Equipment and wiring for service entrance conductors shall comply with Article 4. Equipment and wiring located in flammable atmospheres shall comply with Article 34.
Section V, General Order No. 95, 1981 Edition, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, which is hereby incorporated by reference, shall be complied with in all features of line construction employed in outside wiring, except as modified by this article.
Section III, General Order No. 128, 1974 Edition, Rules for Construction of Underground Electric Supply and Communication Systems of the California Public Utilities Commission, which is hereby incorporated by reference, shall be complied with in all features of underground construction employed in outside wiring, except as modified by this article. 
(Title 24, Part 3, Section 3-710-81.)
(b) Wiring Methods. Exposed outside wiring shall be permitted to be installed as: 
(1) multiple conductor cable suitable for the purpose, or 
(2) bare, covered, or insulated conductors in insulating supports suitably protected by isolation, screening, or guarding. 
(Title 24, Part 3, Section 3-710-82.) 
(c) Conductors. Overhead conductors shall conform to the requirements of Article 18. 
(Title 24, Part 3, Section 3-710-83.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 68 to Article 19 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2824. Overhead Lines.
Note     •     History

(a) Supports. Open conductors shall be supported on insulators of sufficient mechanical and dielectric strength for the application. 
(Title 24, Part 3, Section 3-710-84(a).)
(b) Vertical Clearances. All conductors of outside wiring shall comply with clearances specified in Rule 37, General Order No. 95, 1981 Edition, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, which is hereby incorporated by reference. The following table for overhead conductors and sign clearances is extracted from Tables 1 and 2A of these rules:

		                                 Minimum Clearance    
Overhead Conductors		750-	Over    
Nature of Vertical Clearance	20,000 volts	20,000 volts

  1.	Above tracks of railroads which 
	transport freight cars where not operated 
	by overhead 
	contact wires	28 feet	34 feet
  2.	Above tracks of railroads operated by 
	overhead contact wires 30 feet 34 feet 3. 
	Above and along thoroughfares in urban areas 
	and above thoroughfares in rural areas	 25 feet	30 feet
  4.	Above areas (other than thoroughfares) 
	where it is possible to drive vehicles	 25 feet	30 feet
  5.	Above areas accessible to pedestrians 
	only	 17 feet	25 feet
  6.	Above structures	 12 feet	12 feet
  7.	Vertical clearance above all signs upon 
	which men can walk	 12 feet	12 feet
  8.	Vertical clearance above all signs upon 
	which men cannot walk	8 feet	8 feet
  9.	Vertical clearance under signs	 Prohibited	Prohibited
10.	Horizontal clearance from signs	 6 feet	6 feet

(Title 24, Part 3, Section 3-710-85(a).)
(c) Clearance from Buildings. Open high-voltage conductors shall be substantially supported independently of buildings or structures and shall have a clearance from buildings or structures as follows:
(1) They shall be maintained not less than 6 feet horizontally from buildings or other structures or any portion thereof. Where the vertical distance above ground of conductors of 7,500 volts or less is in excess of 35 feet, this horizontal clearance from buildings shall be permitted to be less than 6 feet, but shall be not less than 4 feet.
(2) They shall be kept not less than 12 feet vertically above any part of buildings or structures over which they pass.
(3) High-voltage conductors shall be permitted to be attached to a building at only one point, and shall be suitably guarded against accidental contact. There shall be not more than 3 feet of open conductor between the point of attachment and the point where the conductor enters the conduit or is connected to a bushing.
(4) A conspicuous and permanent “HIGH VOLTAGE” sign shall be placed on the outside at the point where a high-voltage conductor enters the building. Where the conductors are not in conduit, a similar sign shall be placed on the inside of the building also, at the point of entrance. 
(Title 24, Part 3, Section 3-710-85(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment of subsections (b) and (c) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2825. Outdoor Lighting.
Note     •     History

Location of Lamps. Lamps for outdoor lighting shall, where practicable, be located below all energized high-voltage conductors, transformers, or other electrical equipment. Adequate clearance shall be provided for relamping operations. 
(Title 24, Part 3, Section 3-710-86(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2826. Raceways Above Ground.
Note     •     History

(a) Protection Against Corrosion. Raceways and equipment, unless constructed of corrosion-resistant material, shall be suitably protected against corrosion inside and outside (except threads at joints). 
(Title 24, Part 3, Section 300-6.)
(b) Secured in Place. Raceways shall enter and be secured to pull boxes, terminal enclosures and to cases, shields or enclosures of apparatus, except in vaults, substations or the space under high-voltage switchboards. Raceways shall be securely supported. 
(Title 24, Part 3, Section 300-11.)
(c) Protection Against Weather. Raceways exposed to the weather shall be weatherproof. 
(Title 24, Part 3, Section 110-11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2827. Raceways (or Ducts) Below Ground.
Note     •     History

(a) Protection Against Physical Damage. Underground ducts of rigid metallic steel conduit, Schedule 80 PVC conduit, or equivalent, containing cables operating at a potential above 35,000 volts, shall be installed at a depth of at least 36 inches. A lesser depth is permitted for ducts containing cables operating at 35,000 volts or less, if the duct is rigid metallic conduit, Schedule 80 PVC conduit, or equivalent, or if the duct has a layer of concrete at least 3 inches thick above the duct. 

Exception: No. 1: Direct buried conduits to contain cables for series street lighting circuits operating at less than 7,500 volts shall be installed at a depth of at least 24 inches below the surface under which they are located. 

Exception: No. 2: Where it is impractical to obtain the depth of cover specified, the depth shall be permitted to be reduced, provided that the duct has sufficient strength itself or adequate protection is installed above the duct to prevent damage to the duct system by any surface traffic. 
(Title 24, Part 3, Section 3-710-3(b).)
(b) Protection Against Corrosion. Metallic underground ducts shall be suitably protected from corrosion. 
(Title 24, Part 3, Section 300-6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2828. Risers.
Note     •     History

(a) Pole-Supported Risers. Conductors installed in the form of lateral or vertical runs or risers supported by poles shall conform to the provisions of Rule 54.6, General Order No. 95, 1981 Edition, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, wherein such conductors are specifically treated, and which is hereby incorporated by reference 
(Title 24, Part 3, Section 3-710-3(b)5A.)
(b) Structure-Supported Risers (Risers Not Covered in (a) above.) Risers installed outdoors on structures other than poles or installed indoors shall comply with the following:
(1) Riser conductors shall be protected from physical damage by grounded rigid metallic conduit, Schedule 80 PVC conduit, or U-shaped moldings, or equivalent, from the ground line to a minimum height of 8 feet. Suitable protection shall be continued to within 2 feet of the terminal.
(2) The riser terminal and exposed cables at the terminal shall be suitably guarded or isolated.
(3) Risers and protective covering shall be securely supported by means of corrosion-resistant straps at intervals not exceeding 3 feet.
(4) Metallic conduit risers shall be effectively grounded. Adjacent metallic conduit risers shall be bonded together.
(Title 24, Part 3, Section 3-710-3(b)5B.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2829. Terminal Enclosures.
Note     •     History

(a) Accessible. Terminal enclosures shall be so installed that the wiring within is readily accessible.
(b) Covers. Terminal enclosures shall be effectively closed by suitable covers, mechanically secured against unauthorized entry.
(c) Size. The dimensions of terminal enclosures shall be adequate to permit the minimum bending radii of the cables installed therein.
(d) Protection. Terminal enclosures shall be of corrosion-resistant and fire-resistant material. Terminal enclosures and their covers must be able to withstand the structural loading to which they may be subjected.
(e) Number of Conductors. The number of conductors installed in any terminal enclosure shall be compatible with safe working practice.
(f) Identification. The covers of all terminal enclosures shall be posted with a permanent “HIGH VOLTAGE” warning sign having letters at least 1/2 inch high. 
(Title 24, Part 3, Section 3-710-87.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2830. Insulated Conductors.
Note     •     History

(a) General. Insulated cables shall be of a type suitable for the voltage and service conditions. All cables installed underground shall have a grounded metallic sheath, shield, or a bare concentric grounded conductor, or shall be installed in grounded metallic conduit. 
(Title 24, Part 3, Section 3-710-88(a).)
(b) Cable Installed in Buildings. Where installed in buildings, cables energized above 35,000 volts shall be encased in at least 3 inches of concrete or equivalent fire-resistant material. 
(Title 24, Part 3, Section 3-710-88(c).)
(c) Direct Buried Cables. Direct buried cables or cables in flexible nonmetallic enclosures shall be installed at a depth of at least 36 inches. Lesser depths shall be permitted to be employed if the cable is armored with a minimum of No. 12 BWG steel wire closely wound or two layers of steel tape each at least 0.020 inch thick, or if the cable is protected by a layer of concrete at least 3 inches thick above the cable. 

Exception: Lesser depths than those listed are permitted where cables rise for terminations and splices or where access is otherwise required. 
(Title 24, Part 3, Section 3-710-88(c).)
(d) Identification. Cables shall be labeled at all circuit terminals, sectionalizing points, vaults, rooms, etc. The labels shall, as a minimum, show phase and circuit designation and nearest sectionalizing points.
(1) Changes in labeling shall be made concurrently with changes in circuit. 
(Title 24, Part 3, Section 3-710-88(d).)
(e) Neutral Conductor. The size and insulation of neutral conductors shall be in accordance with Section 2818.
(Title 24, Part 3, Section 3-710-88(e).)
(f) Shielding. All cables normally operated above 5,000 volts shall have insulation shielding, except that shielding shall not be required for series street lighting circuits operating at less than 7,500 volts. Metallic shielding at terminations shall be effectively grounded. If shielding is sectionalized, each section shall be effectively grounded. 
(Title 24, Part 3, Section 3-310-61.)
(g) Terminations. Cable terminations shall be suitable for the voltage and service conditions. 
(Title 24, Part 3, Section 3-710-3(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (e) filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2831. Circuit Feedback.
Note     •     History

(a) Identification. Circuits shall be labeled at all accessible points with suitable warning signs stating the locations from which feedback may occur because of:
(1) Circuits energized by manually or automatically operated equipment, or
(2) Circuit configurations or connections, or
(3) Circuits feeding a load which can be connected to auxiliary generating equipment, or
(4) Circuits feeding synchronous motor-driven generator sets which can be energized by reverse power flow from batteries or other sources.
(Title 24, Part 3, Section 3-710-89.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 20. Switches

(Formerly Article 69)
§2832.  
Note     •     History

A means shall be provided to completely isolate equipment for inspection and repairs. Isolating means that are not designed to interrupt the load current of the circuit shall be either interlocked with an approved circuit interrupter or provided with a sign warning against opening them under load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and new section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2833. Interrupter Switches.
Note     •     History

(a) Rating.
(1) Continuous Current Rating. The continuous current rating of interrupter switches shall equal or exceed the maximum continuous current at the point of installation.
(2) Interrupting Rating. The current interrupting rating of interrupter switches shall equal or exceed the maximum current which the switch will be required to interrupt.
(3) Momentary Rating. The momentary rating of interrupter switches shall equal or exceed the asymmetrical short circuit current available at the switch location. The asymmetrical short circuit current shall include contributions from all connected sources of energy, such as other lines, generators, large motors, etc.
(4) Fault Closing Rating. Interrupter switches shall have a fault closing rating equal to or greater than the asymmetrical short circuit current which can occur at the switch location, unless suitable interlocks or operating procedures preclude the possibility of closing into a fault.
(5) Voltage Rating. The maximum voltage rating of interrupter switches shall equal or exceed the maximum circuit voltage.
(b) Enclosure. Circuit breaker installations located indoors shall consist of metal-enclosed units or fire-resistant cell-mounted units, or shall be installed in a room of at least 2-hour fire-resistive construction, or in a transformer vault.
(1) In locations accessible only to qualified electrical workers, open mounting of circuit breakers is permitted. 
(2) A means of indicating the open and closed position of circuit breakers shall be provided.
(c) Installation Requirements. Interrupter switches shall be so installed that the center of the grip of the operating handle of the switch, when in its uppermost position, will be not more than 6 1/2 feet above the floor or working platform.
(d) Enclosures as Raceways. Switch enclosures shall not be used as raceways for conductors feeding through, or tapping off, to other switches, unless adequate space is provided for this purpose.
(e) Switching of Conductors. The switching mechanism shall be arranged to be operated from a location where the operator is not exposed to energized parts and shall be arranged to open all ungrounded conductors of the circuit simultaneously with one operation. Switches shall be arranged to be locked in the open position. Metal-enclosed switches shall be operable from outside the enclosure.
(f) Fuses. Fuses installed with interrupter switches shall comply with the requirements of Article 24.
(g) Readily and Safely Accessible. Interrupter switches, except those installed on poles or structures, shall be so located that they may be operated or maintained from a readily and safely accessible place.
(h) Identification. Interrupter switches shall have a permanent and legible nameplate including the following information: manufacturer's type or designation, continuous current rating, interrupting current rating, momentary current rating, fault closing rating, and maximum voltage rating.
(i) Stored Energy for Opening. The stored energy operator shall be permitted to be left in the uncharged position after the switch has been closed if a single movement of the operating handle charges the operator and opens the switch. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (c) filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
4. Amendment of subsection (b), new subsections (b)(1)-(2), repealer of subsection (f), subsection relettering and amendment of Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2833.1. Knife Switches.
Note     •     History

(a) Single-throw knife switches. Single-throw knife switches shall be so placed that gravity will not tend to close them. Single-throw knife switches approved for use in the inverted position shall be provided with a locking device that will ensure that the blades remain in the open position when so set.
(b) Double-throw knife switches. 
Double-throw knife switches shall be mounted so that the throw will be either vertical or horizontal. However, if the throw is vertical, a locking device shall be provided to ensure that the blades remain in the open position when so set.
(c) Connection of switches. 
(1) Single-throw knife switches and switches with butt contacts shall be connected so that the blades are deenergized when the switch is in the open position.
(2) Single-throw knife switches, molded-case switches, switches with butt contacts, and circuit breakers used as switches shall be connected so that the terminals supplying the load are deenergized when the switch is in the open position. 
(3) Blades and terminals supplying the load of a switch may be energized when the switch is in the open position where the switch is connected to circuits or equipment inherently capable of providing a backfeed source of power. For such installations, a permanent sign shall be installed on the switch enclosure or immediately adjacent to open switches that reads: “WARNING -- LOAD SIDE TERMINALS MAY BE ENERGIZED BY BACKFEED.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2833.2. Load Interrupter Switches.
Note     •     History

Load interrupter switches may be used only if suitable fuses or circuits are used in conjunction with these devices to interrupt fault currents.
(a) Where these devices are used in combination, they shall be coordinated electrically so that they will safely withstand the effects of closing, carrying, or interrupting all possible currents up to the assigned maximum short-circuit rating.
(b) Where more than one switch is installed with interconnected load terminals to provide for alternate connection to different supply conductors, each switch shall be provided with a conspicuous sign reading: “WARNING -- SWITCH MAY BE ENERGIZED BY BACKFEED.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2834. Fused Interrupter Switches.
Note     •     History

(a) Fused interrupter switches shall be so installed that all supply terminals shall be at the top of the switch enclosure. 

Exception: Supply terminals are not required to be at the top of the switch enclosure if barriers are installed to prevent persons from accidentally contacting energized parts or dropping tools or fuses into energized arts. 
(b) Where fuses can be energized by backfeed, a sign shall be placed on the enclosure door reading, “WARNING--FUSES MAY BE ENERGIZED BY BACKFEED.”
(Title 24, Part 3, Section 710-24(o).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (c) filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2835. Disconnecting (Isolating) Switches.
Note     •     History

(a) General. Disconnecting switches shall be permitted to be single-pole or multiple-pole.
(b) Isolating Means. A suitable air break switching device shall be installed to isolate each oil switch or group of oil switches from all sources of supply unless automatic disconnecting switchgear equipment of the metal-clad draw-out type is used. 

Exception: In highly corrosive or flammable atmospheres, suitable isolating means other than air break shall be used, or the isolating means shall be installed in an enclosure approved for use in such locations of the particular hazard involved.
(c) Accessible to Qualified Persons Only. Disconnecting switches installed in locations where only qualified persons are permitted access shall be installed in suitable enclosures, or shall be elevated above the floor not less than clearances shown in Section 2934.
(d) Accessible to Other Than Qualified Persons. Disconnecting switches installed in any location where other than qualified persons have access shall be installed in suitable enclosures.
The door or cover of the enclosure shall be kept closed, except when opened for operation or inspection. If installed so that the bottom of the enclosure is less than 8 feet above the floor, the door or cover shall be kept locked.
When disconnecting switches are operable from outside the enclosure by a remote control mechanism, the operating handle or lever shall be kept locked when in either the open or closed position.
(e) Operation. Isolating switches shall be provided with suitable means for safe normal operation. This operating means shall be permitted to be an insulated hookstick, an insulated external operating handle, or remote control mechanism. Disconnecting switches shall provide a visible gap in the circuit adequate for the operating voltage.
Provision shall be made to observe the position of the blades of disconnecting switches. If viewing windows are provided, they shall be shatterproof, of adequate size, and suitably located to permit viewing of all contacts. Metal-enclosed switches other than those designed for hookstick operation shall be arranged to be locked in the open position. Multiple switches in the same enclosure shall be equipped with a connection diagram.
(f) Rating. Disconnecting switches shall have current and voltage ratings not less than the full-load current and operating voltage of the circuit. The momentary rating of disconnecting switches shall equal or exceed the asymmetrical short circuit current available at the switch location. The asymmetrical short circuit current shall include contributions from all connected sources of energy, such as other lines, generators, large motors, etc.
(g) Identification. The disconnecting switches shall have a permanent and legible nameplate including the following information: continuous current rating, maximum voltage rating, momentary current rating.
(h) Warning Signs. Unless so interlocked that they cannot be opened under load, disconnecting switches shall be provided with permanent warning signs having letters at least 2 inches high and reading as follows: “Warning--Disconnecting Switch--Do Not Open Under Load.” When a group of disconnecting switches is installed in one room or enclosure, a single sign may be sufficient.
(i) Barriers. Suitable barriers shall be installed on both sides of each pole of disconnecting switches mounted indoors. 
(Title 24, Part 3, Section 3-710-22.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 2-9-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45). 
3. Amendment of subsections (a) and (e) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 21. Circuit Breakers

(Formerly Article 70)
§2837. Ratings.
Note     •     History

(a) The continuous current rating of a circuit breaker shall equal or exceed the maximum continuous current at the point of installation.
(b) The interrupting rating of a circuit breaker shall equal or exceed the maximum fault current the circuit breaker will be required to interrupt, including contributions from all connected sources of energy. 
(c) The closing rating of a circuit breaker shall equal or exceed the maximum asymmetrical fault current into which the circuit breaker can be closed.
(d) The momentary rating of a circuit breaker shall equal or exceed the maximum asymmetrical fault current at the point of installation.
(e) The rated maximum voltage of a circuit breaker shall equal or exceed the maximum circuit voltage. 
(Title 24, Part 3, Section 710-21(a)(5)-(a)(9).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 70 to Article 21 filed 11-2-83 (Register 83, No. 45).
2. Removal of article 21 heading filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2838. Grounding.
Note     •     History

Metallic enclosures for circuit breakers shall be grounded as required by Article 6. 
(Title 24, Part 3, Section 3-710-21(a)(10).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2839. General.
Note     •     History

Circuit breakers shall comply with all the provisions of American National Standard ANSI/IEEE C37.04--1979, Rating Structure for AC High-Voltage Circuit Breakers Rated on a Symmetrical Current Basis, which is hereby incorporated by reference, and shall be permitted to be single pole or multi-pole. They shall:
(a) Have an accessible mechanical or other approved means for manual tripping, independent of control power.
(b) Be release free (trip free).
(c) Have positive means to prevent unintended operation during inspection or maintenance.
(d) When operated manually while energized, open and close the main contacts independent of the speed of the manual operation.
(e) Be equipped with a mechanical position indicator to show the open or closed position of the main contacts. 
(Title 24, Part 3, Section 710-21 (a) (4) a-e.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2840. Identification.
Note     •     History

(a) Circuit breakers shall have a permanent and legible nameplate including the following information: manufacturer's name or trademark, manufacturer's type or identification number, continuous current rating, interrupting rating in MVA or amperes, and maximum voltage rating.
(b) Modifications of a circuit breaker affecting its rating(s) shall be accompanied by an appropriate change in the identification data on the nameplate. 
(Title 24, Part 3, Section 710-21(a)(4)f.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2841. Isolation.
Note     •     History

(a) Means shall be provided to isolate each circuit breaker or circuit breaker installation from all sources of potential.
(b) The isolating means shall provide a visible gap in the electrical circuit adequate for the operating voltage.
(c) Isolating or disconnecting switches (with no interrupting rating) shall be mechanically interlocked with the circuit breaker or shall be provided with prominently displayed caution signs in accordance with Section 2835 to prevent switching load current.
(d) The isolating means shall be permitted to be individually or group operated. 
(Title 24, Part 3, Section 3-710-21(a)(11).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (c) filed 11-3-83 (Register 83, No. 45). 
3. Amendment of subsection (d) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2843. General.
Note     •     History

Automatic circuit reclosers shall comply with all the provisions of American National Standard ANSI/IEEE C37.60-1981, Requirements for Overhead, Pad Mounted, Dry Vault, and Submersible Automatic Circuit Reclosers and Fault Interrupters for AC Systems, which is hereby incorporated by reference, and with all the requirements of Article 21, except that the provisions of ANSI/IEEE C37.04-1979 referenced in Article 21 do not apply to circuit reclosers.
(Title 24, Part 3, Section 3-710-21(d)(9).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction including renumbering of former Article 71 to Article 22 filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
4. Removal of article 22 heading filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2845. Power Fuses.
Note     •     History

(a) Use. Where fuses are used to protect conductors and equipment, a fuse shall be placed in each ungrounded conductor.
(1) Parallel (Multiple) Power Fuses. Two power fuses shall be permitted to be used in parallel (multiple) to protect the same load, provided:
(A) Both fuses have identical ratings, and
(B) Both fuses are installed in an identified common mounting with electrical connections that will divide the current equally.
(b) Vented Power Fuses. Power fuses of the vented type shall not be used indoors, underground or in metal enclosures unless identified for the use.
(c) Interrupting Rating. The interrupting rating of power fuses shall equal or exceed the maximum fault current the fuse will be required to interrupt, including contributions from all connected sources of energy.
(d) Voltage Rating. The maximum voltage rating of power fuses shall equal or exceed the maximum circuit voltage. Fuses having a minimum recommended operating voltage shall not be applied below this voltage.
(e) Installation. Fuses shall be installed in suitable metal enclosures.Exception: Fuses shall be permitted to be installed without metal enclosures in substations, vaults, or outdoor locations.
(f) Structure Mounted Indoor or Outdoor. The height of fuse mountings on structures shall provide safe clearance between lowest energized part (open or closed position) and standing surface. For mounting heights, see Article 35.
(g) Disconnecting Means. A suitable means shall be installed to isolate each fuse from all sources of potential. Provision for installation and removal of the fuse by suitable live line tools meets this requirement.
(h) Identification of Fuse Mountings and Fuse Units. The fuse mountings and fuse units shall be permanently and legibly identified to include the following information: manufacturer's type or designation, continuous current rating, interrupting current rating, and maximum voltage rating.
(i) Clear Workspace. Space shall be provided for fuse handling in accordance with Article 35.
(j) Door Interlock. Means shall be provided to prevent access to fuses installed in metal enclosures until all sources of energy are disconnected.
(k) Enclosed Fuse Types. Fuses installed in metal enclosures shall be of the non-vented or controlled-vented type. Adequate volume or other means shall be provided to prevent the operation of fuses from causing dangerous pressures in enclosures.
(l) Fused cutouts installed in buildings or transformer vaults shall be of a type approved for the purpose. They shall be readily accessible for fuse replacement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (k) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction including renumbering of former article 72 to article 23 filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1.)
4. Change without regulatory affect redesignating subsections (b) through (k) as (c) through (l) filed pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 7).
5. Removal of article 23 heading and amendment of subsection (a)(1)(B) filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2847. Distribution Cutouts and Fuse Links--Expulsion Type.
Note     •     History

(a) Installation. The cutouts shall be so located that they may be readily and safely operated and refused, and so that the exhaust of the fuses will not endanger persons. Distribution cutouts shall not be used indoors, underground, or in metal enclosures. 
(b) Interrupting Rating. The interrupting rating of distribution cutouts shall equal or exceed the maximum fault current which can occur at the fuse location. The available fault current at the fuse location shall include contributions from all connected sources of energy, such as the other lines, generators, large motors, etc. 
(c) Voltage Rating. The maximum voltage rating of cutouts shall equal or exceed the maximum circuit voltage. 
(d) Operation. Where fused cutouts are not suitable to interrupt the circuit manually while carrying full load, an approved means shall be installed to interrupt the entire load.
Unless the fused cutouts are interlocked with the switch to prevent opening of the cutouts under load, a conspicuous sign shall be placed at such cutouts reading, “Warning--Do Not Operate Under Load.” 
(e) Identification. Distribution cutouts and fuse links shall have a permanent and legible nameplate or identification including the following information:
(1) Cutout Body, Door, or Fuse Tube. Manufacturer's type or designation, continuous current rating, maximum voltage rating, interrupting rating. 
(2) Fuse Links. Continuous current rating, type identification following the continuous current rating. 
(f) Structure Mounted Outdoors. The height of cutouts mounted outdoors on structures shall provide safe clearance between lowest energized parts (open or closed position) and standing surfaces. For mounting heights, see Articles 19 and 35. 
(g) Clear Workspace. Space shall be provided for fuse handling in accordance with Article 35. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 73 to Article 24 filed 11-2-83 (Register 83, No. 45). 
2. Amendment of subsections (a)-(d) and (f) filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Removal of article 24 heading and amendment of section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2849. Continuous Current Rating.
Note     •     History

The continuous current rating of oil-filled cutouts shall equal or exceed the maximum continuous current at the point of installation. 
(Title 24, Part 3, Section 710-21(d)(1).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 74 to Article 25 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Removal of article 25 heading filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2850. Interrupting Rating.
Note     •     History

The interrupting rating of oil-filled cutouts shall equal or exceed the maximum fault current available at the cutout location, including contributions from all connected sources of energy, such as other lines, generators, large motors, etc. 
(Title 24, Part 3, Section 710-21(d)(2).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 189243(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2851. Voltage Rating.
Note     •     History

The maximum voltage rating of oil-filled cutouts shall equal or exceed the maximum circuit voltage. 
(Title 24, Part 3, Section 710-21 (d)(3).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2852. Fault Closing Rating.
Note     •     History

Oil-filled cutouts shall have a fault closing rating equal to or greater than the available fault current which can occur at the cutout location, unless suitable interlocks or operating procedures preclude the possibility of closing into a fault. 
(Title 24, Part 3, Section 710-21(d)(4).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2853. Location.
Note     •     History

The cutouts shall be so located that they will be readily and safely accessible for refusing, with the top of the cutout not more than 5 feet above the floor or platform. 
(Title 24, Part 3, Section 710-21(d)(7).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2854. Identification.
Note     •     History

Oil-Filled Cutouts. Oil-filled cutouts shall have a permanent and legible nameplate showing the rated continuous current, rated maximum voltage, and rated interrupting current. 
(Title 24, Part 3, Section 710-21(d)(5).)
(b) Fuses. Fuse links shall have a permanent and legible identification showing the rated continuous current.
(Title 24, Part 3, Section 710-21(d)(6).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2855. Enclosure.
Note     •     History

Suitable barriers or enclosures shall be provided to prevent contact with non-shielded cables or energized parts of oil-filled cutouts. 
(Title 24, Part 3, Section 710-21(d)(8).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1). 
Article 26. Metal-Enclosed Power Switchgear and Industrial Control Assemblies

(Formerly Article 75)
§2857. Scope.
Note     •     History

This article covers assemblies of metal-enclosed power switchgear and industrial control, including but not limited to switches, interrupting devices and their control, metering, protection and regulating equipment, when an integral part of the assembly, with associated interconnections and supporting structures. This article also includes metal-enclosed power switchgear assemblies which form a part of unit substations, power centers, or similar equipment. 
(Title 24, Part 3, Section 710-24(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 75 to Article 26 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2858. Metal-Enclosed Power Switchgear.
Note     •     History

(a) Metal-enclosed power switchgear assemblies shall be constructed in accordance with American National Standard ANSI/IEEE C.37.20-1969 and supplements to and including C37.20d-1978, Switchgear Assemblies Including Metal-Enclosed Bus, which is hereby incorporated by reference.
(b) Metal-enclosed industrial control assemblies shall be constructed in accordance with American National Standard ANSI/NEMA ICS 2-1978, Standards for Industrial Control Devices, Controllers and Assemblies, which is hereby incorporated by reference. 
(Title 24, Part 3, Section 3-710-24(q).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2859. Arrangement of Devices in Assemblies.
Note     •     History

Arrangement of devices in assemblies shall be such that individual components can safely perform their intended function without adversely affecting the safe operation of other components in the assembly.
(Title 24, Part 3, Section 710-24(b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2860. Guarding of High-Voltage Energized Parts Within a Compartment.
Note     •     History

When access for other than visual inspection is required to a compartment which contains energized high-voltage parts, barriers shall be provided (a) to prevent accidental contact with energized parts, and (b) to prevent tools or other equipment from being dropped on energized parts.
(Title 24, Part 3, Section 710-24(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2861. Guarding of Low-Voltage Energized Parts Within a Compartment.
Note     •     History

Energized bare parts mounted on doors shall be effectively guarded or enclosed where the door must be opened for maintenance of equipment or removal of drawout equipment. 
(Title 24, Part 3, Section 710-24(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2862. Clearance for Cable Conductors Entering Enclosure.
Note     •     History

The unobstructed space opposite terminals or opposite conduits or other raceways entering a switchgear or control assembly shall be adequate for the type of conductor and method of termination. 
(Title 24, Part 3, Section 710-24(e).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2863. Accessibility of Energized Parts.
Note     •     History

(a) Doors or removable panels which could provide non-qualified persons access to high-voltage energized parts shall be locked or secured by other approved means. When high-voltage metal-enclosed switchgear or control assemblies are accessible only to qualified persons, bolted-on or hinged and bolted cover plates shall be permitted to be used.
(b) Low-voltage control equipment, relays, motors, and the like (except instrument or control transformers which are connected to the high voltage) shall not be installed in compartments with exposed high-voltage energized parts or high-voltage wiring unless the access door or cover is interlocked with the high-voltage switch or disconnecting means to prevent the door or cover from being opened or removed unless the switch or disconnecting means is in the open position.
(c) Switchboards with exposed live parts. Switchboards that have any exposed live parts shall be located in permanently dry locations and shall be accessible only to qualified persons.
(d) Panelboard enclosures. Panelboards shall be mounted in cabinets, cutout boxes, or enclosures designed for the purpose and shall be dead front. However, panelboards other than the dead front externally-operable type are permitted where accessible only to qualified persons.
(e) Knife switches mounted in switchboards or panelboards. Exposed blades of knife switches mounted in switchboards or panelboards shall be dead when open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of subsection (b), new subsection (c) and amendment of Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2864. Grounding.
Note     •     History

Frames of switchgear and control assemblies shall be grounded in accordance with Article 6. 
(Title 24, Part 3, Section 710-24(g).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2865. Grounding of Devices.
Note     •     History

Devices with metal cases and/or frames, such as instruments, relays, meters, and instrument and control transformers, located in or on switchgear or control, shall have the frame or case effectively grounded. 
(Title 24, Part 3, Section 710-24(h).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2866. Door Stops and Cover Plates.
Note     •     History

External hinged doors or covers for outdoor equipment shall be provided with stops to hold them in the open position. Cover plates intended to be removed for inspection of energized parts or wiring shall be locked or secured by other approved means and equipped with lifting handles and shall not exceed 12 square feet in area or 60 pounds in weight. If they exceed 12 square feet in area or 60 pounds in weight, they shall be hinged and bolted or locked. 
(Title 24, Part 3, Section 710-24(i).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2867. Gas Discharge from Interrupting Devices.
Note     •     History

Gas discharged during operation of interrupting devices shall be so directed as not to endanger personnel. 
(Title 24, Part 3, Section 710-24(j).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2868. Inspection Windows.
Note     •     History

Windows intended for inspection of disconnecting switches or other devices shall be of suitable transparent material. 
(Title 24, Part 3, Section 710-24(k).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2869. Location of Devices.
Note     •     History

Control and instrument transfer switch handles or push buttons shall be located in a readily accessible location at an elevation not in excess of 78 inches. 

Exception: NO. 1: Operating handles requiring more than 50 pounds of force shall not be higher than 66 inches in either the open or closed position. 

Exception: NO. 2: Operating handles for infrequently operated devices, such as drawout fuses, fused potential or control transformers and their primary disconnects, and bus transfer switches, need not be readily accessible, provided they are otherwise safely operable and serviceable from a portable platform.
(Title 24, Part 3, Section 710-24(l ).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2870. Interlocks--Interrupter Switches.
Note     •     History

Interrupter switches equipped with stored energy mechanisms shall have mechanical interlocks to prevent access to the switch compartment unless the stored energy mechanism is in the discharged or blocked position.
(Title 24, Part 3, Section 710-24(m).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2871. Interlocks--Circuit Breakers.
Note     •     History

(a) Circuit breakers equipped with stored energy mechanisms shall be designed to prevent the release of the stored energy unless the mechanism has been fully charged.
(b) Mechanical interlocks shall be provided in the housing to prevent the complete withdrawal of the circuit breaker from the housing when the stored energy mechanism is in the fully charged position. In lieu of the above interlock, a suitable device may be provided which prevents the complete withdrawal of the circuit breaker until the closing function is blocked. 
(Title 24, Part 3, Section 710-24(p).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 27. Transformers

(Formerly Article 76)
§2873. Scope.
Note     •     History

This article applies to the installation of all transformers, including voltage and current regulators or regulating transformers. 

Exception: Control, instrument, and other transformers which constitute an integral part of other apparatus (test equipment, X-ray, diathermic, welders, rectifiers, mobile equipment, high frequency, or electrostatic-coating apparatus, etc.) and conform to the requirements of such other apparatus.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 76 to Article 27 filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2874. General.
Note     •     History

(a) Ventilation. Adequate ventilation shall be provided to assure safe operating temperature of apparatus. 
(b) Protection from Physical Damage. Transformers and attachments, such as conductors and externally mounted devices, shall be protected from physical damage by suitable barriers, guards, or location. 
(c) Identification. Each transformer shall be identified by a permanent nameplate which includes the following information:
(1) The word(s) “Transformer,” “Voltage Regulating Transformer,” or “Voltage Regulator.”
(2) Manufacturer's name, type, and serial designation.
(3) Rated KVA, phases, and frequency.
(4) Voltage ratings and tap voltages.
(5) Connection diagram.
(6) Polarity (single phase).
(7) Impedance.
(8) Rated temperature rise in degrees centigrade.
(9) Identification of insulating medium.
(10) Amount of insulating liquid (not required for sizes 167 KVA and smaller).
(11) Approximate total weight (not required for sizes 25 KVA and smaller). 
(d) Access Openings. Access openings to transformer enclosures shall be provided with a means for locking or otherwise preventing unauthorized access. 
(e) Signs. 
(1) A permanent, legible, and clearly visible “HIGH VOLTAGE” warning sign, having letters at least 2 inches high, shall be located on the access opening of each transformer enclosure. These signs shall read substantially as follows: “Danger--High Voltage--Keep Out.”
(2) The operating voltage of exposed live parts of transformer installations shall be indicated by signs or visible markings on the equipment or structure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2875. Requirements Applicable to Specific Types and Locations of Transformers.
Note     •     History

(a) Indoor Installations. Oil-insulated transformers shall not be installed indoors except in a vault constructed in accordance with Sections 2805 and 2806, or a separate building meeting the requirements of Section 2807. 
(b) High Fire Point Liquid-Insulated Transformers. Transformers insulated with a listed, less flammable liquid (high fire point) shall be permitted to be installed without a vault in a non-combustible occupancy area of non-combustible buildings, provided there is a liquid confinement area and the liquid is listed as having a fire point of not less than 300 degrees C. Such transformers installed indoors and rated over 35,000 volts shall be installed in a vault. 
(c) Dry-type, high fire point liquid-insulated, and askarel-insulated transformers installed indoors and rated over 35kV shall be in a vault.
(d) Protection from Flooding. Transformers and associated equipment subject to flooding shall be submersible. 
(e) Protection Against Toxic Gases. Precautions shall be taken to prevent transformers from venting toxic or explosive gases into an inadequately ventilated space. 
(f) Outdoor Installations. Transformers shall be permitted to be installed in outdoor enclosures meeting the requirements of Section 2812.1 or on roofs in accordance with Section 2808. Transformers installed on poles or structures shall conform to Rule 58.3, General Order No. 95, 1981 Edition, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, which is hereby incorporated by reference. Transformers installed underground shall conform to Rule 34.2C, General Order No. 128, 1974 Edition, Rules for Construction of Underground Electric Supply and Communications Systems of the California Public Utilities Commission which is hereby incorporated by reference 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
2. Amendment of subsection (b) filed 3-2-83; effective thirtieth day thereafter (Register 83, No. 10).
3. Editorial correction filed 11-2-83 (Register 83, No. 45). 
4. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
5. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2876. Switching.
Note     •     History

Means shall be provided for interrupting the load and magnetizing currents and for isolation of each transformer, transformer bank, or transformer installation. Switches used for these purposes shall be capable of carrying the maximum load current at the point of installation and shall meet the requirements of Article 20.
(a) Load Current. Means shall be installed on either the supply or load side to interrupt the maximum load current of each transformer, transformer bank, or transformer installation that will be switched as a unit. If the load break means is installed on the load side, it may consist of a main transformer switching device or a combination of two or more switching devices carrying the entire transformer load.
(b) Magnetizing Current. Means shall be installed to interrupt the magnetizing current of each voltage regulator, transformer, transformer bank, or transformer installation that will be switched as a unit. Interrupter switches that are not rated to interrupt the maximum load current at the point of installation shall be mechanically interlocked with the load break device required by subsection (a) above.
(c) Isolation. Means shall be installed to isolate from all sources of potential each transformer, transformer bank, or transformer installation that will be removed from service as a unit. Isolating or disconnecting switches that are not rated to interrupt the maximum load current at the point of installation shall be mechanically interlocked with the load break device required by subsection (a) above. If not rated to interrupt magnetizing current,they shall also be interlocked with any separate magnetizing current interrupting switch(es) that may be provided. 

Exception: Where such interrupter switches or disconnects are mounted out of doors, a permanent warning sign meeting the requirements of Section 2835 (h) shall be permitted to be provided in lieu of interlocking.
(d) Additional Requirements for Voltage Regulators. Proper switching sequence for regulators shall be assured by use of one of the following:
(1) Mechanically sequenced regulator bypass switch(es).
(2) Mechanical interlocks.
(3) Switching procedure prominently displayed at the switching location.
(Title 24, Part 3, Section 3-450-51.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2877. Overcurrent Protection.
Note     •     History

Each transformer or bank of transformers operating as a unit shall be protected against fault and overload currents by an overcurrent device in each ungrounded conductor in the primary connection. The protective device shall be permitted to be integral with or external to a transformer.

Exception: No. 1: On grounded systems, a relay in each of two phases, in conjunction with a ground relay, meets this requirement. 

Exception: No. 2: More than one transformer or transformer bank shall be permitted to be protected by the same overcurrent device, provided the protection for each transformer meets the requirements of Section 2877 (b).
(a) Internal protective devices supplied integrally with a transformer shall be rated or adjusted in accordance with the specifications of the manufacturer.
(b) External protective means shall prevent the flow of current through the transformer in excess of the magnitudes and times in the following table:

	Multiples of Transformer	Maximum Time          
	Self-cooled Rating	in Seconds            

	8	Times	300 	Sec.
	14.3	Times	5 	Sec.
	25	Times	2 	Sec.
	50	Times	0.5 	Sec.
	100	Times	0.125 	Sec.

(Title 24, Part 3, Section 450-3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2878. Grounding.
Note     •     History

Transformer windings, if grounded, and metallic cases or enclosures for transformers shall be grounded in accordance with Article 6. 

Exception: Cases of pole-mounted transformers need not be grounded, unless grounding is required by General Order No. 95, Rule 58.3C3, Rules for Overhead Electric Line Construction of the California Public Utilities Commission.
(Title 24, Part 3, Section 3-450-10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 28. Rotating Machinery and Its Control Apparatus

(Formerly Article 77)
§2880. Scope.
Note     •     History

The provisions of this article apply to any rotating machine with normal rated operating voltages in excess of 600 volts between conductors or conductors to ground and to the circuits and control apparatus directly associated with such a machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 77 to Article 28 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1). 
3. Change without regulatory effect providing more legible version of Diagrams 2880(a) and 2880(b) filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
4. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).

Diagram 2880(a)
TYPICAL MOTOR BRANCH CIRCUIT DIAGRAM

View Graphic

Diagram 2880(b)
TYPICAL GENERATOR CIRCUIT DIAGRAM

View Graphic
§2881. Conductors.
Note     •     History

(a) General. Conductors for use on rotating equipment and its control shall be of the proper voltage classification for the application as described in Article 18. 
(Title 24, Part 3, Section 3-430-121.)
(b) Size of Conductors. Conductors supplying motors and the load conductors of generators shall have ampacities to carry safely the maximum load current and shall meet the requirements of Article 18. 
(Title 24, Part 3, Section 3-430-124.)
(c) Conductor Enclosures Adjacent to Rotating Machinery. When making raceway connections to the terminal enclosures of rotating machines, flexible metallic conduit shall be permitted to be used if the flexible conduit is properly bonded at both ends or otherwise properly grounded. The maximum length of flexible conduit shall not be more than 6 feet. 
(Title 24, Part 3, Section 430-123.)
(d) Terminations. Terminations of conductors at the motor or generator shall be in terminal enclosures or in a pit or limited access enclosure and shall be adequately braced and protected from physical damage. If terminal enclosures are used, they shall provide adequate room to allow proper terminations of the conductors without sharp bends. 
(Title 24, Part 3, Section 3-430-128.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2882. Control of Motors and Generators. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (a) (1) filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Editorial correction of subsections (a) and (b) filed 11-3-83 (Register 83, No. 45). 
4. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
5. Renumbering of former section 2882 to new section 2882.1 filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2882.1. Motors.
Note     •     History

(a) Within Sight Of. 
If specified in this article that one piece of equipment shall be “within sight of” another piece of equipment, the piece of equipment shall be visible and not more than 50.0 ft. (15.24 m) from the other.
(b) Controls. 
(1) Each motor shall be provided with a means for starting and stopping. The switching means shall meet the requirements of Sections 2833 and 2837. A properly coordinated and rated combination of current-limiting fuses and contactor will meet these requirements. 
(c) Disconnecting Means. 
(1) An individual disconnecting means shall be provided for each controller. A disconnecting means shall be located within sight of the controller location. 

EXCEPTIONS to (c)(1): 

1. A single disconnecting means may be located adjacent to a group of coordinated controllers mounted adjacent to each other on a multi-motor continuous process machine.

2. The controller disconnecting means for motor branch circuits over 600 volts, nominal, shall be permitted to be out of sight of the controller, if the controller is marked with a warning label giving the location and identification of the disconnecting means which is to be locked in the open position. 
(2) Isolation. A means shall be installed to isolate each motor and its controller from all sources of potential. The isolating means shall meet requirements of Section 2835(b). 
(3) The disconnecting means shall disconnect the motor and the controller from all ungrounded supply conductors and shall be so designed that no pole can be operated independently.
(4) The disconnecting means shall plainly indicate whether it is in the open (off) or closed (on) position.
(5) The disconnecting means shall be readily accessible. If more than one disconnect is provided for the same equipment, only one need be readily accessible.
(d) General Application--Motors.
(1) Several Motors Served by a Single Disconnecting Means. An individual disconnecting means shall be provided for each motor. 

EXCEPTION to (d)(1): A single disconnecting means may be used for a group of motors under any one of the following conditions:

1. A number of motors driving the several parts of a single machine, where the construction or use of the machine is such that it would be impractical to attempt to repair the motor, controller, or machine while any part of the machine is in operation.

2. If a group of motors is under the protection of one set of branch-circuit protective devices; or

3. If a group of motors is in a single room within sight of the location of the disconnecting means.
(2) Motors, motor-control apparatus, and motor branch-circuit conductors shall be protected against overheating due to motor overloads or failure to start, and against short-circuits or ground faults. These provisions do not require overload protection that will stop a motor where a shutdown is likely to introduce additional or increased hazards, as in the case of fire pumps, or where continued operation of a motor is necessary for a safe shutdown of equipment or process and motor overload sensing devices are connected to a supervised alarm.
(3) Control Circuits. High-voltage portions of control circuits shall be protected against fault currents as provided in Section 2883. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 2882 to new section 2882.1, including amendment of section heading, section and Note, filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2882.2. Generators.
Note     •     History

(a) Each generator shall be provided with a load switching device meeting the requirements of Section 2833 or 2837. A properly coordinated and rated combination of current-limiting fuses and contactor will meet this requirement. 
(b) Isolation. A means shall be installed to isolate each generator from all sources of potential. The isolating means shall meet the requirements of Section 2835 (b). 
(c) Excitation Control. The generator excitation system shall include a means for safely interrupting excitation current. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2883. Motor Circuit Protection.
Note     •     History

(a) General. The high-voltage circuit for each motor shall include coordinated protection to detect and automatically interrupt motor running overcurrent (overload) and fault currents in the motor, the motor circuit conductors, and the motor controller. 

Exception: Where there is a motor which is vital to operation of the plant and the motor should operate to failure if necessary to prevent a greater hazard to persons, the sensing device shall be permitted to be connected to a supervised annunciator or alarm instead of interrupting the motor circuit.
(Title 24, Part 3, Section 430-125(a).)
(b) Grounding. Motor frames shall be grounded in accordance with Article 6. 
(Title 24, Part 3, Section 3-430-145.)
(c) Fault Current Protection.
(1) Fault current protection shall be provided by one or more of the following:
(A) A circuit breaker, contactor, or other device meeting the requirements of Article 21.
(B) Fuses meeting the requirements of Article 23.
(2) Fuses used for fault interruption shall be placed in each ungrounded conductor. Circuit breakers or contactors and their associated fault sensing devices shall provide protection for, and shall simultaneously disconnect, all ungrounded conductors.
(3) Fault interrupting devices in motor circuits shall not automatically reclose after trip.
(Title 24, Part 3, Section 430-125(c).)
(d) Overload Protection.
(1) Each motor shall be protected against dangerous overheating by one, or both, of the following means:
(A) A thermal protector integral with the motor.
(B) An external current sensing device.
(2) The secondary circuits of wound rotor alternating current motors, including conductors, controllers, and resistors rated for the application, shall be considered as protected against overcurrent by the motor overload protection means.
(3) Synchronous motor rotors in addition shall be protected by a motor shutdown device matched to the squirrel-cage winding short time thermal rating for starting.
(4) Operation of the overload interrupting device shall simultaneously disconnect all ungrounded conductors.
(5) Resetting of Overload Sensing Devices.
(A) Overload sensing devices shall not be automatically reset after trip unless:
1. Resetting of the overload sensing device does not cause automatic restarting of the motor.
2. No hazard to persons is created by automatic restarting of the motor and its connected machinery.
(B) When the reset for the overload sensing device is manually operated, it shall be so located as to be safely and readily accessible. 
(Title 24, Part 3, Section 3-430-125(b).)
(e) Combination Protection. Combination fault interruption and overload protection shall be permitted to be provided by the same device.
(Title 24, Part 3, Section 430-125(c)(3).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2884. Generator Circuit Protection.
Note     •     History

(a) Generator Grounding. Generator windings, if grounded, and frames shall be grounded in accordance with Article 6.
(b) General. The high-voltage circuit of each generator shall include coordinated protection capable of detecting and automatically interrupting overload and fault currents in the generator, the generator circuit conductors, and the generator control. 

Exception: The overload protection for generators in supervised locations need not automatically trip the switching device, provided it initiates an alarm for the operator to take appropriate action.
(c) Fault Current Protection.
(1) Fault current protection shall be provided by one or more of the following:
(A) A circuit breaker, contactor, or other device meeting the requirements of Article 21.
(B) Fuses meeting the requirements of Article 23.
(2) Fuses used for fault interruption shall be placed in each ungrounded conductor. Circuit breakers or contacts and their associated fault sensing devices shall provide protection for, and shall simultaneously disconnect, all ungrounded conductors.
(3) For faults on the generator side of the generator switching device, the fault protection system shall automatically remove excitation from the generator.
(4) Fault interrupting devices in generator circuits shall not automatically reclose after trip.
(d) Overload Protection.
(1) Each generator shall be protected against dangerous overheating by one of the following means:
(A) A thermal protector integral with the generator.
(B) An external current sensing device.
(2) Overcurrent devices shall not be automatically reset if any hazard results.
(e) Combination Protection. Combination fault interruption and overload protection shall be permitted to be provided by the same device.
(Title 24, Part 3, Section 3-445-10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of section heading filed 11-3-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2885. Identification.
Note     •     History

(a) General. Each motor, generator, and controller shall be provided with a prominently displayed permanent nameplate.
(b) Motors (A.C. or D.C.). Each motor nameplate shall include the following: manufacturer's name and identification numbers; horsepower (if horsepower rated); voltage, full-load current, phase, frequency, and speed; insulation class or temperature rise; if equipped with integral thermal protective device, it shall be so marked; if motor has a wound rotor, it shall show open circuit voltage and full-load current of the rotor winding; if motor is synchronous, it shall also show the input supply voltage and current required for excitation.
(Title 24, Part 3, Section 430-7.)
(c) Generators (A.C. or D.C.). Each generator nameplate shall include the following: manufacturer's name and identification numbers; kilovolt amperes (or kilowatts and power factor); voltage, current, phase, frequency, and speed; insulation class or temperature rise. 
(Title 24, Part 3, Section 445-3.)
(d) Control Apparatus. The nameplate of each major piece of control apparatus shall include the following: manufacturer's name; type, class, or other suitable identification; current or horsepower rating; rated voltage and control voltage. 
(Title 24, Part 3, Section 430-8.)
(e) Terminals. Terminals of motors, generators, and control apparatus shall be suitably identified. 
(Title 24, Part 3, Section 430-9.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 29. Capacitors

(Formerly Article 78)
§2887. General.
Note     •     History

This article covers the installation of capacitors on electric circuits. Surge capacitors or capacitors included as a component part of other apparatus and conforming with the requirements of such apparatus are excluded from these requirements. 
(Title 24, Part 3, Section 460-1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 78 to Article 29 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2888. Enclosing and Guarding.
Note     •     History

(a) Capacitors containing more than 3 gallons of a flammable liquid shall be enclosed in vaults or outdoor fenced enclosures complying with Article 17.
(b) Capacitors shall be enclosed, located, or guarded so that persons cannot come into accidental contact or bring conducting materials into accidental contact with exposed energized parts, terminals, or buses associated with them. 

Exception: No additional guarding is required for enclosures accessible only to authorized and qualified persons.
(Title 24, Part 3, Section 460-2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2889. Grounding.
Note     •     History

Capacitor neutrals and cases, if grounded, shall be grounded in accordance with Article 6. 
(Title 24, Part 3, Section 460-27.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2890. Switching.
Note     •     History

(a) Load Current. Single-pole individually operated or multi-pole group-operated switches used for capacitor switching shall be capable of: 
(1) carrying continuously not less than 135 percent of the rated current of the capacitor installation; 
(2) interrupting the maximum continuous load current of each capacitor, capacitor bank, or capacitor installation that will be switched as a unit; 
(3) withstanding the maximum inrush current, including contributions from adjacent capacitor installations; and 
(4) carrying currents due to faults on the capacitor side of the switch. 
(b) Isolation.
(1) A means shall be installed to isolate from all sources of voltage each capacitor, capacitor bank, or capacitor installation that will be removed from service as a unit.
(2) The isolating means shall provide a visible gap in the electrical circuit adequate for the operating voltage.
(3) Isolating or disconnecting switches (with no interrupting rating) shall be interlocked with the load interrupting device or shall be provided with prominently displayed caution signs in accordance with Section 2835 (h) to prevent switching load current. 
(c) Additional Requirements for Series Capacitors. The proper switching sequence shall be assured by use of at least one of the following:
(1) Mechanically sequenced isolating and bypass switches.
(2) Interlocks.
(3) Switching procedure prominently displayed at the switching location. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-1-83; effective thirtieth day thereafter (Register 83, No. 6).
2. Editorial correction filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
4. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2891. Overcurrent Protection.
Note     •     History

(a) A means shall be provided to detect and interrupt fault current liable to cause dangerous pressure within an individual capacitor.
(b) Single-phase or multi-phase devices shall be permitted to be used for this purpose.
(c) Capacitors shall be permitted to be protected individually or in groups.
(d) Protective devices supplied integrally with a capacitor equipment shall be rated or adjusted in accordance with the recommendations of the manufacturer.
(e) Protective devices installed external to capacitor equipment shall be rated or adjusted to operate in accordance with the requirements of Section 5 of American National Standard ANSI/IEEE Std. 18-1980, IEEE Standard for Shunt Power Capacitors, which is hereby incorporated by reference. 
(Title 24, Part 3, Section 460-25.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction of subsection (e) filed 11-3-83 (Register 83, No. 45).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2892. Identification.
Note     •     History

Each capacitor shall be provided with a permanent nameplate giving the maker's name, rated voltage, frequency, kvar or amperes, number of phases, and the amount of liquid in gallons identified as flammable, if such is the case.
(Title 24, Part 3, Section 460-26.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2893. Means for Discharge.
Note     •     History

(a) A means shall be provided to reduce the residual voltage of a capacitor to 50 volts or less within 5 minutes after the capacitor is disconnected from the source of supply.
(b) A discharge circuit shall be provided with automatic means of connecting it to the terminals of the capacitor bank after disconnection of the capacitor from the source of supply. The windings of motors, or transformers, or of other equipment directly connected to capacitors without a switch or overcurrent device interposed must meet the requirements of subsection (a) above.
(c) Capacitors shall not be worked on until after they have been short circuited and grounded. The internal discharge device provided in capacitors shall not be used as a substitute for externally short circuiting and grounding capacitors. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2894. Special Handling Precautions.
Note     •     History

Care shall be exercised in handling and disposing of failed capacitors because of possible internal pressure and residual energy.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 30. Resistors and Reactors

(Formerly Article 79)
§2896. General.
Note     •     History

(a) Resistors and reactors shall not be installed in close enough proximity to combustible materials to constitute a fire hazard and in no case closer than within 1 foot of combustible materials.
(b) Clearances from resistors and reactors to grounded surfaces shall be adequate for the voltage involved. See Article 9.
(c) Metallic enclosures of reactors and adjacent metal parts shall be installed so that the temperature rise from induced circulating currents will not be hazardous to personnel or constitute a fire hazard.
(d) Resistors and reactors shall be protected against physical damage.
(e) Resistors and reactors shall be isolated by enclosure or elevation to protect personnel from accidental contact with energized parts.
(Title 24, Part 3, Section 470-18.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18953(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 79 to Article 30 filed 11-2-83 (Register 83, No. 45).
§2897. Grounding.
Note     •     History

Resistor and reactor cases or enclosures shall be grounded in accordance with Article 6. 
(Title 24, Part 3, Section 470-19.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18953(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2898. Oil-Filled Reactors.
Note     •     History

Installation of oil-filled reactors, in addition to the above requirements, shall comply with applicable requirements of Articles 17 and 27.
(Title 24, Part 3, Section 470-20.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18953(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 31. Lightning Arresters

(Formerly Article 80)
§2900. Flammable Atmospheres.
Note     •     History

Lightning arresters (e.g., expulsion arresters, valve arresters with external series gap, etc.) that produce or expel ionized gases to the atmosphere during normal operation shall not be used in flammable atmosphere locations. (See Article 34.)
(Title 24, Part 3, Section 3-280-6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction including renumbering of former Article 80 to Article 31 filed 11-2-83 (Register 83, No. 45).
§2901. Clearances.
Note     •     History

All parts of the arrester shall be at least 10 feet above ground, unless enclosed in such a way as to prevent access to unauthorized persons. For line terminal clearances to ground, see Article 9. 
(Title 24, Part 3, Section 3-280-7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2902. Connections.
Note     •     History

Connections to lightning arresters shall be adequate to carry the discharge current, but shall not be smaller than No. 6 AWG copper or equivalent. 
(Title 24, Part 3, Section 3-280-23.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2903. Grounding.
Note     •     History

The arrester ground terminal shall be effectively grounded. 
(Title 24, Part 3, Section 3-280-25.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2904. Identification.
Note     •     History

Lightning arresters shall have a permanent and legible identification including the following information: name of the device; manufacturer's name and/or trademark; manufacturer's type and identification number; voltage rating of the arrester.
(Title 24, Part 3, Section 3-280-5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 32. Mobile and Portable Equipment

(Formerly Article 81)
§2906. General.
Note     •     History

(a) Scope. The provisions of this article shall apply to installations and use of high-voltage power distribution and utilization equipment which is portable and/or mobile, such as substations and switch houses mounted on skids, trailers, or cars, mobile shovels, draglines, cranes, hoists, drills, dredges, compressors, pumps, conveyors, underground excavators, and the like.
(b) Other Orders. The requirements of this article shall be additional to, or amendatory of, those prescribed in Group 2 of these orders. Special attention shall be paid to Article 6.
(c) Protection. Adequate enclosures and/or guarding shall be provided to protect portable and mobile equipment from physical damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 81 to Article 32 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2907. Overcurrent Protection.
Note     •     History

Motors driving single or multiple d.c. generators supplying a system operating on a cyclic load basis do not require running overcurrent protection, provided that the thermal rating of the a.c. drive motor cannot be exceeded under any operating condition. However, the branch circuit protective device(s), which may be external to the motor, must provide short circuit and locked rotor protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2908. Enclosures.
Note     •     History

(a) All energized switching and control parts shall be enclosed in effectively grounded metal cabinets or enclosures. These cabinets or enclosures shall be marked “DANGER--HIGH VOLTAGE” and shall be locked so that only authorized and qualified persons can enter. Circuit breakers and protective equipment shall have the operating means projecting through the metal cabinet or enclosure so these units can be reset without opening locked doors. With doors closed, reasonable safe access for normal operation of these units shall be provided.
(b) Collector ring assemblies on revolving-type machines (shovels, draglines, etc.) shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2909. Collector Rings.
Note     •     History

The collector ring assembly on revolving-type machines (shovels, draglines, etc.) shall be guarded to prevent accidental contact with energized parts by personnel on or off the machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2910. Power Cable Connections to Mobile Machines.
Note     •     History

A metallic enclosure shall be provided on the mobile machine for enclosing the terminals of the power cable. The enclosure shall include provisions for a solid connection for the grounding terminal to effectively ground the machine frame. Ungrounded conductors shall be attached to insulators or terminated in approved high-voltage cable couplers (which include ground wire connectors) of proper voltage and ampere rating. The method of cable termination used shall prevent any strain or pull on the cable from stressing the electrical connections. The enclosure shall have provision for locking so only authorized and qualified persons may open, and shall be marked “DANGER--HIGH VOLTAGE.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2911. High-Voltage Portable Cable for Main Power Supply.
Note     •     History

Flexible high-voltage cable supplying power to portable or mobile equipment shall comply with Article 14.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Editorial correction filed 11-3-83 (Register 83, No. 45).
§2912. Grounding.
Note     •     History

Mobile equipment shall be grounded in accordance with Section 2743.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 33. Mine and Tunnel Installations

(Formerly Article 82)
§2914. General.
Note     •     History

(a) Scope. The provisions of this article shall apply to installation and use of high-voltage power distribution and utilization equipment which is portable and/or mobile, such as substations, trailers, or cars, mobile shovels, draglines, hoists, drills, dredges, compressors, pumps, conveyors, underground excavators, and the like.
(b) Other Orders. The requirements of this article shall be additional to, or amendatory of, those prescribed in Group 2 of these orders. Special attention shall be paid to Article 6.
(c) Protection Against Physical Damage. Conductors and cables in tunnels shall be located above the tunnel floor and so placed or guarded to protect them from physical damage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 82 to Article 33 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2915. Overcurrent Protection.
Note     •     History

Motor-operated equipment shall be protected from overcurrent in accordance with Section 2883. Transformers shall be protected from overcurrent in accordance with Section 2877.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2916. Conductors.
Note     •     History

(a) High-voltage conductors in tunnels shall be installed in: 
(1) metal conduit or other metal raceway, 
(2) metal-armored or steel-taped cable, or 
(3) other approved multi-conductor cable. 
(b) Multi-conductor portable cable shall be permitted to be used to supply mobile equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2917. Bonding and Equipment Grounding Conductor.
Note     •     History

(a) All non-energized metal parts of electrical equipment and all metal raceways or cable sheaths shall be effectively grounded and bonded to all metal pipes and rails at the portal and at intervals not exceeding 1,000 feet throughout the tunnel.
(b) An equipment grounding conductor shall be run with circuit conductors inside the metal raceway or inside the multi-conductor cable jacket. The equipment grounding conductor shall be permitted to be insulated or bare.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2918. Transformers, Switches, and Electrical Equipment.
Note     •     History

All transformers, switches, motor controllers, motors, rectifiers, and other equipment installed below ground shall be protected from physical damage by location or guarding.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2919. Energized Parts.
Note     •     History

Bare terminals of transformers, switches, motor controllers, and other equipment shall be enclosed to prevent accidental contact with energized parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2920. Ventilation System Controls.
Note     •     History

Electrical controls for the ventilation system shall be so arranged that the air flow can be reversed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
§2921. Disconnecting Means.
Note     •     History

A switch meeting the requirements of Article 20 or 21 shall be installed at each transformer or motor location for disconnecting the transformer or motor. The switch shall open all ungrounded conductors of a circuit simultaneously.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2922. Enclosures.
Note     •     History

Enclosures for use in tunnels shall be drip-proof, weatherproof, or submersible as required by the environmental conditions. Switch or contactor enclosures shall not be used as junction boxes or raceways for conductors feeding through or tapping off to other switches, unless special designs are used to provide adequate space for this purpose.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
§2923. Grounding.
Note     •     History

Mining and tunnel equipment, both above and below ground, shall be grounded in accordance with Section 2743.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
Article 34. Hazardous (Classified) Locations

(Formerly Article 83)
§2925. General.
Note     •     History

(a) Other Regulations. 
(1) The requirements of this article shall be deemed to be additional to, or amendatory of, those prescribed in Group 2, inclusive, of these regulations.
(2) All provisions of Articles 59 and 60 of the Low-Voltage Electrical Safety Orders shall apply to high-voltage installations in hazardous (classifieds) locations.
(b) Scope. The provisions of this article shall apply to locations (except where otherwise provided for by statute) in which the apparatus and wiring are subject to the conditions indicated by the classifications in Section 2540.1 of the Low-Voltage Electrical Safety Orders. Where the apparatus and wiring are installed in rooms or sections of the building in which the particular flammable atmospheres do not prevail, such wiring and apparatus shall be permitted to be of the type approved for such locations.
(c) Enclosed areas supplied with positive pressure ventilation from a source free of flammable atmospheres shall be permitted to be classed as nonhazardous areas for the purpose of this Article if the following provisions are met:
(1) Division 1 Locations. Wiring and apparatus within this area shall be so arranged to prevent energizing the wiring and apparatus until ventilation has been established, and arranged to de-energize automatically the wiring and apparatus when the ventilation fails; provided, however, that where the process is such that a hazard would result from de-energizing wiring and apparatus, ventilation shall be permitted to be assured in this area through a separate source of supply for the ventilating equipment. Suitable devices shall be provided to transfer automatically from the normal supply to the emergency system in case of failure or damage to the normal supply. Audible and visual signal devices shall be provided, where feasible, to give warning of derangement of emergency supply system.
(2) Division 2 Locations. Wiring and apparatus within this area shall meet the requirements for Division 1 or as a minimum shall be arranged to energize an audible, as well as a visual, alarm on loss of pressurization. Removal of power in the latter case is not mandatory on loss of enclosure pressure except remedial action must be undertaken immediately. The enclosure shall be purged by ten air changes before electrical equipment is energized.
(d) Locations where open flames are ordinarily used will not be considered as being exposed to flammable atmospheres under this article.
(e) Special care shall be exercised in the layout of electrical installation to locate as much of the equipment as practicable in areas free of flammable atmospheres. 
(Title 24, Part 3, Section 3-710-90.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction including renumbering of former Article 83 to Article 34 filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2926. Class I Locations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Repealer filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2927. Class II Locations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Repealer filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2928. Class III Locations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Repealer filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 35. Workspace and Guarding

(Formerly Article 84)
§2930. Enclosure and Guarding.
Note     •     History

(a) Equipment shall be of the enclosed type, or shall be installed in locked electrical rooms or enclosures. Parts of equipment requiring access for maintenance or operation shall be so located that they will be readily and safely accessible. 

Exception: Equipment installed in accordance with Rule 54.7B of General Order 95 and Rule 34 of General Order 128 of the California Public Utilities Commission need not be enclosed.
(b) Suitable enclosures, fences, or partitions shall be provided to prevent accidental contact with exposed energized high-voltage parts. 
(Title 24, Part 3, Section 110-31.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer of Article 84 (Sections 2930-2938) and new Article 84 (Sections 2930-2936) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32.)
2. Editorial correction including renumbering of former Article 84 to Article 35 filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2931. Entrance and Access to Workspace.
Note     •     History

(a) At least one entrance not less than 24 inches wide and 6 1/2 feet high shall be provided to give access to the working space about electrical equipment. 
(1) On switchboard and control panels exceeding 48 inches in width, there shall be one entrance at each end of such boards unless the location of the switchboards and control panels permits a continuous and unobstructed way of exit travel, or unless the work space required in Section 2932(a) is doubled.
(2) Where one entrance to the working space is permitted under the conditions described in subsection 2931(a)(1), the entrance shall be located so that the edge of the entrance nearest the switchboards and control panels is at least the minimum clear distance given in Table 2932 away from such equipment.
(3) Where bare energized parts at any voltage, or insulated energized parts above 600 volts, nominal, to ground are located adjacent to such entrance, they shall be suitably guarded. 
(b) Permanent ladders, or stairways, shall be provided to give safe access to the working space around electrical equipment installed on platforms, balconies, mezzanine floors, or in attic or roof rooms or spaces. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2932. Workspace.
Note     •     History

(a) The minimum depth of clear working space about electrical equipment, such as switchgear, motor controllers, etc., shall not be less than set forth in Table 2932 unless otherwise specified in these orders. Clearances shall be measured from the energized parts if parts are exposed or from the enclosure front or opening, if parts are enclosed.

Table 2932 -- Minimum Depth of Clear Working Space at Electric Equipment, Over 600 Volts

	Nominal	 	MINIMUM CLEAR DISTANCE FOR CONDITIONS
	Voltage to 	   Condition 1	    Condition 2	       Condition 3
	Ground	Feet	Meters	Feet	Meters	Feet	Meters

601-2500	3	0.9	4	1.2	5	1.5
2501-7500	4	1.2	5	1.5	6	1.8
7501-25,000	5	1.5	6	1.8	9	2.8
25,001-75kv	6	1.8	8	2.5	10	3.0
Above 75kv	8	2.5	10	3.0	12	3.7

Where the conditions are as follows:
Condition 1 Exposed energized parts on one side and no energized or grounded parts on the other side of the working space, or exposed energized parts on both sides effectively guarded by suitable wood or other insulating material. Insulated wire or insulated busbars operating at not over 300 volts are not considered energized parts. Non-shielded insulated conductors shall be considered as exposed energized parts.
Condition 2 Exposed energized parts on one side and grounded parts on the other side. Concrete, brick, plaster, or tile walls will be considered as grounded surfaces.
Condition 3 Exposed energized parts on both sides of the workspace (not guarded as provided in Condition 1) with the operator between. 

Exceptions: 
1. Workspace will not be required behind enclosed equipment such as dead-front switchboards or control assemblies, provided there are no renewable or adjustable parts; such as fuses, switches, etc., on the back, and provided all connections are accessible from locations other than the back. Where rear access is required to work on the deenergized parts on the back of enclosed equipment, a minimum working space of 30 inches (762 mm) horizontally shall be provided. 

2. Minimum depth of clear working space in front of electric equipment with a nominal voltage to ground above 25,000 volts may be the same as that for 25,000 volts under Conditions 1, 2 and 3 for installations built before April 16, 1981.
(b) Suitable space shall be provided and maintained about electrical equipment to permit ready and safe operation and maintenance of such equipment. Where energized parts are exposed, the minimum clear workspace shall not be less than 6 1/2 feet (1.98 m) high (measured vertically from the floor or platform), nor less than 3 feet (914 m) wide (measured parallel to the equipment). The depth shall be as required in subsection 2932(a). In all cases, the workspace shall be adequate to permit at least a 90-degree opening of doors or hinged panels. 
(c) If switches, cutouts, or other equipment operating at 600 volts, nominal, or less, are installed in a room or enclosure where there are exposed energized parts or exposed wiring operating at over 600 volts, nominal, the high-voltage equipment shall be effectively separated from the space occupied by the low-voltage equipment by a suitable partition, fence, or screen. However, switches or other equipment operating at 600 volts, nominal, or less, and serving only equipment within the high-voltage vault, room, or enclosure may be installed in the high-voltage enclosure, room, or vault if accessible to qualified persons only.
(d) The following requirements apply to the entrances to all buildings, rooms, or enclosures containing exposed energized parts or exposed conductors operating at over 600 volts, nominal:
(1) The entrances shall be kept locked unless they are under the observation of a qualified person at all times; and 
(2) Permanent and conspicuous warning signs shall be provided, reading substantially as follows:
”DANGER -- HIGH VOLTAGE -- KEEP OUT.”
(e) Pipes or ducts that are foreign to the electrical installation and that require periodic maintenance or whose malfunction would endanger the operation of the electrical system may not be located in the vicinity of service equipment, metal-enclosed power switchgear, or industrial control assemblies. Protection shall be provided where necessary to avoid damage from condensation leaks and breaks in such foreign systems.

Note to subsection 2932(e): Piping and other facilities are not considered foreign if provided for fire protection of the electrical installation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2933. Illumination.
Note     •     History

Adequate illumination shall be provided for all working spaces about electrical equipment. Light outlets shall be so arranged that persons changing lamps or making repairs on the lighting system will not be endangered by live parts or other equipment.
The points of control shall be so located that persons are prevented from contacting any live part or moving part of the equipment while turning on the lights. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2934. Elevation of Unguarded Live Parts.
Note     •     History

Exposed energized parts above workspace and above areas where persons may normally walk or stand shall be maintained at elevations not less than that required by the following table: 

Table 2934 -- Elevation of Unguarded Live Parts above Workspace

	NOMINAL VOLTAGE           ELEVATION
BETWEEN	PHASES	Feet	Meters
	601-7500 	9.01	2.81
	7501-35kV 	9.0	2.8
	Over 35kv 	9 feet + 0.37 inch/kv	2.8 + 9.5 mm/kV
		above 35kv	over 35 kV

1The minimum elevation may be 8.5 ft. (2.6 m) for installations built before April 1, 2009. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2935. Installation of Electrical Equipment in an Outdoor Enclosure.
Note     •     History

If exposed energized parts of electrical equipment are installed in an outdoor enclosure, the enclosure shall meet the requirements of Section 2812.1.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2936. Passageway and Open Spaces.
Note     •     History

Suitable barriers or other means shall be provided to ensure that the work-space for electrical equipment will not be used as a passageway during periods when energized parts of electrical equipment are exposed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 36. Work Procedures and Operating Procedures

(Formerly Article 85)
§2940. General Provisions.
Note     •     History

(a) Safe Access. All work locations shall be safely accessible whenever work is to be performed.
(b) Employer's Responsibility. The employer shall furnish such safety devices and safeguards as may be necessary to make the employment or place of employment as free from danger to the safety and health of employees as the nature of the employment reasonably permits. The employer shall examine or test each safety device at such intervals as may be reasonably necessary to ensure that it is in good condition and adequate to perform the function for which it is intended. Any device furnished by the employer found to be unsafe shall be repaired or replaced.
Employees shall be instructed to inspect each safety device, tool or piece of equipment, each time it is used and to use only those in good condition. The employer shall require the use of safety devices and safeguards where applicable.
(c) Qualified Electrical Workers. Only qualified electrical workers shall work on energized conductors or equipment connected to energized high-voltage systems. Except for replacing fuses, operating switches, or other operations that do not require the employee to contact energized high-voltage conductors or energized parts of equipment, clearing “trouble” or in emergencies involving hazard to life or property, no such employee shall be assigned to work alone. Employees in training, who are qualified by experience and training, shall be permitted to work on energized conductors or equipment connected to high-voltage systems while under the supervision or instruction of a qualified electrical worker.
(d) Observers. During the time work is being done on any exposed conductors or exposed parts of equipment connected to high-voltage systems, a qualified electrical worker, or an employee in training, shall be in close proximity at each work location to:
(1) act primarily as an observer for the purpose of preventing an accident, and
(2) render immediate assistance in the event of an accident. Such observer will not be required in connection with work on overhead trolley distribution circuits not exceeding 1,500 volts D.C. where there is no conductor of opposite polarity less than 4 feet there from, or where such work is performed from suitable tower platforms or other similar structures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 85 (Sections 2940-2944) and new Article 85 (Sections 2940-2945 and Appendices A, B and C) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction renumbering former Article 85 to Article 36 filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2940.1. Voltage Determination.
Note

(a) Operating voltage of equipment or conductors shall be determined before working on or near energized parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2940.2. Clearances.
Note     •     History

(a) No employee shall be permitted to approach or take any conductive object without an approved insulating handle closer to exposed energized parts than shown in Table 2940.2 unless:
(1) The employee is insulated or guarded from the energized part (gloves or gloves with sleeves rated for the voltage involved shall be considered insulation of the employee from the energized part), or
(2) The energized part is insulated or guarded from the employee and any other conductive object at a different potential.
(b) When performing work with live line tools, minimum clear distances in Table 2940.2 shall be maintained. Conductor support tools, such as link sticks, strain carriers, and insulator cradles, shall be permitted to be used provided that the clear insulation is at least as long as the insulator string or the minimum distance specified in Table 2940.2 for the operating voltage.

 TABLE 2940.2-1
 ALTERNATING CURRENT--MINIMUM 
APPROACH DISTANCE

 Nominal Voltage Range	
	   (Phase to Phase)	Minimum Approach Distance
	    Kilovolt	Phase to Ground Exposure

Above 	0.6	to 	15	 2 ft. 1 in.
Above 	15	to 	36	 2 ft. 4 in.
Above 	36	to 	46	 2 ft. 7 in.
Above 	46	to 	72.5	 3 ft. 0 in.
Above 	72.5	to 	121	 3 ft. 4 in.
Above 	121	to 	145	3 ft. 7 in.
Above 	145	to 	169	 4 ft. 0 in.
Above 	169 	to 	242	 5 ft. 3 in.
Above 	242	to 	362	 8 ft. 6 in.
Above 	362	 to 	552	 11 ft. 3 in.
Above 	552	to 	765	 15 ft. 0 in.
Note: Above 242 KV the minimum working distance and the minimum approach distance shall be permitted to be reduced provided that such distances are not less than the shortest distance between the energized part and a grounded surface.

 TABLE 2940.2-2
 DC LIVE-LINE WORK MINIMUM 
APPROACH DISTANCE
WITH OVERVOLTAGE FACTOR

		Distance in feet-inches
	Maximum anticipated	Maximum line-to-ground
	per-unit transient	voltage in kilovolts
	overvoltage

	250	400	500	600	750

1.5 or lower	3-8	5-3	6-9	8-7	11-10

1.6	3-10	5-7	7-4	9-5	13-1

1.7	4-1	6-0	7-11	10-3	14-4

1.8	4-3	6-5	8-7	11-2	15-9

NOTE 1: The distances specified in this table may be applied only where the maximum anticipated per-unit transient overvoltage has been determined by engineering analysis and has been supplied by the employer. However, if the transient overvoltage factor is not known, a factor of 1.8 shall be assumed.

NOTE 2: The distances specified in this table are the air, bare-hand, and live-line tool distances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
2. Amendment of subsection (b) and Table filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
3. Editorial correction of Table (Register 95, No. 32).
4. Amendment of subsection (a)(1), table and table note filed 11-25-97; operative 12-25-97 (Register 97, No. 48).
5. Amendment filed 7-26-2000; operative 8-25-2000 (Register 2000, No. 30).
§2940.3. Inclement Weather.
Note     •     History

Work on or from structures shall be discontinued when adverse weather, such as high winds, ice on structures, or the progress of an electrical storm in the immediate vicinity, makes the work hazardous, except during emergency restoration procedures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section filed 7-11-96; operative 8-10-96 (Register 96, No. 28).
§2940.4. Illumination.
Note

Illumination shall be provided as needed to perform the work safely.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2940.5. Work over or near Water.
Note

When work is performed over or near water and when danger of drowning exists, suitable protection shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§2940.6. Tools and Protective Equipment.
Note     •     History

(a) Insulating Equipment.
(1) Insulating equipment designed for the voltage levels to be encountered shall be provided and the employer shall ensure that they are used by employees as required by this section. This equipment shall meet the electrical and physical requirements contained in the standards shown in Appendix C.
(2) Whenever rubber gloves are used, they shall be protected by outer canvas or leather gloves. This equipment shall meet the electrical physical requirements contained in the standards shown in Appendix C.
(3) Insulating equipment fabricated of material other than rubber shall provide electrical and mechanical protection at least equal to that of rubber equipment.
(4) The employer is responsible for the periodic visual and electrical re-testing of all insulating gloves, sleeves and blankets. The following maximum re-testing intervals for the items covered by the listed ASTM standards shall apply:

GLOVES, SLEEVES, BLANKETS,
AND OTHER INSULATING EQUIPMEN
(In-service care)

	ELECTRICAL TEST INTERVALS

ASTM STANDARD	MONTHS

Standard Specification for In-Service Care of 	*6 months for gloves
Insulating Gloves and Sleeves, ASTM F 496-02a	*12 months for sleeves

Standard Specification for In-Service Care of 
Insulating Blankets, ASTM F 479-06	*12 months for blankets

	For line hose and covers
Standard Specification for In-Service Care of 	(When found to be 
Insulating Line Hose and Covers, 	damaged or defective)
ASTMF 478-92 (Reapproved 1999)
*Gloves, sleeves, and blankets that have been electrically tested but not issued for service shall not be placed into service unless they have been electrically tested within the previous twelve months.
(5) Gloves, sleeves and blankets shall be marked to indicate compliance with the re-test schedule and shall be marked with either the date tested, or the date the next test is due.
(6) When not being used, insulating gloves and sleeves shall be stored in glove bags or suitable containers. Insulating blankets shall be stored in a canister or other means that offers equivalent protection.
(7) Insulating equipment shall be stored away from direct sunlight, steampipes, radiators and other sources of excessive heat and shall be protected from physical damage. Gloves, sleeves and blankets shall not be folded while in storage; however, blankets shall be permitted to be rolled for storage.
(8) Insulating equipment shall be visually inspected for defects and damage, and shall be cleaned prior to use each day.
(9) Rubber gloves shall be air and water tested at the beginning of each work period and at any other time when the glove's condition is in doubt. The gloves shall:
(A) Be visually examined over their entire inner and outer surface for any defects, i.e., burns, cuts, cracks, punctures and weak spots; and
(B) Have the cuff stretched to detect abrasions and weak spots.
(10) Insulating equipment found to be defective or damaged shall be immediately removed from service.
(b) Fall Protection. When work is performed at elevated locations more than 4 feet (1.2 meters) above the ground on poles, towers or similar structures, the employer shall require the employees to use either fall arrest equipment, work positioning equipment, or travel restricting equipment, if other fall protection methods have not been provided (e.g., guardrails, safety nets, etc.). The use of body belts for fall arrest systems is prohibited.

Exception: Point to point travel by a qualified person, unless conditions such as ice, high winds, design of the structure, or other condition (e.g., chemical contaminants) prevents the employee from gaining a firm hand or foothold while traveling.
(c) Linemen's Body Belts, Safety Straps and Lanyards.
(1) Linemen's body belts and safety straps purchased after January 1, 1993, shall be labeled as meeting the requirements contained in ASTM F 887-91, Standard Specifications for Personal Climbing Equipment.

Exception: Linemen's body belts and safety straps purchased before January 1, 1993 which are labeled/tagged as meeting either the ANSI A10.14 or ASTM F 887 Standard in effect at the time of purchase.
(2) Body belts, safety straps, and lanyards shall be inspected by a qualified person each day before use to determine that they are safe. Those determined to be unsafe shall be immediately removed from service.
(3) Safety straps shall not be used when any portion of the red safety marker strip in the strap is exposed.
(4) Leather shall not be used for safety straps.
(d) Ladders.
(1) Portable conductive ladders shall not be used near energized conductors or exposed energized parts of equipment except as may be necessary in specialized work such as in high voltage substations where non-conductive ladders might present a greater hazard than conductive ladders.
(2) Portable conductive ladders shall be legibly marked with signs reading “Caution--Do Not Use Near Energized Electrical Equipment” or equivalent wording.
(3) Portable ladders used on structures shall be secured to prevent them from being accidentally displaced.
(e) Live Line Tools.
(1) Live line tools shall meet the requirements specified in Appendix “B.”
(2) Live line tools shall be visually inspected for defects before use each day. Tools to be used shall be wiped clean and if defects are indicated such tools shall not be used.
(f) Conductive measuring tapes, ropes or similar measuring devices shall not be used when working on or near exposed energized conductors or parts of equipment.
(g) Handtools.
(1) Hydraulic tools which are used on or near exposed energized conductors or equipment shall use non-conductive hoses having adequate strength for normal operating pressures. The provisions of Section 3556, General Industry Safety Orders, Title 8, California Code of Regulations, shall also apply.
(2) Pneumatic tools which are used on or near exposed energized conductors or equipment shall:
(A) have non-conductive hoses having adequate strength for the normal operating pressures and
(B) have an accumulator on the compressor to collect moisture.

Note: For the purposes of subsections (f) and (g) energized conductors on which temporary insulating devices have been installed shall be considered “exposed.”
(3) Pressure shall be released before connections are broken, unless quick acting, self-closing connectors are used. Hoses shall not be kinked.
(h) Conductive Objects. Conductive objects of a length capable of contacting energized conductors shall not be carried into the level of such conductors unless suitable means are taken to prevent accidental contact.
(i) Lines used for emergency rescue such as lowering a person to the ground shall have a minimum breaking strength of 2650 pounds and shall be readily available on the job site.
(j) Apparel. The employer shall ensure that each employee who is exposed to the hazards of flames or electric arcs does not wear clothing that, when exposed to flames or electric arcs, could increase the extent of injury that would be sustained by the employee. This subsection prohibits clothing made from the following types of fabrics, either alone or in blends, unless the employee can demonstrate that the fabric has been treated with flame retardant: acetate, nylon, polyester, and rayon.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) and new subsection (i) filed 6-2-87; operative 7-2-87 (Register 87, No. 24). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of subsection (c)(1) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
4. New subsection (g)(3) filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
5. Change without regulatory effect amending subsection (a)(8) filed 12-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 51).
6. Amendment filed 11-25-97; operative 12-25-97 (Register 97, No. 48).
7. Repealer of subsections (b)-(b)(1) and new subsections (b) and (j) filed 9-10-99; operative 10-10-99 (Register 99, No. 37).
8. Amendment filed 7-26-2000; operative 8-25-2000 (Register 2000, No. 30).
9. Amendment of subsection (a)(4) filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
§2940.7. Mechanical Equipment.
Note     •     History

(a) General.
(1) Each day, prior to use, visual inspections and operational checks shall be made of equipment to determine that it is in safe operating condition.
(2) Truck warning devices shall comply with the provisions of Section 3706, General Industry Safety Orders, Title 8, California Code of Regulations.
(3) Hydraulic fluids used for the insulated sections of derrick trucks, aerial lifts, and hydraulic tools which are used on or near energized conductors or equipment shall be of the insulating type.
(b) Aerial Lifts.
(1) Except as otherwise required or permitted by these orders, personnel aerial lift equipment used in the construction, operation or maintenance of electric power supply systems shall comply with the requirements of the General Industry Safety Orders, Title 8, California Code of Regulations, Article 24, Elevating Work Platforms and Aerial Devices.
(2)(A) When working near energized lines or equipment, aerial lift trucks shall be grounded or barricaded and considered as energized equipment, or the aerial lift truck boom shall be insulated for the voltage being worked on.
(B) Aerial lifts/digger derricks used for rubber gloving high voltage conductors and equipment energized over 7,500 volts shall have both upper and lower horizontal and vertical positioning controls. Both sets of controls shall be operational when high voltage work is being done.
(C) A minimum distance that must be extended shall be marked on the insulated portion of the boom on digger derrick vehicles to meet the dielectric capabilities required for the voltages involved. The minimum distance that shall be maintained is three (3) feet.
(D) When performing work on voltages above 7,500 volts, buckets of aerial lifts/digger derricks shall have insulating bucket liners with a liner bottom protector installed.
(E) Effective Feb. 23, 1998, insulating booms of aerial lifts/digger derricks used for work on energized high voltage conductors and equipment shall have a periodic dielectric test performed every 12 months in accordance with paragraph 5.4.3.2 of American National Standard Institute (ANSI) Standard A92.2 (1990), Vehicle-Mounted Elevating and Rotating Aerial Devices, which is hereby incorporated by reference.
(F) Effective Feb. 23, 1998, insulated bucket liners used for work on energized high voltage conductors and equipment shall have a periodic dielectric test performed every 12 months in accordance with paragraph 5.4.3.5 of American National Standard Institute (ANSI) Standard A92.2 (1990), Vehicle-Mounted Elevating and Rotating Aerial Devices, which is hereby incorporated by reference.

Note: Newly purchased and placed in service aerial lifts/digger derricks labeled or certified by the manufacturer as meeting the requirements of ANSI 92.2 (1990) are exempt from field testing for one year.
(3) Equipment or material shall not be passed between a pole or structure and an aerial lift while an employee working from the aerial lift is within reaching distance of energized conductors or equipment that are not covered with insulating protective equipment. 
(4)(A) Employees in aerial lift equipment shall be secured to the lift equipment when in an elevated position by a lanyard attached to a safety belt, body belt or body harness.
(B) Safety belts/body belts are prohibited for use in personal fall arrest systems, but may be used as part of a fall restraint or positioning device system.
(C) Safety belts/body belts used as part of a positioning device system shall be rigged such that an employee cannot free fall more than 2 feet.
(D) A body harness may be used in a personal fall restraint, positioning or fall arrest system. When a body harness is used in a fall arrest system, the lanyard shall be rigged with a deceleration device to limit maximum arresting force on an employee to 1,800 pounds and prevent the employee from hitting any levels or objects below the basket or platform, and shall limit free fall to a maximum of 6 feet.
(5)(A) Climbing on the edge of a basket or work platform railing of aerial lift equipment or using planks across a basket or work platform railing for added height shall be prohibited. Except in an emergency involving immediate hazard to life, no employee shall be permitted to climb in or out of a basket or work platform with railings, unless it is in the cradle position; at ground level; or is equipped with a self-closing gate so designed and constructed that it will not open outwardly nor inadvertently.
(B) When an employee is elevated in aerial lift equipment without full controls at the upper level, there shall be an employee in the immediate vicinity of the lower level controls which must be “readily accessible” to that employee.
(6) Clearances. Metal booms, metal baskets, or metal platforms of personnel aerial lift equipment operated in accordance with Section 2949 shall not be brought closer than the distances specified in Section 2940.2(b) Table 2940.2 to any exposed energized conductors or equipment.
(7) Visual Inspection. A visual inspection of personnel aerial lift equipment for defects and safe operating conditions shall be made daily, prior to use. Insulated sections of the boom shall be maintained in a clean condition.
(8) Shop Inspection. A shop inspection of personnel aerial lift equipment shall be made at such intervals as may be reasonably necessary to maintain the equipment in a safe operating condition. Inspection information shall be recorded by the owner of the equipment.
(9) Warning Lights. Approved-type flashing amber warning lights shall be installed and used on vehicles having personnel aerial lift equipment in use on a highway or when moving at a speed slower than the normal flow of traffic.
(10) Operating Controls. Articulating boom and extensible boom platforms, primarily designed as personnel carriers, shall have both platform (upper) and lower controls. Upper controls shall be in or beside the platform within easy reach of the operator. Lower controls shall provide for over-riding the upper controls. Controls shall be plainly marked as to their function. Lower level controls shall not be operated unless permission has been obtained from the employee in the lift, except in case of emergency.
(11) Stop Mechanism. Personnel aerial lift equipment shall be equipped with a stop mechanism readily available to the employee at the work platform in addition to controls at the truck level.
(12) Aerial lift equipment shall be operated to check each of its functions prior to each day's use. Only equipment in proper operating condition shall be used.
(c) Derrick Trucks, Cranes and Other Lifting Equipment.
(1) Derrick trucks, cranes and other lifting equipment shall comply with Articles 91 through 100 of the General Industry Safety Orders except:
(A) as stated in Section 2946 of these orders relating to clearance (for clearances in this section see Section 2940.2(b) Table 2940.2), and
(B) derrick trucks (electric line trucks) shall not be required to comply with ANSI B30.5 and B30.6 as referenced in Section 4884, General Industry Safety Orders, Title 8, California Code of Regulations.
(2) With the exception of equipment certified for work on the proper voltage, mechanical equipment shall not be operated closer to any energized conductor or exposed energized parts of equipment than the clearances set forth in Section 2940.2(b) Table 2940.2 unless, in addition to the requirements of Section 1612.3:
(A) an insulated barrier is installed between the energized part and the mechanical equipment, or
(B) the mechanical equipment is insulated.
(3) When setting, moving, or removing poles using cranes, derricks, gin poles, A-frames, or other mechanized equipment near energized conductors or equipment, precautions shall be taken to avoid contact with energized conductors or exposed energized parts of equipment except where barriers or protective devices are used.
(d) Hoisting Devices.
(1) A crane, boom, derrick, hoist, or winch shall not be loaded beyond the rated capacity or safe working load, whichever is smaller.
(A) Except as provided in (B) below, such devices shall not be left unattended while a load is suspended, unless the load is suspended over water, a barricaded area, or is blocked up or otherwise supported from below during repairs or emergency.
(B) While energized conductors are supported or suspended with an umbrella arm, auxiliary hot arm, or similar devices, and employees are working in an elevated position where the conductor movement could present a hazard to them, there shall be an employee at ground level at the pole or structure where the conductors are supported. The boom operating controls shall be readily accessible to such employee.
(2) During construction, operation or maintenance of power transmission and distribution systems, employees operating equipment such as cranes, booms, or derricks, shall not be permitted to stand on a grounded surface, other than the equipment itself, when such equipment is operated within 6 feet of exposed energized high voltage conductors or equipment. During movement of such cranes, booms, or derricks, employees on the ground shall be required to stay clear of the equipment.
(e) Hoisting Cables.
(1) Chains, wire ropes, and fiber ropes used for hoisting purposes shall be of sufficient strength to safely lift or otherwise handle the loads. The maximum allowable working loads shall be based on manufacturer's specifications.
(2) During construction, operation, or maintenance of power transmission and distribution systems, wire rope or chains, except slings, shall not be used to raise or lower transformers, poles or any other material within 6 feet of exposed energized high voltage conductors or equipment. 

Exception: No. 1: When the cable is rigged below exposed energized conductors or equipment a sufficient distance (not less than specified in Section 2940.2(b) Table 2940.2) to prevent the possibility of electrical contact between such conductors or equipment and the cable or conductive material being raised or lowered. 

Exception: No. 2: When the cable and any conductive material being raised or lowered are protected by insulating covering placed on such energized conductors or equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d)(1) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
2. Editorial correction of subsection (c)(1)(A) filed 11-2-83 (Register 83, No. 45). 
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
4. Amendment of subsection (b)(4)(A) filed 7-11-96; operative 8-10-96 (Register 96, No. 28).
5. Redesignation of subsection (b)(2) as new (b)(2)(A) and new subsections (b)(2)(B)-(F) filed 11-25-97; operative 12-25-97 (Register 97, No. 48).
6. Amendment of subsection (b)(4)(A), new subsections (b)(4)(B)-(D), amendment of newly designated subsection (b)(5)(A) and subsection renumbering filed 10-4-99; operative 11-3-99 (Register 99, No. 41).  
7. Amendment of subsection (c)(2) filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§2940.8. Material Handling.
Note     •     History

(a) Unloading. Prior to and during the unloading of poles, crossarms, and similar material, the load shall be thoroughly examined to ascertain if the load has shifted, binders or stakes have broken or the load is otherwise hazardous to employees. Where a hazardous condition is noted, positive means shall be taken to eliminate the hazard. Employees shall not stand on top or in  the potential path of an unsecured load while unloading poles from pole dollies or utility trailers.
(b) Pole Hauling.
(1) During pole hauling operations, all loads shall be secured to prevent displacement and a red flag shall be displayed at the trailing end of the load.
(2) When hauling poles during the hours of darkness, illuminated warning devices shall be attached to the trailing end of the load.
(c) Storage. When materials or equipment are stored under energized bus, energized conductors, or near exposed energized equipment, applicable clearances shall be maintained as stated in Section 2946 Table 1, except when such work is performed by qualified electrical workers, or as provided in Section 2944(c)(3) and (c)(4).
(d) Tag Lines. Tag lines used near energized conductors shall be of a non-conductive type.
(e) Attaching the Load. Hoist ropes shall not be wrapped around the load. This provision shall not apply to electric construction crews when setting or removing poles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
2. Amendment of subsection (a) filed 11-19-97; operative 12-19-97 (Register 97, No. 47).
§2940.9. Protection from Backfeed Voltages.
Note     •     History

Before contacting the high voltage side of deenergized transformer(s), or conductor(s) connected thereto, all possible sources of backfeed shall be eliminated by:
(a) disconnecting or grounding the high voltage side, or
(b) disconnecting or short circuiting the low voltage side.

Exception: System(s) worked as energized.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 9).
2. Editorial correction of first paragraph (Register 95, No. 32).
§2940.10. Medical Services and First Aid -- Additional Requirements for Power Generation, Transmission and Distribution.
Note     •     History

(a) Application. This section applies to:
(1) Power generation, transmission, and distribution installations, including, but not limited to, related equipment for the purpose of communication or metering, which are accessible only to qualified employees. 
The types of installations covered by this section include the generation, transmission, and distribution installations of electric utilities, as well as equivalent installations of industrial establishments. Supplementary electric generating equipment that is used to supply a workplace for emergency, standby, or similar purposes only is covered under other parts of these Orders.
(2) Other installations at an electric power generating station, as follows:
a. Fuel and ash handling and processing installations, such as coal conveyors,
b. Water and steam installations, such as penstocks, pipelines, and tanks, providing a source of energy for electric generators, and
c. Chlorine and hydrogen systems.
(3) Test sites where electrical testing involving temporary measurements associated with electric power generation, transmission, and distribution is performed in laboratories, in the field, in substations, and on lines, as opposed to metering, relaying, and routine line work.
(4) Work on, or directly associated with, the installations covered in subsections (a)(1) through (a)(3) and
(5) Line-clearance tree-trimming operations.

NOTE: See Article 38, for additional requirements for line-clearance tree-trimming operations.
(b) This Section 2940.10 does not apply to: 
(1) Construction work.
(2) Electrical installations other than power generation, transmission and distribution.
(3) Electric utilization systems.
(4) Premises wiring.
(c) The employer shall provide medical services and first aid as required in General Industry Safety Orders, Section 3400. In addition to the requirements of Section 3400, the following requirements also apply: 
(1) Cardiopulmonary resuscitation and first aid training. When employees are performing work on or associated with exposed lines or equipment energized at 50 volts or more, persons trained in first aid including cardiopulmonary resuscitation (CPR) shall be available as follows: 
a. For field work involving two or more employees at a work location, at least two trained persons shall be available. 

Exception: Only one trained person need be available if all new employees are trained in first aid, including CPR, within 3 months of their hiring dates. 
b. For fixed work locations such as generating stations, the number of trained persons available shall be sufficient to ensure that each employee exposed to electric shock can be reached within 4 minutes by a trained person. 

Exception: Where the existing number of employees is insufficient to meet this requirement (at a remote substation, for example), all employees at the work location shall be trained. 
(2) First aid supplies. First aid supplies required by Section 3400(c) shall be placed in weatherproof containers if the supplies could be exposed to the weather. 
(3) First aid kits. Each first aid kit shall be maintained, shall be readily available for use, and shall be inspected frequently enough to ensure that expended items are replaced but at least once per year. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-27-2011; operative 10-27-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2011, No. 43).
2. Amendment of section heading and section filed 9-5-2012; operative 10-5-2012 (Register 2012, No. 36).
§2941. Work on or in Proximity to Overhead High Voltage Lines.
Note     •     History

Overhead High Voltage Lines.
(a) Application. This section applies to all work on or in proximity to overhead high voltage lines.
(b) Access to Insulators. The employer shall furnish suitable aerial lift equipment, portable platforms or other devices to permit employees to work on insulators attached to poles, towers, or structures, when such insulators are not otherwise safely accessible.
Climbing of insulators as a means of access for the purpose of cleaning the insulators shall be prohibited except for those insulators on transmission lines normally energized at or above 115 kv which are:
(1) On towers inaccessible by mobile washing equipment; or
(2) Where conventional washing operations are inadequate to remove contamination from the insulators.
Climbing of insulator strings is prohibited in all cases, including those where the tower is inaccessible or conventional washing operations are inadequate, where the insulator strings contain unsafe insulators. Unsafe insulators are those which are cracked, chipped, or otherwise damaged to the extent that an insulator would present an unsafe surface upon which to step.
(c) Riding Span Wires. No employee shall be permitted to ride any suspended wire or cable until it has been determined by reasonably available means that such wire or cable is of sufficient strength for the purpose. No employee shall be permitted to ride any suspended wire or cable on other than a cable-riding device designed for the purpose.
(d) Inspection. Prior to climbing poles or other elevated structures supporting overhead electrical lines or equipment, an inspection shall be made to assure that such poles or structures are in safe condition for the work to be performed. Where poles or structures are determined to be unsafe for climbing, they shall not be climbed until made safe by guying, bracing or other adequate means.
(e) Pole Steps. Wood poles (such as poles equipped with risers, potheads, transformers, capacitors, switches where the switch is not operable from near ground level, or other line sectionalizing devices) which are expected to be frequently climbed for maintenance or operating purposes shall be stepped in accordance with Rule 51.7, General Order No. 95, 1981 Edition, Rules for Overhead Electric Line Construction of the California Public Utilities Commission, which is hereby incorporate by reference.
(f) Working on Conductors or Equipment Energized at 600 Volts or More. 
(1) Employees shall not be permitted to touch or work on exposed energized conductors or equipment except when wearing suitable insulating gloves with protectors, or when using other suitable devices. Only rubber gloves labeled as being manufactured and tested to meet ASTM D120-95, Standard Specification for Rubber Insulating Gloves, for the potential voltage exposure shall be used. Rubber gloves shall not be considered suitable devices when working on conductors or equipment energized in excess of 21,000 volts.
(A) When working with rubber gloves on primary conductors or equipment energized in excess of 7,500 volts, insulate/isolate procedures shall be used. Working directly from wooden poles or grounded structures shall not be permitted, unless working from an approved insulated platform. Documentation shall be maintained verifying that the employee is trained in insulate/isolate work procedures.
(B) All exposed energized high or low voltage conductors or equipment, communications conductors, grounded conductors, grounded structures, grounded guy wires and metallically grounded equipment, within reach of any part of the body, shall be covered with suitable protective equipment or barricaded.

Exception: Parts of the conductor or equipment and the supporting pole or tower on which work is to be performed.
(C) Only approved devices shall be used for picking up or dropping load and when making or breaking parallel circuits.
(D) When working with rubber gloves on primary conductors or equipment energized in excess of 7,500 volts from an aerial lift/digger derrick, a qualified person trained in first aid/CPR, radio procedures, use of aerial lift positioning controls and rescue procedures shall be present on the ground. The qualified person shall have access to the lower horizontal and vertical positioning controls of the aerial lift/digger derrick in case of an emergency.
(g) Working on De-Energized Conductors or Equipment. When working on de-energized conductors or equipment, all exposed energized conductors within reach of any part of the body, shall be covered with suitable protective equipment.
(h) Grounding De-Energized Conductors or Equipment. Any exposed ungrounded conductors or equipment not worked upon in accordance with the provisions of subsections (f) above, shall not be worked upon until the following provisions are complied with:
(1) Conductors or equipment to be grounded are clearly identified and isolated from all sources of voltage.
(2) Notification has been obtained from the designated employee that all switches or other points of isolation through which electric energy may be supplied to the conductors or equipment to be worked on have been opened and are plainly tagged indicating that employees are at work, and where the design permits, they have been rendered inoperable.
(3) When more than one independent crew requires the same conductors or equipment to be de-energized, a tag for each such independent crew has been placed at the switch(s)or other point(s) of isolation, except that where clearances for such independent crews are controlled by a designated authority having immediate jurisdiction over the conductors or equipment involved, only one tag need be installed at each switch or point of isolation.
(4) A test has been conducted to insure that conductors or equipment have been de-energized.
(5) The conductors or equipment shall be grounded and short-circuited.
(6) Suitable grounding devices shall be used. They shall be first connected to a ground before being brought into contact with any de-energized conductor or equipment to be grounded. The other end shall be attached and removed by means of insulated tools or other suitable devices. When removed they shall be removed from all circuit conductors or equipment before being disconnected from ground.
(7) There shall be a minimum of one ground on the conductors or equipment being worked on:
(A) between the place where the work is being done and each possible source of supply, or
(B) at each work location.
(8) One of the grounding devices shall be visible to at least one member of the crew unless one of the grounding devices has all of its component parts at least 15 feet above ground level to prevent tampering.
(9) Grounds shall be permitted to be temporarily removed for test purposes and extreme caution shall be exercised during test procedures.
(10) Grounding devices shall be capable of conducting the anticipated fault current and shall have a minimum conductance of No. 2 AWG copper.

NOTE: Guidelines for protective grounding equipment are contained in American Society for Testing and Materials Standard Specifications for Temporary Grounding Systems to be Used on De-energized Electric Power Lines and Equipment, ASTM F 855-97.
(11) Temporary protective grounds shall be placed at such locations and arranged in such a manner as to prevent each employee from being exposed to hazardous differences in electrical potential.
(12) Upon completion of work on grounded conductors or equipment, the employee in charge of each independent crew shall determine that all employees in the crew are clear, and shall report to the designated authority that all tags protecting the crew may be removed. Prior to the energizing of the conductors or equipment, the employer shall ascertain that all employees are clear and all grounds are removed.
(i) Stringing or Removing Conductors.
(1) General.
(A) Precautions shall be taken to protect all employees from any accidental contact between the conductors being installed or removed and any energized conductors.
(B) Strains to which poles or structures will be subjected shall be considered and necessary action taken to prevent failure of supporting structures.
(C) A briefing shall be held setting forth the plan of operation, the type of equipment to be used, grounding devices and procedures to be followed, crossover methods to be employed and the clearance authorization required.
(D) When there is a possibility of the conductor accidentally contacting any energized high voltage circuit or receiving a hazardous induced voltage buildup, the conductor being installed or removed shall be grounded or provisions made to isolate or insulate the employees.
(E) 1. If an existing high voltage line being crossed is de-energized, proper clearance authorization shall be secured and the line grounded at or on both sides of the crossover or the conductors being crossed shall be considered energized. 
2. When crossing over or within 10 feet under conductors energized in excess of 300 volts, rope nets or guard structures shall be installed unless provision is made to isolate or insulate the workers or the energized conductor. Where practical the automatic reclosing feature of the circuit interrupting device shall be made inoperative. In addition, the line being strung shall be grounded on either side of the crossing or considered and worked as energized.
(F) Conductors shall be kept under control by the use of tension reels, guard structures, tielines or other means to prevent contact with energized circuits.
(G) Guard structures shall be of adequate dimension and strength to safely support anticipated loads.
(H) Rigging.
1. The rated capacity of catch-off anchors, rigging, and hoists shall not be exceeded.
2. The design load rating shall not be exceeded for the stringing lines, pulling lines, sock connections, and all load-bearing hardware and accessories.
3. Pulling lines and accessories shall be inspected regularly and replaced or repaired when damaged.
(I) Grips shall only be used for the purpose for which they are designed.
(J) While the conductor or pulling line is in motion:
1. employees on wood poles shall not be permitted to be on the crossarm,
2. employees on steel structures shall not be permitted to be on the crossarm except as necessary to install the conductor or pulling line into the stringing sheaves and
3. employees on the ground shall not be permitted directly under the conductor or pulling line in motion except as necessary to perform work directly related to the stringing operation.
(K) A transmission clipping crew shall have a minimum of two structures “clipped-in” between the crew and the conductor being sagged in the adjacent pull. When working on conductors, clipping and tying crews shall work between grounds at all times. The grounds shall remain intact until the conductors are “clipped-in,” except on dead end structures.
(L) 1. Reel handling equipment, including pulling and braking machines, shall have ample capacity, operate smoothly, and be leveled and aligned in accordance with the manufacturer's operating instruction.
2. Suitable communications between the reel tender and pulling rig operator shall be provided.
3. Each pull shall be snubbed or dead ended at both ends before subsequent pulls are made.
(2) Adjacent to Energized High Voltage Lines.
(A) Prior to stringing or removing conductors adjacent to an existing energized overhead high voltage line a determination shall be made to ascertain whether hazardous induced voltage buildups will occur. When it has been determined that such hazardous induced voltages may exist, the employer shall comply with the following provisions (B through I) unless the line is worked as energized.
(B) The tension stringing method or other methods which preclude unintentional contact between the lines being pulled and any employee shall be used.
(C) All pulling and tensioning equipment shall be grounded or shall be considered as energized and shall be barricaded, isolated or insulated.
(D) A ground shall be installed between the tensioning reel setup and the first structure in order to ground each bare conductor, subconductor, and overhead ground conductor during stringing operations.
(E) Each bare conductor, subconductor, and overhead ground conductor shall be grounded at the first tower adjacent to both the tensioning and pulling setup and in increments so that no point is more than 2 miles from a ground.
1. The grounds shall be left in place until conductor installation is completed.
2. Such grounds shall be removed as the last phase of aerial cleanup.
3. Except for traveling type grounds, the grounds shall be placed and removed by use of a non-conductive means.
(F) Conductors, subconductors, and overhead ground conductors shall be grounded at all dead-end or catch-off points.
(G) A ground shall be located at each side and within 10 feet of working areas where conductors, subconductors, or overhead ground conductors are being spliced at ground level. The two ends to be spliced shall be bonded to each other.
(H) The conductors, subconductors, and overhead ground conductors being worked on shall be bonded to the tower.
(I) Employees standing on the ground shall not be permitted to contact equipment or machinery working near energized lines or equipment unless the employee is using suitable protective equipment for the voltage involved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (j)(E)(ii) filed 9-5-79 correcting typographical error contained in order of 8-9-79; effective thirtieth day thereafter (Register 79, No. 36).
2. Amendment of subsection (b) filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
3. Editorial correction of section heading and subsection designations filed 11-2-83 (Register 83, No. 45). 
4. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
5. Amendment of subsections (f)-(f)(1), new subsection (f)(1)(A), redesignation and amendment of subsection (f)(2) as (f)(2)(B), new subsection (f)(2)(C) and repealer of subsections (g)-(g)(2) filed 11-25-97; operative 12-25-97 (Register 97, No. 48).
6. Change without regulatory effect redesignating former subsections (h)-(j) to subsections (g)-(i) and amending newly designated subsection (h) filed 5-5-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 19).
7. Amendment of subsection (h)(10), new subsection (h)(11) and subsection renumbering filed 7-26-2000; operative 8-25-2000 (Register 2000, No. 30).
8. New subsection (f)(1)(D) filed 8-27-2001; operative 9-26-2001 (Register 2001, No. 35).
9. Editorial correction of subsection (i)(1)(E)2. and History 8 (Register 2003, No. 33).
§2941.1. Metal Tower Construction.
Note     •     History

(a) All excavations shall be performed in accordance with the provisions of Article 6 of the Construction Safety Orders, Title 8, California Administrative Code.
(b) (1) A designated employee shall be used in directing mobile equipment adjacent to footing excavations.
(2) No one shall be permitted to remain in the footing excavation while equipment is being spotted for placement.
(c) (1) Guy lines shall be used as necessary to maintain sections or parts of sections in position and to reduce the possibility of tipping.
(2) Members and sections being assembled shall be adequately supported.
(d) When assembling and erecting towers the provisions of (1), (2) and (3) following shall be complied with.
(1) The construction of transmission towers and the erecting of poles, hoisting machinery, site preparation machinery, and other types of construction machinery shall conform to the applicable requirements of this article.
(2) No one shall be permitted under a tower which is in the process of erection or assembly, except as may be required to guide and secure the section being set.
(3) When erecting towers using hoisting equipment adjacent to energized transmission lines, the minimum clearance distances required by Section 2940.2(b), Table 2940.2 shall be maintained.
(e) (1) Erection cranes shall be set on a firm foundation and when the cranes are so equipped, outriggers shall be used.
(2) Tag lines shall be utilized to maintain control of tower sections being raised and positioned.
(3) The loadline shall not be detached from a tower section until the section is adequately secured.
(4) Except during emergency restoration procedures, erection shall be discontinued in the event of high wind or other adverse weather conditions which would make the work hazardous.
(5) Equipment and rigging shall be regularly inspected and shall be maintained in a safe operating condition.
(f) Traffic control shall be provided in accordance with provisions of Article 11, Sections 1598 and 1599 of the Construction Safety Orders, Title 8, California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2941.2. Washing Insulators Supporting Energized Conductors or Equipment.
Note     •     History

(a) Testing of Water.
(1) The minimum resistivity of water shall be 500 ohm/in3.
(2) Every load of water shall be tested immediately prior to use.
(b) Grounding and Bonding Requirements When Using Conductive Hoses.
(1) When washing with a hand gun or utilizing fixed sprinklers, the pumper truck shall be bonded to the same metal structure supporting the insulators being washed.
(2) All equipment used in the washing procedure shall be bonded to the metal structure supporting the insulators being washed.
(3) During washing operations, employees shall not be permitted to step on or off the truck or metal structure, or touch any part of the truck, conductive hoses or metal structure while standing on the ground.
(4) When washing has been completed, the nozzle operator shall be required to remain stationary in his position and observe until the truck operator has disconnected the hose and the truck bond from the metal structure.
(c) Grounding and Bonding Requirements When Using Non-Conductive Hoses.
(1) When a non-conductive hose is used and the operator is in contact with the metal structure, the gun, if conductive, shall be bonded to such structure.
(d) Operational Checks. Prior to the start of washing operations each day, a check shall be made of the insulator washing equipment. Such check shall include, but is not limited to the following: aerial lift equipment, pumps, communication equipment and lights.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2942. Tubular Steel Poles.
Note     •     History

Tubular steel power line poles installed six months or more after the effective date of these orders shall meet the requirements of this section.
(a) All tubular steel pole structures shall be provided with access to the top of the structure, and the worker's vertical step distance shall be no greater than 18 inches. Where steps are the means of access, the lines of steps shall be located a maximum of 180 degrees apart and shall not exceed 20 inches of arc around the pole surface. Where removable pole steps are used they shall be secured in place when installed to avoid accidental dislodging. Steps and mounts shall be capable of supporting a 250 pound weight with a safety factor of 2.5 minimum.
(b) When Pole Steps are Used:
(1) Rest points at which workers may stand with both feet at the same level with provision for attaching a safety strap shall be provided at intervals not to exceed 20 feet.
(2) Belting-off loops (safety strap brackets) shall be installed on poles having a diameter exceeding 24 inches.
(c) Belting-off loops installed at rest points shall be permanently affixed to the pole in a vertical position. They shall be of such configuration as to permit easy attachment of a standard lineman's safety strap. They shall be capable of supporting a 250 pound weight with a safety factor of 2.5 minimum.
(d) Additional means shall be provided to permit movement over or around obstructions such as crossarms and post-type insulators.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b)(1) filed 9-5-79; effective thirtieth day thereafter (Register 79, No. 36). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2943. Work on or in Proximity to Underground High-Voltage Cables, Conductors or Equipment.
Note     •     History

(a) Application. This section applies to all work on or in proximity to underground high-voltage cables, conductors or equipment, and to the operations necessary to raise or lower cables, conductors or equipment to such underground locations.
(b) Manholes, Vaults, or Similar Structures.
(1) The employer shall comply with the confined space requirements of General Industry Safety Orders Article 108.
(2) Whenever the cover is removed from a manhole, vault, or similar structure:
(A) an employee shall be stationed at the surface as long as workers are in the structure, and
(B) warning devices shall be placed so as to warn vehicular or pedestrian traffic and shall not be removed until the cover is in place.
(3) When employees are working in an underground structure, the automatic circuit recloser on the circuit being worked shall be made non-automatic when:
(A) operating energized oil type switches from inside the structure,
(B) splicing energized underground cable,
(C) patching energized lead cable,
(D) relocating energized underground cable or equipment other than minor cable movements for additional clearance or routine maintenance such as cleaning cable, fire-proofing, replacing cable support blocks, etc.,
(E) filtering or replacing oil in energized underground equipment, or
(F) the supervisor in charge deems it necessary for the safety of the employees performing the work.
(4) When employees are in an underground structure where newly installed, rebuilt or modified cable or equipment is being energized for the first time, the automatic circuit recloser on the circuit involved shall be made non-automatic.
(c) Trenching and Excavating.
(1) Trenching and excavation operations shall comply with the applicable provisions of the Construction Safety Orders.
(2) Where cable(s) exist in an excavation, such cable(s) shall be protected from physical damage during excavation.
(d) Working on Cables, Conductors or Equipment Energized at 7,500 Volts or Less.
(1) Employees shall not be permitted to cut, splice, or move cables energized at 7,500 volts or less without first obtaining permission from the employee in charge.
(2) Before cutting into a cable or opening a splice, the cable shall be identified and verified to be the proper cable.
(3) Suitable rubber gloves with protectors shall be worn when working on exposed conductors or equipment energized at 7,500 volts or less. Other exposed energized or grounded conductors or equipment in the work area, with which contact can be readily made, shall be covered with adequate protective devices, barricaded or otherwise isolated.
(4) Before breaking the electrical continuity of metallic sheaths of cables energized at 7,500 volts or less, both sides of the break shall be bonded together across the break.
(5) When working on exposed underground conductors or parts of equipment energized at 7,500 volts or less, adequate barriers or suitable protective covering shall be provided if a working space of 36 inches cannot be obtained.
(e) Working on Cables, Conductors or Equipment Energized in Excess of 7,500 Volts.
(1) When working on cables, conductors or equipment energized in excess of 7,500 volts, all exposed energized cables, conductors or equipment within reach of any part of the body shall be covered with suitable protective equipment or barricaded.
(2) The only work permitted on cables, conductors or equipment energized in excess of 7,500 volts shall be:
(A) replacing fuses, operating switches, or other operations that do not require the employee to contact energized conductors or parts of equipment with any part of the employee's body,
(B) working on the exterior of such cables or equipment, provided all current-carrying parts are effectively covered by grounded shielding or metallic enclosures, and
(C) work in the high voltage compartment of padmounted transformers and similar equipment installed above ground, provided the work is done by suitable devices. Rubber gloves shall not be considered to be suitable devices.
(3) Cables energized in excess of 7,500 volts shall be moved only under the direction of the employee in charge. Before moving cables, they shall be examined for any defects which might result in failure if the cable were moved.
(f) Working on De-Energized Cables, Conductors or Equipment.
(1) When working on de-energized cables, conductors or equipment, all exposed energized conductors or equipment within reach of any part of the body, shall be covered with suitable protective equipment.
(2) Where more than one cable exists in an excavation, cables other than the one being worked on shall be physically protected as necessary.
(3) Where more than one cable exists in an excavation, the cable to be worked on shall be identified by electrical means or spiking unless its identity is obvious.
(4) Before cutting into a cable or opening a splice, the cable shall be identified and verified to be the proper cable.
(g) Grounding De-Energized Conductors or Equipment.
(1) Any exposed ungrounded part of conductors or equipment, not worked upon in accordance with the provisions of subsections (d) or (e) above, shall not be worked upon until the following provisions have been complied with.
(A) Conductor(s) or equipment to be grounded are clearly identified and isolated from all sources of voltage.
(B) Notification has been obtained from the designated employee that all switches or other points of isolation through which electric energy  may be supplied to the conductors or equipment to be worked on have been opened and are plainly tagged indicating that employees are at work, and where the design permits, they have been rendered inoperable.
(C) Visual inspection or tests are made to insure that cable(s), conductor(s) or equipment have been de-energized.
(D) Guards or barriers are installed as necessary to prevent contact with exposed energized conductors or equipment.
(E) Grounds are applied except where their installation or use increases the working hazard. Grounds shall be permitted to be removed for test purposes.
(F) Suitable grounding devices shall be used. They shall be first connected to a ground before being brought into contact with any de-energized conductors or equipment to be grounded. The other end shall be attached and removed by means of insulated tools or other suitable devices. When removed, they shall be removed from all conductors or equipment before being disconnected from ground.
(G) When required, there shall be a minimum of one ground on the conductors or equipment being worked on:
1. between the place where the work is being done and each possible source of supply,
2. at the work location, or
3. as close as practicable to the source of supply.
(H) One of the grounding devices shall be visible to at least one member of the crew unless one of the grounding devices is accessible only to authorized persons.
(I) Grounding devices shall be capable of conducting the anticipated fault current and shall have a minimum conductance of No. 2 AWG copper.
(J) When more than one independent crew requires the same cable(s), conductor(s) or equipment to be de-energized, a tag for each such independent crew shall be placed on the cable(s), conductor(s) or equipment. Where clearances for such independent crews are controlled by a designated authority having immediate jurisdiction over the cable(s), conductor(s) or equipment involved only one tag need be installed.
(2) Upon completion of work the employee in charge of each independent crew shall determine that all employees in the crew are clear, and shall report to the designated authority that all tags protecting the crew may be removed.
(3) Prior to the energizing of the cable(s) or equipment, the employer shall ascertain that all employees are clear and all grounds are removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of section heading and subsection designations filed 11-2-83 (Register 83, No. 45). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
3. Amendment of subsection (b)(1) filed 9-26-2001; operative 10-26-2001 (Register 2001, No. 39).
§2944. Work on or in Proximity to Conductors and Equipment Located in High-Voltage Stations, or Switchyards.
Note     •     History

(a) This section applies to only that work performed on or in proximity to exposed high-voltage conductors and equipment which is not covered by Sections 2941, 2942 and 2943 of these orders, such as stations, switchyards and other similar installations.
(b) Identification. All switchboards shall be provided with readily legible circuit identification. Identification shall be provided for each circuit breaker, each set of disconnecting switches, and each set of grounding switches.
(c) Work Near Energized Equipment and Facilities.
(1) No person other than a qualified electrical worker shall perform work or take any conducting object within the area where there is a hazard of contact with energized conductors unless directly under the observation of a qualified person.
(2) When working around energized equipment, precautions shall be taken to prevent any material or tools from accidentally contacting energized conductors or equipment.
(3) Temporary Barriers. Suitable temporary barriers in or adjacent to the work area shall be used to prevent accidental contact by workers with energized high voltage parts.
(4) Tape Barricades. Suitable barricade tape shall be used to mark off and bar approach to dangerous areas. An employee shall not be permitted to cross over or under the tape while it is barricading an area, except in an emergency or when work in progress requires the employee to enter the dangerous area. While in the area, the employee shall be continuously watched by a qualified person for the purpose of preventing an accident.
(d) Mechanized Equipment.
(1) Use of vehicles, gin poles, cranes and other equipment in restricted or hazardous areas shall at all times be controlled by designated employees.
(2) Mobile cranes or derricks shall not be permitted closer to exposed energized conductors or equipment than the distances set forth in Section 2940.2(b), Table 2940.2 unless the hoisting equipment is insulated for the voltage involved.
(e) (1) Working on Conductors or Equipment Energized at 7,500 Volts or Less. When working on conductors or equipment energized at 7,500 volts or less, all energized conductors or equipment and all grounded conductors or equipment, including guy wires, within reach of any part of the body, shall be isolated, barricaded, or covered with suitable protective equipment. 

Exception: That part of the conductor or equipment on which work is to be performed need not be covered.
(2) Employees shall not be permitted to touch or work on any exposed energized conductor or equipment except when wearing suitable rubber gloves with protectors, or when using other suitable devices.
(f) Working on Conductors or Equipment Energized in Excess of 7,500 Volts. All work on conductors or equipment energized in excess of 7,500 volts shall be done by means of suitable devices. Rubber gloves shall not be considered to be suitable devices.
(g) Working on De-energized Conductors or Equipment. When working on de-energized conductors or equipment, all exposed energized conductors or equipment regardless of voltage within reach of any part of the body, shall be covered with suitable protective equipment.
(h) Grounding De-energized Conductors or Equipment.
(1) Any exposed ungrounded part of conductors or equipment not worked upon in accordance with the provisions of subsections(e) or (f) above, shall not be worked upon until the following provisions have been complied with:
(A) Conductors or equipment to be grounded are clearly identified and isolated from all sources of voltage.
(B) Notification has been obtained from the designated employee that all switches or other points of isolation through which electric energy may be supplied to the conductors or equipment to be worked on have been opened and are plainly tagged indicating that employees are at work, and where the design permits, they have been rendered inoperable.
(C) Visual inspection and tests are made to insure that equipment or conductors have been de-energized.
(D) Guards or barriers are installed as necessary to prevent contact with exposed energized conductors or equipment.
(E) Grounds are applied, except where their installation or use increases the working hazard. Grounds shall be permitted to be removed for test purposes.
(F) Suitable grounding devices shall be used. They shall be first connected to a ground before being brought into contact with any de-energized conductor or equipment to be grounded. The other end shall be attached and removed by means of insulated tools or other suitable devices. When removed, they shall be removed from all conductors or equipment before being disconnected from ground.
(G) When required, there shall be a minimum of one ground on the conductors or equipment being worked on:
1. between the place where the work is being done and each possible source of supply,
2. at the work location, or
3. as close as practicable to the source of supply.
(H) One of the grounding devices shall be visible to at least one member of the crew unless one of the grounding devices is accessible only to authorized persons.
(I) Grounding devices shall be capable of conducting the anticipated fault current and shall have a minimum conductance of No. 2 AWG copper.
(J) When more than one independent crew requires the same conductors or equipment to be de-energized, a tag for each such independent crew shall be placed on the conductors or equipment. Where clearances for such independent crews are controlled by a designated authority having immediate jurisdiction over the conductors or equipment involved, only one tag need be installed.
(2) Upon completion of work the employee in charge of each independent crew shall determine that all employees in the crew are clear and shall report to the designated authority that all tags protecting the crew may be removed.
(3) Prior to the energizing of the conductors or equipment, the employer shall ascertain that all employees are clear and all grounds are removed.
(i) Access to Insulators. The employer shall furnish suitable aerial lift equipment, portable platforms, or other devices to permit employees to work on insulators or bushings attached to poles, towers, structures, or equipment when such insulators or bushings are not otherwise safely accessible.
(j) Prior to climbing poles or other elevated structures supporting overhead electrical lines or equipment, an inspection shall be made to ensure that such poles or structure are in safe condition for the work to be performed. Where poles or structures are determined to be unsafe for climbing, they shall not be climbed until made safe by guying, bracing or other adequate means.
(k) Substation Fences. When a substation fence is extended or moved provisions shall be made to comply with Article 17, Section 2812(e) of these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsections (c)-(e) (Register 80, No. 30).
2. Editorial correction of section heading and subsection designations filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2945. Access and Workspace Requirements.
Note     •     History

(a) Application. This section applies only to facilities that are owned, operated, and maintained by an electrical utility or an electrical railway utility in the exercise of its function as a utility.

Exception: Installations made in accordance with the regulations of the California Public Utilities Commission (G.O. 95 or 128).
(b) Enclosures. Equipment shall be:
(1) of the enclosed type,
(2) installed in locked rooms or enclosures, or
(3) located within utility generating stations, substations and switch yards.
(c) Access.
(1) Parts of electrical equipment requiring access for maintenance or operation shall be so located that they will be safely accessible.
(2) At least one entrance not less than 24 inches wide and 6 1/2 feet high shall be provided to give access to the working space about energized electrical equipment. When uninsulated energized parts are located adjacent to such entrance, they shall be guarded.
(3) Permanent or portable ladders, stairways, or other suitable means shall be provided to give safe access to the working space around electrical equipment installed on platforms, balconies, mezzanine floors, or in attic or roof rooms or spaces.
(d) Elevation of Exposed, Energized Parts.
Exposed energized parts above workspace and above areas where persons normally walk or stand shall be maintained at elevations not less than that required by the following table:

	VOLTAGE	ELEVATION
	Phase to Phase
	601-7500	8 ft. 6 in.
	7501-35,000	9 ft. 0 in.
	Over 35kv	9 ft. + 0.4 in/kv
		above 35kv

(e) Passageway and Open Spaces. Suitable barriers or other means shall be provided to ensure that the workspace for electrical equipment will not be used as a passageway during periods when normally enclosed parts of energized electrical equipment are exposed.
(f) Installation of Electrical Equipment In An Outdoor Enclosure. Where electrical equipment with exposed energized parts is installed in an outdoor enclosure, the enclosure shall meet the following requirements:
(1) The height of the enclosure shall be a minimum of 8 feet, unless totally enclosed.

Exception: The height of the enclosure shall be not less than 10 feet (3 meters) where any exposed energized part is more than 8 feet above the ground, unless the energized part is located more than 5 feet horizontally from the enclosure.
(2) The enclosure shall be so constructed that it cannot be readily climbed.
(3) The size and location of openings in fences or similar enclosures shall be such that persons are not liable to come into accidental contact with energized parts or to bring conducting objects into contact with them.
(4) Metal gates or doors shall be grounded or bonded to a grounded metal enclosure. Metal fences shall be grounded as required by Article 6.
5) Buildings which form part of an enclosure shall have no unguarded doors or windows which permit unintentional access to the enclosure. Where the enclosure is adjacent to and below stairways, fire escapes, balconies, or windows, suitable guards shall be installed to prevent persons from making accidental contact with exposed energized parts.
(g) Work Space. Suitable work space shall be provided about exposed energized electrical equipment to permit the safe operation and/or maintenance of such equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (f)(4) filed 11-2-83 (Register 83, No. 45). 2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).

Appendix A
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of items (7) and (11) filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
3. Repealer filed 12-7-92; operative 1-6-93 (Register 92, No. 50).

Appendix B

LIVE LINE TOOLS
Insulated parts of Live Line Tools shall have manufacturers' certification to withstand the following minimum tests:
(1) 100,000 volts per foot of length for five minutes when the tool is made of fiberglass; or
(2) 75,000 volts per foot of length for three minutes when the tool is made of wood; or
(3) other tests equivalent to (1) or (2) above as appropriate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).

Appendix C

PROTECTIVE EQUIPMENT
Insulating equipment shall meet the provisions of the American Society for Testing and Materials (ASTM), which is hereby incorporated by reference, as follows:

ITEM	STANDARD
Rubber Insulating Gloves	 D 120-02a (Reapproved 2006)
Rubber Insulating Matting	 D 178-01 (Reapproved 2005)
Rubber Insulating Blankets	 D 1048-05
Rubber Insulating Covers	 D 1049-98 (Reapproved 2002)
Rubber Insulating Line Hose	 D 1050-05
Rubber Insulating Sleeves	 D 1051-06
Leather Protectors for Rubber Insulating 
 Gloves and Mittens	F 696-06
Insulating Plastic Guard Equipment	F 968-93 (Reapproved 2002)
Insulating Work Platforms for Electrical 
 Workers	F 1564-95 (Reapproved 2006)

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
2. Amendment filed 11-25-97; operative 12-25-97 (Register 97, No. 48).
3. Amendment filed 7-26-2000; operative 8-25-2000 (Register 2000, No. 30).
4. Amendment filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
Article 37. Provisions for Preventing Accidents Due to Proximity to Overhead Lines

(Formerly Article 86)
§2946. Provisions for Preventing Accidents Due to Proximity to Overhead Lines.
Note     •     History

(a) General. No person, firm, or corporation, or agent of same, shall require or permit any employee to perform any function in proximity to energized high-voltage lines; to enter upon any land, building, or other premises and there engage in any excavation, demolition, construction, repair, or other operation; or to erect, install, operate, or store in or upon such premises any tools, machinery, equipment, materials, or structures (including scaffolding, house moving, well drilling, pile driving, or hoisting equipment) unless and until danger from accidental contact with said high-voltage lines has been effectively guarded against.
(b) Clearances or Safeguards Required. Except where overhead electrical distribution and transmission lines have been de-energized and visibly grounded, the following provisions shall be met:
(1) Over Lines. The operation, erection, or handling of tools, machinery, apparatus, supplies, or materials, or any part thereof, over energized overhead high-voltage lines shall be prohibited.

Exception: 1: Aircraft over energized overhead high-voltage lines operating in conformance with:
(A) Applicable regulations administered by the Federal Aviation Administration, and/or
(B) Helicopter Operations, Article 35, Construction Safety Orders, California Administrative Code, Title 8.

Exception: 2: Tower cranes (Hammerhead) installed not closer than the minimum clearances set forth in Table 2, whereon the trolley or boom travel is controlled by limit switches which will prevent carrying a load over energized overhead high-voltage lines or within a horizontal distance closer than the minimum clearances set forth in Table 2.
(2) The operation, erection, handling, or transportation of tools, machinery, materials, structures, scaffolds, or the moving of any house or other building, or any other activity where any parts of the above or any part of an employee's body will come closer than the minimum clearances from energized overhead lines as set forth in Table 1 shall be prohibited.

Exception: Amusement rides or attractions shall not be located under or within 15 ft. (4.57 m) horizontally of conductors operating in excess of 600 volts.
Operation of boom-type equipment shall conform to the minimum clearances set forth in Table 2, except in transit where the boom is lowered and there is no load attached, in which case the distances specified in Table 1 shall apply.

TABLE 1

General Clearances Required from Energized Overhead High-Voltage Conductors
			Nominal Voltage	                        Minimum Required
			(Phase to Phase)	                            Clearance (Feet)
		600	 50,000	6
	over 	50,000	 345,000	10
	over 	345,000	 750,000	16
	over 	750,000	 1,000,000	20

(3) Boom-type lifting or hoisting equipment. The erection, operation or dismantling of any boom-type lifting or hoisting equipment, or any part thereof, closer than the minimum clearances from energized overhead high-voltage lines set forth in Table 2 shall be prohibited.
(4) Storage. The storage of tools, machinery, equipment, supplies, materials, or apparatus under, by, or near energized overhead high-voltage lines is hereby expressly prohibited if at any time during such handling or other manipulation it is possible to bring such tools, machinery, equipment, supplies, materials, or apparatus, or any part thereof, closer than the minimum clearances from such lines as set forth in Table 1.
(c) The specified clearance shall not be reduced by movement due to any strains impressed (by attachments or otherwise) upon the structures supporting the overhead high-voltage line or upon any equipment, fixtures, or attachments thereon.
(d) Any overhead conductor shall be considered to be energized unless and until the person owning or operating such line verifies that the line is not energized, and the line is visibly grounded at the work site.

TABLE 2

Boom-type lifting or hoisting equipment clearances required from 
energized overhead high-voltage lines.

			Nominal voltage	                          Minimum Required
			(Phase to Phase)	                          Clearance (Feet)
		600	 50,000	10
	over 	50,000	 75,000	11
	over 	75,000	 125,000	13
	over 	125,000	 175,000	15
	over 	175,000	 250,000	17
	over 	250,000	 370,000	21
	over 	370,000	 550,000	27
	over 	550,000	 1,000,000	42

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b), (c), repealer of subsections (d), (e) and new subsection (d) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction renumbering former Article 86 to Article 37 filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
4. Amendment of subsection (b)(2) filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2947. Warning Signs Required.
Note     •     History

The owner, agent, or employer responsible for the operations of equipment shall post and maintain in plain view of the operator and driver on each crane, derrick, power shovel, drilling rig, hay loader, hay stacker, pile driver, or similar apparatus, a durable warning sign legible at 12 feet reading: “Unlawful To Operate This Equipment Within 10 Feet Of High-Voltage Lines of 50,000 Volts Or Less.”
In addition to the above wording, the following statement in small lettering shall be provided on the warning sign: “For Minimum Clearances of High-Voltage Lines In Excess of 50,000 Volts, See California Code of Regulations, Title 8, Article 37, High-Voltage Electrical Safety Orders.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Editorial correction filed 11-2-83 (Register 83, No. 45).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2948. Notification to the Operators of High-Voltage Lines and Responsibility for Safeguards.
Note     •     History

When any operations are to be performed, tools or materials handled, or equipment is to be moved or operated within the specified clearances of any energized high-voltage lines, the person or persons responsible for the work to be done shall promptly notify the operator of the high-voltage line of the work to be performed and shall be responsible for the completion of the safety measures as required by Section 2946 (b) before proceeding with any work which would impair the aforesaid clearance.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2949. Special Exemption.
Note     •     History

The provisions of the foregoing Sections 2946 through 2948 shall not apply to the construction, reconstruction, maintenance, or operation of any energized overhead high-voltage lines or their supporting structures or appurtenances by qualified electrical workers, authorized by the owner of such lines, nor to work performed in proximity to energized overhead high-voltage lines by qualified persons using approved equipment and work procedures specified in these orders in accordance with Penal Code Section 385D.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32). 2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
Article 38. Line Clearance Tree Trimming Operations

(Formerly Article 87)
§2950. Application.
Note     •     History

(a) This article shall apply to all line clearance tree trimming operations performed in the vicinity of exposed energized overhead conductors and equipment where any part of the employee's body, tools or equipment being used, or parts of trees being worked upon, is likely to come within the distances specified in Table 1 of this section. 
(b) Minimum approach distances to energized conductors for persons other than qualified line clearance tree trimmers and trainees shall be maintained in accordance with Table 1.

EXCEPTION NO. 1: A qualified tree worker as defined in the General Industry Safety Orders (GISO), Section 3420(b) may perform tree trimming activities within 10 feet, but no closer than 1 foot, of energized low voltage (600 volts or less) power lines and conductors, provided the provisions in GISO Section 3423 related to such work are met. 

EXCEPTION NO. 2: A qualified telecommunication worker as defined in Section 8601 of the Telecommunication Safety Orders when performing restoration work or other emergency work, provided the employee is trained and experienced in the special techniques and work procedures required to avoid the hazards of line clearance tree trimming operations.

EXCEPTION NO. 3: A qualified electrical worker as defined in Section 2700 of the High Voltage Electrical Safety Orders when performing restoration work or other emergency work, provided the employee is trained and experienced in the special techniques and work procedures required to avoid the hazards of line clearance tree trimming operations.

Table 1.
Minimum approach distances to energized conductors for persons other than qualified line-clearance tree trimmers and trainees

	Nominal voltage in kilovolts 	
	(kV)	     Distance 
	phase to phase*	ft-in                     Meters 

	0.0 to 1.0	10-00	3.05
	1.1 to 15.0	10-00	3.05
	15.1 to 36.0	10-00	3.05
	36.1 to 50.0	10-00	3.05
	50.1 to 72.5	10-09	3.28
	72.6 to 121.0	12-04	3.76
	138.0 to 145.0	13-02	4
	161.0 to 169.0	14-00	4.24
	230.0 to 242.0	16-05	4.97
	345.0 to 362.0	20-05	6.17
	500.0 to 550.0	26-08	8.05
	785.0 to 800.0	35-00	10.55

	*Exceeds phase to ground minimum approach distances per the federal standard, 29 CFR 1910.333.

NOTE 1: Minimum approach distances to energized conductors for qualified line clearance tree trimmers and trainees as defined in Section 2700 are provided in the provisions and references of Section 2951 of these Orders. 

NOTE 2: Additional requirements for Tree Work, Maintenance or Removal, are contained in Article 12 of the General Industry Safety Orders, Title 8, California Code of Regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 87 ( §§ 2950-2959, not consecutive) filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42).
2. Certificate of Compliance as to Article 87, except for Sections 2950(c)(2)(A), 2954(f), and 2955(a)(5)(A) filed 1-9-76 (Register 76, No. 2).
3. Amendment of subsection (c)(2)(A) filed 1-9-76 (Register 76, No. 2).
4. Repealer of Article 87 (Sections 2950-2959, not consecutive) and new Article 87 (Sections 2950-2951) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
5. Amendment filed 4-16-80 as procedural and organizational; effective upon filing (Register 80, No. 16).
6. Editorial correction renumbering former Article 87 to Article 38 filed 11-2-83 (Register 83, No. 45).
7. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
8. Amendment designating first paragraph as subsection (a) and adopting new subsection (b) filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§2951. Line Clearance Operations.
Note     •     History

(a) Prior to commencing line clearance tree trimming operations, the employer shall ensure that an inspection of the work locations is made in order to identify potential hazards and a tail gate briefing is conducted to discuss the work procedures to be followed.
(b) Only qualified line clearance tree trimmers, or trainees under the direct supervision and instruction of qualified line clearance tree trimmers, shall be permitted to perform line clearance tree trimming operations as described in Section 2950. Under no circumstances shall the minimum distance specified in Section 2940.2(b) Table 2940.2, be violated.
(c) The employee in charge of each independent crew shall coordinate the de-energizing and re-energizing of high-voltage lines with the operator of the high-voltage line(s).
(d) During all tree trimming operations performed in accordance with the requirements of subsection (b) above, there shall be another qualified line clearance tree trimmer or trainee at each work location to render immediate assistance.
Note: A qualified high-voltage electrical worker shall be permitted to be the second employee, provided the employee doing the line clearance tree trimming is a qualified line clearance tree trimmer.
(e) Branches contacting energized conductors or equipment shall be removed only by using nonconductive equipment.
(f) With the exception of emergency restoration procedures, line clearance tree trimming work shall not be performed when adverse weather conditions such as thunderstorms in the immediate vicinity, high winds, snow storms or ice storms, make the work hazardous in spite of the work practices required by this section.
Note: A high wind is one which would expose an employee to being blown from an elevated location, or cause an employee or material handling equipment to lose control of the material being handled, or expose the employee to other hazards not controlled by the requirements of this section. Winds exceeding 40 miles per hour, or 30 miles per hour if material handling is involved, meet this criteria unless precautions are taken to protect employees from the hazards described herein.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
2. New subsection (e) and following Note filed 12-12-94; operative 1-11-95 (Register 94, No. 50).
3. New subsection (c) and subsection relettering filed 11-19-97; operative 12-19-97 (Register 97, No. 47).
Article 39. Signs and Outline Lighting--Exceeding 600 Volts

(Formerly Article 88)
§2970. Installation of Conductors.
Note     •     History

Conductors shall be installed as follows:
(a) Wiring Method. Conductors shall be installed in rigid metal conduit, in flexible metal conduit, in liquidtight flexible metal conduit, or in electrical metallic tubing. 
(Title 24, Part 3, Section 600-31(a).)
(b) Conductors in Raceways. Where the conductors are covered with lead or other metal sheathing, the covering shall extend beyond the end of the raceway, and the surface of the cable shall not be injured where the covering terminates. 
(Title 24, Part 3, Section 600-31(e).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New Article 88 ( §§ 2970-2974) filed 10-14-75 as an emergency; effective upon filing (Register 75, No. 42).
2. Certificate of Compliance filed 1-9-76 (Register 76, No. 2).
3. Editorial correction filed 11-2-83 (Register 83, No. 45).
4. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2971. Transformers.
Note     •     History

Transformers shall comply with the following:
(a) Voltage. The transformer secondary open-circuit voltage shall not exceed 15 kilovolts with an allowance on test of 1 kilovolt additional. In end-grounded transformers the secondary, open-circuit voltage shall not exceed 7.5 kilovolts with an allowance on test of 500 volts additional.
(Title 24, Part 3, Section 600-32(a).)
(b) Type. Transformers shall be of a type approved for the purpose and shall be limited in rating to a maximum of 4.5 kilovolt-amperes.
Open core-and-coil type transformers shall be limited to 5 kilovolts with an allowance on test of 500 volts, and to indoor applications in small portable signs.
Transformers for outline lighting installations shall have secondary current ratings not in excess of 30 milliamperes.
(Title 24, Part 3, Section 600-32(b) without Exception.)
(c) Transformer Secondary Connections. The high voltage windings of transformers shall not be connected in parallel; and shall not be connected in series, except that two transformers each having one end of its high voltage winding connected to the metal enclosure shall be permitted to have their high voltage windings connected in series to form the equivalent of a midpoint-grounded transformer. The grounded ends shall be connected by insulated conductors not smaller than No. 14.

Exception: Transformers for small portable signs, show windows, and similar locations that are equipped with leads permanently attached to the secondary winding within the transformer enclosure and that do not extend more than 8 feet beyond the enclosure for attaching to the line ends of the tubing shall be permitted to have leads smaller than No. 14, but shall not be smaller than No. 18 and shall be of a type approved for the purpose.
(Title 24, Part 3, Section 600-32(d).)
(d) Accessibility. Transformers shall be accessible. 
(Title 24, Part 3, Section 600-32(e).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2972. Electric-Discharge Tubing.
Note     •     History

Electric-discharge tubing shall conform to the following:
(a) Support. Tubing shall be adequately supported on noncombustible, nonabsorptive supports. 
(Title 24, Part 3, Section 600-33(b).)
(b) Contact with Flammable Material and Other Surfaces. The tubing shall be free from contact with flammable material and shall be located where not normally exposed to physical damage. Where operating in excess of 7.5 kilovolts, the tubing shall be supported on noncombustible, nonabsorptive, insulating supports which maintain a spacing of not less than 1/4 inch between the tubing and the nearest surface. 
(Title 24, Part 3, Section 600-33(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2973. Terminals and Electrode Receptacles for Electric-Discharge Tubing.
Note     •     History

Terminals and electrode receptacles for electric-discharge tubing shall comply with the following:
(a) Terminals. Terminals of the tubing shall be inaccessible to unqualified persons and isolated from combustible material and grounded metal or shall be enclosed. 
(Title 24, Part 3, Section600-34(a).)
(b) Tube Connections. Where tubes do not terminate in receptacles designed for the purpose, all live parts of tube terminals and conductors shall be so supported as to maintain a separation of at least 1 1/2 inches between conductors or between conductors and any grounded metal.
(Title 24, Part 3, Section 600-34(b).)
(c) Bushings. Where electrodes enter the enclosure of outdoor signs or of an indoor sign operating at a voltage in excess of 7.5 kilovolts, bushings shall be used unless receptacles are provided or the sign is wired with bare wire mounted on approved supports which maintain the tubing in proper position. 
(Title 24, Part 3, Section 600-34(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 88, No. 1).
§2974. Switches on Doors.
Note     •     History

Doors or covers giving access to uninsulated parts of indoor signs or outline lighting exceeding 600 volts and accessible to other than qualified persons, shall either be provided with interlock switches which on the opening of the doors or covers disconnect the primary circuit, or shall be so fastened that the use of other than ordinary tools will be necessary to open them.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 11-2-83 (Register 83, No. 45).
2. Amendment of section and Note filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 40. Electronic News Gathering
§2980. Definitions.
Note     •     History

Electronic News Gathering (ENG). A task or series of tasks applied to capturing news, sporting or other live events on location using cameras and support equipment and using recorded media for live transmission and/or reception. For the purposes of this regulation, ENG includes Satellite News Gathering (SNG), Electronic Field Production (EFP), and other activities which are functionally similar to ENG. 
ENG Vehicle. An ENG vehicle has a transmitter and may also have a receiver. An ENG vehicle employs an elevating antenna, dish, laser, or similar device or structure in order to transmit, receive, or relay video, audio, or data signal to or from a broadcasting station, fixed or mobile relay point, including satellite or other spacecraft, or other facility for immediate or delayed processing for use in broadcasts or closed circuit transmission. Excluded from this Article are mobile cellular telephone sites, sometimes referred to as cells-on-wheels (COWS) used exclusively for cellular telephone communications. 
Step potential. “Step potential” is the voltage between the feet of a person standing near an energized grounded object. It is equal to the difference in voltage, given by the voltage distribution curve, between two points at different distances from the “electrode.” A person could be at risk of injury during a fault simply by standing near the grounding point. 
Touch potential. “Touch potential” is the voltage between the energized object and the feet of a person in contact with the object. It is equal to the difference in voltage between the energized object and a point some distance away. It should be noted that the touch potential could be nearly the full voltage across the grounded object if that object is grounded at a point remote from the place where the person is in contact with it. 
Step and touch potentials are illustrated in Figure 1. 

View Graphic

Figure 1 -- Step and Touch Potentials 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New article 40 (sections 2980-2983) and section filed 11-18-2002; operative 12-18-2002 (Register 2002, No. 47).
2. Change without regulatory effect providing more legible version of Figure 1 filed 11-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 45).
§2981. Provisions for Preventing Accidents Due to Operation of Electronic News Gathering Vehicles in Proximity of Overhead Power Lines.
Note     •     History

(a) Positive means, such as momentary contact (continuous pressure) switches, shall be used to raise or rotate elevating antennas, such as microwave masts, dishes, or similar structures. The switch shall be located to assure that personnel operating the elevating antenna will be where they can continuously and responsibly observe the environment overhead during the raising or rotating operation. 
(b) Level indication devices shall be provided in an observable location on the ENG vehicle to indicate the level of the vehicle front to rear and across the width. 
(c) A spotlight or functionally equivalent means of illumination shall be provided on all ENG vehicles equipped with an elevating antenna, such as a microwave mast, dish, or similar structure. Illumination shall be adequate to assist operating personnel in locating overhead hazards, such as power lines within the proximity of the elevating device during periods of darkness or reduced available light. 
(d) Audible and visual warnings shall be provided to warn the driver when movement of the ENG vehicle is attempted while the mast, dish, or similar structure (antenna) is not stowed. A visual warning readily observable to the driver shall occur when the engine is running and the antenna is not stowed. A non-cancelable audible alarm with a nominal sound loudness of 80-85dB at the driver's position shall occur when movement of the vehicle is attempted unless the elevating antenna is stowed. 
(e) Warning Signs. Each ENG vehicle equipped with elevating mast, dish, antenna, or similar apparatus, shall be posted with durable, permanent warning signs. 
(1) A warning sign shall be posted in plain view of the mast operator's position with lettering not less than 1/2 inch in height on a contrasting background reading: “Unlawful to operate this equipment within 10 feet of high-voltage lines of 50,000 volts or less.” 
(A) In addition to the above wording, the following statement in small lettering shall be provided on each mast operator warning sign: “For minimum clearances of high-voltage lines in excess of 50,000 volts, see California Code of Regulations, Title 8, Article 37, High-Voltage Electrical Safety Orders.” 
(2) A warning sign shall be posted in plain view of the mast operator and the ENG vehicle driver with lettering not less than 1/4 inch in height on a contrasting background listing the vehicle heights with the antenna in the raised and stowed positions. 
(f) ENG Vehicle Safety Manual: 
(1) The owner, agent, or employer responsible for the operations of ENG vehicles shall maintain a durably bound document in each vehicle containing the following information: 
(A) How to safely operate the elevating mast or antenna. 
(B) Original equipment manufacturer (OEM) vehicle owner/operator's manual. 
(C) Predictable hazards associated with ENG vehicles. 
(2) Prior to permitting an employee to operate an ENG vehicle, the employer shall ensure that the vehicle operator is familiar with the Vehicle Safety Manual specific to the vehicle they will be operating. 
(A) EXCEPTION: Service personnel performing vehicle maintenance functions. 
(g) Work performed as described in this Article shall be in accordance with Article 37 of the High-Voltage Electrical Safety Orders. 
(h) Effective dates: 
(1) Provisions of this Section (2981(a)-(f)) shall apply to all ENG vehicles manufactured on or after December 18, 2003, which are operated in California. 
(2) Provisions of this Section (2981(a)-(f)) shall apply to all ENG vehicles manufactured prior to December 18, 2003, which are operated in California on or after December 18, 2004. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 11-18-2002; operative 12-18-2002 (Register 2002, No. 47).
§2982. Employee Training.
Note     •     History

(a) Scope and Application: 
(1) The requirements of this Section shall apply in addition to training required by General Industry Safety Orders, Section 3203(a)(7). 
(2) Safety training shall be conducted at least annually for all personnel employed in electronic news gathering operations, including, but not limited to, all elements described in subsection 2982(b). 
(3) Safety training shall be given to:
(A) Field personnel. All employees, including reporters, assigned to operate ENG vehicles or work in the proximity of ENG vehicles under field conditions. 
(B) Supervisory personnel. All employees who assign or supervise field personnel, and those with field personnel under their immediate and direct control. 
(4) Prior to permitting an employee to operate or work in the proximity of an ENG vehicle under field conditions, the employer shall ensure that such employee has successfully completed training required by this Section, including, but not limited to all elements described in Section 2982(b). 
(A) EXCEPTION: Supervised operations performed during the actual training required by this Article. 
(5) Prior to permitting an employee to assign or supervise field personnel as defined above, the employer shall ensure that such supervisory personnel has successfully completed training required by this Section including, but not limited to, all elements described in Section 2982(b). 
(A) EXCEPTION: The requirements for training of supervisory personnel, as defined in subsection 2982(a)(3)(B), may be suspended during a major natural disaster or major civil emergency as necessary to permit compliance with Penal Code Section 409.5(d). 
(b) Training. 
(1) Employees shall be trained to understand the specific hazards associated with electrical energy in relationship to ENG vehicle operations. They shall be trained in safety-related work practices and procedural requirements as necessary to provide protection from electrical hazards. Employees shall be trained to identify and understand the relationship between electrical hazards and possible injury. 
(2) The employer shall establish, implement, and maintain a written Code of Safe Practices for ENG operations. The written Code of Safe Practices shall include, but not necessarily be limited to, the following elements: 
(A) Hazards common to ENG vehicles 
1. Overhead power lines. 
2. Downed power lines. 
3. Step potential and touch potential. 
4. Generators. 
5. Carbon monoxide poisoning. 
6. Wind, lightning, and other severe weather conditions. 
(B) Safe ENG vehicle operation. 
1. Pre-operation equipment inspection criteria. 
2. Vehicle controls and equipment indicators. 
3. Mast warning alarms required by Section 2981(d). 
4. Operating instructions, warnings, and precautions for the types of ENG vehicles to be used. 
5. Differences between the ENG vehicle and an automobile. 
(a) Steering and maneuvering. 
(b) Vehicle stability. 
(c) Affect of hazardous or abnormal weather conditions. 
(C) Operating limitations. 
1. Vehicle capacity and load limitations. 
(D) Set-up procedure, including: 
1. Site selection. 
2. Hazards associated with vehicular or pedestrian traffic. 
3. Preliminary site inspection (walk-around, walk away, look up). 
4. Hazards associated with reduced visibility due to environmental conditions such as fog, smoke, snow, and darkness. 
5. Environmental hazards including, but not limited to, harmful substances, and animal, insect, or plant life. 
6. Mast and/or antenna operation, including instructions on safe mast deployment. 
(E) Tear-down (pre-departure) procedure, including: 
1. Lowering the mast/stowing the antenna. 
2. Mast problems. 
3. Storing and equipment tie-down. 
4. Pre-departure site inspection (walk-around, walk away, look up) before moving the vehicle. 
(F) Emergency protocol. 
1. Emergency operation procedure. 
(3) All training and evaluation shall be conducted by persons who have the knowledge, training, and experience in ENG operations, consistent with the subject matter of Section 2982(b), to train ENG employees and to evaluate their competence. 
(c) Documentation of employee training shall be maintained as required by Section 3203 of the General Industry Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 11-18-2002; operative 12-18-2002 (Register 2002, No. 47).
§2983. Safety Inspections.
Note     •     History

(a) In addition to the periodic inspections required by Section 3203(a)(4), field safety inspections of ENG vehicle operation shall be conducted at least annually to evaluate the implementation of and compliance with Section 2982. 
(b) Annual field safety inspections shall be conducted at least one quarter preceding or following the annual training required by Section 2982. 
(c) Additional training shall be conducted when a periodic inspection reveals that there are deviations from or inadequacies in the employee's knowledge or use of the safety-related work practices of subsection 2982(b). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 11-18-2002; operative 12-18-2002 (Register 2002, No. 47).
Article 41. Communications Systems
§2985.0. Scope.
Note     •     History

This Article applies to radio and television receiving and transmitting equipment, including community antenna television and radio distribution systems, and similar central station systems over 600 volts nominal. These installations need not comply with the provisions of Article 3 through Article 86 of these High Voltage Electrical Safety Orders, except for Article 34.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 41 (sections 2985.0-2985.2) and section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2985.1. Equipment Location.
Note     •     History

Outdoor metal structures supporting antennas, as well as self-supporting antennas such as vertical rods or dipole structures, shall be located as far away from overhead conductors of electric light and power circuits of over 600 volts nominal as necessary to prevent the antenna or structure from falling into or making accidental contact with such circuits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2985.2. Grounding.
Note     •     History

(a) Masts and metal structures supporting antennas shall be permanently and effectively grounded without splice or connection in the grounding conductor.
(b) Transmitters shall be enclosed in a metal frame or grill or separated from the operating space by a barrier, all metallic parts of which are effectively connected to ground. All external metal handles and controls accessible to the operating personnel shall be effectively grounded. Unpowered equipment and enclosures are considered to be grounded where connected to an attached coaxial cable with an effectively grounded metallic shield.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 42. Induction and Dielectric Heating Equipment
§2987.0. Scope.
Note     •     History

This Article applies to induction and dielectric heating equipment and accessories for industrial and scientific applications, but not for medical or dental applications or for appliances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 42 (sections 2987.0-2987.1) and section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2987.1. Guarding and Grounding.
Note     •     History

(a) The converting apparatus (including the dc line) and high-frequency electric circuits (excluding the output circuits and remote-control circuits) shall be completely contained within enclosures of noncombustible material.
(b) All panel controls shall be of dead-front construction.
(c) Doors or detachable panels shall be employed for internal access. Where doors are used giving access to voltages over 600 volts ac or dc, either door locks shall be provided or interlocks shall be installed. Where doors are used giving access to voltages of over 1000 volts ac or dc, either mechanical lockouts with a disconnecting means to prevent access until circuit parts within the cubicle are deenergized, or both door interlocking and mechanical door locks, shall be provided. Detachable panels not normally used for access to such parts shall be fastened in a manner that will make them difficult to remove (for example, by requiring the use of tools).
(d) Warning labels or signs that read “DANGER -- HIGH VOLTAGE -- KEEP OUT” shall be attached to the equipment and shall be plainly visible where persons might contact energized parts when doors are opened or closed or when panels are removed from compartments containing over 600 volts ac or dc.
(e) Induction and dielectric heating equipment shall be protected as follows:
(1) Protective cages or adequate shielding shall be used to guard work applicators other than induction heating coils.
(2) Induction heating coils shall be protected by insulation or refractory materials or both.
(3) Interlock switches shall be used on all hinged access doors, sliding panels, or other such means of access to the applicator, unless the applicator is an induction heating coil at dc ground potential or operating at less than 150 volts ac.
(4) Interlock switches shall be connected in such a manner as to remove all power from the applicator when any one of the access doors or panels is open.
(f) A readily accessible disconnecting means shall be provided by which each heating equipment can be isolated from its supply circuit. The ampere rating of this disconnecting means may not be less than the nameplate current rating of the equipment. The supply circuit disconnecting means is permitted as a heating equipment disconnecting means where the circuit supplies only one piece of equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Article 43. Integrated Electrical Systems
§2989.0. Scope.
Note     •     History

This Article covers integrated electrical systems, other than unit equipment, in which orderly shutdown is necessary to ensure safe operation. An integrated electrical system as used in this section shall be a unitized segment of an industrial wiring system where all of the following conditions are met:
(a) An orderly shutdown process minimizes employee hazard and equipment damage;
(b) The conditions of maintenance and supervision ensure that only qualified persons will service the system; and
(c) Effective safeguards are established and maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 43 (sections 2989.0-2989.1) and section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
§2989.1. Location of Overcurrent Devices in or on Premises.
Note     •     History

Overcurrent devices that are critical to integrated electrical systems need not be readily accessible to employees if they are located with mounting heights to ensure security from operation by unqualified persons.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-1-2009; operative 4-1-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2009, No. 14).
Subchapter 6. Elevator Safety Orders
Group I. Administrative Regulations
Group I regulations apply to elevator installations covered by Group II and Group III regulations and to new conveyances covered by Group IV regulations.
Article 1. Application
§3000. Application.
Note     •     History

(a) Where Applicable. The Elevator Safety Orders are applicable to elevators in the State of California except:
(1) Elevators under the jurisdiction of the United States government.
(2) Elevators located in a single-unit private home and not accessible to the public.
(3) Elevators located in a multiunit residential building serving no more than two dwelling units and not accessible to the public.
EXCEPTION TO (a)(3): See section 3001(b)(5).

Note: Unless otherwise designated in this subchapter, the term “division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
(Title 24, Part 7, Section 7-3000(a))
(b) Use and Precedence of Orders.
(1) When ASME A17.1-1996 is cited or incorporated by reference in these Orders, it shall mean the 1996 edition of ASME A17.1, and shall be referred as ASME A17.1-1996, unless otherwise indicated.
(2) The Elevator Safety Orders shall apply if any difference exists between the Elevator Safety Orders and ASME A17.1-1996; or any other code, document or standard referenced in ASME A17.1-1996. Where a specific provision varies from a general provision, the specific provision shall apply.
(3) If a section in the Elevator Safety Orders makes a cross-reference to a section, rule or table in ASME A17.1-1996, such cross-referencing shall be that which is shown in ASME A17.1-1996 unless the referenced section, rule or table has been amended in the Elevator Safety Orders.
(4) If a section, rule, or table in ASME A17.1-1996 makes a cross-reference to another section, rule or table in ASME A17.1-1996, such cross-referencing shall be that which is shown in ASME A17.1-1996 unless the referenced section, rule or table has been amended in the Elevator Safety Orders.
(Title 24, Part 7, Section 7-3000(b))
(c) Devices Included. The devices covered by the regulations of the Elevator Safety Orders are included under the term “elevator” as used in the Labor Code. These orders apply to the following:
(1) Power-cable driven passenger and freight elevators covered by regulations of Articles 7, 8, 20, and 21.
(2) Hydraulic passenger and freight elevators covered by regulations of Articles 9 and 22.
(3) Power and hand sidewalk elevators covered by regulations of Articles 10 and  23.
(4) Hand passenger and freight elevators covered by regulations of Articles 11 and 24.
(5) Power and hand dumbwaiters covered by regulations of Articles 12 and 25.
(6)Material lifts and dumbwaiters with automatic transfer devices covered by regulations of Articles 12.1 and 31.
(7) Inclined elevators covered by regulations of Articles 12.2 and 34.
(8) Escalators covered by regulations of Articles 13 and 26.
(9) Moving walks covered by regulations of Articles 14 and 27.
(10) Hand power man platforms covered by regulations of Article 16.
(11) Manlifts covered by regulations of Article 17.
(12) Screw-driven passenger and freight elevators covered by the regulations of Articles 12.6 and 35.
(13) Vertical or inclined reciprocating conveyors covered by regulations of Article 12.5.
(14) Special access lifts covered by regulations of Articles 15 and 36.
(15) Special-purpose personnel elevators covered by regulations of Article 12.3. 
(16) Special-purpose elevators covered by regulations of Article 32. 
(d) Devices Excluded. These orders do not apply to the following:
(1) Belt, bucket, scoop, roller, or similar inclined or vertical conveyors, or other types of automated conveyor systems. See Section 3000(c)(13).
(2) Tiering or piling machines, sometimes called stackers, used for loading or stacking material.
(3) Equipment for feeding or positioning materials at machine tools, printing presses, etc.
(4) Hoists for raising and lowering materials and which are provided with unguided hooks, slings, and similar means for attachments to the materials.
(5) Skip or furnace hoists.
(6) Wharf ramps.
(7) Amusement devices.
(8) Stage and orchestra lifts.
(9) Lift bridges.
(10) Railroad car lifts or dumpers.
(11) Construction elevators as defined in section 7200 of the Labor Code.
(12) Mine hoists.
(13) Freight platform hoists with a travel of not more than 5 feet (1.52m).
(Title 24, Part 7, Section 7-3000(d))
(e) Devices Prohibited. The following type elevators are not allowed for new installations.
(1) Hatchway type elevator.
(2) Carriage type elevator.
(3) Auxiliary power elevator.
(4) Single belt elevator.
(5) Double belt elevator.
(6) Steam elevator.
(7) Gravity elevator.
(8) Platform elevator.
(9) Private residence elevators and inclined lifts as regulated in part V, ASME A17.1, except those allowed by article 15 and article 36.
(Title 24, part 7, Section 7-3000(e))
(f) Group III Installations. Devices listed in section 3000(c) that are:
(1) Erected from plans or contracts completed, and for which the notice of intention to install is filed with the Division, on or after October 25, 1998, but before May 1, 2008.
(2) Installations that have been operating previous to October 25, 1998 without the required inspection or permit to operate.
(3) Devices that are moved to a new location on or after October 25, 1998, but before May 1, 2008.

Note: Regulations for Group III installations are in Group III.
(g) Group II Installations. Devices listed in section 3000(c) that are:
(1) Devices which have been inspected by the Division and to which a serial number has been assigned.
(2) Devices for which erection was begun before October 25, 1998 and for which the notice of intent to install is not required.
(3) Devices erected from plans or contracts completed, and for which the notice of intent to install is filed with the Division, before October 25, 1998.

Note: Regulations for Group II installations are in Group II.
(h) Alterations, Repairs, Replacements, and Maintenance of Devices. 
(1) Alterations, repairs, replacements, and maintenance of devices listed in section 3000(c) shall comply with Part XII of ASME A17.1-1996; except for Rule 1200.1, Rule 1206.10, section 1214, section 1215, section 1216, and section 1217; which is hereby incorporated by reference.
(2) Alterations made after May 1, 2008 on Group II and Group III devices listed in section 3000(c) shall comply with the applicable provisions of section 3141.2 in Group IV. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7301, 7308 and 7317, Labor Code.
HISTORY

1. Repealer and new subsections (b) and (d)(12) and amendment of subsection (h)(5)(B) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26). For prior history, see Registers 70, No. 12; 75, No. 25; 76, No. 22 and 76, No. 31.
2. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
3. Amendment of subsections (b) and (c) filed 9-29-82; effective thirtieth day thereafter (Register 82, No. 40).
4. Amendment of subsections (b) and (d) filed 8-11-83; effective thirtieth day thereafter (Register 83, No. 36).
5. Editorial correction of 8-11-83 order filed 8-25-83; designated effective 9-10-83 (Register 83, No. 36).
6. Amendment of subsection (d) filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
7. Amendment filed 11-26-90; operative 12-26-90 (Register 91, No. 2).
8. Editorial correction of printing error in subsection (c)(1) (Register 91, No. 32).
9. Amendment of subsection (a) filed 7-1-91; operative 7-31-91 (Register 91, No. 43).
10. Amendment of subsection (b)(12), new subsection (b)(13) and amendment of subsection (c)(1) filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
11. New group I heading and amendment of section and Note filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
12. Amendment of subsection (a), repealer of subsection (a)--Note 1 and Note 2 designator, and amendment of subsection (a)--Exception filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
13. Amendment of group I subheading, amendment of subsections (c)(1)-(c)(14), new subsections (c)(15)-(16), amendment of subsections (f)-(g) and (g)(2)-(h), new subsections (h)(1)-(2) and amendment of Note filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 2. Permit to Operate
§3001. Permit to Operate.
Note     •     History

(a) Submittal of Plans and Notification of Intent to Install.
(1) The person or firm who intends to install a new elevator, dumbwaiter, escalator, moving walk, or manlift, shall submit the erection plans to the Division for review. In lieu of complete erection drawings and plans, the division will accept notification from a recognized elevator company that they intend to install a device covered by these regulations of a certain type at a definite address, and subsequent notification to the division that the installation is complete and ready for inspection.
(2) The Division may require drawings and details of construction of any portion of an installation when complete erection plans are not submitted.
(3) When an installation requires material, fabrication, or construction other than recognized standard types or has an offset car frame or is an observation type elevator installed in other than a fully enclosed hoistway, drawings and details shall be submitted to the Division prior to installation.
(4) Alterations to existing passenger or freight elevators as defined in section 3000(h) shall be considered as new installations for submittal of plans or notice of intent to make the alteration and the subsequent notification that the work is complete and ready for inspection. The notice of intent shall include a complete description of the alteration.
(5) The person or firm doing the work of replacing door locking devices, safety devices, governors, or oil buffers on existing installations of passenger or freight elevators shall notify the Division when the work is complete and ready for inspection.
(6) The person or firm installing a new hand power man platform shall notify the Division when the installation is complete and ready for inspection.
(7) The person or firm responsible for special maintenance operations such as the cleaning of glass or the replacement of lamps that cannot be performed from inside the elevator car, shall submit a plan to the Division outlining a safe method that will be used to perform the maintenance.
(8) The person or firm installing a static control shall provide the Division with information showing that the control complies with the requirements of Group II, sections 3040(f)(4) and 3040(f)(7). This information shall be in the form of either:
(A) Electrical schematic diagrams or block diagrams of the control and safety circuits; or
(B) A written checkout procedure and demonstration of safety and speed control circuits required by sections 3040(f)(4) and 3040(f)(7) at the time of the inspection.

EXCEPTION TO SECTION 3001(a)(8): Installation of static control for Group IV installations shall comply with Group IV, section 3141.3.
(b) Inspections Required.
(1) Each new device shall be inspected by an authorized representative of the Division and a permit to operate issued before the device is placed in service.
(2) Each alteration of an existing device shall be inspected by an authorized representative of the Division and a new permit to operate issued before the device is placed back in service.

Exception: After the inspection of a new device or an alteration, the device may be placed in service while the permit to operate is being processed, provided, in the opinion of the inspecting representative of the Division, the device is safe to operate.
(3) The replacement of door locking devices, safety devices, governors, oil buffers, counterweights, car enclosures and car doors and gates, terminal stopping devices, operating devices and control equipment, controllers, and emergency and signaling devices, shall be inspected by an authorized representative of the Division before the elevator is placed back in service.
(4) Reinspections of the devices covered by these regulations shall be as prescribed in Labor Code section 7304 which requires all elevators to be inspected at least once each year, but permits up to a two-year period if an elevator is in a safe condition for operation and is subject to a full maintenance service contract. Such reinspections may be done by certified inspectors as defined in section 3003.
(5) Elevators in a multiunit residential building serving no more than two dwelling units and not accessible to the public shall be inspected by the Division upon completion of installation prior to being placed in service, or after alterations prior to being returned to service. The inspection shall be for safety and compliance with applicable provisions in ANSI/ASME A17.1-1984, Parts V and XXI, which are hereby incorporated by reference. Elevators installed after Sept. 28, 2001, shall be inspected for safety and compliance with applicable provisions in either ASME A17.1-1996, Part 5, which is hereby incorporated by reference; or ASME A18.1-1999, Sections 5, 6, and 7, which is hereby incorporated by reference.
(6) Special access elevators installed after Sept. 28, 2001 shall be inspected for safety and compliance with the applicable provisions of Article 15, Special Access Elevators and Special Access Lifts, sections 3093-3093.60 of the Elevator Safety Orders.
(c) Permit to Operate Required. No elevator shall be operated without a valid, current permit issued by the Division.
(1) The permit, or a copy thereof, to operate a passenger elevator, freight elevator or incline elevator shall be posted conspicuously and securely in the elevator car. For other devices, the permit shall be available on the premises.
(2) Except as provided in subsection (c)(3), the permit shall not be issued for a period exceeding one year.
(3) If the Division's investigation and inspection indicate the elevator is in a safe condition and will be covered during the entire term of the permit by a full maintenance contract with an elevator service company possessing a C-11 license issued by the California Contractors' State License Board, the Division may issue a permit for a period not exceeding two years.
(4) Within 60 days of notification by the Division that an elevator may qualify for a two-year permit, the elevator service company shall submit to the Division the following information:
(A) A copy of the elevator service company's C-11 license issued by the California Contractors' State License Board;
(B) A copy of the full maintenance service contract.
(5) A full maintenance service contract shall:
(A) Specify the responsibilities of the elevator service company in regard to all repairs and maintenance that may be necessary to keep the elevator in compliance with the Elevator Safety Orders, Title 8 of the California Code of Regulations; and
(B) Require the elevator service company to service the elevator as frequently as necessary to effect safe operation but not less often than monthly.
(6) The elevator service company shall notify the Division within 30 days if a full maintenance service contract is terminated or altered during the period the two-year permit is in effect.
(d) Inspection Fees.
The Division shall assess a fee for inspections performed by Division safety engineers in accordance with title 8, California Code of Regulations, section 344.30. The Division shall not issue a permit to operate until the assessed fee has been collected.
(e) Application Processing Time for Renewal of Permit.
(1) Within 15 calendar days of receipt of an application for renewal of a permit to operate, the Division shall inform the applicant in writing that the application is either complete and accepted for filing or that it is deficient and what specific information and documentation is required to complete the application.
(2) Within 30 calendar days from the date of the filing of a completed application, the Division shall conduct an inspection of the device for which the permit is sought. If the inspection reveals violations of the safety orders, a preliminary order indicating such requirements as may in the opinion of the Division be necessary to comply with these regulations shall be issued.
(3) After satisfactory compliance with the preliminary order, if one has been issued, and upon notification to the Division's elevator unit that the inspection fee has been paid, the Division shall issue the permit within 15 calendar days.
(4) The Division's median, minimum and maximum times for processing a permit from the receipt of the initial application to the final permit decision, based on the Division's actual performance during the two years immediately preceding the proposal of this regulation have been as follows:

	Median time	60 days
	Minimum time	 30 days
	Maximum time	1 year
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7304(b) and 7317, Labor Code.
HISTORY

1. Amendment of subsections (a)(3) and (a)(4) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48). For prior history, see Register 76, No. 31.
2. Amendment of subsection (a)(4) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Repealer of subsection (d) filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
4. New subsection (d) filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
5. New subsection (a)(8) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
6. Amendment of subsections (b), (c), and (d) and new subsection (e) filed 11-26-90; operative 12-26-90 (Register 91, No. 2).
7. Amendment of subsections (a)(2)-(a)(8) filed 7-1-91; operative 7-31-91 (Register 91, No. 43).
8. Amendment of subsection (c)(4) and Note filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
9. Editorial correction of subsections (c)(5)(A) and (e)(4) (Register 95, No. 26).
10. Amendment of subsections (a)(1), (a)(4), (a)(8), (a)(8)(B), (b)(2)-(3), (b)(5) and (c)(5)(A) filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
11. Amendment of subsection (b)(5), new subsection (b)(6) and amendment of Note filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
12. Amendment of subsection (a)(8)(B), (b)(2) and (b)(5) filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).

Appendix A [Repealed] Inspection Fees

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix A filed 3-26-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer filed 11-26-90; operative 12-26-90 (Register 91, No. 2).
Article 3. Variances
§3002. Variances.
Note     •     History

(a) Any employer, person or firm having custody of an elevator may apply to the Division for a temporary order granting a variance from an elevator safety order. Such temporary order shall be granted only if the employer, person or firm files an application which meets the requirements of section 6450 through 6457, inclusive, of the California Labor Code.
(b) Any employer, such as a person or firm having custody of an elevator, may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, order, special order, or portion thereof upon a showing of an alternative program, method, practice, means, device, or process which will provide equal or superior safety. Such application shall conform to the requirements of the California Code of Regulations, title 8, chapter 3.5 (Title 24, part 7, section 7-3002).
NOTE

Authority cited: Sections 142.3 and 143, Labor Code. Reference: Sections 142.3, 143, 143.2, 6450 and 6454, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Repealer of article 3 (section 3002) and new article 3 (section 3002) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsections (a) and (b) and Reference citations added, filed 7-1-91; operative 7-31-91 (Register 91, No. 43).
3. Amendment of Note filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 4. Qualifications for Certified Inspectors
§3003. Qualifications for Certified Inspectors.
Note     •     History

(a) Employment. Applicants shall be employed by a licensed insurance company carrying insurance on elevators or by a municipality which maintains an elevator inspection organization operating under ordinances or rules at least equivalent to the Elevator Safety Orders of the Division of Industrial Safety.
Applicants may be examined prior to their employment if sponsored by an insurance company or a municipality by an agreement to employ the candidate if he is successful in the examination. However, no certificate will be issued until the applicant is actually employed as an elevator inspector.
(b) Experience. Applicants shall have had at least four years of experience in some mechanical or electrical endeavor at least one year of which shall have been in the design, construction, installation, repair or inspection of elevators.
The nonelevator, mechanical, or electrical experience shall be at the journeyman mechanic level or technical work and the work must have been comparable to work in the elevator industry.
Engineering education on a college level may be substituted on a year-for-year basis for the nonelevator qualifying experience.
The one year of required elevator experience may be on the basis of continuous employment for one year in which at least half of the applicant's time is devoted to elevator work.
(c) Training. Immediately prior to the examination, the candidate shall have completed at least 90 days of intensive training in elevator inspection in California under the direct supervision of a certified elevator inspector.
This training period may be waived prior to the written examination; provided, however, that no certificate shall be issued until the candidate has been employed and satisfactorily completed the prescribed training period.
(d) Performance of Duties. A candidate shall be of good character, free from disabling defects, and possessing sufficient agility to perform his duties safely and efficiently.
(e) Certificates. Certificates of competency may be revoked by the division, after a hearing, for failure to submit true reports concerning the condition of an elevator, or for conduct deemed by the division to be contrary to the best interests of elevator safety or of the division.
Certificates may also be revoked, after a hearing, when physical infirmities develop to a point where it appears that an inspector can no longer perform his duties in a thorough and safe manner.
Certificates may be suspended by the division, after a hearing, for periods up to six months for infractions not deemed serious enough to revoke the certificate.
(f) Frequency of Inspection. Certificates will be automatically suspended if, for a period of one year, an inspector does not make any elevator inspections as evidenced by reports submitted; however, such certificates may be reinstated without a written examination at the discretion of the division.
This provision does not apply to the supervising engineers or others whose regular duties include the review of the work of other certified inspectors.
(g) Examination. The examination shall be conducted in two parts; the first consisting of a written examination and the second consisting of a field examination.
If the applicant fails to obtain a passing grade in either the written or field examination, he may apply for a re-examination and the waiting period between examinations shall be determined by the division as not less than 30 days or more than 6 months, depending on the judgment of the division regarding the necessity of additional study and training on the part of the applicant.
The field examination may be waived or postponed by the division and the certificate issued subject to field examination. This field examination may consist of a formal assignment related to elevator inspection or it may consist of an appraisal of work of the inspector during an indefinite probationary period.
(1) Written examinations will be conducted by appointment at any time mutually agreeable to the candidate and to the division. these examinations will be conducted in the office of the division, either in San Francisco or in Los Angeles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Amendment of subsection (c) and new Note filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 5. Standard Reference Documents
§3004. Authority for Standard.

View Graphic
Article 6. Definitions
§3009. Definitions.
Note     •     History

(a) Scope. The elevator industry and the material handling industry, both of which are subject to these orders, use many words and terms that have meanings unique to their respective endeavors. Definitions are included to standardize nomenclature and improve communication between inspectors, mechanics, architects, engineers, and owners. Oral and written interchanges are enhanced when both parties understand a given term or word to have a specific meaning.
(b) List of Definitions. The following definitions shall be accepted as the meaning of the various terms as used in these regulations:
Acceleration. The operation of advancing the elevator drive motor speed from zero to normal operating speed.
Alteration. Any change or addition to the equipment other than ordinary repairs or replacements.
Alternate Level. See Level, Alternate.
Angle of Contact. That portion of a sheave contacted by a rope. Measured in degrees of contact. Sometimes referred to as angle of wrap or arc of contact.
Applied Frame Entrance. A wraparound or partial addition to an existing entrance frame used to improve the appearance or to provide the required clearance.
Annunciator, Car. An electrical device in the car which indicates visually the landings at which an elevator landing signal registering device has been actuated.
Approved Device. An approved device is one on which a written approval for use in the State of California has been issued by the Division of Industrial Safety.
Apron. See Platform Guard.
Astragal. A molding on the leading edge of hoistway and car doors. Usually a rubber molding extending the full height on center opening doors, and either metal or rubber running the full width of the upper panel on biparting freight type doors. It is furnished to reduce the effects of injury, should something get caught between door panels and quiet the operation of the doors.
Authorized Personnel. Persons who have been instructed in the operation and/or maintenance of the equipment and designated by the owner to use or maintain the equipment.
Automated People Mover. A guided transit mode with fully automated operation, featuring vehicles that operate on guideways with exclusive right-of-way. 
Automatic Transfer Device. See under Material Handling Devices.
Backlash. Excessive clearance between the teeth of the worm and worm gear of a geared machine; it permits a rocking action of the drive sheave or gear when the worm is held stationary.
Basic Safety Circuit. A portion of the elevator control wiring that includes a number of mechanical switch contacts and relay contacts in series. Usually includes the final limits, emergency stop button, governor contacts and a safety-operated switch. The cause of operation of any one of these contacts constitutes a possible hazardous operation of the elevator and therefore stops all elevator operation. Also called the emergency circuit.
Buffer. A device designed to stop a descending car or counterweight beyond its normal limit of travel by storing or by absorbing and dissipating the kinetic energy of the car or counterweight.
(A) Oil Buffer. A buffer using oil as a medium which absorbs and dissipates the kinetic energy of the descending car or counterweight.
(B) Gas Spring-Return Oil Buffer. An oil buffer utilizing the pressure of a compressed gas to return the buffer plunger or piston to its fully extended position.
(C) Mechanical Spring-Return Oil Buffer. An oil buffer utilizing the force of the compressed mechanical spring or springs to return the buffer plunger or piston to its fully extended position.
(D) Oil Buffer Stroke. The oil-displacing movement of the buffer plunger or piston, excluding the travel of the buffer-plunger accelerating device.
(E) Spring Buffer. A buffer which stores in a spring the kinetic energy of the descending car or counterweight.
(F) Spring-Buffer Load Rating. The load required to compress the spring an amount equal to its stroke.
(G) Spring-Buffer Stroke. The distance the contact end of the spring can move under a compressive load until all coils are essentially in contact or until a fixed stop is reached.
Bumper. A device, other than an oil or spring buffer, designed to stop a descending car or counterweight beyond its normal limit of travel by absorbing the impact.
Cam. A steel angle beveled at both ends and fastened to the guide rails to operate terminal switches mounted on the car. A steel angle beveled at both ends fastened to the car to operate terminal switches in the hoistway. A steel angle mounted on the car to operate a hoistway floor selector. A movable steel bar or angle mounted on a car to unlock hoistway door interlocks. A device for converting regular rotary motion into irregular rotary motion or reciprocating motion.
Car, Elevator. The load-carrying unit, including its platform, car frame, enclosure, and car door or gate.
Car, Material Lift. See under Material Handling Devices.
Car Door or Gate Electric Contact. An electrical device, the function of which is to prevent the operation of the driving machine by the normal operating device unless the car door or gate is in the closed position.
Car Door or Gate Power Closer. A device or assembly of devices which closes a manually opened car door or gate by power other than by hand, gravity, springs, or the movement of the car.
Car Door or Gate. Power Closed. A door or gate which is closed by a door or gate power operator.
Car Enclosure. The top and the walls of the car resting on and attached to the car platform.
Car Frame (Sling). The supporting frame to which the car platform, upper and lower sets of guide shoes, car safety and hoisting ropes or rope sheaves of a cable elevator are usually attached or the plunger or cylinder of a direct plunger elevator are attached.
Car Frame, Overslung. A car frame to which the hoisting rope fastenings or hoisting rope sheaves are attached to the crosshead or top member of the car frame.
Car Frame, Underslung. A car frame to which the hoisting rope fastenings or hoisting rope sheaves are attached at or below the car platform.
Car Frame, Sub-Post. A car frame, all of whose members are located below the car platform.
Car Frame, Offset. A car frame sufficiently offset from the center of the platform to require special design and construction not covered by the formulas in Article 18.
Car Gate. The movable portion(s) of the car entrance which closes the opening, providing access to the car or landings. In contrast to a car door, the car gate is not a solid panel. It consists of one of the following:
(A) Horizontally Sliding Collapsible Gate. A series of horizontally sliding vertical bars, jointed by a scissor-like linkage that allows the assembly to collapse (normally to less 25% of the closed width). The collapsing gate is subject to horizontal deflection.
(B) Horizontally Sliding Safety or Tubular gate. A non-collapsible series of horizontally sliding vertical tubes. This gate may travel past the stationary car panel to the side of the enclosure when in the open position.
(C) Vertically Lifting Gate. A counterweight (counterbalanced) assembly, consisting of one or more sections that are guided in the vertical direction to open or close. The gate may be of wood or metal construction. Wood gates may consist of either horizontal or vertical slats. Metal gates are usually constructed of perforated or expanded metal.
Car, Material Lift. The load-carrying unit including the car frame, enclosure, and transfer device.
Car Platform. The structure which forms the floor of the car and which directly supports the load.
Car Platform, Laminated. A self-supporting platform constructed of plywood with a bonded steel sheet facing on both top and bottom surfaces.
Car Platform Frame. A structure frame, composed of interconnecting members, which supports the car platform floor.
Car Stop Switch. A device located in the car which, when manually operated, causes the electric power to be removed from the driving machine motor and brake of an electric elevator or from the electrically operated valves and pump motor of a hydraulic elevator.
C.C.R. The California Code of Regulations.
Ceramic Permanent Magnet. A magnet of the type which has a force that does not deteriorate with time.
Certified Competent Conveyance Inspector (CCCI). Any person who has been determined by the Division to have the qualifications and ability of a competent conveyance inspector and is certified as a CCCI by the Division. 
Certified Competent Conveyance Mechanic (CCCM). Any person who has been determined by the Division to have the qualifications and ability of a competent journey-level elevator mechanic and is certified as a CCCM by the Division. 
Certified Qualified Conveyance Company (CQCC). Any person, firm, or corporation that, (1) possesses a valid elevator contractor's license if required by Chapter 9 (commencing with Section 7000) of Division 3 of the Business and Professions Code, and (2) is certified as a CQCC by the Division. 
Clearance, Bottom Car. The clear vertical distance from the pit floor to the lowest structural or mechanical part, equipment or device installed beneath the car platform, except guide shoes or rollers, safety jaw assemblies and platform aprons or guards, or other equipment located within 12 inches horizontally from the edge of the platform, when the car rests on its fully compressed buffer.
Clearance, Top Car. The shortest vertical distance between the top of the car crosshead, or between the top of the car which ever is higher, and the nearest part of the overhead structure or any other obstruction when the car floor is level with the top terminal landing.
Clearance, Top Counterweight. The shortest vertical distance between any part of the counterweight structure and the nearest part of the overhead structure or any other obstruction when the car floor is level with the bottom terminal landing.
Collision Switch. See under Earthquake Protection Devices.
Compensating Rope Sheave Switch. A device which automatically causes the electric power to be removed from the elevator motor and brake when the compensating sheave approaches its upper or lower limit of travel.
Component Rated Pressure. The pressure to which a hydraulic component can be subjected.
Control. The system governing the starting, stopping, direction of motion, acceleration, speed, and retardation of the moving member. See also definition of control motion, control operation, and control system in Section 3 of ASME A17.1-1996.
(A) DC Motor Control. A control system which uses a DC motor to drive the machine.
(1) Generator-Field Control. A system of control which is accomplished by the use of an individual generator for each elevator or dumbwaiter wherein the voltage applied to the driving-machine motor is adjusted by varying the strength and direction of the generator field.
(2) Multivoltage Control. A system of control which is accomplished by impressing successively on the armature of the driving-machine motor a number of substantially fixed voltages such as may be obtained from multicommutator generators common to a group of elevators.
(3) Rheostatic Control. A system of control which is accomplished by varying resistance or reactance, or both, in the armature or field circuit, or both, of the driving-machine motor.
(4) Dual Bridge Thyristor Converter Control. A control system for a DC motor which supplies the armature with variable voltage of either polarity, and is capable of current flow in both directions.
(5) Single Bridge Thyristor Converter Control. A control system for a DC motor which supplies the armature with variable voltage of fixed polarity. The field is reversed to control direction and to cause regeneration.
(B) AC Motor Control. A control system which uses an alternating current motor machine.
(1) Single-Speed Alternating Current Control. A control for a driving-machine induction motor which is arranged to run at a single speed.
(2) Two-Speed Alternating Current Control. A control for a two-speed driving-machine induction motor which is arranged to run at two different synchronous speeds by connecting the motor windings so as to obtain different numbers of poles.
(3) Variable Frequency Control. A control system which changes the magnitude and frequency of the voltage applied to the motor.
(4) Variable Voltage AC Control. A control system for an AC motor which varies the amount and direction of output torque by controlling the magnitude and phase sequence of the voltage to the motor.
(5) Variable Voltage AC, DC Injection Control. A control system for an AC motor which produces retardation torque by injecting a DC current into either a stator winding of the motor or a separate eddy-current brake.
Control, Static. A control system in which control functions are performed by solid state devices.
Controller. A device, or group of devices, which serves to control in some predetermined manner the apparatus to which it is connected. See also definition of controller motion, controller motor, and controller operation in Section 3 of ASME A17.1-1996.
Conveyance. Any elevator, dumbwaiter, escalator, moving platform lift, stairway chairlift, material lift or dumbwaiter with automatic transfer device, automated people mover, or other equipment subject to this chapter. 
Conveyor, Reciprocating. See under Material Handling Devices.
Derailment Switch. See under Earthquake Protection Devices.
Designated Level. See Level, Designated.
Designated Attendant. Where elevator operation is controlled from inside the car (attendant service, independent, hospital service, and other similar operations), it shall be considered as being operated by a designated attendant.
Dispatching Device, Elevator Automatic. A device, the principal function of which is to operate a signal in the car to indicate when the car should leave a designated landing, or to actuate its starting mechanism when the car is at a designated landing.
Displacement Switch. A device actuated by the displacement of the counterweight, at any point in the hoistway, to provide a signal that the counterweight has moved from its normal plane of travel or has left its guide rails.
Door or Gate, Car or Hoistway. The sliding portion of the car or the hinged or sliding portion in the hoistway enclosure which closes the opening giving access to the car or to the landing.
(A) Biparting Door. A vertically sliding door, consisting of two or more sections so arranged that the sections or groups of sections open away from each other and so interconnected that all sections operate simultaneously.
(B) Center-Opening Door. A horizontally sliding or horizontally swinging door consisting of two or more sections so arranged that the sections or groups of sections open away from each other. Horizontally sliding center-opening doors are interconnected so that all sections operate simultaneously.
Door or Gate Closer. A device which closes a hoistway door or a car door or gate by means of a spring or by gravity.
Door or Gate, Power-Operated. A hoistway door or a car door or gate which is opened and closed by a door or gate power operator.
Door or Gate Power Operator. A device or assembly of devices which opens a hoistway door or a car door or gate or both by power other than by hand, gravity, springs, or the movement of the car; and which closes them by power other than by hand, gravity, or the movement of the car.
Door or Gate, Self-Closing. A manually opened hoistway door or a car door or gate which closes when released.
Door or Gate, Manually Operated. A door or gate which is opened and closed by hand.
Door or Gate, Semiautomatic. A door or gate which is opened manually and which closes automatically as the car leaves the landing.
Door or Gate, Full Automatic. A door or gate which is opened automatically by the action of the elevator car approaching the landing and closed by gravity as the car leaves the landing.
Doors, Sidewalk. Sidewalk doors are two section center-opening panels hinged to the sidewalk or other approximately horizontal surface that the sidewalk elevator penetrates and that cover or close the entire opening of the hoistway.
Dormant Elevator, Dumbwaiter, or Escalator. An elevator, dumbwaiter, or escalator placed out of service as specified in ASME A17.1-2004 and ASME A18.1-2003.
Dumbwaiter. See under Material Handling Devices.
Undercounter Dumbwaiter. See under Material Handling Devices.
Earthquake Protection Devices. A device or group of devices which serve to regulate the operation of an elevator in a predetermined manner during or after an earthquake, consisting of:
(A) Collision Switch. A device actuated by the car or counterweight to provide information to the control that a collision between the car and the counterweight is imminent.
(B) Derailment Switch. A device actuated by the derailment of the counterweight at any point in the hoistway to provide information to the control that the counterweight has left its guides.
(C) Seismic Switch. A device activated by ground movement to provide information to the control system that a potentially damaging earthquake is imminent.
Elevator. A hoisting and lowering mechanism which moves a car or platform in fixed guides in a substantially vertical direction and which is designed to carry passengers or freight, or both, between two or more fixed landings.
A hoisting mechanism, such as a portable hoist or a tiering machine, used to elevate or lower material between two or more fixed landings and used or fixed in a permanent location will be classed as an elevator.
A hydraulic hoisting mechanism used to elevate or lower material between two or more fixed landings and used or fixed in a permanent location will be classed as an elevator.
Elevators are classified by the following types:
(A) Auxiliary Power Elevator. An auxiliary power elevator is one having a source of mechanical power, such as shafting, in common with other machinery.
(B) Carriage Type Elevator. A carriage type elevator is a hand freight elevator with a platform having no suspension sling frame, but which is raised by cables dropping from winding drums or sheaves over the wellway and connected to the platform at four or more points.
(C) Double Belt Elevator. A double belt elevator is an elevator in which the source of power is connected to the machine by a double belt system employing idling pulleys and a belt shifter, and in which the reversal of direction of the elevator is accomplished by shifting the belts without reversing the prime mover.
(D) Electric Elevator. A power elevator in which the motion of the car is obtained through an electric motor applied to the elevator without an intervening hydraulic system.
(E) Gravity Elevator. An elevator utilizing gravity to move the car.
(F) Hand Elevator. An elevator utilizing manual energy to move the car.
(G) Hand Power Man Platform Elevator. A hand power man platform elevator is a counter balanced car in guides, so arranged that a man on the platform may, by holding the brake in the off position, pull himself and the car up or down by means of a rope secured at the top and bottom of the hoistway.
(H) Hatchway Type Elevator. A hatchway type elevator is an elevator running through floor openings provided with hatch covers, each of which is opened automatically as the car approaches the landing and is closed automatically as the car leaves the landing.
(I) Hydraulic Elevator. A power elevator where the energy is applied by means of liquid under pressure to a cylinder or plunger.
1. Direct-Plunger Elevator. A hydraulic elevator where the cylinder or plunger acts directly on the platform or car frame without intermediate linkage.
2. Hydraulic Maintained-Pressure Elevator. A hydraulic elevator where liquid under pressure is available at all times for transfer into the cylinder.
3. Hydraulic Telescopic Plunger Elevator. A direct-plunger hydraulic elevator having a set of co-axial plungers.
4. Hydro-Electric or Electro-Hydraulic Elevator. A hydraulic elevator where liquid is pumped under pressure directly into the cylinder by a pump driven by an electric motor.
5. Indirect Plunger Elevator. See Roped Hydraulic Elevator.
6. Roped Hydraulic Elevator. a.k.a. “Indirect Plunger Hydraulic Elevator.” A hydraulic elevator having its piston connected to the car with wire ropes.
(J) Inclined Elevator. An elevator which travels at an angle of inclination of 70 degrees or less from the horizontal.
(K) Multideck Elevator. An elevator having two or more compartments located one immediately above the other.
(L) Observation Type Elevator. An observation type elevator is an elevator designed and arranged to travel in a hoistway that is less than fully enclosed. These elevators are typically arranged to provide a view.
(M) Platform Type Elevator. A platform type elevator is an elevator in which the platform is directly supported at three or more points by suspension members which are relied upon to maintain the platform substantially level.
(N) Power Elevator. An elevator utilizing energy other than gravitational or manual to move the car.
(O) Rack and Pinion Elevator. A rack and pinion elevator is an elevator raised and lowered by means of a rack and pinion.
(P) Screw Column Type Elevator. A screw column type elevator is an elevator raised and lowered by means of a threaded nut revolving on a spiral worm or the worm revolving inside the nut or both.
(Q) Single Belt Elevator. A single belt elevator is an elevator in which the prime mover is connected to the machine by a single belt or multiple belt, all parts of which act together, and in which the reversal of direction of the elevator is accomplished by reversing the prime mover.
(R) Steam Elevator. A steam elevator is an elevator in which the motion of the car is obtained from a steam engine directly applied to the elevator machinery.
Elevator, Construction. An elevator, used temporarily during construction, alteration or demolition of buildings or structures, for use by workers or persons connected with or related to the building project.
Elevator, Freight. An elevator used exclusively for carrying freight and on which only the operator and the persons necessary for unloading and loading the freight are permitted to ride.
Elevator, Passenger. An elevator used primarily to carry persons.
Elevator, Private Residence. See Elevator, Special Access.
Elevator, Sidewalk. A freight elevator which operates through an area (usually the sidewalk) exterior to the building or structure and floor levels below. The exterior area (sidewalk) is protected by sidewalk doors that are opened by the car as it ascends. Sidewalk elevators without sidewalk doors are permissible (See Section 3075) only where the top landing is at ground level.
Elevator, Special Access. A passenger elevator that is limited in size, capacity, rise, and speed; installed as a means of access for persons with disabilities.
Elevator, Special Purpose Personnel. A special purpose personnel elevator is an elevator for use by authorized personnel and their tools or equipment only, and where location, structure and limited usage are the determining factors.
Elevator, Stairway. See Inclined Stairway Chairlift.
Emergency Stop Switch. See Car Stop Switch.
Entrance, Elevator and Dumbwaiter. The protective assembly which closes the openings in the hoistway enclosure normally used for loading and unloading.
(A) Horizontally Sliding. An entrance in which the panel(s) or door(s) slides horizontally.
(B) Swing. An entrance in which the panel(s) or door(s) swings around vertical hinges.
(C) Vertical Sliding. An entrance in which the panel(s) or door(s) slides vertically.
Entrance Hardware. All components of an entrance exclusive of the frame, door panels, and interlocks, that are necessary to maintain the position of the panels within the assembly.
Entrance Locked Out of Service. An entrance in which the hoistway door is mechanically locked by means other than the interlock to prevent the door being opened from the car side without keys or special equipment.
Escalator or Electric Stairway. A moving, inclined, continuous stairway used for raising or lowering passengers.
(A) Conventional Escalator. An escalator on which the running gear is driven by a single drive shaft at a terminal.
(B) Modular Escalator. An escalator on which the running gear along the incline is driven by one or more drive units.
The following definitions are applicable to escalators only.
1. Balustrade. The side of an escalator extending above the steps. It includes skirt panels, interior panels, decks and handrails.
2. Deck. The transverse members of the balustrade. A high deck is located immediately below the handrail stand. A low deck is located immediately above the skirt panel, having an interior or exterior section, or both.
3. Exterior Escalator Panel. The panel enclosing the exterior side of the balustrade.
4. Interior Escalator Panel. The panel located between the skirt and the handrail stand.
5. Molding. The connecting seams between the various portions of the balustrade.
6. Newel. The balustrade termination at the landing.
7. Newel Base. The panel located immediately under the newel.
8. Skirt. The panels located immediately adjacent to the steps or treadway.
9. Tandem Operation. Escalator used in series with common intermediate landings.
Factor of Safety. The ratio of the ultimate strength to the working stress of a member under maximum static loading, unless otherwise specified in a particular Rule.
Fire Endurance. A measure of the elapsed time during which a material or assembly continues to exhibit fire resistance under specified conditions of test and performance.
Fire Resistance. The property of a material or assembly to withstand fire or give protection from it. As applied to elements of buildings, it is characterized by the ability to confine a fire or to continue to perform a given structural function or both.
Fire-Resistive. Having fire resistance (see definition).
Flat Steps. The distance, expressed in step lengths, that the leading edge of the escalator step travels after emerging from the comb before moving vertically.
Freight Platform Hoist. A freight platform hoist is a freight type hoist having no car enclosure, no hoistway enclosure and a rise of not more than 5 feet (1.52 m) in or adjacent to a loading platform or similar landing and serving two permanent landings.
Gate, Semi-automatic. A gate which is opened manually and which closes automatically as the car leaves the landing.
Governor Pull-Through Tension (Force). The magnitude of the tensile load developed in the moving governor rope after the governor rope-retarding means is actuated.
Governor Rope-Retarding Means. A mechanical means of developing a sufficient force in the governor rope to activate the car or counterweight safeties or to trip the governor rope releasing carrier, where used. Such mechanical means include, but are not limited to, rope-gripping jaws, clutch mechanisms, and traction arrangements.
Gurney Lift. See under Special Access Lifts.
Hand Power Man Platform. See under Elevators.
Hatch, Hatchway. See Hoistway. In early elevator usage a hatch or hatchway was a framed opening in a floor with a hinged or removable cover. Now incorrectly used to describe or designate an elevator hoistway.
Hoistway Access Switch. A switch located at a landing, the function of which is to permit operation of the car with the hoistway door at this landing and the car door or gate open, in order to permit access to the top of the car or to the pit.
Hoistway, Elevator or Dumbwaiter. A shaftway for the travel of one or more elevators or dumbwaiters. It includes the pit and terminates at the underside of the overhead machinery space floor or grating, or at the underside of the roof where there is no machinery over the hoistway.
(A) Blind Hoistway. The portion of a hoistway (shaft) where normal landing entrances are not provided.
(B) Multiple Hoistway. A hoistway (shaft) with more than one elevator, dumbwaiter, or material lift.
(C) Single Hoistway. A hoistway (shaft) with a single elevator, dumbwaiter, or material lift.
Hoistway Enclosure. A fixed structure, consisting of vertical walls or partitions, which isolates the hoistway from all other parts of the building or from an adjacent hoistway and in which the hoistway doors and door assemblies are installed.
Hoistway Door or Gate Locking Device. See hoistway door interlock or contact lock.
Hoistway Unit System. A series of hoistway door interlocks, hoistway door electric contacts, or hoistway door combination mechanical locks and electric contacts, or a combination thereof, the function of which is to prevent operation of the driving machine by the normal operating device unless all hoistway doors are in the closed position and, where so required by these regulations, are locked in the closed position.
(A) Hoistway Door Interlock. A device having two related and interdependent functions which prevent the operation of the driving machine by the normal operating device unless the hoistway door is locked in the closed position, and prevent the opening of the hoistway door from the landing side unless the car is within the landing zone and is either stopped or being stopped.
(B) Contact Lock or Combination Mechanical Lock and Electric Contact. A combination mechanical and electrical device the two related, but entirely independent, functions of which prevent operation of the driving machine by the normal operating device unless the hoistway gate is in the closed position, and lock the hoistway gate in the closed position and prevent it from being opened from the landing side unless the car is within the landing zone.
Hoistway Door or Gate Electric Contact. An electrical device, the function of which is to prevent operation of the driving machine by the normal operating device unless the hoistway door is in the closed position.
Hoistway Gate Separate Mechanical Lock. A mechanical device, the function of which is to lock a hoistway gate in the closed position after the car leaves a landing and prevent the gate from being opened from the landing side unless the car is within the landing zone.
Hoistway Door Interlock Retiring Cam Device. A hoistway door interlock retiring cam is a device which actuates the locking mechanism of a type of hoistway door interlock by the action of a retractable cam.
Idler Sheave: A grooved sheave used to guide or apply tension to a rope or cord.
Inclined Lift. See Inclined Elevator under Elevator.
Inclined Stairway Chairlift. a.k.a. “Stairway Elevator.” See under Special Access Lifts.
Inclined Wheelchair Lift. See under Special Access Lifts.
Jamb. Any one of the three members constituting an elevator entrance frame, head jamb, strike jamb, and return jamb.
Kinetic Energy. The kind of energy a body has by virtue of its motion.
L. C. means the California Labor Code.
Labeled. Equipment or materials to which has been attached a label, symbol, or other identifying mark of an independent certifying organization concerned with product evaluation, that maintains periodic inspection of production of labeled equipment or materials and by whose labeling the manufacturer indicates compliance with appropriate standards or performance in a specified manner.
Landing, Elevator. That portion of a floor, balcony, or platform used to receive and discharge passengers or freight. Although the vertical level is normally fixed, there are instances where the landing is arranged to vary vertically to satisfy given conditions.
Landing, Bottom Terminal. The lowest landing served by the elevator which is equipped with a hoistway door and hoistway door locking device which permits egress from the hoistway side.
Landing, Top Terminal. The highest landing served by the elevator which is equipped with a hoistway door and hoistway door locking device which permits egress from the hoistway side.
Landing, Unenclosed. A landing which is open to the atmosphere or is open to an interior court of a building. 
Landing, Escalator or Moving Walk. The stationary area at the entrance to or exit from an escalator, a moving walk, or moving walk system.
Landing Zone. A zone extending from a point 18 in. (457 mm) below an elevator or material lift landing to a point 18 in. (457 mm) above the landing.
Level, Alternate. The floor or landing selected as the one to which the elevator(s) are to be dispatched by activation of the sensing device permitted by section 3041(c)(1)(B)(2).
Level, Designated. The floor or landing selected as the one to which the elevator(s) are to be dispatched by the on position of the switch required by section 3041(c)(1)(A) and the landing where the switch is intended to be located.
Leveling Device, Elevator Car. Any mechanism which will either automatically or under control of the operator move the car within the leveling zone toward the landing only, and automatically stop it at the landing.
Leveling Device, One-Way Automatic. A device which corrects the car level only in case of under-run of the car but will not maintain the level during loading and unloading.
Leveling Device, Two-Way Automatic Maintaining. A device which corrects the car level on both under-run and over-run and maintains the level during loading and unloading.
Leveling Device, Two-Way Automatic Nonmaintaining. A device which corrects the car level on both under-run and over-run but will not maintain the level during loading and unloading.
Leveling Zone. The limited distance above or below an elevator landing within which the leveling device may cause movement of the car toward the landing independently of the hoistway door interlock or car door or gate contact.
Listed. Equipment or materials included in a list published by an independent certifying organization concerned with product evaluation that maintains periodic inspection of production of listed equipment or materials and whose listing states whether that equipment or material meets appropriate standards or has been tested and found suitable for use in a specified manner.
Machine and Control Rooms, Remote. Rooms that do not share a common wall, floor, or ceiling with the hoistway. 
Machine, Driving. The power unit which applies the energy necessary to raise and lower an elevator or dumbwaiter car or to drive an escalator, moving walk, or an inclined lift.
(A) Chain-Drive Machine. An indirect-drive machine having a chain as the connecting means.
(B) Direct-Drive Machine. An electric driving machine, the motor of which is directly connected mechanically to the driving sheave, drum, or shaft without the use of belts or chain, either with or without intermediate gears.
(C) Electric Driving Machine. One where the energy is applied by an electric motor. It includes the motor and brake and the driving sheave or drum, together with its connecting gearing, belt or chain, if any.
(D) Geared-Drive Machine. A direct drive machine in which the energy is transmitted from the motor to the driving sheave, drum, or shaft through gearing.
(E) Hydraulic Driving Machine. One in which the energy is applied by means of a liquid under pressure to a cylinder equipped with a plunger or piston.
(F) Hydroelectric Driving Machine. One in which the liquid is pumped under pressure directly into the cylinder by a pump driven by an electric motor without an intervening accumulator between the pump and the cylinder.
(G) Direct Plunger Driving Machine. A hydraulic driving machine in which the plunger or cylinder is directly attached to the car frame or platform.
(H) Indirect-Drive Machine. An electric driving machine, the motor of which is connected indirectly to the drive sheave, drum, or shaft by means of a belt or chain through intermediate gears.
(I) Rack and Pinion Driving Machine. An electric driving machine in which the motion of the car is obtained by power-driven rotating pinion(s) mounted on the car, traveling on a stationary rack mounted in the hoistway.
(J) Roped Hydraulic Driving Machine. One in which the energy is applied by a piston connected to the car with wire ropes, which operates in a cylinder under hydraulic pressure. It includes the cylinder, the piston, and multiplying sheaves, if any, and their guides.
(K) Screw Machine. An electric driving machine, the motor of which drives a nut on a vertical screw or rotates a vertical screw to raise or lower an elevator car.
(L) Traction Machine. A direct-drive machine in which the motion of the car is obtained through friction between the suspension ropes and a traction sheave.
1. Geared-Traction Machine. A geared-drive traction machine.
2. Gearless-Traction Machine. A traction machine, without intermediate gearing, which has the traction sheave and the brake drum mounted directly on the motor shaft.
(M) Winding-Drum Machine. A geared-drive machine in which the hoisting ropes are fastened to and wind on a drum.
(N) Worm-Geared Machine. A direct-drive machine in which the energy from the motor is transmitted to the driving sheave or drum through worm gearing.
Main Floor. The floor providing normal egress from the building.
Maintenance. A process of routine examination, lubrication, cleaning, adjustment, and replacement of parts for the purpose of ensuring performance in accordance with the applicable Code requirements.
Manlift. A device consisting of a power driven endless belt moving in one direction only, and provided with steps or platforms and handholds attached to it for the transportation of personnel from floor to floor.
Manlift, Handhold (handgrip). A handhold is a device attached to a belt which can be grasped by the passenger to provide a means of maintaining balance.
(A) Open type. One which has a handgrip surface fully exposed and capable of being encircled by the passenger's fingers.
(B) Closed type. A cup-shaped device, open at the top in the direction of travel of the step for which it is to be used, and closed at the bottom, into which the passenger may place his fingers.
Manlift, Limit switch. A device the purpose of which is to cut off the power to the motor and apply the brake to stop the carrier in the event that a loaded step passes the terminal landing.
Manlift, Rated speed. Rated speed is the speed for which the device is designed and installed.
Manlift, Split-rail switch. An electric limit switch operated mechanically by the rollers on the manlift steps. It consists of an additional hinged or “split” rail, mounted on the regular guide rail, over which the step rollers pass. It is spring loaded in the “split” position. If the step supports no load, the rollers will “bump” over the switch; if a loaded step should pass over the section, the split rail will be forced straight, tripping the switch and opening the electrical circuit.
Manlift, Step (platform). A step is a passenger carrying unit.
Manlift, Travel. The travel is the distance between the centers of the top and bottom pulleys.
Manual Reset, Escalator and Moving Walk. A means, not accessible to the general public, requiring personal intervention by an authorized person prior to restarting the escalator or moving walk.
Masonry. Build-up construction or combination of buildings units or materials of clay, shale, concrete, glass, gypsum, stone, or other approved units bonded together with mortar or monolithic concrete. Reinforced concrete is not classed as masonry.
Material Handling Devices. A hoisting or lowering mechanism which moves a car or platform in guides between two or more fixed landings and which is designed to carry inanimate objects only. Material Handling Devices are classified by the following types:
(A) Dumbwaiter. A dumbwaiter is an elevator, the floor area of which does not exceed 9 square feet, whose total inside height, whether or not provided with fixed or removable shelves, does not exceed 4 feet, the capacity of which does not exceed 500 pounds, and which is used exclusively for carrying materials.
1. Undercounter Dumbwaiter. One which has its top terminal landing located underneath a counter and which serves only this landing and the bottom terminal landing.
(B) Material Lift. A hoisting and lowering mechanism which would normally be classified as an elevator but with modifications to adapt it for the automatic movement of material by means of an integrally mounted automatic transfer device.
1. Automatic Transfer Device. A mechanism which automatically moves a load consisting of a cart, tote box, pallet, wheeled vehicle, box or similar object to and from the platform of the lift.
2. Restricted Area (Applicable to article 12.1). An area through which the loads carried by the material lift travel by automatic means. The area shall extend in front of the entrance to the lift a distance not less than that equal to the length of the load plus 4 feet and separated from the unrestricted area by a standard guardrail or equivalent barrier. The end of the restricted area where not guarded shall be marked with a yellow line on the floor.
3. Car, Material Lift. The load carrying unit including the car frame, enclosure and transfer device.
(C) Reciprocating Conveyor. A conveyor where the carrier pusher moves forward and back, or up and down in the same place.
1. Inclined Reciprocating Conveyer. A reciprocating power or gravity actuated unit (not designed to carry passengers or an operator) that receives only inanimate objects on a carrier. These units operate on inclines generally in the range of 30 deg. to 70 deg. from the horizontal.
2. Vertical Reciprocating Conveyor. A reciprocating power or gravity actuated unit (not designed to carry passengers or an operator) that receives only inanimate objects on a carrier and transmits these objects vertically from one elevation to another.
(D) The following definitions are applicable to conveyors only.
1. Actuator--A device that initiates the action of controls or controllers and is manually operated. The actuator may be a push button, toggle switch, foot pedal, hand lever,  hand set timer, or any other device that performs the described function.
2. Carrier
a. A device attached to or hung from trolleys to support the load.
b. The receptacle in which objects are placed for transmittal through a conveying system.
c. The moving part of a vertical or inclined reciprocating conveyor that supports the load.
3. Control(s)--The system governing the starting, stopping, direction of motion, acceleration, speed, retardation, identification, and function of the moving member in a predetermined manner.
4. Controller--An electromechanical device or assembly of devices for starting, stopping, accelerating, or decelerating a drive, or serving to govern in some predetermined manner the power delivered to the drive.
5. Drive--An assembly of the necessary structural, mechanical, and electrical parts that provide the motive power for a conveyer.
6. Emergency Stop--A stop arising from a sudden and unexpected need, and not as a part of the normal operation.
7. Emergency Stop Device--A device that must be actuated in an emergency situation to stop a conveyor.
8. Enclosed--Describes guarding of moving parts in such a manner that physical contact by parts of the body is precluded as long as the guard remains in place. The guarding may make use of hinged, sliding, or removable doors for inspection or lubrication.
9. Guard--A covering or barricade to prevent entry into operating components such as gear, chain, and nip guards; a structure mounted below an overhead mounted conveyor to protect personnel from falling materials.
10. Guarded--Shielded, fenced, enclosed, or otherwise protected by means of suitable enclosure, covers, casing, shields, troughs, railings, or by nature of location so as to reduce foreseeable risk of personal injury.
11. Guarded By Location--Describes moving parts so protected by their remoteness from the floor, platform, walkway, or other working level, or by their location with reference to frame, foundation, or structure as to reduce the foreseeable risk of accidental contact by persons or objects. Remoteness from foreseeable, regular, or frequent presence of public or employed personnel may in reasonable circumstance constitute guarding by location.
12. Nip Point--A point at which a machine element moving in line meets a rotating element in such a manner that it is possible to nip, pinch, squeeze, or entrap a person or objects coming into contact with one of the two members. The same definition holds for the similar point with respect to two rotating parts or two converging parts in linear movement.
13. Operator's Station--Location at which actuators are placed for the purpose of starting, stopping, reversing, or otherwise controlling the conveyor or system of conveyors in the course of normal operation.
14. Overload Device--A mechanical or electrical device designed to disconnect the driven equipment from the driving equipment in event of an overload on the conveyor.
15. Qualified Person--A person who, by profession of a recognized degree, certificate, or professional standing, or who by extensive knowledge, training, and experience has successfully demonstrated his ability to solve problems relating to the subject matter and work.
16. Rated Capacity--Rated capacity shall mean the capacity at the rated speed, as established by the manufacturer or a qualified person, at which safe and satisfactory service can be expected.
17. Rated Speed--Rated speed shall mean the speed of the conveyor, as established by the manufacturer or a qualified person, at which safe and satisfactory service can be expected.
18. Remote Control--Any system of controls in which the actuator is situated in a remote location.
19. Remote Location--Any location, with respect to the conveyor, from which the presence or position of personnel relative to the conveyor cannot be readily determined from the operator's station.
20. Safety Device--A mechanism or an arrangement placed in use for the specific purposes of preventing an unsafe condition, preventing the continuation of an unsafe condition, warning of an unsafe condition, or limiting or eliminating the unsafe effects of a possible condition.
21. Walkway--An elevated passageway for persons above the surrounding floor or ground level. Included in this definition are catwalks, footwalks, runways, and elevated walkways.
(E) Operation, Material Handling Device. Operation of a material handling device shall mean the loading, unloading and actuation of the control.
(F) Operator, Material Handling Device. The operator of a material handling device shall mean the individual trained in safe operation of the particular device.
Material Lift. See under Material Handling Devices.
May. The term “may” where used shall be construed as permissive.
Modernization. See alteration, maintenance, repair, and replacement.
Module. The increment of rise in a modular escalator that one drive unit is capable of powering.
Moving Walk. A type of passenger-carrying device on which passengers stand or walk, and in which the passenger-carrying surface remains parallel to its direction of motion and is uninterrupted.
Moving Walks are classified by the following types:
(A) Belt Type. A moving walk with a power driven continuous belt treadway.
(B) Belt Pallet Type. A moving walk with a series of connected and power driven pallets to which a continuous belt treadway is fastened.
(C) Edge-Supported Belt Type. A moving walk with the treadway supported near its edge by a succession of rollers.
(D) Pallet Type. A moving walk with a series of connected and power driven pallets which together constitute the treadway.
(E) Roller-Bed Type. A moving walk with the treadway supported throughout its width by a succession of rollers.
(F) Slider-Bed Type. A moving walk with the treadway sliding upon a supporting surface.
Next Available Landing. The first landing, in the direction of travel, that the elevator is electrically and mechanically capable of serving during the program in effect.
Nonstop Switch, Elevator. A switch which, when operated, will prevent the elevator from making registered landing stops.
Non-Interference. A feature of an elevator which gives preference to a passenger on the elevator for direction of travel and of the stops, over passengers waiting at the landings.
Operating Device. The car switch, pushbutton, lever, key, or toggle switches, or other manual device used to actuate the control.
Operation. The method of actuating the control.
(A) Automatic Operation. Operation wherein the starting of the elevator car is effected in response to the momentary actuation of operating devices at the landing, or of operating devices in the car identified with the landings, or in response to an automatic starting mechanism, and wherein the car is stopped automatically at the landings.
1. Group Automatic Operation. Automatic operation of two or more nonattendant elevators equipped with power-operated car and hoistway doors. The operation of the cars is coordinated by a supervisory control system, including automatic dispatching means, whereby selected cars at designated dispatching points automatically close their doors and proceed on their trips in a regulated manner. It includes one button in each car for each landing served and up-and-down buttons at each landing (single buttons at terminal landings). The stops set up by the momentary actuation of the car buttons are made automatically in succession as a car reaches the corresponding landings irrespective of its direction of travel or the sequence in which the buttons are actuated. The stops set up by the momentary actuation of the landing buttons may be accomplished by any elevator in the group, and are made automatically by the first available car that approaches the landing in the corresponding direction.
2. Nonselective Collective Automatic Operation. Automatic operation by means of one button in the car for each landing level served and one button at each landing, wherein all stops registered by the momentary actuation of landing or car buttons are made irrespective of the number of buttons actuated or of the sequence in which the buttons are actuated. With this type of operation the car stops at all landings for which buttons have been actuated, making the stops in the order in which the landings are reached after the buttons have been actuated, but irrespective of its direction of travel.
3. Selective Collective Automatic Operation. Automatic operation by means of one button in the car for each landing level served and by up-and-down buttons at the landings, wherein all stops registered by the momentary actuation of the car buttons are made as defined under nonselective collective automatic operation, but wherein the stops registered by the momentary actuation of the landing buttons are made in the order in which the landings are reached in each direction of travel after the buttons have been actuated. With this type of operation, all “up” landing calls are answered when the car is traveling in the up direction and all “down” landing calls are answered when the car is traveling in the down direction.
4. Single Automatic Operation. Automatic operation by means of one button in the car for each landing level served and one button at each landing, so arranged that if any car or landing button has been actuated, the actuation of any other car or landing operating button will have no effect on the operation of the car until the response of the first button has been completed.
(B) Call and Send Operation. Operation in which buttons are provided at the landings both for calling the elevator to that landing or for dispatching the elevator to other landings.
(C) Car-Switch Operation. Operation wherein the movement and direction of travel of the car are directly and solely under the control of the operator by means of a manually operated car switch or of continuous-pressure buttons in the car.
(D) Car-Switch Automatic Floor-Stop Operation. Operation in which the stop is initiated by the operator from within the car with a definite reference to the landing at which it is desired to stop, after which the slowing down and stopping of the elevator is effected automatically.
(E) Continuous-Pressure Operation. Operation by means of buttons or switches in the car and at the landings, any one of which may be used to control the movement of the car as long as the button or switch is manually maintained in the actuating position.
(F) Preregister Operation. Operation in which signals to stop are registered in advance by buttons in the car and at the landings. At the proper point in the car travel, the operator in the car is notified by a signal (visual, audible, or otherwise) to initiate the stop, after which the landing stop is automatic.
(G) Signal Operation. Operation by means of single buttons or switches, or both, in the car, and up-or-down direction buttons, or both, at the landings, by which predetermined landing stops may be set up or registered for an elevator or for a group of elevators. The stops set up by momentary actuation of the car buttons are made automatically in succession as the car reaches those landings, irrespective of its direction of travel or the sequence in which the buttons are actuated. The stops set up by the momentary actuation of the up-and-down buttons at the landing are made automatically by the first available car in the group approaching the landing in the corresponding direction, irrespective of the sequence in which the buttons are actuated. With this type of operation, the car can be started only by means of a starting switch or button in the car.
Operation, Inspection. A special case of continuous-pressure operation used for troubleshooting, maintenance, repair, adjustment, rescue, and inspection.
Overhead Structure. All of the structural members, platforms, etc., supporting the elevator machinery, sheaves, and equipment at the top of the hoistway.
Pallet, Moving Walk. One of a series of rigid platforms which together form an articulated treadway or the support for a continuous treadway.
Parking Device, Elevator. An electrical or mechanical device, the function of which is to permit the opening from the landing side of the hoistway door at any landing when the car is within the landing zone of that landing. The device may also be used to close the door.
Penetrate a Floor. To pass through or pierce a floor in such a way that the opening has a continuous perimeter and is provided only to allow the equipment to pass through the floor.
Periodic Inspection. Annual re-inspection of conveyances covered by this chapter. 
Phase I Emergency Recall Operation. The operation of an elevator wherein it is automatically or manually recalled to a specific landing and removed from normal service because of activation of firefighters' service.
Phase II Emergency In-car Operation. The operation of an elevator by firefighters where the operation of the elevator is under their control.
Piston. Short cylindrical member which is provided with a sealing means which travels with the member within a hydraulic cylinder.  Pistons may be coupled to the elevator by a coupling means which passes through a sealing means provided in the cylinder head.
Pit, Elevator. That portion of a hoistway extending from the threshold level of the lowest landing door to the floor at the bottom of the hoistway.
Platform Guard. A smooth metal panel extending below the car sill which eliminates the opening below the platform when the elevator is above the landing and in the leveling zone.
Plunger (Ram). A long cylindrical compression member which is directly or indirectly coupled to the car frame. This member is not provided with a sealing means. Where used in assembly with a cylinder, the sealing means is provided on the cylinder head. In the case of telescopic plungers and cylinders, a sealing means may be used in the moving plunger which is also a cylinder.
Position Indicator. A device that indicates the position of the elevator car in the hoistway. It is called a hall position indicator when placed at a landing, or a car position indicator when placed in the car.
Rated Load. The load which the elevator, dumbwaiter, escalator, moving walk, or inclined lift is designed and installed to lift or move at the rated speed.
Rated Speed. The speed at which the elevator, dumbwaiter, escalator, moving walk, manlift, or inclined lift is designed to operate under the following conditions:
1. Elevator or Dumbwaiter. The speed in the “up” direction with rated load in the car.
2. Escalator, Moving Walk, or Inclined Lift. The rate of travel of the steps, treadway, or carriage, measured along the angle of inclination, with rated load on the steps or carriage. In the case of a reversible escalator, the rated speed shall be the rate of travel of the steps in the “up” direction, measured along the angle of inclination, with rated load on the steps.
Recycling Operation, Telescopic Plunger. An operation for restoring the relative vertical positions of the multiple plungers in a telescoping plunger arrangement.
Rehabilitation. See alteration, maintenance, repair, and replacement.
Re-inspection. See periodic inspection. 
Releasing Carrier, Governor Rope. A mechanical device to which the governor rope may be fastened, calibrated to control the activation of a safety at a predetermined tripping force.
Repairs. The word “repairs” where used herein shall mean only such work as is necessary to maintain present equipment in a safe and serviceable condition and to adjust or replace defective, broken, or worn parts with parts made of equivalent material, strength, and design, and where the replacing part performs the same function as the replaced part.
Replacement. The substitution of a device or component in its entirety with a new unit that is basically the same as the original for the purpose of ensuring performance in accordance with applicable Code requirements. 
Restricted Area (Applicable to article 12.1). See under Material Handling Devices.
Rope, Car-Counterweight. Wire rope which does not pass over the driving means used to connect the car and counterweight.
Rope, Compensating. Wire rope used to counterbalance, or partially counterbalance, the weight of the suspension ropes.
Rope, Counterweight. Wire rope used to raise and lower the counterweight on an electric elevator having a winding drum machine or a hydraulic elevator equipped with a counterweight.
Rope, Governor. Wire rope with at least one end fastened to the safety activating means or governor rope releasing carrier, passing over and driving the governor sheave, and providing continuous information on the speed and direction of the car or counterweight.
Rope Suspension (Hoisting). Wire rope used to raise and lower an elevator car or its counterweight, or both.
Rope Equalizer, Suspension. A device installed on an elevator car or counterweight to equalize automatically the tensions in the hoisting wire ropes.
Rope-Fastening Device, Auxiliary. A device attached to the car or counterweight or to the overhead dead-end rope-hitch support which will function automatically to support the car or counterweight in case the regular wire rope fastening fails at the point of connection to the car or counterweight or at the overhead dead-end hitch.
Rope Sprocket Drive. A driving means consisting of wire rope with fixed links at constant intervals throughout its length. The links engage in slots on a grooved drive cog to provide a positive drive force.
Runby, Bottom Elevator Car. The distance between the car buffer striker plate and the striking surface of the car buffer when the car floor is level with the bottom terminal landing.
Runby, Bottom Elevator Counterweight. The distance between the counterweight buffer striker plate and the striking surface of the counterweight buffer when the car floor is level with the top terminal landing.
Runby, Top, Direct-Plunger Hydraulic Elevator. The distance the elevator car can run above its top terminal landing before the plunger strikes its mechanical stop.
Safety Bulkhead. A closure at the bottom of the cylinder located above the cylinder head and provided with an orifice for controlling the loss of fluid in the event of cylinder head failure.
Safety, Car or Counterweight. A mechanical device attached to the car frame or to an auxiliary frame, or to the counterweight frame, to stop and hold the car or counterweight in case of predetermined overspeed or free fall, or if the hoisting ropes slacken.
Screw Column. A vertical structural member provided with screw threads which supports the car of a screw column elevator. The screw column may be either in tension or compression.
Seismic Switch. See under Earthquake Protection Devices.
Shaft, Shaftway. See Hoistway.
Shall. The term “shall” where used shall be construed as mandatory.
Should. The term “should” where used shall be construed as advisory.
Sight Guard. A vertical member mounted on the hoistway side, leading edge of the hoistway door. It is used to reduce the opening between the leading edges of the hoistway door and the car door.
Signal Device, Elevator Car Flash. A device providing a signal light in the car, which is illuminated when the car approaches the landings at which a landing signal registering device has been actuated.
Signal Registering Device, Elevator Landing. A button or other device located at the elevator landing which when actuated by a waiting passenger, causes a stop signal to be registered by the car.
Signal System, Elevator Separate. A system consisting of buttons or other devices located at the landings which, when actuated by a waiting passenger, illuminate a flash signal or operate an annunciator in the car indicating floors at which stops are to be made.
Signal Transfer Device, Elevator Automatic. A device by means of which a signal registered in a car is automatically transferred to the next car following, in case the first car passes a floor for which a signal has been registered without making a stop.
Signal Transfer Switch, Elevator. A manually operated switch, located in the car, by means of which the operator can transfer a signal to the next car approaching in the same direction, when the operator desires to pass a floor at which a signal has been registered. 
Slack-Rope Switch. A device which automatically causes the electric power to be removed from the elevator driving-machine motor and brake when the hoisting ropes of a winding-drum machine become slack.
Sleeving (Liner). The insertion of a smaller-diameter cylinder inside the existing cylinder of a hydraulic driving machine.
Slope, Moving Walk. The angle which the treadway makes with the horizontal.
Solid State Device. An element that can control current without moving parts.
Speed Governor (Governor). A continuous operating speed monitoring and detection device that at predetermined speeds, provides signals to the controller and imparts a retarding force to activate the car or counterweight safety. 
Starter's Control Panel, Elevator. An assembly of devices by means of which the starter may control the manner in which an elevator or group of elevators function.
Special Access Lifts.
(A) Inclined Stairway Chairlift. a.k.a. “Stairway Elevator.” An inclined stairway chairlift is a seat(s) or chair(s) that travels on a stairway.
(B) Gurney Lift. A gurney lift is a hoisting and lowering mechanism, for use by a person(s) in a gurney, stretcher or similar device and an attendant(s) and possibly a support system. It consists of a platform with a minimal enclosure that moves through a fixed course either vertically or on an incline, and is used or fixed in a permanent location. The Division shall determine the specific lifts which are gurney lifts, for the purpose of these orders. This determination shall apply equally to all similar or identical lifts used in a similar manner.
(C) Platform (Wheelchair) Lift. A wheelchair lift is a hoisting and lowering mechanism for use by a person unable to use stairs. It consists of a platform with a minimal enclosure that moves through a fixed course either vertically or on an incline (which is often a stairway), and is used or fixed in a permanent location. The Division shall determine the specific lifts which are wheelchair lifts, for the purpose of these orders. This determination shall apply equally to all similar or identical lifts used in a similar or identical manner.
1. Inclined Platform (Wheelchair) Lift. An inclined wheelchair lift is a wheelchair lift designed to operate on an incline which is often a stairway.
2. Vertical Platform (Wheelchair) Lift. A vertical wheelchair lift is a wheelchair lift designed to operate vertically.
(D) The following definitions are applicable to Special Access Lift only.
1. Runway. For stairway chairlifts and wheelchair lifts, the space in which the car, platform, or seat moves.
2. Side Guard. The panels on the sides of the wheelchair lift platform not used for entrance. They are usually 42 in. (1.067m) high and are a form of car enclosure.
3. Toe Guard. Toe guard refers to the panels extending below the platform. They eliminate all accessible areas under the platform when it is above the lower landing. It may be a telescoping-type device.
Stage Lift. A stage lift is a hoisting and lowering mechanism with a platform that at some elevation is a stage or a part of a stage, such as an orchestra pit. The Division shall determine the specific lifts which are stage lifts, for the purpose of these orders. This determination shall apply equally to all similar or identical lifts used in a similar or identical manner.
Static Switching. Switching of circuits by means of solid state devices.
Stopping Devices, Normal. The automatic device used to actuate the control to slow and stop an elevator or dumbwaiter car at any landing.
Stopping Device, Elevator Landing. A button or other device located at an elevator landing which when activated causes the elevator car to stop at that floor.
Supply Piping. The piping for a hydraulic elevator between the control valves and the driving member of the driving machine.
Terminal Speed Limiting Device, Emergency. A device which automatically reduces the speed as a car approaches a terminal landing, independently of the functioning of the operating device, and the normal terminal stopping device, if the latter fails to slow down the car as intended.
Terminal Stopping Device, Emergency. A device which automatically causes the power to be removed from the electric elevator driving machine motor and brake, or from a hydraulic elevator machine, at a predetermined distance from the terminal landing, and independently of the functioning of the normal stopping device, the operating device and normal terminal stopping device, if the normal terminal stopping device does not slow down the car as intended.
Terminal Stopping Device, Final. A device which automatically causes the power to be removed from an electric elevator or dumbwaiter driving machine motor and brake, or from a hydraulic elevator or dumbwaiter machine, independently of the functioning of the normal terminal stopping device, the normal stopping device, the operating device, or any emergency terminal stopping device, after the car has passed a terminal landing.
Terminal Stopping Device, Machine Final. A final terminal stopping device operated directly by the driving machine.
Terminal Stopping Device, Normal. A device or devices used to slow down and stop an elevator or dumbwaiter car automatically at or near a terminal landing independently of the functioning of the normal stopping device or the operating device. The device includes the terminal stopping switch, together with such terminal slow-down switches necessary to stop the car at or near the terminal landing.
Threshold Comb, Moving Walk. The toothed portion of a threshold plate designed to mesh with a grooved treadway surface.
Threshold Plate, Moving Walk. That portion of the landing adjacent to the treadway consisting of one or more stationary or slightly movable plates.
Transom. A panel or panels used to close a hoistway enclosure opening above a hoistway entrance.
Travel or Rise. The vertical distance between the bottom terminal landing and the top terminal landing of an elevator, dumbwaiter, escalator, and inclined lift.
Traveling Cable. A cable made up of electric conductors which provides electrical connection between an elevator or dumbwaiter car and a fixed connection in the hoistway.
Treadway, Moving Walk. The passenger-carrying member of a moving walk.
Truck-Zoning Device, Elevator. A device which will permit the operator in the car to move a freight elevator within the truck zone with the car door or gate and a hoistway door or gate open.
Truck Zone, Elevator. The limited distance above an elevator landing within which the truck zoning device permits movement of the elevator car.
Unlocking Zone. A zone extending from the landing floor level to a point not less than 3 in. (76 mm) nor more than 18 in. (457 mm) above or below the landing.
U-Groove. A shape of groove used on the drive sheave of a double wrap traction machine, approximately a semicircle, with a radius approximately equal to the diameter of the hoist rope.
Undercutting. A process of removing, by sawing or scraping, part of the mica until it is below the surface of the copper of a commutator.
Undercut U-Groove. A modified V-groove which has the lower sides cut in the shape of a U.
Valley Break. A broken wire in a wire rope in which the outside wire of a strand breaks in the immediate vicinity of the point where it contacts a wire or wires of an adjacent strand, generally at a point not visible when the wire rope is examined externally.  One end of the broken wire is long enough to reach from one valley to the next one and the other end of the broken wire generally cannot be seen.
Vane. (1) A thin piece of metal attached to a stationary structure in the hoistway to provide the actuating part of a magnetically operated switch assembly mounted on the car. These switches are used to perform several functions.
(2) A device mounted on a car door panel to transmit door operating power to the hoistway door.
Volatile Memory. Memory lost when operating power is removed.
V-Groove. One form of traction sheave groove which is contoured in the shape of a straight-sided, flat bottom V.
Vision Panel. A small glass panel located in entrance doors to permit the passengers or attendant to see when the car has reached the landing.
Waiting-Passenger Indicator. An indicator which shows at which landings and for which direction elevator hall stop-or-signal calls have been registered and are unanswered.
Weatherproof. So constructed or protected that exposure to the weather will not interfere with its successful operation.
Width, Moving Walk. The exposed width of the treadway.
Window. An assembly consisting of a surrounding frame and one or more sashes, ventilators, or fixed lights, or a combination of these, designed to be installed in a wall opening for the purpose of admitting light or air or both.
Working Pressure. The pressure measured at the cylinder of a hydraulic elevator when lifting car and its rated load at rated speed, or, with Class C-2 loading when leveling up with maximum static load.
Yield Strength. The tensile stress that is sufficient to produce a permanent deformation of 0.2%.
(Title 24, Part 7, Section 7-3009)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1). For prior history, see Register 75, No. 36; 76, No. 22; 76, No. 48; 77, No. 26; and 78, No. 30.
2. Amendment of subsection (b) filed 9-29-82; effective thirtieth day thereafter (Register 82, No. 40).
3. Amendment filed 5-23-88; operative 6-22-88 (Register 88, No. 22).
4. Change without regulatory effect filed 8-16-89 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 42).
5. Editorial correction of printing errors in subsection (b) (Register 91, No. 42).
6. Amendment of subsection (C) and Reference citation added; filed 7-1-91; operative 7-31-91 (Register 91, No. 43).
7. Change without regulatory effect amending definition of “Earthquake Protection Devices” (subsection (C)) and relocating definitions of “May” and “Material Lift” filed 8-3-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 32). 
8. Amendment of section and Note filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
9. Amendment of definition ``Elevator, Private Residence” and new definition ``Elevator, Special Access” filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
10. Amendment adding definitions of “Automated People Mover,” “Certified Competent Conveyance Inspector,” “Certified Competent Conveyance Mechanic,” “Certified Qualified Conveyance Company,” “Conveyance,” “Dormant Elevator, Dumbwaiter or Escalator,” “Periodic Inspection” and “Re-inspection” and amending definition of “Speed Governor” and Note filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Group II. Elevator Installations for Which the Installation Contract Was Signed Before October 25, 1998
Italicized paragraphs, sentences, or phrases apply to all existing elevators while non-italicized apply to elevators installed after 1970 or after the date the regulation was adopted.
Article 7. Hoistways, Hoistway Enclosures, and Related Construction for Power Cable-Driven Passenger and Freight Elevators

SCOPE
This Article applies to electric cabled elevators of a conventional type and to other types of elevators or lifts only as referenced in their respective Articles.
§3010. Construction of Hoistways and Hoistway Enclosures.
Note     •     History

The hoistway enclosure shall be building walls, ceiling materials, and fireproofing conforming to governing building codes. The regulations included in this section establish minimum standards for hoistway enclosures. These regulations are not intended to supersede applicable local building codes establishing higher standards.
(a) Enclosures of Hoistways.
(1) All sides of elevator hoistways on new installations shall be fully and permanently enclosed except for the necessary entrances.
Exception to subsection 3010(a)(1):
Observation elevators which comply with applicable requirements of Sections listed in Design Section 3113(a).
(A) Glass used in hoistways or as part of the hoistway enclosure shall be laminated glass conforming to the requirements of ANSI Z97.1.
(2) All sides of existing elevator hoistways shall be permanently enclosed, except for the necessary entrances, to a height of not less than 6 ft. (1.83 m) above each floor and shall also conform to the following:
(A) The enclosure shall extend from the floor to the ceiling on the counterweight portion, which shall extend at least 6 in. (152 mm) each side of the counterweight, and from the floor to the ceiling on the entrance side, except for the necessary entrance.
(B) The maximum height of the entrance on elevators without car gates will be the height of the car crosshead or 10 ft. (3.05 m) for elevators without a crosshead. Above this height, the front of the hoistway shall be enclosed.
(C) Where material is stored on any side of the hoistway, the hoistway enclosure on that side shall extend to the ceiling or at least 6 ft. (1.83 m) above the stored material.
(3) Enclosures shall be building walls, solid fixed partitions, metal grating, wood, or grillwork. Where grillwork is used, the wire shall be not less than No. 10 W & M gage steel wire, 0.135 in (3.4 mm) diameter.
(4) The openings in grillwork or between vertical boards shall reject a 2 in. (51 mm) ball. Vertical slots exceeding 1 in. (25 mm) in width shall not exceed 24 in. (610 mm) in length.
(5) When moving parts within the hoistway, including sliding doors, are closer than 4 in. (102 mm) from the outside face of the enclosure, the openings in the grillwork or between vertical boards or bars shall not exceed 1/2 in. (13 mm) in width or length.
A combination of steel bars or vertical boards, spaced as specified in Section 3010(a)(4), covered with hardware cloth or of grillwork covered with hardware cloth may be used for such enclosures.
(6) The hoistway enclosure of observation elevators shall comply with the following:
(A) The hoistway enclosure on the side facing a car entrance shall extend from floor to floor vertically and 8 in (203 mm) beyond the line of moving equipment in the hoistway on each side and shall comply with the requirements for fully enclosed hoistways.
(B) A hoistway enclosure not less than 8 ft. (2.44 m) high shall be provided at the sides or rear of any landing or level where any means of access is within 4 ft. (1.22 m) of the line of moving equipment in the hoistway.
(C) Landings or levels not used for observation purposes shall be provided with a fully enclosed hoistway.
(b) Strength of Enclosures.
(1) Enclosures shall be so supported and braced as to deflect not more than 1 in. (25 mm) when subjected to a force of 100 lbf (445 n) applied horizontally at any one point. Existing enclosures shall not deflect into the minimum running clearance allowed between the elevator car or counterweight and the enclosure when subjected to a similar force.
(2) The hoistway enclosure adjacent to landing openings and the structure supporting the doors or gates and their locks shall be of sufficient strength to support in true alignment the landing doors or gates with their operating mechanism and locking devices.
(c) Construction at Bottom of Hoistways.
(1) Pits extending into the ground shall be so designed as to prevent entry of ground water into the pit.
(2) The pit floor on any hoistway not extending to the ground shall be capable of sustaining a live load of not less than 125 psf (5.98 Kpa) in all open areas. Elevator equipment weight and forces resulting from compensating sheave or buffer impact shall be considered when this equipment is supported by the pit-floor structure.
(d) Floor Over Hoistways of Power Elevators.
(1) Where the elevator machine is located over the hoistway, a metal or concrete floor shall be provided above or level with the top of the machine beams.
(A) The floor is not required to be located below the secondary or deflecting sheaves of traction machines provided the sheaves can be serviced from the top of the car, or means are provided for servicing the sheaves from outside the hoistway.
(2) Where the elevator machine is located below or at the side of the hoistway, a metal or concrete floor shall be provided below the overhead sheaves unless the following requirements are conformed to:
(A) Means of access for inspection and servicing of each governor is provided from outside the hoistway in such a manner that the action of the tripping mechanism can be inspected while the car is running and the governor, and governor switches where provided, can be reset by a person working from a permanent platform furnished as part of this access means.
(B) When the car is level with the top landing, the center line of the overhead sheaves or hoist rope dead end hitch plates shall not be more than 6 ft. (1.83 m) above the crosshead or 8 ft. (2.44 m) above the car top.
(C) A top-of-car inspection station conforming to Section 3040(a)(4) is provided.
(D) An access switch for access to the top of the car conforming to Section 3021(k) is provided.
(3) The floor shall be capable of sustaining a concentrated load of 300 lb (136 Kg) on any 4 in.2 (26 cm2); and where it constitutes the floor of the main or secondary level machinery space, it shall be designed for a live load of not less than 125 psf (5.98 Kpa) in all open areas. Where the elevator machine is to be supported solely by the machine room floor slab, the floor slab shall be designed in accordance with the requirements of Design Section 3111(a).
(4) The openings in perforated or openwork metal floors shall reject a ball 1/2 in. (13 mm) in diameter and the greatest dimension shall be not more than 3 in. (76 mm). Cable or tape openings in floors shall be protected by a guard not less than 4 in. (102 mm) high.
(5) The floor shall extend over the entire area of the hoistway where crosssectional area is 100 ft.2 (9.3 m2) or less. Where the cross-sectional area is greater, the floor shall extend not less than 2 ft. (610 mm) beyond the general contour of the machine or sheaves or other equipment, and to the entrance to the machinery space at or above the level of the platform. Where the floor does not cover the entire horizontal area of the hoistway, the open or exposed sides shall be provided with a standard guardrail and toeboard.
(6) Differences in level of machine room and machinery space floors shall be avoided when practicable. Where there is a difference in level in such floors exceeding 15 in. (381 mm), a standard guardrail shall be provided at the edge of the higher level, and stairs or a ladder shall be provided for access between levels.
(e) Projections, Recesses, and Setbacks in Hoistway Enclosures of Power Elevators. Hoistway enclosures shall have substantially flush surfaces on the hoistway side, subject to the following:
(1) Landing sills, hoistway doors, door tracks and hangers may project inside the general line of the hoistway. Landing sills and associated facia-guards shall comply with subsection 3020(a)(3).

Note: The intent of this order is to allow recesses necessary for the installation of elevator equipment and minor recesses caused by floor beams and slabs. The phrase substantially flush does not include unnecessary horizontal surfaces or surface projections such as reinforcing rods, snap-ties, screws, etc., which may cause injury.
(Title 24, Part 7, section 7-3010)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (e) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer and new subsection (e) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Repealer and new subsection (a)(6) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1)
4. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27).
5. Editorial corrections (Register 95, No. 26).
6. New group II heading filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
7. Amendment of group 2 subheading filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3011. Machine Rooms and Machinery Spaces.
Note     •     History

(a) Enclosure of Machine Rooms and Machinery Spaces. The enclosure shall be building walls, ceiling material, and fireproofing conforming to the governing building codes. The material and height limitations outlined in this section establish the minimum standards for machine room enclosures. These regulations are not intended to supersede applicable local building codes establishing higher standards.
(1) Elevator driving machines, motor generator sets, controllers, and auxiliary control equipment shall be installed in a room or enclosure set aside for that purpose.
Exception to subsection 3011(A)(1):

	Machines and associated equipment as installed before June 5, 1947, in machine rooms or machinery spaces accessible only to authorized attendants.
(2) Enclosures shall be of substantial construction at least 6 ft (1.83m) high, and if of openwork material shall reject a ball 2 in. (51mm) in diameter.
(b) Equipment in Machine Rooms of Power Elevators.
(1) Where the elevator machine and control equipment are located at the top of the hoistway, they may be located in a room or space containing other machinery and equipment essential to the operation of the building, provided that they are separated from the other machinery or equipment by a substantial metal grille enclosure not less than 6 ft (1.83m)high with a door or gate conforming to Section 3011(d). The grille enclosure shall be of a design which will reject a ball 2 in. (51mm) in diameter.
(A) Elevated machine or control areas within an equipment room shall have a wall or enclosure, including access means, that provides a barrier not less than 6 ft (1.83m) high above the adjacent floor. The raised platform shall be guarded by at least a standard guardrail with a standard toeboard.
(2) Where the elevator machine and control equipment are not located at the top of the hoistway, a separate machine room shall be provided and only machinery and equipment required for the operation of the elevator shall be permitted in the elevator machine room.
(3) The enclosure for the elevator equipment shall be arranged so that passage through the machine room or enclosure is not necessary to gain access to other equipment or other parts of the building.

Exception: Passage to enclosed equipment installed within the elevator machine room to provide the ventilation required by Section 3011(f)(2)(A).
(4) Elevator machine rooms or enclosed areas shall be kept free of all materials except those used for repair or maintenance of the elevator. Machine rooms shall be kept reasonably clean.
(c) Access to Machine Rooms and Machinery Spaces. Permanent means for safe and convenient access shall be provided to all machine rooms, overhead sheave spaces provided with a floor, and secondary levels. This access shall be independent of the hoistway or car.
(1) Where passage over roofs is necessary to reach the means of access to machine rooms or machinery spaces, the following requirements shall be conformed to:
(A) A stairway, conforming to applicable building codes shall be provided from the top floor of the building to the exit door at the roof level.
(B) Where the passage is over a sloping roof having a slope exceeding 15 degrees from the horizontal, an unobstructed, permanent, and substantial walkway not less than 24 in. (610mm) wide, equipped on at least one side with a standard railing, shall be provided from the building exit door at the roof level to the means of access to the machine room or machinery spaces.
(2) The means of access to machine rooms or to machinery spaces shall conform to the following:
(A) Where the floor of the machine room or of the machinery space is more than 8 in. (203mm) above or below the floor or roof from which the means of access leads, stairs, or ladders shall be provided between such levels.
(B) Where the difference in levels is not more than 3 ft (914mm), a vertical ladder with handgrips may be provided.
(C) Where the difference in levels is more than 3 ft (914mm), stairs having a maximum angle of 60 degrees from the horizontal and equipped with a standard stair railing shall be provided.
Exceptions to subsection 3011(c)(2)(C):
1. Alternating tread stairs as permitted by Section 3234 of the General Industry Safety Orders.
2. Vertical ladders may be used where the differences in level are more than 3 ft (914mm)for access from interior building floors or from machine rooms to machinery spaces containing overhead sheaves, secondary and deflecting sheaves, or governors.
(D) A platform shall be provided at the top of stairs or ladders conforming to and where required by Article 4 of the General Industry Safety Orders.
(E) Standard handrails, guardrails, toeboards, and stair railings shall conform to the regulations of Article 2 of the General Industry Safety Orders.
(d) Access Doors.
(1) Elevator machine rooms or enclosures shall be secured against unauthorized access. Access doors shall be provided for all elevator machine rooms or enclosures and shall conform to the following:
(A) Have a minimum width of 30 in. (762mm) and a minimum height of 6 ft (1.83m) for machine rooms and a minimum height of 30 in. (762mm) for other spaces specified in Sections 3011(e)(2) and 3011(e)(3).
(B) Be self-closing.
(C) Be provided with a spring-type lock to permit the door to be opened from the inside without a key.
Exception to subsection 3011(d)(1)(C):
Doors are not required at openings in machine room floors for access to deflecting and secondary sheave spaces provided the floor access opening is provided on all four sides with a standard railing, one side of which is arranged to slide or swing to provide access to the ladder or stairs leading to the secondary sheave space. Trap doors, where provided, shall have standard railings or guard wings on all open sides and shall be arranged to be secured in the open position. See Section 3011(e)(3).
(D) Keys to access the elevator machine rooms and machinery space enclosures shall be kept in the elevator pit. The keys shall be properly identified, located near the pit stop switch and shall be accessible from the pit access door. In buildings with banks of multiple elevators, the keys shall be kept in the elevator pit of the elevator with the lowest state identification number.
(e) Headroom in Machine Rooms and Overhead Machinery Spaces.
(1) Elevator machine rooms and machinery spaces not located over the hoistway shall have a headroom of not less than 7 ft (2.13m).
(2) Where a floor is provided at the top of the hoistway, elevator machine rooms and overhead machinery spaces above such floor shall have a clear headroom of not less than the following:
(A) Machine, control, and motor generator rooms, 7 ft (2.13m).
(B) Spaces containing only overhead, secondary or deflecting sheaves, 42 in. (1.06m).
(C) Spaces containing only overhead, secondary or deflecting sheaves, and governors, 54 in. (1.37m).
(D) Under Sections 3011(e)(2)(B) and 3011(e)(2)(C), the machine or supporting beams may encroach on the required headroom provided there is a clearance of not less than 3 ft (914mm) below the underside of machine beams or not less than 3 ft (914mm) above the top of overhead sheave supporting beams with at least a 2-ft (609mm)-wide clear passageway.
(3) Separate access to each secondary or deflecting sheave space shall be provided unless a clear passageway not less than 4 ft (1.22m) high and 2 ft (610mm) wide is provided from one space to another in multiple hoistway installations. This height may be reduced to 3 ft (914mm) between the machine beams and the sheave space floor.
(f) Lighting and Ventilation of Machine Rooms and Machinery Spaces.
(1) Permanent lighting and convenience outlets shall be provided and installed to comply with the requirements of CCR, Title 24, Part 3, Article 620.
(2) Machine rooms shall be provided with uniform natural or mechanical ventilation of sufficient capacity to maintain a temperature of not more than 104o F (40o C) regardless of outside temperature.
(A) Where mechanical ventilation equipment is provided, it shall be located outside the elevator machine room, where possible. When located within the machine room, it shall be isolated from the elevator equipment by an enclosure conforming to Section 3011(a).
(g) Work Space Required in Machine Rooms and Machinery Spaces.
(1) There shall be a clear work space and passageway at least 18 in. (457mm) wide on at least three sides of every elevator machine.
EXCEPTION to subsection 3011(g)(1):

 A second side of the machine may be partially or totally blocked by an enclosure or equipment, thereby reducing the required work space and passageway, provided the following are conformed to:
1. Safe access to and a minimum of 18 in. (457mm) work space is provided for machine parts that require inspection, service, and adjustment when the machine is in operation; and
2. Parts that normally do not require service, repair, or inspection when the machine is in operation shall be provided with access, or can be made accessible when protective guards, etc., are removed, and adequate work space to perform the work is provided.
Note: The intent of this regulation is to locate the machine, with respect to the adjacent enclosure and other machine room equipment, so that safe and convenient access is provided for inspection, service, and adjustment.
Safe working conditions for future major repairs should be considered when locating the machine and adjacent equipment.
(2) Governors, motor generator sets, and other devices, shall have a clear work space and passageway at least 18 in. (457mm) wide and 78 in. (1.98 m) high on at least one side, and no passageway shall exist between various devices, or devices and the walls, less than 18 inches wide.
The commutator end of motor generator sets shall be exposed to allow safe access for servicing and adjusting.
(3) The clear work space in front of and in back of control panels and the passage space at the ends of control panels shall conform to CCR, Title 24, Part 3, Article 620.
(4) The clear work space in front of, and the accessibility of the power disconnect switches, shall conform to the requirements of CCR, Title 24, Part 3, Article 620.
(h) Identification Required. Where there is more than one elevator, each elevator shall be assigned a different number. This number shall be used to clearly identify all major components of that piece of equipment in the machine room and machinery spaces.
(Title 24, Part 7, Section 7-3011.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(3), (b)(4), (c)(2)(D) and (c)(2)(E) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
3. Amendment of subsections (f)(1), (g), and (g)(3)-(4) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
4. Editorial correction of subsections (f)(2) and (g)(2) (Register 95, No. 26).
5. New subsection (d)(1)(D) and amendment of Note filed 5-8-2002; operative 6-7-2002 (Register 2002, No. 19).
§3012. Electrical Wiring, Pipes, and Ducts in Elevator Hoistways, Machine Rooms, or Machinery Spaces.
Note     •     History

(a) Wiring Methods in Hoistways and Machine Rooms. The installation of all electrical wiring in hoistways and machine rooms, except as may be provided elsewhere in these regulations, shall comply with CCR, Title 24, Part 3, Article 620.
(b) Installation of Pipes and Ducts Conveying Gases, Vapors, or Liquids in Hoistways, Machine Rooms, or Machinery Spaces. Pipes or ducts conveying gases, vapors, or liquids, and not used in connection with the operation of the elevator, shall not be installed in any hoistway, machine room, or machinery space.

EXCEPTIONS to subsection 3012(b):
1. Pipes or ducts that were installed before June 5, 1947, and which convey gases, vapors, or liquids which if discharged into the hoistway would not endanger life.
2. Steam and hot water pipes may be installed in hoistways, machine rooms, or machinery spaces for the purpose of heating these areas only, subject to the following:
a. Heating pipes shall convey only low pressure steam (5 psi (34 kpa) or less) or hot water (212o F (100o C) or less).
b. All risers and return pipes shall be located outside the hoistway.
c. Traps and shut-off valves shall be provided in accessible locations outside the hoistway.
3. Ducts for heating, cooling, ventilating, and venting may be installed in the machine room, subject to the following:
a. Clear headroom of 7 ft (2.13m) is maintained.
b. Clear workspace around all elevator equipment is maintained.
c. No inspection covers, adjustable dampers or clean-outs are installed in the elevator machine room.
4. Pipes for sprinklers only may be installed in these spaces subject to the following:
a. All risers and returns shall be located outside these spaces.
b. Branch lines in the hoistway shall supply sprinklers at not more than one floor   level.
c. Shut-off valves shall be provided at accessible locations outside these spaces.
d. Sprinkler heads shall be guarded against accidental contact.
5. Piping and wiring for elevator pit sump pumps may be installed in the hoistway. See Section 3016(b).
(Title 24, Part 7, Section 7-3012.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b)(3) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
3. Amendment of subsection (a) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
4. Editorial correction of subsection (b) Exception 2a (Register 95, No. 26).
§3013. Location and Guarding of Counterweights.
Note     •     History

(a) Location. Counterweights shall be located only in the hoistway of the elevator they serve.
(b) Counterweight Pit Guards. Counterweight runway enclosures of unperforated metal, extending from a point not more than 12 in. (305mm) above the pit floor to a point not less than 7 ft (2.13m) above the pit floor, shall be installed on the open side or sides of all counterweights, except this enclosure may be omitted on the side facing the car where compensating ropes or chains are attached to the counterweight.
EXCEPTIONS to subsection 3013(b):

1. Where oil buffers are installed under the counterweights in the pits of new installations, the enclosure, where required, shall extend from a point even with the bottom of the buffer stroke to a height of not less than 7 ft (2.13m) above the pit floor.

2. Elevators installed before June 5, 1947.
The enclosure shall be fastened to a metal frame adequately reinforced and braced to be at least equal in strength and stiffness to No. 14 M.S. gage steel.
(c) Guarding of Counterweights in a Multiple-Elevator Hoistway.
(1) Where counterweights are located between elevators in a hoistway having more than one elevator, the counterweight shall be guarded for the entire height of the hoistway. The guard shall extend at least 6 inches horizontally beyond each counterweight rail. The guard shall be made from wire-mesh material equal to or stronger than .048-inch diameter wire with openings not exceeding 1/2 inch, securely fastened to keep the guard taut and plumb.
(2) The guarding of counterweights required in Section 3013(c)(1) shall be accomplished within three years of the effective date of this regulation.
(Title 24, Part 7, Section 7-3013.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
2. New subsections (c)-(c)(2) filed 7-9-97; operative 8-8-97 (Register 97, No. 28).
§3014. Guarding of Exposed Equipment.
Note     •     History

(a) Guarding in Machine Rooms and Machinery Spaces. The following equipment located in machine rooms or machinery spaces shall be guarded to protect against accidental contact:
(1) Exposed external moving parts such as gears, sprockets, sheaves, drums, shafts and their driving ropes, chains or tapes for selectors, floor controllers or signal machines.

EXCEPTION to subsection 3014(a)(1):
Guards are not required for equipment located more than 7 ft (2.13m) above the floor.
(2) The nip points of the drive sheave of traction machines where the machine frame does not provide this protection.
(3) All moving parts of the equipment in secondary sheave spaces shall be completely guarded except the governor sheave and flyballs. Expanded metal or grillwork shall be used for secondary sheave guards.

Exception: Guards are not required for equipment located more than 7 ft (2.13m) above the secondary sheave space floor.
(4) The moving parts of equipment in overhead sheave spaces having a ceiling height of less than 78 in. (1.98m) shall be completely guarded except the governor sheave and flyballs.
(5) The moving parts of equipment in overhead sheave spaces shall be guarded when it is necessary to pass over or by the moving parts to gain access to the governor.
(b) Guarding in the Hoistway and On the Car. The following equipment located in the elevator hoistway or on the elevator car shall be guarded to protect against accidental contact:
(1) Hoisting rope sheaves attached to and mounted above the car crosshead shall be completely guarded. Handholds shall be provided on each side of the guard.
(2) Hoisting rope sheaves mounted within the car crosshead shall be provided with guards at the exposed nip points.
(3) Where secondary or deflecting sheaves are located on the hoisting side of overhead machines, the ropes shall be guarded at the point of contact with the sheave, except where the bottom of the sheave is more than 7 ft (2.13m) above the crosshead of the car when the car is at the top terminal landing.
(4) Where overhead sheaves are located above the crosshead, the ropes attached to the crosshead shall be guarded at the point of contact with the overhead sheave unless the sheave is located in an overhead sheave space.
(5) Ventilating fans or blowers installed on the car top shall be guarded.
(c) Rope Retainer Guards. Rope retainer guards shall be provided on deflector sheaves, machine sheaves, compensator rope sheaves, governor tension sheaves and hoist rope sheaves on cars and counterweights to inhibit displacement of ropes in the event ropes become slack.
Rope guards shall be continuous or there shall be one restraint for 30 degrees wrap or less, and two restraints for wraps in excess of 30 degrees. Where one restraint is furnished, it shall divide the arc of contact into equal parts. Where two restraints are furnished, they shall be located approximately 1/6 of the arc of contact from the nip points.
(d) Snag Guards. Snag points created by rail brackets, clip bolts and fishplates shall be provided with guards to prevent snagging of the following:
(1) Compensating cables on the counterweight end within 30 in. (762mm) of a counterweight rail bracket.
(2) Governor ropes located within 20 in. (510mm) of a counterweight rail bracket.
(3) Hoist ropes located within 12 in. (305mm) of a snag point.
(4) Traveling cables hung so any portion of their loop below the hatch junction box is within 36 in. (914mm) horizontally of a potential snag point.
(Title 24, Part 7, Section 7-3014.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (c) and (d) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Section 3014(c) and (d) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
3. Amendment of exceptions in subsections (c) and (d)(4) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
4. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
§3015. Machinery and Sheave Beams, Supports, and Foundations.
Note     •     History

(a) Beams and Supports Required.
(1) Machines, machinery, and sheaves shall be so supported and maintained in place as to effectually prevent any part from becoming loose or displaced under the conditions imposed in service.
(2) Supporting beams, if used, shall be of steel, reinforced concrete, or, for existing installations, sound timber.
(3) Beams are not required under machines, sheaves, and machinery, or control equipment which are supported on floors, provided such floors are designed and installed to support the load imposed thereon.
(b) Loads on Machinery and Sheave Beams, Floors or Foundations, and Their Supports.
(1) Overhead beams, floors, and their supports shall be designed for the loads specified in Design Section 3111(a)(2).
(2) The foundations, beams, and floors for machinery not located over the hoistway shall be designed to support the loads specified in Design Section 3111(a)(3).
(c) Securing of Machinery and Equipment to Beams, Foundations, or Floors.
(1) Machinery or equipment shall be secured to and supported on or from the top of overhead beams or floors.

EXCEPTIONS to subsection 3015(c)(1):
1. Secondary or deflecting sheaves of traction elevators. If bolts in tension are used to support such sheaves, the bolts shall be provided with lock nuts and shall be cotter-keyed.
2. Rotable overhead sheaves whose members in tension comply with the requirements of Design Section 3101(b)(1)(C).
(2) Machines and sheaves located below or at one side of a hoistway shall be anchored to beams, foundations, or floors with bolts that meet the specifications of Design Section 3111(c)(1).
(A) Where bolts are used through sloping flanges of structural shapes, the boltheads shall be of the tipped or beveled-head type or shall be fitted with beveled steel washers, and nuts on sloping flanges shall seat on beveled steel washers.
(3) The fastenings including vibration isolation units and supporting structures used to attach controllers, motor generators sets, compensating rope sheave assemblies, machines, machine beams, and sheaves to the building shall conform to Section 3111(c)(3).
(d) Overhead Hoisting Rope Hitches. Where hoisting ropes are secured to the structure above a hoistway, the hitch plates and hitch plate blocking beams, where used, shall be secured to and mounted on top of overhead beams, machine beams, or on top of auxiliary beams connected to the webs of overhead beams. Hitch plates, blocking, or auxiliary beams shall be secured with bolting, riveting, or welding and shall be so located that the tensions in the hoisting ropes will not develop direct tensions in the bolts or rivets. The hitch-plate supporting beams and fastenings shall be designed to support the loads as specified in Design Section 3111(c)(2) and 3111(d).
(e) Cast Metals in Tension or Bending. Cast metals which are subject to tension or bending shall not be used to support machinery or equipment from the underside of overhead beams or floors except as allowed in Design Section 3111(e).
(f) Allowable Stresses or Deflections for Machinery and Sheave Beams or Floors and Their Supports. The unit stresses or deflections for all machinery and sheave beams and floors and their supports, based on the loads computed as specified in Design Section 3111(a), shall not exceed those permitted by Design Sections 3111(a) and 3111(b).
(Title 24, Part 7, Section 7-3015.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Section 3015(c) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
3. Amendment of Exception in subsection (c)(3) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
4. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27).
§3016. Pits for Elevators.
Note     •     History

(a) Where Required. A pit shall be provided at the bottom of the hoistway of every power-driven elevator. The pit shall extend the entire area of the hoistway.
(b) Design and Construction of Pits.
(1) See section 3010(c) for details of pit construction.
(2) The pit depth shall be not less than is required for the installation of the buffers, compensating sheaves, if any, and all other elevator equipment located therein, and to provide the minimum bottom clearance and runby required by section 3017.
(3) The floor of the pit shall be approximately level, but sufficient slope shall be allowed for drainage. No recess shall be allowed unless covered or guarded.
(4) Drains connected directly to sewers shall not be installed in elevator pits.
(5) Drains or sumps in elevator pits shall not be used as the normal means of drainage for liquids directed into the pit from other areas of the building.
(6) Pumping equipment provided to remove accidental water from the pit shall be located outside the hoistway where practicable or shall be of the type that can be readily removed from the hoistway for repairs. Authorized personnel shall be present when it is necessary to enter the pit to remove accidental water accumulations.
(7) The elevator pit may be provided with a water removal system that complies with section 3120.6(c).
(c) Guards Between Adjacent Pits. Enclosures not less than 6 ft (1.83m) high shall be provided between pits of adjacent hoistways. Where openings are provided in the enclosure, they shall not exceed 2 in. (51mm). Where a ladder is provided on the enclosure, the enclosure shall extend not less than 6 ft (1.83m) above the top rung and not less than 12 in. (305mm) each side of the side rails.
EXCEPTIONS to subsection 3016(c):

 Enclosures between pits may be omitted if the clearance between the underside of the car sling, when resting on the fully compressed buffer, and the bottom of the pit is not less than 7 ft (2.13m); and provided that where counterweights are located between pits they shall be guarded on the side away from the elevator they serve, even though they may have compensating ropes or chains.

(d) Access to Pits. Safe and convenient access shall be provided to all pits. Access may be by means of the lowest hoistway door or by means of a separate pit access door. Each pit of multiple hoistways shall have a separate means of access except where a separate pit access door is provided and guards between pits are not required.
(1) Where access to the pit is by way of a separate pit door or gate, the door or gate shall be self-closing and self-locking and shall be arranged to be opened from inside the pit without a key. Separate pit access doors shall be kept locked.
EXCEPTIONS to subsection 3016(d)(1):
The lock on existing pit access doors may be omitted under any of the following:
1. The access door is equipped with a contact that prevents the elevator from running when the door is open.
2. The access to the pit is from an area secured against unauthorized access.
3. The clearance between the pit floor and the underside of the car sling is not less than 7 ft (2.13m) when the car is on the fully compressed buffer, the counterweight runway is guarded to a height of not less than 7 ft (2.13m) except on the side where compensating chains or ropes are attached, and all sheaves are guarded.
(2) Separate pit access doors or gates, where provided, shall be not less than 30 in. (762mm) wide nor less than 4 ft (1.22m) high.
(3) The separate pit access door shall be provided with a contact if the car apron, or the car platform, extends into the access opening when the car is level with the lowest hoistway landing.
(4) Access to pits over 3 ft (914mm) in depth below the sill of the pit access door shall be by means of a permanent ladder or stairway into the pit. The ladder or stairway shall be adequately guarded to prevent contact between a person on the ladder or stairway and any moving part of adjacent elevators or machinery. The ladder shall be located adjacent to the strike jamb of and accessible from the access door to the pit.
EXCEPTIONS to subsection 3016(d)(4);
1. Ladders or stairways are not required to be provided in pits of elevators installed before June 5, 1947 unless they have undergone a major alteration or have been required for cause.
2. Elevators installed between June 5, 1947 and December 1, 1988 are only required to have ladders or stairways if the pit is over 4 ft (1.22m) in depth.
(5) Access ladders or stairways shall comply with the requirements of Subchapter 7, Article 4, Title 8, Chapter 4 of the California Administrative Code, except that for vertical ladders the distance from the ladder rung to the wall shall be not less than 4 in. (102mm).
(e) Pit Maintenance. Pits shall be maintained in a clean and dry condition.
(f) Illumination of Pits. Lights and convenience outlets in elevator pits shall be installed to comply with the requirements of CCR, Title 24, Part 3, Article 620.
(g) Stop Switch in Pits. There shall be installed in the pit of every power elevator an enclosed type positive acting stop switch meeting the requirements of Section 3040(b)(5), except elevators installed before June 5, 1947.
(1) This switch shall be located so as to be accessible from the pit access door. Where access to the pits of elevators in a multiple hoistway is by means of a single separate access door, the stop switch for each elevator shall be located adjacent to the nearest point of access to its pit from the access door.
(2) In elevator pits, where the access is through the lowest landing hoistway door, the stop switch shall be located within 18 in. (457mm) above or 18 in. (457mm) below the floor level at the access landing. The stop switch shall be located not more than 78 in. (1,98m) above the pit floor. When the pit exceeds 8 ft (2.44m)in depth, another stop switch shall be provided adjacent to the pit ladder and approximately 4 ft (1.22m) above the pit floor.
(3) All pit stop switches shall be properly identified by a name plate or painted with red or orange color.
(h) Safe Access to Elevated Equipment in the Elevator Pit and on the Underside of the Car. Where the pit floor is more than 12 ft (3.66m) below the bottom hoistway landing, or where the means for checking the oil level in oil buffers is more than 7 ft (2.13m) above the pit floor, drawings that detail the means of access to elevated equipment shall be submitted to the division for approval.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d)(5) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
3. Amendment of subsection (d)(4) filed 12-15-88; operative 1-14-89 (Register 88, No. 53).
4. Amendment of subsection (f) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
5. Editorial correction of subsections (d)(4) Exception 1 and (g)(2) (Register 95, No. 26).
6. Amendment of subsections (b)(1), (b)(2) and (b)(6), new subsection (b)(7) and repealer of last paragraph filed 7-28-2003; operative 8-27-2003 (Register 2003, No. 31).
§3017. Bottom and Top Clearances and Runbys for Elevator Cars and Counterweights.
Note     •     History

(a) Bottom Car Clearances.
(1) When the car rests on its fully compressed buffer, there shall be a vertical clearance of not less than 2 ft (610mm) between the pit floor and the lowest structural or mechanical part, equipment, or device installed beneath the car platform except guide shoes or rollers, safety jaw assemblies, and platform aprons, guards, or other equipment located within 12 in. (305mm) horizontally from the sides of the car platform.
(2) When the car rests on its fully compressed buffer, no part of the car or any equipment attached thereto shall strike any part of the pit or any part of the equipment located therein.
(b) Bottom Runby for Counterweighted Elevators. The bottom runby of cars and counterweights shall be not less than the following:
(1) Where oil buffers are used, 6 in. (152mm).

EXCEPTIONS to subsection 3017(b)(1):
Where existing difficulties on modernization jobs prevent a sufficient pit depth or top clearance on the counterweights, the runby may be eliminated so that the buffers are compressed by amounts not to exceed 25 percent of their stroke when the car floor is level with the terminal landing.
(2) Where spring buffers are used:
(A) 6 in. (152mm) where generator-field control is used.
(B) Where rheostatic or alternating current control is used, not less than the following:

Rated Speed In	Runby in
Feet Per Minute	Inches  
Not over 25	 3
26 to 50	 6
51 to 100	 9
101 to 200	 12
GENERAL NOTE:1fpm=5.08 E -03 m/s1in.=25.4mm
(c) Bottom Runby for Uncounterweighted Elevators. The bottom runby for uncounterweighted elevators shall be not less than the following:
(1) 3 in. (76mm) where the rated speed does not exceed 25 fpm (0.127 m/s).
(2) 6 in. (152mm) where the rated speed exceeds 25 fpm (0.127m/s).
(d) Maximum Bottom Runby. In no case shall the maximum bottom runby exceed the following:
(1) 24 in. (610mm) for cars.
(2) 36 in. (924mm) for counterweights.
(e) Top Car Clearance for Counterweighted Elevators. The top car clearance shall be not less than the sum of the following four items:
(1) The bottom counterweight runby.
(2) The stroke of the counterweight buffer used.
(3) 2 ft (610mm) or the distance which any sheave or any other equipment mounted in or on the car crosshead projects above the top of the car crosshead, whichever is greater.
(4) One-half the gravity stopping distance based on:
(A) 115 percent of rated speed where counterweight oil buffers are used. Where provision is made to prevent the jump of the car at counterweight buffer engagement, this figure need not be more than 18 in. (457mm) where the gravity slow down distance is greater than 36 in. (914mm).
(B) Governor tripping speed where counterweight spring buffers are used.
(f) Top Car Clearance for Uncounterweighted Elevators. The top car clearance shall be not less than the greater of the following:
(1) 36 in. (914mm).
(2) 12 in. (305mm) plus the amount which any equipment mounted on the car crosshead, or above the car top when no crosshead is provided, projects vertically more than 2 ft (610mm) above the crosshead or top.
(g) Vertical Clearances With Underslung Car Frames. Where an underslung car frame is used, the clearance between the car rope hitches or car sheaves and any obstruction in the hoistway vertically above them, when the car floor is level with the top terminal landing, shall be not less than the following:
(1) Where no counterweight is used, 9 in. (229mm).
(2) Where a counterweight is used, the sum of the following four items.
(A) The bottom counterweight runby.
(B) The stroke of the counterweight buffer used.
(C) 6 in. (152mm).
(D) One-half the gravity stopping distance based on:
1. 115 percent of rated speed where counterweight oil buffers are used.
2. Governor tripping speed where counterweight spring buffers are used.
(h) Top Counterweight Clearances.
The top counterweight clearances shall be not less than the sum of the following four items.
(1) The bottom car runby.
(2) The stroke of the car buffer used.
(3) 6 in. (152mm).
(4) One-half the gravity stopping distance based on:
(A) 115 percent of rated speed where car oil buffers are used and no provision is made to prevent the jump of the counterweight at car buffer engagement.
(B) Governor tripping speed where spring car buffers are used.
(i) Overhead Clearances Where Overhead Beams Are Not Over Car Crosshead. Where overhead beams or other overhead hoistway construction are located vertically over the car, but not over the crosshead, the following requirements shall be met:
(1) The clearance from the car top to such beams or construction, including sheaves, when the car floor is level with the top terminal landing, shall be not less than the distance specified in Sections 3017(e) and 3017(f).
(2) The clearance above an imaginary plane, drawn even with the top of the car crosshead, to the underside of such beams or construction, except sheaves, shall be not less than 2 ft (610mm) when the car is level with the top terminal landing.
(3) When the clearance above the imaginary plane, drawn even with the top of the car crosshead, is less than the distance specified in Section 3017(e) or Section 3017(f), such beams or construction, except sheaves, shall be located not less than 2 ft (610mm) horizontally from the edge of the car crosshead.
(j) Equipment on Top of Car Not Permitted to Strike Overhead Structure. The clearance above any auxiliary equipment mounted to project above the top of the car shall be not less than the sum of the following three items when the car platform is level with the top landing:
(1) The bottom counterweight runby.
(2) The stroke of the counterweight buffer used.
(3) One-half the gravity stopping distance based on:
(A) 115 percent of rated speed where counterweight oil buffers are used. Where provision is made to prevent the jump of the car at counterweight buffer engagement, this figure need not be more than 6 in. (152mm).
(B) Governor tripping speed where counterweight spring buffers are used.

Exception to subsection 3017(j)(3)(B):
Elevators installed before June 5, 1947.
(k) Minimum Top Clearance.
(1) Elevators installed before June 5, 1947, shall have the ropes adjusted so that the car or counterweight will rest upon the bumpers or buffers fully compressed before the counterweight or the car is vertically within 1 ft (305mm) of any part of the construction over the hoistway and before any equipment mounted on the car or counterweight will strike any structure or equipment in the hoistway.
(2) Elevators installed since June 5, 1947, shall have the ropes adjusted to maintain the top car clearance required by Section 3017(e), the top counterweight clearance required by Section 3017(h), and the bottom runby required by Section 3017(b).
(3) The top car clearance shall be not less than 3 ft (914mm) on any elevator.
(4) The clearance from the raised guardrails required by Section 3034(a)(9) to the overhead structure shall be not less than 18 in. (457mm) when the counterweight is on its fully compressed buffer.
(Title 24, Part 7, Section 7-3017.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (k)(4) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (e)(4) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Amendment of subsection (k)(4) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
4. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
5. Editorial corrections (Register 95, No. 26).
§3018. Horizontal Car and Counterweight Clearances.
Note     •     History

(a) Between Car and Hoistway Enclosure. The clearance between the car and the hoistway enclosure, or any projection in the hoistway, shall not be less than 1 in. (25mm) except on the sides used for loading and unloading.
(b) Between Car and Counterweight and Counterweight Screen. The clearance between the car and the counterweight shall be not less than 1 in. (25mm). The clearance between the counterweight and the counterweight screen and between the counterweight and the hoistway enclosure, or any projection in the hoistway, shall be not less than 3/4 in. (19mm).
(c) Between Cars in Multiple Hoistways. The running clearance between the cars and any equipment attached thereto, of elevators operating in a multiple hoistway, shall be not less than 2 in. (51mm). This clearance must be increased when guards between adjacent pits are required.
(d) Between Cars and Landing Sills. The clearance between the car platform sill and the hoistway edge of any landing sill, or the hoistway side of any vertically sliding counterweighted hoistway door or of any vertically sliding counterbalanced biparting hoistway door, shall be not less than 1/2 in. (13mm) where side steel guides are used, and not less than 3/4 in. (19mm) where corner steel guides are used. The maximum clearance shall be not more than 11/2 in. (38mm). Where wood guides are used, the clearance shall be not less than 3/4 in. (19mm).
(e) Between Landing Side of Car Platforms and Hoistway Enclosures. The clearance between the edge of the car platform sill and the hoistway enclosure or fascia plate for the full width of the clear car entrance opening shall be not more than 5 in. (127mm).

EXCEPTIONS to subsection 3018(e):
1. The clearance may be increased to not more than 71/2 in. (190mm) for vertically sliding hoistway doors of the pass type or of the heavy duty type requiring special sills for extra wide openings.
2. Existing elevators whose hoistways are equipped with vertically sliding hoistway gates in which a clearance of not more than 6 in. (152mm) is permitted for that distance necessary for operation of the gates plus 24 in. (610mm).
3. Existing elevators which can be started only from the car in which a clearance of not more than 6 in. (152mm) is permitted.
4. Existing elevators which have been equipped with interlocked or contact locked car gates or interlocked car doors at the entrance where the clearance exceeds 5 in. (127mm) provided the lock is inaccessible from inside the car. Interlocks arranged to comply with Section 3021(d)(1)(D) are acceptable.
(f) Elevators Without Car Doors or Gates.
(1) Where an elevator is exempted under these regulations from installation of a car door or gate, the sides of hoistways opposite car entrances shall be smooth and free from protruding objects or recesses within 4 in. (102mm) of the car platform, unless such protruding objects or tops of recesses be smoothly and solidly beveled at an angle of not less than 60O degrees from the horizontal.

EXCEPTION to subsection 3018(f)(1):
Projections or recesses which are less than 1 in. (25mm).
(2) New installations or replacements of the beveled surfaces required by Section 3018(f)(1) shall be one of the following:
(A) Metal plates not less than No. 10 M.S. gage 0.138 in. (3.5mm).
(B) Metal sheets not less than No. 16 M.S. gage 0.061 in. (1.5mm) backed with wood or concrete.
(C) Smooth beveled concrete.
(g) Measurement of Clearances. The clearances specified in Section 3018 shall be measured with no load on the car platform.
(Title 24, Part 7, Section 7-3018.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
2. Editorial correction of subsection (d) (Register 95, No. 26).
§3019. Protection of Spaces Below Hoistways.
Note     •     History

(a) Hoistways not Extending to the Lowest Floor of the Building. Where the space below the hoistway is used for a passageway, or is occupied by persons, or if unoccupied is not permanently sealed against access, the following requirements shall apply:
(1) Elevator counterweights shall be provided with safeties conforming to Section 3035.
(2) The cars and counterweights shall be provided with oil buffers or spring buffers. If spring buffers are used, they shall be so designed and installed that they will not be fully compressed when struck by the car with its rated load and by the counterweights at the following speeds.
(A) Governor tripping speed where the safety is governor operated.
(B) 125 percent of rated speed where the safety is not governor operated.
(3) Car and counterweight buffer supports shall be of sufficient strength to withstand, without permanent deformation, the impact resulting from buffer engagement at the following speeds:
(A) Governor tripping speed where the safety is governor operated.
(B) 125 percent of rated speed where the safety is not governor operated.
(Title 24, Part 7, Section 7-3019.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27). 
§3020. Protection of Hoistway Landing Openings.
Note     •     History

(a) Hoistway Entrances. Protection of hoistway entrances shall conform to the governing building codes. The regulations included in this section establish the minimum entrance standards. These regulations are not intended to supersede applicable local building codes establishing higher standards. The locations, clearances, and guarding requirements of this section shall be maintained.
(1) Hoistway Doors Required on Passenger Elevators. All passenger elevator hoistway landing openings, giving access to the car platform, shall be provided with hoistway doors which will fill the full height and width of the openings.
(2) Hoistway Doors or Gates Required on Freight Elevators. All freight elevator hoistway landing openings, giving access to the car platform, shall be provided with hoistway doors which will fill the full height and width of the openings or shall be provided with gates.
(3) Landing Sills and Guards and Tracks on Landings.
(A) Metal sills, of sufficient strength to support the load to be carried by the sill when loading or unloading the car, shall be permanently secured in place at each hoistway door opening. Sills shall be substantially level with the floor surface of the elevator landing or shall be beveled to meet the floor surface, and for passenger elevators shall be so designed and maintained as to provide secure foothold for the entire width of the door opening.
Landing sills of freight elevators shall be designed and installed to withstand the loads specified in Section 3037(b)
(B) The hoistway wall opposite the car entrance shall be smooth. Recesses or projections in excess of 1 in. (25mm) shall be beveled at an angle of not less than 60 degrees nor more than 75 degrees from the horizontal. The wall opposite the car entrance and below the landing sills shall conform to the following:
1. Where a car leveling device is provided, the hoistway shall be plumb with the edge of the landing sill and shall have a straight vertical face extending below the landing sill not less than the length of the leveling zone plus 3 in. (76mm).
2. Where no car leveling device is provided, the hoistway shall be plumb with the edge of the landing sill and shall have a straight vertical face extending below the landing sill not less than 3 in. (76mm).
3. The straight vertical face required below the landing sills of passenger elevators shall be of smooth metal not less than No. 16 M.S. gage.
4. Vertically sliding biparting doors or vertically sliding doors which slide down to open shall be considered to meet the requirements of Sections 3020(a)(3)(B)1, and 3020(a)(3)(B)2, provided the doors meet the requirements of Section 3020(b)(8).
(C) The building corridors shall be lighted to conform to the requirements of CCR, Title 24, Article 620.
(D) The tops of railroad tracks located on elevator landings shall be substantially flush with the floor surface for a distance of at least 6 ft (1.83m) from the sill edge.
(E) Hinged hoistway landing sills may be provided in connection with vertically sliding, biparting, counterbalanced doors of freight elevators provided the sills are hinged on the landing side so that they can be lowered only when the landing doors are in the fully opened position.
(4) Minimum Size of Hoistway Entrances. The clear opening provided by elevator entrances shall be not less than 78 in. (1.98m) high nor less than 30 in. (762mm) wide.
(b) Hoistway Doors.
(1) Materials. Doors shall consist of a solid panel or of a solid panel to a height of 3 ft ((914mm) above the floor, above which they may be of solid or openwork, providing the openings therein do not exceed 1/2 in.2 (3.23cm2).
(2) Use of Glass Panels. Glass panels in hoistway doors shall be limited to vision panels only. See Section 3020(b)(18) for vision panel requirements.

EXCEPTION to subsection 3020(b)(2):
Hoistway doors installed before June 5, 1947.
(3) Strength. Hoistway doors shall be so constructed as to withstand a constant force of 250 lbf (1112N) applied at right angles to and at approximately the center of the door, without causing the door to break or to be permanently deformed. Each panel or section of multipanel or multisection doors shall withstand the force specified.
(4) Construction of Horizontally Sliding Doors.
(A) Horizontally sliding doors shall have leading edges that are smooth and free of sharp projections. The meeting edges of center-opening doors may be provided with a resilient member on one or both doors to form a shallow overlap. Single-slide and two-speed doors shall lap the strike jamb but shall not close into pockets in the strike jamb. The clearance between the corridor face of the doors and the bucks and headers, and between overlapping faces of two-speed doors, shall be not more than 3/8 in. (9.5mm).
(B) Manually operated, horizontal-sliding doors shall be so arranged that the handle on the outside of the door provided for opening or closing the door will not pass the stationary panel or the wall in such a manner as to create a shear hazard.

EXCEPTION to subsection 3020(b)(4)(B):

 Existing elevators, with entrances installed before 1947, where the entrance opening would be less than 30 in. (762mm) wide if this provision were applied.
(5) Construction of Center-Opening Horizontally Swinging Doors.
Center-opening, horizontally swinging doors shall conform to the following:
(A) One door section shall be provided with an overlapping astragal on its vertical edge.
(B) Stops shall be provided at the top of both door sections which will stop the door section when closed, and which will meet the strength requirements of Section 3020(b)(3).
(6) Construction of Vertically Sliding Doors. Vertically sliding doors shall conform to the following:
(A) Truckable sills, of vertically sliding, counterweighted doors, which slide down to open, and of biparting, counterbalanced doors of elevators used to carry freight, shall be designed to withstand the loads specified in Design Section 3101(f).
(B) The clearance between the face of the doors and the landing sill shall be not more than 1/2 in. (13mm) measured when the doors are in the closed position.
(C) Biparting, counterbalanced doors shall conform to the following:
1. They shall be provided with means to stop the closing doors when the distance between closing rigid members of the door sections is not less than 3/4 in. (19mm).
2. A nonshearing, noncrushing member of either the meeting or overlapping type shall be provided on the upper door section to close the distance between the rigid door sections when in contact with the stops.
3. Rigid members which overlap the meeting edge or center latching devices are prohibited.

EXCEPTIONS to subsection 3020(b)(6)(C)3:
1. Existing elevators which can be operated from the car only.
2. Existing power operated doors.
(7) Counterweighting or Counterbalancing of Vertically Sliding Doors.
(A) Single or multisection vertically sliding doors shall be so counterweighted and vertically sliding biparting, counterbalanced doors shall be so counterbalanced that they will not open or close by gravity. Fastenings shall be provided to prevent the detachment or dislodgement of counterbalancing weights of doors.
(B) The suspension means and their connections shall have a factor of safety of not less than 5.
(8) Beveled Guards for Vertically Sliding Doors. Where the lower side of the truckable sill projects more than 1/2 in. (13mm) beyond the nearest surface below it, the sill shall be provided with a guard of not less than No. 16 M.S. gage metal beveled at an angle not less than 60 degrees nor more than 75 degrees from the horizontal.
(9) Pull Straps on Manually Operated, Vertically Sliding Doors. Manually operated, vertical sliding doors of elevators which can be operated from the landings shall be provided with pull straps on the inside and outside of the door where the lower edge of the upper door panel is more than 78 in. (1.98m) above the landing when the door is in the fully open position. Pull straps shall be provided only on the inside of the hoistway door on elevators which can be operated from the car only.
(A) The bottom of the strap shall not be more than 78 in. (1.98m) above the landing when the door is in the open position.
(B) The length of the strap shall not be extended by rope or similar materials.
(C) Looped pull straps are prohibited.
(10) Types of Hoistway Doors for Passenger Elevators. For passenger elevators, doors shall be one of the following types:
(A) Horizontally sliding, single or multisection.
(B) Horizontally swinging, single section.
(C) Combination horizontally sliding and swinging.
(D) Power-operated, vertically sliding biparting counterbalanced doors which operate in conjunction with the car gate as outlined in Section 3022(e).
(E) At landing openings used exclusively for freight, manually operated, vertically sliding biparting counterbalanced doors may be used.
(11) Types of Hoistway Doors for Freight Elevators.
For freight elevators, doors shall be one of the following types:
(A) Horizontally sliding, single or multisection.
(B) Horizontally swinging, single section.
(C) Combination horizontally sliding and swinging.
(D) Center-opening, two-section, horizontally swinging, subject to the restrictions of Section 3020(b)(12).
(E) Vertically sliding, biparting counterbalanced.
(F) Manually operated, vertically sliding, counterweighted, single or multisection.
(12) Limitations of Use of Center-Opening Swinging Doors. Center-opening, two-section, horizontally swinging hoistway doors shall be permitted for freight elevators only.
(13) Closing of Hoistway Doors. Horizontally sliding or swinging doors of automatic operation elevators shall be provided with door closers arranged to close and lock an open hoistway door automatically if the car for any reason leaves the landing zone.

Exceptions TO SUBSECTION 3020(b)(13):
1. Center-opening, horizontally swinging doors.
2. The swinging portion of combination horizontally sliding and swinging type doors.
(14) Location of Horizontally Sliding or Swing Hoistway Doors. Horizontally sliding or swinging elevator hoistway doors shall be located so the maximum distances between the hoistway side of the hoistway door and the hoistway edge of the landing threshold and the car door or gate are as follows:

View Graphic
GENERAL NOTE:When the hoistway door or the car door or gate consists of two or more sections, the distances specified in this table shall be measured from the section of the door which travels the greater distance in closing.

EXCEPTIONS to subsection 3020(b)(14):
1. For new installations of center-opening horizontally swinging doors on freight elevators with automatic or constant pressure operation from the landings, the distance measured from the top portion of the doors to the edge of the hoistway threshold may be increased to not more than 4 in. (102mm) provided the distance to the bottom 36 in. (914mm) of the doors is not more than 1 in. (25mm) and all setbacks of more than 1 in. (25mm) are beveled at an angle of not less than 60 degrees with the horizontal.
2. For existing installations where the inside face of the hoistway door is more than 4 in. (102mm) from the edge of the threshold (6 in. (152mm) for car switch elevators), the following methods of reducing the clearance are acceptable.
a. Horizontal bars set approximately 10 in. (254mm) between centers for the full height of the door, with the inside face of the bars within 2 in. (51mm) of the threshold.
b. Vertical bars at 5 in. (127mm) centers for the full height of the door and reinforced with at least three horizontal bars, with the inside face of the bars within 2 in. (51mm) of the threshold.
c. An interlocked or contact locked car door or gate, inaccessible from inside the car, and the panel or bars described in Section 3020(b)(14). Exception 3 provided on the hoistway door.
3. For existing installations having excessive clearance between the hoistway door and the car door, the hoistway door shall be equipped with a 36-in. (914mm) high built-up panel on the lower portion of the door or three horizontal bars approximately equally spaced with the upper bar approximately 36 in. (914mm) above the floor and the lower bar approximately 10 in. (254mm) above the floor and with the inside face of the panel or of the bars within 2 in. (51mm) of the threshold.
(15) Projection of Hoistway Doors and Equipment Beyond Landing Sills. Hoistway doors and equipment shall not project into the hoistway beyond the line of the landing threshold opposite the car entrance.

EXCEPTIONS to subsection 3020(b)(15);
1. Door operators and interlocks on existing installations.
2. Interlock operating mechanism and interlocks provided that the running clearance from the car sill to the interlock shall be not less than 1/2 in. (13mm).
(16) Opening of Hoistway Doors From the Hoistway Side.
(A) Hoistway doors shall be arranged so that they may be opened by hand from the hoistway side when the car is within the interlock unlocking zone except when the door is locked “out of service.”
(B) Means shall not be provided for locking “out of service” either the doors at the main entrance landing or at the top or bottom terminal landing.
(C) Handles or other means provided for operation of manually operated doors shall be located so that it is not necessary to reach back of any panel, jamb, or sash to operate them.
(17) Hangars, Guides, and Guide Shoes for Sliding Hoistway Doors.
(A) All horizontally and vertically sliding hoistway doors shall be hung and guided so that the doors will not be displaced from their guides or tracks when in normal service, nor when the doors are subjected to a constant horizontal force of 250 lbf (1112 N) applied at right angles to and at approximately the center of the door or to the center of each door section where multisection doors are used. Bottom guide shoes, or an auxiliary guide, shall be made of or reinforced with metal to prevent the door from being displaced from its guides.
(B) Combination horizontally sliding and swinging doors shall be so interconnected that:
1. The swinging panel can be opened only when the sliding panel is in the open position, and
2. Both panels shall swing simultaneously

EXCEPTION to subsection 3020(b)(17)(B):

 Interconnections are not required when both the sliding and the swinging panels are equipped with hoistway door interlocks.
(C) Hangers for horizontally sliding hoistway doors shall be provided with means to prevent the doors from jumping the tracks. Stops shall be provided to prevent the hangers from leaving the ends of the track or suitable stops may be provided on the door only. Hangers and tracks shall be so designed and installed as to support the door in case of fire.
(D) The hangers, tracks, and their supporting brackets and fastenings for horizontally sliding, power-operated hoistway doors shall be constructed to withstand, without damage or appreciable deflection, an imposed load equal to 4 times the weight of the door as applied successively downward and upward at the vertical center line of the assembled door or of each door section.
(E) Door sections or panels of multisection horizontally sliding hoistway doors shall be so connected to each other as to insure simultaneous movement of all sections or panels.

EXCEPTION to section 3020 (b)(17)(E):
Door sections or panels that are:
1. directly driven by the car door; and
2. equipped with an approved hoistway-unit-system hoistway door interlock on each driven door; and
3. provided with door closer(s) installed to comply with Section 3020(b)(13).
(Title 24, Part 7, Section 7-3020)
(18) Hoistway Door Vision Panels.
(A) Vision panels shall be provided in the following types of elevator hoistway doors.

EXCEPTIONS to subsection 3020(b)(18)(A):
Car switch elevators installed before June 5, 1947.
1. All horizontally swinging doors.
2. Manually operated, even though self-closing, doors of the horizontally sliding type or vertically sliding types except at landings where car position indicators are provided.
(B) Vision panels are required in one section only of multiple section doors, but may be provided in all sections. Vision panels may be provided for any type of hoistway door irrespective of the type of operation of the elevator.
(C) Hoistway doors installed before June 5, 1947, need not be altered to provide vision panels, but a clear section conforming to Section 3020(b)(18)(D)(1), Section 3020(b)(18)(D)(5) and Section 3020(b)(18)(D)(6) shall be provided in cases where existing manually operated grillwork or glass paneled doors are altered by covering or painting.
(D) Vision panels shall conform to the following:
1. The area of any single vision panel shall be not less than 25 in2 (161cm2), and the total area of one or more vision panels in any hoistway door shall be not more than 100 in2 (648cm2).
2. Each clear panel opening shall reject a ball 6 in. (152mm) in diameter.

EXCEPTIONS to subsection 3020(b)(18)(D)2:
 Elevators installed before June 5, 1947.
3. Muntins used between panel sections shall be of substantial construction.
4. Vision panel openings shall be glazed with clear wired glass not less than 1/4 in. (6.3mm) thick.

EXCEPTION to subsection 3020(b)(18)(D)4:
 Existing vision panels glazed with safety glass.
5. The center of the panel shall be located not less than 54 in. (1.37m) nor more than 66 in. (1.68m) above the landing; except that for vertically sliding, biparting doors, it shall be located to conform with the dimensions specified herein insofar as the door design will permit.
6. Vision panels in horizontally swinging doors shall be located for convenient vision when opening the door from the car side.
7. Glass panels in power-operated doors shall be substantially flush with the landing side surface of the door.
(19) Hoistway Door Counterweight Guides and Enclosure. Hoistway door counterweights, where used, shall run in guides or shall be boxed in. The bottom of the guides or boxes shall be so constructed as to retain the counterweight if the counterweight suspension means breaks.
(c) Hoistway Gates.
(1) Use of Hoistway Gates Limited by Building Codes. Freight elevator hoistway entrances may be equipped with gates instead of doors where permissible under governing building codes.
(2) Types of Hoistway Gates. Hoistway gates shall be one of the following types.
(A) Vertically sliding, single or multisection, excluding biparting.
(B) Horizontally sliding, single or multisection.
(C) Where structural conditions preclude the use of vertically sliding or horizontally sliding gates, horizontally swinging or horizontally sliding collapsible gates may be used.
(3) Size of Hoistway Gates. Gates shall fill the entire width of the opening and shall conform to the following:
(A) On new installations gates shall be not less than 6 ft (1.83m) high.
(B) Existing gates shall be not less than 66 in. (1.68m) high; or,
(C) Gates at the top terminal landings of existing elevators, where structural conditions make 66-in. (1.68m) -high gates impractical, may be not less than 41 in. (1.04m) nor more than 45 in. (1.14m) high.
(4) Construction of Hoistway Gates.
(A) Hoistway gates shall be constructed and maintained as to withstand a constant force of 100 lbf (445 N) applied at right angles to and at approximately the center of the gate without deflecting the gate past the line of the threshold or a constant force of 250 lbf (1112 N) similarly applied without forcing the gate from its guides or breaking the gate.
(B) Hoistway gates shall be constructed with slats having spaces between the slats not exceeding 2 in. (51mm), or of openwork steel which will reject a ball 2 in. (51mm) in diameter. A 1-in. (25mm) space is permissible between the bottom of the gate and the floor.

EXCEPTION to subsection 3020(c)(4)(B):

 Existing shipper rope controlled elevators operated from the landings may have access openings in the gates 5 in. (127mm) wide and 36 in. (914mm) high, located with the bottom of the opening approximately 30 in. (762mm) from the floor. Where a two-section gate is used, the access slot need not be over 26 in. (661mm) high.
(C) Horizontally sliding, collapsible gates shall be constructed so as to use as few collapsible members as possible, but no gate opening shall be over 3 in. (76mm) in width. Alternate vertical members shall act as guiding members at both top and bottom.
(5) Location of Hoistway Gates.
(A) Collapsible gates shall be installed so that the distance from the inside of the gate and the line of the edge of the car platform shall be not less than 4 in. (102mm) nor more than 5 in. (127mm).
(B) 41-in. (1.04m) to 45-in. (1.14m) high gates at the top landing of elevators having a car top or a meat track shall be maintained so that the distance from the inside of the gate and the hoistway edge of the landing threshold shall be not less than 4 in. (102mm) nor more than 6 in. (152mm).
(C) The distance from the hoistway side of the gate to the hoistway edge of the landing threshold shall be not more than 4 inches, nor less than 2 in. (51mm), except as specified in Section 3020(c)(5)(B).
(D) The space between the bottom of the gate and the floor shall not exceed 1 in. (25mm).

EXCEPTION to subsection 3020(c)(5)(D):

 Existing gates installed on elevators before June 5, 1947, may have a space not to exceed 4 in. (102mm).
(6) Operation of Hoistway Gates. Hoistway gates shall be opened and closed manually or by power from a source in no way derived from the motion of the elevator car.
(7) Requirements for Gates Less Than 66 In. (1.68m) High. On existing installations, where gates less than 66 in. (1.68m) high have been installed, the car top, where provided, shall be hinged back at least 18 in. (457mm) from the landing threshold, and no rigid horizontal or projecting member between the vertical sides of the car enclosure shall extend closer than 12 in. (305mm) from the landing thresholds.

EXCEPTIONS to subsection 3020(c)(7):
1. Elevators equipped with car doors or gates.
2. Existing meat tracks but not meat track supports.
(8) Hoistway Gate Counterweights and Suspension Means.
(A) Gate counterweights shall run in guides or in weight boxes and be arranged to retain the weight in the box or in the guides in case of the breaking of the counterweight suspension means.
(B) Vertically sliding hoistway gates shall be so counterweighted or counterbalanced that they will not open or close by gravity.
(Title 24, Part 7, Section 7-3020.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Exceptions of (b)(6)(C), amendment of (b)(14) and (b)(18) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27).
3. Amendment of subsection (b)(17) submitted to OAL for printing only (Register 87, No. 51). 
4. Change without regulatory effect amending subsections (b)(18)(C) and (b)(18)(D)2 filed 4-19-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 16).
5. Amendment of subsection (a)(3)(C) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
6. Editorial corrections (Register 95, No. 26).
§3021. Hoistway Door and Gate-Locking Devices.
Note     •     History

(a) Required on Passenger Elevator Hoistway Doors. All passenger elevator hoistway doors shall be equipped with approved hoistway-unit-system hoistway door interlocks.

Exceptions to Subsection 3021(a):

Exceptions: 
1. Existing manually operated hoistway doors of elevators having a rated speed of not more than 150 fpm (0.76 m/s) and a rise of not more than 20 ft (6.10 m) which are provided with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
2. Manually operated doors at the lowest landing, or at the ground floor of elevators with only one floor below the ground floor, provided that no other entrances are in line on floors above or below and the doors are equipped with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
3. Existing basement doors provided with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
(b) Required on Freight Elevator Hoistway Doors. All freight elevator hoistway doors shall be equipped with approved hoistway-unit-system hoistway door interlocks.

Exceptions to Subsection 3021(b):
1. Manually operated hoistway doors for freight elevators having a rated speed of not more than 150 fpm (0.76 m/s) and a rise of not more than 20 ft (6.10 m) which are provided with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
2. Manually operated doors at the lowest landing, or at the ground floor of elevators with only one floor below the ground floor, provided that no other entrances are in line above or below and the doors are equipped with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
3. Existing installations, completed before June 5, 1947, of interlocks or contact locks which approximately fulfill the functions required for approved interlocks or contact locks.
(c) Required on Freight Elevator Hoistway Gates.
(1) All existing freight elevator hoistway gates shall be equipped with either approved hoistway-unit-system interlocks or with approved combination mechanical locks and electric contacts (contact locks).
(2) All new freight elevator hoistway gates shall be equipped with approved hoistway-unit-system interlocks.

Exceptions to Subsection 3021(c)(2):
1. Manually operated hoistway gates for freight elevators having a rated speed of not more than 150 fpm (0.76 m/s) and a rise of not more than 20 ft (6.10 m) which are provided with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
2. Manually operated gates at the lowest landing, or at the ground floor of elevators with only one floor below the ground floor, provided that no other entrances are in line above or below and the gates are equipped with interlocks and zone switches as described for doors in section 3021(d)(1)(D).
3. Existing installations, completed before June 5, 1947 of interlocks or contact locks which approximately fulfill the functions required for approved interlocks or contact locks.
(d) Hoistway Door Interlocks and Operating Cams.
(1) Operation of the driving machine when a hoistway door is unlocked is permissible only under the following conditions:
(A) By a car-leveling or truck-zoning device.
(B) By a combination hoistway access switch and operating device on constant-pressure or car-switch type elevators.
(C) When a hoistway access switch is operated.
(D) Those manually operated doors specified in Exceptions No. 1 and No. 2, section 3021(a), and in Exceptions No. 1 and No. 2, section 3021(b), may be equipped with interlocks that are unlocked by a stationary cam on the car, provided the circuits are so arranged that the power will be cut off the machine and the brake applied, if the door is not closed or if the car travels more than one foot away from the floor before the door is locked.
(E) When the elevator is equipped with an advance start or pulse start feature that allows the building up of the starting motor torque while the doors are in the last phase of the closing operation and may result in the car moving a short distance away from the floor if the closing of the doors is interrupted. This feature will be allowed only after written approval has been granted by the division.
(F) Existing elevators equipped with emergency release buttons permitted by the exception to section 3021(i).
(G) Elevators which can be started from the car only may be provided with an auxiliary lock at the lowest landing used in connection with the unlocking means for the lowest landing door so arranged that the car can leave the landing with the auxiliary lock in the unlocked position provided the circuits are so arranged that the power will be cut off and the brake applied should the car travel more than one foot away from the landing before the auxiliary lock locks.
(2) Interlocks shall conform to the following requirements:
(A) Interlock contacts shall be positively opened by the locking member or by a member connected to and mechanically operated by the locking member, and the contacts shall be maintained in the open position by the action of gravity or by means of the opening member.
(B) The interlock shall hold the door in the locked position by means of gravity or by a restrained compression spring on a rod or in a tube, or by both, or by means of the opening member.
(C) The interlock shall lock the door in the closed position before the driving machine can be operated by the normal operating device.
Devices which permit operation of the driving machine by the normal operating device before the door is closed, or when the door is closed but before it is locked, are not interlocks and are not permitted where interlocks are required by these regulations.

Exception to Subsection 3021(d)(2)(C):
As provided in section 3021(d)(1).
(D) Elevator hoistway doors or gates shall not be arranged to be unlocked from outside the hoistway except where the unlocking means is of a type which cannot function unless the elevator car is at or within 30 in. (762 mm) of the landing.

Exception to Subsection 3021(d)(2)(D):
Doors or gates at the lowest landing that are equipped with auxiliary locks zoned so the power will be cut off the machine and the brake applied if the door is not closed or if the car travels more than one ft (305 mm) away from the floor, before the door is locked.
(E) Interlocks used with multi-section doors shall conform to the following requirements:
1. They shall lock all sections of the door, but may be applied to only one section of the door, provided the device to interconnect the door sections is so arranged that the locking of one section insures that all sections are closed and cannot be opened.

Exceptions to Subsection 3021(d)(2)(E):
1. Existing swing sections with auxiliary contacts on the section held closed by an overlapping astragal on the door equipped with an interlock.
2. Vertically sliding bi-parting doors installed before June 5, 1947.
2. Where used with vertically sliding biparting counterbalanced doors, they shall be so arranged that the interlock contacts are mechanically held in the open position by the door or devices attached thereto unless the door is in the closed position.
3. Where used with center-opening horizontally swinging doors, both door sections shall be equipped with interlocks.
4. Where a door-closer, used with a combination sliding and swinging door, is arranged to be disconnected to allow the sliding panel to swing, it shall be so designed and installed that it shall not make the interlock contact when disconnected and released.
(F) Interlock systems employing a single master switch for more than one door are prohibited.
(3) Retiring cams used to actuate an interlock shall exert a force at least double the average force required to operate the interlock and shall have a movement at least 1/2 in. (13 mm) more than the average movement required to operate the interlock. An interlock retiring cam shall be permanently marked by the manufacturer with:
(A) Its rated horizontal force.
(B) Its rated horizontal movement.
(4) The vertical face of any retiring cam, used for operating an interlock shall not exceed 18 in. (457 mm) in length unless the elevator is arranged to level automatically and is equipped with power-opened landing doors.

Exceptions to Subsection 3021(d)(4):
1. Elevators equipped with a truck-loading device.
2. Cams installed on elevators before June 5, 1947.
(5) Interlocks shall be so located that they are not accessible from the landing side when the hoistway doors are closed.
(e) Hoistway Gate Combination Mechanical Locks and Electric Contacts (Contact Locks).
(1) Hoistway gate combination mechanical locks and electric contacts are permitted for hoistway gates of existing freight elevators only.
(2) Operation of the driving machine when a hoistway gate is not in the closed position is not permissible.

Exception to Subsection 3021(e)(2):
By a car-leveling or truck-zoning device.
(3) Contact locks shall conform to the following requirements.
(A) Contact locks, except existing locks installed before 1947, shall be so designed and installed that the locking member and the electric contact are in a single unit. They shall be so installed and adjusted that the electric contact cannot close until the gate is in the closed position and so that the locking member is in a position to lock the gate when or before the contact closes.
(B) The electric contact shall be positively opened by the locking bar of the mechanical lock, or by a lever or other device attached to and operated by the gate, and the contact shall be maintained in the open position by means other than depending solely on the operation of a spring or springs.
(C) The function of a contact lock to hold a gate in the locked position shall not depend solely on a spring or springs, except that a coil (helical) spring in compression may be used if retained on a rod or in a tube to prevent separation in case of failure.
(D) Contact locks used with multisection gates shall conform to the following requirement.
1. They shall lock all sections of the gate, but may be applied to only one section provided the device used to interconnect the gate sections is so arranged that the locking of one section insures that all sections are closed and cannot be opened.
(4) The vertical face of any cam used for operating a contact lock shall not exceed 18 in. (457 mm) in length.

Exception to Subsection 3021(e)(4):
Elevators equipped with a truck-loading device.
(f) Tests and Approvals.
(1) Each type and make of hoistway door interlock and hoistway gate combination lock and electric contact (contact lock) shall be approved by the Division of Occupational Safety and Health. See Design section 3110.
(2) Approved devices shall be marked for identification. The marking shall be permanent and shall include the following:
(A) Manufacturer's name or trademark.
(B) Type of style letter or number.
(C) Rated Voltage.
(D) Rated test force and test movement on installations requiring a retiring cam.
(g) Closed Position of Hoistway Doors. Hoistway doors shall be considered to be in the closed position under the following conditions:
(1) For horizontally sliding or swinging doors, when the leading edge of the door is within 3/8 in. (9.5 mm) of the nearest jamb or when the panels of horizontally sliding center-opening doors are within 3/8 in. (9.5 mm) of contact with each other.

Exception to Subsection 3021(g)(1):
The doors shall be considered to be in the closed position at 4 in. (102 mm) from the jamb on existing elevators provided:
1. The elevator can be started from the car only.
2. The doors are provided with closers to fully close and lock the door after the car has started.
3. The doors cannot be reopened from the landing side within the 4 in. (102 mm) zone.
4. If such elevators can be converted to collective operation for night service, the closed position shall be not more than 2 in. (51 mm) when on the automatic operation.
(2) For vertically sliding biparting counterbalanced doors, when the closing doors are not more than 3/4 in. (19 mm) from their stopped position. See section 3020(b)(6)(C).

Exception to Subsection 3021(g)(2):
This distance may be increased to 1 1/4 in. (31 mm) when new safety astragals are installed to replace existing solid astragals.
(h) Closed Position of Hoistway Gates. Hoistway gates shall be considered to be in the closed position under the following conditions.
(1) For vertically sliding, counterbalanced gates, when the space between the bottom of the gate and the sill is not more than 2 in. (51 mm).
(2) For horizontally sliding or swinging gates, when the space between the edge of the gate and the nearest face of the strike jamb does not exceed 2 in. (51 mm).
(i) Interlock By-Pass Switch (Emergency Release). No emergency release switch shall be provided in or on any elevator to render the hoistway door interlocking circuit or the car door or gate contact circuit inoperative.

Exception to Subsection 3021(i):
Existing elevators which can be started from the car only that are provided with a constant pressure key switch or a constant pressure button requiring a pressure of at least 10 lbf (44.5 N) to operate. This device shall be located above the normal operating device not less than 6 ft (1.83 m) above the car floor.
(j) Elevator Parking Device. An elevator parking device shall be provided on car switch elevators at one landing, and may be provided at other landings, except on elevators having hoistway doors which are automatically unlocked when the car is within the landing zone.
Parking devices shall conform to the following requirements:
(1) They shall be mechanically or electrically operated.
(2) They shall be so designed and installed that friction or the breaking of any spring used in the device will not permit opening or unlocking a door when the car is outside the landing zone of that floor.
(3) Springs, where used, shall be of the restrained compression type which will prevent separation of parts in case the spring breaks.
(k) Hoistway Access Switches.
(1) Elevators equipped with power-operated hoistway doors or elevators equipped with manually operated vertical biparting doors shall be provided with access switches at one upper landing to permit access to the top of the car, and at the lowest landing to permit access to the pit if this landing is the normal point of access to the pit.

Exception to Subsection 3021(k)(1):
Access to the top of elevators with a travel 15 ft (4.57 m) or less.
(A) Observation elevators with manually operated hoistway doors shall be provided with access switches at one upper landing to permit access to the top of the car.
(2) Hoistway access switches shall conform to the following:
(A) The switch shall be installed only at access landings.
(B) The switch shall be installed in the hoistway entrance frame or within 12 in. (305 mm) of the entrance frame of the elevator with which it is identified, and not less than 3 ft (914 mm) nor more than 78 in. (1.98 m) above floor level.
(C) The switch shall be of the continuous-pressure, spring return type, and shall be operated by a cylinder type lock having not less than a 5-pin or 5-disc combination with the key removable only when the switch is in the off position. The lock shall not be operable by any key which will operate locks or devices used for other purposes in the building except where locks are provided in the car top emergency exit covers the key may also unlock the exit cover. The key shall be available to and used only by elevator inspectors, maintenance men, and repairmen.
(3) The operation of the switch at either access landing shall permit, and may initiate and maintain, movement of the car with the hoistway door at this landing unlocked or not in the closed position; and with the car door or gate not in the closed position, subject to the following:
(A) The operation of the switch shall not render ineffective the hoistway door interlock at any other landing.
(B) The car cannot be operated at a speed greater than 150 fpm (0.76 m/s).
(C) For automatic and continuous pressure operation elevators, provided:
1. Landing operating devices of continuous pressure operation elevators, and car and landing operating devices of automatic operation elevators, shall first be made inoperative by means other than the access switch. This means shall be located in the car and shall be key operated or located behind a locked cover.
2. Power operation of the hoistway door and the car door or gate is inoperative.
(D) Automatic operation by a car-leveling device is inoperative.
(E) The top-of-car operating device is inoperative.
(F) The movement of the car initiated and maintained by the top access switch shall be limited in the down direction to a travel not greater than the height of the car crosshead above the car platform, and limited in the up direction above the access landing to the distance the car apron extends below the car platform.
(4) Where electrically operated switches, relays, or contractors are used to render inoperative the hoistway door interlock or the car door or gate contact, the control circuits shall be arranged to conform to the requirements of section 3040(f)(3); and, in addition, to render the normal car and hall operation ineffective if any such switch, relay, or contractor fails to function in its intended manner.
(l) Passenger elevators installed after January 1, 1989 shall have the hoistway and/or car doors arranged as follows:
(1) When a car is outside the unlocking zone, the hoistway doors or car doors shall be so arranged that the hoistway doors or car doors cannot be opened more than 4 in. (102 mm) from inside the car.
(2) When the car doors are so arranged that they cannot be opened when the car is outside the unlocking zone, the car doors shall be openable from outside the car without the use of special tools.
(3) The unlocking zone shall extend from the landing floor level to a point no greater than 18 in. (457 mm) above or below the landing floor level.
(4) The arrangement required by subsection 3021(l)(1) shall not restrict the opening to the extent that the floor numbers required by subsection 3041(c)(5) cannot be located and observed.
(5) The arrangement required by subsection 3021(l)(2) shall not constitute a violation of subsection 3022(c)(5) if the doors can be opened sufficiently to determine the numbers required by subsection 3041(c)(5).
Title 24, part 7, section 7-3021
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Amendment of subsection (k)(1) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsections (a), (d)(2)(D), (d)(2)(E), (J), (k)(4) and new Exceptions of subsection (c) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Repealer and new subsection (k)(2) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
4. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27).
5. Change without regulatory effect filed 6/21/90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 35).
6. Editorial correction of printing error in subsection (l) (Register 91, No. 32).
7. Amendment of subsection (k)(1) and Reference citation added; filed 7-1- 91; operative 7-31-91 (Register 91, No. 43).
§3022. Power Operation of Doors and Gates.
Note     •     History

(a) Types of doors and gates permitted.
(1) Where both a hoistway door and a car door or gate are opened and/or closed by power, the hoistway door and the car door or gate shall:
(A) Both be of the horizontally sliding type or
(B) Both be of the vertically sliding type.
(b) Power Opening.
(1) Power opening of a car door or gate shall be subjected to the following:
(A) Power opening shall occur only when the car is at rest at the landing or is leveling except that on elevators with static control, power shall not be applied to open car doors until the car is within 12 in. (305 mm) of the landing.
(B) Collapsible-type car gates shall not be power opened to a distance exceeding 1/3 the clear gate opening, and in no case more than 10 inches.
(C) Existing power-operated, collapsible car gates shall be provided with a means to prevent shear.
(2) Power opening of a hoistway door shall conform to the following:
(A) Power opening shall occur only at that landing where the car is stopping, is leveling, or is at rest; and shall start only when the car is within the landing zone or is within 30 in. (762 mm) above or 30 in. (762 mm) below the landing where an automatic car leveling device is provided, except that on static control elevators, opening shall not begin until the car is within 12 in. (305 mm) of the landing.
(B) Power opening may be initiated automatically through control circuits provided that when stopping under normal operating conditions, the car shall be at rest or substantially level with the landings before the hoistway door is in the fully open position.
(C) Sequence opening of a vertically sliding, biparting hoistway door and adjacent car gate shall be provided where required by section 3022(e)(1).
(c) Power Closing.
(1) Where a car door or gate is closed by power, or is of the automatically released, self-closing type and faces a manually operated or self-closing hoistway door, the closing of the car door or gate shall not be initiated unless the hoistway door is in the closed position.

Exception to Subsection 3022(c)(1):
Where a car door or gate is closed by power through continuous pressure of a door closing switch, or of the car operating device, and where the release of the closing switch or operating device will cause the car door or gate to stop or to stop and reopen.
(A) The closing mechanism shall be so designed that the force necessary to prevent closing of a horizontally sliding door or gate from the rest shall be not more than 30 lbf (133 N).
(2) Horizontally sliding or vertically sliding biparting hoistway doors may be closed by continuous pressure means subject to the following:
(A) The release of the closing means shall cause the hoistway door and a power-operated or power-closed car door or gate to stop or to stop and reopen.
(B) The operation of the closing means at any landing shall not close the hoistway door at any other landing nor the car door or gate when the elevator is at any other landing.
(C) For elevators having more than one hoistway opening at any landing level, a separate closing means shall be provided in the car for each car door or gate and its adjacent hoistway door. Any closing means at a landing shall close only that hoistway door and the car door or gate at the side where such means is located.

Exception to Subsection 3022(c)(2)(C):
A separate closing means need not be furnished in the car for a horizontally sliding hoistway door and adjacent car door or gate which conform to the requirements of section 3022(c).
(D) Sequence closing of a vertically sliding, biparting hoistway door and adjacent car gate shall be provided where required by section 3022(f).
(E) Vertically sliding biparting hoistway doors shall be used only in conjunction with a vertically sliding car gate that is closed by similar means.
(3) Power closing by momentary pressure or by automatic means of horizontally sliding hoistway doors or car doors or gates shall be permitted only for automatic or constant-pressure operation elevators. The closing of the doors or gates shall be subject to the following:
(A) It shall conform to the requirements of section 3022(d).
(B) A momentary pressure switch shall be provided in the car, the operation of which shall cause the doors to stop or to stop and reopen.
(4) Power closing of vertically sliding, biparting hoistway doors by momentary pressure or by automatic means shall be subject to the following:
(A) Only in conjunction with a vertically sliding car door or gate that is closed by a similar means.
(B) A warning bell or other audible signal shall be provided on the car which will start to sound at least 5 seconds before the car door or gate starts to close and shall continue to sound until the hoistway door is substantially closed.

Exception to Subsection 3022(b)(4)(B):
The 5-second time interval may be omitted when the doors are closed by a switch in the car.
(C) Sequence closing of the hoistway door and the adjacent car gate shall be provided and shall conform to the requirements of section 3022(f).
(D) The car gate shall be equipped with a reopening device conforming with the requirements of section 3022(e).
(E) A momentary-pressure type switch shall be provided in the car and at each landing which, when operated, shall cause the hoistway doors and the car gate to stop or to stop and reopen.
(F) The average closing speed shall not exceed 1 fps (0.305 m/s) for each panel of a biparting, counterbalanced hoistway door and shall not exceed 2 fps (0.62 m/s) for a vertically sliding, counterweighted car gate.
(5) Car doors shall be arranged to be opened manually from inside the car in the event the power supply to the elevator is disconnected.
(d) Kinetic Energy and Force Limitations for Power Door Operators Used With Horizontally Sliding Hoistway Doors and Horizontally Sliding Car Doors or Gates. Where a power-operated, horizontally sliding hoistway door is closed by momentary pressure or by automatic means or is closed simultaneously with another door from one continuous pressure means, the closing mechanism shall be designed and installed to conform to the following requirements:
(1) The kinetic energy of the hoistway door and all parts rigidly connected thereto, computed for the average closing speed, shall not exceed 7 ft-lbs (9.49 J) where a reopening device for the power-operated car door or gate conforming to the requirements of section 3022(e) is used, and shall not exceed 2 1/2 ft-lbf (3.39 J) where such door reopening device is not used.
Where the hoistway door and the car door or gate are closed in such a manner that stopping either one manually will stop both, the sum of the hoistway and the car door weights, as well as all parts connected rigidly thereto, shall be used to compute the kinetic energy.
The average closing speed shall be determined by timing the closing door as follows:
(A) With single-slide and two-speed doors, determine the time required for the leading edge of the door to travel from a point 2 in. (51 mm) away from the open jamb to a point 2 (51 mm) away from the opposite jamb.
(B) With center-opening or two-speed center-opening doors, determine the time required for the leading edge of the door to travel from a point 1 in. (25 mm) away from the open jamb to a point 1 in. (25 mm) from the center meeting point of the doors.
(2) The force necessary to prevent closing of the hoistway door (or the car door or gate if self-closing or power-operated) from rest shall be not more than 30 lbf (133 N). This force shall be measured on the leading edge of the door with the door at any point between one-third and two-thirds of its travel.
(3) The weight of the doors and all parts rigidly connected thereto shall be submitted to the Division of Occupational Safety and Health.
(e) Reopening Device for Power Operated Car Doors or Gates. Where required by section 3022(c)(4)(D) or section 3022(d)(1), a power-operated car door or gate shall be provided with a reopening device which will function to stop and reopen a car door or gate and the adjacent hoistway door in the event that the car door or gate is obstructed while closing.
For center-opening doors, the reopening device shall be so designed and installed that the obstruction of either door panel, when closing, will cause the reopening device to function.
(f) Sequence Operation for Power Operated Hoistway Doors With Car Doors or Gates.
(1) Sequence operation shall be provided under the following conditions: 
(A) Sequence opening and closing shall be provided for power-operated vertically sliding biparting counterbalanced doors where used on passenger elevators in conjunction with a power-operated vertically sliding car gate. 
(B) Sequence closing shall be provided for power-operated, vertically sliding biparting hoistway doors and vertically sliding car gates which are closed by momentary pressure or by a timing device. 
(2) The sequence operation of a vertically sliding, biparting hoistway door and adjacent power-operated vertically sliding car gate shall conform to the following: 
(A) In opening, the hoistway door shall be opened at least 2/3 of its travel before the car gate can start to open. 
(B) In closing, the car gate shall be closed at least 2/3 of its travel before the hoistway door can start to close. 
Title 24, part 7, section 7-3022.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(3) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsection (a)(2)(A) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment filed 6-23-87; operative 6-23-87 (Register 87, No. 27).
4. Change without regulatory effect filed 6/21/90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 35).
5. Editorial correction of printing error in former subsection (e) relettering to (d) as filed with Secretary of State (Register 91, No. 32).
6. Reference citation added; filed 7-1-91; operative 7-31-91 (Register 91, No. 43).
7. Editorial correction of text and History 5 (Register 95, No. 26).
Article 8. Machinery and Equipment for Power Cable-Driven Passenger and Freight Elevators
§3030. Car and Counterweight Guide Rails, Rail Supports, and Fastenings.
Note     •     History

(a) Guide Rails Required. All elevators and their counterweights shall be provided with guide rails.

Exception: Existing counterweights running in boxes.
(b) Material. Guide rails, guide rail brackets, rail clips, fishplates, and their fastenings shall be of steel or other metals conforming to the requirements of this section.

Exceptions: 

1. Where steel may present an accident hazard, as in chemical or explosive plants, guide rails may be of selected wood or other suitable nonmetallic materials provided the rated speed of the car does not exceed 150 feet per minute.

2. Existing elevators originally installed with wood guide rails.
(c) Requirements for Steel. Steel where used, shall conform to the requirements of Design Section 3109(b).
(d) Requirements for Metals Other Than Steel. Metals, other than steel, may be used provided the factor of safety is not less than, and the deflections not more than, the values specified in Design Section 3109, and provided that cast iron is not used.
(e) Rail Section.
(1) Guide rails shall be T-section, conforming to the nominal weights and dimensions shown in Figure No. 3030 E1 and Table 3030 E1.

Exception: 

Other approved shapes may be used subject to the requirements of Design Section 3109(c).

View Graphic

FIGURE 3030 E1
T-Section Rail
(2) The cross section of existing or replacement wood guides shall be not less than those given in Table 3030 E2. The guides shall be of clear grain maple or its equivalent.

TABLE 3030 E1--STEEL GUIDE RAILS

Nominal Wt.
Per Foot			Nominal Dimension in Inches          
in Lbs.	A	B	C	D	E

8	2	7/16	3 1/2	5/8	1 1/4	5/16
11	3	1/2	4 1/2	5/8	1 1/2	5/16
12	3	1/2	5	5/8	1 3/4	5/16
15	3	1/2	5	5/8	1 31/32	1/2 
18 1/2	4	1/4	5 1/2	3/4	1 31/32	1/2 
22 1/2	4	3/64	5 1/2	1 1/8	2	9/16
30	 5		5 1/2	1 1/4	2 1/4	11/16

TABLE 3030 E2--WOOD GUIDE RAILS

Maximum Total	Cross Section of
Weight Per Pair	Each Guide Rail
of Guide Rails	in Inches
3,000	1 1/2 x 1 3/4
5,000	1 7/8  x  2 1/4
8,000	2 1/4 x 2 1/4
10,000	2 5/8 x 2 3/4
14,000	4x 5 1/4
16,000	5 x  7

(f) Maximum Load on Rails in Relation to the Bracket Spacing. The maximum load on rails in relation to the bracket spacing shall be the smallest of the two values established by Sections 3030(f) (1), 3030(f) (2), and 3030(f) (3).
(1) Where a single car or counterweight safety is used, the maximum suspended weight of the car and its rated load, or the maximum suspended weight of the counterweight, including the weight of any compensating ropes or chains and of any traveling cables suspended therefrom, per pair of guide rails, shall not exceed the maximum specified in Figure No. 3030 F1 for the size of rail and the bracket spacing used.

Exception: The bracket spacing may exceed the values specified in Figure 3030 F1 for a counterweight with a safety device or for a given weight of car plus its rated load per pair of guide rails, provided:

1. The guide rail is reinforced; and

2. The moment of inertia of a single reinforced rail, about an axis (I-I) parallel to the base of the rail, shall be not less than that required by Figure 3109 D for the total weight per pair of guide rails at the bracket spacing used.
(2) Where the car or counterweight is provided with two safety devices (duplex safety), the loads specified in Figure No. 3030 F1 may be increased by the factors specified in Table No. 3030 F2.
(3) The weight of the counterweight and the bracket spacing for each rail size shall not exceed the values determined from Figures 3030 F3 A, 3030 F3 B, and 3030 F3 C or for a counterweight with a safety the values determined from Figure 3030 F1, whichever is most restrictive. In no case shall bracket spacing exceed 16 feet.

FIGURE 3030 F1

Maximum Weight of Car with Rated Load or of Counterweight with
Safety for a Pair of Guide Rails as specified in Section 3030(f)(1).

View Graphic

TABLE NO. 3030 F2

Load Multiplying Factor for Duplex Safeties

	Vertical Distance	Multiple Load in
	Between Safeties in Feet	Figure 3030 F1
	18 or more	 2.0
	15	 1.83
	12	 1.67
	9	 1.50

View Graphic

View Graphic

View Graphic

View Graphic
(4) Where the spacing between counterweight rail brackets tied to the building exceeds 10 feet, intermediate tie brackets, not required to be tied to the structure, shall be added so the distance between adjacent brackets is not more than 7 feet.

Exceptions: 

(1) Existing elevators in which the counterweight rail guiding system complies with Section 200 of ANSI A17.1-1971.

(2) A period of seven years from October 6, 1975 will be allowed for counterweight rails existing on this date to comply with the requirements of Section 3030(f)(4).
(5) The maximum bracket height and minimum section modulus of the supporting leg of counterweight rail support brackets shall be determined from Figure 3030(F)(4) using the weight of the counterweight.
(A) Where gussets or diagonal struts are used, the bracket height shall be considered as the unsupported length of the bracket leg measured from the centerline of the rail.
(B) Where tie rods are used to tie the legs of the brackets together to increase the effective section modulus, the tie rods that are located across the outer ends of the brackets shall be guarded unless located more than 7 inches from the edge of the car top.
(6) The maximum bracket height and minimum section modulus of intermediate tie brackets for counterweight rails shall be determined from figure 3030(F)(4) using 1/3 the weight of the counterweight.

Exception: The counterweight guide systems of elevators need not comply with Section 3030(f)(3), Section 3030(f)(4), Section 3030(f)(5) and Section 3030(f)(6) where proper certification to the Division of Industrial Safety has been made by an engineer qualified under the Civil and Professional Engineers Act that the guide system has been designed and built to withstand the seismic forces for which the building was designed.
(g) Stresses and Deflections. The stresses and deflections in a guide rail or in a rail and its reinforcement shall not exceed those specified in Design Section 3109(a)(1), nor shall the deflections in the brackets and fastenings exceed those specified in Design Section 3109(a)(2).
(h) Guide Rail Guiding Surfaces. Guide rails shall have finished guiding surfaces.
(i) Rail Joints and Fishplates.
(1) Metal guide rails shall be joined together by fishplates of such design and strength as to withstand the forces specified in Design Section 3109(a) within the deflection limits specified.
(2) The joints of metal guide rails shall conform to the following requirements:
(A) The ends of the rails shall be accurately machined with a tongue and matching groove centrally located in the web.
(B) The backs of the rail flanges shall be accurately machined, in relation to the rail guiding surfaces, to a uniform distance front to back of the rails to form a flat surface for the finished fishplates.
(C) The ends of each rail shall be bolted to the fishplates with not fewer than 4 bolts.
(D) The width of the fishplate shall be not less than the width of the back of the rail.
(E) The thickness of the fishplates and the diameter of the bolts for each size of guide rail shall be not less than specified in Table No. 3030 I2.
(F) The diameter of bolt holes shall not exceed the diameter of the bolts by more than 1/16 inch for guide rails nor 1/8inch for fishplates.

TABLE NO. 3030 I2
Minimum Thickness of Fishplates and
Minimum Diameter of Fastening Bolts

Nominal Weight	Minimum Thickness	Minimum Diameter
of Guide Rail in	of Fishplates	Of Bolts
Pounds Per Foot	In Inches	In Inches
8	 9/16	1/2
11	 11/16	5/8
12	 11/16	5/8
15	 11/16	5/8
18 1/2	 13/16	3/4
22 1/2	 13/16	3/4
30	 15/16	3/4

(j) Overall Length of Guide Rails. The top and bottom ends of each run of guide rail shall be so located in relation to the extreme positions of travel of the car and counterweight that the car and counterweight guiding members cannot travel beyond the ends of the guide rails. This shall mean from the bottom of the pit to the underside of the overhead slab or beams.
(k) Guide Rail Brackets and Building Supports.
(1) The building construction forming the supports for the guide rail brackets shall be of such design as to:
(A) Safely withstand the application of the car or counterweight safety when stopping the car and its rated load or the counterweight.
(B) Withstand the forces specified in Design Section 3109(a) within the deflection limits specified.
Where necessary, the building construction shall be reinforced to provide adequate support for the guide rails.

Note: Hoistway enclosure walls of brick, terra cotta, and similar materials, used in buildings of steel and concrete construction, are usually insufficient in strength to form by themselves adequate supports for the guide rails.
(C) Withstand seismic forces created by accelerations of 0.5 g horizontally acting on the car and/or counterweight in their most adverse position in relation to any bracket without deflecting more than 1/4” and without exceeding 88% of the yield strength of the material used.
(2) Guide rail brackets shall be secured to their supporting structure by means of bolts, rivets, or by welding to withstand forces described in Section 3030(k)(1)(C). Fastening bolts and bolt holes in brackets and their supporting beams shall conform to the requirements of Section 3030(z). Welding shall conform to Section 3033(g).
(3) Bracket fastening to building structures designed to provide controlled movement between the brackets and the building shall be of a type acceptable to the Division and shall be of a design supported by engineering calculations.
(l) Fastening of Guide Rails to Rail Brackets.
(1) Guide rails shall be secured to their brackets by clips or by bolts.
(2) The size of bolts used for fastening the guide rails or rail clips to the brackets shall be not less than specified in Table No. 3030 L2.

TABLE NO. 3030 L2
Minimum size of Rail Fastening Bolts

Nominal Weight of Guide Rail	Minimum Diameter of Bolts
in Pounds Per Foot	in Inches
8	 1/2
11	 5/8
12	 5/8
15	 5/8
18 1/2	 5/8
22 1/2	 3/4
30	 3/4

(3) The diameter of holes or the width of slots for fastening bolts shall not exceed the diameter of the bolt by more than 1/16inch. Where slots are used for adjustment of the distance between guide rails, the brackets shall be secured in their final position by a bolt not less than 3/8 inch diameter or by welding.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment of subsection (k)(2) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Amendment of subsections (f) and (k), Figure 3030 F1, Figure 3030 F2, Figure 3030 F3A, Figure 3030 F3B, Figure 3030 F3C, and Table 3030 F4 which were filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
4. Repealer of subsections (f)(3)(A), (f)(3)(B), Table 3030 F4, (f)(4) and new subsections (f)(4), (f)(5) and (f)(6) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
5. Editorial correction of subsection (b) and Table 3030 E1 (Register 95, No. 26).
6. Change without regulatory effect amending subsection (e)(1) to provide more legible illustration in Figure 3030 E1 filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3031. Car and Counterweight Buffers and Bumpers.
Note     •     History

(a) Type Required.
(1) Buffers or bumpers shall be installed under the cars and counterweights of all cable-driven power elevators.

Exception: Counterweights of existing elevators which have never had bumpers or buffers. 
(2) Spring buffers, oil buffers, or their equivalent, shall be used on all cable-driven power elevators.

Exception: Solid bumpers of rubber, wood, or other material having similar shock absorbing qualities may be used on:
1. Existing installations of solid bumpers.
2. Existing elevators having a rated speed of 50 feet per minute or less which have never had bumpers.
(3) Oil buffers or their equivalent shall be used where the rated speed is in excess of 200 feet per minute.

Exceptions: 
1. Installations of bumpers or spring buffers made before June 5, 1947.
2. Where Type C safeties are used, solid bumpers may be used under the car.
(b) Location.
(1) Buffer or bumpers shall be located symmetrically with reference to the vertical centerline of the car frame or the counterweight frame, within the tolerance of 2 inches. The car bumpers or buffers shall be located so that the bottom runby does not exceed 24 inches.
(2) Buffers or bumpers shall be located in the pit.

Exceptions: 
1. Oil buffers mounted on the counterweight.
2. Existing buffers mounted under the car.
(c) Stroke of Spring Buffers. Spring buffers shall be constructed so that the stroke of the buffer spring, as marked on its marking plate, shall be equal to or greater than the following:

Rated Car Speed	Stroke
Feet Per Minute	In Inches
100 or less	 1 1/2
101 to 150	 2 1/2
151 to 200	 4

(1) The spring buffer shall be mounted so that the spring will be compressed solid before the car or counterweight rests on the buffer support.
(d) Load Rating of Spring Buffers. Spring buffers for cars and counterweights shall:
(1) Be capable of supporting, without being compressed solid, a static load having a minimum of twice the total weight of:
(A) The car and its rated load for car buffers.
(B) The counterweight for counterweight buffers.
(2) Be compressed solid with a static load of 3 times the weight of:
(A) The car and its rated load for car buffers.
(B) The counterweight for counterweight buffers.

Exception: When Section 3019(a)(2) necessitates a greater load rating.
(e) Marking Plate for Spring Buffers. Each spring buffer shall have permanently attached to it a metal plate marked in a legible and permanent manner to show its stroke and load rating. (The load rating is the load required to compress the spring an amount equal to its stroke.)
(f) Stroke of Oil Buffers. The minimum stroke of oil buffers shall be based on the requirements outlined in Design Section 3108(a). Table 3031 F indicated the minimum buffer strokes for the most usual rated speeds.

Exception: When oil buffers are used in conjunction with an emergency terminal stopping device conforming to the requirements of Section 3039(c) which will limit the speed at which the car or counterweight can strike its buffer the following shall apply:
1. Reduce stroke oil buffers may be used on modernization installations in existing hoistways provided that the stroke of the buffer shall be as long as possible for the existing conditions.
2. Reduced stroke oil buffers may be used for new installations when installed as follows: The buffer stroke shall be based on at least 115% of such reduced striking speed on an average retardation not exceeding 32.2 ft/s2 (9.81 m/s2). In no case, shall the stroke used be less than 50% of the stroke required by Section 3031(f) for rated speeds under 800 fpm (4.06 m/s), nor less than 33-1/3% or 18 inch (457 mm), whichever is greater, for rated speeds of 800 fpm (4.06 m/s) or more.
Note: See Section 3031(m). Testing of Oil Buffers.

TABLE NO. 3031F
Minimum Buffer Strokes

	115% of	 Minimum Strokes
Rated Speed In	Rated Speed in	of Oil Buffers
Feet Per Minute	Feet Per Minute	In Inches

	200	 230	  2 3/4
	225	 259	  3 1/4
	250	 288	  4 1/4
	300	 345	  6 1/4
	350	 402	  8 1/4
	400	 460	 11
	450	 517	 13 3/4
	500	 575	 17
	600	 690	 24 3/4
	700	 805	 33 1/4
	800	 920	 43 3/4
	900	 1035	 55 1/2
	1000	 1150	 68 1/2
	1100	 1265	 83
	1200	 1380	 98 1/2
	1300	 1495	115 1/2
	1400	 1610	134 1/2
	1500	 1725	154
	1600	 1840	175 1/4
	1700	 1955	197 3/4
	1800	 2070	221 3/4
	1900	 2105	247
	2000	 2300	273 3/4

* Where buffers of the stroke specified are not provided, the requirements of Section 3031(f) exceptions apply.
GENERAL NOTE:1 fpm=5.08 E-03 m/s1 in.=25.4 mm
(g) Retardation by Oil Buffers. Buffer retardation rates shall conform to the requirements of Design Section 3108(b).
(h) Factor of Safety for Oil Buffer Parts. The factor of safety of oil buffer parts shall conform to the requirements of Design Section 3108(c).
(i) L/R for Members Under Compression as Columns. The L/R ratio for oil buffer members shall conform to Design Section 3108(d).
(j) Plunger Return Requirements. Oil buffers shall be so designed that:
1. The buffer plunger of the gravity-return and spring-return type oil buffers, when the buffer is filled with oil, shall, when released after full compression, return to its fully extended position within 90 seconds.
2. The plunger of a spring-return type oil buffer with a 50 pound weight resting on it shall, when released after being compressed 2 inches, return to the fully extended position within 30 seconds.
3. Car and counterweight buffers of the spring-return type shall be provided with a switch, operated by the buffer in case it is compressed more than 3 inches, and so connected to the control circuit that the speed of the descending car or counterweight shall not exceed 1/2 the rated speed unless the buffer plunger returns to within 3 inches of its normal position.

Exception: Elevators with buffers installed before June 5, 1947.
(k) Means for Determining Oil Level. Oil buffers shall be provided with means for determining the oil level, and that the level is within the maximum and minimum allowable limits. Glass sight gages shall not be used.
(l) Approval of Oil Buffers. Every type oil buffer shall be approved by the Division of Industrial Safety before installation. The approval shall be based on tests witnessed by a representative of the division, or certified test reports as specified in Design Section 3108(g) may be accepted.
(m) Testing of Oil Buffers. On each installation of an elevator equipped with oil buffers, a field test of the buffers shall be made, and witnessed by a representative of the division, consisting of running the car with rated load onto its buffer at rated speed and the counterweight onto its buffer at rated speed with the car empty. In making these tests, the normal terminal limit switches shall be made temporarily inoperative, and the final terminal limits shall remain operative but shall be temporarily relocated if necessary to permit full compression of the buffer during the tests.

Exception: (Section 3031(m))

 Reduced stroke buffers shall be struck at speeds reduced to conform to the stroke of the buffer used, and the test shall demonstrate that no part of the car or counterweight will contact the overhead structure. Failure to so demonstrate shall require adjustments or modifications acceptable to the division.
(n) Load Ratings of Oil Buffers. The minimum and maximum load ratings of car and counterweight oil buffers as indicated on the buffer marking plate shall conform to the following:
1. The minimum load rating shall be not greater than:
(A) For car oil buffers, the total weight of the car as marked on the crosshead data plate plus 150 pounds.
(B) For counterweight oil buffers, the weight of the counterweight used.
2. The maximum load rating shall be not less than:
(A) For car oil buffers, the total weight of the car as marked on the crosshead data plate plus the rated load.
(B) For counterweight oil buffers, the weight of the counterweight used.
(o) Oil Buffer Marking Plate. Every installed oil buffer shall have securely attached thereto a metal plate, marked by the manufacturer in a legible and permanent manner, indicating:
1. The maximum and minimum loads and the maximum striking speed for which the buffer has been approved.
2. The manufacturer's identifying type or number of the buffer.
3. The permissible range in viscosity of the buffer oil to be used, stated in Saybolt Seconds Universal at 100 F.
4. The viscosity index number of the oil to be used.
5. The pour point in degrees F. of the oil to be used.
6. The stroke.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f), Table No. 3031 F and subsection (m) filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20). Approved by State Building Standards Commission 4-4-83. 
§3032. Counterweights.
Note     •     History

(a) Frames. Counterweight weight sections shall be mounted in structural or formed metal frames, so designed as to retain the weights securely in place.

Exception: Existing counterweights secured together by rods and guided on slots in the guide weights or by separate guide shoes.
(1) The counterweight frame shall be constructed so the nominal clearance between the face of the rail and the frame does not exceed 1/2” on each side at the approximate center of the frame.
(2) The counterweight frame and subweights shall be constructed so the subweights occupy not less than 2/3 of the counterweight frame space.
(b) Tie Rods. At least two tie rods shall be provided which shall pass through all weight sections and through the top and bottom structural members. Tie rods shall be provided with lock nuts and cotter pins at each end.

Exceptions: 
1. Counterweights installed before June 5, 1947, shall be securely retained in place. See Section 3032(g).
2. Tie rods are not required where other means are provided to retain weight sections in place if they become broken.
3. The tie rods need not pass through the top structural member provided some equally effective method of retaining the weights in the frame is provided.
(1) Existing rod-type counterweights installed since June 5, 1947, shall be secured together with not less than four rods, at least two of which pass through holes in each weight section.
(2) Where material other than cast metal or steel subweights secured by tie rods in a structural frame is used as a counterweight, the plans for the counterweight shall be submitted to the Division for approval.
(c) Guiding of Counterweights. All elevator counterweights shall run in guides.

Exception: Existing counterweights running in boxes.
(1) Counterweight frames shall be guided on each guide rail by upper and lower guiding members attached to the frame. The guiding members or auxiliary guiding members and their attachment to the counterweight frame shall be designed to withstand seismic forces of not less than 0.5g horizontally. The clearances between the machined faces of the rail and auxiliary guiding members shall be not more than 3/16.” The engagement of the rail shall be not less than the dimension of the machined side face of the rail.

Exceptions: 
(1) Elevators where proper certification to the Division of Industrial Safety has been made by an engineer qualified under the Civil and Professional Engineers Act that the counterweight guides have been designed and built to withstand the seismic forces for which the building was designed.
(2) A period of seven years from October 6, 1975 will be allowed for counterweights of elevators existing on this date to comply with the requirements of Section 3032(c)(1).
(d) Design Requirements for Frames and Rods. The frame members and their connections shall be designed with a factor of safety of not less than 5 with the elevator at rest and the counterweight at the top of its travel.
Frames and rods shall be made of steel or other metals conforming to the requirements for materials in car frames in Section 3033(f).
Connections between frame members shall conform to the requirements in Section 3033(g).
(e) Sheaves. Where a hoisting sheave or sheaves is mounted in the frame, the requirements of Design Section 3101(b)(1) shall apply.
(f) Suspension Rope Hitch Plates or Shapes. Where counterweights are suspended by ropes attached directly to the frames by means of rope fastenings, the rope attachments shall conform to Section 3033(m).
(g) Securing of Weights in Frames. The weights shall be mounted and secured in the frames to prevent shifting of the weights by an amount which will reduce the running clearances to less than those specified in Section 3018(b).
(h) Overhead Stops for Counterweights of Drum Type Elevators. There shall be secured at the upper limit of travel of the counterweights of all elevators having winding drum machines, an I-beam or other obstruction so that the counterweights cannot be drawn up into the overhead sheaves or drum.
(i) Cars Counterbalancing One Another. An elevator car shall not be used to counterbalance another elevator car.
(j) Compensating Chain or Rope Fastenings. Compensating chains or ropes shall be fastened to the counterweight frame directly or to a bracket fastened to the frame and shall not be fastened to the tie rods.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (b) and (c) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment of subsection (b) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Amendment of subsections (a), (b) and (c) which were filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
4. Amendment of exception within subsection (c)(1) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
§3033. Car Frames and Platforms.
Note     •     History

(a) Car Frames Required. Every elevator suspended by wire ropes shall have a car frame consisting of a cross head, uprights (stiles), and a plank located approximately at the middle of the car platform, and in no case farther from the middle than 1/8 of the distance from front to back of the platform.
(b) Guiding Members. Car frames shall be guided on each guide rail by upper and lower guiding members attached to the frame.
(c) Design of Car Frames and Guiding Members. The frame and its guiding members shall be designed to withstand the forces resulting under the loading conditions for which the elevator is designed. See Section 3037.
(d) Underslung or Sub-Post Car Frames. The vertical distance between the top and bottom guide shoes of an elevator car having a subpost car frame, or having an underslung car frame located entirely below the car platform, shall be not less than 40 percent of the distance between guide rails.
(e) Car Platforms. Every elevator car shall have a platform consisting of a nonperforated floor attached to a platform frame supported by the car frame, and extending over the entire area within the car enclosure. The platform frame members and the floor shall be designed to withstand the forces developed under the loading conditions for which the elevator is designed and installed.

Exception to Subsection 3033(e):
Platform frames are not required where laminated platforms are provided. Laminated platforms may be used for passenger elevators having a rated load of 5,000 lbs. (2270 kg) or less. The deflection at any point of a laminated platform, when uniformly loaded to rated capacity, shall not exceed 1/960 of the span. The stresses in the steel facing shall not exceed 20% of its ultimate strength. The stresses in the plywood core shall not exceed 60% of the allowable stresses specified in Table 3. Allowable stresses for Plywood, in the American Plywood Association, Plywood Design Specification (PDS), Form No. Y510, August 1986/Revised December, 1990, which is hereby incorporated by reference.
(f) Materials for Car Frames and Platform Frames.
(1) Materials used in the construction of car frames and platforms shall conform to the following:
(A) Car frames and outside members of platform frames shall be made of steel or other metals.
(B) Platform stringers of freight elevators designed for Class B or C loading shall be of steel or other metals.
(C) Platform stringers of passenger elevators and of freight elevators designed for Class A loading shall be made of steel or other metals, or of wood.
(D) Cast iron shall not be used for any part subject to tension, torsion, or bending.

Exceptions: 
1. Guiding supports.
2. Guide shoes.
3. Compensating rope anchorages.
(2) Steel, where used in the construction of car frames and platforms, shall conform to the requirements of Design Section 3101(a).
(3) Metals other than steel may be used in the construction of car frames and platforms provided the metal used has the essential properties to meet all the requirements for the purpose in accordance with acceptable engineering practices, and providing the stresses and deflections conform to the requirements of Sections 3101(a)(4) and 3101(a)(5).
(4) Wood used for platform stringers and for platform floors and subfloors shall be of clear, structural quality lumber conforming to the requirements of Design Section 3101(a)(2).
(g) Car Frame and Platform Connections. Connections between members of car frames and platforms shall be riveted, bolted, or welded, and shall conform to Design Section 3101(a)(4) and to the following:
(1) Bolts used through flanges of structural members where the flanges slope more than 5o shall have boltheads of the tipped-head type or shall be fitted with beveled washers.
(2) Nuts used on the flanges of structural members where the flanges slope more than 5o shall seat on beveled washers.
(3) Welding of parts upon which safe operation depends shall be done in accordance with the appropriate standards established by the American Welding Society. All welding of such parts shall be done by welders qualified in accordance with the requirements of the American Welding Society. At the option of the manufacturer, the welders may be qualified by one of the following:
(A) By the manufacturer.
(B) By a California licensed Professional Engineer.
(C) By an approved testing laboratory.

Exception: Tack welds not later incorporated into finished welds carrying calculated loads.
(h) Protection of Platforms Against Fire. The underside of wood platforms and the exposed surfaces of wood platform stringers of passenger elevators shall be protected against fire by one of the following methods:
(1) By covering with sheet steel of at least No. 27 M.S. gage or with equally fire retardant material.
(2) By painting with fire retardant paint. See Design Section 3101(a)(3).
(3) Fire retardant treated wood.
(i) Platform Guards (Aprons). The entrance side of the platform of passenger and freight elevators equipped with leveling devices or truck-zoning devices shall be provided with smooth metal guard plates of not less than No. 16 M.S. gage steel, or material of equivalent strength and stiffness, adequately reinforced and braced to the car platform and conforming to the following:
(1) It shall extend not less than the full width of the widest hoistway door opening.
(2) It shall have a straight vertical face, extending below the floor surface of the platform, of not less than the depth of the leveling or the truck zone, plus 3 inches.
(3) The lower portion of the guard shall be bent back at an angle of not less than 60 degrees nor more than 75 degrees from the horizontal. The bent portion shall be not less than 3 inches long.
(4) The guard plate shall be securely braced and fastened in place to withstand a constant force of not less than 150 pounds applied at right angles to and at any position on its face without deflecting more than 1/4 inch, and without permanent deformation.
(j) Maximum Allowable Stresses in Car Frame and Platform Members. The stresses in car frame and platform members, based on the static load imposed upon them, shall not exceed those specified in Design Section 3101(a)(4).
(k) Maximum Allowable Deflections of Car Frame and Platform Members. The deflections of car frame and platform members, based on the static load imposed upon them, shall be not more than those specified in Design Section 3101(a)(5).
(l) Car Frames With Crosshead Sheaves. Where a hoisting rope sheave is mounted on the car frame, the construction shall conform to Design Section 3101(b).
(m) Hoisting Rope Hitch Plates or Shapes. Where cars are suspended by hoisting ropes attached to the car frame by means of rope shackles, the shackles shall be attached to steel hitch plates or to structural or formed steel shapes. Such plates or shapes shall be secured to the underside or to the webs of the car frame member with bolts, rivets, or welds so located that the tensions in the hoisting ropes will not develop direct tension in the bolts or rivets. The stresses shall not exceed those permitted by Design Sections 3111(c) and 3111(d).
(n) Calculation of Stresses in Car Frame and Platform Frame Members. The calculation of the stresses and deflections in the car frame plank and uprights, and platform frames, shall be based on the formulas and data in Design Section 3101.
(o) Platform Side Braces. Where side bracing and similar members are attached to car frame uprights, the reduction in area of the upright shall not reduce the strength of the upright below that required by Design Section 3101(a)(4).
(p) Hinged Platform Sills. Hinged platform sills shall conform to the following requirements:
(1) They shall be provided with electric contacts which will prevent operation of the elevator by the normal operating device unless the hinged sill is within 2 inches of its fully retracted position, provided that when in this position the sill shall not reduce the clearance specified in Section 3018(d).
(2) The elevator may be operated by the leveling device in the leveling zone with the sill in any position.
(Title 24, Part 7, Section 7-3033)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Amendment of subsections (g)(1) and (g)(2) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. New Exception to subsection (e), statement prior to Note and Note filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
3. Editorial corrections (Register 95, No. 26).
§3034. Car Enclosures and Car Doors and Gates.
History

(a) Passenger and Freight Enclosures, General. All elevator cars shall be permanently enclosed on all sides and the top, except that portion which is used as an entrance or entrances.

Exceptions: 
1. Existing freight elevators which shall comply with Section 3034(c).
2. Emergency exit panels.
(1) The enclosure shall be securely fastened to the car platform and so supported that it cannot loosen or become displaced in ordinary service or on application of the car safety or on buffer engagement.
(2) The enclosure walls shall be of such strength and be so designed and supported that when subjected to a pressure of 75 pounds applied horizontally at any point on the walls of the enclosure, the deflection will not reduce the running clearance below the allowed minimum.
(3) No elevator car shall have more than one compartment. Two compartments in the same horizontal plane will be permitted, provided that access to the landings can be had through only one of them.

Exceptions: Passenger elevators or freight elevators may have two compartments, one of which is located immediately above the other provided the compartmented elevator conforms to the following requirements:
1. The elevator shall be used exclusively for passengers or exclusively for freight at any one time.
2. Each compartment shall conform to the requirements of this Section except that a trap door in the floor of the upper compartment shall provide access to the top emergency exit for the lower compartment.
3. Where either or both compartments are intended for passenger service, the minimum rated load for each compartment shall conform to the requirements of Section 3037(a).
 Where one compartment is intended for freight use, its minimum rated load shall conform to the requirements of Section 3037(a) or shall be based on the freight loads to be handled, if greater than the minimum rated load required by Section 3037(a).
 Where both compartments are used exclusively for freight, the minimum rated load of each compartment shall conform to the requirements of Section 3037(a).
 The rated load of the elevator shall be the sum of the rated loads of the individual compartments.
4. An emergency stop switch conforming to the requirements of Section 3040(b)(5) shall be provided in each compartment and these emergency stop switches shall be so connected that the car cannot run unless both are in the run position.
5. All hoistway doors shall be closed and locked and the car doors for each compartment closed before the car can be operated.
(4) An emergency exit with a cover shall be provided in the top of all new elevators except observation-type elevators and in the top of all passenger elevator cars installed since June 5, 1947. On elevators installed after April 16, 1970, the emergency exit shall conform to the following:
(A) The exit opening shall have an area of not less than 400 square inches, and shall measure not less than 16 inches on any one side.
(B) The exit shall be so located as to provide a clear passage of not less than 400 square inches unobstructed by fixed elevator equipment, including lighting equipment located in or on top of the car.
(C) The exit cover shall open outward and shall be hinged or otherwise attached to the car top and so arranged that the cover can be opened from the top of the car and from inside the car by means of a spring return 5 pin or disc tumbler lock that allows the exit to be opened from the car with a key and from the top of the car without a key.
The key shall be accessible to authorized personnel and no other key to the building shall unlock the emergency exit lock, except where access switches are furnished, the key used to operate the access switch may also unlock the car top emergency door lock.

Exception: 
1. Exit covers arranged to be opened from the top of the car only on elevators not equipped with emergency operation described in Section 3041(d)(6).
2. The exit cover of a lower deck of a multideck elevator shall be openable from either compartment.
(D) Car top emergency exits shall be prohibited on observation type elevators. Where access to the car top is required for re-roping or other maintenance work as may be determined by the Division, access panels in the car top shall be provided secured in place so as to require a tool to remove the panel.
(5) Tops of car enclosures, including exit covers, shall be so designed and installed as to be capable of sustaining a load of 300 pounds on any square area 2 feet on a side and 100 pounds applied at any point. Simultaneous application of these loads is not required.
(6) Equipment or material which is not required for the operation of the elevator or its appliances, except where specifically provided herein, shall not be located above the top of an elevator car.
(7) Glass may be used in elevator cars provided:
(A) Glass, other than safety glass, shall be used only for covers for certificates, lighting fixtures, or other appliances necessary for the operation of the elevator providing no one piece shall exceed 1 square foot in area and the total area, excluding electric lamps, shall not exceed 4 square feet.

Exception: Existing wire glass or shatterproof glass in car doors.
(B) Safety glass meeting the requirements of ANSI A97.1, except for transparency, may be installed inside the elevator car enclosure, provided the glass is mounted in such a manner that the glass and its mountings will withstand the required elevator tests without becoming dislodged or damaged.
(C) Car enclosures for special elevators may be of glass provided they comply with Section 3034(b)(5).
(8) Apparatus or equipment, other than that used in connection with the operation of the elevator, shall not be installed inside the elevator car.

Exceptions: 
1. Railroad or conveyor tracks in freight elevator cars.
2. Lighting, heating, ventilating, air conditioning and sound equipment for the car.
(9) Permanent guardrails, either fixed or capable of being raised from a retracted position, shall be provided around all sides of the work area of the car top where a hoistway enclosure is not furnished to provide a safe work area for maintenance work on the car and in the hoistway.
(A) Where guardrails must be raised into position, the top of car operating station shall not be operative unless the guardrails are raised.
(b) Passenger Car Enclosures.
(1) The enclosures for passenger elevators may be of metal, wood, or other substantial material subject to the following:
(A) For new installations, they shall be of solid material from the floor to the car top.
(B) For existing installations, they shall be of solid material to a height of not less than 3 feet above the car floor. Above the solid panel and extending to the top frame of the cab, openwork may be used, provided the design shall be such that the openings will not be more than 1/2 inch square to a height of at least 6 feet from the car floor and the openings above 6 feet shall be not more than 2 inches in width.
(C) The tops of all passenger elevator cars shall be made solid, except those existing tops covered with wire screening having meshes not larger than 1/2 inch in the greatest dimension.
(2) Where car doors are used, means for ventilation shall be provided. Vent openings shall not be located in the portion of the enclosure walls extending from a point 1 foot above the floor to a point 6 feet above the floor. Vent openings less than 1 foot above the floor shall reject a ball 1 inch in diameter. Vent openings above the 6 foot level shall reject a ball 2 inches in diameter.
Vent openings shall reject a ball 3/4 inch in diameter, or shall be protected by substantial baffles, or shall be located above a ceiling, to prevent objects projecting from the car into the hoistway.
Ventilating fans or blowers, if used, shall be securely fastened in place and located above the ceiling or outside the enclosure.
(3) Side emergency exits, to allow passage between elevator platforms, shall be installed in the adjacent enclosures of elevators in adjacent hoistways where there are not intervening hoistway partitions, counterweights, or any fixed obstructions other than separator beams, and where the vertical distance between adjacent landings exceeds 30 feet.

Exceptions: 
1. Elevators equipped with safety devices that do not require resetting from the car.
2. Where the horizontal distance between elevator car platforms exceeds 2 feet 6 inches, side exit doors are prohibited.
Side emergency exit doors shall:
(A) Be of the hinged type.
(B) Open only into the car.
(C) Extend from the floor or base molding to a clear height of not less than five feet and shall have a width sufficient to provide not less than 14 inches of clear passageway when the door is open.
(D) Be so located as to provide free passageway and so that passage of persons is not obstructed by hoisting or counterweight ropes, car frame members, or by fixed elevator equipment.
(E) Be provided with a lock so arranged that the door may be opened from inside the car only by a specially shaped, removable key, and from outside by a nonremovable handle. Locks shall be so designed that they cannot be opened from the inside by the use of ordinary tools or instruments. There shall be no obstruction on the inside of the enclosure which will prevent opening the door from either side.
(F) Be provided with approved-type electric contacts to prevent operation of the elevator when the door is open and so located as to be inaccessible from the inside of the car.
(G) Be of the same material and construction as required for the enclosure.
Keys for unlocking side emergency exit doors shall be kept on the premises in a location available to qualified persons in case of emergency.
(4) Vision panels are not required, but where used shall:
(A) Have a total area of not more than 144 square inches, and no single glass panel shall have a width exceeding 6 inches.
(B) Be provided with clear wire-glass or laminated safety glass panels.
(C) Be located in the car door or in the front return panel of the car enclosure.
(D) In power-operated car doors, have the inside face of the glass located substantially flush with the inside surface of the door panel.
(5) Passenger elevator car enclosures of glass may be installed in hoistways designed for the purpose of view or aesthetic values. These special car enclosures shall conform to the following as a minimum:
(A) It is recommended that the amount of glass be held to a minimum and that the lower portion of the car enclosure be of metal construction to a height of at least 42 inches above the floor. If solid metal construction is not provided, adequate guardrails will be required on the inside of the car.
(B) Detailed drawings listing materials and fastenings shall be submitted to the division for approval prior to installation and certification that the glass used conforms to Section 3034(b)(5)(D).
(C) The glazing material shall be such that shock from setting the safety or landing the car on the buffer will not dislodge any panel. In the design of the elevator car, provisions shall be made to allow the car-holding safety device to set a maximum 2 inches out of level without causing the cab structure to wrack in any manner.
(D) The glass product-type shall be a laminated glass with a minimum total nominal thickness of .550 or 9/16-inch. The composition will be two lites of minimum 1/4-inch glass with a tolerance of + 1/32-inch. The inner lite may be heat treated or plate glass. The outer lite may be tinted, or reflective, but shall not have a rated strength and impact resistance less than 1/4-inch plate glass. Heat treated glass may be annealed, heat strengthened or fully tempered.
Joining or laminating the two glass lites together shall be an interlayer of polyvinyl butyral not less than .060 inches thick.
The glass product-type shall meet the requirements of ANSI Z97.1-1972 for safety glazing materials and Federal Specification DD-G-00451(b).
(E) Glazing of these glass units shall have the following minimum glazing dimensions in the metal or gasketed frames with pressure stops:
1. Rabbet depth not less than 7/8 inch
2. Clearance at head, sill and jambs 7/16 inch
3. Setting block height 1/4 inch to 5/8 inch
4. Edge clearance not less than 1/8 inch
Glass shall be centered in the sash opening with centering shims (a minimum of three shims per edge). Shims and setting blocks will be 80 to 90 durometer neoprene, permanently attached to the sash rabbet, and functioning as a cushion between the metal and the glass.
The vinyl shall be protected at all edges with a continuous protective covering or tape along all edges. The tape shall be impervious to oil, water, or solvent. Glass should not be exposed to surface temperatures exceeding 130'F for prolonged periods of time.
(F) These are minimum standards for glass and glazing in elevators. For unusual designs or other applications, it is suggested that a responsible professional engineer be consulted. The technical representative of glass suppliers may be consulted regarding size availability and glazing details. Maximum glass area, per lite, shall be reviewed in each application with reference to applicable codes or building authority requirements.
(c) Freight Car Enclosures:
(1) Enclosures shall be of metal without perforations to a height of not less than 6 feet above the platform floor, except for the necessary entrances. Above the 6 foot level, the walls and top of the enclosure shall be metal with or without perforations, except that portion of the enclosure wall in front of and extending 6 inches on each side of the counterweight which shall be without perforations. Perforated portions of enclosures shall reject a ball 1 1/2 inches in diameter.
(2) Existing freight elevator cars shall be enclosed not less than 6 feet high, except for the necessary entrances. The enclosure may be of wood, metal, or other recognized material, solid or openwork, but if openwork is used, the design shall be such as to reject a ball 1/2 inch in diameter, except enclosures installed before June 5, 1947, shall reject a ball 2 inches in diameter.
That portion of the enclosure in front of the counterweight, or in front of any obstruction within 4 inches of the car, shall extend to the car top. Where no car top is provided, the enclosure shall extend to the crosshead height or to a height of 8 feet if the cross head height is less than 8 feet.
This enclosure shall extend 6 inches each side of the a counterweight; and if openwork is used, shall reject a ball 1/2 inch in diameter.

Exception: Where the enclosure of a power freight elevator is cut away at the front of the car to make the shipper rope accessible, such opening in the enclosure shall be cut to within 30 inches of, and not less than 24 inches from, the car platform and so located as to reduce the hazard to a minimum.
(3) Hinged or removable panels shall not be provided in car tops except for emergency exits.

Exception: Existing elevators without contacted car doors or gates in hoistways, where the upper terminal landing entrance is protected by a gate 41 inches to 45 inches high, any portion of the car top within 18 inches of the line of the edge of the threshold shall be hinged so that it will fold back if obstructed in its descent.
(d) Car Doors and Gates, General Requirements.
(1) A door or gate shall be provided at each entrance to the car.

Exceptions: 
1. Elevators installed before June 5, 1947, with no car doors or gates in which the operator is always in control of the car except in the leveling zone. This exception applies only to the entrance nearest the operator on passenger elevators.
2. Automatic operation freight elevators having an entrance over 7 feet wide that were installed before June 5, 1947, and have never had doors or gates on the car.
3. Existing elevators that have been converted from shipper rope operation and which never had car gates. This exception applies to conversion of operation only without addition to the number of stations from which the car can be operated.
(2) Each car door or car gate shall be equipped with an approved-type electric contact, located so that the contact is not readily accessible from inside the car. Car door or gate contacts shall conform to the following:
(A) Operation of the elevator driving machine when the car door or gate is not in the closed position shall be possible only by a car-leveling or truck-zoning device or when a hoistway access switch is operated.

Exception: The limited movement of elevators equipped with advance start or pulse start feature. See Section 3021(d)(1)(E).
(B) They shall be positively opened by a lever or other device attached to and operated by the door or gate.
(C) They shall be maintained in the open position by the action of gravity or by a restrained compression spring, or by both, or by positive mechanical means.
(3) The closed position for car doors or car gates shall be when the edge of the door or gate is closed within 2 inches of the nearest face of the jamb or sill, or on center-opening doors, when the doors are closed within 2 inches of each other.

Exception:  For elevators which can be started from the car only, and whose car door or gate is provided with a door closer, and whose hoistway doors are provided with door closures and interlocks meeting the requirements of the exception to Section 3021(g), the car door or gate contact may permit starting of the car when the car door or gate is closed to within 4 inches of the nearest face of the jamb; or on center-opening doors when the doors are closed within 4 inches of each other.
(4) The distance from the face of the car door or gate to the face of the hoistway door shall conform to the requirements of Section 3020(b)(14).
(5) Doors and gates and their guides, guide shoes, tracks, and hangers, shall be so designed and installed that when the fully closed door or gate is subjected to a force of 75 pounds, applied on an area of 1 square foot at right angles to and approximately at the center of the door or gate, it will not deflect beyond the line of the car sill. When subjected to a force of 250 pounds similarly applied, doors and vertically sliding gates shall not break nor be permanently deformed and shall not be displaced from their guides or tracks. Where multisection doors or gates are used, each panel shall withstand the forces specified.
(6) Car doors or gates shall be arranged so that when the car is stopped, they may be opened by hand from inside the car. The force required at the edge of horizontally sliding doors to open the door(s) shall not exceed 75 pounds.

Exceptions: 
1. Power-operated doors of passenger elevators, provided they are arranged to be opened from inside the car in case of power failure.
2. Locked doors or gates provided on existing elevators under Section 3018(e), Exception 4.
(e) Passenger Car Doors and Gates.
(1) There shall be not more than two entrances to the car.

Exception: Elevators installed before June 5, 1947, with more than two original entrances.
(2) Horizontally sliding doors shall be provided at each car entrance opening of automatic operation elevators and at any car entrance opening remote from the operator of elevators having other types of operation.

Exceptions: 
1. In existing hoistways, where structural conditions do not permit the installation of doors, collapsible-type car gates may be provided.
2. Vertically-sliding, power-operated gates of the balanced, counterweighted type may be used provided their operation is sequenced with power-operated bi-parting hoistway doors as outlined in Section 3022(c) and the construction of the gate conforms to Sections 3034(f)(3) and 3034(f)(5).
(3) Doors and gates, when in the fully closed position, shall protect the full width and height of the car entrance opening.

Exception: The height of vertically-sliding, power-operated gates permitted by Section 3034(e)(2).
(4) There shall be no openings in doors, except for vision panels, if used. Door panels shall have a substantially flush surface without recessed or raised moldings and shall be of material conforming to Section 3034(b)(1).
(5) Collapsible-type gates, where allowed, shall conform to the following:
(A) When fully extended (closed position), reject a ball 3 inches in diameter.

Exception: Gates installed on elevators before June 5, 1947.
(B) Have alternate vertical members act as guides at both top and bottom.

Exception: Gates installed on elevators before June 5, 1974.
(C) Not be power opened unless arranged in some manner to prevent shear. See Section 3022(a)(1)
(D) Handles for collapsible gates shall be provided with finger guards.
(E) Not be used with power-operated, vertically-sliding hoistway doors.
(F) May be arranged to swing inward when in the fully open (collapsed) position.
(f) Freight Car Doors and Gates.
(1) Doors shall be of the horizontally sliding type or may be of the vertically sliding type if manually operated.
(2) Gates shall be of the horizontally sliding collapsible type or of the vertically sliding type. For elevators designed for either Type B or Type C loading, gates shall be of the vertically sliding type.
(3) Car doors and gates shall conform to the following:
(A) Doors and gates shall protect the full width of the car entrance opening.
(B) Horizontally sliding doors, when fully closed, shall protect the full height of the opening.
(C) Doors shall be of material conforming to Section 3034(c)(1).
(4) Collapsible type gates shall conform to the following:
(A) When fully extended (closed position), reject a ball 4 1/2 inches in diameter up to a height of not less than 6 feet.
(B) Have alternate vertical members act as guides at the bottom and no less than every fourth vertical member act as guides at the top.
(C) Not be power opened unless arranged in some manner to prevent shear. See Section 3022(a)(1).
(D) Be provided with handles with finger guards.
(E) May be arranged to swing inward when in the fully open (collapsed) position.
(5) Vertically sliding doors or gates shall conform to the following:
(A) They shall be of the balanced, counterweighted type or the biparting counterbalanced type.
(B) Weights used to balance doors or gates shall be located outside the car enclosure and shall run in guides or shall be boxed in. Guides shall be of metal, and be so constructed as to contain the weight if the suspension member fails. Suspension members shall have a factor of safety of not less than 5.
(C) Gates shall be constructed of wood or metal and shall be of a design which will reject a ball 2 inches in diameter.
(D) Vertically sliding gates and vertically sliding doors, when fully closed, shall extend from a point not more than 1 inch above the car floor to a point not less than 6 feet above the car floor.
(g) Illumination of Cars.
(1) Cars shall be provided with an electric light or lights. Not less than two lamps shall be provided.
(2) The minimum illumination measured at the landing edge of the car platform when the car and landing doors are open shall be not less than:
(A) For passenger elevators--5 foot-candles.
(B) For freight elevators--2 1/2 foot-candles.
(3) Passenger elevator cars shall be provided with emergency lighting in accordance with Article E700, Part 3, Title 24, CAC, and conforming to the following:
(A) The emergency system shall provide some general illumination for the car. The intensity of illumination 4 feet above the car floor and approximately 1 foot in front of a car station shall be no less than .2 of a foot-candle. Lights shall be automatically turned on in all elevators in service not more than 10 seconds after normal lighting power fails. The emergency power supply system shall be capable of maintaining the above light intensity for a period of not less than 4 hours.
(B) Not less than two lamps of approximately equal wattage shall be provided to obtain the required illumination.
(4) Light control switches are required and shall:
(A) Be located within the elevator enclosure.
(B) Be located in or adjacent to the operating device in the car or in the space above the light diffusing ceiling where such ceilings are provided.
(C) In passenger elevators having automatic operation, be key operated or in a fixture with a locked cover if located below the light diffusing ceiling.
(5) The panels used for light diffusing shall not come in contact with the lamps or lampholders and shall be of a material that will not support combustion in air.
(6) Light bulbs or tubes in passenger elevators shall be installed behind a protecting cover.

Exception: Light bulbs mounted in a recess approximately the diameter of the bulb and recessed behind the parent surface a distance not less than the diameter of the bulb.
(7) Lamps in freight elevators shall be installed behind a protective guard to prevent breakage.
HISTORY

1. Amendment of subsections (a) and (b) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (a)(4) filed 11-6-74; effective thirtieth day thereafter (Register 74, No. 45).
3. Amendment of subsection (a)(4) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
4. Amendment of subsections (a)(7)(B), (d)(6) Exception No. 2, (g)(5), (g)(6) and repealer of (d)(1) Exception No. 3 and No. 4 and new Exception No. 3 filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
5. Amendment of subsection (a)(4) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
6. Amendment of subsections (a)(3) and (a)(4) filed 12-4-86; effective thirtieth day thereafter (register 86, No. 49). 
7. Editorial corrections (Register 95, No. 26).
§3035. Car and Counterweight Safeties.
History

(a) Where Required and Located.
(1) The car of every elevator suspended by wire ropes shall be provided with one or more approved car safety devices of a type identified in section 3035(e). The safeties shall be attached to the car frame, and one safety shall be located within or below the lower members of the car frame (safety plank).

Exceptions: Existing elevators having a rise of not more than 15 feet that were:
1. Installed before January 1, 1925, or
2. Equipped with a safety device actuated by the slackening or breaking of the hoisting cables.
(2) All car safeties shall be mounted on a single car frame and shall operate only on one pair of guide rails, between which the frame is located.
(3) See Design section 3106 for details of approval of safeties.
(4) Every type of car-holding or counterweight safety device hereafter installed shall be field tested before a permit to operate is issued. This test shall be witnessed by an authorized representative of the Division of Industrial Safety, or the division may accept reports of witnesses recognized as competent by the division. This test shall demonstrate that the safety device will function as required by section 3035(c).
(b) Duplex Safeties.
(1) Where two (duplex) safeties are provided, the lower safety device shall be capable of developing not less than 1/2 of the force required to stop the entire car with rated load. See also Design section 3100(b). Duplexed safety devices shall be arranged so as to function approximately simultaneously. Complete details of the car frame and the safety device linkage shall be submitted to the division for approval.
(2) Type A or Type C safety devices shall not be used in multiple (duplexed).
(c) Function and Stopping Distance of Safeties.
(1) The safety device, or the combined safety devices where furnished, shall be capable of stopping and sustaining the entire car with its rated load from governor tripping speed. The weight of the entire car shall include any compensating ropes, traveling cables, and any other attachments to the car.

Exception: Safeties of elevators equipped with alternating current driving machines may have the full load test conducted at normal down speed by tripping the governor by hand. See section 3036(a)(1) for governor test required.
(2) Type B safeties shall stop the car with its rated load from governor tripping speed within the range of the maximum and minimum stopping distances as determined by the formulas in Design section 3106(a)(1).
(A) Table 3035 C and Figures 3106 A1 through 3106 A7 show the maximum and minimum stopping distances for various governor tripping speeds for reference.
(B) The distance the car traveled, after the safety device began to engage the rails until the car stopped, shall be measured by taking the average of the four rail marks and deducting the length of the safety jaw or wedge.
(3) During the field test, the controls shall be arranged so that the full power in the down direction shall be applied until the safety has fully applied.
(4) The field test on Type A safeties shall include the inertia test as outlined in Design section 3106(c)(3)(A).
(5) The field test of counterweight safeties actuated by a governor shall be conducted with no load in the car. See section 3035(d)(1) for drop test requirements where counterweight safeties are not governor actuated.
(6) A functional test may be required when inspection of the safety parts reveals conditions that may prevent the safety from operating as intended.

TABLE NO. 3035 C
Maximum and Minimum Stopping Distances Type B Car Safeties
With Rated Load, and of Type B Counterweight Safeties

	Maximum Governor	 Stopping Distances

	Rated Speed in	Trip Speed in Feet	  in Feet-Inches

	Feet Per Minute	Per Minute	Minimum	Maximum

	0 to 125	175	0-1	1-3
	150	210	0-2	1-4
	175	250	0-3	1-7
	200	280	0-4	1-10
	225	308	0-5	2-0
	250	337	0-6	2-3 
	300	395	0-8	2-9 
	350	452	0-10	3-4 
	400	510	1-1	4-0 
	450	568	1-5	4-10
	500	625	1-8	5-8 
	600	740	2-4	7-7 
	700	855	3-2	9-10
	800	970	4-1	12-6
	900	1085	5-1	15-3
	1000	1200	6-3	18-6
	1100	1320	7-6	22-4
	1200	1440	8-11	26-4
	1300	1560	10-6	30-11
	1400	1680	12-2	35-7
	1500	1800	14-0	40-10

(d) Counterweight Safeties. Where any space below the hoistway is used for a passageway or is occupied by persons, or if unoccupied is not permanently sealed against access, the following requirements shall be conformed to:
(1) Elevator counterweights shall be provided with safeties conforming to the requirements for car safeties.

Exceptions: 
1. Where otherwise specified in section 3035, counterweight safeties may differ from car safeties.
2. For rated speeds of not over 150 feet per minute, counterweight safeties may be operated as a result of the breaking or slackening of the hoisting ropes and may be of the inertia or other approved type without governors.
Every safety device applied as a result of the slackening or breaking of the hoisting cables shall be drop tested when installed. This test shall be witnessed by a representative of the Division of Industrial Safety, or the Division may accept reports of witnesses recognized as competent by the Division.
3. Existing counterweights equipped with safety devices actuated by the breaking or slackening of the counterweight ropes and which have a rated speed of not more than 250 feet per minute.
4. Wedge clamp safeties shall not be used for counterweight safeties unless they are arranged to be reset from the pit or the machine room.
(e) Identification and Classification of Types of Safeties. Car safety devices (safeties) are identified and classified on the basis of performance characteristics after the safety begins to apply pressure on the guide rails. On this basis, there are three types of safeties.
(1) Type A Safeties. Safeties which develop a rapidly increasing pressure on the guide rails during the stopping interval, the stopping distance being very short due to the inherent design of the safety. The operating force is derived entirely from the mass and the motion of the car or the counterweight being stopped. These safeties apply pressure on the guide rails through eccentrics, rollers, or similar devices, without any flexible medium purposely introduced to limit the retarding force and increase the stopping distance.
(2) Type B Safeties. Safeties which apply limited pressure on the guide rails during the stopping interval, and which provide stopping distances that are related to the mass being stopped and the speed at which application of the safety is initiated.
Retarding forces are reasonably uniform after the safety is fully applied. Continuous tension in the governor rope may or may not be required to operate the safety during the entire stopping interval. Minimum and maximum distances are specified on the basis of governor tripping speed.
(3) Type C Safeties (Type A with Oil Buffers). Safeties which develop retarding forces during the compression stroke of one or more oil buffers interposed between the lower members of the car frame and a governor-operated Type A auxiliary safety plank applied on the guide rails. The stopping distance is equal to the effective stroke of the buffers.
(f) Safeties to Stop Ascending Cars or Counterweights Prohibited. Safeties shall not stop an ascending car or counterweight.
(g) Governor Actuated Safeties and Car Safety Mechanism Switches Required.
(1) Car safeties and counterweight safeties, where provided shall be actuated by separate approved governors.

Exceptions: 
1. Speed governors are not required for the operation of counterweight safeties of elevators having a rated speed of not more than 150 feet per minute.
2. Existing elevators that comply with the exceptions to section 3035(a)(1).
(2) Car safeties shall be provided with a switch, operated by the car safety mechanism when the safety is applied.

Exception: Existing elevators which comply with the exceptions to section 3036(d)(2).
(h) Limits of Use of Various Types of Safeties.
(1) Type A (Instantaneous) Safeties. Type A safeties may be used on elevators having a rated speed of not more than 150 feet per minute. When overspeed occurs, with the hoisting ropes intact, such safeties shall be actuated by the governor.
On the parting of the hoisting ropes (free fall), Type A governor-operated safeties shall apply without appreciable delay; and their application shall be independent of the speed action of the governor and of the location of the break in the hoisting ropes (inertia application) and may be accomplished by the use of a governor and governor rigging having a sufficiently high value of inertia to apply the safety on free fall independently of the speed action of the governor.
(2) Type C (Combination Instantaneous and Oil Buffer Safety). Type C Safeties may be used subject to the following requirements:
(A) The rated speed shall be not more than 500 feet per minute.
(B) The oil buffers shall conform to all requirements specified in Section 3031 for oil buffers, except that the stroke shall be based on governor tripping speed and on an average retardation not exceeding 32.2 feet per second per second.
(C) After the buffer stroke has been completed, provision shall be made for an additional travel of plunger or piston of not less than 10 percent of the buffer stroke to prevent excessive impact on the buffer parts and the auxiliary safety plank.
(D) Where the distance between guide rails exceeds 8 feet, the safety shall be provided with two oil buffers of substantially identical calibration; and the buffers shall be so located as to develop minimum stresses in the auxiliary safety plank during safety operation.
Buffers shall be located in line with and symmetrically between the guide rails.
(E) The auxiliary safety plank shall be so designed that the maximum stresses in the plank shall not exceed those specified for similar car frame members in Design section 3101(a)(4).
(F) The rail-gripping device of the auxiliary safety plank shall be so arranged and connected as to prevent the plank from being out of level more than 1/2 inch in the length of the plank when the safety is operated to stop the car.
(G) An electric switch shall be provided and so arranged and connected that the elevator cannot be operated by means of the normal operating device if any buffer is compressed more than 10 percent of its stroke.
(H) Means shall be provided to prevent operation of the elevator by means of the normal operating device if the oil level in any buffer is below the minimum allowable level.
(3) No car-holding safety device shall be used for a greater total load or speed than that specified in the approval. The weight of the independent car counterweights, where used, may be deducted from the total load of the car and capacity in determining the load on the safety device.
(4) Observation elevators shall have safeties of the type that do not require access to the car or hoistway for resetting. Safeties on elevators exposed to the weather shall have corrosion resistant parts of all points where corrosion could prevent the device from functioning as intended.
(i) Application and Release of Safeties.
(1) Safeties shall be applied mechanically. Electric, hydraulic, or pneumatic devices shall not be used to apply the safeties required by this section, nor to hold such safeties in the retracted position. 
(2) The application of the safety to stop the car, with its rated load centered on each quarter of the platform symmetrically with relation to the center lines of the platform, shall not cause the platform to be out of level more than 3/8 of an inch per foot in any direction.

Exception: Type C safeties.
(3) When car safeties are applied, no decrease in tension in the governor rope nor motion of the car in the down direction shall release the safeties; but such safeties may be released by the motion of the car in the up direction.
(4) Safeties shall be so designed that on their application the forces which provide the stopping action shall be compressive forces on each side of the guide rail section.
(j) Minimum Permissible Clearance Between Rail Gripping Faces of Safety Parts. In the normally retracted position of the safety, the distance between the rail-gripping faces of the safety parts shall be not less than the thickness of the guide rail plus 0.14 (9/64) inch; and the clearance on any side between the gripping face and the guide rail shall be not less than 0.0625 (1/16) inch as measured on the side of the rail toward which the car frame is pressed with sufficient force to take up all clearances in the guide shoe assembly. Safety jaws, while in the retracted position, shall be so restrained as to prevent a reduction of this minimum clearance.
(k) Maximum Permissible Movement of Governor Rope to Operate the Safety Mechanism.
(1) For all drum-operated safeties, the movement of the governor rope, relative to the car, required to operate the safety mechanism from its fully retracted position to a position where the safety jaws begin to exert pressure against the guide rails, shall not exceed the following values based on rated speed.

200 feet per minute or less	42 inches
201 to 375 feet per minute	36 inches
Over 375 feet per minute	30 inches
(2) Drum-operated car safeties, requiring continual unwinding of the safety drum rope to fully apply the safety, shall be so designed that not less than three turns of the safety rope will remain on the drum after the overspeed test of the safety has been made with rated load in the car.
(l) Minimum Factors of Safety and Stresses of Safety Parts and Rope Connections. See Design section 3106(d) for design factors of safety.
(m) Corrosion Resistant Bearings in Safeties and Safety Operating Mechanisms. Bearings in safeties and of the safety operating mechanism shall be of corrosion-resistant construction with one or both members of a bearing made of, or electroplated with, a corrosion-resistant material.
(n) Marking Plates for Safeties. A metal plate or plates shall be securely attached to each safety so as to be readily visible, and shall be marked in a legible and permanent manner with letters and figures not less than 1/4 inch in height indicating the following:
(1) The type of safety.
(2) The maximum tripping speed in feet per minute for which the safety is designed to be used.
(3) The maximum weight in pounds for which the safety is designed to be used with the car frame in which it is installed.
(4) The name of the manufacturer and the identifying number of the safety.
(5) The date of the initial safety test required by section 3035(a)(4) witnessed by a representative of the division.
(o) Governor Rope Releasing Carriers. The governor-rope releasing carrier on the car (or on the counterweight) shall be set to require a tension in the governor rope, to pull the rope from the carrier, of not more than 60 percent of the pull-through tension developed by the governor; and the carrier shall be designed so that the pull-out tension cannot be adjusted in a normal manner to exceed the amount specified. Tension in the governor rope required to pull the rope from the carrier shall not exceed 300 pounds.
(p) Rail Lubricants and Lubrication Plate. Rail lubricants or coatings which will reduce the holding power of the safety or prevent its functioning as required in section 3035(c) shall not be used.
Where lubricants are to be used, a metal plate shall be securely attached to the car crosshead in an easily visible location, and shall carry the notation “CONSULT MANUFACTURER OF THE SAFETY FOR THE CHARACTERISTICS OF THE RAIL LUBRICANT TO BE USED.”
If lubricants other than those recommended by the manufacturer are used, a safety test shall be made to demonstrate that the safety will function as required by section 3035(c).
(q) Compensating Rope Tie Down. For rated speeds of 800 feet per minute or more, a device shall be provided to tie the car and counterweight together to limit the jump of the car or counterweight as a result of buffer engagement or application of car or counterweight safety.
HISTORY

1. New subsection (h)(4) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsections (c)(1), (d)(1), Exception No. 2, and (j) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Editorial correction replacing 1440 with 1200 in TABLE No. 3035 C (Register 91, No. 24).
4. Editorial correction of subsections (h)(2)(D) and (i)(4) (Register 95, No. 26).
§3036. Governors.
Note     •     History

(a) Governors Required and Location. Every elevator and every counterweight equipped with an approved type, governor-actuated safety device shall be equipped with an approved governor. See Design Section 3105 for details of approval of governors.

Exception: Counterweights excepted under Section 3035(d).
(1) Every type of governor hereafter installed shall be field tested before a permit to operate is issued. This test shall be witnessed by an authorized representative of the Division of Industrial Safety, or the division may accept reports of witnesses recognized as competent by the division.
(A) Where the tripping speed of the governor is not determined on the running test on each installation, it shall be separately determined by removing the governor rope and driving the governor by hand or by a motor in such a manner as to accurately determine the tripping speed.
(2) The governor shall be located where it cannot be struck by the car or counterweight in case of overtravel, and where there is adequate space for full movement of governor parts. The governor shall be readily accessible with adequate work space for resetting and maintenance. When the elevator driving machine is located over the hoistway, the governor shall be located above the floor over the hoistway.
(b) Tripping Speeds for Governors.
(1) Governors for car safeties shall be set to trip at overspeeds as follows:
(A) At not less than 115 percent of rated speed.
(B) At not more than the tripping speed listed opposite the applicable rated speed in Table No. 3036 B. Maximum tripping speeds for intermediate rated speeds shall be determined from Design Section Figure 3105 A. For rated speeds exceeding 1500 feet per minute, the maximum tripping speeds shall not exceed 120 percent of the rated speed.

TABLE 3036 B
Maximum Speeds in Feet-Per-Minute
At Which Governor Trips and Governor Overspeed Switch Operates

		Max Speed at Which
	Max Governor	Governor Overspeed
Rated Speed	Trip Speed	Switch Operates, Down

0-125	 175	175	*
	150	 210	210	*
	175	 250	225
	200	 280	252
	225	 308	277
	250	 337	303
	300	 395	355
	350	 452	407
	400	 510	459
	450	 568	512
	500	 625	563
	600	 740	703
	700	 855	812
	800	 970	921
	900	 1085	1031
	1000	 1200	1140
	1100	 1320	1254
	1200	 1440	1368
	1300	 1560	1482
	1400	 1680	1596
	1500	 1800	1710

* Governor Overspeed Switch not Required on Car Governors.
(2) Governors, where provided, for counterweight safeties shall be set to trip at an overspeed greater than, but not more than 10 percent above, that at which the car governor is set to trip.
(c) Sealing and Painting of Governors. Governors shall have their means of speed adjustment sealed after test. If governors are painted after sealing, all bearing and rubbing surfaces shall be kept free or freed of paint and a hand test made to determine that all parts operate freely as intended. Seals shall be of a type which will prevent readjustment of the governor tripping speed without breaking the seal. Whenever the seal is broken, the governor shall be rechecked and set for the proper tripping speed.
(d) Governor Overspeed and Car Safety Mechanism Switches.
(1) A switch shall be provided on the governor, and operated by the overspeed action of the governor, when used with Type B and C car safeties of elevators having a rated speed exceeding 150 feet per minute and on all elevators with static controls. A switch shall be provided on the governor when used with counterweight safeties at any car speed. When operated the switch shall cause power to be removed from the hoist machine motor and brake.

Exceptions: 
1. Existing elevators with traction type machines installed before June 5, 1947, which are provided with a car safety mechanism switch.
2. Elevators with drum type machines installed before June 5, 1947.
(2) Every car safety shall be provided with a switch operated by the car safety mechanism when the safety is applied.

Exceptions: 
1. Existing elevators with drum-type machines.
2. Existing elevators with traction-type machines and sliding-type safety devices which are provided with a governor overspeed switch.
3. Counterweight safeties.
(3) The switches shall, when operated, remove power from the driving-machine motor and brake before or at the time of application of the safety.
(4) The setting of the car governor overspeed switch when used with static control shall be at no more than 90% of the tripping speed of the governor and shall be activated in either direction of travel. The setting of the car governor overspeed switch for elevators with other types of control shall conform to the following:
(A) For rated speeds more than 150 feet per minute, up to and including 500 feet per minute, the car governor overspeed switch shall open in the down direction of the elevator at not more than 90 percent of the speed at which the governor is set to trip in the down direction.
(B) For rated speeds more than 500 feet per minute, the car governor overspeed switch shall open in the down direction of the elevator at not more than 95 percent of the speed at which the governor is set to trip in the down direction.
(C) The governor overspeed switch, when set as specified in either Section 3036(d)(4)(A) or Section 3036(d)(4)(B) shall open in the up direction at not more than 100 percent of the speed at which the governor is set to trip in the down direction.

Exceptions TO SECTION 3036(d)(4)(A) AND 3036(d)(4)(B):
The governor overspeed switch may be set to open in the down direction of the elevator at not more than 100 percent of the speed at which the governor is set to trip in the down direction, subject to the following requirements:
1. A speed-reducing switch is provided on the governor which will reduce the speed of the elevator in case of overspeed, and which shall be set to open as specified in Section 3036(d)(4)(A) and Section 3036(d)(4)(B).
2. Subsequent to the first stop of the car following the opening of the speed-reducing switch, the car shall remain inoperative until the switch is manually reset.
(5) The governor switches and safety mechanism switches shall conform to the following:
(A) Governor overspeed switches and speed-reducing switches required by Section 3036(d) shall be positively opened and shall remain in the open position until manually reset.
(B) Safety switches operated by the car safety mechanism shall be positively opened and shall not reset unless the car safety mechanism has been returned to the running position.
(e) Governor Ropes.
(1) Governor ropes shall be of iron, steel, monel metal, phosphor bronze, or stainless steel, of regular-lay construction, and shall be not less than 3/8 inch in diameter. Tiller-rope construction shall not be used, except to replace existing ropes of tiller-rope construction.
(2) Replacement of governor ropes shall be of the same size, material, and construction as the rope originally installed by the elevator manufacturer, except that a rope of the same size but of either different material or construction may be employed, provided a test is made of the car or counterweight safety and governor with the new rope to demonstrate that the safety will function as required by Section 3035(c).
(3) Whenever a governor rope is renewed, a running test of the safety device, with or without load, shall be conducted at not less than rated speed to demonstrate that the governor jaws or yoke properly grip the rope and that the safety device functions properly.
(4) Whenever wear, corrosion, broken wires, or other factors indicate that the governor rope has its breaking strength reduced materially below the manufacturer's rating, the rope shall be renewed. Governor ropes shall not be lengthened or repaired by splicing.
(5) A metal, fiber, or plastic tag or tags shall be securely attached to each governor rope. This data tag shall bear the following wire rope data:
(A) The diameter in inches.
(B) The manufacturer's rated breaking strength.
(C) The grade of material used.
(D) The month and year the ropes were installed and the safeties tested. (The safety test date may be indicated on a separate tag.)
(E) Whether nonpreformed or preformed.
(F) Construction classification.
(G) Name of the person or firm who installed the ropes.
(H) Name of the manufacturer of the rope.
(6) During normal operation of the elevator, the governor rope shall run free and clear of the governor jaws, rope guards, or other stationary parts.
(7) The governor rope shall be attached by an approved method such as babbitted sockets or crosby clips. The attachment shall develop a factor of safety of not less than 5 based on governor rope pull-through tension.
(f) Design of Governor Rope-Grip Jaws for Type B Safeties.
(1) Type B car and counterweight safeties shall be actuated by a governor equipped with rope-grip jaws which will permit the governor rope to pull through the jaws. The maximum tension in the governor rope to cause it to slip through the governor jaws shall not exceed 1/5 of the rated ultimate strength of the rope.
(2) Governor jaws shall be of such shape and minimum length that no appreciable damage to or deformation of the rope shall result from the stopping action of the jaws in operating the car or counterweight safety.
(3) Each governor shall be equipped with a rope gripping device which does not depend solely on springs for the application of the jaws to the ropes. Springs may be used to provide the tension between the governor rope and the jaws as required to set the safety.
(g) Design of Governor Sheaves and Traction Between Governor Rope and Sheave.
(1) The arc of contact between the governor rope and the governor sheave shall be at least 180 degrees. Governor ropes shall be provided with devices to maintain them in tension.
(2) Governor sheave grooves shall have machine-finished surfaces. Governor tension sheaves shall have machine-finished grooves for rated car speeds of more than 150 feet per minute. Machined governor sheave grooves shall have a groove diameter of not more than 1 1/8 times the diameter of the governor rope.
(3) The pitch diameter of governor sheaves and governor tension sheaves shall be not less than the product of the diameter of the rope and the applicable multiplier listed below, based on the rated speed and the number of strands in the rope.

	Number of
           Rated Speeds	Strands	Multiplier
Two hundred feet per minute or less	 6	42
Two hundred feet per minute or less	 8	30
Over 200 feet per minute	 6	46
Over 200 feet per minute	 8	32

(h) Governor Marking Plate. A metal plate or plates shall be securely attached to each governor and shall be marked in a legible and permanent manner with letter and figures not less than 1/4 inch in height, indicating the following:
(1) The speed in feet per minute at which the governor is set and sealed to trip.
(2) The size, material, and construction of the governor rope on which the governor jaws were designed to operate.
(3) The manufacturer and identifying number of the governor.
(4) Pull-through tension settings of the governor jaws on governors used with Type B safeties.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (d)(1), new subsection (d)(1) and amendment of subsection (d)(4) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1). 
2. Editorial correction of subsections (d)(4) and (h) (Register 95, No. 26).
§3037. Capacity and Loading.
History

(a) Minimum Rated Load for Passenger Elevators.
(1) The rated load in pounds for passenger elevators shall be based on the inside net platform areas, and shall be not less than that determined by the formulas of Design Section 3100(a).

Exception: The load rating, in pounds, of elevators installed before June 5, 1947, providing the existing load rating is not higher than that which can be lifted at rated speed and can be lowered within the limits of Section 3040(f)(5).
(A) The inside net platform areas shall be determined as shown in Figure 3037 A1. Table No. 3037 A1 and Figure No. 3037 A2 show the maximum inside net platform areas for the various common rated loads and may be used for reference purposes.
(2) Passenger elevators shall conform to the requirements of Design Section 3100(b) in their design to handle overload.
(3) The number of passengers permitted on a passenger elevator shall not exceed the rated load in pounds, divided by 150.

View Graphic

FIGURE 3037 A1

TABLE 3037 A1

View Graphic
(4) Where partitions are installed in the elevator cars for the purpose of restricting the platform net area for passenger use, they shall be permanently bolted, riveted, or welded in place. Gates, doors, or handrails shall not be used for this purpose. Partitions shall be so installed as to provide for approximately symmetrical loading.

View Graphic
(5) When freight is to be carried on a passenger elevator, the following requirements shall be conformed to:
(A) The minimum rated load shall conform to the requirements of Sections 3037(a) and 3037(b), whichever is greater.
(B) The elevator shall be designed for applicable class of freight elevator loading.
(b) Minimum Rated Load for Freight Elevators.
(1) The minimum rated load for freight elevators in pounds shall be based on the weight and class of the load to be handled, but shall in no case be less than the following for each class of loading, based on the inside net platform area.
(A) Class A--General Freight Loading. The rated load shall be based on not less than 50 pounds per square foot of inside net platform area.
(B) Class B--Motor Vehicle Loading. The rated load shall be based on no less than 30 pounds per square foot of inside net platform area.
(C) Class C. The rated load shall be based on not less than 50 pounds per square foot of inside net platform area.
(2) See Design Section 3101(f)(2) for the definitions of the various classes of freight loading.
(c) Capacity and Data Plates.
(1) Every elevator shall be provided with a capacity plate and a data plate.

Exception: Passenger elevators not designed for one-piece loads are not required to have a capacity plate.
Capacity plates shall be securely fastened in a conspicuous place inside the car. Data plates shall be securely attached to the car crosshead.

Exceptions: 

1. For underslung elevators having no crosshead, the data plate shall be located inside the car.

2. Data plates of elevators installed before June 5, 1947.
(2) Capacity and data plates shall have the following information:
(A) Capacity plates shall indicate the rated load of the elevator in pounds and, in addition, this plate or a separate plate shall indicate:
1. The one-piece load capacity where the elevator is designed to lift such loads exceeding the rated load. See Section 3037(g).
2. For freight elevators designed for Class C2 loading, the maximum load the elevator is designed to support while being loaded or unloaded.
(B) Data plates shall indicate:
1. The weight of the complete car including the car safety and all auxiliary equipment attached to the car.
2. The rated load and speed.
3. The wire rope data required by Section 3042(b).
4. The manufacturer's name and date of installation.
(C) Data plates shall be of metal and capacity plates shall be of metal or of laminated plastic. Letters and figures shall be stamped or etched in or cast on the surface of the plate in such a manner as to be readily legible.
The height of the letters and figures shall be not less than:
1. One-quarter inch for passenger elevator capacity plates where provided.
2. One inch for freight elevator capacity plates.
3. One-eighth inch for data plates.
(d) Carrying of Passengers on Freight Elevators. Freight elevators shall not be used for passenger service.
(e) Signs Required in Freight Elevator Cars.
(1) The following signs shall be provided inside the car located in a conspicuous position:
(A) In every freight elevator a sign shall specify the type of loading for which the elevator is designed with one of the following markings:
1. “THIS ELEVATOR DESIGNED FOR GENERAL FREIGHT LOADING.”
2. “THIS ELEVATOR DESIGNED FOR MOTOR-VEHICLE LOADING.”
3. “THIS ELEVATOR DESIGNED FOR LOADED INDUSTRIAL TRUCK WEIGHING ____________ LB. MAXIMUM.”
(B) In freight elevators, a sign reading:
“THIS IS NOT A PASSENGER ELEVATOR. NO PERSONS OTHER THAN THE OPERATOR AND FREIGHT HANDLERS ARE PERMITTED TO RIDE ON THIS ELEVATOR.”
(2) The material, marking and fastening of signs shall conform to the requirements for capacity plates except that the letters need not be more than 1/2 inch high.
(f) Overloading of Freight Elevators. Freight elevators shall not be loaded to exceed their rated load as specified on the capacity plate.

Exception: 

1. Static loads on elevators loaded and unloaded by industrial trucks as noted on car capacity or separate plate.

2. Elevators designed and installed to carry one-piece loads exceeding their rated load.
(g) Carrying of One-Piece Loads Exceeding the Rated Load. Passenger and freight elevators may be used, where necessary, to carry one-piece loads greater than their rated load provided they are designed, installed, and operated to conform to the following requirements:
(1) A locking device shall be provided which will hold the car at any landing independently of the hoisting ropes while the car is being loaded or unloaded.
(2) The locking device shall be so designed that it cannot be unlocked unless and until the entire weight of the car and load is suspended on the ropes.
(3) A removable wrench or other device shall be provided to operate the locking device.
(4) The locking device shall be so designed that the locking bars will be automatically withdrawn should they come in contact with the landing locks when the car is operated in the up direction.
(5) A special capacity plate shall be provided inside the elevator car, and located in a conspicuous place, which shall bear the words “CAPACITY LIFTING ONE-PIECE LOADS,” in letters followed by figures giving the special capacity in pounds for lifting one-piece loads for which the machine is designed.
(6) The car frame, car platform, sheaves, shafts, ropes, and locking device shall be designed for the specified “Capacity Lifting One-Piece Loads,” provided that:
(A) In the design of the car frame, platform, sheaves, shafts, and ropes, the allowable stresses may be 20 percent higher than those permitted for normal loading.
(B) The factor of safety for the locking device shall be not less than 5.
(7) The car safeties shall be designed to stop and hold the specified “Capacity Lifting One-Piece Loads” with the ropes intact.
(8) Where there is an occupied space, or an unoccupied space not sealed against access under the hoistway, the following requirements shall be conformed to:
(A) The machine shall be designed to operate with the “Capacity Lifting One-Piece Loads” at slow speed.
(B) The car safety shall be designed to stop and hold the car with this load independently of the hoisting ropes.
(C) The counterweight safety shall be designed to stop and hold the entire weight of the counterweight independently of the ropes.
(9) For traction machines, where necessary to secure adequate traction, additional counterweight shall be added during the period of use with one-piece loads so that the total overbalance is at least equal to 45 percent of the “Capacity Lifting One-Piece Loads.”
(10) A special operating device of the car-switch or constant--pressure type shall be provided in the machine room, located near the driving machine, to operate the elevator. When this device is operative, all other operating devices shall be inoperative.
(11) The “Capacity Lifting One-Piece Loads” of any passenger traction elevator shall not exceed 1-1/3 times the rated load of the elevator.
(h) Additional Requirements for Passenger Overload. See Design Section 3100 (b) for additional design requirements for passenger elevators.
HISTORY

1. Amendment of (a)(1) exception filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26). 
2. Editorial correction of subsection (a)(1) (Register 94, No. 50).
3. Editorial corrections (Register 95, No. 32).
4. Change without regulatory effect amending subsection (a)(3) to provide more legible illustrations in Figure A1 filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3038. Driving Machines and Sheaves.

(a) Type of Driving Machine. All driving machines shall be of the traction type.

Exception: Winding drum machines may be used for freight elevators subject to the following:
1. They shall not be provided with counter-weights.
2. The travel of the elevator car shall not exceed 40 feet.
3. The rated speed of the elevator shall not exceed 50 feet per minute. The installation of belt drive and chain drive machines is prohibited.
(b) Material and Grooving for Sheaves and Drums. Sheaves and drums used with suspension and compensating ropes shall:
(1) Be of metal finished grooves, provided the grooves of sheaves not used to transmit power may be lined with rubber or other sound isolating material.
(2) Have a pitch diameter not less than:
(A) 40 times the diameter of the rope, where used with suspension ropes.

Exception: Existing sheaves where 8x19 wire rope is used and which have a diameter less than 40 diameters of the rope, but not less than 32 diameters, and are provided with permanent marking “Use 8x19 Cables Only.”
(B) 32 times the diameter of the rope, where used for compensating sheaves. 
(c) Factor of Safety for Machines and Sheaves. See Design Section 3104.
(d) Bolts Transmitting Torque, and Set Screws. Bolts or other means used to transmit torque between the driving sheave and the gearing, and their supports, shall be tightly fitted without play.
Set screws or threaded portions of bolts or screws shall not be used to transmit torque.
(e) Shaft Fillets and Keys. A fillet shall be provided at any point or change in the diameter of driving-machine shafts and sheave shafts to prevent excessive stress concentrations in the shafts.
Shafts which support drums, sheaves, gears, couplings, and other members, and which transmit torque, shall be provided with tight fitting keys.
(f) Cast Iron Worms and Worm Gears. Worms and gears made of cast iron shall not be installed nor used as replacements in elevator driving machines. Worms and worm gears shall be so arranged that in the event of the worm shaft breaking the worm will still remain in mesh with the worm gear.
(g) Friction Gearing and Clutches. Friction gearing or a clutch mechanism shall not be used in elevator driving machines for connecting the drums or sheaves to the source of power.
(h) Driving Machine Brakes.
(1) The elevator driving machine shall be equipped with a friction brake applied by a spring or springs, or by gravity, and released electrically.
(2) The brake shall be designed and maintained to have a capacity sufficient to hold the car at rest with its rated load.
(3) Where gravity is used to apply the brake, the weights shall be guarded to prevent any obstruction being placed under the weights. 
§3039. Terminal Stopping Devices.
Note     •     History

(a) Normal Terminal Stopping Devices.
(1) Normal terminal stopping device switches shall be directly operated by the movement of the car. Normal terminal stopping devices may use mechanically operated, magnetically operated, optical, or static type switches.
(2) Upper and lower normal terminal stopping devices shall be provided and arranged to slow down and stop the car automatically, at or near the top and bottom terminal landings, with any load up to and including rated load in the car and from any speed attained in normal operation. Such devices shall function independently of the operation of the final terminal stopping device. The device shall be so designed and installed that it will continue to function until the final terminal stopping device operates.
(3) Directional stopping switches for normal terminal stopping devices shall be of the enclosed type located on the car or in the hoistway, and shall be operated by the movement of the car using metal operating cams.

Exceptions: 
1. Elevators installed before June 5, 1947, that are equipped with an acceptable stopping device in the overhead or machine room positively driven from the car by a tape, rope, chain, or wire.
2. Winding-drum machines installed before June 5, 1947, having this device located on the machine.
(A) Where the stopping switch in the hoistway is arranged to function only in case the automatic slowdown circuit fails, an additional directional stopping switch driven mechanically by the car complying with the requirements of Section 3039(a)(2), shall be mounted either in the machine room or in the hoistway.
(B) Where the automatic floor stop device complies with Section 3039(a)(3), it may be used as the normal terminal stopping device.
(4) On elevators arranged to automatically slow down at the terminal landings, the normal terminal stopping devices shall be arranged to stop the car within the limits of top and bottom runby in case the automatic slowdown fails to function.
(5) When the slowdown switches used with the normal terminal stopping device are located in the machine room, they shall conform to the following:
(A) They shall be operated by a device mechanically connected to and driven by the car. Friction or traction drives shall not be used.
(B) Tapes, chains, ropes, or similar devices used as the mechanical connection to the car shall be provided with an electrical contact which will cause the electric power to be removed from the elevator motor and brake if the mechanical connection fails.
(C) The slowdown switches used as part of the normal terminal stopping device may function as the automatic slowdown provided a stopping switch is mounted in the hoistway that will fulfill the requirements of Section 3039(a)(4).
(6) The winding machines of all power-driven, drum-type elevators shall be equipped with an acceptable normal terminal stopping device.
(b) Final Terminal Stopping Devices.
(1) Final terminal stopping devices shall be provided and arranged to cause the electric power to be removed automatically from the elevator driving-machine motor and brake after the car has passed a terminal landing. The device shall be set to function as close to the terminal landing as practicable, but so that under normal operating conditions it will not function when the car is stopped by the normal terminal stopping device.
(2) The operation of the final terminal stopping devices shall prevent movement of the car by the normal operating device in both directions of travel.
(3) Elevators having traction or winding-drum machines shall have final terminal stopping devices located in the hoistway and operated by metal cams attached to the car.

Exceptions: 
(1) Freight elevators installed before January 1, 1925.
(2) Passenger and freight elevators installed before April 17, 1970 that have final limit switches on the car operated by cams in the hoistway. These devices shall be located as follows:
(A) Where spring buffers or solid bumpers are provided, the device shall function before the buffer or bumper is engaged.
(B) Where oil buffers are used, the device shall function before the car buffer is compressed more than 2/3 of its stroke, or before the counterweight buffer is compressed more than 1/3 of its stroke.
(C) Operating cams shall be so located and of such length as to maintain the switches in the open position until the car is in contact with the overhead structure or on the fully compressed bumpers or buffers.

Exception: Traction elevators equipped with compensating ropes may have the cam so located that the final terminal stopping device at the top of the hoistway is maintained in the open position until the counterweight is resting on its fully compressed buffer.
(D) If the switch to limit the “up” travel is located so as to be opened when the car is more than 18 inches past the upper terminal landing, a car apron, conforming to Section 3033(i), shall be provided, and be the depth of this zone plus 3 inches.
(4) Final terminal stopping-device switches shall be of the enclosed type, securely mounted and directly operated by the movement of the car. Arrangements which depend on a spring or gravity, or both, to open the switch contacts shall not be used. The switch contacts shall be opened directly mechanically.
(5) The normal and final terminal stopping device shall not control the same controller switches unless two or more separate and independent switches are provided, two of which shall be closed to complete the driving-machine motor-and-brake circuit in either direction of travel. Where a two phase or three phase alternating current driving machine motor is used, these controller switches shall be of the multipole type.
(A) The controller switches opened by the final terminal stopping device shall not be of the manual reset type.
(B) The control shall be so designed and installed that a single ground or short circuit will not prevent both the normal or final stopping device circuits from stopping the car.
(6) Elevators having winding drum machines shall also have final terminal stopping switches located on and operated by the driving machine, except drum machines installed before June 5, 1947.
(A) Final terminal stopping switches, located on and operated by the driving machine, shall not be driven by chains, ropes or belts.
(c) Emergency Terminal Stopping Devices. Emergency terminal stopping devices installed in connection with reduced-stroke oil buffers shall conform to the following:
(1) They shall operate at a predetermined distance from the terminal landing if the car has not slowed down to a predetermined speed when it reaches that predetermined distance from the terminal landing. The device shall automatically cause the power to be removed from the driving machine motor and brake independently of the normal stopping device.
(2) They shall provide a retardation not in excess of 32.2 feet per second per second.
(3) They shall not apply the car safety.
(4) They shall be so designed and installed that a single short circuit caused by a combination of grounds or by other conditions shall not prevent their functioning.
(5) The car speed sensing device shall be located on the governor and the emergency terminal stopping switch shall be located in the hoistway.

Exception: The emergency terminal stopping switch may be located in the machine room provided the operating means conform to the requirements of Sections 3039(a)(5)(A) and 3039(a)(5)(B).
(d) Terminal speed limiting devices for static control elevators.
(1) Terminal speed limiting devices shall be provided when a static control is used on elevators with rated speeds over 500 feet per minute or that do not use the normal terminal stopping device switches to limit generator shunt field current directly so the car speed is reduced as it approaches the terminal should the normal means fail to do so and shall conform to the following:
(A) They shall operate at a predetermined distance from the terminal landing if a car has not slowed to a predetermined speed when it reaches that predetermined distance from the terminal landing. The device shall automatically cause the power to be removed from the driving machine motor and brake independently of the normal stopping device.
(B) They shall provide a retardation not in excess of 32.2 feet per second per second.
(C) They shall not apply the car safety.
(E) The car speed sensing devices shall be independent of the normal speed control system.
(F) The associated car position switches shall be located in the hoistway.

Exception: The associated car position switches may be located in the machine room provided the operating means conform to the requirements of Sections 3039(a)(5)(A) and 3039(a)(5)(B).
(Title 24, Part 7, Section 7-3039)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Repealer of subsection (a)(3) exception 3, amendment of subsection (a)(3)(A), new subsection (a)(3)(B) and repealer and new subsection (b)(6)(A) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Repealer of Exceptions 1 and 2 within subsection (b)(1) and amendment of subsection (b)(3) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
3. New subsection (d) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1). 
4. Amendment of subsection (a)(1) and Note, and new statement prior to Note filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
§3040. Operating Devices and Control Equipment.
Note     •     History

(a) Operation and Operating Devices.
(1) Operating devices shall be of the enclosed electric type. Rope or rod operating devices actuated directly by hand, or rope-operating devices actuated by wheels, levers, or cranks shall not be used.
(2) Handles of car-switch operation elevators shall be so arranged that they will return to the stop position and latch there automatically when the hand of the operator is removed.

Exception: Elevators installed before 1925 may omit the automatic latch.
All existing elevators having preregister signal or car-switch automatic floor stop operation, and which are not equipped with a contacted car door or gate, shall have the operating device so arranged that the power will be cut off from the machine and the brake applied when the hand of the operator is removed from the operating device, except when the car is being operated by the leveling device in the leveling zone.
(3) For all types of elevators, the car operating device and the machine controller shall be labeled so as to designate the up and down car movement.

Exception: The operating device for signal or automatic operation elevators.
Car-switch or hand-lever operating levers shall be so arranged that the movement of the lever toward the entrance door (which the operator usually faces) will cause the car to descend, and the movement of the lever away from the door will cause the car to ascend.

Exception: 
(1) Starting levers for signal operation elevators.
(2) Existing hydraulic elevators.
(4) Means shall be provided to operate the elevator from the top of the car during adjustment, inspection, maintenance, or repair.
The operating means shall conform to the following:
(A) It shall be of the continuous-pressure type.
(B) It shall operate the car at a speed not exceeding 150 feet per minute and shall be dependent on the normal terminal stopping devices as the limits of travel in either direction.
(C) It shall operate the car only when the car door or gate is in the closed position and when all hoistway doors are in the closed position and, where required by these regulations, locked.
(D) It may be of the portable type, provided the extension cord is permanently attached to a car top fixture so that the device cannot be removed.
(E) It shall be so arranged and connected that, when operative, the movement of the car shall be solely under the control of this device, except as provided in Section 3040(a)(4)(G); and any power-door operating devices shall be inoperative. The transfer switch or other means for accomplishing this function shall be located between the car crosshead and that side of the car which is nearest to the hoistway door used for access to the top of the car.
(F) The device shall be used only for the purpose of adjustment, inspection, maintenance, or repair of the elevator or hoistway equipment.
(G) Separate additional means, of the continuous-pressure type, may also be provided to make power-door operating devices and automatic car-leveling devices operative from the top of the car for testing purposes.
(H) The car top shall be kept free of grease or oil that would present a slipping hazard at this operating station.
(I) All elevators with car tops shall be provided with a top-of-car stop switch conforming to Section 3040(b)(5).
(J) All elevators with car tops shall be provided with a top-of-car electric light with switch and convenience outlet connected to a power source not disconnected by any action of the elevator control circuits.

Exception: Elevators installed before June 5, 1947.
(5) Operation of an elevator in a leveling or truck zone at any landing by a car-leveling or truck-zoning device, when the landing doors or the car doors or gates are not in the closed position, is permissible subject to the following:
(A) Operating devices of manually operated car-leveling devices or truck-zoning devices shall be of the continuous-pressure type located in the car, and the device inoperative except in the zone specified.
(B) Car platform guards conforming to Section 3033(i) shall be provided, and where a car-leveling device is used, landing sill guards conforming to Section 3020(a)(3)(B) shall also be provided.
(C) For elevators without static controls arranged to level automatically, which can be started only from on the car, which are equipped with power-opened car doors, the zone shall not extend more than 3 feet above and 3 feet below the landing level.
(D) For elevators with static controls arranged to level automatically, the leveling zone shall extend not more than 12” above and below the landing level.
(E) For elevators with static control, an inner leveling zone extending not more than three (3) inches above and three (3) inches below the landing shall be provided. A car shall not move if it stops outside of the inner leveling zone unless the doors are fully closed.

Exception: Elevators which comply with Section 3040(f)(4).
(F) For elevators without static controls arranged to level automatically, which can be started from the landings and are equipped with manually operated car doors or gates, the zone shall not extend more than 1 inches above and 15 inches below the landing level.
(G) Manually operated leveling devices (inching) are limited to a zone of 12 inches above and 12 inches below the landing level.
(H) The truck zone at any landing shall not extend more than 5 feet 6 inches above the landing.
(I) Where a truck or leveling zone for one hoistway entrance extends into the door interlocking zone for a second entrance, the truck-zoning or leveling operation shall be inoperative unless the hoistway door at the second entrance is in the closed position.
Where a truck or leveling zone for one hoistway entrance extends into the leveling zone for a second entrance, the leveling operation for the second entrance shall be inoperative while the hoistway door at the first entrance is open.

Exception: The car may be operated by a car-leveling device at any landing having two hoistway entrances within 2 inches of the same level, with both car doors or gates and the corresponding hoistway doors open, provided landing-sill guards conforming to Section 3020(a)(3)(B) are installed at both floors.
(J) A leveling or truck-zoning device shall move the car at a speed not more than 150 feet per minute.
(6) Automatic elevators shall conform to the following requirements:
(A) If the car has started for a given landing in response to an impulse from a car button, no impulse can be given from any landing to send the car in the reverse direction until the car has reached the destination corresponding to the first impulse or to cause the car to fail to stop at the landing indicated by the first impulse.

Exception: This is not intended to prevent the use of a key operated switch to gain control of an elevator for emergency operation.
(B) The car cannot be started by an impulse from a hall landing after completing a stop at a floor in response to the impulse from a car button until there has been a delay of not less than 5 seconds or the car door contact or the emergency stop switch has been operated.
(7) Constant pressure operation elevators shall be arranged so the car cannot be started by an impulse from a hall landing after a stop made by releasing the car button until there has been a delay of not less than 5 seconds or the car door contact or hoistway door locking device has been operated.
(8) Existing elevators operated by a non-self centering device, shall be provided with a sequence device to prevent re-starting of the car after any electrical protective device or main line switch has opened the circuit unless the operating device has first been returned to the inoperative position.
(b) Electrical Protective Devices. Electrical protective devices shall be provided in accordance with the following:
(1) Slack-Rope Switch. Elevators having winding-drum machines shall be provided with a slack-rope device equipped with a slack-rope switch of the enclosed manually reset type which shall cause the electric power to be removed from the elevator driving-machine motor and brake if the hoisting ropes become slack.

Exception: Elevators having a rise of not more than 15 feet, installed before June 5, 1947.
(2) Motor Generator Running Switch. Where generator field control is used, means shall be provided to prevent the application of power to the elevator driving machine motor and brake unless the motor generator set connections are properly switched for the running condition of the elevator. It is not required that the electrical connections between the elevator driving machine motor and the generator be opened in order to remove power from the elevator motor.
(3) Compensating-Rope-Sheave Switch. Compensating-rope sheave shall be provided with a compensating-rope-sheave switch or switches, mechanically opened by the compensating-rope sheave before the sheave reaches its upper or lower limit of travel, to cause the electric power to be removed from the elevator driving-machine motor and brake.
(4) Motor Field Excitation Switch. Where direct current is supplied to an elevator drive machine motor armature and shunt field, a motor field current sensing means shall be provided which shall cause the electric power to be removed from the motor armature and brake unless the direct current flowing in the shunt field of the motor is sufficient to prevent overspeeding of the motor.

Exception: Static control elevators provided with a device to detect an overspeed condition prior to and independent of the operation of the governor overspeed switch. This device shall cause power to be removed from the elevator driving machine motor armature and machine brake.
(5) Emergency Stop Switch. An emergency stop switch shall be provided in the car, and located in or adjacent to the car operating panel. 

Exception: Passenger elevator cars with an in-car stop switch that comply with the requirements in Section 3040(b)(5)(B) below.
(A) Emergency stop switches shall:
1. When opened, cause the electric power to be removed from the elevator driving-machine motor and brake independently of the operation of the operating device and the leveling device.
2. Be of the manually opened and closed type.
3. Have red operating handles or buttons.
4. Be conspicuously and permanently marked, “STOP.”
5. Be positively opened mechanically and their opening shall not be solely dependent on springs.
(B) In-car stop switch.
1. An in-car stop switch shall be permitted in passenger elevator cars with enclosures constructed of solid material from the floor to the car top.
2. The in-car stop switch shall be either key operated or behind a locked panel.
3. The in-car stop switch shall be clearly marked “STOP” and shall indicate the stop and run positions.
4. The in-car stop switch shall comply with Sections 3040(b)(5)(A)1 and (b)(5)(A)5.
5. The elevator controls shall be arranged so the car will not move, level, or advance start, unless the hoistway door interlocks and the car door contacts are in the closed position, except for the required releveling or anti-creep.
6. The car door contacts shall be adjusted so the closed position is not more than one inch.
7. The keys for the in-car stop switch shall be available for use by maintenance and inspection personnel.
8. The Division shall be notified when an emergency stop switch in a passenger elevator is replaced with an in-car stop switch. The Division shall inspect the in-car stop switch before the passenger elevator is placed in service.
(6) Broken-Rope, Tape, or Chain Switches.
(A) Broken-rope, tape, or chain switches shall be provided when the slow-down switches of the normal terminal stopping device are located in the machine room.
(7) Stop Switch in Pit. A stop switch conforming to the requirements of Section 3040(b)(5) shall be provided in the pit of every electric or electrically controlled elevator. See Section 3016(g) for location.

Exception: Elevators installed before June 5, 1947.
(8) Stop Switch on Top of Car. A stop switch conforming to Section 3040(b)(5) shall be provided on top of every electric and every electrically controlled elevator car. See Section 3040(a)(4)(I).
(9) Car-Safety Mechanism Switch. A switch conforming to the requirements of Sections 3035(g)(2) and 3036(d) shall be required where a car safety is provided.
(10) Governor Overspeed Switch. A governor overspeed switch shall be provided when required by Section 3036(d).
(11) Final Terminal Stopping Devices. Final terminal stopping devices conforming to the requirements of Section 3039(b) shall be provided for every cabled electric elevator.
(12) Emergency Terminal Stopping Devices. Where reduced-stroke oil buffers are provided, as permitted by Section 3031(f), emergency terminal stopping devices conforming to Section 3039(c) shall be provided.
(13) Buffer Switches for Oil Buffers Used with Type C Car Safeties. Oil-level and compression switches conforming to the requirements of Section 3035(h)(2) shall be provided for all oil buffers used with Type C Safeties.
(14) Hoistway Door Interlocks or Hoistway Gate Contact Locks. Hoistway door interlocks or hoistway gate interlocks or contact locks shall be provided for all electric or electrically controlled elevators in accordance with the requirements of Section 3021.
(15) Car Door or Gate Electric Contacts. Car door or gate electric contacts shall be provided for all electric or electrically controlled elevators having car doors or gates.
(16) Normal Terminal Stopping Devices. Normal terminal stopping devices shall be provided for every electric or electrically controlled elevator.
(17) Car Side-Emergency-Exit Door Contact Switches. A car door electric contact shall be provided on each car side-emergency-exit door of an electric or electrically controlled elevator where such exit doors are provided.
(18) Motor-Generator Overspeed Protection. Means shall be provided to cause the electric power to be removed automatically from the elevator driving-machine motor and brake should a motor generator set, driven by a direct current motor, overspeed excessively.
(19) Electric Contacts for Hinged Car-Platform Sills. Hinged car-platform sills, where provided, shall be equipped with electric contacts.
(20) Oil Buffer Switches. Car and counterweight buffers of the spring return type shall be provided with a switch conforming to the requirements of Section 3031(j)(3).
(21) Sheave Space Stop Switch. A stop switch conforming to the requirements of Section 3040(b)(5) shall be provided in all sheave spaces, except secondary sheave spaces, where the space is provided with a floor.
(c) Requirements for Electrical Equipment and Wiring. 
(1) All electrical equipment and wiring shall comply with the provisions of CCR, Title 24, Part 3, Article 620.
(2) Phase Reversal and Failure Protection.
If polyphase alternating current power supply is used, a reverse phase protection shall be provided with means to prevent the starting of the elevator if the phase rotation is in wrong direction, or if there is a failure of any phase. This protection shall be considered to be provided if a reversal of phase of the incoming polyphase alternating current power will not cause the elevator driving machine motor to operate in the wrong direction.
(d) Installation of Condensers or of Devices to Make Electrical Protective Devices Inoperative. The installation of condensers, the operation or failure of which will cause an unsafe operation of the elevator, is prohibited.
No permanent device shall be installed, except as provided in these regulations, which will make any required electrical protective device inoperative.
(e) Release and Application of Driving-machine Brakes. Driving-machine brakes shall not be electrically released until power has been applied to the driving-machine motor.
All power feed lines to the brake shall be opened by an electro-mechanical switch and the brake shall apply automatically when:
(1) The operating device of a car-switch or continuous-pressure operation elevator is in the stop position.
(2) A floor stop device functions.
(3) Any of the electrical protective devices function, except car door contacts or hoistway door locking devices, during leveling operations. Under Sections 3040(e)(1) and 3040(e)(2), the application of the brake may occur at the time of or before the completion of the slow-down and leveling operations.
The brake shall not be permanently connected across the armature or field of a direct current elevator driving-machine motor nor shall a single ground, short circuit or static control failure prevent the application of the brake in the intended manner.
(f) Control and Operating Circuit Requirements. In the design and installation of the control and operating circuits, the following requirements shall be met.
(1) If springs are used to actuate switches, contactors, or relays to break the circuit to stop an elevator at the terminal landings, they shall be of the compression type.
(2) The completion or maintenance of an electric circuit shall not be used to interrupt the power to the elevator driving-machine motor or brake at the terminal landings, nor to stop the car when the emergency stop switch is opened or any of the electrical protective devices operate.

Exception: Dynamic braking, and speed control switches.
(3) The failure of any single magnetically operated switch, contactor, or relay to release in the intended manner, or the occurrence of a single accidental ground, shall not permit the car to start or run if any hoistway door or gate interlock is unlocked or if any hoistway door or car door gate contact is not in the closed position.
(4) The failure of any static control device, speed measuring circuit or speed pattern generating circuit to operate as intended or the occurrence of a single accidental ground or short circuit shall not permit the car to start or run if any hoistway door or gate interlock is unlocked or if any hoistway door or car door or gate contact is not in the made position.

Exception: Elevators with the operation described in Section 3040(a)(5)(E).
(5) Where generator field control is used, means shall be provided to prevent the generator from building up and supplying sufficient current to the elevator driving machine motor to move the car when the elevator motor or generator field control switches are in the “off” position.
The means used shall not interfere with maintenance of an effective dynamic braking circuit during stopping and standing conditions.
(6) The control circuits shall be so designed, installed, and maintained that the car speed in the down direction with rated load in the car, under normal operating conditions with the power supply on or off, shall not exceed governor tripping speed or 125 percent of the rated speed, whichever is lesser.
(7) Elevators with a static control shall comply with the following:
(A) An independent means shall be provided to limit the speed of an elevator to not more than 150 f.p.m. during leveling, access switch operation and inspection operation should the normal means to control this speed fail to do so.

Exception: Elevators with an independent speed measuring device arranged to remove power from the motor and brake independent of the static control if the speed of the elevator exceeds 150 f.p.m. during leveling, access switch operation and inspection.
(8) Where only one of the controller switches required by Section 3039(b)(5) is an electromechanical switch, the elevator control shall be arranged so the car shall not restart after the brake has been set unless the electromechanical switch has been in the de-energized position during the time the brake was set.
(g) Out-of-Service Requirements. When it is intended to discontinue, for an extended period, the use of an elevator, the cables shall be disconnected, and the car and counterweights landed satisfactorily, and the power disconnected.
(h) Load-Weighing Devices on Passenger Elevators. Load-weighing devices which will prevent operation of the elevator may be installed provided they function to prevent such operation only when the load on the elevator platform is in excess of 125 percent of minimum rated load.
(i) Floating (Movable) Platforms. Floating platforms which permit operation of the elevator when the car door or gate is not in the closed position are prohibited.
(Title 24, Part 7, Section 7-3040)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (a)(1) Exception, repealer of subsection (a)(1)(A), amendment of subsections (a)(3), (a)(8), (b)(2) and repealer of subsection (b)(6)(B) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Repealer of subsections (a)(5), (b)(4), (e) and (f) and new subsections (a)(5), (b)(4), (e) and (f) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1). 
3. Amendment of subsection (c), repealer of subsections (c)(1)-(6) and new subsection (c)(2) and designation of (c)(1) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
4. Editorial corrections (Register 95, No. 32).
5. Amendment and redesignation of former subsections (b)(5)-(b)(5)(D) to subsections (b)(5)-(b)(5)(B)8. filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
§3041. Emergency and Signal Devices.
Note     •     History

(a) Emergency Devices for Summoning Assistance.
(Title 24, part 7, section 7-3041(a)).
(1) Passenger elevators and automatic operation freight elevators shall be provided with an emergency alarm system, operable from within the car, which will provide effective means for summoning assistance at all hours in case of emergency.
(2) New installations of passenger or freight elevators, which are operated at any time without a designated operator in the car, shall be provided with one of the two following emergency alarm systems.
(A) A telephone in each elevator car, connected to a central telephone exchange providing 24 hour service.
(B) A system meeting the following requirements.
1. An electric bell, operable from the car, not less than 6 inches in diameter, located inside the building and audible inside and outside the hoistway. One bell operable from all cars may be used for a group of elevators.
2. Means for two-way conversation between each elevator and a readily accessible point outside the hoistway.

Exceptions: 
1. Elevators in buildings having a height from the lowest to the highest elevator landing of not more than 65 feet, providing the distance between any adjacent landing does not exceed 15 feet.
2. When the means of communication with an approved emergency service permits two-way conversation. See section 3041(a)(3)(B).
3. If the bell or the means of two-way conversation, or both, are normally connected to the building power supply, they shall automatically transfer to a source of emergency power within 10 seconds after the normal supply fails. The power source shall be capable of providing for the operation of the bell for one hour and the means of two-way conversation for 4 hours.
(3) Where elevators, which are operated at any time without a designated operator in the car, are located in buildings, other than apartments, hotels, or similar residential buildings, where attendants, watchmen, or tenants are not continuously available to take action in case the emergency signal is operated, and are not provided with a telephone in the elevator car connected to a central exchange system, they shall be provided with one of the following additional emergency signal devices.
(A) An electrical alarm bell, not less than 6 inches in diameter operable from inside the car shall be mounted in a weatherproof enclosure on the outside of the building near the main entrance. A sign that can be read from the adjacent sidewalk shall be mounted on or near the bell and shall be marked “ELEVATOR EMERGENCY, CALL POLICE” in letters not less than 2 inches high. Only one outside alarm bell is required, which shall be operable from the cars of all elevators of the type specified in the building. An emergency power source meeting the requirements of section 3041(a)(2)(B)3 shall be provided.
(B) Means within the car for communicating with or signaling to an approved emergency service which operates 24 hours each day.
(4) A sign, having lettering not less than 3/16 inch, shall be provided in passenger elevators adjacent to the car emergency alarm giving instructions as to the use of the device for summoning assistance.
(b) Photoelectric Tube By-Pass Switch.
(1) Elevators equipped with photoelectric tube devices, which control the closing of automatic, power-operated car or hoistway doors, or both, shall have a switch in the car which, when actuated, will render the photoelectric tube device ineffective.
(2) The switch shall be constant-pressure type, requiring not less than 10 lbf (44.5 N) nor more than 15 lbf (66.7 N) pressure to actuate.
(3) The switch shall be located not less than 6 ft. (1.83 m) nor more than 6.5 ft (1.98 m) above the car floor, and shall be located in or adjacent to the operating panel.
(4) The switch shall be clearly labeled “TO BE USED IN CASE OF FIRE ONLY.”
(5) Switches shall be kept in working order or be removed when existing installations are arranged to comply with subsection 3041(b), Exceptions.

Exceptions to subsection 3041(b):
1. Elevators installed and maintained in compliance with subsections 3041(c)(1)(A) and 3041(c)(1)(B).
2. Where alternate means, acceptable to the Division and fire authority having jurisdiction, are provided that will ensure the doors can close under adverse smoke conditions.
(Title 24, part 2, section 5103(h).)
(c) Operation of Elevators Under Fire or Other Emergency Conditions.
(1) Elevators with automatic operation and automatic power operated hoistway doors shall conform to the following:
Exception: New elevators having a travel of not more than 25 ft. (7.62m) and elevators existing at the time of adoption of this order with a travel of not more than 50 ft. (15.24m).
(A) A three-position (on, off, and by-pass), key-operated switch shall be provided at the designated level for each single elevator or for each group of elevators. The key shall be removable only in the “on” and “off” positions. When the switch is in the “on” position, all elevators controlled by this switch and which are on automatic service shall return nonstop to the designated level and the doors shall open and remain open.
1. An elevator traveling away from the designated level shall reverse at or before the next available floor without opening its doors.
2. Elevators standing at a floor other than the designated level, with doors open, shall close the doors without delay, and proceed to the designated level.
3. Door reopening devices for power-operated doors which are sensitive to products of combustion, heat or flame shall be rendered inoperative.
4. All car and corridor call buttons shall be rendered inoperative and all call registered lights and direction lanterns shall be extinguished and remain inoperative.
5. A car stopped at a landing shall have its “Emergency Stop Switch” required by section 3040(b)(5) rendered inoperative as soon as the doors are closed and it starts toward the designated level. A moving car, traveling to or away from the designated level, shall have its “Emergency Stop Switch” rendered inoperative immediately.
6. A sensing device at each elevator landing which, when activated, prevents cars from stopping at that floor shall not be substituted for the above requirements.
(B) Sensing Devices.
1. In addition to the key operated switch required in section 3041(c)(1)(A) above, sensing devices shall be located in accordance with NFPA No. 72-E-1984 at each elevator landing at each floor except the designated level. The sensing devices shall be either combined rate of rise and fixed temperature devices or smoke sensing devices approved and listed as suitable for this purpose by the State Fire Marshal. The activation of a sensing device at any elevator landing shall cause all cars in all groups that serve that landing to return non-stop to the designated level. The operation shall conform to the requirements of section 3041(c)(1)(A)1 through section 3041(c)(1)(A)5. The key-operated switch required by section 3041(c)(1)(A), when moved to the “by-pass” position, shall restore normal service independent of the sensing devices. Smoke detector systems shall not be self-resetting.

Exceptions: 
(a) Elevator landings in buildings which are completely protected by an automatic sprinkler system. (See NFPA No. 13-1983 Sprinkler System)
(b) Elevator landings of unenclosed landings open to the atmosphere or open to an interior court of a building.
(c) Freight elevators located in single use buildings where openings are into manufacturing areas.
2. In addition to the sensing devices required by section 3041(c)(1)(B)1, either or both of the following additions are permitted:
(A) Sensing devices installed at the designated-level which, when activated, will cause all cars in all groups that serve that lobby to return non-stop to an alternate level, approved by the Division, unless the key-operated switch required by section 3041(c)(1)(A) is in the “on” position.
(B) Sensing devices installed in associated elevator machine rooms or associated elevator hoistways which, when activated, will cause all cars to function as specified in section 3041(c)(1)(B).
Note: See T24 CCR, section E620-37, Foreign Wires, for limitations on sensing devices located in elevator hoistways.
(C) Elevators without a landing at grade level shall be returned to the landing closest to grade level or other level approved by the local fire authorities and shall conform to the requirements of section 3041(c)(1)(A)1 through section 3041(c)(1)(A)6.
(D) Elevators having a travel of 70 feet or more above the lowest grade elevation surrounding the building shall be provided with the following operation:
A two position (off, on) key-operated switch shall be provided in or adjacent to an operating panel in each car and shall be effective only when the designated level key-operated switch is in the “on” position or a sensing device has been activated and the car has returned to the designated level or other approved alternate level. The key shall be removable only in the “off” position, and when in the “on” position it shall place the elevator on emergency service.
The operation of elevators on emergency service shall be as follows:
1. An elevator shall be operable only by a person in the elevator.
2. Elevators shall not respond to elevator corridor calls.
3. The opening of power-operated doors shall be controlled only by continuous pressure “Door Open” buttons or switches. If the switch or button is released prior to the doors reaching the fully open position, the doors shall automatically reclose. Open doors shall be closed by registration of a car call or by pressure on “Door Close” switch or button.
4. The car shall stay on emergency service as long as the car key is in the “on” position even though the designated level key-operated switch is returned to its “off” position.
5. The emergency stop switch shall be rendered operative.
(E) Multi-deck elevators shall conform to the requirements of section 3041(c)(1)(D), section 3041(c)(1)(F) and the following:
1.The key-operated switch required by section 3041(c)(1)(A) shall be located at the designated level served by the upper deck.
2.The key-operated switch in the car required by section 3041(c)(1)(D) for emergency service operation shall be located in the top deck. The elevators shall be provided with means for placing the lower deck out of service including closing of car and hoistway doors. The lower deck shall be out of service before the emergency service operation from the top deck becomes effective. The means for placing the lower deck out of service shall be located in that deck or adjacent to the entrance in the corridor.
(F) The switches required by section 3041(c)(1)(A) and section 3041(c)(1)(D) shall be operated by the same key but shall not be a part of a building master key system. There shall be a key for the designated level switch and for each elevator in the group and these keys shall be kept on the premises by persons responsible for maintenance and operation of the elevators, in a location approved by the local fire protection authorities readily accessible to authorized persons, but not where they are available to the public. The locks shall be of the cylinder type having not less than a 5-pin or 5-disc combination.
(2) Attendant-Operated Elevators. Elevators operable only by a designated attendant in the car shall be provided with a signal system consisting of both visual and audible types actuated at the designated level or other approved alternate level to alert the attendant to return non-stop to the designated level or other approved alternate level. Provisions shall be made to alert the attendant in the same manner when a sensing device is activated.
(3) Elevators Arranged for Dual Operation. Elevators arranged for dual operation shall, when on automatic operation conform to section 3041(c)(1) and when on operation by a designated attendant in the car, conform to section 3041(c)(2).
(4) Operating Instructions. Instructions for operation of elevators under fire and other emergency conditions shall be incorporated within the enclosure for the switch at the designated level required by section 3041(c)(1) and section 3041(c)(2) or shall be posted adjacent to it. Instructions shall be in letters not less than 1/4-in. (6.4mm) in height and shall be permanently installed and protected against removal and defacement.
(5) Floor Numbers. Elevator hoistways shall have a floor number not less than 4 in. (102mm) in height, placed on the walls and/or doors of the hoistway at intervals such that a person in a stalled elevator, upon opening the car door, can determine the floor position.
(6) Fire Signs. All automatic elevators shall have not less than one sign at each landing printed on a contrasting background in letters not less than 1/2 inch high to read: “In case of fire use stairway for exit. Do not use elevator.”
(7) Elevators exempt from the requirements of section 3041(c):
(A) Elevators in jails and penal institutions, where the recall of an elevator would interfere with mandatory security.
(B) Elevators in noncombustible type structures such as rock quarrys, mills, steel towers, dams, storage bins, noncombustible power plants, and tanks where the elevators are used only by maintenance and operating personnel.
(8) The date for compliance with the retroactive requirements of section 3041(c) for existing elevators installed before October 6, 1975 shall be October 6, 1978.

Exception: Elevators in buildings subject to the provisions for existing high rise buildings section B1733 of title 19 where good cause for not complying by October 6, 1975 and where a systematic and progressive plan of compliance has been submitted to and approved by the Division to comply on or before April 26, 1981.
(Title 24, part 2, section 5103(i).)
(d) Earthquake Emergency Operation.
(1) Passenger elevators with automatic operation and counterweights shall be provided with earthquake protective devices of the following types.

Exceptions: 
(1) Elevators whose car and counterweight guiding system including rails, brackets and guiding shoes whose equipment fastenings and attachments to the building structural members have been properly certified to the Division, by an engineer qualified under the Civil and Professional Engineers Act, to be designed and built to withstand the static and dynamic seismic forces for which the building was designed.
(2) Elevators in structures such as rock quarries, mills, steel towers, dams, storage bins, power plants and tanks where the elevators are used only by maintenance and operating personnel and in buildings such as jails and penal institutions, where stopping of an elevator would interfere with the security of the institution.
(3) A period of seven years from October 6, 1975 will be allowed for elevators existing at the time of the adoption of section 3041(d) to comply with the retroactive requirements of section 3041(d).
(A) Elevators with drum machines operating at any speed and traction machines operating at rated speeds of more than 150 f.p.m. shall be provided with either a seismic switch device or a derailment switch device.
(B) Elevators with traction machines with rated speeds of not more than 150 f.p.m. shall be provided with a collision switch device.

Exceptions: 
1. Elevators provided with either a seismic switch device or a derailment switch device.
2. Elevators with traction machines with counterweights located or restrained to prevent the car and counterweight colliding.
(C) Elevators with traction machines arranged to operate under emergency conditions after activation of either a seismic switch device or a derailment switch device shall be provided with a collision switch device.

Exceptions: 
1. Elevators with traction machines with counterweights located or restrained to prevent the car and counterweight colliding.
2. Elevators equipped with a derailment switch that continuously monitors the position of the counterweight and therefore acts as a collision switch.
(2) Passenger elevators with traction machines, counterweights, and selective collective or group automatic operation shall, upon activation of a seismic switch or derailment device, and if in motion, either
(A) Slow to a speed not greater than 150 f.p.m. and proceed to the next floor in the direction of the travel and stop.

Exception: Elevators operating in a hoistway with more than 36 feet between landings shall not proceed to the next floor in the direction of travel if the car must pass the counterweight
or
(B) Stop and then proceed to the next floor at a speed not greater than 150 f.p.m. in a direction away from the counterweight.
(3) Passenger elevators with traction machines having automatic operation other than selective collective or group automatic shall, if in motion, upon activation of an earthquake protective device, stop.

Exception: Elevators with traction machines that comply with 3041(d)(2).
(4) Passenger elevators with counterweights and drum machines shall, if in motion, upon activation of an earthquake protective devices stop.
(5) Elevators required to comply with section 3041(d)(1) when on automatic operation shall conform to sections 3041(d)(2), (3), and (4) when on attendant service.
(6) Cars stopped by an earthquake protection device shall be operable at not more than 150 f.p.m. from the car top operating station as described in section 3040(a)(4) if so equipped.
(7) Activation of a seismic switch device or momentary activation of a derailment switch device shall prevent operation of the car by the emergency service key described in 3041(c) or a hospital emergency service key at a speed greater than 150 f.p.m.
(8) Activation of a collision switch device or continuous activation of a derailment switch device shall prevent operation of the car except from the car top operating station.

Exception: Cars stopped by activation of the collision switch or derailment switch may be operable from the emergency service switch described in section 3041(c) in the direction away from the counterweight.
(9) A collision switch shall, upon activation, stop an elevator traveling at a speed of 150 f.p.m. before the car meets the counterweight.
(10) Elevators not in operation shall remain at the landing. Elevators shall upon reaching a landing remain at the landing unless operated by the emergency service key described in section 3041(c).
(11) Cars with power operated doors shall upon reaching a landing cause their doors to open and remain open unless operated by the emergency service key described in section 3041(c).
(12) An earthquake sensing device shall activate upon excitation in a horizontal or vertical direction of not more than 0.15 g.
(13) An identified momentary reset button or switch for each car, located in the control panel in the machine room, shall be provided for elevators equipped with a seismic switch or a derailment switch.
(14) Cars stopped by an earthquake protection device shall remain stopped in the event of a power failure and subsequent restoration of power. The functions performed by the electrical protective devices required by section 3040(b) shall not be canceled by the earthquake protection device.
(15) Earthquake protection devices with exposed live parts in the hoistway shall operate at not more than 24 volts root mean square A.C. or 24 volts D.C. above or below ground potential and shall not be capable of supplying more than 1/2 ampere when short circuited.
(16) Earthquake protection devices shall be of a fail safe-type or shall include a dual system arranged to prevent energizing the sensing portion unless the complete system is intact.
(17) Earthquake protection devices shall be arranged to be checked for satisfactory operation and shall be calibrated at intervals recommended by the manufacturer.
(e) Medical Emergency Elevators.
(1) All buildings and structures constructed after the effective date of this order that are provided with one or more passenger elevators shall be provided with not less than one passenger elevator designed and designated to accommodate the loading and transport of an ambulance gurney or stretcher maximum size 22 1/2 in. (572 mm) by 75 in. (1.90 m) in its horizontal position and arranged to serve all landings in conformance with the following:

Exceptions to section 3041(e)(1):
1. Elevators in structures such as rock quarries, mills, steel towers, dams, storage bins, power plants and tanks where the elevators are used only by maintenance and operating personnel; elevators in buildings such as jails and penal institutions; and private residence type elevators in locations under the jurisdiction of the Division.
2. Elevators in buildings or structures where each landing is at ground level or is accessible at grade level or by a ramp.
3. Elevator(s) in two story buildings or structures equipped with stairs of a configuration that will accommodate the carrying of the gurney or stretcher as permitted by the local jurisdiction authority.
4. Elevators in buildings or structures for which the local jurisdictional authority has granted an exception in the form of a written document.
5. Elevators in buildings or structures for which the building plans were filed or for which a permit was issued prior to (the effective date of this order).
(A) The hoistway landing openings shall be provided with power operated doors.
(B) The clear opening provided by the elevator entrance shall be not less than 42 in. (1.07 m) wide nor less than 78 in. (1.98 m) high.

Exception to section 3041(e)(1)(B):
See Exception to section 3041(e)(1)(C).
(C) The elevator car shall have a minimum inside car platform of 80 in. (2.03 m) wide by 51 in. (1.30 m) deep.
Exception to section 3041(e)(1)(B) and (C):
The platform dimensions and/or the clear entrance opening dimension may be altered where it can be demonstrated to the local jurisdictional authority's satisfaction that the car and entrance configuration to be provided will handle the designated gurney or stretcher with equivalent ease. Documentation from the local authority shall be provided to the Division.
(D) The elevator(s) that is designated the Medical Emergency Elevator shall be arranged to be recallable by a key switch as are the elevators which must comply with subsection 3041(c)(1)(A). For the purpose of this subsection elevators in compliance with subsection 3041(c) shall be acceptable.
(2) Designation. New elevators arranged to conform with section 3041(e)(1) shall be provided with identification which can be readily noted from the landings and hallways.
(A) The identification shall be the international symbol (Star of Life) for Emergency Medical services.
(B) The symbol shall be approximately 3 in. (76 mm) in size.
(C) The symbols (2 each) shall be permanently attached to the hoistway door frame on that portion at right angles to the hallway or landing areas at a glance not less than 78 in. (1.98 m) and not more than 84 in. (2.13 m) above the floor level at the threshold.
(3) Designation. Elevators existing prior to July 1, 1986 that were intended as medical emergency elevators or any other passenger elevator of adequate size and configuration that the local jurisdictional authority may designate should be provided with the international symbols as required by section 3041(e)(2).
Note: 1: The intent of section 3041(e) is to ensure that each floor or landing of the building or structure can be accessed or egressed with a gurney or stretcher in the horizontal position. The Division will be receptive to passenger elevators of any size and/or configuration that can be demonstrated to meet this intent even if it does not comply with the specifications listed, providing the local building official and authority deem it acceptable.
Note: 2: The orders in section 3041(e) are not intended to be used to require the installation of an elevator, service to a given floor or landing, or the altering of an existing elevator as a result of building changes or upgrading. Such requirements must come from a different source, code or law.
(Title 24, part 7, section 7-3041)
(Title 24, part 2, section 5108)
NOTE

Authority cited: Sections 142.3 and 7301.5, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Repealer of subsection (c) and new subsections (c) and (d) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment of subsection (d)(2) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Subsection (d) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
4. New subsections (c)(7) and (c)(8), amendment of Exception within subsection (d)(1), repealer of subsection (d)(5) and Exception within subsection (d)(17), and new subsection (d)(5) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
5. Repealer of subsection (c)(7) (Register 75, No. 36 version) filed 1-3-79; effective thirtieth day thereafter (Register 79, No. 1).
6. Amendment of subsection (c) filed 6-19-86; effective thirtieth day thereafter (Register 86, No. 25).
7. Amendment of subsection (c)(1)(E) filed 12-4-86; effective thirtieth day thereafter (Register 86, No. 49).
8. New subsection (e) filed by Building Standards Commission with the Secretary of State on 1-26-88. Submitted to OAL for printing only pursuant to government Code section 11343.8 (Register 88, No. 19).
9. Editorial correction of NOTE 2 filed 6-12-91; operative 7-12-91 (Register 91, No. 34).
10. Amendment of subsections (a) and (b) and Reference citation, filed 7- 1-91; operative 7-31-91 (Register 91, No. 43).
11. Editorial correction of subsections (c)(1)(B)1. and (e)(1) Exception 4 (Register 95, No. 32).
§3042. Hoisting Ropes and Their Connections.
Note     •     History

(a) Suspension Means. All cable-driven elevator cars and counterweights shall be suspended by steel or iron wire ropes attached to the car frame or passing around sheaves attached to the car frame. Ropes shall be without covering, except that marlin-covered rope may be used where liability to excessive corrosion or other hazard exists.
(1) Only wire rope having the commercial classification “Elevator Wire Rope,” or wire rope constructed specifically for elevator use, shall be used for the suspension of elevator cars and for the suspension of counterweights, including replacement of ropes on existing elevators.
(b) Wire Rope Data on Crosshead Data Plate.
(1) The crosshead data plate required in Section 3037(c)(2)(B) shall bear the following wire rope data.
(A) The number of ropes.
(B) The diameter in inches.
(C) The material of the ropes and the manufacturer's rated breaking strength per rope in pounds.
(2) Whenever new ropes are installed that do not agree in size, number, or material with the existing data, the division shall be notified in writing before such a change is made.
(c) Wire Rope Data on Rope Data Tag.
(1) A metal, fiber, or plastic tag shall be securely attached to one of the wire rope fastenings. This data tag shall bear the following wire rope data:
(A) The diameter in inches.
(B) The manufacturer's rated breaking strength.
(C) The grade of material used.
(D) The month and year the ropes were installed.
(E) Whether nonpreformed or preformed.
(F) Construction classification.
(G) Name of the person or firm who installed the ropes.
(H) Name of the manufacturer of the rope.
(2) A new tag shall be installed at each renewal.
(3) The height of the letters shall be not less than 1/16inch.
(d) Wire Rope Data on Reshackling Tag.
(1) Whenever wire ropes are reshackled, a metal, fiber, or plastic tag shall be securely attached to one of the wire rope fastenings. This tag is in addition to the tag required in Section 3042(c). The reshackling tag shall bear the following data:
(A) The month and year the ropes were reshackled.
(B) The name of the person or firm who reshackled the ropes.
(e) Factor of Safety.
(1) The factor of safety of the suspension wire ropes shall be not less than that determined by the formula and graphs of Design Section 3107(a). Table 3042E1 lists the minimum factors of safety for various intermediate rope speeds.

TABLE NO. 3042E1
Minimum Factors of Safety for Suspension Wire Ropes

Rope Speed       	Minimum Factor		Rope Speed	               Minimum Factor
in Feet Per	                of Safety		in Feet Per	                       of Safety
Minute	Passenger	Freight	Minute	Passenger	Freight
	50	7.60	6.65	700	11.00	9.80
	75	7.75	6.85	750	11.15	9.90
	100	7.95	7.00	800	11.25	10.00
	125	8.10	7.15	850	11.35	10.10
	150	8.25	7.30	900	11.45	10.15
	175	8.40	7.45	950	11.50	10.20
	200	8.60	7.65	1000	11.55	10.30
	225	8.75	7.75	1050	11.65	10.35
	250	8.90	7.90	1100	11.70	10.40
	300	9.20	8.20	1150	11.75	10.45
	350	9.50	8.45	1200	11.80	10.50
	400	9.75	8.70	1250	11.80	10.50
	450	10.00	8.90	1300	11.85	10.55
	500	10.25	9.15	1350	11.85	10.55
	550	10.45	9.30	1400	11.90	10.55
	600	10.70	9.50	1450	11.90	10.55
	650	10.85	9.65	1500	11.90	10.55
(2) The factor of safety of replacement ropes for existing elevators shall be not less than the factor of safety of the original ropes based on their original breaking strength.
(f) Minimum Number and Diameter of Hoisting Ropes.
(1) The minimum number of hoisting ropes used shall be three for traction elevators, and two for drum-type elevators.

Exception: Existing traction elevators with two hoisting ropes.
(2) Where a car counterweight or a drum counterweight is used, the number of counterweight ropes used shall be not less than two.
(3) The minimum diameter of hoisting and counterweight ropes shall be 3/8-in. (9.5 mm). Outer wires of the ropes shall be not less than 0.024 in. (0.61 mm) in diameter.
The term “diameter,” where used in this section, shall refer to the nominal diameter as given by the rope manufacturer.
(Title 24, Part 7, Section 7-0342.)
(g) Suspension Rope Equalizers.
(1) Suspension rope equalizers, where provided, shall be of the individual-compression spring type.

Exception: Equalizers of other types may be used with traction elevators provided the equalizers and their fastenings are accepted by the division; and provided that equalizers of the single-bar type or springs in tension shall not be used to attach suspension ropes to cars or counterweights or to dead-end hitch plates. See Design Section 3107(d).
(2) Equalizers shall be used on the car and counterweight ends of all ropes of overhead drum-type elevators where the ropes travel in opposite directions on the drum face.
(h) Securing of Wire Suspension Ropes to Winding Drums.
(1) Car and counterweight suspension ropes of winding drum machines shall have the drum ends of the ropes secured on the inside of the drum by clamps or by tapered babbitted sockets.
(2) Wire suspension ropes of drum-type machines shall have not less than one turn of each rope on the drum when the car or counterweight is resting on the fully compressed buffers.
(i) Replacement and Reshackling of Suspension and Compensation Ropes.
(1) When wear, corrosion, broken wires, or other factors indicate that ropes or cables have their breaking strength materially reduced below the manufacturer's rating, they shall be renewed.
(2) When hoisting or counterweight ropes are renewed, the entire set shall be renewed. A set of rope in this case shall mean all of the hoisting ropes, or all of the car counterweight ropes, or all of the drum counterweight ropes.
(3) Suspension wire ropes or compensating ropes shall not be lengthened or repaired by splicing.
(4) When suspension ropes are renewed, the method of babbitting shall conform to the requirements of Sections 3042(j)(5), 3042(j)(6), and 3042(j)(7).
(5) The hoisting ropes of power elevators having drum-type driving machines with one-to-one (1:1) roping shall be reshackled at the car ends when an inspection shows any evidence of fatigue or abrasion, and in no case at intervals longer than indicated in the following schedule.

	Frequency
	in years
O.H. Drum, Heavy Duty (Over 50 trips per day)	 1
O.H. Drum, Medium Duty (25-50 trips per day)	 2
O.H. Drum, Light Duty (Less than 25 trips per day)	 4
Basement Drum, Heavy Duty (Over 50 trips per day)	 2
Basement Drum, Medium Duty (25-50 trips per day)	 4
Basement Drum, Light Duty (Less than 25 trips per day)	 6

Exception: In lieu of reshackling, the division will accept an auxiliary rope-fastening device which meets the requirements of Section 3042(k).
(A) At the time of this reshackling, a careful inspection shall be made of other shackles, particularly at the drum counterweight ends with the weights landed and the rope slack. These ends shall be reshackled if they show any evidence of fatigue or abrasion.
(B) See Section 3042(d) for the data required on the reshackling tag.
(j) Hoisting Rope Fastenings.
(1) The car and counterweight ends of car and counterweight wire ropes, or the stationary hitch-ends where multiple roping is used, shall be fastened in such a manner that all portions of the rope, except the portion inside the rope sockets, shall be readily visible.
Fastening shall be:
(A) By individual tapered babbitted rope sockets. See Design Section 3107(b)(1).
(B) By other types of rope fastenings accepted by the division provided that U-bolt-type rope clips (clamps) shall not be used for such fastenings. See Design Section 3107(b)(2).
(2) The car ends, or the car or counterweight dead ends where multiple roping is used, of all suspension wire ropes of traction-type elevators shall be provided with shackle rods of a design which will permit individ--ual adjustment of the rope lengths. Similar shackle rods shall be provided on the car or counterweight ends of compensating ropes.
(3) Hoisting rope fastenings shall conform to the following:
(A) The portion of the rope fastening which holds the wire rope (rope socket) and the shackle rod may be in one piece (unit construction) or they may be separate.
(B) The rope socket shall be either cast or forged steel provided that where the rope socket and the shackle rod are in one piece (unit construction), the entire fastening shall be of forged steel. See Design Section 3107(b).
(C) Where the shackle rod and the rope socket are not in one piece, the shackle rod shall be of forged or rolled steel.
(D) Where the shackle rod is separate from the rope socket, the fastening between the two parts shall be positive and such as to prevent their separation under all conditions of operation of the elevator. Where the connection of the two parts is threaded, the length of the thread engagement of the rod in the socket shall be not less than 11/2 times the root diameter of the thread on the rod, and a cotter pin or equivalent means shall, in addition, be provided to restrict the turning of the rod in the socket and prevent unscrewing of the connection in normal operation.
(E) Rope fastenings incorporating antifriction devices which will permit free spinning of the rope shall not be used.
(F) Where hoisting or car counterweight ropes pass through plates at the hitchblock or car crosshead, said plates shall be chamfered, and free from sharp projections.
(4) Tapered babbitted-type rope sockets shall be of design as shown in Figure 3107 and shall conform to the requirements of Design Section 3107(b).
(5) Only babbitt metal shall be used to secure ropes in tapered babbitted sockets. Babbitt metal shall contain at least 9 percent of antimony and shall be clean and free from dross.
(6) Where the tapered babbitted-type of socket is used, the method and procedure to be followed in making up the fastening shall conform to that outlined in Design Section 3107(c).
(7) When the babbitt has cooled and the tape at the small end removed, a visual inspection shall be made which shall show that:
(A) The babbitt is visible at the small end of the socket.
(B) The tops of the looped strands of the rope are just visible above the surface of the babbitt. Where rope wih steel core is used, the steel core shall also be visible above the surface of the babbitt.
(C) No loss of rope lay has occurred where the wire rope enters the basket. Babbitted sockets which do not conform to the above requirement shall be rejected and the rope resocketed.
(k) Auxiliary Rope Fastening Device. Auxiliary rope-fastening devices, designed to support elevator cars or counterweights if any regular rope fastening fails, may be provided subject to the following requirements:
(1) They shall be accepted by the division on the basis of adequate tensile and fatigue test made by an approved testing laboratory.
(2) The device and its fastenings, in its several parts and assembly, shall have a strength at least equal to that of the manufacturer's breaking strength of the rope to which it is to be attached.
(3) The device shall be so designed and installed that:
(A) It will not become operative unless there is a failure of normal rope fastening.
(B) It will function in a rope movement of not over 11/2 inches.
(C) It will not interfere with the vertical or rotational movements of the rope during normal service.
(4) Means shall be provided to cause the electric power to be removed from the hoisting machine motor and brake when any auxiliary fastening device operates. Such means shall be of the manually reset type.
(5) The method used to attach the device to the rope shall be such as to prevent injury to or appreciable deformation of the rope.
(6) The installation of the device shall not reduce the required overhead clearances.
(7) Each device shall be permanently marked with the name of the manufacturer and with the size of the wire rope for which they are designed to be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) filed 6-11-86; effective thirtieth day thereafter (Register 86, No. 24). 
2. Editorial correction of subsection (k)(3)(C) (Register 95, No. 32).
Article 9. Hydraulic Elevators
§3050. Hoistways, Hoistway Enclosures, and Machine Rooms.
Note     •     History

(a) Construction of Hoistways and Hoistway Enclosures. The construction of hoistways and hoistway enclosures shall conform to Section 3010.
(b) Machine Rooms and Machinery Spaces.
(1) Hydraulic elevator machines and control equipment shall be installed in a separate room or enclosure conforming to the requirements of Section 3011(a).

Exception: Existing installations of cabinet-type machines.
(2) The enclosure for the elevator equipment shall be arranged so that passage through the machine room or enclosure is not necessary to gain access to other equipment or other parts of the building.
(3) Elevator machine rooms or enclosed areas shall be kept free of all materials except those used for repair or maintenance of the elevator.

Exception: Existing installations of cabinet-type machines.
(4) Safe access to machine rooms and machinery spaces shall be provided to conform to the regulations of Sections 3011(c) and 3011(d).
(5) The ceiling height in elevator machine rooms or enclosures shall be not less than 7 feet and the clear headroom not less than 6 feet 6 inches below obstructions, such as; pipes, ducts, or wiring used in connection with the elevator.
(6) Permanent lighting and convenience outlets shall be provided and installed to comply with the requirements of CCR, Title 24, Part 3, Article 620.
(7) Clear work space shall be provided within the machine room or enclosure to comply with the requirements of Section 3011(g) except that where the controller is not mounted on the pumping unit, or where the design of the machine housing is such that three (3) sides are permanently enclosed, and that oil may be added to the reservoir safely and without spills getting into the controls, a third side of the machine may be partially or totally blocked provided all other requirements for access to machine parts are complied with.
(8) Where the machinery for more than one elevator is installed in the same machine room, a separate number shall be assigned to each elevator and the major components within the machine room identified with the number assigned.
(Title 24, Part 7, Section 7-3050)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b)(5) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsections (b)(7) and (b)(8) filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
3. Editorial correction of printing error in article heading (Register 92, No. 35).
4. Amendment of subsection (b)(6) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
§3051. Electric Wiring, Pipes, and Ducts in Elevator Hoistways, Machine Rooms, or Machinery Spaces.
Note     •     History

Electric wiring, pipes, and ducts in hoistways, machine rooms, or machinery spaces shall conform to Section 3012, except that the clear headroom under ducts may be reduced to 6 feet 6 inches.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50). 
§3052. Location and Guarding of Counterweights, and Guarding of Exposed Equipment.
Note     •     History

(a) Where Required:
(1) The location and the guarding of counterweights, where provided, shall conform to Section 3013.
(2) The guarding of exposed equipment in the machine room and in the hoistway shall conform to the applicable requirements of Section 3014 and the following:
(A) Pump drive belts and pulleys shall be guarded to protect against accidental contact when adjustments are made to adjacent valves or control components.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50). 
§3053. Machine and Sheave Beams, Supports, and Foundations and Pits.
Note     •     History

(a) Machine and Sheave Beams, Supports, and Foundations. Overhead sheave beams and their supports for counterweights, where provided, shall conform to Section 3015.
(b) Pits. Elevator pits shall conform to Section 3016, except the bottom clearance and runby shall be determined by Section 3054.
(c) The pump unit and tank shall be supported and maintained in place to conform to Section 3111(c)(3).
(d) Structural Members for Offset Car Frame Elevators. Structural members used to attach guide rails, plungers and cylinders to the building shall be designed to withstand four times the static loads imposed by the class of loading used.
(Title 24, Part 7, Section 7-3053)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. New subsection (d) filed 5-25-76; effective thirtieth day thereafter (Register 76, No. 22).
3. Subsection (c) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30, for technical reasons.
4. Amendment of subsection (c) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
5. Amendment filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
§3054. Bottom and Top Clearances and Runby for Cars and Counterweights.
Note     •     History

(a) For Direct-Plunger Elevators. The bottom and top clearances and runby for cars, and for counterweights where provided, shall conform to the following:
(1) The bottom car clearance shall conform to Section 3017(a) provided that, in the determination of the clearance required by Section 3017(a)(1), any under-car bracing which is located within 6 inches horizontally from the edge of the car platform or 3 inches horizontally from the centerline of the guide rails shall not be considered.
(2) The bottom runby of the car shall be not less than 3 inches.
(3) The top runby of the car shall be not less than 6 inches.
(4) Neither the top nor the bottom runby of the car shall be more than 24 inches. The top runby of the hydraulic elevator car is the distance the car platform travels above the top terminal landing when the plunger reaches its extreme limit of travel.
(5) Any fixed structure above the car or crosshead when the plunger is at its extreme limit of travel shall conform to the following:
(A) The distance above a horizontal plane even with the top of the car crosshead and extending 2 feet each side of the crosshead shall be not less than 2 feet.

Exception: Offset car frames outside the area of the car top that have not less than 12 inches between a horizontal plane even with the top of the crosshead member and any object above.
(B) The distance above any part of the car top shall be not less than 2 feet 6 inches.
(C) The distance above any fixed equipment mounted above the car top shall be not less than 6 inches.
(D) The clearance from the raised guardrails required by Section 3034(a)(9) to the overhead structure shall be not less than 18 inches when the plunger is at its extreme limit of travel in the “up” direction.
(6) Where a counterweight is provided, the top clearance and the bottom runby of the counterweight shall conform to the following:
(A) Top Clearance. The top clearance of the counterweight shall be not less than the sum of the following three items:
1. The bottom car runby.
2. The stroke of the car buffers used.
3. 6 inches.
(B) Bottom Runby. The bottom runby of the counterweight shall be not less than the sum of the following:
1. The distance the car can travel above its top terminal landing until the plunger strikes its top mechanical stop.
2. 6 inches.
The minimum runby specified shall not be reduced by rope stretch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (a)(5)(D) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsections (a)(3) and (a)(5) filed 5-25-76; effective thirtieth day thereafter (Register 76, No. 22).
3. Amendment of subsection (a)(5) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
4. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
5. Editorial correction of subsection (a)(1) (Register 95, No. 32).
§3055. Horizontal Car and Counterweight Clearances.
Note     •     History

The horizontal car and counterweight clearances shall conform to the requirements of Section 3018, except that the distance between the enclosure and any side of the car top that is not protected by guide rails shall be not more than 2 feet.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. New NOTE filed 12-8-86; effective thirtieth day thereafter (register 86. No. 50). 
§3056. Protection of Spaces Below Hoistways.
Note     •     History

(a) Protection of Usable Space Below Hoistways. Where the space below the hoistway is used for a passageway, is occupied by persons, or if unoccupied is not permanently sealed against access, the following requirements shall be conformed to:
(1) The cylinder shall be supported by a structure of sufficient strength to support the entire load that may be imposed upon it; and
(2) No counterweights will be permitted.
(3) The car shall be provided with buffers of one of the following types:
(A) Oil buffers conforming to Section 3061(a).
(B) Spring buffers of a design which will not be fully compressed when struck by the fully loaded car at the maximum speed attained in the down direction.
(4) Car buffer supports shall be provided which will withstand, without permanent deformation, the impact resulting from buffer engagement by the car with its rated load at the maximum speed attained in the down direction.
(b) Protection of Cylinders and Piping. Cylinders and piping that pass through areas where vehicles may contact them shall be protected by guards or barriers. (Title 24, Part 7, Section 7-3056)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (register 86. No. 50). 
§3057. Protection of Hoistway Landing Openings.
Note     •     History

The protection of hoistway landing openings shall conform to the requirements of Section 3020.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (register 86. No. 50).
§3058. Hoistway Door and Gate Locking Devices.
Note     •     History

Hoistway door and gate locking devices, hoistway access, and parking devices shall conform to the requirements of Section 3021.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (register 86. No. 50). 
§3059. Power Operation of Doors and Gates.
Note     •     History

Power operation, power opening, and power closing of hoistway doors or gates and car doors or gates shall conform to the requirements of Section 3022.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (register 86. No. 50).
§3060. Car and Counterweight Guide Rails, Guide Rail Supports and Fastenings.
Note     •     History

(a) Guide Rails Required. Passenger and freight elevators shall be provided with car guide rails, and with counterweight guide rails where a counterweight is provided.
(b) Materials and Rail Section. The guide rail material and the rail section shall conform to Sections 3030(b) through 3030(e) inclusive.
(c) Bracket Spacing, Stresses, Deflections, and Maximum Loading.
(1) Guide rails shall be fastened to the building structure at intervals of not more than 16 feet.
(2) The stresses and deflections in the car guide rails and in their brackets, fastenings, and supports due to the horizontal forces imposed on the rail during loading, unloading, and running, based on the bracket spacing used, shall conform to Design Section 3109(a).
Where, for the rail section used, the stresses exceed those therein specified, the rail section shall be reinforced to limit the stresses and deflections to the amount specified.
(3) Guide rails for counterweights, where provided, shall conform to the applicable portions of Section 3030(f).
(d) Rail Joints and Fishplates. The joints of metal guide rails shall conform to the requirements of Section 3030(i).
(e) Overall Length of Guide Rails. The top and bottom ends of each run of guide rail shall be so located in relation to the extreme positions of travel of the car and counterweight that the car and counterweight guiding members cannot travel beyond the ends of the guide rails. The guide rails shall be supported from the pit floor in such a manner that the entire weight of either the car or counterweight can be suspended from the associated set of guide rails.
(f) Guide Rail Brackets and Building Supports and Their Fastenings. The guide rail brackets, building supports, and their fastenings shall conform to the applicable requirements of Sections 3030(k) and 3030(l).

Exception: The seismic forces referred to in Section 3030(k)(1)(C).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New exception in subsection (f) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
§3061. Car and Counterweight Buffers or Bumpers.
Note     •     History

(a) Car Buffers or Bumpers
(1) Car buffers shall be provided for elevators having a maximum speed of more than 50 feet per minute in the down direction.
(2) Car bumpers or buffers shall be provided for elevators having a maximum speed of less than 50 feet per minute in the down direction.
(3) Car buffers or bumpers shall conform to the requirements of Section 3031 except that the stroke and retardation requirements for hydraulic elevators shall be based on the maximum speed in the down direction.
Where the cylinder is an integral part of the car frame and takes the buffer reactions directly, the buffers shall be arranged symmetrically with respect to the cylinder.
(4) Car buffers or bumpers shall be located so that the car will come to rest on the bumper or on the fully compressed buffer before the plunger or cylinder reaches its down limit of travel.
(b) Counterweight Buffers. Where counterweights are provided, counterweight buffers shall not be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)(3) and (a)(4) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
2. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
§3062. Counterweights.
Note     •     History

(a) Applicable Requirements. Counterweights, where provided, shall conform to the requirements of Section 3032.

Exception: Rod-type counterweights may be used provided that, in addition to the two tie rods, they also have two supporting rods having a factor of safety of not less than 5 with the elevator at rest and the counterweight at the top of its travel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
§3063. Car Frames and Platforms.
Note     •     History

(a) Requirements. Direct-plunger elevators shall be provided with car frames and platforms conforming to the requirements of Section 3033 subject to the following modifications:
(1) The stresses and deflections in car frame and platform members and their connections, based on the static load imposed upon them, shall be not more than those permitted by Section 3033, provided that the maximum stresses in the car frame uprights which are normally subject to compression shall conform to Design Section 3103(a)(1).
(2) The calculation of the stresses and deflections inside post car frame and platform members shall be based on the formula and data in Section 3103(a).
For cars with corner-post or subpost car frames, or offset car frames, the formulas and specified methods of calculations do not generally apply and shall be modified to suit the specific conditions and requirements in each case.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(2) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
2. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50). 
§3064. Car Enclosures, Car Doors and Gates, and Car Illumination.
Note     •     History

Car enclosures, car doors and gates, and car illumination shall conform to the requirements of Section 3034, except that side emergency exits in passenger elevator cars shall not be permitted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. NO. 50).
§3065. Car and Counterweight Safeties.
Note     •     History

(a) If a car safety is provided, it shall engage the guide rails to produce a retarding force, and it shall conform to the requirements of Section 3035 and the following:
(1) The safety shall be of a type which can be released only by moving the car in the up direction. The switches required by Section 3036(d) shall, when opened, remove power from the driving machine motor and control valves before or at the time of application of the safety.
(b) If a plunger engaging safety device (PESD) is provided in direct plunger hydraulic elevators, it shall engage the plunger to produce a retarding force, and it shall be designed and approved for that purpose. See Section 3106.1 for required approval data.
(1) The PESD shall:
(A) be the type that can only be released by establishing at least no load pressure on the hydraulic system,
(B) be responsive to a pressure decrease in the system,
(C) be field testable,
(D) be field tested during the acceptance test. The test shall be witnessed by the Division before a permit to operate is issued. The test shall be conducted at no less than the operating speed in the down direction with a capacity load on the car, to demonstrate that the PESD shall stop the elevator with its capacity load.
(2) Further, the PESD shall:
(A) be tested annually for proper operation with no load,
(B) when actuated, operate a switch that shall cut off the power from the operating valves and pump motor. This switch shall reset only upon release of the PESD.
(3) The PESD shall have a metal plate or plates, permanently attached and readily visible, marked with legible and permanent letters and figures not less than 1/4 inch high indicating the following:
(A) the name of the PESD manufacturer and the identifying numbers,
(B) the date the PESD was initially tested and witnessed,
(C) the diameter and wall thickness of the plunger for which the PESD is designed,
(D) the maximum weight, in pounds, for which the PESD is designed,
(E) the maximum speed for which the PESD is designed, and,
(F) the shim adjustment range.
(4) The PESD may be used on new elevators that are covered by regulations in Group III and existing elevators that are covered by regulations in Group II.
(5) The runby clearance may be reduced to no less than one inch on existing hydraulic elevators if a PESD is provided.
(6) The subsequent 5-year load tests per Section 3071(j) will not be required when the hydraulic elevator is equipped with a PESD that complies with the provisions of Section 3065(b) above.
(Title 24, Part 7, Section 7-3065)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
2. Amendment filed 4-13-2000; operative 5-13-2000 (Register 2000, No. 15).
§3066. Capacity and Loading.
Note     •     History

(a) Applicable Requirements. The requirements of Section 3037 covering capacity and loading shall apply to hydraulic elevators except for the following:
(1) With Class C2 loading, all parts of the hydraulic equipment shall be designed for the maximum pressure developed in the system during loading and unloading.
(2) The crosshead data plate or plates shall indicate the following:
(A) The weight of the complete car and the auxiliary equipment attached to the car, excluding the plunger and cylinder where they are not part of the car frame.
(B) The rated load and speed.
(C) The outside diameter and wall thickness of the finished plunger.
(D) The manufacturer's name and date of installation.
(3) The requirements of Section 3037(g) for lifting one-piece loads do not apply. Hydraulic elevators shall not be loaded to exceed their rated load as specified on the capacity plate unless designed and installed to carry one-piece loads exceeding their rated load.
(4) The requirements of Design Section 3100(b), Additional Requirements for Passenger Overload, do not apply to hydroelectric elevators.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(2)(A) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
2. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
§3067. Hydraulic Driving Machines, Plungers, Cylinders, and System Oil Level.
Note     •     History

(a) Type of Drive.
(1) Hydraulic elevators shall be of the direct-plunger type with the plunger or cylinder attached directly to the underside of the car, or to the car frame without intervening linkages, ropes or chains.
(2) Hydraulic machines shall be of the hydroelectric type.
(b) Plungers. 
(1) The plunger and connecting couplings for the plunger shall be of material with a factor of safety of not less than 5 based on the ultimate strength and with an elongation of not less than 10% in a length of 2 in. (51 mm).
(2) Plungers shall be designed, constructed, and attached to the car in accordance with Design Section 3102.
(3) Plungers shall be provided with solid metal stops and/or other means to prevent the plunger from traveling beyond the limits of the cylinder. Stops shall be so designed and constructed as to stop the plunger from maximum speed in the up direction under full pressure without damage to the connection to the driving machine, plunger, plunger connection, couplings, plunger joints, cylinder, cylinder connecting couplings or any other parts of the hydraulic system. For rated speeds exceeding 100 fpm (0.51 m/s) where a solid metal stop is provided, means other than the normal terminal stopping device shall be provided to retard the car to 100 fpm (0.51 m/s) with a retardation not greater than gravity, before striking the stop.
(4) A plunger-follower guide may be used provided it is arranged so that the elevator is always in a position where the unsupported length of the plunger conforms to the “maximum free length” as defined in Section 3102(a) and to open the power circuit if this length is exceeded.
(c) Cylinders.
(1) Cylinders shall be designed and constructed in accordance with the formula in Sections 3102(e) and 3102(f).
(2) Clearance shall be provided at the end of the cylinder so that the end of the plunger will not strike the head of the cylinder when the car is resting on its fully compressed buffer.
(3) Means shall be provided to collect any oil leakage from the cylinder packing gland.
(d) System Oil Level.
(1) The hydraulic system oil level shall be monitored by a qualified person or an approved monitoring system to ensure the system oil level is within the manufacturer's recommended level.
(2) When the oil is below the recommended level, and the quantity of oil loss is not accounted for, the elevator shall be taken out of service and the Division shall be notified within 48 hours.
(A) The elevator shall remain out of service until the cause of the unaccounted oil loss is determined and corrected.
(Title 24, Part 7, Section 3067)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
2. Amendment filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
3. Amendment of section heading, new subsections (d)-(d)(2)(A), and amendment of Note filed 4-13-2000; operative 5-13-2000 (Register 2000, No. 15).
§3068. Valves, Supply Piping and Fittings.
Note     •     History

(a) General Requirements.
(1) Valves, piping, and fittings shall not be subjected to working pressures exceeding those recommended by the manufacturer for the type of service for which they are used.
(2) Piping shall be so supported as to eliminate undue stresses at joints and fittings, particularly at any section of the line subject to vibration.
(3) Flexible hose and fitting assemblies and flexible couplings installed between the check valve and the cylinder on new installations or as replacements on existing elevators shall conform to the following:
(A) Installations shall be accomplished without introducing twist in the hose, and shall conform with the minimum bending radius specified in SAE 100 R2 High Pressure, Steel Wire Reinforced, Rubber Covered Hydraulic Hose. They shall be located and supported to protect hose and fittings from abrasions or undue stresses from external sources.
(B) Shall have a bursting strength sufficient to withstand not less than 10 times working pressure. They shall be tested in the factory or in the field prior to installation at a pressure of at least 5 times working pressure, and shall be marked with date and pressure of test. See Section 3009(b) for definition of working pressure.
(C) Hose shall otherwise conform to the requirements of SAE 100 R2, and shall be compatible with the fluid used therein.
(D) Hose fittings shall be of an approved type.
(E) The hose and fittings assembly shall be permanently marked with the SAE hose-type identification and the installation date.
(F) When wear, corrosion or other factors indicate that safety factor of the hose has been materially reduced below the manufacturer's rating, it shall be renewed.
(G) Flexible couplings shall be so designed and constructed that failure of the sealing element will not permit separation of the parts connected.
(b) Relief and Check Valves.
(1) Each pump or group of pumps shall be equipped with a relief valve conforming to the following requirements:
(A) The relief valve shall be located between the pump and the check valve and shall be of such a type and so installed in a by-pass connection that the valve cannot be shut off from the hydraulic system.
(B) The relief valve shall be pre-set to open at a pressure not greater than that necessary to maintain 125 percent of the working pressure.
(C) The size of the relief valve and by-pass shall be sufficient to pass the maximum rated capacity of the pump without raising the pressure more than 20 percent above that at which the valve opens. Two or more relief valves may be used to obtain the required capacity.
(D) Relief valves having exposed pressure adjustments, if used, shall have their means of adjustment sealed after being set to the correct pressure.

Exception: No relief valve is required for centrifugal pumps driven by induction motors, providing the shut-off, or maximum pressure which the pump can develop, is not greater than 135 percent of the working pressure at the pump.
(2) A check valve shall be provided and shall be so installed that it will hold the elevator car with rated load at any point when the pump stops or the maintained pressure drops below the minimum operating pressure.
(c) Supply Piping and Fittings.
(1) Supply piping materials and fittings shall conform to the requirements of Design Section 3102(g).

Exception: Flexible hydraulic hose and fitting assemblies and flexible coupling.
(2) The minimum wall thickness shall conform to the following:
(A) For working pressures up to 250 pounds per square inch, piping equal to standard schedule 40 steel pipe may be used without stress analysis.
(B) For working pressures more than 250 pounds per square inch, the wall thickness shall be not less than that determined by the formula in Section 3102(g).
(C) Pipe lighter than schedule 40 shall not be threaded, nor grooved for couplings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(3) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsection (a)(3)(B) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment of NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
4. Editorial correction of subsection (c)(2)(A) (Register 95, No. 32).
§3069. Tanks.
Note     •     History

(a) General Requirements.
(1) All tanks shall be of sufficient capacity to provide for an adequate liquid reserve to prevent the entrance of air or other gas into the system.
(2) The permissible minimum liquid level shall be clearly indicated.
(b) Storage and Discharge Tanks.
Storage and discharge tanks shall conform to the following:
(1) They shall be covered and suitably vented to the atmosphere.
(2) They shall be so designed and constructed that, when completely filled, the factor of safety shall be at least 4 based on the ultimate strength of the material.
(3) Welding of parts on which safe operation depends shall conform to Section 3033(g).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86. No. 50).
§3070. Terminal Stopping Devices.
Note     •     History

(a) Normal Terminal Stopping Devices.
Normal terminal stopping devices shall be provided, conforming to the requirements of Section 3039(a).

Exceptions: 
1. The device shall be so designed and installed that it will continue to function until the car reaches its extreme limits of travel.
2. The bottom terminal stopping device may be made ineffective while the car is under control of the top-of-car operating device.
3. The switch contacts shall be directly opened mechanically. Arrangements which depend on a spring, or gravity, or a combination of both, to open the switch contacts, shall not be used.
(b) Emergency Terminal Stopping Devices. Emergency terminal stopping devices shall be installed at the top of the hoistway for rated car speeds of more than 100 feet per minute and shall conform to the following:
(1) They shall operate independently of the normal terminal stopping device should this device fail to slow down the car at the terminal as intended.
(2) They shall retard the car to 100 feet per minute with a retardation not greater than gravity before the plunger reaches its limit of travel in the up direction.
(3) At least two control means are required, one controlled by the emergency terminal stopping device and another by the normal terminal stopping device.
(4) A single short circuit caused by a combination of grounds or by other conditions shall not prevent the functioning of the emergency terminal stopping device.

Exception: Where the plunger is provided with a device to retard the car to 100 feet per minute, with a retardation not greater than gravity, before the plunger reaches its extreme limit of travel, emergency terminal stopping devices are not required.
(c) Final Terminal Stopping Devices. Final terminal stopping devices are not required.
(Title 24, Part 7, Section 7-3070)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
2. New Exception 3. to subsection (a), statement prior to Note and amendment of Note filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
§3071. Operation, Operating Devices and Control Equipment.
Note     •     History

(a) Types of Operating Devices.
(1) Operating devices shall be of a type conforming to the requirements of section 3040(a)(1), section 3040(a)(2) and section 3040(a)(3).
(2) Top-of-car operating devices shall be provided and shall conform to the requirements of section 3040(a)(4).

Exceptions: 
Elevators having a rise of not more than 15 feet and which do not have access switches at the upper landing.
The operation in the down direction may be independent of the down terminal stopping device.
(b) Operation. Operation shall conform to the requirements of sections 3040(a)(4), (a)(5), (a)(6), (a)(7) and (a)(8).
(c) Leveling Devices and Truck-Zoning Devices. 
(1) A two-way automatic maintaining leveling device shall be provided for elevators with automatic or continuous pressure button operation.
(2) Leveling devices and truck zoning devices shall conform to the requirements of section 3040(a)(5).
(d) Electrical Protective Devices. In addition to the terminal stopping devices required by section 3070, the following electrical protective devices shall be provided and shall conform to the requirements of section 3040(b), except that their operation shall cause the electrical power to be removed from all control valves and from the pump motor.
(1) Emergency-stop switch.
(2) Stop switches in pits.
(3) Stop switches on top of cars.
(4) Hoistway door interlocks or hoistway gate contact locks.
(5) Car-door or gate electric contacts.
(6) Electric contacts for hinged car-platform sills.

Exception:  Devices (4), (5), and (6) need not remove the power within the leveling zones.
(e) Requirements for Electrical Equipment and Wiring. All electrical equipment and wiring shall comply with the provisions of CCR, Title 24, Part 3, Article 620.
(f) Installation of Condensers or Devices to Make Electrical Protective Devices Inoperative. The installation of condensers or other devices to make electrical protective devices inoperative shall conform to section 3040(d).
(g) Control and Operating Circuit Requirements. The design and installation of the control and operating circuits shall conform to the following requirements:
(1) Springs, where used to actuate switches, contactors, or relays to stop an elevator at the terminals, or to actuate electrically operated valves, shall be of the compression type.
(2) The completion or maintenance of an electric circuit shall not be used to interrupt the power to control-valve-operating magnets nor to the pump-driving motor under the following conditions:
(A) To stop the car at the terminal.
(B) To stop the car when the emergency stop switch or any of the electrical protective devices operate.
(3) The failure of any single magnetically operated switch, contactor, or relay to release in the intended manner, or the occurrence of a single accidental ground, shall not permit the car to start if any hoistway door interlock is unlocked or if any hoistway door or car door or gate contact is not in the closed position.
(h) Load-Weighing Devices on Passenger Elevators. Load-weighing devices which will stop the elevator while running shall not be installed in connection with passenger elevators. They may be installed to prevent the elevator from leaving a floor but the setting shall be for a load not more than that which would actuate the relief valve.
(i) Car Emergency Signal. Elevators which are operated at any time without a designated operator shall be provided with an emergency signal conforming to the requirements of section 3041(a).
(j) Load Test Required. Every hydraulic elevator installed hereafter shall be field tested before a permit to operate is issued, and again at intervals not to exceed five (5) years. 
(1) The test shall be witnessed by an authorized representative of the Division, or the Division may accept reports of witnesses accepted by the Division as competent. This test shall demonstrate that:
(A) When running the car with rated load in both directions:
1. The rated speed as shown on the crosshead data plate shall not be greater than 110 percent of the actual speed in the up direction with the rated load on the car.
Exception to Section 3071(j)(1)(A)1:
For elevators installed prior to 3-21-70 the Division may accept a greater percentage of the actual speed.
2. The full load “down” speed shall not be greater than 125 percent of the rated speed as shown on the crosshead data plate.
(B) The relief valve is in compliance with Section 3068(b).
(C) When the car with rated load is stopped at some elevation in the hoistway for a period of 15 minutes, and with the power disconnected, the elevator does not move (drift or creep). Any change in car position which cannot be accounted for by visible oil leakage or liquid temperature change indicates a problem and the need for further inspection, tests, or repairs.
(D) The pressure switch if provided is in compliance with Section 3071(m).
(2) A metal, fiber, or plastic tag shall be securely attached to the elevator pumping unit in the machine room, with lettering not less than 1/4 in. (6.4 mm) on a contrasting background indicating the following information:
1. Elevator state number
2. Elevator company who conducted the load test
3. Date of load test.
(k) Out-of-Service Requirements.
(1) When it is intended to discontinue the use of an elevator for an extended period, the power shall be disconnected and the liquid line to the cylinder disconnected.
(2) The car shall be landed in a satisfactory manner.
Note: To facilitate reactivation of the elevator, the car should be landed at least 2 feet above the bottom terminal.
(l) Operation of Elevators Under Fire or Other Emergency Conditions.
(1) Elevators with automatic operation shall conform to fire and other emergency requirements as follows:
(A) Elevators with automatic power operated hoistway doors to section 3041(c).
(B) Elevators with manually operated hoistway doors to section 3041(c)(5) and section 3041(c)(6).
(m) Loss of Pressure Device. A pressure switch or other means shall be provided to prevent the liquid in the cylinder or plunger from returning to the tank through an open valve in the event the weight of the platform is removed from the cylinder or plunger.
(n) Photoelectric Tube By-Pass Switch. Elevators equipped with photoelectric tube devices which control the closing of automatic, power-operated car or hoistway doors, or both, shall conform to the requirements of section 3041(b).
(o) Medical Emergency Elevators. All buildings and structures constructed after the effective date of this order that are provided with one or more passenger elevators shall conform to the requirements of section 3041(e).
(Title 24, Part 7, Section 7-3071)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (l) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. New subsection (m) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
3. Amendment of subsections (a), (b) and (k) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
4. Amendment of subsection (c); repealer and new subsection (l) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
5. Amendment filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
6. New subsections (n) and (o) approved by the Building Standards Commission on 5-24-91 and filed 6-12-91; operative 7-12-91 (Register 91, No. 34).
7. Amendment of subsections (e) and (o) and repealer of subsections (e)(1)-(2) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
8. Redesignation of subsections (j)(1)-(j)(1)(E), amendment of subsection (j)(1)(A)1 Exception, subsections (j)(1)(B), (D) and (E) and new subsections (j)(2)-(j)(2)3 filed 12-6-94; operative 1-5-95 (Register 94, No. 49).
9. Editorial correction of subsections (a)(2) Exception 2 and (j)(2) (Register 95, No. 32).
10. Amendment of subsections (j)(1)(A) and (j)(1)(C) and deletion of subsection (j)(1)(E) approved by the Building Standards Commission on 1-31-2001 and filed 2-2-2001; operative 3-4-2001. Submitted to OAL for printing only (Register 2001, No. 13).
§3072. Counterweight Ropes, Rope Connections, and Sheaves.
Note     •     History

(a) Ropes and Rope Connections. Where a counterweight is provided, the counterweight shall be connected to the elevator car by not less than two steel wire ropes.
The wire ropes and their connections shall conform o Section 3042.

Exception: The factor of safety of the wire rope shall be not less than 7.
(b) Sheaves. Sheaves for counterweight wire ropes shall conform to Sections 3038(b), 3038(c), and 3038(e).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 1423, Labor Code.
HISTORY

1. Amendment of Exception within subsection (a) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
Article 10. Hand and Power Sidewalk Elevators
§3073. General Requirements for Sidewalk Elevators with Sidewalk Doors.
Note     •     History

(a) Type of Elevator. Sidewalk elevators shall be of the direct plunger type with a hydroelectric machine or they may be hand elevators.
(b) Limits of Speed and Travel of Power Elevators.
(1) The rated speed of power-driven sidewalk elevators shall be not more than 50 feet per minute.
(2) Sidewalk elevators shall not be arranged to travel above the normal sidewalk level except as provided in Section 3074(d)(3).
(c) Construction of Hoistways, Hoistway Enclosures, and Machine Rooms.
(1) Hoistways and hoistway enclosures for sidewalk elevators shall conform to Section 3010.

Exceptions: 
1. Section 3010(a)(2)(B). The height of the basement entrance for new and existing installations shall be not more than 12 feet.
2. The requirements of Section 3010(d).
3. The requirements of Section 3010(e)(2).
(2) Machine rooms and machine enclosures shall be provided and their construction shall conform to Section 3050(b).

Exception: Hand elevators.
(A) The clearances and work space requirements shall comply with the following:
1. For hydraulic elevators to Section 3050(b).
2. For existing cabled elevators to Section 3011.
(B) See CCR, Title 24, Part 3, Article 620, required lights, convenience outlets, and clearance around control panels.
(C) Elevator machine rooms or enclosed areas shall be kept free of all materials except those used for repair or maintenance of the elevator.
(3) Pits shall be provided for sidewalk elevators.
(A) The pit shall conform to Section 3016 except the bottom clearance shall conform to Section 3073(c)(3)(B).
(B) The bottom car clearance shall conform to Section 3017(a) provided that, in the determination of the clearance required by Section 3017(a)(1), any undercar bracing which is located within 6 inches horizontally from the edge of the platform or within 3 inches horizontally from the centerline of the guide rails shall not be considered.
(C) The bottom runby shall be not less than 3 inches for hydroelectric elevators.
(d) Landing Openings in Sidewalks.
(1) The maximum clear opening in any sidewalk and its location with respect to the street line or building line shall be determined by local building codes except that in no case shall this opening be inside the building line.
(2) Hoistways shall not be located either wholly or partially in front of any entrance to a building.
(3) The doors shall be of the hinged type with the line of the hinges at right angles to the building wall or at right angles to the curb, if located next to the curb.
(4) Hoistways shall be located so that the clearance between the edge of the doors and the building wall shall be either not more than 4 inches or not less than 24 inches.
(5) There shall be a minimum clearance of 18 inches between the face of the doors and any obstruction when the doors are in the open position.

Exceptions: 
1. Elevators installed before June 5, 1947.
2. Elevators with controls and operating devices that conform to Section 3074(l)(3) need not comply with Section 3073(d)(5).
(6) The sidewalk opening shall be protected by metal doors of sufficient strength to support a static load of not less than 300 pounds per square foot, uniformly distributed. They shall have a nonslip upper surface.
(A) The doors shall be two section center-opening hinged to be level with the sidewalk or other area exterior to the building when in the closed position.
(B) The doors of power elevators shall be opened by the ascending car and shall be self-closing and self-locking as the car descends, and shall be kept in the closed position when the car is not at the top landing.

Exception: The sidewalk doors may be held in the open position by a bar or other device that prevents accidental closing of the doors.
(C) The sidewalk opening shall be further protected by full automatic hinged screens located directly below the sidewalk doors and operated by the car. The screens shall cover the entire hatchway when the elevator is not at the sidewalk level except that openings as necessary for the operation of the door lock or the screens will be permitted.

Exception: Elevators installed before June 5, 1947, which are arranged so the sidewalk doors are not held open or on which the open sides are provided with side screens at least 42 inches high.
1. When the sidewalk doors are open and the elevator is not at the sidewalk level, the opening shall be protected by automatic screens or by side screens on the open sides.
2. Automatic screens, when closed, shall be capable of supporting a 300-pound load on any 1 square foot and shall be constructed of materials that will reject a ball 2 inches in diameter.
3. Automatic screens shall not be tied or held open except when the car is at the sidewalk level.
(D) Sidewalk doors shall be provided with a device that will:
1. Prevent the doors from opening automatically more than 90 degrees from their closed position when the car ascends.
2. Prevent the doors from remaining in the open position when the car descends unless the hold-open bar or device is in place.
(E) Hold-open bars shall be provided with a self-locking device that will prevent the bar from being dislodged by accidental contact.
(F) When gates are provided on the elevator car, the clearance between the gate and the hold-open bar shall be not less than 5 inches when the gate is opposite the bar.
(e) Protection of Other Hoistway Openings.
(1) Entrances at hoistway landings shall comply with the requirements of Section 3020, as they apply to freight elevators, in the case of power elevators and to Section 3076 for hand elevators.
(2) Hoistway door or gate-locking devices shall conform to the requirements of Section 3021, as they apply to freight elevators, except that where gates are used, the bottom landings may be provided with a contact lock.
(f) Requirements for Electrical Wiring and Electrical Equipment. Electrical wiring and wireways in hoistways, machine rooms and machinery spaces shall comply with CCR, Title 24, Part 3, Article 620.
(g) Clearance Between Loading Side of Car Platforms and Hoistway Enclosures. The horizontal clearance between the car and the hoistway shall comply with Section 3018.
(Title 24, Part 7, Section 7-3073)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code
HISTORY

1. Amendment of subsection (d)(5) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of subsections (c)(2)(B), (f) and Note filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
§3074. Machinery and Equipment for Elevators with Sidewalk Doors.
History

(a) Guide Rails, Guide Rail Supports, and Fastenings. Guide rails and their supports shall conform to Section 3030 and Design Section 3109(a) for hydroelectric elevators and to Section 3077(e) for hand elevators.
(1) The top and bottom ends of each run of guide rail shall be located so that the car cannot travel beyond the ends of the rail. The rails shall be extended to or supported by the pit floor.
(b) Buffers. Buffers shall conform to the following:
(1) Hydroelectric elevators to Section 3061.
(2) Hand elevators to Section 3076(e)(4).
(c) Counterweights. Power sidewalk elevators shall be uncounterweighted. Existing counterweights shall be maintained to comply with Section 3032.
(d) Car Frames and Platforms.
(1) Car frames and platforms shall conform to the requirements of Section 3063 for hydroelectric elevators, and Section 3077(a)(3) for hand elevators.
(2) Bow irons shall be provided on the car to operate the sidewalk doors and screens except on hand elevators.
(A) Bow irons shall be not less than 7 feet high, except that this height may be reduced by an amount necessary to permit the sidewalk doors to close when the car is at the landing next below the sidewalk level.
(B) Bow irons shall be so designed and installed as to withstand the impact when striking the doors.
(C) Bow irons shall be located approximately symmetrically with respect to the center of the car platform.
(3) Sidewalk elevators arranged to travel above the level of the sidewalk shall conform to the following:
(A) The depth of the car frame and the length and spacing of the guiding members shall be such as to prevent tipping of the platform when it is at its highest upper landing level. See Section 3063(a)(1) for the minimum requirements.
(B) The car platform shall be provided with metal aprons or guards on all exposed sides, conforming to the following:
1. They shall be made of metal of not less than No. 16 M.S. gage.
2. They shall have a straight vertical face flush with the outer edge of the platform, having a depth of not less than the distance between the normal upper terminal landing level and the highest upper landing level plus 3 inches.
3. The lower portion of the guard shall be rounded or bent back at an angle of approximately 75 degrees with the horizontal.
(e) Car Enclosures and Car Doors and Gates.
(1) Power-driven sidewalk elevators shall be provided with a car enclosure on the unused sides to a height of not less than 6 feet, conforming to the requirements of Section 3034(c).

Exception: Existing elevators in existing buildings where because of building conditions it is not possible to install sides 6 feet high providing the sides furnished are the maximum height obtainable.
(2) Where car gates or doors are provided, they shall conform to the requirements of Section 3034(f) and shall be provided with a contact conforming to Section 3034(d)(2).
(3) Car enclosures are not required for hand elevators.
(f) Capacity and Loading.
(1) The capacity and loading requirements shall conform to the following:
(A) Hydroelectric elevators to Section 3066.
(B) Hand elevators to Section 3077(c).
(2) Elevators designed for Class B or Class C loading shall have a sign in the car that conforms to the requirements of Section 3037(e)(1)(A).
(g) Driving Machines and Sheaves. Driving machines and sheaves shall conform to Sections 3067, 3068, and 3069 for hydroelectric elevators, and to Section 3077(g) for hand elevators.
(h) Terminal Stopping Devices of Power Elevators.
(1) Terminal stopping devices shall conform to the following:
(A) Hydroelectric elevators to Section 3070.
(B) Limit switches installed in the hoistway at the lower terminal shall be located as far above the bottom of the pit as practicable.
(C) All terminal limit switches in the hoistway or on the car shall be weatherproof.
(i) Operating Devices and Control Equipment of Power Elevators.
(1) Operating devices and control equipment shall conform to the requirements of Section 3071.

Exceptions: 
1. Top of car inspection switches.
2. Top of car stop switches.
(2) Access switches are not required except where biparting doors are installed at the lowest landing.
(3) The operation of power elevators through the sidewalk doors shall conform to the following:
(A) The elevator shall be operated in both the up and down directions through the opening, only from the sidewalk level, except when the doors are held in the open position by the hold-open bar or device.
(B) The operation from the sidewalk level shall be by means of key-operated continuous-pressure type up and down switches or by continuous-pressure type up and down buttons on the free end of a plug-in flexible cord not more than 5 feet in length.
(C) Key-operated switches shall be of the continuous-pressure spring-return type and shall be operated by a cylinder-type lock having not less than a 5-pin or 5-disc combination with the key removable only when the switch is in the off position.
(D) Where the elevator is located on the building wall half of the sidewalk, but not more than 4'0” from the building wall, the key switch or plug receptacle shall be located in the wall within 18 inches horizontally of the edge of the hoistway or within one section of the sidewalk door.
When the elevator is not located on the building wall half of the sidewalk, the key switch or plug receptacle shall be located within one section of the sidewalk door or within 18 inches horizontally of the edge of the hoistway.
Key-operated switches and plug receptacles shall be weatherproof.
(4) Operating buttons may be provided in the elevator car provided that such buttons shall operate the car only when the bow iron is not in contact with the sidewalk doors.
(5) Operating buttons may be provided, mounted on the underside of the sidewalk doors in such a manner as to be clear of the automatic screens, provided that such buttons shall operate the car only when doors are held in the fully open position by the hold-open bar or device.
(6) Operating buttons for operation of the elevator from the hall landings shall not be used except the access switch required for access to the pit where biparting vertically sliding doors are installed at the lowest landing. The access switch shall operate the car only when the bow iron is not in contact with the sidewalk doors.
(7) Operation shall be of the continuous-pressure type.
(8) When it is intended to discontinue the use of a sidewalk elevator for an extended period of time, power elevators shall comply with the requirements of Section 3071(k) and hand power elevators shall comply with Section 3077(j).
HISTORY

1. Amendment of subsections (e)(1), (i)(1) and new subsection (i)(8) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
§3075. Sidewalk Elevators Without Sidewalk Doors.

(a) General Requirements.
(1) Sidewalk elevators without sidewalk doors shall be of the hydroelectric type.
(2) Sidewalk elevators may be installed inside the building with the top landing opening onto the sidewalk or other outside area served, but without any opening into the interior of the building at the top landing.
(3) The rated speed for sidewalk elevators of this type shall not exceed 150 feet per minute.
(4) Sidewalk elevators of this type shall conform to all sections of Article 9 as they apply to freight elevators, subject to the following requirements:
(A) The car frame shall be of a type without a crosshead.
(B) No car top shall be provided.
(C) The car shall be enclosed to a height of 6 feet except for the necessary entrances.
(D) The underside of the hoistway ceiling shall be not less than 10 feet 6 inches above the car floor when the car floor is level with the top landing nor less than 10 feet above the car floor when the ram has reached its extreme limit of travel in the up direction.
(E) The requirements for car top inspection, car top stop switch, light, and convenience outlet shall not apply.
(F) Access switches for car top inspection are not required.
(5) The hoistway enclosure shall be smooth and flush except for the necessary entrances with no recesses or projections in the hoistway walls. 
Article 11. Hand Elevators
§3076. Hoistways, Hoistway Enclosures, and Related Construction.
History

(a) Construction of Hoistways and Hoistway Enclosures.
(1) Hoistways of hand elevators shall be enclosed as required for power-driven elevators in Section 3010(a).
(2) The strength of the hoistway enclosure shall be as required in Section 3010(b).
(3) The construction at the bottom of the hoistway shall comply with Section 3010(c).
(b) Machine Rooms and Machinery Spaces.
(1) Hand elevator machines may be located inside the hoistway enclosure at the top or bottom intervening enclosures or platforms. Machines of hand sidewalk elevators having a travel of not more than one story are not required to be enclosed.
(2) The access to machine rooms and machinery spaces shall comply with Section 3011(c) except that vertical ladders with handgrips may be used for access from building floors where the difference in level exceeds 3 feet.
(3) Permanent electric lighting shall be provided in all machine rooms or machinery spaces.
(c) Machinery and Sheave Beams, Supports, and Foundations.
The machinery and sheave beams, supports, and foundations shall comply with the requirements of Section 3015.
(d) Pits. A pit shall be provided at the bottom of every hand elevator hoistway. These pits shall extend the entire area of the hoistway and shall be of sufficient depth so that there will be not less than 12 inches clearance between the bottom of the pit and the underside of the elevator when the elevator is landed on the fully compressed buffers or bumpers. The pit shall be not less than 30 inches deep.
(e) Bottom and Top Clearances and Runby for Cars and Counterweights.
(1) The top car clearance shall be not less than the sum of the following:
(A) The bottom counterweight runby, if any.
(B) The stroke of the counterweight buffer where buffers are used.
(C) 12 inches.
(2) The top counterweight clearance shall be not less than the sum of the following:
(A) The bottom car runby, if any.
(B) The stroke of the car buffers where buffers are used.
(C) 6 inches.
(3) The top car clearance shall be not less than 18 inches with the platform level with the top landing.
(4) Bumpers or buffers shall be provided under all hand-powered elevators.
(f) Hoistway Clearance. The horizontal clearance between the car and the hoistway or the car and the counterweights shall comply with Section 3018 except that shear plates described in Section 3018(g) need not be provided when the car will not travel in the up direction with 150 pounds on the platform and the brake released.
(g) Protection of Spaces below Hoistways. The requirements of Section 3019 shall apply.
(h) Protection of Hoistway Landing Openings.
(1) Hoistway landing openings shall be provided with vertically sliding semi-automatic or full automatic gates not less than 66 inches high of a design that will reject a ball 2 inches in diameter. Gates shall be so constructed and guided as to withstand a lateral force of 100 pounds concentrated at the center of the gate without being deflected beyond the line of the landing sill, and a force of 250 pounds without forcing the gate from its guides or breaking the gate.

Exception: Where architectural conditions or necessary access to the operating rope preclude the use of 66 inch high gates, the following conditions are permitted.
1. A top landing full automatic gate may be not less than 41 nor more than 43 inches high.
2. A lowest landing full automatic gate not less than 41 nor more than 43 inches high may be used if it disappears into the pit.
3. Semi-automatic gates not less than 41 nor more than 43 inches high may be used at any landing.
(2) Where any gate less than 66 inches high is used at any landing other than the top landing, telltale chains or ropes not less than 4 feet long nor more than 5 inches apart shall be hung from the lower edge of the car platform adjacent to such gates.
(3) Slots in gates required for access to the operating rope or the brake rope or such slots in the hoistway enclosure shall not exceed 5 inches in width.

Exception: Elevators installed before June 5, 1947.
(4) Full automatic gates shall be provided with mechanical locks that prevent the gate from being opened unless the opening device is operated by the elevator car. Semi-automatic gates shall be provided with mechanical locks to prevent the gate from being opened unless the elevator car is within the landing zone.
HISTORY

1. Editorial correction of subsections (h)(1) Exception 1, and (h)(4) (Register 95, No. 34).
2. Editorial correction of subsection (e)(4) (Register 95, No. 41).
§3077. Machinery and Equipment.
History

(a) Car Construction.
(1) Cars shall be enclosed on the sides not used for entrance. The deflection of the enclosure shall be not more than 1/4 inch when subjected to a force of 75 pounds applied perpendicularly to the car enclosure at any point. The enclosure shall be secured to the car platform or frame in such a manner that it cannot work loose or become displaced in ordinary service.

Exception: Sidewalk elevators.
(2) Car tops shall be provided for hand-powered freight elevators and shall comply with the requirements for tops on power-driven freight elevators, as enumerated in Section 3034(c).

Exceptions: 
1. Where all gates, when closed, come down to within 2 inches of the floor except the lowest landing gate.
2. Elevators having a rise of not more than 15 feet.
(3) The car shall be provided with an electric light controlled by a switch on the car, or on elevators with no car top and a rise of not more than 15 feet, the light may be at the top of the hoistway.
(4) Car frames and platforms shall be of metal or sound seasoned wood design with a factor of safety of not less than 4 for metal and 6 for wood, based on the rated load uniformly distributed.
Connections between frame members of the car frame and platform shall be riveted, bolted, or welded.
Sidewalk elevator platforms shall be provided with steel bow-irons to open the sidewalk doors.
(5) Glass shall not be used in elevator cars.
(b) Car Safety Devices.
(1) Hand elevators shall be provided with a car safety device.

Exception: Elevators installed before January 1, 1925, having a rise not exceeding 15 feet.
(2) Governor actuated safeties shall be located below the car platform and shall be approved by the division as required in Section 3106 and the governor and safety tested on each installation as required by Section 3035.
(3) Safety devices actuated by the breaking or slackening of the hoist cables shall be drop tested on each installation and the test shall be witnessed by a representative of the division.
(4) Where the travel exceeds 40 feet, driving machines having hand-operated brakes shall also be equipped with an automatic speed retarder.

Exception: Elevators installed before January 1, 1925.
(c) Capacity and Loading.
(1) The rated load of hand elevators shall be not less than 50 pounds per square foot of net inside car area.
(2) A metal plate shall be fastened in a conspicuous place in the elevator car and shall bear the following information in not less than 1/4 inch letters or figures; stamped, etched, or raised on the surface of the plate.
(A) Rated load in pounds.
(B) The maximum number of passengers to be carried based on 150 pounds per person (if passenger elevator).
(C) Suspension data required by Section 3077(i)(5).
(d) Load and Car Safety Test. A rated-load test and a test of the car safety device with rated load in the car, shall be made of every new elevator before it is placed in regular service. See Section 3077(b).
(e) Guide Rails and Fastenings.
(1) Cars and counterweights shall be provided with guide rails of steel or straight-grained seasoned wood.
(2) Guide rails for sidewalk elevators shall be of steel.
(3) Guide rails shall be securely fastened with through-bolts or clips of such strength, design, and spacing that:
(A) The guide rails and their fastenings shall not deflect more than 1/4 inch under normal operation.
(B) The guide rails and their fastenings shall withstand the application of the safety when stopping the car with rated load or when stopping the counterweight.
(4) Car and counterweight guide rails shall rest on suitable supports and extend at the top of the hoistway sufficiently to prevent the guide shoes from running off the guide rails in case the car or counterweight travels beyond the terminal landings.
(f) Counterweights.
Sections of counterweights, whether carried in frames or not, shall be secured by at least two tie rods passing through holes in the sections. The tie rods shall have lock nuts at each end, secured by cotter pins.
(g) Driving Machines and Sheaves.
(1) The factors of safety, based on the static loads, to be used in the design of driving machines and sheaves shall be not less than 8 for wrought iron or wrought steel and 10 for cast iron or other materials.
(2) Driving machines shall be equipped with a hand brake or an automatic brake operating in either direction of motion of the elevator, and capable of stopping and holding the car with its rated load. When the brake has been applied, it shall remain in the “On” position until released by the operator.
(h) Power Attachments.
(1) Hand elevators shall not be equipped with any means or attachment for applying electric or other power.
(i) Suspension Means.
(1) Suspension means shall consist of not less than two wire ropes or chains.
(2) The factor of safety used in determining the size and number of the suspension members shall be not less than 5, based on the weight of the car and its rated load.
(3) The length of suspension means shall be such as to provide the minimum top car and counterweight clearances.
(4) Drum ends of suspension means shall be secured to the inside of the drum by clamps or babbitted sockets, and there shall be not less than one complete turn of the suspension means around the winding drum when the car or counterweight is resting on its buffers.
(5) The capacity plate required by Section 3077(c)(2)(C), shall state the size, rated ultimate strength, and material of the suspension means. The date of installation of the suspension means shall be shown on a metal tag attached to the suspension fastenings.
(j) Out-of-Service Requirements. When it is intended to discontinue the use of a hand powered elevator for an extended period of time, the cables shall be disconnected and the car and counterweights landed satisfactorily.
HISTORY

1. New subsection (j) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Editorial correction of subsection (b)(2) (Register 95, No. 34).
3. Editorial correction of subsection (c)(2)(C) (Register 95, No. 41).
Article 12. Hand and Power Dumbwaiters Scope
Hand and power dumbwaiters shall comply with the requirements of this article, except that hand dumbwaiters serving not more than two consecutive stories and having a capacity of 20 pounds or less and a car platform area of not more than 2 square feet need not comply with these regulations. 
§3078. Enclosure of Hoistways, Machine Rooms and Machinery Spaces.
Note     •     History

The enclosures shall be building walls, ceiling materials and fireproofing conforming to governing building codes. The regulations included in this section establish minimum standards for hoistway enclosures. These regulations are not intended to supersede applicable local building codes establishing higher standards.
(a) Dumbwaiter Hoistway Enclosures. Hoistway and hoistway enclosures shall comply with the following:
(1) Section 3010(a). Enclosures of Hoistways.
(2) Section 3010(b). Strength of Enclosures.
(3) Section 3010(c). Construction at Bottom of Hoistway.
(4) Sufficient overhead clearance shall be provided for reasonable overtravel and final stopping.

Exception: Dumbwaiters of the undercounter type.
(b) Dumbwaiter Machine Rooms, Machinery Spaces, and Access to Machinery.
(1) The control panels shall be located to conform to the requirements of CCR, Title 24, Part 3, Article 620.
(2) When overhead machines of power dumbwaiters are located within the hoistway, the following regulations shall apply:
(A) The controller shall be located outside the hoistway.
(B) A floor capable of supporting 300 pounds shall be installed below the machine in hoistways over 9 square feet in area.
(C) Access to the machine space shall be provided by means other than the top hoistway landing door.
(D) Access to all parts of the machine shall be provided from the access door, or additional doors, or removable panels shall be installed in the hoistway enclosure for safe and convenient access to the machine.
(E) Access doors shall be not less than 18 inches in the least dimension, nor less than 4 square feet in area, and shall be kept locked.

Exception: Removable panels shall be provided with an electric contact that will prevent operation of the dumbwaiter when the panel is removed.
(F) Access to the machine space may be by means of a portable ladder provided the bottom of the access door is not more than 8 feet above floor level and the access door is located below the room ceiling line.
(G) Access to the machine space shall be by means of a permanent ladder or stairs when the bottom of the access door is more than 8 feet above floor level or when the access door is located above the room ceiling in an attic or crawl space.
1. Landings at the top of permanent ladders and walkways in attics or crawl spaces shall be provided. The headroom above walkways shall be not less than 4 feet and the walkways shall be provided with permanent electric lighting.
(3) When basement machines of power dumbwaiters are located within the hoistway, the following regulations shall apply:
(A) The controller shall be located outside the hoistway.
(B) The machine space shall be provided with an access door.
(C) The access door shall be not less than 18 inches in its least dimension and shall be kept locked.
(D) The access door shall be provided with an electric contact that will prevent the dumbwaiter from operating with the door open.
(E) Access to overhead sheave spaces shall be provided. The access shall conform to the requirements for access to overhead machines in Section 3078(b)(2) unless the equipment at the top of the hoistway can be serviced safely from the hoistway landing door.
(4) When the machines of power dumbwaiters are located outside the hoistway, either above or at the side, the following regulations shall apply:
(A) Machine rooms or machine enclosures shall be provided conforming to the requirements of machine rooms for elevators in Section 3011 or the machine shall be enclosed with removable panels provided with electric contacts that will prevent the dumbwaiter from operating with the panels removed.
(B) Access to machine rooms or machine enclosures located above the hoistway shall conform to Section 3011(c) except that a permanent ladder may be installed for access to the roof or attic space.
(C) The clear headroom in machine rooms or machine enclosures located outside the hoistway shall be not lss than 6 feet 3 inches.
(5) Handpower dumbwaiter machines may be located inside the hoistway enclosure at the top or bottom without intervening enclosures or platforms.
(c) Electrical Wiring, Pipes, and Ducts in Dumbwaiter Hoistways, Machine Rooms, or Machinery Spaces.
(1) Electrical wiring and equipment in dumbwaiter hoistways, machine rooms, and machinery spaces shall comply with CCR, Title 24, Part 3, Article 620.
(2) The installation of pipes, ducts and wiring shall comply with Section 3012.
(d) Dumbwaiter Machinery and Sheave Beams, Supports, and Foundations. Machinery and sheave beams, supports, and foundations shall comply with the applicable requirements of Section 3015.

Exception: Hand dumbwaiter machines may be supported by wood beams.
(e) Pits for Dumbwaiters.
(1) Pits are not required for power or hand dumbwaiters; however, sufficient pit and bottom clearance shall be provided for reasonable overtravel and automatic final stopping.
(2) Dumbwaiter pits shall be maintained in reasonably clean and dry condition.
(f) Horizontal Car and Counterweight Clearances. Horizontal car and counterweight clearances shall conform to Sections 3018(a), 3018(b), 3018(c), and 3018(d).
(g) Protection of Spaces Below Hoistways of Dumbwaiters. Where the space below the hoistway is used for a passageway, or is occupied by persons, or if unoccupied is not permanently sealed against access, the following requirements shall be conformed to:
(1) Dumbwaiter cars and their counterweights shall be provided with safeties which may be operated as a result of the breaking of the suspension means and which may be of the inertia type without governors. The safety may be located in the car or counterweight crosshead. See Section 3079 for test requirements.
(2) The cars and counterweights shall be provided with spring buffers. Oil buffers may be used.
(A) Spring buffers shall be so designed and installed that they will not be fully compressed when struck by the car with its rated load at 125 percent of rated speed, or governor tripping speed if a governor is used.
(3) Car and counterweight buffer supports shall be of sufficient strength to withstand without permanent deformation the impact resulting from the condition listed in Section 3078(g)(2)(A).

Exception: Where it can be demonstrated by recognized engineering calculations, submitted in writing by a qualified engineer, that the structure over the passageway, vault, or other usable space is capable of withstanding the impact of the loaded car or the counterweights falling their maximum distance, no safety device or buffers need be provided.
(h) Protection of Hoistway Landings Openings.
(1) Hoistway landing openings of power dumbwaiters shall be provided with hoistway doors or gates which will fill the full height and width of the openings.
(2) Hoistway landing openings of hand dumbwaiters having a landing sill that is less than 30 inches above the floor level shall be protected by doors or gates which will close automatically when the car leaves the landing. When the doors or gates are arranged so there is no possibility of a shear, these doors or gates may be full automatic.
(3) The width and height of door openings for power dumbwaiters shall not exceed the width and height of the dumbwaiter car by more than 1 inch in each dimension.

Exception: One door opening may be of sufficient size to permit installing and removing the car, but shall be not more than 4 feet 9 inches in height.
(4) The width of door openings for hand dumbwaiters shall not exceed the width of the car by more than 6 inches, and the maximum height of the opening for any height of car shall be 54 inches.
(5) Hoistway gates shall comply with the applicable portions of Section 3020(c).
(6) Hoistway doors of the horizontal or vertical slide or of the swing-type, shall be located so there is not more than 4 inches from the inside face of the door to the nose of the landing threshold.
(i) Hoistway Door Locking Devices. Hoistway doors or gates of power dumbwaiters shall be equipped with interlocks or combination mechanical locks and electric contacts (contact locks) approved for use on dumbwaiters.

Exceptions: 
1. Doors or gates of existing dumbwaiters installed with electric contacts provided the landing sill is not less than 30 inches above the floor level.
2. Doors or gates of dumbwaiters installed before June 5, 1947 with approved devices to prevent the operation of the dumbwaiter with any door or gate open.
3. Existing hydraulic dumbwaiters equipped with semi-automatic or full automatic doors or gates.
4. Hoistway doors or gates for dumbwaiters having a capacity of 20 pounds or less and doors or gates not more than 18 inches wide or 24 inches high may be equipped with approved devices to prevent operation of the dumbwaiter with any door or gate open.
(Title 24, Part 7, Section 7-3078)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (h)(6) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of Exception within subsection (g)(3) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment of subsections (b)(1), (c)(1), (i)  and Note filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
4. Editorial correction of subsection (b)(2)(F) (Register 95, No. 34).
§3079. Machinery and Equipment for Hand and Power Dumbwaiters.
Note     •     History

(a) Dumbwaiter Cars.
(1) Cars shall be of solid or openwork construction on all sides except the necessary openings and of such strength and stiffness that they will not deform appreciably when the load leans or falls against the sides of the car.
(2) Nonmetal cars shall be reinforced with metal from the bottom of the car to the point of suspension.

Exception: Hand dumbwaiters.
(3) Metal car sections shall be riveted, welded or bolted together.
(4) The total inside height of the car shall not exceed 4 feet. The inside net floor area shall not exceed 9 square feet.
(5) Cars shall be provided with a platform and a solid car top.
(b) Structural Capacity Load. Driving machines, car and counterweight suspension means, and overhead beams and supports shall be designed and installed to sustain the car with a structural capacity load not less than that specified in Table 3079B, based on the inside net platform area or the rated load, whichever is greater, with the factors of safety specified in the respective rules applying to such parts. The motive power shall not be required to be sufficient to lift the structural capacity load.

TABLE NO. 3079B
Minimum Allowable Structural Capacity Load Corresponding
to Inside Net Platform Area

Net Platform Area	Structural Capacity
in Square Feet	Load in Pounds

	4	 100
	5	 150
	6 1/4	 300
	9	 500

(c) Rated Load.
(1) The rated load shall be not more than 500 pounds.
(d) Capacity and Data Plates.
(1) A metal plate shall be fastened in a conspicuous place in the car and shall give the rated load in letters and figures not less than 1/4 inch high, stamped, etched or raised on the surface of the plate.
(2) A data plate shall be attached inside or on the car top and indicate the following:
(A) Manufacturer's name and date of installation.
(B) Total weight of car.
(C) Rated speed.
(D) Wire rope data required by Section 3042(b)(1) for cabled dumbwaiters.
(E) The outside diameter and wall thickness of the finished plunger for hydraulic dumbwaiters.
(F) The height of data plate letters and figures shall be not less than 1/8 inch.
(e) Car and Counterweight Safeties.
(1) Car or counterweight safeties are not required except as specified in Section 3078(g).
(2) Governors and governor actuated safeties shall be approved as required for elevators in Design Sections 3105 and 3106. A field test shall be conducted witnessed by a representative of the division.
(3) Safeties actuated by breaking or slackening of the hoist ropes shall be drop tested on each installation. The test shall be witnessed by a representative of the division.
(4) The safety device need not be located below the car or the counterweight.
(f) Driving Machines and Sheaves.
(1) Driving machines shall be located in machine rooms or machine spaces and shall be one of the following types:
(A) Drum
(B) Traction
(C) Screw
(D) Plunger
(E) Single Belt
(F) Chain Drive
(2) Driving machines and sheaves shall be designed with a factor of safety, based on the static load (the rated load plus the weight of the car, ropes, counterweights, etc.) of not less than:
(A) 6 for steel, and
(B) 9 for cast iron and other materials.
(3) Sheaves and drums used with suspension ropes shall:
(A) Be of metal with finished grooves, except that grooves of sheaves not used to transmit power, may be lined with rubber or other sound isolating material.
(B) Have a pitch diameter not less than 24 times the diameter of the rope where used with suspension ropes.
(4) Belts used as the driving means between the motor and the machine of power dumbwaiters shall comply with the following requirements:
(A) Where flat belts are used, the rated speed shall be not more than 50 feet per minute.
(B) Where multiple V-belts are used, the rated speed shall be not more than 150 feet per minute.
(5) Electric and hand driven machines shall be equipped with brakes as follows:
(A) Electric driving machines shall have electrically released brakes applied automatically by springs in compression or by gravity when the power is removed from the motor.
(B) Belt drive machines shall be equipped with a brake located so as to be effective in event of belt failure.
(C) Handdriving machines shall be equipped with hand brakes or automatic brakes which will sustain the car and its rated load. When the brake is applied, it shall remain locked in the “ON” position until released by the operator.
(6) Hydraulic driving machines shall conform to Section 3067, except they may be other than the direct plunger type.
(g) Car and Counterweight Guides and Guide Fastenings.
(1) Car and counterweight guide rails for power dumbwaiters shall be of metal of such design and strength, and so supported as to withstand without undue deflection the loads imposed upon them under normal conditions of service or upon application of a required safety device.

Exception: Dumbwaiters having a capacity of 20 pounds or less may have guides of wood or spring steel wires maintained in tension.
(2) Cars and counterweights of all dumbwaiters shall run in guides. The same set of guide rails may be used for both the car and counterweight.
(3) Guides shall be securely fastened to the hoistway.
(4) Guides for hand dumbwaiters may be of wood.
(5) Guide-rail joints shall be either tongued and grooved or doweled and fitted with splice plates.
(h) Counterweights. Counterweights may be of sectional construction, supported by tie rods provided they are secured by at least two tie rods. Tie rods shall have lock nuts secured by cotter pins.
(i) Means of Suspension and Fastenings.
(1) Cars and counterweights for power dumbwaiters except those having hydraulic or screw-type driving machines, shall be suspended by one or more iron or steel wire hoisting ropes or chains secured to the car or counterweight or rope hitch by babbitted sockets, rope clamps, or equally substantial fastenings.
(A) Suspension ropes shall be provided with a rope data tag conforming to Section 3042(c).
(B) Suspension chains shall be provided with data tags similar to Section 3042(c).
(2) Chains, where used, shall be roller, block, or multiple-link silent type.
(3) The factor of safety, based on the static load, of car and counterweight suspension means of power dumbwaiters shall be not less than the value specified in Table 3079I for the actual speed of the rope or chain corresponding to the rated speed of the dumbwaiter. The fastenings for the suspension means shall develop not less than the factor of safety required for the suspension means.

TABLE NO. 3079I
Factors of Safety for Wire Ropes and for Chains

Rope or Chain Speed		Factor of Safety                      
Feet per Minute	For Ropes	For Chains

	50	 4.8	6.0
	100	 5.2	6.5
	150	 5.5	6.9
	200	 5.9	7.4
	250	 6.2	7.8
	300	 6.6	8.3
	350	 7.0	8.8
	400	 7.3	9.1
	450	 7.7	9.6
	500	 8.0	10.0

(4) The suspension means for hand dumbwaiters shall conform to the following:
(A) Dumbwaiters having a rated load of more than 75 pounds shall be suspended by steel wire ropes or chains having a factor of safety of not less than 4 1/2.
(B) Dumbwaiters having a rated load of 75 pounds or less may be suspended by manila or braided-cotton ropes having a factor of safety of not less than 6.
(5) Wire ropes shall not be lengthened or repaired by splicing.
(6) The winding-drum ends of car and counterweight ropes or chains shall be secured inside the drum, and there shall be not less than one turn of the rope or chain on the drum when the car or counterweight has reached the extreme limit of its overtravel.
(j) Control and Operation of Power Dumbwaiters.
(1) Operation shall be of the automatic or continuous pressure type.
(2) Dumbwaiters equipped with winding-drum machines, shall be equipped with a slack-rope switch which will remove the power from the motor and brake if the car is obstructed in its descent.

Exception: Dumbwaiters installed before June 5, 1947.
(3) Operating devices shall be of the enclosed electric-type.
(4) When it is intended to discontinue for an extended period of time, the use of a dumbwaiter, the car and counterweight shall be landed satisfactorily and the power shall be disconnected.
(k) Terminal Stopping Devices for Power Dumbwaiters. Normal terminal stopping devices conforming to the requirements of Section 3039(a) shall be provided.

Exception: The switch contacts shall be directly opened mechanically. Arrangements which depend on a spring, or gravity, or a combination of both, to open the switch contacts, shall not be used.
(l) Hydraulic Dumbwaiters. Valves, supply piping, fittings and tanks for hydraulic dumbwaiters shall conform to Sections 3068 and 3069.
(Title 24, Part 7, Section 7-3079)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. Amendment of subsection (f)(3), repealer and new subsection (j) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. New Exception to subsection (k), statement prior to Note and Note filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
Article 12.1. Material Lifts and Dumbwaiters with Automatic Transfer Devices
§3080. Electric Material Lifts with Automatic Transfer Devices.
Note     •     History

(a) Hoistways, Hoistway Enclosures and Related Construction. Hoistway, hoistway enclosures and related construction shall conform to the requirements of Article 7, except as Sections are modified by the following:
(1) Section 3010. When cutouts are required in doors for the accommodation of any part of the transfer device, the fire resistance rating of the closed hoistway entrance assembly shall be maintained as required by the governing local building code.
(2) Section 3018(d). The running clearance between any part of a car mounted transfer device and the hoistway sill shall be not less than 1/2 inch.
(3) Section 3020(a)(4). This section does not apply. 
(4) Section 3020(b)(11). Only the following types of entrances shall be used with material lifts with automatic transfer devices:
(A) Horizontal slide, single or multi-section.
(B) Power operated, vertical slide, bi-parting, counterbalanced.

Exception: Manual doors are permitted at landings where the automatic transfer device is inoperative and carts are transferred manually.
(5) Section 3020(b)(15). The transfer mechanism or stationary track shall not project beyond the line of the landing sill unless solid-type guide shoes are provided on the car.
(A) The running clearance between the car and any projection of the transfer mechanism shall not be less than 1/2 inch.
(6) Section 3020(b)(18). The area of hoistway door vision panels where provided shall be not less than 9 square inches.
(7) Section 3020(a)(3)(D). This Section does not apply.
(8) Section 3021(d)(2). In restricted areas only and when access to the hoistway doors is blocked by a permanently floor mounted transfer mechanism the hoistway doors shall close and lock before the car has traveled more than 18 inches away from the landing.
(9) Section 3021(k)(3)(C). The switch required by this section may be located in the central operating station.
(10) Section 3022 (b) (4).
(A) In nonrestricted areas, all the provisions of section 3022(b) (4) shall apply except item (C).
(B) In restricted areas only and when access to the hoistway doors is blocked by a permanently floor mounted transfer mechanism, Section 3022 (b)(4) does not apply except Section 3022 (b)(4)(F).
(b) Machinery and Equipment. The machinery and equipment shall conform to the requirements of Article 8 except Section 3041 and except as Sections are modified by the following:
(1) Section 3031(a)(3). Oil buffers or their equivalent shall be used where the rated speed is in excess of 300 feet per minute.
(2) Section 3031(c). The rated car speeds that determine the buffer strokes specified in the Section may be increased by 100 feet per minute.
(3) Section 3031(f). The rated car speeds that determine the buffer strokes specified in the regulation may be increased by 100 feet per minute.
(4) Section 3033(e). Transfer device on the floor of the lift may serve as a platform. Open areas in the platform shall be covered with solid flooring, grille or perforated metal. Any openings in such material shall reject a ball 2 inches in diameter. The flooring shall be designed to sustain a 300 pound load on any square area 2 feet on a side and 100 pounds at any point. Simultaneous application of these loads is not required.
(5) Section 3034(a)(4). Top emergency exits are not required.
(6) Section 3034(c)(1). Grille or perforated construction may be used for the full height and top of car enclosure. The car enclosure shall be not less than the height of the hoistway entrance.
(7) Section 3034(d)(1). Car doors and gates may be omitted for lifts in restricted areas if required by the type of transfer device used and drawings giving details of the installation are submitted to the division before construction is started.
(8) Section 3034(f)(1). Vertical sliding car doors may be power operated.
(9) Section 3034(f)(5). Where the openings exceed 6 feet in height, the doors or gates shall extend from the car floor to a height of not less than 6 feet. Where the openings are 6 feet or less in height, the car doors or gates shall extend from the car floor to the full height of the opening.
(10) Section 3035(h)(1). Type A safeties are permitted for lifts having a rated speed of 200 feet per minute or less. 
(11) Section 3037(b)(1). The rated load of the lifts shall be based on the weight of the maximum load to be handled or on 50 pounds per square foot of inside net platform area, whichever is greater.
(12) Section 3037(d). Lifts shall be restricted to handling of material only and shall not be used to carry persons. A sign conforming to the requirements of Section 3037 (e)(2) and reading “No Persons Permitted” or an equivalent warning shall be provided and shall be mounted in the car.
(13) Section 3037(e). This section does not apply.
(14) Section 3040(b)(5). An emergency stop switch (switches) conforming to Section 3040(b)(5) shall be provided to stop operation of the lift, the door operation and transfer device operation. The emergency stop switch shall be located in the car adjacent to each entrance in a position that shall be accessible to a person standing at the floor adjacent to the car entrance. If a permanently mounted transfer device, located at the landing, blocks the entrance to the car, an emergency stop switch shall be located at that landing in a position accessible to a person standing near that landing in addition to the emergency stop switch in the car.
(A) A switch shall be mounted adjacent to each landing entrance that will stop the operation of power operated doors and the transfer device at that landing.
(15) Section 3040(a). Car operating devices shall not be permitted unless required for maintenance and, if furnished, shall be in a key-locked cabinet or controlled only by a key-operated switch.
(c) Lifts with Obscured Transfer Devices. Any lift which contains a transfer device not readily visible (e.g., lifts handling self propelled carts or with the transfer device mounted fully below floor with slot operation) shall conform to the requirements of Article 7 and Article 8 of these orders and shall be classified as an elevator. Such elevators are required to have dual control systems. One shall be for use as a material lift and the other for use as an elevator. One system shall be locked out of operation when the other is in use. 
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New Article 12.1 (Sections 3080-3083) filed 5-14-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Editorial correction of subsection (b)(6) (Register 95, No. 34).
§3081. Hydraulic Material Lifts with Automatic Transfer Devices.

Hydraulic lifts shall conform to the requirements of Article 9 except as modified by Sections 3080(a), 3080(b) and 3080(c).
§3082. Power Dumbwaiters with Automatic Transfer Devices.
History

Power dumbwaiter with automatic transfer devices shall conform to the requirements of Article 12 except as Sections are modified by the following and by the additional orders in this section.
(a) Section 3078(1). All hoistway entrances shall be equipped with approved interlocks.
(b) Section 3079(a)(4). The effective inside height of the car above or below the transfer device shall not exceed 4 feet.
(c) Section 3079(a)(5). The transfer device on the floor of the lift shall be permitted to serve as a platform. Open areas in the floor shall be covered with solid flooring, grille or perforated metal, and openings in such material shall reject a ball 2 inches in diameter and shall support not less than 300 pounds on any square area 2 feet on a side.
(d) Section 3079(e). Safety Devices. Safety devices shall be provided when the inside net floor area exceeds 6 square feet or the gross load exceeds 1500 lbs.
(1) Where the gross load (i.e., car transfer device, rated load, gates, operating devices, etc.) exceeds 1500 pounds, car safeties conforming to the requirements of Section 3080(b) (10) shall be provided.
(2) Where the gross load does not exceed 1500 pounds and the rated speed does not exceed 100 f.p.m., a safety actuated by inertia or as the result of the parting of the hoisting ropes may be provided.
(e) Section 3079(j). Emergency Stop Switch. An emergency stop switch (switches) conforming to Section 3040(b)(5) shall be provided to stop operation of the lift, and stop the door operation and transfer device operation. The stop switch shall be located in the car adjacent to each entrance in a position that shall be accessible to a person standing at the floor adjacent to the car entrances and outside the path of the transferred load. A switch or button shall be mounted adjacent to each landing entrance that will stop the operation of power operated doors and the transfer device at that landing.
(f) Section 3079(b). Structural Capacity Load. Dumbwaiters with automatic transfer devices which have a net inside platform area of 3.75 square feet or more shall be rated for a lifting load of not less than 300 pounds.
(g) Access Switches. Dumbwaiters required by Section 3079(d) to be provided with safety devices shall be provided with access switches conforming to Section 3021(k) except that the switch required by 3021(k) (3)(C) may be located in the central operating station.
(h) Car Top Operation. Dumbwaiters required to have access switches shall be provided with means to operate the dumbwaiter from the top of the car conforming to Section 3040(a)(4).
HISTORY

1. Editorial correction of subsection (c) (Register 95, No. 34).
§3083. Automatic Transfer Devices.

(a) Where used in nonrestricted areas, the automatic transfer device shall be so designed that the kinetic energy of the load during the discharge shall not exceed 30 foot-pounds and the speed shall not exceed 11/2 feet per second. When the transfer device is mounted on the car, the load shall be capable of being stopped by a force of 100 pounds. The transfer device shall stop the load at the completion of a discharge operation. A flashing light or a gong shall be actuated on the start of door opening prior to transfer.
(b) Where the transfer of load is in a nonrestricted area, there shall be a clearance of not less than 4 feet between the end of the transferred load and any fixed obstruction in line with the end of the load.

Exception: A clearance of not less than 2 feet will be allowed where the system is arranged to prevent the automatic transfer of more than one load into the area.
(c) In nonrestricted areas, discharge shall not take place unless the area is clear or a protective device or suitable guarding is provided. Guarding means shall be:
(1) Railings or suitable barriers to prevent persons from entering the path of transfer accidentally or colliding with a discharging load, or
(2) Mechanical or electrical devices designed to prevent or stop transfer if a person or object is in the path of the transferring load, or
(3) When transfer load is on a table or section raised not less than 18 inches above the floor, and load does not overhang the table or raised section and the distance between car platform sill and the nearest edge of table does not exceed 6 inches.
Article 12.2. Incline Elevators
§3084. Incline Elevators.
Note     •     History

(a) Hoistway, Hoistway Enclosures, Related Construction, Machinery, and Equipment. Hoistway, hoistway enclosures, related construction, machinery and equipment for incline elevators shall conform to the requirements of Article 7 and 8.

Exception: Incline elevators which do not comply with the regulations of Article 7 and 8 may be installed if their plans, specifications, and general arrangement have been approved by the Division in writing before construction of the incline elevator has begun.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New Article 12.2 (Section 3084) filed 5-25-76 as an emergency; effective upon filing (Register 76, No. 22).
2. Certificate of Compliance filed 7-30-76 (Register 76, No. 31). 
Article 12.3. Special Purpose Personnel Elevators
§3085. Special Purpose Personnel Elevators.
Note     •     History

(a) Scope: This Article applies to elevators permanently installed in a wide variety of structures and locations to provide vertical transportation of authorized personnel and their tools and equipment only. Such elevators are typically installed in structures such as grain elevators, radio antenna and bridge towers, underground facilities, dams, power plants, moving and stationary cranes, derricks and similar structures where, by reason of their limited use and the types of construction of the structures served, full compliance with Articles 7 and 8 is not practical or necessary.
(b) Nonguided or wire-rope guided hoists are prohibited except that wire-rope guided special purpose personnel elevators may be used in chimney and stack type construction provided the elevator is: (1) Designed by a civil or mechanical engineer registered in California; (2) The elevator is erected under the supervision of a qualified engineer; (3) The engineering design and calculations have been approved by the Division prior to installations and (4) A valid operating permit has been issued by the Division prior to use of the elevator.
(c) Elevators in manholes or similar difficult structures, which do not fully comply with this Article, may be installed provided the four conditions listed in subsection 3085(b) are met.
(d) This article applies to new and existing special purpose personnel elevators.
Exception to subsection 3085(d): special purpose personnel elevators previously allowed by variance.
Note: Numbers indicated in brackets following an order refer to the corresponding ANSI A17.1-1981 rule number.
(Title 24, Part 7, Section 7-3085)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former Article 12.3 (Section 3088) to Article 12.6 and new Article 12.3 (Sections 3085-3085.22) filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 24).
2. Editorial correction of subsection (b) (Register 95, No. 34).
§3085.1. Hoistways and Hoistway Enclosures [Rule 1500.1].
Note

(a) Hoistways adjacent to and within 4 ft. (1.22 m) of areas permitting passage of people (e.g., passageways, stairwells, elevator landings) shall be enclosed to a height of not less than 8 ft. (2.44 m) above the floor or stair treads. The enclosure shall be of sufficient strength to prevent contact between the enclosure material and the car or counterweight when the enclosure is subjected to a force of 250 lbs (113 kg) applied at right angles at any point over an area of 4 in. (102 mm) by 4 in. (102 mm). Openwork enclosures may be used and shall reject a ball 1 in. (25 mm) in diameter and shall be so located as to provide at least 4 in. (102 mm) between the outside of the enclosure and the closest member of any moving object inside the enclosure. Enclosures within 4 in. (102 mm) of moving equipment shall have no openings exceeding 1/2 in. (13 mm) in diameter.
(b) The Division shall be provided with engineering details and drawings approved by a California registered engineer, competent in this field, showing the adequacy of the supporting members, foundations and building attachments to safely withstand the forces generated during normal operation and safety tests. The installation of the elevator shall be in conformance with these plans and details.
(Title 24, Part 7, Section 7-3085.1)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.2. Electric Wiring, Pipes and Ducts.
Note     •     History

Electric wiring, pipes and ducts shall comply with the requirements of CCR, Title 24, Part 3, Article 620.

Exception: to Section 3085.2: Main feeders supplying power for the elevator.
(Title 24, Part 7, Section 7-3085.2)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
§3085.3. Horizontal Car and Counterweight Clearances [Rule 1500.2].
Note     •     History

(a) Horizontal car and counterweight clearances shall conform to the requirements of Section 3018 and subsection 3085.6(a).
(b) Where the distance between the car sill and the facia, where provided, or the building structure exceeds 7 in. (178 mm), the car door or gate shall be equipped with an interlock or contact lock.
(Title 24, Part 7, Section 7-3085.3)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (b) (Register 95, No. 34).
2. Editorial correction of Note (Register 97, No. 25).
§3085.4. Pits, Runby, and Top Clearances [Rule 1500.3].
Note     •     History

(a) Pits.
(1) A pit shall be provided for every elevator. In every pit a stop switch conforming to the requirements of subsection 3040(b)(7) shall be provided. [1500.3a]
(2) Access to pits over 3 ft. (.91 m) above or below the pit access door shall comply with the requirements of subsection 3016(d)(4) and (5).
(3) Pits shall be equipped and maintained to comply with the requirements of subsections 3016(e), (f) and (g), except that the light may be omitted if the elevator is exterior to the building.
(4) Where necessary because liquid can collect, design and construction of pits shall comply with the requirements of subsection 3016(b).
(b) Protection of spaces below hoistways not extending to the lowest level of the structure shall conform to the applicable requirements of Section 3019. [1500.3b]
(c) Bottom runby shall conform to the requirements of subsections 3017(a), (b), (c) and (d). [1500.3c]
(d) There shall be a clearance of not less than 30 in. (762 mm) from the highest projection of the car top and/or the crosshead and the nearest part of the overhead structure, when the counterweight is resting on its fully compressed buffer. For rack and pinion elevators without counterweights, there shall be a clearance of not less than 30 in. (762 mm) from the highest projection of the car top and the nearest part of the overhead structure, when the car has reached the uppermost limit of its travel. [1500.3d]
(e) A floor conforming to the requirements of subsection 3010(d) shall be provided at the top of the hoistway. [1500.3e]
(Title 24, Part 7, Section 7-3085.4)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (a)(4) (Register 95, No. 34).
§3085.5. Overhead Machinery Beams and Supports [Rule 1500.4].
Note     •     History

(a) All machinery and sheaves shall be so supported and secured as to effectively prevent any part from becoming loose or displaced.
(b) If bolts in tension are used, the bolts shall be provided with lock nuts (double nutted) and a cotter pin at the end.
(c) Beams directly supporting machinery shall be of steel or reinforced concrete.
(d) Machinery or equipment shall be secured to and supported on, or from the top of overhead beams or floors.

EXCEPTIONS to subsection 3085.5(d):
1. Secondary or deflecting sheaves of traction elevators.
2. Devices and their accessories for limiting or retarding car speed.
3. Driving machines on the car.
(e) Cast iron in tension shall not be used for supporting members for sheaves where they are hung beneath beams. [1500.4a]
(f) The total load on overhead beams shall be equal to the weight of all apparatus resting on the beams plus twice the maximum load suspended from the beams. [1500.4b]
Note: The object in doubling the suspended load is to allow for impact, accelerating stresses, etc.
(1) The load resting on the beams shall include the complete weights of the driving machine, sheaves, controller, etc.
(2) The load suspended from the beams shall include the sum of the tensions in all ropes suspended from the beams.
(g) The factor of safety for overhead beams and their supports shall be not less than 5 for steel and 6 for reinforced concrete. [1500.4c]
(h) Overhead beams and supports shall conform to the requirements of Section 3015. [1500.4d]
(Title 24, Part 7, Section 7-3085.5)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsections (d) Exceptions and (f) Note (Register 95, No. 34).
§3085.6. Counterweights [Rule 1500.5].
Note

(a) Where a counterweight runway is not in the same hoistway as the car, an enclosure meeting the requirements of Section 3085.1 shall be provided.
(b) Access shall be provided for inspection, maintenance and repair of an enclosed counterweight and its ropes. Doors in the counterweight enclosures shall be self-closing and shall be provided with:
(1) An electric contact, the opening of which will remove power from the elevator driving machine motor and brake; and
(2) A self-locking keyed tumbler lock. [1500.5b]
(c) When the counterweight is in the same hoistway as the car, a guard meeting the requirements of subsection 3013(b) shall be provided.
(Title 24, Part 7, Section 7-3085.6)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.7. Hoistway Doors and Gates [1500.6].
Note     •     History

(a) Where hoistway doors or gates are required, the full width of each landing opening shall be protected to its full height, or 8 ft (2.44 m), whichever is less, by doors or gates. The entire entrance assembly shall be capable of withstanding a force of 250 lbs (113 kg) applied on the landing site at right angles to, and approximately at, the center of a panel. This force shall be distributed over an area of 4 in. (102 mm) by 4 in. (102 mm). There shall be no permanent displacement or deformation of any parts of the entrance assembly resulting from this test. Openwork entrances shall reject a ball 1 in. (25 mm) in diameter. [1500.6a]
(b) The hoistway face of the landing doors or gates shall not project into the hoistway beyond the landing sill. No hardware, except that required for door locking devices or contacts, signals or door-operating devices, shall project into the hoistway beyond the line of the landing sill. [1500.6B]
(c) Hoistway doors or gates shall be so arranged that it will not be necessary to reach behind any panel or jamb to operate them. [1500.6d]
(d) Hangers conforming to the requirements of subsection 3020(b)(17) shall be provided. [1500.6e]
(e) The distance between the hoistway doors or gates and the hoistway edge of the landing sill shall not exceed 21/4 in. (57 mm). The distance between the hoistway faces of the landing door or gate and the car door or gate shall not exceed 51/4 in. (133 mm). [1500.6f]
(f) Power operated hoistway entrance doors shall be unperforated and shall meet the requirements of Section 3022.
(Title 24, Part 7, Section 7-3085.7)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Editorial correction of subsection (a) (Register 95, No. 34).
2. Editorial correction of subsection (f) (Register 95, No. 41).
§3085.8. Operating Devices and Control Equipment [Section 1501].
Note

(a) Operating devices and control equipment shall conform to the requirements of Section 3040 except subsection 3040(a)(4), top of car operating devices.
(b) A top of car operating station may be provided and, if provided, shall conform to the requirements of subsection 3040(a)(4).
(Title 24, Part 7, Section 7-3085.8)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.9. Locking Devices for Hoistway Doors or Gates [Rule 1501.2].
Note

Hoistway doors or gates shall be provided with approved hoistway-door interlocks complying with Section 3021.

Exception to Section 3085.9(a): Stationary cam, zoned interlocks may be used on two landing, two opening installations where permitted by the Division.
(Title 24, Part 7, Section 7-3085.9)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.10. Operation [Rule 1501.3].
Note

Operation shall be one of the following:
(1) Continuous-pressure.
(2) Momentary-pressure with up-down, or call-send, buttons or switches in the car and at each landing.
(3) Single-automatic push button.
(4) Selective-collective. [1501.3a]
(Title 24, Part 7, Section 7-3085.10)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.11. Car Guide Rails and Guide Rail Fastenings [Rule 1502.1].
Note     •     History

(a) Guide rails and guide rail fastenings shall be of steel. [1502.1a]
Exception to Subsection 3085.11(a): Where steel may present a hazard, as in chemical or explosive atmospheres, guide rails may be of selected wood or other suitable non-ferrous materials.
(b) Guide rails shall be securely fastened, shall not deflect more than 1/4 in. (6 mm) under normal operation and shall have their joints well fitted and strongly secured. Guide rails, and their joints and fastenings shall withstand, without failure, the application of the car safety when stopping the car with its rated load. [1502.1b]
(c) Guide rails shall extend from the bottom of the hoistway to a sufficient height above the top landing to prevent the guide shoes from running off the rails when the car or counterweight is at its extreme upper position. [1502.1c]
(d) For rack and pinion elevators adequate provisions shall be made to prevent an ascending car from running off the guides and mast to prevent disengagement of the safety pinion from the rack where a rack and pinion car holding safety is used.
(Title 24, Part 7, Section 7-3085.11)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsections (a) and (d) (Register 95, No. 34).
§3085.12. Car and Counterweight Buffers [Rule 1502.2].
Note

(a) Car and counterweight buffers shall be provided and shall conform to the applicable requirements of Section 3031.
(b) For rack and pinion elevators, spring buffers, where used, shall be so designed and installed that they will not be fully compressed when struck by the car with its rated load at governor tripping speed where the safety is governor operated, or at 125% of rated speed where the safety is not governor operated. Kinetic energy from the drive unit shall be taken into account in the design calculations. The effect of the counterweight, where used, may also be taken into account in the design calculations.
(Title 24, Part 7, Section 7-3085.12)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§3085.13. Counterweight Guiding and Construction [Rule 1502.3].
Note     •     History

(a) Counterweights shall be guided to prevent horizontal movement. Guide rails, where used, shall conform to the requirements of Section 3085.11. [1502.3a]
(b) A car counterweight on drum machines shall not be of sufficient weight to cause slackening of any car hoisting rope during acceleration or retardation of the car. [1502.3b]
(c) Types of Counterweight Construction [1502.3c]
(1) One-piece solid or laminated steel counterweights may be used.
(2) The counterweight sections, if sections are used, whether carried in a frame or not, shall be fastened together by at least two tie rods which shall pass through all weight sections. Tie rods shall be provided with lock nuts (double nutted) and cotter pins at each end.
EXCEPTION to subsection 3085.13(c): Tie rods are not required were other means are provided to retain weight sections in place if they become broken.
(Title 24, Part 7, Section 7-3085.13)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (c) Exception (Register 95, No. 34).
§3085.14. Car Construction [Rule 1502.4].
Note

(a) Elevator car frames shall be constructed of metal. Elevator car platforms shall be constructed of metal or a combination metal and wood. Where wood is used, the platform shall conform to the requirements of subsection 3033(f). Car frames and platforms shall have a factor of safety of not less than 5, based on the rated load. [1502.4a]
(b) Cast iron shall not be used in the construction of any member of the car frame or platform other than for guide shoes and guide-shoe brackets. [1502.4b]
(c) Glass except for glass meeting the requirements of subsection 3034(a)(7), shall not be used inside elevator cars except for the car light and accessories necessary for the operation of the car or for car door vision panels which, if provided, shall conform to the requirements of subsection 3034(b)(4). [1502.4c]
(d) The car shall not have more than one compartment unless approved by the Division prior to installation. [1502.4d]
(e) All material or personnel to be transported shall be totally within the car compartment and a suitable sign to this effect shall be posted.
(Title 24, Part 7, Section 7-3085.14)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.15. Car Enclosures [Rule 1502.5].
Note     •     History

(a) Except at the entrance, cars shall be fully enclosed with metal at sides and top. The enclosure at the sides shall be solid or of openwork which will reject a ball of 1 in. (25 mm) in diameter. Glass, or other transparent materials, if used as part of the enclosure, shall comply with the requirements of subsection 3034(b)(5). The minimum clear height inside the car shall be 78 in. (1.98 m). [1502.5a]
(b) The car enclosure shall be secured to the platform in such a manner that it cannot work loose or become displaced in regular service. [1502.5b]
(c) Each car shall be provided with an electric light and a light control switch. The light shall provide illumination of at least 2 1/2 foot candles (27 1x) at the landing edge of the car platform. Car lights and convenience outlets shall be fed from a separate branch circuit, independent of the motor circuit power feeders. [1502.5c]
(d) When car size and construction permit, an emergency exit with a cover shall be provided in the top of the elevator car enclosure conforming to the following requirements:
(1) The exit opening shall have an area of not less than 352 in.2 (0.227 m2), and shall not measure less than 16 in. (406 mm) on any side.
(2) The exit shall be so located as to provide a clear passageway unobstructed by fixed elevator equipment located in, or on top of, the car.
(3) The exit shall open outward and shall be hinged, or otherwise attached, to the car top.
(4) The exit cover shall be equipped with a switch or contact that, when opened, will cause a device to remove power from the machine motor and brake. The exit cover switch or contact shall be of a manual reset type. [1502.5d]
(e) Where the machine or control panel are located on the car top, the following shall be provided:
(1) Standard guardrails and toeboard;
(2) Worklight, light switch and convenience outlet; and
(3) Car top operating station conforming to subsection 3040(a)(4).
(Title 24, Part 7, Section 7-3085.15)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (b) (Register 95, No. 34).
§3085.16. Car Doors or Gates [Rule 1502.6].
Note

(a) A car door or gate shall be provided at each entrance to the car which, when closed, shall guard the opening to its full height. Car doors may be of solid or openwork construction which will reject a ball 1 in. (25 mm) in diameter. Collapsible car gates shall comply with subsection 3034(e)(5).
(b) A car door or gate contact meeting the requirements of subsection 3034(d)(2) shall be provided.
(Title 24, Part 7, Section 7-3085.16)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.17. Car Safeties and Governors [Rule 1502.7].
Note

(a) Traction and drum type elevators suspended by wire ropes shall be provided with an approved car safety capable of stopping and sustaining the car with rated load. Safeties, testing, and marking plates shall comply to the requirements of Section 3035. [1502.7a]
(b) The car safety shall be actuated by an approved speed governor. The governor, governor rope, and operation shall conform to the requirements of Section 3036.
(c) The speed governor shall be located where it cannot be struck by the car or counterweight in case of overtravel and where there is sufficient space for full movement of the governor parts.
(d) Rack and pinion-type elevators shall be provided with one or more safeties acceptable to the Division. The safeties shall be attached to the car frame or supporting structure. All car safeties shall be mounted on a single car frame and shall operate on one pair of guide members or on one vertical rack. [1500.7b]
(1) Stopping Distances. The travel of the car, measured from the point at which the governor trips to the point of full stop shall not exceed the following values: (for higher speeds see Section 3085.19 exception)
(A) For car safeties: 64 in. (1.63 m).
(B) For counterweight: 78 in. (1.98 m).
(2) A metal plate shall be securely attached to each safety so as to be readily visible and shall comply with the requirements of subsection 3035(n).
(3) Governor ropes shall conform to the requirements of subsection 3036(e), when applicable.
(e) The motor-control circuit and the brake-control circuit shall be opened before, or at the time, the safety applies. [1502.7c]
(f) A car safety device which depends upon the completion or maintenance of an electric circuit for the application of the safety shall not be used. Car safeties shall be applied mechanically. [1502.7d]
(g) The minimum factors of safety and stresses of safety parts and any associated rope connections shall comply with subsection 3035(1). [1502.7e]
(Title 24, Part 7, Section 7-3085.17)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§3085.18. Capacity and Data Plates [Rule 1502.8].
Note

(a) Capacity and data plates, conforming to the requirements of subsection 3037(c), shall be provided.

Exception to subsection 3085.18(a): For cars having no crosshead, the data plate shall be located inside the car.
(b) A conspicuous sign shall be posted that will convey the message that use of the elevator is limited to authorized personnel only.
(Title 24, Part 7, Section 7-3085.18)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.19. Limitation of Load, Speed and Platform Area [Rule 1502.9].
Note

(a) The rated load shall not exceed 650 lbs (294 kg).
(b) The inside net platform area shall not exceed nine (9) ft2 (0.84 m2).
(c) The minimum rated load shall not be less than that based on 70 lb/ft2 (3.35 kPa) of inside net platform area or 250 lbs (113 kg) whichever is greater.
(d) The rated speed shall not exceed 100 fpm (0.51 m/s).

Exception to Section 3085.19: The capacity and/or speed may increased if the Division approves and the approval shall be based on data submitted before installation or alteration indicating compliance with the applicable requirements of subsection 3000(h), Major Alterations. For rack and pinion type elevators the data submitted shall include engineering details and calculations where applicable.
(Title 24, Part 7, Section 7-3085.19)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.20. Driving Machines and Sheaves [Rule 1502.10].
Note

(a) Driving machines shall be of the traction, drum, screw, or rack and pinion type. The installation of belt-drive and chain-drive machines is prohibited. [1502.10a]
(1) Screw machines shall conform to the requirements of Section 3088.
(2) The rack and pinion drive shall consist of one or more power-driven rotating pinions mounted on the car and arranged to travel on a stationary vertical rack mounted in the hoistway. The drive shall have at least one pinion, one rack, and two backup rollers. The pinion and rack shall be of steel with a minimum safety factor of eight for the pinion and the rack. Driving machines located within the car shall be fully enclosed with solid or openwork metal which shall reject a ball 1/2 in. (13 mm) in diameter and which shall be locked.
(b) Winding drums, traction sheaves and overhead and deflecting sheaves shall be of cast iron or steel and of a pitch diameter or not less than 30 times the diameter of the wire suspension ropes. The rope grooves shall be machined. [1502.10b]

Exception to subsection 3085.20(b): Where 8 x 19 steel ropes are used on a drum type machine installation, the pitch diameter of drums and sheaves may be reduced to 21 times the diameter of the rope.
(c) The factor of safety for driving machines and sheaves shall conform to the requirements of subsection 3038(c). [1502.10c]
(d) Bolts transmitting torque and set screws shall conform to the requirements of subsection 3038(d). [1502.10d]
(e) Friction-gearing or clutch mechanisms shall not be used for connecting the drum or sheaves to the main driving mechanism. [1502.10e]
(f) Worms and worm gears made of cast iron shall not be used. [1502.10f]
(g) Driving machines shall be equipped with brakes meeting the requirements of subsection 3038(h). [1502.10g]
(h) A single ground or short circuit, a counter-voltage or a motor field discharge shall not prevent the brake magnet from allowing the brake to set when the operating device is placed in the stop position. [1502.10h]
(i) A permanent, safe and convenient means of access to elevator machine rooms and overhead machinery spaces shall be provided for authorized personnel. [1502.10i]
(Title 24, Part 7, Section 7-3085.20)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.21. Suspension Means [Rule 1502.11].
Note

(a) Suspension means shall consist of not less than two wire ropes. Only iron (low-carbon steel) or steel wire ropes having the commercial classification “Elevator Wire Rope,” or wire rope specifically constructed for elevator use, shall be used for the suspension of elevator cars and for the suspension of counterweights. The wire material for ropes shall be manufactured by the open-hearth or electric furnace process or their equivalent. [1502.11a]
(b) The minimum diameter of any suspension rope shall be not less than 3/8 in. (9.5 mm). [1502.11b]
(c) Rope data shall be indicated on the crosshead data plate as required by subsection 3042(b).
(d) A rope data tag shall be provided that meets the requirements of subsection 3042(c).
(e) The factor of safety of the suspension means shall conform to subsection 3042(e) passenger elevators. [1502.11c]
(f) The arc of contact of a wire rope on a traction sheave and the shape of the grooves shall be sufficient to produce adequate traction under all load conditions. [1502.11d]
(g) All wire ropes anchored to a winding drum shall have not less than one full turn of rope on the drum when the car or counterweight has reached its limit of possible over-travel, including a fully compressed buffer. Each turn of the wire rope on the winding drum shall be in a separate groove on the drum. [1502.11e]
(h) No car or counterweight rope shall be lengthened or repaired by splicing. If one wire rope of a set is worn or damaged and requires replacement, the entire set of ropes shall be replaced. [1502.11f]
(i) The winding-drum ends of car and counterweight wire ropes shall be secured by clamps on the inside of the drum or by one of the methods specified in subsection 3085.20(h) for fastening wire ropes to car or counterweight. [1502.11g]
(j) The car or counterweight ends of wire ropes shall be fastened as required by Section 3042.
(Title 24, Part 7, Section 7-3085.21)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§3085.22. Emergency Signal and/or Communication. [Rule 1502.12].
Note

Each elevator shall be equipped with an alarm button or switch in the car operating station and an alarm device mounted in a location which shall be readily available to a person who is normally situated in the vicinity when the elevator is in use, or a means of voice communication with a receiving station which is always attended when the installation is in use. If the alarm device or means of voice communication is normally activated by utility power supply, it shall be backed up by a manual or battery operated device.
(Title 24, Part 7, Section 7-3085.22)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 12.5. Vertical or Inclined Reciprocating Conveyors
§3087. Application.
Note     •     History

(a) This Article applies to the design, construction, installation, use, operation, maintenance and inspection of vertical or inclined reciprocating conveyors equipped with a platform or carrier and intended for moving inanimate objects and/or material only.
(b) The orders of this Article establish minimum requirements and take precedence over any other safety orders with which they are inconsistent. Machines, equipment and operations not specifically covered by these orders shall be governed by applicable General Industry Safety Orders.
Note: Corresponding paragraph references to ASME B20.1-1990 are shown in brackets. All references apply strictly to vertical or inclined reciprocating conveyors. All automated systems associated with conveyors are excluded from this Article.
(Title 24, Part 7, 7-3087)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New Article 12.5 (sections 3087-3087.8) filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.1. Definitions. [4]
Note     •     History

Actuator. A manually operated device that initiates the action of controls or controllers.
Antirunaway (Safety Stop). A safety device to stop and hold the uncontrolled descent of a platform or carrier.
Backstop. A mechanical device to prevent reversal of a loaded vertical or inclined reciprocating conveyor under action of gravity when upward travel is interrupted.
Bracing. Structural members used to stabilize the supporting structure.
Brake. A friction device for slowing down conveyor components, bringing conveyor equipment to a controlled stop, holding traveling equipment at a selected landing, preventing reverse travel, and controlling overspeed due to the action of gravity.
Carrier or Platform. The moving part of a vertical or inclined reciprocating conveyor that supports the load.
Control. The system governing the starting, stopping, direction of motion, acceleration, speed, retardation identification, and function of the moving member in a predetermined manner.
Controller. An electromechanical device or assembly of devices for starting, stopping, accelerating, or decelerating a drive, or serving to govern in the predetermined manner the power delivered to the drive.
Conveyor Vertical or Inclined. A hydraulically or mechanically powered reciprocating device exclusively designed for moving freight (not to carry passengers or an operator) vertically or on an incline between two or more landings and/or between different levels on a single floor.
Counterweight. Weights in a structural frame used to balance or impose a load.
Drive. An assembly of the necessary structural, mechanical, and electrical parts that provides the motive power.
Emergency Stop. A stop resulting from a sudden and unexpected need, and not as part of the normal operation.
Emergency Stop Switch. A device that must be actuated in an emergency situation to stop a conveyor.
Enclosed. Describes the guarding of moving parts in such a manner that physical contact by parts of the body is precluded as long as the guard remains in place.
Guard. A covering or barricade to prevent entry into operating components such as gear, chain, or nip points.
Guarded. Shielded, fenced, enclosed, or otherwise protected by means of suitable enclosure, covers, casing shields, troughs, railings, or by nature of location as to reduce forseeable injury.
Guarded By Location. Describes moving parts so protected by their remoteness from the floor, platform, walkway, or other working level, or by their location with reference to frame, foundation, or structure as to reduce the forseeable risk of accidental contact by persons or objects.
Nip point. A point at which moving or rotating machinery components may entrap persons or objects by nipping, pinching, or squeezing.
(Title 24, Part 7, Section 7-3087.1)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.2. Safety Considerations.
Note     •     History

(a) Vertical or inclined reciprocating conveyor equipment shall be used to convey materials within the manufacturer's capacity and speed. [5.1]
(b) Means shall be provided to prevent injury to persons in the event of mechanical or electrical failure, where the effect of gravity will allow uncontrollable lowering of the load and where this load will cause a hazard to persons. [5.5 and 6.6.1]
(c) Riding vertical or inclined reciprocating conveyors shall be forbidden to all persons. [6.6.1]
(1) Warning signs to this effect shall be conspicuously and securely posted at each point of access to platform or carrier.
(2) Lettering shall be not less than 2 in. (51 mm) high on a contrasting background.
(Title 24, Part 7, Section 7-3087.2)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.3. Electrical Code.
Note     •     History

All electrical installations and wiring shall conform to the California Code of Regulations. Title 24, Part 3, California Electrical Code.
(Title 24, Part 7, Section 7-3087.3)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.4. Controls.
Note     •     History

(a) Controls shall be remotely installed so as to be inaccessible from the platform or carrier. [6.6.1 and 6.21.2(e)]
(b) Control stations shall be provided for each landing or located near the access point to the platform or carrier.
(c) The area around the starting and stopping devices shall be kept free of obstruction to permit ready access.
(1) Whenever a solid access door is used, audible or visible means shall be provided at each landing to indicate the platform or carrier arrival.
(2) The area around the control stations shall be kept free of obstruction to permit ready access. [5.12(b)]
(Title 24, Part 7, Section 7-3087.4)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.5. Operation.
Note     •     History

(a) Only persons authorized by the owner shall be permitted to operate vertical or inclined reciprocating conveyors. [5.12]
(Title 24, Part 7, Section 7-3087.5)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.6. Guarding.
Note     •     History

(a) Vertical or inclined reciprocating conveyors shall be guarded so as to prevent injury from inadvertent physical contact. The enclosure shall be not less than 8 ft (2.44 m) high and constructed of a metal mesh that will reject a ball 2 in. (51 mm) in diameter. [6.6.2]
(b) Vertical or inclined reciprocating conveyor enclosures shall be equipped with doors or gates or equivalent device at each manual loading and unloading station, interlocked so that they can be opened only when the platform or carrier has stopped at that level and the platform or carrier cannot be moved until they are closed. [6.21.2]
(c) Where the application requires that personnel walk onto the platform or carrier to load or unload, the platform or carrier shall be provided with standard railings with midrail kickplate and snap chains across operating ends or equivalent guarding. [6.21.2(d)]
(Titile 24, Part 7, Section 7-3087.6)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.7. Counterweights.
Note     •     History

(a) Whenever counterweights are used to protect persons in the event of failure of the normal counterweight, support counterweights shall be confined in an enclosure to prevent the presence of persons beneath the counterweight, or the arrangement shall provide a means to restrain the failing counterweight. [5.8]
(Title 24, Part 7, Section 7-3087.7)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
§3087.8. Maintenance and Service.
Note     •     History

(a) Maintenance and service shall be performed by qualified and trained personnel. [5.2(a)].
(b) Where the lack of maintenance or service would cause a hazardous condition, the user shall establish a maintenance program to ensure that conveyor components are maintained in a condition that does not constitute a hazard to personnel.
(c) Where a conveyor is stopped for maintenance or service, the starting devices, prime movers or power accessories shall be locked or tagged out in accordance with the procedures indicated in California Code of Regulations, Title 8, General Industry Safety Orders, Section 3314. [5.2(d)]
(Title 24, Part 7, Section 7-3087.8)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
Article 12.6. Screw Type Elevators
§3088. Screw Type Elevators.
Note     •     History

(a) Hoistways, Hoistway Enclosures and Related Construction. Hoistway, hoistway enclosures and related construction shall conform to the requirements of Article 7, except as the requirements for elevators with screw type hoisting means are modified by the following:
(1) Section 3010. (Hoistway Enclosures) Safe access to the hoist machines located on the car or in the pit shall be provided from the machine room at the lowest landing or pit level. The access door shall be electrically interlocked to prevent operation of the car when the door is not closed and locked.
(2) Section 3011. (Machine Room)
(A) Hoist motors, rotors, brakes and reduction gears may be located on the car top or in the pit provided.
1. Hoist machines located on the car top are permanently enclosed so they are inaccessible from the car top.
2. Access to drive machines mounted on the car or located in the pit is from the bottom level machine room only. An enclosure shall separate the drive unit on the car or in the pit from the machine room. Access doors shall comply with the requirements of Section 3088(a)(1).
(B) Screw fastenings, car lowering mechanisms and car overspeed governors may be housed in a removable enclosure secured against unauthorized access.
(C) Where the drive unit of a screw type elevator is located in the elevator pit, a permanent means shall be provided in the pit to support the car and platform during repairs or adjustments of the unit. Clear headroom under the platform shall be not less than 7'0” when the elevator is landed on the supports.
(3) Section 3017. (Top and bottom runbys and clearances)
(A) Elevator top and bottom clearances and runbys shall comply with Section 3017 for elevators with electric drive motors and Section 3054 for elevators with hydraulic drive motors.
(B) The bottom runby required by Section 3088(a)(3) may be eliminated where spring buffers complying with Section 3088(b)(1)(C) are provided and the speed of the elevator as it approaches the landing is not more than 10 feet per minute and the spring buffers are not compressed under normal operating conditions.
(4) Section 3018. Horizontal clearances shall comply with Section 3055.
(5) Section 3019. Protection of spaces below pits shall conform to the applicable portions of Section 3056.
(b) Machinery and Equipment. The machinery and equipment for elevators with screw type machines shall conform to the requirements of Article 8 except as sections are modified by the following:
(1) Section 3031. (Car buffers)
(A) Spring buffers used on elevators with screw type drive machines shall be so designed and installed that they will not be fully compressed when struck by the car with its rated load at governor tripping speed.
(B) Buffer design shall consider the energy of the rotating machinery and shall provide an average deceleration of not more than 1.0g for oil buffers and a maximum deceleration of 2.0g for spring buffers.
(C) Where recoil of the car upon impact with the spring buffers is detrimental to the screw, dampening shall be provided by means of a hydraulic or pneumatic device to eliminate any recoil.
(D) Calculations satisfactory to the Division shall be provided for each spring buffer design and rating.
(2) Section 3063. (Car frames and platforms) Car frames and platforms shall comply with Section 3063.
(3) Sections 3035 and 3036. Car safeties and overspeed governors. Screw elevators whose screws have not been shown to be capable of supporting 125% of the rated load and the car weight both in compression and tension shall be provided with car safety and overspeed devices of an approved type. Car safeties and governors shall comply with the requirements of Section 3035 for safeties and Section 3036 for governors.
(4) Section 3038. Screw machines shall comply with the requirements of Section 3068, Section 3104 and Section 3038 except subsections (a) and (b).
(A) In the design of screw machines, the load to be used in computing factors of safety shall be the maximum load imposed when lifting 125% of the rated load.
(B) For design purposes, screw machines shall include hoist and pump motors, gear boxes, sprockets, brakes, brake drums or discs, screws, screw supports and fastenings, rotors, lowering mechanisms, pumps, hoses, and other equipment necessary to raise and lower the elevator.
(C) The hoisting screws of screw machines shall have a factor of safety of not less than 15 based on combined tension and torsion stresses when lifting 125% of rated load and combined compression and torsion stresses when the screw is supporting 125% of rated load when used as a column.
(D) Where the rotor or nut travels with the elevator, the machine except for the screw, shall be inaccessible from the elevator car top and from outside the hoistway. Provisions shall be incorporated in the design of such a system for manually lowering the elevator, from the bottom machine room, to gain access to the machine. This manual control shall be failsafe and have a dead-man control. The lowering means shall be adjustable so the lowering speed is less than one-half rated speed with rated load on the car and shall stop and hold a load of 125% of rated load. This adjustment shall be set and sealed at the time of the initial inspection and at periods not exceeding 5 years.
(E) Machines in which the screw is stationary shall have the screw restrained at both the top and bottom ends to prevent the screw from rotating except when the car is being lowered as required by Section 3088(b)(3)(D).
(F) The screw shall be supported vertically and horizontally in such a way as to eliminate those forces or torques not taken into consideration in the design. Factors of safety required by Section 3104 shall be based on loads when lifting 125% of rated load.
(G) Drawings showing details of the entire screw machine and appropriate calculations by a California Registered Engineer shall be provided before the first machine of a kind and rating is installed and when requested by the Division. The calculations shall show the stress in all critical support members and major components of the machine. Where screws are spliced, the details of the splice shall be acceptable to the Division.
(H) The hoist machine brake shall be located so there is no coupling between the brake and screw or rotor.
(I) Belts and chains shall not be used except where multiple-link silent chain is enclosed in a transmission housing. When multiple-link silent chain is used, its wear shall be monitored with a chain switch to remove power from the drive machine motor and brake when chain wear or stretch becomes excessive.
(J) Hoist machine brakes shall be released electrically or hydraulically and applied by springs.
(K) A flexible hose supplying high pressure fluid to the hoisting rotor motor shall comply with requirements of Section 3068(a)(3)(B) except that where the failure of a hose will not result in lowering the car the hose shall have a bursting strength sufficient to withstand only 4 times the working pressure and shall be tested in the factory or in the field prior to installation of a pressure of at least 2 times the working pressure. Flexible hoses shall in addition to other criteria be designed to withstand the flexing to which they are subjected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 12.3 (Section 3088) filed 8-11-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Renumbering of former Article 12.3 (Section 3088) to Article 12.6 and new Article 12.3 (Sections 3085-3085.22) filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 24). 
3. Editorial correction of subsection (b)(4)(K) (Register 95, No. 34).
Article 13. Escalators
§3089. Construction Requirements.
Note     •     History

(a) Protection of Floor Openings. The protection of floor openings and the means of enclosing escalators, which may or may not be a part of the required egress system of the building, shall conform to governing building codes are not considered part of the Elevator Safety Orders.
(b) Angle of Inclination. The angle of inclination shall be not more than 30 degrees from the horizontal.
(c) Geometry.
(1) The width of the escalator shall be the width of the step tread (to the next whole inch).
(2) The handrail shall be a minimum of 4 in. (102 mm) horizontally and 1 in. (25 mm) vertically away from adjacent surfaces. The centerline of the handrail shall be not more than 10 in. (254 mm), measured horizontally, from the vertical plane through the edge of the exposed step.

View Graphic

RELATIONSHIP OF ESCALATOR PARTS
FIGURE 3089A
(3) The following applies to escalators installed between April 16, 1970 and the effective date of subsections 3089(c), (1) and (2), unles they have been brought into compliance with subsections 3089(c)(1) and (2).
The width between balustrades shall be measured on the incline at a point 27 inches vertically above the nose line of the steps, and shall not be less than the width of the step. It shall not exceed the width of the step by more than 13 inches with a maximum of 61/2 inches on either side of the escalator. See Figure 3089B.

View Graphic

RELATIONSHIP OF ESCALATOR PARTS
FIGURE 3089B
(d) Balustrades.
(1) A solid balustrade shall be provided on each side of the moving steps. The balustrade on the step side shall have no areas or moldings depressed or raised more than 1/4 inch from the parent surface, except when skirt deflection devices, such as brushes, are used per Section 3089(d)(6). Such areas or moldings shall have all boundary surfaces beveled unless parallel to the direction of travel.
(2) Safety glass or plastic panels, if used in balustrades, shall conform to the requirements of ANSI Z97.1, except that there shall be no requirement for the panels to be transparent. 

Exception: Plastic material bonded to a basic supporting panel.
(3) The width between the balustrades in the direction of travel shall not be changed abruptly nor by more than 8 percent of the greatest width. In changing from the greater to the smaller width, the maximum allowable angle of change in the balustrading shall be 15 degrees from the line of travel.
(4) A solid guard shall be provided in the intersecting angle of the outside balustrade (deck board) and the ceiling or soffitt. 

Exception: Where the intersection of the outside balustrade (deck board) and the ceiling or soffitt is more than 24 inches from the center line of the handrail.
(A) The vertical face of the guard shall project at least 14 inches horizontally from the apex of the angle. On existing installations the vertical face of the guard shall be not less than 6 inches.
(B) The exposed edge of the guard shall be rounded to eliminate shear hazard. Guards may be glass or plastic, provided they meet the requirements of Section 3089(d)(2).
(5) Existing escalators shall comply with the following:
(A) Skirt deflection devices to protect against the accidental entrapment of body parts, clothing, shoes, etc., shall be installed; or
(B) Clearances between the skirt and the step shall comply with ASME A17.1-1996, Rule 802.3e, hereby incorporated by reference; and the skirt panel shall comply with ASME A17.1-1996, Rule 802.3f, hereby incorporated by reference.
(C) The escalator shall be inspected by the Division, following the completion of Section 3089(d)(5)(A) or (B), and a new permit to operate issued. Escalator owners shall have three years from April 1, 2000 to comply with Section 3089(d)(5).
(6) If provided, the skirt deflection device shall comply with the following:
(A) The rigid portion of the device shall not rise more than 3/4 inch from the parent surface of the balustrade;
(B) The plans, drawings, and specifications on the planned installation of the deflection device shall be submitted to the Division for review before they are installed. The Division shall review the plans, drawings, and specifications to ensure the planned installations and subsequent operation does not conflict with other requirements of Article 13;
(C) The deflection device shall be inspected by the Division for entanglement, entrapment, shearing, or tripping hazard.
(e) Handrails.
(1) Each balustrade shall be provided with a handrail moving in the same direction and at substantially the same speed as the steps.
(2) Each moving handrail shall extend at normal handrail height not less than 12 inches beyond the line of points of the combplate teeth at the upper and lower landings.
(3) Hand or finger guards shall be provided at the point where the handrail enters the balustrade.
(4) The horizontal distance between the center lines of the two handrails, shall not exceed the width of the escalator by more than 19 in. (483mm). 

Exception to 3089(e)(4): Existing installations installed prior to April 16, 1970.
(f) Step Treads.
(1) The depth of any step tread in the up direction of travel shall be not less than 153/4 inches, and the rise between treads shall be not more than 81/2 inches. The width of a step tread shall be not less than 22 inches nor more than 40 inches. 

Exceptions to 3089(f)(1):
(1) For existing installations installed prior to the effective date of this order, the width of a step tread shall not be less than 16 inches.
(2) Escalators installed prior to April 16, 1970 at which time no order existed.
(2) The step riser shall be provided with vertical cleats which shall mesh with slots on the adjacent step treads as the steps make the transition from incline to horizontal.
(3) The tread surface of each step shall be slotted in a direction parallel to the travel of the steps. Each slot shall be not more than 1/4 inch wide and not less than 3/8 inch deep; and the distance from center to center of adjoining slots shall be not more than 3/8 inch.
Slots shall be so located on the step tread surface as to form a cleat on each side of the step tread adjacent to the skirt panel.
(g) Combplates.
(1) There shall be a combplate at the entrance and at the exit of every escalator.
(2) The combplate teeth shall be meshed with and set into the slots in the tread surface so that the points of the teeth are always below the upper surface of the treads.
Combplates shall be adjustable vertically. Sections forming the combplate teeth shall be readily replaceable.
(h) Trusses or Girders.
The truss or girder shall be designed to safely sustain the steps and running gear in operation and in the event of failure of the track system, the truss shall retain the tracks, steps, and running gear.
Where tightening devices are operated by means of tension weights, provision shall be made to retain these weights in the truss if they should be released.
(i) Step Wheel Tracks.
Step wheel tracks shall be so designed to contain the step wheels in the track if a step chain breaks.
(j) Rated Load.
(1) For the purpose of structural design, the rated load shall be considered to be not less than: 
(Customary Units)
Structural rated load (lb) = 4.6 (W + 8)A 
(Sl Units)
Structural rated load (kg) = 0.27 (W + 203)A 
where
A = length of the horizontal projection of the entire truss, ft(m)
W = width of the escalator, in. (mm)
(2) For the purpose of driving machine and power transmission calculations, the rated load shall be considered to be not less than: 
(Customary Units)
Machinery rated load (lb) = 3.5 (W + 8)B 
(Sl Units)
Machinery rated load (kg) = 0.21 (W + 203)B 
where
B = 1.732 x rise, ft(m)
W = width of the escalator, in. (mm)
(3) For the purpose of brake calculations, the rated load shall be not less than:
(A) With Escalator Stopped 
(Customary Units)
Brake rated load (lb) = 4.6 (W + 8)B 
(Sl Units)
Brake rated load (kg) = 0.27 (W + 203)B
(B) With Escalator Running 
(Customary Units)
Brake rated load (lb) = 3.5 (W + 8)B 
(Sl Units)
Brake rated load (kg) = 0.21 (W + 203)B 
where
B = 1.732 x rise, ft(m)
W = width of the escalator, in. (mm) 
Exception to 3089(j):
(1) For existing installations installed prior to the effective date of this order, the rated load shall be computed as follows:
The rated load, in pounds, shall be computed by the following formula:

RATED LOAD = 4.6WA
Where W is the width in inches between the balustrades and A the horizontal distance in feet between the upper and lower combplate teeth. (See figure 3089B).
(k) Design Factors of Safety. The factors of safety, based on the static loads, shall be at least the following:
(1) For driving machine parts:
(A) Where made of steel or bronze, 8.
(B) Where made of cast iron or other materials, 10.
(2) For power-transmission members, 10. 

Exception: Step chains composed of cast-steel links which, if thoroughly annealed, shall be permitted with a factor of safety of at least 20.
(3) Steel trusses and supporting structures, including tracks, shall conform to AISC Specification for Design Fabrication and Erection of Structural Steel for Buildings.
(l) Rated Speed. The rated speed shall be not more than 125 feet per minute.
(Title 24, Part 7, Section 7-3089.)
NOTE

Authority cited: Labor Code Section 142.3. Reference: Labor Code Section 142.3
HISTORY

1. Amendment of Figure 3089, subsection (d)(2), (k)(3) and repealer of subsection (e)(5) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 35).
3. Amendment of subsection (d)(1) and new subsections (d)(6)-(d)(7)(C) filed 3-13-2000; operative 4-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 11). 
4. Amendment of subsection (d)(1), repealer of subsection (d)(3), subsection renumbering, and amendment of newly designated subsection (d)(5)(C) filed 5-6-2002; operative 6-5-2002 (Register 2002, No. 19).
5. Change without regulatory effect amending subsections (c)(2) and (c)(3) to provide more legible illustrations in Figures 3089A and 3089B filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3090. Escalator Machinery and Equipment.
Note     •     History

(a) Driving Machine, Motor, and Brake.
(1) The driving machine shall be connected to the main drive shaft by toothed gearing, a coupling, or a chain.
(2) An electric motor shall not drive more than one escalator.
(3) Each escalator shall be provided with an electrically released and mechanically or magnetically applied brake. If the brake is magnetically applied, a ceramic permanent magnet shall be used.
(A) There shall be no intentional time delay designed into the application of the brake.
(B) The brake shall be applied automatically if the electrical power supply is interrupted.
(C) The brake shall be capable of stopping the down running escalator with any load up to the brake rated load.
(D) The escalator brake shall stop the down running escalator at a rate no greater than 3 ft/sec2 (0.91 m/s2).
(E) The escalator brake shall be provided with a nameplate which indicates the brake torque in ft-lb (Nm) required to stop and hold brake rated load.
(4) Where means other than a continuous shaft, coupling, or toothed gearing is used to connect the motor to a gear reducer, the escalator brake shall be located on the gear reducer or main drive shaft.
(5)(A) If the escalator brake is separated from the main drive shaft by a chain used to connect the driving machine to the main drive shaft, a mechanically or magnetically applied brake capable of stopping a down running escalator with brake rated load shall be provided on the main drive shaft. If the brake is magnetically applied,a ceramic permanent magnet shall be used.
(B) The brake shall stop the down running escalator at a rate no greater than 3 ft/sec2 (0.91 m/s2), at brake rated load. 

Exception to 3090 (a)(3), (4), (5):
(1) For existing installations installed prior to the effective date of this order, each escalator shall comply with the following:
Each escalator shall be provided with an electrically released mechanically applied brake capable of stopping the up or down traveling escalator with any load up to rated load, as defined in subsection 3089(j). This brake shall be located either on the driving machine or on the main drive shaft.
Where a chain is used to connect the driving machine to the main drive shaft, a brake shall be provided on the driven shaft. It is not required that this brake be of the electrically released type if an electrically released brake is provided on the driving machine.
(b) Operating and Safety Devices.
(1) Operating and safety devices shall be provided conforming to the requirements of this section.
(A) Starting switches shall be of the key-operated, spring return-type and shall be located within sight of the escalator steps.
(B) Emergency stop buttons or other type of manually operated switches having red buttons or handles shall be accessibly located at or near the top and bottom landings of each escalator, and shall be protected against accidental operation. An escalator stop button with an unlocked cover over it which can readily be lifted or pushed aside shall be considered accessible. The operation of either of these buttons or switches shall interrupt the power to the driving machine. It shall not be possible to start the driving machine by these buttons or switches.
(C) Escalators may be arranged to be started and stopped from remote locations only with prior approval from the division. Such approval will be based on, but not limited to the applicant demonstrating that;
1. There shall be provided an acceptable means of viewing the run and landing of the escalator at the remote location.
2. There shall be provided an acceptable means of communication between the escalator and the remote location.
(D) Escalators may be arranged for automatic starting and stopping only with prior approval from the division. Such approval will be based on, but not limited to, the applicant demonstrating that;
1. The escalator shall be provided with an acceptable means to prevent it from starting when a person is on the steps.
2. The escalator shall be provided with some means to determine the direction the person wishes to go, up or down.
3. The starting shall be such that the step are up to full speed before the person reaches them.
4. The escalator shall be provided with some acceptable means to prevent the escalator from stopping until all riders are off the steps.
5. The escalator landing areas shall be provided with illuminated signs that inform the potential rider of the information needed for safe use of the escalator.
(E) A speed governor shall be provided, the operation of which will cause the interruption of power to the driving machine should the speed of the steps exceed a predetermined value, which shall be not more than 40 percent above the rated speed. 

Exception: The overspeed governor is not required where a low slip alternating current squirrel cage induction motor is used and the motor is directly connected to the driving machine.
(F) A broken step-chain device shall be provided that will cause the interruption of power to the driving machine if a step chain breaks, and, where no automatic chain tension device is provided, if excessive sag occurs in either step chain.
(G) An electrically released brake shall automatically stop the escalator when any of the safety devices function.
(H) Where the driving machine is connected to the main drive shaft by a chain, a device shall be provided which will cause the application of the brake on the main drive shaft if the drive chain parts.
(I) Each space containing moving parts, where a means of access is provided, shall be equipped with a stop switch located adjacent to the access door or panel. The stop switches shall:
1. Be of the manually opened and closed type.
2. Be conspicuously and permanently marked, “STOP.”
3. Be positively opened mechanically and their opening shall not be solely dependent on springs.
4. When opened, cause electric power to be removed from the escalator driving machine motor and brake.

Exception: Machinery space in which main line disconnect switch is located.
(J) Means shall be provided to cause the opening of the power circuit to the escalator driving machine motor and brake should an object become wedged between the step and the skirt panel as the step approaches the lower combplate.
(K) Rolling shutters, if used, shall be provided with a device which shall be actuated as the shutters begin to close to cause electric power to be removed from the escalator driving machine motor and brake.
(L) Means shall be provided to cause the opening of the power circuit to the driving machine motor and brake in case of accidental reversal of travel while the escalator is operating in the ascending direction.
(c) Access to Machine Rooms or Machinery Spaces. Sufficient clearance shall be provided within the machine room for safe access, as required for inspection and maintenance, and safe access shall be provided to the machine room.
(1) Floor access panels, in excess of 70 lbf (311 N) shall be counterbalanced or provided with means to lift and move the panel away from the machinery space.
(2) The building owner or responsible party shall provide a competent person to assist the Division's representative where steps removal is required to gain access to drive units, brake and upthrust devices inside the escalator truss.
(d) Lighting and Electrical Work. Lighting and electrical work shall conform to the requirements of CCR, Title 24, Part 3, Article 620.
(e) Guarding in Machine Space. A guard shall be provided between the machine room and the steps to prevent accidental contact with the moving steps.
(Title 24, Part 7, Section 7-3090.)
NOTE

Authority cited: Labor Code Section 142.3. Reference: Labor Code Section 142.3.
HISTORY

1. Amendment of subsection (b)(1)(A) and new subsection (b)(1)(J) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26)
2. Amendment of subsections (a) and (b) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 35).
3. Editorial correction of printing error in subsection (b)(1)(B) (Register 94, No. 18).
4. Amendment of subsection (d) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
5. Amendment of subsections (c)-(c)(1) and new subsection (c)(2) filed 12-6-94; operative 1-5-95 (Register 94, No. 49).
Article 14. Moving Walks
§3091. Design Requirements.
Note     •     History

(a) Direction of Passage. Passage from a landing to a treadway or vice versa shall be in the direction of treadway travel at the point of passenger entrance or exit.
(b) Load Rating.
(1) For the purpose of structural design, the load rating shall be considered to be not less than 100 pounds per square foot of exposed treadway.
(2) For the purpose of brake, treadway and power transmission calculations, the load rating shall be considered to be not less than 75 pounds per square foot of exposed treadway.
(c) Width.
(1) The width of a moving walk is the exposed width of treadway and shall be not less than 16 inches. The maximum width shall depend both on the maximum treadway slope at any point on the treadway, and on the treadway speed. The width shall not exceed the value determined by Table 3091C.
(2) The exposed width of treadway shall not be decreased in the direction of travel.
This width requirement applies only to moving walks having entrance to or exit from landings. It is not intended to preclude development of moving walk systems in which changes in width are made safe and practical by direct passage from one treadway to another, subject to the approval of the division. 

TABLE 3091C

                                         Maximum Moving Walk Treadway Width in Inches 
Maximum Treadway		Above 90 to	Above 140 to
Slope At Any	90 fpm Max.	140 fpm	180 fpm  
Point	Treadway 	Treadway 	Treadway 
	Speed	Speed	Speed  
0 to 5o	Unrestricted	60	40   
above 5 to 8o	40	40	40   
above 8 to 15o	40	40	Not permitted   

(d) Belt Type Treadways.
(1) Belt type treadways shall be designed with a factor of safety of not less than 5, based on ultimate strength.
(2) Splicing of the treadway belt shall be made in such a manner as to result in a continuous unbroken treadway surface of the same characteristics as the balance of the belt.
(3) The treadway surface shall be grooved in a direction parallel to its travel for the purpose of meshing with comb plates at the landings. Each groove shall be not more than 1/4 inch wide at the treadway surface and not less than 3/16 inch deep; and the distance from center to center of adjoining grooves shall be not more than 1/2 inch. Sides of grooves may slope for mold draft purposes and may be filleted at the bottom.
(e) Belt Pallet Type Treadways.
(1) Pallet connecting chains or other connecting devices between pallets, and pallets where part of the propelling system, shall have a factor of safety of not less than 10, based on ultimate strength.
(2) Splicing of the treadway belt shall be made in such a manner as to result in a continuous unbroken treadway surface of the same characteristics as the balance of the belt.
(3) The treadway surface shall be grooved in a direction parallel to its travel for the purpose of meshing with comb plates at the landings. Each groove shall be not more than 1/4 inch wide at the treadway surface and not less than 3/16 inch deep; and the distance from center to center of adjoining grooves shall be not more than 1/2 inch. Sides of grooves may slope for mold draft purposes and may be filleted at the bottom.
(4) Adjacent ends of pallets shall not vary in elevation more than 1/16 inch. The fasteners that attach the belt to the pallets shall not project above the exposed treadway surface.
(f) Pallet Type Treadway.
(1) Pallet connecting chains or other connecting devices, and pallets where part of the propelling system, shall have a factor of safety of not less than 10, based on ultimate strength.
(2) The maximum clearance between pallets shall be 5/32inch.
(3) The treadway surface of each pallet shall be grooved in a direction parallel to its travel. Each groove shall be not more than 1/4 inch wide at the treadway surface and not less than 3/16 inch deep; and the distance from center to center of adjoining grooves shall be not more than 1/2 inch. Sides of grooves may slope for mold draft purposes and may be filleted at the bottom.
(4) Adjacent ends of pallets shall not vary in elevation more than 1/16 inch.
(g) Treadway Slope. The slope of a treadway shall not exceed 15 degrees at any point.
(h) Speed.
(1) The maximum speed of a treadway shall depend both on the maximum treadway slope at points of entrance or exit, and on the maximum treadway slope at any other point on the treadway. This speed shall not exceed the lesser of the values determined by Tables 3091H1 and 3091H2.

TABLE 3091H1

Maximum Treadway Slope at 	Maximum Treadway
Point of Entrance or Exit	  Speed in F.P.M. 
	0 to 3o   	 180   
	above 3 to 5o   	 160   
	above 5 to 8o   	 140   
	above 8 to 12o	 130   
	above 12 to 15o	 125   

TABLE 3091H2

Maximum Treadway Slope at	Maximum Treadway
Any Point on Treadway	Speed in F.P.M.   
	0 to 8o   	 180   
	above 8 to 15o	 140   

(2) The maximum speeds listed in Tables 3091H1 and 3091H2 apply only to moving walks having entrance from or exit to landings. It is not intended to preclude development of moving walk systems in which high speeds are made safe and practical by direct passage from one treadway to another, subject to the approval of the division.
(i) Supports.
(1) For slider bed walks, the carrying portion of the treadway shall be supported for its entire width and length except where it passes from a support to a pulley. The surface of the slider bed shall be reasonably smooth. It shall be so constructed that it will not support combustion.
(2) For roller bed walks, the combination of roller spacing, belt tension and belt stiffness shall be such that the deflection of the treadway surface, midway between rollers, shall not exceed the quantity 0.094 inch + (0.004 times center to center distance of rollers in inches) when measured as follows:
The treadway surface shall be loaded midway between rollers with a 25 pound weight concentrated on a cylindrical footpiece 2 inches long by 1 inch diameter placed with its long axis across the belt. Deflection of this footpiece from its unloaded position shall not exceed the figure obtained above.
The rollers shall be concentric and true running within commercially acceptable tolerances.
(3) For edge supported belts, where the treadway belt is transversely rigid and is supported by rollers along its edges, the following requirements shall apply:
(A) With the belt tensioned through the take-up system, the permissible slope of a straight line from the top of a treadway rib adjacent to the center line of the treadway to the top of a treadway rib adjacent to the balustrade, in a line perpendicular to the path of the treadway, shall not ex-ceed 3 percent when the treadway is loaded with a 150 pound weight on a 6 inch by 10 inch plate located on the center line of the treadway with the 10 inch dimension in the direction of treadway travel.
(B) In order to support the treadway in case of localized overload, supports shall be supplied at intervals, not exceeding 6 feet along the centerline of the treadway. The supports shall be located at a level not more than 2 inches below the underside of the treadway when it is loaded under the test conditions required by the preceding paragraph.
(4) For pallet and belt pallet walks, pallet wheel tracks shall be so designed and located as to prevent more than 1/8 inch vertical displacement of the treadway should the pallet connection means break.
(j) Threshold Plates. The entrance to or exit from a moving treadway shall be provided with a threshold plate designed and installed to provide a smooth passage between treadway and landing and vice versa and conform to the following:
(1) The threshold plate shall be provided with a comb.
(2) The threshold comb teeth shall be meshed with and set into the grooves of the treadway surface so that points of the teeth are always below the upper surface of the treadway.
(3) The surface of the plate shall afford a secure foothold. The surface shall be smooth from the point of intersection of the comb teeth and the upper surface of the treadway, for a distance not exceeding 4 inches and not less than 1 inch.
(k) Balustrades. Moving walks shall be provided with an enclosed balustrade on each side conforming to the following:
(1) Construction.
(A) Balustrades without moving handrails shall be designed so as to provide no surfaces which can be gripped by a passenger. On the treadway side, the balustrade shall have no areas or moldings depressed or raised more than 1/4 inch from the parent surface, except when skirt deflection devices, such as brushes, are used per Section 3091(k)(4). Such areas or moldings shall have all boundary surfaces beveled unless parallel to the direction of travel. The balustrades shall extend at normal height not less than 12 inches beyond the end of the exposed treadway.
(B) Glass or plastic panels, if used in the balustrades, shall conform to the requirements of ANSI Z97.1 except that there shall be no requirement for the panels to be transparent.
(C) Balustrades shall be designed to resist the simultaneous application of a lateral force of 40 pounds per lineal foot and a vertical load of 50 pounds per lineal foot, both applied to the top of the balustrade.
(2) The height of the balustrade shall be not less than 30 inches measured perpendicular to the treadway surface. At this height, the inner surface of the balustrade shall be located not more than 8 inches outside the vertical projected edge of the exposed treadway.
(3) If the balustrade covers the edge of the treadway, the clearance between the top surface of the treadway and the underside of the balustrade shall not exceed 1/4 inch. Where skirt panels are used, the horizontal clearance on either side of the treadway between the treadway and the adjacent skirt panel shall be not more than 1/4 inch.
(4) Where moving walks are provided with skirt deflection devices to protect against accidental entrapment of body parts, clothing, shoes, etc., the following shall apply:
(A) The rigid portion of the device shall not rise more than 3/4 inch from the parent surface of the balustrade.
(B) The plans, drawings, and specifications on the planned installation of the deflection device shall be submitted to the Division for review before the deflection device is installed. The Division shall review the plans, drawings, and specifications to ensure the planned installations and subsequent operation does not conflict with other requirements of Article 14.
(C) The deflection device shall be inspected by the Division for entanglement, entrapment, shearing, or tripping hazards.
(l) Guards at Ceiling. Where the intersection of the balustrade (deck board) and the ceiling or soffitt is less than 24 inches from the center line of the handrail, a solid guard shall be provided in the intersecting angle. The vertical face of the guard shall have a height of at least 7 inches and shall be rounded. Guards may be of glass if of the tempered-type conforming to ANSI Z97.1.
(m) Handrails.
(1) Two moving handrails shall be provided on each moving walk.

Exceptions: 
1. Moving walks having a slope of 3 degrees or less and a speed of 70 feet per minute or less.
2. Moving walks having a width of 21 inches or less; where a single moving handrail may be used.
(2) The moving handrail at both the entrance and exit landings shall extend at normal height at least 12 inches beyond the end of the exposed treadway. The point where the moving handrail enters or leaves an enclosure shall be not more than 10 inches above the floor line.
(3) Hand or finger guards shall be provided at the points where the handrail enters the balustrade.
(4) The moving handrail return run and its driving and supporting machinery shall be fully enclosed.
(5) Each moving handrail shall move in the same direction and at substantially the same speed as the treadway.
(n) Drive, Motor, and Brakes.
(1) The driving machine shall be connected to the main drive shaft by toothed gearing, a coupling or a chain.
(2) Each moving walk shall be provided with an electrically released, mechanically applied brake capable of stopping and holding the treadway with any load up to the load rating. This brake shall be located either on the main drive shaft or on the driving machine and connected to the main drive shaft by toothed gearing, a coupling, or a chain.
Where a chain is used to connect the driving machine to the main drive shaft, a brake shall be provided on that shaft. It is not required that this brake be of the electrically released type if an electrically released brake is provided on the driving machine.

Exception: Moving walks which will not run in the down direction by gravity under any load condition up to their load rating with the power supply interrupted do not require brakes.
(3) Electrically released brakes shall stop the treadway automatically upon failure of power or when any of the safety devices specified in Section 3092(a) operate. Brakes on the main drive shaft, if not of the electrically released type, shall be applied should the drive chain part.
(4) Speed reducers shall meet the requirements for design and application as established for the various types in the appropriate AGMA Practice Standards, as follows:
420.03--Helical and Herringbone Gear Speed Reducers
430.03--Spiral Bevel Gear Speed Reducers
440.03--Single and Double Reduction Cylindrical-Worm and Helical-Worm Speed Reducers
441.03--Double Enveloping-Worm Gear Speed Reducers
460.04--Gearmotors
480.03--Shaft Mounted Speed Reducers
The loading shall be considered to be uniform and the service to be 24 hours per day.
(5) Chain drives shall be of the types covered by the following American Standards.
(A) ANSI B29.1--Transmission Roller Chains and Sprocket Teeth
(B) ANSI B29.2--Inverted Tooth Chains and Sprocket Teeth
When operating at the load rating of the treadway, the load imposed on such chains shall not exceed the horsepower rating as established by these standards.
The loading shall be considered to be uniform and the service to be 24 hours per day.
(6) When operating at the load rating of the treadway, the load imposed on V-belt drives shall not exceed the horsepower rating as established by the American Standard Specification for Multiple V-Belt Drives, USAS B55.1. The loading shall be considered to be uniform and the service to be 24 hours per day.
(7) Pallet propelling chains and drive components other than those specified shall have a factor of safety of not less than 10, based on ultimate strength.
(o) Supporting Structure.
The steel supporting structure for the treadway, balustrades, and machinery shall conform to Chapter 27, Part 2, Title 24, CAC.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Table 3091C, repealer and new subsection (k), and amendment of subsection (l) and (n)(5) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Editorial correction of subsection (k)(2) (Register 95, No. 34).
3. Amendment of subsection (k)(1), new subsections (k)(4)-(k)(4)(C) and new Note filed 3-13-2000; operative 4-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 11). 
§3092. Operating and Safety Devices. Electrical Equipment and Wiring.
Note     •     History

(a) Devices Required.
Operating and safety devices shall be provided conforming to the following requirements:
(1) Starting switches shall be of the key-operated, spring return-type and shall be located within sight of the exposed treadway.
(2) Emergency stop buttons or other types of manually operated switches having red buttons or handles shall be accessibly located at every entrance to and exit from a moving walk, and shall be protected against accidental operation. The operation of any of these buttons or switches shall interrupt the power to the driving machine and to the brake, where provided. It shall be impossible to start the driving machine by these buttons or switches.
(3) Where the driving machine is connected to the main drive shaft by a chain, and where a brake is located on that shaft when required by Section 3091(n)(2), a device shall be provided which will cause the application by such brake if the drive chain parts.
(4) Moving walks required by Section 3091(n)(2) to be equipped with a brake, or which are driven by a direct current motor, shall be provided with a speed governor which will cause the interruption of power to the driving machine and to the brake, where provided, should the speed of the treadway exceed a predetermined value, which shall be not more than 40 percent above the maximum designed treadway speed. 

Exception: 

1. Moving walks driven by low slip-alternating current induction motors directly connected to the driving machine do not require speed governors.

2. Moving walks driven by low slip-alternating current induction motors connected to the driving machine by belts or chains, where a device is provided which will cause interruption of power to the motor and apply the brake should the belts lose driving tension or should the belts or chains break.
(5) A device shall be provided which will cause interruption of power to the driving machine and to the brake, where provided, if the connecting means between pallets break.
(6) Where a device is required to interrupt power, such interruption shall be not subject to intentional delay. The use of a supplemental and independent device with or without intentional delay is permissible.
(7) Each space containing moving parts, where a means of access is provided, shall be equipped with a stop switch located adjacent to the access door or panel. The stop switches shall:
(A) Be of the manually opened and closed type.
(B) Be conspicuously and permanently marked, “STOP.”
(C) Be positively opened mechanically and their opening shall not be solely dependent on springs.
(D) When opened, cause electric power to be removed from the moving walk driving machine motor and brake.
(b) Electrical Equipment and Wiring. Electrical equipment and wiring shall conform to CCR, Title 24, Part 3, Article 620.
(c) Access and Work Space. Sufficient clearance shall be provided within the machine room for safe access as required for inspection and maintenance, and safe access shall be provided to the machine room.
Floor access panels, in excess of 70 pounds, shall be counterbalanced or provided with means to lift and move the panel away from the machinery space.
(d) Guarding in Machine Space. On pallet type moving walks, a guard shall be provided between the machine room and the pallets to prevent accidental contact with the moving pallets.
(Title 24, Part 7, Section 7-3092)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(1) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsection (a)(7) filed 12-22-78; effective thirtieth day thereafter (Register 79, No. 1). 
3. Amendment of subsections (b) and (d) and Note filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
Article 15. Special Access Elevators and Special Access Lifts
§3093. Special Access Elevators.
Note     •     History

(a) Scope: Sections 3093 through 3093.60 apply to special access elevators, installed to facilitate access according to Title 24, under the jurisdiction of the Division intended for the exclusive use of persons with disabilities.
(b) Special access elevators installed in locations under the jurisdiction of the Division shall comply with the requirements of Article 15. 

Exception to 3093(b): Special access elevators allowed by variance.
(c) The machine and associated controllers and equipment shall be installed meeting the requirements of subsection 3011(a) and be secured against unauthorized access.
(d) Use of the elevator shall serve disabled individual(s) only and shall not be used to transport materials and equipment.
(e) The Division shall inspect the elevator, witness a safety test(s) and issue a permit to operate, prior to being placed in service.
(Title 24, Part 7, Section 7-3093)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New Article 15 (Sections 3093, 3093.1-3093.59) filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). For history of former Article 15, see Registers 82, No. 40 and 79, No. 1.
2. Amendment of article heading, section heading, subsection (a) and Note filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
3. Amendment of article 15 heading, section heading, section and Note filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.1. Hoistway Enclosure Construction.
Note     •     History

(a) Hoistways shall be fully enclosed meeting the requirements of Section 3010.
(b) Exterior windows within the hoistway shall be protected by grillwork.
(c) Enclosures shall be of sufficient strength to support in true alignment, the hoistway doors, gates and their locking equipment.
(Title 24, Part 7, Section 7-3093.1)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 3).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.2. Pits.
Note     •     History

(a) A pit shall be provided and the pit depth shall not be less than is required for the installation of the buffers and all other necessary elevator equipment.
(b) The pit shall be kept clean and free from dirt and rubbish. The pit shall not be used for storage purposes and shall be maintained free of an accumulation of water.
(Title 24, Part 7, Section 7-3093.2)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and subsection (b) filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.3. Top Car Clearance.
Note     •     History

The top car clearance shall be not less than 6 in. (152 mm) plus 1 in. (25 mm) for each 3 1/3 fpm (0.017 m/s) of the rated speed in excess of 30 fpm (0.15 m/s).
(Title 24, Part 7, Section 7-3093.3)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Editorial correction (Register 97, No. 6).
3. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.4. Protection of Hoistway Openings.
Note     •     History

(a) Hoistway doors conforming with Section 3020 shall be provided to protect each landing opening.
(b) Hoistway doors shall be provided with approved interlocks complying with Section 3021.

Exception to 3093.4(b): Interlocks may be zoned complying with subsection 3021(d)(1)(D).
(c) Hoistway doors shall be power-operated for special access elevators installed after Sept. 28, 2001.
(1) The power-operated hoistway doors shall be either horizontally sliding or swing type doors.
(A) Horizontally sliding doors shall have power opening that complies with Section 3022(b)(2), and power closing that complies with Sections 3022(c) and 3022(e).
1. Power-operated doors shall remain open for at least 20 seconds when activated.
(B) Where provided, automatic swing type doors shall be low energy, power-operated, and shall comply with ANSI/BHMA A156.19-1990, American National Standard for power assist and low energy power operated doors, except section 3, which is hereby incorporated by reference.
Note: A low energy power-operated door is a door with power mechanisms that open and close the door upon receipt of an actuating signal and does not generate more kinetic energy than specified in ANSI/BHMA A156.19-1990.
(Title 24, Part 7, Section 7-3093.4)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and subsection (b) and new subsections (c)-(c)(1)(B) filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.5. Pipes in Hoistways.
Note     •     History

Pipes conveying steam, gas or liquids which, if discharged into the hoistway, would endanger life shall not be installed in the hoistway.
(Title 24, Part 7, Section 7-3093.5)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.6. Horizontal Car Clearances.
Note     •     History

(a) There shall be a clearance of not less than 3/4 in. (19 mm) between the car and the hoistway enclosure, and between the car and its counterweight.
(b) The clearance between the car platform and the landing sill shall be not less than 1/2 in. (13 mm) nor more than 1 1/2 in. (38 mm).
(Title 24, Part 7, Section 7-3093.6)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Editorial correction of subsection (a) (Register 95, No. 34).
3. Editorial correction of subsection (b) (Register 97, No. 6).
4. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.7. Guarding of Suspension Means.
Note     •     History

(a) Ropes and chains passing through a floor or stairway outside the hoistway enclosure shall be enclosed with a solid or openwork enclosure. If of openwork, the enclosure shall reject a ball 1/2 in. (13 mm) in diameter. Means for inspection shall be provided. The floor openings shall not be larger than is necessary to clear the suspension means.
(b) Ropes and chains immediately adjacent to a stairway shall be guarded with solid or openwork panels on the stair side. Openwork panels shall reject a ball 1/2 in. (13 mm) in diameter.

Exception to subsection 3093.7(b): Ropes or chains which operate within a guide or track shall be considered suitably guarded.
(Title 24, Part 7, Section 7-3093.7)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.8. Car Frames and Platforms.
Note     •     History

(a) Car frames and platforms shall be constructed of metal or a combination of metal and wood having a factor of safety of not less than 5 based on rated load.
(b) Cast iron shall not be used in any member of the car frame or platform other than for guides or guide shoe brackets.
(Title 24, Part 7, Section 7-3093.8)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
§3093.9. Car Enclosure.
Note     •     History

(a) Except at entrances, cars shall be enclosed on all sides and on the top. The enclosure shall be constructed of solid material, except where other material is permitted by the Division.
(b) Car enclosures shall be secured in conformance with the requirements of subsections 3034(a)(1) and 3034(a)(2).
(c) Glass, where used in elevator cars, shall conform to the requirements of subsection 3034(a)(7).
(Title 24, Part 7, Section 7-3093.9)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). 
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.10. Number of Compartments.
Note     •     History

The car shall have only one compartment.
(Title 24, Part 7, Section 7-309.10)
NOTE

Authority cited: Section 142.3, Labor Code, Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.11. Car Doors and Gates.
Note     •     History

(a) Car doors or gates are required. They shall protect the entire car entrance and be constructed of solid material.
(1) Material shall be non-perforated.
(2) Scissor gates are prohibited.
(b) Power opening, where used for car doors and gates, shall conform to the requirements of subsection 3022(b)(1). Power closing, where used for car doors and gates, shall conform to the requirements of subsections 3022(c), 3022(d), and 3022(e). 
(c) Power opening and power closing of car doors or gates shall be required for special access elevators installed after Sept. 28, 2001.
(d) Every car door or gate shall be provided with an electric contact conforming to the requirements of subsection 3034(d)(2). The design of the car door or gate electric contacts shall be such that, for a sliding door or gate, the car cannot move unless the door or gate is within 2 in. (51 mm) of the fully closed position. If the door or gate swings outward to open, the car door or gate must be closed and locked before the car can move. 
(e) The distance between the hoistway enclosure opposite the car entrance and the car gate shall not exceed 5 inches.
(Title 24, Part 7, Section 7-3093.11)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.12. Light in Car.
Note     •     History

The car shall be provided with an electric light. The control switch for the light shall be located in the car and near the car entrance. The minimum illumination at the car threshold, with the door closed, shall be not less than 5 foot candles (54 lux).
(Title 24, Part 7, Section 7-3093.12)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.13. Counterweights.
Note     •     History

(a) Counterweights, where used, shall run in guide rails.
(b) Counterweights shall be located as required by subsection 3013(a).
(c) Where a car counterweight is used, it shall not be of sufficient weight to cause slackening of any rope during acceleration or retardation of the car.
(d) The counterweight sections, whether carried in a frame or not, shall be fastened together and shall also be secured to prevent shifting by an amount which will reduce the running clearance to less than that specified in subsection 3093.6(a).
(Title 24, Part 7, Section 7-3093.13)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.14. Location and Guarding of Counterweights.
Note     •     History

Access shall be provided for inspection, maintenance, and repair of an enclosed counterweight and its ropes. Doors on the counterweight enclosure shall be self-closing and self-locking and openable from the outside only with a suitable key. If the enclosure is of such size that the door can be closed when the enclosure is occupied by a person, the door shall be easily openable from the inside without the use of a key or other instrument. A stop switch conforming to the requirements of subsection 3040(b)(5) shall be located adjacent to and inside the opening and operable without entering the enclosure.
(Title 24, Part 7, Section 7-3093.14)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth thereafter (Register 86, No. 36).
2. Editorial correction of fourth sentence (Register 95, No. 41).
3. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.15. Safeties Required.
Note     •     History

Each elevator shall be provided with a car safety. Where the space below the hoistway is not permanently secured against access, the counterweight shall be provided with a safety conforming to the requirements of Section 3093.16.
(Title 24, Part 7, Section 7-3093.15)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.16. Operation of Safeties.
Note     •     History

The car safety shall be of the inertia or other approved type operated by the breakage of the suspension means or by the action of a speed governor. If it is a speed governor type, the governor shall operate the safety at a maximum speed of 75 fpm (0.38 m/s). On the breakage of the suspension means, the safety shall operate without delay and independent of the speed governor action.
(Title 24, Part 7, Section 7-3093.16)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.17. Application of Safeties.
Note     •     History

The application of any safety required by Section 3093.15 shall conform to the requirements of subsection 3035(i).
(Title 24, Part 7, Section 7-3093.17)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.18. Materials Used in Safeties.
Note     •     History

The minimum factors of safety and stresses of safety parts and rope connections shall conform to the requirements of subsection 3106(d).
(Title 24, Part 7, Section 7-3093.18)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.19. Location of Speed Governor.
Note     •     History

Where a speed governor is used, it shall be located where it is readily accessible from outside the hoistway and it cannot be struck by any moving object in normal operation or under conditions of overtravel and where there is sufficient space for full movement of the governor parts.
(Title 24, Part 7, Section 7-3093.19)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.20. Opening of the Brake Circuit on Safety Application.
Note     •     History

Where a speed governor is used, the motor circuit and the brake circuit shall be opened before or at the time that the safety applies.
(Title 24, Part 7, Section 7-3093.20)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.21. Governor Ropes.
Note     •     History

The governor ropes shall be of iron, steel, monel metal or phosphor bronze not less than 1/4 in. (6.3 mm) in diameter. Tiller rope construction shall not be used.
(Title 24, Part 7, Section 7-3093.21)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.22. Car and Counterweight Guide Rails and Guide Fastenings.
Note     •     History

Car and counterweight guide rails and guide fastenings shall conform to the requirements of subsections 3030(b), 3030(j) and 3106(a)(1), (2).
(Title 24, Part 7, Section 7-3093.22)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.23. Buffers and Buffer Supports.
Note     •     History

(a) The car and counterweight shall be provided with spring buffers so designed and installed that they will not be fully compressed when struck by car with its rated load and speed or by the counterweight traveling at 125% of the rated speed, or at governor tripping speed where a governor-operated safety is used.
(b) Car and counterweight-buffer supports shall be of sufficient strength to withstand without failure the impact resulting from buffer engagement at 125% of the rated speed, or at governor tripping speed where a governor-operated safety is used.
(Title 24, Part 7, Section 7-3093.23)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.24. Overhead Machinery Beams and Supports.
Note     •     History

(a) All machinery and sheaves shall be so supported and secured as to prevent any part from becoming loose or displaced.
(b) Beams supporting machinery shall be of steel, sound timber or reinforced concrete.
(c) Overhead beams and their supports shall be designed for not less than the sum of the following:
(1) The load resting on the beams and their supports which shall include the complete weight of the machine, sheaves, controller and any other equipment supported thereon.
(2) Two times the sum of the tension on all suspension ropes or chains.
(Title 24, Part 7, Section 7-3093.24)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). 
2. Amendment of section heading and subsections (a) and (c) filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.25. Material for Sheaves and Drums and Minimum Diameter.
Note     •     History

(a) Winding drums, traction sheaves, and overhead and deflecting sheaves shall be of cast iron or steel and of a diameter of not less than 30 times the diameter of the wire suspension means. The rope grooves shall be machined and designed to conform with the requirements of subsection 3038(b). 

Exception to subsection 3093.25(a): Where 8 x 19 steel ropes or 7 x 19 aircraft cable are used, the required minimum diameter of drums and sheaves may be reduced to 21 times the diameter of the rope.
(b) The factor of safety, based on the static load (the rated load plus the weight of the car, ropes, counterweights, etc.) to be used in the design of the driving machine and sheaves shall be not less than 8 for wrought iron and steel, and 10 for cast iron, cast steel and other metals.
(Title 24, Part 7, Section 7-3093.25)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). 
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.26. Fastening of Driving Machines and Sheaves to Underside of Overhead Beams.
Note     •     History

(a) Overhead driving machines or sheaves shall not be fastened to the underside of the supporting beams. 

Exception to subsection 3093.26(a): Idlers or deflecting sheaves including the guards and frames.
(b) Cast iron in tension shall not be used for supporting idler and deflections sheaves where they are hung beneath the beams.
(Title 24, Part 7, Section 7-3093.26)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). 
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.27. Factor of Safety for Overhead Beams and Supports.
Note     •     History

The factor of safety for overhead beams and supports based on ultimate strength of material shall not be less than 5 for steel, and 6 for timber and reinforced concrete.
(Title 24, Part 7, Section 7-3093.27)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.28. Hydraulic Driving Machine.
Note     •     History

Hydraulic Driving Machines shall conform to the requirements of Section 3067. 

Exception to Section 3093.28: Roped-hydraulic machines may be used.
(Title 24, Part 7, Section 7-3093.28)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.29. Screw Machines.
Note     •     History

Screw machines, where used, shall conform to the requirements of Section 3088. 

Exception to Section 3093.29: The rated speed shall not exceed 40 fpm (0.20 m/s).
(Title 24, Part 7, Section 7-3093.29)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.30. Set Screw Fastenings.
Note     •     History

Set screw fastenings shall not be used in lieu of keys or pins if the connection is subject to torque or tension.
(Title 24, Part 7, Section 7-3093.30)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.31. Friction Gearing, Clutch Mechanism, or Couplings.
Note     •     History

Friction gearing, clutch mechanisms, or couplings shall not be used for connecting the drum or sheaves to the main drive gear.
(Title 24, Part 7, Section 7-3093.31)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.32. Use of Cast Iron in Gears.
Note     •     History

Worm gearing having cast iron teeth shall not be used.
(Title 24, Part 7, Section 7-3093.32)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.33. Driving-Machine Roller Chains and Sprockets.
Note     •     History

Driving-machine chains and sprockets shall be of steel and shall conform to the design and dimensions specified in ASME B29.1M-1993, Precision Power Transmission Roller Chains, Attachments, and Sprockets, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3093.33)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.34. Driving-Machine Brakes.
Note     •     History

Driving-machines shall be equipped with electrically released, mechanically applied brakes conforming to the requirements of subsection 3038(h). The operation of the brake shall conform to the requirements of subsection 3040(e). 

Exception to Section 3093.34: Hydraulic driving machines.
(Title 24, Part 7, Section 7-3093.34)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.35. Terminal Stopping Devices.
Note     •     History

(a) Upper and lower normal terminal stopping devices, operated by the car, shall be provided and shall be set to stop the car at, or near, the upper and lower terminal landings. The switches shall be opened as  required by Section 3039(a).
(b) Upper and lower final terminal stopping devices shall be provided, operated by the car, to remove power from the motor and the brake. They shall be set to stop the car after it travels past the normal terminal stopping device and before an obstruction is struck.  The switches shall be opened as required by Section 3039(b).

Exception to subsection 3093.35(b): A slack-rope switch conforming to the requirements of subsection 3040(b)(1) may be used as the lower final terminal stopping device.
(c) If the driving machine is of the winding drum or sprocket and chain suspension type, a final terminal stopping device operated by the driving machine shall also be provided.
(Title 24, Part 7, Section 7-3093.35)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of subsections (a) and (b), repealer of subsection (d), and amendment of Note filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
3. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.36. Operation of the Stopping Devices.
Note     •     History

(a) The final terminal stopping device shall act to prevent movement of the car in both directions of travel. The normal and final terminal stopping devices shall not control the same switches on the controller unless two or more separate and independent switches are provided, two of which shall be closed to complete the motor and brake circuit in each direction of travel.
(b) The switches required in subsection 3093.36(a) shall be positively opened mechanically as required by 3039(a).
(Title 24, Part 7, Section 7-3093.36)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.37. Type of Operation.
Note     •     History

(a) The operation of the car shall be by continuous pressure means or by single automatic means.
(b) Special access elevators may be locked for security reasons, except during business hours.
(Title 24, Part 7, Section 7-3093.37)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.38. Control and Operating Circuit Requirements.
Note     •     History

(a) Control systems that depend on the completion of an electric circuit shall not be used for:
(1) interruption of power and the application of the brake at the terminals;
(2) stopping the car when the emergency stop switch in the car is opened, or when any of the electrical protective devices operate;
(3) stopping the machine when the safety applies.
(b) If springs are used to actuate switches, contactors or relays, or to break the circuit to stop a car or carriage at a terminal, they shall be of the restrained compression type.
(c) The failure of any single magnetically operated switch, relay or contactor to release in its intended manner, or the occurrence of a single accidental ground, shall not permit the car to start if any hoistway door, car door, or gate is not in the closed position.
(d) If an instantaneous reversible motor is not used, a protective device or circuit shall be provided to prevent the motor from continuing in the same direction if the reversing control is actuated.
(Title 24, Part 7, Section 7-3093.38)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Editorial correction of subsection (d) (Register 95, No. 34).
3. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.39. Key-Operated Switches.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Repealer filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.40. Electric Equipment and Wiring.
Note     •     History

All electrical equipment and wiring shall conform to the requirements of subsection 3012(a).
(Title 24, Part 7, Section 7-3093.40)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.41. Power Supply-Line Disconnecting Means.
Note     •     History

Power supply-line disconnecting means conforming to the requirement of CCR, Title 24, Part 3, Article 620, shall be provided.
(Title 24, Part 7, Section 7-3093.41)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
3. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.42. Phase Reversal and Failure Protection.
Note     •     History

Phase reversal and failure protection shall conform to Section 3040(c)(2).
(Title 24, Part 7, Section 7-3093.42)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
3. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.43. Emergency Stop Switch.
Note     •     History

An emergency stop switch, conforming to the requirements of subsection 3040(b)(5), shall be provided in every car.
(Title 24, Part 7, Section 7-3093.43)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.44. Slack-Rope and Slack-Chain Devices.
Note     •     History

(a) Winding drum machines with rope suspension shall be provided with a slack-rope device of the manually reset type that will remove power from the motor and brake if the car is obstructed in its descent and the hoisting ropes slacken.
(b) Elevators with roller chain suspension shall be provided with a slack chain device which will remove power from the motor and the brake if the car is obstructed in its descent and the suspension means slacken. This device need not be of the manually reset type if the chain sprockets are guarded to prevent the chain from becoming disengaged from the sprockets.
(c) Roped and chain hydraulic elevators shall be provided with a slack device which will remove power from the motor and the brake if the car is obstructed in its descent and the suspension means slacken.
(Title 24, Part 7, Section 7-3093.44)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and new subsection (c) filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.45. Emergency Devices.
Note     •     History

(a) A telephone, which is connected to a central telephone exchange, shall be installed in the car and an emergency signalling device, operable from inside the car and audible outside the hoistway, shall be provided.
(b) All machines shall be provided with a means to lower the car in case of power failure. The device shall be painted bright red or orange and shall have suitable instructions for use and warnings about use affixed to the operating means.
(Title 24, Part 7, Section 7-3093.45)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.46. Capacity.
Note     •     History

(a) The rated load for existing special access elevators shall not exceed 700 lb. (318 kg) and the maximum clear inside net platform area shall not exceed 12 ft.2 (1.1 m2). The minimum rated load shall be not less than that based on 40 lb./ft.2 (1.91 kPa) of clear inside net platform area or 350 lb. (159 kg), whichever is greater.
(b) The load capacity for special access elevators installed after Sept. 28, 2001 shall be not less than 750 lb., and have a minimum of 32 in. x 54 in. clear inside platform dimensions.
(1) Special access elevators without a front and rear opening that facilitates a straight through ingress/egress shall have a load capacity of not less than 750 lb., and a maximum 18 sq. ft. clear inside net platform area. The clear inside platform width dimensions may range from 42 inches minimum to 48 inches maximum on one side by 60 inches maximum to 54 inches minimum length on the other side.
(A) When the platform minimum width of 42 inches is increased, the platform maximum 60 inch length shall be decreased by the number of inches that the width has been increased (see table below).

Table 3093.46(b)
Varying Platform Size

Width x Length
42” x 60”
43” x 59”
44” x 58”
45” x 57”
46” x 56”
47” x 55”
48” x 54”
(2) The platform/car shall be equipped with handrail(s) complying with Title 24, Section 7-3003. The clear inside net platform area shall be calculated by multiplying the platform width by the platform length without consideration of the space occupied by the handrails.
(3) The opening and closing of car doors shall not encroach on the car platform inside clear space.
(Title 24, Part 7, Section 7-3093.46)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.47. Speed.
Note     •     History

The rated speed shall not exceed 40 fpm (0.20 m/s).
(Title 24, Part 7, Section 7-3093.47)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.48. Rise.
Note     •     History

The rise shall not exceed 50 ft. (12.19 m).
(Title 24, Part 7, Section 7-3093.48)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.49. Capacity Plate.
Note     •     History

A capacity plate indicating the rated load of the elevator in pounds shall be fastened in a conspicuous place inside the car. The letters and figures on such plates shall be not less than 1/4 in. (6.3 mm) in height.
(Title 24, Part 7, Section 7-3093.49)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.50. Data Plates.
Note     •     History

A data plate indicating the weight of the elevator, the rated speed, the suspension means, the manufacturer's name, and the date of installation shall be installed in a conspicuous place in the machinery area. The letters and figures on such plates shall be not less than 1/4 in. (6.3 mm) in height.
(Title 24, Part 7, Section 7-3093.50)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Editorial correction of third line (Register 95, No. 34).
3. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.51. Suspension Means.
Note     •     History

Suspension means shall be not less than two wire ropes or two steel roller-type chains.
(Title 24, Part 7, Section 7-3093.51)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
§3093.52. Suspension Ropes.
Note     •     History

(a) On elevators having a rated load of 450 lb. (204 kg) or less and operating at a rated speed of 30 fpm (0.15 m/s) or less, suspension ropes shall be not less than 1/4 in. (6.3 mm) in diameter.
(b) On elevators having a rated load of more than 450 lb. and less than 750 lb. and operating at a rated speed of 30 fpm or less, suspension ropes shall be not less than 3/8 in. in diameter.
(c) Where the rated load is more than 750 lb. or the rated speed exceeds 30 fpm, each suspension rope shall have a safety factor of not less than 7.5.
(Title 24, Part 7, Section 7-3093.52)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.53. Factor of Safety Suspension Means.
Note     •     History

The factor of safety of the suspension means shall be not less than 7 based on the manufacturer's rated breaking strength. When the car and counterweight are suspended by steel ropes and the driving means is an endless steel roller type chain, the factor of safety of such a chain, with the rated load in the car, shall be not less than 8 based on the ultimate tensile strength.
(Title 24, Part 7, Section 7-3093.53)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.54. Arc of Contact of Suspension Means on Sheaves and Sprockets.
Note     •     History

The arc of contact of a wire rope on a traction sheave shall be sufficient to produce traction under all load conditions up to the rated load. The arc of contact of a chain with a driving sprocket shall not be less than 140 degrees.
(Title 24, Part 7, Section 7-3093.54)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.55. Idle Turns of Ropes on Winding Drums.
Note     •     History

The idle turns of ropes on winding drums shall conform to the requirements of subsection 3042(h)(2).
(Title 24, Part 7, Section 7-3093.55)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.56. Securing of Wire Suspension Ropes to Winding Drums.
Note     •     History

The securing of wire suspension ropes to winding drums shall conform to the requirements of subsection 3042(h)(1).
(Title 24, Part 7, Section 7-3093.56)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.57. Splicing, Replacement, and Reshackling of Suspension Ropes.
Note     •     History

Splicing is prohibited; replacement and reshackling of suspension ropes shall conform to the requirements of subsection 3042(i).
(Title 24, Part 7, Section 7-3093.57)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.58. Fastening of Wire Ropes Suspension Means to the Car or to the Counterweights.
Note     •     History

The fastening of a wire rope suspension means to a car or to a counterweight shall conform to the requirements of subsection 3042(j), or by properly attached fittings as recommended by wire rope manufacturers.
(Title 24, Part 7, Section 7-3093.58)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36).
2. Amendment of section heading filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.59. Replacement of Chains and Sprockets.
Note     •     History

If chains are used as a suspension means and a worn chain is replaced, all chains must be replaced and all sprockets must be replaced.
(Title 24, Part 7, Section 7-3093.59)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 36). 
2. Amendment filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3093.60. Maintenance for Special Access Elevators.
Note     •     History

(a) The owner shall develop, implement, and maintain a written maintenance program in accordance with the manufacturer's recommendations.
(b) The written maintenance program shall be available to the Division during inspection for issuance of the permit to operate.
(c) Maintenance shall be performed by person(s) deemed qualified by the State of California Contractors State License Board.
(Title 24, Part 7, Section 7-3093.60)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code..
HISTORY

1. New section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
§3094. Vertical and Inclined Platform (Wheelchair) Lifts and Inclined Stairway Chairlifts.
Note     •     History

(a) Scope: Sections 3094 through 3094.6 pertain to special access lifts such as vertical platform (wheelchair) lifts, inclined platform (wheelchair) lifts, and inclined stairway chairlifts, intended for the exclusive use of persons with disabilities. These sections shall apply to: 
(1) Vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts installed after May 9, 1998. 
(2) Existing vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts installed pursuant to a permanent variance decision issued by the Occupational Safety and Health Standards Board, where ownership has changed, or when the lift has been moved to a new location after May 9, 1998.
(3) Existing vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts with a rise of five feet or less which have been altered, moved to a new location, or the key operation has been removed.
(4) Existing vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts with a rise greater than five feet, which have never been issued a Permit to Operate by the Division.
(b) In the event of any difference between the provisions of sections 3094 through 3094.6 and ASME A17.1-1993 or between these orders and the provisions of any other referenced codes, documents or standards, sections 3094 through 3094.6 shall govern.
(c) If a section of ASME A17.1-1993 indicates a cross-reference to another section in ASME A17.1-1993, such cross-referencing shall be interpreted to mean that which is shown in ASME A17.1-1993. If the requirement(s) specified in the referenced section of ASME A17.1-1993 differ from the requirement(s) specified in sections 3094 through 3094.6 or any other applicable part of the California Code of Regulations, then the requirement(s) specified in sections 3094 through 3094.6 or any other applicable part of the California Code of Regulations shall apply.
(d) If any section of sections 3094 through 3094.6 indicates a cross-reference to another section in ASME A17.1- 1993, such cross-referencing shall be interpreted to mean that which is shown in ASME A17.1-1993. If the requirement(s) specified in sections 3094 through 3094.6 differ from the requirement(s) specified in the referenced section of ASME A17.1-1993, then the requirement(s) specified in sections 3094 through 3094.6 or any other applicable part of the California Code of Regulations shall apply.
(Title 24, Part 7, Section 7-3094)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
§3094.1. Unaltered Existing Lifts.
Note     •     History

(a) Existing vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts with a rise of five feet or less, installed prior to May 9, 1998, shall be allowed to continue to operate in accordance with the design requirements to which they were originally installed.
(b) Existing vertical and inclined platform (wheelchair) lifts and inclined stairway chairlifts installed pursuant to a permanent variance decision issued by the Occupational Safety and Health Standards Board shall be allowed to continue to operate in accordance with the adopted permanent variance decision. 
(c) Maintenance and record keeping for lifts indicated in section 3094.1(a) and (b) shall comply with section 3094.5.
(Title 24, Part 7, Section 7-3094.1)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
§3094.2. Vertical Platform (Wheelchair) Lifts.
Note     •     History

(a) For purposes of this section, the provisions of ASME A17.1-1993, Section 2000, Vertical Wheelchair Lifts, except Rule 2000.10a and Rule 2000.10i(2), are hereby incorporated by reference. 
(b) Vertical platform (wheelchair) lifts shall comply with ASME A17.1-1993, Section 2000, Vertical Wheelchair Lifts, except Rule 2000.10a and Rule 2000.10i(2).
(c) Vertical platform (wheelchair) lifts with a rise of five feet or less may be installed without a runway enclosure if the landings and platform comply with ASME A17.1-1993, Section 2000, Vertical Wheelchair Lifts, Rule 2000.1c, except Rule 2000.1c(1), and the following:
(1) The device as required in ASME A17.1-1993, Section 2000, Rule 2000.1c(6), shall stop the downward motion of the platform within a maximum travel distance of 1 inch when activated. The platform shall not move more than the available movement of the device.
(2) The switches as required in ASME A17.1-1993, Section 2000, Rule 2000.1c(6), shall be positively opened by the device.
(3) The operating controls at the lower landing shall be located at least 24 inches from any moving parts of the platform and runway, but within line of sight of the platform.
(4) The pit depth shall be no more than 4 inches.
(5) A contrasting stripe shall outline the pit area. 
(d) A separate means for disconnecting power to the lift shall be provided in the runway, accessible from the bottom runway landing, and used when accessing the pit or the underside of the platform.
(e) When the bottom runway door is equipped with an electric strike lock, a battery backup shall be provided to electrically unlock the door for emergency evacuation in case of power failure.
(f) Fully enclosed runways, when installed, shall be illuminated to provide not less than five foot-candles of illumination inside the platform at all times.
(g) Vertical platform (wheelchair) lifts shall have a manual lowering device. The lowering device is for use by others to lower the lift to the lower landing should the lift downward motion become impaired. The lowering device shall comply with the following:
(1) The device shall be secured against unauthorized use.
(2) The device shall be operable or accessible from outside the enclosure.
(3) When necessary to access the runway to operate the device, an opening in the runway with a lockable cover/panel shall be provided. The opening and cover/panel shall comply with the following:
(A) The opening shall be of sufficient size and located to allow safe access and reach to the lowering device; and 
(B) The cover/panel shall be kept locked and the key shall be available on the premises during normal business hours under the control of an authorized person.
(h) Vertical platform (wheelchair) lifts shall be for use by persons with disabilities and shall not be used to transport materials.
(1) The lift capacity shall not be exceeded by materials belonging to the person with disabilities, children who are the responsibility of the person with disabilities, or the attendants accompanying the person with disabilities.
(i) Durable signs with lettering on a contrasting background shall be permanently and conspicuously posted at the landing indicating the following:
(1) The international symbol of accessibility;
(2) The lift shall not be used to transport materials or equipment;
(3) The lift capacity; and
(4) The telephone number to call in case of emergency. 
(j) Runway doors over 4 feet in height and constructed of non-transparent material cover may be equipped with a vision panel. If the vision panel is provided, the vision panel shall:
(1) Cover an area of not less than 25 square inches;
(2) Be able to reject a six inch ball; and
(3) Be centrally located on the door where the center of the panel is not more than 42 inches above the landing floor level.
(k) Where runway and runway doors of transparent construction are provided, detailed drawings of the materials and fastenings shall be submitted to the Division for review prior to installation. The Division shall review the drawings for structural integrity between the door, framing members, and fastenings in accordance with generally accepted installation practices.
(l) Transparent materials used for enclosures, doors, or vision panels shall be labeled as complying with ANSI Z97.1-1984.
(m) All runway doors shall be mounted flush with the inside of the hoist way.
(n) On vertical platform (wheelchair) lifts where a runway enclosure is installed, and the enclosure complies with ASME A17.1-1993, Section 2000, Vertical Wheelchair Lifts, Rule 2000.1a, Runway Enclosure Provided, an intermediate landing, if provided, shall comply with the following provisions:
(1) The access to the platform at the intermediate landing complies with ASME A17.1-1993, Section 2000, Rule 2000.1a(3), and the lift complies with ASME A17.1-1993, Section 2000, Rules 2000.1a(4), (5), (6), and (7).
(2) The intermediate landing door shall be arranged so that it cannot be opened from outside the hoistway when the lift is in operation.
(o) Operating devices and controls shall comply with the following:
(1) All passenger operating devices and controls shall be of the continuous pressure type.
(2) Operating devices shall be designed so the “up” and “down” circuits cannot be operated at the same time.
(p) Vertical platform (wheelchair) lifts which require the wheelchair or conveyance to be rotated 90 degrees for egress shall comply with the following: 
(1) The clear inside unobstructed platform dimensions may range from 42 inches to 48 inches on one side by 54 inches to 60 inches on the other side.
(2) Whenever the platform minimum width of 42 inches is increased, the platform maximum 60 inch length shall be decreased by the number of inches the width has been increased (see the Table in section 3093.46(b)).
(3) When the length of the platform is reduced, the platform width shall be increased by the same amount the length has been decreased.
(4) The side entry of the platform door on the long side shall be hinged at the end nearest to the platform door on the short side unless the door is power operated.
(q) Vertical platform (wheelchair) lifts which comply with ASME A17.1-1993, Section 2000, Vertical Wheelchair Lifts, Rule 2000.1a, Runway Enclosure Provided, may penetrate a floor if approved by local building authorities and fire authorities.
(r) The vertical platform (wheelchair) lift may be locked for security reasons but shall remain unlocked during normal business hours. 

Note: Installation of all vertical platform (wheelchair) lifts are subject to local building codes, fire regulations, and contractors licensure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943, Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
2. Amendment of subsections (p)(1)-(2) and (r) filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3094.3. Inclined Platform (Wheelchair) Lifts.
Note     •     History

(a) For purposes of this section, the provisions of ASME A17.1-1993, Section 2001, Inclined Wheelchair Lifts, except Rule 2001.10a and Rule 2001.10g(2), are hereby incorporated by reference.
(b) Inclined platform (wheelchair) lifts shall comply with ASME A17.1-1993, Section 2001, Inclined Wheelchair Lifts, except Rule 2001.10a and Rule 2001.10g(2). 
(c) As an alternative to 42 inch side guards as required in ASME A17.1-1993, Section 2001, Inclined Wheelchair Lifts, Rule 2001.6c(1), the following shall be provided:
(1) Powered operated safety arms, which guard the open sides of the lift, that must be lowered before the lift operates; and
(2) Guarding which complies with ASME A17.1-1993, Section 2001, Rule 2001.6c(2).
(d) Inclined platform (wheelchair) lifts shall comply with sections 3094.2(h), 3094.2(i), 3094.2(m), 3094.2(o), and 3094.2(r).
(e) A folding seat and seat belt shall be provided to accommodate a person not in a wheelchair.
(f) Durable signs with lettering on a contrasting background shall be permanently and conspicuously posted at each landing indicating that passengers not in a wheelchair shall use the seat and seat belt, and passengers in a wheelchair shall secure the wheels of the wheelchair.
(g) Inclined platform (wheelchair) lifts installed on stairways where vision of any part of the stairway is obstructed shall be provided with an audio and visual warning device, located at the obstructed portion of the stairway, to alert persons using the stairway that the lift is in operation.
(h) A fold-type platform, if provided, shall comply with the following:
(1) Capable of being power operated from all landings;
(2) Platform guarding shall comply with section 3094.3(c);
(3) Instructions on the operations of the lift shall be permanently and conspicuously posted near the operating controls;
(4) A device which complies with ASME A17.1-1993, Section 2001, Inclined Wheelchair Lifts, Rule 2001.6e, Obstruction Devices, shall be provided; and
(5) An inclined platform (wheelchair) lift will not operate by using the landing controls unless the lift is in the fold up position.
(i) The fold-type platform, if provided, shall be parked in the fold up position and clear of the stairway when the lift is not in use. A sign as required in section 3094.2(i) shall be conspicuously posted at the landings.
(j) Intermediate stops, if provided, shall comply with the following:
(1) A level and clear floor area or landing at each floor or level served by special access lifts shall be provided.
(2) The level and clear floor areas or landings shall be part of the path of travel. Path of travel is a passage that may consist of walks and sidewalks, curb ramps and pedestrian ramps, lobbies and corridors, elevators, other improved areas, or a necessary combination thereof, that provides free and unobstructed access to and egress from a particular area or location for pedestrians and/or wheelchair users.
(3) Access and egress to the platform shall be permitted only in the loading and unloading areas. 
(4) In new construction, the minimum size of landings shall be 60 inches by 60 inches. Other dimensions may be substituted where it can be demonstrated that a person using a wheelchair measuring 30 inches by 48 inches can enter and operate the lift safely.
(k) Ninety degree turns when entering and exiting on inclined platform (wheelchair) lifts shall be allowed only at the lower landing when two adjacent retractable ramps on the platform are used. 
Note: The installation of all inclined platform (wheelchair) lifts are subject to local building codes, fire regulations, and contractors licensure. 
(Title 24, Part 7, Section 7-3094.3)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
§3094.4. Inclined Stairway Chairlifts.
Note     •     History

(a) Inclined stairway chairlifts shall comply with ASME A17.1-1993, Section 2002, Inclined Stairway Chairlifts, which is hereby incorporated by reference, except Rule 2002.10a and Rule 2002.10c(2). 
Note: The installation of all inclined stairway chairlifts are subject to local building codes, fire regulations, and contractors licensure.
(Title 24, Part 7, Section 7-3094.4)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
§3094.5. Maintenance of Special Access Lifts.
Note     •     History

(a) The owner shall develop, implement, and maintain a written maintenance program for special access lifts in accordance with the manufacturer's recommendations. The maintenance shall be performed by a qualified person and the maintenance program shall include the following: 
(1) A routine maintenance to be performed not less than once every six months; and
(2) A procedure for checking the operation of the lift to be conducted not less than weekly.
(b) A log shall be established and maintained indicating the following:
(1) Completion date of all maintenance or repair;
(2) Name of person doing the maintenance or repair;
(3) Nature of the maintenance or repair;
(4) Record of all malfunctions;
(5) Record of all accidents occurring on the lift regardless of the nature of the injury; 
(6) A record of the time when the operational check as required in section 3094.5(a)(2) was conducted, and name of the person conducting it; and
(7) Name and telephone number of person(s) to contact in case of an emergency. 
(c) The log as required in section 3094.5(b) shall be available to the Division at the time of the required inspection.
(d) The owner shall keep at the premises where the special access lift is installed a complete set of manufacturer's maintenance and operational instructions including, but not limited to, the following:
(1) Wiring diagram;
(2) Structure diagram;
(3) Instructions for the operation of the manual lowering device (if provided); and
(4) Key(s) which is clearly labeled for the access panel.
(e) The special access lift shall be tested every five years for proper operation under rated load conditions, witnessed by the Division. The test shall include a check of the car or platform safety device, if applicable.
(Title 24, Part 7, Section 7-3094.5)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
§3094.6. Electrical Wiring Affecting Special Access Lifts.
Note     •     History

The installation of all electrical wiring shall conform to the applicable requirements of the California Code of Regulations, Title 24, Part 3, California Electrical Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 4-9-98; operative 5-9-98 (Register 98, No. 15).
Article 16. Hand Power Man Platforms
§3095. Hoistway Construction.

(a) Enclosures. Hoistways shall be substantially enclosed to a height of not less than 6 feet above all floors on the sides not used for entrances, and from floor to ceiling except for the necessary entrances on the sides opposite any car entrance.
(b) Counterweight Enclosure. The counterweight shall be enclosed for its entire travel, and no passageway shall be permitted under the counterweight.
(c) Protection of Entrances. All hoistway entrances shall be equipped with self-closing gates not less than 5 feet 6 inches high, constructed to conform to the requirements of Section 3020(c).
(1) The height of the clear hoistway entrance shall be not more than the height of the car.
(d) Top Clearance.
(1) The overhead clearance shall be not less than 18 inches, except platforms installed before June 5, 1947.
(2) The counterweight shall be arranged to land at the bottom of the counterweight run before the car is within 12 inches of the overhead. The car shall be arranged to land on its bumpers or floor before the counterweight is within 12 inches of the overhead.
(e) Hoistway Clearance. The horizontal car and counterweight clearances shall comply with Section 3018 except the requirements of Section 3018(g). 
§3096. Machinery and Equipment.
History

(a) Car Construction
(1) Car frames and platforms shall comply with the requirements of Section 3077(a)(4).
(2) The sides of the car shall be enclosed to a height of not less than 6 feet except for the necessary entrances.
(3) The car shall be provided with a car top.
(4) The platform area shall not exceed 4 1/3 square feet.
(b) Car Safety Devices. A safety device actuated by the breaking or slackening of the car-to-counterweight cable shall be provided. This device may be located in the crosshead. The safety device shall be capable of stopping and sustaining the car with rated load and shall be satisfactorily drop tested on each installation. A functional test shall be performed at the time of the annual inspection. This test shall be witnessed by a representative of the division.
(c) Brake. Each car shall be equipped with a brake which shall be arranged to apply automatically and must be held in the open position manually. The brake shall be capable of stopping and sustaining the descending car with rated load, or of holding the empty car from ascending.
(d) Sheaves. Sheaves shall comply with the applicable requirements of Section 3038.
(e) Hoist Cables. The car-to-counterweight cable shall be of steel not less than 3/8 inch diameter, 6 x 19 construction. The factor of safety of this cable and its attachments shall be not less than 10 based on static loading.
(f) Capacity and Loading.
(1) The rated load shall not exceed 300 pounds or one person.
(2) The total load of the car and rated load shall not exceed 500 pounds.
HISTORY

1. Amendment of subsection (a)(1), filed 6-23-77; effective thirtieth day (Register 77, No. 26).
Article 17. Manlifts
§3097. Construction Requirements for Manlifts Arranged for Front Loading.
Note     •     History

(a) Enclosures. The manlift shall be located in an enclosure protected by a self-closing, self-locking door or gate at each landing located in the same relative position except where building layout prevents identical location. Corners of gates shall be rounded.

Exception: The enclosure may be omitted at landings accessible only to plant personnel trained to use the manlift in the performance of their duties within the plant when guards described in 3097(e)(1)(A) and (B) are provided.
(1) The enclosure shall be not less than 6 feet high and of substantial material that will, if of openwork, reject a 2-inch ball.
(2) Keys to allow access to the manlift shall be issued to authorized personnel only.
(3) Doors or gates shall be arranged to be opened from the manlift side without use of a key.
(4) Doors or gates shall be located in the enclosure so that they are not in line with the floor openings for the manlift.
(5) Visitor Warning Requirements. A conspicuous sign having the following legend: 

AUTHORIZED PERSONNEL ONLY 

shall be displayed at each landing. Sign shall be of block letters not less than 2 inches in height and shall be of a color offering high contrast with the background color.
(b) Floor Openings. All floor openings through which the steps of a manlift pass shall be uniform in size, located vertically in line, and shall conform to the following:
(1) The clearance between the floor opening and side of the step, measured parallel with the plane of the belt, shall be not less than 7 inches nor more than 9 inches.
(2) The clearance between the front edge of the step and the edge of the floor opening, measured at the center line of the step, shall be not less than 14 inches nor more than 15 inches.
(3) The radius of curvature at the corners of the floor openings shall be approximately 15 inches.
(c) Landings.
(1) The clearance between the floor or mounting platform and the lower edge of the conical guard above it required by Section 3097(d) shall be not less than 7 feet 6 inches. Where this clearance cannot be obtained, no access to the manlift shall be provided and the manlift runway shall be enclosed when it passes through such floor.
(2) The landing area and access route to the manlift shall be kept clear at all times.
(3) The landing surfaces at the entrances and exits to the manlift shall be so constructed and maintained as to provide safe footing at all times. (Coefficient of friction of not less than 0.5.)
(4) Emergency landings shall be provided as follows:
(A) Where there is a travel of 50 feet or more between floor landings, one or more emergency landings shall be provided so that there will be a landing (either floor or emergency) for every 25 feet or less of manlift travel.
(B) Such emergency landings shall be accessible from both runs of the manlift and shall be constructed to meet the requirements of the floor landings.
(C) Emergency landings shall be completely enclosed with a standard railing and toeboard and shall give access to the ladder required in Section 3097(i).
(d) Floor Opening Guards.
(1) On the ascending side of the manlift, all landings shall be provided with a bevel guard or cone meeting the following requirements:
(A) The cone shall make an angle of not less than 60 degrees with the horizontal. An angle of less than 60 degrees but not less than 45 degrees may be used where ceiling heights do not allow the clearance required by Section 3097(c).
(B) For Manlifts installed prior to 1988, the guard shall extend not less than 36 in.(0.914m) outward from the face of the belt, measured at the center line of the belt. For Manlifts installed after Jan. 1, 1988, the guard shall extend not less than 42 in.(1.57m) outward from the face of the belt, measured at the center line of the belt.
(C) The cone shall be made of not less than No. 18 M.S. gage steel or material of equivalent strength or stiffness. The lower edge shall be rolled to a minimum diameter of 1/2 inch and the interior shall be smooth with no rivets, bolts, or screws protruding.
(2) In lieu of the fixed guards specified in Section 3097(d)(1), floating type safety cones may be used. Such floating cones are to be mounted on hinges at least 6 inches below the underside of the floor and so constructed as to actuate a limit switch should a force of 2 pounds be applied on the edge of the cone closest to the hinge. The depth of this floating cone need not exceed 12 inches.
(e) Protection of Entrances and Exits to Steps.
(1) The entrance and exit to the manlift shall be arranged so the landing area extends not less than 2 feet nor more than 3 feet from the edge of the floor opening to the runway enclosure, measured perpendicular to the plane of the manlift belt. Where the enclosure is more than 3 feet from the edge of the floor opening, or where the enclosure is not required by Section 3097(a), the following additional guards shall be required:
(A) A standard guardrail located so the landing area extends not less than 2 feet nor more than 3 feet from the edge of the floor opening to the guardrail, measured perpendicular to the plane of the belt and
(B) Standard guardrails parallel to the side guards required by Section 3097(f) and forming, with the side guards, a maze type entrance to the landing area of the manlift.
(2) Additional guardrails or partitions shall be required whenever arrangements are such that the loading and unloading can be done from the side of the manlift step or when access to the landing area or floor opening is direct rather than by a definite guided indirect route.
(3) The combination of side guards, enclosures, and guardrails shall be arranged to minimize the hazard of debris or materials falling down the runway for the mainlift.
(f) Side Guards for Openings.
(1) In order to preclude side loading, the floor opening at each landing shall be guarded on the open sides by panels of not less than No. 13 M.S. gage flattened expanded metal to reject a 1-inch ball in a frame of angle iron or pipe.
(2) The side guard shall be not less than 6 feet high and of a length so that the end posts are located at least to the ends of the manlift step but not more than 4 inches beyond the step.
(3) The side guards shall be located not more than 4 inches from the sides of the floor openings.
(4) Both ends of the side guards shall be equipped with a handle projecting approximately 4 inches from the end post in the direction away from the plane of the belt. The handle shall have closed ends rounded to the end post of the side guard and shall extend from approximately 3 feet to 5 1/2 feet above the floor.
(5) The top ends of the side guards shall be rounded where the top and end posts meet.
(g) Bottom Arrangement.
(1) At the bottom landing the clear area shall be not smaller than the area enclosed on the floors above, and any wall in front of the down-running side of the belt shall be not less than 48 inches from the face of the belt. This space shall not be encroached upon by stairs or ladders.
(2) The side guards and handholds shall be installed at approximately the same location as on the floors above.
(3) The lower (boot) pulley shall be installed so that it is supported by the lowest landing served. Pits are not permitted.
(4) A mounting platform or floor shall be provided in front of the up-run at the lowest landing, at or above the point at which the upper surface of the ascending step assumes a horizontal position.
(A) The clearance between the edge of the floor or mounting platform and the ascending step shall be approximately the same as the clearance between the floor opening and the step at the floors above.
(B) The top surface of the mounting platform shall extend the entire distance between side guards and shall be not less than 14 inches deep.
(h) Top Arrangement.
(1) Top Arrangements-Clearance from Floor. A top clearance shall be provided at least 11 feet above the top terminal landing. This clearance shall be maintained from a plane through each face of the belt to a vertical cylindrical plane having a diameter 2 feet greater than the diameter of the floor opening, extending upward from the top floor to the ceiling on the up-running side of the belt. NO encroachment of structural or machine supporting members within this space shall be permitted.
(2) The top pulley shall be located so:
(A) There shall be a clearance of at least 5 feet between the center of the head pulley shaft and any ceiling obstruction.
(B) The center of the head pulley shaft shall be not less than 6 feet nor more than 9 feet above the top terminal landing.
(3) On the up-running side of the manlift, an emergency ladder shall be provided adjacent to one of the side guards. The top rung of the ladder shall be located approximately 6 feet above the floor and side rails of the ladder shall extend not less than 3 1/2 feet above the top rung. The supporting member of the side guard may be used as one of the side rails of the ladder.
(4) On the up-running side of the manlift, rails shall be provided extending from the top of each side guard on a radius to a point approximately 3 feet above the center line of the head pulley. These rails may be extensions of the supporting members of the side guards and may be carried over in a semicircle.
(i) Emergency Exit Ladders.
(1) A fixed metal ladder accessible from both the “up” and “down” run of the manlift shall be provided where the vertical distance between landings exceeds 20 feet.

Exception: Manlifts installed before June 5, 1947.
(2) Such ladder shall be in accordance with the regulations of Section 3277, Article 4, of Title 8, CAC (General Industry Safety Orders) for ladders, except that enclosing cages shall not be provided.
(A) Manlift supporting members may be used as side rails if desired.
(j) Illumination.
(1) Both runs of the manlift shall be illuminated at all times when the lift is in operation. An intensity of not less than 1 foot-candle, measured at the belt, shall be provided for the entire runway and shall illuminate the warning signs required by Section 3099(i)(2).
(2) Lighting of manlift runways shall be by means of circuits permanently tied into the building circuits (no switches), or shall be arranged to be turned on by the starting switch controlling the manlift motor, or shall be controlled by switches at each landing. Where separate switches are provided at each landing, any switch shall turn on all lights necessary to illuminate the entire runway. Where the runway lighting is turned on by the starting switch controlling the manlift motor, the lighting for the floor landings shall be controlled by other means.
(3) Adequate lighting, not less than 5-foot candles, measured at the landing area, shall be provided at each floor landing.
(4) A light and convenience outlet shall be provided in each machine room or controller space.
(5) A red warning light of not less than 40-watt rating shall be provided immediately below the upper landing terminal and so located as to shine in the passenger's face.
(k) Electrical Wiring and Equipment.
(1) Wiring and electrical equipment for the manlift shall comply with the regulations of CCR, Title 24, Part 3, Article 620.
(2) The disconnect means shall be located adjacent to the motor controller and shall be arranged to be locked in the open position.
(3) Two motor starting switches are required, arranged so that if either switch should be mechanically held in the closed position the other switch shall break the circuit to the drive motor and automatic brake when any of the up limit stops or the stopping device are actuated.
(4) The motor controller shall be located within the top landing enclosure for the manlift.
(l) Access to and Work Space for Machinery.
(1) An adequate platform shall be provided for serving or repairing the drive machinery.
(A) All open sides of work platforms 30 inches or more above floor level shall be guarded by a standard rail and toeboard.
(b) Access to work platforms shall be by means of a permanent ladder or stairs.
(2) Moving equipment shall be guarded against accidental contact.
(m) Weather Protection. The entire manlift and its driving mechanism shall be protected from the weather at all times. 

FIGURE 3097-A 

View Graphic

FIGURE 3097-B 

View Graphic
(Title 24, Part 7, Section 7-3097)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-30-74; effective thirtieth day thereafter (Register 74, No. 35).
2. Amendment of subsections (a) and (j)(3) filed 9-12-74; effective thirtieth day thereafter (Register 74, No. 37).
3. Amendment of subsection (b)(2) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
4. Amendment of subsection (d)(1)(B) and Figure 3097-B filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
5. Amendment of subsection (k)(1) filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
6. Editorial corrections (Register 95, No. 34).
7. Change without regulatory effect amending subsection (m) to provide more legible illustrations in Figures 3097-A and 3097-B filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3098. Construction Requirements for Manlifts Arranged for Side Loading.
Note     •     History

(a) Enclosures. The enclosures for the manlift shall comply with the requirements of Section 3097(a).
(b) Floor Openings. The floor openings through which the steps of a manlift pass shall be the same size as and form no ledges with the walls required by Section 3098(f) and shall have the edge of the opening on the loading side not more than 9 inches nor less than 7 inches from the edge of the up or down steps.
(c) Landings. The landings shall comply with the requirements of Section 3097(c).
(d) Floor Opening Guards. On the ascending side of the manlift, all landings shall be provided with a bevel guard on the open side. The angle of bevel and construction of the guard shall comply with the requirements of Section 3097(d)(1).
(e) Protection of Entrances and Exits to Steps.
(1) The entrance and exit to the manlift shall be arranged so the landing area extends not less than 2 feet nor more than 3 feet from the edge of the floor opening to the enclosure measured parallel to the plane of the belt. Where the enclosure is more than 3 feet from the edge of the floor opening, or where the enclosure is not required by Section 3097(a), the following additional guards shall be required:
(A) A standard guardrail located so the landing area extends not less than 2 feet nor more than 3 feet from the edge of the floor opening measured parallel to the plane of the belt, and
(B) Standard guard rails or partitions arranged so that the access to the floor opening is by a definite guided indirect route.
(f) Special Runways for Side Loading.
(1) Runways shall be enclosed by smooth walls on 3 sides of the runway. The enclosure shall extend the entire height on one side, at right angles to the faces of the belt, located not more than 9 inches nor less than 7 inches from the edges of the up and down steps.
The enclosure shall extend from the bottom landing to the floor level at the top landing on the up side of the manlift and from the second landing to not less than 6 feet above the top floor on the down side. The enclosures on the up and down sides shall be located parallel to the face of the belt not more than 15 inches nor less than 14 inches from the nose of the steps and shall extend not less than the full width of the floor openings. 

View Graphic

FIGURE 3098-A
(g) Bottom Arrangement. The bottom landing on the down side shall be arranged with a platform for side unloading similar to that at the upper floors and for front unloading on floor supporting the boot pulley. No wall or other obstruction shall be within 6 feet of the face of the down side belt at the bottom landing measured at right angles to the face of the belt. The ascending side shall be arranged with a platform for loading similar to that at upper floors and above the point at which the upper surface of the ascending step assumes a horizontal position.
(h) Top Arrangement.
(1) The top landing on the up side of the belt shall be arranged for front unloading in addition to the required side unloading. No wall or obstruction shall be within 3 feet of the edge of the up side floor opening at the top floor measured at right angles to the face of the belt.
(2) The top clearance and the location of the head pulley shall comply with the requirements of Sections 3097(h)(1) and 3097(h)(2).
(3) An emergency ladder shall be provided to allow any person traveling above the top floor to safely return to the top floor.
(4) Hand rails shall be provided over the head pulley to insure a safe hand hold for any person traveling above the top floor.
(i) Emergency Exit Ladders.Emergency exit ladders shall be provided where required by and shall comply with the requirements of Section 3097(i).
(j) Illumination.The lighting shall comply with the requirements of Section 3097(j).
(k) Electrical Wiring and Equipment. The electrical equipment shall comply with the requirements of Section 3097(k).
(l) Access to and Work Space for Machinery.The access and work space shall comply with the requirements of Section 3097(l).
(Title 24, Part 7, Section 7-3098)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (g) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
. 2.Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
3. Editorial corrections (Register 95, No. 34).
4. Change without regulatory effect amending subsection (f)(1) to provide more legible illustrations in Figure 3098-A filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3099. Mechanical Requirements and Operation.
Note     •     History

(a) Machines.
(1) Machines shall be of the direct connected type or shall be driven by multiple V-belts. Cast iron gears shall not be used.
(2) Drive (head) pulleys and idler (boot) pulleys shall have a diameter not less than given in Table 3099.

TABLE 3099

	Belt	Minimum Strength	Minimum Pulley
	Construction	(Lb. Per Inch of Width)	Diameter (inches)
	5 Ply	 1500	20
	6 Ply	 1800	20
	7 Ply	 2100	22
(The above values are based on 32 ounce duck; 300 pounds per linear inch per ply.)
(3) The machine shall be so designed and constructed as to catch and hold the driving pulley in event of shaft failure.
(4) All parts of the machine shall have a factor of safety of 6 based on a static load of 200 pounds on each horizontal step on the up and down runs.
(b) Brakes.
(1) An inherently self-engaging brake requiring power or force from an external source to cause disengagement that applies automatically when the circuit to the drive motor is opened shall be provided on every manlift.
(A) The brake shall be electrically released and shall be applied to the motor shaft for direct connected units.
(B) No belt or connecting means, other than a direct mechanical connection shall exist between the brake and the head pulley on belt driven units.
(2) A mechanically applied brake that will apply should the pulley speed exceed 125 percent of rated speed or should the direction of rotation of the head pulley be reversed shall be on every manlift.
(A) This brake shall be applied directly to the head pulley or to the head pulley shaft at the side opposite the driving means.
(B) The power to the drive motor shall be automatically disconnected at or before the time the brake sets and shall remain disconnected until the brake or disconnecting means is manually reset.
(3) Either brake required by Section 3099(b)(1) and Section 3099(b)(2) shall be capable of stopping and holding the manlift when the descending side is loaded with 250 pounds on each step.
(4) The automatic brake required by Section 3099(b)(1) shall be capable of stopping the manlift within not more than 12 inch travel after an up limit stop device has been actuated. 
(c) Belts.
(1) The belt shall be of hard-woven canvas, rubber-coated canvas, leather, or other material meeting the strength requirements of Section 3099(c)(3) and having a coefficient of friction such that when used in conjunction with an adequate tension device it will meet the brake test specified in Section 3099(b)(3).
(2) The width of the belt shall be not less than:

	Belt Width
Total Rise in Feet	in Inches
Less than 100	 12 
100 to 150	 14 
More than 150	 16 

(3) The strength of the belt shall be not less than:

	Strength in Pounds
Total Rise in Feet	Per Inch Width  
Less than 100	 1500   
100 to 200	 1800   
More than 200	 2450   

(4) Belts shall be fastened by a lapped splice or shall be butt-spliced with a strap on the side away from the pulley.
(A) For lapped splices, the overlap of the belt at the splice shall be not less than 3 feet where the total travel of the manlift does not exceed 100 feet, and not less than 4 feet if the travel exceeds 100 feet.
Where butt splices are used, the strap shall extend not less than 3 feet on each side of the butt for a travel not in excess of 100 feet, and 4 feet for a travel in excess of 100 feet.
(B) Splices shall be fastened with special elevator bolts arranged to cover the splice area effectively. These bolts shall have a minimum diameter of 1/4 inch and conform to the following:

	                                                         Minimum Number of Bolts
Belt Width	Lap Splice	Butt Splice
  12”	 20	40  
  14”	 23	46  
  16”	 27	54  

(5) A belt that has become torn while in use on a manlift shall not be spliced and put back in service. 
(d) Speed.
(1) The rated speed of a manlift shall not exceed 80 feet per minute.
To take care of variations in voltage, etc., the actual noload running speed of the belt may exceed rated speed by not more than 10 percent.
(2) All manlifts in a given plant should run at approximately the same speed. 
(e) Platforms or Steps.
(1) Steps or platforms shall be not less than 12 inches nor more than 14 inches deep, measured from the belt to the edge of the step or platform.
(2) The width of the step or platform shall be not less than 17 inches nor more than 21 inches.
(3) The distance between steps shall be equally spaced and not less than 16 feet measured from the upper surface of one step to the upper surface of the next step above it.
(4) The surface of the step shall be approximately level.
(5) Surface of the step shall be of a nonslip material.
(6) When subjected to a load of 400 pounds applied at the approximate center of the step, step frames or supports and their guides shall be of adequate strength to:
(A) Prevent the disengagement of any step roller.
(B) Prevent any appreciable misalignment.
(C) Prevent any visible deformation of the step or its support.
(7) No step shall be provided unless there is a corresponding handhold above or below it meeting the requirements of Section 3099(f). If a step is removed for repairs or permanently, the handholds immediately above and below it shall be removed before the lift is again placed in service.
(f) Handholds.
(1) Handholds attached to the belt shall be provided and so installed that they are not less than 4 feet nor more than 4 feet 8 inches above the step tread. These shall be so located as to be available on both the “up” and “down” run of the belt.
(2) The grab surface of the handhold shall be not less than 4 1/2 inches in width, not less than 3 inches in depth and shall provide 2 inches of clearance from the belt. Fastenings for handholds shall not come within 1 inch of the edge of the belt.
(3) The handhold shall be capable of withstanding without damage a load of 300 pounds applied parallel to the run of the belt.
(4) No handhold shall be provided without a corresponding step. If a handhold is removed permanently or temporarily, the corresponding step and handhold for the opposite direction of travel shall also be removed before the lift is again placed in service.
(5) All handholds shall be of the closed type.

Exception: 
1. Existing installations where the same handhold is used for both directions.
2. Existing installations where a belt flat arrangement is provided. 
(g) Up Limit Stops.
(1) Two separate automatic stop device shall be provided to cut off the power and apply the brake when a loaded step passes the upper terminal landing.
(A) One of these devices shall consist of two switches each actuated by the deflection of a step roller due to a load on the step traveling above the top floor and arranged to stop the manlift should one or both of the switches be actuated. Each rail shall be provided with a switch located so that the device will function when the surface of the step is not more than 12 inches above the top landing.
(B) The second device shall be a switch actuated by a lever, rod, or plate located above the center line of the head pulley but projecting over the ascending steps so as to just clear a passing step. The lever, rod, or plate shall be not more than 10 1/2 feet above the top landing.
(2) After the manlift has been stopped by an up limit stop, it shall be necessary to reset the device manually.
(3) After resetting an up limit stop, it shall be necessary to start the manlift by a restart button so located at the top landing as to provide a clear view of both up limit stops.
(4) Existing manlifts shall be provided with an automatic limit stop which will shut off the power and stop the belt if any passenger rides a step more than 12 inches above the upper landing. 
(h) Starting and Stopping Device.
(1) A manually operated starting and stopping device shall be provided.
(2) This device shall be within easy reach of the ascending and descending runs of the belt.
(3) The starting and stopping means shall be so connected with the control lever or operating mechanism that it will cut off the power and apply the brake when pulled in the direction of travel.
(4) This stop shall consist of a cotton rope with a wire center, manila or sisal rope, marlin covered wire rope, or synthetic fiber, not less than 3/8 inch in diameter.
(5) Where a spring is used to maintain rope tension, the rope connection shall be made in such a manner that failure of the spring will not disconnect the operating rope. 
(i) Instruction and Warning Signs.
(1) Signs of conspicuous and easily read style, giving instructions for the use of the manlift, shall be posted at each landing or stenciled on the belt.
(A) Such signs shall be of letters not less than 1 inch in height and of a color having high contrast with the surface on which it is stenciled or painted (white or yellow on black or black on white or gray).
(B) The instructions shall read approximately as follows:
    “Face the Belt.”
    “Use the Handhold.”
    “To Stop--Pull Rope in Direction of Travel.”
(2) At the top floor, illuminated signs shall be displayed bearing the following wording:
    “Top Floor--Get Off.”
(A) Signs shall be in block letters not less than 2 inches in height.
(B) A sign shall be located on the inside of each side guard on front loading manlifts and not more than 2 feet above the floor at the top landing.
(C) A sign shall be located just before reaching the top landing of side loading manlifts, readily visible when facing the side used for unloading.
(3) At the approach to the bottom floor, an illuminated sign shall be displayed bearing the following wording:
    “Bottom Floor--Get Off.”
(4) On existing installations, illuminated warning signs shall be displayed at points before reaching the top and bottom landings. 
(j) Carrying of Materials and Tools.
(1) No freight or packaged goods shall be carried on any manlift.
(2) No pipe, lumber, or other construction material shall be handled on any manlift.
(3) No tools except those which will fit entirely within a pocket in usual working clothes shall be carried on any manlift except that tools may be carried inside a canvas bag having dimensions not larger than 11 inches by 13 inches and provided with carrying loops or handles. Such bag shall be provided with a leather bottom. Such bag shall not be provided with shoulder straps but shall be carried in the passenger's hand while he is riding the manlift. 
(k) Periodic Inspections.
(1) Periodic Inspection Frequency. All manlifts shall be inspected by a competent designated person at intervals of not more than 30 days. Limit switches shall be checked weekly. Manlifts found to be unsafe shall not be operated until properly repaired.
(2) Items Covered. This periodic inspection should cover all portions of the manlift and the immediate area around the manlift including but not limited to the following items:
Steps.
Step Fastenings.
Rails.
Rail Supports and Fastenings.
Rollers and Slides.
Belts and Belt Tension.
Handholds and Fastenings.
Floor Landings.
Guardrails.
Lubrication.
Limit Switches.
Warning Signs and Lights.
Illumination.
Drive Pulley.
Bottom (boot) Pulley and Clearance.
Pulley Supports.
Motor.
Driving Mechanisms.
Brake.
Electrical Switches.
Vibration and Misalignment.
“Skip” on up or down run when mounting step. (Indicating worn gears)
(3) Inspection Record.  A certification record shall be kept of each inspection which includes the date of the inspection, the signature of the person who performed the inspection and the serial number, or other identifier, of the manlift which was inspected. Records of inspection shall be made available to the division. 
(l) Design Requirements.  All new manlift installations and equipment installed after the effective date of these regulations shall meet the strength of materials requirements of the “American National Safety Standard for Manlifts ANSI A90.1-1969” and the requirements of this section. 
(m) Beams and Supports Required. Machines, machinery, rails and pulleys shall be so supported and maintained in place as to effectually prevent any part from becoming loose or displaced under the conditions imposed in service. 
(n) Out-of-Service Requirements. When it is intended to remove a manlift from service for an extended period of time, the leads to the disconnecting switch shall be disconnected and taped, the drive pulley and belt shall be restrained to prevent movement of the belt and the floor openings shall be covered over with plywood not less than 3/4” thick fastened in place. 
(o) Guarding. Guarding of mechanical equipment and floor openings shall conform to the requirements of Subchapter 7, Chapter 4, Part 1 of Title 8 (General Industry Safety Orders) of the California Administrative Code. 
(Title 24, Part 7, Section 7-3099)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b)(1), (f)(2), and add subsections (c)(5), (k), and ( l), filed 8-30-74; effective thirtieth day thereafter (Register 74, No. 35).
2. Amendment of subsection (b)(1) filed 9-12-74; effective thirtieth day thereafter (Register 74, No. 37).
3. New subsections (m), (n) and (o) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
4. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
5. Amendment of subsection (k)(3) filed 3-5-90; operative 4-4-90 (Register 90, No. 12).
Article 18. Design Data, Formulas, Tests on Approved Devices, and Electrical Regulations
§3100. Rated Load of Passenger Elevators.
Note     •     History

(a) Minimum Rated Load of Passenger Elevators. The following formulas shall be used for determining the minimum rated load of passenger elevators.
(1) For a passenger elevator having an inside net platform area of not more than 50 square feet 

W = (2A2/3) + (200A/3).
(2) For a passenger elevator having an inside net platform area of more than 50 square feet 

W = 7A2/150) + (125A - 1367). 
Where W = Minimum rated load in pounds, and A = inside net platform area in square feet.
(3) Figures 3100 A1, 3100 A2 and 3100 A3 are graphs of the above two formulas.

View Graphic

Minimum Rated Loads for Passenger Elevators
FIGURE 3100 A1 

View Graphic

Minimum Rated Loads for Passenger Elevators
FIGURE 3100 A2

View Graphic

Minimum Rated Loads for Passenger Elevators
FIGURE 3100 A3 
(b) Additional Requirements for Passenger Overload. Passenger elevators shall be designed and installed to safely lower, stop, and hold the car with an additional load up to 25 percent in excess of the rated load; however, the elevator is not required to attain rated load performance under the overload conditions. For passenger elevators, the term “125 percent of the rated load” shall be used in place of “rated load” in the following sections:
(1) Duplex Safeties--Section 3035(b).
(2) Function and Stopping Distance of Safeties--Section
3035(c)(1).
(3) Driving Machine Brakes--Section 3038(h)(2).
(4) Normal Terminal Stopping Devices--Section 3039(a)(2).
(5) Control and Operating Circuit Requirements--Section 3040(f)(5).
(6) Absorption of Regenerative Power--CCR, Title 24, Part 3, Article 620.
(Title 24, Part 7, Section 7-3100)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading, subsections (b) and (b)(6) and adoption of Note filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
§3101. Electric Elevator Car Frame and Platform Stresses and Deflections.
History

(a) General Requirements.
(1) Steel, where used in the construction of car frames and platforms, shall conform to the following requirements:
(A) Steel shall be rolled, formed, forged, or cast, conforming to the requirements of the following specifications of the American Society for Testing and Materials:
1. Rolled and Formed Steel, ASTM A36 or ASTM A283 Grade D
2. Forged Steel, ASTM 235 Class C.
3. Cast Steel, ANSI G50.1 ASTM A27 Grade 60/30.
(B) Steel used for rivets, bolts, and rods shall conform to the following specifications of the American Society for Testing and Materials.
1. Rivets, ASTM A502.
2. Bolts and Rods, ASTM A307.

Exception: Steels of greater strength than those specified may be used provided they have an elongation of not less than 22 percent in a length of 2 inches, and provided that the stresses and deflections conform to the requirements of Design Sections 3101(a)(4) and (a)(5).
(2) Wood used for platform stringers and for platform floors and subfloors shall conform to the requirements of ANSI 04.3--(ASTM D245-687).
(3) Paint used for protection against fire shall be of an approved type having a flame spread rating of not over 50, applied in accordance with the instructions of the manufacturer. Such ratings shall be based on the test procedures specified in ANSI A2.5.
(4) The stresses in car frame members and their connections, based on the static loads imposed upon them, shall not exceed the following:
(A) For steels meeting the requirements of Sections 3101(a)(1)(A) and 3101(a)(1)(B), the stresses listed in Table 3101 A4.
(B) For steels of greater strength, the stresses listed in Table 3101 A4 may be increased proportionately based on the ratio of the ultimate strengths.
(C) For metals other than steel, the factor of safety shall be not less than is required for steel. 

TABLE 3101 A4
Maximum Allowable Stresses in Car Frame and Platform Members 
and Connections, for Steels Specified in Sections 3101(a)(1)(A) and 3101(a)(1)(B)

		Max stress
Member	Type of stress	psi	Area basis
			
Car Crosshead	Bending	12,500	Gross Section
Car Frame Plank Normal 	Bending	12,500	Gross Section
 Loading	
Car Frame Plank Buffer 	Bending	25,000	Gross Section
 Reaction
Car Frame Uprights (Stiles) 	Bending plus	15,000	Gross Section
	 Tension	18,000	Net Section
Hoisting Rope	Bending plus
 Hitch Shapes	 Tension 	8,000	Net Section
Platform Framing	Bending	12,500	Gross Section
Platform Stringers	Bending	15,000	Gross Section
Threaded Brace Rods and 	Tension 	8,000	Net Section
 other Tension Members 
 Except Bolts
Bolts	Tension 	7,000	Net Section
Bolts in Clearance Holes	Shear 	7,000	Actual Area in
			Shear Plane 
Bolts in Clearance Holes	Bearing	16,000	Gross Section
Rivets or Tight Body-fit Bolts	Shear	10,000	Actual Area in
			Shear Plane
Rivets or Tight Body-fit Bolts	Bearing	18,000	Gross Section
Any Framing Member, Normal 	Compression	14,000	Gross Section
 Loading		59L/R
			
(5) The deflections of car frame and platform members, based on the static loads imposed upon them, shall be not more than the following, irrespective of the type of steel or other metal used:
(A) For crosshead, 1/960th of the span.
(B) For plank, 1/960th of the span.
(C) For stiles or uprights, as determined by Section 3101(e)(3).
(D) For platform frame members, 1/960th of the span.
(6) The stresses and deflections in side-post-type car frame and platform members shall be based on the data and formulas listed in this section.
(7) For cars with corner-post or underslung-type car frames, the formulas and specified methods of calculation do not generally apply and shall be modified to suit the specific conditions and requirements in each case.
(b) Car Frame Crosshead. The stresses in the car frame crosshead shall be based on the total load supported by the crosshead with the car and its rated load at rest at the top terminal landing.
(1) Where a hoisting rope sheave is mounted on the car frame, the construction shall conform to the following:
(A) Where multiple sheaves mounted on separate sheave shafts are used, provision shall be made to take the compressive forces, developed by tension in the hoist ropes between the sheaves, on a strut or struts between the sheave shaft supports, or by providing additional compressive strength in the car frame or car frame members supporting the sheave shafts.
(B) Where the sheave shaft extends through the web of a car frame member, the reduction in area of the member shall not reduce the strength of the member below that required. Where necessary, reinforcing plates shall be welded or riveted to the member to provide the required strength. The bearing pressure shall in no case be more than that permitted in Table 3101 A4 for bolts in clearance holes.
(C) Where the sheave is attached to the car crosshead by means of a single threaded rod or specially designed member or members in tension, the following requirements shall be conformed to:
1. The single rod, member or members, in tension shall have a factor of safety 50 percent higher than the factor of safety required for the suspension wire ropes, but in no case less than 15.
2. The means for fastening the single threaded rod, member or members, in tension to the car frame shall conform to Section 3033(m). 
(c) Car Frame Plank (Normal). The stresses in the car frame plank shall be based on a uniformly distributed load equal to not less than the sum of 5/8 of the rated load, 5/8 of the platform weight, and the concentrated loads due to the tensions in the compensating ropes and traveling cables.
(d) Car Frame Plank (Buffer Engagement). In calculating the stress resulting from oil-buffer engagement, 1/2 the sum of the weight of the car and its rated load shall be considered as being concentrated at each end of the plank with the buffer force applied at the middle. The buffer force shall be considered to be that required to produce gravity retardation with rated load in the car.
The following formula shall be used to determine the stress resulting from buffer engagement: 

Stress = (D[C + W]) /2Z
Where more than one oil buffer is used, the formula shall be modified to suit the location of the buffers.

Note: Symbols used in the above and subsequent formulas are defined in Section 3101(g).
(e) Car Frame Stiles (Uprights). The total stress in each car frame upright due to tension and bending, and the slenderness ratio of each upright and its moment of inertia, shall be determined in accordance with the following formulas:
(1) Stress Due to Bending and Tension.

Total Stress = (KL/4HZu) + (G/2A)
Where KL/4HZu is the bending stress in each upright in the plane of the frame due to the live load W on the platform for the class of loading A, B, or C for which the elevator is to be used, and G/2A is the tensile stress in each upright.
K is determined by the following formulas (See Figure 3101 E):
(A) For class A freight loading or passenger loading, K = WE/8
(B) For class B freight loading, K = W([E/2] - 48) or K = WE/8, whichever is greater
(C) For class C freight loading, K = WE/4 

Note: Symbols used in the above formulas are defined in Section 3101(h).

View Graphic

Turning Moment Based on Class of Loading
FIGURE 3101E 
(2) Slenderness Ratio. The slenderness ratio L/R for uprights subject to compressions other than those resulting from safety and buffer action shall not exceed 120.

Exception: Where the upper side-brace connections on passenger elevator car frame uprights are located at a point less than 2/3 of L from the bottom (top fastening in car frame plank), a slenderness ratio of L/R not exceeding 160 shall be permissible.

Note: Symbols used in the above formulas are defined in Section 3101(h).
(3) Moment of Inertia. The moment of inertia of each upright shall be not less than determined by the following formula: 

I = KL3 /18EH

Note: Symbols used in the above formula are defined in Section 3101(h).
(f) Freight Elevator Platforms.
(1) The calculations for the stresses in the platform members of freight elevators shall be based on the following concentrated loads assumed to occupy the position which will produce the maximum stress:
(A) Class A Loading: 1/4 of the rated load.
(B) Class B Loading: 75 percent of the rated load divided into two equal loads 5 feet apart.
(C) Class C1 and C2 Loading with a Full Load Rating of 20,000 pounds or less: 80 percent of the rated load or of the loaded truck, whichever is greater, divided into equal loads 2 feet 6 inches apart.
(D) Class C1 and C2 Loading with a Full Load Rating in excess of 20,000 pounds: 80 percent of 20,000 pounds or of the loaded truck weight whichever is the greater, divided into two equal parts 2 feet 6 inches apart.
(E) Class C3 Loading: Determine on the basis of the actual loading conditions but not less than that required for Class A loading.
(2) Freight elevators shall be designed for one of the following classes of loading:
(A) Class A--General Freight Loading. Where the load is distributed, the weight of any single piece of freight or of any single hand truck and its load is not more than 1/4 of the rated load of the elevator, and the load is handled on and off the car platform manually or by means of hand trucks.
For this class of loading, the rated load shall be based on not less than 50 pounds per square foot of inside net platform area.
(B) Class B--Motor Vehicle Loading. Where the elevator is used solely to carry automobile trucks or passenger automobiles up to the rated capacity of the elevator.
For this class of loading, the rated load shall be based on not less than 30 pounds per square foot of inside net platform area.
(C) Class C--These loadings apply where the weight of the concentrated load, including an industrial power or hand truck, if used, is more than 1/4 of the rated load and where the load to be carried does not exceed the rated load.
There are three types of Class C loading as follows:
Class C1--Industrial Truck Loading where truck is carried by the elevator.
Class C2--Industrial Truck Loading where truck is not carried by the elevator but used only for loading and unloading.
Class C3--Other loading with Heavy Concentrations where truck is not used.
The following requirements shall apply to all three types of Class C loading:
1. The rated load of the elevator shall be not less than the load (including any truck) to be carried, and shall in no case be less than load based on 50 pounds per square foot of inside net platform area.
2. The elevator shall be provided with a two-way automatic leveling device.
For Class C1 and Class C2 loadings, the following additional requirements shall apply:
3. For elevators with rated loads of 20,000 pounds or less, the car platform shall be designed for a loaded truck of weight equal to the rated load or for the actual weight of the loaded truck to be used, whichever is greater. For elevators with rated loads exceeding 20,000 pounds, the car platform shall be designed for a loaded truck weighing 20,000 pounds, or for the actual weight of the loaded truck to be used, whichever is greater.
4. For Class C2 loading, the maximum load on the car platform during loading or unloading shall not exceed 150 percent of rated load. For any load in excess of the rated load, the driving machine motor, brake, and traction relation shall be adequate to sustain and level the full 150 percent of rated load.

Note: When the entire rated load is loaded or unloaded by an industrial truck in increments, the load imposed on the car platform while the last increment is being loaded or the first increment unloaded will exceed the rated load by part of the weight of the empty industrial truck.
(g) Passenger Elevator Platforms. The stresses in platform members of passenger elevators shall be based on concentrated loads not less than those which apply to Class A freight loading.
(h) Formula Symbols. The symbols used in the formulas in Section 3101 shall have the following meanings: 
W = Rated load in pounds. 
C = Net weight in pounds of complete elevator car. 
G = Load in pounds supported by crosshead with rated load in car at rest at top terminal landing. 
K = Turning moment in inch-pounds as determined by class of loading. 
D = Distance in inches between guide rails. 
E = Inside clear width of car in inches, except in formulas in Sections 3101(e)(3) and 3103(a)(4)(D) where E = modules of elasticity (psi) of the material used. 
H = Vertical center distance between upper and lower guide shoes (or rollers) in inches. 
L = Free length of uprights in inches (distance from lowest fastening in crosshead to top fastening in plank). 
A = Net area of section in (inches)2. 
R = Least radius of gyration of section in inches. 
I = Moment of inertia of member, gross section in (inches)4. 
Z = Combined section moduli of plank members, gross section, (inches)3. 
Zu =Section modulus of one upright, gross section, (inches)3.
HISTORY

1. Amendment of subsections (a)(1), (a)(2), (a)(3) and (e) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Editorial correction of subsections (d) Note and (f)(2)(C)3. (Register 95, No. 34).
3. Change without regulatory effect amending subsection (e) to provide more legible illustrations in Figure 3101E filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3102. Hydraulic Plunger, Cylinder, and Piping Design.
History

(a) Plunger Design. Plunger shall be designed and constructed in accordance wth one of the following formulas.
(1) Where slenderness ratio of plunger is less than 120:
W/A = 13600 - 0.485(L/R)2 
(2) Where slenderness ratio of plunger is greater than 120:
W/A = 95,000,000/(L/R)2 
Where:
W = Allowable gross weight to be sustained by plunger. Where a counterweight is provided, the weight of the counterweight plus the unbalanced weight of the counterweight ropes may be deducted in determining W. In determining W, 1/2 of the weight of the plunger shall be included. Where the cylinder is attached to the car frame, the weight of the cylinder, the liquid in the cylinder, and 1/2 the weight of the plunger shall be included.
A = Net sectional area of plunger (area of metal) in square inches.
L = Maximum free length of plunger in inches.
R = Radius of gyration of plunger section in inches. 
W/A = Maximum allowable fiber stress. 

Exception: Plungers having a free length of 25 feet or less may be accepted without further examination for strength and elastic stability provided all of the following conditions exist:
1. The working pressure is 300 pounds per square inch or less.
2. The plunger is 4 inches nominal pipe size or larger.
3. Pipe not lighter than schedule 40 is used and not more than 1/16 inch of metal has been removed from the wall thickness in machining.
4. The plunger is not of the telescoping type. 

View Graphic
(3) Figures 3102 A1 and 3102 A2 may be used as a guide for the maximum free lengths for various loads on some of the more common pipe sizes used for plungers.
(b) Design of Joints in Plungers. Plungers composed of more than one section shall have the joints designed and constructed to:
(1) Carry in tension the weight of all plunger sections below the joint, and
(2) Transmit in compression the gross load on the plunger with a factor of safety of not less than 5 based on ultimate strength.
(c) Attachment of Plunger to Platform. The plunger shall be attached to the car platform with fastenings of sufficient strength to support the weight of the plunger with a factor of safety of not less than 4.
(d) Plungers Subjected to External Pressure. For plungers subjected to external pressure, the working pressure shall be not more than that indicated by the following formula:

View Graphic
Where:
p = Working pressure in pounds per square inch.
t = Finished wall thickness in inches.
d = External finished diameter in inches.
(e) Cylinder Design
(1) Cylinders shall be designed and constructed in accordance with the following formula:

View Graphic
Where:
t = Thickness of wall in inches, minimum.
p = Working pressure in pounds per square inch.
d = Internal diameter in inches.
S = Design stress in pounds per square inch (12,000 psi maximum for mild steel and 1/5 the ultimate strength for other metals).
(2) Gray cast iron (or other brittle material), if used in the cylinder assembly, shall have a factor of safety of not less than 10. 
(f) Cylinder and Plunger Heads.
(1) Heads of cylinders, and heads of plungers subject to fluid pressure, shall conform to the following requirements:
(A) They shall be designed and constructed in accordance with the applicable formulas in 3102(f)(2), provided that steel heads shall in no case have a thickness less than that required for the adjoining shell.
(B) Dished seamless heads, convex to pressure, shall have a maximum allowable working pressure not more than 60 percent of that for heads of the same dimensions with pressure on the concave.
(C) Reinforced heads shall be designed and constructed so that the maximum stress at rated capacity shall not exceed 12,000 pounds per square inch for mild steel and 1/5 of the ultimate strength of the material for other metals.
(D) Pressure heads subjected to mechanical loads in addition to fluid pressure loads shall be so designed and constructed that the combined stresses will not exceed the limits specified in Sections 3102(f)(1)(A), 3102(f)(1)(B), and 3102(f)(1)(C).
(2) Heads of cylinders and heads of plungers subject to fluid pressure shall be designed and constructed in accordance with one of the following applicable formulas:
(A) Flat unreinforced heads:

t = d Ö (p / 4S)
(B) Dished seamless heads, concave to pressure: 

t = 5pr / 6S
Where:
t = Thickness of head in inches, minimum.
d = Diameter of head between supporting edges in inches.
p = Working pressure in pounds per square inch.
S = Design stress in pounds per square inch (12,000 psi maximum for mild steel and 1/5 of ultimate strength for other metals).
r = Radius to which head is dished, measured on concave in inches (not greater than d).
(3) Welding of parts on which safe operation depends shall conform to Section 3033(g).
(g) Pipe Design.
(1) The minimum wall thickness of pipe for working pressures over 250 pounds per square inch shall be determined by the following formula:

t = (pD / 2S) + C
Where:
D = Outside diameter of pipe in inches.
t = Minimum wall thickness in inches.
p = Working pressure in pounds per square inch.

View Graphic
S = Allowable stress in pounds per square inch (1/5 ultimate strength).
(2) Supply piping materials and fittings shall conform with the applicable provisions of USAS B31.1.0 except that non-ductile material shall not be used. The material used shall have a factor of safety of not less than 5 based on ultimate strength and on elongation of not less than 10 percent.
(3) Plain end nonferrous pipe or tubing shall have a wall thickness not less than that determined by the formula in Section 3102(g)(1) where C = 0.000 and S (max) 1/5 of the ultimate strength of the material used.
(4) Welding of parts on which safe operation depends shall conform to Section 3033(g).
(5) Threads if piping, fittings, and valves shall conform to USAS B2.1.
HISTORY

1. Amendment of subsection (a)(2) filed 11-24-76; effective thirtieth day thereafter (Register 76, No. 48).
2. Editorial correction of subsection (f)(1)(D) (Register 95, No. 34).
3. Editorial correction of subsections (e)(1) and (g)(1) (Register 95, No. 41).
§3103. Hydraulic Elevator Car Frame and Platform Stresses and Deflections.

(a) General Requirements. The stresses and deflections in car frame and platform members shall be based on the data and formulas listed in this section. For cars with corner-post or subpost car frames, the formulas and data do not generally apply and shall be modified to suit the specific conditions in each case.
(1) The maximum stresses in car frame uprights which are normally subject to compression shall be such that the quantity [(fa/Fa) + (fb/Fb)] does not exceed unity.
Where:
Fa = Allowable axial compressive unit stress (not exceeding 17,000-0.485(L/R)2).
Fb = Allowable bending unit stress (15,000 psi if area basis is gross section or 18,000 psi if area basis is net section).
fa = Actual axial compressive unit stress based on gross section.
fb = Actual bending unit stress.
L = Free length of uprights in inches (distance from lowest fastening in crosshead to top fastening in plank).
R = Least radius of gyration of section in inches.
(2) The stresses in the car frame crosshead shall be based on the total load, if any, supported by the crosshead.
The moment of inertia in the crosshead shall be not less than twice that of the stile section about an axis parallel to that of the crosshead section. The connection between the crosshead and the stile shall have sufficient rigidity to transmit the bending moment in the stile into the crosshead.
(3) The normal stresses in the car frame plank for elevators having a single plunger shall be based on a load equal to 1/2 the maximum static load on the plunger concentrated at each end of the plank with the plunger force applied at the middle. Where multiple plungers are used, the stresses shall be analyzed for the specific case. Stresses resulting from oil buffer engagement shall be calculated in accordance with Design Section 3101(d).
(4) The stresses in each car frame upright due to compression and bending and the slenderness ratio of each upright and its moment of inertia shall be determined in accordance with the following formulas:
(A) Stresses due to bending.

View Graphic
where:
fb = The bending stress in each upright in the plane of the frame due to the live load W on the platform for the class of loading A, B, or C for which the elevator is to be used.
K = Turning moment in inch-pounds as determined by the class of loading by the following formulas:
1. For Class A freight loading or passenger loading:

View Graphic
2. For class B freight loading:

View Graphic
whichever is greater
3. For Class C freight loading:

View Graphic
For explanation of symbols L, H, and Zu see Design Section 3101(g).
  (B) Stresses due to compression:
fa = Compressive stress in each upright.
  (C) Slenderness Ratio:
The slenderness ratio L/R for uprights subject to compressions other than those resulting from buffer action shall not exceed 120.

Exception: Where the upper side-brace connections on passenger elevator car frame uprights are located at a point less than 2/3 of L from the bottom (top fastening in car frame plank), a slenderness ratio of L/R not exceeding 160 shall be permissible.
(D) Moment of Inertia.
The moment of inertia of each upright shall be not less than determined by the following formula:

View Graphic
For explanation of symbols see Design Section 3101(g). 
§3104. Factor of Safety for Driving Machines and Sheaves.
History

(a) Factor of Safety for Driving Machines and Sheaves. 
(1) The factor of safety to be used in the design of driving machines and in the design of sheaves used with hoisting and compensating ropes shall be not less than:
(A) Eight for steel, bronze, or for other metals having an elongation of at least 14 percent in a length of 2 inches.
(B) Ten for cast iron, or for other metals having an elongation of less than 14 percent in a length of 2 inches.
(2) The load to be used in determining the factor of safety shall be the resultant of the maximum tensions in the ropes leading from the sheave or drum with the elevator at rest and with rated load in the car.
(b) Data Required for Approval.
(1) Two complete sets of assembly and detail drawings of the governor shall be submitted, and shall show the following:
(A) The construction of the governor and the dimensions of major parts for identification.
(B) The adjustment range and values of the data as marked on the governor marking plate required by Section 3036(h).
(2) The results of a test performed at the maximum tripping speeds for which the approval is to be issued. This test shall be witnessed by an authorized representative of the Division of Industrial Safety, or the division may accept reports of witnesses recognized as competent by the division.
HISTORY

1. Editorial correction of subsection (a)(1) (Register 95, No. 34).
§3105. Governor Trip Speeds and Approval Data.

(a) Governor Tripping Speeds. Figure 3105 A gives the maximum tripping speeds for various rated speeds. 

View Graphic

Maximum Governor Tripping Speeds
FIGURE 3105 A 
(b) Data Required for Approval.
(1) Two complete sets of assembly and detail drawings of the governor shall be submitted, and shall show the following:
(A) The construction of the governor and the dimensions of major parts for identification.
(B) The adjustment range and values of the data as marked on the governor marking plate required by Section 3036(h).
(2) The results of a test performed at the maximum tripping speeds for which the approval is to be issued. This test shall be witnessed by an authorized representative of the Division of Industrial Safety, or the division may accept reports of witnesses recognized as competent by the division.
§3106. Car and Counterweight Safety Stopping Distances and Approval Data.
History

(a) Stopping Distances, Type B Safeties.
(1) The following formulas shall be used to determine the maximum and minimum stopping distances for Type B car and counterweight safeties:

View Graphic
Where: 
S  = Maximum stopping distance in feet.
S' = Minimum stopping distance in feet.
V  = Governor tripping speed in feet per minute.
(2) Figures 3106 A1 to 3106 A7 show the maximum and minimum stopping distances from various governor tripping speeds.

Design Data and Formulas 

View Graphic

STOPPING DISTANCE IN FEET
Stopping Distances for Type B Car and Counterweight Safeties
FIG. 3106 A-1 

View Graphic

View Graphic

View Graphic

View Graphic
(b) Data Required for Approval.
(1) Two complete sets of assembly and detail drawings of the safety device shall be submitted to the division and shall show the following:
(A) The construction of the safety device and the dimensions of major parts for identification.
(B) The adjustment range and valves of the data as marked on the safety marking plate required by Section 3035(n).
(C) The design and operational details indicating that the safety device complies with Sections 3035(g), 3035(i), 3035(j), 3035(k), 3035(l), 3035(o), and 3035(p).
(2) The results of performance tests conducted by the manufacturer or an approved testing laboratory. These tests shall be conducted to demonstrate that the safety device will function satisfactorily within the range of loads and speeds for which the safety is to be approved.
(c) Performance Tests Required for Safety Approval.
(1) On Type B safeties in which the maximum retarding force does not depend on the pull in the governor rope, the tests shall be of the drop-test type or of the overspeed type. On such tests the governor tripping speed need not exceed 280 feet per minute.
(2) On Type B safeties in which the maximum retarding force depends on the pull in the governor rope and the car speed at which the safety is applied, the tests shall be of the drop-test type.
(3) On Type A safeties the tests shall be:
(A) A test shall be made of the inertia application of the safety by attaching the proper weight, as determined by the manufacturer, to the return run of the governor rope. This weight shall be that necessary to reproduce inertia operation of the safety at not to exceed 9/10 gravity. The inertia application shall be made with the car stationary, and the weight when released shall move the safety pats into contact with the rails, and
(B) A runaway test made from governor tripping speed with the safety device applied by the governor mechanism.
(4) On Type C safeties, the tests shall be of the overspeed type. The inertia application of the safety is not required.
(d) Factor of Safety. Parts of safeties, except springs, shall have a factor of safety of not less than 3.5, and the materials used shall have an elongation of not less than 15 percent in a length of 2 inches. Forged, cast, or welded parts shall be stress relieved.

Exception: Safety-rope drums, leading sheaves, and their supporting brackets and safety jaw gibs may be made of cast iron and other metals, provided such parts have a factor of safety of not less than 10.
(1) Rope used as a connection from the safety to the governor rope, including rope wound on the safety rope drum, shall be not less than 3/8 inch in diameter and shall be made of a corrosion-resistant metal. Tiller rope construction shall not be used. The factor of safety of the rope shall be not less than 5.
(2) The factors of safety shall be based upon the maximum stresses developed in the parts during the operation of the safety when stopping rated load from governor tripping speed.
(3) Springs may be used in the operation of car or counterweights safeties. Where used, and where partially loaded prior to safety operation, the loading on the spring shall not produce a fiber stress exceeding 1/2 the elastic limit of the material. During operation of the safety, the fiber stress shall not exceed 85 percent of the elastic limit of the material. Helical springs, where used, shall be in compression.
(4) Safety-rope leading-sheave brackets and other safety operating parts shall not be attached to or supported by wood platform members.
HISTORY

1. Editorial correction of subsections (a)(1) formula and (c)(3)(A) (Register 95, No. 34).
§3106.1. Plunger Engaging Safety Device for Direct Plunger Hydraulic Elevators.
Note     •     History

(a) Plunger Engaging Safety Device Design and Operation.
The plunger engaging safety device (PESD), when used on direct plunger hydraulic elevators to stop uncontrolled descent due to loss of pressure, shall comply with the following requirements:
(1) The forces applied to the plunger shall be compressive and distributed over the circumference of the plunger when the PESD is actuated. The force shall not exceed 28% of the plunger yield stress.
(2) Supports for the PESD shall be capable of withstanding a kinetic force of 115% of the total load stopping with a deceleration of 1 g.
(3) The PESD shall:
(A) actuate when there is a loss of hydraulic pressure that could cause the elevator to go into an out-of-control descent,
(B) not release the plunger if there is downward motion of the plunger,
(C) be fully operational during a primary electrical power failure, and
(D) have sufficient running clearance between the gripping surface and the plunger to not adversely affect the plunger or the gripping surface.
(4) The PESD bearings, when used, shall be corrosion resistant.
(5) Parts of the PESD and supports, except springs, shall have a safety factor of not less than 3.5. The materials used shall have an elongation of not less than 15% in length of 2 inches. Forged, cast or welded parts shall be stress relieved. Roller chains, if provided, shall comply with ASME B29.1M-1993, “Precision Power Transmission Roller Chains, Attachments, and Sprockets,” which is hereby incorporated by reference. Wire rope, if provided, shall comply with Section 3107.
(b) Data Required for Approval.
(1) Two complete sets of detail drawings showing the assembly of the PESD shall be submitted to the Division and shall show the following:
(A) The construction of the PESD and the dimensions of major parts for identification.
(B) The shim adjustment range indicated on the safety marking plate required by Section 3065(b)(3).
(C) Indication of how the clamping surfaces are held in the released position.
(2) The results of performance tests conducted by the manufacturer or approved testing laboratory. These tests shall be conducted to demonstrate that the PESD will function satisfactorily within the range of loads and speeds for which the PESD is to be approved.
(c) Performance Tests Required for PESD Approval.
(1) Tests to indicate that surfaces subjected to friction by the PESD will not reduce the reasonable life expectancy of such surfaces.
(2) Tests to indicate the gripping mechanism of the device does not adversely affect the plunger.
(Title 24, Part 7, Section 7-3106.1)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-13-2000; operative 5-13-2000 (Register 2000, No. 15).
§3107. Factors of Safety for Suspension Wire Ropes and Design of Wire Rope Fastenings for Power Elevators.
Note     •     History

(a) Factors of Safety for Wire Ropes.
(1) The factor of safety for wire ropes shall be calculated by the following formula:

View Graphic
Where: 
S = Manufacturer's rated breaking strength of one rope. 
N = Number of runs of rope under load (See Note). 
W = Maximum static load imposed on all car ropes with the car and its rated load at any position in the hoistway.

Note: In the case of multiple roping, the number of runs of rope (N) under load will be: For 2:1 roping, twice the number of ropes use; for 3:1 roping, three times the number of ropes used; etc.
(2) The factor of safety for wire suspension ropes shall be not less than that determined by Figure 3107 A2 for the various rope speeds. 

View Graphic

Factors of Safety of Suspension Wire Ropes of Power
Passenger and Freight Elevators
FIGURE 3107 A2
(b) Design of Wire Rope Fastenings.
(1) Tapered babbitted-type rope sockets shall be of a design shown in Figure 3107 B1 as follows:
(A) The axial length (L) of the tapered portion of the socket shall be not less than 4 3/4 times the diameter of the rope used.

View Graphic

Tapered Babbitted Rope Sockets
FIGURE 3107 B1

Note: Rope socket and shackle rod may be in one piece, as shown
(B) The axial length (L') of the open portion of the rope socket shall be not less than 4 times the diameter of the rope used. 
(C) The length of the straight bore (L”) at the small end of the socket shall be not more than 1/2 in. (12.7 mm) nor less than 1/8in. (3.2 mm) and its outer edge shall be rounded and free from cutting edges. 
(D) The diameter (d) of the hole at the large end of the tapered portion of the socket shall be not less than 2 1/4 times nor more than 3 times the diameter of the wire rope used. 
(E) The diameter (d') of the hole at the small end of the tapered portion of the socket shall be not more than shown in Table No. 3107 B1E.

                                              TABLE NO. 3107 B1E
                    Relation of Rope Diameter to Small Diameter of Socket
Nominal Rope Diameter	Maximum Diameter of Hole     
     in.	d', in.      
3/8 to 7/16 inclusive	 3/22”  larger than Nominal Rope Diameter
1/2 to 3/4 inclusive	 1/8”  larger than Nominal Rope Diameter
7/8 to 1 1/8 inclusive	 5/32”  larger than Nominal Rope Diameter
1 1/4 to 1 1/2 inclusive	 3/16”  larger than Nominal Rope Diameter

GENERAL NOTE 
1 in. = 25.4 mm
Title 24, Part 7, Section 7-3107.
(2) Types of rope fastenings other than individual tapered babbitted rope sockets may be accepted by the division subject to the following:
(A) Data is submitted showing the results of adequate tensile and fatigue tests made by a qualified testing laboratory.
(B) The fastenings shall conform to the requirements of Section 3042(j).
(C) The rope socketing shall be such as to develop at least 80 percent of the ultimate breaking strength of the strongest rope to be used in such fastenings.
(D) U-bolt type rope clips (clamps) shall not be used for such fastenings.
(3) Cast or forged steel rope sockets, shackle rods and their connections shall be made of unwelded steel, having an elongation of not less than 20 percent in a length of 2 inches, conforming to ASTM A235 for forged steel, and to USAS G50.1 (ASTM A27) for cast steel, and shall be stress relieved.
(4) The shackle rod, eye bolt, or other means used to connect the rope socket to the car or counterweight, shall have a strength at least equal to the rope manufacturer's rated breaking strength of the rope. 
(5) Eye bolts used as connections with clevis-type sockets shall be of forged steel conforming to ASTM A235 without welds. 
(6) Rope sockets shall be of such strength that the rope will break before the socket is perceptibly deformed.
(c) Method of Babbitting Wire Ropes in Tapered Sockets. Where the tapered babbitted type socket is used, the method and procedure to be followed in making up the fastening shall conform to the following:
(1) Handling: The rope to be socketed shall be carefully handled to prevent twisting, untwisting, or kinking.
(2) Seizing of Rope Ends: The rope ends to be socketed shall be served before cutting with seizings in accordance with the following:
(A) The seizing shall be done with annealed iron wire, provided that other methods of seizing may be used which give the same protection from loss of rope lay.
Where iron wire is used for seizing, the length of each seizing shall be not less than the diameter of the rope.
(B) For nonpreformed rope, three seizings shall be made at each side of the cut in the rope.
(C) For preformed rope, one seizing shall be made at each side of the cut in the rope.
(D) For nonpreformed rope, the first seizing shall be close to the cut end of the rope and the second seizing shall be spaced back from the first the length of the end of the rope to be turned in. The third seizing shall be at a distance from the second equal to the length of the tapered portion of the socket.
For preformed rope, the seizing shall be at a distance from the end of the rope equal to the length of the tapered portion of the socket plus the length of the portion of the rope to be turned in.
(3) Spreading of Rope Strands: After the rope has been seized, it shall be inserted into the socket through the hole in the small end a sufficient distance for manipulation; and where nonpreformed rope is used, the first two seizings shall be removed. The rope strands shall then be spread apart and where rope with fiber core is used, the fiber core shall be cut away as close as possible to the remaining seizing.
(4) Removal of Grease or Oil: Grease and oil shall be removed by cleaning the outer surface of the exposed rope strands with a nonflammable low-toxic solvent.
new scan (5) Turning in of Rope Strands: The exposed rope strands shall then be bent, turned in, and bunched closely together, each strand being turned back the same distance. The portion turned in shall have a length of not less than 2 1/2 times the diameter of the rope and such that, when the rope is pulled as far as possible into socket, the bend of the turned-in strands shall be slightly overflush with the mouth of the tapered socket (large end) and will be visible when the socket has been babbitted. Where rope with steel core is used, the steel core shall be cut off even with tops of the looped strands.
(6) Insertion of Bent-In Rope Strands in Socket: The rope end shall be pulled as far as possible into the socket so that the remaining seizing projects outside the hole at the small end of the socket.
(7) Position of Socket Preparatory to Pouring Babbitt: The socket shall be held in a vertical position with the large end up, and the rope held in a position truly axial with the socket. Tape or waste may be wound around the rope at the small end of the socket to prevent the babbitt from seeping through, but shall be removed after the metal has cooled.
(8) Heating of Babbitt: The babbitt shall be heated to a fluidity just sufficient to char a piece of soft wood such as white pine without igniting it. Care shall be taken not to overheat the babbitt sufficiently to damage the rope.
(9) Heating of Socket-Basket and Pouring of Babbitt: The rope socket-basket shall be heated by a blowtorch flame sufficiently to prevent chilling of the babbitt and to insure that the babbitt when poured will completely fill the basket, including all the spaces between the rope strands. Following this the molten babbitt shall be poured slowly and evenly into the basket until it is filled to a point level with the top of the opening in the large end.
(10) Babbitt metal shall contain at least 9 percent antimony and shall be clean and free from dross.
(d) Design of Suspension Rope Equalizers. Cable equalizers and their fastenings may be of types other than individual compression spring type provided:
(1) Data is submitted to the division showing that adequate tensile and fatigue tests have been made by a qualified testing laboratory.
(2) The tests show the ultimate strength of the equalizer and its fastenings in its several parts and assembly, which shall be not less than 10 percent in excess of the required strength of the suspension ropes.
(3) Equalizers of the single-bar type or springs in tension shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 6-11-86; effective thirtieth day thereafter (Register 86, No. 24). 
2. Editorial corrections (Register 95, No. 34).
3. Change without regulatory effect amending subsection (b)(1)(A) to provide more legible illustration in Figure 3107 B1 filed 5-1-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 18).
§3108. Design of Oil Buffers and Buffer Supports and Tests for Approval of Oil Buffers.
History

(a) Stroke of Oil Buffers.
(1) The stroke shall be such that the car or the counterweight on striking the buffer at 115 percent of rated speed shall be brought to rest with an average retardation of not more than 32.2 feet per second per second, or
(2) Where an emergency terminal stopping device is installed which conforms to the requirements of Section 3039(c), and which will limit the speed at which the car or counterweight can strike its buffer, the buffer stroke shall be based on at least 115 percent of the reduced striking speed and on an average retardation not exceeding 32.2 feet per second per second.
(3) The following formula gives the value of the stopping distance based on gravity retardation from any initial velocity:

View Graphic
Where: V = Initial velocity in feet per minute
    S = Free fall in inches (gravity stopping distance)
(4) Figure 3108 shows the gravity stopping distances based on the formula of Section 3108(a)(3). 

View Graphic

FIGURE 3108
(b) Retardation by Oil Buffers. Oil buffers shall develop an average retardation not in excess of 32.2 feet per second per second, and shall develop no peak retardation greater than 80.5 feet per second per second having a duration exceeding 1/25of a second with any load in the car from rated load to a minimum load of 150 pounds when the buffers are struck with an initial speed of not more than:
(1) One hundred fifteen percent of rated speed for buffers conforming with Section 3031(f), and
(2) One hundred fifteen percent of the predetermined reduced speed for buffers conforming with the exception to Section 3031(f). 
(c) Factor of Safety for Oil Buffer Parts. The factor of safety of parts of oil buffers, based on the yield point for compression members and on the ultimate strength and elongation for other parts, at gravity retardation with the maximum load for which the buffer is designed, shall be not less than the following:
(1) Three for materials having an elongation of 20 percent or more in a length of 2 inches.
(2) Three and one-half for materials having an elongation of from 15 to 20 percent in a length of 2 inches.
(3) Four for materials having an elongation of from 10 to 15 percent in a length of 2 inches.
(4) Five for materials having an elongation of less than 10 percent in a length of 2 inches, except that cast iron shall have a factor of safety of 10.
(d) L/R for Members Under Compression as Columns. The L/R ratio of members of oil buffers under compression as columns shall be not more than 80.
The L/R ratio specified applies only to those main buffer members which are subject to the impact of the fully loaded car when striking the buffer.
(e) Buffer Oil Requirements. Oils used in oil buffers shall have a pour point of zero degrees F. or lower as defined in ANSI Z11.5 (ASTM D97) and a viscosity index of 75 or higher as defined in ANSI Z11.211 (ASTM D2270).
(f) Approval of Oil Buffers.
(1) The buffer shall be approved on the basis of the engineering tests specified in ANSI A17.1, made by an approved testing laboratory or by the manufacturer and witnessed by a representative of such an approved testing laboratory or by a representative of the Divsion of Industrial Safety. Tests shall be made on a buffer of each type or design to be approved and having the following oil portings:
(A) The porting having the range of the maximum loads for which the buffer is designed.
(B) The porting having the range of the minimum loads for which the buffer is designed.
(2) The approval shall include buffers of the same type or design having a greater or shorter stroke, up to a maximum of 7 feet, and having oil portings for any load range within the maximum and minimum loads for which the buffer has been tested, provided that the buffer will conform to the requirements of Section 3031(f). 
(3) Certification. When the buffer has been subjected to all of the specified tests and all test records and data indicate that it conforms to the requirements of Sections 3031 and 3108, the laboratory shall issue to the manufacturer a test report and a certificate stating that the buffer of the particular stroke, and having the portings tested, has met the requirements for the maximum and minimum loads as stated in the certificate.
A copy of the test reports, together with drawings and descriptions of the buffer to allow field identification, shall be submitted to the division with the request for approval.
(g) Impact on Buffer Supports. The following formulas give the buffer reaction and the impact on the car and counterweight oil buffer supports resulting from buffer engagement:
R = W (1 + [v2/2gS])
P = 2R
The following formulas give the buffer reaction and the impact on the supports of car and counterweight spring buffers which do not fully compress under the conditions outlined in Section 3019.
R = 2W (1 + [v2/2gS])
P = R
Where: 
R = Buffer reaction in pounds. 
P = Impact in pounds. 
W = Weight in car plus rated load in pounds. 
v = Speed in feet per second at impact. 
S = Buffer stroke in feet. 
g = 32.2 feet per second per second.
HISTORY

1. Amendment of subsections (e) and (f)(1) filed 6-23-77;effective thirtieth day thereafter (Register 77, No. 26).
2. Editorial correction of subsection (g) formulas (Register 95, No. 34).
§3109. Guide Rails, Guide Rail Brackets, Fastenings and Supports for Electric Elevators.
History

(a) Stresses and Deflections.
(1) The stresses in a guide rail, or in a rail and its reinforcement, due to the horizontal forces imposed on the rail during loading, unloading, or running, calculated without impact, shall not exceed 15,000 pounds per square inch based upon the class of loading. The deflection, calculated on the same basis, shall not exceed 1/4 inch.

Exception: Where steels of greater strength than those specified in Section 3109(b) are used, the stresses may be increased proportionately based on the ratio of the ultimate strengths.
(2) The guide rail brackets, their fastenings and supports, such as building beams and walls, shall be capable of resisting the horizontal forces imposed by the class of loading with a total deflection at the point of support of not more than 1/8 inch. 
(b) Requirements for Steel.
(1) Rails, brackets, fishplates, and rail clips shall be made of open-hearth steel or its equivalent having a tensile strength of not less than 55,000 pounds per square inch and having an elongation of not less than 22 percent in a length of 2 inches.
(2) Bolts shall conform to ASTM A-307.
(3) Rivets shall conform to ASTM A-502.
(c) Rail Section. When shapes other than those specified in Section 3030(e) are used, they shall:
(1) Have a section modulus and moment of inertia equal to or greater than that of the sections shown in Figure 3030 E for a given loading condition.
(2) Have a sectional area sufficient to withstand the compressive forces resulting from the application of the car or counterweight safety device.
(d) Moment of Inertia for a Single Guide Rail. The minimum moment of inertia about an axis (1-1) parallel to the base of a single rail or to the base of a single rail and its reinforcement for a car or counterweight with a safety device, is given in Figure 3109 D for total weight per pair of rails and bracket spacing.
Note: The moments of inertia of the most common size standard T-rails are shown in Figure 3109 D as vertical lines.

View Graphic

Minimum Moment of Inertia About 1-1 Axis for a Single
Guide Rail With Its Reinforcement
FIGURE 3109 D 

View Graphic
HISTORY

1. Amendment of subsection (d) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Editorial correction of subsection (c)(1) (Register 95, No. 41).
§3110. Approval of Hoistway Door Interlocks and Hoistway Door Combination Mechanical Locks and Electric Contacts (Contact Locks).

(a) Methods of Approval.
(1) Hoistway door interlocks or hoistway door combination mechanical locks and electric contacts used on installations covered by these regulations shall be of an approved type. The Division of Industrial Safety will classify as “Approved” such hoistway door locking devices that have been approved, listed, labeled, or manufactured as conforming to the standards of the Underwriter's Laboratories, Inc., or similar approved institutions, provided, however, that the division may refuse to approve such devices that do not comply with the requirements of Section 3021.
(A) Drawings and test reports shall be submitted to the division with the request for lock approval.
(2) The division may classify as “Approved” hoistway door locking devices which have not been approved, listed, labeled, or manufactured as conforming to the standards of one of the institutions specified in Section 3110(a)(1) upon satisfactory evidence that they are designed and constructed so that they do comply with the requirements of Section 3021.
(A) Drawings and a working model of the lock shall be submitted to the division for approval, together with design data on the component parts of the locking device.
§3111. Stresses and Deflection in Machinery and Sheave Beams and Their Supports.
History

(a) Allowable Loads and Stresses for Beams and Floors.
(1) The stresses shall not exceed 80 percent of those permitted for static loads.
(A) Structural steel by AISC Specification for Design Fabrication and Erection of Structural Steel Building.
(B) Reinforced concrete by ANSI A89.1 Concrete Building Code Requirements for Reinforced Concrete.
(2) The stresses in overhead beams, floors, and their supports shall be based on not less than the sum of the following loads:
(A) The load resting on the beams and supports, which shall include the complete weight of the machine, sheaves, controller, governor, and any other equipment, together with that portion, if any, of the machine room floor supported thereon.
(B) Twice the sum of the tensions in all wire ropes passing over sheaves or drums supported by the beams with rated load in the car.
Note: These tensions are doubled to take care of impact accelerating stresses, etc.
(3) The stresses in beams, foundations, and floors for machinery and sheaves not located directly over the hoistway shall be based on not less than the following loads:
(A) The foundation shall support the total weight of the machine, sheaves, and other equipment, and the floor, if any.
(B) The sheave beams and the foundation bolts shall withstand twice the vertical component of the tensions in all hoisting ropes passing over sheaves or drums on the foundation or beams, less the weight of the machine or sheaves.
(C) The sheave beams and the foundation bolts shall withstand twice the horizontal component, if any, of the tensions in all hoisting ropes passing over sheaves or drums on the foundation or beams.
(D) The foundation shall withstand twice the turning moment, if any, developed by the tensions in all the hoisting ropes passing over sheaves or drums on the foundation or beams.
(4) Where stresses due to loads, other than elevator loads, supported on beams or floor exceed those due to elevator loads, 100 percent of the permitted stresses may be used.
(b) Allowable Deflections. The allowable deflections of machinery and sheave beams, and their immediate supports under static load, shall not exceed 1/1666 of the span.
(c) Bolts and Rivets.
(1) Anchor bolts for machines or sheaves located below or to one side of the hoistway shall conform to ASTM A307.
(A) Total tension in anchor bolts shall not exceed 12,000 pounds per square inch of net section.
(B) Total shear in anchor bolts shall not exceed 8,600 pounds per square inch of actual area in the shear plane.

Exception: Bolts made of steel having greater strength than specified by ASTM A307 may be used and the maximum allowable stresses increased proportionately based on the ratio of ultimate strengths. Elongation shall conform to the requirements of the corresponding ASTM specification.
(2) Bolts or rivets used to secure overhead hoisting rope hitch plates shall conform to ASTM A307 and ASTM A502 respectively.
(A) Where bolts or rivets are subjected to shearing stresses due to tension in the hoisting ropes, the total shear shall not be more than 8,600 pounds per square inch of actual area in the shear plane. The stresses in welds shall not be more than 8,000 pounds per square inch based on the throat area of the welds.

Exception: Bolts made of steel having greater strength than specified by ASTM A307 may be used and the maximum allowable stresses increased proportionately based on the ratio of ultimate strengths. Elongation shall conform to the requirements of the corresponding ASTM specification.
(3) The fastenings used to attach equipment, except rail brackets, to the supporting structure shall be designed to withstand seismic forces of 1.0 g. horizontally and 0.5 g. vertically acting simultaneously when such fastenings are rigid or when fastenings use rubber or similar material for vibration isolation of equipment. Fastenings using springs for vibration isolation of equipment shall be designed to withstand forces double those for rigid fastenings.
The stresses in parts or structural members made of steel shall not exceed 88% of the yield strength of the material used in the fastenings.
(d) Hitch Plates and Hitch Plate Supports. Total stresses in tension, plus bending in hitch plates and in hitch plate shapes, shall not be more than 12,000 pounds per square inch. The hitch plate supporting beams shall be designed to withstand twice the sum of the tensions in all the hoisting ropes attached to the hitch plates.
(e) Cast Metals in Tension or Bending. Cast metals having an elongation of less than 20 percent in a length of 2 inches, which are subject to tension or bending, shall not be used to support machinery or equipment from the underside of overhead beams or floors.
HISTORY

1. New subsection (c)(3) filed 9-5-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment of subsection (a)(1) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
3. Subsection (c)(3) which was filed 9-5-75 (Register 75, No. 36), was approved by the Building Standards Commission 3-26-76. History note printed in Register 78, No. 30 for technical reasons.
4. Editorial corrections (Register 95, No. 34).
§3112. Electrical Regulations.
Note     •     History

The electrical regulations referred to in the body of the Elevator Safety Orders are California Code of Regulations, Title 24, Part 3, Article 620, Elevators, Dumbwaiters, Escalators, Moving Walks, Wheelchair Lifts and Stairway Chair Lifts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Sections E620-11, E620-31, E620-42 and repealer and new section E620-51(b) of subsection (b) filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of section heading, repealer and new text and Note filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
§3113. Special Elevators.
Note     •     History

(a) Observation Elevators. Observation elevators installed in unenclosed hoistways shall comply with special requirements described in the following sections in addition to all other applicable requirements of Articles 7, 8, and 9.

	(1) Submission of Plans. 	3001(a)(3)
	(2) Cleaning of Glass and Replacement 
	  of Lamps.	3001(a)(7)
	(3) Hoistway Enclosure. 	3010(a)(1)
		3010(a)(6)
		3010(e)
	(4) Top Clearance. Cable Elevators 	3017(k)(4)
	Top Clearance. Hydraulic Elevators 	3054(a)(5)(D)
	(5) Access Switches. 	3021(k)(1)
	(6) Emergency Exit. 	3034(a)(4)
	(7) Car Top Guardrails. 	3034(a)(9)
	(8) Glass Passenger Car Enclosure.	3034(b)(5)(D)
	(9) Safeties.	3035(h)(4)
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).

Appendix A

Inspection Fees
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix A filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer filed 11-26-90; operative 12-26-90 (Register 91, No. 2).
Group III. Installations Defined by Section 3000(f) of These Orders. Elevator Installations for Which the Installation Contract Was Signed on or After October 25, 1998, but Before May 1, 2008
Article 20. Hoistways, Hoistway Enclosures, and Related Construction for Electric Elevators
§3120.0. Construction of Hoistways and Hoistway Enclosures.
Note     •     History

Construction of hoistways and hoistway enclosures shall comply with Section 100 of ASME A17.1-1996; except for Rules 100.1a(3) and 100.1c(3); which is hereby incorporated by reference. 
(a) Construction of hoistways and hoistway enclosures shall comply with section 3010(a)(6) and section 3010(d)(2)(B).
(b) Screening of Hoistway.
(1) When two or more elevators are located in the same hoistway, the elevators shall be fully separated by a material complying with the following:
(A) Where unperforated steel is used, it shall be equal to or stronger than 0.0437 in. (1.110 mm) thick steel;
(B) Where wire screen or perforated steel is used it shall be equal to or stronger than 0.0915 in. (2.324 mm) diameter metal grill;
(C) The material shall reject a ball 1 inch (25.4 mm) in diameter;
(D) Be so supported and braced that when subjected to a pressure of 100 lb/ft2 (4.79 kPa) applied horizontally at any point, the deflection shall not exceed 1in. (25.4mm). 

Note: Screening is subject to local building code requirements.
(Title 24, Part 7, Section 7-3120.0 )
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New group III (articles 20-39), article 20 (sections 3120.0-3120.12) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of group 3 subheading filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3120.1. Machine Rooms and Machinery Spaces.
Note     •     History

Machine rooms and machinery spaces shall comply with Section 101 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Machine rooms and machinery spaces shall comply with section 3011(b)(3), section 3011(d)(1)(D), section 3011(e)(2)(D), section 3011(f)(2), section 3011(g), and section 3011(h).
(Title 24, Part 7, Section 7-3120.1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of subsection (a) filed 5-8-2002; operative 6-7-2002 (Register 2002, No. 19).
§3120.2. Electrical Equipment, Wiring, Pipes, and Ducts in Hoistways, Machine Rooms and Machinery Spaces.
Note     •     History

Electrical equipment, wiring, pipes, and ducts in hoistways, machine rooms and machinery spaces shall comply with Section 102 of ASME A17.1-1996, except for the reference to ANSI/NFPA 70, which is hereby incorporated by reference.
(a) All electrical equipment and wiring shall comply with CCR, Title 24, Part 3, California State Electrical Code.
(Title 24, Part 7, Section 7-3120.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.3. Location and Guarding of Counterweights.
Note     •     History

Location and guarding of counterweights shall comply with Section 103 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) If the counterweight pit guard prevents viewing of the counterweight runby, an opening in the guard shall be provided which will allow verification of the counterweight runby. The opening shall be protected to prevent accidental contact with the moving equipment.
(Title 24, Part 7, Section 7-3120.3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.4. Guarding of Exposed Equipment.
Note     •     History

Guarding of exposed equipment shall comply with Section 104 of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Guarding of exposed equipment shall comply with section 3014(a) and section 3014(b).
(Title 24, Part 7, Section 7-3120.4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.5. Machinery and Sheave Beams, Supports, and Foundations.
Note     •     History

Machinery and sheave beams, supports, and foundations shall comply with Section 105 of ASME A17.1-1996, which is hereby incorporated by reference. 
(Title 24, Part 7, Section 7-3120.5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.6. Pits.
Note     •     History

(a) Pits shall comply with section 106 of ASME A17.1-1996; except for Rules 106.1(b)(3), 106.1c and 106.1d(2); which is hereby incorporated by reference.
(b) Pits shall comply with section 3016(a), section 3016(c), section 3016(d)(3), section 3016(d)(4), section 3016(d)(5), and section 3016(h).
(c) A water removal system such as a sump pump, suction drain, or gravity drain may be used to address water accumulations on the pit floor pursuant to Rule 1206.2a of ASME A17.1-1996. The water removal system, if provided, shall comply with the following:
(1) Equipment related to the water removal system shall not be located in the pit, elevator hoistway, or machine room;
(2) Piping related to the water removal system shall be located outside the pit and machine room, except that the piping extending from the pit floor to the lowest landing may be installed inside the hoistway.
(3) The water removal system shall not be connected directly to the sewer.
(4) The following shall apply if a drain in the pit floor is used as the water removal system:
(A) The drain shall be designed so that water cannot enter the pit through the drain;
(B) If a sump is provided, the drain shall be in the sump.
(d) Water accumulations shall be removed/pumped from the pit. Authorized personnel shall be present when it is necessary to enter the pit to remove water accumulations.
(e) All elevators installed after October 25, 1998 may be provided with a water removal system that complies with the requirements of section 3120.6(c).

Note: Discharge from the water removal system may be subject to the local authority having jurisdiction.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section142.3, Labor Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of section and Note filed 7-28-2003; operative 8-27-2003 (Register 2003, No. 31).
3. Amendment of subsection (c) filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3120.7. Bottom and Top Clearances and Runbys for Elevator Cars and Counterweights.
Note     •     History

Bottom and top clearances and runbys for elevator cars and counterweights shall comply with Section 107 of ASME A17.1-1996; except for Rules 107.1b(1)(a) and 107.1b(1) (b); which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3120.7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.8. Horizontal Car and Counterweight Clearances.
Note     •     History

Horizontal car and counterweight clearances shall comply with Section 108 of ASME A17.1-1996, except for Rule 108.1e(1)(a), which is hereby incorporated by reference.
(a) The clearance between the edge of the car platform sill and the hoistway enclosure or fascia plate may be increased to not more than 7 1/2 inches for vertically sliding hoistway doors of the pass type or of the heavy duty type requiring special sills for extra wide openings.
Note: Horizontal clearance requirements for Seismic Zone 2 or greater are contained in article 37. 
(Title 24, Part 7, Section 7-3120.8.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.9. Protection of Spaces Below Hoistways.
Note     •     History

Protection of spaces below hoistways shall comply with Section 109 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3120.9.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.10. Protection of Hoistway-Landing Openings.
Note     •     History

Protection of hoistway-landing openings shall comply with Section 110 of ASME A17.1-1996; except for Rules 110.1 and 110.4b(2); which is hereby incorporated by reference.
(a) Protection of hoistway-landing openings shall comply with section 3020(a)(1), (2), (3)(B) and (4), section 3020(b)(6)(B), and section 3020(b)(9)(C).
(Title 24, Part 7, Section 7-3120.10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.11. Hoistway-Door Locking Devices, Car Door or Gate Electric Contacts, Hoistway Access Switches, and Elevator Parking Devices.
Note     •     History

Hoistway-door locking devices, car door or gate electric contacts, hoistway access switches and elevator parking devices shall comply with Section 111 of ASME A17.1-1996; except for Rules 111.9a, 111.9d, 111.9e and 111.10; which is hereby incorporated by reference.
(a) Prior to installation, hoistway door locking devices shall be approved by the Division, pursuant to section 3120.11. Approval criteria are specified in section 3110.
(b) Hoistway access switches shall comply with section 3021(k)(1), excluding the exception, and section 3021(k)(2)(B).
(Title 24, Part 7, Section 7-3120.11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3120.12. Power Operation, Power-Opening and Power-Closing of Hoistway Doors and Car Doors or Gates.
Note     •     History

Power operation, power-opening, and power-closing of hoistway doors and car doors or gates shall comply with Section 112 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3120.12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 21. Machinery and Equipment for Electric Elevators
§3121.0. Car and Counterweight Guide Rails, Guide-Rail Supports and Fastenings.
Note     •     History

Car and counterweight guide rails, guide-rail supports and fastenings shall comply with Section 200 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Guide rail supports and fastenings shall comply with section 3030(k)(3).
(b) Where slots are used for adjustment of the distance between guide rails, the brackets shall be secured in their final position by a bolt not less than 3/8 inch diameter or by welding.
(Title 24, Part 7, Section 7-3121.0.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 21 (sections 3121.0-3121.14) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.1. Buffers and Bumpers.
Note     •     History

Buffers and bumpers shall comply with Section 201 of ASME A17.1-1996, except for Rule 201.4h, which is hereby incorporated by reference.
(a) Buffers and bumpers shall comply with section 3031(j)(3) and section 3031(o)(2).
(b) Prior to installation, oil buffers installed shall be approved by the Division, pursuant to section 3121.1. Approval criteria are specified in section 3108(f).
(Title 24, Part 7, Section 7-3121.1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.2. Counterweights.
Note     •     History

Counterweights shall comply with Section 202 of ASME A17.1-1996, which is hereby incorporated by reference, and with Section 3032(b)(2).
(Title 24, Part 7, Section 7-3121.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.3. Car Frames and Platforms.
Note     •     History

Car frames and platforms shall comply with Section 203 of ASME A17.1-1996, which is hereby incorporated by reference and with section 3033(a) and section 3033(i)(3).
(Title 24, Part 7, Section 7-3121.3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.4. Car Enclosures, Car Doors and Gates, and Car Illumination.
Note     •     History

Car enclosures, car doors and gates, and car illumination shall comply with Section 204 of ASME A17.1-1996, except for Rule 204.1e(2), which is hereby incorporated by reference. 
(a) Car enclosures, car doors and gates, and car illumination shall comply with section 3034(a)(3), section 3034(a)(4)(D), section 3034(a)(9), section 3034(b)(3), and section 3034(b)(5).
(b) Collapsible type car gates are prohibited.
(Title 24, Part 7, Section 7-3121.4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.5. Car and Counterweight Safeties.
Note     •     History

Car and counterweight safeties shall comply with Section 205 of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Prior to installation, car and counterweight safeties shall be approved by the Division, pursuant to section 3121.5. Approval criteria are specified in section 3106(b). 
(b) Car and counterweight safeties shall comply with section 3035(c)(6) and section 3035(n)(4).
(Title 24, Part 7, Section 7-3121.5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.6. Speed Governors.
Note     •     History

Speed governors shall comply with Section 206 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Prior to installation, speed governors shall be approved by the Division, pursuant to section 3121.6. Approval criteria are specified in section 3105(b).
(b ) Speed governors shall comply with section 3036(h)(3) and section 3036(h)(4).
(Title 24, Part 7, Section 7-3121.6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.7. Capacity and Loading.
Note     •     History

Capacity and loading shall comply with Section 207 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3121.7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.8. Driving Machines and Sheaves.
Note     •     History

Driving machines and sheaves shall comply with Section 208 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3121.8.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.9. Terminal Stopping Devices.
Note     •     History

Terminal stopping devices shall comply with Section 209 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3121.9.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.10. Operating Devices and Control Equipment.
Note     •     History

Operating devices and control equipment shall comply with Section 210 of ASME A17.1-1996, except for Rule 210.4(a), which is hereby incorporated by reference.
(a) Operating devices and control equipment shall comply with section 3040(a)(5)(F) , section 3040(a)(7), and section 3040(f)(7).
(b) Operating devices and control equipment shall comply with the following:
(1) Elevators with static control shall be tested for susceptibility to both radiated and conducted electromagnetic interference (EMI) that can be expected to occur in normal field operation so as not to render ineffective the electrical protective devices required in section 3121.10.
(2) Elevator controls shall comply with the following when a key operated in the car stop switch is provided:
(A) The controls shall be arranged so that the car will not move, level, or advance start, unless the hoistway door(s) and the car door(s) are in the closed position, except for the required releveling or anti-creep. 
(B) The car door contacts shall be adjusted so that the closed position of the car door is one inch or less.
(C) A key for the switch shall be kept in the elevator machine room for use by maintenance and inspection personnel.
(c) Electrical equipment and wiring shall comply with CCR , Title 24, Part 3, California State Electrical Code.
(Title 24, Part 7, Section 7-3121.10.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.11. Emergency Operation and Signaling Devices.
Note     •     History

Emergency operation and signaling devices shall comply with Section 211 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Medical Emergency Service. Medical emergency service shall comply with section 3041(e).
Note: Earthquake requirements are in Article 37.
(Title 24, Part 7, Section 7-3121.11.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.12. Suspension Ropes and Their Connections.
Note     •     History

Suspension ropes and their connections shall comply with Section 212 of ASME A17.1-1996, which is hereby incorporated by reference. 
(Title 24, Part 7, Section 7-3121.12.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.13. Welding.
Note     •     History

Welding requirements shall comply with Section 213 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3121.13.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3121.14. Layout Data.
Note     •     History

Layout data shall comply with Section 214 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3121.14.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 22. Hydraulic Elevators
§3122.0. Hoistways, Hoistway Enclosures, and Related Construction.
Note     •     History

Hoistways, hoistway enclosures and related construction shall comply with section 300 of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Machine rooms and machinery spaces shall comply with sections 3011(d)(1)(D), 3050(b)(7) and 3050(b)(8).
(b) Electrical equipment, wiring, pipes and ducts in hoistways, machine rooms and machinery spaces shall comply with section 3120.2.
(c) Guarding of exposed equipment shall comply with section 3120.4(a) and section 3052(a)(2)(A).
(d) Pits shall comply with section 3120.6.
(e) The horizontal clearance between the enclosure and any side of the car top that is not protected by guide rails shall be not more than 24 inches.
(f) Protection of hoistway landing openings shall comply with section 3120.10(a). 
(g) Hoistway-door locking devices, car door and gate electric contacts, hoistway access switches, and elevator parking devices shall comply with section 3120.11(a) and  section 3120.11(b).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 22 (sections 3122.0-3122.8) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of subsection (a) filed 5-8-2002; operative 6-7-2002 (Register 2002, No. 19).
3. Amendment of section and Note filed 7-28-2003; operative 8-27-2003 (Register 2003, No. 31).
§3122.1. Mechanical Equipment.
Note     •     History

Mechanical equipment shall comply with Section 301 of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Car and counterweight guide rails, guide rail supports and fastenings shall comply with section 3121.0(a) and section 3121.0(b).
(b) Buffers and bumpers shall comply with section 3121.1(a) and section 3121.1(b). The average retardation for a buffer or bumper shall not be greater than 32.2 ft./sec2 (1g).
(c) Car enclosures, car doors and gates, and car illumination shall comply with section 3121.4(a) and section 3121.4(b).
(d) Car and counterweight safeties shall comply with section 3121.5(a) and section 3121.5(b).
(e) Speed governors shall comply with Section 3121.6.
(f) Plunger engaging safety devices for direct plunger hydraulic elevators, when used, shall comply with Section 3065.
(Title 24, Part 7, Section 7-3122.1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Change without regulatory effect adding subsection (f) filed 12-28-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 52).
§3122.2. Hydraulic Machines.
Note     •     History

Driving machines shall comply with Section 302 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3122.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.3. Valves, Supply Piping, and Fittings.
Note     •     History

Valves, supply piping, and fittings shall comply with Section 303 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3122.3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.4. Hydraulic Machines, Tanks.
Note     •     History

Tanks shall comply with Section 304 of ASME A17.1-1996, except for Rule 304.4, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3122.4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.5. Terminal Stopping Devices.
Note     •     History

Terminal stopping devices shall comply with Section 305 of ASME A17.1-1996, which is hereby incorporated by reference. 
(Title 24, Part 7, Section 7-3122.5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.6. Operating Devices and Control Equipment.
Note     •     History

Operating devices and control equipment shall comply with Section 306 of ASME A17.1-1996, except Rule 306.6(a), which is hereby incorporated by reference.
(a) Operating devices and control equipment shall comply with section 3121.10(a) and section 3121.10(b).
(b) Medical emergency service shall comply with section 3121.11(a).
(c) Electrical equipment and wiring shall comply with CCR , Title 24, Part 3, California Electrical Code. 
Note: Earthquake requirements are in Article 37.
(Title 24, Part 7, Section 7-3122.6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.7. Counterweights Ropes, Rope Connections, and Sheaves.
Note     •     History

Counterweight ropes, rope connections, and sheaves shall comply with Section 307 of ASME A17.1-1996, which is hereby incorporated by reference 
(Title 24, Part 7, Section 7-3122.7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3122.8. Layout Data.
Note     •     History

Layout data shall comply with Section 308 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3122.8.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 23. Power Sidewalk Elevators
§3123. Power Sidewalk Elevators.
Note     •     History

Power sidewalk elevators shall comply with Part IV of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Power side walk elevators shall comply with sections 3120.1(a), 3120.2, 3120.6(a), 3120.8(a), and 3120.10(a) as these sections apply to freight elevators; and sections 3120.11(a), 3121.1(b), 3121.5(a), 3121.6(a), and 3121.10(b).
(Title 24, Part 7, Section 7-3123.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 23 (section 3123) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 24. Hand Elevators
§3124. Hand Elevators.
Note     •     History

Hand elevators shall comply with Part VI of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Hand elevators shall comply with section 3120.2.
(Title 24, Part 7, Section 7-3124.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 24 (section 3124) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 25. Hand and Power Dumbwaiters
§3125. Hand and Power Dumbwaiters.
Note     •     History

Hand and power dumbwaiters shall comply with Part VII of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Hand and power dumbwaiters shall comply with Sections 3120.2 and 3079(c)(1).
(Title 24, Part 7, Section 7-3125.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 25 (section 3125) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 26. Escalators
§3126.0. Protection of Floor Openings.
Note     •     History

Protection of floor openings shall comply with Section 800 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3126.0.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 26 (sections 3126.0-3126.7) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.1. Protection of Supports and Machine Spaces Against Fire.
Note     •     History

Protection of supports and machine spaces against fire shall comply with Section 801 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3126.1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.2. Construction Requirements.
Note     •     History

Construction requirements shall comply with Section 802 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) The escalator balustrade may be provided with brushes or sideplates between the balustrade skirt and the step to guard against entrapment of foot, finger, clothing, shoe, sneakers, etc.
(1) The rigid mounting assembly for the brushes (brush carrier) affixed to the skirt panel shall project no more than 3/4 of an inch from the balustrade skirt surface.
(2) The Division shall inspect the installation and operation of the brushes/sideplates for entanglement, entrapment, shearing, or tripping hazards before the escalator is placed in service.
(Title 24, Part 7, Section 7-3126.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.3. Rated Speed.
Note     •     History

The rated speed of an escalator shall comply with Section 803 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3126.3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.4. Driving Machine, Motor, and Brake.
Note     •     History

The driving machine, motor and brake shall comply with Section 804 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3126.4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.5. Operating and Safety Devices.
Note     •     History

Operating and safety devices shall comply with Section 805 of ASME A17.1-1996, except for Rule 805.3n(1), which is hereby incorporated by reference. 
(a) Means shall be provided to open the power circuit to the escalator driving machine motor and brake if a horizontal force exceeding 400 lb/ft is applied in the direction of travel at either side, or exceeding 800 lb/ft at the center of the front edge of the combplate.
(Title 24, Part 7, Section 7-3126.5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.6. Lighting, Access, and Electrical Work.
Note     •     History

Lighting, access, and electrical work shall comply with Section 806 of ASME A17.1-1996, except Rule 806.4(a), which is hereby incorporated by reference. 
(a) All electrical equipment and wiring shall comply with the California Code of Regulations, Title 24, Part 3, California State Electrical Code.
(b) The building owner or responsible party shall provide a competent person to assist the Division's representative, where step removal is required, to gain access to the drive unit, brakes, or safety devices required by Section 3126.4. and Section 3126.5.
(Title 24, Part 7, Section 7-3126.6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3126.7. Outdoor Escalators.
Note     •     History

Outdoor escalators shall comply with Section 807 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3126.7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 27. Moving Walks
§3127.0. Protection of Floor Openings.
Note     •     History

Protection of floor openings shall comply with Section 900 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.0.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 27 (sections 3127.0-3127.7) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.1. Protection of Supports and Machine Space Against Fire.
Note     •     History

Protection of supports and machine spaces against fire shall comply with Section 901 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.1.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.2. Construction Requirements.
Note     •     History

Construction requirements shall comply with Section 902 of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Moving walks with balustrade skirt panels may be provided with brushes between the balustrade skirt and the treadway to guard against entrapment of foot, finger, clothing, shoe, sneakers, etc.  
(1) The rigid mounting assembly for the brushes (brush carrier) affixed to the skirt panel shall project no more than 3/4 of an inch from the balustrade skirt surface.
(2) The Division shall inspect the installation and the operation of the brushes for entanglement, entrapment, shearing, or tripping hazards before the moving walk is placed in service.
(Title 24, Part 7, Section 7-3127.2.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.3. Rated Speed.
Note     •     History

The rated speed of a moving walk shall comply with Section 903 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.3.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.4. Driving Machine, Motor, and Brake.
Note     •     History

The driving machine, motor, and brake shall comply with Section 904 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.4.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.5. Operating and Safety Devices.
Note     •     History

Operating and safety devices shall comply with Section 905 of ASME A17.1-1996, except for Rule 905.3k(1), which is hereby incorporated by reference.
(a) Means shall be provided which will cause the opening of the power circuit to the escalator driving machine motor and brake if a horizontal force exceeding 400 lb/ft in the direction of travel is applied at either side, or exceeding 800 lb/ft at the center of the front edge of the combplate.
(Title 24, Part 7, Section 7-3127.5.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.6. Lighting, Access, and Electrical Work.
Note     •     History

Lighting, access, and electrical work shall comply with Section 906 of ASME A17.1-1996, except for Rule 906.4(a), which is hereby incorporated by reference. 
(a) All electrical equipment and wiring shall comply with the California Code of Regulations, Title 24, Part 3, California State Electrical Code.
(b) The building owner or responsible party shall provide a competent person to assist the Division's representative, when necessary, to gain access to the drive unit, brakes, or safety devices required by Section 905 of ASME A17.1-1996, except Rule 905.3k(1), which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.6.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
§3127.7. Outdoor Moving Walks.
Note     •     History

Outdoor moving walks shall comply with Section 907 of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3127.7.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 28. Periodic and Acceptance Inspections and Tests
§3128. Periodic and Acceptance Inspections and Tests.
Note     •     History

Periodic and acceptance inspections and tests shall comply with Part X of ASME A17.1-1996; except for Rules 1001.1, 1004.1, 1005.3b, 1010.2, 1010,8, 1010.11, 1010.13, and section 1011; which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3128.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 28 (section 3128) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 29. Engineering and Type Tests
§3129. Engineering and Type Tests.
Note     •     History

Engineering and type tests shall comply with Part XI of ASME A17.1-1996; except for sections 1102 and 1104; which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3129.)
NOTE

Authority Cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 29 (section 3129) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 30. Design Date and Formulas
§3130. Design Data and Formulas.
Note     •     History

Design data and formulas shall comply with Part XIII of ASME A17.1-1996, which is hereby incorporated by reference.
(Title 24, Part 7, Section 7-3130.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 30 (section 3130) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 31. Material Lifts and Dumbwaiters With Automatic Transfer Devices
§3131. Material Lifts and Dumbwaiters with Automatic Transfer Devices.
Note     •     History

Material lifts and dumbwaiters with automatic transfer devices shall comply with Part XIV of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Material lifts and dumbwaiters with automatic transfer devices shall comply with Section 3120.2.
(Title 24, Part 7, Section 7-3131.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 31 (section 3131) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 32. Special-Purpose Elevators
§3132. Special-Purpose Elevators.
Note     •     History

Special-purpose elevators shall comply with Part XV of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Special purpose elevators shall comply with section 3120.2, section 3120.11(a), section 3121.1(b), section 3121.5(a) and section 3121.6(a). or Code.
(Title 24, Part 7, Section 7-3132.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 32 (section 3132) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 33. Rack and Pinion Elevators
§3133. Rack and Pinion Elevators.
Note     •     History

Rack and pinion elevators shall comply with Part XVI of ASME A17.1-1996, except for Rule 1600.3, which is hereby incorporated by reference. 
(a) Rack and pinion elevators shall comply with sections 3120.2, 3120.11(a), and 3121.1(b).
(b) Rack and pinion elevators shall comply with section 3120.1(a), if the machine room and/or machinery space is a separate room and/or space.
(Title 24, Part 7, Section 7-3133.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 33 (section 3133) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 34. Inclined Elevators
§3134. Inclined Elevators.
Note     •     History

Inclined elevators shall comply with Part XVII of ASME A17.1-1996, which is hereby incorporated by reference. 
(a) Inclined elevators shall comply with section 3120.2, section 3120.11(a), and section 3121.1(b); and if applicable, section 3121.5(a) and section 3121.6(a).
(Title 24, Part 7, Section 7-3134.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 34 (section 3134) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 35. Screw Column Elevators
§3135. Screw Column Elevators.
Note     •     History

Screw column elevators shall comply with Part XVIII of ASME A17.1-1996, which is hereby incorporated by reference.
(a) Screw column elevators shall comply with section 3120.1(a) if the machine room and/or machinery space is in a separate room and/or space.
(b) Screw column elevators shall comply with section 3120.2, section 3120.11(b), and section 3121.1(c); and if applicable, section 3121.5(b) and section 3121.6(b).
(Title 24, Part 7, Section 7-3135.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 35 (section 3135) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 36. Special Access Elevators and Special Access Lifts
§3136. Special Access Elevators and Special Access Lifts.
Note     •     History

Special access elevators and special access lifts shall comply with Group II, Article 15, of the Elevator Safety Orders, commencing with Section 3093.
(Title 24, Part 7, Section 7-3136.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 36 (section 3136) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of article 36 heading, section heading and section filed 8-29-2001; operative 9-28-2001 (Register 2001, No. 35).
Article 37. Seismic Requirements
§3137. Seismic Requirements for Elevators, Escalators and Moving Walks.
Note     •     History

Elevators shall comply with the seismic requirements for elevators in Part XXIV of ASME A17.1-1996, except for Rule 2409.1b(1), which is hereby incorporated by reference.
(a) Earthquake protective devices shall be designed, arranged, and maintained to ensure that if any component fails, the elevator will go into the earthquake-sensed mode and be removed from service in the same manner as though an earthquake were occurring, and that the elevator will so remain until the faulty component has been repaired and the system is again arranged to work as intended. 
(b) For hospital buildings, the earthquake sensing device shall activate upon excitation in a horizontal or vertical direction of not more than 0.5 g.
(c) Earthquake protection devices shall be arranged to be checked once a year for satisfactory operation and shall be calibrated at intervals recommended by the manufacturer.
(d) The following requirements apply to escalators and moving walks and are in addition to the requirements contained in other parts of this code:
(1) Connections which join the escalator or moving walk to the building shall be designed for seismic loads of 0.5g in both principal horizontal directions.
(2) The design connections shall provide for maximum design story drift.
(A) Seismic restraint shall be provided. Where seismic restraint is provided at one end, the design shall account for torsion. All other supports shall be free to slide in the longitudinal direction. Where seismic restraint is provided at both ends which allows some degree of longitudinal and transverse motion, additional means shall be provided to prevent the upper ends of the truss from slipping off the building support. All other supports shall be free to slide sufficiently in the longitudinal direction to accommodate the remainder of the design story drift.
(B) At the sliding end or ends, the width or widths of the beam seat shall be capable of accommodating, without damage, at least two times the current code allowable story drift (see Title 24, Chapter 16A, Section 1628A.8) in both tensile and compressive modes.
(C) Seismic restraint shall be provided in the transverse direction at all supports. Intermediate supports, if any, shall be free to move laterally in all directions. The gap between the escalator truss and the seismic restraint shall not exceed 1/4 inch on each side.
(3) The handrail supports shall be designed to resist a lateral load of 50 lb/ft applied at the top of the handrail. In balustrades which contain glass, the glass shall not be part of the structural support system of the handrail unless documentation can be presented, to the Division, to verify the glass used in support can withstand the stresses occurring during an earthquake. 
(4) A minimum of one seismic switch shall be provided in every building in which an escalator or moving walk is installed.
(A) The seismic switch shall activate according to manufacturer specifications at a level and direction established by the escalator/moving walk manufacturer and a California registered professional engineer.
(B) Activation of the seismic switch shall remove power from the escalator or moving walk and apply the brake.
(C) Where a seismic switch is used exclusively to control the escalator or moving walk, it shall be located in an escalator or moving walk machine room and where possible shall be mounted adjacent to a vertical load-bearing structural member.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 37 (section 3137) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
2. Amendment of article heading, subsections (d)(2)(C) and (d)(4)(C) and Note filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 38. Hand Power Man Platforms
§3138. Hand Power Man Platforms.
Note     •     History

Hand power man platforms shall comply with Group II, Article 16.
(Title 24, Part 7, Section 7-3138.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. New article 38 (section 3138) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Article 39. Manlifts
§3139. Manlifts.
Note     •     History

Manlifts shall comply with Group II, Article 17.
(Title 24, Part 7, Section 7-3139.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code. 
HISTORY

1. New article 39 (section 3139) and section filed 9-25-98; operative 10-25-98 (Register 98, No. 39).
Group IV. Conveyance Installations for Which the Installation Contract Was Signed on or After May 1, 2008
Article 40. Application
§3140. Application.
Note     •     History

(a) Group IV governs the design, erection, construction, installation, service, and operation of conveyances as defined in Section 7300.1 of the Labor Code, for which the installation contract was signed on or after May 1, 2008. 
(b) Use and Precedence of Orders.
(1) The reference to ASME A17.1-2004, Safety Code for Elevators and Escalators, developed by the American Society of Mechanical Engineers, shall mean the 2004 edition, and shall be referred to as ASME A17.1-2004, unless otherwise indicated.
(2) The reference to ASME A18.1-2003, Safety Standard for Platform Lifts and Stairway Chairlifts, developed by the American Society of Mechanical Engineers, shall mean the 2003 edition, and shall be referred to as ASME A18.1-2003, unless otherwise indicated. 
(3) The reference to ASCE 21, Automatic People Movers, developed by the American Society of Civil Engineers, shall mean ASCE 21, Part 1, 1996 edition; Part 2, 1998 edition; and Part 3, 2000 edition; and shall be referred to as ASCE 21, Parts 1, 2, and 3, unless otherwise indicated.
(4) The Elevator Safety Orders shall apply if any difference exists between the Elevator Safety Orders and ASME A17.1-2004; ASME A18.1-2003; and ASCE 21, Part 1, 1996 edition, Part 2, 1998 edition, and Part 3, 2000 edition; or any other code, document or standard referenced in ASME A17.1-2004; ASME A18.1-2003; and ASCE 21, Part 1, 1996 edition, Part 2, 1998 edition, and Part 3, 2000 edition.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New group IV (articles 40-44, sections 3140-3146), article 40 (section 3140) and section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 41. Conveyances Covered by ASME A17.1-2004
§3141. Scope.
Note     •     History

Conveyances covered by ASME A17.1-2004, section 1.1, Scope, and Article 41 of Title 8 shall comply with ASME A17.1-2004, Safety Code for Elevators and Escalators, except sections 1.1.3, 2.2.2.5, 2.7.6, 2.11.1.2, 2.11.1.4, 2.12.6, 2.14.2.2(f), and 2.14.2.6; apart from these exceptions, ASME A17.1-2004 is hereby incorporated by reference.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New article 41 (sections 3141-3141.13) and section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.1. Maintenance, Repair, and Replacement.
Note     •     History

Maintenance, repairs, and replacements of conveyances shall comply with ASME A17.1-2004, section 8.6.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.2. Alterations.
Note     •     History

(a) Alterations made to conveyances shall comply with ASME A17.1-2004, section 8.7. 
(b) When alterations are made pursuant to ASME A17.1-2004, section 8.7, conveyances shall comply with ASME A17.1-2004, section 8.4. 
(1) When alterations are made pursuant to ASME A17.1-2004, sections 8.7.2.27.4, 8.7.2.27.5, or 8.7.2.27.6, conveyances shall comply with ASME A17.1-2004, section 8.4.10.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.3. Static Controls.
Note     •     History

(a) The installation of static controls shall comply with the requirements of ASME A17.1-2004 applicable to the conveyance involved.
(b) The Certified Qualified Conveyance Company (CQCC) installing static controls shall provide the Division with verification that the control complies with the requirements of ASME A17.1-2004. This information shall be in the form of: 
(1) Electrical schematic diagrams or block diagrams of the control and safety circuits; and 
(2) A written check-off procedure and demonstration of safety and speed control circuits at the time of the initial inspection. 
(c) The results of the Electromagnetic Interference (EMI) testing required by ASME A17.1-2004 shall be submitted to the Division for review. The test shall include any wireless communication system used.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.4. Acceptance Inspections and Tests.
Note     •     History

(a) Acceptance inspections and tests shall comply with the parts of ASME A17.1-2004, section 8.10, that are applicable to the type of conveyance installed or altered.
(b) Private residential conveyances installed, or that have undergone major alterations, located in a multi-unit residential building serving no more than two dwelling units and not accessible to the public, shall be inspected for safety and compliance with applicable provisions in ASME A17.1-2004, sections 5.3 and 5.4, in addition to the acceptance inspections and tests specified in section 3141.4(a).
NOTE

Authority cited: Sections 142.3, 7317 and 7323, Labor Code. Reference: Sections 142.3, 7317 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.5. Periodic Inspections.
Note     •     History

Periodic inspections shall comply with ASME A17.1-2004, section 8.11, except section 8.11.1.1, applicable to the type of conveyance inspected.

Exception: Conveyances addressed in section 3141.4(b) are not subject to periodic inspections. 
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.6. Periodic Tests.
Note     •     History

(a) Periodic testing shall comply with the parts of ASME A17.1-2004, section 8.11, that are applicable for the type of conveyance involved with the following frequencies:
(1) Category One Tests shall be completed once every 12 months;
(2) Category Three Tests shall be completed once every 36 months; and
(3) Category Five Tests shall be completed once every 60 months. 
(b) Whenever a Category One Test is performed, the test procedure shall include earthquake protective devices in addition to the items specified by ASME A17.1-2004, section 8.11.
(c) Test tags per ASME A17.1-2004, section 8.11.1.6, are required. Tags shall be installed in a machinery space when machine rooms are not available. 
(d) Periodic tests shall be conducted by a Certified Competent Conveyance Mechanic (CCCM) employed by a Certified Qualified Conveyance Company (CQCC). 
(e) Periodic tests shall be witnessed, as required by ASME A17.1-2004, section 8.11.1.1.2, by a Certified Competent Conveyance Inspector (CCCI) or by a Division CCCI. Periodic tests witnessed by a CCCI shall be reported to the Division by the CCCI on a form provided by the Division, or equivalent, within 21 days of the test. The information required to be reported shall include:
(1) The name of the CCCI witnessing the test;
(2) Type of test performed as contained in ASME A17.1-2004, section 8.11; 
(3) Name of the CQCC and CCCM who performed the test;
(4) The date of the test; and
(5) Results of the test.
(f) All statements on the form shall be made under penalty of perjury. 
(g) If an elevator fails a periodic test, it shall be removed from service until a satisfactory test result is achieved.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.7. General Requirements.
Note     •     History

(a) Conveyances shall comply with the following general requirements:
(1) Hoistway door unlocking devices described in ASME A17.1-2004, section 2.12.6, are prohibited on all conveyances;
(2) Emergency doors in blind hoistways as described in ASME A17.1-2004, section 2.11.1.2, and access panels as described in ASME A17.1-2004, section 2.11.1.4, are prohibited;
(3) All electrical equipment and wiring shall comply with CCR, Title 24, Part 3, California Electrical Code in effect at the time of installation;
(A) The light switch shall be located inside the machine room on the strike side of the machine room door;
(B) The light switch shall be located adjacent to the elevator pit access door within 18 inches to 36 inches above the access landing when access to the elevator pit is through the lowest landing door;
(C) Fire detecting systems for hoistways and the necessary wiring may be installed in hoistways, provided that the system is arranged to be serviced and repaired from outside the hoistway;
(4) The dimension specified as 4 inches by ASME A17.1-2004, section 2.1.6.2, shall be 2 inches. The maximum permissible distance for freight elevators that are not equipped with horizontal swinging doors and that are not accessible to the general public is 6 inches instead of 6.5 inches as specified by ASME A17.1-2004, section 2.14.4.5.1(d);
(5) Door locking devices, oil buffers, car and counterweight safety devices, speed governors, and plunger engaging safety devices (plunger gripper) shall be approved by the Division based on the criteria contained in ASME A17.1-2004, sections 2.12, 2.17, 2.18, 2.22.4, and 3.17.3; and Group II, sections 3105(b), 3106(b), 3108(f), and 3110(a);
(6) An audible signaling device complying with ASME A17.1-2004, section 2.27.1.2, shall be provided on all conveyances regardless of the existence of an emergency stop switch;
(7) The car shall be capable of moving only one floor to re-establish absolute car position upon resumption of power (normal, emergency, or standby), instead of the unspecified number of floors allowed by ASME A17.1-2004, section 2.27.3.4. 
(8) Counterweight guards addressed in ASME A17.1-2004, section 2.3.2.2(e), if perforated, shall reject a 1/2 inch ball;
(9) The speed governor and safety marking plates shall contain the manufacturer's model number;
(10) A reduced diameter governor rope of equivalent construction and material to that required by ASME A17.1-2004 is permissible if the factor of safety as related to the strength necessary to activate the safety is 5 or greater; 
(11) Scissor type collapsible gates are prohibited;
(12) The guarding of counterweights in a multiple-elevator hoistway shall comply with Group II, section 3013(c)(1); 
(13) Water removal systems used to address the accumulation of water in pits shall comply with Group III, section 3120.6(c) and section 3120.6(d);
(14) Elevators in jails and penal institutions are exempt from the requirements related to the installation of fire fighters' emergency operation where the recall of elevators will interfere with security; 
(15) Guarding of exposed equipment shall comply with Group II, section 3014;
(16) Partitions not less than 6 feet (1.83 m) high from the pit floor shall be provided between the pits of adjacent hoistways; 
(A) If openings are provided in the partition, they shall reject a 2-inch ball;
(B) The partitions may be omitted if the clearance between the underside of the car sling when resting on a fully compressed buffer and the bottom of the pit is not less than 7 ft. (2.13 m);
(17) Looped pull straps are prohibited; and
(18) Access switches described in ASME A17.1-2004, section 2.12.7, are required regardless of the rated speed and shall be installed in the hoistway entrance frame or within 12 inches of the entrance frame and not less than 36 inches (914 mm) nor more than 78 inches (1.98 m) above floor level.
(b) Medical Emergency Service.
Elevators utilized to provide medical emergency service shall comply with Group II, section 3041(e).
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.8. Electric Conveyances.
Note     •     History

Electrical conveyances shall comply with the following:
(a) A means of access to the governor from outside the hoistway as required by ASME A17.1-2004, section 2.1.3.1.2(b)(1), is not required provided that: 
(1) The governor can be inspected and serviced from the top of the car, and the governor can be tripped for testing from outside the hoistway;
(2) The governor can be reset automatically when the car is moved in the up direction or the governor can be reset from outside the hoistway;
(3) There is a mechanical means to secure the car during governor or governor rope replacement or removal, and signs requiring that the car be secured before removal of the governor rope are clearly visible and located in the vicinity of the governor. Instructions in the use of this means shall be available on site for use by a CCCM; 
(4) It is not possible to reset the governor switch from inside the hoistway;
(5) Additional permanent lighting of not less than 5 footcandles and a switch for the lighting shall be provided in the governor area; and 
(6) Written procedures for testing, servicing, maintaining, and inspecting the governor shall be developed and made available to the CQCC providing the service on the elevator and upon request to the Division. 
(b) A hoistway is not required to have a floor above it per ASME A17.1-2004, section 2.1.3.1.1, if there is no machine room or other room above the hoistway that requires entry to perform functions such as maintenance, inspections, estimates by consultants, etc.
(c) A stop switch complying with section 2.26.2.5(a) through (c) of ASME A17.1-2004 shall be placed at a readily accessible location adjacent to the elevator driving machine if the driving machine is located in the hoistway. 
(d) A car top emergency exit shall not be permitted on an elevator installed in a partially enclosed hoistway.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.9. Limited-Use/Limited-Application Conveyances.
Note     •     History

Limited-use/limited-application conveyances shall comply with ASME A17.1-2004, section 5.2. 
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.10. Conveyances Used for Construction.
Note     •     History

(a) Conveyances used for construction covered in ASME A17.1-2004, section 5.10, shall comply with the following:
(1) A trained and authorized person shall be stationed at, and operate the controls in, the elevator car at all times while the elevator is accessible and available for use. Training shall include at least conveyance operation and emergency procedures such as entrapment, elevator fire, earthquake conditions, or other emergency procedures associated with conveyance operations. 
(2) There shall be an effective means of two-way voice communication between the operator and a second person at a different location on the jobsite available at all times while the elevator is staffed by an operator.
(3) There shall be an effective means of two-way voice communication (wired or wireless) between the conveyance operator and all hall landings. A separate communication system shall be provided at each landing and be operable at all times while the elevator is in use, i.e., an annunciator next to the operator's station in the car, which can be activated from the landings. 
(4) An emergency plan and procedure to include items such as entrapment, elevator fire, earthquake conditions, or other emergency procedures associated with conveyance operations shall be developed and made available to the Division during any inspection.
(5) When permanent doors are installed, approved interlocks shall be provided.
(6) A durable sign with lettering not less than 1/2 inch on a contrasting background shall be conspicuously posted inside the elevator car indicating that:
(A) The conveyance is for construction use only.
(B) The conveyance shall be operated only by an authorized person.
(7) Durable signs with lettering not less than 1/2 inch on a contrasting background shall be conspicuously posted at all landings instructing the elevator user how to summon the conveyance.
(8) The conveyance shall be parked and secured against unauthorized access after working hours.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.11. Escalators.
Note     •     History

Escalators shall comply with ASME A17.1-2004, section 6.1, and with Group III, section 3126.6(b).
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.12. Moving Walks.
Note     •     History

Moving walks shall comply with ASME A17.1-2004, section 6.2, and with Group III, section 3127.6(b).
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3141.13. Seismic Requirements.
Note     •     History

(a) Conveyances shall comply with the seismic requirements in ASME A17.1-2004, section 8.4, and with Group III, sections 3137(a) and 3137(b).
(b) Escalators covered by ASME A17.1-2004 shall comply with the seismic requirements in Group III, section 3137(d). 
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 42. Conveyances Covered by ASME A18.1-2003
§3142. General Requirements.
Note     •     History

(a) Conveyances covered by ASME A18.1-2003, section 1.1, Scope, and Article 42 of Title 8 shall comply with ASME A18.1-2003, Safety Standard for Platform Lifts and Stairway Chairlifts, which is hereby incorporated by reference, and the following:
(1) Group II, sections 3094.2(r) and 3094.5.
(2) Power doors shall comply with ANSI/BHMA A156.19-1997, American National Standard for Power Assist and Low Energy Power Operated Doors, which is hereby incorporated by reference. 
(b) Acceptance inspections and tests shall comply with ASME A18.1-2003, section 10.4, that are applicable to the type of elevator installed or altered. 
(c) Periodic inspections shall comply with ASME A18.1-2003, section 10, applicable for the type of elevators involved.
(d) Periodic tests shall comply with section 3141.6(c), (e), and (f) and ASME A18.1-2003, section 10.3. 
(e) Periodic tests shall be witnessed by a Certified Competent Conveyance Inspector (CCCI) or a Division CCCI. Periodic tests witnessed by a CCCI shall be reported to the Division by the CCCI on a form provided by the Division, or equivalent, within 21 days of the test. The information required to be reported shall include:
(1) The name of the CCCI witnessing the test;
(2) Type of test performed; 
(3) Name of the CQCC and CCCM who performed the test;
(4) The date of the test; and
(5) Results of the test.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New article 42 (sections 3142-3142.2) and section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3142.1. Vertical Platform Lifts.
Note     •     History

Vertical platform lifts shall comply with ASME A18.1-2003, sections 2 and 5, which is hereby incorporated by reference, and with Group II, sections 3094.2(d), 3094.2(e), 3094.2(g), and 3094.2(p).
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3142.2. Inclined Platform Lifts.
Note     •     History

Inclined platform lifts shall comply with ASME A18.1-2003, sections 3 and 6, which is hereby incorporated by reference, and with Group II, sections 3094.3(e), 3094.3(f), 3094.3(g), and 3094.3(h), except 3094.3(h)(2) and with Sections 3094.3(j) and 3094.3(k).
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 43. Automated Guided Transit Vehicles with an Exclusive Right-of-Way
§3143. Automated People Movers.
Note     •     History

Automated people mover conveyances shall comply with ASCE 21, Part 1 (1996), Part 2 (1998), and Part 3 (2000), Automated People Mover Standards, which are hereby incorporated by reference.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New article 43 (section 3143) and section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Article 44. Hand Power Man Platforms, Manlifts, and Vertical and Inclined Reciprocating Conveyors
§3144. Hand Power Man Platforms.
Note     •     History

Hand power man platforms shall comply with Group II, Article 16. 
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New article 44 (sections 3144-3146) and section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3145. Manlifts.
Note     •     History

Manlifts shall comply with Group II, Article 17.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code.
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
§3146. Vertical and Inclined Reciprocating Conveyors.
Note     •     History

Vertical and inclined reciprocating conveyors shall comply with Group II, Article 12.5.
NOTE

Authority cited: Sections 142.3 and 7323, Labor Code. Reference: Sections 142.3 and 7323, Labor Code. 
HISTORY

1. New section filed 4-1-2008; operative 5-1-2008 (Register 2008, No. 14).
Subchapter 6.1. Passenger Tramway Safety Orders
Article 1. Administrative Regulations
§3150. General Provisions.
Note     •     History

(a) Application. These safety orders are applicable to all passenger tramways operated in the State of California.
(1) Passenger tramways existing at the time of the effective date of these orders shall be brought into compliance by April 22, 1995.
Exception to Section 3150(a)(1): Lifts designed and installed prior to January 1, 1989 provided the plans for the lifts were submitted and accepted by the Division.
Note: All lifts shall comply with the “Operation and Maintenance” standards of these orders.
(2) These orders shall not include lumber or freight handling aerial tramways or hand powered tramways.
(b) Major Alterations. A major alteration shall be defined as one that is a change in:
(1) The design speed of the system; or
(2) The capacity by changing the number of carriers, spacing of carriers, or load capacity of carriers; or
(3) The path of the rope; or
(4) The type of brakes and/or backstops or components thereof; or
(5) Structural arrangements; or
(6) Power or type of prime mover.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subchapter and article headings, repealer of section, and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13). For prior history, see Register 73, No. 1.
2. Amendment of subsection (a)(1) filed 8-25-95; operative 9-24-95 (Register 95, No. 34).
§3151. Permit to Operate.
Note     •     History

(a) Submittal of Plans and Notification of Intent to Install.
(1) No passenger tramway, except tows, shall be constructed or altered until the plans and design information have been properly certified to the Division by a Qualified Engineer.
(2) The Division shall not issue a permit to operate a passenger tramway, except tows, until it receives certification in writing by a Qualified Engineer that the erection work on such tramway has been completed in accordance with the design and erection plans for such tramway.
(b) Inspection Required.
(1) Each new passenger tramway shall be inspected by the Division and a permit issued before it is placed in service. Testing shall be witnessed by the Division.
(2) Each major alteration of an existing passenger tramway shall be inspected by the Division and a new Permit to Operate issued before it is returned to service. Testing shall be witnessed by the Division.
(3) The Division shall cause all passenger tramways to be inspected at least two times per year. At least one inspection shall be performed during the operating season and at least one inspection shall be performed when weather conditions permit clear access to all foundations and structures.
(A) An inspector employed by a licensed insurance company or municipality and certified by the Division in accordance Section 3153 may perform the inspections required by Section 3151(b)(3).
Note: Inspection Fees. See the Division of Occupational Safety and Health regulations contained in Chapter 3.2, Title 8, California Code of Regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 2 heading and section and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13). 
§3152. Variances.
Note     •     History

Any employer or a representative of an employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, safety order, or portion thereof upon a showing of an alternative program, method, practice, means of process which will provide equal or superior safety. Such application shall conform to the requirements of the California Code of Regulations, Title 8, Chapter 3.5.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 3 heading and section and new section filed  3-23-93; operative 4-22-93 (Register 93, No. 13). For prior history, see Register 79, No. 27.
§3152.2. Inspection Fees.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer and new Note filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3152.5. Qualifications for Certified Inspectors.
Note     •     History

NOTE

Authority cited: Sections 7355 and 7357, Labor Code. Reference: Sections 7344, 7348, 7349, 7350, 7351, 7354.5 and 7357, inclusive, Labor Code.
HISTORY

1. New section filed 12-8-75; effective thirtieth day thereafter (Register 75, No. 50).
2. Renumbering and amendment of section 3152.5 to 3153 filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3153. Certification of Inspectors.
Note     •     History

(a) Applicants for a certificate of competency as a passenger tramway inspector shall possess the required qualifications of employment, registration and experience, shall obtain at least seventy percent (70%) on a prescribed examination conducted by the Division and shall be physically able to perform tramway inspections safely and efficiently.
(1) Qualifications.
(A) Employment. Applicants shall be employed by an insurance company carrying insurance on passenger tramways or by a municipality which maintains a passenger tramway inspection organization operating under ordinances or rules at least equivalent to the Passenger Tramway Safety Orders.
(B) Registration. Applicants shall be professional engineers, registered in California pursuant to Chapter 7 (commencing with Section 6700) of Division 3 of the Business and Professions Code.
(C) Experience. Applicants shall have:
1. Four years experience in the construction, design, or maintenance of ski lift equipment; or
2. Two years experience inspecting ski lift equipment while working for an insurance company, a government agency, or a company performing tramway or similar equipment inspections where not less than fifty percent (50%) of the work performed was spent performing inspections; and
3. Sufficient experience and knowledge to achieve a satisfactory rating in an examination described in Section 3153(a)(2), designed to test the applicant's knowledge of the Passenger Tramway Safety Orders and principles of passenger tramway safety.
(2) Examination. The examination shall be conducted in two parts: the first consisting of a written examination and the second consisting of a field examination.
(A) If the applicant fails to obtain a passing grade in either the written or field examination, he/she may apply for a re-examination and the waiting period between examinations shall be determined by the Division as not less than 30 days or more than 6 months, depending on the judgment of the Division regarding the necessity of additional study and training on the part of the applicant.
(B) The field examination may be waived or postponed by the Division and the certificate issued subject to the written examination. This field examination may consist of an appraisal of work completed by the inspector during an indefinite probationary period.
(C) Written examinations will be conducted by appointment at any time and place mutually agreeable to the candidate and to the Division.
(b) Certificates.
(1) Certified inspectors shall have a valid certificate of competency issued by the Division.
(2) Certificates of competency may be revoked by the Division, after a hearing, for failure to submit true reports concerning the condition of a passenger tramway, or for conduct deemed by the Division to be contrary to the best interests of passenger tramway safety or of the Division.
(3) Certificates may also be revoked, after a hearing, when physical infirmities develop to a point where it appears that an inspector can no longer perform tramway inspections in a thorough and safe manner.
(4) Certificates may be suspended by the Division, after a hearing, for periods up to six months for infractions not deemed serious enough to revoke the certificate.
(5) Certificates will be automatically suspended if for a period of one year, an inspector does not make any passenger tramway inspections as evidenced by reports submitted; however, such certificates may be reinstated without a written examination at the discretion of the Division. This provision does not apply to the supervising engineers or others whose regular duties include the review of the work of other certified inspectors.
(c) Inspection Reports. A certified inspector shall submit inspection reports to the Division on form S-651 (Rev. 4/86) provided by the Division for all inspections within fifteen (15) working days from the date of the inspection.
(d) Inspection Follow-ups. All follow-up inspections necessary to enforce compliance shall be performed by a division safety engineer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-73 as an emergency; effective upon filing (Register 73, No. 43).
2. New section filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
3. Renumbering of section 3152.5 to section 3153 and amendment of section heading, section, and Note and renumbering and amendment of section 3153 to 3154 filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3154. Reporting of Injuries.
Note     •     History

(a) Each owner or operator of a passenger tramway shall report or cause to be reported to the Division each known incident where maintenance, operation, or use of such tramway results in injury to any person unless such injury does not require medical service other than ordinary first aid treatment.
(b) A report for such an incident shall be made to the Division in writing within five (5) days. In addition, an incident resulting in a fatality or in an injury to five (5) or more persons shall be reported to the Division by telephone within twenty-four (24) hours.
(c) Reports are to  include the following information:
(1) Name of the area and address where the tramway is located;
(2) Tramway name and State number;
(3) Date and time of day of injury;
(4) Location of the incident on the tramway;
(5) Names of the operator and all conductors and attendants engaged in the operation of the tramway at the time of the injury;
(6) Names and addresses of the injured;
(7) Types of injuries for each person involved;
(8) A full description of what happened to cause the injury.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-73 as an emergency; effective upon filing (Register 73, No. 43).
2. New section filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
3. Repealer of article 4 heading and section 3154 and renumbering of section 3153 to section 3154 and amendment of section and Note filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3155. Training.
Note     •     History

(a) In addition to the requirements of the Injury and Illness Prevention Program contained in Section 3203 of the General Industry Safety Orders, the owner/operator shall develop and implement a training and educational program to use for training individuals hired to operate or work on tramways, which shall include, but not be limited to, manufacturer's recommendations and procedures designed to enhance public safety.
(b) A copy of the training and educational program shall be submitted to the Division by every owner/operator and updated upon the installation of new tramway(s).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of section 3155 to sections 3157 and 3158 and new section 3155 filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3156. Evacuation.
Note     •     History

(a) Evacuation of passenger tramways shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Sections 2.1.1.11, 2.3.2.5.6, 3.1.1.11, 3.3.2.5.6, 4.1.1.11 and 4.3.2.5.6 which are hereby incorporated by reference.
(b) The plan for the evacuation of passengers from each aerial passenger tramway shall be documented (written) and also include:
(1) Proposed time of the first evacuation drill of each operating season;
(2) Estimate of time necessary for total evacuation during dark and moderately severe conditions (snowing and windy);
(3) Procedures for evacuation under unusual or unique conditions which may exist or may be expected to develop;
(4) An estimate of the elapsed time of when the evacuation will start following a shut down;
(5) The method to be used to communicate with the trapped passengers, the frequency of such communication, and how soon after a shut down such communication will start;
(6) Procedures for controlling evacuated persons until they are released.
(c) A copy of the plan shall be submitted to the Division for review.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 6 heading and section 3156 and new section 3156 filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 2. Classifications and Definitions
§3157. Classifications.
Note     •     History

(a) Passenger tramways include all devices that carry, pull or push passengers along a level or inclined path (excluding elevators) by means of a haul rope or other flexible element that is driven by a power unit remaining essentially at a single location.
(b) Passenger Tramways are classified into one of the following four types:
(1) Reversible Aerial Tramway. A tramway on which the passengers are transported in a cable-supported carrier and is not in contact with the ground or snow surface, and in which the carriers reciprocate between terminals.
(A) Single-Reversible Tramway. A tramway having a single carrier, or single group of carriers, that moves back and forth between terminals on a single path of travel. This type is sometimes called “to-and-fro” aerial tramway.
(B) Double-Reversible Tramway. A tramway having two carriers, or two groups of carriers, that oscillate back and forth between terminals on two paths of travel. This type is sometimes called “jig-back” aerial tramway.
(2) Aerial Lift. A tramway on which passengers are transported in gondolas or on chairs that circulate around terminals without reversing the travel path.
(A) Detachable Grip Lifts. A detachable grip lift is an aerial lift on which carriers alternately attach to and detach from a moving haul rope. The tramway system may be monocable or bicable.
(B) Fixed Grip Lifts. A fixed grip lift is an aerial lift in which carriers remain attached to a haul rope. The tramway system may be either continuous or intermittent circulating, and either monocable or bicable.
(c) Surface Lifts. A surface lift is a tramway on which the passengers are propelled by means of a circulating overhead wire rope while remaining in contact with the ground or snow surface. Transportation is limited to one direction. Connection between the passengers and the wire rope is by means of a device attached to and circulating with the haul rope known as a “towing outfit.” Surface lifts include T-bars, J-bars, and platters.
(1) T-bar Lifts. That type of lift on which the device between the haul rope and passengers forms the shape of an inverted “T” propelling passengers located on both sides of the stem of the “T.”
(2) J-bar Lifts. That type of lift on which the device between the haul rope and passenger is in the general form of a “J,” propelling a single passenger located on the one side of the stem of the “J.”
(3) Platter Lifts. That type of lift on which the device between the haul rope and passenger is a single stem with a platter (or disk) attached to the lower end of the stem, propelling the passenger astride the stem of the platter (or disk).
(d) Rope Tows. A rope tow is a tramway on which the passengers grasp the circulating haul rope, or a handle attached to a circulating rope, and are propelled by the circulating haul rope while remaining in contact with the ground or snow surface. The haul rope remains adjacent to the track of the passengers and at an elevation that permits them to maintain their grasp on the haul rope, or handle, throughout that portion of the tow length that is designed to be traveled.
(1) Fiber Rope Tow. A tow having a fiber (natural or synthetic) haul rope.
(2) Wire Rope Tow. A tow having a metallic haul rope.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 7 heading and section 3157 and renumbering and amendment of section 3155 to sections 3157 and 3158 filed 3-23-93; operative 4-22-93 (Register 93, No. 13). For prior history, see Register 79, No. 28.
§3157.1 Operation and Maintenance.
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
2. Amendment of subsections (c)(1) and (2) filed 4-27-79 as an emergency; effective upon filing (Register 79, No. 17).
3. Certificate of Compliance filed 7-13-79 (Register 79, No. 28).
4. Repealer filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3158. Definitions.
Note     •     History

Alterations. Any change or addition to the equipment other than ordinary repairs or replacements.
Approved. The word “approved” means approved by the Division of Occupational Safety and Health.
Attendant. An individual assigned to particular duties or functions in the operation of a tramway.
Authority Having Jurisdiction. This term “Authority Having Jurisdiction” shall mean the Division of Occupational Safety and Health, State of California.
Bicable System. A system that uses separate cables to support and control motion of the carriers.
Bullwheel. A terminal sheave that deflects the haul rope 150 degrees or more. When under power, the sheave is referred to as a drive sheave (or drive bullwheel); when acting as a movable tensioning device, it is referred to as a tension sheave (or tension bullwheel); and when it is acting simply as a fixed return for the haul rope, it is referred to as a fixed return sheave (or fixed return bullwheel).
Capacity.
Design Capacity. The capacity established by the designer as the optimum operating capability of the equipment, in the direction specified.
Operational Capacity. The capacity for which the installation has been tested and approved.
Chair. An open or partially enclosed carrier used on an aerial lift.
Conductor. An attendant assigned to duties or functions in an enclosed carrier.
Division. The word “Division” when used in these regulations shall mean Division of Occupational Safety and Health, State of California.
Existing Installations. Devices which have been inspected by the Division and to which an identification number has been assigned, or devices for which erection was begun before these regulations became effective and for which the notice of intent to install is not required, or devices erected from plans or contracts completed and for which the notice of intent to install was filed with the Division before these regulations became effective.
Gondola. An enclosed carrier used on an aerial lift.
Grips.
Haul Rope Grips. Those devices by which carriers are attached to the haul rope.
Detachable Grips. Those devices that are removed or detached from the haul rope at stations or terminals during normal operation.
Fixed Grips. Those devices that remain on the haul rope during normal operation.
Monocable System. A system that uses a single haul rope to both support and control motion of the carriers.
Operator. An individual in charge of a tramway, lift, or tow.
Overhauling. An operating condition in which unbalanced loading is sufficient to overcome line and drive friction and create a torque, acting to produce rotation of drive sheave in either direction when all brakes and the prime mover are inactive.
Qualified Engineer. An engineer, who by training and experience is qualified to design, survey, and supervise construction of tramways, lifts, or tows: and who is qualified under the Professional Engineers Act.
Rope and Strand.
Rope. Unless otherwise specified, the term “rope” shall mean wire rope, which consists of several strands twisted together. 
(The terms “rope,” “wire rope,” and “cable” are interchangeable, except where, by the context, “cable” refers to a strand used as a track cable.)
Strand. Unless otherwise specified, the term “strand” shall mean wire strand, consisting of several wires twisted together (as compared with wire rope which consists of several strands twisted together).
Fiber Rope. A stranded or braided rope made from natural or synthetic fibers.
Shall. The term “shall” where used shall be construed as mandatory.
Sheaves. Pulleys or wheels grooved for rope.
Counterweight Sheave. A sheave used in the counterweight roping system that is active during normal operations.
Deflection Sheaves. A terminal sheave that deflects the haul rope at least 10 degrees but less than 150 degrees.
Diameter of a Sheave. Wherever the term “diameter” is used in specifying sheaves, it refers to the diameter at the bottom of sheave grooves (tread diameter).
Haul Rope Sheaves. Sheaves that support or hold down the haul rope at towers or terminals. (The angle of deflection is usually small.)
Rollers. Sheaves of small diameter used to guide or restrain the rope from leaving its proper alignment.
Terminal Sheaves. A haul rope sheave at a terminal that rotates continuously when the haul rope is moving and deflects the haul rope by an angle of 10 degrees or more.
Should. The term “should” where used shall be construed as advisory.
Stop Gate. A type of automatic stopping device that, when actuated by a passenger's weight, contact, or passage, will automatically stop the tramway.
Supervisor. An individual in responsible charge of aerial passenger tramway operations and personnel.
Track Cable Saddle. A component designed to directly support a track cable.
Track Rope or Cable. A stationary wire rope used to support a carrier or carriers on a bicable serial tramway.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. Repealer of article 8 heading and section 3158 and renumbering and amendment of section 3155 to sections 3157 and 3158 filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 3. Reversible Aerial Tramways
§3159. Design and Installation.
Note     •     History

(a) Design and Installation of reversible aerial tramways shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 2.1 which is hereby incorporated by reference.
(b) Reversible aerial tramways shall be provided with two communication systems.
(1) Both systems shall provide two-way communication between the machine room, operator console room, loading and unloading stations and each car.
(2) Both systems shall be independent of the primary power source.
(3) Both systems shall be independent of each other.
(4) The communication systems shall be permanently installed except that the second system may be of the portable two-way radio type provided an attendant at each location is mandated to carry one.
(c) Braking systems, except track rope brakes, that depend on pressurized liquid, air or gas for application shall comply with the following:
(1) An approved visible and/or audible monitoring alarm system shall be provided to indicate to the operator that the pressurized system has failed;
(2) Activation of the monitoring alarm system shall cause another brake system to stop the lift;
(3) An interruption of electric power shall not affect the operation of the brake system;
(4) The pressurized lines shall be installed to preclude damage due to physical abuse, vibration, and weather conditions;
(5) All components of the brake system shall be designed in accordance with recognized engineering practices.
(d) Track Cable Retention.
(1) Towers shall be designed to keep the track cables in saddle profiles under the most adverse design conditions. These provisions shall include the retention of the track cables under the maximum wind conditions at which the tramway is to be operated. A complete analysis of the retention means shall be certified by a Qualified Engineer. The analysis shall include consideration of,  but not limited to,  the aerodynamics of the car, increasing the depth of the saddle profiles, the effect of loading in the car at loads of empty, twenty-five percent (25%), fifty percent (50%), seventy-five percent (75%), and fully loaded, and the effect of car speed in those areas critical to track cable movement over the saddles.
(2) Cable catchers shall be installed on all tower saddles to catch and hold the track cable in case of an outside deropement. The cable catchers shall be installed immediately below the saddle, but in no case shall they be more than three (3) times the cable diameter below the bottom of the saddle groove.
(3) Devices shall be installed on the towers which will stop the tramway in case of track cable deropement.

Exception to Section 3159(d): Reversible aerial tramways installed before July 3, 1972.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 3 heading, repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3160. Electrical Design and Installation.
Note     •     History

Electrical design and installation of reversible aerial tramways shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 2.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3161. Operation and Maintenance.
Note     •     History

(a) Operation and maintenance of reversible aerial tramways shall comply with ANSI-B77.1-1982 and 1986, 1988 addenda, Section 2.3 which is hereby incorporated by reference. Section 2.3.6 does not apply to operation and maintenance and is not incorporated by reference.
(b) Reversible Aerial Tramways shall be provided with an approved weather monitoring system which shall include but not be limited to the following:
(1) Anemometers shall be installed on the top terminal and each tower;
(2) Anemometers and indicators shall be installed at the operator's main console showing wind speed and direction indicated by all anemometers within the tramway system with the exception of cabin instruments;
(3) When the tramway is operated in rime forming conditions, the anemometer shall be protected in order to maintain accuracy;
(4) A clinometer, calibrated in degrees, shall be installed in each cabin;
(5) When wind conditions as indicated by any of the wind velocity measuring devices exceed those determined to be safe by engineering calculations and operating experience, the tramway shall be unloaded and operation discontinued;
(6) The operator is to develop and implement a shut down procedure, to be in writing, to include but not limited to, the manufacturer's recommendation for weather operating conditions.
(7) An outline of the weather monitoring systems and the shut down procedure for weather operating conditions shall be filed with the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 4. Detachable Grip Aerial Lifts
§3162. Design and Installation.
Note     •     History

(a) Design and installation of the detachable grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 3.1 which is hereby incorporated by reference.
(b) Gondolas shall be provided with two communication systems.
(1) Both systems shall provide two-way communication between the machine room, operator console room and each loading station.
(2) Both systems shall be independent of the primary power source.
(3) Both systems shall be independent of each other.
(4) The communication systems shall be permanently installed except that the second system may be of the portable two-way radio type provided an attendant at each location is mandated to carry one.
(c) Braking systems that depend on pressurized liquid, air or gas for application shall comply with Section 3159(c).
(d) Track cable retention shall comply with Section 3159(d).

EXCEPTION TO SECTION 3162(d): Gondolas installed before July, 3, 1972.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 4 heading, repealer of section and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3163. Electrical Design and Installation.
Note     •     History

Electrical design and installation of detachable grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 3.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3164. Operation and Maintenance.
Note     •     History

Operation and maintenance of detachable grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 3.3 which is hereby incorporated by reference. Section 3.3.6 does not apply to operation and maintenance and is not incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 5. Fixed Grip Aerial Lifts
§3165. Design and Installation.
Note     •     History

(a) Design and installation of fixed grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 4.1 which is hereby incorporated by reference.
(b) Braking systems that depend on pressurized liquid, air or gas for application shall comply with Section 3159(c).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 5 heading, repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3166. Electrical Design and Installation.
Note     •     History

Electrical design and installation of fixed grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 4.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3167. Operation and Maintenance.
Note     •     History

Operation and maintenance of fixed grip aerial lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 4.3 which is hereby incorporated by reference. Section 4.3.6 does not apply to operation and maintenance and is not incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 6. Surface Lifts
§3168. Design and Installation.
Note     •     History

(a) Design and installation of surface lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 5.1 which is hereby incorporated by reference. Section 4.3.6 does not apply to operation and maintenance and is not incorporated by reference.
(b) Braking systems that depend on pressurized liquid, air or gas for application shall comply with Section 3159(c).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 6 heading and section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3169. Electrical Design and Installation.
Note     •     History

Electrical design and installation of surface lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 5.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 9 heading and section and  new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3170. Operation and Maintenance.
Note     •     History

Operation and maintenance of surface lifts shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 5.3 which is hereby incorporated by reference. Section 5.3.6 does not apply to operation and maintenance and is not incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 7. Tows
§3171. Design and Installation.
Note     •     History

(a) Design and installation of tows shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 6.1 which is hereby incorporated by reference.
(b) Braking systems that depend on pressurized liquid, air or gas for application shall comply with Section 3159(c).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 7 heading, repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3172. Electrical Design and Installation.
Note     •     History

Electrical design and installation of tows shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 6.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3173. Operation and Maintenance.
Note     •     History

Operation and maintenance of tows shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 6.3 which is hereby incorporated by reference. Section 6.3.6 does not apply to operation and maintenance and is not incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Article 8. Wire Rope and Strand Requirements
§3174. Physical Properties.
Note     •     History

The physical properties of wire rope use on passenger tramways shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 7.1 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 8 heading, repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3175. Testing.
Note     •     History

The testing of wire rope shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 7.2 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3176. Connections.
Note     •     History

The connections of wire rope shall comply with ANSI B77.1- 1982 and 1986, 1988 addenda, Section 7.3 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3177. Operation and Maintenance.
Note     •     History

Maintenance and inspection of wire rope shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Section 7.4 which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3178. Measuring the Diameter of Wire Rope.
Note     •     History

The method used for measuring the diameter of wire rope shall comply with ANSI B77.1-1982 and 1986, 1988 addenda, Appendix B, including Figure B1, which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3179. Machine Room.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 10 heading and section and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3180. Sheaves.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3181. Safety Stop.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3182. Emergency Stop.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3184. Machine Rooms.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3185. Sheaves.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3187. Speed.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3188. Emergency Stop.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3189. Brakes.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3190. Straps.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
§3191. General.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix 1 filed 3-28-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer of article 12 heading, section  and Appendix  and new Note  filed 3-23-93; operative 4-22-93 (Register 93, No. 13).
Subchapter 6.2. Permanent Amusement Ride Safety Orders
Article 1. Application and Definitions
§3195.1. Application.
Note     •     History

(a) This Subchapter, consisting of four Articles, governs permanent amusement rides operated anywhere in the State of California. Article 3 applies only to aquatic devices, while Articles 1, 2, and 4 apply to all permanent amusement rides, including aquatic devices. 
(b) For the purposes of Articles 1 through 4, the following ASTM Standards on Amusement Rides and Devices are hereby incorporated by reference: 
(1) ASTM F 698-94 (Reapproved 2000), “Standard Specification for Physical Information to be Provided for Amusement Rides and Devices,” Sections 1 through 3. 
(2) ASTM F 770-93 (Reapproved 2000), “Standard Practice for Operation Procedures for Amusement Rides and Devices,” Sections 1 through 4. 
(3) ASTM F 846-92 (Reapproved 1998), “Standard Guide for Testing Performance of Amusement Rides and Devices,” Sections 1 through 8. 
(4) ASTM F 853-98, “Standard Practice for Maintenance Procedures for Amusement Rides and Devices,” Sections 1 through 6. 
(5) ASTM F 893-87 (Reapproved 2000), “Standard Guide for Inspection of Amusement Rides and Devices,” Sections 1 though 5. 
(6) ASTM F 1159-02, “Standard Practice for the Design and Manufacture of Amusement Rides and Devices,” Sections 1 through 14. 
(7) ASTM F 1193-97, “Standard Practice for an Amusement Ride and Device Manufacturer Quality Assurance Program,” Sections 1 through 7. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New subchapter 6.2 (articles 1-4, sections 3195.1-3195.14), article 1 (sections 3195.1-3195.2) and section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.2. Definitions.
Note     •     History

(a) In addition to the definitions given in this section, the definitions found at Section 344.6 of this Title also apply. Among others, the following terms are defined in Section 344.6: “as-built document,” “licensed engineer,” “new permanent amusement ride,” “owner or operator,” and “permanent amusement ride.” 
(b) An “amusement ride incident” is any event, failure, or malfunction of a permanent amusement ride that: 
(1) Results in the ride being closed to patrons for more than 12 consecutive hours; or 
(2) Reasonably and substantially appears to have an impact on the safety of patrons. 
(c) An “aquatic device” is a permanent amusement ride that involves the purposeful immersion of the patron's body partially or totally in the water. A permanent amusement ride which involves only incidental patron water contact, or which uses water primarily as a medium for carrying a conveyance vehicle, e.g., a log flume boat ride or a spillwater boat ride, is not an aquatic device. 
(d) “Authorized person” means a person who: 
(1) Has been authorized by the owner or operator, in a determination which defines the specific duties and rides to which the authorization pertains, to attend, operate, inspect, test, or perform maintenance on permanent amusement rides and associated equipment; 
(2) Has successfully completed training (see Sections 3195.6 and 3195.7) in the duties to which the authorization pertains; 
(3) Performs his or her duties within the scope of the authorization; and 
(4) Is capable of reading and comprehending all written instructions, including those on operator controls, that are required to be available to or to be in view of a person performing duties within the scope of the authorization. 
(e) A “DIN Standard” means a standard published by the Deutsches Institute of Normung. 
(f) An “existing permanent amusement ride” is either of the following: 
(1) A permanent amusement ride that was placed in operation and opened to the public for the first time prior to July 12, 2003; or 
(2) A planned permanent amusement ride that has been substantially designed, manufactured, or fabricated prior to July 12, 2003. 
(g) A “facility” means any single property or grouping of contiguous properties under the control of the owner or operator that contains one or more permanent amusement rides. 
(h) A “flume” is a single descending pathway in or on a water slide. 
(i) A “patron” means a member of the public who is not acting as an employee or as a consultant, contractor, or other agent of the owner or operator. 
(j) “Public operation” means operation of an amusement ride with one or more patrons on board. 
(k) A “ride” means a permanent amusement ride. 
(l) A “splash pool” is a pool of water at the base of a flume, which constitutes the endpoint of a patron's travel along the flume. 
(m) A “TUV Standard” means a standard published by the Technischer Uberwachungs Verein or Technical Control Organization. 
(n) A “water slide” is an aquatic device using flowing water to provide low friction so that patrons can slide along a flume. There may be one or more flumes used on a water slide. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3, 7921 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Article 2. Requirements, Other Than Recordkeeping and Transfer of Information, Applicable to All Permanent Amusement Rides
§3195.3. Required Documentation.
Note     •     History

(a) The owner or operator shall have and maintain at the facility all of the following documentation for each permanent amusement ride in public operation at the facility: 
(1) Manufacturer-originated documentation indicating that the design and manufacture of the ride is in compliance with ASTM F 1159-02. Such documentation shall include but not necessarily be limited to the design and calculation documents specified in Section 4.1 of ASTM F 1159-02. 

Exception No. 1: If the ride was designed to comply with generally accepted design standards other than those in Section 4.1 of ASTM F 1159-02, e.g., DIN or TUV Standards, the owner or operator may substitute documentation of compliance with those standards. However, unless Exception No. 2 applies, these documents shall suffice only if they provide a level of detail comparable to that specified by Section 4.1 of ASTM F 1159-02. Note: See additional restrictions applicable to new permanent amusement rides in Section 3195.4. 

Exception No. 2, for Existing Permanent Amusement Ride Only: If the owner or operator cannot obtain all or part of the required documentation because it is reasonably believed not to exist or is not reasonably available from the manufacturer, the owner or operator shall comply by having and maintaining that documentation which is reasonably available from the manufacturer. If that documentation is missing information on performance characteristics or forces on passengers, the owner or operator shall have and maintain alternative documentation containing the missing information to the extent such information is necessary for a reasonably adequate evaluation of the safety of any ride. 
(2) Documentation of each of the following with reference to Sections 5 through 8 of ASTM F 846-92 (Reapproved 1998): 
(A) Manufacturer-originated developmental and installation testing procedures conforming to the specifications of Sections 5 and 6. 
(B) Manufacturer-originated operational and nondestructive testing procedures conforming to the specifications of Sections 7 and 8. 

Exception No. 1 for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of subsection (2)(A) is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply with subsection (2)(A) by having and maintaining that documentation which is reasonably available. 

Exception No. 2 for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of subsection (2)(B) is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply with subsection (2)(B) by having and maintaining that documentation which is reasonably available and by having and maintaining documentation containing effective operational and nondestructive testing procedures that conform to the specifications of Sections 7.2.2 through 7.2.4, 8.1 through 8.1.3, and 8.1.6 through 8.1.9 of ASTM F 846-92 (Reapproved 1998). The testing procedures described in this documentation shall be in compliance with the following additional requirements: 
1. Testing frequency shall be specified. 
2. The operational limits of the ride and the specifications used to evaluate testing results shall be established by the owner or operator using all manufacturer-originated information that is reasonably available and relevant as well as whatever additional information is necessary to ensure that the operation of the ride is within the design limitations of the ride. 
(3) Documentation of each of the following with reference to Sections 4 through 6 of ASTM F 853-98: 
(A) Manufacturer-originated maintenance instructions that conform to the specifications of Section 4 of ASTM F 853-98. 
(B) Mandatory maintenance procedures that conform to the instructions required by subsection (A), conform to the specifications of Sections 5 and 6 of ASTM F 853-98, and include an effective program of training to be provided to all employees performing maintenance. The training program shall conform to the specifications of Section 6.2 of ASTM F 853-98, include a manual containing the training subject matter, and specify the length of initial and refresher training as well as the frequency of refresher training. 

Exception for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of subsection (A) is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply with subsection (A) by having and maintaining that documentation which is reasonably available, and shall comply with subsection (B) by having and maintaining effective maintenance procedures. The maintenance procedures shall conform to whatever manufacturer-originated maintenance instructions are reasonably available and shall include, but not necessarily be limited to, each of the following: 
1. A description of the ride operation, including the function and operation of its major components. 
2. A description of the motions the ride is designed to undergo while in operation. 
3. Lubrication procedures, including types of lubricants and frequency of lubrication, and a lubrication drawing, chart, or other effective means of showing the location of lubrication points. 
4. A description, including a schedule, of all maintenance inspections and testing to be performed on the ride. 
5. Maintenance procedures for electrical components, as well as schematics of electrical power, lighting, and controls. 
6. Maintenance procedures and schematics for all hydraulic and pneumatic systems on or used to control the ride, which shall include component locations; location charts; fluid, pressure, line, and fitting specifications; and troubleshooting guidelines. 
7. Specifications for the use of replacement fasteners and, when applicable, for torque requirements for fasteners. 
8. A checklist to be made available to each person performing the regularly scheduled maintenance on each ride. 
9. Procedures for performing documented and signed pre-opening inspections, to be conducted each day prior to public operation. The pre-opening inspection shall include, but not necessarily be limited to, the items listed in Section 6.3 of ASTM F 853-98. 
10. A program of training to be provided to all employees performing maintenance. The training program shall conform to the specifications of Section 6.2 of ASTM F 853-98, include a manual containing the training subject matter, and specify the length of initial and refresher training as well as the frequency of refresher training. 
11. Procedures to be followed in the event of any unscheduled cessation of operation of the ride. The procedures shall require that, when an unscheduled cessation of operation of the ride that is potentially due to mechanical failure occurs, the ride shall not be operated again with patrons on board until inspection or test-operation of the ride has demonstrated that the ride is functioning properly. 
(4) Mandatory operation procedures conforming to the specifications of Sections 4.1 through 4.1.4.4 of ASTM F 770-93 (Reapproved 2000). The owner or operator shall ensure that each of the following are incorporated into the operation procedures: 
(A) Manufacturer-originated information and recommendations conforming to the specifications of Section 3 of ASTM F 770-93 (Reapproved 2000). 

Exception for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of subsection (a)(4)(A) is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply by having and maintaining that documentation which is reasonably available and by having and maintaining whatever additional documentation is necessary to provide an effective informational basis for the procedures developed in conformance with Sections 4.1 through 4.1.4.4 of ASTM F 770-93 (Reapproved 2000). 
(B) A procedure for promptly notifying the applicable manufacturer, if known, of any event, failure, or malfunction that reasonably and substantially appears: 
1. To have an impact on patron safety; and 
2. To be of a type that could occur in connection with rides of the same design. 
(C) A detailed description of all signal systems' procedures and testing used by the owner or operator (see Section 3195.9(d)). 
(D) Procedures for implementing those patron safety measures necessary to ensure the operation of the ride in a manner that is safe for all patrons, which shall consist of the following: 
1. Procedures to ensure that all passenger restraint mechanisms are properly engaged and will safely secure the patron throughout the course of the ride. 
2. Procedures to ensure the implementation of all patron-specific safety measures necessary for operation of the ride in a manner that is safe for all patrons. These procedures shall, at a minimum, implement all specific manufacturer recommendations listed in Section 2.6 of ASTM F 698-94 (Reapproved 2000), to the extent such recommendations exist and are reasonably available. Patron-specific safety measures shall consist of special provisions for a patron's use of the ride, provision of warnings to patrons, or both in combination, to the extent reasonably necessary to protect the patron. Factors that may result in a need for patron-specific safety measures include patron weight, patron size (e.g., height or other body dimension), and the patron being a child or having a physical disability or health condition that affects rider safety. 
NOTE: This subsection is not intended to require an owner or operator to admit a patron to a ride if such admission will jeopardize the safety of that patron or other patrons. 
(E) An effective program of training to be provided to all operators and attendants in conformance with the specifications of Section 4.1.3 of ASTM F 770-93 (Reapproved 2000). The training program shall include a manual containing the training subject matter and shall specify the length of initial and refresher training as well as the frequency of refresher training. 
(5) Documentation indicating that the manufacturer's quality assurance program followed for the ride is in conformance with ASTM F 1193-97 and Section 5 of ASTM F 893-87 (Reapproved 2000). 

Exception for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of this subsection is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply by having and maintaining that documentation which is reasonably available. 
(6) All of the information applicable to each ride as specified in ASTM F 698-94 (Reapproved 2000). 

Exception for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of this subsection is reasonably believed not to exist or is not reasonably available, the owner or operator shall comply by having and maintaining that documentation which is reasonably available, and by having and maintaining additional documentation as necessary to provide the information called for by the applicable provisions of Sections 2.2.5 through 2.5 and 2.7 through 2.15.3 of ASTM F 698-94 (Reapproved 2000). 
(b) All documentation and records listed in subsection (a) of this section shall be made available to the Division upon request. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3, 7921 and 7923, Labor Code. 
HISTORY

1. New article 2 (sections 3195.3-3195.9) and section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.4. General Design and Manufacture.
Note     •     History

New Permanent Amusement Rides. No new permanent amusement ride shall be opened to the public unless it has been designed and manufactured in conformance with the specifications of ASTM F 1159-02 and ASTM F 1193-97. 

Exception: A new permanent amusement ride may be open to the public if it conforms with the design standards set forth in other generally accepted standards, e.g., DIN or TUV Standards provided that the owner or operator can demonstrate that such compliance ensures patron safety comparable to that provided by compliance with ASTM F 1159-02 and ASTM F 1193-97. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3, 7921 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.5. Required Testing.
Note     •     History

(a) No permanent amusement ride shall be operated with patrons on board unless the owner or operator has documentation demonstrating the proper performance of the ride through testing performed in conformance with the specifications of the documentation required by subsections (a)(2)(A) and (a)(2)(B) of Section 3195.3. 

Exception for Existing Permanent Amusement Rides Only: If complete documentation meeting the requirements of Section 3195.3(a)(2)(A) is reasonably believed not to exist or is not reasonably available, the ride may be open to the public if the owner or operator has documentation demonstrating the proper performance of the ride through testing performed in conformance with the specifications of the documentation required by Section 3195.3(a)(2)(B). 
(b) All testing performed by the owner or operator pursuant to this section shall be conducted by an authorized person. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.6. Maintenance, Inspection, and Related Training.
Note     •     History

(a) The owner or operator shall follow the procedures specified in the documentation required by Section 3195.3(a)(3)(B), and shall provide training as specified in that documentation to each employee performing those procedures. 
(b) All maintenance and inspection functions shall be performed by an authorized person. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.7. Operation Procedures and Related Training.
Note     •     History

(a) The owner or operator shall follow the operation procedures specified in the documentation required by Section 3195.3(a)(4) for each permanent amusement ride, and shall provide training as specified in that documentation to each ride operator and attendant. 
(b) The owner or operator shall use effective signs, videos, or other similarly effective means of advising patrons of those instructions, limitations, restrictions, and warnings deemed necessary for patron safety by the owner or operator, including those maintained as part of the procedures required by Section 3195.3(a)(4)(D). When signs are used for this purpose, they shall be permanently and conspicuously posted at each applicable permanent amusement ride. 
(c) At all times while the facility is open to the public, personnel shall be located around the facility who are trained and available to render first aid and cardiopulmonary resuscitation (CPR). These personnel shall: 
(1) Be in sufficient numbers to ensure they are readily available to render first aid and CPR to patrons as needed, 
(2) Have current certification in first aid and CPR from the American Red Cross or another nationally recognized organization; and 
(3) Have immediate access to first aid and CPR supplies that meet the requirements of Section 3400. 
(d) Complete operation instructions for each permanent amusement ride shall be readily accessible to the operators and attendants of the ride. 
(e) All ride operation and attendant functions shall be performed by an authorized person. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.8. Physical Information and Adherence to General Safety-Related Operating Parameters.
Note     •     History

(a) The owner or operator shall not operate any permanent amusement ride with patrons on board in a manner inconsistent with the specifications of the documentation required by Section 3195.3(a)(6). 

Exception for Existing Permanent Amusement Rides: If any of the manufacturer-originated information specified by Sections 2.2.1 through 2.2.8 of ASTM F 698-94 (Reapproved 2000) is reasonably believed not to exist or is not reasonably available, the owner or operator, at a minimum, shall have permanently affixed to the ride the name and address of the manufacturer, if known, the ride name or description, the model or serial number, if known, the maximum number of patrons, and the maximum design speed of the ride. The required information shall be legibly impressed on a metal plate or equivalent and readily visible and legible at all times. 
(b) All permanent amusement rides shall be identified by a registration number, which shall be provided by the Division. This registration number shall be kept with other pertinent records for the amusement ride and shall be permanently affixed by a Division representative to the ride. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.9. Motion Restriction and Other Specific Hazard Control Measures.
Note     •     History

(a) Emergency Brakes and Devices. 
Ride conveyance vehicles shall be provided with emergency brakes or other equally effective emergency stopping controls, if upon failure of normal stopping controls, collision may reasonably be expected to occur and result in patron injury or equipment damage. Low speed vehicles designed for controlled collisions, such as bumper cars, do not require emergency stopping controls. 
(b) Anti-Rollback Controls. 
Each permanent amusement ride with a passenger conveyance vehicle that traverses an inclined track shall be provided with automatic anti-rollback controls, unless such controls would conflict with manufacturer recommendations. 
(c) Speed Limiting Devices and Systems. 
(1) Each permanent amusement ride capable of exceeding its maximum design operating speed shall be provided with a speed-limiting device or system to ensure that the ride cannot exceed that speed at any time while patrons are on board. 
(2) Mechanical Governors. 
(A) If a mechanical governor with an adjustable setting is used as a speed-limiting device, the adjusting mechanism shall be sealed so that the speed setting cannot be changed without breaking the seal. 
(B) If the seal is broken, the ride shall not be operated with patrons on board and the speed setting shall be readjusted and resealed per manufacturer specifications prior to reopening the ride to patrons. 
(3) Other Speed Limiting Devices or Systems. 
If a speed limiting device or system other than a mechanical governor is used to control the maximum speed of a permanent amusement ride, the device or system shall include safeguards to prevent the ride operator from being able to alter the maximum speed setting. 
(d) Signal Systems. 
(1) Signal systems shall be used and shall be adequate to do the following: 
(A) Control the dispatching of rides as necessary to prevent collision due to any failure of the ride or ride unit to clear a stopping point. 
(B) Control the operation of the ride so that neither starting nor stopping the ride results in an unsafe condition. In the case of starting the ride, the signal system shall require that, before the start signal is given, there is confirmation that all patrons are safely secured within the ride and all other persons are a safe distance from the ride. 

Exception:  A signal system is not required if the ride is controlled by a single operator who can clearly observe all phases of operation of the ride. 
(2) All signal systems shall be tested at least once each day prior to the initial operation of the ride with patrons on board. No ride shall be operated with patrons on board if the signal system is not functioning properly. 
(3) A written explanation of the use and testing of the signal system for each ride having a signal system shall be available at the operator's or signaler's stations. 
(e) Protection of Patrons from Hazardous Surfaces and Moving Parts. 
(1) Surfaces of permanent amusement rides with which a patron may come in contact shall be free from sharp, rough, or splintered surfaces, edges and corners, and from unguarded or unprotected protruding studs, bolts, screws, and other projections. Surfaces that a patron may forcibly contact while in motion shall be adequately padded or otherwise designed and maintained to protect against injury. 
(2) All moving parts with which patrons may come into contact shall be sufficiently guarded to protect against injury. 
(f) Patron Retention, Restraint, and Support. 
(1) All tubs, cars, chairs, seats, gondolas, and other carriers shall be equipped as necessary to provide protection against injury with devices that retain, restrain, or support the patron during all phases of ride movement. All fastenings shall be of a type that cannot be released inadvertently by the patron or by other accidental means. 
(2) All belts, bars, fastenings, anchorages, footrests, and other equipment or devices intended for the protection of patrons while they are on permanent amusement rides shall be of adequate design for and be maintained to perform their intended function. 
(g) Accessing and Exiting Permanent Amusement Rides. 
All steps, ramps and walkways inside the site of the permanent amusement ride used by patrons for accessing and exiting the ride shall be of adequate design for and maintained to perform their intended function. 
(h) Operation and Control of the Ride. 
(1) All rides shall be operated and controlled only by authorized persons. All authorized persons designated to control the operation of the ride while it is moving shall, during the period of movement, be within immediate reach of the operating controls, even if automatic devices are used to control the time cycle of the ride. 
(2) All rides shall have a stop switch within immediate reach of the authorized person or persons designated to operate or control the ride at all times while the ride is in operation. 
(3) In addition to the stop switch required by subsection (h)(2), each electrically driven permanent amusement ride shall have a disconnect switch within reach of the authorized person for use in case of emergency. In lieu of this disconnect switch, a stopping device that must be manually reset may be used. 
(4) No permanent amusement ride stopped with a device required by (h)(2) or (h)(3) shall be capable of starting immediately upon reset of that device. 
(5) Equipment rooms, machinery rooms, and all other areas unsafe for access by patrons or other unauthorized persons shall be posted to forbid unauthorized access and locked, fenced, barricaded, or otherwise secured to prevent unauthorized access. Fences installed or replaced after July 12, 2003 shall be in conformance with the specifications of ASTM F 1159-02. 
(6) Electrically energized overhead screens used to power bumper car type rides shall be free of holes that are not part of the design. 
(i) Electrical Wiring Affecting Permanent Amusement Rides. 
The installation of all new electrical wiring for permanent amusement rides shall conform to the applicable requirements of the California Code of Regulations, Title 24, Part 3, California Electrical Code, 1998. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Article 3. Aquatic Devices
§3195.10. Application.
Note     •     History

The requirements contained in this Article apply only to aquatic devices. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New article 3 (sections 3195.10-3195.11) and section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.11. Operation and Maintenance.
Note     •     History

(a) The operation procedures required by Section 3195.3(a)(4) shall be supplemented for aquatic devices with the following: 
(1) Written emergency procedures including, but not necessarily limited to, each of the following: 
(A) Procedures for cessation of operations to be followed where this is necessary to ensure patron safety in situations such as, but not necessarily limited to, a cutoff of the water supply or a power outage. 
(B) Procedures for evacuating patrons from each aquatic device including the estimated evacuation time. 
(C) Methods to direct the movement of patrons to safe areas and to keep them out of unsafe areas during emergency situations. 
(D) Procedures for shutting off power, water, and pumps, and shutting off and turning on power-operated drains. 
(2) The following instructions and procedures, provided with sufficient specificity to make them complete and effective: 
(A) The staffing levels to be maintained during all times while the aquatic device is operating with patrons present. In determining the staffing level for an aquatic device, each of the following shall be considered: 
1. The design and type of aquatic device. 
2. The number of entrances to the loading platform. 
3. The number of flumes and their proximity to each other. 
4. The length of, and the duration of the patron's travel along, each flume. 
5. The maximum patron capacity of the aquatic device by weight. 
6. The maximum patron capacity of the aquatic device by number of patrons. 
7. The manufacturer's recommended staffing requirement, if there is one, which shall constitute the minimum staffing level. 
(B) Procedures for the control of patron movement along the entire pathway of travel from point of aquatic device entry to point of aquatic device exit. 
(C) Procedures for controlling the intervals of time separating each patron's or patron group's slide down the flume. 
(D) A requirement to supervise all visible portions of the flumes of the water slide. 
(E) Procedures for maintaining order among patrons in the splash pool and the splash pool area and for mitigating any patron behavior having the potential to constitute a safety hazard. 
(F) Procedures for maintaining water quality within each aquatic device so that water will not pose a substantial health risk to patrons who may reasonably be expected to ingest it or otherwise be exposed to it. 
(b) At all times that the aquatic device is in operation with patrons present, the owner or operator shall maintain staffing levels in compliance with the written operational instructions required by subsection (a)(2)(A) of this section. In addition, the owner or operator shall ensure that the following requirements are met: 
(1) At least one attendant shall be located in the immediate vicinity of the water slide splash pool. 
(2) Current certification to perform first aid and cardiopulmonary resuscitation (CPR) by the American Red Cross or another nationally recognized organization shall be held by all personnel who: 
(A) Supervise patrons at aquatic devices; or 
(B) Interact with patrons for the purpose of controlling their usage of or movement through aquatic devices. 
(3) Each of the first aid and CPR certified personnel shall have immediate access to first aid and CPR supplies that meet the requirements of Section 3400. 
(c) The surfaces and edges of the aquatic device that patrons may contact shall be free from cutting or pinching hazards or any other hazards that may cause injury. 
(d) If power is used to generate water movement for an aquatic device, at least one attendant shall have immediate access to a stopping device that will remove all power. 
(e) Drains on aquatic devices shall be visible to at least one attendant. 
(f) Entrances to and exits from aquatic devices shall be clearly marked. 
(g) Areas of ingress to and egress from aquatic devices, as well as walking surfaces in or on aquatic devices, shall be designed and maintained to drain standing water and to be slip resistant. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Article 4. Recordkeeping and Information Transfer
§3195.12. Recordkeeping.
Note     •     History

(a) The owner or operator shall make and maintain for at least five years, and make available to the Division upon request during any Division inspection, records of all of the following: 
(1) Training provided as required by Sections 3195.6(a) and 3195.7(a), including the date provided, the name of the employee trained, the type of training provided, and the length of the training session. 
(2) Maintenance, repair, inspection, and testing performed on each permanent amusement ride. 
(3) Accidents required to be reported by Section 344.15 of this Title. 
(4) Amusement ride incidents. 
(5) For aquatic devices only, testing performed to determine water quality and all determinations of staffing levels to be maintained at aquatic devices. 
(b) Records of amusement ride incidents shall consist of any reasonable format chosen by the owner or operator which includes the name of the authorized person(s) present and describes the incident as well as any inspection, repair, modification, and maintenance performed in response to the incident. 
(c) The information on accidents recorded pursuant to this section shall include but not necessarily be limited to each of the following, to the extent reasonably available: 
(1) The date of occurrence of the accident. 
(2) The name of the ride and manufacturer of the ride where or on which the accident occurred. 
(3) A detailed description of the accident. 
(4) The names, addresses, ages, and telephone numbers of all persons involved in the accident, including but not limited to those injured, the authorized person(s) present, and a representative number of witnesses, if any. 
(5) A description of the injury and treatment provided to the injured parties involved in the accident. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New article 4 (sections 3195.12-3195.14) and section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.13. Transfer of Information with Used Permanent Amusement Rides.
Note     •     History

(a) The seller of a used permanent amusement ride shall, upon transfer of the ride to the new owner, provide with the ride a copy of all of the following: 
(1) All manufacturer documentation and all operational and maintenance manuals that pertain to the ride and are within the seller's possession. 
(2) Complete information describing any modification to the ride or any part thereof performed while in the seller's possession, and any other modifications to the extent known by the seller. If documentation or information pertaining to modifications has been lost, the seller shall provide full disclosure of what information is missing, to the extent known by the seller. 
(3) A summary of all incidents reported to the manufacturer pursuant to the procedure required by Section 3195.3(a)(4)(B) and all accidents resulting in injury required to be reported to the Division by Section 344.15. 
(b) The purchaser of a used permanent amusement ride shall notify the manufacturer, if the manufacturer still exists, of the change of ownership. 
(c) The purchaser of a used permanent amusement ride shall obtain from the manufacturer all updated owner, operational, and maintenance manuals and service bulletins to the extent they are available. 
NOTE

Authority cited: Sections 142.3 and 7923, Labor Code. Reference: Sections 142.3 and 7923, Labor Code. 
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3195.14. Confidentiality.
Note     •     History

The Division shall maintain the confidentiality of all documentation and records required by this Subchapter to the extent that the Division obtains such documentation and it is protected by Labor Code Section 6322 or any other applicable provision of law. 
NOTE

Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 6322 and 7920-7928, Labor Code.
HISTORY

1. New section filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Subchapter 7. General Industry Safety Orders
INTRODUCTION
§3200. Purpose.
Note     •     History

To fulfill the expressed social public policy of the State of California set forth in Article XX, Section 21 of the Constitution, to make full provision for securing safety in places of employment, these General Industry Safety Orders are promulgated for the guidance of employers and employees alike. Compliance with these orders may not in itself prevent occupational injuries or diseases, but will, it is believed, provide a safe environment which is a fundamental prerequisite in controlling injuries. Every employer should provide their supervisory staff with a copy of these orders and assure that each supervisor is familiar with those sections pertaining to the operations under their supervision.
NOTE

Authority cited for § 3200 to 4207, inclusive: Sections 6312 and 6500, Labor Code. Additional authority cited: Section 6502 and Section 142.3, Labor Code.
HISTORY

1. New §§ 3200 to 4191, inclusive (except as otherwise noted) filed, and §§ 4201 to 4207, inclusive, refiled 12-19-49 (Register 18, No. 8).
2. Repealer of Subchapter 7 (Groups 1-9, §§ 3210 through 4207, not consecutive) and new Subchapter 7 (Groups 1-4, 6, 8, 10, 13-16, 18, §§ 3210 through 5370, not consecutive) filed 2-1-72 as an emergency; designated effective 2-1-72 (Register 72, No. 6). For prior history, see Register 55, No. 2., Register 57, No. 13, Register 60, No. 19, Register 61, No. 26, Register 62, Nos. 1 and 21, Register 66, Nos. 23 and 38, Register 67, Nos. 18 and 38, Register 68, No. 47, Register 69, No. 9, Register 70, Nos. 1 and 25, Register 71, No. 17, Register 72, No. 2.
3. Certificate of Compliance filed 4-26-72 (Register 72, No.19).
4. Repealer of Subchapter 7 (Groups 1-9, §§ 3210 through 4207, not consecutive) and new Subchapter 7 (Groups 1-4, 6, 8, 10, 13-16, 18, §§ 3210 through 5370, not consecutive) refiled 6-1-72 as an emergency; designated effective 6-1-72. Certificate of Compliance included (Register 72, No. 23). For prior history, see Register 72, No. 20.
5. Amendment and renumbering of subsections (a)(15) through (a)(42) filed 1-31-75 as an emergency; effective upon filing (Register 75, No. 5).
6. These orders supersede the orders heretofore separately published in Title 8, Chapter 1, Subchapter 4 entitled Dust, Fumes, Vapors and Gases Safety Orders, Engine Safety Orders, Gantry-Truck Safety Orders, General Safety Orders, Laundry Safety Orders, Mechanical Power Transmission Safety Orders, Steam Shovel and Locomotive Crane Safety Orders, Safety Orders for Women in Industry and Woodworking Safety Orders.
7. Change without regulatory effect amending section and Note filed 6-27-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 26).
§3201. Title.

These safety orders shall be known as General Industry Safety Orders.
§3202. Application.
Note     •     History

(a) These orders establish minimum standards and apply to all employments and places of employment in California as defined by Labor Code Section 6303; provided, however, that when the Occupational Safety and Health Standards Board has adopted or adopts safety orders applying to certain industries, occupations or employments exclusively, in which like conditions and hazards exist, those orders shall take precedence wherever they are inconsistent with the General Industry Safety Orders hereinafter set forth.
Note: Unless otherwise designated in this subchapter, the phrase “division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
(b) After the date on which these Orders become effective, all installations shall conform to these Orders.

Exception: (1) Existing installations which are in compliance with safety orders, or variations therefrom, in effect prior to the effective date of these safety orders, unless the hazard presented by the installation or equipment is, in the judgment of the Chief of the Division, of such severity as to warrant control by the application of the applicable sections of these orders.

(2) Facsimiles, replicas, reproductions, or simulations when used for exhibition purposes when such compliance would be detrimental to their use for such purposes unless the hazard presented by the installation is, in the judgment of the Chief of the Division, of such severity as to warrant control by the application of the applicable sections of these Orders.
(c) Regulations herein affecting building standards, apply to any building, or building alteration, or building modification for which construction is commenced after the effective date of the regulations. Date of commencement of construction, for the purpose of this section, shall be:
(1) The advertising date for invitation of bids for State and local government projects.
(2) The building permit issuance date for other projects.
(Title 24, Part 2, Section 2-109.)
Note: Identification of Building Regulations. The basic building regulations for employments and places of employment contained in Title 24, State Buildings Standards Code, California Administrative Code are part of these safety orders. Pursuant to Health and Safety Code Section 18943(c), such building regulations are identified in these safety orders by the addition of a reference to the appropriate section of the State Building Standards Code (Title 24), which is added to the end of the safety order section:
(Title 24, Part X, Section XXXX.)
(d) Nothing contained in these regulations shall be considered as abrogating the provisions relating to public safety of any ordinance, rule or regulation of any governmental agency, providing such local ordinance, rule or regulation is not less stringent than these minimum standards.
Note: The filing date 12-19-49 shown in the History Note of Section 3200 is for the sections originally filed. The filing date of sections subsequently adopted or revised is shown in the History Note at the end of the section. Orders become effective 30 days after filing. 
(Title 24, T8-3202)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer and new section filed 1-31-75 as an emergency; effective upon filing (Register 75, No. 5).
3. Certificate of Compliance filed 3-4-75 (Register 75, No. 10).
4. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
5. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
6. Amendment of subsection (c) and NOTE filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
§3203. Injury and Illness Prevention Program.
Note     •     History

(a) Effective July 1, 1991, every employer shall establish, implement and maintain an effective Injury and Illness Prevention Program (Program). The Program shall be in writing and, shall, at a minimum:
(1) Identify the person or persons with authority and responsibility for implementing the Program.
(2) Include a system for ensuring that employees comply with safe and healthy work practices. Substantial compliance with this provision includes recognition of employees who follow safe and healthful work practices, training and retraining programs, disciplinary actions, or any other such means that ensures employee compliance with safe and healthful work practices.
(3) Include a system for communicating with employees in a form readily understandable by all affected employees on matters relating to occupational safety and health, including provisions designed to encourage employees to inform the employer of hazards at the worksite without fear of reprisal. Substantial compliance with this provision includes meetings, training programs, posting, written communications, a system of anonymous notification by employees about hazards, labor/management safety and health committees, or any other means that ensures communication with employees.

Exception: Employers having fewer than 10 employees shall be permitted to communicate to and instruct employees orally in general safe work practices with specific instructions with respect to hazards unique to the employees' job assignments as compliance with subsection (a)(3).
(4) Include procedures for identifying and evaluating work place hazards including scheduled periodic inspections to identify unsafe conditions and work practices. Inspections shall be made to identify and evaluate hazards:
(A) When the Program is first established;

Exception: Those employers having in place on July 1, 1991, a written Injury and Illness Prevention Program complying with previously existing section 3203.
(B) Whenever new substances, processes, procedures, or equipment are introduced to the workplace that represent a new occupational safety and health hazard; and
(C) Whenever the employer is made aware of a new or previously unrecognized hazard.
(5) Include a procedure to investigate occupational injury or occupational illness.
(6) Include methods and/or procedures for correcting unsafe or unhealthy conditions, work practices and work procedures in a timely manner based on the severity of the hazard:
(A) When observed or discovered; and,
(B) When an imminent hazard exists which cannot be immediately abated without endangering employee(s) and/or property, remove all exposed personnel from the area except those necessary to correct the existing condition. Employees necessary to correct the hazardous condition shall be provided the necessary safeguards.
(7) Provide training and instruction:
(A) When the program is first established;

Exception: Employers having in place on July 1, 1991, a written Injury and Illness Prevention Program complying with the previously existing Accident Prevention Program in Section 3203.
(B) To all new employees;
(C) To all employees given new job assignments for which training has not previously been received;
(D) Whenever new substances, processes, procedures or equipment are introduced to the workplace and represent a new hazard;
(E) Whenever the employer is made aware of a new or previously unrecognized hazard; and,
(F) For supervisors to familiarize themselves with the safety and health hazards to which employees under their immediate direction and control may be exposed.
(b) Records of the steps taken to implement and maintain the Program shall include:
(1) Records of scheduled and periodic inspections required by subsection (a)(4) to identify unsafe conditions and work practices, including person(s) conducting the inspection, the unsafe conditions and work practices that have been identified and action taken to correct the identified unsafe conditions and work practices. These records shall be maintained for at least one (1) year; and

Exception: Employers with fewer than 10 employees may elect to maintain the inspection records only until the hazard is corrected.
(2) Documentation of safety and health training required by subsection (a)(7) for each employee, including employee name or other identifier, training dates, type(s) of training, and training providers. This documentation shall be maintained for at least one (1) year.

EXCEPTION NO. 1: Employers with fewer than 10 employees can substantially comply with the documentation provision by maintaining a log of instructions provided to the employee with respect to the hazards unique to the employees'  job assignment when first hired or assigned new duties.

EXCEPTION NO. 2: Training records of employees who have worked for less than one (1) year for the employer need not be retained beyond the term of employment if they are provided to the employee upon termination of employment.

Exception No. 3: For Employers with fewer than 20 employees who are in industries that are not on a designated list of high-hazard industries established by the Department of Industrial Relations (Department) and who have a Workers' Compensation Experience Modification Rate of 1.1 or less, and for any employers with fewer than 20 employees who are in industries on a designated list of low-hazard industries established by the Department, written documentation of the Program may be limited to the following requirements:

A. Written documentation of the identity of the person or persons with authority and responsibility for implementing the program as required by subsection (a)(1).

B. Written documentation of scheduled periodic inspections to identify unsafe conditions and work practices as required by subsection (a)(4).

C. Written documentation of training and instruction as required by subsection (a)(7).

Exception No. 4: Local governmental entities (any county, city, city and county, or district, or any public or quasi-public corporation or public agency therein, including any public entity, other than a state agency, that is a member of, or created by, a joint powers agreement) are not required to keep records concerning the steps taken to implement and maintain the Program.

Note 1: Employers determined by the Division to have historically utilized seasonal or intermittent employees shall be deemed in compliance with respect to the requirements for a written Program if the employer adopts the Model Program prepared by the Division and complies with the requirements set forth therein.

Note 2: Employers in the construction industry who are required to be licensed under Chapter 9 (commencing with Section 7000) of Division 3 of the Business and Professions Code may use records relating to employee training provided to the employer in connection with an occupational safety and health training program approved by the Division, and shall only be required to keep records of those steps taken to implement and maintain the program with respect to hazards specific to the employee's job duties.
(c) Employers who elect to use a labor/management safety and health committee to comply with the communication requirements of subsection (a)(3) of this section shall be presumed to be in substantial compliance with subsection (a)(3) if the committee:
(1) Meets regularly, but not less than quarterly;
(2) Prepares and makes available to the affected employees, written records of the safety and health issues discussed at the committee meetings and, maintained for review by the Division upon request. The committee meeting records shall be maintained for at least one (1) year;
(3) Reviews results of the periodic, scheduled worksite inspections;
(4) Reviews investigations of occupational accidents and causes of incidents resulting in occupational injury, occupational illness, or exposure to hazardous substances and, where appropriate, submits suggestions to management for the prevention of future incidents;
(5) Reviews investigations of alleged hazardous conditions brought to the attention of any committee member. When determined necessary by the committee, the committee may conduct its own inspection and investigation to assist in remedial solutions;
(6) Submits recommendations to assist in the evaluation of employee safety suggestions; and
(7) Upon request from the Division, verifies abatement action taken by the employer to abate citations issued by the Division.
NOTE

Authority cited: Sections 142.3 and 6401.7, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. New section filed 4-1-77; effective thirtieth day thereafter (Register 77, No. 14). For former history, see Register 74, No. 43.
2. Editorial correction of subsection (a)(1) (Register 77, No. 41).
3. Amendment of subsection (a)(2) filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
4. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8).
5. Editorial correction of subsections (a), (a)(2), (a)(4)(A) and (a)(7) (Register 91, No. 31).
6. Change without regulatory effect amending subsection (a)(7)(F) filed 10-2-92; operative 11-2-92 (Register 92, No. 40).
7. Amendment of subsection (b)(2), Exception No. 1, new Exception No. 3 through Exception No. 4, Note 2, and amendment of subsection (c)(2) filed 9-13-94; operative 9-13-94 pursuant to Government Code section 11346.2 (Register 94, No. 37).
8. Editorial correction of subsections (a)(6)(A) and (a)(7)(A) (Register 95, No. 22).
9. Amendment of subsections (b)(1)-(2) and (c)(2) filed 6-1-95; operative 7-3-95 (Register 95, No. 22).
10. Editorial correction of subsection (a)(4) (Register 2002, No. 46).
§3204. Access to Employee Exposure and Medical Records.

(a) Purpose. The purpose of this section is to provide employees and their designated representatives and authorized representatives of the Chief of the Division of Occupational Safety and Health (DOSH) a right of access to relevant exposure and medical records. Access by employees, their representatives, and representatives of DOSH is necessary to yield both direct and indirect improvements in the detection, treatment, and prevention of occupational disease. Each employer is responsible for assuring compliance with this section, but the activities involved in complying with the access to medical records provisions can be carried out, on behalf of the employer, by the physician or other health care personnel in charge of employee medical records. Except as expressly provided, nothing in this section is intended to affect existing legal and ethical obligations concerning the maintenance and confidentiality of employee medical information, the duty to disclose information to a patient/employee or any other aspect of the medical-care relationship, or affect existing legal obligations concerning the protection of trade secret information.
(b) Scope and Application.
(1) This section applies to each employer who makes, maintains, contracts for, or has access to employee exposure or medical records, or analyses thereof, pertaining to employees exposed to toxic substances or harmful physical agents.
(2) This section applies to all employee exposure and medical records, and analyses thereof, of employees exposed to toxic substances or harmful physical agents, whether or not the records are related to specific occupational safety and health standards.
(3) This section applies to all employee exposure and medical records, and analyses thereof, made or maintained in any manner by the employer, both on an in-house and on a contractual (e.g., fee-for-service) basis. Each employer shall assure that the preservation and access requirements of this section are complied with regardless of the manner in which records are made or maintained.
(c) Definitions.
(1) Access. The right and opportunity to examine and copy.
(2) Analysis Using Exposure or Medical Records. Any compilation of data, or any research, statistical or other study based at least in part on information collected from individual employee exposure or medical records or information collected from health insurance claims records, provided that either the analysis has been reported to the employer or no further work is currently being done by the person responsible for preparing the analysis.
(3) Designated Representative. Any individual or organization to whom an employee gives written authorization to exercise a right of ac-- cess. A recognized or certified collective bargaining agent shall be treated automatically as a designated representative for the purpose of access to employee exposure records and analyses using exposure or medical records, but access to an employee's medical records requires the employee's written consent.
(4) Employee. A current employee, a former employee, or an employee being assigned or transferred to work where there will be exposure to toxic substances or harmful physical agents. For the purpose of this section, a deceased or legally incapacitated employee's legal representative may exercise all of the employee's rights under this section.
(5) Employee Exposure Record. A record containing any of the following kinds of information concerning employee exposure to toxic substances or harmful physical agents:
(A) Environmental (workplace) monitoring or measuring, including personal, area, grab, wipe, or other form of sampling, as well as related collection and analytical methodologies, calculations, and other background data relevant to interpretation of the results obtained;
(B) Biological monitoring results which directly assess the absorption of a toxic substance or harmful physical agent by body systems (e.g., the level of chemical in the blood, urine, breath, hair, fingernails, etc.) but not including results which assess the biological effect of a substance or agent or which assess an employee's use of alcohol or drugs;
(C) Material safety data sheets indicating that the material may pose a hazard to human health; or
(D) In the absence of (A), (B) or (C) above, a record, such as a chemical inventory or any other record, which reveals the identity (e.g., chemical, common, or trade name) of a toxic substance or harmful physical agent and where and when the toxic substance or harmful physical agent was used.
(6) Employee Medical Record. A record concerning the health status of an employee which is made or maintained by a physician, nurse, or other health care personnel, or technician.
(A) Employee medical record includes the following:
1. Medical and employment questionnaires or histories (including job description and occupational exposures);
2. The results of medical examinations (pre-employment, pre-assignment, periodic, or episodic) and laboratory tests (including chest and other X-ray examinations taken for the purposes of establishing a base-line or detecting occupational illness, and all biological monitoring not defined as an “employee exposure record”);
3. Medical opinions, diagnoses, progress notes, and recommendations;
4. First-aid records;
5. Descriptions of treatments and prescriptions; and
6. Employee medical complaints.
(B) Employee medical record does not include medical information in the form of:
1. Physical specimens (e.g. blood or urine samples) which are routinely discarded as a part of normal medical practice; or
2. Records concerning health insurance claims if maintained separately from the employer's medical program and its records, and not accessible to the employer by employee name or other direct personal identifier (e.g., social security number, payroll number, etc.); or
3. Records created solely in preparation for litigation which are protected from discovery under the applicable rules of procedure or evidence; or
4. Records concerning voluntary employee assistance programs (alcohol, drug abuse, or personal counseling programs) if maintained separately from the employer's medical program and its records.
(7) Employer. A current employer, a former employer, or a successor employer.
(8) Exposure or Exposed. Employee subjection to a toxic substance or harmful physical agent in the course of employment through any route of entry (inhalation, ingestion, skin contact or absorption, etc.), and includes past exposure and potential (e.g., accidental or possible) exposure, but does not include situations where the employer can demonstrate that the toxic substance or harmful physical agent is not used, handled, stored, generated, or present in the workplace in any manner different from typical non-occupational situations.
(9) Health Professional. A physician, occupational health nurse, industrial hygienist, toxicologist, or epidemiologist providing medical or other occupational health services to exposed employees.
(10) Record. Any item, collection, or grouping of information regardless of the form or process by which it is maintained (e.g., paper document, microfiche, microfilm, X-ray film, or automated data processing).
(11) Specific Chemical Identity. The chemical name, Chemical Abstracts Service (CAS) Registry Number, or any other information that reveals the precise chemical designation of the substance.
(12) Specific Written Consent.
(A) A written authorization containing the following:
1. The name and signature of the employee authorizing the release of medical information;
2. The date of the written authorization;
3. The name of the individual or organization that is authorized to release the medical information;
4. The name of the designated representative (individual or organization) that is authorized to receive the released information;
5. A general description of the medical information that is authorized to be released;
6. A general description of the purpose for release of the medical information; and
7. A date or condition upon which the written authorization will expire (if less than one year).
(B) A written authorization does not operate to authorize the release of medical information not in existence on the date of written authorization, unless the release of future information is expressly authorized, and does not operate for more than one year from the date of written authorization.
(C) A written authorization may be revoked in writing prospectively at any time.
(13) Toxic Substance or Harmful Physical Agent. Any chemical substance, biological agent (bacteria, virus, fungus, etc.), or physical stress (noise, heat, cold, vibration, repetitive motion, ionizing and non-ionizing radiation, hypo- or hyperbaric pressure, etc.) which:
(A) Is regulated by any California or Federal law or rule due to a hazard to health;
(B) Is listed in the latest printed edition of the National Institute for Occupational Safety and Health (NIOSH) Registry of Toxic Effects of Chemical Substances (RTECS) (See Appendix B);
(C) Has yielded positive evidence of an acute or chronic health hazard in human, animal, or other biological testing conducted by, or known to, the employer; or
(D) Is the subject of a material safety data sheet kept by or known to the employer which indicates that the material may pose a hazard to human health.
(14) Trade Secret. Any confidential formula, pattern, process, device, or information or compilation of information that is used in an employer's business and that gives the employer an opportunity to obtain an advantage over competitors who do not know or use it.
(d) Preservation of Records.
(1) Unless a specific occupational safety and health regulation provides a different period of time, each employer shall assure the preservation and retention of records as follows:
(A) Employee Medical Records. The medical record for each employee shall be preserved and maintained for at least the duration of employment plus thirty (30) years, except that the following types of records need not be retained for any specific period:
1. Health insurance claims records maintained separately from the employer's medical program and its records;
2. First aid records (not including medical histories) of one-time treatment and subsequent observation of minor scratches, cuts, burns, splinters, and the like which do not involve medical treatment, loss of consciousness, restriction of work or motion, or transfer to another job, if made on-site by a non-physician and if maintained separately from the employer's medical program and its records; and
3. The medical records of employees who have worked for less than (1) year for the employer need not be retained beyond the term of employment if they are provided to the employee upon the termination of employment.
(B) Employee Exposure Records. Each employee exposure record shall be preserved and maintained for at least thirty (30) years, except that:
1. Background data to environmental (workplace) monitoring or measuring, such as laboratory reports and worksheets, need only be retained for one (1) year so long as the sampling results, the collection methodology (sampling plan), a description of the analytical and mathematical methods used, and a summary of other background data relevant to interpretation of the results are retained for at least thirty (30) years;
2. Material safety data sheets shall be retained as necessary to comply with the provisions of section 5194. Where material safety data sheets are destroyed, a record of the identity (chemical name if known) of the substance or agent, where it was used, and when it was used shall be retained for at least thirty years; and
3. Section 3204(c)(5)(D) records concerning the identity of a substance or agent need not be retained for any specified period as long as some record of the identity (chemical name if known) of the substance or agent, where it was used, and when it was used is retained for at least thirty years.
4. Biological monitoring results designated as exposure records by specific occupational safety and health regulations shall be preserved and maintained as required by the specific regulation.
(C) Analyses Using Exposure or Medical Records. Each analysis using exposure or medical records shall be preserved and maintained for at least thirty (30) years.
(2) Nothing in this section is intended to mandate the form, manner, or process by which an employer preserves a record so long as the information contained in the record is preserved and retrievable, except that chest X-ray films shall be preserved in their original state.
(e) Access to Records.
(1) General.
(A) Whenever an employee or designated representative requests access to a record, the employer shall assure that access is provided in a reasonable time, place, and manner, but in no event later that fifteen (15) days after the request for access is made. Before the time for providing access has expired, an employer after notice to the employee or designated representative may, by notification to be followed in writing, request an extension of time from the Chief, Division of Occupational Safety and Health, which shall be granted upon a finding of good cause by the Chief.
(B) The employer may require of the requester only such information as should be readily known to the requester and which may be necessary to locate or identify the records being requested (e.g., dates and locations where the employee worked during the time period in question).
(C) Whenever an employee or designated representative requests a copy of a record, the employer shall assure that either:
1. A copy of the record is provided without cost to the employee or designated representative;
2. The necessary mechanical copying facilities (e.g. photocopying) are made available without cost to the employee or designated representative for copying the record; or
3. The record is loaned to the employee or designated representative for a reasonable time to enable a copy to be made.
(D) In the case of an original X-ray, the employer may restrict access to on-site examination or make other suitable arrangements for the temporary loan of the X-ray.
(E) Whenever a record has been provided previously without cost to an employee or designated representative, the employer may charge reasonable, non-discriminatory administrative costs (i.e., search and copying expenses but not including overhead expenses) for additional copies of the record.

Exceptions: 
1. An employer shall not charge for an initial request for a copy of new information that has been added to a record which was previously provided.
2. An employer shall not charge for an initial request by a recognized or certified collective bargaining agent for a copy of an employee exposure record or an analysis using exposure or medical records.
(F) Nothing in this section is intended to preclude employees and collective bargaining agents from collectively bargaining to obtain access to information in addition to that available under this section.
(G) Whenever an employee requests access to a specific written consent submitted to the employer, the employer shall comply pursuant to the provisions for affording employee access to records stipulated by sections 3204(e)(1)(A)-(C).
(2) Employee and Designated Representative Access.
(A) Employee Exposure Records.
1. Except as limited by section 3204(f), each employer shall, upon request, assure the access of each employee and designated representative to employee exposure records relevant to the employee. For the purpose of this section, exposure records relevant to the employee consist of:
a. A record containing measurements or monitoring results of the amount of a toxic substance or harmful physical agent to which the employee is or has been exposed;
b. In the absence of such directly relevant records, such records of other employees with past or present job duties or working conditions related to or similar to those of the employee to the extent necessary to reasonably indicate the amount and nature of the toxic substances or harmful physical agents to which the employee is or has been subjected; and
c. Exposure records to the extent necessary to reasonably indicate the amount and nature of the toxic substance or harmful physical agent at workplaces or working conditions to which the employee is being assigned or transferred.
2. Requests by designated representatives for unconsented access to employee exposure records shall be in writing and shall specify with reasonable particularity:
a. The records requested to be disclosed; and
b. The occupational health need for gaining access to these records.
(B) Employee Medical Records.
1. Each employer shall, upon request, assure the access of each employee to employee medical records of which the employee is the subject, except as provided in section 3204(e)(2)(B)4.
2. Each employer shall, upon request, assure the access of each designated representative to the employee medical records of any employee who has given the designated representative specific written consent.
NOTE: Appendix A to this section contains a sample form which may be used to establish specific written consent for access to employee medical records.
3. Whenever access to employee medical records is requested in accordance with section 3204(e)(2)(B)1 or 2, a physician representing the employer may recommend that the employee or designated representative: consult with the physician for the purposes of reviewing and discussing the records requested; accept a summary of material facts and opinions in lieu of the records requested; or accept release of the requested records only to a physician or other designated representative.
4. Whenever an employee requests access to his or her employee medical records and a physician representing the employer believes that direct employee access to information contained in the records regarding a specific diagnosis of a terminal illness or a psychiatric condition could be detrimental to the employee's health, the employer may deny the employee's request for direct access to this information only, and the employer shall inform the employee that access will only be provided to a designated representative of the employee having specific written consent.
5. Where a designated representative with specific written consent requests access to information withheld in accordance with section 3204(e)(2)(B)4, the employer shall assure the access of the designated representative to this information even when it is known that the designated representative will give the information to the employee.
NOTE: Nothing in this section precludes a physician, nurse, or other responsible health care personnel maintaining employee medical records from deleting from requested medical records the identity of a family member, personal friend, or fellow employee who has provided confidential information concerning an employee's health status.
(C) Analyses Using Exposure or Medical Records.
1. Each employer shall, upon request, assure the access of each employee and designated representative to each analysis using exposure or medical records concerning the employee's working conditions or workplace.
2. Whenever access is requested to an analysis which reports the contents of employee medical records by either direct identifier (name, address, social security number, payroll number, etc.) or by information which could reasonably be used under the circumstances indirectly to identify specific employees (exact age, height, weight, race, sex, date of initial employment, job title, etc.), the employer shall assure that personal identifiers are removed before access is provided. If the employer can demonstrate that removal of personal identifiers from an analysis is not feasible, access to the personally identifiable portions of the analysis need not be provided.
(3) Division of Occupational Safety and Health Access.
(A) Each employer shall, upon request, and without derogation of any rights under the Constitution of the United States, the Constitution of the State of California or the California Occupational Safety and Health Act of 1973, Labor Code sections 6300 et seq., that the employer chooses to exercise, assure the prompt access of representatives of the Chief of the Division of Occupational Safety and Health (DOSH) to employee exposure and medical records and to analyses using exposure or medical records.
(B) Whenever DOSH seeks access to personally identifiable employee medical information by presenting to the employer a written access order, the employer shall prominently post a copy of the written access order and its accompanying cover letter for at least fifteen (15) working days.
(f) Trade Secrets.
(1) Except as provided in section 3204(f)(2), nothing in this section precludes an employer from deleting from records requested by a health professional, an employee or designated representative any trade secret data which discloses manufacturing processes, or discloses the percentage of a chemical substance in a mixture, as long as the health professional, employee or designated representative is notified that such information has been deleted. Whenever deletion of trade secret information substantially impairs evaluation of the place where or the time when exposure to a toxic substance or harmful physical agent occurred, the employer shall provide alternative information which is sufficient to permit the requesting party to identify where and when exposure occurred.
(2) The employer may withhold the specific chemical identity, including the chemical name and other specific identification of a toxic substance from a disclosable record provided that:
(A) Evidence is included to support the claim that the information withheld is a trade secret;
(B) All other available information on the properties and effects of the toxic substance is disclosed;
(C) The employer informs the requesting party that the specific chemical identity is being withheld as a trade secrete; and
(D) The specific chemical identity is made available to health professionals,employees and designated representatives in accordance with the specific applicable provisions of this subsection, section 3204(f).
(3) Where a treating physician or nurse determines that a medical emergency exists and the specific chemical identity of a toxic substance is necessary for emergency or first-aid treatment, the employer shall immediately disclose the specific chemical identity of a trade secret chemical to the treating physician or nurse, regardless of the existence of a written statement of need or a confidentiality agreement. The employer may require a written statement of need and confidentiality agreement, in accordance with the provisions of section 3204(f)(4) and (f)(5), as soon as circumstances permit.
(4) In non-emergency situations, an employer shall, upon request, disclose a specific chemical identity, otherwise permitted to be withheld under section 3204(f)(2), to a health professional, employee, or designated representative if:
(A) The request is in writing;
(B) The request describes with reasonable detail one or more of the following occupational health needs for the information:
1. To assess the hazards of the chemicals to which employees will be exposed;
2. To conduct or assess sampling of the workplace atmosphere to determine employee exposure levels;
3. To conduct pre-assignment or periodic medical surveillance of exposed employees;
4. To provide medical treatment to exposed employees;
5. To select or assess appropriate personal protective equipment for exposed employees;
6. To design or assess engineering controls or other protective measures for exposed employees; and
7. To conduct studies to determine the health effects of exposure.
(C) The request explains in detail why the disclosure of the specific chemical identity is essential and that in lieu thereof, the disclosure of the following information would not enable the health professional, employee or designated representative to provide the occupational health services described in section 3204(f)(4)(B):
1. The properties and effects of the chemical;
2. Measures for controlling worker's exposure to the chemical;
3. Methods of monitoring and analyzing worker's exposure to the chemical; and
4. Methods of diagnosing and treating harmful exposures to the chemical.
(D) The request includes a description of the procedures to be used to maintain the confidentiality of the disclosed information; and
(E) The health professional, employee or designated representative and the employer or contractor of the services of the health professional or designated representative agree in a written confidentiality agreement that the health professional, employee or designated representative will not use the trade secret information for any purpose other than the health needs(s) asserted and agree not to release the information under any circumstances other than to DOSH, as provided in section 3204(f)(9), except as authorized by the terms of the agreement or by the employer.
(5) The confidentiality agreement authorized by section 3204(f)(4)(D):
(A) May restrict the use of the information to the health purposes indicated in the written statement of need;
(B) May provide for appropriate legal remedies in the event of a breach of the agreement, including stipulation of a reasonable pre-estimate of likely damages; and
(C) May not include requirements for the posting of a penalty bond.
(6) Nothing in this section is meant to preclude the parties from pursuing non-contractual remedies to the extent permitted by law.
(7) If the health professional, employee or designated representative receiving the trade secret information decides that there is a need to disclose it to DOSH, the employer who provided the information shall be informed by the health professional prior to, or at the same time as, such disclosure.
(8) If the employer denies a written request for disclosure of a specific chemical identity, the denial must:
(A) Be provided to the health professional, employee or designated representative within thirty days of the request:
(B) Be in writing;
(C) Include evidence to support the claim that the specific chemical identity is a trade secret;
(D) State the specific reasons why the request is being denied; and
(E) Explain in detail how alternative information may satisfy the specific medical or occupational health need without revealing the specific chemical identity.
(9) The health professional, employee or designated representative whose request for information is denied under section 3204(f)(4) may refer the request and the written denial of the request to DOSH for consideration.
(10) When a health professional, employee or designated representative refers a denial to DOSH under section 3204(f)(9), DOSH shall consider the evidence to determine if:
(A) The employer has supported the claim that the specific chemical identity is a trade secret;
(B) The health professional, employee or designated representative has supported the claim that there is a medical or occupational health need for the information; and
(C) The health professional, employee or designated representative has demonstrated adequate means to protect the confidentiality.
(11) (A) If DOSH determines that the specific chemical identity requested under section 3204(f)(4) is not a bona fide trade secret, or that it is a trade secret but the requesting health professional, employee or designated representative has a legitimate medical or occupational health need for the information and has executed a written confidentiality agreement with adequate means for complying with the terms of such agreement, the employer will be subject to citation by DOSH.
(B) If an employer demonstrates to DOSH that the execution of a confidentiality agreement would not provide sufficient protection against the potential harm from the unauthorized disclosure of a specific chemical identity trade secret, the Chief of DOSH may issue such orders or impose such additional limitations or conditions upon the disclosure of the requested chemical information as may be appropriate to assure that the occupational health needs are met without an undue risk of harm to the employer.
(12) Notwithstanding the existence of a trade secret claim, and employer shall, upon request, disclose to the Chief of DOSH any information which this section requires the employer to make available. Where there is a trade secret claim, such claim shall be made no later than at the time the information is provided to the Chief of DOSH so that dutiable determinations of trade secret status can be made and the necessary protection can be implemented.
(13) Nothing in this section shall be construed as requiring the disclosure under any circumstances of process or percentage of mixture information which is a trade secret.
(g) Employee Information.
(1) Upon an employee's first entering into employment, and at least annually thereafter, each employer shall inform current employees covered by this section of the following:
(A) The existence, location, and availability of any records covered by this section;
(B) The person responsible for maintaining and providing access to records; and
(C) Each employee's rights of access to these records.
(2) Each employer shall keep a copy of this section and its appendices and make copies readily available, upon request, to employees. The employer shall also distribute to current employees any informational materials concerning this section which are made available to the employer by the Chief of DOSH.
(h) Transfer of Records.
(1) Whenever an employer is ceasing to do business, the employer shall transfer all records subject to this section to the successor employer. The successor employer shall receive and maintain these records.
(2) Whenever an employer is ceasing to do business and there is no successor employer to receive and maintain the records subject to this standard, the employer shall notify affected employees of their rights of access to records at least three (3) months prior to the cessation of the employer's business.
(3) Whenever an employer either is ceasing to do business and there is no successor employer to receive and maintain the records, or intends to dispose of any records required to be preserved for at least thirty (30) years, the employer shall:
(A) Transfer the records to the Director of the National Institute for Occupational Safety and Health (NIOSH) if so required by a specific occupational safety and health standard; or
(B) Notify the Director of NIOSH in writing of the impending disposal of records at least three (3) months prior to the disposal of the records.
(4) Where an employer regularly disposes of records required to be preserved for at least thirty (30) years, the employer may, with at least three (3) month's notice, notify the Director of NIOSH on an annual basis of the records intended to be disposed of in the coming year.
(i) Appendices. The information contained in the appendices to this section is not intended, by itself, to create any additional obligations not otherwise imposed by this section or to detract from any existing obligation.

Appendix A
Sample Authorization Letter for the Release of Employee Medical Record Information to a Designated Representative 
I, _________________________________________, (full name of worker/patient) hereby authorize ________________ (individual or organization holding the medical records) to release to ________________ (individual or organization authorized to receive the medical information), the following medical information from my personal medical records:
(Describe generally the information desired to be released.)
I give my permission for this medical information to be used for the following purpose: ________________ , but I do not give permission for any other use or re-disclosure of this information.
(NOTE.--You may want to place additional restrictions on this authorization letter. For example, you may want to (1) specify a particular expiration date for this letter (if less than one year); (2) describe medical information to be created in the future that you intend to be covered by this authorization letter;or (3) describe portions of the medical information in your records which you do not intend to be released as a result of this letter.) [Your right of access to a specific written consent form submitted to your employer is provided by section 3204(e)(1)(D).]

Full name of Employee or Legal Representative 	

Signature of Employee or Legal Representative 	

Date of Signature 	

Appendix B
Availability of NIOSH Registry of Toxic Effects of Chemical Substances (RTECS)
Section 3204 applies to all employee exposure and medical records, and analyses thereof, of employees exposed to toxic substances or harmful physical agents [subsection (b)(2)]. The term“toxic substance or harmful physical agent” is defined by section 3204(c)(13) to encompass chemical substances, biological agents, and physical stresses for which there is evidence of harmful health effects. The regulation uses the latest printed edition of the National Institute for Occupational Safety and Health (NIOSH) Registry of Toxic Effects of Chemical Substances (RTECS) as one of the chief sources of information as to whether evidence of harmful health effects exists. If a substance is listed in the latest printed RTECS, the regulation applies to exposure and medical records (and analyses of these records) relevant to employees exposed to the substance.
It is appropriate to note that the regulation does not require that employers purchase a copy of RTECS; and many employers need not consult RTECS to ascertain whether their employee exposure or medical records are subject to the regulation. Employers who do not currently have the latest printed edition of the NIOSH RTECS, however, may desire to obtain a copy. The RTECS is issued in an annual printed edition as mandated by section 20(a)(6) of the Occupational Safety and Health Act [29 U.S.C. 669(a)(6)].
The Introduction to the 1980 printed edition describes the RTECS as follows:
“The 1980 edition of the Registry of Toxic Effects of Chemical Substances, formerly known as the Toxic Substances list, is the ninth revision prepared in compliance with the requirements of section 20(a)(6) of the Occupational Safety and Health Act of 1970 (Public Law 91-596). The original list was completed on June 28, 1971, and has been updated annually in book format. Beginning in October 1977, quarterly revisions have been provided in microfiche. This edition of the Registry contains 168,096 listings of chemical substances: 45,156 are names of different chemicals with their associated toxicity data and 122,940 are synonyms. This edition includes approximately 5,900 new chemical compounds that did not appear in the 1979 Registry.” (p. xi)
“The Registry's purposes are many, and it serves a variety of users. It is a single source document for basic toxicity information and for other data, such as chemical identifiers and information necessary for the preparation of safety directives and hazard evaluations for chemical substances. The various types of toxic effects linked to literature citations provide researchers and occupational health scientists with an introduction to the toxicological literature, making their own review of the toxic hazards of a given substance easier. By presenting data on the lowest reported doses that produce effects by several routes of entry in various species, the Registry furnishes valuable information to those responsible for preparing safety data sheets for chemical substances in the workplace. Chemical and production engineers can use the Registry to identify the hazards which may be associated with chemical intermediates in the development of final products, and thus can more readily select substitutes or alternate processes which may be less hazardous. Some organizations, including health agencies and chemical companies, have included the NIOSH Registry accession numbers with the listing of chemicals in their files to reference toxicity information associated with those chemicals. By including foreign language chemical names, a start has been made toward providing rapid identification of substances produced in other countries.” (p. xi)
“In this edition of the Registry, the editors intend to identify `all known toxic substances' which may exist in the environment and to provide pertinent data on the toxic effects from known doses entering an organism by any route described.” (p. xi)
“It must be reemphasized that the entry of a substance in the Registry does not automatically mean that it must be avoided. A listing does mean, however, that the substance has the documented potential of being harmful if misused, and care must be exercised to prevent tragic consequences. Thus, the Registry lists many substances that are common in everyday life and are in nearly every household in the United States. One can name a variety of such dangerous substances: prescription and non-prescription drugs; food additives; pesticide concentrates, sprays, and dusts; fungicides; herbicides; paints; glazes, dyes; bleaches and other household cleaning agents; alkalies; and various solvents and diluents. The list is extensive because chemicals have become an integral part of our existence.” (p. xiv)
The RTECS printed edition may be purchased from the Superintendent of Documents, U.S. Government Printing Office (GPO), Washington, D.C. 20402 (202-783-3238).
Some employers may also desire to subscribe to the quarterly update to the RTECS which is published in a microfiche edition. An annual subscription to the quarterly microfiche may be purchased from the GPO (Order the “Microfiche Edition, Registry of Toxic Effects of Chemical Substances”). Both the printed edition and the microfiche edition of RTECS are available for review at many university and public libraries throughout the country. The latest RTECS editions may also be examined at the OSHA Technical Data Center, Room N2439--Rear, United States Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210 (202-523-9700), or at any OSHA Regional or Area Office (See, major city telephone directories under United States Government--Labor Department).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section (including Appendices A and B) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12). For prior history, see Registers 74, No. 43; 72, No. 23; 72, No. 19; and 72, No. 6.
2. Amendment of subsection (d)(1)(B) filed 12-23-81; effective thirtieth day thereafter (Register 81, No. 52).
3. Editorial correction of subsection (e)(3) filed 12-23-81; effective upon filing (Register 81, No. 52).
4. Amendment filed 6-18-90; operative 7-18-90 (Register 90, No. 33).
§3205. “Shall” and “Should.” [Repealed]
Note     •     History

HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
§3206. Approvals.
Note     •     History

(a) Approvals.
(1) When the term “approved” is used in these orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to applicable governmental or other nationally recognized standards, or applicable scientific principles. The approval, listing, labeling, or certification of conformity, shall be based upon an evaluation performed by a person, firm, or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation.

Exception: Where written approval by the Division is required in these orders.
(2) The term “approved” shall also refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified by a Nationally Recognized Testing Laboratory (NRTL). 
(b) The division may require proof in addition to that under (a) that the products, materials, devices, systems, or installations will provide reasonable safety under the conditions of use. 
(c) When these orders require an approval of products, materials, devices, systems, or installations and that approval is not available under (a), it will be necessary to submit to the division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The division will then approve or disapprove the product, material, device, system, or installation as submitted or under specified conditions. 
(Title 24, Part 2, Section 2-110.) 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code. 
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). For history of former section, see Register 72, No. 23. 
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Repealer and new section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42). 
4. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
5. Amendment of subsection (a) filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
Group 1. General Physical Conditions and Structures
Article 1. Definitions
§3207. Definitions.
Note     •     History

(a) The following terms are defined for general use in these regulations; specialized definitions appear in individual articles. (See Definitions in the Index) 
Access. A means of reaching a work space of a work area. 
Accessible. Within reach from a work space or work area. 
Accessible Location. A location which can be reached by an employee standing on the floor, platform, runway, or other permanent working area. 
Adequate. Sufficient to reduce the risk to an acceptable minimum. 
Agricultural Building. A building located on agricultural property and used to shelter farm implements, hay, grain, poultry, livestock, or other farm produce, in which there is no human habitation, and which is not used by the public. 
Alternating Tread Stairs. A stair on which the treads are approximately one-half the width of the stair and alternate from right to left, consecutively, for the length of the stair. 
ANSI. American National Standards Institute. 
Approvals. See Section 3206. 
Assembly Building. A building or portion of a building: 
(A) Used or intended to be used for the gathering together of 50 or more persons for such purposes of amusement, entertainment, instruction, deliberation, worship, drinking, or dining, awaiting transportation or education, or;
(B) Any building or structure or portion thereof used or intended to be used for the showing of motion pictures when an admission fee is charged and when such buildings or structure is open to the public and has a capacity of 10 or more persons.
Attic Story. Any story immediately below the roof and wholly or partly within the roof framing, designed, arranged, or built for business or storage use. 
Authorized (in reference to an employee's assignment). Selected by the employer for that purpose. 
Balcony, Exterior Exit. A landing or porch projecting from the wall of a building, and which serves as a required means of egress. The long side shall be at least 50 percent open, and the open area above the guardrail shall be so distributed as to prevent the accumulation of smoke or toxic gases. 
Basement. That portion of a building between floor and ceiling, which is partly below and partly above grade but so located that the vertical distance from grade to the floor below is less than the vertical distance from grade to ceiling. (See “Story.”) 
Bite. The nip point between two in-running rolls. 
Boiler, High Pressure. A boiler furnishing steam at pressures in excess of 15 pounds per square inch or hot water at temperatures in excess of 250o F, or at pressures in excess of 160 pounds per square inch. 
Boiler, Low Pressure Hot Water. A boiler furnishing hot water at pressures not exceeding 160 pounds per square inch, or at temperatures of 250 degrees and below. 
Boiler, Low Pressure Steam. A boiler furnishing steam at or below 15 pounds per square inch. 
Boiler Room. Any room containing a steam or hot water boiler. 
Bond. An electrical connection from one conductive element to another for the purpose of minimizing potential differences or providing suitable conductivity for fault current or for mitigation of leakage current and electrolytic action. 
Building. Any structure as to which state agencies have regulatory power, built for support, shelter, housing or enclosure of persons, animals, chattels, equipment, or property of any kind, and also includes structures wherein things may be grown, made, produced, kept, handled, stored, or disposed of. All appendages, accessories, apparatus, appliances, and equipment installed as a part of a building or structure shall be deemed to be a part thereof, but “building” shall not include machinery, equipment, or appliances installed for manufacture or process purposes only, nor shall it include any construction installations which are not a part of a building, any tunnel, mine shaft, highway, or bridge, or include any house trailer or vehicle which conforms to the Vehicle Code. 
Building, Existing. See Section 3202. 
CAC. California Administrative Code. 
Calendar. A machine equipped with two or more metal rolls revolving in opposite directions and used for continuously sheeting or plying up rubber and plastics compounds and for frictioning or coating materials with rubber and plastics compounds. 
Catwalk (Maintenance Runway). Narrow elevated level or inclined walkway not intended as a routine passageway, but normally used as access for special purposes such as light maintenance, adjustment, inspection, or observation. 
Cellar. That portion of a building between floor and ceiling which is wholly or partly below grade and so located that the vertical distance from grade to the floor below is equal to or greater than the vertical distance from grade to ceiling. (See “Story.”) 
Certified Safety Professional or CSP. A safety professional who has met education and experience standards, has demonstrated by examination the knowledge that applies to professional safety practice, continues to meet recertification requirements established by the Board of Certified Safety Professionals (BCSP), and is authorized by BCSP to use the Certified Safety Professional designation.
Court. An open, uncovered and unoccupied space, unobstructed to the sky, bounded on three or more sides by exterior building walls. 
Court (enclosed). A court bounded on all sides by the exterior walls of a building or exterior walls and lot lines on which walls are allowable.
Crossover. A means to allow employees to pass over or cross a horizontal belted or live roller conveyor without the employee's feet coming into contact with moving or movable elements of the conveyor. Such means shall include, but are not limited to, catwalks as specified in Section 3273 of these Orders, non-continuous, slip resistant (e.g. raised diamond-studded) metal “stepping stones” (e.g. “walking pads”), or replacing conveyor rollers with continuous parallel metal strip walking surfaces (“crosswalks”).
Dead Load. The dead load of a building shall include the weight of the walls, permanent partitions, framing, floors, roofs, and all other permanent stationary construction entering into and becoming a part of a building. 
Division. The Division of Occupational Safety and Health. 
Dockboard (Dock Plate). A portable or fixed device for spanning the gap or compensating for difference in level between loading platforms and carriers. 
Doors. 
(A) Automatic-Closing Doors are those which are normally open but will close at the time of fire. A door may be made automatic closing by the installation of a closing device and a separate, labeled, fail-safe door-holder/release device or a hold-open mechanism which may be an integral part of the basic closing device, provided the hold-open mechanism is released by one or a combination of automatic fire detectors acceptable to the authority having jurisdiction. 
(B) Power-Operated Fire Doors are those which are normally opened and closed by power. They shall be equipped with a releasing device which will automatically disconnect the power operator at the time of fire, allowing a self-closing or automatic device to close the door irrespective of power failure or manual operation. 
(C) Self-Closing Doors are those which, when opened, return to the closed position. The door shall swing easily and freely and shall be equipped with a closing device to cause the door to close and latch each time it is opened. The closing mechanism shall not have a hold-open feature. 
Emergency Action Plan. A plan for a workplace, or parts thereof, describing what procedures the employer and employees must take to ensure employee safety from fire or other emergencies. 
Emergency Escape Route. The route that employees are directed to follow in the event they are required to evacuate the workplace or seek a designated refuge area. 
Equivalent. An alternate design, feature, device, or protective action which provides an equal degree of safety. 
Exit. A continuous and unobstructed means of egress to a public way, and shall include intervening doors, doorways, corridors, exterior exit balconies, ramps, stairways, smokeproof enclosures, horizontal exits, exit passageways, exit courts, and yards. 
Exit Passageway. An enclosed means of egress connecting a required exit or exit court with a public way.
Fire Wall. A fire wall may be broadly defined as a wall erected to prevent the spread of fire. To be effective, fire walls must have sufficient fire resistance to withstand the effects of the most severe fire that may be expected to occur in the building and must provide a complete barrier to the spread of fire. Any openings in a fire wall must be suitably protected. 
Floor Area. The area included within the surrounding exterior walls of a building or portion thereof, exclusive of vent shafts and courts. The floor area of a building, or portion thereof, not provided with surrounding exterior walls shall be the usable area under the horizontal projection of the roof or floor above. 
Floor Hole. Any opening in a floor or platform which is smaller than a floor opening. 
Floor Opening. An opening in any floor or platform, 12 inches or more in the least horizontal dimension. It includes stairway floor openings, ladderway floor openings, hatchways, and chute floor openings.
Flume. An elevated artificial channel or trough for conducting water. Water flumes may be constructed of wood, metal or concrete or combination of the preceding. They may be either open on top or partially covered by rigid members (caps) laid across the flume perpendicular to the water flow.
Flume Patrol. The on-site assessment/inspection of a flume's physical condition, and/or structural integrity conducted by a qualified person. The qualified person may inspect the flume or portions thereof from ground level, and/or from an elevated catwalk/walkway located above or along the flume.
Frequent. For the purpose of these orders frequent shall mean more than twelve times each year unless specifically stated otherwise in individual orders. 
Fumigant. A substance or mixture of substances, used to kill pests or prevent infestation, which is a gas or is rapidly or progressively transformed to the gaseous state, even though some nongaseous or particulate matter may remain and be dispersed in the treatment space. 
Gantry Truck. An automotive vehicle so designed and constructed that it straddles the load to be transported, and by means of appropriate mechanisms, picks up the load and supports it during transportation. 
Grade (Adjacent Ground Elevation). The lowest point of elevation of the finished surface of the ground, paving or sidewalk, within the area between the building and the property line, or when the property line is more than 5 feet from the building, between the building and a line 5 feet from the building. 
Grounded, Effectively. Intentionally connected to earth through a ground connection or connections of sufficiently low impedance and having sufficient current-carrying capacity to prevent the build-up of voltages which may result in undue hazard to connected equipment or persons. 
Guardrail. A vertical barrier erected along the open edges of a floor opening, wall opening, ramp, platform, runway, or other elevated area to prevent falls of persons. 
Handrail. A device to be used as a handhold.
Hazard, Extra. Areas where the amount of combustibles or flammable liquids present is such that fires of severe magnitude may be expected. These may include woodworking, auto repair, aircraft servicing, warehouses with high-piled (over 15 feet in solid piles, over 12 feet in piles that contain horizontal channels) combustibles and processes such as flammable liquid handling, painting, dipping, etc. 
Hazard, High. Areas where the contents are classified as liable to burn with extreme rapidity or from which poisonous fumes or explosions are to be feared in the event of fire. 
Hazard, Light. Areas where the amount of combustibles or flammable liquids present is such that fires of small size may be expected. These may include offices, schoolrooms, churches, assembly halls, telephone exchanges, etc. 
Hazard, Low. Areas where the contents are classified as being of such low combustibility that no self propagating fire therein can occur and that consequently the only probable danger requiring the use of emergency exits will be from panic, fumes, or smoke, or fire from some external source. 
Hazard, Ordinary. Where the amount of combustibles or flammable liquids present is such that fires of moderate size may be expected. These may include mercantile storage and display, auto showrooms, parking garages, light manufacturing, warehouses not classified as extra hazard, school shop areas, etc. 
Hazardous Substance. One which by reason of being explosive, flammable, toxic, poisonous, corrosive, oxidizing, irritant, or otherwise harmful is likely to cause injury. 
Horizontal Exit. A way of passage from one building to an area of refuge in another building on approximately the same level, or a way of passage through or around a wall or partition to an area of refuge on approximately the same level in the same building, which affords safety from fire or smoke from the area of escape and areas communicating therewith. 
Inaccessible Location. A location to which access is provided only by portable ladders or other portable temporary means. 
Industrial Stairs. A series of steps leading from one level or floor to another, or leading to platforms, pits, boiler rooms, crossovers, or around machinery, tanks, and other equipment. A series of steps and landings having three or more risers constitutes an industrial stair or stairway.
Installation. An entire plant with all its accessories or any machine, tool, equipment, process, apparatus, subject or item covered under these orders. 
Institutional Occupancy. The occupancy or use of a building or structure or any portion thereof by persons harbored or detained to receive medical, charitable or other care or treatment, or by persons involuntarily detained. 
Landing. An extended step or platform breaking a continuous run of steps or ramps. 
Listed. See Section 3206, Approvals. 
Live Load. The live load includes all loads except dead and lateral loads. 
Loading Ramp. A readily moveable or portable surface of fixed or adjustable slope designed to facilitate transfer of cargo or materials handling equipment to bridge the space between a vehicle and a receiving level or area. 
Mercantile Occupancy. The occupancy or use of a building or structure or any portion thereof for the displaying, selling or buying of goods, wares, or merchandise. 
Mezzanine or Mezzanine Floor. An intermediate floor placed in any story or room. When the total area of any such “Mezzanine Floor” exceeds 33 1/3 percent of the total floor area in that room, it shall be considered as constituting an additional “Story.” The clear height above or below a “Mezzanine Floor” construction shall be not less than 7 feet. 
Microtome. A device that cuts extremely thin slices of material for microscopic study. Microtomes include hand-powered (manual), semi-automatic and automatic units. This equipment also may be called a “histotome” or “cryostat”.
Mill. A machine consisting of two adjacent metal rolls, set horizontally, which revolve in opposite directions (i.e., toward each other as viewed from above) used for the mechanical working of rubber and plastics compounds. 
Nationally Recognized Testing Laboratory (NRTL). A laboratory which has been recognized by the Department of Labor, Occupational Safety and Health Administration (OSHA) as meeting the requirements of 29 CFR 1910.7. 
New Installation. 
(A) An installation made after these Orders become effective. 
(B) An existing fixed installation materially altered or otherwise materially changed after the date these Orders become effective. Materially altered or materially changed as used above does not mean the replacement of parts, maintenance, or the installation of devices designed to decrease the hazard of installation. 
Noncombustible as applied to building construction material means a material which, in the form in which it is used, is either one of the following: 
1. Material of which no part will ignite and burn when subjected to fire. Any material conforming to U.B.C. Standard No. 4-1 shall be considered noncombustible within the meaning of this section. 
2. Material having a structural base of noncombustible material as defined in Item No. 1 above, with a surfacing material not over 1/8 inch thick which has a flame-spread rating of 50 or less. 
“Noncombustible” does not apply to surface finish materials. Material required to be noncombustible for reduced clearances to flues, heating appliances or other sources of high temperature shall refer to material conforming to Item No. 1. No material shall be classed as noncombustible which is subject to increase in combustibility or flame-spread rating, beyond the limits herein established, through the effects of age, moisture or other atmospheric condition. Flame-spread rating as used herein refers to rating obtained according to tests conducted as specified in U.B.C. Standard No. 42-1. 
Nose, Nosing. That portion of a tread projecting beyond the face of the riser immediately below. 
Occupancy. The purpose for which a building is used or intended to be used. The term shall also include the building or room housing such use. Change of occupancy is not intended to include change of tenants or proprietors. 
Office Occupancy. The occupancy or use of a building or structure or any portion thereof for the transaction of business, or the rendering or receiving of professional services. 
Occupant Load. The total number of persons that may occupy a building or portion thereof at any one time. 
Open Riser. The air space between the treads of stairways without upright members (risers). 
Panic Hardware. A bar which extends not less than one-half the width of each door leaf, not less than 30 nor more than 44 inches above the floor, which will unlatch the door when a force to the bar not to exceed 15 pounds is applied in the direction of exit travel.
Personal Fall Arrest System. A system used to arrest an employee in a fall from a working level. It consists of an anchorage, connectors, body harness and may include a lanyard, deceleration device, lifeline, or suitable combinations of the aforementioned components/devices.
Personal Fall Protection System. A personal fall protection system includes personal fall arrest systems, positioning device systems, fall restraint systems, safety nets and guardrails.
Personal Fall Restraint System. A system used to prevent an employee from falling. It consists of an anchorage, connectors, and body belt/harness. It may include, lanyards, lifelines, and rope grabs designed for that purpose.
Platform. An elevated working level for persons. Storage platforms, balconies and open-sided floors are considered platforms for the purpose of these orders. 
Positioning Device System. A body belt or body harness system rigged to allow an employee to be supported on an elevated surface, such as a wall, and work with both hands free while leaning.
Private Stairway. A stairway serving one tenant only. 
Public Way. Any parcel of land unobstructed from the ground to the sky, more than 10 feet in width, appropriated to the free passage of the general public. 
Pyroxylin Plastic. Any plastic substance, material, compound, other than nitro-cellulose film, having soluble cotton or similar nitro-cellulose as a base, including celluloid, fiber-loid, pyralin, viscoloid, zylonite and similar products, materials and compounds by whatever name known, when in the form of blocks, slabs, sheets, tubes or fabricated shapes. 
Qualified Person, Attendant or Operator. A person designated by the employer who by reason of his training and experience has demonstrated his ability to safely perform his duties and, where required, is properly licensed in accordance with federal, state, or local laws and regulations.
Ramp. Inclined passageway connecting two levels and usually used for pedestrian traffic; does not include catwalks or stairs. 
Ramp, Industrial. Permanently installed inclined passageway connecting two levels and designed primarily for industrial trucks; does not include portable ramps, dockboards, dock levelers, or catwalks.
Required Exit. A means of egress required by these orders. 
Rise. The vertical distance from the top of a tread to the top of the next higher tread.
Riser. The upright member of a step situated at the back of a lower tread and near the leading edge of the next higher tread.
Rope Access. The use of rope access equipment where ropes are used as the primary means of support, as a means of protection or positioning, and where an employee descends or ascends on a rope, or traverses along a rope.
Rope Access Equipment. Specialized equipment approved for use with rope access techniques to suspend, support, position or protect an employee.
Runway. An elevated passageway. Runways are sometimes referred to as catwalks, footwalks, elevated walkways, oilers' platforms or maintenance runways.
Shall. A mandatory requirement. 
Shear Point. The immediate area where two or more machine elements pass in close contact, creating a shearing action hazardous to employees. The elements may be in any form of motion, or one may be at rest. 
Ship Stair (Ships Ladder). A fixed ladder within the pitch range of 50 to 75 degrees with the horizontal, equipped with treads and stair rails.
Should. A recommendation. 
Skirt Guard. In relation to vertical closing shear hazards a vertical member which prohibits entry of human body parts within the vertical plane of the shear zone. 
Spiral stairway (Circular Stairway.) One with closed circular form, uniform sector-shaped treads and a supporting column. 
Stair Railing. A vertical barrier constructed along the open side or sides of stairways and as intermediate stair rails where required on wide stairways.
Stairway. Two or more risers shall constitute a stairway. 
Storage Access Aisle. An aisle, from which pedestrian traffic is excluded during truck operation, designed for the passage of a single industrial truck. 
Story. That portion of a building included between the upper surface of any floor and the upper surface of the floor next above, except that the topmost story shall be that portion of a building included between the upper surface of the topmost floor and the ceiling or roof above. If the finished floor level directly above a basement, cellar or unused underfloor space is more than 6 feet above grade as defined herein for more than 50 percent of the total perimeter or is more than 12 feet above grade as defined herein at any point, such basement, cellar or unused underfloor space shall be considered as a story.
Structure. That which is built or constructed, an edifice or building of any kind, or any piece of work artificially built up or composed of parts joined together in some definite manner. 
Suitable. Capable of performing with safety the particular function specified in these regulation.
Toeboard. A vertical barrier erected along the open edges of floor openings or floor holes, platforms, and runways.
Toe Plate (deflector type). In relation to vertical closing shear hazards a smooth metal plate not less than 8 inches wide and not less than 11 gauge thickness, attached flush with the vertical edge of the upper member of the shear, slanted downward and inward at an angle of approximately 30 degrees from the vertical. 
Traffic Aisle. An aisle used by industrial vehicles and pedestrians during normal operations.
Tread. The horizontal member of a step. 
Tread Depth. The horizontal distance from front to back of tread including nosing when used.
Tread Run. The horizontal distance from the leading edge of a tread to the leading edge of an adjacent tread.
Wall Opening. An opening in a wall or partition not provided with glazed sash, having a height of at least 30 inches and a width of at least 18 inches, through which a person might fall to a level 30 inches or more below. 
Water Heater. An appliance intended to provide hot water for domestic purposes and complying with all of the following: 
(A) The heater does not have more than 120-gallon capacity. 
(B) The heater is used only for heating service water. 
(C) The operating control on all automatically controlled heaters is installed by the manufacturer and is of a type that cannot be regulated to increase the water temperature at the top of the heater to more than 200oF.
(D) A non-adjustable control is installed on all automatically controlled heaters by the manufacturer and set to shut off the heat input when the temperature at the top of the heater is 210o F or less. This control and the necessary fuel valve, switch, etc., shall be separate from the operating mechanisms required in (C) above. 
(E) The heater is protected against over-pressure with an ASME or AGA rated relief valve set to open at not more than the maximum allowable working pressure of the heater and having a relieving capacity in BTU/hr at least equal to the burner output.
Working Level or Working Area. A platform, walkway, runway, floor or similar area fixed with reference to the hazard and used by employees in the course of their employment. This does not include ladders or portable or temporary means used for access, repair or maintenance, provided such means are removed immediately upon completion of the work.
Yard. An open, unoccupied space, other than a court, unobstructed from the ground to the sky. 
Yard Hole. An opening in a yard or pavement smaller than a yard opening. 
Yard Opening. An opening in a yard or pavement, 12 inches or more in the least horizontal dimension. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (a) filed 6-3-85; effective thirtieth day thereafter (Register 85, No. 23). For prior history, see Register 84, No. 50. 
2. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39). 
3. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
4. Amendment filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
5. New definitions added in alphabetical order to subsection (a) for “Flume” and “Flume Patrol” and amendment of Note filed 6-7-96; operative 7-7-96 (Register 96, No. 23).
6. Amendment adding new definitions for ``Personal Fall Arrest System,” “Personal Fall Protection System,” ``Personal Fall Restraint System” and ``Positioning Device System” filed 10-4-99; operative 11-3-99 (Register 99, No. 41). 
7. Amendment adding new definition for ``Crossover” filed 2-17-2000; operative 3-18-2000 (Register 2000, No. 7).  
8. New definitions of ``Rope Access” and ``Rope Access Equipment” filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
9. Change without regulatory effect amending section and Note filed 3-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 11).
10. New definition of “Certified Safety Professional or CSP” filed 8-29-2011; operative 9-28-2011 (Register 2011, No. 35).
11. New definition of “Microtome” filed 8-7-2012; operative 9-6-2012 (Register 2012, No. 32).
Article 2. Standard Specifications
§3209. Standard Guardrails.
Note     •     History

Wherever guardrail protection is required, the following standards shall be adhered to except that other types and arrangements of guardrail construction will be acceptable where the height, surface and end projection of the top rail complies with the standard specifications and the closure of the vertical area between the top rail and floor, platform, runway, or ramp provides protection at least equivalent to that afforded by a mid-rail.
(a) A standard guardrail shall consist of top rail, midrail or equivalent protection, and posts, and shall have a vertical height within the range of 42 inches to 45 inches from the upper surface of the top rail to the floor, platform, runway, or ramp level. (Note: the permissible tolerance on height dimensions is one inch). The top rail shall be smooth-surfaced throughout the length of the railing. The midrail shall be approximately halfway between the top rail and the floor, platform, runway, or ramp. The ends of the rails shall not overhang the terminal posts, except where such overhang does not constitute a projection hazard. (Title 24, Part 2, Section 2-1716(a).)

Note: Local building regulations may require 9-inch spacing of midrails.
(b) All guardrails and other permissible types, including their connections and anchorage, shall be designed for a live load of 20 pounds per linear foot applied either horizontally or vertically downward at the top rail. Dimensional details of railing members of a few types of construction which comply with this strength requirement are given hereinafter in subsection (c).

Note: It is recognized that the minimum value of railing strength here specified is inadequate for safety under operating conditions where railings are liable to receive heavy stresses from crowds, trucking, handling materials, etc. For such conditions, additional strength shall be provided by use of heavier stock, closer spacing of posts, bracing, or otherwise.
Railing members shall be framed in such a position that they will afford the greatest support and protection, for example, top rails of structural steel angles shall have the outside face of vertical leg located on the side adjacent to the side of normal contact by the employee. (Title 24, Part 2, Section 2-1716(b).)
(c) The following are some acceptable guardrail specifications: other combinations will be accepted as long as equivalent strength and protection are maintained.
(1) In wooden construction, the posts to be of at least 2-inch by 4-inch nominal material spaced not to exceed 6 feet, the top rails to be smooth with corners rounded and not less than 2-inch by 4-inch nominal material. The posts may be spaced on 8-foot centers if the top rails consist of double 1-inch by 4-inch nominal boards, provided that 1 board is fastened in a flat position on top of the posts and the other is fastened in an edge-up position to the inside of the posts and the side of the top board. Single midrails, where permitted, shall be not less than 2-inch by 4-inch nominal material and installed on the contact side of the guardrail.
(2) If constructed of standard metal pipe, the top rails and single midrail, where permitted, to be 1 1/2-inch outside diameter or larger. The posts to be 1 1/2-inch outside diameter or larger, the spacing not to exceed 8 feet.
(3) Guardrails installed on or before May 26, 2011. If constructed of structural metal, the top rails to be angle iron of at least 2-inch by 2-inch by 1/4-inch angles or other metal shapes of equivalent bending strength; and the single midrail, where permitted, to be iron or steel of at least 2-inch by 2-inch by 1/4-inch angles or other metal shapes of equivalent strength. The posts to be angle iron of at least 2-inch by 2-inch by 1/4-inch stock, the spacing not to exceed 8 feet.
(4) Guardrails installed after May 26, 2011. If constructed of structural metal, the top rails to be angle iron of at least 2-inch by 2-inch by 3/8-inch angles or other metal shapes of equivalent bending strength; and the single midrail, where permitted, to be iron or steel of at least 2-inch by 2-inch by 3/8-inch angles or other metal shapes of equivalent strength. The posts to be angle iron of at least 2-inch by 2-inch by 3/8-inch stock, the spacing not to exceed 8 feet.
(d) Where toeboards are required, they shall be constructed of wood, concrete, metal, or other suitable material. Where constructed of metal grille, mesh shall not exceed 1-inch. The top of the toeboard shall be not less than 3 1/2 inches above the platform, walkway, or other working level and the bottom clearance shall not exceed 1/4-inch.

Note: Where materials are piled, higher toeboards, or paneling from floor to intermediate rails or top rail shall be provided where necessary for safety. (Title 24, Part 2, Section 2-1753.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(1) filed 1-18-78; effective thirtieth day thereafter (Register 78, No. 3). For prior history, see Register 77, No. 41.
2. Repealer of NOTE in subsection (c)(4) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
4. Amendment of subsection (c)(3) and new subsection (c)(4) filed 4-26-2011; operative 5-26-2011 (Register 2011, No. 17).

Figure SG-1
SOME ACCEPTABLE INDUSTRIAL GUARDRAILS AND TOEBOARDS

View Graphic
Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbered from Figure IG-1 and amendment filed 9-3-76; effective thirtieth day thereafter (Register 76, No. 36).
2. Renumbered from Figure G-1 and amendment filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
3. New NOTE filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22).
4. Change without regulatory effect providing more legible illustration for Figure SG-1 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§3210. Guardrails at Elevated Locations.
Note     •     History

(a) Buildings. Guardrails shall be provided on all open sides of unenclosed elevated work locations, such as: roof openings, open and glazed sides of landings, balconies or porches, platforms, runways, ramps, or working levels more than 30 inches above the floor, ground, or other working areas of a building as defined in Section 3207 of the General Industry Safety Orders. Where overhead clearance prohibits installation of a 42-inch guardrail, a lower rail or rails shall be installed. The railing shall be provided with a toeboard where the platform, runway, or ramp is 6 feet or more above places where employees normally work or pass and the lack of a toeboard could create a hazard from falling tools, material, or equipment.

Exceptions: 

1. Runways used exclusively for oiling, adjusting or otherwise maintaining shafting or other machinery may have the guardrail on the side adjacent to the machinery omitted provided that additional guarding as required by Group 6 Power Transmission Equipment, Prime Movers, Machines and Machine Parts is complied with.

2. Stationary elevated platforms secured to buildings or structures used exclusively for the service and maintenance of overhead bridge cranes and similar mobile equipment may be equipped with removable railings in lieu of guardrails on the side adjacent to the machinery provided such railings are secured against falling when they are not serving as a protective railing. In existing installations where clearance prohibits railings on the outside of the platform, railings will be permitted on the building side to serve as handholds.

3. Portions of loading or storage platforms which are used primarily for loading or unloading railroad cars or trucks, or at waterside edges used for cargo handling.

4. Open-sided platforms or floors used for storage of lumber or other materials may be guarded with movable single rails, sliding panels, gates or other barriers provided they are of strength and design equivalent to guardrails.

5. Open sides of storage platforms less than four feet wide, or portions thereof which are loaded and unloaded exclusively by means of stackers or lift trucks handling pallet supported loads.

6. Glazed sides that are in compliance with Section 3242.

7. Open hearth and hot metal pouring platforms.

8. Platforms, runways, ramps, or other working levels less than 4 feet above floor, ground, or other working level constructed prior to January 1, 1967.

9. Theatre galleries, balconies, or other such elevated seating locations, where a 42-inch railing would obstruct the sight lines, may be protected by a guardrail or other barrier of not less than 34 inches in height provided that a horizontal concave safety ledge not less than 6 inches in depth and not less than 36 inches in effective width is installed beyond the railing at the balcony floor level. The safety ledge shall be designed to carry a live load of 100 pounds per square foot.

10. On outside plaza, patio, and garden areas, alternate means of protection are acceptable if the same degree of safety is provided.

11. Elevated locations used infrequently by employees if the employees using them are protected by a fall restraint/fall arrest system used in accordance with the requirements in Article 24 of the Construction Safety Orders.

12. On fire hose drying towers, the top rail may be omitted on the inboard or working side of the platform if the hose drying fingers or hangers are spaced not more than 6 inches apart and extend the full length of the platform along the open or working side to within 6 inches of the end rails. The ends of the fingers or hangers shall be positioned at the same height as prescribed for the top rail and within 5 inches from the vertical projection of the platform edge.

13. On the auditorium side of a stage, raised platforms and other raised floor areas such as runways, ramps and side stages used for entertainment or presentation. At vertical openings in the performance area of stages.
(b) Other Elevated Locations. The unprotected sides of elevated work locations that are not buildings or building structures where an employee is exposed to a fall of 4 feet or more shall be provided with guardrails. Where overhead clearance prohibits installation of a 42-inch guardrail, a lower rail or rails shall be installed. The railing shall be provided with a toeboard where the platform, runway, or ramp is 6 feet or more above places where employees normally work or pass and the lack of a toeboard could create a hazard from falling tools, material, or equipment.

Exceptions: 

1. Runways used exclusively for oiling, adjusting or otherwise maintaining shafting or other machinery may have the guardrail on the side adjacent to the machinery omitted provided that additional guarding as required by Group 6-Power Transmission Equipment, Prime Movers, Machines and Machine Parts is complied with.

2. Portions of loading or storage platforms which are placed or located next to railroad cars or trucks and used primarily for loading or unloading railroad cars or trucks, or at waterside edges used for cargo handling.

3. Open sides of storage platforms less than four feet wide, or portions thereof which are loaded and unloaded exclusively by means of stackers or lift trucks handling pallet supported loads.

4. Portable platforms, portable or fixed workstands, where used in close quarters which would make the installation of guardrails impracticable, may be provided with removable or hinged railings which can be either removed or swung out of the way during such work. Toeboards may not be required on portable or fixed platforms where the nature of the work requires the employees to sit on the edge of the platform.

5. Elevated locations used infrequently by employees if the employees using them are protected by a fall restraint/fall arrest system used  in accordance with the requirements in Article 24 of the Construction Safety Orders.

6. Flumes when they are accessed by an employee for the purpose of conducting a flume patrol (as defined in Section 3207), and provided the employer implements either written administrative procedures or provides alternative means which will control the hazard of an employee fall off the flume.

7. Belt loaders or conveyors designed and used for access/egress to aircraft shall be equipped with at least one handrail that will furnish a handhold for anyone grasping it to avoid falling.

8. Working on or in aircraft wheel wells when the wheel well design does not permit the use of guardrails or other fall protection equipment/devices.

9. On mobile vehicles/equipment, where the design or work processes make guardrails impracticable, the use of sufficient steps and attached handholds or structural members which allow the user to have a secure hand grasp shall be permitted. Work from the decks, permanent/stationary platforms, runways, or walkways of mobile vehicles/equipment shall be excluded from the requirements of subsection (b) where it can be shown that guardrails or handholds are impracticable by the design or work processes.

10. Where design or erection, dismantling, inspection, repair, maintenance and adjustment processes make installation of guardrails impracticable on portable amusement rides, employees shall be provided and shall install and use personal fall protection equipment in accordance with the rquirements of Section 1670 of the Construction Safety Orders. 
(c) Where the guardrail requirements of subsections (a) and (b) are impracticable due to machinery requirements or work processes, an alternate means of protecting employees from falling, such as personal fall protection systems, shall be used.
(d) Openings in guardrails for ladderway access shall be protected as required by Section 3212(a)(2) of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 3210 to Section 3207 and new Section 3210 filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25). For history of former Section 3210, see Register 75, No. 10.
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. New subsection (a)(12) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Amendment of subsection (a)(1), (a)(11), (a)(12) and new (a)(13) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
5. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 2). Approved by State Building Standards Commission 1-24-83.
6. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
7. New subsection (a)14. and amendment of Note filed 6-7-96; operative 7-7-96 (Register 96, No. 23).
8. New subsection (a)14. and amendment of subsection (b) and Note filed 3-4-97; operative 4-3-97 (Register 97, No. 10).
9. Change without regulatory effect renumbering duplicate subsection (a)14. to new subsection (a)15. filed 3-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 10).
10. Amendment of section heading and section filed 5-20-99; operative 6-19-99 (Register 99, No. 21).
11. Editorial correction of subsection (b) (Register 99, No. 25).
12. Amendment of subsection (a), new subsection (d) and amendment of Note filed 12-8-2004; operative 1-7-2005 (Register 2004, No. 50).
13. New Exception 10 to subsection (b) filed 1-24-2013; operative 4-1-2013 (Register 2013, No. 4). 
§3211. Wall Openings.
Note     •     History

An opening in a wall or partition not provided with a glazed sash, having a height of at least 30 inches and a width of at least 18 inches, through which a person might fall to a level 30 inches or more below, shall be guarded by a guardrail or other barrier of such construction and mounting that the guardrail or barrier is capable of withstanding a force of at least 200 pounds applied horizontally at any point on the near side of the guardrail or barrier. Barriers may be of solid construction, grillwork with openings not more than 8 inches long, or of slatwork with openings not more than 4 inches wide with unrestricted length. (Title 24, Part 2, Section 2-1716.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
§3212. Floor Openings, Floor Holes, Skylights and Roofs.
Note     •     History

(a)(1) Every floor and roof opening shall be guarded by a cover, a guardrail, or equivalent on all open sides. While the cover is not in place, the openings shall be constantly attended by someone or shall be protected by guardrails. Toeboards shall be installed around the edges at openings where persons may pass below the opening.

Exception: Stairway entrances.
(2)(A)  Every ladderway floor opening or platform with access provided by ladderway, including ship stairs (ship ladders), shall be protected by guardrails with toeboards meeting the requirements of General Industry Safety Orders, Section 3209, on all exposed sides except at entrance to the opening. The opening through the railing shall have either a swinging gate or equivalent protection, or the passageway to the opening shall be so offset that a person cannot walk directly into the opening.

Exception: Ladder openings for entrance/access at perimeter roof edges where guardrail protection is not required by subsection (d) of this section.
(B)1. The uppermost surface or railing member of the swinging gate or other equivalent protection required by subsection (a)(2)(A) shall have a vertical height from the platform or floor level of between 42 to 45 inches plus or minus one inch and;
2. The swinging gate or other equivalent protection shall be capable of withstanding a force of at least 200 pounds applied vertically downward to the uppermost surface or railing member and horizontally outward at any point on the exit side of the ladder opening.
(3) Hatchways and chute floor openings shall be guarded by guardrails or by hinged or removable covers or by removable railings provided such covers or railings will afford protection equivalent to that provided by a guardrail.
This does not apply to chute openings which are effectively covered or protected by machine or equipment during operation. However, such chute shall be covered during repair or maintenance or when otherwise exposing employees to the hazards of unguarded floor openings.
(4) Foundry pits and similar sunken locations in which employees are required to work may be left unprotected during such times as the necessary handling of materials or other work prohibits the use of guardrails or equivalent; but when such pits are not in use they shall be either covered, filled in, or protected with guardrails or equivalent.
(5) Floor holes through which materials or tools may fall and create a hazard or through which parts of a person's body may contact dangerous moving parts, shall be completely covered except when in use unless these floor holes are used to feed machines or receptacles containing hot, toxic or corrosive materials, then these openings shall be guarded by hoppers, guardrails, or grates having openings not exceeding 1-inch by 5 inches. Floor holes through which transmission equipment passes may be guarded by toeboards.
(b) Floor and roof opening covers shall be designed by a qualified person and be capable of safely supporting the greater of 400 pounds or twice the weight of the employees, equipment and materials that may be imposed on any one square foot area of the cover at any time. Covers shall be secured in place to prevent accidental removal or displacement, and shall bear a pressure sensitized, painted, or stenciled sign with legible letters not less than one inch high, stating: “Opening--Do Not Remove.” Markings of chalk or keel shall not be used.
(c) Covers shall not project more than one inch above the floor level and all edges shall be chamfered to an angle with the horizontal of not over 30 degrees. All hinges, handles, bolts, or other parts shall set flush with the floor or cover surface. (Title 24, part 2, section 2-1721(c).)
(d)(1) Guardrails as specified in section 3209 shall be required at locations where there is a routine need for any employee to approach within 6 feet of the edge of the roof. When intermittent work is being done safety belts and lanyards, or an approved fall protection system may be provided in lieu of guardrails.
For the purpose of this requirement, routine need means more than four times a year and intermittent work means work not exceeding four times a year.
(2) Guardrails required by subsection (d)(1) shall be provided along the roof edge extending at least 6 feet beyond the areas occupied by persons accessing, servicing or repairing permanently-mounted machinery and/or equipment.
(3) Where fall protection systems are used, safety lines and/or lanyards shall be attached to roof tie-backs meeting the requirements of section 3291(f) or equivalent anchorage. A safe and unobstructed access shall be provided to all roof tie-back locations. (Title 24, part 2, section 1711(h).)
(e) Any employee approaching within 6 feet of any skylight shall be protected from falling through the skylight or skylight opening by any one of the following methods:
(1) Skylight screens. The design, construction, and installation of skylight screens shall meet the strength requirements equivalent to that of covers specified in subsection (b) above. They shall also be of such design, construction and mounting that under design loads or impacts, they will not deflect downward sufficiently to break the glass below them. The construction shall be of grillwork, with openings not more than 4 inches by 4 inches or of slatwork with openings not more than 2 inches wide with length unrestricted, or of other material of equal strength and similar configuration, or
(2) Guardrails meeting the requirements of Section 3209, or
(3) The use of a personal fall protection system meeting the requirements of Section 1670 of the Construction Safety Orders, or
(4) Covers meeting the requirements of subsection (b) installed over the skylights, or
(5) A fall protection plan as prescribed in Section 1671.1 of the Construction Safety Orders when it can be demonstrated that the use of fall protection methods as contained in subsections (e)(1-4) of this Section is impractical or creates a greater hazard.

Exception: When the work is of short duration and limited exposure such as measuring, roof inspection, electrical/mechanical equipment inspection, etc., and the time involved in rigging and installing the safety devices required in subsections (e)(1) through (e)(4) equal or exceed the performance of the designated tasks of measuring, roof inspection, electrical/mechanical equipment inspection, etc.; these provisions may be temporarily suspended provided that adequate risk control is recognized and maintained.
(f) Access shall not be permitted on glazed surfaces such as roofs, vaults, canopies, or skylights glazed with transparent or translucent materials unless an engineer currently registered in the State of California and experienced in the design of such glazed structures has certified that the surface will support all anticipated loads. Employees working on such surfaces shall be protected by a fall protection system meeting the requirements of Section 1670 of the Construction Safety Orders.
(g) When glazed surfaces cannot be safely accessed for maintenance in accordance with subsection (f), scaffolds, catwalks, rolling ladders, platforms or other methods of safe access shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
4. Amendment filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
5. Amendment of subsection (d) filed 7-1-91; operative 7-31-91 (Register 91, No. 40).
6. Change without regulatory effect amending subsection (d)(3) filed 4-19-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 16).
7. Designation and amendment of subsection (e)(1) and new subsections (e)(2)-(2)(C) Exception filed 10-7-93; operative 11-8-93 (Register 93, No. 41).
8. Amendment of section heading and section filed 7-7-2004; operative 8-6-2004 (Register 2004, No. 28).
9. Amendment of subsection (a)(1), new subsections (a)(2)(A)-(a)(2)(B)2., subsection renumbering and amendment of newly designated subsections (a)(4)-(5) filed 12-8-2004; operative 1-7-2005 (Register 2004, No. 50).
§3213. Service Pits and Yard Surface Openings.
Note     •     History

(a) Unused portions of service pits and pits not in actual use shall be either covered or protected by guardrails, this may be accomplished by moveable posts or stanchions and chain rails or other guardrails which will provide equivalent protection.

Exception: Inspection, transfer and service pits used exclusively for maintenance of rolling railroad stock where impracticable to install guardrails or equivalent. (Title 24, Part 2, Section 2-1716(f).)
(b) Permanent yard surface openings such as pits or sumps shall be guarded as required by 3212, Floor Openings, Floor Holes and Roofs. (Title 24, Part 2, Section 2-1716(f).)
(c) Trench or conduit covers and their supports, when located in plant roadways, shall be designed to carry a truck rear-axle load of at least 20,000 pounds.
(d) Manhole covers and their supports, when located in plant roadways, shall comply with local standard highway requirements if any; otherwise, they shall be designed to carry a truck rear-axle load of at least 20,000 pounds.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
4. New subsections (c) and (d) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
§3214. Stair Railings and Handrails.
Note     •     History

(a) Stairways shall have handrails or stair railings on each side, and every stairway required to be more than 88 inches in width shall be provided with not less than one intermediate stair railing for each 88 inches of required width. Intermediate stair railings shall be spaced approximately equally within the entire width of the stairway.

Note: Intermediate stair railings may be of single rail construction.

Exceptions: 

(1) Stairways less than 44 inches in width may have one handrail or stair railing except that such stairways open on one or both sides shall have stair railings provided on the open side or sides.

(2) Stairways having less than four risers need not have handrails or stair railings.

(3) Stairways giving access to portable work stands less than 30 inches high. 

(4) Stairs that follow the contour of tanks or other cylindrical or spherical structures where the construction requires the inside clearance between the inside stair stringer and wall or tank side to be 8 inches or less, shall not be considered an “open side.”

(5) Guardrails may be erected provided a handrail is attached.
(b) A stair railing shall be of construction similar to a guardrail (see Section 3209) but the vertical height shall be in compliance with Section 3214(c). Stair railings on open sides that are 30 inches or more above the surface below shall be equipped with midrails approximately one half way between the steps and the top rail.

Note: Local building standards may require 4-inch spacing of intermediate vertical members.
(c) The top of stair railings, handrails and handrail extensions installed on or after April 3, 1997, shall be at a vertical height between 34 and 38 inches above the nosing of treads and landings. For stairs installed before April 3, 1997, this height shall be between 30 and 38 inches. Stair railings and handrails shall be continuous the full length of the stairs and, except for private stairways, at least one handrail or stair railing shall extend in the direction of the stair run not less than 12 inches beyond the top riser nor less than 12 inches beyond the bottom riser. Ends shall be returned or shall terminate in newel posts or safety terminals, or otherwise arranged so as not to constitute a projection hazard.

Exception: Handrails and stair railings on flights of stairs serving basements or cellars that are covered by a trap door, removable floor or grating when not in use, shall stop at the floor level or entrance level so as not to interfere with the cover in the closed position.
(d) A handrail shall consist of a lengthwise member mounted directly on a wall or partition by means of brackets attached to the lower side of the handrail so as to offer no obstruction to a smooth surface along the top and both sides of the handrail. The handrail shall be designed to provide a grasping surface to avoid the person using it from falling. The spacing of brackets shall not exceed 8 feet.
(e) Handrails projecting from a wall shall have a space of not less than 1 1/2 inches between the wall and the handrail.
(f) The mounting of handrails shall be such that the completed structure is capable of withstanding a load of at least 200 pounds applied in any direction at any point on the rail.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25). For history of former section, see Register 72, No. 34.
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsections (b) and (d) filed 5-10-77; effective thirtieth day thereafter (Register 77, No. 20).
4. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
5. Amendment of section and Note filed 3-4-97; operative 4-3-97 (Register 97, No. 10).
6. Amendment filed 12-4-2007; operative 1-3-2008 (Register 2007, No. 49).
§3215. Means of Egress.
Note     •     History

(a) These regulations contain general fundamental requirements essential to providing a safe means of egress from buildings in the event of fire and other emergencies. Nothing in these regulations shall be construed to prohibit a better type of building construction, more exits, or otherwise safer conditions than the minimum requirements specified in these regulations.
(b) Exits from vehicles, vessels, or other mobile structures are not covered under these regulations except when in fixed locations and occupied as buildings.
(c) In every building or structure of such size, arrangement, or occupancy that a fire may not itself provide adequate warning to occupants, fire alarm facilities or procedures, including an evacuation plan, shall be provided where necessary to warn occupants of the existence of fire so that they may escape or to facilitate the orderly conduct of fire exit drills.
(d) Any device or alarm installed to restrict the use of an exit shall be so designed and installed that it cannot, even in cases of failure, impede or prevent emergency use of such exit.
(Title 24, Part 2, Section 2-3301.)
(e) Whenever the building is occupied, exit paths shall be lighted so that they may be easily recognized and all exit and directional signs shall be clearly visible.
Artificial lighting sufficient to enable objects to be seen and egress made under emergency conditions shall be provided when natural lighting is inadequate.
(Title 24, Part 2, Section 2-3312(a).)
(f) No building or structure under construction shall be occupied in whole or in part until all exit facilities required for the part occupied are completed and ready for use.
(g) No existing building shall be occupied during repairs or alterations unless all existing exits and any existing fire protection, or equivalent exits and fire protection is provided and maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
§3216. Exit Signs.
Note     •     History

(a) Luminance. Exit and directional signs shall have a luminance on the face of such signs of not less than 50 lux. The words used on such signs shall be in block letters at least 6 inches in height with a stroke of not less than 3/4 inch. Exception: Existing signs may have the word “EXIT” in lettering not less than 5 inches high with principal strokes of letters of not less than 1/2 inch. Letters shall be of such color or design as to be in strong contrast to the background of the sign. Arrows or other directional symbols shall be of equal visibility to that stipulated herein for letters.
(b) Location. Exit or directional signs, or both, shall be provided at every exit door, at the intersection of corridors, at exit stairways or ramps and at such other locations and intervals as are necessary to provide the occupants with knowledge of the various means of egress available. Exit or directional signs need not be provided for the following:
(1) Any room or building having an occupant load of 50 or less;
(2) Dwellings units in Group R, Division 1 Occupancies;
(3) When approved, the main exterior exit doors obviously and clearly identifiable as exits. (Title 24, Part 2, Section 2-3312(c)(3).)
(c) Electrically Illuminated Signs. Exit and exit directional signs which are required to be electrically illuminated shall be lighted with two electric lamps, either one of which shall be sufficient to provide the required luminance on the face of the sign. NOTE: Radioactive isotope self powered signs with a luminance of not less than 0.02 lamberts during its useful life will be acceptable.
(Title 24, Part 2, Section 2-3312(c)(2).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
§3217. Decorative Materials.
Note     •     History

(a) All drapes, hangings, curtains, drops, and all other similar material, including Christmas trees, located in corridors, stairways, lobbies, ramps, passageways and balconies used as required exits that would tend to increase the fire and panic hazard shall be made from a non-flammable material, or shall be treated and maintained in a flame-retardant condition by means of a flame-retardant solution or process approved by the State Fire Marshal, as set forth in Subchapter 8, Chapter 1, Title 19, CAC.
(b) Exit lights, fire alarm sending stations, wet standpipe hose cabinets, and fire extinguisher locations shall not be concealed by any decorative material. (Title 24, Part 2, Section 2-3301(o).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3218. Exits: Group E Occupancies.
History

HISTORY

1. Repealer filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25). 
§3219. Maintenance of Fire Protection Equipment, Materials and Assemblies.
Note     •     History

All fire protection equipment, materials and assemblies, where required, shall be maintained in proper operating condition, and such periodic inspections and tests shall be made as are necessary to assure this.
Note: For further guidance see Title 19, Article 6, Section 574.1 et seq., California Code of Regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 9-7-78; effective thirtieth day thereafter (Register 78, No. 36). 
3. Amendment of section heading and section and new Note filed 8-17-98; operative 9-16-98 (Register 98, No. 34).
§3220. Emergency Action Plan.
Note     •     History

(a) Scope and Application. This section applies to all emergency action plans. The emergency action plan shall be in writing, except as provided in the last sentence of subsection (e)(3) of this section, and shall cover those designated actions employers and employees must take to ensure employee safety from fire and other emergencies.
(b) Elements. The following elements, at a minimum, shall be included in the plan:
(1) Emergency escape procedures and emergency escape route assignments;
(2) Procedures to be followed by employees who remain to operate critical plant operations before they evacuate;
(3) Procedures to account for all employees after emergency evacuation has been completed;
(4) Rescue and medical duties for those employees who are to perform them;
(5) The preferred means of reporting fires and other emergencies; and
(6) Names or regular job titles of persons or departments who can be contacted for further information or explanation of duties under the plan.
(c) Alarm System.
(1) The employer shall establish an employee alarm system which complies with Article 165.
(2) If the employee alarm system is used for alerting fire brigade members, or for other purposes, a distinctive signal for each purpose shall be used.
(d) Evacuation. The employer shall establish in the emergency action plan the types of evacuation to be used in emergency circumstances.
(e) Training.
(1) Before implementing the emergency action plan, the employer shall designate and train a sufficient number of persons to assist in the safe and orderly emergency evacuation of employees.
(2) The employer shall advise each employee of his/her responsibility under the plan at the following times:
(A) Initially when the plan is developed,
(B) Whenever the employee's responsibilities or designated actions under the plan change, and
(C) Whenever the plan is changed.
(3) The employer shall review with each employee upon initial assignment those parts of the plan which the employee must know to protect the employee in the event of an emergency. The written plan shall be kept at the workplace and made available for employee review. For those employers with 10 or fewer employees the plan may be communicated orally to employees and the employer need not maintain a written plan.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
§3221. Fire Prevention Plan.
Note     •     History

(a) Scope and Application. This section applies to all fire prevention plans. The fire prevention plan shall be in writing, except as provided in the last sentence of subsection (d)(2) of this section.
(b) Elements. The following elements, at a minimum, shall be included in the fire prevention plan:
(1) Potential fire hazards and their proper handling and storage procedures, potential ignition sources (such as welding, smoking and others) and their control procedures, and the type of fire protection equipment or systems which can control a fire involving them;
(2) Names or regular job titles of those responsible for maintenance of equipment and systems installed to prevent or control ignitions or fires; and
(3) Names or regular job titles of those responsible for the control of accumulation of flammable or combustible waste materials.
(c) Housekeeping. The employer shall control accumulations of flammable and combustible waste materials and residues so that they do not contribute to a fire emergency. The housekeeping procedures shall be included in the written fire prevention plan.
(d) Training.
(1) The employer shall apprise employees of the fire hazards of the materials and processes to which they are exposed.
(2) The employer shall review with each employee upon initial assignment those parts of the fire prevention plan which the employee must know to protect the employee in the event of an emergency. The written plan shall be kept in the workplace and made available for employee review. For those employers with 10 or fewer employees, the plan may be communicated orally to employees and the employer need not maintain a written plan.
(e) Maintenance. The employer shall regularly and properly maintain, according to established procedures, equipment and systems installed in the workplace to prevent accidental ignition of combustible materials.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). For prior history, see Registers 77, No. 20; 76, No. 29; and 75, No. 25. 
§3222. Arrangement and Distance to Exits.
Note     •     History

(a) Arrangement of Exits. If only two exits are required, they shall be placed a distance apart equal to not less than one-half the length of the maximum overall diagonal dimension of the building or area to be served measured in a straight line between exits.

Exception: Where exit enclosures are provided as the required means of egress and are interconnected by a corridor conforming to the requirements of Section 3326, exit separations may be measured in a direct line of travel within the exit corridor. Enclosure walls shall be not less than 30 feet apart at any point in a direct line of measurement. Where three or more exits are required, they shall be arranged a reasonable distance apart so that if one becomes blocked the others will be available. (Title 24, Part 2, Section 3302(c).)
(b) Distance to Exits. The maximum distance of travel from any point to an exterior exit door, horizontal exit, exit passageway or an enclosed stairway in a building not equipped with an automatic sprinkler system throughout shall not exceed 150 feet or 200 feet in a building equipped with an automatic sprinkler system throughout. These distances may be increased 100 feet when the last 150 feet is within a corridor complying with Section 3226.

Exception: Every area used mainly for the storage of materials liable to burn, with extreme rapidity or from which poisonous fumes or explosions will result upon exposure to fire, shall have an exit within 75 feet of any point in the area where employees may be present. Where automatic sprinkler protection is provided, distances may be increased to 100 feet. (Title 24, Part 2, Section 2-3302(d) Exception 1.)
In a one-story Group B, Division 4 Occupancy classified as a factory or warehouse and in one-story airplane hangers, the exit travel distances may be increased to 400 feet if the building is equipped with an automatic sprinkler system throughout and provided with smoke and heat ventilation as specified in Section 3206 of the 1979 Uniform Building Code.
In an open parking garage, the exit travel distance may be increased to 250 feet.
(Title 24, Part 2, Section 3302(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
4. Change without regulatory effect amending subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§3223. Changes in Elevation.
Note     •     History

Within a building, changes in elevation of less than 12 inches along any exit serving a tributary occupant load of 10 or more shall be by ramps. (Title 24, Part 2, Section 3301(k).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
4. Amendment filed 5-26-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3224. Headroom.
Note     •     History

Exits shall be so designed and maintained as to provide adequate headroom, but in no case shall the ceiling height nor any projection from the ceiling be less than 7 feet from the floor, except doorways (See Section 3235) and stairways (See Section 3231). (Title 24, Part 2, Section 3304(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-26-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3225. Maintenance and Access to Exits.
Note     •     History

(a) Exits shall be so located and arranged that they are readily accessible at all times. 
(1) Every required exit shall be maintained free of all obstructions or impediments to full instant use in the case of fire or other emergency.
(2) Where exits are not immediately accessible from an open floor area, safe and continuous passageways, aisles, or corridors leading directly to every exit and so arranged as to provide convenient access for each occupant to at least two exits by separate ways of travel shall be maintained, except as a single exit or limited dead ends are permitted by other provisions of these regulations.
(b) Exits from a room may open into an adjoining or intervening room or area, providing such adjoining room is accessory to the area served and provides a direct means of egress to an exit corridor, exit passageway, exit stairway, exterior exit, horizontal exit, or exterior exit balcony.

Exception: Exits are not to pass through kitchens, storerooms, restrooms, closets or spaces used for similar purposes. Foyers, lobbies, and reception rooms constructed as required for corridors shall not be construed as intervening rooms.
(Title 24, Part 2, Section 3302(e).).
Exits will not pass through any room subject to locking. (Title 24, Part 2, Section 2-3302(e).)
(c) No hangings or draperies shall be placed over exit doors or otherwise so located as to conceal or obscure any exit. No mirrors shall be placed on exit doors. No mirrors shall be placed in or adjacent to any exit in such a manner as to confuse the direction of exit. (Title 24, Part 2, Section 2-3302(i).)
(d) Exits shall be so arranged that it will not be necessary to travel toward any area of high hazard occupancy in order to reach the nearest exit, unless the path of travel is effectively shielded from the high hazard location by suitable partitions or other physical barriers. (Title 24, Part 2, Section 2-3302(d).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
4. Amendment of section heading and section filed 8-17-98; operative 9-16-98 (Register 98, No. 34).
§3226. Corridors and Exterior Exit Balconies.
Note     •     History

(a) General. This section shall apply to every corridor serving as a required exit for an occupant load of 10 or more. For the purposes of the section, the term “corridor” shall include “exterior exit balconies” and any covered or enclosed exit passageway, including walkways, tunnels and malls. Partitions, rails, counters and similar space dividers not over 5 feet, 9 inches in height above the floor shall not be construed to form corridors. (Title 24, Part 2, Section 3304(a).)
(b) Exit corridors shall be continuous until egress is provided from the building and shall not be interrupted by intervening rooms.

Exception: Foyers, lobbies or reception rooms constructed as required for corridors shall not be construed as intervening rooms.
(Title 24, Part 2, Section 3304(a).)
(c) Height. Corridors and exterior exit balconies shall have a clear height of not less than 7 feet measured to the lowest projection from the ceiling. (Title 24, Part 2, Section 3304(c).)
(d) Projections. The required width of corridors shall be unobstructed.

Exception: Handrails and doors, when fully opened, shall not reduce the required width by more than 7 inches. Doors in any position shall not reduce the required width by more than one-half. Other nonstructural projections such as trim and similar decorative features may project into required width 1 1/2 inches on each side.
(Title 24, Part 2, Section 3304(d).)
(e) Access to Exits. Exits shall be so arranged that it is possible to go in either direction from any point in a corridor to a separate exit, except for dead ends not exceeding 20 feet in length. This subsection shall apply to all occupancies regardless of occupant load.
(Title 24, Part 2, Section 2-3304(e).)
(f) Changes in Elevation. When a corridor or exterior exit balcony is accessible to an elevator, changes in elevation of the floor shall be made by means of a ramp.
(Title 24, Part 2, Section 2-3304(f).)
(g) Where accumulation of snow or ice is likely because of the climate, the exterior way of exit shall be protected by a roof, unless it serves as the sole normal means of access to the rooms or spaces served, in which case it may be assumed that snow and ice will be regularly removed in the course of normal occupancy. (Title 24, Part 2, Section 2-3304(i).)
(h) Exterior ways of exit shall have smooth, solid floors, substantially level, and shall have guardrails on the unenclosed sides.
(i) A permanent, reasonably straight path of travel shall be maintained over the required exterior way of exit. There shall be no obstruction by railings, barriers, or gates that divide the open space into sections appurtenant to individual rooms, or other uses. Where the Division finds the required path of travel to be obstructed by furniture or other movable objects, the division may require that they be fastened out of the way or the division may require that railings or other permanent barriers be installed to protect the path of travel against encroachment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3227. Discharge from Exits.
Note     •     History

(a) All exits shall discharge directly to the street, or to a yard, court, or other open space that gives safe access to a public way. The streets to which the exits discharge shall be of width adequate to accommodate all persons leaving the building. Yards, courts, or other open spaces to which exits discharge shall also be of adequate width and size to provide all persons leaving the building with ready access to the street. (Title 24, Part 2, Section 2-3302(k).)
(1) Where any doorway, ramp, walkway, stairway or ladder landing exits directly into the path of vehicular traffic, an adequate barrier and warning shall be installed to prevent workmen stepping directly into such dangerous traffic. (Title 24, Part 2, Section 2-3302(k).)
(b) Exit stairs that continue beyond the floor of discharge shall be interrupted at the floor of discharge by partitions, doors, or other physical barriers. (Title 24, Part 2, Section 2-3302(k)(2).)
(c) Exit Obstruction. No obstructions shall be placed in the required width of an exit except projections permitted by these regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3228. Number of Exits.
Note     •     History

(a) Every building or usable portion thereof shall have at least two exits to permit prompt evacuation of employees and other building occupants during an emergency. The exits shall be located as far away as practicable from each other so that if one exit is inaccessible because of fire or smoke, employees can evacuate using the second exit.

Exception: In accordance with Title 24, Part 2, California Code of Regulations, a single exit shall be permitted where the number of employees, the size of the building, its occupancy or the arrangement of the workplace is such that all employees would be able to evacuate safely during an emergency.
(b) More than two exits must be provided in a workplace if the number of employees, the size of the building, its occupancy, or the arrangement of the workplace is such that all employees would not be able to evacuate safely during an emergency if only two exits were provided.
Note to subsections (a) and (b): For assistance in determining the number of workplace exits, and the necessary distance between exits, consult Title 24, Part 2, California Code of Regulations, and your local jurisdiction fire department.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (k) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
4. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
5. Amendment filed 5-26-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
6. Repealer and new section and repealer of Table E-1 filed 3-5-2008; operative 4-4-2008 (Register 2008, No. 10). For prior history of Table E-1, see Register 83, No. 22.

View Graphic
(Title 24, Part 2, Table 33A without Accessibility Column.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer of Table 33-A and new Table E-1 filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3229. Exit Width.
Note     •     History

(a) The total width of exits in feet shall be not less than the total occupant load served divided by 50. Such width of exits shall be divided approximately equally among the separate exits. The total exit width required from any story of a building shall be determined by using the occupant load of that story, plus the percentages of the occupant loads of floors which exit through the level under consideration as follows:
(1) Fifty percent of the occupant load in the first adjacent story above and the first adjacent story below, when a story below exits through the level under consideration.
(2) Twenty-five percent of the occupant load in the story immediately beyond the first adjacent story.
The maximum exit width required from any story of a building shall be maintained.
(Title 24, Part 2, Section 3302(b).)
(b) The minimum width of any way of exit shall in no case be less than 28 inches. Where a single way of exit leads to an exit, its capacity in terms of width shall be at least equal to the required capacity of the exit to which it leads. Where more than one way of exit leads to an exit, each shall have a width adequate for the number of persons it must accommodate. (Title 24, Part 2, Section 3302(h).)
(c) Every portion of every building in which are installed seats, tables, merchandise, equipment or similar materials shall be provided with aisles leading to an exit. (Title 24, Part 2, Section 3313(a).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c).
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (c) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
4. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3231. Stairways.
Note     •     History

(a) General. Every stairway serving any building or portion thereof shall conform to the requirements of this Section. (See Section 3214 for stair rail and handrail specifications and Section 3234 for industrial stairways). (Title 24, Part 2, Section 3305(a).)
(b) Width.
(1) Stairways serving an occupant load of more than 50 shall be not less in width than 44 inches.
Stairways serving an occupant load of 50 or less may be 36 inches wide. Private stairways serving an occupant load of less than 10 may be 30 inches wide.
(2) Trim shall not reduce the required width by more than 3 1/2 inches. Handrails may project from each side of a stairway a distance of 3 1/2 inches into the required width. Stringers may project 1 1/2 inches. (Title 24, Part 2, Section 3305(b).)
(c) Rise and Run.
(1) The rise of every step in a stairway shall be not less than 4 inches nor greater than 7 1/2 inches.
(2) The run shall not be less than 10 inches as measured horizontally between the vertical planes of the furthermost projection of adjacent treads. The largest tread run within any flight of stairs shall not exceed the smallest by more than 3/8 inch. The greatest riser height within any flight of stairs shall not exceed the smallest by more than 3/8 inch.

Exception: Private stairways serving an occupant load of less than 10 and stairways to unoccupied roofs may be constructed with an 8 inch maximum rise and a 9 inch minimum run.
(Title 24, Part 2, Section 3305(c).)
(d) Surface. All treads shall be slip-resistant. Stairways shall be maintained clear and in good repair. 
(Title 24, Part 2, Section 2-3305(s).)
(e) Circular Stairways. Circular stairs may be used as an exit providing the minimum width of run is not less than 10 inches and the smaller radius is not less than twice the width of the stairway. All treads in any one flight between landings shall have identical dimensions within a three-eighths inch tolerance. 
(Title 24, Part 2, Section 3305(e).)
(f) Landings. Every landing shall have a dimension measured in the direction of travel equal to the width of the stairway. Such dimension need not exceed 4 feet when the stair has a straight run. Landings, when provided, shall not reduce the width to less than one-half the required width at any position in the swing or by more than 7 inches by a door when fully open. There shall be not more than 12 feet vertically between landings.
(Title 24, Part 2, Section 3305(g) and (i).)
(g) Stairway to Roof. In every building four or more stories in height, one stairway shall extend to the roof surface, unless the roof has a slope greater than 4 in 12. (Title 24, Part 2, Section 3305(o).)
(h) Headroom. Every required stairway shall have a headroom clearance of not less than 6 feet 6 inches. Such clearances shall be established by measuring vertically from a plane parallel and tangent to the stairway tread nosing to the soffit above at all points. (Title 24, Part 2, Section 3305(p).)
In existing installations where overhead clearance is less than 6 feet 6 inches above stairways, the stairway shall be relocated, the obstruction shall be removed, or if both of these are impracticable a suitable warning shall be placed near the obstruction so as to notify employees of its presence. Where the nature of the hazard is such that padding it will increase safety, this also shall be done. (Title 24, Part 2, Section 2-3305(p), Exception.)
(i) Enclosure Construction of Exit Stairways. When an exit stairway is required to be protected by separation from other parts of the building the separating construction shall be of not less than two-hour fire-resistive construction in buildings more than four stories in height and shall be of not less than one-hour fire-resistive construction elsewhere.
(1) Openings into Enclosures. There shall be no openings into exit enclosures except exit doorways and openings in exterior walls. All exit doors in an exit enclosure shall be protected by a fire assembly having a fire-protection rating of not less than one hour where one-hour shaft construction is permitted and one and one-half hours where two-hour shaft construction is required. Doors shall be maintained self-closing or shall be automatic closing by actuation of a smoke detector as provided for in Section 4306(b). The maximum transmitted temperature end point shall not exceed 450o F above ambient at the end of 30 minutes of the fire exposure specified in U.B.C. Standard No. 43-2.
(Title 24, Part 2, Section 3308(c).)

View Graphic

Figure E-1 (for stairs installed on or after April 3, 1997)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (h) and new subsection (i) and new Figure E-1 filed 5-10-77; effective thirtieth day thereafter (Register 77, No. 20). For prior history, see Register 76, No. 29.
2. Amendment of subsection (i)(1)(B) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22.) Approved by State Building Standards Commission 1-24-83.
4. Amendment filed 5-26-83; effective thirtieth day thereafter (Register 83, No. 22.) Approved by State Building Standards Commission 1-24-83. 
5. Amendment of Figure E-1 filed 12-4-2007; operative 1-3-2008 (Register 2007, No. 49).
6. Change without regulatory effect providing more legible figure E-1 filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
§3232. Ramps.
Note     •     History

(a) General. Any path of travel shall be considered a ramp if its slope is greater than 1 foot rise in 20 feet of horizontal run. (Title 24, Part 2, Section 2-3306(a) without “Note.”)
(b) Width. The width of ramps shall be as required for exits.

Exception: Existing ramps may have width as required for stairways.
(Title 24, Part 2, Section 2-3306(b)(1).)
(c) Slope. The maximum slope of a ramp that serves any exitway, provides handicap access or is in the path of travel shall be 1 foot rise in 12 feet of horizontal run.

Exception: The slope of an existing ramp shall not exceed 1 foot rise to 8 feet horizontal run.
(d) Landings. Ramps having slopes greater than one vertical to 15 horizontal shall have landings at the top and bottom and at least one intermediate landing shall be provided for each 5 feet of rise. Top landings and intermediate landings shall have a dimension measured in the direction of ramp run of not less than 5 feet. Landings at the bottom of ramps shall have a dimension in the direction of ramp run of not less than 6 feet.
(Title 24, Part 2, Section 2-3306(c).)
(e) Doors. Doors in any position shall not reduce the minimum dimension of the landing to less than 42 inches and shall not reduce the required width by more than 3 1/2 inches when fully open.
(Title 24, Part 2, Section 2-3306(d)(1)(C)(1).)
(f) Handrails. Ramps having slopes exceeding one vertical to 15 horizontal shall have handrails or stair rails as required for stairways, except that intermediate stair rails shall not be required. (Title 24, Part 2, Section 2-3306(e).)
(g) Guardrails. Ramps more than 30 inches above the adjacent ground or floor shall be provided with guardrails as required in Section 3210 and handrails as required in (f) above. Such guardrails shall be continuous from top of the ramp to the bottom of the ramp. (Title 24, Part 2, Section 2-3306(i).)
(h) Surface. The surface of ramps shall be roughened or shall be of nonslip materials. (Title 24, Part 2, Section 2-3306(g).)
(i) Maintenance. Ramps shall be maintained reasonably clear and in good repair.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (g) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
4. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83. 
§3233. Industrial Ramps.
Note     •     History

(a) Ramps used for industrial purposes only shall conform to the provisions of this section. (Title 24, Part 2, Section 2-3306(j)(1).)
(b) Ramps shall be not less than two feet wider than the widest vehicle using the ramp. (Title 24, Part 2, Section 2-3306(j)(2).)
(c) The slope of a ramp shall not exceed 1 vertical to 8 horizontal.

Exception: The slope of ramps used by powered industrial trucks only shall not exceed 1 vertical to 3 horizontal. (Title 24, Part 2, Section 2-3306(j)(3).)
(d) Ramps having slopes exceeding 1 vertical to 15 horizontal shall have handrails or stair rails as required for stairways, except that intermediate stair rails shall not be required. (Title 24, Part 2, Section 2-3306(j)(4).)
(e) Ramps more than 30 inches above the adjacent ground or floor shall be provided with guardrails as required in Section 3210 and handrails as required in (d) above. Such guardrails shall be continuous from the top of the ramp to the bottom of the ramp.

Exception: Guardrails or stair rails will not be required on ramps used only by powered industrial trucks. (Title 24, Part 2, Section 2-3306(j)(5).)
(f) Industrial ramps shall have a curb or equivalent installed along the open side or sides, the curb shall not be less than 8 inches in height and shall be so designed as to prevent the truck wheel from running off of the ramp. (Title 24, Part 2, Section 2-3306(j)(6).)
(g) The surface of ramps shall be roughened or shall be of nonslip materials. (Title 24, Part 2, Section 2-3306(j)(7).)
(h) Ramps shall be maintained reasonably clear and in good repair.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
§3234. Fixed Industrial Stairs.
Note     •     History

(a) Scope. This Section contains specifications for the safe design and construction of fixed general industrial stairs. This classification includes interior and exterior stairs around machinery, tanks, and other equipment, and stairs leading to or from floors, platforms, or pits. This Section does not apply to stairs used for required exit purposes, to construction operations, to private residences, or to articulated stairs, such as may be installed on floating roof tanks or on dock facilities, the angle of which changes with the rise and fall of the base support. (Title 24, Part 2, Section 2-3326(a).)
(b) Where Fixed Stairs Are Required.
(1) Fixed stairs shall be provided for access from one structure level to another where operations necessitate regular travel between levels, and for access to operating platforms at any equipment which requires attention routinely during operations. Fixed stairs shall also be provided where access to elevations is daily or at each shift for such purposes as gauging, inspection, regular maintenance, etc., where such work may expose employees to acids, caustic, gases, or other harmful substances, or for which purposes the carrying of tools or equipment by hand is normally required. (It is not the intent of this Section to preclude the use of fixed ladders for access to elevated tanks, towers and similar structures, overhead traveling cranes, etc., where the use of fixed ladders is common practice.)
(2) Spiral stairways shall not be permitted except for special limited usage and secondary access situations where it is not practical to provide a conventional stairway.
(3) Winding stairways may be installed on tanks and similar round structures where the diameter of the structure is not less than 5 feet.
(Title 24, Part 2, Section 2-3326(b).)
(4) Alternating tread stairs, meeting the requirements of 3234(i) shall be permitted for:
(A) Limited usage.
(B) Secondary access.
(c) Stair Strength. Fixed stairways shall be designed and constructed to carry a load of 5 times the normal live load anticipated but never of less strength than to carry safely a moving concentrated load of 1,000 pounds. (Title 24, Part 2, Section 2-3326().)
(d) Stair Width. Fixed stairways shall have a minimum usable width of 22 inches. No chute or open conveyor shall be parallel to and adjoin a stairway unless the usable width of the stairway is at least 22 inches and the stairway is equipped with a stair railing separating the chutes and open conveyors from the stairway.
Chutes shall not be hinged or otherwise constructed or used so as to cover stairways. (Title 24, Part 2, Section 2-3326(d).)
(e) Angle of Stairway Rise.
(1) Fixed stairs shall be installed at angles to the horizontal of between 30 and 50 degrees.
(2) Any uniform combination of rise-tread dimensions may be used that will result in a stairway at an angle to the horizontal within the permissible range.
(3) The following is a table of rise/tread dimensions which will produce a stairway within the permissible range, stating the angle to the horizontal produced by each combination. However the rise/tread combinations are not limited to those given below.
(4) Each tread and the top landing of a stairway, where risers are used, shall have a nose which extends one-half-inch to one-inch beyond the face of the lower riser. Noses shall have an even leading edge.
(5) All treads shall be slip-resistant. 

Table IS-1. 

Angle to	Rise	Tread Run
Horizontal	(in inches)	(in inches)

30° 35'	6 1/2	11
32° 08'	6 3/4	10 3/4
33° 41'	7	10 1/2
35° 16'	7 1/4	10 1/4
36° 52'	7 1/2	10
38° 29'	7 3/4	9 3/4
40° 08'	8	9 1/2
41° 44'	8 1/4	9 1/4
43° 22'	8 1/2	9
45° 00'	8 3/4	8 3/4
46° 38'	9	8 1/2
48° 16'	9 1/4	8 1/4
49° 54'	9 1/2	8
			
Welded bar grating treads without nosings are acceptable providing the leading edge can be readily identified by personnel descending the stairway and provided the tread is serrated or is of definite non-slip design.
(6) Rise height and tread width shall be uniform throughout any flight of stairs including any foundation structure used as one or more treads of the stairs.
The maximum variations in the height of risers or the width of treads in any one flight shall be one-fourth-inch.
(7) Where the rise would exceed 9 1/2 inches and the run would be less than 8 inches, portable, fixed, or ships ladders shall be used.
(Title 24, Part 2, Section 2-3326(e).)
(f) Stairway platforms shall be no less than the width of a stairway and minimum of 30 inches in length measured in the direction of travel. (Title 24, Part 2, Section 2-3326(f).)
(g) Stair Railings and Handrails.
(1) Stair railings shall be provided on the open sides of all exposed stairways.
(2) Handrails shall be provided on at least one side of closed stairways, preferably on the right side descending.
(3) Stair railings and handrails shall be installed in accordance with the provisions of Section 3214.
(4) Standard guardrails shall be installed on stairway platforms. See Section 3209. (Title 24, Part 2, Section 2-3326(g).)
(h) Vertical Clearance. Vertical clearance above any stair tread to an overhead obstruction shall be at least 6 feet 6 inches measured from the leading edge of the tread.
In existing installations where the overhead clearance is less than 6 feet 6 inches, the obstruction shall be removed, or if this is impracticable, a suitable warning shall be placed near the obstruction so as to notify employees of its presence. Where the nature of the hazard is such that padding it will increase safety, this also shall be done. (Title 24, Part 2, Section 2-3326(h).)
(i) Alternating Tread Stairs.
(1) The stairs shall have a series of steps between 50 and 70 degrees from horizontal.
(2) Stair rails, designed to provide employees an adequate handhold to avoid falling, shall be provided on both sides of the stair.
(3) A minimum distance of 6 inches shall be provided between the stair rail and any fixed structure, machine or other object.
(4) A minimum of 12 inches shall be provided between the stair rails of adjacent alternating tread type stairs.
(5) The stair shall have:
(A) A minimum of 17 and a maximum of 24 inches of width between the stair rails.
(B) A minimum tread depth of 8 1/2 inches, a minimum tread width of 7 inches, a minimum tread run of 5 inches and a maximum rise to the next alternating tread surface of 9 1/2 inches.
(C) A minimum usable width of 17 inches.
(6) The initial tread of the stair shall begin at the same elevation as the platform or landing.
(7) The stair shall meet all other requirements of Sections 3214 and 3234.

Exception: The installation of a midrail and toeboard is not required.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (g) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Amendment of subsection (h) and repealer of subsection (i) and Figure IS-1 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
5. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
6. Amendment of subsection (b)(4) and new subsection (i) filed 6-3-85; effective thirtieth day thereafter (Register 85, No. 23).
7. Amendment of subsections (e)(4) and (f) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
8. Editorial correction of subsection (f) filed 8-29-85; effective thirtieth day thereafter (Register 85, No. 35). 
§3235. Doors.
Note     •     History

(a) General.
(1) This section shall apply to every exit door. Buildings or structures used for human occupancy shall have at least one approved exit door.
(Title 24, Part 2, Section 2-3303(a).)
(2) Exit doors shall be of the side swinging type.

Exception: As provided in Section 3235(g).
(Title 24, Part 2, Section 2-3303(a).)
(3) Every door required to serve as an exit shall be designed and constructed so that the way of exit travel is obvious and direct. Windows which could be mistaken for doors shall be made inaccessible to occupants by means of barriers or railings.
(b) Width and Height. Every required exit doorway shall be of a size that permits the installation of a door not less than 3 feet in width and not less than 6 feet 8 inches high. When installed in exit doorways, exit doors shall be capable of opening at least 90 degrees and shall be mounted so that the clear width of the exitway is no less than 32 inches. In computing the exit width required, the net dimension of the exitway shall be used.

Exception: Existing buildings may be less than 3 feet in width if the clear width of the exitway is not less than 28 inches. (Title 24, Part 2, Section 2-3303(e).)
(c) Door Leaf Width. No leaf of an exit door shall exceed 4 feet in width.
(Title 24, Part 2, Section 2-3303(f).)
(d) Swing. Exit doors shall swing in the direction of exit travel when serving:
(1) Any assembly building;
(2) Any hazardous area;
(3) An occupant load of 50 or more.
(Title 24, Part 2, Section 2-3303(b)(1).)
(e) Locking. Exit doors shall be openable from the direction of exit travel without the use of a key or any special knowledge or effort whenever the building is occupied.

Exceptions: 
(1) Mental, penal, or corrective institutions where supervisory personnel is continually on duty and effective provisions are made to remove occupants in case of fire or other emergency.
(2) This requirement shall not apply to exterior exit doors in Group B occupancies, if such doors are unlocked during business hours and there is a readily visible, durable sign on or adjacent to the door stating “THIS DOOR TO REMAIN UNLOCKED DURING BUSINESS HOURS.” The sign shall be in letters not less than one-inch high on a contrasting background. The locking device must be of a type that will be readily distinguishable as locked.
(3) Exit doors in places of employment in Group B occupancies, may be locked whenever the locking device or mechanism is controlled by an effective mechanical/electrical or electronic system acceptable to the Division and approved for the purpose by the State Fire Marshal.
Note: 1: Pursuant to the provisions of Health and Safety Code Section 17950 et seq., local enforcement officials may further restrict or prohibit the use of these devices.
(Title 24, Part 2, Section 2-3303(e)(1).)
Note: 2: Group B occupancies are those defined in Chapter 7 of the Uniform Building Code, 1979 Edition.
(f) Change in Floor Level at Doors. Regardless of the occupant load, there shall be a floor or landing on each side of a door. The floor or landing shall be no more than 1 inch lower than the threshold of the doorway. Where a door opens over a landing, the landing shall be at least as wide as the door, and at least 5 feet long. (Title 24, Part 2, Section 2-3303(i)(1) and (i)(2).)

Exception: Where the door opens into the stairway of a smokeproof enclosure, the landing need not have a length of 5 feet. (Title 24, Part 2, Section 2-3303(i)(2) Exception 1).
 In existing installations where there is no landing, doors shall be conspicuously marked with a sign stating “Danger! Stairway--No Landing” or equivalent wording, and there shall be adequate illumination. 
(Title 24, Part 2, Section 2-3303(i)(2) Exception 5).
(g) Special Doors. Revolving, sliding, and overhead doors shall not be used as required exits.

Exceptions: 
(1) Manually operated horizontal sliding doors may be used when serving an occupant load of 10 or less.
(2) Power operated doors conforming to SFM 33.1, as shown in Chapter 2-60 of Part 2 of Title 24.
(Title 24, Part 2, Section 2-3303(g)(1).).
(h) Power-Operated Doors.
(1) Where a required door is operated by power, such as a door with photo-electric actuated mechanism that opens the door upon the approach of a person, or a door with power-assisted manual operation, the design shall be such that in event of power failure the door may be opened manually to permit exit travel or closed to safeguard means of egress.
(2) No power-operated door shall be considered a required exit unless it also swings by manual means.
(Title 24, Part 2, Section 2-3303(g)(2).)
(i) Double Acting (Swinging) Doors.
(1) Doors swinging both ways and located between rooms such as kitchen and dining room, or storeroom and sales floor, shall be provided with view panels. One shall be provided for each door of swinging double doors.
(2) Windows, if used, shall be kept free of dirt or other obstruction to vision.
(3) The bottom of the view panel or window shall be no more than 48 inches above the floor. (Title 24, Part 2, Section 2-3303(b)(2)(C).)
(4) The size of the view panel or window shall be no less than 200 square inches. (Title 24, Part 2, Section 2-3303(b)(2)(B).)
(5) Guards shall be placed over windows which are not of the shatter-proof or wired glass type. (Title 24, Part 2, Section 2-3303(b)(2)(D).)
(6) Glass in swinging doors shall conform to the provisions of Section 3242(d). (Title 24, Part 2, Section 2-3303(b)(2)(E).)
(7) Double acting doors shall not be used as exits serving a tributary occupant load or more than 100, nor shall they be used as part of a fire assembly, nor equipped with panic hardware.
(Title 24, Part 2, Section 2-3303(b)(2)(A).)
(j) Turnstiles. Turnstiles shall not be considered as providing any exit width.
(Title 24, Part 2, Section 2-3303(n)(1).)
(k) Doors in Folding Partitions. When permanently-mounted folding or movable partitions are used to divide a room into smaller spaces, exits from these enclosures shall be provided as required under Section 3228.
(Title 24, Part 2, Section 2-3303(o).)
(l) Bolts. Manually-operated edge bolts or surface-mounted flush bolts and surface bolts are prohibited on required exit doors. When exit doors are installed in pairs and automatic flush bolts are used, the door leaf with these bolts shall have no door knob or surface-mounted hardware. The unlatching of any leaf shall not require more than one operation.
(Title 24, Part 2, Section 2-3303(c)(2).)
(m) Panic Hardware.
(1) Panic hardware shall cause the door latch to release when a force not exceeding 15 pounds is applied to the releasing device in the direction of exit traffic.
(2) Hand activated door opening hardware shall be centered between 30 inches and 44 inches above the floor. Latching and locking doors that are hand activated and which are in a path of travel, shall be operable with a single effort by lever type hardware, by panic bars, push-pull activating bars or other hardware designed to provide passage without requiring the ability to grasp the opening hardware. Locked exit doors shall operate as above in the egress direction.

Exception: Doors to individual hotel or motel units shall operate similarly, except that when the bolt and unlatching operation is key operated from corridor or exterior side of the unit door, large bow keys (2 inch full bow or 1 1/4 inch half bow) shall be provided in lieu of lever type hardware on the corridor side. Separate dead lock activation on room side of the corridor doors in hotels and motels shall have handle or large thumb turn in an easily reached location.
(Title 24, Part 2, Section 2-3303(c)(3).)
(3) Panic hardware shall not be equipped with any locking or dogging device, set screw, or other arrangement which can be used to prevent the release of the latch when pressure is applied to the bar.
(4) No lock, padlock, hasp, bar, chain, or other device, or combination thereof, shall be installed or maintained at any time on or in connection with any door on which panic hardware is required, if such device prevents the free use of the door for exiting.
(n) Latches. A latch or other fastening device on a door shall be provided with a knob, handle, panic bar, or other simple type of releasing device, the method of operation of which is obvious. (Title 24, Part 2, Section 2-3303(c).)
NOTE

Authority and reference cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 5-10-77; effective thirtieth day thereafter (Register 77, No. 20). For prior history, see Register 76, No. 29.
2. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22). Approved by State Building Standards Commission 1-24-83.
4. Amendment of subsection (e) filed 10-13-83; effective thirtieth day thereafter (Register 83, No. 42). 
§3239. Reviewing Stands, Grandstands, and Bleachers.
Note     •     History

For design, use and construction of reviewing stands, grandstands and bleachers refer to Section 3321 of the Uniform Building Code (UBC), 1979 Edition.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 3220 and amendment of subsections (a) and (g) filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment of subsection (h) filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
3. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
4. Amendment of subsection (l) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
5. Repealer and new section filed 5-26-83; effective thirtieth day thereafter (Register 83, No. 22). 
Article 3. Special Design Requirements
§3240. General Design Requirements.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (c), (d), and (e) and renumbering of subsection (f) to (c) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25). 
§3241. Live Loads.
Note     •     History

(a) The live loads for which each floor or portion thereof of a commercial or industrial building is or has been designed shall have such design live loads conspicuously posted by the owner in that part of each story in which they apply, using durable metal signs, and it shall be unlawful to remove or deface such notices. The occupant of the building shall be responsible for keeping the actual load below the allowable limits.
(Title 24, Part 2, Section 1607.3.5)
(b) The maximum weight of materials stored on building floors or load carrying platforms, except those built directly on the ground, shall not exceed their safe carrying capacity.
(c) Material, wherever stored, shall not create a hazard. It shall be limited in height and shall be piled, stacked, or racked in a manner designed to prevent it from tipping, falling, collapsing, rolling or spreading. Racks, bins, planks, sleepers, bars, strips, blocks, sheets, shall be used where necessary to make the piles stable.
(d) The buildings, structures, foundations, and fastenings of all prime movers, machines, and equipment shall be maintained to support safely and without dangerous vibration the loads imposed upon them.
(e) Storage racks shall be designed to safely support their intended loads and shall not be loaded in excess of their design capacity as recommended by the manufacturer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 2-18-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Repealer of subsection (l) and consecutive relettering of subsection (m) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
4. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
5. Repealer and new subsection (a), amendment of subsection (d) and new subsection (e) filed 7-11-2002; operative 8-10-2002 (Register 2002, No. 28).
§3241.1. Working Warehouses.
Note     •     History

(a) Definitions.
(1) “Sales floor” means any area where the public is invited to shop, whether indoors or outdoors.
(2) “Working warehouse” means a wholesale or retail establishment in which heavy machinery, including, but not limited to, forklifts, is used in any area where the public shops while customers are on the premises, and merchandise is stored on shelves higher than 12 feet above the sales floor.
(3) “Shelf” means a support structure of rigid material such as wood, glass, metal or metal grating to hold or store merchandise. For the purposes of this section, shelves are fixed horizontally to a wall or other vertical surface including upright wood or metal frames and columns that contain structural support, such as shelves, racks, or cantilevered arms for storing merchandise including palletized items.
(b) In addition to the requirements of subsections (c) and (e) of Section 3241, all merchandise on shelves higher than 12 feet above the sales floor of a working warehouse shall be secured. Methods of securing merchandise shall include rails, fencing, netting, security doors, gates, cables, or the binding of items on a pallet into one unit by shrink-wrapping, metal or plastic banding, or by tying items together with a cord.
Note: The height of 12 feet specified in subsections (a)(2) and (b) is the distance measured from the floor to the top plane of the shelf on which merchandise is stored, and not the distance from the floor to the top of the merchandise.
(c) When heavy machinery is used to place or retrieve merchandise on a shelf in a working warehouse, there shall be a safety zone established to temporarily block persons other than the operator from entering areas where merchandise could fall.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 9101 and 9102, Labor Code.
HISTORY

1. New section filed 10-1-2004; operative 10-31-2004 (Register 2004, No. 40).
§3242. Glass and Glazing.
Note     •     History

(a) General. Specifications and requirements for glass and glazing installed before March 13, 1999, shall meet the requirements of Chapter 54 of the 1982 Uniform Building Code.
(b) Specifications and requirements for glass and glazing installed on or after March 13, 1999, shall meet the requirements of Chapter 24 of the 1997 Uniform Building Code which is hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Repealer and new subsection (c) filed 9-3-76; effective thirtieth day thereafter (Register 76, No. 36).
4. Editorial correction of Tables GG-1 and GG-2 (Register 77, No. 10).
5. Amendment of subsections (b), (c), (d), Table No. GG-1 and Table No. GG-2 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
6. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
7. Amendment of subsection (a) and new subsection (b) filed 2-11-99; operative 3-13-99 (Register 99, No. 7).
§3243. Spray Booths. [Repealed]
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29). 
§3244. Sanitation. [Repealed]
History

HISTORY

1. Repealer filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7). 
§3245. Motion Picture Projection Rooms.
Note     •     History

Motion picture projection rooms shall meet the requirements as set forth in Title 24, Part 2-40.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (d) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
§3246. Use of Nitrate Film. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (e)(1) filed 9-3-76; effective upon filing (Register 76, No. 36).
4. Amendment of subsection (k) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
5. Repealer filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
§3247. Lamp Scaffolds and Parallels.
Note     •     History

(a) Definitions.
(1) Lamp Scaffold means parallel as hereinafter defined.
(2) Nonoperating Side. The side of a parallel or lamp scaffold on which lamps are not installed.
(3) Operating Minimum. The side clearance necessary for the proper manipulation of a lamp.
(4) Operating Side. The side of a parallel or lamp scaffold on which lamps are installed.
(5) Parallel. An elevated staging used to support lamps and auxiliary equipment for the purpose of furnishing illumination.
(6) Nonoperating Side Guardrailing. A 2-rail railing having a toprail the upper surface of which is from 42 inches to 45 inches above the upper surface of the staging, platform, or runway being protected, and a second or midrail located halfway between the toprail and the top surface of the staging, platform, or runway.
(7) Operating Side Guardrailing. A single-rail railing the upper surface of which is from 42 inches to 45 inches above the upper surface of the staging, platform, runway, or scaffold being protected.
(b) Guardrailings.
(1) All lamp scaffolds and parallels while being used either to support lamps or serve as walkways shall be provided with nonoperating side guardrailings on the nonoperating side.
(2) All lamp scaffolds and parallels while being used to support lamps shall be provided with an operating side guardrailing on the operating side.
(3) Where the operating side guardrailing is more than 45 inches high and the clearance between adjacent lamps or between a lamp and a vertical support or structural member exceeds 18 inches, barriers such as additional vertical supports shall be installed to effectively reduce the clearance to an operating minimum. When large lamps are used which require more than 18 inches side clearance for manipulation and handling, horizontal distances up to 24 inches may be left on each side of such lamps, but in all cases such openings shall be held to an operating minimum.
When used to reduce side clearance, vertical supports shall have their lower ends securely attached to the lamp scaffold or parallel beds and shall extend upward and be securely attached to the overhead building structure, or to cross members extending from lamp scaffold upright to lamp scaffold upright, or some other equally effective method to give equal strength and rigidity.
(4) Toprails, midrails, and uprights shall be structurally sound of at least 2-inch by 4-inch lumber of the following grades or of material of equivalent strength and rigidity: 

	Western Wood Products	West Coast Lumber In-
	  Association Standard	spection Bureau Rules
	  Grading Rules 1965	              No. 15
			
	Grade	Grade
			
Posts and rails when	122a-1900f (bending	122a-1900f (bending
2” x 4” lumber is used.	 stress), Select Struc-	 stress), Select Struc-
(Minimum dressed size	 tural Douglas Fir	 tural Douglas Fir
acceptable 1 5/8 x 3 5/8	 Light Framing, 2” to	 Light Framing, 2” to
inches)	 4” thick, 4” wide.	 4” thick, 4” wide.

	Slope of Grain 1” in 12”	Slope of Grain 1” in 12”
	 in middle third of	 in middle third of
	 length, balance of	 length, balance of
	 piece 1” in 10”	 piece 1” in 10”

(5) Guardrails shall be attached to the uprights in a manner to afford maximum protection.
(6) Where the upper surface of a lamp scaffold or parallel bed presents no barriers along its outer edges which will tend to prevent objects from rolling or sliding from the bed, obstructions not less than 1 inch in height or greater than 2 inches in width shall be installed along such outer edges.
(c) Housekeeping.
(1) Any fixture, chair, or operating facility on the lamp scaffolds or parallels shall be effectively secured in place.
(2) Lamp scaffolds and parallels shall be maintained free and clear of debris.
(d) Obstructions.
(1) Lamp scaffold and parallel beds shall be kept clear of all bracing, electrical wires, cables, and equipment, except for the wire and cable necessary to reach from each lamp to its respective plug-in box or bus connection and allow for lamp manipulation. All such necessary wire or cable shall be kept close to the operating side or sides of the bed leaving an unobstructed walkway.
(2) The space immediately above hanging or temporary lamp scaffold and parallel beds shall be kept similarly free of obstructions to a height of not less than 6 feet 6 inches, when stage set and hanger construction permit.
(3) The construction of hanging or temporary prefabricated lamp scaffold and parallel bed hangers shall have the month and year of manufacture stamped into the hanger clearly and legibly and shall be such that when installed and stage and set construction permit the center head clearance above the beds at the hangers will be not less than 6 feet 6 inches. Where diagonal or knee braces are used as a reinforcing means between prefabricated hanger uprights and an overhead spreader or strut, the horizontal distance between the diagonal braces, measured parallel to the strut or spreader at a height of 6 feet 6 inches above the lamp scaffold or parallel bed, shall be not less than 12 inches. The lower ends of diagonal or knee braces shall not be attached to hanger uprights at points less than 4 feet 6 inches vertically above the upper surface of lamp scaffold or parallel beds.
(4) Hanging or temporary lamp scaffold and parallel bed prefabricated hangers built before the effective date of these orders shall, when physical conditions permit, be installed to give a bed head clearance at the hanger of not less than 6 feet 6 inches.
(5) Hanging or temporary lamp scaffold and parallel bed prefabricated hangers when materially repaired or which undergo a major alteration shall give the same head clearance when installed as is required for prefabricated hangers built after the effective date of these orders.
(6) Permanent catwalks and parallels installed on or before the effective date of these orders and having a head clearance less than 6 feet 6 inches need not be altered to obtain such head clearance.
(e) Inspection and Maintenance.
(1) Lamp scaffolds and parallels shall be regularly inspected and maintained in a safe condition.
(2) No nail smaller than 8-penny common (or 8-penny box used in sufficient number to give the strength afforded by 8-penny common) shall be used in the construction of lamp scaffolds and parallels, and they shall be full driven or to the first head when double-headed nails are used. Double-headed nails shall not be used in the walking surface.
(f) Lamp Beds.
All beds used for lamping shall have a minimum width of 30 inches. Lamps shall be so installed that a continuous unobstructed walkway will be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment and renumbering from Article 14.1 (Sections 3325, 3325.1-3325.6) filed 2-1-72 as an emergency; designated effective 2-1-72 (Register 72, No. 6).
2. Certificate of Compliance filed 4-26-72 (Register 72, No. 19).
3. Amendment and renumbering from Article 14.1 (Sections 3325, 3325.1-3325.6) filed 6-1-72 as an emergency; designated effective 6-1-72 (Register 72, No. 23). Certificate of Compliance included.
4. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
§3248. Mechanical Refrigeration.
Note     •     History

(a) Mechanical refrigeration systems placed in service before March 13, 1999, shall be designed, installed, tested, and maintained in accordance with Chapters 4, 15, and 16 of the 1982 Uniform Mechanical Code (UMC).

NOTE: A copy of the 1982 UMC is available for inspection at the office of the Occupational Safety and Health Standards Board. As of August 2008, copies may be sought for review at the California State Library and other public libraries, and copies may be purchased on a per-page basis from the International Association of Plumbing and Mechanical Officials (IAMPO).
(b) Mechanical refrigeration systems placed in service on or after March 13, 1999, but before January 1, 2008, shall be designed, installed, tested, and maintained in accordance with Chapters 2 and 11 of the 1997 Uniform Mechanical Code which are hereby incorporated by reference.
(c) Mechanical refrigeration systems placed in service on or after January 1, 2008, shall be designed, installed, tested, and maintained in accordance with Chapters 2 and 11 of the 2007 California Mechanical Code, which are hereby incorporated by reference.

Note: The provisions of Section 3248 are not intended to apply to the use of water or air as a refrigerant nor to refrigerating systems installed on railroad cars, motor vehicles, motor-drawn vehicles or on shipboard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 9-3-76; effective thirtieth day thereafter (Register 76, No. 36).
3. Editorial correction in subsection (e) (Register 77, No. 41).
4. Amendment of Table No. 15-1-C filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
5. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
6. Amendment of subsection (a), new subsection (b), and amendment of first Note filed 2-11-99; operative 3-13-99 (Register 99, No. 7).
7. Amendment filed 3-4-2009; operative 4-3-2009 (Register 2009, No. 10).
8. Editorial correction of Note to subsection (a) (Register 2011, No. 8).
§3249. Cold Storage, Processing, and Manufacturing Rooms.
Note     •     History

(a) Every cold storage, processing and manufacturing room shall have at least one door which can be opened from the inside except as provided in (d) below, and
(Title 24, Part 2, Section 440A)
(b) Illumination shall be provided in the room. This may be either a constantly burning lamp without switch control or a lamp controlled by a switch to be located inside near the door. If a switch is used means shall be provided to indicate its location in the dark, and
(Title 24, Part 2, Section 440A)
(c) A firefighter's-type axe shall be kept in the room near the door.

Exceptions to Subsection (c): 

1. Mental, penal, or corrective institutions where supervisory personnel are continually on duty and effective provisions are made to remove occupants in case of fire or other emergency.
2. Door(s) installed in a manner that will prevent the door from freezing shut.
3. Cold storage, processing, and manufacturing rooms where temperatures are maintained above 32 degrees F or 0 degrees C.
(d) Doors may be padlocked or otherwise securely locked from the outside if the room is equipped with an inside release mechanism which will release the latch and open the door when the latch is padlocked or
(1) There is posted on the outside of the doors a sign reading: “Do Not Lock These Doors Until You Are Positive No One Is Inside,” and
(2) The room is equipped with an electrically operated audible and visible signal system which can be actuated from inside the room and be seen and heard outside the room. Both systems to be on a single control and tested daily.
Note: A cold storage space or box is a room used for the preservation of substances by controlled temperatures. A cold processing or manufacturing room is an enclosed space or room in which products are treated, processed or manufactured in temperatures at or less than 32 degrees F or 0 degrees C.
(Title 24, Part 2, Section 440A)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (c) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
4. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
5. Amendment of subsections (a), (c) and (d)(2) filed 3-9-87; effective thirtieth day thereafter (Register 87, No.11). 
6. Amendment filed 12-17-97; operative 1-16-98 (Register 97, No. 51).
§3250. Cold Storage, Processing and Manufacturing Room Exits.
Note     •     History

Two remotely located exits shall be provided for cold storage, processing and manufacturing rooms where the refrigerant coils are located inside and carry carbon dioxide, Group 2 or Group 3 refrigerant and the coils are subject to collision damage; or where the refrigerant agent is located and/or dispersed inside the rooms. These exits may be through ventilated corridors or other ventilated areas which provide unobstructed and safe access to a place of safety.
This order shall not apply to cold storage, processing and manufacturing rooms having a floor area of less than 200 square feet provided that an employee would not be required to travel more than 12 feet to an interior operating exit door.
(Title 24, Part 2, Section 2-713)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
4. Amendment filed 3-9-87; effective thirtieth day thereafter (register 87, No. 11).
§3251. Refrigerator Vehicles.
Note     •     History

Every mobile refrigerated compartment shall have at least one door which can be opened from inside the compartment and such door shall be so located as to provide a safe means of egress. In addition to the above there shall also be provided and maintained in workable condition a suitable axe, pinch bar or other tool which will enable a person to escape if the door should freeze tight.

Exception: Provision and maintenance of an axe, pinch bar or other tool is not required in mental, penal or correctional facilities where supervisory personnel are continually on duty and effective provisions are made to ensure that occupants are not closed or sealed inside the compartment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
2. Amendment adding Exception filed 3-5-2002; operative 4-4-2002 (Register 2002, No. 10).
§3260. Sanitation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). For prior history, refer to Register 75, No. 32.
§3261. Nonwater Carriage Disposal Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
Article 4. Access, Work Space, and Work Areas
§3270. Access General.
Note     •     History

(a) Access to every permanent elevated work location shall be by means of either fixed ladders or permanent ramps or stairways.
Note: For ramp requirements see Section 3232 of these Orders. For stairway requirements see Section 3234 of these Orders. For fixed ladder requirements see Section 3277 of these Orders.
(b) Every permanent elevated work location, where there is machinery, equipment, or material which is customarily operated or frequently repaired, serviced, adjusted, or otherwise handled and every other permanent elevated work location, shall be provided with a safe platform or maintenance runway. 
(c) Access shall be provided to all equipment and appliances except those located on roofs of dwellings and their accessory buildings.
Note: For mobile vehicles and equipment, see Section 3210(b), Exception No. 9.

Exceptions: 
(1) Access to elevator machinery rooms shall comply with the Elevator Safety Orders.
(2) This Article does not apply to overhead electric and communication systems, overhead line shaft bearings and clutches, valves, or similar controls which are in frequently serviced or operated from safely hooked or otherwise stable or fixed ladders or to cranes covered more specifically elsewhere in these Orders.
(d) Every permanent pit, sump, or other sunken location 30 inches or more in depth in, or from which, machinery, equipment, or materials are customarily operated or frequently repaired, serviced, adjusted, or otherwise handled shall be provided with a safe means of access. Such means of access shall be provided by means of either portable or fixed ladders or permanent stairways.
Note: Access to electrical equipment shall not be less than that required by the Electrical Safety Orders, Title 8, CCR.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (a) and (d) filed 9-3-76; effective thirtieth day thereafter (Register 76, No. 36).
3. Amendment of subsection (c) and repealer of subsection (d) filed 3-3-77; effective thirtieth day thereafter (Register 77, No. 10).
4. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
5. Change without regulatory effect adding Note for subsection (b) and amending Note for subsection (c) filed 7-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 29).
6. Amendment of section and Note filed 2-29-2008; operative 3-30-2008 (Register 2008, No. 9).
§3270.1. Use of Rope Access Equipment.
Note     •     History

(a) Scope and Application. This section establishes safety requirements for rope access and the use, care and maintenance of rope access equipment as defined in Section 3207. Rope supported work shall be permitted only when other means of access are not feasible or would increase the risk of injury to the employee and/or the public. The requirements of this section include, but are not limited to, the inspection of dams and spillways, access to interior or exterior structural and architectural components of buildings, highway/bridge inspection and maintenance, and access to powerplant penstocks.

Exception: (1) Window cleaning and exterior building maintenance as regulated by Articles 5 and 6 of these Orders; (2) Emergency search and rescue operations; (3) Entertainment performances and rehearsals.
(b) Approval. Rope access equipment shall be approved for its intended use as defined in Section 3206 of these Orders.
(c) Training.
(1) The employer shall establish, implement and maintain a written Code of Safe Practices for rope access work. The written Code of Safe Practices shall include, but not be limited to the following elements:
a. Methods of rope access and anchorage used by the employer.
b. Employee selection criteria.
c. Equipment selection and inspection criteria.
d. Roles and responsibilities of rope access team members.
e. Communication systems.
f. Employee training program.
g. Rescue and emergency protocol.
h. Identification of any unique site hazards that may affect the safety of employees using rope access methods.
(2) Employees shall be trained in accordance with the Code of Safe Practices, including rescue techniques. The employer shall evaluate the competence of the employee to perform rope access in accordance with the Code of Safe Practices including a hands-on demonstration by the employee of his/her rope access skills.
(3) Employees who perform rope access shall receive annual refresher training. The training shall include a reevaluation (e.g., hands-on demonstration) of the employee's ability to perform rope access in accordance with the Code of Safe Practices.
(4) Documentation of employee training shall be maintained as required by Section 3203 of these Orders.
(d) Equipment Inspection and Maintenance.
(1) The manufacturer's recommendations for use, care, inspection and maintenance of rope access equipment shall be followed.
(2) A qualified person shall inspect rope access equipment each day before and after use to determine that the equipment is safe for its intended use.
(3) Damaged or defective rope access equipment shall be immediately removed from service.
(e) Anchorage. Anchorages shall be sufficient to safety support at least twice the maximum anticipated dynamic load imposed upon them as determined by a qualified person.
(f) Personal Protective Equipment. Employees performing rope access work shall be provided personal protective equipment in accordance with Article 10 of these Orders.
(g) There shall be at least two trained employees present when rope access equipment and techniques are used.
(h) Trainer Qualifications. Employees who use rope access equipment and/or perform rope access shall be trained by persons with the qualifications and experience necessary to effectively instruct the employee in the proper fundamentals of rope access, equipment, and techniques as described in subsection (c) of this section.
(i) The employer shall provide for the prompt rescue of employees in case of equipment malfunction or a fall, or shall assure that employees are able to rescue themselves.
(j) A safety, secondary, belay, or backup line, or other appropriate fall arrest device shall be used when the main line is the primary means of support, unless the employer can demonstrate that the second line or other fall arrest device would create a greater hazard or would otherwise be infeasible.
(1) When a safety line is used in conjunction with the main line, each line shall be provided with a separate anchor, and shall be separately fixed to the employee's harness. This shall not prohibit both lines from being attached to a single harness attachment point.
(k) Precautions (e.g., barricades, warning lines) shall be taken to control vehicular traffic and/or prevent unauthorized persons from walking or working beneath employees performing rope access operations.
(l) The employer shall conduct a pre-rope access briefing to discuss the objective(s) of the rope access work to be performed, any unusual site-specific hazards or environmental conditions that could affect the safety of the employee, and emergency procedures to be followed (e.g., employee rescue).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
§3271. Openings.
Note     •     History

(a) Openings to attics, furred ceiling spaces, and underfloor spaces shall not be less than 22 inches by 30 inches.
(Title 24, Par 2, Section 2-3320(f))

Exceptions: 
1. Where fixed ladders extend through such openings, the openings shall be not less than 30 inches by 30 inches.
2. Floor furnaces located in underfloor spaces shall have openings of not less than 18 inches by 24 inches.
(b) When the opening is less than 4 feet in any dimension, the appliance or equipment shall not be located more than 20 feet from the opening.
(Title 24, Part 2, Section 2-3320(g))
(c) Where for inspection or maintenance it is necessary to pass through roof and ceiling trapdoors which are of such size and weight that to open or close them subjects an employee to the risk of injury, they shall be constructed and maintained so that they can be easily opened and closed from a safe working position.
(Title 24, Part 4, Section 4-504)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18493(c), Health and Safety Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
§3272. Aisles, Walkways, and Crawlways.
Note     •     History

(a) Crawlways shall not be less than 24 inches in width and as high as the opening or 30 inches, whichever is greater.

Exceptions: 
1. Whenever any openings to such equipment are provided in weatherproof enclosures, such openings may be reduced to 15 inches in the least dimension if the equipment can be properly serviced, repaired, or replaced from these openings without removing any permanent construction.
2. Underfloor crawlways shall be not less than 24 inches by 24 inches.
(b) Where aisles or walkways are required, machinery equipment, parts, and stock shall be so arranged and spaced as to provide clear walkways or aisles of not less than 24 inches in width and 6 feet 8 inches clear headroom to a safe means of egress from the building.
In existing installations, which do not comply with the minimum headroom clearance specified above, the obstruction shall be removed, or if this is impracticable, a suitable warning sign shall be placed near or on the obstruction so as to notify employees of its presence. When the nature of the hazard is such that padding it will increase safety, this also shall be done. In no case shall the clear headroom be less than 6 feet.
(c) Permanent aisles, ladders, stairways, and walkways shall be kept reasonably clear and in good repair. Where, due to lack of proper definition, such aisles or walkways become hazardous, they shall be clearly defined by painted lines, curbings, or other method of marking.
(d) Whenever aisles, walkways, or crawlways become slippery, high-friction surfaces, cleats, coverings, or other equivalent protection against slipping will be required.
(e) Where industrial vehicles are in customary use, traffic aisles designed for the passage of a single vehicle shall be at least 2 feet wider than the widest vehicle. Two-way traffic aisles shall be at least 3 feet wider than twice the width of the widest vehicle. The Division will permit the use of suitable turnouts adjacent to one-way traffic aisles for two-way traffic when the use of such turnouts will provide equivalent safety.

Exception: Storage access aisles as defined in Section 3207.
(f) Where normal clearances present a hazard with the use of industrial vehicles, clearance limit warning signs shall be provided.
(Title 24, Part 2, Section 2-3313(i))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (f) filed 5-10-77; effective thirtieth day thereafter (Register 77, No. 20). For prior history, see Register 76, No. 29.
2. Amendment of subsection (e) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
3. Amendment of subsection (f) filed 12-23-77; effective thirtieth day thereafter (Register 77, No. 52).
4. Amendment of subsection (f) filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
§3273. Working Area.
Note     •     History

(a) Permanent floors and platforms shall be free of dangerous projections or obstructions, maintained in good repair, and reasonably free of oil, grease, or water. Where the type of operation necessitates working on slippery floors, such surfaces shall be protected against slipping by using mats, grates, cleats, or other methods which provide equivalent protection. Where wet processes are used drainage shall be maintained and false floors, platforms, mats, or other dry standing places provided.
(Title 24, Part 2, Section 2-2304(f))
(b) Permanent roadways, walkways, and material storage areas in yards shall be maintained free of dangerous depressions, obstructions, and debris.
(c) Platforms, runways, ramps, or other elevated working levels, except catwalks, that are 30 inches or more above the floor, ground, or other working area shall be no less than 2 feet wide and have no less than 6 1/2 feet clear headroom. In existing installations where an overhead hazard exists due to clearances of less than 6 1/2 feet above ramps, runways, platforms, or other elevated work areas, such work area shall be relocated and the obstruction removed. If these procedures are impracticable, a suitable warning shall be placed near the obstruction to notify employees of its presence. Where the nature of the hazard is such that padding will increase safety, it shall be installed.
(Title 24, Part 2, Section 2-3320(h)(1))
(d) Catwalks shall be no less than 18 inches wide and have 6 1/2 feet clear headroom. When installed along inclined conveyors, crane booms, etc., where because of structural or load conditions it is unreasonable to comply with basic ramp standards, catwalks may have a slope exceeding 18 degrees.
(Title 24, Part 2, Section 2-3320(h)(2))

Exceptions: 
1. When required location dictates, a catwalk may have less overhead clearance if a warning and padding are provided as in (c).
2. In bowling alleys at pin-spotting and pin-setting machines, catwalks shall be no less than nominal 8 inches wide and provided with an adequate handrail if the sides are not protected by another structure.
(e) Protection from falling objects:
(1) Where there is employee exposure below an elevated work area, one or more of the following safeguards shall be implemented:
(A) Provide toeboards, screens, or guardrail systems in accordance with Article 2 of these Orders to prevent objects from falling from higher levels; or,
(B) Provide a canopy structure to protect employees from falling objects; or,
(C) Provide a physical barrier such as, but not limited to, fencing, barricades or other equivalent means or methods, to prevent entry into the area to which objects could fall.
(2) Where the type of process or operation, exclusive of repair and maintenance, is such that there are hazards to employees from materials falling through platform or runway openings, the openings shall be limited to a size that prevents materials falling through the openings.
(3) Where platform or runway gratings are used as work areas during repair or maintenance, there shall be provided at such areas suitable safeguards to prevent tools or materials falling on employees below. Such safeguards may be netting suspended below the work area, canvas, planking on the surface of the grating, or barricaded or sheltered areas below the work area.
(f) Lowering objects:
(1) Where there is employee exposure below an elevated work area, all objects, including materials, equipment and tools shall be lowered in a controlled manner, such as but not limited to using enclosed chutes, material handling equipment, or hand lines; or,
(2) When controlled lowering is not practical, or would subject employees to a greater risk of injury, protection from falling objects shall be provided by the use of effective physical barriers, such as but not limited to canopies, fencing, barricades, or barrier tape when the barrier tape is attended by a spotter who is authorized to effectively restrict entry into the area and who is on the same level as the area of the exposure, or other equivalent means or methods.
(A) Signs in accordance with Section 3340 shall be posted at the perimeter of the affected work area to warn employees of the hazard.
(g) Where it is necessary to lubricate or adjust prime movers, machines, or equipment, which extends below the floor line, sufficient work space shall be provided for the safe performance of the work.
(h) Permanently installed prime movers, machines, and equipment shall be located and guarded so that transported material does not strike either the moving parts of machines or the employees at their operating positions.
(i) Machines or equipment shall be located and guarded so that the product, waste stock, or material being worked or processed does not endanger employees.
(j) Where machinery or equipment is installed in a pit and there are shear hazards between the pit edges and parts of the machine or equipment, skirt guards shall be installed to remove such hazards, or such other device used to provide equivalent protection.
(k) Every shop transfer car and equipment carriage operating on rails, together with their loads, shall clear stationary machines, equipment, structures, or piled or stacked material, by at least 24 inches.
(l) Ditches, pits, excavations and surfaces in poor repair shall be guarded by readily visible barricades, rails or other equally effective means.
(m) Existing installations having impaired clearances shall be well posted to indicate the hazards due to such impaired clearance, and shall be guarded by guardrails, barricades, or other means.

Exceptions: 
1. Inaccessible monorails, conveyors, and similar equipment operating on rails.
2. Transfer cars or carriages where the process is such that a minimum of clearance is necessary for safe operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b) and (c) filed 2-18-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment of subsection (j) filed 7-19-79; effective thirtieth day thereafter (Register 79, No. 29).
5. New subsection (l) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
7. New subsections (e)-(e)(1)(C) and (f)-(f)(2)(A) and redesignation of former subsections (e)-(f) as subsections (e)(2)-(3) filed 8-26-2003; operative 9-25-2003 (Register 2003, No. 35).
§3274. Valves and Controls.
Note     •     History

(a) Where pipe valves require daily manipulation and are so located that they cannot be reached or operated from the floor, a permanent platform or other safe means of operation shall be provided.
(Title 24, Part 2, Section 2-3328(a))
(b) Valves or other controls shall not be so located that their manipulation exposes the employee to hazards of dangerous moving parts of prime movers, machines, or transmission equipment.
(Title 24, Part 2, Section 2-3328(b))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9). 
§3275. Scaffolds.
Note     •     History

Scaffolds shall be of construction at least equivalent to that required by articles 21-23 of the Construction Safety Orders (sections 1635.1-1667 of these regulations) and shall be suitable for the work to be performed thereon.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former section 3276 to section 3275 filed 12-11-90; operative 1-10-91 (Register 91, No. 3). For prior history, see Register 84, No. 50).
§3276. Portable Ladders.
Note     •     History

(a) Scope. This section is intended to prescribe rules and establish minimum requirements for the design, construction, selection, care, and use of all self-supporting and non-self-supporting portable ladders, in order to insure safety under normal conditions of usage. This section does not apply to ladder type step stools or other types of step stools except for the definition of “step stool (ladder type)” in subsection (b) and the design and construction requirements of subsection (c)(5).
(b) Definitions.
Extension Ladder. An extension ladder is a non-self-supporting portable ladder adjustable in length. It consists of two or more sections traveling in guides or brackets so arranged as to permit length adjustment. Its size is designated by the sum of the lengths of the sections measured along the side rails.
Extension Trestle Ladder. An extension trestle ladder is a self-supporting portable ladder, adjustable in length, consisting of a trestle ladder base and a vertically adjustable single ladder, with suitable means for locking the ladders together. The size is designated by the length of the trestle ladder base.
Ladders. A ladder is an appliance usually consisting of two side rails joined at regular intervals by crosspieces called steps, rungs, or cleats, on which a person may step in ascending or descending.
Sectional Ladder. A sectional ladder is a non-self-supporting portable ladder, nonadjustable in length, consisting of two or more sections of ladder so constructed that the sections may be combined to function as a single ladder. Its size is designated by the overall length of the assembled sections.
Side-Rolling Ladder. A side-rolling ladder is a semifixed ladder, nonadjustable in length, supported by attachments to a guide rail, which is generally fastened to shelving, the plane of the ladder being also its plane of motion.
Single Ladder. A single ladder is a non-self-supporting portable ladder, nonadjustable in length, consisting of but one section. Its size is designated by the overall length of the side rail.
Single-Rail Ladder. A ladder with rungs, cleats, or steps mounted on a single-rail instead of the normal two rails used on most other ladders. 
Special-Purpose Ladder. A special-purpose ladder is a portable ladder which represents either a modification or a combination of design or construction features in one of the general-purpose types of ladders previously defined, in order to adapt the ladder to special or specific uses.
Step Ladder. A step ladder is a self-supporting portable ladder, nonadjustable in length, having flat steps and a hinged back. Its size is designated by the overall length of the ladder measured along the front edge of the side rails.
Step stool (ladder type). A self-supporting, foldable, portable ladder, nonadjustable in length, 32 inches or less in length, with flat steps and without a pail shelf, designed so that the ladder top cap as well as all steps can be climbed on. The side rails may extend above the top-cap but such extension is not considered as part of the step stool length.
Trestle Ladder. A trestle ladder is a self-supporting portable ladder, nonadjustable in length, consisting of two sections hinged at the top to form equal angles with the base. The size is designated by the length of the side rails measured along the front edge.
Trolley Ladder. A trolley ladder is a semifixed ladder, nonadjustable in length, supported by attachments to an overhead track, the plane of the ladder being at right angles to the plane of motion.
(c) Design and Construction.
(1) Portable wood ladders placed in service after January 7, 2011 shall meet the design and construction requirements of ANSI A14.1-2007, American National Standard for Ladders -- Wood Safety Requirements, which is hereby incorporated by reference. Portable wood ladders placed in service on or before January 7, 2011, shall meet the design and construction requirements of the ANSI A14.1 standard in effect at the time such ladders were placed in service. 

Exception: Portable job-made cleat ladders that are designed and constructed in accordance with the requirements of Section 1676 of the Construction Safety Orders. 
(2) Portable metal ladders placed in service after January 7, 2011, shall meet the design and construction requirements of ANSI A14.2-2007, American National Standard for Ladders -- Portable Metal -- Safety Requirements, which is hereby incorporated by reference. Portable metal ladders placed in service on or before January 7, 2011, shall meet the design and construction requirements of either the ANSI A14.2 standard or the ANSI A14.10 standard, American National Standard for Ladders -- Portable Special Duty Ladders, in effect at the time such ladders were placed in service. 
(3) Portable reinforced plastic ladders placed in service after January 7, 2011, shall meet the design and construction requirements of ANSI A14.5-2007, American National Standard for Ladders -- Portable Reinforced Plastic -- Safety Requirements, which is hereby incorporated by reference. Portable reinforced plastic ladders placed in service on or before January 7, 2011, shall meet the design and construction requirements of either the ANSI A14.5 standard or the ANSI A14.10 standard in effect at the time such ladders were placed in service. 
(4) Portable special purpose ladders that are not covered by one of the ANSI A14 standards referenced in this section shall be designed and constructed in accordance with sound engineering principles and approved per Section 3206. 
(5) Ladder type step stools shall be designed and constructed such that the rungs, cleats, and steps are not less than 8 inches apart, or more than 12 inches apart, as measured between center lines of the rungs, cleats, and steps.
(d) Selection. 
(1) Ladders shall be selected and their use restricted to the purpose for which the ladder is designed. Single-rail ladders shall not be used. 
(A) Scaffolds or other worker positioning equipment shall be used when work cannot be safely done from ladders. 
(B) Portable ladders are generally designed for one-person use to meet the requirements of the person, the task, and the environment. When selecting a ladder for use, consideration shall be given to the ladder length or height required, the working load, the duty rating, worker position to the task to be performed, and the frequency of use to which the ladder will be subjected. 

NOTE: Subsection (e)(16)(D) prohibits the use of ladders that exceed specified maximum lengths.
(2) Ladders shall be used according to the following duty classifications: 

Duty Rating	 Ladder Type	Working Load (Pounds)

Special Duty	IAA	375
Extra Heavy-Duty	IA	300
Heavy-Duty	I	250
Medium-Duty	II	225
Light-Duty	III	200
(3) Ladders used in connection with ladder jack scaffolds shall be Type I, IA, or IAA duty rated ladders and shall be installed and used in accordance with the Construction Safety Orders, Section 1648.
(4) Ladders used in connection with outdoor advertising structures shall be Type I, IA, or IAA duty rated and shall be used in accordance with Section 3413. 
(e) Care, Use, Inspection and Maintenance of Ladders.
(1) Maintenance. Ladders shall be maintained in good condition at all times, the joint between the steps and side rails shall be tight, all hardware and fittings securely attached, and the movable parts shall operate freely without binding or undue play. Metal ladders shall not be exposed to acid or alkali materials that are capable of corroding the ladder and reducing the ladder's strength, unless the employer obtains and follows the recommendations of the ladder manufacturer or a qualified person regarding exposure to corrosive materials.
(2) Inspection. Ladders shall be inspected by a qualified person for visible defects frequently and after any occurrence that could affect their safe use.
(3) Damaged Ladders. Ladders that have developed defects shall be withdrawn from service for repair or destruction; and tagged or marked as “Dangerous, Do Not Use” or with similar language. Ladders with broken or missing steps, rungs, cleats, safety feet, side rails, or other defects shall not be used. 
(4) Cleaning. Ladders shall be free of oil, grease, or slippery materials. 
(5) Surface Coatings.
Wood ladders shall not be painted with other than a transparent material. 
(6) Loading. Portable ladders shall not be overloaded when used. 
(7) Footing Support. The ladder base section of surface supported ladders shall be placed on a secure and level footing. When necessary, ladder levelers shall be used to achieve equal rail support on uneven surfaces. Ladders shall not be placed on boxes, barrels or other unstable bases to obtain additional height. Ladders shall not be used on ice, snow or slippery surfaces unless suitable means to prevent slippage have been employed. 
(8) Top Support. The top of non-self-supporting ladders such as single and extension ladders shall be placed with the two rails supported equally, unless a single support attachment is provided and used. 
The top rest for portable rung and cleat ladders shall be reasonably rigid and shall have ample strength to support the applied load. 
(9) Angle of Inclination. Non-self-supporting ladders such as single ladders and extension ladders shall, where possible, be used at such a pitch that the horizontal distance from the top support to the foot of the ladder is one-quarter of the working length of the ladder (the length along the ladder between the foot and the top support). The ladder shall be so placed as to prevent slipping, or it shall be tied, blocked, held, or otherwise secured to prevent slipping. Ladders shall not be used in a horizontal position as platforms, runways, or scaffolds unless designed for such use. 
(10) Access to Elevated Work Areas. Except when portable ladders are used to gain access to fixed ladders (such as those on utility towers, billboards, and other structures where the bottom of the fixed ladder is elevated to limit access), when two or more separate ladders are used to reach an elevated work area, the ladders shall be offset with a platform or landing between the ladders.
(11) Access to Landings. When portable ladders are used for access to an upper landing surface, the side rails shall extend not less than 36 inches above the upper landing surface to which the ladder is used to gain access; or when such an extension is not possible, then the ladder shall be secured at its top to a rigid support that will not deflect, and a grasping device, such as a grab-rail, shall be provided to assist employees in mounting and dismounting the ladder. In no case shall the extension be such that ladder deflection under a load would, by itself, cause the ladder to slip off its support. 

EXCEPTION No. 1: A grasping device such as a grab-rail is not required where the employee is protected by personal fall protection system in accordance with Article 24 of the Construction Safety Orders, Article 36 of the High-Voltage Electrical Safety Orders, Article 12 of the General Industry Safety Orders, or Article 1 of the Telecommunication Safety Orders. Operations or conditions not specifically covered by Article 36 of the High-Voltage Electrical Safety Orders, Article 12 of the General Industry Safety Orders, or Article 1 of the Telecommunication Safety Orders shall comply with the fall protection provisions of Article 24 of the Construction Safety Orders.

EXCEPTION No. 2: The provisions of this subsection do not apply to emergency rescue and emergency rescue training operations where it is not practical to extend a portable ladder 36 inches or more above the landing surface.
(12) Fastening Together. Ladders shall not be tied or fastened together to provide longer sections unless the ladders are designed for such use and equipped with the necessary hardware fittings. 
(13) Erection of Extension Ladders. Extension ladders shall always be erected so that the top section (fly section) is above and resting on the bottom section (base section) with the rung locks engaged.
(14) Ladder Placement. Ladders shall not be placed in passageways, doorways, driveways, or any location where they may be displaced by activities being conducted on any other work, unless protected by barricades or guards. 
(15) Climbing and Working on Ladders. 
(A) The employee shall climb or work with the body near the middle of the step or rung and shall not overreach from this position. When necessary to avoid overreaching, the employee shall descend and reposition the ladder. When it is not practical to work with the body near the middle of the step or rung, the ladder shall be secured to the top support, and the employee shall be protected by a personal fall protection system in accordance with Article 36 of the High-Voltage Electrical Safety Orders, Article 24 of the Construction Safety Orders, Article 12 of the General Industry Safety Orders, or Article 1 of the Telecommunication Safety Orders. Operations or conditions not specifically covered by Article 36 of the High-Voltage Electrical Safety Orders, Article 12 of the General Industry Safety Orders, or Article 1 of the Telecommunication Safety Orders shall comply with the fall protection provisions of Article 24 of the Construction Safety Orders.
(B) Employees shall be prohibited from carrying equipment or materials which prevent the safe use of ladders. 
(C) When ascending or descending a ladder, the user shall face the ladder and maintain contact with the ladder at three-points at all times.

NOTE: Contact with the ladder at three points means two feet and one hand, or two hands and one foot which is safely supporting the user's weight.
(D) An employee shall not be permitted to stand and work on the top 3 rungs of a single or extension ladder unless there are members of the structure that provide a firm handhold or the employee is protected by a personal fall protection system in accordance Article 24 of the Construction Safety Orders, Article 36 of the High Voltage Electrical Safety Orders, Article 12 of the General Industry Safety Orders, or Article 1 of the Telecommunication Safety Orders. 
(E) Employees shall not sit, kneel, step or stand on the pail shelf, topcap or the step below the topcap of a step ladder. 

Exception: Employees may stand on the step below the topcap provided it is located 18 inches under the topcap. 
(F) Cross-bracing on the rear section of step ladders shall not be used for climbing unless the ladders are designed and provided with steps for climbing on both front and rear sections.
(G) Ladders shall not be moved, shifted, or extended while occupied, unless the ladder is designed and recommended for this purpose by the manufacturer. 
(16) Prohibited Uses. 
(A) Ladders shall not be used as a brace, skid, guy or gin pole, gang-way, or for other uses than that for which they were intended, unless specifically recommended for use by the manufacturer. 
(B) Planks shall not be used on the top step or topcap of step ladders.
(C) Step ladders shall not be used as single ladders or in the partially closed position. 
(D) Ladders that exceed the following maximum lengths shall not be used:

Ladder Type	Maximum Length (Feet)
Step ladder 	20
Two-section extension ladder (wood) 	60
Two-section extension ladder (metal) 	48
Three-section extension ladder (metal) 	60
Two-section extension ladder (reinforced plastic) 	72
Trestle ladder 	20
Extension trestle ladder base section 	20
Extension trestle ladder extension section 	20
Painter's step ladder	12
Mason's ladder  	40
Cleat ladder 	30
Trolley ladder or side-rolling ladder	20
Single ladder 	30
(E) Two section extension ladders shall not be used when the overlap between the sections is less than the following minimum overlap:

Ladder Size (Feet) 	Minimum Overlap (Inches)
Up to and including 32 	36
Over 32, up to and including 36  	46
Over 36, up to and including 48 	58
Over 48, up to and including 60	70 
(17) Portable rung ladders with reinforced rails shall be used only with the metal reinforcement on the under side.
(18) Electrical Hazards. Non-conductive ladders shall be used in locations where the ladder or user may contact unprotected energized electrical conductors or equipment. Conductive ladders shall be legibly marked with signs reading “CAUTION--Do Not Use Around Electrical Equipment,” or equivalent wording. 

NOTE: Additional requirements for working in proximity to energized electrical equipment can be found in Article 37 of the Electrical Safety Orders. 
(19) The area around the top and bottom of a ladder shall be kept clear.
(f) Employee Training. Before an employee uses a ladder, the employee shall be provided training in the safe use of ladders, unless the employer can demonstrate that the employee is already trained in ladder safety as required by this subsection. Supervisors of employees who routinely use ladders shall also be provided ladder safety training, unless the employer can demonstrate that the supervisor is already trained in ladder safety as required by this subsection. The training may be provided as part of the employer's Injury and Illness Prevention Program required by Section 3203. The training shall address the following topics, unless the employer can demonstrate a topic is not applicable to the safe use of ladders in the employer's workplace.
(1) Importance of using ladders safely, including: frequency and severity of injuries related to falls from ladders.
(2) Selection, including: types of ladders, proper length, maximum working loads, and electrical hazards.
(3) Maintenance, inspection, and removal of damaged ladders from service.
(4) Erecting ladders, including: footing support, top support, securing, and angle of inclination.
(5) Climbing and working on ladders, including: user's position and points of contact with the ladder. 
(6) Factors contributing to falls, including: haste, sudden movement, lack of attention, footwear, and user's physical condition.
(7) Prohibited uses, including: uses other than designed, climbing on cross bracing, maximum lengths, and minimum overlap of extension ladder sections.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former section 3276 to section 3275 and new section 3276 filed 12-11-90; operative 1-10-91 (Register 91, No. 3). For prior history, see Register 85, No. 9).
2. Amendment of subsection (a)(3) and new subsection (a)(4) filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
3. New subsection (b) and explanatory Note filed 6-16-98; operative 7-16-98 (Register 98, No. 25).
4. Renumbering of former section 3276 to section 3278 and renumbering and amendment of former section 3278 to new section 3276 filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
5. Amendment of subsection (e)(15)(E) and new Exception filed 12-29-2011; operative 1-28-2012 (Register 2011, No. 52).
6. Amendment of subsections (b) and (d)(1) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§3277. Fixed Ladders.
Note     •     History

(a) All fixed ladders shall be approved as defined in Section 3206 of the General Industry Safety Orders.
(b) Definitions.
Cage. A cage is a guard that may be referred to as a cage or basket guard, which is an enclosure that is fastened to the side rails of the fixed ladder or to the structure to encircle the climbing space of the ladder for the safety of the person who must climb the ladder.
Carrier. The track of a ladder safety system consisting of a flexible cable or rigid rail, which is secured to the ladder or structure by mountings.
Cleats. Cleats are ladder crosspieces of rectangular cross section placed on edge on which a person may step in ascending or descending.
Fastenings. A fastening is a device to attach a ladder to a structure, building, or equipment. Fixed, hinged, bearing, or slide-type fastenings may be used.
Fixed Ladder. A fixed ladder is a ladder permanently attached to a structure, building, or equipment. Ladders referred to in this code shall be construed to be fixed ladders.
Grab Bars. Grab bars are individual handholds placed adjacent to or as an extension above ladders for the purpose of providing access beyond the limits of the ladder.
Individual-Rung Ladder. An individual-rung ladder is a fixed ladder each rung of which is individually attached to a structure, building, or equipment.
Ladder. A ladder is an appliance usually consisting of two side rails joined at regular intervals by crosspieces called steps, rungs, or cleats, on which a person may step in ascending or descending.
Ladder Safety System. An approved assembly of components whose function is to arrest the fall of a user. The ladder safety system shall include the carrier and its associated attachment elements (brackets, fasteners, etc.), safety sleeve, full body harness and connectors, wherein the carrier is permanently attached to the climbing face of the ladder or immediately adjacent to the structure.
Pitch. Pitch is the included angle between the horizontal and the ladder, measured on the opposite side of the ladder from the climbing side.
Rail Ladder. A rail ladder is a fixed ladder consisting of side rails joined at regular intervals by rungs or cleats and fastened in full length or in sections to a building, structure, or equipment.
Railings. Railings when referred to in this section shall be any one or a combination of those railings defined in Section 3210.
Rungs. Rungs are ladder crosspieces on which a person may step in ascending or descending.
Safety Sleeve. The part of a ladder safety system consisting of the moving component with locking mechanism that travels on the carrier and makes the connection between the carrier and the full body harness.
Side-Step Ladder. A side-step ladder is one from which a person getting off at the top must step sideways from the ladder in order to reach the landing, such as shown in Fig. 3.
Steps. Steps are the flat crosspieces of a ladder on which a person may step in ascending or descending.
Through Ladder. A through ladder is one from which a person getting off at the top must step through the ladder in order to reach the landing, such as shown in Fig. 2.
Well. A well is a permanent complete enclosure around a fixed ladder, which is attached to the walls of the well. Proper clearances for a well will give the person who must climb the ladder the same protection as a cage. (See (g)(6) and Fig. 1.)
(c) Design Considerations. All ladders, appurtenances, and fastenings shall be designed to meet the following load requirements:
(1) The minimum design live load shall be a single concentrated load of 200 pounds.
(2) The number and position of additional concentrated live-load units of 200 pounds each as determined from anticipated usage of the ladder shall be considered in the design.
(3) The live loads imposed by persons occupying the ladder shall be considered to be concentrated at such point or points as will cause the maximum stress in the structural member being considered.
(4) The weight of the ladder and attached appurtenances together with the live load shall be considered in the design of rails and fastenings.
(5) All wood parts of fixed ladders shall meet the design and construction requirements for portable wood ladders in Section 3276(c).
(6) For fixed ladders consisting of wood side rails and wood rungs or cleats, used at a pitch in the range 75 degrees to 90 degrees, and intended for use by no more than one person per section, single ladders or cleat ladders as described in Section 3276 are acceptable.
(d) Specific Features.
(1) All rungs shall have a minimum diameter of 3/4 inch for metal ladders, except as covered in (e)(1) and a minimum diameter of 1 1/8 inches for wood ladders. Materials other than steel, aluminum, and wood are acceptable provided the design, fabrication, and erection are in accordance with recognized design practice and meet the design requirements of Section 3277(c) and Section 3277(d)(11) when applicable.
(2) The distance between the top surfaces of rungs, cleats, and steps shall not exceed 12 inches and shall be uniform throughout the length of the ladder.

Exceptions: 1. Manholes and Underground Vaults. Step spacing shall not exceed 16 inches between the top surfaces of rungs and shall be uniform throughout the length of the ladder.
2. The vertical distance of the first rung from ground level may be as high as 14 inches.
(3) The minimum clear length of rungs or cleats shall be 16 inches.

Exception: Manholes and Underground Vaults. Clear length of rungs or cleats shall not be less than 14 inches.
(4) Rungs, cleats, and steps shall be free of splinters, sharp edges, burrs, or projections which may be a hazard.
(5) The rungs of an individual-rung ladder shall be so designed that the climber's foot cannot slide off the end of a rung. A suggested design for metal rungs is shown in Fig. 4.
(6) Side Rails. Side rails which might be used as a climbing aid shall be of such cross sections as to afford adequate gripping surface without sharp edges, splinters, or burrs.
(7) Fastenings. Fastenings shall be an integral part of fixed ladder design.
(8) Splices. All splices made by whatever means shall meet design requirements as noted in (c). All splices and connections shall have smooth transition with original members and with no sharp or extensive projections.
(9) Electrolytic Action. Adequate means shall be employed to protect dissimilar metals from electrolytic action when such metals are joined.
(10) Welding. All welding shall be in accordance with procedures of the American Welding Society, or equivalent.
(11) Embedment. Individual rungs of ladders installed in manholes and underground vaults having a wall thickness which will not permit at least 6 inches of embedment shall have anchoring devices that will provide the minimum design load requirements of Section 3277(c) in addition to the following requirements:
(A) The minimum design live load shall be a single concentrated load of 300 pounds.
(B) Steps or rungs shall be embedded in the wall a minimum distance of 3 inches.
(e) Protection from Deterioration.
(1) Metal. Metal ladders and appurtenances shall be painted or otherwise treated to resist corrosion and rusting when location demands. Ladders formed by individual metal rungs imbedded in concrete, which serve as access to pits and to other areas under floors, are frequently located in an atmosphere that causes corrosion and rusting. To increase rung life in such atmosphere, individual metal rungs shall have a minimum diameter of 1 inch or shall be painted or otherwise treated to resist corrosion and rusting.
(2) Wood. Wood ladders, when used under conditions where decay may occur, shall be treated with a nonirritating preservative, and the details shall be such as to prevent or minimize the accumulation of water on wood parts. Wood ladders shall not be painted but may be coated with a clear sealant after inspection has assured that all requirements of 3278 have been met.

Note: Paint does not act as a wood preservative.
(3) Combined Materials. When different types of materials are used in the construction of a ladder, the materials used shall be so treated as to have no deleterious effect, one upon the other.
(f) Clearance.
(1) On fixed ladders, the perpendicular distance from the center line of the rungs to the nearest permanent object on the climbing side of the ladder shall be 36 inches for a pitch of 76 degrees, and 30 inches for a pitch of 90 degrees (Fig. 5), with minimum clearances for intermediate pitches varying between these two limits in proportion to the slope, except as provided in (3) and (7).

Exception: Manholes and Underground Vaults.
(2) A clear width of at least 15 inches shall be provided each way from the center line of the ladder in the climbing space, except when cages or wells are necessary. (See (g)(2) and Fig. 5.)

Exception: Manholes and Underground Vaults.
(3) Ladders equipped with cage or basket shall be excepted from the provisions of (1) and (2), but shall conform to the provisions of (g)(5). Fixed ladders in smooth-walled wells shall be excepted from the provisions of (1), but shall conform to the provisions of (g)(6).
(4) The distance from the center line of rungs, cleats, or steps to the nearest permanent object in back of the ladder shall be not less than 7 inches (Fig. 5), except that when unavoidable obstructions are encountered, minimum clearances as shown in Fig. 6 shall be provided.

Exceptions: 
(1) Manholes and Underground Vaults. The clearance from the center line of rungs or steps shall not be less than 5 inches.
(2) Obstructions. At those locations where unavoidable obstructions are encountered, minimum clearances shall be as shown in Figure 6.
(5) The distance from the center line of the grab bar to the nearest permanent object in back of the grab bars shall be not less than 4 inches. Grab bars shall not protrude on the climbing side beyond the rungs of the ladder which they serve.
(6) The step-across distance from the nearest edge of ladder to the nearest edge of equipment or structure shall be not more than 12 inches, or less than 2 1/2 inches (Fig. 7).
(7) All hatch covers shall open a minimum of 60 degrees from the horizontal. The distance from the center line of rungs or cleats to the edge of the hatch opening on the climbing side shall be not less than 24 inches for offset wells or 30 inches for straight wells. There shall be no protruding potential hazards within 24 inches of the center line of rungs or cleats; any such hazards within 30 inches of the center line of the rungs or cleats shall be fitted with deflector plates placed at an angle of 60 degrees from the horizontal as indicated in Fig. 8. The relationship of a fixed ladder to an acceptable hatch cover is illustrated in Fig. 9.
(g) Cages or Wells.
(1) Construction. Cages or wells shall be built as shown on the applicable drawings, covered in detail in Figs. 1, 10, and 11, or of equivalent construction.

Exception: Chimney ladders and manholes and underground vaults.
(2) Dimensions and Maximum Length. Cages or wells conforming to the dimensions shown in Figs. 1, 10, and 11 shall be provided on ladders of more than 20 feet to a maximum unbroken length of 30 feet.

Exceptions:
(1) Fixed ladders on fire hose drying towers are not required to have a cage, well, offset platform, or ladder safety device if they do not exceed 30 feet in length and provided their use is restricted to trained fire fighters or others equally trained in ladder use.
(2) Fixed ladders on outdoor advertising structures covered by Article 11.
(3) Ladders equipped with ladder safety systems as provided under subsection (m).
(3) Top of Cage. Cages shall extend a minimum of 42 inches above the top of landing, unless other acceptable protection is provided.
(4) Bottom of Cage. Cages shall extend down the ladder to a point not less than 7 feet nor more than 8 feet above the base of the ladder, with the bottom flared not less than 4 inches. When the ladder terminates on a landing platform or walkway at an elevation greater than 30 inches above the ground, a ladder cage extension shall be provided from the bottom of the cage to the top of the guardrail when the distance from the plane of the ladder rungs to the guardrail is equal to or less than that shown in Figure 11, “Ladder Cages at Elevated Locations.”
(A) When the guardrail is located at a distance greater than that shown in Figure 11, a ladder cage extension need not be provided.
(B) The ladder cage extension or equivalent shall be constructed as follows:
1. The ladder cage extension or equivalent shall be capable of withstanding a force of at least 200 pounds applied horizontally at any point.
2. The ladder cage extension or equivalent shall be of solid construction, grille work with vertical bars located at a maximum spacing of 9-1/2 inches, center-to-center, or of slat-work with openings between slats not more than 4 vertical inches.
3. The ladder cage extension or equivalent shall be free of hazardous projections.
4. The ladder cage extension or equivalent shall be provided not less than two feet each side of the ladder center line where there is an exposure.
5. Vertical guardrail extensions may be used as equivalent construction for the ladder cage extension provided they are as high as the bottom of the cage opening and they comply with the provisions of (g)(4)(B).
(5) Size of Cage. Cages shall not extend less than 27 nor more than 30 inches from the center line of the rungs of the ladder. The cage shall not be less than 27 inches in width. The inside shall be clear of projections. Vertical bars shall be located at a maximum spacing of 9-1/2 inches, center-to-center around the circumference.
(6) Ladder Wells. Ladder wells shall have a clear width of at least 15 inches measured each way from the center line of the ladder. (See Fig.1.) Smooth-walled wells shall be a minimum of 27 inches and a maximum of 30 inches from the center line of rungs to the well wall on the climbing side of the ladder. Where other obstructions on the climbing side of the ladder exist, there shall be a minimum of 30 inches from the center line of the rungs.
(h) Pitch.
(1) Preferred Pitch. The preferred pitch of fixed ladders shall be considered to come in the range of 75 to 90 degrees with the horizontal. (See Fig. 12.)
(2) Substandard Pitch. Fixed ladders shall be considered as substandard if they are installed within the substandard pitch range of 60 to 75 degrees with the horizontal. Substandard fixed ladders shall be permitted only where it is found necessary to meet conditions of installation. (See Fig. 12.) This substandard pitch range shall be considered as a critical range to be avoided, if possible.
(3) Scope of Coverage in This Code. This code covers only fixed ladders within the pitch range of 60 to 90 degrees with the horizontal. (See Fig. 12.)
(4) Pitch Greater Than 90 Degrees. Ladders having a pitch in excess of 90 degrees with the horizontal shall not be permitted.

Exception: Manholes and Underground Vaults. Individual rung ladders installed in the walls of conical top sections of manholes and underground vaults shall be allowed to exceed a pitch of 90 degrees for a distance of not more than 2 rungs or steps in the conical top sections. The deviation from 90 degrees shall not exceed 6 inches. (See Figure 13.)
(i) Maintenance. All ladders shall be maintained in a safe condition. All ladders shall be inspected regularly, with the intervals between inspections being determined by use and exposure.
(j) Landing Platforms.
(1) When ladders are used to ascend to heights exceeding 20 feet, landing platforms shall be provided as follows:
(A) Where no cage, well, or ladder safety system is provided, landing platforms shall be provided for each 20 feet of height or fraction thereof. 
(B) Where a cage or well is provided and no ladder safety system is provided, landing platforms shall be provided for each 30 feet of height or fraction thereof.
(C) Each ladder section shall be offset from adjacent ladder sections at each landing. 
(D) Where installation conditions (even for a short, unbroken length) require that adjacent sections be offset, landing platforms shall be provided at each offset [See Subsection (m)].

Exceptions to subsection (j)(1):
1. Ladders used primarily in construction operations, fire escape ladders, and ladders equipped with treads.
2. Ladders on high-voltage transmission towers, chimneys, smoke stack ladders, water tower ladders and similar fixed ladders on permanent installations which are used either infrequently or for emergency only, provided the employee who uses the ladder is supplied with and wears approved personal fall protection equipment, which can be utilized if a rest period is required.
3. Ladders in underground mines as covered by the Mine Safety Orders.
(2) Where an employee has to step a distance greater than 12 inches from the center line of the rung of a ladder to the nearest edge of structure or equipment, a landing platform shall be provided. The minimum step-across distance shall be 2 1/2 inches (Figure 7).
(3) All landing platforms shall be equipped with guardrails and toeboards, so arranged as to give safe access to the ladder. Platforms shall be not less than 24 inches in width and 30 inches in length.
(4) One rung of any section of ladder shall be located at the level of the landing laterally served by the ladder. Where access to the landing is through the ladder, the same rung spacing as used on the ladder shall be used from the landing platform to the first rung below the landing (Figure 10).
(k) Ladder Extensions. The side rails of through or side-step ladder extensions shall extend 3 1/2 feet above parapets and landings. For through ladder extensions, the rungs shall be omitted from the extension and shall have not less than 18 nor more than 24 inches clearance between rails (Figure 2). For side-step or offset fixed ladder sections, at landings, the side rails and rungs shall be carried to the next regular rung beyond or above the 3 1/2 feet minimum (Figure 3).
(l) Grab Bars. Grab bars shall be spaced by a continuation of the rung spacing when they are located in the horizontal position. Vertical grab bars shall have the same spacing as the ladder side rails. Grab bar diameters shall be the equivalent of the round-rung diameters.
(m) Ladder Safety Systems. Ladder safety systems may be used on tower, water tank, and chimney ladders over 20 feet in unbroken length in lieu of cage protection. No landing platform shall be required in these cases. All ladder safety systems shall meet the design requirements of the ladders which they serve [See subsection (c)].

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Fig. 1
Clearance Diagram for Fixed Ladder in Well

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Fig. 2
Roof Ladder

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b)(14), (e)(2), (f)(1), (f)(2) and (g)(1) filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment of subsection (g)(5) filed 9-12-75 as an emergency; effective upon filing (Register 75, No. 37).
3. Amendment of subsection (g)(5) filed 1-2-76; effective thirtieth day thereafter (Register 76, No. 1).
4. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
5. Amendment of subsection (g)(2) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
6. Amendment of subsections (d), (f)(4) and (h)(4) filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
7. Amendment of Figure 4 filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
8. New Figure 13 filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
9. Editorial correction of subsection (d)(11) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
10. Repealer of subsections (g)(7)-(g)(13) and new subsections (j)-(m) filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
11. Editorial correction of subsection (j)(1) (Register 81, No. 46).
12. Editorial correction of subsection (j) (Register 82, No. 11).
13. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
14. Amendment of Figure 13 filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
15. Amendment of subsection (a) filed 6-1-92; operative 7-1-92 (Register 92, No. 23).
16. Editorial correction renumbering  second labeled figure 6 to 7 and third labeled figure 6 to 8 (Register 92, No. 33).
17. Editorial correction repositioning History notes (Register 92, No. 33).
18. Amendment of subsection (d)(2) Exception and Note filed 7-30-96; operative 8-29-96 (Register 96, No. 31).
19. Amendment of subsection (a) filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
20. Change without regulatory effect providing more legible figures 1-13 filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
21. Amendment of section, figure 11 and Note filed 10-22-2009; operative 11-21-2009 (Register 2009, No. 43).
22. Amendment of subsections (c)(5)-(6) filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
§3278. Use of Fixed Ladders.
Note     •     History

(a) Employees shall:
(1) be prohibited from carrying equipment or materials which prevent the safe use of ladders;
(2) be required to face the ladder when ascending and descending;
(3) always use both hands when climbing up or down the ladder; and
(4) be prohibited from using single-rail ladders.
(b) As used in this section, “single-rail ladders” means a ladder with rungs, cleats, or steps mounted on a single-rail instead of the normal two rails used on most other ladders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
4. Amendment filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
5. Amendment of subsection (e)(12) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
6. Amendment of subsection (e) filed 12-11-90; operative 1-10-91 (Register 91, No. 3).
7. New subsection (e)(21) filed 10-20-94; operative 11-21-94 (Register 94, No. 42).
8. Repealer of subsection (e)(16) and subsection renumbering filed 6-16-98; operative 7-16-98 (Register 98, No. 25).
9. Amendment of first paragraph filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
10. Renumbering of former section 3278 to section 3276 and renumbering and amendment of former section 3276 to new section 3278 filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
11. New subsection (b) filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
§3279. Portable Metal Ladders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c), repealer of subsections (d), (e)(2)-(e)(4) and renumbering of subsections (e)(5)-(e)(16) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
2. New subsection (c)(5) filed 5-30-80; effective thirtieth day thereafter (Register 80, No. 22).
3. Relettering of subsection (e) to subsection (d) filed 8-28-80; effective thirtieth day thereafter (Register 80, No. 35).
4. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
5. Amendment of subsections (b), (c)(3)(A), (d)(1), (d)(2), (d)(4), (d)(5) and (d)(10) filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
6. Amendment of subsection (d) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
7. Editorial correction of subsection (d) filed 8-29-85; effective thirtieth day thereafter (Register 85, No. 35). Ed. Note: No change in text.
8. Amendment of subsection (d) filed 12-11-90; operative 1-10-91 (Register 91, No. 3).
9. Amendment of subsection (d), designation of subsection (d)(10)(A) and new subsection (d)(10)(B) filed 10-20-94; operative 11-21-94 (Register 94, No. 42).
10. Amendment of first paragraph filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
11. Amendment of first paragraph filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
12. Repealer filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
§3280. Portable Reinforced Plastic Ladders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
2. Editorial correction of first sentence (Register 95, No. 24).
3. Amendment of first paragraph filed 3-19-99; operative 4-18-99 (Register 99, No. 12).
4. Amendment filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
5. Repealer filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
Article 5. Window Cleaning
§3281. Definitions.
Note     •     History

(a) For the purpose of Articles 5 and 6, certain terms are defined as follows, except for Appendix D:
Anchor. The fitting, fastened to the window frame or wall, to which the belt terminal is attached.
Anchor, double head. An anchor having two heads.
Anchor, single head. An anchor having one head.
Anchorage. A secure point of attachment for safety lines, lanyards or deceleration devices, and which is independent of the means of supporting or suspending the employee.
Anemometer. An instrument for measuring wind velocity.
Angulated Roping. A suspension method where the upper point of suspension is inboard from the attachments on the suspended unit, thus causing the suspended unit to bear against the face of the building.
Belt Terminal. That part of the window cleaner's safety belt which is fastened to the terminal strap to be attached to the anchor during the operation of window cleaning.
Belts, Window Cleaner's. The equipment meeting the requirements of Section 3284, attached to the body of the window cleaner while cleaning windows and shall include the terminal straps.
Buckle. Any device for holding the body belt and body harness closed around the wearer's body.
Buckle, Friction. Single Pass, Fixed Bar. A buckle which maintains its position on the webbing by means of a single pass of the webbing over the fixed center bar.
Buckle, Friction. Single Pass, Sliding Bar. A buckle which maintains its position on the webbing by means of a single looping of the webbing over the sliding center bar.
Buckle, Friction. Double Pass. A buckle which maintains its position on the webbing by friction and requires a double pass of the webbing over the center bar.
Buckle, Tongue. A buckle which depends upon a tongue passed through holes in the webbing or strength member of the belt to maintain its position.
Building. Any building or structure more than one story in height or having window sills more than 12 feet above grade, which is a place of employment.
Building Engineer of Record. A civil or structural engineer that designed the building or structure or the referenced portion of the building or structure.
Building Face  Roller. A rotating cylindrical member designed to ride on the face of the building wall to prevent the platform from abrading the face of the building and to assist in stabilizing the platform.
Building Maintenance. Operations such as window cleaning, caulking, metal polishing, reglazing, and general maintenance on building surfaces.
Building Official. Any state, county, city or local building inspector.
Cable. A conductor, or group of conductors, enclosed in a weatherproof sheath, that may be used to supply electrical power and/or control current for equipment or to provide voice communication circuits.
Carriage. A wheeled vehicle used for the horizontal movement and support of other equipment.
Certification. A written, signed and dated statement confirming the performance of a requirement of this orders.
Combination Cable. A cable having both steel structural members capable of supporting the platform, and copper or other electrical conductors insulated from each other and the structural members by nonconductive barriers.
Competent Person. One who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.
Connector. A device which is used to couple (connect) parts of the system together. It may be an independent component of the system (such as a carabineer), or an integral component of part of system (such as a buckle or dee-ring sewn into a body belt or body harness, or a snap-hook spliced or sewn to a lanyard or self-retracting lanyard).
Continuous Pressure. The need for constant manual actuation for a control to function.
Control. A mechanism used to regulate or guide the operation of the equipment.
Controlled Descent Apparatus (CDA). A CDA is a device used by window cleaners to achieve a controlled descent during window cleaning operations. The descent control capability of the CDA is derived by frictional forces developed when a line(s) passes over and/or around and/or through fixed members of the friction device designed to be readily controlled by the window cleaner.
Danger Zone. The “Danger Zone” is the area within six feet of the edge of a building's roof or protruding ledge. This area is only considered a “Danger Zone” if the roof or protruding ledge is not provided with a guardrail that stands 42 inches in height, a 42 inch high parapet, or a combination thereof.
Davit. A device, used singularly or in pairs, for suspending a powered platform from work, storage and rigging locations on the building being serviced. Unlike outriggers, a davit reacts its operating load into a single roof socket or carriage attachment.
Davit, Fixed. A davit designed to remain at a fixed location.
Davit, Ground Rigged. A davit which cannot be used to raise a suspended working platform above the building face being serviced.
Davit, Mobile. A davit designed to be used in association with a roof car. 
Davit, Portable. A davit designed and dedicated for a specific building or roof area, capable of being moved manually from work location to work location within the dedicated area.
Davit, Roof Rigged. A davit used to raise the suspended working platform above the building face being serviced. This type of davit can also be used to raise a suspended working platform which has been ground-rigged.
Davit Socket, Pivoted. An anchoring device that pivots inboard from the building face and transfers loads imposed by the davit to the roof structure or parapet.
Davit, Transportable. A davit designed to be structurally compatible with and capable of being moved from building to building or worksite (geographical area) to worksite.
Deceleration Device. A mechanism, such as a rope grab, ripstitch lanyard, specially woven lanyard, tearing or deforming lanyard, or automatic self retracting-safety line/lanyard, which serves to dissipate a substantial amount of energy during a fall arrest, or otherwise limits the energy imposed on an employee during fall arrest.
Deceleration Distance. The additional vertical distance a falling employee travels, excluding safety line elongation and free fall distance, before stopping, from the point at which the deceleration device begins to operate. It is measured as the distance between the location of an employee's body belt or body harness attachment point at the moment of activation (at the onset of fall arrest forces) of the deceleration device during a fall, and the location of that attachment point after the employee comes to a full stop.
Equivalent. Alternative design, material or method that is acceptable to the Division and which the employer can demonstrate will provide an equal or greater degree of safety for employees than the method, material or design specified in the standard. 
Extension Device. A hand tool used to perform window cleaning on surfaces beyond the normal reach of the window cleaner.
Free Fall. The act of falling before the personal fall arrest system begins to apply force to arrest the fall.
Free Fall Distance. The vertical displacement of the fall arrest attachment point on the employee's body belt or body harness between onset of the fall and just before the system begins to apply force to arrest the fall. This distance excludes deceleration distance, safety line and lanyard elongation but includes any deceleration device slide distance or self-retracting safety line/lanyard extension before they operate and fall arrest forces occur.
From the Inside. From a position in which all of the window cleaner's body except one arm and shoulder shall be on the interior side of the line of the window frame and with both feet on the floor.
From the Outside. From a position in which more of the window cleaner's body than one arm and shoulder is outside of the line of the window frame.
Grade. The ground,  floor,  sidewalk,  roof, or any other approximately level solid surface of sufficient area and having sufficient structural strength to be considered as a safe place to work.
Ground Rigging. A method of suspending a working platform starting from grade to a point of suspension above grade. 
Guide Button. A building face anchor designed to engage a guide track mounted on a platform.
Guide Roller. A rotating cylindrical member, operating separately or as part of a guide assembly, designed to provide continuous engagement between the platform and the building guides or guideways.
Guide Shoe. A device attached to the platform designed to provide a sliding contact between the platform and the building guides.
Height of Suspension. Where the term height of suspension is used in Articles 5 and 6 of these Orders, it refers to the specific suspension height on buildings or structures to the level below. To determine the suspension height, the distance is measured from the highest point of suspension for the building maintenance equipment (outrigger beam, davit, or roof carriage) to the level below. If the building maintenance equipment is suspended from roof tie-backs, the highest point is measured from the top of the parapet or roof's edge. The lowest measurement point at the level or ground below includes, but is not limited to, roofs, sidewalks, streets, parking garages, and driveways.
Hoisting Machine. A device intended to raise and lower a suspended or supported unit.
Hoist Rated Load. The hoist manufacturer's maximum allowable operating load.
Installation. All the equipment and affected parts of a building which are associated with the performance of building maintenance using powered platforms.
Interlock. A device designed to ensure that operations or motions occur in proper sequence.
Intermittent Stabilization. A method of platform stabilization in which the angulated suspension wire rope(s) are secured to regularly spaced building anchors to assure that the platform continuously bears against the building within predetermined limits.
Lanyard. A flexible length of rope, wire rope, or strap which is used  to secure the body belt or body harness to a deceleration device, lifeline, or anchorage.
Lifeline. A flexible line for connection to an anchorage at one end to hang vertically (vertical lifeline), or for connection to anchorage at both ends to stretch horizontally (horizontal lifeline), and which serves as a means for connecting other components to a personal fall arrest system to the anchorage.
Live Load. The total static weight of workers, tools, parts, and supplies that the equipment is designed to support.
Machine Screw or Bolt. A screw or bolt used to install anchors on metal window frames or sections.
Manual Boatswain's Chair. A seat for one person, suspended by a single line or tackle, which is designed to be raised and lowered by the user.
Obstruction Detector. A control that will stop the suspended or supported unit in the  direction of travel if an obstruction is encountered, and will allow the unit to move only in a direction away from the obstruction.
Operating Control. A mechanism regulating or guiding the operation of equipment that ensures a specific operating mode.
Operating Device. A device actuated manually to activate a control.
Outrigger Beam. A device, used singularly or in pairs, for suspending a working platform from work, storage, and rigging locations on the building being serviced. Unlike davits, an outrigger reacts its operating moment load as at least two opposing vertical components acting into two or more distinct roof points and/or attachments.
Outrigger Beam, Fixed. An outrigger beam designed to remain at a fixed location.
Outrigger Beam, Mobile. An outrigger beam designed to be used in association with a roof car.
Outrigger Beam, Portable. An outrigger beam designed and dedicated to a specific building or roof area, which is capable of being moved from work location to work location within the dedicated area.
Outrigger Beam, Transportable. An outrigger beam designed to be moved manually from building to building or worksite (geographical area) to worksite.
Personal Fall Arrest System. A system used to arrest an employee in a fall from a working level. It consists of: an anchorage, connectors, a body harness and may include a lanyard, deceleration device, safety line, or suitable combinations of these.
Platform Rated Load. The combined weight of workers, tools, equipment and other material which is permitted to be carried by the working platform at the installation, as stated on the load rating plate.
Poured Socket. The method of providing wire rope terminations in which the ends of the rope are held in a tapered socket by means of poured spelter or resins.
Primary Brake. A brake designed to be applied automatically whenever power to the prime mover is interrupted or discontinued.
Prime Mover. The source of mechanical power for as machine.
Rated Load. The manufacturer's recommended maximum load.
Rated Strength. The strength of wire rope, as designated by its manufacturer or vendor, based on standard testing procedures or acceptable engineering design practices.
Rated Working Load. The combined static weight of workers, materials, and suspended or supported equipment.
Roof Powered Platform. A working platform where the hoist(s) used to raise or lower the platform is located on the roof.
Rope. The equipment used to suspend a component of an equipment installation, i.e., wire rope.
Rope Grab. A deceleration device which travels on a safety line and automatically  frictionally engages the safety line and locks so as to arrest the fall of an employee. A rope grab usually employs the principle of inertial locking, cam/lever locking, or both.
Safe Manner. The term means the use of any of the following methods of window cleaning in which the window cleaner is protected in accordance with these orders when:
Standing  on the sill.
Working from a ladder.
Working from a scaffold work platform.
Working from a boatswain's chair.
Working from a safe surface.
Safe Surface. A horizontal surface intended to be occupied by employees, which is so protected by a fall protection system that it can be reasonably assured that said occupants will be protected against falls.
Safety Belt or Harness. A device used specifically for securing a worker from the hazard of falls from elevated work areas and include:
Body Belt. A  strap with means both for securing it about the waist and for attaching it to a lanyard, safety line, or deceleration device.
Body Harness. A design of simple or compound straps which may be secured about the wearer in a manner to distribute the fall arrest forces over at least the thighs, pelvis, waist, chest and shoulders with means for attaching it to other components of a personal fall arrest system.
Safety Device. (Approved). (See Section 3206 of the General Industry Safety Orders.) 
Safety Factor. The ratio of the nominal strength to the nominal design load. 
Safety Line. A component consisting of a flexible line for connection to an anchorage at one end to hang vertically (vertical safety line), or for connection to anchorages at both ends to stretch horizontally (horizontal safety line) and which serves as a means for connecting other components of a personal fall arrest system to the anchorage.
Scaffold. The complete scaffold structure including the work platform and all supporting members.
Scaffold, Rolling. A fixed-height or extensible self-supporting scaffold that can be manually moved into place.
Scaffold, Suspended, Manually Operated (Swinging Stage). A scaffold suspended from above by wire or fiber ropes  and rigged with manually operated pulley blocks or hoists or equivalent means so that the work platform elevation is easily adjustable. Such scaffold is not designed for use on a specific structure or group of structures.
Scaffold, Suspended, Permanent.  A scaffold that is designed for a specific building and is used on that building only.
Scaffold, Suspended, Power Driven. Permanent or transportable suspended scaffolds equipped with one or more power units (not manually powered) for raising or lowering the scaffold platform.
Scaffold, Suspended, Transportable.  A  powered or manually operated work platform that is brought to a work site for the purpose of performing maintenance or other work that by nature is of short duration.
Secondary Brake. A brake designed to arrest the descent of the suspended or supported equipment in the event of an overspeed condition.
Self-Powered Platform. A working platform where the hoist(s) used to raise or lower the platform is mounted on the platform.
Self-Retracting Safety Line/Lanyard. A deceleration device which contains a drum-wound line which may be slowly extracted from, or retracted onto, the drum under slight tension during normal employee movement, and which, after onset of a fall, automatically locks the drum and arrests the fall.
Sill. A surface that is part of the building or structure, immediately below the window, and of sufficient width and design to safely support window cleaners and their equipment.
Snap-Hook. A connector comprised of a hookshaped member with a normally closed keeper, or similar arrangement, which may be opened to permit the hook to receive an object and, when released, automatically closes to retain the object. Snap-hooks are generally one of two types:
1. The locking type (double-acting) with a self-closing, self-locking keeper which remains closed and locked until unlocked and pressed open for connection or disconnection, or
2. The non-locking type with a self-closing keeper which remains closed until pressed open for connection or disconnection.
Speed Reducer. A positive type speed reducing machine.
Stability Factor. The ratio of the stabilizing moment to the overturning moment.
Stabilizer Tie. A flexible line connecting the building anchor and the suspension wire rope supporting the platform.
Supported Equipment. Building maintenance equipment that is held or moved to its working position by means of attachment directly to the building or extensions of the building being maintained.
Suspended Equipment. Building maintenance equipment that is suspended and raised or lowered to its working position by means of ropes or combination cables attached to some anchorage above the equipment.
Tail Line. The nonsupporting end of the wire rope used to suspend the platform.
Terminal Strap (Runner). The portion of a window cleaner's belt that attaches the terminals to the belt's waist band.
Tie-in Guides. The portion of a building that provides continuous positive engagement between the building and a suspended or supported unit during its travel on the face of the building.
Tie-off (Tieing-off). The act of an employee, wearing personal fall protection equipment, connecting directly or indirectly to an anchorage. It also means the condition of an employee being connected to an anchorage.
Traction Hoist. A type of hoisting machine that does not accumulate the suspension wire rope on the hoisting drum or sheave, and is designed to raise and lower a suspended load by the application of friction forces between the suspension wire rope and the drum or sheave.
Trolley Carriage. A carriage suspended from an overhead track structure.
Verified. Accepted by design, evaluation, or inspection by a professional engineer currently registered in the State of California.
Waist Band. That part of the window cleaner's belt which is attached to the body of the window cleaner. (Title 24, Part 2, Section 2-8501.)
Weatherproof. So constructed that exposure to adverse weather conditions will not affect or interfere with the proper use or functions of the equipment or component.
Winding Drum Hoist. A type of hoisting machine that accumulates the suspension wire rope on the hoisting drum.
Working Platform. Suspended or supported equipment intended to provide access to the face of a building and occupied by persons engaged in building maintenance.
Wrap. One complete turn of the suspension wire rope around the surface of a hoist drum. (Title 24, Part 2, Section 2-8501.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 5 (Sections 3281-3292) filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25). Window Cleaning Safety Orders formerly in Subchapter 21 (Sections 8700-8722). See Registers 26, No. 6 and 55, No. 13.
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsections (a)(19) and (a)(22) filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
4. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
5. Amendment filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
6. Amendment filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
7. Amendment of  definition of “Lanyard” and new definition of “Lifeline” filed 4-4-96; operative 5-4-96 (Register 96, No. 14).
8. New definitions of “Controlled Descent Apparatus (CDA),” “Danger Zone” and “Height of Suspension,” and amendment of former definition of “Boatswain's Chair” to new definition of “Manual Boatswain's Chair” filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
9. New definitions of ``Competent Person” and ``Terminal Strap (Runner)” and amendment of definition of ``Personal Fall Arrest System” filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
§3282. General Requirements for All Window Cleaning Operations.
Note     •     History

Scope. This Article establishes safety requirements for the cleaning of all windows of all buildings. Window cleaning includes operation(s) of washing, wiping or other methods of cleaning windows, window frames, curtain wall components, building panels, etc.
Note: It is recognized because of special site conditions that certain provisions in Article 6 may be applicable and can be used in conjunction with equipment and/or practices in this article.
(a) Windows shall not to be cleaned from the outside or inside unless means are provided to enable such work to be done in a safe manner as provided in these orders.
(b) Provisions for preventing accidents due to overhead high voltage lines shall be in conformance with the High Voltage Electrical Safety Orders, Article 37.
(c) Employers shall provide their window cleaning employees with safety equipment and devices conforming with the requirements of these orders, and shall maintain such equipment in safe condition at all times.
(d) Employers shall instruct their window cleaning employees in the proper use of all equipment provided to them, and shall supervise the use of the equipment and safety devices to insure that safe working practices are observed.
(e) All employees cleaning windows shall use safety devices and equipment as required herein.
(f) Only employees who have been properly trained to handle such equipment shall be assigned to work from scaffolds or boatswain's chairs.
(g) (1) In every building where window cleaning operations are performed in such a manner that a person stands on the sill in order to clean the window or works from the inside where the window opening is of such size that it would be possible to fall through the open window to the outside, there shall be installed window cleaning safety anchors or other anchorages approved by the Division. (Title 24, Part 2, Section 2-8502(a).)
(2) Any window which when fully opened has a clear opening with the lesser dimension exceeding 18 inches, or any window in which the height to width relationship presents a hazard, shall be considered as presenting the hazard of falling through as specified in Section 3282(g)(1) above. (Title 24, Part 2, Section 2-8502(a)2.)
(3) In every building other than those described in Section 3282(g)(1), provisions shall be made for window cleaning by use of elevating platforms, rolling scaffolds, suspended scaffolds, boatswain's chairs, or ladders, as specified in these orders. (Title 24, Part 2, Section 2-8502(a)1.)
(h) Lag screws shall not be used in new or replacement installations. (Title 24, Part 2, Section 2-8502(b).)
(i) All glass draft deflectors shall be free of sharp edges that could cut workers removing deflectors in connection with the window cleaning operations.
(j) Safety equipment, scaffolds and their components shall not be used with acids or other corrosive substances, or in corrosive atmospheres except when adequate precautions are taken to protect the scaffold from damage in accordance with recommendations of the corrosive substance manufacturer and the scaffold manufacturer. 
(k) Special precautions shall be taken by the user to protect scaffold members, including any wire, fiber, or synthetic rope, when a heat-producing process is in use. Ropes that have been contacted by the heat-producing process shall be considered to be permanently damaged and shall not be used for scaffold support.
(l) Window cleaners shall not pass from one window sill to another window sill on the outside of a building unless one belt terminal is connected at all times.
(m)  Window cleaners shall not be permitted to work from any sill on which there is any obstruction or a slippery substance that might impair their footing.
(n) Washing from the sill shall not be permitted unless there is a certain minimum standing room on the sill in relation to its slope. Permissible sill width and slope combinations are shown in Fig. 1.

Fig. 1
Sill Width and Slope

View Graphic

SLOPE OF STILL OR SURFACE
(DEGREES BELOW HORIZONTAL)
The chart above shows the relationship between minimum permissible sill widths and various sill slopes for washing windows from a standing position on the sill. If the point of intersection of a vertical line from the slope value with a horizontal line from the sill width value falls in the unshaded area, washing windows from a standing position on the sill is permissible. It is not permissible if the intersection falls anywhere in the shaded area.
(o) No employee shall be permitted to work from, stand or walk on any surface that is not rated for such live loading by the building's engineer of record and/or a building official. (Title 24, Part 2, Section 2-8502(c))
(p)(1)(A) Building owners shall provide the employer written assurance, before use, that all their building's safety devices and equipment meet the provisions of these orders. The written assurance shall consider, but not be limited to: window anchors and fittings; load sustaining capabilities of platforms, building components, hoisting and supporting equipment; stability factors for carriages, platforms and supporting equipment; maximum horizontal force for movement of carriages and davits; design of carriages, hoisting machines, wire rope and stabilization systems; and design criteria for electrical wiring and equipment.
(B) All safety devices and equipment considered in the written assurance shall be inspected at least every 12 months. All safety devices and parts of such equipment, including related building support structures, shall be inspected and where necessary, tested to determine if they are safe to use or operate. All such tests shall be conducted as required in Section 3296(b).
(C)1. Owners of buildings 36 feet or more in height shall have an Operating Procedures Outline Sheet (OPOS) where one or more of the following conditions apply to such buildings:
A.  A building does not have established window cleaning system or procedures meeting the requirements specified in Articles 5 and 6, or
B. A building's original window cleaning procedures prepared in accordance with the requirements in Articles 5 and 6 have been changed because of building modifications, or
C. A building has extreme architectural features, which require the use of complex rigging or equipment, or a building that uses rigging or equipment not covered by these Orders.
2. An OPOS shall be developed by a person(s) with knowledge in the design, installation and use of building maintenance equipment (i.e., possessing Scaffold Inspection Testing certification as specified in Section 3296). The OPOS shall be written in a manner that can be readily understood by the employers. An OPOS that requires structural modifications to the building or existing building maintenance equipment shall have such modifications designed by a mechanical, structural or civil engineer currently registered in the State of California with experience in the design and installation of such equipment.
3. An OPOS shall be developed which at a minimum shall contain the elements of Appendix A of this Article.
(2) Employers shall not permit their employees to use any building safety devices or equipment prior to receiving copies of the written assurance and, if required, an OPOS from the building owner as required by Section 3282(p)(1)(A) and (C) above.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
3. Amendment filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
4. Amendment filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
5. Redesignation of former subsection (p)(1) to new subsection (p)(1)(A), new subsections (p)(1)(B)-(p)(1)(C)3., and amendment of subsection (p)(2) filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§3283. Anchors and Fittings.
Note     •     History

(a) General Requirements.
(1) An installed anchor shall not be used for any purpose other than attachment of window cleaner's belt terminals. (Title 24, Part 2, Section 2-8503(a)1.)
(2) Anchors shall be installed on the inside of a window which is to be washed from the inside but presents a hazard of falling through to the outside, as defined in Section 3282(g)(2). (Title 24, Part 2, Section 2-8503(a)2.)
(3) A window to be cleaned from the sill shall be suited structurally to the installation of anchors and, when opened, shall not interfere with the attachment of window cleaner's belt terminals to the anchors. (Title 24, Part 2, Section 2-8503(a)3.)
(4) Vertically pivoted or hinged windows to be cleaned from the sill shall have an unobstructed passage to the exterior sill that is at least 16 inches wide by 40 inches high. Double-hung, single-hung or counterbalanced windows shall have a minimum passage 21 inches wide and 30 inches high from the sill. (Title 24, Part 2, Section 2-8503(a)4.)
(5) The maximum width of a double-hung or single-hung window to be washed while standing on sill or ledge, supported by an anchor on either side of the window is 6 feet. (Title 24, Part 2, Section 2-8503(a)5.)
(6) The width of a stationary panel to be washed from the inside from an adjacent open casement window shall not be more than 2 1/2 feet.
Note: Assuming that the window cleaner could work from the inside alternately from casement panels on each side of the stationary panel, this would mean that a 5 foot width of stationary panel would be the maximum width that could be handled in this manner without anchors. (Title 24, Part 2, Section 2-8503(a)6.)
(7) Stationary panels up to 5 feet in width may be cleaned by standing on a sill or ledge (See Figure 1 for width and slope restrictions) while supported by anchors on each side of the panels if access is provided via an openable panel adjacent to the stationary panel. For stationary panels over 5 feet, but not exceeding 6 feet in width, the sill or ledge must be at least 10 inches wide with a slope not exceeding 5 degrees. (Title 24, Part 2, Section 2-8503(a)7.)
(8) A series of stationary panels without openable panels between shall require traveling methods utilizing a method, such as double-headed anchors, overhead trolley system, or other equivalent means of providing a continuous means for  window cleaners to tie off  their safety belts. (Title 24, Part 2, Section 2-8503(a)8.)
(9) Traveling on the outside of the building shall not be permitted where the sill or ledge is less than 6 feet wide unless it is possible to keep at least one window cleaner's belt terminal attached at all times. The distance between anchors shall not exceed 4 feet horizontally unless the sill or ledge is at least 12 inches wide and the slope is less than 5 degrees in which case the distance between anchors may be as much as 6 feet. This method of traveling shall not be permitted, however, if the sill or ledge is not continuous with at least 6 inches in front of the mullions or if each window unit is not readily accessible.
(10) When the roof level or ledge  is 8 feet or more in width, as measured from the face of the building to the danger point, no special protection, such as parapet, railing or window anchors, is required.
When the distance is from 6 feet to 8 feet wide, anchors are required unless there is a railing or parapet at least 2 feet high.
When the distance is less than 6 feet, anchors or  equivalent  protection as required by Section 3212 shall be required. (Title 24, Part 2, Section 2-8503(a)9.)
(11) Traveling methods that comply with these regulations shall not be permitted on ledges or sills less than 6 feet in width unless double-headed anchors or 2 single-headed anchors with separate usable heads are provided on each side of all windows in the series, along with at least one openable panel to afford a safe, convenient means of access. (Title 24, Part 2, Section 2-8503(a)10.)
(12) Where double-headed anchors are installed, they shall be placed so that there is enough free room for belts to be attached to both terminals  at one anchor location along with the capability for either belt to be removed independently. (Title 24, Part 2, Section 2-8503(a)11.)
(b) Anchor Design and Material Specifications.
(1) All window anchors and fittings shall comply with the applicable portions of Section 4.5 of ANSI/ASME A39.1-1991, Safety Requirements for Window Cleaning, which is herein incorporated by reference. Manufacturers of window anchors and fittings shall submit to the Division all pertinent test and other data called for by this Order. Only those anchors and fittings granted approval by the Division shall be used.
(2) The manufacturer or authorized representative, of any window unit intended for installation in new construction or remodeling shall submit evidence satisfactory to the Division that the complete installation with approved anchors has successfully withstood the drop test specified in paragraph 4.5.3(d)(2) of ANSI/ASME A39.1-1991, Safety Requirements for Window  Cleaning, which is herein incorporated by reference, without failure of the frame at the point of attachment of the anchors and without detachment of the window unit from its attachments to the wall section. (Title 24, Part 2, Section 2-8503(b).)
(c) Anchor Location.
(1) Anchor Side Clearance. The center line of the anchor head shall be at least one inch away from obstructions at either side that would interfere with engagement of belt terminals.
(2) Clearance Above and Below Anchors. Because many belt terminals slide onto the anchor from above and extend 4 or 5 inches below the anchor when attached, obstructions shall not be allowed within this distance above or below the anchor head.
(3) Minimum Bolt Edge Distance. The minimum distance from the face of the building for bolt installations when the bolt is placed in a reveal shall be as follows:
In Reinforced Concrete--2 1/2 inches if secured to reinforcing steel.
In Brick--At brick joint, not less than 8 inches from building face. (Title 24, Part 2, Section 2-8503(c).)
(d) Anchor Installations.
(1) Locations. Anchors shall be attached to the side frames of the window or to the building at a point no less than 42 inches nor more than 51 inches above the window sill.

Exception: Where the windows are less than 48 inches in height and of such design that the window cleaner would normally work from the outside, anchors shall be located at a height above the sill that is approximately two-thirds the total height of the window.
(2) Wood. When the anchor and bolt are forged as one piece, such anchors may be used in single or double configurations when provided with a front collar to prohibit anchor rotation and a rear flat washer of at least twice the diameter of the bolt with a lock washer and nut. The bolts shall be a minimum of 3/8-inch in diameter and shall pass through a solid section of the window construction. The drilled hole shall be no more than 1/16-inch larger than the bolt, and any excess bolt thread shall be cut off and the thread peened over or upset to prohibit the nut from loosening or being removed.
When anchors are employed with separate bolt(s), the preceding conditions will apply, provided that either two machine or carriage bolts are employed, or certain special anchor types have one bolt with screws to prohibit anchor movement. All anchors and hardware shall be of Type 303, 304, or 316 stainless and shall meet or exceed the material requirements of these orders. Anchor nuts shall be tamper proof.
(3) Concrete. Anchors attached to concrete poured-in-place in buildings erected after October 3, 1955 shall be installed while the concrete is being placed. Such anchors shall extend not less than 5 inches into the concrete and shall have a cross-sectional area of not less than one-fourth of a square inch and shall be provided with a fluke at the end of the anchor not less than 1 inch in length.
(4) Masonry. Anchors attached to masonry, other than concrete poured-in-place, in buildings erected after October 3, 1955, shall be installed while the wall is under construction and shall be shaped to build into the joints between masonry units. Such anchors shall be not less than 8 1/2 inches long and shall have a cross-sectional area of not less than one-fourth of a square inch at all unexposed points and shall have a fluke or flukes having holding surface of not less than 1 inch in length that shall be firmly imbedded in the masonry.
(5) Masonry and Concrete. Anchors installed on buildings of masonry and concrete construction erected before October 3, 1955 shall be attached to the window frame as required in these orders, or by other methods acceptable to the Division. 
(6) Hollow Metal. Anchors attached to hollow metal construction shall be installed by one of the following methods:
(A) At least two machine screws or bolts of 3/8-inch diameter stainless steel or equivalent passing through the frame and a steel reinforcing plate 3/8-inch thick that extends not less than 5 inches above the top bolt hole, placed on the inside of the frame and secured by means of nuts and lock washers. In cases where it is impracticable to provide nuts and lock washers, the reinforcing plate may be tapped to receive 3/8-inch diameter bolts, and the bolts shall extend through the plate.
(B) Where the threaded bolt is an integral part of the anchor, it shall be at least 1/2-inch in diameter and shall be secured by means of a nut and lock washer, or any other method acceptable to the Division.
(C) Bolts used to attach anchor fastenings shall be secured by means of nuts tightened to the torque specified by the bolt manufacturer or other equivalent means.
(7) Solid Metal. Anchors attached to solid metal construction shall be installed by one of the following methods:
(A) At least two machine screws or bolts of 3/8-inch diameter stainless steel or equivalent passing through the frame and secured by means of nuts and lock washers. In cases where it is impracticable to provide nuts and lock washers, the metal frame shall be reinforced with a 3/8-inch thick plate, 6 inches long, tapped to receive both attaching bolts which shall extend through the reinforcing plate.
(B) Where the threaded bolt is an integral part of the anchor, it shall be at least 1/2-inch in diameter and shall be secured by means of a nut and lock washer, or any other method acceptable to the Division.
(C) Bolts used to attach anchor fastenings shall be secured by means of nuts tightened to the torque specified by the bolt manufacturer or other equivalent means.
(8) Aluminum.
(A) When anchors are attached to hollow or solid aluminum frames, the reinforcing plate shall be coated or protected so as to minimize electrolytic action between unlike metals.
(B) All anchors and anchor fastenings shall be provided with means to prevent them from turning, backing off or becoming loose.
(C) Bolts used to attach anchor fastenings shall be secured by means of nuts tightened to the torque specified by the bolt manufacturer or other equivalent means.
(9) The use of expansion shield anchors is prohibited. (Title 24, Part 2, Section 2-8503(d).)
(e) Inspection of Anchors and Fittings. Inspection of window cleaning anchors and fittings on buildings shall be conducted at least every 12 months.
(f) Anchor Replacement. Anchors and fittings subject to impact loading or other possible structural damage shall be replaced. Replacement shall be as specified by the anchor manufacturer or other method acceptable to the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
3. Amendment of subsections (a)(8), (b)(1) and (2), (d)(2) and (5) filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
4. Amendment filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
§3284. Window Cleaner's Belts, Personal Fall Arrest Systems, Personal Fall Restraint Systems and Positioning Devices.
Note     •     History

(a) Window Cleaner's Belts.
(1) General Requirements.
Window cleaner's belts shall be approved and kept in good repair and visually inspected for defects prior to each use. They shall be inspected at least twice a year by the employer and all parts showing defects or excessive wear shall be promptly replaced. The use of natural fiber or canvas terminal straps (runners) is prohibited.
(A) Each belt shall be numbered or given an identifying mark, and a record kept showing date of purchase, dates when terminal rope straps were renewed, and dated when entire belt assembly was inspected.
(B) Window cleaners using a window cleaner's  belt shall attach one belt terminal to an anchor before stepping out onto the sill. During the operation of window cleaning, both belt terminals shall be attached to the anchors.
(C) The fittings on the waistband through which the terminal strap or rope passes, shall be so constructed that it will be impossible for the safety terminal to pass through them.
(D) Metal thimbles, or equivalent, shall be provided where ropes or straps are secured to eyes or rings.
(2) Belt Design.
(A) All window cleaner's  belts shall be designed, built and labeled to conform to ANSI/ASME A39.1-1995, Safety Requirements for Window Cleaning which is hereby incorporated by reference.
(B) In no case shall load carrying members be constructed of leather.
Note: It  is not the intent of this regulation to prohibit the use of window cleaner's belts that meet the requirements of ANSI A39.1-1969, 1987, or 1991 and are so labeled.
(b) Safety Belts and Harnesses.
(1) General Requirements.  Lanyards shall be kept as short as reasonably practicable to minimize the possibility and length of a free fall. The length of the lanyard shall be as short as practicable. Care shall be used to see that the lanyard is attached to a verified anchorage in such a manner that will develop its full strength. Lanyards with knots, hitches, or bends shall not be used.
(A) Lanyards consisting of wire rope or rope covered wire shall not be used in window cleaning operations while standing on sills.
(B) Chest harnesses shall not be used in window cleaning operations.
(C) Body belts and their associated lanyards when subjected to a fall shall produce a stopping force of not more than 5 times gravity.
(D) Body harness and its associated lanyards when subjected to a fall shall produce a stopping force of not more than 8 times gravity.
(E) Belts and harnesses and their lanyards which have been subjected to impact loading shall be removed from service and destroyed.
(F) Belts and harnesses and their lanyard assemblies shall be visually inspected for defects prior to each use. They shall be inspected according to the manufacturer's recommendations by the employer at least twice each year. The date of the most current semi-annual inspection shall be recorded on an inspection tag which shall be attached to the belt. In addition, records shall be kept and maintained showing date of purchase, dates when attachments were renewed, and dates when the entire belt assembly was inspected and by whom.
(G) The free ends of the lanyards of synthetic materials shall be lightly seared and, in the case of round rope, shall also be seized (whipped).
(H) Belts having single pass, fixed or sliding bar, friction buckles shall not be used for window cleaning operations.
(I) Safety lines shall be capable of supporting a dead weight of 5000 pounds.
(J) Double-acting Snap hooks shall be provided on all lanyards to minimize the possibility of accidental disengagement. The snap keeper shall be restrained by the snap nose to absorb side loads.
(K) Rope lanyards shall be spliced directly to the belt through an integral rope loop, spliced to a dee ring or spliced to a snap hook for attaching to the dee ring. Splices to hardware shall be over suitable thimbles.
(L) Web lanyards used on belts without dee rings shall terminate in a sewn eye of sufficient size to accommodate the width of the belt, but no larger. To the free end shall be sewn a snap hook in accordance with the standard, which shall result in a finished lanyard capable of meeting the qualification tests indicated in Appendix (C).
(M) Safety belts and harnesses ordered or purchased after July 1, 1993 shall have a durable label permanently affixed stating that the belt or harness meets the testing requirements of Article 6, Appendix C. The durable label shall contain at least the following information:
1. Name or designation of manufacturer.
2. Model designation.
3. Date manufactured.
4. Serial number.
5. Test Specifications.
(c) All personal fall arrest systems, personal fall restraint systems and positioning devices used in window cleaning operations shall comply with Section 1670 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment of subsections (a)(1) and (b)(2)(C) filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
3. Amendment of heading and section filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
4. Amendment of section heading and subsections (a)(1), (a)(2)(A) and (a)(2)(B), repealer of subsections (a)(2)(A)1.-5., and new subsection (c) filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
§3285. Suspended Scaffolds.
Note     •     History

Use and Application. Suspended transportable scaffolds shall comply with the applicable provisions of Article 23 of the Construction Safety Orders, and permanent scaffolds shall be installed as required by Article 6 of the General Industry Safety Orders.
(a) No manually operated suspended scaffold for which the rigging must be suspended by hand shall be extensible to more than 130 feet from the work platform to the upper anchorage.
(1) No power operated suspended scaffold for which the rigging must be suspended by hand shall be extensible to more than 130 feet from the work platform to the upper anchorage, unless the rigging and suspended safety lines are raised and lowered by mechanical means. (Title 24, Part 2, Section 2-8504 (a).)
(b) When a suspended scaffold is suspended over an area traveled by workers, the public or vehicular traffic, the ground area directly under the work zone shall be effectively blocked by means of barricades, or an attendant shall be stationed so as to keep the area clear. Warning signs shall also be posted below.
(c) When on a working platform, each window cleaner shall be protected by a personal fall arrest system meeting the requirements of Article 6, Appendix C, Section I of the General Industry Safety Orders, and as otherwise provided by these orders.
(1) Dog lines shall not be used in lieu of an independent safety line on two-line suspended, transportable scaffolds having only one suspension line at each end of the scaffold.
(d) Permanent scaffolds shall be provided on all buildings exceeding 130 feet in height. All permanent scaffold installations installed after July 1, 1993, shall be installed and comply with the provisions of Article 6. All permanent scaffold installations installed prior to July 1, 1993, and after September 29, 1974 shall be installed and comply with all provisions of Article 6, Appendix D. Permanent scaffolds installed prior to September 29, 1974 shall be inspected, tested and maintained in accordance with the provisions of Article 6, Appendix D.
Note: For the purpose of this section, a permanent suspended scaffold and a permanent suspended work platform shall be considered to be the same. (Title 24, Part 2, Section 2-8504 (b).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 10-29-80; effective thirtieth day thereafter (Register 80, No. 44).
3. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
4. Amendment filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
5. Amendment of first paragraph filed 5-1-90; operative 5-31-90 (Register 90, No. 23).
6. Amendment of first paragraph and subsections (a)(1), (c) and (d) filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
7. Amendment of subsection (c) filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
§3286. Manual Boatswain's Chairs and Controlled Descent Apparatus (CDA).
Note     •     History

(a) Use and Application.
(1)(A) Boatswain's chairs and CDAs shall be used for window cleaning operations only where the windows cannot be cleaned safely and practicably by other means.
(B) When boatswain's chairs or CDAs are used for window cleaning operations, the following conditions shall be complied with:
1. Manual boatswain's chairs shall not be used where the height of suspension exceeds 75 feet or unless otherwise accepted by the Division where the heights exceed 75 feet.
2. CDAs shall not be used where the height of suspension exceeds 130 feet or unless otherwise accepted by the Division in writing when the height exceeds 130 feet.
3. Roof tie-backs or other approved independent anchorages shall be provided for each support line(s) and each safety line.
4. Each support line(s) and each safety line shall be connected to approved independent anchorages.
5. An Operating Procedures Outline Sheet (OPOS) shall be developed as required in Section 3282(p)(1)(C).
(2)(A) Employees shall be trained in the use of boatswain's chairs and/or CDAs before they shall be permitted to use such equipment.
(B) Training shall include, but not be limited to, proper rigging of support lines, inspection of primary support line(s) and safety lines and anchorage, safe use of CDAs or boatswain's chairs, fall arrest systems, and self rescue methods.
(3) When a boatswain's chair or CDA is suspended over an area traversed by workers, pedestrians or vehicular traffic, the ground area below and within the window cleaner's work zone shall be effectively blocked by barricades, or an attendant shall be stationed to keep the area clear. Warning signs shall also be posted below.
(4) Employees using boatswain's chairs or CDAs shall be provided, and instructed in the use of, a personal fall arrest system meeting the requirements of Article 6, Appendix C, Section I of the General Industry Safety Orders, and as otherwise provided by these orders. Each employee's fall arrest system shall be secured to an independent safety line attached to an approved anchorage.
(b) Rigging, Block and Tackle.
(1) Rope attachment to a block shall be by a thimble and splice.
(2) A safety hook or shackle shall be used on the upper block to prevent accidental disengagement.
(3) Each double block of luff (or watch) tackle shall be branded or otherwise clearly marked so as to indicate the fully extended length in feet from block to block.
(4) Where the chair connects to the block and tackle, a safety hook shall be used to prevent accidental rope disengagement.
(5) Tackle shall consist of rope equivalent in strength to 5,400 pounds. Blocks shall be compatible with the suspension rope diameter.
(6) Parapet or cornice hooks shall be provided with tie-back rings. Each parapet or cornice hook shall be tied back with wire rope to a roof tie-back or equivalent anchorage.
(c) Specifications.
(1)(A) Boatswain's Chair. The chair shall be suspended from its four corners by means of rope slings. It shall have a seat not less than 24 inches long by 10 inches wide and, if of soft wood, 2 inches thick (1 1/8 inches if of oak or ash). It shall be reinforced across the full width by cleats securely fastened to each end. A rope or strap guard across the front and rear approximately 18 inches above the seat shall be provided. The seat may be constructed of material other than wood, provided the material is equivalent in strength to 2 inches of soft wood or 1 1/8 inches of oak or ash. If constructed of material of equivalent strength, cleats across the full width of the seat shall be provided unless structural analysis indicated they are not necessary. Other design and construction may be substituted if it can be shown to provide equal safety and strength.
(B) Boatswain's chairs, their supports and all accessories shall be capable of supporting, without failure, 4 times the maximum load that may be placed thereon.
Note: See Section 3286(b)(1).
(C) Buckets used in boatswain's chair work shall be attached in such a manner that the buckets will not fall.
(2) CDA Seatboards. (A) Seatboards shall be made of wood or other suitable materials, and may be reinforced. Seatboards shall be capable of supporting a live load of at least 250 pounds. All rope and webbing used in suspending the seatboard to a CDA shall be of synthetic fiber, preferably nylon or polyester, that has a rated minimum strength of 5000 pounds.
(B) Buckets used in seatboard work shall be attached in such a manner that they will not fall.
(d) Controlled Descent Apparatus (CDA)
(1)(A) CDA system shall include but not be limited to the following:
1. Working line(s);
2. Controlled descent device;
3. Seatboard;
4. Personal fall arrest system;
5. Independent safety line (lifeline);
6. Locking carbineer (D-ring).
Note: For the purpose of Section 3286 a full body harness is required as part of the personal fall arrest system.
(B) The controlled descent device and seatboard shall be permanently marked with:
1. Manufacturer's or Trade name, and
2. Model number, and
3. Identification (serial) number, and
4. Date of manufacture.
(C) Working lines and safety lines shall be permanently marked or tagged with:
1. Manufacturer's name, and
2. Length/size, and
3. Date of manufacture, and
4. Date placed in service.
(D) Personal fall arrest systems shall comply with the requirements in Article 6, Appendix C of the General Industry Safety Orders.
(2) The working line(s) shall be the proper size to pass over and/or around the fixed members of the controlled descent device body as recommended by the device manufacturer.
(3) Working lines, safety lines, and lanyards shall have spliced or swaged ends as per the rope manufacturer's specifications.
(4) Lanyards shall not exceed 4 feet in length.
(5) Knots shall not be permitted at ends or anywhere along the length of lanyards, working lines or safety lines.
(6) Descent control devices shall be used in accordance with the manufacturer's instructions. Employees shall not be permitted to use descent control devices unless these devices are specifically designed for building maintenance or window cleaning operations.
(7) The entire CDA system shall be visually inspected before and during each use. If any part of the system shows excessive wear, damage or deformation, that part shall be removed from service and discarded.
(8)(A) Safety lines and lanyards shall be removed from service as recommended by the manufacturer or if one of the following conditions is evident or occurs:
1. Braids or webbing are cut, or
2. Excessive abrasion or worn fibers, or
3. There is hardness or stiffness, or
4. Dirt or grit has clogged fibers, or
5. Rust, tar or grease is present, or
6. Line size has been reduced, or
7. Safety lines and lanyards are subjected to a shock load, or
8. Safety lines and lanyards are exposed to chemicals that affect their strength, or
9. Safety lines and lanyards are exposed to excessive ultra violet degradation.
(B) Working lines shall not be used longer than two (2) years from date first placed in service or three (3) years from date of manufacture.
(9) All descent control devices shall be 100% proof load tested at 3600 pounds without visual evidence of cracking, breaking or permanent deformation.
(10) Chemicals having adverse effects on the CDA system, as determined by the chemical or equipment manufacturer, shall not be used for window cleaning.
(11) Any working or safety line that passes over any edge of a building or structure or passes over any sharp object shall be protected from cutting and/or abrasion.
(12) Working lines that have been used to stop a CDA's free fall of four feet or more in distance shall be removed from service.
(13) Working lines that have been subjected to a rapid descent by an employee using the CDA shall be removed from service.
(14) Prior to making a drop, the building exterior shall be visually inspected and, where necessary, appropriate measures taken to ensure that building features, such as sharp edges of parapets and window frames cannot impair the structural integrity of the CDA system or associated fall protection rigging.
(15) A safe means of access, which includes the use of a  personal fall arrest system, shall be provided before employees gain access to and egress from CDA drop locations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment of subsection (a)(4) and (b)(1) and (5) filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
3. Amendment of subsections (a)(3), (a)(4) and (c)(1) filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
4. Amendment of section heading and section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
5. Amendment of subsection (a)(4) filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
§3287. Ladders.
Note     •     History

(a) Use and Application.
(1) Ladders shall be used for window cleaning only where the windows cannot otherwise be cleaned safely and practicably by means of approved anchors and window cleaning belts, but this method shall not be used to clean a window that requires the use of a fully extended extension ladder in excess of 40 feet.
(2) At all times when a cleaner is working on a ladder over 18 feet working length, a person shall stand at the foot of it, face it, and hold it with both hands.
(3) All ladders shall be used at such a pitch that the horizontal distance from the top support to the foot of the ladder is one-quarter the assembled length of the ladder (i.e., the length along the ladder between the foot and the top support).

Note: Nonslip bases are not intended as a substitute for care in safely placing, lashing or holding a ladder that is being used on oily, metal, concrete or slippery surfaces.
(4) Pointed ladders may be used for window cleaning. Rollers shall not be used at the point.
(5) Portable metal ladders shall not be used in the vicinity of electrical circuits in places where they may come in contact with them. Portable metal ladders shall be legibly marked with signs reading “CAUTION--Do Not Use Around Electrical Equipment,” or equivalent wording.
(6) Each ladder shall be inspected daily and those which developed defects shall be withdrawn from service for repair or destruction and shall be tagged or marked “Danger, Do Not Use.” Improvised repairs shall not be made.
(7) Ladders shall be stored in such a manner as to provide ease of access or inspection, and to prevent danger of accident when withdrawing a ladder for use. Ladders, when not in use, shall be stored at a location where they will not be exposed to the elements, but where there is good ventilation. Wood ladders shall not be stored near radiators, stoves, steam pipes, or other places subjected to excessive heat or dampness. Rungs shall be kept free of grease and oil.
(8) Sectional ladders shall not be used by more than one man at a time, or with ladder jacks and scaffold planks.
(9) The top rest for the ladder shall be rigid and shall have ample strength to support the applied load. Ladders shall not be placed in front of doors unless the door is blocked open, locked or guarded. They shall not be placed on boxes, barrels or other unstable bases to obtain additional height.
(10) When ascending, working upon or descending the ladder, the user shall face the ladder.
(11) The use of ladders with hooks attached, to be hung on or over a parapet wall or other projection, shall not be permitted in window cleaning.
(12)(A) No employee shall be permitted to stand on or work from the top 3 rungs of a ladder unless there are structural members that provide a firm handhold or the employee is protected from falling by a personal fall protection system (e.g., positioning device or fall restraint system) in accordance with the requirements of Section 1670 of the Construction Safety Orders.
(B) Stepladders. Employees shall not sit, kneel, step or, stand on the pail shelf, topcap or the step below the topcap of a stepladder.

Exception: Employees may stand on the step below the topcap provided it is located 18 inches under the topcap. 

Note: Tops of self supporting ladders shall not be considered as a rung.
(13) No ladder shall be used where the base of the ladder is above grade unless there is a safe means of access to the base and adequate fastenings to prevent the ladder from slipping or falling.
(14) Ladders shall not be used on scaffolds to gain additional height.
(b) Specifications.
(1) Portable ladders shall comply with Section 3276 of the General Industry Safety Orders.

Exception: Refer to Section 3287(a)(1) for maximum length.
(2) All ladders shall be equipped with nonslip bases suitable to the bearing surface. Middle and top sections shall not be used as bottom sections unless the user equips them with nonslip bases.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment of subsections (a)(5), (a)(11) and new subsection (a)(14) filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
3. Amendment of subsections (b)(1) and (b)(2), renumbering of subsection (b)(3) to subsection (b)(4), and new subsection (b)(3) filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
4. Redesignation and amendment of former subsection (a)(12) to subsection (a)(12)(A) and new subsection (a)(12)(B) filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
5. Amendment of subsection (b)(1), repealer of subsections (b)(2)-(3) and subsection renumbering filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
6. Amendment of subsection (a)(12)(B) and new Exception filed 12-29-2011; operative 1-28-2012 (Register 2011, No. 52).
§3288. Rolling Scaffolds.
Note     •     History

Scaffolds used for window cleaning shall be of construction at least equivalent to that required by Article 22 of the Construction Safety Orders and shall be used in accordance with those orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41). 
2. Amendment of heading and section filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
§3289. Tools.
Note     •     History

Extension tools over 6 feet long shall not be used to clean windows from a position above grade. Extension devices so used shall be secure to prevent inadvertent detachment of the brush or squeegee.
Note: Operations in proximity to high-voltage lines are restricted by High-Voltage Electrical Safety Orders, Article 37.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37).
3. Change without regulatory effect filed 9-23-88 (Register 88, No. 41).
4. Repealer of section 3289 and renumbering of section 3291 to section 3289 filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
§3290. Prohibited Equipment.
Note     •     History

Window jacks or portable sills shall not be used in window cleaning.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41). 
§3291. Special Design Considerations--Permanent Roof Top Installations.
Note     •     History

(a) General. A Civil or Mechanical Engineer registered in the State of California shall prepare calculations and/or plans substantiating the structural integrity of all facets of the complete installation, including the eyebrow sleeves, roof davit systems, roof outrigger beams, and roof tie-backs. Such plans shall be available to the Division at the installation site.
(b) Projecting Ledges or “Eyebrows” at Roof Level.
(1) Those buildings so designed that projecting ledges or “eyebrows” at the roof or intervening levels prohibit the normal suspension of ropes supporting suspended scaffolds, shall be provided with sleeves that ex-- 
tend through the ledge or eyebrow. The minimum inside diameter of the sleeve shall be 6 inches to permit the passage of shackles, sockets, clamps and other rigging devices. The center-on-center spacing of sleeves shall be consistent with the length of the suspended scaffold to be utilized, but in no case shall this spacing exceed 24 feet for transportable scaffolds. Sleeves shall not be used as a rigging point unless securely anchored to the structure and be capable of supporting the rated load with a minimum safety factor of four.

Note: In lieu of the use of sleeves, other means of scaffold support, such as soffit monorail systems, etc., that offer equivalent safety and are acceptable to the Division, may be provided.
(2) Each sleeve assembly or each scaffold support system shall be provided with a securely affixed durable and readily visible metal plate bearing the rated load and installer's name in letters at least 1/4-inch in height. (Title 24, Part 2, Section 2-8505(b).)
(c) Roof Davit Systems.
Roof davit systems specifically shall comply with applicable provisions of Article 6 and the following:
(1) Each davit shall be provided with a securely affixed, durable and readily visible metal plate bearing the following information in letters at least 1/4-inch in height:
(A) The davit's rated load, based upon a safety factor of 4.
(B) Manufacturer's name.
(C) Precautionary warning message prohibiting use of the davit within 10 feet of high-voltage lines.
(2) Provisions shall be made to easily rotate davits while on the scaffold platform or boatswain's chair unless the platform may be safely re-positioned inboard or outboard without the necessity for personnel to stand on unguarded roofs or ledges unless protected by a personal fall restraint system complying with the requirements of Section 1670 of the Construction Safety Orders.
(3) Portable davit systems shall comply with the applicable provisions of Article 6. (Title 24, Part 2, Section 2-8505(c).)
(d) Outrigger Beams.
(1) Outrigger beams shall not be employed on buildings exceeding 130 feet in height unless acceptable to the Division. All outrigger beams shall be designed to support the rated load imparted by the suspended scaffold or boatswain's chair with a safety factor of at least 4. Outrigger beams shall not extend more than 6 feet beyond the face of the building. Only steel or high strength alloy beams shall be used. The inboard end of outrigger beams, measured from the fulcrum point to the anchorage point, shall be not less than 1 1/2 times the outboard end in length. The fulcrum point of the beam shall rest on leg(s) or equivalent supports securely attached to the beam and so arranged as to prevent lateral overturning of the beam. Bearing pads shall be securely affixed to each support and shall be of sufficient area to safely distribute imposed loads to the roof structure.  The inboard ends of outrigger beams shall be securely anchored by means of tension members (tie-down) affixed to the structural frame of the roof in such a manner that applied forces are resisted within allowable limits affording a safety factor of at least 4. All tie-down fittings at the inboard end of the beam shall be of a type that vibration effects shall not produce accidental disengagement. Safety hooks for beam tie-down purposes shall not be used. The use of counterweights at the inboard end of mobile and fixed outrigger beams are prohibited.
(2) The use of counterweights on the inboard end of portable or transportable outrigger beams shall be permitted only when the following conditions have been met:
(A)  The building on which the counterweight beam is to be used, was constructed prior to July 23, 1990.
(B) The building was not designed for other suspension systems.
(C) An Operating Procedures Outline Sheet (OPOS) shall be developed in accordance with Section 3282(p) of these orders.
(D) The counterweights shall be secured to the inboard ends of beams and shall consist of non-flowable solid materials (e.g., concrete, steel, etc.).
(E) The outrigger shall be secured with a tie-back to a verified anchorage on the building during the entire time of use. The anchorage shall be  designed to have a safety factor of not less than four based on the rated capacity of the outrigger.
(F) The counterweight shall provide a stability factor of at least 4 against overturning or upsetting of the outrigger.
(G) Each outrigger shall be designed by a registered engineer to support a load of 4 times the rated hoist capacity or the total load whichever is greater. Outrigger beams shall have a minimum rated capacity of 1000 pounds.
(H) The outrigger beam shall be secured against horizontal movement when in use.
(I) Portable outriggers weighing more than 80 pounds shall be provided with a stable means for its transport (wheels or cart).
(J) Each outrigger shall be so located that the suspension wire ropes, for two point suspended working platforms, are hung parallel.
(K) The parts of sectional outrigger beam(s) (i.e. an outrigger beam(s) consisting of more than one piece) shall be identified (e.g. numbered, color-coded). Parts shall not be interchanged or substituted except with the approval of the manufacturer.
(3) Each outrigger beam shall be provided with a securely affixed, durable and readily visible metal plate bearing the following information in letters at least 1/4-inch in height:
(A) The beam's rated load.
(B) Manufacturer's name.
(C) Precautionary warning message prohibiting use of the beam within 10 feet of high-voltage lines. (Title 24, Part 2, Section 3105A.4.2.)
(e) Portable Outrigger Beams. The use of portable outrigger beams shall comply with the applicable provisions of Article 6. (Title 24, Part 2, Section 2-8505(d).)
(f) Roof Tie-Backs.
(1) Every building constructed 3 stories or 36 feet or more in height, shall have roof tie-backs or other permanent devices installed at the roof level for the purpose of securing or tying back suspended scaffold hooks or clamps and safety lines.

Exceptions: 

1. Roof tie-backs are not required on buildings employing other acceptable means of permanently installed roof top maintenance systems specified in this Article or Article 6. 

2. Roof tie-backs are not required on buildings constructed up to 4 stories or 48 feet in height when building maintenance can be accomplished using extension tools, ladders, approved ground equipment such as scaffolds, or aerial devices designed and used for positioning personnel.
(2) Such devices should be spaced at approximately 12-foot intervals; however, the spacing shall depend primarily on the availability of roof structural framing members of sufficient strength to safely carry applied loads. Tie-backs may be installed in structural parapets that are of adequate strength to sustain applied loads, but, placement shall be as close to the roof level as practicable. Design criteria for tie-backs shall be as follows:
(A) Roof tie-backs shall have at least a 2-inch inside diameter closed “eye.”
(B) Tie-back assembly shall be hot-dip galvanized or afforded equivalent corrosion resistance.
(C) Assembly and anchorage provisions adequate to sustain a 5000 pound load applied in any direction without permanent deformation.
(3) Suspended scaffolds shall not be permitted unless roof tie-backs or equivalent anchorages are provided.
(g) Parapets of Excessive Height. Where building parapet heights exceed 42 inches, special provisions shall be employed to provide a safe means of access to the top of the parapet for rigging purposes if such access is necessary to the safe performance of the work. If such support systems as davit/sockets, parapet hooks or clamps, etc., are utilized at the top of parapets, a catwalk platform meeting the applicable sections of these orders, or other equivalent means of affording access for the safe performance of the work shall be provided. (Title 24, Part 2, Section 2-8505(f).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
3. Editorial correction of subsection (c)(1) (Register 79, No. 17).
4. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
5. Amendment filed 9-12-85; effective thirtieth day thereafter (Register 85, No. 37). 
6. Renumbering of section  3291 to section 3289 and renumbering and amendment of section 3292 to section 3291 filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
7. Amendment of subsection (f)(1) and Note filed 4-22-96; operative 5-22-96 (Register 96, No. 17).
8. Change without regulatory effect redesignating former subsection (f)(3)(A) to new subsection (f)(4) filed 6-22-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 26).
9. Amendment of subsections (d) and (d)(1), new subsections (d)(2)-(d)(2)(K), subsection renumbering and amendment of newly designated subsection (d)(3)(C) filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
10. Amendment of subsections (c)(1) and (c)(2) filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
11. Amendment of subsections (a), (f)(1) and (f)(2)(A)-(C), repealer of subsection (f)(3), subsection renumbering, amendment of newly designated subsection (f)(3) and amendment of Note filed 3-27-2007; operative 4-26-2007 (Register 2007, No. 13).

Appendix A   Operating Procedures Outline Sheet (OPOS)

An OPOS establishes safe window cleaning and exterior maintenance procedures for buildings and structures. An OPOS shall include all of the necessary elements in pictorial and written form, to instruct employees in the safe use of roof supported building maintenance equipment or window cleaning procedures not covered by these Orders. An OPOS shall contain at least the following elements:
1. Isometric or plan view drawing (pictorial drawing) of the building's roof, including the building's name, address, and the date the OPOS was prepared; and
a. The drawing shall be legible and kept with the building's written assurance; and
2. Identification of drop zones, recommended drop sequences, scaffold configurations, and specific building maintenance procedures including the equipment to be used, e.g. permanent roof rigging platform, ground rigged scaffolding, davits, outrigger beams, boatswain's chair or seatboard, etc.; and
3. Identification of all anchorage points for personal fall arrest systems and building maintenance equipment; and
4. Identification of personal fall protection requirements and, if applicable, procedures for securing equipment; and
5. If applicable, identification of all dangerous areas on the roof by highlighting all of the “Danger Zone(s)” on the pictorial drawing(s); and
6. If applicable, description of the means and methods to be used to transfer equipment from drop location to drop location or between building levels; and
7. Identification of equipment limitations, load ratings, and special use conditions; and
8. Provisions for pre-operational, operation and maintenance inspections; and
9. Identification of the access and egress to the work locations and the storage area(s) for the permanent or transportable building maintenance equipment; and
10. If applicable, indication of the location and method of stabilization provided for the suspended equipment; and
11. Emergency and rescue procedures, and means of communications to be used during such procedures; and
12. Method(s) to be used to control employee exposure to falls while they are in the “Danger Zone.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
Article 6. Powered Platforms and Equipment for Building Maintenance
§3292. General.
Note     •     History

(a) Scope.
(1) This article covers powered platform installations permanently dedicated to interior or exterior building maintenance of a specific structure or group of structures. This article does not apply to suspended scaffolds used for construction work and covered under Article 23 of the Construction Safety Orders. Building maintenance includes, but is not limited to, such tasks as window cleaning, caulking, metal polishing and reglazing.

Note: It is recognized because of special site conditions that certain provisions contained in Article 5 may be applicable and can be used in conjunction with equipment and/or practices in this article.
(2) Effective date. This article is effective July 1, 1993. (Title 24, Part 2, Section 2-8520(a).)
(b) Application. 
(1) New Installations. This article applies to all permanent installations completed after a July 1, 1993. Major modifications to existing installations completed after that date are also considered new installations under this article.
(2) Existing Installations. 
(A) Permanent installations in existence and or completed before July 1, 1993 shall comply with Sections 3296 through 3299 and Appendix C of this article.
(B) In addition, permanent installations completed after September 29, 1974 and in existence and/or completed before July 1, 1993, shall comply with Appendix D of this Article.

Note: For permanent installations completed before September 29, 1974, see Appendix D, subparagraph (b). (Title 24, Part 2, Section 2-8520(b).)
(c) Assurance.
(1) Building owners of new installations shall inform the employer before each use in writing that the installation meets the requirements of Sections 3294 and 3295 relating to: required load sustaining capabilities of platforms, building components, hoisting and supporting equipment; stability factors for carriages, platforms and supporting equipment; maximum horizontal force for movement of carriages and davits; design of carriages, hoisting machines, wire rope and stabilization systems; and design criteria for electrical wiring and equipment.
(2) Building owners shall base the information required in subsection (c)(1) of this section on the results of a field test of the installation before it is placed into service and following any major alteration to an existing installation as required in Section 3296. The assurance shall also be based on all other relevant available information, including, but not limited to, test data, equipment specifications and verification by a professional engineer currently registered in the State of California.
(3) Building owners of all installations, new and existing, shall inform the employer in writing that the installation has been inspected, tested and maintained in compliance with the requirements of Sections 3296 and 3297 and that all protection anchorages meet the requirements of Section I paragraph (c)(10) in Appendix C of this article.
(4) Building owners shall make available to employers the manufacturer's instruction manual and all other written documents necessary for the operation and maintenance of the building's permanent powered platform installations.
(5) The employer shall not permit employees to use the installation prior to receiving written assurance from the building owner that the installation meets the requirements contained in subsections (c)(1), (c)(3) and (c)(4) of this section.
(d)(1) Owners of buildings or structures shall develop an emergency procedures plan to assure both safe access to and egress from suspended permanent or transportable exterior and/or interior equipment. Where an Operating Procedures Outline Sheet (OPOS) has been developed for the building or structure in accordance with Appendix A of Article 5, the emergency procedures plan shall be incorporated into the OPOS.
(A) The emergency procedures plan shall be developed on a contract plan sheet in written and/or pictorial form and be available for review at the site by affected employees.
(B) Necessary features such as safety belt anchorages and adequate safe walkways required during emergencies shall be incorporated into the structure itself and delineated on the emergency procedure plan.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 37.
2. Editorial correction of printing error in History 1. (Register 93, No. 28).
3. Change without regulatory effect amending section heading  and subsection (a) filed 7-6-93; operative 8-5-93 (Register 93, No. 28).
4. Amendment of subsection (d)(1) and amendment of Note filed 4-27-2000; operative 5-27-2000 (Register 2000, No. 17).
5. Amendment of subsection (c)(5) and amendment of Note filed 3-27-2007; operative 4-26-2007 (Register 2007, No. 13).
§3293. Definitions.
Note     •     History

Definitions for certain terms used in Article 6 and Appendixes A through C are located in Article 1, Section 3207 and Article 5, Section 3281. Definitions for the terms used in Appendix D are located in Appendix D and only apply to Appendix D. (Title 24, Part 2, Section 2-8250(c).)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 37.
2. Amendment filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
§3294. Powered Platform Installations--Affected Parts of Buildings.
Note     •     History

(a) General Requirements. The following requirements apply to affected parts of buildings which utilize working platforms for building maintenance:
(1) Structural supports, tie-downs, tie-in guides, anchoring devices and any affected parts of the building included in the installation shall be designed by or under the direction of a professional engineer currently registered in State of California and experienced in such design;
(2) Exterior installations shall be capable of withstanding prevailing climatic conditions;
(3) The building installation shall provide safe access to, and egress from, the equipment and sufficient space to conduct necessary maintenance of the equipment;
(4) The affected parts of the buildings shall have the capability of sustaining all the loads imposed by the equipment; and,
(5) The affected parts of the buildings shall be designed so as to allow the equipment to be used without exposing employees to a hazardous condition.
(b) Tie-in Guides. 
(1) The exterior of each building shall be provided with tie-in guides unless the conditions in subsection (b)(2) or (b)(3) of this section are met.
Note: See Figure 1 in Appendix B of this Article for a description of a typical continuous stabilization system utilizing tie-in guides.
(2) If angulated roping is employed, tie-in guides required in subsection (b)(1) of this section may be eliminated for not more than 75 feet of the uppermost elevation of the building, if infeasible due to exterior building design, provided an angulation force of at least 10 pounds is maintained under all conditions of loading.
(3) Tie-in guides required in subsection(b)(1) of this section may be eliminated if one of the guide systems in subsection (b)(3)(A), (b)(3)(B) or (b)(3)(C) of this section is provided, or an equivalent.
(A) Intermittent Stabilization System. The system shall keep the equipment in continuous contact with the building facade, and shall prevent sudden horizontal movement of the platform. The system may be used together with continuous positive building guide systems using tie-in guides on the same building, provided the requirements for each system are met.
1. The maximum vertical interval between building anchors shall be three floors or 50 feet, whichever is less.
2. Building anchors shall be located vertically so that attachment of the stabilizer ties will not cause the platform suspension ropes to angulate the platform horizontally across the face of the building. The anchors shall be positioned horizontally on the building face so as to be symmetrical about the platform suspension ropes.
3. Building anchors shall be easily visible to employees and shall allow a stabilizer tie attachment for each of the platform suspension ropes at each vertical interval. If more than two suspension ropes are used on a platform, only the two building-side suspension ropes at the platform ends shall require a stabilizer attachment.
4. Building anchors which extend beyond the face of the building shall be free of sharp edges or points. Where cables, suspension wire ropes and safety lines may be in contact with the building face, external building anchors shall not interfere with their handling or operation.
5. The intermittent stabilization system building anchors and components shall be capable of sustaining without failure at least four times the maximum anticipated load applied or transmitted to the components and anchors. The design wind load for each anchor shall be 600 pounds.
6. The building anchors and stabilizer ties shall be capable of sustaining anticipated horizontal and vertical loads from winds specified for roof storage design which may act on the platform and wire ropes if the platform is stranded on a building face. If the building anchors have different spacing than the suspension wire ropes or if the building requires different suspension spacings on one platform, each building anchor and stabilizer tie shall be capable of sustaining the wind loads.
Note: See Figure 2 in Appendix B of this article for a description of a typical intermittent stabilization system.
(B) Button Guide Stabilization System.
1. Guide buttons shall be coordinated with platform mounted equipment as specified in Section 3295(e)(6).
2. Guide buttons shall be located horizontally on the building face so as to allow engagement of each of the guide tracks mounted on the platform.
3. Guide buttons shall be located in vertical rows on the building face for proper engagement of the guide tracks mounted on the platform.
4. Two guide buttons shall engage each guide track at all times except for the initial engagement.
5. Guide buttons which extend beyond the face of the building shall be free of sharp edges or points. Where cables, ropes and safety lines may be in contact with the building face, guide buttons shall not interfere with their handling or operation.
6. Guide buttons, connections and seals shall be capable of sustaining without damage at least the weight of the platform, or provision shall be made in the guide tracks or guide track connectors to prevent the platform and its attachments from transmitting the weight of the platform to the guide buttons, connections and seals. In either case, the design load shall be 600 pounds per building anchor.
Note: 1. See Section 3295(e)(6) for relevant equipment provisions.
2. See Figure 3 in Appendix B of this article for a description of a typical button guide stabilization system.
(C) System utilizing angulated roping and building face rollers. The system shall keep the equipment in continuous contact with the building facade, and shall prevent sudden horizontal movement of the platform. This system is acceptable only where the suspended portion of the equipment in use does not exceed 130 feet above a safe surface or ground level, and where the platform maintains no less than 10 pounds angulation force on the building facade.
(4) Tie-in guides for building interiors (atriums) may be eliminated when a professional engineer currently registered in the State of California determines that an alternative stabilization system, including systems in Section 3294(b)(3)(A), (B) and (C) or a platform tie-off at each work station will provide equivalent safety.
(c) Roof Guarding. 
(1) Buildings or structures shall be provided with a perimeter guard consisting of a parapet or guardrail system meeting the requirements of Section 3209 located above the adjacent horizontal surface on which portable equipment such as davits and outriggers beams are used to support suspended equipment or which provides access to or from such equipment.
(2) All parapet and guardrail systems installed on structures serviced by equipment meeting Article 6 requirements that is transported on a trackless-type roof car shall be designed and installed to withstand a minimum lateral force of 200 pounds per linear foot applied at 21 inches above the surface supporting the roof car. All other installations shall be designed and installed to withstand a minimum lateral force of 50 pounds per linear foot applied at the top of the standard height guardrail or parapet.
(3) The perimeter guard shall not be more than 6 inches inboard of the inside face of a barrier, i.e., the parapet wall or roof edge curb of the building being serviced; however, the perimeter guard location shall not exceed an 18-inch set-back from the building face.
(4) Where building features such as parapets or guardrails are required to support workers' safety lines, they shall be designed to withstand the combined vector component loads imposed without causing damage to such building features.
(5) Parapets exceeding 6 feet in height above the building area roof surface requiring roof-rigged transportable suspended scaffold or similar equipment shall have a suitable peripheral walkway located 42 inches below the parapet on all areas using the exterior maintenance system. Rolling scaffolds or ladders shall not be used unless they, the roof and exterior maintenance systems are designed to be compatible with their use.
(6) A specifically designed fall protection system shall be provided and used on surfaces such as sloping roof areas where workers' duties require that they gain access to or work from such areas.
(A) The fall protection system shall support a 5,000 pound safety line loading and enable the worker to ascend and descend the sloping surface in a controlled manner using a primary and secondary support line secured to a fall protection system at the upper end and to the safety line at the lower end.
(B) Access shall not be permitted on surfaces such as glazed roofs, vaults, or skylights unless an engineer currently registered in the State of California has certified that the surface will support all anticipated loads.
(d) Equipment Stops. Operational areas for trackless type equipment shall be provided with structural stops, such as curbs, to prevent equipment from traveling outside its intended travel areas and to prevent a crushing or shearing hazard.
(e) Maintenance Access. Means shall be provided to traverse all carriages and their suspended equipment to a safe area for maintenance and storage.
(f) Elevated Track. 
(1) An elevated track system which is located four feet or more above a safe surface, and traversed by carriage supported equipment, shall be provided with a walkway and guardrail system; or
(2) The working platform shall be capable of being lowered, as part of its normal operation, to the lower safe surface for access and egress of the personnel and shall be provided with a safe means of access and egress to the lower safe surface.
(g) Tie-down Anchors. Imbedded tie-down anchors, fasteners, and affected structures shall be corrosion resistant.
(h) Cable Stabilization. 
(1) Hanging safety lines and all cables not in tension shall be stabilized at each 200 foot interval of vertical travel of the working platform beyond an initial 200 foot distance.
(2) Hanging cables, other than suspended wire ropes, which are in constant tension shall be stabilized when the vertical travel exceeds an initial 600 foot distance, and at further intervals of 600 feet or less.
(i) Emergency Planning. A written emergency action plan shall be developed and implemented for each kind of working platform operation in conjunction with the emergency procedures plan required of the building owner by Section 3292(d)(1). This plan shall explain the emergency procedures which are to be followed in the event of a power failure, equipment failure or other emergencies which may be encountered. The plan shall also explain that employees inform themselves about the building emergency escape routes, procedures and alarm systems before operating a platform. Upon initial assignment and whenever the plan is changed, the employer shall review with each employee those parts of the plan which the employee must know to protect himself or herself in the event of an emergency.
(j) Building Maintenance. Repairs or major maintenance of those building portions that provide primary support for the suspended equipment shall not affect the capability of the building to meet the requirements of this standard.
(k) Electrical Requirements. The following electrical requirements apply to buildings which utilize working platforms for building maintenance:
(1) General building electrical installations shall comply with the Electrical Safety Orders, unless otherwise specified in this article;
(2) Building electrical wiring shall be of such capacity that when full load is applied to the equipment power circuit, not more than a five percent drop from building service-vault voltage shall occur at any power circuit outlet used by equipment regulated by this article;
(3) The equipment power circuit shall be an independent electrical circuit that shall remain separate from all other equipment within or on the building, other than power circuits used for hand tools that will be used in conjunction with the equipment. If the building is provided with an emergency power system, the equipment power circuit may also be connected to this system;
(4) The power circuit shall be provided with a disconnect switch that can be locked in the “OFF” and “ON” positions. The switch shall be conveniently located with respect to the primary operating area of the equipment to allow the operators of the equipment access to the switch;
(5) The disconnect switch for the power circuit shall be locked in the “ON” position when the equipment is in use; and
(6) An effective two-way voice communication system shall be provided between the equipment operators and persons stationed within the building being serviced. The communications facility shall be operable and shall be manned at all times by persons stationed within the building whenever the platform is being used. (Title 24, Part 2, 2-8521)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 40.
2. Editorial correction of subsection (c)(6)(B) (Register 95, No. 24).
3. Amendment of subsection (i) and amendment of Note filed 4-27-2000; operative 5-27-2000 (Register 2000, No. 17).
§3295. Powered Platform Installations--Equipment.
Note     •     History

(a) General Requirements. The following requirements apply to equipment which are part of a powered platform installation, such as platforms, stabilizing components, carriages, outriggers, davits, hoisting machines, wire ropes and electrical components:
(1) Equipment installations shall be designed by or under the direction of a professional engineer currently registered in the State of California and experienced in such design;
(2) The design shall provide for a minimum live load of 250 pounds for each occupant of a suspended or supported platform;
(3) Equipment that is exposed to wind when not in service shall be designed to withstand forces generated by winds of at least 100 miles per hour at 30 feet above grade;
(4) Equipment that is exposed to wind when in service shall be designed to withstand forces generated by winds of at least 50 miles per hour for all elevations; and
(5) Equipment shall not be cascaded between structure levels using craning methods unless the procedures and equipment utilized have been previously approved by the Division.
(b) Construction Requirements. Bolted connections shall be self-locking or shall otherwise be secured to prevent loss of the connections by vibration.
(c) Suspension Methods. Elevated building maintenance equipment shall be suspended by a carriage, outriggers, davits or an equivalent method.
(1) Carriages. Carriages used for suspension of elevated building maintenance equipment shall comply with the following:
(A) The horizontal movement of a carriage shall be controlled so as to ensure its safe movement and allow accurate positioning of the platform for vertical travel or storage;
(B) Powered carriages shall not exceed a traversing speed of 50 feet per minute;
(C) The initiation of a traversing movement for a manually propelled carriage on a smooth level surface shall not require a person to exert a horizontal force greater than 40 pounds;
(D) Structural stops and/or curbs shall be provided to prevent the traversing of the carriage beyond its designed limits of travel;
(E) Traversing controls for a powered carriage shall be of continuous pressure weatherproof type. Multiple controls when provided shall be arranged to permit operation from only one control station at a time. An emergency stop device shall be provided on each end of a powered carriage for interrupting power to the carriage drive motors;
(F) The operating control(s) shall be so connected that in the case of suspended equipment, traversing of a carriage is not possible until the suspended portion of the equipment is located at its uppermost designed position for traversing; and is free of contact with the face of the building or building guides. In addition, all protective devices and interlocks are to be in the proper position to allow traversing of the carriage;
(G) Stability for underfoot supported carriages shall be obtained by gravity, by an attachment to a structural support, or by a combination of gravity and a structural support. The use of flowing counterweights, such as water or sand, to achieve stability is prohibited.
1. The stability factor against overturning shall not be less than two for horizontal traversing of the carriage, including the effects of impact and wind.
2. The carriages and their anchorages shall be capable of resisting accidental over-tensioning of the wire ropes suspending the working platform, and this calculated value shall include the effect of one and one-half times the stall capacity of the hoist motor. All parts of the installation shall be capable of withstanding without damage to any part of the installation the forces resulting from the stall load of the hoist and one half the wind load.
3. Roof carriages which rely on having tie-down devices secured to the building to develop the required stability against overturning shall be provided with an interlock which will prevent vertical platform movement unless the tie-down is engaged.
(H) An automatically applied braking or locking system, or equivalent, shall be provided that will prevent unintentional traversing of power traversed or power assisted carriages;
(I) A manual or automatic braking or locking system or equivalent, shall be provided that will prevent unintentional traversing of manually propelled carriages;
(J) A means to lock out the power supply for the carriage shall be provided;
(K) Safe access to and egress from the carriage shall be provided from a safe surface. If the carriage traverses an elevated area, any operating area on the carriage shall be protected by a guardrail system in compliance with the provisions of subsection (e)(1)(G) of this section. Any access gate shall be self-closing and self-latching, or provided with an interlock;
(L) Each carriage work station position shall be identified by location markings and/or position indicators; and
(M) The motors shall stall if the load on the hoist motors is at any time in excess of three times that necessary for lifting the working platform with its rated load.
(2) Portable Outriggers. 
(A) Portable outriggers may be used as a method of suspension for ground rigged working platforms where the point of suspension does not exceed 130 feet above a safe surface unless acceptable to the Division.
(B) Platform stabilization system(s) shall be provided which meet the requirements of Section 3294(b).
(C) Portable outriggers shall be used only with self-powered, ground rigged working platforms.
(D) Each portable outrigger shall be secured with a tie-down to a verified anchorage on the building during the entire period of its use. The anchorage shall be designed to have a stability factor of not less than four against overturning or upsetting of the outrigger.
(E) Access to and egress from the working platform shall be from and to a safe surface below the point of suspension.
(F) The working platform shall be provided with wheels, casters or a carriage for traversing horizontally.
(G) Each portable outrigger shall be designed for lateral stability to prevent rollover in the event an accidental lateral load is applied to the outrigger. The accidental lateral load to be considered in this design shall be not less than 70 percent of the rated load of the hoist.
(H) Each portable outrigger shall be designed to support an ultimate load of not less than four times the rated load of the hoist.
(I) Each portable outrigger shall be so located that the suspension wire ropes for two point suspended working platforms are hung parallel.
(J) A portable outrigger shall be tied-down to a verified anchorage on the building with a rope equivalent in strength to the suspension rope.
(K) The tie-back rope shall be installed parallel to the centerline of the outrigger.
(L) Where applicable, the forces or weights referenced in Section 3295(c)(3)(D) and (D)1. and 2. shall apply to outriggers.
(3) Davits. 
(A) Every davit installation, fixed or portable, rotatable or non-rotatable shall be designed and installed to ensure that it has a stability factor against failure or overturning of not less than four.
(B) The following requirements apply to roof rigged davit systems:
1. Access to and egress from the working platform shall be from a safe surface. Access or egress shall not require persons to climb over a building's parapet or guard railing; and
2. The working platform shall be provided with wheels, casters or a carriage for traversing horizontally.
(C) The following requirements apply to ground rigged davit systems:
1. The point of suspension shall not exceed 130 feet above a safe surface unless acceptable to the Division;
2. Platform stabilization system(s) shall be provided which meet the requirements of Section 3294(b); and
3. Access and egress to and from the working platform shall only be from a safe surface below the point of suspension.
(D) A rotating davit shall not require a horizontal force in excess of 40 pounds per person to initiate a rotating movement.
(E) A davit or part of a davit weighing more than 80 pounds shall be provided with a means for its transport, which shall keep the center of gravity of the davit at or below 36 inches above the safe surface during transport.
(F) Davits or davit components which weigh more than 140 pounds shall be provided with a mechanical means for hoisting them into position.
(G) Portable davits shall have a maximum reach of 8 feet, 6 inches (2600 mm) and a maximum fully assembled weight of 300 pounds (135 kg).
(H) Roof-rigged davits shall be provided with pivoting sockets or with bases that will allow the insertion or removal of a davit at a position of not more than 35 degrees above the horizontal, with the complete davit inboard of the building face being serviced.
(I) A means shall be provided to lock the davit to its socket or base before it is used to suspend the platform.
(J) Portable davit sockets, if used, shall be fitted with wheels to allow ready movement from pedestal to pedestal, shall not require lifting to mate with the pedestal and shall have a pedestal pin attachment connection or positive locking pin connection to the pedestal. Socket/pedestal connections requiring bolts or other threaded fasteners shall not be used.
(d) Hoisting Machines. 
(1) Raising and lowering of suspended or supported equipment shall be performed only by a hoisting machine.
(2) Each hoisting machine shall be capable of arresting any overspeed descent of the load.
(3) Each hosting machine shall be powered only by air, electric or hydraulic sources.
(4) Flammable liquids shall not be carried on the working platform.
(5) Each hoisting machine shall be capable of raising or lowering 125 percent of the rated load of the hoist.
(6) Moving parts of a hoisting machine shall be enclosed or guarded in compliance with Section 4002 of the General Industry Safety Orders.
(7) Winding drums, traction drums, sheaves and directional sheaves used in conjunction with hoisting machines shall be compatible with, and sized for, the wire rope used.
(8) Each winding drum shall be provided with a positive means of attaching the wire rope to the drum. The attachment shall be capable of developing at least four times the rated load of the hoist.
(9) Each hoisting machine shall be provided with a primary brake and at least one independent secondary brake, each capable of stopping and holding not less than 125 percent of the lifting capacity of the hoist.
(A) The primary brake shall be directly connected to the drive train of the hoisting machine, and shall not be connected through belts, chains, clutches, or set screw type devices. The brake shall automatically set when power to the prime mover is interrupted.
(B) 1. The secondary brake shall be an automatic emergency type of brake that, if actuated during each stopping cycle, shall not engage before the hoist is stopped by the primary brake.
2. When a secondary brake is actuated, it shall stop and hold the platform within a vertical distance of 24 inches.
(10) Any component of a hoisting machine which requires lubrication for its protection and proper functioning shall be provided with a means for that lubrication to be applied.
(e) Suspended Equipment. 
(1) General Requirements. 
(A) Each suspended unit component, except suspension ropes and guardrail systems, shall be capable of supporting, without failure, at least four times the maximum intended live load applied or transmitted to that component.
(B) Each suspended unit component shall be constructed of materials that will withstand anticipated weather conditions.
(C) Each suspended unit shall be provided with a load rating plate, conspicuously located, stating the unit weight and rated load of the suspended unit.
(D) When the suspension points on a suspended unit are not at the unit ends, the unit shall be capable of remaining continuously stable under all conditions of use and position of the live load, and shall maintain at least a 1.5 to 1 stability factor against unit upset.
(E) Guide rollers, guide shoes or building face rollers shall be provided, and shall compensate for variations in building dimensions and for minor horizontal out-of-level variations of each suspended unit.
(F) Each working platform of a suspended unit shall be secured to the building facade by one or more of the following methods, or by an equivalent method:
1. Continuous engagement to building anchors as provided in Section 3294(b)(1);
2. Intermittent engagement to building anchors as provided in Section 3294(b)(3)(A);
3. Button guide engagement as provided in Section 3294(b)(3)(B) ; or
4. Angulated roping and building face rollers as provided in Section 3294(b)(3)(C).
(G) Each working platform of a suspended unit shall be provided with a guardrail system on all sides which shall meet the following requirements:
1. The system shall consist of a top guardrail, midrail, and a toeboard;
2. The system shall consist of a 42 inch high enclosure on the ends and outboard side. The inboard side shall be not less than 36 inches high;
3. The top guardrail and midrail shall be able to withstand at least a 100 pound force applied in any direction;
4. The areas between the guardrail and toeboard on the ends and outboard side, and the area between the midrail and toeboard on the inboard side, shall be closed with a material that is capable of withstanding a load of 100 pounds applied horizontally over any area of one square foot. The material shall have all openings small enough to reject passage of a one inch steel ball and potential falling objects which may be hazardous to persons below;
5. Toeboards shall be capable of withstanding, without failure, a force of at least 50 pounds applied in any downward or horizontal direction at any point along the toeboard;
6. Toeboards shall be three and one-half inches minimum in height from their top edge to the level of the platform floor;
7. Toeboards shall be securely fastened in place at the outermost edge of the platform and have no more than one-half inch clearance above the platform floor; and
8. Toeboards shall be solid or with an opening not over one inch in the greatest dimension.
(2) Two and Four-Point Suspended Working Platforms. 
(A) The working platform shall be not less than 24 inches wide and shall be provided with a minimum of a 12 inch wide passage at or past any obstruction on the platform.
(B) The flooring shall be of slip-resistant type and shall contain no opening that would allow the passage of safety lines, cables and other potential falling objects. If a larger opening is provided, it shall be protected by placing a material under the opening which shall prevent the passage of a one inch steel ball and potential falling objects.
(C) The working platform shall be provided with a means of suspension that will restrict the platform's inboard to outboard roll about its longitudinal axis to a maximum of 15 degrees from a horizontal plane when moving the live load from the inboard to the outboard side of the platform.
(D) Any cable suspended from above the platform shall be provided with a means for storage to prevent accumulation of the cable on the floor of the platform.
(E) All operating controls for the vertical travel of the platform shall be of the continuous-pressure type, and shall be located on the platform.
(F) Each operating station of every working platform shall be provided with a means of interrupting the power supply to all hoist motors to stop any further powered ascent or descent of the platform.
(G) The maximum rated speed of the platform shall not exceed 50 feet per minute with single speed hoists, nor 75 feet per minute with multi-speed hoists.
(H) Provisions shall be made for securing all tools, water tanks, and other accessories to prevent their movement or accumulation on the floor of the platform.
(I) Portable fire extinguishers conforming to the provisions of Section 6151 shall be provided and securely attached on all working platforms.
(J) Access to and egress from a working platform, except for those that land directly on a safe surface, shall be provided by stairs, ladders, platforms and runways conforming to the provisions of Article 4 of the General Industry Safety Orders. Access gates shall be self-closing and self-latching.
(K) Means of access to or egress from a working platform which is 48 inches or more above a safe surface shall be provided with a guardrail system or ladder handrails that conform to the provisions of Article 2 of the General Industry Safety Orders.
(L) The platform shall be provided with a secondary wire rope suspension system if the platform contains overhead structures which restrict the emergency egress of employees. A horizontal safety line or a direct connection anchorage shall be provided, as part of a fall arrest system which meets the requirements of Appendix C, for each employee on such a platform.
(M) A vertical safety line shall be provided as part of a fall arrest system which meets the requirements of Appendix C, for each employee on a working platform suspended by two or more wire ropes, if the failure of one wire rope or suspension attachment will cause the platform to upset. If a secondary wire rope suspension is used, vertical safety lines are not required for the fall arrest system, provided that each employee is attached to a horizontal safety line anchored to the platform.
(N) An emergency electric operating device shall be provided on roof powered platforms near the hoisting machine for use in the event of failure of the normal operating device located on the working platform, or failure of the cable connected to the platform. The emergency electric operating device shall be mounted in a secured compartment, and the compartment shall be labeled with instructions for use. A means for opening the compartment shall be mounted in a break-glass receptacle located near the emergency electric operating device or in an equivalent secure and accessible location.
(3) Single Point Suspended Working Platforms. 
(A) The requirements of Section 3295(e)(2)(A) through (K) shall also apply to a single point working platform.
(B) Each single point suspended working platform shall be provided with a secondary wire rope suspension system, which will prevent the working platform from falling should there be a failure of the primary means of support, or if the platform contains overhead structures which restrict the egress of the employee. A horizontal safety line or a direct connection anchorage shall be provided, as part of a fall arrest system which meets the requirements of Appendix C.
(4) Ground-Rigged Working Platforms. 
(A) Ground-rigged working platforms shall comply with all the requirements of Section 3295(e)(2)(A) through (M).
(B) After each day's use, the power supply within the building shall be disconnected from a ground-rigged working platform, and the platform shall be either disengaged from its suspension points or secured and stored at grade.
(5) Intermittently Stabilized Platforms.
(A) The platform shall comply with Section 3295(e)(2)(A) through (M).
(B) Each stabilizer tie shall be equipped with a “quick connect-quick disconnect” device which cannot be accidentally disengaged, for attachment to the building anchor, and shall be resistant to adverse environmental conditions.
(C) The platform shall be provided with a stopping device that will interrupt the hoist power supply in the event the platform contacts a stabilizer tie during its ascent.
(D) Building face rollers shall not be placed at the anchor setting if exterior anchors are used on the building face.
(E) Stabilizer ties used on intermittently stabilized platforms shall allow for the specific attachment length needed to effect the predetermined angulation of the suspended wire rope. The specific attachment length shall be maintained at all building anchor locations.
(F) The platform shall be in continuous contact with the face of the building during ascent and descent.
(G) This attachment and removal of stabilizer ties shall not require the horizontal movement of the platform.
(H) The platform-mounted equipment and its suspension wire ropes shall not be physically damaged by the loads from the stabilizer tie or its building anchor. The platform, platform mounted equipment and wire ropes shall be able to withstand a load that is at least twice the ultimate strength of the stabilizer tie.
See Figure 2 in Appendix B of this article for a description of a typical intermittent stabilization system.
(6) Button-Guide Stabilized Platforms.
(A) The platform shall comply with Section 3295(e)(2)(A) through (M).
(B) Two guide tracks shall be mounted on the platform and shall provide continuous contact with the building face.
(C) Each guide track on the platform shall engage a minimum of two guide buttons during any vertical travel of the platform following the initial button engagement.
(D) Each guide track on a platform that is part of a roof rigged system shall be provided with a storage position on the platform.
(E) Each guide track on the platform shall be sufficiently maneuverable by platform occupants to permit easy engagement of the guide buttons, and easy movement into and out of its storage position on the platform.
(F) The load carrying components of the button guide stabilization system which transmit the load into the platform shall be capable of supporting the weight of the platform, or provision shall be made in the guide track connectors or platform attachments to prevent the weight of the platform from being transmitted to the platform attachments.

Note: See Figure 3 in Appendix B of this article for a description of a typical button guide stabilization system.
(f) Supported Equipment. 
(1) Supported equipment shall maintain a vertical position in respect to the face of the building by means other than friction.
(2) Cog wheels or equivalent means shall be incorporated to provide climbing traction between the supported equipment and the building guides. Additional guide wheels or shoes shall be incorporated as may be necessary to ensure that the drive wheels are continuously held in positive engagement with the building guides.
(3) Launch guide mullions indexed to the building guides and retained in alignment with the building guides shall be used to align drive wheels entering the building guides.
(4) Occupied platforms used on supported equipment shall comply with the requirements of Section 3295(e)(2)(A), (e)(2)(B), and (e)(2)(D) through (K) covering suspended equipment.
(g) Suspension Wire Ropes and Rope Connections. 
(1) Each specific installation shall use suspension wire ropes or combination cable and connections meeting the specification recommended by the manufacturer of the hoisting machine used. Connections shall be capable of developing at least 80 percent of the rated breaking strength of the wire rope.
(2) Each suspension rope shall have a “Design Factor” of at least 10. The “Design Factor” is the ratio of the rated strength of the suspension wire rope to the rated working load, and shall be calculated using the following formula:

View Graphic
Where:
F=Design factor
S=Manufacturer's rated strength of one suspension rope
N=Number of suspension ropes under load 
W=Rated working load on all ropes at any point of travel
(3) Suspension wire rope grade shall be at least improved plow steel or equivalent.
(4) Suspension wire ropes shall be sized to conform with the required design factor, but shall not be less than 5/16 inch in diameter.
(5) No more than one reverse bend in six wire rope lays shall be permitted.
(6) A corrosion-resistant tag shall be securely attached to one of the wire rope fastenings when a suspension wire rope is to be used at a specific location and will remain in that location. This tag shall bear the following wire rope data:
A. The diameter (inches);
B. Construction classification;
C. Whether non-preformed or preformed;
D. The grade of material;
E. The manufacturer's rated strength;
F. The manufacturer's name;
G. The month and year the ropes were installed; and
H. The name of the person or company which installed the ropes.
(7) A new tag shall be installed at each rope renewal.
(8) The original tag shall be stamped with the date of the resocketing, or the original tag shall be retained and a supplemental tag shall be provided when ropes are resocketed. The supplemental tag shall show the date of resocketing and the name of the person or company that resocketed the rope.
(9) Winding drum type hoists shall contain at least three wraps of the suspension wire rope on the drum when the suspended unit has reached the lowest possible point of its vertical travel.
(10) Traction drum and sheave type hoists shall be provided with a wire rope of sufficient length to reach the lowest possible point of vertical travel of the suspended unit, and an additional length of the wire rope of at least four feet.
(11) The lengthening or repairing of suspension wire ropes is prohibited.
(12) Babbitted fastenings for suspension wire ropes are prohibited.
(h) Control Circuits, Power Circuits and Their Components. 
(1) Electrical wiring and equipment shall comply with the Electrical Safety Orders, except as otherwise required by this section.
(2) Electrical runway conductor systems shall be of a type designed for use in exterior locations, and shall be located so that they do not come into contact with accumulated snow or water.
(3) Cables shall be protected against damage resulting from over-tensioning or from other causes.
(4) Devices shall be included in the control system for the equipment which will provide protection against electrical overloads, three phase reversal and phase failure. The control system shall have a separate method, independent of the direction control circuit, for breaking the power circuit in case of an emergency or malfunction.
(5) Suspended or supported equipment shall have a control system which will require the operator of the equipment to follow predetermined procedures.
(6) The following requirements shall apply to electrical protection devices:
(A) On installations where the carriage does not have a stability factor of at least four against overturning, electrical contact(s) shall be provided and so connected that the operating devices for the suspended or supported equipment shall be operative only when the carriage is located and mechanically retained at an established operating point.
(B) Overload protection shall be provided in the hoisting or suspension system to protect against the equipment operating in the “up” direction with a load in excess of 125 percent of the rated load of the platform; and
(C) An automatic detector shall be provided for each suspension point that will interrupt power to all hoisting motors for travel in the “down” direction, and apply the primary brakes if any suspension wire rope becomes slack. A continuous-pressure rigging-bypass switch designed for use during rigging is permitted. This switch shall only be used during rigging.
(7) Upper and lower directional switches designed to prevent the travel of suspended units beyond safe upward and downward levels shall be provided.
(8) Emergency stop switches shall be provided on remote controlled, roof-powered platforms adjacent to each control station on the platform.
(9) Cables which are in constant tension shall have overload devices which will prevent the tension in the cable from interfering with the load limiting device required in Section 3295(h)(6)(B) or with the platform roll limiting device required in Section 3295(e)(2)(C). The setting of these devices shall be coordinated with other overload settings at the time of design of the system, and shall be clearly indicated on or near the device. The device shall interrupt the equipment travel in the “down” direction. (Title 24, Part 2, 2-8522)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 40.
2. Change without regulatory effect amending subsection (c)(2)(A) filed 9-13-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 37).
3. Change without regulatory effect amending subsections (c)(2)(J) and (c)(2)(L) filed 10-23-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
4. Amendment of subsections (c)(3)(A), (c)(3)(B)2., and (c)(3)(C)1.-2., redesignation and amendment of subsections (c)(3)(D)1.-5. as subsections (c)(3)(E)-(F) and (c)(3)(H)-(J), new subsection (c)(3)(G) and amendment of Note filed 3-27-2007; operative 4-26-2007 (Register 2007, No. 13).
5. Editorial correction of subsection (d)(6) (Register 2007, No. 32).
§3296. Inspection and Tests.
Note     •     History

(a) Installations and Alterations. All completed building maintenance equipment installations shall be inspected and tested in the field before being placed in initial service to determine that all parts of the installation conform to applicable requirements of this article, and that all safety and operating equipment is functioning as required. A similar inspection and test shall be made following any major alteration to an existing installation. 
(1) No hoist in an installation shall be subjected to a load in excess of 125 percent of its rated load.
(2) The building owner shall keep a certification record of each inspection and test required under subsection (a) of this section. The certification record shall include the date of the inspection, the signature of the person who performed the inspection, and the number, or other identifier, of the building support structure and equipment which was inspected. This certification record shall be kept readily available for review by the Division and by the employer.
(b) Periodic Inspections and Tests.
(1) Each installation shall undergo a periodic inspection and test at least every 12 months by the equipment manufacturer, authorized representative, or other qualified person acceptable to the Division. All parts of the equipment, including related building support structures, shall be inspected, and where necessary, tested to determine that they are in safe operating condition.
(2) The building owner shall keep a certification record of each inspection and test required under subsection (b) of this section. The certification record shall include the date of the inspection, the signature of the person who performed the inspection, and the number, or other identifier, of the building support structure and equipment which was inspected. This certification record shall be kept readily available for review by the Division and by the employer.
(3) Building safety devices and equipment as described in Section 3282(p)(1)(A) shall be load tested if damage, corrosion or deterioration affecting the load bearing integrity of building safety devices and equipment is detected or suspected.
(A) The safety device or equipment shall be removed from service until repaired or replaced if testing indicates that the load sustaining integrity of a safety device or equipment has been compromised.
(B) A professional engineer experienced in the design of building safety devices and equipment shall inspect and evaluate such equipment when any of the following occur:
1. The design documents are not available;
2. The design is deficient; or
3. Inspections or tests determine that the safety devices or equipment are not safe for use.
(C) Damage to safety devices or equipment, or damage to the building structure from testing operations shall be reported to the building owner.
(D) If safety deficiencies affecting the load bearing integrity of devices or equipment have not been corrected within 60 days from the date the building owner was notified, the deficiencies shall be reported to the Division by the inspecting agency contracted to perform inspections and/or testing.
(4)(A) Load suspension devices shall not be tested to more than 2 times the rated working load which the device is designed to lift and/or support.
(B) Roof tie-backs shall be tested to no more than 50 percent of their rated capacity. For example, a roof tie-back with a rated capacity of 5000 pounds shall not be tested in excess of 2500 pounds.
(5) Test equipment shall be calibrated at least annually and calibration records shall be available to the Division.
(6) The load testing methodology and load testing procedures for a building's safety devices and equipment shall be prescribed, in writing, by a professional engineer and load tests shall be performed by qualified persons under the direction of the engineer.
(7) Working platforms and their components shall be inspected by the employer for visible defects before every use and after each occurrence which could affect the platform's structural integrity.
(c) Maintenance Inspections and Tests.
(1) A maintenance inspection and, where necessary a test shall be made of each platform installation prior to the start of a work cycle and where the work cycle is more than 30 days, such inspection and/or test shall be made at least every 30 days during the work cycle. This inspection and test shall follow procedures recommended by the manufacturer, and shall be made by a qualified person.
(2) The building owner shall keep a certification record of each inspection and test performed under subsection (c)(1) of this section. The certification record shall include the date of the inspection and test, the signature of the person who performed the inspection and/or test, and an identifier for the platform installation which was inspected. The certification record shall be kept readily available for review by the Division and by the employer.
(d) Special Inspection of Governors and Secondary Brakes. 
(1) Governors and secondary brakes shall be inspected and tested at intervals specified by the manufacturer/supplier but not to exceed every 12 months.
(2) The results of the inspection and test shall confirm that the initiating device for the secondary braking system operates at the proper overspeed.
(3) The results of the inspection and test shall confirm that the secondary brake is functioning properly.
(4) If any hoisting machine or initiating device for the secondary brake system is removed from the equipment for testing, all reinstalled and directly related components shall be reinspected prior to returning the equipment installation to service.
(5) Inspection of governors and secondary brakes shall be performed by a qualified person.
(6) The secondary brake governor and actuation device shall be tested before each day's use. Where testing is not feasible, a visual inspection of the brake shall be made to ensure that it is free to operate.
(e) Suspension Wire Rope Maintenance, Inspection and Replacement.
(1) Suspension wire rope shall be maintained and used in accordance with procedures recommended by the wire rope manufacturer.
(2) Suspension wire rope shall be inspected by a qualified person for visible defects and gross damage to the rope before every use and after each occurrence which might affect the wire rope's integrity.
(3) A thorough inspection of suspension wire ropes in service shall be made once a month. Suspension wire ropes that have been inactive for 30 days or longer shall have a thorough inspection before they are placed into service. These thorough inspections of suspension wire ropes shall be performed by a qualified person.
(4) The need for replacement of a suspension wire rope shall be determined by inspection and shall be based on the condition of the wire rope. Any of the following conditions or combination of conditions will be cause for removal of the wire rope:
(A) Broken wires exceeding three wires in one strand or six wires in one rope lay;
(B) Distortion of rope structure such as would result from crushing or kinking;
(C) Evidence of heat damage;
(D) Evidence of rope deterioration from corrosion;
(E) A broken wire within 18 inches of the end attachments;
(F) Noticeable rusting and/or pitting;
(G) Evidence of core failure (a lengthening of rope lay, protrusion of the rope core and a reduction in rope diameter suggests core failure); or
(H) More than one valley break (broken wire);
(I) Outer wire wear exceeds one-third of the original outer wire diameter;
(J) Any other condition which the qualified person determines has significantly affected the integrity of the rope.
(5) The building owner shall keep a certification record of each monthly inspection of a suspension wire rope as required in subsection (e)(3) of this section. The record shall include the date of the inspection, the signature of the person who performed the inspection, and a number, or other identifier of the wire rope which was inspected. This record of inspection shall be made available for review by the Division and by the employer.
(f) Hoist Inspection. Before lowering personnel below the top elevation of the building, the hoist shall be tested each day in the lifting direction with the intended load to make certain it has sufficient capacity to raise the personnel back to the boarding level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 40.
2. New subsections (a)(1)-(2), amendment of subsection (b)(2), new subsections (b)(3)-(b)(6), subsection renumbering and amendment of Note filed 3-27-2007; operative 4-26-2007 (Register 2007, No. 13).
§3297. Maintenance.
Note     •     History

(a) General Maintenance. All parts of the equipment affecting safe operation shall be maintained in proper working order so that they may perform the functions for which they were intended. The equipment shall be taken out of service when any part is not in proper working order.
(b) Cleaning. 
(1) Control or power contractors and relays shall be kept clean.
(2) All other parts shall be kept clean if their proper functioning would be affected by the presence of dirt or other contaminants.
(c) Periodic Resocketing of Wire Rope Fastenings. 
(1) Hoisting ropes utilizing poured socket fastenings shall be resocketed at the non-drum ends at intervals not exceeding 24 months. In resocketing the ropes, a sufficient length shall be cut from the end of the rope to remove damaged or fatigued portions.
(2) Resocketed ropes shall conform to the requirements of Section 3295(g).
(3) Limit switches affected by the resocketed ropes shall be reset, if necessary.
(d) Periodic Reshackling of Suspension Wire Ropes. The hoisting ropes shall be reshackled at the nondrum ends at intervals not exceeding 24 months. When reshackling the ropes, a sufficient length shall be cut from the end of the rope to remove damaged or fatigued portions.
(e) Roof Systems. Roof track systems, tie-downs, or similar equipment shall be maintained in proper working order so that they perform the function for which they were intended.
(f) Building Face Guiding Members. T-rails, indented mullions, or equivalent guides located in the face of a building shall be maintained in proper working order so that they perform the functions for which they were intended. Brackets for cable stabilizers shall similarly be maintained in proper working order.
(g) Inoperative Safety Devices. No person shall render a required safety device or electrical protective device inoperative, except as necessary for tests, inspections, and maintenance. Immediately upon completion of such tests, inspections and maintenance, the device shall be restored to its normal operating condition.
NOTE

Authority cited: Section 142.3, LaborCode. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 83, No. 41.
§3298. Operations.
Note     •     History

(a) Training. 
(1) Working platforms shall be operated only by qualified persons who are proficient in the operation, safe use and inspection of the particular working platform to be operated.
(2) All employees who operate working platforms shall be trained in the following:
(A) Recognition of, and preventive measures for, the safety hazards associated with their individual work tasks.
(B) General recognition and prevention of safety hazards associated with the use of working platforms, including the provisions in the article relating to the particular working platform to be operated.
(C) Emergency action plan procedures required in Section 3294(i).
(D) Work procedures required in subsection (a)(4) of this section.
(E) Personal fall arrest system inspection care, use and system performance.
(3) Training of employees in the operation and inspection of working platforms shall be done by a qualified person.
(4) Written work procedures for the operation, safe use and inspection of working platforms shall be provided for employee training. Pictorial methods of instruction, may be used, in lieu of written work procedures, if employee communication is improved using this method. The operating manuals supplied by manufacturers for platform system components can serve as the basis for these procedures.
(5) The employer shall certify that employees have been trained in operating and inspecting a working platform by preparing a certification record which includes the identity of the person trained, the signature of the employer or the person who conducted the training and the date that training was completed. The certification record shall be prepared at the completion of the training required in subsection (a)(2) of this section, and shall be maintained in a file for the duration of the employee's employment. The certification record shall be kept readily available for review by the Division.
(b) Use. 
(1) Working platforms shall not be loaded in excess of the rated load, as stated on the platform load rating plate.
(2) Employees shall be prohibited from working on snow, ice, or other slippery material covering platforms, except for the removal of such materials.
(3) Adequate precautions shall be taken to protect the platform, wire ropes and safety lines from damage due to acids or other corrosive substances, in accordance with the recommendations of the corrosive substance producer, supplier, platform manufacturer or other equivalent information sources. Platform members which have been exposed to acids or other corrosive substances shall be washed down with a neutralizing solution, at a frequency recommended by the corrosive substance producer or supplier.
(4) Platform members, supporting members constructed of aluminum, wire ropes and safety lines shall be protected when using a heat producing process. Wire ropes and safety lines which have been contacted by the heat producing process shall be considered to be permanently damaged and shall not be used.
(5) The platform shall not be operated in winds in excess of 25 miles per hour except to move it from an operating to a storage position. Wind speed shall be determined based on the best available information, which includes on-site anemometer readings and local weather forecasts which predict wind velocities for the area.
(6) On exterior installations, an anemometer shall be mounted on the platform to provide information of onsite wind velocities prior to and during the use of the platform. The anemometer may be a portable (hand held) unit which is temporarily mounted during platform use.
(7) Tools, materials and debris not related to the work in progress shall not be allowed to accumulate on platforms. Stabilizer ties shall be located so as to allow unencumbered passage along the full length of the platform and shall be of such length so as not to become entangled in rollers, hoists or other machinery.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and and new section filed 3-9-93; operative 4-8-93 (Register 93, No. 11). For prior history, see Register 85, No. 40.
§3299. Personal Fall Protection.
Note     •     History

Employees on working platforms shall be protected by a personal fall arrest system meeting the requirements of Appendix C, Section I of this article, and as otherwise provided by these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section and Appendices A-E filed 3-9-93; operative 4-8-93 (Register 93, No. 11).
2. Change without regulatory effect amending Appendices A and D filed 9-13-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 37).
3. Change without regulatory effect amending first paragraph of Appendix D filed 9-11-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 37).
4. Amendment of appendix C filed 3-31-2000; operative 4-30-2000 (Register 2000, No. 13).
5. Change without regulatory effect providing more legible figures 1, 2 and 3 within appendix B with no change therein filed 6-22-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 25).
6. Change without regulatory effect providing more legible figures 1-3 within appendix B filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix A to Article 6
1. Use of the Appendix. Appendix A provides examples of equipment and methods to assist the employer in meeting the requirements of the indicated provision of the standard. Employers may use other equipment or procedures which conform to the requirements of the standard. This appendix neither adds to nor detracts from the mandatory requirements set forth in Article 6.
2. Assurance. Section 3292(c) requires the building owner to inform the employer in writing that the powered platform installation complies with certain requirements of the article, since the employer may not have the necessary information to make these determinations. The employer, however, remains responsible for meeting these requirements which have not been set off in Section 3292(c)(1).
3. Design Requirements. The design requirements for each installation should be based on the limitations (stresses, deflections, etc.), established by nationally recognized standards as promulgated by the following organizations, or to equivalent standards:

AA-The Aluminum Association
818 Connecticut Avenue, N.W.
Washington, DC 20006
Aluminum Construction Manual
Specifications For Aluminum Structures
Aluminum Standards and Data

AGMA-American Gear Manufacturers Association
101 North Fort Meyer Dr., Suite 1000
Arlington, VA 22209

AISC-American Institute of Steel Construction
400 North Michigan Avenue
Chicago, IL 60611

ANSI-American National Standards Institute, Inc.
11 West 42nd Street 
New York City, NY 10036

ASCE-American Society of Civil Engineers 

345 East 47th Street
New York, NY 10017

ASME-American Society of Mechanical Engineers 
345 East 47th Street
New York, NY 10017

ASTM-American Society for Testing and Materials
1916 Race Street
Philadelphia, PA 19103

AWS-American Welding Society, Inc.
Box 351040, 550 NW LeJeunne Road
Miami, FL 33126

JIC-Joint Industrial Council
2139 Wisconsin Avenue, NW
Washington, DC 20007

NEMA-National Electric Manufacturers Association
2101 L Street, NW
Washington, DC 20037
4. Tie-in Guides. Indented mullions, T-rails or other equivalent guides are acceptable as tie-in guides in a building face for a continuous stabilization system. Internal guides are embedded in other building members with only the opening exposed (see Figure 1 of Appendix B). External guides, however, are installed external to the other building members and so are fully exposed. The minimum opening for tie-in guides is three-quarters of an inch, and the minimum inside dimensions are one-inch deep and two inches wide.
Employers should be aware of the hazards associated with tie-in guides in a continuous stabilization system which was not designed properly. For example, joints in these track systems may become extended or discontinuous due to installation, building settlement or flexing. If this problem is not corrected, the system could lam when a guide roller shoe strikes a joint or distorted area and this would cause a hazardous situation. In another instance, faulty design will result in guide rollers being mounted in a line so they will jam in the track at the slightest misalignment.
5. Building Anchors (Intermittent Stabilization System). In the selection of the vertical distance between building anchors, certain factors should be given consideration. These factors include building height and architectural design, platform length and weight, wire rope angulation, and the wind velocities in the building area. Another factor to consider is the material of the building face, since this material may be adversely affected by the building rollers.
External or indented type building anchors are acceptable. Receptacles in the building facade used for the indented type should be kept clear of extraneous materials which will hinder their use. During the inspection or use of the platform system, evidence of a failure or abuse of the anchors should be brought to the attention of the employer.
6. Stabilizer Tie Length. A stabilizer tie should be long enough to provide for the planned angulation of the suspension cables. However, the length of the tie should not be excessive and become a problem by possibly becoming entangled in the building face rollers or parts of the platform machinery.
The attachment length may vary due to material elongation and this should be considered when selecting the material to be used. Consideration should also be given to the use of ties which are easily installed by employees, since this will encourage their use.
7. Intermittent Stabilization System. Intermittent stabilization systems may use different equipment, tie-in devices and methods to restrict the horizontal movement of a powered platform with respect to the face of the building. One acceptable method employs corrosion-resistant building anchors secured in the face of the building in vertical rows every third floor or 50 feet, whichever is less. The anchors are spaced horizontally to allow a stabilization attachment (stabilizer tie) for each of the two platform suspension wire ropes. The stabilizer tie consists of two parts. One part is a quick connect-quick disconnect device which utilizes a corrosion-resistant yoke and retainer spring that is designed to fit over the building anchors. The second part of the stabilizer tie is a lanyard which is used to maintain a fixed distance between the suspension wire rope and the face of the building.
In this method, as the suspended powered platform descends past the elevation of each anchor, the descent is halted and each of the platform occupants secures a stabilizer tie between a suspension wire rope and a building anchor. The procedure is repeated as each elevation of a building anchor is reached during the descent of the powered platform.
As the platform ascends, the procedure is reversed; that is, the stabilizer ties are removed as each elevation of a building anchor is reached. The removal of each stabilizer tie is assured since the platform is provided with stopping devices which will interrupt power to its hoist(s) in the event either stopping device contacts a stabilizer during the ascent of the platform.
Figure 2 of Appendix B illustrates another type of acceptable intermittent stabilization system which utilizes retaining pins as the quick connect-quick disconnect device in the stabilizer tie. Intermittent stabilization anchors shall both be located outboard, in line with, or inboard of suspension ropes. A combination of locations at the same level shall not be allowed.
8. Wire Rope Inspection. The inspection of the suspension wire rope is important since the rope gradually loses strength during its useful life. The purpose of the inspection is to determine whether the wire rope has sufficient integrity to support a platform with the required design factor.
If there is any doubt concerning the condition of a wire rope or its ability to perform the required work, the rope should be replaced. The cost of wire rope replacement is quite small if compared to the cost in terms of human injuries, equipment down time and replacement.
No listing of critical inspection factors, which serve as a basis for wire rope replacement in the standard, can be a substitute for an experienced inspector of wire rope. The listing serves as a user's guide to the accepted standards by which ropes must be judged.
Rope life can be prolonged if preventive maintenance is performed regularly. Cutting off an appropriate length of rope at the end termination before the core degrades and valley breaks appear minimizes degradation at these sections.
9. General Maintenance. In meeting the general maintenance requirement in Section 3297, the employer should undertake the prompt replacement of broken, worn and damaged parts, switch contacts, brushes, and short flexible conductors of electrical devices. The components of the electrical service system and traveling cables should be replaced when damaged or significantly abraded. In addition, gears, shafts, bearings, brakes and hoisting drums should be kept in proper alignment. For a stabilization system to be effective, the building face rollers cannot be dirty or greasy and shall be kept clean.
10. Training. In meeting the training requirement of Section 3298, employers should use both on the job training and formal classroom training. The written work procedures used for this training should be obtained from the manufacturer, if possible, or prepared as necessary for the employee's information and use.
Employees who will operate powered platforms with intermittent stabilization systems should receive instruction in the specific ascent and descent procedures involving the assembly and disassembly of the stabilizer ties.
An acceptable training program should also include employee instruction in basic inspection procedures for the purpose of determining the need for repair and replacement of platform equipment. In addition, the program should cover the inspection, care and use of the personal fall protection equipment required in Section 3299.
In addition, the training program should also include an emergency action plan as specified in Section 3220 of the General Industry Safety Orders.
Following the completion of a training program, the employee should be required to demonstrate competency in operating the equipment safely. Supplemental training of the employee should be provided by the employer, as necessary, if the equipment used or other working conditions should change.
An employee who is required to work with chemical products on a platform should receive training in proper cleaning procedures, and in the hazards, care and handling of these products. In addition, the employee should be supplied with the appropriate personal protective equipment, such as gloves and eye and face protection.
11. Suspension and Securing of Powered Platforms (Equivalency). One acceptable method of demonstrating the equivalency of a method of suspending or securing a powered platform, as required in Sections 3294(b)(3), 3295(c) and (e)(1)(F), is to provide an engineering analysis by a professional engineer currently registered in the State of California. The analysis should demonstrate that the proposed method will provide an equal or greater degree of safety for employees than any one of the methods specified in the standard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.

Appendix B to Article 6

Exhibits (Advisory).
The three drawings in Appendix B illustrate typical platform stabilization systems which are addressed in the standard. The drawings are to be used for reference purposes only, and do not illustrate all the mandatory requirements for each system.

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.

Figure 1. Typical Self-Powered Platform--Continuous External or
Indented Mullion Guide System

View Graphic

Figure 2. Typical Self-Powered Platform--
Intermittent Tie-In System

View Graphic

Figure 3. Typical Self-Powered Platform--
Button Guide System

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.

Appendix C to Article 6

Personal Fall Arrest System
(Sections I and II-Mandatory);
(Section III-Non-Mandatory).
Use of the Appendix
Section I of Appendix C sets out the criteria for personal fall arrest systems used by all employees using powered platforms, as required by Section 3299. Section II sets out test procedures which shall be used to determine compliance with applicable requirements contained in Section I of this Appendix. Section III provides non-mandatory guidelines which are intended to assist employers in complying with these provisions.
I. Personal Fall Arrest Systems. 
(a) Scope and Application. This section establishes the application of, and performance criteria for, personal fall arrest systems which are required for use by all employees using powered platforms under Article 6.
(b) Definitions. Definitions that apply to terms used in Appendix C are located in Article 1, Section 3207 and Article 5, Section 3281.
(c) Design for System Components. 
(1) Connectors shall be drop forged, pressed or formed steel, or made of equivalent materials.
(2) Connectors shall have a corrosion-resistant finish, and all surfaces and edges shall be smooth to prevent damage to interfacing parts of the system.
(3) Lanyards and vertical safety lines which tie-off one employee shall have a minimum breaking strength of 5,000 pounds. All ends shall be spliced or swaged as per the manufacturer's specifications. Knots shall not be permitted at ends or anywhere along the length of the lanyard or “safety line”.
(4) Self-retracting safety lines and lanyards which automatically limit free fall distance to two feet or less shall have components capable of sustaining a minimum static tensile load of 3,000 pounds applied to the device with the safety line or lanyard in the fully extended position.
(5) Self-retracting safety lines and lanyards which do not limit free fall distance to two feet or less, ripstitch lanyards, and tearing and deforming lanyards shall be capable of sustaining a minimum tensile load of 5,000 pounds applied to the device with the safety line or lanyard in the fully extended position.
(6) Dee-rings and snap-hooks shall be capable of sustaining a minimum tensile load of 5,000 pounds.
(7) Dee-rings and snap-hooks shall be 100 percent proof-tested to a minimum tensile load of 3,600 pounds without cracking, breaking, or taking permanent deformation.
(8) Snap-hooks shall be sized to be compatible with the member to which they are connected. Only double-acting snap-hooks designed to prevent accidental disengagement shall be used.
(9) Horizontal safety lines, where used, shall be designed under the supervision of a professional engineer currently registered in the State of California and installed as part of a complete personal fall arrest system, which maintains a safety factor of at least two.
(10) Anchorages to which personal fall arrest equipment is attached shall be capable of supporting at least 5000 pounds per employee attached, or shall be designed under the supervision of a professional engineer currently registered in the State of California and installed and used as part of a complete personal fall arrest system which maintains a safety factor of at least two.
(11) Ropes and straps (webbing) used in lanyards, safety lines, and strength components of body harnesses, shall be made from synthetic fibers or wire rope.
(12) All body harnesses and lanyards manufactured on or before January 1, 1998, shall be designed and built to conform to ANSI A10.14-1975, Requirements for Safety Belts, Harnesses, Lanyards, Lifelines and Drop Lines for Construction and Industrial Use, which is hereby incorporated by reference.
(13) All personal fall arrest, personal fall restraint and positioning device systems manufactured after January 1, 1998, shall be designed and built to conform to either ANSI A10.14-1991 American National Standard for Construction and Demolition Use, or ANSI Z359.1-1992 American National Standard Safety Requirements for Personal Fall Arrest Systems, Subsystems and Components, which are hereby incorporated by reference.
(d) System Performance Criteria. 
(1) Personal fall arrest systems shall, when stopping a fall:
(A) Limit maximum arresting force on an employee to 1,800 pounds when used with a body harness;
(B) Bring an employee to a complete stop and limit maximum deceleration distance an employee travels to 3.5 feet; and
(C) Have sufficient strength to withstand twice the potential impact energy of an employee free falling a distance of six feet, or the free fall distance permitted by the system, whichever is less.
(2)(A) When used by employees having a combined person and tool weight of less than 310 pounds, personal fall arrest systems which meet the criteria and protocols contained in paragraphs (b), (c) and (d) in Section II of this Appendix shall be considered as complying with the provisions of subparagraphs (d)(1)(A) through (d)(1)(C) above.
(B) When used by employees having a combined tool and body weight of 310 pounds or more, personal fall arrest systems which meet the criteria and protocols contained in paragraphs (b), (c) and (d) in Section II may be considered as complying with the provisions of subparagraphs (d)(l)(A) through (d)(1)(C), provided that the criteria and protocols are modified appropriately to provide proper protection for such heavier weights.
(e) Care and Use.
(1) Body belts shall not be used as part of a personal fall arrest system.
(2) Devices used to connect to a horizontal safety line which may become a vertical safety line shall be capable of locking in either direction on the safety line.
(3) Personal fall arrest systems shall be rigged such that an employee can neither free fall more than six feet, nor contact any lower level obstacle.
(4) The attachment point of the body belt shall be located in the center of the wearer's back. The attachment point of the body harness shall be located in the center of the wearer's back near shoulder level or above the wearer's head.
(5) When vertical safety lines are used, each employee shall be provided with a separate safety line.
(6) Personal fall arrest systems or components shall be used only for employee fall protection.
(7) Personal fall arrest systems or components subjected to impact loading shall be immediately removed from service and shall not be used again for employee protection until repaired or replaced. Repaired or replaced components or component parts shall meet the performance and testing requirements of this appendix.
(8) The employer shall provide for prompt rescue of employees in the event of a fall or shall assure the self-rescue capability of employees.
(9) Before using a personal fall arrest system, and after any component or system is changed, employees shall be trained in accordance with the requirements of Secton 3298 in the safe use of the system.
(f) Inspections.
(1) Personal fall arrest systems shall be inspected prior to each use for mildew, wear, damage and other deterioration, and defective components shall be removed from service if their strength or function may be adversely affected.
(2) Each personal fall arrest system shall be inspected not less than twice annually by a competent person in accordance with the manufacturer's recommendations. The date of each inspection shall be documented.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
II. Test Methods for Personal Fall Arrest Systems. 
(a) General. Paragraphs (b), (c), (d) and (e) of this Section II set forth test procedures which shall be used to determine compliance with requirements in subparagraphs (d)(1)(A) through (d)(1)(C) of Section I of this Appendix.
(b) General conditions for all tests in Section II.
(1) Safety lines, lanyards and deceleration devices shall be attached to an anchorage and connected to the body harness in the same manner as they would be when used to protect employees.
(2) The anchorage shall be rigid, and shall not have a deflection greater than .04 inches when a force of 2,250 pounds is applied.
(3) The frequency response of the load measuring instrumentation shall be 120 Hz.
(4) The test weight used in the strength and force tests shall be a rigid, metal, cylindrical or torso-shaped object with a girth of 38 inches plus or minus four inches.
(5) The lanyard or safety line used to create the free fall distance shall be supplied with the system, or in its absence, the least elastic lanyard or safety line available to be used with the system.
(6) The test weight for each test shall be hoisted to the required level and shall be quickly released without having any appreciable motion imparted to it.
(7) The system's performance shall be evaluated taking into account the range of environmental conditions for which it is designed to be used.
(8) Following the test, the system need not be capable of further operation.
(c) Strength Test. 
(1) During the testing of all systems, a test weight of 300 pounds plus or minus five pounds shall be used. (See subparagraph (b)(4), above.)
(2) The test consists of dropping the test weight once. A new unused system shall be used for each test.
(3) For lanyard systems, the lanyard length shall be six feet plus or minus two inches as measured from the fixed anchorage to the attachment on the body harness.
(4) For rope-grab-type deceleration systems, the length of the safety line above the centerline of the grabbing mechanism to the safety line's anchorage point shall not exceed two feet.
(5) For lanyard systems, for systems with deceleration devices which do not automatically limit free fall distance to two feet or less, and for systems with deceleration devices which have a connection distance in excess of one foot (measured between the centerline of the safety line and the attachment point to the body belt or harness) the test weight shall be rigged to free fall a distance of 7.5 feet from a point that is 1.5 feet above the anchorage point, to its hanging location (six feet below the anchorage). The test weight shall fall without interference, obstruction, or hitting the floor or ground during the test. In some cases, a non-elastic wire lanyard of sufficient length may need to be added to the system (for test purposes) to create the necessary free fall distance.
(6) For deceleration device systems with integral safety lines or lanyards which automatically limit free fall distance to two feet or less, the test weight shall be rigged to free fall a distance of four feet.
(7) Any weight which detaches from the belt or harness shall constitute failure for the strength test.
(d) Force Test. 
(1) General. The test consists of dropping the respective test weight specified in subsection (d)(2)(A) or (d)(3)(A) once. A new, unused system shall be used for each test.
(2) For lanyard systems. 
(A) A test weight of 220 pounds plus or minus three pounds shall be used. (See subparagraph (b)(4), above.)
(B) Lanyard length shall be six feet plus or minus two inches as measured from the fixed anchorage to the attachment on the body harness.
(C) The test weight shall fall free from the anchorage level to its hanging location (a total of six feet free fall distance) without interference, obstruction, or hitting the floor or ground during the test.
(3) For all other systems.
(A) A test weight of 220 pounds plus or minus three pounds shall be used. (See subparagraph (b)(4), above.)
(B) The free fall distance to be used in the test shall be the maximum fall distance physically permitted by the system during normal use conditions, up to a maximum free fall distance for the test weight of six feet, except as follows:
1. For deceleration systems which have a connection link or lanyard, the test weight shall free fall a distance equal to the connection distance (measured between the centerline of the safety line and the attachment point to the body harness).
2. For deceleration device systems with integral safety lines or lanyards which automatically limit free fall distance to two feet or less, the test weight shall free fall a distance equal to that permitted by the system in normal use. (For example, to test a system with a self-retracting safety line or lanyard, the test weight shall be supported and the system allowed to retract the safety line or lanyard as it would in normal use. The test weight would then be released and the force and deceleration distance measured).
(4) A system fails the force test if the recorded maximum arresting force exceeds 2,520 pounds when using a body harness.
(5) The maximum elongation and deceleration distance shall be recorded during the force test.
(e) Deceleration Device Tests. 
(1) General. The device shall be evaluated or tested under the environmental conditions, (such as rain, ice, grease, dirt, type of safety line, etc.), for which the device is designed.
(2) Rope-grab-type deceleration devices.
(A) Devices shall be moved on a safety line 1,000 times over the same length of line a distance of not less than one foot, and the mechanism shall lock each time.
(B) Unless the device is permanently marked to indicate the type(s) of safety line which must be used, several types (different diameters and different materials) of safety lines shall be used to test the device.
(3) Other self-activating-type deceleration devices. The locking mechanisms of other self-activating-type deceleration devices designed for more than one arrest shall lock each of 1,000 times as they would in normal service.
NOTE

Authority cited: Section 142.3. Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c). Health and Safety Code.
III. Non-Mandatory Guidelines for Personal Fall Arrest Systems. The following information constitutes additional guidelines for use in complying with requirements for a personal fall arrest system.
(a) Selection and Use Considerations. The kind of personal fall arrest system selected should match the particular work situation, and any possible free fall distance should be kept to a minimum. Consideration should be given to the particular work environment. For example, the presence of acids, dirt, moisture, oil, grease, etc., and their effect on the system should be evaluated. Hot or cold environments may also have an adverse affect on the system. Wire rope should not be used where an electrical hazard is anticipated. As required by the standard, the employer must plan to have means available to promptly rescue an employee should a fall occur, since the suspended employee may not be able to reach a work level independently.
Where lanyards, connectors, and safety lines are subject to damage by work operations such as welding, chemical cleaning, and sandblasting, the component should be protected or other securing systems should be used. The employer should fully evaluate the work conditions and environment (including seasonal weather changes) before selecting the appropriate personal fall protection system. Once in use, the system's effectiveness should be monitored. In some cases, a program for cleaning and maintenance of the system may be necessary.
(b) Testing Considerations. Before purchasing or putting into use a personal fall arrest system, an employer should obtain from the supplier information about the system based on its performance during testing so that the employer can know if the system meets this standard. Testing should be done using recognized test methods.
Section II of this Appendix C contains test methods recognized for evaluating the performance of fall arrest systems. Not all systems may need to be individually tested; the performance of some systems may be based on data and calculations derived from testing of similar systems, provided that enough information is available to demonstrate similarity of function and design.
(c) Component Compatibility Considerations. Ideally, a personal fall arrest system is designed, tested, and supplied as a complete system. However, it is common practice for lanyards, connectors, safety lines, deceleration devices, and body harnesses to be interchanged since some components wear out before others. The employer and employee should realize that not all components are interchangeable. For instance, a lanyard should not be connected between a body harness and a deceleration device of the self-retracting type since this can result in additional free fall for which the system was not designed. Any substitution or change to a personal fall arrest system should be fully evaluated or tested by a qualified person to determine that it meets the standard, before the modified system is put in use.
(d) Employee Training Considerations.
Thorough employee training in the selection and use of personal fall arrest systems is imperative. As stated in the standard, before the equipment is used, employees must be trained in the safe use of the system. This should include the following: Application limits; proper anchoring and tie-off techniques; estimation of free fall distance, including determination of deceleration distance, and total fall distance to prevent striking a lower level; methods of use; and inspection and storage of the system. Careless or improper use of the equipment can result in serious injury or death. Employers and employees should become familiar with the material in this appendix, as well as manufacturer's recommendations, before a system is used. Of uppermost importance is the reduction in strength caused by certain tie-offs (such as using knots, tying around sharp edges, etc.) and maximum permitted free fall distance. Also, to be stressed are the importance of inspections prior to use, the limitations of the equipment, and unique conditions at the worksite which may be important in determining the type of system to use.
(e) Instruction Considerations. Employers should obtain comprehensive instructions from the supplier as to the system's proper use and application, including, where applicable:
(1) The force measured during the sample force test;
(2) The maximum elongation measured for lanyards during the force test;
(3) The deceleration distance measured for deceleration devices during the force test;
(4) Caution statements on critical use limitations;
(5) Application limits;
(6) Proper hook-up, anchoring and tie-off techniques, including the proper dee-ring or other attachment point to use on the body harness for fall arrest;
(7) Proper climbing techniques;
(8) Methods of inspection, use, cleaning, and storage; and
(9) Specific safety lines which may be used.
This information should be provided to employees during training.
(f) Inspection Considerations. As stated in the standard (Section I, paragraph (f)), personal fall arrest systems must be regularly inspected. Any component with any significant defect, such as cuts, tears, abrasions, mold, or undue stretching; alterations or additions which might affect its efficiency; damage due to deterioration; contact with fire, acids, or other corrosives; distorted hooks or faulty hook springs; tongues unfitted to the shoulder of buckles; loose or damaged mountings; non-functioning parts; or wearing or internal deterioration in the ropes must be withdrawn from service immediately, and should be tagged or marked as unusable, or destroyed.
(g) Rescue Considerations. As required by the standard (Section I, subparagraph (e)(8)), when personal fall arrest systems are used, the employer must assure that employees can be promptly rescued or can rescue themselves should a fall occur. The availability of rescue personnel, ladders or other rescue equipment should be evaluated. In some situations, equipment which allows employees to rescue themselves after the fall has been arrested may be desirable, such as devices which have descent capability.
(h) Tie-off Considerations. 
(1) One of the most important aspects of personal fall protection systems is fully planning the system before it is put into use. Probably the most overlooked component is planning for suitable anchorage points. Such planning should ideally be done before the structure or building is constructed so that anchorage points can be incorporated during construction for use later for window cleaning or other building maintenance. If properly planned, these anchorage points may be used during construction, as well as afterwards.
(2) Employers and employees should at all times be aware that the strength of a personal fall arrest system is based on its being attached to an anchoring system which does not significantly reduce the strength of the system (such as properly dimensioned eye- bolt/snap-hook anchorage). Therefore, if a means of attachment is used that will reduce the strength of the system, that component should be replaced by a stronger one, but one that will also maintain the appropriate maximum arrest force characteristics.
(3) Tie-off using a knot in a rope lanyard or safety line (at any location) can reduce the safety line or lanyard strength by 50 percent or more. Therefore, a stronger lanyard or safety line should be used to compensate for the weakening effect of the knot, or the lanyard length should be reduced (or the tie-off location raised) to minimize free fall distance, or the lanyard or safety line should be replaced by one which has an appropriately incorporated connector to eliminate the need for a knot.
(4) Tie-off a rope lanyard or safety line around an “H” or “I” beam or similar support can reduce its strength as much as 70 percent due to the cutting action of the beam edges. Therefore, use should be made of a webbing lanyard or wire core safety lines around the beam; or the lanyard or safety line should be protected from the edge; or free fall distance should be greatly minimized.
(5) Tie-off where the line passes over or around rough or sharp surfaces reduces strength drastically. Such a tie-off should be avoided or an alternative tie-off rigging should be used. Such alternatives may include use of a snaphook/dee ring connection, wire rope tie-off, an effective padding of the surfaces, or an abrasion-resistance strap around or over the problem surface.
(6) Horizontal safety lines may, depending on their geometry and angle of sag, be subjected to greater loads than the impact load imposed by an attached component. When the angle of horizontal safety line sag is less than 30 degrees, the impact force imparted to the safety line by an attached lanyard is greatly amplified. For example, with a sag angle of 15 degrees, the force amplification is about 2:1 and at 5 degrees sag, it is about 6:1.
Depending on the angle of sag, and the line's elasticity, the strength of the horizontal safety line and the anchorages to which it is attached should be increased a number of times over that of the lanyard. Extreme care should be taken in considering a horizontal safety line for multiple tie-offs. The reason for this is that in multiple tie-offs to a horizontal safety line, if one employee falls, the movement of the falling employee and the horizontal safety line during arrest of the fall may cause other employees to also fall. Horizontal safety line and anchorage strength should be increased for each additional employee to be tied-off. For these and other reasons, the design of systems using horizontal safety lines must only be done by qualified persons. Testing of installed safety lines and anchors prior to use is recommended.
(7) The strength of an eve-bolt is rated along the axis of the bolt and its strength is greatly reduced if the force is applied at an angle to this axis (in the direction of shear). Also, care should be exercised in selecting the proper diameter of the eye to avoid accidental disengagement of snap-hooks not designed to be compatible for the connection.
(8) Due to the significant reduction in the strength of the safety line/lanyard (in some cases, as much as a 70 percent reduction), the sliding hitch knot should not be used for safety line/lanyard connections except in emergency situations where no other available system is practical. The “one-and-one” sliding hitch knot should never be used because it is unreliable in stopping a fall. The “two-and-two” or “three-and-three” knot (preferable), may be used in emergency situations; however, care should be taken to limit free fall distance to a minimum because of reduced safety line/lanyard strength.
(i) Vertical Safety Line Considerations. As required by the standard, each employee must have a separate safety line when the safety line is vertical. The reason for this is that in multiple tie-offs to a single safety line, if one employee falls, the movement of the safety line during the arrest of the fall may pull other employees' lanyards, causing them to fall as well.
(j) Free Fall Considerations. The employer and employee should at all times be aware that a system's maximum arresting force is evaluated under normal use conditions established by the manufacturer, and in no case using a free fall distance in excess of six feet. A few extra feet of free fall can significantly increase the arresting force on the employee, possibly to the point of causing injury. Because of this, the free fall distance should be kept at a minimum, and, as required by the standard, in no case greater than six feet. To help assure this, the tie-off attachment point to the safety line or anchor should be located at or above the connection point of the fall arrest equipment to the body harness. (Since otherwise additional free fall distance is added to the length of the connecting means (i.e. lanyard)). Attaching to the working surface will often result in a free fall greater than six feet. For instance, if a six foot lanyard is used, the total free fall distance will be the distance from the working level to the body harness attachment point plus the six feet of lanyard length. Another important consideration is that the arresting force which the fall system must withstand also goes up with greater distance of free fall, possibly exceeding the strength of the system.
(k) Elongation and Deceleration Distance Considerations. Other factors involved in a proper tie-off are elongation and deceleration distance. During the arresting of a fall, a lanyard will experience a length of stretching or elongation, whereas activation of a deceleration device will result in a certain stopping distance. These distances should be available with the lanyard or device's instructions and must be added to the free fall distance to arrive at the total fall distance before an employee is fully stopped. The additional stopping distance may be very significant if the lanyard or deceleration device is attached near or at the end of a long safety line, which may itself add considerable distance due to its own elongation. As required by the standard, sufficient distance to allow for all of these factors must also be maintained between the employee and obstructions below, to prevent an injury due to impact before the system fully arrests the fall. In addition, a minimum of 12 feet of safety line should be allowed below the securing point of a rope grab type deceleration device, and the end terminated to prevent the device from sliding off the safety line should extend to the ground or the next working level below. These measures are suggested to prevent the worker from inadvertently moving past the end of the safety line and having the rope grab become disengaged from the safety line.
(l) Obstruction Considerations. The location of the tie-off should also consider the hazard of obstructions in the potential fall path of the employee. Tie-offs which minimize the possibilities of exaggerated swinging should be considered.
(m) Other Considerations. Because of the design of some personal fall arrest systems, additional considerations may be required for proper tie-off. For example, heavy deceleration devices of the self-retracting type should be secured overhead in order to avoid the weight of the device having to be supported by the employee. Also, if self-retracting equipment is connected to a horizontal safety line, the sag in the safety line should be minimized to prevent the device from sliding down the safety line to a position which creates a swing hazard during fall arrest. In all cases, manufacturer's instructions should be followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and section 18943(c), Health and Safety Code.

Appendix D to Article 6

Existing Installations
(Mandatory)
Use of the Appendix
Appendix D sets out the mandatory building and equipment requirements for applicable permanent installations completed after September 29, 1974, and no later than July 1, 1993 which are exempt from Sections 3292(a), (b)(1), (c), 3293, 3294, and 3295 of Article 6. The requirements in Appendix D are essentially the same as unrevised building and equipment provisions which previously were designated Article 6 and which were effective on July 16, 1976. (Title 24, Part 2, Section 2-8510(a).)
Note: All existing installations subject to this appendix shall also comply with Sections 3296, 3297, 3298, 3299 and Appendix C of Article 6.
(a) Definitions Applicable to this Appendix.
Angulated Roping. A system of platform suspension in which the upper wire rope sheaves or suspension points are closer to the plane of the building face than the corresponding attachment points on the platform, thus causing the platform to press against the face of the building during its vertical travel.
ANSI. American National Standards Institute. 
Babbitted Fastenings. The method of providing wire rope attachments in which the ends of the wire strands are bent back and are held in a tapered socket by means of poured molten babbitt metal.
Brake-Disc Type. A brake in which the holding effect is obtained by frictional resistance between one or more faces of discs keyed to the rotating member to be held and fixed discs keyed to the stationary or housing member (pressure between the discs being applied axially).
Brake-Self-Energizing Band Type. An essentially unidirectional brake in which the holding effect is obtained by the snubbing action of a flexible band wrapped about a cylindrical wheel or drum affixed to the rotating member to be held, the connections and linkages being so arranged that the motion of the brake wheel or drum will act to increase the tension or holding force of the band.
Brake-Shoe Type. A brake in which the holding effect is obtained by applying the direct pressure of two or more segmental friction elements held to a stationary member against a cylindrical wheel or drum affixed to the rotating member to be held.
Building Face Rollers. A specialized form of guide roller designed to contact a portion of the outer face or wall structure of the building, and to assist in stabilizing the operators' platform during vertical travel.
Continuous Pressure. Operation by means of buttons or switches, any one of which may be used to control the movement of the working platform or roof car, only as long as the button or switch is manually maintained in the actuating position.
Control. A system governing starting, stopping, direction, acceleration, speed, and retardation of moving members.
Controller. A device or group of devices, usually contained in a single enclosure, which serves to control in some predetermined manner the apparatus to which it is connected.
Electrical Ground. A conducting connection between an electrical circuit or equipment and the earth, or some conducting body which serves in place of the earth.
Guide Roller. A rotating, bearing-mounted, generally cylindrical member, operating separately or as part of a guide shoe assembly, attached to the platform, and providing rolling contact with building guideways, or other building contact members.
Guide Shoe. An assembly of rollers, slide members, or the equivalent, attached as a unit to the operators' platform, and designed to engage with the building members provided for the vertical guidance of the operators' platform.
Interlock. A device actuated by the operation of some other device with which it is directly associated, to govern succeeding operations of the same or allied devices.
Operating Device. A pushbutton, lever, or other manual device used to actuate a control.
Powered Platform. Equipment to provide access to the exterior of a building for maintenance, consisting of a suspended power-operated working platform, a roof car, or other suspension means, and the requisite operating and control devices.
Rated Load. The combined weight of employees, tools, equipment, and other material which the working platform is designed and installed to lift.
Relay, Direction. An electrically energized contactor responsive to an initiating control circuit, which in turn causes a moving member to travel in a particular direction.
Relay, Potential for Vertical Travel. An electrically energized contactor responsive to initiating control circuit, which in turn controls the operation of a moving member in both directions. This relay usually operates in conjunction with direction relays, as covered under the definition “relay, direction.”
Roof Car. A structure for the suspension of a working platform. providing for its horizontal movement to working positions.
Roof-Powered Platform. A powered platform having the raising and lowering mechanism located on a roof car.
Self-Powered Platform. A powered platform having the raising and lowering mechanism located on the working platform.
Traveling Cable. A cable made up of electrical or communication conductors or both, and providing electrical connection between the working platform and the roof car or other fixed point.
Weatherproof. Equipment so constructed or protected that exposure to the weather will not interfere with its proper operation.
Working Platform. The suspended structure arranged for vertical travel which provides access to the exterior of the building or structure.
Yield Point. The stress at which the material exhibits a permanent set of 0.2 percent.
Zinced Fastenings. The method of providing wire rope attachments in which the splayed or fanned wire ends are held in a tapered socket by means of poured molten zinc. (Title 24, Part 2, Section 2-8510(b).)
(b) General Requirements. 
(1) Design requirements. All powered platform installations for exterior building maintenance completed as of September 29, 1974, but no later than July 1, 1993, shall meet all of the design, construction and installation requirements of Part II and III of the “American National Standard Safety Requirements for Powered Platforms for Exterior Building Maintenance. ANSI A120.1-1970”, which is hereby incorporated by reference, and of this appendix. All powered platform installations installed prior to September 29, 1974 shall be maintained as required by Appendix D. References shall be made to appropriate parts of ANSI A120.1-1970 for detail specifications for equipment and special installations. (Title 24, Part 2, Section 2- 8511(b).)
(2) Limitation. The requirements of this appendix apply only to electric powered platforms. It is not the intent of the appendix to prohibit the use of other types of power. Installation of powered platforms using other types of power is permitted, provided such platforms have adequate protective devices for the type of power used, and otherwise provided for reasonable safety of life and limb to users of equipment and to others who may be exposed. (Title 24, Part 2, Section 2-8511(c).)
(3) Types of Powered Platforms. (A) For the purpose of applying this appendix, powered platforms are divided into two basic types. Type F and Type T. (Title 24, Part 2, Section 2-8511(d)1.)
(B) Powered platforms designated as Type F shall meet all the requirements in Part II of the ANSI A 120.1-1970. American National Standard Safety Requirements for Powered Platforms for Exterior Building Maintenance, which is hereby incorporated by reference. A basic requirement of Type F equipment is that the work platform is suspended by at least four wire ropes and designed so that failure of any one wire rope will not substantially alter the normal position of the working platform. Another basic requirement of Type F equipment is that only one layer of hoisting rope is permitted on winding drums. Type F powered platforms may be either roof-powered or self-powered. (Title 24, Part 2, Section 2-8511(d)2.)
(C) Powered platforms designated as Type T shall meet all the requirements in Part III of ANSI A120.1-1970, American National Standard Safety Requirements for Powered Platforms for Exterior Building Maintenance except for safety belts and safety lines, which are provided for in subparagraph (e) of this appendix. A basic requirement of Type T equipment is that the working platform is suspended by at least two wire ropes. Failure of one wire rope would not permit the working platform to fall to the ground, but would upset its normal position. The employer shall require employees working on Type T equipment to wear a safety belt or body harness as required by paragraph (e) of this appendix. Type T powered platforms may be either roof-lowered or self-powered. (Title 24. Part 2. Section 2-8511(d)3.)
(D) The requirements of this section apply to powered platforms with winding drum type hoisting machines. It is not the intent of this section to prohibit powered platforms using other types of hoisting machines, traction drum hoisting machines, air powered machines, hydraulic powered machines, and internal combustion machines. Installation of powered platforms with other types of hoisting machines is permitted, provided adequate protective devices are used, and provided reasonable safety of life and limb to users of the equipment and to others who may be exposed is assured. (Title 24, Part 2, Section 2-8511-(c)2.)
(E) Both Type F and Type T powered platforms shall comply with the requirements of Appendix C of this standard.
(c) Type F Powered Platforms 
(1) Roof Car, General. 
(A) A roof car shall be provided whenever it is necessary to move the working platform horizontally to working or storage positions.
(B) The maximum rated speed at which a power traversed roof car may be moved in a horizontal direction shall be 50 feet per minute. (Title 24. Part 2. Section 2-8512(a).)
(2) Movement and Positioning of Roof Car.
(A) Provisions shall be made to protect against having the roof car leave the roof or enter roof areas not designed for travel.
(B) The horizontal motion of the roof cars shall be positively controlled so as to insure proper movement and positioning of the roof car.
(C) Roof car positioning devices shall be provided to insure that the working platform is placed and retained in proper position for vertical travel and during storage.
(D) Mechanical stops shall be provided to prevent the traversing of the roof car beyond its normal limits of travel. Such stops shall be capable of withstanding a force equal to 100 percent of the inertial effect of the roof car in motion with traversing power applied.
(E)1. The operating device of a power-operated roof car for traversing shall be located on the roof car, the working platform, or both, and shall be of the continuous pressure weatherproof electric type. If more than one operating device is provided, they shall be so arranged that traversing is possible only for one operating device at a time.
2. The operating device shall be so connected that it is not operating until:
A. The working platform is located at its uppermost position of travel and is not in contact with the building face or fixed vertical guides in the face of the building; and
B. All protective devices and interlocks are in a position for traversing. (Title 24, Part 2, Section 2-8512 (b).)
(3) Roof Car Stability. Roof car stability shall be determined by either subparagraph (c)(3)(A) or (B) of this appendix, whichever is greater.
(A) The roof car shall be continuously stable, considering overturning moment as determined by 125 percent rated load, plus maximum dead load and the prescribed wind loading.
(B) The roof car and its anchorages shall be capable of resisting accidental over-tensioning of the wire ropes suspending the working platform and this calculated value shall include the effect of one and one-half times the value. For this calculation, the simultaneous effect of one-half wind load shall be included, and the design stresses shall not exceed those referred to in subparagraph (b)(1) of this appendix.
(C) If the load on the motors is at any time in excess of three times that required for lifting the working platform with its rated load, the motor shall stall. (Title 24, Part 2, Section 2-8512(c).)
(4) Access to the Roof Car. Safe access to the roof car and from the roof car to the working platform shall be provided. If the access to the roof car at any point of its travel is not over the roof area or where otherwise necessary for safety self- closing, self-locking gates shall be provided. Standard guardrails shall meet the provisions of Section 3209. (Title 24, Part 2, Section 2-8512(d).)
(5) Means for Maintenance, Repair, and Storage. Means shall be provided to run the roof car away from the roof perimeter, where necessary, and to provide a safe area for maintenance, repairs, and storage, Provisions shall be made to secure the machine in the stored position. For stored machines subject to wind forces, see special design and anchorage requirements for “wind forces” in Part II, Section 10.5.1.1 of ANSI A120-l-1970, American National Standard Safety Requirements for Powered Platforms for Exterior Building Maintenance, in which is hereby incorporated by reference. (Title 24, Part 2, Section 2-8512(e).)
(6) General Requirements for Working Platforms. The working platform shall be of girder or truss construction and shall be adequate to support its rated load under any position of loading, and comply with the provisions set forth in Section 10 of ANSI A120.1-1970, American National Standard Safety Requirements for Powered Platforms for Exterior Building Maintenance, which is hereby incorporated by reference.
(7) Load Rating Plate. Each working platform shall bear a manufacturer's load rating plate, conspicuously posted, stating the maximum permissible rated load. Load rating plates shall be made of noncorrosive material and shall have letters and figures stamped, etched, or cast on the surface. The minimum height of the letters and figures shall be one-fourth inch.
(8) Minimum Size. The working platform shall have a minimum net width of 24 inches.
(9) Guardrails. Working platforms shall be furnished with permanent guard rails not less than 36 inches high, and not more than 42 inches high at the front (building side). At the rear, and on the sides, the rail shall not be less than 42 inches high. An intermediate guardrail shall be provided around the entire platform between the top guardrail and the toeboard.
(10) Toeboards. A 3 1/2-inch toeboard shall be provided alone all sides of the working platform.
(11) Open Spaces Between Guardrails and Toeboards. The spaces between the intermediate guardrail and platform toeboard on the building side of the working platform, and between the top guardrail and the toeboard on other sides of the platform, shall be filled with metallic mesh or similar material that will reject a ball one inch in diameter. The installed mesh shall be capable of withstanding a load of 100 pounds applied horizontally over any area of 144 square inches. If the space between the platform and the building face does not exceed eight inches, and the platform is restrained by guides, the mesh may be omitted on the front side.
(12) Flooring. The platform flooring shall be of the nonskid type, and if of open construction, shall reject a 9/16-inch diameter ball or be provided with a screen below the floor to reject a 9/16-inch diameter ball.
(13) Access Gates. Where access gates are provided, they shall be self-closing and self-locking.
(14) Operating Device for Vertical Movement of the Working Platform. 
(A) The normal operating device for the working platform shall be located on the working platform and shall be of the continuous pressure weatherproof electric type.
(B) The operating device shall be operable only when all electrical protective devices and interlocks on the working platform are in position for normal service and, the roof car, if provided, is at an established operating point.
(15) Emergency Electric Operative Device.
(A) In addition, on roof-powered platforms, an emergency electric operating device shall be provided near the hoisting machine for use in the event of failure of the normal operating device for the working platform, or failure of the traveling cable system. The emergency operating device shall be mounted in a locked compartment and shall have a legend mounted thereon reading: “For Emergency Operation Only. Establish Communication With Personnel on Working Platform Before Use.”
(B) A key for unlocking the compartment housing the emergency operating device shall be mounted in a break-glass receptacle located near the emergency operating device.
(16) Manual Cranking for Emergency Operation. Emergency operation of the main drive machine may be provided to allow manual cranking. This Provision for manual operation shall be designed so that not more than two persons will be required to perform this operation. The access to this provision shall include a means to automatically make the machine inoperative electrically while under the emergency manual operation. The design shall be such that the emergency brake is operative at or below governor tripping speed during manual operation.
(17) Arrangement and Guarding of Hoisting Equipment.
(A) Hoisting equipment shall consist of a power-driven drum or drums contained in the roof car (roof-lowered platforms) or contained on the working platform (self-powered platform).
(B) The hoisting equipment shall be power-operated in both up and down directions.
(C) Guard or other protective devices shall be installed wherever rotating shafts or other mechanisms or gears may expose personnel to a hazard.
(D) Friction devices or clutches shall not be used for connecting the main driving mechanism to the drum or drums. Belt or chain-driven machines are prohibited.
(18) Hoisting Motors. 
(A) Hoisting motors shall be electric and of weather-proof construction.
(B) Hoisting motors shall be in conformance with applicable provisions of subparagraph (c)(22) of this appendix, Electric Wiring and Equipment.
(C) Hoisting motors shall be directly connected to the hoisting machinery. Motor couplings, if used, shall be of steel construction.
(19) Brakes. The hoisting machines(s) shall have two independent braking means, each designed to stop and hold the working platform with 125 percent of rated load.
(20) Hoisting Ropes and Rope Connections.
(A) Working platforms shall be suspended by wire ropes of either 6 x 19 or 6 x 37 classification, preformed or nonpreformed.
(B) The minimum grade of the robe wire shall be improved plow steel. Ropes shall be fabricated of drawn galvanized or bright wire. Drawn galvanized wire rope shall be fabricated of individual wires on which the zinc coating has been applied at an intermediate size, and the wire then drawn to finished size and to the same tolerances and with the same mechanical properties as for uncoated wire of equal grade.
(C) The minimum factor of safety shall be 10, and shall be calculated by the following formula:
F = S x N/W
Where
S = Manufacturer's rated breaking strength of one robe.
N = Number of ropes under load.
W = Maximum static load on all ropes with the platform and its rated load at any point of its travel.
(D) Hoisting ropes shall be sized to conform with the required factor of safety, but in no case shall the size be less than 5/16 inch diameter.
(E) Winding drums shall have at least three turns of robe remaining when the platform has landed at the lowest possible point of its travel.
(F) The lengthening or repairing of wire rope by the joining of two or move lengths is prohibited.
(G) The nondrum ends of the hoisting ropes shall be provided with individual shackle rods which will permit individual adjustment of rope lengths, if required.
(H) More than two reverse bends in each rope is prohibited.
(I) All cable connections used to support scaffold platforms shall be by means of factory attached swayed fittings or other method affording equivalent strength. Only safety type shackles shall be used.
(J) Wire winders, cable winders, baskets, or the equivalent, when used on suspended scaffolds, shall be so constructed as to prevent kinking of the wire rope (cable).
1. The frame work shall be rigid enough to prevent distortion when stepped upon, if it is mounted upon the top of the working platform.
2. The cable feeding device, if tubular, shall be flared to permit smooth passage of the cable through it.
A. The feeding device shall be placed at a proper angle both vertically and horizontally so as to direct the cable into the storage area, wherein the greatest portion of the cable will store.
(21) Rope Tag Data. 
(A) A metal data tag shall be securely attached to one of the wire rope fastenings. This data tag shall bear the following wire-rope data:
l. The diameter in inches.
2. Construction classification.
3. Whether nonpreformed or preformed.
4. The grade of material used.
5. The manufacturer's rated breaking-strength.
6. Name of the manufacturer of the rope.
7. The month and year the ropes were installed.
(22) Electrical Wiring and Equipment.
(A) All electrical equipment and wiring shall conform to the California Code of Regulations, Title 8, Electrical Safety Orders.
(B) All motors and operation and control equipment shall be supplied from a single power source.
(C) The power supply for the powered platform shall be an independent circuit supplied through a fused disconnect switch.
(D) Electrical conductor parts of the power supply system shall be protected against accidental contact.
(E) “Effective” electrical grounding shall be provided.
1. Provisions for electrical grounding shall be included with the power-supply system.
2. Controller cabinets, motor frames, hoisting machines, the working platform, roof car and roof car track system, and noncurrent carrying carts of electrical equipment, where provided, shall be grounded.
3. The controller, where used, shall be so designed and installed that a single ground or short circuit will not prevent both the normal and final stopping device from stopping the working platform.
4. Means shall be provided on the roof car and working platform for grounding portable electric tools.
5. The working platform shall be grounded through a grounding connection in a traveling cable. Electrically powered tools utilized on the working platform shall be grounded.
(F) Electrical receptacles located on the roof or other exterior location shall be of a weatherproof type and shall be located so as not to be subject to contact with water or accumulated snow. The receptacles shall be grounded and the electric cable shall include a grounding conductor. The receptacle and plug shall be a type designed to avoid hazard to persons inserting or withdrawing the plug. Provision shall be made to prevent application of cable strain directly to the plug and receptacle.
(G) Electric runway conductor systems shall be of the type designed for use in exterior locations and shall be located so as not to be subject to contact with water or accumulated snow. The conductors, collectors, and disconnecting means shall conform to the requirements of the California Code of Regulations, Title 8, Electrical Safety Orders. A grounded conductor shall parallel the power conductors and be so connected that it cannot be opened by the disconnecting means. The system shall be designed to avoid hazard to persons in the area.
(H) Electrical protective devices and interlocks of the weatherproof type shall be provided.
(I) Where the installation includes a roof car, electric contact(s) shall be provided and so connected that the operating devices for the working platform shall be operative only when the roof car is located and mechanically retained at an established operating point.
(J) Where the powered platform includes a power-operated roof car, the operating device for the roof car shall be inoperative when the roof car is mechanically retained at an established operating point.
(K) An electric contact shall be provided and so connected that it will cause the down direction relay for vertical travel to open if the tension in the traveling cable exceeds safe limits.
(L) An automatic overload device shall be provided to cut off the electrical power to the circuit in all hoisting motors for travel in the up direction, should the load applied to the hoisting ropes at either end of the working platform exceed 125 percent of its normal tension with rated load, as shown on the manufacturer's data plate on the working platform.
(M) An automatic device shall be provided for each hoisting rope which will cut off the electrical power to the hoisting motor or motors in the down direction and apply the brakes if any hoisting rope becomes slack.
(N) Upper and lower directional limit devices shall be provided to prevent the travel of the working platform beyond the normal upper and lower limits of travel.
(Q) Operation of a directional limit device shall prevent further motion in the appropriate direction, if the normal limit of travel has been reached.
(P) Directional limit devices, if driven from the hoisting machine by chains, tapes, or cables, shall incorporate a device to disconnect the electric bower from the hoisting machine and apply both the primary and secondary brakes in the event of failure of the driving means.
(Q) Final terminal stopping devices of the working platform:
l. Final terminal stopping devices for the working platform shall be provided as a secondary means of preventing the working platform from over-traveling at the terminals.
2. The device shall be set to function as close to each terminal landing as practical, but in such a way that under normal operating conditions it will not function when the working platform is stopped by the normal terminal stopping device.
3. Operation of the final terminal stopping device shall open the potential relay for vertical travel, thereby disconnecting the electric power from the hoisting machine, and applying both the primary and secondary brakes.
4. The final terminal stopping device for the upper limit of travel shall be mounted so that it is operated directly by the motion of the working platform itself.
(R) Emergency stop switches shall be provided in or adjacent to each operating device.
(S) Emergency stop switches shall:
1. Have red operating buttons or handles.
2. Be conspicuously and permanently marked “Stop.”
3. Be the manually opened and manually closed type.
4. Be positively opened with the opening not solely dependent on springs.
(T) The manual operation of an emergency stop switch associated with an operating device for the working platform shall open the potential relay for vertical travel, thereby disconnecting the electric power from the hoisting machine and applying both the primary and secondary brakes.
(U) The manual operation of the emergency stop switch associated with the operating device for a power-driven roof car shall cause the electrical power to the traverse machine to be interrupted, and the traverse machine brake to apply. (Title 24, Part 2, Section 2-8512(f).)
(23) Requirements for Emergency Communications. 
(A) Communication equipment shall be provided for each powered platform for use in an emergency.
(B) Two-way communication shall be established between personnel on the roof and personnel on the stalled working platform before any emergency operation of the working platform is undertaken by personnel on the roof.
(C) The equipment shall permit two-way voice communication between the working platform and
1. Designated personnel continuously available while the powered platform is in use; and
2. Designated personnel on roof-powered platforms, undertaking emergency operation of the working platform by means of the emergency operating device located near the hoisting machine.
(D) The emergency communication equipment shall be one of the following types:
1. Telephone connected to the central telephone exchange system; or
2. Telephones on a limited system or an approved two-way radio system, provided designated personnel are available to receive a message during the time the powered platform is in use. (Title 24, Part 2, Section 2-8512(g).).
(d) Type T Powered Platform (1) Roof Car. The requirements of subparagraphs (c)(l) through (c)(5) of this appendix shall apply to Type T powered platforms.
(2) Working Platform. The requirements of subparagraphs (c)(6) through (c)(16) of this appendix apply to Type T powered platforms.
(A) The working platform shall be suspended, by at least two wire ropes.
(B) The maximum rated speed at which the working platform of self-powered platforms may be moved in a vertical direction shall not exceed 35 feet per minute.
(C) Each powered platform shall be provide with a horizontal safety line.
(3) Hoisting Equipment. The requirements of subparagraphs (c)(17) and (18) of this appendix shall apply to Type T powered platforms.
(4) Brakes. Brakes requirements of subparagraph (c)(19) of this appendix shall apply.
(5) Hoisting Ropes and Rope Connections.
(A) Subparagraphs (c)(20)(A) through (F) and (H) of this appendix shall apply to Type T power platforms.
(B) Adjustable shackle rods in subparagraph (c)(20)(G) of this appendix shall apply to Type T powered platforms, if the working platform is suspended by more than two wire ropes.
(6) Electrical Wiring and Equipment.
(A) The reguirements of subparagraphs (c)(22)(A) through (F) of this appendix shall apply to Type T powered platforms. “Circuit protection limitation,” “powered platform electrical service system,” all operating services and control eguipment shall comply with the specifications contained in the California Code of Regulations, Title 8, Electrical Safety Orders.
(B) For electrical protective devices, the requirements of subparagraphs (c)(22)(G) through (P) shall apply to Type T platforms. Requirements for the “circuit potential limitation” shall be in accordance with the specifications contained in the California Code of Regulations, Title 8, Electrical Safety Orders.
(7) Emergency Communications. All the requirements of subparagraph (c)(23) of this appendix shall apply to Type T powered platforms. (Title 24, Part 2, Section 2-8513).
(e) Safety Belts and Safety Lines.
(1) Each employee on the working platform of Type T powered platforms shall be provided with and required to use a body harness or safety belt attached to a vertical or horizontal safety line, If a horizontal safety line (dog line) is used the length of the lanyard shall not exceed 5 feet and shall employ an energy absorbing device acceptable to the Division.
(2) Body harnesses or safety belts, lines and other components, including fastening means and anchorages to the working platform shall conform with applicable provisions of Appendix C.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section l42.3, Labor Code; and Section 18943(c), Health and Safety Code.
Group 2. Safe Practices and Personal Protection
Article 7. Miscellaneous Safe Practices
§3300. Live Steam and Air Hoses.
Note     •     History

(a) Live steam or air hoses used to agitate liquids in tanks and vats shall be securely fastened to prevent hose ends from whipping out of the tank or vat. This does not apply to hoses used with pipe lances which are manually held in position for agitation.
(b) Steam and air hose connections shall be securely made and maintained in safe working condition.
(c) Hoses and connections shall be designed, manufactured and maintained to withstand the pressures and service to which they are subjected.
HISTORY

1. Amendment of subsection (a) and new subsection (c) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13). 
§3301. Use of Compressed Air or Gases.
Note     •     History

(a) Compressed air or other compressed gases in excess of 10 pounds per square inch gauge shall not be used to blow dirt, chips, or dust from clothing while it is being worn.
(b) Compressed air or gases shall not be used to empty containers of liquids where the pressure can exceed the safe working pressure of the container.
(c) The use of compressed air shall be so controlled, and proper personal protective equipment or safeguards utilized, as to protect against the possibility of eye or body injury to the operator or other workers.
(d) Abrasive blast cleaning nozzles shall be equipped with an operating valve which must be held open manually. A support shall be provided on which the nozzle may be mounted when it is not in use.
(e) Compressed gases shall not be used to elevate or otherwise transfer any substance from one container to another unless the containers are designed to withstand, with a factor of safety of at least four, the maximum possible pressure that may be applied.
(f) Pressure testing of any object shall be in accordance with Section 560(c) and (d) of the Unfired Pressure Vessel Safety Orders.
Note: For further guidance in the utilization of compressed gases in cylinders see, Group 9; for portable tanks, rail tank cars, or motor vehicle cargo tanks, see Compressed Gas Association Pamphlet P-1-1965.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (c) and new subsections (c) and (d) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. New subsection (e) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Amendment of Note in subsection (e) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). 
4. Amendment of subsection (e), new subsection (f) and amendment of Note filed 7-7-2004; operative 8-6-2004 (Register 2004, No. 28).
§3302. Hazardous Liquids.
Note     •     History

(a) For situations other than those addressed by the requirements of Section 3480 where the risk of employee contact exists, hazardous liquids capable of inflicting physical injury upon contact with the skin (i.e., chemical/thermal burns, harmful temperature extremes) shall be covered, insulated or otherwise guarded against inadvertent contact.
(b) This order does not apply to operations where the nature of the work makes covering or guarding impracticable. In such cases, the employer shall provide, and the employee(s) shall wear, personal protective equipment in accordance with the requirements of Article 10 of these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-10-2011; operative 9-9-2011 (Register 2011, No. 32). For prior history, see Register 75, No. 29. 
§3303. Flying Particles or Substances.
History

Wherever there is danger of injury from flying particles or substances, adequate shields, screens, chip guards, or enclosures shall be provided and they shall be designed and constructed for the purpose of deflecting or confining said flying particles or substances in a manner that will prevent injury to employees. When it is not possible to provide such guards, employees subject to such hazards shall be protected by the use of personal protective equipment.
HISTORY

1. Amendment filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
§3304. Miscellaneous Use of Compressed Cylinder Gas.

(a) Employers shall not permit the use of compressed cylinder gas for testing pressure vessels unless there is installed in the compressed gas supply line or on the vessel being tested a pressure relief device set to function at a pressure not to exceed the safe working pressure of the vessel.
(b) Compressed gas shall never be used from a cylinder or cylinder manifold where pressures dangerous to employees may develop unless an accepted pressure regulating device is installed on the cylinder valve or manifold. The term “accepted” here means that the pressure regulating device is listed by Underwriters' Laboratories or some other recognized authority of equivalent standing.
Note: Cylinder as used in this order means an Interstate Commerce Commission compressed gas cylinder. 
§3305. Misuse of Oxygen Prohibited.

Compressed oxygen shall never be used:
(a) To purge pipe lines, tanks, or any confined area.
(b) To supply head pressure in a tank.
(c) In pneumatic tools.
(d) In oil preheating burners.
(e) To start internal combustion engines.
(f) For ventilation.
(g) For “dusting” clothing.
(h) In any other way as a substitute for compressed air. 
§3306. Salvaging Pressure Vessels.

Pressure vessels or other containers shall not be crushed, sheared, baled or otherwise processed for salvage until the employer has made certain that such vessels or containers do not contain hazardous substances or pressures in quantities which would render them unsafe for such salvaging operations. No attempt shall be made to open closed pressure vessels or containers of unknown contents until adequate precautionary measures have been taken to eliminate risk of injury to employees. Such precautionary measures may include rupture or perforation of the vessels while they are protected by barricades, enclosures or isolation.
Note: Certain cylinders and vessels, after passing their useful life, are destroyed by the owner of the vessel in such a manner that it can be resold for salvage purposes and can be crushed, sheared, melted or otherwise processed safely. (Some closed pressure vessels and containers may be safely disposed of by burying in the earth rather than by attempting to salvage them.) 
§3307. Reconditioning Closed Containers.

Where internal fluid pressure is necessary to remove dents or depressions from a closed container, hydrostatic pressure only shall be used. The hydrostatic pressure used shall be developed only by static head or hydraulic pumps. 
§3308. Hot Pipes and Hot Surfaces.
Note     •     History

Pipes or other exposed surfaces having an external surface temperature of 140 degrees F (60 degrees C) or higher and located within 7 feet measured vertically from floor or working level or within 15 inches measured horizontally from stairways, ramps or fixed ladders shall be covered with a thermal insulating material or otherwise guarded against contact. This order does not apply to operations where the nature of the work or the size of the parts makes guarding or insulating impracticable.
NOTE: Regarding liquids, see Section 3302.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). 
2. Amendment of section and Note filed 5-5-2010; operative 6-4-2010 (Register 2010, No. 19).
3. Amendment filed 8-10-2011; operative 9-9-2011 (Register 2011, No. 32).
§3309. Drainage and Ventilation.

(a) Trenches, tunnels and pits inside buildings shall have proper drainage and ventilation, or other means of protecting employees who work in these areas shall be provided as required in Group 16 of these orders.
(b) Sewage tanks and sewage sumps inside buildings shall be tightly covered and ventilated with a suitable vent to the outside atmosphere so located as not to endanger the safety of employees. 
§3310. Discharge Location.

(a) The discharge opening from traps, drains, and blowoffs shall be located so as not to endanger the safety of employees.
(b) Internal combustion engine exhaust pipe outlets shall be so located that the exhaust vapors or gases will not be drawn into the air inlets of air compressors or air conditioning systems.
(c) Exhaust condensed steam shall not reduce the visibility around machinery or on walkways, roads, and runways to the extent that hazards to employees are created by such reduction in visibility.
(d) Relief or vent discharges of tanks or other closed vessels in which there are toxic or flammable vapors or gases, fumes, dusts or other harmful substances shall be located so as not to endanger the safety of employees. When it is impractical to divert dangerous concentrations of toxic or flammable vapors or gases, fumes, dusts or other harmful substances from such working areas, employees performing work of a transient nature in these areas shall be provided with, and shall wear, approved respiratory and personal protective equipment.
§3311. Flarebacks.

(a) To provide greater safety in lighting and relighting fixed fired equipment, the employer shall designate one or more employees who shall be trained in the safe lighting and relighting of the equipment. It shall be the responsibility of the employer to limit lighting and relighting of the equipment to employees so designated. It shall be the responsibility of the employees to follow the instructions given them. Copies of the instructions shall be prominently displayed at a location near the equipment.
(b) In addition to the above fire boxes or combustion chambers shall be purged or allowed sufficient time to vent themselves before a source of ignition is introduced into them.
(c) Provision shall be made, for the furnishing of extension lighting rods, where their use is indicated. Valves and other controls shall be so located as to avoid placing the employee in an unsafe position if a flareback occurs.
§3312. Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels.

(a) Before employees are allowed to enter, through a manhole, the shell or drum of a steam boiler or an unfired steam pressure vessel for maintenance or repair, where such a boiler or pressure vessel is one of a battery of two or more boilers or vessels or is connected to another source of steam, the valves connecting to the steam header or other source of steam shall be closed and effectively blinded or two valves shall be installed with a bleeder between them and the valves shall be closed and bleeder open. Blow down valves and other valves on lines through which harmful material might accidentally flow back to the boiler or vessel shall be either sealed or closed and locked and the key retained by the employee or his supervisor while the employee is in the boiler or vessel. When lines are effectively blinded the valves need not be locked or sealed.
(b) Employees shall not enter or be required to enter the fire boxes, flues or combustion chambers of fired apparatus until:
(1) The pilot light, fuel and steam lines to burners entering the fire box or combustion chamber have been blinded, disconnected or effectively closed by the use of two block valves with an open bleeder between them.
(2) All probability of ignition of any solid combustibles in the fire box or combustion chamber has been removed.
§3313. Use of Solvents for Washing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
§3314. The Control of Hazardous Energy for the Cleaning, Repairing, Servicing, Setting-Up, and Adjusting Operations of Prime Movers, Machinery and Equipment, Including Lockout/Tagout.
Note     •     History

(a) Application.
(1) This Section applies to the cleaning, repairing, servicing, setting-up and adjusting of machines and equipment in which the unexpected energization or start up of the machines or equipment, or release of stored energy could cause injury to employees.
(2) For the purposes of this Section, cleaning, repairing, servicing and adjusting activities shall include unjamming prime movers, machinery and equipment.
(3) Requirements for working on energized electrical systems are prescribed in Sections 2320.1 through 2320.9 or 2940 through 2945.
(b) Definitions:
Affected employee. For the purpose of this section, an employee whose job requires them to operate or use a machine or equipment on which cleaning, repairing, servicing, setting-up or adjusting operations are being performed under lockout or tagout, or whose job requires the employee to work in an area in which such activities are being performed under lockout or tagout.
Authorized employee or person. For the purposes of this section, a qualified person who locks out or tags out specific machines or equipment in order to perform cleaning, repairing, servicing, setting-up, and adjusting operations on that machine or equipment. An affected employee becomes an authorized employee when that employee's duties including performing cleaning, repairing, servicing, setting-up and adjusting operations covered under this section.
Locked out. The use of devices, positive methods and procedures, which will result in the effective isolation or securing of prime movers, machinery and equipment from mechanical, hydraulic, pneumatic, chemical, electrical, thermal or other hazardous energy sources.
Normal Production Operations. The utilization of a machine or equipment to perform its intended production function.
Prime Mover. The source of mechanical power for a machine.
(c) Cleaning, Servicing and Adjusting Operations.
Machinery or equipment capable of movement shall be stopped and the power source de-energized or disengaged, and, if necessary, the moveable parts shall be mechanically blocked or locked out to prevent inadvertent movement, or release of stored energy during cleaning, servicing and adjusting operations. Accident prevention signs or tags or both shall be placed on the controls of the power source of the machinery or equipment.
(1) If the machinery or equipment must be capable of movement during this period in order to perform the specific task, the employer shall minimize the hazard by providing and requiring the use of extension tools (eg., extended swabs, brushes, scrapers) or other methods or means to protect employees from injury due to such movement. Employees shall be made familiar with the safe use and maintenance of such tools, methods or means, by thorough training.
(d) Repair Work and Setting-Up Operations.
Prime movers, equipment, or power-driven machines equipped with lockable controls or readily adaptable to lockable controls shall be locked out or positively sealed in the “off” position during repair work and setting-up operations. Machines, equipment, or prime movers not equipped with lockable controls or readily adaptable to lockable controls shall be considered in compliance with Section 3314 when positive means are taken, such as de-energizing or disconnecting the equipment from its source of power, or other action which will effectively prevent the equipment, prime mover or machine from inadvertent movement or release of stored energy. In all cases, accident prevention signs or tags or both shall be placed on the controls of the equipment, machines and prime movers during repair work and setting-up operations.
Exceptions to subsections (c) and (d):
1. Minor tool changes and adjustments, and other minor servicing activities, which take place during normal production operations are not covered by the requirements of Section 3314 if they are routine, repetitive, and integral to the use of the equipment or machinery for production, provided that the work is performed using alternative measures which provide effective protection. 
2. Work on cord and plug-connected electric equipment for which exposure to the hazards of unexpected energization or start up of the equipment is controlled by the unplugging of the equipment from the energy source and by the plug being under the exclusive control of the employee performing the work.
3. Where an employer has a uniform system with unique and personally identifiable locks designed for lockout, that are placed on the source of energy, accident prevention signs or tags are not required.
(e) Materials and Hardware. The employer shall provide accident prevention signs, tags, padlocks, seals or other similarly effective means which may be required for cleaning, servicing, adjusting, repair work or setting-up operations. Signs, tags, padlocks, and seals shall have means by which they can be readily secured to the controls. Tagout device attachment means shall be of a non-reusable type, attachable by hand, self-locking, and non-releasable with a minimum unlocking strength of no less than 50 pounds.
(f) Repetitive Process Machines. On repetitive process machines, such as numerical control machines, which require power or current continuance to maintain indexing and where repair, adjustment, testing, or setting-up operations cannot be accomplished with the prime mover or hazardous energy source disconnected, such operations may be performed under the following conditions:
(1) The operating station where the machine may be activated must at all times be under the control of a qualified operator or craftsman.
(2) All participants must be in clear view of the operator or in positive communication with each other.
(3) All participants must be beyond the reach of machine elements which may move rapidly and present a hazard to them.
(4) Where machine configuration or size requires that the operator leave his control station to install tools, and where machine elements exist which may move rapidly if activated, such elements must be separately locked out by positive means.
(5) During repair procedures where mechanical components are being adjusted or replaced, the machine shall be de-energized or disconnected from its power source.
Note: “Participant” shall mean any other person(s) engaged in the repair, adjustment, testing, or setting up operation in addition to the qualified operator or craftsman having control of the machine operating station.
(g) Hazardous Energy Control Procedures. A hazardous energy control procedure shall be developed and utilized by the employer when employees are engaged in the cleaning, repairing, servicing, setting-up or adjusting of prime movers, machinery and equipment. 
(1) The procedure shall clearly and specifically outline the scope, purpose, authorization, rules, and techniques to be utilized for the control of hazardous energy, and the means to enforce compliance, including but not limited to, the following:
(A) A statement of the intended use of the procedure;
(B) The procedural steps for shutting down, isolating, blocking and securing machines or equipment to control hazardous energy;
(C) The procedural steps for the placement, removal and transfer of lockout devices and tagout devices and responsibilities; and,
(D) The requirements for testing a machine or equipment, to determine and verify the effectiveness of lockout devices, tagout devices and other hazardous energy control devices.
(2) The employer's hazardous energy control procedures shall be documented in writing.
(A) The employer's hazardous energy control procedure shall include separate procedural steps for the safe lockout/tagout of each machine or piece of equipment affected by the hazardous energy control procedure.
Exception to subsection (g)(2)(A): The procedural steps for the safe lockout/tagout of prime movers, machinery or equipment may be used for a group or type of machinery or equipment, when either of the following two conditions exist:
(1) Condition 1:
(A) The operational controls named in the procedural steps are configured in  a similar manner, and
(B) The locations of disconnect points (energy isolating devices) are identified, and
(C) The sequence of steps to safely lockout or tagout the machinery or equipment are similar.
(2) Condition 2: The machinery or equipment has a single energy supply that is readily identified and isolated and has no stored or residual hazardous energy.
(h) Periodic inspection.
The employer shall conduct a periodic inspection of the energy control procedure(s) at least annually to evaluate their continued effectiveness and determine necessity for updating the written procedure(s).
(1) The periodic inspection shall be performed by an authorized employee or person other than the one(s) utilizing the hazardous energy control procedures being inspected.
(2) Where lockout and/or tagout is used for hazardous energy control, the periodic inspection shall include a review between the inspector and authorized employees of their responsibilities under the hazardous energy control procedure being inspected.
(3) The employer shall certify that the periodic inspections have been performed. The certification shall identify the machine or equipment on which the hazardous energy control procedure was being utilized, the date of the inspection, the employees included in the inspection, and the person performing the inspection.
(i) Whenever outside servicing personnel are to be engaged in activities covered by this section, the on-site employer's lockout or tagout procedures shall be followed.
(j) Training.
(1) Authorized employees shall be trained on hazardous energy control procedures and on the hazards related to performing activities required for cleaning, repairing, servicing, setting-up and adjusting prime movers, machinery and equipment.
(2) Each affected employee shall be instructed in the purpose and use of the energy control procedure.
(3) All other employees whose work operations may be in an area where energy control procedures may be utilized, shall be instructed about the prohibition relating to attempts to restart or reenergize machines or equipment which are locked out or tagged out.
(4) Such training shall be documented as required by Section 3203.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer and new subsections (a), (b) and (c) and amendment of subsection (d) filed 5-12-77; effective thirtieth day thereafter (Register 77, No. 20).
3. Amendment of subsection (c) and adoption of subsections (f)-(i) filed 12-23-91; operative 1-22-92 (Register 92, No. 12).
4. Amendment of subsections (a) and (b) filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
5. Amendment of section heading and section filed 12-7-2004; operative 1-6-2005 (Register 2004, No. 50).
§3315. Hand Trucks.

Hand trucks shall be maintained in a safe condition. Handles shall be maintained free of hazardous burrs, splinters, cracks, or splits. 
§3316. Hand Tools.
History

HISTORY

1. Repealer filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13). 
§3317. Illumination.
Note     •     History

(a) Working areas, stairways, aisles, passageways, work benches and machines shall be provided with either natural or artificial illumination which is adequate and suitable to provide a reasonably safe place of employment. Minimum illumination levels for safety alone are listed for various typical areas in Table IL-1. (Title 24, Part 2, Section 512, Table 5-C.)

TABLE IL-1
MINIMUM LEVELS OF ILLUMINATION FOR SAFETY

View Graphic

Notes:
(1) To assure these levels at all times, higher initial levels need to be provided to compensate for their depreciation due to the decrease of light output of lamps with age and to the accumulation of dirt on lamps and room surfaces.
(2) For areas or operations not covered above, and for recommended illumination levels for efficient visual performance in varied tasks and areas, refer to ANSI/IES RP-7-1991, Practice for Industrial Lighting and ANSI/IES RP-1-1993, Practice for Office Lighting. (Title 24, Part 2, Section 512, Table 5-C.)
(b) When adequate natural illumination or permanent artificial illumination cannot be made available to secure the safety of employees, suitable portable lights shall be provided.
(c) Skylights, side windows, lamps, and other light accessories which provide necessary illumination shall be kept sufficiently clean, adjusted, and repaired so as not to impair the illumination required for the safety of employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41). 
4. Amendment of subsection (a) and footnotes to Table filed 2-11-99; operative 3-13-99 (Register 99, No. 7).
§3318. Counterweights.

All counterweights shall be enclosed with a guard which shall extend from the working level to at least the midpoint of the counterweight when it is in its highest position, or shall be otherwise guarded to afford at least equivalent protection unless they are so located that their falling would create no hazard or the area directly below the counterweight is effectively barricaded against passage.
Note: In lieu of above, counterweights may be held with safety chains or cables or otherwise protected against falling. 
§3319. Fueling.
Note     •     History

(a) No internal combustion engine fuel tank shall be refilled with a flammable liquid while the engine is running. Fueling shall be done in such a manner that likelihood of spillage is minimal. If a spill occurs it shall be washed away completely, evaporated, or equivalent action taken to control vapors before restarting the engine. Fuel tank caps shall be replaced before starting the engine. 
(b) A listed gasoline pump shall be provided to service the fuel tanks of all gasoline engine driven equipment, unless done in a safe manner by a gravity flow, with a metal-to-metal contact between the containers and the fuel tank. When a hose is used it shall be of a type which is designed to handle gasoline. No gasoline shall be handled in open containers. Gravity flow systems shall be fitted with self closing nozzles.

Exception: Pumps which are an integral part of a gasoline vapor recovery system, certified by the State Air Resources Board and the State Fire Marshal pursuant to the provisions of Sections 41954 through 41961, inclusive, of the California Health and Safety Codes. 
(c) Open lights, open flames, or sparking or arcing equipment, except that which is an integral part of automotive equipment, shall not be used near fuel storage tanks or internal combustion engine equipment while being fueled with flammable liquids. 
(d) Every gas fueling system with line pressure in excess of 15 pounds per square inch, including traps, valves, and fittings shall be capable of withstanding the maximum working pressure with a factor of safety of at least four. 
In lieu of compliance with the above, existing installations shall be provided with a relief valve installed between the regulator and the gas consuming device. Such relief valve shall be set to operate at a pressure less than the maximum safe working strength of the weakest part of the system. There shall be no block valve between the regulator and the relief valve nor in the discharge line from the relief. 
(e) Refueling with portable containers shall be done with approved safety type containers equipped with an automatic closing cap and flame arrester. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsections (a) and (b) filed 2-18-75; effective thirtieth day thereafter (Register 75, No. 7). 
2. Amendment of subsection (b) filed 3-3-77; effective thirtieth day thereafter (Register 77, No. 10). 
3. Amendment of subsection (a) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27). 
4. New subsection (e) filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
§3320. Warning Signs.
Note     •     History

There shall be conspicuously displayed at all machines driven by electric motors that are controlled by fully automatic starters and which may injure employees, legible signs giving warning that the machines are automatically controlled and may start at any time.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). 
§3321. Identification of Piping.

(a) Where, in any one establishment, one or more hazardous substances are transported through pipe lines, all above ground piping systems used to transport gases, vapors, liquids, semi-liquids, or plastics shall be identified at points where confusion would introduce hazards to employees.
(b) Methods of Identification. Where identification is required for piping systems, one or more of the following methods shall be employed.
(1) Complete color painting of all visible parts of the pipe;
(2) Color bands, preferably 8 to 10 inches wide, at various intervals and at each outlet valve or connection.
Where identification is provided by complete color painting or by color bands, a color code shall be posted at those locations where confusion would introduce hazards to employees.
(3) The names of or abbreviations of the names of the materials transported shall be lettered or stenciled on the pipe near the valves or outlets.
(4) Tags of metal or other suitable material naming the material transported shall be fastened securely to the system on or near the valve. Tag legibility shall be maintained.
§3322. Drilling.
Note     •     History

Where petroleum drilling equipment is being used for drilling other than petroleum wells, applicable sections of the California Petroleum Safety Orders--Drilling and Production which pertain to the construction, use, and maintenance of rigs and related drilling equipment shall apply to such operations.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). 
§3323. Cargo Doors.
Note     •     History

(a) Vertically operated doors shall be securely connected to their lifting tackle.
(b) Approved devices shall be provided to hold overhead doors in the open position and to secure them when closed.
(c) Horizontal sliding door rollers shall be constructed to prevent the door from jumping from overhead tracks.
(d) Sliding doors shall be secured to prevent them from swinging. (Title 24, Part 2, Section 2-3303(p))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-26-84; effective thirtieth day thereafter (Register 84, No. 48).
§3324. Horizontal Sliding Gates.
Note     •     History

(a) All horizontal sliding gates shall be equipped with positive stops or devices that limit the gate travel to the designed fully open and closed positions.
(b) Positive stops or devices shall be constructed, installed and maintained by a qualified person to resist impact loads in order to safely contain sliding gate components within the designed stop limits.
(c) Employees responsible for operating or inspecting horizontal sliding gates shall be instructed in the safe operation of such gates.
(d) Repairs to gate hardware shall only be performed by a qualified person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-23-2007; operative 11-22-2007 (Register 2007, No. 43).
§3325. Tire Inflation.
Note     •     History

(a) Tire inflation shall be accomplished by means of a clip-on chuck with a minimum 24-inch length hose to an in-line foot or hand valve and gauge. A clip-on chuck and an in-line regulator (factory preset at 40 psi maximum for passenger car tires) or a restraining device may be used as an equivalent.

Exceptions: (1) Automatic tire inflation machines that inflate the tire in a pressurized chamber through the bead seat annulus.(2) Where passenger car or truck tires are serviced at the same facility, an adjustable in-line regulator is allowed as long as the regulator pressure is properly set in each case.
(b) Tire inflation control valves shall automatically shut off the air flow when the valve is released by the operator or be of the preset regulator type.
(c) Specific employee instruction shall be provided which will ensure the employee makes the correct tire to rim size match prior to inflating the tire.
(d) Tires shall not be inflated to more than the inflation pressure recommended by the manufacturer.
(e) Unless otherwise recommended by the manufacturer, tires shall not be inflated beyond a maximum of 40 psi to seat the beads. During inflation, tire beads shall be inspected for proper seating at intervals not to exceed 20 psi. Tires not properly seated at 40 psi, or at the maximum psi recommended by the manufacturer, shall be completely deflated before making the adjustment of the tire, rim or wheel components. Except as permitted in Section 3326, tires shall be in a restraint device when seating the beads.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-21-72; effective thirtieth day thereafter (Register 72, No. 26).
2. New subsection (d) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
3. Amendment filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
4. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
5. Amendment of section heading and new subsections (c)-(d) filed 8-27-93; operative 9-27-93 (Register 93, No. 35).
6. Amendment of section heading and subsection (a) and new subsection (e) filed 8-27-97; operative 9-26-97 (Register 97, No. 35).
7. Change without regulatory effect amending section heading filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
§3326. Servicing Single, Split and Multi-Piece Rims or Wheels.

(a) Scope. This section applies to the servicing of single, split, and multi-piece rims or wheels used on vehicles such as forklifts, industrial tractors, trucks, tractors, trailers, busses, and off-road machines.

Exception: Automobile or light truck tires (“LT”) used on light pickups and vans utilizing single piece rims or wheels when a hold-down cone type tire inflation system is used in accordance with the recommendations of the tire manufacturer.
(b) Definitions.
Barrier. A fence, wall or other structure or object placed between a single, split or multi-piece rim or wheel and employee during tire inflation, to contain the rim wheel components in the event of a sudden release of the contained air from the single, split or multi-piece rim or wheel.
Installing a rim wheel. The transfer and attachment of an assembled rim wheel onto a vehicle axle hub. Removing means the opposite of installing.
Mounting a Tire. The assembly or putting together the wheel and tire components to form a rim wheel, including inflation. Demounting means the opposite of mounting a tire.
Multi-piece rim or wheel. A vehicle rim or wheel consisting of two or more parts, one of which is a side or locking ring designed to hold the tire on the rim or wheel by interlocking components when the tire is inflated.
Restraining device. An apparatus such as a cage, rack, or assemblage of bars and other components that will constrain all rim wheel components during an explosive separation of a split rim wheel, multi-piece rim wheel or during the sudden release of the contained air of a single piece rim wheel.
Rim manual. A publication or chart containing instructions, and safety precautions from the manufacturer or other qualified organization for correct mounting and demounting of tires and safety precautions for the type of rim or wheel being serviced.
Rim wheel. An assemblage of tire, tube and liner, where appropriate, and wheel components.
Single piece rim or wheel. A vehicle rim or wheel consisting of one part, designed to hold the tire on the rim or wheel when the tire is inflated.
Split rim (divided) wheel. A vehicle wheel or rim where the inner section and outer section are assembled back to back and secured by bolts and nuts or other fastening devices. The outer section has additional holes that align to the vehicle wheel studs and are secured to the wheel hub with nuts or other approved means of fastening the wheel to the vehicle hub.
Trajectory. Any potential path or route that a rim wheel component may travel during an explosive separation, or the sudden release of the pressurized air. See Appendix A.
(c) Employee Training. The employer shall establish a training program which shall include, as a minimum, the following elements:
(1) The Accident Prevention Program of Section 3203(a).
(2) The employer shall assure that each employee understands, demonstrates and maintains the ability to service single, split and multi-piece rims or wheels safely, including performance of the following tasks:
(A) Demounting of tires (including deflation).
(B) Inspection and identification of the rim wheel components.
(C) Mounting of tire (including inflation with a restraining device or other safeguard required by this section).
(D) Use of other equipment required by this section.
(E) Inflation of the tire when a single piece rim wheel is installed on a vehicle.
(F) An understanding of the necessity of standing outside the trajectory both during inflation of the tire and during inspection of the rim wheel following inflation.
(G) Installation and removal of rim wheels from the vehicle.
(d) Restraining Devices. A safety tire rack, cage, or equivalent protection shall be provided and used when inflating mounted tires installed on single piece, split rim or rims equipped with locking rings or similar devices. 

Exceptions:  (1) Single piece rims or wheels when installed on the vehicle with the lug nuts fully tightened. (2) If a tire on a vehicle is under-inflated but has more than 80% of the manufacturer's recommended load chart pressure, the tire may be inflated while the wheel is on the vehicle provided remote control inflation equipment is used, and employees remain outside the trajectory path during the inflation process.
(e) Restraining devices shall comply with the following requirements:
(1) Each restraining device or barrier shall have the capacity to withstand the force that would be transferred to it during rim or wheel separation occurring at 150 percent of the maximum tire specification pressure for the type of rim or wheel being serviced. 
(2) Restraining devices and barriers shall be capable of preventing the rim or wheel components from being thrown outside or beyond the device or barrier for any rim or wheel positioned within or behind the device.
(f) Care and Maintenance of Restraining Devices.
(1) Restraining devices and barriers shall be visually inspected prior to each day's use and after any separation of the rim wheel components. Any restraining device or barrier exhibiting damage such as the following defects shall be immediately removed from service: 
(A) Cracks at welds;
(B) Cracked or broken components;
(C) Bent or sprung components caused by mishandling, abuses, tire explosion or rim wheel separation;
(D) Pitting of components due to corrosion;
(E) Restraining devices or barriers requiring structural repair such as component replacement or rewelding shall be removed from service until they are repaired by either the manufacturer or a California certified welder in accordance with Section 3326(e).
(g) Wheel Servicing and Mounting.
(1) There shall be available in the service area a current split and multi-piece Rim or Wheel Matching Chart, a Typical Rim Contours & Marking Location Chart, and current Rim Manual containing instructions for the proper tools recommended for the type of rim or wheel being serviced.
Note: Other publications providing at least the same instructions, safety precautions and other information contained in the charts may be used provided the publications are readily available for reference by employees.
(2) The employer shall furnish and assure that only tools recommended in the rim manual for the type of rims or wheels being serviced are used.
(3) Single, split and multi-piece rim or wheel components shall be inspected prior to assembly. Any rim or wheel or rim or wheel component which has been rendered unfit by being bent out of shape, pitted from corrosion, broken, or cracked shall not be used and shall be marked or tagged unserviceable and removed from the service area. Damaged or leaky valves shall be replaced.
(4) Before making any repairs or welds on rims or wheels, the tire shall be removed and remain off the rim or wheel until the repair is complete and any welds have returned to ambient temperature. Any repair involving welding on the rim or wheel or any of its components shall only be done in accordance with the manufacturer's specifications.
(h) Demounting Tires.
(1) Split and multi-piece rim tires shall be completely deflated by removing the valve core. A wire or equivalent device shall be inserted into the center of the valve stem to ensure no obstruction exists that would prevent complete deflation, before removal of the wheel from the axle.
Note: This does not apply to tires on rim wheel assemblies with no obvious or suspected damage to any rim wheel components or the tire.
(2) No heat shall be applied to a single, split or multi-piece wheel or wheel component except that frozen or broken lug nuts may be cut off after the tire is completely deflated.
Note: Subjecting wheels to excessive heat may result in structural deficiencies. Therefore, care shall be exercised while cutting off lug nuts to avoid excessive heating of the wheel. Wheels subjected to prolonged heating shall be removed from service.
(3) Tires shall be completely deflated by removal of the valve core before demounting.
(i) Mounting Tires and Inflation.
(1) Mounting and demounting of the tire:
(A) Shall be done only from the narrow ledge side of the wheel.
(B) Care shall be taken to avoid damaging the tire beads while mounting tires on wheels.
(C) Tires shall be mounted only on compatible wheels of matching bead diameter and width.
(2) Rim flanges, rim gutters, rings, bead seating surfaces and the bead areas of tire shall be free of any dirt, surface rust, scale or loose or flaked rubber build-up prior to mounting and inflation.
(3) Wheel component acceptability. Multi-piece wheel components shall not be interchanged except as provided in the charts or in the applicable rim manual.
(4) Prior to assembly the size (bead diameter and tire and/or wheel widths) and type of both the tire and wheel shall be checked and incompatible parts shall not be assembled.
(5) Non-flammable rubber lubricant shall be applied to bead and rim mating surfaces before assembly of the rim or wheel unless the tire or wheel manufacturer recommends against it.
(6) Tires shall be inflated in accordance with Section 3325.
(7) If a bead expander is used, it shall be removed before the valve core is installed and as soon as the rim or wheel becomes airtight (the tire bead slips onto the bead seat).
(8) Employees shall be instructed not to take a position over the tire during inflation and to remain outside the trajectory.
(9) Except as permitted in Section 3326(i)(10), tires shall not be inflated when any flat, solid surface is in the trajectory and within one foot of the sidewall.
(10) Tires may be inflated outside a restraining device to a pressure that shall not exceed 5 pounds per square inch (psi) to force the tire bead onto the rim ledge and create an airtight seal and/or to assist the seating of the lock rings.

Exception: Where higher pressures are recommended by the tire manufacturer.
(11) Whenever a single, split or multi-piece rim wheel is in a restraining device, employees shall be instructed not to rest or lean any part of their body or equipment on or against the restraining device.
(12) Except during the operation described in Section 3326(i)(10) employees shall be instructed not to attempt to correct the seating of side and lock rings by hammering, striking, or forcing the components while the tire is pressurized.
(13) After tire inflation, the tire and rim or wheel components shall be inspected before removal from the restraining device to ensure that they are properly seated and locked. If further adjustment is necessary, the tire shall be deflated by removal of the valve core before the adjustment is made.

Appendix A

View Graphic
Note: Employees shall avoid taking a position over the tire except during the operation described in Section 3326(i)(10).
(j) Installation/Removal of Rim Wheels from Vehicle Axles.
Tires on unusable or damaged rim wheels shall be completely deflated by removal of the valve core. A wire or equivalent device shall be inserted into the center of the valve stem to ensure no obstruction exists that would prevent complete deflation, before rims are removed from the axle.
Note: Tires on  rim wheels with no obvious or suspected damage to the rim wheel or tire are not required to be deflated prior to removal from the axle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-21-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Amendment filed 10-16-86; effective thirtieth day thereafter (Register 86, No. 42).
4. Amendment filed 7-2-87; operative 8-1-87 (Register 87, No. 28). 
5. Repealer of subsection (h)(12) and subsection renumbering filed 8-27-93; operative 9-27-93 (Register 93, No. 35).
6. Amendment filed 8-27-97; operative 9-26-97 (Register 97, No. 35).
7. Change without regulatory effect providing more legible figures 1-3 within appendix A filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix A

View Graphic
Note: Employees shall avoid taking a position over the tire except during the operation described in Section 3326(h)(10).
(i) Installation/Removal of Rim Wheels from Vehicle Axles.
Unserviceable rim wheels shall be completely deflated by removal of the valve core before they are removed from the axle.
Note: Serviceable rim wheels are not required to be deflated prior to removal from the axle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-21-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Amendment filed 10-16-86; effective thirtieth day thereafter (Register 86, No. 42).
4. Amendment filed 7-2-87; operative 8-1-87 (Register 87, No. 28). 
5. Repealer of subsection (h)(12) and subsection renumbering filed 8-27-93; operative 9-27-93 (Register 93, No. 35).
§3327. Safe Practice for Mounting and Inflating Tires with Split Rim and/or Retainer Rings.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-21-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
3. Repealer filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
§3328. Machinery and Equipment.
Note     •     History

(a) Machinery and equipment shall be of adequate design and shall not be used or operated under conditions of speeds, stresses, or loads which endanger employees.
(b) Machinery and equipment in service shall be inspected and maintained as recommended by the manufacturer where such recommendations are available.
(c) Machinery and equipment with defective parts which create a hazard shall not be used. 
(d) Machinery and equipment designed for a fixed location shall be restrained so as to prevent walking or moving from its location.
(e) Machinery and equipment components shall be designed and secured or covered (or both) to minimize hazards caused by breakage, release of mechanical energy (e.g., broken springs), or loosening and/or falling unless the employer can demonstrate that to do so would be inconsistent with the manufacturer's recommendations or would otherwise impair employee safety.
(f) Any modifications shall be in accordance with (a) and with good engineering practice.
(g) Machinery and equipment in service shall be maintained in a safe operating condition.
(h) Only qualified persons shall be permitted to maintain or repair machinery and equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1, 1-6-79).
3. Amendment of subsection (b) and new subsection (g) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
4. New subsection (h) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
5. Amendment of subsection (e) filed 3-7-2011; operative 4-6-2011 (Register 2011, No. 10).
§3329. Pipe Lines.
Note     •     History

(a) Pipe lines containing hot, poisonous, corrosive or flammable substances shall be supported and maintained so as to prevent dangerous vibration under normal operating conditions.
(b) All pressure piping shall be designed, constructed, installed, and maintained in accordance with good engineering practice. Piping which meets the requirements of the applicable ANSI B31 standard shall be considered as providing reasonable safety.
(c) Leaks from pipe lines, piping or from other equipment shall be stopped if employees are endangered by the liberated liquids, gases or vapors. If hazardous leakage cannot be stopped during plant operation, diversion shields, or other effective means, shall be installed to protect the work area and employees involved.
(d) When dismantling or opening closed pressurized or gravity fed systems, internal pressure shall be relieved or other methods utilized to prevent sudden release of pressure or spraying of liquid.
Note: Extreme care shall be taken to prevent the build-up of excessive internal pressure if external heat is used to free solid blockages within liquid pipe lines.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (b) and new subsections (c) and (d) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). 
§3330. Special Handtools.
Note     •     History

(a) Special handtools for placing and removing material shall be such as to permit easy handling of material without the operator placing a hand in the danger zone. Such tools shall not be in lieu of other guarding required by these orders, but can only be used to supplement protection provided.
(b) Only cutting tools shall be used to cut metal strapping or banding used to secure cargo.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3331. Curbs or Rails on Docks, Wharves, or Piers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-18-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3332. Railcar Movement.
Note     •     History

(a) Derail and/or bumper blocks shall be provided on spur railroad tracks where a rolling car could contact other cars being worked, or enter a building, or work or traffic area.
Note: Derails, if used, shall be placed where their use will not increase the danger to workers.
(b) Controls to safeguard personnel during railcar movement shall be instituted.
(c) If winches or capstans are employed for movement, employees shall stand clear of the hauling rope and shall not stand between the rope and the cars.
(d) Warning signs shall be posted where doorways open onto tracks, at blind corners and at similar places where vision may be restricted.
(e) Recessed railroad switches shall be enclosed to provide a level surface.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84. No. 50).
3. Editorial correction of section heading printing error (Register 85, No. 19). 
§3333. Blue Stop Signs, Blue Flags and Blue Lights.
Note     •     History

(a) The employer shall provide blue stop signs (signs) or blue flags for use by day, and in addition, blue lights for use if night work is necessary, and cause them to be displayed before employees are permitted to work in, upon, or under any standing railroad car or cars under conditions where unanticipated movement or disturbance of such car or cars might endanger employees or equipment.

Exception: Railroad cars on portions of industrial tracks served by common carrier railroad corporations shall be provided with protective signs and lights as required by the operating railroad's rules filed with the Public Utilities Commission pursuant to their General Order 108.
(b) The cars shall be adequately secured by positive mechanical brakes, blocking or chocking of wheels or other means that will prevent their movement. Blocks or chocks shall be stored out of the track area when not in use.
(c) Required signs, blue flags, and blue lights shall be placed on the track at a height of 3 to 5 feet and not less than 10 feet from either or both ends of the cars as necessary to afford protection and in such position as to provide a clear and unobstructed view of the signs, flags and lights from any approaching railroad equipment.
(d) Required signs, blue flags, and blue lights shall be placed and removed by one of the employees working in and about the car. This employee shall be selected, instructed and directed by the employer in the safe procedures involved in placing and removing the signs, flags and lights.
(e) Blue stop signs shall be of substantial material not less than 12 inches by 15 inches in size and shall bear the word “STOP” in letters not less than 4 inches in height. Other words may be placed thereon in letters not less than 2 inches in height. The letters shall be white on a blue background.
(f) Signs, blue flags and blue lights shall be mounted suitably for proper display.
(g) Signs, blue flags and blue lights shall be maintained so as to assure effective display and shall be available to enable compliance with this order.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Repealer and new section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10). 
3. Amendment of section heading and section filed 10-28-2009; operative 11-27-2009 (Register 2009, No. 44).
§3334. Working on or Around Railway Cars.
Note     •     History

(a) Before working on or around railway cars at loading docks or dumping facilities, or on sidings, the following items shall, where appropriate, be checked and employees shall be advised of potential hazards.
(1) Before opening or closing doors on freight cars or gondola type bottom dumping cars the doors shall be inspected to assure that the doors will not fall off the car and endanger employees.
(2) Before being opened fully, doors shall be opened slightly to ensure that the load has not shifted during transit. Special precautions shall be taken if the doors being opened are visibly damaged.
(3) Material or equipment being loaded on, or off-loaded from box cars or flat cars shall be secured from falling out of or off the car where employees may be endangered.
(4) Before inverting gondola type cars in dumping mechanisms the coupling hinge pins shall be secured against falling out of the coupling.
(5) Operators of railcar dumps shall have an unrestricted view of dumping operations and shall have emergency means of stopping movement.
(6) Before loading or dumping multiple hopper gondola cars, the manufacturer's instructions shall be checked to see that the proper sequence in loading or dumping is followed.
(7) Railcars shall be chocked or otherwise prevented from moving:
(A) While dockboards or carplates are in position; or
(B) While employees are working within, on or under the railcars or near the tracks at the ends of the cars.
(8) Work shall be performed in railcars only if floors of the railcars are in visibly safe condition for the work activity being conducted and equipment being used.
(9) The employer shall direct that no employees remain in railcars after work is concluded.
(10) A route shall be established to allow employees to pass to and from places of employment without passing under, over or through railcars, or between cars less than 10 feet (3 meters) apart on the same track.
(b) When repairing or disassembling railway cars, provision shall be made to prevent the car or its components from getting into an unstable condition where they might fall and endanger employees.
(c) Entering Tank Cars: refer to Article 108.
(d) Before cars are moved, unsecured and overhanging stakes, wire straps, banding and similar objects shall be removed or placed so as not to create hazards.
(e) Employees shall not remain in or on gondolas or flat cars when drafts that create overhead, caught-in, caught-between or struck-by hazards are being landed in or on the railcars. End gates, if raised, shall be secured.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3335. Railroad Ramping and Deramping Yards.
Note     •     History

(a) Traffic patterns used for vehicle travel within railroad ramping and deramping yards shall be well-defined and the direction of traffic clearly indicated or controlled as necessary by one or more of the following methods as appropriate under the circumstances: a supervised program of traffic control, written and published (posted) administrative directives, signs, markers, site maps, etc.
(b) During switching operations in the ramping and deramping yard, signal devices, such as those listed in (1), (2), and (3) below, shall provide visual warning of the approach of railroad equipment. These signals shall be readily visible to persons working on or around railroad cars in the area of hazards created by train movement, to pedestrians, and to vehicle operators at track crossings.

Exception: Conventional circus ramp locations where the operation does not involve vehicular rail crossing.
Note: A signal device may be one of the following, or a device, system, or method which will provide equal assurance of warning:

1. A rotating (amber) warning light to be manually actuated by the person authorized to remove the blue flag.

2. A fixed rotating (amber) warning light to be automatically actuated when the blue flag is taken down.

3. In security yards where the gates are normally closed, a signal light which is interlocked with the gates and is automatically actuated when the gates are opened.
NOTE TO SECTION 3335: This section applies as provided in Labor Code Sections 6800, 6801 and 6802.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-25-78; effective thirtieth day thereafter (Register 78, No. 30).
§3336. Loading Dock Operations.
Note     •     History

(a) Trucks, trailers, and railcars boarded by powered industrial trucks during loading dock operations shall be secured against unintended movement as specified in subsections 3650(t)(22) and (23).
(b) The employer shall establish and enforce a system to prevent trucks, trailers or railcars from pulling away from the loading dock before the loading or unloading operation is completed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-25-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer and new section filed 2-13-2009; operative 3-15-2009 (Register 2009, No. 7).
§3337. Dock Plates and Loading Ramps.
Note     •     History

(a) Every dock plate and loading ramp shall be constructed and maintained with strength sufficient to support the load carried thereon.
(b) Dock plates or loading ramps shall be secured in position when spanning the space between the dock or unloading area and the vehicle. The dock plate or loading ramp, together with its securing devices, where used over spans of different lengths, shall be of such construction as will readily obtain rigid security over such spans.
(c) The dock plates or loading ramps shall be so constructed and maintained that when they are secured in position the end edges of the plate or loading ramp shall be in substantial contact with the dock or loading area and with the vehicle bed in such a manner as to prevent rocking, or sliding.
(d) Adequate and safe means shall be provided for moving dock plates and loading ramps.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 3664 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Amendment filed 10-10-80; effective thirtieth day thereafter (Register 80, No. 41).
3. Editorial correction of History Note No. 1 (Register 81, No. 49).
§3338. Pallets.
History

(a) Pallets shall be constructed and maintained with strength adequate for the loads being handled. Unsafe and defective parts shall be repaired or replaced. Pallets upon which employees customarily walk in the course of the employment shall have no surface openings whose maximum dimension exceeds 2 inches.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Renumbering from Section 3665 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 23). 
§3339. Cargo, Materials, or Equipment.
History

(a) Cargo, materials or equipment found sufficiently broken or damaged as to afford a hazard shall be immediately repaired or shall be set aside at a safe distance away from the working area so that it can be repaired.
(b) Safe means of access to high piles of materials or equipment shall be provided.
HISTORY

1. Renumbering from Section 3666 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 23). 
§3340. Accident Prevention Signs.
Note     •     History

(a) Scope.
(1) These specifications apply to the design, application, and use of signs or symbols intended to indicate and, insofar as possible, to define specific hazards of a nature such that failure to designate them may lead to accidental injury to workers or the public, or both, or to property damage. These specifications are intended to cover all safety signs except those designed for streets, highways, railroads, and marine regulations. These specifications do not apply to plant bulletin boards or to safety posters.
(2) All new signs and replacements of old signs shall be in accordance with these specifications.
(3) All temporary construction signs and symbols required by this section shall be visible at all times when work is being performed and shall be removed or covered promptly when the hazards no longer exist.
(b) Definitions. As used in this section, the word “sign” refers to a surface on which letters or other markings appear, prepared for the warning of, or safety instruction of, industrial workers or members of the public who may be exposed to hazards. Excluded from this definition, however, are news releases, displays commonly known as safety posters, and bulletins used for employee education.
(c) Classification of signs according to use.
(1) Danger signs.
(A) Danger signs shall be used only where an immediate hazard exists.
(B) All employees shall be instructed that danger signs indicate immediate danger and that special precautions are necessary.
(2) Warning signs.
(A) Warning signs shall be used to indicate a potentially hazardous situation which, if not avoided, could result in death or serious injury.
(B) All employees shall be instructed that warning signs indicate a potentially hazardous situation that could result in death or serious injury.
(3) Caution signs.
(A) Caution signs shall be used only to warn against potential hazards or to caution against unsafe practices.
(B) All employees shall be instructed that caution signs indicate a possible hazard against which proper precaution should be taken.
(4) General safety signs. General safety signs shall be used where there is a need for general instructions and suggestions relative to safety measures.
(5) Biological hazard signs. The biological hazard warning shall be used to signify the actual or potential presence of a biohazard and to identify equipment, containers, rooms, material, experimental animals, or combinations thereof, which contain, or are contaminated with, viable hazardous agents. For the purpose of this subsection the term “biological hazard,” or “biohazard,” shall include only those infectious agents presenting a risk or potential risk to the well-being of employees.
(d) Sign design.
(1) All signs shall be furnished with rounded or blunt corners and shall be free from sharp edges, burrs, splinters, or other sharp projections. The ends or heads of bolts or other fastening devices shall be located in such a way that they do not constitute a hazard.
(2) Danger signs shall consist of the colors red, black, and white only and shall be approved as defined in Section 3206 of these orders.
(3) Warning signs. Warning signs shall comply with either one of the following:
(A) They shall have the signal word “WARNING” in black letters on a rectangular orange background placed at the top of the sign. The safety alert symbol (a triangle with sides of equal length surrounding an exclamation mark) shall precede the signal word and it shall be on the same horizontal line as the base of the letters of the signal word; or
(B) They shall have the signal word “WARNING” in black letters within a safety orange truncated diamond on a black rectangular background.
(C) Warning signs shall be approved as defined in Section 3206 of these orders.
(4) Caution signs. Standard color of the background shall be yellow; and the panel, black with yellow letters. Any letters used against the yellow background shall be black. Caution signs shall be approved as defined in Section 3206 of these orders.
(5) General safety signs. Standard color of the background shall be white; and the panel, green with white letters. Any letters used against the white background shall be black. General safety signs shall be approved as defined in Section 3206 of these orders.
(6) Slow-moving vehicle emblem. This emblem consists of a fluorescent yellow-orange triangle with a dark red reflective border. The yellow-orange fluorescent triangle is a highly visible color for daylight exposure. The reflective border defines the shape of the fluorescent color in daylight and creates a hollow red triangle in the path of motor vehicle headlights at night. The emblem is intended as a unique identification for, and it shall be used only on, vehicles which by design move slowly (25 m.p.h. or less) on the public roads. The emblem is not a clearance marker for wide machinery nor is it intended to replace required lighting or marking of slow-moving vehicles. Neither the color film pattern and its dimensions nor the backing shall be altered to permit use of advertising or other markings. The material, location, mounting, etc., of the emblem shall be in accordance with the Society of Automotive Engineers, Inc., Standard, SAE J943-1993, Slow-Moving Vehicle Identification Emblem.

View Graphic

NOTE: All dimensions are in inches
Slow-Moving Vehicle Emblem
(7) Biohazard symbol. The biohazard symbol design shall be fluorescent orange or orange-red color. Background color is optional as long as there is sufficient contrast for the symbol to be clearly defined. Appropriate wording may be used in association with the symbol to indicate the nature or identity of the hazard, name of individual responsible for its control, precautionary information, etc., but this information shall not be superimposed on the symbol.
(e) Sign wordings. The wording of any sign shall be easily read and concise. The sign shall contain sufficient information to be easily understood. The wording shall make a positive, rather than negative suggestion and shall be accurate in fact.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 6003 to new section 3340 and amendment of section filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
2. New subsections (c)(2)-(c)(2)(B) and (d)(3)-(d)(3)(C) and subsection renumbering filed 11-8-2001; operative 12-8-2001 (Register 2001, No. 45).
3. Change without regulatory effect providing more legible illustration of dimensions of Slow Moving Vehicle Emblem filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
§3341. Accident Prevention Tags.

(a) Scope and application. This section applies to all accident prevention tags used to identify hazardous conditions and provide a message to employees with respect to hazardous conditions as set forth in subsection (c) of this section, or to meet the specific tagging requirements of other standards. 

Exception: This section does not apply to construction, maritime or agriculture.
(b) Definitions. “Biological hazard” or “BIOHAZARD” means those infectious agents presenting a risk of death, injury or illness to employees.
“Major message” means that portion of a tag's inscription that is more specific than the signal word and that indicates the specific hazardous condition or the instruction to be communicated to the employee. Examples include: “High Voltage,” “Close Clearance,” “Do Not Start,” or “Do Not Use” or a corresponding pictograph used with a written text or alone.
“Pictograph” means a pictorial representation used to identify a hazardous condition or to convey a safety instruction.
“Signal word” means that portion of a tag's inscription that contains the word or words that are intended to capture the employee's immediate attention.
“Tag” means a device usually made of card, paper, pasteboard, plastic or other material used to identify a hazardous condition.
(c) Use. Tags shall be used as a means to prevent accidental injury or illness to employees who are exposed to hazardous or potentially hazardous conditions, equipment or operations which are out of the ordinary, unexpected or not readily apparent. Tags shall be used until such time as the identified hazard is eliminated or the hazardous operation is completed. Tags need not be used where signs, guarding or other positive means of protection are being used.
(d) General Tag Criteria. All required tags shall meet the following criteria:
(1) Tags shall contain a signal word and a major message.
(A) The signal word shall be either “Danger,” “Caution,” or “Biological Hazard,” “BIOHAZARD,” or the biological hazard symbol.
(B) The major message shall indicate the specific hazardous condition or the instruction to be communicated to the employee.
(2) The signal word shall be readable at a minimum distance of five feet or such greater distance as warranted by the hazard.
(3) The tag's major message shall be presented in either pictographs, written text or both.
(4) The signal word and the major message shall be understandable to all employees who may be exposed to the identified hazard.
(5) All employees shall be informed as to the meaning of the various tags used throughout the workplace and what special precautions are necessary.
(6) Tags shall be affixed as close as safely possible to their respective hazards by a positive means such as string, wire, or adhesive that prevents their loss or unintentional removal.
(e) Danger Tags. Danger tags shall only be used in major hazard situations where an immediate hazard presents a threat of death or serious injury to employees.
(f) Caution Tags. Caution tags shall only be used in minor hazard situations where a non-immediate or potential hazard or unsafe practice presents a lesser threat of employee injury.
(g) Warning Tags. Warning tags may be used to represent a hazard level between “Caution” and “Danger,” instead of the required “Caution” tag, provided that they have a signal word of “Warning,” an appropriate major message, and otherwise meet the general tag criteria of subsection (d) of this section.
(h) Biological Hazard Tags. Biological hazard tags shall be used to identify the actual or potential presence of a biological hazard and to identify equipment, containers, rooms, experimental animals, or combinations thereof, that contain or are contaminated with hazardous biological agents.
(1) The symbol design for biological hazard tags shall conform to the design shown below:

View Graphic

Biological Hazard Symbol Configuration
(i) Other Tags. Other tags may be used in addition to those required by this section, or in other situations where this section does not require tags, provided that they do not detract from the impact or visibility of the signal word and major message of any required tag.

Appendix A

Recommended Color Coding For
Accident Prevention Tags
While this appendix does not specifically mandate colors to be used on accident prevention tags, the following color scheme is recommended for meeting the requirements of Section 3441:
“DANGER”--Red, or predominantly red, with lettering or symbols in a contrasting color.
“CAUTION”--Yellow, or predominantly yellow, with lettering or symbols in a contrasting color.
“WARNING”--Orange, or predominantly orange, with lettering or symbols in a contrasting color.
“BIOLOGICAL HAZARD”--Fluorescent orange or orange-red or predominantly so, with lettering or symbols in a contrasting color.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 6004 and accompanying Appendix A to new section 3341 and Appendix A and amendment of Appendix A filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
2. Change without regulatory effect providing more legible illustration of Biological Hazard Symbol Configuration filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
Article 8. Labor Camps
§3350. Labor Camp Permits.
Note     •     History

Every employer operating a labor camp under the provisions of the California Employee Housing Act shall obtain a valid permit issued by the Department of Housing and Community Development or by a local governmental agency authorized to issue such permits by the Department. The employer shall either post or have available a valid and current permit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 17030, Health and Safety Code.
HISTORY

1. New Article 8 (Section 3350) filed 3-25-77 as an emergency; effective upon filing (Register 77, No. 13).
2. Certificate of Compliance filed 5-27-77 (Register 77, No. 22). 
3. Editorial correction of NOTE filed 7-15-83 (Register 83, No. 30).
Article 9. Sanitation
§3360. Scope and Application.
Note     •     History

This article applies to all places of employment.

Exception: 
Mobile crews or normally unattended work locations provided employees have readily available potable water for drinking, and readily available transportation or other effective arrangements to nearby toilet and washing facilities.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
2. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
3. Amendment filed 5-9-91; operative 6-8-91 (Register 91, No. 25).
4. Editorial correction of HISTORY 3. (Register 91, No. 45).
§3361. Definitions.
Note     •     History

Lavatory. A plumbing fixture used for washing the hands, arms, face and head. (Title 24, Part 5, Section 5-113).
Number of employees. The maximum number of employees present at any one time on a regular shift. (Title 24, Part 5, Section 5-115). 
Personal Service Room. A room which is not directly connected with the production or service function performed by the establishment. Such rooms may include, but are not limited to, first aid or medical rooms, toilet rooms, change rooms, wash rooms, shower rooms, kitchens and lunch rooms. (Title 24, Part 5, Section 5-117).
Potable Water. Potable water is water which is satisfactory for drinking, culinary and domestic purposes and meets the requirements of the health authority having jurisdiction. (Title 22, California Code of Regulations, Division 4, Chapter 15)
Toilet. A fixture, maintained within a toilet room, which may be used for defecation or urination, or both. (Title 24, Part 5, Section 5-121)
Toilet Room. A room within or on the premises containing water closets, urinals and other required facilities. (Title 24, Part 5, Section 5-121)
Toxic Material. A material in concentration or amount which exceeds the applicable limit established by a standard, such as Section 5155, 5208 or 5209 of Title 8, CAC or, in the absence of an applicable standard, which has the capacity to produce personal injury or illness to persons through ingestion, inhalation, or absorption through any body surface. (Title 24, Part 5, Section 5-121)
Urinal. A plumbing fixture which is used only for urination. (Title 24, Part 5, Section 5-122)
Water Closet. A plumbing fixture (which may be used for both defecation and urination) in which the waste matter is removed by flushing with water. (Title 24, Part 5, Section 5-124)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 9 (Sections 3361-3376) filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (b) filed 9-19-80 as procedural and organizational; effective thirtieth day thereafter (Register 80, No. 38).
4. Repealer and new section filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
5. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3). 
6. Amendment of definition of “Potable Water” filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§3362. General Requirements.
Note     •     History

(a) To the extent that the nature of the work allows, workplaces, storerooms, personal service rooms and passageways shall be kept clean, orderly and in a sanitary condition. The interiors, exteriors and environs of buildings that contribute to a hazard to which these orders apply shall be cleaned and maintained in such conditions as will not give rise to harmful exposure, as defined in Section 5140.
(b) Cleaning and sweeping shall be done in such a manner as to minimize the contamination of the air and, insofar as is practicable, shall be performed at such time and in such a manner that will avoid harmful exposures as defined in Section 5140.
(c) To facilitate cleaning, every floor, workroom, personal service room and passageway shall be kept free from protruding nails, splinters, loose boards and unnecessary holes and openings.
(d) All putrescible waste or refuse shall be stored in a receptacle so constructed that it does not leak and may be conveniently and thoroughly cleaned. Such a receptacle shall be maintained in a sanitary condition and shall be equipped with a tight fitting cover if it cannot be maintained in a sanitary condition without one. (This provision does not prohibit the use of receptacles which are designed to permit the maintenance of a sanitary condition without regard to the above requirements.)
(e) All sweepings, putrescible wastes, refuse and garbage shall be removed in such a manner as to avoid creating a nuisance and shall be removed as often as necessary to avoid creating a menace to health through the development of unsanitary conditions.
(f) Every enclosed workplace and personal service room shall be equipped and maintained, insofar as is practicable, to prevent the entrance or harborage of insects, rodents or other vermin. An effective program of extermination and control shall be instituted whenever their presence is detected.
(g) When exterior water intrusion, leakage from interior water sources, or other uncontrolled accumulation of water occurs, the intrusion, leakage or accumulation shall be corrected because of the potential for these conditions to cause the growth of mold.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (a) and (b) filed 10-2-81; effective thirtieth day thereafter (Register 81, No. 40).
3. Amendment of subsection (f) filed 1-17-86; effective thirtieth day thereafter (Register 86, No 3). 
4. New subsection (g) filed 8-5-2002; operative 9-4-2002 (Register 2002, No. 32).
§3363. Water Supply.
Note     •     History

(a) Potable water in adequate supply shall be provided in all places of employment for drinking and washing and, where required by the employer of these orders, for bathing, cooking, washing of food, washing of cooking and eating utensils, washing of food preparation or processing premises, and personal service rooms. (Title 24, Part 5, Section 5-1001; Exception No. 2: (b))
(b) All sources of drinking water shall be maintained in a clean and sanitary condition. Drinking fountains and portable drinking water dispensers shall not be located in toilet rooms. (Title 24, Part 5, Section 5-1001; Exception No. 2: (c))
(c) Portable drinking water dispensers shall be equipped with a faucet or drinking fountain, shall be capable of being tightly closed and shall be otherwise designed, constructed and serviced so that sanitary conditions are maintained. Such dispensers shall be clearly marked as to their contents.
(d) The dipping or pouring of drinking water from containers, such as from barrels, pails or tanks, is prohibited regardless of whether or not the containers are fitted with covers.
(e) The common use of a cup, glass or other vessel for drinking purposes is prohibited.
(f) Nonpotable water shall not be used for drinking, washing, or bathing, washing of clothing, cooking, washing of food, washing of cooking or eating utensils, washing of food preparation or processing premises or other personal service rooms. (Title 24, Part 5, Section 5-1012 (a))
(g) Outlets for nonpotable water, such as water for industrial or fire-fighting purposes, shall be posted in a manner understandable to all employees to indicate that the water is unsafe and shall not be used for drinking, washing, cooking or other personal service purposes. (Title 24, Part 5, Section 5-1012 (c))
(h) Nonpotable water systems or systems carrying any other nonpotable substance shall be installed so as to prevent backflow or back-siphonage into a potable water system. (Title 24, Part 5, Section 5-1012 (b))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer of subsections (c), (e), (h) and consecutive relettering of subsections (d)-(k); effective thirtieth day thereafter (Register 81, No. 4).
3. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
§3364. Sanitary Facilities.
Note     •     History

(a) Separate toilet facilities shall be provided for each sex according to the following table:

		Minimum Number of
	Number of Employees	Water Closets*

	1	to	15	1
	16	to	35	2
	36	to	55	3
	56	to	80	4
	81	to	110	5
	111	to	150	6
	over 150			1 additional for 
				each additional 40 
				employees or
				fraction hereof.

	*Urinals may be installed instead of water closets in toilet rooms to be used only by men provided that the number of water closets shall not be less than two-thirds of the minimum number of toilet facilities specified. The length of trough urinals to equivalent number of individual urinals shall be based on the following:

		Equivalent Number of
	Length of Trough Urinal	Individual Urinals

		24”	1
		36”	2
		48”	2
		60”	3
		72”	4

Exceptions: 
(1) When there are less than five employees, separate toilet rooms for each sex are not required provided toilet rooms can be locked from the inside and contain at least one water closet. (Title 24, Part 5, Section 5-910 (a)(1))
(2) Employees engaged in hand-labor operations at agricultural establishments are subject to the sanitation provisions of Section 3457.
(b) Toilet facilities shall be kept clean, maintained in good working order and be accessible to the employees at all times. Where practicable, toilet facilities should be within 200 feet of locations at which workers are regularly employed and should not be more than one floor-to-floor flight of stairs from working areas. (Title 24, part 5, section 5-910(a)(1))
(c) All water-carried sewage shall be disposed of by means of either a public sewage system or by a sewage disposal system in conformance with applicable State and local laws, ordinances, and regulations. The sewage disposal method shall not endanger the health of employees.
(d) An adequate supply of toilet paper shall be provided for every water closet.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
3. Amendment filed 10-2-81; effective thirtieth day thereafter (Register 81, No. 40).
4. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
5. Repealer of EXCEPTION (2) and renumbering of EXCEPTION (3) to (2) filed 5-9-91; operative 6-8-91 (Register 91, No. 25).
6. Amendment of EXCEPTION (2) filed 12-23-91; operative 1-22-92 (Register 92, No. 12).
7. Editorial correction of printing error in subsection (a) table (Register 92, No. 33).
8. Editorial correction restoring inadvertently omitted subsection (d) (Register 93, No. 39).
9. Change without regulatory effect amending subsection (a)(2) filed 2-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 8).
§3365. Toilet Rooms.
Note     •     History

Each water closet shall occupy a separate compartment which shall be equipped with a door and door latch. The door and the walls or partitions between fixtures shall be sufficient to assure privacy. (Title 24, Part 5, Section 5-912(a))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer and new section filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
3. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3). 
§3366. Washing Facilities.
Note     •     History

(a) Washing facilities for maintaining personal cleanliness shall be provided in every place of employment. These facilities shall be reasonably accessible to all employees. (Title 24, Part 5, Section 5-910(a)2(A))
(b) Washing facilities shall be maintained in good working order and in a sanitary condition. (Title 24, Part 5, Section 5- 910(a)2(B))
(c) Lavatories, including those associated with toilet rooms shall be made available according to the following table:

	Number of	Minimum Number
Type of Employment	Employees	of Lavatories

Nonindustrial-office	1	to	15	1
 buildings, public	16	to	35	2
 buildings, and similar	36	to	60	3
 establishments	61	to	90	4
	91	to	125	5
	over 125	1 additional for each additional 45 employees or fraction thereof.

Industrial-factories	1 to 100	1	for each 10
 warehouses, loft		 	employees.
 buildings, and similar
 establishments	over 100	1 additional for each additional 15 employees or fraction
thereof.

In a multiple-use lavatory, 24 lineal inches of sink or 18 inches of circular basin, when provided with individual faucet, shall be considered equivalent to one lavatory.

Exception: 
(1) Employees engaged in hand-labor operations at agricultural establishments are subject to the sanitation provisions of Section 3457. 
(d) Each lavatory shall be provided with running water and suitable cleansing agents. The water shall be available at temperatures of at least 85o F in those instances where: 
(1) Substances regulated as carcinogens in these orders are used; or
(2) Skin contact may occur with substances designated skin (S) in section 5155.
Note: This section does not prevent local health departments from enforcing more stringent standards contained in the Health and Safety Code for food handlers.
(e) Clean individual hand towels, or sections thereof, of cloth or paper or warm-air blowers convenient to the lavatories shall be provided. (Title 24, part 5, section 5-910(a)2(E))
(f) Where showering is required by the employer or these orders:
(1) Separate shower rooms shall be provided for each sex. One shower facility with hot and cold water feeding a common discharge line shall be provided for each ten employees, or numerical fraction thereof, who are required to shower during the same shift. When there are less than five employees, the same shower room may be used by both sexes provided the shower room can be locked from the inside. (Title 24, part 5, section 5-910(a)2(F))
(2) Body soap or other appropriate cleansing agents convenient to the shower shall be provided.
(3) Employees who use showers shall be provided with individual clean towels.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (e) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
4. Amendment filed 10-2-81; effective thirtieth day thereafter (Register 81, No. 40).
5. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
6. Repealer of EXCEPTION (2) and renumbering of EXCEPTION (2) to (1) filed 5-9-91; operative 6-8-91 (Register 91, No. 25).
7. Amendment of EXCEPTION and editorial correction of History 6. filed 12-23-91; operative 1-22-92 (Register 92, No. 12).
8. Editorial correction of printing error restoring inadvertently omitted subsections (f)(1)-(3) (Register 92, No. 26).
9. Editorial correction of printing error in subsection (d) (Register 92, No. 33).
§3367. Change Rooms.
Note     •     History

(a) Whenever employees are required to change from street clothes into protective clothing, change rooms equipped with storage facilities for street clothes and separate storage facilities for the protective clothing shall be provided.
(b) Where working clothes are provided by the employer and become wet or are washed between shifts, provision shall be made to ensure that such clothing is dry before reuse.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
§3368. Consumption of Food and Beverages.
Note     •     History

(a) Application. This Section shall apply only where employees are permitted to consume food or beverages, or both, on the premises.
(b) Prohibited Areas. Food and beverages shall not be stored or consumed in a toilet room or in an area where they may be contaminated by any toxic material.
EXEMPTION: Penal institution gun posts containing a water closet and lavoratory and only one occupant per shift.
(c) Waste Disposal Containers. Receptacles constructed of smooth, corrosion-resistant, easily cleanable or disposable materials shall be provided and used for the disposal of food waste. The number, size and location of such receptacles shall encourage their use and not result in over filling. Receptacles containing food waste shall be emptied not less than once each working day and shall be maintained in a clean and sanitary condition. They shall be provided with solid, tight-fitting covers unless sanitary conditions can be maintained without the use of covers.
(d) Food Handling/Service. All facilities providing food or beverage service for employees shall be operated in accordance with sound hygienic principles. Food shall be processed, prepared, handled, served and stored in such a manner as to be protected against contamination and spoilage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (b) and (d) filed 9-19-80; effective thirtieth day thereafter (Register 80, No. 38).
§3369. Public Health. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-17-86; effective thirtieth day thereafter (Register 86, No. 3).
§3370. Nonwater Carriage Disposal Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3371. Privy Specifications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3372. Chemical Toilet Specifications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3373. Seepage Pit Construction. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3374. Combustion Toilet. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3375. Recirculating Toilet Specifications. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4).
§3376. Portable Toilet Construction. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 1-23-81; effective thirtieth day thereafter (Register 81, No. 4). 
Article 10. Personal Safety Devices and Safeguards
§3380. Personal Protective Devices.
Note     •     History

(a) Protection where modified by the words head, eye, body, hand, and foot, as required by the orders in this article means the safeguarding obtained by means of safety devices and safeguards of the proper type for the exposure and of such design, strength and quality as to eliminate, preclude or mitigate the hazard.

Note: In order that safety devices or safeguards, which may include personal protective equipment, be acceptable as to proper type, design, strength and quality they shall be at least equivalent to those complying with the standards approved by The American National Standards Institute, Bureau of Standards, or other recognized authorities, except that where no authoritative standard exists for a safety device or safeguard, the use of such safeguard or safety device shall be subject to inspection and acceptance or rejection by the Division.
(b) Protective equipment shall be distinctly marked so as to facilitate identification of the manufacturer.

Exception: Employer manufactured shields, barriers, etc.
(c) The employer shall assure that the employee is instructed and uses protective equipment in accordance with the manufacturer's instructions.
(d) The employer shall assure that all personal protective equipment, whether employer-provided or employee-provided, complies with the applicable Title 8 standards for the equipment. The employer shall assure this equipment is maintained in a safe, sanitary condition.
(e) Protectors shall be of such design, fit and durability as to provide adequate protection against the hazards for which they are designed. They shall be reasonably comfortable and shall not unduly encumber the employee's movements necessary to perform his work.
(f) Hazard assessment and equipment selection.
(1) The employer shall assess the workplace to determine if hazards are present, or are likely to be present, which necessitate the use of personal protective equipment (PPE). If such hazards are present, or likely to be present, the employer shall:
(A) Select, and have each affected employee use, the types of PPE that will protect the affected employee from the hazards identified in the hazard assessment;
(B) Communicate selection decisions to each affected employee; and,
(C) Select PPE that properly fits each affected employee.
Note: Non-mandatory Appendix A contains an example of procedures that would comply with the requirement for a hazard assessment. 
(2) The employer shall verify that the required workplace hazard assessment has been performed through a written certification that identifies the workplace evaluated; the person certifying that the evaluation has been performed; the date(s) of the hazard assessment; and, which identifies the document as a certification of hazard assessment.
(3) Defective and damaged equipment. Defective or damaged personal protective equipment shall not be used.
(4) Training. The employer shall provide training to each employee who is required by this section to use PPE. Each such employee shall be trained to know at least the following:
(A) When PPE is necessary;
(B) What PPE is necessary;
(C) How to properly don, doff, adjust, and wear PPE;
(D) The limitations of the PPE; and,
(E) The proper care, maintenance, useful life and disposal of the PPE.
(5) Each affected employee shall demonstrate an understanding of the training specified in subsection (f)(4) of this section, and the ability to use PPE properly, before being allowed to perform work requiring the use of PPE.
(6) When the employer has reason to believe that any affected employee who has already been trained does not have the understanding and skill required by subsection (f)(5) of this section, the employer shall retrain each such employee. Circumstances where retraining is required include, but are not limited to, situations where:
(A) Changes in the workplace render previous training obsolete; or
(B) Changes in the types of PPE to be used render previous training obsolete; or
(C) Inadequacies in an affected employee's knowledge or use of assigned PPE indicate that the employee has not retained the requisite understanding or skill.
(7) The employer shall verify that each affected employee has received and understood the required training through a written certification that contains the name of each employee trained, the date(s) of training, and that identifies the subject of the certification.
(8) Subsections (f)(1) and (2) and (f)(4) through (7) of this section apply only to Sections 3381, 3382, 3384 and 3385 of these Orders. Subsections (f)(1) and (2) and (f)(4) through (7) of this section do not apply to Section 5144 of these Orders and Section 2940.6 of the High Voltage Electrical Safety Orders. Subsection (f) does not apply to workplace operations regulated by the Construction Safety Orders or the Mine Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsection (c) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment of subsection (d) and amendment of Note filed 12-30-2004; operative 1-29-2005 (Register 2004, No. 53).
4. New subsections (f)-(f)(8) filed 4-13-2011; operative 4-13-2011. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 15).

Appendix A

Non-Mandatory Appendix A
This Appendix is intended to provide compliance assistance for employers and employees in implementing requirements for a hazard assessment and the selection of personal protective equipment. 
1. Controlling hazards. PPE devices alone should not be relied on to provide protection against hazards, but should be used in conjunction with guards, engineering controls, and sound manufacturing practices. 
2. Assessment and selection. It is necessary to consider certain general guidelines for assessing the foot, head, eye and face, and hand hazard situations that exist in an occupational or educational operation or process, and to match the protective devices to the particular hazard. It should be the responsibility of the safety officer to exercise common sense and appropriate expertise to accomplish these tasks. 
3. Assessment guidelines. In order to assess the need for PPE the following steps should be taken: 
a. Survey. Conduct a walk-through survey of the areas in question. The purpose of the survey is to identify sources of hazards to workers and co-workers. Consideration should be given to the basic hazard categories: 
(a) Impact 
(b) Penetration 
(c) Compression (roll-over) 
(d) Chemical 
(e) Heat 
(f) Harmful dust 
(g) Light (optical) radiation 
b. Sources. During the walk-through survey the safety officer should observe: 
(a) sources of motion; i.e., machinery or processes where any movement of tools, machine elements or particles could exist, or movement of personnel that could result in collision with stationary objects; 
(b) sources of high temperatures that could result in burns, eye injury or ignition of protective equipment, etc.; 
(c) types of chemical exposures; 
(d) sources of harmful dust; 
(e) sources of light radiation, i.e., welding, brazing, cutting, furnaces, heat treating, high intensity lights, etc.; 
(f) sources of falling objects or potential for dropping objects; 
(g) sources of sharp objects which might pierce the feet or cut the hands; 
(h) sources of rolling or pinching objects which could crush the feet; 
(i) layout of workplace and location of co-workers; and 
(j) any electrical hazards. In addition, injury/accident data should be reviewed to help identify problem areas. 
c. Organize data. Following the walk-through survey, it is necessary to organize the data and information for use in the assessment of hazards. The objective is to prepare for an analysis of the hazards in the environment to enable proper selection of protective equipment. 
d. Analyze data. Having gathered and organized data on a workplace, an estimate of the potential for injuries should be made. Each of the basic hazards (subsection 3.a.) should be reviewed and a determination made as to the type, level of risk, and seriousness of potential injury from each of the hazards found in the area. The possibility of exposure to several hazards simultaneously should be considered. 
4. Selection guidelines. After completion of the procedures in subsection 3, the general procedure for selection of protective equipment is to: 
(a) Become familiar with the potential hazards and the type of protective equipment that is available, and what it can do; i.e., splash protection, impact protection, etc.; 
(b) compare the hazards associated with the environment; i.e., impact velocities, masses, projectile shape, radiation intensities, with the capabilities of the available protective equipment; 
(c) select the protective equipment which ensures a level of protection greater than the minimum required to protect employees from the hazards; and 
(d) fit the user with the protective device and give instructions on care and use of the PPE. It is very important that end users be made aware of all warning labels for and limitations of their PPE. 
5. Fitting the device. Careful consideration must be given to comfort and fit. PPE that fits poorly will not afford the necessary protection. Continued wearing of the device is more likely if it fits the wearer comfortably. Protective devices are generally available in a variety of sizes. Care should be taken to ensure that the right size is selected. 
6. Devices with adjustable features. Adjustments should be made on an individual basis for a comfortable fit that will maintain the protective device in the proper position. Particular care should be taken in fitting devices for eye protection against dust and chemical splash to ensure that the devices are sealed to the face. In addition, proper fitting of helmets is important to ensure that it will not fall off during work operations. In some cases a chin strap may be necessary to keep the helmet on an employee's head. (Chin straps should break at a reasonably low force, however, so as to prevent a strangulation hazard). Where manufacturer's instructions are available, they should be followed carefully. 
7. Reassessment of hazards. It is the responsibility of the safety officer to reassess the workplace hazard situation as necessary, by identifying and evaluating new equipment and processes, reviewing accident records, and reevaluating the suitability of previously selected PPE. 
8. Selection chart guidelines for eye and face protection. Some occupations (not a complete list) for which eye protection should be routinely considered are: carpenters, electricians, machinists, mechanics and repairers, millwrights, plumbers and pipe fitters, sheet metal workers and tinsmiths, assemblers, sanders, grinding machine operators, lathe and milling machine operators, sawyers, welders, laborers, chemical process operators and handlers, and timber cutting and logging workers. The following chart provides general guidance for the proper selection of eye and face protection to protect against hazards associated with the listed hazard “source” operations.

View Graphic
Notes to Eye and Face Protection Selection Chart: 
(1) Care should be taken to recognize the possibility of multiple and simultaneous exposure to a variety of hazards. Adequate protection against the highest level of each of the hazards should be provided. Protective devices do not provide unlimited protection. 
(2) Operations involving heat may also involve light radiation. As required by the standard, protection from both hazards must be provided. 
(3) Faceshields should only be worn over primary eye protection (spectacles or goggles). 
(4) As required by the standard, filter lenses must meet the requirements for shade designations in Section 3382. Tinted and shaded lenses are not filter lenses unless they are marked or identified as such. 
(5) As required by the standard, persons whose vision requires the use of prescription (Rx) lenses must wear either protective devices fitted with prescription (Rx) lenses or protective devices designed to be worn over regular prescription (Rx) eyewear. 
(6) Wearers of contact lenses must also wear appropriate eye and face protection devices in a hazardous environment. It should be recognized that dusty and/or chemical environments may represent an additional hazard to contact lens wearers. 
(7) Caution should be exercised in the use of metal frame protective devices in electrical hazard areas. 
(8) Atmospheric conditions and the restricted ventilation of the protector can cause lenses to fog. Frequent cleansing may be necessary. 
(9) Welding helmets or faceshields should be used only over primary eye protection (spectacles or goggles). 
(10) Non-sideshield spectacles are available for frontal protection only, but are not acceptable eye protection for the sources and operations listed for “impact.” 
(11) Ventilation should be adequate, but well protected from splash entry. Eye and face protection should be designed and used so that it provides both adequate ventilation and protects the wearer from splash entry. 
(12) Protection from light radiation is directly related to filter lens density. See note (4). Select the darkest shade that allows task performance. 
9. Selection guidelines for head protection. All head protection (helmets) is designed to provide protection from impact and penetration hazards caused by falling objects. Head protection is also available which provides protection from electric shock and burn. When selecting head protection, knowledge of potential electrical hazards is important. Class A helmets, in addition to impact and penetration resistance, provide electrical protection from low-voltage conductors (they are proof tested to 2,200 volts). Class B helmets, in addition to impact and penetration resistance, provide electrical protection from high-voltage conductors (they are proof tested to 20,000 volts). Class C helmets provide impact and penetration resistance (they are usually made of aluminum which conducts electricity), and should not be used around electrical hazards. 
Where falling object hazards are present, helmets must be worn. Some examples include: working below other workers who are using tools and materials which could fall; working around or under conveyor belts which are carrying parts or materials; working below machinery or processes which might cause material or objects to fall; and working on exposed energized conductors. 
Some examples of occupations for which head protection should be routinely considered are: carpenters, electricians, linemen, mechanics and repairers, plumbers and pipe fitters, assemblers, packers, wrappers, sawyers, welders, laborers, freight handlers, timber cutting and logging, stock handlers, and warehouse laborers. 
10. Selection guidelines for foot protection. Safety shoes and boots which meet either the ANSI Z41-1999 or the American Society for Testing and Materials (ASTM) F2412-05 and ASTM F2413-5 Standards provide both impact and compression protection. Where necessary, safety shoes can be obtained which provide puncture protection. In some work situations, metatarsal protection should be provided, and in other special situations electrical conductive or insulating safety shoes would be appropriate. 
Safety shoes or boots with impact protection would be required for carrying or handling materials such as packages, objects, parts or heavy tools, which could be dropped; and, for other activities where objects might fall onto the feet. Safety shoes or boots with compression protection would be required for work activities involving skid trucks (manual material handling carts) around bulk rolls (such as paper rolls) and around heavy pipes, all of which could potentially roll over an employee's feet. Safety shoes or boots with puncture protection would be required where sharp objects such as nails, wire, tacks, screws, large staples, scrap metal etc., could be stepped on by employees causing a foot injury. 
Some occupations (not a complete list) for which foot protection should be routinely considered are: shipping and receiving clerks, stock clerks, carpenters, electricians, machinists, mechanics and repairers, plumbers and pipe fitters, structural metal workers, assemblers, drywall installers and lathers, packers, wrappers, craters, punch and stamping press operators, sawyers, welders, laborers, freight handlers, gardeners and grounds-keepers, timber cutting and logging workers, stock handlers and warehouse laborers. 
11. Selection guidelines for hand protection. Gloves are often relied upon to prevent cuts, abrasions, burns, and skin contact with chemicals that are capable of causing local or systemic effects following dermal exposure. The Division of Occupational Safety and Health is unaware of any gloves that provide protection against all potential hand hazards, and commonly available glove materials provide only limited protection against many chemicals. Therefore, it is important to select the most appropriate glove for a particular application and to determine how long it can be worn, and whether it can be reused. 
It is also important to know the performance characteristics of gloves relative to the specific hazard anticipated; e.g., chemical hazards, cut hazards, flame hazards, etc. These performance characteristics should be assessed by using standard test procedures. Before purchasing gloves, the employer should request documentation from the manufacturer that the gloves meet the appropriate test standard(s) for the hazard(s) anticipated. Other factors to be considered for glove selection in general include: 
(A) As long as the performance characteristics are acceptable, in certain circumstances, it may be more cost effective to regularly change cheaper gloves than to reuse more expensive types; and, 
(B) The work activities of the employee should be studied to determine the degree of dexterity required, the duration, frequency, and degree of exposure of the hazard, and the physical stresses that will be applied. 
With respect to selection of gloves for protection against chemical hazards: 
(A) The toxic properties of the chemical(s) must be determined; in particular, the ability of the chemical to cause local effects on the skin and/or to pass through the skin and cause systemic effects; 
(B) Generally, any “chemical resistant” glove can be used for dry powders; 
(C) For mixtures and formulated products (unless specific test data are available), a glove should be selected on the basis of the chemical component with the shortest breakthrough time, since it is possible for solvents to carry active ingredients through polymeric materials; and, 
(D) Employees must be able to remove the gloves in such a manner as to prevent skin contamination. 
12. Cleaning and maintenance. It is important that all PPE be kept clean and properly maintained. Cleaning is particularly important for eye and face protection where dirty or fogged lenses could impair vision. 
For the purposes of compliance with Section 3380(a) and (d), PPE should be inspected, cleaned, and maintained at regular intervals so that the PPE provides the requisite protection. 
It is also important to ensure that contaminated PPE which cannot be decontaminated is disposed of in a manner that protects employees from exposure to hazards. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A filed 4-13-2011; operative 4-13-2011. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 15).
§3381. Head Protection.
Note     •     History

(a) Employees working in locations where there is a risk of receiving head injuries from flying or falling objects and/or electric shock and burns shall wear approved head protection in accordance with subsections (b) and (c).
(b) When head protection is required, the employer shall ensure that approved protective helmets are selected and used in accordance with their demonstrated resistance to impact and electrical hazards as specified in subsections (b)(1) and (b)(2).
(1) Protective helmets placed in service after October 30, 2004 shall comply with American National Standards Institute (ANSI) Z89.1-1997 Industrial Head Protection, which is hereby incorporated by reference. The employer shall ensure that the appropriate class of ANSI designated helmet is selected and used in accordance with the following:
(A) When there is no risk of head injury from contact with electrical conductors, and protective helmets are only required to reduce the danger of injury from flying or falling objects, protective helmets shall be ANSI approved Class C, E, or G.
(B) When there is a risk of head injury from contact with conductors less than 600 volts, protective helmets shall be ANSI approved Class E or G.
(C) When there is a risk of head injury from contact with conductors greater than 600 volts, protective helmets shall be ANSI approved Class E.
(2) Protective helmets placed in service on or before October 30, 2004 shall comply with one of the following ANSI standards, which are hereby incorporated by reference: ANSI Z89.1-1969 Safety Requirements for Industrial Head Protection; ANSI Z89.2-1971 Industrial Protective Helmets for Electrical Workers, Class B; ANSI Z89.1-1981 Requirements for Protective Headwear for Industrial Workers; ANSI Z89.1-1986 Protective Headwear for Industrial Workers -- Requirements; or ANSI Z89.1-1997 Industrial Head Protection. The employer shall ensure that the appropriate class of ANSI designated helmet is selected and used in accordance with the following:
(A) When there is no risk of head injury from contact with electrical conductors, and protective helmets are only required to reduce the danger of injury from flying or falling objects, protective helmets shall be ANSI approved Class A, B, C, D, E, or G.
(B) When there is a risk of head injury from contact with conductors less than 600 volts, protective helmets shall be ANSI approved Class A, B, D, E, or G.
(C) When there is a risk of head injury from contact with conductors greater than 600 volts, protective helmets shall be ANSI approved Class B or E.
(c) Each approved protective helmet required by subsection (a) shall bear the original marking required by the ANSI standard under which it was approved. At a minimum, the marking shall identify the manufacturer, ANSI designated standard number and date, and ANSI designated class of helmet.
(d) Where there is a risk of injury from hair entanglements in moving parts of machinery, combustibles or toxic contaminants, employees shall confine their hair to eliminate the hazard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsection (a) and newly designated subsection (b)(1), new subsection (b)(2), repealer of subsection (c), subsection relettering, and new Note filed 12-13-94; operative 1-12-95 (Register 94, No. 50).
3. Amendment filed 9-30-2004; operative 10-30-2004 (Register 2004, No. 40).
§3382. Eye and Face Protection.
Note     •     History

(a) Employees working in locations where there is a risk of receiving eye injuries such as punctures, abrasions, contusions, or burns as a result of contact with flying particles, hazardous substances, projections or injurious light rays which are inherent in the work or environment, shall be safeguarded by means of face or eye protection. Suitable screens or shields isolating the hazardous exposure may be considered adequate safeguarding for nearby employees.
The employer shall provide and ensure that employees use protection suitable for the exposure.
(b) Where exposed to injurious light rays, the shade of lens to use in any instance shall be selected in accordance with the following table.
Protection against radiant energy--Selection of shade numbers for welding filter. Table EP-1 shall be used as a guide for the selection of the proper shade numbers of filter lenses or plates used in welding. Shade more dense than those listed may be used to suit the individual's needs.

TABLE EP-1--FILTER LENS SHADE NUMBERS FOR PROTECTION AGAINST RADIANT ENERGY

	Shade
Welding operation	number

Shielded metal-arc welding 1 1/16-, 3/32-, 1/8, 5/32-inch
  diameter electrodes	 10
Gas-shielded arc welding (nonferrous) 1/16-, 3/32-, 1/8-,
  5/32-inch diameter electrodes	 11
Gas-shielded arc welding (ferrous) 1/16-, 3/32-, 1/8-,
  5/32-inch diameter electrodes	 12
Shielded metal-arc welding 3/16-, 7/32-, 1/4-inch diameter electrodes	 12
5/16-, 3/8-inch diameter electrodes	 14
Atomic hydrogen welding	 10-14
Carbon-arc welding	 14
Soldering	 2
Torch brazing	 3 or 4
Light cutting, up to 1 inch	 3 or 4
Medium cutting, 1 inch to 6 inches	 4 or 5
Heavy cutting, over 6 inches	 5 or 6
Gas welding (light), up to 1/8-inch	 4 or 5
Gas welding (medium), 1/8-inch to 1/2-inch	 5 or 6
Gas welding (heavy), over 1/2-inch	 6 or 8

(c) Where eye protection is required and the employee requires vision correction, such eye protection shall be provided as follows:
(1) Safety spectacles with suitable corrected lenses, or
(2) Safety goggles designed to fit over spectacles, or
(3) Protective goggles with corrective lenses mounted behind the protective lenses.
Note: wearing of contact lens is prohibited in working environments having harmful exposure to materials or light flashes, except when special precautionary procedures, which are medically approved, have been established for the protection of the exposed employee.
(d)(1) Design, construction, testing and use of devices for eye and face protection purchased after January 12, 1995 shall be in accordance with American National Standard, Practice for Occupational and Educational Eye and Face Protection, Z87.1-1989, which is hereby incorporated by reference, except that integral lens and frame design will be allowed if the lens frame combination provides unit strength, as well as impact, penetration, heat and flammability resistance, optical qualities and eye zone coverage equal to or greater than is required by ANSI Z87.1-1989.
(2) Eye and face protection purchased on or before January 12, 1995 shall be designed, constructed, and used in accordance with American National Standard (ANSI) Z87.1-1968, which is hereby incorporated by reference.
(3) Side shield protection shall be used whenever the hazard of flying objects is angular as well as frontal.
(e) Laser Protection. Employees whose occupation or assignment requires exposure to laser beams shall be furnished suitable laser safety goggles which will protect for the specific wavelength of the laser and be of optical density (O.D.) adequate for the energy involved. Table EP-2 lists the maximum power or energy density for which adequate protection is afforded by glasses of optical densities from 5 through 8.

TABLE EP-2--SELECTING LASER SAFETY GLASS
Output levels falling between lines in this table shall require the higher optical density.
(1) All protective goggles shall bear a label identifying the following data:
(A) The laser wavelengths for which use is intended;
(B) The optical density of those wavelengths;
(C) The visible light transmission.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of subsection (d) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
3. Amendment of subsection (a) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
4. Amendment of subsection (a) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
5. Amendment of newly designated subsection (d)(1) and new subsection (d)(2) filed 12-13-94; operative 1-12-95 (Register 94, No. 50).
6. New subsection (d)(3) filed 9-30-96; operative 10-30-96 (Register 96, No. 40).
§3383. Body Protection.

(a) Body protection may be required for employees whose work exposes parts of their body, not otherwise protected as required by other orders in this article, to hazardous or flying substances or objects.
(b) Clothing appropriate for the work being done shall be worn. Loose sleeves, tails, ties, lapels, cuffs, or other loose clothing which can be entangled in moving machinery shall not be worn.
(c) Clothing saturated or impregnated with flammable liquids, corrosive substances, irritants or oxidizing agents shall be removed and shall not be worn until properly cleaned.
§3384. Hand Protection.
Note     •     History

(a) Hand protection shall be required for employees whose work involves unusual and excessive exposure of hands to cuts, burns, harmful physical or chemical agents or radioactive materials which are encountered and capable of causing injury or impairments.
(b) Hand protection, such as gloves, shall not be worn where there is a danger of the hand protection becoming entangled in moving machinery or materials.

Exception: Machinery or equipment provided with a momentary contact device as defined in Section 3941.
NOTE: 1.  As used in subsection (b) the term entangled refers to hand protection (gloves) being caught and pulled into the danger zone of machinery/equipment. Use of hand protection around smooth surfaced rotating equipment does not constitute an entanglement hazard if it is unlikely that the hand protection will be drawn into the danger zone.
NOTE: 2. Wrist watches, rings, or other jewelry should not be worn while working with or around machinery with moving parts in which such objects may be caught, or around electrically energized equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36).
2. Amendment filed 1-14-88 operative 2-13-88 (Register 88, No.4)
3. Amendment of subsection (b) filed 7-8-93; operative 8-9-93 (Register 93, No. 28).
4. Change without regulatory effect amending Exception and Note, including redesignation of section 3386 to Note 2, filed 1-12-94; operative 2-11-94 (Register 94, No. 2).
§3385. Foot Protection.
Note     •     History

(a) Appropriate foot protection shall be required for employees who are exposed to foot injuries from electrical hazards, hot, corrosive, poisonous substances, falling objects, crushing or penetrating actions, which may cause injuries or who are required to work in abnormally wet locations.
(b) Footwear which is defective or inappropriate to the extent that its ordinary use creates the possibility of foot injuries shall not be worn.
(c)(1) Protective footwear for employees purchased after January 26, 2007 shall meet the requirements and specifications in American Society for Testing and Materials (ASTM) F 2412-05, Standard Test Methods for Foot Protection and ASTM F 2413-05, Standard Specification for Performance Requirements for Foot Protection which are hereby incorporated by reference.
(2) Protective footwear purchased on or before January 26, 2007 shall meet the requirements of either the American National Standard for Personal Protection--Protective Footwear, American National Standards Institute (ANSI) Z41-1999, or the American Society for Testing and Materials (ASTM) F2412-05, Standard Test Methods for Foot Protection and ASTM F 2413-05, Standard Specification for Performance Requirements for Foot Protection which are hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of newly designated subsection (c)(1), new subsection (c)(2) and new Note filed 12-13-94; operative 1-12-95 (Register 94, No. 50).
3. Amendment of subsection (a) filed 9-30-96; operative 10-30-96 (Register 96, No. 40).
4. Amendment of subsections (c)(1)-(2) filed 12-27-2006; operative 1-26-2007 (Register 2006, No. 52). For prior history, see Register 96, No. 40.
5. Amendment of subsection (c)(2) filed 8-31-2009; operative 9-30-2009 (Register 2009, No. 36).
§3386. Jewelry. [Renumbered]
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Change without regulatory effect redesignating section 3386 to Note 2 of  section 3384 filed 1-12-94; operative 2-11-94 (Register 94, No. 2).
§3387. Sanitation.
History

Protectors shall be capable of being cleaned easily and disinfected. These protectors shall be kept clean and in good repair. Safety devices, including protective clothing worn by the employee, shall not be interchanged among the employees until properly cleaned. Where the division has determined that ordinary cleaning will not remove risk of infection, additional precautionary measures may be required.

Exception: Safety devices worn over shoes or outer clothing, no part of which contacts the skin of the wearer, such as metal footguards.
HISTORY

1. Repealer and new section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28). 
§3388. Safety Belts and Life Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note  filed 5-20-99; operative 6-19-99 (Register 99, No. 21).
§3389. Life Rings and Personal Flotation Devices.
Note     •     History

(a) At least one U.S. Coast Guard approved 30-inch life ring with not less than 90 feet of 600 pound capacity line attached shall be kept in a conveniently accessible place where employees work exposes them to the hazard of drowning or each employee so exposed shall wear a U.S. Coast Guard approved personal flotation device.

Exception: Flume Patrol. Flumes provided with caps as described in Section 3207.
(b) Any personal flotation device shall be approved by the United States Coast Guard as a Type I PFD, Type II PFD, Type III PFD, or their equivalent, pursuant to 46 CFR 160 (Coast Guard Lifesaving Equipment Specifications) and 33 CFR 175.23 (Coast Guard table of devices equivalent to personal flotation devices.)
(c) Personal flotation devices shall be maintained in good condition. They shall be removed from service when damaged so as to affect their buoyant properties or capability of being fastened.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment of subsections (a) and (b) and new Note filed 6-7-96; operative 7-7-96 (Register 96, No. 23).
§3390. Protection from Electric Shock.
Note     •     History

Protection from electric shock shall be provided and used as required by the High- and Low-Voltage Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Repealer and new section filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
§3395. Heat Illness Prevention in Outdoor Places of Employment.
Note     •     History

(a) Scope and Application. 
(1) This standard applies to all outdoor places of employment. 

Exception: If an industry is not listed in subsection (a)(2), employers in that industry are not required to comply with subsection (e), High-heat procedures. 
(2) List of industries subject to all provisions of this standard, including subsection (e):
(A) Agriculture
(B) Construction
(C) Landscaping
(D) Oil and gas extraction 
(E) Transportation or delivery of agricultural products, construction materials or other heavy materials (e.g. furniture, lumber, freight, cargo, cabinets, industrial or commercial materials), except for employment that consists of operating an air-conditioned vehicle and does not include loading or unloading. 
(3) This section applies to the control of risk of occurrence of heat illness. This is not intended to exclude the application of other sections of Title 8, including, but not necessarily limited to, sections 1512, 1524, 3203, 3363, 3400, 3439, 3457, 6251, 6512, 6969, 6975, 8420 and 8602(e). 
Note No. 1: The measures required here may be integrated into the employer's written Injury and Illness Program required by section 3203, or maintained in a separate document.
Note No. 2: This standard is enforceable by the Division of Occupational Safety and Health pursuant to Labor Code sections 6308 and 6317 and any other statutes conferring enforcement powers upon the Division. It is a violation of Labor Code sections 6310, 6311, and 6312 to discharge or discriminate in any other manner against employees for exercising their rights under this or any other provision offering occupational safety and health protection to employees.
(b) Definitions.
“Acclimatization” means temporary adaptation of the body to work in the heat that occurs gradually when a person is exposed to it. Acclimatization peaks in most people within four to fourteen days of regular work for at least two hours per day in the heat.
“Heat Illness” means a serious medical condition resulting from the body's inability to cope with a particular heat load, and includes heat cramps, heat exhaustion, heat syncope and heat stroke.
“Environmental risk factors for heat illness” means working conditions that create the possibility that heat illness could occur, including air temperature, relative humidity, radiant heat from the sun and other sources, conductive heat sources such as the ground, air movement, workload severity and duration, protective clothing and personal protective equipment worn by employees.
“Landscaping” means providing landscape care and maintenance services and/or installing trees, shrubs, plants, lawns, or gardens, or providing these services in conjunction with the design of landscape plans and/or the construction (i.e., installation) of walkways, retaining walls, decks, fences, ponds, and similar structures, except for employment by an employer who operates a fixed establishment where the work is to be performed and where drinking water is plumbed.
“Oil and gas extraction” means operating and/or developing oil and gas field properties, exploring for crude petroleum or natural gas, mining or extracting of oil or gas or recovering liquid hydrocarbons from oil or gas field gases. 
“Personal risk factors for heat illness” means factors such as an individual's age, degree of acclimatization, health, water consumption, alcohol consumption, caffeine consumption, and use of prescription medications that affect the body's water retention or other physiological responses to heat.
“Shade” means blockage of direct sunlight. One indicator that blockage is sufficient is when objects do not cast a shadow in the area of blocked sunlight. Shade is not adequate when heat in the area of shade defeats the purpose of shade, which is to allow the body to cool. For example, a car sitting in the sun does not provide acceptable shade to a person inside it, unless the car is running with air conditioning. Shade may be provided by any natural or artificial means that does not expose employees to unsafe or unhealthy conditions. 
“Temperature” means the dry bulb temperature in degrees Fahrenheit obtainable by using a thermometer to measure the outdoor temperature in an area where there is no shade. While the temperature measurement must be taken in an area with full sunlight, the bulb or sensor of the thermometer should be shielded while taking the measurement, e.g., with the hand or some other object, from direct contact by sunlight. 
(c) Provision of water. Employees shall have access to potable drinking water meeting the requirements of Sections 1524, 3363, and 3457, as applicable. Where drinking water is not plumbed or otherwise continuously supplied, it shall be provided in sufficient quantity at the beginning of the work shift to provide one quart per employee per hour for drinking for the entire shift. Employers may begin the shift with smaller quantities of water if they have effective procedures for replenishment during the shift as needed to allow employees to drink one quart or more per hour. The frequent drinking of water, as described in subsection (f)(1)(C), shall be encouraged.
(d) Access to shade. 
(1) Shade required to be present when the temperature exceeds 85 degrees Fahrenheit. When the outdoor temperature in the work area exceeds 85 degrees Fahrenheit, the employer shall have and maintain one or more areas with shade at all times while employees are present that are either open to the air or provided with ventilation or cooling. The amount of shade present shall be at least enough to accommodate 25% of the employees on the shift at any time, so that they can sit in a normal posture fully in the shade without having to be in physical contact with each other. The shaded area shall be located as close as practicable to the areas where employees are working.
(2) Shade required to be available when the temperature does not exceed 85 degrees Fahrenheit. When the outdoor temperature in the work area does not exceed 85 degrees Fahrenheit employers shall either provide shade as per subsection (d)(1) or provide timely access to shade upon an employee's request. 
(3) Employees shall be allowed and encouraged to take a cool-down rest in the shade for a period of no less than five minutes at a time when they feel the need to do so to protect themselves from overheating. Such access to shade shall be permitted at all times.
Exceptions to subsection (d): 
(1) Where the employer can demonstrate that it is infeasible or unsafe to have a shade structure, or otherwise to have shade present on a continuous basis, the employer may utilize alternative procedures for providing access to shade if the alternative procedures provide equivalent protection. 
(2) Except for employers in the agricultural industry, cooling measures other than shade (e.g., use of misting machines) may be provided in lieu of shade if the employer can demonstrate that these measures are at least as effective as shade in allowing employees to cool.
(e) High-heat procedures. The employer shall implement high-heat procedures when the temperature equals or exceeds 95 degrees Fahrenheit. These procedures shall include the following to the extent practicable:
(1) Ensuring that effective communication by voice, observation, or electronic means is maintained so that employees at the work site can contact a supervisor when necessary. An electronic device, such as a cell phone or text messaging device, may be used for this purpose only if reception in the area is reliable. 
(2) Observing employees for alertness and signs or symptoms of heat illness.
(3) Reminding employees throughout the work shift to drink plenty of water.
(4) Close supervision of a new employee by a supervisor or designee for the first 14 days of the employee's employment by the employer, unless the employee indicates at the time of hire that he or she has been doing similar outdoor work for at least 10 of the past 30 days for 4 or more hours per day. 
(f) Training.
(1) Employee training. Effective training in the following topics shall be provided to each supervisory and non-supervisory employee before the employee begins work that should reasonably be anticipated to result in exposure to the risk of heat illness:
(A) The environmental and personal risk factors for heat illness, as well as the added burden of heat load on the body caused by exertion, clothing, and personal protective equipment.
(B) The employer's procedures for complying with the requirements of this standard.
(C) The importance of frequent consumption of small quantities of water, up to 4 cups per hour, when the work environment is hot and employees are likely to be sweating more than usual in the performance of their duties.
(D) The importance of acclimatization.
(E) The different types of heat illness and the common signs and symptoms of heat illness.
(F) The importance to employees of immediately reporting to the employer, directly or through the employee's supervisor, symptoms or signs of heat illness in themselves, or in co-workers.
(G) The employer's procedures for responding to symptoms of possible heat illness, including how emergency medical services will be provided should they become necessary.
(H) The employer's procedures for contacting emergency medical services, and if necessary, for transporting employees to a point where they can be reached by an emergency medical service provider.
(I) The employer's procedures for ensuring that, in the event of an emergency, clear and precise directions to the work site can and will be provided as needed to emergency responders. These procedures shall include designating a person to be available to ensure that emergency procedures are invoked when appropriate. 
(2) Supervisor training. Prior to supervising employees performing work that should reasonably be anticipated to result in exposure to the risk of heat illness effective training on the following topics shall be provided to the supervisor:
(A) The information required to be provided by section (f)(1) above.
(B) The procedures the supervisor is to follow to implement the applicable provisions in this section.
(C) The procedures the supervisor is to follow when an employee exhibits symptoms consistent with possible heat illness, including emergency response procedures.
(D) How to monitor weather reports and how to respond to hot weather advisories.
(3) The employer's procedures for complying with each requirement of this standard required by subsections (f)(1)(B), (G), (H), and (I) shall be in writing and shall be made available to employees and to representatives of the Division upon request.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-22-2005 as an emergency; operative 8-22-2005 (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-20-2005 as an emergency; operative 12-20-2005 (Register 2005, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-19-2006 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-19-2006 as an emergency; operative 4-19-2006 (Register 2006, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-17-2006 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-19-2006 order, including amendment of section heading and section, transmitted to OAL 6-16-2006 and filed 7-27-2006 (Register 2006, No. 30).
5. Amendment filed 10-5-2010; operative 11-4-2010 (Register 2010, No. 41).
§3400. Medical Services and First Aid.
Note     •     History

(a) Employer shall ensure the ready availability of medical personnel for advice and consultation on matters of industrial health or injury.
(b) In the absence of an infirmary, clinic, or hospital, in near proximity to the workplace, which is used for the treatment of all injured employees, a person or persons shall be adequately trained to render first aid. Training shall be equal to that of the American Red Cross or the Mine Safety and Health Administration.
(c) There shall be adequate first-aid materials, approved by the consulting physician, readily available for employees on every job. Such materials shall be kept in a sanitary and usable condition. A frequent inspection shall be made of all first-aid materials, which shall be replenished as necessary.
(d) Where the eyes or body of any person may be exposed to injurious corrosive materials, suitable facilities for quick drenching or flushing of the eyes and body shall be provided within the work area for immediate emergency use.
(e) Stretchers and blankets, or other adequate warm covering, may be required by the Division, unless ambulance service is available within 30 minutes under normal conditions.
(f) Effective provisions shall be made in advance for prompt medical treatment in the event of serious injury or illness. This shall be accomplished by one or a combination of the following that will avoid unnecessary delay in treatment:
(1) A communication system for contacting a doctor or emergency medical service, such as access to 911 or equivalent telephone system. The communication system or employees using the system shall have the ability to direct emergency services to the location of the injured or ill employee.
(2) Readily accessible and available on-site treatment facilities suitable for treatment of reasonably anticipated injury and illness.
(3) Proper equipment for prompt medical transport when transportation of injured or ill employees is necessary and appropriate.

Note: Medical services and first aid provisions for electrical workers shall also comply with Sections 2320.10 (Low-Voltage) and 2940.10 (High-Voltage) as applicable. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-1-73; effective thirtieth day thereafter (Register 73, No. 44).
2. Renumbering from Section 3390 filed 7-11-74; effective thirtieth day thereafter (Register 74, No. 28).
3. Editorial correction (Register 76, No. 16).
4. Amendment of subsection (b) filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
5. Amendment of subsections (b)-(c) and (f) and new subsections (f)(1)-(3) and Note filed 8-27-2009; operative 9-26-2009 (Register 2009, No. 35).
6. New subsection (f) -- Note filed 10-27-2011; operative 10-27-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3 (Register 2011, No. 43).
Article 10.1. Personal Protective Clothing and Equipment for Fire Fighters
§3401. Application.
Note     •     History

(a) These Orders establish minimum requirements for personal protective clothing and equipment for fire fighters when exposed to the hazards of fire fighting activity, and take precedence over any other Safety Order with which they are inconsistent.
Sections 3403 through 3409, inclusive, apply to structural fire fighting as defined in Section 3402.
(b) General Requirements.
(1) Personal protective clothing and equipment specified in these Orders shall be provided and used whenever such employees are required to work in a hazardous environment that may be encountered during fire fighting activities or under similar conditions during training activities.
(2) The employer shall ensure the availability, maintenance, and use of all protective clothing and equipment in accordance with these Orders.
(3) Employees shall be instructed to wear or utilize appropriate personal protective clothing and equipment when directed to work in a hazardous environment until such time as the officer in charge determines that such protection is no longer required.
(4) Personal protective clothing and equipment that has become damaged or otherwise defective to the point of voiding its intended protection shall be removed from service.
(5) Fire fighters and other employees engaged in emergency activities requiring special protective techniques and equipment shall be trained in the appropriate techniques and provided with the necessary protective equipment.
(6) Employers shall develop and require use of a written plan covering the safe use, maintenance, utilization and replacement of the equipment required in these Orders, and all affected employees shall be trained in accordance with such plan.
(7) Employers shall ensure that new protective clothing and equipment provided be furnished with a statement of performance declaring that the product has been tested and meets the requirements of these Orders.
(c) Personal Alarms.
(1) Every fire fighter engaged in interior structural fire fighting activities requiring the use of self-contained breathing apparatus shall be provided with a personal alarm device. Alarm devices ordered or purchased after January 1, 1986, shall meet the requirements of Section 3401(c)(3)(B) and NFPA 1982 (1983). Each alarm device ordered or purchased prior to January 1, 1986 shall meet the following minimum requirements:
(2) Operation.
(A) Controls shall be incorporated in alarm devices for manual activation and reset, and shall be protected against accidental deactivation. Such controls shall be designed to be operated by a gloved hand.
(B) Alarm devices shall contain a motion detector which will activate the alarm if the fire fighter is motionless for not less than twenty (20) seconds nor more than forty (40) seconds. The alarm shall also include a pre-warning device to signal the fire fighter that the alarm is approaching the point of activation.
(3) Performance.
(A) Alarm devices shall emit a signal with a sound pressure level of not less than 85 dba measured at a distance of three (3) meters for not less than one (1) hour using an eighty percent (80%) charged battery. Signal frequency used shall not be less than 2000 Hz nor more than 4000 Hz.
(B) The alarm shall operate in a temperature range of -10o C to 80o C and for a period of two minutes at 140o C.
(C) Alarm devices shall be designed to withstand damage created by deterioration of the type of battery recommended by the manufacturer for use in such devices.
(D) Alarm devices shall remain operable after being submerged in sea water for at least one hour at a depth of two meters.
(E) Alarm devices shall be impact and shock resistant, and shall be designed to remain operable after being dropped six (6) successive times from random positions onto a concrete floor from a height of not less than two meters.
(F) Alarm devices shall not weigh more than 350 grams, including batteries.
(4) Safety.
(A) Alarm devices shall be equipped with a visual or audible device to indicate when the battery has been discharged to not less than 80 percent of its rated capacity.
(B) Alarm devices shall be equipped with an audible means to warn of the malfunction of the motion sensing circuitry.
(C) Alarm devices shall be intrinsically safe for use in a flammable or explosive atmosphere.
(5) Certification.
Alarm devices shall be labeled or otherwise certified to indicate compliance with this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 10.1 (Sections 3401-3409) filed 5-3-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Amendment of subsection (a) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
3. New subsection (c) filed 1-27-82; effective thirtieth day thereafter (Register 82, No. 5).
4. Editorial correction of subsection (c)(3)(A) (Register 82, No. 50).
5. Amendment of subsection (c)(1) filed 2-9-83 as an emergency; effective upon filing (Register 83, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-9-83.
6. Amendment of subsection (c)(3)(D) filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
7. Certificate of Compliance transmitted to OAL 5-13-83 and filed 6-13-83 (Register 83, No. 25).
8. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
§3402. Definitions.
Note     •     History

After-Flame. The time a test specimen continues to flame after the flame source has been removed. (When subjected to flame resistance test.)
After-Glow. The time a test specimen continues to glow after it has ceased to flame. (When subjected to flame resistance test.)
Break-away Device. A type of chin strap or chin strap connection designed so that excessive pressure exerted on the helmet in the form of upward force will cause the chin strap to open and release the helmet from the head.
Buddy-Breathing Device. An accessory to self-contained breathing apparatus which permits a second person to share the same air supply as that of the wearer of the apparatus.
Char-Length. The distance from the end of the specimen which was exposed to flame source, to the upper edge of the charred, burned, or void area. (When subjected to flame resistance test.)
Education. The process of imparting knowledge or skill through systematic instruction. It does not require formal classroom instruction.
Emergency Pick-Up Labor. Personnel consisting of National Guard, military forces, forest product workers, farm workers, ranchers, and other persons who may be recruited from time to time to help contain and control wildland fires.
Enclosed Structure. A structure with a roof or ceiling and at least two walls which may present fire hazards to employees;such as, accumulations of smoke, toxic gases and heat, similar to those found in buildings.
Energy, Absorption System. A material or suspension system, or combination thereof, placed inside the helmet between the exterior shell and the wearer's head to absorb and distribute impact energy.
Face Shield. A heat and flame resistant device worn in front of the eyes and face, whose predominant function is protection of the eyes and face.
Fire Fighter. An employee who is assigned to fire fighting activity, and is required to respond to alarms and perform emergency action at the location of a fire or fire related danger. Included are the employees of fire departments, fire protection districts, state fire agencies, organized fire companies, and private fire brigades when engaged in fire fighting activity. The term does not apply to emergency pick-up labor or other persons who may perform first-aid fire extinguishment as collateral to their regular duties. Fire Fighting Activity. Physical action taken in the direct act of fire suppression, and rescue or hazardous duties performed at the location of a fire emergency.
Fire Fighting, Structural. The comprehensive physical fire suppression activity of public fire departments as determined by Sections 25210.5 and 25643 of the California Government Code.
Flame Resistance. A property of materials which causes resistance to ignition or combustion, provided through the use of inherently flame resistant materials, or materials treated to be flame resistant in a manner that the treatment will remain effective for the service life of the material under conditions anticipated for its use.
Harmful Exposure. An exposure to oxygen-deficient atmosphere, or to dusts, fumes, mists, vapors, chemicals or gases of such concentration and duration as to cause injury.
Hazardous Environment. A place where a fire fighter is likely to receive a harmful exposure to a hazardous substance, or be exposed to physical or mechanical hazards which are likely to cause injury.
Hazardous Substance. One which by reason of being explosive, flammable, poisonous, corrosive, oxidizing, irritant or otherwise harmful, is likely to cause injury.
Heat Resistance. The ability of a material to retain its original properties such as shape, size, strength, hardness, resilience, non-conductivity, or appearance when subjected to temperatures specified in heat resistance tests.
Helmet. A device consisting of a shell, energy absorption system, and retention system intended to be worn to provide protection for the head or portions thereof against impact, flying or falling objects, electric shock, penetration, heat and flame, or any combination thereof.
Incipient Stage Fire. A fire which is in the initial or beginning stage and which can be controlled or extinguished by portable fire extinguishers, Class II standpipe, small hose systems or other methods without the need for protective clothing or breathing apparatus.
Injury. Includes work related illness, disease, impairment, disfigurement, loss of function of any part of the body, as well as symptoms of significant adverse effects or damage.
Interior Structural Fire Fighting Activities (Private Fire Brigades). The physical activity of fire suppression, rescue or both, inside of buildings or enclosed structures which are involved in a fire situation beyond the incipient stage.
Lining. A material attached to the inside of the outer shell of a garment for the purpose of thermal protection and padding.
Long Duration Breathing Device. A self-contained respiratory protective device designed to provide the user with a respirable atmosphere for a minimum service time of one hour.
Outer Shell. The exterior layer of material on the fire coat and protective trousers which forms the outermost barrier between the fire fighter and the environment. It is attached to the vapor barrier and liner and is usually constructed with a storm flap, suitable closures, and pockets.
Private Fire Brigade. An organized group of private industry fire personnel who may also be assigned to other functions, but who have priority obligation to fire protection. Fire fighting responsibility may be independent, under mutual-aid agreement, or supported by regular fire service assistance.
Protective Clothing. Outer garments other than turnout clothing consisting of trousers, jackets, or coveralls.
Quick Disconnect Valve. A device which starts the flow of air by inserting of the hose (which leads from the facepiece) into the regulator of self-contained breathing apparatus, and stops the flow of air by disconnection of the hose from the regulator.
Respiratory Protective Device (RPD). A breathing device designed to protect the wearer from oxygen-deficient, or hazardous atmosphere.
(A) Self-contained breathing apparatus (SCBA). A portable respiratory protective device, normally designed to be worn by the user by means of an incorporated harness assembly, with its own supply of air, oxygen or oxygen generating material. It is normally equipped with a full facepiece. Self-contained breathing apparatus is further described in 30 CFR Chapter 1, Part 11, Subpart H.
(B) Closed-Circuit Self-Contained Breathing Apparatus. A device in which exhaled breath is scrubbed of CO2 and recycled.
(C) Open-Circuit Self-Contained Breathing Apparatus. A device in which compressed air is released to the face piece from a storage cylinder, and exhaled air is expelled to the atmosphere. (Oxygen supply is not permitted in open-circuit breathing apparatus used in fire fighting activities.)
(D) Demand-Type Breathing Apparatus. Equipment in which pressure inside the facepiece is slightly negative on inhalation, and positive on exhalation.
(E) Positive-Pressure Type Breathing Apparatus. Equipment in which the pressure inside the facepiece is positive during both inhalation and exhalation.
(F) Combination Breathing Apparatus-Respirator. A combination of compressed air self-contained breathing apparatus and National Institute of Occupational Safety and Health (NIOSH) Type C supplied-air respiratory protective device of the positive-pressure type. Combination respirator equipment is further described in 30 CFR, Chapter 1, Part 11, Subparts H and J.
Retention System. The complete assembly by which the helmet is retained on the head. Included are a chin strap and adjustable or fitted liner for a proper fit.
Self-Extinguishing. A term applied to a material which when subjected to flaming ignition, may ignite and propagate only until removal of the source of ignition.
Service Time. The period of time that a respirator has been rated by NIOSH to provide protection to the wearer.
Training. The process of making proficient through instruction and hands-on practice in the operation of equipment, including respiratory protection equipment, that is expected to be used and in the performance of assigned duties.
Trousers. A garment worn to cover the lower part of the human body from the waist to the ankles.
Turnout Clothing. Protective clothing consisting of a coat and trousers as specified in NFPA 1971 (1981) “Protective Clothing for Structural Fire Fighting” except as modified by Section 3406(b) of these Orders.
Vapor Barrier. That material used to prevent or substantially inhibit the transfer of water, corrosive liquids and steam or other hot vapors from the outside of a garment to the wearer's body.
Wildlands. Sparsely populated geographical areas covered primarily by grass, brush, trees, crops, or combination thereof.
Winter Liner. A detachable extra lining worn inside turnout garments and head protection to give added protection to the wearer against the effects of cold weather and wind.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
2. Amendment filed 4-8-81; effective thirtieth day thereafter (Register 81, No. 37).
3. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
§3403. Head Protection.
Note     •     History

(a) General. Head protection shall be provided for each fire fighter, and shall be maintained in a location of readiness for immediate response to fires and like emergencies. Head protection shall be worn by fire fighters whenever they are exposed to head injury hazard. Head protection is normally provided for fire fighters through the use of helmets.
(b) Minimum Requirements, Structural Fire Fighting.
(1) Helmets ordered or purchased after January 1, 1988, for use in structural fire fighting shall be labeled as meeting the requirements contained in NFPA-1972 (1985) “Structural Fire Fighters' Helmets.” While the helmets are in service:
(A) Section 3-8 “Ear Covers” shall be optional when protection required by Section 3405 is provided.
(B) Section 3-9 “Faceshields” shall be optional when protection required by Section 3404 is provided.
(C) Section 3-10 “Fluorescent Retroreflective Markings” shall be optional.
(2) Helmets ordered, purchased and/or placed in service prior to January 1, 1988, for use in structural fire fighting shall meet the performance, construction, and testing requirements of the National Fire Safety and Research Office, National Fire Prevention and Control Administration, U. S. Department of Commerce contained in “Model Performance Criteria for Structural Fire Fighters' Helmets, dated August, 1977,” with the following additional requirements:
(A) The helmet shall be compatible with the breathing apparatus face piece.
(B) Visibility and reflectivity shall be optional.
(C) Earflaps shall be optional when protection required by Section 3405 is provided.
(D) A durable label shall be permanently attached and shall include the following information:
1. Name or designation of manufacturer;
2. Month and year of manufacture;
3. Lot Number; and
4. Model designation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
2. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
3. Amendment filed 11-5-87; operative 12-5-87 (Register 87, No. 46).
§3404. Eye and Face Protection.
Note     •     History

(a) General.
(1) Employees exposed to eye injury hazards shall be protected in accordance with the provisions of Section 3382.
(2) In addition to the requirements of Section 3382, and wherever eye and face protection is not provided by the breathing apparatus facepiece, the face of the fire fighter engaged in structural fire fighting activities shall be protected by one or more of the following means, or other equivalent methods when exposed to injurious heat or flame:
(A) Face shield attached to the helmet;
(B) Heat and flame resistant hood;
(C) High collar and throat strap.
(b) Face Shields. Face shields of plastic or glass shall meet the optical qualities, impact resistance and light transmission standards specified in either the ANSI Z87.1 (1979) or ANSI Z87.1 (1989, and revision Z87.1a-1989), “Practice for Occupational and Educational Eye and Face Protection”, which are hereby incorporated by reference. Face shields constructed of other materials such as wire mesh, shall provide visibility not less than required by ANSI Z87.1. All face shields shall be capable of withstanding heat in accordance with the provisions of Section 3403(b).
(c) Hood and Coat Collars. Such devices shall be constructed and tested in accordance with the provisions of Section 3406, Body Protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 6-13-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Amendment of subsection (a)(2) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
3. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
4. Amendment of subsection (b) filed 3-6-2000; operative 4-5-2000 (Register 2000, No. 10).  
§3405. Ear and Neck Protection.
Note     •     History

(a) Protection against burns or injury to the ears and neck shall be provided by one or more of the following means, or other equivalent methods:
(1) Helmet configuration;
(2) Ear flap attachment to helmet;
(3) Flexible neck protector cape or winter liner worn with helmet;
(4) Flared neck shield attached to brim of helmet;
(5) Hood, shroud or snood;
(6) High collar and throat strap.
(b) Fabric specified in this section shall be constructed and tested in accordance with the provisions of Section 3406, Body Protection.
(c) Non-fabric materials shall meet heat and flame resistance requirements of Section 3403, Head Protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
§3406. Body Protection.
Note     •     History

(a) Body protection shall be provided for each fire fighter when exposed to the hazards of structural fire fighting activity. Body protection shall consist of turnout clothing or an appropriate combination of a turnout coat and protective clothing meeting the requirements of Section 3406(c).
(b) Turnout Clothing. Performance, construction, testing and certification of fire fighter turnout clothing shall be at least equivalent to the requirements of National Fire Protection Association (NFPA) publication 1971 (1981), “Protective Clothing for Structural Fire Fighting,” with the following permissible variations in those requirements:
(1) Liner may be detachable but the shell shall not be used as turnout clothing without the liner.
(2) To achieve increased ventilation of trapped body heat, the protective clothing outer shell and impermeable vapor barrier may be penetrated by ventilation openings protected by nonmetallic flame resistant materials equal to this standard. Openings in the coat shall be restricted to the underside of the upper arm, and the upper portion of the front and back. Openings in the trousers shall be restricted to the areas of the groin and the outseam of the leg between the knee and the waist band. Water deflecting flaps shall be required for all openings except underarm and groin area openings. Openings in the liner are not permitted except underarm and groin area unless protected by an insulating flap. Vents shall be made of nonmetallic flame resistant materials equal to this standard.
(3) Tearing strength of the outer shell shall be a minimum of eight pounds in any direction.
(4) Flame resistance, including that of trim, shall not exceed:
(A) 2.0 seconds after-flame (maximum)
(B) 8.0 seconds after-glow (maximum).
(5) The outer shell and lining may char or discolor but must retain heat resistance as specified in Section 3406(b)(4) and shall not separate or melt when placed in a forced air laboratory oven at a temperature of 500 F (260o C) for a period of 5 minutes.
(c) Protective Clothing. Protective clothing, other than turnout clothing, shall meet the following minimum performance requirements:
(1) Flame Resistance. When tested in accordance with Federal Test 191, Method 5903.2, “Flame Resistance of Cloth, Vertical” (Standard small scale test), test results shall not exceed the following limits:
(A) 2.0 seconds after-flame (maximum)
(B) 8.0 seconds after-glow (maximum)
(C) 6.0 inches average char-length.
(2) Ignition of the material shall not produce any melting and dripping of molten or flaming material. It is specifically required that upon exposure to flaming ignition, or to heat sufficient to char the fabric, the material will not adhere to the skin of the wearer so as to cause or contribute to the severity of burns.

Exception: Outer garments of 100% wool, with a weight of at least 14 ounces per lineal yard of 54-inch width shall be considered as sufficiently flame resistant for such use.
(3) Certification. Garments shall be certified to meet the requirements of Section 3406(c)(1), flame resistance; and as defined in Section 3402.
(4) A durable label shall be permanently attached and shall include the following information:
(A) Lot Number;
(B) Name and number of specified test; and
(C) Date of specified test.
(d) Turnout coats in combination with turnout trousers, or turnout coats and protective clothing meeting the requirements of Section 3406(c) shall be worn on all structural fires. Body protection provided for other than structural fires shall be appropriate for the potential hazards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Subsections (b)(4)(B) and (c)(1)(B) filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36).
2. Amendment of subsections (a), (b)(5) and (c)(2) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
3. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
4. Amendment of subsection (b)(4)(B) and repealer of subsection (b)(4)(C) filed 8-28-96; operative 9-27-96 (Register 96, No. 35).
§3407. Hand and Wrist Protection.
Note     •     History

(a) Protective gloves shall be provided for each fire fighter when exposed to the hazards of structural fire fighting activity. Such protective gloves shall be properly sized and suitable to the hazards encountered in fires and fire related emergencies.
(b) Protective gloves for fire fighters shall be made of durable outer material designed to withstand the effects of flame, heat, vapor, liquids, sharp objects and other hazards that are encountered in fire fighting.
(c) Thermal insulation for protective gloves shall be sufficient to limit the inside surface temperature of the glove material (in contact with the hand) to no more than 111o F (44o C) when subjected to the tests specified in subparagraphs 1, 2 and 3:
(1) Gloves shall be preconditioned in accordance with Federal Test 191, Method 5903.2.
(2) The palm of the glove shall be exposed to a conductive heat load of 932o F (500o C) for a period of 5 seconds at 4 psi pressure using an object made of iron with 3.14 in2 surface area and sufficient mass to induce the pressure without assistance.
(3) The back of the glove shall be exposed to a stable 1.0 watt/cm2 radiant heat load for a period of 1 minute.
(d) Protective glove material and pattern shall allow the dexterity of hand and finger movement, a sense of feel for objects, when handling fire fighting equipment, and a satisfactory grip when handling halyards. Gloves shall have separate finger compartments and shall have an integral wristlet not less than 4 inches in length unless other wrist protection is provided as permitted in Section 3407(e).
(1) Dexterity. Dexterity shall be evaluated using a standardized procedure known as the Bennett Dexterity Test. No more than 130% of baseline time shall be accomplished.
(2) Grip Test. Grip testing shall be evaluated with the use of a 3/8-inch diameter Manila halyard attached to a spring scale. Bare-handed lift capability shall be baseline weight. Weight pulling capacity dry shall be no less than 80% of baseline. Weight pulling capacity wet shall be no less than 70% of baseline. Gloves and halyards shall be preconditioned dry and wet prior to test.
(3) Preconditioning:
Dry--Gloves and halyards shall be preconditioned at 25o C. for a period of 4 hours.
Wet--Gloves and halyards shall be thoroughly soaked by immersing in water for a minimum of 30 minutes prior to testing.
(4) Test Requirements. Gloves shall be tested dry, then water soaked as required and tested (without re-drying) within one minute after removal from the soak.
(e) Protection against burns or injury to the wrist shall be provided by one or more of the following means or other equivalent methods:
(1) A minimum 4-inch wristlet attached to the gloves.
(2) An extended wristlet of sufficient length, attached to the sleeve of the turnout coat, to completely cover the wrist area under all conditions.
(f) Fabric specified in this section shall be constructed and tested in accordance with the provisions of Section 3406, Body Protection.
(g) A durable label shall be permanently attached to each glove. Labeling may be accomplished by stamping, embossing, affixing, or other suitable method and shall include the following information:
(1) Lot Number;
(2) Reference to specified test; and
(3) Date of successful test.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
3. Amendment of subsection (c)(1) filed 7-30-81; effective thirtieth day thereafter (Register 81, No. 31).
4. Amendment of subsections (c)(2) and (g) filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
§3408. Foot Protection.
Note     •     History

(a) Foot protection shall be provided in accordance with Section 3385 for fire fighters while engaged in structural fire fighting activity.
(b) The use of foot protection shall be coordinated with the wearing of the protective clothing system to ensure full body protection.
(c) Turnout Boots. Fire fighter turnout boots shall meet the requirements of MIL-B-2885D (5-23-73) and amendment dated 12-31-75.
(d) In addition to the requirements of Section 3408(a), protective footwear other than turnout boots shall also provide:
(1) Slip resistant outersoles.
(2) Sole penetration as required in MIL-B2885D (1973) and amendment dated 1975 “Military Specifications for Firemen's Boots.”
(3) Permanently attached, corrosion resistant midsoles.
(4) Firm ankle support in horizontal and vertical working loads.
(5) If used, corrosion resistant, lockable fasteners.
(6) Toe protection meeting the requirements of either the ANSI Z41 (1983) or (1991), classification 75, which are hereby incorporated by reference.
(7) Corrosion resistant ladder shanks.
(8) Durable outer shell materials withstanding the effects of flame, heat, sharp objects and other hazards encountered in fire fighting activities.
(e) Toe protection shall be optional for those fire fighters who are regularly engaged in structural and wildlands fire fighting activities.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Amendment of subsection (d)(6) filed 3-6-2000; operative 4-5-2000 (Register 2000, No. 10).  
§3409. Respiratory Protection.
Note     •     History

(a) Approved Equipment.
(1) Approvals. Fire fighters exposed to harmful exposure in the course of their assigned activities shall be provided with, and shall use respiratory protective devices that are approved and certified in accordance with Section 5144, and the methods and requirements specified by the National Institute of Occupational Safety and Health (NIOSH) under 42 CFR part 84.
(2) Permissible Devices.
(A) Respiratory protective devices provided for and used by fire fighters in structural fire fighting activity shall be limited to those types classified as self-contained breathing apparatus (SCBA), and combination breathing apparatus of the supplied-air positive-pressure type.
(B) Closed-circuit self-contained breathing apparatus shall not be used by fire fighters except where it has been demonstrated that long duration breathing apparatus is necessary. If such breathing devices are used, quantitative fit tests providing a minimum protection factor of 5,000 shall be performed on each individual using the long duration breathing apparatus. The quantitative fit test procedures shall be available for inspection by the Division.
(b) General Requirements.
(1) Written Standard Procedures. The employer shall develop and implement comprehensive written standard operating procedures for the use, care, maintenance, and training relating to respiratory protective equipment in accordance with Section 5144 and ANSI Z88.2 (1980), “Practices for Respiratory Protection,” and ANSI Z88.5 (1981), “Practices for Respiratory Protection for the Fire Service.”
The operating procedures required by this subsection are exempt from the prohibition of the use of contact lenses specified in ANSI Z88.2(1980) and ANSI Z88.5(1981).
(2) When emergency conditions require the urgent multi-person use of the same facepiece, requirements of Section 5144(h) pertaining to cleaning and sanitation of the facepiece shall not apply.
(3) Operating Service Time. Respiratory protective devices provided for use by fire fighters shall have a rated service time of at least 30 minutes in accordance with the methods and requirements specified by NIOSH 42 CFR part 84.

Exception: Respiratory protective devices of less than 30 minutes rated service time shall only be used for escape, rescue and observation.
(4) Automatic Warning Signal. Respiratory protective devices provided for use by fire fighters shall be equipped with an automatic device that produces an audible signal to warn the user that the remaining service time of the unit has been reduced to 20-25%. Means shall be designed and incorporated to indicate to the user that his alarm has been activated.
(5) Buddy-Breathing. Approved self-contained breathing apparatus may be equipped with either a “buddy-breathing” device or a quick disconnect valve, even if these devices are not certified by NIOSH. If these accessories are used, they shall not cause damage to the apparatus, or obstruct the normal operation of the apparatus.
(6) Air Cylinders. Approved self-contained compressed air breathing apparatus may be used with approved cylinders from other approved self-contained compressed air breathing apparatus provided that such cylinders are of the same capacity and pressure rating. All compressed air cylinders used with self-contained breathing apparatus shall meet United States Department of Transportation (DOT) and NIOSH criteria.
(c) Positive Pressure. Except as permitted in Section 3409(a)(2)(B), all compressed air self-contained breathing apparatus used in fire fighting activity shall be of positive pressure type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c)(2) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
2. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
3. Amendment of subsection (b)(1) filed 3-20-95; operative 4-19-95 (Register 95, No. 12).
4. Amendment of subsections (a)(1) and (b)(3) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
5. Change without regulatory effect amending subsection (b)(2) filed 12-30-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 53).
§3410. Wildland Fire Fighting Requirements.
Note     •     History

(a) Head Protection.
(1) Head protection shall be worn by fire fighters whenever they are exposed to head injury hazard. Head protection shall be provided for each fire fighter, and shall be maintained in a location of ready availability to the fire fighter.
(2) Emergency Pick-up Labor. Head protection shall be provided for emergency pick-up labor in a hazardous environment on wildland fires and shall consist of structural fire fighting helmets or industrial hard hats or military helmet liners. Helmets and liners shall meet ANSI Z89.1 (1969) standards, and may be either Type 1 or 2, any Class.
(3) Minimum Helmet Requirements. Configuration. The helmet shall conform to ANSI Z89.1 (1969) full brim (Type 1) Class D, or brimless with peak (Type 2) Class A, or structural fire helmets as specified in Section 3403. Provision shall be incorporated for attachment of accessories without shell penetration. Retention shall be provided by chin strap, nape strap or other equivalent means.
(4) Weight. Head protection, except the helmets specified in Section 3403, complete with suspension and headband, but exclusive of accessories, shall not weigh more than 20 ounces.
(5) Heat Resistance. When placed in a forced-air laboratory oven at a temperature of 300o F (149o C) for a period of five minutes, the helmet shell shall not undergo softening, melting, shrinking or other visible distortion.
(6) Labeling. Each helmet shall be durably and legibly labeled in a manner such that the label can be easily read without removing padding or any other permanent part, and shall include the following information:
Name or designation of manufacturer
Month and year of manufacture
Lot number
Model designation
(b) Eye Protection. Employees exposed to eye injury hazards shall be protected in accordance with the provisions of Section 3382.
(c) Thermal Protection of the Ears and Neck. Protection against burns on the ear and neck shall be provided by one or more of the following means, or other equivalent methods, when fire fighters engaged in wildland fire fighting are exposed to injurious heat and flame: flared neck shield attached to brim of helmet; hood, shroud or snood; high collar with throat strap. Fabric specified for this purpose shall be constructed and tested in accordance with the provisions of Section 3410(d) for body protection. Similar protection shall be provided emergency pick-up labor when exposed to injurious heat and flame.
(d) Body Protection.
(1) Clothing directly exposed to fire environment and subject to flame impingement shall meet the requirements of Section 3406(c).
(2) Emergency Pick-up Labor. Flame resistant protective shirts shall be provided as soon as reasonably possible. Heavy-duty work trousers of 100 percent cotton or 100 percent wool shall be considered as sufficiently flame resistant for the type of fire exposure normally experienced by this class of fire fighter and may be worn in lieu of other flame-resistant type clothing.
(e) Hand and Wrist Protection.
(1) Protective gloves shall be provided for each wildland fire fighter, properly sized and suitable to the hazards encountered in wildland fire fighting activities. Fire fighters shall wear protective gloves whenever exposed to a hazardous environment that may cause injury to the hand or wrist.
(A) Minimum Requirements. Protective gloves shall have a durable outer material of leather or treated fabric designed to withstand the effects of heat, flame or other hazards encountered in wildland fire fighting. Glove material and pattern shall allow dexterity of hand movement and sense of feel for objects. The exterior of the gloves shall be designed to be free of potential snags. Gloves shall be of the gunn cut pattern.
(2) Wrist protection fabric shall meet the requirements of Section 3406(c) and shall consist of either:
(A) Integral knit wristlets of not less than four inches in length, attached to the gloves and designed to protect the wrist area when the arms are extended upward and outward from the body; or
(B) Wristlets, of sufficient length to completely cover the wrist area under all conditions, attached to the sleeves of the outer garment.
(3) Emergency Pick-up Labor. Emergency pick-up labor exposed to hand injury hazard, and not equipped with gloves, shall be provided with gloves which meet these standards.
(f) Foot Protection.
(1) Protective footwear shall be worn by fire fighters while engaged in wildland fire fighting activities.
(2) Minimum Requirements. Protective footwear for fire fighters and emergency pick-up labor engaged in wildland fire fighting shall consist of heavy duty lace-type work boots with non-slip soles and heels, and shall provide firm ankle support. Leather tops shall be at least six inches in height measured from the bottom of the shoe heel.
(g) Fire Shelters. A fire shelter shall be provided and made immediately available for every fire fighter when engaged in fire fighting activities in wildlands as defined in these orders. The fire shelter shall meet or exceed U.S. Department of Agriculture, Forest Service Specification for Forest Fire Shelter, 5100-320D.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-4-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Amendment of subsection (d)(1)(A) filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36).
3. Amendment of subsection (a)(2) filed 6-13-80; effective thirtieth day thereafter (Register 80, No. 24).
4. Amendment of subsections (c) and (f)(1)-(2) and repealer and new subsection (d)(1)(B) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
5. New subsection (g) filed 1-27-82; effective thirtieth day thereafter (Register 82, No. 5).
6. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
7. Amendment of subsections (e) and (e)(1)(A), new subsections (e)(2)-(e)(2)(B) and subsection renumbering filed 3-5-97; operative 4-4-97 (Register 97, No. 10).
§3411. Private Fire Brigades.
Note     •     History

(a) Scope and Application.
(1) Scope. This section contains requirements for the organization, training, and personal protective equipment of fire brigades whenever they are established by an employer.
(2) Application. The requirements of this section apply to private fire brigades, such as industrial fire departments and private or contractual type fire departments. Personal protective equipment requirements apply only to members of fire brigades performing interior structural fire fighting activities. The requirements of this section do not apply to airport crash rescue or forest fire fighting operations.
(b) Organization.
(1) Organizational Statement. The employer shall prepare and maintain a statement or written policy which establishes the existence of a fire brigade; the basic organizational structure; the type, amount, and frequency of training to be provided to fire brigade members; the expected number of members in the fire brigade; and the functions that the fire brigade is to perform at the workplace. The organizational statement shall be available for inspection by the Division of Occupational Safety and Health and by employees or their designated representatives.
(2) Personnel. The employer shall ensure that employees who are expected to do interior structural fire fighting are physically capable of performing duties which may be assigned to them during emergencies. The employer shall not permit employees with known heart disease, epilepsy, or emphysema, to participate in fire brigade emergency activities unless a physician's certificate of the employees' fitness to participate in such activities is provided. This subsection shall become effective 60 days after the effective date of this Article.
(c) Training and Education.
(1) The employer shall provide training and education for all fire brigade members commensurate with those duties and functions that fire brigade members are expected to perform. Such training and education shall be provided to fire brigade members before they perform fire brigade emergency activities. Fire brigade leaders and training instructors shall be provided with training and education which is more comprehensive than that provided to the general membership of the fire brigade.
(2) The employer shall ensure that training and education is conducted frequently enough to assure that each member of the fire brigade is able to perform the member's assigned duties and functions satisfactorily and in a safe manner so as not to endanger fire brigade members or other employees. All fire brigade members shall be provided with training at least annually. In addition, fire brigade members who are expected to perform interior structural fire fighting activity shall be provided with an education session or training at least quarterly.
(3) The quality of the training and education program for fire brigade members shall be similar to those conducted by such fire training schools as the Maryland Fire and Rescue Institute; Iowa Fire Service Extension; West Virginia Fire Service Extension; Georgia Fire Academy; New York State Department, Fire Prevention and Control; Louisiana State University Firemen Training Program, or Washington State's Fire Service Training Commission for Vocational Education. (For example, for the oil refinery industry, with its unique hazards, the training and education program for those fire brigade members shall be similar to those conducted by Texas A & M University, Lamar University, University of Nevada-Reno Fire Academy, or the Delaware State Fire School.)
(4) The employer shall inform fire brigade members about special hazards such as storage and use of flammable liquids and gases, toxic chemicals, radioactive sources, and water reactive substances, to which they may be exposed during fire and other emergencies. The fire brigade members shall also be advised of any changes that occur in relation to the special hazards. The employer shall develop and make available for inspection by fire brigade members, written procedures that describe the actions to be taken in situations involving the special hazards and shall include these in the training and education program.
(d) Personal Protective Clothing and Equipment. Shall be provided by the employer at no cost to the employee in accordance with this article commensurate with the fire fighting activity involved.
(e) Respiratory Protection Devices. The employer shall provide at no cost to the employee and assure that respiratory protective devices worn by fire brigade members meet the requirements contained in Section 5144 and the requirements contained in this Article, and are certified under 42 CFR part 84.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
2. Amendment filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
3. Amendment of subsection (e) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
Article 11. Outdoor Advertising Structures
§3412. General.
Note     •     History

(a) Scope. This Article applies to all elevated outdoor advertising structures, billboards, signboards or other such structures where employees are required to work from platforms elevated more than 7-1/2 feet above the ground or other surface, suspended scaffolds, or work from ladders that are not ground supported. Employees working on outdoor advertising structures are subject to all applicable safety orders except where they are inconsistent with the requirements of this Article.

Note: For the construction of billboards and other related structures see the Construction Safety Orders.
(b) Definitions.
Poster Ladder Scaffold. A scaffold platform supported by brackets attached to the rungs of a special purpose poster ladder.
Special Purpose Poster Ladder. A Type 1 industrial heavy-duty ladder, Type 1A industrial extra heavy-duty or Type 1AA special duty ladder with a hook(s) at the top of the ladder specifically designed to hook over the top edge of billboards. A “Type 1 industrial heavy-duty ladder” has a working load capacity of 250 pounds, a “Type 1A industrial extra heavy-duty ladder” has a working load capacity of 300 pounds, and a “Type 1AA special duty ladder” has a working load capacity of 375 pounds.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 11 (section 3412) filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Repealer of subsection (h)(4) filed 2-20-80;  effective thirtieth day thereafter (Register 80, No. 8).
3. Repealer of article ii (section 3412) filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
4. Amendment of article and section headings and new section filed 1-7-93; operative 1-7-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 2).
5. Amendment filed 10-1-2008; operative 10-31-2008 (Register 2008, No. 40).
§3413. Ladders.
Note     •     History

(a) All portable ladders shall be at least Type 1 industrial heavy-duty ladders, Type 1A industrial extra heavy-duty ladders or Type 1AA special duty ladders as referred to in subsection (c) of this section, and shall be designed and constructed in accordance with Section 3276(c) of the General Industry Safety Orders.
(b) Portable ladders shall be tied, blocked or otherwise secured to prevent displacement.
(c) All special purpose poster ladders ordered or purchased after January 1, 1993, shall be approved, Type 1 industrial heavy-duty, Type 1A industrial extra heavy duty ladders or Type 1AA special duty ladders equipped with a hook(s) at the top of the ladder that fits securely over the top edge of billboards.
(d) All special purpose poster ladders ordered or purchased after January 1, 1993, shall have a permanent and durable label containing the following information:
1. Manufacturer's Name;
2. Date of Manufacturer;
3. Type and/or Duty Rating;
4. Approval Certification.
(e) All special purpose poster ladders shall be inspected for defects prior to use. Defective ladders shall be repaired before use or removed from service.
(f) All special purpose poster ladders placed in service prior to January 1, 1993, shall be identified by the employer with a durable identification mark.
(g) The hooks on the special purpose poster ladders shall be of such a size that they will not interfere with the horizontal movement of the ladder.
(h) In addition to subsection (b) above, special purpose poster ladders, when used in conjunction with poster ladder scaffolds, shall be secured to prevent horizontal movement.
(i) Special purpose poster ladders used to access the fixed ladder of the billboard platform shall not be attached to the bottom rung of the fixed ladder. If a special purpose poster ladder is positioned against the platform to gain access, the ladder shall extend at least three feet above the horizontal edge of the platform.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-93; operative 1-7-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 2).
2. Amendment of subsections (a) and (c) filed 10-1-2008; operative 10-31-2008 (Register 2008, No. 40).
3. Amendment of subsection (a) filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
§3414. Poster Ladder Scaffolds.
Note     •     History

(a) Poster ladder scaffolds shall only be used with special purpose poster ladders designed for such use.
(b) No more than two employees at a time shall be allowed on the platform of a poster ladder scaffold.
(c) The platform shall be at least 14 inches wide consisting of a structural plank or equivalent, free from damage that could affect its strength.
(d) The ladders that support the platform plank shall not be placed over 16 feet from center to center, and where the platform consists of a single-dressed 2-inch by 14-inch plank, the spacing shall not be greater than 12 feet.
(e) Both metal and wood platform planks shall overlap the bearing surface of the supports by at least 12 inches but not more than 18 inches.
(f) Platform plank supports shall be so designed and constructed that they will bear on the ladder's rungs. The bearing area shall be at least 8 inches on each rung.
(g) When working from a special purpose poster ladder or poster ladder scaffold, employees shall use full body harnesses with: 
(1) lanyards attached to independently anchored safety lines or
(2) self retracting lifelines attached to approved anchorages.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-93; operative 1-7-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 2).
2. Amendment of subsection (g) and new subsections (g)(1)-(2) filed 10-1-2008; operative 10-31-2008 (Register 2008, No. 40).
§3415. Suspended Scaffolds.
Note     •     History

Suspended scaffolds shall comply with the applicable provisions of Article 23 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-93; operative 1-7-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 2).
§3416. Fall Protection.
Note     •     History

(a) On all outdoor advertising structure platforms, over 7-1/2 feet above ground or other surface, which are not provided with standard guardrails, employees shall be provided with and required to use approved personal fall protection, and where employees' work requires horizontal movement at such heights, a horizontal safety line shall be provided. When the employee's harness lanyard is secured to the special purpose poster ladder, a horizontal safety line need not be provided.
(b) The horizontal safety line shall be designed under the supervision of a professional engineer currently registered in the State of California and installed as part of a complete personal fall protection system, with a safety factor of at least two.
(c) Outdoor advertising structures, where employees post billboards while working from special purpose poster ladders, shall be provided with one of the following:
(1) A horizontal safety line so located on the billboard that employees can attach their fall arrest harness' lanyard when working from the upper half of the ladder, or
(2) A 1/4-inch improved plow steel cable 19 inches in length with 4-inch swaged loops on each end. The steel cable shall be looped through the special purpose hooked ladder with the lanyard's snaphook attached to both loops of the cable. Other locking connectors of equivalent strength, such as caribiners,  may be used in lieu of the 1/4-inch improved plow steel cable, or
(3) A special purpose poster ladder equipped with anchor point(s).
(d) Lanyards shall include a shock absorber and shall not exceed 6 feet in total length.

Exception:Self-retracting lifelines used in accordance with this Article.
(e) Self-retracting lifelines may be used in conjunction with special purpose Type 1 industrial heavy-duty, Type 1A industrial extra heavy-duty ladders, Type 1AA special duty ladders or where attached to an approved anchorage.
(f) Personal fall protection system anchorage shall meet the strength requirements specified in Article 24 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-7-93; operative 1-7-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 2).
2. Amendment filed 10-1-2008; operative 10-31-2008 (Register 2008, No. 40).
3. Editorial correction of subsection (c)(2) (Register 2012, No. 7).
Group 3. General Plant Equipment and Special Operations
Article 12. Tree Work, Maintenance or Removal
§3420. Scope and Definitions.
Note     •     History

(a) Scope. This standard applies to work performed and equipment used in tree and ornamental palm maintenance and removal. 

NOTE 1: Requirements for fall protection in date palm operations and for ladders attached to date palms are provided in the General Industry Safety Orders, Sections 3458 and 3458.1.

NOTE 2: For line clearance tree trimming operations in proximity to high voltage energized conductors, refer to the provisions of Article 38 of the High-Voltage Electrical Safety Orders, Title 8, California Code of Regulations. 
(b) Definitions. 
Apex. The point at which two saw cuts meet to form a notch. 
Back Cut. The cut made in the tree limb or trunk on the side opposite the intended direction of fall. 
Brush Chipper. Equipment used to reduce tree debris to wood chips. 
Bucking. The process of cutting the downed tree into appropriate lengths. 
Climbing Hitch. A hitch used for securing a tree climber to the climbing line, permitting controlled ascent, descent, and work positioning. 
Climbing Lines (Climbing Ropes). Rope that is designed by the manufacturer to support the climber while aloft in a tree. 
Climbing Spurs. Sharp devices strapped to a climber's lower legs to assist in climbing trees. 
Come-along. A portable, hand-operated winching device, using cable or ropes to draw two objects closer together. 
Crotch. Branch union; the angle formed by two branches in the tree. 
Double-crotching. A climbing method that uses the rope's opposite end or a second rope to enhance stability. 
Drop Zone. The area established by a qualified tree worker beneath employees aloft involved in tree work operations and/or where the potential exists for struck-by injuries from objects dropped or lowered from above. 
Felling. Cutting down an entire tree or standing section of a tree in one piece, from the ground, by incorporation of a notch and back cut. 
Frond. A large compound leaf of a palm. 
False Crotch. A system, other than a natural crotch, used to support a climbing line. 
Hinge. A strip of uncut wood fibers created between the face cut or notch and the back cut that helps control direction in tree felling or limb removal. 
Leader. The stem or trunk of a tree usually growing in the upright position. 
Lightning Protection System. Hardware installed in a tree intended to reduce the risk of damage from a lightning strike. 
Limbing. The removal of branches from either standing or downed trees.
Notch. A wedge cut into the tree or tree section facing the intended direction of fall to control the felling direction. 
(A) Conventional Notch. A directional felling cut into the side of a tree, facing the intended direction of fall and consisting of a horizontal face cut and an angle cut above it, creating a notch of approximately 45 degrees.
(B) Humboldt Notch. A directional felling cut into the side of a tree, facing the intended direction of fall and consisting of a horizontal face cut and an angled cut below it, creating a notch of approximately 45 degrees. A Humboldt notch is usually reserved for larger trees on steep slopes.
(C) Open-faced Notch. A directional felling cut into the side of the tree facing the intended direction of fall and consisting of two cuts creating a notch greater than 70 degrees.
Ornamental Palm. A palm that is primarily for landscaping or scenery and not grown for the production and harvesting of fruits, such as dates for personal use or sale. 
Palm Frond Skirt. One or more year's accumulation of dead and drooping palm fronds at the bottom of the palm's canopy and along its trunk. 
Proximity. An area within 10 feet (3.05 meters) of energized overhead electrical conductors rated 50 kilovolts (kV) phase to phase or less. For overhead electrical conductors rated more that 50 kV phase to phase, the distance is increased 4/10 inch (10 millimeters) for each additional kV.
Prusik Loop. An endless loop of rope used to fashion the Prusik knot (which is a sliding friction knot). The endless loop may be spliced or knotted with, at minimum, a double fisherman's knot. 
Qualified Tree Worker. An employee who, through related training and on-the-job experience, has demonstrated familiarity with the techniques and hazards of tree maintenance, removal, and the equipment used in the specific operations involved.
Root Collar. A flared area at the tree trunk base where the roots and trunk come together. 
Rope(s). Includes climbing lines and climbing ropes unless otherwise stated, and includes all other ropes and lines used in tree work, maintenance and removal operations. 
Secured (person). A tree worker that is safeguarded by utilizing a climbing system attached to the tree worker and connected to a tree or other stable support. 
Split Tail. A short section of climbing line with one end connected by a self-closing, self-locking carabiner or snap hook to the suspension D-rings of the tree saddle and the opposite end connected to the climbing line by a climbing hitch.
Step Potential. The voltage difference between the feet of a person standing near an energized grounded object. It is equal to the difference in voltage, given by the voltage distribution curve, between two points at different distances from the electrode. 
Structural Support System. Consists of cabling between branches, installation of rods or bracing or other hardware used to keep the tree or its limbs structurally solid.
Tied In. When a tree worker's climbing line has been run through a natural or false crotch attached to the tree worker's saddle and completed with a climbing hitch or mechanical device, permitting controlled movement and work positioning. 
Tree Climbing System. A collection of equipment used together for work positioning in a tree and generally consisting of a tree worker's saddle, one or more climbing lines, one or more work positioning lanyards and associated hardware. 
Tree Worker's Saddle. An arrangement of straps, fittings, and buckles or other elements in the form of a waist belt with a low attachment element or elements and connecting support encircling the legs, suitably arranged to support the body in a sitting position. 
Work-positioning Lanyard. For purposes of Article 12, a component of a tree climbing system consisting of a short section of approved rope, strap or line that has a rope snap or carabiner at either end, and that is used as a point of attachment to the tree or ornamental palm for securing the worker in the tree while aloft.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 12 (sections 3415-3418, not consecutive) filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46). 
2. Repealer of article 12 (sections 3415-3418, not consecutive) and new article 12  (sections 3420-3428 and Appendix A) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16). For prior history, see Register 76, No. 21.
3. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
4. Change without regulatory effect amending subsection (a) filed 4-2-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
5. Amendment of section heading and section filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3421. General.
Note     •     History

(a) An Injury and Illness Prevention Program shall be implemented and maintained in accordance with Section 3203 of these Orders. 
(b) Each work location where tree trimming, tree repairing or removal is to be done, shall be under the direction of a qualified tree worker. 
(c) Employees shall be trained and instructed in areas that include, but are not limited to the following: 
(1) The hazards involved in their job assignments. 
(2) The proper and safe use of all equipment, including, but not limited to, safety equipment and personal protective equipment. 
(3) The identification of, and preventive measures relating to, common poisonous plants and harmful animals. 
(4) Operations that include pesticide and fertilizer applications for employers whose employees are exposed to, or engage in, such operations. 
(5) The recognition and avoidance of electrical hazards applicable to employee job assignments including the instructions and training outlined in Section 3423 for tree work performed in proximity to energized power lines and conductors. 
(d) Training shall be documented by the employer to certify that the employee has satisfactorily completed the training program prior to performing the job assignment without the oversight and observation of a qualified person. 
(e) The employer shall provide refresher or additional training on applicable provisions of this standard for any employee who has:
(1) Been observed to violate the requirements of this Article; 
(2) Been involved in an accident or near miss incident; or
(3) Receives a new job assignment that includes the use of equipment, machinery, tools or safety-related work practices that the employee is unfamiliar with. 
(f) A job briefing shall be conducted by a qualified tree worker before each work assignment is begun. Such job briefing shall include the description of the hazards unique to the work assignment, the appropriate work procedures to be followed, the appropriate personal protective equipment needed, and any other items necessary to ensure that the work can be accomplished safely. Additional job briefings shall be held if significant changes which might affect the safety of the employees occur during the course of the work.
(g) All equipment shall be operated by qualified persons, and where required, qualified tree workers. 
(h) Except for the inspections required by Sections 3422(j) and 3424(a)(2), all other equipment and safety devices shall be inspected prior to daily use by a qualified tree worker and any found to be defective shall be immediately repaired or removed from service. 
(i) An adequate supply of potable water shall be provided in accordance with the requirements of Section 3363 of these Orders. 
(j) Where vehicular or pedestrian traffic may endanger employees, traffic control shall be provided that conforms to the requirements of Sections 1598 and 1599 of the Construction Safety Orders. 
(k) Internal combustion engine fuel tanks shall be refilled in accordance with Section 3319 of these Orders. 
(l) The employer shall establish rescue procedures and provide training in emergency response. Training in aerial rescue procedures shall be provided for employees whose job assignments may require them to perform aerial rescues. 
(m) The employer shall provide training in first aid and cardiopulmonary resuscitation (CPR). For field work involving two or more employees at a work location at least two trained persons in first aid and CPR shall be available. All new employees shall be trained in first aid and CPR within 90 days of their hiring dates. First aid and CPR training shall be performed by a certified instructor and shall be equal to that of the American Red Cross or the Mine Safety and Health Administration. 
(n) When employees are required to work in areas in which the noise levels exceed the allowable standards for occupational noise, the employer shall provide hearing protection and training as required in Article 105 of these Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Change without regulatory effect amending subsection (h) filed 4-2-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
3. Amendment filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3422. Ropes and Tree Worker Climbing Equipment.
Note     •     History

(a) Tree workers' saddles shall be approved for their intended use as defined in Section 3206 of these orders. All load bearing components of a climbing system shall have a minimum tensile strength of 5,000 pounds. 

EXCEPTION: Equipment such as a mechanical ascending device, provided that it is used with a secondary device that meets the minimum tensile strength requirements of this subsection. 
(b) Tree worker saddles, work positioning lanyards and climbing lines shall be designed by the manufacturer as suitable for tree climbing. This climbing equipment shall not be altered in a manner that would compromise the integrity of the equipment. 
(c) Climbing lines shall be designed by the manufacturer to support the climber while aloft in a tree. Climbing lines shall be constructed from a synthetic fiber with a minimum rated tensile strength of 5,000 pounds (22.24 kilonewtons [kN]) and shall have a minimum diameter of 1/2 inch (12.7 mm). Maximum working elongation shall not exceed seven percent at a load of 500 pounds (2.22 kN). 

EXCEPTION: Climbing line not less than 7/16 inch (11 mm) in diameter may be used when all of the following conditions are met: 1) the strength and elongation requirements meet that of 1/2 inch diameter climbing line; 2) the climbing line is identified by the manufacturer as suitable for tree climbing and is used in accordance with the manufacturer's recommendations and; 3) the employee has been trained in its use. 
(d) Prusik loops, split tails, and work-positioning lanyards used in a tree climbing system shall meet the minimum strength requirements for tree climbing lines. 
(e) Equipment used to secure the tree worker in the tree or aerial lift shall not be used for anything other than its intended purpose.

EXCEPTION: The climbing line may be used to raise and lower tools. 
(f) If a climbing line is used for any purpose other than to support the worker aloft or for use as permitted in subsection (e), it shall not be used again to serve as a tree worker's climbing line. 
(g) Climbing lines shall never be left in trees unattended when there is no qualified tree worker at the job site location. 
(h) Rope ends shall be finished in a manner to prevent raveling. 
(i) Rope and climbing equipment shall be stored and transported in a manner that prevents damage by contact with sharp tools and cutting edges, gas, oil and chemicals. 
(j) Ropes, climbing equipment, tackle blocks and pulleys shall be inspected for damage, cuts, abrasions and/or deterioration before each use that involves re-rigging or moving the climbing system. Defective equipment and components shall be immediately removed from service. 
(k) Climbing lines shall not be spliced to effect repair.
(l) Climbing spurs shall be of the tree-climbing type and shall have gaffs of the type and length suitable for the tree being climbed. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Change without regulatory effect amending section filed 4-2-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
3. Repealer and new section filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
4. Amendment of section heading and section filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3423. Electrical Hazards, General.
Note     •     History

(a) Employees engaged in tree work operations such as, but not limited to, tree trimming, maintenance and removal in proximity to electrical equipment and conductors, shall be instructed regarding the following: 
(1) To consider all such equipment to be energized with potentially fatal voltages, never to be touched (contacted) either directly or indirectly.
(2) Electrical shock will occur when a person, by either direct contact or indirect contact with an energized electrical conductor, energized tree limb, tool, equipment, or other object, provides a path for the flow of electricity to a grounded object or to the ground itself. Simultaneous contact with two energized conductors phase to phase will also cause electric shock that may result in serious or fatal injury.
(3) Electrical shock may occur as a result of ground fault when a person stands near a grounded object. For example, if an uninsulated aerial device with its outriggers down comes into contact with a conductor.
(4) In the event of a downed energized electrical conductor or energized grounded object, there exists the hazard of step potential. 
(b)(1) Employees shall not perform tree trimming activities within 10 feet of high voltage energized power lines and conductors unless the employee meets the requirements of subsection (c). 
(2) A qualified tree worker shall be permitted to perform tree trimming activities within 10 feet, but no closer than 1 foot, of energized low voltage (600 volts or less) power lines and conductors, provided that the qualified tree worker is trained and competent in the following:
(A) The skills and techniques necessary to identify components of an electrical system, including the ability to distinguish exposed live parts from other parts of electric equipment; 
(B) The skills and techniques necessary to determine the difference between low and high voltage energized conductors and equipment; 
(C) The minimum approach distances that must be maintained as specified in this section corresponding to the voltages to which an employee will be exposed, and 
(D) The skills and work practices necessary to avoid contact with electrical lines and conductors, including the use of personal protective equipment and insulating or non-conductive tools. 
(c) Line clearance tree trimming operations as defined in Section 2700 of the High-Voltage Electrical Safety Orders (related to electrical equipment and conductors in excess of 600 volts) shall be conducted in accordance with Article 38 of the High-Voltage Electrical Safety Orders. Only qualified line clearance tree trimmers, or trainees, as defined in Section 2700 of the High-Voltage Electrical Safety Orders shall be permitted to perform such line clearance tree trimming work.

NOTE: Sections 2940.2 and 2951 of the High-Voltage Electrical Safety Orders provide minimum approach distances and requirements for line clearance operations. 
(d) Metal core rope used in a climbing system shall not be used in proximity to energized electrical equipment and conductors. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Change without regulatory effect amending subsection (b) filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
3. Amendment filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3424. Mobile Equipment.
Note     •     History

(a) General. 
(1) All vehicles and mobile equipment shall be equipped, maintained and operated in accordance with the manufacturer's recommendations, applicable safety orders of the California Code of Regulations, Title 8, including, but not limited to, the provisions contained in this Article 12 of the General Industry Safety Orders. 
(2) Prior to the daily use of vehicles and mobile equipment, visual inspections and operational checks shall be made in accordance with the manufacturer's instructions. 
(3) No part of the employee's body shall be used to locate or attempt to stop a hydraulic leak.
(4) Transportation of employees and materials shall be conducted in accordance with the provisions of Article 27 of these Orders. 
(5) Vehicles shall not be operated at speeds which will endanger the driver or workers. 
(b) Aerial Devices. 
(1) All aerial devices used for operations within the scope of this standard shall be in accordance with Article 24 of the General Industry Safety Orders except as modified by the provisions contained in this Article 12 of the General Industry Safety Orders.
(2) Placement of an employee in a tree with the aid of an aerial device shall be accomplished in the following manner: 
(A) Prior to leaving the personnel basket or platform for entry into the tree, employees shall be secured to the tree in accordance with the requirements in Sections 3422 and 3427 before releasing the personal fall protection system attached to the aerial device. The procedure shall be reversed when entering the personnel basket or platform from a tree. 
(c) Brush Chippers. 
(1) Each rotary drum tree or brush chipper or disk-type tree or brush chipper not equipped with a mechanical infeed system shall be equipped with an infeed hopper not less than 85 inches, measured from the blades or knives to ground level over the centerline of the hopper, and shall have sufficient height on its side members so as to prevent personnel from contacting the blades or knives of the machine during normal operations.
(2) Each rotary drum tree or brush chipper or disk-type tree or brush chipper not equipped with a mechanical infeed system shall have a flexible anti-kickback device installed in the infeed hopper for the purpose of protecting the operator and other persons in the machine area from the hazards of flying chips and debris. 
(3) All brush chippers shall be equipped with a locking device on the ignition system to prevent unauthorized starting of the equipment. 
(4) Trailer chippers detached from trucks shall be chocked or otherwise secured. 
(5) Cutting bar and blades shall be kept sharp, properly adjusted and otherwise maintained in accordance with the manufacturer's recommendations. 
(6) Each disk-type tree or brush chipper equipped with a mechanical infeed system shall have a quick stop and reversing device on the infeed. The activating lever for the quick stop and reversing device shall be located across the top, along each side of, and as close to the feed end of the infeed hopper as practicable and within easy reach of the operator. 
(7) Rotary drum or disk-type brush chippers shall be fed from the side of the centerline, and the operator shall immediately turn away from the feed table when the brush is taken into the rotor. 
(8) Employees shall never place hands, arms, feet, legs, or any other part of the body on the feed table when the brush chipper is in operation or the rotor is turning. 
(9) Climbing equipment, ropes, body belts, harnesses and lanyards shall not be worn while operating chippers. 
(10) The brush chipper discharge chute or cutter housing cover shall not be opened or removed while any part of the chipper is turning or moving. 
(11) Material such as stones, nails, and similar debris shall not be fed into the brush chipper. Ropes that present an entanglement hazard shall be prevented from entering the point of operation of the chipper. 
(12) Chipper mounted winches shall be used in accordance with the manufacturer's instructions. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b)(1) and (c) filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment of subsection (a)(1), new subsections (a)(2)-(5), amendment of subsections (b)(1) and (b)(2)(A) and new subsections (c)(7)-(12) filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3425. Portable Power Hand Tools.
Note     •     History

(a) Power Saws. 
(1) Power saws shall be operated and maintained in accordance with the manufacturer's instructions.
(2) Power saws weighing more than fifteen pounds (service weight) that are used in trees shall be supported by a separate line or tool lanyard, except when working from an aerial-lift device or during topping or removing operations where no supporting limb is available. 
(3) All power saws shall be equipped with a constant pressure control that will return the saw to idling speed when released. 
(4) Power saws shall be so adjusted that the chain drive will not engage at idling speed.
(5) Power saw engines shall be stopped when carried for a distance greater than 100 feet, or in hazardous conditions such as slippery surfaces or heavy underbrush. Chain brakes shall be engaged or the saw engine stopped when the saw is carried a distance greater than 10 feet.
(6) The saw shall be stopped for all cleaning, refueling, adjustments, and repairs to the saw or engine where practicable, except where manufacturers' instructions require otherwise.
(7) Tree workers shall use a second point of attachment such as a work-positioning lanyard or double-crotched rope when operating a chain saw in a tree, unless the employer demonstrates that a greater hazard is posed by using a second point of attachment while operating chain saws in that particular situation. 
(8) While a powered pole saw or brush saw is running, no one shall be permitted within 10 feet of the cutting head, except the operator.
(9) Powered saws shall be equipped with a quick shutoff switch readily accessible to the operator. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3426. Hand Tools.
Note     •     History

(a) General. 
(1) Hand tools shall be used in accordance with Section 3556 of these Orders. 
(2) When climbing into a tree, tree workers shall not carry hand tools and equipment in their hands unless they are tools used to assist them in their climbing. Tools other than ropes or throwlines shall not be thrown into a tree, out of a tree or between workers aloft. 
(3) Employees shall maintain a safe working distance from other employees when using hand tools. 
(4) Chopping tools shall be swung away from the feet, legs, and body. 
(5) Chopping tools shall not be driven as wedges or used to drive metal wedges unless specifically designed to be driven or to be used to drive wedges. 
(6) Hand tools and equipment shall be properly stored or placed in plain sight out of the immediate work area when not in use. 
(b) Pruners and Saws.
(1) Pole pruners, pole saws, and other similar tools shall be equipped with non-conducting poles and actuating cords.
(2) Pole pruners and pole saws shall be hung securely in a vertical position to prevent dislodging. Pole pruners or pole saws shall not be hung on utility wires or cables, or left in the tree overnight. Pole saws shall be hung so that the sharp edge is away from the employee. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3427. Safe Work Procedures.
Note     •     History

(a) Climbing and Access.
(1) Prior to climbing the tree, the employer shall ensure that the tree, including the root collar, is visually inspected by a qualified tree worker who shall determine and ensure a safe method of entry into the tree. The location of all electrical conductors and equipment within the work area shall be identified in relation to the work being performed. Climbing lines, ropes, lanyards, and other climbing equipment shall be inspected in accordance with the provisions of Section 3422(j) of this Article 12. 
(A) Only when a tree cannot be safely accessed by climbing or the use of aerial devices, a qualified tree worker may be hoisted into position by using an approved tree worker's saddle secured to a crane's hook that shall be closed with a positive locking device. The tree worker's saddle shall also be secured to an independent line attached above the crane hook, and the following criteria shall be met:
1. All climbing equipment, lines and rigging shall have a minimum breaking strength of at least 5,000 pounds.
2. The crane boom and load line shall be moved in a slow, controlled, cautious manner with no sudden movements when the qualified tree worker is attached to the crane.
3. The requirements for hoisting employees by crane in a personnel platform contained in Sections 5004(d)(2), (4), (5), (6), and 5004(e) shall apply to the hoisting of a qualified tree worker suspended in an approved tree worker saddle.
4. Cranes used for tree work shall be equipped with a functional load indicating device.
5. The crane operator shall be familiar with the potential hazards and operational techniques encountered in tree work.
6. The qualified tree worker being hoisted shall be in continuous communication with the crane operator, or signals shall be relayed by a qualified signal person as provided in Section 5001.
7. The crane operator shall remain at the controls when the qualified tree worker is attached to the crane.
8. The qualified tree worker shall be detached from the crane while the load is hoisted.
9. The employer shall ensure that the crane operator and qualified tree worker determine the weight of the load being lifted to prevent the crane from being overloaded.
10. The hoisting of a qualified tree worker shall be promptly discontinued upon indication of any dangerous weather conditions or other impending danger.

NOTE: 1. Other applicable provisions pertaining to crane operations are contained in the General Industry Safety Orders, Group 13, Cranes and Other Hoisting Equipment.

NOTE: 2. For line clearance tree trimming operations, see Article 38 of the High Voltage Electrical Safety Orders.
(B) Special Training Requirements. The employer shall ensure that every qualified tree worker involved in tree work utilizing a crane to position personnel into a tree under the provisions of Section 3427(a)(1)(A), receives instruction and training on such work and is competent in the following areas:
1. Safe work procedures and knowledge of the hazards applicable to tree work involving the use of cranes.
2. The use of personal protective equipment required for tree work.
3. The inspection and safe use of all climbing equipment, lines and rigging.
4. Crane signals and communication requirements with the crane operator as provided in Section 5001. 
5. Instructions regarding electrical hazards as described in Section 3423.
6. The safe use of chain saws in tree work.
7. The conditions and criteria necessary to permit the use of a crane to provide access into a tree.
8. The handling of loads as described in Section 4999 and rigging techniques for tree work.
9. Effective means for controlling pedestrian and vehicular traffic.
(C) Documentation of employee training required by Section 3427(a)(1)(B) shall be maintained as prescribed by Section 3203 of these Orders.
(2) When working aloft, employees shall wear a tree workers' saddle and have at least two means of being secured, such as a climbing line and a work positioning lanyard. 
(3)(A) Employees shall be tied in or secured while ascending the tree and remain tied in or secured until the work is completed and they have returned to the ground. 
(B) Employees shall not work from or leave a ladder to gain access to a tree unless the employee is tied in or otherwise secured to the tree. 

EXCEPTION: Employees may work from a self-supporting ladder in accordance with the manufacturer's instructions. 
(4) The tie-in point shall be established on or around the main leader or a major upright branch of the tree as high as necessary using branches with a wide crotch to prevent any binding of the climbing line. The crotch selected for tying-in shall be over the work area as nearly as possible, but located in such a way that a slip or fall would not permit the employee to come in contact with any electrical conductor, equipment or other hazard. 
(b) Pruning, Trimming and Tree Removal Operations. 
(1) The employer shall establish a method of verbal or visual communication which shall be reviewed during the job briefing, prior to the start of pruning or removal operations. The verbal or visual communication system shall use an established command and response system or pre-arranged, two-way hand signals. The communication method shall be clearly understood and used during all rigging operations. The command “stand clear” from aloft and the response “all clear” from the ground are some terms that may be used for verbal communication. 
(2) A drop zone shall be established prior to the start of pruning or removal operations. Employees not directly involved in the pruning or removal operation shall stay out of the pre-established drop zone until it has been communicated by a qualified tree worker directly involved in the operation that it is safe to enter the drop zone. Employees shall be positioned and their duties organized so that the actions of one employee will not create a hazard for any other worker. 
(3) Only qualified tree workers directly involved in the operation shall be permitted in the drop zone when a load is being suspended by a rigging system.
(4) When a rigging system is necessary, a qualified tree worker shall determine the appropriate rigging system for the removal project based on factors that include, but are not limited to, the species, size, weight, and length of tree sections or limbs being removed. 
(5) When it is necessary to remove branches or sections of a tree that will be removed, a qualified tree worker who is trained and experienced in rigging operations shall determine whether the tree can withstand the strain of the lowering procedures. If the determination is that the tree cannot do so, other means of removing the tree shall be considered. 
(6) Wedges, block and tackle, rope, and other lowering devices shall be used when there is a danger that a tree or trees being removed may fall in the wrong direction or damage property. All limbs and sections shall be removed to a height and width sufficient to allow the tree to fall clear of any wires or other objects in the vicinity. 
(7) Separate ropes for lowering limbs shall be attached to limbs which cannot be dropped or are too heavy to be controlled by hand. Climbing lines shall not be attached to the same crotch as ropes used for lowering limbs. 
(8) Cut branches (hangers) shall be removed from the tree prior to leaving the job site.
(9) When an employee is elevated above 12 feet in any tree work operations including climbing ladders, climbing into the tree or using an aerial device, a second employee shall be present to render immediate assistance.
(10) Palm frond skirts shall be removed from the top down. Qualified tree workers performing this work shall be supported by a climbing line and a false crotch attached above the frond skirt, or they shall work from an aerial device. 

EXCEPTION: Fronds may be trimmed from below the dead frond accumulation only when a qualified tree worker who is competent and experienced in palm tree work and the hazards associated with removing dead fronds makes a determination that this task can be safely performed from below. 

NOTE: Because palm frond skirts have the potential of unexpectedly releasing onto a worker below, the ANSI Z133.1-2006 standard “Arboricultural Operations--Safety Requirements” Section 8.2.7 states that tree workers shall never attempt to remove palm frond skirts of three years or more growth by positioning themselves below the work areas while being supported by a lanyard. 
(11) When dry conditions exist, no employee shall smoke in or near dead palm fronds. All chain saws used under such conditions shall have mufflers and spark arresters in good working condition. 
(c) Felling.
(1) The work area shall be cleared to permit safe working conditions before any cutting is started. 
(2) A planned escape route for all workers shall be prepared before cutting any standing tree or trunk.
(3) A notch and back cut shall be used to establish a hinge when felling trees over 5 inches in diameter.
(A) Notches and back cuts shall be made at a height that enables the chain-saw operator to safely begin the cut, control the tree or trunk, and have freedom of movement for escape. 
(B) The notch cut used shall be a conventional notch, an open-faced notch, or a Humboldt notch as defined in Section 3420(b).
(C) The notch depth shall not exceed one-third of the diameter of the tree. 
(D) The back cut shall not penetrate into the predetermined hinge area.
(E) With a conventional notch or Humboldt notch, the back cut shall be 1 to 2 inches above the apex of the notch to provide an adequate platform to prevent kick-back of the tree or trunk. With an open-face notch (greater than 70 degrees), the back cut shall be at the same level as the apex of the notch. 
(F) The two saw cuts that form a notch shall not cross at the point where they meet. 
(4) Just before the tree or trunk is ready to fall, an audible warning shall be given to those in the area. Pre-arranged, two-way hand signals may also be used as a warning, provided that only qualified persons shall give such signals. All non-involved personnel in the vicinity shall be safely out of range before the tree or trunk falls.
(5) Prior to the start of any tree felling or removal operations, the hazards and relevant factors pertaining to the tree and the site are to be considered by undertaking actions that include, but are not limited to, the following:
(A) Identifying potential hazards in the area surrounding the tree to be removed, including nearby trees.
(B) Determining the species and shape of the tree.
(C) Evaluating the lean of the tree.
(D) Inspecting for loose limbs and wood chunks, or other overhead material.
(E) Evaluating the wind force and direction.
(F) Identifying decayed or weak spots in the tree. 
(G) Providing a means to protect other persons, property, and electrical conductors.
(H) Evaluating the terrain characteristics and/or limitations of the work area; and
(I) Identifying evidence of bees or other wildlife habitation in the tree that may present hazards.
(d) Bucking.
(1) The employee shall work from the uphill side whenever possible during limbing or bucking operations. 
(2) The employee shall block the log during bucking operations to prevent rolling, when necessary. 
(3) When bucking trunks of trees, wedges shall be used when necessary to prevent binding the chain saw guide bar or chain. 
(e) Structural Support Systems, and Lightning Protection Systems. 
(1) Employees on the ground shall not stand in the drop zone during the installation of structural support systems or lightning protection systems. 
(2) Tools used to install structural support systems or lightning protection systems shall be carried in a bag or on a belt designed to hold such tools or attached to a tool lanyard.
(3) Employees installing cabling, support systems or lightning protection systems shall be positioned off to one side in order to avoid injury in case of a cable system failure that could occur when a block and tackle or hand winch is released.
(4) When removing a cable from a tree, a block and tackle or come-along system shall be used before removing the cable. 
(5) When installing a replacement cable, the replacement cable shall be fully installed before removing the outdated cable. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Amendment of subsections (a)-(a)(1), new subsection (a)(2) and subsection renumbering filed 4-1-2004; operative 4-1-2004 pursuant to Government Code section 11343.4(c) (Register 2004, No. 14). 
3. Amendment of subsection (a)(1), new subsections (a)(1)(A)-(a)(1)(A)8., repealer of former subsection (a)(2) and subsection renumbering filed 4-29-2004 as an emergency; operative 4-29-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(1), new subsections (a)(1)(A)-(a)(1)(A)8., repealer of former subsection (a)(2) and subsection renumbering refiled 8-26-2004 as an emergency; operative 8-26-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-26-2004 order, including further amendment of subsections (a)(1)-(a)(1)(A)1., new subsections (a)(1)(A)4.-5., subsection renumbering and new subsections (a)(1)(B)-(C), transmitted to OAL 12-17-2004 and filed 1-24-2005 (Register 2005, No. 4).
6. Amendment filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).
§3428. Operating Rules. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32).
2. Repealer filed 9-25-2012; operative 10-25-2012 (Register 2012, No. 39).

Appendix A [Repealed]

Tree Workers' Saddles, Safety Belts, Safety Straps And Lanyards
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Appendix A filed 8-8-85; effective thirtieth day thereafter (Register 85, No. 32). 
Article 13. Agricultural Operations
§3436. Application.
Note     •     History

The orders in this article shall apply to agricultural operations. Agricultural machinery and equipment are subject to all applicable Safety Orders except where they are inconsistent with the orders in this article.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3437. Definitions.
Note     •     History

Agricultural Equipment. Tractors or implements, including self-propelled implements, and stationary equipment which are used in agricultural operations.
Agricultural Operations. All operations necessary to farming in all of its branches, including maintenance of machinery or other facilities, and the planting, cultivating or growing, keeping for sale, harvesting, transporting on the farm or to the place of first processing, any tree, plant, animal, fowl, fish, insect or products thereof.
Frond. As used in Section 3458, the large connected leaf of a date palm tree.
Ground Driven Components. Components which are powered by the turning motion of a wheel driven by ground contact as the equipment travels over the ground.
Guard or Shield. See Article 37, Section 3941.
Guarded by Location. See Article 37, Section 3941.
Long-handled hand tool. Any hand-held tool with a handle of four (4) feet or more in length.
Nip Point. The mesh or pinch point of in-running surfaces such as gears, belts, sprockets, rolls, etc.
Power Take-Off (PTO) Drivelines. The shafts and universal joints between the tractor, or other power source, and the first gear set, pulley, or sprocket. Power Take-Off (PTO) Shaft. The power output shaft protruding from the drive unit of the agricultural equipment.
Self-Propelled Agricultural Equipment. Mobile equipment which is provided with locomotive power as an integral part of the unit.
Short-handled hand tool. Any hand-held tool with a handle of less than four (4) feet in length.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
3. Amendment filed 1-5-87; effective thirtieth day thereafter (Register 87, No. 2). 
4. New definition of “frond” filed 8-4-2003; operative 9-3-2003 (Register 2003, No. 32).
§3438. Communications.
Note     •     History

Where employees do not understand English, safety instructions and warnings shall be presented in a language the employees understand.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3439. First-Aid Kit.
Note     •     History

(a) There shall be adequate first-aid materials immediately available at the farm headquarters and/or on worker transportation buses. Such materials shall be kept in a sanitary and usable condition. A frequent inspection shall be made of all first-aid materials, which shall be replenished as necessary. In the case of employers whose workers are widely scattered in small crews that are contacted by a traveling foreman, adequate protection may be accomplished by having a first-aid kit in the foreman's car or vehicle.
(b) At remote locations, provisions must be made in advance for prompt medical attention in case of serious injuries. This may be accomplished by on-the-site facilities or proper equipment for prompt transportation of the injured person to a physician or communication system for contacting a doctor or combinations of these that will avoid unnecessary delay in treatment. There shall be at least 1 employee for every 20 employees at any remote location with training for the administering of emergency first aid.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3440. Agricultural Equipment.
Note     •     History

(a) All tractors shall be equipped with fenders or equivalent protection between the tractor operator and the tracks or rear wheels. On wheel tractors a minimum distance of 64 inches from the centerline of one driving wheel to the centerline of the opposite wheel will be considered equivalent protection. See Article 25 for ROPS and overhead protection.
(b) Tractor brake-locking or parking device shall be of the positive type, designed and maintained in such a manner that tractor vibration will not release the device.
(c) Power Take-Off Guarding.
(1) All PTO shafts shall be guarded. If the guard can be used as a step it shall be capable of supporting a 250 pound person.

Exception: Where PTO driven equipment is of a design requiring removal of the PTO shaft guard, the driven equipment shall incorporate guarding of the PTO shaft.
(2) PTO drivelines shall be guarded.
(3) Signs, decals, etc., shall be placed at prominent locations on agricultural equipment specifying that power drive system guards shall be kept in place.
(d) Other Power Transmission Components.
(1) The mesh or nip-point of all power driven gears, belts, chains, sheaves, pulleys, sprockets, and idlers shall be guarded.
(2) All revolving shafts, including projections such as bolts, keys or set screws, shall be guarded, except smooth shaft ends protruding less than one-half the outside diameter of the shaft and its locking means.
(e) Ground driven components shall be guarded if any employee is exposed to those components while they are in motion.
(f) Access to Moving Parts.
(1) Guards, shields, and access doors shall be in place when the equipment is in operation.
(2) Where removal of a guard or access door will expose an employee to any component which continues to rotate after the power is disengaged, the employer shall provide, in the immediate area, the following:
(A) A readily visible or audible warning of rotation (on all agricultural equipment manufactured after June 1, 1977).
(B) A safety sign warning the employee to look and listen for evidence of rotation, and not to remove the guard or access door until all components have stopped.
(g) Functional components of agricultural equipment not specifically addressed in this article, such as snapping or husking rolls, straw spreaders, cutter bars, flail rotors, rotary beaters, mixing augers, feed rolls, rotary tillers, and similar units, which must be exposed for proper function, shall be guarded so as not to interfere with normal functioning of the component.
(h) Sweep arm material gathering mechanisms shall be guarded when used on the top surface of materials within silo structures. The lower or leading edge of the guard shall be located no more than 12 inches above the material surface and no less than six inches in front of the leading edge of the rotating member of the gathering mechanism.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Amendment of NOTE filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
3. New subsections (d)-(d)(2), subsection relettering, and amendment of newly designated subsection (g) filed 4-4-96; operative 5-4-96 (Register 96, No. 14).
§3441. Operation of Agricultural Equipment.
Note     •     History

(a) Operating Instructions and Safe Work Practices. 
(1) At the time of initial assignment and at least annually thereafter, the employer shall instruct every employee in the safe operation and servicing of all equipment with which the employee is, or will be involved including, instruction on the safe work practices and operating rules provided in subsection (a)(2).
(2) Agricultural equipment shall be operated in accordance with the following safe work practices and operating rules:
(A) Keep all guards in place when the machine is in operation;
(B) Permit no riders on agricultural equipment other than persons required for instruction or assistance in machine operation;
(C) Stop engine, disconnect the power source, and wait for all machine movement to stop before servicing, adjusting, cleaning, or unclogging the equipment, except where the machine must be running to be properly serviced or maintained, in which case all steps and procedures which are necessary to safely service or maintain the equipment shall be taken;
(D) Make sure everyone is clear of machinery before starting the engine, engaging power, or operating the machine;
(E) Lock out electrical power before performing maintenance or service on agricultural equipment. (See Article 3 of the Low-Voltage Electrical Safety Orders.)
Note: For overhead electrical hazards see Section 3455 of this article.
(b) All self-propelled equipment shall, when under its own power and in motion, have an operator stationed at the vehicular controls. This shall not prohibit the operator occupying or being stationed at a location on the vehicle other than the normal driving position or cab if controls for starting, accelerating, decelerating and stopping are provided adjacent and convenient to the alternate position. If the machine requires steering other than ground or furrow steering or operates at ground speeds in excess of two miles per hour, steering controls shall also be provided at the alternate location. Seedling planters and other similar equipment traveling at a speed of two miles an hour or less where a control that will immediately stop the machine is located at the operator's work station will satisfy this requirement.
(1) Furrow guided self-propelled mobile equipment may be operated by an operator not on the equipment provided that all of the following are complied with:
(A) The operator has a good view of the course of travel of the equipment and any employees in the immediate vicinity.
(B) The steering controls, when provided, and the brake and throttle controls are extended within easy reach of the operator's station.
(C) The operator is not over 10 feet away from such controls and does not have to climb over or onto the equipment or other obstacles to operate the controls.
(D) The equipment is not traveling at over two miles per hour ground speed.
(c) Safe access to a safe place for all personnel riding on mobile equipment shall be provided.
(d) All self-propelled equipment shall be equipped with a braking device controlled from the operator's station, capable of preventing the vehicle from moving while parked.
(e) Where mobile farm equipment is towed by a tractor or truck and the tractor or truck driver cannot see the employees on the towed equipment, a positive signaling device shall be installed on the towed equipment, or there shall be a device on the towed equipment that can be actuated to stop the towing equipment in case of an emergency. 
(f) Engine exhaust systems shall not be piped into or through an enclosed cab on tractors or other equipment.
(g) All tractors or self-propelled farm equipment used between an hour after sunset or an hour before sunrise shall be equipped with at least one headlight that will illuminate the area in front of the equipment at least 50 feet. There shall be at least one rear light to illuminate equipment at the rear. Additional lighting shall be provided where the operation requires field adjustment or the operator's attention.
(h) Adequate means of access shall be provided so that employees can safely reach the top of the load for manual loading or unloading of high loads.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 1-9-76; effective thirtieth day thereafter (Register 76, No. 2).
2. Repealer and new section filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
3. New subsection (a)(6) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
4. Amendment of subsection (a)(5) and repealer of subsection (a)(6) filed 9-19-2000; operative 10-19-2000 (Register 2000, No. 38).
5. Amendment filed 12-2-2002; operative 1-1-2003 (Register 2002, No. 49).
§3442. Horizontal Rotary Spreaders.
Note     •     History

The spinner shall be guarded to prevent accidental contact. The guard shall consist of a bar, rail, or similar structure beyond the periphery of the spinner.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3443. Corn Pickers. [Repealed]
History

HISTORY

1. Repealer filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20). 
§3444. Beet Trucks.
Note     •     History

In no case shall the entire side door hinge from the bottom on manually operated beet truck sides. Split doors may be used, providing the bottom hinged portion does not exceed its practical value as a locking device or discharge lip and is not over 18 inches high.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3445. Choppers.
Note     •     History

(a) Every power-driven cutter, chopper, or grinder shall be guarded to prevent accidental contact with revolving parts or access to hazardous parts of the machine.
Access doors or covers shall be identified by an appropriate warning sign.
(b) Every manually fed power-driven cutter, chopper, or grinder shall be guarded to prevent accidental contact with the feed rolls or other hazardous processing parts of the machine.
Note: Guarding may be accomplished by extending the feed chute or hopper to provide a minimum accessible distance o not less than 88 inches from the working level to the point of operation, or a distance of 36 inches from the edge of the chute or hopper to the point of operation, or other effective means.
(c) Stationary machines which are equipped with feed rolls or other feed-assisting mechanisms shall be provided with a safety bar or trapeze bar which will stop the machine.
(d) Rotary choppers with horizontal blades shall have side shields extending below the plane of the lowest blade. Front and rear guards shall be provided to guard against accidental contact with the revolving blades.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 9-6-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
2. Amendment of subsections (a)-(c) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20). 
§3446. Conveyors and Elevators.
Note     •     History

(a) Portable screw conveyors located seven feet or less above the work level shall be covered or guarded to prevent accidental contact with any portion of the screw. Augers shall be guarded with either grating type guards or solid baffle style covers as follows:
(1) The largest dimensions or openings in grating type guards through which materials are required to flow shall be 4 3/4 inches. The area of each opening shall be no larger than 10 square inches. The opening shall be located no closer than 2 1/2 inches to the rotating flighting.
(2) Slotted openings in solid baffle style covers shall be no wider than 1 1/2 inches, or closer than 3 1/2 inches to the exposed flighting.

Exception: Portable material transfer augers which cannot be guarded as above due to the nature of the process or material being transferred shall not be permitted to rotate unless they are in contact with the material to be transferred. The top and rear of the rotating auger shall be guarded. The leading edge of the guard shall extend at least six inches beyond the leading edge of the auger flight. Employees shall not be required or permitted in front of an auger while it is rotating.
(b) Portable sack loader, auger, elevator, or drag conveyor drive systems shall contain only one starting control. The starting control shall be located within ready access of the operator.
(c) Shear points created by portions of the conveyor passing structural or other fixed parts shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Amendment of subsection (a)(1) filed 9-6-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
3. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
4. Amendment of subsection (a) filed 4-4-96; operative 5-4-96 (Register 96, No. 14).
§3447. Vegetable-Trimming Saws.
Note     •     History

(a) The unused portion of the saw blades shall be enclosed.
(b) A barrier shall be installed to prevent employees from reaching the saw blades.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3448. Water Hazards.
Note     •     History

Where and when employees are required to work in or about farm structures such as permanent pools, ponds, water tanks, or reservoirs 4 feet or more in actual depth and where the slope and construction would make exit difficult, ladder, steps or other suitable climbing means extending to the low water level shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3449. Ladders. [Repealed]
History

HISTORY

1. Repealer filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3450. Formulation and Application of Restricted Materials.
Note     •     History

(Organophosphates and carbamates, Toxicity Categories I and II).
Medical requirements relating to the formulation and application of restricted materials shall be as required by Title 3, Article 23 of the California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3451. Decontamination of Equipment Used for Restricted Materials.
Note     •     History

(a) Machines, aircraft, or applicators shall be decontaminated before they are overhauled or placed in storage.
(b) Decontamination shall be done in a safe area by washing with water, neutralization, or by means recommended by the manufacturer of the restricted material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3452. Aircraft Crop Dusting and Spraying.
Note     •     History

(a) All hoppers on crop-dusting aircraft shall have dust-tight covers, and shall have lids so secured that they will not readily open in case of a flipover.
(b) Safety precautions to be followed when using aircraft for crop dusting and spraying shall be as required by Title 3, Article 23 of the California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3453. Applicator Rigs, Tanks, and Vessels Used for Fertilizer, Insecticide, Pesticide, and Other Chemical Solutions of a Hazardous Nature.
Note     •     History

(a) All closed tanks over 100 gallons in capacity shall have an effective means to indicate the liquid level.
(b) Fittings, hose, and tubing connections of the proper strength for the maximum pressure encountered in the system shall be used. All hose connections shall be clamped or otherwise safely secured.
Anhydrous ammonia (NH3) connections shall be in accordance with the Unfired Pressure Vessel Safety Orders.
(c) All storage tanks shall have a legend attached, painted, or stenciled on them indicating the type of solution stored in them. The legend shall be in letters at least 2 inches high of a color contrasting with the color of the tank. A notice with precautionary instructions equivalent to the label prescribed by the labeling orders of the Division for the material being used shall also be attached to the tank.
(d) When positive displacement pumps are used and a stop valve is located between the outlet side of the pump and the discharge end of the hose, pipe, or tubing, there shall be installed a relief device which will bypass the liquid back to the low-pressure side of the system to prevent rupturing of the discharge hose, pipe, tubing, or pump.
(e) Controls for applicator tanks shall be placed in such a manner that the employee will receive the least possible exposure from ruptured or breaking lines at the controls.
The distributing manifold (Christmas Tree) if in the immediate vicinity of the operator shall be located to the rear and below the seat level of the operator or completely shielded.
(f) When two or more tanks under gas or liquid pressure are connected by means of a hose, tubing, or pipe blocked at both ends by stop valves, there shall be a device installed in the line to bleed off the pressure before the line is disconnected.
(g) Where aqua ammonia operations are conducted, each bulk tank, mobile applicator, or nurse tank, shall have immediately available from a safe and accessible source, or shall be supplied with sufficient clean water (5 gallons) to enable an employee to wash his eyes in case of accidental sprays or spillage.
(h) All pressure vessels shall be designed and constructed in accordance with the Unfired Pressure Vessel Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (c) and (g) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20). 
§3454. Sheepshearing.
Note     •     History

(a) Canvas or other fabric material used for floors shall be stretched tight and properly pegged at regular 4 foot intervals around the outer edge to prevent them from gathering or bunching. The floor shall be maintained tight at all times.
(b) Hobbles shall be installed one-third of the way down on each hanger arm. These hobbles shall be secured to the main hanger, and the leather thongs passed through an eyelet on the turn-out side of the shearing floor. On each end of the thongs there shall be a weight adequate enough to pull the hanger arm back to a neutral position in case the clippers are dropped or kicked free.
(c) The catch pen and turn-out pen shall be provided with proper gates or other barriers to prevent sheep from dashing across the shearing floor while shearers are at work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3455. Overhead Electrical Hazards.
Note     •     History

(a) Where high-voltage electrical lines pass over, through or along planted areas or orchards, the supervisor or person in charge of work crews shall inspect the work area to determine if the high-voltage lines are located in areas that may expose employees to electrical hazards.
(b) Electrically conductive poles shall not be used for fruit picking or nut-knocking. Employees using other conductive tools or equipment to perform duties such as pruning, harvesting and the handling of irrigation pipe in areas where such tools or equipment could come into contact with overhead high-voltage electrical lines shall not be assigned such work until they are instructed in the hazards associated with working in proximity to energized high-voltage electrical lines (i.e., serious bodily injury or death from accidental contact or near-contact with energized electrical lines). The instruction shall include the use of tools, equipment and work practices necessary to perform work safely and maintain the appropriate clearances specified in subsection (c).
(c) The clearance distances contained in Article 37, Tables 1 and 2 of the High-Voltage Electrical Safety Orders shall be maintained when placing or moving irrigation piping, and when employees use tools, ladders, machinery, or other equipment and materials that could come into contact with high-voltage lines.
NOTE: Article 37, Table 1 pertains to general clearances required from energized overhead conductors and Table 2 pertains to boom-type lifting or hoisting equipment clearances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-5-80; effective thirtieth day thereafter (Register 80, No. 23).
2. Amendment filed 7-2-80; effective thirtieth day thereafter (Register 80, No. 27).
3. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
4. Repealer and new section filed 9-19-2000; operative 10-19-2000 (Register 2000, No. 38).
§3456. Hand-HeldTools.
Note     •     History

(a) Hand-held tools shall be kept in good condition and be safely stored.
(b) The use of a short-handled hoe or any other short-handled hand tool is prohibited in agricultural operations, as that term is defined in Section 3437, for weeding, thinning or hot-capping when such hoe or short-handled hand tool is used in a stooped, kneeling or squatting position. A long-handled hand tool used for these operations shall not be used as a short-handled hand tool in a stooped, kneeling or squatting position.
(c)(1) Hand weeding, hand thinning, and hand hot-capping in a stooped, kneeling or squatting position shall not be permitted in agricultural operations as defined in Section 3437, unless there is no readily available, reasonable alternative means of performing the work that is suitable and appropriate to the production of the agricultural or horticultural commodity.
(2) Upon inquiry made by the Division of Occupational Safety and Health personnel, the employer shall bear the burden of justifying that the use of hand weeding, hand thinning, or hand hot-capping was required due to the unsuitability of the use of a long-handled tool or other alternative means of performing the work.
(3) Nothing in this subsection shall be construed as prohibiting occasional or intermittent hand weeding, hand thinning or hand hot-capping in a stooped, squatting, or kneeling position that is incidental to a non-hand weeding operation. For purposes of this subsection, occasional or intermittent means an employee is devoting 20 percent or less of his or her weekly work time to hand weeding, hand thinning and hand hot-capping.
(4) Every employer shall provide employees engaged in hand weeding, hand thinning and hand hot-capping, not determined to be occasional or intermittent as defined in subsection (3), an additional five (5) minutes of rest period time, which insofar as practicable, shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of fifteen (15) minutes net rest time per four (4) hours of work, or major fraction thereof. Authorized rest time shall be counted as hours worked for which there shall be no deduction from wages.
(5) Employees engaging in hand weeding, hand thinning, or hand hot-capping shall be provided gloves and knee pads, as necessary, and training required to perform the job in accordance with all guidelines of Section 3203, Injury and Illness Prevention Program.
(6) The employer shall, in accordance with Title 8, Section 11140, provide any hand tool that may be used under subsection (c)(1).
(d) The provisions of subsection (c)(1) and (c)(2) shall not apply to the following situations:
(1) High density plants spaced less than 2 inches apart when planted;
(2) Any agricultural or horticultural commodity grown in fields or greenhouses which have been registered with the County Agricultural Commissioner as organic;
(3) All agricultural or horticultural commodities when they are seedlings; and
(4) Horticultural commodities grown in tubs or planter containers with an opening not to exceed fifteen (15) inches.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-5-87; effective thirtieth day thereafter (Register 87, No.2).
2. Amendment of subsection (b) and new subsections (c)-(d)(4) filed 10-7-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and new subsections (c)-(d)(4) refiled 1-26-2005 as an emergency; operative 2-4-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-26-2005 order, including amendment of subsections (c)(1), (d)(2) and (d)(4), transmitted to OAL 3-18-2005 and filed 4-29-2005 (Register 2005, No. 17).
§3457. Field Sanitation.
Note     •     History

(a) Scope: This section shall apply to all agricultural employers.
(b) Definitions.
“Agricultural employer” means any person, corporation, association, or other legal entity that:
A. Owns or operates an agricultural establishment;
B. Contracts with the owner or operator of an agricultural establishment in advance of production for the purchase of a crop and exercises substantial control over production; or
C. Recruits and supervises employees or is responsible for the management and condition of an agricultural establishment.
“Agricultural establishment” is a business operation that uses paid employees in agricultural operations.
“Agricultural operation” means any operation necessary to farming pursuant to Section 3437.
“Hand-labor operations” means agricultural activities or agricultural operations performed by hand or with hand tools in the production of food, fiber, or other materials such as seed, seedlings, plants, or parts of plants. “Hand-labor operations” also include other activities or operations performed in conjunction with hand-labor in the field. Some examples of “hand-labor operations” are the hand-manipulation of irrigation pipes and other irrigation equipment by irrigators; the hand-cultivation, hand-weeding, hand-planting and hand-harvesting of vegetables, nuts, fruits, seedlings or other crops, including mushrooms; and the hand packing of produce into containers, whether done on the ground, on a moving machine or in a temporary packing shed located in the field. “Hand-labor” does not include such activities as logging operations, the care or feeding of livestock, or hand-labor operations in permanent structures (e.g., canning facilities or packing houses).
“Handwashing facility” means a facility providing either a basin, container, or outlet with an adequate supply of potable water, soap or other suitable cleansing agent and single-use towels.
“Potable water” means water that meets the primary standards for drinking purposes found in Title 22, California Code of Regulations, Division 4, Chapter 15.
“Toilet facility” means a fixed or portable facility designed for the purpose of adequate collection and containment of the products of both defecation and urination which is supplied with toilet paper adequate to employee needs. Toilet facility includes biological, chemical, flush and combustion toilets and sanitary privies, in portable or mixed form.
(c) Requirements.
Agricultural operations not involving hand-labor operations shall meet the requirements of Sections 3360-3368.
All other agricultural operations shall meet the following requirements:
(1) Potable drinking water.
(A) Potable water shall be provided during working hours and placed in locations readily accessible to all employees. Access to such drinking water shall be permitted at all times.
(B) The water shall be fresh and pure, suitably cool, and in sufficient amounts, taking into account the air temperature, humidity, and the nature of the work performed, to meet the needs of all employees.
(C) The water shall be dispensed in single-use drinking cups or by fountains. The use of common drinking cups or dippers is prohibited.
Note: For the purposes of this section, the term “common use,” when applied to a drinking receptacle, is defined as its use for drinking purposes by, or for, more than one person without its being thoroughly cleansed and sterilized between consecutive uses thereof by methods prescribed by or acceptable to the State Department for Health Services.
(D) Drinking water containers shall be constructed of materials that maintain water quality, and shall be provided with a faucet, fountain, or other suitable device for drawing the water.
(2) Toilet and handwashing facilities.
(A) Separate toilet facilities for each sex shall be provided for each twenty (20) employees or fraction thereof. One handwashing facility shall be provided for each twenty (20) employees or fraction thereof. Where there are less than five employees, separate toilet rooms for each sex are not required provided toilet rooms can be locked from the inside and contain at least one water closet. Urinals may be installed instead of water closets in toilet rooms to be used only by men provided that the number of water closets shall not be less than two-thirds the minimum number of toilet facilities.

Exception: An employer may provide transportation to toilet and handwashing facilities, as an alternative means of compliance if: 1. employees perform field work for a period of less than two (2) hours (including transportation time to and from the field), 2. fewer than five (5) employees in any agricultural establishment are engaged in hand-labor operations on any given day, or 3. employees are not engaged in hand-labor operations.
(B) Toilet and hand-washing facilities shall at all times meet the following standards:
1. Toilet facilities shall be appropriately screened to keep flies and other vermin away from the excreta.
2. Units housing toilet and handwashing facilities shall be ventilated and provided with self-closing doors, lockable from the inside, and shall be otherwise constructed to ensure privacy.
3. Toilet facilities shall provide a minimum area of eight (8) square feet, with a minimum width of two and one-half (2 1/2) feet for each toilet seat. A minimum area of ten (10) square feet, with a minimum width of two and one-half (2 1/2) feet, shall be required when a urinal is included. Sufficient additional space shall be included if handwashing facilities are within the facility.
4. The wastewater tank on chemical toilets shall be constructed of durable, easily cleanable material and have a minimum tank capacity of forty (40) gallons. Construction shall be such as to prevent splashing on the occupant, field, or road.
5. The handwashing water tank shall provide a minimum capacity of fifteen (15) gallons.
6. Units housing toilet and handwashing facilities shall be rigidly constructed and their inside surfaces shall be of nonabsorbent material, smooth, readily cleanable, and finished in a light color.
7. Water flush toilets and handwashing facilities shall conform to Title 24, California Code of Regulations, Part 5, California Plumbing Code.
(C) Toilet and handwashing facilities shall be accessibly located and in close proximity to each other.
(D) The facilities shall be located within a one-quarter (1/4) mile walk or within five (5) minutes, whichever is shorter.
(E) Where due to terrain it is not feasible to locate facilities as required above, the facilities shall be located at the point closest to vehicular access.
(3) Maintenance standards: Potable drinking water facilities, toilet facilities, and handwashing facilities, which are under the control of the employer, shall be serviced and maintained by the employer at all times in accordance with appropriate public health sanitation practices, including the following:
(A) Drinking water containers shall be regularly cleaned, shall be refilled daily or more often as necessary, and shall be kept covered and protected to prevent persons from dipping the water by hand or otherwise contaminating it.
(B) Toilet facilities shall be, at all times, operational, maintained in a clean and sanitary condition, and kept in good repair. Written records of service and maintenance shall be maintained and retained for two years.
(C) Toilet paper shall be provided in a suitable holder in each toilet unit.
(D) Effective odor control and solid-liquefying chemicals shall at all times be used in chemical toilet waste holding tanks.
(E) Contents of chemical tanks shall be disposed of by draining or pumping into a sanitary sewer, an approved septic tank of sufficient capacity to handle the wastes, a suitably sized and constructed holding tank approved by the local health department, or by any other method approved by the local health department.
(F) Privies shall be moved to a new site or taken out of service when the pit is filled to within two (2) feet of the adjacent ground surface. The pit contents shall be covered with at least two (2) feet of well-compacted dirt when the privy is moved.
(G) Handwashing facilities shall at all times meet the following standards:
1. Pure, wholesome, and potable water shall be available for handwashing.
2. Handwashing facilities shall be refilled with potable water as necessary to ensure an adequate supply.
3. Soap or other suitable cleansing agent and single-use towels shall be provided.
4. Signs shall be posted, indicating that the water is only for handwashing purposes.
5. Handwashing facilities shall be provided at the toilet unit or in the immediate vicinity.
6. Handwashing facilities shall be maintained in a clean and sanitary condition.
(H) The disposal of wastes from toilet or handwashing facilities shall not cause unsanitary conditions, nuisance, or contamination.
(4) Reasonable use: The employer shall notify each employee of the location of the sanitation facilities and potable water and shall allow each employee reasonable opportunities during the workday to use these facilities. The employer shall ensure that employees use the sanitation facilities provided and shall inform each employee of the importance of each of the following good hygiene practices to minimize exposure to the hazards in the field of heat, communicable diseases, retention of urine, and agrichemical residues:
(A) Use the water and facilities provided for drinking, handwashing, and elimination;
(B) Drink water frequently, especially on hot days;
(C) Urinate as frequently as necessary;
(D) Wash hands both before and after using the toilet; and
(E) Wash hands before eating and smoking.
(d) Required Reports: Employers cited under this section shall provide to the Division annually for a period of five (5) years following the final order of a citation a written statement under penalty of perjury giving the following information: the estimated peak number of employees; the toilets, washing, and drinking water facilities to be provided by the employer; and any rental and maintenance agreements related to the requirements of this subsection.
NOTE

Authority cited: Sections 142.3 and 6712, Labor Code. Reference: Sections 142.3, 2441 and 6712, Labor Code.
HISTORY

1. New section filed 12-23-91; operative 1-22-92 (Register 92, No. 12).
2. Change without regulatory effect amending subsection (b) ``Potable water” filed 10-1-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 40).
§3458. Fall Protection for Date Palm Operations.
Note     •     History

(a) Employees working in or on date palm trees shall be protected from falling at heights greater than 7 1/2 feet by the use of approved equipment/devices such as, but not limited to, elevating work platforms or aerial devices, or fall protection as provided in accordance with this Section.
(1) Fall protection systems used to meet the requirements of subsection (a) (i.e., approved personal fall arrest, fall restraint, or work positioning device system) shall meet the requirements of Section 1670 of the Construction Safety Orders, except as modified by subsection (b), (c) and (d) of this section.
(b) Lanyards used in a fall protection system shall be constructed of wire rope or chain when there is a hazard of cutting or damaging the lanyard by the use of tools or knives.
(1) Wire rope lanyards shall meet the minimum strength requirements provided in Section 1670 of the Construction Safety Orders.
(2) Chains used in a fall protection system shall maintain a safety factor of at least 10.
Note: The term “safety factor” is defined as the ratio of the ultimate breaking strength of a member or piece of material or equipment to the actual working stress or safe load when in use.
(c) Date palm saddles shall be designed by a competent person and shall be used in accordance with the following:
(1) Date palm saddles are permitted for use only as part of positioning device systems and must incorporate the use of an approved body belt;
(2) Lanyard(s) shall be attached to at least two fronds; and
(3) Dead, decayed, or damaged fronds shall not be used for anchorage.
(d) Positioning device systems used in the crown of date palm trees are permitted for fall protection provided the following conditions are met:
(1) Lanyard(s) shall be attached to at least two fronds;
(2) Lanyard(s) shall have a maximum length of 8 feet and be rigged in such a manner that an employee cannot free fall more than 2 feet;
(3) Dead, decayed, or damaged fronds shall not be used for anchorage; and
(4) When changing work positions, at least one lanyard remains attached to provide fall protection at all times.
(e) A job briefing shall be conducted by a qualified person before each work assignment begins. Such job briefing shall include the description of the hazards unique to a specific job, appropriate work procedures to be followed, and other items to ensure that the work can be accomplished safely.
(f) Prior to each use, fall protection equipment shall be inspected by a qualified person and any found to be defective shall be immediately removed from service.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-4-2003; operative 9-3-2003 (Register 2003, No. 32).
§3458.1. Ladders Attached to Date Palms.
Note     •     History

(a) Ladders permanently attached to the date palm for access and egress during cultivation and harvesting activities shall meet the following requirements:
(1) Ladders shall be attached to the date palm trunk with a minimum of three 12-gauge galvanized wires fastened at the top, middle and bottom portion of the ladder. Ladders and fastenings shall be capable of supporting a minimum single concentrated live load of at least 250 pounds.
(2) In addition to the requirements of subsection (a)(1), a corrosion resistant steel safety chain shall be securely attached to the ladder rails below the top rung and around the crown of the palm tree.
(3) When more than one ladder is attached to the tree (i.e. when the ladders are used in tandem), they shall be connected to each other by a safety chain securely attaching the ladder rails above the lowest rung of the upper ladder to the ladder rails of the uppermost rung of the lower ladder and around the trunk.
(4) Not more than two ladder sections shall be permanently attached to a date palm.
(5) There shall be not more than one worker on a ladder attached to the date palm at any one time.
(6) Safety chains and related attachments shall maintain a safety factor of at least 10.
(7) Ladder rungs shall be spaced no more than 12 inches apart and shall be at least 12 inches long.
(8) The distance from the centerline of the ladder rung to the nearest permanent object shall be spaced to provide the user with a secure foothold on the rung.
(9) Individual ladders shall be no more than 15 feet in length.
(b) Use of date palm ladders shall be in accordance with the requirements of Section 3278 of these Safety Orders.
(c) Only metal ladders may be permanently attached to date palms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-3-2007; operative 11-2-2007 (Register 2007, No. 40).
2. Amendment of subsection (b) filed 12-8-2010; operative 1-7-2011 (Register 2010, No. 50).
Article 14. Marine Terminal Operations
§3459. Scope.
Note     •     History

This Article applies to all marine terminal operations including longshoring and stevedoring on land, pier, wharf and dock from the terminal gate(s) up to the pier, land, wharf or dock end of the gangway, and to all shore-based cranes or other shore-based devices used for loading of cargo on or off a vessel or ship on the navigable waters of the United States contiguous to the borders of the State of California.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Article 14 (Sections 3459-3474) filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48). 
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3460. Definitions.
Note     •     History

Apron. That open portion of a marine terminal immediately adjacent to a vessel berth and used in the direct transfer of cargo between the terminal and vessel.
Cargo Door (transit shed door). A door designed to permit transfer of cargo to and from a marine terminal structure.
Cargo Packaging. Any method of containment for shipment, including cases, cartons, crates and sacks, but excluding large units such as intermodal containers, vans or similar devices.
Confined Space. See Section 5156(b). Examples of confined spaces are intermodal tank containers and portable tanks.
Dock. A wharf or pier forming all or part of a waterfront facility, including marginal or quayside berthing facilities, not to be confused with “loading dock” as at a transit shed or container freight station, or with the body of water between piers or wharves. Enclosed Space. A space where the ready access or egress for the removal of a suddenly disabled employee is difficult due to the location and/or size of the opening(s).
Flammable Atmosphere. An atmosphere containing more than 10 percent of the lower flammable limit of a flammable or combustible vapor or dust mixed with air.
Front-end Attachments. (As applied to cranes). Various attachments applied to the basic machine for the performance of functions such as lifting, clamshell or magnet services.
Front-end Attachments. (As applied to power-operated industrial trucks). Various devices, such as roll clamps, rotating and sideshifting carriages, magnets, rams, crane arms or booms, load stabilizers, scoops, buckets and dumping bins, attached to the load end for handling lifts as single or multiple units.
Gangway. Any ramp-like or stair-like means of access provided to enable personnel to board or leave a vessel, including accommodation ladders, gangplanks and brows.
Hot Work. Riveting, welding, flame cutting or other fire or spark-producing operation.
Intermodal Container. A reusable cargo container of rigid construction and rectangular configuration, intended to contain one or more articles of cargo or bulk commodities for transportation by water and one or more other transport modes without intermediate cargo handling. The term includes completely enclosed units, open top units, fractional height units, units incorporating liquid or gas tanks and other variations fitting into the container system, demountable or with attached wheels. It does not include cylinders, drums, crates, cases, cartons, packages, sacks, unitized loads or any other form of packaging.
Longshoring Operations. The loading, unloading, moving, or handling of cargo, ships stores, gear, etc., within the scope of this Article.
Loose Gear. Removable and replaceable components of equipment or devices which may be used with or as a part of assembled material handling units for purposes such as making connections, changing line direction and multiplying mechanical advantage. Examples are shackles and snatch blocks.
Marine Terminal. Wharves, bulkheads, quays, piers, docks and other berthing locations and adjacent storage or contiguous areas and structures associated with the primary movements of cargo or materials from vessel to shore or shore to vessel including structures which are devoted to receiving, handling, holding, consolidation and loading or delivery of waterborne shipments and passengers, including areas devoted to the maintenance of the terminal or equipment. The term does not include production or manufacturing areas having their own docking facilities and located at a marine terminal nor does the term include storage facilities directly associated with those production or manufacturing areas.
Stringpiece. A narrow walkway between the water edge of a berth and a shed or other structure.
(See Sections 3207 and 4885 for additional definitions.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§3461. General.
Note     •     History

(a) All cargo handling gear and equipment provided by the employer shall be inspected by the employer or his authorized representative before each use and, when necessary, at intervals during its use to insure that it is safe for its intended use. Any such gear which is found to be visibly unsafe shall not be used until it is made safe.
(b) Drafts shall be safely slung before being hoisted. Loose dunnage or debris hanging or protruding from loads shall be removed.
(c) Nails which are protruding from shoring or fencing in the immediate work areas shall be bent over or otherwise rendered harmless.
(Dunnage, lumber, or shoring material in which there are visibly protruding nails shall be removed from the immediate work area, or, if left in that area, the nails shall be bent over or otherwise rendered harmless.)
(d) Barges and railcars shall not be moved by cargo runners (running rigging) from vessel cargo booms, cranes or other equipment not suitable for the purpose.
(e) Bales of cotton, wool, cork, wood pulp, burlap bags or similar articles shall be hoisted by straps or by other means strong enough to support the weight of the bale. At least two hooks, each in a separate strap, shall be used.
(f) Unitized loads bound by bands or straps may be hoisted by the banding or strapping only if the banding or strapping is suitable for hoisting and is strong enough to support the weight of the load. 
(g) No employee shall be hoisted by the load hoisting apparatus of a crane or derrick except on intermodal container spreaders equipped in accordance with Section 3466(i).
(h) When stringpiece or apron width is insufficient for safe footing, grab lines or rails shall be installed on the sides of permanent structures.
(i) In order to provide safe access for handling lines while mooring and unmooring vessels, cargo or material shall not be stowed or vehicles placed where they obstruct the work surface to be used.
(j) Hatch beams, covers and pontoons placed in terminal working areas shall be stowed in stable piles with beams secured against tipping or falling. Alternatively, beams may be laid on their sides. When beams and pontoons are stowed in tiers more than one high, dunnage or other suitable material shall be used under and between the tiers.
(k) Cargo and material shall not obstruct access to vessels, cranes, vehicles or buildings. Means of access and egress within buildings shall be similarly unobstructed.
(l) To prevent inadvertent employee entry into spaces that have been identified as having hazardous, flammable or oxygen deficient atmospheres, appropriate warning signs or equivalent means shall be posted at all means of access to those spaces.
(m) Work shall not be carried on in the immediate vicinity of uncovered garbage or in the way of overboard discharges from sanitary lines unless employees are protected from the garbage or discharge by a baffle or splash boards.
(n) Open fires and fires in drums or similar containers are prohibited.
(o) Repair and reconditioning of damaged or leaking cargo packaging (coopering) shall be performed so as not to endanger employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§3462. Hazardous Cargo.
Note     •     History

(a) Explosives and other hazardous cargo shall be loaded, unloaded, stored, transported or otherwise handled in accordance with the regulations of the U.S. Department of Transportation and the United States Coast Guard. (q.v., 33 CFR Part 126, 46 CFR Part 146, 49 CFR Part 172.)
(b) Before cargo handling operations begin, the employer shall ascertain whether any hazardous cargo is to be handled and shall determine the nature of the hazard. The employer shall inform employees of the nature of any hazard and any special precautions to be taken to prevent employee exposure, and shall instruct employees to notify him of any leaks or spills.
(c) All hazardous cargo shall be slung and secured so that neither the draft nor individual packages can fall as a result of tipping the draft or slacking of the supporting gear.
(d) If hazardous cargo is spilled or if its packaging leaks, employees shall be removed from the affected area until the employer has ascertained the specific hazards, provided any equipment, clothing and ventilation and fire protection equipment necessary to eliminate or protect against the hazard, and has instructed cleanup employees in a safe method of cleaning up and disposing of a spill and handling and disposing of leaking containers. Actual cleanup or disposal work shall be conducted under the supervision of a qualified person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§3463. Hazardous Atmospheres and Substances.
Note     •     History

(a) Carbon Monoxide.
(1) Exposure limits. The carbon monoxide content of the atmosphere in a room, building, vehicle, railcar or any enclosed space shall be maintained at not more than 50 parts per million (0.005%) as an 8-hour time-weighted average and employees shall be removed from the enclosed space if the carbon monoxide concentration exceeds 100 parts per million (0.01%).
(2) Testing. Tests to determine carbon monoxide concentration shall be made when necessary to ensure that employee exposure does not exceed the limits specified in subsection (1).
(3) Instrumentation. Tests for carbon monoxide concentration shall be made by qualified persons using gas detector tube units meeting the requirements of 30 CFR Part 11 or other equivalent methods.
(4) Records. A record of the date, time, location and results of carbon monoxide tests shall be available for at least thirty (30) days.
(b) Pesticides (Fumigants, Insecticides, Hazardous Preservatives).
(1) When the employer is aware that cargo in a space is or has been stowed, handled, or treated with a pesticide (fumigant, insecticide, or hazardous preservative), a determination shall be made as to whether a hazardous atmosphere is present in the space, and only employees protected as required in subsection (5) of this section shall enter the space if it is hazardous.
(2) Tests to determine the atmospheric concentration of chemicals used to treat cargo shall be:
(A) Appropriate for the hazard involved;
(B) Conducted by qualified persons; and
(C) Performed at the intervals necessary to ensure that employee exposure does not exceed the permissible exposure limit for the chemical involved.
(3) Results of any test shall be available for at least thirty (30) days.
(4) Chemicals shall only be applied to cargoes by qualified persons.
(5) Only qualified persons shall enter hazardous atmospheres, in which case the following provisions apply:
(A) Persons entering a space containing a hazardous atmosphere shall be protected by respiratory and emergency protective equipment meeting the requirements of Article 10 and Section 5144 of the General Industry Safety Orders; and
(B) Persons entering a space containing a hazardous atmosphere shall be instructed in the nature of the hazard, precautions to be taken, and the use of protective and emergency equipment. Standby observers, similarly equipped and instructed, shall continuously monitor the activity of employees within such a space.
(6) Signs shall be clearly posted where fumigants, pesticides or hazardous preservatives have created a hazardous atmosphere. These signs shall note the danger, identify specific chemical hazards, and give appropriate information and precautions, including instructions for the emergency treatment of employees affected by any chemical in use.
(c) Asbestos. When the packaging of asbestos cargo leaks, spillage shall be cleaned up by qualified employees protected from the harmful effects of asbestos as required by Section 5208.
(d) Welding, Cutting and Heating on Preservative Coatings.
(1) Before hot work is commenced on surfaces covered by a preservative coating of unknown flammability, a test shall be made by a qualified person to determine the coating's flammability. Preservative coatings shall be considered highly flammable when scrapings burn with extreme rapidity.
(2) Appropriate precaution shall be taken to prevent ignition of highly flammable hardened preservative coatings. Highly flammable coatings shall be stripped from the area to be heated. An uncoiled fire hose with fog nozzle, under pressure, shall be immediately available in the hot work area.
(3) Surfaces covered with preservative coatings shall be stripped for at least 4 inches (10.2 cm) from the area of heat application or employees shall be protected by supplied air respirators. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). For prior history, see Register 80, No. 27.
§3464. Accident Prevention and First Aid.
Note     •     History

(a) Supervisory Accident Prevention Proficiency.
(1) After the effective date of these orders immediate supervisors of cargo-handling operations of more than five (5) persons shall satisfactorily complete a course in accident prevention. Employees newly assigned to supervisory duties after that date shall be required to meet the provisions of this subsection within ninety (90) days of such assignment.
(2) The course shall consist of instruction suited to the particular operation involved.
Note: The following are recommended topics:1. Safety responsibility and authority;2. elements of accident prevention;3. attitudes, leadership and motivation;4. hazards of longshoring, including peculiar local circumstances; 5. hazard identification and elimination;6. applicable regulations; and7. accident investigations.
(b) First Aid.
(1) Employers shall instruct employees to report every injury, regardless of severity, to the employer.
(2) A first aid kit shall be available at the terminal, and at least one person holding a valid first aid certificate shall be at the terminal when work is in progress.
(3) First aid kits shall be weatherproof and contain individual sealed packages for each item that must be kept sterile. Each kit shall either be approved by a licensed physician or shall include at least the following items:
(A) Gauze roller bandages, 1-inch and 2-inch (25.4 mm and 50.8 mm);
(B) Gauze compress bandages, 4-inch (101.6 mm);
(C) Adhesive bandages, 1-inch (25.4 mm);
(D) Triangular bandage, 40-inch (101.6 cm);
(E) Eye dressing;
(F) Wire or thin board splints;
(G) Forceps; and
(H) First aid dressing.
(4) Stretchers permanently equipped with bridles for hoisting shall be readily accessible. A blanket or other suitable covering shall be available.
(5) Telephone or equivalent means of communication shall be readily available.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). For prior history, see Register 80, No. 27.
§3465. Terminal Facilities.
Note     •     History

(a) The structural integrity of docks, piers, wharves, terminals and working surfaces shall be maintained.
(1) Dockboards (car and bridge plates) shall be designed, constructed, and maintained to prevent vehicles from running off the edge.
(b)(1) Vehicle curbs, bull rails, or other effective barriers at least 6 inches (13.74 cm) in height, shall be provided at the waterside edge of aprons and bulkheads, except where vehicles are prohibited. Curbs or bull rails installed after the effective date of this section shall be at least 10 inches (22.9 cm) in height.
(2) The provisions of Subsection (b)(1) also apply at the edge of any fixed level above the common floor area from which vehicles may fall, except at loading docks, where cargo is moved by vehicles.
(c) Readily located ladders shall be provided on all docks, wharves or piers where employees' work exposes them to the hazard of drowning. The ladders shall reach from the floor of the structure to the lowest water elevation. Portable ladders shall be equipped with a substantial means to secure them readily to the structure.
(d) Every marine terminal shall have conspicuously posted signs as follows:
(1) Locations of first aid facilities;
(2) Locations of telephones;
(3) Telephone numbers of the closest ambulance service, hospital or other source of medical attention, police, fire department, and emergency squad (if any); and
(4) Locations of firefighting and emergency equipment and fire exits.
(e) Signs shall be clearly worded and legible, and shall contain a key word or legend indicating the reason for the sign.
(1) Key words are such words as Danger, Warning, Caution.
(2) Legends are more specific explanations such as High Voltage, Close Clearance, Pedestrian Crossing.
NOTE

Authority cited: Section 143.2, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). For prior history, see Register 80, No. 27.
2. Editorial correction of subsection (e)(1) printing error (Register 85, No. 19).
3. New subsection (a)(1) filed 3-6-2001; operative 3-6-2001. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2001, No. 10).
§3466. Intermodal Containers.
Note     •     History

(a) Every intermodal container shall be legibly and permanently marked with:
(1) The weight of the container when empty, in pounds;
(2) The maximum cargo weight the container is designed to carry, in pounds; and
(3) The sum of the weight of the container and the cargo, in pounds.
(b) No container shall be hoisted by any crane or derrick unless the following conditions have been met:
(1) The employer shall ascertain from the carrier whether a container to be hoisted is loaded or empty. Empty containers shall be identified before loading or discharge in such a manner as will inform every supervisor and foreman on the site and in charge of loading or discharging, or every crane or other hoisting equipment operator and signalman, if any, that such container is empty. Methods of identification may include cargo plans, manifests or markings on the container.
(2) In the case of a loaded container:
(A) The actual gross weight shall be plainly marked so as to be visible to the crane or other hoisting equipment operator or signalman, or to every supervisor and foreman on the site and in charge of the operation: or
(B) The cargo stowage plan or equivalent permanently recorded display serving the same purpose, containing the actual gross weight and the serial number or other positive identification of that specific container, shall be provided to the crane or other hoisting equipment operator and signalman, if any, and to every supervisor and foreman on the site and in charge of the operation.
(3) Every outbound loaded container which is received at a marine terminal ready to load aboard a vessel without further consolidation or loading shall be weighed to obtain the actual gross weight, either at the terminal or elsewhere, before being hoisted.
(4) (A) When container weighing scales are located at a marine terminal, any outbound container with a load consolidated at that terminal shall be weighed to obtain an actual weight before being hoisted.
(B) If the terminal has no scales, the actual gross weight may be calculated on the basis of the container's contents and the container's empty weight. The weights used in the calculation shall be posted conspicuously on the container, with the name of the person making the calculation and the date.
(5) Open type vehicle carrying containers and those built specifically and used solely for the carriage of compressed gases are excepted from Subsections (b)(3) and (b)(4) of this section.
(6) The weight of loaded inbound containers from foreign ports shall be determined by weighing or by the method of calculation described in Subsection (b)(4)(B) or by shipping documents.
(7) Any scale used within the United States to weigh containers for the purpose of the requirements of this section shall meet the accuracy standards of the state or local public authority in which the scale is located.
(c) No container or containers shall be hoisted if its actual gross weight exceeds the weight marked as required in Subsection (a)(3) of this section or it exceeds the capacity of the crane or other hoisting device intended to be used.
(d) (1) Marked or designated areas shall be set aside within a container or roll-on roll-of terminal for passage of employees to and from active cargo transfer points, except where transportation to and from those points is provided by the employer.
(2) The employer shall direct employees to stay clear of the area beneath a suspended container.
(e) Employees either working in the immediate area of container handling equipment such as cranes or industrial trucks or in the terminal's traffic lanes, shall wear high visibility vests, shirts, jackets or other articles of clothing marked with or made of reflectorized or high visibility material.
(f) Containers shall be handled using lifting fittings or other arrangements suitable and intended for the purpose except when damage to an intermodal container makes special means of handling necessary.
(1) Loaded intermodal containers of 20 feet (6.1 m) or more in length shall be hoisted as follows:
(A) When hoisting by the top fitting, the lifting forces shall be applied vertically from at least four (4) such fittings or by means which will safety do so without damage to the container, and using the lifting fittings provided.
(B) If hoisted from bottom fittings, the hoisting connections shall bear on the fittings only, making no other contact with the container. The angles of the four bridle legs shall not be less than 30 to the horizontal in the case of 40-foot (12.2 m) containers; 37 in the case of 20-foot (6.1 m) containers.
(C) Lifting containers by fork lift trucks or by grappling arms from above or from one side may be done only if the container is designed for this type of handling.
(D) Other means of hoisting may be used only if the containers and hoisting means are designed for such use.
(2)(A) When using intermodal container spreaders that employ lanyards for activation of load disengagement, all possible precautions shall be taken to prevent accidental release of the load.
(B) Intermodal container spreader twistlock systems shall be designed and used so that a suspended load cannot accidently be released.
(3) Flat bed trucks or container chassis used to move intermodal containers shall be equipped with pins, flanges, or other means to prevent the container from shifting.
(g) (1) Intermodal containers shall be inspected for defects in structural members or fittings before handling.
(2) Any intermodal container found to be unsafe shall be identified as such, promptly removed from service and repaired before being returned to service.
(h) Containers shall not be hoisted unless all engaged chassis twist locks are released.
(i) When intermodal container spreaders are used to transfer employees to or from the tops of containers, the spreaders shall be equipped with a personnel platform equipped with fixed standard railings, provided that the railings have one or more openings for access. The openings shall be fitted with a means of closure, such as chains with hooks.
(j) Vertical tandem lifts. The following requirements apply to operations involving the lifting of two or more intermodal containers by the top container (vertical tandem lifts or VTLs).
(1) Each employee involved in VTL operations shall be trained and competent in the safety-related work practices, safety procedures, and other requirements in this section that pertain to their respective job assignments.
(2) No more than two intermodal containers may be lifted in a VTL.
(3) Before the lift begins, the employer shall ensure that the two containers lifted as part of a VTL are empty.

NOTE to subsection (j)(3): The lift begins immediately following the end of the prelift required by subsection (j)(5) of this section. Thus, the weight may be determined during the prelift using, on the crane being used to lift the VTL, a load indicating device or a load moment device or a device that prevents an overload condition, and whatever device is used, the device must meet the requirements of Section 3472(b) of these orders.
(4) The lift shall be performed using either a shore-based container gantry crane or another type of crane that:
(A) Has the precision control necessary to restrain unintended rotation of the containers about any axis,
(B) Is capable of handling the load volume and wind sail potential of VTLs, and
(C) Is specifically designed to handle containers.
(5) The employer shall ensure that the crane operator pauses the lift when the vertically coupled containers have just been lifted above the supporting surface to assure that each interbox connector is properly engaged.
(6) Containers below deck may not be handled as a VTL.
(7) VTL operations may not be conducted when the wind speed exceeds the lesser of:
(A) 55 km/h (34 mph or 30 knots) or
(B) The crane manufacturer's recommendation for maximum wind speed.
(8) The employer shall ensure that each interbox connector used in a VTL operation:
(A) Automatically locks into corner castings on containers but only unlocks manually (manual twistlocks or latchlocks are not permitted);
(B) Is designed to indicate whether it is locked or unlocked when fitted into a corner casting;
(C) Locks and releases in an identical direction and manner as all other interbox connectors in the VTL; 
(D) Has been tested and certificated by a competent authority authorized under 29 CFR 1918.11 (for interbox connectors that are part of a vessel's gear) or Section 3473 of these orders (for other interbox connectors):
(i) As having a load-bearing surface area of 800 mm2 when connected to a corner casting with an opening that is 65.0 mm wide; and
(ii) As having a safe working load of 98 kN (10,000 kg) with a safety factor of five when the load is applied by means of two corner castings with openings that are 65.0 mm wide or equivalent devices; 
(E) Has a certificate that is available for inspection and that attests that the interbox connector meets the strength criteria given in Section 3466(j)(8)(D); and
(F) Is clearly and durably marked with its safe working load for lifting and an identifying number or mark that will enable it to be associated with its test certificate.
(9) The employer shall ensure that each container and interbox connector used in a VTL and each corner casting to which a connector will be coupled is inspected immediately before use in the VTL.
(A) Each employee performing the inspection shall be capable of detecting defects or weaknesses and be able to assess their importance in relation to the safety of VTL operations.
(B) The inspection of each interbox connector shall include: a visual examination for obvious structural defects, such as cracks; a check of its physical operation to determine that the lock is fully functional with adequate spring tension on each head; and a check for excessive corrosion and deterioration.
(C) The inspection of each container and each of its corner castings shall include: a visual examination for obvious structural defects, such as cracks; a check for excessive corrosion and deterioration; and a visual examination to ensure that the opening to which an interbox connector will be connected has not been enlarged, that the welds are in good condition, and that it is free from ice, mud or other debris.
(D) The employer shall establish a system to ensure that each defective or damaged interbox connector is removed from service.
(E) An interbox connector that has been found to be defective or damaged shall be removed from service and may not be used in VTL operations until repaired.
(F) A container with a corner casting that exhibits any of the problems listed in subsection (j)(9)(C) of this section may not be lifted in a VTL.
(10) No platform container may be lifted as part of a VTL unit.
(k) Transporting vertically coupled containers. 
(1) Equipment other than cranes used to transport vertically connected containers shall be either specifically designed for this application or evaluated by a qualified engineer and determined to be capable of operating safely in this mode of operation.
(2) The employer shall develop, implement, and maintain a written plan for transporting vertically connected containers. The written plan shall establish procedures to ensure safe operating and turning speeds and shall address all conditions in the terminal that could affect the safety of VTL-related operations, including communication and coordination among all employees involved in these operations.
(l) Safe work zone. The employer shall establish a safe work zone within which employees may not be present when vertically connected containers are in motion.
(1) The safe work zone shall be sufficient to protect employees in the event that a container drops or overturns.
(2) The written transport plan required by Section 3466(k)(2) shall include the safe work zone and procedures to ensure that employees are not in this zone when a VTL is in motion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). For prior history, see Register 80, No. 27.
2. Editorial correction of subsection (b)(2)(B) printing error (Register 85, No. 19).
3. Amendment of subsection (e) and Note filed 7-29-96; operative 8-28-96 (Register 96, No. 31).
4. New subsections (j)-(l)(2) filed 7-24-2009; operative 7-24-2009. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2009, No. 30).
§3467. Log Handling.
Note     •     History

(a) The employer shall ensure that structures (bunks) used to contain logs have rounded corners and rounded structural parts to avoid sling damage.
(b) Two or more binders or equivalently safe means of containment shall remain on logging trucks and railcars to secure logs during movement of the truck or car within the terminal. During unloading, logs shall be prevented from moving while binders are being removed. 
(c) Logs shall be hoisted by two slings or by other gear designed for safe hoisting.
(d) Logs placed adjacent to vehicle curbs on the dock shall not be over one tier high unless placed in bunks or so stacked as not to roll or otherwise create a hazard to employees.
(e) Before logs are slung up from the dock, they shall be stably supported to prevent spreading and to allow passage of slings beneath the load. When bunks or similar retaining devices are used, no log shall be higher than the stanchions or retaining members of the device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 85, No. 19).
2. Editorial correction printing text of Section 3467 which was inadvertently omitted during production of Register 84, No. 50 (Register 85, No. 19). 
§3468. Pallets.
Note     •     History

(a) In addition to the requirements contained in Section 3338 the following shall apply:
(1) Wing or lip-type pallets hoisted by means of bar bridles shall have an overhanging wing or lip at least 3 inches long. Loaded pallets which on visual examination do not meet the requirements of this Section, shall be placed on pallets meeting the requirements before being hoisted.
(2) Bridles used to handle flush end or box-type pallets shall be of such a design as to prevent them from becoming disengaged from the pallet under load.
(b) Disposable pallets intended for only one use shall not be reused for hoisting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3469. Industrial Trucks.
Note     •     History

(a) All industrial trucks or tractors used for hauling, pushing, lifting or tiering materials shall comply with Article 25 of these Orders except as modified in subsection (b) of this section.
(b) Powered Industrial Truck Operator Training. Marine terminal operations shall comply with the powered industrial truck operator training requirements contained in Article 25, Section 3668 except as permitted by federal OSHA Instruction CPL 2-1.28A, Enforcement Guidance for the Longshoring and Marine Terminal Industries, issued by the Directorate of Compliance Programs, August 11, 2000, revised by CPL 2-1.28A, November 30, 2000, Section X, paragraphs A-G which are hereby incorporated by reference.
Note: References to federal OSHA regulations contained in CPL 2-1.28A, Section X, paragraphs A-G correspond to the italicized Section 3668 regulations shown in brackets as follows: 1917.27 and 1918.98 [Article 14], 1910.178(l) [Section 3668], 1910.178(l)(4)(i) [Section 3668(d)(2)], 1910.178(l)(6) [Section 3668(f)], 1910.178(l)(3) [Section 3668(c)], 1910(l)(4)(ii)(A), (C) [Section 3668(d)(2)(A), (C)], 1910.178(l)(4)(ii)(B) [Section 3668(d)(1)(B)], 1910.178(l)(3)(i) [Section 3668(c)(1)].
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-27-2001; operative 9-27-2001 (Register 2001, No. 39).
§3470. Longshoring Operations in the Vicinity of Repair and Maintenance Work.
Note     •     History

(a) Longshoring operations shall not be carried on:
When noise-producing maintenance, construction or repair work interferes with communication of warnings or instructions.
(2) Where employees are exposed to injurious light rays, hot metal, or sparks, any of which result from welding or cutting.
(3) Where employees are exposed to unsafe concentrations of dust or vapors from sandblasting or spray painting.
(4) At any time that it is ascertained that the atmosphere in which employees would be working is immediately dangerous to life, or if the atmosphere becomes immediately dangerous to life during operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3471. Chutes, Gravity Conveyors and Rollers.
Note     •     History

(a) Chutes used in the manual handling of cargo shall be of adequate length and strength for the use to which they are put and shall be kept free of splinters and sharp edges.
(b) When necessary for the safety of employees, chutes shall be equipped with sideboards to afford protection from falling objects.
(c) Chutes and gravity roller sections shall be firmly placed or secured to prevent displacement.
(d) Gravity rollers shall be of sufficient strength for the weight of material which is placed upon them. Rollers shall be locked in position to prevent them from falling or jumping out of the frame.
(e) Frames shall be kept free of burrs and sharp edges.
(f) When necessary for the safety of employees, provisions shall be made for braking objects other than bulk commodities at the delivery end of the roller or chute.
(g) Chute and hopper openings which present a hazard shall be guarded to prevent employees from falling through them.
(h) When employees are working on hoppers, the hopper shall be equipped with a safe walkway and means of access.
(i) Direct communication shall be provided between the discharge or shipboard control end of loading spouts and chutes and the point in the terminal from which the flow of cargo is controlled.
(j) Before an employee enters an empty bin:
(1) Personnel controlling the flow of cargo into the bin shall have been notified of the entry; and
(2) The power supply to the equipment carrying the cargo to the bin shall be turned off, locked out and tagged.
(k) Before an employee enters a bin containing a bulk commodity such as coal or sugar, the employer shall ensure that:
(1) Personnel controlling the flow of cargo into the bin have been notified of the entry;
(2) The power supply to the equipment carrying the cargo to the bin is turned off, locked out and tagged.
(3) The employee entering the bin wears a lifeline and safety harness; and
(4) A standby attendant equipped to perform a rescue is continuously stationed outside the bin until the employee has left the bin.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§3472. Cranes and Other Hoisting Equipment.
Note     •     History

(a) All cranes and other hoisting equipment and the operation thereof shall comply with Group 13 and this Article (14).
(b) Every crane not part of a vessel's permanent equipment shall be equipped with a load indicating device, a load moment device, or a device that prevents an overload condition. Only approved devices as defined in the General Safety Industry Orders, Section 3206 shall be used.

Exceptions: 

1. Trolley equipped bridge-type cranes while handling containers known to be and identified as empty, or loaded, or while hoisting other lifts by means of a lifting beam supplied by the crane manufacturer for the purpose and in all cases within the crane rating;

2. While handling bulk commodities or cargoes by means of clamshell bucket or magnet;

3. While used to handle or hold hoses in connection with transfer of bulk liquids or other hose handled products; or

4. While the crane is used exclusively to handle cargo or equipment the total actual gross weight of which is known by means of marking of the unit or units hoisted, when such total actual gross weight never exceeds 11,200 pounds, and when 11,200 pounds is less than the rated capacity of the crane at the maximum outreach that is possible under the conditions of use at the time.
(c) Marking shall be conspicuously placed giving units of measure in pounds or both pounds and kilograms, capacity of the indicating system, accuracy of the indicating system, and operating instructions and precautions. In the case of systems utilizing indications other than actual weights, the marking shall include data on the means of measurement, capacity of the system, accuracy of the system, and operating instructions and precautions. If the system used provides no readout, but is such as to automatically cease crane operation when the rated load limit under any specific condition of use is reached, marking shall be provided giving the make and model of the device installed, a description of what it does, how it is operated, and any necessary precautions regarding the system. All weight indications, other types of loading indications, and other data required shall be readily visible to the operator.
(d) Wind-Indicating Devices.
(1) After the effective date of these orders, each rail-mounted bridge and portal crane located outside of an enclosed structure shall be fitted with an operable wind-indicating device.
(2) The wind-indicating device shall provide a visible measure of velocity or an audible warning to alert the operator of high wind conditions. That warning shall be transmitted whenever the following circumstances are present.
(A) When the wind velocity reaches the warning speed, not exceeding the crane manufacturer's recommendations; and
(B) When wind velocity reaches the shutdown speed, not exceeding the crane manufacturer's recommendations, at which work is to be stopped and the crane secured.
(3) Instructions. The employer shall post operating instructions for high wind conditions in the operator's cab of each crane. Operators shall be directed to comply with these instructions. The instructions shall include procedures for responding to high wind alerts and for any coordination necessary with other cranes.
(e) Securing of cranes in high winds.
(1) When the wind reaches the crane's warning speed:
(A) Gantry travel shall be stopped; and
(B) The crane shall be readied for shutdown.
(2) When the wind reaches the crane's shutdown speed:
(A) Any portion of the crane spanning or partially spanning a vessel shall be moved clear of the vessel if safe to do so; and
(B) The crane shall be secured against travel, using all available means of securing.
(f) The employer shall monitor local weather conditions by subscribing to a weather service or using equally effective means.
(g) Communications. Means of communication shall be provided between the operator's cab and the base of the gantry of all rail-mounted cranes. This requirement may be met by telephone, radio, sound-signaling system or other effective methods, but not solely by hand-signaling.
(h) Qualifications of Machinery Operators.
(1) Only those employees determined by the employer to be competent by reason of training or experience, and who understand the signs, notices and operating instructions and are familiar with the signal code in use shall be permitted to operate a crane, winch or other power operated cargo handling apparatus, or any power operated vehicle, or give signals to the operator of any hoisting apparatus.

Exception: Employees being trained and supervised by a designated person may operate such machinery and give signals to operators during training.
(2) No employee known to have defective uncorrected eyesight or hearing, or to be suffering from heart disease, epilepsy, or similar ailments which may suddenly incapacitate him shall be permitted to operate a crane, winch or other power-operated cargo handling apparatus or a power-operated vehicle.
(i) Operating Near Electric Power Lines
(1) Provisions for preventing accidents due to overhead high-voltage lines shall be in conformance with High-Voltage Electrical Safety Orders, Article 37.
(2) Boom Guards. Cage-type boom guards, insulating links or proximity warning devices may be used on cranes, but they shall not be used in place of the required clearances.
(j) Routine Inspection
(1) Qualified persons shall visually inspect each crane and derrick on each day of use for defects in functional operating components and shall report any defect found to the employer. The employer shall inform the operator of the findings.
(2) A qualified person shall thoroughly inspect all functional components and accessible structural features of each crane or device at monthly intervals.
(3) Any defects found during such inspections which may create a safety hazard shall be corrected before further equipment use. Repairs shall be performed only by qualified persons.
(4) A record of monthly inspections shall be maintained for six months in or on the crane or derrick or at the terminal.
(k) A seat (lap) belt, meeting the requirements of 49 CFR 571.208-210 for a Type 1 seat belt assembly, shall be installed on the operator's seat of high speed container gantry cranes where the seat trolleys.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
2. New subsection (k) filed 3-6-2001; operative 3-6-2001. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2001, No. 10).
3. Amendment of subsection (b) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
§3473. Certification of Shore-Based Material Handling Devices.
Note     •     History

(a) An employer shall not use any cargo handling crane, derrick, bulk cargo spout, or bulk cargo sucker, as defined in Section 4885, which:
(1) Is not part of a vessel's permanent equipment and is either located ashore or placed aboard a vessel only temporarily; and
(2) Is used to transfer cargo or materials other than bulk liquids directly between the shore and a vessel; and
(3) Is so located that its failure could cause injury to an employee until he has ascertained that the device has been certificated as evidenced by current and valid documents attesting to compliance with the requirements specified in Article 99.
(b) Unless otherwise specifically required, the terms defined in this Subsection shall not include, and the provisions of 3474(a) shall not apply to, the following equipment:
(1) Small industrial crane trucks as described and illustrated in American National Standards Institute, B56.1, 1969, “Safety Code for Powered Industrial Trucks.”
(2) Huletts.
(3) Ore and taconite vessel loading facilities of such type that failure could not cause injury to an employee.
(4) Bulk coal loading facilities.
(5) Vertical pocket conveyors such as banana, sugar, or other similar marine legs.
(6) Bridge cranes including steeple towers and dock-leg elevators.
(7) Any gantry truck not capable of straddling two or more intermodal containers 16 feet (4.88m) in width.
(c) Special Gear.
(1) Special stevedoring gear provided by the employer, the strength of which depends upon components other than commonly used stock items such as shackles, ropes or chains, shall be tested as a unit in accordance with the following table before initially being put into use.

State Working Load	Proof Load
		
Up to 20 short tons	 25 percent in excess
Over 20 to 50 short tons	 5 short tons in excess
Over 50 short tons	 10 percent in excess
	
(2) Every spreader not a part of ship's gear and used for hoisting intermodal containers shall be tested to a proof load equal to 25 percent in excess of its rated capacity. Additionally, any spreader which suffers damage necessitating structural repair shall be retested after repair and before being returned to service.
(3) Certificates attesting to the required tests shall be available for inspection.
(d) Wire rope and loose gear obtained after the effective date of this section, and used for material handling shall have been tested and certificated before being placed into use. Certificates attesting to the required tests, inspections and examinations shall be available.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3 Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§3474. Hooks, Slings, Bridles and Fittings.
Note     •     History

In addition to the following requirements, the provisions of Group 13 shall apply.
(a) All hooks, slings, bridles and other fittings shall be of correct size for the work to be done and shall have strength sufficient to sustain the loads imposed upon them.
(b) Cargo handling bridles, such as pallet bridles, which are to remain attached to the hoisting gear while hoisting successive drafts, shall be attached by shackles, or other positive means shall be taken to prevent them from becoming accidentally disengaged from the cargo hook.
(c) Crane hooks shall be latched or otherwise secured to prevent accidental load disengagement.
(d) The manufacturer's recommended safe working loads for hooks shall not be exceeded. After the effective date of this section, hooks other than hand hooks shall be tested in accordance with Section 5022.
(e)(1) Jaws of patent clamp-type plate hooks shall be maintained in condition to grip plates securely.
(2) Teeth of case hooks shall be maintained in safe condition.
(3) Case hooks shall not be used for handling cases unless the cases are specifically designed to be handled by this means.
(f) Loads shall be applied to the throat of the hook since loading the point overstresses and bends or springs the hook.
(g) Eyes in wire rope bridles, slings, bull wires, or in single parts used for hoisting shall not be formed by wire rope clips or knots.
(h) Except for eye splices in the ends of wires and for endless rope slings, each wire rope used in hoisting or lowering, or in bulling cargo, shall consist of one continuous piece without knot or splice.
(i)(1) At the completion of each use, loose gear such as slings, chains, bridles, blocks and hooks shall be so placed as to avoid damage to the gear. Loose gear shall be inspected and any defects corrected before reuse.
(2) All loose gear shall be inspected by the employer or his authorized representative before each use and when necessary, at intervals during its use, to ensure that it is safe. Any gear which is found upon such inspection to be visibly unsafe shall not be used until it is made safe.
(3) Loose gear obtained after the effective date of this section shall bear a legible mark indicating that it has been tested. Single sheave blocks shall be marked with safe working loads and proof test loads. Marks relating to testing shall be identifiable on the related certificates which shall be available.
(4) Defective gear shall not be used. Distorted hooks, shackles or similar gear shall be discarded.
(j) Interlink wear, not accompanied by stretch in excess of 5 percent, shall be noted and the chain removed from service when maximum allowable wear at any point of link, as indicated in Table MT-2 has been reached.
(k) Chain slings shall be removed from service when, due to stretch, the increase in length of a measured section exceeds 5 percent; when a link is bent, twisted or otherwise damaged; or when raised scarfs or defective welds appear.
(l) Natural fiber rope. The employer shall ascertain the manufacturer's ratings for the specific natural fiber rope used and have such ratings available at the terminal. The manufacturer's rating shall be adhered to and a minimum design safety factor of five maintained.
(m) Wire Rope and Wire Rope Slings.
(1) The employer shall ascertain and adhere to the manufacturer's recommended ratings for wire rope and wire rope slings and shall have such ratings available for inspection. When the manufacturer is unable to supply such ratings, the employer shall use the tables for wire rope and wire rope slings found in American National Standard for Slings, ANSI/ASME B30.9-1996. A design safety factor of at least five shall be maintained for the common sizes of running wire in light load use. Wire rope with a safety factor of less than five may be used only:
(A) In specialized equipment, such as but not limited to cranes, designed to be used with lesser wire rope safety factors;
(B) In accordance with design factors in standing rigging applications; or
(C) For heavy lifts or other purposes for which a safety factor of five is impracticable and for which the employer can demonstrate that equivalent safety is ensured.
(n) Protruding ends of strands in splices on slings and bridles shall be covered or blunted. Coverings shall be removable so that splices can be examined. Means used to cover or blunt ends shall not damage the wire.
(o) Loads requiring continuous manual guidance during handling shall be guided by guide ropes (tag lines) that are long enough to control the load.
(p) Thimbles. Properly fitting thimbles shall be used where any rope is secured permanently to a ring, shackle or attachment, where practicable.
(q) Shackles.
(1) If available, the manufacturer's recommended safe working loads for shackles shall not be exceeded. In the absence of manufacturer's recommendations, Table MT-3 shall apply.
(2) Screw pin shackles used aloft in gear, except in cargo hook assemblies, shall have their pins moused or otherwise effectively secured.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3 Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84. No. 50).
2. Amendment of subsection (m)(1) filed 5-24-99; operative 6-23-99 (Register 99, No. 22).

TABLE MT-1

View Graphic
HISTORY

1. Repealer of Tables MT-1 through MT-5, Mt-7, MT-8 and renumbering and amendment of Tables MT-6, MT-9, MT-10 to Tables MT-1 through MT-3 filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 

View Graphic

View Graphic
§3475. Vehicles.
Note     •     History

(a) Trailers shall not be disconnected from tractors at loading docks until the road wheels have been immobilized. The road wheels shall be immobilized from the time the brake system is disconnected until braking is again provided. Supplementary front and support shall be employed as necessary to prevent tipping when a trailer is entered by a material handling vehicle. Rear end support shall be employed if rear wheels are so far forward as to allow tipping when the trailer is entered.
(b) The employer shall direct motor vehicle operators to comply with any posted speed limits and other traffic control signs or signals, and written traffic instructions.
(c) Stop signs shall be posted at main entrances and exits of structures where visibility is impaired, and at blind intersections, unless direct traffic control or warning mirror systems or other systems of equivalent safety are provided.
(d) Vehicular routes, traffic rules, and parking areas shall be established, identified, and used.
(e) The employer shall direct vehicle drivers to warn employees in traffic lanes of the vehicle's approach.
(f) Signs indicating pedestrian traffic shall be clearly posted at vehicular check-in and check-out lines and similar locations where employees may be working.
(g) A distance of not less than 20 feet (6.1m) shall be maintained between the first two vehicles in a check-in, check-out, roadability, or vessel loading/discharging line. This distance shall be maintained between any subsequent vehicles behind which employees are required to work.
(h) No unattended vehicle shall be left with its engine running unless secured against movement.
(i) When the rear of a vehicle is elevated to facilitate loading or discharging, a ramp shall be provided and secured. The vehicle shall be secured against accidental movement during loading or discharging.
(j) Only highway vehicle floors in safe condition shall be used.
(k) When flatbed trucks, platform containers or similar conveyances are loaded or discharged and the cargo consists of pipe or other products which could spread or roll to endanger employees, the cargo shall be contained to prevent movement.
(l) Vehicles used to transport employees within a terminal shall be maintained in safe working order and safety devices shall not be removed or made inoperative.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
2. Amendment of subsection (g) filed 3-6-2001; operative 3-6-2001. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2001, No. 10).
Article 15. Vats, Pans, Bins, Bunkers, Hoppers, and Similar Containers and Vessels
§3480. Vats, Pans and Tanks.
Note     •     History

(a) Every open vat, pan, tank and similar container or vessel which contains hazardous substances into which employees can fall and the top of which is less than 36 inches above the floor or working level, shall be guarded on all sides by:
(1) A substantial railing of height not less than 36 inches above floor or working level, or
(2) The top height increased to 36 inches, or
(3) A complete cover.
(4) Where carts or dump trucks are used to load such vessels adequate stops to prevent the vehicle falling into the vessel shall be provided.
Note: Covers or railings may be temporarily removed to provide necessary working openings.
(b) Such open vats, pans, tanks and similar containers and vessels whose top is less than four inches above the floor or working level shall be provided with a four-inch toeboard around the sides in addition to complying with the requirements (a) above.
Note: Toeboards may be removed during actual loading operations where the vessels are loaded by pushing materials over the vessel's edge at floor level.
(c) Where employees are required to work directly above such open vats, pans, tanks or similar containers and vessels, one of the following conditions shall be complied with:
(1) The employee shall be provided with and shall wear an approved safety belt with life line. One end of the life line shall be attached to a traveling trolley on a monorail or to a fixed overhead anchorage or similar arrangement. The life line shall be so adjusted that the employee cannot fall into the vat, pan, tank or similar container or vessel. Such safety belts and life lines shall be resistant to any deteriorating effects of the dusts, fumes, mists, vapors or gases arising from the contents of the tank.
(2) The vat, pan, tank or similar container or vessel top shall be covered with a grating or grille which has no opening whose least dimension exceeds two inches. This grating or grille shall be of sufficient strength to withstand any load that is customarily imposed upon it.
(3) The vat, pan, tank or similar container or vessel shall be provided with a platform or walkway above the vessel. This platform or walkway shall be equipped with standard railing and toeboard.
(4) Safety rope nets designed for the specific purpose and capable of withstanding expected loads shall be properly suspended above the vat, pan, tank, or similar container or vessel during temporary or emergency work.
(d) Any vat, pan, tank and similar container or vessel in which there is a power driven agitator, circulator, gyrator or any other power driven equipment shall have such powered equipment disconnected from its source of power and the disconnecting controls or switches shall be locked open before employees are required or permitted to work in such spaces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 42). 
§3481. Bins, Bunkers and Hoppers.
Note     •     History

(a) Every open bin, bunker and hopper whose upper edge is less than 36 inches above floor or working level shall be equipped with a standard railing around its edges or a grating or grille shall cover the top. Where grille or grating is the only protection it shall have no opening whose least dimension exceeds the following: 2-inch maximum openings for essentially smooth surface material with one-half inch maximum particle length (such as but not limited to sand, powder, grains, seed and pea gravel); 6 1/2-inch maximum openings for irregular surface material with one-half inch maximum particle length (such as but not limited to cottonseed); and 10-inch maximum openings for all other material with particle length exceeding one-half inch (such as but not limited to crushed rock and ore).
Note: Where railings are used they may be temporarily removed to provide necessary working openings.
(b) The grating or grille shall be of strength sufficient to withstand any load that is customarily imposed upon it.
(c) Where bins, bunkers or hoppers are loaded by automotive truck or other wheeled equipment, bumper stops presenting a vertical face not less than 10 inches high shall be installed at 1 edge in a manner to prevent the equipment from running onto or over the hopper.

Exception: Dumping spots used exclusively by bottom dump vehicles or hoppers designed for vehicle traffic load.
(d) Curbs having a vertical face of not less than 8 inches high shall be securely fastened along the sides to prevent a vehicle from overrunning the side of the runway.
(e) Where employees are permitted or required to work in or above open top bins over 8 feet in depth, an upper working area consisting of a platform or walkway shall be provided, and shall be guarded with a standard railing and toeboard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (c), new subsection (d) and renumbering of subsection (d) to (e) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85 No. 42). 
§3482. Bulk Storage of Loose Material.
Note     •     History

(a) No employees shall be permitted to work on or over loose material, or attend an employee working on or over loose material, until they have been instructed in the hazards involved and the precautions that must be taken to prevent employees from being caught in caved-in material.
Note: Work in grain handling facilities shall be in accordance with the provisions of section 5178, Grain Handling Facilities.
(b) Fuel houses, silos, bins, bunkers, hoppers and similar structures shall be so constructed or equipped with tunnels, chains, mechanical diggers, vibrators or other effective means of removing material so that employees are not required to work where there is a possibility of being engulfed or having their bodies entrapped by a cave-in; or platforms or walkways shall be provided and employees shall remain upon such platforms or walkways while working over loose material within such structures unless protected as required in Section 3482(c) or (d). (Title 24, Part 2, Section 441A.)
(c) When construction as required in Section 3482(b) is impractical and in existing installations, when the design permits, a manually powered hoist with an operator shall be provided. The hoist shall be capable of supporting and lifting an employee and tools and equipment. The supporting wire rope shall be not less than 5/16 inch in diameter. The hoist shall have a brake capable of stopping and holding any load which may reasonably be expected to be imposed on it including the impact of a fall. (Title 24, Part 2, Section 2-1134(b).)
(1) No employee shall be required or permitted to stand, climb, or walk upon piles of sand, sawdust, chips, gravel, fuel, seed or similar granular or loose materials within bins, bunkers, hoppers, silos or other structures, unless a boatswain's chair or a Class III body harness with a line suspended from the hoist is used. 
(2) When an employee is required to move about on the piled material the hoist operator shall pay out and retrieve the excess line so that reasonable tautness in the line is maintained.
(3) Inflowing and outflowing material shall be blocked unless such movement is necessary to the work which the employee is performing. In such case, the employee shall have the means to control or stop the flow of materials, or have direct communication with a standby person who has immediate control.
(d) When the requirements of Section 3482(b) or (c) are not practical, the employee shall wear an approved safety belt or harness with a line attached. The line shall be snubbed overhead and attended by a standby person who shall keep the line reasonably taut at all times. The line shall be not less than 13/16-inch Manila rope or other suitable material of equivalent strength and diameter.
(e) No employee shall be required or permitted to work or climb on piled, granular or free flowing (loose) material, such as but not limited to sand, sawdust, chips, gravel, fuel or seed piled on a level deck or on the ground, unless provision is made for safe access to and egress from the piled material and protection from engulfment/entrapment hazards is provided as described in Section 3482(b). Whenever possible, platforms or walkways shall be provided and employees shall be instructed to remain upon such platforms or walkways while working over loose material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 18943(b), Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 12-3-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
4. Editorial correction filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
5. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 42). 
6. Amendment of subsections (a) and (b), repealer of subsection (e), subsection relettering, amendment of newly designated subsection (e), and amendment of Note filed 2-8-2001; operative 3-10-2001 (Register 2001, No. 6).
7. Amendment of subsections (a), (c)(1) and (e) filed 11-14-2006; operative 12-14-2006 (Register 2006, No. 46).
Article 17. Engines and Compressors
§3511. Governor.
Note     •     History

Each engine which is not manually throttled shall be equipped with an effective governor which will automatically control the speed of the engine under varied loads, except where the load acts as an effective governor or the engine is incapable of developing excessive speed. All belt, rope or chain driven governors shall be equipped with a safety device which will stop the engine in case the belt, rope or chain should break.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
§3512. Valve Gears.
Note     •     History

Valve gears on steam engines shall be so arranged, or other provisions made, that, in the event of the load being removed, the engine will stop if the governor fails to act. (A broken governor belt stop will be considered sufficient for slide or four-valve engines.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
§3513. Flywheel Speed. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
2. Repealer filed 7-28-98; operative 8-27-98 (Register 98, No. 31).
§3514. Tubular Gage Guard. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§3515. Try Cock Discharge Receptacle. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§3516. Try Cock Manipulation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§3517. Steam Gage and Water Gage Glass Location. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§3518. Air Compressors.
Note     •     History

(a) Air compressor discharge lines having a block valve between the air receiver and compressor shall have a pressure relieving safety device installed in the line between the compressor and block valve. The pressure relieving safety device shall be set to open at a pressure not to exceed the rated working pressure of the cylinder. The relieving capacity of the pressure relieving safety device shall be such as to prevent a rise of pressure in the compressor cylinder of more than 10 percent above its maximum allowable working pressure, and the discharge shall be to a safe place.
(b) Air compressor intake lines shall not be located in toxic atmospheres or atmospheres containing explosive concentrations of flammable gases or vapors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
Article 19. Automotive Lifts
§3540. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44). 
§3541. Automotive Lift--Definition.
Note     •     History

“Automotive lift” means “automotive vehicle service lift,” and is a lifting device specifically designed to raise and provide stable support for an automotive vehicle free of the ground by engaging structural elements of the vehicle such as wheels, body, frame members, axle housings, or wheel suspension components.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44).
2. Amendment of section heading and section filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3542. General.
Note     •     History

(a) Automotive lifts shall be designed, constructed and installed in accordance with the provisions of ANSI B153.1-1974, or shall have been approved by the Division of Occupational Safety and Health  for lifts installed prior to November 1976. In lieu of meeting the provisions of ANSI B153.1-1974, automotive lifts installed through August 17, 1994, may be designed, constructed and installed in accordance with ANSI B153.1-1981, hereby incorporated by reference.
(b) Automotive lifts manufactured after August 17, 1994, through July 28, 2005, shall be designed, constructed and installed in accordance with the provisions of ANSI/ALI B153.1-1990, which is hereby incorporated by reference, with the exception of Sections 7.2.2 and 8.2, or shall conform to the requirements of subsection (c).
(c) New automotive lifts manufactured after July 28, 2005, shall be installed in accordance with the manufacturer's instructions and meet the design provisions of ANSI/ALI ALCTV-1998, Section 8, “Construction” and Section 9.2 “Testing” requirements for automotive lifts, which are hereby incorporated by reference.

Note: References to Title 29, Code of Federal OSHA Regulations (CFR) contained in ANSI/ALI ALCTV-1998, Section 8, “Construction” correspond to the italicized regulations contained in the California Code of Regulations, Title 8, General Industry Safety Orders (GISO) shown in brackets as follows:

29 CFR 1910.144 [Title 8, Sections 3340 and 3341], 29 CFR Subpart D, Walking-Working Surfaces, Sections 1910.21-1910.32 [Title 8, Sections 3207, 3209-3214, 3224, 3241, 3272, 3273, 3275, 3277-3279, Title 8, GISO Article 23, Mobile Ladder Stands and Scaffolds (Towers)], 29 CFR 1910.212 and .219 [Title 8, GISO Group 6, Power Transmission Equipment, Prime Movers, Machines and Machine Parts and Group 8, Points of Operation and Other Hazardous Parts of Machinery], and 29 CFR 1910.95 [Title 8, GISO, Article 105, Control of Noise Exposure].
(d) The operation, inspection and maintenance of automotive lifts shall be performed by a qualified person in accordance with procedures recommended by the manufacturer. Maintenance shall include that pipe lines, fittings, valves, and packing glands are kept tight.

Note: Guidelines for the operation, inspection, maintenance, installation and servicing of automotive lifts are available in ANSI/ALI ALOIM-2000, Safety Requirements for Operation, Inspection and Maintenance; and ANSI/ALI ALIS-2001, Safety Requirements for Installation and Service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44).
4. Amendment of newly designated subsection (a) and new subsection (b) filed 7-18-94; operative 8-17-94 (Register 94, No. 29).
5. Amendment filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3543. Marking Required.
Note     •     History

(a) Automotive lifts manufactured on or before August 17, 1994 shall be labeled with the following information:
(1) Name of the manufacturer.
(2) Either the Division approval number or statement of compliance with ANSI B153.1-1974 or ANSI B153.1-1981.
(3) Capacity.
(4) Date of installation or manufacture.
(b) Automotive lifts manufactured after August 17, 1994, through July 28, 2005, shall be labeled with a statement of compliance indicating that the lift was manufactured to conform to the requirements of ANSI/ALI B153.1-1990, or may conform to the requirements of subsection (c).
(c) Automotive lifts manufactured after July 28, 2005, shall be labeled with a statement of compliance indicating that the lift was manufactured to conform to the requirements of ANSI/ALI ALCTV-1998, Section 8, “Construction” and Section 9.2 “Testing”.
(d) Labels shall be legibly stamped, etched, or embossed on a durable plate, which shall be permanently attached to the lift in a location where it can be conveniently inspected. Labels shall not be obscured, obliterated or changed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44).
4. Amendment of subsection (a), new subsection (b) and subsection relettering, and amendment of newly designated subsection (c) filed 7-18-94; operative 8-17-94 (Register 94, No. 29).
5. Amendment filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3544. Control Mechanism for Automotive Lifts.
Note     •     History

Every automotive lift shall be equipped with a readily accessible direct control device which will automatically return to the neutral or “off” position upon release by the operator. Adapters or other alterations which will render the normal functions of the control device inoperative shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44).
2. Amendment of section heading and section filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3545. Oil Measurement.
Note     •     History

(a) Every air-oil tank and oil storage tank on automotive lift installations shall be provided with a graduated stick gage or other positive and easily accessible means by which the oil level in the reservoir, with plunger or plungers in the lowest position, can be determined.
(b) The oil supply in every air-oil tank and oil storage tank shall be maintained at or above the prescribed safe minimum operating level which shall in no case be less than three inches in depth or ten percent of the total oil volume when the plunger or plungers are in the fully elevated position.
Where a fill or gage hole is provided to measure oil levels, the fill or gage hole shall not be obstructed in any manner that requires removal of any parts of the lift except the fill or gage hole cover or plug to check the oil level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment of subsection (c) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44).
3. Amendment filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3546. Air, Oil Tank Working Pressure and Corrosion Protection.
Note     •     History

(a) Every oil tank used for liquid storage under pressure, not an integral part of the cylinder assembly, shall be constructed for a working pressure of not less than 200 pounds per square inch, in accordance with the provisions of the ASME Code for Pressure Vessels, as required by the Unfired Pressure Vessel Safety Orders of the Division.
(b) Every air, oil storage or surge tank which is to be completely buried in earth or concrete shall be protected from corrosion with an effective corrosion resistant coating or equivalent method of protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44). 
3. Amendment of section heading and section filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3547. Working Area Under Lifts.
Note     •     History

(a) No slots or abrupt recesses in excess of 2 1/4 inches in width (unless closable by integral hinged flat covers) or raised floor obstructions for re-- ceiving the lift frame and rails shall be permitted in the floor under the lift.
Note: The floor may be recessed to receive the rails providing the slope into the lowest part of the recess does not exceed 1 inch in 4 inches and provided also the inclined surfaces are constructed and surfaced so as to reduce slipping hazards.
(b) Floor surfaces under the lift shall be kept reasonably free of oil or grease to minimize the slipping hazards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction (Register 76, No. 41).
2. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44). 
§3548. Chassis and Axle Supports.
Note     •     History

(a) Chassis and axle supports shall be of such design as to safely transfer the load to the automotive lift.
(b) Devices used for chassis, frame, wheel or axle supports shall be approved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44). 
2. Amendment filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
§3549. Descent Speed.
Note     •     History

All elements of any lift which control the speed of descent shall be maintained so that the average speed will not exceed 20 feet per minute.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 44). 
2. Repealer and new section heading and amendment of section filed 6-28-2005; operative 7-28-2005 (Register 2005, No. 26).
Article 20. Hand and Portable Powered Tools and Equipment
§3555. Definitions.
Note     •     History

Jack. A jack is an appliance for lifting and lowering or moving horizontally a load by application of a pushing force.
Note: Jacks may be of the following types: Lever and ratchet, screw and hydraulic.
Rating. The rating of a jack is the maximum working load for which it is designed to lift safely that load throughout its specified amount of travel.
Note: To raise the rated load of a jack, the point of application of the load, the applied force, and the length of lever arm should be those designated by the manufacturer for the particular jack considered.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 20 (Sections 3555-3563, Figures LM-1a-LM-5) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. Repealer of subsection (b) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48). 
§3556. General.
Note     •     History

(a) Each employer shall be responsible for the safe condition of tools and equipment used by employees, including tools and equipment which may be furnished by employees.
(b) All tools shall be restricted to the use for which they are intended.
(c) Unsafe hand tools shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48). 
§3557. Switches and Controls for Portable Tools.
Note     •     History

(a) All hand-held powered circular saws having a blade diameter greater than 2 inches, electric, hydraulic or pneumatic chain saws, and percussion tools without positive accessory holding means shall be equipped with a constant pressure switch or control that will shut off the power when the pressure is released. All hand-held gasoline powered chain saws shall be equipped with a constant pressure throttle control that will shut off the power to the saw chain when the pressure is released.
(b) All hand-held powered drills, tappers, fastener drivers, horizontal, vertical, and angle grinders with wheels greater than 2 inches in diameter, disc sanders with discs greater than 2 inches in diameter, belt sanders, reciprocating saws, saber, scroll, and jig saws with blade shanks greater than a nominal one-fourth inch, and other similarly operating powered tools shall be equipped with a constant pressure switch or control, and may have a lock-on control provided that turnoff can be accomplished by a single motion of the same finger or fingers that turn it on.
(c) All other hand-held powered tools, such as, but not limited to, platen sanders, grinders with wheels 2 inches in diameter or less, disc sanders with discs 2 inches in diameter or less, routers, planers, laminate trimmers, nibblers, shears, saber, scroll, and jig saws with blade shanks a nominal one-fourth of an inch wide or less, may be equipped with either a positive “on-off” control, or other controls as described in this section.
Note: “Nominal” in (b) and (c) means ±0.05 inch.
(d) The operating control on hand-held power tools shall be so located as to minimize the possibility of its accidental operation, if such accidental operation would constitute a hazard to employees.

Exception: This section does not apply to concrete vibrators, concrete breakers, powered tampers, jack hammers, rock drills, garden appliances, household and kitchen appliances, personal care appliances, medical or dental equipment, or to fixed machinery.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3558. Microtomes (Manual, Semiautomatic and Automatic).
Note     •     History

(a) Microtomes shall be used, operated, and maintained by qualified persons in accordance with the manufacturer's recommendations and this section. The provisions of this section take precedence over manufacturer's recommendations wherever those recommendations are inconsistent with this section. 
(b) During operation, a minimum clearance of 1 inch shall be maintained between the operator's hands and any moving parts or blade (point of operation) of the microtome, and the operator's hands shall only approach the blade with forceps and/or other appropriate tools. 
(c) Tissue sections or sections of any other material sliced by the microtome shall be retrieved by the employee using forceps and/or other appropriate tool(s). 
(d) When operating microtomes, the foot pedal shall be so positioned to avoid accidental activation. 
(e) The adjustment, removal, replacement or maintenance activities of microtomes shall comply with the requirements of Section 3314 of these Orders. 
(f) When not in use, the foot treadle of each electrically-powered microtome must be guarded by a cover or guard that will prevent unintended operation. 
(g) At a minimum, microtome operators shall be trained in the requirements of this section consistent with Section 3203, Injury and Illness Prevention Program, of these Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-7-2012; operative 9-6-2012 (Register 2012, No. 32). For prior history, see Register 85, No. 48.
§3559. Pneumatic and Powder-Actuated Tools.
Note     •     History

(a) Safety clips or retainers shall be installed on pneumatic impact tools to prevent dies and tools from being accidentally expelled from the barrel, or other effective means to prevent accidents from this source shall be used.
(b) Powder-actuated tools used in industrial operations shall be designed, constructed, operated and maintained in compliance with Article 27 of the Construction Safety Orders.
(c) All hand-held pneumatically powered tools used for driving nails, staples and similar fasteners which operate at 100 psig or more line pressure shall have a safety device at the muzzle to prevent the tool from discharging until the muzzle is in contact with a solid surface.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment of subsection (b) filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48). 
§3559.1. Airless Spray Guns.
Note     •     History

(a) Airless spray guns of the type which atomize paints and fluids at high pressures (1,000 pounds or more per square inch) shall be equipped with automatic or visible manual safety devices which will prevent pulling of the trigger to prevent release of the paint or fluid until the safety device is manually released.
(b) In lieu of (a) above, a diffuser nut which will prevent high pressure, high velocity release, while the nozzle tip is removed, plus a nozzle tip guard which will prevent the tip from coming into contact with the operator, or other equivalent protection, shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3560. Portable Grinders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3561. Portable Sanders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3562. Jacks.
Note     •     History

(a) The rated load shall be legibly and permanently marked on a prominent location on the jack by casting, stamping, or other suitable means.
(b) All jacks shall be designed so that their maximum safe extension cannot be exceeded.
(c) Hydraulic jacks exposed to freezing temperatures shall be supplied with an adequate antifreeze liquid.
(d) In the absence of a firm foundation, the base of the jack shall be blocked. If there is a possibility of slippage of the cap, a block shall be placed in between the cap and the load.
(e) Employees shall not be permitted to enter the zone beneath a jack supported load unless it has been effectively blocked or cribbed.
(f) All jacks requiring periodic cleaning and lubrication, such as screw jacks, shall be properly cleaned and lubricated at regular intervals.
NOTE

Authority cited: Section 142.3, Labor Code. Reference Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
2. Amendment of subsections (e) and (f) filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3563. Power Lawn Mowers.
Note     •     History

(a) Scope. These regulations apply to power lawn mowers and cover walk-behind reel and rotary power lawn mowers, riding reel and rotary power lawn mowers, lawn riding tractors with mower attachments, and lawn and garden riding tractors with mower attachments. They are intended to provide safety requirements and to help ensure uniform operator environments. These regulations do not apply to sulky-type units, flail mowers, sickle bar mowers, or tractors as defined in Article 25 of these Orders unless the tractor is designed primarily for mowing lawns and manufactured in conformance with the ANSI B71.1 or B71.4 national consensus standards for power lawn mowers. Requirements for tractors and attachments used in mowing operations that are manufactured in conformance with the ANSI B71.1 and B71.4 standards are provided in this Section.
(b) General.
(1) Power lawn mowers placed in service after March 29, 1975 through April 15, 1999, shall meet the requirements of ANSI B71.1-1972 and B71.1a-1974 or ANSI B71.1-1980, Safety Specifications for Power Lawn Mowers, Lawn and Garden Tractors and Lawn Tractors, or shall meet the requirements of the applicable ANSI B71.1 or B71.4 standard in effect at the time the mower was manufactured. 
(2) Power lawn mowers manufactured after April 15, 1999, shall meet the requirements of one of the following ANSI B71.1 or B71.4 standards, as applicable, based on the mower design and date of manufacture. These ANSI standards are hereby incorporated by reference: 
ANSI/OPEI B71.1-1998 standard for Consumer Turf Care Equipment-Walk-Behind Mowers and Ride-On Machines with Mowers-Safety Specifications,
ANSI B71.1-2003 standard for Consumer Turf Care Equipment-Walk-Behind Mowers and Ride-On Machines with Mowers-Safety Specifications, 
ANSI/OPEI B71.4-1999 standard for Commercial Turf Care Equipment-Safety Specifications, 
ANSI B71.4-2004 standard for Commercial Turf Care Equipment-Safety Specifications. 
(3) Power lawn mowers manufactured after September 2, 2010, shall be affixed with a durable label stating that the power lawn mower is manufactured in accordance with the applicable ANSI B71.1 or B71.4 standard. 
(c) Roll-Over Protective Structures (ROPS) and Seat Belts. Effective March 1, 2011, when visual inspection or technical information from the manufacturer indicates that a riding lawn mower is designed by the manufacturer to be equipped with ROPS, or to accept ROPS as an option, ROPS engineered and approved for the mower shall be provided and used. Approved seat belt assemblies shall be provided and used on all riding lawn mowers where ROPS are installed. 

Exception: The use of ROPS and seat belts may be temporarily suspended only when operating in areas where the vertical clearance is insufficient to allow a ROPS equipped mower to operate. 

NOTE: The requirements for ROPS on agricultural and industrial tractors are provided in Article 25 of the General Industry Safety Orders. 
(d) Prohibited use of Ride-on, Sit-down Lawn Mowers. 
(1) Ride-on, sit-down lawn mowers shall not be used on slopes that exceed the angle limitation when specified by the manufacturer. 
(2) When the manufacturer's instructions are not obtainable or do not specify the angle limits for operating ride-on, sit-down lawn mowers on sloped surfaces, a qualified person shall evaluate the terrain and slope conditions to ensure the mower is operated in a safe manner. 
(3) Ride-on, sit-down lawn mowers shall not be operated in areas where the traction drive wheels, as measured from the outside wheel edge, are within 5 feet of the unprotected edges of retaining walls, embankments, levees, ditches, culverts, excavations or similar locations that present an overturn hazard. 
(4) When it is necessary to operate a ride-on, sit-down mower near ponds, creeks, reservoirs, canals, sloughs, lakes, golf course water hazards and similar bodies of water, a qualified person shall evaluate the terrain and any slope conditions to ensure the mower is operated at safe speeds and at safe distances from such hazards. 
(e) Powered Lawn Mower Operator Training. 
(1) Safe operation. 
The employer shall ensure that each power lawn mower operator is competent to operate the mower safely, as demonstrated by the successful completion of the training and evaluation specified in this subsection. Prior to permitting an employee to operate a power lawn mower (except for training purposes), the employer shall ensure that each operator has successfully completed the training required by this subsection, except as permitted in subsection (e)(5). 
(2) Training program implementation. 
(A) All operator training and evaluation shall be conducted by qualified persons who have the knowledge, training and experience to train power lawn mower operators and evaluate their competence. 
(B) Trainees may operate a power lawn mower only under the direct supervision of qualified persons provided that such operation does not endanger the trainee or other employees. 
(C) Training shall consist of a combination of formal instruction (e.g., lecture, discussion, written material, audio visual material) and also include demonstrations by the trainer and practical exercises performed by the trainee and evaluation of the operator's performance. 
(3) Training program content. Operators shall receive initial training to ensure that each employee who operates a power lawn mower has been provided training in the hazards associated with the operation of mowers and other topics necessary for the safe operation of mowers. Training shall include at least the following: 
(A) Review of the manufacturer's operator's manual including operating instructions, warnings and precautions for the types of power lawn mowers the operator will be authorized to operate. 
(B) Review of the operator controls and instrumentation for safe operation of the equipment. 
(C) Review all safety devices to ensure guards and shields are kept securely in place. 
(D) The importance of surveying the terrain for hazards prior to mowing to identify obstacles in the mowing path, such as large rocks, tree stumps, soft or wet spots, and the prohibited use areas for ride-on, sit-down mowers provided in subsection (d) of this section. 
(E) Speed control, steering and maneuvering the mower. 
(F) Review of stability and rollover hazards associated with operating riding lawn mowers on surfaces, terrains or areas such as, but not limited to loading ramps, wet surfaces, slopes, and areas near drop offs, retaining walls/embankments, water or ponds, unprotected ditches, culverts, or excavations. 
(G) The use of ROPS and seatbelts for riding mowers that are equipped with ROPS. 
(4) Refresher training and evaluation. Refresher training, including an evaluation of the effectiveness of that training, shall be conducted as required by this subsection to ensure that the operator has the knowledge and skills needed to operate the power lawn mower safely. 
Refresher training in relevant topics shall be provided to the operator when: 
(A) The operator has been observed to operate a mower in an unsafe manner; 
(B) The operator has been involved in an accident or near-miss incident; 
(C) The operator has received an evaluation that reveals that the operator is not operating a mower safely; or
(D) The operator receives a new job assignment that includes operating a mower or machinery that the operator is unfamiliar with or includes mowing lawns on terrain or surfaces that present hazards unfamiliar to the operator in their current or past work assignments. 
(5) Avoidance of duplicative training. If an operator has previously received training in a topic specified in subsection (e)(3) of this section, and such training is appropriate for the type of power lawn mower authorized for use and the working conditions encountered, additional training in that topic is not required if the operator has been evaluated and found competent to operate the mower safely. 
(6) Recordkeeping. All safety instruction and training shall be documented in accordance with Section 3203 of the General Industry Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
3. Amendment of subsections (b)(1) and (b)(2) filed 3-16-99; operative 4-15-99 (Register 99, No. 12).
4. Amendment filed 8-3-2010; operative 9-2-2010 (Register 2010, No. 32).
§3564. Portable Winches.
Note     •     History

(a) Portable winches shall be secured against accidental shifting while in use.
(b) Portable winches shall be fitted with limit switches if employees have access to areas from which it is possible to be drawn into the winch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
Article 21. Use, Care, and Protection of Abrasive Wheels
§3575. Scope and Definitions.
Note     •     History

(a)(1) Scope. This Article establishes safety requirements for the use, care, and protection of abrasive wheels, safety guards, flanges, chucks, proper storage, handling and mounting. This Article does not apply to natural sandstone, pulpstone, coated abrasive products and surface conditioning wheels used for polishing, buffing, cleaning, finishing, blending or light deburring, where the base material is not removed.
(2) Abrasive wheels manufactured on or before July 1, 1998 shall meet the requirements of either ANSI B7.1-1978 or ANSI B7.1-1988, Safety Requirements for the Use, Care, and Protection of Abrasive Wheels. Abrasive wheels manufactured after July 1, 1998 shall be labeled as meeting the requirements of ANSI B7.1-1988, Safety Requirements for the Use, Care and Protection of Abrasive Wheels.
(b) Definitions.
Abrasive Wheels. Power-driven wheels consisting of abrasive particles held together by inorganic or organic bonds. Metal, wooden, cloth or paper wheels or discs having a layer or layers of abrasive on the surface and natural sandstones (quarried) are not included.
(A) Cutting Off Wheels. Wheels having diameter thickness and hole size dimensions and are subject to all limitations of mounting and use listed for type 1 wheels. They may be steel centered, diamond abrasive or organic bonded abrasive of the plain or reinforced type. 
1. Cutting off wheels are recommended only for use on specially designed and fully guarded machines and are subject to the following maximum thickness and hole size limitations.

	Max.
	thickness

Wheel diameter:	(inch)
6 inch and smaller	 3/16
Larger than 6 inches to 12 inches	 1/4
Larger than 12 inches to 23 inches	 3/8
Larger than 23 inches	 1/2
2. Maximum hole size for cutting-off wheels should not be larger than 1/4-wheel diameter.
(B) Cylinder Wheels. Wheels having diameter, wheel thickness, and rim thickness dimensions. Grinding is performed on the rim face only, dimension W. Cylinder wheels may be plain, plate mounted, inserted nut, or of the projecting stud type.
Limitation: Rim height, T dimension, is generally equal to or greater than rim thickness, W dimension.
Limitation: Rim height, T dimension, is generally equal to or greater than rim thickness, W dimension.

View Graphic
(C) Depressed Center Wheels. Have diameter, thickness and hole size dimensions. Both types are reinforced, organic bonded wheels having offset hubs which permit side and peripheral grinding operations without interference with the mounting. Type 27 wheels are manufactured with flat grinding rims permitting notching and cutting operations. Type 28 wheels have saucer shaped grinding rims.
1. Special supporting, back adapter and inside flange nuts are required for the proper mounting of these types of wheels.
2. Mounts which are affixed to the wheel by the manufacturer may not require an inside nut and shall not be reused.
(D) Depressed Center. Cutting-off Wheels, Type 27A. Wheels having diameter, thickness, and hole size dimensions. They are reinforced, organic bonded, offset hub type wheels, usually 16 inches diameter and larger, specially designed for use on cutting-off machines where mounting nut or outer flange interference cannot be tolerated.
(E) Flaring Cup Wheels. Wheels having double diameter dimensions D and J, and in addition have thickness, hole size, rim and back thickness dimensions. Grinding is always performed on rim face, W dimension. Type 11 wheels are subject to all limitations of use and mounting listed for type 6 straight sided cup wheels definition.
Limitation: Minimum back thickness, E dimension, should not be less than one-fourth T dimension. In addition when unthreaded hole wheels are specified the inside flat, K dimension, shall be large enough to accommodate a suitable flange.

View Graphic
(F) Inorganic Wheels. Wheels which are bonded by means of inorganic material such as clay, glass, porcelain, sodium silicate, magnesium oxychloride, or metal. Wheels bonded with clay, glass, porcelain or related ceramic materials are characterized as “vitrified bonded wheels.”
(G) Mandrel A steel shaft usually 3/8-inch diameter or smaller which is permanently secured to the abrasive section by cementing or other means. It is mounted in the machine and is the means by which the power is transmitted from the machine to the abrasive.
(H) Modified Types 6 and 11 Wheels (terrazzo). Some type 6 and 11 cup wheels used in the terrazzo trade having tapered K dimensions to match a special tapered flange furnished by the machine builder.
Limitation: These wheels shall be mounted only with a special tapered flange.

View Graphic
(I) Mounted Wheels. Wheels which are usually 2 inches diameter or smaller, and of various shapes, and are permanently secured to a steel mandrel.
(J) Organic Wheels. Wheels which are bonded by means of an organic material such as resin, rubber, shellac, or other similar bonding agent.
(K) Straight Wheels. Wheels having diameter, thickness, and hole size dimensions, and they should be used only on the periphery. Type 1 wheels shall be mounted between flanges.
Limitation: Hole dimension (H) should not be greater than two-thirds of wheel diameter dimension (D) for precision, cylindrical, centerless, or surface grinding applications. Maximum hole size for all other applications should not exceed one-half wheel diameter.

View Graphic
(L) Straight Cup Wheels. Wheels having diameter, thickness, hole size, rim thickness, and back thickness dimensions. Grinding is always performed on rim face, W dimension.
Limitation: Minimum back thickness, = dimension, should not be less than one-fourth T dimension. In addition, when unthreaded hole wheels are specified, the inside flat, K dimension, must be large enough to accommodate a suitable flange.

View Graphic

Type 6--Straight-cup Wheel
Side grinding wheel having a diameter,thickness and hole with one side straight or flat and the opposite is derecessed. This type, however,
differs from Type 5 in that the grinding is performed on the wall
of the abrasive created by the difference between the diameter
of the recess and the outside diameter of the wheel.
Therefore, the wall dimension “W” takes precedence over the
diameter of the recess as an essential intermediate dimension to
describe this shape type.
Flanges. Collars, discs or plates between which wheels are mounted and are referred to as adaptor, sleeve, or back up type. See Section 3579.
Off-hand Grinding. The grinding of any material or part which is held in the operator's hand.
Portable Grinding. A grinding operation where the grinding machine is designed to be hand held and may be easily moved from one location to another.
Protection Hood. A protection hood is an enclosure for an abrasive wheel consisting of a peripheral and two side members. Its main function is to effectively retain the pieces of the wheel should the wheel break in operation.
Reinforced Wheels. A class of organic wheels which contain strengthening fabric or filament. The term “reinforced” does not cover wheels using such mechanical additions as steel rings, steel cup backs or wire or tape winding.
Safety Guard. An enclosure designed to restrain the pieces of the abrasive wheel in the event that the wheel is broken while in operation.
Snagging. Grinding which removes relatively large amounts of material without regard to close tolerances or surface finish requirements.
Surface Feet per Minute (s.f.p.m.). The distance in feet any one abrasive grain on the peripheral surface on a grinding wheel travels in 1 minute.

View Graphic
Tuck Pointing. Removal of cement, mortar, or other non-metallic jointing material from masonry mortar joints and pointing up the tuck or joint.
Tuck Pointing Wheels. Tuck pointing wheels, usually Type 1, reinforced organic bonded wheels have diameter, thickness and hole size dimension. They are subject to the same limitations of use and mounting as Type 1 wheels.
Note: Wheels used for tuck pointing should be reinforced, organic bonded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Article 21 (Sections 3575 through 3581 and Figures A-1 through A-23 and Tables A-1 through A-6) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
3. Repealer and new section filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
4. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
5. Amendment of subsection (a)(1) filed 8-1-97; operative 8-31-97 (Register 97, No. 31).
6. Amendment of subsection (a)(2) filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
7. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
§3576. General Machine Requirements.
Note     •     History

(a) Stationary grinding machines shall be sufficiently heavy and rigid so as to prevent dangerous vibration and shall be securely mounted on substantial floors, benches, foundations or other adequate and safe structures.
(b) Portable grinders shall not be used as bench grinders unless they are securely clamped in place, having ample clearance between the wheels and the bench, and are equipped with standard wheel and arbor end guards and tool rests. “C” clamps shall not be used to secure grinders to benches. Special band clamps or other equivalent means shall be used which encircle the machine and are secured by means of bolts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3577. Protection Devices.
History

(a) Abrasive wheel machinery guards shall meet the design specifications of the American National Standard Safety Requirements for the Use, Care, and Protection of Abrasive Wheels, ANSI B 7.1-1978. This requirement shall not apply to natural sandstone wheels or metal, wooden, cloth, or paper discs having a layer of abrasive on the surface.
(b) Abrasive wheels shall be provided with protection hoods or safety guards which shall be of such design and construction as to effectively protect the employee from flying fragments of a bursting wheel insofar as the operation will permit.

Exceptions: This requirement does not apply to the following classes of wheels and conditions.
1. Wheels used for internal work while within the work being ground.
2. Special precision tool room grinders under the supervision of expert mechanics.
3. Type 1 wheels not larger than 2 inches in diameter and not more than 1/2-inch thick, operating at peripheral speeds less than 1800 SFPM when mounted on mandrels driven by portable drills.
4. Type 1 Reinforced wheels not more than 3 inches in diameter and 1/4-inch in thickness, operating at peripheral speeds not exceeding 9,500 SFPM, provided that safety glasses and face shield protection are worn.
5. Types 16, 17, 18, 18R and 19 cones and plugs and threaded hole pot balls where the work offers protection or where the size does not exceed 3 inches in diameter by 5 inches long.
6. Metal centered diamond lapidary wheels either notched, segmented or continuous rim used with a coolant deflector, when operated at speeds up to 3,500 SFPM.
7. Mounted wheels 2 inches and smaller in diameter used in portable operations.
8. Valve seat grinding wheels.
(c) The hood guard shall cover the spindle end, nut, and flange projections. The safety guard shall be mounted so as to maintain proper alignment with the wheel, and the strength of the fastenings shall exceed the strength of the guard.

Exceptions: 
1. Protection hoods on cylindrical grinding machines, in all operations where the work provides a suitable measure of protection to the operator, may be so constructed that the spindle end, nut, and flanges are exposed; and where the nature of the work is such as to entirely cover the side of the wheel, the side covers of the guard may be omitted.
2. The spindle end, nut, and outer flange may be exposed on machines designed as portable saws.
(d) Cup wheels shall be protected by:
(1) Band type guards of such design and construction as to effectively protect the employee.
(2) Special “Revolving Cup Guards” which mount behind the wheel and turn with it. They shall be made of steel or other material of adequate strength and shall enclose the wheel sides upward from the back for one-third of the wheel thickness. The mounting features shall conform with all requirements of this section. It is necessary to maintain clearance between the wheel side and the guard. This clearance shall not exceed one-sixteenth inch.
(See Figures A-26, A-27, A-28 of Appendix G.)
(e) Work rests. On offhand grinding machines, work rests shall be used to support the work. They shall be of rigid construction and designed to be adjustable to compensate for wheel wear. Work rests shall be kept adjusted closely to the wheel with a maximum opening of one-eighth inch. The work rest shall be secured after each adjustment. The adjustment shall not be made with the wheel in motion.

Exceptions: 
1. Where the shape of the work will not permit their use.
2. Where the size of the material is such that it cannot wedge between the guard and the wheel.
Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (a) and (b) and new subsections (a) and (b) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48). 
§3578. Permissible Wheel Exposure for Periphery Grinding.
Note     •     History

(a) Bench and Floor Stands. The angular exposure of the grinding wheel periphery and sides for safety guards used on machines known as bench and floor stands should not exceed 90 degrees or one-fourth of the periphery. This exposure shall begin at a point not more than 65 degrees above the horizontal plane of the wheel spindle. (See Figure A-1 of Appendix A.)
Whenever the nature of the work requires contact with the wheel below the horizontal plane of the spindle, the exposure shall not exceed 125 degrees. (See Figure A-2 of Appendix A.)
(b) Cylindrical Grinders. The maximum angular exposure of the grinding wheel periphery and sides for safety guards used on cylindrical grinding machines shall not exceed 180 degrees. This exposure shall begin at a point not more than 65 degrees above the horizontal plane of the wheel spindle. (See Figure A-3 of Appendix A.)
(c) Surface Grinders and Cutting Machines. The maximum angular exposure of the grinding wheel periphery and sides for safety guards used on cutting machines and on surface grinding machines which employ the wheel periphery shall not exceed 150 degrees. This exposure shall begin at a point not less than 15 degrees below the horizontal plane of the wheel spindle. (See Figure A-4 of Appendix A.)
(d) Swing Frame and Automatic Snagging Machines. The maximum angular exposure of the grinding wheel periphery and sides for safety guards used on machines known as swing frame and automatic snagging machines shall not exceed 180 degrees, and the top half of the wheel shall be protected at all times. (See Figure A-5 of Appendix A.)
(e) Top Grinding. In operations where the work is ground on the top of the wheel, the exposure of the grinding wheel periphery shall be as small as practical, with a maximum exposure of 60 degrees. (See Figure A-6 of Appendix A.)
(f) Guard Exposure Angles. The maximum exposure angles specified above shall not be exceeded. Visors or other accessory equipment shall not be included as a part of the guard when measuring the guard opening, unless such equipment has strength equal to that of the guard.
(g) Exposure Adjustment. Guards of the types described in subsections (a) and (b) of this section where the operator stands in front of the opening, shall be constructed so that the peripheral protecting member can be adjusted to the constantly decreasing diameter of the wheel. The maximum angular exposure above the horizontal plane of the wheel spindle as specified in subsections (a) and (b) of this section shall never be exceeded, and the distance between the wheel periphery and the adjustable tongue or the end of the peripheral member at the top shall never exceed one-fourth inch. (See Figures A-7, 8, 9, 10, 11, and 12 of Appendix B.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3579. Flanges--General Requirement.
Note     •     History

(a) All abrasive wheels shall be mounted between flanges which shall not be less than one-third the diameter of the wheel.

Exceptions: 
(1) Mounted wheels.
(2) Portable wheels with threaded inserts or projecting studs.
(3) Abrasive discs (inserted nut, inserted washer and projecting stud type).
(4) Plate mounted wheels.
(5) Cylinders, cups, or segmental wheels that are mounted in chucks.
(6) Types 27 and 28 wheels.
(7) Certain internal wheels.
(8) Modified Types 6 and 11 wheels (terrazzo).
(9) Cutting-off wheels, Types 1 and 27A:
(A) Type 1 cutting-off wheels are to be mounted between properly relieved flanges which have matching bearing surfaces. Such flanges shall be at least one-fourth the wheel diameter.
(B) Type 27A cutting-off wheels are designed to be mounted by means of flat, not relieved, flanges having matching bearing surfaces and which may be less than one-third but shall not be less than one-fourth the wheel diameter. (See Figure A-13 of Appendix C for one such type of mounting.)
Note: There are three general types of flanges:
1. Straight relieved flanges. (See Figure A-16 of Appendix D.)
2. Straight unrelieved flanges. (See Figure A-17 of Appendix D.)
3. Adaptor flanges. (See Figures A-18 and A-19 of Appendix D.)
(b) Regardless of flange type used, the wheel shall always be guarded. Blotters shall be used in accordance with subsection (g) of this section.
(c) Finish and Balance. Flanges shall be dimensionally accurate and in good balance. There shall be no rough surfaces or sharp edges.
(d) Uniformity of Diameters.
Both flanges, of any type, between which a wheel is mounted, shall be of the same diameter and have equal bearing surface.

Exceptions: 
(1) Type 27 and Type 28 wheels because of their shape and usage, require specially designed adaptors.
(2) Modified Types 6 and 11 wheels (terrazzo) with tapered K Dimensions.
(e) Mounts which are affixed to the wheel by the manufacturer shall not be reused. Type 27 and Type 28 wheels shall be used only with a safety guard located between wheel and operator during use. (See Figure A-14 and A-15 of Appendix C.)
(f) Recess and Undercut.
(1) Straight relieved flanges made according to Table A-1 and Figure A-16 shall be recessed at least one-sixteenth inch on the side next to the wheel for a distance as specified in Table A-1.
(2) Straight flanges of the adaptor or sleeve type (Table A-4 and Figures A-18 and A-19) shall be undercut so that there will be no bearing on the sides of the wheel within one-eighth inch of the arbor hole. (Figures A-18 and A-19 are illustrated in Appendix D.)
(g) Blotters. Blotters (compressible washers) shall always be used between flanges and abrasive wheel surfaces to insure uniform distribution of flange pressure. [See Section 3480(e).]

Exceptions: 
(1) Mounted wheels.
(2) Abrasive discs (inserted nut, inserted washer, and projecting stud type).
(3) Plate mounted wheels.
(4) Cylinders, cups, or segmental wheels that are mounted in chucks.
(5) Types 27 and 28 wheels.
(6) Certain Type 1 and Type 27A cutting-off wheels.
(7) Certain internal wheels.
(8) Type 4 tapered wheels.
(9) Diamond wheels, except certain vitrified diamond wheels.
(10) Modified Types 6 and 11 wheels (terrazzo)--blotters applied flat side of wheel only.
(h) Driving Flange. The driving flange shall be securely fastened to the spindle and the bearing surface shall run true. When more than one wheel is mounted between a single set of flanges, wheels may be cemented together or separated by specially designed spacers. Spacers shall be equal in diameter to the mounting flanges and have equal bearing surfaces. [See Section 3480(f).]
(i) Dimensions.
(1) Tables A-1 and A-2 and Figures A-16 and A-17 of Appendix D show minimum dimensions for straight relieved and unrelieved flanges for use with wheels with small holes that fit directly on the machine spindle. Dimensions of such flanges shall never be less than indicated and should be greater where practicable.
(2) Tables A-3 and A-4 and Figures A-18 and A-19 of Appendix D show minimum dimensions for straight adaptor flanges for use with wheels having holes larger than the spindle. Dimensions of such adaptor flanges shall never be less than indicated and should be greater where practicable.
(3) Table A-5 and Figure A-19 of Appendix D show minimum dimensions for straight flanges that are an integral part of wheel sleeves which are frequently used on precision grinding machines. Dimensions of such flanges shall never be less than indicated and should be greater where practicable.
(j) Repairs and maintenance. All flanges shall be maintained in good condition. When the bearing surfaces become worn, warped, sprung, or damaged they should be trued or refaced. When refacing or truing, care shall be exercised to make sure that proper relief and rigidity is maintained as specified in subsection (f) of this section and they shall be replaced when they do not conform to this subsection and Table A-2, Figure A-17, Table A-3, Figure A-18, Table A-1, Figure A-16, and Table A-5, Figure A-19. Failure to observe these rules might cause excessive flange pressure around the hole of the wheel. This is especially true of wheel-sleeve or adaptor flanges. (Figures A-16, A-17, A-18 and A-19 are illustrated in Appendix D.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer of subsections (d), (e) and (f) and relettering of existing subsections filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment of subsections (j), (k), (l) and (p) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Repealer and new section filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
§3580. Mounting.
Note     •     History

(a) Inspection. Immediately before mounting, all wheels shall be closely inspected and sounded by the user (ring test) to make sure they have not been damaged in transit, storage, or otherwise. The spindle speed of the machine shall be checked before mounting of the wheel to be certain that it does not exceed the maximum operating speed marked on the wheel. Wheels should be tapped gently with a light nonmetallic implement, such as the handle of a screwdriver for light wheels, or a wooden mallet for heavier wheels. If they sound cracked (dead), they shall not be used.
Note: This is known as the “Ring Test.” Wheels must be dry and free from sawdust when applying the ring test, otherwise the sound will be deadened. It should also be noted that organic bonded wheels do not emit the same clear metallic ring as do vitrified and silicate wheels. “Tap” wheels about 45 degrees each side of the vertical centerline and about 1 or 2 inches from the periphery as indicated by the spots in Figure A-20 and Figure A-21 of Appendix E. Then rotate the wheel 45 degrees and repeat the test. A sound and undamaged wheel will give a clear metallic tone. If cracked, there will be a dead sound and not a clear “ring.”
(b) Arbor size. Grinding wheels shall fit freely on the spindle and remain free under all grinding conditions. A controlled clearance between the wheel hole and the machine spindle (or wheel sleeves or adaptors) is essential to avoid excessive pressure from mounting and spindle expansion. To accomplish this, the machine spindle shall be made to nominal (standard) size plus zero minus .002 inch, and the wheel hole shall be made suitably oversize to assure safety clearance under the conditions of operating heat and pressure.
(c) Surface condition. All contact surfaces of wheels, blotters and flanges shall be flat and free of foreign matter.
(d) Bushing. When a bushing is used in the wheel hole it shall not exceed the width of the wheel and shall not contact the flanges.
(e) Blotters. When blotters or flange facings of compressible material are required, they shall cover entire contact area of wheel flanges. Highly compressible material such as blotting paper as normally used should not exceed.025 inch in thickness. If material of lower compressibility is used, greater thickness may be necessary. Blotters need not be used with the following types of wheels:
(1) Mounted wheels.
(2) Abrasive discs (inserted nut, inserted washer, and projecting-stud type).
(3) Plate mounted wheels.
(4) Cylinders, cups, or segmental wheels that are mounted in chucks.
(5) Types 27 and 28 wheels.
(6) Certain Type 1 and Type 27A cutting-off wheels.
(7) Certain internal wheels.
(8) Type 4 tapered wheels.
(9) Diamond wheels, except certain vitrified diamond wheels.
(f) Multiple wheel mounting. When more than one wheel is mounted between a single set of flanges, wheels may be cemented together or separated by specially designed spacers. Spacers shall be equal in diameter to the mounting flanges and have equal bearing surfaces. When mounting wheels which have not been cemented together, or ones which do not utilize separating spacers, wheels specially manufactured for that purpose shall be used.
(g) Replacing safety guard. After mounting a wheel, safety guard shall be properly positioned before starting the wheel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer and new section filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48). 
§3581. Speed.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Amendment filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
3. Repealer filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
§3582. Storage.
Note     •     History

Abrasive wheels shall not be stored where they would be subjected to exposure to high temperature or humidity, water or other liquids, freezing temperature or any temperature low enough to cause condensation on the wheels when moved from storage to an area of higher temperature, or where they would be subjected to physical damage from falling tools or materials.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

FIGURES A-15 through A-22
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment to the title of Figure A-15, and new Figure A-22 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48)
§3583. Portable Abrasive Wheels.
Note     •     History

(a) General requirements. Abrasive wheels shall be used only on machines provided with safety guards as required in Section 3577(b). 
(b) A safety guard shall cover the spindle end, nut and flange projections. The safety guard shall be mounted so as to maintain proper alignment with the wheel, and the strength of the fastenings shall exceed the strength of the guard.

Exceptions: 
(1) Safety guards on all operations where the work provides a suitable measure of protection to the operator may be so constructed that the spindle end, nut and outer flange are exposed. Where the nature of the work is such as to entirely cover the side of the wheel, the side covers of the guard may be omitted.
(2) The spindle end, nut, and outer flange may be exposed on portable machines designed for, and used with, Types 6, 11, 27, and 28 abrasive wheels, cutting-off wheels, and tuck pointing wheels.
(c) Cup wheels. Cup wheels (Types 6 and 11) shall be protected by:
(1) Safety guards as specified in this section; or
(2) Special “Revolving Cup Guards” which mount behind the wheel and turn with it. They shall be made of steel or other material with adequate strength and shall enclose the wheel sides upward from the back for one-third of the wheel thickness. The mounting features shall conform with all regulations. (See Section 3580.) It is necessary to maintain clearance between the wheel side and the guard. The clearance shall not exceed one-sixteenth inch; or,
(3) Some other form of guard that will insure as good protection as that which would be provided by the guards specified in subsections (a) and (b) of this section.
(d) Vertical portable grinders. Safety guards used on machines known as right angle head or vertical portable grinders shall have a maximum exposure angle of 180 degrees, and the guard shall be so located so as to be between the operator and the wheel during use. Adjustment of guard shall be such that pieces of an accidentally broken wheel will be deflected away from the operator. (See Figure A-22 of Appendix E.)
(e) Other portable grinders. The maximum angular exposure of the grinding wheel periphery and sides for safety guards used on other portable grinding machines shall not exceed 180 degrees and the top half of the wheel shall be enclosed at all times. (See Figure A-23 of Appendix E.)
(f) Mounting and inspection of abrasive wheels.
(1) Immediately before mounting, all wheels shall be closely inspected and sounded by the user to make sure they have not been damaged in transit, storage, or otherwise. The spindle speed of the machine shall be checked before mounting of the wheel to be certain that it does not exceed the maximum operating speed marked on the wheel.
(2) Grinding wheels shall fit freely on the spindle and remain free under all grinding conditions. A controlled clearance between the wheel hole and the machine spindle (or wheel sleeves or adaptors) is essential to avoid excessive pressure from mounting and spindle expansion. To accomplish this, the machine spindle shall be made to nominal (standard) size plus zero minus .002 inch, and the wheel hole shall be made suitably oversize to assure safety clearance under the conditions of operating heat and pressure.
(3) All contact surfaces of wheels, blotters, and flanges shall be flat and free of foreign matter.
(4) When a bushing is used in the wheel hole it shall not exceed the width of the wheel and shall not contact the flanges.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-1
MINIMUM DIMENSIONS FOR STRAIGHT RELIEVED FLANGES

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-2
MINIMUM DIMENSIONS FOR STRAIGHT UNRELIEVED FLANGES FOR 
WHEELS WITH THREADED INSERTS OR PROJECTING STUDS

View Graphic

*Must be large enough to extend beyond the bushing. Where prong anchor or cupback bushing are used, this footnote does not apply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-3
MINIMUM DIMENSIONS FOR STRAIGHT ADAPTOR FLANGE 
--FOR ORGANIC BONDED WHEELS OVER 1 1/4 INCH THICK *

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-4
MINIMUM DIMENSIONS FOR STRAIGHT FLANGES--FOR MECHANICAL
GRINDERS
12,500 S.F.P.M. to 16,500 S.F.P.M.1

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-5
MINIMUM DIMENSIONS FOR STRAIGHT FLANGES USED AS 
WHEEL SLEEVES FOR PRECISION GRINDING ONLY

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLE A-6
GUIDE FOR CONSTRUCTION OF BAND TYPE GUARDS
Maximum Wheel Speed 7000 SFPM

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

TABLES A-7 through A-18
HISTORY

1. New Tables A-7 through A-18 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer of Tables A-7 through A-18 filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).

Appendix A

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A filed 11-22-85; effective thirtieth day thereafter (Register 85,No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix B

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix B filed 11-22-85; effective thirtieth day thereafter (Register 85. No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix C

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix C filed 11-22-85; effective thirtieth day thereafter (Register 85,No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix D

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix D filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix E

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix E filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix F

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix F filed 11-22-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).

Appendix G

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Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix G filed 11-22-85; effective thirtieth day thereafter (Register 85. No. 48).
2. Change without regulatory effect providing more legible illustrations filed 2-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 7).
Group 4. General Mobile Equipment and Auxiliaries
Article 23. Mobile Ladder Stands and Scaffolds   (Towers)
§3620. Scope.
Note     •     History

This standard prescribes rules and requirements for the design, construction, and use of mobile work platforms (including ladder stands but not including aerial ladders) and rolling (mobile) scaffolds (towers).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 23 (Sections 3620-3627) filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
§3621. Definitions.
Note     •     History

Brace. A tie that holds one scaffold member in a fixed position with respect to another member.
Climbing Ladder. A separate ladder with equally spaced rungs usually attached to the scaffold structure for climbing and descending.
Coupler. A device for locking together the components of a tubular metal scaffold which shall be designed and used to safely support the maximum intended loads.
Design Working Load. The maximum intended load, that is, the total of all loads including the weight of the workers, materials, and equipment.
Elevated Work Level. The elevated platform, used for supporting workers and their materials, comprising the necessary vertical, horizontal, and diagonal braces, guardrails and ladder for access to the work platform.
Ladder Stand. A mobile fixed size self-supporting ladder consisting of a wide flat tread ladder in the form of stairs. The assembly may include handrails but does not include a platform.
Ledger. A horizontal member of a scaffold upon which the platform rests and which may be supported by ribbons.
Mobile. In connection with this Article, the term “mobile” shall mean “manually propelled.”
Mobile Scaffold (Tower). A light, medium, or heavy duty scaffold mounted on casters or wheels.
Mobile Work Platform. A fixed work level on casters or wheels, with bracing diagonally from platform to vertical frame.
Ribbon. A horizontal scaffold member which extends from post to post and which supports the ledger forming a tie between the posts.
Scaffold. Any temporary elevated platform and its necessary vertical, diagonal, and horizontal members used to support workers and materials. (Also known as a scaffold tower.)
Tube and Coupler Scaffold. An assembly consisting of tubing which serves as posts, ledgers, braces, ties, and ribbons, a base supporting the posts, and special couplers which serve to connect the uprights and to join the various members.
Tubular Welded Frame Scaffold. A sectional, panel or frame metal scaffold substantially built up of prefabricated welded sections, which consist of posts and ledgers with intermediate connecting members and braced with diagonal or cross braces.
Tubular Welded Sectional Folding Scaffold. A sectional, folding metal scaffold either of ladder frame or inside stairway design, substantially built of prefabricated welded sections, which consist of end frames, platform frame, inside inclined stairway frame and braces, or hinge-connected diagonal and horizontal braces, capable of being folded into a flat package when the scaffold is not in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
§3622. General.
Note     •     History

(a) “All scaffolds shall be erected in accordance with the provisions of Article 21 of the Construction Safety Orders.”
(b) Load Rating.
(1) The design working load of ladder stands shall be calculated on the basis of one or more 200-pound persons together with 50 pounds of equipment each.
(2) The design load of all scaffolds shall be calculated on the basis of:
(A) Light--Designed and constructed to carry a working load of 25 pounds per square foot.
(B) Medium--Designed and constructed to carry a working load of 50 pounds per square foot.
(C) Heavy--Designed and constructed to carry a working load of 75 pounds per square foot.
(3) All ladder stands and scaffolds shall be capable of supporting at least 4 times the design working load.
(c) Materials. The materials used in mobile ladder stands and scaffolds shall be selected to safely support the design working load and shall be maintained to protect against corrosion and deterioration. 
(d) Fasteners. Nails, bolts, or other fasteners used in the construction of ladders, scaffolds, and towers shall be of adequate size and in sufficient numbers at each connection to develop the designed strength of the unit. Nails shall be driven full length. (All nails shall be immediately withdrawn from dismantled lumber.)
(e) Workmanship. All exposed surfaces shall be free from sharp edges, burrs, or other laceration hazards.
(f) Work Levels.
(1) The maximum work level height shall not exceed 3 times the least base dimension below the platform. Where the basic mobile unit does not meet this requirement, outrigger frames shall be employed to achieve this least base dimension, or provisions shall be made to guy or brace the unit against tipping.
(2) The minimum platform width for any work level shall not be less than 20 inches for mobile scaffolds (towers). Ladder stands shall have a minimum step width of 16 inches.
(3) The supporting structure for the work level shall be rigidly braced, using cross bracing or diagonal bracing with rigid platforms at each work level.
(4) The steps of ladder stands shall be slip-resistant.
(5) The work level platform of scaffolds (towers) shall be the full width of the scaffold, except for necessary openings. Work platforms shall be secured in place. All scaffold platforms shall meet the requirements of the Construction Safety Orders, Section 1637.
(6) All scaffold work levels 6 feet or higher above the ground or floor shall have a toeboard at locations where persons are required to work or pass under the scaffold. (See Section 3210.)
(7) All scaffold work levels 30 inches or higher above the ground or floor shall have guardrail protection that meets the requirements of Section 3209 and 3210.
(8) A climbing ladder or stairway shall be provided for proper access and egress, and shall be affixed or built into the scaffold and so located that its use will not have a tendency to tip the scaffold. A landing platform shall be provided at intervals not to exceed 30 feet.
(g) Wheels or Casters.
(1) Wheels or casters shall be properly designed for strength and dimensions to support 4 times the design working load.
(2) All scaffold wheels, casters and swivels shall be provided with a positive locking device, or other effective means to prevent movement of the scaffold.
(3) Ladder stands shall have at least 2 locking casters or other means of locking the unit in position. If only 2 casters are used, they shall be of the directional type and if 4 casters are used, at least 2 of the 4 shall be of the swivel type.
(4) Locking devices shall be kept in the locked position when workers are climbing or working on scaffolds and ladder stands.
(5) Where leveling of the elevated work platform is required, screw jacks or other similar means for adjusting the height shall be provided in the base section of each mobile unit. The screw jack shall extend into its leg tube at least 1/3 its length, but in no case shall the exposed portion of the screw jack exceed 12 inches.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Amendment of subsections (a)(3), (e)(1), (e)(6) and (f) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
4. Amendment of subsection (f)(5) filed 6-19-2001; operative 7-19-2001 (Register 2001, No. 25).
5. Amendment of subsection (f)(5) filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).
§3623. Mobile Tubular Welded Frame Scaffolds.
Note     •     History

(a) Units shall be designed to comply with the requirements of Section 3622.
(b) Scaffolds shall be braced by cross braces or diagonal braces, or both, for securing vertical members together laterally. The cross braces shall be of a length that will automatically square and align vertical members so the erected scaffold is always plumb, square, and rigid.
(c) Spacing of panels or frames shall be consistent with the loads imposed. The frames shall be placed one on top of the other with coupling or stacking pins to provide vertical alignment of the legs.
(d) Where uplift may occur, panels shall be locked together vertically by pins or other equivalent means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-12-84 (Register 84, No. 41).
§3624. Mobile Tubular Welded Sectional Folding Scaffolds.
Note     •     History

(a) Units including sectional stairway and sectional ladder scaffolds shall be designed to comply with the requirements of Section 3622.
(b) An integral stairway and work platform shall be incorporated into the structure of each sectional folding stairway scaffold.
(c) An integral set of pivoting and hinged folding diagonal and horizontal braces and a detachable work platform shall be incorporated into the structure of each sectional folding ladder scaffold.
(d) Sectional folding stairway scaffolds shall be designed as medium duty scaffolds except for special base (open end) sections, which are designed for high clearance. These special base sections shall be designed as light duty scaffolds. When upper sectional folding stairway scaffolds are used with a special high clearance base, the load capacity of the entire scaffold will be reduced accordingly.
(e) Sectional folding ladder scaffolds shall be designed as light duty scaffolds including special base (open end) sections which are designed for high clearance. For certain special applications the 6-foot folding ladder scaffolds, except for special high clearance base sections, shall be designed for use as medium duty scaffolds.
(f) The width of a sectional folding stairway scaffold shall not exceed 4 1/2 feet. The maximum length of a sectional folding stairway scaffold shall not exceed 6 feet.
(g) The width of a sectional folding ladder scaffold shall not exceed 4 1/2 feet. The maximum length of a sectional folding ladder scaffold shall not exceed 6 feet 6 inches for a 6-foot long unit, 8 feet 6 inches for an 8-foot unit or 10 feet 6 inches for a 10-foot long unit.
(h) The end frames of sectional ladder and stairway scaffolds shall be designed so that the horizontal ledgers provide supports for multiple planking levels.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (e) and (f) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of NOTE filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
§3625. Mobile Tube and Coupler Scaffolds.
Note     •     History

(a) Units shall be designed to comply with the applicable requirements of Section 3622.
(b) The material used for the couplers shall be of a structural type, such as a drop-forged steel, malleable iron, or structural grade aluminum. The use of gray cast iron is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-12-84 (Register 84, No. 41).
§3626. Mobile Work Platforms.
Note     •     History

(a) Units shall be designed for the use intended and shall comply with the requirements of Section 3622.
(b) The minimum width of the base of mobile work platforms shall be 20 inches.
(c) Adequate rigid diagonal bracing to vertical members shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-12-84 (Register 84, No. 41).
§3627. Mobile Ladder Stands.
Note     •     History

(a) Units shall comply with applicable requirements of Section 3622.
(b) The minimum base width shall conform to Section 3622(f). The minimum length of the base section shall be the total length of combined steps and top assembly, measured horizontally, plus 5/8-inch per step of rise.
(c) Steps shall be uniformly spaced, and sloped, with a rise of not less than 9 inches, nor more than 10 inches, and a depth of not less than seven (7) inches nor more than 10 inches including the top tread. The slope of the steps section shall be a minimum of 55 degrees and a maximum of 60 degrees measured from the horizontal.
(d) Units having steps with four or more risers shall be equipped with handrails.
(e) Handrails shall be a minimum of 30 inches high. Measurements shall be taken from the upper surface of the top rail to the surface of the tread in line with the face of the riser below the tread.
(f) The design working load stipulated in Section 3622(b)(1) shall be applied uniformly to a 3 1/2-inch wide area front to back at the center of the width span with a safety factor of 4.
(g) Mobile ladder stands with a top step height of 48 inches or greater from the floor or level below shall have guardrail protection that meets the requirements of Sections 3209 and 3210. 
(h) Mobile ladder stands with a top step height greater than 30 inches but less than 48 inches shall have a guardrail at least 30 inches (+ 1 inch) in height.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. New subsections (g) and (h) filed 12-2-86; effective thirtieth day thereafter (Register 86, No. 49).
4. Change without regulatory effect amending subsection (b) filed 4-8-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
Article 24. Elevating Work Platforms and Aerial Devices
§3636. Application.
Note     •     History

(a) This Article applies to elevating work platforms and vehicle mounted or self-propelled aerial devices which are used to position personnel, along with their tools and necessary materials, to work locations.
(b) This Article does not apply to:
(1) Mobile ladder stands and scaffolds (towers) (covered in Article 23).
(2) Powered platforms for exterior building maintenance (covered in Article 6).
(3) Vertically adjustable platforms used primarily to raise and lower materials or materials-handling equipment, or both, with their operating personnel necessary to transfer such materials between varying elevations (covered in Article 14, Construction Safety Orders). 
(4) Industrial Trucks, Tractors, Haulage Vehicles, and Earth Moving Equipment (covered in Article 25).
(5) Fire fighting equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 24 ( §§ 3636-3646) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of subsection (a) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
3. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
4. New subsection (b)(5) filed 4-29-96; operative 5-29-96 (Register 96, No. 18).
§3637. Definitions.
Note     •     History

Aerial Device. Any vehicle-mounted or self-propelled device, telescoping extensible or articulating, or both, which is primarily designed to position personnel.
Aerial Ladder. An aerial device consisting of a single-or-multiple-section extension ladder.
Articulating Boom. An aerial device with two or more hinged boom sections.
Boom. An elevating member; the lower end of which is so attached to a rotating or non-rotating base that permits elevation of the free or outer end in vertical plane.
Elevating Work Platform. A device designed to elevate a platform in a substantially vertical axis. (Vertical Tower, Scissor Lift, Mast-Climbing Work Platform)
Extensible Boom Platform. An aerial device (except ladders) with an extensible boom. Telescopic booms with personnel platform attachments shall be considered to be extensible boom platforms.
Insulated Aerial Device. An aerial device designed for work on energized lines and apparatus.
Mast-Climbing Work Platform. A powered elevating work platform or platforms, supported on one or more vertical masts, for the purpose of positioning personnel, along with necessary tools and materials, to perform their work.
Orchard Man-Lift (Pruning Tower). An aerial device designed to elevate and position personnel for the purpose of harvesting and/or pruning fruit and nut trees.
Override. The taking over of primary control functions from a secondary location.
Pin-On Platform. A platform other than basket or tub, without a guardrail which is attached to a boom by hinge or pivot connection allowing movement in the vertical plane, including such hinge down platforms used at the upper end of aerial ladders.
Platform. Any personnel-carrying device (bucket, basket, cage, stand, tub, or equivalent) which is a component of an aerial device.
Rated Work Load. The safe design live load carrying capacity of the work platform.
Stability. A condition of a work platform in which the sum of the moments, which tends to overturn the unit is less than the sum of the moments tending to resist overturning.
Work Platform, Adjustable. Any device that has a platform which is vertically, horizontally or rotationally adjustable and supported by a structure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Amendment of section filed 9-10-91; operative 10-10-91 (Register 91, No. 51).
3. Amendment adding definition for “Orchard Man-Lift (Pruning Tower)” filed 10-28-91; operative 11-27-91 (Register 92, No. 7).
4. Amendment of definitions of “Elevating Work Platform” and “Work Platform” and new definition of “Mast-Climbing Work Platform” filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3638. General Requirements.
Note     •     History

(a) Each unit shall have a manual containing instructions for maintenance and operations. If a unit is able to be operated in different configurations, then these shall be clearly described, including the rated capacity in each configuration.
(1) The required manual(s) shall be maintained in a weather resistant storage location on the elevating work platform or aerial device.
(b)(1) Each aerial device or elevating work platform placed in service prior to December 23, 1999 shall have a conspicuously displayed legible plate or other legible marking verifying the aerial device or elevating work platform is designed and manufactured in accordance with the following applicable specifications:
ANSI A92.2-1969 or 1979 for Vehicle Mounted Elevating and Rotating Aerial Devices
ANSI A92.3-1980 for Manually Propelled Elevating Work Platforms,
ANSI A92.5-1980 for Boom Supported Elevating Work Platforms,
ANSI A92.6-1979 for Self-Propelled Elevating Work Platforms,
ANSI A92.7-1981 for Airline Ground Support Vehicle-Mounted Vertical Lift Devices,
ANSI/SIA A92.9-1993 for Mast-Climbing Work Platforms.
(2) Each aerial device or elevating work platform placed in service on or after December 23, 1999 shall have a conspicuously displayed legible plate or other legible marking verifying the aerial device or elevating work platform is designed and manufactured in accordance with the following applicable specifications:
ANSI/SIA A92.2-1990 for Vehicle-Mounted Elevating and Rotating Aerial Devices,
ANSI/SIA A92.3-1990 for Manually Propelled Elevating Aerial Platforms,
ANSI/SIA A92.5-1992 for Boom-Supported Elevating Work Platforms,
ANSI/SIA A92.6-1990 for Self-Propelled Elevating Work Platforms,
ANSI/SIA A92.7-1990 for Airline Ground Support Vehicle-Mounted Vertical Lift Devices,
ANSI/SIA A92.9-1993 for Mast-Climbing Work Platforms.
(c) The above plates shall contain the following data, when applicable:
(1) Make, model and manufacturer's serial number.
(2) Rated capacity at the maximum platform height.
(3) Maximum platform travel height.
(4) Maximum recommended operating pressure of hydraulic or pneumatic system(s) or both.
(5) Basic cautions or restrictions of operation or both.
(6) Basic operating instructions, and/or instructions referring users to the manufacturer's operating manual.
(7) Rated line voltage (if applicable).
(8) Alternative configurations shall require in addition to the above:
(A) Chart, schematic, or scale showing capacities of all combinations in their operating positions.
(B) Caution or restrictions or both, of operation of all alternate or combinations of alternate configurations.

Exception to (c)(8): For mast-climbing work platform alternative configurations, the plate may refer the operator to the operating/instruction manual.
(d) Employees shall be instructed in the proper use of the platform in accordance with this Article, the manufacturer's operating instructions and Section 3203, Injury and Illness Prevention Program.
(e) All aerial devices and elevating work platforms shall be assembled and erected by a qualified person in accordance with the manufacturer's specifications and this Article and shall be maintained in safe operating condition.
(1) If the manufacturer is no longer in business and instructions are no longer available, assembly and erection shall be performed by a qualified person under the direction of a registered professional engineer experienced in the design of elevating work platforms or aerial devices.
(f) Work performed when using elevating work platforms or aerial devices in proximity to energized high voltage lines shall be in accordance with Article 37 of the High-Voltage Electrical Safety Orders.

Note: See Title 8, Low Voltage Electrical Safety Orders for work below 600 volts.
(g) All electrical tests shall conform to the requirements of the applicable ANSI Standard or equivalent d.c. voltage test approved by the equipment manufacturer or equivalent entity.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Change without regulatory effect of subsections (b) and (f) filed 8-30-89 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 37). 
4. Amendment of subsection (e) filed 4-29-96; operative 5-29-96 (Register 96, No. 18).
5. Redesignation and amendment of existing subsection (b) as subsection (b)(1) and new subsection (b)(2) filed 11-23-99; operative 12-23-99 (Register 99, No. 48).
6. Amendment of section heading and section, including incorporation by reference of ANSI/SIA A92.9-1993 standard, filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3639. Factors of Safety in Design of Work Platform Assembly.
Note     •     History

(a) Where the platform is supporting its rated work load by a system of wire ropes or lift chains, or both, the safety factor of the wire rope or chain system shall not be less than 8 to 1 based on ultimate strength.
(b) All critical components of a hydraulic or pneumatic system used in a work platform shall have a bursting strength that exceeds the pressure attained when the system is subjected to the equivalent of four times the rated work load. Critical components are those in which a failure would result in a free fall or free rotation of the boom. All noncritical hydraulic components shall have a bursting safety factor of at least 2 to 1.
(c) Automatic safety devices or systems shall be provided to prevent free fall of the work platform should a failure of the power supply or elevating system occur.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
2. Amendment of subsection (a) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3640. Inspection, Maintenance and Repairs.
Note     •     History

(a) Inspection, Maintenance and Repairs:
(1) Inspection, maintenance and repairs shall be performed by a qualified person in accordance with the manufacturer's specifications.
(2) If the manufacturer is no longer in business and manufacturer's specifications are no longer available, required inspection, maintenance and repairs shall be performed by a qualified person under the direction of a registered professional engineer experienced in the design of elevating work platforms or aerial devices.
(3) The materials used in the repair of aerial devices and elevating work platforms shall conform to standard specifications of strength, dimensions, and weights, and shall be selected to safely support the rated work load.
(b) Electrical wiring and equipment shall comply with the provisions of the California Electrical Safety Orders (CCR Title 8).
(c) All exposed surfaces shall be free from sharp edges, burrs, or other hazardous projections.
(d) Records. Records of inspections and repairs shall be maintained for at least three years and be made available to the Division upon request.
(1) Records of inspections shall document the date of inspection, and any deficiencies found, the corrective action recommended and identification of the persons or entities performing the inspection.
(2) Records of repairs shall include the date of any such repair, a description of the work accomplished and identification of the persons or entities performing the work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
2. Amendment of subsection (a) filed 4-29-96; operative 5-29-96 (Register 96, No. 18).
3. Amendment of section heading and section filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3641. Orchard Man-Lifts (Pruning Tower).
Note     •     History

(a) Orchard Man-Lifts manufactured after September 1, 1991 shall have a permanently affixed, legible plate or be conspicuously marked, as follows:
(1) The device meets either ANSI A92.5-1980, Sections 3 and 4 or ANSI/SIA A92.5-1992, Section 4 requirements for construction and stability.
(A) Orchard Man-Lifts manufactured after May 7, 1999 meets ANSI/SIA A92.5-1992, Section 4 requirements for construction and stability.
(2) Make, model, serial number and manufacturer's name and address;
(3) Rated platform workload;
(4) Maximum platform height and travel height;
(5) Alternative configuration statement, if applicable;
(6) Work-in-proximity-to-high-voltage overhead-lines warning, and,
(7) Maximum slope on which the device may be operated when the platform is elevated.
(b) In addition to having permanently affixed, legible plates or markings stating that the orchard man-lift meets the applicable ANSI or ANSI/SIA A92.5, Sections 3 and/or 4 requirements, orchard man-lifts manufactured after September 1, 1991 shall incorporate the following:
(1) A rigid platform guardrail at least 36 inches in height, surrounding the entire platform. Midrails are not required;
(2) A work platform fully enclosed below the guardrail to within three inches of the platform floor or enclosed with vertical members spaced not more than nine inches apart. Access to the platform shall be provided by one of the following:
(A) Access opening not to exceed 20 inches in width; or
(B) Access gate or door provided it is designed to prevent unintentional opening and provide a closed guardrail around the platform. 
(3) Access to or from the platform shall not be over the guardrail.
(4) A safety belt with attached lifeline shall be worn when guardrail height is less than 42 inches above the platform floor. A lifeline anchorage point shall be provided on the platform.
(5) A secondary set of platform controls shall be provided at ground level capable of raising and lowering the platform and deenergizing the system.
(6) All operating controls shall move in the direction of the function which they control and shall be of the type which automatically return to “off” or the “neutral” position when released.
(7) The platform elevating system shall be designed to limit descent of the raised platform to 135 feet per minute in the event of an elevating system failure.
(c) Orchard man-lifts manufactured prior to September 1, 1991 shall meet at least the following requirements:
(1) A permanent legible plate or conspicuous marking containing the information required in subsection (a), (1-7) of this Section shall be affixed to the orchard man-lift;
(2) All load supporting structural elements of the work platform shall have a factor of safety not less than 2 to 1;
(3) The device and work platform shall be capable of maintaining stability while sustaining a static load equal to 1-1/3 times its rated work load concentrated anywhere 12 inches inside the perimeter of the platform throughout its entire range of motion while on a 5 degree slope from the horizontal; and,
(4) The platform elevating system shall be equipped with a means of limiting descent of the platform to 135 feet per minute in the event of an elevating system failure.
Note: The orchard man-lift may be considered in compliance with these requirements provided compliance can be substantiated by manufacturer's specification, or documentation certified by a California registered engineer or by a nationally recognized testing laboratory as defined in Section 3207 of the General Industry Safety Orders.
(d) Orchard man-lifts shall be operated and maintained in accordance with the manufacturers' recommendations.
(e) Use and marking of orchard man-lifts shall be in accordance with Article 37 of the High Voltage Electrical Safety Orders.
(f) Operating instructions in Section 3648 of the General Industry Safety Orders shall apply to orchard man-lifts in addition to the following:
(1) Orchard man-lifts operators shall be trained in accordance with the manufacturer's recommended operating procedures.
(2) A written emergency procedure to move and lower the platform should the platform operator become unable to operate the controls shall be developed. Operators shall be trained in these emergency procedures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
2. New section filed 10-28-91; operative 11-27-91 (Register 92, No. 7).
3. Amendment of subsection (a)(1), new subsection (a)(1)(A) and amendment of subsection (b) filed 4-7-99; operative 5-7-99 (Register 99, No. 15).
4. Amendment of subsection (f) filed 2-8-2002; operative 3-10-2002 (Register 2002, No. 6).
§3642. Elevating Work Platform Equipment.
Note     •     History

(a) The platform deck shall be equipped with:
A guardrail or other structure around its upper periphery that shall be 42 inches high, plus or minus 3 inches, with a midrail. (Chains or the equivalent may be substituted where they give equivalent protection.) Where the guardrail is less than 39 inches high, an approved personal fall protection system as defined in Section 3207 of these Orders shall be used in accordance with the requirements of Section 3648(o) of this Article.
(1) For mast-climbing work platforms used by glaziers, bricklayers and stonemasons, the inboard guardrail may be removed provided: (a) the inboard edge of the work platform or platform extension is no more than 7 inches from the finish face of the building or structure on which the work is being performed or (b) approved personal fall protection systems are used in accordance with Section 1670.
(2) For all other mast-climbing work platforms not included in (a)(1), the inboard guardrail may be removed provided: (a) the inboard edge of the work platform or platform extension is no more than 12 inches from the building or structure wall or (b) approved personal fall protection systems are used in accordance with Section 1670.
Note: Equipment buckets, tubs, or pin-on platforms refer to Section 3647.
(b) The configuration of an elevating work platform may include a ladder for personnel to use in reaching the platform deck. Any ladder device used in this way shall have rungs located on uniform centers not to exceed 12 inches.
(c) Any elevating work platform equipped with a powered elevating assembly and having a platform height exceeding 60 inches shall be supplied with safe emergency lowering means compatible with the specific elevating assembly employed.
(d) Any powered elevating work platform shall have both upper and lower control devices. Controls shall be plainly marked as to their function and guarded to prevent accidental operation. The upper control device shall be in or beside the platform, within easy reach of the operator. The lower control device shall have the capability to lower the platform where the operator's safety is in jeopardy.

Exception: Mast-climbing work platform controls shall be located only on the platform.
(e) An emergency stopping device shall be provided at the upper controls of elevating work platforms.
(f) Elevating Work Platforms shall include:
(1) Toe boards at sides and ends which shall not be less than 3 1/2 inches high. 

Exception: Toe boards may be omitted at the access openings and on television and movie camera booms.
(2) A hinged trap access door, if applicable.
(3) A platform whose minimum width shall not be less than 16 inches.
(g) Mast-climbing work platforms shall include the following fire safety provisions:
(1) At least one-3A40BC fire extinguisher located not closer than five feet from the control panel.
(2) When fuel-powered equipment is being used, the equipment fuel supply shall be limited to no more than that required for a single shift.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
2. Amendment of section heading and subsection (a) filed 10-4-99; operative 11-3-99 (Register 99, No. 41).  
3. New subsections (a)(1)-(2), amendment of subsection (d) and new subsections (g)-(g)(2) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3643. Guarding of Moving Parts.
Note     •     History

All rotating shafts, gearing, and other moving parts shall be guarded to conform with Group 6 of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
§3644. Stability on Level Ground. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
§3645. Stability on Inclined Surfaces.
Note     •     History

(a) Unless recommended for such use by the manufacturer, no elevating work platform shall be used on an inclined surface.
(b) Procedures for maintaining stability must be clearly outlined in the special warnings section [see 3638(c)]. The user shall not deviate from the manufacturer's instructions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
§3646. Operating Instructions (Elevating Work Platforms).
Note     •     History

(a) No employee shall ride, nor tools, materials, or equipment be allowed on a traveling elevated platform unless the following conditions are met: 

Exception: TV and Movie Camera Booms.
(1) The travel speed at Maximum Travel Height does not exceed 3 feet (0.9m) per second.
(2) Self-propelled units shall be equipped with electrical or other interlock means which will prevent driving them with the platform height greater than the Maximum Travel Height or at speeds greater than permitted at Maximum Travel Height.
(3) The surface upon which the unit is being operated is level with no hazardous irregularities or accumulation of debris which might cause a moving platform to overturn.
(b) Units shall be assembled, used, and disassembled in accordance with the manufacturer's instructions.
(c) Units shall be inspected for damaged and defective parts before use.
(d) Units shall not be loaded in excess of the design working load and shall be taken out of service when damaged or weakened from any cause. They shall not be used until repairs are completed.
(e) Employees shall not sit, stand or climb on the guardrails of an elevating work platform or use planks, ladders, or other devices to gain greater working height or reach.
(f) Employees shall not work on units when exposed to high winds, storms, or when they are covered with ice or snow (unless provisions have been made to ensure the safety of the employees).
(g) Employees climbing or descending vertical ladders shall have both hands free for climbing.
Note: Employees should remove foreign substances, such as mud or grease from their shoes.
(h) Where moving vehicles are present, the work area shall be marked with warnings such as flags, roped off areas or other effective means of traffic control shall be provided. 

Exception: Aircraft service areas.
(i) Unstable objects such as barrels, boxes, loose brick, tools, debris, shall not be allowed to accumulate on the work level.
(j) In operations involving production of small debris, chips, etc., and the use of small tools and materials, and where persons are required to work or pass under the equipment, screens shall be required between toeboards and guardrails. The screen shall extend along the entire opening, shall consist of No. 18 gage U.S. Standard Wire 1/2 inch mesh, or equivalent.
(k) Mast-climbing work platforms, shall not be used as construction personnel hoists or material hoists.

Exceptions for (k):
1. Theatrical and Television Motion Picture Industry.
2. This does not prohibit the transfer of tools, materials and/or workers using personal fall protection at the location where the work is being performed.
(l) Employees shall be instructed by a qualified person in the safe use of the work platform in accordance with the manufacturer's operating instructions, and Section 3203, Injury and Illness Prevention Program.
(1) Instruction for employees who erect, disassemble, move, operate, use, repair, maintain, or inspect elevating work platforms shall include, but not be limited to, training in:
(A) The provisions of this section.
(B) The correct procedures for performing their assigned duties.
(C) The nature of hazards associated with the equipment, including electrical hazards, fall hazards and falling object hazards in the work area and correct procedures for dealing with those hazards.
(D) The safe operation and use of elevating work platforms and the proper handling of materials on the work platform.
(E) The maximum load capacity of the work platform based upon installed configuration.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (a)and new subsection (a) filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
3. Amendment of subsection (e) filed 1-23-2001; operative 2-22-2001 (Register 2001, No. 4).
4. Amendment of subsection (c) and new subsections (k)-(l)(1)(E) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§3647. Pin-On Platforms.
Note     •     History

(a) Pin-on platforms shall be securely pinned to the boom or boom extension.
(b) Employees on the elevated pin-on platform shall be secured to the boom by a safety belt and lanyard or a body belt and safety strap.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). 
§3648. Operating Instructions (Aerial Devices).
Note     •     History

(a) Aerial baskets or platforms shall not be supported by adjacent structure(s) when workers are on the platform or in the basket while in an elevated position.
(b) Lift controls shall be tested in accordance with the manufacturers recommendations or instructions prior to use to determine that such controls are in safe working condition.
(c) Only authorized persons shall operate an aerial device.
(d) Belting off to an adjacent pole, structure, or equipment while working from an aerial device shall not be permitted.
(e) Employees shall not sit or climb on the edge of the basket or use planks, ladders or other devices to gain greater working height.
(f) Boom and basket and platform load limits specified by the manufacturer shall not be exceeded.
(g) When elevating personnel with the vehicle stationary the braking systems shall be set.
(h) Provided they can be safely installed, wheel chocks shall be installed before using an aerial device on an incline.
(i) When used, outriggers shall be positioned on pads or a solid surface. All outriggers shall be equipped with hydraulic holding valves or mechanical locks at the outriggers.
(j) Climbers shall not be worn while performing work from an aerial device.
(k) When an insulated aerial device is required, the aerial device shall not be altered in any manner that might reduce its insulating value.
(l) An aerial device truck shall not be moved when the boom is elevated in a working position with employees in the basket or platform except when all of the following are complied with:
(1) The equipment is specifically designed for this type of operation in accordance with the provisions of Section 3638.
(2) All controls and signaling devices are tested and are in good operating condition.
(3) An effective communication system shall be maintained at all times between the basket or platform operator and where applicable, the vehicle operator.
(4) The route to be traveled is surveyed immediately prior to the work trip, checking for overhead obstructions, traffic, holes in the pavement, ground or shoulder, ditches, slopes, etc., for areas other than paved, a survey should be made on foot.
(5) The speed of the vehicle does not exceed three (3) miles per hour.
(6) Only one employee is in the basket.
(7) Both the driver and/or the elevated employee have been specifically trained for this type of work (towering) in accordance with the manufacturer's recommendations.
(m) Lower level controls shall not be operated unless permission has been obtained from the employee in the device, except in case of emergency.
(n) Before moving an aerial device for travel, the boom(s) shall be inspected to see that it is properly cradled and outriggers are in stowed position, except as provided in subsection (l).
(o) An employee, while in an elevated aerial device, shall be secured to the boom, basket or tub of the aerial device through the use of a safety belt, body belt or body harness equipped with safety strap or lanyard.

Exception: Orchard man-lifts manufactured after September 1, 1991 with guardrails 42 inches or higher above the platform floor.
(1) Safety belts/body belts are prohibited for use in personal fall arrest systems, but may be used as part of a fall restraint or positioning device system.
(2) Safety belts/body belts used as part of a positioning device system shall be rigged such that an employee cannot free fall more than 2 feet.
(3) A body harness may be used in a personal fall restraint, positioning or fall arrest system. When a body harness is used in a fall arrest system, the lanyard shall be rigged with a deceleration device to limit maximum arresting force on an employee to 1,800 pounds and prevent the employee from hitting any levels or objects below the basket or platform, and shall limit free fall to a maximum of 6 feet.
Note: The requirements of this section do not include any matter relating to firefighting equipment or any matter relating to the vehicles upon which aerial devices are mounted, except in respect to a vehicle being a stable support for the aerial device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Amendment of subsection (l)(7) and new subsection (o) filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37). 
3. Amendment of subsection (o) and new subsections (o)(1)-(3) filed 10-4-99; operative 11-3-99 (Register 99, No. 41).  
4. Amendment of subsection (o) filed 2-8-2002; operative 3-10-2002 (Register 2002, No. 6).
Article 25. Industrial Trucks, Tractors, Haulage Vehicles, and Earthmoving Equipment
§3649. Definitions.
Note     •     History

Agricultural Tractor. A wheel-type vehicle, or track vehicle, of more than 20 engine horsepower, designed to furnish the power to pull, carry, propel, or drive implements that are designed for agriculture. All self-propelled implements are excluded. 
Approved Truck or Industrial Truck. A truck that is listed or approved for fire safety purposes for the intended use by a nationally recognized testing laboratory using nationally recognized testing standards. 
ASAE. American Society of Agricultural Engineers. 
Canopy Guard (Overhead Guard). An overhead protection or shield which covers the machine operator in a manner that will minimize the possibility of injury from falling objects. 
Crawler (Track-Type) Tractor. A tractor having two continuous, parallel crawler belts, consisting of a series of tread shoes or links, encompassing rollers and drive tumblers, supporting a base frame which houses the propelling mechanism. 
High-Lift Truck. An industrial truck equipped with a power-operated lifting device used for the transportation, tiering and positioning of loads. As used in this definition, high-lift trucks include riderless high-lift straddle trucks where the employee operates the truck using a moveable steering arm and control handle while standing or walking behind the truck. (Excluded are front-end loaders defined in Section 3666 and tiering conveyors as defined in Article 32.) 
Industrial Tow Tractor. A powered industrial vehicle designed primarily to tow nonpowered trucks, trailers, or other mobile loads on roadways or improved surfaces. 
Industrial Tractor. A wheel or track-type vehicle of more than 20 engine horsepower used in operations such as landscaping, construction services, loading, digging, grounds keeping, and highway maintenance.
Industrial Truck. A mobile power-driven truck used for hauling, pushing, lifting, or tiering materials where normal work is normally confined within the boundaries of a place of employment. As used in this definition, industrial trucks include unmanned automated or semi-automated transport vehicles which utilize wheels and run on guide rails or narrow gauge rail tracks and can be operated by either remote control (i.e. a hand held pendant) or radio communication.
Load Backrest Extension. A device (permanently affixed or removable) extending vertically from the fork carriage frame. 
Low Profile Tractor. An agricultural tractor possessing all of the following characteristics: 
(A) The front wheel spacing is substantially equal to the rear wheel spacing, as measured from the inside of each right wheel to the inside of the corresponding left wheel. 
(B) The clearance from the bottom of the tractor chassis to the ground does not exceed 18 inches (45.7 cm). 
(C) The highest point of the hood does not exceed 60 inches (152.4 cm). 
(D) The tractor is designed so that the seated operator straddles the transmission or is in another position within the same height limitation.
Rider Truck. An industrial truck that is designed to be controlled by a riding operator. 
ROPS. Rollover protective structure (including protective frames and protective enclosures). 
SAE. Society of Automotive Engineers. 
Self-Propelled Implement. A self-propelled machine on which the implement is an integral part, such as, but not limited to, grain and bean combines, beet harvesters, corn and cotton pickers, hay balers and sprayers. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Renumbering from Section 6350 and amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7). 
2. Amendment and deletion of numerical designation filed 12-3-75; effective thirtieth day thereafter (Register 75, No. 49). 
3. Amendment filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). 
4. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
5. Amendment filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
6. Amendment of “Industrial Truck” definition filed 1-2-96; operative 2-1-96 (Register 96, No. 1).
7. Amendment of definition of “High-Lift-Truck” filed 5-28-98; operative 6-27-98 (Register 98, No. 22).
8. Amendment of definition of “Low Profile Tractor” filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
9. Amendment of definition of “Agricultural Tractor” filed 8-4-2008; operative 9-3-2008 (Register 2008, No. 32).
§3650. Industrial Trucks. General.
Note     •     History

(a) Industrial trucks manufactured after March 15, 2009, shall be labeled as meeting the design and construction requirements of the following applicable standards which are hereby incorporated by reference:
ANSI/ITSDF B56.1 -- 2005, Safety Standard for Low Lift and High Lift Trucks
ANSI/ITSDF B56.5 -- 2005, Safety Standard for Guided Industrial Vehicles and Automated Functions of Manned Industrial Vehicles
ANSI/ITSDF B56.6 -- 2005, Safety Standard for Rough Terrain Forklift Trucks
ANSI/ITSDF B56.8 -- 2006, Safety Standard for Personnel and Burden Carriers
ANSI/ITSDF B56.9 -- 2007, Safety Standard for Operator Controlled Industrial Tow Tractors
ANSI/ITSDF B56.10 -- 2006, Safety Standard for Manually Propelled High Lift Industrial Trucks
NFPA 505 -- 2006, Fire Safety Standard for Powered Industrial Trucks Including Type Designations, Areas of Use, Conversions, Maintenance, and Operations
UL 583 -- 1996, Standard for Safety, Electric-Battery-Powered Industrial Trucks
UL 558 -- 1996, Standard for Safety, Industrial Trucks, Internal Combustion Engine-Powered
(b)(1) All low lift and high lift trucks manufactured after June 26, 1998, through March 15, 2009 shall be labeled as meeting either the design and construction requirements of Part III, ASME B56.1-1993, Safety Standard for Low Lift and High Lift Trucks or Part III of the ANSI/ITSDF B56.1-2005 standard. All low lift and high lift trucks manufactured on or before June 26, 1998, shall be labeled as meeting either the design and construction requirements of the ASME standard indicated above or Part II, of the ANSI B56.1-1975 standard.
(2) Except as provided in subsection (b)(1), industrial trucks manufactured after September 1, 1991 through March 1, 1999 shall have affixed a legible tag or label stating compliance with the following applicable standards or those listed in subsection (b)(3):
NFPA 505-1987, formerly ANSI B56.2-1987, for powered industrial trucks,
UL 583-1984, formerly ANSI B56.3-1977, for electric-battery-powered industrial trucks,
UL 558-1984, formerly ANSI B56.4-1977, for internal combustion engine powered industrial trucks,
ANSI/ASME B56.5-1988 for guided industrial vehicles,
ANSI/ASME B56.6-1987 for rough terrain forklift trucks,
ANSI/ASME B56.7-1987 for industrial crane trucks,
ANSI/ASME B56.8-1988 for personnel and burden carriers,
ANSI/ASME B56.9-1987 for operator controlled industrial tow tractors.
(3) Except as provided in subsections (a) and (b)(1), industrial trucks manufactured after March 1, 1999 shall have affixed a legible tag or label stating compliance with the following applicable standards:
NPFA 505-1987, formerly ANSI B56.2-1978, for powered industrial trucks,
UL 583-1991, for electric-battery-powered industrial trucks,
UL 558-1991, for internal combustion engine powered industrial trucks,
ASME B56.5-1993, for guided industrial vehicles and automated functions of manned industrial vehicles,
ASME B56.6-1992, for rough terrain forklift trucks,
ANSI/ASME B56.7-1987, for industrial crane trucks,
ASME B56.8-1993, for personnel and burden carriers,
ASME B56.9-1992, for operator controlled industrial tow tractors.
(4) All name plates and model number, type designation and load capacity markings on industrial trucks, shall be maintained in a legible condition by the employer.
(c) Industrial trucks shall be designed, constructed and maintained in accordance with the applicable standards specified in subsections (a) and (b) of this section.
(d) If the truck is equipped with front-end attachments other than factory installed attachments, the truck shall be marked to identify the attachments and show the approximate weight of the truck and attachment combination, and capacity of the truck and attachment combination at maximum elevation of the load engaging means with the load laterally centered.
(e) Major modifications and structural changes to high lift trucks, industrial trucks and rider trucks that affect the capacity and safe handling of the vehicles shall not be performed by the employer or user without prior written approval from the manufacturer unless the modification is designed, manufactured, and installed in accordance with recognized good engineering and manufacturing principles. The capacity, operation and maintenance instruction plates shall be changed accordingly.
(f) Industrial trucks originally approved for the use of gasoline for fuel may be converted to liquefied petroleum gas fuel provided the complete conversion results in a truck which embodies the features specified for LP or LPS designated trucks as defined in Chapter 1-3, of NFPA 505-1987, which is herein incorporated by reference. Such conversion equipment shall be approved.
(1) When a conversion kit is installed, the original type designation shall be removed or obliterated and replaced with a durable, corrosion-resistant plate permanently mounted on the truck indicating the type designation of the converted truck.
(g) Powered industrial trucks shall not be operated in atmospheres containing more than 20 percent of the Lower Explosive Limit of flammable gas or vapor unless approved for the area as provided in (h).

Note: Concentrations below 20 percent of the Lower Explosive Limit may still require mandatory use of air-supplied respiratory protection. (See Section 5144.)
(h) Only industrial trucks approved for the exposure may be operated in atmospheres containing hazardous quantities of combustible dusts and ignitable fibers. Approval and area designation shall be based on NFPA 505-1982 with appropriate labeling.
(1) Approved trucks shall bear a permanent legible label or some other identifying mark indicating approval by the testing laboratory.
(i) When industrial trucks operate in areas where general lighting is less than 2 footcandles per square foot, directional lighting shall be provided on the truck.
(j) Trailers disconnected from their tractor shall be secured to prevent them from up-ending during loading or unloading operations. This may require utilization of auxiliary jacks designed for that purpose.
(k) Industrial trucks shall not be operated in areas that expose the operator to the hazard of collision with overhead obstructions unless the truck is equipped with overhead guards. (See Section 3655.)
(l) Loads of excessive width, length or height shall be so balanced, braced, and secured as to prevent tipping and falling.
(m) Batteries installed in trucks shall be secured in suitable racks which are secured to the truck.
(n) Motorized hand and hand/rider trucks shall be designed so that the brakes are applied and the power to the drive motor shut off when the operator releases his grip on the control tongue, or the device used to control travel.

Exception: Vehicles designed for use in order picking operations are exempt from the braking requirements, provided the speed of the vehicle does not exceed 3.5 mph while the operator is walking the vehicle.
(o) Radio remote control vehicles shall be equipped with positive means which restrict the speed of the vehicle to 3.5 mph while the equipment is being operated with radio remote control.
(p) Steering knobs shall not be used unless the truck is equipped with power steering.
(q) When cargo is being towed on pipe trucks or similar equipment, a safe means shall be provided to protect the driver from sliding loads.
(r) Counterweights shall be so affixed that they cannot be accidentally dislodged.
(s) Forks, fork extensions and other attachments shall be secured so that they cannot be inadvertently dislodged, and shall be used only in accordance with the manufacturer's recommendations.
(t) Industrial trucks and tow tractors shall be operated in a safe manner in accordance with the following operating rules:
(1) Only drivers authorized by the employer and trained in the safe operations of industrial trucks or industrial tow tractors pursuant to Section 3668 shall be permitted to operate such vehicles. 
(2) Stunt driving and horseplay are prohibited.
(3) No riders shall be permitted on vehicles unless provided with adequate riding facilities.
(4) Employees shall not ride on the forks of lift trucks.
(5) Employees shall not place any part of their bodies outside the running lines of an industrial truck or between mast uprights or other parts of the truck where shear or crushing hazards exist.
(6) Employees shall not be allowed to stand, pass, or work under the elevated portion of any industrial truck, loaded or empty, unless it is effectively blocked to prevent it from falling.
(7) Drivers shall check the vehicle at the beginning of each shift, and if it is found to be unsafe, the matter shall be reported immediately to a foreman or mechanic, and the vehicle shall not be put in service again until it has been made safe. Attention shall be given to the proper functioning of tires, horn, lights, battery, controller, brakes, steering mechanism, cooling system, and the lift system for fork lifts (forks, chains, cable, and limit switches). 
(8) No truck shall be operated with a leak in the fuel system.
(9) Vehicles shall not exceed the authorized or safe speed, always maintaining a safe distance from other vehicles, keeping the truck under positive control at all times and all established traffic regulations shall be observed. For trucks traveling in the same direction, a safe distance may be considered to be approximately 3 truck lengths or preferably a time lapse--3 seconds--passing the same point.
(10) Trucks traveling in the same direction shall not be passed at intersections, blind spots, or dangerous locations.
(11) The driver shall slow down and sound the horn at cross aisles and other locations where vision is obstructed. If the load being carried obstructs forward view, the driver shall be required to travel with the load trailing. 
(12) Operators shall look in the direction of travel and shall not move a vehicle until certain that all persons are in the clear.
(13) Trucks shall not be driven up to anyone standing in front of a bench or other fixed object of such size that the person could be caught between the truck and object.
(14) Grades shall be ascended or descended slowly.
(A) When ascending or descending grades in excess of 10 percent, loaded trucks shall be driven with the load upgrade.
(B) On all grades the load and load engaging means shall be tilted back if applicable, and raised only as far as necessary to clear the road surface.
(C) Motorized hand and hand/rider trucks shall be operated on all grades with the load-engaging means downgrade.
(15) The forks shall always be carried as low as possible, consistent with safe operations.
(16) When leaving a vehicle unattended (the operator is over 25 feet (7.6 meters) from or out of sight of the industrial truck), the brakes are set, the mast is brought to the vertical position, and forks are left in the down position, either:
(A) The power shall be shut off and, when left on an incline, the wheels shall be blocked; or
(B) The power may remain on provided the wheels are blocked, front and rear.
(17) When the operator of an industrial truck is dismounted and within 25 feet (7.6 meters) of the truck which remains in the operator's view, the load engaging means shall be fully lowered, controls placed in neutral, and the brakes set to prevent movement.

Exception: Forks on fork-equipped industrial trucks may be in the raised position for loading and unloading if the forks are raised no more than 42 inches above the level where the operator/loaders are standing, and the power is shut off, controls placed in neutral and the brakes set. If on an incline, the wheels shall be blocked.
(18) Vehicles shall not be run onto any elevator unless the driver is specifically authorized to do so. Before entering an elevator, the driver shall determine that the capacity of the elevator will not be exceeded. Once on an elevator, the industrial truck's power shall be shut off and the brakes set.
(19) Motorized hand trucks shall enter elevators or other confined areas with the load end forward.
(20) Vehicles shall not be operated on floors, sidewalk doors, or platforms that will not safely support the loaded vehicle.
(21) Prior to driving onto trucks, trailers and railroad cars, their flooring shall be checked for breaks and other structural weaknesses.
(22) Vehicles shall not be driven in and out of highway trucks and trailers at loading docks until such trucks or trailers are securely blocked or restrained and the brakes set.
(23) To prevent railroad cars from moving during loading or unloading operations, the car brakes shall be set, wheel chocks or other recognized positive stops used, and blue stop signs, blue flags or blue lights displayed in accordance with Section 3333 of these Orders and Title 49, Code of Federal Regulations, Section 218.27 which is hereby incorporated by reference.
(24) The width of one tire on the powered industrial truck shall be the minimum distance maintained from the edge by the truck while it is on any elevated dock, platform, freight car or truck.
(25) Railroad tracks shall be crossed diagonally, wherever possible. Parking closer than 8 1/2 feet from the centerline of railroad tracks is prohibited.
(26) Trucks shall not be loaded in excess of their rated capacity. 
(27) A loaded vehicle shall not be moved until the load is safe and secure.
(28) Extreme care shall be taken when tilting loads. Tilting forward with the load engaging means elevated shall be prohibited except when picking up a load. Elevated loads shall not be tilted forward except when the load is being deposited onto a storage rack or equivalent. When stacking or tiering, backward tilt shall be limited to that necessary to stabilize the load.
(29) The load engaging device shall be placed in such a manner that the load will be securely held or supported.
(30) Special precautions shall be taken in the securing and handling of loads by trucks equipped with attachments, and during the operation of these trucks after the loads have been removed.
(31) When powered industrial trucks are used to open and close doors, the following provisions shall be complied with:
(A) A device specifically designed for opening or closing doors shall be attached to the truck.
(B) The force applied by the device to the door shall be applied parallel to the direction of travel of the door.
(C) The entire door opening operation shall be in full view of the operator.
(D) The truck operator and other employees shall be clear of the area where the door might fall while being opened.
(32) If loads are lifted by two or more trucks working in unison, the total weight of the load shall not exceed the combined rated lifting capacity of all trucks involved.
(33) When provided by the industrial truck manufacturer, an operator restraint system such as a seat belt shall be used.
(u) The use, care and maintenance of slings used in lifting suspended loads with forklifts shall comply with the requirements of Article 101 of these orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section title and subsection (a) filed 9-7-78; effective thirtieth day thereafter (Register 78, No. 36). For prior history, see Register 78, No. 30.
2. Amendment of subsection (q) filed 10-2-78 as an emergency; effective upon filing (Register 78, No. 40).
3. Certificate of Compliance filed 12-21-78 (Register 79, No. 1).
4. Amendment of subsection (q), new subsection (r), and repealer of Brake Handle Figure filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
5. New subsections (s)-(v) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
7. Amendment of subsection (a), new subsection (c) and relettering of subsections (d)-(t) to subsections (d)-(u) filed 7-18-91; operative 8-19-91 (Register 91, No. 47).
8. Change without regulatory effect amending section filed 9-30-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 2).
9. Amendment of subsection (g) and new subsection (g)(1) filed 7-21-93; operative 8-20-93 (Register 93, No. 30).
10. Amendment of subsection (a), repealer of subsection (b), subsection relettering, and amendment of newly designated subsection (g) filed 5-27-98; operative 6-26-98 (Register 98, No. 22).
11. Amendment of subsection (a), redesignation of former subsection (b) as subsection (b)(1) and amendment thereof, new subsection (b)(2) and amendment of subsection (d) filed 3-1-99; operative 3-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 10).
12. Amendment of section, including redesignation of former section 3664(a)(1)-(32) to section 3650(s)(1)-(32), filed 5-28-2002; operative 6-27-2002 (Register 2002, No. 22).
13. New subsection (c), subsection relettering and amendment of newly designated subsection (g) filed 11-2-2006; operative 12-2-2006 (Register 2006, No. 44).
14. Amendment of subsection (t)(23) filed 12-31-2007; operative 1-30-2008 (Register 2008, No. 1).
15. New subsection (a), subsection relettering, amendment of newly designated subsections (b)(1)-(3) and new subsection (t)(33) filed 2-13-2009; operative 3-15-2009 (Register 2009, No. 7).
16. Amendment of subsection (t)(23) filed 10-28-2009; operative 11-27-2009 (Register 2009, No. 44).
17. Editorial correction of subsection (a) (Register 2011, No. 8).
18. New subsection (u) filed 10-23-2012; operative 11-22-2012 (Register 2012, No. 43).
§3651. Agricultural and Industrial Tractors.
Note     •     History

(a) All agricultural and industrial tractors manufactured after October 25, 1976 (except industrial tow tractors), shall be equipped with rollover protective structures (ROPS) when operated by an employee. 

Exceptions: 
1. “Low profile” tractors while used in orchards, vineyards, or hop yards or inside a farm building or greenhouse in which the vertical clearance is insufficient to allow a ROPS equipped tractor to operate, and while their use is incidental to the work performed therein.
2. Tractors while used with mounted equipment that is incompatible with ROPS (e.g. cornpickers, cotton strippers, vegetable pickers and fruit harvesters).
3. Tractors, when operated as stationary power and pumping units, and while their use is incidental to such stationary operations.

Note 1: The terms “incidental to the work” or “incidental to,” used in the exceptions above, shall mean the necessary additional work required to perform or complete the intended work within the exempted work area (such as, fueling, repairing, maintenance, travel to and from the exempted work area, etc.).

Note 2: Requirements for ROPS on tractors that are designed and used for the purpose of mowing lawns and that are manufactured in conformance with the ANSI B71.1 and B71.4 power lawn mower national consensus standards are provided in Section 3563 “Power Lawn Mowers.”
(b) Where a recognized hazard exists, operator protection from falling or rolling objects shall be provided by either ROPS or other independent means compatible with the use of ROPS.
(c) ROPS used on wheel-type agricultural tractors shall meet the applicable test and performance requirements of ASAE S310.3 and S383. ROPS used on track-type agricultural tractors and all industrial tractors shall meet the test and performance requirements of SAE J1040.

Exceptions: 
1. ROPS bearing a label with a California State Approval Number and installed on the specified tractor for which the approval was granted. Approvals issued prior to the effective date of these orders shall remain in effect unless revoked by the Division for cause.
2. ROPS designed by a registered professional civil, mechanical, or structural engineer based on appropriate ASAE Standards, SAE Recommended Practices or equivalent, which are substantiated by detailed structural analysis calculations.
3. ROPS bearing a label specifying compliance with Federal OSHA Section 1928.51 or 1926.1000.
4. ROPS designed and tested to the requirements of ASAE S305.3, ASAE S306.3, ASAE S336.1, SAE J168a, SAE J333b or SAE J334b or SAE 1194 and installed prior to the effective date of these orders.
(d) Each ROPS shall bear a label with the following information:
(1) Manufacturer's or fabricator's name and address;
(2) ROPS model number, if any;
(3) Tractor makes, models, or series numbers that the structure is designed to fit;
(4) A statement of compliance with the appropriate ASAE Standard or SAE Recommended Practice;
Labels shall be stamped plates or other permanently attached means of identification, and shall not be obscured, obliterated, or changed.
(e) All sharp edges and corners at the operator's station shall be appropriately treated to minimize operator injury in the event of upset.
(f) Batteries, fuel tanks, oil reservoirs, and coolant systems shall be constructed and located or sealed to assure that spillage will not occur which might be harmful to the operator in the event of an upset.
(g) Where ROPS are removed for any reason, they shall be remounted in accordance with the provisions of Section 3651.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-3-75; effective thirtieth day thereafter (Register 75, No. 49).
2. Amendment of subsection (a) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
3. Amendment of subsection (c) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment of subsection (c) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
5. Amendment of subsection (a) and Note filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
6. Amendment of subsection (a) filed 8-3-2010; operative 9-2-2010 (Register 2010, No. 32).
§3652. Haulage Vehicles and Earthmoving Equipment. [Renumbered]
History

HISTORY

1. Renumbering of Section 3652 to Section 3666 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). 
§3653. Seat Belts.
Note     •     History

(a) Seat belt assemblies shall be provided and used on all equipment where rollover protection is installed and employees shall be instructed in their use. Seat belt assemblies installed after June 26, 1998, shall be labeled as meeting the design requirements of SAE J386 JUN93, Operator Restraint System For Off-Road Work Machines. Seat belt assemblies installed on or before June 26, 1998, shall be labeled as meeting either the design requirements of the SAE standard indicated above or the SAE J386 JUN85 standard.
(b) Where a suspended seat is used, the seat belt shall be fastened to the movable portion of the seat to accommodate ride motion of the operator.
(c) The seat belt anchorage shall be capable of withstanding a static tensile load of 1,000 pounds (453.6 kg) at 45 degrees to the horizontal equally divided between the anchorage. The seat mounting shall be capable of withstanding this load plus a load equal to 4 times the weight of all applicable seat components applied 45 degrees to the horizontal in a forward and upward direction. In addition, the seat mounting shall be capable of withstanding 500 pounds (226.8 kg) belt load plus 2 times the weight of all applicable seat components both applied at 45 degrees to the horizontal in an upward and rearward direction. Floor and seat deformation is acceptable providing there is no structural failure or release of the seat adjuster mechanism or other locking device. The seat adjuster or locking device need not be operable after application of the test load.
(d) The webbing material shall have a resistance to acids, alkalies, mildew, aging, moisture, and sunlight equal to or better than that of untreated polyester fiber.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 12-3-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment of subsection (a) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
4. New NOTE filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
5. Amendment of subsection (a) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
6. Amendment of subsection (a) filed 5-27-98; operative 6-26-98 (Register 98, No. 22).
7. Amendment of subsection (a) filed 2-13-2009; operative 3-15-2009 (Register 2009, No. 7).
§3654. Deflector Guards.
Note     •     History

(a) Where vehicles are equipped with rollover protective structures and are subjected to the hazard of falling trees, brush, or the breaking of tow lines or winch cables, provision shall be made to protect against such hazards by means of:
(1) Shear or brush deflector guards extending from the leading edge of the ROPS to the front part of the frame of the vehicle or radiator guard or equivalent operator protection.
(2) Breaking line guards consisting of adequately supported 1/4-inch woven wire screens having not less than 1 1/2 inch nor more than 2-inch mesh (or equivalent) shall be located between the lines and the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. New NOTE filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
§3655. Overhead Guards for High-Lift Rider Trucks.
Note     •     History

(a) Except as permitted in Section 3655(b), high-lift rider industrial trucks shall be equipped with overhead guards which are approved as defined in Section 3206 of the General Industry Safety Orders.
(b) Every high-lift rider truck shall be fitted with an overhead guard manufactured in accordance with this section unless the following conditions are met:
(1) The vertical movement of the lifting mechanism is restricted to a maximum elevation of 72”, or the truck will operate in an area where the bottom of the top tiered load is not higher than 72” and the top is not more than 120” from the ground when tiered; and
(2) The operator is protected from all overhead hazards other than falling loads.
(c) Except as permitted in Sections 3655 (b) and (d), all high-lift rider industrial trucks purchased before the effective date of these orders, shall have overhead guards of strength adequate to support impact test loads as specified in Part II, ANSI B56.1-1975.
(d) Structural members of individually designed and constructed overhead guards installed on equipment prior to 1975 and not tested as required by Part II, ANSI B56.1-1975, shall be constructed in accordance with the following table or with materials of equivalent strength:

	TABLE IT-2

	                                                            	Round Pipe              	Square Tube (CRS)   
Rated Truck			(X   	(XX   	(3/16”	(1/4”
Capacity		(Std.)	heavy)	heavy)	wall)	wall)

3,000 and Under	 1 1/2”	1 1/4”	--   	1 1/4”	--    
3,001 to 5,000	 	2”	1 1/2”	--   	1 1/2”	--    
5,001 to 8,000	 	2 1/2”	2”	1 1/2”	2”
8,001 to 14,000	 	3”	2 1/2”	2”	3”	2 1/2”
14,001 to 25,000	 --   	3 1/2”	3”	3 1/2”	3”
25,001 and over	 --   	4”	--   	4”	3 1/2”

The construction of canopy guards which are built in compliance with this paragraph shall be based on the strength of 4 upright members. Guards constructed with less than 4 upright members shall be of equivalent strength. Canopy-type overhead guard frames shall be braced to overhead members on each side of the frame to provide structural rigidity both longitudinally and transversely.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
3. Amendment of subsections (a) and (b)(1) filed 5-27-98; operative 6-26-98 (Register 98, No. 22).

Plate IT-1
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Plate 1 and new Plate IT-1 filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
§3656. Order Pickers and Stock Pickers.
Note     •     History

(a) When the operator's platform height exceeds 36”, the maximum horizontal speed shall not exceed 2.5 miles/hr. (1.12 meters/sec).
(b) Trucks shall not travel when the operator's platform is elevated over 152” in height (3.86 meters).

Exceptions: 
Trucks designed to travel within rails or trucks that are electronically guided.
Trucks controlled by a constant pressure inching button which will return to neutral when released by the operator.
(c) A flashing or rotating warning light shall be mounted on the nonelevating portion of the truck at not less than 4 feet nor more than 6 feet elevation and shall be so wired that the light will be activated automatically when the platform is 6 feet or higher and the truck is moved.
(d) A safe work platform not less than 20 inches wide with standard guardrails on all open or exposed sides of the platform shall be securely attached to the lifting carriage and/or forks.
(e) Where a clearance restriction or the nature of the work prohibits the use of standard guardrails, and the employee is exposed to a fall of 4 feet or more, a personal fall arrest system, a personal fall restraint system or positioning device system as defined in Section 3207 of these Orders shall be used in accordance with the requirements of Section 1670 of the Construction Safety Orders as an alternative means of protecting employees from falling. The lanyard length for a personal fall arrest system shall be such that the operator has freedom of movement in the working area, but shall be rigged such that an employee can neither free fall more than 4 feet nor contact any lower level. Lanyards shall be so arranged as not to cause a condition where the operator could trip on the lanyard.
(f) Where only stock pickers, order pickers or side loaders are used in storage access aisles (as defined in section 3207), means such as guide rails, electronic guidance systems, or other means offering equivalent protection, shall be provided to prevent the vehicle from colliding with the storage racks or stored material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new subsections (d) and (e) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (d), repealer and new subsection (e) and new subsection (f) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
3. Amendment of subsections (a), (b), (e) and (f) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
4. Editorial correction of subsection (a) (Register 91, No. 31).
5. Amendment of subsection (f) filed 6-13-91; operative 7-13-91 (Register 91, No. 46).
6. Amendment of subsection (e) filed 10-2-2000; operative 11-1-2000 (Register 2000, No. 40).
§3657. Elevating Employees with Lift Trucks.
Note     •     History

(a) Scope and application. Where a lift truck is used to elevate personnel, the operation shall comply with subsections (a) through (j) of this standard. Where a variable reach (boom type) rough terrain lift truck is used to elevate personnel, the operation shall comply with subsection (k), in addition to subsections (a) through (j). This section is not intended to preclude the application of other sections of Article 25, including, but not necessarily limited to, sections 3650, 3664 and 3668. 
(b) A work platform shall be used in accordance with the following conditions: 
(1) The platform shall be of sufficient size to accommodate the personnel and material being elevated but not less than 2 feet by 2 feet.
(2) Where the platform is not attached to the boom, the base of the platform shall be secured to the forks or the base of the fork carriage  to prevent tipping, slipping or falling.
(3) The platform shall meet the guardrail and toeboard requirements of section 3210.

Exception: Guardrails need not be provided where a clearance restriction or the nature of the work prohibits the use of guardrails, provided that a safety belt with lanyard, or harness with lanyard is used in accordance with section 3656(e). 
(4) The platform floor shall have no spaces or holes greater than one inch.
(5) The platform floor shall have a slip resistant surface.
(c) Lift trucks used to elevate personnel shall be equipped with a means to prevent the raised platform from lowering at a rate in excess of 135 feet per minute in case of a failure in the load supporting hydraulic control circuits.
(d) Where the truck is operated under conditions which expose the operator to danger from falling objects, the truck shall be equipped with overhead protection.
(e) There shall be an operator in the control position on the truck while employees are on the elevated platform.
(f) When a truck is equipped with vertical only, or vertical and horizontal controls that elevate with the lifting carriage or forks (upper controls), means shall be provided whereby personnel on the platform can shut off the motive power of the truck.
(g) Means shall be provided to render inoperative all operating controls other than those on the elevating platform when the controls on the elevating platform have been selected for use. Only one location of controls shall be capable of being operated at one time.
(h) All bridge cranes and other moving or motorized equipment which could overrun or otherwise injure the elevated worker shall be shut down or locked out.
(i) Personnel shall not sit, climb or stand on the platform guardrails or use planks, ladders or other devices to gain elevation.
(j) When elevating personnel, the lift truck operator shall:
(1) Use a securely attached safety work platform.
(2) Make sure the lifting mechanism is operating smoothly.
(3) Make sure that the mast is vertical if the lift truck is equipped with a mast. The mast shall not be tilted forward or rearward while persons are elevated.
(4) Place the truck in neutral and set the parking brake when the truck is stationery.
(5) Lift and lower personnel smoothly and with caution.
(6) Make sure the path of the work platform travel is clear of hazards such as projections, overhead obstructions, and electrical wires.
(7) Never travel with personnel on the work platform other than to make minor movements for final positioning of the platform.

Exception: Minor movement of a variable reach (boom type) rough-terrain lift truck is permitted for construction operations when positioning the platform along a straight line where the path of movement is free from excavations, holes, obstructions and debris. 
(k) Where a variable reach (boom type) rough-terrain lift truck is used to elevate personnel, the operation shall comply with the following conditions, in addition to the requirements of subsections (a) through (j) of this section: 
(1) If the lift truck is provided with a load chart for elevating personnel, the work platform shall be loaded and positioned within the limitations on the load chart. 
(2) If the lift truck is not provided with a load chart for elevating personnel, the combined weight of the work platform, load, and personnel shall not exceed one third of the rated capacity of the rough-terrain lift truck at the load center position as indicated on the load chart for regular loads. 
(3) The rough-terrain lift truck shall be placed on firm footing. When used, outriggers or stabilizers shall be placed on a solid surface. If necessary, pads or cribbing shall be used to provide a firm footing. 
(4) Each person on a work platform supported by a variable reach rough-terrain lift truck shall use a personal fall restraint system or positioning device system as defined in section 3207 of these Orders, those systems shall be used in accordance with the requirements of Section 1670 of the Construction Safety Orders. 
(A) A lanyard shall be attached to each person's harness or safety belt and to an anchorage provided on the work platform. 
(B) Anchorages shall be capable of supporting the greater of 3000 pounds or twice the intended load. Each person's lanyard shall be attached to an approved anchorage point. 
(C) For positioning device systems, the combination of anchorage location and lanyard length shall be arranged so that workers cannot fall more than two feet from the work platform. 
(D) For personal fall restraint systems, the combination of anchorage location and lanyard length shall be arranged to allow the movement of employees only as far as the sides of the work platform. 
(5) When elevating personnel with a variable reach rough-terrain lift truck, the operator shall: 
(A) Maintain the platform at level throughout the personnel lifting operation. 
(B) Alert elevated personnel before moving the platform, then move the platform smoothly and with caution. 
(C) Never travel with personnel on the work platform. 

Exception: Minor movement of the lift truck is permitted for construction operations when positioning the work platform along a straight line where the path of movement is free from excavations, holes, obstructions and debris. 
(D) Level the lift truck before elevating personnel when operating on a side slope. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (a) and repealer and new subsection (b) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
3. Amendment of subsection (h)(3) filed 12-26-80; effective thirtieth day thereafter (Register 80, No. 52).
4. Amendment of subsection (h)(3) filed 4-29-81; effective thirtieth day thereafter (Register 81, No. 18).
5. Amendment of subsections (a), (g) and (h) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
6. Amendment of subsection (a) filed 11-26-90; operative 12-26-90 (Register 91, No. 4).
7. Editorial correction of HISTORY 6 correcting date to 11-26-90 (Register 91, No. 23).
8. Editorial correction of History 6 (Register 95, No. 24).
9. Amendment of subsection (a), new subsection (h), subsection relettering and new subsection (i)(9) filed 8-27-2004; operative 9-26-2004 (Register 2004, No. 35).
10. Amendment filed 5-3-2011; operative 6-2-2011 (Register 2011, No. 18).
§3658. Operator Platforms.
Note     •     History

(a) Every end control, reach, narrow aisle and motorized hand/rider truck shall be equipped with an operator platform of sufficient size to contain the operator's feet within its periphery and strong enough to withstand a compression load equal to the weight of the loaded truck applied longitudinally against a flat vertical surface.
(b) When installed, operator enclosures shall not restrict movement to and from the operating position.
Note: Operator enclosures are not recommended on hand/rider trucks because of interference with the steering handle and with rapid and unobstructed egress.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). For history of former section see Register 75, No. 7.
2. Amendment of subsection (b) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
§3659. Back Guards.
Note     •     History

(a) The side of the platform nearest the mast frame truss shall be guarded on every high-lift industrial truck where employees ride up or down. This guard shall consist of a substantial frame covered with 1/2 inch expanded metal, laminated safety glass, or equivalent providing effective guarding to a height of 7 feet. 
(b) If the type of load presents a hazard, high-lift industrial trucks shall be equipped with a load backrest extension high enough to reach above the center of the top row of the maximum height load handled or other positive means acceptable to the Division shall be used to prevent parts of the load falling onto the operator or into the operator's compartment. The openings shall not be greater than the smallest parcel carried.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of NOTE filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).  
§3660. Rated Capacity.
Note     •     History

(a) The rated capacity of all industrial lift trucks and industrial tractors shall be displayed at all times on the vehicle in such a manner that it is readily visible to the operator.
(b) Industrial lift trucks and industrial tractors equipped with forks shall not be loaded beyond their designated capacity.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
§3661. Brakes and Warning Devices.
Note     •     History

(a) Every industrial truck and tractor shall be equipped with brakes or other effective devices adequate to bring the vehicle to a complete safe stop while fully loaded.
(b) Every industrial truck and tractor shall be equipped with a parking brake or other effective device to prevent the vehicle moving when unattended.
(c) Every industrial truck and industrial tow tractor, except those guided or controlled by a walking operator, shall be equipped with a warning horn, whistle, gong, or other device which can be heard clearly above the normal industrial noises in the places of employment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
§3662. Internal Combustion Engines.
Note     •     History

Internal combustion engine-driven equipment shall be operated inside of buildings or enclosed structures, only when such operation does not result in harmful exposure to concentrations of dangerous gases or fumes. (See Section 5146.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
§3663. Maintenance of Industrial Trucks.
Note     •     History

(a) Industrial truck repair operations involving open flames or which may produce sparks or other sources of ignition shall not be performed in Class I, II and III locations, unless and until tests show that atmospheric concentrations of flammable or combustible vapors do not exceed 20 percent L.E.L. of such flammable or combustible materials and until precautions are taken to maintain the atmosphere at or below 20 percent L.E.L. Such precautions could include, but not be limited to removal of flammable material, provision for adequate ventilation, etc.
(b) Water mufflers shall be filled daily or as frequently as is necessary to prevent depletion of the supply of water below 75 percent of the filled capacity. Vehicles with mufflers having screens or other parts that may become clogged shall not be operated while such screens or parts are clogged. Any vehicle that emits hazardous sparks or flames from the exhaust system shall immediately be removed from service, and not returned to service until the cause for the emission of such sparks and flames has been eliminated.
(c) Industrial trucks shall be kept in a clean condition free of debris, oil, and grease.
(d) Batteries on all powered trucks shall be disconnected during repairs to the primary electrical system unless power is necessary for testing and repair. On trucks equipped with systems capable of storing residual energy, that energy shall be safely discharged before work on the primary electrical system begins.
(e) All replacement parts for industrial trucks shall be equivalent in safety to the original parts.
(f) Those repairs to the fuel and ignition systems of industrial trucks which involve fire hazards shall be conducted only in locations designated as safe for such repairs.
(g) Industrial trucks shall not be altered so that the relative positions of the various parts are different from what they were when originally received from the manufacturer, nor shall they be altered either by the addition of extra parts not provided by the manufacturer or by the elimination of any parts, except as provided in subsection (h) of this Section. Additional counterweighting of fork trucks shall not be done unless approved by the truck manufacturer.
(h) Industrial trucks originally approved for the use of gasoline for fuel may be converted to liquefied petroleum gas fuel provided the complete conversion results in a truck which embodies the features specified for LP or LPG designated trucks. Such conversion equipment shall be approved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 3668, and renumbering of former Section 3663 to Section 3665 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). For prior history see Register 75, No. 7.
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18). 
4. Amendment of subsection (e) and new subsections (g)-(h) filed 10-30-2003; operative 11-29-2003 (Register 2003, No. 44).
§3664. Operating Rules.
Note     •     History

(a) Every employer using industrial trucks or industrial tow tractors shall post and enforce a set of operating rules including the appropriate rules listed in Section 3650(t).
(b) Every employee who operates an agricultural or industrial tractor shall be instructed in the following procedures and in any other practices dictated by the work environment. Such information shall be provided at the time of initial assignment and at least annually thereafter. Copies of these instructions, printed in a language understood by the majority of the employees, shall be conspicuously posted at a place frequented by the drivers. 

EMPLOYEE OPERATING INSTRUCTIONS
1. Securely fasten your seat belt if the tractor has a ROPS.
2. Where possible, avoid operating the tractor near ditches, embankments, and holes. 
3. Reduce speed when turning, crossing slopes, and on rough, slick, or muddy surfaces. 
4. Stay off slopes too steep for safe operation. 
5. Watch where you are going, especially at row ends, on roads, and around trees. 
6. Do not permit others to ride.
7. Operate the tractor smoothly--no jerky turns, starts, or stops. 
8. Hitch only to the drawbar and hitch points recommended by tractor manufacturers. 
9. When tractor is stopped, set brakes securely and use park lock if available.
(c) Every employee who operates an agricultural or industrial tractor shall be required to check the tractor prior to operation each day and if it is unsafe report the matter immediately to a foreman or mechanic and shall not use the tractor again until it has been made safe.
(d) Employees shall be prohibited from stunt driving or horseplay while operating an agricultural or industrial tractor.
(e) No repairs shall be performed on any agricultural or industrial trucks or tractors until arrangements have been made to reduce the probability of injury to repairmen or others caused by sudden movement or operation of such equipment or its parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment and renumbering from Section 3669, and renumbering of former Section 3664 to Section 3337, filed 7-26-77; effective thirtieth day thereafter (Register 78, No. 30). For history of former section see Register 75, No. 49.
2. Amendment of subsection (a)(16) filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
3. New subsection (e) filed 12-26-80; effective thirtieth day thereafter (Register 80, No. 52).
4. Amendment of subsection (a)(22) filed 5-26-82; effective thirtieth day thereafter (Register 82, No. 22).
5. New subsection (a)(31) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
7. Amendment of subsections (a)(7), (a)(14)(A) and (a)(17) filed 9-25-96 as an emergency; operative 10-25-96 (Register 96, No. 39).
8. Amendment of subsection (a) and redesignation of former section 3664(a)(1)-(32) to section 3650(s)(1)-(32) filed 5-28-2002; operative 6-27-2002 (Register 2002, No. 22).
9. Change without regulatory effect amending subsection (a) filed 3-29-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 13).

View Graphic

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View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Seciton 142.3. Labor Code.
HISTORY

1. New Figures IT-2 through IT-10 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Amendment of Figure IT-3 filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
3. Change without regulatory effect providing more legible illustrations for Figures IT-2 through IT-10 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§3665. Wheel Guards.
Note     •     History

Shop transfer cars, equipment carriages, stock pickers, and similar equipment operating on rails or drawn by chains or cables shall be equipped with wheel guards or bumpers constructed and installed for the purpose of preventing a person's feet being crushed under the wheels. When the body or bed of trucks, carriages, or cars of this type extends over the wheels to the sides and both ends such a distance as will prevent a person's feet being crushed, said equipment shall be considered to be in compliance with this Order.
Note: This Order does not apply to cars used in trains.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 3663 and renumbering of former Section 3665 to Section 3338, filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). For history of former section see Register 75, No. 7.
2. New NOTE filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
§3666. Haulage Vehicles and Earthmoving Equipment.
Note     •     History

(a) After June 7, 1972 haulage vehicles and earthmoving equipment such as scrapers, crawler tractors, bulldozers, front-end loaders, motor graders, and similar equipment shall comply with Article 10, Haulage and Earthmoving, of the Construction Safety Orders.
(b) Bulk Cargo-Moving Vehicles.
(1) Where a seated operator may come into contact with projecting overheads, crawler-type bulk-cargo-moving vehicles that are rider operated shall be equipped with operator's guards.
(2) Guards and their attachment points shall be so designed as to be able to withstand, without excessive deflection, a load applied horizontally at the operator's shoulder level equal to the drawbar pull of the machine.
(c) Trailer-Spotting Tractors.
(1) Trailer-spotting tractors (fifth wheels) shall be fitted with any hand grabs and footing necessary for safe access to the fifth wheel.
(2) Rear cab windows shall be of safety glass or of equivalent material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 3652, and renumbering of former Section 3666 to Section 3339, filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30). For history of former section see Register 75, No. 7.
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§3668. Powered Industrial Truck Operator Training.
Note     •     History

(a) Safe Operation.
(1) The employer shall ensure that each powered industrial truck operator is competent to operate a powered industrial truck safely, as demonstrated by the successful completion of the training and evaluation specified in this section.
(2) Prior to permitting an employee to operate a powered industrial truck (except for training purposes), the employer shall ensure that each operator has successfully completed the training required by this section, except as permitted in subsection (e).
(b) Training program implementation. Trainees may operate a powered industrial truck only:
(1) Under the direct supervision of persons who have the knowledge, training and experience to train operators and evaluate their competence; and
(2) Where such operation does not endanger the trainee or other employees.
(3) Training shall consist of a combination of formal instruction (e.g., lecture, discussion, interactive computer learning, video tape, written material), practical training (demonstrations performed by the trainer and practical exercises performed by the trainee) and evaluation of the operator's performance in the workplace.
(4) All operator training and evaluation shall be conducted by persons who have the knowledge, training and experience to train powered industrial truck operators and evaluate their competence.
(c) Training program content. Powered industrial truck operators shall receive initial training in the following topics, except in topics which the employer can demonstrate are not applicable to the safe operation of the truck in the employer's workplace.
(1) Truck-related topics:
(A) Operating instructions, warnings, and precautions for the types of truck the operator will be authorized to operate;
(B) Differences between the truck and the automobile;
(C) Truck controls and instrumentation: where they are located, what they do, and how they work;
(D) Engine or motor operation;
(E) Steering and maneuvering;
(F) Visibility (including restrictions due to loading);
(G) Fork and attachment adaptation, operation, and use limitations;
(H) Vehicle capacity;
(I) Vehicle stability;
(J) Any vehicle inspection and maintenance that the operator will be required to perform;
(K) Refueling and/or charging and recharging of batteries;
(L) Operating limitations;
(M) Any other operating instructions, warnings, or precautions listed in the operator's manual for the types of vehicle that the employee is being trained to operate.
(2) Workplace-related topics:
(A) Surface conditions where the vehicle will be operated;
(B) Composition of loads to be carried and load stability;
(C) Load manipulation, stacking, and unstacking;
(D) Pedestrian traffic in areas where the vehicle will be operated;
(E) Narrow aisles and other restricted places where the vehicle will be operated;
(F) Hazardous (classified) locations where the vehicle will be operated;
(G) Ramps and other sloped surfaces that could affect the vehicle's stability;
(H) Closed environments and other areas where insufficient ventilation or poor vehicle maintenance could cause a build-up of carbon monoxide or diesel exhaust;
(I) Other unique or potentially hazardous conditions in the workplace that could affect safe operation.
(d) Refresher training and evaluation. Refresher training, including an evaluation of the effectiveness of that training, shall be conducted as required by subsection (d)(1) to ensure that the operator has the knowledge and skills needed to operate the powered industrial truck safely.
(1) Refresher training in relevant topics shall be provided to the operator when:
(A) The operator has been observed to operate the vehicle in an unsafe manner;
(B) The operator has been involved in an accident or near-miss incident;
(C) The operator has received an evaluation that reveals that the operator is not operating the truck safely;
(D) The operator is assigned to drive a different type of truck; or
(E) A condition in the workplace changes in a manner that could affect safe operation of the truck.
(2) An evaluation of each powered industrial truck operator's performance shall be conducted at least once every three years.
(e) Avoidance of duplicative training. If an operator has previously received training in a topic specified in subsection (c) of this section, and such training is appropriate to the truck and working conditions encountered, additional training in that topic is not required if the operator has been evaluated and found competent to operate the truck safely.
(f) Certification. The employer shall certify that each operator has been trained and evaluated as required by this section. The certification shall include the name of the operator, the date of the training, the date of the evaluation, and the identity of the person(s) performing the training or evaluation.
(g) Dates. The employer shall ensure that operators of powered industrial trucks are trained, as appropriate, in accordance with the following dates:
(1) If the employee was hired before July 15, 2000, the initial training and evaluation of that employee must be completed by July 15, 2000;
(2) If the employee was hired after July 15, 2000, the initial training and evaluation of that employee must be completed before the employee is assigned to operate a powered industrial truck.

Exception: Agricultural operations as defined in Section 3437 of the General Industry Safety Orders are exempt from the requirements of Section 3668.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-23-99; operative 7-15-2000. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 99, No. 35). For prior history see Register 78, No. 30.
2. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 3-28-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 13).
§3669. Operating Rules. [Renumbered]
History

HISTORY

1. Renumbering from Section 3659 and amendments filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New subsection (b) filed 12-5-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment and renumbering of Section 3669 to Section 3664 filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).  
Article 26. Vehicle Mounted Elevating and Rotating Work Platforms [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New Article 26 (Sections 3685-3689) filed 8-1-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Repealer of Article 26 (Sections 3685-3692) filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41). For prior history, see Registers 80, No. 10; 79, No. 1; 75, No. 46; 75, No. 20 and 75, No. 14.
Article 27. Transportation of Employees and Materials
§3700. Definitions.
Note     •     History

Primarily. The motor vehicle is assigned to transport employees to and from the working site on a uniform or specified schedule.
Bus (Conventional Type). Any motor vehicle (except those of the pleasure car type) designed, constructed, and used for the transportation of employees in which the driver and the employees sit in the same enclosure.
Bus (Truck-crew Type). Any motor vehicle designed, constructed, and used for the transportation of employees in which the driver's cab is separated from the passenger compartment.
Farm Labor Vehicle. Any motor vehicle designed, used, or maintained for the transportation of the driver and nine or more farm workers to or from a place of employment or employment-related activities.

Exception: (1) any vehicle carrying only members of the owner's or driver's immediate family, (2) any vehicle while being operated under specific authority granted by the Public Utilities Commission or under specific authority granted to a transit system by an authorized city or county agency, (3) any flat-bed truck, pickup, or dump truck operated in accordance with Section 3702(r).
Motor Vehicles. Motor cars, buses, trucks, and car/or truck trailer combinations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
2. New definition of ``Farm Labor Vehicle” filed 6-20-2002; operative 7-20-2002 (Register 2002, No. 25).
§3701. Licensing of Drivers.
Note     •     History

(a) Only persons who possess a valid school bus drivers certificate or the appropriate class drivers license and a certificate issued by the Department of Motor Vehicles to permit the operation of farm labor vehicles shall operate a farm labor truck or farm labor bus.
(b) No person shall be required or permitted to operate any motor vehicle while used for the transportation of employees unless they hold a valid operator's license.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment of subsection (b), and new subsection (c) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3702. Transporting Employees.
Note     •     History

(a) Trucks and buses used primarily or regularly for the transportation of employees shall meet the following requirements:
(1) be constructed or accommodated for that purpose,
(2) be equipped with seats adequately secured in place, and
(3) have at least a 46 inch high rail or enclosure on the sides and back of the vehicle to prevent falls from the vehicle.
(b) On every motor vehicle used for the transportation of employees the lamps, brakes, horn, mirrors, windshields, turn signals, and other equipment affecting the safety of passengers shall be kept in good repair.
(c) Every motor vehicle used primarily for the transportation of employees shall be equipped with handholds, adequate steps, stirrups, or other similar devices so placed and arranged that the employees can safely mount or dismount the vehicle.
(d) On every bus (truck-type) used primarily for the transportation of workers, seats with backrests shall be provided with a minimum of 18 inches of seat space for each passenger. Where seating is face to face, the aisle between the seats facing each other shall be 24 inches wide at the narrowest point. Seats shall be:
(1) Not less than 15 inches or more than 19 inches above the floor;
(2) At least 10 inches deep;
(3) Equipped with backrests extending to a height of at least 36 inches above the floor.
(e) Vehicles when being used for the transportation of employees shall not carry explosives, injurious pesticides, or substances with a flashpoint of below 150 degrees Fahrenheit, as determined by the Tagliabue open cup method, unless such substances are carried in properly designed safe containers outside the driver or occupied passenger compartments.
(f) Every truck or bus primarily used for the transportation of employees shall be equipped with 3 approved reflector flares for use in the event of an emergency or breakdown.
(g) Every truck or bus primarily used for the transportation of employees shall be equipped with an approved fully charged and operable fire extinguisher. An Underwriters'-Laboratory-approved dry-chemical extinguisher of not less than 4 pounds or other extinguisher with not less than 4B:C rating shall be deemed to meet the minimum requirements. Drivers shall be advised of the location and type of extinguisher used and instructed in its operation.
(h) Farm Labor Vehicles shall be equipped at each passenger position with a Type 1 or Type 2 seatbelt assembly, conforming to the specifications set forth in Section 571.209 of Title 49 of the Code of Federal Regulations, which is hereby incorporated by reference. Each seatbelt assembly shall be anchored to the vehicle in a manner that conforms to the specifications set forth in Section 571.210 of Title 49 of the Code of Federal Regulations, which is hereby incorporated by reference. The driver and each passenger shall be properly restrained while the vehicle is operated.
(i) Vehicles used primarily for the transportation of employees in which the driver and passenger compartments are separate shall be provided with a means by which the passengers can readily communicate with the driver. Such a system may include buzzers, speaker horns, or other means.
(j) The passenger carrying capacity of trucks and buses primarily used to transport employees shall be conspicuously marked on the outside of the vehicle near the door or entrance. Employers shall not allow the number of passengers to exceed the posted limit.
(k) Sharp edged tools shall not be carried in the passenger compartment of trucks and buses primarily used for the transportation of workers unless properly sheathed or placed in covered boxes or containers, and all other tools, equipment, or other materials carried in the passenger compartment of such vehicles shall be secured to the body of the vehicle. In no event shall they be carried in the aisles.
(l) The exhaust system of every vehicle shall extend beyond the rear or side of the body, and shall terminate in such manner that the exhaust gases shall not enter the passenger compartment.
(m) The interior of the passenger carrying space shall be kept in good condition and free of inwardly protruding nails, screws, splinters, or other objects likely to be hazardous to passengers. All steps, stirrups, seats, handholds, doors, and other accessories shall be kept in good repair. Broken glass shall be removed and replacement glass shall be of the safety type.
(n) All conventional buses or crew trucks having an enclosed seating capacity of seven or more employees shall be provided with an emergency exit remotely located from the normal means of entrance.
Note: Enclosed means equipped with side enclosures over 50 inches high, or where clearance between the upper edge of the side enclosures and the top is less than 30 inches, or where vertical roof supports are spaced less than 30 inches apart.
(o) All emergency exits required by (n) shall conform to the following minimum specifications:
(1) Exit doors shall be capable of being opened outward from both the interior and exterior of the vehicle. 
(2) Side emergency single-panel doors shall not be hinged on the rear edge.
(3) The exit doors shall be equipped with positive-locking devices to keep them closed, but of a type which can be readily opened in an emergency.
(4) No obstruction shall be placed over the handle of an emergency door other than a clear-plastic-type cover.
(5) All interior emergency exit controls shall be installed so that they may be operated by the passengers within the vehicle.
(6) A sign reading “Exit” shall be painted on the exterior and interior of the emergency exit. Such signs shall be made in English and in the language of the workers currently being transported.
(7) All emergency exit doors shall provide an unobstructed opening of not less than 7 square feet with a minimum width dimension of 24 inches.
(8) Rear emergency windows shall provide an unobstructed opening of not less than 16 inches by 54 inches. The windows shall be designed to insure against accidental closing in an emergency.
(9) No part of a seat shall be a part of or attached to an emergency door.
(10) Every passenger shall have ready access to at least one emergency exit. The aisle between the seats leading to an emergency exit shall provide a clear and unobstructed passageway of not less than 11 1/2 inches, and shall not be restricted by any post, wheelhousing, jump seats, or other obstruction.
(p) Regular entrance and exit doors to the passenger compartments, other than the driver's cab on trucks and buses, shall have an unobstructed opening not less than 24 inches wide and, where possible, 60 inches high.
(q) Where chains or cables are used in lieu of doors on regular means of entrance or exit, the chains or cables shall be securely attached on each side of the opening and be equipped with a quick-release mechanism.
(r) Employees shall not be transported in the back of flat-bed trucks, pickups, or dump trucks unless the following is complied with:
(1) The employees shall sit on the truck bed.
(2) Barriers or guardrails shall be erected around the perimeter of the truck bed to prevent employees from falling.
(3) Pickup tailgates shall be closed, or equivalent closure provided.
(4) Dump truck body shall have the body secured or the hoist lever locked, and tailgates shall be closed.
(5) Employees shall not ride on the top of side rails, top of cabs, running boards, fenders, the hood, or with their legs hanging over the end or sides. 

Exception: A limit of two employees may be permitted to ride on beds of trucks that do not comply with (2), (3), and (4) above provided they stand or sit immediately behind the cab, holding on to suitable grabirons which are rigidly fastened to the truck.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (c), (d), (f)-(m), (p) and (q) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20). 
2. Amendment of subsection (i) filed 4-22-98; operative 5-22-98 (Register 98, No. 17).
3. New subsection (h), subsection relettering and amendment of newly designated subsection (o) filed 6-20-2002; operative 7-20-2002 (Register 2002, No. 25).
§3703. Riding Loads.
Note     •     History

Employees shall not ride on top of loads that have not been secured to prevent shifting or tripping. Employees shall be seated if riding on a load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3704. Securing Loads.
Note     •     History

All loads shall be secured against dangerous displacement either by proper piling or other securing means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3705. Cab Protection.
Note     •     History

Trucks and truck tractors used to haul long steel structural members, poles, pipes, lumber, logs and similar materials shall be equipped with a barrier guard at the rear of the cab, designed, constructed and installed for the purpose of protecting the employees against being crushed by shifting loads.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3706. Truck Warning Device.
Note     •     History

(a) Every automotive truck of one-half ton or more capacity shall be equipped with a warning device which can be clearly heard for a distance of 200 feet from the vehicle.
(b) Automotive vehicles operating in areas where their backward movement would constitute a hazard to employees working in the area on foot, and where the operator's vision is obstructed to the rear of the vehicle, shall comply with Section 1592(b) of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (b) filed 7-2-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (b) filed 5-15-85; effective thirtieth day thereafter (Register 85, No. 20).
§3710. Helicopters.
Note     •     History

All helicopter operations, including but not limited to, repair, maintenance, motion picture production, sports and news coverage and agricultural operations shall comply with the requirements of Article 35 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment filed 2-1-85; effective thirtieth day thereafter (Register 85, No. 5).
Article 29. Industrial Railroads
§3730. Purpose.
Note     •     History

These orders set up minimum standards for industrial railroads in above-ground operations. Where it has been determined by the Division that, due to the process or operation, compliance with these orders would increase the hazards, industrial railroads need not comply provided such substandard areas are properly posted with warning signs, clearance distances indicated, areas barricaded, proper instructions given to employees or other safety devices installed to provide maximum protection to employees. 
Nothing herein shall be construed as preventing the movement of material over tracks when such material is necessary in the construction or maintenance of such tracks, nor in the movement of special work equipment used in the construction, maintenance or operation of the railroad, provided such movements shall be carried on under such conditions as are necessary to provide for the safety of all concerned.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3731. Definitions.
Note     •     History

(a) Industrial Railroad. A railway track, or system of tracks, with necessary appurtenances thereto, owned or controlled by an industrial concern not a common carrier as defined in Section 1 (l) of the Public Utilities Act over which operations are conducted solely by one or more of such industrial concerns. No orders in Article 29 apply to any track, or system of tracks, or to the necessary appurtenances thereto, which, though owned or controlled by such industrial concern, are under the jurisdiction of the Public Utilities Commission by reason of operation thereover by a common carrier.
Note: Public Utilities Commission General Order Number 26-D, effective December 3, 1981.
(b) Industrial Locomotive. An engine, motor or machine operated on railway tracks by an industrial concern which is not a common carrier. It may be propelled by any form of energy and used for yard service or to move trains or cars.
(c) Height of a Freight Car. The distance between the top of rail and the top of running board.
(d) Side of a Freight Car. That part or appurtenance of a car at the maximum distance measured at right angles from the center line of the car.
(e) Width of a Freight Car. Twice the distance from the center line to the side of a car as defined herein.
(f) Overhead Clearance. The vertical distance from the level of the top of the highest rail to a structure or obstruction above.
(g) Side Clearance. The shortest distance from the center line of track to a structure or obstruction at the side of track.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3732. Railway Switches and Track.
Note     •     History

(a) Where stub switches are used, the open space between the ends of the fixed and throw rails shall at no time be allowed to exceed 2 1/2 inches. Stub switches shall be equipped with head chairs which will insure a fixed spacing between the main and turnout rails.
(b) The crotch or wedge-shaped opening formed between switch point and stock rail shall be so filled as to eliminate the danger of a foot being jammed therein, where such openings occur in a walkway or roadway crossing tracks.
(c) The heel and toe crotch and the openings formed by wing rails shall be so filled as to eliminate the danger of a foot being jammed therein, where such openings occur in a walkway or roadway crossing tracks.
(d) The wedge-shaped openings at the ends of all guard rails, whether for frogs, curves or crossings, shall be so filled as to eliminate danger of a foot being jammed therein, where such an opening occurs in a walkway or roadway crossing tracks.
(e) Where the adjacent yard surface is approximately level with the head or top of the rail, any opening between the sides of the rail head and the adjacent pavement or other yard surface, which will permit a foot being jammed therein, shall be filled in or otherwise guarded where such openings occur in a walkway crossing tracks. See Figure 1.

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Change without regulatory effect providing more legible illustration for Figure 1 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§3733. Couplers.
Note     •     History

Automatic couplers shall be provided on industrial locomotives that switch or couple to cars so equipped.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3734. Warning Device.
Note     •     History

Every industrial locomotive shall be provided with warning devices.
Note: Warning devices include horns, whistles, bells, lights and any other designated equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-27-86; effective thirtieth day thereafter (Register 86, No. 22).
§3735. Brakes.
Note     •     History

Every industrial locomotive shall be equipped with brakes which will make possible an average deceleration rate of three miles per hour per second from 30 miles per hour to a stop.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3736. Overhead Clearances for Standard Gage Industrial Railroad Tracks.
Note     •     History

(a) The minimum overhead clearance above industrial railroad tracks which are used for transporting freight cars, shall be 22 feet 6 inches.
(b) The overhead clearance above top of rail of such tracks located inside of buildings may be reduced to 18 feet, provided that this clearance shall apply only to tracks terminating within the building, and further provided, that when an overhead clearance of less than 22 feet exists on tracks inside such building, all cars, trains, motors, engines or other equipment shall be brought to a stop before entering such building.
(c) Unless otherwise provided herein, overhead clearances authorized in this section are applicable only to tracks on which freight cars having a height not exceeding 15 feet 6 inches are transported. Freight cars of a height exceeding 15 feet 4 inches, but not greater than 15 feet 6 inches shall be permanently marked, stenciled, or placarded as hereinafter required, and such markings maintained in a legible condition reading as follows: “This car excess height.” The markings required in this subsection shall be made permanent on owned cars as soon as practicable with a three-quarter-inch stripe outlining an area not less than seven inches by ten inches, such stripes and lettering to be of a color contrasting with the car body color. All such required markings and placarding shall be placed on the side adjacent to the ladder or handholds near the floor line of the car at each of the four corners.
(d) Freight cars not exceeding a height of 15 feet 6 inches may be transported without compliance with the requirements of (c) of this order provided that the tracks over which such operations are conducted exhibit throughout the route an overhead clearance of 22 feet 6 inches as required in (a) of this order.
(e) If freight cars of a height greater than 15 feet 6 inches are transported, minimum overhead clearances shall be increased by an amount not less than such additional height.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 5-27-86; effective thirtieth day thereafter (Register 86, No. 22). 
§3737. Side Clearance for Standard Gage Industrial Railroad Tracks.
Note     •     History

(a) Minimum side clearances from center line of tangent standard gage industrial railroad tracks, which are used for transporting freight cars, except as hereinafter prescribed, shall be as shown below: 

		Minimum 
	Description 	side clearance 
(b) All structures and obstructions above the top of the rail except those hereinafter specifically mentioned... 8' 6”

Note: Posts, pipes, warning signs and similar obstructions should, where practicable, have a side clearance of 10 feet. 

(c) Platforms eight inches or less above top of rail	 4' 8”

(d) Platforms four feet or less above top of rail	 7' 6”

(e) Platforms four feet six inches or less above top of 
rail when used principally for loading or unloading 
refrigerator cars	 8' 0”
(f) Platforms previously constructed at clearance not less than seven feet three inches may be extended at such clearance unless such extension is in connection with the reconstruction of the original platform.

Note: Combinations of platforms under (d) and (e) will not be permitted. Combinations of platforms under (c) with either of those under (d) or (e) is permitted provided that the platform under (c) presents a level surface from a point not more than four feet eight inches from center line of track to the face or wall of the platform with which it is combined. 

(g) Poles supporting trolley contact conductors supplying 
motive power to track affected, if of bracket construction, on 
either single or double main track	 8' 3”

Note: In order to bring switch stand targets into clear vision where pole lines are or have been constructed at legal clearance on railroads operated by overhead trolley contact the clearance as applied to switch stands may be reduced to seven feet six inches.

(h) Switch boxes, switch-operating mechanisms and 
accessories necessary for the control and operation of 
signals and interlockers projecting four inches or less above 
the top of of rail	 l3' 0”

(i) Signals and switch stands three feet or less above top 
of rail and located between tracks where not practicable to 
provide clearances otherwise prescribed in this order	 6' 0”

(j) Through bridges supporting track affected, tunnels,
water columns and oil columns	 8' 0”
See Figure 2. 

View Graphic

NOTES
Posts, poles, signs and similar facilities may have minimum clearance of 8'6”, but clearance of 10'-0” is recommended where practicable.
All side clearance dimensions are for tangent track. In general side clearance for curve track to be 1'0” greater than that for tangent track.
When track is used principally for loading or unloading refrigerator cars, platform with height of 4'6” above top of rail may be maintained provided that minimum side clearance to center line of track shall be 8'0”.
Platforms 4'0” or less in height with minimum clearance of 7'3” may be extended at existing clearances if such extension is not in connection with reconstruction of original platform.
Icing platforms and supports shall have minimum clearance of 7'8”.
(k) The clearances for (a) through bridges supporting track affected, (b) water barrel platforms and refuge platforms on bridges and trestles not provided with walkways, (c) handrails, (d) water barrels, (e) water columns, (f) oil columns, (g) block signals, (h) cattle guards, and (i) stock chutes, when all or portions thereof are four feet or less above top of rail may be decreased to the extent defined by a line extending diagonally upward from a point level with top of rail, and five feet distant laterally from center line of track to a point four feet above top of rail and eight feet distant laterally from center line of track; provided, however, that the minimum clearance for handrails and water barrels on bridges with walkways, shall be seven feet nine inches, and, provided further, the minimum clearance for fences of cattle guards shall be six feet nine inches.
(l) All minimum side clearances prescribed in this section are for tangent track. In general, all structures adjacent to curved track, shall have a minimum side clearance one foot greater than the minimum side clearance otherwise required for tangent track. Where the division has determined that space is limited, the minimum side clearances for structures adjacent to tracks of not over 12 degree curvature may be the same as for tangent track, but where track curvature exceeds 12 degrees, one-half inch for each degree of the curve shall be added to the minimum side clearance required for tangent track.
(m) The center line of any track constructed in and along a public street shall be at least 10 feet from the property line of said street, or if the street has a lawfully established curb line, such track shall be at least 10 feet from such line.
(n) When tracks are operated exclusively for logging purposes, log rollways which serve them may be erected at less than the minimum side clearances herein prescribed.
(o) Minimum side clearances authorized in this section are applicable to tracks on which freight cars having a width not greater than 10 feet 10 inches are transported. Freight cars of a width exceeding 10 feet 10 inches but not greater than 11 feet 1 inch may be transported provided they shall be permanently marked, stenciled, or placarded, and such markings maintained in a legible condition reading: 

“This Car EXCESS WIDTH.” 
All such required markings and placarding shall be placed on the side adjacent to the ladder or handholds near the floor line of the car at each of the four corners.
(p) If freight cars of a width greater than 10 feet 10 inches are transported, minimum side clearances shall be increased by an amount equal to one-half such additional width, and the distance between parallel tracks as provided in 3739(d) of this order shall be increased by the amount of such additional width.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Change without regulatory effect providing more legible illustration for Figure 2 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§3738. Overhead and Side Clearances.
Note     •     History

Minimum overhead and side clearances as prescribed in 3736 and 3737 of this order may be decreased to the extent defined by the half circumferences of a circle having a radius of eight feet six inches and tangent to a horizontal line 22 feet 6 inches above top of rail at a point directly over the center line of standard gage track; provided, however, that for tunnels and through bridges such radius may be eight feet, and provided further, that 3736(c) and 3737(o) of this order shall apply hereto. (See Figure 2 of Section 3737.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3739. Clearance Between Parallel Standard Gage Tracks.
Note     •     History

(a) The minimum distance between the center lines of parallel standard gage tracks shall be 14 feet except as hereinafter provided.
(b) The center line of any standard gauge track, except a main track or a passing track, parallel and adjacent to a main track or a passing track, shall be at least 15 feet from the center line of such main track or passing track; provided, however, that where a passing track is adjacent to and at least 15 feet distant from the main track, any other track may be constructed adjacent to such passing track with clearance prescribed in (a) of this order.
(c) The center line of any standard gage ladder track, constructed parallel to any other adjacent track, shall have a clearance of not less than 20 feet from the center line of such other track.
(d) The minimum distance between the center lines of parallel team, house and industry tracks shall be 13 feet.
(e) Main, siding and yard tracks constructed prior to the effective date of this order with distance of not less than 13 feet between track centers may be extended without increasing such distances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3740. Other Conditions and Obstructions Adjacent to Standard Gage Tracks.
Note     •     History

(a) No merchandise, material or other articles shall be placed or permitted to remain either on the ground or on platforms adjacent to any track at a distance less than 8 feet 6 inches from the center line of track.
(b) If platforms are used for storage, a suitable line or other marker shall be maintained at a distance of 8 feet 6 inches from the center line of track, on all platforms, excluding passenger platforms, to indicate the space along edge of the platform which must be kept clear of merchandise, material or other articles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3741. Side Clearances for Narrow Gage Industrial Railroad Tracks.
Note     •     History

(a) The minimum side clearance from the side of the widest car operated shall be not less then 30 inches from stationary machines, equipment, or structures.
(b) The minimum side clearance from the side of the widest car operated shall be not less than 30 inches from piled or stacked material or other movable equipment or structures.
(c) The minimum distance between the center lines of parallel tangent tracks shall be not less than the width of the widest car operated plus 24 inches.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-85; effective thirtieth day thereafter (Register 85, No. 37).
§3742. Blue Stop Signs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). For information concerning same subject matter, see Section 3333, Title 8, CAC.
§3743. Derails or Blocks. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). For information concerning same subject matter, see Section 3332, Title 8, CAC.
§3744. Working on or Around Railway Cars. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Repealer filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). For information concerning same subject matter, see Section 3334, Title 8, CAC.
Article 31. Gantry Trucks (Straddle Carriers)
§3800. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3801. Warning Devices.
Note     •     History

Every gantry truck shall be equipped with an effective warning device audible for 200 feet from the front and the rear of the truck. This device should be arranged to be operated both automatically and manually. It shall be sounded each time it is necessary to warn of the movement or approach of the vehicle.
Note: The employer should designate and define those areas in which the device should be operated automatically.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3802. Visibility.
Note     •     History

When gantry trucks operate in areas where their movement to the front and rear would constitute a hazard to employees working in the area on foot and where the operator vision is obstructed, the employer shall comply with Sections 1592(b)(1)-(5) of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3803. Accessibility.
Note     •     History

Every gantry truck shall be provided with a permanent access ladder with side rails extending at least two feet above the operating platform or with sufficient handholds to enable the operator to get on to the landing platform safely. There shall be at least four inches clearance at the back of the ladder rungs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3804. Color. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3805. Guarding.
Note     •     History

(a) Except as provided in (a)(1) below, every gantry truck wheel shall be guarded with wheel fenders, bumpersor skirt guards which shield each wheel to the front and rear of the vehicle and are designed in a manner to push a person out of the way of the oncoming vehicles.
(1) Wheel guarding is not required for logging and sawmill industry straddle carriers used exclusively to pickup and transport stacked loads of lumber. (See section 6248 for the scope of the logging and sawmill industry operations.)
(b) The main sprockets and chains to rear wheels shall be guarded as follows:
(1) The top sprocket shall be enclosed.
(2) The top half of the lower sprocket shall be enclosed.
(3) The drive chain except that portion of the lower half of the lower sprocket shall be enclosed to a height of seven feet.
(c) Gears shall be enclosed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
3. Amendment of subsection (a) filed 12-17-90; operative 1-16-91 (Register 91, No. 5).
§3806. Speed.
Note     •     History

The speed of all gantry trucks shall be regulated in one or more of the following ways:
(a) By means of a governor.
(b) By means of plainly marked and designated speed zones, lined roadways and restricted pedestrian walkways in all congested areas except where highway or street regulations apply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3807. Operating Rules.
Note     •     History

(a) Every employer operating a gantry truck shall post, and enforce a set of operating rules in compliance with Section 3664(a) and the following:
(1) When getting on or off trucks, drivers shall use the ladders or handholds provided.
(2) Do not park loads in any roadway unless given specific instructions to do so.
(3) Do not park loads so that parts of the load may project into aisles or roads.
(4) Do not drive under loads being handled by hoisting equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3808. Lights.
Note     •     History

Gantry trucks shall be equipped with lighting which conforms to the requirements to Sections 24407(a) and 24600 of the California Motor Vehicle Code. 

Exception: Gantry trucks operating exclusively on private property having sufficient lighting to illuminate potential hazards or employees in the area, e.g. marine terminals.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3809. Brakes.
Note     •     History

Each gantry truck shall be equipped with brakes which comply with the requirement of Section 26457 of the California Vehicle Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39). 
§3810. Mechanical Condition. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§3811. Material Racks. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
Article 32. Tiering Conveyors [Repealed]
HISTORY

1. Repealer of Article 32 (Sections 3820-3829) filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
Article 35. Amusement Rides
§3900. Purpose.
Note     •     History

These Orders establish minimum standards for design, maintenance, construction, alteration, operation, repair, inspections, assembly, disassembly, and use of amusement rides for the protection of persons using such rides. These Orders do not replace or supersede any existing Safety Orders affecting employee safety.
NOTE: Where the use of guardrails is impracticable for personal fall protection, see Section 3210(b), Exception No. 10 of these orders.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 1-24-2013; operative 4-1-2013 (Register 2013, No. 4). 
§3901. Definitions.
Note     •     History

(a) “Amusement ride” means a mechanical device which carries or conveys passengers along, around, or over a fixed or restricted route or course for the purpose of giving its passengers amusement, pleasure, thrills, or excitement. “Amusement ride” includes the business of operating bungee jumping services or providing services to facilitate bungee jumping, but does not include slides, playground equipment, coin-operated devices or conveyances which operate directly on the ground or on the surface or pavement directly on the ground or the operation of amusement devices of a permanent nature. The division shall determine the specific devices which are amusement rides for the purposes of this part. This determination shall be made to apply equally to all operators of similar or identical rides and shall be made pursuant to a procedure promulgated by the standards board.
(b) “Authorized person” is a competent person, experienced and instructed in the work to be performed and who has been given the responsibility to perform his duty by the owner or his representative.
(c) “Division.” The Division of Industrial Safety of the Department of Industrial Relations of the State of California.
(d) “Public entity.” Any city or county.
(e) “Registered engineer.” An engineer qualified under the Civil and Professional Engineers Act (Chapter 7, commencing with Section 6700 of Division 3 of the Business and Professions Code, State of California).
(f) “Permit.” An annual safety permit to operate an amusement ride, issued by the Division or by a public entity after an inspection of the ride.
(g) “Certification of Inspection.” An original certificate issued by the Division or by a public entity after certification in writing by a registered engineer that the amusement ride meets the requirements established by the Division for amusement rides. The certificate of inspection shall remain in force until voided by a modification of the ride.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7901, Labor Code.
HISTORY

1. Repealer and new definition of  “Amusement ride” and new Note filed 8-1-94; operative 8-31-94 (Register 94, No. 31).
§3902. Manufacturer's Analyses.

(a) For new model rides and for all existing models of rides for which this information may be requested, manufacturers, fabricators, or ride owner/operators shall furnish stress analysis or other pertinent data deemed necessary by the Division. Such stress analysis or other data pertinent to the design, structure, factors of safety, or performance characteristics shall be in such detail as to be acceptable to the Division. When such data on a particular ride is acceptable to the Division, it shall be deemed to apply to all rides of the same make and model where there have been no modifications.
(b) When no engineering calculations are available from the manufacturer or fabricator on a particular ride and when experience has been insufficient to warrant acceptance, the Division may require the owner/operator to furnish a structural analysis signed by a registered engineer.
Note: In evaluating rides where specific engineering specification data is lacking, the Division may not require a structural analysis on slow moving rides such as, but not limited to, merry-go-rounds and kiddie rides where the basic design has been proven safe through years of operation. A permit to operate, however, will be required.
§3903. Required Testing.

Load tests or nondestructive tests of rides or component parts of rides may be required by the Division. Procedure for such tests shall be submitted to the Division and be acceptable to the Division.
§3904. Emergency Brakes and Anti-Rollback Devices.

If cars or other components of an amusement ride may collide upon failure of normal controls, emergency brakes sufficient to prevent such collisions shall be provided. On rides which make use of inclined tracks, automatic anti-rollback devices shall be installed to prevent backward movement of the passenger-carrying units in case of failure of the propelling mechanism. 
§3905. Speed Limiting Devices.

An amusement ride capable of exceeding its maximum safe operating speed shall be provided with a maximum speed limiting device. All governors having an adjustable speed setting shall be sealed so that the adjustment cannot be changed without breaking the seal. If the seal is broken, the governor shall be readjusted and resealed by the ride foreman prior to replacing the ride in service.
§3906. Signal Systems.

(a) Signal systems which will warn operators against dispatching other passenger-carrying units in the event a previously dispatched unit has failed to clear an automatic stop shall be provided on all amusement rides where the lack of such a system may permit rear-end collision and injury to passengers.
(b) Signal systems for the starting and stopping of amusement rides shall be provided where the operator of the ride does not have a clear view of the point at which passengers are loaded or unloaded.
(c) Where the need for coded signals is indicated, any code of signals adopted for the operation of any amusement ride shall be printed and be kept posted at both the operator's and signalman's stations. Signals shall be thoroughly understood by all persons who use them.
(d) Signals for the movement of rides shall not be given until all passengers are safely within the conveyance and all persons are in the clear.
(e) Types of signal systems shall be tested at least once each day of operation and prior to the operation of the ride. Rides shall not be operated if the signal system is not functioning correctly.
§3907. Passenger-Carrying Rides.

(a) The interior and exterior parts of all passenger-carrying amusement rides with which a passenger may come in contact shall be smooth, free from sharp, rough, or splintered edges and corners, with no protruding studs, bolts, screws, or other projections. Interior parts upon which or against which a passenger may be forcibly thrown by the action of the ride shall be adequately padded.
(b) Rides that are self-powered and that are operated by passengers shall have the driving mechanism so guarded and the guards so secured in place as to prevent passengers from gaining access to the mechanism. The “Dodge-Em” type of ride shall have the overhead screening free from holes that will catch the power conducting device and allow it to hang-up or cause a whipping action of the device.
(c) Belts, bars, footrests, and other equipment necessary for safe entrance and exit and for support while the ride is in operation shall be provided and maintained in a safe condition. Such equipment and the fastenings shall be of sufficient strength to retain the passengers.
§3908. Passenger Restraining and Containing Safety Devices.

(a) If, after inspection by an authorized representative of the Division, it is deemed necessary to install safety devices to prevent accidental or inadvertent dislodgement of a passenger from any tub, car, chair, seat, gondola, or other carrier, a restraining or containing device shall be installed.
(b) Passenger restraining or containing devices used on tubs, cars, chairs, seats, gondolas, and other carriers on a ride wherein the forces generated by the action of the ride require retention, restraint, or actual physical support of the passenger shall be designed, constructed, installed, and maintained to support the passenger safely. The fastenings shall be of a type which cannot be inadvertently released by the passenger or by any accidental means.
(c) Anchorages for required restraining devices shall have strength at least equal to the strength of the restraining device.
§3909. Design and Construction of Supporting Structures.

All supporting structures used in connection with amusement rides shall be designed and constructed to carry safely with the appropriate factors of safety as defined by the nationally accepted standards and with proper allowance for wind forces, dynamic effects of the equipment, load reversals and repetitions all loads to which such structures may normally be subjected. All rides shall be placed on solid footings and be anchored to prevent shifting or tipping. Sandbags may be used on cement surfaces. Use of shim blocks shall be kept to a minimum. Depressions in the ground near the ride footings shall be filled and tamped and adequate means of drainage provided to prevent water from collecting and softening supporting areas in case of rain. The area surrounding the ride shall be cleared and kept free from trash and tripping hazards.
§3910. Daily Maintenance.

(a) An amusement ride shall be inspected and tested each day before it is to be used. The inspection and test shall be made by or under the immediate supervision of an authorized person.
(b) The inspection and operational test shall include the operation of control mechanisms, speed limiting devices, brakes, fastenings, and other equipment provided for safety, and the proper installation of safety devices as required by the General Industry Safety Orders of the Division.
§3911. Assembly and Disassembly.

(a) Supervision. The assembly and disassembly of an amusement ride shall be done by or under the supervision of an authorized person.
(b) Quality of Assembly Work. Assembly work shall be performed in a proper and workmanlike manner.
(1) Parts shall be properly aligned, and shall not be bent, distorted, cut, or otherwise damaged in order to force a fit.
(2) Parts requiring lubrication shall be lubricated in course of assembly.
(3) Fastening and locking devices shall be installed where required for safe operation.
(4) Makeshift devices shall not be used.
(5) All bolts shall fit the fastening holes and be equipped with proper nuts and lock washers.
(6) Where openings are provided for cotter pins, such pins, properly designed for use, shall be used and properly spread.
(7) All junction boxes shall be kept locked while in use.
(8) Where “U” bolt clamps are used for wire rope attachments, at least 3 clamps shall be used with the “U” bolts on the short or “dead” end of the wire.
(c) Quality and Inspection of Parts. Parts excessively worn or materially damaged shall not be used.
(1) Close visual inspection of parts shall be made during assembly to discover such wear or damage and inspection of fastening devices shall be made after assembly and before the ride is placed in service to assure that they have been properly installed.
(2) Where welding on rides or component parts is required, such welding shall be done by an experienced, competent welder.
(d) Tools and Equipment. Persons engaged in the assembly or disassembly of amusement rides shall be provided with and shall use tools of proper size and design to enable the work to be done safely. Broken, damaged, and unsuitable tools shall not be used.
(e) Lighting of Work Area. Assembly and disassembly of amusement rides shall be conducted under at least 5 foot-candle illumination. 
§3912. Control of Operation.

(a) All amusement rides other than passenger operated or controlled rides shall be operated only by an authorized person. The operator shall be in the immediate vicinity of the operating controls during operation, even if automatic timing devices are used to control the time cycle of the ride, and no unauthorized person shall be permitted to handle operating controls during normal operation. All rides must have a stopping device within reach of the operator for use in case of an emergency.
(b) Each electrically driven ride shall have a disconnect switch within reach of the operator for use in case of an emergency.
§3913. Public Protection.

An amusement device shall not be used or operated while any person is so located as to be endangered. Areas in which persons may be so endangered shall be fenced, barricaded, or otherwise guarded against public intrusion.
§3914. Required Inspections.

(a) Each amusement ride shall receive certification in writing by a registered engineer that it meets the requirements established by the Division.
Note: If the manufacturer of an amusement ride submits to the Division an accepted stress analysis for such ride certified by a registered engineer, the Division may, upon inspection of the ride, issue an original certification of inspection.
(b) The original certificate of inspection shall not be issued for any amusement ride until certification has been made and filed with the Division. The certificate of inspection and the certification will become void if the device is rebuilt or modified in a manner that will affect the structural design or strength.
(c) A registration number shall be obtained from the Division and will be issued with the original certificate of inspection and this number will remain in effect until the engineering certification is voided by modification.
§3915. Issuing of Permits.

(a) On or before March 1 of each year, the owner or operator of an amusement ride shall apply for a permit to the Division or a public entity on a form furnished by the Division. Upon receipt of the inspection forms and certification that the ride complies with the rules and regulations of the Division and upon receipt by the Division or a public entity of the required inspection and permit fees, the Division or a public entity shall issue a permit to operate the specific ride which has been inspected. No permit to operate issued by a public entity shall be valid until a copy of such permit and the inspection report has been filed with the Division of Industrial Safety.
(b) No person shall operate an amusement ride unless a current permit to operate has been issued by the Division or a public entity as prescribed in Division 5 of the California Labor Code, Part 8. However, an amusement ride inspected and covered by a valid permit to operate in the preceding year may continue to operate until further inspected, providing the owner/operator of the ride has made written application to the Division for an inspection at least ten days prior to its operation indicating where such ride will be available for inspection and the application remains unacted upon. The permit to operate will become void immediately in the event of a fatal, dismembering, or disabling injury to one or more persons as the result of failure or malfunctioning of the ride or any of its mechanical components.
§3916. Inspection Fees.
History

See the Division of Industrial Safety's regulations contained in Chapter 3.2, Group 2, Title 8, California Administrative Code. These inspection fees for amusement rides are reprinted in Appendix 1 of these orders.
HISTORY

1. New section filed 3-29-78; effective thirtieth day thereafter (Register 78, No. 13). For history of former section, see Register 77, No. 49. 
§3917. Posting of Permit.

All permits, except the original certificate of inspection, issued by the Division or a public entity under authority of the Labor Code of the State of California shall be kept with the ride in a protected place and shall be readily available.
§3918. Identification and Rating Plates.

Each amusement ride shall be identified by a registration number, the name and address of the manufacturer (if known), a trade or descriptive name, and model or serial number (if any), the maximum number of passengers, and the maximum safe speed. The required information shall be legibly impressed on a metal plate or equivalent and readily visible and legible at all times.
§3919. Rebuilt and Modified Devices.

If an amusement ride is to be altered after issuance of the original certificate of inspection or if the ride is to be so modified as to change its original action or motion pattern, the following shall be done:
(a) The owner shall notify the Division of such action before proceeding with the change. Certification of a stress analysis covering the proposed changes signed by a registered engineer shall be provided to the Division. Changes relating to operational safety of the device shall be acceptable to the Division.
(b) A revised certificate of inspection shall be obtained.
§3920. Accident Notification.

All accidents involving the public resulting in a fatality, dismembering or disabling injury, or accidents resulting in major damage to a ride must be reported to the Division's San Francisco or Los Angeles office within 24 hours of occurrence.

Appendix 1

Amusement Ride Inspection Fee Schedule
Note: The following fee schedule adopted by the Division of Industrial Safety is reprinted from Chapter 3.2, Group 2, Title 8, California Administrative Code, solely for informational purposes. Should any discrepancy exist between this reprinting and the regulations of Chapter 3.2, then Chapter 3.2 shall prevail. 
344.10.* Amusement Ride Inspection Fee Schedule.
(a) The following fees will be charged by the Division for inspections of and services rendered in connection with amusement rides by safety engineers employed by the Division.
(1) Original certificate of inspection--$15.00.
(2) Modification of original design which results in revised certificate of inspection--$15.00.
(3) Annual reinspection permit--$15.00.
(4) Inspection of altered or materially changed rides--$12.00 per hour or any fraction thereof.
(5) Investigation of accidents resulting in major damage to ride-- $12.00 per hour or any fraction thereof.
(6) Investigation of fatal, dismembering, or disabling injury occurring to a member of the public--$12.00 per hour or any fraction thereof.
(7) Other inspections and investigations--no charge.
HISTORY

1. New Appendix 1 filed 3-29-78; effective thirtieth day thereafter (Register 78, No. 13). 

* Reprint from Chapter 3.2, Group 2, Title 8 (Register 77, No. 49).
Group 6. Power Transmission Equipment, Prime Movers, Machines and Machine Parts
Article 37. Purpose, Definitions and Standards
§3940. Purpose.
Note     •     History

These orders apply to the guarding of power transmission equipment, prime movers, machines and machine parts, but do not include point of operation hazards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3941. Definitions.
Note     •     History

Accidental Contact. Inadvertent physical contact with power transmission equipment, prime movers, machines or machine parts which could result from slipping, falling, sliding, tripping or any other unplanned action or movement.
Belts. All power transmission belts, such as flat belts, round belts, V-belts, etc., unless otherwise specified.
Belt Pole (sometimes called a Belt Shipper or Shipper Pole). A device used in shifting belts on and off fixed pulleys on line or countershaft where there are no loose pulleys.
Belt Shifter. A device for mechanically shifting belts.
Conveyor. A device designed exclusively for transporting bulk materials, packages or objects in a predetermined path and having fixed or selective points of loading or discharge.
Enclosed. The moving parts are so guarded that physical contact by parts of the body is precluded. This does not prohibit the use of hinged, sliding, or otherwise removable doors or sections to permit inspection or lubrication.
Flywheel sometimes referred to as a balance wheel or flywheel pulley means a heavy wheel which by its inertia provides uniform energy of machinery by resisting sudden changes of speed.
Guarded. Shielded, fenced, enclosed or otherwise protected according to these orders, by means of suitable enclosure guards, covers or casing guards, trough or “U” guards, shield guards, standard railings or by the nature of the location where permitted in these orders, so as to remove the hazard of accidental contact.
Guarded by Location. The moving parts are so located by their remoteness from floor, platform, walkway, or other working level, or by their location with reference to frame, foundation or structure as to remove the likelihood of accidental contact.
Machine. The driven unit as distinguished from the driving unit which is defined as a prime mover.
Machine Parts. All moving parts of the machine, except those forming part of the point of operation.
Momentary Contact Device. A device which requires constant pressure by the operator to operate the machine.
Nip-point. That location along the inrunning side(s) of rotating part(s) which permits a part of the body to be caught between two moving part(s) or between a moving part and a stationary object.
Power Drive, Portable. A device used to provide rotary motion which can be used to grip and rotate a pipe or die head to thread, cut and ream.
Prime Mover. An engine or motor whose main function is to drive or operate other mechanical equipment.
Sheaves. Grooved pulleys, unless used as flywheels.
Tail Rod. The extension of piston rod passing through a stuffing box in the outside head of an engine cylinder, compressor cylinder or pump cylinder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer of subsection (13) and renumbering of subsections 14-18 filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. New subsections (a)(12) and (a)(14)and renumbering of subsections (a)(15)-(19) filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15).
4. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
5. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3942. Type of Guarding Required.
History

(a) All guards shall be appropriate for the hazards involved, secured in place, constructed of substantial material as listed in Table G-1; and have surfaces free of hazardous projections.
(b) Guards shall be provided with hinged or removable sections where it is necessary to change belts, make adjustments, or for the admission of lubricants.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3943. Guard Standards.
Note     •     History

(a) If area of shield guard of wire mesh or expanded metal in a frame exceeds 6 square feet, it shall be reinforced.
(b) Trough or “U” guards shall be installed in accordance with the guidelines illustrated in Figures G-5 and G-6.
(c) An enclosure guard shall be installed so that it completely guards the moving parts.
(d) A nip-point belt and pulley guard shall be constructed so that the nip-points are not exposed to accidental contact.
(e) Horizontal overhead belt guard surfaces subject to contact with the belt shall be smooth. The guard width shall be at least 25% wider than the belt being protected. The clearance need not exceed 6 inches on each side.
(f) Guards for horizontal overhead rope and chain drives shall not be less than 6 inches wider than the drive on each side. Where employees pass under overhead rope and chain drives a shallow trough or other effective means of sufficient strength to carry the weight of the broken chain shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 7-11-72 as procedural and organizational; effective upon filing (Register 72, No. 29).
2. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
3. Amendment of subsections (g) and (h) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
4. Repealer of subsection (f) and relettering of existing subsections filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
5. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3944. Guard Clearances.
Note     •     History

(a) Where a guard or enclosure is within 2 inches of moving parts, openings through the guard shall be of such size as will preclude the passage of any object one-half inch in diameter.
(b) Where a guard or enclosure is within 4 inches of moving parts, openings through the guard shall be of such size as will preclude the passage of any object greater than one-half inch in diameter.
(c) Where a guard is located between 4 inches and 15 inches from moving parts, the maximum opening shall be of such size as will preclude the passage of any object greater than 2 inches in diameter. Where a slatted guard is used, the width of the opening shall be not greater than 1-inch.
(d) Standard railing guards shall be placed not less than 15 inches nor more than 20 inches from any moving parts provided; however, that where clearances from other moving parts are less than 15 inches, such parts shall be guarded as required elsewhere in these orders.
(e) The use of nylon mesh or materials of equivalent strength with holes not exceeding 1/2-inch to modify an existing substandard fan guard is acceptable, provided the combination of the two provides adequate protection and the mesh cannot be pushed into the danger zone during normal use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Table G-2 and Figure G-8, and renumbering of Table G-3 to Table G-2, filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47). For prior history, see Register 76, No. 6.
2. Amendment of Section 3944 and repealer of Tables G-1 and G-2, Figures G-1, G-2, G-3, G-4, G-5, G-6, G-7 and new Tables G-1 and G-2, Figures G-1, G-2, G-3, G-4, G-5, G-6, G-7 filed 5-4-77 as an emergency; effective upon filing. Certificate of Compliance as to Table G-1 included (Register 77, No. 19).
3. Editorial correction in Figure G-1 and Certificate of Compliance as to 5-4-77 filing filed 8-31-77 (Register 77, No. 36).
4. Repealer of Table G-2 filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
5. Amendment of Section 3944 and Tables G-1, G-2 and Figure G-7 filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44)
6. Editorial correction of Figure G-2 and deletion of duplicate Note and History Notes (Register 95, No. 24).
7. Change without regulatory effect providing more legible illustrations for Figures G-1 through G-7 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).

Table G-1

View Graphic

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§3945. Openings for Oiling.
Note     •     History

(a) Where lubrication must be performed while the machine is operating, openings with hinged or sliding covers shall be provided.
(b) Where machines or machine parts must be lubricated while in motion the lubricant fittings shall be located at least 12 inches from the dangerous moving parts unless such parts are guarded and the fittings are piped outside the guard.
(c) Transmission equipment, machines and machine parts in inaccessible locations, which are lubricated while they are in motion shall be equipped with extension lubricant fittings or other methods of lubrication which can be serviced from an accessible location.
Note: Self lubricating bearings are recommended and all drip cups and pans shall be securely fastened.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (a) filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44). 
Article 41. Prime Movers and Machinery
§3995. Flywheels.
Note     •     History

(a) Any exposed hazardous part of a flywheel 7 feet or less above the floor or working level shall be guarded.
Note: The spokes of machine flywheels may be covered with a circular disk guard.
(1) When a flywheel extends into a pit or is within 12 inches of the floor and a guardrail is used, a toeboard shall also be provided. See Figure G-4.
(b) When it is necessary to move flywheels for starting, guards may be removed temporarily but shall be replaced immediately after such operation is complete. A slot opening for jack bar will be permitted.
Every jack bar should be equipped with a hand stop so located that it will safely clear the flywheel guard when fully inserted but will prevent the worker's hand being pinched between the slot and bar.
(c) Wherever flywheels are above working areas, guards shall be installed having sufficient strength to hold the weight of the flywheel in the event of a shaft or wheel mounting failure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Editorial correction of Article heading (Register 80, No. 51).
3. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3996. Cranks and Connecting Rods.
Note     •     History

Cranks and connecting rods, when exposed to contact, shall be guarded in accordance with Section 3943 or by a guardrail as described in Section 3209(a).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3997. Tail Rods, Extension Piston Rods or Tail Crossheads.
Note     •     History

Tail rods, extension piston rods or tail crossheads 7 feet or less from the floor, platform or other working level shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44). 
§3998. Belt Shifters.
Note     •     History

(a) Tight pulleys and loose pulleys shall be equipped with a permanent belt shifter accessible from the operator's working position at the machine and provided with mechanical means to prevent the belt from creeping from loose to tight pulley.
(b) Manual devices shall be so designed, constructed and installed that they will remain in the neutral position until intentionally actuated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§3999. Conveyors.
Note     •     History

(a) Screw conveyors 7 feet or less above floor or other working level shall be completely covered with substantial lids except that screw conveyors the top of which are 2 feet or less above the floor or other working level, or below the floor level may be guarded by standard railing guards having toeboards of midrail height or shall be guarded by substantial covers or gratings.
(b) Belt conveyor head pulleys, tail pulleys, single tension pulleys, dip take-up pulleys, chain conveyor head drums or sprockets and dip take-up drums and sprockets shall be guarded. The guard shall be such that a person cannot reach behind it and become caught in the nip point between the belt, chain, drum, pulley or sprocket.
Note: Normally, conveyor belt support rollers need not be guarded unless they create a potential hazard for serious injury.
(c) Crossovers as defined in Section 3207 of these Orders shall be provided where necessary, which will allow employees to pass over or cross a conveyor. Unless a 6-foot 6-inch headroom clearance is provided, employees shall not be permitted to pass under conveyors.
(d) Conveyors passing over areas that are occupied or used by employees shall be so guarded as to prevent the material transported from falling and causing injury to employees.
(e) Where employees pass under the return strands of chain conveyors a shallow trough or other effective means of sufficient strength to carry the weight of the broken chain shall be provided.
(f) Employees shall not be permitted to ride or walk on a moving power driven chain, belt or bucket.
(g) Conveyors using electrically released brakes shall be constructed so that the brakes cannot be released until power is applied and that the brakes are automatically engaged if the power fails or the operating control is returned to the “stop” position.
(h) Powered conveyors shall not be started until all exposed employees are clear of the conveyor or have been warned that the conveyor is about to start.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
2. New subsections (i) and (j) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
4. Amendment of subsection (c) filed 2-17-2000; operative 3-18-2000 (Register 2000, No. 7).  
5. Change without regulatory effect amending subsection (b) filed 5-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 21).
§4000. Process Machine Power Control.
Note     •     History

(a) Each process machine driven by an individual prime mover shall be equipped with a prime mover stopping device which can be safely actuated from the operator's working position unless the machine is equipped with a clutch which will stop all machine operations.
(b) Where an operator attends one or more process machines not having individual drive each machine shall be equipped with a stopping device which can be safely actuated from the operator's working position at the machine. Such a stopping device may stop an entire group of machines by stopping the prime mover power transmission or it may be a machine clutch, cut-off coupling, or tight and loose pulley with belt shifter which can stop all the machine operations at any time on any machine. Pole or hand shifting of belts is not considered adequate means for disconnecting the power. 

Exception: Where due to the process, machines must be operated in groups, the machine power control may stop the entire group of machines. Such group drives shall be provided with conveniently located, readily accessible, and properly marked or otherwise identified stop stations.
(c) Each process machine simultaneously attended or operated by more than one employee shall be equipped with a machine power control for each employee exposed to point of operation hazards. Said controls shall be interlocked in a manner to prevent operation of machine, unless all controls are operated simultaneously. Controls for more than one operating station shall be designed to be activated and deactivated in complete sets of two operator's hand controls per operating station by means capable of being supervised by the employer.
(d) Machine power controls shall be maintained in safe operating condition and shall be so designed, installed and/or located that they cannot operate from accidental contact with objects or parts of the body.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (b) filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4001. Machine Power Control.
Note     •     History

All machines shall be equipped with adequate means whereby the operator of the machine or other person can disconnect the power promptly in case of emergency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4002. Moving Parts of Machinery or Equipment.
Note     •     History

(a) All machines, parts of machines, or component parts of machines which create hazardous revolving, reciprocating, running, shearing, punching, pressing, squeezing, drawing, cutting, rolling, mixing or similar action, including pinch points and shear points, not guarded by the frame of the machine(s) or by location, shall be guarded.
(b) Keys, set screws, projections or recesses which create a hazard not guarded by the frame of the machine or by location shall be removed, made flush or guarded.
Note: Section 4002 does not apply to points of operation. For point-of-operation requirements, refer to Group 8, commencing with Section 4184.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
§4003. Pinch Points and Shear Points. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
2. Repealer filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47). 
Article 43. Shafting, Collars, Clutches, Cut-Off Couplings and Clutch Pulleys
§4050. Shafting, Collars, Clutches, and Couplings.
Note     •     History

(a) All exposed parts of line or countershafting or collars, clutches, cut-off couplings and clutch pulleys seven feet or less above floor or other working level shall be guarded.
(b) Wherever shafting extends over a driveway it shall be enclosed or guarded with a trough guard unless it is located 15 feet or more above driveway or is a part of an overhead traveling crane and does not otherwise violate provisions in this order. See (d) below.
(c) Transmission shafting under benches shall be guarded in one of the following ways:
(1) Completely enclosed.
(2) Guarded by a trough guard enclosing sides and top or sides and bottom as the exposure requires. The sides of the trough shall come within at least 6 inches of the underside of the table, or if the shafting is located near floor, within 6 inches of the floor. In every case the sides of the trough shall extend at least 2 inches above or below the shafting.
(3) Guarded on exposed sides with a rigid shield guard extending from the underside of bench top to 2 inches below bottom line of shafting. 

Exception: Wherever power sewing machines or other similar light machines are operated by shafting under the machine table, such shafting shall be in compliance when the shafting is 20 inches or more horizontally from the vertical plane of the working edge of the bench. When such transmission is so located it constitutes a hazard, it shall be guarded.
(d) Shafting which crosses or runs parallel to elevated runways, walkways, catwalks, or platforms and is within the vertical height of seven feet or within 15 inches of either side of such runway, walkway, catwalk or platform shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) (EXCEPTION only) filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4051. Projecting Shaft Ends.
Note     •     History

(a) Projecting shaft ends within 7 feet of floor or working level shall present a smooth rounded edge and smooth end and shall not project a distance greater than one-half the diameter of the shaft beyond the end of the bearing unless guarded by nonrotating casing.
(b) Exposed unused key-ways 7 feet or less above floor or working level shall be filled, covered, or guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-9-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4052. Collars, Couplings, Clutches, Cut--Off Couplings and Clutch Pulleys. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44). 
Article 44. Pulleys
§4060. Location of Pulleys on Line Shaft and Countershaft.
Note     •     History

(a) Where the distance to the nearest fixed pulley, clutch or hanger is equal or less than the width of the belt, a guide shall be provided to prevent the belt from leaving the pulley.
(b) Overhanging flat pulleys on line shafts or countershafts shall be provided with a stop to prevent the belt from running off the pulley.
(c) Where loose pulleys or idlers are not practicable, belt perches in form of brackets, rollers, etc., shall be used to keep idle belts away from the shafts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer of subsection (d) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment of subsection (c) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4061. Composition and Wood Pulleys. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer filed 2-23-80; effective thirtieth day thereafter (Register 80, No. 8).
§4062. Pulleys Exposed to Corrosion.
Note     •     History

Pulleys exposed to active corrosion shall be of corrosion resisting material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4063. Composition or Wooden Pulleys out of Service.
Note     •     History

Composition or wooden pulleys permanently out of service shall not be allowed to remain on shafting which is in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
Article 45. Belt and Pulley Drives
§4070. Guarding.
Note     •     History

(a) All moving parts of belt and pulley drives located 7 feet or less above the floor or working level shall be guarded.
Note: For clearance between guards and belts, see Table G-1 and Figure G-2. 

Exceptions: 
1. Flat or crowned step-cone pulley drives on lathes may be guarded by a bar or rod located above the contact point of the belt to prevent a worker's hand being drawn into the nip point. Lathe belts, with metallic belt fasteners or lacings, and which are shifted by hand, shall have all fasteners or lacings clinched or maintained so that there are no projections on either the surfaces or edges of the belt.
2. The following belts when operating at 250 feet per minute or less: Flat belts 1-inch or less in width; flat belts 2 inches or less in width which are free from metal lacings or fasteners; round belts 1/2-inch or less in diameter; and single strand V-belts, the width of which is 13/32-inch or less.
  This exception does not include spokes, hazardous nip points, or other hazards of pulleys. Such hazards which are 7 feet or less above the floor or working level shall be guarded by nip-point belt and pulley guards.
3. In industries where there is an excessive deposit of lint (which constitutes a serious fire hazard), open bottom nip-point belt and pulley guards may be used, provided that where metallic belt fasteners or lacings are used they shall be clinched and maintained so that there are no projections on the outside face or edges of the belt.
4. Fan belt drives on motor vehicles used primarily for transportation of employees and materials.
5. Internal combustion engine fan belt drives guarded by side screens extending to the shoulder of the engine block.
6. Industrial and commercial sewing machines: See Section 4475.
(b) If the bottom of the guard is within 4 inches of the floor or supporting structures, the bottom of the guard need not be enclosed. 
(c) Where a group of flat belt drives is guarded by guardrails, such drives shall be considered guarded where the distance from the vertical plane of the rail to the nearest point of any belt or pulley is not less than 15 inches nor more than 20 inches and where the distance between any two adjacent belts or pulleys does not exceed 36 inches.
(d) Horizontal overhead belts more than 7 feet above a floor, platform or other working level shall be guarded for their entire length if located over passageways or working places.
(e) American or continuous system rope drives so located that the condition of the rope (particularly the splice) cannot be constantly and conveniently observed shall be equipped with a “telltale” device (preferably electric-bell type) that will give warning when rope begins to fray.
(f) All rope drives shall be guarded as required for belt drives.
(g) If dressing is applied while the belt or rope is in motion, it shall be performed at a safe distance from the nip point.
(h) Metallic belt fasteners or lacings shall be clinched and maintained so that there are no projections on the outside face or edges of the belts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (e) filed as procedural; effective upon filing (Register 75, No. 14).
3. New subsection (c)(3) filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
4. Amendment of subsections (a), (b), and (c) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment of subsection (j) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
6. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4071. Belt Tighteners.
Note     •     History

Counter-balanced belt tighteners shall be of substantial construction. Means shall be provided to prevent tightener from falling in case the belt breaks, or the area directly beneath the tightener shall be guarded by a standard railing guard set not less than 15 inches nor more than 20 inches from the vertical projection of the outermost parts of the tightener.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4072. Variable Speed Drives. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
Article 46. Gears, Friction Drives, Sprockets, and Chains
§4075. Gears and Sprockets.
Note     •     History

(a) All gears, sprockets and sprocket chain drives located 7 feet or less above the floor or working level shall be guarded.
(b) If band guards are used the guard shall extend inward beyond the root of the teeth and the spokes shall be guarded with a disk guard.
(c) Where employees pass under chain drives, the requirements of Section 3943(c) and (f) shall be met.
(d) Guards on overhead silent chain-drives shall not be less than one-quarter inch from the nearest moving chain part, except that on drives of over 20 inch centers the distance shall not be less than one-half inch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4076. Friction Drives.
Note     •     History

Friction drives located 7 feet or less above floor or other working level shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4077. Sprocket Chains. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
Article 47. Power Disconnecting Devices
§4085. Belt Shifters and Other Disconnecting Devices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer of subsection (c) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 44).
§4086. Momentary Contact Devices.
Note     •     History

All portable pipe threading/cutting machines, portable power driven augers (earth drills), and portable power drives shall be permanently equipped with a momentary contact device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15). For history of former section, see Registers 79, No. 46 and 74, No. 43.
2. Amendment filed 12-2-2009; operative 1-1-2010 (Register 2009, No. 49).
Group 8. Points of Operation and Other Hazardous Parts of Machinery
Article 54. Scope and General Definitions
§4184. Guarding Required.
Note     •     History

(a) Machines as specifically covered hereafter in Group 8, having a grinding, shearing, punching, pressing, squeezing, drawing, cutting, rolling, mixing or similar action, in which an employee comes within the danger zone shall be guarded at the point of operation in one or a combination of the ways specified in the following orders, or by other means or methods which will provide equivalent protection for the employee.
(b) All machines or parts of machines, used in any industry or type of work not specifically covered in Group 8, which present similar hazards as the machines covered under these point of operation orders, shall be guarded at their point of operation as required by the regulations contained in Group 8.

Exception: Microtomes (also called histotomes or cryostats) when guarding as required in Section 4184 is infeasible and the microtome is used, operated and maintained in accordance with Section 3558 of these Orders. For the purposes of this Exception guarding as required in Section 4184 is infeasible under circumstances that include, but are not limited to the following: there is no point-of-operation guard commercially available for an employer's microtome. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Renumbering of Section 4185 to Section 4184 filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
4. Amendment of Group 8 title filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
5. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
6. New Exception to subsection (b) filed 8-7-2012; operative 9-6-2012 (Register 2012, No. 32).
§4185. Foot-Operated Devices.
Note     •     History

All foot-operated devices (i.e., treadles, pedals, levers, bars, valves, and switches) shall be protected from unintended operation, if such operation creates a hazard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4185 to Section 4184 and new section filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46). 
§4186. Maintenance and Use of Point of Operation Tools and Guards.
Note     •     History

(a) All saws, cutting tools, heads, shears, and knives that are part of any machine shall be kept sharp, properly set up, adjusted and firmly secured.
(b) All point of operation guards shall be properly set up, adjusted and maintained in safe and efficient working condition in conformance with Figure G-8 and Table G-3 or other guard configurations which will prevent the operator's hand from entering the point of operation.
(c) All repair work performed on metal forming and/or cutting machines, such as punch presses, press brakes, forming rolls, shears, power presses, forging presses and hammers, shall be made:
(1) In accordance with the recommendation of the manufacturer(s), or
(2) In accordance with good engineering practice. 

Point of Operation Guarding
Figure G-8

View Graphic
Explanation of Above Diagram:
This diagram shows the accepted safe openings between the bottom edge of a guard and feed table at various distances from the point of operation.
The minimum guarding line is 1/2-inch from the point of operation. The various openings are such that with average size hands, an operator's fingers will not reach the point of operation.
After installation of point of operation guards and before a job is released for operation, a check should be made to verify that the guard will prevent the operator's hands from reaching the point of operation. 

Table G-3 

Distance of Opening
from Point 	Maximum Width
of Operation Hazard 	of Opening
(Inches)		 (Inches)
		
1/2 	to 1 1/2	 1/4
1 1/2	to 2 1/2	 3/8
2 1/2 	to 3 1/2	 1/2
3 1/2 	to 5 1/2	 5/8
5 1/2	to 6 1/2	 3/4
6 1/2 	to 7 1/2	 7/8
7 1/2 	to 12 1/2	 1 1/4
12 1/2 	to 15 1/2	 1 1/2
15 1/2 	to 17 1/2	 1 7/8
17 1/2 	to 31 1/2	 2 1/8
	
Refer to Table G-1 in Section 3944 for the maximum width of openings permitted in guards at various distances from the moving parts of power transmission equipment, prime movers, machines and machine parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (b) and new Figure G-8 and Table G-3 filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
3. New subsection (c) filed 4-28-81; effective thirtieth day thereafter (Register 81, No. 18).
4. Amendment of subsections (b), (c), Figure G-8 and Table G-3 filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
5. Change without regulatory effect providing a more legible copy of Figure G-8 with no amendments filed 3-13-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 11).
6. Change without regulatory effect providing more legible illustration for Figure G-8 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§4187. Rolls.
Note     •     History

(a) The in-running side of the rolls shall be protected with a fixed or self-adjusting barrier so arranged that the material can be fed to the rolls without permitting the fingers of the operator to be caught between the rolls or between the guard and the rolls, or
(b) The control device for the rolls shall be of the constant contact type and shall be so located as to prevent the employees from contacting the danger zone, or
(c) The prime mover shall be equipped with an effective brake and there shall be installed across the front of the rolls at approximately knee height a control bar, lever or other device which when actuated will stop the motor and apply the brake.
Note: (1) The intent of this section is primarily to achieve point of operation guarding as required by Subsection (a) above. Where, because of work procedures or other valid reasons, the requirements of Subsection (a) cannot be achieved, the requirements of Subsection (b) shall control. Where neither the requirements of (a) or (b) can be achieved, compliance with Subsection (c) shall then be mandatory. 
Note: (2) In those instances where there are other orders covering specific rolls, those orders shall prevail over those contained in this section. 

Exception: Rolls which do not expose any employees to a point of operation hazard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-26-80; effective thirtieth day thereafter (Register 80, No. 52).
§4188. Definitions.
Note     •     History

(a) General Definitions.
Classes. The designation “Class-A” with an order means that the rule applies for all kinds of work. The designation “Class-B” means that the order applies unless the nature of the work, type of machinery, or size and shape of material being worked will not permit.
Danger Zone. Any place in or about a machine or piece of equipment where an employee may be struck by or caught between moving parts, caught between moving and stationary objects or parts of the machine, caught between the material and a moving part of the machine, burned by hot surfaces or exposed to electric shock.
Interlock. A device that operates to prevent the operation of a machine while the cover or door of the machine is open or unlocked, and which will also hold the cover or door closed and locked while the machine is in motion.
Point of Operation. That part of a machine which performs an operation on the stock or material and/or that point or location where stock or material is fed to the machine. A machine may have more than one point of operation.
(b) Specific Definitions for Power Operated Presses. Adjustable Barrier Guard. A barrier requiring adjustment for each job or die setup.
Antirepeat. The part of the clutch/brake control system designed to limit the press to a single stroke if the operating means is held operated. Antirepeat requires release of all tripping mechanisms before another stroke can be initiated. “Antirepeat” is also called single stroke reset or reset circuit.
Brake. The mechanism used on a mechanical power press to stop and/or hold the crankshaft, either directly or through a gear train, when the clutch is disengaged.
Brake Monitor. A sensor designed, constructed, and arranged to monitor the effectiveness of the press braking system.
Bolster Plate. The plate attached to the top of the bed of the press having drilled holes or T-slots for attaching the lower die or die shoe.
Certification or Certify. In the case of design certification/validation that the manufacturer has reviewed and tested the design and manufacture, and in the case of installation certification/validation and annual recertification/revalidation that the employer has reviewed and tested the installation, and concludes in both cases that the requirements of sections 4192 through 4211 and Appendix A have been met. The certifications are made to the validation organization.
Certification/Validation and Certify/Validate. The combined processes of certification and validation.
Clutch. The coupling mechanism used on a mechanical power press to couple the flywheel to the crankshaft, either directly or through a gear train.
(1) Full Revolution Clutch. A type of clutch that, when tripped, cannot be disengaged until the crankshaft has completed a full revolution and the press slide a full stroke.
(2) Part Revolution Clutch. A type of clutch that can be disengaged at any point before the crankshaft has completed a full revolution and the press slide a full stroke.
Concurrent. Acting in conjunction, and is used to describe a situation wherein two or more controls exist in an operated condition at the same time.
Control System. Sensors, manual input and mode selection elements, interlocking and decision-making circuitry, and output elements to the press operating mechanism.
Continuous. Uninterrupted multiple strokes of the slide without intervening stops (or other clutch control action) at the end of individual strokes.
Counter-balance. The mechanism that is used to balance or support the weight of the connecting rods, slide, and slide attachments.
Device. A press control or attachment that: 
(A) Restrains the operator from inadvertently reaching into the point of operation, or
(B) Prevents normal press operation if the operator's hands are within the point of operation as the dies close.
(C) Automatically withdraws the operator's hands if the operator's hands are within the point of operation as the dies close, or
(D) Prevents the initiation of a stroke, or stops stroke in progress, when there is an intrusion through the sensing field by any part of the operator's body or by any other object, or
(E) Locating single cycle operating controls so that the slide completes its downward travel or stops the ram motion before the operator's hands can reach into the point of operation.
Combined Stroking-Control Systems. Combined stroking-control systems are two independent control systems on the same machine, only one of which is used at a time.
Die. The tooling used in a press for cutting or forming material. An upper and a lower die make a complete set. 
Die Builder. Any person who builds dies for power presses. 
Die Set. A tool holder held in alignment by guide posts and bushings and consisting of a lower shoe, an upper shoe or punch holder, and guide posts and bushings. 
Die Setter. An individual who places or removes dies in or from mechanical power presses, and who, as a part of his duties, makes the necessary adjustments to cause the tooling to function properly and safely. 
Die Setting. The process of placing or removing dies in or from a power press, and the process of adjusting the dies, other tooling and safeguarding means to cause them to function properly and safely. 
Die Shoe. A plate or block upon which a die holder is mounted. A die shoe functions primarily as a base for the complete die assembly, and, when used, is bolted or clamped to the bolster plate or the face of slide.
Direct Drive. The type of driving arrangement wherein no clutch is used; coupling and decoupling of the driving torque is accomplished by energization and de-energization of a motor. Even though not employing a clutch, direct drives match the operational characteristics of “part revolution clutches” because the driving power may be disengaged during the stroke of the press. 
Division-Recognized Third Party Validation Organization. An independent third-party validation organization which has been recognized by the U.S. Labor Department, Occupational Safety and Health Administration (OSHA) in accordance with the requirements specified in Appendix C of paragraph (h), 29 CFR 1910.217, revised March 14, 1988 which is hereby incorporated by reference.
Ejector. A mechanism for removing work or material from between the dies. 
Face of Slide. The bottom surface of the slide to which the punch or upper die is generally attached. 
Feeding. The process of placing or removing material within or from the point of operation. 
Foot Control. The foot operated control mechanism designed to be used with a clutch or clutch/brake control system. 
Foot, Kick, and Hand Presses. Machines actuated by foot or hand power only, and fitted with rams or dies for the purposes of blanking, trimming, drawing, punching or stamping, forming or assembling cold material. 
Foot Pedal. The foot operated lever designed to operate the mechanical linkage that engages the clutch and/or disengages the brake. 
Gate or Movable Barrier Device. A movable barrier arranged to enclose the point of operation before the press stroke can be started. 
Guide Post. The pin attached to the upper or lower die shoe, operating within the bushing on the opposing die shoe, to maintain the alignment of the upper and lower dies. 
Hand Feeding Tool. Any hand-held tool designed for placing or removing material or parts to be processed within or from the point of operation. 
Holdout or Restraint Device. A mechanism, including attachments for operator's hands, that when anchored and adjusted, prevent the operator's hands from entering the point of operation. 
Inch. An intermittent motion imparted to the slide (on machines using part revolution clutches) by momentary operation of the “Inch” operating means. Operation of the “Inch” operating means engages the driving clutch so that a small portion of one stroke or indefinite stroking can occur, depending upon the length of time the “Inch” operating means is held operated. “Inch” is a function used by the die setter for setup of dies and tooling, but is not intended for use during production operations by the operator. 
Jog. An intermittent motion imparted to the slide by momentary operation of the drive motor, after the clutch is engaged with the flywheel at rest. 
Knockout. A mechanism for releasing material from either die. 
Liftout. The mechanism also known as knockout. 
Manual Feeding. Feeding wherein the material or part being processed is handled by the operator on each stroke of the press. 
Operator's Station. The complete complement of controls used by or available to an operator on a given operation for stroking the press. 
Pinch Point. Any point other than the point of operation at which it is possible for a part of the body to be caught between the moving parts of a press or auxiliary equipment, or between moving and stationary parts of a press or auxiliary equipment or between the material and moving part or parts of the press or auxiliary equipment. 
Point of Operation. (See section 4188(a).) 
Power Operated Presses. For the purposes of Article 55, power operated presses include all mechanically powered machines that shear, punch, form, or assemble metal or other materials by means of tools or dies attached to or actuated by slides, commonly referred to as mechanical power presses (punch presses), press brakes, hydraulic power presses (punch presses), and rivet setting machines. 
Power Press, Hydraulic (Punch Press). A machine which is hydraulically powered that shears, punches, forms, draws, or assembles metal or other material by means of tools attached to or actuated by slides. 
Power Press, Mechanical (Punch Press). A mechanically powered machine that shears, punches, forms or assembles metal or other material by means of cutting, shaping, or combination dies attached to or actuated by slides. A press consists of a stationary bed or anvil, and a slide (or slides) having a controlled reciprocating motion toward and away from the bed surface, the slide being guided in a definite path by the frame of the press. 
Power Press, Pneumatic. A machine which derives its primary mechanical action (i.e. shearing, punching, bending, forming, drawing, extruding, assembly or other action) from a pneumatic energy source (i.e. pneumatically driven ram). A fully pneumatic power press differs from a mechanical or hydraulic press which may utilize pneumatic systems to only activate a brake/clutch, slide counterbalance or other system but which uses mechanical means or hydraulic fluid to power the ram.
Presence Sensing Device. A device designed, constructed and arranged to create a sensing field or area that signals the clutch/brake control to deactivate the clutch and activate the brake of the press when any part of the operator's body or a hand tool is within such field or area.
Presence Sensing Device Initiation. An operating mode of indirect manual initiation of a single stroke by a presence sensing device when it senses that work motions of the operator, related to feeding and/or removing parts, are completed and all parts of the operator's body or hand tools are safely clear of the point of operation.
Press Brake Die, General-Purpose. A die set used to perform common bending and forming operations on a variety of piece parts or products and not designed for a unique or unusual part or product.
Press Brake, General-Purpose. A mechanically or hydraulically operated machine having only one operator at the front of the machine and with a single operating foot control device which permits the operator to exercise full and final control over the movement of the ram.
Press Brake, Special-Purpose. A machine that can be mechanically or hydraulically operated by one or more operators from the front of the machine, each provided with an operating control station. Concurrent operation of each station being used is required to place the ram in motion.
Ram. See definition for Slide.
Repeat. An unintended or unexpected successive stroke of the press resulting from a malfunction.
Rivet Setting Equipment. Powered machines designed to insert and clinch fasteners commonly called rivets.
Safety Block. A prop that, when inserted between the upper and lower dies or between the bolster plate and the face of the slide, prevents the slide from falling of its own deadweight.
Safety System. The integrated total system, including the pertinent elements of the press; the controls; the safeguarding, any required supplemental safeguarding, and their interfaces with the operator; and the environment designed, constructed and arranged to operate together as a unit, such that a single failure or single operating error will not cause injury to personnel due to point of operation hazards.
Setting up Operations. Operations in which fixtures or tooling which support, secure, or act upon the workpiece are mounted on the machine surfaces or in machine components designed to accept such tooling.
Single Stroke. One complete stroke of the slide, usually initiated from a full open (or up) position.
Single Stroke Control. An arrangement used to limit the travel of the slide to one complete stroke at each engagement of the clutch.
Slide. A reciprocating part of the machine or press. It is also referred to as a ram, plunger, platen, or mandrel.
Stop Control. An operator control designed to immediately deactivate the clutch control and activate the brake to stop slide motion.
Stripper. A mechanism or die part for removing the parts of material from the punch.
Stroking Selector. The part of the clutch/brake control that determines the type of stroking when the operating means is actuated. The stroking selector generally includes positions for “Off” (Clutch Control), “Inch,” “Single Stroke,” and “Continuous” (when continuous is furnished).
Trip or (tripping). Activation of the clutch to “run” the press.
Turnover Bar. A bar used in die setting to manually turn the crankshaft of the press.
Unitized Tooling. A type of die in which the upper and lower members are incorporated into a self-contained unit so arranged as to hold the die members in alignment.
Validation or Validate. For PSDI safety systems that a Division-recognized third-party validation organization:
(A) For design certification/validation has reviewed the manufacturer's certification that the PSDI safety system meets the requirements of sections 4192 through 4211 and Appendix A and the underlying tests and analyses performed by the manufacturer, has performed additional tests and analyses which may be required by sections 4192 through 4211 and Appendix A, and concludes that the requirements of sections 4192 through 4211 and Appendix A have been met; and 
(B) For installation certification/validation and annual recertification/revalidation has reviewed the employer's certification that the PSDI safety system meets the requirements of sections 4192 through 4211 and Appendix A and the underlying tests performed by the employer, has performed additional tests and analyses which may be required by sections 4192 through 4211 and Appendix A, and concludes that the requirements of sections 4192 through 4211 and Appendix A have been met.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from section 4187 filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. New subsection (3) and renumbering of subsection (3) to (4) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Amendment filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
4. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
5. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
6. Amendment of subsection (b) filed 4-20-90; operative 5-20-90 (Register 90, No. 20).
7. Editorial correction of printing error inadvertently omitting text (Register 90, No. 44).
8. Editorial correction amending definition of Combined Stroking-Control Systems and reinserting definitions of Division-Recognized Third Party Validation Organization and Presence Sensing Device (Register 92, No. 33).
9. New definition of “Power Press, Pneumatic” filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
10. Amendment of definitions of ``Power Operated Presses,” ``Power Press, Hydraulic (Punch Press),” ``Power Press, Mechanical (Punch Press)” and ``Ram” and new definition of ``Slide” filed 5-7-2001; operative 6-6-2001 (Register 2001, No. 19).
11. Amendment adding definition of “Press Brake Die, General-Purpose” filed 1-5-2012; operative 2-4-2012 (Register 2012, No. 1).
Article 55. Power Operated Presses
§4189. Scope.
Note     •     History

The requirements of this article apply only to those mechanically or hydraulically powered machines that shear, punch, form, or assemble metal or other material by means of tools or dies attached to slides, commonly referred to as power operated presses. Pneumatic power presses (as defined in section 4188), hot bending and hot metal presses, forging presses and hammers are excluded from the requirements of this article.
Sections 4192 through 4211 of article 55 apply to all mechanical power presses (punch presses). Sections 4196 through 4202(a) and 4203 through 4205 of article 55 apply to all power operated presses regardless of type (with the exception of those machines excluded above).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 55 (sections 4189-4205) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Amendment filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
4. Amendment filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
5. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
6. Change without regulatory effect filed 4-26-90 pursuant to section 100, Title 1, California Code of Regulations (Register 90, No. 20).
7. Change without regulatory effect amending section filed 7-24-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 38).
8. Amendment filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
§4190. Control Identification.
Note     •     History

(a) All control buttons and switches for power operated presses shall be properly identified as to the function and purpose of such control buttons and switches.
(b) All control buttons and switches for power operated presses shall be color coded to conform to the following code:

Start, run, or inch 	--	Black, green, silver or other
		similar metallic color
Emergency stop 	--	Red
Cycle Stop or Auto Stop 	--	Yellow or red
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (4) and (38) and renumbering of subsections (5) through (50) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Repealer and new section filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).  
§4191. Power Presses and Foot and Hand Power Presses (Class A).
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29). 
§4192. Machines Using Full Revolution Positive Clutches.
Note     •     History

(a) Machines using full revolution clutches shall incorporate a single-stroke control. 

Exception: Automatically fed machines with the point of operation completely protected by a fixed barrier guard.
(b) If the single-stroke control is dependent upon spring action, the spring(s) shall be of the compression-type, operating on a rod or guided within a hole or tube, and designed to prevent interleaving of the spring coils in event of breakage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (c) and (d) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4193. Machines Using Part Revolution Clutches.
Note     •     History

(a) The clutch shall release and the brake shall be applied when the external clutch engaging means is removed, de-activated, or de-energized.
(b) A red color stop control shall be provided with the clutch/brake control system. Momentary operation of the stop control shall immediately de-activate the clutch and apply the brake. The stop control shall override any other control, and re-actuation of the clutch shall require use of the operating (tripping) means which has been selected. 

Exception: Mechanical press brakes.
(c) A means of selecting Off, “Inch,” Single Stroke, and Continuous (when the continuous function is furnished) shall be supplied with the clutch/brake control to select type of operation of the press. Fixing of selection shall be by means capable of supervision by the employer.
(d) The “Inch” operating means shall be designed to prevent exposure of the worker's hands within the point of operation by:
(1) Requiring the concurrent use of both hands to actuate the clutch, or
(2) Being a single control protected against accidental actuation and so located that the worker cannot reach into the point of operation while operating the single control.
(e) Two-hand controls for single stroke shall conform to the following requirements:
(1) Each hand control shall be protected against unintended operation and arranged by design, construction, and/or separation so that the concurrent use of both hands is required to activate the press.
(2) The control system shall be designed to require concurrent pressure from both hands during the die closing portion of the stroke.
(3) The control system shall incorporate an antirepeat feature.
(4) The control systems shall be designed to require release of all operators' hand controls before an interrupted stroke can be resumed.
(f) Controls for more than one operating station shall be designed to be activated and deactivated in complete sets of two operators' hand controls per operating station by means capable of being supervised by the employer. The clutch/brake control system shall be designed and constructed to prevent actuation of the clutch if all operating stations are bypassed.
(g) Those clutch/brake control systems which contain both single and continuous functions shall be designed so that completion of continuous circuits may be supervised by the employer. The initiation of continuous run shall require a prior action or decision by the operator in addition to the selection of Continuous on the stroking selector, before actuation of the operating means will result in continuous stroking.
(h) If foot and hand controls are provided, the selection method between hand and foot control shall be separate from the stroking selector and shall be designed so that the selection may be supervised by the employer.
(1) For those machines using pull back or restraining devices, the control system shall be such that when the foot control is used the necessary safeguards shall be required before the machine will operate.
(i) The control of air-clutch machines shall be designed to prevent a significant increase in the normal stopping time due to a failure within the operating valve mechanism, and to inhibit further operation if such failure does occur. This requirement shall not apply to machines intended only for continuous, automatic feeding applications.
(j) The clutch/brake control shall automatically de-activate in event of failure of the power or pressure supply for the clutch engaging means. Re-activation of the clutch shall require restoration of normal supply and the use of the activating control(s).
(k) The clutch/brake control shall automatically de-activate in event of failure of the counter-balance(s) air supply. Re-activation of the clutch shall require restoration of normal air supply and use of the activating control(s).
(l) Selection of bar operation shall be by means capable of being supervised by the employer. A separate pushbutton shall be employed to activate the clutch, and the clutch shall be activated only if the driver motor is de-energized.
(m) Where the operator feeds or removes parts by placing one or both hands in the point of operation, and a two-hand control, presence sensing device or Type B gate or movable barrier is used for safeguarding:
(1) The employer shall use a control system and a brake monitor which comply with Sections 4193(o) and 4200(b).
(2) The control of air clutch machines shall be designed to prevent a significant increase in the normal stopping time due to a failure within the operating valve mechanism, and to inhibit further operation if such failure does occur, where a part revolution clutch is employed.
(n) The employer shall provide means for handling scrap from roll feed or random length stock operations. Scrap cutters used in conjunction with scrap handling systems shall be safeguarded in accordance with Section 4236.
(o) When required by Section 4193(m) the control system shall be constructed so that a failure within the system does not prevent the normal stopping action from being applied to the press when required, but does prevent initiation of a successive stroke until the failure is corrected. The failure shall be detectable by a simple test, or indicated by the control system. This requirement does not apply to those elements of the control system which have no effect on the protection against point of operation injuries.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4194. Slide Counter-Balance Systems.
Note     •     History

(a) Spring counter-balance systems when used shall incorporate means to retain system parts in event of breakage.
(b) Spring counter-balances when used, shall have the capability to hold the slide and its attachments at midstroke, without brake applied.
(c) Air counter-balance cylinders shall incorporate means to retain the piston and rod in case of breakage or loosening.
(d) Air counter-balance cylinders shall have adequate capability to hold the slide and its attachments at any point in stroke, without brake applied.
(e) Air counter-balance cylinders shall incorporate means to prevent failure of capability (sudden loss of pressure) in event of air supply failure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4195. Air Controlling Equipment.
Note     •     History

Air controlling equipment shall be protected against foreign material and water entering the pneumatic system of the power operated press. A means of air lubrication shall be provided when needed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4196. Hydraulic Equipment.
Note     •     History

The maximum anticipated working pressures in any hydraulic system on a mechanical power operated press shall not exceed the safe working pressure rating of any component used in that system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4197. Design, Construction, Setting and Feeding of Dies.
Note     •     History

(a) General. It shall be the responsibility of the employer to:
(1) Use dies, safety devices and operating methods designed to eliminate hazards to operating personnel, and,
(2) Furnish and enforce the use of hand tools for freeing and removing stuck work or scrap pieces from the dies to avoid requiring the operator or other personnel from reaching into the point of operation.
Note: The employer should consider the design and use of dies and feeding mechanisms to eliminate the need of an operator(s) to place his/her hand(s) in the point of operation.
(b) Provision shall be made in both the upper and lower shoes for securely mounting the die to the bolster and slide. Where clamp caps or set screws are used in conjunction with punch stems, additional means of securing the upper shoe to the slide shall be used.
(c) Handling equipment attach points shall be provided on all dies requiring mechanical handling.
(d) If unitized tooling is used, the opening between the top of the punch holder and the face of the slide, or striking pad, shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsections(a) and (d) filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4198. Tonnage, Stroke, and Weight Designation.
Note     •     History

(a) All dies shall be:
(1) Stamped with the tonnage and stroke requirements, or have these characteristics recorded if these records are readily available to the die setter;
(2) Stamped to indicate upper die weight when necessary for air counter-balance pressure adjustment; and,
(3) Stamped to indicate complete die weight when handling equipment may become overloaded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (b) and (c) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. New NOTE filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4199. Diesetting.
Note     •     History

(a) The employer shall establish a diesetting procedure that will ensure compliance with this section.
(1) The employer shall provide spring loaded turnover bars for power operated presses designed to accept such turnover bars.
(2) The employer shall provide die stops or other means to prevent losing control of the die while setting or removing dies in power operated presses which are inclined.
(3) The employer shall provide and enforce the use of safety blocks for use whenever dies are being adjusted or repaired in the power operated press. 

Exception: Press brakes using general purpose dies.
(4) The employer shall provide brushes, swabs, lubricating rolls, and automatic or manual pressure guns so that operators and diesetters shall not be required to reach into the point of operation or other hazard areas to lubricate material, punches or dies.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4200. Brakes.
Note     •     History

(a) Brakes provided for stopping or holding a slide movement shall be inherently self-engaging by requiring power or force from an external source to cause disengagement. Brake capacity shall be sufficient to stop the motion of the slide quickly and capable of holding the slide and its attachments at any point in its travel.
(b) Brake System Monitoring. When required by Section 4193(m) of this section, the brake monitor shall meet the following requirements:
(1) Be so constructed as to automatically prevent the activation of a successive stroke if the stopping time or braking distance deteriorates to a point where the safety distance being utilized does not meet the requirements set forth in Section 4208(c)(4) or (g)(3). The brake monitor used with the Type B gate, movable barrier device, or presence sensing device shall be installed in a manner to detect slide top-stop overrun beyond the normal limit reasonably established by the employer.
(2) Be installed on a press in such a manner that it indicates when the performance of the braking system has deteriorated to the extent described in Subsection (b)(1) of this section; and
(3) Be constructed and installed in a manner to monitor brake system performance on each stroke.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4201. Pressure Vessels.
Note     •     History

All pressure vessels used in conjunction with power operated presses shall comply with Unfired Pressure Vessel Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4202. Inspection, Maintenance and Modification of Power Operated Presses.
Note     •     History

(a) The employer shall establish and follow a program of periodic and regular inspections of power operated presses to ensure that all parts, auxiliary equipment, and safeguards are in a safe operating condition and adjustment.
(b) A functional performance check shall be conducted at least once a week to determine the safe operating condition of the clutch/brake mechanism, anti-repeat feature and single stroke control. Necessary maintenance or repair or both shall be performed and completed before the press is operated. These requirements do not apply to those presses which comply with Sections 4200(b) and 4193(o).
(c) The employer shall maintain a certification record of inspections, tests, and maintenance work which includes the date of the inspection, test, or maintenance; the signature of the person who performed the inspection, test, or maintenance; and the serial number or other identifier of the press that was inspected, tested, or maintained.
(d) Any person who modifies a power operated press shall furnish instructions with the modifications to establish new or changed guidelines for use and care of the modified power operated press.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsection (b) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment of subsections (a) and (d) filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
4. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
5. Amendment of subsection (c) filed 3-5-90; operative 4-4-90 (Register 90, No. 12).
§4203. Training.
Note     •     History

(a) The employer shall ensure the continuing competence of personnel inspecting and maintaining power operated presses.
(b) The employer shall train and instruct the operator in the safe method of work before starting work on any operation covered by this section. The employer shall ensure by adequate supervision that correct operating procedures are being followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4204. Electrical.
Note     •     History

(a) All clutch/brake control electrical circuits shall be protected against the possibility of an accidental ground in the control circuit causing false operation of the power operated press. 
(b) Electrical clutch/brake control circuits shall incorporate features to minimize the possibility of an unintended stroke in the event of the failure of a control component to function properly, including relays, limit switches, and static output circuits.
(c) All electrical installations shall comply with the Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4205. Forward Drive Motor Interlocks.
Note     •     History

The clutch/brake control shall incorporate an automatic means to prevent initiation or continued activation of the single stroke or continuous functions unless the power operated press drive motor is energized and in the forward direction.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). For history of former Section 4205, See Register 75, No. 29. 
§4206. Safeguarding the Point of Operation.
Note     •     History

(a) General. The employer shall provide and ensure the use of properly applied and adjusted point of operation devices or guards for every operation performed on a power operated press.
(b) Where point of operation guards are used in conjunction with point of operation devices, the safeguarding shall meet the requirements of Article 55. 

Exception: When the point of operation opening is one-fourth-inch or less. See Figure G-8.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
3. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4207. Point of Operation Guards.
Note     •     History

(a) Every point of operation guard shall meet the following design, construction, application, and adjustment requirements:
(1) It shall prevent entry of hands or fingers into the point of operation by reaching through, over, under or around the guard;
(2) It shall conform to the maximum permissible openings of Figure G-8 and Table G-3;
(3) It shall, in itself, create no pinch point between the guard and moving machine parts;
(4) A hand tool such as a box, open end or adjustable wrench, socket or key wrench shall be required to remove the guard.
(5) It shall facilitate its inspection, and
(6) It shall offer maximum visibility of the point of operation consistent with the other requirements.
(b) A die enclosure guard shall be attached to the die shoe or stripper in a fixed position.
(c) An interlocked press barrier guard shall be attached to the press frame or bolster and shall be interlocked with the press clutch control so that the clutch cannot be activated unless the guard itself, or the hinged or movable sections of the guard are in position to conform to the maximum permissible openings of Figure G-8 and Table G-3.
(d) The hinged or movable sections of an interlocked press barrier guard shall not be used for manual feeding. The guard shall prevent opening of the interlocked section and reaching into the point of operation prior to die closure or prior to the cessation of slide motion. See Section 4208(b) regarding manual feeding through interlocked press barrier devices.
(e) The adjustable or fixed barrier guard shall be securely attached to the press bed, bolster plate, or die shoe, and shall be adjusted and operated in conformity with Figure G-8 and Table G-3. Adjustments shall be made only by authorized personnel whose qualifications include a knowledge of the provisions of Figure G-8 and Table G-3.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4208. Point of Operation Devices.
Note     •     History

(a) Point of operation devices shall protect the operator by:
(1) Preventing and/or stopping normal stroking of the press if the operator's hands are inadvertently placed in the point of operation; or
(2) Preventing the operator from inadvertently reaching into the point of operation; or
(3) Withdrawing the operator's hands if they are inadvertently located in the point of operation, as the dies close; or
(4) Preventing the operator from inadvertently reaching into the point of operation at all times; or
(5) Requiring application of both of the operator's hands to machine operating controls and locating such controls at such a safety distance from the point of operation that the slide completes the downward travel or stops before the operator can reach into the point of operation with his hands; or
(6) Enclosing the point of operation before a press stroke can be initiated, and maintaining this closed condition until the motion of the slide has ceased; or
(7) Enclosing the point of operation before a press stroke can be initiated, so as to prevent an operator from reaching into the point of operation prior to die closure or prior to cessation of slide motion during the downward stroke.
(b) A gate or movable barrier device shall protect the operator as follows:
(1) A Type A gate or movable barrier device shall protect the operator in the manner specified in subsection (a)(6) of this section, and
(2) A Type B gate or movable barrier device shall protect the operator in the manner specified in subsection (a)(7) of this section.
(c) A presence sensing point of operation device shall protect the operator as provided in subsection (a) (1) of this section, and shall be interlocked into the control circuit to prevent or stop slide motion if any part of the operator's hand or other part of his/her body is within the sensing field of the device during the downstroke of the press slide.
(1) The device shall not be used on machines using full revolution clutches.
(2) The device shall not be used as a tripping means to initiate slide motion, except when used in conformance with section 4208.1.
(3) The device shall be constructed so that a failure within the system does not prevent the normal stopping action from being applied to the press when required, but does prevent the initiation of a successive stroke until the failure is corrected. The failure shall be indicated by the system.
NOTE: Muting (bypassing of the protective function) of such device, during the upstroke of the press slide is permitted for the purpose of parts ejection, circuit checking, feeding and when material in contact with the dies being formed on a press brake passes through the sensing field.
(4) The safety distance (Ds) from the sensing field to the point of operation shall be greater than the distance determined by the following formula:
Ds = 63 inches/seconds X Ts
where:
Ds = minimum safety distance (inches); 63 inches/second = hand speed constant; and
Ts = stopping time of the press measured at approximately 90o position of crankshaft rotation (seconds).
(5) Guards shall be used to protect all areas of entry to the point of operation not protected by the presence sensing device.
(d) The pull-out device shall protect the operator as specified in subsection (a)(3) of this section, and shall include attachments of each of the operator's hands.
(1) Attachments shall be connected to and operated only by the press slide or upper die.
(2) Attachments shall be adjusted to prevent the operator from reaching into the point of operation or to withdraw the operator's hands from the point or operation before the dies close.
(3) A separate pull-out device shall be provided for each operator if more than one operator is used on a press.
(4) Each pull-out device in use shall be visually inspected and checked for proper adjustment at the start of each operator shift, following a new die set-up, and when operators are changed. Necessary maintenance or repair or both shall be performed and completed before the press is operated. Records of inspections and maintenance shall be kept in accordance with section 4202.
(e) The sweep device shall not be used of point of operation safeguarding.
(f) A holdout or a restraint device shall protect the operator as specified in subsection (a)(4) and shall include attachments for each of the operator's hands. Such attachments shall be securely anchored and adjusted in such a way that the operator is restrained from reaching into the point of operation. A separate set of restraints shall be provided for each operator if more than one operator is required on a press.
(g) The two-hand control device shall protect the operator as specified in subsection (a) (5) of this section.
(1) When used in press operations requiring more than one operator, separate two-hand controls shall be provided for each operator, and shall be designed to require concurrent application of all operators' controls to activate the slide. The removal of a hand from any control button shall cause the slide to stop.
(2) Each two-hand control shall meet the construction requirements of section 4193 (e).
(3) The safety distance (Ds) between the closest hand control device and the point of operation shall be greater than the distance determined by the following formula;
Ds = 63 inches/seconds X Ts; where:
Ds = minimum safety distance (inches); 63 inches/second = hand speed constant;and
Ts = stopping time of the press measured at approximately 90o position of crankshaft rotation (seconds).
(4) Two-hand controls shall be locked in position and shall be moved only by a qualified person authorized by the supervisor or if pedestal or pendant mounted, the location of the pedestal shall be determined by the employer in association with the requirements in subsection (g)(3).
(h) The two-hand trip device shall protect the operator as specified in subsection (a)(5) of this section.
(1) When used in press operations requiring more than one operator, separate two-hand trips shall be provided for each operator, and shall be designed to require concurrent application of all operator's controls to activate the slide.
(2) Each two-hand trip shall meet the construction requirements of section 4193(e).
(3) The safety distance (Dm) between closest two-hand trip and the point of operation shall be greater than the distance determined by the following formula:
Dm = 63 inches/second X Tm;
where:Dm -- minimum safety distance (inches); 63 inches/second = hand speed constant; and
Tm = The maximum time the press takes for the die closure after it has been tripped (seconds). For full revolution clutch presses with only one engaging point Tm is equal to the time necessary for one and one-half revolutions of the crankshaft. For full revolution clutch presses with more than one engaging point, Tm shall be calculated as follows:

View Graphic
(4) Two-handed trips shall be locked in position and shall be moved only by a qualified person authorized by the supervisor or if pedestal or pendant mounted, the location of the pedestal shall be determined by the employer in association with the requirements in subsection (h)(3).
(i) Hand feeding tools are intended for placing and removing materials in and from the press. Hand feeding tools are not a point of operation guard or protection device and shall not be used in lieu of the “guards” or devices required in this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsection (h)(2) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
3. Amendment of subsection (e) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
4. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85,No. 44).
5. Amendment of subsection (c)(2) filed 4-20-90; operative 5-20-90 (Register 90, No. 20).
6. Editorial correction of subsection (b)(1) (Register 97, No. 6).

Appendix A

Requirements for Certification/Validation of Safety Systems for Presence Sensing Device Initiation of Mechanical Power Presses

Purpose
The purpose of the certification/validation of safety systems for presence sensing device initiation (PSDI) of mechanical power presses is to ensure that the safety systems are designed, installed, and maintained in accordance with all applicable requirements of sections 4192 through 4211 and this Appendix A.

General
The certification/validation process shall utilize an independent third-party validation organization recognized by the U.S. Labor Department, Occupational Safety and Health Administration (OSHA) in accordance with the requirements specified in Appendix C of paragraph (h), 29 CFR 1910.217, revised March 14, 1988 which is hereby incorporated by reference.
While the employer is responsible for assuring that certification/validation requirements in section 4208.1(k) are fulfilled, the design certification of PSDI safety systems may be initiated by manufacturers, employers, and/or their representatives. The term “manufacturers” refers to the manufacturer of any of the components of the safety system. An employer who assembles a PSDI safety system would be a manufacturer as well as employer for purposes of section 4208.1 and this Appendix A.
The certification/validation process includes two stages. For design certification, in the first stage, the manufacturer (which can be an employer) certifies that the PSDI safety meets the applicable requirements of sections 4192 through 4211 and this Appendix A, based on appropriate design criteria and tests. In the second stage, the Division-recognized third-party validation organization validates that the PSDI safety system meets the applicable requirements of sections 4192 through 4211 and this Appendix A and the manufacturer's certification by reviewing the manufacturer's design and test data and performing any additional reviews required by sections 4192 through 4211.
For installation certification/validation and annual recertification/revalidation, in the first stage, the employer certifies or recertifies that the employer is installing or utilizing a PSDI safety system validated as meeting the applicable design requirements of sections 4192 through 4211 and this Appendix A by a Division-recognized third-party validation organization and that the installation, operation and maintenance meet the applicable requirements of sections 4192 through 4211 and this Appendix A. In the second stage, the Division-recognized third-party validation organization validates or revalidates that the PSDI safety system installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A and the employer's certification, by reviewing that the PSDI safety system has been certified; the employer's certification, designs and tests, if any; the installation, operation, maintenance and training; and by performing any additional tests and reviews which the validation organization believes is necessary.

Summary
The certification/validation of safety systems for PSDI shall consider the press, controls, safeguards, operator, and environment as an integrated system which shall comply with all of the applicable requirements in sections 4192 through 4211 and this Appendix A. The certification/validation process shall verify that the safety system complies with the safety requirements as follows:
A. Design Certification/Validation.
1. The major parts, components and subsystems used shall be defined by part number or serial number, as appropriate, and by manufacturer to establish the configuration of the system.
2. The identified parts, components and subsystems shall be certified by the manufacturer to be able to withstand the functional and operational environments of the PSDI safety system.
. The total system design shall be certified by the manufacturer as complying with the applicable requirements in sections 4192 through 4211 and this Appendix A.
4. The third-party validation organization shall validate the manufacturer's certification under paragraphs 2 and 3.
B. Installation Certification/Validation.
1. The employer shall certify that the PSDI safety system has been design certified and validated, that the installation meets the operational and environmental requirements specified by the manufacturer, that the installation drawings are accurate, and that the installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A. (The operational and installation requirements of the PSDI safety system may vary for different applications.)
2. The third-party validation organization shall validate the employer's certifications that the PSDI safety system is design certified and validated, that the installation meets the installation and environmental requirements specified by the manufacturer, and that the installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A.
C. Recertification/Revalidation.
1. The PSDI safety system shall remain under certification/validation for the shorter of one year; or until the system hardware is changed, modified or refurbished; or operating conditions are changed (including environmental, application or facility changes); or a failure of a critical component has occurred.
2. Annually or after a change specified in paragraph 1., the employer shall inspect and recertify the installation as meeting the requirements set forth under paragraph B., Installation Certification/Validation.
3. The third-party validation organization, annually or after a change specified in paragraph 1., shall validate the employer's certification that the requirements of paragraph B., Installation Certification/Validation, have been met.
Note: Such changes in operational conditions as die changes or press relocations not involving disassembly or revision to the safety system would not require recertification/revalidation.)

Certification/Validation Requirements
A. General Design Certification/Validation Requirements
1. Certification/Validation Program Requirements. The manufacturer shall certify and the Division-recognized third-party validation organization shall validate that:
a. The design of components, subsystems, software and assemblies meets applicable performance requirements and are ready for the intended use; and
b. The performance of combined subsystems meets applicable operational requirements.
2. Certification/Validation Program Level of Risk Evaluation Requirements. The manufacturer shall evaluate and certify, and the Division-recognized third-party validation organization shall validate the design and operation of the safety system by determining conformance with the following:
a. The safety system shall have the ability to sustain a single failure or a single operating error and not cause injury to personnel from point of operation hazards. Acceptable design features shall demonstrate, in the following order or precedence, that:
(1) No single failure points may cause injury; or
(2) Redundancy, comparison, and/or diagnostic checking exist for the critical items that may cause injury, and the electrical, electronic, electromechanical, and mechanical parts and components are selected so that they can withstand operational and external environments. The safety factor and/or derated percentage shall be specifically noted and complied with.
b. The manufacturer shall design, evaluate, test and certify, and the third-party validation organization shall evaluate and validate, that the PSDI safety system meets appropriate requirements in the following areas:
(1) Environmental Limits
(a) Temperature
(b) Relative humidity
(c) Vibration
(d) Fluid compatibility with other materials
(2) Design Limits
(a) Power Requirements
(b) Power transient tolerances
(c) Compatibility of materials used
(d) Material stress tolerances and limits
(e) Stability to long term power fluctuations
(f) Sensitivity to signal acquisition
(g) Repeatability of measured parameter without inadvertent initiation of a press stroke
(h) Operational life of components in cycles, hours, or both
(i) Electromagnetic tolerance to:
1. Specific operational wave lengths; and 
2. Externally generated wave lengths
3. New Design Certification/Validation. Design certification/validation for a new safety system, i.e., a new design or new integration of specifically identified components and subsystems, would entail a single certification/validation which would be applicable to all identical safety systems. It would not be necessary to repeat the tests on individual safety 
systems of the same manufacture or design. Nor would it be necessary to repeat these tests in the case of modifications where determined by the manufacturer and validated by the third-party validation organization to be equivalent by similarity analysis. Minor modifications not affecting the safety of the system may be made by the manufacturer without revalidation.
Substantial modifications would require testing as a new safety system, as deemed necessary by the validation organization.
B. Additional Detailed Design Certification/Validation Requirements
1. General. The manufacturer or the manufacturer's representative shall certify to and submit to a Division-recognized third-party validation organization the documentation necessary to demonstrate that the PSDI safety system design is in full compliance with the requirements of sections 4192 through 4211 and this Appendix A, as applicable, by means of analysis, tests, or combination of both, establishing that the following additional certification/validation requirements are fulfilled.
2. Reaction Times. For the purpose of demonstrating compliance with the reaction time required by section 4208.1, the tests shall use the following definitions and requirements:
a. “Reaction time” means the time, in seconds, it takes the signal, required to activate/deactivate the system, to travel through the system, measured from the time of signal initiation to the time the function being measured is completed.
b. “Full Stop” or “No movement of the slide or ram” means when the crankshaft rotation has slowed to two or less revolutions per minute, just before stopping completely.
c. “Function completion” means for electrical, electromechanical and electronic devices, when the circuit produces a change of state in the output element of the device.
d. When the change of state is motion, the measurement shall be made at the completion of the motion.
e. The generation of the test signal introduced into the system for measuring reaction time shall be such that the initiation time can be established with an error of less than 0.5 percent of the reaction time measured.
f. The instrument used to measure reaction time shall be calibrated to be accurate to within 0.001 second.
3. Compliance with section 4208.1(b)(2). For compliance with these requirements, the average value of the stopping time (Ts) shall be the arithmetic mean of at least 25 stops for each stop angle initiation measured with the brake and/or clutch unused, 50 percent worn, and 90 percent worn. The recommendations of the brake system manufacturer shall be used to simulate or estimate the brake wear. The manufacturer's recommended minimum lining depth shall be identified and documented, and an evaluation made that the minimum depth will not be exceeded before the next (annual) recertification/revalidation. A correlation of the brake and/or clutch degradation based on the above tests and/or estimates shall be made and documented. The results shall document the conditions under which the brake and/or clutch will and will not comply with the requirement. Based upon this determination, a scale shall be developed to indicate the allowable 10 percent of the stopping time at the top of the stroke for slide or ram overtravel due to brake wear. The scale shall be marked to indicate that brake adjustment and/or replacement is required. The explanation and use of the scale shall be documented.
The test specification and procedure shall be submitted to the validation organization for review and validation prior to the test. The validation organization representative shall witness at least one set of tests.
4. Compliance with sections 4208.1(e)(3) and (i)(6). Each reaction time required to calculate the Safety Distance, including the brake monitor setting, shall be documented in separate reaction time tests. These tests shall specify the acceptable tolerance band sufficient to assure that tolerance build-up will not render the safety distance unsafe.
a. Integrated test of the press fully equipped to operate in the PSDI mode shall be conducted to establish the total system reaction time.
b. Brakes which are the adjustable type shall be adjusted properly before the test.
5. Compliance with section 4208.1(b)(3).
a. Prior to conducting the brake system test required by section 4208.1(b)(2), a visual check shall be made of the springs. The visual check shall include a determination that the spring housing or rod does not show damage sufficient to degrade the structural integrity of the unit and the spring does not show any tendency to interleave.
b. Any detected broken or unserviceable springs shall be replaced before the test is conducted. The test shall be considered successful if the stopping time remains within that which is determined by section 4208.1(i)(6), for the safety distance setting. If the increase in press stopping time exceeds the brake monitor setting limit defined in section 4208.1(e)(3), the test shall be considered unsuccessful and the cause of the excessive stopping time shall be investigated. It shall be ascertained that the springs have not been broken and that they are functioning properly.
6. Compliance with section 4208.1(g).
a. Tests which are conducted by the manufacturers of electrical components to establish stress, life, temperature and loading limits must be tests which are in compliance with the provisions of the National Electrical Code.
b. Electrical and/or electronic cards or boards assembled with discreet components shall be considered a subsystem and shall require separate testing that the subsystems do not degrade in any of the following conditions:
(1) Ambient temperature variation from 20o C to -50o C.
(2) Ambient relative humidity of 99 percent.
(3) Vibration of 45G for one millisecond per stroke when the item is to be mounted on the press frame.
(4) Electromagnetic interference at the same wavelengths used for the radiation sensing field, at the power line frequency fundamental and harmonics, and also from autogenous radiation due to system switching.
(5) Electrical power supply variations of -15 percent.
c. The manufacturer shall specify the test requirements and procedures from existing consensus tests in compliance with the provisions of the National Electrical Code.
d. Tests designed by the manufacturer shall be made available upon request to the validation organization. The validation organization representative shall witness at least one set of each of these tests.
7. Compliance with section 4208.1(i)(5).
a. The manufacturer shall design a test to demonstrate that the prescribed minimum object sensitivity of the presence sensing device is met.
b. The test specifications and procedures shall be made available upon request to the validation organization.
8. Compliance with section 4208.1(i)(11).
a. The manufacturer shall design a test(s) to establish the hand tool extension diameters allowed for variations in minimum object sensitivity response.
b. The test(s) shall document the range of object diameter sizes which will produce both single and double break conditions.
c. The test(s) specifications and procedures shall be made available upon request to the validation organization.
9. Integrated Tests Certification/Validation.
a. The manufacturer shall design a set of integrated tests to demonstrate compliance with the following requirements:
Sections 4208.1 f(2), (3), (4), (5), (6), (7), (8), (9), (11), (12), (13), (14) and (16).
b. The integrated test specifications and procedures shall be made available to the validation organization.
10. Analysis.
a. The manufacturer shall submit to the validation organization the technical analysis such as Hazard Analysis, Failure Mode and Effect Analysis, Stress Analysis, Component and Material Selection Analysis, Fluid Compatibility, and/or other analyses which may be necessary to demonstrate compliance with the following requirements:
Sections 4201.8 (b)(1), (3),; (c)(1)(A), (c)(1)(C), (c)(2); (e)(1), (2), (3); (f)(1), (3), (4), (6), (7), (8), (9), (10), (11), (12), (13), (14), (15), (16); (g); (h)(1), (2); (i)(5), (6), (9), (10), (11); (j)(1) and (2).
11. Types of tests Acceptable for Certification/Validation.
a. Test results obtained from development testing may be used to certify/validate the design.
b. The test results shall provide the engineering data necessary to establish confidence that the hardware and software will meet specifications; the manufacturing process has adequate quality control; and the data acquired was used to establish processes, procedures, and test levels supporting subsequent hardware design, production, installation and maintenance.
12. Validation for Design Certification/Validation.
If, after review of all documentation, tests, analyses, manufacturer's certifications, and any additional tests which the third-party validation organization believes are necessary , the third-party validation organization determines that the PSDI safety system is in full compliance with the applicable requirements of sections 4192 through 4211 and this Appendix A, it shall validate the manufacturer's certification that it so meets the stated requirements.
C. Installation Certification/Validation Requirements
1. The employer shall evaluate and test the PSDI system installation, shall submit to the Division-recognized third-party validation organization the necessary supporting documentation, and shall certify that the applicable requirements of sections 4192 through 4211 and this Appendix A have been met and that the installation is proper.
2. The Division-recognized third-party validation organization shall conduct tests, and/or review and evaluate the employer's installation tests, documentation and representations. If it so determines, it shall validate the employer's certification that the PSDI safety system is in full conformance with all applicable requirements of sections 4192 through 4211 and this Appendix A.
D. Recertification/Revalidation Requirements
1. A PSDI safety system which has received installation certification/validation shall undergo recertification/revalidation the earlier of:
a. Each time the systems hardware is significantly changed, modified, or refurbished;
b. Each time the operational conditions are significantly changed (including environmental, application or facility changes, but excluding such changes as die changes or press relocations not involving revision to the safety system);
c. When a failure of a significant component has occurred or a change has been made which may affect safety; or
d. When one year has elapsed since the installation certification/validation or the last recertification/revalidation.
2. Conduct of recertification/revalidation. The employer shall evaluate and test the PSDI safety system installation, shall submit to the Division-recognized third-party validation organization the necessary supporting documentation, and shall recertify that the applicable requirements of sections 4192 through 4211 and this Appendix are being met. The documentation shall include, but not be limited to, the following items:
a. Demonstration of a thorough inspection of the entire press and PSDI safety system to ascertain that the installation, components and safeguarding have not been changed, modified or tampered with since the installation certification/validation or last recertification/revalidation was made.
b. Demonstrations that such adjustments as may be needed (such as to the brake monitor setting) have been accomplished with proper changes made in the records and on such notices as are located on the press and safety system.
c. Demonstration that review has been made of the reports covering the design certification/validation, the installation certification/validation, and all recertification/revalidations in order to detect any degradation to an unsafe condition, and that necessary changes have been made to restore the safety system to previous certification/validation levels.
3. The Division-recognized third-party validation organization shall conduct tests, and/or review and evaluate the employer's installation, tests, documentation and representations. If it so determines, it shall revalidate the employer's recertification that the PSDI system is in full conformance with all requirements of sections 4192 through 4211 and this Appendix A.
HISTORY

1. New Appendix A filed 4-20-90; operative 5-20-90 (Register 90, No. 20).
§4208.1. Presence Sensing Device Initiation (PSDI).
Note     •     History

(a) General. The requirements of section 4208.1 shall apply to all part revolution mechanical power presses used in the PSDI mode of operation.
(1) The applicable requirements of sections 4192 through 4211 shall apply to all presses used in the PSDI mode of operation, whether or not crossed referenced in this section. Such cross-referencing of specific requirements from sections 4192 through 4211 is intended only to enhance convenience and understanding in relating the new provisions to the existing standard, and is not to be construed as limiting the applicability of other provisions in sections 4192 through 4211.
(2) Full revolution mechanical power presses shall not be used in the PSDI mode of operation.
(3) Mechanical power presses with a configuration which would allow a person to enter, pass through, and become clear of the sensing field into the hazardous portion of the press shall not be used in the PSDI mode of operation.
(4) The PSDI mode of operation shall be used only for normal production operations. Die-setting and maintenance procedures shall comply with sections 4192 through 4211, and shall not be done in the PSDI mode.
(b) Brake and Clutch Requirements.
(1) Presses with flexible steel band brakes or with mechanical linkage actuated brakes or clutches shall not be used in the PSDI mode.
(2) Brake systems on presses used in the PSDI mode shall have sufficient torque so that each average value of stopping times (Ts) for stops initiated at approximately 45 degrees, 60 degrees, and 90 degrees, respectively, of crankshaft angular position, shall not be more than 125 percent of the average value of the stopping time at the top crankshaft position. Compliance with this requirement shall be determined by using the heaviest upper die to be used on the press, and operating at the fastest press speed if there is speed selection.
(3) Where brake engagement and clutch release is effected by spring action, such spring(s) shall operate in compression on a rod or within a hole or tube, and shall be of non-interleaving design.
(c) Pneumatic Systems.
(1) Air Valve and Air Pressure Supply/Control.
(A) The requirements of sections 4193j, 4193k, 4195, 4201, and 4193(i) apply to the pneumatic systems of machines used in the PSDI mode.
(B) The air supply for pneumatic clutch/brake control valves shall incorporate a filter, an air regulator, and, when necessary for proper operation, a lubricator.
(C) The air pressure supply for clutch/break valves on machines used in the PSDI mode shall be regulated to pressures less than or equal to the air pressure used when making the stop time measurements required by section 4208.1(b)(2).
(2) Air Counterbalance Systems.
(A) Where presses that have slide counterbalance systems are used in the PSDI mode, the counterbalance system shall also meet the requirements of section 4194.
(B) Counterbalances shall be adjusted in accordance with the press manufacturer's recommendations to assure correct counterbalancing of the slide attachment (upper die) weight for all operations performed on presses used in the PSDI mode. The adjustments shall be made before performing the stopping time measurements required by paragraphs (b)(2), (e)(3), and (i)(6) of this section.
(d) Flywheels and Bearings.
(1) Presses whose design incorporates flywheels running on journals on the crankshaft or back shaft, or bull gears running on journals mounted on the crankshaft, shall be inspected, lubricated, and maintained as provided in paragraph (j) of this section to reduce the possibility of unintended and uncontrolled press strokes caused bearing seizure.
(e) Brake Monitoring.
(1) Presses operated in the PSDI mode shall be equipped with a brake monitor that meets the requirements of sections 4193(o) and 4200(b). In addition, the brake monitor shall be adjusted during installation certification to prevent successive stroking of the press, if increases in stopping time cause an increase in the safety distance above that required by paragraph (i)(6) of this section.
(2) Once the PSDI safety system has been certified/validated, adjustment of the brake monitor shall not be done without prior approval of the validation organization for both the brake monitor adjustment and the corresponding adjustment in the safety distance. The validation organization shall in its installation validation, state that in what circumstances, if any, the employer has advance approval for adjustment, when prior oral approval is appropriate, and when prior approval must be in writing. The adjustment shall be done under the supervision of an authorized person whose qualifications include knowledge of safety distance requirements and experience with the brake system and its adjustment. When brake wear or other factors extend press stopping time beyond the limit permitted by the brake monitor; adjustment, repair or maintenance shall be performed on the brake or other press system element that extends the stopping time.
(3) The brake monitor setting shall allow an increase of no more than 10 percent of the longest stopping time for the press or 10 milliseconds, whichever is longer, measured at the top of the stroke.
(f) Cycle Control and Control Systems.
(1) The control system on presses used in the PSDI mode shall meet the applicable requirements of sections 4193, 4204, 4193(o), and 4193(m).
(2) The control system shall incorporate a means of dynamically monitoring for decoupling of the rotary position indicating mechanism drive from the crankshaft. This monitor shall stop slide motion and prevent successive press strokes if decoupling occurs, or if the monitor itself fails.
(3) The mode selection means of section 4193(c) shall have at least one position for selection of the PSDI mode. Where more than one interruption of the light sensing field is used in the initiation of the stoke, either the mode selection means must have one position for each function or a separate selection means shall be provided which becomes operable when the PSDI mode is selected. Selection of PSDI mode and the number of interruptions/withdrawals of the light sensing field required to initiate a press cycle shall be by means capable of supervision by the employer.
(4) A PSDI set-up/reset means shall be provided which requires an overt action by the operator, in addition to PSDI mode selection, before operation of the press by means of PSDI can be started.
(5) An indicator visible to the operator and readily seen by the employer shall be provided which shall clearly indicate that the system is set-up for cycling in the PSDI mode.
(6) The control system shall incorporate a timer to deactivate PSDI when the press does not stroke within the period of time set by the timer. The timer shall be manually adjustable, to a maximum time of 30 seconds. For any timer setting greater than 15 seconds, the adjustment shall be made by the use of a special tool available only to authorized persons. Following a deactivation of PSDI by the timer, the system shall make it necessary to reset the set-up/reset means in order to reactivate the PSDI mode.
(7) Reactivation of PSDI operation following deactivation of the PSDI mode from any other cause, such as activation of the red color stop control required by section 4193(b), interruption of the presence sensing field, opening of an interlock, or reselection of the number of sensing field interruptions/withdrawals required to cycle the press, shall require resetting of the set-up/reset means.
(8) The control system shall incorporate an automatic means to prevent initiation or continue operation in the PSDI mode, unless the press drive motor is energized in the forward direction of crankshaft rotation.
(9) The control design shall preclude any movement of the slide caused by operation of power on, power off, selector switches, or from checks for proper operations as required by section 4208.1(f)(13).
(10) All components and subsystems of the control system shall be designed to operate together to provide total control system compliance with the requirements of this section.
(11) Where there is more than one operator of a press used for PSDI, each operator shall be protected by a separate, independently functioning, presence sensing device. The control system shall require that each sensing field be interrupted, the selected number of times prior to initiating a stroke. Further, each operator shall be provided with a set-up/reset means that meets the requirements of section 4208.1(f), and which must be actuated to initiate operation of the press in the PSDI mode.
(12) The control system shall incorporate interlocks for supplemental guards, if used, which will prevent stroke initiation or will stop a stroke in progress if any supplemental guard fails or is deactivated.
(13) The control system shall perform checks for proper operation of all cycle control logic element switches and contacts at least once each cycle. Control elements shall be checked for correct status after power “on” and before the initial PSDI stroke.
(14) The control system shall have provisions for an “inch” operating means meeting the requirements of section 4193(d). Die-setting shall not be done in the PSDI mode. Production shall not be done in the “inch” mode.
(15) The control system shall permit only a single stroke per initiation command.
(16) Controls with internally stored programs (e.g., mechanical, electro-mechanical, or electronic) shall meet the requirements of section 4193(o), and shall default to a predetermined safe condition in the event of any single failure within the system. Programmable controllers which meet the requirements for controls with internally stored programs stated above, shall be permitted only if all logic elements affecting the safety system and point of operation safety are internally stored and protected in such a manner that they cannot be altered or manipulated by the user to an unsafe condition.
(g) Environmental Requirements. Control components shall be selected, constructed, and connected together in such a way as to withstand expected operational and environmental stresses, at least including those outlined in Appendix A. Such stresses shall not so affect the control system as to cause unsafe operation.
(h) Safety System.
(1) Mechanical power presses used in the PSDI mode shall be operated under the control of a safety system which, in addition to meeting the applicable requirements of sections 4193(o) and 4193(m) and other applicable provisions of this section, shall function such that a single failure or single operating error shall not cause injury to personnel from point of operation hazards.
(2) The safety system shall be designed, constructed, and arranged as an integral total system including all elements of the press; the controls; the safeguarding, any required supplemental safeguarding, and their interfaces with the operator; and that part of the environment which has effect on the protection against point of operation hazards.
(i) Safeguarding the Point of Operation.
(l) The point of operation of presses operated in the PSDI mode shall be safeguarded in accordance with the requirements of section 4206, except that the safety distance requirement of section 4208.1(i)(6) shall be used for PSDI operation.
(2) PSDI shall be implemented only by use of light curtain (photoelectric) presence sensing devices which meet the requirements of paragraph 4208(c)(3), unless the requirements of the following paragraph have been met.
(3) Alternatives to photo-electric light curtains may be used for PSDI when the employer can demonstrate, through tests and analysis by the employer or the manufacturer, that the alternative is as safe as the photo-electric light curtain, that the alternative meets the conditions of this section, and that the alternative has the same long term reliability as light curtains and can be integrated into the entire safety system as provided for in this section. Prior to use, both the employer and manufacturer must certify that these requirements and all the other applicable requirements of this section are met, and these certifications must be validated by a Division-recognized third-party validation organization to meet these additional requirements and all the other applicable requirements of sections 4192 through 4211 and Appendix A of this section. Three months prior to the operation of any alternative system, the employer must notify the Division of the name of the system to be installed, the manufacturer, and the Division-recognized third-party validation organization. Upon request, the employer must make available to the Division all tests and analyses for Division review.
(4) Individual sensing fields of presence sensing devices used to initiate strokes in the PSDI mode shall cover only one side of the press.
(5) Light curtains used for PSDI operation shall have minimum object sensitivity not to exceed one and one-fourth inches. Where light curtain object sensitivity is user-adjustable, either discretely or continuously, design features shall limit the minimum object sensitivity adjustment not exceed one and one-fourth inches. Blanking of the sensing field is not permitted.
(6) The safety distance (Ds) from the sensing field of the presence sensing device to the point of operation shall be greater than or equal to the distance determined by the formula:
Ds = Hs (Ts + Tp + Tr + 2Tm) + Dp
Where:
Ds = Minimum safety distance.
Hs = Hand speed constant of 63 inches per second.
Ts = Longest press stopping time, in seconds, computed by taking averages of multiple measurements at each of three positions (45 degrees, 60 degrees, and 90 degrees) of crankshaft angular position; the longest of the three averages is the stopping time to use. (Ts is defined as the sum of the kinetic energy dissipation time plus the pneumatic/magnetic/hydraulic reaction time of the clutch/brake operating mechanism(s).)
Tp = Longest presence sensing device response time, in seconds.
Tr = Longest response time, in seconds, of all interposing control elements between the presence sensing device and the clutch/brake operating mechanism(s).
Tm = Increase in the press stopping time at the top of the stroke, in seconds, allowed by the brake monitor for brake wear. The time increase allowed shall be limited to no more than 10 percent of the longest press stopping time measured at the top of the stroke, or 10 milliseconds, whichever is longer.
Dp = Penetration depth factor, required to provide for possible penetration through the presence sensing field by fingers or hand before detection occurs. The penetration depth factor shall be determined from Figure G-9 using the minimum object sensitivity size.

Penetration Depth Factor Calculation
Figure G-9

View Graphic
(7) The presence sensing device location shall either be set at each tool change and set-up to provide at least the minimum safety distance, or fixed in location to provide a safety distance greater than or equal to the minimum safety distance for all tooling set-ups which are to be used on that press.
(8) Where presence sensing device location is adjustable, adjustment shall require the use of a special tool available only to authorized persons.
(9) Supplemental safeguarding shall be used to protect all areas of access to the point of operation which are unprotected by the PSDI presence sensing device. Such supplemental safeguarding shall consist of either additional light curtain (photo-electric) presence sensing devices or other types of guards which meet the requirements of sections 4207 and 4208.1.
(A) Presence sensing devices used as supplemental safeguarding shall not initiate a press stroke, and shall conform to the requirements of section 4208(c) and other applicable provisions of this section, except that the safety distance shall comply with section 4208.1(i)(6).
(B) Guards used as supplemental safeguarding shall conform to the design, construction and application requirements of section 4207, and shall be interlocked with the press control to prevent press PSDI operation if the guard fails, is removed, or is out of position.
(10) Barriers shall be fixed to the press frame or bolster to prevent personnel from passing completely through the sensing field, where safety distance or press configuration is such that personnel could pass through the PSDI presence sensing field and assume a position where the point of operation could be accessed without detection by the PSDI presence sensing device. As an alternative, supplemental presence sensing devices used only in the safeguard mode may be provided. If used, these devices shall be located so as to detect all operator locations and positions not detected by the PSDI sensing field, and shall prevent stroking or stop a stroke in process when any supplemental sensing field(s) are interrupted.
(11) Hand tools. Where tools are used for feeding, removal of scrap, lubrication of parts, or removal of parts that stick on the die in PSDI operations:
(A) The minimum diameter of the tool handle extension shall be greater than the minimum object sensitivity of the presence sensing device(s) used to initiate press strokes; or
(B) The length of the hand tool shall be such as to ensure that the operator's hand will be detected for any safety distance required by the press set-ups.
(j) Inspection and Maintenance.
(l) Any press equipped with presence sensing devices for use in PSDI, or for supplemental safeguarding on presses used in the PSDI mode, shall be equipped with a test rod of diameter specified by the presence sensing device manufacturer to represent the minimum object sensitivity of the sensing field. Instructions for use of the test rod shall be noted on a label affixed to the presence sensing device.
(2) The following checks shall be made at the beginning of each shift and whenever a die change is made:
(A) A check shall be performed using the test rod, according to the presence sensing device manufacturer's instructions, to determine that the presence sensing device, used for PSDI is operational.
(B) The safety distance shall be checked for compliance with section 4208.1(i)(6).
(C) A check shall be made to determine that all supplemental safeguarding is in place. Where presence sensing devices are used for supplemental safeguarding, a check for proper operation shall be performed using the test rod according to the presence sensing device manufacturer's instructions.
(D) A check shall be made to assure that the barriers and/or supplemental presence sensing devices, required by section 4208.1(i)(10), are operating properly.
(E) A system or visual check shall be made to verify correct counterbalance adjustment for die weight according to the press manufacturer's instructions, when a press is equipped with a slide counterbalance system.
(3) When presses used in the PSDI mode have flywheel or bullgear running on crankshaft mounted journals and bearings, or a flywheel mounted on back shaft journals and bearings, periodic inspections following the press manufacturer's recommendations shall be made to ascertain that bearings are in good working order, and that automatic lubrication systems for these bearings (if automatic lubrication is provided) are supplying proper lubrication. On presses with provision for manual lubrication of flywheel or bullgear bearings, lubrication shall be provided according to the press manufacturer's recommendations.
(4) Frequent inspections of clutch and brake mechanisms shall be performed to assure they are in proper operating condition. The press manufacturer's recommendations shall be followed.
(5) When any check of the press, including those performed in accordance with the requirements of section 4208.1(j)(2), (3), or (4) reveals a condition of noncompliance, improper adjustment, or failure, the press shall not be operated until the condition has been corrected by adjustment, replacement, or repair.
(6) It shall be the responsibility of the employer to ensure the competence of personnel caring for, inspecting, and maintaining power presses equipped for PSDI operation through initial and frequent training.
(k) Safety System Certification/Validation.
(l) Prior to the initial use of any mechanical press in the PSDI mode, two sets of certification and validation are required:
(A) The design of the safety system required for the use of a press in the PSDI mode shall be certified and validated prior to installation. The manufacturer's certification shall be validated by a Division-recognized third-party validation organization to meet all applicable requirements of sections 4192 through 4211 and Appendix A of section 4208.1.
(B) After a press has been equipped with a safety system whose design has been certified and validated in accordance with section 4208.1(k)(l), the safety system installation shall be certified by the employer and then shall be validated by a Division-recognized third-party validation organization to meet all applicable requirements of sections 4192 through 4211 and Appendix A of section 4208.1.
(2) At least annually thereafter, the safety system on a mechanical power press used in the PSDI mode shall be recertified by the employer and revalidated by a Division-recognized third-party validation organization to meet all applicable requirements of sections 4192 through 4211 and Appendix A of section4208.1. Any press whose safety system has not been recertified and revalidated within the preceding 12 months, shall be removed from service in the PSDI mode until the safety system is recertified and revalidated.
(3) A label shall be affixed to the press as part of each installation certification/validation and the most recent recertification/revalidation. The label shall indicate the press serial number, the minimum safety distance (Ds) required by section 4208.1(i)(6), the fulfillment of design certification/validation, the employer's signed certification, the identification of the Division-recognized third-party validation organization, its signed validation, and the date the certificate/validation and recertification/revalidation are issued.
(4) Records of the installation certification and validation and the most recent recertification and revalidation shall be maintained for each safety system equipped press by the employer, as long as the press is in use. The records shall include the manufacture and model number of each component and subsystem, the calculations of the safety distance as required by section 4208.1(i)(6), and the stopping time measurements required by section 4208.1(b)(2). The most recent records shall be made available to the Division upon request.
(5) The employer shall notify the Division-recognized third-party validation organization within five days whenever a component or a subsystem of the safety system fails or modifications are made which may affect the safety of the system. The failure of a critical component shall necessitate the removal of the safety system from service until it is recertified and revalidated, except recertification by the employer without revalidation is permitted when a non-critical component or subsystem is replaced by one of the same manufacture and design as the original, or determined by the third-party validation organization to be equivalent by similarity analysis, as set forth in Appendix A.
(6) The employer shall notify the Division-recognized third-party validation organization within five days of the occurrence of any point of operation injury while a press is used in the PSDI mode. This is in addition to the report of injury required by section 342; however, a copy of that report may be used for this purpose.
(l) Die Setting and Work setup.
(1) Die Setting on presses used in the PSDI mode shall be performed in accordance with sections 4197 and 4208.1.
(2) The PSDI mode shall not be used for die setting or set-up. An alternative manual cycle initiation and control means shall be supplied for use in die setting which meets the requirements of section 4193.
(3) Following a die change, the safety distance, the proper application of supplemental safeguarding, and the slide counterbalance adjustment (if the press is equipped with a counterbalance) shall be checked and maintained by authorized persons whose qualifications include knowledge of the safety distance, supplemental safeguarding requirements, and the manufacturer's specifications for counterbalance adjustment. Adjustment of the location of the PSDI presence sensing device shall require use of a special tool available only to the authorized persons.
(m) Operator Training.
(1) The operator training required by section 4203 shall be provided to the employee before the employee initially operates the press and as needed to maintain competence, but not less than annually thereafter. It shall include instructions relative to the following items for presses used in the PSDI:
(A) The manufacturer's recommended test procedures for checking operation of the presence sensing device. This shall include the use of the test rod required by section 4208.1(j)(l).
(B) The safety distance required.
(C) The operation, function and performance of the PSDI mode.
(D) The requirements for hand tools that may be used in the PSDI mode.
(E) The severe consequences that can result if he/she attempts to circumvent or by-pass any of the safeguard or operating functions of the PSDI system.
(2) The employer shall certify that employees have been trained by preparing a certification record which includes the identity of the person trained, the signature of the employer or the person who conducted the training, and the date the training was completed. The certification record shall be prepared at the completion of training and shall be maintained on file for the duration of the employee's employment. The certification record shall be made available upon request to the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-20-90; operative 5-20-90 (Register 90, No. 20).

Appendix A.

Requirements for Certification/Validation of Safety Systems for Presence Sensing Device Initiation of Mechanical Power Presses

Purpose
The purpose of the certification/validation of safety systems for presence sensing device initiation (PSDI) of mechanical power presses is to ensure that the safety systems are designed, installed, and maintained in accordance with all applicable requirements of sections 4192 through 4211 and this Appendix A.

General
The certification/validation process shall utilize an independent third-party validation organization recognized by the U.S. Labor Department, Occupational Safety and Health Administration (OSHA) in accordance with the requirements specified in Appendix C of paragraph (h), 29 CFR 1910.217, revised March 14, 1988 which is hereby incorporated by reference.
While the employer is responsible for assuring that certification/validation requirements in section 4208.1(k) are fulfilled, the design certification of PSDI safety systems may be initiated by manufacturers, employers, and/or their representatives. The term “manufacturers” refers to the manufacturer of any of the components of the safety system. An employer who assembles a PSDI safety system would be a manufacturer as well as employer for purposes of section 4208.1 and this Appendix A.
The certification/validation process includes two stages. For design certification, in the first stage, the manufacturer (which can be an employer) certifies that the PSDI safety meets the applicable requirements of sections 4192 through 4211 and this Appendix A, based on appropriate design criteria and tests. In the second stage, the Division-recognized third-party validation organization validates that the PSDI safety system meets the applicable requirements of sections 4192 through 4211 and this Appendix A and the manufacturer's certification by reviewing the manufacturer's design and test data and performing any additional reviews required by sections 4192 through 4211.
For installation certification/validation and annual recertification/revalidation, in the first stage, the employer certifies or recertifies that the employer is installing or utilizing a PSDI safety system validated as meeting the applicable design requirements of sections 4192 through 4211 and this Appendix A by a Division-recognized third-party validation organization and that the installation, operation and maintenance meet the applicable requirements of sections 4192 through 4211 and this Appendix A. In the second stage, the Division-recognized third-party validation organization validates or revalidates that the PSDI safety system installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A and the employer's certification, by reviewing that the PSDI safety system has been certified; the employer's certification, designs and tests, if any; the installation, operation, maintenance and training; and by performing any additional tests and reviews which the validation organization believes is necessary.

Summary
The certification/validation of safety systems for PSDI shall consider the press, controls, safeguards, operator, and environment as an integrated system which shall comply with all of the applicable requirements in sections 4192 through 4211 and this Appendix A. The certification/validation process shall verify that the safety system complies with the safety requirements as follows:
A. Design Certification/Validation.
1. The major parts, components and subsystems used shall be defined by part number or serial number, as appropriate, and by manufacturer to establish the configuration of the system.
2. The identified parts, components and subsystems shall be certified by the manufacturer to be able to withstand the functional and operational environments of the PSDI safety system.
3. The total system design shall be certified by the manufacturer as complying with the applicable requirements in sections 4192 through 4211 and this Appendix A.
4. The third-party validation organization shall validate the manufacturer's certification under paragraphs 2 and 3.
B. Installation Certification/Validation.
1. The employer shall certify that the PSDI safety system has been design certified and validated, that the installation meets the operational and environmental requirements specified by the manufacturer, that the installation drawings are accurate, and that the installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A. (The operational and installation requirements of the PSDI safety system may vary for different applications.)
2. The third-party validation organization shall validate the employer's certifications that the PSDI safety system is design certified and validated, that the installation meets the installation and environmental requirements specified by the manufacturer, and that the installation meets the applicable requirements of sections 4192 through 4211 and this Appendix A.
C. Recertification/Revalidation.
1. The PSDI safety system shall remain under certification/validation for the shorter of one year; or until the system hardware is changed, modified or refurbished; or operating conditions are changed (including environmental, application or facility changes); or a failure of a critical component has occurred.
2. Annually or after a change specified in paragraph 1., the employer shall inspect and recertify the installation as meeting the requirements set forth under paragraph B., Installation Certification/Validation.
3. The third-party validation organization, annually or after a change specified in paragraph 1., shall validate the employer's certification that the requirements of paragraph B., Installation Certification/Validation, have been met.
Note: Such changes in operational conditions as die changes or press relocations not involving disassembly or revision to the safety system would not require recertification/revalidation.)

Certification/Validation Requirements
A. General Design Certification/Validation Requirements
1. Certification/Validation Program Requirements. The manufacturer shall certify and the Division-recognized third-party validation organization shall validate that:
a. The design of components, subsystems, software and assemblies meets applicable performance requirements and are ready for the intended use; and
b. The performance of combined subsystems meets applicable operational requirements.
2. Certification/Validation Program Level of Risk Evaluation Requirements. The manufacturer shall evaluate and certify, and the Division-recognized third-party validation organization shall validate the design and operation of the safety system by determining conformance with the following:
a. The safety system shall have the ability to sustain a single failure or a single operating error and not cause injury to personnel from point of operation hazards. Acceptable design features shall demonstrate, in the following order or precedence, that:
(1) No single failure points may cause injury; or
(2) Redundancy, comparison, and/or diagnostic checking exist for the critical items that may cause injury, and the electrical, electronic, electromechanical, and mechanical parts and components are selected so that they can withstand operational and external environments. The safety factor and/or derated percentage shall be specifically noted and complied with.
b. The manufacturer shall design, evaluate, test and certify, and the third-party validation organization shall evaluate and validate, that the PSDI safety system meets appropriate requirements in the following areas:
(1) Environmental Limits
(a) Temperature
(b) Relative humidity
(c) Vibration
(d) Fluid compatibility with other materials
(2) Design Limits
(a) Power Requirements
(b) Power transient tolerances
(c) Compatibility of materials used
(d) Material stress tolerances and limits
(e) Stability to long term power fluctuations
(f) Sensitivity to signal acquisition
(g) Repeatability of measured parameter without inadvertent initiation of a press stroke
(h) Operational life of components in cycles, hours, or both
(i) Electromagnetic tolerance to:
1. Specific operational wave lengths; and 
2. Externally generated wave lengths
3. New Design Certification/Validation. Design certification/validation for a new safety system, i.e., a new design or new integration of specifically identified components and subsystems, would entail a single certification/validation which would be applicable to all identical safety systems. It would not be necessary to repeat the tests on individual safety systems of the same manufacture or design. Nor would it be necessary to repeat these tests in the case of modifications where determined by the manufacturer and validated by the third-party validation organization to be equivalent by similarity analysis. Minor modifications not affecting the safety of the system may be made by the manufacturer without revalidation.
Substantial modifications would require testing as a new safety system, as deemed necessary by the validation organization.
B. Additional Detailed Design Certification/Validation Requirements
1. General. The manufacturer or the manufacturer's representative shall certify to and submit to a Division-recognized third-party validation organization the documentation necessary to demonstrate that the PSDI safety system design is in full compliance with the requirements of sections 4192 through 4211 and this Appendix A, as applicable, by means of analysis, tests, or combination of both, establishing that the following additional certification/validation requirements are fulfilled.
2. Reaction Times. For the purpose of demonstrating compliance with the reaction time required by section 4208.1, the tests shall use the following definitions and requirements:
a. “Reaction time” means the time, in seconds, it takes the signal, required to activate/deactivate the system, to travel through the system, measured from the time of signal initiation to the time the function being measured is completed.
b. “Full Stop” or “No movement of the slide or ram” means when the crankshaft rotation has slowed to two or less revolutions per minute, just before stopping completely.
c. “Function completion” means for electrical, electromechanical and electronic devices, when the circuit produces a change of state in the output element of the device.
d. When the change of state is motion, the measurement shall be made at the completion of the motion.
e. The generation of the test signal introduced into the system for measuring reaction time shall be such that the initiation time can be established with an error of less than 0.5 percent of the reaction time measured.
f. The instrument used to measure reaction time shall be calibrated to be accurate to within 0.001 second.
3. Compliance with section 4208.1(b)(2). For compliance with these requirements, the average value of the stopping time (Ts) shall be the arithmetic mean of at least 25 stops for each stop angle initiation measured with the brake and/or clutch unused, 50 percent worn, and 90 percent worn. The recommendations of the brake system manufacturer shall be used to simulate or estimate the brake wear. The manufacturer's recommended minimum lining depth shall be identified and documented, and an evaluation made that the minimum depth will not be exceeded before the next (annual) recertification/revalidation. A correlation of the brake and/or clutch degradation based on the above tests and/or estimates shall be made and documented. The results shall document the conditions under which the brake and/or clutch will and will not comply with the requirement. Based upon this determination, a scale shall be developed to indicate the allowable 10 percent of the stopping time at the top of the stroke for slide or ram overtravel due to brake wear. The scale shall be marked to indicate that brake adjustment and/or replacement is required. The explanation and use of the scale shall be documented.
The test specification and procedure shall be submitted to the validation organization for review and validation prior to the test. The validation organization representative shall witness at least one set of tests.
4. Compliance with sections 4208.1(e)(3) and (i)(6). Each reaction time required to calculate the Safety Distance, including the brake monitor setting, shall be documented in separate reaction time tests. These tests shall specify the acceptable tolerance band sufficient to assure that tolerance build-up will not render the safety distance unsafe.
a. Integrated test of the press fully equipped to operate in the PSDI mode shall be conducted to establish the total system reaction time.
b. Brakes which are the adjustable type shall be adjusted properly before the test.
5. Compliance with section 4208.1(b)(3).
a. Prior to conducting the brake system test required by section 4208.1(b)(2), a visual check shall be made of the springs. The visual check shall include a determination that the spring housing or rod does not show damage sufficient to degrade the structural integrity of the unit and the spring does not show any tendency to interleave.
b. Any detected broken or unserviceable springs shall be replaced before the test is conducted. The test shall be considered successful if the stopping time remains within that which is determined by section 4208.1(i)(6), for the safety distance setting. If the increase in press stopping time exceeds the brake monitor setting limit defined in section 4208.1(e)(3), the test shall be considered unsuccessful and the cause of the excessive stopping time shall be investigated. It shall be ascertained that the springs have not been broken and that they are functioning properly.
6. Compliance with section 4208.1(g).
a. Tests which are conducted by the manufacturers of electrical components to establish stress, life, temperature and loading limits must be tests which are in compliance with the provisions of the National Electrical Code.
b. Electrical and/or electronic cards or boards assembled with discreet components shall be considered a subsystem and shall require separate testing that the subsystems do not degrade in any of the following conditions:
(1) Ambient temperature variation from 20o C to -50o C.
(2) Ambient relative humidity of 99 percent.
(3) Vibration of 45G for one millisecond per stroke when the item is to be mounted on the press frame.
(4) Electromagnetic interference at the same wavelengths used for the radiation sensing field, at the power line frequency fundamental and harmonics, and also from autogenous radiation due to system switching.
(5) Electrical power supply variations of -15 percent.
c. The manufacturer shall specify the test requirements and procedures from existing consensus tests in compliance with the provisions of the National Electrical Code.
d. Tests designed by the manufacturer shall be made available upon request to the validation organization. The validation organization representative shall witness at least one set of each of these tests.
7. Compliance with section 4208.1(i)(5).
a. The manufacturer shall design a test to demonstrate that the prescribed minimum object sensitivity of the presence sensing device is met.
b. The test specifications and procedures shall be made available upon request to the validation organization.
8. Compliance with section 4208.1(i)(11).
a. The manufacturer shall design a test(s) to establish the hand tool extension diameters allowed for variations in minimum object sensitivity response.
b. The test(s) shall document the range of object diameter sizes which will produce both single and double break conditions.
c. The test(s) specifications and procedures shall be made available upon request to the validation organization.
9. Integrated Tests Certification/Validation.
a. The manufacturer shall design a set of integrated tests to demonstrate compliance with the following requirements:
Sections 4208.1 f(2), (3), (4), (5), (6), (7), (8), (9), (11), (12), (13), (14) and (16).
b. The integrated test specifications and procedures shall be made available to the validation organization.
10. Analysis.
a. The manufacturer shall submit to the validation organization the technical analysis such as Hazard Analysis, Failure Mode and Effect Analysis, Stress Analysis, Component and Material Selection Analysis, Fluid Compatibility, and/or other analyses which may be necessary to demonstrate compliance with the following requirements:
Sections 4201.8 (b)(1), (3),; (c)(1)(A), (c)(1)(C), (c)(2); (e)(1), (2), (3); (f)(1), (3), (4), (6), (7), (8), (9), (10), (11), (12), (13), (14), (15), (16); (g); (h)(1), (2); (i)(5), (6), (9), (10), (11); (j)(1) and (2).
11. Types of tests Acceptable for Certification/Validation.
a. Test results obtained from development testing may be used to certify/validate the design.
b. The test results shall provide the engineering data necessary to establish confidence that the hardware and software will meet specifications; the manufacturing process has adequate quality control; and the data acquired was used to establish processes, procedures, and test levels supporting subsequent hardware design, production, installation and maintenance.
12. Validation for Design Certification/Validation.
If, after review of all documentation, tests, analyses, manufacturer's certifications, and any additional tests which the third-party validation organization believes are necessary , the third-party validation organization determines that the PSDI safety system is in full compliance with the applicable requirements of sections 4192 through 4211 and this Appendix A, it shall validate the manufacturer's certification that it so meets the stated requirements.
C. Installation Certification/Validation Requirements
1. The employer shall evaluate and test the PSDI system installation, shall submit to the Division-recognized third-party validation organization the necessary supporting documentation, and shall certify that the applicable requirements of sections 4192 through 4211 and this Appendix A have been met and that the installation is proper.
2. The Division-recognized third-party validation organization shall conduct tests, and/or review and evaluate the employer's installation tests, documentation and representations. If it so determines, it shall validate the employer's certification that the PSDI safety system is in full conformance with all applicable requirements of sections 4192 through 4211 and this Appendix A.
D. Recertification/Revalidation Requirements
1. A PSDI safety system which has received installation certification/validation shall undergo recertification/revalidation the earlier of:
a. Each time the systems hardware is significantly changed, modified, or refurbished;
b. Each time the operational conditions are significantly changed (including environmental, application or facility changes, but excluding such changes as die changes or press relocations not involving revision to the safety system);
c. When a failure of a significant component has occurred or a change has been made which may affect safety; or
d. When one year has elapsed since the installation certification/validation or the last recertification/revalidation.
2. Conduct of recertification/revalidation. The employer shall evaluate and test the PSDI safety system installation, shall submit to the Division-recognized third-party validation organization the necessary supporting documentation, and shall recertify that the applicable requirements of sections 4192 through 4211 and this Appendix are being met. The documentation shall include, but not be limited to, the following items:
a. Demonstration of a thorough inspection of the entire press and PSDI safety system to ascertain that the installation, components and safeguarding have not been changed, modified or tampered with since the installation certification/validation or last recertification/revalidation was made.
b. Demonstrations that such adjustments as may be needed (such as to the brake monitor setting) have been accomplished with proper changes made in the records and on such notices as are located on the press and safety system.
c. Demonstration that review has been made of the reports covering the design certification/validation, the installation certification/validation, and all recertification/revalidations in order to detect any degradation to an unsafe condition, and that necessary changes have been made to restore the safety system to previous certification/validation levels.
3. The Division-recognized third-party validation organization shall conduct tests, and/or review and evaluate the employer's installation, tests, documentation and representations. If it so determines, it shall revalidate the employer's recertification that the PSDI system is in full conformance with all requirements of sections 4192 through 4211 and this Appendix A.
HISTORY

1. New Appendix A filed 4-20-90; operative 5-20-90 (Register 90, No. 20).
§4209. Additional Requirements for Safeguarding Presses with Part Revolution Clutches.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsection (a)(1) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment of section title and subsection (a) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
4. Repealer filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4210. Hand-Operated Levers.
Note     •     History

(a) Hand-lever-actuated power operated presses shall be equipped with a spring latch on the operating lever to prevent premature or accidental tripping.
(b) The operating levers on hand-tripped presses having more than one operating station shall be interlocked to prevent the tripping of the power operated press except by the concurrent use of all levers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsection (a) filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
3. Amendment filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4211. Two-Hand Trip.
Note     •     History

(a) A two-hand trip shall have the individual operator's hand controls protected against unintentional operation and have the individual operator's hand controls arranged by design and construction and/or separation to require the use of both hands to trip the press and use a control arrangement requiring concurrent operation of the individual operator's hand controls.
(b) Two-hand trip systems on full revolution clutch machines shall incorporate an antirepeat feature.
(c) If two-hand trip systems are used on multiple operator presses, each operator shall have a separate set of controls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of NOTE filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4212. Control Reliability.
Note     •     History

NOTE

Authority cited: Sections 142 and 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Repealer filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4213. Special Purpose Press Drive Motor Interlocks.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Repealer filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44).
§4214. Press Brakes Mechanically or Hydraulically Powered.
Note     •     History

(a) Press brakes, mechanically or hydraulically powered, shall be guarded in a manner that will accomplish the following:
(1) Restrain the operator(s) from inadvertently reaching into the point of operation, or
(2) Inhibit machine operation if the operator's hand or hands are inadvertently within or placed within the point of operation, or
(3) Automatically withdraw the operator's hands if they are inadvertently within the point of operation.
(b) Devices that will accomplish (a)(1), (2) and (3) above include but are not restricted to those listed below:
(1) Presence-sensing device.
(2) Holdout or Restraint Device.
(3) Pullout Device.
(4) Two-Hand Control Device (see 4193(e)).
(5) Type A or B Gate or Movable Barrier Device.
(6) Fixed Barrier Guard (see 4207).
(7) An arrangement of stops and holding devices such as a feed table or other material support, which will assist in positioning and supporting the material being worked so that the controls can be remotely located. When such stops and material supports are used, the controls shall be so located that the operator(s) can not activate the control(s) and reach into the point of operation.
(8) Any other system of guards, automatic or semi-automatic feeds, etc., that will allow the material to be worked and effectively prevent the operator's hand(s) from entering or being in the point of operation during the die-closing portion of the press stroke.
(9) When the nature of the work or size and/or shape of material being worked is such that compliance with the provisions of Section 4214(b)(1) through (8) is not practical, the employer shall ensure compliance with the following:
(A) The operator shall be qualified, and
(B) The operator maintains a safe distance from the point of operation through the use of hand tools or the size and/or shape of the material being worked so that the operator's hands never enter the point of operation, and
(C) Only general-purpose press brakes with general-purpose dies are used.
(c) Inching.
(1) Two-hand inching devices shall be used on special-purpose presses for set-up work and adjustment of the press. [See 4193(d)]. 
(2) General-purpose presses shall be inched for set-up work and adjustment by a single control protected against accidental actuation so that the worker can not reach into the point of operation while inching the press.
(d) Control Reliability [see 4204(a) and (b)].
(e) Point of operation guards and devices shall comply with Sections 4207 and 4208 respectively.
(f) Slide counter-balance systems shall comply with Section 4194.
(g) Air controlling equipment shall comply with Section 4195.
(h) Hydraulic Equipment. The maximum designed working pressures in any hydraulic system on a press-brake shall not exceed the safe working pressure rating of any component used in that system.
(i) Brakes. Friction brakes for stopping or holding a slide movement shall comply with Section 4200(a).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
§4215. Hydraulic Power Presses (Punch Presses).
Note     •     History

(a) Hydraulic power presses shall be guarded in a manner that will accomplish the following:
(1) Restrain the operator(s) from inadvertently reaching into the point of operation, or
(2) Inhibit machine operation if the operator's hand or hands are inadvertently within the presence sensing field or inadvertently within or placed within the point of operation, or
(3) Automatically withdraw the operator's hands if they are inadvertently within the point of operation.
(b) Devices that will accomplish (a)(1), (2) or (3) above include, but are not restricted to those listed below:
(1) Presence-sensing devices
(2) Holdout or restraint devices
(3) Pullout devices
(4) Two-hand control devices [see 4193(e)]
(5) Gate or movable barrier devices
(6) Fixed barrier guard (see 4207).
(7) Any other system of guards, automatic or semi-automatic feeds, etc., that will allow the material to be worked and effectively prevent the operator's hand(s) from entering or being in the point of operation during the die-closing portion of the press stroke.
(c) Inch. Inching controls shall comply with Section 4193(d).
(d) Point of operation guards and devices shall comply with Sections 4207 and 4208 respectively.
(e) Hydraulic Equipment. The maximum design working pressures in any hydraulic system on a hydraulic powered press shall not exceed the safe working pressure rating of any component used in that system.
(f) Press Control Systems.
(1) Stop Control. At least one of the following shall be provided as a means of stopping press motion:
(A) Stop. A means of stopping all press motion. Actuation of the stop control shall immediately deactivate all press controls. The stop control shall override any other control.
(B) If a stop button is provided, it shall stop the press slide(s) and/or return the slide(s) to the initial starting position.
(2) Mode Selector. When more than one mode is furnished, a means of selecting the different modes such as Off, Inch, Single Cycle, and Automatic shall be supplied with the press control. Selection shall be by means capable of being supervised by the employer. It is not intended that all these press modes be required or be limited to the above.
(A) Off. The off mode shall make the press control inoperative.
(B) Inch. Press controls which provide this mode shall require the following conditions:
(i) The slide will have motion only during the time of operation of the actuating control(s) used for this mode.
(ii) The inching control cannot set up an unintended movement by contacting or overriding the stroke limiting mechanisms.
(C) Single Cycle. Press controls which have this mode shall require that:
(i) Actuation of the operating controls shall initiate the cycle. 
(ii) Re-actuation of operating controls is required to initiate a new cycle.
(iii) The control system shall be designed to require an intended action of the operator before an interrupted cycle can be resumed.
(D) Automatic. Press controls which contain the automatic mode shall be designed so that the initiation of automatic run shall require an action by the operator in addition to the selection of automatic on the mode selector by the supervisor, before actuation of the operating means will result in automatic cycling. An interrupted automatic cycle must be initiated as specified in this paragraph.
(3) Actuating Control Selection. If more than one actuating means is provided, the selection method shall be designed so that the selection is controlled by the employer.
(4) Press Control Reliability. When required by Section 4193(m) the press control shall be designed to prevent initiation of a successive stroke signal in the event that a failure occurs within the press control.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Amendment of subsection (f)(4) filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
§4216. Rivet Setting Equipment.
Note     •     History

(a) Rivet Setting Equipment shall be guarded in a manner that will accomplish the following:
(1) Restrain the operator(s) from inadvertently reaching into the point of operation, or
(2) Inhibit machine operation if the operator's hand or hands are inadvertently within or placed within the point of operation, or
(3) Automatically withdraw the operator's hands if they are inadvertently within the point of operation.
(b) Devices or guards that will accomplish (a)(1), (2) or (3) above include, but are not restricted to those listed below:
(1) Presence-sensing device
(2) Holdout or restraint devices
(3) Pullout devices
(4) Two-hand control devices (see 4211)
(5) Type A gate or movable barrier devices
(6) Fixed barrier guard (see 4207)
(7) Any other system of guards, automatic or semi-automatic feeds, etc., that will allow the material to be worked and effectively prevent the operator's hand(s) from entering or being in the point of operation during the die-closing portion of the press stroke.
(8) When the nature of the work or size and/or shape of material being worked is such that compliance with the provisions of Section 4216(b)(1) through (7) is not practical, the employer shall ensure compliance with the following:
(A) The operator shall be qualified, and
(B) The operator maintains a safe distance from the point of operation through the use of hand tools or the size and/or shape of the material being worked so that the operator's hands never enter the point of operation.
(c) Inch. The inch operating means shall be designed to prevent exposure of the worker's hands within the point of operation.
(d) Point of operation guards and devices shall comply with applicable sections of this Article.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-17-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Amendment of subsection (b) filed 10-31-85; effective thirtieth day thereafter (Register 85, No. 44). 
Article 56. Metal Working Machines
§4225. Definitions.
History

HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
§4226. Definitions.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
2. Repealer filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§4227. Metal Shears.
Note     •     History

(a) Mechanical power and foot and hand power metal shears shall be provided with a guard which will prevent the hands of the operator from entering the zone traveled by the knives of the shears while they are in motion. This guard may be a fixed barrier, set not more than 3/8-inch above the table (or in accordance with Figure G-8 and Table G-3 of Section 4186), or a self-adjusting barrier with a limit of 3/8-inch above the table, but that will automatically rise to the thickness of the material.
(b) Automatic clamps of “hold-downs” on metal shears, when cutouts are filled in with plastic or screen, will be acceptable as a guard. Hydraulic or pneumatic hold-downs shall be guarded by U shaped guards coming down to provide a clearance of not more than 3/8-inch between the table and the bottom of the guard or by other means or methods which will provide equivalent protection for the employee.
(c) When metal shears are guarded by means of a strip of heavy metal in front of the knife, the strip shall be set at such an angle with the table that the cutting line will be visible to the operator.
(d) Partial enclosure guards shall be provided to prevent operator(s) or helper(s) from reaching around or behind the guard and into the point of operation.
(e) Chains, barriers or other means of guarding shall be provided to prevent entry to the rear of the shear during operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
3. Amendment of section heading and subsections (a)-(c) filed 8-16-99; operative 9-15-99 (Register 99, No. 34).
§4228. Metal Embossing Machines (Class B).
Note     •     History

Metal embossing machines shall be guarded at the point of operation in the same manner as power presses or rolls, or shall be provided with a feed which does not require the hands of the operator to come into contact with die while feeding.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4229. Nonrepeat Device (Class A).
History

HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
§4230. Treadle Controls.
Note     •     History

(a) The treadle control return spring(s) shall be of the compression type designed to prevent interleaving of spring coils in event of breakdown.
(b) Where practical, each machine simultaneously attended or operated by more than one employee shall be equipped with a treadle control for each employee exposed to the point of operation hazards. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. New section filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4231. Circular Metal-Cutting Saws (Class B).
Note     •     History

(a) Circular metal-cutting saws shall be provided with a hood which will cover the saw to at least the depth of the teeth.
The hood shall automatically adjust itself to the thickness of and remain in contact with the material being cut at the point where the stock encounters the saw, or
(b) There shall be a fixed or manually adjusted hood or guard provided the space between the bottom of the guard and the material being cut does not exceed three-eighths inch, or
(c) The saw shall be covered with a horizontally sliding guard or an enclosure with an opening through which the stock will pass, if the material to be cut is in the form of angles, T-bars, Z-bars or other shapes which cannot pass under the guards named in (a) and (b). 

Exceptions: 
1. Saws used for cutting hot metal and saws with periphery speed less than 500 feet per minute.
2. Stereotype saws, electrotype saws and similar saws used for cutting zinc, copper or brass plate, or soft metals, if a laminated safety glass shield or similar barrier is provided above the saw, so placed as to afford protection to the operator.
(d) The exposed parts of the saw blade under the table shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4232. Rolls (Class B).
History

HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
§4233. Bar Stock Machine (Class A).
Note     •     History

On machines where revolving bar stock is being machined, that portion of the bar stock which extends beyond the machine shall be guarded by a trough or tube or by other effective means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4234. Wire Drawing Machines (Class B).
Note     •     History

(a) Blocks shall be equipped with a stopping device so arranged that it will automatically shut down the block in case the operator should be caught on the block and be carried around it, or
(b) A device along the operating side of a continuous drawing frame or unit so designed that pressure against the device will initiate instantly the process of stopping the machine.
(c) Reels shall be equipped with a stopping device so arranged that it will automatically shut down the block in case the operator should be caught in the wire as it runs from the reel, or in case the reel should be drawn up to the frame.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4235. Planers (Class A).
Note     •     History

Openings in the bed of all metal planers shall be covered with substantial metal or other suitable covering.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
§4236. Alligator Shears (Class B).
Note     •     History

(a) Guards or devices shall be provided to prevent inadvertent entry of any part of the operator's body into the point of operation or hold down.
(b) The horizontal bar or hold down shall be secured to the lower jaw, parallel to the cutting edge, at a height sufficient to permit the passage of the thickest material to be cut, and so placed as to prevent material being cut from flying up.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4237. Abrading, Buffing and Polishing Machines (Class  A).
Note     •     History

(a) Exposed arbors shall be guarded.
(b) Arbor ends which are not equipped with acorn nuts or equivalent shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4238. Tumbling Barrels (Class A).
Note     •     History

(a) Tumbling barrels shall be completely enclosed or guarded by movable guardrails or by other suitable and effective means and shall be equipped with an interlock so installed that the drum cannot turn unless the guard is in place.
(b) If enclosed, tumbling barrels shall be equipped with an effective lock or brake.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4239. Forging Machines.
Note     •     History

(a) Definitions. 
Bolt-Headers. The same as an upsetter or forging machine except that the diameter of stock fed into the machine is much smaller, i.e., commonly three-fourths inch or less. 
Drop Hammers. Drop hammer means a hammer in which the force of the blow is developed entirely by gravity. 
Forging Presses. A class of forging equipment wherein the shaping of metal between dies is performed by mechanical or hydraulic pressure, and usually is accomplished with a single work stroke of the press for each die station. 
Forging. The product of work on metal formed to a desired shape by impact or pressure in hammers, forging machines (upsetters), presses, rolls, and related forming equipment. Forging hammers, counterblow equipment and high-energy-rate forging machines impart impact to the workpiece, while most other types of forging equipment impart squeeze pressure in shaping the stock. 
Forging Rolls. A class of auxiliary forging equipment wherein stock is shaped between power driven rolls bearing contoured dies. Usually used for preforming, roll forging is often employed to reduce thickness and increase length of stock. 
High-Energy-Rate Forging Machines. A class of forging equipment wherein high ram velocities resulting from the sudden release of a compressed gas against a free piston impart impact to the workpiece. 
Open Frame hammers (or Black-Smith Hammers). Hammers used primarily for the shaping of forgings by means of impact with flat dies. Open frame hammers generally are so constructed that the anvil assembly is separate from the operating mechanism and machine supports; it rests on its own independent foundation. Certain exceptions are forging hammers made with frame mounted on the anvil; e.g., the smaller, single-frame hammers are usually made with the anvil and frame in one piece. 
Ring Rolls. A class for forging equipment used for shaping weldless rings from pierced discs or thick-walled, ring-shaped blanks between rolls which control wall thickness, ring diameter, height and contour. 
Rivet Making Machines. The same as upsetters and bolt headers when producing rivets with stock diameter of 1-inch or more. Rivet making with less than 1-inch diameter is usually a cold forging operation, and therefore not included. 
Steam Hammers. A type of drop hammer where the ram is raised for each stroke by a double-action steam cylinder and the energy delivered to the workpiece is supplied by the velocity and weight of the ram and attached upper die driven downward by steam pressure. Energy delivered during each stroke may be varied. 
Trimming Presses. A class of auxiliary forging equipment which removes flash or excess metal from a forging. This trimming operation can also be done cold, as can coining, a product sizing operation. 
Upsetters (or Forging Machines, or Headers). A type of forging equipment, related to the mechanical press, in which the main forming energy is applied horizontally to the workpiece which is gripped and held by prior action of the dies. 
(b) General. 
(1) Thermostatic control of heating elements for lead melting shall be provided to maintain proper melting temperature (620 to 700 degrees Fahrenheit) and prevent overheating. 
(A) A covered container shall be provided to store dross skimmings.
(B) Equipment shall be kept clean, particularly from accumulations of yellow lead oxide. 
(c) Drop Hammers. 
(1) Drop hammers shall be equipped with safety stops which will hold the hammer in the elevated position. 
(2) Stops shall be of a design that requires the hammer to be lifted to release the safety stops. 
(3) The ram shall be blocked when dies are being changed or other work is being done on the hammer. Blocks or wedges shall be made of material the strength and construction of which meet or exceed the specifications and dimensions shown in Table FM-1. 

						
                                                                  TABLE FM-1-STRENGTH AND DIMENSIONS FOR WOOD RAM PROPS 
						
Size of	Square	Minimum allow-	Maximum static		Maximum recom-	Maximum
timber	inches in	able crushing	load within short	Safety	mended weight of	allowable
inches 1	cross section	strength parallel	column range 2	factor	forging hammer	length of
		to grain, p.s.i. 2			for timber used	timber, inches

	4 x 4	16	5,000	80,000	10	8,000	44
	6 x 6	36	5,000	180,000	10	18,000	66
	8 x 8	64	5,000	320,000	10	32,000	88
	10 x 10	100	5,000	500,000	10	50,000	100
	12 x 12	144	5,000	720,000	10	72,000	132

						

	1 Actual dimension.
2 Adapted from U.S. Department of Agriculture Technical Bulletin 479. Hardwoods recommended are those whose ultimate crushing strengths in compression parallel  to grain are 5,000 p.s.i. (pounds per square inch) or greater.
3 Slenderness ratio formula for short columns is L/d = 11, where L = length of timber in inches and d = least dimension in inches; this ratio should not exceed 11.

						
                                                                
(4) To prevent kickback injury tong handles shall be of sufficient length to permit them to be held at either side of the employee.
(5) Tongs shall have blunt handle ends.
(6) Where required, oil swabs, or scale removers, or other devices to remove scale shall be provided. These devices shall be long enough to enable employees to reach the full length of the die without placing hand or arm between the dies.
(7) Die keys and shims shall be made from a grade of material that will not unduly crack or splinter.
(8) All manually operated valves and switches shall be clearly identified and readily accessible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 
2. Amendment of subsection (b)(7) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28). 
3. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
4. Change without regulatory effect filed 7-17-90 to correct State Printing Plant error made obsolete by Barclays printing of the Code (Register 90, No. 40).
§4240. Power-Driven and Air-Lift Hammers.
Note     •     History

(a) Every steam or air-lift hammer shall have a safety cylinder head to act as a cushion if the rod should break or pull out of the ram.
(b) Air-lift and steam hammers shall be provided with a quick closing emergency valve in the admission pipeline at a convenient location. This valve shall be closed and locked in the off position while the hammer is being adjusted, repaired, or serviced, or when the dies are being changed.
(c) Steam hammers shall be provided with a means of cylinder draining. Air-lift hammers shall be provided with two drain cocks; one on main head cylinder and one on clamp cylinder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsections (a) and (b) filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment of subsection (b) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4241. Board Drophammers.
Note     •     History

A suitable enclosure shall be provided to prevent damaged or detached boards from falling. The board enclosure shall be securely fastened to the hammer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4242. Mechanical and Hydraulic Forging and Hot Trimming Presses.
Note     •     History

(a) When dies are being changed or maintenance is being performed on the press, the following shall be accomplished:
(1) The power to the press shall be locked out in accordance with Section 3314.
(2) The flywheel shall be at rest.
(3) The ram shall be blocked with a material the strength of which shall meet or exceed the specifications or dimensions shown in Table FM-1.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4243. Inspection and Maintenance.
Note     •     History

(a) It shall be the responsibility of the employer to maintain all forge shop equipment in a condition which will insure continued safe operation. This responsibility includes:
(1) Establishing periodic and regular maintenance safety inspections and keeping certification records of these inspections which include the date of the inspection, the signature of the person who performed the inspection, and the serial number or other identifier of the forging machine which was inspected.
(2) Scheduling and recording inspection of guards and point of operation protection devices at frequent and regular intervals. Recording of inspections shall be in the form of a certification record which includes the date the inspection was performed, the signature of the person who performed the inspection, and the serial number or other identifier of the equipment inspected.
(3) When rings or equivalent devices for locking tongs are used they shall be inspected periodically to insure safe condition.
(4) All overhead parts shall be fastened or protected in such a manner that they will not fly off or fall in event of failure.
(5) Tongs shall be maintained in a safe condition and at the proper hardness level for the job.
(6) Training personnel for the proper inspection and maintenance of forging machinery and equipment. The worker shall be instructed in the proper body position when using tongs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
3. Amendment of subsections (a)(1) and (a)(2) filed 3-5-90; operative 4-4-90 (Register 90, No. 12). 
Article 57. Die Casting Machines
§4260. Hot Chamber Machine Controls. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4261. Hot Chamber and Cold Chamber Machine Controls.
Note     •     History

Every hot and cold chamber die casting machine shall be equipped with one of the following controls:
(a) Two-hand controls requiring the concurrent use of both hands until the die is completely closed. Removal of either or both hands during the closing of the die will stop or reverse the closing cycle, or
(b) A single control of the constant pressure type. This control shall be located at such a distance from the parting line of the die that the operator cannot reach into the die at the parting line with his free hand. Removal of the hand from the control during the closing of the die will stop or reverse the closing cycle, or
(c) A sliding gate guard which when closed will prevent contact by the operator with the die. This gate shall be interlocked with the control system so that if the gate is opened prior to the completion of the closing cycle, the closing cycle will stop or reverse, or
(d) Any other device that will provide protection equivalent to that of (a), (b) or (c).
(e) On cold chamber machines two-hand controls requiring the concurrent use of both hands until the die is within 2 inches of complete closing. This control shall be of the type that has an interlocking limit switch that maintains a closed circuit for the last 2 inches of the closing cycle. Removal of either or both hands before the activation of the limit switch will stop or reverse the closing cycle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4262. Ladling Operations.
Note     •     History

To activate the plunger in the shot sleeve, a single control shall be provided. This control shall be a type which permits the operator to use his free hand for lading metal. The control shall be so guarded by a shield or recessed so that it cannot be activated by any part of the body other than the hand.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4263. Hot and Cold Chamber Machines. Helpers Protection.
Note     •     History

Where a helper is employed, his position shall be protected by:
(a) A fixed barrier guard with controls. The control may be foot-operated and shall be interlocked with the primary control so that the machine cannot be started while the secondary control is activated. If the secondary control is activated during the closing cycle, the closing cycle will stop or reverse; or
(b) A sliding gate guard which when closed will prevent contact by the helper with the die. This gate shall be interlocked with the primary control system so that the machine cannot be started while the gate is open and if the gate is opened while the die is closing, the closing cycle will stop or reverse; or
(c) Two-hand controls connected with the primary controls and requiring simultaneous use of both hands of the helper before the machine can be started. Removal of one or both hands during the closing cycle will stop or reverse the closing cycle; or
(d) A single control of the constant pressure type connected with the primary controls. This control shall be located at such a distance from the parting line of the die that the helper cannot reach into the die at the parting line with his free hand. Removal of the hand from the control during the closing of the die will stop or reverse the closing cycle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4264. Plunger Control.
Note     •     History

(a) Every plunger on hot chamber machines shall be equipped with a control interlocked with the die which will prevent the operation of the plunger prior to the closing of the die.
(b) Every plunger on cold chamber machines shall be equipped with a control interlocked with the die which will prevent the operation of the plunger unless the die is completely open or completely closed.
(c) For the removal of a stuck plug a cold chamber machine shall be equipped with two-hand controls, which operate the plunger only, and require concurrent use of both hands.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4265. Shields for Die Casting Machines.
Note     •     History

Each die casting machine shall be shielded in a manner which will prevent molten material from striking employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
§4266. Holding Furnaces.
Note     •     History

An open holding furnace, the top of which is less than 30 inches from the floor or working level, shall be guarded to prevent an employee from inadvertently entering the danger area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51). 
Article 59. Woodworking Machines and Equipment
§4296. General.
Note     •     History

(a) Combs (featherboards) or suitable jigs shall be provided at the workplace for use when a standard guard cannot be used, as in dadoing, grooving, jointing, moulding, and rabbeting.
(b) An automatic cut-off saw which strokes continuously shall not be used if the operator is exposed to the hazards of the saw and is not able to control each stroke.
(c) Arbors and mandrels shall be constructed so as to have firm and secure bearing and be free from play.
(d) Sharpening or tensioning of saw blades or cutters shall be done only by persons with experience and skill in this kind of work. 
(e) Saw frames or tables shall be constructed with lugs cast on the frame or with an equivalent means to limit the size of the saw blade that can be mounted, so as to avoid overspeed caused by mounting a saw blade larger than intended.
(f) Circular saw fences shall be so constructed than they can be firmly secured to the table or table assembly without changing their alignment with the saw. For saws with tilting tables or tilting arbors the fence shall be so constructed that it will remain in a line parallel with the saw blade, regardless of the angle of the saw blade with the table.
(g) Circular saw gauges shall be so constructed as to slide in grooves or tracks that are accurately machined, to insure exact alignment with the saw blade for all positions of the guide.
(h) Hinged saw tables shall be so constructed that the table can be firmly secured in any position and in true alignment with the saw blade.
(i) Ripsaw spreaders shall be made of hard tempered steel, or its equivalent, and shall be thinner than the saw kerf. The spreader shall be of sufficient width to provide adequate stiffness or rigidity to resist any reasonable side thrust or blow tending to bend or throw it out of position.
(j) Ripsaw spreaders shall be attached so as to remain in true alignment with the saw blade even when either the blade or table is tilted, and shall be placed so that there is not more than 1/2-inch space between the spreader and the back of the saw blade when the largest blade is mounted in the machine. The provision of a spreader in connection with grooving, dadoing, or rabbeting is not required. On the completion of such operations, the spreader shall be immediately replaced.
(k) The hood shall be made of adequate strength to resist blows and strains incidental to reasonable operation, adjusting, and handling, and shall be so designed as to protect the operator from flying splinters and broken saw teeth. It shall be made of material that is soft enough so that it will be unlikely to cause tooth breakage.
(l) The hood shall be so mounted as to insure that its operation will be positive, reliable, and in true alignment with the saw blade; and the mounting shall be adequate in strength to resist any reasonable side thrust or other force tending to throw it out of line.
(m) For all circular saws where conditions are such that there is a possibility of contact with the portion of the saw blade either beneath or behind the table, that portion of the blade shall be covered with an exhaust hood, or, if no exhaust system is required, with a guard that shall be so arranged as to prevent accidental contact with the saw blade.
(n) Revolving double arbor saw blades shall be fully guarded in accordance with all the requirements for circular crosscut saws or with all the requirements for circular ripsaws, according to the kind of saws mounted on the arbors.
(o) No saw blade, cutter head, or tool collar shall be placed or mounted on a machine arbor unless the tool as been accurately machined to size and shape to fit the arbor.
(p) Each machine shall be designed, constructed and mounted in a manner that will eliminate hazardous vibration at any operating speed while using any tool designed for the machine.
(q) On machinery and equipment where injury might result if motors were to automatically restart after power failures, provision shall be made to prevent machines and equipment from automatically starting upon restoration of power.

Exception: Portable power tools intended to be handheld during use.
Note: For the purpose of subsection (q), the term “provision” means electrical or mechanical device, or administrative procedures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment and renumbering of Section 4298 to Section 4296 filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
4. New subsection (q) (including Exception and Note) filed 9-5-2001; operative 10-5-2001 (Register 2001, No. 36).
§4297. Definitions.
Note     •     History

Arbor. The rotating spindle or shaft used for mounting and transmitting torque to cutting, grinding, or sanding tools and other devices such as lathe chucks. 
Band Knife. A power saw with a blade consisting of a non-toothed metal band running around the circumference of two wheels, with a smooth cutting edge or a cutting edge with wavy serrations. 
Band Saw. A power saw with a blade consisting of a toothed metal band running around the circumference of two wheels. Typically, band saws have one wheel mounted over the table and one below.
Belt Sander. A powered sander designed to remove surface material with a seamless belt of an abrasive medium mounted on a pair of drums or pulleys.
Boring and Mortising Machine. A machine that uses boring bits or mortising chains to cut cavities in the material being worked for mortise and tenon joints, mortised openings for door hardware, etc. 
Box Shook Cut-Off Saw. A powered circular crosscut saw generally used for cutting box shook, which are pre-cut sets of parts for assembling wooden boxes used in fields, orchards and packing houses, etc. Unlike a table saw, the wood material is passed through the circular saw blade on a sliding cradle or carriage.
Brush and Slash Chipper. Powered equipment used to reduce tree debris to wood chips.
Circular Knife. A power saw with a non-toothed smooth circular blade or a circular blade with wavy serrations. 
Comb (Featherboard). A work-guiding and hold down device with spring-like fingers cut at an angle that flex in the direction of the stock travel. The device prevents the stock from being pushed back at the operator and also keeps the stock aligned against the table saw fence as it passes through the saw blade. 
Cordwood Saw. A circular saw powered by a power takeoff or other drive mechanism on a tractor or other farm vehicle/equipment. 
Crosscutting. A sawing operation through the thickness of the workpiece made across the grain in natural wood or across the shorter dimension on a rectangular workpiece of reconstituted wood. 
Crosscut Saw. A saw with a blade designed for cutting across the wood grain of natural wood, or across the shorter dimension on a rectangular piece of reconstituted wood.
Dado. A straight sided non-through slot, perpendicular to the face of the workpiece. 
Disc Sander. A powered sander with the abrasive material mounted to a round head which performs in an orbital motion parallel to the work surface. 
Drum Sander. A powered sander with the abrasive material mounted directly to the circumference of a revolving cylinder.
Elbow Sander. A disc sander mounted on an articulating arm mounted to the wall or machine frame.
Hog Mill. A powered chipper used for reducing lumber mill waste into wood chips. 
Jointer. A machine used for creating flat surfaces and straight edges on board lumber. 
Kerf. The slot made by a saw blade as it saws through a workpiece. 
Mandrel. See Arbor.
Miter Saw. Consists of a table top and fence which support the position of the workpiece and a powered circular saw mounted on a carriage with a pivoting arm that plunges into the workpiece or has a carriage that allows for plunging and sliding over the workpiece. The saw unit can be adjusted to make a miter cut. The saw unit may also be able to make a bevel or a compound cut.
Planer. A woodworking machine with a table and a cutter head/feed roller assembly mounted over the work support table and is used for removing surface material. 
Planing, Molding, Sticking and Matching Machine. A specialized machine equipped with revolving cutting heads used for planing and/or cutting irregular contours on straight strips of wood. 
Push Block. A non-metallic device, most commonly designed as a short block of wood with one or more handles and a flat bottom surface either with a heel or friction material on it, which is used for pushing stock over revolving cutters. 
Push stick. A narrow strip of wood or other soft material with a notch cut into one end which is used to push pieces of material through woodworking machines. 
Rabbet. An operation making a two-side notch in the side or face of a workpiece. 
Ripping. A sawing operation made through the thickness of the workpiece with the grain of natural wood, along the long dimension of a rectangular workpiece, and usually parallel to that edge on reconstituted wood products.
Ripsaw. A saw with a blade designed for cutting wood in the direction of the grain, where the saw kerf tends to close on the blade after the blade has passed through the wood.
Shaper. A stationary woodworking machine with a cutter head mounted on a spindle protruding vertically from the table. The workpiece is supported by a fence and stationary table or moving table to control the horizontal depth of the cut. A guide, fixture or template is used to control the operation. 
Spreader. A flat metal device slightly narrower than the saw kerf designed to prevent the saw blade kerf in the workpiece from closing on the sides of the blade during a sawing operation. 
Swing Cut-Off Saw. A powered circular saw mounted on a swing arm above the table.
Table Saw. A machine designed to use a circular saw blade mounted on an arbor below the work support means which can be stationary or moving or a combination of both. A guiding means is used for all operations when manually feeding the stock. The arbor or its support means can be fixed, or be capable of being tilted at an angle to the work support means of less than 90 degrees to each other. See Figure A.
Tenoning Machine. A woodworking machine with circular saw blades or cutting heads used to cut away part of the end of a workpiece, leaving a rectangular tab or tenon which can be inserted into a rectangular mortise hole in another piece of material to create a mortise-and- tenon joint.
Wobble Saw. A circular saw used to cut dadoes with a single blade attached to the saw arbor with a split hub, so that the blade is mounted at an angle to the arbor shaft and wobbles while it rotates through the stock. 
Wood Turning Lathe. A powered machine generally used for creating cylindrical products such as furniture legs. The stock spins between two arbor ends and is shaped either by fixed cutting tools or hand-held chisels or gouges.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment and renumbering of Section 4299 to Section 4297 filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
4. Amendment and new Figure A filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
5. Amendment filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
§4298. Hog Mills.
Note     •     History

(a) To minimize jamming, hog mills shall be provided with feed chutes and conveyors designed to handle the material being processed.
(b) Chutes shall be arranged so that the distance from any place on the rim to the cutter knives is no less than 40 inches.
(c) The feed chutes shall be provided with suitable baffles, screens, or barriers which shall prevent material being thrown from the mill.
(d) The top rim of the chute shall extend no less than 36 inches above the floor or working platform, unless the chute opening is protected by other adequate means.
(e) Employees feeding or tending hog mills shall be provided with and required to use safety belts and lines, unless they are otherwise protected from falling into the mill.
(f) All conveyor-fed hog mills shall be equipped with a trip bar, or emergency stop, located where employees can readily reach it to immediately stop the conveyors. A metal detector shall be installed whenever possible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
2. Amendment of subsection (c) filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4299. Brush and Slash Chippers.
Note     •     History

(a) Access panels for maintenance and adjustment shall be closed and secured prior to operation of brush chippers.
(b) Each rotary drum or disk-type chipper not equipped with a mechanical infeed system shall be equipped with an infeed hopper not less than 85 inches, measured from the blades or knives to ground level or working level over the centerline of the hopper, and shall have sufficient height on its side members so as to prevent personnel from contacting the blades or knives of the machine during normal operations.
(c) Each rotary drum or disk-type chipper not equipped with a mechanical infeed system shall have a flexible anti-kickback device installed in the infeed hopper for the purpose of protecting the operator and other persons in the machine area from the hazards of flying chips and debris.
(d) Each disk-type chipper equipped with a mechanical infeed system shall have a quick stop and reversing device on the infeed. The activating lever for the quick stop and reversing device shall be located within easy reach of the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4299 to Section 4297, and new section filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). For history of former section, see Register 74, No. 43.
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4300. Circular Ripsaws Manual Feed (Class B).
Note     •     History

(a) Each circular hand-fed ripsaw shall be guarded by a hood which shall completely enclose that portion of the saw blade above the table and that portion of the blade above the material being cut.
(b) The hood shall automatically adjust itself to the thickness of and remain in contact with the material being cut at the point where the stock encounters the saw blade, or
(c) The hood may be a fixed or manually adjusted hood or guard provided the space between the bottom of the guard and the material being cut does not exceed 1/4 inch.
(d) The hood or other guard shall be so designed as to prevent a “kickback,” or a separate attachment that will prevent a “kickback” shall be provided. “Anti-kickback” devices shall be designed to be effective for all thicknesses of material.
(e) Except when grooving, dadoing or rabbeting, a spreader shall be provided and fastened securely to the saw. It shall be designed and installed in accordance with the Provisions of Section 4296.
(f) Push sticks or push blocks shall be provided at the work place in the several sizes and types suitable for the work to be done.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74, effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
3. Editorial correction of subsection (d) printing error (Register 86, No. 51). 
4. Amendment of subsections (c) and (f) filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).
§4300.1. Table Saws -- Manual Feed (Class B).
Note     •     History

(a) Each hand-fed table saw shall be guarded by a hood which completely encloses that portion of the saw blade above the table and that portion of the blade above the material being cut.
(1) The hood shall automatically adjust itself to the thickness of and remain in contact with the material being cut at the point where the stock encounters the saw blade, or
(2) The hood may be a fixed or manually adjusted hood or guard provided the space between the bottom of the guard and the material being cut does not exceed 1/4 inch.
(b) Except when crosscutting, grooving, dadoing, or rabbeting, a spreader shall be provided and fastened securely to the saw. It shall be designed and installed in accordance with the provisions of Section 4296.
(c) Ripping operations shall comply with the following requirements in addition to those in subsections (a) and (b):
(1) The hood or other guard shall be so designed as to prevent a “kickback,” or a separate attachment that will prevent a “kickback” shall be provided. “Anti-kickback” devices shall be designed to be effective for all thicknesses of material.
(2) Push sticks or push blocks shall be provided at the work place in the several sizes and types suitable for the work to be done.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section and new Figure A filed 6-30-2008; operative 7-30-2008 (Register 2008, No. 27).

View Graphic
§4301. Self-Feed Circular Ripsaws.
Note     •     History

(a) In addition to guards over blades as specified in Section 4296, feed rolls shall be protected by a hood or guard to prevent the hands of the operator from coming in contact with the in-running rolls at any point.
(b) Hoods or guards on feed rolls shall be constructed of suitable material, as specified in Section 3942, preferably metal. The bottom of the guard shall come down to within 3/8-inch of the plane formed by the bottom or working surfaces of the feed rolls. This distance (3/8-inch) may be increased to 3/4-inch, provided the lead edge of the hood is extended to be not less than 5 1/2-inches in front of the nip point between the front roll and the work.
(c) The employer shall ensure that power feed devices are properly adjusted for each piece of stock in order to reduce the possibility of kickback.
(d) Every self-feed circular ripsaw shall be equipped with an anti-kickback device installed on the infeed side. Such an anti-kickback device shall be designed to be effective for all thicknesses of material and shall extend the full width of the rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
3. Amendment of subsection (c) filed 3-24-2010; operative 4-23-2010 (Register 2010, No. 13).
§4302. Circular Knives and Crosscut Saws (Class B).
Note     •     History

(a) A hood shall be used that will cover the saw blade to at least the depth of the teeth or cover the cutting edge of the circular knife.
(b) The hood shall automatically adjust itself to the thickness of and remain in contact with the material being cut at the point where the stock encounters the saw or knife blade, or
(c) May be a fixed or manually adjusted hood or guard provided the space between the bottom of the guard and the material being cut does not exceed 1/2 inch. 

Exception: Circular crosscut saws with stationary table where the saw blade moves forward when cutting (e.g. cut-off saws and radial arm saws).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4303. Cordwood and Similar Saws (Class B).
Note     •     History

All unused portions of the saw blade shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4304. Box Shook Cut-off Saws (California Cut-off Saws).
Note     •     History

Box shook cut-off saws shall be guarded either by a hood or splitter-type guard. Either type guard shall cover the top back quarter of the saw blade and shall be kept adjusted close to the saw blade.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4305. Swing Cut-Off Saws and Sliding Cut-Off Saws Mounted Above the Table.
Note     •     History

(a) The saw blade shall be encased on both sides in such a way that at least the upper half of the blade and the arbor end will be completely covered.
(b) There shall be an effective device to return the saw automatically to the back of the table when released at any point of its travel; such device shall prevent saw from rebounding and shall not depend on fibre rope, cord, or a spring for its functioning.
(c) If a counterweight is used all bolts supporting the bar and weight shall be provided with nuts and cotter pins. A bolt shall be put through the extreme end of counterweight bar, or where the weight does not enclose the rod, a safety chain shall be attached to the counterweight.
(d) Limit chains or other positive stops shall be provided to prevent the saw blade from swinging beyond the front edge of the table, or the table shall be extended beyond the swing of the saw blade.
(e) Where it is possible to pass behind a swing cut-off saw the rear of the saw shall be completely housed when the saw blade is in its back position. The housing shall enclose the swing frame as well as the saw blade.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsection (a) and repealer of subsection (f) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
4. Editorial correction of subsection (e) printing error (Register 86, No. 51).
§4306. Underhung Swing Cut-Off Saws, Inverted Swing Cut-Off Saws, Jump Saws, Underslung Saws.
Note     •     History

(a) All saws shall be effectively guarded above and below the table or roll case. The saw blade shall be fully enclosed when in the extreme back position, and the swing frame shall not pass the vertical position when at its extreme forward limit. A positive stop shall be furnished so that the saw cannot pass the front edge of the table.
(b) A hood-type guard shall cover the blade and extend at least 2 inches in front of the saw teeth when the blade is in the back position and the guard shall be securely fastened to the table.
(c) A traveling guard shall be provided that moves with the blade over the material and covers the exposed part of the blade above the material.
(d) The width of the hood of jump saws shall be limited so as to provide not more than 1/4-inch clearance on each side of the blade.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
3. Change without regulatory effect inserting “(a)” immediately preceding the first paragraph filed pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 7).
§4307. Portable Power Driven Circular Hand Saws.
Note     •     History

(a) The teeth on the upper half of the blade shall be permanently shielded from contact.
(b) The lower half (point of operation) of the saw blade shall be guarded to the root of the teeth with a telescopic or hinged guard that, for normal operation, opens up as the saw is fed into the cut and automatically returns to the position covering the saw teeth when removed from the cut.

Exception: The guard described in subsection (b) is not required on hand-held portable powered cut-off saws used by fire/rescue personnel for rescue procedures and/or roof ventilation for smoke removal provided the operator is wearing appropriate eye, face,  head and body protection as specified in Articles 10 and 10.1 of the General Industry Safety Orders. This exception also applies to qualified persons (e.g. instructors) wearing personal protective equipment as described herein to instruct personnel in safe roof ventilation/rescue techniques.
(1) Telescopic guards shall be equipped with a lifting lug or lever, remote from the blade teeth, that will permit the operator to safely shift the guard for starting unusual cuts.
(2) Saws with hinged guards shall be equipped with 2 handles so arranged that neither hand is exposed to the hazard of the rotating blade. One handle shall be on the hinged guard, and of such design that its use will avoid exposure of the hand or fingers between the retracted guard and the blade.
(c) Guards shall not be prevented from operating automatically by pins, wedges, or other devices that hold them back in an inoperative position.
(d) Saws with hazardous defects, such as damaged guards or switches, shall be removed from service until repairs are complete.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). For history of former section, see Register 75, No. 13.
2. New subsection (b) Exception filed 10-7-94; operative 11-7-94 (Register 94, No. 40).
§4307.1. Miter Saws.
Note     •     History

(a)(1) With the carriage in the full cut position as depicted in Figures A and B, a guard shall enclose the upper half of the blade and at least 50 percent of the arbor end.

Exception: The guard may have an opening for ejection of sawdust provided the opening is located beyond the outer circumference of the blade, or is located in such a manner that a 1/2 inch diameter probe inserted 21/2 inches into the opening cannot contact the blade.
(2) The saw power shall be disconnected before cleaning or unjamming the guard opening designed for the ejection of sawdust.
(b) With the carriage in the full retract (raised) position as depicted in Figures A and B, the periphery of the lower blade teeth shall be fully guarded and the guard shall extend at least 3/4 of an inch radially inward beyond the root of the teeth.

Exceptions:

1. Saws with guards that shield the lower blade and teeth on both sides may have the necessary opening between the lower blade guards to allow the blade teeth to make contact with the material being cut.

2. Lower blade guards may also have a side slot up to 1-1/2 inches in width on the motor side extending from the motor-shaft to the bottom of the guard, for motor-shaft clearance.

3. Blade exposure as depicted in Figures A and B is allowed in the lower blade quadrant furthest away from the operator's side of the saw, provided the blade exposure does not exceed 45 degrees within the quadrant.
(c) Employers shall instruct employees to keep hands and fingers outside the area below the blade until the blade has come to a complete stop.

Figure A. Miter and Compound Miter Saw

View Graphic

Figure B. Slide Miter and Slide Compound Miter Saw
(Saws with sliding action as the cut is made)

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-21-2000; operative 8-20-2000 (Register 2000, No. 29).
2. Change without regulatory effect providing more legible illustrations for Figures A and B filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§4308. Circular Knives. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4309. Horizontal Pull Saws (Radial Arm Saw).
Note     •     History

(a) The saw blade shall be encased on both sides in such a way that at least the upper half of the blade and the arbor ends will be completely covered.
(b) Limit chains or other positive means shall be used to prevent the saw blade from moving beyond the front edge of the table. Such limiting devices shall be so designed and located that they can be easily inspected and they shall be maintained in good condition.
(c) Where saw is used for ripping purposes, there shall be an anti-kickback device installed. Such a device shall be designed to be effective for any thickness and width of the stock to be cut. Where automatic feeding devices are used they shall be guarded.
(d) There shall be an effective device which will return the saw automatically to the back of the table when released at any point of its travel; such a device shall prevent the saw from rebounding. As an alternative, the front of the table shall be raised to a height that will cause the saw to return to the rear of the table without rebounding.
(e) When a saw is designed for ripping or ploughing, such operations shall be against the direction in which the saw blade turns, and the direction of the saw rotation shall be conspicuously marked on the hood. In addition, a permanent label not less than 1-1/2 inches by 3/4-inch shall be affixed to both sides of the rear of the guard at approximately the level of the arbor, reading as follows: DO NOT RIP FROM THIS END, or equivalent wording.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Editorial correction of subsection (d) (Register 76, No. 9).
3. Amendment of subsection (e) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Amendment of subsection (a) and repealer of subsection (f) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment of subsection (d) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
6. Amendment of subsection (e) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
7. Amendment of subsections (b) and (e) filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
8. Editorial correction of subsection (c) printing error (Register 86, No. 51).
§4310. Band Knives and Band Saws.
Note     •     History

(a) Band knives and band saws (including band resaws having saw blades less than 7 inches in width or band wheels less than 5 feet in diameter) shall be guarded as follows:
(1) All portions of the saw or knife blade shall be enclosed or guarded except that portion between the bottom of the guide rolls and the table. The guard shall be kept adjusted as close as possible to the table without interfering with movement of the stock. The down travel guard from the upper wheel to the guide rolls shall be so adjusted that the blade will travel within the angle or channel.

Exception: For meat band saw blade guarding requirements see Section 4543 of these Orders.
(2) Band saw wheels shall be fully enclosed.
(3) Feed rolls of band resaws and band ripsaws shall be protected with a semicylindrical guard to prevent the hands of the employee from coming in contact with the in-running rolls at any point.
(4) The guard shall be constructed of heavy material, preferably metal and the edge of the guard shall come to within 1/2-inch of the plane formed by the inside face of the feed roll in contact with the stock being cut.
(b) A blade tension control device with indicator shall be provided and used on all band saws.
(c) Band saws and band knives shall not be run at speeds in excess of the manufacturers recommended speed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. New subsection (h) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Repealer of subsections (d), (f) and (g) and relettering of existing subsections filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
4. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
5. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
6. Amendment adding Exception to subsection (a)(1) filed 12-2-98; operative 1-1-99 (Register 98, No. 49).
§4311. Jointers and Hand Fed Planers.
Note     •     History

(a) All jointers and hand fed planers shall be equipped with cylindrical cutting heads, the knife of which shall not project more than 1/8-inch.
(b) A suitable guard which will automatically adjust itself to cover that portion of the cutting head not protected by material in process shall be used. The guard shall be capable of protecting the entire length of the cutting space in the table.
(c) The exposed portion of the cutting head at the rear of the fence shall be covered.
(d) Where equipped with automatic feed, the feeding mechanism shall be guarded.
(e) Where knives are exposed beneath the table, they shall be guarded.
(f) A push stick of suitable design shall be provided and used.
(g) The opening in the table shall be kept as small as possible. The clearance between the edge of the rear table and the cutter head shall be not more than 1/8-inch. The table throat opening shall be not more than 2-1/2 inches when tables are set or aligned with each other for zero cut.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment of subsections (a), (f) and (g) filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4312. Belt Sanders (Class B).
Note     •     History

Belt sanders shall have both pulleys and the unused run of the sanding belt enclosed. Rim guards will be acceptable for pulleys with smooth disc wheels provided that in-running nip points are guarded.

Exception: Portable belt sanding machines provided with: (1) Guarding on one side at the nip point where the sanding belt runs onto a pulley. (2) Handles located so that a barrier interrupts any straight line path between the gripping surface of a handle and the nip point of a pulley; and, (3) The unused run of the sanding belt guarded on one side and at the rear.
Note: Guards on stationary belt sanders may be hinged to permit sanding on the pulley.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
2. New Exception filed 10-31-94; operative 11-30-94 (Register 94, No. 44).
§4313. Disc Sanders.
Note     •     History

Disc sanders shall have the periphery and back of revolving disc guarded, and the space between revolving disc and edge of table shall not be greater than 1/4-inch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4314. Drum Sanders.
Note     •     History

(a) The exposed parts of the drum, except that portion where the material comes in contact with the abrasive surfaces, shall be guarded.
(b) Feed rolls and pressure rolls shall be enclosed except such part as may be necessary to feed stock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4315. Elbow Sanders.
Note     •     History

The revolving head shall be fully guarded except where the abrasive comes in contact with the material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4316. Boring and Mortising Machines.
Note     •     History

(a) Boring bits shall be provided with a guard that will enclose all portions of the bit and chuck above the material being worked.
(b) The top of the cutting chain and driving mechanism on chain mortisers shall be enclosed.
(c) Where counterweights are used, one of the following or equivalent means shall be used to prevent the counterweights from dropping:
(1) It shall be bolted to the bar by means of a bolt passing through both bar and counterweight; or
(2) A bolt shall be put through the extreme end of the bar; or
(3) Where the counterweight does not encircle the bar, a safety chain shall be attached to it.
(d) Bolts used to hold counterweights shall be equipped with nuts and cotter pins.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4317. Tenoning Machines.
Note     •     History

Cutting heads and saw blades of tenoning machines shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4318. Planing, Moulding, Sticking, and Matching Machines.
Note     •     History

(a) Each planing, molding, sticking and matching machine shall have all cutting heads, and saw blades, if used, covered by a metal guard. If such guard is constructed of sheet metal, the material used shall not be less than 1/16-inch in thickness, and if cast iron is used, it shall not be less than 3/16-inch in thickness.
(b) Where an exhaust system is used, the guards shall form part or all of the exhaust hood and shall be constructed of metal of a thickness not less than that specified in Section 4318(a).
(c) Feed rolls shall be guarded by a hood or suitable guard to prevent the hands of the operator from coming in contact with the in-running rolls at any point. The guard shall be fastened to the frame carrying the rolls so as to remain in adjustment for any thickness of stock.
(d) Surfacers or planers used in thicknessing multiple pieces of material simultaneously shall be provided with sectional infeed rolls having sufficient yield in the construction of the sections to provide feeding contact pressure on the stock, over the permissible range of variation in stock thickness specified or for which the machine is designed. In lieu of such yielding sectional rolls, suitable anti-kickback devices shall be provided at the infeed end.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (e) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4318.1. Wood Shapers and Similar Equipment (Class B).
Note     •     History

(a) The cutting heads of each wood shaper, hand-fed panel raiser, or other similar machine not automatically fed, shall be enclosed with a cage or adjustable guard so designed as to keep the operator's hand away from the cutting edge. The diameter of circular shaper guards shall be not less than the greatest diameter of the cutter. In no case shall a warning device of leather or other material attached to the spindle be acceptable.
(b) All double-spindle shapers shall be provided with a spindle starting and stopping device for each spindle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4319. Automatic Lathes (Shoe Last, Spoke and All Other Automatic Lathes of the Rotating Knife Type).
Note     •     History

(a) A hood or cover shall completely enclose the cutter blades while the stock is being worked. Hood or cover shall be of not less than 1/8-inch sheet steel.
(b) Shoe last and spoke lathes, doweling machines, wood heel turning machines, and other automatic wood-turning lathes of the rotating knife type shall be equipped with hoods enclosing the cutter blades completely except at the contact points while the stock is being cut.
(c) Lathes used for turning long pieces of wood stock held only between the two centers shall be equipped with long curved guards extending over the tops of the lathes in order to prevent the work pieces from being thrown out of the machines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-9-72 as procedural and organizational; effective upon filing (Register 72, No. 23).
2. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
3. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4320. Combination Woodworking Machines (Class B).
Note     •     History

Each point of operation of any tool shall be guarded as required for such tool in a separate machine. Such machines shall be equipped with a separate starting and stopping device for each point of operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4321. Cracked Saws.
Note     •     History

Any band saw, band knife, circular saw or circular knife blade found to have developed a crack shall be removed from service until the width or diameter is so reduced as to eliminate the crack or the cracked section is repaired and the tension corrected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4322. Speed of Circular Saw Blades or Knives.
Note     •     History

Circular saw blades or knives shall not be operated at speeds in excess of those recommended by the manufacturer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
2. Amendment of section heading and section filed 6-7-2000; operative 7-7-2000 (Register 2000, No. 23).
§4323. Wobble Saws.
Note     •     History

Wobble saws shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
§4324. Dust Collection Systems.
Note     •     History

(a) Use of dust collection systems for the removal of wood dust and chips produced by woodworking machines shall conform to this section.
(1) Suitable dust collection systems shall be required whenever the chips and wood dust produced by woodworking machines accumulate so as to endanger employees.

Note: Additional requirements for all mechanical ventilation systems are contained in Section 5143.
(b) Definitions.
(1) Dust Collection System. An exhaust system that is designed to capture wood dust, chips and other wood particulates at the point of generation, usually from multiple sources, and to convey the material to a point of consolidation. A dust collection system includes the collection hood, the exhaust fan, the dust collector, and all ducts, flexible hoses or other devices used for conveying the material.
(2) Dust Collector. The part of the dust collection system where the materials is separated from the air stream and consolidated. Dust collectors include conventional solid-walled cyclones and baghouses, and enclosureless bag-type units.
(3) Enclosureless Bag-Type Dust Collector. A dust collector that possess all of the following characteristics:
(A) The filtration is accomplished by passing dust-laden air through filter media, collecting the dust on the inside of the filter media, and allowing cleaned air to exit to the surrounding area.
(B) The filter medium is not enclosed in a solid-walled container.
(C) The filter medium is hand shaken, not mechanically shaken or pressure-pulsed.
(D) The filter medium is under positive pressure.
(E) Removal of the collected dust is not continuous or mechanical.
(c) Location of dust collectors. Dust collectors having a maximum air-handling capacity greater than 500 cubic feet per minute (cfm) shall be located in accordance with one of the following:
(1) Outdoors.
(2) In detached rooms of fire-resistant construction and provided with adequate explosion vents.
(3) Inside of buildings provided that the collectors are liquid-spray type collectors.
(4) Inside of buildings provided that the collectors are enclosureless bag-type dust collectors that meet all the following criteria:
(A) The collector is used only for dust pickup from woodworking or wood processing machinery (i.e., no metal grinders, painting and finishing operations, or other operations that may increase the risk of fire or explosion).
(B) The collector is not used on sanders or abrasive planers having mechanical feeds.

Exception: Mechanically fed abrasive sanders and abrasive planers that meet all of the following conditions:
1. No more than one abrasive sander or abrasive planer is connected to the same enclosureless bag-type dust collector, and
2. The sander or planer is equipped with a cut limiting device that is set to prevent stock from being fed into the sander or planer if the thickness of the stock would cause the machine to make a cut that is deeper than can be safely accomplished without causing excessive friction and without causing burning of the wood and wood dust, and
3. The sander or planer is equipped with an emergency shutoff for operator use that shuts off the mechanical feed and the abrasive belt. The abrasive belt shall be equipped with a brake that stops the belt when the emergency shutoff is activated.
4. The machine operator shall hand feed stock into the mechanical feed and shall visually inspect the stock for any metal objects which shall be removed before feeding the stock into the machine. The operator shall be in close proximity to the machine to monitor the operation and activate the emergency stop when necessary.
(C) Each collector has a maximum air-handling capacity of 5000 cfm or less.
(D) The fan motor is of a totally enclosed, fan-cooled design.
(E) The collected dust is removed daily or more frequently if necessary to ensure effective operation.
(F) The collector is located at least 20 feet from the nearest emergency egress route.

Exception: One enclosureless bag-type dust collector with a maximum air-handling capacity of 1500 cfm may be located within 20 feet of an emergency egress route provided that it is not within 10 feet of an emergency exit.
(G) The collector is located at least 20 feet from the nearest employee work station.

Exception: One enclosureless bag-type dust collector with a maximum air-handling capacity of 1500 cfm may be located within 20 feet of the nearest employee workstation.
(H) Multiple collectors in the same room are separated from each other by at least 20 ft.

Exception: A maximum of two enclosureless bag-type collectors may be located within 20 feet of each other in the same room provided that each collector has a maximum air-handling capacity of 1500 cfm or less.
(d) Bonding and grounding of ducts. Ducts and flexible hoses used to convey air and materials as part of dust collection systems shall be constructed of metal or other conductive material and shall be bonded and grounded to prevent the accumulation of static electricity generated by the airflow. Nonconductive ducts such as PVC pipes shall not be permitted.

Exception: Nonconductive flexible ducts and hoses may be used for final machine connection in a length not exceeding the minimum required for machine operation provided that bonding to ground is maintained.
(e) Guards and collection hoods. Where a dust collection system is used the guard shall form part or all of the collection hood.
(f) Removal of other refuse. Provision for the removal of refuse shall be made in all operations having refuse too heavy, bulky, or otherwise unsuitable to be handled by the dust collection system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. New subsection (c) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Amendment of subsection (a) filed 8-15-86; effective thirtieth day thereafter (Register 86, No. 41).
4. Amendment of section heading and section filed 11-5-2007; operative 12-5-2007 (Register 2007, No. 45).
5. Editorial correction of subsection (c)(4) (Register 2008, No. 43).
§4325. Heading Bolt Sawing Machine.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 60 (Sections 4325-4341) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer of Sections 4325-4341 and amendment of Article title filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
Article 60. Refuse and Trash Collection Equipment
§4342. Scope.
Note     •     History

The requirements of this Article apply to mobile refuse and trash collection equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 60 (Section 4350) and new Article 60 (Sections 4342-4345) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). For history of former Section 4350, see Register 80, No. 43.
§4343. Definitions.
Note

Hoist Equipment. The hoist arms, chains, and frame used to elevate, support, transport, dump, and unload refuse containers. Hoisting equipment is mounted on an engine-powered cab and chassis. 
Refuse Collection Vehicle. An engine-powered cab and chassis upon which mobile equipment is mounted for the receiving, compacting, transporting, and unloading of refuse, or for the receiving, transporting, and unloading of containers.
Refuse Container. A receptacle that receives and holds refuse for unloading by mechanical means into the body of a refuse collection vehicle, or used in conjunction with tilt-frame and hoist equipment. 
Tailgate. The hinged gate or door(s) that closes the rear of the body of a refuse collection vehicle.
Tilt-Frame Equipment. The tilt frame, tilt-frame support equipment, hoisting devices, tilt cylinders, and controls for operating the tilt-frame and hoisting devices for loading, dumping, and unloading refuse containers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§4344. Refuse and Trash Collection Equipment.
Note

(a) Mobile collection equipment which compacts refuse shall meet the applicable requirements of Article 61.
(b) Every refuse collection vehicle shall be equipped with a back-up warning device or other method as required by Section 3706(b).
(c) The surfaces and edges of steps shall be slip-resistant and self-cleaning.
(d) Grab handles shall be provided in conjunction with riding steps and be so located as to provide employees with a safe and comfortable riding stance.
(e) The maximum height of the loading sill on curb service manual side-loading collection equipment shall be 42 inches above the standing/loading surface.
(f) Automatic visual or audible warning devices shall be installed in the cab to indicate when any part of container-lifting mechanism, hopper covers, body, or tailgate is not in the safe position for travel, or other effective means shall be provided to prevent the vehicle from travelling when not in a travel mode.
(g) The locking mechanism of unloading doors shall be designed to limit their sudden opening upon being unlatched to protect employees from being struck by the doors.
(h) For side-hinged tailgate door(s), devices shall be provided to secure the tailgate in the open position to prevent it from swinging freely when refuse is being unloaded.
(i) Adequate illumination of the loading/unloading location shall be assured.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§4345. Hoist and Tilt-Frame Refuse and Trash Collection Equipment.
History

(a) Hoist and tilt-frame equipment placed in service on or after December 2, 1998, which is used for handling refuse containers, shall be equipped with a permanent plate or marking which states the equipment is designed and constructed in accordance with the applicable sections of ANSI Z245.1-1992, “American National Standard for Refuse Collection, Processing, and Disposal Equipment-Mobile Refuse Collection and Compaction Equipment-Safety Requirements.”
(b) Hoist and tilt-frame equipment placed in service before December 2, 1998 which is used for handling refuse containers shall be equipped with a permanent plate or marking which states the equipment is designed and constructed in accordance with the applicable ANSI Z245.1 standard in effect at the time the equipment was manufactured.
(c) Every hoist and tilt-frame vehicle shall be equipped with a back-up warning device or other method as required by Section 3706(b).
(d) Employees shall not be permitted to ride on any part of the vehicle other than in the cab when the hoist or tilt-frame equipment is in motion.
(e) The controls of hoist or tilt-frame equipment shall not be actuated if any employee is in a position to be endangered by the movement resulting from that actuation.
Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (a), new subsection (b) and subsection relettering filed 11-2-98; operative 12-2-98 (Register 98, No. 45).

View Graphic

Figure RC-1 Hoist-Type Equipment 

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure RC-1 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure RC-1 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).

View Graphic

Figure RC-2 Tilt-Frame Equipment 

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure RC-2 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure RC-2 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
Article 61. Compaction Equipment
§4350. Scope.
Note     •     History

The requirements of this Article apply to stationary and mobile compaction equipment and balers as defined in Section 4351. Excluded are stationary compactors at solid waste transfer stations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 61 (Sections 4350-4355) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). For prior history of Section 4350, see Register 77, No. 43. 
2. Amendment filed 12-4-95; operative 1-3-96 (Register 95, No. 49).
§4351. Definitions.
Note     •     History

Access Cover, Balers and Compactors. The panel(s) located on the baler or compactor that when opened permits access to the inside of the baler or compactor for the purpose of loading the baler or compactor.
Access Door, Baler. A hinged or sliding panel that allows access to the inside of the baler for the purpose of regular servicing and/or maintenance.
Access Door, Mobile Compactors. A panel covering an opening located on the body of mobile equipment that is designed to permit access by a person to the inside of the body for the purpose of service or maintenance.
Access Door, Stationary Compactors. A panel covering an opening that is designed to permit access by a person to the interior of the stationary compactor for the purpose of service or maintenance.
Automatic Cycling Control. A control that initiates the operation of a stationary compactor by an automatic actuator sensor on demand when refuse is loaded into the charging chamber and continues to cycle until signaled to stop.
Bale. A large closely pressed package of material which is bound and/or wrapped.
Baler. A form of compaction equipment which compresses loose material into compact bales and secures them for binding or wrapping.
Body. The refuse-carrying portion of mobile equipment. For rear-loading compacting equipment, the body does not include the tailgate.
Compaction Equipment, Mobile. Powered equipment which receives loose material and compresses the material by the action of a moving device into the body of the vehicle.
Compaction Equipment, Stationary. Powered equipment which receives loose material and compresses the material by the action of a ram or tramper into a portable container or into a smaller, compact mass which may be bound or wrapped.
Deadman Control. A control that requires continuous pressure by the operator.
Ejector Panel. The movable panel used for ejecting the compacted refuse from the body of mobile collection and compaction equipment. For front loaders and some side loaders the ejector panel is also the packer panel.
Loading Sill. The ledge over which refuse is deposited into the loading hopper.
Packer Panel. The plate(s) that moves the refuse from or through the loading hopper into the body of mobile collection and compaction equipment.
Ram/Tramper. The powered component of a stationary compactor or baler that moves the material from the charging chamber to the compaction area where it is compacted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 12-4-95; operative 1-3-96 (Register 95, No. 49).
§4352. Construction, Reconstruction, and Modification.
Note     •     History

(a) Refuse Compaction Equipment.
(1) Stationary and mobile refuse compaction equipment placed in service on or after January 3, 1996 shall be equipped with a permanent plate or marking which states the compactor is designed and constructed in accordance with the applicable provisions of ANSI Z245.2-1992, “American National Standard for Refuse Collection, Processing, and Disposal Equipment-Stationary Compactors-Safety Requirements” and ANSI Z245.1-1992 “American National Standard for Refuse Collection, Processing, and Disposal Equipment-Mobile Refuse Collection and Compaction Equipment-Safety Requirements,” respectively, and, in addition, shall comply with the requirements of these Orders.
(2) Stationary and mobile compaction equipment placed in service before January 3, 1996 shall be equipped with a permanent plate or marking which states the compactor is designed and constructed in accordance with the applicable ANSI Z245 standard in effect at the time the compaction equipment was manufactured.
(3) Equipment shall have a permanent identification of the name of the manufacturer and the date the equipment was manufactured.
(4) Any reconstruction or modification of compaction equipment shall be in accordance with the applicable ANSI Z245 safety standard indicated in subsections (a) and (b).
(b) Other Compaction Equipment. Balers placed in service on or after January 3, 1996 shall be equipped with a permanent plate or marking which indicates the baler meets the requirements of ANSI Z245.5-1990, “American National Standard for Refuse Collection, Processing, and Disposal-Baling Equipment-Safety Requirements.” Other compaction equipment shall be designed and constructed in accordance with good engineering practice. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 12-4-95; operative 1-3-96 (Register 95, No. 49).
§4353. Stationary Compaction Equipment and Balers.
Note

(a) All power-driven compaction equipment and balers shall be guarded in at least one of the following ways:
(1) By the installation of a point-of-operation guard or cover having the following features:
(A) When closed will prevent the entry of any part of an employee's body.
(B) Cannot close while any part of an employee's body is within the point-of-operation.
(C) Is interlocked in a manner that prevents travel of the ram unless the guard or cover is in place.
(D) In itself does not create a shearing or crushing hazard.
(2) By deadman controls so located that the operator cannot reach the point of operation while operating the controls.
(3) By other means which will positively prevent employees from entering the zone of travel of the ram while it is in operation, or will positively prevent any travel of the ram whenever an employee enters or reaches into the zone of travel of the ram.
(b) Compactor access covers/doors shall require the use of hand tools to open, or be interlocked with the ram controls to prevent movement of the ram when the doors are open.

Exception: Access covers on stationary compactors where the point of operation of the ram is guarded by location. For the purpose of this regulation, guarded by location shall mean that the ram point of operation is so located from the employee's working level or working area or by its location with reference to the frame, foundation or structure (i.e. the chute) of the compactor as to remove the hazard of accidental contact with the moving ram.
(c) Each control shall be conspicuously labeled as to its function.
(d) Operating controls shall be designed to prevent unintentional activation.
(e) A means of stopping and controlling the movement of the ram at any point shall be provided and shall be readily accessible to the operator.
(f) Automatic cycling controls shall be used only on compaction equipment provided with point-of-operation guards as described in (a)(1) or (a)(3).
(g) Compaction equipment shall be provided with a locking system to prevent unauthorized operation.
(h) An automatic interlock shall be installed on all vertical compactors and balers so that the upper gates cannot be opened while the ram/tramper is operating and the ram/tramper cannot operate while the gates are open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 

View Graphic

Figure CE-1
Commercial/Industrial-Type Stationary Compactor

Note: Authority and reference cited: Section 142.3, Labor Code.

View Graphic

Figure CE-2
Apartment/Institutional-Type Stationary Compactor

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figures CE-1 and CE-2 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Editorial correction deleting duplicate History and amending History 1 (Register 95, No. 49).
3. Amendment of subsection (b) filed 12-4-95; operative 1-3-96 (Register 95, No. 49).
4. Change without regulatory effect providing more legible illustrations for Figures CE-1 and CE-2 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§4354. Mobile Compaction Equipment.
History

(a) Mobile refuse collection and compaction equipment shall meet the applicable requirements of Article 60.
(b) On rear- and side-loaders, point-of-operation protection shall be provided during the packing cycle by one of the following means:
(1) Deadman control from the initiation of the packing cycle until the packer panel clears all pinch points.
(2) A movable guard that is interlocked with the packing cycle so that it is in place before the packer panel is within 6 inches of all pinch points, and in itself does not create a shearing or crushing hazard.
(3) A control that provides an interrupted cycle. Actuation of the control shall cause the packer panel to stop not less than 6 inches or more than 16 inches from pinch points created by the movement of the packer panel. The control shall require reactivation to complete the cycle by a subsequent motion by the operator.
(4) Other means, at least as effective as those given in (1) through (3), that will effectively protect an employee from pinch points.
(c) On front loaders, all controls for operating any part of the container-lifting mechanism shall be deadman controls.
(d) Each control shall be conspicuously labeled as to its function.
(e) Operating controls shall be designed to prevent unintentional activation.
(f) Means for stopping the packer panel, ejector panel or lifting device at any point of travel shall be provided.
(g) Access covers/doors shall be secured by lockable or latchable devices.
(h) On a collection vehicle equipped with an automatic transmission, a neutral-position interlock shall be provided if a throttle is automatically advanced far enough to put the vehicle in motion when the packing cycle is actuated. 

View Graphic

Figure CE-3
Front-Loading Collection Vehicle

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure CE-3 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure CE-3 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).

View Graphic

Figure CE-4
Rear-Loading Collection Vehicle

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure CE-4 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure CE-4 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).

View Graphic

Figure CE-5
Container Operation of Rear-Loading Collection Vehicle

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure CE-5 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure CE-5 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).

View Graphic

Figure CE-6
Side-Loading Compaction Equipment
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Figure CE-6 filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48). 
2. Change without regulatory effect providing more legible illustration for Figure CE-6 filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
§4355. Operating Rules for Compaction Equipment.
Note     •     History

(a) General.
(1) The employer shall develop a written set of operating procedures. These operating procedures shall include at least the applicable operating rules contained in this section.
(2) Employees shall not be assigned or permitted to operate compaction equipment unless they have been trained and instructed in safe methods for such operation. Such training shall include the operating instructions provided by the manufacturer for each machine.
(b) Stationary Compaction Equipment.
(1) The operator shall be instructed to attach the locks between the stationary compactor and the compactor container in conformance with the manufacturer's instructions. Such locks shall be capable of withstanding the forces generated by the action of the ram.
(2) The operator shall be instructed to ascertain that all individuals are clear of the point of operation and pinch-point area before actuating the controls.
(c) Mobile Collection/Compaction Equipment.
(1) The operator shall be instructed to ascertain that all individuals are clear of the point of operation or any pinch points before actuating the controls, and shall be ready to stop the packing cycle or loading operation.
(2) No employee shall be positioned in the path of the moving vehicle, standing on front or rear steps or on side steps, or in any other location where he cannot be seen by the vehicle operator and is subject to being struck by the vehicle or being thrown off the vehicle.
(3) No employee shall be permitted to ride on a loading sill.
(4) When parts of collection equipment are raised, they shall be blocked in accordance with Section 3314 before work is performed beneath the raised parts.
(5) Before cleaning, repairing, servicing or adjusting collection equipment, a lockout procedure complying with Section 3314 shall be established and shall be followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 64. Pulp, Paper and Paperboard Mills
§4401. Scope and Application.
Note     •     History

This Article applies to establishments, firms, persons and corporations dealing with the manufacturing, processing, storing, finishing or converting of pulp, paper, or paperboard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 64 (Sections 4410-4419) and new Article 64 (Sections 4401-4425) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Repealer of Article 64 (Sections 4401-4425) and new Article 64 (Sections 4401-4428) filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4402. Employee Instruction.
Note     •     History

Employees shall be instructed and trained as required by Section 3203 to include at least the following: 
(a) Employees shall be instructed in proper lifting or moving techniques and methods;
(b) In areas where breaks, ruptures or spills would create a hazardous condition, employees shall be trained in emergency procedures;
(c) When a lone employee is assigned to work in a remote or isolated area where a recognized potential hazard exists, a system shall be instituted for the employee to report by radio or telephone periodically or a designated person shall check the area at reasonable intervals. All affected employees shall be advised of the procedures to be followed;
(d) When unloading chips using a tipple type unloading device, railcars, trucks and trailers shall be properly secured in place and all employees shall be in the clear before a dumping operation is started;
(e) Employees shall not be allowed to walk on the rolls of roller type conveyors except in an emergency;
(f) Water shall not be used to unplug quick lime stops or plugs in pipes;
(g) Cores on winders shall not be cut with pocket knives;
(h) Open pipes shall not be used as punch bars to dislodge smelt in the recovery boiler if the use would create a hazard;
(i) Employees shall wear eye protection while removing staples from the dies or while adjusting slitter knives;
(j) When an employee is working inside of a dryer gas hood, a second employee shall be available to render assistance in the event of an emergency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
2. Amendment of subsection (d) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
§4403. Work Areas.
Note     •     History

(a) Not less than two unobstructed exits shall be provided in each room and on each floor of a batch digester building.
(b) When overhead work is in process above work or access areas, warning signs shall be placed in conspicuous locations and shall be removed when work is completed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4404. Controls and Safety Devices.
Note     •     History

Brakes, back stops, antirunaway devices, overhead releases and other similar type safety devices shall be inspected and tested frequently to ensure that all are operative and maintained in good repair.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4405. Working Over Water.
Note     •     History

Where work is being performed on docks or adjacent to open water five feet or more in depth, in addition to the requirements of Section 3389, the following shall apply: 
(a) Permanently installed or portable ladders available for emergency use shall be provided on all waterfront docks.
(1) Such ladders shall extend from the face of the dock to the water line at its lowest elevation;
(2) Spacing between ladder installations shall not exceed 400 feet;
(3) The ladder shall be secured to the dock or pier before use; and
(4) The dock area immediately adjacent to ladder locations shall be painted a contrasting bright color.
(b) Runways between the pond or pier and the shore shall be equipped with:
(1) Standard handrails and toeboards; and
(2) Inclined portions shall have cleated or equivalent non-slip surfacing.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4406. Guards and Guarding.
Note     •     History

(a) Sharp-edged slitter knives subject to accidental contact shall be effectively guarded. Carriers shall be provided and used when transporting or carrying sharp-edged slitter knives.
(b) Where workers may be exposed to contact, the wheels for the traveling sections of conveyors or similar track or guide controlled equipment shall be equipped with sweep guards. Sweep guards shall have not greater than 1/4-inch clearance above the rail or guide.
(c) Carton or bag stitching machines shall be guarded to prevent persons from coming in contact with the stitching head.
(d) The shear area between the floor and the equipment used to elevate the front end of the chip containers during dumping operations shall be guarded.
(e) Knives used for chip, hog fuel machines, or guillotine cutters shall be secured in containers during transportation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4407. Personal Protection.
Note     •     History

(a) Personal protective clothing and equipment, as required in Article 10, shall be provided.
(b) Emergency respiratory protective equipment shall be provided for the posted number of employees in elevators where exposure to harmful concentrations of toxic substances may occur.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4408. Illumination.
Note     •     History

(a) In addition to complying with the requirements of Section 3317 and Table IL-1, there shall be an emergency or secondary lighting system which can be actuated immediately upon failure of the normal power supply system. The emergency or secondary lighting system shall provide illumination in at least the following areas:
(1) Wherever it is necessary for workers to remain at their machine or station to shut down equipment in case of power failure;
(2) In all plant first aid and/or medical facilities;
(b) Emergency lighting facilities shall be inspected at least every 30 days. Defective or inoperative equipment shall be repaired or replaced with an operating unit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4409. Mobile Equipment.
Note     •     History

(a) Mobile equipment with an enclosed cab shall be provided with an escape hatch or other method of exist in case the regular exit cannot be used.
(b) Control levers of lift trucks, front end loaders, or similar types of equipment shall not be operated except when the operator is in his/her proper operating position.
(c) Whenever vehicles using LP gas as a fuel are parked for more than one hour, the service valve of the fuel container shall be closed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4410. Offloading of Railcars and Trucks.
Note     •     History

(a) Where employee access is required, rolled chip nets shall not be positioned where they cover the ladders of railcars or trucks.
(b) Elevating platform-type or cable-lift type unloading devices shall have back bumper stops.
(c) Side rails or other positive means shall be used to prevent the trailer from falling while unloading the single trailer units.
(d) The truck or tractor shall be secured when elevating platform lifts are used to elevate both the tractor and trailer or single unit trucks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4411. Bridge and Dock Plates.
Note     •     History

In addition to the requirements of Section 3337:
(a) Bridge or dock plates shall be furnished and used to bridge the area between a dock and truck or railcar.
(b) The sides of bridge or dock plates shall have an upturn or lip of at least 4 inches extending between the edge of the loading dock and edge of car or truck floor or other devices whenever the span exceeds 18 inches to prevent wheeled equipment from running off the sides.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4412. Conveyers.
Note     •     History

In addition to the requirements of Section 3999, chip, hog fuel or other conveyors not attended by an operator shall have an emergency stop cable extending the length of the conveyor. 

Exception: Those conveyors which are fully enclosed and pose no hazard to employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4413. De-Energizing and Lockout.
Note     •     History

Machines shall be locked-out in accordance with Section 3314 during set-up, repair, clean-up and maintenance procedures. The employees shall be instructed to retain possession of the key(s) to the lock(s) and personally remove the lock(s) or, if used, blocking means upon completion of the work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4414. Handling Liquid Sulfur.
Note     •     History

Every employer receiving, handling and storing liquid sulfur shall establish a written procedure requiring, but not limited to the following:
(a) Employees at unloading or usage points shall be trained to recognize the dangers of escapement from the system and the proper first aid practices to be followed in the event of exposure;
(b) Use of personal safety devices and safeguards shall be in accordance with Article 10.
(c) A minimum of two employees trained in safe procedures for the handling of liquid sulfur shall be assigned when a tank car is opened in preparation for venting and unloading. Approved respiratory protective equipment for H2S exposure, chemical splash goggles and gloves shall be worn. Spark producing or electric tools shall not be used to unplug railcar vents.
(d) Where venting can cause harmful exposure to unprotected workers in the area, a venting system shall be installed to vent the gas to a safe location for discharge or circulated through a scrubbing system. The venting system shall be installed before valves are opened.
(e) No smoking, open burning, or welding shall be permitted while unloading is in process or danger of gas escapement exists.
(f) The precautions to be taken when heating, welding, or cutting are to be done on any part of the system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38).
3. Editorial correction of subsection (a) (Register 2008, No. 16).
§4415. Stock Preparation and Reprocessing.
Note     •     History

(a) Digester Valves and Piping.
(1) The digester blow valve shall be arranged so as to be operated from another room, remote from safety valves.
(2) Digester piping installed after May 30, 1999, shall conform with Sections 122-135 ASME B31.1-1995, Power Piping, which is hereby incorporated by reference. Digester piping installed on or before May 30, 1999, shall conform with either Sections 122-135 ANSI B31.1-1997, or the updated version of the ANSI/ASME B31.1 standard in effect at the time of installation.
(3) Couplings and flanges shall be secured by bolted studs.
(4) Digester blow valves or controls shall be pinned or locked in closed position throughout the entire cooking period.
(5) Heavy-duty pipe, valves, and fitting shall be used between digester and blow-pit. The piping system shall be inspected at least semiannually to determine the degree of deterioration and, repaired or replaced when necessary.
(6) Test holes in blow lines of piping systems shall not be covered with insulation or other materials.
(b) Blowing Digester.
(1) Audible warning signals and red warning lights shall be installed in areas which may be hazardous to personnel while digesters are being blown. Such devices shall be activated prior to blowing a digester and the warning lights shall remain lighted as long as the hazard exists.
(2) After the digester has started to be blown, the blow-off valve shall be left open, and the hand plate shall not be removed until the person responsible signals the blow-pit person that the blow is completed.
(3) Whenever it becomes necessary to remove the hand plate to clear stock, operators shall wear eye protection equipment and protective clothing to guard against burns from hot stock.
(c) Blow pits and blow tanks.
(1) When located on top, openings shall be provided with guardrails.
Note: Blow-pit openings should be on the side of the pit.
(2) The blow-pit door shall remain open when the access ladder is in place or when employees are in the blow-pit.
(3) A signaling device shall be installed in the digester, blow-pit rooms and chip bins to be operated as a warning before and while digesters are being blown.
(4) Blow-pit hoops shall be maintained in a safe condition.
Note: Sections (a), (b), and (c) pertain to batch digesters.
(d) Bleach Plant.
(1) An audible emergency alarm system shall be installed and it shall be activated whenever a serious leak or break develops in the bleach plant area.
(2) Chlorine gas shall be exhausted from the bleach plant by an exhaust system meeting the requirements of Article 107.
(3) The gas shall be rendered neutral or harmless before being discharged into the atmosphere.
(4) The requirements of ANSI Z9.2-1979 shall apply.
(e) Pulping Device.
(1) When beaters are fed from the floor above, the chute opening, if less than 42 inches from the floor, shall be provided with a standard railing or other enclosure. Openings for manual feeding shall be sufficient only for entry of stock and shall be provided with at least two permanently secured crossrails, in accordance with Section 3209.
(2) When beaters are fed manually from the floor above, an emergency stop control within reach of the operator's normal work station shall be provided at the top level.
(3) Where the opening is large enough to admit a worker, any employee feeding the pulper shall be secured with a safety belt with attached lifeline.
(4) Guardrails 42 inches high shall be provided around beaters where tub tops are less than 42 inches from the floor.
(f) Shredders, Cutters, Dusters, and Blowers.
(1) On manually fed shredders, cutters, and dusters, the feed table shall be of such height and distance from the knives as to prevent the operator from reaching or falling into the knives or the operator shall be safeguarded by other acceptable means.
(2) Any manually fed cutter, shredder, or duster shall be provided with a smooth-pivoted idler roll resting on the stock or feed table in front of feed rolls except when arrangements prevent the operator from standing closer than 36 inches to any part of the feed rolls.
(3) Hoods of cutters, shredders, and dusters shall be provided with exhaust ventilation in accordance with Article 107.
(4) The blower discharge outlets and work areas shall be arranged to prevent material from falling onto workers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
2. New subsection (e)(4) and amendment of subsections (f)-(f)(2) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment of subsection (a)(2) filed 4-30-99; operative 5-30-99 (Register 99, No. 18).
§4416. Guillotine Type Roll Splitters.
Note     •     History

(a) The blade activating control shall be either:
(1) A two-hand control requiring concurrent hand application for each operator and helper who could reach into the danger zone during the cutting process; or,
(2) A control is so located that the operator(s) and helper(s) cannot reach into the danger zone during the cutting process.
(b) Rolls shall be in the horizontal position while being cut and centered directly below the blade.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4417. Broke Hole.
Note     •     History

An alarm device shall be actuated or other suitable warning shall be given before dropping material through a broke hole.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4418. Industrial Kiln Guns and Ammunition.
Note     •     History

In addition to the requirements of Section 3203, the employer shall develop a written training program to include the safety procedures for storing and operating industrial kiln guns and ammunition. All personnel working with this equipment shall be instructed and trained in these procedures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (a) and relettering of existing subsections filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
2. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4419. Chlorine Dioxide and Sodium Chlorate.
Note     •     History

(a) Sodium Chlorate.
(1) Personnel shall be instructed in the handling precautions and special work procedures when working with Sodium Chlorate.
Note: Refer to Manufacturing Chemists Association Chemical Data Sheet No. SD-42 (Sodium Chlorate).
(2) Personnel exposed to direct contact with Sodium Chlorate shall be provided with and shall wear personal protective clothing as required by Article 10.
(3) Facilities for storage and handling of Sodium Chlorate shall be designed, constructed and maintained to eliminate possible contact of dry or evaporated Sodium Chlorate with wood or other material which could cause a fire or explosion.
(b) Chlorine Dioxide.
(1) Where a safety shower is not immediately available and welding or other sources of ignition are present, a “jump tank” shall be provided for employees exposed to contact with sodium chlorate and/or other hazardous chemicals.
(2) Welding or burning shall not be performed on the generator system while it is operating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4420. Pulp Storage.
Note     •     History

Baled paper, rags and pulp shall not be piled over pipelines, or in excess of floor capacity, or stored within 18 inches of walls, partitions, or sprinkler heads.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4421. Recovery Furnace Area.
Note     •     History

(a) An audible emergency warning system shall be installed in kraft and soda base sulfite recovery furnace areas.
(b) Smelt-dissolving tanks shall be covered at all times except when samples are being taken.
(c) Exhaust ventilation shall be designed, installed and maintained where niter cake is fed into a rotary furnace to ensure the concentration of hydrogen sulfide gas permissible exposure limit (PEL) meets the requirements of Article 107.
(d) Pressure tank accumulators shall be inspected twice annually. A record of the inspection, including the date and name of the person who made the inspection, shall be kept on file in the plant.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4422. Chocking Rolls and Machine Room.
Note     •     History

(a) Emergency Stopping Controls. Pulp and paper machines shall be equipped with emergency stopping control(s) which can be actuated quickly from all normal operating stations. Where necessary, for the safety of employees, the stopping control(s) shall be interlocked with adequate retarding or braking action to stop the machine as quickly as is practical.
(b) All weights installed on levers shall be secured or attached in a manner to prevent slipping or falling.
(c) Winders and Rewinders.
(1) The nip points of all drum winders and rewinders located on the operator's side shall be guarded by either automatic or manually operated barrier guards. The barrier guard shall be interlocked with the drive mechanism to prevent operating above jog speed without the guard in place.
Note: A zero speed switch should be installed to prevent the guard from being raised while the roll is turning.
(2) A nonskid surface shall be provided in front of the rewinder to prevent an employee from slipping.
(d) Core Shaft. When the core shaft weighs in excess of the safe standard, a mechanical device such as a dolly shall be provided for carrying all or part of the weight when it is being removed from the set of paper and placed in the dressing brackets on the winder.
Note: In the event that the force required to extract the shaft from the cores is excessive, even though the weight of the shaft is being supported, a powered shaft puller should be employed to relieve the operator of physical strain.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-16-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4423. Paper Machines.
Note     •     History

(a) An audible alarm shall be sounded prior to starting up any section of a pulp or paper machine. Sufficient time shall be allowed between activation of the alarm system and start-up of the equipment to allow any persons to clear the hazardous area.
(b) Feeder belts, carrier ropes, air carriage or other equally effective means shall be provided for starting paper into the nip of drum type reels.
Note: 1: A rope-carrying system should be used whenever possible at points of transfer. 
Note: 2: Sheaves should be spaced so that they do not create a nip point with each other, and the sheave and its support should be capable of withstanding all intended forces.
(c) To remove deposits from rolls, a specially designed hand-held scraper tool shall be used.
(d) Scraping of rolls shall be performed on the outgoing nip side. 
(e) Reels shall stop rotating before being lifted away from the reel frame.
(f) All lifting equipment (clamps, cables, and slings) shall be maintained in a safe condition and inspected regularly.
(g) All drum winder nip points shall be guarded.
Note: Machines should be set up with the drums running outward.
(h) All winder shafts equipped with a winder collar guide shall have a guide rail to align the shaft for easy entrance into the opened rewind shaft bearing housings.
Note: If the winder is large and the rewind shafts are too heavy for manual insertion, powered rewind shaft injectors should be employed. 
(i) Core collar set screws used for the securing of core collars to winding and unwinding shafts shall not protrude above the face of the collar. All edges of the collar with which an operator's hand comes in contact shall be beveled to remove all sharp corners.
(j) Shaftless winders shall be provided with a barrier guard of sufficient strength and size to confine the rolls in the event they become dislodged while running.
(k) All calendar stacks and spreader bars shall be grounded as protection against shock induced by static electricity.
(l) All exposed sole plates between dryers, calenders, reels and rewinders shall have a non-skid type surface.
(m) When a powered roll ejector is used, it shall be interlocked to prevent actuation until the receiving platform or roll lowering table is in position to receive the roll.
(n) Unless counterbalanced to prevent falling, the rider roll shall be secured when in the raised position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4424. Converting Operations.
Note     •     History

(a) Rolls handled by cranes or hoists shall not be passed over employees.
(b) Cranes or hoist controls shall not be left unattended while a load is suspended.
(c) Where a hazard to employees exist, all power closing sections shall be equipped with an audible warning system which will be activated when closing the sections.
(d) Slitters, slotters, and scorers not in use shall be stored as not to create a hazard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4425. Sorting and Counting Tables.
Note     •     History

(a) Tables shall be smooth and free from splinters, with edges and corners rounded.
(b) Paddles shall be smooth and free from splinters.
(c) Conveyors which can be adjusted to different elevations upon need and where employees could pass below these sections shall have the floor area painted a distinctive color or otherwise conspicuously marked or identified.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4426. Corrugators.
Note     •     History

(a) Recessed floor conveyor systems shall be designed and installed to minimize tripping hazards. Where a tripping hazard(s) exists, the hazard(s) shall be identified by painting it a distinctive color or otherwise be conspicuously marked.
(b) Rails for roll stands and other rail mounted devices shall be installed to comply with the following:
(1) The rails shall be flush with the floor; and
(2) A minimum 18-inch clearance shall be provided between the device(s) and fixed equipment or walls.
(c) Corrugating and pressure rolls shall be equipped with threading guides designed and installed to prevent contact with the operating feed nip.
(d) A minimum 4-inch clearance shall be maintained between heated drums, idler rolls and cross shafting on all preheaters and preconditioners.
(e) A minimum 4-inch nip clearance shall be maintained on the lower elevating conveyor belt rolls of single facer bridges.
(f) Slitter stations not in use shall be disconnected from the power source by positive means.
(g) The adhesive exhaust system shall be designed, installed and maintained to comply with the permissive exposure limits (PEL) contained in Article 107.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4427. Automatically Fed Platen Cutters.
Note     •     History

(a) The infeed to the die shall be guarded to prohibit the entry of the operator's hand.
(b) Where hinged or moveable, the guard shall be interlocked to disconnect the power from the prime mover when the guard is in the open position.
(c) A minimum 4-inch clearance shall be provided between the end of the slat and the guide bar.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
§4428. Calenders and Similar Rolls.
Note     •     History

(a) A guard or feeding device shall be provided which will allow feeding of the material without permitting the fingers of the operator to be caught in the nip point(s). This shall be accomplished by:
(1) Provision of a lever, rod or treadle allowing the operator to immediately stop the rolls at the feed point, or 
(2) An automatic device which will stop the rolls when the fingers approach the nip point(s).
Note: Use of a “Doctor Feed” is acceptable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-15-86; effective thirtieth day thereafter (Register 86, No. 38). 
Article 65. Paper Converting and Printing Machines
§4430. Calender and Similar Rolls (Class B).
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4431. Corner Cutter.
Note     •     History

Single and double machines, except manually operated machines, shall be provided with a guard in front of and to the side of the knives.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4432. Corner Stayer.
Note     •     History

Corner stayers with or without mechanical power shall be provided with an automatic device that will instantly stop the downward motion of the plunger, should the fingers of the operator come between the plunger and the anvil.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4433. Cutter and Creasers.
Note     •     History

Drum cylinder type of cutters and creasers shall be guarded to prevent the operator's hands being caught between the cylinder and the bed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4434. Rotary Scoring Machines.
Note     •     History

Scorers having a roller diameter larger than 2 1/2-inches shall have a guard in front of in-running discs or blades that will prevent injury to the operator's hands while machine is in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4435. Drum Winder on Paper Machine.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4436. Job Platen Press (Class B).
Note     •     History

Job platen presses with or without mechanical power shall be provided with one of the following:
(a) An automatic feed which does not require the operator's hands to be placed between the platen and bed, or
(b) An automatic stop which will prevent the platen from closing if the hand or hands of operator are caught between the platen and the bed, or
(c) A guard or gate, mechanically operated, which will throw the operator's hands out of the way as the press closes. If of the type which lifts the hands out of the danger zone the guard shall rise at least four inches above the platen as the press closes and descends by gravity or be drawn down by springs. The guard shall be arranged so that it will prevent a shear between the guard and the top of the platen, or
(d) Any other device that will prevent the platen from fully closing, if the hands of the operator are between the platen and bed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4437. Index Cutter (Class B).
Note     •     History

All knives or plungers used for cutting strips off ends of books and similar operations shall be provided with a guard that will prevent the operator's hands coming into contact with the cutting knife or plunger as it descends.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4438. Guillotine Type Cutters.
Note     •     History

(a) Each guillotine type cutter shall be equipped with a control which requires the operator to use both hands to engage the clutch.
(b) Each guillotine type cutter shall be equipped with a nonrepeat device, except programmed machines having barrier guards and/or devices which will effectively prevent employees' hands from entering the danger zone.
(c) Carriers shall be provided and used for transportation of guillotine type cutter knives.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (f) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Repealer and new section filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4439. Paper Box Ending and Edge Attaching Machines.
Note     •     History

Paper box ending and edge attaching machines shall be provided with an automatic device which will prevent the application of injurious pressure if the fingers of the operator are between the top of the form and the pressure head.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4440. Cylinder and Rotary Presses (Class B).
Note     •     History

The in-running sides of power operated rollers or cylinders shall be provided with a guard so arranged that the material can be fed to the rollers without permitting the operator's fingers to be caught between the rollers or cylinders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4441. Lithographic Presses.
Note     •     History

The in-running side of the cylinder(s) and roller(s) shall be provided with a guard that will prevent the operator from being caught between the cylinders or rollers. 

Exception: Sheet-fed lithographic presses of one horsepower or less, provided that cylinders and rollers are spring-loaded or cup-mounted, caution signs are posted in the vicinity of such presses, and operators are trained in their safe operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4442. Embossing Machines.
Note     •     History

Embossers of the head type shall be equipped with:
(a) A fixed guard enclosing front and sides of press with space for feeding stock. The guard shall be so arranged that the operator's fingers cannot go between the press and the die while feeding stock, or
(b) A fixed or a movable guard on the sides and a movable guard in front connected with the operating mechanism in such a manner that the operator's fingers cannot be caught by the press while feeding stock, or
(c) A starting device which requires the simultaneous action of both hands to trip the machine. 

Exceptions: 
1. Machines with feed such that the hands of the operator cannot come in contact  with the die while feeding.
2. Hand-Fed Engraving Presses covered under Section 4445.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 5-30-80; effective thirtieth day thereafter (Register 80, No. 22).
2. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4443. Paper Punches and Line Perforators (Class B).
Note     •     History

Mechanical or foot power punches and line perforators shall be provided with a device that will prevent the operator's fingers from entering the point of operation. 

Exception: Paper punches and line perforators where the clearance between the opening for feeding stock does not exceed three-eighths inch when in the open position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4444. Slotters.
Note     •     History

(a) Slotters of vertical type.
(1) The knife shall be provided with a stripper, or
(2) Shall be provided with a guard in front of knives so arranged that the hands of the operator cannot come into contact with the knives while machine is in operation.
(b) Rotary Slotter. A guard shall be provided in front of the knives so that the hands of the operator cannot come into contact with the knives while machine is in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
§4445. Hand-Fed Engraving Presses.
Note     •     History

When employing the face-down method of printing, automatic or semi-automatic feeders shall be used where feasible. Where automatic feeders are not feasible, the following listed precautions shall be utilized:
(1) Stock material of sufficient size so that 2 inches or more of the material being printed projects in front of the closed die shall be used.
(2) A finger slot in the counterboard which is 2 inches or more from the die shall be used.
(3) A safety training program for press operators and maintenance personnel to assure safe operating practice and hazard awareness shall be instituted.
(4) A sign readily visible to the operator affixed to the press and warning of the point of operation hazard shall be in place.
(5) A positive locking device shall be installed on each manual control to protect the press operators from unexpected stroking of the ram. The device shall protect against unintentional engagement of the clutch and shall be engaged in all circumstances when employees are required to place their hands in the point of operation area such as setup, repairs, changing dies and clearing jams.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-30-80; effective thirtieth day thereafter (Register 80, No. 22).
2. Amendment of subsection (5) filed 9-22-86; effective thirtieth day thereafter (Register 86, No. 41). 
Article 66. Textiles
§4456. General.
Note     •     History

The requirements of this Article for textile safety apply to the design, installation, processes, operation, and maintenance of textile machinery, equipment, and other plant facilities in all plants engaged in the manufacture and processing of textiles, except those processes used exclusively in the manufacture of synthetic fibers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Sections 4456-4459, consecutive, filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment of NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4457. Definitions.
Note     •     History

Cards. Cylinders of various sizes and in certain cases flats covered with card clothing and set in relation to each other so that fibers in staple form may be separated into individual relationship.
Card Clothing. The material with which many of the surfaces of a card are covered; e.g., the cylinder, doffer, etc. It consists of a thick foundation material, usually made of textile fabrics, through which are pressed many fine, closely spaced, specially bent wires.
Comber. A machine for combing fibers of cotton, wool, etc. The essential parts are a device for feeding forward a fringe of fibers at regular intervals and an arrangement of combs or pins which, at the right time, pass through the fringe. All tangled fibers, short fibers, and neps are removed and the long fibers are laid parallel.
Drying Cans. Hollow cylindrical drums mounted in a frame so they can rotate. They are heated with steam and are used to dry fabrics or yarn as it passes around the perimeter of the can.
Dye Jig. A machine for dyeing piece goods. The cloth, at full width, passes from a roller through the dye liquor in an open vat and is then wound on another roller. The operation is repeated until the desired shade is obtained.
Garnett Machine. Any of a number of types of machines for opening hard twisted waste of wool, cotton, silk, etc. Essentially, such machines consist of a licker-in; one or more cylinders, each having a complement worker and stripper rolls; and a fancy roll and doffer. The action of such machines is somewhat like that of a wool card, but it is much more severe in that the various rolls are covered with garnett wire instead of card clothing.
Loom. A machine for effecting the interlacing of two series of yarns crossing one another at right angles. The warp yarns are wound on a warp beam and pass through heddles and reed. The filling is shot across in a shuttle and settled in place by reed and lay, and the fabric is wound on a cloth beam.
Nip. The point of contact between two in-running rolls.
Ribbon Lapper. A machine used to prepare laps for feeding a cotton comb; its purpose is to provide a uniform lap in which the fibers have been straightened as much as possible.
Shearer. A machine used in shearing cloth. Cutting action is provided by a number of steel blades spirally mounted on a roller. The roller rotates in close contact with a fixed ledger blade. There may be from one to six such rollers on a machine.
Sliver Lapper. A machine in which a number of parallel card slivers are drafted slightly, laid side by side in a compact sheet, and wound into a cylindrical package.
Warper. Any machine for preparing and arranging the yarns intended for the warp of a fabric, specifically, a beam warper.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4458. Warpers.
Note     •     History

Swiveled double-bar gates shall be installed on all warpers operating in excess of 450 yards per minute. These gates shall be so interlocked that the machine cannot be operated until the gate is in the “closed position,” except when inching or jogging.
Note: “Closed position” shall mean that the top bar of the gate shall be at least 42 inches from the floor or working platform; and the lower bar shall be at least 21 inches from the floor or working platform; and the gate shall be located 15 inches from the vertical tangent to the beam head.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4459. Drawing Frames, Slubbers, Roving Parts, Cotton Combers, Ring Spinning Frames, Twisters.
Note     •     History

Gear housing covers on all installations of drawing frames, slubbers, roving frames, cotton combers, ring spinning frames, and twisters shall be equipped with interlocks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4460. Shuttles.
Note     •     History

All looms shall have a shuttle guard constructed in such a manner as to prevent shuttle flying from machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4461. Cards.
Note     •     History

(a) The cylinder cover on revolving flat type cards, shall be provided with an interlock, be securely bolted in place, or shall be provided with a stripping device so arranged that the operator cannot come in contact with the point of operation.
(b) A licker-in cover shall be provided on all cards and shall be bolted securely in place so that it cannot be readily opened by the operator. Thumb screws or wing nuts shall not be used.
(c) On operations calling for flat strippings which are allowed to fall on the doffer cover, where such strippings are removed by hand, the doffer cover shall be kept closed and securely fastened to prevent the opening of the cover while the machine is in operation. When it becomes necessary to clean the cards while they are in motion, a long-handled brush or dust mop shall be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4462. Carpet Frayer or Rag Shredder.
Note     •     History

Cylinder door or cover shall be provided with an interlock so constructed that the cover cannot be opened while the roller is revolving or the cover shall be clamped in place and the slot be so constructed and guarded that the operator's fingers cannot come in contact with the roller.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4463. Carpet Trimmer.
Note     •     History

Revolving knives shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4464. Circular Knife.
Note     •     History

Circular knives or discs shall be equipped with a guard which will prevent contact with the cutting edges while the machine is in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4465. Cotton Picker, Opener and Willower.
Note     •     History

The beater cover shall be provided with an interlocking device so arranged that the cover cannot be opened while the beater is revolving.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4466. Picker Machines.
Note     •     History

All machines used in picking wool, hair, rags or other material shall have the rolls completely covered, except the opening necessary to feed stock. This opening shall be so constructed or guarded that the employees' fingers cannot come into contact with the rolls. 

Exception: Machines covered by 4465.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment of NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4467. Pile Cutter or Shearer.
Note     •     History

Knife rolls shall be provided with a cover or guard which will prevent the employees' fingers from coming in contact with the rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4468. Napper.
Note     •     History

Rolls shall be provided with a cover or guard so arranged that the employees' fingers cannot be caught in the rolls while feeding the material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4469. Sliver and Ribbon Lap Machines (Doublers).
Note     •     History

A device or cover shall be provided and so arranged that the employees' hands cannot be caught under the lap roll.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of heading filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4470. Garnett Machine.
Note     •     History

Openings in lower frame and between lower frame and floor shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4471. Dye Jigs.
Note     •     History

Roll arms on dye jigs shall be built to prevent the center bar from being forced off, causing the batch to fall.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Sections 4471-4474, consecutive, filed -19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4472. Drying Cans.
Note     •     History

Drying cans which are not designed to prevent vacuum collapse, each can shall be equipped with one or more vacuum relief valves with openings of sufficient size to prevent collapse of the can if vacuum occurs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4473. Hand Bailing Machine.
Note     •     History

A handle stop guard shall be installed at the right angle to the frame of the machine. The stop guard shall be so designed and so located that it will prevent the handle from traveling beyond the vertical position should the handle slip from the operator's hand when the pawl has been released from the teeth of the takeup gear.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4474. Cuttle or Swing Folder (Overhead Type).
Note     •     History

The bottom of the overhead folders shall be located not less than 7 feet from the floor or working surface.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4475. Commercial Sewing Machines.
Note     •     History

(a) The lower pulley nip points shall be guarded.
(b) The upper pulley nip points shall be guarded by a plate or structural shape the thickness of the minimum width of the v-belt. This guard shall fit between the runs of the v-belt and extend from at least three inches from the pulley's outer rim to within 1/8-inch of and conforming to the arc of the perimeter of the pulley groove.
(c)(1) On sewing machines having the pulley outboard of the handwheel or no handwheel at all, a disc guard with a rolled edge shall be installed on the outside of the pulley. The diameter of the disc shall be at least one and one-half inches greater than the root diameter of the v-belt pulley.
(2) On sewing machines with the pulley inboard of the handwheel, the diameter of the handwheel shall be at least one and one-half inches greater than the root diameter of the pulley, or a disc guard as described in (1) above shall be installed on the outside of the handwheel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4476. Cloth Cutters.
Note     •     History

(a)(1) On reciprocating knife machines, a guard shall be provided in front of the knife blade. The clearance between the guard and blade shall not exceed two inches.
(2) Rotary knife machines shall be guarded by retractable or fixed guards.
(A) Retractable guards shall enclose the blades and adjust automatically to the thickness of and remain in contact with the material being cut.
(B) Fixed guards shall be in front of the rotary knife blade; the clearance between the fixed guard and the forward edge of the rotary knife blade shall not exceed one inch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
Article 67. Laundry and Dry Cleaning Equipment
§4479. Definitions.
Note     •     History

NOTE

Authority cited: Sections 142 and 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Repealer of subsection (a)(5) and numerical renumbering of subsections (a)(6)-(10) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
3. Repealer filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4480. Marking Machine.
Note     •     History

(a) Each power marking machine shall be equipped with a spring compression device of such design as to prevent injury to finger bones should they be caught between the marking plunger and platen, or
(b) The marking machine shall be equipped with a control mechanism which will require the simultaneous action of both hands to operate the machine, or
(c) There shall be a guard which will interpose a barrier in front of the marking plunger.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No.47). 
§4481. Washing Machines.
Note     •     History

(a) Each washing machine shall be equipped with a substantial cover of not less than No. 20 gauge material, or equivalent, to cover the opening in the case or shell.
(b) Each washing machine shall be equipped with an interlock that will disconnect the current to the drive motor and prevent starting rotation of the cylinder when the access door to the machine is open. The interlock shall, however, enable the operator to inch the machine with the access door open.

Exception: This requirement does not apply to washing machines of 50 pounds capacity or less and which does not rotate more than 100 RPM.
(c) Each washing machine or washer/extractor shall be provided with a means to prevent accidental self-closing of the shell or cylinder doors while loading or unloading the machine. 

Exception: This requirement does not apply to sideward-hinged or over-the-center doors that tend to remain open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 11-286; effective thirtieth day thereafter (Register 86, No. 47). 
§4482. Extractors.
Note     •     History

(a) Each extractor shall be equipped with a metal cover of at least No. 20 gauge, or its equivalent, which shall entirely cover the opening of the outer shell.
(b) Each centrifugal extractor or washer/extractor shall be equipped with an interlock that will disconnect the current to the drive motor and prevent starting rotation of the cylinder when the access door to the machine is open. The interlock shall further prevent opening of the access door or cover while the cylinder is rotating. The interlock shall, however, allow the operator to rotate the basket by manual control or inch the basket for loading or unloading while the access door or cover is open.
(c) The exterior of the basket, including hoops or bands, shall be inspected at least every year to determine condition of basket. The extractor shall be dismantled and the bearings, bearing blocks, and basket shall be inspected at least every two years and all necessary repairs or replacements made. A basket that shows signs of weakness, shall not be used. A record of the inspection, including the date and name of person who made the inspection, shall be kept on file in the plant.
(d) Each extractor shall be equipped with a mechanically or electrically operated brake to stop the basket when the power driving the basket is shut off.
(e) Each squeeze extractor shall be provided with a cover operated by two-hand controls, and an interlock to prevent unloading the machine unless the pressure has been released and also to prevent applying pressure unless the cover has been properly closed. Gages in front of the machine shall indicate the applied pressure. A steam, hydraulic- or pneumatic-operated device shall be provided with a pressure relief valve set to open if the applied pressure exceeds by 10% the maximum operating pressure which shall be shown on the machine nameplate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (b) and new subsections (f) and (g) filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Repealer of subsections (c) and (e) and relettering of existing subsections filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment of section heading and subsection (c) filed 11-20-86; effective thirtieth day thereafter (Register 86. No.47). 
§4483. Power Wringer.
Note     •     History

Each power wringer shall be equipped with a guard across the entire front of the feed or first pressure rolls, so arranged that when struck the machine will immediately stop.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4484. Starching Machine(Cylinder or Box Type) (Class  A).
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4485. Drying Tumbler, End Loading.
Note     •     History

(a) Each tumbler shall be equipped with a device that will prevent energizing the drive motor which rotates the cylinder unless the shell door is closed. The device shall, however, allow for the momentary inching of the tumbler to facilitate loading and unloading.
(b) Each tumbler shall be provided with means to prevent accidental self-closing of the shell door during loading and unloading of the machine. This requirement does not apply to sideward-hinged doors that tend to remain open.

Exception: 
1. This requirement does not apply to sideward-hinged doors that tend to remain open. 
2. Tumblers designed without doors where the work is continuously loaded and discharged.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment of subsection (a) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
3. Amendment of subsection (b) filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4486. Shaker (Clothes Tumbler, Batch Type).
Note     •     History

(a) Each shaker or clothes tumbler shall be equipped with:
(1) A device that will prevent the tumbler from moving while the door is open. The tumbler shall be enclosed or guarded so as to prevent accidental contact.
(2) Brakes or other positive locking devices to prevent the inside cylinder from moving when the machine is being loaded or unloaded.
Note: “Inching devices” are permitted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4487. Drying Box or Cabinets.
Note     •     History

Access doors to drying boxes or cabinets shall have door latches or locks that will enable an operator to open the doors readily from the inside and the outside. Doors that cannot be opened from the inside without a key, wrench, or tool shall not be used on drying boxes or cabinets.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 1422.3, Labor Code.
HISTORY

1. New section filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment of NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4488. Dampening Machine (Class A).
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4487 to Section 4488 filed 9-19-75 (Register 75, No. 38).
2. Repealer filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4489. Ironer (Flatwork Type).
Note     •     History

(a) Each flatwork and collar ironer shall be equipped with a guard across the entire front of the feed or first pressure rolls, so arranged that when struck the machine will immediately stop.
(b) The pressure rolls shall be guarded or covered so that an employee cannot reach into the rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4488 to Section 4489 filed 9-19-75 (Register 75, No. 38).
2. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4490. Ironer (Body Type).
Note     •     History

Each body ironer, roll or shoe type, including sleeve and band ironers, shall be equipped with a guard across the entire length of the feed roll or shoe, so designed that when struck the machine will immediately stop.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4489 to Section 4490 filed 9-19-75 (Register 75, No. 38).
2. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4491. Ironer (Rotary-Body Type).
Note     •     History

Each combined rotary bosom and coat-ironer shall be equipped with a guard across the entire length of the feed roll or shoe, so designed that when struck the machine will immediately stop.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4490 to Section 4491 filed 9-19-75 (Register 75, No. 38).
2. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4492. Ironer (Press Type).
Note     •     History

Every ironing press (except hand- or foot-power presses) used in the ironing or finishing of textiles and/or other materials shall be equipped with a guard or controls of such design, construction, and installation that will prevent the operator, or other person, from being caught between the ironing surfaces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of Section 4491 to Section 4492 filed 9-19-75 (Register 75, No. 38).
2. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4493. Boilers and Pressure Vessels.
Note     •     History

(a) Boilers and pressure vessels shall comply with the Boiler and Fired Pressure Vessel Safety Orders and the Unfired Pressure Vessel Safety Orders.
(b) Where pressure-reducing valves are used, a safety relief valve shall be provided on the low-pressure side of the reducing valve to prevent pressure build-up in excess of the maximum allowable working pressure. The safety relief valve shall be located as close as possible to the reducing valve, and it shall be vented to the atmosphere in a manner to avoid injury or damage caused by escaping fluid. The relief valve and vent system discharge capacity shall be sized so that the pressure rating of the low-pressure piping and equipment are not exceeded if the reducing valve sticks or fails to close.
Note: The relief valve may be omitted if the pressure before the reducing valve does not exceed the maximum working pressure of the equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Sections 4493 and 4494 filed 9-19-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 11-2-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4494. Operating Rules.
Note     •     History

(a) Employees shall be properly instructed on the hazards of their work and on safe practices by either bulletins, printed rules, verbal instructions, or periodic safety meetings.
(b) Markers, sorters, and other persons handling soiled clothes shall be warned by signs in their work area against touching eyes, mouth, or any part of the body on which the skin has been broken, abrased, or injured, and against touching or eating food unless their hands have been thoroughly washed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (c) and (d) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
Article 68. Leather and Composition Goods Machines
§4510. Dinking and Clicking Machines.
Note     •     History

Every dinking machine shall be guarded by at least one of the following methods:
(a) Dies known as “safety type” shall be used. Such dies shall be at least three inches in height with safety grooves or flanges which reduce danger of operator's fingers being caught between top of die and beam, or they shall be provided with horizontal or vertical handles at least two and one-half inches in height above the die proper, or
(b) The machine shall be provided with a sliding table or swinging head which does not require the operator's hands to be placed under the beam or head, or
(c) There shall be a two-handed device that requires both hands of the operator to be removed from under the beam at the time of tripping the machine. 
(d) The point of operation shall be guarded on all sides. The end guards shall be fixed and the front and back guards shall be gate guards of the elevating interlocking type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4511. Embossing Machines (Power or Foot Driven).
Note     •     History

Embossers of the head type shall be equipped with at least one of the following:
(a) A fixed guard enclosing front and sides of platen with stock feeding slots too narrow to allow insertion of operator's fingers, or
(b) An interlocking gate guard connected with the operating mechanism in such a way that it will automatically protect the front and sides of platen during the power stroke, ensuring that the operator's hand cannot be caught by the platen, or
(c) A starting device which requires the simultaneous action of both hands of the employee or employees when two or more employees are operating the press, or
(d) A sliding or revolving table or other feeding device which does not require the operator's hands to be placed under the platen, or
(e) A mechanically operated guard which throws the hands of the operator out of the way as the platen descends. Such a guard should be padded to prevent injury should it strike the operator's hand or wrist.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4512. Heel Compressing Machine.
Note     •     History

(a) Heel compressing machines shall be equipped with a control device that requires a simultaneous action of both hands, or they shall be provided with a mechanical feeding device.
(b) The plunger shall be guarded either by a complete enclosure or by a barrier guard in front of the plunger.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4513. Skiving Machines (Roll Feed).
Note     •     History

Feed rolls shall be so arranged that material must be fed through a slot or under a metal rod or strip directly in front of the feed and running the full length of the rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4514. Splitter (Stationary Knife).
Note     •     History

Feed rolls shall be so arranged that material must be fed through a slot or under a fixed metal rod or strip directly in front of the feed and running the full length of the roll.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4515. Splitter (Band Knife).
Note     •     History

(a) All exposed portions of the knife as well as band wheels shall be enclosed and feed rolls shall be guarded.
(b) An extension of the stopping device shall be installed across the entire front of the top of the feed roll so installed that it can be readily operated from the operator's working position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4516. Stripper (Class B).
Note     •     History

Strippers shall be provided with a control device which requires the simultaneous action of both hands during the cutting movement of the knife.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4517. Tanning Drums.
Note     •     History

Horizontal revolving drums shall be guarded and the drum shall be provided with a substantial device to prevent the movement of the drum while loading or unloading.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4518. Roll Type Machines.
Note     •     History

The in-running side of corrugating, crimping, embossing, pleating, printing, and graining rolls shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4519. Unhairing Machines.
Note     •     History

All knives used in removing hair from hides and skins shall be enclosed except such opening as is necessary to feed stock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4520. Fleshing Machines.
Note     •     History

The pinch rolls and cylindrical knife shall be enclosed except such opening as is necessary to feed the stock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4521. Fleshing and Unhairing Machines--Special Types.
Note     •     History

All fleshing and unhairing machines in which the cylinders have a secondary motion in addition to a rotary one shall be equipped with a two hand control. This control shall be arranged so that the simultaneous and continuous action is required to set the machine in motion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
§4522. Whitening Machines.
Note     •     History

The moving parts of the heads of whitening machines shall be enclosed except such opening as is necessary to feed the stock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). 
Article 69. Food and Tobacco Machinery
§4530. Bakery Ovens.
Note     •     History

(a) General Oven Requirements.
(1) Ovens shall be located so that possible fire or explosion will not expose groups of persons to possible injury. For this reason ovens shall not adjoin lockers, lunch or sales rooms, main passageways, or exits.
(2) All bakery oven safety devices shall be inspected in accordance with the manufacturer's recommendations and shall include an annual inspection. If manufacturer's recommendations are not available, the bakery oven safety devices shall be inspected in accordance with the National Fire Protection Association (NFPA) 86-2007, Standard for Ovens and Furnaces, Chapter 1, Section 1.1, Scope and Chapter 7, Section 7.5 and NFPA 54-2006/American National Standards Institute (ANSI) Z223.1-2006, National Fuel Gas Code, Annex B.3, which are herein incorporated by reference.

Exceptions: Coal and other solid fueled fire ovens and ovens with heating systems that supply a total input of not exceeding 150,000 Btu/hour (44 kW).
(3) Main shutoff valves, operable separately from any automatic valve, shall be provided to permit turning off the fuel or steam in case of an emergency.
(4) Main shutoff valves shall be located so that explosions, fires, etc. will not prevent access to these valves. 
(5) Main shutoff valves shall be locked in the closed position when a person must enter the oven or when the oven is not in service.
(b) Fired Ovens. Fired ovens shall be safeguarded against failure of fuel, air or ignition. Automatically controlled gas or oil fired equipment shall have a safety pilot mechanism installed by the manufacturer and so arranged that fuel will be shut off to both the main burner and pilot burner in case of failure of the pilot burner flame or of the spark igniter.
(c) Recirculating Ovens.
(1) Each circulating fan in recirculating ovens shall be interconnected with the burner in such a manner that the fuel is shut off by a safety valve when the fan is not running.
(2) The flame of the burner or burners in recirculating ovens shall be protected by a quick-acting flame-sensitive safeguard which will automatically shut off the fuel supply in case of burner failure.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
2. New subsection (a)(2), subsection renumbering and amendment of newly designated subsection (a)(5) filed 5-1-2009; operative 5-31-2009 (Register 2009, No. 18).
§4531. Dumpbins and Blenders.
Note     •     History

(a) Means shall be provided to hold the hinged dumpbin covers in the open position, so that they will not accidentally fall down while the dumpbin is in operation.
(b) All dumpbin and blender hoods shall be of sufficient capacity to prevent circulation of flour dust outside the hoods.
(c) All dumpbins shall be of a suitable height from floor to enable the operator to dump flour from bags, without causing undue strain or fatigue. Where the edge of any bin is more than 24 inches above the floor, a bag rest step shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4532. Storage Bins.
Note     •     History

Storage bins shall be provided with gaskets and locks or latches to keep the cover closed, or other equivalent devices in order to insure the dust tightness of the cover.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4533. Screw Conveyors.
Note     •     History

The covers of all screw conveyors shall be made removable in convenient sections, held on with clamps at proper intervals keeping all covers dust-tight. Where drop or hinged bottom sections are provided this provision shall not apply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4534. Enclosures of Flour Sifters.
Note     •     History

Enclosures of all types of flour sifters shall be so constructed that they are dust-tight but readily accessible for interior inspection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4535. Trough Hoists.
Note     •     History

(a) Safety catches shall be provided for the chain so that the chain will hold the load in any position.
(b) Safety hooks shall be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4536. Air Conditioning Units, Bread Coolers, Fermentation Rooms, and Other Similar Locations.
Note     •     History

On large units with doors to chambers large enough to be entered, all door locks shall be operable from both inside and outside.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4537. Locking Devices on Steam Kettles.
Note     •     History

Positive locking devices shall be provided to hold steam kettles in the desired position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8). 
§4538. Pan Washing Tanks.
Note     •     History

Power ventilated exhaust hoods shall be provided over the tanks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
2. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4539. Pomace Pumps.
Note     •     History

(a) The auger or screw mechanism located at the bottom of the intake hopper of a wine pomace pump shall be either enclosed, guarded by location or guarded by the use of the following methods: 
(1) A grille or grating with a maximum opening size of 6 inches by 6 inches securely installed over the top of the intake hopper, and at least 6 inches above the auger or screw mechanism,
(2) Electrical/mechanical interlock switches that will de-energize the pump when the grille or grating is not in a secured position above the pump's auger flight, and
(3) An effective emergency “stop system” installed adjacent to the safety grilles or grates at a location readily accessible to the operator.
(b) In lieu of the use of the methods in (a), hopper sides shall be provided that extend at least 36 inches above the auger flight and have rolled or smooth edges free of sharp projections.
(c) Shear pins on the pumps shall be maintained in accordance with the manufacturers' specifications.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-28-82; effective thirtieth day thereafter (Register 82, No. 22). 
§4540. Pressure Bottling Machine.
Note     •     History

Pressure bottling machines shall be provided with an enclosure. The enclosure shall extend downward at sides and rear to a point level with that part of the machine on which the bottle stands while being filled, and upward to a point of at least four inches higher than the top of the bottle, and be so constructed that each bottle, when being filled, shall be protected similarly by a solid guard on the side facing the operator. When the bottling is done under a pressure of more than 75 pounds per square inch, such enclosure shall be constructed of metal not less than No. 12 U.S. Standard gage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4541. Cake Cutter (Band Knife).
Note     •     History

Band wheels of band knives shall be completely encased and all portions of the blade shall be enclosed or guarded except that portion between the guide and the table that is necessary for the thickness of the material being cut.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4542. Mixers.
Note     •     History

(a) Horizontal food mixers shall have a cover/enclosure with an interlocking device so arranged that power cannot be applied to the agitators unless the cover/enclosure is in place on the mixer. Only minor openings in the cover/enclosure, such as ingredient doors, flour inlets, etc., each representing less than 1 1/2 square feet in area shall be capable of being opened while the mixer is in operation.
(b) Horizontal nontilting dough mixers with front discharge doors shall have safety controls so arranged that power cannot be applied to the agitator with the front discharge doors in the open position unless two-handed controls are concurrently utilized.
(c) Horizontal tilting food mixers, when tilted, shall be operated with the cover open only:
(1) If equipped with an electrical “inch” device designed to prevent the operator from reaching into the mixer by requiring the concurrent use of both hands to actuate the mixer or by being a single control protected against accidental actuation and so located that the operator cannot reach into the mixer while operating the single control, or
(2) If belt driven, the belt shifter shall be so arranged that it will move the belt to the loose pulley and hold it there while the mixer bowl is tilted and uncovered, unless the operator holds the belt on the tight pulley. The belt shifter must be so located that the operator cannot reach into the bowl while holding the shifter, or
(3) If clutch driven, the clutch lever shall be so arranged that it will move the clutch out of engagement and hold it out while the mixer is tilted or uncovered, unless the operator holds the clutch in engagement. The clutch lever shall be so located that the operator cannot reach into the bowl while holding the lever.
Note: When a push button circuit is used, it is recommended that there should be installed in the circuit a loose fitting piston type inverse time relay designed to open the circuit at the end of one second operation. 

Exception: Mechanically fed and discharged horizontal tilting type food mixers in inaccessible locations.
(d) Vertical mixers shall have bowl locking devices of a positive type which require the attention of the operator for unlocking. Devices shall be made available for moving bowls weighing more than 80 pounds, with contents, into and out of the mixing position on the machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Amendment filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment of subsection (c) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
4. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4543. Guarding of Meat Cutting Band Saw Blades.
Note     •     History

(a) All portions of the saw blade shall be guarded, except that portion between the bottom of the guide rolls and the table.
(b) A guard for the portion of the blade between the sliding guide and the upper-saw-wheel guard shall be provided which will protect the saw blade at the front and outer side. This portion of the guard shall be easily hand adjustable by the saw operator, without the use of any tools, to raise and lower with the guide.
(1) The adjustable saw blade guard shall be designed and manufactured so that the guard is capable of reaching the saw table.
(2) The guard must be adjusted as close as possible to the table without interfering with the movement of the material being cut.
(c) Pusher plates shall be used to hold the cut of meat against the gauge plate when slicing short ends to prevent the hands from nearing the cutting edge of the saw blade.
(d) Saw wheels shall be fully guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-2-98; operative 1-1-99 (Register 98, No. 49). For prior history, see Register 80, No. 8.
2. Amendment filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
§4544. Dough Brake.
Note     •     History

(a) Rolls on dough brakes shall be guarded when in motion; and
(b) A stop-bar shall be installed at the end of the dough table which, when actuated, will automatically shut off power and apply a brake to the rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4545. Dividers.
Note     •     History

(a) Guards at the front of a divider shall be so arranged that the weight of the dough can be adjusted without removing the guard.
(b) The back of the divider shall have a complete cover to enclose all of the moving parts or each individual part shall be enclosed or guarded. The rear cover shall be provided with an interlock so arranged that the machine cannot operate when this cover is open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4546. Moulders.
Note     •     History

(a) Mechanical feed moulders shall be provided with hoppers so designed and connected to the proofer that an employee's hands cannot get into the hopper where they will come in contact with the inrunning rolls.
(b) Hand-fed moulders shall be provided with a belt-feed device or the hopper shall be extended high enough so that the hands of the operator cannot get into the feed rolls. The top edge of such a hopper shall be well rounded to prevent injury when it is struck or bumped by the employee's hand.
(c) There shall be a stopping device within easy reach of the operator who feeds the moulder and another stopping device within the reach of the employee taking the dough away from the moulder.
(d) Where a removable crank is used to adjust the moulder for different sizes of loaf, by adjusting a nut on the moulder drum, brackets shall be provided on the side of the machine for holding the crank when it is not in use.
Note: The brackets should be connected to a limit switch so that when the crank is removed the current is broken and the machine cannot run unless the crank is returned to the resting position on the bracket.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4547. Rotary Dough Kneaders.
Note     •     History

(a) Each direct-driven rotary dough kneader shall be equipped with a guard across the entire length of the down-running side of each corrugated kneading roll so arranged and installed that when struck will cause the machine to stop.
(b) All dough kneaders other than those direct driven shall be equipped with a guard across the entire length of the down-running side of each corrugated kneading roll and a device which will quickly disengage the power. The device shall be located so the operator can readily reach it from any working position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4548. Slicers and Wrappers.
Note     •     History

(a) Where necessary to manually push the last loaf through the slicing knives, the operator shall be provided with and shall use a suitable and adequate device by which the loaf can be pushed through the knives without danger to hands or fingers.
(b) The cover over the knife head of reciprocating-blade slicers shall be provided with an electrical control switch so that the machine cannot operate unless the cover is in place.
(c) On slicers with endless band knives, the wiring for the motor shall be so arranged that a brake will be applied each time the motor is shut off, or it shall be so arranged by means of a limit switch that it cannot be run with the side door open. All doors and removable panels to the cutting head shall be either connected to electric switches or shall have no latch openings and be so fastened that they cannot be opened from the outside except through the side door.
(d) When it is necessary to sharpen slicer blades on the machine, a barrier shall be provided leaving only sufficient opening for the sharpening stone to reach the knife blades.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4549. Candy Cutter (Roller Type).
Note     •     History

(a) The rolls, or knives of roller and fan type candy cutters, shall be provided with;
(1) a cover or guard, so arranged that the fingers of the operator cannot come in contact with the rollers; and
(2) a safety bar at the infeed side.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4550. Caramel Slitter (Circular Knife Type).
Note     •     History

(a) The knives shall be completely covered with an adjustable guard (wire mesh openings not to exceed 1/4 inch)
(b) The material shall be fed through the knives by either;
(1) a feed belt to carry the material under and away from the knives, or
(2) a slide feed set at an incline that will permit the material to pass by gravity against the knives on the intake side and away from the knives on the discharge side.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4551. Nougat Cutter.
Note     •     History

A hood shall cover at least the top half of the knife or disc at all times and be so constructed that the cutting operation can be performed without danger to the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4552. Meat, Fish and Other Food Grinders.
Note     •     History

(a) Every power-driven food grinder of the worm type shall be so constructed, installed, or guarded that the employee's finger cannot come in contact with the worm. This shall be accomplished by one of the following methods:
(1) A mechanical method of feeding the worm which will prevent an employee's contacting the worm during the feeding operation.
(2) A permanently attached neck to the cylinder enclosing the worm the circular opening of which is not more than 2 1/2 inches in diameter at a point at least 4 1/2 inches above the worm.
(3) A grating of parallel bars permanently attached to the hopper and spaced not more than 1 1/4 inches apart providing the grating is not less than 4 1/2 inches above the worm or more than 1 1/2 inches above the hopper rim. Grilles or gratings attached to pans shall completely cover the hopper opening except for openings in the grille and shall be not more than 1 1/2 inches above the bottom of the pan.
Note: Other types of grilles or gratings are acceptable, provided the greatest dimension in any opening does not exceed 2 1/2 inches, and is located not less than 4 1/2 inches above the worm, or more than 1 1/2 inches above the hopper rim.
(4) A hinged interlocking grille or grating over the hopper or pan which will open the power circuit when the grille or grating is lifted. Such grilles or gratings shall be designed and located as provided in (3) above.
(5) In large hand-fed grinders of the type used in the wholesale or manufacturing trade, where the neck exceeds 2 1/2 inches in diameter and the opening is not guarded by grilles or gratings, the distance from the top of the neck to the worm shall be not less than 36 inches or the minimum accessible distance from the working level to the worm shall be not less than 88 inches.
(6) Any other type of guard or device which will prevent the employee's finger from reaching into the point-of-operation when the machine is in operation.
(b) A pusher shall be provided for each grinder and shall be used during the feeding operation wherever it is possible to increase the safety of the operation. Under no circumstance shall a pusher be used in lieu of the above methods of guarding.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4553. Meat Choppers (Class A).
Note     •     History

Knives or choppers shall be enclosed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4554. Hand-Fed Food Patty Machines.
Note     •     History

(a) Feed trays shall be interlocked to stop operation of the machine when the tray is removed, and shall be equipped with a permanently affixed finger guard which will prevent the operator's fingers from coming in contact with the point of operation.

Exception: Machines in which the throat opening to the feeding mechanism is permanently guarded.
(b) The shear and nip point(s) on the discharge side of the machine created by the reciprocating plate and the machine frame in the area of the knockout cup shall be guarded.
(c) Contact with the shear and nip point(s) formed by the reciprocating plate and machine frame at the discharge side of the machine shall be prevented by one of the following means:
(1) By a skirt-type guard on both sides of the reciprocating plate which extends at least 3 inches below the lowest point on the reciprocating plate;
(2) By a full enclosure guard with a manual or automatic means to remove the food patties without employees placing their hands into the danger zone; or,
(3) By any other type of guard or device which will prevent inadvertent finger contact with the shear and nip point(s) when the machine is in operation.
(d) The machine shall be equipped with electrical interlocks which are designed to stop operation when the shear and nip point guards in subsections (b) and (c) are open or have been removed.
Note: A jogging device may be provided where necessary to make adjustments to the machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-25-91; operative 3-27-91; (Register 91, No. 15).
§4555. Ice Cubing and Ice Scoring Machines (Class A).
Note     •     History

Ice cubing and ice scoring machines shall be enclosed on all sides to a height of not less than six feet. 

Exceptions: 
1. Machines also enclosed or guarded on top.
2. The necessary openings to feed and discharge the ice.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4556. Ice Breaker or Crusher.
Note     •     History

A hopper shall be provided of such size and arrangement that the hand of the operator cannot come into contact with the revolving teeth or prongs while the machine is in operation. If the top of the hopper is less than 42 inches above the floor or working level, a standard railing shall be provided to prevent an employee from stepping or falling into the hopper.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new NOTE filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4557. Tobacco Stem Crusher (Class A). [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4558. Cigar Cutter.
Note     •     History

(a) The knives shall be provided with a cover that will enclose the knives, or
(b) A feed hopper which completely encloses the knives shall be provided through which the material may be fed without the operator's fingers coming in contact with the knives.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
§4559. Garbage Disposal Equipment.
Note     •     History

(a) All freestanding, counter, or sink mounted disposal units shall have the feed throat guarded so that an employee's hand cannot contact the moving parts. (This does not apply to household type garbage disposals of less than one horsepower.) This shall be accomplished by:
(1) The installation of a hood, grate, shield or offset feed throat which will prevent the employee from reaching directly into the shredding chamber, or
(2) Providing that the distance from the floor or work level up over the counter and down into the point of hazard in the grinder is not less than 88 inches, or
(3) The use of an indirect method of feeding the grinder, such as a water wash or a properly guarded mechanical conveyor, or
(4) By the use of other methods which will prevent employees hands from contacting moving parts.
(b) When a screw conveyor is used to feed the grinder, the screw shall be guarded so that employees cannot contact any nip point created by the flight of the screw. This shall be accomplished by:
(1) Installing the screw in the bottom of a hopper with sides so arranged that the distance from the floor up over the side of the hopper and down to any nip points created by the flight of the screw is not less than 88 inches, or
(2) Guarding the screw by barrier-type guards which will prevent the employee from contacting the screw and still permit entry of garbage, or
(3) By installing a screw with not less than 2 1/4 inches clearance between the housing structure and the metal screw flight. The intervening space may be occupied by a flexible elastomer sheet extension of the screw flight which reaches to a point not closer than 1/4-inch from the conveyor trough or housing. The flexibility of the elastomer portion shall be such that it cannot entrap an employee's hand or fingers. The speed of screw rotation shall not exceed 5 rpm.
(A) A positive emergency stop control system shall be installed and located so that it may be actuated from any position occupied by the operator to stop screw rotation.
Note: The emergency stop control may consist of a spring-loaded bar switch or mushroom buttons.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment filed 5-1-86; effective thirtieth day thereafter (Register 86, No. 19). 
Article 70. Chemical Industry Machines
§4565. Extractors.
Note     •     History

(a) Extractors shall not be operated at a speed greater than the manufacturer's rating, which shall be stamped on the basket where easily visible, in letters not less than one-quarter inch in height. The maximum permissible speed shall be given in revolutions per minute.
(b) Each individually driven extractor shall be provided with an effective stop and speed limit governor.
(c) The exterior of the basket including hoops or bands shall be inspected at least every six months to determine condition of the basket. The extractor shall be dismantled and the bearings, bearing blocks, and basket shall be inspected at least once a year and all necessary repairs or replacements made. A record of the inspection including the date and name of person who made inspection shall be kept on file in the plant. 

Exception: Automatic loading and unloading extractors which are equipped with a full enclosure of sufficient strength to retain the basket in the event of rupture.
(d) Each extractor shall be effectively secured to the floor or foundation so as to eliminate unsafe vibration.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4566. Extractors (Screw Cover Type).
Note     •     History

(a) Screw cover type extractors shall be equipped with a metal cover of at least No. 20 gage or its equivalent which shall cover the entire opening to the outer shell and shall be kept in its closed position when the extractor is in motion.
(b) The cover for the revolving container shall be held securely in place by a locknut on the spindle or the container shall revolve in the direction that will tend to tighten the spindle nuts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4567. Extractors (Automatically Fed and Discharged).
Note     •     History

The revolving bowl shall be completely enclosed or guarded to prevent contact during operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4568. Extractors (Open Top, Bottom Discharge).
Note     •     History

Every extractor equipped with removable plate valve in bottom of shell shall be provided with an interlocking device which will prevent the introduction of the plow into the basket until the plate valve has been removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4569. Rolls.
Note     •     History

(a) Rolls on all machines which require the continual presence of the operator to feed the machine shall be provided with:
(1) a cover or guard, or
(2) a quick stopping or reversing device which the operator can actuate while in his or her usual work station.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4570. Soap Presses.
Note     •     History

Hand fed presses shall be guarded at point of operation, as specified in Section 4208.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
Article 71. Rubber and Composition Working Machines
§4579. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). Ed. Note: See Section 3207. 
§4580. Calender Rolls (Not Paper).
Note     •     History

(a) Safety trip devices, located not more than 72 inches nor less than 66 inches above the working floor or platform, shall be provided across the front and back of all calenders. The devices shall extend the full length of the face of the rolls and be designed to initiate instantly the process of stopping the calendar when either pushed or pulled.
(b) On each side of all calenders near both ends of the face of the roll there shall be a vertical tight wire cable connecting with the bar tripping mechanism at the top and fastened to the frame within 12 inches of the floor and at a distance of not less than one inch from calender frame.
(c) At the “bite” of in-running open rolls where sheeting, duck or other fabric is fed by hand, a safety bar or cable, connected to the stopping device, shall be placed across the full length of the face of the rolls. It shall be so located that the operator's fingers will trip the stopping device before coming into contact with the bite.
(d) Calender equipment such as windups, idler rolls and cooling drums shall be provided with a safety trip device by which the operator can disconnect the power and stop the equipment in case of emergency.
(e) Mechanical and electrical equipment and auxiliaries shall be installed in accordance with this section and the Electrical Safety Orders.
(f) Safety devices listed in this section shall not be required when a calender is so installed that persons cannot normally reach through, over, under, or around to come in contact with the roll bite or be caught between a roll and an adjacent object.
(g) All trip and emergency switches shall require manual resetting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4581. Stopping Limits for Calenders.
Note     •     History

All calendars, irrespective of the size of the rolls, or their configuration, shall be stopped within a distance, as measured in inches of surface travel, not greater than 1 3/4 percent of the no-load surface speeds of the respective calendar rolls as determined in feet per minute. 

Exception: Where speeds above 250 feet per minute as measured on the surface of the drive roll are used, stopping distances of more than 1 3/4 percent are permissible when acceptable to the division. Such stopping distances shall be subject to engineering determination.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4582. Rubber Mills.
Note     •     History

(a) Mills shall be provided with a hopper of such size and arrangement that it will protect the operator's hands against inadvertent contact with the in-running nip point of the rolls when feeding material, or
(1) Safety trip rods or tight wire cables for each individual mill shall be provided at front and back of all mills extending the length of the face of the rolls. When either pushed or pulled, they shall immediately initiate the process of stopping the rolls.
Note: Safety rods or cables may be protected against accidental tripping by the stock being processed, provided such protection does not interfere with the purposes of the safety devices.
(2) The normal location of the safety trip over the front roll shall be within two inches in from the edge of the front roll, and not more than 72 inches nor less than 66 inches above the floor or platform on which the operator stands.
(3) The normal location of the safety trip at the back of the mill shall be within two inches in from the edge of the back roll and shall be in the same horizontal plane as the safety trip over the front roll. When rods are used the length of the lever from the fulcrum shall be the same on the front and back of the mill.
Note: Pressure-sensitive body bars may be used in conjunction with safety trip rods or tight wire cables.
(b) After the effective date of these orders, all new mill installations shall not be less than 50 inches above the level on which the operator stands, irrespective of the size of the mill. This distance shall apply to the actual working level, whether it be at the general floor level, in a pit, or on a platform.
(c) All auxiliary equipment such as mill divider, support bars, spray pipes, feed conveyors, strip knives, etc., shall be located in such a manner as to avoid interference with access to and operation of safety devices.

Exception: Safety control devices listed in this section shall not be required when a mill is so installed that persons cannot normally reach through, over, under, or around to come into contact with the roll bite or be caught between a roll and an adjacent object.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Repealer and new subsection (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4583. Stopping Limits.
Note     •     History

(a) All mills irrespective of the size of the rolls or their arrangement (individually or group-driven) shall be stopped within a distance, as measured in inches of surface travel, not greater than 1 1/2 percent of the peripheral no-load surface speeds of the respective rolls as determined in feet per minute.
(b) All measurements on mills and calenders shall be taken with the rolls running empty at maximum operating speed. Stopping distances shall be expressed in inches of surface travel of the roll from the instant the emergency stopping device is actuated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 1423, Labor Code.
HISTORY

1. Repealer and new section filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17). 
§4584. Stopping Limits--New Mills. [Repealed]
History

HISTORY

1. Repealer filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43). 

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Figure R-2 filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).

Mill Stopping Distances for Various Roll Speeds
Measurement shall be taken on the drive roll at maximum operating speed while running empty.
Measurements shall start when the safety device is tripped. 

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Figure R-1 filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4585. Bale Cutters--Guillotine.
Note     •     History

(a) All guillotine bale cutters shall be equipped with a two-hand continuous control, or
(b) A one-hand continuous control so located that the operator cannot reach the control and the point of operation at the same time.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4586. Bevel Cutters--Circular Knife--Nonautomatic.
Note     •     History

The circular knife shall be covered with a metal hood which shall guard the cutting edge down to a point not more than one-half inch above the thickest portion of the material being cut. A positive stop shall be provided to prevent the knife from passing the front edge of the table.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4587. Cutter-Sheet Rubber (Horizontal Cutter Type).
Note     •     History

The exposed portion of the knife at the sides of the sliding table shall be covered with a metal enclosure (if not of solid type, openings shall not exceed one-quarter inch) so that the fingers of the operator cannot come into accidental contact with the knife when feeding the machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4588. Power-Driven Rotary Saws and Slitters (Hand Fed).
Note     •     History

A metal hood shall cover the cutting edge to a point not more than one-half inch above the thickest portion of the material being cut.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4589. Tubing Machines.
Note     •     History

(a) All hand-fed extrusion machines, including tubing machines, shall be provided with hoppers of such height and size of opening as to make it impossible for the operator's fingers to reach the worm, or
(b) A bar or other device, connected with the switch, so arranged that the operator's fingers cannot reach the worm without first actuating the switch, or
(c) A bar, lever, or other device arranged to be operated by knee, thigh, foot or hand pressure, which will stop the machine.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4590. Tire Machine. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4591. Tube Splicer.
Note     •     History

Tube splicers shall be equipped with a two-hand control.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4592. Testing and Maintenance.
Note     •     History

(a) The stopping device on each mill and on each calender shall be tested to insure safe operation during each shift.
(b) Each rubber mill in a group of mills driven by a single motor shall be equipped with a safety braking device.
A lamp or other visible signal device shall be automatically actuated when the motor circuit opening switch is in the open position.
Note: The signal devices may be used as indicators to show the proper function of the tripping devices and motor switches.
(c) Each stopping device shall be tested for braking distance once a week by a competent person, and a record of such tests shall be made and kept on file for at least one year. Such records shall be available to the Division or its employees.
(d) The employer shall cause all defects or substandard conditions revealed by the tests to be corrected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
Article 72. Plastic Processing Machinery
§4600. Injection Molding Machine.
Note     •     History

Every injection molding machine shall be guarded:
(a) By a sliding gate guard so designed and installed that it interposes a barrier between the dies and the operator before the dies can close and shall be so arranged that if the gate can be opened during the die closing cycle the die motion will be immediately stopped by the opening of the gate.
The sliding gate guard shall extend over the top and to each side of the dies to prevent the operator from placing his/her hands between the dies while they are closing. The danger zone on the side of the machine opposite the operator's working position shall also be guarded, or
(b) By two-handed constant pressure devices or controls which require the simultaneous use of both the operator's hands during the entire die closing cycle.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4601. Thermo-Setting Plastic Molding Presses.
Note     •     History

Thermo-setting plastic molding presses shall be guarded by any one of the methods covered in Section 4208.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
Article 73. Stone, Clay and Glass Working Machines
§4625. Pug Mills.
Note     •     History

Pug mills shall be guarded by:
(a) A substantial grating with openings not greater than 2 inches, or
(b) A hopper completely encircling the opening through which the machine is fed and extending 18 inches or more above the blades. In no case shall the top of the hopper be less than 36 inches from any floor or working level used by the pugmill operators or attendants.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
§4626. Wet and Dry Pans, Mullers, Chasers and Similar Mixing and Grinding Mills.
Note     •     History

When top of pan is less than 36 inches above charging floor or platform, a standard railing or enclosure shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-25-86; effective thirtieth day thereafter (Register 86, No. 17).
Article 74. Cotton Gins and Seed Cotton Processing Machines
§4640. Saws.
Note     •     History

(a) All gin stands used in processing field cotton or seed cotton shall be provided with a positive guard which shall be designed to preclude contact with the gin saws while in motion.
Note: The saw blades in the roll box shall be considered guarded by location if they do not extend through the ginning ribs into the roll box when breast is in the out position.
(b) Before accessing lint cleaner saws, the saw cylinder rotation shall be stopped.
(c) Each lint cleaner shall be equipped with a vision panel in the drive covers or guards, unless the drive pulleys are readily visible through the guard material (e.g. expanded metal or wire mesh) to confirm that saw cylinder rotation has stopped. The vision panel or “see-through” guarding material shall permit the employee to observe rotation of the drive pulley spokes. One spoke of the drive pulley shall be of a contrasting color to enhance the employee's ability to readily detect rotation.
(d) Access doors, panels, or covers on lint cleaners which guard or provide access to the lint cleaner saw shall be secured in place by one or more of the following methods:
(1) Padlock(s) or other keyed lock(s); or,
(2) Bolts which have been torqued down and require the use of a tool to remove the bolts; or,
(3) Retainers and/or special fastening devices which require tools to remove; or,
(4) An interlock which is designed to permit access to the saw cylinder(s) only after the saw cylinder has come to a complete stop.
(e) All tools, specialized tools, and keys to locks and/or padlocks used to access lint cleaner saw openings shall be kept in the custody of a qualified person. The qualified person shall provide tools, specialized tools, or keys to the employee after verifying the lint cleaner has been deenergized, locked out and the saw cylinder(s) have stopped rotating.
(f) Employees shall work under the direct supervision of a qualified person while accessing lint cleaner saws.
(g) Warning signs shall be conspicuously posted at each lint cleaner stating that employee access to lint cleaner saws is prohibited until the lint cleaner has been deenergized and locked out from its energy source and saw cylinder rotation has stopped.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
2. Repealer and new subsection (b) and new subsections (c)-(g) filed 8-1-95; operative 8-31-95 (Register 95, No. 31).
§4641. Gin Stands, Main Drive and Miscellaneous Drives.
Note     •     History

(a) Such drives shall be completely enclosed or guarded by means of standard railings or equivalent protection provided. When guarded by standard railing where the drive approaches the railing by less than 15 inches shield guards shall be installed on the railing extending at least 15 inches beyond the impairment on either side.
(b) V-belt drives within standard railing enclosures shall have the pulleys guarded. The open end of the pulley guard shall be not less than 4 inches from the periphery of the pulleys.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4642. Elevated Platforms and Transmission Enclosures.
Note     •     History

(a) Elevated platforms shall be guarded as provided in Section 3210 of these orders.
(b) Where belts, pulleys, chains, sprockets, gears or shafting are within 15 inches horizontally or less than 7 feet above the platform, shield guards as provided in 4641 shall be used in addition to standard railing guards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4643. Power Drives.
Note     •     History

(a) Drives between gin stands shall be guarded. Where complete enclosure of a component is likely to cause a fire hazard due to excessive deposits of lint or other material, only the face section of nip point and pulley guards is required. The guard shall extend at least six inches beyond the rim of the pulley on the in-running and off-running sides of the belt, and at least two inches from the rim and face of the pulley in all other directions.
(b) Drives which are accessible above the shield guard shall be individually guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4644. Warning Device.
Note     •     History

A warning device which will sound an audible signal before machinery is started shall be installed in all gins. Such signal shall be intense enough to be heard above the general noise level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9). 
§4645. Baler.
Note     •     History

An automatic interlock shall be installed on all lint gates so that the tramper cannot operate while the gates are open.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4646. Burr Machines.
Note     •     History

Top panels of burr extractors shall be hinged and equipped with a sturdy positive latch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
§4647. Screw Conveyors.
Note     •     History

All accessible screw conveyors shall be guarded by substantial covers or gratings or with an inverted horizontally slotted guard of the trough type which will prevent personnel from coming into contact with the screw.
Note: Such guards may consist of horizontal bars spaced to allow material to be fed into the conveyor and supported by arches which shall be not more than 8 feet apart. 

Exception: Screw conveyors under gin stands shall be considered guarded by location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Amendment filed 2-24-86; effective thirtieth day thereafter (Register 86, No. 9).
Group 9. Compressed Gas and Air Equipment
Article 75. Definitions [Repealed]
§4648. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Group 9 (Articles 76-79, Sections 4651-4665, not consecutive) filed 10-25-74; effective thirtieth day thereafter (Register 74, No. 43).
2. Renumbering from Article 76 (Section 4650) to Article 75 (Section 4648) filed 12-19-78; effective thirtieth day there after (Register 79, No. 1). 
3. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 13).
Article 76. Compressed Gas and Air Cylinders
§4649. Construction and Marking of Cylinders.
Note     •     History

(a) All portable cylinders used for the storage and shipment of compressed gases shall be constructed and maintained in accordance with the regulations of the U. S. Department of Transportation 49 CFR Parts 171-179.
(b) Compressed gas cylinders shall be equipped with connections that are approved as defined in Section 3206 of the General Industry Safety Orders.
(c) All cylinders with a water weight capacity of over 30 pounds shall be equipped with means of connecting a valve protection device or with a collar or recess to protect the valve.
(d) Compressed gas cylinders shall be legibly marked, for the purpose of identifying the gas content, with either the chemical or the trade name of the gas. Such marking shall be by means of stenciling, stamping, or labeling, and shall not be readily removable. Whenever practical, the marking shall be located on the shoulder of the cylinder.
Note: This method conforms to ANSI Z48.1-1954(R1971), “Method for Marking Portable Compressed Gas Containers to Identify the Material Contained.”
(e) The numbers and markings stamped into cylinders shall not be tampered with.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Article 76 (Section 4650) to Article 75 (Section 4648) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. New Article 76 (Sections 4649 and 4650) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
3. Amendment of subsection (c) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
4. Amendment of subsection (b) filed 1-6-99; operative 2-5-99 (Register 99, No. 2).
§4650. Storage, Handling, and Use of Cylinders.
Note     •     History

(a) Cylinders of compressed gas shall be stored in areas where they are protected from external heat sources such as flame impingement, intense radiant heat, electric arc, or high temperature steam lines.
(b) Inside of buildings, cylinders shall be stored in a well-protected, well-ventilated, dry location, at least 20 feet from highly combustible materials such as oil or excelsior. Assigned storage spaces shall be located where cylinders will not be damaged by passing or falling objects, or subject to tampering by unauthorized persons.

Note: Cylinders should be stored in definitely assigned places away from elevators, stairs, or gangways.
(c) Cylinders shall not be kept in unventilated enclosures such as lockers and cupboards. 

Exception: Cylinders of fire suppressant gases.
(d) Oxygen cylinders in storage shall be separated from fuel gas cylinders or combustible materials (especially oil or grease) a minimum distance of 20 feet or by a non-combustible barrier at least 5 feet high, or a minimum of 18 inches (46 centimeters) above the tallest cylinder and having a fire-resistance rating of at least one hour.
(e) Compressed gas cylinders shall be stored or transported in a manner to prevent them from creating a hazard by tipping, falling or rolling. Liquified fuel-gas cylinders shall be stored or transported in a position so that the safety relief device is in direct contact with the vapor space in the cylinder at all times.
(f) All cylinders which are designed to accept valve protection devices shall be equipped with such devices when the cylinders are not in use or connected for use.
(g) Unless cylinders are secured on a special truck or rack, regulators shall be removed and valve-protection devices, when provided for, shall be put in place before cylinders are moved.
(h) Compressed gas cylinders in portable service shall be conveyed by suitable trucks to which they are securely fastened; and all gas cylinders in service shall be securely held in substantial racks or secured to other rigid structures so that they will not fall or be knocked over. 

Exception: When it is not practicable to transport cylinders by truck, nor to bring in racks to point of operation, as in some construction work, cylinders may be carried in, and properly secured in an adequate manner. For short distances, cylinders may be moved by tilting and rolling them on their bottom edges.
(i) Gas cylinders transported by crane, hoist or derrick must be handled in suitable cradles, nets or skip boxes, and shall never be lifted by magnet or by slings, unless the slings are designed and constructed to prevent accidental release of the cylinders.
(j) Valve protection devices shall not be used for lifting cylinders. 

Exception: Valve protection devices may be used for manual lifting if they were designed for that purpose.
Bars shall not be used under valves or valve protection caps to pry cylinders loose when frozen to the ground or otherwise fixed; the use of warm (not boiling) water is recommended.

Note: Valve protection devices are designed to protect cylinder valves from damage.
(k) Cylinder valves shall be closed before moving cylinders.
(l) Cylinder valves shall be closed when work is finished.
(m) Valves of empty cylinders shall be closed.
(n) Cylinders shall not be dropped or struck or permitted to strike each other violently.
(o) Cylinder valves not provided with fixed handwheels shall have keys or handles on valve spindles or stems while cylinders are in service. In multiple cylinder installations only one key or handle is required for each manifold.
(p) Leaking regulators, cylinder valves, hose, piping systems, apparatus and fittings shall not be used. 

Note: (1) Cylinder valves shall not be tampered with nor should any attempt be made to repair them. If trouble is experienced, the supplier should be sent a report promptly indicating the character of the trouble and the cylinder's serial number. Supplier's instructions as to its disposition shall be followed.

Note: (2) Complete removal of the stem from a diaphragm-type cylinder valve shall be avoided.
(q) Cylinders shall never be used as rollers or supports, whether full or empty.
(r) Cylinders must not be placed where they might form part of an electric circuit.
(s) No one shall use a cylinder's contents for purposes other than those intended by the supplier.
(t) Cylinders. Employers must ensure that the in-plant transfer, handling, storage, and the use of acetylene in cylinders comply with the provisions of CGA G-1-2003 Acetylene, Eleventh Edition which is hereby incorporated by reference. 
(u) When flammable gas lines or other parts of equipment are being purged of air or gas, open lights or other sources of ignition shall not be permitted near uncapped openings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (f), (g) and (j) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
2. Amendment of subsection (d) filed 12-5-2005; operative 1-4-2006 (Register 2005, No. 49).
3. Change without regulatory effect amending subsection (d) filed 5-25-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 21).
4. Repealer and new subsection (t) filed 7-1-2010; operative 7-1-2010 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 27). 
Article 77. Cylinder Inspection [Repealed]
HISTORY

1. Repealer of article 77 (sections 4651-4654) filed 3-27-87; operative 4-26-1987 (Register 87, No. 13). For prior history, see Register 74, No. 43.
Article 78. Safety Relief Devices for Compressed Gas Containers
§4657. General.
History

(a) Compressed gas cylinders, portable tanks, and cargo tanks shall have pressure relief devices installed and maintained in accordance with Compressed Gas Association Pamphlets S-1.1-1963 and 1965 addenda and S-1.2-1963. Types of safety relief devices as covered by this section are designated as follows:
(1) Type CG-1: Frangible disc.
(2) Type CG-2; Fusible plug or reinforced fusible plug utilizing a fusible alloy with yield temperature not over 170o F, nor less than 157o F (165o F nominal).
(3) Type CG-3; Fusible plug or reinforced fusible plug utilizing a fusible alloy with yield temperature not over 220o F, nor less than 208o F (212o F nominal).
(4) Type CG-4: Combination frangible disc-fusible plug, utilizing a fusible alloy with yield temperature not over 170oF, nor less than 157o F (165o F nominal)
(5) Type CG-5: Combination frangible disc-fusible plug, utilizing a fusible alloy with yield temperature not over 220o F nor less than 208o F (212o F nominal).
(6) Type CG-7: Safety relief valve.
(7) Type CG-8: Combination safety relief valve and fusible plug.
(b) All safety relief devices covered by this section shall meet the design, construction, marking and test specification of the “Compressed Gas Association Safety Relief Device Standards Part I--Cylinders for Compressed Gases: S1.1-1963.”
HISTORY

1. Amendment of subsection (a) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Editorial correction of subsection (a)(4) (Register 97, No. 23).
§4658. Relief Devices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 13).
§4659. Handling and Storage. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 13).
§4660. Refilling. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 13).
Article 79. Safety Relief Devices for Cargo and Portable Tanks Storing Compressed Gases [Repealed]
HISTORY

1. Repealer of article 79 (sections 4663-4665) filed 3-27-87; operative 4-26-1987 (Register 87, No. 13).
Group 10. Gas Systems for Welding and Cutting
Article 80. Purpose and Definitions
§4794. Purpose.
Note     •     History

(a) The following Group 10 orders shall apply to the installation and operation of all gas welding and cutting systems when used with gases and oxygen for welding, flame cutting, heating and heat treating operations and includes brazing and soldering. The definitions for brazing and soldering as contained in American National Standards Institute (ANSI)/American Welding Society (AWS) A3.0-94, Standard Welding Terms and Definitions are hereby incorporated by reference. 
(b) Where only a portion of a fuel gas system is to be used with oxygen for the operations specified in subsection (a), only that portion of the system shall comply with these orders and shall be separated from the main system by means of a suitable hydraulic back-pressure valve. These orders also govern the storage of calcium carbide and of gases used in these processes and the installation and operation of acetylene generating systems.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 6-12-87. operative 7-12-87 (Register 87, No. 26). 
3. Amendment filed 12-3-2002; operative 1-2-2003 (Register 2002, No. 49).
§4795. Definitions.
Note     •     History

Building, as used in this group. A building having occupancy other than that directly associated with the production of acetylene, the storage of calcium carbide, or the storage and manifolding of gases used in welding, flame cutting, heating and heat treating.
Hydraulic Back-Pressure Valve, Hydraulic Seal, Hydraulic Flash Arrester, Hydraulic Valve and Backflow Check Valve. Terms used interchangeably to mean a device designed and constructed to prevent a flash-back from reaching a fuel gas source such as a generator, manifold or cylinder and to prevent accidental mixing of fuel gas and oxygen by reverse flow.
Welder and Welding Operator. Any operator of electric or gas welding and cutting equipment.
Note: All other welding terms are used in accordance with American Welding Society Terms and Definitions-A3.0-1980.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Repealer and new section filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
4. Amendment filed 6-12-87, operative 7-12-87 (Register 87, No. 26).
Article 81. General
§4797. Approval and Marking.
Note     •     History

(a) Employers must ensure that facilities, equipment, structures, or installations used to generate acetylene or to charge (fill) acetylene cylinders comply with the provisions of NFPA 51A Standard for Acetylene Cylinder Charging Plants 2006 Edition which is hereby incorporated by reference. 
(b) When employers can demonstrate that the facilities, equipment, structures, or installations used to generate acetylene or to charge (fill) of acetylene cylinders were constructed or installed prior to February 16, 2006, these employers may comply with the provisions of NFPA 51A Standard for Acetylene Cylinder Charging Plants, 2001 Edition which is hereby incorporated by reference. 
(c) The provisions of subsection (b) also apply when the facilities, equipment, structures, or installations were approved for construction or installation prior to February 16, 2006, but constructed and installed on or after that date. 
(d) Auxiliary apparatus such as blowpipes (torches), regulators (pressure-reducing valves), compressors and booster systems, flame arresters and gages shall be approved. (See Section 3206)
(e) Equipment shall be installed and used only in the service for which it is approved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20). 
. 2. Amendment of subsections (a) and (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
3. Amendment filed 7-1-2010; operative 7-1-2010 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 27). 
§4798. Rating and Pressure Limitations.
Note     •     History

The total hourly output of a generator shall not exceed the rate for which it was approved and marked. Unless specifically approved for higher rating, carbide-feed generators shall be rated at 1 cubic foot per hour per pound of carbide required for a single complete charge.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4799. Training of Operators and Instructions.
Note     •     History

Employees in charge of the oxygen or fuel-gas supply equipment including generators, and oxygen or fuel-gas distribution piping systems shall be instructed for this work in accordance with the requirements of Section 3203 of the General Industry Safety Orders before being left in charge. Rules and instructions covering the operation and maintenance of oxygen or fuel-gas supply equipment including generators, and oxygen or fuel-gas distribution piping systems shall be readily available.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 9-6-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
3. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
Article 82. Stationary Automatic Acetylene Generators
§4803. Housing of Permanent Stationary Acetylene Generators.
Note     •     History

(a) Every stationary generator shall be housed in either an outside generator house or an inside generator room or compartment constructed according to the requirements of these orders.
(b) The space around the generator shall be ample for free, unobstructed operation and maintenance and shall permit ready adjustment and charging.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4804. Outside Generator Houses.
Note     •     History

(a) No opening in any outside generator house shall be located within five feet of any opening in another house.
(b) Outside generator houses shall be of one of the types of fire resistant construction listed in Section 4805(b) or of non-combustible construction.
(c) Where a part of the house is to be used for the storage or manifolding of oxygen cylinders, the space to be so occupied shall be separated from the generator and carbide storage sections by partition walls continuous from floor to ceiling, of one of the types of construction listed in Section 4805(b). Such separation walls shall be without openings and shall be joined to the floor, other walls and ceiling or roof in such manner as to effect a permanently gas-tight joint.
(d) Explosion venting for outside generator houses and inside generator rooms shall be provided in exterior walls or roofs. The venting area shall be equal to but not less than 1 square foot per 50 cubic feet of room volume and shall not consist of any one or any combination of the following: Walls of light, non-combustible material preferably single-thickness, single-strength glass; fastened swinging doors in exterior walls opening outward; lightly fastened walls or roof designed to relieve at maximum pressure of 25 pounds per square foot.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment of subdivisions (b)-(d) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4805. Inside Generator Rooms or Compartments.
Note     •     History

(a) Acetylene Generators shall not be installed in buildings exceeding one story in height, unless they are installed on the top floor or roof.
(b) Generators installed inside buildings shall be enclosed in a separate room. The walls, partitions, floors, and ceilings of inside general rooms shall be of construction having a fire-resistance rating of at least one-hour.
The walls or partitions shall be continuous from floor to ceiling and shall be securely anchored. At least one wall of the room shall be an external wall.
(c) Openings from an inside generator room to other parts of the building shall be protected by a swinging type, self-closing fire door for a Class B opening and having a rating of a least 1 hour. Windows in partitions shall be wired glass and approved metal frames with fixed sash. Installation shall be in accordance with the Standard for the Installation of Fire doors and Windows, NFPA 80-1970.
(d) A portion of the exterior walls or roof equal to not less than 10 percent of combined areas of the enclosing walls and roof shall be of light, noncombustible material, preferably single-strength glass.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4806. Exits.
Note     •     History

In every generator house, room or compartment over 100 sq. ft. in floor area, there shall be two readily accessible exits remotely located from each other. At least one exit door shall give direct access to the outside.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4807. Ventilation, Lighting and Heating of Generator Houses or Rooms.
Note     •     History

(a) Inside generator rooms or outside generator houses shall be well ventilated with vents located at floor and ceiling levels.
(b) Heating shall be by steam, hot water, enclosed electrically heated elements or other indirect means. Heating by flames or fires shall be prohibited in outside generator houses or inside generator rooms, or in any enclosure communicating with them.
(c) All generator houses or rooms shall have natural lighting during daylight hours. Where artificial lighting is necessary, it shall be restricted to electric lamps installed in accordance with Electrical Safety Orders for hazardous locations. (Title 8, Section 2540.1 et seq.)
(d) All electrical equipment in and around an acetylene generator house, room or compartment shall be installed in accordance with Electrical Safety Orders for hazardous locations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 28).
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4808. Protection Against Freezing.
Note     •     History

Generators must be placed where water will not freeze. No sodium chloride or other corrosive chemical is permissible as a protection against freezing.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4809. Water Supply Connection.
Note     •     History

Water shall not be supplied through a continuous connection to the generator except when the generator is provided with an open overflow or automatic water shutoff which will prevent overfilling of the generator. Where a noncontinuous connection is used, the supply line shall terminate not less than two inches above the opening for filling so that the water can be observed as it enters the generator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4810. Drain Connection.
Note     •     History

Unless otherwise specifically approved, generators shall not be fitted with continuous drain connections leading to sewers but shall discharge through an open connection into a suitably vented outdoor receptacle or residue pit which may have such connections.
Note: An open connection for the sludge drawoff is desirable to enable the generator operator to observe leakage of generating water from the drain valve or sludge cock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4811. Generator Escape or Relief Pipes.
Note     •     History

(a) Each generating chamber shall be provided with an escape or relief pipe, installed without traps so that any condensate will drain back into the chamber.
(b) All relief pipes shall be carried to a suitable point outside the building and shall terminate in a suitable hood or bend located at least 12 feet above the ground and at least three feet from combustible construction. Each generator shall be provided with a vent pipe of Schedule 40 galvanized iron or steel, or equivalent.
(c) Generating chamber relief pipes shall not be interconnected but shall be led separately to the outside air.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (b) filed 9-19-80; effective thirtieth day thereafter (Register 80, No. 38). 
4. Amendment of subsection (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4812. Maintenance and Operation.
Note     •     History

(a) Relief valves shall be tested in accordance with the manufacturer's recommendation to insure proper functioning. Relief valves for generating chambers shall be set to open at a pressure not in excess of 15 p.s.i.g. Relief valves for hydraulic back-pressure valves shall be set to open at a pressure not in excess of 20 p.s.i.g.
(b) The carbide added each time the generator is charged shall be no more than sufficient to refill the space provided for carbide without ramming the charge. Only wooden, brass or other nonferrous tools shall be used in distributing the charge, or in making any other adjustments on generators or in generator houses or rooms.
(c) At least 1 fire extinguisher of not less than 10B:C rating, listed by the Underwriters' Laboratories or other recognized authority of equivalent standing, shall be kept available for service and in good working order near the generator house or room.
(d) Whenever a person is inside a generator, another person shall be stationed outside the generator to assist in case of emergency. The person in the generator shall be provided with, and shall wear an approved life line and belt. In addition, there shall be provided a suitable ladder giving access to the interior of the generator.
(e) Flash lights used in the generator room or storage building shall be Bureau of Mines permissible type or equivalent.
(f) Nonautomatic generators shall not be used for generating acetylene at pressures exceeding 1 p.s.i.g., and all water overflows shall be visible.
(g) Generator water chambers shall be kept filled to proper level at all times except while draining during the recharging operation.
Whenever repairs are to be made or the generator is to be charged or carbide is to be removed, the water chamber shall be filled to the proper level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (h) and (i) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsection (e) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10). 
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4813. Gas Holders.
Note     •     History

(a) Gas holders shall be constructed on the gasometer principle, the bell being suitably guided. The gas bell shall move freely without tendency to bind and shall have a clearance of at least 2 inches from the shell.
The gas holder may be located in the generator room, in a separate room or out of doors. In order to prevent collapse of the gas bell or infiltration of air due to a vacuum caused by the compressor or booster pump or cooling of the gas, a compressor or booster cutoff shall be provided at a point 12 inches or more above the landing point of the bell. When the gas holder is located indoors, the room shall be ventilated, heated, and lighted in accordance with Section 4807.
(b) When the gas holder is not located within a heated building, gas holder seals shall be protected against freezing.
(c) Means shall be provided to stop the generator-feeding mechanism before the gas holder reaches the upper limit of its travel.
(d) When the gas holder is connected to only one generator, the gas capacity of the holder shall be not less than one-third of the hourly rating of the generator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: 142.3, Labor Code.
HISTORY

1. New section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20). 
2. Amendment of NOTE filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
Article 83. Portable Automatic Acetylene Generators
§4815. General.
Note     •     History

(a) Portable generators shall not be used within 10 feet of combustible material other than the floor.
(b) Portable generators shall not be used in rooms of total volume less than 35 times the total gas generating capacity per charge of all generators in the room.
No portable generator shall be used in a room with a ceiling less than 10 feet in height.
(c) Portable generators shall be protected against freezing. The use of salt or other corrosive chemicals to prevent freezing is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4816. Operation and Maintenance.
Note     •     History

(a) Portable generators shall be cleaned and recharged and the air mixture blown off outside buildings.
(b) Before a portable generator is recharged, partially or completely, it shall be thoroughly cleaned of all sludge and refilled with clean water.
(c) When charged with carbide, generators shall not be moved by crane, hoist or derrick.
(d) When not in use, portable generators shall not be stored in rooms in which open flames are used unless the generators contain no carbide and have been thoroughly purged of acetylene. Storage rooms shall be well ventilated.
(e) When portable acetylene generators are to be transported and operated on vehicles, they shall be securely anchored to the vehicles. If transported by truck, the motor shall be turned off during charging, cleaning, and generating periods.
(f) Portable generators shall be located at a safe distance from the welding position so that they will not be exposed to sparks, slag, or misdirection of the torch flame or overheating from hot materials or processes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (e) and (f) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsections (a) and (d) filed 6-12-87; operative 7-12-87; operative 7-12-87 (Register 87, No. 26).
Article 84. Calcium Carbide
§4818. Storage.
Note     •     History

(a) Calcium carbide shall be stored in sealed metal containers which are free from punctures, excessive rusting, corrosion or any other damage that might affect their water and air tightness. The contents of damaged containers shall be promptly used or transferred to another container.
(1) The containers shall be provided with a screw top or equivalent. Solder shall not be used in such a manner that the container would fail if exposed to fire.
(2) Containers containing calcium carbide shall be conspicuously marked “Calcium Carbide Dangerous If Not Kept Dry” or with equivalent warning.
(b) Calcium carbide in quantities up to 600 pounds may be stored in sealed metal containers inside buildings in a dry, waterproof, well ventilated place. The seal shall not be broken so long as there is carbide in excess of one pound in any other unsealed package of that size of carbide in the building.
(1) Calcium carbide exceeding 600 pounds but not exceeding 5,000 pounds shall be stored:
(A) In an inside generator room or outside generator house; or
(B) In a separate room in a one-story building which may contain other occupancies, but without cellar or basement beneath the carbide storage section. Such rooms shall be constructed in accordance with Section 4805 and ventilated in accordance with Section 4807. These rooms shall be used for no other purpose.
(2) Calcium carbide in excess of 5,000 pounds shall be stored in one-story buildings without cellar or basement and used for no other purpose, or in outside generator houses. If the storage building is of noncombustible construction, it may adjoin other one-story buildings if separated therefrom by unpierced firewalls; if it is detached less than 10 feet from such building or buildings, there shall be no opening in any of the mutually exposing sides of such buildings within 10 feet of each other. If the storage building is of combustible construction, it shall be at least 20 feet from any other one- or two-story building, and at least 30 feet from any other building exceeding two stories.
(3) Sprinkler systems shall not be installed in carbide storage rooms.
(c) Calcium carbide in sealed metal containers stored out-of-doors shall be on wooden planking or its equivalent so that the containers will not contact the ground or ground water. The containers shall be stored in rows with ample space for easy inspection and under tarpaulins.
(1) Carbide containers to be stored outdoors shall be examined to make sure that they are in good condition. Periodic reexaminations shall be made for rusting or other damage to a container that might affect its water or air tightness.
(2) Containers of carbide which have been in storage the longest shall be used first.
(d) No carbide storage room shall be used for the storage of any other material except fuel gas cylinders, singly or manifolded.
(e) Trucks or wheelbarrows used inside carbide storage rooms shall be equipped with rubber or other nonsparking tires.
(f) There shall be no opening from the carbide storage room into any other room or building, except that if there be a partition between the carbide room and a generator room, a doorway will be permitted if all electrical equipment in the carbide room be installed in accordance with Electrical Safety Orders for hazardous locations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (b) and (c) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (b)2) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
4. Amendment of subsections (c) and (f) filed 6-12-87; operative 7-12-87 (Register No. 26). 
§4819. Opening Containers.
Note     •     History

Nonferrous tools except copper or copper base alloy tools shall be provided and used for opening carbide containers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
Article 85. Service Piping for All Gases
§4821. Gas Systems Piping for Welding and Cutting, Materials and Design.
Note     •     History

(a) Piping and fittings shall comply with Chapters 1 through 4 of the American National Standard Code for Pressure Piping, ASME B31.1.2001, Power Piping, which is hereby incorporated by reference, insofar as it does not conflict with (b) and (c).
(b) Pipe shall be at least Schedule 40 and fittings shall be at least standard weight in sizes up to and including 6-inch nominal.
(c) Copper tubing shall be Types K or L in accordance with the Standard Specification for Seamless Copper Water Tube, ASTM B88-96 which is hereby incorporated by reference.
(d) Piping shall be steel, wrought iron, brass or copper pipe, or seamless copper, brass or stainless steel tubing, except as provided in Sections 4822 and 4823.
(e) Service piping systems shall be protected by pressure relief devices set to function at not more than the design pressure of the systems and discharging upwards to a safe location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference:Section 142.3, Labor Code.
HISTORY

1. New section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of subsections (a), (c) and (e) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
4. Amendment of subsection (c) filed 1-6-99; operative 2-5-99 (Register 99, No. 2).
5. Amendment of subsection (a) filed 6-2-2003; operative 7-2-2003 (Register 2003, No. 23).
§4822. Oxygen Piping.
Note     •     History

(a) Oxygen piping and fittings at pressures in excess of 700 p.s.i.g., shall be stainless steel or copper alloys.
(b) Hose connections and hose complying with Section 4839 of this Article may be used to connect the outlet of a manifold pressure regulator to piping providing the working pressure of the piping is 250 p.s.i.g. or less and the length of the hose does not exceed 5 feet. Hose shall have a minimum bursting pressure of 1,000 p.s.i.g.
(c) When oxygen is supplied to a service piping system from a low-pressure oxygen manifold without an intervening pressure regulating device, the piping system shall have a minimum design pressure of 250 p.s.i.g. A pressure regulating device shall be used at each station outlet when the connected equipment is for use at pressures less than 250 p.s.i.g.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of subsection (a) filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
§4823. Acetylene Piping.
Note     •     History

(a) Employers must comply with NFPA 51A Standard for Acetylene Cylinder Charging Plants 2006 Edition which is hereby incorporated by reference. 
(b) When employers can demonstrate that the facilities, equipment, structures, or installations used to generate acetylene or to charge (fill) acetylene cylinders were installed prior to February 16, 2006, these employers may comply with the provisions of NFPA 51A Standard for Acetylene Cylinder Charging Plants, 2001 Edition which is hereby incorporated by reference. 
(c) The provisions of subsection (b) also apply when the facilities, equipment, structures, or installations used to generate acetylene or to charge (fill) acetylene cylinders were approved for construction or installation prior to February 16, 2006, but constructed and installed on or after that date. 

NOTE: For additional information on acetylene piping systems, see CGA G-1.2-2006, Acetylene Metering and Piping, Third Edition. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
3. Editorial correction of printing error (Register 2002, No. 39).
4. Repealer and new section filed 7-1-2010; operative 7-1-2010 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 27). 
5. Editorial correction of subsection (a) (Register 2010, No. 34).
§4824. Piping Joints.
Note     •     History

(a) Joints in steel or wrought iron piping shall be welded, threaded or flanged. Fittings, such as ells, tees, couplings, and unions, may be rolled, forged or cast steel, malleable iron or nodular iron. Gray or white cast iron fittings are prohibited.
(b) Joints in brass or copper pipe shall be welded, brazed, threaded, or flanged. If of the socket type, they shall be brazed with silver-brazing alloy or similar high melting point (not less than 800o F) filler metal. 
(c) Joints in seamless copper, brass, or stainless steel tubing shall be approved gas tubing fittings or the joints shall be brazed. If of the socket type, they shall be brazed with silver-brazing alloy or similar high melting point (not less than 800o F) filler metal.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of subsection (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
§4825. Installation--General.
Note     •     History

(a) Distribution lines shall be installed and maintained in a safe operating condition. All piping shall be run directly as practicable, protected against physical damage, proper allowance being made for expansion and contraction, jarring and vibration. Pipe laid underground in earth shall be located below the frost line and protected against corrosion. After assembly, piping shall be thoroughly blown out with air, nitrogen, or carbon dioxide to remove foreign materials. For oxygen piping, only oil-free air, oil-free nitrogen, or oil-free carbon dioxide shall be used.
(b) Oxygen piping shall never be placed in tunnel, trench, manhole or duct where it may be exposed to contact with oil.
(c) Only piping which has been welded or brazed shall be installed in tunnels, trenches or ducts. Shutoff valves shall be located outside such conduits. Oxygen piping may be placed in the same tunnel, trench or duct with fuel-gas pipelines, provided there is good natural or forced ventilation.
(d) All drip pots shall be readily accessible and provided with outlets normally closed with screw caps or plugs. No open end valves or pet-cocks shall be used.
(e) Gas cocks or valves shall be provided for all buildings at points outside the buildings where they will be readily accessible for shutting off gas supply to buildings in any emergency.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20). 
2. Amendment of subsections (a) and (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4826. Testing.
Note     •     History

Piping systems shall be tested and proved gas-tight at 1 1/2 times the maximum working pressure and shall be thoroughly purged of air before being placed in service. The material used for testing oxygen lines shall be oil-free and non-combustible, flames shall not be used to detect leaks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4827. Painting and Signs.
Note     •     History

(a) Underground pipe and tubing and outdoor ferrous pipe and tubing shall be covered or painted with a suitable material for protection against corrosion.
(b) All oxygen pipe lines shall be painted one color, preferably green, and all fuel gas pipes a different color. Where more than one fuel gas is employed, the pipe lines supplying the different gases shall be painted distinctive colors.
(c) A color chart indicating the colors employed for this purpose shall be prominently displayed.
(d) Signs clearly establishing the location and identity of section shut-off valves shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4828. Hydraulic Back-Pressure Valves.
Note     •     History

(a) In low-pressure fuel gas systems, including acetylene, liquefied petroleum gas, manufactured gas, natural gas, etc., where the gas is piped at a pressure not in excess of 1 p.s.i., an approved hydraulic back-pressure valve shall be employed at every point where fuel gas and oxygen are withdrawn from the piping system. A shut-off valve shall be installed at the inlet of each hydraulic valve.
(b) In fuel gas systems where the gas is piped at a pressure in excess of 1 p.s.i. an approved service regulator, check valve or hydraulic seal shall be employed at every point where fuel gas and oxygen are withdrawn from the piping system. A shut-off valve shall be installed at the inlet of each hydraulic seal, regulator or check valve. Fuel gas for use with equipment not requiring oxygen shall be withdrawn upstream of the piping protective devices.
(c) Maintenance and inspection of hydraulic back-pressure valves shall be in accordance with manufacturer's instructions.
(d) If the station outlet is equipped with a detachable regulator, the outlet shall terminate in a union connection that complies with the Standard Connections for Regulator Outlets, Torches and Fitted Hose for Welding and Cutting Equipment, Compressed Gas Association, Pamphlet E-1-1980.
If the station outlet is connected directly to a hose, the outlet shall terminate in a union connection complying with the Standard Connections for Regulator Outlets, Torches and Fitted Hose for Welding and Cutting Equipment, Compressed Gas Association, Pamphlet E-1-1980.
Station outlets may terminate in pipe threads to which permanent connections are to be made, such as to a machine.
Station outlets shall be equipped with a detachable outlet seal cap secured in place. This cap shall be used to seal the outlet except when a hose, a regulator, or piping is attached.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new subsection (d) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsections (a) and (b) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4829. Storage and Use of Cylinders. [Repealed]
History

HISTORY

1. Repealer filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
Article 86. Manifolding of Cylinders to Headers for Shop Pipe Line Supply Systems and Pressure Reducing Regulators and Hose
§4834. Manifolds, General.
Note     •     History

(a) Manifolds shall be approved either separately for each component part or as an assembled unit. 
(b) Each fuel-gas and oxygen cylinder lead shall be provided with a backflow check valve.
(c) The aggregate capacity of fuel-gas cylinders connected to a portable manifold inside a building shall not exceed 3,000 cubic feet of gas.
(d) Acetylene and liquefied fuel-gas cylinders shall be manifolded in a vertical position.
(e) Such manifolds shall be so located and so guarded as to protect them against damage from trucks and from any material being moved in the vicinity.
(f) Cylinder manifolds shall be installed under the supervision of someone familiar with the proper practices with reference to their construction and use.
(g) All component parts used in the methods of manifolding described in Section 4821 shall be approved as to materials, design and construction either separately or as an assembled unit.
(h) All manifolds and parts used in methods of manifolding shall be used only for the gas or gases for which they are approved.
(i) When acetylene cylinders are coupled, approved flash arresters shall be installed between each cylinder and the coupler block. For outdoor use only, and when the number of cylinders coupled does not exceed three, one flash arrester installed between the coupler block and regulator is acceptable.
(j) Fuel gas and oxygen manifolds shall bear the name of the substance they contain in letters at least 1-inch high which shall be either painted on the manifold or on a sign permanently attached to it.
(k) Fuel gas and oxygen manifolds shall be placed in safe, well ventilated, and accessible locations. They shall not be located within enclosed spaces.
(l) Nothing shall be placed on top of a manifold, when in use, which will damage the manifold or interfere with the quick closing of the valves.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsection (b) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
3. Amendment of subsection (a) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4835. Fuel Gas Manifolds. (Acetylene, Liquefied Fuel Gases, and Nonliquified Gases Other Than Acetylene.)
Note     •     History

(a) Only cylinders containing gas at approximately equal pressures shall be manifolded.
(b) Except as provided in 4835 (c), fuel-gas cylinders connected to one manifold inside a building shall be limited to a total capacity not exceeding 300 pounds of liquified petroleum gas or 3,000 cubic feet of other fuel-gas. More than one manifold with connected cylinders may be located in the same room provided the manifolds are at least 50 feet apart or separated by a noncombustible barrier at least 50 feet apart or separated by a noncombustible barrier at least 5 feet high having a fire-resistance rating of at least one-half hour.
(c) Fuel-gas cylinders connected to one manifold having an aggregate capacity exceeding 300 pounds of liquified petroleum gas or 3,000 cubic feet of other fuel-gas shall be located outdoors, or in a separate building or room constructed in accordance with Section 4805(b).
(d) Special buildings or rooms, if provided, shall have no other occupancy except that they may be used for the storage of cylinders containing fuel gas and of drums of carbide; such buildings or rooms shall have no open flame for heating or lighting and shall be well ventilated. Signs shall be conspicuously posted in such rooms reading, “Danger No Smoking, Matches or Open Lights,” or other equivalent wording.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsection (d) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28). 
3. Amendment of subsections (b) and (c) filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
§4836. Oxygen Manifolds.
Note     •     History

(a) Oxygen manifolds shall not be located in an acetylene generator room. Oxygen manifolds shall be separated from fuel-gas cylinders or combustible materials (especially oil or grease), a minimum distance of 20 feet or by a noncombustible barrier at least 5 feet high having a fire resistance rating of at least one-half hour.
(b) An oxygen manifold, to which cylinders having an aggregate capacity of more than 6,000 cubic feet of oxygen are connected, shall be located outdoors or in a separate noncombustible building. Such a manifold if located inside a building having other occupancy, shall be located in a separate room of noncombustible construction.
(c) Manifolds shall be of substantial construction suitable for use with oxygen at a pressure of 250 p.s.i.g. They shall have a minimum bursting pressure of 1,000 p.s.i.g. and shall be protected by a safety relief device which will relieve at a maximum pressure of 500 p.s.i.g. DOT-4L200 cylinders have safety devices which relieve at a maximum pressure of 250 p.s.i.g. (or 235 p.s.i.g. if vacuum insulation is used).
(1) Hose and hose connections subject to cylinder pressure shall comply with Section 4839.
(2) Hose shall have a minimum bursting pressure of 1,000 p.s.i.g.
(3) The assembled manifold including leads shall be tested and proven gas-tight at a pressure of 300 p.s.i.g. The fluid used for testing oxygen manifolds shall be oil free and noncombustible.
(4) The following sign shall be conspicuously posted at each manifold:

Low-Pressure Manifold 
Do Not Connect High-Pressure Cylinders 
Maximum Pressure--250 P.S.I.G.
(d) Portable outlet headers shall not be used indoors except for temporary service where the conditions preclude a direct supply from outlets located on the service piping system.
(1) Each outlet on the service piping from which oxygen or fuel-gas is withdrawn to supply a portable outlet header shall be equipped with a readily accessible shutoff valve. 
(2) Hose and hose connections used for connecting the portable outlet header to the service piping shall comply with Section 4839.
(3) Master shutoff valves for both oxygen and fuel-gas shall be provided at the entry end of the portable outlet header.
(4) Each service outlet on portable outlet headers shall be provided with a valve assembly that includes a detachable outlet seal cap, chained or otherwise attached to the body of the valve.
(5) Materials and fabrication procedures for portable outlet headers shall comply with Sections 4822, 4823 and 4824.
(6) Portable outlet headers shall be provided with frames which will support the equipment securely in the correct operating position and protect them from damage during handling and operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (c) and (d) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20). 
2. Amendment of subsections (a), (b) and (c)(3) filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4837. Liquid Oxygen.
Note     •     History

Where liquid oxygen in a quantity exceeding 100 gallons is to be used for welding and cutting, the container or containers shall be located outside or in a special building having no other occupancy except that related to the handling and gasification of the oxygen and shall comply with the provisions of Article 139, Oxygen, Sections 5500-5509, of this Title.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10). 
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4838. Pressure Regulators.
Note     •     History

(a) Regulators or automatic reducing valves shall be used only for the gas and at the pressure for which they are intended. Defective oxygen and fuel gas pressure regulators, including their gauges, shall not be used.
(b) When regulators or parts of regulators, including gauges, need repair, the work shall be performed by skilled mechanics who have been properly instructed.
(c) Gauges on oxygen regulators shall be marked “USE NO OIL.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Editorial correction (Register 80, No. 12). 
3. New NOTE filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4839. Hose.
Note     •     History

(a) Fuel gas hose and oxygen hose shall be easily distinguished from each other. The contrast may be either by different colors or by surface characteristics readily distinguishable by the sense of touch. Oxygen and fuel gas hoses shall not be interchangeable. A single hose having more than one passage shall not be used.
Note: Red is generally accepted as the color for fuel gas, while green is used for oxygen hose.
(1) Hose for oxy-fuel gas service shall comply with the Specification for Rubber Welding Hose, 1979, Rubber Manufacturers Association.
(2) When parallel lengths of oxygen and acetylene hose are taped together for convenience and to prevent tangling, not more than 4 inches out of 12 inches shall be covered by tape.
(3) Hose connections shall comply with the Standard Connections for Regulator Outlets, Torches and Fitted Hose for Welding and Cutting Equipment, Compressed Gas Association, Pamphlet E-1-1980.
(4) Hose connections shall be clamped or otherwise securely fastened in a manner that will withstand, without leakage, twice the pressure to which they are normally subjected in service, but in no case less than a pressure of 300 p.s.i. Oil-free air or an oil-free inert gas shall be used for the test.
(5) Manifold hose connections, including both ends of the supply hose that lead to the manifold, shall be such that the hose cannot be interchanged between fuel gas and oxygen manifolds and supply header connections. Adapters shall not be used to permit the interchange of hose. Hose connections shall be kept free of grease and oil.
(6) All hose in use, carrying acetylene, oxygen, natural or manufactured fuel gas, or any gas or substance which may ignite or enter into combustion, or be in any way harmful to employees, shall be inspected at the beginning of each working shift.
(7) Hose which has been subject to flashback, or which shows evidence of severe wear or damage, shall be tested to twice the normal pressure to which it is subject, but in no case less than 300 p.s.i. Defective hose, or hose in doubtful condition, shall not be used.
(8) Hose showing leaks, burns, worn places, or other defects rendering it unfit for service shall be repaired or replaced.
(9) Boxes used for the storage of gas hose shall be ventilated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsection (a) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
§4840. Compressor or Booster Pumps--Fuel Gas and Acetylene-Oxygen Systems.
Note     •     History

(a) Compressor or booster pumps shall be provided with pressure relief valves which will relieve pressure exceeding 15 p.s.i.g. to a safe outdoor location as provided in Section 4811 or by returning the gas to the inlet side or to the gas supply source.
(b) Compressor or booster pump discharge outlets shall be provided with approved protective equipment. (See Section 4828.)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20). 
2. Amendment of NOTE filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
Article 87. Operating Procedure
§4845. General Precautions.
Note     •     History

(a) Mixtures of fuel gases and air or oxygen may be explosive and shall be guarded against. No device or attachment facilitating or permitting mixture of air or oxygen with combustible gases prior to consumption, except at the burner or in a standard torch or blowpipe, shall be allowed unless approved for the purpose.
(b) Backflow protection shall be provided by an approved device that will prevent oxygen from flowing into the fuel-gas system or fuel from flowing into the oxygen system. The backflow protection device shall be installed on either the torch or at each station outlet (i.e. the point at which gas is withdrawn from the permanent piping) either upstream or downstream of the shutoff valve for the oxygen or fuel gas station outlet valve(s).
(c) Acetylene shall not be generated, piped (except in approved cylinder manifolds) or utilized at a pressure in excess of 15 pounds per square inch gauge pressure.
(d) The use of liquid acetylene shall be prohibited.
(e) Oil or grease shall not be permitted to come in contact with oxygen cylinders, valves, regulators or other fittings. Oxygen cylinders and apparatus shall not be handled with oily hands or gloves, or greasy materials. A jet of oxygen shall not be permitted to strike an oily surface, greasy clothes or enter a fuel oil or other storage tank.
(f) Oxygen shall not be used from a cylinder or cylinder manifold unless a pressure-reducing device intended for use with oxygen, and so marked, is provided.
(g) Fuel-gas shall not be used from cylinders through torches or other devices equipped with shutoff valves without reducing the pressure through a suitable regulator attached to the cylinder valve or manifold.
Note: Low pressure air-gas torches may be used on small cylinders provided there is no shutoff valve on the torch.
(h) Welding fuel-gas cylinders shall be placed with valve end up whenever they are in use. Liquefied gases shall be stored and shipped with the valve end up. Nothing shall be placed on top of an acetylene cylinder when in use which may damage the safety device or interfere with the quick closing of the valve.
(i) Cylinders shall be handled carefully.
Note: Rough handling, knocks, and falls are liable to damage the cylinder, valve or safety devices and result in leakage.
(j) Before connecting a regulator to a cylinder valve, the valve shall be opened slightly and closed immediately. (This action is generally termed “cracking” and is intended to clear the valve of dust or dirt that might otherwise enter the regulator.) The valve shall be opened while standing to one side of the outlet; never in front of it. A fuel-gas cylinder valve shall never be opened up, cracked near other welding work or near sparks, flame, or other possible sources of ignition. 

Exception: Hydrogen cylinders. See suppliers instructions before connecting the regulator.
(k) Before a regulator is removed from a cylinder valve, the cylinder valve shall be closed and the gas released from the regulator.
(l) If cylinders are found to have leaky valves or fittings which cannot be stopped by closing of the valve, the cylinders shall be taken outdoors away from sources of ignition and slowly emptied.
(m) Cylinders having leaking fuse plugs or other leaking safety devices shall be plainly tagged, and the supplier shall be promptly notified of the condition and his instructions followed. A warning shall be placed near the cylinders prohibiting any approach to them with a lighted cigarette or other source of ignition.
(n) Safety devices shall not be tampered with.
(o) The cylinder valve shall always be opened slowly.
(p) An acetylene cylinder valve shall not be opened more than one and one-half turns of the spindle, and preferably no more than three-fourths of a turn.
(q) Torches in use shall be inspected at the beginning of each working shift for leaking shutoff valves, hose couplings, and tip connections. Defective torches shall not be used. Clogged torch tip openings shall be cleaned with suitable cleaning wires, drills, or other devices designed for such purpose.
(r) Torches shall be lighted by friction lighters or other approved devices, and not by matches or from hot work.
(s) Unalloyed copper shall not be used for acetylene or acetylenic compounds except in listed equipment.
(t) When flammable gas lines or other parts of equipment are being purged of air or gas, open lights or other sources of ignition shall not be permitted near uncapped openings.
No welding or cutting shall be performed on an acetylene or oxygen pipeline, including the attachment of hangers or supports, until the line has been purged. Only oil-free air, oil-free nitrogen, or oil-free carbon dioxide shall be used to purge oxygen lines.
(u) If pipeline protective equipment incorporates a liquid, the liquid level shall be maintained, and a suitable antifreeze may be used to prevent freezing.
(v) Cylinders shall be kept far enough away from the actual welding or cutting operation so that sparks, hot slag, or flame will not reach them, or fire-resistant shields shall be provided.
(w) No person, other than the gas supplier, shall attempt to mix gases in a cylinder. No one, except the owner of the cylinder or person authorized by him, shall refill a cylinder.
(x) Cylinders containing oxygen or acetylene or other fuel or gas shall not be taken into confined spaces. 
(y) When operations are suspended for any substantial period of time, such as during lunch or overnight, gas cylinders shall be shut off. Where practicable the torch and hose shall be removed from the confined space. Upon completion or discontinuance of welding operations, the welder shall provide some means of warning other workers of the location of hot metal.
Note: See Section 5150 for ventilation requirements for welding, brazing and cutting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
3. Amendment of subsection (r) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
4. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26).
5. Amendment of subsection (b) filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
Article 88. Fire Prevention in Welding and Cutting Operations
§4846. Storage of Cylinders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New Article 88 (Sections 4846, 4847) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of Article title and repealer of section filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
§4847. Use of Cylinders. [Repealed]
History

HISTORY

1. Repealer filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
§4848. Fire Prevention and Suppression Procedures and Methods.
Note     •     History

(a) The employer shall establish a fire prevention and suppression procedure whenever any of the operations and processes covered by Sections 4794(a) and 4850(a) are conducted on its property. The employer shall issue and implement instructions on fire prevention and suppression procedures based upon the requirements contained in American National Standards Institute (ANSI/ASC) Z49.1-94, Safety In Welding, Cutting and Allied Processes, Chapters 3 and 6 and National Fire Protection Association (NFPA) 51B-2009, Standard for Fire Prevention During Welding, Cutting, and Other Hot Work, Chapters 3-7, which are hereby incorporated by reference.
(b) Welding blankets, curtains and pads shall be approved for their intended use in accordance with Section 3206 of these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of section title filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
3. Amendment of subsections (a)(10) and (a)(12) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28). 
4. Amendment filed 6-12-87; operative 7-12-87 (Register 87, No. 26). 
5. Amendment filed 12-3-2002; operative 1-2-2003 (Register 2002, No. 49).
6. Amendment of section heading and section filed 8-30-2010; operative 9-29-2010 (Register 2010, No. 36).
Group 11. Electric Welding
Article 90. Electric Welding, Cutting and Heating
§4850. General.
Note     •     History

(a) Group 11 orders shall apply to all electrical equipment when used to perform electric welding, cutting, heating and other operations and processes pertaining to electric welding and includes resistance brazing and resistance soldering. The definitions for resistance brazing and resistance soldering as contained in American National Standards Institute/American Welding Society, ANSI/AWS A3.0-94, Standard Welding Terms and Definitions, are hereby incorporated by reference.
(b) All electrical equipment used to perform operations and processes noted in subsection (a) shall be installed and maintained in accordance with the California Electrical Safety Orders and chapters 11, 12 and 13 of the American National Standards Institute, ANSI/ASC Z49.1-94, Safety in Welding, Cutting and Allied Processes, which are hereby incorporated by reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Group 11 (Section 4850) and new Group 11 (Sections 4850-4852) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10). For prior history, see Register 75, No. 20.
2. Amendment of Article heading only filed; effective thirtieth day thereafter (Register 84, No. 50). 
3. Amendment of section and Note filed 12-3-2002; operative 1-2-2003 (Register 2002, No. 49).
§4851. Arc Welding and Cutting.
Note     •     History

(a) Where the work permits, the welder shall be enclosed in an individual booth painted with a finish of low reflectivity, such as zinc oxide and lamp black, or shall be enclosed with noncombustible screens having a similar low reflectivity finish. Booths and screens shall permit circulation of air at floor level. Workers or other persons adjacent to the welding areas shall be protected from the rays by noncombustible or flameproof screens or shields or shall be required to wear appropriate goggles.
(b) Welding machines shall be left on the outside of a confined space and heavy portable equipment shall be blocked to prevent accidental movement.
(c) When operations are suspended for any substantial period of time, such as during lunch or overnight, welding machines shall be shut off at some point outside the confined space. Where practicable, the electrodes and electrode holders shall be removed from the confined space. All electrodes shall be removed from the holders and the holders carefully located to prevent accidental contact. Upon completion or discontinuance of welding operations, the welder shall provide some means of warning other workers of the location of hot metal.
(d) Manual Electrode Holders.
(1) The employer shall ensure that only manual electrode holders intended for arc welding and cutting and capable of handling the maximum current required for such welding or cutting shall be used. 
(2) Current-carrying parts passing through those portions of the holder gripped by the user and through the outer surfaces of the jaws of the holder shall be insulated against the maximum voltage to ground.
(e) Welding Cables and Connectors.
(1) Arc welding and cutting cables shall be insulated, flexible and capable of handling the maximum current required by the operations, taking into account the duty cycles.
(2) Only cable free from repair or splice for 10 feet (3 m) from the electrode holder shall be used unless insulated connectors or splices with insulating quality equal to that of the cable are provided.
(3) When a cable other than the lead mentioned in Subsection (e)(2) wears and exposes bare conductors, the portion exposed shall not be used until it is protected by insulation equivalent in performance capacity to the original.
(4) Insulated connectors of equivalent capacity shall be used for connecting or splicing cable. Cable lugs, where used as connectors, shall provide electrical contact. Exposed metal parts shall be insulated.
(f) Ground Returns and Machine Grounding.
(1) Ground return cables shall have current-carrying capacity equal to or exceeding the total maximum output capacities of the welding or cutting units served.
(2) Structures or pipelines, other than those containing gases or flammable liquids or conduits containing electrical circuits, may be used in the ground return circuit if their current-carrying capacity equals or exceeds the total maximum output capacities of the welding or cutting units served.
(3) Structures or pipelines forming a temporary ground return circuit shall have electrical contact at all joints. Arcs, sparks or heat at any point in the circuit shall cause rejection as a ground circuit.
(4) Structures or pipelines acting continuously as ground return circuits shall have joints bonded and maintained to ensure that no electrolysis or fire hazard exists.
(5) Arc welding and cutting machine frames shall be grounded, either through a third wire in the cable containing the circuit conductor or through a separate wire at the source of the current. Grounding circuits shall have resistance low enough to permit sufficient current to flow to cause the fuse or circuit breaker to interrupt the current.
(6) Ground connections shall be mechanically and electrically adequate to carry the current.
(g) When electrode holders are left unattended, electrodes shall be removed and holders placed to prevent employee injury.
(h) Hot electrode holders shall not be dipped in water.
(i) The employer shall ensure that when arc welders or cutters leave or stop work or when machines are moved, the power supply switch shall be kept in the off position.
(j) Arc welding or cutting equipment having a functional defect shall not be used.
(k) The control apparatus of arc welding machines shall be enclosed except for operating wheels, levers, and handles.
(l) Input power terminals, top change devices and live metal parts connected to input circuits shall be enclosed and accessible only by means of insulated tools.
(m) When arc welding is performed in wet or high humidity conditions, employees shall use additional protection, such as rubber pads or boots, against electric shock.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
§4852. Resistance Welding.
Note     •     History

(a) All suspended portable welding gun equipment, with the exception of the gun assembly, shall be equipped with a support system capable of supporting the total shock load in the event of failure of any component of the supporting system.
Note: The system should be designed to be fail-safe. The use of devices such as secondary cables, chains, clamps, etc., is considered satisfactory. 
(b) Where it enters the gun frame, the movable holder mechanism shall be designed so as to present no shear points to the fingers placed on the operating movable holder; otherwise, guarding shall be provided.
(c) One or more safety emergency stop buttons shall be provided on all multi-spot welding machines, with a minimum of one stop button at each operator's position.
(d) Periodic inspection of resistance welding equipment shall be made by qualified personnel and a certification record maintained. The certification record shall include the date of the inspection, the signature of the person who performed the inspection, and the serial number or other identifier of the equipment inspected. The operator shall be instructed to report equipment defects to the supervisor.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (d) filed 3-5-90; operative 4-4-90 (Register 90, No. 12).
§4853. Inert-Gas Metal-Arc Welding.
Note     •     History

Employees shall not engage in and shall not be exposed to the inert-gas metal-arc welding process unless the following precautions are taken:
(a) Chlorinated solvents shall not be used within 200 feet (61 m) of the exposed arc. Surfaces prepared with chlorinated solvents shall be thoroughly dry before welding is performed on them.
(b) Employees in areas not protected from the arc by screening shall be protected by appropriate filter lenses in accordance with the requirements of Section 3382. When welders are exposed to their own arc or to each other's arc, filter lenses complying with the requirements of Section 3382 shall be worn to protect against flashes and radiant energy.
(c) Employees exposed to radiation shall have their skin covered completely to prevent ultraviolet burns and damage. Helmets and hand shields shall not have leaks, openings or highly reflective surfaces.
(d) Inert-gas metal-arc welding on stainless steel shall not be performed unless exposed employees are protected either by local exhaust ventilation or by wearing supplied air respirators.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
Group 13. Cranes and Other Hoisting Equipment
§4884. Scope.
Note     •     History

(a) The Orders in this Group shall apply to derricks, cranes, and boom-type excavators, but they shall not apply to aerial devices designed and used for positioning personnel (See Article 24).
(b) Hammerhead tower cranes manufactured on or before June 23, 1999:
(1) Hammerhead tower cranes manufactured prior to September 28, 1986, shall be designed, constructed, and installed in accordance with American National Standards Institute (ANSI) B30.3-1975, Hammerhead Tower Cranes, which is hereby incorporated by reference.
(2) Hammerhead tower cranes manufactured on September 28, 1986 through May 16, 1993, shall be designed, constructed, and installed in accordance with ANSI/American Society of Mechanical Engineers (ASME) B30.3-1984, Hammerhead Tower Cranes, which is hereby incorporated by reference.
(3) Hammerhead tower cranes manufactured after May 16, 1993 through June 23, 1999, shall be designed, constructed and installed in accordance with ASME B30.3-1990, Hammerhead Tower Cranes, which is hereby incorporated by reference.

Note: See Section 4884(c)(1)(B) for standards pertaining to hammerhead tower cranes manufactured after June 23, 1999.
(c)(1)(A) Cranes and derricks manufactured on or after September 28, 1986, through June 23, 1999, shall be designed, constructed and installed in accordance with the following applicable American National Standards Institute (ANSI) and/or American Society of Mechanical Engineers (ASME) standards or those listed in subsection (c)(1)(B):
B30.2-1983, Overhead and Gantry Cranes (Top Running Bridge Multiple Girder)
B30.4-1981,  Portal, Tower and Pillar Cranes
B30.5-1982,  Crawler, Locomotive and Truck Cranes
B30.6-1977,  Derricks
B30.7-1977,  Base Mounted Drum Hoists
B30.8-1982,  Floating Cranes and Floating Derricks
B30.11-1980,  Monorails and Underhung Cranes
B30.13-1977,  Controlled Mechanical Storage Cranes
B30.17-1980,  Overhead and Gantry Cranes (Top Running Bridge, Single Girder, Underhung Hoist)
(B) Cranes and derricks manufactured after June 23, 1999 shall be designed, constructed and installed in accordance with the following applicable American National Standards Institute (ANSI)/American Society of Mechanical Engineers (ASME) standards which are hereby incorporated by reference:
B30.2-1996, Overhead and Gantry Cranes (Top Running Bridge, Single or Multiple Girder, Top Running Trolley Hoist)
B30.3-1996, Construction Tower Cranes (includes Hammerhead Tower Cranes)
B30.4-1996, Portal, Tower and Pedestal Cranes
B30.5-1994, Mobile and Locomotive Cranes
B30.6-1995, Derricks
B30.7-1994, Base Mounted Drum Hoists
B30.8-1993, Floating Cranes and Floating Derricks
B30.11-1993, Monorails and Underhung Cranes
B30.13-1996, Storage/Retrieval (S/R) Machines and Associated Equipment
B30.17-1992, Overhead and Gantry Cranes (Top Running Bridge, Single Girder, Underhung Hoist)
(2) Articulating boom cranes manufactured after May 16, 1993 shall conform to these regulations and be provided with a permanently attached metal label stating that the equipment has been designed and constructed in accordance with ASME/ANSI B30.22-1987, and B30.22a-1988 Addenda, Articulating Boom Cranes, herein incorporated by reference, or has been approved as required by the provisions of Section 3206 of these orders.
(d)(1) Except as provided in subsection (d)(2), all cranes and derricks manufactured prior to September 28, 1986, shall conform to this subsection and shall be designed, constructed and installed in accordance with the following applicable ANSI standards:
B30.2-1967,  Overhead and Gantry Cranes
B30.4-1973,  Portal, Tower, and Pillar Cranes
B30.5-1968,  Crawler, Locomotive and Truck Cranes
B30.6-1969,  Derricks
B30.15-1973,  Mobile Hydraulic Cranes 

Exception: Section 15-1.3.2(d) of B30.15-1973, Two-Blocking Damage Prevention Feature.
(2) Cranes manufactured prior to January 15, 1974, shall be modified to comply with applicable regulations in Group 13, Cranes and Other Hoisting Equipment of the General Industry Safety Orders, unless it can be shown during the process of certification that a crane cannot feasibly or economically be modified to comply with any one or more applicable requirements and the crane substantially complies with applicable Group 13 regulations and the ANSI or other design standard to which the crane was manufactured.
(e) Cranes and derricks which do not meet the applicable ANSI standards shall be designed, constructed and installed in accordance with the recommendations of a currently registered mechanical or civil engineer.
(f) Cranes and derricks shall be operated, tested, inspected and maintained in accordance with these Orders.
(g) All electrically powered cranes and derricks shall also comply with applicable electrical safety orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Group 13 (sections 4885-4953, 4955-4965) and new Group 13 (sections 4884-4890, 4895-4912, 4920-4947, 4949, 4951-4956, 4960-4964, 4970-4977, 4980-4986, 4990-5006, 5008, 5009, 5020-5028, 5031-5035) filed 12-8-72; effective thirtieth day thereafter (Register 72, No. 50). For prior history, see Register 72, No. 23.
2. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
4. New subsections (b) and (c)(2), repealer of subsection (d), subsection relettering, and amendment of newly designated subsections (c)(1) and (d) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
5. Amendment of subsection (c) and new subsection (c)(3) filed 12-12-94; operative 1-1-95 (Register 94, No. 50).
6. New subsection (d)(1) designator, amendment of newly designated subsection (d)(1), and new subsection (d)(2) filed 8-29-96; operative 9-28-96 (Register 96, No. 35).
7. Redesignation and amendment of former subsection (c)(1) to new subsection (c)(1)(A), new subsection (c)(1)(B) and repealer of subsection (c)(3) filed 5-24-99; operative 6-23-99 (Register 99, No. 22).
8. Amendment of subsections (b)-(d)(2) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
9. Amendment of subsection (b), new subsections (b)(1)-(3) and amendment of subsections (c)(1)(A)-(B) filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
Article 91. Definitions
§4885. Definitions.
Note     •     History

Accessory. A secondary part or assembly of parts which contribute to the over-all function and usefulness of a machine.
Accessory gear. Those items specified by the crane manufacturer as being authorized for use on the load chart such as jibs, blocks, and hooks.
Angle Indicator (Boom). An accessory which measures and indicates the angle of boom to the horizontal.
Anti Two-Block Device. A device which, when activated, disengages all crane functions that can cause two-blocking. 
Articulating Boom Crane. A crane articulated by hydraulic cylinders, powered by an internal combustion engine or electric motor.
Automatic Crane. A crane which when activated operates through a preset cycle or cycles.
Auxiliary Hoist. A supplemental hoisting unit of lighter capacity and usually higher speed than provided for the main hoist.
Axis of Rotation. The vertical axis around which the crane superstructure rotates.
Base (Mounting). The traveling base or carrier on which the rotating superstructure is mounted such as a car, truck, crawlers, or wheel platform.
Boom. A member section of a crane or derrick, the lower end of which is affixed to a mast, base, carriage, or support, and the upper end supports a hook or other end attachment. The length of the boom shall be taken as the straight line distance between the axis of the foot pin and the axis of the end sheave pin.
Boom Angle. The angle between the longitudinal centerline of the boom and the horizontal. The boom longitudinal centerline is a straight line between the boom foot pin (heel pin) centerline and boom point sheave pin centerline.
Boom Hoist. A hoist drum and rope reeving system used to raise and lower the boom. The rope system may be all live reeving or a combination of live reeving and pendants.
Boomstop. A device used to limit the angle of the boom at the highest position.
Boom-Type Excavator. A power-operated excavating crane-type machine used for digging or moving materials. Some excavators of this type are commonly known as dipper stick shovels, backdiggers, trench hoe shovels, draglines, grab buckets, clamshell or orange peel excavators.
Booming, Luffing or Topping. Raising or lowering the head of a boom.
Brake. A device used for retarding or stopping motion by friction or power means.
Brake (Electric). An electric motor acting as a brake by regenerative, counter-torque, or dynamic means.
Brake (Electrically Operated). A friction brake actuated or controlled by electric means.
Brake, Holding. A brake that automatically prevents motion when all power is cut off from the brake holding mechanism.
Bridge. That part of a crane consisting of girders, trucks, end ties, footwalks and drive mechanism which carries the trolley or trolleys.
Bridge Travel. The crane movement in a direction parallel to the crane runway.
Buffer. A cushioning device at the ends of a trolley, bridge, or other moving part of a crane operating on rails to minimize shock in the event of collision.
Bulk Cargo Spout. A spout, which may or may not be telescopic and may or may not have removable sections, but is suspended over the vessel from some overhead structure by wire rope or other means. Such a spout is often used with a thrower or trimming machine. A grain loading spout is an example of spouts covered by this definition.
Bulk Cargo Sucker. A pneumatic conveyor which utilizes a spoutlike device, which may be adjustable vertically and/or laterally, and which is suspended over a vessel from some overhead structure by wire rope or other means. An example of an installation of this nature is the grain sucker used to discharge grain from barges.
Bumper. A device which stops the moving part at the limit of travel of a trolley, bridge, or crane operating on rails and prevents further motion beyond that point.
Cab. An inclosure for housing the operator and/or the hoisting mechanism, power plant, and equipment controlling a crane.
Cab-Operated Crane. A crane controlled by an operator in a cab located on the bridge or trolley.
Cableway. A power operated system for moving loads in which the loads are conveyed on an overhead cable, track or carriage.
Cage. An open structure for housing the operator and/or the equipment controlling crane or hoist.
Certificating Agency. Certificating agencies are qualified agencies, and/or persons, licensed by the Division to examine, test and certify cranes and derricks in accordance with Sections 344.60 through 344.67 of Title 8 of the California Code of Regulations.
Certified Agent. The manufacturer, or a person who is currently registered as a professional civil, mechanical, or structural engineer by the State of California and is knowledgeable in the structure and use of the equipment.
Chicago Boom Derrick. A boom which is attached to a structure, an outside upright member of the structure serving as the mast, and the boom being stopped in a fixed socket clamped to the upright. The derrick is complete with load, boom, and boom point swing line falls.
Clearance. The distance from any part of the crane to a point of the nearest obstruction.
Controller, Spring Return. A controller which when released will return automatically to a neutral position.
Counterweight. A weight used to supplement the weight of the machine in providing stability for lifting working loads.
Crane. A machine for lifting or lowering a load and moving it horizontally, in which the hoisting mechanism is an integral part of the machine. It may be driven manually or by power and may be a fixed or a mobile machine, but does not include stackers, lift trucks, power shovels, backhoes, or excavators. Some of the common types of cranes are defined as follows:
(A) Boom-Type Mobile Crane. A self-propelled crane equipped with a boom and mounted on a chassis which is supported on either rubber tires, crawler treads or railway wheels running on railroad tracks.
(B) Cantilever Gantry Crane. A crane in which the bridge girders or trusses are extended transversely beyond the crane runway on one or both sides. Its runway may be either on the ground or elevated.
(C) Crawler Crane. A crane consisting of a superstructure with power plant, operating machinery and boom, mounted on a base, equipped with crawler treads for travel.
(D) Floor Operated Crane. A crane which is pendant or nonconductive rope controlled by an operator on the floor or an independent platform.
(E) Gantry Crane. A crane similar to an overhead traveling crane, except that the bridge for carrying the trolley or trolleys is rigidly supported on two or more movable legs running on fixed rails or other runway.
(1) Container Handling Yard Crane. Rubber tired gantry crane.
(F) Hammerhead Crane. A rotating, counterbalanced cantilever, equipped with one or more trolleys and supported by a pivot or turntable on a traveling or fixed tower.
(G) Jib Crane. A fixed crane consisting of a supported vertical member from which extends a horizontal swinging arm carrying a trolley hoist or other hoisting mechanism.
(H) Locomotive Crane. A boom-type mobile crane consisting of a self-propelled car operating on a railroad track, upon which is mounted a rotating body supporting the power-operated mechanism, together with a boom capable of being raised or lowered at its head (outer end) from which is led the wire rope or chain connected to the hoisting mechanism, for raising or lowering a load.
(I) Monorail Crane. A crane whose hoisting mechanism is suspended from, and is an integral part of, one or more trolleys mounted on a single track.
(J) Motor Truck Crane. A boom-type mobile crane mounted on a motor truck frame or rubber-tired chassis. It consists of a rotating superstructure with power plant, operating mechanism and boom.
(K) Overhead Traveling or Bridge Crane. A crane on a pair of parallel elevated runways, adapted to lift and lower a load and carry it horizontally parallel to, or at right angles to, the runways or both; and consisting of one or more trolleys operating on the bridge which in turn consists of one or more girders or trusses mounted on trucks operating on the elevated runways, with its operation limited to the area between the runways.
(L) Pillar Crane. A fixed crane consisting of a vertical member held in position at the base to resist overturning moment with constant-radius revolving boom supported at the outer end by a tension member.
(M) Pillar Jib Crane. A fixed crane consisting of a vertical member held at the base with a horizontal revolving arm carrying a trolley.
(N) Polar Crane. A bridge or gantry type crane which travels on a circular track.
(O) Portal Crane (Whirley Type). A gantry crane without trolley motion, which has a boom attached to a revolving crane mounted on a gantry, with the boom capable of being raised or lowered at its head (outer end). Portal cranes may be fixed or mobile.
(P) Power Operated Crane. A crane whose mechanism is driven by electric, air, hydraulic or internal combustion means.
(Q) Pulpit-Operated Crane. A crane operated from a fixed operation station not a hazard to the crane.
(R) Remote-Operated Crane. A crane controlled by an operator not in a pulpit or in a cab hooked to the crane, by any method other than pendant or rope control.
(S) Standby Crane. A crane which is not in regular service but which is used occasionally or intermittently as required.
(T) Semi-Gantry or Single Leg Crane. A gantry crane with 1 end of the bridge rigidly supported on one or more movable legs, running on a fixed rail or runway, the other end of the bridge being supported by a truck running on an elevated rail or runway.
(U) Semi-Portal Crane. A portal crane mounted on a semi-gantry frame instead of a gantry frame.
(V) Tower Crane. A crane in which a boom, swinging jib or other structural member is mounted on a vertical mast or tower.
(1) Tower Crane (Climber). A crane erected upon and supported by a building or other structure which may be raised or lowered to different floors or levels of the building or structure.
(2) Tower Crane (Free Standing). A crane with a horizontally swinging, usually non-luffing boom which may be on a fixed base or mounted on rails.
(3) Tower Crane (Mobile). A tower crane which is mounted on a crawler, truck or similar carrier for travel or transit.
(4) Tower Crane (Self-Erector). A mobile tower crane that is truck carrier mounted and capable of self-erection.
(W) Traveling Jib Crane. A jib crane with the vertical member running on a track, its upper end guided by a parallel overhead track.
(X) Wall Crane. A crane having jib with or without a trolley and supported from a side wall or line of columns of a building.
(Y) Wheel Mounted Crane. A crane consisting of a rotating superstructure with power plant, operating machinery and boom, mounted on a base or platform equipped with axles and rubber-tired wheels for travel. The base is usually propelled by the engine in the superstructure, but it may be equipped with a separate engine controlled from the superstructure. Its function is to hoist and swing loads at various radii.
Crane Runway. The structure upon which a crane runs, and may be:
(A) A structure consisting of columns, longitudinal bracing and elevated beams, girders, or trusses, for supporting traveling or bridge cranes.
(B) Elevated beams, girders, or trusses in a building or on the side of a building, for supporting traveling cranes.
(C) Surface tracks or rails.
(D) Tracks or rails on walls or trestles.
Derrick. An apparatus consisting of a mast or equivalent member held at the top by guys or braces, with or without a boom, for use with a hoisting mechanism and operating rope, for lifting or lowering a load and moving it horizontally.
(A) A-Frame Derrick. A derrick in which the boom is hinged from a cross member between the bottom ends of two upright members spread apart at the lower ends and joined at the top; the boom point secured to the junction of the side members, and the side members are braced or guyed from this junction point.
(B) Breast Derrick. A derrick without a boom. The mast consists of two side members spread farther apart at the base than at the top and tied together at top and bottom by rigid members. The mast is prevented from tipping forward by guys connected to its top. The load is raised and lowered by ropes through a sheave or block secured to the top crosspiece.
(C) Gin Pole Derrick. A derrick without a boom. Its guys are so arranged from its top to permit leaning the mast in any direction. The load is raised and lowered by ropes reeved through sheaves or blocks at the top of the mast.
(D) Guy Derrick. A fixed derrick consisting of a mast capable of being rotated, supported in a vertical position by guys, and a boom whose bottom end is hinged or pivoted to move in a vertical plane with a reeved rope between the head of the mast and the boom point for raising and lowering the boom, and a reeved rope from the boom point for raising and lowering the load.
(E) Stiffleg Derrick. A derrick similar to a guy derrick except that the mast is supported or held in place by two or more stiff members, called stifflegs, which are capable of resisting either tensile or compressive forces. Sills are generally provided to connect the lower ends of the stifflegs to the foot of the mast.
(F) Shearleg Derrick. A derrick without a boom and similar to a breast derrick. The mast, wide at the bottom and narrow at the top, is hinged at the bottom and has its top secured by a multiple reeved guy to permit handling loads at various radii by means of load tackle suspended from the mast top.
Designated Person. A person selected or assigned by the employer or the employer's representative as being qualified to perform specific duties.
Drag Brake. A brake which provides retarding force without external control.
Dynamic Brake. A method of controlling crane motor speeds when in the overhauling condition to provide a retarding force.
Dynamic Loading. Loads introduced into the machine or its components by forces in motion.
Emergency Stop Switch. A manually or automatically operated electric switch to cut off electric power independently of the regular operating controls.
Hoist. An apparatus for raising or lowering a load by the application of a pulling force, but does not include a car or platform riding in guides. Some common types of hoists are defined as follows:
(A) Base-Mounted Electric Hoist. A hoist similar to an overhead electric hoist, except that it has a base or feet and may be mounted overhead, on a vertical plane, or in any position for which it is designed.
(B) Clevis Suspension Hoist. A hoist whose upper suspension member is a clevis.
(C) Hook Suspension Hoist. A hoist whose upper suspension member is a hook.
(D) Monorail Hoist. A hoist whose hoisting mechanism is suspended from one or more trolleys mounted on a single track.
(E) Overhead Electric Hoist. A motor-driven hoist having one or more drums or sheave for rope or chain and supported overhead. It may be fixed or traveling.
(F) Simple Drum Hoist. A hoist with one or more drums controlled by manually operated clutches, brakes, or ratchet and pawl on drum, and control levers, which is operated by hand or by power.

Note: This type of hoist is known to the trade as a contractor's hoist and is usually a portable unit.
(i) Double-Drum Hoist. A simple drum hoist having two independent hoisting drums.
(ii) Single-Drum Hoist. A simple drum hoist having only one hoisting drum.
(iii) Single Fixed Drum Hoist. A single-drum hoist with the drum geared directly to the power unit instead of by means of friction clutches.
Hoist Chain. The load bearing chain in a hoist.
Hoisting Machine. A power operated machine used for lifting or lowering a load, utilizing a drum and wire rope, excluding elevators. This shall include but not be limited to a crane, derrick and cableway.
Hoist Motion. That motion of a crane which raises and lowers a load.
Jib. 
(A) A horizontal arm, for supporting a trolley or fall block, which does not change its inclination with the horizontal.
(B) An extension attached to the boom point to provide added boom length for lifting specified loads. The jib may be in line with the boom or offset to various angles.
Lay. That distance measured along a rope in which one strand makes a complete revolution around the rope axis.
Limit Switch. A device designed to cut off the power automatically at or near the limit of travel of a crane, trolley, hoist, or similar mechanism.
Line Pull, Permissible. A line pull, less than the available pull, restricted by rope strength, clutch or brake ability, or other limitation in machinery or equipment.
Load (Working). The external load in pounds applied on the hoisting line, including the weight of load attaching equipment such as load blocks, shackles, slings, buckets, and magnets.
Load Block (Lower). The assembly of hook or shackle, swivel, sheaves, pins, and frame suspended by the hoisting ropes.
Load Block (Upper). The assembly of sheaves, pins, and frame suspended from the boom.
Load Rating. The lifting capacity established by the certified agent for various angles and positions.
Machine House. An enclosure for housing the hoisting mechanism and power plant.
Magnet. An electromagnetic device carried on a crane hook to pick up loads magnetically.
Main Hoist. The hoist mechanism provided for lifting the maximum rated load.
Main Switch. A switch controlling the entire power supply to the crane.
Man Trolley. A trolley having an operator's cage attached thereto and may be used as an integral part of a monorail hoist or a monorail crane.
Master Switch. A switch which dominates the operation of contactors, relays, or other remotely operated devices.
Molten Metal Handling Crane. An overhead crane used for transporting or pouring molten material.
Outdoor Storage Bridge. A gantry type crane of long span usually used for bulk storage of material. The bridge girders or trusses are rigidly or nonrigidly supported on one or more legs. It may have one or more fixed or hinged cantilever ends.
Overhead Loads. For the purpose of Group 13 Regulations, overhead loads are loads either passed or suspended directly over employee-occupied work-spaces or passageways.
Radius (Load). The horizontal distance from the center of rotation of a crane or derrick to the center of the vertical hoist line, hook shank or pin, or tackle with load applied.
Rated Load. The maximum load for which a crane or individual hoist is designed and built by the manufacturer and shown on the equipment nameplate(s) or load capacity chart.
Reeving. A rope system in which the rope travels around drums and sheaves.
Regenerative. A form of dynamic braking in which the electrical energy generated is fed back into the power system.
Rope. Refers to wire rope unless otherwise specified.
Running Sheave. A sheave which rotates as the load block is raised or lowered.
Safety Hook. A hook with a safety latch or arrangement to close the throat of the hook, in such manner as to prevent slings or load attachment from accidentally slipping off the hook.
Side Pull. That portion of the hoist pull acting horizontally when the hoist lines are not operated vertically.
Side Pull or Side Loading. A load applied at any angle to the vertical plane of the boom.
Span. The horizontal distance center to center of runway rails.
Standing Rope (Guy). A supporting rope which maintains a constant distance between the points of attachment to the two components connected by the rope.
Structural Competence. The ability of the machine and its components to withstand the stresses imposed by applied loads.
Swinging or Slewing. The act of moving a boom through a horizontal arc.
Switch. A device for making, breaking, or for changing the connections in an electric circuit.
Track. A structural member that supports the trolley or crane wheels.
Transit. The moving or transporting of a crane from one job site to another.
Travel. The function of a machine moving from one location to another, on a job site. Trolley. A truck or carriage supporting the load mounted on an overhead beam, bridge, cableway or track.
Trolley Travel. The trolley movement at right angles to the crane runway.
Truck (of an overhead, gantry, or locomotive crane). The framework and wheels operating on the runway or rails and supporting the bridge, trolley, or body of the crane.
Two-Block Damage Prevention Feature. A system which will stall when two-blocking occurs without causing damage to hoist rope or crane machinery components. 
Two-Block Warning Feature. Warning device to alert the operator of an impending two-blocking condition. 
Two-Blocking. A condition in which the lower load block or hook assembly comes into contact with the upper load block or boom point sheave assembly. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
4. Amendment filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
5. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
6. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
7. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
8. Amendment adding Articulating Boom Crane filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
9. Amendment of “Certificating Agency” and repealer of (1)-(3) filed 12-6-95; operative 1-5-96 (Register 95, No. 49).
10. Amendment filed 6-3-2002; operative 7-3-2002 (Register 2002, No. 23).
11. Amendment of definition of “Man Trolley” filed 8-25-2003; operative 9-24-2003 (Register 2003, No. 35).
12. Editorial correction of definition of “Radius” (Register 2008, No. 16).
13. New definitions of “Anti Two-Block Device,” ”Two-Block Damage Prevention Feature,” “Two-Block Warning Feature” and “Two-Blocking” filed 7-17-2008; operative 8-16-2008 (Register 2008, No. 29).
14. Change without regulatory effect amending definition of “Master Switch” filed 8-17-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 34).
15. New definition of “Accessory gear” and amendment of Note filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
16. Amendment of definition of ``Radius” filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 

PLATE I.
TYPES OF CRANES

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PLATE II. TYPES OF DERRICKS.

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PLATE III.
FLOATING CRANES AND FLOATING DERRICKS

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PLATE V
STATE OF CALIFORNIA
DEPARTMENT OF INDUSTRIAL RELATIONS
DIVISION OF OCCUPATIONAL SAFETY AND HEALTH (DOSH)

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The examination shall be carried out in conjunction with each unit proof load test. The qualified person, or his authorized representative, shall make a determination as to requirements for the correction of deficiencies found. The examination shall cover the following points as applicable:
1. All functional operating mechanisms for improper function, maladjustment, and excessive component wear, with particular attention to sheaves, pins, and drums. This shall include operation with partial load, in which all functions and movements, including, where applicable, maximum possible rotation in both directions, are performed.
2. All safety devices for malfunction.
3. Deterioration or leakage in lines, tanks, valves, drains, pumps, and other parts of air or hydraulic systems.
4. Loose gear components (i.e., hooks, etc.), including wire rope and wire rope terminals and connections, with particular attention to sections of wire rope exposed to abnormal wear and sections not normally exposed for examination. Cracked or deformed hooks shall be discarded.
5. Rope reeving for compliance with certifying agent's recommendations.
6. Deformed, cracked, or excessively corroded members in crane structure and boom.
7. Loose bolts, rivets, or other connections.
8. Worn, cracked, or distorted parts affecting safe operation.
9. Excessive wear on and free operation of brake and clutch system parts, linings, pawls, and ratchets.
10. Load, boom angle, or other indicators shall be checked for any significant inaccuracy.
11. It shall be ascertained that there is a durable rating chart visible to the operator, covering the complete range of the certified agent's capacity ratings at all operating radii, for all permissible boom lengths and jib lengths, with alternate ratings for optional equipment affecting such ratings. Necessary precautions or warnings shall be included and operating controls marked or an explanation of controls shall be posted at the operator's position to indicate function.
12. Careful examination of the junction areas of removable boom sections, particularly for proper seating, cracks, deformities, or other defects in securing bolts and in the vicinity of such bolts.
13. It shall be ascertained that no counterweights in excess of the certified agent's specifications are fitted.
14. Such other examinations deemed necessary under the circumstances.

Note: Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No.  7).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No.  29).
3. Amendment filed 1-2-76; effective thirtieth day thereafter (Register 76, No.  1).
4. Amendment filed 7-6-79; effective thirtieth day thereafter (Register 79, No.  27).
5. Repealer of Plate IV and Plate C-11-b filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
6. Amendment of Plate V filed 7-2-80 as procedural and organizational; effective upon filing (Register 80, No. 27).
7. Amendment of Plates I, II and V filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
8. Change without regulatory effect amending section filed 10-26-90 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 9).
9. New Figure 17-a filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
10. Amendment of caption for Figure 15 filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
11. Change without regulatory effect providing more legible illustrations for Plate I (Figures 1-21), Plate II (Figures 1-6) and Plate III (figures 1-4) filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
Article 92. Cranes (Except Boom-Type Mobile Cranes)
§4886. Purpose.
Note     •     History

The orders in this Article apply to overhead traveling or bridge cranes, storage cranes, gantry cranes, portal cranes, jib cranes, pillar cranes, pintle cranes, wall cranes, polar cranes of rated capacity exceeding one ton, and any modification of these types which retain their characteristic features except when an order is specific as to type of crane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
3. Amendment filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
§4887. Access to the Cage, Cab, or Machine House Required.
Note     •     History

(a) Access to the cage, cab or machine house shall be afforded by a fixed ladder, stairs or platform requiring a step-over of not more than 12 inches, except in installations prior to January 1, 1973, the gap may exceed 12 inches but shall not exceed 20 inches, and so located that a person approaching or leaving the crane shall not be exposed to dangerous shear hazards. If the top of a ladder or stairway or any position thereof is located where a moving part of a crane, such as a revolving house, could strike an employee ascending or descending the ladder or stairway, a prominent warning sign shall be posted at the foot of the ladder or stairway. A system of communication (such as a buzzer or bell) shall be established and maintained between the foot of the ladder or stairway and the operator's cab.
(b) For bridge and gantry cranes, there shall be a ladder, stairs or other safe means which provides access to the bridge walkway. Where cage is attached to and below bridge girders, no portion of the cage or cage platform shall be in the projected area between the girders unless there are bridge stops or bumpers to prevent the trolley from passing over the projected area opposite the cage.
(c) On all cranes having revolving cabs or machine houses, means shall be provided to permit the operator to enter or leave the crane cab or machine house irrespective of position of the cab and to safely reach the ground.
(d) When necessary to go out on booms or bridges to service the blocks or other parts of the machinery, each boom or bridge shall be equipped with a substantial walkway or platform handholds, or grab irons giving access to the blocks and machinery. Permanent elevated platforms attached to the building at the end of the bridge crane runways and at the same level of the bridge, which give safe access to the bridge, or mobile work platforms, will be acceptable in lieu of the platform on the bridge. Single girder or monorail bridges with underhung trolleys and hoists are exempted, provided the hoists and trolleys are serviced or repaired from a safe, portable ladder or other safe temporary means. Booms which can be and are safely lowered to a safe location for such servicing operation will be exempted from this order, provided all grease and oil fittings and receptacles are piped or otherwise located so that they can be conveniently serviced from such walkways or safe locations without climbing over or upon the boom, bridge, or trolley structure. Footwalks shall be of rigid construction and designed to sustain a distributed load of at least 50 pounds per square foot.
(e) Where practicable, every overhead traveling crane walkway shall have a headroom of at least 78 inches. Where not practicable to provide this clearance, the crane walkway shall have at least 60 inches clearance or the walkway shall be omitted from the crane and a permanent elevated platform shall be attached to the building at the end of the crane runway.
Note: See General Industry Safety Orders, Group I for general workspace, and access requirements.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (d) and (e) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (a) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Amendment of subsections (a)-(c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4888. Outdoor Cages, Cabs, or Machine Houses.
Note     •     History

(a) The cages, cabs, or machine houses on cranes used in inclement weather shall be enclosed to protect the operator.
(b) The general arrangement of the cab and the location of control and protective equipment shall be such that all operating handles are within convenient reach of the operator when facing the area to be served by the load hook, or while facing the direction of travel of the cab. The arrangement shall allow the operator a full view of the load hook in all positions except as provided under Section 5001.
(c) The cab shall be located to afford a minimum of 3 inches clearance from all fixed structures within its area of possible movement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (b) and (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (b) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4889. Warning Devices.
Note     •     History

(a) An audible warning device shall be mounted on each overhead traveling or bridge crane equipped with a power traveling mechanism, to warn persons in or near the path of crane travel.

Exception: Floor operated cranes whose movements are controlled by an operator through the use of controllers contained in a pendant station suspended from the crane.
(b) When starting the bridge and when the load or hook approaches personnel, the warning signal shall be sounded. 

Exception: When an employee whose specific duties are to spot and direct crane operations who is in contact with the operator by signals, telephone, radio, etc.
(c) Cranes traveling on rails or rubber tires at ground level and operating in work areas shall be equipped with automatic warning devices to warn employees whenever the crane is traveling.
(d) Overhead traveling or bridge cranes equipped with a power traveling mechanism whose warning device has become inoperative shall not be operated until the warning device is repaired or replaced. 

Exception: Temporary crane operation will be permitted if a spotter having a clear view of the crane load and operator is present whose specific duty is to warn those in the path of the crane or its load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
3. Amendment of subsections (a) and (d) filed 12-5-2000; operative 1-4-2001 (Register 2000, No. 49).
§4890. Fire Extinguisher.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
2. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4895. Illumination.
Note     •     History

Sufficient light shall be provided in the cab to enable the operator to see clearly enough to perform the work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4896. Controllers.
Note     •     History

(a) Cranes not equipped with spring-return controllers or momentary contact pushbuttons shall be provided with a device which will disconnect all motors from the line on failure of line power and will not permit any motor to be restarted on line power until the controller handle is brought to the “off” position, or a reset switch or button is operated.
(b) For cranes operated from the floor, the controller or controllers, if the controller is rope or line actuated, shall automatically return to the “off” position when released by the operator.
(c) Lever-operated controllers shall be provided with a mechanical device which will hold the handle in the “off” position, requiring voluntary effort to move it from the “off” position to the “on” position.
(d) All electrically operated cranes shall have their controllers plainly marked to indicate their function and the equipment they control. As far as is practicable, the movement of each controller handle shall be in the same general direction as the resultant movement of the load.
(e) The controller operating handles shall be located within convenient reach of the operator.
(f) The controls for the bridge and trolley shall be so located that the operator can readily see the direction of travel while operating the controls.
(g) All electric cranes of similar design operating in a given plant shall be so wired that like motion of controller handles will produce like effect in similarly controlled mechanisms.
(h) Remote-operated cranes shall function so that if the control signal for any crane motion becomes ineffective, crane motion shall stop.
(i) Automatic cranes shall be so designed that all motions shall failsafe if any malfunction of controls occurs.
(j) Pendant controller controls shall return to the “off” position when released by the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (i) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Repealer of former subsections (d) and (e) and relettering of former subsections (f)-(l) to subsections (d)-(j) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4897. Hoist Limit Device.
Note     •     History

The hoisting motion of all electric overhead traveling cranes shall be provided with a suitable and effective enclosed-type limit switch so placed and arranged as to stop the hoist before the hook passes the highest point of safe travel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4898. Brakes for Hoists.
Note     •     History

(a) Each independent hoisting unit of a crane shall be equipped with at least one self-setting brake, hereafter referred to as a holding brake, applied directly to the motor shaft or some part of the gear train.
(b) Each independent hoisting unit of a crane, except worm-geared hoists, the angle of whose worm is such as to prevent the load from accelerating in the lowering direction, shall, in addition to a holding brake, be equipped with control braking means to prevent over-speeding.
(c) Holding brakes for hoist motors shall have not less than the following percentage of the full load hoisting torque at the point where the brake is applied:
(1) 125 percent when used with a control braking means other than mechanical.
(2) 100 percent when used in conjunction with a mechanical control braking means.
(3) 100 percent each if two holding brakes are provided.
(d) Holding brakes on hoists shall have ample thermal capacity for the frequency of operation required by the service.
(e) Holding brakes on hoists shall be applied automatically when power is removed from the brake holding mechanism.
Note: Dynamic braking controls of d-c motors may maintain power at the brake holding mechanism (coil) if the power supply to the crane is interrupted while a load is being lowered. The holding brakes need not be applied automatically in this situation, since the operator can stop or control the lowering speed of the load in a normal manner.
(f) Holding brakes shall be provided with adjustment means to compensate for wear.
(g) The wearing surface of all holding-brake drums or discs shall be smooth.
(h) Each independent hoisting unit of a crane handling hot metal and having power control braking means shall be equipped with at least two holding brakes.
(i) A power control braking means such as regenerative, dynamic or counter-torque braking, or a mechanically controlled braking means shall be capable of maintaining safe lowering speeds of rated loads. 
(j) The control braking means shall have ample thermal capacity for the frequency of operation required by service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment of subsection (f) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4899. Foot Brake Pedal.
Note     •     History

Foot-operated brake pedals shall be maintained so that the operator's foot will not easily slip off.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4900. Locking Device.
Note     •     History

A locking device capable of holding the brake applied at 50 percent more than the maximum rated load shall be provided on each hand or foot operated hoisting motion brake unless a ratchet and pawl are provided on the drum. Such locking device shall either, require a separate motion of the hand or foot from that motion which applies the brake or other arrangement for application and release which will not distract the operator from his other activities of controlling the crane and load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4901. Brakes for Bridge and Swinging Motion.
Note     •     History

(a) On cage-operated cranes with the cage mounted directly on the bridge girders, a foot brake to properly retard and stop the motion of the bridge shall be installed unless the bridge stops automatically when the power is cut off. This does not apply to underslung cab monorail cranes.
(b) Brakes for retarding the motion of the bridge shall be capable of retarding it at the rate of 1 foot per second per second while full load is being carried.
(c) The swinging or slewing mechanism on boom-type cranes shall be provided with a brake or lock having holding power in either direction. The lever operating this brake or lock shall have a device by which it can be secured in the holding position.
(d) On cab-operated cranes with the cab on the trolley, a trolley brake shall be required of sufficient size to stop the trolley within a distance in feet equal to 10 percent of full load speed in feet per minute when traveling at full speed with a full load.
(e) On cab-operated cranes with cab on trolley, a bridge brake of the holding type shall be required.
(f) If holding brakes are provided on bridge or trolley(s), they shall not prohibit the use of a drift point in the control circuit.
(g) On all floor, remote and pulpit operated crane bridge drives, a brake or noncoasting mechanical drive shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (f) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Amendment of subsection (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4902. Boom Hoist Mechanisms.
Note     •     History

(a) When using recommended boom hoist reeving and with rated loads suspended, the boom hoist shall be capable of raising the boom, holding it stationary without attention from the operator, and lowering it only when coupled to its prime mover.
(b) The boom hoisting mechanism shall be provided with a suitable clutching or power engaging device permitting immediate starting or stopping of the boom drum motion. The boom hoisting mechanism also shall be provided with a self-setting safety brake, capable of supporting all rated loads, with recommended reeving.
(c) Brakes and clutches shall be provided with adjustments where necessary to compensate for wear and to maintain required force in springs where used.
(d) The boom hoisting mechanism shall be provided with an auxiliary ratchet and pawl or other positive locking device.
(e) The boom hoist drum shall have sufficient rope capacity to operate the boom at all positions from horizontal to the highest angle recommended when using the manufacturer's recommended reeving and rope size.
(1) No less than two full wraps of rope shall remain on the drum with boom point lowered to the level of the crane and supporting surface.
(2) The drum end of the rope shall be anchored by a clamp securely attached to the drum or a wedge socket arrangement approved by the crane or rope manufacturer.
(f) The drum diameter shall be sufficient to provide a first layer rope pitch diameter of not less than 15 times the nominal diameter of the rope used.
(g) Automatic means shall be provided to stop boom drum motion when the maximum permissible boom angle is reached.
(h) The wearing surface of all brake drums or discs shall be smooth.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (h) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsections (c) and (d) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4903. Runway Travel Limit Device.
Note     •     History

(a) At the limits of travel of the bridges or gantry structures, bumpers or other positive travel limiting device shall be provided which will prevent bridge or gantry structures from leaving the ends of the rails. If bumpers are provided and they engage the tread of the wheel, they shall be of a height not less than the radius of the wheel.
(b) Bumpers, if used, shall have energy absorbing capacity to stop the crane when traveling at a speed of at least 40 percent of rated load speed, but the average deceleration rate shall not exceed 3 feet per second per second when traveling in either direction at 20 percent of the rated load speed and shall be so mounted that there is no direct shear on bolts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (b) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4904. Trolley Bumpers.
Note     •     History

(a) Bumpers shall be provided at each end of the trolley travel to prevent trolleys leaving the rails. If the bumpers engage the tread of the wheels, they shall be of a height at least equal to the radius of the wheel. Trolley bumpers shall be capable of stopping the trolley at an average rate of deceleration not exceeding 4.7 feet per second per second when traveling in either direction at 1/3 of the rated load speed. Bumpers shall be designed and installed to minimize parts falling from the trolley in case of breakage.
(b) If there is more than one trolley on the same bridge girder, buffers or other cushioning devices shall be placed between the trolleys. Buffers shall be designed and installed to minimize parts falling from the trolley in case of breakage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4905. Bridge or Gantry Buffers.
Note     •     History

(a) If there is more than one crane on the same runway, buffers or other cushioning devices shall be placed between the cranes at both ends of the bridges or gantries.
(b) Buffers shall have energy absorbing capacity to stop the crane when traveling at a speed of at least 40 percent of rated load speed, but the average deceleration rate shall not exceed 3 feet per second per second when traveling in either direction at 20 percent of the rated load speed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No 7).
2. Amendment of subsection (b) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4906. Truck Wheel Guards and Railsweeps.
Note     •     History

(a) Bridge truck wheels, except on underhung cranes, or those isolated by location, shall be equipped with wheel guards. They shall also be equipped with railsweeps which extend below the top of the rail and project in front of the truck wheels.
(b) Gantry, tower, hammerhead, or portal crane trucks and wheels shall be equipped with wheel guards or be otherwise similarly guarded at both ends of each truck to prevent a person being crushed beneath the wheels. The clearance between the guard and the rail or running surface shall be such as will afford maximum protection against crushing injuries. Wherever practicable, one half of an inch clearance shall be maintained.
(c) Container-handling, rubber-tired, gantry cranes shall be guarded with wheel fenders, bumpers or skirt guards which shield each wheel to the front and rear extended to the lowest practicable level above ground.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment of subsection (c) filed 6-1-95; operative 7-3-95 (Register 95, No. 22).
§4907. Capacity Marking and Load Indication.
Note     •     History

(a) The maximum rated load of all bridge or fixed radius cranes shall be plainly marked on each side of the crane, and if the crane has more than one hoisting unit, each hoist shall have marked on it or its load block its rated capacity, and this shall be clearly legible from the ground or floor.
(b) Each variable radius boom-type crane shall be equipped with a boom angle or a boom radius indicator and a clearly legible load rating chart in clear view from the operator's position.
(1) Cranes having a boom exceeding 60 feet in length or a maximum rated capacity exceeding 15 tons shall be provided with an approved boom angle indicator which clearly shows the boom angle in degrees to the operator at all times. The indicator shall give a clear visual warning signal before high or low unsafe boom angles are reached. The indicator shall be mounted in the cab, adjustable and under control of the operator at all times, and a visual inspection of the indicator shall be made each day by the operator to see that it is properly functioning.
(2) Cranes having either a maximum rated boom exceeding 200 feet or a maximum rated capacity exceeding 50 tons shall be equipped with a load indicating device, a load moment device, or a device that prevents an overload condition. Only approved devices as defined in the General Industry Safety Orders, Section 3206 shall be used.
(3) When a load indicating device or alternative system is so arranged in the supporting system (crane structure) that its failure could cause the load to be dropped, its strength shall not be the limiting factor of the supporting system (crane structure).
(4) All load indicating devices shall be operative over the full operating radius. Overall accuracy shall be based on actual applied load and not on full scale (full capacity) load.
(5) When the device uses the radius as a factor in its use or in its operating indications, the indicated radius (which may be in feet and/or meters, or degrees of boom angle, depending on the system used) shall be a figure which is within the range of a figure no greater than 110 percent of the actual radius to a figure which is no less than 97 percent of the actual (true) radius. A conversion chart shall be provided whenever it is necessary to convert between degrees of radius and feet or meters. 
(c) If change-speed gear is used on the lifting motion, the rated load for each speed shall be similarly indicated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (b)(3)-(b)(5) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment of subsections (b) (1) and (2) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
3. Amendment of subsection (b)(2) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
§4908. Hoisting Ropes.
Note     •     History

(a) The hoisting ropes shall be of a type as recommended by the certified agent. The rated load divided by the number of parts of rope shall not exceed 20 percent of the nominal breaking strength of the rope.
(b) If hoisting ropes run near enough to other parts to make fouling or chafing possible, guards shall be installed to prevent this condition.
(c) A guard shall be provided to prevent contact between bridge conductors and hoisting ropes if they could come into contact.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (b) and (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4909. Runway Repair.
Note     •     History

No repairs shall be made on crane runways, supporting structures, or equipment within reach of the runway unless a wheel stop capable of preventing crane movement within the work area is secured to each rail and a warning sign is placed on each rail a reasonable distance from the workers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86. No. 39).
§4910. Crane Runways.
Note     •     History

Runway columns shall be securely anchored to the foundation, the structure shall be free from excessive vibration under operating conditions, and the runway girders shall be level and parallel within accepted engineering tolerances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4911. Rails.
Note     •     History

Rails shall be securely attached to the girders or to the foundation, shall be level in elevation with each other, parallel and in correct span within accepted engineering tolerances.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4912. Clearances.
Note     •     History

(a) All travelling cranes, the supporting truck or wheels of which travel on rails on the ground, shall have at least 24 inches clearance between the crane and stationary structures or stacks or piles of materials. Where impracticable to obtain this clearance, such areas shall be guarded by guardrails or barricades to prevent access.
(b) If the runways of two cranes are parallel, and there are no intervening walls or structure, there shall be adequate clearance provided and maintained between the two bridges.
(c) Minimum clearance of 3 inches overhead and 2 inches laterally shall be provided and maintained between crane and obstructions.
Note: These clearances are only concerned with passage of the crane machinery past building structure.
(d) Where passageways or walkways are provided obstructions shall not be placed so that safety of personnel will be jeopardized by movements of the crane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (b), (c) and (d) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4913. Wind Indicators and Rail Clamps.
Note     •     History

Outdoor storage bridges shall be provided with automatic rail clamps. A wind-indicating device shall be provided which will give a visible or audible alarm to the bridge operator at a predetermined wind velocity. If the clamps act on the rail heads, any beads or weld flash on the rail heads shall be ground off.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
Article 93. Boom--Type Mobile Cranes
§4920. Purpose.
Note     •     History

The orders in this article shall apply to locomotive cranes, crawler cranes, motor truck cranes, boom-type excavators and any modification of these types which retain their characteristic mobility, except such units of one ton or less capacity. Also excluded are cranes designed and used exclusively for clearing railway and/or automobile wreck(s) and aerial devices designed and used for positioning personnel. The requirements of Section 4924 are applicable only to machines when used in lifting service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment filed 9-25-2006; operative 10-25-2006 (Register 2006, No. 39).
§4921. Operating Controls.
Note     •     History

(a) Lever-operated controllers shall be provided with a device which will hold the handle in the “off” position, requiring voluntary effort to remove it from the “off” to the “on” position.
(b) The operating controls shall be located within convenient reach of the operator and shall be identified by marking or a legible chart to indicate the motion controlled and the direction.
(c) Controls shall include means:
(1) To start and stop;
(2) To control speed of internal combustion engines;
(3) To stop engines under emergency conditions;
(4) For shifting selective transmission.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4922. Crane Boomstops.
Note     •     History

(a) Cranes of such design that the boom could fall over backward shall be equipped with boomstops whenever the main boom is rope supported and the crane used for hook, clamshell, magnet, grapple, concrete bucket, or service presenting similar risk. The boomstop shall provide emergency protection against destructive damage and related hazard by opposing any unexpected upward and rearward boom movement beyond the working range. It shall not be used purposely as a substitute for normal procedures in stopping a boom being raised. 
(b) In the case of new cranes over 10 tons in capacity purchased after January 1, 1971, the required boomstops shall satisfy the following standards and each involved employer shall have substantial assurance of this in the form of crane manufacturers' warranties, test reports, charts, engineering calculations, etc.
(1) The boomstops shall be strong enough to develop the ultimate strength of the boom in bending at the point of attachment or contact between boomstop and boom, which point should be located near the outer end of the basic inner section of the boom; however, the point must be at least 5 feet above the operator's normal seat level when the crane is level and the boom vertical.
(2) The ultimate bending strength of the boom referred to in (1) shall not be reduced by the nature of contact between the boomstop and boom; such points of contact to be so located and designed that forces developed by boomstop action on the boom will not cause prior local failure of any boom members.
(3) The boomstop shall prevent that portion of the boom below the point of boomstop contact from upward and rearward movement beyond 90 degrees, or some lesser angle, in reference to the horizontal machinery deck.
(4) The boomstop shall provide energy absorbing resistance to the upward and rearward movement of the boom throughout an angular range of the last 5 degrees of such movement as limited in (3).
(c) Jibs shall have positive stops to prevent their movement of more than 5 degrees beyond the straight line of the jib and boom on conventional-type crane booms.
(d) No boomstop shall remain in use unless it is in good operating condition and maintained in accordance with the certified agent's guidelines for maintenance and service.
NOTE

Authority cited: Sections 142.3 and 6704, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4923. Load Rating Chart.
Note     •     History

(a) A durable load chart with clearly legible letters and figures provided by the certified agent shall be securely fixed to the crane in a location clearly visible to the operator or within reach of the operator while at the control station. The chart shall contain a full and complete range of crane load ratings, consistent with the manufacturers' recommendations, at all stated operating radii or boom angles and for all permissible boom lengths, jib lengths and angles, also alternate ratings for use and non-use of optional equipment on the mobile crane, such as outriggers and counterweights which affect ratings. The chart shall also contain essential precautionary or warning notes relative to limitations on equipment and operating procedures, including indication of the least stable position. In addition, no crane shall be rerated unless such rating changes are approved by the certified agent. Load ratings shall be expressed in terms related to method of measuring boom angle and length or lifting radius.
(b) Where boom or jib ratings are limited by structural competence, such ratings shall be clearly shown and emphasized on the rating charts.
(c) Load ratings where stability governs lifting performance.
(1) The margin of stability for determination of load ratings, with booms of stipulated lengths at stipulated working radii for the various types of crane mountings is established by taking a percentage of the loads which will produce a condition of tipping or balance with the boom in the least stable direction, relative to the mounting. The load ratings shall not exceed the following percentages for cranes, with the indicated types of mounting under conditions stipulated in (2) and (3). 

		 Maximum Load Ratings 
Type of Crane Mounting		(% of Tipping Loads) 

Locomotive, without outrigger (stabilizer) support1 
	Booms 60 feet or less	 85
	Booms over 60 feet	 852
Locomotive, using outriggers (stabilizers) fully extended and set	 80
Crawler, without outrigger support	 75
Crawler, using outrigger fully extended and set	 85
Wheel mounted using outriggers fully extended and set, with wheels 
	off supporting surface	 85
Commercial truck vehicle mounted crane with stabilizer extended and set	 85
Wheel mounted without outrigger support	 75
Note: 1. As a precaution while testing for free ratings, outriggers should be loosely applied; rail clamps should not be used.
Note: 2. The difference between the backward stability moment and the forward moment resulting from the load should not be less than 30,000 lb-ft with the backward stability moment being the greater. 
(2) The following stipulations shall govern the application of the values in (1) for locomotive cranes:
(A) Tipping with or without the use of outriggers occurs when half of the wheels farthest from the load leave the rail.
(B) The crane shall be standing on track which is level within one-percent grade.
(C) Radius of the load is the horizontal distance from a projection of the axis of rotation to the rail support surface, before loading, to the center of vertical hoist line or tackle with load applied.
(D) Tipping loads from which ratings are determined shall be applied under static conditions only, i.e. without dynamic effect of hoisting, lowering, or swing.
(E) The weight of all auxiliary handling devices such as hoist blocks, hooks, and slings shall be considered a part of the load rating.
(3) Stipulations governing the application of the values in (1) for crawler, truck and wheel-mounted cranes shall be in accordance with the Crane Load-Stability Test Code, SAEJ765, 1969 or 1980 as applicable.
Note: The effectiveness of these preceding stability factors will be influenced by such additional factors as freely suspended loads, track, wind, or ground conditions, condition and inflation of rubber tires, boom lengths, proper operating speeds for existing conditions, and in general, careful and competent operation. All of these shall be taken into account by the user.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (a) filed 5-1-81; effective thirtieth day thereafter (Register 81, No. 18).
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4924. Load Safety Devices.
Note     •     History

(a) All cranes having a maximum rated capacity exceeding one ton shall be equipped with safety devices as provided herein. 

Exceptions: 
1. Boom-type excavators used in excavation work and all equipment when configured for pile driving or log handling.
2. Articulating boom cranes are exempt from the provisions of subsection (c).
3. Digger derrick trucks designed, built and maintained in accordance with ANSI/ASSE A10.31 standards for “Construction and Demolition Operations -- Safety Requirements, Definitions and Specifications for Digger Derricks”. 
(b) All mobile cranes including truck-mounted tower cranes having either a maximum rated boom length exceeding 200 feet or a maximum rated capacity exceeding 50 tons shall be equipped with a load indicating device or a load moment device, or a device that prevents an overload condition. Only approved devices as defined in the General Industry Safety Orders, Section 3206 shall be used.
(1) All other mobile cranes manufactured after September 27, 2005, with a maximum rated capacity exceeding 3 tons shall be equipped with a load indicating device, load moment device, or a device that prevents an overload condition. 

Exception: When installed load indicating devices are not functional, a qualified person shall determine load weights until the device is restored to operation. 
(2) Load indicating devices shall be repaired in accordance with the manufacturer's recommendations. 
(c) Mobile cranes shall be provided with a boom angle or radius indicator which clearly shows the boom angle in degrees to the operator at all times.

Exception: When a boom angle or radius indicator is inoperative or malfunctioning, a qualified person shall determine the radius or boom angle by measurement until the indicator is restored to operation. 
(1) Boom angle or radius indicators shall be repaired in accordance with the manufacturer's recommendations. 
(d) Anti two-block prevention and warning features. 
(1) Telescopic boom cranes manufactured after February 28, 1992, shall be equipped with an anti two-block device or two-block damage prevention feature for all points of two-blocking. 
(2) Lattice boom cranes manufactured after February 28, 1992, shall be equipped with an anti two-block device or a two-block warning feature, which functions for all points of two-blocking. 

Exception: The requirements of subsection (d)(2), do not apply to lattice boom cranes when used for dragline, clamshell (grapple), magnet, and drop ball work. 
(3) Articulating boom cranes manufactured after August 30, 2001, equipped with a load hoisting device (winch) shall be equipped with a two-block damage prevention feature. 
(e) Spirit levels, or equivalent, shall be provided to indicate the level of the crane fore and aft and across the width.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of subsection (c) filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
3. Amendment filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
4. Amendment of subsection (a) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
5. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
6. Amendment of Exception to subsection (a) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
7. Editorial correction of History 2 (Register 97, No. 23).
8. Amendment of subsection (b) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
9. Amendment filed 7-17-2008; operative 8-16-2008 (Register 2008, No. 29).
§4925. Operator's Cab.
Note     •     History

(a) Operators exposed to the hazard of falling material or objects shall be protected by a canopy-type guard or cab over their usual operating position on the equipment except when such enclosure would interfere with the safe operation of the crane or create an additional hazard by excessively restricting the operator's vision.
(b) All windows on such equipment shall be safety glass, or equivalent, without optical distortion and possess optical qualities meeting standards of the California Department of Motor Vehicles. Wire glass, or equivalent, shall only be used for those windows through which the operator is not required to view the operations. Visibility forward shall include a vertical range adequate to cover the boom point at all times. The front window may have a section which may be readily removed or held open if desired. If the section is of the type held in the open position, it shall be secured to prevent closure.
(c) Exhaust gas discharge shall be away from the normal position of the operator. All exhaust pipes shall be guarded or insulated in areas where contact by employees is possible in the performance of normal duties.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4926. Access to Operator's Position, Machine House and/or Boom Blocks.
Note     •     History

(a) Boom-type mobile cranes and boom-type excavators shall be provided with steps and hand-holds or other safe means so located as to give convenient and safe access to the operator's position or machine house.
(b) When necessary to go out on booms to oil the blocks or other parts of machinery, each boom shall be equipped with a catwalk, guardrails and grab-irons or hand-holds. Booms which are lowered to the ground or floor level for service, are exempted from this requirement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4927. Couplers.
Note     •     History

(a) If locomotive cranes are equipped with couplers, they shall be extended to clear the revolving superstructure of the crane.
(b) Automatic couplers shall be provided on cranes that switch or couple to railroad cars.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4928. Boom Hoist Mechanisms.
Note     •     History

(a) When using recommended boom hoist reeving and with rated loads suspended, the boom hoist shall be capable of raising the boom, holding it stationary without attention from the operator, and lowering it only when coupled to its prime mover.
(b) The boom hoisting mechanism shall be provided with a clutching or power engaging device permitting immediate starting or stopping of the boom drum motion. The boom hoisting mechanism also shall be provided with a self-setting safety brake, capable of supporting all rated loads, with recommended reeving.
(c) Brakes and clutches shall be provided with adjustments where necessary to compensate for wear and to maintain adequate force in springs.
(d) The boom hoisting mechanism shall be provided with an auxiliary ratchet and pawl or other positive locking device as an added safety feature.
(e) The boom hoist drum shall have sufficient rope capacity to operate the boom at all positions from horizontal to the highest angle recommended when using the certified agent's recommended reeving and rope size.
(1) No less than 2 full wraps of rope shall remain on the drum with boom point lowered to the level of the crane supporting surface.
(2) The drum end of the rope shall be anchored by a clamp securely attached to the drum or a wedge socket arrangement approved by the crane or rope manufacturer.
(f) The drum diameter shall be sufficient to provide a first layer rope pitch diameter of not less than 15 times the nominal diameter of the rope used.
(g) Automatic means shall be provided to stop drum motion when highest permissible boom angle is reached.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4929. Load Hoist Drums.
Note     •     History

(a) The load hoist drum assemblies shall have power and operational characteristics to perform all load hoisting and lowering functions required in crane service when operated under recommended conditions.
(b) Where brakes and clutches are used to control the motion of the load hoist drums, they shall be of such size and thermal capacity to control all rated crane loads with minimum recommended reeving.
Note: Where maximum rated loads are being lowered with near maximum boom length or operations involving long lowering distances, power controlled lowering usually is necessary to reduce demand on the load brake.
(c) Load hoist drums shall have rope capacity with recommended rope size and reeving to perform crane service within the range of boom lengths, operating radii and vertical lifts specified by the certified agent.
(1) No less than 2 full wraps of rope shall remain on the drum when the hook is in its extreme low position.
(2) The drum end of the rope shall be anchored by a clamp securely attached to the drum or a wedge socket arrangement approved by the crane or rope manufacturer.
(3) Drums shall be provided with a means to prevent rope from jumping off the drum.
(4) Fiber rope fastenings are prohibited.
(d) Diameter of the load hoist drums shall be sufficient to provide a first layer rope pitch diameter of not less than 18 times the nominal diameter of the rope used. 

Exception: On small cranes of less than 10,000 pounds capacity a smaller drum may be used, provided that when lifting loads the actual pitch diameter is not less than 15 times the rope diameter and the rope safety factor is not less than 5.
(e) Means, controllable from the operator's station, shall be provided to hold the drum from rotating in the lowering direction and be capable of holding the rated load indefinitely without further attention from the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c)(4) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
3. Repealer of subsection  (f) filed 6-27-94; operative 7-27-94 (Register 94, No. 26).
§4930. Load Hoist Brakes.
Note     •     History

(a) When power-operated brakes having no continuous mechanical linkage between the actuating and braking means are used for controlling loads, an automatic means shall be provided to prevent the load from falling in the event of loss of brake actuating power. 
(b) Foot-operated brake pedals shall be maintained so that the operator's foot will not easily slip off.
(c) Means shall be provided for holding the brakes in the applied position without further action by the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4931. Power-Controlled Lowering.
Note     •     History

When provided, a power-controlled lowering system shall be capable of handling rated loads and speeds as specified by the certified agent to provide precision lowering and to reduce demand on the load brake.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4932. Adjustments.
Note     •     History

Brakes and clutches shall be provided with adjustments where necessary to compensate for wear and to maintain adequate force in springs where used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4933. Swing Control.
Note     •     History

The swing mechanism shall be capable of smooth starts and stops with varying degree of acceleration and deceleration required in normal crane operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4934. Swing Brake and Locking Device.
Note     •     History

A braking means with holding power in both directions shall be provided to prevent movement of the rotating superstructure, when desired under normal operation. The braking means shall be capable of being set in the holding position and remaining so without attention on the part of the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4935. Travel Brakes and Locks.
Note     •     History

(a) On crawler cranes, brakes or other locking means shall be maintained to hold the machine stationary during working cycles on level grade or while the machine is standing on maximum grade recommended for travel. Such brakes or locks shall be arranged to remain in engagement in event of loss of operating pressure or power.
(b) On locomotive cranes, brakes shall be maintained to bring the crane to a stop while descending the maximum grade recommended for travel. In addition, manual brake engagement means shall be maintained to hold the machine stationary on maximum grade recommended for travel. Such means shall be arranged to remain in engagement in event of loss of operating pressure or power.
(c) On a crawler crane, the travel and steering mechanism shall be arranged so that it is not possible for both crawlers to become disconnected simultaneously from the power train and to “freewheel.”
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4935.1. Sheave Guards.
Note     •     History

Sheaves carrying ropes which can momentarily be unloaded shall be provided with close fitting guards, or other devices, to guide the rope back into the groove when the load is again applied.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4936. Warning Device.
Note     •     History

An effective, audible warning and operating signal device shall be provided on the outside of the crane. The controls for the device shall be within easy reach of the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
2. Editorial correction of History 1 (Register 97, No. 23).
§4937. Wheel Guards.
Note     •     History

(a) Locomotive cranes shall be provided with a running board which shall extend the full width of the truck bed with a grab-iron extending across and near the outer end of the truck bed, or with a pilot or fender which will prevent a person being crushed beneath the truck wheels.
(b) Outrigger wheels when used on mobile cranes shall be properly guarded to prevent a person being run over by a wheel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4938. Truck Wedges or Jacks.
Note     •     History

(a) Locomotive crane cars shall be provided with suitable removable wedges or jacks for transmitting loads from the crane body directly to the wheels without permitting the truck springs to function when handling heavy loads. These wedges shall be removed, or jacks released in a positive manner for traveling.
(b) Rail clamps, if used, shall have some slack between the point of attachment to the rail and the end fastened to the crane. Rail clamps shall not be used as a means of restraining tipping of a locomotive crane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4939. Fire Extinguisher.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4940. Lighting.
Note     •     History

Boom-type mobile cranes which operate at night shall have their load hooks and working areas adequately illuminated.
Note: Boom heads and load blocks should be painted with high-visibility yellow or other contrasting colors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4941. Cranes Used in Demolition Work.
Note     •     History

(a) The weight of the demolition ball shall not exceed 50 percent of the crane's rated load, based on the length of the boom and the angle of operation at which the demolition ball will be used, or its weight shall not exceed 25 percent of the nominal breaking strength of the line by which it is suspended, whichever results in a lesser value.
(b) The ball shall be attached to the load line with a swivel-type connection to prevent twisting of the load line and shall be attached by positive means in such a manner that the weight cannot become accidentally disconnected.
Note: The swing of the boom should not exceed 30 degrees from the centerline, front to back of the crane mounting.
(c) The load line and attachment of the demolition ball to the load line shall be checked at least twice each shift.
(d) Truck cranes without outriggers extended shall not be used to swing a demolition ball.
(e) No employees, which can be adversely affected by demolition operations, shall be permitted in any area when balling or clamming is being performed. Only those employees necessary for the performance of the operations shall be permitted in this area at any time.
(f)(1) Cranes used on demolition job-sites to perform balling, clamming and related lifting operations shall not be required to comply with the annual certification requirement of Section 5021.
(2) Cranes used exclusively for demolition operations as stated in subsection (f)(1) and that are moved from demolition job-site to demolition job-site shall not be required to comply with the annual certification requirement in Section 5021.
(3) Cranes with or without a current annual certification as required in Section 5021 and used for balling or clamming operations shall be recertified or certified when used for lifting operations (lifting service) not associated with demolition operations. This requirement shall apply even if the crane's annual certification is current.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
3. Amendment of subsection (a) and new subsections (e) and (f)(1)-(3) filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
§4942. Barge Mounted Cranes.
Note     •     History

(a) When a mobile crane is mounted on a barge, the rated load of the crane shall not exceed the capacity specified by the certified agent.
(b) Load ratings shall be reduced to stay within the limits for list of the barge with a crane mounted on it and a revised load rating chart shall be provided.
(c) Mobile cranes on barges shall be secured to the barge. When stability of barge is not a factor, and control barriers are provided, limited travel may be authorized.
(d) The width of barge hulls supporting mobile cranes equipped with pile driver or extractor leads shall be not less than 45 percent of the height of the lead above water.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4943. Permanently Mounted Floating Cranes and Derricks.
Note     •     History

(a) When cranes and derricks are permanently installed on a barge, the capacity and limitations of use shall be as specified by the certified agent:
(b) Floating cranes and floating derricks in use shall meet the applicable requirements for design, construction, installation, testing, maintenance and operation as prescribed by the certified agent.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4944. Life Buoys.
Note     •     History

Life buoys, life rings and/or life vests shall be provided and used as required in Section 3389.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
Article 94. Hydraulic Cranes and Excavators
§4945. Purpose.
Note     •     History

The orders in this article shall apply to hydraulic cranes and excavators of the revolving type that use hydraulic power to operate basic functions and/or front-end operating equipment. They may be mounted in a fixed location, crawler mounted or rubber tire carrier mounted, have front-end operating equipment such as lift crane, clamshell, magnet, dragline, pile driver, etc., as herein described, or any adaptations of the same which retain the basic characteristics. 

Exception: Cranes having a capacity of one ton or less.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4946. Hoist Mechanisms.
Note     •     History

The hoist mechanism when properly adjusted shall be capable of developing 110% of permissible line pull and maintaining the load in suspended position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4947. Load Lowering.
Note     •     History

Load lowering may be controlled by brakes acting on drums, other means, or by “Power Controlled Lowering” or other means. The lowering mechanism shall be capable of controlling 110% of permissible line pull as defined in Section 4885.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4949. Boom Hoist and Supporting Mechanism.
Note     •     History

(a) The boom hoist shall be capable of elevating and supporting the boom and 110% of rated load without attention from the operator and allow lowering to rated radius only when under operator's control.
(b) A holding device shall be provided.
(1) On rope boom support machines a ratchet and pawl or other positive locking device shall be provided to prevent unintentional lowering of the boom.
(2) For hydraulic cylinder boom support machines, a holding device (such as load checks) shall be provided to prevent unintentional lowering of the boom.
(c) Minimum ratio of boom hoist drum and sheave pitch diameters to nominal rope diameters shall not be less than 15 to 1.
(d) On a telescoping boom, the retract function shall be capable of controlling 110% of rated load. A holding device (such as load check) shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4951. Swing Lock and Swing Brake.
Note     •     History

Unless swing drive mechanism is of a self-locking type, a swing lock or swing brake capable of preventing rotation under normal working conditions shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4952. Controls.
Note     •     History

(a) The operating controls shall be located within convenient reach of the operator and shall be identified by marking or suitable chart to indicate the motion controlled and direction.
(b) Controls for load hoist, boom hoist, swing and boom telescope shall be provided with means for holding in neutral position without use of positive locks.
(c) Controls and corresponding controlled elements shall be maintained and adjusted such that the machine is operated within the certified agent's rating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4953. Brakes.
Note     •     History

(a) A travel lock or brake shall be provided on crawler machines capable of holding the machine stationary on any grade the machine is capable of negotiating.
(b) Service brakes shall be provided and maintained on truck or wheel mounted machines as specified by the certified agent and these Orders. Means shall be provided to hold the machine stationary during working cycles and on any grade which it can negotiate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4954. General Operating Requirements.
Note     •     History

(a) When required by certified agent's instructions, outriggers shall be set so that wheels or crawler tracks within the boundary of the outriggers shall be relieved of all weight by the outrigger jacks or blocking.
(b) Telescopic booms that have an indicator shall show the boom length from minimum to maximum and be visible to the operator from the operator's position at the controls.
(c) A boom hoist disconnect shut-off or hydraulic relief shall be provided to automatically stop the boom hoist when the boom reaches a predetermined high angle.
(d) At least one of the following stops shall be provided to resist the boom falling backwards:
(1) A fixed or telescoping bumper.
(2) A shock absorbing bumper.
(3) Hydraulic boom elevation cylinder(s).
(e) A load rating chart and/or label(s) shall be located on the crane to be available to the operator from the operator's position at the control stand. It shall include the applicable portions of Section 4923 and the maximum loads permitted during actual boom telescoping operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4955. Hydraulic Relief Valves.
Note     •     History

Hydraulic relief valves shall have pressure settings of sufficient magnitude to provide the capabilities of operations under 110% of rated loading conditions. Relief valve settings shall be specified and no change in relief valve setting shall be made without the consent of the certified agent. Gauge ports shall be provided in each hydraulic circuit for checking certified agent's specified pressure settings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4956. Hydraulic Hose, Fittings, and Tubing Inspection.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
Article 95. Derricks
§4960. Construction.
Note     •     History

(a) Derricks shall be guyed and anchored so as to prevent tipping or collapsing.
(b) Reinforcing steel shall not be used for guy line anchors.
(c) Dogs, pawls, or other positive holding mechanism on the hoist shall be engaged. When not in use, the derrick boom shall:
(1) Be laid down;
(2) Be secured to a stationary member, as nearly under the head as possible, by attachment of a sling to the load block; or
(3) Be hoisted to a vertical position and secured to the mast.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (f) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4961. Rated Load Marking.
Note     •     History

(a) For permanently installed derricks with fixed lengths of boom, guy and mast, a substantial durable and clearly legible rating chart shall be provided with each derrick and securely affixed where it is visible to personnel responsible for the safe operation of the equipment. The chart shall include but not necessarily be limited to the following data:
(1) Certified agent's approved load ratings at corresponding ranges of boom angle or operating radii.
(2) Specific length of components on which the load ratings are based.
(3) Required parts for hoisting reeving. Size and construction of the rope may be shown either on the rating chart or in the operating manual.
(b) For non-permanent installations, capacity charts shall be prepared for the particular installation based on information provided by the certified agent. The capacity charts shall be located at the derrick.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4962. Hoisting Ropes.
Note     •     History

Hoisting ropes and similar moving ropes in exposed locations within 7 feet of the ground or floor, except for free end section, shall be guarded, enclosed, or fenced with standard railings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4963. Access to Sheaves, Bearings and Blocks.
Note     •     History

If necessary to go out on derrick booms to service sheaves, bearings or blocks, the boom shall be equipped with catwalks, guardrails, and handholds and/or grab irons to give safe access to the equipment to be serviced. Booms which are lowered to the ground or floor level for service are exempted from this requirement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4964. Derrick Signals.
Note     •     History

Whenever derricks are used for hoisting, two-way radios, telephones, or other acceptable signals shall be used unless manual signals are appropriate. See Section 5001.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
Article 96. Tower Cranes
§4965. General.
Note     •     History

(a) The requirements of this Article shall apply to cranes of the general type such as those having a revolving boom with counterweight on a single vertical mast, and mobile tower cranes.
(b) Each crane shall be provided with a descriptive booklet, written in English, containing a comprehensive summary of design characteristics, erection procedures, operation techniques, repair recommendations, and safety precautions. This booklet shall be available on every job site where such cranes are in use.
(c) A durable, clearly legible load rating chart shall be provided with each crane and securely affixed in the cab or operator's station easily visible to the operator while at the controls. The chart shall include load ratings and restrictions as specified by the certified agent for specific lengths of components, counterweights, swing, and radii. Where load ratings for cranes are governed by structural competence, the limitation on loading shall be such that no structural member is overstressed, and load rating charts shall be subject to this limitation.
(d) Each crane shall be equipped with a device which will effectively prevent overloading beyond the certified agent's recommendations at any load, boom radius, and counterweight position.
(e) Each crane shall contain a means which will cause the boom swing to be started and stopped gradually to prevent damaging effects of torsion in the mast section.
(f) Each crane shall be equipped with a brake system, or equivalent, which will prevent any movement when the power is lost, or at any time desired by the operator.
(g) Parts of the crane requiring adjustment or maintenance shall be provided with access walkways, handholds, footholds, safety lines, or other safeguards as necessary to eliminate the hazard of falling from the crane.

Exception: Mobile tower crane adjustment or maintenance that can be achieved from the ground.
(h) Cranes mounted on rail tracks shall be equipped with limit switches limiting the travel of the crane on the track, and stops or buffers at each end of the tracks.
(i) Cranes shall be tested, maintained, inspected, and operated as specified by the certified agent and these Orders. Luffing boom tower cranes used in the construction industry shall comply with the requirements of ASME B30.3-1990, Hammerhead Tower Cranes, herein incorporated by reference.
(j)(1) If a tower crane remains on a project over twelve months, tests required by subsection (i) of this section shall be performed following dismantling and prior to its next use.
(2) Records of the most recent nondestructive tests and the test procedures shall be maintained by the owner of the crane and provided to the Division upon request.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former article 96 (sections 4970-4987) to article 97 (sections 4970-4987) and new article 96 (sections 4965-4969) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment of subsection (i) and new subsections (j)-(j)(2) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
3. Editorial correction of printing error restoring article 96 heading (Register 93, No. 20).
4. Amendment of subsections (a) and (g) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
§4966. Erection, Dismantling and Operation.
Note     •     History

(a) Erection and Dismantling.
(1) The erection, climbing (up and down) and dismantling of a fixed tower crane shall comply with the requirements of Title 8, Section 341.1(b)(2).
(A) Employees engaged in the erection and/or dismantling of tower cranes and the inspection, maintenance or repair related to such erection and/or dismantling, when working at elevations 15 feet or greater over ground or other surfaces shall be required to use fall protection as specified in Article 24 of the Construction Safety Orders.
(2) Guys, braces and other supports shall be employed as necessary to prevent damage or collapse of the equipment during the erection and dismantling procedures.
(b) The unbraced, free standing portion of the mast between the boom and the top support position shall be limited in height to the distance recommended by the certified agent.
(c) When the certified agent requires the mast to be secured in the shaftway of a structure, the structural members to which it is secured shall be adequate to safely sustain all anticipated loads including vibration.
(d) Where the vertical load of the crane assembly is supported by the edges of floor openings of a structure, measures shall be taken to prevent structural damage of such support.
(e) When the mast sections are raised to a new position, measures shall be taken to prevent damage or collapse of the crane assembly including vertical slippage of the mast unit.
(f) Load Limit Device.
(1) The load limit device shall be in effective operation and shall not be readjusted to handle loads greater than those specified by the certified agent.
(2) In addition to the requirements of Section 5000, whenever a load limit device is unsealed, repaired, or readjusted, a qualified person shall perform any testing necessary to ensure the continuing effective operation of the device. A test load or device capable of measuring 110 percent of the certified agent's load capacity shall be available at the job site.
(g) The load line shall be directly over the load to be lifted.
(h) The operator shall be stationed in a safe position where good visibility and control can be maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment of subsection (a)(1) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
3. New subsection (a)(1)(A) filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
4. Amendment of subsection (a)(1) filed 8-21-2000; operative 9-20-2000 (Register 2000, No. 34).
5. Amendment of subsection (a)(1) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
§4967. Unattended Booms.
Note     •     History

When necessary to lash crane booms, they shall be lashed only in accordance with the certified agent's recommendations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4968. Safety Devices.
Note     •     History

All tower cranes shall have the following safety devices:
(a) Visual warning devices:
(1) A warning light which shall be activated at a percentage of the rated load, not to exceed 95 percent of the rated load, or
(2) Electronic instrumentation provided by the certified agent that gives a continuous direct reading of the load weight and the trolley radius.
(b) An audible signal that operates at a percentage of the rated load, not to exceed 100 percent of the rated load.
(c) The visual warning light, and audible signal required by subsections (a)(1) and (b) shall be set to avoid simultaneous activation, and operate with a difference of at least 5 percent of the rated load to ensure independent warnings.
(d) An automatic stop that operates at a percentage of the rated load, not to exceed 105 percent of the rated load.
(e) When the crane manufacturer specifies lower activation points for safety devices than required by subsections (a)(1), (b) and (d), the manufacturer's specifications shall be followed.
(f) Limit devices to:
(1) Provide deceleration before the top position of the hook is reached.
(2) Limit the trolley traveling both in and out.
(g) Constant pressure control devices which automatically return to neutral or the “off” position when released by the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Redesignation and amendment of former subsection (a) as new subsection (a)(1), and new subsections (a) and (a)(2) filed 3-3-98; operative 4-2-98 (Register 98, No. 10).
3. Amendment of first paragraph and subsection (a)(2) filed 1-3-2002; operative 2-2-2002 (Register 2002, No. 1).
4. Amendment of first paragraph and subsection (d)(1) filed 10-30-2003; operative 11-29-2003 (Register 2003, No. 44).
5. Amendment filed 8-2-2005; operative 9-1-2005 (Register 2005, No. 31).
§4969. Electrical Grounding.
Note     •     History

All electrically-operated cranes shall be effectively grounded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
Article 97. Hoists, Auxiliary Hoisting Equipment and Hoisting Operations
§4970. Limit Device.
Note     •     History

Each overhead electric hoist shall be equipped with an effective enclosed-type limit device which will stop the travel before the hook/load block passes the highest and, where applicable, lowest point of safe travel.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former Article 97 (Sections 4990-5009) to Article 98 (Sections 4990-5009) and renumbering of former Article 96 (Sections 4970-4987) to Article 97 (Sections 4970-4987) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment of Article 97 heading and Section 4970 filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4971. Brakes.
Note     •     History

(a) The braking system shall perform the following functions:
(1) Arrest and hold the load promptly when controls are released with loads up to 125 percent of rated capacity.
(2) Limit the speed of load during lowering to a maximum of 120 percent of rated lowering speed.
(b) Holding brakes on hoists shall have ample thermal capacity for the frequency of operation required by the service.
(c) The braking system shall have provision for adjustments where necessary to compensate for wear.
(d) Where the prime mover is an electric motor, a self-setting electric motor brake, or other self-setting brake, shall be provided to prevent drum rotation in the event of power failure.
(e) The hoist shall be so designed that, when the actuating force is removed, it will automatically stop and hold any load up to 125 percent of the rated load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)(1), (b) and (d) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4972. Hoist Trolley Frames.
Note     •     History

Trolley frames shall be constructed to avoid excessive spreading under load. Trolley frames which show signs of excessive spreading under load shall not be used until repaired or replaced.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4973. Capacity Marking.
Note     •     History

Each hoist designed to lift its load vertically shall have its rated load legibly marked on the hoist or load block or some equally visible space.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4974. Stops.
Note     •     History

(a) Stops shall be provided at the limits of travel of the trolley. A stop engaging the tread of the wheel shall be of a height at least equal to the radius of the wheel. Stops engaging other parts of the trolley are preferable.
(b) An automatic stop shall be provided at each switch, dead-end rail or turntable to prevent the trolley running off when the switch is open.
(c) Every overhead monorail system of tracks, which employs the use of traveling transfer bridges between stationary rails, shall be equipped with automatic locking devices which positively lock the traveling bridge rail to the stationary rails when the bridge is positioned for trolley travel from stationary rails to movable bridge or vice versa.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4975. Control Equipment.
Note     •     History

Operating controls shall be plainly marked to indicate the function or direction of travel or motion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4976. Warning Device.
Note     •     History

Each cage controlled hoist shall be equipped with an effective warning device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4977. Sheaves.
Note     •     History

(a) Sheaves carrying ropes which can be momentarily unloaded shall be provided with close-fitting guards or other suitable devices to guide the rope back into the groove when the load is applied again.
(b) Sheave grooves shall be smooth and free from surface defects which could cause rope damage.
(c) The sheaves in the bottom block shall be equipped with close-fitting guards that will prevent ropes from becoming fouled when the block is lying on the ground with ropes loose.
(d) Pockets and flanges of sheaves used with hoist chains shall be of such dimensions that the chain does not catch or bind during operation.
(e) All running sheaves shall be equipped with means for lubrication.
Note: Permanently lubricated, sealed and/or shielded bearings meet this requirement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (b), (c), (d) and (e) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4980. Hoisting Chains and Ropes.
Note     •     History

(a) All chains, ropes, and fiber ropes used for hoisting purposes shall be of sufficient strength to safely lift or otherwise handle the loads. The maximum allowable working loads shall be based on manufacturer's tables.
(b) Every hoist chain, rope, and fiber rope on hoisting drums shall be of sufficient length for the entire range of movement for the application, with no less than two full wraps of rope on the drum at all times. Where this is not practicable, lower-limit switches shall be used to restrict the downward limit of travel. 

Exception: Chain hoists employing pocket sheaves instead of drums. 
(c) Rope end shall be anchored by a clamp securely attached to the drum, or by a socket arrangement approved by the crane or rope manufacturer.
(d) Wherever exposed to temperatures, at which fiber cores would be damaged, rope having an independent wire-rope or wire-strand core, or other temperature-damage resistant core shall be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (c) and (d) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (b) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4981. End Attachments.
Note     •     History

(a) Socketing shall be done in a manner specified by the manufacturer of the rope.
(b) Eye splices shall develop maximum splice efficiencies as set forth in manufacturer's tables.
(c) Rope clip attachments shall be made with U-bolts on the dead or short end of the rope and the saddle on the live end. The number of clips for end attachments shall be in accordance with the manufacturer's tables. Clips shall be drop forged steel and spaced at a distance equal to at least six times the diameter of the rope. All clip or clamp bolts shall be kept tight while rope is under tension.
(d) No “contractor's standby” (knot and clip) attachment shall be used as an end connection on any permanent hoisting sling or rope.
(e) Swaged, compressed, or wedge socket fittings shall be applied in a manner specified by the manufacturer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsections (a)-(c)filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4982. Chain Splices. [Repealed]
History

HISTORY

1. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
§4983. Defective Hoist or Sling Hooks, Rings, and Chain Links. [Repealed]
History

HISTORY

1. Amendment of subsection (a) and new subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
§4983. Defective Hoist or Sling Hooks, Rings, and Chain Links.
History

HISTORY

1. Amendment of subsection (a) and new subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
§4984. Sheave Nip-Points.
Note     •     History

All nip or contact points between ropes and sheaves which are permanently located within 7 feet of the floor or working platform shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4985. Hoisting Operations.
Note     •     History

(a) Only those persons whose duties requires them to be present shall be in the hoist room or station.
(b) The hoist operator shall be informed of changes which effect safe hoisting operations.
(c) No one shall be permitted to oil the hoist while it is in operation.

Exception: Oiling of wire hoist rope when not under load.
(d) Appropriate operating rules shall be established and posted at the operator's station of the hoist.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4986. Mobile Towers, Hoists and Similar Equipment.
Note     •     History

Note: Does not include cranes or earth-moving machines.
(a) The platform of a mobile hoist unit used to transport any rolling equipment, such as wheelbarrows, concrete buggies, etc., shall be provided with an adequate means to hold such equipment and its load securely in place.
(b) All mobile towers, hoists, and similar equipment must comply with applicable provisions of Article 14 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§4987. Tramways.
Note     •     History

(a) All hoists shall be equipped with at least two means of stopping and holding the maximum expected load on the maximum slope. (Friction brake plus stopping engine.)
(b) The locking dog or ratchet or suitable, positive, tell-tale device shall be in plain view of operator's position.
(c) There shall be a positive means of communication between the hoist operator and signaler at all times.
(d) No person shall ride the tramway unless all rigging provides a safety factor of at least six.
(e) All workers below shall be cleared from the danger area while material is being moved.
(f) Every machine used to hoist workers shall be equipped with a control that will return to the “stop” position when the hand of the hoist operator is removed from the control lever. The brakes shall be automatically applied and the power from the machine cut off whenever the control lever is in the “stop” position. There shall be no friction gearing or clutch mechanism by which the motor or other power source can be disconnected from the hoisting drum.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
Article 98. Operating Rules
§4990. Scope.
Note     •     History

These orders apply to all crane, hoist, and derrick operations except when orders of a specific nature apply.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Article 97 (Sections 4990-5009) to Article 98 (Sections 4990-5009) and amendment of Section 4990 filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4991. Travel.
Note     •     History

(a) The travel of cranes or boom-type excavators shall be controlled so as to avoid collision with persons, material, and equipment. The cabs of units (of the revolving type) traveling under their own power shall be turned so as to provide the least obstruction to the operator's vision in the direction of travel, unless receiving signals from someone with an unobstructed view.
(b) In transit, the following additional precautions for mobile cranes shall be exercised:
(1) The boom shall be carried in line with the direction of motion and the superstructure shall be secured against rotation, except when negotiating turns when there is an operator in the cab, or when the boom is supported on a dolly.
(2) The empty hook, headache ball, or block shall be lashed or otherwise restrained so that it cannot swing freely.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4992. Booms.
Note     •     History

Booms which are being assembled or disassembled on the ground shall be securely blocked or secured to prevent dropping of the boom and boom sections.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
2. Editorial correction of section heading (Register 97, No. 23).
§4993. Swing.
Note     •     History

(a) When rotating the crane, sudden stops shall be avoided. Rotational speed shall be such that the load does not swing out beyond the radius at which it can be safely controlled.
(b) Tag or restraint lines shall be used where rotation of the load is hazardous.
(c) Cranes or boom-type excavators shall not be mounted by personnel, unless the unit is stopped or an exchange of signals with the operator indicates that it is safe to mount.
(d) A locomotive crane shall not be swung into a position where railway cars on an adjacent track might strike it, until it has been ascertained that cars are not being moved on the adjacent track and proper flag protection has been established.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment relettering former subsections (a)-(c) to subsections (a)-(d) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§4993.1. Work Area Control.
Note     •     History

(a) Swing radius hazards. 
(1) The requirements of this section apply where there are accessible areas in which the equipment's rotating superstructure poses a hazard of: 
(A) Striking and injuring an employee; or
(B) Pinching/crushing an employee against another part of the equipment or another object. 
(2) To prevent employees from entering these hazard areas, the employer shall: 
(A) Train each employee assigned to work on or near the equipment (“authorized personnel”) in how to recognize struck-by and pinch/crush hazard areas posed by the rotating superstructure. 
(B) Erect and maintain control lines, warning lines, railings or similar barriers to mark the boundaries of the hazard areas. 

Exception: When the employer can demonstrate that it is not feasible to erect such barriers on the ground or on the equipment, the hazard areas shall be clearly marked by a combination of warning signs (such as “Danger -- Swing/Crush Zone”) and high visibility markings on the equipment that identify the hazard areas. The markings shall be visible to employees from outside the hazard area. In addition, the employer shall train each employee to understand what these markings signify.
(3) Protecting employees in the hazard area. 
(A) Before an employee goes to a location in the hazard area that is out of view of the operator, the employee shall inform the operator that he/she is going to that location. 
(B) When the operator has been informed of employee entry to a location covered by subsection (a)(1), the operator shall not rotate the superstructure until the operator is informed by the employee or visually confirms that the employee has exited the location and is in a safe position. 
(b) Where any part of a crane/derrick is within the load radius of another crane/derrick, the controlling entity shall institute a system to coordinate operations. If there is no controlling entity, the employer (if there is only one employer operating the multiple pieces of equipment) shall institute such a system. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 
§4994. Hoisting.
Note     •     History

(a) Cranes shall not be operated with wheels or tracks off the ground or working surface at any time unless properly bearing on outriggers. Power actuated jacks (outriggers), where used, shall be provided with means to prevent loss of support under load.
(b) Outriggers shall be used when the load to be handled at that particular radius exceeds the rated load without outriggers as given by the certified agent for that crane.
(1) Where floats are used they shall be securely attached to the outriggers.
(2) Outrigger supports shall:
(A) Be strong enough to prevent crushing;
(B) Be free from defects;
(C) Be of sufficient width and length to prevent settling, shifting or toppling under load.
(3) Outriggers shall be set in accordance with the crane manufacturer's specified configuration requirements for the capacity chart being used. If the crane manufacturer is no longer in business or if the crane manufacturer's specifications regarding the deployment of outriggers are no longer available, the outriggers shall be extended as specified by a qualified person.
(4) Timbers, cribbing or other structural members shall be used to distribute the load so as not to exceed the allowable bearing capacity of the underlying material.
(5) When a crane is equipped with stabilizers, the stabilizers shall be used in accordance with American Society of Mechanical Engineers (ASME) B30.22-2000, Sections 22-3.2.1(7) and (8), which are incorporated herein by reference.
(c) The brakes shall be tested each time a load approaching the rated load is handled by raising the load a few inches and applying the brakes.
(d) The load or the boom shall not be lowered below the point where less than two full wraps of rope remain on grooved drums and three full wraps on ungrooved drums.
(e) When two or more cranes are used to lift one load, a qualified person, other than the operators, shall direct the operation. This person shall analyze the operation and instruct all personnel involved in the proper positioning, rigging of the load, and the movements to be made. A qualified person shall be in direct audible communication with both crane operators at all times to direct the lifting operation. Where two cranes or more are used to lift one load, the rating chart shall be reduced on each crane by not less than 25 percent, unless equalizer or other acceptable provisions assure safe distribution of both vertical and horizontal load to the cranes involved, in which case a lesser reduction may be applied.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
3. New subsections (b)(3)-(5) filed 1-29-2009; operative 2-28-2009 (Register 2009, No. 5).
4. Editorial correction of subsection (b)(3) (Register 2011, No. 8).
§4995. Riding Loads on Derricks, Hoists, or Cranes.
Note     •     History

No employee shall be permitted to ride on loads, hooks, or slings of any derrick, hoist, or crane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

. 1. New section filed 4-11-94; operative 5-11-94 (Register 94, No. 15). For prior history, see Register 86, No. 39.
§4996. Driver's Position.
Note     •     History

Where practicable, haulage vehicles shall be loaded in such a way that the bucket or boom does not pass over the vehicle driver's position; no loading shall be done until it is determined that the driver is in a safe location.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4997. Fire Extinguisher.
Note     •     History

A fire extinguisher of not less than 10-B:C rating shall be kept in serviceable condition and readily accessible to the operator's station, and affected personnel shall be familiarized with its use. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§4998. Refueling.
Note     •     History

(a) Open lights, flames or spark-producing devices shall be kept at a safe distance while refueling an internal combustion engine, and no person shall smoke or carry lighted smoking material in the immediate vicinity of the refueling area. The engine shall be stopped during refueling, unless the fueling system provides adequate safe refueling features.
(b) Fuel tank filler pipe shall be located in such a position, or protected in such manner, as to prevent fuel spillage or overflow to run onto the engine, exhaust, or electrical equipment of any machine being fueled. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (c) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39.)
§4999. Handling Loads.
Note     •     History

(a) The qualified person (rigger) shall be trained and capable of safely performing the rigging operation. All loads shall be rigged by a qualified person (rigger) or by a trainee under the direct visual supervision of a qualified person (rigger).
(b) Size of Load. A crane, derrick, or hoist shall not be loaded beyond the rated capacity or safe working load whichever is smaller, except for test purposes. In all operations where the weight of the load being handled is unknown and may approach the rated capacity, there shall be a qualified person (rigger) assigned to determine the magnitude of the load, unless the crane or derrick is equipped with a load weighing device. The operator shall not make any lift under these conditions until informed of such weight by the qualified person (rigger) assigned to that operation.
(c) Attaching the Load.
(1) The load shall be attached to the hook by means of slings or other suitable and effective means which shall be rigged to insure the safe handling of the load.

Note: For additional rigging requirements pertaining to erection of structures, refer to Construction Safety Orders, Section 1710(d). For signal requirements, refer to Section 5001 of these Orders.
(2) Slings shall be freed of kinks or twists before use. Slings shall comply with the requirements of Article 101 of these Orders.
(3) Baskets, tubs, skips, or similar containers used for hoisting bulk materials shall be loaded so as not to exceed their safe carrying capacity.
(4) The hoist rope shall not be wrapped around the load.
(d) Moving the Load. The individual directing the lift shall see that:
(1) The crane is properly leveled for the work being performed and blocked, where necessary;
(2) The load is well secured and properly balanced in the sling or lifting device before it is lifted more than a few inches;
(3) Ropes shall not be handled on a winch head without the knowledge of the operator.
While a winch head is being used, the operator shall be within convenient reach of the power unit control lever.
(e) Before Starting to Hoist:
(1) The hoist rope shall not be kinked.
(2) Multiple part lines shall not be twisted around each other.
(3) The hook shall be positioned over the load in such a manner as to prevent swinging of the load when lifted.
(4) If there is a slack rope condition, the rope shall be properly seated on the drum and in the sheaves.
(f) During Hoisting:
(1) There shall be no sudden acceleration or deceleration of the moving load.
(2) The load, boom, or other parts of the equipment shall not contact any obstruction in a way which could cause falling material or damage to the boom. 
(g) Side Loading. Side loading of booms shall be limited to freely suspended loads, and booms shall not be used for dragging loads sideways unless the boom is specifically designed and constructed to withstand such side loading.
(h) Loads shall not be released or detached from a crane or other hoisting apparatus until the qualified person (rigger) detaching the load has verified that the load has been secured or supported to prevent inadvertent movement.
(i) Holding the Load.
(1) When a load of any kind is to be suspended for any considerable time, the drum holding mechanism shall be used in addition to the brake which shall also be applied.
(2) Cranes, hoists, or derricks shall not be left unattended while the load is suspended unless the load is suspended over water, a barricaded area, or is blocked up or otherwise supported from below during repairs or emergency.
(j) [Reserved]
(k) On truck mounted cranes, no loads shall be lifted over the front area except as approved by the certified agency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (k) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New subsection (i)(3) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. New subsections (h)(6) and (7) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
4. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No.  39).
5. Repealer of subsection (g) filed 12-11-90; operative 1-10-91 (Register 91, No. 4).
6. New subsection (g) filed 7-25-2001; operative 8-24-2001 (Register 2001, No. 30).
7. New subsection (a), subsection relettering and amendment of newly designated subsections (b), (c)(1)-(2) and (h) filed 1-28-2009; operative 2-27-2009 (Register 2009, No. 5).
8. Amendment of subsection (f)(2) filed 10-2-2012; operative 11-1-2012 (Register 2012, No. 40).
9. Repealer and reservation of subsection (j) filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 
§5000. Limit Switches.
Note     •     History

(a) Before an electric crane is operated after the start of each shift, or as soon therein as practicable, the crane operator or a qualified person shall test the operation of all limit switches over a cleared area, under no load, and shall report any defect to the employer who shall have the defect corrected before the crane is permitted to operate.
(b) The limit switch shall never be used as an operating control unless designed for such use, in which case there shall be a second limit switch located behind the operating control limit switch.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (a) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5001. Signals.
Note     •     History

(a) A signal person shall be provided when the point of operation is not in full and direct view of the operator unless a signaling or control device is provided for safe direction of the operator.
(b) Only qualified persons shall be permitted to give signals.

Exception: A stop signal may be given by any person.
(c) A uniform signal system shall be used on all operations and if hand signals are used, they shall be clearly understood by the operator. (Note: For recommended hand signals, see Plate I.)
(d) Signal systems other than manual shall be protected against unauthorized use, breakage, weather or obstruction which will interfere with safe operation. In the event of any known malfunction, an alternate signal system shall be used or all motion shall be stopped.
(e) There shall be conspicuously posted in the vicinity of the hoisting operations, a legible chart depicting and explaining the system of signals used.
(f) [Reserved]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (d) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
3. Amendment of subsection (c) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
4. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
5. Amendment of subsection (b) filed 5-20-2004; operative 6-19-2004 (Register 2004, No. 21).
6. New subsections (f)(1)-(2) filed 5-23-2007; operative 6-22-2007 (Register 2007, No. 21).
7. Repealer of subsections (f)(1) and (f)(2) and reservation of subsection (f) filed 1-28-2013; operative 4-1-2013 (Register 2013, No. 5). 

PLATE I 
RECOMMENDED HAND SIGNALS FOR CONTROLLING CRANE OPERATIONS

View Graphic 

RECOMMENDED HAND SIGNALS FOR CONTROLLING CRANE OPERATIONS

View Graphic

RECOMMENDED HAND SIGNALS FOR BOOM EQUIPMENT OPERATIONS

View Graphic

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Plate I filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
2. Change without regulatory effect providing more legible illustrations filed 8-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).
§5002. Overhead Loads.
Note     •     History

Operations shall be conducted and the job controlled in a manner that will avoid exposure of employees to the hazard of overhead loads. Wherever loads must be passed directly over workers, occupied work spaces or occupied passageways, safety type hooks or equivalent means of preventing the loads from becoming disengaged shall be used.
Note: Employees should not work in the area directly beneath a suspended load.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 5-5-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5003. Provisions for Preventing Accidents in the Area of High-Voltage Lines.
Note     •     History

Provisions for preventing accidents due to overhead high-voltage lines shall be in conformance with the High-Voltage Electrical Safety Orders, Article 37.
NOTE

Authority cited: Sections 142.3 and 6500, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
2. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§5004. Crane or Derrick Suspended Personnel Platforms.
Note     •     History

(a) Scope. These Orders apply to the design, construction, testing, use and maintenance of personnel platforms, and the hoisting of personnel platforms on load lines of cranes and derricks.
(b) Definitions. For the purpose of section 5004 of these Orders the following definitions apply:
Failure. Failure means load refusal, breakage, or separation of components.
Hoist (Hoisting). Hoist means all crane or derrick functions such as lowering, lifting, swinging, booming in and out or up and down, or suspending a personnel platform.
Load Refusal. Load refusal means the point where the ultimate strength is exceeded.
(c) General Requirements. The use of a crane or derrick to hoist employees on a personnel platform is prohibited, except when the erection, use, and dismantling of conventional means of reaching the worksite, such as a personnel hoist, ladder, stairway, aerial lift, elevating work platform or scaffold, would be more hazardous or is not possible because of structural design or worksite conditions.
(d) Operational Criteria.
(1) Hoisting of the personnel platform shall be performed in a slow, controlled, cautious manner with no sudden movements of the crane or derrick, or the platform.
(2) Load lines shall be capable of supporting, without failure, at least seven times the maximum intended load, except that where rotation resistant rope is used, the lines shall be capable of supporting without failure, at least ten times the maximum intended load. The required design factor is achieved by taking the current safety factor of 3.5 [require under section 4884(b) of these Orders] and applying the 50 percent derating of the crane capacity which is required by section 5004(d)(5) of these Orders.
(3) Load and boom hoist drum brakes, swing brakes, and locking devices such as pawls or dogs shall be engaged when the occupied personnel platform is in a stationary working position.
(4) The crane shall be uniformly level and located on firm footing. Cranes equipped with outriggers shall have them all fully deployed following manufacturer's specifications, insofar as applicable, when hoisting employees.
(5) The total weight of the loaded personnel platform and related rigging shall not exceed 50 percent of the rated capacity for the radius and configuration of the crane or derrick.
(6) The use of machines having live booms (booms in which lowering is controlled by a brake without aid from other devices which slow the lowering speeds) is prohibited.
(7) Only wire rope or steel chain slings and pendants shall be used for suspending personnel platforms.
(e) Instruments and Components.
(1) Cranes and derricks with variable angle booms shall be equipped with a boom angle indicator, readily visible to the operator.
(2) Cranes with telescoping booms shall be equipped with a device to indicate clearly to the operator, at all times, the boom's extended length, or an accurate determination of the load radius to be used during the lift shall be made prior to hoisting personnel.
(3)(A) An anti two-block device shall be used which when activated, disengages all crane functions that can cause two-blocking. 
(B) When a derrick is used to hoist personnel platforms, limiting devices shall be installed to prevent two-blocking. 
(4) The load line hoist drum shall have a system or device on the power train, other than the hoist brake, which regulates the lowering rate of speed of the hoist mechanism (controlled load lowering).
Free fall is prohibited.
(f) Personnel Platforms--Design Criteria.
(1) The personnel platform and suspension system shall be designed by a register engineer.
(2) The suspension system shall be designed to minimize tipping of the platform due to movement of employees occupying the platform.
(3) The personnel platform itself, except the guardrail system and body belt/harness anchorages, shall be capable of supporting, without failure, its own weight and at least five times the maximum intended load. Criteria for guardrail systems and body belt/harness anchorages are contained in article 2 of the General Industry Safety Orders and article 24 of the Construction Safety Orders respectively.
(g) Platform Specifications.
(1) Each personnel platform shall be equipped with a guardrail system which meet the requirements of article 2 of the General Industry Safety Orders and shall be enclosed at least from the toeboard to mid-rail with either solid construction or expanded metal having openings no greater than 1/2 inch.
(2) A grab rail shall be installed inside the entire perimeter of the personnel platform.
(3) Access gates, if installed, shall not swing outward during hoisting.
(4) Access gates, including sliding or folding gates, shall be equipped with a restraining device to prevent accidental opening.
(5) Headroom shall be provided which allows employees to stand upright in the platform.
(6) In addition to the use of hard hats, employees shall be protected by overhead protection on the personnel platform when employees are exposed to falling objects.
(7) All rough edges exposed to contact by employees shall be surfaced or smoothed in order to prevent injury to employees from punctures or lacerations.
(8) All welding of the personnel platform and its components shall be performed by a certified welder familiar with the weld grades, types and material specified in the platform design.
(9) The personnel platform shall be conspicuously posted with a plate or other permanent marking which indicates the weight of the platform and its rated load capacity.
(h) Personnel Platform Loading.
(1) The personnel platform shall not be loaded in excess of its rated load capacity.
(2) The number of employees occupying the personnel platform shall not exceed the number required for the work being performed.
(3) Personnel platforms shall be used only for employees, their tools, and the materials necessary to do their work, and shall not be used to hoist only materials or tools when not hoisting personnel.
(4) Materials and tools for use during a personnel lift shall be secured to prevent displacement.
(5) Materials and tools for use during a personnel lift shall be evenly distributed within the confines of the platform while the platform is suspended.
(i) Rigging.
(1) When a wire rope bridle is used to connect the personnel platform to the load line, each bridle leg shall be connected to a master link or shackle in such a manner to ensure that the load is evenly divided among the bridle legs.
(2) Hooks on overhaul ball assemblies, lower load blocks, or other attachments assemblies shall be of a type that can be closed and locked, eliminating the hook throat opening. Alternatively, an alloy anchor type shackle with a bolt, nut and retaining pin may be used.
(3) Wire rope, shackles, rings, master links, and other rigging hardware must be capable of supporting, without failure, at least five times the maximum intended load applied or transmitted to that component. Where rotation resistant rope is used, the slings shall be capable of supporting without failure at least ten times the maximum intended load.
(4) All eyes in wire rope slings shall be fabricated with thimbles.
(5) Bridles and associated rigging for attaching the personnel platform to the hoist line shall be used only for the platform and the necessary employees, their tools and materials necessary to do their work, and shall not be used for any other purpose when not hoisting personnel.
(j) Trial Lift, Inspection, and Proof Testing.
(1) A trial lift with the unoccupied personnel platform loaded at least to the anticipated liftweight shall be made from ground level, or any other location where employees will enter the platform, to each location at which the personnel platform is to be hoisted and positioned. This trial lift shall be performed immediately prior to placing personnel on the platform. The operator shall determine that all systems, controls and safety devices are activated and functioning properly; that no interferences exist; and that all configurations necessary to reach those work locations will allow the operator to remain under the 50 percent limit of the hoist's rated capacity. Materials and tools to be used during the actual lift can be loaded in the platform, as provided in section 5004(h)(4) and (5) for the trial lift. A single trial lift may be performed at one time for all locations that are to be reached from a single set up position.
(2) The trial lift shall be repeated prior to hoisting employees whenever the crane or derrick is moved and set up in a new location or returned to a previously used location. Additionally, the trial lift shall be replaced when the lift route is changed unless the operator determines that the route change is not significant, i.e. the route change would not affect the safety of hoisted employees.
(3) After the trial lift, and just prior to hoisting personnel, the platform shall be hoisted a few inches and inspected to insure that it is secure and properly balanced. Employees shall not be hoisted unless the following conditions are determined to exist:
(A) Hoist ropes shall be free of kinks;
(B) Multiple part lines shall not be twisted around each other;
(C) The primary attachment shall be centered over the platform; and
(D) The hoisting system shall be inspected if the load rope is slack to ensure all ropes are properly positioned on drums and sheaves.
(4) A visual inspection of the crane or derrick, rigging, personnel platform, and the crane or derrick base support or ground shall be conducted by a qualified person immediately after the trial lift to determine whether the testing has exposed any defect or produced any adverse effect upon any component or structure.
(5) Any defects found during inspections which create a safety hazard shall be corrected before hoisting personnel.
(6) At each job site, prior to hoisting employees on the personnel platform, and after any repair or modification, the platform and rigging shall be proof tested to 125 percent of the platform's rated capacity by holding it in a suspended position for five minutes with the test load evenly distributed on the platform (this may be done concurrently with the trial lift). After proof testing, a qualified person shall inspect the platform and rigging. Any deficiencies found shall be corrected and another proof test shall be conducted. Personnel hoisting shall not be conducted until the proof testing requirements are satisfied.
(k) Work Practices.
(1) Employees shall keep all parts of the body inside the platform during raising, lowering, and positioning. This provision does not apply to an occupant of the platform performing the duties of a signal person.
(2) Before employees exit or enter a hoisted personnel platform that is not landed, the platform shall be secured to the structure where the work is to be performed, unless securing to the structure creates an unsafe situation.
(3) Tag lines shall be used unless their use creates an unsafe condition.
(4) The crane or derrick operator shall remain at the controls at all times when the crane engine is running and the platform is occupied.
(5) Hoisting of employees shall be promptly discontinued upon indication of any dangerous weather conditions or other impending danger.
(6) Employees being hoisted and the signal person(s) shall remain in continuous radio communication with the operator.
(7) Except over water, employees occupying the personnel platform shall use a body belt/harness system with lanyard appropriately attached to the lower load block or overhaul ball, or to structural member within the personnel platform capable of supporting a fall impact for employees using the anchorage. When working over water, the requirements of section 1602 of the Construction Safety Orders shall apply.
(8) No lifts shall be made on another of the crane's or derrick's loadlines while personnel are suspended on a platform.
(l) Traveling.
(1) Hoisting of employees while the crane is traveling is prohibited, except for portal, tower and cranes on fixed tracks or railways.
(2) Under any circumstances where a crane would travel while hoisting personnel, the employer shall implement the following procedures to safeguard employees:
(A) Travel shall be limited to the load radius of the boom used during the lift; and
(B) The boom must be parallel to the direction of travel;
(C) A complete trial run shall be performed to test the route of travel before employees are allowed to occupy the platform. This trial run can be performed at the same time as the trial lift required by section 5004(j)(1) of these Orders which tests the route of the lift.
(m) Pre-lift Meeting.
(1) A meeting attended by the crane or derrick operator, signal person(s) (if necessary for the lift), employee(s) to be lifted, and the person responsible for the task to be performed shall be held to review the appropriate requirements of section 5004 of these Orders and the procedures to be followed.
(2) This meeting shall be held prior to the trial lift at each new work location and shall be repeated for any employees newly assigned to the operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
2. New section filed 12-11-90; operative 1-10-91 (Register 91, No. 4).
3. Editorial correction of printing error in section heading (Register 91, No. 31).
4. Editorial correction of printing errors in subsections (d)(2) and (h)(4) (Register 92, No. 33).
5. Change without regulatory effect amending subsection (i)(3) filed 2-16-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 7).
6. Editorial correction of subsections (i)(1) and (j)(1) (Register 95, No. 24).
7. Editorial correction of subsection (g)(1) (Register 2005, No. 44).
8. New subsection (d)(7) filed 4-24-2007; operative 5-24-2007 (Register 2007, No. 17).
9. Redesignation and amendment of former subsection (e)(3) to new subsection (e)(3)(A) and new subsection (e)(3)(B) filed 7-17-2008; operative 8-16-2008 (Register 2008, No. 29).
§5005. Notification to the Operators of High-Voltage Lines and Responsibility for Safeguards. [Repealed]
History

HISTORY

1. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
§5006. Crane and Hoisting Equipment Operators--Qualifications.
Note     •     History

(a) Only employees authorized by the employer and trained in the safe operation of cranes or hoisting apparatus shall be permitted to operate such equipment.
(b) Trainees may be authorized to operate cranes or hoisting apparatus provided they are under the supervision of a qualified operator.

Exception: Mobile and tower cranes regulated by Section 5006.1.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and repealer of subsections (c) and (d) filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39.)
2. Amendment of section heading and section filed 7-3-2003; operative 8-2-2003 (Register 2003, No. 27).
§5006.1. Mobile Crane and Tower Crane-Operator Qualifications and Certification.
Note     •     History

(a) Qualifications. The employer shall only permit operators who have a valid certificate of competency (certificate) issued in accordance with this section by an Accredited Certifying Entity for the type of crane to be used to operate a crane covered by this section. Certificates shall be issued to operators who: 
(1) Pass a physical examination conducted by a physician which at a minimum shall include the examination criteria specified in the Ameri-- can Society of Mechanical Engineers (ASME) B30.5-2000 standard, Chapter 5-3.1.2(a)(1-5, 7, 8) or the U.S. Department of Transportation (US DOT) physical examination requirements contained in 49 CFR Sections 391.41 through 391.49. 
(2) Pass a substance abuse test. The level of testing shall be consistent with the standard practice for the industry where the crane is in use and this test shall be conducted by a recognized laboratory service; 
(3) Pass a written examination developed, validated, and administered in accordance with the Standards for Educational and Psychological Testing (Copyright 1999) published jointly by the Joint Committee of the American Educational Research Association, the American Psychological Association, and the National Council in Measurement in Education. The exam shall test knowledge and skills identified as necessary for safe crane operations and shall, at a minimum, include the following: 
(A) operational characteristics and controls, including characteristic and performance questions appropriate to the crane type for which qualification is sought; 
(B) emergency control skills, such as a response to fire, power line contact, loss of stability, or control malfunction; 
(C) a demonstration of basic arithmetic skills necessary for crane operation and the ability to read and comprehend the crane manufacturer's operation and maintenance instruction materials, including load capacity information (load charts) for the crane for which certification is sought; 
(D) knowledge of chapters 5-0 through 5-3 of The American Society of Mechanical Engineers (ASME) B30.5-2000 and B30.5a-2002 Addenda to the standard for mobile and locomotive cranes or chapters 4-0 through 4-3 of the ASME B30.4-1996 standard for portal, tower, and pedestal cranes or Chapter 3-3 of the ASME B 30.3-1996 standard for Construction Tower Cranes, depending on the type of crane(s) the operator intends to operate. 
(4) Pass a “hands-on” examination to demonstrate proficiency in operating the specific type of crane, which at a minimum shall include pre-start and post-start inspection, maneuvering skills, shutdown, and securing procedures. 
(b) Certification. Certificates shall be valid for a maximum of five (5) years. An Accredited Certifying Entity shall issue the certificate of competency to operators who successfully demonstrate the qualifications set forth in (a)(1)-(4) of this section. 
(c) Accredited Certifying Entity. A certifying entity is any organization whose certification program is accredited by either the National Commission for Certifying Agencies (NCCA), or the American National Standards Institute (ANSI). ANSI accreditation shall be in accordance with the requirements of the ANSI, International Organization for Standardization (ISO), International Electrotechnical Commission (IEC) 17024:2003(E), Conformity Assessment-General Requirements for Bodies Operating Certification of Persons, which is hereby incorporated by reference.
(d) Re-certification. Crane operators shall re-certify every five (5) years and shall be required to meet all of the qualifications set forth in subsection (a). Operators with at least one-thousand (1,000) hours of documented experience operating the specific type of crane for which re-certification is sought as covered by this section during the immediately preceding certification period and who meet the physical examination, substance abuse, and written examination requirements set forth in subsections (a)(1), (a)(2) and (a)(3) of this section shall not be required to take the “hands-on” examination specified in subsection (a)(4) to re-certify. 
(e) Trainees may be authorized to operate mobile or tower cranes provided they are under the direct supervision of an operator possessing a valid certificate of competency for the type of crane operated by the trainee. 
The term direct supervision means the supervising operator is in the immediate area of the trainee and within visual sighting distance and able to effectively communicate with the trainee. When performing direct supervision, the supervising operator shall have no other duties other than to observe the operation of the crane by the trainee. 
(f) Effective Date. The requirements of Section 5006.1 shall become effective on June 1, 2005. 

EXCEPTIONS TO SECTION 5006.1: 
(1) Mobile cranes having a boom length of less than 25 feet or a maximum rated load capacity of less than 15,000 pounds. 
(2) Operators of electric line trucks (digger derrick trucks) as defined in Section 2700 of the Electrical Safety Orders, and regulated by Section 2940.7 of the High Voltage Electrical Safety Orders. This exception does not include mobile truck cranes designed and built in accordance with the American Society of Mechanical Engineers (ASME) B30.5 standards.
(3) Marine terminal operations regulated by Article 14 of these Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-3-2003; operative 8-2-2003 (Register 2003, No. 27).
2. Amendment of subsection (f), Exception 2 filed 12-15-2006; operative 1-14-2007 (Register 2006, No. 50).
3. Amendment of subsection (c) filed 7-27-2009; operative 8-26-2009 (Register 2009, No. 31).
§5008. Operating Practices.
Note     •     History

(a) Loose material, tools, lunch box, clothing, etc., shall be stored in a manner which will not interfere with the operation of the crane or derrick controls.
(b) The operator shall respond to signals only from the appointed signal person, but shall obey a stop signal from any person.
(c) Whenever the operator doubts the safety of a movement, the operator shall be authorized to stop the hoisting operation until safety has been assured.
(d) A warning signal shall be sounded as required, particularly when approaching workers.
(e) Before leaving the crane unattended, the operator shall be required to:
(1) Land or properly secure any attached load, bucket, lifting magnet, or other device;
(2) Disengage clutch;
(3) Set travel, swing, boom brakes, and other locking devices unless otherwise specified by the certified agents;
(4) Put controls in the “off” position;
(5) Stop the engine or motor;
(6) Secure crane against accidental travel.
(f) Before closing the switch or starting the engine, all controls shall be in the “off” position and all personnel in the clear.
(g) If power fails during operation, the operator shall be required to:
(1) Set all brakes and locking devices;
(2) Move all clutch or other power controls to the “off” position;
(3) If practical, the suspended load shall be landed under brake control.
(h) The operator shall be required to test all controls at the start of a new shift. If any controls do not operate properly, they shall be adjusted or repaired before operations are begun.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Amendment of subsection (b) filed 5-20-2004; operative 6-19-2004 (Register 2004, No. 21).
§5009. Floor-Operated Cranes.
Note     •     History

(a) Floor-operated cranes shall be operated only by the following: 
(1) Designated operators;
(2) Maintenance and test personnel when it is necessary in the performance of their work;
(3) Inspectors in the performance of their duties.
(b) Personnel shall be required by the employer to pass a practical operating examination. Qualifications shall be limited to the specific type of equipment for which they have been examined.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
Article 99. Testing
§5020. Operational Testing.
Note     •     History

(a) In addition to prototype tests by the manufacturer, and prior to initial use, each new crane or derrick, or any crane or derrick which is structurally altered due to repair, shall be inspected and tested by the certified agent to insure compliance with the provisions of these orders, including the following functions where applicable:
(1) Hoisting and lowering boom and load
(2) Swing mechanism
(3) Travel mechanisms, trolley, bridge, carrier
(4) Limit switches, locking, and other safety devices
(b) Visual examination shall be made of welds and other attachments of the critically stressed members.
(c) Where the complete production crane is not supplied by one manufacturer, such tests shall be conducted at final assembly.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsections (b) and (c) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. New NOTE filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5021. Equipment over Three Tons Rated Capacity.
Note     •     History

(a) All cranes and derricks used in lifting service, exceeding three tons rated capacity, and their accessory gear shall not be used until the employer has ascertained that such equipment has been certificated as evidenced by current and valid documents attesting to compliance with the following:
(1) Tests and examinations shall be conducted annually by a currently licensed certificating agency or designee listed in the certificating agency license, and a certificate shall be issued by the certificating agency;
(2) Certificates (annual and quadrennial) attesting to current compliance with testing and examination standards of requirements shall be maintained for each crane or derrick and shall be in a form acceptable to the Division. (See Section 4885, Plate V.)
Note: The term “lifting service” as used in this Section is not intended to include operations of the following equipment:(1) Clamshells, draglines and other similar equipment used for casting-type work;(2) Pile drivers, other than those using gravity (drop) hammers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer and new subsection (c) filed 1-2-76; effective thirtieth day thereafter (Register 76, No. 1).
3. Amendment of subsection (b) filed 10-4-78 as procedural and organizational; effective upon filing (Register 78, No. 40).
4. Amendment of subsection (c) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
5. Amendment of subsection (b) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
7. Amendment of subsections (a)-(a)(1) filed 12-6-95; operative 1-5-96 (Register 95, No. 49).
§5022. Proof Load Test and Examination of Cranes and Their Accessory Gear.
Note     •     History

(a) Proof load tests of cranes shall be carried out at the following intervals:
(1) In the case of new cranes, before being taken into initial use and every 4 years thereafter.
(2) In the case of uncertificated cranes which have been in use, at the time of initial certification and every 4 years thereafter.
(3) In the case of major modifications or repairs to important structural components, before they are returned to service.
(4) When certificated equipment is out of service for 6 months or more beyond the due date of a certification inspection, an examination equivalent to an initial certification, including proof load test, shall be performed before the equipment re-enters service.
Note: Disassembly and reassembly of equipment does not require recertification of the equipment provided that the equipment is reassembled and used in a manner consistent with its certification.
(b) Proof load tests of cranes shall be carried out with the boom in the least stable direction relative to the mounting.
(c) Proof load tests shall be based on the manufacturer's load ratings for the conditions of use and shall consist of the application of a proof load as close as possible, but not exceeding 110 percent of the load ratings for the boom on the crane. Proof loads shall be applied at the designed maximum and minimum boom angles or radii or as close to these as practicable and at such intermediate radii as the certifying agency may deem necessary. Trolley equipped monorail cranes and overhead cranes shall be tested to a proof load as close as possible, but not exceeding 125 percent of the manufacturer's load rating. Monorail cranes and overhead cranes shall be tested by traversing the proof load weight the full length of the track, bridge/runway(s) and cross-overs, in all directions capable of operation, where practicable. In cases of foreign manufacture, the manufacturer's specifications shall be subject to approval by the certified agent as being equivalent to U.S. practice. The weight of all auxiliary handling devices such as, but not limited to, magnets, hooks, slings, and clamshell buckets shall be considered part of the load, except lifting devices which are designed as an integral part of the crane. Other methods of proof load testing may be substituted for the above where acceptable to the Division.
Note: The manufacturer's load ratings are usually based upon percentage of tipping loads under some conditions and upon limitations of structural competence under others, as well as on other criteria such as type of crane mounting, whether or not outriggers are used, etc. Some cranes utilizing a trolley may have only one load rating assigned and applicable at any outreach. It is important that the manufacturer's ratings be used.
(d) An examination shall be carried out in conjunction with each proof load test. The certificating agency shall make a determination as to requirements for the correction of deficiencies found. The examination shall cover the following points as applicable:
(1) All functional operating mechanisms for improper function, maladjustment, and excessive component wear, with particular attention to sheaves, pins, and drums. This shall include operation with partial load, in which all functions and movements, including, where applicable, maximum possible rotation in both directions, are performed.
(2) All safety devices for malfunction.
(3) Deterioration or leakage in lines, tanks, valves, drains, pumps, and other parts of air or hydraulic systems.
(4) Loose gear components (i.e. hooks, etc.), including wire rope and wire rope terminals and connections, with particular attention to sections of wire rope exposed to abnormal wear and sections not normally exposed for examination. Cracked or deformed hooks shall be discarded.
(5) Rope reeving for compliance with certified agent's recommendations.
(6) Deformed, cracked, or excessively corroded members in crane structure and boom.
(7) Loose bolts, rivets, or other connections.
(8) Worn, cracked, or distorted parts affecting safe operation.
(9) Excessive wear on and free operation of brake and clutch system parts, linings, pawls, and ratchets.
(10) Load, boom angle, or other indicators shall be checked for any inaccuracy.
(11) It shall be ascertained that there is a durable rating chart visible to the operator, covering the complete range of the certified agent's capacity ratings at all operating radii, for all permissible boom lengths and jib length, with alternate ratings for optional equipment affecting such ratings. Necessary precautions or warnings shall be included and operating controls marked or an explanation of controls shall be posted at the operator's position to indicate function.
(12) Careful examination of the junction areas of removable boom sections, particularly for proper seating, cracks, deformities, or other defects in securing bolts and in the vicinity of such bolts.
(13) It shall be ascertained that no counterweights in excess of the certified agent's specifications are fitted.
(14) Such other examinations deemed necessary under the circumstances.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b), (c) and (d)(5) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment of subsection (c) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment of subsection (d) filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
4. Repealer of subsection (d)(12) and renumbering of subsections (d)(13) and (d)(14) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
5. New subsection (a)(4) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
7. Editorial correction of printing error in subsection (c) NOTE (Register 94, No. 18).
8. Editorial correction of History 7 (Register 97, No. 23).
9. Amendment of subsection (c) filed 8-25-2003; operative 9-24-2003 (Register 2003, No. 35).
§5022.1. Test Weights.
Note     •     History

Scope. This Section applies to test weights manufactured for the purpose of proof load testing of cranes and derricks.
(a) Test weights shall be legibly marked to indicate the documented weight.
(b) Lifting attachments on test weights shall be visually inspected prior to each use. Damaged or defective lifting attachments that are not suitable for safe use shall not be used.
(c) Embedded wire rope and reinforcing steel (rebar) shall not be used as lifting attachments.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-2-2005; operative 9-1-2005 (Register 2005, No. 31).
§5023. Proof Load Test and Examination of Derricks and Their Accessory Gear.
Note     •     History

(a) Proof load tests of derricks shall be carried out at the same intervals as specified in Section 5022(a) for cranes.
(b) Proof load tests and safe working load ratings shall be based on the designed load ratings at the ranges of boom angle or operating radii. Proof loads shall exceed the safe working load (SWL) as follows:

SWL	Proof Load

Up to 20 tons	 25 percent in excess 
20-50 tons	 5 tons in excess

Over 50 tons	 10 percent in excess 
Proof loads shall be applied at the designed maximum and minimum boom angles or radii or, if this is impracticable, as close to these as practicable. The angles or radii of test shall be in the certificate of test. Proof loads shall be swung as far as possible in both directions. The weight of all auxiliary handling devices such as blocks, hooks, etc., shall be considered a part of the load. 
(c) After satisfactory completion of a proof load test, the derrick and all component parts thereof shall be carefully examined in all applicable respects to the requirements of Section 5022(d).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5024. Examination of Bulk Cargo Handling Devices.
Note     •     History

All bulk cargo handling devices, together with any portable extension, rigging components, outriggers, and attachment points, supporting them or any of their components vertically, need not be tested but shall be examined by a certificating agency when first certificated and annually thereafter. The examination shall be carried out with particular attention to the condition of rope and accessories. The equipment shall not be considered satisfactory unless, in the opinion of the certificating agency as stated in Section 5021, it is deemed fit to serve its intended function.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5025. Certificates.
Note     •     History

If the equipment meets the requirements set forth in Sections 5021, 5022, 5023 and 5024, a certificate shall be issued indicating that the required tests and/or examinations have been performed and that any defects found by such examination and tests have been corrected and that the equipment is in safe operating condition at the time of examination. A copy of such certificate shall be available with each crane and derrick or at the project site.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-6-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5026. Determination of Crane or Derrick Safe Working Loads and Limitations in Absence of Manufacturer's Data.
Note     •     History

(a) In the event neither manufacturer's data nor design data on safe working loads (including any applicable limitations) are obtainable, the safe working load ratings assigned shall be based on the certified agent's analysis. Test certificates shall state the basis for any such safe working load assignment. For mobile cranes, stability shall also be determined by the certified agent in accordance with SAE J 765, October 1980.
(b) Analysis test reports shall be readily available.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsection (b) filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5027. Safe Working Load Reduction.
Note     •     History

If the operation in which equipment is engaged never utilizes more than a fraction of the safe working load rating, the owner of such equipment may have the crane or derrick certificated for and operated at a lesser maximum safe working load in keeping with the use and based on radius and other pertinent factors; provided, however, that the equipment concerned is physically capable of operation at the load rating and load reduction is not for the purpose of avoiding correction of any deficiency. Load rating charts shall be changed accordingly.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5028. Safe Working Load Increase.
Note     •     History

In no case shall safe working loads be increased beyond the manufacturer's ratings or the original design limitations unless such increase meets with the manufacturer's approval. Where the manufacturer's services are not available, or where the equipment is of foreign manufacture, engineering design analysis by, or acceptable to, the certified agent is required. All necessary structural changes shall be carried out.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
Article 100. Inspection and Maintenance
§5031. Inspection.
Note     •     History

(a) A qualified person shall visually inspect the crane's or derrick's controls, rigging and operating mechanism prior to the first operation on any work shift. Any unsafe conditions disclosed by the inspection requirements of this Article shall be corrected promptly. Defective components of equipment which create an imminent safety hazard shall be replaced, repaired or adjusted prior to use.
(b) Frequency of Inspections. Daily visual inspections by the operator or other qualified person shall be made of/for:
(1) All functional mechanisms for maladjustment interfering with proper operation;
(2) The operation of all limit switches without a load on the hook;
(3) Lines, tanks, valves, pumps, and other parts of air or hydraulic systems for deterioration or leakage;
(4) Hooks for deformation and cracks;
(5) Hoist or load attachment chains including end connections for excessive wear, twist, distorted or stretched links interfering with proper function;
(6) Excessive wear, broken wires, stretch, kinking, or twisting of ropes and rope slings, including end connections.
(c) Periodic inspections shall be conducted at least four times a year. The annual certification, as required by Section 5021(a), can serve as one of the required periodic inspections. The periodic inspections shall be evenly spaced or as close to evenly spaced as scheduling permits through the year. Cranes shall not be operated more than 750 hours, between periodic inspections. The inspection shall include the following in addition to the items in subsection (b) above:
(1) Excessive wear of all functional operating mechanisms.
(2) Ropes, brakes, friction clutches, chain drives, and other parts subject to wear which may be readily inspected.
(3) Cranes handling molten metal shall be inspected at least weekly when in use and necessary repairs made.
(4) An inspection record shall be maintained which includes the date of the inspection, the signature of the person who performed the inspection, and the serial number or other identifier of the crane inspected. The most recent inspection record shall be maintained on file.
(d) In any year in which no quadrennial (every four years) proof load test is required on cranes or derricks, such equipment shall be examined by a qualified person as described in Section 5021. Such examination shall be made not later than the anniversary date of the quadrennial certification and shall conform with the requirements of Section 5022 (d) and the following:
(1) Crane hooks with cracks or with deformation of throat opening more than 15 percent in excess of normal opening or more than 10 degree twist from plane of unbent hook shall be removed from service.
(2) Ropes shall be inspected for proper lubrication, excessive wear, broken strands, and proper reeving.

Note: Many variable factors are involved in determining the exact time for replacement of rope and timely replacement for safety. Conditions such as the following shall be sufficient reason for replacement: 
1. In running ropes, 6 randomly distributed broken wires in one rope lay, or 3 broken wires in one strand in one lay.
2. Wear of 1/3 the original diameter of outside individual wires.
3. Kinking, crushing, bird caging, or other damage resulting in distortion of the rope structure. Evidence of any heat damage.
4. Reductions from nominal diameter of more than:

	1/64 inch for diameters up to 5/16 inch

	1/32 inch for diameters 3/8 inch to 1/2 inch

	3/64 inch for diameters 9/16 inch to 3/4 inch

	1/16 inch for diameters 7/8 inch to 11/8 inch

	3/32 inch for diameters 1 1/4 inch to 1 1/2 inch
5. In standing ropes, more than 2 broken wires in one lay in sections beyond end connections or more than one broken wire at an end connection.
6. Reduction of rope diameter below nominal diameter due to loss of core support, internal or external corrosion, or wear of outside wires.
(3) In order to establish data for judging the proper time for replacement of hoisting rope, a continuing inspection record shall be maintained. The record shall cover factors of deterioration as listed in subsections (b), (c) and (d).
(4) Whenever it is considered necessary by the certificating agency or authorized representative and whenever it is practical and advisable to avoid disassembly of equipment, removal of pins, etc., examination of structure or parts by electronic, ultrasonic, or other nondestructive methods shall be carried out. 
(e) All rope which has been idle for a period of a month or more due to shutdown or storage of a crane on which it is installed shall be given a thorough inspection before it is placed in service. This inspection shall be for all types of deterioration and shall be performed by a qualified person whose approval shall be required for further use of the rope. A certification record shall be made available for inspection which includes the date of inspection, the signature of the person who performed the inspection, and an identifier of the rope which was inspected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
4. Amendment of subsections (c) and (e) filed 3-5-90; operative 4-4-90 (Register 90, No. 12).
5. Amendment of subsection (c) filed 10-16-95; operative 11-15-95 (Register 95, No. 42).
6. Amendment of subsection (c)(3) filed 11-29-2001; operative 12-29-2001 (Register 2001, No. 48).
7. Change without regulatory effect amending subsection (c) and adding subsection (c)(4) designator filed 12-21-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 51).
§5032. Molten Metal Cranes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39). 
§5033. Maintenance.
Note     •     History

A preventive maintenance program, based on the certified agent's recommendations, shall be established and dated. Detailed records shall be available to the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
§5034. Adjustments and Repairs.
Note     •     History

(a) Adjustments and repairs shall be done by qualified persons.
(b) Before adjustments and repairs are started on a crane or derrick, the following precautions shall be taken as applicable:
(1) Cranes shall be placed where they will cause the least interference to and be least interfered with by other equipment or operations in the area.
(2) Boom and load block shall be lowered to the ground or floor, if possible, or otherwise secured against dropping.
(3) All power controls shall be locked or otherwise secured in the stop position and starting means rendered inoperative.
(4) Warnings and barriers shall be placed to warn others from danger area and protect the crane under repair from being struck by other machines or equipment.
(c) After all repairs and adjustments have been made, the crane shall not be operated until all guards have been reinstalled, safety devices reactivated, and maintenance equipment removed, including all loose material.
(d) Adjustments shall be maintained to assure correct functioning of the following components:
(1) All functional operating mechanisms.
(2) Safety devices.
(3) Control systems.
(4) Power plants.
(5) Brakes.
(e) When welding repair procedures are required on load sustaining members, instructions shall be provided by the certified agent and those instructions shall be followed where applicable. Welds on all critical crane or derrick parts shall be performed only by qualified welders who are certified to perform high quality welding.
(f) All repair welds performed on critically stressed members, such as boom chord, mast chord, and main deck girders (where permitted by a certified agent), shall be magnetic particle tested or tested by ultrasonic or other suitable nondestructive means as well as visually inspected. All indicated repairs shall be made promptly and records of the most recent test shall be kept until a new test is conducted or until the part is permanently removed from service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10).
2. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
3. Amendment of subsection (f) filed 6-3-2002; operative 7-3-2002 (Register 2002, No. 23).
§5035. Damaged Booms.
Note     •     History

(a) Prior to further use, boom sections or boom suspension components that have been damaged shall be repaired, restoring them to not less than the capacity of the original section or components. 
(b) Repairs to critically stressed members of a boom or boom extension, such as a boom chord, mast chord, or boom sections, shall be performed in accordance with the manufacturers' or certified agent's recommendations.
(c) New or replacement booms or boom extensions shall be tested before use in accordance with Section 5022.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 8-29-86; effective thirtieth day thereafter (Register 86, No. 39).
2. Repealer and new subsection (b) and new subsection (c) filed 10-20-2003; operative 11-19-2003 (Register 2003, No. 43).
Article 101. Slings
§5040. Scope.
Note     •     History

This Article applies to slings used in conjunction with material handling equipment for the movement of material by hoisting. The types of slings covered are those made from alloy steel chain, wire rope, metal mesh, natural or synthetic fiber rope (conventional three strand construction), and synthetic web (nylon, polyester, and polypropylene).

Exception: Slings made from materials other than those detailed in this section shall be used only in accordance with the manufacturer's recommendations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 101 (Sections 5040-5049) filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19). 
§5041. Definitions.
Note     •     History

Angle of Loading. Inclination of a leg or branch of a sling may be measured from the horizontal or vertical plane as shown in Figure S-5. When angle of loading is less than 5 degrees from the vertical, the load may be considered a vertical load.
Basket Hitch. A sling configuration whereby the sling is passed under the load and has both ends, end attachments, eyes or handles on the hook or a single master link.
Braided Wire Rope. A rope formed by plaiting component wire ropes.
Braided Wire Rope Sling. A sling made from braided rope.
Bridle Wire Rope Sling. A sling composed of multiple legs with the top ends gathered in a fitting that goes over the lifting hook.
Cable Body Endless Sling, Mechanical Joint. A wire rope sling made endless from one continuous length of cable laid rope with the ends joined by one or more metallic fittings.
Cable Laid Grommet, Hand Tucked. An endless wire rope sling made from one continuous length of rope formed to make a body composed of 6 ropes around a rope core. The rope ends are hand tucked into the body thus forming the core. No sleeves are used.
Cable Laid Rope. A wire rope composed of 6 ropes laid as strands with a rope core.
Cable Laid Rope Sling, Mechanical Joint. A wire rope sling made from a cable laid wire rope with eyes fabricated by pressing or swaging one or more metal sleeves over the rope junction.
Choker Hitch. A sling configuration with one end of the sling passing under the load and through an end attachment, handle or eye on the other end of the sling.
Coatings. Elastomers or other suitable material applied to a sling to impart desirable properties.
Cross Rod. A wire used to join spirals of metal mesh to form the complete fabric. (See Figure S-3).
Equivalent Entity. A person or organization (including an employer) which, by possession of equipment, technical knowledge and skills, can perform with equal competence the same repairs and tests as the person or organization with which it is equated.
Fabric (Metal Mesh). The flexible portion of the sling consisting of a series of transverse coils and cross rods and exclusive of terminal fittings. (See Figure S-3).
Fabric Length (Metal Mesh). Length of the fabric measured between the extreme ends of the spiral loops. (See Figure S-2).
Fabric Thickness (Metal Mesh). The fabric thickness shall be the nominal overall thickness of the spirals. (See Figure S-3). 
Handle. A terminal fitting to which metal mesh fabric is attached. This terminal fitting may be either a male handle (triangle) or female handle (choker). (See Figure S-2).
Handle Eye. An opening in the handle shaped to accept a hook, shackle or other lifting device.
Handle, Female (Choker). A terminal fitting containing a handle eye and a slot. The slot shall be of such a dimension as to permit passage of the male handle and thereby allow use of the sling in a choker hitch.
Handle, Male (Triangle). The standard terminal fitting without a choker slot.
Hitch, Basket. Loading with sling passed under the load with both ends, end attachments, eyes, or handles on the hook or a single master link.
Hitch, Choker. Loading with sling passed through one end attachment, eye or handle and suspended by the other.
Hitch, Vertical. Loading with the sling vertical. Load suspended on a single part or leg.
Link, Master Coupling. Alloy steel welded coupling link used as an intermediate link to join alloy steel chain to master links. (See Figure S-1).
Link, Master (Gathering Ring). Forged or welded steel link used to support all members (legs) of an alloy steel chain or wire rope sling. (See Figure S-1).
Link, Mechanical Coupling (Alloy Steel Chain). A non-welded, mechanically closed link used primarily to attach master links, hooks, etc. to running length alloy steel chain.
Proof Load. The specific load applied in performance of the proof test.
Proof Test. A nondestructive tension test made by the sling manufacturer or equivalent entity to verify construction and workmanship of the individual sling.
Rated Capacity (Working Load Limit). The maximum allowable working load established by the sling manufacturer and permitted by the provisions of this Article.
Reach (Alloy Steel Chain). Effective length of an alloy steel chain sling measured from the top bearing surface of the master link to the bearing surface in the base (Bowl) of the hook.
Selvage Edge. Finished edge of synthetic webbing to prevent unraveling.
Sling Manufacturer. A person or company assembling sling components into their final form for actual use. The sling manufacturer and the manufacturer of the sling material (Alloy steel chains, wire rope, metal mesh webbing, fiber rope or synthetic webbing) may or may not be identical.
Spiral. A single transverse coil that is the basic element from which metal mesh is fabricated.
Strand Laid Endless Sling, Mechanical Joint. A wire rope sling made endless from one continuous length of rope with the ends joined by one or more metallic fittings.
Strand Laid Grommet, Hand Tucked. An endless wire rope sling made from one continuous length of strand formed to make a 6 strand rope with a strand core. The strand ends are hand tucked into the body. No sleeves are used.
Strand Laid Rope. A wire rope made with strands (usually 6 or 8) formed around a fiber core, wire strand core, or independent wire rope core (IWRC).
Strength, Minimum Breaking. Minimum load at which the sling will break when loaded to destruction in direct tension.
Strength, Nominal Breaking. Load at which the sling could be expected to break when loaded to destruction in direct tension.
Tagline. A restraining line to control position of the load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§5042. Safe Operating Practices.
Note     •     History

(a) Whenever any sling is used, the following practices shall be enforced:
(1) Slings that are damaged or defective shall not be used.
(2) Chain or wire rope slings shall not be shortened with knots or bolts or other makeshift devices.
(3) Slings shall not be kinked, or knotted.
(4) Slings shall not be loaded in excess of their rated capacities as prescribed by the sling manufacturer on the identification markings permanently affixed to the sling.
(5) Slings used in a basket hitch shall have the loads balanced to prevent slippage. 
(6) Slings shall be set to avoid slippage.
(7) Slings shall be padded or protected from the sharp edges of their loads.
(8) Suspended loads shall be kept clear of all obstructions.
(9) All employees shall be kept clear of loads about to be lifted and of suspended loads. (See Section 5002).
(10) Hands or fingers shall not be placed between the sling and its load while the sling is being tightened around the load.
(11) Shock loading is prohibited.
(12) A sling shall not be pulled from under a load when the load is resting on the sling and damage to the sling may result.
(13) Tables S-1 and S-2 shall be used to determine the maximum safe working loads of various sizes of wrought iron and alloy steel chains and chain slings, except that higher safe working loads are permissible when recommended by the manufacturer for specific, identifiable products. Proof coil steel chain, also known as common or hardware chain, or other chain not recommended for slinging or hoisting by the manufacturer, shall not be used for hoisting purposes.
(14) Wrought iron chains in constant use shall be annealed or normalized at intervals not exceeding 6 months when recommended by the manufacturer. The chain manufacturer shall be consulted for recommended procedures for annealing or normalizing. Alloy chains shall not be annealed.
(15) Employers shall not use slings without affixed and legible identification markings.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(3) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. Editorial correction of subsection (a)(3) (Register 2010, No. 34).
3. Amendment of subsection (a)(4) and new subsection (a)(15) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§5043. Inspections.
Note     •     History

Each day before being used, the sling and all fastenings and attachments shall be inspected for damage or defects by a qualified person. Additional inspections shall be performed during sling use, where service conditions warrant. Damaged or defective slings shall be immediately removed from service.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§5044. Alloy Steel Chain Slings.
Note     •     History

(a) Sling Identification.
Alloy steel chain slings shall have permanently affixed and legible markings as prescribed by the manufacturer that indicate the recommended safe working load for the type(s) of hitch(es) used, the angle upon which it is based, and the number of legs if more than one.
(b) Attachments.
(1) Hooks, rings, oblong links, pear-shaped links, welded or mechanical coupling links or other attachments shall have a rated capacity at least equal to that of the alloy steel chain with which they are used or the sling shall not be used in excess of the rated capacity of the weakest component.
(2) Makeshift links or fasteners formed from bolts or rods, or other such attachments, shall not be used.
(c) Inspections.
(1) In addition to the inspection required by Section 5043 of this Article, a thorough periodic inspection of alloy steel chain slings in use shall be made on a regular basis, to be determined on the basis of:
(A) Frequency of sling use;
(B) Severity of service conditions;
(C) Nature of lifts being made; and
(D) Experience gained on the service life of slings used in similar circumstances.
Such inspections shall in no event be at intervals greater than once every 12 months.
(2) Each employer shall make and maintain, for the service life of the sling, a record of the most recent month in which each alloy steel chain sling was thoroughly inspected, and shall make such record available for examination by the Division upon request.
(3) The thorough inspection of alloy steel chain slings shall be performed by a qualified person designated by the employer, and shall include a thorough inspection for wear, defective welds, deformation and increase in link length. Where such defects or deterioration reduce the rated capacity the sling shall be immediately removed from service.
(d) Proof Testing. The employer shall ensure that before use, each new, repaired, or reconditioned alloy steel chain sling, including all welded components in the sling assembly, shall be proof tested in accordance with the sling manufacturer's recommendations. The employer shall retain a certificate of the proof test, for the service life of the sling, and shall make it available for examination by the Division upon request.
Minimum proof loads for alloy steel chain shall be equal to twice the working load limit values shown for single slings.
(e) Sling Use.
Alloy steel chain slings shall not be used with loads in excess of the rated capacities prescribed in Table S-1. Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendations.
(f) Safe Operating Temperatures. Alloy steel chain slings shall be permanently removed from service if they are heated above 1000o F. When exposed to service temperatures in excess of 600o F, maximum working load limits permitted in Table S-1 shall be reduced in accordance with the chain or sling manufacturer's recommendations.
(g) Repairing and Reconditioning Alloy Steel Chain Slings.
(1) Worn or damaged alloy steel chain slings or attachments shall not be used until repaired. When alloy steel chain slings are repaired or reconditioned and welding or heat treating is involved, such slings shall be proof tested by the manufacturer or equivalent entity.
(2) Mechanical coupling links or low carbon steel repair links shall not be used to repair broken lengths of chain.
(h) Effects of Wear. If the chain size at any point of any links is less than that stated in Table S-1a, the sling shall be removed from service.
(i) Deformed Attachments.
(1) Alloy steel chain slings with cracked or deformed master links, coupling links or other components shall be removed from service.
(2) Slings shall be removed from service if hooks are cracked, have been opened more than 15 percent of the normal throat opening measured at the narrowest point or twisted more than 10 degrees from the plane of the unbent hook.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c)(2), (d) and (e) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. Change without regulatory effect amending subsections (d) and (e) filed 4-13-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 16).
3. Amendment of subsections (a) and (f) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§5045. Wire Rope Slings.
Note     •     History

(a) Sling Use. Wire rope slings shall not be used with loads in excess of the rated capacities shown in Tables S-3 through S-14.
Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendations.
(b) Minimum Sling Lengths.
(1) Cable laid and 6 x 19 and 6 x 37 slings shall have a minimum clear length of wire rope 10 times the component rope diameter between splices, sleeves or end fittings.
(2) Braided slings shall have a minimum clear length of wire rope 40 times the component rope diameter between the loops or end fittings.
(3) Cable laid grommets, strand laid grommets and endless slings shall have a minimum circumferential length of 96 times their body diameter.
(c) Safe Operating Temperatures. Fiber core wire rope slings of all grades shall be permanently removed from service if they are exposed to temperatures in excess of 200o F. When nonfiber core wire rope slings of any grade are used at temperatures above 400o F, or below minus 60o F, the sling manufacturer's recommendations shall be followed.
(d) End Attachments.
(1) Welding of end attachments, except covers to thimbles, shall be performed prior to the assembly of the sling.
(2) A prototype of each welded end attachment shall be proof tested by the manufacturer or equivalent entity to check the design and welding method at twice the rated capacity before production is started. Subsequent tests of random samples shall be made. The manufacturer or equivalent entity shall provide a certificate of such tests which the employer shall retain and make available for examination by the Division upon request.
(3) Where rope clip attachments are used, they shall be made with U-bolts on the dead or short end of the rope and the saddle on the live end. The minimum number of clips for end attachments shall be not less than indicated in manufacturer's tables, but in no case shall be less than three for any permanent installation. Clips shall be drop-forged steel. The clips shall be spaced at a distance equal to at least six times the diameter of the rope. All clip or clamp bolts shall be kept tight after tightening while rope is under tension.
(e) Removal from Service.
Wire rope slings shall be immediately removed from service if any of the following conditions are present:
(1) Six randomly distributed broken wires in one rope lay, or 3 broken wires in one strand in one rope lay.
(2) Wear or scraping of one-third the original diameter of outside individual wires.
(3) Kinking, crushing, bird caging or any other damage resulting in distortion of the wire rope structure.
(4) Evidence of heat damage.
(5) End attachments that are cracked, deformed or worn to the point where the rated capacity is reduced.
(6) Hooks that have been opened more than 15 percent of the normal throat opening measured at the narrowest point or twisted more than 10 degrees from the plane of the unbent hook.
(7) Corrosion that is of such severity or extent as to reduce the rated load capacity of the rope or end attachment.
(8) One or more broken wires within one rope lay of the end attachments.
(f) Knots. Eyes in wire rope slings shall not be formed by using knots.
(g) Employers must ensure that wire rope and wire-rope slings: 
(1) Have permanently affixed and legible identification markings as prescribed by the manufacturer, and that indicate the recommended safe working load for the type(s) of hitch(es) used, the angle upon which it is based, and the number of legs if more than one; and
(2) Not be used without affixed and legible identification markings as required by subsection (g)(1) of this section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (c), (d)(2) and new subsection (e)(8) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. New subsections (g)-(g)(2) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§5046. Metal Mesh Slings.
Note     •     History

(a) Sling Marking. Each metal mesh sling shall have permanently affixed durable identification stating the following:
(1) Manufacturer's name or trademark.
(2) Rated capacity in vertical basket hitch and choker hitch.
(b) Handles. Handles shall have a rated capacity at least equal to the metal fabric and exhibit no deformation after proof testing.
(c) Attachments of Handles to Fabric. The fabric and handles shall be joined so that:
(1) The rated capacity of the sling is not reduced.
(2) The load is evenly distributed across the width of the fabric. 
(3) Sharp edges will not damage the fabric.
(d) Sling Coatings. Coatings which diminish the rated capacity of a sling shall not be applied.
(e) Sling Testing. All new and repaired metal mesh slings, including handles, shall not be used unless proof tested by the manufacturer or equivalent entity at a minimum of 1 1/2 times their rated capacity. Elastomer impregnated slings shall be proof tested before coating.
(f) Proper Use of Metal Mesh Slings. Metal mesh slings shall not be used to lift loads in excess of their rated capacities as prescribed in Table S-17. Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendations.
(g) Safe Operating Temperatures. Metal mesh slings which are not impregnated with elastomers may be used in a temperature range from minus 20o F. to plus 550o F.without decreasing the working load limit. Metal mesh slings impregnated with polyvinyl chloride or neoprene may be used only in a temperature range from zero degrees to plus 200o F. For operations outside these temperature ranges or for metal mesh slings impregnated with other materials, the sling manufacturer's recommendations shall be followed.
(h) Repairs.
(1) Metal mesh slings which are repaired shall not be used unless repaired by a metal mesh sling manufacturer or an equivalent entity. 
(2) Once repaired, each sling shall be permanently marked or tagged, or a written record maintained, to indicate the date and nature of the repairs and the person or organization that performed the repairs. Records of repairs shall be made available for examination by the Division upon request.
(i) Removal From Service. Metal mesh slings shall be immediately removed from service if any of the following conditions are present:
(1) A broken weld or broken brazed joint along the sling edge.
(2) Reduction in wire diameter of 25 percent due to abrasion or 15 percent due to corrosion.
(3) Lack of flexibility due to distortion of the fabric.
(4) Distortion of the female handle so that the depth of the slot is increased more than 10 percent.
(5) Distortion of either handle so that the width of the eye is decreased more than 10 percent.
(6) A 15 percent reduction of the original cross sectional area of metal at any point around the handle eye.
(7) Distortion of either handle out of its plane.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) and (h)(2) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. Change without regulatory effect amending subsection (f) filed 4-13-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 16).
§5047. Natural and Synthetic Fiber Rope Slings.
Note     •     History

(a) Sling Use.
(1) Fiber rope slings made from conventional three strand construction fiber rope shall not be used with loads in excess of the rated capacities prescribed in Tables S-18 through S-21.
(2) Fiber rope slings shall have a diameter of curvature meeting at least the minimums specified in Figures S-4 and S-5.
(3) Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendations.
(4) Natural and synthetic fiber rope slings shall not be used for suspending personnel platforms.
(b) Safe Operating Temperatures. Natural and synthetic fiber rope slings, except for wet frozen slings, may be used in a temperature range from minus 20o F to plus 180o F without decreasing the working load limit. For operations outside this temperature range and for wet frozen slings, the sling manufacturer's recommendations shall be followed.
(c) Splicing. Spliced fiber rope slings shall not be used unless they have been spliced in accordance with the following minimum requirements and in accordance with any additional recommendations of the manufacturer:
(1) In manila rope, eye splices shall consist of at least three full tucks, and short splices shall consist of at least six full tucks, three on each side of the splice center line.
(2) In synthetic fiber rope, eye splices shall consist of at least four full tucks, and short splices shall consist of at least eight full tucks, four on each side of the center line.
(3) Strand end tails shall not be trimmed flush with the surface of the rope immediately adjacent to the full tucks. This applies to all types of fiber rope and both eye and short splices. For fiber rope under one inch in diameter, the tail shall project at least six rope diameters beyond the last full tuck. For fiber rope one inch in diameter and larger, the tail shall project at least six inches beyond the last full tuck. Where a projecting tail interferes with the use of the sling, the tail shall be tapered and spliced into the body of the rope using at least two additional tucks (which will require a tail length of approximately six rope diameters beyond the last full tuck).
(4) Fiber rope slings shall have a minimum clear length of rope between eye splices equal to 10 times the rope diameter.
(5) Knots shall not be used in lieu of splices.
(6) Clamps not designed specifically for fiber ropes shall not be used for splicing.
(7) For all eye splices, the eye shall be of such size to provide an included angle of not greater than 60 degrees at the splice when the eye is placed over the load or support.
(d) End Attachments. Fiber rope slings shall not be used if end attachments in contact with the rope have sharp edges or projections.
(e) Removal from Service. Natural and synthetic fiber rope slings shall be immediately removed from service if any of the following conditions are present: 
(1) Abnormal wear;
(2) Powdered fiber between strands;
(3) Broken or cut fibers;
(4) Variations in the size or roundness of strands;
(5) Discoloration or rotting;
(6) Distortion of hardware in the sling.
(f) Repairs. Repairs shall only be made by the manufacturer or equivalent entity. Only fiber rope slings made from new rope shall be used. Use of repaired or reconditioned fiber rope slings is prohibited.
(g) Employers must ensure that natural and synthetic fiber-rope slings: 
(1) Have permanently affixed and legible identification markings as prescribed by the manufacturer, and that indicate the recommended safe working load for the type(s) of hitch(es) used, the angle upon which it is based, type of fiber material, and the number of legs if more than one; and 
(2) Not be used without affixed and legible identification markings as required by subsection (g)(1) of this section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)(3) and (f) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. New subsection (a)(4) filed 4-24-2007; operative 5-24-2007 (Register 2007, No. 17).
3. New subsections (g)-(g)(2) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§5048. Synthetic Web Slings.
Note     •     History

(a) Sling Identification. Each sling shall be marked or coded to show the rated capacities for each type of hitch and type of synthetic web material.
(b) Webbing. Synthetic webbing shall be of uniform thickness and width and selvage edges shall not be split from the webbing's width.
(c) Fittings. Fittings shall be:
(1) Of a minimum breaking strength equal to that of the sling; and 
(2) Free of all sharp edges that could in any way damage the webbing.
(d) Attachment of End Fittings to Webbing and Formation of Eyes.
Stitching shall be the only method used to attach end fittings to webbing and to form eyes. The thread shall be in an even pattern and contain a sufficient number of stitches to develop the full breaking strength of the sling.
(e) Sling Use. Synthetic web slings illustrated in Figure S-6 shall not be used with loads in excess of the rated capacities specified in Tables S-22 through S-24. Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendations.
(f) Environmental Conditions. When synthetic web slings are used, the following precautions shall be taken:
(1) Nylon web slings shall not be used where fumes, vapors, sprays, mists or liquids of acids or phenolics are present. 
(2) Polyester and polypropylene web slings shall not be used where fumes, vapors, sprays, mists or liquids of caustics are present.
(3) Web slings with aluminum fittings shall not be used where fumes, vapors, sprays, mists or liquids of caustics are present.
(g) Safe Operating Temperatures. Synthetic web slings of polyester and nylon shall not be used at temperatures in excess of 180o F. Polypropylene web slings shall not be used at temperatures in excess of 150o F.
(h) Repairs.
(1) Synthetic web slings which are repaired shall not be used unless repaired by a sling manufacturer or an equivalent entity.
(2) The employer shall retain a certificate of proof test, for the service life of the sling, and make it available for examination by the Division upon request.
(3) Slings, including webbing and fittings, which have been repaired in a temporary manner shall not be used.
(i) Removal from Service. Synthetic web slings shall be immediately removed from service if any of the following conditions are present:
(1) Acid or caustic burns;
(2) Melting or charring of any part of the sling surface;
(3) Broken or worn stitches;
(4) Distortion of fittings;
(5) Snags, punctures, tears or cuts; or
(6) Those slings with other apparent defects shall be referred to the manufacturer or equivalent entity for determination of rated capacity and safety for continued use.
(j) Synthetic Web Sling Storage. Synthetic web slings shall be stored in an area or facility where they are not subject to heat above 150o F or exposed to direct sunlight.
(k) Slings not included in these Orders shall be used only in accordance with the manufacturer's recommendation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (e), (h)(2), (i)(6), (j) and new subsection (k) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
§5049. Defective Hoist or Sling Hooks and Rings.
Note     •     History

(a) Deformed or defective hooks or rings shall not be used.
(b) Deformed hooks or rings shall be replaced or repaired and reshaped under proper metallurgical control and proof tested.
(c) Annealing or normalizing shall be done only in accordance with the chain manufacturer's specifications.
(d) Hooks and shackles shall be used in accordance with manufacturer's recommendations.
(e) All hooks for which no applicable manufacturer's recommendations are available shall be tested to twice the intended safe working load before they are initially put into use. The employer shall maintain and keep readily available a certification record which includes the date of the test, the signature of the person who performed the test, and an identifier of the hook which was tested.
(f) Special custom design grabs, hooks, clamps, or other lifting accessories for such units as modular panels, prefabricated structures and similar materials, shall be marked to indicate the safe working loads and shall be proof-tested to 125 percent of the rated load prior to use.
(g) Shackles. Employers must ensure that shackles: 
(1) Have permanently affixed and legible identification markings as prescribed by the manufacturer that indicate the recommended safe working load;
(2) Not be loaded in excess of its recommended safe working load as prescribed on the identification markings by the manufacturer; and
(3) Not be used without affixed and legible identification markings as required by subsection (g)(1) of this section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

. 1.New subsections (d) and (e) filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
2. Relettering of former subsection (e) to subsection (f), and new subsection (e) filed 3-5-90; operative 4-4-90 (Register 90, No. 12).
3. Change without regulatory effect providing proper placement for History 2 filed 4-13-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 16).
4. New subsections (g)-(g)(3) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
Group 14. Radiation and Radioactivity
Article 102. Standards for Protection Against Radiation
§5075. Authority.

Labor Code Sections 6300 through 6604, and the Health and Safety Code Sections 25800 through 25870. 
§5076. Administrative Procedure.

Pursuant to the Radiation Control Law, Chapter 7.6, of Division 20 (commencing at Section 28500), of the Health and Safety Code, an agreement has been made between the State Department of Public Health and the Division of Industrial Safety concerning the regulation and control of sources of radiation. In accordance with that agreement, the Division adopts as its Safety Orders the regulations of the Department of Public Health, contained in Groups 1, 2, 3, and 4, of Title 17, Chapter 5, Subchapter 4 (commencing at Section 30100) of the California Administrative Code, except sections pertaining to the establishment of fees, together with future revisions thereof, when made in accordance with the following procedure and the Administrative Procedure Act:
(a) Amendment or repeal of any portion of these regulations of the Department of Public Health, other than emergency actions, will be accomplished only after consultation with the Division of Industrial Safety, and shall become effective only after approval by the Industrial Safety Board.
(b) Conversely, the Division of Industrial Safety may amend portions of the regulations dealing with Industrial uses of radiation only after consultation with the Department of Public Health, and such amendments shall become effective only after approval by the Board of Public Health.
Article 103. Actinic Radiation
§5078. Purpose.

Article 103 sets up minimum standards for protection of employees exposed to actinic radiation other than those types covered by Article 102. 
§5079. Ultra-Violet Radiation.

(a) Sterilizing lamps or other equipment producing ultra-violet radiation shall be so arranged or shielded that ultra-violet radiation, either direct or reflected, does not strike employees' eyes in harmful intensity; where such arrangement or shielding is not practicable, employees shall be provided with goggles of a type which will prevent such radiation from injuring the eyes.
(b) Areas, rooms or locations where equipment producing such radiation is located shall be posted with warning signs or legends. 
Article 104. Nonionizing Radiation
§5085. Radiofrequency and Microwave Radiation.
Note     •     History

(a) Definitions.
Radiofrequency (RF) Energy. Electromagnetic energy restricted to that portion of the spectrum commonly defined as the radiofrequency or RF region with frequencies between 3 megahertz (MHz) and 300 Gigahertz (GHz) and which for the purposes of this specification shall include the microwave region with frequencies between 100 MHz and 300 GHz. (Hertz = 1 cycle/second, MHz = 1 million hertz, GHz = 1 billion hertz.)
Exposure. Irradiation of any part of the body by incident RF energy.
(b) Exposure Limits. Employees shall not be exposed to RF energy from continuous wave or repetitively pulsed sources exceeding any of the following limits as averaged over any possible six minute (0.1 hour) period.
(1) Continuous exposure to an average maximum power density of 10 mW/cm2 (milliwatts per square centimeter) or the equivalent free space average electric and magnetic field strengths of 200 V/M (volts per meter) rms and 0.5 A/M (amperes per meter) rms respectively.
(2) Exposure to interrupted or modulated RF energy shall not exceed:
(A) An average maximum energy density of 1 mW hr/cm2 (milliwatt-hour per square centimeter);
(B) A mean squared electric field strength of 4x104 (V/M)2 (volts squared per meter squared);
(C) A mean squared magnetic field strength of 0.25 (A/M)2 (amperes squared per meter squared).
These energy densities and field strengths are approximately equivalent to a far field power density of 10 mW/cm2.
(c) Information and Warning Signs. In areas where employee exposure may exceed the limits specified in part (b) of this section, employers shall provide warning signs containing the following information in the following manner:
(1) Warning signs of RF radiation hazards, as described in ANSI C95.2-1966“Radiofrequency Radiation Hazard Warning Symbol,” containing the necessary information and description of required protective actions. (See Figure RF-1.)
(2) Signs shall be posted at all entrances to accessible areas containing RF radiation levels in excess of the exposure limits described in part (b).
(3) Warning signs shall be legible at a distance of ten (10) meters. 

Figure RF-1 (From ANSI C95.2-1966)

View Graphic
1. Place handling and mounting instructions on reverse side.
2. D=Scaling unit.
3. Lettering: Ratio of letter height to thickness of letter lines.

	Upper triangle: 	5 to 1 Large
			6 to 1 Medium
	Lower triangle: 	4 to 1 Small
			6 to 1 Medium
4. Symbol is square, triangles are right-angle isosceles
	Radio-Frequency Radiation Hazard Warning Symbol
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Article 104 (Section 5085) filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16).
2. Change without regulatory effect providing more legible illustration for Figure RF-1 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
Group 15. Occupational Noise and Ergonomics
Article 105. Control of Noise Exposure
§5095. General.
Note     •     History

(a) Scope and Application. Article 105 establishes requirements for controlling occupational exposures to noise. Agriculture, construction, and oil and gas well drilling and servicing operations are exempt from the provisions of Sections 5097 through 5100.
(b) Definitions.
Action Level. An 8-hour time-weighted average of 85 decibels measured on the A-scale, slow response, or equivalently, a dose of fifty percent.
Audiogram. A chart, graph, or table resulting from an audiometric test showing an individual's hearing threshold levels as a function of frequency.
Audiologist. A professional, specializing in the study and rehabilitation of hearing, who is certified by the American Speech, Hearing and Language Association or licensed by a state board of examiners.
Baseline Audiogram. The audiogram against which future audiograms are compared.
Criterion Sound Level. A sound level of 90 decibels.
Decibel (dB). Unit of measurement of sound level.
dBA (Decibels-A-Weighted). A unit of measurement of sound level corrected to the A-weighted scale, as defined in ANSI S1.4-1971 (R1976), using a reference level of 20 micropascals (0.00002 Newton per square meter).
Hertz (Hz). Unit of measurement of frequency, numerically equal to cycles per second.
Medical Pathology. A disorder or disease. For purposes of this regulation, a condition or disease affecting the ear, which should be treated by a physician specialist.
Otolaryngologist. A physician specializing in diagnosis and treatment of disorders of the ear, nose and throat.
Representative Exposure. Measurements of an employee's noise dose or 8-hour time-weighted average sound level that the employer deems to be representative of exposures of other employees in the workplace.
Sound Level. Ten times the common logarithm of the ratio of the square of the measured A-weighted sound pressure to the square of the standard reference pressure of 20 micropascals. Unit: decibels (dB). For use with this regulation, SLOW time response, in accordance with ANSI S1.4-1971 (R1976), is required.
Sound Level Meter. An instrument for the measurement of sound level.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Group 15 (Article 105, Sections 5095-5099) and new Group 15 (Article 105, Sections 5095-5100 and Appendices A-E) filed 6-28-82; effective thirtieth day thereafter (Register 82, No. 27). For prior history, see Register 72, No. 6.
2. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
3. Amendment of group heading filed 6-3-97; operative 7-3-97 (Register 97, No. 23).
§5096. Exposure Limits for Noise.
Note

(a) Protection against the effects of noise exposure shall be provided when the sound levels exceed those shown in Table N-1 of this section when measured on the A-scale of a standard sound level meter at slow response.
(b) When employees are subjected to sound levels exceeding those listed in Table N-1 of this section, feasible administrative or engineering controls shall be utilized. If such controls fail to reduce sound levels within the levels of the table, personal protective equipment shall be provided and used to reduce sound levels within the levels of the table.

Table N-1 Permissible Noise Exposure 1

	Permitted Duration		Permitted Duration
Sound	Per Workday		per Workday
Level	(hours-		Sound Level	(hours-
(dBA)	minutes)	hours	(dBA)	minutes)	hours

90	 8-0	 8.00	103	 1-19	 1.32
91	 6-58	 6.96	104	 1-9	 1.15
92	 6-4	 6.06	105	 1-0	 1.00
93	 5-17	 5.28	106	 0-52	 0.86
94	 4-36	 4.60	107	 0-46	 0.76
95	 4-0	 4.00	108	 0-40	 0.66
96	 3-29	 3.48	109	 0-34	 0.56
97	 3-2	 3.03	110	 0-30	 0.50
98	 2-38	 2.63	111	 0-26	 0.43
99	 2-18	 2.30	112	 0-23	 0.38
100	 2-0	 2.00	113	 0-20	 0.33
101	 1-44	 1.73	114	 0-17	 0.28
102	 1-31	 1.52	115	 0-15	 0.25

1 When the daily noise exposure is composed of two or more periods of noise exposure of different levels, their combined effect should be considered, rather than the individual effect of each. If the sum of the following fractions: C1/T1 + C2/T2 . . . Cn/Tn exceeds unity, then, the mixed exposure should be considered to exceed the limit value. Cn indicates the total time of exposure at a specified noise level, and Tn indicates the total time of exposure permitted at that level.
(c) If the variations in noise level involve maxima at intervals of 1 second or less, the noise is to be considered continuous.
(d) Exposure to impulsive or impact noise should not exceed 140 dB peak sound pressure level.
NOTE

Authority and reference cited: Section 142.3, Labor Code. 
§5097. Hearing Conservation Program.
Note     •     History

(a) General. The employer shall administer a continuing, effective hearing conservation program, as described in this section, whenever employee noise exposures equal or exceed an 8-hour time-weighted average sound level (TWA) of 85 decibels measured on the A-scale (slow response) or, equivalently, a dose of fifty percent. For purposes of the hearing conservation program, employee noise exposures shall be computed in accordance with Appendix A and Table A-1 and without regard to any attenuation provided by the use of personal protective equipment.
(b) Monitoring.
(1) When information indicates that any employee's exposure may equal or exceed an 8-hour time-weighted average of 85 decibels, the employer shall obtain measurements for employees who may be exposed at or above that level. Such determinations shall be made by December 1, 1982.
(2) The monitoring requirement shall be met by either area monitoring or personal monitoring that is representative of the employee's exposure.
(A) The sampling strategy shall be designed to identify employees for inclusion in the hearing conservation program and to enable the proper selection of hearing protectors.
(B) Where circumstances such as high worker mobility, significant variations in sound level, or a significant component of impulse noise make area monitoring generally inappropriate, the employer shall use representative personal sampling to comply with the monitoring requirements of this section unless the employer can show that area sampling produces equivalent results.
(C) All continuous, intermittent and impulsive sound levels from 80 dB to 130 dB shall be integrated into the computation.
(D) Instruments used to measure employee noise exposure shall be calibrated to ensure measurement accuracy.
(3) Monitoring shall be repeated whenever a change in production, process, equipment or controls increases noise exposures to the extent that:
(A) Additional employees may be exposed at or above the action level; or
(B) The attenuation provided by hearing protectors being used by employees may be rendered inadequate to meet the requirements of Section 5098(b).
(4) The employer shall provide affected employees or their representatives with an opportunity to observe any measurements of employee noise exposure which are conducted pursuant to this section.
(5) The employer shall notify each employee exposed at or above the action level of the results of the monitoring.
(c) Audiometric Testing Program.
(1) The employer shall establish and maintain an audiometric testing program as provided in this section by making audiometric testing available to all employees whose exposures equal or exceed the action level.
(2) The program shall be provided at no cost to employees.
(3) Audiometric tests shall be performed by a licensed or certified audiologist, otolaryngologist, or other physician, or by a technician who is certified by the Council of Accreditation in Occupational Hearing Conservation, or who has satisfactorily demonstrated competence in administering audiometric examinations, obtaining valid audiograms, and properly using, maintaining and checking calibration and proper functioning of the audiometers being used. A technician who performs audiometric tests must be responsible to an audiologist, otolaryngologist or physician.
(4) All audiograms obtained pursuant to this section shall meet the requirements of Appendix B: Audiometric Measuring Instruments.
(5) The employer shall establish for each employee exposed at or above the action level a valid baseline audiogram against which subsequent audiograms can be compared.
(6) Testing to establish a baseline audiogram shall be preceded by at least 14 hours without exposure to workplace noise. This requirement may be met by wearing hearing protectors which will reduce the employee's exposure to a sound level of 80 dBA or below.
(7) The employer shall notify employees of the need to avoid high levels of non-occupational noise exposure during the 14-hour period immediately preceding the audiometric examination.
(8) Audiometric tests shall be made available to employees by June 1, 1983 or within 6 months of an employee's first exposure at or above the action level, except that where a mobile test van is used to conduct the audiometric test, the test shall be made available within one year of an employee's first exposure at or above the action level provided that all such employees are given an opportunity for testing.
Note: This requirement may be met by an audiogram available to the employer upon the effective date of this section provided the conditions under which the audiometric test was performed were the same as prescribed by this section.
(9) Where an employer chooses to have audiometric tests performed by a mobile test van in accordance with Section 5097(c)(8) and an employee's baseline audiogram has not been obtained within 6 months of the employee's first exposure at or above the action level, the employer shall make hearing protectors available to the employee in accordance with Section 5098 and require that the hearing protectors are worn by the employee until the baseline audiogram is obtained.
(10) At least annually after obtaining the baseline audiogram, the employer shall obtain a new audiogram for each employee exposed at or above the action level.
(d) Evaluation of Audiogram.
(1) Each employee's annual audiogram shall be compared to that employee's baseline audiogram to determine if the audiogram is valid and if a standard threshold shift, as defined in Section 5097(d)(8), has occurred. This comparison may be done by a technician.
(2) If the annual audiogram shows that an employee has suffered a standard threshold shift, the employer may obtain a retest within 30 days and consider the results of the retest as the annual audiogram. 
(3) An audiologist, otolaryngologist or physician shall review problem audiograms and shall determine whether there is a need for further evaluation. The employer shall provide to the person performing this evaluation the following information:
(A) A copy of the requirements for hearing conservation as set forth in Sections 5097, 5098, 5099 and 5100.
(B) The baseline audiogram and most recent audiogram of the employee to be evaluated.
(C) Measurements of background sound pressure levels in the audiometric test room as required in Appendix C, Audiometric Test Rooms.
(D) Records of audiometric calibrations required by paragraph (f) of this section.
(4) If a comparison of the annual audiogram to the baseline audiogram indicates a standard threshold shift as defined by Section 5097(d)(8), the employee shall be informed of this fact, in writing, within 21 days of the determination.
(5) Unless a physician determines that the standard threshold shift is not work related or aggravated by occupational noise exposure, the employer shall ensure that the following steps are taken when a standard threshold shift occurs:
(A) An employee not using hearing protectors shall be fitted with hearing protectors, trained in their use and care, and required to use them; and
(B) An employee already using hearing protectors shall be refitted and retrained in the use of hearing protectors and provided with hearing protectors offering greater attenuation if necessary.
(C) Refer the employee for a clinical audiological evaluation or an otological examination, as appropriate, if additional testing is necessary or if the employer suspects that a medical pathology of the ear is caused or aggravated by the wearing of hearing protectors.
(D) Inform the employee of the need for an otological examination if a medical pathology of the ear which is unrelated to the use of hearing protectors is suspected.
(6) If subsequent audiometric testing of an employee whose exposure to noise is less than an 8-hour time-weighted average of 90 decibels indicates that a standard threshold shift is not persistent, the employer:
(A) Shall inform the employee of the new audiometric interpretation; and
(B) May discontinue the required use of hearing protectors for that employee.
(7) An annual audiogram may be substituted for the baseline audiogram when in the judgment of the audiologist, otolaryngologist or physician who is evaluating the audiogram:
(A) The standard threshold shift revealed by the audiogram is persistent; or
(B) The hearing threshold shown in the annual audiogram indicates significant improvement over the baseline audiogram.
(8) As used in this section, a standard threshold shift is a change in hearing threshold relative to the baseline audiogram of an average of 10 dB or more at 2000, 3000 and 4000 Hz in either ear.
(9) In determining whether a standard threshold shift has occurred, allowance may be made for the contribution of aging (presbycusis) to the change in hearing level by correcting the annual audiogram according to the procedure described in Appendix F: Determination and Application of Age Correction to Audiograms.
(e) Audiometric Test Requirements.
(1) Audiometric tests shall be pure tone, air conduction, hearing threshold examinations, with test frequencies including as a minimum 500, 1000, 2000, 3000, 4000 and 6000 Hz. Tests at each frequency shall be taken separately for each ear.
(2) Audiometric tests shall be conducted with audiometers (including microprocessor audiometers) that meet the specifications of, and are maintained and used in accordance with, ANSI S3.6-1969.
(3) Pulsed-tone and self-recording audiometers, if used, shall meet the requirements specified in Appendix B, Audiometric Measuring Instruments.
(4) Audiometric examinations shall be administered in a room meeting the requirements listed in Appendix C, Audiometric Test Rooms.
(f) Audiometer Calibration.
(1) The functional operation of the audiometer shall be checked before each day's use by testing a person with known, stable hearing thresholds, and by listening to the audiometer's output to make sure that the output is free from distorted or unwanted sounds. Deviations of 10 dB or greater shall require an acoustic calibration.
(2) Audiometer calibration shall be checked acoustically at least annually in accordance with Appendix D, Acoustic Calibration of Audiometers. Test frequencies below 500 Hz and above 6000 Hz may be omitted from this check. Deviations of 15 dB or greater necessitate an exhaustive calibration.
(3) An exhaustive calibration shall be performed at least every two years in accordance with Sections 4.1.2, 4.1.3, 4.1.4.3, 4.2, 4.4.1, 4.4.2, 4.4.3, and 4.5 of ANSI S3.6-1969. Test frequencies below 500 Hz and above 6000 Hz may be omitted from this calibration.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41). 
§5098. Hearing Protectors.
Note     •     History

(a) General.
(1) Employers shall make hearing protectors available to all employees exposed to an 8-hour time-weighted average of 85 decibels or greater at no cost to the employees. Hearing protectors shall be replaced as necessary.
(2) Employers shall ensure that hearing protectors are worn by all employees:
(A) Who are required by Section 5096(b) to wear personal protective equipment; or
(B) Who are exposed to an 8-hour time-weighted average of 85 decibels or greater, and who:
1. Are required by Section 5097(c)(9) to wear hearing protectors because baseline audiograms have not yet been established; or
2. Have experienced a standard threshold shift.
(3) Employees shall be given the opportunity to select their hearing protectors from a variety of suitable hearing protectors provided by the employer.
(4) The employer shall provide training in the use and care of all hearing protectors provided to employees.
(5) The employer shall ensure proper initial fitting and supervise the correct use of all hearing protectors.
(b) Hearing Protector Attenuation.
(1) The employer shall evaluate hearing protector attenuation for the specific noise environments in which the protector will be used. The employer shall use one of the methods described in Appendix E, Methods for Estimating the Adequacy of Hearing Protector Attenuation.
(2) Hearing protectors must attenuate employee exposure at least to an 8-hour time-weighted average of 90 decibels as required by Section 5096(b).
(3) For employees who have experienced a standard threshold shift, hearing protectors must attenuate employee exposures to an 8-hour time-weighted average of 85 decibels or below.
(4) The adequacy of hearing protector attenuation shall be reevaluated whenever employee noise exposures increase to the extent that the hearing protectors provided may no longer provide adequate attenuation. The employer shall provide more effective hearing protectors where necessary.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41). 
§5099. Training Program.
Note     •     History

(a) General.
(1) The employer shall institute a training program for all employees who are exposed to noise at or above an 8-hour time-weighted average of 85 dBA, and shall ensure employee participation in such program.
(2) The training program shall be repeated annually for each employee included in the hearing conservation program. Information provided in the training program shall be updated to be consistent with changes in protective equipment and work processes.
(3) The employer shall ensure that each employee is informed of the following:
(A) The effects of noise on hearing;
(B) The purpose of hearing protectors, the advantages, disadvantages, and attenuation of various types, and instructions on selection, fitting, use, and care; and
(C) The purpose of audiometric testing, and an explanation of the test procedures.
(b) Access to Information and Training Materials.
(1) The employer shall make available to affected employees or their representatives copies of Article 105 and shall also post a copy in the workplace.
(2) The employer shall provide to affected employees any informational materials pertaining to this standard that are supplied to the employer by U.S. Department of Labor, Occupational Safety and Health Administration.
(3) The employer shall provide, upon request, all materials related to the employer's training and education program pertaining to this standard to authorized representatives of the Chief of the Division and the Director, National Institute for Occupational Safety and Health.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41). 
2. Editorial correction of subsection (b)(1) printing error (Register 90, No. 41).
§5100. Recordkeeping.
Note     •     History

(a) Exposure Measurements.
The employer shall maintain an accurate record of all employee exposure measurements required by Section 5097(b).
(b) Audiometric Tests.
(1) The employer shall retain all employee audiograms obtained pursuant to Section 5097(c) and (d).
(2) This record shall include:
(A) Name and job classification of the employee.
(B) Date of the audiogram.
(C) The examiner's name.
(D) Date of the last acoustic or exhaustive calibration of the audiometer.
(E) Employee's most recent noise exposure assessment.
(c) Audiometric Test Rooms.
The employer shall maintain accurate records of the measurements required by Appendix C, Audiometric Test Rooms, of the background sound pressure levels in audiometric test rooms.
(d) Record Retention. The employer shall retain records required in this section for at least the following periods:
(1) Noise exposure measurement records shall be retained for 2 years.
(2) Audiometric test records shall be retained for the duration of the affected employee's employment.
(e) Access to Records. All records required by this section shall be provided upon request to employees, former employees, representatives designated by the individual employee and any authorized representative of the Chief of the Division. The provisions of Sections 3204(a)-(g) and (h) apply to access to records required by this section.
(f) Transfer of Records. If the employer ceases to do business, the employer shall transfer to the successor employer all records required to be maintained by this section, and the successor employer shall retain them for the remainder of the period prescribed in Section 5100(d).
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41). 

Appendix A

Noise Exposure Computation
I. Computation of Employee Noise Exposure
(a) Noise dose is computed using Table A-1 as follows: When the sound level, L, is constant over the entire work shift, the noise dose, D, in percent, is given by: D = 100 C/T where C is the total length of the work day, in hours, and T is the reference duration corresponding to the measured sound level, L, as given in Table A-1 or by the formula shown as a footnote to that table.

(b) When the workshift noise exposure is composed of two or more periods of noise at different levels, the total noise dose over the work day is given by: D = 100 (C1/T1 + C2/T2 + 	. . . + Cn/Tn), where Cn indicates the total time of exposure at a specific noise level, and Tn indicates the reference duration for that level as given by Table A-1.
(c) The eight-hour time-weighted average sound level (TWA), in decibels, may be computed from the dose, in percent, by means of the formula: TWA = 16.61 log 10 (D/100) + 90. For an eight-hour workshift with the noise level constant over the entire shift, the TWA is equal to the measured sound level.
(d) A table relating dose and TWA is given in Section II. 

Table A-1

A-weighted	Reference	 A-weighted	 Reference
sound level,	Duration	sound level,	Duration
L (decibel)	T (hour)	L (decibel)	 T (hour)

	80	32	106	0.87
	81	27.9	107	0.76
	82	24.3	108	0.66
	83	21.1	109	0.57
	84	18.4	110	0.5
	85	16	111	0.44
	86	13.9	112	0.38
	87	12.1	113	0.33
	88	10.6	114	0.29
	89	9.2	115	0.25
	90	8	116	0.22
	91	7.0	117	0.19
	92	6.1	118	0.16
	93	5.3	119	0.14
	94	4.6	120	0.125
	95	4	121	0.11
	96	3.5	122	0.095
	97	3.0	123	0.082
	98	2.6	124	0.072
	99	2.3	125	0.063
	100	2	126	0.054
	101	1.7	127	0.047
	102	1.5	128	0.041
	103	1.3	129	0.036
	104	1.1	130	0.031
	105	1

In the above table, the reference duration, T, is computed by
T =      8               
2(L-90)/5
where L is the measured A-weighted sound level. 
II. Conversion Between “Dose” and “8-Hour Time-Weighted Average” Sound Level.
Noise exposure is usually measured with an audiodosimeter which gives a readout in terms of “dose.” Dosimeter readings can be converted to an 8-hour time-weighted average sound level (TWA).
In order to convert the reading of a dosimeter into TWA, use Table A-2. This table applies to dosimeters that are set to calculate dose or percent exposure according to the relationships in Table A-1. So, for example, a dose of 91 percent over an eight hour day results in a TWA of 89.3 dB, and a dose of 50 percent corresponds to a TWA of 85 dB.
If the dose as read on the dosimeter is less than or greater than the values found in Table A-2, the TWA may be calculated by using the formula: 
TWA = 16.61 log10 (D/100) + 90 where TWA = 8-hour time-weighted average sound level and D = accumulated dose in percent exposure. 

Table A-2 
Conversion from “Percent Noise Exposure” or “Dose” to “8-Hour Time-Weighted Average Sound Level” (TWA)

Dose or	TWA	Dose or	TWA	Dose or	TWA
Percent		Percent		Percent
Noise		Noise		Noise
Exposure		Exposure		Exposure
	10	 73.4	116	 91.1	510	 101.8
	15	 76.3	117	 91.1	520	 101.9
	20	 78.4	118	 91.2	530	 102.0
	25	 80.0	119	 91.3	540	 102.2
	30	 81.3	120	 91.3	550	 102.3
	35	 82.4	125	 91.6	560	 102.4
	40	 83.4	130	 91.9	570	 102.6
	45	 84.2	135	 92.2	580	 102.7
	50	 85.0	140	 92.4	590	 102.8
	55	 85.7	145	 92.7	600	 102.9
	60	 86.3	150	 92.9	610	 103.0
	65	 86.9	155	 93.2	620	 103.2
	70	 87.4	160	 93.4	630	 103.3
	75	 87.9	165	 93.6	640	 103.4
	80	 88.4	170	 93.8	650	 103.5
	81	 88.5	175	 94.0	660	 103.6
	82	 88.6	180	 94.2	670	 103.7
	83	 88.7	185	 94.4	680	 103.8
	84	 88.7	190	 94.6	690	 103.9
	85	 88.8	195	 94.8	700	 104.0
	86	 88.9	200	 95.0	710	 104.1
	87	 89.9	210	 95.4	720	 104.2
	88	 89.1	220	 95.7	730	 104.3
	89	 89.2	230	 96.0	740	 104.4
	90	 89.2	240	 96.3	750	 104.5
	91	 89.3	250	 96.6	760	 104.6
	92	 89.4	260	 96.9	770	 104.7
	93	 89.5	270	 97.2	780	 104.8
	94	 89.6	280	 97.4	790	 104.9
	95	 89.6	290	 97.7	800	 105.0
	96	 89.7	300	 97.9	810	 105.1
	97	 89.8	310	 98.2	820	 105.2
	98	 89.9	320	 98.4	830	 105.3
	99	 89.9	330	 98.6	840	 105.4
	100	 90.0	340	 98.8	850	 105.4
	101	 90.1	350	 99.0	860	 105.5
	102	 90.1	360	 99.2	870	 105.6
	103	 90.2	370	 99.4	880	 105.7
	104	 90.3	380	 99.6	890	 105.8
	105	 90.4	390	 99.8	900	 105.8
	106	 90.4	400	 100.0	910	 105.9
	107	 90.5	410	 100.2	920	 106.0
	108	 90.6	420	 100.4	930	 106.1
	109	 90.6	430	 100.5	940	 106.2
	110	 90.7	440	 100.7	950	 106.2
	111	 90.8	450	 100.8	960	 106.3
	112	 90.8	460	 101.0	970	 106.4
	113	 90.9	470	 101.2	980	 106.5
	114	 90.9	480	 101.3	990	 106.5
	115	 91.1	490	 101.5	999	 106.6
			500	 101.6

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of Table A-1 filed 3-22-84; effective thirtieth day thereafter (Register 84, No. 12).
2. Amendment of Table A-1 filed 8-28-84; effective thirtieth day thereafter (Register 84, No. 35). 
3. Change without regulatory effect amending Table A-2 filed 4-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 16).

Appendix B

Audiometric Measuring Instruments
I. In the event that pulsed-tone audiometers are used, they shall have tone on-time of at least 200 milliseconds.
II. Self-recording audiometers shall comply with the following requirements:
(a) The chart upon which the audiogram is traced shall have lines at positions corresponding to all multiples of 10 dB hearing level within the intensity range spanned by the audiometer. The lines shall be equally spaced and shall be separated by at least 1/4 inch. Additional increments are optional. The audiogram pen tracings shall not exceed 2 dB in width.
(b) It shall be possible to set the stylus manually at the 10-dB increment lines for calibration purposes.
(c) The slewing rate for the audiometer attenuator shall not be more than 6 dB/sec except that an initial slewing rate greater than 6 dB/sec is permitted at the beginning of each new test frequency, but only until the second subject response.
(d) The audiometer shall remain at each required test frequency for 30 seconds (+ 3 seconds). The audiogram shall be clearly marked at each change of frequency and the actual frequency change of the audiometer shall not deviate from the frequency boundaries marked on the audiogram by more than 3 seconds.
(e) It must be possible at each test frequency to place a horizontal line segment parallel to the time axis on the audiogram, such that the audiometric tracing crosses the line segment at least six times at that test frequency. At each test frequency, the threshold shall be the average of the midpoints of the tracing excursions. 

Appendix C

Audiometric Test Rooms
Rooms used for audiometric testing shall not have background sound pressure levels exceeding those in Table C-1 when measured by equipment conforming at least to the Type 2 requirements of ANSI S1.4-1971 (R1976), and to the Class II requirements of ANSI S1.11-1971 (R1976). 

Table C-1
Maximum Allowable Octave-Band Sound Pressure Levels for
Audiometric Test Rooms

Octave-band center
 frequency (Hz)	 	500	1000	2000	4000	8000
Sound pressure level (dB)	 	40	40	47	57	62

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).

Appendix D

Acoustic Calibration of Audiometers
I. Audiometer calibration shall be checked acoustically, at least annually, according to the procedures described in this Appendix. The equipment necessary to perform these measurements is a sound level meter, octave-band filter set, and a National Bureau of Standards 9A coupler. In making these measurements, the accuracy of the calibrating equipment shall be sufficient to determine that the audiometer is within the tolerances permitted by ANSI S3.6-1969.
(a) Sound Pressure Output Check.
(1) Place the earphone coupler over the microphone of the sound level meter and place the earphone on the coupler.
(2) Set the audiometer's hearing threshold level (HTL) dial to 70 dB.
(3) Measure the sound pressure level of the tones at each test frequency from 500 Hz through 6000 Hz for each earphone.
(4) At each frequency the readout on the sound level meter should correspond to the levels in Table D-1 or Table D-2, as appropriate, for the type of earphone, in the column entitled “sound level meter reading.”
(b) Linearity Check.
(1) With the earphone in place, set the frequency to 1000 Hz and the HTL dial on the audiometer to 70 dB.
(2) Measure the sound levels in the coupler at each 10dB decrement from 70 dB to 10 dB, noting the sound level meter reading at each setting.
(3) For each 10-dB decrement on the audiometer, the sound level meter should indicate a corresponding 10 dB decrease.
(4) This measurement may be made electrically with a voltmeter connected to the earphone terminals.
(c) Tolerances.
When any of the measured sound levels deviate from the levels in Table D-1 or Table D-2 by 3 dB at any test frequency between 500 and 3000 Hz, 4 dB at 4000 Hz, or 5 dB at 6000 Hz, an exhaustive calibration is advised. An exhaustive calibration is required if the deviations are 15 dB or greater at any test frequency.

Table D-2 
Reference Threshold Levels for Telephonics TDH-39 Earphones 

	Reference Threshold	Sound Level
	Level for TDH-39	Meter Reading,
Frequency,	Hz Earphones, dB	dB         

500	 11.5	81.5
1000	 7	77
2000	 9	79
3000	 10	80
4000	 9.5	79.5
6000	 15.5	85.5

Table D-2 
Reference Threshold Levels for Telephonics-TDH-49 Earphones

	Reference Threshold	Sound Level
	Level for TDH-49	Meter Reading,
Frequency, Hz	Earphones, dB	dB        

500	 13.5	83.5
1000	 7.5	77.5
2000	 11	81.0
3000	 9.5	79.5
4000	 10.5	80.5
6000	 13.5	83.5

NOTE

Authority and reference cited: Section 142.3, Labor Code. 

Appendix E

Methods for Estimating the Adequacy of Hearing Protector
Attenuation
I. For employees who have experienced a standard threshold shift, hearing protector attenuation must be sufficient to reduce employee exposure to a TWA of 85 dB. Employers must select one of the following methods by which to estimate the adequacy of hearing protection attenuation.
II. The most convenient method is the Noise Reduction Rating (NRR) developed by the Environmental Protection Agency (EPA). According to EPA regulation, the NRR must be shown on the hearing protector package. The NRR is then related to an individual worker's noise environment in order to assess the adequacy of the attenuation of a given hearing protector. This Appendix describes four methods of using the NRR to determine whether a particular hearing protector provides adequate protection within a given exposure environment. Selection among the four procedures is dependent upon the employer's noise measuring instruments.
III. Instead of using the NRR, employers may evaluate the adequacy of hearing protector attenuation by using one of the three methods developed by the National Institute for Occupational Safety and Health (NIOSH), which are described in the “List of Personal Hearing Protectors and Attenuation Data,” HEW Publication No. 76-120, 1975, pages 21-37. These methods are known as NIOSH methods #1, #2 and #3. The NRR described below is a simplification of NIOSH method #2. The most complex method is NIOSH method #1, which is probably the most accurate method since it uses the largest amount of spectral information from the individual employee's noise environment. As in the case of the NRR method described below, if one of the NIOSH methods is used, the selected method must be applied to an individual's noise environment to assess the adequacy of the attenuation. Employers should be careful to take a sufficient number of measurements in order to achieve a representative sample for each time segment.
Note: The employer must remember that calculated attenuation values reflect realistic values only to the extent that the protectors are properly fitted and worn.
IV. When using the NRR to assess hearing protector adequacy, one of the following methods must be used:
(a) When using a dosimeter that is capable of C-weighted measurements:
(1) Obtain the employee's C-weighted dose for the entire workshift, and convert to TWA (see Appendix A).
(2) Subtract the NRR from the C-weighted TWA to obtain the estimated A-weighted TWA under the ear protector.
(b) When using a dosimeter that is not capable of C-weighted measurements, the following method may be used:
(1) Convert the A-weighted dose to TWA (see Appendix A).
(2) Subtract 7 dB from the NRR.
(3) Subtract the remainder from the A-weighted TWA to obtain the estimated A-weighted TWA under the ear protector.
(c) When using a sound level meter set to the A-weighting network:
(1) Obtain the employee's A-weighted TWA.
(2) Subtract 7 dB from the NRR, and subtract the remainder from the A-weighted TWA to obtain the estimated A-weighted TWA under the ear protector.
(d) When using a sound level meter set on the C-weighting network:
(1) Obtain a representative sample of the C-weighted sound levels in the employee's environment.
(2) Subtract the NRR from the C-weighted average sound level to obtain the estimated A-weighted TWA under the ear protector.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41). 

Appendix F

Determination and Application of Age Corrections to Audiograms
As permitted by Section 5097(d)(9), increases in an employee's hearing thresholds, as evidenced by an audiogram taken subsequent to a baseline audiogram, may be adjusted (lowered) for presbycusis (hearing loss due to aging). The applicable correction values at various ages and sound frequencies are included in Table F. If the employer chooses to adjust an employee's audiogram pursuant to Section 5097(d)(9), the employer shall follow the procedure described below.
(a) Obtain from Table F the age correction values at each audiometric test frequency of interest (the hearing losses at 2000, 3000, and 4000Hz are relevant to the determination of whether a standard threshold shift, as defined by Section 5097(d)(8), may exist) for the employee by:
(1) Finding the age at which the most recent audiogram was taken and recording the corresponding age correction values; and
(2) Finding the age at which the baseline audiogram was taken and recording the corresponding age correction values.
(b) Subtract the values found in (a)(2) from those found in (a)(1). (The remainders from these subtractions represent the values (in decibels) which may be attributed to aging and are the values by which the most recent audiogram may be adjusted at the respective audiometric test frequencies.)
(c) Subtract the values found in (b) from the hearing threshold values of the most recent audiogram.
When the adjustment of an audiogram for hearing loss due to aging is performed for the purpose of determining whether a standard threshold shift has occurred, the above-described calculations may be restricted to the 2000, 3000, and 4000 Hz frequencies. If the average of the hearing threshold values at 2000, 3000, and 4000 Hz found in step (c), above, is equal to or greater than 10, then the employee has exhibited a standard threshold shift, and the employer must comply with various provisions of Section 5097(d) as well as certain other requirements such as Sections 5098(a)(2)(B)2 and (b)(3).

Table F Age Correction Values in Decibels for Males (M)
and Females (F)

			Audiometric Test Frequencies (Hz)
Age		               1000	            2000	          3000	           4000	         6000
		M	F	M	F	M	F	M	F	M	F
20 or Younger	 	5	7	3	4	4	3	5	3	8	6
21	 	5	7	3	4	4	4	5	3	8	6
22	 	5	7	3	4	4	4	5	4	8	6
23	 	5	7	3	5	4	4	6	4	9	7
24	 	5	7	3	5	5	4	6	4	9	7
25	 	5	8	3	5	5	4	7	4	10	7
26	 	5	8	4	5	5	5	7	4	10	8
27	 	5	8	4	5	6	5	7	5	11	8
28	 	6	8	4	5	6	5	8	5	11	8
29	 	6	8	4	5	6	5	8	5	12	9
30	 	6	8	4	6	6	5	9	5	12	9
31	 	6	8	4	6	7	6	9	5	13	9
32	 	6	9	5	6	7	6	10	6	14	10
33	 	6	9	5	6	7	6	10	6	14	10
34	 	6	9	5	6	8	6	11	6	15	10
35	 	7	9	5	6	8	7	11	7	15	11
36	 	7	9	5	7	9	7	12	7	16	11
37	 	7	9	6	7	9	7	12	7	17	12
38	 	7	10	6	7	9	7	13	7	17	12
39	 	7	10	6	7	10	8	14	8	18	12
40	 	7	10	6	7	10	8	14	8	19	13
41	 	7	10	6	8	10	8	14	8	20	13
42	 	8	10	7	8	11	9	16	9	20	13
43	 	8	11	7	8	12	9	16	9	21	14
44	 	8	11	7	8	12	9	17	9	22	14
45	 	8	11	7	8	13	10	18	10	23	15
46	 	8	11	8	9	13	10	19	10	24	15
47	 	8	11	8	9	14	10	19	11	24	16
48	 	9	12	8	9	14	11	20	11	25	16
49	 	9	12	9	9	15	11	21	11	26	16
50	 	9	12	9	10	16	11	22	12	27	17
51	 	9	12	9	10	16	12	23	12	28	17
52	 	9	12	10	10	17	12	24	13	29	18
53	 	9	13	10	10	18	13	25	13	30	18
54	 	10	13	10	11	18	13	26	14	31	19
55	 	10	13	11	11	19	14	27	14	32	19
56	 	10	13	11	11	20	14	28	15	34	20
57	 	10	13	11	11	21	15	29	15	35	20
58	 	10	14	12	12	22	15	31	16	36	21
59	 	11	14	12	12	22	16	32	16	37	21
60 or Older	 	11	14	13	12	23	16	33	17	38	22

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Appendix F filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
Article 106. Ergonomics
§5110. Repetitive Motion Injuries.
Note     •     History

(a) Scope and application. This section shall apply to a job, process, or operation where a repetitive motion injury (RMI) has occurred to more than one employee under the following conditions:
(1) Work related causation. The repetitive motion injuries (RMIs) were predominantly caused (i.e. 50% or more) by a repetitive job, process, or operation;
(2) Relationship between RMIs at the workplace. The employees incurring the RMIs were performing a job, process, or operation of identical work activity. Identical work activity means that the employees were performing the same repetitive motion task, such as but not limited to word processing, assembly, or loading;
(3) Medical requirements. The RMIs were musculoskeletal injuries that a licensed physician objectively identified and diagnosed; and
(4) Time requirements. The RMIs were reported by the employees to the employer in the last 12 months but not before July 3, 1997.
(b) Program designated to minimize RMIs. Every employer subject to this section shall establish and implement a program designed to minimize RMIs. The program shall include a worksite evaluation, control of exposures which have caused RMIs and training of employees.
(1) Worksite evaluation. Each job, process, or operation of identical work activity covered by this section or a representative number of such jobs, processes, or operations of identical work activities shall be evaluated for exposures which have caused RMIs.
(2) Control of exposures which have caused RMIs. Any exposures that caused RMIs shall, in a timely manner, be corrected or if not capable of being corrected have the exposures minimized to the extent feasible. The employer shall consider engineering controls, such as work station redesign, adjustable fixtures or tool redesign, and administrative controls, such as job rotation, work pacing or work breaks.
(3) Training. Employees shall be provided training that includes an explanation of:
(A) The employer's program;
(B) The exposures which have been associated with RMIs;
(C) The symptoms and consequences of injuries caused by repetitive motion;
(D) The importance of reporting symptoms and injuries to the employer; and
(E) Methods used by the employer to minimize RMIs.
(c) Satisfaction of an employer's obligation. Measures implemented by an employer under subsection (b)(1), (b)(2), or (b)(3) shall satisfy the employer's obligation under that respective subsection, unless it is shown that a measure known to but not taken by the employer is substantially certain to cause a greater reduction in such injuries and that this alternative measure would not impose additional unreasonable costs.
NOTE

Authority cited: Sections 142.3 and 6357, Labor Code. Reference: Sections 142.3 and 6357, Labor Code; and Pulaski v. Occupational Safety & Health Stds. Bd. (1999) 75 Cal.App.4th 1315 [90 Cal. Rptr. 2d 54].
HISTORY

1. New article 106 (section 5110) and section filed 6-3-97; operative 7-3-97 (Register 97, No. 23).
2. Editorial correction of subsection (b)(1) (Register 97, No. 29).
3. Change without regulatory effect repealing subsection (a)(4) Exemption and amending Note filed 4-28-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 17).
Group 16. Control of Hazardous Substances
Article 107. Dusts, Fumes, Mists, Vapors and Gases
§5139. Purpose.
History

Article 107 sets up minimum standards for the prevention of harmful exposure of employees to dusts, fumes, mists, vapors, and gases. (Title 24, T8-5139)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5140. Definitions.
Note     •     History

As used in Article 107:
Abrasive-blasting respirator. A continuous flow supplied-air respirator constructed so that it will cover the wearer's head, neck, and shoulders to protect him from airborne dust and rebounding abrasive.
Abrasive wheels. An abrasive wheel is a power-driven wheel consisting of abrasive particles held together by artificial or natural, mineral or organic bonds. Metal, wooden, cloth or paper wheels or discs having a layer or layers of abrasive on the surface are not included. Natural sandstones (quarried) are not included.
Administrative control. Any procedure which limits exposure by adjustment of the work schedule.
Blast-cleaning enclosures. These include rotary blast cleaning tables, blast cleaning barrels and drums, abrasive blasting cabinets, blast cleaning rooms, abrasive separators, and similar enclosures. In blast cleaning rooms the operator works inside to operate the blasting nozzle; at blasting cabinets the operator directs the nozzle through openings in the cabinets. In other types of enclosures operation is automatic.
Branch duct. The part of an exhaust system piping or ductwork that is connected directly to the hood or enclosure.
Duct. Any pipe, flume, or channel, forming a part of a ventilating system, used to convey air, dusts, fumes, mists, vapors or gases.
Dust. Particles of solid matter, other than fumes, in such a state of comminution that they may be inhaled.
Engineering controls. Methods of controlling occupational exposure to injurious materials or conditions by means of general or local exhaust ventilation, substitution by a less hazardous material, by process modification, or by isolation or enclosure of health hazard-producing operations or machinery.
Exhaust purifier device. It is given a broad interpretation as any reliable and identifiable appliance added to an internal combustion engine to reduce toxic exhaust products. Special fuel additives may be certified as part of a device provided that other toxic components of exhaust are not increased significantly.
Exhaust system. A complete suction installation including all hoods, ducts, fans, jets, separators, and receptacles when required, and any other part necessary for the proper installation and operation thereof.
Fan. A rotary machine which creates the movement of air in the exhaust or ventilation system.
Fumes. Solid particles generated by condensation from the gaseous state, generally after volatilization from molten metals, etc., and often accompanied by a chemical reaction such as oxidation.
Gas. An aeriform fluid.
General ventilation. That type of ventilation which provides for general movement of air throughout rooms or buildings by either a gravity system or a mechanical system.
Gravity system of ventilation. One which depends wholly upon relative air density.
Harmful exposure. An exposure to dusts, fumes, mists, vapors, or gases:
(a) In excess of any permissible limit prescribed by Section 5155; or
(b) Of such a nature by inhalation as to result in, or have a probability to result in, injury, illness, disease, impairment, or loss of function.
Hazard. A source of risk, danger, or peril capable of causing injury. As used in Article 107, this meaning refers to dusts, fumes, mists, vapors, gases or chemicals capable of producing adverse health effects.
Hood. A shaped inlet designed to capture contaminated air and conduct it into the exhaust duct system.
Isolated operation. One which is carried on in a location where, or at such time that, no employee except those actually engaged in the operation involved is exposed to the hazards resulting therefrom.
Local exhaust ventilation. A mechanical ventilation system in which a hood is located at or near the point of release of dusts, fumes, mists, vapors or gases.
Main duct. A pipe or duct into which one or more branch ducts enter and which connects such branch ducts to the remainder of the exhaust system.
Mechanical ventilation system. One which depends upon power-driven equipment for its operation.
Mists. Suspended liquid droplets generated by condensation from gaseous to liquid state or by breaking up a liquid into a dispersed state, as by splashing, foaming, or atomizing.
Pitot traverse. The measurement of the air velocity in a duct using a pitot tube at several points in order to obtain an accurate average value of air velocity in the duct.
Note: The number of points to be measured depends on the size and shape of the duct. For guidance see Industrial Ventilation, 13th Ed. (1974), American Conference of Governmental Industrial Hygienists.
Separator/collector. The part of the exhaust system in which entrained material is separated from the air which conveys it.
Spray booth or Room. A power-ventilated structure provided to enclose or accommodate a spraying operation, to confine and limit the escape of spray, vapor and residue, and to safely conduct or direct them to an exhaust system.
Toxic material. A material in concentration or amount which exceeds the applicable limit established by a standard, such as Sections 5155, 5208, and 5209 or, in the absence of an applicable standard, which has the capacity to produce personal injury or illness to persons through ingestion, inhalation, or absorption through any body surface.
Vapor. The gaseous form of a substance normally liquid or solid.(Title 24, T8-5140)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31).
4. Amendment of definition “Harmful Exposure” filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21). 
§5141. Control of Harmful Exposure to Employees.
Note     •     History

(a) Engineering Controls. Harmful exposures shall be prevented by engineering controls whenever feasible.
(b) Administrative Controls. Whenever engineering controls are not feasible or do not achieve full compliance, administrative controls shall be implemented if practicable.
(c) Control by Respiratory Protective Equipment. Respiratory protective equipment, in accordance with Section 5144, shall be used to prevent harmful exposures as follows:
(1) During the time period necessary to install or implement feasible engineering controls;
(2) Where feasible engineering controls and administrative controls fail to achieve full compliance; and
(3) In emergencies.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Repealer and new section filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21). 
§5142. Mechanically Driven Heating, Ventilating and Air Conditioning (HVAC) Systems to Provide Minimum Building Ventilation.
Note     •     History

(a) Operation:
(1) The HVAC system shall be maintained and operated to provide at least the quantity of outdoor air required by the State Building Standards Code, Title 24, Part 2, California Administrative Code, in effect at the time the building permit was issued.
(2) The HVAC system shall be operated continuously during working hours except:
(A) during scheduled maintenance and emergency repairs;
(B) during periods not exceeding a total of 90 hours per calendar year when a serving electric utility by contractual arrangement requests its customers to decrease electrical power demand; or
(C) during periods for which the employer can demonstrate that the quantity of outdoor air supplied by nonmechanical means meets the outdoor air supply rate required by (a)(1) of this Section. The employer must have available a record of calculations and/or measurements substantiating that the required outdoor air supply rate is satisfied by infiltration and/or by a nonmechanically driven outdoor air supply system.
(b) Inspection and Maintenance:
(1) The HVAC system shall be inspected at least annually, and problems found during these inspections shall be corrected within a reasonable time.
(2) Inspections and maintenance of the HVAC system shall be documented in writing. The employer shall record the name of the individual(s) inspecting and/or maintaining the system, the date of the inspection and/or maintenance, and the specific findings and actions taken. The employer shall ensure that such records are retained for at least five years.
(3) The employer shall make all records required by this section available for examination and copying, within 48 hours of a request, to any authorized representative of the Division (as defined in Section 3207), to any employee of the employer affected by this section, and to any designated representative of said employee of the employer affected by this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-8-87; effective thirtieth day thereafter (Register 87, No. 2). For history of former section, see Register 75, No. 29. 
§5143. General Requirements of Mechanical Ventilation Systems.
Note     •     History

(a) Design and Operation. The construction, installation, inspection, testing, and maintenance of exhaust systems shall conform to all requirements of Article 107. Additional guidance may be obtained from the American National Standard Fundamentals Governing the Design and Operation of Local Exhaust Systems, ANSI Z9.2-1971 and the Standard for the Installation of Blower and Exhaust Systems, NFPA No. 91-1973.
Note: Ventilation requirements for control of flammable vapors are prescribed in Sections 5153(d) and 5416.
(1) The exhaust system shall be so designed, constructed, maintained and operated as to prevent harmful exposure by maintaining a volume and velocity of exhaust air sufficient to gather dusts, fumes, mists, vapors or gases from said equipment or process and to convey them to suitable points of safe disposal, thereby preventing their dispersion in harmful quantities into the atmosphere of work rooms or other places where persons are employed. 
(2) Exhaust ducts, inlet ducts, and fan plenums shall be so designed, constructed, and supported as to prevent collapse of the ducts and/or failure of the supporting system.
(3) Exhaust ducts which convey dusts, fumes, and mists shall be provided with inspection or clean-out doors at intervals not to exceed 12 feet of horizontal running length for ducts up to 12 inches in diameter, but the distance may be greater for larger ducts. A clean-out door or doors shall be provided for servicing the fan and, where necessary, a drain shall be provided.
(4) Two or more operations shall not be connected to the same exhaust system where the combination of substances removed may constitute a fire, explosion, or chemical reaction hazard in the duct system.
(5) The ventilation rate of every mechanical ventilation system used to prevent harmful exposure shall be tested after initial installation, alterations, or maintenance, and at least annually, by means of a pitot traverse of the exhaust duct or equivalent measurements. Records of these tests shall be retained for at least five years.
(b) Duration of Operations. The exhaust system shall be in operation continually during all operations for which it is designed. The system shall continue to operate for some time after the cessation of said operations, the length of time to depend upon the individual circumstances and effectiveness of the ventilation system.
(c) Disposal of Exhaust Materials.
(1) The air outlet from every dust separator/collector and the dusts, fumes, mists, vapors or gases collected by an exhaust or ventilating system shall discharge to the outside atmosphere, provided that the exhaust system shall discharge to the outer air in such a manner that it will not 

cause a harmful exposure in any accessible workplace. Collecting systems which return air to work areas may be used if contaminants which accumulate in the work area do not result in harmful exposure to employees.
(2) The air exhausted from blast-cleaning equipment, grinding, buffing, polishing equipment and all other equipment requiring exhausting of dust or particulate shall be discharged through dust-collecting equipment. Dust and refuse discharged from an exhaust system shall be disposed of in such a manner that it will not result in harmful exposure to employees.
(d) Make-Up Air. Clean, fresh air, free of contamination from adjacent industrial exhaust systems, chimneys, stacks, or vents, shall be supplied.
(1) The outside air supply shall enter the workroom in a manner which will not reduce the effectiveness of any local exhaust systems.
(2) All seams and joints shall be sealed if negative pressure exists within inlet ductwork such that there is a possibility of infiltration of harmful quantities of gases, fumes, or mists from areas through which ductwork passes.
(3) Where the air supply is filtered, the filters shall be replaced or cleaned regularly to prevent significant reductions in airflow. A pressure gauge shall be installed to show the pressure drop across the filters. This gauge shall be marked to show the pressure drop at which filters require cleaning or replacement.
(4) Where make-up air is heated by combustion, except gas, the products of combustion shall not be mixed with the make-up air and shall be vented to a point remote from all points where make-up air enters the building. For gas heating where combustion products are mixed with the make-up air, the following must exist:
(A) The gas must be nontoxic and have a distinctive and strong enough odor to warn workmen of its presence if unburned.
(B) The maximum rate of gas supply to the make-up air heater shall not yield in excess of 2000 ppm of total combustible gas in the mixture upon flame failure.
(C) A fan shall be provided to remove the mixture of heated air and combustion products from gas burner plenum chambers. (Title 24, T8-5143)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (a)(2) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
3. Editorial correction of subsection (a)(5) (Register 2003, No. 24).
§5144. Respiratory Protection.
Note     •     History

(a) Permissible practice.
(1) In the control of those occupational diseases caused by breathing air contaminated with harmful dusts, fogs, fumes, mists, gases, smokes, sprays, or vapors, the primary objective shall be to prevent atmospheric contamination. This shall be accomplished as far as feasible by accepted engineering control measures (for example, enclosure or confinement of the operation, general and local ventilation, and substitution of less toxic materials). When effective engineering controls are not feasible, or while they are being instituted, appropriate respirators shall be used pursuant to this section.
(2) Respirators shall be provided by the employer when such equipment is necessary to protect the health of the employee. The employer shall provide the respirators which are applicable and suitable for the purpose intended. The employer shall be responsible for the establishment and maintenance of a respiratory protection program which shall include the requirements outlined in subsection (c).
(b) Definitions. The following definitions are important terms used in the respiratory protection standard in this section. 
Air-purifying respirator means a respirator with an air-purifying filter, cartridge, or canister that removes specific air contaminants by passing ambient air through the air-purifying element.
Assigned protection factor (APF) means the workplace level of respiratory protection that a respirator or class of respirators is expected to provide to employees when the employer implements a continuing, effective respiratory protection program as specified by this section.
Atmosphere-supplying respirator means a respirator that supplies the respirator user with breathing air from a source independent of the ambient atmosphere, and includes supplied-air respirators (SARs) and self-contained breathing apparatus (SCBA) units.
Canister or cartridge means a container with a filter, sorbent, or catalyst, or combination of these items, which removes specific contaminants from the air passed through the container.
Demand respirator means an atmosphere-supplying respirator that admits breathing air to the facepiece only when a negative pressure is created inside the facepiece by inhalation.
Emergency situation means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment that may or does result in an uncontrolled significant release of an airborne contaminant.
Employee exposure means exposure to a concentration of an airborne contaminant that would occur if the employee were not using respiratory protection.
End-of-service-life indicator (ESLI) means a system that warns the respirator user of the approach of the end of adequate respiratory protection, for example, that the sorbent is approaching saturation or is no longer effective.
Escape-only respirator means a respirator intended to be used only for emergency exit.
Filter or air purifying element means a component used in respirators to remove solid or liquid aerosols from the inspired air.
Filtering facepiece (dust mask) means a negative pressure particulate respirator with a filter as an integral part of the facepiece or with the entire facepiece composed of the filtering medium.
Fit factor means a quantitative estimate of the fit of a particular respirator to a specific individual, and typically estimates the ratio of the concentration of a substance in ambient air to its concentration inside the respirator when worn.
Fit test means the use of a protocol to qualitatively or quantitatively evaluate the fit of a respirator on an individual. (See also Qualitative fit test QLFT and Quantitative fit test QNFT.)
Helmet means a rigid respiratory inlet covering that also provides head protection against impact and penetration.
High efficiency particulate air (HEPA) filter means a filter that is at least 99.97% efficient in removing monodisperse particles of 0.3 micrometers in diameter. The equivalent NIOSH 42 CFR 84 particulate filters are the N100, R100, and P100 filters.
Hood means a respiratory inlet covering that completely covers the head and neck and may also cover portions of the shoulders and torso.
Immediately dangerous to life or health (IDLH) means an atmosphere that poses an immediate threat to life, would cause irreversible adverse health effects, or would impair an individual's ability to escape from a dangerous atmosphere.
Interior structural firefighting means the physical activity of fire suppression, rescue or both, inside of buildings or enclosed structures which are involved in a fire situation beyond the incipient stage. (See Article 10.1)
Loose-fitting facepiece means a respiratory inlet covering that is designed to form a partial seal with the face.
Maximum use concentration (MUC) means the maximum atmospheric concentration of a hazardous substance from which an employee can be expected to be protected when wearing a respirator, and is determined by the assigned protection factor of the respirator or class of respirators and the exposure limit of the hazardous substance. The MUC can be determined mathematically by multiplying the assigned protection factor specified for a respirator by the required OSHA permissible exposure limit, short-term exposure limit, or ceiling limit. When no OSHA exposure limit is available for a hazardous substance, an employer must determine an MUC on the basis of relevant available information and informed professional judgment.
Negative pressure respirator (tight fitting) means a respirator in which the air pressure inside the facepiece is negative during inhalation with respect to the ambient air pressure outside the respirator.
Oxygen deficient atmosphere means an atmosphere with an oxygen content below 19.5% by volume.
Physician or other licensed health care professional (PLHCP) means an individual whose legally permitted scope or practice (i.e., license, registration, or certification) allows him or her to independently provide, or be delegated the responsibility to provide, some or all of the health care services required by subsection (e).
Positive pressure respirator means a respirator in which the pressure inside the respiratory inlet covering exceeds the ambient air pressure outside the respirator.
Powered air-purifying respirator (PAPR) means an air-purifying respirator that uses a blower to force the ambient air through air-purifying elements to the inlet covering.
Pressure demand respirator means a positive pressure atmosphere-supplying respirator that admits breathing air to the facepiece when the positive pressure is reduced inside the facepiece by inhalation.
Qualitative fit test (QLFT) means a pass/fail fit test to assess the adequacy of respirator fit that relies on the individual's response to the test agent.
Quantitative fit test (QNFT) means an assessment of the adequacy of respirator fit by numerically measuring the amount of leakage into the respirator.
Respiratory inlet covering means that portion of a respirator that forms the protective barrier between the user's respiratory tract and an air-purifying device or breathing air source, or both. It may be a facepiece, helmet, hood, suit, or a mouthpiece respirator with nose clamp.
Self-contained breathing apparatus (SCBA) means an atmosphere-supplying respirator for which the breathing air source is designed to be carried by the user.
Service life means the period of time that a respirator, filter or sorbent, or other respiratory equipment provides adequate protection to the wearer.
Supplied-air respirator (SAR) or airline respirator means an atmosphere-supplying respirator for which the source of breathing air is not designed to be carried by the user.
Tight-fitting facepiece means a respiratory inlet covering that forms a complete seal with the face.
User seal check means an action conducted by the respirator user to determine if the respirator is properly seated to the face.
(c) Respiratory protection program. This subsection requires the employer to develop and implement a written respiratory protection program with required worksite-specific procedures and elements for required respirator use. The program must be administered by a suitably trained program administrator. In addition, certain program elements may be required for voluntary use to prevent potential hazards associated with the use of the respirator. The Small Entity Compliance Guide contains criteria for the selection of a program administrator and a sample program that meets the requirements of this subsection. Copies of the Small Entity Compliance Guide will be available from the Occupational Safety and Health Administration's Office of Publications, Room N 3101, 200 Constitution Avenue, NW, Washington, DC, 20210 (202-219-4667).
(1) In any workplace where respirators are necessary to protect the health of the employee or whenever respirators are required by the employer, the employer shall establish and implement a written respiratory protection program with worksite-specific procedures. The program shall be updated as necessary to reflect those changes in workplace conditions that affect respirator use. The employer shall include in the program the following provisions, as applicable:
(A) Procedures for selecting respirators for use in the workplace;
(B) Medical evaluations of employees required to use respirators;
(C) Fit testing procedures for tight-fitting respirators;
(D) Procedures for proper use of respirators in routine and reasonably foreseeable emergency situations;
(E) Procedures and schedules for cleaning, disinfecting, storing, inspecting, repairing, discarding, and otherwise maintaining respirators;
(F) Procedures to ensure adequate air quality, quantity, and flow of breathing air for atmosphere-supplying respirators;
(G) Training of employees in the respiratory hazards to which they are potentially exposed during routine and emergency situations;
(H) Training of employees in the proper use of respirators, including putting on and removing them, any limitations on their use, and their maintenance; and
(I) Procedures for regularly evaluating the effectiveness of the program.
(2) Where respirator use is not required:
(A) An employer may provide respirators at the request of employees or permit employees to use their own respirators, if the employer determines that such respirator use will not in itself create a hazard. If the employer determines that any voluntary respirator use is permissible, the employer shall provide the respirator users with the information contained in Appendix D to this section (“Information for Employees Using Respirators When Not Required Under the Standard”); and
(B) In addition, the employer must establish and implement those elements of a written respiratory protection program necessary to ensure that any employee using a respirator voluntarily is medically able to use that respirator, and that the respirator is cleaned, stored, and maintained so that its use does not present a health hazard to the user. Exception: Employers are not required to include in a written respiratory protection program those employees whose only use of respirators involves the voluntary use of filtering facepieces (dust masks).
(3) The employer shall designate a program administrator who is qualified by appropriate training or experience that is commensurate with the complexity of the program to administer or oversee the respiratory protection program and conduct the required evaluations of program effectiveness.
(4) The employer shall provide respirators, training, and medical evaluations at no cost to the employee.
(d) Selection of respirators. This subsection requires the employer to evaluate respiratory hazard(s) in the workplace, identify relevant workplace and user factors, and base respirator selection on these factors. The subsection also specifies appropriately protective respirators for use in IDLH atmospheres, and limits the selection and use of air-purifying respirators.
(1) General requirements.
(A) The employer shall select and provide an appropriate respirator based on the respiratory hazard(s) to which the worker is exposed and workplace and user factors that affect respirator performance and reliability.
(B) The employer shall select a NIOSH-certified respirator. The respirator shall be used in compliance with the conditions of its certification.
(C) The employer shall identify and evaluate the respiratory hazard(s) in the workplace; this evaluation shall include a reasonable estimate of employee exposures to respiratory hazard(s) and an identification of the contaminant's chemical state and physical form. Where the employer cannot identify or reasonably estimate the employee exposure, the employer shall consider the atmosphere to be IDLH.
(D) The employer shall select respirators from a sufficient number of respirator models and sizes so that the respirator is acceptable to, and correctly fits, the user.
(2) Respirators for IDLH atmospheres.
(A) The employer shall provide the following respirators for employee use in IDLH atmospheres:
1. A full facepiece pressure demand SCBA certified by NIOSH for a minimum service life of thirty minutes, or
2. A combination full facepiece pressure demand supplied-air respirator (SAR) with auxiliary self-contained air supply.
(B) Respirators provided only for escape from IDLH atmospheres shall be NIOSH-certified for escape from the atmosphere in which they will be used.
(C) All oxygen-deficient atmospheres shall be considered IDLH.

Exception: If the employer demonstrates that, under all foreseeable conditions, the oxygen concentration can be maintained within the ranges specified in Table II (i.e., for the altitudes set out in the table), then any atmosphere-supplying respirator may be used.
(3) Respirators for atmospheres that are not IDLH.
(A) The employer shall provide a respirator that is adequate to protect the health of the employee and ensure compliance with all other OSHA statutory and regulatory requirements, under routine and reasonably foreseeable emergency situations.
1. Assigned Protection Factors (APFs) Employers must use the assigned protection factors listed in Table 1 to select a respirator that meets or exceeds the required level of employee protection. When using a combination respirator (e.g., airline respirators with an air-purifying filter), employers must ensure that the assigned protection factor is appropriate to the mode of operation in which the respirator is being used.

Table 1.--Assigned Protection Factors 5

					Loose-
 	Quarter		Full	  	fitting
Type of respirator 1,2	mask 	Half mask   	facepiece	Helmet/hood  	facepiece

1. Air-Purifying Respirator	  5 	3 10	50	 . . . . . .	. . . . . . 
2. Powered Air-Purifying Respirator (PAPR).		50	1,000	4 25/1,000	25
3. Supplied-Air Respirator (SAR) or Airline
 Respirator
 Demand mode	 . . . . . .	10	50	 . . . . . .	. . . . . . 
 Continuous flow mode	 . . . . . .	50	1,000	4 25/1,000	25
 Pressure-demand or other positive-pressure 	 . . . . . .	50	1,000	 . . . . . .	.. . . . . 
 mode 
4. Self-Contained Breathing Apparatus (SCBA)
 Demand mode 	 . . . . . .	10	50	50	. . . . . . 
 Pressure-demand or other positive-pressure 	 . . . . . .	 . . . . . .	10,000	10,000	. . . . . .  
 mode (e.g., open/closed circuit).

Notes:
1. Employers may select respirators assigned for use in higher workplace concentrations of a hazardous substance for use at lower concentrations of that substance, or when required respirator use is independent of concentration.
2. The assigned protection factors in Table 1 are only effective when the employer implements a continuing, effective respirator program as required by this section, including training, fit testing, maintenance, and use requirements.
3. This APF category includes filtering facepieces, and half masks with elastomeric facepieces.
4. The employer must have evidence provided by the respirator manufacturer that testing of these respirators demonstrates performance at a level of protection of 1,000 or greater to receive an APF of 1,000. This level of performance can best be demonstrated by performing a Workplace Protection Factor (WPF) or simulated WPF study or equivalent testing. Absent such testing, all other PAPRs and SARs with helmets/hoods are to be treated as loose-fitting facepiece respirators, and receive an APF of 25.
5. These APFs do not apply to respirators used solely for escape. For escape respirators used in association with substances covered by substance-specific standards in Title 8, Division 1, Chapter 4, Subchapters 4, 7, and 18, employers must refer to the appropriate substance-specific standards. Escape respirators for other IDLH atmospheres are specified by subsection (d)(2)(B).
2. Maximum Use Concentration (MUC)
a. The employer must select a respirator for employee use that maintains the employee's exposure to the hazardous substance, when measured outside the respirator, at or below the MUC.
b. Employers must not apply MUCs to conditions that are immediately dangerous to life or health (IDLH); instead, they must use respirators listed for IDLH conditions in subsection (d)(2) of this section.
c. When the calculated MUC exceeds the IDLH level for a hazardous substance, or the performance limits of the cartridge or canister, then employers must set the maximum MUC at that lower limit.
(B) The respirator selected shall be appropriate for the chemical state and physical form of the contaminant.
(C) For protection against gases and vapors, the employer shall provide:
1. An atmosphere-supplying respirator, or
2. An air-purifying respirator, provided that:
a. The respirator is equipped with an end-of-service-life indicator (ESLI) certified by NIOSH for the contaminant; or
b. If there is no ESLI appropriate for conditions in the employer's workplace, the employer implements a change schedule for canisters and cartridges that is based on objective information or data that will ensure that canisters and cartridges are changed before the end of their service life. The employer shall describe in the respirator program the information and data relied upon and the basis for the canister and cartridge change schedule and the basis for reliance on the data.
(D) For protection against particulates, the employer shall provide:
1. An atmosphere-supplying respirator; or
2. An air-purifying respirator equipped with a filter certified by NIOSH under 30 CFR part 11 as a high efficiency particulate air (HEPA) filter, or an air-purifying respirator equipped with a filter certified for particulates by NIOSH under 42 CFR part 84; or
3. For contaminants consisting primarily of particles with mass median aerodynamic diameters (MMAD) of at least 2 micrometers, an air-purifying respirator equipped with any filter certified for particulates by NIOSH.

Table I--Assigned Protection Factors [Reserved]

Table II

Altitude (ft.)  	Oxygen deficient Atmospheres  
	 (% O2) for which the employer may rely 	on atmosphere-supplying respirators

Less than 3,001  	16.0-19.5

3.001-4,000 	16.4-19.5

4,001-5,000  	17.1-19.5

5,001-6,000  	17.8-19.5

6,001-7,000  	18.5-19.5

7,001-8,0001  	19.3-19.5

_______
1Above 8,000 feet the exception does not apply. Oxygen-enriched breathing air must be supplied above 14,000 feet.
(e) Medical evaluation. Using a respirator may place a physiological burden on employees that varies with the type of respirator worn, the job and workplace conditions in which the respirator is used, and the medical status of the employee. Accordingly, this subsection specifies the minimum requirements for medical evaluation that employers must implement to determine the employee's ability to use a respirator.
(1) General. The employer shall provide a medical evaluation to determine the employee's ability to use a respirator, before the employee is fit tested or required to use the respirator in the workplace. The employer may discontinue an employee's medical evaluations when the employee is no longer required to use a respirator.
(2) Medical evaluation procedures.
(A) The employer shall identify a physician or other licensed health care professional (PLHCP) to perform medical evaluations using a medical questionnaire or an initial medical examination that obtains the same information as the medical questionnaire.
(B) The medical evaluation shall obtain the information requested by the questionnaire in Sections 1 and 2, Part A of Appendix C.
Exception to subsection (e)(2)(B): For the use of filtering facepiece respirators for protection against M. Tuberculosis only, the employer may rely upon a medical evaluation completed prior to October 18, 2004, in meeting the requirement for initial medical evaluation, if that evaluation meets the following conditions:
1. The evaluation consisted of a questionnaire, medical examination, or both, evaluated or conducted by a PLHCP; and
2. The employer obtained a written statement from the evaluating PLHCP that the employee is medically able to use a respirator.
(3) Follow-up medical examination.
(A) The employer shall ensure that a follow-up medical examination is provided for an employee who gives a positive response to any question among questions 1 through 8 in Section 2, Part A of Appendix C or whose initial medical examination demonstrates the need for a follow-up medical examination.
(B) The follow-up medical examination shall include any medical tests, consultations, or diagnostic procedures that the PLHCP deems necessary to make a final determination.
(4) Administration of the medical questionnaire and examinations.
(A) The medical questionnaire and examinations shall be administered confidentially during the employee's normal working hours or at a time and place convenient to the employee. The medical questionnaire shall be administered in a manner that ensures that the employee understands its content.
(B) The employer shall provide the employee with an opportunity to discuss the questionnaire and examination results with the PLHCP.
(5) Supplemental information for the PLHCP. 
(A) The following information must be provided to the PLHCP before the PLHCP makes a recommendation concerning an employee's ability to use a respirator:
1. The type and weight of the respirator to be used by the employee;
2. The duration and frequency of respirator use (including use for rescue and escape);
3. The expected physical work effort;
4. Additional protective clothing and equipment to be worn; and
5. Temperature and humidity extremes that may be encountered.
(B) Any supplemental information provided previously to the PLHCP regarding an employee need not be provided for a subsequent medical evaluation if the information and the PLHCP remain the same.
(C) The employer shall provide the PLHCP with a copy of the written respiratory protection program and a copy of this section.
Note to Subsection (e)(5)(C): When the employer replaces a PLHCP, the employer must ensure that the new PLHCP obtains this information, either by providing the documents directly to the PLHCP or having the documents transferred from the former PLHCP to the new PLHCP. However, OSHA does not expect employers to have employees medically reevaluated solely because a new PLHCP has been selected.
(6) Medical determination. In determining the employee's ability to use a respirator, the employer shall:
(A) Obtain a written recommendation regarding the employee's ability to use the respirator from the PLHCP. The recommendation shall provide only the following information:
1. Any limitations on respirator use related to the medical condition of the employee, or relating to the workplace conditions in which the respirator will be used, including whether or not the employee is medically able to use the respirator;
2. The need, if any, for follow-up medical evaluations; and
3. A statement that the PLHCP has provided the employee with a copy of the PLHCP's written recommendation.
(B) If the respirator is a negative pressure respirator and the PLHCP finds a medical condition that may place the employee's health at increased risk if the respirator is used, the employer shall provide a PAPR if the PLHCP's medical evaluation finds that the employee can use such a respirator; if a subsequent medical evaluation finds that the employee is medically able to use a negative pressure respirator, then the employer is no longer required to provide a PAPR.
(7) Additional medical evaluations. At a minimum, the employer shall provide additional medical evaluations that comply with the requirements of this section if:
(A) An employee reports medical signs or symptoms that are related to ability to use a respirator;
(B) A PLHCP, supervisor, or the respirator program administrator informs the employer that an employee needs to be reevaluated;
(C) Information from the respiratory protection program, including observations made during fit testing and program evaluation, indicates a need for employee reevaluation; or
(D) A change occurs in workplace conditions (e.g., physical work effort, protective clothing, temperature) that may result in a substantial increase in the physiological burden placed on an employee.
(f) Fit testing. This subsection requires that, before an employee may be required to use any respirator with a negative or positive pressure tight-fitting facepiece, the employee must be fit tested with the same make, model, style, and size of respirator that will be used. This subsection specifies the kinds of fit tests allowed, the procedures for conducting them, and how the results of the fit tests must be used.
(1) The employer shall ensure that employees using a tight-fitting facepiece respirator pass an appropriate qualitative fit test (QLFT) or quantitative fit test (QNFT) as stated in this subsection.
(2) The employer shall ensure that an employee using a tight-fitting facepiece respirator is fit tested prior to initial use of the respirator, whenever a different respirator facepiece (size, style, model or make) is used, and at least annually thereafter.
(3) The employer shall conduct an additional fit test whenever the employee reports, or the employer, PLHCP, supervisor, or program administrator makes visual observations of, changes in the employee's physical condition that could affect respirator fit. Such conditions include, but are not limited to, facial scarring, dental changes, cosmetic surgery, or an obvious change in body weight.
(4) If after passing a QLFT or QNFT, the employee subsequently notifies the employer, program administrator, supervisor, or PLHCP that the fit of the respirator is unacceptable, the employee shall be given a reasonable opportunity to select a different respirator facepiece and to be retested.
(5) The fit test shall be administered using an OSHA-accepted QLFT or QNFT protocol. The OSHA-accepted QLFT and QNFT protocols and procedures are contained in Appendix A.
(6) QLFT may only be used to fit test negative pressure air-purifying respirators that must achieve a fit factor of 100 or less.
(7) If the fit factor, as determined through an OSHA-accepted QNFT protocol, is equal to or greater than 100 for tight-fitting half facepieces, or equal to or greater than 500 for tight-fitting full facepieces, the QNFT has been passed with that respirator.
(8) Fit testing of tight-fitting atmosphere-supplying respirators and tight-fitting powered air-purifying respirators shall be accomplished by performing quantitative or qualitative fit testing in the negative pressure mode, regardless of the mode of operation (negative or positive pressure) that is used for respiratory protection.
(A) Qualitative fit testing of these respirators shall be accomplished by temporarily converting the respirator user's actual facepiece into a negative pressure respirator with appropriate filters, or by using an identical negative pressure air-purifying respirator facepiece with the same sealing surfaces as a surrogate for the atmosphere-supplying or powered air-purifying respirator facepiece.
(B) Quantitative fit testing of these respirators shall be accomplished by modifying the facepiece to allow sampling inside the facepiece in the breathing zone of the user, midway between the nose and mouth. This requirement shall be accomplished by installing a permanent sampling probe onto a surrogate facepiece, or by using a sampling adapter designed to temporarily provide a means of sampling air from inside the facepiece.
(C) Any modifications to the respirator facepiece for fit testing shall be completely removed, and the facepiece restored to NIOSH-approved configuration, before that facepiece can be used in the workplace.
(g) Use of respirators. This subsection requires employers to establish and implement procedures for the proper use of respirators. These requirements include prohibiting conditions that may result in facepiece seal leakage, preventing employees from removing respirators in hazardous environments, taking actions to ensure continued effective respirator operation throughout the work shift, and establishing procedures for the use of respirators in IDLH atmospheres or in interior structural firefighting situations.
(1) Facepiece seal protection.
(A) The employer shall not permit respirators with tight-fitting facepieces to be worn by employees who have:
1. Facial hair that comes between the sealing surface of the facepiece and the face or that interferes with valve function; or
2. Any condition that interferes with the face-to-facepiece seal or valve function.
(B) If an employee wears corrective glasses or goggles or other personal protective equipment, the employer shall ensure that such equipment is worn in a manner that does not interfere with the seal of the facepiece to the face of the user.
(C) For all tight-fitting respirators, the employer shall ensure that employees perform a user seal check each time they put on the respirator using the procedures in Appendix B-1 or procedures recommended by the respirator manufacturer that the employer demonstrates are as effective as those in Appendix B-1.
(2) Continuing respirator effectiveness.
(A) Appropriate surveillance shall be maintained of work area conditions and degree of employee exposure or stress. When there is a change in work area conditions or degree of employee exposure or stress that may affect respirator effectiveness, the employer shall reevaluate the continued effectiveness of the respirator.
(B) The employer shall ensure that employees leave the respirator use area:
1. To wash their faces and respirator facepieces as necessary to prevent eye or skin irritation associated with respirator use; or
2. If they detect vapor or gas breakthrough, changes in breathing resistance, or leakage of the facepiece; or
3. To replace the respirator or the filter, cartridge, or canister elements.
(C) If the employee detects vapor or gas breakthrough, changes in breathing resistance, or leakage of the facepiece, the employer must replace or repair the respirator before allowing the employee to return to the work area.
(3) Procedures for IDLH atmospheres. For all IDLH atmospheres, the employer shall ensure that:
(A) One employee or, when needed, more than one employee is located outside the IDLH atmosphere;
(B) Visual, voice, or signal line communication is maintained between the employee(s) in the IDLH atmosphere and the employee(s) located outside the IDLH atmosphere;
(C) The employee(s) located outside the IDLH atmosphere are trained and equipped to provide effective emergency rescue;
(D) The employer or designee is notified before the employee(s) located outside the IDLH atmosphere enter the IDLH atmosphere to provide emergency rescue;
(E) The employer or designee authorized to do so by the employer, once notified, provides necessary assistance appropriate to the situation;
(F) Employee(s) located outside the IDLH atmospheres are equipped with:
1. Pressure demand or other positive pressure SCBAs, or a pressure demand or other positive pressure supplied-air respirator with auxiliary SBA; and either
2. Appropriate retrieval equipment for removing the employee(s) who enter(s) these hazardous atmospheres where retrieval equipment would contribute to the rescue of the employee(s) and would not increase the overall risk resulting from entry; or
3. Equivalent means for rescue where retrieval equipment is not required under subsection (g)(3)(F)2.
(4) Procedures for interior structural firefighting. In addition to the requirements set forth under subsection (g)(3), in interior structural fires, the employer shall ensure that:
(A) At least two employees enter the IDLH atmosphere and remain in visual or voice contact with one another at all times;
(B) At least two employees are located outside the IDLH atmosphere; and
(C) All employees engaged in interior structural firefighting use SCBAs.
Note 1 to subsection (g): One of the two individuals located outside the IDLH atmosphere may be assigned to an additional role, such as incident commander in charge of the emergency or safety officer, so long as this individual is able to perform assistance or rescue activities without jeopardizing the safety or health of any firefighter working at the incident.
Note 2 to subsection (g): Nothing in this section is meant to preclude firefighters from performing emergency rescue activities before an entire team has assembled.
(h) Maintenance and care of respirators. This subsection requires the employer to provide for the cleaning and disinfecting, storage, inspection, and repair of respirators used by employees.
(1) Cleaning and disinfecting. The employer shall provide each respirator user with a respirator that is clean, sanitary, and in good working order. The employer shall ensure that respirators are cleaned and disinfected using the procedures in Appendix B-2, or procedures recommended by the respirator manufacturer, provided that such procedures are of equivalent effectiveness. The respirators shall be cleaned and disinfected at the following intervals:
(A) Respirators issued for the exclusive use of an employee shall be cleaned and disinfected as often as necessary to be maintained in a sanitary condition;
(B) Respirators issued to more than one employee shall be cleaned and disinfected before being worn by different individuals;
(C) Respirators maintained for emergency use shall be cleaned and disinfected after each use; and
(D) Respirators used in fit testing and training shall be cleaned and disinfected after each use.
(2) Storage. The employer shall ensure that respirators are stored as follows:
(A) All respirators shall be stored to protect them from damage, contamination, dust, sunlight, extreme temperatures, excessive moisture, and damaging chemicals, and they shall be packed or stored to prevent deformation of the facepiece and exhalation valve.
(B) In addition to the requirements of subsection (h)(2)(A), emergency respirators shall be:
1. Kept accessible to the work area;
2. Stored in compartments or in covers that are clearly marked as containing emergency respirators; and
3. Stored in accordance with any applicable manufacturer instructions.
(3) Inspection.
(A) The employer shall ensure that respirators are inspected as follows:
1. All respirators used in routine situations shall be inspected before each use and during cleaning;
2. All respirators maintained for use in emergency situations shall be inspected at least monthly and in accordance with the manufacturer's recommendations, and shall be checked for proper function before and after each use; and
3. Emergency escape-only respirators shall be inspected before being carried into the workplace for use.
(B) The employer shall ensure that respirator inspections include the following:
1. A check of respirator function, tightness of connections, and the condition of the various parts including, but not limited to, the facepiece, head straps, valves, connecting tube, and cartridges, canisters or filters; and
2. A check of elastomeric parts for pliability and signs of deterioration.
(C) In addition to the requirements of subsections (h)(3)(A) and (B), self-contained breathing apparatus shall be inspected monthly. Air and oxygen cylinders shall be maintained in a fully charged state and shall be recharged when the pressure falls to 90% of the manufacturer's recommended pressure level. The employer shall determine that the regulator and warning devices function properly.
(D) For respirators maintained for emergency use, the employer shall:
1. Certify the respirator by documenting the date the inspection was performed, the name (or signature) of the person who made the inspection, the findings, required remedial action, and a serial number or other means of identifying the inspected respirator; and 
2. Provide this information on a tag or label that is attached to the storage compartment for the respirator, is kept with the respirator, or is included in inspection reports stored as paper or electronic files. This information shall be maintained until replaced following a subsequent certification.
(4) Repairs. The employer shall ensure that respirators that fail an inspection or are otherwise found to be defective are removed from service, and are discarded or repaired or adjusted in accordance with the following procedures:
(A) Repairs or adjustments to respirators are to be made only by persons appropriately trained to perform such operations and shall use only the respirator manufacturer's NIOSH-approved parts designed for the respirator;
(B) Repairs shall be made according to the manufacturer's recommendations and specifications for the type and extent of repairs to be performed; and
(C) Reducing and admission valves, regulators, and alarms shall be adjusted or repaired only by the manufacturer or a technician trained by the manufacturer.
(i) Breathing air quality and use. This subsection requires the employer to provide employees using atmosphere-supplying respirators (supplied-air and SCBA) with breathing gases of high purity.
(1) The employer shall ensure that compressed air, compressed oxygen, liquid air, and liquid oxygen used for respiration accords with the following specifications:
(A) Compressed and liquid oxygen shall meet the United States Pharmacopoeia requirements for medical or breathing oxygen; and
(B) Compressed breathing air shall meet at least the requirements for Grade D breathing air described in ANSI/Compressed Gas Association Commodity Specification for Air, G-7.1-1989, to include:
1. Oxygen content (v/v) of 19.5-23.5%;
2. Hydrocarbon (condensed) content of 5 milligrams per cubic meter of air or less;
3. Carbon monoxide (CO) content of 10 ppm or less;
4. Carbon dioxide content of 1,000 ppm or less; and
5. Lack of noticeable odor.
(2) The employer shall ensure that compressed oxygen is not used in atmosphere-supplying respirators that have previously used compressed air.
(3) The employer shall ensure that oxygen concentrations greater than 23.5% are used only in equipment designed for oxygen service or distribution.
(4) The employer shall ensure that cylinders used to supply breathing air to respirators meet the following requirements:
(A) Cylinders are tested and maintained as prescribed in the Shipping Container Specification Regulations of the Department of Transportation (49 CFR part 180);
(B) Cylinders of purchased breathing air have a certificate of analysis from the supplier that the breathing air meets the requirements for Grade D breathing air; and
(C) The moisture content in the cylinder does not exceed a dew point of -50 deg. F (-45.6 deg. C) at 1 atmosphere pressure.
(D) The employer shall use only the respirator manufacturer's NIOSH approved breathing-gas containers, marked and maintained in accordance with the Quality Assurance provisions of the NIOSH approval for the SCBA as issued in accordance with the NIOSH respirator-certification standard at 42 CFR part 84. 
(5) The employer shall ensure that compressors used to supply breathing air to respirators are constructed and situated so as to:
(A) Prevent entry of contaminated air into the air-supply system;
(B) Minimize moisture content so that the dew point at 1 atmosphere pressure is 10 degrees F (-5.56 deg. C) below the ambient temperature;
(C) Have suitable in-line air-purifying sorbent beds and filters to further ensure breathing air quality. Sorbent beds and filters shall be maintained and replaced or refurbished periodically following the manufacturer's instructions.
(D) Have a tag containing the most recent change date and the signature of the person authorized by the employer to perform the change. The tag shall be maintained at the compressor.
(6) For compressors that are not oil-lubricated, the employer shall ensure that carbon monoxide levels in the breathing air do not exceed 10 ppm.
(7) For oil lubricated compressors, the employer shall use a high-temperature or carbon monoxide alarm, or both, to monitor carbon monoxide levels. If only high-temperature alarms are used, the air supply shall be monitored at intervals sufficient to prevent carbon monoxide in the breathing air from exceeding 10 ppm.
(8) The employer shall ensure that breathing air couplings are incompatible with outlets for nonrespirable worksite air or other gas systems. No asphyxiating substance shall be introduced into breathing air lines.
(9) The employer shall use breathing gas containers marked in accordance with the NIOSH respirator certification standard, 42 CFR part 84.
(j) Identification of filters, cartridges, and canisters. The employer shall ensure that all filters, cartridges and canisters used in the workplace are labeled and color coded with the NIOSH approval label and that the label is not removed and remains legible.
(k) Training and information. This subsection requires the employer to provide effective training to employees who are required to use respirators. The training must be comprehensive, understandable, and recur annually, and more often if necessary. This subsection also requires the employer to provide the basic information on respirators in Appendix D to employees who wear respirators when not required by this section or by the employer to do so.
(1) The employer shall ensure that each employee can demonstrate knowledge of at least the following:
(A) Why the respirator is necessary and how improper fit, usage, or maintenance can compromise the protective effect of the respirator;
(B) What the limitations and capabilities of the respirator are;
(C) How to use the respirator effectively in emergency situations, including situations in which the respirator malfunctions;
(D) How to inspect, put on and remove, use, and check the seals of the respirator;
(E) What the procedures are for maintenance and storage of the respirator;
(F) How to recognize medical signs and symptoms that may limit or prevent the effective use of respirators; and
(G) The general requirements of this section.
(2) The training shall be conducted in a manner that is understandable to the employee.
(3) The employer shall provide the training prior to requiring the employee to use a respirator in the workplace.
(4) An employer who is able to demonstrate that a new employee has received training withing the last 12 months that addresses the elements specified in subsection (k)(1)(A) through (G) is not required to repeat such training provided that, as required by subsection (k)(1), the employee can demonstrate knowledge of those element(s). Previous training not repeated initially by the employer must be provided no later than 12 months from the date of the previous training.
(5) Retraining shall be administered annually, and when the following situations occur:
(A) Changes in the workplace or the type of respirator render previous training obsolete;
(B) Inadequacies in the employee's knowledge or use of the respirator indicate that the employee has not retained the requisite understanding or skill; or
(C) Any other situation arises in which retraining appears necessary to ensure safe respirator use.
(6) The basic advisory information on respirators, as presented in Appendix D, shall be provided by the employer in any written or oral format, to employees who wear respirators when such use is not required by this section or by the employer.
(l) Program evaluation. This section requires the employer to conduct evaluations of the workplace to ensure that the written respiratory protection program is being properly implemented, and to consult employees to ensure that they are using the respirators properly.
(1) The employer shall conduct evaluations of the workplace as necessary to ensure that the provisions of the current written program are being effectively implemented and that it continues to be effective.
(2) The employer shall regularly consult employees required to use respirators to assess the employees' views on program effectiveness and to identify any problems. Any problems that are identified during this assessment shall be corrected. Factors to be assessed include, but are not limited to:
(A) Respirator fit (including the ability to use the respirator without interfering with effective workplace performance);
(B) Appropriate respirator selection for the hazards to which the employee is exposed;
(C) Proper respirator use under the workplace conditions the employee encounters; and
(D) Proper respirator maintenance.
(m) Recordkeeping. This section requires the employer to establish and retain written information regarding medical evaluations, fit testing, and the respirator program. This information will facilitate employee involvement in the respirator program, assist the employer in auditing the adequacy of the program, and provide a record for compliance determinations by OSHA.
(1) Medical evaluation. Records of medical evaluations required by this section must be retained and made available in accordance with section 3204.
(2) Fit testing.
(A) The employer shall establish a record of the qualitative and quantitative fit tests administered to an employee including:
1. The name or identification of the employee tested;
2. Type of fit test performed;
3. Specific make, model, style, and size of respirator tested;
4. Date of test; and
5. The pass/fail results for QLFTs or the fit factor and strip chart recording or other recording of the test results for QNFTs.
(B) Fit test records shall be retained for respirator users until the next fit test is administered.
(3) A written copy of the current respirator program shall be retained by the employer.
(4) Written materials required to be retained under this subsection shall be made available upon request to affected employees and to the Chief or designee for examination and copying.
(n) Effective date. Subsections (d)(3)(A)1 and (d)(3)(A)2 of this section become effective March 6, 2007.
(o) Appendices. Compliance with Appendix A, Appendix B-1, Appendix B-2, Appendix C, and Appendix D is mandatory.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31).
3. Amendment of subsection (g) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
4. Amendment of subsection (e)(1) filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
5. Amendment of subsection (e)(1) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
6. Amendment of subsection (d) filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
7. Amendment of subsection (f)(2) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
8. HISTORY NOTE No. 7 omitted from Register 85, No. 28 due to printing plant error (Register 85, No. 38). 
9. Amendment of subsection (h) filed 3-20-95; operative 4-19-95 (Register 95, No. 12).
10. Amendment of subsection (e)(3) filed 6-29-95; operative 7-29-95 (Register 95, No. 26).
11. Renumbering of former section 5144 to section 5147 and new section filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
12. Change without regulatory effect amending designator for subsection (e)(7) filed 3-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 4).
13. Editorial correction of subsection (h)(4)(A) (Register 2002, No. 46).
14. New exceptions to subsections (e)(2)(B) and (f)(2) filed 10-7-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 3-7-2005 order, including further amendment of exception to subsection (e)(2)(B) and repealer of exception to subsection (f)(2), transmitted to OAL 1-21-2005 and filed 3-7-2005 (Register 2005, No. 10).
16. Amendment of subsections (b), (d)(3)(A)1.-2. and (n) and repealer of subsections (n)(1)-(3) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
17. Amendment of subsection (i)(4)(A) and new subsection (i)(4)(D) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).

Appendix A to Section 5144:   Fit Testing Procedures (Mandatory)

Part I. OSHA-Accepted Fit Test Protocols
A. Fit Testing Procedures--General Requirements. The employer shall conduct fit testing using the following procedures. The requirements in this appendix apply to all OSHA-accepted fit test methods, both QLFT and QNFT.
1. The test subject shall be allowed to pick the most acceptable respirator from a sufficient number of respirator models and sizes so that the respirator is acceptable to, and correctly fits, the user.
2. Prior to the selection process, the test subject shall be shown how to put on a respirator, how it should be positioned on the face, how to set strap tension and how to determine an acceptable fit. A mirror shall be available to assist the subject in evaluating the fit and positioning of the respirator. This instruction may not constitute the subject's formal training on respirator use, because it is only a review.
3. The test subject shall be informed that he/she is being asked to select the respirator that provides the most acceptable fit. Each respirator represents a different size and shape, and if fitted and used properly, will provide adequate protection.
4. The test subject shall be instructed to hold each chosen facepiece up to the face and eliminate those that obviously do not give an acceptable fit.
5. The more acceptable facepieces are noted in case the one selected proves unacceptable; the most comfortable mask is donned and worn at least five minutes to assess comfort. Assistance in assessing comfort can be given by discussing the points in the following item A.6. If the test subject is not familiar with using a particular respirator, the test subject shall be directed to don the mask several times and to adjust the straps each time to become adept at setting proper tension on the straps.
6. Assessment of comfort shall include a review of the following points with the test subject and allowing the test subject adequate time to determine the comfort of the respirator.
(a) Position of the mask on the nose
(b) Room for eye protection
(c) Room to talk
(d) Position of mask on face and cheeks
7. The following criteria shall be used to help determine the adequacy of the respirator fit:
(a) Chin properly placed;
(b) Adequate strap tension, not overly tightened;
(c) Fit across nose bridge;
(d) Respirator of proper size to span distance from nose to chin;
(e) Tendency of respirator to slip;
(f) Self-observation in mirror to evaluate fit and respirator position.
8. The test subject shall conduct a user seal check, either the negative and positive pressure seal checks described in Appendix B-1 or those recommended by the respirator manufacturer which provide equivalent protection to the procedures in Appendix B-1. Before conducting the negative and positive pressure checks, the subject shall be told to seat the mask on the face by moving the head from side-to-side and up and down slowly while taking in a few slow deep breaths. Another facepiece shall be selected and retested if the test subject fails the user seal check tests.
9. The test shall not be conducted if there is any hair growth between the skin and the facepiece sealing surface, such as stubble beard growth, beard, mustache or sideburns which cross the respirator sealing surface. Any type of apparel which interferes with a satisfactory fit shall be altered or removed.
10. If a test subject exhibits difficulty in breathing during the tests, she or he shall be referred to a physician or other licensed health care professional, as appropriate, to determine whether the test subject can wear a respirator while performing her or his duties.
11. If the employee finds the fit of the respirator unacceptable, the test subject shall be given the opportunity to select a different respirator and to be retested.
12. Exercise regimen. Prior to the commencement of the fit test, the test subject shall be given a description of the fit test and the test subject's responsibilities during the test procedure. The description of the process shall include a description of the test exercises that the subject will be performing. The respirator to be tested shall be worn for at least 5 minutes before the start of the fit test.
13. The fit test shall be performed while the test subject is wearing any applicable safety equipment that may be worn during actual respirator use which would interfere with respirator fit.
14. Test Exercises.
(a) Employers must perform the following test exercises for all fit testing methods prescribed in this appendix, except for the CNP quantitative fit testing protocol and the CNP REDON quantitative fit testing protocol. For these two protocols, employers must ensure that the test subjects (i.e., employees) perform the exercise procedure specified in section I.C.4(b) of this appendix for the CNP quantitative fit testing protocol, or the exercise procedure described in section I.C.5(b) of this appendix for the CNP REDON quantitative fit-testing protocol. For the remaining fit testing methods, employers must ensure that employees perform the test exercises in the appropriate test environment in the following manner:
(1) Normal breathing. In a normal standing position, without talking, the subject shall breathe normally.
(2) Deep breathing. In a normal standing position, the subject shall breathe slowly and deeply, taking caution so as not to hyperventilate.
(3) Turning head side to side. Standing in place, the subject shall slowly turn his/her head from side to side between the extreme positions on each side. The head shall be held at each extreme momentarily so the subject can inhale at each side.
(4) Moving head up and down. Standing in place, the subject shall slowly move his/her head up and down. The subject shall be instructed to inhale in the up position (i.e., when looking toward the ceiling).
(5) Talking. The subject shall talk out loud slowly and loud enough so as to be heard clearly by the test conductor. The subject can read from a prepared text such as the Rainbow Passage, count backward from 100, or recite a memorized poem or song.

Rainbow Passage
When the sunlight strikes raindrops in the air, they act like a prism and form a rainbow. The rainbow is a division of white light into many beautiful colors. These take the shape of a long round arch, with its path high above, and its two ends apparently beyond the horizon. There is, according to legend, a boiling pot of gold at one end. People look, but no one ever finds it. When a man looks for something beyond reach, his friends say he is looking for the pot of gold at the end of the rainbow.
(6) Grimace. The test subject shall grimace by smiling or frowning. (This applies only to QNFT testing; it is not performed for QLFT)
(7) Bending over. The test subject shall bend at the waist as if he/she were to touch his/her toes. Jogging in place shall be substituted for this exercise in those test environments such as shroud type QNFT or QLFT units that do not permit bending over at the waist.
(8) Normal breathing. Same as exercise (1).
(b) Each test exercise shall be performed for one minute except for the grimace exercise which shall be performed for 15 seconds. The test subject shall be questioned by the test conductor regarding the comfort of the respirator upon completion of the protocol. If it has become unacceptable, another model of respirator shall be tried. The respirator shall not be adjusted once the fit test exercises begin. Any adjustment voids the test, and the fit test must be repeated.
B. Qualitative Fit Test (QLFT) Protocols
1. General
(a) The employer shall ensure that persons administering QLFT are able to prepare test solutions, calibrate equipment and perform tests properly, recognize invalid tests, and ensure that test equipment is in proper working order.
(b) The employer shall ensure that QLFT equipment is kept clean and well maintained so as to operate within the parameters for which it was designed.
2. Isoamyl Acetate Protocol
Note: This protocol is not appropriate to use for the fit testing of particulate respirators. If used to fit test particulate respirators, the respirator must be equipped with an organic vapor filter.
(a) Odor Threshold Screening. Odor threshold screening, performed without wearing a respirator, is intended to determine if the individual tested can detect the odor of isoamyl acetate at low levels.
(1) Three 1 liter glass jars with metal lids are required.
(2) Odor-free water (e.g., distilled or spring water) at approximately 25 deg. C (77 deg. F) shall be used for the solutions.
(3) The isoamyl acetate (IAA) (also known at isopentyl acetate) stock solution is prepared by adding 1 ml of pure IAA to 800 ml of odor-free water in a 1 liter jar, closing the lid and shaking for 30 seconds. A new solution shall be prepared at least weekly.
(4) The screening test shall be conducted in a room separate from the room used for actual fit testing. The two rooms shall be well-ventilated to prevent the odor of IAA from becoming evident in the general room air where testing takes place.
(5) The odor test solution is prepared in a second jar by placing 0.4 ml of the stock solution into 500 ml of odor-free water using a clean dropper or pipette. The solution shall be shaken for 30 seconds and allowed to stand for two to three minutes so that the IAA concentration above the liquid may reach equilibrium. This solution shall be used for only one day.
(6) A test blank shall by prepared in a third jar by adding 500 cc of odor-free water.
(7) The odor test and test blank jar lids shall be labeled (e.g., 1 and 2) for jar identification. Labels shall be placed on the lids so that they can be peeled off periodically and switched to maintain the integrity of the test.
(8) The following instruction shall be typed on a card and placed on the table in front of the two test jars (i.e., 1 and 2): “The purpose of this test is to determine if you can smell banana oil at a low concentration. The two bottles in front of you contain water. One of these bottles also contains a small amount of banana oil. Be sure the covers are on tight, then shake each bottle for two seconds. Unscrew the lid of each bottle, one at a time, and sniff at the mouth of the bottle. Indicate to the test conductor which bottle contains banana oil.”
(9) The mixtures used in the IAA odor detection test shall be prepared in an area separate from where the test is performed, in order to prevent olfactory fatigue in the subject.
(10) If the test subject is unable to correctly identify the jar containing the odor test solution, the IAA qualitative fit test shall not be performed.
(11) If the test subject correctly identifies the jar containing the odor test solution, the test subject may proceed to respirator selection and fit testing.
(b) Isoamyl Acetate Fit Test
(1) The fit test chamber shall be a clear 55-gallon drum liner suspended inverted over a 2-foot diameter frame so that the top of the chamber is about 6 inches above the test subject's head. If no drum liner is available, a similar chamber shall be constructed using plastic sheeting. The inside top center of the chamber shall have a small hook attached.
(2) Each respirator used for the fitting and fit testing shall be equipped with organic vapor cartridges or offer protection against organic vapors.
(3) After selecting, donning, and properly adjusting a respirator, the test subject shall wear it to the fit testing room. This room shall be separate from the room used for odor threshold screening and respirator selection, and shall be well-ventilated, as by an exhaust fan or lab hood, to prevent general room contamination.
(4) A copy of the test exercises and any prepared text from which the subject is to read shall be taped to the inside of the test chamber.
(5) Upon entering the test chamber, the test subject shall be given a 6-inch by 5-inch piece of paper towel, or other porous, absorbent, single-ply material, folded in half and wetted with 0.75 ml of pure IAA. The test subject shall hang the wet towel on the hook at the top of the chamber. An IAA test swab or ampule may be substituted for the IAA wetted paper towel provided it has been demonstrated that the alternative IAA source will generate an IAA test atmosphere with a concentration equivalent to that generated by the paper towel method.
(6) Allow two minutes for the IAA test concentration to stabilize before starting the fit test exercises. This would be an appropriate time to talk with the test subject; to explain the fit test, the importance of his/her cooperation, and the purpose for the test exercises; or to demonstrate some of the exercises.
(7) If at any time during the test, the subject detects the banana-like odor of IAA, the test is failed. The subject shall quickly exit from the test chamber and leave the test area to avoid olfactory fatigue.
(8) If the test is failed, the subject shall return to the selection room and remove the respirator. The test subject shall repeat the odor sensitivity test, select and put on another respirator, return to the test area and again begin the fit test procedure described in (b) (1) through (7) above. The process continues until a respirator that fits well has been found. Should the odor sensitivity test be failed, the subject shall wait at least 5 minutes before retesting. Odor sensitivity will usually have returned by this time.
(9) If the subject passes the test, the efficiency of the test procedure shall be demonstrated by having the subject break the respirator face seal and take a breath before exiting the chamber.
(10) When the test subject leaves the chamber, the subject shall remove the saturated towel and return it to the person conducting the test, so that there is no significant IAA concentration buildup in the chamber during subsequent tests. The used towels shall be kept in a self-sealing plastic bag to keep the test area from being contaminated.
3. Saccharin Solution Aerosol Protocol. The entire screening and testing procedure shall be explained to the test subject prior to the conduct of the screening test.
(a) Taste threshold screening. The saccharin taste threshold screening, performed without wearing a respirator, is intended to determine whether the individual being tested can detect the taste of saccharin.
(1) During threshold screening as well as during fit testing, subjects shall wear an enclosure about the head and shoulders that is approximately 12 inches in diameter by 14 inches tall with at least the front portion clear and that allows free movements of the head when a respirator is worn. An enclosure substantially similar to the 3M hood assembly, parts # FT 14 and # FT 15 combined, is adequate.
(2) The test enclosure shall have a 3/4-inch (1.9 cm) hole in front of the test subject's nose and mouth area to accommodate the nebulizer nozzle.
(3) The test subject shall don the test enclosure. Throughout the threshold screening test, the test subject shall breathe through his/her slightly open mouth with tongue extended. The subject is instructed to report when he/she detects a sweet taste.
(4) Using a DeVilbiss Model 40 Inhalation Medication Nebulizer or equivalent, the test conductor shall spray the threshold check solution into the enclosure. The nozzle is directed away from the nose and mouth of the person. This nebulizer shall be clearly marked to distinguish it from the fit test solution nebulizer.
(5) The threshold check solution is prepared by dissolving 0.83 gram of sodium saccharin USP in 100 ml of warm water. It can be prepared by putting 1 ml of the fit test solution (see (b)(5) below) in 100 ml of distilled water.
(6) To produce the aerosol, the nebulizer bulb is firmly squeezed so that it collapses completely, then released and allowed to fully expand.
(7) Ten squeezes are repeated rapidly and then the test subject is asked whether the saccharin can be tasted. If the test subject reports tasting the sweet taste during the ten squeezes, the screening test is completed. The taste threshold is noted as ten regardless of the number of squeezes actually completed.
(8) If the first response is negative, ten more squeezes are repeated rapidly and the test subject is again asked whether the saccharin is tasted. If the test subject reports tasting the sweet taste during the second ten squeezes, the screening test is completed. The taste threshold is noted as twenty regardless of the number of squeezes actually completed.
(9) If the second response is negative, ten more squeezes are repeated rapidly and the test subject is again asked whether the saccharin is tasted. If the test subject reports tasting the sweet taste during the third set of ten squeezes, the screening test is completed. The taste threshold is noted as thirty regardless of the number of squeezes actually completed.
(10) The test conductor will take note of the number of squeezes required to solicit a taste response.
(11) If the saccharin is not tasted after 30 squeezes (step 10), the test subject is unable to taste saccharin and may not perform the saccharin fit test.
Note to subsection 3. (a): If the test subject eats or drinks something sweet before the screening test, he/she may be unable to taste the weak saccharin solution.
(12) If a taste response is elicited, the test subject shall be asked to take note of the taste for reference in the fit test.
(13) Correct use of the nebulizer means that approximately 1 ml of liquid is used at a time in the nebulizer body.
(14) The nebulizer shall ge thoroughly rinsed in water, shaken dry, and refilled at least each morning and afternoon or at least every four hours.
(b) Saccharin solution aerosol fit test procedure.
(1) The test subject may not eat, drink (except for plain water), smoke, or chew gum for 15 minutes before the test.
(2) The fit test uses the same enclosure described in 3. (a) above.
(3) The test subject shall don the enclosure while wearing the respirator selected in section I. A. of this appendix. The respirator shall be properly adjusted and equipped with a particulate filter(s).
(4) A second DeVilbiss Model 40 Inhalation Medication Nebulizer or equivalent is used to spray the fit test solution into the enclosure. This nebulizer shall be clearly marked to distinguish it from the screening test solution nebulizer.
(5) The fit test solution is prepared by adding 83 grams of sodium saccharin to 100 ml of warm water.
(6) As before, the test subject shall breathe through the slightly open mouth with the tongue extended, and report if he/she tastes the sweet taste of saccharin.
(7) The nebulizer is inserted into the hole in the front of the enclosure and an initial concentration of saccharin fit test solution is sprayed into the enclosure using the same number of squeezes (either 10, 20 or 30 squeezes) based on the number of squeezes required to elicit a taste response as noted during the screening test. A minimum of 10 squeezes is required.
(8) After generating the aerosol, the test subject shall be instructed to perform the exercises in section I. A. 14. of this appendix.
(9) Every 30 seconds the aerosol concentration shall be replenished using one half the original number of squeezes used initially (e.g., 5, 10, or 15).
(10) The test subject shall indicate to the test conductor if at any time during the fit test the taste of saccharin is detected. If the test subject does not report tasting the saccharin, the test is passed.
(11) If the taste of saccharin is detected, the fit is deemed unsatisfactory and the test is failed. A different respirator shall be tried and the entire test procedure is repeated (taste threshold screening and fit testing).
(12) Since the nebulizer has a tendency to clog during use, the test operator must make periodic checks of the nebulizer to ensure that it is not clogged. If clogging is found at the end of the test session, the test is invalid.
4. BitrexTM (Denatonium Benzoate) Solution Aerosol Qualitative Fit Test Protocol. The BitrexTM (Denatonium benzoate) solution aerosol QLFT protocol uses the published saccharin test protocol because that protocol is widely accepted. Bitrex is routinely used as a taste aversion agent in household liquids which children should not be drinking and is endorsed by the American Medical Association, the National Safety Council, and the American Association of Poison Control Centers. The entire screening and testing procedure shall be explained to the test subject prior to the conduct of the screening test.
(a) Taste Threshold Screening. The Bitrex taste threshold screening, performed without wearing a respirator, is intended to determine whether the individual being tested can detect the taste of Bitrex.
(1) During threshold screening as well as during fit testing, subjects shall wear an enclosure about the head and shoulders that is approximately 12 inches (30.5 cm) in diameter by 14 inches (35.6 cm) tall. The front portion of the enclosure shall be clear from the respirator and allow free movement of the head when a respirator is worn. An enclosure substantially similar to the 3M hood assembly, parts #14 and #15 combined, is adequate.
(2) The test enclosure shall have a 3/4 inch (1.9 cm) hole in front of the test subject's nose and mouth area to accommodate the nebulizer nozzle.
(3) The test subject shall don the test enclosure. Throughout the threshold screening test, the test subject shall breathe through his or her slightly open mouth with tongue extended. The subject is instructed to report when he/she detects a bitter taste.
(4) Using a DeVilbiss Model 40 Inhalation Medication Nebulizer or equivalent, the test conductor shall spray the Threshold Check Solution into the enclosure. This Nebulizer shall be clearly marked to distinguish it from the fit test solution nebulizer.
(5) The Threshold Check Solution is prepared by adding 13.5 milligrams of Bitrex to 100 ml of 5% salt (NaCl) solution in distilled water.
(6) To produce the aerosol, the nebulizer bulb is firmly squeezed so that the bulb collapses completely, and is then released and allowed to fully expand.
(7) An initial ten squeezes are repeated rapidly and then the test subject is asked whether the Bitrex can be tasted. If the test subject reports tasting the bitter taste during the ten squeezes, the screening test is completed. The taste threshold is noted as ten regardless of the number of squeezes actually completed.
(8) If the first response is negative, ten more squeezes are repeated rapidly and the test subject is again asked whether the Bitrex is tasted. If the test subject reports tasting the bitter taste during the second ten squeezes, the screening test is completed. The taste threshold is noted as twenty regardless of the number of squeezes actually completed.
(9) If the second response is negative, ten more squeezes are repeated rapidly and the test subject is again asked whether the Bitrex is tasted. If the test subject reports tasting the bitter taste during the third set of ten squeezes, the screening test is completed. The taste threshold is noted as thirty regardless of the number of squeezes actually completed.
(10) The test conductor will take note of the number of squeezes required to solicit a taste response.
(11) If the Bitrex is not tasted after 30 squeezes (step 10), the test subject is unable to taste Bitrex and may not perform the Bitrex fit test.
(12) If a taste response is elicited, the test subject shall be asked to take note of the taste for reference in the fit test.
(13) Correct use of the nebulizer means that approximately 1 ml of liquid is used at a time in the nebulizer body.
(14) The nebulizer shall be thoroughly rinsed in water, shaken to dry, and refilled at least each morning and afternoon or at least every four hours.
(b) Bitrex Solution Aerosol Fit Test Procedure.
(1) The test subject may not eat, drink (except plain water), smoke, or chew gum for 15 minutes before the test.
(2) The fit test uses the same enclosure as that described in 4. (a) above.
(3) The test subject shall don the enclosure while wearing the respirator selected according to section I. A. of this appendix. The respirator shall be properly adjusted and equipped with any type particulate filter(s).
(4) A second DeVilbiss Model 40 Inhalation Medication Nebulizer or equivalent is used to spray the fit test solution into the enclosure. This nebulizer shall not be clearly marked to distinguish it from the screening test solution nebulizer.
(5) The fit test solution is prepared by adding 337.5 mg of Bitrex to 200 ml of a 5% salt (NaCl) solution in warm water.
(6) As before, the test subject shall breathe through his or her slightly open mouth with tongue extended, and be instructed to report if he/she tastes the bitter taste of Bitrex.
(7) The nebulizer is inserted into the hole in the front of the enclosure and an initial concentration of the fit test solution is sprayed into the enclosure using the same number of squeezes (either 10, 20 or 30 squeezes) based on the number of squeezes required to elicit a taste response as noted during the screening test.
(8) After generating the aerosol, the test subject shall be instructed to perform the exercises in section I. A. 14. of this appendix.
(9) Every 30 seconds the aerosol concentration shall be replenished using one half the number of squeezes used initially (e.g., 5, 10 or 15).
(10) The test subject shall indicate to the test conductor if at any time during the fit test the taste of Bitrex is detected. If the test subject does not report tasting the Bitrex, the test is passed.
(11) If the taste of Bitrex is detected, the fit is deemed unsatisfactory and the test is failed. A different respirator shall be tried and the entire test procedure is repeated (taste threshold screening and fit testing).
5. Irritant Smoke (Stannic Chloride) Protocol. This qualitative fit test uses a person's response to the irritating chemicals released in the “smoke” produced by a stannic chloride ventilation smoke tube to detect leakage into the respirator.
(a) General Requirements and Precautions.
(1) The respirator to be tested shall be equipped with high efficiency particulate air (HEPA) or P100 series filter(s).
(2) Only stannic chloride smoke tubes shall be used for this protocol.
(3) No form of test enclosure or hood for the test subject shall be used.
(4) The smoke can be irritating to the eyes, lungs, and nasal passages. The test conductor shall take precautions to minimize the test subject's exposure to irritant smoke. Sensitivity varies, and certain individuals may respond to a greater degree to irritant smoke. Care shall be taken when performing the sensitivity screening checks that determine whether the test subject can detect irritant smoke to use only the minimum amount of smoke necessary to elicit a response from the test subject.
(5) The fit test shall be performed in an area with adequate ventilation to prevent exposure of the person conducting the fit test or the build-up of irritant smoke in the general atmosphere.
(b) Sensitivity Screening Check. The person to be tested must demonstrate his or her ability to detect a weak concentration of the irritant smoke.
(1) The test operator shall break both ends of a ventilation smoke tube containing stannic chloride, and attach one end of the smoke tube to a low flow air pump set to deliver 200 milliliters per minute, or an aspirator squeeze bulb. The test operator shall cover the other end of the smoke tube with a short piece of tubing to prevent potential injury from the jagged end of the smoke tube.
(2) The test operator shall advise the test subject that the smoke can be irritating to the eyes, lungs, and nasal passages and instruct the subject to keep his/her eyes closed while the test is performed.
(3) The test subject shall be allowed to smell a weak concentration of the irritant smoke before the respirator is donned to become familiar with its irritating properties and to determine if he/she can detect the irritating properties of the smoke. The test operator shall carefully direct a small amount of the irritant smoke in the test subject's direction to determine that he/she can detect it.
(c) Irritant Smoke Fit Test Procedure
(1) The person being fit tested shall don the respirator without assistance, and perform the required user seal check(s).
(2) The test subject shall be instructed to keep his/her eyes closed.
(3) The test operator shall direct the stream of irritant smoke from the smoke tube toward the faceseal area of the test subject, using the low flow pump or the squeeze bulb. The test operator shall begin at least 12 inches from the facepiece and move the smoke stream around the whole perimeter of the mask. The operator shall gradually make two more passes around the perimeter of the mask, moving to within six inches of the respirator.
(4) If the person being tested has not had an involuntary response and/or detected the irritant smoke, proceed with the test exercises.
(5) The exercises identified in section I.A. 14. of this appendix shall be performed by the test subject while the respirator seal is being continually challenged by the smoke, directed around the perimeter of the respirator at a distance of six inches.
(6) If the person being fit tested reports detecting the irritant smoke at any time, the test is failed. The person being retested must repeat the entire sensitivity check and fit test procedure.
(7) Each test subject passing the irritant smoke test without evidence of a response (involuntary cough, irritation) shall be given a second sensitivity screening check, with the smoke from the same smoke tube used during the fit test, once the respirator has been removed, to determine whether he/she still reacts to the smoke. Failure to evoke a response shall void the fit test.
(8) If a response is produced during this second sensitivity check, then the fit test is passed.
C. Quantitative Fit Test (QNFT) Protocols. The following quantitative fit testing procedures have been demonstrated to be acceptable: Quantitative fit testing using a non-hazardous test aerosol (such as corn oil, polyethylene glycol 400 [PEG 400], di-2-ethyl hexyl sebacate [DEHS], or sodium chloride) generated in a test chamber, and employing instrumentation to quantify the fit of the respirator; Quantitative fit testing using ambient aerosol as the test agent and appropriate instrumentation (condensation nuclei counter) to quantify the respirator fit; Quantitative fit testing using controlled negative pressure and appropriate instrumentation to measure the volumetric leak rate of a facepiece to quantify the respirator fit.
1. General
(a) The employer shall ensure that persons administering QNFT are able to calibrate equipment and perform tests properly, recognize invalid tests, calculate fit factors properly and ensure that test equipment is in proper working order.
(b) The employer shall ensure that QNFT equipment is kept clean, and is maintained and calibrated according to the manufacturer's instructions so as to operate at the parameters for which it was designed.
2. Generated Aerosol Quantitative Fit Testing Protocol
(a) Apparatus.
(1) Instrumentation. Aerosol generation, dilution, and measurement systems using particulates (corn oil, polyethylene glycol 400 [PEG 400], di-2-ethyl hexyl sebacate [DEHS] or sodium chloride) as test aerosols shall be used for quantitative fit testing. 
(2) Test chamber. The test chamber shall be large enough to permit all test subjects to perform freely all required exercises without disturbing the test agent concentration or the measurement apparatus. The test chamber shall be equipped and constructed so that the test agent is effectively isolated from the ambient air, yet uniform in concentration throughout the chamber.
(3) When testing air-purifying respirators, the normal filter or cartridge element shall be replaced with a high efficiency particulate air (HEPA) or P100 series filter supplied by the same manufacturer.
(4) The sampling instrument shall be selected so that a computer record or strip chart record may be made of the test showing the rise and fall of the test agent concentration with each inspiration and expiration at fit factors of at least 2,000. Integrators or computers that integrate the amount of test agent penetration leakage into the respirator for each exercise may be used provided a record of the readings is made.
(5) The combination of substitute air-purifying elements, test agent and test agent concentration shall be such that the test subject is not exposed in excess of an established exposure limit for the test agent at any time during the testing process, based upon the length of the exposure and the exposure limit duration.
(6) The sampling port on the test specimen respirator shall be placed and constructed so that no leakage occurs around the port (e.g., where the respirator is probed), a free air flow is allowed into the sampling line at all times, and there is no interference with the fit or performance of the respirator. The in-mask sampling device (probe) shall be designed and used to that the air sample is drawn from the breathing zone of the test subject, midway between the nose and mouth and with the probe extending into the facepiece cavity at least 1/4 inch.
(7) The test setup shall permit the person administering the test to observe the test subject inside the chamber during the test.
(8) The equipment generating the test atmosphere shall maintain the concentration of test agent constant to within a 10 percent variation for the duration of the test.
(9) The time lag (interval between an event and the recording of the event on the strip chart or computer or integrator) shall be kept to a minimum. There shall be a clear association between the occurrence of an event and its being recorded.
(10) The sampling line tubing for the test chamber atmosphere and for the respirator sampling port shall be of equal diameter and of the same material. The length of the two lines shall be equal.
(11) The exhaust flow from the test chamber shall pass through an appropriate filter (i.e., high efficiency particulate filter) before release.
(12) When sodium chloride aerosol is used, the relative humidity inside the test chamber shall not exceed 50 percent.
(13) The limitations of instrument detection shall be taken into account when determining the fit factor.
(14) Test respirators shall be maintained in proper working order and be inspected regularly for deficiencies such as cracks or missing valves and gaskets.
(b) Procedural Requirements.
(1) When performing the initial user seal check using a positive or negative pressure check, the sampling line shall be crimped closed in order to avoid air pressure leakage during either of these pressure checks.
(2) The use of an abbreviated screening QLFT test is optional. Such a test may be utilized in order to quickly identify poor fitting respirators that passed the positive and/or negative pressure test and reduce the amount of QNFT time. The use of the CNC QNFT instrument in the count mode is another optional method to obtain a quick estimate of fit and eliminate poor fitting respirators before going on to perform a full QNFT.
(3) A reasonably stable test agent concentration shall be measured in the test chamber prior to testing. For canopy or shower curtain types of test units, the determination of the test agent's stability may be established after the test subject has entered the test environment.
(4) Immediately after the subject enters the test chamber, the test agent concentration inside the respirator shall be measured to ensure that the peak penetration does not exceed 5 percent for a half mask or 1 percent for a full facepiece respirator.
(5) A stable test agent concentration shall be obtained prior to the actual start of testing.
(6) Respirator restraining straps shall not be over-tightened for testing. The straps shall be adjusted by the wearer without assistance from other persons to give a reasonably comfortable fit typical of normal use. The respirator shall not be adjusted once the fit test exercises begin.
(7) The test shall be terminated whenever any single peak penetration exceeds 5 percent for half masks and 1 percent for full facepiece respirators. The test subject shall be refitted and retested.
(8) Calculation of fit factors.
(i) The fit factor shall be determined for the quantitative fit test by taking the ratio of the average chamber concentration to the concentration measured inside the respirator for each test exercise except the grimace exercise.
(ii) The average test chamber concentration shall be calculated as the arithmetic average of the concentration measured before and after each test (i.e., 7 exercises) or the arithmetic average of the concentration measured before and after each exercise or the true average measured continuously during the respirator sample.
(iii) The concentration of the challenge agent inside the respirator shall be determined by one of the following methods:
(A) Average peak penetration method means the method of determining test agent penetration into the respirator utilizing a strip chart recorder, integrator, or computer. The agent penetration is determined by an average of the peak heights on the graph or by computer integration, for each exercise except the grimace exercise. Integrators or computers that calculate the actual test agent penetration into the respirator for each exercise will also be considered to meet the requirements of the average peak penetration method.
(B) Maximum peak penetration method means the method of determining test agent penetration in the respirator as determined by strip chart recordings of the test. The highest peak penetration for a given exercise is taken to be representative of average penetration into the respirator for that exercise.
(C) Integration by calculation of the area under the individual peak for each exercise except the grimace exercise. This includes computerized integration.
(D) The calculation of the overall fit factor using individual exercise fit factors involves first converting the exercise fit factors to penetration values, determining the average, and then converting that result back to a fit factor. This procedure is described in the following equation:

View Graphic
(9) The test subject shall not be permitted to wear a half mask or quarter facepiece respirator unless a minimum fit factor of 100 is obtained, or a full facepiece respirator unless a minimum fit factor of 500 is obtained.
(10) Filters used for quantitative fit testing shall be replaced whenever increased breathing resistance is encountered, or when the test agent has altered the integrity of the filter media.
3. Ambient aerosol condensation nuclei counter (CNC) quantitative fit testing protocol. The ambient aerosol condensation nuclei counter (CNC) quantitative fit testing (Portacount TM) protocol quantitatively fit tests respirators with the use of a probe. The probed respirator is only used for quantitative fit tests. A probed respirator has a special sampling device, installed on the respirator, that allows the probe to sample the air from inside the mask. A probed respirator is required for each make, style, model, and size that the employer uses and can be obtained from the respirator manufacturer or distributor. The CNC instrument manufacturer, TSI Inc., also provides probe attachments (TSI sampling adapters) that permit fit testing in an employee's own respirator. A minimum fit factor pass level of at least 100 is necessary for a half-mask respirator and a minimum fit factor pass level of at least 500 is required for a full facepiece negative pressure respirator. The entire screening and testing procedure shall be explained to the test subject prior to the conduct of the screening test.
(a) Portacount Fit Test Requirements.
(1) Check the respirator to make sure the sampling probe and line are properly attached to the facepiece and that the respirator is fitted with a particulate filter capable of preventing significant penetration by the ambient particles used by the fit test (e.g. NIOSH 42 CFR 84 series 100, 99 or 95 particulate filter) per manufacturer's instruction.
(2) Instruct the person to be tested to don the respirator for five minutes before the fit test starts. This purges the ambient particles trapped inside the respirator and permits the wearer to make certain the respirator is comfortable. This individual shall already have been trained on how to wear the respirator properly.
(3) Check the following conditions for the adequacy of the respirator fit: Chin properly placed; Adequate strap tension, not overly tightened; Fit across nose bridge; Respirator of proper size to span distance from nose to chin; Tendency of the respirator to slip; Self-observation in a mirror to evaluate fit and respirator position.
(4) Have the person wearing the respirator do a user seal check. If leakage is detected, determine the cause. If leakage is from a poorly fitting facepiece, try another size of the same model respirator, or another model of respirator.
(5) Follow the manufacturer's instruction for operating the Portacount and proceed with the test.
(6) the test subject shall be instructed to perform the exercises in section I. A. 14. of this appendix.
(7) After the test exercises, the test subject shall be questioned by the test conductor regarding the comfort of the respirator upon completion of the protocol. If it has become unacceptable, another model of respirator shall be tried.
(b) Portacount Test Instrument.
(1) The Portacount will automatically stop and calculate the overall fit factor for the entire set of exercises. The overall fit factor is what counts. The Pass or Fail message will indicate whether or not the test was successful. If the test was a Pass, the fit test is over.
(2) Since the pass or fail criterion of the Portacount is user programmable, the test operator shall ensure that the pass or fail criterion meet the requirements for minimum respirator performance in this Appendix.
(3) A record of the test needs to be kept on file, assuming the fit test was successful. The record must contain the test subject's name; overall fit factor; make, model, style, and size of respirator used; and date tested.
4. Controlled negative pressure (CNP) quantitative fit testing protocol. The CNP protocol provides an alternative to aerosol fit test methods. The CNP fit test method technology is based on exhausting air from a temporarily sealed respirator facepiece to generate and then maintain a constant negative pressure inside the facepiece. The rate of air exhaust is controlled so that a constant negative pressure is maintained in the respirator during the fit test. The level of pressure is selected to replicate the mean inspiratory pressure that causes leakage into the respirator under normal use conditions. With pressure held constant, air flow out of the respirator is equal to air flow into the respirator. Therefore, measurement of the exhaust stream that is required to hold the pressure in the temporarily sealed respirator constant yields a direct measure of leakage air flow into the respirator. The CNP fit test method measures leak rates through the facepiece as a method for determining the facepiece fit for negative pressure respirators. The CNP instrument manufacturer Occupational Health Dynamics of Birmingham, Alabama also provides attachments (sampling manifolds) that replace the filter cartridges to permit fit testing in an employee's own respirator. To perform the test, the test subject closes his or her mouth and holds his/her breath, after which an air pump removes air from the respirator facepiece at a pre-selected constant pressure. The facepiece fit is expressed as the leak rate through the facepiece, expressed as milliliters per minute. The quality and validity of the CNP fit tests are determined by the degree to which the in-mask pressure tracks the test pressure during the system measurement time of approximately five seconds. Instantaneous feedback in the form of a real-time pressure trace of the in-mask pressure is provided and used to determine test validity and quality. A minimum fit factor pass level of 100 is necessary for a half-mask respirator and a minimum fit factor of at least 500 is required for a full facepiece respirator. The entire screening and testing procedure shall be explained to the test subject prior to conduct of the screening test.
(a) CNP Fit Test Requirements.
(1) The instrument shall have a non-adjustable test pressure of 15.0 mm water pressure.
(2) The CNP system defaults selected for test pressure shall be set at -15 mm of water (-0.58 inches of water) and the modeled inspiratory flow rate shall be 53.8 liters per minute for performing fit tests.
(Note: CNP systems have built-in capability to conduct fit testing that is specific to unique work rate, mask, and gender situations that might apply in a specific workplace. Use of system default values, which were selected to represent respirator wear with medium cartridge resistance at a low-moderate work rate, will allow inter-test comparison of the respirator fit.)
(3) The individual who conducts the CNP fit testing shall be thoroughly trained to perform the test.
(4) The respirator filter or cartridge needs to be replaced with the CNP test manifold. The inhalation valve downstream from the manifold either needs to be temporarily removed or propped open.
(5) The employer must train the test subject to hold his or her breath for at least 10 seconds.
(6) The test subject must don the test respirator without any assistance from the test administrator who is conducting the CNP fit test. The respirator must not be adjusted once the fit-test exercises begin. Any adjustment voids the test, and the test subject must repeat the fit test.
(7) The QNFT protocol shall be followed according to section I. C. 1. of this appendix.
(b) CNP Test Exercises.
(1) Normal breathing. In a normal standing position, without talking, the subject shall breathe normally for 1 minute. After the normal breathing exercise, the subject needs to hold head straight ahead and hold his or her breath for 10 seconds during the test measurement.
(2) Deep breathing. In a normal standing position, the subject shall breathe slowly and deeply for 1 minute, being careful not to hyperventilate. After the deep breathing exercise, the subject shall hold his or her head straight ahead and hold his or her breath for 10 seconds during test measurement.
(3) Turning head side to side. Standing in place, the subject shall slowly turn his or her head from side to side between the extreme positions on each side for 1 minute. The head shall be held at each extreme momentarily so the subject can inhale at each side. After the turning head side to side exercise, the subject needs to hold head full left and hold his or her breath for 10 seconds during test measurement. Next, the subject needs to hold head full right and hold his or her breath for 10 seconds during test measurement.
(4) Moving head up and down. Standing in place, the subject shall slowly move his or her head up and down for 1 minute. The subject shall be instructed to inhale in the up position (i.e., when looking toward the ceiling). After the moving head up and down exercise, the subject shall hold his or her head full up and hold his or her breath for 10 seconds during test measurement. Next, the subject shall hold his or her head full down and hold his or her breath for 10 seconds during test measurement.
(5) Talking. The subject shall talk out loud slowly and loud enough so as to be heard clearly by the test conductor. The subject can read from a prepared text such as the Rainbow Passage, count backward from 100, or recite a memorized poem or song for 1 minute. After the talking exercise, the subject shall hold his or her head straight ahead and hold his or her breath for 10 seconds during the test measurement.
(6) Grimace. The test subject shall grimace by smiling or frowning for 15 seconds.
(7) Bending Over. The test subject shall bend at the waist as if he or she were to touch his or her toes for 1 minute. Jogging in place shall be substituted for this exercise in those test environments such as shroud-type QNFT units that prohibit bending at the waist. After the bending over exercise, the subject shall hold his or her head straight ahead and hold his or her breath for 10 seconds during the test measurement.
(8) Normal Breathing. The test subject shall remove and re-don the respirator within a one-minute period. Then, in a normal standing position, without talking, the subject shall breathe normally for 1 minute. After the normal breathing exercise, the subject shall hold his or her head straight ahead and hold his or her breath for 10 seconds during the test measurement. After the test exercises, the test subject shall be questioned by the test conductor regarding the comfort of the respirator upon completion of the protocol. If it has become unacceptable, another model of a respirator shall be tried.
(c) CNP Test Instrument.
(1) The test instrument must have an effective audio warning device, or a visual-warning device in the form of a screen tracing, that indicates when the test subject fails to hold his or her breath during the test. The test shall be terminated and restarted from the beginning when the test subject fails to hold his or her breath during the test. The test subject then may be refitted and retested.
(2) A record of the test shall be kept on file, assuming the fit test was successful. The record must contain the test subject's name; overall fit factor; make, model, style and size of respirator used; and date tested.
5. Controlled negative pressure (CNP) REDON quantitative fit testing protocol.
(a) CNP REDON Fit Test Requirements. When administering the CNP REDON protocol to test subjects, employers must comply with the CNP fit test requirements specified in section I.C.4.(a) of this appendix.
(b) CNP REDON Test Exercises.
(1) Employers must ensure that each test subject being fit tested using this protocol follows the exercise and measurement procedures, including the order of administration, described below in Table A-1 of this appendix.
Table A-1. -- CNP REDON Quantitative Fit Testing Protocol

View Graphic
(2) After completing the test exercises, the test administrator must question each test subject regarding the comfort of the respirator. When a test subject states that the respirator is unacceptable, the employer must ensure that the test administrator repeats the protocol using another respirator model.
(3) Employers must determine the overall fit factor for each test subject by calculating the harmonic mean of the fit testing exercise as follows:

View Graphic
(c) CNP REDON Test Instrument. When administering the CNP REDON protocol to test subjects, employers must comply with the CNP test instrument requirements specified in section I.C.4.(c) of this appendix.
Part II. New Fit Test Protocols
A. Any person may submit to OSHA an application for approval of a new fit test protocol. If the application meets the following criteria, OSHA will initiate a rulemaking proceeding under section 6(b)(7) of the OSH Act to determine whether to list the new protocol as an approved protocol in this Appendix A.
B. The application must include a detailed description of the proposed new fit test protocol. This application must be supported by either:
1. A test report prepared by an independent government research laboratory (e.g., Lawrence Livermore National Laboratory, Los Alamos National Laboratory, the National Institute for Standards and Technology) stating that the laboratory has tested the protocol and had found it to be accurate and reliable; or 
2. An article that has been published in a peer-reviewed industrial hygiene journal describing the protocol and explaining how test data support the protocol's accuracy and reliability.
C. If OSHA determines that additional information is required before the Agency commences a rulemaking proceeding under this section, OSHA will so notify the applicant and afford the applicant the opportunity to submit the supplemental information. Initiation of a rulemaking proceeding will be deferred until OSHA has received and evaluated the supplemental information.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix A to section 5144 filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
2. Editorial correction amending subsection B.5.(a)(1) (Register 99, No. 8).
3. Amendment of subsections I.A.14., I.C.4., I.C.4.(a)(5)-(7) and I.C.4.(c)(1) and new subsections I.C.5.-I.C.5.c. filed 1-26-2005; operative 1-26-2005. Submitted to OAL for printing only pursuant to Labor Code 142.3(a)(3) (Register 2005, No. 4).

Appendix B-1 to Section 5144:    User Seal Check Procedures (Mandatory)
The individual who uses a tight-fitting respirator is to perform a user seal check to ensure that an adequate seal is achieved each time the respirator is put on. Either the positive and negative pressure checks listed in this appendix, or the respirator manufacturer's recommended user seal check method shall be used. User seal checks are not substitutes for qualitative or quantitative fit tests.
I. Facepiece Positive and/or Negative Pressure Checks.
A. Positive pressure check. Close off the exhalation valve and exhale gently into the facepiece. The face fit is considered satisfactory if a slight positive pressure can be built up inside the facepiece without any evidence of outward leakage of air at the seal. For most respirators this method of leak testing requires the wearer to first remove the exhalation valve cover before closing off the exhalation valve and then carefully replacing it after the test.
B. Negative pressure check. Close off the inlet opening of the canister or cartridge(s) by covering with the palm of the hand(s) or by replacing the filter seal(s), inhale gently so that the facepiece collapses slightly, and hold the breath for ten seconds. The design of the inlet opening of some cartridges cannot be effectively covered with the palm of the hand. The test can be performed by covering the inlet opening of the cartridge with a thin latex or nitrile glove. If the facepiece remains in its slightly collapsed condition and no inward leakage of air is detected, the tightness of the respirator is considered satisfactory.
II. Manufacturer's Recommended User Seal Check Procedures. The respirator manufacturer's recommended procedures for performing a user seal check may be used instead of the positive and/or negative pressure check procedures provided that the employer demonstrates that the manufacturer's procedures are equally effective.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix B-1 to section 5144 filed 8-25-98; operative 11-23-98 (Register 98, No. 35).

Appendix B-2 to Section 5144:   Respirator Cleaning Procedures (Mandatory)
These procedures are provided for employer use when cleaning respirators. They are general in nature, and the employer as an alternative may use the cleaning recommendations provided by the manufacturer of the respirators used by their employees, provided such procedures are as effective as those listed here in Appendix B-2. Equivalent effectiveness simply means that the procedures used must accomplish the objectives set forth in Appendix B-2, i.e., must ensure that the respirator is properly cleaned and disinfected in a manner that prevents damage to the respirator and does not cause harm to the user.
I. Procedures for Cleaning Respirators.
A. Remove filters, cartridges, or canisters. Disassemble facepieces by removing speaking diaphragms, demand and pressure-demand valve assemblies, hoses, or any components recommended by the manufacturer. Discard or repair any defective parts.
B. Wash components in warm (43 deg. C [110 deg. F] maximum) water with a mild detergent or with a cleaner recommended by the manufacturer. A stiff bristle (not wire) brush may be used to facilitate the removal of dirt.
C. Rinse components thoroughly in clean, warm (43 deg. C [110 deg. F] maximum), preferably running water. Drain.
D. When the cleaner used does not contain a disinfecting agent, respirator components should be immersed for two minutes in one of the following:
1. Hypochlorite solution (50 ppm of chlorine) made by adding approximately one milliliter of laundry bleach to one liter of water at 43 deg. C (110 deg. F); or,
2. Aqueous solution of iodine (50 ppm iodine) made by adding approximately 0.8 milliliters of tincture of iodine (6-8 grams ammonium and/or potassium iodide/100 cc of 45% alcohol) to one liter of water at 43 deg. C (110 deg. F); or,
3. Other commercially available cleansers of equivalent disinfectant quality when used as directed, if their use is recommended or approved by the respirator manufacturer.
E. Rinse components thoroughly in clean, warm (43 deg. C [110 deg. F] maximum), preferably running water. Drain. The importance of thorough rinsing cannot be overemphasized. Detergents or disinfectants that dry on facepieces may result in dermatitis. In addition, some disinfectants may cause deterioration of rubber or corrosion of metal parts if not completely removed.
F. Components should be hand-dried with a clean lint-free cloth or air-dried.
G. Reassemble facepiece, replacing filters, cartridges, and canisters where necessary.
H. Test the respirator to ensure that all components work properly.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix B-2 to section 5144 filed 8-25-98; operative 11-23-98 (Register 98, No. 35).

Appendix C to Section 5144:   OSHA Respirator Medical Evaluation Questionnaire  (Mandatory)
To the employer: Answers to questions in Section 1, and to question 9 in Section 2 of Part A, do not require a medical examination.
To the employee:
Can you read (circle): Yes/No
Your employer must allow you to answer the questionnaire during normal working hours, or at a time and place that is convenient to you. To maintain your confidentiality, your employer or supervisor must not look at or review your answers, and your employer must tell you how to deliver or send this questionnaire to the health care professional who will review it.
Part A. Section 1. (Mandatory) The following information must be provided by every employee who has been selected to use any type of respirator (please print).

1. Today's date:	

2. Your name:	

3. Your age (to nearest year):	
4. Sex (circle one): Male/Female

5. Your height:	 ft.	 in.

6. Your weight: 	 lbs.

7. Your job title:	

8. A phone number where you can be reached by the health care professional who reviews this questionnaire (include the Area Code):	

9. The best time to phone you at this number:	
10. Has your employer told you how to contact the health care professional who will review this questionnaire (circle one): Yes/No
11. Check the type of respirator you will use (you can check more than one category):
a. ___ N, R, or P disposable respirator (filter-mask, non-cartridge type only).
b. ___ Other type (for example, half- or full-facepiece type, powered-air purifying, supplied-air, self-contained breathing apparatus).
12. Have you worn a respirator (circle one): Yes/No

If “yes,” what type(s):	
	
Part A. Section 2. (Mandatory) Questions 1 through 9 below must be answered by every employee who has been selected to use any type of respirator (please circle “yes” or “no”).
1. Do you currently smoke tobacco, or have you smoked tobacco in the last month: Yes/No
2. Have you ever had any of the following conditions?
a. Seizures: Yes/No
b. Diabetes (sugar disease): Yes/No
c. Allergic reactions that interfere with your breathing: Yes/No
d. Claustrophobia (fear of closed-in places): Yes/No
e. Trouble smelling odors: Yes/No
3. Have you ever had any of the following pulmonary or lung problems?
a. Asbestosis: Yes/No
b. Asthma: Yes/No
c. Chronic bronchitis: Yes/No
d. Emphysema: Yes/No
e. Pneumonia: Yes/No
f. Tuberculosis: Yes/No
g. Silicosis: Yes/No
h. Pneumothorax (collapsed lung): Yes/No
i. Lung cancer: Yes/No
j. Broken ribs: Yes/No
k. Any chest injuries or surgeries: Yes/No
l. Any other lung problem that you've been told about: Yes/No
4. Do you currently have any of the following symptoms of pulmonary or lung illness?
a. Shortness of breath: Yes/No
b. Shortness of breath when walking fast on level ground or walking up a slight hill or incline: Yes/No
c. Shortness of breath when walking with other people at an ordinary pace on level ground: Yes/No
d. Have to stop for breath when walking at your own pace on level ground: Yes/No
e. Shortness of breath when washing or dressing yourself: Yes/No
f. Shortness of breath that interferes with your job: Yes/No
g. Coughing that produces phlegm (thick sputum): Yes/No
h. Coughing that wakes you early in the morning: Yes/No
i. Coughing that occurs mostly when you are lying down: Yes/No
j. Coughing up blood in the last month: Yes/No
k. Wheezing: Yes/No
l. Wheezing that interferes with your job: Yes/No
m. Chest pain when you breathe deeply: Yes/No
n. Any other symptoms that you think may be related to lung problems: Yes/No
5. Have you ever had any of the following cardiovascular or heart problems?
a. Heart attack: Yes/No
b. Stroke: Yes/No
c. Angina: Yes/No
d. Heart failure: Yes/No
e. Swelling in your legs or feet (not caused by walking): Yes/No
f. Heart arrhythmia (heart beating irregularly): Yes/No
g. High blood pressure: Yes/No
h. Any other heart problem that you've been told about: Yes/No
6. Have you ever had any of the following cardiovascular or heart symptoms?
a. Frequent pain or tightness in your chest: Yes/No
b. Pain or tightness in your chest during physical activity: Yes/No
c. Pain or tightness in your chest that interferes with your job: Yes/No
d. In the past two years, have you noticed your heart skipping or missing a beat: Yes/No
e. Heartburn or indigestion that is not related to eating: Yes/No
f. Any other symptoms that you think may be related to heart or circulation problems: Yes/No
7. Do you currently take medication for any of the following problems?
a. Breathing or lung problems: Yes/No
b. Heart trouble: Yes/No
c. Blood pressure: Yes/No
d. Seizures (fits): Yes/No
8. If you've ever used a respirator, have you ever had any of the following problems?
(If you've never used a respirator, check the following space and go to question 9:)
a. Eye irritation: Yes/No
b. Skin allergies or rashes: Yes/No
c. Anxiety: Yes/No
d. General weakness or fatigue: Yes/No
e. Any other problem that interferes with your use of a respirator: Yes/No
9. Would you like to talk to the health care professional who will review this questionnaire about your answers to this questionnaire: Yes/No
Questions 10 to 15 below must be answered by every employee who has been selected to use either a full-facepiece respirator or a self-contained breathing apparatus (SCBA). For employees who have been selected to use other types of respirators, answering these questions is voluntary.
10. Have you ever lost vision in either eye (temporarily or permanently): Yes/No
11. Do you currently have any of the following vision problems?
a. Wear contact lenses: Yes/No
b. Wear glasses: Yes/No
c. Color blind: Yes/No
d. Any other eye or vision problem: Yes/No
12. Have you ever had an injury to your ears, including a broken ear drum: Yes/No
13. Do you currently have any of the following hearing problems?
a. Difficulty hearing: Yes/No
b. Wear a hearing aid: Yes/No
c. Any other hearing or ear problem: Yes/No
14. Have you ever had a back injury: Yes/No
15. Do you currently have any of the following musculoskeletal problems?
a. Weakness in any of your arms, hands, legs, or feet: Yes/No
b. Back pain: Yes/No
c. Difficulty fully moving your arms and legs: Yes/No
d. Pain and stiffness when you lean forward or backward at the waist: Yes/No
e. Difficulty fully moving your head up or down: Yes/No
f. Difficulty fully moving your head side to side: Yes/No
g. Difficulty bending at your knees: Yes/No
h. Difficulty squatting to the ground: Yes/No
i. Climbing a flight of stairs or a ladder carrying more than 25 lbs: Yes/No
j. Any other muscle or skeletal problem that interferes with using a respirator: Yes/No
Part B. Any of the following questions, and other questions not listed, may be added to the questionnaire at the discretion of the health care professional who will review the questionnaire.
1. In your present job, are you working at high altitudes (over 5,000 feet) or in a place that has lower than normal amounts of oxygen: Yes/No
If “yes,” do you have feelings of dizziness, shortness of breath, pounding in your chest, or other symptoms when you're working under these conditions: Yes/No
2. At work or at home, have you ever been exposed to hazardous solvents, hazardous airborne chemicals (e.g., gases, fumes, or dust), or have you come into skin contact with hazardous chemicals: Yes/No
If “yes,” name the chemicals if you know them:________________, ____________, _______________________, __________________.
3. Have you ever worked with any of the materials, or under any of the conditions, listed below:
a. Asbestos: Yes/No
b. Silica (e.g., in sandblasting): Yes/No
c. Tungsten/cobalt (e.g., grinding or welding this material): Yes/No
d. Beryllium: Yes/No
e. Aluminum: Yes/No
f. Coal (for example, mining): Yes/No
g. Iron: Yes/No
h. Tin: Yes/No
i. Dusty environments: Yes/No
j. Any other hazardous exposures: Yes/No

If “yes,” describe these exposures:	

4. List any second jobs or side businesses you have:	

5. List your previous occupations:	

6. List your current and previous hobbies:	
	
7. Have you been in the military services? Yes/No
If “yes,” were you exposed to biological or chemical agents (either in training or combat): Yes/No
8. Have you ever worked on a HAZMAT team? Yes/No
9. Other than medications for breathing and lung problems, heart trouble, blood pressure, and seizures mentioned earlier in this questionnaire, are you taking any other medications for any reason (including over-the-counter medications): Yes/No

If “yes,” name the medications if you know them:	
10. Will you be using any of the following items with your respirator(s)?
a. HEPA Filters: Yes/No
b. Canisters (for example, gas masks): Yes/No
c. Cartridges: Yes/No
11. How often are you expected to use the respirator(s) (circle “yes” or “no” for all answers that apply to you)?:
a. Escape only (no rescue): Yes/No
b. Emergency rescue only: Yes/No
c. Less than 5 hours per week: Yes/No
d. Less than 2 hours per day: Yes/No
e. 2 to 4 hours per day: Yes/No
f. Over 4 hours per day: Yes/No
12. During the period you are using the respirator(s), is your work effort:
a. Light (less than 200 kcal per hour): Yes/No  
If “yes,” how long does this period last during the average shift: ___ hrs. ____ mins.
Examples of a light work effort are sitting while writing, typing, drafting, or performing light assembly work; or standing while operating a drill press (1-3 lbs.) or controlling machines.
b. Moderate (200 to 350 kcal per hour): Yes/No
If “yes,” how long does this period last during the average shift: ____ hrs. ____ mins.
Examples of moderate work effort are sitting while nailing or filing; driving a truck or bus in urban traffic; standing while drilling, nailing, performing assembly work, or transferring a moderate load (about 35 lbs.) at trunk level; walking on a level surface about 2 mph or down a 5-degree grade about 3 mph; or pushing a wheelbarrow with a heavy load (about 100 lbs.) on a level surface.
c. Heavy (above 350 kcal per hour): Yes/No
If “yes,” how long does this period last during the average shift: ____ hrs. ____ mins.
Examples of heavy work are lifting a heavy load (about 50 lbs.) from the floor to your waist or shoulder; working on a loading dock; shoveling; standing while bricklaying or chipping castings; walking up an 8- degree grade about 2 mph; climbing stairs with a heavy load (about 50 lbs.).
13. Will you be wearing protective clothing and/or equipment (other than the respirator) when you're using the respirator: Yes/No

If “yes,” describe this protective clothing and/or equipment:	
	.
14. Will you be working under hot conditions (temperature exceeding 77 deg. F): Yes/No
15. Will you be working under humid conditions: Yes/No

16. Describe the work you'll be doing while you're using your respirator(s):	

17. Describe any special or hazardous conditions you might encounter when you're using your respirator(s) (for example, confined spaces, life-threatening gases):	

18. Provide the following information, if you know it, for each toxic substance that you'll be exposed to when you're using your respirator(s):

Name of first toxic substance:	

Estimated maximum exposure level per shift:	

Duration of exposure per shift:	

Name of second toxic substance:	

Estimated maximum exposure level per shift:	

Duration of exposure per shift:	

Name of third toxic substance:	

Estimated maximum exposure level per shift:	

Duration of exposure per shift:	

The name of any other toxic substances that you'll be exposed to while using your respirator:	

	

19. Describe any special responsibilities you'll have while using your respirator(s) that may affect the safety and well-being of others (for example, rescue, security):	

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix C to section 5144 filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
2. Amendment of Part A, section 2, subsection 2.a. filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).

Appendix D to Section 5144:   (Mandatory) Information for Employees Using Respirators When Not Required Under the Standard
Respirators are an effective method of protection against designated hazards when properly selected and worn. Respirator use is encouraged even when exposures are below the exposure limit, to provide an additional level of comfort and protection for workers. However, if a respirator is used improperly or not kept clean, the respirator itself can become a hazard to the worker. Sometimes, workers may wear respirators to avoid exposures to hazards, even if the amount of hazardous substance does not exceed the limits set by OSHA standards. If your employer provides respirators for your voluntary use, or if you provide your own respirator, you need to take certain precautions to be sure that the respirator itself does not present a hazard.
You should do the following:
1. Read and heed all instructions provided by the manufacturer on use, maintenance, cleaning and care, and warnings regarding the respirators limitations.
2. Choose respirators certified for use to protect against the contaminant of concern. NIOSH, the National Institute for Occupational Safety and Health of the U.S. Department of Health and Human Services, certifies respirators. A label or statement of certification should appear on the respirator or respirator packaging. It will tell you what the respirator is designed for and how much it will protect you.
3. Do not wear your respirator into atmospheres containing contaminants for which your respirator is not designated to protect against. For example, a respirator designed to filter dust particles will not protect you against gases, vapors or very small solid particles of fumes or smoke.
4. Keep track of your respirator so that you do not mistakenly use someone else's respirator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix D to section 5144 filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
§5145. Media for Allaying Dusts, Fumes, Mists, Vapors, and Gases.
Note     •     History

When practicable, use shall be made of water, oil or chemicals in such noninjurious quantities, and with such frequency, as may be necessary to suppress and allay harmful dusts, fumes, mists, vapors, and gases wherever the provisions of 5141, 5143 and 5144 are impracticable or inadequate to prevent harmful exposure. The use of allaying media may also be supplementary to, or may be substituted for, other provisions of these orders when such allaying media alone would prevent harmful exposure.
HISTORY

1. Amendment filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31). 
§5146. Internal Combustion Engine Exhaust Emission Control.
Note     •     History

(a) Exhaust purifier devices shall be used, supplementary to natural or forced dilution ventilation or exhaust collection systems, if required to maintain the concentrations of dangerous gases or fumes below the maximum acceptable concentrations.
(b) Only approved exhaust purifier devices shall be used to comply with 5146(a) in enclosed places.
Note: Approval by the Division will in all cases be based on the Maximum Allowable Standards for Internal Combustion Engine Exhaust Emissions as set forth in 5146(c).
Devices certified as meeting the standard by the California Air Resources Board pursuant to Labor Code Section 6702 are automatically approved.
(c) Maximum Allowable Standards for Internal Combustion Engine Exhaust Emissions.
(1)

	Engine Displacement	Carbon Monoxide
	in cubic inches	percent
	50-100	2.3
	100-140	2.0
	140 or greater	1.5
(2) Exhaust gas concentrations shall be adjusted to a dry exhaust volume using the ratio 15 P [1/2(% CO) + % CO2 + 10(% Hydrocarbon)].
(3) Hydrocarbons are defined as the organic constituents of exhaust as measured by a hexane-sensitized nondispersive infrared analyzer or equivalent.
(4) Carbon monoxide shall be measured by a nondispersive infrared analyzer or equivalent.
(5) The standards refer to a composite sample representing the operating condition described as follows:

Operating Condition

Inches of Mercury	Percent
Intake Manifold Vacuum	of Time
IDLE	 30
CRUISE
 1000 RPM @ 16” of Mercury Intake Manifold Vacuum	20
 1000 RPM @ 11” of Mercury Intake Manifold Vacuum	 20
 2000 RPM @ 16” of Mercury Intake Manifold Vacuum	 10
 2000 RPM @ 10” of Mercury Intake Manifold Vacuum	 10
ACCELERATION
 Idle to 2500 RPM in 5 seconds @ 6” vacuum	 5
DECELERATION
 2000-500 RPM greater than 20” vacuum	 5
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending subsection (b) and adding new Note filed 2-4-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§5147. Respiratory Protection for M. Tuberculosis.
Note     •     History

Section 5144, Respiratory Protection, applies to M. Tuberculosis effective October 18, 2004.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former section 5144 to section 5147, including amendment of section heading and new first paragraph, filed 8-25-98; operative 11-23-98 (Register 98, No. 35). For prior history, see Register 80, No. 8.
2. New introductory paragraph filed 7-20-2004; operative 10-18-2004. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2004, No. 30).
3. Change without regulatory effect amending first paragraph and repealing remainder of section filed 7-28-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 30).
§5148. Prohibition of Smoking in the Workplace.
Note     •     History

(a) No employer shall knowingly or intentionally permit, and no person shall engage in, the smoking of tobacco products in an enclosed space at a place of employment.
(b) For purposes of this section, an employer who permits any nonemployee access to his or her place of employment on a regular basis has not acted knowingly or intentionally if he or she has taken the following reasonable steps to prevent smoking by a nonemployee:
(1) Posted clear and prominent signs, as follows:
(A) Where smoking is prohibited throughout the building or structure, a sign stating “No smoking” shall be posted at each entrance to the building or structure.
(B) Where smoking is permitted in designed areas of the building or structure, a sign stating “Smoking is prohibited except in designated areas” shall be posted at each entrance to the building or structure.
(2) Has requested, when appropriate, that a nonemployee who is smoking refrain from smoking in the enclosed workplace. For purposes of this subsection, “reasonable steps” does not include (A) the physical ejection of a nonemployee from the place of employment or (B) any requirement for making a request to a nonemployee to refrain from smoking, under circumstances involving a risk of physical harm to the employer or any employee.
(c) For purposes of this section: 
(1) “Enclosed space” includes lobbies, lounges, waiting areas, elevators, stairwells, and restrooms that are a structural part of the building and not specifically defined in subdivision (c)(2).
(2) “Place of employment” does not include any of the places listed in Labor Code section 6404.5, subsections (d)(1) through (d)(6), and (d)(9) through (d)(14).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 6404.5, Labor Code.
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 81, No. 40.
2. Certificate of Compliance as to 10-27-2003 order, including amendment of subsection (c), transmitted to OAL 2-23-2004 and filed 3-18-2004 (Register 2004, No. 12).
3. Change without regulatory effect amending subsection (c) and adopting subsections (c)(1)-(2) filed 4-20-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 16).
§5149. Oxygen Deficiency.

Except in extreme emergency involving imminent peril to life, employees shall not be permitted to work without approved respiratory equipment where the oxygen content of the air is less than 19 1/2 percent by volume (dry basis). 
§5150. Ventilation and Personal Protective Equipment Requirements for Welding, Brazing and Cutting.
Note     •     History

(a) Mechanical Ventilation for Indoor Operations. Local exhaust systems providing a minimum air velocity of 100 lineal feet per minute in the welding zone shall be used except as otherwise specified by this Section.
(1) Where local exhaust ventilation is not feasible, mechanical dilution ventilation sufficient to prevent exposures to concentrations of airborne contaminants from exceeding those specified in Section 5155 shall be provided.
(2) Respiratory protective equipment, in accordance with Section 5144, shall be used when the methods described in paragraphs (a) and (a)(1) above are not feasible.
(3) Where workplace monitoring records clearly demonstrate that exposure levels specified in Section 5155 are not exceeded, neither mechanical ventilation nor respiratory protective equipment is required.
Note: Where workplace monitoring has demonstrated that exposure levels are not exceeded under the worst conditions, then the same data may be used under more favorable conditions.
(b) Toxic Substances Used in Any Enclosed Space.
(1) Local exhaust ventilation shall be used when potentially hazardous materials are employed as base metals, fluxes, coatings, platings or filler metals. These include, but are not limited to, the following materials:
(A) Beryllium
(B) Cadmium
(C) Chromium
(D) Fluorides
(E) Lead
(F) Mercury
(G) Zinc
(H) Inert-gas metal-arc welding or oxygen cutting of stainless steel
(2) The exhaust system shall be vented in a manner such that workers and others are not exposed to hazardous concentrations of toxic substances.
(3) When the nature of the work is such that local exhaust ventilation is not an effective means for preventing potentially hazardous exposure levels, as specified by Section 5155, supplied-air respirators shall be worn.
(c) Toxic Substances Used in the Open Air. Where toxic substances such as those listed in paragraph (b)(1) are used, respiratory protective equipment, in accordance with Section 5144, shall be provided except as otherwise specified by this subsection.
(1) In operations involving beryllium-containing base or filler metals, only supplied-air respirators shall be used.
(2) Except for operations involving beryllium, cadmium, lead or mercury, respiratory protective equipment is not required when natural or mechanical ventilation is sufficient to remove welding fumes from the breathing zone of the workers.
(d) Improper Use of Welding Gases. Compressed gases used for welding and cutting shall not be used for ventilation purposes, comfort cooling, blowing dust from clothing, or cleaning the work area.
(e) Chlorinated Hydrocarbons. Degreasing or other operations involving chlorinated hydrocarbons shall be located or controlled such that vapors from these operations will not enter the atmosphere surrounding any welding or cutting operations to prevent the degradation of such chlorinated hydrocarbon vapors to more highly toxic gases by the action of heat or ultraviolet radiation.
(f) Precautionary Labels. Hazardous materials used in welding and cutting shall bear precautionary labels as described by this subsection. Any label may be used which describes the hazards of and lists the precautionary measures for a hazardous material in a manner equivalent to that included in this subsection.
(1) All filler metals and fusible granular materials shall carry the following notice, as a minimum, on tags, boxes or other containers:

CAUTION
Welding may produce fumes and gases hazardous to health. Avoid breathing these fumes and gases. Use adequate ventilation.
(2) Filler metals containing cadmium and cadmium-plated materials shall carry the following notice on tags, boxes or other containers:

WARNING
CONTAINS CADMIUM. POISONOUS FUMES MAY BE FORMED ON HEATING.
Do not breathe fumes. Use only with adequate ventilation such as fume collectors, exhaust ventilators, or supplied-air respirators. If chest pain, cough, or fever develops after use, call physician immediately.
Note: The intent of calling a physician is to provide immediate medical services.
(3) Containers of fluoride fluxes shall bear the following statement:

CAUTION
CONTAINS FLUORIDES
This flux when heated gives off fumes that may irritate eyes, nose, and throat.
1. Avoid fumes--use only in well-ventilated spaces.
2. Avoid contact of flux with eyes or skin.
3. Do not take internally. (Title 24, T8-5150(a), (b))
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5151. Ventilation and Personal Protective Equipment Requirements for Abrasive Blasting Operations.
Note     •     History

(a) Blast-Cleaning Enclosures.
(1) Blast-cleaning enclosures shall be exhaust ventilated in such a way that a continuous inward flow of air will be maintained at all openings in the enclosure during blasting operations. It is recommended that the following minimum ventilation rates as prescribed in the appendix of ANSI Z9.4-1968, Ventilation and Safe Practices of Abrasive Blasting Operations be used:
(A) Blast-cleaning cabinet, 500 feet per minute calculated on the free opening without the curtains.
(B) Rotary blast-cleaning tables, 200 feet per minute calculated on the free opening without curtains.
(C) Blast-cleaning rooms, 300 feet per minute at air inlets.
(2) In blasting enclosures, safety glass protected by screening or equivalent shall be used in observation windows where hard abrasives are used. All access openings in blast-cleaning enclosures shall be designed, inspected regularly, and maintained when needed, in order to prevent escape of dust. Blast-cleaning room doors shall be flanged and tight when closed and shall be operable from both inside and outside.
(3) In installations when the abrasive is recirculated, an abrasive separator shall be provided for the removal of fines from the spent abrasive.
(4) Abrasive blasting enclosures shall not be opened until visible airborne dust has been removed by the exhaust system.
(b) Personal Protective Equipment.
(1) Abrasive blasting or equivalent respirators shall be worn by employees under the following conditions:
(A) Inside blasting rooms during operations.
(B) During continuous blasting operations where concentrations of dust dispersed by abrasive blasting operations may exceed limits prescribed in Section 5155.
(C) During continuous blasting operations where silica sand is used as the blasting abrasive or when toxic materials are blasted. Dust-filter respirators may be used for periods up to two hours per shift, providing the concentrations of silica dust do not exceed ten times the time-weighted, eight-hour exposure limit as specified in Section 5155. Use of respiratory protective equipment is prescribed in Section 5144.
(2) Equipment for protection of the eyes and face shall be worn by the operator when the respirator design does not provide such protection and by any other personnel working in the vicinity of abrasive blasting operations.
(c) Organic Abrasives. Organic abrasives which are combustible shall be used only in automatic systems. Where flammable or explosive dust mixtures may be present, the construction of the equipment, including the exhaust system and all electric wiring, shall conform to the requirements of Section 5174 and the Electrical Safety Orders, Title 8, California Administrative Code. (Title 24, T8-5151(a), (c))
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5152. Ventilation and Personal Protective Equipment Requirements for Grinding, Polishing, and Buffing Operations.
Note     •     History

(a) General. Every establishment performing dry grinding, dry polishing, or buffing shall provide suitable hoods or enclosures that are connected to exhaust systems which are run continuously during operations.

Exception: When the concentration at the operator's breathing zone of any airborne contaminant generated by such an operation is below the applicable limit prescribed in Section 5155 or any other section of Title 8.
(b) Hood and Branch Duct Performance Requirements.
(1) Hoods connected to exhaust systems shall be used, and such hoods shall be designed, located, and placed so that the dust or dirt particles shall fall or be projected into the hoods in the direction of the air flow. No wheels, discs, straps, or belts shall be operated in such manner and in such direction as to cause the dust and dirt particles to be thrown into the operator's breathing zone.
(2) Wheels and belts shall have not less than the minimum exhaust volumes shown in the following tables:

TABLE V-1.
GRINDING AND ABRASIVE CUTTING-OFF WHEELS.

Wheel Diameter	Wheel Width	Minimum Exhaust Volume
(Inches)	(Inches)	(Cubic Feet/Min.)
To 9	1 1/2	220
Over 9 to 16	2	390
Over 16 to 19	3	500
Over 19 to 24	4	610
Over 24 to 30	5	880
Over 30 to 36	6	1200

Note: For any wheel wider than that shown, increase the table exhaust volume by the ratio of the actual width to the table width. Example: For wheel width = 4 1/2 inches. Minimum Exhaust Volume = 4.5/4 x 610 = 686 (rounded to 690).

TABLE V-2
BUFFING, POLISHING, AND SCRATCH-BRUSH WHEELS

Wheel Diameter	Wheel Width	Minimum Exhaust
(Inches)	(Inches)	(Cubic Feet/Min.)
To 9	2	300
Over 9 to 16	3	500
Over 16 to 19	4	610
Over 19 to 24		5	740
Over 24 to 30	6	1040
Over 30 to 36	6	1200

TABLE V-3
HORIZONTAL SPINDLE DISC GRINDER

Wheel Diameter	                                             Minimum Exhaust Volume
(Inches)	                                                            (Cubic Feet/Min.)
	Single Spindle	Double Spindle
Up to 12	220	610
Over 12 to 19	390	610
Over 19 to 25	610	880
Over 25 to 30	610	1200
Over 30 to 53	880	1770
Over 53 to 72	880	6280

TABLE V-4
VERTICAL SPINDLE DISC GRINDER

Disc Diameter		One-half or More of Disc Covered	    Disc not Covered
(Inches)		                 Exhaust Volume	                      Exhaust Volume
	Number1	  (Cubic Feet/Min.)	Number1	 (Cubic Feet/Min.)
Up to 20	1	500	2	780
Over 20 to 30	2	780	2	1480
Over 30 to 53	2	1770	4	3530
Over 53 to 72	2	3140	5	6010

Note: 1 Number of exhaust outlets around periphery of hood, or equal distribution provided by other means.

TABLE V-5
GRINDING AND POLISHING BELTS

Belts Width	Exhaust Volume
(Inches)	(Cubic Feet/Min.)
Up to 3	220
Over 3 to 5	300
Over 5 to 7	390
Over 7 to 9	500
Over 9 to 11	610
Over 11 to 13	740

(3) Cradles requiring partial enclosures to house the complete operation shall be ventilated sufficiently such that a minimum air velocity of 150 feet per minute shall be maintained over the entire opening of the enclosure.
(c) Hood Design.
(1) Vertical-spindle disc grinders shall be encircled with a hood so constructed that the heavy dust is drawn off a surface of the disc and the lighter dust exhausted through a continuous slot at the top of the hood as shown in Figure V-1.
(2) Exhaust hoods for floor stands, pedestals, and bench grinders shall be designed as effective as Figure V-2. The adjustable tongue shown in the Figure shall be kept in working order and shall be adjusted within one-fourth inch of the wheel periphery at all times.
(3) Swing-frame grinders shall be exhausted in the same manner as provided for cradles, and shall be provided with exhaust booths as indicated in Figure V-3.
(4) Hoods for polishing and buffing and scratch-brush wheels shall be constructed to conform as closely to Figure V-4 as the nature of the work will permit.
(5) Cradle grinding and polishing operations shall be performed within a partial enclosure similar to Figure V-5. The operator shall be positioned outside the working face of the opening of the enclosure. Cradle enclosures shall be ventilated sufficiently such that a minimum air velocity of 150 feet per minute shall be maintained over the entire opening of the enclosure.
(6) Hoods for horizontal single-spindle disc grinders shall be constructed to conform as closely as possible to the hood shown in Figure V-6.
(7) Horizontal double-spindle disc grinders shall have a hood encircling the wheels and grinding chamber similar to that illustrated in Figure V-7. The openings for passing the work into the grinding chamber should be kept as small as possible, but must never be less than twice the area of the branch outlets.
(8) Grinding and polishing belt hoods shall be constructed as close to the operation as possible. The hood should extend almost to the belt, and 1-inch wide openings should be provided on either side. Figure V-8 shows a typical hood for a belt operation.
(d) Portable Operations.
Portable grinding, polishing, and buffing operations, whenever the nature of the work permits, shall be conducted within a partial enclosure over which an average face air velocity of not less than 200 feet per minute shall be maintained, or a low volume, high velocity local exhaust hood attachment shall be used. (Title 24, T8-5152)

FIGURE V-1
VERTICAL SPINDLE DISC GRINDER EXHAUST HOOD AND BRANCH PIPE
CONNECTIONS

View Graphic

	  Dia. D. Inches		Exhaust E		Volume Exhausted
	Min	Max	No.	Dia	at 4,5000 ft/min
			Pipes		ft3/min	NOTE

		20	1	4 1/2	500	When one-half or more of
	Over 20	30	2	4	780	the disc can be hooded, use
	Over 30	72	2	6	1,770	exhaust ducts as shown at
	Over 53	72	2	8	3,140	the left.

							
	
		20	2	4	780	When no hood can be used
	Over 20	30	2	5 1/2	1,480	over disc, use exhaust ducts
	Over 30	53	4	6	3,530	as shown at left.
	Over 53	72	5	7	6,010

Entry loss = 1.0 slot velocity pressure + 0.5 branch velocity pressure.
Minimum slot velocity = 2,000 ft/mn - 1./2 inch slot width.

FIGURE V-2 
STANDARD GRINDER HOOD

View Graphic

FIGURE V-3
A METHOD OF APPLYING AN EXHAUST
ENCLOSURE TO SWING-FRAME GRINDERS

Note: Baffle to reduce front opening as much as possible.

View Graphic

FIGURE V-4
STANDARD BUFFING AND POLISHING HOOD 

View Graphic

FIGURE V-5
CRADLE POLISHING OR GRINDING ENCLOSURE
Entry Loss = 0.45 velocity pressure for tapered takeoff

View Graphic

FIGURE V-6
HORIZONTAL SINGLE-SPINDLE DISC GRINDER
EXHAUST HOOD AND BRANCH PIPE CONNECTIONS

View Graphic

View Graphic
Note: If grinding wheels are used for disc grinding purposes, hoods must conform to structural strength and materials as described in 9.1.Entry Loss =0.45 velocity pressure for tapered takeoff.

FIGURE V-7
HORIZONTAL DOUBLE-SPINDLE DISC GRINDER
EXHAUST HOOD AND BRANCH PIPE CONNECTIONS

View Graphic

FIGURE V-8
A TYPICAL HOOD FOR A BELT OPERATION

View Graphic

		Belt Width W, inches	Exhaust Volume, ft3/min.
				
		up to 3	220
		3 to 5	300
		5 to 7	390
		7 to 9	500
		9 to 11	610
		11 to 13	740

Minimum duct velocity = 4,500 ft/min branch, 3,500 ft/min main.

Entry loss = 0.45 velocity pressure for tapered takeoff.
0.65 velocity pressure for straight takeoff.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (a) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Change without regulatory effect providing more legible illustrations for Figures V-1, V-2, V-3, V-4, V-5, V-6, V-7 and V-8 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5153. Ventilation and Personal Protective Equipment Requirements for Spray Coating Operations.
Note     •     History

(a) General. Spray coating operations whenever practicable shall be confined to properly designed, constructed and adequately ventilated spray booths or spray rooms which meet all the requirements of both this section and Article 137.
(b) Operation.
(1) Mechanical ventilation shall be kept in operation at all times while spraying operations are being conducted and for a sufficient time thereafter to allow flammable vapors from drying coated articles and drying finishing material residue to be exhausted.
(2) When spray is automatically applied without an attendant constantly on duty, the operating control of spray apparatus shall be so arranged that spray cannot be applied unless exhaust fans are in operation.
(c) Exhaust and Make-Up Air.
(1) Air exhausted from spray operations shall not be recirculated. Safe arrangements should be provided for an adequate supply of make-up air to compensate for air exhausted from spraying operations.
(2) No means of heating make-up air shall be located in a spray booth.
(d) Dilution of Flammable Vapors. Ventilation in spray facilities shall be sufficient to dilute flammable vapors to less than 20 percent of their lower explosive limit as specified in Section 5416. Lower explosive limits of common solvents are listed in NFPA No. 49-1973, Hazardous Chemicals Data.
(e) Ventilation Rates. The velocity of air into all openings of a spray booth shall be not less than that specified in Table V-6.

TABLE V-6
MINIMUM MAINTAINED VELOCITIES INTO SPRAY BOOTHS

Operating Conditions for
Objects Completely Inside	Crossdraft,	  Airflow Velocities, f.p.m.
              Booth	   f.p.m.	Average	Minimum
Electrostatic and automatic
  airless operation	 Up to 50	60 large booth	60
		100 small booth	75
Air-operated guns, manual
  or automatic	 Up to 50	100 large booth	75
		150 small booth	125
Air-operated guns, manual
  or automatic	 From 50 to 100	150 large booth	125
		200 small booth	150

Note: A large booth is a walk-in size booth.
(f) Downdraft Booths.
Where downdraft booths are provided with doors, such doors shall be closed when spray painting.
(g) Respiratory Protection.
A spray booth operator is required to wear a respirator when he is positioned downstream from the object being sprayed. Respirator use shall conform to the requirements of Section 5144. (Title 24, T8-5153(a), (b), (c), (d), (e))
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Editorial correction of subsection (a) (Register 76, No. 10).
3. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5154. Ventilation and Personal Protective Equipment Requirements for Open-Surface Tank Operations.
Note     •     History

(a) General.
This section applies to all operations involving the immersion of materials in liquids, or in the vapors of such liquids, for the purpose of cleaning or altering the surface character of the materials.
(b) Classification of Open-Surface Tank Operations.
The class is determined by two factors: hazard potential designated by a letter from A to D, inclusive, and the rate of gas, vapor, or mist evolution designated by a number from 1 to 4, inclusive.
(1) Table V-7 provides a classification system for the potential hazard of the vapor, gas, or mist originating from an open-surface tank, depending upon the toxicity or the flammability of the tank contents. The Table uses the respective concentration limit for an airborne contaminant (Section 5155) to define the health hazard and the flashpoint as the index of susceptibility to ignition; the higher of the two hazard ratings shall determine the appropriate classification. In evaluating the health hazard of a mixture of materials, other than organic solvents, the substance of lowest concentration limit (highest hazard) specified by Section 5155 shall determine the classification of the mixture, except where such substance constitutes an insignificant fraction of the mixture. The relative health hazard of a mixture of organic solvents is determined by the combined effects of solvent vapor concentrations in the operator's breathing zone. In absence of information to the contrary, the effects shall be considered as additive. The vapor concentrations may be measured individually, or calculated from the known composition of the liquid mixture by use of the vapor pressure value and the mole weight fraction value of each component in the mixture. The combined concentration limit is then calculated by using the following formula:

View Graphic
Where:
C is the concentration in parts per million of airborne solvent vapor from each component.
L is the time-weighted eight-hour exposure limit concentration in parts per million for each component. (See Section 5155 for TWA exposure limit values.)
Lm is the combined TWA exposure limit concentration for the airborne mixture of solvent vapors.
(A)

TABLE V-7
DETERMINATION OF HAZARD POTENTIAL

                                   Time-Weighted Average Exposure Limit 1
 Hazard	Gas and Vapor	Mist	Flashpoint2
Classification	(ppm)	(mg/M3)	(oF)

  A	0-10	0-.1	--
  B	11-100	.11-1.0	Under 100
  C	101-500	1.1-10	100-200
  D	Over 500	Over 10	Over 200

Notes:

1 As specified by Section 5155.

2 Closed-cup flashpoint; extensive flashpoint data are listed in the National Fire Protection Association Bulletin, NFPA 325M-1969.
(B) The classification index for the rate of evolution of a gas or vapor from an open-surface tank shall be determined from Table V-8.

TABLE V-8
DETERMINATION OF RATE OF GAS OR VAPOR EVOLUTION1

		                                                    Relative Evaporation 2
Rate	Liquid	Degrees Below	(Time for 100%
Index	Temperature (oF)	Boiling Point (oF)	   Evaporation)

1	Over 200	0-20	Fast (0-3 hours)
2	150-200	21-50	Medium (3-12 hours)
3	94-149	51-100	Slow (12-50 hours)
4	Under 94	Over 100	Nil (Over 50 hours)

Notes:

1 In certain classes of equipment, specifically vapor degreasers, an internal condenser or vapor level thermostat is used to prevent the vapor from leaving the tank during normal operation. In such cases, rate of vapor evolution from the tank into the workroom is not dependent upon the factors listed in the Table, but rather upon abnormalities of operating procedure, such as carryout of vapors from excessively fast action, dragout of liquid by entrainment in parts, contamination of solvent by water and other materials, or improper heat balance. When operating procedure is excellent, effective rate of evolution may be taken as 4.

2 Relative evaporation times may be found in the Handbook of Organic Industrial Solvents, American Mutual Insurance Alliance (1972). The evaporation times given as rates in the Tables are the ratios of the time (in hours) required to evaporate the solvent, to the evaporation time (one hour) required for the same volume of ethyl ether. Evaporation times for solvents not listed in the handbook may be found in the article by A. K. Doolittle in Industrial and Engineering Chemistry, Anal. Ed.,Vol. 27, p. 1169 (1935).
(c) Control Requirements.
In all cases, the minimum control velocities shall conform to those listed in the following Table V-9.

TABLE V-9
MINIMUM CONTROL VELOCITIES IN FEET PER MINUTE 

		Enclosing Hood	                     	Canopy Hood2
	One	Two	Lateral1	Three	Four
	Open	Open	Exhaust	Open	Open
           Class	Side	Sides		Sides	Sides

A-1 and A-2	100	150	150	Do not use.	Do not use.
A-3 (Note 2), B-1, B-2,
 and C-1	75	100	100	125	175
B-3, C-2, and D-1	65	90	75	100	150
A-4 (Note 2), C-3, and
 D-2	50	75	50	75	125
B-4, C-4, D-3, and
 D-4		General Room Ventilation Required.

Notes:
1 See Table V-10 for computation of ventilation rate.
2  Do not use canopy hood for Hazard Potential A processes.
(d) Hood Classification.
A hood which projects over an entire tank and completely encloses at least two sides of the tank shall be considered to be an enclosing hood. A hood which does not project over the entire tank, and in which the direction of air movement is substantially horizontal, shall be considered to be a hood which ventilates laterally. Hoods that project over the entire tank, and which do not conform to the definition of enclosing hoods, shall be considered to be canopy hoods.
(e) Ventilation Rates.
(1) The minimum exhaust ventilation rate (cubic feet per minute) for canopy or enclosing hoods shall be not less than the product of the control velocity times the net area of all openings between or around the tank and the canopy or enclosure through which air can flow into the hood. If the estimated rate of vapor evolution (including steam or products of combustion) is equal to or greater than 10 percent of the exhaust volume required in Table V-10, the exhaust volume shall be increased in an equal amount.
(2) The minimum quantity of air in cubic feet per minute necessary to be laterally exhausted per square foot of tank area shall be determined from the following Table. The total quantity of air to be exhausted shall not be less than the product of the area of tank surface times the ventilation rate determined from Table V-10.

TABLE V--10
REQUIRED VENTILATION RATES IN CFM

	Required Minimum Control	Cubic Feet Per Minute Per Square Foot to Maintain
	Velocity Feet Per Minute	Required Minimum Velocities at Following
	(From Table V-9)	(The ratio of tank width to the tank length, W/L)1 2

		0.0-0.09	0.1-0.24	0.25-0.49	0.5-0.99	1.0-2.0

							

	Hood along side or two parallel sides of tank when one hood is against a wall or baffle (Note 2). Also for a manifold along tank centerline
		(Note 3)
		50	50	60	75	90	100
		75	75	90	110	130	150
		100	100	125	150	175	200
		150	150	190	225	260	300
	
	Hood along one side or two parallel sides of free standing tank not against wall or baffle.
		50	75	90	100	110	125
		75	110	130	150	170	190
		100	150	175	200	225	250
		150	225	260	300	340	375

Notes: 1 It is not practicable to ventilate across the long dimension of a tank whose ratio W/L exceeds 2.0. It is undesirable to do so when W/L exceeds 1.0. For circular tanks with lateral exhaust aloing up to 1/2 the circumference, use W/L = 1.0: for over 1/2 the circumference use W/L = 0.5.
2 A baffle is defined as a vertical plate, the same length as the tank, which extends above the liquid level to a height at least equal to the width of the tank. If the exhaust hood is on the side of a tank against a building wall or close to it, it is adequately baffled.   
3 Use W/2 as tank width in computing when manifold is along centerline, or when hoods are used on two parallel sides of a tank. 
Note: Tank width (W) means the effective width over which the hood must pull air to operate (for example, where the hood face is set back from the edge of the tank, this set must be added in measuring tank width). The surface area of tanks can frequently be reduced, and better control obtained (particularly on conveyorized systems) by using covers extending from the upper edges of the slots toward the center of the tank.
(f) Push-Pull Systems Requirements. Push-pull systems shall not be used where there are obstructions between supply air streams and the exhaust slots which may interfere with the performance of the exhaust hood for more than a few seconds. When push-pull systems are used, they shall meet the following criteria:
(1) The exhaust air rate shall be at least 150 cubic feet per minute per square foot of tank surface area. 
(2) The supply air rate shall not exceed 15 percent of the exhaust rate.
(3) The velocity in the effective control area shall be less than the exhaust slot velocity.
(4) The vertical height of the receiving exhaust hood shall not be less than one-quarter of the width of the tank.
(5) Methods of measuring and adjusting the supply air shall be provided and shall be fixed so that they will not be altered when satisfactory control has been achieved.
(g) Other Control Methods. In open-surface tank operations where control methods such as tank covers, foams, beads, chips, or other floating materials, surfactants, or any combination thereof, are used to prevent harmful exposure to mists and vapors, air monitoring at the operator's position shall be carried out at least quarterly to assure that allowable concentrations of airborne contaminants are not exceeded. A program shall be established to assure continued effectiveness of the control method. Records of the maintenance performed, sampling, and analyses shall be retained for at least five years.
(h) Vapor Degreasing Equipment.
(1) In vapor degreasing, the vapor level shall be maintained below the top edge of the tank by a distance at least equal to one-half the tank width, but need not exceed 36 inches. Control systems shall be designed and maintained to prevent decomposition of the solvent by overheating and to maintain the vapor-free zone specified.
(2) Tanks or machines of more than 4 square feet of surface area shall be equipped with suitable cleanout doors located near the bottom. These doors shall be designed and gasketed so there will be no leakage of solvent when they are closed.
(3) Where gas is used as a fuel for heating vapor degreasing tanks, the combustion chamber shall be of tight construction, except for such openings as exhaust flue, and those that are necessary for supplying air for combustion.Flues shall be of corrosion-resistant construction and shall discharge outdoors. Special precautions must be taken to prevent solvent vapors from entering the combustion air of this or any other heater when chlorinated or fluorinated hydrocarbons are used.
(i) Spray Cleaning and Degreasing. Wherever spraying or other mechanical means disperse a hazardous liquid above an open-surface tank, control must be provided for the airborne spray. Such operations shall be enclosed as completely as possible. The inward air velocity into the enclosure shall be sufficient to prevent the discharge of spray into the workroom. Mechanical baffles may be used to help prevent the discharge of spray. 
(j) Personal Protection.
(1) All employees required to work in such a manner that any part of their person may be wet, splashed or contaminated with liquids other than water, shall be provided with appropriate protective clothing and equipment as prescribed in 8 CCR, Article 10. Such persons shall also be instructed as to hazards and safeguards of their respective jobs as required in Section 5194(h) and Section 5162(c).
(2) Whenever liquids or chemicals harmful on contact to the skin or eye tissues, or poisonous liquids or chemicals which can be absorbed through the skin, may splash or otherwise contact the employee's body, means of immediate rinse or dilution with clean water shall be provided, as required in Section 3400, Medical Services and First Aid and Section 5162, Emergency Eyewash and Shower Equipment. (Title 24, T8-5154(a), (b), (c), (d), (e), (f), (i))
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-18-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Editorial correction in Table V-7 (Register 77, No. 41).
4. Change without regulatory effect amending subsection (j)(2) filed 7-17-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 39). 
5. Change without regulatory effect amending subsection (e)(2) filed 12-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 50).
6. Change without regulatory effect amending subsection (j)(1) and Note filed 6-2-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 22).
§5154.1. Ventilation Requirements for Laboratory-Type Hood Operations.
Note     •     History

(a) Scope. When laboratory-type hoods, also known as laboratory fume hoods, as defined below are used to prevent harmful exposure to hazardous substances, such hoods shall conform to all applicable provisions of Article 107, and shall conform to provisions of this section.
Exception No. 1: Inspection doors or clean-out doors in exhaust ducts required by Section 5143(a)(3) do not apply to laboratory-type hood operations.
Exception No. 2: Biological safety cabinets as defined below are exempt from the requirements of this section. Class II biological safety cabinets may be used to prevent harmful exposure to cytotoxic agents during their compounding or preparation for parenteral use. Biological safety cabinets may be used to control harmful exposure to aerosols and particulate matter, provided the presence of the substance in the biological safety cabinet does not present a risk of fire or explosion. When biological safety cabinets are used to control exposure to these hazards they shall meet the requirements of Section 5154.2.
(b) Definitions.
Biohazard agent means a replication capable pathogen which is a disease causing microorganism and is capable of causing diseases in humans including viruses, microbes and sub viral agents. The agent includes the agent, products of infectious agents, or the components of infectious agents presenting a risk of illness or injury.
Biohazardous materials are any materials that would harbor biohazardous agents such as human blood, body fluids, or tissues that may be contaminated with biohazardous agents.
Biological safety cabinet. A ventilated cabinet which serves as a primary containment device for operations involving biohazard agents or biohazardous materials. Three classes of biological safety cabinets are described in Section 5154.2.
Hazardous Substance. One which by reason of being explosive, flammable, poisonous, an irritant, or otherwise harmful is likely to cause injury or illness if not used with effective control methods.
Laboratory-Type Hood. A device enclosed except for necessary exhaust purposes on three sides and top and bottom, designed to draw air inward by means of mechanical ventilation, operated with insertion of only the hands and arms of the user, and used to control exposure to hazardous substances. These devices are also known as laboratory fume hoods.
(c) Ventilation Rates. 
(1) Laboratory-type hood face velocities shall be sufficient to maintain an inward flow of air at all openings into the hood under operating conditions. The hood shall provide confinement of the possible hazards and protection of the employees for the work that is performed. The exhaust system shall provide an average face velocity of at least 100 feet per minute with a minimum of 70 fpm at any point, except where more stringent special requirements are prescribed in other sections of the General Industry Safety Orders, such as Section 5209. The minimum velocity requirement excludes those measurements made within 1 inch of the perimeter of the work opening.
(2) When a laboratory-type hood is in use to contain airborne hazardous substances and no employee is in the immediate area of the hood opening, the ventilation rate may be reduced from the minimum average face velocity of at least 100 feet per minute to a minimum average face velocity of 60 feet per minute if the following conditions are met:
(A) The reduction in face velocity is controlled by an automatic system which does not require manual intervention. The automatic system shall increase the airflow to the flow required by (c)(1) when the hood is accessed.
(B) The laboratory-type hood has been tested at the reduced flow rate according to the tracer gas method specified in Section 7, Tracer Gas Test Procedure, of ANSI/ASHRAE 110-1995, Method of Testing Performance of Laboratory Fume Hoods, which is hereby incorporated by reference, and has a hood performance rating of 4.0 AU 0.1 or less. The test may be performed with or without the mannequin described in the ANSI/ASHRAE 110-1995 tracer gas method. 
The tracer gas test need only be performed once per hood. However, if employers have chosen to perform the tracer gas test on subsequent occasions, it is the most recent record of test results and test configuration that shall be maintained pursuant to subsection (c)(2)(C).
(C) The record of the most recent tracer gas test results and the “as used” test configuration shall be maintained as long as the automatic system is operable and thereafter for five years.
(d) Operation. Mechanical ventilation shall remain in operation at all times when hoods are in use and for a sufficient time thereafter to clear hoods of airborne hazardous substances. When mechanical ventilation is not in operation, hazardous substances in the hood shall be covered or capped off.
(e) Special Requirements.
(1) The face velocity required by subsection (c) should be obtainable with the movable sashes fully opened. Where the required velocity can only be obtained by partly closing the sash, the sash and/or jamb shall be marked to show the maximum opening at which the hood face velocity will meet the requirements of subsection (c). Any hood failing to meet requirements of subsection (c) and this paragraph shall be considered deficient in airflow and shall be posted with placards, plainly visible, which prohibit use of hazardous substances within the hood.
(2) When flammable gases or liquids are used, or when combustible liquids are heated above their flashpoints, hoods shall be designed, constructed, and installed so that hood openings at all sash positions provide sufficient airflow to prevent ignitable concentrations. Concentrations in the duct shall not exceed 20% of the lower explosive limits.
(3) In addition to being tested as required by Section 5143(a)(5), hoods shall meet the following requirements: 
(A) By January 1, 2008, hoods shall be equipped with a quantitative airflow monitor that continuously indicates whether air is flowing into the exhaust system during operation. The quantitative airflow monitor shall measure either the exact rate of inward airflow or the relative amount of inward airflow. Examples of acceptable devices that measure the relative amount of inward airflow include: diaphragm pressure gauges, inclined manometers, and vane gauges. The requirement for a quantitative airflow monitor may also be met by an airflow alarm system if the system provides an audible or visual alarm when the airflow decreases to less than 80% of the airflow required by subsection (c).
(B) Qualitative airflow measurements that indicate the ability of the hood to maintain an inward airflow at all openings of the hood as required by subsection (c)(1) shall be demonstrated using smoke tubes or other suitable qualitative methods. This demonstration shall be performed: 
1. Upon initial installation;
2. On an annual basis;

Exception to Subsection (3)(B)2.: The frequency of the tests may be reduced to every two years if a calibration and maintenance program is in place for the quantitative airflow monitor or alarm system.
3. After repairs or renovations of the hood or the ventilation system in that part of the facility where the hood is located; or 
4. After the addition of large equipment into the hood.
(4) Exhaust stacks shall be located in such a manner with respect to air intakes as to preclude the recirculation of laboratory-type hood emissions within a building. To protect employees on the roof, any one of the follow methods shall be utilized:
(A) Chemical treatment, absorption on activated charcoal, or scrubbers;
(B) Dilution of toxic materials below prescribed exposure limits prior to discharge;
(C) Locked gates, doors or other equivalent means acceptable to the Division which prevent employee access to exhaust stack discharge areas while hoods are in operation unless personnel are provided with appropriate respirators and other personal protection; or
(D) Exhaust stacks extending at least 7 feet above the roof and discharging vertically upward. Where rain protection is desired, high velocity discharge or concentric-duct, self-draining stacks (Figure V-9) or equivalent may be used. Rain caps which divert the exhaust toward the roof are prohibited.

FIGURE V-9
EXAMPLE OF A CONCENTRIC-DUCT SELF-DRAINING STACK

View Graphic
(5) Where emissions from the exhaust stack are likely to cause harmful exposure to employees, an effective air cleaning system shall be provided. Where virulent pathogens are likely to be released in the hood, incinerators or equally effective means of disposal shall be provided in the exhaust system to prevent employee exposure. See Section 5154.2 for requirements for biological safety cabinets.
(6) Blowers exhausting laboratory-type hoods in which hazardous substances are used shall be mounted outside the building or in service rooms outside the working area. For hoods with single, independent exhaust systems, blowers may be mounted inside the building provided that corrosion-resistant, sealed-joint duct-work is used.
(7) When perchloric acid is evaporated in laboratory-type hoods, the provisions of Section 5143(a)(4) shall apply. The materials of construction shall be inert, smooth, and nonabsorbent. Organic polymers shall not be used except for inert fluoropolymers, such as polytetrafluoroethylene [PTFE] and tetrafluoroethylene-hexafluoropropylene copolymer [Teflon FEP], or similar nonreactive material. The hood and exhaust system shall be washed down with water for decontamination and prior to opening for maintenance.
Exception: Portable laboratory scrubbing apparatus for perchloric acid digestions may be used in lieu of the special requirements of this paragraph.
(f) Operator Qualifications. The employer shall ensure that employees who use laboratory-type hoods are trained to:
(1) Use the hood and its features safely;
(2) Determine the date of the last performance test conducted pursuant to subsection (c)(2)(B) and if the hood performance met the requirements of this section;
(3) Understand the general hood purpose, airflow characteristics, and potential for turbulent airflow and escape of hazardous substances from the hood; and,
(4) Know where the quantitative airflow monitor or alarm system is located on the hood and how it is used to indicate an inward airflow during hood operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-12-76; effective thirtieth day thereafter (Register 76, No. 33).
2. Editorial correction of subsection (e)(4) (Register 76, No. 48).
3. Amendment of subsections (b) and (e)(4) filed 4-16-80; effective thirtieth day thereafter (Register 80, No. 16).
4. Amendment filed 10-11-94; operative 11-10-94 (Register 94, No. 41).
5. Amendment filed 7-31-2006; operative 8-30-2006 (Register 2006, No. 31).
6. Change without regulatory effect providing more legible illustration for Figure V-9 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5154.2. Ventilation Requirements for Biological Safety Cabinets.
Note     •     History

(a) Scope and Application. When biological safety cabinets, as defined below, are used to prevent harmful exposure from biohazard agents or biohazardous materials or hazardous substances they shall conform to the provisions of this Section and Section 5143.

Exception: Inspection doors or clean-out doors in exhaust ducts required by Section 5143(a)(3) do not apply to exhaust systems used in conjunction with biological safety cabinets.
(b) Definitions.
Biohazard agent means a replication capable pathogen which is a disease causing microorganism and is capable of causing diseases in humans including viruses, microbes and sub viral agents. The agent includes the agent, products of infectious agents, or the components of infectious agents presenting a risk of illness or injury.
Biohazardous materials are any materials that would harbor biohazardous agents such as human blood, body fluids, or tissues that may be contaminated with biohazardous agents.
(3) Biosafety level. Biosafety levels consist of laboratory practices and techniques, safety equipment, and laboratory facilities appropriate for the operations performed and the hazard posed by the particular biohazard material. The National Institute of Health, Centers for Disease Control defines four levels of biosafety in HHS publication No. 93-8395, “Biosafety in Microbiological and Biomedical Laboratories”, 1993. The publication states criteria for the determination of appropriate biosafety levels for microorganisms not listed.
(4) Biological safety cabinet. A ventilated cabinet which serves as a primary containment device for operations involving biohazard agents or biohazardous materials. Three classes of biological safety cabinets are described below:
Class I. The Class I biological safety cabinet is an open-fronted, negative pressure, ventilated cabinet. Exhaust air from the cabinet is filtered by a high efficiency particulate air (HEPA) filter and discharged without internal recirculation. This cabinet may be used in three operational modes; with a full width open front, with an installed front closure panel not equipped with gloves, and with an installed front closure panel equipped with arm-length protective gloves.
Class II. The Class II vertical laminar flow biological safety cabinet is an open fronted, ventilated cabinet. Exhaust air is filtered with a high efficiency particulate air filter (HEPA). This cabinet provides HEPA-filtered downward air flow within the workspace. Class II biological safety cabinets are further classified as type A, type B1, type B2, and type B3. Class II type A cabinets may have positive pressure contaminated internal ducts and may exhaust HEPA filtered air into the laboratory. Class II type B1 cabinets have all biologically contaminated internal ducts or plenums under negative pressure or surrounded by negative pressure ducts or plenums, exhaust HEPA filtered air through external ducts to space outside the laboratory, and have HEPA filtered downflow air composed largely of unrecirculated inflow air. Class II type B2 cabinets (also know as “total exhaust” cabinets) have all biologically contaminated internal ducts or plenums under negative pressure or surrounded by negative pressure ducts or plenums, exhaust HEPA filtered air through external ducts to space outside the laboratory, and have HEPA filtered downflow air drawn from the laboratory or outside air. Class II type B3 cabinets (also known as “convertible” cabinets) have all biologically contaminated internal ducts or plenums under negative pressure or surrounded by negative pressure ducts or plenums, exhaust HEPA filtered air through external ducts to space outside the laboratory, and have HEPA filtered downflow air that is a portion of the mixed downflow and inflow air from a common exhaust plenum.
Note: Design, construction, and performance standards are available from the NSF International (the National Sanitation Foundation), Ann Arbor, Michigan. That standard is “National Sanitation Foundation Standard 49 Class II (Laminar Flow) Biohazard Cabinetry”.
Class III. The Class III biological safety cabinet is a totally enclosed, negative pressure, ventilated cabinet of gas-tight construction. Operations within the Class III cabinet are conducted through attached protective gloves. Supply air is drawn into the cabinet through high efficiency particulate air filters. Exhaust air is filtered by two high efficiency particulate air filters placed in series or by high efficiency particulate air filtration and incineration, and discharged to the outdoor environment without re-circulation.
(5) Hazardous Substance. One which by reason of being explosive, flammable, poisonous, an irritant, or otherwise harmful is likely to cause injury or illness.
(6) High-efficiency particulate air (HEPA) filter. A filter capable of trapping and retaining at least 99.97 percent of all mono-dispersed particles 0.3 micrometers in diameter.
(c) Use. Where biological safety cabinets are used to prevent exposure to biohazard materials they shall be used according to the biosafety level assigned by the National Institute of Health, Centers for Disease Control, in HHS publication No. 93-8395, “Biosafety in Microbiological and Biomedical Laboratories”, 1993, to the particular microorganism, HHS publication No. 93-8395, “Biosafety in Microbiological and Biomedical Laboratories”, 1993, is available from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 and is hereby incorporated by reference. When a particular microorganism is not assigned a level or listed, the criteria given in that publication shall be used to determine the appropriate biosafety level.
Class II biological safety cabinets may be used to prevent harmful exposure to cytotoxic agents during their compounding or preparation for parenteral use. Biological safety cabinets may be used to control harmful exposure to aerosols and particulate matter, provided the presence of the substance in the biological safety cabinet does not present a risk of fire or explosion. When biological safety cabinets are used to control exposure to these hazards they shall meet the requirements of this Section.
Note: The U.S. Department of Labor  recommends the use of externally vented biological safety cabinets for the preparation of cytotoxic drugs in its work practice guidelines for cytotoxic drugs, OSHA Instruction PUB 8-1.1, January 29, 1986.
(d) Operation. In addition to the operation requirements of Section 5143(b) the mechanical ventilation system used to provide air flow and or negative pressures shall be operated until readily accessible interior surfaces are decontaminated. The manufacturers' recommendations for start-up and shut-down should also be followed. In the absence of such procedures, Appendix B contains a suggested start up and shut down procedure for Class II biological safety cabinets, the manufacturers' recommendations should also be followed.
(e) Ventilation rates and negative pressure. All Class I and II biological safety cabinet face velocities shall be sufficient to maintain an inward flow of air at all openings into the cabinet under operating conditions.
(1) The mechanical ventilation system in a Class I biological safety cabinet shall provide a minimum inward average face velocity of 75 linear feet per minute at the work opening.
(2) The mechanical ventilation system in a Class II type A biological safety cabinet shall provide a minimum inward average face velocity of at least 75 linear feet per minute at the work opening.
(3) The mechanical ventilation system in a Class II type B1, type B2, and type B3 biological safety cabinet shall provide a minimum inward average face velocity of at least 100 linear feet per minute at the work opening.
(4) The mechanical ventilation system in a Class III biological safety cabinet shall provide sufficient air flow to maintain a constant purging of the work area of hazardous vapors, gases or particulate generated within the cabinet and to dilute flammable dusts, gases, or vapors to below 20% of the lower explosive limit (LEL) at a minimum negative pressure inside the cabinet of 0.5 inches of water gauge.
(f) Airflow measurements and HEPA filter leak testing. Biological safety cabinets shall be tested after installation, alterations, or maintenance, and at least annually. Records of tests performed shall be retained for at least five years.
(1) The ventilation test requirements for Class I biological safety cabinets are as follows:
(A) Velocity measurements shall be made at the work opening of the cabinet with a calibrated anemometer.
(B) A quantitative aerosol challenge test shall be performed on each high-efficiency particulate air filter. The test must be capable of detecting penetrations exceeding 0.005% of particles 0.3 micrometers or larger while the cabinet is in normal operation. Any measurement exceeding 0.03% penetration shall establish a failure of the test. Appendix A contains a recommended high efficiency particulate air filter test protocol.
(C) The ability of the hood to maintain an inward flow as required by subsection (e) above shall be demonstrated using smoke tubes or other suitable qualitative methods.
(2) The ventilation test requirements for the Class II biological safety cabinets are as follows:
(A) For type A and B3 cabinets the average intake face velocity at the normal operating work access opening shall be determined by measuring the exhaust air velocity, calculating the cabinet's exhaust air volume, and dividing this volume by the open area of the work access opening. Average face velocity is calculated by the following equation: (average exhaust velocity X open area of HEPA filter or exhaust port) ¸ (area of normal work access opening) = average face velocity.

Exception: Cabinets in which the exhaust filter is not accessible can be measured directly at the work access opening using a calibrated total capture air flow hood to measure the air volume entering the cabinet, and dividing this measurement by the area of the work access opening to determine the average face velocity. 
(B) For type B1 cabinets the average intake velocity shall be determined by directly measuring the inflow velocity at the normal operating work access opening with the cabinet recirculating blower turned off. A calibrated total captured airflow hood may be used for type B1 cabinets as in (A) above.
(C) For type B2 cabinets the average face velocity shall be calculated based on total exhaust air volume (velocity measurement at exhaust port), supply airflow volume, and work access area. Average face velocity is calculated by the following equation: [(average exhaust velocity X area of exhaust port) - (average supply downflow velocity X open area of supply HEPA filter)] ¸ (area of normal work access opening) = average face velocity.

Exception: Average intake velocity can also be measured directly at the work access opening using a calibrated total capture air flow hood to measure the air volume entering the cabinet, and dividing this measurement by the area of the work access opening to determine the average face velocity.
(D) A quantitative aerosol challenge test shall be performed on each high-efficiency particulate air filter. The test must be capable of detecting penetrations exceeding 0.005% of particles 0.3 micrometers or larger while the cabinet is in normal operation. Any measurement exceeding 0.03% penetration shall establish a failure of the test. Appendix A contains a recommended high efficiency particulate air filter test protocol.
(E) The ability of the hood to maintain an inward flow as required by subsection (e) above shall be demonstrated using smoke tubes or other suitable qualitative methods.
(3) The ventilation test requirements for Class III biological safety cabinets are as follows:
(A) The airflow through the Class III biological safety cabinet shall be determined by measuring the exhaust velocity at the exhaust port. Total air volume is calculated by the following equation: (exhaust velocity) X (area of exhaust port) = total air volume. The air change rate for a class III biological safety cabinet shall be a minimum of 1 air change in 3 minutes or airflow required to maintain flammable gases/vapors below 20% of the LEL whichever is greater. The measurement of the negative pressure inside the cabinet shall be made with a calibrated gauge. The accuracy of the gauge shall be +5% at the required 0.5 inches of water gauge.
(B) A quantitative aerosol challenge test shall be performed on exhaust HEPA filters. The test must be capable of detecting penetrations exceeding 0.005% of particles, 0.3 micrometer or larger while the cabinet is in normal operation. Any measurement exceeding 0.03% penetration shall establish a failure of the test. Appendix A contains a recommended high efficiency particulate air filter test protocol.
(g) Special requirements.
(1) All test or maintenance activities requiring access to potentially contaminated interior spaces of the cabinet shall be performed after appropriate decontamination.
(2) A warning placard shall be placed on the front of the cabinet requiring decontamination prior to opening any service panel or other interior access.
(3) Where biological safety cabinets are attached to external duct systems with a blower and the cabinet system also contains a blower, or where the cabinet uses an external blower, an audible and visual alarm system to alert the user indicating the loss of exhaust flow in the external duct shall be used. Biological safety cabinets which are served with a canopy or thimble connected exhaust system shall have a ribbon streamer or like device attached to the edge of the canopy or thimble to indicate the direction of flow and are exempt from the requirement for flow alarms.
(h) Appendices. The information contained in the appendices is not intended, by itself, to create any additional obligations not otherwise imposed or detract from any existing obligation.
(i) Implementation. The requirements of subsection (g)(2) and (g)(3) shall be complied with no later than one year from the effective date of this Section. All other requirements of this Section shall be complied upon the effective date of this Section.
NOTE

Authority cited: Section 142.3, Labor code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-11-94; operative 11-10-94 (Register 94, No. 41).

Appendix A - High Efficiency Particulate Air Filter Aerosol Test Protocol (Non-Mandatory)
(a) Materials and apparatus
(1) Aerosol generator producing a non-hazardous oil aerosol (generated either hot or cold) of particles with a mass median diameter of less than 0.8 micrometers.
(2) Oil suitable for use in the aerosol generator when used in accordance with the generator manufacturer's instructions.
Note 1. Suitable oil has the following properties:  
white mineral oil with density of 0.869 kg/L at 15 0C;
pour point -25 0C;
flash point, closed cup 144 0C;
kinematic viscosity 14.3 centistokes at 40 0C and 3.10 centistokes at 100 0C with 99% unsulphonated residue.
Note 2. Dioctylphthalate (DOP) may be used in controlled conditions where operator exposure is limited and complies with the requirements of Section 5155.
(3) Photometer having a threshold sensitivity specific to the test aerosol of 0.0001 mg/L t o 120 mg/L.
(b) Procedure
(1) Operate the cabinet and introduce the aerosol challenge to the clean side of the filter and seals being tested.
Ensure that the volume of aerosol produced is sufficient to give a challenge concentration of between 50 mg/L  and 100 mg/L when the area of the filter under test and the manufacturers' volumetric flow rate are accounted for. Ensure that the challenge is uniformly distributed over the filter face. 
(2) Adjust the photometer to give a reading of 100 X when sampling this concentration.
(3) Using a sampling probe attached to the photometer, scan all filter faces, seals and construction joints with the probe held within 25mm of the surface and move at not more than 30 mm/s.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A filed 10-11-94; operative 11-10-94 (Register 94, No. 41).

Appendix B Start Up and Shut down Procedure (Non-Mandatory)
(a) Start up.
(1) Turn off ultraviolet sterilizer if so equipped.
(2) Turn on all blowers and cabinet illumination lights.
(3) Allow 5 minutes of operation to purge system, check flow alarm system audio and visual alarm function if so equipped.
(4) Decontaminate readily accessible interior surfaces with a disinfectant appropriate for the agents or suspected agents present.                   
(b) Shut down.
(1) Decontaminate and remove all items from interior work area.
(2) Decontaminate readily accessible interior surfaces with a disinfectant appropriate for the agents or suspected agents present.
(3) Turn on ultraviolet sterilizer if so equipped.
(4) Allow 5 minutes of operation to purge system.
(5) Turn off cabinet blower.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix B filed 10-11-94; operative 11-10-94 (Register 94, No. 41).
§5155. Airborne Contaminants.
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for controlling employee exposure to airborne contaminants and skin contact with those substances which are readily absorbed through the skin and are designated by the “S” notation in Table AC-1 at all places of employment in the state.
(2) When this section references another section for controlling employee exposures to a particular airborne contaminant, the provisions of this section for such substance shall apply only to those places of employment which are exempt from the other standard.

Exception: The provisions for strontium chromate contained in this section shall continue to apply in all workplaces and shall be in addition to the requirements stated in Sections 1532.2, 5206, and 8359.

Note: Table AC-1 of this section presents concentration limits for airborne contaminants to which nearly all workers may be exposed daily during a 40-hour workweek for a working lifetime without adverse effect. Because of some variation in individual susceptibility, an occasional worker may suffer discomfort, aggravation of a pre-existing condition, or occupational disease upon exposure to concentrations even below the values specified in these tables. The exposure limits established by this section reflect current medical opinion and industrial hygiene practice, doubts being resolved on the side of safety, and are intended to be used in accordance with good industrial hygiene practice by qualified persons. The division recognizes the need for almost continuous review of these concentration limits and also anticipates the need for including new or additional substances. Harmful exposure to any substances not listed in this section shall be controlled in accordance with section 5141.
(b) Definitions.
Ceiling Limit. The maximum concentration of an airborne contaminant to which an employee may be exposed at any time.
Eight-Hour Time-Weighted Average Concentration (TWA). An employee's exposure, as measured or calculated by the formula in Appendix A, to an airborne contaminant during a workday.
Permissible Exposure Limit (PEL). The maximum permitted 8-hour time-weighted average concentration of an airborne contaminant.
Short Term Exposure Limit (STEL). A 15-minute time-weighted average exposure which is not to be exceeded at any time during a workday even if the 8-hour time-weighted average is below the PEL. An averaging period other than 15 minutes may be specified in the footnotes at the end of Table AC-1.
(c) Exposure Limits.
(1) Permissible Exposure Limits (PELs).
(A) An employee exposure to an airborne contaminant in a workday, expressed as an 8-hour TWA concentration, shall not exceed the PEL specified for the substance in Table AC-1.
(B) When substances have additive health effects as described in section (B) of the Appendix to section 5155, the value of D shall not exceed unity.
(2) Short Term Limits.
(A) Short Term Exposure Limit. An employee exposure to an airborne contaminant, expressed as a 15-minute time-weighted average concentration, shall not exceed the STEL specified for the substance in Table AC-1 at any time during the workday. If another averaging period is indicated in the footnotes to Table AC-1, the time-weighted average exposure over that time period shall not exceed the specified STEL at any time during the workday.
(B) All Other Substances Without a Ceiling Limit. Employee exposure to concentrations above the PEL shall be controlled so as to prevent harmful effects such as narcosis, significant irritation of the eyes, skin or respiratory tract, or chronic or irreversible tissue change.

Note: Such substances are not known to cause adverse effects if the maximum concentration of exposure is limited in accordance with the following guidelines.

	PEL Value* 	Multiplication Factor
	(From Table AC-1)	For Maximum Concentration
	0 to 1	3
	>1 to 10	2
	>10	1.5
*Use ppm value unless the concentration is only expressed in mg/M3
(3) Ceiling Limits. Employee exposures shall be controlled such that the applicable ceiling limit specified in Table AC-1 for any airborne contaminant is not exceeded at any time.
(d) Skin Notation and Protective Clothing. The substances designated by “S” in the skin notation column of Table AC-1 may be absorbed into the bloodstream through the skin, the mucous membranes and/or the eye, and contribute to the overall exposure. Appropriate protective clothing shall be provided for and used by employees as necessary to prevent skin absorption.

Note: The above requirement does not remove the employer's responsibility to provide appropriate protection from corrosive or skin irritating materials which may not bear the “S” designation.
(e) Workplace Monitoring.
(1) Whenever it is reasonable to suspect that employees may be exposed to concentrations of airborne contaminants in excess of levels permitted in section 5155(c), the employer shall monitor (or cause to have monitored) the work environment so that exposures to employees can be measured or calculated.
(2) When exposures to airborne contaminants are found or are expected to exceed allowable levels, measures to control such harmful exposures shall be instituted in accordance with section 5141.
(3) For the adequate protection of employees, the person supervising, directing or evaluating the monitoring and control methods shall be versed in this standard and shall be competent in industrial hygiene practice.

Note: To facilitate the detection of conditions leading to serious overexposures, the screening of the work environment by any person authorized by the employer, using appropriate measuring devices, is encouraged.
(4) All monitoring results shall be recorded and such records shall be retained in accordance with section 3204.
(f) Medical Surveillance. A medical surveillance program approved by the division may be required to ensure satisfactory maintenance of employee health and to ascertain the effectiveness of the control method(s).

Appendix to Section 5155
(A) Computation for Exposures to Contaminants with Independent Health Effects.
The 8-hour time-weighted average concentration (TWA) of a single substance to which an individual is exposed during a workday shall be calculated using the following formula to determine compliance with the PEL specified in Table AC-1.

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where T is the duration in hours of the exposure to a substance at the concentration C. For multiple substances with independent health effects, an independent comparison of each TWA with the corresponding PEL shall be made to determine compliance.
*Note: Eight (8) is used as denominator regardless of total hours of workday.
EXAMPLE: To illustrate the use of this formula, assume Substance A has an 8-hour time weighted average permissible exposure limit of 100 ppm noted in Table AC-1 and an employee is exposed to an airborne concentration of Substance A of 150 ppm for 2 hours, 75 ppm for 3 hours, and 50 ppm for 4 hours during a 9-hour workday:
TWA = [(150 x 2) + (75 x 3) + (50 x 4)]/8* = 91 ppm.
The series of exposures in this example are equivalent to an 8-hour exposure at a concentration of 91 ppm which is below the PEL value of 100 ppm specified for Substance A.
(B) Computation for Exposures to Contaminants with Additive Health Effects.
In the absence of information to the contrary, the adverse health effects of exposure to two or more toxic materials during the workday shall be considered additive and the following formula shall be used for calculating D, the fraction of the allowable daily exposure.

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where TWA is the time-weighted average concentration of a particular substances involved in the exposure (as calculated by the formula in Section (A) of this Appendix), and PEL is the corresponding permissible exposure limit for that substance as specified by Table AC-1. The value of D shall not exceed unity.
EXAMPLE: To illustrate the use of this formula, consider the following exposures:

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Since D is less than unity (1), the exposure to multiple contaminants is within acceptable limits.
Health effects for multiple contaminants are not considered additive when different organs of the body are affected by individual substances, or where the same effect (such as narcosis) is produced by two substances but the PEL for one substance is based on another effect. For example, vinyl chloride and toluene can both cause narcotic effects, however, the PEL for vinyl chloride is established to protect against cancer while the PEL for toluene is established to protect against non-carcinogenic effects.

TABLE AC-1
PERMISSIBLE EXPOSURE LIMITS FOR CHEMICAL CONTAMINANTS

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Footnotes to Table AC-1
(a) The Chemical Abstracts Service Registry Number is a designation used to identify a specific compound or substance regardless of the naming system; these numbers were obtained from the Desk Top Analysis Tool for the Common Data Base and from the Chemical Abstracts Indexes.
(b) Refer to section 5155(d) for the significance of the Skin notation.
(c) Trade Names Removed from Table AC-1.

Trade Name	Chemical/Generic Name
Abate	see	Temephos
Ammate	see	Ammonium Sulfamate
Aqualin	see	Acrolein
Arasan	see	Thiram
Azodrin	see	Moncrotophos
Baygon	see	Propoxur
Bidrin	see	Dicrotophos
Butyl Cellosolve	see	2-Butoxyethanol
Cellosolve	see	2-Ethoxyethanol
Cellosolve Acetate	see	2-Ethoxyethyl acetate
Compound 1080	see	Sodium Fluoracetate
Coyden	see	Clopidol
Crag Herbicide	see	Sesone
Cythion	see	Malathion
Dasanit	see	Fensulfothion
Delnav	see	Dioxathion
Dibrom	see	Naled
Difolatan	see	Captafol
Disyston	see	Disulfoton
Dowtherm A	see	Phenylether and Biphenyl
Dursban	see	Chloropyrifos
Dyfonate	see	Fonofos
Fermate	see	Ferbam
Freons	see	Fluorocarbons
Furadan	see	Carbofuran
Guthion	see	Azinphos Methyl
Korlan	see	Ronnel
Lannate	see	Methomyl
Mariate	see	Methoxychlor
MLT	see	Malathion
Moxie	see	Methoxychlor
Nialate	see	Ethion
Nankor	see	Ronnel
Phosdrin	see	Mevinphos
Pival	see	Pindone
Plictran	see	Cyhexatin
Santobrite	see	Pentachlorophenol
Sevin	see	Carbaryl
Systox	see	Demeton
Teflon	see	Polytetrafluoroethylene
Thimet	see	Phorate
Thiodan	see	Endosulfan
Tordon	see	Picloram
Trolene	see	Ronnel
Vapona	see	Dichlorvos
Weedone 638	see	2, 4-D
Zoalene	see	Dinitolmide

(d) For the definition and the application of the Permissible Exposure Limit (PEL), refer to section 5155(b) and (c)(1).
(e) Parts of gas or vapor per million parts of air by volume at 25oC and 760mm Hg pressure.
(f) Milligrams of substance per cubic meter of air at 25oC and 760mm Hg pressure.
(g) Refer to section 5155(b) and (c)(3) for the significance of the Ceiling notation. A “C” notation in this column means the values given in the PEL columns are ceiling values. A numerical entry in this column represents a ceiling value in addition to the TWA values.
(h) A number of gases and vapors, when present in high concentrations, act primarily as asphyxiants without other adverse effects. A concentration limit is not included for each material because the limiting factor is the available oxygen. (Several of these materials present fire or explosion hazards.)
(i) Coal tar pitch volatiles (benzene or cyclohexane-soluble fraction) include fused polycyclic hydrocarbons (some of which are known carcinogens) which volatilize from the distillation residues of coal, petroleum (excluding asphalt), wood, and other organic matter. Asphalt (CAS 8052-42-4, and CAS 64742-93-4) is not covered under the “coal tar pitch volatiles” standard.
(j) This standard applies to the cotton waste processing operations of waste recycling (sorting, blending, cleaning, and willowing) and garnetting. It does not apply to cotton gins, cottonseed oil industry, or operations covered by section 5190.
(k) A PEL of 0.05 ppm shall apply to exposures involving a mixture of ethylene glycol dinitrate and nitroglycerin.
(l) As sampled by method that does not collect vapor.
(m) Thermal decomposition of the fluorocarbon chain in air leads to the formation of oxidized products containing carbon, fluorine and oxygen. An index of exposure to these products is possible through their alkaline hydrolysis followed by a quantitative determination of fluoride content. No particular concentration limit is specified pending evaluation of the toxicity of the products but concentrations should be kept below the sensitivity of the analytical method.
(n) The concentration and percentage of the particulate used for this limit are determined from the fraction passing a size selector with the following characteristics:

	Aerodynamic Diameter
	in Micrometers	Percent  
	(unit density sphere)	Passing Selector

	0	100
	1	97
	2	91
	3	74
	4	50
	5	30
	6	17
	7	9
	8	5
	10	1
(o) Refer to sections 5155(b) and (c)(2) for the definition and application of the Short Term Exposure Limit (STEL).
(p) (Reserved)
(q) Fibers per cubic centimeter of air at 25oC and 760mm Hg pressure. To be considered a fiber for this limit, the particle must be longer than 5mm, have a length to diameter ratio of three or more, and have a diameter less than 3mm. The National Institute for Occupational Safety and Health (NIOSH), Method 7400, Issue 2, August 15, 1994, which is hereby incorporated by reference, shall be used for measuring airborne fiber concentrations.
(r) Compliance with the subtilisins PEL is assessed by sampling with a high volume sampler (600-800 liters per minute) for at least 60 minutes.
(s) The concentration and percentage of the particulate used for this limit are determined from the fraction passing a size selector with the following characteristics:

	Aerodynamic Diameter
	in Micrometers	Percent  
	(unit density sphere)	Passing Selector

	0	100
	1	97
	2	94
	5	87
	10	77
	20	65
	30	58
	40	54.5
	50	52.2
	100	50
(t) Glutaraldehyde can cause occupational asthma and skin sensitization responses such as contact dermatitis. Exposure related symptoms may include one or more of the following: shortness of breath, chest tightness, wheeze, cough, skin rash, hives, and irritation of the nose, throat, skin or eye. Hazard communication training required by sections 5191 or 5194 shall address these health hazards and symptoms along with the measures taken by the employer to evaluate and control exposures that can include medical evaluations, exposure monitoring, ventilation systems, work practices, and personal protective equipment. The communication system required by section 3203 shall inform employees where to report possible health symptoms and where to ask questions, report concerns, and receive information about the employer's evaluation and control measures.
(u) This PEL applies to the sum of the exposures to the substance in the vapor state and from the particulate fraction specified in footnote (s) in this table.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 144.6, Labor Code.
HISTORY

1. Editorial correction of printing errors (Register 84, No. 4). For prior history, see Register 83, No. 45.
2. Amendment of Table AC-1 filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Amendment of Tables AC-2 and AC-3 filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
4. Amendment of Table AC-2 filed 9-26-84; effective thirtieth day thereafter (Register 84, No. 39).
5. Amendment of Table AC-3 filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment of Table AC-1 filed 1-16-85; effective thirtieth day thereafter (Register 85, No. 3).
7. Editorial correction of printing error of mppcf designation for Talc (fibrous, nonfibrous and mixtures) in Table AC-3 (Register 85, No. 12).
8. Amendment of Table AC-1 and footnote (j) filed 11-21-86; effective thirtieth day thereafter (Register 86, No.47).
9. Amendment of subsection (c), (d), (f), Tables AC-1, AC-2 and AC-3 filed 2-3-87; effective thirtieth day thereafter (Register 87, No. 6).
10. Amendment filed 7-26-90; operative 8-25-90 (Register 91, No. 1).
11. Amendment of Table AC-1 and footnotes to Table AC-1 filed 11-21-90; operative 12-21-90 (Register 91, No. 1).
12. Editorial correction of graphic correcting spelling of Beryllium and adding measurements omitted (Register 91, No. 23).
13. Amendment of Table AC-1 and NOTE filed 4-7-92; operative 5-7-92 (Register 92, No. 14).
14. Editorial correction of printing error repositioning Grain dust (Register 92, No. 34).
15. Amendment of Table AC-1 filed 3-3-93; operative 4-2-93 (Register 93, No. 11).
16. Amendment of Table AC-1 filed 4-30-93; operative 5-31-93 (Register 93, No. 18).
17. Change without regulatory effect amending Table AC-1 Formaldehyde filed 12-7-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 49).
18. Amendment of subsections (a)(2) and (c)(2)(B) and Table AC-1 filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
19. Editorial corrections (Register 95, No. 24).
20. Change without regulatory effect amending Table AC-1 filed 6-12-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 24).
21. Change without regulatory effect amending Table AC-1 filed 6-29-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 26).
22. Editorial correction repositioning “Particulates not otherwise regulated” (Register 95, No. 35).
23. Amendment of Table AC-1 (1,3 Butadiene) filed 5-29-97; operative 8-27-97 (Register 97, No. 22).
24. Amendment of Table AC-1 (methylene chloride) filed 8-4-97; operative 11-2-97 (Register 97, No. 32).
25. Change without regulatory effect amending Table AC-1 (silver) filed 1-6-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
26. Change without regulatory effect amending table AC-1 filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
27. Change without regulatory effect repealing Appendix footnote (q) filed 6-27-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 26).
28. Editorial correction of placement of appendix footnote (h) reference (Register 2000, No. 51).
29. Change without regulatory effect amending subsection (c)(1)(B) and amending appendix filed 12-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 51).
30. Amendment of Table AC-1 filed 1-4-2001; operative 2-3-2001 (Register 2001, No. 1).
31. Editorial correction of Table AC-1, entries for styrene, sulfometuron methyl and 4-vinyl cyclohexene (Register 2001, No. 24).
32. Change without regulatory effect amending Table AC-1 entry for dicyclohexylmethane-4,4i-diisocyanate filed 7-19-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 29).
33. Editorial correction of Table AC-1, entries for aluminum alkyls, 4,4'-diaminobiphenyl, 2,6-Di-tert-butyl-p-cresol, rubber solvent, TEPP and tetramethyl thiuram disulfide (Register 2001, No. 49).
34. Change without regulatory effect amending appendix and Table AC-1 filed 1-17-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 3).
35. Amendment of Table AC-1 filed 10-1-2004; operative 10-31-2004 (Register 2004, No. 40).
36. Amendment of Table AC-1, including new footnote (s), filed 10-4-2004; operative 11-3-2004 (Register 2004, No. 41).
37. Amendment of Table AC-1, including new footnotes (t) and (u), filed 6-6-2006; operative 7-6-2006. (The ceiling limit of 0.05 ppm for Glutaraldehyde will take effect 7-6-2008) (Register 2006, No. 23).
38. Editorial correction of Table AC-1, Beryllium and Methyl 2-cyanoacrylate (Register 2006, No. 29).
39. Amendment of subsection (a)(2) and amendment of Table AC-1 filed 9-19-2006; operative 9-19-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 38).
40. Editorial correction of Table AC-1 -- Methyl chloride (Register 2007, No. 32).
41. Change without regulatory effect repealing Table AC-1 footnote u filed 9-23-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 39).
42. Editorial correction of Table AC-1, footnote (k) (Register 2009, No. 21).
43. Amendment of Table AC-1 and footnotes (n) and (q) and new footnote (u) filed 2-3-2010; operative 8-3-2010 (Register 2010, No. 6).
44. Change without regulatory effect amending Table AC-1 filed 5-31-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 22).
45. Change without regulatory effect amending Table AC-1, footnote (n) filed 1-24-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 4).
46. Amendment of Table AC-1 filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
47. Editorial correction of Table AC-1 (Register 2012, No. 37).
Article 108. Confined Spaces
§5156. Scope, Application and Definitions.
Note     •     History

(a) Scope. This Article prescribes minimum standards for preventing employee exposure to confined space hazards, as defined by Section 5156(b), within such spaces as silos, tanks, vats, vessels, boilers, compartments, ducts, sewers, pipelines, vaults, bins, tubs, and pits.
Note: This Article does not apply to underwater operations conducted in diving bells or other underwater devices or to supervised hyperbaric facilities.
(b) Application and definitions.
(1) For operations and industries not identified in subsection (b)(2), the confined space definition along with other definitions and requirements of section 5157, Permit-Required Confined Spaces shall apply.
(2) The confined space definition along with other definitions and requirements of section 5158, Other Confined Space Operations shall apply to:
(A) Construction operations regulated by section 1502;
(B) Agriculture operations (including cotton gins) defined by section 3437;
(C) Marine terminal operations defined in section 3460;
(D) Telecommunication manholes and unvented vaults regulated by section 8616;
(E) Grain handling facilities regulated by section 5178.
(F) Natural gas utility operation within distribution and transmission facility vaults defined in Title 49 Code of Federal Regulations Parts 191, 192 and 193; or
(G) Electric utility operations within underground vaults.  See section 2700 for a definition of vault.
Note: Shipyard operations are regulated by section 8355.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. New article 108 (sections 5156-5159) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
2. Amendment of section heading, subsection (a) and Note and repealer and new subsection (b) filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
3. Change without regulatory effect amending subsection (b)(2)(D) filed 2-9-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 6).
4. Repealer of subsection (b)(2)(D), subsection relettering, and new Note filed 1-30-95; operative 1-30-95. Submitted to OAL for printing only pursuant to Labor Code Section 142.3(a)(3) (Register 95, No. 5).
5. Editorial correction restoring inadvertently omitted article 108 heading (Register 2000, No. 31).
§5157. Permit-Required Confined Spaces.
Note     •     History

(a) Scope and application.  This section contains requirements for practices and procedures to protect employees from the hazards of entry into permit-required confined spaces.  This section applies to employers, as specified in section 5156(b)(1).
(b) Definitions.
Acceptable entry conditions means the conditions that must exist in a permit space to allow entry and to ensure that employees involved with a permit-required confined space entry can safely enter into and work within the space. 
Attendant means an individual stationed outside one or more permit spaces who monitors the authorized entrants and who performs all attendant's duties assigned in the employer's permit space program.
Authorized entrant means an employee who is authorized by the employer to enter a permit space.
Blanking or blinding means the absolute closure of a pipe, line, or duct by the fastening of a solid plate (such as a spectacle blind or a skillet blind) that completely covers the bore and that is capable of withstanding the maximum pressure of the pipe, line, or duct with no leakage beyond the plate.
Confined space means a space that:
(1) Is large enough and so configured that an employee can bodily enter and perform assigned work; and 
(2) Has limited or restricted means for entry or exit (for example, tanks, vessels, silos, storage bins, hoppers, vaults, and pits are spaces that may have limited means of entry.); and
(3) Is not designed for continuous employee occupancy.
Double block and bleed means the closure of a line, duct, or pipe by closing and locking or tagging two in-line valves and by opening and locking or tagging a drain or vent valve in the line between the two closed valves.
Emergency means any occurrence (including any failure of hazard control or monitoring equipment) or event internal or external to the permit space that could endanger entrants.
Engulfment means the surrounding and effective capture of a person by a liquid or finely divided (flowable) solid substance that can be aspirated to cause death by filling or plugging the respiratory system or that can exert enough force on the body to cause death by strangulation, constriction, or crushing.
Entry means the action by which a person passes through an opening into a permit-required confined space.  Entry includes ensuing work activities in that space and is considered to have occurred as soon as any part of the entrant's body breaks the plane of an opening into the space.
Entry permit (permit) means the written or printed document that is provided by the employer to allow and control entry into a permit space and that contains the information specified in subsection (f).
Entry supervisor means the person (such as the employer, foreman, or crew chief) responsible for determining if acceptable entry conditions are present at a permit space where entry is planned, for authorizing entry and overseeing entry operations, and for terminating entry as required by this section.
Note: An entry supervisor also may serve as an attendant or as an authorized entrant, as long as that person is trained and equipped as required by this section for each role he or she fills.  Also, the duties of entry supervisor may be passed from one individual to another during the course of an entry operation.
Hazardous atmosphere means an atmosphere that may expose employees to the risk of death, incapacitation, impairment of ability to self-rescue (that is, escape unaided from a permit space), injury, or acute illness from one or more of the following causes:
(1) Flammable gas, vapor, or mist in excess of 10 percent of its lower flammable limit (LFL);
(2) Airborne combustible dust at a concentration that meets or exceeds its LFL;
Note: This concentration may be approximated as a condition in which the dust obscures vision at a distance of 5 feet (1.52 M) or less.
(3) Atmospheric oxygen concentration below 19.5 percent or above 23.5 percent;
(4) Atmospheric concentration of any substance for which a dose is published in Group 14 for Radiation and Radioactivity or a permissible exposure limit is published in section 5155 for Airborne contaminants and which could result in employee exposure in excess of its dose or permissible exposure limit;
Note: An atmospheric concentration of any substance that is not capable of causing death, incapacitation, impairment of ability to self-rescue, injury, or acute illness due to its health effects is not  covered  by this provision.
(5) Any other atmospheric condition that is immediately dangerous to life or health.
Note: For air contaminants for which a dose is not published in Group 14 for Radiation and Radioactivity or a permissible exposure limit is not published in section 5155 for Airborne contaminants, other sources of information such as: Material Safety Data Sheets that comply with section 5194, published information, and internal documents can provide guidance in establishing acceptable atmospheric conditions.
Hot work permit means the employer's written authorization to perform operations (for example, riveting, welding, cutting, burning, and heating) capable of providing a source of ignition.
Immediately dangerous to life or health (IDLH) means any condition that poses an immediate or delayed threat to life or that would cause irreversible adverse health effects or that would interfere with an individual's ability to escape unaided from a permit space.
Note: Some materials -- hydrogen fluoride gas and cadmium vapor, for example -- may produce immediate transient effects that, even if severe, may pass without medical attention, but are followed by sudden, possibly fatal collapse 12-72 hours after exposure.  The victim “feels normal” from recovery from transient effects until collapse.  Such materials in hazardous quantities are considered to be “immediately” dangerous to life or health.
Inerting means the displacement of the atmosphere in a permit space by a noncombustible gas (such as nitrogen) to such an extent that the resulting atmosphere is noncombustible.
Note: This  procedure produces an IDLH oxygen-deficient atmosphere.
Isolation means the process by which a permit space is removed from service and completely protected against the release of energy and material into the space by such means as: Blanking or blinding; misaligning or removing sections of lines, pipes, or ducts; a double block and bleed system; lockout or tagout of all sources of energy; or blocking or disconnecting all mechanical linkages.
Line breaking means the intentional opening of a pipe, line, or duct that is or has been carrying flammable, corrosive, or toxic material, an inert gas, or any fluid at a volume, pressure or temperature capable of causing injury.
Non-permit confined space means a confined space that does not contain or, with respect to atmospheric  hazards, have the potential to contain any hazard capable of causing death or serious physical harm.
Oxygen deficient atmosphere means an atmosphere containing less than 19.5 percent oxygen by volume.
Oxygen enriched atmosphere means an atmosphere containing more than 23.5 percent oxygen by volume.
Permit-required confined space (permit space) means a confined space that has one or more of the following characteristics:
(1) Contains or has a potential to contain a hazardous atmosphere;
(2) Contains a material that has the potential for engulfing an entrant;
(3) Has an internal configuration such that an entrant could be trapped or asphyxiated by inwardly converging walls or by a floor which slopes downward and tapers to a smaller cross-section; or
(4) Contains any other recognized serious safety or health hazard.
Permit-required confined space program (permit space program) means the employer's overall program for controlling, and, where appropriate, for protecting employees from, permit space hazards and for regulating employee entry into permit spaces.
Permit system means the employer's written procedure for preparing and issuing permits for entry and for returning the permit space to service following termination of entry.
Prohibited condition means any condition in a permit space that is not allowed by the permit during the period when entry is authorized.
Rescue service means the personnel designated to rescue employees from permit spaces.
Retrieval system means the equipment (including a retrieval line, chest or full-body harness, wristlets, if appropriate, and a lifting device or anchor) used for non-entry rescue of persons from permit spaces.
Testing means the process by which the hazards that may confront entrants of a permit space are identified and evaluated. Testing includes specifying the tests that are to be performed in the permit space. If electronic or thermal equipment is used to perform such tests, and the possibility exists of an explosive substance or a hazardous atmosphere due to flammable gases and vapors, then the testing equipment must be approved for use in such explosive or flammable conditions as required by section 2540.2.
Note: Testing enables employers both to devise and implement adequate control measures for the protection of authorized entrants and to determine if acceptable entry conditions are present immediately prior to, and during, entry.
(c) General requirements.
(1) The employer shall evaluate the workplace to determine if any spaces are permit-required confined spaces.
Note: Proper application of the decision flow chart in Appendix A would facilitate compliance with this requirement.
(2) If the workplace contains permit spaces, the employer shall inform exposed employees and other employees performing work in the area, by posting danger signs or by any other equally effective means, of the existence, location of and the danger posed by the permit spaces.
Note: A sign reading “DANGER -- PERMIT-REQUIRED CONFINED SPACE, DO NOT ENTER” or using other similar language would satisfy the requirement for a sign.
(3) If the employer decides that its employees and other employees performing work in the area will not enter permit spaces, the employer shall take effective measures to prevent all such employees from entering the permit spaces and shall comply with subsections (c)(1), (c)(2), (c)(6), and (c)(8).
(4) If the employer decides that its employees will enter permit spaces, the employer shall develop and implement a written permit space program that complies with this section.  The written program shall be available for inspection by employees and their authorized representatives.
(5) An employer may use the alternate procedures specified in subsection (c)(5)(B) for entering a permit space under the conditions set forth in subsection (c)(5)(A).
(A) An employer whose employees enter a permit space need not comply with subsections (d) through (f) and (h) through (k), provided that:
1. The employer can demonstrate that the only hazard posed by the permit space is an actual or potential hazardous atmosphere;
2. The employer can demonstrate that continuous forced air ventilation alone is sufficient to maintain that permit space safe for entry;
3. The employer develops monitoring and inspection data that supports the demonstrations required by subsections (c)(5)(A)1. and 2.;
4. If an initial entry of the permit space is necessary to obtain the data required by subsection (c)(5)(A)3., the entry is performed in compliance with subsections (d) through (k);
5. The determinations and supporting data required by subsections (c)(5)(A)1., 2. and 3. are documented by the employer and are made available to each employee who enters the permit space under the terms of subsection (c)(5) or to that employee's authorized representative; and 
6. Entry into the permit space under the terms of subsection (c)(5)(A) is performed in accordance with the requirements of subsection (c)(5)(B).
Note: See subsection (c)(7) for  reclassification of a permit space after all hazards within the space have been eliminated.
(B) The following requirements apply to entry into permit spaces that meet the conditions set forth in subsection (c)(5)(A).
1. Any conditions making it unsafe to remove an entrance cover shall be eliminated before the cover is removed.
2. When entrance covers are removed, the opening shall be promptly guarded by a railing, temporary cover, or other temporary barrier that will prevent an accidental fall through the opening and that will protect each employee working in the space from foreign objects entering the space.
3. Before an employee enters the space, the internal atmosphere shall be tested, with a calibrated direct-reading instrument, for the following conditions in the order given:
a. Oxygen content,
b. Flammable gases and vapors, and
c. Potential toxic air contaminants.
4. There may be no hazardous atmosphere within the space whenever any employee is inside the space.
5. Continuous forced air ventilation shall be used, as follows:
a. An employee may not enter the space until the forced air ventilation has eliminated any hazardous atmosphere;
b. The forced air ventilation shall be so directed as to ventilate the immediate areas where an employee is or will be present within the space and shall continue until all employees have left the space;
c. The air supply for the forced air ventilation shall be from a clean source and may not increase the hazards in the space.
6. The atmosphere within the space shall be periodically tested as necessary to ensure that the continuous forced air ventilation is preventing the accumulation of a hazardous atmosphere.
7. If a hazardous atmosphere is detected during entry:
a. Each employee shall leave the space immediately;
b. The space shall be evaluated to determine how the hazardous atmosphere developed; and
c. Measures shall be implemented to protect employees from the hazardous atmosphere before any subsequent entry takes place.
8. The employer shall verify that the space is safe for entry and that the pre-entry measures required by subsection (c)(5)(B) have been taken, through a written certification that contains the date, the location of the space, and the signature of the person providing the certification.  The certification shall be made before entry and shall be made available to each employee entering the space or to that employee's authorized representative.
9. Any employee who enters the space, or that employee's authorized representative, shall be provided an opportunity to observe the pre-entry testing required by subsections (c)(5)(B)3. and 6.
(6) When there are changes in the use or configuration of a non-permit confined space that might increase the hazards to entrants, the employer shall reevaluate that space and, if necessary, reclassify it as a permit-required confined space.
(7) A space classified by the employer as a permit-required confined space may be reclassified as a non-permit confined space under the following procedures:
(A) If the permit space poses no actual or potential atmospheric hazards and if all hazards within the space are eliminated without entry into the space, the permit space may be reclassified as a non-permit confined space for as long as the non-atmospheric hazards remain eliminated.
(B) If it is necessary to enter the permit space to eliminate hazards, such entry shall be performed under subsections (d) through (k).  If testing and inspection during that entry demonstrate that the hazards within the permit space have been eliminated, the permit space may be reclassified as a non-permit confined space for as long as the hazards remain eliminated.
Note: Control of atmospheric hazards through forced air ventilation does not constitute elimination of the hazards.  Subsection (c)(5) covers permit space entry where the employer can demonstrate that forced air ventilation alone will control all hazards in the space.
(C) The employer shall document the basis for determining that all hazards in a permit space have been eliminated through a certification that contains the date, the location of the space, and the signature of the person making the determination.  The certification shall be made available to each employee entering the space or to that employee's authorized representative.
(D) If hazards arise within a permit space that has been declassified to a non-permit space under subsection (c)(7), each employee in the space shall exit the space.  The employer shall then reevaluate the space and determine whether it must be reclassified as a permit space, in accordance with other applicable provisions of this section.
(8) When an employer (host employer) arranges to have employees of another employer (contractor) perform work that involves permit space entry or confined space entries covered by sections 5158 or 8355, the host employer shall:
(A) Inform the contractor that the workplace contains permit spaces and that permit space entry is allowed only through compliance with a permit space program meeting the requirements of this section, section 5158 or section 8355, depending on which section applies to the contractor;
(B) Apprise the contractor of the elements, including the hazards identified and the host employer's experience with the space, that make the space in question a permit space;
(C) Apprise the contractor of any precautions or procedures that the host employer has implemented for the protection of employees in or near permit spaces where contractor personnel will be working;
(D) Coordinate entry operations with the contractor, when both host employer personnel and contractor personnel will be working in or near permit spaces, as required by subsection (d)(11); and
(E) Debrief the contractor at the conclusion of the entry operations regarding the permit spaced program followed and regarding any hazards confronted or created in permit spaces during entry operations.
(9) In addition to complying with the permit space requirements that apply to all employers, each contractor who is retained to perform permit space entry operations shall:
(A) Obtain any available information regarding permit space hazards and entry operations from the host employer;
(B) Coordinate entry operations with the host employer, when both host employer personnel and contractor personnel will be working in or near permit spaces, as required by subsection (d)(11); and
(C) Inform the host employer of the permit space program that the contractor will follow and of any hazards confronted or created in permit spaces, either through a debriefing or during the entry operation.
(d) Permit-required confined space program (permit space program).  Under the permit required confined space program required by subsection (c)(4), the employer shall:
(1) Implement the measures necessary to prevent unauthorized entry;
(2) Identify and evaluate the hazards of permit spaces before employees enter them;
(3) Develop and implement the means, procedures, and practices necessary for safe permit space entry operations, including, but not limited to, the following:
(A) Specifying acceptable entry conditions;
(B) Isolating the permit space;
(C) Purging, inerting, flushing, or ventilating the permit space as necessary to eliminate or control atmospheric hazards;
(D) Providing pedestrian, vehicle, or other barriers as necessary to protect entrants from external hazards; and
(E) Verifying that conditions in the permit space are acceptable for entry throughout the duration of an authorized entry.
(4) Provide the following equipment (specified in subsections (A) through (I), below) at no cost to employees, maintain that equipment properly, and ensure that employees use that equipment properly:
(A) Testing and monitoring equipment needed to comply with subsection (d)(5);
(B) Ventilating equipment needed to obtain acceptable entry conditions;
(C) Communications equipment necessary for compliance with subsections (h)(3) and (i)(5); 
(D) Personal protective equipment insofar as feasible engineering and work practice controls do not adequately protect employees;
(E) Lighting equipment needed to enable employees to see well enough to work safely and to exit the space quickly in an emergency;
(F) Barriers and shields as required by subsection (d)(3)(D);
(G) Equipment, such as ladders, needed for safe ingress and egress by authorized entrants;
(H) Rescue and emergency equipment needed to comply with subsection (d)(9), except to the extent that the equipment is provided by rescue services; and
(I) Any other equipment necessary for safe entry into and rescue from permit spaces.
(5) Evaluate permit space conditions as follows when entry operations are conducted:
(A) Test conditions in the permit space to determine if acceptable entry conditions exist before entry is authorized to begin, except that, if isolation of the space is infeasible because the space is large or is part of a continuous system (such as a sewer), pre-entry testing shall be performed to the extent feasible before entry is authorized and, if entry is authorized, entry conditions shall be continuously monitored in the areas where authorized entrants are working;
(B) Test or monitor the permit space as necessary to determine if acceptable entry conditions are being maintained during the course of entry operations, and 
(C) When testing for atmospheric hazards, test first for oxygen, then for combustible gases and vapors, and then for toxic gases and vapors.
(D) Provide each authorized entrant or that employee's authorized representative an opportunity to observe the pre-entry and any subsequent testing or monitoring of permit spaces;
(E) Reevaluate the permit space in the presence of any authorized entrant or that employee's authorized representative who requests that the employer conduct such reevaluation because the entrant or representative has reason to believe that the evaluation of that space may not have been adequate;
(F) Immediately provide each authorized entrant or that employee's authorized representative with the results of any testing conducted in accord with subsection (d).
Note: Atmospheric testing conducted in accordance with Appendix B would be considered as satisfying the requirements of this subsection.  For permit space operations in sewers, atmospheric testing conducted in accordance with Appendix B, as supplemented by Appendix E, would be considered as satisfying the requirements of this subsection,
(6) Provide at least one attendant outside the permit space into which entry is authorized for the duration of entry operations;
Note: Attendants may be assigned to monitor more than one permit space provided the duties described in subsection (i) can be effectively performed for each permit space that is monitored.  Likewise, attendants may be stationed at any location outside the permit space to be monitored as long as the duties described in subsection (i) can be effectively performed for each permit space that is monitored.
(7) If multiple spaces are to be monitored by a single attendant, include in the permit program the means and procedures to enable the attendant to respond to an emergency affecting one or more of the permit spaces being monitored without distraction from the attendant`s responsibilities under subsection (i);
(8) Designate the persons who are to have active roles (as, for example, authorized entrants, attendants, entry supervisors, or persons who test or monitor the atmosphere in a permit space) in entry operations, identify the duties of each such employee, and provide each such employee with the training required by subsection (g);
(9) Develop and implement procedures for rescuing entrants from permit spaces, for providing necessary emergency services to rescued employees, for summoning additional rescue and emergency services, and for preventing unauthorized personnel from attempting a rescue;
(10) Develop and implement a system for the preparation, issuance, use, and cancellation of entry permits as required by this section;
(11) Develop and implement procedures to coordinate entry operations when employees of more than one employer are working simultaneously as authorized entrants in a permit space, so that employees of one employer do not endanger the employees of any other employer. If the requirements of sections 5158 or 8355 apply to one or more of the other employers, then the procedures shall also ensure coordination with those employers, so as not to endanger any exposed employees;
(12) Develop and implement procedures (such as closing off a permit space and canceling the permit) necessary for concluding the entry after entry operations have been completed;
(13) Review entry operations when the employer has reason to believe that the measures taken under the permit space program may not protect employees and revise the program to correct deficiencies found to exist before subsequent entries are authorized; and
Note: Examples of circumstances requiring the review of the permit space program are: any unauthorized entry of a permit space, the detection of a permit space hazard not covered by the permit, the detection of a condition prohibited by the permit, the occurrence of an injury or near-miss during entry, a change in the use or configuration of a permit space, and employee complaints about the effectiveness of the program.
(14) Review the permit space program, using the canceled permits retained under subsection (e)(6) within 1 year after each entry and revise the program as necessary, to ensure that employees participating in entry operations are protected from permit space hazards.
Note: Employers may perform a single annual review covering all entries performed during a 12-month period.  If no entry is performed during a 12-month period, no review is necessary. 
Appendix C presents examples of permit space programs that are considered to comply with the requirements of subsection (d).
(e) Permit system.
(1) Before entry is authorized, the employer shall document the completion of measures required by subsection (d)(3) by preparing an entry permit.
Note: Appendix D presents examples of permits whose elements are considered to comply with the requirements of this section.
(2) Before entry begins, the entry supervisor identified on the permit shall sign the entry permit to authorize entry.
(3) The completed permit shall be made available at the time of entry to all authorized entrants or their authorized representatives, by posting it at the entry portal or by any other equally effective means, so that the entrants can confirm that pre-entry preparations have been completed.
(4) The duration of the permit may not exceed the time required to complete the assigned task of job identified on the permit in accordance with subsection (f)(2).
(5) The entry supervisor shall terminate entry and cancel the entry permit when:
(A) The entry operations covered by the entry permit have been completed; or 
(B) A condition that is not allowed under the entry permit arises in or near the permit space.
(6) The employer shall retain each canceled entry permit for at least 1 year to facilitate the review of the permit space program required by subsection (d)(14).  Any problems encountered during an entry operation shall be noted on the pertinent permit so that appropriate revisions to the permit space program can be made.
(f) Entry permit.  The entry permit that documents compliance with this section and authorizes entry to a permit space shall identify:
(1) The permit space to be entered;
(2) The purpose of the entry;
(3) The date and the authorized duration of the entry permit;
(4) The authorized entrants within the permit space, by name or by such other means (for example, through the use of rosters or tracking systems) as will enable the attendant to determine quickly and accurately, for the duration of the permit, which authorized entrants are inside the permit space;
Note: This requirement may be met by inserting a reference on the entry permit as to the means used, such as roster or tracking systems, to keep track of the authorized entrants within the permit space.
(5) The personnel, by name, currently serving as attendants;
(6) The individual, by name, currently serving as entry supervisor, with a space for the signature or initials of the entry supervisor who originally authorized entry;
(7) The hazards of the permit space to be entered;
(8) The measures used to isolate the permit space and to eliminate or control permit space hazards before entry;
Note: Those measures can include the lockout or tagging of equipment and procedures for purging, inerting, ventilating, and flushing permit spaces.
(9) The acceptable entry conditions;
(10) The results of initial and periodic tests performed under subsection (d)(5) accompanied by the names or initials of the testers and by an indication of when the tests were performed;
(11) The rescue and emergency services that can be provided on-site and additional service that can be summoned and the means such as the equipment to use and the numbers to call) for summoning those services;
(12) The communication procedures used by authorized entrants and attendants to maintain contact during the entry;
(13) Equipment, such as personal protective equipment, testing equipment, communications equipment, alarm systems, and rescue equipment, to be provided for compliance with this section;
(14) Any other information whose inclusion is necessary, given the circumstances of the particular confined space, in order to ensure employee safety, and 
(15) Any additional permits, such as for hot work, that have been issued to authorize work in the permit space.
(g) Training.
(1) The employer shall provide training so that all employees whose work is regulated by this section acquire the understanding, knowledge, and skills necessary for the safe performance of the duties assigned under this section.
(2) Training shall be provided to each affected employee:
(A) Before the employee is first assigned duties under this section;
(B) Before there is a change in assigned duties;
(C) Whenever there is a change in permit space operations that presents a hazard about which an employee has not previously been trained;
(D) Whenever the employer has reason to believe either that there are deviations from the permit space entry procedures required by subsection (d)(3) or that there are inadequacies in the employee's knowledge or use of these procedures.
(3) The training shall establish employee proficiency in the duties required by this section and shall introduce new or revised procedures, as necessary, for compliance with this section.
(4) The employer shall certify that the training required by subsections (g)(1) through (g)(3) has been accomplished.  The certification shall contain each employee's name, the signatures or initials of the trainers, and the dates of training.  The certification shall be available for inspection by employees and their authorized representatives.
(h) Duties of authorized entrants.  The employer shall ensure that all authorized entrants:
(1) Know the hazards that may be faced during entry, including information on the mode, signs or symptoms, and consequences of the exposure;
(2) Properly use equipment as required by subsection (d)(4);
(3) Communicate with the attendant as necessary to enable the attendant to monitor entrant status and to enable the attendant to alert entrants of the need to evacuate the space as required by subsection (i)(6);
(4) Alert the attendant whenever:
(A) The entrant recognizes any warning sign or symptom of exposure to a dangerous situation, or
(B) The entrant detects a prohibited condition; and
(5) Exit from the permit space as quickly as possible whenever:
(A) An order to evacuate is given by the attendant or the entry supervisor,
(B) The entrant recognizes any warning sign or symptom of exposure to a dangerous situation, 
(C) The entrant detects a prohibited condition, or
(D) An evacuation alarm is activated.
(i) Duties of attendants.  The employer shall ensure that each attendant:
(1) Knows the hazards that may be faced during entry, including information on the mode, signs or symptoms, and consequences of the exposure;
(2) Is aware of possible behavioral effects of hazard exposure in authorized entrants;
(3) Continuously maintains an accurate count of authorized entrants in the permit space and ensures that the means used to identify authorized entrants under subsection (f)(4) accurately identifies who is in the permit space;
(4) Remains outside the permit space during entry operations until relieved by another attendant;
Note: When the employer's permit entry program allows attendant entry for rescue, attendants may enter a permit space to attempt a rescue if they have been trained and equipped for rescue operations as required by subsection (k)(1) and if they have been relieved as required by subsection (i)(4).
(5)  Communicates with authorized entrants as necessary to monitor entrant status and to alert entrants of the need to evacuate the space under subsection (i)(6);
(6) Monitors activities inside and outside the space to determine if it is safe for entrants to remain in the space and orders the authorized entrants to evacuate the permit space immediately under any of the following conditions;
(A) If the attendant detects a prohibited condition;
(B) If the attendant detects the behavioral effects of hazards exposure in an authorized entrant;
(C) If the attendant detects a situation outside the space that could endanger the authorized entrants; or
(D) If the attendant cannot effectively and safely perform all the duties required under subsection (i);
(7) Initiate on-site rescue procedures and, if necessary, summon additional rescue and other emergency services as soon as the attendant determines that authorized entrants may need assistance to escape from permit space hazards;
(8) Takes the following actions when unauthorized persons approach or enter a permit space while entry is underway:
(A) Warn the unauthorized persons that they must stay away from the permit space;
(B) Advise the unauthorized persons that they must exit immediately if they have entered the permit space; and 
(C) Inform the authorized entrants and the entry supervisor if unauthorized persons have entered the permit space;
(9) Performs non-entry rescues or other rescue services as part of the employer's on-site rescue procedure; and
(10) Performs no duties that might interfere with the attendant's primary duty to monitor and protect the authorized entrants.
(j) Duties of entry supervisors.  The employer shall ensure that each entry supervisor:
(1) Knows the hazards that may be faced during entry, including information on the mode, signs or symptoms, and consequences of the exposure;
(2) Verifies, by checking that the appropriate entries have been made on the permit, that all tests specified by the permit have been conducted and that all procedures and equipment specified by the permit are in place before endorsing the permit and allowing entry to begin;
(3) Terminates the entry and cancels the permit as required by subsection (e)(5);
(4) Verifies that rescue services are available and that the means for summoning additional services are operable;
(5) Removes unauthorized individuals who enter or who attempt to enter the permit space during entry operations; and
(6) Determines, whenever responsibility for a permit space entry operation is transferred and at intervals dictated by the hazards and operations performed within the space, that entry operations remain consistent with terms of the entry permit and that acceptable entry conditions are maintained.
(k) Rescue and emergency services.  The employer shall ensure that at least one standby person at the site is trained and immediately available to perform rescue and emergency services.
(1) The following requirements apply to employers who have employees enter permit spaces to perform rescue services.
(A) The employer shall ensure that each member of the rescue service is provided with, and is trained to use properly, the personal protective equipment and rescue equipment necessary for making rescues from permit spaces.
(B) Each member of the rescue service shall be trained to perform the assigned rescue duties.  Each member of the rescue service shall also receive the training required of authorized entrants under subsections (g) and (h).
(C) Each member of the rescue service shall practice making permit space rescues at least once every 12 months, by means of simulated rescue operations in which they remove dummies, manikins, or actual persons from the actual permit spaces or from representative permit spaces.  Representative permit spaces shall, with respect to opening size, configuration, and accessibility, simulate the types of permit spaces from which rescue is to be performed.  
(D) Each member of the rescue service shall be trained in basic first-aid and in cardiopulmonary resuscitation (CPR).  At least one member of the rescue service holding current certification in first aid and in CPR shall be available.
(2) When an employer (host employer) arranges to have persons other than the host employer's employees perform permit space rescue, the host employer shall:
(A) Inform the rescue service of the hazards they may confront when called on to perform rescue at the host employer's facility, and
(B) Provide the rescue service with access to all permit spaces from which rescue may be necessary so that the rescue service can develop appropriate rescue plans and practice rescue operations.
(3) To facilitate non-entry rescue, retrieval systems or methods shall be used whenever an authorized entrant enters a permit space, unless the retrieval equipment would increase the overall risk of entry or would not contribute to the rescue of the entrant.  Retrieval systems shall meet the following requirements.
(A) Each authorized entrant shall use a chest or full body harness, with a retrieval line attached at a suitable point so that when rescued, the entrant presents the smallest possible profile (for example at the center of the entrant's back near shoulder level, or above the entrant's head).  Wristlets may be used in lieu of the chest of full body harness if the employer can demonstrate that the use of a chest or full body harness is infeasible or creates a greater hazard and that the use of wristlets is the safest and most effective alternative.
(B) The other end of the retrieval line shall be attached to a mechanical device or fixed point outside the permit space in such a manner that rescue can begin as soon as the rescuer becomes aware that rescue is necessary.  A mechanical device shall be available to retrieve personnel from vertical type permit spaces more than 5 feet deep.
(4) If an injured entrant is exposed to a substance for which a Material Safety Data Sheet (MSDS) or other similar written information is required to be kept at the worksite, that MSDS or written information shall be made available to the medical facility treating the exposed entrant.
(l) Employee participation.
(1) Employers shall consult with affected employees and their authorized representatives on the development and implementation of all aspects of the permit space program required by subsection (c).
(2) Employers shall make available to affected employees and their authorized representatives all information required to be developed by this section.
(m) Appendices.  Appendices A through E serve to provide information and non-mandatory guidelines to assist employers and employees in complying with the appropriate requirements of this section.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 11-24-93; operative 12-24-93 (Register 93, No. 48).  For prior history, see Register 79, No. 36.
2. Editorial correction of printing error in subsections (d)(5)(C),  (i)(8)(B) and (j) (Register 94, No. 29).
3. Editorial correction of subsection (k)(1)(C) (Register 97, No. 23).
4. Editorial correction of subsection (b)(3) (Register 99, No. 10).
5. Amendment of subsections (c)(5)(A)5., (c)(5)(B)8., (c)(7)(C), (e)(3) and (k)(1)(B), new subsections (c)(5)(B)9., (d)(5)(D)-(F) and (l)-(l)(2) and subsection relettering filed 7-13-99; operative 7-13-99. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 99, No. 29).
6. Amendment of subsection (b)--Testing filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
7. Amendment of subsections (c)(2)-(c)(3), (c)(8)-(c)(8)(A) and (d)(11) filed 4-25-2001; operative 5-25-2001 (Register 2001, No. 17).

Appendix A -- Permit-Required Confined Space Decision Flow Chart

View Graphic
NOTE

Authority cited:  Section  142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A filed 11-24-93; operative 12-24-93 (Register 93, No. 48).

Appendix B -- Procedures for Atmospheric Testing.
Atmospheric testing is required for two distinct purposes:

evaluation of the hazards of the permit space and verification that acceptable entry conditions for entry into that space exist.
(1) Evaluation testing.  The atmosphere of a confined space should be analyzed using equipment of sufficient sensitivity and specificity to identify and evaluate any hazardous atmospheres that may exist or arise, so that appropriate permit entry procedures can be developed and acceptable entry conditions stipulated for that space.  Evaluation and interpretation of these data, and development of the entry procedure, should be done by, or reviewed by, a technically qualified professional (e.g., Cal/OSHA consultation service, or certified industrial hygienist, registered safety engineer, certified safety professional, certified marine chemist, etc.) based on evaluation of all serious hazards.
(2) Verification testing.  The atmosphere of a permit space which may contain a hazardous atmosphere should be tested for residues of all contaminants identified by evaluation testing using permit specified equipment to determine that residual concentrations at the time of testing and entry are within the range of acceptable entry conditions.  Results of testing (i.e., actual concentration, etc.) should be recorded on the permit in the space provided adjacent to the stipulated acceptable entry condition.
(3) Duration of testing.  Measurement of values for each atmospheric parameter should be made for at least the minimum response time of the test instrument specified by the manufacturer.
(4) Testing stratified atmospheres.  When monitoring for entries involving a descent into atmospheres that may be stratified, the atmospheric envelope should be tested a distance of approximately 4 feet (1.22 m) in the direction of travel and to each side.  If a sampling probe is used, the entrant's rate of progress should be slowed to accommodate the sampling speed and detector response.
(5) Order of testing.  A test for oxygen is performed first because most combustible gas meters are oxygen dependent and will not provide reliable readings in an oxygen deficient atmosphere.  Combustible gases are tested for next because the threat of fire or explosion is both more immediate and more life threatening, in most cases, than exposure to toxic gases and vapors.  If tests for toxic gases and vapors are necessary, they are performed last.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix B filed 11-24-93; operative 12-24-93 (Register 93, No. 48).

Appendix C -- Examples of Permit-required Confined Space Programs.
Example 1.
Workplace.  Sewer entry.
Potential hazards.  The employees could be exposed to the following:
Engulfment.
Presence of toxic gases.  Equal to or more than 10 ppm hydrogen sulfide as measured as an 8-hour time weighted average.  If the presence of other toxic contaminants is suspected, specific monitoring programs will be developed.  
Presence of explosive flammable gases.  Equal to or greater than 10% of the lower flammable limit (LFL).
Oxygen Deficiency.  A concentration of oxygen in the atmosphere equal to or less than 19.5% by volume.
A.  ENTRY WITHOUT PERMIT/ATTENDANT
Certification.  Confined spaces may be entered without the need for a written permit or attendant provided that the space can be maintained in a safe condition for entry by mechanical ventilation alone as provided in Section 5157(c)(5).  All spaces shall be considered permit-required confined spaces until the pre-entry procedures demonstrate otherwise.  Any employee required or permitted to pre-check or enter an enclosed/confined space shall have successfully completed, as a minimum, the training as required by the following sections of these procedures.  A written copy of operating and rescue procedures as required by these procedures shall be at the work site for the duration of the job.  The Confined Space Pre-Entry Check List must be completed by the  LEAD WORKER before entry into a confined space.  This list verifies completion of items listed below.  This check list shall be kept at the job site for duration of the job.  If circumstances dictate an interruption in the work, the permit space must be re-evaluated and a new check list must be completed.
Controls of atmospheric and engulfment hazards.
Pumps and Lines.  All pumps and lines which may reasonably cause contaminants to flow into the space shall be disconnected, blinded and locked out, or effectively isolated by other means to prevent development of dangerous air contamination or engulfment.  Not all laterals to sewers or storm drains require blocking.  However, where experience or knowledge of industrial use indicates there is a reasonable potential for contamination of air or engulfment into a occupied sewer, then all affected laterals shall be blocked.  If blocking and/or isolation requires entry into the space the provisions for entry into a permit-required confined space must be implemented.
Surveillance.  The surrounding area shall be surveyed to avoid hazards such as drifting vapors from the tanks, piping, or sewers.
Testing.  The atmosphere within the space will be tested to determine whether dangerous air contamination and/or oxygen deficiency exists.  Detector tubes, alarm only type gas monitors and explosion meters are examples of equipment  that may be used to test permit space atmospheres.  Testing shall be performed by the LEAD WORKER who has successfully completed the Gas detector training for the monitors he will use.  The minimum parameters to be monitored are oxygen deficiency, LFL, and hydrogen sulfide concentration.  A written record of the pre-entry test results shall be made and kept at the work site for the duration of the job.  The supervisor will certify in writing, based upon the results of the pre-entry testing, that all hazards have been eliminated.  Affected employees shall be able to review the testing results.  The most hazardous conditions shall govern when work is being performed in two adjoining, connecting spaces. 
Entry Procedures.  If there are no non-atmospheric hazards present and if the pre-entry tests show there is no dangerous air contamination and/or oxygen deficiency within the space and there is no reason to believe that any is likely to develop, entry into and work within may proceed.  Continuous testing of the atmosphere in the immediate vicinity of the workers within the space shall be accomplished.  The workers will immediately leave the permit space when any of the gas monitor alarm set points are reached as defined. Workers will not return to the area until a SUPERVISOR who has completed the gas detector training has used a direct reading gas detector to evaluate the situation and has determined that it is safe to enter.
Rescue.  Arrangements for rescue services are not required where there is no attendant.  See the rescue portion of section B., below, for instructions regarding rescue planning where an entry permit is required.
B. ENTRY PERMIT REQUIRED
Permits.  Confined Space Entry Permit.  All spaces shall be considered permit-required confined spaces until the pre-entry procedures demonstrate otherwise. Any employee required or permitted to pre-check or enter a permit-required confined space shall have successfully completed, as a minimum, the training as required by the following sections of these procedures.  A written copy of operating and rescue procedures as required by these procedures shall be at the work site for the duration of the job.  The Confined Space Entry Permit must be completed before approval can be given to enter a permit-required confined space.  This permit verifies completion of items listed below.  This permit shall be kept at the job site for the duration of the job. If circumstances cause an interruption in the work or a change in the alarm conditions for which entry was approved, a new Confined Space Entry Permit must be completed.
Control of atmospheric and engulfment hazards.
Surveillance.  The surrounding area shall be surveyed to avoid hazards such as drifting vapors from tanks, piping or sewers.
Testing.  The confined space atmosphere shall be tested to determine whether dangerous air contamination and/or oxygen deficiency exists.  A direct reading gas monitor shall be used.  Testing shall be performed by the SUPERVISOR who has successfully completed the gas detector training for the monitor he will use.  The minimum parameters to be monitored are oxygen deficiency, LFL and hydrogen sulfide concentration.  A written record of the pre-entry test results shall be made and kept at the work site for the duration of the job. Affected employees shall be able to review the testing results.  The most hazardous conditions shall govern when work is being performed in two adjoining, connected spaces.
Space Ventilation.  Mechanical ventilation systems, where applicable, shall be set at 100% outside air.  Where possible, open additional manholes to increase air circulation. Use portable blowers to augment natural circulation if needed.  After a suitable ventilating period, repeat the testing.  Entry may not begin until the testing has demonstrated that the hazardous atmosphere has been eliminated.
Entry Procedures.  The following procedure shall be observed under any of the following conditions:
1.) Testing demonstrates the existence of dangerous or deficient conditions and additional ventilation cannot reduce concentrations to safe levels;
2.) The atmosphere tests as safe but unsafe conditions can reasonably be expected to develop;
3.) It is not feasible to provide for ready exit from spaces equipped with automatic fire suppression systems and it is not practical or safe to deactivate such systems; or 
4.) An emergency exists and it is not feasible to wait for pre-entry procedures to take effect.
All personnel must be trained.  A self contained breathing apparatus shall be worn by any person entering the space.  At least one worker shall stand by the outside of the space ready to give assistance in case of emergency.  The standby worker shall have a self contained breathing apparatus available for immediate use.  There shall be at least one additional worker within sight or call of the standby worker.  Continuous powered communications shall be maintained between the worker within the confined space and standby personnel.
If at any time there is any questionable action or non-movement by the worker inside, a verbal check will be made.  If there is no response, the worker will be moved immediately.  Exception: If the worker is disabled due to falling or impact, he/she shall not be removed from the confined space unless there is immediate danger to his/her life.  Local fire department rescue personnel shall be notified immediately.  The standby worker may only enter the confined space in case of an emergency (wearing the self contained breathing apparatus) and only after being relieved by another worker.  Safety belt or harness with attached lifeline shall be used by all workers entering the space with the free end of the line secured outside the entry opening.  The standby worker shall attempt to remove a disabled worker via his lifeline before entering the space.
When practical, these spaces shall be entered through side openings--those within 3 1/2 feet (1.07 m) of the bottom.  When entry must be through a top opening, the safety belt shall be of the harness type that suspends a person upright and a hoisting device or similar apparatus shall be available for lifting workers out of the space. 
In any situation where their use may endanger the worker, use of a hoisting device or safety belt and attached lifeline may be discontinued.
When dangerous air contamination is attributable to flammable and/or explosive substances, lighting and electrical equipment shall be Class 1, Division 1 rated per National Electrical Code and no ignition sources shall be introduced into the area.
Continuous gas monitoring shall be performed during all confined space operations.  If alarm conditions change adversely, entry personnel shall exit the confined space and a new confined space permit issued.
Rescue.  Call the fire department services for rescue.  Where immediate hazards to injured personnel are present, workers at the site shall implement emergency procedures to fit the situation.
Example 2.
Workplace.  Meat and poultry rendering plants.
Cookers and dryers are either batch or continuous in their operation.  Multiple batch cookers are operated in parallel.  When one unit of a multiple set is shut down for repairs, means are available to isolate that unit from the others which remain in operation.
Cookers and dryers are horizontal, cylindrical vessels equipped with a center, rotating shaft and agitator paddles or discs.  If the inner shell is jacketed, it is usually heated with steam at pressures up to 150 psig (1034.25 kPa).  The rotating shaft assembly of the continuous cooker or dryer is also steam heated.
Potential Hazards.  The recognized hazards associated with cookers and dryers are the risk that employees could be:
1. Stuck or caught by rotating agitator;
2. Engulfed in raw material or hot, recycled fat;
3. Burned by steam from leaks into the cooker/dryer steam jacket or the condenser duct system if steam valves are not properly closed and locked out;
4. Burned by contact with hot metal surfaces, such as the agitator shaft assembly, or inner shell of the cooker/dryer;
5. Heat stress caused by warm atmosphere inside cooker/dryer;
6. Slipping and falling on grease in the cooker/dryer;
7. Electrically shocked by faulty equipment taken into the cooker/dryer;
8. Burned or overcome by fire or products of combustion; or
9. Overcome by fumes generated by welding or cutting done on grease covered surfaces.
Permits.  The supervisor in this case is always present at the cooker/dryer or other permit entry confined space when entry is made.  The supervisor must follow the pre-entry isolation procedures described in the entry permit in preparing for entry, and ensure that the protective clothing, ventilating equipment and any other equipment required by the permit are at the entry site.
Control of hazards.
Mechanical.  Lock out main power switch to agitator motor at main power panel.  Affix tag to the lock to inform others that a permit entry confined space entry is in progress.
Engulfment.  Close all valves in the raw material blow line.  Secure each valve in its closed position using chain and lock.  Attach a tag to the valve and chain warning that a permit entry confined space entry is in progress.  The same procedure shall be used for securing the fat recycle valve.
Burns and heat stress.  Close steam supply valves to jacket and secure with chains and tags. Insert solid blank at flange in cooker vent line to condenser manifold duct system.  Vent cooker/dryer by opening access door at discharge end and top center door to allow natural ventilation throughout the entry.  If faster cooling is needed, use a portable ventilation fan to increase ventilation.  Cooling water may be circulated through the jacket to reduce both outer and inner surface temperatures of cooker/dryers faster.  Check air and inner surface temperatures in cooker/dryer to assure they are within acceptable limits before entering, or use proper protective clothing.
Fire and fume hazards.  Careful site preparation, such as cleaning the area within 4 inches (10.16 cm) of all welding or torch cutting operations, and proper ventilation are the preferred controls.  All welding and cutting operations shall be done in accordance with the requirements of California Code of Regulations, Title 8, welding standards.  Proper ventilation may be achieved by local exhaust ventilation, or the use of portable ventilation fans, or a combination of the two practices.
Electrical shock.  Electrical equipment used in cooker/dryers shall be in serviceable condition.
Slips and falls.  Remove residual grease before entering cooker/dryer.
Attendant.  The supervisor shall be the attendant for employees entering cooker/dryers.
Permit.  The permit shall specify how isolation shall be done and any other preparations needed before making entry.  This is especially important in parallel arrangements of cooker/dryers so that the entire operation need not be shut down to allow safe entry into one unit.
Rescue.  When necessary, the attendant shall call the fire department as previously arranged.
Example 3.
Workplace.  Workplaces where tank cars, trucks, and trailers, dry bulk tanks and trailers, railroad tank cars, and similar portable tanks are fabricated or serviced.
A. During fabrication.  These tanks and dry-bulk carriers are entered repeatedly throughout the fabrication process.  These products are not configured identically, but the manufacturing processes by which they are made are very similar.
Sources of hazards.  In addition to the mechanical hazards arising from the risks that an entrant would be injured due to contact with components of the tank or the tools being used, there is also the risk that a worker could be injured by breathing fumes from welding materials or mists or vapors from materials used to coat the tank interior.  In addition, many of these vapors and mists are flammable, so the failure to properly ventilate a tank could lead to a fire or explosion.
Control of hazards.
Welding.  Local exhaust ventilation shall be used to remove welding fumes once the tank or carrier is completed to the point that workers may enter and exit only through a manhole.  (Follow the requirements of California Code of Regulations, Title 8, welding standards at all times.)  Welding gas tanks may never be brought into a tank or carrier that is a permit entry confined space.
Application of interior coatings/linings.  Atmospheric hazards shall be controlled by forced air ventilation sufficient to keep the atmospheric concentration of flammable materials below 10% of the lower flammable limit (LFL) (or lower explosive limit (LEL), whichever term is used locally).  The appropriate respirators are provided and shall be used in addition to providing forced ventilation if the forced ventilation does not maintain acceptable respiratory conditions.
Permits.  Because of the repetitive nature of the entries in these operations, an ”Area Entry Permit” will be issued for a 1 month period to cover those production areas where tanks are fabricated to the point that entry and exit are made using manholes.
Authorization.  Only the area supervisor may authorize an employee to enter a tank within the permit area.  The area supervisor must determine that conditions in the tank trailer, dry bulk trailer or truck, etc. meet permit requirements before authorizing entry.
Attendant.  The area supervisor shall designate an employee to maintain communication by employer specified means with employees working in tanks to ensure their safety.  The attendant may not enter any permit entry confined space to rescue an entrant or for any other reason, unless authorized by the rescue procedure, and even then, only after calling the rescue team and being relieved by as attendant by another worker.
Communications and observation.  Communications between attendant and entrant(s) shall be maintained throughout entry.  Methods of communication that may be specified by the permit include voice, voice powered radio, tapping or rapping codes on tank walls, signalling tugs on a rope, and the attendant's observation that work activities such as chipping, grinding, welding, spraying, etc., which require deliberate operator control continue normally.  These activities often generate so much noise that the necessary hearing protection makes communication by voice difficult.
Rescue procedures.  Acceptable rescue procedures include entry by a team of employee-rescuers, use of public emergency services, and procedures for breaching the tank.  The area permit specifies which procedures are available, but the area supervisor makes the final decision based on circumstances.  (Certain injuries may make it necessary to breach the tank to remove a person rather than risk additional injury by removal through an existing manhole.  However, the supervisor must ensure that no breaching procedure used for rescue would violate terms of the entry permit.  For instance, if the tank must be breached by cutting with a torch, the tank surfaces to be cut must be free of volatile or combustible coatings within 4 inches (10.16 cm) of the cutting line and the atmosphere within the tank must be below the LFL. 
Retrieval line and harnesses.  The retrieval lines and harnesses generally required under this standard are usually impractical for use in tanks because the internal configuration of the tanks and their interior baffles and other structures would prevent rescuers from hauling out injured entrants.  However, unless the rescue procedure calls for breaching the tank for rescue, the rescue team shall be trained in the use of retrieval lines and harnesses for removing injured employees through manholes.
B. Repair or service of “used” tanks and bulk trailers.
Sources of hazards.  In addition to facing the potential hazards encountered in fabrication or manufacturing, tanks or trailers which have been in service may contain residues of dangerous materials, whether left over from the transportation of hazardous cargoes or generated by chemical or bacterial action on residues of non-hazardous cargoes.
Control of atmospheric hazards.  A “used” tank shall be brought into areas where tank entry is authorized only after the tank has been emptied, cleansed (without employee entry) of any residues, and purged of any potential atmospheric hazards.
Welding.  In addition to tank cleaning for control of atmospheric hazards, coating and surface materials shall be removed 4 inches (10.16 cm) or more from any surface area where welding or other torch work will be done and care taken that the atmosphere within the tank remains well below the LFL.  (Follow the requirements of California Code of Regulations, Title 8, welding standards, at all times.)
Permits.  An entry permit valid for up to 1 year shall be issued prior to authorization of entry into used tank trailers, dry bulk trailers or trucks.  In addition to the pre-entry cleaning requirement, this permit shall require the employee safeguards specified for new tank fabrication or construction permit areas.
Authorization.  Only the area supervisor may authorize an employee to enter a tank trailer, dry bulk trailer or truck within the permit area.  The area supervisor must determine that the entry permit requirements have been met before authorizing entry.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix C filed 11-24-93; operative 12-24-93 (Register 93, No. 48).

Appendix D -- 1. Confined Space Entry Permit

View Graphic

Appendix D -- 2. Entry Permit.

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix D filed 11-24-93; operative 12-24-93 (Register 93, No. 48).

Appendix E--Sewer System Entry.
Sewer entry differs in three vital respects from other permit entries; first, there rarely exists any way to completely isolate the space (a section of a continuous system) to be entered; second, because isolation is not complete, the atmosphere may suddenly and unpredictably become lethally hazardous (toxic, flammable or explosive) from causes beyond the control of the entrant or employer, and third, experienced sewer workers are especially knowledgeable in entry and work in their permit spaces because of their frequent entries.  Unlike other employments where permit space entry is a rare and exceptional event, sewer workers' usual work environment is a permit space.
(1) Adherence to procedure.  The employer should designate as entrants only employees who are thoroughly trained in the employer's sewer entry procedures and who demonstrate that they follow these entry procedures exactly as prescribed when preforming sewer entries.
(2) Atmospheric monitoring.  Entrants should be trained in the use of, and be equipped with, atmospheric monitoring equipment which sounds an audible alarm, in addition to its visual readout, whenever one of the following conditions is encountered: oxygen concentration less than 19.5 percent; flammable gas or vapor at 10 percent or more of the lower flammable limit (LFL); or hydrogen sulfide or carbon monoxide at or above their permissible exposure limit (PEL) (10 ppm or 25 ppm, respectively, measured as an 8-hour time weighted average (TWA)).  Atmospheric monitoring equipment needs to be calibrated according to the manufacturer's instructions.  Substance specific devices should be used whenever actual contaminants have been identified.  The instrument should be carried and used by the entrant in sewer line work to monitor the atmosphere in the entrant's environment, and in advance of the entrants' direction of movement, to warn the entrant of any deterioration in atmospheric conditions.  Where several entrants are working together in the same immediate location, one instrument, used by the lead entrant, is acceptable. 
(3) Surge flow and flooding.  Sewer crews should develop and maintain liaison, to the extent possible, with the local weather bureau and fire and emergency services in their area so that sewer work may be delayed or interrupted and entrants withdrawn whenever sewer lines might be suddenly flooded by rain or fire suppression activities, or whenever flammable or other hazardous materials are released into sewers during emergencies by industrial or transportation accidents.
(4) Special Equipment.  Entry into large bore sewers may require the use of special equipment.  Such equipment might include such items as atmosphere monitoring devices with automatic audible alarms, escape self-contained breathing apparatus (ESCBA) with at least 10 minute air supply (or other NIOSH approved self-rescuer), and waterproof flashlights, and may also include boats and rafts, radios and rope stand-offs for pulling around bends and corners as needed.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix E filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
2. Change without regulatory effect amending subsection (2) filed 8-10-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 32).
§5158. Other Confined Space Operations.
Note     •     History

(a) Scope.  For industries and operations specified in section 5156(b)(2) this section prescribes minimum standards for preventing employee exposure to dangerous air contamination, oxygen enrichment and/or oxygen deficiency in confined spaces, as defined in subsection (b).

Note: Implementing a permit-required confined space program in accordance with section 5157 shall meet the requirements of this section.
(b) Definitions.
(1) Confined Space.  A space defined by the concurrent existence of the following conditions:
(A) Existing ventilation is insufficient to remove dangerous air contamination, oxygen enrichment and/or oxygen deficiency which may exist or develop.
(B) Ready access or egress for the removal of a suddenly disabled employee is difficult due to the location and/or size of the opening(s).
(2) Dangerous Air Contamination.  An atmosphere presenting a threat of causing death, injury, acute illness, or disablement due to the presence of flammable and/or explosive, toxic, or otherwise injurious or incapacitating substances.
(A) Dangerous air contamination due to the flammability of a gas or vapor is defined as an atmosphere containing the gas or vapor at a concentration greater than 20 percent of its lower explosive (lower flammable) limit. 
(B) Dangerous air contamination due to a combustible particulate is defined as a concentration greater than 20 percent of the minimum explosive concentration of the particulate.
(C) Dangerous air contamination due to the toxicity of a substance is defined as the atmospheric concentration immediately hazardous to life or health.

Note: This definition of dangerous air contamination due to the toxicity of a substance does not preclude the requirement to control harmful exposures, under the provisions of Article 107, to toxic substances at concentrations less than those immediately hazardous to life or health.
(3) Oxygen Deficiency.  An atmosphere containing oxygen at a concentration of less than 19.5 percent by volume.
(4) Oxygen Enrichment. An atmosphere containing more than 23.5 percent oxygen by volume.
(c) Operation Procedures and Employee Training.  The employer shall implement the provisions of this subsection before any employee is permitted to enter a confined space.
(1) Operating Procedures.  
(A) Written, understandable operating and rescue procedures shall be developed and shall be provided to affected employees.
(B) Operating procedures shall conform to the applicable requirements of this section and shall include provision for the surveillance of the surrounding area to avoid hazards such as drifting vapors from tanks, piping and sewers.
(C) For multi-employer worksites, the procedures shall address how all the affected employers will coordinate their work activities, so that operations of one employer will not endanger the employees of any other employer. If the permit-required confined space requirements of section 5157 or the requirements of section 8355 apply to one or more of the other employers, then the procedures shall also include coordination with those employers;
(2) Employee Training.  Employees, including standby persons required by subsection (e)(1)(D), shall be trained in the operating and rescue procedures, including instructions as to the hazards they may encounter.
(d) Pre-entry.  The applicable provisions of this subsection shall be implemented before entry into a confined space.
(1) Lines which may convey flammable, injurious, or incapacitating substances into the space shall be disconnected, blinded, or blocked off by other positive means to prevent the development of dangerous air contamination, oxygen enrichment and/or oxygen deficiency within the space. The disconnection or blind shall be so located or done in such a manner that inadvertent reconnection of the line or removal of the blind are effectively prevented.

Exception: This subsection does not apply to public utility gas distribution systems.

NOTE: This subsection does not require blocking of all laterals to sewers or storm drains. Where experience or knowledge of industrial use indicates materials resulting in dangerous air contamination may be dumped into an occupied sewer, all such laterals shall be blocked.
(2) The space shall be emptied, flushed, or otherwise purged of flammable, injurious or incapacitating substances to the extent feasible.
(3) The air shall be tested with an appropriate device or method to determine whether dangerous air contamination, oxygen enrichment and/or an oxygen deficiency exists. A written record of such testing results shall be made and kept at the work site for the duration of the work. Affected employees and/or their representative shall be afforded an opportunity to review and record the testing results. If an electronic or thermal device is used to test a confined space that contains or is likely to develop a dangerous air contamination due to flammable and/or explosive substances, then the device must be approved for use in such explosive or flammable conditions as required by section 2540.2.
(4) Where interconnected spaces are blinded off as a unit, each space shall be tested and the results recorded, in accordance with subsection (d)(3), and the most hazardous condition so found shall govern procedures to be followed.
(5) If dangerous air contamination, oxygen enrichment and/or oxygen deficiency does not exist within the space, as demonstrated by tests performed in accordance with subsection (d)(3), entry into and work within the space may proceed subject to the following provisions:
(A) Testing, in accordance with subsection (d)(3), shall be conducted with sufficient frequency to ensure that the development of dangerous air contamination, oxygen enrichment and/or oxygen deficiency does not occur during the performance of any operation.
(B) If the development of dangerous air contamination, oxygen enrichment and/or an oxygen deficiency is imminent, the requirements prescribed by subsection (e) shall also apply.
(6) Where the existence of dangerous air contamination, oxygen enrichment and/or oxygen deficiency is demonstrated by tests performed in accordance with subsection (d)(3), existing ventilation shall be augmented by appropriate means.
(7) When additional ventilation provided in accordance with subsection (d)(6) has removed dangerous air contamination, oxygen enrichment and/or oxygen deficiency as demonstrated by additional testing conducted (and recorded) in accordance with subsection (d)(3), entry into and work within the space may proceed subject to the provisions of subsection (d)(5).
(8) No source of ignition shall be introduced until the implementation of appropriate provisions of this section have ensured that dangerous air contamination due to oxygen enrichment, flammable and/or explosive substances does not exist.
(9) Whenever oxygen-consuming equipment such as salamanders, plumbers' torches or furnaces, and the like, are to be used, measures shall be taken to ensure adequate combustion air and exhaust gas venting.
(10) To the extent feasible, provision shall be made to permit ready entry and exit.
(11) Where it is not feasible to provide for ready exit from spaces equipped with automatic fire suppression systems employing harmful design concentrations of toxic or oxygen-displacing gases, or total foam flooding, such systems shall be deactivated. Where it is not practical or safe to deactivate such systems, the provisions of subsection (e) related to the use of respiratory protective equipment shall apply during entry into and work within such spaces.
(e) Confined Space Operations.  
(1) Entry Into and Work Within Confined Spaces. The requirements of this subsection apply to entry into and work within a confined space whenever an atmosphere free of dangerous air contamination, oxygen enrichment and/or oxygen deficiency cannot be ensured through the implementation of the applicable provisions of subsection (d), or whenever, due to the existence of an emergency, it is not feasible to ensure the removal of dangerous air contamination, oxygen enrichment and/or an oxygen deficiency through the implementation of the applicable provisions of subsection (d).
(A) Tanks, vessels, or other confined spaces with side and top openings shall be entered from side openings when practicable.

Note: For the purposes of this Order, side openings are those within 3 1/2 feet of the bottom.
(B) Appropriate, approved respiratory protective equipment, in accordance with Section 5144, shall be provided and worn.
(C) An approved safety belt with an attached line shall be used.  The free end of the line shall be secured outside the entry opening.  The line shall be at least 1/2-inch diameter and 2,000-pounds test.

Exception: Where it can be shown that a safety belt and attached line would further endanger the life of the employee.
(D) At least one employee shall stand by on the outside of the confined space ready to give assistance in case of emergency.  At least one additional employee who may have other duties shall be within sight or call of the standby employee(s).
1. The standby employee shall have appropriate, approved, respiratory protective equipment, including an independent source of breathing air which conforms with Section 5144(i), available for immediate use.
2. A standby employee (or employees) protected as prescribed by subsection (e)(1)(D) 1. may enter the confined space but only in case of emergency and only after alerting at least one additional employee outside of the confined space of the existence of an emergency and of the standby employee's intent to enter the confined space.
(E) When entry must be made through a top opening, the following requirements shall also apply.
1. The safety belt shall be of the harness type that suspends a person in an upright position.
2. A hoisting device or other effective means shall be provided for lifting employees out of the space.
(F) Work involving the use of flame, arc, spark, or other source of ignition is prohibited within a confined space (or any adjacent space having common walls, floor, or ceiling with the confined space) which contains, or is likely to develop, oxygen enrichment or dangerous air contamination due to flammable and/or explosive substances.
(G) Whenever gases such as nitrogen are used to provide an inert atmosphere for preventing the ignition of flammable gases or vapors, no flame, arc, spark, or other source of ignition shall be permitted unless the oxygen concentration is maintained at less than 20 percent of the concentration which will support combustion. 
1. Testing of the oxygen content shall be conducted with sufficient frequency to ensure conformance with this paragraph.
2. A written record of the results of such testing shall be made and kept at the work site for the duration of the work.
3. Affected employees and/or their representative shall be provided an opportunity to review and record the testing results.
(H) Only approved lighting and electrical equipment, in accordance with the Low-Voltage Electrical Safety Orders, shall be used in confined spaces subject to oxygen enrichment or dangerous air contamination by flammable and/or explosive substances.
(I) Employees working in confined spaces which have last contained substances corrosive to the skin or substances which can be absorbed through the skin shall be provided with, and shall be required to wear, appropriate personal protective clothing or devices in accordance with Article 10.
(J) When an employer (host employer) arranges to have employees of another employer (contractor) perform work that involves a confined space entry covered by this standard or by sections 5157 or 8355, the host employer shall:
1. Inform the contractor that the workplace contains a confined space and that confined space entry is allowed only through compliance with a confined space program meeting the requirements of this section, section 5157 or section 8355, depending on which section applies to the contractor;
2. Apprise the contractor of the elements, including the hazards identified and the host employer's experience with the confined space, that make the space in question a confined space;
3. Apprise the contractor of any precautions or procedures that the host employer has implemented for the protection of employees in or near the confined space where the contractor's personnel will be working;
4. Coordinate entry operations with the contractor, when both host employer personnel and contractor personnel will be working in or near the confined space, as required by subsection (c)(1)(C); and
5. Debrief the contractor at the conclusion of the confined space operation regarding the confined space program followed and any hazards confronted or created in the confined space during entry operations.
(K) In addition to complying with the confined space requirements that apply to all employers, each contractor who is retained to perform confined space entry operations shall:
1. Obtain any available information regarding confined space hazards and entry operations from the host employer;
2. Coordinate entry operations with the host employer, when both host employer personnel and contractor personnel will be working in or near a confined space, as required by subsection (c)(1)(C); and
3. Inform the host employer of the confined space program that the contractor will follow and of any hazards confronted or created in the confined space, either through a debriefing or during the entry operation.
(2) Precautions for Emergencies Involving Work in Confined Spaces.
(A) At least one person trained in first aid and cardiopulmonary resuscitation (CPR) shall be immediately available whenever the use of respiratory protective equipment is required subsection (e)(1).  Standards for CPR training shall follow the principles of the American Heart Association or the American Red Cross.
(B) An effective means of communication between employees inside a confined space and a standby employee shall be provided and used whenever the provisions of subsection (e)(1) require the use of respiratory protective equipment or whenever employees inside a confined space are out of sight of the standby employee(s).  All affected employees shall be trained in the use of such communication system and the system shall be tested before each use to confirm its effective operation.  
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
2. Change without regulatory effect of subsection (k) pursuant to section 100, Title 1, California Code of Regulations filed 5-1-90 (Register 90, No. 23).
3. Amendment filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
4. Amendment of subsections (d)(3) and (e)(1)(F) filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
5. Amendment filed 4-25-2001; operative 5-25-2001 (Register 2001, No. 17).
6. Amendment of subsection (e)(1)(D)1. filed 8-30-2010; operative 9-29-2010 (Register 2010, No. 36).
§5159. Confined Space Operations. [Repealed]
Note     •     History

NOTE

Authority Cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
Article 109. Hazardous Substances and Processes
§5160. Scope and Application.
Note     •     History

This Article establishes minimum standards for the use, handling, and storage of hazardous substances in all places of employment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5161. Definitions.
Note     •     History

Bridging Condition. A condition where grain or other agricultural products are hung up or sticking to the sides of bins, silos, and tanks.
Choked leg. A condition of material buildup in the bucket elevator that results in the stoppage of material flow and bucket movement. A bucket elevator is not considered choked that has the up-leg partially or fully loaded and has the boot and discharge cleared allowing bucket movement.
Closed. As applied to containers, closed means vapor-tight.
Combustible dust. Any finely divided solid material which presents a fire or explosion hazard when dispersed in air.
Combustible liquid. See section 5194(c).
Combustible substance. Any substance which after ignition will continue to burn in air.
Container. Any tank, vat, drum, or other vessel in which a substance is placed for storage, use, processing, or transportation, but the term excludes underground storage tanks, all pipelines and all railroad, highway, water-borne and air-borne transportation vehicles and equipment. An additional definition, for Hazard Communication purposes only, will be found at section 5194(c).
Corrosive. See Appendix A to section 5194.
Covered. As applied to containers, covered means providing with a closure which will normally prevent spillage or splashing of contents but is not necessarily liquid or vapor tight; approved safety cans and buggies will be considered covered containers. Equipment listed by the Underwriters' Laboratories or bearing the approval label of other recognized testing laboratories will be acceptable under this definition.
Drum. A portable metal container or barrel, provided with removable plugs or other means by which it can be closed; and having a capacity not less than 15 U.S. gallons or more than 110 U.S. gallons but the term does not include fuel tanks or other equipment on railroad, highway, air-borne or water-borne vehicles.
Flammable. See section 5194(c).
Flat storage structure. A grain storage building or structure, that will not empty completely by gravity, and that has an unrestricted ground level opening for entry, and must be entered to reclaim residual grain using powered equipment or manual means.
Fugitive grain dust. The combustible dust particles emitted from the stock handling system(s) which will pass through a U.S. Standard 40 mesh sieve (425 microns or less).
Grain elevator. A facility engaged in the receipt, handling, storage and shipment of bulk raw agricultural commodities such as corn, wheat, oats, barley, sunflower seeds, and soybeans.
Hazardous substance. A substance, material, or mixture which by reason of being explosive, flammable, poisonous, corrosive, oxidizing, an irritant, or otherwise harmful, is likely to cause injury or illness. Hazardous substance includes hazardous waste as defined in section 5192(a)(3). Additional definitions for hazardous substances are found in sections 5194(c), for Hazard Communication purposes only, and 5192(a)(3), for Hazardous Waste Operations purposes only.
Hot work. Any construction, alteration, repair, or demolition involving riveting, welding, burning, or similar fire-producing operations. Grinding, drilling, sand or shot blasting, or similar spark-producing operation shall be considered hot work except when circumstances do not necessitate such classification.
Inside bucket elevator. A bucket elevator that has the boot and more than 20 percent of the total leg height inside the grain elevator structure. Bucket elevators with leg casings that are inside and pass through the roofs of rail or truck dump sheds with the remainder of the leg outside of the grain elevator structure, are not considered inside bucket elevators.
Irritant. See Appendix A to section 5194.
Jogging. Repeated starting and stopping of drive motors in an attempt to clear choked legs.
Laboratory. A plant or generally recognized department or subdivision of a plant where the primary purpose is testing, analysis, inspection, research, experimentation, process development or instruction.
Lagging. A covering on drive pulleys used to increase the coefficient of friction between the pulley and the belt.
Open. As applied to containers, open means not covered or closed.
Oxidizer. A substance other than a blasting agent or explosive as defined in section 5237(a), that initiates or promotes combustion in other materials,thereby causing fire either of itself or through the release of oxygen or other gases. Oxidizers include nitrates, chlorates, perchlorates, peroxides, permanganates, oxygen, and others.
Note: Strong oxidizers, especially when finely divided, may initiate combustion in combustible materials. Some substances, not ordinarily considered oxidizers, must be regarded as such under certain circumstances; e.g., finely divided ferric oxide in contact with powdered magnesium or aluminum.
Poison. A substance which when taken in small quantities or low concentrations by mouth, inhaled, or absorbed through the skin rapidly jeopardizes life by other than mechanical or physical action.
Pyrophoric. A substance that will ignite spontaneously in air at a temperature of 130F (54.45C) or below.
Spontaneously flammable substance. See Pyrophoric.
Station. A building, room or section of a room in which a specific operation or part of a process is performed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Amendment filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
4. Amendment filed 6-5-90; operative 7-5-90 (Register 90, No. 29).
5. Amendment of definition of “Hazardous substance” filed 5-29-2003; operative 6-28-2003 (Register 2003, No. 22).
6. New definition of “Flat storage structure” filed 11-14-2006; operative 12-14-2006 (Register 2006, No. 46).
§5162. Emergency Eyewash and Shower Equipment.
Note     •     History

(a) Plumbed or self-contained eyewash or eye/facewash equipment which meets the requirements of sections 5, 7, or 9 of ANSI Z358.1-1981, Emergency Eyewash and Shower Equipment, incorporated herein by this reference, shall be provided at all work areas where, during routine operations or foreseeable emergencies, the eyes of an employee may come into contact with a substance which can cause corrosion, severe irritation or permanent tissue damage or which is toxic by absorption. Water hoses, sink faucets, or showers are not acceptable eyewash facilities. Personal eyewash units or drench hoses which meet the requirements of section 6 or 8 of ANSI Z358.1-1981, hereby incorporated by reference, may support plumbed or self-contained units but shall not be used in lieu of them.
(b) An emergency shower which meets the requirements of section 4 or 9 of ANSI Z358.1-1981, incorporated herein by reference, shall be provided at all work areas where, during routine operations or foreseeable emergencies, area of the body may come into contact with a substance which is corrosive or severely irritating to the skin or which is toxic by skin absorption.
(c) Location. Emergency eyewash facilities and deluge showers shall be in accessible locations that require no more than 10 seconds for the injured person to reach. If both an eyewash and shower are needed, they shall be located so that both can be used at the same time by one person. The area of the eyewash and shower equipment shall be maintained free of items which obstruct their use.
(d) Performance. Plumbed and self-contained eyewash and shower equipment shall supply potable water at the flow rates and time durations specified in ANSI Z358.1-1981. The control valve shall be designed so that the water flow remains on without requiring the use of the operator's hands, and so that the valve remains activated until intentionally shut off for all but hand-held drench hoses. Personal eyewash units shall deliver potable water or other eye-flushing solution approved by the consulting physician.
(e) Maintenance. Plumbed eyewash and shower equipment shall be activated at least monthly to flush the line and to verify proper operation. Other units shall be maintained in accordance with the manufacturer's instructions.

Note: See section 5185 of the General Industry Safety Orders when the hazard involves the changing and charging of storage batteries. See article 6 of the Unfired Pressure Vessel Safety Orders when the hazard involves anhydrousammonia.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
2. Change without regulatory effect of subsection (a) filed 4-26-90 pursuant to section 100, Title 1, California Code of Regulations (Register 90, No. 22). 
3. Editorial correction of subsection (a) (Register 2010, No. 34).
§5163. Spill and Overflow Control.
Note     •     History

(a) Where a corrosive substance is handled in an open container or drawn from a reservoir or pipe line, safe means shall be taken to neutralize or dispose of spills and overflows promptly.
(b) Where heating, mixing or processing tanks in which liquid at a temperature above 140o F is handled or processed, adequate drainage shall be provided so employees will not be endangered in case of overflow or reasonably anticipated leakage of tanks.
(c) Where an oxidizer may be spilled on wooden floors, benches, or other combustible material, safe means shall be available and used to effectively remove the oxidizing material. If a solution of an oxidizing agent or a liquid oxidizing agent is spilled on wooden floors or benches, the contaminated area shall be thoroughly flushed with water. Combustible waste material contaminated with such oxidizing agents shall be disposed of promptly and in a safe manner. This subsection shall not forbid the use of such substances to bleach wooden furniture or similar articles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5164. Storage of Hazardous Substances.
Note     •     History

(a) Substances which, when mixed, react violently, or evolve toxic vapors or gases, or which in combination become hazardous by reason of toxicity, oxidizing power, flammability, explosibility, or other properties, shall be evaluated for compatibility before storing. Incompatible substances shall be separated from each other in storage by distance, or by partitions, dikes, berms, secondary containment or otherwise, so as to preclude accidental contact between them.
Note: Some typical examples of such incompatible substances are: Mineral acids and oxidizing agents; mineral acids and cyanides; oxidizing agents and combustible materials; acids and alkalis.
(b) Hazardous substances shall be stored in containers, such as those approved by the U.S. Department of Transportation (DOT), which are chemically inert to and appropriate for the type and quantity of the hazardous substance.
(c) Containers of hazardous substances shall not be stored in such locations or manner as to result in physical damage to, or deterioration of,  the container. Containers shall not be stored where they are exposed to heat sufficient to rupture the containers or to cause leakage.
(d) Containers used to package a substance which gives off toxic, poisonous, corrosive, asphyxiant, suffocant, or anesthetic fumes, gases, or vapors in hazardous amounts (e.g., fuming sulfuric acid, hydrofluoric acid, nitrous oxide, chlorine, or other compressed or liquefied toxic gases) shall not be stored locations where it could be reasonably anticipated that employees would be exposed. This requirement shall not apply to small quantities of such materials kept in closed containers, or to tank cars or trucks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
2. Amendment filed 5-29-2003; operative 6-28-2003 (Register 2003, No. 22).
§5165. Dispensing Devices for Hazardous Substances.
Note     •     History

Carboys and drums shall not be emptied by air pressure greater than atmospheric pressure except as produced by hand pumps or bulbs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (d)(3) and (d)(4) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Amendment of subsection (d) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5166. Cleaning, Repairing, or Altering Containers.
Note     •     History

This section applies to the cleaning, repairing, or altering of any container when such work will be done without a person entering the container.
(a) The employer shall provide specific information regarding safe procedures and other precautions before cleaning or subsequent use or disposal of a container. The employer shall ensure that these procedures and precautions are followed.
(b) Welding or cutting containers.
(1) Used containers. No welding, cutting, or other hot work shall be performed on used drums, barrels, tanks or other containers until they have been cleaned so thoroughly as to make absolutely certain that there are no flammable materials present or any substances such as greases, tars, acids, or other materials which, when subjected to heat, might produce flammable or toxic vapors. Any pipe lines or connections to the drum or vessel shall be disconnected or blanked.
(2) Venting and purging. All hollow spaces, cavities, or containers shall be vented to permit the escape of air or gases before preheating, cutting or welding.
Note: Purging with inert gas is recommended.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5167. Equipment and Processes Involving Hazardous Substances.
Note     •     History

(a) Whenever it is necessary to agitate or mix one or more hazardous substances which spatter, splash, spray, boil-over, or create temperature extremes on being mixed, employees shall be protected from harmful contact or exposure by shielding or other means appropriate to the hazards presented when feasible.
(b) Where such process involves steam or air at pressure higher than that which may be safely used to heat or agitate the substances, effective means shall be provided in the line to prevent the delivery of excessive pressures of steam or air to the containers.
(c) Controls shall be so located that any employee operating them will not be exposed to or contacted by the hazardous substance(s).
(d) Tubular gauges on stationary tanks, vats, or containers which contain hazardous liquids shall be shielded to prevent liquid spray from endangering employees should the gauge break. All such gauges shall be guarded when exposed to the hazard of being broken by accidental impact and in all cases when located less than seven feet above or three feet laterally from working levels or passageways.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (b)(3) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5168. Static Electricity.
Note     •     History

(a) Processes or operations involving the use of oxidizing agents such as chlorates, perchlorates or peroxides, shall be effectively grounded.
(b) The nozzle of air, high pressure water cleaning systems, grit cleaning systems, inert gas and steam lines or hoses, when used in the cleaning or ventilation of tanks and vessels that may contain hazardous concentrations of flammable gases or vapors, shall be grounded and bonded to the tank or vessel shell. Bonding devices shall not be attached nor detached in hazardous concentrations of flammable gases or vapors. Before starting work, precautions shall be taken to prevent ignition of flammable atmospheres in tanks and vessels in accordance with the requirements of Section 5420 of these Orders.

Exception: High pressure water cleaning system nozzles used to clean tanks or vessels 100 cubic meters or less in size need not be bonded to the tank or vessel shell, provided all conductive components are grounded and it is not possible for steam to enter the tank or vessel.
(c) Bonding and grounding devices which are temporarily clamped or clipped to movable equipment shall have a conductor of ample length to assure the effective attachment of the device.
(d) When attaching bonding and grounding clamps or clips, a secure and positive metal to metal contact shall be made. Such attachments shall be made before closures are opened and substance movements are started and shall not be broken until after substance movements are stopped and closures are made.
(e) Steam Cleaning. Steam cleaning components shall be conductive and grounded. The conductive components of the tank or vessel shall be grounded and bonded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
2. Amendment of subsection (b) and new subsection (e) filed 8-26-2008; operative 9-25-2008 (Register 2008, No. 35).
3. Editorial correction of subsection (b) (Register 2008, No. 39).
§5169. Special Precautions for Cyanide in Open Surface Tanks.
Note     •     History

Dikes or other arrangements shall be provided to prevent the possibility of intermixing of cyanide and acid in the event of tank rupture.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-10-87; operative 1-9-88 (Register 87, No. 51). For history of former Section 5169, see Register 75, No. 29.
§5170. Open Tanks, Vats and Containers Containing Flammable Liquids. [Repealed]
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
§5171. Carboys Containing Flammable Liquids. [Repealed]
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
§5172. Drums Containing Flammable Liquids. [Repealed]
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
§5173. Flammable Vapors. [Repealed]
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
§5174. Combustible Dusts--General.
Note     •     History

(a) Any action which liberates combustible dust that exceeds or may reasonably be expected to exceed a concentration of 25 percent of its lower explosive limit in air shall not be permitted unless all sources of ignition are eliminated or are identified and specifically controlled.
Note: Most combustible materials and some materials not usually considered combustible when reduced to dust or powder form, present an explosion hazard when mixed with air.
(b) No source of ignition shall be permitted in locations where a hazard of dust explosion exists until all dust-producing operations have been stopped, airborne dust allowed to settle, and accumulated dust removed to an extent which will remove the hazard of the dust explosion.
(c) All machines, conveyors, housings, and conductive surfaces in locations where combustible dusts are generated or are present shall be electrically bonded to ground to prevent the accumulation of electrostatic charges which are sufficient to potentially cause dust ignition.
(d) Hoses and nozzles used in the collection or blowing of dusts shall have electrical continuity maintained along the entire length from coupling to nozzle and shall be bonded to ground.
(e) Static electricity shall be removed from belts by grounded metal combs or other effective static elimination devices.
Note: Ground/grounded see definition of Grounded, Effectively in Section 3207.
(See Electrical Safety Orders for regulations governing electrical installations in locations where combustible dusts are generated, or are present.)
(f) All enclosed areas wherein combustible dusts are generated or are present, except in closed or covered containers shall be cleaned as often as necessary to prevent accumulation of dust on floors, ledges, beams, equipment, machines or elsewhere which may present a fire or explosion hazard. Safe means of access for cleaning of all surfaces shall be provided.
Note: (1) The cleaning of surfaces by a permanently installed grounded vacuum cleaning system is the preferable method. Soft push brooms or brushes may be used without serious hazard except where brushed dust may form explosive clouds in air. (Warning: Brush bristles of synthetic fiber have a tendency to accumulate strong electrostatic charges.) Blowing dust with compressed air may create dangerous dust clouds and such cleaning should be done only when other methods cannot be used and after all possible sources of ignition have been eliminated, including bonding hoses and nozzles to ground.
Note: (2) See Section 5144 for respiratory protective equipment requirements.
(g) Pneumatic or magnetic separators shall be provided to remove metal or foreign matter capable of igniting combustible material being processed in grinding, shredding, or pulverizing equipment.
(h) Machines and equipment in which the hazard of dust explosion exists shall be so located, constructed, enclosed or vented, that the force of an explosion in the machine or equipment may be dissipated without endangering employees in the regular performance of their duties.
(i) Dust collectors for combustible dusts which present an explosion hazard shall be located outdoors or in detached rooms of fire-resistant construction and provided with adequate explosion vents, except that liquid-spray type collectors may be located within buildings.
Note: It is recommended that all plants of this type be of fire-resistant construction, and that sections of the walls or roof be made of glass or other material which will act as a vent in case of explosion. For heavy construction, one square foot of vent area should be provided for each 80 cubic feet of room capacity; for medium construction, one square foot vent area should be provided for each 65 cubic feet of room capacity and for light construction, one square foot of vent area should be provided for each 50 cubic feet of room capacity. For sulfur plants the vent area should be not less than 15 percent of the total wall, floor and ceiling area; for starch plants, where dry starch grinding and grading, pearl and powdered starch bulk packing, or lump starch cooking, pressing, grading, and packing are carried on, daylight construction, with window surface equal to at least half of the total wall surface is recommended.
(j) Smoking shall not be allowed in any location where hazard of a dust explosion exists.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). For history of former Section 5174, see Register 72, No. 23.
2. Amendment filed 12-10-87, operative 1-9-88 (Register 87, No. 51).
§5175. Combustible Metals.
Note     •     History

(a) All requirements of NFPA 65-1980, “Standard for the Processing and Finishing of Aluminum,” incorporated herein by this reference, shall apply to operations where aluminum or aluminum alloys are subjected to processing or finishing operations which produce fine metallic powder or dust. Such operations include, but are not limited to, grinding, buffing, and polishing. This standard shall also apply to the handling and storage of aluminum powder by users of such material.
(b) All requirements of NFPA 651-1980, “Standard for the Manufacture of Aluminum or Magnesium Powder,” incorporated by this reference, shall apply to manufacturing facilities which produce light metal flake powder or paste, atomized light metal granules, or the dust of any light metal or alloy that is explosive in an environmental atmosphere. At locations for which a building permit was issued or occupancy commenced before July 1, 1987, Chapter 2 of NFPA 651-1974, “Standard for the Manufacture of Aluminum or Magnesium Powder,” incorporated herein by this reference, shall apply in place of Chapter 2 of NFPA 651-1980. (Title 24, Part 6, Section 5175(b)).
(c) All requirements of NFPA 48-1982, “Standard for the Storage Handling and Processing of Magnesium,” incorporated herein by this reference, shall apply to the storage, handling and processing of magnesium at magnesium foundries, processing plants, and commercial storage facilities. At locations for which a building permit was issued or occupance commenced before December 29, 1981, paragraph 211 of NFPA 48-1974, “Standard for the Storage, Handling and Processing of Magnesium,” incorporated herein by this reference, shall apply in place of paragraph 2-1.1 of NFPA 48-1982. (Title 24, Part 6, Section 5175(c))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5176. Pyrophoric Substances.
Note     •     History

Note: Provisions of this order do not apply to operations in the manufacture of pyrophoric substances.
(a) Pyrophoric substances shall, as far as practicable, be stored and handled under a suitable liquid which will prevent contact of the substance with air and with moisture if the substance reacts violently with water.
(b) Where such substances are handled or used in the dry state, the amount at each work station shall be not more than one half-day's supply or product; provided, however, that where less than one half-day's supply or product may constitute a serious hazard, the permissible amount may be restricted to less than a half-day's supply.
(c) Work stations where pyrophoric substances are used or handled in the dry state shall be separated by distance, barricades, or other means so that a fire in the substance at one station will not ignite a substance at any other station.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5177. Spontaneously Combustible Material.
Note     •     History

Note: Provisions of this order do not apply to operations in the manufacture of spontaneously combustible material.
(a) Waste materials prone to spontaneous combustion shall be disposed of as frequently as necessary to prevent their becoming a hazard. Rags soaked with vegetable or fish oil should be disposed of daily and kept in covered containers or water-filled containers until disposed of.
(b) Accumulations of seed, fish meal, etc. from which oil has been extracted shall be stored in a location where fire originating from spontaneous combustion will not endanger employees; and shall be disposed of in a safe manner as often as may be necessary to preclude likelihood of spontaneous combustion.
Note: Unless a solvent is used in the extraction process, such materials frequently contain enough residual oil to be prone to spontaneous combustion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
2. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5178. Grain Handling Facilities.
Note     •     History

(a) Scope:
(1) This section applies to all grain handling facilities, including grain elevators, outdoor flat storage and flat storage structures, feed mills, flour mills, rice mills, dust pelletizing plants, dry corn mills, soybean flaking operations, and the dry grinding operations of soycake.
(2) For the purposes of this section, the term “grain” includes raw and processed grain, grain products, and cottonseed.
(A) The term “grain” is limited to the kernel and does not include the stalk or other vegetative matter of the grain plant.
(3) This section contains requirements for the control of grain dust fires and explosions, and certain other safety hazards associated with grain handling facilities.
(4) This section does not apply to seed plants which handle and prepare seeds for planting.
(b) Entry into grain storage structures, flat storage structures and work on outdoor flat storage.
(1) The employer shall either issue written authorization for entering bins, silos, tanks or other confined spaces, or provide a qualified supervisor during the entire operation. 
(A) The written authorization shall certify that the precautions contained in this section and in section 5158 have been implemented prior to employees entering confined spaces. The written authorization shall be maintained on file for inspection by the Division.
(B) Prior to the entry of a confined space, the atmosphere shall be tested. If the oxygen content is less than 19.5 percent (%), or combustible gas or vapor is detected in excess of 10% of the lower explosive limit, or combustible particulate is detected in excess of 20 percent (%) of its lower explosive limit, or a toxic agent is detected in excess of its immediately dangerous to life or health concentration, the requirements prescribed by section 5158 shall apply.
Note: This section does not preclude the requirement to control harmful exposures, under the provisions of Article 107, to toxic substances at concentrations less than those immediately dangerous to life or health.

Exception for subsection (b)(1): Outdoor flat storage and flat storage structures in which there are not toxicity, flammability, oxygen-deficiency, or other atmospheric hazards.
(2) Prior to entering, all mechanical, electrical, hydraulic, and pneumatic equipment which presents a danger to employees inside grain storage structures, flat storage structures or working on outdoor flat storage shall be deenergized and shall be disconnected, locked-out, tagged-out, blocked-out, or otherwise prevented from operating by other equally effective means or methods as prescribed by GISO section 3314.
(3) “Walking down grain” and similar practices where an employee walks on grain to make it flow within or out from a grain storage structure, flat storage structures or outdoor flat storage, or where an employee is on moving grain, are prohibited.
(4) Employees shall not be permitted to be either underneath a bridging condition, or in any other location where an accumulation of grain or grain products on the sides or elsewhere could fall and engulf the employee.
(5) The employer shall equip the employee with a full body harness with lifeline, or a boatswain's chair, and a second employee shall be present when an employee enters a grain storage structure from a level at or above the level of the stored grain or grain products, or when an employee walks or stands on or in stored grain of a depth which poses an engulfment hazard.
(A) The lifeline shall be so positioned, and of sufficient length, to prevent the employee from sinking further than waist-deep in the grain.

Exceptions for subsection (b)(5):

1. Where the employer can demonstrate that the protection required by this subsection is not feasible or creates a greater hazard, the employer shall provide an alternative means of protection which is demonstrated to prevent the employee from sinking further than waist-deep in the grain.

2. When the employee is standing or walking on a surface which the employer demonstrates is free from engulfment hazards, the lifeline or alternative means may be disconnected or removed.
(6) The employer shall provide necessary equipment and qualified personnel for rescue operations.
(c) Hot work.
(1) The employer shall issue a permit for all hot work, with the following exceptions:
(A) In welding shops authorized by the employer;
(B) In hot work areas authorized by the employer which are located outside of the grain handling structure.
(2) The permit shall certify that the requirements contained in General Industry Safety Orders, Groups 10 and 11 have been implemented prior to beginning the hot work operations. The permit shall be kept on file until completion of the hot work operations.
(d) Housekeeping. The employer shall develop and implement a written housekeeping program that establishes the frequency and method(s) determined best to reduce accumulations of fugitive grain dust on ledges, floors, equipment, and other exposed surfaces.
(1) The housekeeping program for grain elevators shall address fugitive grain dust accumulations at priority housekeeping areas.
(2) Priority housekeeping areas shall include at least the following:
(A) Floor areas within 35 feet of inside bucket elevators;
(B) Floors of enclosed areas containing grinding equipment; and
(C) Floors of enclosed areas containing grain dryers located inside the facility.
(3) The employer shall immediately remove any grain dust accumulations whenever they exceed 1/8 inch (.32cm) at priority housekeeping areas.

Exception: Grain and product spills shall not be considered fugitive grain dust accumulations. However, the housekeeping program shall address the procedures for removing such spills from the work area.
(4) The use of compressed air to blow dust from ledges, walls, and other areas shall only be permitted when all machinery that presents an ignition source in the area is shut-down, and all other known potential ignition sources in the area are removed or controlled.
(e) Grate openings. Receiving-pit feed openings, such as truck or railcar receiving-pits, shall be covered by grates. The width of openings in the grates shall be a maximum of 2-1/2 inches (6.35 cm).
(f) Filter collectors.
(1) Fabric dust filter collectors which are a part of a pneumatic dust collection system shall be equipped with a monitoring device that will indicate a pressure drop across the surface of the filter.
(2) Filter collectors installed on or after July 5, 1990, shall be located:
(A) Outside the facility; or
(B) In an area inside the facility protected by an explosion suppression system; or
(C) In an area inside the facility that is separated from other areas of the facility by construction having at least a one hour fire-resistance rating, and which is adjacent to an exterior wall and vented to the outside. The vent and ductwork shall be designed to resist rupture due to deflagration.

Exception for (f)(2): The provisions of this section shall apply retroactively to existing non-compliant filter collectors installed on or after July 5, 1990, effective December 14, 2007.
(g) Preventive maintenance.
(1) The employer shall implement preventive maintenance procedures consisting of:
(A) Regularly scheduled inspections of at least the mechanical and safety control equipment associated with dryers, grain stream processing equipment, dust collection equipment including filter collectors, and bucket elevators;
(B) Lubrication and other appropriate maintenance in accordance with manufacturers' recommendations, or as determined necessary by prior operating records.
(2) The employer shall promptly correct dust collection systems which are malfunctioning or which are operating below designed efficiency. Additionally, the employer shall promptly correct, or remove from service, overheated bearings and slipping or misaligned belts associated with inside bucket elevators.
(3) The employer shall implement procedures in accordance with the provisions of GISO section 3314 for the use of tags and locks which will prevent the inadvertent application of energy or motion to equipment being repaired, serviced, or adjusted, which could result in employee injury. Such locks and tags shall be removed in accordance with established procedures only by the employee installing them or, if unavailable, by his or her supervisor.
(h) Grain stream processing equipment.
Grain stream processing equipment (such as hammer mills, grinders, and pulverizers) shall be equipped with an effective means of removing ferrous material from the incoming grain stream.
(i) Continuous-flow bulk grain dryers.
(1) All direct-heat grain dryers shall be equipped with the following automatic controls that will:
(A) Shut-off the fuel supply in case of power or flame failure or interruption of air movement through the exhaust fan; and
(B) Stop the grain from being fed into the dryer if excessive temperature occurs in the exhaust of the drying section.
(2) Direct-heat grain dryers installed after July 5, 1990 shall be located in one of the following areas:
(A) Outside the grain elevator; or
(B) Inside the grain elevator protected by a fire or explosion suppression system; or
(C) Inside the grain elevator separated from other areas of the facility by construction having at least a one hour fire-resistance rating.
(j) Inside bucket elevators (bucket elevators).
(1) Bucket elevators shall not be jogged to free a choked leg.
(2) All belts and lagging purchased after July 5, 1990, shall be conductive. Such belts shall have a surface electrical resistance not to exceed 300 megohms.
(3) All bucket elevators shall be equipped with a means of access to the head pulley section to allow inspection of the head pulley, lagging, belt, and discharge throat of the elevator head. The boot section shall also be provided with a means of access for clean-out of the boot and for inspection of the boot, pulley, and belt.
(4) Bearings:
(A) Bearings shall be mounted externally to the leg casing; or
(B) Vibration monitoring, temperature monitoring or other means shall be provided to monitor the condition of bearings mounted inside or partially-inside the leg casing.
(5) Bucket elevators shall be equipped with a motion detection device which will shut-down the bucket elevator when the belt speed is reduced by 20% of the normal operating speed.
(6) Belt alignment:
(A) Bucket elevators shall be equipped with a belt alignment monitoring device which will initiate an alarm to employees when the belt is not tracking properly; or
(B) A means shall be provided to keep the belt tracking properly, such as a system that provides constant alignment adjustment of belts.
(7) Subsections (j)(5) and (j)(6) of this section do not apply to grain elevators having permanent storage capacity of less than one million bushels, provided that daily visual inspection is made of bucket movement and tracking of the belt.
(8) Subsections (j)(4), (j)(5), and (j)(6) do not apply to the following:
(A) Bucket elevators which are equipped with an operational fire and explosion suppression system capable of protecting at least the head and boot section of the bucket elevator, or
(B) Bucket elevators which are equipped with pneumatic or other dust control systems or methods that keep the dust concentration inside the bucket elevator at least 25% below the lower explosive limit at all times during operations.
(k) Record keeping.
A certification record shall be maintained of each inspection performed in accordance with sections 3221(e), 3328(b), and 5178(g) containing the date of the inspection, the name of the person who performed the inspection and identification of the equipment inspected.
(l) Contractors.
(1) The employer shall inform contractors performing work at the grain handling facility of known potential fire, explosion and engulfment hazards related to the contractor's work and work area. The employer shall also inform contractors of the applicable safety rules of the facility.
(2) The employer shall explain the applicable provisions of the emergency action plan to contractors.
(m) Emergency escape.
(1) The employer shall provide at least two means of emergency escape from galleries (bin decks).
(2) The employer shall provide at least one means of emergency escape in tunnels of existing grain elevators.
(3) Tunnels in grain elevators constructed on or after July 5, 1990 shall be provided with at least two means of emergency escape.

Exception for (m)(3): The provisions of this section shall apply retroactively to existing non-compliant tunnels in grain elevators constructed on or after July 5, 1990, effective December 14, 2007. 
(n) Training. In addition to the requirements of section 3203, employees shall be trained prior to starting work in a grain handling facility and annually thereafter in at least the following:
(1) General safety precautions associated with the facility, including recognition and preventive measures for the hazards related to dust accumulations and common ignition sources such as smoking; and, 
(2) Specific procedures and safety practices applicable to their job tasks. Employees assigned special tasks, such as but not limited to, cleaning procedures for grinding equipment, clearing procedures for choked legs, housekeeping procedures, hot work procedures, preventive maintenance procedures, lockout/tagout procedures, confined space entry, and handling of flammable or toxic substances, shall be provided training to perform these tasks safely.
(3) Training for employees who enter grain storage structures or work on grain storage piles shall include instruction in the recognition of engulfment and mechanical hazards and how to avoid them.
(o) Emergency action plan. The employer shall develop and implement an emergency action plan in accordance with section 3220 of these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 6-5-90; operative 7-5-90 (Register 90, No. 29). For prior history, see Register 87, No. 51.
2. Change without regulatory effect amending subsection (b) filed 1-11-94 pursuant to title 1, section 100, California Code of Regulations.
3. Amendment filed 11-14-2006; operative 12-14-2006 (Register 2006, No. 46).
§5179. Oxidizing Agents: General. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5180. Tank Cars Containing Hazardous Liquids. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5181. Entering Tank Cars. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
2. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5182. Confined Spaces. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-14-78; effective thirtieth day thereafter (Register 78, No. 37).
§5183. Fuming Substances. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5184. Hazardous Mixtures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5185. Changing and Charging Storage Batteries.
Note     •     History

(a) Battery charging installations shall be located in areas designated for that purpose. Employees assigned to work with storage batteries shall be instructed in emergency procedures such as dealing with accidental acid spills.
(b) The area shall be adequately ventilated to prevent concentrations of flammable gases exceeding 20 percent of the lower explosive limit, and to prevent harmful concentration of mist from the electrolyte.
(c) Where corrosive liquids are regularly or frequently handled in open containers or drawn from reservoirs or pipelines, adequate means shall be provided to neutralize or dispose of spills and overflows promptly and safely.
(d) Carboy tilter, siphon, hand-operated bulb or hand-operated pump shall be provided and used for dispensing electrolyte or acid.
(e) Facilities shall be provided for protecting charging apparatus from damage by mobile equipment.
(f) Appropriate mechanical lifting and material handling devices or equipment shall be provided for handling batteries.
(g) Smoking shall be prohibited in the charging area.
(h) Precautions shall be taken to prevent open flames, sparks, or electric arcs in battery charging areas. When racks are used for support of batteries, they shall be made of materials nonconductive to spark generation or coated or covered to achieve this objective. Tools and other metallic objects shall be kept away from the top of uncovered batteries. Chargers shall be turned off when leads are being connected or disconnected.
(i) Electrolyte (acid or base, and distilled water) for battery cells shall be mixed in a well ventilated room. Acid or base shall be poured gradually into the water while stirring. Water shall never be poured into concentrated (greater than 75 percent) acid solutions.
(j) Mobile equipment shall be properly positioned and brake applied before attempting to change or charge batteries.
(k) When charging batteries, the vent caps shall be kept firmly in place to avoid electrolyte spray. Care shall be taken to assure that vent caps are functioning. The battery compartment cover(s) shall be open to dissipate heat.
(l) Facilities for quick drenching or flushing of the eyes and body shall be provided unless the storage batteries are:
(1) equipped with explosion resistant or flame arrestor type vents; or
(2) located in a compartment or other location such as to preclude employee exposure.

Exceptions: Automotive servicing facilities and parts stores where:
1. A suitable neutralizing agent is available.
2. An adequate supply of clean water is readily available.
3. The transfer system is essentially a closed system and does not involve handling acid in open containers.
(m) When taking specific gravity readings, the open end of the hydrometer shall be covered with an acid resistant material while moving it from battery to battery to avoid splashing or throwing the electrolyte.
(n) Electrolyte shall only be placed in suitable containers and shall not be stirred with metal objects.
(o) When a jumper battery is connected to a battery in a vehicle, the ground lead shall connect to ground away from the vehicle's battery. Ignition, lights and accessories on the vehicle shall be turned off before connections are made.
(p) Vent caps shall be in place when batteries are being moved.

Exceptions: Portable equipment battery systems:
Batteries and battery charging equipment of less than 100 watt hours are exempt.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer of subsections (i) and (n) and new subsections (i), (n), (o), (p), and (q) filed 11-12-75; effective thirtieth day thereafter (Register 75, No. 46).
3. Amendment of subsections (k) and (l ) filed 10-5-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Renumbering of Section 5214 to Section 5185 filed 5-3-78 as procedural and organizational; effective upon filing (Register 78, No. 18).
5. Amendment of subsection (h) and new subsections (r) and (s) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
6. Amendment filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
§5186. Pyroxylin Plastic.
Note     •     History

All requirements of NFPA 40E-1980, “Code for the Storage of Pyroxylin Plastic,” incorporated herein by this reference, shall apply to any building in which pyroxylin plastic is stored. This code shall apply to pyroxylin plastic, whether in the form of raw material, unfinished and finished products, and scrap. This code shall not apply to the storage of cellulose nitrate motion picture film. (Title 24, Part 6, Section 5186)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5187. Nitrocellulose.
Note     •     History

Note: This section refers to the use of bulk nitrocellulose or scrap nitrocellulose film for the manufacture of lacquer or other similar products. This material is not as highly nitrated as guncotton and is usually shipped wet with alcohol, other organic liquids or water. 
(a) Buildings and Equipment.
(1) All buildings or rooms having more than 100 square feet of area or where the maximum possible distance to the exit exceeds 12 feet in which nitrocellulose is stored, processed, or handled shall have at least two exits, remote from each other and so arranged that there are no dead ends where a person might be trapped. Access to such exits shall not be blocked or impeded.
(2) Nitrocellulose shall not be stored or processed in a basement.
(3) All rooms wherein nitrocellulose is stored, handled or processed shall be cleaned as often as necessary to prevent accumulation of nitrocellulose on floors, ledges, beams, equipment, machines, or elsewhere. Floors shall be free of cracks where nitrocellulose might accumulate.
(4) Mechanical equipment, including pulleys and shafting shall be of metal and shall be electrically grounded. (See Electrical Safety Orders for regulations governing electrical installation.)
(b) Storage.
(1) Nitrocellulose shall be stored in a location remote from mixing and processing operations, preferably in a separate fireproof building. Out-door storage is not recommended but may be permitted, subject to local fire inspection, provided that the location is reasonably well isolated and not exposed to flame, sparks, or combustible material. Containers shall not be exposed to direct sunlight or stored near steam coils or other sources of heat. Rooms or buildings used for storage shall be heated indirectly so that no source of ignition will be present from this source. In heated buildings, the distance between containers and heating units shall be such as to prevent the metal of the container from rising above the temperature of the room itself, and heaters shall be so arranged that drums cannot, under any circumstances, come in contact with them.
(2) Nitrocellulose in storage shall be kept wet with solvent or water. All containers shall be inspected before being put in storage, and frequent inspection of drums in storage shall be made; if any are found on which closures are not tight, solvent or water shall be added if necessary and closure shall be tightened.
(3) Containers of nitrocellulose shall not be opened in a storage building.
(c) Handling.
(1) Nonferrous tools and equipment shall be used to open and handle drums of nitrocellulose, and where nitrocellulose is present in open containers. Trucks used to carry nitrocellulose shall have non-ferrous wheels. Rubber-tired wheels, unless conductive rubber is used, are not recommended on account of the static hazard.
(2) Operations shall be arranged so that nitrocellulose does not have an opportunity to dry out. All full or partially full barrels or drums shall be kept tightly covered when not in use.
(3) All open containers in which nitrocellulose or nitrocellulose lacquers are handled or processed shall be electrically grounded. When such materials are transferred from one container to another, the containers shall be bonded electrically before the transferring is started.
(4) Empty barrels shall be wiped clean (rags wet with water or solvent may be used) and closed as soon as emptied.
(d) General.
(1) Quick-acting deluge showers and fire blankets shall be provided and all employees shall be informed of their location and how to use them.
(2) Employees shall not wear clothing which has an accumulation of flammable material on it.
(3) Rags, refuse, sweepings, and other waste shall be kept in covered containers, wet down with water, and disposed of at least once a day by burning in a safe location.
(4) Matches, cigarette lighters, and other similar sources of ignition shall be prohibited in any room in which nitrocellulose is used, handled or stored. (Title 24, T8-5202(a))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 9-3-76; effective thirtieth day thereafter (Register 76, No. 36).
3. Amendment filed 7-13-78; effective thirtieth day thereafter (Register 76, No. 28).
4. Renumbering and amendment of Section 5202 to Section 5187 filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5188. Molten Salt Baths.
Note     •     History

(a) Where molten salt baths are used for heat-treating metallic objects.
(1) All objects shall be thoroughly cleaned of oil, grease and dirt, and thoroughly dried of all moisture before being placed in the bath.
(2) Means shall be provided whereby the operator is protected from splashes or spatters of the molten salt while inserting or withdrawing metal objects.
(3) Hoods shall be provided for all baths containing nitrates or cyanides or other baths if fumes or vapors are produced in amounts giving rise to harmful exposure. Such hoods shall be provided with mechanical exhaust ventilation unless sufficient natural draft is produced.
(4) Where the location of the bath is such that there is a possibility of water coming in contact with the molten salt, a hood, shield, or other means shall be provided to preclude such contact.
(5) Workers exposed to spatters or splashes shall be protected as prescribed in Article 10. Clothing should be of wool or other material which does not burn readily.
(6) Baths not protected by hood or shield shall be provided with a removable cover which shall be placed over the bath during temporary shut downs and at end of periods of use.
(b) Nitrate Baths. In addition to the requirements of (a):
(1) No salt containing any cyanide or any organic compound shall be added to a salt bath containing nitrate. Proper warning signs to this effect shall be posted near all such baths.
(2) Nitrate baths shall not be operated at a temperature of greater than 1200 degrees F.
(3) Nitrate baths used to treat aluminum or its alloys shall not be operated at a temperature greater than 1000 degrees F. In such baths if the temperature reaches 1000 degrees F, or if the objects being treated and the bath appear to be beginning an exothermic reaction the operator shall withdraw the metal objects from the bath.
(4) Every nitrate bath over 10 cubic feet in capacity shall be provided with an automatic cut-off safety control which will shut off the source of heat when the temperature reaches the limits set forth in (2) or (3). This control shall be in addition to any regular controls whether they act automatically or manually.
(5) If external heating by gas or oil is used, the combustion chamber shall be arranged so that the sides of the chamber are bathed in hot gasses as uniformly as possible without any flame impinging directly on the containers and so that in case of failure of the container, molten salt will flow to a safe place and so that molten salt cannot drip or spatter into the combustion chamber.
(6) The molten salt container shall be emptied at regular intervals and inspected for deterioration. When inspection shows that deterioration has taken place to such an extent that failure is likely, or that uneven heating of the salt may occur, the container shall be replaced or repaired.
(7) No article shall be allowed to stay in the bottom of the bath. Accumulations of sediment or products of partial decomposition shall be removed regularly, as often as is necessary to prevent uneven heating of the bath. The chemical content of the bath should be checked frequently.
(8) Nitrate shall not be stored in the room with the bath. Storage in a separate building is recommended.
(9) Buildings in which nitrate baths are located should be of construction recommended by the National Board of Fire Underwriters Research Report, No. 2, 1954, for such location. Combustible materials in a room with a bath shall be kept to a minimum.
(10) Magnesium or magnesium alloy shall not be heat-treated in nitrate baths.
(11) When heat is turned off such a bath and before it is allowed to cool, a metal wedge long enough to reach from the bottom of the bath to above the surface shall be inserted to prevent explosion when bath is reheated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of Section 5203 to Section 5188 filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5189. Process Safety Management of Acutely Hazardous Materials.
Note     •     History

(a) Scope and Purpose.
These regulations contain requirements for preventing or minimizing the consequences of catastrophic releases of toxic, reactive, flammable or explosive chemicals. The establishment of process safety management regulations are intended to eliminate to a substantial degree, the risks to which employees are exposed in petroleum refineries, chemical plants and other facilities.
(b) Application.
(1) These regulations shall apply to a process which involves a chemical at or above the specified threshold quantities listed in Appendix A or a process which involves a flammable liquid or gas as defined in subsection (c).
EXCEPTION: (1) Flammable liquids stored in atmospheric tanks or transferred which are kept below their normal boiling point without benefit of chilling or refrigeration. (2) Hydrocarbon fuels used solely for workplace consumption (e.g. comfort heating propane, gasoline for motor vehicle refueling) if such fuels are not part of a process containing another acutely hazardous chemical covered by section 5189. (3) These regulations do not apply to retail facilities, oil or gas well drilling or servicing operations or normally unoccupied remote facilities.
(2) Explosives manufacturing operations shall comply with the provisions of Article 119 and these orders.
(3) The requirements of subsections (d) and (e) shall become effective within five (5) years according to the following phase-in schedule:
(A) No less than 25 percent shall be completed by August 10, 1994;
(B) No less than 50 percent shall be completed by August 10, 1995;
(C) No less than 75 percent shall be completed by August 10, 1996.
(D) All initial process hazards analyses shall be completed by August 10, 1997.
(4) Subsections (f) through (p) shall become effective on January 4, 1994.
(5) The installation of explosive devices, such as explosive bolts, detonating cords, explosive actuators, squibs, heating pellets and similar small exploding devices into finished products or devices that are not intended to explode and the repackaging of explosives are not considered manufacturing operations and are not covered by Section 5189.
(6) Explosives pre-manufacturing and post-manufacturing research and testing activities listed below are not covered by Section 5189 provided they are conducted in a separate, non-production research or test area or facility, and do not have the potential to cause or contribute to a release or interfere with mitigating the consequences of a catastrophic release from the explosive manufacturing process:
(A) Product testing and analysis which is not a part of any in-production sampling and testing of the explosive manufacturing process;
(B) Chemical and physical property analysis of explosives and propellants and pyrotechnics formulations;
(C) Scale-up research chemical formulations to develop production quantity formulations;
(D) Analysis of age tests conducted on finished products;
(E) Failure analysis tests conducted on pre-manufactured or finished products;
(F) X-raying;
(G) Quality assurance testing (not including the extraction of samples from an active explosive manufacturing production process);
(H) Evaluating environmental effects, such as hot, cold, jolt, jumble, drop, vibration, high altitude, salt and fog; and,
(I) Assembly of engineering research and development models.
(c) Definitions.
Acutely hazardous material. A substance possessing toxic, reactive, flammable or explosive properties and specific by subsection (b)(1).
Explosive. A substance identified in Title 49, Part 172 of the Code of Federal Regulations, the Department of Transportation effective on December 31, 1990.
Facility. The buildings, containers, or equipment which contain a process.
Flammable. Liquids or gases as defined in Section 5194(c) onsite and in one location in quantities of 10,000 pounds or more.
Hot Work. Electric or gas welding, cutting, brazing or any extreme heat, flame, or spark producing procedures or operations.
Major Accident. Any event involving fire, explosion, or release of a substance covered by this section which results in a fatality or a serious injury (as defined by Labor Code Section 6302) to persons in the workplace.
Normally unoccupied remote facility. A facility which is operated, maintained and serviced by employees who visit the unmanned facility only periodically to check its operation and perform necessary operating or maintenance tasks. No employees are permanently stationed to this facility. Facilities meeting this definition are not contiguous with and must be geographically remote from all other buildings, processes or persons.
Process. Any activity conducted by an employer that involves an acutely hazardous material, flammable substance or explosive including any use, storage, manufacturing, handling, or on-site movement of any of the preceding substances or combination of these activities. For purposes of this definition any group of vessels which are interconnected and separate vessels which are located such that an acutely hazardous material could be involved in a potential release shall be considered a single process.
Process Safety Management. The application of management programs, which are not limited to engineering guidelines, when dealing with the risks associated with handling or working near acutely hazardous materials, flammables, or explosives.
Replacement in Kind. A replacement which satisfies the design specification.
(d) Process Safety Information. The employer shall develop and maintain a compilation of written safety information to enable the employer and the employees operating the process to identify and understand the hazards posed by processes involving acutely hazardous, flammable and explosive material before conducting any process hazard analysis required by this regulation. The employer shall provide for employee participation in this process. Copies of this safety information shall be made accessible and communicated to employees involved in the processes, and include:
(1) Information pertaining to hazards of the acutely hazardous and flammable materials used in the process. This information shall consist of at least the following:
(A) Toxicity information;
(B) Permissible exposure limits as listed in Section 5155;
(C) Physical data;
(D) Corrosivity data;
(E) Thermal and chemical stability data;
(F) Reactivity data; and,
(G) Hazardous effects of incompatible mixtures which could forseeably occur.

Note: Material Safety Data Sheets meeting the requirements of Section 5194(g) may be used to comply with this requirement to the extent they meet the information provisions.
(2) Information pertaining to the technology of the process. Information concerning the technology of the process shall include at least the following:
(A) A block flow diagram or simplified process flow diagram;
(B) Process chemistry;
(C) Maximum intended inventory;
(D) Safe upper and lower limits for process variables such as temperatures, pressures, flows, levels and/or compositions; and,
(E) The consequences of deviations, including those affecting the safety and health of employees.

Note: For processes for which data is unavailable, the information concerning the technology of the process may be developed from a process/hazard analysis conducted in accordance with subsection (e).
(3) Information pertaining to the equipment in the process.
(A) Information pertaining to the equipment in the process shall include at least the following:
1. Materials of construction;
2. Piping and instrument diagrams (P&ID's);
3. Electrical classification;
4. Relief system design and design basis;
5. Ventilation system design;
6. Design codes employed including design conditions and operating limits;
7. Material and energy balances for processes built after September 1, 1992;
8. Safety systems (such as interlocks, detection and suppression systems, etc.); and,
9. Electrical supply and distribution systems.
(B) The employer shall document that the equipment complies with the criteria established in subsection (d)(3)(A) in accordance with recognized and generally accepted good engineering practices.
(C) For existing equipment designed and constructed in accordance with codes, standards, or practices that are no longer in general use, the employer shall determine and document that the equipment is designed, maintained, inspected, tested and operating in a safe manner.
(4) A copy of the process safety information and communication shall be accessible to all employees who perform any duties in or near the process.
(e) Process Hazard Analysis.
(1) The employer shall perform a hazard analysis appropriate to the complexity of the process for identifying, evaluating, and controlling hazards involved in the process and shall determine and document the priority order for conducting process hazard analyses based on the extent of process hazards, number of potentially affected employees, age of the process and process operating history, using at least one of the following methodologies.
(A) What-If;
(B) Checklist;
(C) What-If/Checklist;
(D) Hazard and Operability Study (HAZOP);
(E) Failure Mode and Effects Analysis (FMEA); or
(F) Fault-Tree Analysis.

Note: The employer may utilize other hazard analysis methods recognized by engineering organizations or governmental agencies. In the absence of (A) - (F) or other recognized hazard analysis methods, the employer may utilize a hazard analysis method developed and certified by a registered professional engineer for use by the process hazards analysis team.
(2) The hazard analysis shall address:
(A) The hazards of the process;
(B) Engineering and administrative controls applicable to the hazards and their relationships;
(C) Consequences of failure of these controls;
(D) Facility Siting;
(E) Human Factors;
(F) A qualitative evaluation of a range of the possible safety and health effects of the failure of controls on facility employees; and
(G) The identification of any previous incident which had a likely potential for catastrophic consequences in the workplace.

Note: The employer may utilize the facility's Risk Management Prevention Plan(s) (RMPP) prepared pursuant to Article 2, Chapter 6.95 (commencing with Section 25531) of Division 20 of the Health and Safety Code to  the extent that is satisfies the requirements of subsections (e)(1) and (2).
(3)(A) The process hazard analysis shall be performed by a team with expertise in engineering and process operations, and the team shall include at least one operating employee who has experience and knowledge specific to the process being evaluated. The team shall also include one member knowledgeable in the specific process hazard analysis methodology being used. The final report containing the results of the hazard analysis for each process shall be available in the respective work area for review by any person working in that area.
(B) The employer shall consult with the affected employees and where appropriate their recognized representatives on the development and conduct of hazard assessments performed after the effective date of this section. Affected employees and where applicable their representatives shall be provided access to the records required by this section.
(4) The employer shall establish a system to promptly address the team's findings and recommendations; document any actions taken to implement the team's recommendations;  develop a written schedule of when these actions are to be completed; assure that the recommendations are resolved in a timely manner; make them available to operating, maintenance and any other persons whose work assignments are in the facility, and who are affected by the recommendations or actions; and assure that the recommendations are evaluated in a timely manner or implement an alternative resolution which appropriately addresses the degree of hazard posed by the scenario.
(5) At least every five (5) years, the process hazard analysis shall be updated and revalidated, by a team meeting the requirements in subsection (e)(3), to assure that the process hazard analysis is consistent with the current process.
(6) Employers shall retain process hazard analyses and/or updates for each process covered by this section, as well as the documented actions described in subsection (e)(4).
(7) Upon request of any worker or any labor union representative of any worker in the area, the employer shall provide or make available a copy of the employer's RMPP.
(8) The employer shall conduct the process hazard analysis as soon as possible but not later than the dates shown in subsection (b)(3).
(f) Operating Procedures.
(1) The employer shall develop and implement written procedures that provide clear instructions for safely conducting activities involved in each process consistent with the process safety information and shall address at least the following.
(A) Steps for each operating phase:
1. Start-up;
2. Normal operation;
3. Temporary operations as the need arises;
4. Emergency operations, including emergency shutdowns, and who may initiate these procedures;
5. Normal shutdown; and,
6. Start-up following a turnaround, or after an emergency shutdown.
(B) Operating limits:
1. Consequences of deviation;
2. Steps required to correct and/or avoid deviation; and
3. Safety systems and their functions.
(C) Safety and health considerations:
1. Properties of, and hazards presented by, the chemicals used in the process;
2. Precautions necessary to prevent exposure, including administrative controls, engineering controls, and personal protective equipment;
3. Control measures to be taken if physical contact or airborne exposure occurs;
4. Safety procedures for opening process equipment (such as pipe line breaking);
5. Verification of raw materials and control of hazardous chemical inventory levels; and,
6. Any special or unique hazards.
(2) A copy of the operating procedures shall be readily accessible to employees who work in or near the process area or to any other person who works in or near the process area.
(3) The operating procedures shall be reviewed as often as necessary to assure that they reflect safe operating practices, including changes that result from changes in process chemicals, technology, and equipment; and changes to facilities.
(4) The employer shall develop and implement safe work practices to provide for the control of hazards during operations such as opening process equipment or piping and control over entrance into a facility by maintenance, contractor, laboratory or other support personnel. These safe work practices shall apply to employees and contractor employees.
(g) Training.
(1) Initial training. Each employee presently involved in operating or maintaining a process, and each employee before working in a newly assigned process, shall be trained in an overview of the process and in the operating procedures as specified in subsection (f). The training shall include emphasis on the specific safety and health hazards, procedures, and safe practices applicable to the employee's job tasks.
(2) Refresher and supplemental training. At least every three years, and more often if necessary, refresher and supplemental training shall be provided to each maintenance or operating employee and other workers necessary to ensure safe operation of the facility. The employer in consultation with employees involved in operation or maintenance of a process shall determine the appropriate frequency of refresher training.
(3) Training certification. The employer shall ensure that each employee involved in the operation or maintenance of a process has received and successfully completed training as specified by this subsection. The employer, after the initial or refresher training shall prepare a certification record which contains the identity of the employee, the date of training, and the signatures of the persons administering the training.
(4) Testing procedures shall be established by each employer to ensure competency in job skill levels and safe and healthy work practices.
(h) Contractors.
(1) The employer shall inform contractors performing work on, or near, a process of the known potential fire, explosion or toxic release hazards related to the contractor's work and the process, and require that contractors have trained their employees to a level adequate to safely perform their job. The employer shall also inform contractors of any applicable safety rules of the facility, and assure that the contractors have so informed their employees.
(2) The employer shall explain to contractors the provisions of the emergency action plan required in subsection (n).
(3) Contractors shall assure that each of their employees have received training to safely perform their job and that the contract employees shall comply with all applicable work practices and safety rules of the facility.
(4) The contractor's training program shall be performed in accordance with the requirements of subsection (g).
(5) The employer when selecting a contractor shall obtain and evaluate information regarding the contract employer's safety program.
(6) The employer shall periodically evaluate the performance of contract employers in fulfilling their obligations as specific in subsection (h)(3) of this section.
(7) The employer shall obtain and make available upon request a copy of the contract employer's injury and illness log related to the contractor's work in the process areas.
(i) Pre-start Up Safety Review.
(1) The employer shall perform a pre-start up safety review for new facilities and for modified facilities for which the modification necessitates a change in the process safety information.
(2) The pre-start up safety review shall confirm that prior to the introduction of acutely hazardous, flammable and explosive materials to a process:
(A) Construction and/or equipment are in accordance with design specifications;
(B) Safety, operating, maintenance, and emergency procedures are in place and are adequate;
(C) For new facilities, a process hazard analysis has been performed and recommendations have been resolved or implemented before start-up; and modified facilities meet the requirements contained in subsection (l); and,
(D) Training of each operating employee and maintenance worker has been completed.
(3) The Pre-Start Up Safety Review shall involve employees with expertise in process operations and engineering. The employees will be selected based upon their experience and understanding of the process systems being evaluated.
(j) Mechanical Integrity.
(1) Written procedures.
(A) The employer shall establish and implement written procedures to maintain the ongoing integrity of process equipment and appurtenances. These procedures shall include a method:
1. for allowing employees to identify and report potentially faulty or unsafe equipment; and
2. to record their observations and suggestions in writing.
(B) The employer shall respond regarding the disposition of the employee's concerns contained in the report(s) in a timely manner.
(C) The employer shall provide employees and their representatives access to the information required in subsection (j)(1).
(2) Inspection and testing.
(A) Inspections and tests shall be performed on process equipment.
(B) Inspection and testing procedures shall follow recognized and generally accepted good engineering practices.
(C) The frequency of inspections and tests shall be consistent with applicable manufacturer's recommendations and good engineering practices and more frequently if determined necessary as dictated by operating history.
(D) The employer shall have a certification record that each inspection and test has been performed in accordance with this subsection. The certification shall identify the date of the inspection; the name of the person who performed the inspection and test; and the serial number or other identifier of the equipment.
(3) Equipment deficiencies. The employer shall correct deficiencies in equipment which are outside acceptable limits defined by the process safety information in subsection (d) before further use, or in a safe and timely manner provided means are taken to assure safe operation.
(4) Quality assurance.
(A) The employer shall assure that in the construction of new plants and equipment modified, repaired, or fabricated equipment is suitable for the process aplication for which they will be used.
(B) Appropriate checks and inspections shall be performed as necessary to assure that equipment is installed properly and is consistent with design specifications and manufacturer's instructions.
(C) The employer shall assure that maintenance materials, spare parts and equipment, meet design specifications and applicable codes.
(k) Hot Work Permit.
(1) The employer shall develop and implement a written procedure for the issuance of “hot work” permits.
(2) The permit shall certify that the applicable portions of the fire prevention and protection requirements contained in Sections 4848 and 6777 have been implemented prior to beginning the hot work operations; indicate the date(s) authorized for hot work; and identify the equipment or facility on which hot work is to be done. The permit shall be kept on file until completion of the hot work operations.
(l) Management Of Change.
(1) The employer shall establish and implement written procedures to manage changes (except for “replacement in kind”) to process chemicals, technology, and equipment, and changes to facilities.
(2) The procedures shall assure that the following are addressed prior to any change:
(A) The technical basis for the proposed change;
(B) Impact of change on safety and health; 
(C) Modifications to operating procedures;
(D) Necessary time period for the change; and,
(E) Authorization requirements for the proposed change.
(3) Employees involved in the process shall be informed of, and trained in, the change in the process as early as practicable prior to its start up.
(4) If a change covered by this subsection results in a change to the process safety information, such information shall be appended and/or updated in accordance with subsection (d).
(5) If a change covered by this subsection results in a change to the operating procedures, such procedures shall be appended and/or updated in accordance with subsection (f).
(m) Incident Investigation.
(1) The employer shall establish a written procedure for prompt reporting and investigating every incident which results in or could reasonably have resulted in a major accident.
(2) Incident investigations shall be initiated no later than 48 hours following the incident.
(3) An incident investigation team shall be established and consist of persons knowledgeable in the process involved including a contract employee if the incident involved work of the contractor, and other persons who are qualified to thoroughly investigate and analyze the incident.
(4) A written report shall be prepared at the conclusion of the investigation which includes at a minimum:
(A) Date of incident;
(B) Date investigation began;
(C) A description of the incident;
(D) The factors that contributed to the incident; and,
(E) Any recommendations resulting from the investigation.
(5) The report shall be reviewed with all operating, maintenance, and other personnel whose work assignments are within the facility where the incident occurred.
(6) The employer shall establish a system to promptly address and resolve the report findings and recommendations and shall implement the report recommendations in a timely manner, or take action to prevent a reoccurrence.
(7) Incident investigation reports shall be retained for five (5) years.
(8) The employer shall prepare a report and either provide a copy of the report or communicate the contents of the report to all employees and other personnel whose work assignments are within the facility, where the incident occurred at the time the incident occurred.
(n) Emergency Planning and Response. The employer shall establish and implement an Emergency Action Plan in accordance with the provisions of Section 3220.

Note: The employer may use the business plan for emergency response submitted pursuant to subdivision (a) of Section 25503.5 and subdivision (b) of Section 25505 of the Health and Safety Code, to the extent that the requirements of subsection (n) are met.
(o) Injury and Illness Prevention Program. The employer's Injury and Illness Prevention Program required by Section 3203 shall include applicable part(s) of this section.
(1) The scheduled and periodic inspections of facilities covered by this section and required by Section 3203(a)(4) shall be conducted by at least one person knowledgeable in the process.
(p) Employee Participation.  The employer shall develop a written plan of action to ensure employee participation in process safety management which includes:
(1) Employer consultation with employees and their representatives on the conduct and development of the elements of process safety management required by this section; and
(2) Providing employees and their representatives with access to all information required to be developed by this section without regard to possible trade secret status of such information.

Note: Nothing in this subsection shall preclude the employer from requiring the persons to whom the information is made available under subsection (p)(2) to enter into confidentiality agreements prohibiting them from disclosing the information as set forth in Section 5194.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7856, Labor Code.
HISTORY

1. New section filed 7-10-92; operative 8-10-92 (Register 92, No. 28).
2. Amendment of section and new Appendix filed 1-4-94; operative 1-4-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 1).
3. Change without regulatory effect amending subsection (b)(1) filed 5-3-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 18).
4. Change without regulatory effect amending Appendix A filed 9-13-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 37).
5. New subsection (b)(5) and amendment of Note filed 4-1-96; operative 5-1-96 (Register 96, No. 14).
6. Editorial correction of misspelling of “sulfur” in Appendix (Register 96, No. 18).
7. New subsections (b)(6)-(b)(6)(I) filed 3-31-99; operative 4-30-99 (Register 99, No. 14).
8. Change without regulatory effect amending subsection (n) filed 6-13-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
9. Amendment of listing of sulfur dioxide in Appendix A filed 6-18-2002; operative 7-18-2002 (Register 2002, No. 25).
10. Amendment of listing of “Oleum” in Appendix A filed 9-4-2012; operative 10-4-2012 (Register 2012, No. 36).

Appendix A to Section 5189--List of Acutely Hazardous Chemicals, Toxics and Reactives (Mandatory)
This Appendix contains a listing of substances which present a potential for a catastrophic event at or above the threshold quantity (TQ).

View Graphic

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Sections 142.3 and 7856, Labor Code.
§5190. Cotton Dust.
Note     •     History

(a) Scope and Application.
(1) This section applies to the control of employee exposure to cotton dust in all workplaces where employees engage in:
(A) Yarn manufacturing;
(B) Slashing and weaving operations;
(C) Work in waste houses for textile operations;
(D) Preparation of washed cotton from opening until the cotton is thoroughly wetted;
(E) Yarn manufacturing and slashing and weaving operations exclusively using washed cotton (as defined by Section 5190(n) only to the extent specified by Section 5190(n);
(F) Cottonseed processing or waste processing operations only to the extent Section 5190(h) Medical Surveillance, (k)(2)-(4) Recordkeeping Medical Records, and Appendices B, C, and D apply.
(2) This section does not apply to:
(A) The harvesting of cotton;
(B) The ginning of cotton;
(C) Ship and boatbuilding or ship repair and breaking operations, as defined by 8 Cal. Admin. Code 8347, and longshoring;
Note: Longshoring is defined as the loading, unloading, moving, or handling of cargo, ship's stores, gear, etc. into, in, on, or out of any vessel on the navigable waters of the United States.
(D) The handling or processing of woven or knitted material.
(E) Knitting, classing or warehousing operations except that employers with these operations, if requested by NIOSH, shall grant NIOSH access to their employees and workplaces for exposure monitoring and medical examinations for purposes of a health study to be performed by NIOSH on a sampling basis;
(F) The construction industry.
(b) Definitions.
Blow down. The general cleaning of a room or a part of a room by the use of compressed air.
Blow off. The use of compressed air for cleaning of short duration and usually for a specific machine or any portion of a machine.
Chief. The Chief of the Division of Occupational Safety and Health, or designee.
Cotton Dust. Dust present in the air during the handling or processing of cotton, which may contain a mixture of many substances including ground-up plant matter and other contaminants which may have accumulated with the cotton during the growing, harvesting, and subsequent processing or storage periods. Any dust present during the handling and processing of cotton through the weaving or knitting of fabrics, and dust present in other operations or manufacturing processes using raw or waste cotton fibers or cotton fiber byproducts from textile mills are considered cotton dust within this definition. Lubricating oil mist associated with weaving operations is not considered cotton dust.
Director. The Director, National Institute for Occupational Safety and Health (NIOSH), U.S. Department of Health and Human Services, or designee.
Equivalent Instrument. Cotton dust sampling device that meets the vertical elutriator equivalency requirements as described in Section 5190(d)(1)(C) of this section.
Lint-free respirable cotton dust. Particles of cotton dust approximately 15 microns or less aerodynamic equivalent diameter.
Vertical elutriator cotton dust sampler. A dust sampler which has a particle size cut-off at approximately 15 microns aerodynamic equivalent diameter when operating at the flow rate of 7.4 plus or minus 0.2 liters per minute.
Waste processing, Waste recycling (sorting, blending, cleaning and willowing) and garnetting.
Yarn manufacturing. All textile mill operations from opening to, but not including, slashing and weaving.
(c) Permissible Exposure Limits and Action Levels.
(1) Permissible Exposure Limits.
(A) The employer shall assure that no employee who is exposed to cotton dust in yarn manufacturing and cotton washing operations is exposed to concentrations of airborne lint-free respirable cotton dust greater than 200 mg/M3 mean concentration, averaged over an eight-hour period, as measured by a vertical elutriator or an equivalent instrument.
(B) The employer shall assure that no employee who is exposed to cotton dust in textile mill waste house operations or is exposed in yarn manufacturing to dust from “lower grade washed cotton” as defined in Section 5190(n)(5) is exposed to concentrations of airborne lint-free respirable cotton dust greater than 500 mg/M3 mean concentration, averaged over an eight-hour period, as measured by a vertical elutriator or an equivalent instrument
(C) The employer shall assure that no employee who is exposed to cotton dust in the textile processes know as slashing and weaving is exposed to concentrations of airborne lint-free respirable cotton dust greater than 750 mg/M3 mean concentration averaged over an eight-hour period, as measured by a vertical elutriator or an equivalent instrument.
(2) Action Levels.
(A) The action level for yarn manufacturing and cotton washing operations is a concentration of airborne lint-free respirable cotton dust of 100 mg/M3 mean concentration, averaged over an eight-hour period, as measured by a vertical elutriator or an equivalent instrument.
(B) The action level for waste houses for textile operations is a concentration of airborne lint-free respirable cotton dust of 250 mg/M3 mean concentration, averaged over an eight hour period, as measured by a vertical elutriator or an equivalent instrument.
(C) The action level for the textile processes known as slashing and weaving is a concentration of airborne lint-free respirable cotton dust of 375 mg/M3 mean concentration, averaged over an eight hour period, as measured by a vertical elutriator or an equivalent instrument.
(d) Exposure Monitoring and Measurement.
(1) General.
(A) For the purposes of this section, employee exposure is that exposure which would occur if the employee were not using a respirator.
(B) The sampling device to be used shall be either the vertical elutriator cotton dust sampler or an equivalent instrument.
(C) If an alternative to the vertical elutriator cotton dust sampler is used, the employer shall establish equivalency by demonstrating that the alternative sampling devices:
1. Collect respirable particulates in the same range as the vertical elutriator (approximately 15 microns);
2. Replicate exposure data in side-by-side field and laboratory comparisons; and
3. A minimum of 100 samples are collected and are equivalent within an accuracy and precision range of plus or minus 25 percent for 95 percent of the samples over the range of 0.5 to 2 times the permissible exposure limit. (An acceptable protocol for demonstrating equivalency is described in Appendix E of this section.)
Note: The Chief will issue a written opinion stating that an instrument is equivalent to a vertical elutriator cotton dust sampler if:
1. A manufacturer or employer requests an opinion in writing and supplies the following information:
a. Sufficient test data to demonstrate that the instrument meets the requirements specified in this paragraph and the protocol specified in Appendix E of this section;
b. Any other relevant information about the instrument and its testing requested by the Chief; and
c. A certification by the manufacturer or employer that the information supplied is accurate, and
2. If the Chief finds, based on information submitted about the instrument, that the instrument meets the requirements for equivalency specified by Section 5190(d).
(2) Initial Monitoring. Each employer who has a place of employment within the scope of Section 5190(a)(1) shall conduct monitoring by obtaining measurements which are representative of the exposure of all employees to concentrations of airborne lint-free respirable cotton dust averaged over an eight-hour period. The sampling program shall include at least one determination during each shift for each work area.
(3) Periodic Monitoring.
(A) If the initial monitoring required by Section 5190(d)(2) or any subsequent monitoring reveals employee exposure to be at or below the permissible exposure limit, the employer shall repeat the monitoring for those employees at least annually.
(B) If the initial monitoring required by Section 5190(d)(2) or any subsequent monitoring reveals employee exposure to be above the PEL, the employer shall repeat the monitoring for those employees at least every six months.
(C) Whenever there has been a production, process, or control change which may result in new or additional exposure to cotton dust, or whenever the employer has any other reason to suspect an increase in employee exposure, the employer shall repeat the monitoring and measurements required by Section 5190(d)(2) for those employees affected by the change or increase.
(4) Employee Notification.
(A) Within 15 working days after the receipt of monitoring results, the employer shall notify each employee either individually in writing of the exposure measurements which represent that employee's exposure or by posting the results in an appropriate location that is accessible to employees.
(B) Whenever the results indicate that the employee's exposure exceeds the applicable permissible exposure limit specified in Section 5190(c), the employer shall include in the written notice a statement that the permissible exposure limit was exceeded and a description of the corrective action taken or to be taken in accordance with Section 5190(e)(3), to reduce exposure to or below the permissible exposure limit.
(e) Methods of Compliance.
(1) Engineering and Work Practice Controls. The employer shall institute engineering and work practice controls to reduce and maintain employee exposure to cotton dust at or below the permissible exposure limit specified in Section 5190(c), except to the extent that the employer can establish such controls are not feasible.
(2) Supplementary Respirator Use. Whenever feasible engineering and work practice controls are not sufficient to reduce employee exposure to or below the permissible exposure limit, the employer shall nonetheless institute these controls to immediately reduce exposure to the lowest feasible level, and shall supplement these controls with the use of respirators which shall comply with the provisions of Section 5190(f).
(3) Compliance Program.
(A) Each employer shall establish and implement a written program sufficient to reduce exposures to or below the permissible exposure limit solely by means of engineering controls and work practices as required by Section 5190(e)(1).
(B) The written program shall include at least the following:
1. A description of each operation or process resulting in employee exposure to cotton dust;
2. Engineering plans and other studies used to determine the controls for each process;
3. A report of the technology considered in meeting the permissible exposure limit;
4. Monitoring data obtained in accordance with Section 5190(d);
5. A detailed schedule for development, implementation, and utilization of engineering and work practice controls, and a projection of the exposure levels to be achieved by such controls;
6. A work practices program in accordance with Section 5190(g); and
7. Other relevant information.
(C) The employer's schedule as set forth in the compliance program shall project completion of the compliance program no later than March 27, 1984 or as soon as possible if monitoring after March 27, 1984 reveals exposures over the PEL, except as provided in Section 5190(m)(2)(B).
(D) The employer shall complete the steps set forth in the written program by the scheduled dates established under the provisions of Section 5190(e)(3)(B)(5).
(E) Written plans required by this subsection shall be submitted, upon request, to the Chief and the Director and shall be available at the worksite for examination and copying by the Chief, the Director, and any affected employee or their designated representatives.
(F) The written plans required under Section 5190(e)(3) shall be revised and updated when necessary to reflect the current status of the program and current exposure levels.
(4) Mechanical Ventilation. When mechanical ventilation is used to control exposure, measurements which demonstrate the effectiveness of the system to control exposure shall be made in accordance with Section 5143(a)(5). Measurements of the system's effectiveness to control exposures shall also be made within five days of any change in production, process or control which may result in any increase in concentrations of airborne cotton dust.
(f) Use of Respirators.
(1) General.
(A) For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection.
(B) Respirators shall be used during:
1. Periods necessary to install or implement feasible engineering controls and work practice controls;
2. Maintenance and repair activities in which engineering and work practice controls are not feasible;
3. Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the permissible exposure limit;
4. Work operations specified under Section 5190(g)(1); and
5. Periods for which an employee requests a respirator.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) Whenever a physician determines that an employee who works in an area in which the cotton dust concentration exceeds the PEL is unable to use a respirator, including a powered air-purifying respirator, the employee must be given the opportunity to transfer to an available position, or to a position that becomes available later, that has a cotton dust concentration at or below the PEL. The employer must ensure that such employees retain their current wage rate or other benefits as a result of the transfer.
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1; however, employers shall not select or use filtering facepieces for protection against cotton dust concentrations greater than five times (5x) the PEL. 
(B) Employers shall provide HEPA filters for powered and non-powered air-purifying respirators used at cotton dust concentrations greater than ten times (10x) the PEL.
(C) Employers shall provide an employee with a powered air-purifying respirator (PAPR) instead of a non-powered air-purifying respirator selected according to subsection (f)(3) when the employee chooses to use a PAPR and it provides adequate protection to the employee as specified by subsection (f)(3).
(g) Work Practices. Each employer shall, regardless of the level of employee exposure, establish and implement a written program of work practices to minimize cotton dust exposure for each specific job. Where applicable, the following work practices shall be utilized:
(1) Compressed air “blow down” and “blow off” cleaning shall be prohibited where alternative means are feasible. Where compressed air “blow down” “blow off” is performed, respirators shall be worn by the employees performing the “blow down” “blow off” and employees in the area whose presence is not required to perform the “blow down” “blow off” shall be required to leave the area during this cleaning operation.
(2) Cleaning of clothing or floors with compressed air shall be prohibited.
(3) Floor cleaning shall be performed with a vacuum or with methods designed to minimize dispersal of dust.
(4) In areas where employees are exposed to concentrations of cotton dust greater than the permissible exposure limit, cotton and cotton waste shall be stacked, sorted, baled, dumped, removed or otherwise handled by mechanical means, except where the employer can show that it is not feasible to do so. Where infeasible, the method used for handling cotton shall be the method which reduces exposure to the lowest level feasible.
(5) The employer shall inspect, clean, maintain, and repair all engineering control equipment and ventilation systems including power sources, ducts, and filtration units of the equipment.
(h) Medical Surveillance.
(1) General.
(A) Each employer who has a place of employment, within the scope of Section 5190(a),in which cotton dust is present shall institute a program of medical surveillance for all employees exposed to cotton dust.
(B) The employer shall assure that all medical examinations and procedures are performed by or under the supervision of a licensed physician and are provided without cost to the employee.
(C) Persons, other than licensed physicians, who administer the pulmonary function testing required by this section shall complete a training course in spirometry approved by the National Institute for Occupational Safety and Health.
(2) Initial Examinations. The employer shall provide each employee who is or may be exposed to cotton dust with an opportunity for medical surveillance. For new employees, this examination shall be provided prior to initial assignment. The medical surveillance shall include at least the following:
(A) A medical history;
(B) The standardized questionnaire contained in Appendix B; and
(C) A pulmonary function measurement, including a determination of forced vital capacity (FVC) and forced expiratory volume in 1 second (FEV1), the FEV1/FVC ratio and the percentage that the measured values of FEV1 and FVC differ from the predicted values, using the standard tables in Appendix C. The predicted FEV1 and FVC for blacks shall be multiplied by 0.85 to adjust for ethnic differences.
These determinations shall be made for each employee before the employee enters the workplace on the first day of the work week, following at least 35 hours after the last exposure to cotton dust. The test shall be repeated during the shift, no sooner than 4 and no more than 10 hours after the beginning of the work shift; and, in any event, no more than one hour after cessation of exposure. Such exposure shall be typical of the employee's usual workplace exposure.
(D) Based upon questionnaire results, each employee shall be graded according to Schilling's byssinosis classification system as follows:
Grade O--No particular symptoms on first day of the work week.
Grade one-half--occasional chest tightness on the first day of the work week.
Grade one--chest tightness and/or breathlessness on the first day of the work week only.
Grade two--chest tightness and/or breathlessness on the first day of the work week and other days.
Grade three--grade two symptoms accompanied by evidence of permanent incapacity from diminished effort tolerance and/or reduced ventilatory capacity.
(3) Periodic Examinations.
(A) The employer shall provide at least annual medical surveillance for all employees exposed to cotton dust above the action level in yarn manufacturing, slashing and weaving, cotton washing and waste house operations. The employer shall provide medical surveillance at least every two years for all employees exposed to cotton dust at or below the action level, for all employees exposed to cotton dust from washed cotton (except from washed cotton defined in paragraph (n)(3) of this Section), and for all employees exposed to cotton dust in waste processing operations. For all employees exposed to cotton dust in cottonseed processing, the employer shall provide medical surveillance within one year of employment, and at least every two years thereafter. Periodic medical surveillance shall include at least an update of the medical history, standardized questionnaire (App. B-III), Schilling byssinosis grade, and the pulmonary function measurements in Section 5190(h)(2)(C).
(B) Medical surveillance as required in Section 5190(h)(3)(A) shall be provided every six months for all employees in the following categories:
1. An FEV1 of greater than 80 percent of the predicted value, but with an FEV1 decrement of 5 percent or 200ml on a first working day;
2. An FEV1 of less than 80 percent of the predicted value; or
3. Where, in the opinion of the physician, any significant adverse change in questionnaire finding, pulmonary function results, or other diagnostic tests has occurred.
(C) An employee whose FEV1 is less than 60 percent of the predicted value shall be referred to a physician for a detailed pulmonary examination.
(D) A comparison shall be made between the current examination results and those of previous examinations and a determination made by the physician as to whether there has been a significant change.
(4) Information Provided to the Physician. The employer shall provide the following information to the examining physician:
(A) A copy of this regulation and its appendices;
(B) A description of the affected employee's duties as they related to the employee's exposure;
(C) The employee's exposure level or anticipated exposure level;
(D) A description of any personal protective equipment used or to be used; and
(E) Information from previous medical examinations of the affected employee which is not readily available to the examining physician.
(5) Physician's Written Opinion.
(A) For each employee, the employer shall obtain a written opinion from the examining physician containing the following:
1. The results, insofar as they relate to occupational exposure to cotton dust, of the medical examination and tests including the FEV1, FVC and FEV1/FVC ratio;
2. The physician's opinion as to whether the employee has any detected medical condition which would place the employee at increased risk of material impairment of the employee's health from exposure to cotton dust;
3. The physician's recommended limitations upon the employee's exposure to cotton dust or upon the employee's use of respirators including a determination of whether an employee can wear a negative pressure respirator, and where an employee cannot, a determination of the employee's ability to wear a powered air purifying respirator; and,
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further examination or treatment.
(B) The employer shall instruct the physician not to reveal in the written opinion specific findings or diagnoses unrelated to occupational exposure.
(C) The employer shall furnish the employee with a copy of the physician's written opinion.
(i) Employee Education and Training.
(1) Training Program.
(A) The employer shall provide a training program for all employees in all workplaces within the scope of Section 5190(a) where cotton dust is present and shall assure that each employee in these workplaces is informed of the following:
1. The specific nature of the operations which could result in exposure to cotton dust at or above the permissible exposure limit;
2. The measures, including work practices required by Section 5190(g), necessary to protect the employee from exposures in excess of the permissible exposure limit:
3. The purpose, proper use and limitations of respirators required by Section 5190(f);
4. The purpose for and a description of the medical surveillance program required by Section 5190(h) and other information which will aid exposed employees in understanding the hazards of cotton dust exposure;
5. The purpose for monitoring and an explanation of the sampling and measurement procedures;
6. The contents of this standard and its appendices; and
7. The acute and long-term health hazards associated with exposure to cotton dust.
(B) The training program shall be provided prior to initial assignment and shall be repeated at least annually for each employee exposed to cotton dust, when job assignments or work processes change and when employee performance indicates a need for retraining.
(2) Access to Training Materials.
(A) Each employer shall post a copy of this section and its appendices in a public location at the workplace, and shall, upon request, make copies available to employees.
(B) The employer shall provide all materials relating to the employee training and information program to authorized representatives of the Chief and the Director upon request.
(j) Signs. The employer shall post the following warning sign in each work area where the permissible exposure limit for cotton dust is exceeded:

WARNING!
COTTON DUST WORK AREA
May Cause Lung Injury
(Byssinosis)
RESPIRATOR REQUIRED IN THIS AREA
(k) Recordkeeping.
(l) Exposure Measurements.
(A) The employer shall establish and maintain an accurate record of all measurements required by Section 5190(d).
(B) The record shall include:
1. A log containing the items listed in paragraph IV-A of Appendix A, and the dates, number, duration, and results of each of the samples taken, including a description of the procedure used to determine representative employee exposures;
2. The type of respiratory protective devices worn, if any, and length of time worn during the work day; and
3. The names, social security numbers, job classifications, and exposure levels of employees whose exposure the measurement is intended to represent.
(C) The employer shall maintain this record for at least 20 years.
(2) Medical Surveillance.
(A) The employer shall establish and maintain an accurate medical record for each employee subject to medical surveillance required by Section 5190(h).
(B) The record shall include:
1. The name and social security number and description of the duties of the employee;
2. A copy of the medical examination results (insofar as such results relate to occupational exposure to cotton dust) including the medical history, questionnaire responses, results of all tests, and the physician's recommendation;
3. A copy of the physician's written opinion;
4. Any employee medical complaints related to exposure to cotton dust;
5. A copy of this standard and its appendices, except that the employer may keep one copy of the standard and the appendices for all employees, provided that reference to the standard and its appendices is made in the medical surveillance record of each employee; and
6. A copy of the information provided to the physician as required by Section 5190(h)(4).
(C) The employer shall maintain this record for at least 20 years.
(3) Availability.
(A) The employer shall make all records required to be maintained by Section 5190(k) available to authorized representatives of the Chief or Director for examination and copying.
(B) Employee exposure measurement records and employee medical records required by this section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief in accordance with Section 3204.
(4) Transfer of Records.
(A) Whenever the employer ceases to do business, the successor employer shall receive and retain all records for the prescribed period. These records shall be transmitted to the Director of the National Institute for Occupational Safety and Health at least three months prior to the disposal of such records and shall transmit those records to the Director if so requested within that period.
(B) Whenever the employer ceases to do business, and there is no successor employer to receive and retain the records for the prescribed period, these records shall be transmitted to the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services.
(C) At the expiration of the retention period for the records required to be maintained by this section, the employer shall notify the Director of the National Institute for Occupational Safety and Health at least three months prior to the disposal of such records and shall transmit those records to the Director, if so requested within that period.
(D) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(l) Observation of monitoring by an affected employee or employees, or their representative, pursuant to 8 Cal. Admin. Code 340.1, the employer shall provide the observer with personal protective clothing or equipment required to be worn by employees working in the area, assure the use of such clothing and equipment, and require the observer to comply with all other applicable safety and health procedures.
(m) Startup.
(1) Initial Monitoring. The initial monitoring required by Section 5190(d)(2) shall be completed as soon as possible but within 6 months of the effective date of this section.
(2) Methods of Compliance; Engineering and Work Practice Controls.
(A) The engineering and work practice controls required by Section 5190(e) shall be implemented no later than March 27, 1984 except as set forth in Section 5190(m)(2)(B).
(B) The engineering and work practice controls required by Section 5190(e) shall be implemented no later than 6 months after the effective date of section (m)(2)(B), for ring spinning operations (including only ring spinning and winding, twisting, spooling, beaming and warping following ring spinning) where the operations meet the following criteria:
1. The weight of the yarn being run is 100 percent cotton and the average yarn count by weight is 18 or below;
2. The average weight of the yarn run is 80 percent or more cotton and the average yarn count by weight is 16 or below; or
3. The average weight of the yarn being run is 50 percent or more cotton and the average yarn count by weight is 14 or below;
(C) When the provisions of Section 5190(m)(2)(B) are being relied upon, the following definitions shall apply:
1. The average cotton content shall be determined by dividing the total weight of cotton in the yarns being run by the total weight of all the yarns being run in the relevant work area.
2. The average yarn count shall be determined by multiplying the yarn count times the pounds of each particular yarn being run to get the “total hank” for each of the yarns being run in the relevant area. The “total hank” values for all of the yarns being run should then be summed and divided by the total pounds of yarn being run, to produce the average yarn count number for all the yarns being run in the relevant work area.
(D) Where the provisions of Section 5190(m)(2)(B) are being relied upon, the employer shall update the employer's compliance plan no later than 6 months after the effective date of Section (m)(2)(D) to indicate the steps being taken to reduce cotton dust levels to 200 mg/M3 through the use of engineering and work practice controls.
(E) Where the provisions of Section 5190(m)(2)(B) are being relied upon, the employer shall maintain airborne concentrations of cotton dust below 1000 mg/M3 mean concentration averaged over an eight-hour period measured by a vertical elutriator or an equivalent instrument with and engineering and work practice controls and shall maintain the permissible exposure limit specified by Section 5190(c)(1)(A) with any combination of engineering controls, work practice controls and respirators.
(3) Compliance Program. The compliance program required by Section 5190(e)(3) shall be established no later than one year from the effective date of this section.
(4) Respirators. Appropriate respirators, in accordance with the table under Section 5190(f)(2)(A), shall be provided as soon as possible following the conduct of initial monitoring required by Section 5190(d)(2). Respirators required under Section 5190(f)(1)(B)4 shall be provided within 30 days of the effective date of this standard and respirators required under Section 5190(f)(1)(B)5 shall be provided within 30 days of the employee request.
(5) Work Practices. The work practices required by Section 5190(g) shall be implemented no later than 3 months from the effective date of this section.
(6) Medical Surveillance. The medical surveillance required by Section 5190(h) shall be completed no later than one year from the effective date of this section for the textile industry and no later than December 13, 1986 for the cotton seed processing and waste processing industry.
(7) Employee Education and Training. The initial education and training required by Section 5190(i) shall be completed as soon as possible but no later than 3 months from the effective date of this section.
(n) Washed Cotton.
(1) Exemptions. Cotton, after it has been washed by the processes described in this paragraph, is exempt from all or parts of this section as specified if the requirements of this paragraph are met.
(2) Initial requirements.
(A) In order for an employer to qualify as exempt or partially exempt from this standard for operations using washed cotton, the employer must demonstrate that the cotton was washed in a facility which is open to inspection by the Chief and the employer must provide sufficient accurate documentary evidence to demonstrate that the washing methods utilized meet the requirements of this paragraph.
(B) An employer who handles or processes cotton which has been washed in a facility not under the employer's control and claims an exemption or partial exemption under this paragraph, must obtain from the cotton washer and make available at the worksite, to authorized representatives of the Chief, to any affected employee, or to their designated representative the following:
1. A certification by the washer of the cotton of the grade of cotton, the type of washing process, and that the batch meets the requirements of this paragraph;
2. Sufficient accurate documentation by the washer of the cotton grades and washing process; and
3. An authorization by the washer that the Chief or the Director may inspect the washer's washing facilities and documentation of the process.
(3) Medical and dyed cotton. Medical grade (USP) cotton, cotton that has been scoured, bleached and dyed, and mercerized yarn shall be exempt from all provisions of this standard.
(4) Higher grade washed cotton. The handling or processing of cotton classed as “low middling light spotted or better” which has been washed:
(A) On a continuous batt system or a rayon rinse system.
(B) With water,
(C) At a temperature of no less than 60 degrees C.
(D) With a water-to-fiber ratio of no less than 40:1, and
(E) With bacterial levels in the wash water controlled to limit bacterial contamination of the cotton, shall be exempt from all provisions of the standard except the requirements of Section 5190(h) Medical Surveillance, (k)(2)-(4) Recordkeeping-Medical Records, and Appendices B, C, and D.
(5) Lower grade washed cotton. The handling and processing of cotton of grades lower than “low middling light spotted, ” that has been washed as specified in Section 5190(n)(4) and has also been bleached, shall be exempt from all provisions of the standard except the requirements of Sections 5190(c)(1)(B) Permissible Exposure Limit, (d)Exposure Monitoring, (h) Medical Surveillance, (k) Recordkeeping, and Appendices B, C and D.
(6) Mixed grades of washed cotton. If more than one grade of washed cotton is being handled or processed together, the requirements of the grade with the most stringent exposure limit, medical and monitoring requirements shall be followed.
(o) Appendices.
(1) Appendices B, C, and D of this section are incorporated as part of this section and the contents of these appendices are mandatory.
(2) Appendix A of this section contains information which is not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
(3) Appendix E of this section is a protocol which may be followed in the validation of alternative measuring devices as equivalent to the vertical elutriator cotton dust sampler. Other protocols may be used if it is demonstrated that they are statistically valid, meet the requirements in Section 5190(d)(1)(C), and are appropriate for demonstrating equivalency.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 5217 and Appendices A-D to Section 5190 and Appendices A-E filed 11-21-86; effective thirtieth day thereafter (Register 86, No.47).
2. Reprinting of subsections (m) and (n) to correct errors in sequence of text made by printing plant during production of Register 86, No. 47 (Register 87, No. 13).
3. Amendment of subsections (d)(1)(c), (h)(1)(A), (h)(2)(C), (i)(1)(A), (m)(2)(E), and (n)(4) filed 6-27-87; operative 6-26-87 (Register 87, No. 23).
4. Amendment of former subsections (f)(1)-(f)(4)(C) including subsection renumbering and relettering resulting in newly designated subsections (f)(1)-(f)(3)(B) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
5. Amendment of subsection (d)(4)(A) filed 7-28-2005; operative 7-28-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 30).
6. Amendment of subsections (f)(3)(A), repealer and new subsection (f)(3)(B) and new subsection (f)(3)(C) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Air Sampling and Analytical Procedures for
Determining Concentrations of Cotton Dust
I. SAMPLING LOCATIONS
The sampling procedures must be designed so that samples of the actual dust concentrations are collected accurately and consistently and reflect the concentrations of dust at the place and time of sampling. Sufficient number of 6-hour area samples in each distinct work area of the plant should be collected at locations which provide representative samples of air to which the worker is exposed. In order to avoid filter overloading, sampling time may be shortened when sampling in dusty areas. Samples in each work area should be gathered simultaneously or sequentially during a normal operating period. The daily time-weighted average (TWA) exposure of each worker can then be determined by using the following formula: 
(T1C1 + T2C2 . . . .  + Tn Cn),
TWA = -------------------------
Total Hours Exposed 
where:

T1,T2	Tn=the number of hours spent in a given location;
                                and
 C1,C2	Cn=the dust concentration in the same location.
A time-weighted average concentration should be computed for each worker and properly logged and maintained on file for review. 
II. SAMPLING EQUIPMENT
A. Sampler:
The instrument selected for monitoring is the Lumsden-Lynch vertical elutriator. It should operate at a flow rate of 7.4 plus or minus 0.2 liters/minute.
The samplers should be cleaned prior to sampling. The pumps should be monitored during sampling.
B. Filter Holder:
A three-piece cassette constructed of polystyrene designed to hold a 37 mm diameter filter should be used. Care must be exercised to assure that an adequate seal exists between elements of the cassette.
C. Filters and Support Pads:
The membrane filters used should be polyvinyl chloride with a 5-mm pore size and 37 mm diameter. A support pad, commonly called a backup pad, should be used under the filter membrane in the field monitor cassette.
D. Balance:
A balance sensitive to 10 micrograms should be used.
III. INSTRUMENT CALIBRATION PROCEDURE
Samplers shall be calibrated when first received from the factory, after repair, and after receiving any abuse. The samplers should be calibrated in the laboratory both before they are used in the field and after they have been used to collect a large number of field samples. The primary standard, such as a wet test meter, should be used. Instructions of calibration with the wet test meter follow. If another calibration device is selected, equivalent procedures should be used:
(a) Level wet test meter. Check the water level which should just touch the calibration point at the left side of the meter. If water level is low, add water 1-2o F warmer than room temperature to the fill point. Run the meter for 30 minutes before calibration;
(b) Place the polyvinyl chloride membrane filter in the filter cassette;
(c) Assemble the calibration sampling train;
(d) Connect the wet test meter to the train. The pointer on the meter should run clockwise and a pressure drop of not more than 1.0 inch of water indicated. If the pressure drop is greater than 1.0 inch, disconnect and check the system;
(e) Operate the system for ten minutes before starting the calibration;
(f) Check the vacuum gauge on the pump to assure that the pressure drop across the orifice exceeds 17 inches of mercury;
(g) Record the following on calibration data sheets;
(1) Wet test meter reading, start and finish;
(2) Elapsed time, start and finish (at least two minutes);
(3) Pressure drop at manometer;
(4) Air temperature;
(5) Barometric pressure; and
(6) Limiting orifice number;
(h) Calculate the flow rate and compare against the flow of 7.4 plus or minus 0.2 liters/minute. If flow is between these limits perform calibration again, average results, and record orifice number and flow rate. If flow is not within these limits, discard or modify orifice and repeat procedure.
(i) Record the name of the person performing the calibration, the date, serial number of the wet test meter, and the number of the critical orifices being calibrated. 
IV. SAMPLING PROCEDURE
A. Sampling data sheets should include a log of:
1. The date of the sample collection;
2. The time of sampling;
3. The location of the sampler;
4. The sampler serial number;
5. The cassette number;
6. The time of starting and stopping the sampling and the duration of sampling;
7. The weight of the filter before and after sampling;
8. The weight of the dust collected (corrected for controls);
9. The dust concentration measured;
10. Other pertinent information; and
11. Name of person taking sample;
B. Assembly of filter cassette should be as follows:
1. Loosely assemble 3-piece cassette;
2. Number cassette;
3. Place absorbent pad in cassette;
4. Weigh filter to an accuracy of 10 mg;
5. Place filter in cassette;
6. Record weight of filter in log, using cassette number for identification;
7. Fully assemble cassette, using pressure to force parts tightly together;
8. Install plugs top and bottom;
9. Put shrink band on cassette, covering joint between center and bottom parts of cassette; and
10. Set cassette aside until shrink band dries thoroughly.
C. Sampling collection should be performed as follows:
1. Clean lint out of the motor and elutriator;
2. Install vertical elutriator in sampling locations with inlet 4 1/2 to 5 1/2 feet from floor (breathing zone height);
3. Remove top section of cassette;
4. Install cassette in ferrule of elutriator;
5. Tape cassette to ferrule with masking tape or similar material for air-tight seal;
6. Remove bottom plug of cassette and attach hose containing critical orifice;
7. Start elutriator pump and check to see if gauge reads above 17 inches of Hg vacuum;
8. Record starting time, cassette number, and sampler number;
9. At end of sampling period, stop pump and record time;
10. Controls with each batch of samples collected; two additional filter cassettes should be subjected to exactly the same handling as the samples, except that they are not opened. These control filters should be weighted in the same manner as the sample filters.
Any difference in weight in the control filters would indicate that the procedure for handling sample filters may not be adequate and should be evaluated to ascertain the cause of the difference, whether and what necessary corrections must be made, and whether additional samples must be collected.
D. Shipping:
The cassette with samples should be collected along with the appropriate number of blanks, and shipped to the analytical laboratory in a suitable container to prevent damage in transit.
E. Weighing of the sample should be achieved as follows:
1. Remove shrink band;
2. Remove top and middle sections of the cassette and bottom plug;
3. Remove filter from cassette and weigh to an accuracy of 10 mg; and
4. Record weight in log against original weight.
F. Calculation of volume of air sampled should be determined as follows:
1. From starting and stopping times of sampling period, determine length of time in minutes of sampling period;
2. Multiply sampling time in minutes by flow rate of critical orifices in liters per minute divide by 1000 to find air quality in cubic meters.
G. Calculation of dust concentrations should be made as follows:
1. Subtract weight of clean filter from dirty filter and apply control correction to find actual weight of sample. Record this weight (in mg) in log; and
2. Divide mass of sample in ug by air volume in cubic meters to find dust concentration in mg/m3. Record in log. 

Appendix B-I

Respiratory Questionnaire

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PRESENT WORK AREA
If working in more than one specified work area, X area where most of the work shift is spent. If “other,” but spending 25% of the work shift in one of the specified work areas, classify in that work area. If carding department employee, check area within that department where most of the work shift is spent (if in doubt, check “throughout”) For work areas such as spinning and weaving where many work rooms may be involved, be sure to check the specific work room to which employee is assigned-if he works in more than one work room within a department classify, as 7 (all) for that department. 

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Use actual wording of each question. Put X in appropriate square after each question. When in doubt record No. When no square, circle appropriate answer. 

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*For subjects who usually have phlegm

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Appendix B--II

Respiratory Questionnaire
for
Non--Textile Workers for the
Cotton Industry

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Appendix B-III

Abbreviated Respiratory Questionnaire
A. Identification Data of Appendix B-III.
Note: Non-textile employers may substitute sections A. Identification, and B. Occupational History Table from Appendix B-II in lieu of section 

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PRESENT WORK AREA
If working in more than one specified work area, X area where most of the work shift is spent. If “other,” but spending 25% of the work shift in one of the specified work areas, classify in that work area. If carding department employee, check area within that department where most of the work shift is spent (:if in doubt, check “throughout”). For work areas such as spinning and weaving where many work rooms may be involved, be sure to check the specific work room to which employee is assigned--if he works in more than one work room within a department classify as 7 (all) for that department.

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Use actual wording of each question. Put X in appropriate square after each question. When in doubt record No. When no square, circle appropriate answer.

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Appendix D

Pulmonary Function Standards for Cotton Dust Standard
The spirometric measurements of pulmonary function shall conform to the following minimum standards, and these standards are not intended to preclude additional testing or alternate methods which can be determined to be superior. 
I. Apparatus
a. The instrument shall be accurate to within + 50 millimeters or within + 3 percent of reading, whichever is greater.
b. The instrument shall have a low inertia and offer low resistance to airflow such that the resistance to airflow at 12 liters per second must be less than 1.5 cm H20/liter/sec.
c. The instrument shall have a low inertia and offer low resistance to airflow such that the resistance to airflow at 12 liters per second must be less than 1.5 cm H20/liter/sec.
d. The zero time point for the purpose of timing the FEV1 shall be determined by extrapolating the steepest portion of the volume time curve back to the maximal inspiration volume (1,2,3,4) or by an equivalent method.
e. Instruments incorporating measurements of airflow to determine volume shall conform to the same volume accuracy stated in (a) of this section when presented with flow rates from at least 0 to 12 liters per second.
f. The instrument or user of the instrument must have a means of correcting volumes to body temperature saturated with water vapor (BTPS) under conditions of varying ambient spirometer temperatures and barometric pressures.
g. The instrument used shall provide a tracing or display of either flow versus volume or volume versus time during the entire forced expiration. A tracing or display is necessary to determine whether the patient has performed the test properly. The tracing must be stored and available for recall and must be of sufficient size that hand measurements may be made within requirement of paragraph (a) of this section. If a paper record is made, it must have a paper speed of at least 2 cm/sec and a volume sensitivity of at least 10.0 mm of chart per liter of volume.
h. The instrument shall be capable of accumulating volume for a minimum of 10 seconds and shall not stop accumulating volume before (1) the volume change for a 0.5 second interval is less than 25 milliliters, or (2) the flow is less than 50 milliliters per second for a 0.5 second interval.
i. The forced vital capacity (FVC) and forced expiratory volume in 1 second (FEV1.0) measurements shall comply with the accuracy requirements stated in paragraph (a) of this section. That is, they should be accurately measured to within + 50 ml or within + 3 percent of reading, whichever is greater.
j. The instrument must be capable of being calibrated in the field with respect to the FEV1 and FVC. This calibration of the FEV1 and FVC may be either directly or indirectly through volume and time base measurements. The volume calibration source should provide a volume displacement of at least 2 liters and should be accurate to within + 30 milliliters.
II. Technique for Measurement of Forced Vital Capacity Maneuver
a. Use of a nose clip is recommended but not required. The procedures shall be explained in simple terms to the patient who shall be instructed to loosen any tight clothing and stand in front of the apparatus. The subject may sit, but care should be taken on repeat testing that the same position be used and, if possible, the same spirometer. Particular attention shall be given to insure that the chin is slightly elevated with the neck slightly extended. The patient shall be instructed to make a full inspiration from a normal breathing pattern and then blow into the apparatus, without interruption, as hard, fast, and completely as possible. At least three forced expirations shall be carried out. During the maneuvers, the patient shall be observed for compliance with instruction. The expirations shall be checked visually for reproducibility from flow-volume or volume-time tracings or displays. The following efforts shall be judged unacceptable when the patient:
1. has not reached full inspiration preceding the forced expiration,
2. has not used maximal effort during the entire forced expiration,
3. has not continued the expiration of at least 5 seconds or until an obvious plateau in the volume time curve has occurred,
4. has coughed or closed his glottis,
5. has an obstructed mouthpiece or a leak around the mouthpiece (obstruction due to tongue being placed in front of mouthpiece, false teeth falling in front of mouthpiece, etc.),
6. has an unsatisfactory start of expiration, one characterized by excessive hesitation (or false starts), and therefore not allowing back extrapolation of time 0 (extrapolated volume on the volume time tracing must be less than 10 percent of the FVC),
7. has an excessive variability between the three acceptable curves. The variation between the two largest FVC's and FEV1's of the three satisfactory tracings should not exceed 10 percent or + 100 milliliters, whichever is greater.
b. Periodic and routine recalibration of the instrument or method for recording FVC and FEV1.0 should be performed using a syringe or other volume source of at least two liters. 
III. Interpretation of Spirogram
a. The first step in evaluating a spirogram should be to determine whether or not the patient has performed the test properly or as described in II above. From the three satisfactory tracings, the forced vital capacity (FVC) and forced expiratory volume in 1 second (FEV1.0) shall be measured and recorded. The largest observed FVC and largest observed FEV1 shall be used in the analysis regardless of the curve(s) on which they occur.
b. The following guidelines are recommended by NIOSH for the evaluation and management of workers exposed to cotton dust. It is important to note that employees who show reductions in FEV1/FVC ration below .75 or drops in Monday FEV1 of 5 percent or greater on their initial screening exam, should be reevaluated within a month of the first exam. Those who show consistent decrease in lung function should be managed as recommended. 
IV. Qualifications of Personnel Administering the Test
Technicians who perform pulmonary function testing should have the basic knowledge required to produce meaningful results. Training consisting of approximately 16 hours of formal instruction should cover the following areas.
a. Basic physiology of the forced vital capacity maneuver and the determinants of airflow limitation with emphasis on the relation to reproducibility of results.
b. Instrumentation requirements including calibration procedures, sources of error and their correction.
c. Performance of the testing including subject coaching, recognition of improperly performed maneuvers and corrective actions.
d. Data quality with emphasis on reproducibility.
e.Actual use of the equipment under supervised conditions.
f. Measurement of tracings and calculations of results. 

Appendix E

Vertical Elutriator Equivalency Protocol
a. Samples to be taken--In order to ascertain equivalency, it is necessary to collect a total of 100 samples from at least 10 sites in a mill. That is, there should be 10 replicate readings at each of 10 sites. The sites should represent dust levels which vary over the allowable range of 0.5 to 2 times the permissible exposure limit. Each sample requires the use of two vertical elutriators (VE's) and at least one but not more than two alternative devices (AD's). Thus, the end result is 200 VE readings and either 100 or 200 AD readings. The 2 VE readings and the 1 or 2 AD readings at each time and site must be made simultaneously. That is, the two VE's and one or two AD's must be arranged together in such a way that they are measuring essentially the same dust levels.
b. Data averaging--The two VE readings taken at each site are then averaged. These averages are to be used as the 100 VE readings. If two alternate devices were used their test results are also averaged. Thus, after this step is accomplished, there will be 100 VE readings and 100 AD readings.
c. Differences--For each of the 100 sets of measurements (VE and AD) the difference is obtained as the average VE reading minus the AD reading. Call these differences Di. Thus, we have; 
Di = VEi - ADi i = 1,2...,100 (1)
Next we compute the arithmetic mean and standard deviations of the differences, using equations (2) 

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§5191. Occupational Exposure to Hazardous Chemicals in Laboratories.
Note     •     History

(a) Scope and application.
(1) This section shall apply to all employers engaged in the laboratory use of hazardous chemicals as defined below.
(2) Where this section applies, it shall supersede, for laboratories, the requirements of Title 8 of the California Code of Regulations Section 5190 and Article 110, Regulated Carcinogens of the General Industry Safety Orders, except as follows:
(A) The requirement to limit employee exposure to the specific exposure limit.
(B) When that particular regulation states otherwise, as in the case of Section 5209(c)(6).
(C) Prohibition or prevention of eye and skin contact where specified by any health regulation shall be observed.
(D) Where the action level (or in the absence of an action level, the exposure limit) is exceeded for a regulated substance with exposure monitoring and medical surveillance requirements. 
(E) The “report of use” requirements of Article 110, (Section 5200 et. seq.) Regulated Carcinogens regulations.
(F) Section 5217 shall apply to anatomy, histology and pathology laboratories.
(3) This regulation shall not apply to:
(A) Uses of hazardous chemicals which do not meet the definition of laboratory use, and in such cases, the employer shall comply with the relevant regulations in Title 8, California Code of Regulations, even is such use occurs in a laboratory.
(B) Laboratory uses of hazardous chemicals which provide no potential for employee exposure. Examples of such conditions might include:
1. Procedures using chemically-impregnated test media such as Dip-and-Read tests where a reagent strip is dipped into the specimen to be tested and the results are interpreted by comparing the color reaction to a color chart supplied by the manufacturer of the test strip; and 
2. Commercially prepared kits such as those used in performing pregnancy tests in which all of the reagents needed to conduct the test are contained in the kit.
(b) Definitions
Action level. A concentration designated in Title 8, California Code of Regulations for a specific substance, calculated as an eight (8)-hour time weighted average, which initiates certain required activities such as exposure monitoring and medical surveillance.
Carcinogen (see “select carcinogen”).
Chemical Hygiene Officer. An employee who is designated by the employer, and who is qualified by training or experience, to provide technical guidance in the development and implementation of the provisions of the Chemical Hygiene Plan. This definition is not intended to place limitations on the position description or job classification that the designated individual shall hold within the employer's organizational structure.
Chemical Hygiene Plan. A written program developed and implemented by the employer which sets forth procedures, equipment, personal protective equipment and work practices that 
(1) are capable of protecting employees from the health hazards presented by hazardous chemicals used in that particular work place and 
(2) meets the requirements of subsection 5191(e). 
Chief. The Chief of the Division of Occupational Safety and Health.
Combustible liquid. Any liquid having a flashpoint at or above 100o F (37.8o C), but below 200o F (93.3o C) except any mixture having components with flashpoints of 200o F (93.3o C), or higher, the total volume of which make up 99 percent or more of the total volume of the mixture.
Compressed gas. 
(1) A gas or mixture of gases having, in a container, an absolute pressure exceeding 40 psi at 70o F (21.1o C); or
(2) A gas or mixture of gases having, in a container, an absolute pressure exceeding 104 psi at 130o F (54.4o C) regardless of the pressure at 70o F (21.1o C); or 
(3) A liquid having a vapor pressure exceeding 40 psi at 100o F (37.8o C) as determined by ASTM D-323-72.
Designated area. An area which may be used for work with “select carcinogens,” reproductive toxins or substances which have a high degree of acute toxicity. A designated area may be the entire laboratory, an area of a laboratory or a device such as a laboratory hood.
Emergency. Any occurrence such as, but not limited to, equipment failure, rupture of containers or failure of control equipment which results in an uncontrolled release of a hazardous chemical into the workplace. 
Employee. An individual employed in a laboratory workplace who may be exposed to hazardous chemicals in the course of his or her assignments.
Explosive. A chemical that causes a sudden, almost instantaneous release of pressure, gas, and heat when subjected to sudden shock, pressure, or high temperature.
Flammable. A chemical that falls into one of the following categories:
(1) “Aerosol, flammable” means an aerosol that, when tested by the method described in 16 CFR 1500.45, yields a flame projection exceeding 18 inches at full valve opening, or a flashback (a flame extending back to the valve) at any degree of valve opening; 
(2) “Gas, flammable” means:
(A) A gas that, at ambient temperature and pressure, forms a flammable mixture with air at a concentration of 13 percent by volume or less; or 
(B) A gas that, at ambient temperature and pressure, forms a range of flammable mixtures with air greater than 12 percent by volume, regardless of the lower explosive limit.
(3) “Liquid, flammable” means any liquid having a flashpoint below 100o F (37.8o C), except any mixture having components with flashpoints of 100o F (37.8o C) or higher, the total of which make up 99 percent or more of the total volume of the mixture.
(4) “Solid, flammable” means a solid, other than a blasting agent or explosive as defined in 29 CFR 1910.109(a), that is liable to cause fire through friction, absorption of moisture, spontaneous chemical change, or retained heat from manufacturing or processing, or which can be ignited readily and when ignited burns so vigorously and persistently as to create a serious hazard. A chemical shall be considered to be a flammable solid if, when tested by the method described in 16 CFR 1500.44, it ignites and burns with a self-sustained flame at a rate greater than one-tenth of an inch per second along its major axis.
Flashpoint. The minimum temperature at which a liquid gives off a vapor in sufficient concentration to ignite when tested as follows:
(1) Tagliabue Closed Tester (See American National Standard Method of Test for Flash Point by Tag Closed Tester, Z11.24 - 1979 (ASTM D 56-79) - for liquids with a viscosity of less than 45 Saybolt Universal Seconds (SUS) at 100o F (37.8o C), or that do not contain suspended solids, and do not have a tendency to form a surface film under test; or
(2) Pensky-Martens Closed Tester (see American National Standard Method of Test for Flash Point by Pensky-Martens closed tester), Z11.7 - 1979 (ASTM D 93-79) for liquids with a viscosity equal to or greater than 45 SUS at 100o F (37.8oC), or that contain suspended solids, or that have a tendency to form a surface film under test; or 
(3) Setaflash Closed Tester (see American National Standard Method of Test for Flash Point by Setaflash Closed Tester (ASTM D 3278-78)). Organic peroxides, which undergo autoaccelerating thermal decomposition, are excluded from any of the flashpoint determination methods specified above.
Hazardous chemical. A chemical for which there is statistically significant evidence based on at least one study conducted in accordance with established scientific principles that acute or chronic health effects may occur in exposed employees. The term “health hazard” includes chemicals which are carcinogens, toxic or highly toxic agents, reproductive toxins, irritants, corrosives, sensitizers, hepatotoxins, nephrotoxins, neurotoxins, agents which act on the hematopoietic systems, and agents which damage the lungs, skin, eyes, or mucous membranes.
Appendices A and B of the Hazard Communication Standard (Section 5194) provide further guidance in defining the scope of health hazards and determining whether or not a chemical is to be considered hazardous for purposes of this regulation.
Laboratory. A facility where the “laboratory use of hazardous chemicals” occurs. It is a workplace where relatively small quantities of hazardous chemicals are used on a non-production basis.
Laboratory scale. Work with substances in which the containers used for reactions, transfers, and other handling of substances are designed to be easily and safety manipulated by one person. “Laboratory scale” excludes those workplaces whose function is to produce commercial quantities of materials.
Laboratory-type hood. A device located in a laboratory, enclosed on five sides with a movable sash or fixed partial enclosure on the remaining side; constructed and maintained to draw air from the laboratory and to prevent or minimize the escape of air contaminants into the laboratory; and allows chemical manipulations to be conducted in the enclosure without insertion of any portion of the employee's body other than hands and arms.
Walk-in hoods with adjustable sashes meet the above definition provided that the sashes are adjusted during use so that the airflow and the exhaust of air contaminants are not compromised and employees do not work inside the enclosure during the release of airborne hazardous chemicals.
Laboratory use of hazardous chemicals. Handling or use of such chemicals in which all of the following conditions are met:
(1) Chemical manipulations are carried out on a “laboratory scale”;
(2) Multiple chemical procedures or chemicals are used;
(3) The procedures involved are not part of a production process, nor in any way simulate a production process; and 
(4) “Protective laboratory practices and equipment” are available and in common use industry-wide to minimize the potential for employee exposure to hazardous chemicals.
Medical consultation. A consultation which takes place between an employee and a licensed physician for the purpose of determining what medical examinations or procedures, if any, are appropriate in cases where a significant exposure to a hazardous chemical may have taken place.
Organic peroxide. An organic compound that contains the bivalent -o-o- structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical.
Oxidizer. A chemical other than a blasting agent or explosive as defined in Section 5237(a), that initiates or promotes combustion in other materials, thereby causing fire either of itself or through the release of oxygen or other gases.
Physical hazard. A chemical for which there is scientifically valid evidence that it is a combustible liquid, a compressed gas, explosive, flammable, an organic peroxide, an oxidizer, pyrophoric, unstable (reactive) or water-reactive.
Protective laboratory practices and equipment. Those laboratory procedures, practices and equipment accepted by laboratory health and safety experts as effective, or that the employer can show to be effective, in minimizing the potential for employee exposure to hazardous chemicals.
Reproductive toxins. Chemicals which affect the reproductive capabilities including chromosomal damage (mutations) and effects on fetuses (teratogenesis). 
Select carcinogen. Any substance which meets one of the following criteria:
(1) It is regulated by Cal/OSHA as a carcinogen; or 
(2) It is listed under the category, “known to be carcinogens,” in the Annual Report on Carcinogens published by the National Toxicology Program (NTP) (1985 edition); or
(3) It is listed under Group 1 (“carcinogenic to humans”) by the International Agency for Research on Cancer Monographs (IARC) (Volumes 1-48 and Supplements 1-8); or
(4) It is listed in either Group 2A or 2B by IARC or under the category, “reasonably anticipated to be carcinogens” by NTP, and causes statistically significant tumor incidence in experimental animals in accordance with any of the following criteria:
(A) After inhalation exposure of 6-7 hours per day, 5 days per week, for a significant portion of a lifetime to dosages of less than 10 mg/m3;
(B) After repeated skin application of less than 300 mg/kg of body weight per week; or 
(C) After oral dosages of less than 50 mg/kg of body weight per day.
Unstable (reactive). A chemical which is the pure state, or as produced or transported, will vigorously polymerize, decompose, condense, or will become self-reactive under conditions of shocks, pressure or temperature.
Water-reactive. A chemical that reacts with water to release a gas that is either flammable or presents a health hazard.
(c) Exposure limits. For laboratory uses of Cal/OSHA regulated substances, the employer shall ensure that laboratory employees' exposures to such substances do not exceed the exposure limits specified in Title 8, California Code of Regulations, Group 16, Section 5139 et seq., of the General Industry Safety Orders.
(d) Employee exposure determination
(1) Initial monitoring. The employer shall measure the employee's exposure to any substance regulated by a standard which requires monitoring if there is reason to believe that exposure levels for that substance exceed the action level (or in the absence of an action level, the exposure limit). The person supervising, directing or evaluating the monitoring shall be competent in industrial hygiene practice.
(2) Periodic monitoring. If the initial monitoring prescribed by subsection 5191(d)(1) discloses employee exposure over the action level (or in the absence of an action level, the exposure limit), the employer shall immediately comply with the exposure monitoring provisions of the relevant regulation.
(3) Termination of monitoring. Monitoring may be terminated in accordance with the relevant regulation.
(4) Employee notification of monitoring results. The employer shall, within 15 working days after the receipt of any monitoring results, notify the employee of these results in writing either individually or by posting results in an appropriate location that is accessible to employees.
(e) Chemical hygiene plan.
(1) Where hazardous chemicals as defined by this regulation are used in the workplace, the employer shall develop and carry out the provisions of a written Chemical Hygiene Plan which is:
(A) Capable of protecting employees from health hazards associated with hazardous chemicals in that laboratory and
(B) Capable of keeping exposures below the limits specified in subsection 5191(c).
(2) The Chemical Hygiene Plan shall be readily available to employees. employee representatives and, upon request, to the Chief.
(3) The Chemical Hygiene Plan shall include each of the following elements and shall indicate specific measures that the employer will take to ensure laboratory employee protection;
(A) Standard operating procedures relevant to safety and health considerations to be followed when laboratory work involves the use of hazardous chemicals:
(B) Criteria that the employer will use to determine and implement control measures to reduce employee exposure to hazardous chemicals including engineering controls, the use of personal protective equipment and hygiene practices; particular attention shall be given to the selection of control measures for chemicals that are known to be extremely hazardous;
(C) A requirement that fume hoods comply with Section 5154.1, that all protective equipment shall function properly and that specific measures shall be taken to ensure proper and adequate performance of such equipment;
(D) Provisions for employee information and training as prescribed in subsection 5191(f);
(E) The circumstances under which a particular laboratory operation, procedure or activity shall require prior approval from the employer or the employer's designee before implementation;
(F) Provisions for medical consultation and medical examinations in accordance with subsection 5191(g);
(G) Designation of personnel responsible for implementation of the Chemical Hygiene Plan including the assignment of a Chemical Hygiene officer and, if appropriate, establishment of a Chemical Hygiene Committee; and
(H) Provisions for additional employee protection for work with particularly hazardous substances. These include “select carcinogens,” reproductive toxins and substances which have a high degree of acute toxicity. Specific consideration shall be given to the following provisions which shall be included where appropriate;
1. Establishment of a designated area;
2. Use of containment devices such as fume hoods or glove boxes;
3. Procedures for safe removal of contaminated waste; and
4. Decontamination procedures.
(4) The employer shall review and evaluate the effectiveness of the Chemical Hygiene Plan at least annually and update it as necessary.
Note: Appendix A of this section is non-mandatory but provides guidance to assist employers in the development of the Chemical Hygiene Plan.
(f) Employee information and training.
(1) The employer shall provide employees with information and training to ensure that they are apprised of the hazards of chemicals present in their work area. Information and training may relate to an entire class of hazardous substances to the extent appropriate.
(2) Such information shall be provided at the time of an employee's initial assignment to a work area where hazardous chemicals are present and prior to assignments involving new exposure situations. The frequency of refresher information and training shall be determined by the employer.
(3) Information. Employees shall be informed of:
(A) The contents of this regulation and its appendices which shall be available to employees;
(B) The location and availability of the employer's Chemical Hygiene Plan;
(C) The exposure limits for Cal/OSHA regulated substances or recommended exposure limits for other hazardous chemicals where there is no applicable Cal/OSHA regulation;
(D) Signs and symptoms associated with exposures to hazardous chemicals used in the laboratory; and
(E) The location and availability of known reference material on the hazards, safe handling, storage and disposal of hazardous chemicals found in the laboratory including, but not limited to, Material Safety Data Sheets received from the chemical supplier.
(4) Training. 
(A) Employee training shall include;
1. Methods and observations that may be used to detect the presence or release of a hazardous chemical (such as monitoring conducted by the employer, continuous monitoring devices, visual appearance or odor of hazardous chemicals when being released, etc.);
2. The physical and health hazards of chemicals in the work area; and
3. The measures employees can take to protect themselves from these hazards, including specific procedures the employer has implemented to protect employees from exposure to hazardous chemicals, such as appropriate work practices, emergency procedures, and personal protective equipment to be used.
(B) The employee shall be trained on the applicable details of the employer's written Chemical Hygiene Plan.
(g) Medical consultation and medical examinations.
(1) The employer shall provide all employees who work with hazardous chemicals an opportunity to receive medical attention, including any follow-up examinations which the examining physician determines to be necessary, under the following circumstances;
(A) Whenever an employee develops signs or symptoms associated with a hazardous chemical to which the employee may have been exposed in the laboratory, the employee shall be provided an opportunity to receive an appropriate medical examination.
(B) Where exposure monitoring reveals an exposure level above the action level (or in the absence of an action level, the exposure limit) for a Cal/OSHA regulated substance for which there are exposure monitoring and medical surveillance requirements, medical surveillance shall be established for the affected employee as prescribed by the particular standard.
(C) Whenever an event takes place in the work area such as a spill, leak, explosion or other occurrence resulting in the likelihood of a hazardous exposure, the affected employee shall be provided an opportunity for a medical consultation. Such consultation shall be for the purpose of determining the need for a medical examination.
(2) All medical examinations and consultations shall be performed by or under the direct supervision of a licensed physician and shall be provided without cost to the employee, without loss of pay and at a reasonable time and place.
(3) Information provided to the physician. The employer shall provide the following information to the physician;
(A) The identity of the hazardous chemical(s) to which the employee may have been exposed;
(B) A description of the conditions under which the exposure occurred including quantitative exposure data, if available; and
(C) A description of the signs and symptoms of exposure that the employee is experiencing, if any.
(4) Physician's written opinion.
(A) For examination or consultation required under this standard, the employer shall obtain a written opinion from the examining physician which shall include the following;
1. Any recommendation for further medical follow-up;
2. The results of the medical examination and any associated tests, if requested by the employee;
3. Any medical condition which may be revealed in the course of the examination which may place the employee at increased risk as a result of exposure to a hazardous chemical found in the workplace; and
4. A statement that the employee has been informed by the physician of the results of the consultation or medical examination and any medical condition that may require further examination or treatment.
(B) The written opinion shall not reveal specific findings of diagnoses unrelated to occupational exposure.
(h) Hazard identification.
(1) With respect to labels and material safety data sheets;
(A) Employers shall ensure that labels on incoming containers of hazardous chemicals are not removed or defaced.
(B) Employers shall maintain in the workplace any material safety data sheets that are received with incoming shipments of hazardous chemicals, and ensure that they are readily accessible to laboratory employees during each work shift when they are in their work area(s).
(2) The following provisions shall apply to chemical substances developed in the laboratory;
(A) If the composition of the chemical substance which is produced exclusively for the laboratory's use is known, the employer shall determine if it is a hazardous chemical as defined in subsection 5191(b). If the chemical is determined to be hazardous, the employer shall provide appropriate training as required under subsection 5191(f).
(B) If the chemical produced is a byproduct whose composition is not known, the employer shall assume that the substance is hazardous and shall implement subsection 5191(e).
(C) If the chemical substance is produced for commercial purposes by another user outside of the laboratory, the employer shall comply with the Hazard Communication Standard (Section 5194) including the requirements for preparation of material safety data sheets and labeling.
(i) Use of respirators.
Where the use of respirators is necessary to maintain exposure below permissible exposure limits, the employer shall provide, at no cost to the employee, the proper respiratory equipment. Respirators shall be selected and used in accordance with the requirements of Section 5144.
(j) Recordkeeping.
(1) The employer shall establish and maintain for each employee an accurate record of any measurements taken to monitor employee exposures and any medical consultation and examinations including tests or written opinions required by this regulation.
(2) The employer shall ensure that such records are kept, transferred, and made available in accordance with Section 3204. 
(k) Dates
(1) Employers shall have developed and implemented a written Chemical Hygiene Plan no later than October 31, 1991.
(2) Subsection (a) (2) shall not take effect until the employer has developed and implemented a written Chemical Hygiene Plan.
(l) Appendices. The information contained in the appendices is not intended, by itself, to create any additional obligations not otherwise imposed or to detract from any existing obligation.
NOTE

Authority cited: Sections 142.3 and 9020, Labor Code. Reference: Sections 142.3, 9004(d), 9009 and 9020, Labor Code. 
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 17).
2. Editorial correction of printing errors (Register 92, No. 33).
3. Change without regulatory effect amending Appendix B subsections (b)1. and (c)1. filed 12-28-92 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 1).
4. Editorial correction of Appendix A subsection D.11.(b) (Register 95, No. 24).
5. Amendment of Appendix A, subsection E.1.(a) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).

Appendix A--National Research Council

Recommendations Concerning Chemical Hygiene in Laboratories (Non-Mandatory)

Table of Contents

Foreword

Corresponding Sections of the Regulation and This Appendix

A. General Principles
1. Minimize all Chemical Exposures
2. Avoid Underestimation of Risk
3. Provide Adequate Ventilation
4. Institute Chemical Hygiene Program
5. Observe the exposure limits and TLV's

B. Responsibilities
1. Chief Executive Officer
2. Supervisor of Administrative Unit
3. Chemical Hygiene Officer
4. Laboratory Supervisor
5. Project Director
6. Laboratory Worker

C. The Laboratory Facility
1. Design
2. Maintenance
3. Usage
4. Ventilation

D. Components of the Chemical Hygiene Plan
1. Basic Rules and Procedures
2. Chemical Procurement, Distribution, and Storage
3. Environmental Monitoring
4. Housekeeping, Maintenance and Inspections
5. Medical Program
6. Personal Protective Apparel and Equipment
7. Records
8. Signs and Labels
9. Spills and Accidents
10. Training and Information
11. Waste Disposal

E. General Procedures for Working With Chemicals
1. General Rules for all Laboratory Work with Chemicals
2. Allergens and Embryotoxins
3. Chemicals of Moderate Chronic or High Acute Toxicity
4. Chemicals of High Chronic Toxicity
5. Animal Work with Chemicals of High Chronic Toxicity

F. Safety Recommendations

G. Safety Data Sheets

Foreword
As guidance for each employer's development of an appropriate laboratory Chemical Hygiene Plan, the following non-mandatory recommendations are provided. They were extracted from “Prudent Practices for Handling Hazardous Chemicals in Laboratories” (referred to below as “Prudent Practices”), which was published in 1981 by the National Research Council and is available from the National Academy Press, 2101 Constitution Ave., NW., Washington DC 20418.
“Prudent Practices” is cited because of its wide distribution and acceptance and because of its preparation by members of the laboratory community through the sponsorship of the National Research Council. However, none of the recommendations given here will modify any requirements of the laboratory regulation. This Appendix merely presents pertinent recommendations from “Prudent Practices,” organized into a form convenient for quick reference during development and application of a Chemical Hygiene Plan. Users of this appendix should consult “Prudent Practices” for a more extended presentation and justification for each recommendation.
“Prudent Practices” deals with both safety and chemical hazards while the laboratory regulation is concerned primarily with chemical hazards. Therefore, only those recommendations directed primarily toward control of toxic exposures are cited in this appendix, with the term “chemical hygiene” being substituted for the word “safety.” However, since conditions producing or threatening physical injury often pose toxic risks as well, page references concerning major categories of safety hazards in the laboratory are given in section F.
The recommendations from “Prudent Practices” have been paraphrased, combined, or otherwise reorganized, and headings have been added. However, their sense has not been changed. 

Corresponding Sections of the Regulation and this Appendix
The following table is given for the convenience of those who are developing a Chemical Hygiene Plan which will satisfy the requirements of subsection 5191(e). It indicates those sections of this appendix which are most pertinent to each of the sections of subsection 5191(e) and related paragraphs.

						Relevant
	Paragraph and topic in laboratory	appendix
	standard	section

(e) (3) (A) Standard operating procedures for 
handling toxic chemicals.	C, D, E
(e) (3) (B) Criteria to be used for implementation
of measures to reduce exposures.	D
(e) (3) (C) Fume hood performance	C4b
(e) (3) (D) Employee information and training 
(including emergency procedures).	D10, D9
(e) (3) (E) Requirements for prior approval of laboratory 
activities.		E2b, E4b
(e) (3) (F) Medical consultation and medical examinations.	D5, E4f
(e) (3) (G) Chemical hygiene responsibilities.	B
(e) (3) (H) Special precautions for work with 	E2, E3,
particularly hazardous substances.	E4
			
In this appendix, those recommendations directed primarily at administrators and supervisors are given in sections A - D. Those recommendations of primary concern to employees who are actually handling laboratory chemicals are given in section E. (Reference to page numbers in “Prudent Practices” are given in parentheses.) 
A. General Principles for Work with Laboratory Chemicals
In addition to the more detailed recommendations listed below in sections B-E, “Prudent Practices” expresses certain general principles, including the following:
1. It is prudent to minimize all chemical exposures. Because few laboratory chemicals are without hazards, general precautions for handling all laboratory chemicals should be adopted, rather than specific guidelines for particular chemicals (2,10). Skin contact with chemicals should be avoided as a cardinal rule (198). 
2. Avoid underestimation of risk. Even for substances of no known significant hazard, exposure should be minimized; for work with substances which present special hazards, special precautions should be taken (10, 37, 38). One should assume that any mixture will be more toxic than its most toxic component (30, 103) and that all substances of unknown toxicity are toxic (3, 34).
3. Provide adequate ventilation. The best way to prevent exposure to airborne substances is to prevent their escape into the working atmosphere by use of hoods and other ventilation devices (32, 198). 
4. Institute a chemical hygiene program. A mandatory chemical hygiene program designed to minimize exposures is needed; it should be a regular, continuing effort, not merely a standby or short-term activity (6,11). Its recommendations should be followed in academic teaching laboratories as well as by full-time laboratory workers (13).
5. Observe the exposure limits and TLVs. The Exposure limits of Cal/OSHA and the Threshold Limit Values of the American Conference of Governmental Industrial Hygienists should not be exceeded (13).
B. Chemical Hygiene Responsibilities
Responsibility for chemical hygiene rests at all levels (6, 11, 21) including the:
1. Chief executive officer, who has ultimate responsibility for chemical hygiene within the institution and must, with other administrators, provide continuing support for institutional chemical hygiene (7, 11).
2. Supervisor of the department or other administrative unit, who is responsible for chemical hygiene in that unit (7).
3. Chemical hygiene officers, whose appointment is essential (7) and who must:
(a) Work with administrators and other employees to develop and implement appropriate chemical hygiene policies and practices (7);
(b) Monitor procurement, use, and disposal of chemicals used in the lab (8).;
(c) See that appropriate audits are maintained (8);
(d) Help project directors develop precautions and adequate facilities (10);
(e) Know the current legal requirements concerning regulated substances (50); and
(f) Seek ways to improve the chemical hygiene program (8, 11).
4. Laboratory supervisor, who has overall responsibility for chemical hygiene in the laboratory (21) including responsibility to:
(a) Ensure that workers know and follow the chemical hygiene rules, that protective equipment is available and in working order, and that appropriate training has been provided (21, 22); 
(b) Provide regular, formal chemical hygiene and housekeeping inspections including routine inspections of emergency equipment (21, 171);
(c) Know the current legal requirements concerning regulated substances (50, 231);
(d) Determine the required levels of protective apparel and equipment (156, 160, 162); and
(e) Ensure that facilities and training for use of any material being ordered are adequate (215).
5. Project director or director of other specific operation, who has primary responsibility for chemical hygiene procedures for that operation (7).
6. Laboratory worker, who is responsible for:
(a) Planning and conducting each operation in accordance with the institutional and chemical hygiene procedures (7, 21, 22, 230); and 
(b) Developing good personal chemical hygiene habits (22). 
C. The Laboratory Facility
1. Design. The laboratory facility should have:
(a) An appropriate general ventilation system (see C4 below) with air intakes and exhausts located so as to avoid intake of contaminated air (194);
(b) Adequate, well-ventilated stockrooms/storerooms (218, 219).
(c) Laboratory hoods and sinks (12, 162):
(d) Other safety equipment including eyewash fountains and drench showers (162, 169): and 
(e) Arrangements for waste disposal (12, 240).
2. Maintenance. Chemical-hygiene-related equipment (hoods, incinerator, etc.) should undergo continual appraisal and be modified if inadequate (11, 12).
3. Usage. The work conducted (10) and its scale (12) must be appropriate to the physical facilities available and, especially, to the quality of ventilation (13).
4. Ventilation  
(a) General laboratory ventilation. 
This system should; Provide a source of air for breathing and for input to local ventilation devices (199); it should not be relied on for protection from toxic substances released into the laboratory (198); ensure that laboratory air is continually replaced, preventing increase of air concentrations of toxic substances during the working day (194); direct air flow into the laboratory from non-laboratory areas and out to the exterior of the building (194).
(b) Hoods. A laboratory hood with 2.5 linear feet of hood space per person should be provided for every 2 workers if they spend most of their time working with chemicals (199); each hood should have a continuous monitoring device to allow convenient confirmation of adequate hood performance before use (200, 209). If this is not possible, work with substances of unknown toxicity should be avoided (13) or other types of local ventilation devices should be provided (199). See pp. 201-206 for a discussion of hood design, construction, and evaluation.
(c) Other local ventilation devices. Ventilated storage cabinets, canopy hoods, snorkels, etc. should be provided as needed (199). Each canopy hood and snorkel should have a separate exhaust duct (207).
(d) Special ventilation areas. Exhaust air from glove boxes and isolation rooms should be passed through scrubbers or other treatment before release into the regular exhaust system (208). Cold rooms and warm rooms should have provisions for rapid escape and for escape in the event of electrical failure (209);
(e) Modifications. Any alteration of the ventilation system should be made only if thorough testing indicates that worker protection from airborne toxic substances will continue to be adequate (12, 193, 204).
(f) Performance. Rate: 4-12 room air changes/hour is normally adequate general ventilation if local exhaust systems such as hoods are used as the primary method of control (194).
(g) Quality. General air flow should not be turbulent and should be relatively uniform throughout the laboratory, with no high velocity or static areas (194, 195); airflow into and within the hood should not be excessively turbulent (200); hood face velocity should be adequate (typically 60-100 lfm) (200, 204).
(h) Evaluation. Quality and quantity of ventilation should be evaluated on installation (202), regularly monitored (at least every 3 months) (6, 12, 14, 195), and reevaluated whenever a change in local ventilation devices is made (12, 195, 207). See pp 195-198 for methods of evaluation and for calculation of estimated airborne contaminant concentrations.
D. Components of the Chemical Hygiene Plan
1. Basic Rules and Procedures (Recommendations for these are given in section E, below)
2. Chemical Procurement, Distribution, and Storage
(a) Procurement. Before a substance is received, information on proper handling, storage, and disposal should be known to those who will be involved (215, 216). No container should be accepted without an adequate identifying label (216). Preferably, all substances should be received in a central location (216).
(b) Stockrooms/storerooms. Toxic substances should be segregated in a well-identified area with local exhaust ventilation (221). Chemicals which are highly toxic (227) or other chemicals whose containers have been opened should be in unbreakable secondary containers (219). Stored chemicals should be examined periodically (at least annually) for replacement, deterioration, and container integrity (218-19).
Stockrooms/storerooms should not be used as preparation or repackaging areas, should be open during normal working hours, and should be controlled by one person (219).
(c) Distribution. When chemicals are hand carried, the container should be placed in an outside container or bucket. Freight-only elevators should be used if possible (223).
(d) Laboratory storage. Amounts permitted should be as small as practical. Storage on bench tops and in hoods is inadvisable. Exposure to heat or direct sunlight should be avoided. Periodic inventories should be conducted, with unneeded items being discarded or returned to the storeroom/stockroom (225-6, 229).
3. Environmental Monitoring.
Regular instrumental monitoring of airborne concentrations is not usually justified or practical in laboratories but may be appropriate when testing or redesigning hoods or other ventilation devices (12) or when a highly toxic substance is stored or used regularly (e.g., 3 times/week) (13).
4. Housekeeping, Maintenance, and Inspections
(a) Cleaning. Floors should be cleaned regularly (24).
(b) Inspections. Formal housekeeping and chemical hygiene inspections should be held at least quarterly (6, 21) for units which have frequent personnel changes and semiannually for others; informal inspections should be continual (21).
(c) Maintenance. Eye wash fountains should be inspected at intervals of not less than 3 months (6). Respirators for routine use should be inspected periodically by the laboratory supervisor (169). Safety showers should be tested routinely (169). Other safety equipment should be inspected regularly, (e.g., every 3-6 months) (6, 24, 171). Procedures to prevent restarting of out-of-service equipment should be established (25).
(d) Passageways. Stairways and hallways should not be used as storage areas (24). Access to exits, emergency equipment, and utility controls should never be blocked (24).
5. Medical Program
(a) Compliance with regulations. Regular medical surveillance should be established to the extent required by regulations (12).
(b) Routine surveillance. Anyone whose work involves regular and frequent handling of toxicologically significant quantities of a chemical should consult a qualified physician to determine on an individual basis whether a regular schedule of medical surveillance is desirable (11, 50).
(c) First aid. Personnel trained in first aid should be available during working hours and an emergency room with medical personnel should be nearby (173). See pp. 176-178 for description of some emergency first aid procedures.
6. Protective Apparel and Equipment. These should include for each laboratory:
(a) Protective apparel compatible with the required degree of protection for substances being handled (158-161);
(b) An easily accessible drench-type safety shower (162, 169);
(c) An eyewash fountain (162);
(d) A fire extinguisher (162-164);
(e) Respiratory protection (164-9), fire alarm and telephone for emergency use (162) should be available nearby; and
(f) Other items designated by the laboratory supervisor (156, 160).
7. Records
(a) Accident records should be written and retained (174).
(b) Chemical Hygiene Plan records should document that the facilities and precautions were compatible with current knowledge and regulations (7).
(c) Inventory and usage records for high-risk substances should be kept as specified in sections E3e below.
(d) Medical records should be retained by the institution in accordance with the requirements of state and federal regulations (12).
8. Signs and Labels
Prominent signs and labels of the following types should be posted:
(a) Emergency telephone numbers of emergency personnel/facilities, supervisors, and laboratory workers (28);
(b) Identity labels, showing contents of containers (including waste receptacles) and associated hazards (27, 48);
(c) Location signs for safety showers, eyewash stations, other safety and first aid equipment, exits (27) and areas where food and beverage consumption and storage are permitted (24); and 
(d) Warnings at areas or equipment where special or unusual hazards exist (27).
9. Spills and Accidents
(a) A written emergency plan should be established and communicated to all personnel; it should include procedures for ventilation failure (200), evacuation, medical care, reporting, and drills (172).
(b) There should be an alarm system to alert people in all parts of the facility including isolation areas such as cold rooms (172).
(c) A spill control policy should be developed and should include consideration of prevention, containment, cleanup, and reporting (175).
(d) All accidents or near accidents should be carefully analyzed with the results distributed to all who might benefit (8, 28).
10. Information and Training Program
(a) Aim: To ensure that all individuals at risk are adequately informed about the work in the laboratory, its risks, and what to do if an accident occurs (5, 15).
(b) Emergency and Personal Protection Training: Every laboratory worker should know the location and proper use of available protective apparel and equipment (154, 169). Some of the full-time personnel of the laboratory should be trained in the proper use of emergency equipment and procedures (6). Such training as well as first aid instruction should be available to (154) and encouraged for (176) everyone who might need it.
(c) Receiving and stockroom/storeroom personnel should know about hazards, handling equipment, protective apparel, and relevant regulations (217). 
(d) Frequency of Training: The training and education program should be a regular, continuing activity - not simply an annual presentation (15).
(e) Literature/Consultation: Literature and consulting advice concerning chemical hygiene should be readily available to laboratory personnel, who should be encouraged to use these information resources (14). 
11. Waste Disposal Program.
(a) Aim: to ensure that minimal harm to people, other organisms, and the environment will result from the disposal of waste laboratory chemicals (5).
(b) Content (14, 232, 233, 240): The waste disposal program should specify how waste is to be collected, segregated, stored, and transported and include consideration of what materials can be incinerated. Transport from the institution must be in accordance with DOT regulations (244).
(c) Discarding Chemical Stocks: Unlabeled containers of chemicals and solutions should undergo prompt disposal; if partially used, they should not be opened (24, 27). Before a worker's employment in the laboratory ends, chemicals for which that person was responsible should be discarded or returned to storage (226).
(d) Frequency of Disposal: Waste should be removed from laboratories to a central waste storage area at least once per week and from the central waste storage area at regular intervals (14).
(e) Method of Disposal: Incineration in an environmentally acceptable manner is the most practical disposal method for combustible laboratory waste (14, 238, 241). 
Indiscriminate disposal by pouring waste chemicals down the drain (14, 231, 242) or adding them to mixed refuse for landfill burial is unacceptable (14).
Hoods should not be used as a means of disposal for volatile chemicals (40, 200).
Disposal by recycling (233, 243) or chemical decontamination (40, 230) should be used when possible.
E. Basic Rules and Procedures for Working with Chemicals.
The Chemical Hygiene Plan should require that laboratory workers know and follow its rules and procedures. In addition to the procedures of the sub programs mentioned above, these should include the rules listed below.
1. General Rules
The following should be used for essentially all laboratory work with chemicals:
(a) Accidents and spills - Eye Contact: Promptly flush eyes with water for a prolonged period (15 minutes) and seek medical attention (33, 172).
Ingestion: This is one route of entry for which treatment depends on the type and amount of chemical involved. Seek medical attention immediately. 
Skin Contact: Promptly flush the affected area with water (33, 172, 178). and remove any contaminated clothing (172, 178). If symptoms persist after washing, seek medical attention (33).
Clean-up: Promptly clean up spills, using appropriate protective apparel and equipment and proper disposal (24, 33). See pp., 233-237 for specific clean-up recommendations.
(b) Avoidance of “routine” exposure: Develop and encourage safe habits (23); avoid unnecessary exposure to chemicals by any route (23);
Do not smell or taste chemicals (32). Vent apparatus which may discharge toxic chemicals (vacuum pumps, distillation columns, etc.) into local exhaust devices (199).
Inspect gloves (157) and test glove boxes (208) before use.
Do not allow release of toxic substances in cold rooms and warm rooms, since these have contained recirculated atmospheres (209).
(c) Choice of chemicals: Use only those chemicals for which the quality of the available ventilation system is appropriate (13).
(d) Eating, smoking, etc.: Avoid eating, drinking, smoking, gum chewing, or application of cosmetics in areas where laboratory chemicals are present (22, 24, 32, 40); wash hands before conducting these activities (23, 24). Avoid storage, handling, or consumption of food or beverages in storage areas, refrigerators, glassware or utensils which are also used for laboratory operations (23, 24, 226).
(e) Equipment and glassware: Handle and store laboratory glassware with care to avoid damage; do not use damaged glassware (25). Use extra care with Dewar flasks and other evacuated glass apparatus; shield or wrap them to contain chemicals and fragments should implosion occur (25). Use equipment only for its designed purpose (23, 26).
(f) Exiting: Wash areas of exposed skin well before leaving the laboratory (23). 
(g) Horseplay: Avoid practical jokes or other behavior which might confuse, startle or distract another worker (23).
(h) Mouth suction: Do not use mouth suction for pipeting or starting a siphon (23, 32).
(i) Personal apparel: Confine long hair and loose clothing (23, 158). Wear shoes at all times in the laboratory but do not wear sandals, perforated shoes, or sneakers (158). 
(j) Personal housekeeping: Keep the work area clean and uncluttered, with chemicals and equipment being properly labeled and stored; clean up the work area on completion of an operation or at the end of each day (24).
(k) Personal protection: Assure that appropriate eye protection (154-156) is worn by all persons, including visitors, where chemicals are stored or handled (22, 23, 33, 154).
Wear appropriate gloves when the potential for contact with toxic materials exists (157); inspect the gloves before each use, wash them before removal, and replace them periodically (157). (A table of resistance to chemicals of common glove materials is given p. 159). 
Use appropriate (164-168) respiratory equipment when air contaminant concentrations are not sufficiently restricted by engineering controls (164-5), inspecting the respirator before use (169).
Use any other protective and emergency apparel and equipment as appropriate (22, 157-162).
Avoid use of contact lenses in the laboratory unless necessary; if they are used, inform supervisor so special precautions can be taken (155).
Remove laboratory coats immediately on significant contamination (161).
(l) Planning: Seek information and advice about hazards (7), plan appropriate protective procedures, and plan positioning of equipment before beginning any new operation (22, 23).
(m) Unattended operations: Leave lights on, place an appropriate sign on the door, and provide for containment of toxic substances in the event of failure of a utility service (such as cooling water) to an unattended operation (27, 128). 
(n) Use of hood: Use the hood for operations which might result in release of toxic chemical vapors or dust (198-9).
As a rule of thumb, use a hood or other local ventilation device when working with any appreciably volatile substance with a TLV of less than 50 ppm (13).
Confirm adequate hood performance before use; keep hood closed at all times except when adjustments within the hood are being made (200); keep materials stored in hoods to a minimum and do not allow them to block vents or air flow (200). 
Leave the hood “on” when it is not in active use if toxic substances are stored in it or if it is uncertain whether adequate general laboratory ventilation will be maintained when it is “off” (200). 
(o) Vigilance: Be alert to unsafe conditions and see that they are corrected when detected (22).
(p) Waste disposal: Assure that the plan for each laboratory operation includes plans and training for waste disposal (230).
Deposit chemical waste in appropriately labeled receptacles and follow all other waste disposal procedures of the Chemical Hygiene Plan (22, 24).
Do not discharge to the sewer concentrated acids or bases (231); highly toxic, malodorous, or lachrymatory substances (231); or any substances which might interfere with the biological activity of waste water treatment plants, create fire or explosion hazards, cause structural damage or obstruct flow (242). 
(q) Working alone: Avoid working alone in a building; do not work alone in a laboratory if the procedures being conducted are hazardous (28).
2. Working with Allergens and Embryotoxins
(a) Allergens (examples: diazomethane, isocyanates, bichromates): Wear suitable gloves to prevent hand contact with allergens or substances of unknown allergenic activity (35). 
(b) Embryotoxins (34-5) (examples: organomercurials, lead compounds, formamide): If you are a woman of childbearing age, handle these substances only in a hood whose satisfactory performance has been confirmed, using appropriate protective apparel (especially gloves) to prevent skin contact.
Review each use of these materials with the research supervisor and review continuing uses annually or whenever a procedural change is made.
Store these substances, properly labeled, in an adequately ventilated area in an unbreakable secondary container.
Notify supervisors of all incidents of exposure or spills; consult a qualified physician when appropriate.
3. Work with Chemicals of Moderate Chronic or High Acute Toxicity
Examples: diisopropylfluorophosphate (41), hydrofluoric acid (43), hydrogen cyanide (45). 
Supplemental rules to be followed in addition to those mentioned above (Procedure B of “Prudent Practices,” pp. 39-41):
(a) Aim: To minimize exposure to these toxic substances by any route using all reasonable precautions (39).
(b) Applicability: These precautions are appropriate for substances with moderate chronic or high acute toxicity used in significant quantities (39).
(c) Location: Use and store these substances only in areas of restricted access with special warning signs (40, 229).
Always use a hood (previously evaluated to confirm adequate performance with a face velocity of at least 60 linear feet per minute) (40) or other containment device for procedures which may result in the generation of aerosols or vapors containing the substance (39); trap released vapors to prevent their discharge with the hood exhaust (40).
(d) Personal protection: Always avoid skin contact by uses of gloves and long sleeves (and other protective apparel as appropriate) (39). Always wash hands and arms immediately after working with these materials (40).
(e) Records: Maintain records of the amounts of these materials on hand, amounts used, and the manes of the workers involved (40, 229). 
(f) Prevention of spills and accidents: Be prepared for accidents and spills (41).
Ensure that at least 2 people are present at all times if a compound in use is highly toxic or of unknown toxicity (39).
Store breakable containers of these substances in chemically resistant trays; also work and mount apparatus above such trays or cover work and storage surfaces with removable, absorbent, plastic backed paper (40).
If a major spill occurs outside the hood, evacuate the area; assure that cleanup personnel wear suitable protective apparel and equipment (41).
(g) Waste: Thoroughly decontaminate or incinerate contaminated clothing or shoes (41). If possible, chemically decontaminate by chemical conversion (40).
Store contaminated waste in closed, suitably labeled, impervious containers (for liquids, in glass or plastic bottles half-filled with vermiculite) (40).
4. Work with Chemicals of High Chronic Toxicity (Examples: dimethylmercury and nickel carbonyl (48), benzo-a-pyrene (51), N-nitrosodiethylamine (54), other human carcinogens or substances with high carcinogenic potency in animals (38).)
Further supplemental rules to be followed, in addition to all these mentioned above, for work with substances of known high chronic toxicity (in quantities above a few milligrams to a few grams, depending on the substance) (47). (Procedure A of “Prudent Practices” pp, 47-50).
(a) Access: Conduct all transfers and work with these substances in a “controlled area”: a restricted access hood, glove box, or portion of a lab, designated for use of highly toxic substances, for which all people with access are aware of the substances being used and necessary precautions (48). 
(b) Approvals: Prepare a plan for use and disposal of these materials and obtain the approval of the laboratory supervisor (48). 
(c) Non-contamination/Decontamination: Protect vacuum pumps against contamination by scrubbers or HEPA filters and vent them into the hood (49). Decontaminate vacuum pumps or other contaminated equipment, including glassware, in the hood before removing them from the controlled area (49, 50). Decontaminate the controlled area before normal work is resumed there (50).
(d) Exiting: On leaving a controlled area, remove any protective apparel (placing it in an appropriate, labeled container) and thoroughly wash hands, forearms, face, and neck (49). 
(e) Housekeeping: Use a wet mop or a vacuum cleaner equipped with a HEPA filter instead of dry sweeping if the toxic substance was a dry powder (50).
(f) Medical surveillance: If using toxicologically significant quantities of such a substance on a regular basis (e.g., 3 times per week), consult a qualified physician concerning desirability of regular medical surveillance (50). 
(g) Records: Keep accurate records of the amounts of these substances stored (229) and used, the dates of use, and names of users (48).
(h) Signs and labels: Assure that the controlled area is conspicuously marked with warning and restricted access signs (49) and that all containers of these substances are appropriately labeled with identity and warning labels (48).
(i) Spills: Assure that contingency plans, equipment, and materials to minimize exposures of people and property in case of accident are available (233-4).
(j) Storage: Store containers of these chemicals only in a ventilated, limited access (48, 227, 229) area in appropriately labeled, unbreakable, chemically resistant, secondary containers (48, 229).
(k) Glove boxes: For a negative pressure glove box, ventilation rate must be at least 2 volume changes/hour and pressure at least 0.5 inches of water (48). For a positive pressure glove box, thoroughly check for leaks before each use (49). In either case, trap the exit gases or filter them through a HEPA filter and then release them into the hood (49).
(l) Waste: Use chemical decontamination whenever possible; ensure that containers of contaminated waste (including washings from contaminated flasks) are transferred from the controlled area in a secondary container under the supervision of authorized personnel (49, 50, 233).
5. Animal Work with Chemicals of High Chronic Toxicity
(a) Access: For large scale studies, special facilities with restricted access are preferable (56).
(b) Administration of the toxic substance: When possible, administer the substance by injection or gavage instead of in the diet. If administration is in the diet, use a caging system under negative pressure or under laminar air flow directed toward HEPA filters (56).
(c) Aerosol suppression: Devise procedures which minimize formation and dispersal of contaminated aerosols, including those from food, urine, and feces (e.g., use HEPA filtered vacuum equipment for cleaning, moisten contaminated bedding before removal from the cage, mix diets in closed containers in a hood) (55, 56). 
(d) Personal protection: When working in the animal room, wear plastic or rubber gloves, fully buttoned laboratory coat or jumpsuit and, if needed because of incomplete suppression of aerosols, other apparel and equipment (shoe and head coverings, respirator) (56).
(e) Waste disposal: Dispose of contaminated animal tissues and excreta by incineration if the available incinerator can convert the contaminant to non-toxic products (238); otherwise, package the waste appropriately for burial in an EPA-approved site (239).
F. Safety Recommendations
The above recommendations from “Prudent Practices” do not include those which are directed primarily toward prevention of physical injury rather than toxic exposure. However, failure of precautions against injury will often have the secondary effect of causing toxic exposures. Therefore, we list below page references for recommendations concerning some of the major categories of safety hazards which also have implications for chemical hygiene:
1. Corrosive agents: (35-6)
2. Electrically powered laboratory apparatus: (179-92)
3. Fires, explosions: (26, 57-74, 162-64, 174-5, 219-20, 226-7)
4. Low temperature procedures: (26, 88)
5. Pressurized and vacuum operations (including use of compressed gas cylinders): (27, 75-101)
G. Safety Data Sheets
Safety data sheets are presented in “Prudent Practices” for the chemicals listed below. (Asterisks denote that comprehensive safety data sheets are provided).
*Acetyl peroxide (105)
*Acrolein (106)
*Acrylonitrile (107)
Ammonia (anhydrous) (91)
*Aniline (109)
*Benzene (110)
*Benzo[a]pyrene (112)
*Bis(chloromethyl) ether (113)
Boron trichloride (91)
Boron trifluoride (92)
Bromine (114)
*Tert-butyl hydroperoxide (148)
*Carbon disulfide (116)
Carbon monoxide (92)
*Carbon tetrachloride (118)
*Chlorine (119)
Chlorine trifluoride (94)
*Chloroform (121)
Chloromethane (93)
*Diethyl ether (122)
Diisopropyl fluorophosphate (41)
*Dimethylformamide (123)
*Dimethyl sulfate (125)
*Dioxane (126)
*Ethylene dibromide (128)
*Fluorine (95)
*Formaldehyde (130)
*Hydrazine and salts (132)
Hydrofluoric acid (43)
Hydrogen bromide (98)
Hydrogen chloride (98)
*Hydrogen cyanide (133)
*Hydrogen sulfide (135)
Mercury and compounds (52)
*Methanol (137)
*Morpholine (138)
*Nickel carbonyl (99)
*Nitrobenzene (139)
Nitrogen dioxide (100)
N-nitrosodiethylamine (54)
*Peracetic acid (141)
*Phenol (142)
*Phosgene (143)
*Pyridine (144)
*Sodium azide (145)
*Sodium cyanide (147)
Sulfur dioxide (101)
*Trichloroethylene (149)
*Vinyl choride (150)

Appendix B

References (Non-Mandatory)
The following references are provided to assist the employer in the development of a Chemical Hygiene Plan. The materials listed below are offered as non-mandatory guidance. References listed here do not imply specific endorsement of a book, opinion, technique, policy or a specific solution for a safety or health problem. Other references not listed here may better meet the needs of a specific laboratory.
(a) Materials for the development of the Chemical Hygiene Plan:
1. American Chemical Society, Safety in Academic Chemistry Laboratories, 4th edition, 1985.
2. Fawcett, H.H. and W.S. Wood, Safety and Accident Prevention in Chemical Operations, 2nd edition, Wiley-Interscience, New York, 1982.
3. Flury, Patricia A., Environmental Health and Safety in the Hospital Laboratory, Charles C. Thomas Publisher, Springfield IL, 1978.
4. Green, Michael E. and Turk, Amos, Safety in Working with Chemicals, Macmillan Publishing Co., NY, 1978.
5. Kaufman, James A., Laboratory Safety Guidelines, Dow Chemical Co., Box 1713, Midland, MI 48640, 1977.
6. National Institutes of Health, NIH Guidelines for the Laboratory use of Chemical Carcinogens, NIH Pub. No. 81-2385, GPO, Washington, DC 20402, 1981.
7. National Research Council, Prudent Practices for Disposal of Chemicals from Laboratories, National Academy Press, Washington, DC, 1983.
8. National Research Council, Prudent Practices for Handling Hazardous Chemicals in Laboratories, National Academy Press, Washington, DC, 1981.
9. Renfrew, Malcolm, Ed., Safety in the Chemical Laboratory, Vol. IV, J. Chem. Ed., American Chemical Society, Easlon, PA, 1981.
10. Steere, Norman V., Ed., Safety in the Chemical Laboratory, J. Chem. Ed. American Chemical Society, Easlon, PA. 18042, Vol. I, 1967, Vol. II, 1971,Vol. III, 1974.
11. Steere, Norman V., Handbook of Laboratory Safety, the Chemical Rubber Company, Cleveland, OH, 1971.
12. Young, Jay A., Ed., Improving Safety in the Chemical Laboratory, John Wiley & Sons, Inc. New York, 1987.
(b) Hazardous Substances Information:
1. American Conference of Governmental Industrial Hygienists. Threshold Limit Values for Chemical Substances and Physical Agents in the Workroom Environment with Intended Changes, 6500 Glenway Avenue, Building D-7, Cincinnati, OH 45211-4438 (latest edition).
2. Annual Report on Carcinogens, National Toxicology Program , U.S. Department of Health and Human Services, Public Health Service, U.S. Government Printing Office, Washington, DC. (1985 edition).
3. Best Company, Best Safety Directory, Vols. I and II, Oldwick, N.J. 1981.
4. Bretherick, L., Handbook of Reactive Chemical Hazards, 2nd edition, Butterworths, London, 1979. 
5. Bretherick, L., Hazards in the Chemical Laboratory, 3rd edition, Royal Society of Chemistry, London, 1986.
6. Code of Federal Regulations, 29 CFR part 1910 subpart Z., U.S. Govt. Printing Office, Washington, DC 20402 (1990 edition).
7. IARC Monographs on the Evaluation of the Carcinogenic Risk of Chemicals to Man, World Health Organization Publications Center, 49 Sheridan Avenue, Albany, New York 12210 (Volumes 1-48 and Supplements 1-8).
8. NIOSH/OSHA Pocket Guide to Chemical Hazards, NIOSH Pub. No. 85-114, U.S. Government Printing Office, Washington, DC. 1985.
9. Occupational Health Guidelines, NIOSH/OSHA, NIOSH Pub. No. 81-123, U.S. Government Printing Office, Washington, DC. 1981.
10. Patty, F.A., Industrial Hygiene and Toxicology, John Wiley & Sons, Inc., New York, NY (Five Volumes), 1985 edition.
11. Registry of Toxic Effects of Chemical Substances, U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control, National Institute for Occupational Safety and Health, Revised Annually, for sale from Superintendent of Documents U.S. Govt. Printing Office, Washington, DC 20402, 1990 edition.
12. The Merck Index: An Encyclopedia of Chemicals and Drugs, Merck and Company Inc. Rahway, N.J., 1976 (or 1983 edition).
13. Sax, N.I. Dangerous Properties of Industrial Materials, 5th edition, Van Nostrand Reinhold, NY., 1989.
14. Sittig, Marshall, Handbook of Toxic and Hazardous Chemicals, Noyes Publications. Park Ridge, NJ, 1981.
(c) Information on Ventilation:
1. American Conference of Governmental Industrial Hygienists Industrial Ventilation. (latest edition), 6500 Glenway Avenue, Building D-7, Cincinnati, OH 45211-4438.
2. American National Standards Institute, Inc. American National Standards Fundamentals Governing the Design and Operation of Local Exhaust Systems ANSI Z 9.2-1979 American National Standards Institute, N.Y. 1979.
3. Imad, A.P. and Watson, C.L. Ventilation Index: An Easy Way to Decide about Hazardous Liquids, Professional Safety pp. 15-18, April 1980. 
4. National Fire Protection Association, Fire Protection for Laboratories Using Chemicals NFPA-45, 1982.
Safety Standard for Laboratories in Health Related Institutions, NFPA, 56c, 1980.
Fire Protection Guide on Hazardous Materials, 7th edition, 1978.
National Fire Protection Association, Batterymarch Park, Quincy, MA 02269.
5. Scientific Apparatus Makers Association (SAMA), Standard for Laboratory Fume Hoods, SAMA LF7-1980, 1101 16th Street, NW., Washington, DC 20036.
(d) Information on Availability of Referenced Material:
1. American National Standards Institute (ANSI), 1430 Broadway, New York, NY 10018.
2. American Society for Testing and Materials (ASTM), 1916 Race Street, Philadelphia, PA 19103. 
§5192. Hazardous Waste Operations and Emergency Response.
Note     •     History

(a) Scope, Application and Definitions.
(1) Scope: This section covers the following operations, unless the employer can demonstrate that the operation does not involve employee exposure or the reasonable possibility for employee exposure to safety or health hazards:
(A) Clean-up operations or hazardous substance removal work required by a governmental body, whether Federal, state, local or other involving hazardous substances that are conducted at uncontrolled hazardous waste sites (including, but not limited to, the Environmental Protection Agency's (EPA) National Priority Site List (NPL), state priority site lists, sites recommended for the EPA, NPL, and initial investigations of government identified sites which are conducted before the presence or absence of hazardous substances has been ascertained);
(B) Corrective actions involving hazardous waste clean-up operations at sites covered by the Resource Conservation and Recovery Act of 1976 (RCRA) as amended (42 U.S.C. 6901. et seq.) and Chapters 6.5 and 6.8 of Division 20 of the California Health and Safety Code;
(C) Voluntary clean-up operations at sites recognized by Federal, state, local or other governmental bodies as uncontrolled hazardous waste sites;
(D) Operations involving hazardous wastes that are conducted at treatment, storage, and disposal (TSD) facilities regulated by 40 CFR Parts 264 and 265 pursuant to RCRA; or facilities regulated by Chapter 6.5 of Division 20 of the California Health and Safety Code; or by agencies under agreement with U.S.E.P.A. to implement RCRA regulations; and
(E) Emergency response operations for releases of, or substantial threats of releases of, hazardous substances without regard to the location of the hazard.
(2) Application.
(A) All requirements of Title 8 of the California Code of Regulations apply pursuant to their terms to hazardous waste operations (whether covered by this section or not). If there is a conflict or overlap, the provision more protective of employee safety and health shall apply without regard to 8 CCR 3202(a).
(B) Hazardous substance clean-up operations within the scope of subsections (a)(1)(A) through (a)(1)(C) of this section must comply with all subsections of this section except subsections (p) and (q).
(C) Operations within the scope of subsection(a)(1)(D) of this section must comply only with the requirements of subsection (p) of this section.
NOTES AND EXCEPTIONS TO (a)(2)(C):
A. All provisions of subsection (p) of this section cover any treatment, storage, or disposal (TSD) operation regulated by 40 CFR parts 264 and 265 or by Chapter 6.5 of Division 20 of the California Health and Safety Code, and required to have a permit or interim status from EPA pursuant to 40 CFR 270.1 or from the Department of Health Services (DHS) pursuant to Chapter 6.5 of Division 20 of the California Health and Safety Code.
B. Employers who are not required to have a permit or interim status because they are conditionally exempt small quantity generators under 40 CFR 261.5 or are generators who qualify under 40 CFR 262.34 for exemptions from regulation under 40 CFR parts 264, 265 and 270 (“excepted employers”) are not covered by subsections (p)(1) through (p)(7) of this section. Excepted employers who are required by the EPA or state agency such as the Department of Health Services (DHS) to have their employees engage in emergency response or who direct their employees to engage in emergency response are covered by subsection (p)(8) of this section, and cannot be exempted by (p)(8)(A) of this section. Excepted employers who are not required to have employees engage in emergency response, who direct their employees to evacuate in the case of such emergencies and who meet the requirements of subsection (p)(8)(A) of this section are exempt from the balance of subsection (p)(8) of this section.
C. If an area is used for hazardous waste treatment, storage, or disposal, any emergency response operations in that area shall comply with subsection (p)(8) of this section. In other areas not used for treatment storage, or disposal of hazardous waste, any emergency response operation shall comply with subsection (q) of this section. Compliance with the requirements of subsection (q) of this section shall be deemed to be in compliance with the requirements of subsection (p)(8) of this section.
(D) Emergency response operations for releases of, or substantial threats of releases of, hazardous substances which are not covered by subsections( a)(1)(A) through (a)(1)(D) of this section must only comply with the requirements of subsection (q) of this section.
(3) Definitions.
Buddy system: A system of organizing employees into work groups in such a manner that each employee of the work group is designated to be observed by at least one other employee in the work group. The purpose of the buddy system is to provide quick assistance to employees in the event of an emergency.
Certified employee: An employee that has completed all of the requirements for training certification delineated in subsection (e)(6) of this section.
Certified supervisor: A supervisor that has completed all of the requirements for training certification delineated in subsection (e)(6) of this section.
Clean-up operation: An operation where hazardous substances are removed, contained, incinerated, neutralized, stabilized, cleared-up, or in any other manner processed or handled with the ultimate goal of making the site safer for people or the environment.
Decontamination: The removal of hazardous substances from employees and their equipment to the extent necessary to preclude the occurrence of foreseeable adverse health effects.
Emergency response, or responding to emergencies: A response effort by employees from outside the immediate release area or by other designated responders (i.e., mutual aid groups, local fire departments, etc.) to an occurrence which results, or is likely to result, in an uncontrolled release, which may cause high levels of exposure to toxic substances, or which poses danger to employees requiring immediate attention.  Responses to incidental releases of hazardous substances where the substance can be absorbed, neutralized, or otherwise controlled at the time of release by employees in the immediate release area, or by maintenance personnel are not considered to be emergency responses within the scope of this standard. Responses to releases of hazardous substances where there is no immediate safety or health hazard (i.e., fire, explosion, or chemical exposure) are not considered to be emergency responses.
NOTE: The “immediate release area” can be the entire geographic boundary of the employee's assigned work area.
Facility: A. Any building, structure, installation, equipment, pipe or pipeline (including any pipe into a sewer or publicly owned treatment works), well, pit, pond, lagoon, impoundment, ditch, storage container, motor vehicle, rolling stock, or aircraft, or B. any site or area where a hazardous substance has been deposited, stored, disposed of, placed, or otherwise come to be located; but does not include any consumer product in consumer use or any water-borne vessel.
Hazardous materials response (HAZMAT) team: An organized group of employees, designated by the employer, which is expected to perform work to handle and control actual or potential leaks or spills of hazardous substances requiring possible close approach to the substance. The team members perform responses to releases or potential releases of hazardous substances for the purpose of control or stabilization of the incident. A HAZMAT team is not a fire brigade nor is a typical fire brigade a HAZMAT team. A HAZMAT team, however, may be a separate component of a fire brigade or fire department.
Hazardous substance: Any substance designated or listed under A. through D. below, exposure to which results or may result in adverse effects on the health or safety of employees:
A. Any substance defined under Section 103(14) of CERCLA or under Sections 25316 and 25317 of the California Health and Safety Code;
B. Any biological agent and other disease-causing agent which after release into the environment and upon exposure, ingestion, inhalation, or assimilation into any person, either directly from the environment or indirectly by ingestion through food chains, will or may reasonably be anticipated to cause death, disease, behavioral abnormalities, cancer, genetic mutation, physiological malfunctions (including malfunctions in reproduction) or physical deformations in such persons or their offspring;
C. Any substance listed by the U.S. Department of Transportation and regulated as hazardous materials under 49 CFR 172.101 and appendices; and
D. Hazardous waste as herein defined.
Hazardous substance removal work: Clean-up work at any of the following:
A.  A site where removal or remedial action is taken pursuant to any of the following:
1. Chapter 6.8 (commencing with Section 25300) of Division 20 of the Health and Safety Code, regardless of whether the site is listed pursuant to Section 25356 of the Health and Safety Code.
2. The federal Comprehensive Environmental Response, Compensation and Liability Act of 1980 (42 U.S.C. Sec. 9601 et seq.).
3. Any operations covered under subsections(a)(1)(A) through (a)(1)(C) of this section.
B. A site where corrective action is taken pursuant to Section 25187 or 25200.10 of the Health and Safety Code or the federal Resource Conservation and Recovery Act of 1976 (42 U.S.C. Sec. 6901 et seq.)
C. A site where clean-up of a discharge of a hazardous substance is required pursuant to Division 7 (commencing with Section 13000) of the Water Code.
D. A site where removal or remedial action is taken because a hazardous substance has been discharged or released in an amount that is reportable pursuant to Section 13271 of the Water Code or the federal Comprehensive Environmental Response, Compensation and Liability Act of 1980 (42 U.S.C. Sec. 6901 et seq.). Hazardous substance removal work does not include work related to a hazardous substance spill on a highway.
Hazardous waste: A waste or combination of wastes as defined in 40 CFR 261.3, or regulated as hazardous waste in California pursuant to Chapter 6.5, Division 20, California Health and Safety Code, or B. those substances defined as hazardous wastes in 49 CFR 171.8.
Hazardous waste operation: Any operation conducted within the scope of this regulation including hazardous substance removal work as defined in Labor Code Section 142.7(b).
Hazardous waste site, or site: Any facility or location at which hazardous waste operations within the scope of this regulation take place.
Health hazard: A chemical, mixture of chemicals or a pathogen for which there is statistically significant evidence, based on at least one study conducted in accordance with established scientific principles, that acute or chronic health effects may occur in exposed employees. The term “health hazard” includes chemicals which are carcinogens; toxic or highly toxic agents; reproductive toxins; irritants; corrosives; sensitizers; hepatotoxins; nephrotoxins; neurotoxins; agents which act on the hematopoietic system; and agents which damage the lungs, skin, eyes, or mucous membranes. It also includes stress due to temperature extremes. Further definition of the terms used above can be found in Title 8, California Code of Regulations, Section 5194.
Incidental release: An incidental release is one that does not cause a health or safety hazard to employees and does not need to be cleaned up immediately to prevent death or serious injury to employees.
Oxygen deficiency: That concentration of oxygen by volume below which air supplying respiratory protection must be provided. It exists in atmospheres where the percentage of oxygen by volume is less than 19.5 percent oxygen.
Permissible exposure limit (PEL): The exposure, inhalation or dermal permissible exposure limit specified in 8 CCR, Chapter 4, Subchapter 7, Groups 14 and 15; and Group 16, Articles 107, 109, and 110.
Post-emergency response: That portion of an emergency response performed after the immediate threat of a release has been stabilized or eliminated and clean-up of the site has begun. If post emergency response is performed by an employer's own employees who were part of the initial emergency response, it is considered to be part of the initial response and not post-emergency response. However, if a group of an employer's own employees, separate from the group providing initial response, performs the clean-up operation, then the separate group of employees would be considered to be performing post-emergency response and subject to subsection (q)(11) of this section.
Pre-job health and safety conference: A health and safety conference or briefing held prior to entering a site for the purpose of initiating hazardous substance removal work.
Published exposure level: The exposure limits published in “NIOSH Recommendations for Occupational Safety and Health Standards 1988” incorporated by reference, or if no limit is specified, the exposure limits published in the standards specified by the American Conference of Governmental Industrial Hygienists in their publication “Threshold Limit Values and Biological Exposure Indices for 1989-90” dated 1989 incorporated by reference.
Qualified person: A person with specific training, knowledge and experience in the area for which the person has the responsibility and the authority to control.
Site safety and health supervisor (or official): The individual located on a hazardous waste site who is responsible to the employer and has the authority and knowledge necessary to implement the site safety and health plan and verify compliance with applicable safety and health requirements.
Small quantity generator: A generator of hazardous wastes who in any calendar month generates no more than 1,000 kilograms (2,205 pounds) of hazardous waste in that month.
Uncontrolled hazardous waste site: An area where an accumulation of hazardous waste creates a threat to the health and safety of individuals or the environment or both. Some sites are found on public lands, such as those created by former municipal, county, or state landfills where illegal or poorly managed waste disposal has taken place. Other sites are found on private property, often belonging to generators or former generators of hazardous waste. Examples of such sites include, but are not limited to, surface impoundments, landfills, dumps, and tank or drum farms.

Normal operations at TSD sites are not covered by this definition.
Uncontrolled release: An uncontrolled release is the accidental release of a hazardous substance from its container. If not contained, stopped, and removed, the release would pose a hazard to the employees in the immediate area or in areas in the path of the release, or from its byproducts or its effects (such as toxic vapors, fire, over-pressurization, toxic gases, or toxic particulates.
(b) Safety and health program.
NOTE TO (b): Safety and health programs developed and implemented to meet other Federal, state, or local regulations are considered acceptable in meeting this requirement if they cover or are modified to cover the topics required in this subsection. An additional or separate safety and health program is not required by this subsection.
(1) General.
(A) Employers shall develop and implement a written safety and health program for their employees involved in hazardous waste operations. The program shall be designed to identify, evaluate, and control safety and health hazards, and provide for emergency response for hazardous waste operations.
(B) The written safety and health program shall incorporate the following:
1. An organization structure;
2. A comprehensive workplan;
3. A site-specific safety and health plan which need not repeat the employer's standard operating procedures required in subsection (b)(1)(B)6. of this section;
4. The safety and health training program;
5. The medical surveillance program;
6. The employer's standard operating procedures for safety and health; and
7. Any necessary interface between general program and site specific activities.
(C) Site excavation. Site excavations created during initial site preparation or during hazardous waste operations shall be shored or sloped as appropriate to prevent accidental collapse in accordance with 8 CCR, Chapter 4, Subchapter 4, Article 6.
(D) Contractors and sub-contractors. An employer who retains contractor or sub-contractor services for work in hazardous waste operations shall inform those contractors, sub-contractors, or their representatives of the site emergency response procedures and any potential fire, explosion, health, safety or other hazards of the hazardous waste operation that have been identified by the employer, including those identified in the employer's information program. Each contractor/sub-contractor is responsible for compliance with all safety and health protection requirements for its employees. An employer's safety and health plan can be used by contractors/sub-contractors at the site if it appropriately addresses their activity and potential safety and health hazards.
(E) Program availability. The written safety and health program shall be made available to any contractor or subcontractor or their representative who will be involved with the hazardous waste operation; to employees; to employee designated representatives; to Division representatives, and to personnel of other Federal, state, or local agencies with regulatory authority over the site.
(2) Organizational structure part of the site program.
(A) The organizational structure part of the program shall establish the specific chain of command and specify the overall responsibilities of supervisors and employees. It shall include, at a minimum, the following elements:
1. A general supervisor (or Certified supervisor for hazardous substance removal work) who has the responsibility and authority to direct all hazardous waste operations.
2. A Site Safety and Health Supervisor who has the responsibility and authority to develop and implement the site safety and health plan and verify compliance.
3. A Qualified Person for operations defined as hazardous substance removal work, who shall be responsible for scheduling any air sampling, laboratory calibration of sampling equipment, evaluation of soil or other contaminated materials sampling results, and for conducting any equipment testing and evaluating the results of the tests.
4. All other personnel needed for hazardous waste site operations and emergency response and their general functions and responsibilities.
5. The lines of authority, responsibility, and communication.
(B) The organizational structure shall be reviewed and updated as necessary to reflect the current status of waste site operations.
(3) Comprehensive workplan part of the site program: The comprehensive workplan part of the program shall address the tasks and objectives of the site operations and the logistics and resources required to reach those tasks and objectives.
(A) The comprehensive workplan shall address anticipated clean-up activities, as well as normal operating procedures, which need not repeat the employer's procedures available elsewhere.
(B) The comprehensive workplan shall define work tasks and objectives and identify the methods for accomplishing those tasks and objectives.
(C) The comprehensive workplan shall establish personnel requirements for implementing the plan.
(D) The comprehensive workplan shall provide for the implementation of the training required in subsection (e) of this section.
(E) The comprehensive workplan shall provide for the implementation of the required informational programs required in subsection (i) of this section.
(F) The comprehensive workplan shall provide for the implementation of the medical surveillance program described in subsection (f) of this section.
(4) Site-specific safety and health plan part of the program.
(A) General: The site safety and health plan, which must be kept on site, shall address the safety and health hazards of each phase of site operation and include the requirements and procedures for employee protection.
NOTE TO (A): In general, a site plan organized as a single document, with component sections/appendices covering all tasks, operations, and contractors/sub-contractors, may be used to promote use efficiency, and enhance completeness, clarity, and coordination.
(B) Elements: The site safety and health plan, as a minimum, shall address the following:
1. A safety and health risk or hazard analysis for each site task and operation found in the workplan.
2. Employee training assignments to assure compliance with subsection (e) of this section.
3. Personal protective equipment (PPE) to be used by employees for each of the site tasks and operations being conducted as required by the personal protective equipment program in subsection (g)(5) of this section.
4. Medical surveillance requirements in accordance with the program in subsection (f) of this section.
5. Frequency and types of air monitoring, personnel monitoring, and environmental sampling techniques and instrumentation to be used, including methods of maintenance and calibration of monitoring and sampling equipment to be used.
6. Site control measures in accordance with the site control program required in subsection (d) of this section.
7. Decontamination procedures in accordance with subsection (k) of this section.
8. An emergency response plan meeting the requirements of subsection (l) of this section for safe and effective responses to emergencies, including the necessary PPE and other equipment.
9. Confined space entry procedures.
10. A spill containment program meeting the requirements of subsection (j) of this section.
(C) Pre-entry briefing: The site-specific safety and health plan shall provide for pre-entry briefings to be held prior to initiating any site activity, and at such other times as necessary to ensure that employees are apprised of the site safety and health plan and that this plan is being followed. The information and data obtained from site characterization and analysis work required in subsection (c) of this section shall be used to prepare and update the site safety and health plan.
(D) For operations defined as Hazardous substance removal work, a Pre-job health and safety conference shall be held before the start of actual work. The conference shall include representatives of the owner or contracting agency, the contractor, the employer, employees, and employee representatives; and shall include a discussion of the employer's safety and health program and the means, methods, devices, processes, practices, conditions, or operations which the employer intends to use in providing a safe and healthy place of employment.
(E) Effectiveness of site safety and health plan: Inspections shall be conducted by the site safety and health supervisor or, in the absence of that individual, another individual who is knowledgeable in occupational safety and health, acting on behalf of the employer as necessary to determine the effectiveness of the site safety and health plan. Any deficiencies in the effectiveness of the site safety and health plan shall be corrected by the employer.
(c) Site Characterization and Analysis.
(1) General: Hazardous waste sites shall be evaluated in accordance with this subsection to identify specific site hazards and to determine the appropriate safety and health control procedures needed to protect employees from the identified hazards.
(2) Preliminary evaluation: A preliminary evaluation of a site's characteristics shall be performed prior to site entry by a qualified person to aid in the selection of appropriate employee protection methods prior to site entry. Immediately after initial site entry, a more detailed evaluation of the site's specific characteristics shall be performed by a qualified person to further identify existing site hazards and to further aid in the selection of the appropriate engineering controls and personal protective equipment for the tasks to be performed.
(3) Hazard identification: All suspected conditions that may pose inhalation or skin absorption hazards that are immediately dangerous to life or health (IDLH) or other conditions that may cause death or serious harm shall be identified during the preliminary survey and evaluated during the detailed survey. Examples of such hazards include, but are not limited to, confined space entry, potentially explosive or flammable situations, visible vapor clouds, or areas where biological indicators such as dead animals or vegetation are located.
(4) Required information: The following information to the extent available shall be obtained by the employer prior to allowing employees to enter a site:
(A) Location and approximate size of the site.
(B) Description of the response activity and/or the job task to be performed.
(C) Duration of the planned employee activity.
(D) Site topography and accessibility by air and roads.
(E) Safety and health hazards expected at the site.
(F) Pathways for hazardous substance dispersion.
(G) Present status and capabilities of emergency response teams that would provide assistance to hazardous waste clean-up site employees at the time of an emergency.
(H) Hazardous substances and health hazards involved or expected at the site, and their chemical and physical properties.
(5) Personal protective equipment: Personal protective equipment (PPE) shall be provided and used during initial site entry in accordance with the following requirements:
(A) Based upon the results of the preliminary site evaluation, an ensemble of PPE shall be selected and used during initial site entry which will provide protection to a level of exposure below PELs and published exposure levels for known or suspected hazardous substances and health hazards and will provide protection against other known and suspected hazards identified during the preliminary site evaluation. If there is no PEL or published exposure level, the employer may use other published studies and information as a guide to appropriate personal protective equipment.
(B) If positive-pressure self-contained breathing apparatus is not used as part of the entry ensemble, and if respiratory protection is warranted by the potential hazards identified during the preliminary site evaluation, an escape self-contained breathing apparatus of at least five minute's duration shall be carried by employees during initial site entry.
(C) If the preliminary site evaluation does not produce sufficient information to identify the hazards or suspected hazards of the site, an ensemble providing protection equivalent to Level B PPE shall be provided as minimum protection and direct reading instruments shall be used as appropriate for identifying IDLH conditions. (See Appendix B for guidelines on Level B protective equipment, and a description of Level B hazards.)
(D) Once the hazards of the site have been identified, the appropriate PPE shall be selected and used in accordance with subsection (g).
(6) Monitoring: The following monitoring shall be conducted during initial site entry when the site evaluation produces information that shows the potential for ionizing radiation or IDLH conditions, or when the site information is not sufficient to rule out these possible conditions:
(A) Monitoring with direct reading instruments for hazardous levels of ionizing radiation.
(B) Monitoring the air with appropriate direct reading test equipment (i.e., combustible gas meters, detector tubes) for IDLH and other conditions that may cause death or serious harm (combustible or explosive atmospheres, oxygen deficiency, toxic substances.)
(C) Visually observing for signs of actual or potential IDLH or other dangerous conditions.
(D) An on-going air monitoring program in accordance with subsection (h) shall be implemented after site characterization has determined the site is safe for the start-up of operations.
(7) Risk identification: Once the presence and concentrations of specific hazardous substances and health hazards have been established, the risks associated with these substances shall be identified. Employees who will be working on the site shall be informed of any risks that have been identified. In situations covered by the Hazard Communication standard, 8 CCR 5194, training required by that standard need not be duplicated.
NOTE TO (c)(7): Risks to consider include, but are not limited to:
A. Exposures exceeding the PELs, and published exposure levels.
B. IDLH concentrations.
C. Potential skin absorption and irritation sources.
D. Potential eye irritation sources.
E. Explosion sensitivity and flammability ranges.
F. Oxygen deficiency.
(8) Employee notification: Any information concerning the chemical, physical, and toxicologic properties of each substance known or expected to be present on site that is available to the employer and relevant to the duties an employee is expected to perform shall be made available to the affected employees prior to the commencement of their work activities. The employer may utilize information developed for the hazard communication standard, 8 CCR 5194, for this purpose.
(d) Site Control.
(1) General: Appropriate site control procedures shall be implemented to control employee exposure to hazardous substances before clean-up work begins.
(2) Site control program: A site control program for protecting employees which is part of the employer's site safety and health program required in subsection (b) of this section shall be developed during the planning stages of a hazardous waste clean-up operation and modified as necessary as new information becomes available.
(3) Elements of the site control program: The site control program shall, as a minimum, include: A site map; site work zones; the use of a “buddy system;” site communications including alerting means for emergencies; the standard operating procedures or safe work practices; and, identification of nearest medical assistance. Where these requirements are covered elsewhere they need not be repeated.
(e) Training.
(1) General.
(A) All employees working on site (such as but not limited to equipment operators, general laborers, and others) exposed to hazardous substances, health hazards, or safety hazards, and their supervisors and management responsible for the site shall receive training meeting the requirements of this subsection before they are permitted to engage in hazardous waste operations that could expose them to hazardous substances, safety, or health hazards, and they shall receive review training as specified in this subsection.
(B) Employees shall not be permitted to participate in or supervise field activities until they have been trained to a level required by their job function and responsibility.
(2) Elements to be covered: The training shall thoroughly cover the following:
(A) Names of personnel and alternates responsible for site safety and health;
(B) Safety, health and other hazards present on the site;
(C) Use of PPE;
(D) Work practices by which the employee can minimize risks from hazards;
(E) Safe use of engineering controls and equipment on the site;
(F) Medical surveillance requirements including recognition of symptoms and signs which might indicate overexposure to hazards; and
(G) Subsections 7. through 10. of the site safety and health plan set forth in subsection (b)(4)(B) of this section.
(3) Initial training.
(A) General site workers (such as equipment operators, general laborers, and supervisory personnel) engaged in hazardous substance removal or other activities which expose or potentially expose workers to hazardous substances and health hazards shall receive a minimum of 40 hours of instruction off the site, and a minimum of three days actual field experience under the direct supervision of a trained, experienced supervisor.
(B) Workers on site only occasionally for a specific limited task (such as, but not limited to, ground water monitoring, land surveying, or geo-physical surveying) and who are unlikely to be exposed over PELs and published exposure levels shall receive a minimum of 24 hours of instruction off the site, and the minimum of one day actual field experience under the direct supervision of a trained, experienced supervisor.
(C) Workers regularly on site who work in areas which have been monitored and fully characterized indicating that exposures are under PELs and published exposure levels where respirators are not necessary, and the characterization indicates that there are no health hazards or the possibility of an emergency developing, shall receive a minimum of 24 hours of instruction off the site and the minimum of one day actual field experience under the direct supervision of a trained, experienced supervisor.
(D) Workers with 24 hours of training who are covered by subsections (e)(3)(B) and (e)(3)(C) of this section, and who become general site workers or who are required to wear respirators, shall have the additional 16 hours and two days of training necessary to total the training specified in subsection (e)(3)(A).
(4) Management and supervisor training: On-site management and supervisors directly responsible for, or who supervise employees engaged in, hazardous waste operations shall receive 40 hours initial training, and three days of supervised field experience (the training may be reduced to 24 hours and one day if the only area of their responsibility is employees covered by subsections (e)(3)(B) and (e)(3)(C)) and at least eight additional hours of specialized hazardous waste operations management training at the time of job assignment on such topics as, but not limited to, the employer's safety and health program and the associated employee training program, PPE program, spill containment program, and health hazard monitoring procedure and techniques.
(5) Qualifications for trainers: Trainers shall be qualified to instruct employees about the subject matter that is being presented in training. Such trainers shall have satisfactorily completed a training program for teaching the subjects they are expected to teach, or they shall have the academic credentials and instructional experience necessary for teaching the subjects. Instructors shall demonstrate competent instructional skills and knowledge of the applicable subject matter.
(6) Training certification: Employees and supervisors that have received and successfully completed the training and field experience specified in subsections (e)(1) through (e)(4) of this section shall be certified by their instructor or the head instructor and trained supervisor as having successfully completed the necessary training. A written certificate shall be given to each person so certified. Any person who has not been so certified or who does not meet the requirements of subsection (e)(9) of this section shall be prohibited from engaging in hazardous waste operations.
(7) Emergency response: Employees who are engaged in responding to hazardous emergency situations at hazardous waste clean-up sites that may expose them to hazardous substances shall be trained in how to respond to such expected emergencies.
(8) Refresher training: Employees specified in subsection (e)(1) of this section, and managers and supervisors specified in subsection (e)(4) of this section, shall receive eight hours of refresher training annually on the items specified in subsection (e)(2) and/or (e)(4) of this section, any critique of incidents that have occurred in the past year that can serve as training examples of related work, and other relevant topics.
(9) Equivalent training: Employers who can show by documentation or certification that an employee's work experience and/or training has resulted in training equivalent to that training required in subsections (e)(1) through (e)(4) of this section shall not be required to provide the initial training requirements of those subsections to such employees. However, certified employees or employees with equivalent training new to a site shall receive appropriate, site specific training before site entry and have appropriate supervised field experience at the new site. Equivalent training includes any academic training or the training that existing employees might have already received from actual hazardous waste site work experience.
(f) Medical Surveillance.
(1) General: Employers engaged in operations specified in subsections (a)(1)(A) through (a)(1)(D) of this section and not covered by (a)(2)(C) exceptions, and employers of employees specified in subsection (q)(9) shall institute a medical surveillance program in accordance with this subsection.
(2) Employees covered: The medical surveillance program shall be instituted by the employer for the following employees:
(A) Any employee who is or may be exposed to hazardous substances or health hazards at or above the PELs or, if there is no PEL, above the published exposure levels for these substances, without regard to the use of respirators, for 30 days or more a year.
(B) Any employee who wears a respirator during any part of a day for a period of 30 days or more in a year, or as required by 8 CCR 5144.
(C) Any employee who is  injured, becomes ill or develops signs or symptoms due to possible overexposure involving hazardous substances or health hazards from an emergency response or hazardous waste operation; and
(D) Members of HAZMAT teams.
(3) Frequency of medical examinations and consultations: Medical examinations and consultations shall also be made available by the employer to each employee covered under subsection (f)(2) on the following schedules:
(A) For employees covered under subsections (f)(2)(A), (f)(2)(B), and (f)(2)(D):
1. Prior to assignment.
2. At least once every twelve months for each employee covered, unless the attending physician believes a longer interval (not greater than biennially) is appropriate.
3. At termination of employment or reassignment to an area where the employee would not be covered if the employee has not had an examination within the last six months.
4. As soon as possible, upon notification by an employee either that the employee has developed signs or symptoms indicating possible overexposure to hazardous substances or health hazards or that the employee has been injured or exposed above the PELs or published exposure levels in an emergency situation.
5. At more frequent times, if the examining physician determines that an increased frequency of examination is medically necessary.
(B) For employees covered under subsection(f)(2)(C) and for all employees including those of employers covered by subsection (a)(1)(E) who may have been injured, received a health impairment, developed signs or symptoms which may have resulted from exposure to hazardous substances resulting from an emergency incident, or exposed during an emergency incident to hazardous substances at concentrations above the PELs or the published exposure levels without the necessary personal protective equipment being used:
1. As soon as possible following the emergency incident or development of signs or symptoms;
2. At additional times, if the examining physician determines that follow-up examinations or consultations are medically necessary.
(4) Content of medical examinations and consultations.
(A) Medical examinations required by subsection (f)(2) of this section shall include a medical and work history (or updated history if one is in the employee's file) with special emphasis on symptoms related to the handling of hazardous substances and health hazards, and to fitness for duty including the ability to wear any required PPE under conditions (e.g., temperature extremes) that may be expected at the work site.
(B) The content of medical examinations or consultations made available to employees pursuant to subsection (f) shall be determined by the examining physician. The guidelines in the Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities (see Appendix D, Reference #10) should be consulted.
(5) Examination by a physician and costs: All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, preferably one knowledgeable in occupational medicine, and shall be provided without cost to the employee, without loss of pay, and at a reasonable time and place.
(6) Information provided to the physician: The employer shall provide one copy of this standard and its appendices to the attending physician, and in addition, the following for each employee:
(A) A description of each employee's duties as they relate to the employee's exposures.
(B) Each employee's exposure levels or anticipated exposure levels.
(C) A description of any PPE used or to be used by each employee.
(D) Information from previous medical examinations of each employee which is not readily available to the examining physician.
(E) Information required by 8 CCR 5144 for each employee.
(7) Physician's written opinion.
(A) The employer shall obtain and furnish the employee with a copy of a written opinion from the examining physician containing the following:
1. The physician's opinion as to whether the employee has any detected medical conditions which would place the employee at increased risk of material impairment of the employee's health from work in hazardous waste operations or emergency response, or from respirator use.
2. The physician's recommended limitations upon the employee's assigned work.
3. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further examination or treatment.
(B) The written opinion obtained by the employer shall not reveal specific findings or diagnoses unrelated to occupational exposures.
(C) The physician shall provide the results of the medical examination and tests to the employee if requested.
(8) Recordkeeping.
(A) An accurate record of the medical surveillance required by subsection (f) shall be retained. This record shall be retained for the period specified and meet the criteria of 8 CCR 3204.
(B) The record required in subsection (f)(8)(A) shall include at least the following information:
1. The name and social security number of the employee.
2. Physician's written opinions, recommended limitations, and results of examinations and tests.
3. Any employee medical complaints related to exposure to hazardous substances.
4. A copy of the information provided to the examining physician by the employer, with the exception of the standard and its appendices.
(g) Engineering Controls, Work Practices, and Personal Protective Equipment for Employee Protection: Engineering controls, work practices, PPE, or a combination of these shall be implemented in accordance with this subsection to protect employees from exposure to hazardous substances and safety and health hazards.
(1) Engineering controls, work practices and PPE for substances regulated in 8 CCR, Ch. 4, Subch. 7, Groups 14, 15, and 16.
(A) Engineering controls and work practices shall be instituted to reduce and maintain employee exposure to or below the PELs of substances regulated by 8 CCR 5155, except to the extent that such controls and practices are not feasible.
NOTE TO (g)(1)(A): Engineering controls which may be feasible include the use of pressurized cabs or control booths on equipment, and/or the use of remotely operated material handling equipment. Work practices which may be feasible are removing all non-essential employees from potential exposure during opening of drums, wetting down dusty operations and locating employees upwind of possible hazards.
(B) Whenever engineering controls and work practices are not feasible or not required, any reasonable combination of engineering controls, work practices, and PPE shall be used to protect employees to reduce exposure to or below established PELs or exposure limits for substances regulated by 8 CCR, Ch. 4, Subch. 7, Group 16.
(C) The employer shall not implement a schedule of employee rotation as a means of compliance with PELs or exposure limits except when there is no other feasible way of complying with the applicable ionizing radiation exposure standards.
(D) The provisions of 8 CCR, Ch. 4, Subch. 7, Groups 14 and 15 shall be followed.
(2) Engineering controls, work practices, and PPE for substances not regulated in 8 CCR, Ch. 4, Subch. 7, Groups 14, 15, and 16: An appropriate combination of engineering controls, work practices, and personal protective equipment shall be used to reduce and maintain employee exposure to or below the published exposure levels for hazardous substances and health hazards not regulated by 8 CCR, Ch. 4, Subch. 7, Groups 14, 15, and 16. The employer may use the published literature and Material Safety Data Sheets (MSDS's) as a guide in making the employer's determination as to what level of protection the employer believes is appropriate for hazardous substances and health hazards for which there is no PEL or published exposure level.
(3) Personal protective equipment selection.
(A) Personal protective equipment (PPE) shall be selected and used which will protect employees from the hazards and potential hazards they are likely to encounter as identified during the site characterization and analysis.
(B) Personal protective equipment selection shall be based on an evaluation of the performance characteristics of the PPE relative to the requirements and limitations of the site, the task-specific conditions and duration, and the hazards and potential hazards identified at the site.
(C) Positive pressure self-contained breathing apparatus (SCBA) or positive pressure airline respirators equipped with an escape air supply shall be used when chemical exposure levels present will create a substantial possibility of immediate death, immediate serious illness or injury, or impair the ability to escape.
(D) Totally-encapsulating chemical protective suits (protection equivalent to Level A protection as recommended in Appendix B) shall be used in conditions where skin absorption of a hazardous substance may result in a substantial possibility of immediate death, immediate serious illness or injury, or impair the ability to escape.
(E) The level of protection provided by PPE selection shall be increased when additional information on site conditions shows that increased protection is necessary to reduce employee exposures below established PELs and published exposure levels for hazardous substances and health hazards. (See Appendix B for guidance on selecting PPE ensembles.)
(F) Personal protective equipment shall be selected and used to meet the requirements of 8 CCR, Ch. 4, Subch. 7, Group 2, Articles 10 and 10.1, and 8 CCR 5144 of the General Industry Safety Orders, and additional requirements specified in this section.
NOTE TO (g)(3): The level of employee protection provided may be decreased when additional information or site conditions show that decreased protection will not result in hazardous exposures to employees.
(4) Totally-encapsulating chemical protective suits.
(A) Totally-encapsulating suits shall protect employees from the particular hazards which are identified during site characterization and analysis.
(B) Totally-encapsulating suits shall be capable of maintaining positive air pressure. (See Appendix A for a test method which may be used to evaluate this requirement.)
(C) Totally-encapsulating suits shall be capable of preventing inward test gas leakage of more than 0.5 percent. (See Appendix A for a test method which may be used to evaluate this requirement.)
(5) Personal protective equipment (PPE) program: A written personal protective equipment program, which is part of the employer's safety and health program required in subsection (b) of this section or required in subsection (p)(1) of this section and which is also a part of the site-specific safety and health plan shall be established. The PPE program shall address the elements listed below. When elements, such as donning and doffing procedures, are provided by the manufacturer of a piece of equipment and are attached to the plan, they need not be rewritten into the plan as long as they adequately address the procedure or element.
(A) PPE selection based upon site hazards,
(B) PPE use and limitations of the equipment,
(C) Work mission duration,
(D) PPE maintenance and storage,
(E) PPE decontamination and disposal,
(F) PPE training and proper fitting,
(G) PPE donning and doffing procedures,
(H) PPE inspection procedures prior to, during, and after use,
(I) Evaluation of the effectiveness of the PPE program, and
(J) Limitations during temperature extremes, heat stress, and other appropriate medical considerations.
(h) Monitoring.
(1) General.
(A) Monitoring shall be performed in accordance with this subsection where there may be a question of employee exposure to hazardous concentrations of hazardous substances in order to assure proper selection of engineering controls, work practices, and PPE so that employees are not exposed to levels which exceed PELs, or published exposure levels if there are no PELs, for hazardous substances.
(B) Air monitoring shall be used to identify and quantify airborne levels of hazardous substances, and health and safety hazards in order to determine the appropriate level of employee protection needed on site.
(2) Initial entry: Upon initial entry, representative air monitoring shall be conducted to identify any IDLH conditions, exposure over PELs or published exposure levels, exposure over a radioactive material's dose limits, or other dangerous situations such as the presence of flammable atmospheres or oxygen-deficient environments.
(3) Periodic monitoring: Periodic monitoring shall be conducted when the possibility of an IDLH condition or flammable atmosphere has developed or when there is indication that exposures may have risen over PELs or published exposure levels since prior monitoring. Situations where it shall be considered whether the possibility that exposures have risen are as follows:
(A) When work begins on a different portion of the site.
(B) When contaminants other than those previously identified are being handled.
(C) When a different type of operation is initiated (e.g., drum opening as opposed to exploratory well drilling).
(D) When employees are handling leaking drums or containers or working in areas with obvious liquid contamination (e.g., a spill or lagoon).
(4) Monitoring of high-risk employees: After the actual clean-up phase of any hazardous waste operation commences; for example, when soil, surface water or containers are moved or disturbed; the employer shall monitor those employees likely to have the highest exposures to hazardous substances and health hazards likely to be present above PELs or published exposure levels by using personal sampling frequently enough to characterize employee exposures.
If the employees likely to have the highest exposure are over PELs or published exposure levels, then monitoring shall continue in order to identify all employees likely to be above those limits. The employer may utilize a representative sampling approach by documenting that the employees and chemicals chosen for monitoring are based on the criteria stated above.
NOTE TO (h): It is not required to monitor employees engaged in site characterization operations covered by subsection (c) of this section.
(i) Informational Programs: Employers shall develop and implement a program, which is part of the employer's safety and health program required in subsection (b) of this section, to inform employees, contractors, and subcontractors (or their representatives) actually engaged in hazardous waste operations of the nature, level, and degree of exposure likely as a result of participation in such hazardous waste operations. Employees, contractors, and subcontractors working outside of the operations part of a site are not covered by this regulation.
(j) Handling Drums and Containers.
(1) General.
(A) Hazardous substances and contaminated soils, liquids, and other residues shall be handled, transported, labeled, and disposed of in accordance with this subsection.
(B) Drums and containers used during the clean-up shall meet the appropriate U.S. Department of Transportation (DOT), OSHA, and EPA regulations for the wastes that they contain.
(C) When practical, drums and containers shall be inspected and their integrity shall be assured prior to being moved. Drums or containers that cannot be inspected before being moved because of storage conditions (i.e., buried beneath the earth, stacked behind other drums, stacked several tiers high in a pile, etc.) shall be moved to an accessible location and inspected prior to further handling.
(D) Unlabeled drums and containers shall be considered to contain hazardous substances and handled accordingly until the contents are positively identified and labeled.
(E) Site operations shall be organized to minimize the amount of drum or container movement.
(F) Prior to movement of drums or containers, all employees exposed to the transfer operation shall be warned of the potential hazards associated with the contents of the drums or containers.
(G) U. S. Department of Transportation (DOT) specified salvage drums or containers and suitable quantities of proper absorbent shall be kept available and used in areas where spills, leaks, or ruptures may occur.
(H) Where major spills may occur, a spill containment program which is part of the employer's safety and health program required in subsection (b) of this section shall be implemented to contain and isolate the entire volume of the hazardous substance being transferred.
(I) Drums and containers that cannot be moved without rupture, leakage, or spillage shall be emptied into a sound container using a device classified for the material being transferred.
(J) A ground-penetrating system or other type of detection system or device shall be used to estimate the location and depth of buried drums or containers.
(K) Soil or covering material shall be removed with caution to prevent drum or container rupture.
(L) Fire extinguishing equipment meeting the requirements of 8 CCR, Ch. 4, Subch.7, Group 27 of the General Industry Safety Orders shall be on hand and ready for use to control incipient fires.
(2) Opening drums and containers: The following procedures shall be followed in areas where drums or containers are being opened:
(A) Where an airline respirator system is used, connections to the bank of air cylinders shall be protected from contamination and the entire system shall be protected from physical damage.
(B) Employees not actually involved in opening drums or containers shall be kept a safe distance from the drums or containers being opened.
(C) If employees must work near or adjacent to drums or containers being opened, a suitable shield that does not interfere with the work operation shall be placed between the employee and the drums or containers being opened to protect the employee in case of accidental explosion.
(D) Controls for drum or container opening equipment, monitoring equipment, and fire suppression equipment shall be located behind the explosion-resistant barrier.
(E) When there is a reasonable possibility of flammable atmosphere being present, material handling equipment and hand tools shall be of the type to prevent sources of ignition.
(F) Drums and containers shall be opened in such a manner that excess interior pressure will be safely relieved. If pressure cannot be relieved from a remote location, appropriate shielding shall be placed between the employee and the drums or containers to reduce the risk of employee injury.
(G) Employees shall be instructed not to stand upon or work from drums or containers.
(3) Material handling equipment: Material handling equipment used to transfer drums and containers shall be selected, positioned and operated to minimize sources of ignition related to the equipment from igniting vapors released from ruptured drums or containers.
(4) Radioactive wastes: Drums and containers containing radioactive wastes shall not be handled until such time as their hazard to employees is properly assessed.
(5) Shock sensitive wastes: As a minimum, the following special precautions shall be taken when drums and containers containing or suspected of containing shock-sensitive wastes are handled:
(A) All non-essential employees shall be evacuated from the area of transfer.
(B) Material handling equipment shall be provided with explosive containment devices or protective shields to protect equipment operators from exploding containers.
(C) An employee alarm system capable of being perceived above surrounding light and noise conditions shall be used to signal the commencement and completion of explosive waste handling activities.
(D) Continuous communications (i.e., portable radios, hand signals, telephones, as appropriate) shall be maintained between the employee-in-charge of the immediate handling area and both the site safety and health supervisor and the command post until such time as the handling operation is completed. Communication equipment or methods that could cause shock sensitive materials to explode shall not be used.
(E) Drums and containers under pressure, as evidenced by bulging or swelling, shall not be moved until such time as the cause for excess pressure is determined and appropriate containment procedures have been implemented to protect employees from explosive relief of the drum.
(F) Drums and containers containing packaged laboratory wastes shall be considered to contain shock-sensitive or explosive materials until they have been characterized.
CAUTION: Shipping of shock sensitive wastes may be prohibited under U. S. Department of Transportation (DOT) regulations. Employers and shippers should refer to 49 CFR 173.21 and 173.50.
(6) Laboratory waste packs: In addition to the requirements of subsection (j)(5), the following precautions shall be taken, as a minimum, in handling laboratory waste packs (lab packs).
(A) Lab packs shall be opened only when necessary and then only by an individual knowledgeable in the inspection, classification, and segregation of the containers within the pack according to the hazards of the wastes.
(B) If crystalline material is noted on any container, the contents shall be handled as a shock-sensitive waste until the contents are identified.
(7) Sampling of drum and container contents: Sampling of containers and drums shall be done in accordance with a sampling procedure which is part of the site safety and health plan developed for and available to employees and others at the specific worksite.
(8) Shipping and transport.
(A) Drums and containers shall be identified and classified prior to packaging for shipment.
(B) Drum or container staging areas shall be kept to the minimum number necessary to safely identify and classify materials and prepare them for transport.
(C) Staging areas shall be provided with adequate access and egress routes.
(D) Bulking of hazardous wastes shall be permitted only after a thorough characterization of the materials has been completed.
(9) Tank and vault procedures.
(A) Tanks and vaults containing hazardous substances shall be handled in a manner similar to that for drums and containers, taking into consideration the size of the tank or vault.
(B) Appropriate tank or vault entry procedures as described in the employer's safety and health plan and meeting the requirements of 8 CCR, Ch. 4, Subch. 7, Article 108 of the General Industry Safety Orders shall be followed whenever employees must enter a tank or vault.
(k) Decontamination.
(1) General: Procedures for all phases of decontamination shall be developed and implemented in accordance with this subsection.
(2) Decontamination procedures.
(A) A decontamination procedure shall be developed, communicated to employees, and implemented before any employees or equipment may enter areas on site where potential for exposure to hazardous substances exists.
(B) Standard operating procedures shall be developed to minimize employee contact with hazardous substances or with equipment that has contacted hazardous substances.
(C) All employees leaving a contaminated area shall be appropriately decontaminated; all contaminated clothing and equipment leaving a contaminated area shall be appropriately disposed of or decontaminated.
(D) Decontamination procedures shall be monitored by the site safety and health supervisor to determine their effectiveness. When such procedures are found to be ineffective, appropriate steps shall be taken to correct any deficiencies.
(3) Location: Decontamination shall be performed in geographical areas that will minimize the exposure of uncontaminated employees or equipment to contaminated employees or equipment.
(4) Equipment and solvents: All equipment and solvents used for decontamination shall be decontaminated or disposed of properly.
(5) Personal protective clothing and equipment.
(A) Protective clothing and equipment shall be decontaminated, cleaned, laundered, maintained, or replaced as needed to maintain its effectiveness.
(B) Employees whose non-impermeable clothing becomes wetted with hazardous substances shall immediately remove that clothing and proceed to shower. The clothing shall be disposed of or decontaminated before it is removed from the work zone.
(6) Unauthorized employees: Unauthorized employees shall be instructed not to remove protective clothing or equipment from change rooms.
(7) Commercial laundries or cleaning establishments: Commercial laundries or cleaning establishments that decontaminate protective clothing or equipment shall be informed of the potentially harmful effects of exposures to hazardous substances.
(8) Showers and change rooms: Where the decontamination procedure indicates a need for regular showers and change rooms outside of a contaminated area, they shall be provided and meet the requirements of 8 CCR, Ch. 4, Subch. 7, Article 9 of the General Industry Safety Orders. If temperature conditions prevent the effective use of water, then other effective means for cleansing shall be provided and used.
(l) Emergency Response by Employees at Uncontrolled Hazardous Waste Sites.
(1) Emergency response plan.
(A) An emergency response plan shall be developed and implemented by all employers within the scope of subsections (a)(1)(A)-(B) of this section to handle anticipated emergencies prior to the commencement of hazardous waste operations. The plan shall be in writing and available for inspection and copying by employees, their representatives, Division personnel, and other governmental agencies with relevant responsibilities.
(B) Employers who will evacuate their employees from the danger area when an emergency occurs, and who do not permit any of their employees to assist in handling the emergency, are exempt from the requirements of this subsection if they provide an emergency action plan complying with 8 CCR 3220 of the General Industry Safety Orders.
(2) Elements of an emergency response plan: The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following:
(A) Pre-emergency planning.
(B) Personnel roles, lines of authority, and communication.
(C) Emergency recognition and prevention.
(D) Safe distances and places of refuge.
(E) Site security and control.
(F) Evacuation routes and procedures.
(G) Decontamination procedures which are not covered by the site safety and health plan.
(H) Emergency medical treatment and first aid.
(I) Emergency alerting and response procedures.
(J) Critique of response and follow-up.
(K) Personal protective equipment (PPE) and emergency equipment.
(3) Procedures for handling emergency incidents.
(A) In addition to the elements for the emergency response plan required in subsection (l)(2), the following elements shall be included for emergency response plans:
1. Site topography, layout, and prevailing weather conditions.
2. Procedures for reporting incidents to local, state, and federal governmental agencies.
(B) The emergency response plan shall be a separate section of the Site Safety and Health Plan.
(C) The emergency response plan shall be compatible and integrated with the disaster, fire and/or emergency response plans of local, state, and federal agencies.
(D) The emergency response plan shall be rehearsed regularly as part of the overall training program for site operations.
(E) The site emergency response plan shall be reviewed periodically and, as necessary, be amended to keep it current with new or changing site conditions or information.
(F) An employee alarm system shall be installed in accordance with 8 CCR, Ch. 4, Subch. 7, Article 165 of the General Industry Safety Orders to notify employees of an emergency situation, to stop work activities if necessary, to lower background noise in order to speed communication, and to begin emergency procedures.
(G) Based upon the information available at time of the emergency, the employer shall evaluate the incident and the site response capabilities and proceed with the appropriate steps to implement the site emergency response plan.
(m) Illumination: Areas accessible to employees shall be lighted to not less than the minimum illumination intensities listed in Table H-1 while any work is in progress:

Table H-1

Minimum Illumination Intensities in Foot-Candles

	Foot candles	Area or operations
	5	General site areas.
	3	Excavation and waste areas, accessways, active storage areas, loading platforms, refueling, and field maintenance areas.
	5	Indoors: Warehouses, corridors, hallways, and exitways.
	5	Tunnels, shafts, and general underground work areas. (EXCEPTION: Minimum of 10 foot- candles is required at tunnel and shaft heading during drilling, mucking, and scaling. Mine Safety and Health Administration approved cap lights shall be acceptable for use in the tunnel heading.)
	10	General shops (e.g., mechanical and electrical equipment rooms, active storerooms, barracks or living quarters, locker or dressing rooms, dining areas, and indoor toilets and workrooms.)
	30	First aid stations, infirmaries, and offices.
(n) Sanitation at Temporary Workplaces.
(1) Potable water.
(A) An adequate supply of potable water shall be provided on the site.
(B) Portable containers used to dispense drinking water shall be capable of being tightly closed and equipped with a tap, and shall be otherwise designed, constructed, and serviced so that sanitary conditions are maintained. Water shall not be dipped from containers.
(C) Any container used to store, dispense, or distribute drinking water shall be clearly marked as to the nature of its contents and not used for any other purpose.
(D) Where single service cups (to be used but once) are supplied, both a sanitary container for the unused cups and a receptacle for disposing of the used cups shall be provided.
(2) Nonpotable water.
(A) Outlets for nonpotable water, such as water for industrial or firefighting purposes, shall be identified to indicate clearly that the water is unsafe and is not to be used for drinking, washing, or cooking purposes.
(B) There shall be no cross-connection, open or potential, between a system furnishing potable water and a system furnishing nonpotable water.
(3) Toilet facilities.
(A) A minimum of one separate toilet facility shall be provided for each 20 employees or fraction thereof of each sex. Such facilities may include both toilets and urinals provided that the number of toilets shall not be less than one half of the minimum required number of facilities.

EXCEPTION: Where there are less than 5 employees, separate toilet facilities for each sex are not required provided the toilet facilities can be locked from the inside and contain at least one toilet.
(B) Under temporary field conditions, provisions shall be made to assure that at least one toilet facility is available.
(C) Hazardous waste sites, not provided with a sanitary sewer, shall be provided with the following toilet facilities unless prohibited by local codes:
1. Chemical toilets;
2. Recirculating toilets;
3. Combustion toilets; or
4. Flush toilets.
(D) The requirements of this subsection for sanitation facilities shall not apply to mobile crews having transportation readily available to nearby toilet facilities.
(E) Doors entering toilet facilities shall be provided with entrance locks controlled from inside the facility.
(F) Toilet facilities shall be kept clean, maintained in good working order, and provided with an adequate supply of toilet paper.
(4) Food handling: All food service facilities and operations for employees shall meet the applicable laws, ordinances, and regulations of the jurisdictions in which they are located.
(5) Temporary sleeping quarters: When temporary sleeping quarters are provided, they shall be heated, ventilated, and lighted.
(6) Washing facilities: The employer shall provide adequate washing facilities for employees engaged in operations where hazardous substances may be harmful to employees. Such facilities shall be in near proximity to the worksite; in areas where exposures are below PELs and published exposure levels and which are under the control of the employer; and shall be so equipped as to enable employees to remove hazardous substances from themselves.
(7) Showers and change rooms: When hazardous waste clean-up or removal operations commence on a site and the duration of the work will require six months or greater time to complete, the employer shall provide showers and change rooms for all employees exposed to hazardous substances and health hazards involved in hazardous waste clean-up or removal operations.
(A) Showers shall be provided and shall meet the requirements of 8 CCR 3366(f).
(B) Change rooms shall be provided and shall meet the requirements of 8 CCR 3367. Change rooms shall consist of two separate change areas separated by the shower area required in subsection (n)(7)(A) of this section. One change area, with an exit leading off the worksite, shall provide employees with a clean area where they can remove, store, and put on street clothing. The second area, with an exit to the worksite, shall provide employees with an area where they can put on, remove, and store work clothing and personal protective equipment.
(C) Showers and change rooms shall be located in areas where exposures are below the PELs and published exposure levels. If this cannot be accomplished, then a ventilation system shall be provided that will supply air that is below the PELs and published exposure levels.
(D) Employers shall assure that employees shower at the end of their work shift and when leaving the hazardous waste site.
(o) New Technology Programs.
(1) The employer shall develop and implement procedures for the introduction of effective new technologies and equipment developed for the improved protection of employees working with hazardous waste clean-up operations, and the same shall be implemented as part of the site safety and health program to assure that employee protection is being maintained.
(2) New technologies, equipment, or control measures available to the industry, such as the use of foams, absorbents, adsorbents, neutralizers, or other means to suppress the level of air contaminants while excavating the site or for spill control, shall be evaluated by employers or their representatives. Such an evaluation shall be done to determine the effectiveness of the new methods, materials, or equipment before implementing their use on a large scale for enhancing employee protection. Information and data from manufacturers or suppliers may be used as part of the employer's evaluation effort. Such evaluations shall be made available to the Division upon request.
(p) Certain Operations Conducted Under the Resource Conservation and Recovery Act of 1976 (RCRA): Employers conducting operations at treatment, storage, and disposal (TSD) facilities specified in subsection (a)(1)(D) of this section shall provide and implement the programs specified in this subsection. (See the “NOTES AND EXCEPTIONS” to subsection (a)(2)(C) of this section for employers not covered.)
(1) Safety and health program: The employer shall develop and implement a written safety and health program for employees involved in hazardous waste operations that shall be available for inspection by employees, their representatives, and Division personnel. The program shall be designed to identify, evaluate, and control safety and health hazards in their facilities for the purpose of employee protection; to provide for emergency response meeting the requirements of subsection (p)(8) of this section; and to address as appropriate site analysis, engineering controls, maximum exposure limits, hazardous waste handling procedures, and uses of new technologies.
(2) Hazard communication program: The employer shall implement a hazard communication program meeting the requirements of 8 CCR 5194 as part of the employer's safety and health program.
NOTE TO 8 CCR 5192: The exemption for hazardous waste provided in 8 CCR 5194 is applicable to this section.
(3) Medical surveillance program: The employer shall develop and implement a medical surveillance program meeting the requirements of subsection (f) of this section.
(4) Decontamination program: The employer shall develop and implement a decontamination procedure in accordance with subsection (k) of this section.
(5) New technology program: The employer shall develop and implement procedures meeting the requirements of subsection (o) of this section for introducing new and innovative equipment into the workplace.
(6) Material handling program: Where employees will be handling drums or containers, the employer shall develop and implement procedures meeting the requirements of subsections (j)(1)(B) through (H), and (K) of this section, as well as (j)(3) and (j)(8) of this section prior to starting such work.
(7) Training program.
(A) New employees: The employer shall develop and implement a training program, which is part of the employer's safety and health program, for employees exposed to health hazards or hazardous substances at TSD operations to enable employees to perform their assigned duties and functions in a safe and healthful manner so as not to endanger themselves or other employees. The initial training shall be for 24 hours and refresher training shall be for eight hours annually. Employees who have received the initial training required by this subsection shall be given a written certificate attesting that they have successfully completed the necessary training.
(B) Current employees: Employers who can show by an employee's previous work experience and/or training that the employee has had training equivalent to the initial training required by this subsection, shall be considered as meeting the initial training requirements of this subsection with respect to that employee. Equivalent training includes the training that existing employees might have already received from actual site work experience. Current employees shall receive eight hours of refresher training annually.
(C) Trainers: Trainers who teach initial training shall have satisfactorily completed a training course for teaching the subjects they are expected to teach, or they shall have the academic credentials and instruction experience necessary to demonstrate a good command of the subject matter of the courses and competent instructional skills.
(8) Emergency response program.
(A) Emergency response plan: An emergency response plan shall be developed and implemented by all employers. Such plans need not duplicate any of the subjects fully addressed in the employer's contingency planning required by permits, such as those issued by the U. S. Environmental Protection Agency, provided that the contingency plan is made part of the emergency response plan. The emergency response plan shall be a written portion of the employer's safety and health program required in subsection (p)(1) of this section. Employers who will evacuate their employees from the worksite location when an emergency occurs and who do not permit any of their employees to assist in handling the emergency are exempt from the requirements of subsection (p)(8) if they provide an emergency action plan complying with 8 CCR 3220.
(B) Elements of an emergency response plan: The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following areas to the extent that they are not addressed in any specific program required in this subsection:
1. Pre-emergency planning and coordination with outside parties.
2. Personnel roles, lines of authority, and communication.
3. Emergency recognition and prevention.
4. Safe distances and places of refuge.
5. Site security and control.
6. Evacuation routes and procedures.
7. Decontamination procedures.
8. Emergency medical treatment and first aid.
9. Emergency alerting and response procedures.
10. Critique of response and follow-up.
11. Personal protective equipment (PPE) and emergency equipment.
(C) Training.
1. Training for emergency response employees shall be completed before they are called upon to perform in real emergencies. Such training shall include the elements of the emergency response plan, standard operating procedures the employer has established for the job, the PPE to be worn and procedures for handling emergency incidents.

EXCEPTION #1: An employer need not train all employees to the degree specified if the employer divides the work force in a manner such that a sufficient number of employees who have responsibility to control emergencies have the training specified, and all other employees, who may first respond to an emergency incident, have sufficient awareness training to recognize that an emergency response situation exists and that they are instructed in that case to summon the fully trained employees and not attempt control activities for which they are not trained.

EXCEPTION #2: An employer need not train all employees to the degree specified if arrangements have been made in advance for an outside fully-trained emergency response team to respond in a reasonable period and all employees, who may come to the incident first, have sufficient awareness training to recognize that an emergency response situation exists and they have been instructed to call the designated outside fully-trained emergency response team for assistance. 
2. Employee members of TSD facility emergency response organizations shall be trained to a level of competence in the recognition of health and safety hazards to protect themselves and other employees. This would include training in the methods used to minimize the risk from safety and health hazards; in the safe use of control equipment; in the selection and use of appropriate personal protective equipment; in the safe operating procedures to be used at the incident scene; in the techniques of coordination with other employees to minimize risks; in the appropriate response to over- exposure from health hazards or injury to themselves and other employees; and in the recognition of subsequent symptoms which may result from over-exposures.
3. The employer shall certify that each covered employee has attended and successfully completed the training required in subsection (p)(8)(C) of this section, or shall certify the employee's competency at least yearly. The method used to demonstrate competency for certification of training shall be recorded and maintained by the employer.
(D) Procedures for handling emergency incidents.
1. In addition to the elements for the emergency response plan required in subsection (p)(8)(B) of this section, the following elements shall be included for emergency response plans to the extent that they do not repeat any information already contained in the emergency response plan:
a. Site topography, layout, and prevailing weather conditions.
b. Procedures for reporting incidents to local, state, and federal governmental agencies.
2. The emergency response plan shall be compatible and integrated with the disaster, fire and/or emergency response plans of local, state, and federal agencies.
3. The emergency response plan shall be rehearsed regularly as part of the overall training program for site operations.
4. The site emergency response plan shall be reviewed periodically and, as necessary, be amended to keep it current with new or changing site conditions or information.
5. An employee alarm system shall be installed in accordance with 8 CCR 6184 to notify employees of an emergency situation; to stop work activities if necessary; to lower background noise in order to speed communication; and to begin emergency procedures.
6. Based upon the information available at time of the emergency, the employer shall evaluate the incident and the site response capabilities and proceed with the appropriate steps to implement the site emergency response plan.
(q) Emergency Response to Hazardous Substance Releases: This subsection covers employers whose employees are engaged in emergency response no matter where it occurs except that it does not cover employees engaged in operations specified in subsections (a)(1)(A) through (a)(1)(D) of this section. Those emergency response organizations who have developed and implemented programs equivalent to this subsection for handling releases of hazardous substances pursuant to Section 303 of the Superfund Amendments and Reauthorization Act of 1986 (Emergency Planning and Community Right-to-Know Act of 1986, 42 U.S.C. 11003) shall be deemed to have met the requirements of this subsection.
(1) Emergency response plan: An emergency response plan shall be developed and implemented to handle anticipated emergencies prior to the commencement of emergency response operations. The plan shall be in writing and available for inspection and copying by employees, their representatives, and Division personnel. Employers who will evacuate their employees from the danger area when an emergency occurs, and who do not permit any of their employees to assist in handling the emergency, are exempt from the requirements of this subsection if they provide an emergency action plan in accordance with 8 CCR 3220.
(2) Elements of an emergency response plan: The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following to the extent that they are not addressed elsewhere:
(A) Pre-emergency planning and coordination with outside parties.
(B) Personnel roles, lines of authority, training, and communication.
(C) Emergency recognition and prevention.
(D) Safe distances and places of refuge.
(E) Site security and control.
(F) Evacuation routes and procedures.
(G) Decontamination.
(H) Emergency medical treatment and first aid.
(I) Emergency alerting and response procedures.
(J) Critique of response and follow-up.
(K) Personal protective equipment (PPE) and emergency equipment.
(L) Emergency response organizations may use the local emergency response plan or the state emergency response plan or both, as part of their emergency response plan, to avoid duplication. Those items of the emergency response plan that are being properly addressed by the SARA Title III plans may be substituted into their emergency plan or otherwise kept together for the employer and employee's use.
(3) Procedures for handling emergency response.
(A) The senior emergency response official who has ultimate site control responsibility shall confirm that the Incident Command System (ICS) is in place and the position of Incident Commander (IC) instituted.

All emergency responders and their communications shall be coordinated and controlled through the ICS.
NOTE TO (q)(3)(A): The “senior official” at an emergency response is the most senior official on the site who has the responsibility for controlling the operations at the site until the emergency response official who is determined to have ultimate incident control authority arrives. Initially it is the senior officer on the first-due piece of responding emergency apparatus to arrive on the incident scene, usually a police or fire vehicle. As more senior officials arrive the position is passed up the line of authority which has been previously established. As there may be several separate spheres of responsibility at a given site (police, fire, CalTrans, for example), there may be several “senior officials,” each responsible for his/her own employees. The “senior emergency response official” who will have ultimate site control responsibility is established in the Hazardous Material Incident Contingency Plan for the State of California (January 1991), promulgated by the State Office of Emergency Services (OES) as directed by Health and Safety Code, Sec. 25503 (HS 25503), and California Code of Regulations, Title 19, Division 2 (19 CCR, Div. 2: Office of Emergency Services) and in coordination with the various city and county, i.e., area emergency response plans.
(B) The individual in charge of the ICS shall identify, to the extent possible, all hazardous substances or conditions present and shall address as appropriate site analysis, use of engineering controls, maximum exposure limits, hazardous substance handling procedures, and use of any new technologies.
(C) Based on the hazardous substances and/or conditions present, the individual in charge of the ICS shall implement appropriate emergency operations, and assure that the PPE worn is appropriate for the hazards to be encountered. However, PPE shall meet, at a minimum, the criteria contained in 8 CCR 3401-3408 when worn while performing fire fighting operations beyond the incipient stage for any incident.
(D) Employees engaged in emergency response and exposed to hazardous substances presenting an inhalation hazard or potential inhalation hazard shall wear positive pressure self-contained breathing apparatus (SCBA) while engaged in emergency response, until such time that the individual in charge of the ICS determines through the use of air monitoring that a decreased level of respiratory protection will not result in hazardous exposures to employees.
(E) The individual in charge of the ICS shall limit the number of emergency response personnel at the emergency site in those areas of potential or actual exposure to incident or site hazards, to those who are actively performing emergency operations. However, operations in hazardous areas shall be performed using the buddy system in groups of two or more.
(F) Back-up personnel shall stand by with equipment ready to provide assistance or rescue, and shall not engage in activities that will detract from that mission. Back-up personnel shall be protected, at a minimum, as the same level as the entry team. Advance first aid support personnel, at a minimum, shall also stand by with medical equipment and transportation capability.
(G) The individual in charge of the ICS shall designate a safety official, who is knowledgeable in the operations being implemented at the emergency response site, with specific responsibility to identify and evaluate hazards and to provide direction with respect to the safety of operations for the emergency at hand.
(H) When activities are judged by the safety official to be an IDLH condition and/or to involve an imminent danger condition, the safety official shall have the authority to alter, suspend, or terminate those activities. The safety official shall immediately inform the individual in charge of the ICS of any actions needed to be taken to correct these hazards at the emergency scene.
(I) After emergency operations have terminated, the individual in charge of the ICS shall implement appropriate decontamination procedures.
(J) When deemed necessary for meeting the tasks at hand, approved SCBA may be used with approved cylinders from other approved SCBA, provided that such cylinders are of the same capacity and pressure rating. All compressed air cylinders used with SCBA shall meet U. S. Department of Transportation (DOT) and National Institute for Occupational Safety and Health (NIOSH) criteria.
(4) Skilled support personnel: Personnel, not necessarily an employer's own employees, who are skilled in the operation of certain equipment, such as mechanized earth moving or digging equipment or crane and hoisting equipment, and who are needed temporarily to perform immediate emergency support work that cannot reasonably be performed in a timely fashion by an employer's own employees, and who will be or may be exposed to the hazards at an emergency response scene, are not required to meet the training required in this subsection for the employer's regular employees.
However, these personnel shall be given an initial briefing at the site prior to their participation in any emergency response. The initial briefing shall include instruction in the wearing of appropriate personal protective equipment, what chemical hazards are involved, and what duties are to be performed. All other appropriate safety and health precautions provided to the employer's own employees shall be used to assure the safety and health of these support personnel.
(5) Specialist employees: Employees who, in the course of their regular job duties, work with and are trained in the hazards of specific hazardous substances, and who will be called upon to provide technical advice or assistance at a hazardous substance release incident to the individual in charge, shall receive training or demonstrate competency in the area of their specialization annually.
(6) Training: Training shall be based on the duties and function to be performed by each responder of an emergency response organization. The skill and knowledge levels required for all new responders (those hired after the effective date of this standard) shall be conveyed to them through training before they are permitted to take part in actual emergency operations on an incident. Employees who participate, or are expected to participate, in emergency response, shall be given training in accordance with the following subsections:
(A) First Responder, Awareness Level (FRA): First responders at the awareness level are individuals who are likely to witness or discover a hazardous substance release and who have been trained to initiate an emergency response sequence by notifying the proper authorities of the release. They would take no further action beyond notifying the authorities of the release. First responders at the awareness level shall have sufficient training or have had sufficient experience to objectively demonstrate competency in the following areas:
1. An understanding of what hazardous substances are, and the risks associated with them in an incident.
2. An understanding of the potential outcomes associated with an emergency created when hazardous substances are present.
3. The ability to recognize the presence of hazardous substances in an emergency.
4. The ability to identify the hazardous substances, if possible.
5. An understanding of the role of the first responder awareness individual in the employer's emergency response plan (including site security and control), and the U. S. Department of Transportation's Emergency Response Guidebook.
6. The ability to realize the need for additional resources, and to make appropriate notifications to the communication center.
(B) First Responder, Operations Level (FRO): First responders at the operations level are individuals who respond to releases or potential releases of hazardous substances as part of the initial response to the site for the purpose of protecting nearby persons, property, or the environment from the effects of the release. They are trained to respond in a defensive fashion without actually trying to stop the release. Their function is to contain the release from a safe distance, keep it from spreading, and prevent exposures. First responders at the operational level shall have received at least eight hours of training or have had sufficient experience to objectively demonstrate competency in the following areas in addition to those listed for the awareness level; and the employer shall so certify:
1. Knowledge of the basic hazard and risk assessment techniques.
2. Know how to select and use proper PPE provided to the first responder operational level.
3. An understanding of basic hazardous materials terms.
4. Know how to perform basic control, containment, and/or confinement operations and rescue injured or contaminated persons within the capabilities of the resources and PPE available with their unit.
5. Know how to implement basic equipment, victim, and rescue personnel decontamination procedures.
6. An understanding of the relevant standard operating procedures and termination procedures.
(C) Hazardous Materials Technician: Hazardous materials technicians are individuals who respond to releases or potential releases of hazardous substances for the purpose of stopping the release. They assume a more aggressive role than a first responder at the operations level in that they will approach the point of release in order to plug, patch, or otherwise stop the release of a hazardous substance. Hazardous materials technicians shall have received at least 24 hours of training of which 8 hours shall be equivalent to the first responder operations level and in addition have competency in the following areas; and the employer shall so certify:
1. Know how to implement the employer's emergency response plan.
2. Know the classification, identification, and verification of known and unknown materials by using field survey instruments and equipment.
3. Be able to function within an assigned role in the ICS.
4. Know how to select and use proper specialized chemical PPE provided to the hazardous materials technician.
5. Understand hazard and risk assessment techniques.
6. Be able to perform advanced control, containment, and/or confinement operations and rescue injured or contaminated persons within the capabilities of the resources and PPE available with the unit.
7. Understand and implement equipment, victim, and rescue personnel decontamination procedures.
8. Understand termination procedures.
9. Understand basic chemical and toxicological terminology and behavior.
(D) Hazardous Materials Specialist: Hazardous materials specialists are individuals who respond with and provide support to hazardous materials technicians. Their duties parallel those of the hazardous materials technician, however, those duties require a more directed or specific knowledge of the various substances they may be called upon to contain. The hazardous materials specialist would also act as the site liaison with Federal, state, local, and other government authorities in regards to site activities. Hazardous materials specialists shall have received at least 24 hours of training equal to the technician level and in addition have competency in the following areas; and the employer shall so certify:
1. Know how to implement the local emergency response plan.
2. Understand classification, identification and verification of known and unknown materials by using advanced survey instruments and equipment.
3. Know of the state emergency response plan.
4. Be able to select and use proper specialized chemical PPE provided to the hazardous materials specialist.
5. Understand in-depth hazard and risk techniques.
6. Be able to perform specialized control, containment, and/or confinement operations within the capabilities of the resources and PPE available.
7. Be able to determine and implement decontamination procedures.
8. Have the ability to develop a site safety and health control plan.
9. Understand chemical, radiological, and toxicological terminology and behavior.
(E) Incident Commander/On-scene Manager: Incident commanders, who will assume control of the incident scene beyond the first responder awareness level, shall receive at least 24 hours of training equal to the first responder operations level and in addition have competency in the following areas; and the employer shall so certify:
1. Know and be able to implement the employer's incident command system.
2. Know how to implement the employer's emergency response plan.
3. Know and understand the hazards and risks associated with employees working in chemical protective clothing.
4. Know how to implement the local emergency response plan.
5. Know of the state emergency response plan and of the Federal Regional Response Team.
6. Know and understand the importance of decontamination procedures.
NOTE TO (q)(6)(E): Management personnel who, during an emergency situation, stay out of the hazardous area and who are not taking charge of the incident, and are not a “specialist” employee under subsection (q)(5) of this section are not subject to the provisions of this section.
(7) Trainers: Trainers who teach any of the above training subjects shall have satisfactorily completed a training course for teaching the subjects they are expected to teach, such as the courses offered by the California Specialized Training Institute, the California State Fire Marshal's Office, the University of California, or the U. S. National Fire Academy; or they shall have the training and/or academic credentials and instructional experience necessary to demonstrate competent instructional skills and a good command of the subject matter of the courses they are to teach.
(8) Refresher training.
(A) Those employees who are trained in accordance with subsection (q)(6) of this section shall receive annual refresher training of sufficient content and duration to maintain their competencies, or shall demonstrate competency in those areas at least yearly.
(B) A statement shall be made of the training or competency; and if a statement of competency is made, the employer shall keep a record of the methodology used to demonstrate competency.
(9) Medical surveillance and consultation.
(A) Members of an organized and designated HAZMAT team, and hazardous materials specialists shall receive a baseline physical examination and be provided with medical surveillance as required in subsection (f) of this section.
(B) Any emergency response employee who exhibits signs or symptoms which may have resulted from exposure to hazardous substances during the course of an emergency incident, either immediately or subsequently, shall be provided with medical consultation as required in subsection (f)(3)(B) of this section.
(10) Chemical protective clothing: Chemical protective clothing and equipment to be used by organized and designated HAZMAT team members, or to be used by hazardous materials specialists shall meet the requirements of subsections (g)(3) through (5) of this section.
(11) Post-emergency response operations: Upon completion of the emergency response, if it is determined that it is necessary to remove hazardous substances, health hazards, and materials contaminated with them (such as contaminated soil or other elements of the natural environment) from the site of the incident, the employer conducting the clean-up shall comply with one of the following:
(A) Meet all of the requirements of subsections (b) through (o) of this section; or
(B) Where the clean-up is done on plant property using plant or workplace employees, such employees shall have completed the training requirements of the following: 8 CCR 3220, 8 CCR 5144, 8 CCR 5194, and other appropriate safety and health training made necessary by the tasks that they are expected to perform such as the use of PPE, and decontamination procedures. All equipment to be used in the performance of the clean-up work shall be in serviceable condition and shall have been inspected prior to use.
NOTE

Authority cited: Sections 142.3 and 142.7, Labor Code. Reference: Sections 142.3 and 142.7, Labor Code.
HISTORY

1. New section including Appendices A-D filed 8-26-91; operative 9-25-91 (Register 92, No. 12).
2. Amendment of definition of “Hazardous substance” filed 9-4-2012; operative 10-4-2012 (Register 2012, No. 36).

Appendices to 5192

Hazardous Waste Operations and Emergency Response
Note: The following appendices serve as non-mandatory guidelines to assist employees and employers in complying with the appropriate requirements of this section. However, subsection 5192(g) makes mandatory in certain circumstances the use of Level A and Level B PPE protection.

Appendix A

Personal Protective Equipment (PPE) Test Methods
(Non-Mandatory)
This appendix sets forth the non-mandatory examples of tests which may be used to evaluate compliance with subsections (g)(4)(B) and (C). Other tests and other challenge agents may be used to evaluate compliance.
A. Totally-encapsulating chemical protective suit pressure test.
1.0 -- Scope.
1.1 This practice measures the ability of a gas tight totally- encapsulating chemical protective suit material, seams, and closures to maintain a fixed positive pressure. The results of this practice allow the gas tight integrity of a totally-encapsulating chemical protective suit to be evaluated.
1.2 Resistance of the suit materials to permeation, penetration, and degradation by specific hazardous substances is not determined by this test method.
2.0 -- Definition of terms.
2.1 “Totally-encapsulated chemical protective suit (TECP suit)” means a full body garment which is constructed of protective clothing materials; covers the wearer's torso, head, arms, legs and respirator; may cover the wearer's hands and feet with tightly attached gloves and boots; completely encloses the wearer and respirator by itself or in combination with the wearer's gloves and boots.
2.2 “Protective clothing material” means any material or combination of materials used in an item of clothing for the purpose of isolating parts of the body from direct contact with potentially hazardous liquid or gaseous chemicals.
2.3 “Gas tight” means, for the purpose of this test method, the limited flow of a gas under pressure from the inside of a TECP suit to atmosphere at a prescribed pressure and time interval.
3.0 -- Summary of test method.
3.1 The TECP suit is visually inspected and modified for the test. The test apparatus is attached to the suit to permit inflation to the pre-test suit expansion pressure for removal of suit wrinkles and creases. The pressure is lowered to the test pressure and monitored for three minutes. If the pressure drop is excessive, the TECP suit fails the test and is removed from service. The test is repeated after leak location and repair.
4.0 -- Required Supplies.
4.1 Source of compressed air.
4.2 Test apparatus for suit testing including a pressure measurement device with a sensitivity of at least 1/4 inch water gauge.
4.3 Vent valve closure plugs or sealing tape.
4.4 Soapy water solution and soft brush.
4.5 Stop watch or appropriate timing device.
5.0 -- Safety Precautions.
5.1 Care shall be taken to provide the correct pressure safety devices required for the source of compressed air used.
6.0 -- Test procedure.
6.1 Prior to each test, the tester shall perform a visual inspection of the suit. Check the suit for seam integrity by visually examining the seams and gently pulling on the seams. Ensure that all air supply lines, fittings, visor, zippers, and valves are secure and show no signs of deterioration.
6.1.1 Seal off the vent valves along with any other normal inlet or exhaust points (such as umbilical air line fittings or face piece opening) with tape or other appropriate means (caps, plugs, fixture, etc.). Care should be exercised in the sealing process not to damage any of the suit components.
6.1.2 Close all closure assemblies.
6.1.3 Prepare the suit for inflation by providing an improvised connection point on the suit for connecting an airline. Attach the pressure test apparatus to the suit to permit suit inflation from a compressed air source equipped with a pressure indicating regulator. The leak tightness of the pressure test apparatus should be tested before and after each test by closing off the end of the tubing attached to the suit and assuring a pressure of three inches water gauge for three minutes can be maintained. If a component is removed for the test, that component shall be replaced and a second test conducted with another component removed to permit a complete test of the ensemble.
6.1.4 The pre-test expansion pressure (A) and the suit test pressure (B) shall be supplied by the suit manufacturer but in no case shall they be less than: (A) = 3 inches water gauge; and (B) = 2 inches water gauge. The ending suit pressure (C) shall be no less than 80 percent of the test pressure (B); i.e., the pressure drop shall not exceed 20 percent of the test pressure (B).
6.1.5 Inflate the suit until the pressure inside is equal to pressure (A), the pre-test expansion suit pressure. Allow at least one minute to fill out the wrinkles in the suit. Release sufficient air to reduce the suit pressure to pressure (B), the suit test pressure. Begin timing. At the end of three minutes, record the suit pressure as pressure (C), the ending suit pressure. The difference between the suit test pressure and the ending suit test pressure (B-C) shall be defined as the suit pressure drop.
6.1.6 If the suit pressure drop is more than 20 percent of the suit test pressure (B) during the three-minute test period, the suit fails the test and shall be removed from service.
7.0 -- Retest Procedure.
7.1 If the suit fails the test, check for leaks by inflating the suit to pressure (A) and brushing or wiping the entire suit (including seams, closures, lens gaskets, glove-to-sleeve joints, etc.) with a mild soap and water solution. Observe the suit for the formation of soap bubbles, which is an indication of a leak. Repair all identified leaks.
7.2 Retest the TECP suit as outlined in Test Procedure 6.0.
8.0 -- Report.
8.1 Each TECP suit tested by this practice shall have the following information recorded:
8.1.1 Unique identification number identifying brand name, date of purchase, material of construction, and unique fit features, e.g., special breathing apparatus.
8.1.2 The actual values for test pressures (A), (B), and (C) shall be recorded along with the specific observation times. If the ending pressure (C) is less than 80 percent of the test pressure (B), the suit shall be identified as failing the test. When possible, the specific leak location shall be identified in the test records. Retest pressure data shall be recorded as an additional test.
8.1.3 The source of the test apparatus used shall be identified and the sensitivity of the pressure gauge shall be recorded.
8.1.4 Records shall be kept for each pressure test even if repairs are being made at the test location.

CAUTION
Visually inspect all parts of the suit to be sure they are positioned correctly and secured tightly before putting the suit back into service. Special care should be taken to examine each exhaust valve to make sure it is not blocked.
Care should also be exercised to assure that the inside and outside of the suit is completely dry before it is put into storage.
B. Totally-encapsulated chemical protective suit qualitative leak test.
1.0 -- Scope.
1.1 This practice semi-qualitatively tests gas tight totally- encapsulating chemical protective suit integrity by detecting inward leakage of ammonia vapor. Since no modifications are made to the suit to carry out this test, the results from this practice provide a realistic test for the integrity of the entire suit.
1.2 Resistance of the suit materials to permeation, penetration, and degradation is not determined by this test method. ASTM test methods are available to test suit materials for these characteristics and the tests are usually conducted by the manufacturers of the suits.
2.0 - Definition of terms.
2.1 “Totally-encapsulated chemical protective suit (TECP suit)” means a full body garment which is constructed of protective clothing materials; covers the wearer's torso, head, arms, legs and respirator; may cover the wearer's hands and feet with tightly attached gloves and boots; completely encloses the wearer and respirator by itself or in combination with the wearer's gloves and boots.
2.2 “Protective clothing material” means any material or combination of materials used in an item of clothing for the purpose of isolating parts of the body from direct contact with potentially hazardous liquid or gaseous chemicals.
2.3 “Gas tight” means, for the purpose of this test method, the limited flow of a gas under pressure from the inside of a TECP suit to atmosphere at a prescribed pressure and time interval.
2.4 “Intrusion Coefficient” means a number expressing the level of protection provided by a gas tight totally-encapsulating chemical protective suit. The intrusion coefficient is calculated by dividing the test room challenge agent concentration by the concentration of challenge agent found inside the suit. The accuracy of the intrusion coefficient is dependent on the challenge agent monitoring methods. The larger the intrusion coefficient the greater the protection provided by the TECP suit.
3.0 -- Summary of recommended practice.
3.1 The volume of concentrated aqueous ammonia solution (ammonium hydroxide, NH4OH) required to generate the test atmosphere is determined using the directions outlined in 6.1. The suit is donned by a person wearing the appropriate respiratory equipment (either positive-pressure self-contained breathing apparatus or a positive-pressure supplied air respirator) and worn inside the enclosed test room. The concentrated aqueous ammonia solution is taken by the suited individual into the test room and poured into an open plastic pan. A two-minute evaporation period is observed before the test room concentration is measured using a high range ammonia length of stain detector tube. When the ammonia vapor reaches a concentration of between 1000 and 1200 ppm, the suited individual starts a standardized exercise protocol to stress and flex the suit. After this protocol is completed, the test room concentration is measured again. The suited individual exits the test room and his stand-by person measures the ammonia concentration inside the suit using a low range ammonia length of stain detector tube or other more sensitive ammonia detector.
A stand-by person is required to observe the test individual during the test procedure; aid the person in donning and doffing the TECP suit; and monitor the suit interior. The intrusion coefficient of the suit can be calculated by dividing the average test area concentration by the interior suit concentration. A colorimetric ammonia indicator strip of bromophenol blue or equivalent is placed on the inside of the suit face piece lens so that the suited individual is able to detect a color change and know if the suit has a significant leak. If a color change is observed the individual shall leave the test room immediately.
4.0 -- Required supplies.
4.1 A supply of concentrated aqueous ammonium hydroxide (58% ammonia by weight).
4.2 A supply of bromophenol blue indicating paper or equivalent, sensitive to 5-10 ppm ammonia or greater over a two-minute period of exposure. (pH 3.0 (yellow) to pH 4.6 (blue))
4.3 A supply of high range (0.5-10 volume percent) and low range (5-700 ppm) detector tubes for ammonia and the corresponding sampling pump. More sensitive ammonia detectors can be substituted for the low range detector tubes to improve the sensitivity of this practice.
4.4 A shallow plastic pan (PVC) at least 12”:14”:1” and a half pint plastic container (PVC) with tightly closing lid.
4.5 A graduated cylinder or other volumetric measuring device of at least 50 milliliters in volume with an accuracy of at least +1 milliliters.
5.0 -- Safety precautions.
5.1 Concentrated aqueous ammonium hydroxide, NH4OH, is a corrosive volatile liquid requiring eye, skin, and respiratory protection. The person conducting the test shall review the MSDS for aqueous ammonia.
5.2 Since the established short term exposure limit (STEL) for ammonia is 35 ppm as a 15 minute STEL, only persons wearing positive pressure self-contained breathing apparatus or a positive pressure supplied air respirator shall be in the chamber. Normally only the person wearing the totally-encapsulating suit will be inside the chamber. A stand-by person shall have a positive pressure self-contained breathing apparatus, or a positive pressure supplied air respirator available to enter the test area should the suited individual need assistance.
5.3 A method to monitor the suited individual must be used during this test. Visual contact is the simplest but other methods using communication devices are acceptable.
5.4 The test room shall be large enough to allow the exercise protocol to be carried out and then to be ventilated to allow each exhaust of the ammonia test atmosphere after the test(s) are completed.
5.5 Individuals shall be medically screened for the use of respiratory protection and checked for allergies to ammonia before participating in this test procedure.
6.0 --Test procedure.
6.1.1 Measure the test area to the nearest foot and calculate its volume in cubic feet. Multiply the test area volume by 0.2 milliliters of concentrated aqueous ammonia solution per cubic foot of test area volume to determine the approximate volume of concentrated aqueous ammonia required to generate 1000 ppm in the test area.
6.1.2 Measure this volume from the supply of concentrated aqueous ammonia and place it into a closed plastic container.
6.1.3 Place the container, several high range ammonia detector tubes, and the pump in the clean test pan and locate it near the test area entry door so that the suited individual has easy access to these supplies.
6.2.1 In a non-contaminated atmosphere, open a pre-sealed ammonia indicator strip and fasten one end of the strip to the inside of suit face shield lens where it can be seen by the wearer. Moisten the indicator strip with distilled water. Care shall be taken not to contaminate the detector part of the indicator paper by touching it. A small piece of masking tape or equivalent should be used to attach the indicator strip to the interior of the suit face shield.
6.2.2 If problems are encountered with this method of attachment, the indicator strip can be attached to the outside of the respirator face piece lens being used during the test.
6.3 Don the respiratory protective device normally used with the suit, and then don the TECP suit to be tested. Check to be sure all openings which are intended to be sealed (zippers, gloves, etc.) are completely sealed. DO NOT, however, plug off any venting valves.
6.4 Step into the enclosed test room such as a closet, bathroom, or test booth, equipped with an exhaust fan. No air should be exhausted from the chamber during the test because this will dilute the ammonia challenge concentrations.
6.5 Open the container with the pre-measured volume of concentrated aqueous ammonia within the enclosed test room, and pour the liquid into the empty plastic test pan. Wait two minutes to allow for adequate volatilization of the concentrated aqueous ammonia. A small mixing fan can be used near the evaporation pan to increase the evaporation rate of the ammonia solution.
6.6 After two minutes a determination of the ammonia concentration within the chamber should be made using the high range colorimetric detector tube. A concentration of 1000 ppm ammonia or greater shall be generated before the exercises are started.
6.7 To test the integrity of the suit the following four-minute exercise protocol should be followed:
6.7.1 Raising the arms above the head with at least 15 raising motions completed in one minute.
6.7.2 Walking in place for one minute with at least 15 raising motions of each leg in a one-minute period.
6.7.3 Touching the toes with at least 10 complete motions of the arms from above the head to touching of the toes in a one-minute period.
6.7.4 Deep knee bends with at least 10 complete standing and squatting motions in a one-minute period.
6.8 If at any time during the test the colorimetric indicating paper should change colors, the test should be stopped and section 6.10 and 6.12 initiated. (See paragraph 4.2).
6.9 After completion of the test exercise, the test area concentration should be measured again using the high range colorimetric detector tube.
6.10 Exit the test area.
6.11 The opening created by the suit zipper or other appropriate suit penetration should be used to determine the ammonia concentration in the suit with the low range length of stain detector tube or other ammonia monitor. The internal TECP suit air should be sampled far enough from the enclosed test area to prevent a false ammonia reading.
6.12 After completion of the measurement of the suit interior ammonia concentration the test is concluded and the suit is doffed and the respirator removed.
6.13 The ventilating fan for the test room should be turned on and allowed to run for enough time to remove the ammonia gas. The fan shall be vented to the outside of the building.
6.14 Any detectable ammonia in the suit interior (five ppm ammonia (NH3) or more for the length of stain detector tube) indicates that the suit has failed the test. When other ammonia detectors are used a lower level of detection is possible, and it should be specified as the pass/fail criteria.
6.15 By following this test method, an intrusion coefficient of approximately 200 or more can be measured with the suit in a completely operational condition. If the intrusion coefficient is 200 or more, then the suit is suitable for emergency response and field use.
7.0 -- Retest procedures.
7.1 If the suit fails this test, check for leaks by following the pressure test in test A above.
7.2 Retest the TECP suit as outlined in the test procedure 6.0.
8.0 -- Report.
8.1 Each gas tight totally-encapsulating chemical protective suit tested by this practice shall have the following information recorded.
8.1.1 Unique identification number identifying brand name, date of purchase, material of construction, and unique suit features, e.g., special breathing apparatus.
8.1.2 General description of test room used for test.
8.1.3 Brand name and purchase date of ammonia detector strips and color change data.
8.1.4 Brand name, sampling range, and expiration date of the length of stain ammonia detector tubes. The brand name and model of the sampling pump should also be recorded. If another type of ammonia detector is used, it should be identified along with its minimum detection limit for ammonia.
8.1.5 Actual test results shall list the two test area concentrations, their average, the interior suit concentration, and the calculated intrusion coefficient. Retest data shall be recorded as an additional test.
8.2 The evaluation of the data shall be specified as “suit passed” or “suit failed” and the date of the test. Any detectable ammonia (five ppm or greater for the length of stain detector tube) in the suit interior indicates the suit has failed this test. When other ammonia detectors are used, a lower level of detection is possible and it should be specified as the pass/fail criteria.

CAUTION
Visually inspect all parts of the suit to be sure they are positioned correctly and secured tightly before putting the suit back into service. Special care should be taken to examine each exhaust valve to make sure it is not blocked.
Care should also be exercised to assure that the inside and outside of the suit is completely dry before it is put into storage.

Appendix B

General Description and Discussion of the Levels of
Protection and Protective Gear
(Non-Mandatory)
This appendix sets forth information about personal protective equipment (PPE) protection levels which may be used to assist employers in complying with the PPE requirements of this section.
As required by the standard, PPE must be selected which will protect employees from the specific hazards which they are likely to encounter during their work on-site.
Selection of the appropriate PPE is a complex process which must take into consideration a variety of factors. Key factors involved in this process are identification of the hazards, or suspected hazards; their routes of potential hazard to employees (inhalation, skin absorption, ingestion, and eye or skin contact); and the performance of the PPE materials (and seams) in providing a barrier to these hazards. The amount of protection provided by PPE is material-hazard specific. That is, protective equipment materials will protect well against some hazardous substances and poorly, or not at all, against others. In many instances, protective equipment materials cannot be found which will provide continuous protection from the particular hazardous substance. In these cases the breakthrough time of the protective material should exceed the work durations.
Other factors in this selection process to be considered are matching the PPE to the employee's work requirements and task-specific conditions. The durability of PPE materials, such as tear strength and seam strength, should be considered in relation to the employee's tasks. The effects of PPE in relation to heat stress and task duration are a factor in selecting and using PPE. In some cases layers of PPE may be necessary to provide sufficient protection, or to protect expensive PPE inner garments, suits or equipment.
The more that is known about the hazards at the site, the easier the job of PPE selection becomes. As more information about the hazards and conditions at the site becomes available, the site supervisor can make decisions to upgrade or downgrade the level of PPE protection to match the tasks at hand.
The following are guidelines which an employer can use to begin the selection of the appropriate PPE. As noted above, the site information may suggest the use of combinations of PPE selected from the different protection levels (i.e., A, B, C, or D) as being more suitable to the hazards of the work. It should be cautioned that the listing below does not fully address the performance of the specific PPE material in relation to the specific hazards at the job site, and that PPE selection, evaluation, and re-selection is an ongoing process until sufficient information about the hazards and PPE performance is obtained.
Part A. Personal protection equipment is divided into four categories based on the degree of protection afforded. (See Part B of this appendix for further explanation of Levels A, B, C, and D hazards):
I. Level A -- To be selected when the greatest level of skin, respiratory, and eye protection is required.
The following constitute Level A equipment; it may be used as appropriate.
1. Positive-pressure, full face-piece, self-contained breathing apparatus (SCBA), or positive pressure supplied-air respirator with escape SCBA, approved by the National Institute for Occupational Safety and Health (NIOSH).
2. Totally-encapsulating chemical-protective suit.
3. Coveralls.*
4. Long underwear.*
5. Gloves, outer, chemical-resistant.
6. Gloves, inner, chemical-resistant.
7. Boots, chemical-resistant, steel toe and shank.
8. Hard hat (under suit).*
9. Disposable protective suit, gloves and boots (depending on suit construction, may be worn over totally-encapsulating suit.)
II. Level B--The highest level of respiratory protection is necessary but a lesser level of skin protection is needed.
The following constitute Level B equipment; it may be used as appropriate.
1. Positive-pressure, fullface-piece, self-contained breathing apparatus (SCBA), or positive-pressure supplied-air respirator with escape SCBA (NIOSH approved).
2. Hooded chemical-resistant clothing (overalls and long-sleeved jacket; coveralls; one or two-piece chemical-splash suit; disposable chemical-resistant overalls).
3. Coveralls.*
4. Gloves, outer, chemical-resistant.
5. Gloves, inner, chemical-resistant.
6. Boots, outer, chemical-resistant steel toe and shank.
7. Boot-covers, outer, chemical-resistant (disposable).*
8. Hard hat.*
9. Face shield.*
III. Level C--The concentration(s) and type(s) of airborne substance(s) is known and the criteria for using air purifying respirators are met.
The following constitute Level C equipment; it may be used as appropriate.
1. Full-face or half-mask, air-purifying respirators (NIOSH approved).
2. Hooded chemical-resistant clothing (overalls; two-piece chemical-splash suit; disposable chemical-resistant overalls).
3. Coveralls.*
4. Gloves, outer, chemical-resistant.
5. Gloves, inner, chemical-resistant.
6. Boots (outer), chemical-resistant steel toe and shank.*
7. Boot-covers, outer, chemical-resistant (disposable).*
8. Hard hat.*
9. Escape mask.*
10. Face shield.*
IV. Level D--A work uniform affording minimal protection; used for nuisance contamination only.
The following constitute Level D equipment; it may be used as appropriate.
1. Coveralls.
2. Gloves.*
3. Boots/shoes, chemical-resistant steel toe and shank.
4. Boots, outer, chemical-resistant (disposable).*
5. Safety glasses or chemical splash goggles.*
6. Hard hat.*
7. Escape mask.*
8. Face shield.*
* Optional, as applicable.
Part B. The types of hazards for which levels A, B, C, and D protection are appropriate are described below:
I. Level A--Level A protection should be used when:
1. The hazardous substance has been identified and requires the highest level of protection for skin, eyes, and the respiratory system based on either the measured (or potential for) high concentration of atmospheric vapors, gases, or particulates; or the site operations and work functions involve a high potential for splash, immersion, or exposure to unexpected vapors, gases, or particulates of materials that are harmful to skin or capable of being absorbed through the skin.
2. Substances with a high degree of hazard to the skin are known or suspected to be present, and skin contact is possible; or
3. Operations are being conducted in confined, poorly ventilated areas, and the absence of conditions requiring Level A have not yet been determined.
II. Level B--Level B protection should be used when:
1. The type and atmospheric concentration of substances have been identified and require a high level of respiratory protection, but less skin protection; and/or
2. The atmosphere contains less than 19.5 percent oxygen; or
3. The presence of incompletely identified vapors or gases is indicated by a direct-reading organic vapor detection instrument, but vapors and gases are not suspected of containing high levels of chemicals harmful to skin or capable of being absorbed through the skin.
Note: This involves atmospheres with IDLH concentrations of specific substances that present severe inhalation hazards and that do not represent a severe skin hazard; or that do not meet the criteria for use of air-purifying respirators.
III. Level C--Level C protection should be used when:
1. The atmospheric contaminants, liquid splashes, or other direct contact will not adversely affect or be absorbed through any exposed skin;
2. The types of air contaminants have been identified, concentrations measured, and an air-purifying respirator is available that can remove the contaminants; and
3. All criteria for the use of air-purifying respirators are met.
IV. Level D--Level D protection should be used when:
1. The atmosphere contains no known hazard; and
2. Work functions preclude splashes, immersion, or the potential for unexpected inhalation of or contact with hazardous levels of any chemicals.
Note: As stated before, combinations of personal protective equipment other than those described for Levels A, B, C, and D protection may be more appropriate and may be used to provide the proper level of protection.
As an aid in selecting suitable chemical protective clothing, it should be noted that the National Fire Protection Association has developed standards on chemical protective clothing, including:
NFPA 1991--Standard on Vapor-Protective Suits for Hazardous Chemical Emergencies (EPA Level A Protective Clothing)
NFPA 1992--Standard on Liquid Splash-Protective Suits for Hazardous Chemical Emergencies (EPA Level B Protective Clothing)
NFPA 1993--Standard on Support Function Protective Garments for Hazardous Chemical Operations (EPA Level B Protective Clothing)
These standards apply documentation and performance requirements to the manufacture of chemical protective suits. Chemical protective suits meeting these requirements are labelled as compliant with the appropriate standard. As these standards, have been adopted by the National Fire Protection Association, it is recommended that chemical protective suits which meet these standards be used.

Appendix C

Compliance Guidelines
(Non-Mandatory)
1. Occupational Safety and Health Program: Each hazardous waste site clean-up effort will require an occupational safety and health program headed by the site coordinator or the employer's representative. The purpose of the program will be the protection of employees at the site and will be an extension of the employer's overall safety and health program. The program will need to be developed before work begins on the site and implemented as work proceeds as stated in subsection (b). The program is to facilitate coordination and communication of safety and health issues among personnel responsible for the various activities which will take place at the site. The program will provide the means for identifying and controlling worksite hazards and the means for monitoring program effectiveness. It will provide the overall means for planning and implementing the needed safety and health training and job orientation of employees, who will be working at the site. The program will need to cover the responsibilities and authority of the site coordinator or the employer's manager on the site for the safety and health of employees at the site, and the relationships with contractors or support services as to what each employer's safety and health responsibilities are for their employees on the site. Each contractor on the site needs to have its own safety and health program so structured that it will smoothly interface with the program of the site coordinator or principal contractor.
Also those employers involved with treating, storing or disposal of hazardous waste as covered in subsection (p) must have implemented a safety and health program for their employees. This program is to include the hazard communication program required in subsection (p)(1) and the training required in subsections (p)(7) and (p)(8) as parts of the employer's comprehensive overall safety and health program. This program is to be in writing.
Each site or workplace safety and health program will need to include the following: (1) Policy statements of the line of authority and accountability for implementing the program, the objectives of the program, and the role of the site safety and health supervisor or manager and staff; (2) means or methods for the development of procedures for identifying and controlling workplace hazards at the site; (3) means or methods for the development and communication to employees of the various plans, work rules, standard operating procedures and practices that pertain to individual employees and supervisors; (4) means for the training of supervisors and employees to develop the needed skills and knowledge to perform their work in a safe and healthful manner; (5) means to anticipate and prepare for emergency situations; and (6) means for obtaining information feedback to aid in evaluating the program and for improving the effectiveness of the program. The management and employees should be trying continually to improve the effectiveness of the program thereby enhancing the protection being afforded those working on the site.
Accidents on the site should be investigated to provide information on how such occurrences can be avoided in the future. When injuries or illnesses occur on the site or workplace, they will need to be investigated to determine what needs to be done to prevent this incident from occurring again. Such information will need to be used as feedback on the effectiveness of the program and the information turned into positive steps to prevent any reoccurrence. Receipt of employee suggestions or complaints relating to safety and health issues involved with site or workplace activities is also a feedback mechanism that can be used effectively to improve the program and may serve in part as an evaluative tool(s).
For the development and implementation of the program to be the most effective, professional safety and health personnel should be used. Personnel such as, but not necessarily limited to Certified Safety Professionals, Board Certified Industrial Hygienists, or Registered Professional Safety Engineers are good examples of professional stature for safety and health managers who will administer the employer's program.
2. Training: The training programs for employees subject to the requirements of subsection (e) of this standard should address: The safety and health hazards employees should expect to find on hazardous waste clean-up sites; what control measures or techniques are effective for those hazards; what monitoring procedures are effective in characterizing exposure levels; what makes an effective employer's safety and health program; what a site safety and health plan should include; hands on training with personal protective equipment and clothing they may be expected to use; the contents of the OSHA standard relevant to the employee's duties and function; and employee's responsibilities under OSHA and other regulations. Supervisors will need training in their responsibilities under the safety and health program and its subject areas such as the spill containment program, the personal protective equipment program, the medical surveillance program, the emergency response plan, and other areas.
The training programs for employees subject to the requirements of subsection (p) of this standard should address: The employer's safety and health program elements impacting employees; the hazard communication program; the medical surveillance program; the hazards and the controls for such hazards that employees need to know for their job duties and functions. All require annual refresher training.
The training programs for employees covered by the requirements of subsection (q) of this standard should address those competencies required for the various levels of response such as: The hazards associated with hazardous substances; hazard identification and awareness; notification of appropriate persons; the need for and use of personal protective equipment including respirators; the decontamination procedures to be used; preplanning activities for hazardous substance incidents including the emergency response plan; company standard operating procedures for hazardous substance emergency responses; the use of incident command system; and other subjects. Hands-on training should be stressed whenever possible. Critiques done after an incident which include an evaluation of what worked and what did not, and how could the incident be better handled the next time may be counted as training time.
For hazardous materials specialists (usually members of hazardous materials teams), the training should address the care, use, and/or testing of chemical protective clothing including totally encapsulating suits; the medical surveillance program; the standard operating procedures for the hazardous materials team including the use of plugging and patching equipment; and other subject areas.
Officers and leaders who may be expected to be in charge at an incident should be fully knowledgeable of their company's incident command system. They should know where and how to obtain additional assistance and be familiar with the local district's emergency response plan and the state emergency response plan.
Specialist employees such as technical experts, medical experts, or environmental experts that work with hazardous materials in their regular jobs, who may be sent to the incident scene by the shipper, manufacturer, or governmental agency to advise and assist the person in charge of the incident should have training on an annual basis. Their training should include the care and use of personal protective equipment (PPE) including respirators; knowledge of the incident command system and how they are to relate to it; and those areas needed to keep them current in their respective field as it relates to safety and health involving specific hazardous substances.
Those skilled support personnel, such as employees who work for public works departments or equipment operators who operate bulldozers, sand trucks, backhoes, etc., who may be called to the incident scene to provide emergency support assistance, should have at least a safety and health briefing before entering the area of potential or actual exposure. These skilled support personnel, who have not been a part of the emergency response plan and do not meet the training requirements, should be made aware of the hazards they face and should be provided all necessary protective clothing and equipment required for their tasks.
There are two National Fire Protection Association standards, NFPA 472--Standard for Professional Competence of Responders to Hazardous Material Incidents and NFPA 471--Recommended Practice for Responding to Hazardous Material Incidents, which are excellent resource documents to aid fire departments and other emergency response organizations in developing their training program materials. NFPA 472 provides guidance on the skills and knowledge needed for first responder awareness level, first responder operations level, HAZMAT technicians, and HAZMAT specialists. It also offers guidance for the officer corps who will be in charge of hazardous substance incidents.
3. Decontamination: Decontamination procedures should be tailored to the specific hazards of the site and may vary in complexity and number of steps, depending on the level of hazard and the employee's exposure to the hazard. Decontamination procedures and PPE decontamination methods will vary depending upon the specific substance, since one procedure or method may not work for all substances. Evaluation of decontamination methods and procedures should be performed, as necessary, to assure that employees are not exposed to hazards by reusing PPE. References in Appendix D may be used for guidance in establishing an effective decontamination program. In addition, the U.S. Coast Guard's Manual, Policy Guidance for Response to Hazardous Chemical Releases, U.S. Department of Transportation, Washington, DC (COMDTINST M16465.30) is a good reference for establishing an effective decontamination program.
4. Emergency response plans: The state, along with designated districts within the state, will be developing or have developed local emergency response plans. These state and district plans should be utilized in the emergency response plans called for in this standard. Each employer should assure that its emergency response plan is compatible with the local plan. The major reference being used to aid in developing the state and local district plans is the Hazardous Materials Emergency Planning Guide, NRT-1.
The current Emergency Response Guidebook from the U.S. Department of Transportation, CMA's CHEMTREC, and the Fire Service Emergency Management Handbook may also be used as resources.
Employers involved with treatment, storage, and disposal facilities for hazardous waste, which have the required contingency plan called for by their permit, would not need to duplicate the same planning elements. Those items of the emergency response plan that are properly addressed in the contingency plan may be substituted into the emergency response plan required in 8 CCR 5192 or otherwise kept together for employer and employee use.
5. Personal protective equipment programs: The purpose of personal protective clothing and equipment (PPE) is to shield or isolate individuals from the chemical, physical, and biologic hazards that may be encountered at a hazardous substance site.
As discussed in Appendix B, no single combination of protective equipment and clothing is capable of protecting against all hazards. Thus PPE should be used in conjunction with other protective methods and its effectiveness evaluated periodically. The use of PPE can itself create significant worker hazards, such as heat stress, physical and psychological stress, and impaired vision, mobility, and communication. For any given situation, equipment and clothing should be selected that provide an adequate level of protection. However, over-protection, as well as under- protection, can be hazardous and should be avoided where possible.
Two basic objectives of any PPE program should be to protect the wearer from safety and health hazards, and to prevent injury to the wearer from incorrect use and/or malfunction of the PPE. To accomplish these goals, a comprehensive PPE program should include hazard identification; medical monitoring; environmental surveillance; selection, use, maintenance, and decontamination of PPE; and its associated training.
The written PPE program should include policy statements, procedures, and guidelines. Copies should be made available to all employees, and a reference copy should be made available at the worksite. Technical data on equipment, maintenance manuals, relevant regulations, and other essential information should also be collected and maintained.
6. Incident command system (ICS): Subsection 5192(q)(3)(B) requires the implementation of an ICS. The ICS is an organized approach to effectively control and manage operations at an emergency incident. The individual in charge of the ICS is the senior official responding to the incident. The ICS was originated by the California fire service. During large complex fires involving several companies and many pieces of apparatus, a command post would be established. This enabled one individual to be in charge of managing the incident, rather than having several officers from different companies making separate, and sometimes conflicting, decisions. The individual in charge of the command post would delegate responsibility for performing various tasks to subordinate officers. Additionally, all communications were routed through the command post to reduce the number of radio transmissions and eliminate confusion. However, strategy, tactics, and all decisions were made by one individual.
The ICS is also implemented for emergency response to all incidents, both large and small, that involve hazardous substances.
For a small incident, the individual in charge of the ICS may perform many tasks of the ICS. There may not be any, or little, delegation of tasks to subordinates. For example, in response to a small incident, the individual in charge of the ICS, in addition to normal command activities, may become the safety officer.
To illustrate the operation of the ICS, the following scenario might develop during a small incident, such as an overturned tank truck with a small leak of flammable liquid.
The first responding senior officer would implement and take command of the ICS. That person would size-up the incident and determine if additional personnel and apparatus were necessary; would determine what actions to take to control the leak; and determine the proper level of personal protective equipment. If additional assistance is not needed, the individual in charge of the ICS would implement actions to stop and control the leak using the fewest number of personnel that can effectively accomplish the tasks. The individual in charge of the ICS then would designate himself as the safety officer and two other employees as a back-up in case rescue may become necessary. In this scenario, decontamination procedures may not be necessary.
A large complex incident may require many employees and difficult, time-consuming efforts to control. In these situations, the individual in charge of the ICS will want to delegate different tasks to subordinates in order to maintain a span of control that will keep the number of subordinates that are reporting, to a manageable level.
Delegation of tasks at large incidents may be by location, where the incident scene is divided into sectors, and subordinate officers coordinate activities within the sector that they have been assigned.
Delegation of tasks can also be by function. Five major functional areas (Incident Command, Operations, Planning, Logistic, and Finance) are activated at major incidents addressing such issues as: medical services; evacuation; water supply; resources (equipment, apparatus); media relations; safety; and site control (integrate activities with police for crowd and traffic control). Also for a large incident, the individual in charge of the ICS will designate several employees as back-up personnel; and a number of safety officers to monitor conditions and recommend safety precautions.
Therefore, no matter what size or complexity an incident may be, by implementing an ICS there will be one individual in charge who makes the decisions and gives directions; and, all actions, and communications are coordinated through one central point of command. Such a system should reduce confusion, improve safety, organize and coordinate actions, and should facilitate effective management of the incident.
The details of the ICS as well as several different scenarios are incorporated into the California Hazardous Material Incident Contingency Plan (HMICP) developed by the State's Office of Emergency Services (OES). The HMICP is written primarily for agencies of the State of California to guide them in understanding the state's role in hazardous material emergencies. Secondarily, the HMICP is anticipated to be utilized by local and federal governments, and private organizations to clarify their roles and relationships concerning hazardous material emergencies. This plan should be used for pre-incident planning; or during a hazardous material emergency for guidance and clarification where a state agency has responsibility (i.e., State Agency Coordination) or jurisdiction (i.e., on the right of way of a state highway), or the incident exceeds local resources beyond those of the SARA Title III Regional Plan.
7. Site Safety and Control Plans: The safety and security of response personnel and others in the area of an emergency response incident site should be of primary concern to the incident commander. The use of a site safety and control plan could greatly assist those in charge of assuring the safety and health of employees on the site.
A comprehensive site safety and control plan should include the following: Summary analysis of hazards on the site and a risk analysis of those hazards; site map or sketch; site work zones (clean zone, transition or decontamination zone, work or hot zone); use of the buddy system; site communications; command post or command center; standard operating procedures and safe work practices; medical assistance and triage area; hazard monitoring plan (air contaminant monitoring, etc,); decontamination procedures and area; and other relevant areas. This plan should be a part of the employer's emergency response plan or an extension of it to the specific site.
8. Medical surveillance program: Workers handling hazardous substances may be exposed to toxic chemicals, safety hazards, biologic hazards, and radiation. Therefore, a medical surveillance program is essential to assess and monitor worker's health and fitness for employment in hazardous waste operations and during the course of work; to provide emergency and other treatment as needed; and to keep accurate records for future reference.
The Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities developed by the National Institute for Occupational Safety and Health (NIOSH), the Occupational Safety and Health Administration (Federal OSHA), the U.S. Coast Guard (USCG), and the Environmental Protection Agency (EPA), October 1985, provides an excellent example of the types of medical testing that should be done as part of a medical surveillance program.
9. New Technology and Spill Containment Programs: Where hazardous substances may be released by spilling from a container that will expose employees to the hazards of the material, the employer will need to implement a program to contain and control the spilled material. Diking and ditching, as well as use of absorbents like diatomaceous earth, are traditional techniques which have proven to be effective over the years. However, in recent years new products have come into the marketplace, the use of which complement and increase the effectiveness of these traditional methods. These new products also provide emergency responders and other with additional tools or agents to use to reduce the hazards of spilled materials.
These agents can be rapidly applied over a large area and can be uniformly applied or otherwise can be used to build a small dam, thus improving the workers' ability to control spilled material. These application techniques enhance the intimate contact between the agent and the spilled material allowing for the quickest effect by the agent or quickest control of the spilled material. Agents are available to solidify liquid spilled materials, to suppress vapor generation from spilled materials, and to do both. Some special agents, which when applied as recommended by the manufacturer, will react in a controlled manner with the spilled material to neutralize acids or caustics, or greatly reduce the level of hazard of the spilled material.
There are several modern methods and devices for use by emergency response personnel or others involved with spill control efforts to safely apply spill control agents to control spilled material hazards. These include portable pressurized applicators similar to hand-held portable fire extinguishing devices, and nozzle and hose systems similar to portable fire fighting foam systems which allow the operator to apply the agent without having to come into contact with the spilled material. The operator is able to apply the agent to the spilled material from a remote position.
The solidification of liquids provides for rapid containment and isolation of hazardous substance spills. By directing the agent at run-off points or at the edges of the spill, the reactant solid will automatically create a barrier to slow or stop the spread of the material. Clean-up of hazardous substances is greatly improved when solidifying agents, acid or caustic neutralizers, or activated carbon adsorbents are used. Properly applied, these agents can totally solidify liquid hazardous substances or neutralize or absorb them, which results in materials which are less hazardous and easier to handle, transport, and dispose of. The concept of spill treatment, to create less hazardous substances, will improve the safety and level of protection of employees working at spill clean-up operations or emergency response operations to spills of hazardous substances.
The use of vapor suppression agents for volatile hazardous substances, such as flammable liquids and those substances which present an inhalation hazard, is important for protecting workers. The rapid and uniform distribution of the agent over the surface of the spilled material can provide quick vapor knockdown. There are temporary and long-term foam-type agents which are effective on vapors and dusts, and activated carbon adsorption agents which are effective for vapor control and soaking-up of the liquid. The proper use of hose lines or hand-held portable pressurized applicators provides good mobility and permits the worker to deliver the agent from a safe distance without having to step into the untreated spilled material. Some of these systems can be recharged in the field to provide coverage of larger spill areas than the design limits of a single charged applicator unit. Some of the more effective agents can solidify the liquid flammable hazardous substances and at the same time elevate the flashpoint above 140F so the resulting substance may be handled as a nonhazardous waste material if it meets the U.S. Environmental Protection Agency's 40 CFR Part 261 requirements (See particularly § 261.21).
All workers performing hazardous substance spill control work are expected to wear the proper protective clothing and equipment for the materials present and to follow the employer's established standard operating procedures for spill control. All involved workers need to be trained in the established operating procedures; in the use and care of spill control equipment; and in the associated hazards and control of such hazards of spill containment work.
These new tools and agents are the things that employers will want to evaluate as part of their new technology program. The treatment of spills of hazardous substances or wastes at an emergency incident as part of the immediate spill containment and control efforts is sometimes acceptable to EPA and a permit exception is described in 40 CFR § 264.1(g)(8) and 265.1(c)(11).

Appendix D

References 
(Non-Mandatory)
The following references may be consulted for further information on the subject of this standard:
1. OSHA Instruction DFO CPL 2.70 - January 29, 1986: Special Emphasis Program: Hazardous Waste Sites.
2. OSHA Instruction DFO CPL 2-2.37A - January 29, 1986: Technical Assistance and Guidelines for Superfund and Other Hazardous Waste Site Activities.
3. OSHA Instruction DTS CPL 2.74 - January 29, 1986: Hazardous Waste Activity Form, OSHA 175.
4. Hazardous Waste Inspections Reference Manual; U.S. Department of Labor, Occupational Safety and Health Administration, 1986.
5. Memorandum of Understanding Among the National Institute for Occupational Safety and Health, the Occupational Safety and Health Administration, the United States Coast Guard, and the United States Environmental Protection Agency: Guidance for Worker Protection During Hazardous Waste Site Investigations and Clean-up and Hazardous Substance Emergencies, December 18, 1980.
6. National Priorities List, 1st Edition; October 1984; U.S. Environmental Protection Agency, revised periodically.
7. The Decontamination of Response Personnel; Field Standard Operating Procedures (F.S.O.P.) 7; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division, December 1984.
8. Preparation of a Site Safety Plan; Field Standard Operating Procedures (F.S.O.P.) 9; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division, April 1984.
9. Standard Operating Safety Guidelines; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division, Environmental Response Team; November 1984.
10. Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities; National Institute for Occupational Safety and Health (NIOSH), Occupational Safety and Health Administration (OSHA), U.S. Coast Guard (USCG), and Environmental Protection Agency (EPA); October 1985.
11. Protecting Health and Safety at Hazardous Waste Sites: An overview; U.S. Environmental Protection Agency, EPA/625/9-85/006; September 1985.
12. Hazardous Waste Sites and Hazardous Substance Emergencies; NIOSH Worker Bulletin, U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control, National Institute for Occupational Safety and Health; December 1982.
13. Personal Protective Equipment for Hazardous Materials Incidents: A Selection Guide; U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control, National Institute for Occupational Safety and Health; October 1984.
14. Fire Service Emergency Management Handbook; International Association of Fire Chiefs Foundation, 101 East Holly Avenue, Unit 108, Sterling, VA 22170; January, 1985.
15. Emergency Response Guidebook; U.S. Department of Transportation, Washington, DC, 1990.
16. Report to the Congress on Hazardous Materials Training, Planning and Preparedness; Federal Emergency Management Agency, Washington, DC, July 1986.
17. Workbook for Fire Command; Alan V. Brunacini and J. David Beageron, National Fire Protection Association, Batterymarch Park, Quincy, MA 02269, 1985.
18. Site Emergency Response Planning; Chemical Manufacturers Association, Washington, DC 20037, 1986.
19. Hazardous Materials Emergency Planning Guide; NRT-1, Environmental Protection Agency, Washington, DC, March 1987.
20. Community Teamwork: Working Together to Promote Hazardous Materials Transportation Safety; U.S. Department of Transportation, Washington, DC, May 1983.
21. Disaster Planning Guide for Business and Industry; Federal Emergency Management Agency, Publication No. FEMA 141, August 1987.
22. Hazardous Materials Medical Management Protocols; State Emergency Medical Services Authority, Publication #231, March 1989; 1030 15th Street, Suite 302, Sacramento, CA 95814.
23. Hazardous Material Incident Contingency Plan; Office of Emergency Services, Hazardous Materials Division, Sacramento; January 1991.
24. Hazardous Materials Handbook; National Fire Protection Association, Batterymarch Park, Quincy, MA 02269.
NOTE

Authority cited: Sections 142.3 and 142.7, Labor Code. Reference: Sections 142.3 and 142.7, Labor Code.
§5193. Bloodborne Pathogens.
Note

(a) Scope and Application. This section applies to all occupational exposure to blood or other potentially infectious materials as defined by subsection (b) of this section.

Exception: This regulation does not apply to the construction industry.
(b) Definitions. For purposes of this section, the following shall apply:
“Biological Cabinet” means a device enclosed except for necessary exhaust purposes on three sides and top and bottom, designed to draw air inward by means of mechanical ventilation, operated with insertion of only the hands and arms of the user, and  in which virulent pathogens are used. Biological cabinets are classified as:
(1) Class I: A ventilated  cabinet for personnel protection with an unrecirculated inward airflow away from the operator and high-efficiency particulate air (HEPA) filtered exhaust air for environmental protection.
(2) Class II: A ventilated cabinet for personnel, product, and environmental protection having an open front with inward airflow for personnel protection, HEPA filtered laminar airflow for product protection, and HEPA filtered exhaust air for environmental protection.
(3) Class III: A total enclosed, ventilated cabinet of gas-tight construction. Operations in the cabinet are conducted through attached protective gloves.
“Blood” means human blood, human blood components, and products made from human blood.
“Bloodborne Pathogens” means pathogenic microorganisms that are present in human blood and can cause disease in humans. These pathogens include, but are not limited to, hepatitis B virus (HBV), hepatitis C virus (HCV) and human immunodeficiency virus (HIV).
“Chief” means the Chief of the Division of Occupational Safety and Health of the California Department of Industrial Relations or designated representative.
“Clinical Laboratory” means a workplace where diagnostic or other screening procedures are performed on blood or other potentially infectious materials.
“Contaminated” means the presence or the reasonably anticipated presence of blood or other potentially infectious materials on a surface or in or on an item.
“Contaminated Laundry” means laundry which has been soiled with blood or other potentially infectious materials or may contain sharps.
“Decontamination” means the use of physical or chemical means to remove, inactivate, or destroy bloodborne pathogens on a surface or item to the point where they are no longer capable of transmitting infectious particles and the surface or item is rendered safe for handling, use, or disposal. Decontamination includes procedures regulated by Health and Safety Code Section 118275.
“Engineering Controls” means controls (e.g., sharps disposal containers, needlelesss systems and sharps with engineered sharps injury protection) that isolate or remove the bloodborne pathogens hazard from the workplace.
“Engineered Sharps Injury Protection” means either:
(1) A physical attribute built into a needle device used for withdrawing body fluids, accessing a vein or artery, or administering medications or other fluids, which effectively reduces the risk of an exposure incident by a mechanism such as barrier creation, blunting, encapsulation, withdrawal or other effective mechanisms; or
(2) A physical attribute built into any other type of needle device, or into a non-needle sharp, which effectively reduces the risk of an exposure incident.
“Exposure Incident” means a specific eye, mouth, other mucous membrane, non-intact skin, or parenteral contact with blood or other potentially  infectious materials that results from the performance of an employee's duties.
“Handwashing Facilities” means a facility providing an adequate supply of running potable water, soap and single use towels or hot air drying machines.
“HBV” means hepatitis B virus.
“HCV” means hepatitis C virus.
“HIV” means human immunodeficiency virus.
“Licensed Healthcare Professional” is a person whose licensed scope of practice includes an activity which this section requires to be performed by a licensed healthcare professional.
“Needle” or “Needle Device” means a needle of any type, including, but not limited to, solid and hollow-bore needles.
“Needleless System” means a device that does not utilize needles for:
(1) The withdrawal of body fluids after initial venous or arterial access is established;
(2) The administration of medication or fluids; and
(3) Any other procedure involving the potential for an exposure incident.
“NIOSH” means the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designated representative.
“Occupational Exposure” means reasonably anticipated skin, eye, mucous membrane, or parenteral contact with blood or other potentially infectious materials that may result from the performance of an employee's duties.
“One-Hand Technique” means a procedure wherein the needle of a reusable syringe is capped in a sterile manner during use. The technique employed shall require the use of only the hand holding the syringe so that the free hand is not exposed to the uncapped needle.
“OPIM” means other potentially infectious materials.
“Other Potentially Infectious Materials” means:
(1) The following human body fluids: semen, vaginal secretions, cerebrospinal fluid, synovial fluid, pleural fluid, pericardial fluid, peritoneal fluid, amniotic fluid, saliva in dental procedures, any other body fluid that is visibly contaminated with blood such as saliva or vomitus, and all body fluids in situations where it is difficult or impossible to differentiate between body fluids such as emergency response;
(2) Any unfixed tissue or organ (other than intact skin) from a human (living or dead); and
(3) Any of the following, if known or reasonably likely to contain or be infected with HIV, HBV, or HCV:
(A) Cell, tissue, or organ cultures from humans or experimental animals;
(B) Blood, organs, or other tissues from experimental animals; or
(C) Culture medium or other solutions.
“Parenteral Contact” means piercing mucous membranes or the skin barrier through such events as needlesticks, human bites, cuts, and abrasions.
“Personal Protective Equipment” is specialized clothing or equipment worn or used by an employee for protection against a hazard. General work clothes (e.g., uniforms, pants, shirts or blouses) not intended to function as protection against a hazard are not considered to be personal protective equipment.
“Production Facility” means a facility engaged in industrial-scale, large-volume or high concentration production of HIV, HBV or HCV.
“Regulated Waste” means waste that is any of the following:
(1) Liquid or semi-liquid blood or OPIM;
(2) Contaminated items that:
(A) Contain liquid or semi-liquid blood, or are caked with dried blood or OPIM; and
(B) Are capable of releasing these materials when handled or compressed.
(3) Contaminated sharps.
(4) Pathological and microbiological wastes containing blood or OPIM.
(5) Regulated Waste includes “medical waste” regulated by Health and Safety Code Sections 117600 through 118360.
“Research Laboratory” means a laboratory producing or using research-laboratory-scale amounts of HIV, HBV or HCV. Research laboratories may produce high concentrations of HIV, HBV or HCV but not in the volume found in production facilities.
“Sharp” means any object used or encountered in the industries covered by subsection (a) that can be reasonably anticipated to penetrate the skin or any other part of the body, and to result in an exposure incident, including, but not limited to, needle devices, scalpels, lancets, broken glass, broken capillary tubes, exposed ends of dental wires and dental knives, drills and burs.
“Sharps Injury” means any injury caused by a sharp, including, but not limited to, cuts, abrasions, or needlesticks.
“Sharps Injury Log” means a written or electronic record satisfying the requirements of subsection (c)(2).
“Source Individual” means any individual, living or dead, whose blood or OPIM may be a source of occupational exposure to the employee. Examples include, but are not limited to, hospital and clinical patients; clients in institutions for the developmentally disabled; trauma victims; clients of drug and alcohol treatment facilities; residents of hospices and nursing homes; human remains; and individuals who donate or sell blood or blood components.
“Universal Precautions” is an approach to infection control. According to the concept of Universal Precautions, all human blood and certain human body fluids are treated as if known to be infectious for HIV, HBV, HCV, and other bloodborne pathogens.
“Work Practice Controls” means controls that reduce the likelihood of exposure by defining the manner in which a task is performed (e.g., prohibiting recapping of needles by a two-handed technique and use of patient-handling techniques).
(c) Exposure Response, Prevention and Control.
(1) Exposure Control Plan.
(A) Each employer having an employee(s) with occupational exposure as defined by subsection (b) of this section shall establish, implement and maintain an effective Exposure Control Plan which is designed to eliminate or minimize employee exposure and which is also consistent with Section 3203.
(B) The Exposure Control Plan shall be in writing and shall contain at least the following elements:
1. The exposure determination required by subsection (c)(3);
2. The schedule and method of implementation for each of the applicable subsections: (d) Methods of Compliance, (e) HIV, HBV and HCV Research Laboratories and Production Facilities, (f) Hepatitis B Vaccination and Post-exposure Evaluation and Follow-up, (g) Communication of Hazards to Employees, and (h) Recordkeeping, of this standard;
3. The procedure for the evaluation of circumstances surrounding exposure incidents as required by subsection (f)(3)(A).
4. An effective procedure for gathering the information required by the Sharps Injury Log.
5. An effective procedure for periodic determination of the frequency of use of the types and brands of sharps involved in the exposure incidents documented on the Sharps Injury Log;

Note: Frequency of use may be approximated by any reasonable and effective method.
6. An effective procedure for identifying currently available engineering controls, and selecting such controls, where appropriate, for the procedures performed by employees in their respective work areas or departments;
7. An effective procedure for documenting patient safety determinations made pursuant to Exception 2. of subsection (d)(3)(A); and
8. An effective procedure for obtaining the active involvement of employees in reviewing and updating the exposure control plan with respect to the procedures performed by employees in their respective work areas or departments.
(C) Each employer shall ensure that a copy of the Exposure Control Plan is accessible to employees in accordance with Section 3204(e).
(D) The Exposure Control Plan shall be reviewed and updated at least annually and whenever necessary as follows:
1. To reflect new or modified tasks and procedures which affect occupational exposure;
2.a. To reflect changes in technology that eliminate or reduce exposure to bloodborne pathogens; and
b. To document consideration and implementation of appropriate commercially available needleless systems and needle devices and sharps with engineered sharps injury protection;
3. To include new or revised employee positions with occupational exposure;
4. To review and evaluate the exposure incidents which occurred since the previous update; and
5. To review and respond to information indicating that the Exposure Control Plan is deficient in any area.
(E) Employees responsible for direct patient care. In addition to complying with subsections (c)(1)(B)6. and (c)(1)(B)8., the employer shall solicit input from non-managerial employees responsible for direct patient care who are potentially exposed to injuries from contaminated sharps in the identification, evaluation, and selection of effective engineering and work practice controls, and shall document the solicitation in the Exposure Control Plan.
(F) The Exposure Control Plan shall be made available to the Chief or NIOSH or their respective designee upon request for examination and copying.
(2) Sharps Injury Log.
The employer shall establish and maintain a Sharps Injury Log, which is a record of each exposure incident involving a sharp. The information recorded shall include the following information, if known or reasonably available:
(A) Date and time of the exposure incident;
(B) Type and brand of sharp involved in the exposure incident;
(C) A description of the exposure incident which shall include:
1. Job classification of the exposed employee;
2. Department or work area where the exposure incident occurred;
3. The procedure that the exposed employee was performing at the time of the incident;
4. How the incident occurred;
5. The body part involved in the exposure incident;
6. If the sharp had engineered sharps injury protection, whether the protective mechanism was activated, and whether the injury occurred before the protective mechanism was activated, during activation of the mechanism or after activation of the mechanism, if applicable;
7. If the sharp had no engineered sharps injury protection, the injured employee's opinion as to whether and how such a mechanism could have prevented the injury; and
8. The employee's opinion about whether any engineering, administrative or work practice control could have prevented the injury.
(D) Each exposure incident shall be recorded on the Sharps Injury Log within 14 working days of the date the incident is reported to the employer.
(E) The information in the Sharps Injury Log shall be recorded and maintained in such a manner as to protect the confidentiality of the injured employee.
(3) Exposure Determination.
(A) Each employer who has an employee(s) with occupational exposure as defined by subsection (b) of this section shall prepare an exposure determination. This exposure determination shall contain the following:
1. A list of all job classifications in which all employees in those job classifications have occupational exposure;
2. A list of job classifications in which some employees have occupational exposure; and
3. A list of all tasks and procedures or groups of closely related task and procedures in which occupational exposure occurs and that are performed by employees in job classifications listed in accordance with the provisions of subsection (c)(3)(A)2. of this standard.
(B) This exposure determination shall be made without regard to the use of personal protective equipment.
(d) Methods of Compliance.
(1) General. Universal precautions shall be observed to prevent contact with blood or OPIM. Under circumstances in which differentiation between body fluid types is difficult or impossible, all body fluids shall be considered potentially infectious materials.
(2) Engineering and Work Practice Controls--General Requirements.
(A) Engineering and work practice controls shall be used to eliminate or minimize employee exposure.
(B) Engineering controls shall be examined and maintained or replaced on a regular schedule to ensure their effectiveness.
(C) Work practice controls shall be evaluated and updated on a regular schedule to ensure their effectiveness.
(D) All procedures involving blood or OPIM shall be performed in such a manner as to minimize splashing, spraying, spattering, and generation of droplets of these substances.
(3) Engineering and Work Practice Controls--Specific Requirements.
(A) Needleless Systems, Needle Devices and non-Needle Sharps.
1. Needleless Systems. Needleless systems shall be used for:
a. Withdrawal of body fluids after initial venous or arterial access is established;
b. Administration of medications or fluids; and
c. Any other procedure involving the potential for an exposure incident for which a needleless system is available as an alternative to the use of needle devices.
2. Needle Devices. If needleless systems are not used, needles with engineered sharps injury protection shall be used for:
a. Withdrawal of body fluids;
b. Accessing a vein or artery;
c. Administration of medications or fluids; and
d. Any other procedure involving the potential for an exposure incident for which a needle device with engineered sharps injury protection is available.
3. Non-Needle Sharps. If sharps other than needle devices are used, these items shall include engineered sharps injury protection.
4. Exceptions. The following exceptions apply to the engineering controls required by subsections (d)(3)(A)1.-3.:
a. Market Availability. The engineering control is not required if it is not available in the marketplace.
b. Patient Safety. The engineering control is not required if a licensed healthcare professional directly involved in a patient's care determines, in the reasonable exercise of clinical judgement, that use of the engineering control will jeopardize the patient's safety or the success of a medical, dental or nursing procedure involving the patient. The determination shall be documented according to the procedure required by (c)(1)(B)7.
c. Safety Performance. The engineering control is not required if the employer can demonstrate by means of objective product evaluation criteria that the engineering control is not more effective in preventing exposure incidents than the alternative used by the employer.
d. Availability of Safety Performance Information. The engineering control is not required if the employer can demonstrate that reasonably specific and reliable information is not available on the safety performance of the engineering control for the employer's procedures, and that the employer is actively determining by means of objective product evaluation criteria whether use of the engineering control will reduce the risk of exposure incidents occurring in the employer's workplace.
(B) Prohibited Practices.
1. Shearing or breaking of contaminated needles and other contaminated sharps is prohibited.
2. Contaminated sharps shall not be bent, recapped, or removed from devices.

Exception: Contaminated sharps may be bent, recapped or removed from devices if:

a. The employer can demonstrate that no alternative is feasible or that such action is required by a specific medical or dental procedure; and

b. The procedure is performed using a mechanical device or a one-handed technique.
3. Sharps that are contaminated with blood or OPIM shall not be stored or processed in a manner that requires employees to reach by hand into the containers where these sharps have been placed.
4. Disposable sharps shall not be reused.
5. Broken Glassware. Broken glassware which may be contaminated shall not be picked up directly with the hands. It shall be cleaned up using mechanical means, such as a brush and dust pan, tongs, or forceps.
6. The contents of sharps containers shall not be accessed unless properly reprocessed or decontaminated.
7. Sharps containers shall not be opened, emptied, or cleaned manually or in any other manner which would expose employees to the risk of sharps injury.
8. Mouth pipetting/suctioning of blood or OPIM is prohibited.
9. Eating, drinking, smoking, applying cosmetics or lip balm, and handling contact lenses are prohibited in work areas where there is a reasonable likelihood of occupational exposure.
10. Food and drink shall not be kept in refrigerators, freezers, shelves, cabinets or on countertops or benchtops where blood or OPIM are present.
(C) Requirements for Handling Contaminated Sharps.
1. All procedures involving the use of sharps in connection with patient care, such as withdrawing body fluids, accessing a vein or artery, or administering vaccines, medications or fluids, shall be performed using effective patient-handling techniques and other methods designed to minimize the risk of a sharps injury.
2. Immediately or as soon as possible after use, contaminated sharps shall be placed in containers meeting the requirements of subsection (d)(3)(D) as applicable.
3. At all time during the use of sharps, containers for contaminated sharps shall be:
a. Easily accessible to personnel and located as close as is feasible to the immediate area where sharps are used or can be reasonably anticipated to be found (e.g., laundries);
b. Maintained upright throughout use, where feasible; and
c. Replaced as necessary to avoid overfilling.
(D) Sharps Containers for Contaminated Sharps.
1. All sharps containers for contaminated sharps shall be:
a. Rigid;
b. Puncture resistant;
c. Leakproof on the sides and bottom;
d. Portable, if portability is necessary to ensure easy access by the user as required by subsection (d)(3)(C)3.a.; and
e. Labeled in accordance with subsection (g)(1)(A)(2).
2. If discarded sharps are not to be reused, the sharps container shall also be closeable and sealable so that when sealed, the container is leak resistant and incapable of being reopened without great difficulty.
(E) Regulated Waste.
1. General.
Handling, storage, treatment and disposal of all regulated waste shall be in accordance with Health and Safety Code Chapter 6.1, Sections 117600 through 118360, and other applicable regulations of the United States, the State, and political subdivisions of the State.
2. Disposal of Sharps Containers.
When any container of contaminated sharps is moved from the area of use for the purpose of disposal, the container shall be:
a. Closed immediately prior to removal or replacement to prevent spillage or protrusion of contents during handling, storage, transport, or shipping; and
b. Placed in a secondary container if leakage is possible. The second container shall be:
i. Closable;
ii. Constructed to contain all contents and prevent leakage dur8ing handling, storage, transport, or shipping; and
iii. Labeled according to subsection (g)(1)(A) of this section.
3. Disposal of Other Regulated Waste. Regulated waste not consisting of sharps shall be disposed of in containers which are:
a. Closable;
b. Constructed to contain all contents and prevent leakage during handling, storage, transport, or shipping;
c. Labeled and color-coded in accordance with subsection (g)(1)(A) of this section; and
d. Closed prior to removal to prevent spillage or protrusion of contents during handling, storage, transport, or shipping.
4. Outside Contamination. If outside contamination of a container of regulated waste occurs, it shall be placed in a second container. The second container shall be:
a. Closable.
b. Constructed to contain all contents and prevent leakage of fluids during handling, storage, transport or shipping;
c. Labeled and color-coded in accordance with subsection (g)(1)(A) of this section; and
d. Closed prior to removal to prevent spillage or protrusion of contents during handling, storage, transport, or shipping.
(F) Handling Specimens of Blood or OPIM.
Specimens of blood or OPIM shall be placed in a container which prevents leakage during collection, handling, processing, storage, transport, or shipping.
1. The container for storage, transport, or shipping shall be labeled or color-coded according to subsection (g)(1)(A), and closed prior to being stored, transported, or shipped. When a ffacility utilizes Universal Precautions in the handling of all specimens, the labeling/color-coding of specimens is not necessary provided containers are recognizable as containing specimens. This exemption only applies while such specimens/containers remain within the facility. Labeling or color-coding in accordance with subsection (g)(1)(A) is required when such specimens/ containers leave the facility.
2. If outside contamination of the primary container occurs, the primary container shall be placed within a second container which prevents leakage during collection, handling, processing, storage, transport, or shipping and is labeled or color-coded to the requirements of this standard.
3. If the specimen could puncture the primary container, the primary container shall be placed within a secondary container which is puncture-resistant in addition to the above characteristics.
(G) Servicing or Shipping Contaminated Equipment.
Equipment which may become contaminated with blood or OPIM shall be examined prior to servicing or shipping and shall be decontaminated as necessary, unless the employer can demonstrate that decontamination of such equipment or portions of such equipment is not feasible or will interfere with a manufacturer's ability to evaluate failure of the device.
1. A readily observable label in accordance with subsection (g)(1)(A)8. shall be attached to the equipment stating which portions remain contaminated.
2. Information concerning all remaining contamination shall be conveyed to all affected employees, the servicing representative, and/or the manufacturer, as appropriate, prior to handling, servicing, or shipping so that appropriate precautions will be taken.
(H) Cleaning and Decontamination of the Worksite.
1. General Requirements.
a. Employers shall ensure that the worksite is maintained in a clean and sanitary condition.
b. Employers shall determine and implement appropriate written methods and schedules for cleaning and decontamination of the worksite.
c. The method of cleaning or decontamination used shall be effective and shall be appropriate for the:
i. Location within the facility;
ii. Type of surface or equipment to be treated;
iii. Type of soil or contamination present; and
iv. Tasks or procedures being performed in the area.
d. All equipment and environmental and work surfaces shall be cleaned and decontaminated after contact with blood or OPIM no later than at the end of the shift. Cleaning and decontamination of equipment and work surfaces is required more often as specified below.
2. Specific Requirements.
a. Contaminated Work Surfaces. Contaminated work surfaces shall be cleaned and decontaminated with an appropriate disinfectant immediately or as soon as feasible when:
i. Surfaces become overtly contaminated;
ii. There is a spill of blood or OPIM;
iii. Procedures are completed; and
iv. At the end of the work shift if the surface may have become contaminated since the last cleaning.
b. Receptacles. All bins, pails, cans, and similar receptacles intended for reuse which have a reasonable likelihood for becoming contaminated with blood or OPIM shall be inspected and decontaminated on a regularly scheduled basis and cleaned and decontaminated immediately or as soon as feasible upon visible contamination.
c. Protective Coverings. Protective coverings, such as plastic wrap, aluminum foil, or imperviously-backed absorbent paper used to cover equipment and environmental surfaces, shall be removed and replaced as soon as feasible when they become overtly contaminated or at the end of the workshift if they may have become contaminated during the shift.
(I) Hygiene.
1. Employers shall provide handwashing facilities which are readily accessible to employees.
2. When provision of handwashing facilities is not feasible, the employer shall provide either an appropriate antiseptic hand cleanser in conjunction with clean cloth/paper towels or antiseptic towelettes. When antiseptic hand cleansers or towelettes are used, hands shall be washed with soap and running water as soon as feasible.
3. Employers shall ensure that employees wash their hands immediately or as soon as feasible after removal of gloves or other personal protective equipment.
4. Employers shall ensure that employees wash hands and any other skin with soap and water, or flush mucous membranes with water immediately or as soon as feasible following contact of such body areas with blood or OPIM.
(J) Laundry.
1. Contaminated laundry shall be handled as little as possible with a minimum of agitation.
a. Contaminated laundry shall be bagged or containerized at the location where it was used and shall not be sorted or rinsed in the location of use.
b. Contaminated laundry shall be placed and transported in bags or containers labeled or color-coded in accordance with subsection (g)(1)(A) of this standard. When a facility utilizes Universal Precautions in the handling of all soiled laundry, alternative labeling or color-coding is sufficient if it permits all employees to recognize the containers as requiring compliance with Universal Precautions.
c. Whenever contaminated laundry is wet and presents a reasonable likelihood of soaking through or leakage from the bag or container, the laundry shall be placed and transported in bags or containers which prevent soak-through and/or leakage of fluids to the exterior.
2. The employer shall ensure that employees who have contact with contaminated laundry wear protective gloves and other appropriate personal protective equipment.
3. When a facility ships contaminated laundry off-site to a second facility which does not utilize Universal Precautions in the handling of all laundry, the facility generating the contaminated laundry must place such laundry in bags or containers which are labeled or color-coded in accordance with subsection (g)(1)(A).
(4) Personal Protective Equipment.
(A) Provision. Where occupational exposure remains after institution of engineering and work practice controls, the employer shall provide, at no cost to the employee, appropriate personal protective equipment such as, but not limited to, gloves, gowns, laboratory coats, face shields or masks and eye protection, and mouthpieces, resuscitation bags, pocket masks, or other ventilation devices. Personal protective equipment will be considered “appropriate” only if it does not permit blood or OPIM to pass through to or reach the employee's work clothes, street clothes, undergarments, skin, eyes, mouth, or other mucous membranes under normal conditions of use and for the duration of time which the protective equipment will be used.

Note: For fire fighters, these requirements are in addition to those specified in Sections 3401-3411, and are intended to be consistent with those requirements.
(B) Use. The employer shall ensure that the employee uses appropriate personal protective equipment unless the employer shows that the employee temporarily and briefly declined to use personal protective equipment when, under rare and extraordinary circumstances, it was the employee's professional judgment that in the specific instance its use would have prevented the delivery of health care or public safety services or would have posed an increased hazard to the safety of the worker or co-worker. When the employee makes this judgment, the circumstances shall be investigated and documented in order to determine whether changes can be instituted to prevent such occurences in the future. The employer shall encourage employees to report all such instances without fear of reprisal in accordance with Section 3203.
(C) Accessibility. The employer shall ensure that appropriate personal protective equipment in the appropriate sizes is readily accessible at the worksite or is issued to employees. Hypoallergenic gloves, glove liners, powderless gloves, or other similar alternatives shall be readily accessible to those employees who are allergic to the gloves normally provided.
(D) Cleaning, Laundering, and Disposal. The employer shall clean, launder, and dispose of personal protective equipment required by subsections (d) and (e) of this standard, at no cost to the employee.
(E) Repair and Replacement. The employer shall repair or replace personal protective equipment as needed to maintain its effectiveness, at no cost to the employee.
(F) Removal.
1. If a garment(s) is penetrated by blood or OPIM, the garment(s) shall be removed immediately or as soon as feasible.
2. All personal protective equipment shall be removed prior to leaving the work area.
3. When personal protective equipment is removed it shall be placed in an appropriately designated area or container for storage, washing, decontamination or disposal.
(G) Gloves. Gloves shall be worn when it can be reasonably anticipated that the employee may have hand contact with blood, OPIM, mucous membranes, and non-intact skin; when performing vascular access procedures except as specified in subsection (d)(4)(G)4.; and when handling or touching contaminated items or surfaces. These requirements are in addition to the provisions of Section 3384.
1. Disposable (single use) gloves such as surgical or examination gloves, shall be replaced as soon as practical when contaminated or as soon as feasible if they are torn, punctured, or when their ability to function as a barrier is compromised.
2. Disposable (single use) gloves shall not be washed or decontaminated for re-use.
3. Utility gloves may be decontaminated for re-use if the integrity of the glove is not compromised. However, they must be discarded if they are cracked, peeling, torn, punctured, or exhibit other signs of deterioration or when their ability to function as a barrier is compromised.
4. If an employer in a volunteer blood donation center judges that routine gloving for all phlebotomies is not necessary then the employer shall:
a. Periodically reevaluate this policy;
b. Make gloves available to all employees who wish to use them for phlebotomy;
c. Not discourage the use of gloves for phlebotomy; and
d. Require that gloves be used for phlebotomy in the following circumstances:
i. When the employee has cuts, scratches, or other breaks in his or her skin;
ii. When the employee judges that hand contamination with blood may occur, for example, when performing phlebotomy on an uncooperative source individual; and
iii. When the employee is receiving training in phlebotomy.
(H) Masks, Eye Protection, Face Shields, and Respirators.
1. Masks in combination with eye protection devices, such as goggles or glasses with solid side shields, or chin-length face shields, shall be worn whenever splashes, spray, spatter, or droplets of blood or OPIM may be generated and eye, nose, or mouth contamination can be reasonably anticipated. These requirements are in addition to the provisions of Section 3382.
2. Where respiratory protection is used, the provisions of Sections 5144 and 5147 are required as applicable.

Note: Surgical masks are not  respirators.
(I) Gowns, Aprons, and Other Protective Body Clothing. 
1. Appropriate protective clothing such as, but not limited to, gowns, aprons, lab coats, clinic jackets, or similar outer garments shall be worn in occupational exposure situations. The type and characteristics will depend upon the task and degree of exposure anticipated. These requirements are in addition to the provisions of Section 3383.
2. Surgical caps or hoods and/or shoe covers or boots shall be worn in instances when gross contamination can reasonably be anticipated (e.g., autopsies, orthopaedic surgery). These requirements are in addition to the provisions of Section 3383.
(e) HIV, HBV and HCV Research Laboratories and Production Facilities.
(1) General.
This subsection applies in addition to the other requirements of this section to research laboratories and production facilities engaged in the culture, production, concentration, experimentation, and manipulation of HIV, HBV and HCV.

Exception: This subsection does not apply to clinical or diagnostic laboratories engaged solely in the analysis of blood, tissues, or organs.
(2) Research laboratories and production facilities shall meet the following criteria:
(A) Standard Microbiological Practices. All regulated waste shall either be incinerated or decontaminated by a method such as autoclaving known to effectively destroy bloodborne pathogens. Such methods are further specified in Health and Safety Code Section 118215.
(B) Special Practices.
1. Laboratory doors shall be kept closed when work involving HIV, HBV or HCV is in progress.
2. Contaminated materials that are to be decontaminated at a site away from the work area shall be placed in a durable, leakproof, labeled or color-coded container that is closed before being removed from the work area.
3. Access to the work area shall be limited to authorized persons. Written policies and procedures shall be established whereby only persons who have been advised of the potential biohazard, who meet any specific entry requirements, and who comply with all entry and exit procedures shall be allowed to enter the work areas and animal rooms.
4. When OPIM or infected animals are present in the work area or containment module, a hazard warning sign incorporating the universal biohazard symbol shall be posted on all access doors. The hazard warning sign shall comply with subsection (g)(1)(B) of this standard.
5. All activities involving OPIM shall be conducted in biological safety cabinets or other physical-containment devices within the containment module. No work with these OPIM shall be conducted on the open bench.
6. Laboratory coats, gowns, smocks, uniforms, or other appropriate protective clothing shall be used in the work area and animal rooms. Protective clothing shall not be worn outside of the work area and shall be decontaminated before being laundered.
7. Special care shall be taken to avoid skin contact with OPIM. Gloves shall be worn when handling infected animals and when making hand contact with OPIM is unavoidable.
8. Before disposal, all waste from work areas and from animal rooms shall either be incinerated or decontaminated by a method such as autoclaving known to effectively destroy bloodborne pathogens.
9. Vacuum lines shall be protected with liquid disinfectant traps and HEPA filters or filters of equivalent or superior efficiency and which are checked routinely and maintained or replaced as necessary.
10. Hypodermic needles and syringes shall be used only for parenteral injection and aspiration of fluids from laboratory animals and diaphragm bottles. Only needle-locking syringes or disposable syringe-needle units (i.e., the needle is integral to the syringe) shall be used for the injection or aspiration of OPIM. Extreme caution shall be used when handling needles and syringes. A needle shall not be bent, sheared, replaced in the sheath or guard, or removed from the syringe following use. The needle and syringe shall be promptly placed in a puncture-resistant container and autoclaved or decontaminated before reuse or disposal.
11. All spills shall be immediately contained and cleaned up by appropriate professional staff or others properly trained and equipped to work with potentially concentrated infectious materials.
12. A spill or accident that results in an exposure incident shall be immediately reported to the laboratory director or other responsible person.
13. Written biosafety procedures shall be prepared and adopted into the Exposure Control Plan of subsection (c)(1). Personnel shall be advised of potential hazards, shall be required to read instructions on practices and procedures, and shall be required to follow them.
(C) Containment Equipment.
1. Certified biological safety cabinets (Class I, II, or III) or other appropriate combinations of personal protection or physical containment devices, such as special protective clothing, respirators, centrifuge safety cups, sealed centrifuge rotors, and containment caging for animals, shall be used for all activities with OPIM that pose a threat of exposure to droplets, splashes, spills, or aerosols.
2. Biological safety cabinets shall be certified by the employer that they meet manufacturers' specifications when installed, whenever they are moved and at least annually.
(3) HIV, HBV and HCV research laboratories shall meet the following criteria:
(A) Each laboratory shall contain a facility for hand washing and an eye wash facility which is readily available within the work area.
(B) An autoclave for decontamination of regulated waste shall be available.

Note: Treatment of medical waste should meet the requirements of Health and Safety Code Section 118215.
(4) HIV, HBV and HCV production facilities shall meet the following criteria:
(A) The work areas shall be separated from areas that are open to unrestricted traffic flow within the building. Passage through two sets of doors shall be the basic requirement for entry into the work area from access corridors or other contiguous areas. Physical separation of the high-containment work area from access corridors or other areas or activities may also be provided by a double-doored clothes-change room (showers may be included), airlock, or other access facility that requires passing through two sets of doors before entering the work area.
(B) The surfaces of doors, walls, floors and ceilings in the work area shall be water resistant so that they can be easily cleaned. Penetrations in these surfaces shall be sealed or capable of being sealed to facilitate decontamination.
(C) Each work area shall contain a sink for washing hands and a readily available eye wash facility. The sink shall be foot, elbow, or automatically operated and shall be located near the exit door of the work area.
(D) Access doors to the work area or containment module shall be self-closing.
(E) An autoclave for decontamination of regulated waste shall be available within or as near as possible to the work area.

Note: Treatment of medical waste should meet the requirements of Health and Safety Code Section 118215.
(F) A ducted exhaust-air ventilation system shall be provided. This system shall create directional airflow that draws air into the work area through the entry area. The exhaust air shall not be recirculated to any other area of the building, shall be discharged to the outside, and shall be dispersed away from occupied areas and air intakes. The proper direction of the airflow shall be verified (i.e., into the work area). The ventilation system shall conform to the requirements of Article 107.
(5) Training Requirements.
Training requirements for employees in HIV, HBV and HCV research laboratories and HIV, HBV and HCV production facilities are specified in subsection (g)(2) and they shall receive in addition the following initial training:
(A) The employer shall assure that employees demonstrate proficiency in standard microbiological practices and techniques and in the practices and operations specific to the facility before being allowed to work with HIV, HBV or HCV.
(B) The employer shall assure that employees have prior experience in the handling of human pathogens or tissue cultures before working with HIV, HBV or HCV.
(C) The employer shall provide a training program to employees who have no prior experience in handling human pathogens. Initial work activities shall not include the handling of infectious agents. A progression of work activities shall be assigned as techniques are learned and proficiency is developed. The employer shall assure that employees participate in work activities involving infectious agents only after proficiency has been demonstrated.
(f) Hepatitis B Vaccination and Bloodborne Pathogen Post-exposure Evaluation and Follow-up.
(1) General.
(A) The employer shall make available the hepatitis B vaccine and vaccination series to all employees who have occupational exposure, and post-exposure evaluation and follow-up for bloodborne pathogens exposure to all employees who have had an exposure incident. When an employer is also acting as the evaluating health care professional, the employer shall advise an employee following an exposure incident that the employee may refuse to consent to post-exposure evaluation and follow-up from the employer-healthcare professional. When consent is refused, the employer shall make immediately available to exposed employees a confidential medical evaluation and follow-up from a healthcare professional other than the exposed employee's employer.

Exception: Designated first aid providers who have occupational exposure are not required to be offered pre-exposure hepatitis B vaccine if the following conditions exist:
1. The primary job assignment of such designated first aid providers is not the rendering of first aid.
a. Any first aid rendered by such persons is rendered only as a collateral duty responding solely to injuries resulting from workplace incidents, generally at the location where the incident occurred.
b. This exception does not apply to designated first aid providers who render assistance on a regular basis, for example, at a first aid station, clinic, dispensary, or other location where injured employees routinely go for such assistance, and emergency or public safety personnel who are expected to render first aid in the course of their work.
2. The employer's Exposure Control Plan, subsection (c)(1), shall specifically address the provision of hepatitis B vaccine to all unvaccinated first aid providers who have rendered assistance in any situation involving the presence of blood or OPIM (regardless of whether an actual exposure incident, as defined by subsection (b), occurred) and the provision of appropriate post-exposure evaluation, prophylaxis and follow-ups for those employees who experience an exposure incident as defined in subsection (b), including:
a. Provisions for a reporting procedure that ensures that all first aid incidents involving the presence of blood or OPIM shall be reported to the employer before the end of work shift during which the first aid incident occurred.
i. The report must include the names of all first aid providers who rendered assistance, regardless of whether personal protective equipment was used and must describe the first aid incident, including time and date.
A. The description must include a determination of whether or not, in addition to the presence of blood or OPIM, an exposure incident, as defined in subsection (b), occurred.
B. This determination is necessary in order to ensure that the proper post-exposure evaluation, prophylaxis and follow-up procedures required by subsection (f)(3) are made available immediately if there has been an exposure incident, as defined in subsection (b).
ii. The report shall be recorded on a list of such first aid incidents. It shall be readily available to all employees and shall be provided to the Chief upon request.
b.  Provision for the bloodborne pathogens training program, required by subsection (g)(2), for designated first aiders to include the specifics of the reporting requirements of subsection (f)(3) and of this exception.
c. Provision for the full hepatitis B vaccination series to be made available as soon as possible, but in no event later than 24 hours, to all unvaccinated first aid providers who have rendered assistance in any situation involving the presence of blood or OPIM regardless of whether or not a specific exposure incident, as defined by subsection (b), has occurred.
3. The employer must implement a procedure to ensure that all of the provisions of subsection 2. of this exception are complied with if pre-exposure hepatitis B vaccine is not to be offered to employees meeting the conditions of subsection 1. of this exception.
(B) The employer shall ensure that all medical evaluations and procedures, including the hepatitis B vaccine and vaccination series and post-exposure evaluation and follow-up, including prophylaxis, are:
1. Made available at no cost to the employee;
2. Made available to the employee at a reasonable time and place;
3. Performed by or under the supervision of a licensed physician or by or under the supervision of another licensed healthcare professional; and
4. Provided according to recommendations of the U.S. Public Health Service current at the time these evaluations and procedures take place, except as specified by this subsection (f).
(C) The employer shall ensure that all laboratory tests are conducted by an accredited laboratory at no cost to the employee.
(2) Hepatitis B Vaccination.
(A) Hepatitis B vaccination shall be made available after the employee has received the training required in subsection (g)(2)(G)9. and within 10 working days of initial assignment to all employees who have occupational exposure unless the employee has previously received the complete hepatitis B vaccination series, antibody testing has revealed that the employee is immune, or the vaccine is contraindicated for medical reasons.
(B) The employer shall not make participation in a prescreening program a prerequisite for receiving hepatitis B vaccination.
(C) If the employee initially declines hepatitis B vaccination but at a later date while still covered under the standard decides to accept the vaccination, the employer shall make available hepatitis B vaccination at that time.
(D) The employer shall assure that employees who decline to accept hepatitis B vaccination offered by the employer sign the statement in Appendix A.
(E) If a routine booster dose(s) of hepatitis B vaccine is recommended by the U.S. Public Health Service at a future date, such booster dose(s) shall be made available in accordance with section (f)(1)(B).
(3) Post-exposure Evaluation and Follow-up.
Following a report of an exposure incident, the employer shall make immediately available to the exposed employee a confidential medical evaluation and follow-up, including at least the following elements:
(A) The employer shall document the route(s) of exposure, and the circumstances under which the exposure incident occurred;
(B) The employer shall identify and document the source individual, unless the employer can establish that identification is infeasible or prohibited by state or local law;
1. The source individual's blood shall be tested as soon as feasible and after consent is obtained in order to determine HBV, HCV and HIV infectivity. If consent is not obtained, the employer shall establish that legally required consent cannot be obtained. When the source individual's consent is not required by law, the source individual's blood, if available, shall be tested and the results documented.
2. When the source individual is already known to be infected with HBV, HCV or HIV, testing for the source individual's known HBV, HCV or HIV status need not be repeated.
3. Results of the source individual's testing shall be made available to the exposed employee, and the employee shall be informed of applicable laws and regulations concerning disclosure of the identity and infectious status of the source individual.
(C) The employer shall provide for collection and testing of the employee's blood for HBV, HCV and HIV serological status;
1. The exposed employee's blood shall be collected as soon as feasible and tested after consent is obtained.
2. If the employee consents to baseline blood collection, but does not give consent at that time for HIV serologic testing, the sample shall be preserved for at least 90 days. If, within 90 days of the exposure incident, the employee elects to have the baseline sample tested, such testing shall be done as soon as feasible.
3. Additional collection and testing shall be made available as recommended by the U.S. Public Health Service.
(D) The employer shall provide for post-exposure prophylaxis, when medically indicated, as recommended by the U.S. Public Health Service;
(E) The employer shall provide for counseling and evaluation of reported illnesses.
(4) Information Provided to the Healthcare Professional.
(A) The employer shall ensure that the healthcare professional responsible for the employee's hepatitis B vaccination is provided a copy of this regulation.
(B) The employer shall ensure that the healthcare professional evaluating an employee after an exposure incident is provided the following information:
1. A copy of this regulation;
2. A description of the exposed employee's duties as they relate to the exposure incident;
3. Documentation of the route(s) of exposure and circumstances under which exposure occurred, as required by subsection (f)(3)(A);
4. Results of the source individual's blood testing, if available; and
5. All medical records relevant to the appropriate treatment of the employee including vaccination status which are the employer's responsibility to maintain, as required by subsection (h)(1)(B)2.
(5) Healthcare Professional's Written Opinion.
The employer shall obtain and provide the employee with a copy of the evaluating healthcare professional's written opinion within 15 days of the completion of the evaluation.
(A) The healthcare professional's written opinion for hepatitis B vaccination shall be limited to whether hepatitis B vaccination is indicated for an employee, and if the employee has received such vaccination.
(B) The healthcare professional's written opinion for post-exposure evaluation and follow-up shall be limited to the following information:
1. That the employee has been informed of the results of the evaluation; and
2. That the employee has been told about any medical conditions resulting from exposure to blood or OPIM which require further evaluation or treatment.
(C) All other findings or diagnoses shall remain confidential and shall not be included in the written report.
(6) Medical Recordkeeping.
Medical records required by this standard shall be maintained in accordance with subsection (h)(1) of this section.
(g) Communication of Hazards to Employees.
(1) Labels and Signs.
(A) Labels.
1. Warning labels shall be affixed to containers of regulated waste, refrigerators and freezers containing blood or OPIM; and other containers used to store, transport or ship blood or OPIM, except as provided in subsection (g)(1)(A)5., 6. and 7.

Note: Other labeling provisions, such as Health and Safety Code Sections 118275 through 118320 may be applicable.
2. Labels required by this section shall include either the following legend as required by Section 3341:

View Graphic
Or in the case of regulated waste the legend:

BIOHAZARDOUS WASTE or SHARPS WASTE
as described in Health and Safety Code Sections 118275 through 118320.
3. These labels shall be fluorescent orange or orange-red or predominantly so, with lettering and symbols in a contrasting color.
4. Labels required by subsection (g)(1)(A) shall either be an integral part of the container or shall be affixed as close as feasible to the container by string, wire, adhesive, or other method that prevents their loss or unintentional removal.
5. Red bags or red containers may be substituted for labels except for sharp containers or regulated waste red bags. Bags used to contain regulated waste shall be color-coded red and shall be labeled in accordance with subsection (g)(1)(A)2. Labels on red bags or red containers do not need to be color-coded in accordance with subsection (g)(1)(A)3.
6. Containers of blood, blood components, or blood products that are labeled as to their contents and have been released for transfusion or other clinical use are exempted from the labeling requirements of subsection (g).
7. Individual containers of blood or OPIM that are placed in a labeled container during storage, transport, shipment or disposal are exempted from the labeling requirement.
8. Labels required for contaminated equipment shall be in accordance with this subsection and shall also state which portions of the equipment remain contaminated.
9. Regulated waste that has been decontaminated need not be labeled or color-coded.
(B) Signs.
1. The employer shall post signs at the entrance to work areas specified in subsection (e), HIV, HBV and HCV Research Laboratory and Production Facilities, which shall bear the following legend:

View Graphic
(Name of the Infectious Agent)
(Special requirements for entering the area)
(Name, telephone number of the laboratory director or other responsible person.)
2. These signs shall be fluorescent orange-red or predominantly so, with lettering and symbols in a contrasting color, and meet the requirements of Section 3340.
(2) Information and Training.
(A) Employers shall ensure that all employees with occupational exposure participate in a training program which must be provided at no cost to the employee and during working hours.
(B) Training shall be provided as follows:
1. At the time of initial assignment to tasks where occupational exposure may take place;
2. At least annually thereafter.
(C) For employees who have received training on bloodborne pathogens in the year preceding the effective date of the standard, only training with respect to the provisions of the standard which were not included need be provided.
(D) Annual training for all employees shall be provided within one year of their previous training.
(E) Employers shall provide additional training when changes, such as introduction of new engineering, administrative or work practice controls, modification of tasks or procedures or insitituion of new tasks or procedures, affect the employee's occupational exposure. The additional training may be limited to addressing the new exposures created.
(F) Material appropriate in content and vocabulary to educational level, literacy, and language of employees shall be used.
(G) The training program shall contain at a minimum the following elements:
1. Copy and Explanation of Standard. An accessible copy of the regulatory text of this standard and an explanation of its contents;
2. Epidemiology and Symptoms. A general explanation of the epidemiology and symptoms of bloodborne diseases;
3. Modes of Transmission. An explanation of the modes of transmission of bloodborne pathogens;
4. Employer's Exposure Control Plan. An explanation of the employer's exposure control plan and the means by which the employee can obtain a copy of the written plan;
5. Risk Identification. An explanation of the appropriate methods for recognizing tasks and other activities that may involve exposure to blood and OPIM;
6. Methods of Compliance. An explanation of the use and limitations of methods that will prevent or reduce exposure including appropriate engineering controls, administrative or work practice controls and personal protective equipment;
7. Decontamination and Disposal. Information on the types, proper use, location, removal, handling, decontamination and disposal of personal protective equipment;
8. Personal Protective Equipment. An explanation of the basis for selection of personal protective equipment;
9. Hepatitis B Vaccination. Information on the hepatitis B vaccine, including information on its efficacy, safety, method of administration, the benefits of being vaccinated, and that the vaccine and vaccination will be offered free of charge;
10. Emergency. Information on the appropriate actions to take and persons to contact in an emergency involving blood or OPIM;
11. Exposure Incident. An explanation of the procedure to follow if an exposure incident occurs, including the method of reporting the incident, the medical follow-up that will be made available and the procedure for recording the incident on the Sharps Injury Log;
12. Post-Exposure Evaluation and Follow-Up. Information on the post-exposure evaluation and follow-up that the employer is required to provide for the employee following an exposure incident;
13. Signs and Labels. An explanation of the signs and labels and/or color coding required by subsection (g)(1); and
14. Interactive Questions and Answers. An opportunity for interactive questions and answers with the person conducting the training session.

Note: Additional training is required for employees of HIV, HBV, and HCV Research Laboratories and Production Facilities, as described in subsection (e)(5).
(H) The person conducting the training shall be knowledgeable in the subject matter covered by the elements contained in the training program as it relates to the workplace that the training will address.
(h) Recordkeeping.
(1) Medical Records.
(A) The employer shall establish and maintain an accurate record for each employee with occupational exposure, in accordance with Section 3204.
(B) This record shall include:
1. The name and social security number of the employee;
2. A copy of the employee's hepatitis B vaccination status including the dates of all the hepatitis B vaccinations and any medical records relative to the employee's ability to receive vaccination as required by subsection (f)(2);
3. A copy of all results of examinations, medical testing, and follow-up procedures as required by subsection (f)(3);
4. The employer's copy of the healthcare professional's written opinion as required by subsection (f)(5); and
5. A copy of the information provided to the healthcare professional as required by subsections (f)(4)(B)2., 3. and 4.
(C) Confidentiality. The employer shall ensure that employee medical records required by subsection (h)(1) are:
1. Kept confidential; and
2. Not disclosed or reported without the employee's express written consent to any person within or outside the workplace except as required by this section or as may be required by law.
(D) The employer shall maintain the records required by subsection (h)(1) for at least the duration of employment plus 30 years in accordance with Section 3204.
(2) Training Records.
(A) Training records shall include the following information:
1. The dates of the training sessions;
2. The contents or a summary of the training sessions;
3. The names and qualifications of persons conducting the training; and
4. The names and job titles of all persons attending the training sessions.
(B) Training records shall be maintained for 3 years from the date on which the training occurred.
(3) Sharps Injury Log.
The Sharps Injury Log shall be maintained 5 years from the date the exposure incident occurred.
(4) Availability.
(A) The employer shall ensure that all records required to be maintained by this section shall be made available upon request to the Chief and NIOSH for examination and copying.
(B) Employee training records required by this subsection shall be provided upon request for examination and copying to employees, to employee representatives, to the Chief, and to NIOSH.
(C) Employee medical records required by this subsection shall be provided upon request for examination and copying to the subject employee, to anyone having written consent of the subject employee, to the Chief, and to NIOSH in accordance with Section 3204.
(D) The Sharps Injury Log required by subsection (c)(2) shall be provided upon request for examination and copying to employees, to employee representatives, to the Chief, to the Department of Health Services, and to NIOSH.
(5) Transfer of Records.
(A) The employer shall comply with the requirements involving transfer of records set forth in Section 3204.
(B) If the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify NIOSH, at least three months prior to their disposal and transmit them to the NIOSH, if required by the NIOSH to do so, within that three month period.
(i) Appendix.
Appendix A to this section is incorporated as a part of this section and the provision is mandatory.

Appendix A--Hepatitis B Vaccine Declination

(MANDATORY)
The employer shall assure that employees who decline to accept hepatitis B vaccination offered by the employer sign the following statement as required by subsection (f)(2)(D):
I understand that due to my occupational exposure to blood or OPIM I may be at risk of acquiring hepatitis B virus (HBV) infection. I have been given the opportunity to be vaccinated with hepatitis B vaccine, at no charge to myself. However, I decline hepatitis B vaccination at this time. I understand that by declining this vaccine, I continue to be at risk of acquiring hepatitis B, a serious disease. If in the future I continue to have occupational exposure to blood or OPIM and I want to be vaccinated with hepatitis B vaccine, I can receive the vaccination series at no charge to me.
NOTE

Authority cited: Sections 142.3 and 144.7, Labor Code. Reference: Sections 142.3 and 144.7, Labor Code; Sections 117600 through 118360, Health and Safety Code.
HISTORY

1. New section filed 12-9-92; operative 1-11-93 (Register 92, No. 50).
2. Editorial correction of printing errors in subsections (c)(1)(A) and (d)(2)(C) (Register 93, No. 32).
3. Amendment of subsections (g)(1)(A)2. and (g)(1)(B)2. filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
4. Amendment filed 1-22-99 as an emergency; effective 1-22-99 (Register 99, No. 4). The emergency regulation filed 1-22-99 shall remain in effect until the nonemergency regulation becomes operative or until August 1, 1999, whichever first occurs pursuant to Labor Code section 144.7(a).
5. Permanent adoption of 1-22-99 amendments, including further amendments, filed 7-30-99 pursuant to Labor Code section 144.7(a); operative 7-30-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 31). 
6. Repealer of subsection (c)(1)(D)2., new subsections (c)(1)(D)2.a.-b. and (c)(1)(E), subsection relettering, amendment of subsection (c)(2), new subsections (c)(2)(D)-(E) and amendment of subsections (d)(3)(B)2.Exception, (d)(3)(E)3.b., (d)(3)(H)1.b. and (d)(3)(H)2.a. filed 8-3-2001; operative 8-3-2001. Submitted to OAL for printing only. Exempt from OAL review pursuant to Labor Code section 142.3 (Register 2001, No. 31).
7. Change without regulatory effect providing more legible illustrations for biohazard symbols filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5194. Hazard Communication.
Note     •     History

(a) (Reserved)
(b) Scope and Application.
(1) This section requires manufacturers or importers to assess the hazards of substances which they produce or import, and all employers to provide information to their employees about the hazardous substances to which they may be exposed, by means of a hazard communication program, labels and other forms of warning, material safety data sheets, and information and training. In addition, this section requires distributors to transmit the required information to employers.
(2) This section applies to any hazardous substance which is known to be present in the work place in such a manner that employees may be exposed under normal conditions of use or in a reasonably foreseeable emergency resulting from work place operations.
(3) This section applies to laboratories that primarily provide quality control analyses for manufacturing processes or that produce hazardous substances for commercial purposes, and to all other laboratories except those under the direct supervision and regular observation of an individual who has knowledge of the physical hazards, health hazards, and emergency procedures associated with the use of the particular hazardous substances involved, and who conveys this knowledge to employees in terms of safe work practices. Such excepted laboratories must also ensure that labels of incoming containers of hazardous substances are not removed or defaced pursuant to section 5194(f)(4), and must maintain any material safety data sheets that are received with incoming shipments of hazardous substances and ensure that they are readily available to laboratory employees pursuant to section 5194(g).
(4) This section does not require labeling of the following substances:
(A) Any pesticide as such term is defined in the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136 et seq.), when subject to the labeling requirements of that Act and labeling regulations issued under that Act by the Environmental Protection Agency;
(B) Any food, food additive, color additive, drug, cosmetic, or medical or veterinary device, including materials intended for use as ingredients in such products (e.g., flavors and fragrances), as such terms are defined in the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et seq.) and regulations issued under that Act, when they are subject to the labeling requirements of that Act and labeling regulations issued under that Act by the Food and Drug Administration;
(C) Any distilled spirits (beverage alcohols), wine, or malt beverage intended for nonindustrial use, as such terms are defined in the Federal Alcohol Administration Act (27 U.S.C. 201 et seq.) and regulations issued under that Act, when subject to the labeling requirements of that Act and labeling regulations issued under that Act by the Bureau of Alcohol, Tobacco, and Firearms; and;
(D) Any consumer product or hazardous substance as those terms are defined in the Consumer Product Safety Act (15 U.S.C. 2051 et seq.) and Federal Hazardous Substances Act (15 U.S.C. 1261 et seq.) respectively, when subject to a consumer product safety standard or labeling requirement of those Acts, or regulations issued under those Acts by the Consumer Product Safety Commission.
(5) This section does not apply to:
(A) Any hazardous waste as such term is defined by the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of 1976, as amended (42U.S.C. 6901 et seq.), when subject to regulations issued under that Act by the Environmental Protection Agency;
(B) Tobacco or tobacco products;
(C) Wood or wood products including lumber which will not be processed, where the manufacturer or importer can establish that the only hazard they pose to employees is the potential for flammability or combustibility (non-excluded hazardous substances which are used in conjunction with wood or wood products, or are known to be present as impurities in those materials, and wood which may be subsequently sawed or cut, generating dust, are covered by this section);
(D) Articles (hazardous substances used in the manufacture or use of an article are covered by this section unless otherwise excluded);
(E) Foods, drugs, or cosmetics intended for personal consumption by employees while in the workplace;
(F) Retail food sale establishments and all other retail trade establishments, exclusive of processing and repair work areas;
(G) Consumer products packaged for distribution to, and use by, the general public, provided that employee exposure to the product is not significantly greater than the consumer exposure occurring during the principal consumer use of the product;
(H) The use of a substance in compliance with regulations of the Director of the Department of Pesticide Regulation issued pursuant to section 12981 of the Food and Agricultural Code.
(I) Work operations where employees only handle substances in sealed containers which are not opened under normal conditions of use (such as are found in marine cargo handling, warehousing, or transportation); however, this section does apply to these operations as follows:
1. Employers shall ensure that labels on incoming containers of hazardous substances are not removed or defaced;
2. Employers shall maintain copies of any material safety data sheets that are received with incoming shipments of the sealed containers of hazardous substances, shall obtain a material safety data sheet for sealed containers of hazardous substances received without a material safety data sheet if an employee requests the material safety data sheet, and shall ensure that the material safety data sheets are readily accessible during each work shift to employees when they are in their work area(s); and,
3. Employers shall ensure that employees are provided with information and training in accordance with subsection (h) except for the location and availability of the written hazard communication program under subsection (h)(2)(C), to the extent necessary to protect them in the event of a spill or leak of a hazardous substance from a sealed container.
(6) Proposition 65 Warnings.
(A) Notwithstanding any other provision of law including the preceding subsections, an employer which is a person in the course of doing business within the meaning of Health and Safety Code Section 25249.11(a) and (b), is subject to the Safe Drinking Water and Toxic Enforcement Act of 1986 (Proposition 65 or the “Act”) (Health and Safety Code § 25249.5 et seq.), and shall comply with the Act in the manner set forth in subsections (B) and (C) below. The following employers are not subject to the Act:
1. an employer employing fewer than ten employees;
2. any city, county, or district or any department or agency thereof or the state or any department or agency thereof or the federal government or any department or agency thereof;
3. any entity in its operation of a public water system as defined in Health and Safety Code Section 4010.1.
(B) Exposures Subject to Proposition 65 and Hazard Communication. Before exposing any employee to any hazardous substance that otherwise falls within the scope of this section and which requires a warning under this Act (see 22 CCR Section 12000, Chemicals Known to the State to Cause Cancer or Reproductive Toxicity) except as provided in subsection (D) below, any employer subject to the Act shall comply with the requirements set forth in subsections (d) through (k). Such compliance shall be deemed compliance with the Act.
(C) Exposures Subject to Proposition 65 Only. Before knowingly and intentionally exposing any employee to any hazardous substance that does not otherwise fall within the scope of the section, but which requires a warning under the Act (see 22 CCR Section 12000, Chemicals Known to the State to Cause Cancer or Reproductive Toxicity) except as provided in subsection (D) below, any employer subject to the Act shall either provide a warning to employees in compliance with California Code of Regulations Title 22 (22 CCR) Section 12601(c) in effect on May 9, 1991 or shall comply with the requirements set forth in subsections (d) through (k).
(D) Exposures Not Subject to Proposition 65. A warning required by subsection (B) and (C) above shall not apply to any of the following:
1. An exposure for which federal law governs warning in a manner that preempts state authority.
2. An exposure that takes place less than twelve months subsequent to the listing of the chemical in 22 CCR Section 12000.
3. An exposure for which the employer responsible can show that the exposure poses no significant risk assuming lifetime exposure at the level in question for the chemicals known to the State to cause cancer, and that the exposure will have no observable effect assuming exposure at one thousand (1,000) times the level in question for chemicals known to the State to cause reproductive toxicity, based on evidence and standards of comparable scientific validity to the evidence and standards which form the scientific basis for the listing of such chemical in 22 CCR Section 12000. In any enforcement action the burden of showing that an exposure meets the criteria of this subsection shall be on the employer.
(E) Additional Enforcement of Proposition 65. In addition to any other applicable enforcement provision, violations or threatened violations of the Act may be enforced in the manner set forth in Health and Safety Code Section 25249.7 for violations and threatened violations of Health and Safety Code Section 25249.6. Compliance with 22 CCR Section 12601(c) in effect on May 9, 1991 shall be deemed a defense to an enforcement action under Health and Safety Code Section 25249.7.
(F) All terms and provisions of subsection (b)(6) shall have the same meaning as the following 22 CCR Sections in effect on May 9, 1991: 12201(a), 12201(b), 12201(c), 12201(d), 12201(f), 12201(k), 12502, 12601, 12701(a), 12701(b), 12701(d), 12703, 12705, 12707, 12709, 12711, 12721, 12801, 12803, 12805, 12821 and 12901. The above listed 22 CCR Sections in effect on May 9, 1991 are printed in Appendix E to this section. Additionally, all terms and provisions of subsection (b)(6) shall have the same meaning as in the Act and in 22 CCR Section 12000.
(c) Definitions.
Article.
A manufactured item: (1) Which is formed to a specific shape or design during manufacture; (2) which has end use function(s) dependent in whole or in part upon it shape or design during end use; and (3) which does not release, or otherwise result in exposure to, a hazardous substance under normal conditions of use or in a reasonably foreseeable emergency resulting from workplace operations.
CAS number.
The unique identification number assigned by the Chemical Abstracts Service to specific chemical substances.
Chemical name.
The scientific designation of a chemical in accordance with the nomenclature system developed by the International Union of Pure and Applied Chemistry (IUPAC) or the Chemical Abstracts Service (CAS) rules of nomenclature, or a name which will clearly identify the substance for the purpose of conducting a hazard evaluation.
Chief.
The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142, or designee.
Combustible liquid.
Any liquid having a flashpoint at or above 100o F (37.8o C), but below 200o F (93.3o C), except any mixture having components with flashpoints of 200o F (93.3o C), or higher, the total volume of which make up 99 percent or more of the total volume of the mixture.
Common name.
Any designation or identification such as code name, code number, trade name, brand name or generic name used to identify a substance other than by its chemical name.
Compressed gas.
Compressed gas means:
(A) A gas or mixture of gases having, in a container, an absolute pressure exceeding 40 psi at 70o F (21.1o C); or
(B) A gas or mixture of gases having, in a container, an absolute pressure exceeding 104 psi at 130o F (54.4o C) regardless of the pressure at 70o F (21.1o C); or
(C) A liquid having a vapor pressure exceeding 40 psi at 100o F (37.8o  C) as determined by ASTM D-323-72.
Container.
Any bag, barrel, bottle, box, can, cylinder, drum, reaction vessel, storage tank, tank truck, or the like that contains a hazardous substance. For purposes of this section, pipes or piping systems are not considered to be containers.
Department.
The Department of Industrial Relations, P.O. Box 420603, San Francisco, CA 94142, or designee.
Designated representative.
Any individual or organization to whom an employee gives written authorization to exercise such employee's rights under this section. A recognized or certified collective bargaining agent shall be treated automatically as a designated representative without regard to written employee authorization.
Director.
The Director of Industrial Relations, P.O. Box 420603, San Francisco, CA 94142, or designee.
Distributor.
A business, other than a manufacturer or importer, which supplies hazardous substances to other distributors or to employers.
Division.
The Division of Occupational Safety and Health (Cal/OSHA), California Department of Industrial Relations, or designee.
Emergency.
Any potential occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment, which may or does result in a release of a hazardous substance into the workplace.
Employee.
Every person who is required or directed by any employer, to engage in any employment, or to go to work or be at any time in any place of employment.
Employer.
Employer means:
(A) The State and every State agency.
(B) Each county, city, district, and all public and quasi-public corporations and public agencies therein.
(C) Every person including any public service corporation, which has any natural person in service.
(D) The legal representative of any deceased employer.
Explosive. A substance that causes a sudden, almost instantaneous release of pressure, gas, and heat when subjected to sudden shock, pressure, or high temperature.
Exposure or Exposed.
Any situation arising from work operation where an employee may ingest, inhale, absorb through the skin or eyes, or otherwise come into contact with a hazardous substance.
Flammable.
A substance that falls into one of the following categories:
(A) Aerosol, flammable. An aerosol that, when tested by the method described in 16 CFR 1500.45, yields a flame projection exceeding 18 inches at full valve opening, or a flashback (a flame extending back to the valve) at any degree of valve opening;
(B) Gas, flammable:
1. A gas that, at ambient temperature and pressure, forms a flammable mixture with air at a concentration of thirteen (13) percent of volume or less; or
2. A gas that, at ambient temperature and pressure, forms a range of flammable mixtures with air wider than twelve (12) percent by volume, regardless of the lower limit;
(C) Liquid, flammable. Any liquid having a flashpoint below 100o F (37.8o C), except any mixture having components with flashpoints of 100o  F (37.8o C) or higher, the total of which make up 99 percent or more of the total volume of the mixture.
(D) Solid, flammable. A solid, other than a blasting agent or explosive as defined in section 5237(a), that is liable to cause fire through friction, absorption of moisture, spontaneous chemical change, or retained heat from manufacturing or processing, or which can be ignited readily and when ignited burns so vigorously and persistently as to create a serious hazard. A chemical shall be considered to be a flammable solid if, when tested by the method described in 16 CFR 1500.44, it ignites and burns with a self-sustained flame at a rate greater than one-tenth of an inch per second along its major axis.
Flashpoint.
The minimum temperature at which a liquid gives off a vapor in sufficient concentration to ignite when tested as follows:
(A) Tagliabue Closed Tester (see American National Standard Method of Test for Flash Point by Tag Closed Tester, Z11.24-1979 (ASTM D 56-79)) for liquids with a viscosity of less than 45 Saybolt Universal Seconds (SUS) at 100o F (37.8o C), that do not have a tendency to form a surface film under test; or
(B) Pensky-Martens Closed Tester (see American National Standard Method of Test for Flash Point by Pensky-Martens Closed Tester, Z11.7-1979 (ASTM D 93-79)) for liquids with a viscosity equal to or greater than 45 SUS at 100o F (37.8o C), or that have a tendency to form a surface film under test; or
(C) Setaflash Closed Tester (see American National Standard Method of Test for Flash Point by Setaflash Closed Tester (ASTM D 3278-78)).
Organic peroxides, which undergo autoaccelerating thermal decomposition, are excluded from any of the flashpoint determination methods specified above.
Hazard warning.
Any words, pictures, symbols, or combination thereof appearing on a label or other appropriate form of warning which convey the health hazards and physical hazards of the substance(s) in the container(s).
Hazardous substance.
Any substance which is a physical hazard or a health hazard or is included in the List of Hazardous Substances prepared by the Director pursuant to Labor Code section 6382.
Health hazard.
A substance for which there is statistically significant evidence based on at least one study conducted in accordance with established scientific principles that acute or chronic health effects may occur in exposed employees. The term “health hazard” includes substances which are carcinogens, toxic or highly toxic agents, reproductive toxins, irritants, corrosives, sensitizers, hepatotoxins, nephrotoxins, neurotoxins, agents which act on the hematopoietic system, and agents which damage the lungs, skin, eyes, or mucous membranes. Appendix A provides further definitions and explanations of the scope of health hazards covered by this section, and Appendix B describes the criteria to be used to determine whether or not a substance is to be considered hazardous for purposes of this standard.
Identity.
Any chemical or common name which is indicated on the material safety data sheet (MSDS) for the substance. The identity used shall permit crossreferences to be made among the required list of hazardous substances, the label and the MSDS.
Immediate use.
The hazardous substance will be under the control of and used only by the person who transfers it from a labeled container and only within the work shift in which it is transferred.
Importer.
The first business with employees within the Customs Territory of the United States which receives hazardous substances produced in other countries for the purpose of supplying them to distributors or purchasers within the United States.
Label.
Any written, printed, or graphic material displayed on or affixed to containers of hazardous substances.
Manufacturer.
A person who produces, synthesizes, extracts, or otherwise makes a hazardous substance.
Material safety data sheet (MSDS). Written or printed material concerning a hazardous substance which is prepared in accordance with section 5194(g).
Mixture.
Any solution or intimate admixture of two or more substances, at least one of which is present as a hazardous substance, which do not react chemically with each other.
NIOSH. The National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services.
Organic peroxide.
An organic compound that contains the bivalent -O-O- structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical.
Oxidizer.
A substance other than a blasting agent or explosive as defined in section 5237(a), that initiates or promotes combustion in other materials, thereby causing fire either of itself or through the release of oxygen or other gases.
Physical hazard.
A substance for which there is scientifically valid evidence that it is a combustible liquid, a compressed gas, explosive, flammable, an organic peroxide, an oxidizer, pyrophoric, unstable (reactive) or water-reactive.
Produce.
To manufacture, process, formulate, repackage, or relabel.
Pyrophoric.
A substance that will ignite spontaneously in air at a temperature of 130o F (54.4o C) or below.
Responsible party.
Someone who can provide additional information on the hazardous substance and appropriate emergency procedures, if necessary.
Specific chemical identity.
The chemical name, Chemical Abstracts Service (CAS) Registry Number, or any other information that reveals the precise chemical designation of the substance.
Substance.
Any element, chemical compound or mixture of elements and/or compounds.
Trade secret.
Any confidential formula, pattern, process, device, information, or compilation of information which gives its user an opportunity to obtain a business advantage over competitors who do not know or use it. A trade secret shall not include chemical identity information which is readily discoverable through qualitative analysis. Appendix D sets out the criteria to be used in evaluating trade secrets.
Unstable (reactive).
A substance which in the pure state, or as produced or transported, will vigorously polymerize, decompose, condense, or will become self-reactive under conditions of shocks, pressure or temperature.
Use.
To package, handle, react, or transfer.
Water-reactive.
A substance that reacts with water to release a gas that is either flammable or presents a health hazard.
Work area.
A room or defined space in a workplace where hazardous substances are produced or used, and where employees are present.
Workplace.
Any place, and the premises appurtenant thereto, where employment is carried on, except a place the health and safety jurisdiction over which is vested by law in, and actively exercised by, any state or federal agency other than the Division.
(d) Hazard Determination.
(1) Manufacturers and importers shall evaluate substances produced in their workplaces or imported by them to determine if they are hazardous. Employers are not required to evaluate substances unless they choose not to rely on the evaluation performed by the manufacturer or importer for the substance to satisfy this requirement.
(2) Manufacturers, importers, or employers evaluating substances shall identify and consider the available scientific evidence concerning such hazards. For health hazards, evidence which is statistically significant and which is based on at least one positive study conducted in accordance with established scientific principles is considered to be sufficient to establish a hazardous effect if the results of the study meet the definitions of health hazards in this section. Appendix A shall be consulted for the scope of health hazards covered, and Appendix B shall be consulted for the criteria to be followed with respect to the completeness of the evaluation, and the data to be reported.
(3) The manufacturer, importer, or employer evaluating substances shall treat any of the following sources as establishing that the substances listed in them are hazardous:
(A) The list of hazardous substances prepared by the Director pursuant to Labor Code section 6382 and as promulgated in title 8, California Code of Regulations, section 339. The concentrations and footnotes which are applicable to the list shall be understood to modify the same substance on all other source lists or hazard determinations set forth in sections 5194(d)(3)(B)-5194(d)(5)(D).
(B) 29 CFR part 1910, subpart Z, Toxic and Hazardous Substances, Occupational Safety and Health Administration (OSHA).
(C) Threshold Limit Values for Chemical Substances in the Work Environment, American Conference of Governmental Industrial Hygienists (ACGIH) (latest edition).
The manufacturer, importer, or employer is still responsible for evaluating the hazards associated with the substances in these source lists in accordance with the requirements of the standard.
(4) Manufacturers, importers, and employers evaluating substances shall treat any of the following sources as establishing that a substance is a carcinogen or potential carcinogen for hazard communication purposes:
(A) National Toxicology Program (NTP), Annual Report on Carcinogens, (latest edition).
(B) International Agency for Research on Cancer (IARC) Monographs (latest editions).
(C) 29 CFR Part 1910, Subpart Z, Toxic and Hazardous Substances, Occupational Safety and Health Administration.
Note to (d)(4): The Registry of Toxic Effects of Chemical Substances published by the National Institute for Occupational Safety and Health indicates whether a substance has been found by NTP or IARC to be a potential carcinogen.
(5) The manufacturer, importer, or employer shall determine the hazards of mixtures of substances as follows:
(A) If a mixture has been tested as a whole to determine its hazards, the results of such testing shall be used to determine whether the mixture is hazardous;
(B) If a mixture has not been tested as a whole to determine whether the mixture is a health hazard, the mixture shall be assumed to present the same health hazards as do the components which comprise one percent (by weight or volume) or greater of the mixture, except that the mixture shall be assumed to present a carcinogenic hazard if it contains a component in concentrations of 0.1 percent or greater which is considered to be a carcinogen under section 5194(d)(4);
(C) If a mixture has not been tested as a whole to determine whether the mixture is a physical hazard, the manufacturer, importer, or employer may use whatever scientifically valid data is available to evaluate the physical hazard potential of the mixture; and
(D) If the manufacturer, importer, or employer has evidence to indicate that a component present in the mixture in concentrations of less than one percent (or in the case of carcinogens, less than 0.1 percent) could be released in concentrations which would exceed an established permissible exposure limit or ACGIH Threshold Limit Value, or could present a health hazard to employees in those concentrations, the mixture shall be assumed to present the same hazard.
(6) Manufacturers, importers, or employers evaluating hazardous substances shall describe in writing the procedures they use to determine the hazards of the substance they evaluate. The written procedures are to be made available, upon request, to employees, their designated representatives, the Director, and NIOSH. The written description may be incorporated into the written hazard communication program required under section 5194(e).
(e) Written Hazard Communication Program.
(1) Employers shall develop, implement, and maintain at the workplace a written hazard communication program for their employees which at least describes how the criteria specified in sections 5194(f), (g), and (h) for labels and other forms of warning, material safety data sheets, and employee information and training will be met, and which also includes the following:
(A) A list of the hazardous substances known to be present using an identity that is referenced on the appropriate material safety data sheet (the list may be compiled for the workplace as a whole or for individual work areas);
(B) The methods the employer will use to inform employees of the hazards of non-routine tasks (for example, the cleaning of reactor vessels), and the hazards associated with substances contained in unlabeled pipes in their work areas.
(2) In multi-employer workplaces, the written hazard communication program shall include the methods employers will use to inform any employers sharing the same work area of the hazardous substances to which their employees may be exposed while performing their work, and any suggestions for appropriate protective measures, including the following:
(A) The methods the employer will use to provide the other employer(s) with access to the material safety data sheet, or to make it available at a central location in the workplace, for each hazardous substance the other employer(s)' employees may be exposed to while working;
(B) The methods the employer will use to inform the other employer(s) of any precautionary measures that need to be taken to protect employees during the workplace's normal operating conditions and in foreseeable emergencies; and,
(C) The methods the employer will use to inform the other employer(s) of the labeling system used in the workplace.
(3) The employer shall make the written hazard communication program available, upon request, to employees, their designated representatives, the Chief, and NIOSH, in accordance with the requirements of section 3204(e).
(f) Labels and Other Forms of Warning.
(1) The manufacturer, importer, or distributor shall ensure that each container of hazardous substances leaving the workplace is labeled, tagged or marked with the following information:
(A) Identity of the hazardous substance(s);
(B) Appropriate hazard warnings; and
(C) Name and address of the manufacturer, importer, or other responsible party.

Exception to (f)(1): For solid metal (such as a steel beam or a metal casting) that is not exempted as an article due to its downstream use, the required label may be transmitted to the customer at the time of the initial shipment, and need not be included with subsequent shipments to the same employer unless the information on the label changes. The label may be transmitted with the initial shipment itself, or with the material safety data sheet that is to be provided prior to or at the time of the first shipment. This exception to requiring labels on every container of hazardous substances is only for the solid metal itself and does not apply to hazardous substances used in conjunction with, or known to be present with, the metal and to which the employees handling the metal may be exposed (for example, cutting fluids or lubricants).
(2) Manufacturers, importers, or distributors shall ensure that each container of hazardous substances leaving the workplace is labeled, tagged, or marked in accordance with this section in a manner which does not conflict with the requirements of the Hazardous Materials Transportation Act (18 U.S.C. 1801 et seq.) and regulations issued under that Act by the Department of Transportation.
(3) If the hazardous substance is regulated by these orders in a substance-specific health standard, the manufacturer, importer, distributor, or employer shall ensure that the labels or other forms of warning used are in accordance with the requirements of that standard.
(4) Except as provided in sections 5194(f)(5) and (f)(6) the employer shall ensure that each container of hazardous substances in the workplace is labeled, tagged, or marked with the following information:
(A) Identity of the hazardous substance(s) contained therein; and
(B) Appropriate hazard warnings.
(5) The employer may use signs, placards, process sheets, batch tickets, operating procedures, or other such written materials in lieu of affixing labels to individual stationary process containers, as long as the alternative method identifies the containers to which it is applicable and conveys the information required by section 5194(f)(4) to be on a label. The written materials shall be readily accessible to the employees in their work area throughout each work shift. In construction, the employer may use such written materials in lieu of affixing labels to individual containers as long as the alternative method identifies and accompanies the containers to which it is applicable and conveys the information required to be on a label.
(6) The employer is not required to label portable containers into which hazardous substances are transferred from labeled containers, and which are intended only for the immediate use of the employee who performs the transfer. In construction, the employer is not required to label portable containers into which hazardous substances are transferred from labeled containers, so long as either the labeled container stays on the jobsite or the employer has complied with section 5194(f)(5).
(7) The employer shall not remove or intentionally deface existing labels on incoming containers of hazardous substances, unless the container is immediately marked with the required information.
(8) The employer shall ensure that labels or other forms of warning are legible, in English, and prominently displayed on the container, or readily available in the work area throughout each work shift. Employers having employees who speak other languages may add the information in their language to the material presented, as long as the information is presented in English as well.
(9) The manufacturer, importer, distributor, or employer need not affix new labels to comply with this section if existing labels already convey the required information.
(10) Manufacturers, importers, distributors, or employers who become newly aware of any significant information regarding the hazards of a substance shall revise the labels for the substance within three months of becoming aware of the new information. Labels on containers of hazardous substances shipped after that time shall contain the new information. If the substance is not currently produced or imported, the manufacturer, importer, distributor, or employer shall add the information to the label before the substance is shipped or introduced into the workplace again.
(g) Material Safety Data Sheets.
(1) Manufacturers and importers shall obtain or develop a material safety data sheet for each hazardous substance they produce or import. Employers shall have a material safety data sheet for each hazardous substance which they use.
Note to (g)(1): Employers should also refer to section 3204 concerning information to be retained after a particular substance is no longer in use.
(2) Each material safety data sheet shall be in English (although the employer may maintain copies in other languages as well) and shall contain at least the following information:
(A) The identity used on the label, and, except as provided for in section 5194(i) on trade secrets:
1. If the hazardous substance is a single substance, its chemical and common name(s) and CAS number(s);
2. If the hazardous substance is a mixture which has been tested as a whole to determine its hazards, the chemical, common name(s), and CAS number(s) of the ingredients which contribute to these known hazards, and the common name(s) of the mixture itself; or,
3. If the hazardous substance is a mixture which has not been tested as a whole:
a. The chemical and common name(s), and CAS number(s) of all ingredients which have been determined to be health hazards, and which comprise 1% or greater of the composition, except that substances identified as carcinogens under subsection 5194(d)(4) shall be listed if the concentrations are 0.1% or greater;
b. The chemical and common name(s), and CAS number(s) of all ingredients which comprise less than 1% (0.1% for carcinogens) of the mixture, if there is evidence that the ingredient(s) could be released from the mixture in concentrations which would exceed an established OSHA permissible exposure limit or ACGIH Threshold Limit Value, or could present a health hazard to employees; and,
c. The chemical, common name(s), and CAS number(s) of all ingredients which have been determined to present a physical hazard when present in the mixture;
(B) Physical and chemical properties of the hazardous substance (such as vapor pressure, flash point);
(C) The physical hazards of the hazardous substance, including the potential for fire, explosion, and reactivity;
(D) The health hazards of the hazardous substance, including signs and symptoms of exposure, and any medical conditions which are generally recognized as being aggravated by exposure to the substance;
(E) The potential route(s) of entry;
(F) The OSHA permissible exposure limit, ACGIH Threshold Limit Value, and any other exposure limit used or recommended by the manufacturer, importer, or employer preparing the material safety data sheet, where available.
(G) Whether the hazardous substance is listed in the National Toxicology Program (NTP) Annual Report on Carcinogens (latest edition) or has been found to be a potential carcinogen in the International Agency for Research on Cancer (IARC) Monographs, (latest editions), or by OSHA;
(H) Any generally applicable precautions for safe handling and use which are known to the manufacturer, importer, or employer preparing the material safety data sheet, including the appropriate hygienic practices, protective measures during repair and maintenance of contaminated equipment, and procedures for cleanup of spills and leaks;
(I) Any generally applicable control measures which are known to the manufacturer, importer or employer preparing the material safety data sheet, such as appropriate engineering controls, work practices, or personal protective equipment;
(J) Emergency and first-aid procedures;
(K) The date of preparation of the material safety data sheet or the last change to it;
(L) The name, address and telephone number of the manufacturer, importer, employer, or other responsible party preparing or distributing the material safety data sheet, who can provide additional information on the hazardous substance and appropriate emergency procedures, if necessary; and,
(M) A description in lay terms, if not otherwise provided, on either a separate sheet or with the body of the information specified in this section, of the specific potential health risks posed by the hazardous substance intended to alert any person reading the information.
(3) If no relevant information is found for any given category on the material safety data sheet, the manufacturer, importer, or employer preparing the material safety data sheet shall mark it to indicate that no information was found. If the category is not applicable to the hazardous substance involved, the space shall be marked to indicate that.
(4) Where complex mixtures have similar hazards and contents (i.e. the chemical ingredients are essentially the same, but the specific composition varies from mixture to mixture), the manufacturer, importer or employer may prepare one material safety data sheet to apply to all of these similar mixtures.
(5) The manufacturer, importer or employer preparing the material safety data sheet shall ensure that the information recorded accurately reflects the scientific evidence used in making the hazard determination. If the manufacturer, importer, or employer become aware of any significant information regarding the hazards of a substance, or ways to protect against the hazards, this new information shall be added to the material safety data sheet within three months. If the substance is not currently being produced or imported, the manufacturer or importer shall add the information to the material safety data sheet before the substance is introduced into the workplace again.
(6) Manufacturers or importers shall ensure that distributors and purchasers of hazardous substances are provided an appropriate material safety data sheet with their initial shipment, and with the first shipment after a material safety data sheet is updated. The manufacturer or importer shall either provide material safety data sheets with the shipped containers or send them to the purchaser prior to or at the time of the shipment. If the material safety data sheet is not provided with the shipment, the purchaser shall obtain one from the manufacturer, importer, or distributor as soon as possible. The manufacturer or importer shall also provide distributors or employers with a material safety data sheet upon request.
(7) Distributors shall ensure that material safety data sheets, and updated information, are provided to other distributors and purchasers of hazardous substances.
(8) The employer shall maintain copies of the required material safety data sheets for each hazardous substance in the workplace, and shall ensure that they are readily accessible during each work shift to employees when they are in their work area(s). (Electronic access, microfiche, and other alternatives to maintaining paper copies of the material safety data sheets are permitted as long as no barriers to immediate employee access in each workplace are created by such options.)
(9) Where employees must travel between workplaces during a workshift, i.e., their work is carried out at more than one geographical location, the material safety data sheets may be kept at a central location at the primary workplace facility. In this situation, the employer shall ensure that employees can immediately obtain the required information in an emergency.
(10) Material safety data sheets may be kept in any form, including operating procedures, and may be designed to cover groups of hazardous substances in a work area where it may be more appropriate to address the hazards of a process rather than individual hazardous substances. However, the employer shall ensure that in all cases the required information is provided for each hazardous substance, and is readily accessible during each work shift to employees when they are in their work area(s).
(11) Material safety data sheets shall also be made readily available, upon request, to designated representatives, and to the Chief, in accordance with the requirements of section 3204(e). NIOSH and the employee's physician shall also be given access to material safety data sheets in the same manner.
(12) If the material safety data sheet, or any item of information required by section 5194(g)(2), is not provided by the manufacturer or importer, the employer shall:
(A) Within 7 working days of noting this missing information, either from a request or in attempting to comply with section 5194(g)(1), make written inquiry to the manufacturer or importer of a hazardous substance responsible for the material safety data sheet, asking that the complete material safety data sheet be sent to the employer. If the employer has made written inquiry in the preceding 12 months as to whether the substance or product is subject to the requirements of the Act or the employer has made written inquiry within the last 6 months requesting new, revised or later information on the material safety data sheet for the hazardous substance, the employer need not make additional written inquiry.
(B) Notify the requester in writing of the date that the inquiry was made, to whom it was made, and the response, if any, received. Providing the requestor with a copy of the inquiry sent to the manufacturer, producer or seller and a copy of the response will satisfy this requirement.
(C) Notify the requestor of the availability of the material safety data sheet within 15 days of the receipt of the material safety data sheet from the manufacturer, producer or seller or provide a copy of the material safety data sheet to the requestor within 15 days of the receipt of the material safety data sheet from the manufacturer, producer or seller.
(D) Send the Director a copy of the written inquiry if a response has not been received within 25 working days.
(13) The preparer of a material safety data sheet shall provide the Director with a copy of the material safety data sheet. Where a trade secret claim is made, the preparer shall submit the information specified in section 5194(i)(15).
(h) Employee Information and Training.
(1) Employers shall provide employees with effective information and training on hazardous substances in their work area at the time of their initial assignment, and whenever a new hazard is introduced into their work area. Information and training may relate to general classes of hazardous substances to the extent appropriate and related to reasonably foreseeable exposures of the job.
(2) Information and training shall consist of at least the following topics:
(A) Employees shall be informed of the requirements of this section.
(B) Employees shall be informed of any operations in their work area where hazardous substances are present.
(C) Employees shall be informed of the location and availability of the written hazard communication program, including the list(s) of hazardous substances and material safety data sheets required by this section.
(D) Employees shall be trained in the methods and observations that may be used to detect the presence or release of a hazardous substance in the work area (such as monitoring conducted by the employer, continuous monitoring devices, visual appearance or odor of hazardous substances when being released, etc.).
(E) Employees shall be trained in the physical and health hazards of the substances in the work area, and the measures they can take to protect themselves from these hazards, including specific procedures the employer has implemented to protect employees from exposure to hazardous substances, such as appropriate work practices, emergency procedures, and personal protective equipment to be used.
(F) Employees shall be trained in the details of the hazard communication program developed by the employer, including an explanation of the labeling system and the material safety data sheet, and how employees can obtain and use the appropriate hazard information.
(G) Employers shall inform employees of the right:
1. To personally receive information regarding hazardous substances to which they may be exposed, according to the provisions of this section;
2. For their physician or collective bargaining agent to receive information regarding hazardous substances to which the employee may be exposed according to provisions of this section;
3. Against discharge or other discrimination due to the employee's exercise of the rights afforded pursuant to the provisions of the Hazardous Substances Information and Training Act.
(3) Whenever the employer receives a new or revised material safety data sheet, such information shall be provided to employees on a timely basis not to exceed 30 days after receipt, if the new information indicates significantly increased risks to, or measures necessary to protect, employee health as compared to those stated on a material safety data sheet previously provided.
(i) Trade Secrets.
(1) The manufacturer, importer or employer may withhold the specific chemical identity of a hazardous substance from the material safety data sheet, provided that:
(A) The claim that the information withheld is a trade secret can be supported;
(B) Information contained in the material safety data sheet concerning the properties and effects of the hazardous substance is disclosed;
(C) The material safety data sheet indicates that the specific chemical identity is being withheld as a trade secret; and,
(D) The specific chemical identity is made available to health or safety professionals,employees, and designated representatives in accordance with the applicable provisions of this subsection.
(2) Where a physician or nurse determines that a medical emergency exists and the specific chemical identity of a hazardous substance is necessary for emergency or first-aid treatment, the manufacturer, importer, or employer shall immediately disclose the specific chemical identity of a trade secret substance to that physician or nurse, regardless of the existence of a written statement of need or a confidentiality agreement. The manufacturer, importer, or employer may require a written statement of need and confidentiality agreement, in accordance with the provisions of sections 5194(i)(3) and (4), as soon as circumstances permit.
(3) In non-emergency situations, a manufacturer, importer, or employer shall, upon request, disclose a specific chemical identity, otherwise permitted to be withheld under section 5194(i)(1), to a health or safety professional (i.e., physician, nurse, industrial hygienist, safety professional, toxicologist, or epidemiologist) providing medical or other occupational health services to exposed employee(s), and to employees and designated representatives, if:
(A) The request is in writing;
(B) The request describes with reasonable detail one or more of the following occupational health needs for the information:
1. To assess the hazards of the substances to which employees will be exposed;
2. To conduct or assess sampling of the workplace atmosphere to determine employee exposure levels;
3. To conduct pre-assignment or periodic medical surveillance of exposed employees;
4. To provide medical treatment to exposed employees;
5. To select or assess appropriate personal protective equipment for exposed employees;
6. To design or assess engineering controls or other protective measures for exposed employees; and,
7. To conduct studies to determine the health effects of exposure.
(C) The request explains in detail why the disclosure of the specific chemical identity is essential and that, in lieu thereof, the disclosure of the following information would not enable the health or safety professional,employee or designated representative to provide the occupational health services described in section 5194(i)(3)(B):
1. The properties and effects of the substance;
2. Measures for controlling workers' exposure to the substance;
3. Methods of monitoring and analyzing worker exposure to the substance; and,
4. Methods of diagnosing and treating harmful exposures to the substance;
(D) The request includes a description of the procedures to be used to maintain the confidentiality of the disclosed information; and,
(E) The health or safety professional,employee, or designated representative and the employer or contractor of the health or safety professional's services (i.e., downstream employer, labor organization, or individual employee), agree in a written confidentiality agreement that the health or safety professional, employee, or designated representative will not use the trade secret information for any purpose other than the health need(s) asserted and agree not to release the information under any circumstances other than to the Director, as provided in section 5194(i)(6), except as authorized by the terms of the agreement or by the manufacturer, importer, or employer.
(4) The confidentiality agreement authorized by section 5194(i)(3)(D) shall not include requirements for the posting of a penalty bond.
(5) Nothing in this standard is meant to preclude the parties from pursuing non-contractual remedies to the extent permitted by law.
(6) If the health or safety professional, employee, or designated representative receiving the trade secret information decides that there is a need to disclose it to the Director, then the manufacturer, importer, or employer who provided the information shall be informed by the health or safety professional, employee, or designated representative prior to, or at the same time as, such disclosure.
(7) If the manufacturer, importer, or employer denies a written request for disclosure of a specific chemical identity, the denial must:
(A) Be provided to the health or safety professional, employee, or designated representative within thirty days of the request;
(B) Be in writing;
(C) Include evidence to support the claim that the specific chemical identity is a trade secret;
(D) State the specific reasons why the request is being denied; and,
(E) Explain in detail how alternative information may satisfy the specific medical or occupational health need without revealing the specific chemical identity.
(8) The health or safety professional, employee, or designated representative whose request for information is denied under section 5194(i)(3) may refer the request and the written denial of the request to the Director for consideration.
(9) When a health or safety professional, employee, or designated representative refers the denial to the Director under section 5194(i)(8), or upon the Director's own initiative when receiving information pursuant to section 5194(g)(13) which is claimed to be a trade secret, the Director shall consider the evidence to determine if:
(A) The manufacturer, importer, or employer has supported the claim that the specific chemical identity is a trade secret;
(B) The health or safety professional,employee, or designated representatives has supported the claim that there is a medical or occupational health need for the information; and,
(C) The health or safety professional,employee, or designated representative has demonstrated adequate means to protect the confidentiality.
(10) If the Director determines that the specific chemical identity requested under section 5194(i)(3) is not a bona fide trade secret, or that it is a trade secret but the requesting health or safety professional,employee, or designated representative has a legitimate medical or occupational health need for the information, has executed a written confidentiality agreement, and has shown adequate means to protect the confidentiality of the information, the manufacturer, importer, or employer will be subject to citation by the Director. The Director shall so notify the manufacturer, importer, or employer by certified mail.
(11) The manufacturer, importer, or employer shall have 15 days after receipt of notification under section 5194(i)(10) to provide the Director with a complete justification and statement of the grounds on which the trade secret privilege is claimed. This justification and statement shall be submitted by certified mail.
(12) The Director shall determine whether such information is protected as a trade secret within 15 days after receipt of the justification and statement required by section 5194(i)(11), or if no justification and statement is filed, within 30 days of the original notice, and shall notify the employer or manufacturer and any party who has requested the information pursuant to the California Public Records Act of that determination by certified mail. If the Director determines that the information is not protected as a trade secret, the final notice shall also specify a date, not sooner than 15 days after the date of mailing of the final notice, when the information shall be available to the public.
(13) Prior to the date specified in the final notice provided pursuant to section 5194(i)(12), a manufacturer, importer, or employer may institute an action in an appropriate superior court for a declaratory judgment as to whether such information is subject to protection from disclosure.
(14) If a manufacturer, importer, or employer demonstrates to the Director that the execution of a confidentiality agreement as provided for by section 5194(i)(10) would not provide sufficient protection against the potential harm from the unauthorized disclosure of a trade secret specific chemical identity, the Director may issue such orders to impose such additional limitations or conditions upon the disclosure of the requested information as may be appropriate to assure that the occupational health services are provided without an undue risk of harm to the manufacturer, importer, or employer.
(15) Notwithstanding the existence of a trade secret claim, a manufacturer, importer, or employer shall disclose to the Director the specific chemical identity of any hazardous substance in a product for which trade secrecy is claimed. Where there is a trade secret claim, such claim shall be made no later than at the time the information is provided to the Director so that suitable determinations of trade secret status can be made and the necessary protections can be implemented.
(16) Nothing in section 5194(i) shall be construed as requiring the disclosure under any circumstances of process or percentage of mixture information which is a trade secret.
(j) Appendices.
(1) Appendices A, B, and D to this section are incorporated as part of this section and the provisions are mandatory.
(2) Appendix C contains information which is not intended to create any additional obligations not otherwise imposed or to detract from any existing obligation.
(3) Appendix E contains the following 22 CCR Sections: 12201(a), 12201(b), 12201(c), 12201(d), 12201(f), 12201(k), 12502, 12601, 12701(a), 12701(b), 12701(d), 12703, 12705, 12707, 12709, 12711, 12721, 12801, 12803, 12805, 12821, and 12901 in effect on May 9, 1991 that are referred to in subsection (b)(6).
NOTE

Authority cited: Sections 50.7, 142.3 and 6398, Labor Code. Reference: Sections 50.7, 142.3 and 6361-6399.7, Labor Code; Sections 25249.6, 25249.7, 25249.8, 25249.10, 25249.11, 25249.12 and 25249.13, Health and Safety Code; California Lab. Federation v. Occupational Safety and Health Stds. Bd. (1990) 221 Cal.App.3d 1547 [271 Cal. Rptr. 310]; and United Steelworkers of America v. Auchter (3d Cir. 1985) 763 F.2d 728.
HISTORY

1. New section filed 12-9-81; designated effective 180 days following adoption of a list of hazardous substances pursuant to the Act by the Director, Department of Industrial Relations (Register 81, No. 50).
2. Repealer and new section (including appendices A-C) filed 11-22-85; designated effective 11-25-85 pursuant to Government Code section 11346.2(d) (Register 85, No. 47).
3. Order of Repeal of subsection (a) pursuant to Government Code section 11342(b), amendment, and new appendix D filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
4. Change without regulatory effect removing chapter heading filed 3-6-91; operative 4-4-91 (Register 91, No. 15).
5. Change without regulatory effect repealing Article 110 heading “Special Hazardous Substances and Processes” filed 3-6-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 15).
6. New subsections (b)(6)(A)-(E) and (k)(3) filed 5-31-91 as an emergency; operative 5-31-91 (Register 91, No. 33). A Certificate of Compliance must be transmitted to OAL by 9-30-91 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section filed 9-30-91 as an emergency; operative 9-30-91 (Register 92, No. 2). A Certificate of Compliance must be transmitted to OAL 1-28-92 or emergency language will be repealed by operation of  law on the following day.
8. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 12).
9. New subsections (b)(6)(A)-(F) and (k)(3) refiled 12-17-91; operative 12-17-91. Certificate of Compliance  included (Register 92, No. 12).
10. Change without regulatory effect amending definitions of Chief, Department, and Director in subsection (c) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
11. New subsections (b)(5)(I)-(b)(5)(I)3. and (e)(2)(A)-(C), new subsection (g)(2)(a)3.b. and subsection relettering, new subsection (g)(9) and subsection renumbering, and amendment of subsections (b)(4)(B), (b)(5)(H), (d)(3)(A), (d)(3)(C), (d)(4)-(d)(4)(B), (d)(5)(D), (e)(1), (e)(2), (f), (f)(1), (g)(1), (g)(2)(G), (g)(8), (h)(2)(C), (i)(9), (i)(16) and newly designated subsections (g)(10) and (g)(12)(D) filed 4-26-93; operative 5-26-93 (Register 93, No. 18).
12. Editorial correction of History 9 (Register 94, No. 13).
13. Change without regulatory effect amending subsection (g)(12)(A) filed 12-14-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 50).
14. Repealer of note to subsection (f) filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
15. Change without regulatory effect changing subsection (k) designator to subsection (j) designator filed 3-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 12).
16. Amendment of subsections (b)(5)(C), (d)(3)(C) and (d)(4)(A)-(B), new subsection (f)(10) and amendment of subsections (g)(2), (g)(2)(G), (g)(6), (g)(8) and (h)(1) filed 7-6-2004; operative 7-6-2004. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2004, No. 28).

Appendix A to Section 5194

Health Hazard Definitions (Mandatory)
Although safety hazards related to the physical characteristics of a substance can be objectively defined in terms of testing requirements (e.g. flammability), health hazard definitions are less precise and more subjective. Health hazards may cause measurable changes in the body--such as decreased pulmonary function. These changes are generally indicated by the occurrence of signs and symptoms in the exposed employees--such as shortness of breath, a non-measurable, subjective feeling. Employees exposed to such hazards must be apprised of both the change in body function and the signs and symptoms that may occur to signal that change.
The determination of occupational health hazards is complicated by the fact that many of the effects or signs and symptoms occur commonly in nonoccupationally exposed populations, so that effects of exposure are difficult to separate from normally occurring illnesses. Occasionally, a substance causes an effect that is rarely seen in the population at large, such as angiosarcomas caused by vinyl chloride exposure, thus making it easier to ascertain that the occupational exposure was the primary causative factor. More often, however, the effects are common, such as lung cancer. The situation is further complicated by the fact that most substances have not been adequately tested to determine their health hazard potential, and data do not exist to substantiate these effects.
There have been many attempts to categorize effects and to define them in various ways. Generally, the terms “acute” and “chronic” are used to delineate between effects on the basis of severity or duration. “Acute” effects usually occur rapidly as a result of short-term exposures, and are of short duration. “Chronic” effects generally occur as a result of long-term exposure, and are of long duration.
The acute effects referred to most frequently are those defined by the American National Standards Institute (ANSI) standard for Precautionary Labeling of Hazardous Industrial Chemicals (Z129.1-1988)--irritation, corrosivity, sensitization and lethal dose. Although these are important health effects, they do not adequately cover the considerable range of acute effects which may occur as a result of occupational exposure, such as, for example, narcosis.
Similarly, the term chronic effect is often used to cover only carcinogenicity, teratogenicity, and mutagenicity. These effects are obviously a concern in the workplace, but again, do not adequately cover the area of chronic effects, excluding, for example, blood dyscrasias (such as anemia), chronic bronchitis and liver atrophy.
The goal of defining precisely, in measurable terms, every possible health effect that may occur in the workplace as a result of substance exposures cannot realistically be accomplished. This does not negate the need for employees to be informed of such effects and protected from them.
Appendix B, which is also mandatory, outlines the principles and procedures of hazard assessment.
For purposes of this section, any substances which meet any of the following definitions, as determined by the criteria set forth in Appendix B are health hazards. However, this is not intended to be an exclusive categorization scheme. If there are available scientific data that involve other animal species or test methods, they must also be evaluated to determine the applicability of the HCS (Hazard Communications Standard, section 5194).
1. Carcinogen: A substance is considered to be a carcinogen if:
(a) It has been evaluated by the International Agency for Research on Cancer (IARC) and found to be a carcinogen or potential carcinogen; or
(b) It is listed as a carcinogen or potential carcinogen in the Annual Report on Carcinogens published by the National Toxicology Program (NTP) (latest edition) or,
(c) It is regulated by OSHA as a carcinogen.
2. Corrosive: A substance that causes visible destruction of, or irreversible alterations in, living tissue by chemical action at the site of contact. For example, a substance is considered to be corrosive if, when tested on the intact skin of albino rabbits by the method described by the U.S. Department of Transportation in Appendix A to 49 CFR Part 173, it destroys or changes irreversibly the structure of the tissue of four hours. This term shall not refer to action on inanimate surfaces.
3. Highly toxic: A substance falling within any of the following categories:
(a) A substance that has a median lethal dose (LD50) of 50 milligrams or less per kilogram of body weight when administered orally to albino rats weighing between 200 and 300 grams each.
(b) A substance that has a median lethal dose (LD50) of 200 milligrams or less per kilogram of body weight when administered by continuous contact for 24 hours (or less if death occurs within 24 hours) with the bare skin of albino rabbits weighing between two and three kilograms each.
(c) A substance that has a median lethal concentration (LC50) in air of 200 parts per million by volume or less of gas or vapor, or 2 milligrams per liter or less of mist, fume, or dust, when administered by continuous inhalation for one hour (or less if death occurs within one hour) to albino rats weighing between 200 and 300 grams each.
4. Irritant: A substance, which is not corrosive, but which causes a reversible inflammatory effect on living tissue by chemical action at the site of contact. A substance is a skin irritant if, when tested on the intact skin of albino rabbits by the methods of 16 CFR 1500.41 for 24 hours exposure or by other appropriate techniques, it results in an empirical score of five or more. A substance is an eye irritant if so determined under the procedure listed in 16 CFR 1500.42 or other appropriate techniques.
5. Sensitizer: A substance that causes a substantial proportion of exposed people or animals to develop an allergic reaction in normal tissue after repeated exposure to the substance.
6. Toxic. A substance falling within any of the following categories:
(a) A substance that has a median lethal dose (LD50) of more than 50 milligrams per kilogram but not more than 500 milligrams per kilogram of body weight when administered orally to albino rats weighing between 200 and 300 grams each.
(b) A substance that has a median lethal dose (LD50) of more than 200 milligrams per kilogram but not more than 1,000 milligrams per kilogram of body weight when administered by continuous contact for 24 hours (or less if death occurs within 24 hours) with the bare skin of albino rabbits weighing between two and three kilograms each.
(c) A substance that has a median lethal concentration (LC50) in air of more than 200 parts per million but not more than 2,000 parts per million by volume of gas or vapor, or more than two milligrams per liter but not more than 20 milligrams per liter of mist, fume, or dust, when administered by continuous inhalation for one hour (or less if death occurs within one hour) to albino rats weighing between 200 and 300 grams each.

7. Target organ effects. The following is a target organ categorization of effects which may occur, including examples of signs and symptoms and substances which have been found to cause such effects. These examples are presented to illustrate the range and diversity of effects and hazards found in the workplace, and the broad scope employers must consider in this area, but are not intended to be all-inclusive.
	 
a. Hepatotoxins: Substances which produce liver damage.
Signs and Symptoms: Jaundice; liver enlargement.
Substances: Carbon tetrachloride; nitrosamines.
b. Nephrotoxins: Substances which produce kidney damage.
Signs and Symptoms: Edema; proteinuria.
Substances: Halogenated hydrocarbons; uranium.
c. Neutrotoxins: Substances which produce their primary toxic effects on the nervous system.
Signs and Symptoms: Narcosis; behavioral changes; decrease in motor functions.
Substances: Mercury; carbon disulfide.
d. Agents which act on the blood or hematopoietic system: Decrease hemoglobin function; deprive the body tissues of oxygen.
Signs and Symptoms: Cyanosis; loss of consciousness.
Substances: Carbon monoxide; cyanides.
e. Agents which damage the lung: Substances which irritate or damage the pulmonary tissue.
Signs and Symptoms: Cough; tightness in chest; shortness of breath.
Substances: Silica; asbestos.
f. Reproductive toxins: Substances which affect the reproductive capabilities including chromosomal damage (mutations) and effects on fetuses (teratogenesis).
Signs and Symptoms: Birth defects; sterility.
Substances: Lead; DBCP.
g. Cutaneous hazards: Substances which affect the dermal layer of the body.
Signs and Symptoms: Defatting of the skin; rashes; irritation.
Substances: Ketones; chlorinated compounds.
h. Eye hazards: Substances which affect the eye or visual capacity.
Signs and Symptoms: Conjunctivitis; corneal damage.
Substances: Organic solvents; acids.
NOTE

Note: Authority cited: Sections 142.3 and 6398, Labor Code. Reference: Sections 142.3 and 6361-6399.7, Labor Code; and United Steelworkers of America v. Auchter (3d Cir. 1985) 763 F.2d 728.
HISTORY

1. Amendment of subsections 1.(a), 1.(b) and 4. of Appendix A filed 4-26-93; operative 5-26-93 (Register 93, No. 18).
2. Amendment of the fourth and eighth paragraphs and amendment of subsections 1.(a)-(b) filed 7-6-2004; operative 7-6-2004. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2004, No. 28).

Appendix B to Section 5194

Hazard Determination (Mandatory)
The quality of a hazard communication program is largely dependent upon the adequacy and accuracy of the hazard determination. The hazard determination requirement of this standard is performance-oriented. Manufacturers, importers, and employers evaluating substances are not required to follow any specific methods for determining hazards, but they must be able to demonstrate that they have adequately ascertained the hazards of the substances produced or imported in accordance with the criteria set forth in this Appendix.
Hazard evaluation is a process which relies heavily on the professional judgment of the evaluator, particularly in the area of chronic hazards. The performance orientation of the hazard determination does not diminish the duty of the manufacturer, importer or employer to conduct a thorough evaluation, examining all relevant data and producing a scientifically defensible evaluation. For purposes of this standard, the following criteria shall be used in making hazard determinations that meet the requirements of this standard.
1. Carcinogenicity: As described in subsection 5194(d)(4) and Appendix A, a determination by the National Toxicology Program, the International Agency for Research on Cancer, or OSHA that a substance is a carcinogen or potential carcinogen will be considered conclusive evidence for purposes of this section.
2. Human data: Where available, epidemiological studies and case reports of adverse health effects shall be considered in the evaluation.
3. Animal data: Human evidence of health effects in exposed populations is generally not available for the majority of substances produced or used in the workplace. Therefore, the available results of toxicological testing in animal populations shall be used to predict the health effects that may be experienced by exposed workers. In particular, the definitions of certain acute hazards refer to specific animal testing results (see Appendix A).
4. Adequacy and reporting of data: The results of any studies which are designed and conducted according to established scientific principles, and which report statistically significant conclusions regarding the health effects of a substance, shall be a sufficient basis for a hazard determination and reported on any material safety data sheet. The manufacturer, importer, or employer may also report the results of other scientifically valid studies which tend to refute the findings of hazard.
NOTE

Authority cited: Sections 142.3 and 6398, Labor Code. Reference: Sections 142.3 and 6361-6399.7, Labor Code; and United Steelworkers of America v. Auchter (3d Cir. 1985) 763 F.2d 728.
HISTORY

1. Amendment filed 4-26-93; operative 5-26-93 (Register 93, No. 18).

Appendix C to Section 5194

Information Sources (Advisory)
The following is a list of available data sources which the manufacturer, importer, or employer may wish to consult to evaluate the hazards of substances they produce or import:
Any information in their own company files such as toxicity testing results or illness experience of company employees.
Any information obtained from the supplier of the substance, such as material safety data sheets or product safety bulletins.
Any pertinent information obtained from the following source list (latest editions should be used):
Condensed Chemical Dictionary, Van Nostrand Reinhold Co., 135 West 50th Street, New York, NY 10020
The Merck Index: An Encyclopedia of Chemicals and Drugs, Merck and Company, Inc., 126 East Lincoln Avenue, Rahway, NJ 07065
IARC Monographs on the Evaluation of the Carcinogenic Risk of Chemicals to Man and Supplements, Geneva: World Health Organization, International Agency for Research on Cancer, 1972-Present (multivolume work), 49 Sheridan Avenue, Albany, NY 12210
Industrial Hygiene and Toxicology, by F. A. Patty, John Wiley & Sons, Inc., 605 Third Avenue, New York, NY 10158-0012 (multivolume work)
Clinical Toxicology of Commercial Products, Gleason, Gosselin and Hodge
Casarett and Doull's Toxicology: The Basic Science of Poisons, Doull, Klaassen, and Amdur, Macmillan Publishing Co., Inc., New York, NY
Industrial Toxicology, by Alice Hamilton and Harriet L. Hardy, Publishing Sciences Group, Inc., Acton, MA
Toxicology of the Eye, by W. Morton Grant, Charles C. Thomas, 301-327 East Lawrence Avenue, Springfield, IL
Recognition of Health Hazards in Industry, William A. Burgess, John Wiley and Sons, 605 Third Avenue, New York, NY 10158-0012
Chemical Hazards of the Workplace, Gloria J. Hathaway, Nick H. Proctor, James P. Hughes and Michael L. Fischman, J. P. Lipincott Company, East Washington Square, Philadelphia, PA 19105
CRC Handbook of Chemistry and Physics, CRC Press, Inc., Boca Raton, FL
Threshold Limit Values for Chemical Substances and Physical Agents and Biological Exposure Indices, American Conference of Governmental Industrial Hygienists, 6500 Glenway Avenue, Bldg. D-7, Cincinnati, OH 45211-4438
Information on the physical hazards of chemicals may be found in publications of the National Fire Protection Association, Boston, MA.
Note: --The following documents are on sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. Out-of-print documents may be available from the National Technical Information Service (NTIS), Springfield, VA 22161.Occupational Health Guidelines (NIOSH Pub. No. 81-123).Occupational Health Guidelines, Supplement 1 (NIOSH Pub. No. 88-1188).Occupational Health Guidelines, Supplement 2 (NIOSH Pub. No. 89-104).NIOSH Pocket Guide to Chemical Hazards, NIOSH Pub. No. 90-117.Registry of Toxic Effects of Chemical Substances, U.S. Department of Health and Human Services, Public Health Service, Center for Disease Control, National Institute for Occupational Safety and Health (latest edition).The Industrial Environment--Its Evaluation and Control, U.S. Department of Health and Human Services, Public Health Service, Center for Disease Control, National Institute for Occupational Safety and Health (NIOSH Pub. No. 74-117).Miscellaneous Documents--National Institute for Occupational Safety and Health:
1. Criteria for a recommended standard * * * Occupational Exposure to “________”
2. Special Hazard Reviews
3. Occupational Hazard Assessment
4. Current Intelligence Bulletins
OSHA's General Industry Standards (29 CFR Part 1910)
NTP Annual Report on Carcinogens and Summary of the Annual Report on Carcinogens.
BIBLIOGRAPHIC DATA BASES
Service Provider and File Name:
BRS Information Technologies, Inc., a division of Maxwell Online, Inc., 8000 Westpark Dr., McLean, VA 22102
AGRICOLA
BIOSIS PREVIEWS
CA SEARCH
DRUG INFORMATION FULL TEXT
MEDLINE
NTIS
POLLUTION ABSTRACTS
TOXLINE
DIALOG, Dialog Information Services, Inc., 3460 Hillview Avenue, Palo Alto, CA 94304
AGRICOLA
BIOSIS PREVIEWS, 1969-PRESENT
CAB ABSTRACTS 1972-PRESENT
CHEMICAL EXPOSURE 1974-PRESENT
CA SEARCH 1967-PRESENT
CHEMNAME 1967-PRESENT
CHEMSEARCH 1957-PRESENT
CONFERENCE PAPERS INDEX
EMBASE 1974-PRESENT
ENVIRONMENTAL BIBLIOGRAPHY 1973-PRESENT
ENVIROLINE 1971-PRESENT
FEDERAL RESEARCH IN PROGRESS
FOOD SCIENCE & TECHNOLOGY ABSTRACTS
FOODS ADLIBRA
INTL. PHARMACEUTICAL ABSTRACTS
LIFE SCIENCES COLLECTION 1978-PRESENT
NTIS
OCCUPATIONAL SAFETY AND HEALTH (NIOSH) 1973-PRESENT
PAPERCHEM 1967-PRESENT
POLLUTION ABSTRACTS
SCISEARCH 1974-PRESENT
Orbit Search Service, a division of Maxwell Online, Inc., 8000 Westpark Dr., McLean, VA 22102
CHEMICAL ABSTRACTS
CHEMDEX
ENVIROLINE
LABORDOC
NTIS
Fein-Marquart Associates (FMA), Chemical Information Systems, Inc. (CIS), 7215 Yorke Road, Baltimore, MD 21212
Structure & Nomenclature Search System (SANSS)
RTECS
Clinical Toxicology of Commercial Products (CTCP)
Oil and Hazardous Materials Technical Assistance Data System
MEDLARS Management Section, National Library of Medicine, Department of Health and Human Services, Public Health Service, National Institutes of Health, 8600 Rockville Pike, Bethesda, MD 20894
BACKFILES
CANCERLIT
CHEMLINE
HAZARDOUS SUBSTANCES DATABANK
MEDLINE
RTECS
SDILINE
TOXLINE
TOXLINE65
TOXLIT
TOXLIT65
TOXNET/TOXICOLOGIC DATA & TRI
Questel, Inc., 2300 Clarendon Blvd., Suite 1111, Arlington, VA 22201
CIS/ILO
NOTE

Sections 142.3 and 6398, Labor Code. Reference: Sections 142.3 and 6361-6399.7, Labor Code; and United Steelworkers of America v. Auchter (3d Cir. 1985) 763 F.2d 728.
HISTORY

1. Amendment filed 4-26-93; operative 5-26-93 (Register 93, No. 18).

Appendix D to Section 5194

Definition of “Trade Secret” (Mandatory)
The following is a reprint of the Restatement of Torts Section 757, comment b (1939):
b. Definition of trade secret. A trade secret may consist of any formula, pattern, device or compilation of information which is used in one's business, and which gives him an opportunity to obtain an advantage over competitors who do not know or use it. It may be a formula for a chemical compound, a process of manufacturing, treating or preserving materials, a pattern for a machine or other device, or a list of customers. It differs from other secret information in a business (see Section 759 of the Restatement of Torts which is not included in this Appendix) in that it is not simply information as to single or ephemeral events in the conduct of the business, as, for example, the amount or other terms of a secret bid for a contract or the salary of certain employees, or the security investments made or contemplated, or the date fixed for the announcement of a new policy or for bringing out a new model or the like. A trade secret is a process or device for continuous use in the operations of the business. Generally it relates to the production of goods, as, for example, a machine or formula for the production of an article. It may, however, relate to the sale of goods or to other operations in the business, such as a code for determining discounts, rebates or other concessions in the price list or catalogue, or a list if specialized customers, or a method of bookkeeping or other office management.
Secrecy. The subject matter of a trade secret must be secret. Matters of public knowledge or of general knowledge in an industry cannot be appropriated by one as his secret. Matters which are completely disclosed by the goods which one markets cannot be his secret. Substantially, a trade secret is know only in the particular business in which it is used. It is not requisite that only the proprietor of the business know it. He may, without losing his protection, communicate it to employees involved in its use. He may likewise communicate it to others pledged to secrecy. Others may also know of it independently, as, for example, when they have discovered the process or formula by independent invention and are keeping it secret. Nevertheless, a substantial element of secrecy must exist, so that, except by the use of improper means, there would be difficulty in acquiring the information. An exact definition of a trade secret is not possible. Some factors to be considered in determining whether given information is one's trade secret are: (1) The extent to which the information is known outside of his business; (2) the extent to which it is known by employees and others involved in his business; (3) the extent of measures taken by him to guard the secrecy of the information; (4) the value of the information to him and his competitors; (5) the amount of effort or money expended by him in developing the information; (6) the ease or difficulty with which the information could be properly acquired or duplicated by others.
Novelty and prior art. A trade secret may be a device or process which is patentable; but it need not be that. It may be device or process which is clearly anticipated in the prior art or one which is merely a mechanical improvement that a good mechanic can make. Novelty and invention are not requisite for a trade secret as they are for patentability. These requirements are essential to patentability. These requirements are essential to patentability because a patent protects against unlicensed use of the patented device or process even by one who discovers it properly through independent research. The patent monopoly is a reward to the inventor. But such is not the case with a trade secret. Its protection is not based on a policy of rewording or otherwise encouraging the development of secret processes or devices. The protection is merely against a breach of faith and reprehensible means of learning another's secret. For this limited protection it is not appropriate to require also the kind of novelty and invention which is a requisite of patentability. The nature of the secret is, however, an important factor in determining the kind of relief that is appropriate against one who acquires the secret wrongfully is ordinarily enjoined from further use of it and is required to account for the profits derived from his past use. If, on the other hand, the secret consists of mechanical improvements that a good mechanic can make without resort to the secret, the wrongdoer's liability may be limited to damages, and an injunction against future use of the improvements made with the aid of the secret may be inappropriate.
NOTE

Authority cited: Sections 142.3 and 6398, Labor Code. Reference: Sections 142.3 and 6361-6399.7, Labor Code; and United Steelworkers of America v. Auchter (3d Cir. 1985) 763 F.2d 728. 

Appendix E to Section 5194

Terms and Provisions for subsection (b)(6)
The following Sections from Title 22 of the California Code of Regulations (22 CCR) in effect on May 9, 1991 are printed in this Appendix because they provide terms and provisions referred to in subsection (b)(6):

# 12201. Definitions.
(a) In The Course of doing Business.
For purposes of Health and Safety Code Sections 25249.5 and 25249.6, “in the course of doing business” means any act or omission , whether or not for profit, except:
(1) as excluded by subdivision (b) of Section 25249.11 of the Health and Safety Code; or
(2) when caused by acts of war or grave and irresistible natural disasters such that no reasonable amount of resistance or advance preparation would be sufficient to avoid the discharge, release or exposure.
(b) In the Course of Doing Business, Acts of Employees.
“In the course of doing business” includes any act or omission of any employee which furthers the purpose or operation of the business, or which is expressly or implicitly authorized, except for the personal use, consumption or production of listed chemicals by an employee on the business premises or while performing activities for the business, unless the employer knows or should know of such use, consumption or production and knows or should know that such use, consumption or production will expose other individuals within the meaning of Health and Safety Code Section 25249.6 to a listed chemical.
(c) Employee.
The term “employee” shall have the same meaning as it does in Unemployment Insurance Code Section 621 and in Labor Code Section 3351. Generally, and without limiting the applicability of the definitions in these two statutes, this means than an employee is a person who performs services for remuneration under any appointment or contract of hire or apprenticeship, express or implied, oral or written, whether lawfully or unlawfully employed. In computing whether a person employs ten or fewer employees in his business, all full-time and part-time employees on the date on which the discharge, release or exposure occurs must be counted. Thus, the prohibitions on discharge or release and exposures to certain chemicals will apply to any person who has ten or more full-time or part-time employees on the date in question.
(d) Knowingly.
“Knowingly” refers only to knowledge of the fact that a discharge of, release of, or exposure to a chemical listed pursuant to Health and Safety Code Section 25249.8(a) is occurring. No knowledge that the discharge, release or exposure is unlawful is required. However, a person in the course of doing business who, through misfortune or accident and without evil design, intention or negligence, commits an act or omits to do something which results in a discharge, release or exposure has not violated Health and Safety Code Sections 25249.5 or 25249.6.
(e) ED NOTE: Cal-OSHA Standards Board did not incorporate subsection (e) into 5194(b)(6).
(f) Expose.
The term “expose” means to cause to ingest, inhale, contact via body surfaces or otherwise come into contact with a chemical. An individual may come into contact with a chemical through water, air, food, consumer products and any other environmental exposure as well as occupational or workplace exposures.
(g) - (j) ED NOTE: Cal-OSHA Standards Board did not incorporate subsections (g), (h), (i), and (j) into 5194(b)(6).
(k) For purposes of this chapter, “listed chemical” means a chemical listed pursuant to Health and Safety Code Section 25249.8, subsection (a).

# 12502. Exposure to a Listed Chemical in Drinking Water.
(a) A person otherwise responsible for an exposure to a listed chemical which involves the use of drinking water, including the use of drinking water in food or any other consumer product, does not “expose” an individual within the meaning of Section 25249.6 to the extent that the person can show that the listed chemical was contained in drinking water which was received from:
(1) a public water system, as defined in Section 4010.1 of the Health and Safety Code;
(2) a commercial supplier of drinking water; or
(3) a source of drinking water in compliance with all applicable primary drinking water standards for all listed chemicals and the chemical in question is the result of treatment of the water in order to achieve compliance with primary drinking water standards.
Where the source of the listed chemical is in part from such drinking water and in part from other sources, “exposure” can occur only as to that portion of the listed chemical from sources other than such drinking water.
(b) For purposes of subdivision (a), the amount of a listed chemical contained in drinking water shall be determined by sampling of the drinking water at the point of delivery and by testing pursuant to Section 12901. If sampling and testing is impractical, the amount of a listed chemical shall be based on test results of the most recent sample of the drinking water taken by the public water system or the commercial drinking water supplier, provided that all sampling and testing has been conducted at the frequency and in the manner required by law, or alternatively, such amount shall be calculated at five percent of the maximum contaminant level set forth in the primary drinking water standard for the listed chemical.

# 12601. Clear and Reasonable Warnings.
(a) Whenever a clear and reasonable warning is required under Section 25249.6 of the Health and Safety Code, the method employed to transmit the warning must be reasonably calculated, considering the alternative methods available under the circumstances, to make the warning message available to the individual prior to exposure. The message must clearly communicate that the chemical in question is known to the state to cause cancer, or birth defects or other reproductive harm. Nothing in this section shall be construed to preclude a person from providing warnings other than those specified in subdivisions (b), (c), and (d) which satisfy the requirements of this subdivision, or to require that warnings be provided separately to each exposed individual.
(b) Warnings for consumer products exposures which include the methods of transmission and the warning messages as specified by this subdivision shall be deemed to be clear and reasonable. A “consumer products exposure” is an exposure which results from a person's acquisition, purchase, storage, consumption, or other reasonably foreseeable use of a consumer good, or any exposure that results from receiving a consumer service.
(1) The warning may be provided by using one or more of the following methods singly or in combination:
(A) A warning that appears on a product's label or other labeling. The term “label” means a display of written, printed or graphic matter upon a product or its immediate container. The term “labeling” means any label or other written, printed or graphic matter affixed to or accompanying a product or its container or wrapper.
(B) Identification of the product at the retail outlet in a manner which provides a warning. Identification may be through shelf labeling, signs, menus, or a combination thereof.
(C) A system of signs, public advertising identifying the system and toll-free information services, or any other system, that provides clear and reasonable warnings.
(D) For alcoholic beverages, including, without limitation, beer, malt beverages, wine and distilled spirits:
1. Primarily intended for consumption off the premises where sold or distributed:
(i) at least one notice or sign, no smaller than 10 inches wide by 10 inches high, and bearing the warning message set forth in paragraph (4) (E) of this subsection; or
(ii) at least one horizontal strip marker no smaller than 10 1/2 inches wide by 1 1/4 inches high, and bearing the warning message set forth in paragraph (4)(E) of this subsection; or
(iii) a notice no smaller than 5 inches by 5 inches, and bearing the warning message set forth in (4)(E) of this subsection.
(iv) If signs 10 inches high by 10 inches wide are used, the word “warning” shall be centered, three-quarters of an inch from the top of the sign in ITC Garamond bold condensed type face all in one-inch capital letters. Three-sixteenths of an inch from the base of the word “warning” shall be a line extending from left to right across the width of the sign one-sixteenth of an inch in thickness. Centered one-half inch below the line shall be the body of the warning message in 36/50 ITC Garamond bold condensed type face with the initial letter of each word, other than the conjunctive “and,” capitalized. For the body of the warning message, left and right margins of at least one-half of an inch, and a bottom margin of at least one-half inch shall be observed. Larger signs shall bear substantially the same proportions of type size and spacing to sign dimension as the sign 10 inches high by 10 inches wide.
(v) If the 10 1/2 inch by 1 1/4 inch horizontal strip markers are used, the word “WARNING,” punctuated by a colon, shall be justified left and located three-sixteenths of an inch from the top of the strip notice in ITC Garamond bold condensed type face all in capital letters measuring eleven sixteenth of an inch in height.
Three thirty-seconds of an inch from the base of the word “WARNING” shall be a line extending from left to right across the width of the word “WARNING” and the punctuation colon one thirty-second of an inch in thickness. Located one-fourth of an inch from the top and one-fourth of an inch from the bottom of the strip notice, and to the immediate right of the word “WARNING,” shall be the body of the warning message in 12/16 point ITC Garamond bold condensed type face with the initial letter of each word, other than the conjunctive “and,” capitalized. The word “WARNING” shall be one-half inch from the left edge of the strip notice and the requisite warning message shall extend to within one-half inch from the right edge.
(vi) If the 5 inch by 5 inch signs are used, they shall bear substantially the same proportions of type size and spacing to sign dimension as the sign 10 inches high by 10 inches wide, with both the word “WARNING” and the warning text set in white on a contrasting red background.
(vii) Such sign or notice shall be placed in the retail establishment so as to assure that it is readable and likely to be read either at each retail point of sale or each point of display. Such sign or notice shall be placed either at all retail points of sale or all points of display, but need not be placed at both. If 10 inch by 10 inch signs or notices are placed at the point of display, each shall be placed no more than ten feet from any alcoholic beverage container and in a manner associating the sign or notice with the display. If horizontal strip notices are used, they shall be placed at ten foot intervals horizontally along the display. If a 5 inch by 5 inch sign is used, it shall be conspicuously placed at each retail point of sale (e.g., check-out counter, cash register, cash box) so that it is likely to be read and understood during the sales transaction.
(viii) All measurements specified or referred to in paragraphs (iv), (v) and (vi), above, are not required to be precisely accurate.
2. Provided for consumption on the premises at tables served by food or beverage persons, or sold or distributed through over the counter service;
(i) a notice or sign displayed at each of the tables where alcoholic beverages are served or may be consumed at least 5 inches high by 5 inches wide bearing substantially the same type face and substantially the same proportion of type size and spacing to sign dimension as described in paragraph (D)1. (vi); or
(ii) the warning message set forth in paragraph (4)(E) of this subdivision, placed upon a menu or list in association with the alcoholic beverages listed thereon and served at such premises, or if alcoholic beverages are not listed thereon, on any menu or list provided to patrons in association with the listing of food or beverage offerings, in type size and design, such that the text is conspicuous and likely to be read prior to consumption of alcoholic beverages or,
(iii) at least one 10 inch by 10 inch sign, meeting the specifications set forth in paragraph (D)1. (iv) of this subsection, placed so that it is readable and likely to be read by patrons as they enter each public entrance to the establishment. If the establishment does not have clearly defined physical boundaries delineating those areas where, by permit or license, alcoholic beverages are served, the 10 inch by 10 inch sign shall be posted so that it is readable and likely to be read by patrons as they enter the area or areas where, by permit or license, alcoholic beverages are served; and
(iv) If sold or distributed through over-the-counter service, at least one sign, meeting the specifications set forth in paragraph (D)1., (iv) of this subsection, placed in the retail establishment so that the warning message is, prior to the consumption of alcoholic beverages, readable and likely to be read from all counter locations available to the public. Therefore, a retail establishment providing a warning pursuant to the preceding sentence, also would be required to provide a warning in accordance with either paragraph 2.(i), 2.(ii) or 2.(iii) of this subsection.
3. For premises which are specially licensed to sell and serve alcoholic beverages both on and off the licensed premises (e.g., in facilities that offer both “tasting” and retail sales), the off-sale portion of the premises shall comply with the provisions of subsection (D)1., above, and the portion of the premises where alcoholic beverages are served shall comply with the provisions of subsection (D)2., above.
4. For alcoholic beverages sold or distributed to consumers through the mail or package delivery services, warnings may be provided by incorporating or placing the warning message set forth in paragraph (4)(E) on or in the shipping container or delivery package in such a manner so that the warning message is likely to be read by the recipient prior to consumption of the alcoholic beverage(s).
5. All signs or notices referred to in subsections (D)1., (D)2. and (D)3., above, shall be displayed so that they are clearly visible under all lighting conditions normally encountered during business hours.
(2) To the extent practicable, warning materials such as signs, notices, menu stickers,or labels shall be provided by the manufacturer, producer, or packager of the consumer product, rather than by the retail seller. For alcoholic beverages, the placement and maintenance of the warning shall be the responsibility of the manufacturer or its distributor at no cost to the retailer, and any consequences for failure to do the same shall rest solely with the manufacturer or its distributor, provided that the retailer does not remove, deface, or obscure the requisite signs or notices, or obstruct, interfere with, or otherwise frustrate the manufacturer's reasonable efforts to post, maintain, or periodically replace said materials. For prescription drugs, the labeling approved or otherwise provided under federal law and the prescriber's accepted practice of obtaining a patient's informed consent shall be deemed to be a clear and reasonable warning.
(3) The warnings provided pursuant to paragraphs (1)(A) and (1)(B) shall be prominently placed upon a product's label or other labeling or displayed at the retail outlet with such conspicuousness, as compared with other words, statements, designs, or devices in the label, labeling or display as to render it likely to be read and understood by an ordinary individual under customary conditions of purchase or use.
(4) The warning message must include the following language:
(A) For consumer products that contain a chemical known to the state to cause cancer:
“WARNING: This product contains a chemical known to the State of California to cause cancer.”
(B) For consumer products that contain a chemical known to the state to cause reproductive toxicity:
“WARNING: This product contains a chemical known to the State of California to cause birth defects or other reproductive harm.”
(C) For food, other than alcoholic beverages, sold, served, or otherwise provided in food facilities, as defined in Health and Safety Code Section 27521(a), which is intended for immediate consumption:
“WARNING: Chemicals known to the State of California to cause cancer, or birth defects or other reproductive harm may be present in foods or beverages sold or served here.”
(D) For fresh fruits, nuts and vegetables:
“WARNING: This product may contain a chemical known to the State of California to cause cancer, or birth defects or other reproductive harm.”
(E) For alcoholic beverages, including, without limitation, beer, malt beverages, wine and distilled spirits:
“WARNING: Drinking Distilled Spirits, Beer, Coolers, Wine and Other Alcoholic Beverages May Increase Cancer Risk, and, During Pregnancy, Can Cause Birth Defects.”
(5) A person in the course of doing business, who manufactures, produces, assembles, processes, handles, distributes, stores, sells or otherwise transfers a consumer product which he or she knows to contain a chemical known to the state to cause cancer or reproductive toxicity in an amount which requires a warning shall provide a warning to any person to whom the product is sold or transferred unless the product is packaged or labeled with a clear and reasonable warning.
(c) Warnings for occupational exposures which include the methods of transmission and the warning messages as specified by this subdivision shall be deemed clear and reasonable. An “occupational exposure” is an exposure, in the workplace of the employer causing the exposure, to any employee.
(1) The method employed to transmit the warning must include one of the following alternative methods:
(A) A warning that appears on the label or labeling of a product or substance present or used in the workplace. The label or labeling shall be prominently displayed on the product or substance and the product or substance shall be used under circumstances which make it likely that the warnings will be read and understood by employees or other individuals prior to the exposure for which the warning is given.
(B) A warning that appears on a sign in the workplace posted in a conspicuous place and under conditions that make it likely to be read and understood by employees and other individuals prior to the exposure for which the warning is given.
(C) A warning to the exposed employee about the chemical in question which complies with all information, training and labeling requirements of the federal Hazard Communication Standard (29 CFR Section 1910.1200, as amended and filed September 30, 1986), the California Hazard Communication Standard (Cal. Code Regs., Title 8, Section 5194, as amended and filed May 26, 1987) , or , for pesticides, the Pesticides and Worker Safety requirements (Cal. Code Regs., Title 3, Ch. 6, Subch. 3, Group 3, Section 6700 et seq., in effect on February 16, 1988) authorized in Food and Agricultural Code Section 12981 (as amended by Statutes of 1980, Ch. 926, P. 2945, Section 1).
(2) For purposes of paragraph (1)(A) of this subdivision, the warning shall be provided in terms which would provide a clear warning for a consumer product as specified above.
(3) For purposes of paragraph (1)(B) of this subdivision, the following specific warning messages shall be deemed to clearly communicate that an individual is being exposed to a chemical known to the state to cause cancer, or birth defects or other reproductive harm.
(A) For exposure to a chemical known to the state to cause cancer:
“WARNING: This area contains a chemical known to the State of California to cause cancer.”
(B) For exposure to a chemical known to the state to cause reproductive toxicity:
“WARNING: This area contains a chemical known to the State of California to cause birth defects or other reproductive harm.”
(d) Warnings for environmental exposures which include the methods of transmission and the warning messages as specified by this subdivision shall be deemed clear and reasonable. An “environmental exposure” is an exposure which may foreseeably occur as the result of contact with an environmental medium, including, but not limited to, ambient air, indoor air, drinking water, standing water, running water, soil, vegetation, or manmade or natural substances, either through inhalation, ingestion, skin contact or otherwise. Environmental exposures include all exposures which are not consumer products exposures, or occupational exposures.
(1) The method employed to transmit the warning must include the most appropriate of the following alternative methods under the circumstances:
(A) A warning that appears on a sign in the affected area. The term “sign” means a presentation of written, printed or graphic matter. The term “affected area” means the area in which an exposure to a chemical known to the state to cause cancer or reproductive toxicity is at a level that requires a warning. A posting of signs in the manner described in Section 6776, (e)(1) of Title 3 of the California Code of Regulations, (as amended and filed August 15, 1986) shall be sufficient for purposes of this paragraph.
(B) A warning which is in a notice mailed or otherwise delivered to each occupant in the affected area. Such notice shall be provided at least once in any three-month period.
(C) A warning provided by public media announcements which target the affected area. Such announcements shall be made at least once in any three-month period.
(2) Environmental exposure warnings shall be provided in a conspicuous manner and under such conditions as to make it likely to be read, seen or heard and understood by an ordinary individual in the course of normal daily activity, and reasonably associated with the location and source of the exposure.
(3) For purposes of paragraph (1)(A) of this subdivision, the following specific warning messages shall be deemed to clearly communicate that an individual is being exposed to a chemical known to the state to cause caner, or birth defects or other reproductive harm.
(A) For exposure to a chemical known to the state to cause cancer:
“WARNING: This area contains a chemical known to the State of California to cause cancer.”
(B) For exposure to a chemical known to the state to cause reproductive toxicity:
“WARNING: This area contains a chemical known to the State of California to cause birth defects or other reproductive harm.”

# 12701. General.
(a) The determination of whether a level of exposure to a chemical known to the state to cause cancer poses no significant risk for purpose of Health and Safety Code Section 25249.10(c) shall be based on evidence and standards of comparable scientific validity to the evidence and standards which form the scientific basis for the listing of the chemical as known to the state to cause cancer. Nothing in this article shall preclude a person from using evidence, standards, risk assessment methodologies, principles, assumptions or levels not described in this article to establish that a level of exposure to a listed chemical poses no significant risk.
(b) A level of exposure to a listed chemical, assuming daily exposure at that level, shall be deemed to pose no significant risk provided that the level is determined:
(1) By means of a quantitative risk assessment that meets the standards described in Section 12703;
(2) By application of Section 12707 (Routes of Exposure); or
(3) By one of the following, as applicable:
(A) If a specific regulatory level has been established for the chemical in question in Section 12705, by application of that level.
(B) If no specific level is established for the chemical in question in Section 12705, by application of Section 12709 (Exposure to Trace Elements), 12711 (Levels Based on State or Federal Standards) or 12713 (Exposure to Food, Drugs, Cosmetics and Medical Devices), unless otherwise provided.
(c) ED NOTE: Cal-OSHA Standards Board did not incorporate subsection (c) into 5194(b)(6).
(d) This article establishes exposure levels posing no significant risk solely for purposes of Health and Safety Code Section 25249.10(c). Nothing in this article shall be construed to establish exposure or risk levels for other regulatory purposes.

# 12703. Quantitative Risk Assessment.
(a) A quantitative risk assessment which conforms to this section shall be deemed to determine the level of exposure to a listed chemical which, assuming daily exposure at that level, poses no significant risk. The assessment shall be based on evidence and standards of comparable scientific validity to the evidence and standards which form the scientific basis for listing the chemical as known to the state to cause cancer. In the absence of principles or assumptions scientifically more appropriate, based upon the available data, the following default principles and assumptions shall apply in any such assessment:
(1) Animal bioassay studies for quantitative risk assessment shall meet generally accepted scientific principles, including the thoroughness of experimental protocol, the degree to which dosing resembles the expected manner of human exposure, the temporal exposure pattern, the duration of study, the purity of test material, the number and size of exposed groups, the route of exposure, and the extent of tumor occurrence.
(2) The quality and suitability of available epidemiologic date shall be appraised to determine whether the study is appropriate as the basis of a quantitative risk assessment, considering such factors as the selection of the exposed and reference groups, reliable ascertainment of exposure, and completeness of follow-up. Biases and confounding factors shall be identified and quantified.
(3) Risk analysis shall be based on the most sensitive study deemed to be of sufficient quality.
(4) The results obtained for the most sensitive study deemed to be of sufficient quality shall be applicable to all routes of exposure for which the results are relevant.
(5) The absence of a carcinogenic threshold dose shall be assumed and no-threshold models shall be utilized. A linearized multistage model for extrapolation from high to low doses, with the upper 95 percent confidence limit of the linear term expressing the upper bound of potency shall be utilized. Time-to-tumor models may be appropriate where date are available on the time of appearance of individual tumors, and particularly when survival is poor due to competing toxicity.
(6) Human cancer potency shall be derived from data on human or animal cancer potency. Potency shall be expressed in reciprocal milligrams of chemical per kilogram of bodyweight per day. Interspecies conversion of animal cancer potency to human cancer potency shall be determined by multiplying by a surface area scaling factor equivalent to the ratio of human to animal bodyweight, taken to the one-third power. This is equivalent to a scaling factor of 14 when extrapolating from mouse data, and a scaling factor of 6.5 when extrapolating from rat data.
(7) When available data are of such quality that physiologic, pharmacokinetic and metabolic considerations can be taken into account with confidence, they may be used in the risk assessment for inter-species, inter-dose, and inter-route extrapolations.
(8) When the cancer risk applies to the general population, human body weight of 70 kilograms shall be assumed. When the cancer risk applies to a certain subpopulation, the following assumptions shall be made, as appropriate:

		Kilograms of 
	    Subpopulation	Body Weight

	Man (18+ years of age)		70
	Woman (18+ years of age)		58
	Woman with conceptus		58
	Adolescent (11-18 years of age)		40
	Child (2-10 years of age)		20
	Infant (0-2 years of age)		10
(b) For chemicals assessed in accordance with this section, the risk level which represents no significant risk shall be one which is calculated to result in one excess case of cancer in an exposed population of 100,000, assuming lifetime exposure at the level in question, except where sound considerations of public health support an alternative level, as, for example:
(1) where chemicals in food are produced by cooking necessary to render the food palatable or to avoid microbiological contamination; or
(2) where chlorine disinfection in compliance with all applicable state and federal safety standards is necessary to comply with sanitation requirements; or
(3) where a clean-up and resulting discharge is ordered and supervised by an appropriate governmental agency or court of competent jurisdiction.

# 12705. Specific Regulatory Levels Posing No Significant Risk.
(a) Daily exposure to a chemical at a level which does not exceed the level set forth in subsection (b) for such chemical shall be deemed to pose no significant risk within the meaning of Health and Safety Code section 25249.10(c).
(b)

		Level
	Chemical Name	micrograms/day

Acrylonitrile		0.7
Aldrin		0.04
Asbestos		100 fibers inhaled/day*
Benzene		7
Benzidine		0.001
Bis(2-chloroethyl) ether		0.3
Bis(chloromethyl) ether		0.02

Carbon tetrachloride		5
DDT, DDE and DDD (in combination)		2
1,2-Dibromo-3-chloropropane (DBCP)		0.1
para-Dichlorobenzene		20
3,3'-Dichlorobenzidine		0.6

Dieldrin		0.04
1,4-Dioxane		30
Epichlorohydrin		9
Ethylene dibromide		0.2 (ingestion)
3 (inhalation)
Ethylene dichloride		10
Ethylene oxide		2
Hexachlorobenzene		0.4
Hexachlorocyclohexane (technical grade)		0.2

N-Nitroso-n-dibutylamine		0.06
N-Nitrosodiethylamine		0.02
N-Nitrosodimethylamine		0.04
N-Nitrosodiphenylamine		80
N-Nitrosodi-n-propylamine		0.1
N-Nitroso-N-ethylurea		0.03
N-Nitroso-N-methylurea		0.006
Polybrominated biphenyls		0.02
Toxaphene		0.6
2,4,6-Trichlorophenol		10
Urethane		0.7

*Fibers equal to or greater than 5 micrometers in length and 0.3 micrometers in width, with a length to width ratio of greater than or equal to 3:1 as measured by phase contrast microscopy.
(c) Whenever the lead agency proposes to formally adopt, pursuant to this section, a level which shall be deemed to pose no significant risk of cancer, assuming daily exposure at that level, the lead agency shall provide to each member of the Scientific Advisory Panel notice of the proposed action, a copy of the proposed level, and a copy of initial statement of reasons supporting the proposal. The close of the public comment period for any such proposal shall be scheduled by the lead agency so as to permit the Scientific Advisory Panel the opportunity to review such proposal and provide comment to the lead agency. Any such comment by the Scientific Advisory Panel shall become a part of the formal rulemaking file. Nothing in this subdivision shall be construed to prevent members of the Scientific Advisory Panel from providing comments individually on any such proposal, or to require the Scientific Advisory Panel to submit any comment.

# 12707. Routes of Exposure.
(a) Where scientifically valid absorption studies conducted according to generally accepted standards demonstrate that absorption of a chemical through a specific route of exposure can be reasonably anticipated to present no significant risk of cancer at levels of exposure not in excess of current regulatory levels, the lead agency may identify the chemical as presenting no significant risk by that route of exposure. Any exposure, discharge or release of a chemical so identified shall be deemed to present no significant risk to the extent that it results in exposure to humans by the identified route, and does not exceed the level established in any other applicable federal or state standard, regulation, guideline, action level, license, permit, condition, requirement or order.
(b) The following chemicals present no significant risk of cancer by the route of ingestion:
(1) Asbestos
(2) Beryllium and beryllium compounds
(3) Cadmium and cadmium compounds
(4) Chromium (hexavalent compounds)
(5) Nickel and nickel compounds

# 12709. Exposure to Trace Elements.
(a) Except where a specific regulatory level is established in Section 12705, exposure to a trace element listed in (b) shall be deemed to pose no significant cancer risk so long as the reasonably anticipated level of exposure to the chemical does not exceed the level set forth in (b).
(b)

		No Significant Risk Level
	Element	in micrograms per day

	Arsenic (inorganic)		10
	Beryllium		0.1
	Cadmium		1

# 12711. Levels Based on State or Federal Standards.
(a) Except as otherwise provided in section 12705, 12707, 12709, or 12713, levels of exposure deemed to pose no significant risk may be determined as follows:
(1) Where a state or federal agency has developed a regulatory level for a chemical known to the state to cause cancer which is calculated to result in not more than one excess case of cancer in an exposed population of 100,000, such level shall constitute the no significant risk level.
(2) The following levels based on state or federal risk assessments shall be deemed to pose no significant risk:

		Level
	Chemical Name	micrograms/day

Acetaldehyde		90
Acrylamide		0.2
Allyl chloride		30
Aniline		100
Azobenzene		6
Benzo (a) pyrene		0.06
Beryllium oxide		0.1
Beryllium sulfate		0.0002

1,3-Butadiene		0.4
Chlordane		0.5
Chloroform		9
Chromium (hexavalent)		0.001
Coke oven emissions		0.3

DDVP (Dichlorvos)		2
Dichloromethane (Methylene Chloride)		50
Di (2-ethylhexyl) phthalate		80
2,4-Dinitrotoluene		2

		Level
	Chemical Name	micrograms/day

Folpet		200
Formaldehyde (gas)		15
Furmecyclox		20

Heptachlor		0.2
Heptachlor epoxide		0.08
Hexachlorocyclohexane
 alpha isomer		0.3
 beta isomer		0.5
 gamma isomer		0.6
Hydrazine		0.04
Hydrazine sulfate		0.2
4,4'-Methylene bis (N,N-dimethyl)benzeneamine		20
Nickel refinery dust		0.8
Nickel subsulfide		0.4
N-Nitrosodiethanolamine		0.3
N-nitrosomethylethylamine		0.03
N-nitrosopyrrolidine		0.3
Pentachlorophenol		40
Polychlorinated Biphenyls (PCBs)		0.09
Tetrachlorodibenzo-p-dioxin (TCDD)		0.000005
Tetrachloroethylene		14
Trichlorethylene		60
Vinyl chloride		0.3
(3) For drinking water, the following levels shall be deemed to pose no significant risk:
(A) Drinking water maximum contaminant levels adopted by the Department of Health Services for chemicals known to the state to cause cancer;
(B) Drinking water action levels for chemicals known to the state to cause cancer for which maximum contaminant levels have not been adopted;
(C) Specific numeric levels of concentration for chemicals known to the state to cause cancer which are permitted to be discharged or released into sources of drinking water by a Regional Water Quality Control Board in a water quality control plan or in waste discharge requirements, when such levels are based on considerations of minimizing carcinogenic risks associated with such discharge or release.

# 12721. Level of Exposure to Carcinogens.
(a) For the purposes of the Act, “level in question” means the chemical concentration of a listed chemical for the exposure in question. The exposure in question includes the exposure for which the person in the course of doing business is responsible, and does not include exposure to a listed chemical from any other source or product.
(b) For purposes of the Act, “lifetime exposure” means the reasonably anticipated rate of exposure for an individual to a given medium of exposure measured over a lifetime of seventy years.
(c) For purposes of Health and Safety Code Section 25249.10(c), the level of exposure to a listed carcinogen, assuming lifetime exposure at the level in question, shall be determined by multiplying the level in question (stated in terms of a concentration of a chemical in a given medium) times the reasonably anticipated rate of exposure for an individual to the given medium of exposure measured over a lifetime of seventy years.
(d) The following assumptions shall be used to calculate the reasonably anticipated rate of exposure to a listed carcinogen, unless more specific and scientifically appropriate date are available:
(1) For an exposure reasonably expected to affect the general population in any geographic area:
(A) The exposed individual ingests two liters of drinking water per day.
(B) The exposed individual inhales twenty cubic meters of air per day.
(C) The exposed individual has a lifespan of seventy years.
(2) For an exposure reasonably anticipated to affect a certain subpopulation of the general population in any geographic area, specific date (if available) relating to that subpopulation shall be used to determine the level of exposure.
(A) In the absence of more specific and scientifically appropriate data, the following assumptions should be made as appropriate:

			Air
		Water	cubic
	Subpopulation	liters/day	meters/day

Man (18+ years of age)		2		20
Woman (18+ years of age)		2		20
Woman with conceptus		2		20
Adolescent (10-18 years of age)		2		20
Child (2-10 years of age)		2		15
Infant (0-2 years of age)		1		 4
(B) For an exposure reasonably expected to affect the conceptus (embryo or fetus), the gestation period for the exposed conceptus is nine months.
(3) For workplace exposures, the exposed worker inhales ten cubic meters of workplace air per eight-hour day, forty hours per week, fifty weeks per year over a forty-year period. The exposed individual from the general population who occasionally enters a workplace inhales 1.25 cubic meters of workplace air for one hour per month for a seventy-year lifetime.
(4) For exposures to consumer products, lifetime exposure shall be calculated using the average rate of intake or exposure for average users of the consumer product, and not on a per capita basis for the general population. The average rate of intake or exposure shall be based on data for use of a general category or categories of consumer products, such as the United States Department of Agriculture Home Economic Research Report, Foods Commonly Eaten by Individuals: Amount Per Day and Per Eating Occasion, where such data are available.

# 12801. General.
(a) The determination of whether a level of exposure to a chemical known to the state to cause reproductive toxicity has no observable effect for purposes of Health and Safety Code Section 25249.10(c) shall be based on evidence and standards of comparable scientific validity to the evidence and standards which form the scientific basis for the listing of a chemical as known to the state to cause reproductive toxicity. Nothing in this article shall preclude a person from using evidence, standards, assessment methodologies, principles, assumptions or levels not described in this article to establish that a level of exposure has no observable effect at one thousand (1,000) times the level in question.
(b) A level of exposure to a listed chemical shall be deemed to have no observable effect, assuming exposure at one thousand times that level, provided that the level is determined: 
(1) By means of an assessment that meets the standards described in section 12803 to determine the maximum dose level having no observable effect, and dividing that level by one thousand (1,000) to arrive at the maximum allowable dose level; or
(2) By application of a specific regulatory level for the chemical in question as provided in section 12805.
(c) For purposes of this article, “NOEL” shall mean that no observable effect level, which is the maximum dose level at which a chemical has no observable reproductive effect.
(d) The chemicals specifically contained in this article do not include all listed reproductive toxicants for which there is a level of exposure which has no observable effect assuming exposure at one thousand times the level in question. The fact that a chemical does not specifically appear in this article does not mean that it has an observable effect at any level.
(e) This article establishes exposure levels solely for purposes of Health and Safety Code Section 25249.10(c). Nothing in this article shall be construed to establish exposure levels for other regulatory purposes.

# 12803. Assessment.
(a) A quantitative risk assessment which conforms to this section shall be deemed to determine the level of exposure to a listed chemical which has no observable effect, assuming exposure at one thousand times the level in question. The assessment shall be based on evidence and standards of comparable scientific validity to the evidence and standards which form the scientific basis for listing the chemical as known to the state to cause reproductive toxicity. In the absence of principles or assumptions scientifically more appropriate, based upon the available data, the following default principles and assumptions shall apply in any such assessment:
(1) Only studies producing the reproductive effect which provides the basis for the determination that a chemical is known to the state to cause reproductive toxicity shall be utilized for the determination of the NOEL. Where multiple reproductive effects provide the basis for the determination that a chemical is known to the state to cause reproductive toxicity, the reproductive effect for which studies produce the lowest NOEL shall be utilized for the determination of the NOEL. The NOEL shall be the highest dose level which results in no observable reproductive effect, expressed in milligrams of chemical per kilogram of bodyweight per day.
(2) The quality and suitability of available epidemiologic data shall be appraised to determine whether the study is appropriate as the basis of an assessment considering such factors as the selection of the exposed and reference groups, the reliable ascertainment of exposure, and completeness of follow-up. Biases and confounding factors shall be identified and quantified.
(3) Animal bioassay studies for assessment shall meet generally accepted scientific principles, including the thoroughness of experimental protocol, the degree to which dosing resembles the expected manner of human exposure, the temporal exposure pattern, the duration of study, the purity of test material, the number and size of exposed groups, and the route of exposure and the extent of occurrence of effects.
(4) The NOEL shall be based on the most sensitive study deemed to be of sufficient quality.
(5) The results obtained for the most sensitive study deemed to be of sufficient quality shall be applicable to all routes of exposure for which the results are relevant.
(6) When available data are of such quality that anatomic, physiologic, pharmacokinetics and metabolic considerations can be taken into account with confidence, they may be used in the assessment.
(7) When data do not allow the determination of a NOEL, the lowest observable effect level (LOEL) shall be divided by 10 to establish a NOEL for purposes of assessment.
(b) The NOEL shall be converted to a milligram per day dose level by multiplying the assumed human body weight by the NOEL. When the applicable reproductive effect is upon the male, human body weight of 70 kilograms shall be assumed. When the applicable reproductive effect is upon the female or conceptus, human body weight of 58 kilograms shall be assumed.

# 12805. Specific Regulatory Levels: Reproductive 
Toxicants.
(a) Exposure to a chemical at a level which does not exceed the level set forth in subsection (b) for such chemical has no observable effect assuming exposure at one thousand (1,000) times that level.
(b)

		Level
	Chemical Name	Micrograms/day

	Ethylene Oxide	20.0
	Lead	0.5
(c) Unless a specific level is otherwise provided in this section, an assessment by an agency of the state or federal government that is the substantial equivalent of the assessment described in subdivision (a) of Section 12803, and establishes a maximum allowable daily dose level in the manner provided in paragraph (b)(1) of Section 12801, shall constitute the allowable daily dose level having no observable effect within the meaning of Health and Safety Code Section 25249.10(c).

# 12821. Level of Exposure to Reproductive Toxicants.
(a) For purposes of the Act, “level in question” means the chemical concentration of a listed chemical for the exposure in question. The exposure in question includes the exposure for which the person in the course of doing business is responsible, and does not include exposure to a listed chemical from any other source or product.
(b) For purposes of Health and Safety Code Section 25249.10(c), the level of exposure to a listed reproductive toxicant shall be determined by multiplying the level in question (stated in terms of a concentration of a chemical in a given medium) times the reasonably anticipated rate of exposure for an individual to a given medium. The reasonably anticipated rate of exposure shall be based on the pattern and duration of exposure that is relevant to the reproductive effect which provided the basis for the determination that a chemical is known to the state to cause reproductive toxicity. (For example, an exposure of short duration is appropriate for a teratogenic chemical, whereas a chronic or protracted exposure is appropriate for one that retards fetal growth).
(c) The following assumptions shall be used to calculate the reasonably anticipated rate of exposure to a listed reproductive toxicant, unless more specific and scientifically appropriate data are available:
(1) The assumptions set forth in subdivision (d) of Section 12721 shall be used to calculate the reasonably anticipated rate of exposure to a listed reproductive toxicant, unless more specific and scientifically appropriate data are available.
(2) For exposures to consumer products, the level of exposure shall be calculated using the reasonably anticipated rate of intake or exposure for average users of the consumer product, and not on a per capita basis for the general population. The rate of intake or exposure shall be based on data for use of a general category or categories of consumer products, such as the United States Department of Agriculture Home Economic Research Report, Foods Commonly Eaten by Individuals: Amount Per Day and Per Eating Occasion, where such data are available.
(3) Where a maternal exposure to a listed reproductive toxicant has an effect on the conceptus (embryo or fetus), the level of exposure shall be based on the reasonably anticipated rate of exposure for the mother during the nine-month gestation period.

# 12901. Methods of Detection.
(a) For purposes of Section 25249.11, subdivision (c), of the Health and Safety Code, the term “any detectable amount” means a level detected using a method of analysis referred to in this section. For purposes of this section, “method of analysis” refers to the method of detection or detection and calculation for a listed chemical in a specific medium, including, but not limited to, water, air, food, or soil, and shall include methods and procedures concerning the number of samples and the frequency and site of sampling that are specific for the listed chemical in question.
(b) Where the California Department of Health Services, the California Department of Food and Agriculture, the Air Resources Board, a local air pollution control district, the State Water Resources Control Board, or a Regional Water Quality Control Board has adopted or employs a method of analysis for a listed chemical in a specific medium, such method shall be the method of analysis for that chemical in that medium. Where more than one method of analysis has been so adopted or is so employed, each may be utilized as the method of analysis.
(c) Where no state or local agency identified in subdivision (b) has adopted or employs a method of analysis, a method of analysis, a method of analysis for a listed chemical in a specific medium adopted or employed by a federal agency shall be the method of analysis for that chemical in that medium. When more than one method of analysis has been so adopted or is so employed, each may be utilized as the method of analysis.
(d) Where no regulatory agency identified in subdivision (b) or (c) has adopted or employs a method of analysis, a method of analysis for a listed chemical in a specific medium which is generally accepted by the scientific community, as evidenced by its publication in compilations by professional and scientific associations or societies, such as the Association of Official Analytical Chemists, or in peer-reviewed technical journals published by such associations or societies, such method shall be the method of analysis for that chemical in that medium. When more than one method of analysis is generally accepted, each may be utilized as the method of analysis.
(e) Where no method of analysis as described in subsections (b) or (c) has been adopted or is employed, or is generally accepted by the scientific community as described in subsection (d), and a scientifically valid method of analysis has been developed for a listed chemical in a specific medium, such method shall be the method of analysis for that chemical in that medium. Where more than one method of analysis has been developed for a chemical in a specific medium, each may be utilized as the method of analysis.
(f) In performing an analysis to determine the concentration of a chemical known to the state to cause cancer or reproductive toxicity in a given medium, generally accepted standards and practice for sampling, collection, storage, preparation, chemical analysis, statistical analysis of data, interpretation of results and modeling shall be observed.
(g) For purposes of Health and Safety Code Sections 25249.5 and 25249.6, no discharge, release or exposure occurs unless a listed chemical is detectable as provided in this section.
NOTE

Authority cited: Sections 50.7 and 142.3, Labor Code. Reference: Sections 50.7 and 142.3, Labor Code; Sections 25249.6, 25249.7, 25249.8, 25249.10, 25249.11, 25249.12 and 25249.13, Health and Safety Code; and California Lab. Federation v. Occupational Safety and Health Stds. Bd. (1990) 221 Cal.App.3d 1547 [271 Cal. Rptr. 310].
HISTORY

1. New appendix E filed 5-31-91 as an emergency; operative 5-31-91 (Register 91, No. 33). A Certificate of Compliance must be transmitted to OAL by 9-30-91 or emergency appendix E language will be repealed by operation of law on the following day.
2. Amendment of section filed 9-30-91 as an emergency; operative 9-30-91 (Register 92, No. 2). A Certificate of Compliance must be transmitted to OAL 1-28-92 or emergency language will be repealed by operation of  law on the following day.
3. Certificate of Compliance as to 9-30-91 order transmitted to OAL 11-22-91 and filed 12-17-91 (Register 92, No. 12).
4. Editorial correction of History 3 and 4 (Register 94, No. 50).
5. Editorial correction of #12502 and #12601 (c)(1)(C) (Register 95, No. 24).
§5194.1. Retention of DOT Markings, Placards and Labels.
Note     •     History

(a) Any employer who receives a package of hazardous material which is required to be marked, labeled or placarded in accordance with the U.S. Department of Transportation's Hazardous Materials Regulations (49 CFR Parts 171 through 180) shall retain those markings, labels and placards on the package until the packaging is sufficiently cleaned of residue and purged of vapors to remove any potential hazards.
(b) Any employer who received a freight container, rail freight car, motor vehicle, or transport vehicle that is required to be marked or placarded in accordance with the U.S. Department of Transportation Hazardous Materials Regulations shall retain those markings and placards on the freight container, rail freight car, motor vehicle or transport vehicle until the hazardous materials which require the marking or placarding are sufficiently removed to prevent any potential hazards.
(c) Markings, placards and labels shall be maintained in a manner that ensures that they are readily visible.
(d) For non-bulk packages which will not be reshipped, the provisions of this section are met if a label or other acceptable marking is affixed in accordance with the Hazard Communications Standard, section 5194.
(e) For the purposes of this section the term “hazardous material” and any other terms not defined in this section have the same definition as in the U.S. Department of Transportation Hazardous Materials Regulations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-4-95; operative 2-3-95. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 95, No. 1).
2. Amendment of subsections (b) and (e) filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§5195. Nitrous Oxide.
Note     •     History

The piped systems for the in-plant transfer and distribution of nitrous oxide shall be designed, installed, maintained, and operated in accordance with Compressed Gas Association Pamphlet G-8.1-1979, incorporated herein by this reference.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Amendment filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
3. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5196. Sulfur.
Note     •     History

All requirements of NFPA 655-1982, “Prevention of Sulfur Fires and Explosions,” incorporated herein by this reference, shall apply to the crushing, grinding or pulverizing of sulfur and to the handling of sulfur. This standard shall not apply to the mining or transportation of sulfur, nor to the use of sulfur for fumigation, preservation of fruit or similar operations. At locations for which a building permit was issued before December 29, 1981, NFPA 655-1971, “Standard for Prevention of Sulfur Fires and Explosions,” incorporated herein by this reference, shall apply. (Title 24, Part 6, Section 5196)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 4-27-79; effective thirtieth day thereafter (Register 79, No. 17). 
2. Amendment filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5197. Occupational Exposure to Food Flavorings Containing Diacetyl.
Note     •     History

(a) General Requirements. 
(1) Scope.
(A) This section applies to all places of employment where food products or flavorings are manufactured, processed or used and one or more processes in the establishment utilize diacetyl or food products or flavorings that contain diacetyl at a concentration of 1% or more by weight. 
(B) This section also applies in part, as set forth in subsection (a)(2), to any place of employment utilizing food products or flavorings that contain diacetyl or other artificial butter flavoring at any concentration, and an employee has been diagnosed as having a work-related fixed obstructive lung disease.
(2) Application.
(A) All employers meeting conditions identified in subsection (a)(1)(A) shall comply with all requirements of this Section.
(B) Each employer meeting the conditions identified in subsection (a)(1)(B) shall do all of the following in regard to the diagnosed employee:
1. Subject the employee to medical surveillance pursuant to subsection (g) of this standard, 
2. Obtain a written opinion from the PLHCP pursuant to subsection (h), 
3. Comply with the provisions of subsection (i), and 
4. Report the diagnosis to the Division pursuant to subsection (k)(2). 
(3) Pursuant to Section 332.3, the Division may require an employer identified in subsection (a)(1)(B) to take additional actions to protect employees against exposure to diacetyl or other artificial butter flavor. 
(4) The employer shall provide all safeguards required by this section, including provision of personal protective equipment, respirators, training, and medical surveillance and management in accordance with subsections (g) through (i), at no cost to the employee, at a reasonable time and place for the employee, and during the employee's working hours.

NOTES to Section 5197:

1. This section does not preclude the application of other sections of Title 8 including, but not limited to, Sections 3203, 3204, 5141, 5143, 5144, 5155, and 5194.

2. None of the requirements in Section 5197, in particular those described in subsections (g), (h), or (i), supplant or otherwise contradict the rights, privileges, and obligations set forth in Division 4 of the Labor Code (commencing with section 3200), regarding workers' compensation. The requirements in subsections (g), (h), and (i), for medical surveillance, physician opinions regarding an employee's physical condition and work limitations, and medical removal, are supplemental, additional, or complementary to any medical evaluation or indemnity payment procedure required or specified in Division 4 of the Labor Code. The fact that a medical opinion is provided or an employer action is taken pursuant to Section 5197 shall have no bearing on whether the opinion or action is determinative of rights or benefits provided under Division 4 of the Labor Code.
(b) Definitions.
(1) “American Thoracic Society Guidelines” means “ATS/ERS Task Force: Standardisation of Lung Function Testing,” a five part series published jointly in 2005 by the American Thoracic Society [ATS] and the European Respiratory Society in five consecutive issues of the European Respiratory Journal.
(2) “Authorized person” means any person specifically authorized by the employer and required by work duties to be present in regulated areas, or any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring and measuring procedures, or the Chief.
(3) “CDPH Guidelines” means “Medical Surveillance for Flavorings-Related Lung Disease Among Flavor Manufacturing Workers in California,” published in August 2007 by the California Department of Public Health (CDPH). 
(4) “Certified industrial hygienist (CIH)” means an industrial hygienist who is certified by the American Board of Industrial Hygiene. 
(5) “Chief” means the Chief of the Division of Occupational Safety and Health, or designee.
(6) “Diacetyl” means the substance that is also known as 2,3-Butanedione and has CAS (Chemical Abstract Service) #431-03-8. “Diacetyl” also means a proprietary formulation containing diacetyl, e.g., diacetyl starter distillate [Chemical Abstract Service (CAS) #977019-27-4] unless the manufacturer indicates through the accompanying material safety data sheet (MSDS) or through other written means that the material contains less than one percent diacetyl by weight.
(7) “Diacetyl-containing” means containing diacetyl at a concentration of 1% or more by weight. 
(8) “Enclosed process” means a process that is completely enclosed and from which all emissions are conveyed to a suitable point of safe disposal as verified by an exposure assessment conducted in accordance with subsection (c) and certified in accordance with subsection (e)(6). A process is not enclosed if there are any visible emissions. 
(9) “Equivalent method” means a sampling and analytical method for diacetyl that has been fully validated by the United States Department of Labor's Occupational Safety and Health Administration (OSHA) or NIOSH as being at least as accurate, specific and sensitive as the OSHA Method and has an RQL less than or equal to the OSHA RQL or a sampling and analytical method for diacetyl that has been determined to be acceptable by the Chief.
(10) “Fixed obstructive lung disease” means a medical condition diagnosed by a PLHCP in an individual for whom spirometry has shown fixed airways obstruction. Airways obstruction is defined by a ratio of forced expiratory volume in one second (FEV1) to forced vital capacity (FVC) and an FEV1 value which are both below the lower limit of normal (LLN) as determined by the 95% confidence limits of the values published in “Spirometric Reference Values.” Airways obstruction is considered fixed when, after the passage of 10 to 20 minutes following administration of 4 puffs of albuterol using a spacer or volume chamber, FEV1 does not increase by at least 12% and 200 milliliters. 
(11) “Flavoring” means any substance which is intended primarily to impart flavor to food products. 
(12) “Flavor Worker Initial Questionnaire” means the full-length questionnaire contained in Appendix B1 of this section. 
(13) “Flavor Worker Follow-Up Questionnaire” means the shorter questionnaire contained in Appendix B2 of this section. 
(14) “Food product” means any substance, other than a substance used primarily for the purpose of imparting flavor, intended to be consumed by humans or animals. 
(15) “Limit of detection (LOD)” means the lowest air concentration level of a substance that can, with 99% confidence, be determined to be statistically different from a sample blank. 
(16) “Medical guidelines” means the following documents which are hereby incorporated by reference:
(A) CDPH Guidelines
(B) American Thoracic Society Guidelines
(C) Spirometric Reference Values
(17) NIOSH means the National Institute for Occupational Safety and Health, United States Centers for Disease Control and Prevention.
(18) “Open process” means any process that does not meet the definition of “enclosed process.”
(19) “OSHA method” means OSHA Sampling and Analytical Method #1013 for diacetyl and acetoin, published September, 2008, which is hereby incorporated by reference.
(20) “OSHA reliable quantitation limit or (OSHA RQL)” means the airborne concentration published as the reliable quantitation limit of the OSHA Method. This is 0.012 ppm (0.041 mg/m3) as a 180-minute Time-Weighted Average (TWA) or 0.035 ppm (0.12 mg/m3) as a 15-minute short term average.
(21) “Other artificial butter flavoring” means any flavoring containing diacetyl trimer [CAS #18114-49-3], acetoin [CAS #513-86-0], 2,3 pentanedione [CAS #600-14-6 ], 2,3 hexanedione [CAS #3848-24-6], or 2,3 heptanedione [CAS #96-04-8].
(22) “PLHCP” means physician or other licensed health care professional who is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide some or all of the health care services required by this section.
(23) “Process” means an activity or combination of activities that at any stage cools, heats, sprays, mixes, blends, transfers, or otherwise utilizes diacetyl or diacetyl-containing flavorings or food products in the preparation or manufacture of flavorings or food products. For purposes of this standard any interconnected group of vessels that utilizes diacetyl or diacetyl-containing flavorings or food products at any stage shall be considered a single process. Cleaning or sanitizing is considered a distinct process, and spill cleanup is also considered a distinct process.
(24) “Program reviewer” means a certified industrial hygienist or licensed professional engineer who is knowledgeable in both industrial ventilation design and the control of hazardous exposures, and who is responsible for certifying the effectiveness of the employer's diacetyl control program in accordance with subsection (e)(6). 
(25) “Regulated area” means an area demarcated by the employer in which employees are potentially exposed to levels of diacetyl above the OSHA RQL or an area in which one or more open processes are located.
(26) “Reliable quantitation limit (RQL)” means the smallest concentration of analyte which can be quantitated precisely, providing that the recovery is 100 + 25% of the theoretical value. 
(27) “Signs or symptoms of diacetyl related disease” means persistent irritation of the eyes, nose, throat, or upper or lower respiratory tract, or persistent chest tightness, shortness of breath, cough or wheezing.
(28) “Spirometric Reference Values” means the values set forth in the article titled “Spirometric Reference Values from a Sample of the General U.S. Population” by Hankinson, JL, Odencrantz, JR, and Fedan, KB published in 1999 in the American Journal of Respiratory and Critical Care Medicine, Volume 159, pages 179-187.
(29) “Supervising physician” means the occupational or pulmonary medicine physician described in subsection (g)(1)(A) who is: a) knowledgeable about spirometry, obstructive pulmonary disease, surveillance for occupational disease, the diagnosis and management of occupational disease, and the requirements of this standard; and b) responsible for ensuring compliance with all the medical program requirements described in subsection (g), (h), and (i) of this standard, as well as all applicable medical guidelines.
(30) “Temporary regulated area” means, a) an area that contains an enclosed process but in which exposure to airborne diacetyl or diacetyl-containing flavorings or food products may occur because part or all of the process is temporarily opened, or b) an area in which exposures to levels of diacetyl above the OSHA RQL may reasonably be expected to occur due to a spill, leak, or process upset.
(c) Exposure assessment. 
(1) General. 
(A) A determination of the concentration of airborne diacetyl to which each employee is exposed as an 8-hour time weighted average (TWA) and as a short term exposure, as described in subsections (c)(1)(B) and (c)(1)(C), shall be made from air samples that are representative of the employee's exposure without regard to the employee's use of respiratory protective equipment. The employer shall follow the instructions in Appendix A and shall utilize the OSHA Method or an equivalent method. Any individual sample in which the backup tube contains more than 20% of the amount of diacetyl on the front tube shall be evaluated for the possibility of sample overloading. Cleaning and sanitizing shall be monitored separately from production processes. The employer shall ensure that personal samples include samples that are taken during operations and periods of operations when there is reason to believe exposures are high, such as when tanks or containers are opened, filled, unloaded or cleaned; when process equipment is opened; and when diacetyl or diacetyl-containing flavorings or food products are heated or sprayed.
(B) To determine an 8-hour TWA, the employer shall collect full shift (for at least 7 hours during that shift) personal samples for at least one employee per shift for each job classification and for each process in each work area. If the total duration in which processes involving diacetyl or diacetyl-containing flavorings or food products is less than seven hours, then a representative assessment is the full duration of the employee's exposure on that day.
(C) The employer shall collect personal short term exposure samples to represent the highest likely 15-minute exposure(s) to airborne diacetyl for each process. One or more short term exposure sample shall be collected for at least one employee per shift for each job classification and for each process in each work area. 
(2) Initial Monitoring. 
(A) Within 60 days following the effective date of this standard, each employer who has a place of employment or work operation covered by this standard shall monitor each process to accurately determine the 8-hour TWA and the short term exposure levels of airborne diacetyl to which employees may be exposed, in accordance with subsection (c)(1). 

Exception to subsection (c)(2)(A): Employers need not conduct initial monitoring of a process for which monitoring was performed within six months prior to the effective date of this standard provided that the monitoring was conducted in accordance with subsection (c)(1). 
(B) Monitoring To Verify That A Process Is Enclosed. When the program reviewer determines that a process is enclosed (based on its design and construction), the employer shall: 
1. Conduct an inspection to determine if there are any visible emissions
2. Monitor that process using a combination of area and personal sampling to verify that no levels of diacetyl above the OSHA RQL are present in the immediate or other work areas. 
3. All monitoring shall be in accordance with Appendix A and the OSHA Method or equivalent method. 
4. If the program reviewer determines that the design and construction of the process is enclosed, there are no visible emissions, and that monitoring has not found levels of diacetyl above the OSHA RQL, then the employer may consider that process to be enclosed for the purposes of this standard.
(C) Monitoring For Regulated Areas. When a regulated area is established due to the presence of an open process, the employer shall conduct, in accordance with Appendix A and the OSHA Method or equivalent method, a combination of area and personal sampling to determine whether there are levels of diacetyl above the OSHA RQL in the regulated area and in areas adjacent to regulated areas. 
(3) Periodic Monitoring. Exposure monitoring required by subsection (c)(2) shall be repeated at least annually. 
(4) Additional Monitoring. Additional representative monitoring which complies with subsections (c)(1) and (c)(2) shall be conducted within 30 days to evaluate the exposure of all potentially affected employees whenever:
(A) A new process is initiated;
(B) There is any change in process, or production, or in a control measure that may result in new or increased exposures to airborne diacetyl. 
(5) Employee Notification. 
(A) Within five working days of the employer's receipt of monitoring results, and no later than 30 days after the monitoring was conducted, the employer shall notify each employee in writing of the results which represent that employee's exposure. 
(B) Whenever the monitoring results representative of an employee's exposure indicate that the employee's exposure was in excess of the OSHA RQL, the written notice shall include a statement that the OSHA RQL was exceeded and shall also include a description of any corrective actions taken to reduce the employee's exposure to or below the OSHA RQL if such measures are different from those already in place. 
(d) Regulated areas. 
(1) Establishment. 
(A) The employer shall establish a regulated area for each process using diacetyl or diacetyl-containing flavorings or food products unless the process is enclosed.
(B) A temporary regulated area complying with the requirements of this subsection shall be established during any period in which:
1. An enclosed process is opened, or 
2. There is a spill, leak, or process upset that could reasonably be expected to result in airborne concentrations of diacetyl above the OSHA RQL or could reasonably be expected to result in exposures to diacetyl-containing powders. The temporary regulated area shall be maintained until the spill, leak, or process upset has been repaired and all spilled or leaked diacetyl-containing materials have been cleaned up and removed.
(2) The regulated area shall be clearly demarcated from the rest of the workplace by signs or other effective means. 
(3) Access. Access to regulated areas shall be limited to authorized persons. Regulated areas shall be designed or configured so as to minimize the number of employees required to enter or pass through the area.
(4) Supervision. The regulated area shall be supervised by a person designated by the employer, who is knowledgeable about the employer's procedures for controlling exposures to diacetyl, and who has the authority necessary to take prompt measures to correct diacetyl related hazards. The supervisor shall ensure that:
(A) The name and employee identifier of each person who enters the regulated area is recorded on a daily log. These logs shall be maintained as employee exposure records in accordance with Section 3204. 
(B) Each person who enters the regulated area has been trained in accordance with this section.
(C) Each person who enters the regulated area utilizes the personal protective equipment and respirators that are required for that area.
(D) The employer's control measures to minimize employee exposure to airborne diacetyl are followed.
(e) Engineering Controls and Work Practices. 
(1) The employer shall implement engineering controls and work practices to reduce employee exposure to airborne diacetyl to the lowest levels feasible. 
(2) The employer shall utilize measures to minimize vapor, mist and dust exposure to diacetyl including:
(A) Capturing vapors, mists, powders, and dusts by utilizing local exhaust ventilation or by enclosing the process; and,
(B) Minimizing where practicable the application of heat to processes where heat can contribute to exposure to airborne diacetyl; and,
(C) Use of other control methods such as isolation of the processing area from the rest of the workplace using walls, doors or other barriers, or use of cold storage of bulk materials, as applicable.
(3) The employer shall prohibit the following practices:
(A) The use of compressed air to remove pastes, powders or liquids that contain diacetyl from surfaces, clothing or equipment.
(B) The opening of pressurized vessels containing diacetyl until the vessels have been depressurized.
(C) Dry sweeping of materials that contain diacetyl.
(4) The employer shall implement procedures to protect employees in the event of an uncontrolled release of diacetyl or diacetyl-containing flavorings or food products.
(5) The employer shall establish and implement a written diacetyl control program describing how the engineering controls and work practices limit exposures to airborne diacetyl to the lowest feasible level. This written program shall include at least the following:
(A) A description of each process in which diacetyl or diacetyl-containing flavorings or food products are used, including equipment, material processed, control measures, crew size, operating procedures and maintenance practices; 
(B) Any engineering plans or studies used to determine methods selected for controlling exposure to airborne diacetyl; 
(C) An evaluation of the technology alternatives considered in achieving the lowest feasible exposures; 
(D) All diacetyl measurements and monitoring data, including information about or measurements of the concentration of diacetyl in the bulk material; 
(E) A detailed schedule for implementation of any engineering controls, work practices and any other control measures that cannot be implemented immediately. The reasons for any delays in implementation of the schedule or for any changes to the schedule shall be documented in writing.
(6) Program evaluation. A program evaluation shall be performed by the employer and then validated by a program reviewer. The program reviewer shall certify in writing that, in their professional judgment, each of the following is true:
(A) The employer's diacetyl control program is adequate to reduce employee exposure under worst-case conditions of use to below the OSHA RQL or, if that is not achievable, to as low a level as feasible. This determination shall be without regard to employee use of respiratory protective equipment.
(B) The program's control methods will prevent airborne diacetyl contamination outside the regulated areas, as measured by monitoring meeting the requirements of subsection (c) of this section. 
(C) Processes considered enclosed for the purposes of this standard are in fact enclosed by design and construction, there are no visible emissions, and monitoring meeting the requirements of subsection (c) has detected that there are no emissions of diacetyl from the process into any areas of the workplace that result in airborne concentrations above the OSHA RQL. 
(D) When respirator use is not to be required in a regulated area, the design and construction of control measures are sufficient to prevent employee exposures to levels of airborne diacetyl above the OSHA RQL, as verified by exposure monitoring conducted in accordance with subsection (c) and that there are no diacetyl-containing powders in the area.
(E) All required respirator use is fully compliant with subsections (f)(2) and (f)(3).
(f) Respiratory Protection. 
(1) The employer shall provide, and ensure that employees use, respirators in accordance with Section 5144 whenever:
(A) An employee enters or works in a regulated area or a temporary regulated area. 

EXCEPTION to subsection (f)(1)(A). Respirator use is not required in regulated areas in which:

1. There are no diacetyl-containing powders; and, 

2. There has been an assessment conducted pursuant to subsection (c) that found no levels of airborne diacetyl above the OSHA RQL in the area; and

3. The program reviewer has certified, in accordance with subsection (e)(6), that the design and construction of the process and control measures are sufficient to prevent employee exposures to levels of airborne diacetyl above the OSHA RQL.
(B) Employees are exposed to airborne diacetyl or diacetyl-containing materials in operations for which monitoring has not been conducted or for which levels of airborne diacetyl above the OSHA RQL have been found, or are engaged in spill clean-up of diacetyl or diacetyl-containing materials. 
(C) The employee is working in or adjacent to a regulated area or an area in which there is an enclosed process and has requested to use a respirator. This use shall be considered as required use for purposes of complying with Section 5144.
(2) Where a respirator is required by this section, the employer shall establish, implement and maintain a respiratory protection program in accordance with Section 5144 and the table in subsection (f)(3) below. Additional protection may be required where other contaminants are present, in accordance with Section 5144. 
(3) Where the exposure assessment determines that exposures to diacetyl may exceed the OSHA RQL, either as a short term exposure or as an 8-hour TWA, or where diacetyl-containing powders are used, the employer shall provide respirators in accordance with the following table: 

RESPIRATORY PROTECTION SELECTION TABLE

Maximum Diacetyl 
Concentration 	Type of Respirator1,3
		
Less than or equal to 0.2 ppm, 	Half mask respirator4 
no exposure to diacetyl-
containing powders 
		
Less than or equal to 0.5 ppm 	Any powered air purifying respirator (PAPR)4
 	or supplied air respirator (SAR), or full 
	facepiece air purifying (APR)4 
		
Less than or equal to 1.0 ppm, 	Full facepiece APR or any tight-fitting PAPR4
diacetyl  	or SAR
		
Less than or equal to 20 ppm 	Tight fitting full facepiece PAPR4 or SAR in
 	continuous flow or pressure demand mode, or
 	PAPR4 or SAR with helmet or hood in 
	continuous flow mode2 which have been found
 	to provide a protection factor of 1000
		
Above 20 ppm 	Self-contained breathing apparatus (SCBA) in
 	pressure demand mode

Notes to Respiratory Protection Selection Table: 

1. Employers may select respirators assigned for use in higher workplace concentrations for use at a lower concentration.

2. The employer must have evidence provided by the respirator manufacturer that testing of helmet/hood respirators demonstrates performance at a level of protection of 1000 or greater to permit use against concentrations of diacetyl greater than 0.5 ppm. Absent such testing, all other PAPRs and SARs with helmets/hoods may only be used for concentrations that do not exceed 0.5 ppm.

3. The respiratory protection program administrator or diacetyl program reviewer must decide the appropriate respirator from the table to provide employees protection from diacetyl-containing powders, taking into account powder concentrations and concentrations of any co-contaminants. The minimum level of respiratory protection for diacetyl-containing powders shall be any powered air-purifying respirator or supplied air respirator or full facepiece air purifying respirator. 

4. The minimum acceptable air purifying respirator is one that provides both high efficiency particulate air filtration and also provides protection against organic vapors (as applicable, HEPA/OV cartridge, P100/OV cartridge).
(g) Medical Surveillance. 
(1) General.
(A) The employer shall establish, implement and maintain a medical surveillance program for all employees identified in subsection (g)(2). The program shall be under the supervision of an occupational or pulmonary medicine physician who is knowledgeable about spirometry, obstructive pulmonary disease, surveillance for occupational disease, the diagnosis and management of occupational disease, and the requirements of this standard. The supervising physician shall be responsible for ensuring all components of the program meet the requirements of this standard and comply with the medical guidelines. 
(B) All components of the program shall be administered confidentially by a PLHCP and provided during the employee's normal working hours or at a time and place convenient to the employee and shall be administered in a manner that ensures that the employee understands its content. All required components of the PLHCP evaluation shall be made available in a language the employee can read, or the subject matter shall be covered in an interview with the PLHCP. If the PLHCP is not fluent in the employee's language, the employer shall request that the PLHCP provide an interpreter. For the purposes of this standard “interpreter” means a person fluent in English and in the necessary second language, who can accurately speak, read, and readily interpret the necessary second language, or a person who can accurately sign and read the employee's sign language. Interpreters shall have the ability to translate the names of body parts and to describe competently symptoms and injuries in both languages. Interpreters may include, but are not limited to, members of the PLHCP's medical or professional staff. 
(C) The employer shall provide the employee with an opportunity to discuss all components of the medical surveillance program and evaluation results with the PLHCP. 
(D) The program shall include an initial medical evaluation, follow-up and termination or reassignment medical evaluations, and reports from the PLHCP. All medical evaluations, including all tests, shall be provided and assessed in accordance with the medical guidelines.
(2) The medical surveillance program shall include every employee who:
(A) Reports signs or symptoms of diacetyl related disease, or
(B) Has been in an area in which an uncontrolled release of diacetyl or diacetyl-containing materials has occurred, or 
(C) Enters, for any portion of a day on 14 or more different days (as a cumulative total) within any 12 month period, any of the following areas:
1. A regulated area (including a temporary regulated area). 
2. An area containing an open process. 
3. An area containing levels of diacetyl above the OSHA RQL. 
(3) Initial medical evaluation. Each employee identified under subsection (g)(2)(C) shall be provided with an initial medical evaluation that focuses on detecting and preventing respiratory disease. Prior to the provision of the initial medical evaluation, employees shall be trained pursuant to subsection (j). When feasible, the initial medical evaluation shall be provided prior to the employee's assignment to an area in which medical surveillance is required. In no case shall the initial medical evaluation occur later than 14 calendar days after the employee has met the criteria in subsection (g)(2)(C). Any employee not previously provided an initial medical evaluation who develops signs or symptoms of diacetyl related disease or who has been in an area in which an uncontrolled release of diacetyl or diacetyl-containing materials has occurred, shall be provided with an initial medical evaluation as soon as practicable, and in no case later than 10 working days following report of the signs or symptoms or after the exposure to the uncontrolled release. 
The initial evaluation shall include:
(A) Employee completion and PLHCP evaluation of a detailed occupational history that includes past and current work exposure to flavorings and other substances known or suspected to be respiratory hazards.
(B) Employee completion and PLHCP evaluation of a respiratory health questionnaire that is at least as comprehensive as the Flavor Worker Initial Questionnaire in Appendix B1. 
(C) Spirometry conducted and evaluated in accordance with the American Thoracic Society Guidelines or equivalent and administered by technicians who:
1. have successfully completed a NIOSH-certified initial course in spirometry, 
2. maintain a valid NIOSH-approved spirometry course training certificate, and 
3. have demonstrated to the supervising physician knowledge of proper techniques for coaching test subjects.
(D) Appropriate additional tests as necessary, in the opinion of the evaluating PLHCP.
(4) Follow-up evaluations.
(A) No less frequently than every six months and whenever recommended by the PLHCP, the employer shall provide a follow-up medical evaluation that includes each of the elements listed below:
1. Spirometry meeting the requirements of subsection (g)(3)(C); 
2. Employee completion and PLHCP evaluation of a questionnaire at least as comprehensive as the Flavor Worker Follow-Up Questionnaire in Appendix B2; 
3. Appropriate additional tests as necessary in the opinion of the evaluating PLHCP. 
(B) Whenever an employee reports to the employer signs or symptoms of diacetyl related disease, or has been in an area in which an uncontrolled release of diacetyl or diacetyl-containing materials has occurred, the employer shall provide the employee with a follow-up medical evaluation meeting the requirements of subsection (g)(4)(A) as soon as practicable, and in no case later than 10 working days following report of the signs and symptoms or 10 working days after the exposure to the uncontrolled release. 
(C) An employee who is in the medical surveillance program as a result of a spill, leak, or process upset shall have a follow-up evaluation within six months, meeting the requirements of subsection (g)(4)(A) and shall receive further follow-up evaluations as recommended by the PLHCP. The employee shall remain in the medical surveillance program for not less than 12 months.
(5) Termination of Employment or Reassignment. Whenever an employee who has been a participant in this medical surveillance program terminates employment with the employer or is reassigned to a job that does not require medical surveillance in accordance with subsection (g)(2), the employer shall provide a follow-up medical evaluation meeting the requirements of subsection (g)(4)(A), unless the employee has had a follow-up evaluation within the previous 30 calendar days. Reassigned employees shall be provided with follow-up medical evaluations as required by subsection (g)(4) for a minimum of 12 months following reassignment.
(6) Information Provided to the PLHCP. The employer shall provide the following information to the evaluating PLHCP:
(A) A copy of this standard and its appendices.
(B) A copy of the medical guidelines.
(C) A description of the employee's duties as they relate to the employee's exposure to diacetyl, diacetyl-containing flavorings or food products, and other flavorings. 
(D) The employee's actual or representative breathing zone exposure levels.
(E) A description of any personal protective equipment used or to be used.
(F) For employees who will use respirators, the information required by Section 5144(e)(5) of these Orders.
(G) The written opinion from any previous medical evaluations.
(H) A listing of any spills, leaks or process upsets to which the employee had been exposed. The employer shall additionally provide a description of such events including any measurements or indications of exposure resulting from the event.
(7) Change of Supervising Physician. If the employer changes supervising physician, the employer shall take all reasonable steps to ensure that all records of medical surveillance, including spirometry results, are transferred to the new supervising physician.
(h) PLHCP Written Opinion.
(1) For each initial, follow-up, termination of employment or reassignment evaluation required under this standard, the employer shall obtain a written opinion from the PLHCP within 15 days of the evaluation. This written opinion shall include only the following information: 
(A) A list of any limitations on respirator use related to the medical condition of the employee, or relating to the workplace conditions in which the respirator will be used, including whether or not the employee is medically able to use the respirator.
(B) A list of any recommended limitations on the employee's exposures to diacetyl or other flavoring substances or ingredients, on the employee's use of personal protective equipment, or on the employee's performance of specific tasks.
(C) A conclusion concerning whether medical conditions may have resulted from exposure to diacetyl or other potentially hazardous flavoring constituents or from exposure in an emergency, and whether there is a need for further evaluation. 
(D) The PLHCP's recommendation, in accordance with subsection (i), regarding whether the employee should be removed from particular job assignments and/or any necessary modification of jobs to which the employee is assigned. 
(E) A statement that the employee has been informed of any medical conditions which would be aggravated by exposure to diacetyl or other flavoring constituents.
(2) The employer shall provide a copy of the PLHCP's written opinion to the employee within 5 calendar days of its receipt. This opinion shall also include a notice of the right of the employee to seek a second medical opinion in accordance with the provisions of subsection (i)(4), including the requirement for the employee to inform the employer in writing if the employee is requesting that the employer pay for a second medical opinion. 
(i) Medical Removal.
(1) When the PLHCP recommends an employee's removal from a job assignment or recommends modification of an employee's job to reduce exposure, the employer shall:
(A) Modify the employee's job or transfer the employee to comparable work for which the employee is qualified or can be trained in a short period (up to six months). The employer shall maintain the employee's current earnings, seniority, and other benefits. If there is no work available that would not involve the employee being exposed to diacetyl or other potentially hazardous flavoring constituents, the employer shall maintain the employee's current earnings, seniority and other benefits until any of the following occurs:
1. Such work becomes available. 
2. The employee is determined by the PLHCP, or is determined in accordance with subsection (i)(4), to be able to return to his or her original job status. 
3. The employee is determined by the PLHCP, or is determined in accordance with subsection (i)(4), to be permanently unable to return to work involving exposure to diacetyl or other potentially hazardous flavoring constituents. 
4. Six months have elapsed since the beginning of the current medical removal period. 
(B) Provide competent medical counseling on the increased risk of significant health impairment for employees with medical conditions that may be directly or indirectly aggravated by exposure to diacetyl or other potentially hazardous flavoring constituents.
(2) Workers' Compensation Claims. If a removed employee files a claim for workers' compensation for a diacetyl-related disability, then for up to a maximum of six months pending final disposition of the claim, the employer shall continue to provide medical removal protection benefits. To the extent that an award is made to the employee for earnings lost during the period of removal, the employer's medical removal payment obligation shall be reduced by such amount. The employer shall receive no credit for workers' compensation payments received by the employee or a health care provider for treatment related expenses. 
(3) Other Credits. The employer's obligation to provide medical removal protection payments to a removed employee may be reduced by the amount that the employee receives in compensation for: 
(A) Earnings lost during the period of removal from a publicly or employer-funded compensation program, or 
(B) Income received from employment with another employer made possible by virtue of the employee's removal. 
(4) Multiple Physician Review.
(A) After any medical evaluation or consultation conducted pursuant to subsection (g), the employee may designate an independent physician to review any findings, determinations or recommendations and to conduct such examinations, consultations, and laboratory tests as this second physician deems necessary and appropriate to facilitate this review. 
(B) The employer may condition its payment for the employee designated physician in the multiple physician review mechanism upon the employee doing the following within fifteen (15) days after receipt of the notification of the right to seek a second medical opinion, or receipt of the initial PLHCP's written opinion, whichever is later: 
1. The employee informs the employer in writing of the intention to seek a second medical opinion, and 
2. The employee initiates steps to make an appointment with a second physician. 
(C) If the findings, determinations or recommendations of the second physician differ from those of the initial PLHCP, then the employer and the employee shall assure that efforts are made for the initial PLHCP and the second physician to resolve the disagreement. If they are unable to quickly resolve their disagreement, then the employer and the employee through their respective physicians shall designate a third physician who shall be a specialist in the field at issue: 
1. To review the findings, determinations or recommendations of the initial PLHCP and the second physician; and 
2. To conduct such examinations, consultations, laboratory tests and discussions with the prior PLHCP and physician as the third physician deems necessary to resolve the disagreement. 
(D) In the alternative, the employer and the employee or authorized employee representative may jointly designate such third physician. 
(E) The employer shall act consistent with the findings, determinations and recommendations of the third physician, unless the employer and the employee reach an agreement which is otherwise consistent with the recommendations of at least one of the three physicians. 
(j) Information, Training and Labeling. 
All information, training material and labeling shall be appropriate in content and vocabulary to the educational level, literacy, and language of employees.
(1) Information and Training. The employer shall ensure that all employees in workplaces covered by this standard participate in a training program which must be provided during working hours. 
(A) Awareness Training. All employees in workplaces covered by this standard must receive awareness training, including employees (such as office workers) not likely to be directly exposed to flavorings. Awareness training shall include information on the health effects of exposure to diacetyl and diacetyl-containing flavorings or food products, the location and description of processes in which diacetyl or diacetyl-containing flavorings or food products or other artificial butter flavorings are used, the location of any regulated areas and the fact that employees are prohibited from entering those areas unless they are protected as required.
(B) Additional Training. 
Training for employees at the time of initial assignment to areas in which exposure to diacetyl or diacetyl-containing flavorings or food products or other artificial butter flavoring are present shall be provided pursuant to subsections 1 and 2 below:
1. Frequency of training shall be as follows: 
a. At the time of initial assignment to tasks where exposure to diacetyl or diacetyl-containing flavorings or food products or other artificial butter flavoring may take place. Training for employees must take place prior to their entry into regulated areas.
b. Annual training shall be provided within one year of the employee's previous training. 
c. Employers shall provide additional training when changes, such as introduction of new engineering, administrative or work practice controls, modification of tasks or procedures or institution of new tasks or procedures may affect the employee's exposure. The additional training may be limited to addressing the new exposures created and the use of new or modified equipment and control measures. 
2. The training program shall contain at a minimum the following elements:
a. An explanation of the operations that result in or are reasonably likely to result in exposure to airborne diacetyl, and diacetyl-containing flavorings or food products or other artificial butter flavoring;
b. The results of exposure monitoring or other exposure assessments and the right of employees to obtain copies of this information in accordance with this Section and Section 3204 of these Orders;
c. The limitations of current exposure monitoring methods for detection of diacetyl-containing powders and mists.
d. A description of the employer's medical surveillance program. This description shall include the adverse health effects and signs or symptoms of diacetyl related disease and the need for employees to recognize and report these health effects and signs or symptoms promptly to the employer if they experience any of them. This information shall also describe the mechanism by which employees are to report the occurrence of the signs or symptoms to the employer. This description and information shall also include any Health Hazard Alerts pertaining to the health effects of diacetyl or food flavorings that are produced by the CDPH Occupational Health Branch, including by its Hazard Evaluation System and Information Service (HESIS: http://www.cdph.ca.gov/programs/hesis/Pages/default.aspx). Employees shall be encouraged to report any of these signs or symptoms to their employer.
e. The engineering controls, work practices, labeling, and personal protective equipment associated with the employee's job assignment and how they should be used to reduce exposure to diacetyl and diacetyl containing materials. This shall include the means of demarcating regulated areas, and requirements for entry into those areas.
f. For employees who use respirators or who enter regulated areas, training shall also be provided in accordance with Section 5144 of these Orders. 
(2) Labeling Containers in the Workplace. 
(A) In addition to any labeling required by the Food and Drug Administration, Section 5194 of these Orders and other standards, the employer shall ensure that any container of diacetyl or diacetyl-containing flavoring or food product to be used within the workplace is labeled with the following warning which shall also be translated into any language necessary to be understood by each employee in the workplace:
WARNING: This product contains diacetyl which can be a severe respiratory hazard. Breathing dust, powder, mist or vapor from this product could result in irritation of the eyes and respiratory tract and in permanent lung damage. 
(B) Containers of other artificial butter flavoring to be used in the workplace shall be labeled with the following warning which shall also be translated into any language necessary to be understood by each employee in the workplace: 
WARNING: This product contains an artificial butter flavoring other than diacetyl. The health effects of these materials selected as substitutes for diacetyl are currently being studied for potential respiratory hazards. Avoid eye contact or breathing dust, powder, mist or vapor from this product as irritation of the eyes or respiratory tract may result. 
(C) In lieu of affixing the warning labels required by subsections (j)(2)(A) and (B) to individual stationary process containers, the employer may use color coding, signs, placards, process sheets, batch tickets, operating procedures, or other such written materials as long as the alternative method identifies the containers to which it is applicable and effectively conveys the warning information to employees. 
(k) Recordkeeping and Reporting. 
(1) The employer shall maintain and provide access to all exposure and medical records in accordance with Section 3204. Entry logs for regulated areas shall be maintained as employee exposure records in accordance with Section 3204. Records of training shall be maintained for at least three years. Records of assessments of ventilation systems shall be created and maintained in accordance with Section 5143 of these Orders.
(2) Within 24 hours of becoming aware of any flavor-related diagnosis of fixed obstructive lung disease, the employer shall report the diagnosis to the Chief at the following address:

REPORT OF FIXED OBSTRUCTIVE LUNG DISEASE
C/O RESEARCH AND STANDARDS HEALTH UNIT
DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
POST OFFICE BOX 420603
SAN FRANCISCO, CALIFORNIA 94142
(3) All employers covered by this standard shall report any use of diacetyl in writing to the Chief within 60 calendar days of the effective date of this standard. New users shall report such new use to the Chief within 15 calendar days of the new use.
(A) Reports of Use shall be sent to:

RESEARCH AND STANDARDS HEALTH UNIT
DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
POST OFFICE BOX 420603
SAN FRANCISCO, CALIFORNIA 94142
(B) The Report of Use shall include:
1. The name of the employer and address of each workplace where diacetyl or diacetyl-containing materials are in use; 
2. A description that identifies where the use of diacetyl or diacetyl-containing materials is located in the workplace; 
3. A brief description of each process or operation which creates employee exposure to the diacetyl, as well as the estimated number of employees engaged in each process or operation; and 
4. The names and addresses of any collective bargaining units or other representatives of the affected employees. 
(C) Posting. A copy of the written report of use shall be posted where the diacetyl or diacetyl-containing material is in use or other appropriate location where the posting is conspicuous to affected employees. The report shall be posted until the use no longer takes place at the worksite. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).

Appendix A. Diacetyl Sampling and Analytical  Protocol (Mandatory)
This appendix establishes requirements for sampling protocols and the procedure for taking and analyzing air samples for diacetyl including quality control procedures that must be implemented by the person conducting the sampling and by the laboratories performing the analysis. All employers who are required to conduct air monitoring under subsection (c) of this section are required to utilize analytical laboratories that use this procedure, or an equivalent method, for collecting and analyzing samples. 
(a) Sampling Protocols.
(1) Personal Samples 
(A) 8-hour time-weighted average. Due to the limited sampling time for the OSHA Method, eight-hour time-weighted average (TWA) exposure estimates must be constructed for each employee. Collect sequential samples as recommended by the OSHA Method or an equivalent method for periods no longer than 180 minutes per sample to cover the full work-shift of the employee. For an eight-hour work shift, this will include the collection of a minimum of three dual-tube samples for each employee unless the full duration of the employee's exposure to diacetyl or diacetyl-containing flavorings or food products is less than the full work shift. Cleaning and sanitizing activities must be sampled separately from production processes.
(B) Short-term exposure. Collect short term exposure samples as recommended by the OSHA Method or an equivalent method, to represent the highest likely potential 15 minute exposure(s) for each process. Examples of activities that should be monitored for short term exposures include periods of a process in which tanks or containers are opened, filled, unloaded or cleaned; where process equipment is opened; and where diacetyl or diacetyl-containing flavorings or food products are heated or sprayed. 
(2) Monitoring for verification of enclosed processes or to determine whether respirators need not be required in a regulated area.
(A) Eight-hour TWA and short term exposure personal samples, in accordance with section (a)(1), shall be collected for each shift and each job classification for employees in the area where process vessels or operations are located. 
(B) Area samples shall also be collected by the placement of samplers in the areas the program reviewer determines likely to have the highest levels of airborne diacetyl. A minimum of four locations shall be sampled for each process. The employer shall record the nature of and location of the process being sampled, the location of the sampler, the time and date of the sampling, the measured air concentration from the dual-tube samples, the method RQL for the sample, and evidence of its accuracy, including the ambient temperature and humidity.
(C) If any individual sample collected in the course of testing to verify that a system is enclosed is determined to contain diacetyl above the OSHA RQL, then the process shall not be deemed enclosed. If any individual sample collected in the course of testing to determine if respirator use must be required in a regulated area is determined to contain diacetyl above the OSHA RQL, then respirator use shall be required in the regulated area. 
(3) This sampling protocol cannot be used as the sole basis for respirator selection in a regulated area if diacetyl-containing powders are used in the regulated area.
(b) Sampling Procedure.
(1) Samples shall be collected using a personal sampling pump calibrated prior to and after each day of sampling, with a representative sampling train attached between the pump and the calibration device, to within +5% of the recommended flow rate specified in the OSHA Method or in the equivalent method selected. In the OSHA Method the tubes must be wrapped in aluminum foil (or a special tube cover used) to protect the sampling devices from light, especially sunlight, during sampling, storage and handling.
(2) Review and follow the sampling procedures in the OSHA Method or in the equivalent method selected. The sampling procedure shall also include the following: 
(A) Record sample air volumes (liters), sampling time (minutes) and sampling rate (mL/min) for each sample, along with any potential interference(s) on a sample summary form.
(B) Personal samples shall be taken in the “breathing zone” of the employee (i.e., attached near the collar or lapel near the worker's face). The sampler inlet shall be located outside of the respirator, and outside of any personal protective equipment or clothing, and there shall be no impediment to airflow into the sampler.
(C) Each set of samples taken will include 10% field blanks or a minimum of one field blank, whichever is greater. These blanks must come from the same lot as the tubes used for sample collection. Handle the blank sample in the same manner as the other samples except draw no air through it. A set consists of any sample or group of samples for which an evaluation for this standard must be made. Any samples represented by a field blank having an excess of the limit of detection (LOD) of the method being used shall be rejected, and additional sampling conducted to represent that exposure. 
(c) Analytical Procedures. 
(1) All samples shall be analyzed by a laboratory accredited in accordance with the program of the American Association for Laboratory Accreditation.
(2) The laboratory shall analyze all samples using the OSHA Method or an equivalent method.
(3) Each sampling tube shall be analyzed separately, and the results recorded. For each sampling tube, the employer shall ensure that the record includes the date, time, location and identity of the process being sampled, the name and employee identifier of the employee being sampled, the employee's job classification, the specific job duties of the employee, and the mass collected from the tube. The records for each dual-tube sample shall include the measured air concentration from the dual-tube samples, the method RQL for the sample, field evidence of its accuracy, including ambient temperature and humidity, and any comments from the analytical laboratory pertaining to the accuracy of the sample. The record for short term exposure samples shall also identify the specific activity being sampled.
(4) All laboratories as part of their accreditation shall participate in an appropriate national sample testing scheme such as the Proficiency Analytical Testing Program (PAT) for organics that is sponsored by the American Industrial Hygiene Association (AIHA). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New Appendix A filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).

Appendices B1 and B2: Respiratory Health 
Questionnaires (Mandatory)

Adapted from forms prepared for the CDPH Guidelines by the
Hazard Evaluation System and Information Service (HESIS),
Occupational Health Branch, California Department of Public Health,
with assistance from the Division of Respiratory Disease Studies,
National Institute for Occupational Safety and Health 
NOTE: The following additional respiratory health questionnaires contained in the CDPH Guidelines may be utilized as appropriate:
1. Initial Questionnaire in Spanish
2. Follow-Up Questionnaire in Spanish

Appendix B1 Flavor Worker Initial Questionnaire

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New Appendix B1 filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).

Appendix B2 Flavor Worker Follow-Up Questionaire

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NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New Appendix B2 filed 11-2-2010; operative 12-2-2010 (Register 2010, No. 45).
§5198. Lead.
Note     •     History

(a) Scope and Application.
(1) This section applies to all occupational exposure to lead, except as provided in paragraph (a)(2).
(2) This section does not apply to the construction industry or to agricultural operations.
(b) Definitions. For purposes of this section, the definitions in section 5161 do not apply to the terms used throughout this section.
Action Level. Employee exposure, without regard to the use of respirators, to airborne lead at an 8-hour time-weighted average concentration of 30 micrograms per cubic meter of air (30 ***g/M3).
Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, California 94142.
Director. The Director, National Institute for Occupational Safety and Health (NIOSH), U. S. Department of Health and Human Services, or designee.
Lead. Metallic lead, all inorganic lead compounds, and organic lead soaps. Excluded from this definition are all other organic lead compounds.
(c) Permissible Exposure Limit (PEL).
(1) The employer shall assure that no employee is exposed to lead at an 8-hour time-weighted average concentration greater than 50 micrograms per cubic meter of air (50 ***g/M3).
(2) If an employee is exposed to lead for more than 8 hours in any work day, the permissible exposure limit for that day, as a time-weighted average concentration (TWA), shall be reduced according to the following formula:
Maximum permissible limit (in ***g/M3) = 400 P hours worked in the day.
(3) When respirators are used to supplement engineering and work practice controls to comply with the PEL, employee exposure, for the purpose of determining whether the employer has complied with the PEL, may be considered to be at the level provided by the protection factor of the respirator for those periods the respirator is worn. Those periods may be averaged with exposure levels during periods when respirators are not worn to determine the employee's daily TWA exposure.
(d) Exposure Monitoring.
(1) General.
(A) For the purposes of subsection (d), employee exposure is that exposure which would occur if the employee were not using a respirator.
(B) With the exception of monitoring under subsection (d)(3), the employer shall collect full shift (for at least 7 continuous hours) personal samples including at least one sample for each shift for each job classification in each work area.
(C) Full shift personal samples shall be representative of the monitored employee's regular, daily exposure to lead.
(2) Initial Determination. Each employer who has a workplace or work operation covered by this standard shall determine if any employee may be exposed to lead at or above the action level.
(3) Basis of Initial Determination.
(A) The employer shall monitor employee exposures and shall base initial determinations on the employee exposure monitoring results and any of the following, relevant considerations:
1. Any information, observations, or calculations which would indicate employee exposure to lead;
2. Any previous measurements of airborne lead; and
3. Any employee complaints of symptoms which may be attributable to exposure to lead.
(B) Monitoring for the initial determination may be limited to a representative sample of the exposed employees who the employer reasonably believes are exposed to the greatest concentrations of airborne lead in the workplace.
(C) Measurements of airborne lead made in the preceding 12 months may be used to satisfy the requirement to monitor under subsection (d)(3)(A) if sampling and analytical methods used meet the accuracy and confidence levels of subsection (d)(9).
(4) Positive Initial Determination and Initial Monitoring.
(A) Where a determination conducted under subsections (d)(2) and (d)(3) shows the possibility of any employee exposure at or above the action level, the employer shall conduct monitoring which is representative of the exposure for each employee in the workplace who is exposed to lead.
(B) Measurements of airborne lead made in the preceding 12 months may be used to satisfy this requirement if the sampling and analytical methods used meet the accuracy and confidence levels of subsection (d)(9).
(5) Negative Initial Determination. Where a determination conducted under subsections (d)(2) and (d)(3) is made that no employee is exposed to concentrations of airborne lead at or above the action level, the employer shall make a written record of such determination. The record shall include at least the information specified in subsection (d)(3) and shall also include the date of determination, location within the worksite, and the name and social security number of each employee monitored.
(6) Frequency.
(A) If initial monitoring reveals an employee's exposure to be above the permissible exposure limit, the employer shall repeat monitoring quarterly until at least two consecutive measurements, taken at least 7 days apart, are at or below the permissible exposure limit. Subsequent monitoring for that employee shall conform with the applicable provisions of subsections (d)(6)(B) or (C).
(B) If initial monitoring or monitoring conducted in accordance with subsection (d)(6)(A) reveals an employee's exposure to be at or above the action level but no greater than the permissible exposure lmit, the employer shall repeat monitoring at least every 6 months. The employer shall continue monitoring at the required frequency until at least two consecutive measurements, taken at least 7 days apart, are below the action level at which time the employer may discontinue monitoring for that employee except as otherwise provided by subsection (d)(7).
(C) Whenever initial monitoring or monitoring conducted in accordance with subsection (d)(6)(A) reveals an employee's exposure to be below the action level, further measurements are not required except as otherwise provided by subsection (d)(7).
(7) Additional Monitoring. Whenever there has been a production, process, control or personnel change which may result in new or additional exposure to lead, or whenever the employer has any other reason to suspect a change which may result in new or additional exposures to lead, additional monitoring in accordance with this subsection shall be conducted. 
(8) Employee Notification.
(A) Within 5 working days after the receipt of monitoring results, the employer shall notify each employee in writing of the results which represent that employee's exposure.
(B) Whenever the results indicate that the representative employee exposure, without regard to respirators, exceeds the permissible exposure limit, the employer shall include in the written notice a statement that the permissible exposure limit was exceeded and a description of the corrective action taken or to be taken to reduce exposure to or below the permissible exposure limit.
(9) Accuracy of Measurement. The employer shall use a method of monitoring and analysis which has an accuracy (to a confidence level of 95%) within plus or minus 20 percent at concentrations of airborne lead equal to or greater than 30 ***g/M3.
(e) Compliance.
(1) Methods.
(A) Where any employee is exposed to lead above the permissible exposure limit for more than 30 days per year, the employer shall implement engineering, work practice, and administrative controls to reduce and maintain employee exposure to lead except to the extent that the employer can demonstrate that such controls are not feasible. Where engineering, work practice, and administrative controls which can be instituted are not sufficient to reduce employee exposure to or below the permissible exposure limit, they shall nonetheless be used by the employer to reduce exposures to the lowest feasible level. Small non-ferrous foundries (fewer than 20 employees), however, are only required to achieve 75 mg/M3 by such controls.
(B) Where controls which can be instituted in accordance with subsection (e)(1)(A) are not sufficient to reduce and maintain employee exposure to or below the permissible exposure limit, the employer shall supplement these controls with respiratory protection, in conformance with subsection (f), to control employee exposure within the permissible exposure limit.
(C) Where any employee is exposed to lead above the permissible exposure limit, but for 30 days or less per year, the employer shall implement feasible engineering controls to reduce exposure to 150 ***g/M3, but thereafter may implement any combination of engineering, work practice, administrative and respiratory controls to reduce and maintain exposure to lead to or below the permissible exposure limit.
(2) Compliance Program.
(A) Where applicable, each employer shall establish and implement a written compliance program to reduce exposures to or below the permissible exposure limit and interim levels solely by means of engineering and work practice controls in accordance with the implementation schedule in subsection (e)(1).
(B) Written plans for these compliance programs shall include at least the following:
1. A description of each operation in which lead is emitted; e.g. machinery used, material processed, controls in place, crew size, employee job responsibilities, operating procedures and maintenance practices;
2. A description of the specific means that will be employed to achieve compliance, including engineering plans and studies used to determine methods selected for controlling exposure to lead;
3. A report of the technology considered in meeting the permissible exposure limit;
4. Air monitoring data which documents the source of lead emissions;
5. A detailed schedule for implementation of the program, including documentation such as copies of purchase orders for equipment, construction contracts, etc.;
6. A work practice program which includes items required under subsections (g), (h), and (i);
7. An administrative control schedule required by subsection (e)(5), if applicable; and
8. Other relevant information.
(C) Written programs shall be submitted upon request to the Chief and the Director, and shall be available at the worksite for examination and copying by the Chief, the Director, and any affected employee or authorized employee representatives.
(D) Written programs shall be revised and updated at least every 6 months to reflect the current status of the program.
(3) [Reserved.]
(4) Mechanical Ventilation.
(A) When ventilation is used to control exposure, measurements which demonstrate the effectiveness of the system in controlling exposure, such as capture velocity, duct velocity, or static pressure shall be made at least every 3 months. Measurements of the system's effectiveness in controlling exposure shall be made within 5 days of any change in production, process, or control which might result in a change in employee exposure to lead.
(B) Recirculation of Air. If air from exhaust ventilation is recirculated into the workplace, the employer shall assure that:
1. The exhaust has a high efficiency filter with a reliable back-up filter; and
2. Controls are installed, operating, and maintained which monitor the concentration of lead in the return air and which, in case of failure, automatically prevent the recirculation of exhaust air.
(5) Administrative Controls. If administrative controls are used as a means of reducing employees' TWA exposure to lead, the employer shall establish and implement a job rotation schedule which includes:
(A) Name or identification number of each affected employee;
(B) Duration and exposure levels at each job or work station where such affected employee is located; and
(C) Any other information which may be useful in assessing the reliability of administrative controls to reduce exposure to lead.
(f) Respiratory Protection.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Work operations for which engineering and work practice controls are not sufficient to reduce exposures to or below the permissible exposure limit;
(B) Periods necessary to implement engineering or work practice controls.
(C) Periods when an employee requests a respirator.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(c) (except (d)(1)(C)) through (m).
(B) If an employee exhibits breathing difficulty during fit testing or respirator use, the employer must provide the employee with a medical examination in accordance with subsection (j)(3)(A)3. to determine whether or not the employee can use a respirator while performing the required duty.
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) The employer shall provide a powered, air purifying respirator in lieu of the respirator specified in subsection (f)(3)(A) whenever:
1. An employee chooses to use this type of respirator; and
2. This respirator will provide adequate protection to the employee.
(C) The employer shall provide employees with full facepiece respirators instead of half mask respirators for protection against lead aerosols that cause eye or skin irritation at the use concentrations.
(D) The employer shall provide HEPA filters for powered and non-powered air-purifying respirators.
(g) Protective Work Clothing and Equipment.
(1) Provisions and Use. If an employee is exposed to lead above the PEL, without regard to the use of respirators, or where the possibility of skin or eye irritation exists, the employer shall provide at no cost to the employee and assure that the employee uses appropriate protective work clothing and equipment such as, but not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, hats, and shoes or disposable shoe coverlets; and
(C) Face shields, vented goggles, or other appropriate protective equipment which complies with Article 10.
(2) Cleaning and Replacement.
(A) The employer shall provide the protective clothing required in subsection (g)(1), in a clean and dry condition at least weekly, and daily to employees whose exposure levels without regard to respirator use are over 150 ***g/M3 of lead on an 8-hour time-weighted average basis.
(B) The employer shall provide for the cleaning, laundering, or disposal of protective clothing and equipment required by subsection (g)(1).
(C) The employer shall repair or replace required protective clothing and equipment as needed to maintain their effectiveness.
(D) The employer shall assure that all protective clothing is removed at the completion of a work shift and only in change rooms provided for that purpose as prescribed in subsection (i)(2).
(E) The employer shall assure that contaminated protective clothing which is to be cleaned, laundered, or disposed of, is placed in a closed container in the change room which prevents dispersion of lead outside the container.
(F) The employer shall inform in writing any person who cleans or launders protective clothing or equipment of the potentially harmful effects of exposure to lead.
(G) The employer shall assure that the containers of contaminated protective clothing and equipment required by subsection (g)(2)(E) are labeled as follows:

CAUTION: CLOTHING CONTAMINATED WITH LEAD.
DO NOT REMOVE DUST BY
BLOWING OR SHAKING.
DISPOSE OF LEAD CONTAMINATED
WASH WATER IN ACCORDANCE WITH
APPLICABLE LOCAL, STATE OR
FEDERAL REGULATIONS.
(H) The employer shall prohibit the removal of lead from protective clothing or equipment by blowing, shaking, or any other means which disperses lead into the air.
Note: A downdraft booth, “air shower,” or other appropriate means for the removal of lead dust may be used provided employee exposure to airborne lead dust is prevented during such use.
(h) Housekeeping.
(1) Surfaces. All surfaces shall be maintained as free as practicable of accumulations of lead.
(2) Cleaning Floors.
(A) Floors and other surfaces where lead accumulates may not be cleaned by the use of compressed air.
(B) Shoveling, dry or wet sweeping, and brushing may be used only where vacuuming or other equally effective methods have been tried and found not to be effective.
(3) Vacuuming. Where vacuuming methods are selected, the vacuums shall be used and emptied in a manner which minimizes the re-entry of lead into the workplace. Those vacuum systems which exhaust air into the workplace shall be equipped with air filters at least as effective as high efficiency particulate air filters. High efficiency particulate air filter means 99.97% efficient against 0.3 micrometer size particles.
(i) Hygiene Facilities and Practices.
(1) The employer shall assure that in areas where employees are exposed to lead above the PEL, without regard to the use of respirators, food or beverage is not present or consumed, tobacco products are not present or used, and cosmetics are not applied, except in change rooms, lunchrooms, and showers required under subsections (i)(2)-(i)(4).
(2) Change Rooms.
(A) The employer shall provide clean change rooms for employees who work in areas where their airborne exposure to lead is above the PEL, without regard to the use of respirators.
(B) The employer shall assure that change rooms are equipped with separate storage facilities for protective work clothing and equipment and for street clothes which prevent cross contamination.

Exception: Separate storage facilities are not required where clean protective clothing and equipment are provided on a daily basis.
(3) Showers.
(A) The employer shall assure that employees who work in areas where their exposure to airborne lead is above the PEL, without regard to the use of respirators, shower at the end of the work shift.
(B) The employer shall provide shower facilities in accordance with Section 3366(f).
(C) The employer shall assure that employees who are required to shower pursuant to subsection (i)(3)(A) do not leave the work place wearing any clothing or equipment worn during the work shift.
(4) Lunchrooms.
(A) The employer shall provide readily accessible lunchroom facilities, in accordance with Section 3368, for employees who work in areas where their exposure to airborne lead is above the PEL, without regard to the use of respirators.
(B) Lunchroom facilities shall have a temperature controlled, positive pressure, filtered air supply except that such facilities need not be under positive pressure if workplace operations produce no contamination by airborne lead.
(Title 24, Part 2-1724(c)(1)(D)(2).)
(C) The employer shall assure that employees who work in areas where their exposure to airborne lead is above the PEL, without regard to respirator use, wash their hands and face prior to eating, drinking, smoking or applying cosmetics.
(D) The employer shall assure that employees do not enter lunchroom facilities with protective work clothing or equipment unless surface lead dust has been removed by vacuuming, downdraft booth, or other cleaning method.
(5) Lavatories. The employer shall provide an adequate number of lavatory facilities which comply with Section 3366.
(j) Medical Surveillance.
(1) General.
(A) The employer shall institute a medical surveillance program for all employees who are or may be exposed at or above the action level for more than 30 days per year.
(B) The employer shall assure that all medical examinations and procedures are performed by or under the supervision of a licensed physician.
(C) The employer shall provide the required medical surveillance including multiple physician review under subsection (j)(3)(C) without cost to employees and at a reasonable time and place.
(2) Biological Monitoring.
(A) Blood Lead and Zinc Protoporphrin Sampling and Analysis. The employer shall make available biological monitoring in the form of blood sampling and analysis for lead and zinc protoporphrin (ZPP) levels to each employee covered under subsection (j)(1)(A) on the following schedule:
1. At least every 6 months to each employee covered under subsection (j)(1)(A);
2. At least every two months for each employee whose last blood sampling and analysis indicated a blood lead level at or above 40 ***g/100 g of whole blood. This frequency shall continue until two consecutive blood samples and analysis indicate a blood lead level below 40 ***g/100 g of whole blood; and
3. At least monthly during the removal period of each employee removed from exposure to lead due to an elevated blood lead level.
4. ZPP determinations shall be made available as soon as possible but no later than the first biological monitoring scheduled for an employee.
(B) Follow-Up Blood Sampling Tests. Whenever the results of a blood lead level test indicate that an employee's blood lead level is at or above the numerical criterion for medical removal under subsection (k)(1), the employer shall provide a second (follow-up) blood sampling test within two weeks after the employer receives the results of the first blood sampling test.
(C) Accuracy of Blood Lead Level Sampling and Analysis. Blood lead level sampling and analysis provided pursuant to this section shall have an accuracy (to a confidence level of 95 percent) within plus or minus 15 percent or 6 ***g/100ml, whichever is greater, and shall be conducted by a laboratory licensed by the Center for Disease Control (CDC), U.S. Department of Health and Human Services, or which has received a satisfactory grade in blood lead proficiency testing from CDC in the prior 12 months.
(D) Employee Notification. Within five working days after the receipt of biological monitoring results, the employer shall notify in writing each employee whose blood lead level is at or above 40 ***g/100 g:
1. Of that employee's blood lead level; and
2. That the standard requires temporary medical removal with Medical Removal Protection benefits when an employee's blood lead level is at or above the numerical criterion for medical removal under subsection (k)(1).
(3) Medical Examinations and Consultations.
(A) Frequency. The employer shall make available medical examinations and consultations to each employee covered under Section 5198(j)(1)(A) on the following schedule:
1. At least annually for each employee for whom a blood sampling test conducted at any time during the preceding 12 months indicated a blood lead level at or above 40 ***g/100 g;
2. Prior to assignment for each employee being assigned for the first time to an area in which 8-hour time-weighted concentrations of airborne lead ar at or above the action level;
3. As soon as possible, upon notification by an employee either that the employee has developed signs or symptoms commonly associated with lead intoxication, that the employee desires medical advice concerning the effects of current or past exposure to lead on the employee's ability to procreate a healthy child, or that the employee has demonstrated difficulty in breathing during a respirator fitting test or during use; and
4. As medically appropriate for each employee removed from exposure to lead due to a risk of sustaining material impairment to health, or otherwise limited pursuant to a final medical determination.
(B) Content. Medical examinations made available pursuant to subsections (j)(3)(A)1-2 shall include the following elements:
1. A detailed work history and a medical history, with particular attention to past lead exposure (occupational and non-occupational), personal habits (smoking, hygiene), and past gastrointestinal, hematologic, renal, cardiovascular, reproductive and neurological problems;
2. A thorough physical examination, with particular attention to teeth, gums, hematologic, gastrointestinal, renal, cardiovascular, and neurological systems. Pulmonary status should be evaluated if respiratory protection will be used;
3. A blood pressure measurement;
4. A blood sample and analysis which determines:
a. Blood lead level;
b. Hemoglobin and hematocrit determinations, red cell indices, and examination of peripheral smear morphology;
c. Zinc protoporphrin
d. Blood urea nitrogen; and
e. Serum creatinine.
5. A routine urinalysis with microscopic examination; and
6. Any laboratory or other test which the examining physician deems necessary by sound medical practice.
The content of medical examinations made available pursuant to subsections (j)(3)(A)3-4 shall be determined by an examining physician and, if requested by an employee, shall include pregnancy testing or laboratory evaluation of male fertility.
(C) Multiple Physician Review Mechanism.
1. If the employer selects the initial physician who conducts any medical examination or consultation provided to an employee under this section, the employee may designate a second physician to review any findings, determinations or recommendations of the initial physician and to conduct such examinations, consultations, and laboratory tests as the second physician deems necessary to facilitate this review.
2. The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician conducts a medical examination or consultation pursuant to this section. The employer may condition participation in, and payment for, the multiple physician review mechanism by requiring the employee (within 15 days from the date of the foregoing notice or receipt of the initial physician's written opinion, whichever is later) to inform the employer that the employee intends to seek a second medical opinion and to initiate steps to make an appointment with a second physician.
3. If the findings, determinations or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
4. If the two physicians are unable to resolve their disagreement quickly, the employer and employee through their respective physicians shall designate a third physician to review any findings, determinations, or recommendations of the prior physicians and to conduct such examinations, consultations, laboratory tests, and discussions with the prior physicians which the third physician deems necessary to resolve the disagreement of the prior physicians.
5. The employer shall act consistent with the findings, determinations and recommendations of the third physician, unless the employer and the employee reach an agreement which is otherwise consistent with the recommendations of at least one of the three physicians.
(D) Alternate Physician Determination Mechanisms. The employer and an employee or authorized employee representative may agree upon the use of any expeditious alternate physician determination mechanism in lieu of the multiple physician review mechanism provided by this section so long as the alternate mechanism otherwise satisfies the requirements contained in this section.
(4) Information Provided to Examining and Consulting Physicians:
(A) The employer shall provide the following information to and initial physician conducting a medical examination or consultation under the provisions of this section:
1. A copy of this regulation and its appendices;
2. A description of the affected employee's duties as they relate to the employee's exposure;
3. The employee's exposure level or anticipated exposure level to lead and to any other toxic substance (if applicable);
4. A description of any personal protective equipment used or to be used;
5. Prior blood lead determinations; and
6. All prior written medical opinions concerning the employee in the employer's possession or control.
(B) The employer shall provide the foregoing information to a second or third physician conducting a medical examination or consultation under this section upon request either by the second or third physician, or by the employee.
(5) Written Medical Opinions.
(A) The employer shall obtain and furnish the employee with a copy of a written medical report from each examining or consulting physician which contains the following information:
1. The physician's opinion as to whether the employee has any detected medical condition which would place the employee at increased risk of material impairment of the employee's health from exposure to lead.
2. Any recommended special protective measures to be provided to the employee, or limitations to be placed upon the employee's exposure to lead.
3. Any recommended limitation upon the employee's use of respirators, including a determination of whether the employee can wear a powered air-purifying respirator if the physician determines that the employee cannot wear a negative pressure respirator; and
4. The results of the blood lead determinations.
(B) The employer shall instruct the examining physician to:
1. Not reveal either in the written opinion, or in any other means of communication with the employer, findings, including laboratory results, or diagnoses unrelated to the employee's occupational exposure to lead; and
2. Advise the employee of any medical condition, occupational or non-occupational, which dictates further medical examination or treatment.
(6) Chelation.
(A) The employer shall assure that any person whom he retains, employs, supervises, or controls does not engage in prophylactic chelation of any employee at any time.
(B) If therapeutic or diagnostic chelation is to be performed by any person in subsection (j)(6)(A), the employer shall assure that it be done under the supervision of a licensed physician in a clinical setting with thorough and appropriate medical monitoring and that the employee is notified in writing prior to its occurrence.
(k) Medical Removal Protection.
(1) Temporary Removal Due to Elevated Blood Lead Levels.
The employer shall remove an employee from work having an exposure to lead at or above the action level on each occasion that the average of the last three blood sampling tests conducted pursuant to this section (or the average of all blood sampling tests conducted over the previous six (6) months, whichever is longer) indicates that the employee's blood lead level is at or above 50 ***g/100 g of whole blood; provided, however, that an employee need not be removed if the last blood sampling test indicates a blood lead level below 40 ***g/100 g of whole blood.
(2) Temporary Removal Due to a Final Medical Determination.
(A) The employer shall remove an employee from work having an exposure to lead at or above the action level on each occasion that a final medical determination results in a medical finding, determination, or opinion that the employee has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to lead.
Note:  For the purposes of this section, the phrase “final medical determination” shall mean the outcome of the multiple physician review mechanism or alternate physician determination mechanism used pursuant to the medical surveillance provisions of this section.
(B) Where a final medical determination results in any recommended special protective measures for an employee, or limitations on an employee's exposure to lead, the employer shall implement and act consistent with the recommendation.
(3) Return of the Employee to Former Job Status.
(A) The employer shall return an employee to his or her former job status:
1. For an employee removed due to a blood lead level at or above 50 ***g/100 g when two consecutive blood sampling tests indicate that the employee's blood lead level is below 40 ***g/100 g of whole blood; and
2. For an employee removed due to a final medical determination, when a subsequent final medical determination results in a medical finding, determination, or opinion that the employee no longer has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to lead.
(B) For the purposes of this section, the requirement that an employer return an employee to his or her former job status is not intended to expand upon or restrict any rights an employee has or would have had, absent temporary medical removal, to a specific job classification or position under the terms of a collective bargaining agreement.
(4) Removal of Other Employee Special Protective Measures or Limitations.
The employer shall remove any limitations placed on an employee or end any special protective measures provided to an employee pursuant to a final medical determination when a subsequent final medical determination indicates that the limitations or special protective measures are no longer necessary.
(5) Employer Options Pending a Final Medical Determination. Where the multiple physician review mechanism, or alternate medical determination mechanism used pursuant to the medical surveillance provisions of this section, has not yet resulted in a final medical determination with respect to an employee, the employer shall act as follows:
(A) Removal. The employer may remove the employee from exposure to lead, provide special protective measures to the employee, or place limitations upon the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status.
(B) Return. The employer may return the employee to his or her former job status, end any special protective measures provided to the employee, and remove any limitations placed upon the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status.

Exceptions: 

1. If the initial removal, special protection, or limitation of the employee resulted from a final medical determination which differed from the findings, determinations, or recommendations of the initial physician.

2. If the employee has been on removal status for the preceding eighteen months due to an elevated blood lead level, the employer shall await a final medical determination.
(6) Medical Removal Protection Benefits.
(A) Provision of Medical Removal Protection Benefits. The employer shall provide to an employee up to eighteen (18) months of medical removal protection benefits on each occasion that an employee is removed from exposure to lead or otherwise limited pursuant to this section.
(B) Definition of Medical Removal Protection Benefits. For the purposes of this section, the requirement that an employer provide medical removal protection benefits means that the employer shall maintain the earnings, seniority and other employment rights and benefits of an employee as though the employee had not been removed from normal exposure to lead or otherwise limited.
(C) Follow-Up Medical Surveillance During the Period of Employee Removal or Limitation. During the period of time that an employee is removed from normal exposure to lead or otherwise limited, the employer may condition the provision of medical removal protection benefits upon the employee's participation in follow-up medical surveillance made available pursuant to this section.
(D) Worker's Compensation Claims. If a removed employee files a claim for worker's compensation payments for a lead-related disability, then the employer shall continue to provide medical removal protection benefits pending disposition of the claim. To the extent that an award is made to the employee for earnings lost during the period of removal, the employer's medical removal protection obligation shall be reduced by such amount. The employer shall receive no credit for worker's compensation payments received by the employee for treatment related expenses.
(E) Other Credits. The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program, or receives income from employment with another employer made possible by virtue of the employee's removal.
(F) Employees Whose Blood Lead Levels Do Not Adequately Decline Within 18 Months of Removal. The employer shall take the following measures with respect to any employee removed from exposure to lead due to an elevated blood lead level whose blood lead level has not declined within the past eighteen (18) months of removal so that the employee has been returned to his or her former job status.
1. The employer shall make available to the employee a medical examination pursuant to this section to obtain a final medical determination with respect to the employee.
2. The employer shall assure that the final medical determination obtained indicates whether or not the employee may be returned to his or her former job status, and if not, what steps should be taken to protect the employee's health.
3. Where the final medical determination has not yet been obtained, or once obtained indicates that the employee may not yet be returned to his or her former job status, the employer shall continue to provide medical removal protection benefits to the employee until either the employee is returned to former job status, or a final medical determination is made that the employee is incapable of ever safely returning to his or her former job status.
4. Where the employer acts pursuant to a final medical determination which permits the return of the employee to his or her former job status despite what would otherwise be an unacceptable blood lead level, later questions concerning removing the employee again shall be decided by a final medical determination. The employer need not automatically remove such an employee pursuant to the blood lead level removal criteria provided by this section.
(G) Voluntary Removal or Restriction of an Employee. Where an employer, although not required by this section to do so, removes an employee from exposure to lead or otherwise places limitations on an employee due to the effects of lead exposure on the employee's medical condition, the employer shall provide medical removal protection benefits to the employee equal to that required by subsection (k)(5)(A).
(l) Employee Information and Training.
(1) Training Program.
(A) Each employer who has a workplace in which there is a potential exposure to airborne lead at any level shall inform employees of the content of Appendices A and B of this regulation.
(B) The employer shall institute a training program for and assure the participation of all employees who are subject to exposure to lead at or above the action level or for whom the possibility exists of skin or eye irritation from exposure to lead.
(C) The employer shall provide initial training prior to the time of initial job assignment for those employees subsequently covered by this paragraph.
(D) The training program shall be repeated at least annually for each employee covered by subsection (l)(1)(C).
(E) The employer shall assure that each employee covered by subsection (l)(1)(C) is informed of the following:
1. The content of this standard and its appendices;
2. The specific nature of the operations which could result in exposure to lead above the action level;
3. The purpose, proper selection, fitting, use, and limitations of respirators;
4. The purpose and a description of the medical surveillance program, and the medical removal protection program including information concerning the adverse health effects associated with excessive exposure to lead (with particular attention to the adverse reproduction effects on both males and females);
5. The engineering controls and work practices associated with the employee's job assignment;
6. The contents of any compliance plan in effect; and
7. Instructions to employees that chelating agents should not routinely be used to remove lead from their bodies and should not be used at all except under the direction of a licensed physician.
(2) Access to Information and Training Materials.
(A) The employer shall make a copy of this standard and its appendices readily available to all affected employees including employees exposed below the action level.
(B) The employer shall provide, upon request, all materials relating to the employee information and training program to the Chief.
(m) Signs.
(1) General.
(A) The employer may use signs required by other statutes, regulations or ordinances in addition to, or in combination with, signs required by this section.
(B) The employer shall assure that no statement appears on or near any sign required by this section which contradicts or detracts fro the meaning of the required sign.
(2) Signs.
(A) The employer shall post the following warning signs in each work area where the PEL is exceeded:

WARNING
LEAD WORK AREA
POISON
NO SMOKING OR EATING
(B) The employer shall assure that signs required by this section are illuminated and cleaned as necessary so that the legend is readily visible.
(n) Recordkeeping.
(1) Exposure Monitoring.
(A) The employer shall establish and maintain an accurate record of all monitoring required in subsection (d).
(B) This record shall include:
1. The date(s), number, duration, location and results of each of the samples taken, including a description of the sampling procedure used to determine representative employee exposure where applicable;
2. A description of the sampling and analytical methods used and evidence of their accuracy;
3. The type of respiratory protective devices worn, if any;
4. Name, social security number, and job classification of the employee monitored and of all other employees whose exposure the measurement is intended to represent; and
5. The environmental variables that could affect the measurement of employee exposure.
(C) The employer shall maintain these monitoring records for at least 40 years or for the duration of employment plus 20 years, whichever is longer.
(2) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance as required by subsection (j).
(B) This record shall include:
1. The name, social security number, and description of the duties of the employee;
2. A copy of the physician's written opinions;
3. Results of any monitoring of exposure to airborne lead done for that employee and the representative exposure level supplied to the physician; and
4. Any employee medical complaints related to exposure to lead.
(C) The employer shall keep, or assure that the examining physician keeps, the following medical records:
1. A copy of the medical examination results including medical and work history required under subsection (j).
2. A description of the laboratory procedures and a copy of any standards or guidelines used to interpret the test results or references to that information.
3. A copy of the results of biological monitoring.
(D) The employer shall maintain or assure that the physician maintains those medical records for at least 40 years, or for the duration of employment plus 20 years, whichever is longer.
(3) Medical Removals.
(A) The employer shall establish and maintain an accurate record for each employee removed from current exposure to lead pursuant to subsection (k).
(B) Each record shall include:
1. The name and social security number of the employee;
2. The date on each occasion that the employee was removed from current exposure to lead as well as the corresponding date on which the employee was returned to his or her former job status;
3. A brief explanation of how each removal was or is being accomplished; and
4. A statement with respect to each removal indicating whether or not the reason for the removal was an elevated blood lead level.
(C) The employer shall maintain each medical removal record for at least the duration of an employee's employment.
(4) Availability.
(A) The employer shall make available upon request all records required to be maintained by this subsection to the Chief and the Director for examination and copying.
(B) Environmental monitoring, medical removal, and medical records required by this section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief in accordance with Section 3204. Medical removal records shall be provided as prescribed by Section 3204 for monitoring records.
(5) Transfer of Records.
(A) Whenever the employer ceases to do business, the successor employer shall receive and retain all records required to be maintained by subsection (n).
(B) Whenever the employer ceases to do business and there is n successor employer to receive and retain the records required to be maintained by this section for the prescribed period, these records shall be transmitted to the Director.
(C) At the expiration of the retention period for the records required to be maintained by this section, the employer shall notify the Director at least 3 months prior to the disposal of such records and shall transmit those records to the Director if requested within the period.
(D) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(o) Observation of Monitoring. During any observation of monitoring under subsection (d) by an affected employee or employees or their representative (pursuant to Section 340.1) in an area where the use of respirators, protective clothing or equipment is required, the employer shall provide the observer with, and assure the use of, such respirators, clothing and equipment and shall require the observer to comply with all other applicable safety and health procedures. Without interfering with the monitoring, the observer shall be entitled to receive an explanation of the measurement procedures used.
(p) Appendices. The information contained in the appendices to this section is not intended to create any additional obligations not otherwise imposed by this standard nor detract from any existing obligation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect renumbering section 5216 and appendices A-D to section 5198 filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7). For prior history, see Register 87, No. 51.
2. Change without regulatory effect amending subsection (j)(3)(A) filed 6-26-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 26).
3. Amendment of subsection (f)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
4. Amendment of subsection (f)(3)(A) and new subsections (f)(3)(C)-(D) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
5. Change without regulatory effect amending subsection (f)(2)(A) filed 12-1-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 49).
6. Amendment of subsections (j)(2)(B), (j)(2)(D), (k)(1) and (k)(3)(A)1. filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
7. Amendment of subsection (j)(2)(D)2. filed 9-4-2012; operative 10-4-2012 (Register 2012, No. 36).

Appendix A

Substance Data Sheet for Occupational Exposure to Lead
I. Substance Identification
A. Substance: Pure lead (Pb) is a heavy metal at room temperature and pressure and is a basic chemical element. It can combine with various other substances to form numerous lead compounds.
B. Compounds Covered by the Standard: The word “lead” when used in this standard means elemental lead, all inorganic lead compounds and a class of organic lead compounds called lead soaps. This standard does not apply to other organic lead compounds.
C. Uses: Exposure to lead occurs in at least 120 different occupations, including primary and secondary lead smelting, lead storage battery manufacturing, lead pigment manufacturing and use, solder manufacturing and use, shipbuilding and ship repairing, auto manufacturing, and printing.
D. Permissible Exposure: The Permissible Exposure Limit (PEL) set by the standard is 50 micrograms of lead per cubic meter of air (50 mg/M3), averaged over an 8-hour workday.
E. Action Level: The standard establishes an action level of 30 micrograms per cubic meter of air (30 mg/M3), time-weighted average, based on an 8-hour workday. The action level initiates several requirements of the standard, such as exposure monitoring, medical surveillance, and training and education.
II. Health Hazard Data
A. Ways in which lead enters your body. When absorbed into your body in certain doses, lead is a toxic substance. The object of the lead standard is to prevent absorption of harmful quantities of lead. The standard is intended to protect you not only from the immediate toxic effects of lead but also from the serious toxic effects that may not become apparent until years of exposure have passed.
Lead can be absorbed into your body by inhalation (breathing) and ingestion (eating). Lead (except for certain organic lead compounds not covered by the standard, such as tetraethyl lead) is not absorbed through your skin. When lead is scattered in the air as a dust, fume or mist it can be inhaled and absorbed through your lungs and upper respiratory tract. Inhalation of airborne lead is generally the most important source of occupational lead absorption. You can also absorb lead through your digestive system if lead gets into your mouth and is swallowed. If you handle food, cigarettes, chewing tobacco, or make-up which have lead on them or handle them with hands contaminated with lead, this will contribute to ingestion.
A significant portion of the lead that you inhale or ingest gets into your blood stream. Once in your blood system, lead is circulated throughout your body and stored in various organs and body tissues. Some of this lead is quickly filtered out of your body and excreted, but some remains in the blood and other tissues. As exposure to lead continues, the amount stored in your body will increase if you are absorbing more lead than your body is excreting. Even though you may not be aware of any immediate symptoms of disease, this lead stored in your tissues can be slowly causing irreversible damage, first to individual cells, then to your organs and whole body systems.
B. Effects of overexposure to lead -(1) Short-term (acute) overexposure. Lead is a potent, systemic poison that serves no known useful function once absorbed by your body. Taken in large enough doses, lead can kill you in a matter of days. A condition affecting the brain called acute encephalopathy may arise which develops quickly to seizures, coma, and death from cardiorespiratory arrest. A short-term dose of lead can lead to acute encephalopathy. Short-term occupational exposures of this magnitude are highly unusual, but not impossible. Similar forms of encephalopathy may, however, arise from extended, chronic exposure to lower doses of lead. There is no sharp dividing line between rapidly developing acute effects of lead and chronic effects which take longer to acquire. Lead adversely affects numerous body systems and causes forms of health impairment and disease which arise after periods of exposure as short as days or as long as several years.
(2) Long-term (chronic) overexposure. Chronic overexposure to lead may result in severe damage to your blood-forming, nervous, urinary and reproductive systems. Some common symptoms of chronic overexposure include loss of appetite, metallic taste in the mouth, anxiety, constipation, nausea, pallor, excessive tiredness, weakness, insomnia, headache, nervous irritability, muscle and joint pain or soreness, fine tremors, numbness, dizziness, hyperactivity and colic. In lead colic there may be severe abdominal pain.
Damage to the central nervous system in general and the brain (encephalopathy) in particular is one of the most severe forms of lead poisoning. The most severe, often fatal, form of encephalopathy may be preceded by vomiting, a feeling of dullness progressing to drowsiness and stupor, poor memory, restlessness, irritability, tremor, and convulsions. It may arise suddenly with the onset of seizures, followed by coma, and death. There is a tendency for muscular weakness to develop at the same time. This weakness may progress to paralysis often observed as a characteristic “wrist drop” or “foot drop” and is a manifestation of a disease to the nervous system called peripheral neuropathy.
Chronic overexposure to lead also results in kidney disease with few, if any, symptoms appearing until extensive and most likely permanent kidney damage has occurred. Routine laboratory tests reveal the presence of this kidney disease only after about two-thirds of kidney function is lost. When overt symptoms of urinary dysfunction arise, it is often too late to correct or prevent worsening conditions, and progression to kidney dialysis or death is possible.
Chronic overexposure to lead impairs the reproductive systems of both men and women. Overexposure to lead may result in decreased sex drive, impotence and sterility in men. Lead can alter the structure of sperm cells raising the risk of birth defects. There is evidence of miscarriage and stillbirth in women whose husbands were exposed to lead or who were exposed to lead themselves. Lead exposure also may result in decreased fertility and abnormal menstrual cycles in women. The course of pregnancy may be adversely affected by exposure to lead since lead crosses the placental barrier and poses risks to developing fetuses. Children born of parents either one of whom were exposed to excess lead levels are more likely to have birth defects, mental retardation, or behavioral disorders or to die during the first year of childhood.
Overexposure to lead also disrupts the blood-forming system resulting in decreased hemoglobin (the substance in the blood that carries oxygen to the cells) and ultimately anemia. Anemia is characterized by weakness, pallor and fatigue as a result of decreased oxygen-carrying capacity in the blood.
(3) Health protection goals of the standard. Prevention of adverse health effects for most workers from exposure to lead throughout a working lifetime requires that worker blood lead levels (PbB) be maintained at or below forty micrograms per one hundred grams of whole blood (40 mg/100g). The blood lead levels of workers (both male and female workers) who intend to have children should be maintained below 30 mg/100g to minimize adverse reproductive health effects to the parents and the developing fetus.
The measurement of your blood lead level is the most useful indicator of the amount of lead being absorbed by your body. Blood lead levels (PbB) are most often reported in units of milligrams (mg) or micrograms (mg) of lead (1 mg = 1000 mg) per 100 grams (100g), 100 milliliters (100 ml) or deciliter (dl) of blood. These three units are essentially the same. Sometime PbB's are expressed in the form of mg% or mg%. This is a shorthand notation for 100g, 100ml, or dl.
PbB measurements show the amount of lead circulating in your blood stream but do not give any information about the amount of lead stored in your various tissues. PbB measurements merely show current absorption of lead, not the effect that lead is having on your body or the effects that past lead exposure may have already caused. Past research into lead-related diseases, however, has focused heavily on associations between PbBs and various diseases. As a result, the relative level of your PbB is an important indicator of the probability of your acquiring a lead-related health impairment or disease.
Once your blood lead level climbs above 40 mg/100g, your risk of disease increases. There is a wide variability of individual response to lead, thus it is difficult to say that a particular PbB in a given person will cause a particular effect. Studies have associated fatal encephalopathy with PbBs as low as 150 mg/100g. Other studies have shown other forms of disease in some workers with PbBs well below 80 mg/100g. Your PbB is a crucial indicator of the risks to your health, but one other factor is also extremely important. This factor is the length of time you have had elevated PbBs. The longer you have an elevated PbB, the greater the risk that large quantities of lead are being gradually stored in your organs and tissues (body burden). The greater your overall body burden, the greater the chances of substantial permanent damage.
The best way to prevent all forms of lead-related impairments and diseases (both short term and long term) is to maintain your PbB below 40 mg/100g. The provisions of the standard are designed with this end in mind. Your employer has prime responsibility to assure that the provisions of the standard are complied with both by the company and by individual workers. You as a worker, however, also have a responsibility to assist your employer in complying with the standard. You can play a key role in protecting your own health by learning about the lead hazards and their control, learning what the standard requires, following the standard where it governs your own actions, and seeing that your employer complies with provisions governing his actions.
(4) Reporting signs and symptoms of health problems. You should immediately notify your employer if you develop signs or symptoms associated with lead poisoning or if you desire medical advice concerning the effects of current or past exposure to lead on your ability to have a healthy child. You should also notify your employer if you have difficulty breathing during a respirator fit test or while wearing a respirator. In each of these cases your employer must make available to you appropriate medical examinations or consultations. These must be provided at no cost to you and at a reasonable time and place.
The standard contains a procedure whereby you can obtain a second opinion by a physician of your choice if the employer selected the initial physician.

Appendix B

Section 5198 Summary
This appendix summarizes key provisions of the standard that you as a worker should become familiar with.
I. Permissible Exposure Limit (PEL)
The standard sets a permissible exposure limit (PEL) of fifty micrograms of lead per cubic meter of air (50 mg/M3), averaged over an 8-hour workday. This is the highest level of lead in air to which you may be permissibly exposed over an 8-hour workday. Since it is an 8-hour average it permits short exposures above the PEL so long as for each 8-hour workday your average exposure does not exceed the PEL.
This standard recognizes that your daily exposure to lead can extend beyond a typical 8-hour workday as the result of overtime or other alterations in your work schedule. To deal with this, the standard contains a formula which reduces your permissible exposure when you are exposed more than 8 hours. For example, if you are exposed to lead for 10 hours a day, the maximum permitted average exposure would be 40 mg/M3.
II. Exposure Monitoring
If lead is present in any quantity in the workplace where you work, your employer is required to make an initial determination of whether the action level is exceeded for any employee. This initial determination must include instrument monitoring of the air for the presence of lead and must cover the exposure of a representative number of employees who are reasonably believed to have the highest exposure levels. If your employer has conducted appropriate air sampling for lead in the past year he may use these results. If there have been any employee complaints of symptoms which may be attributable to exposure to lead or if there is any other information or observations which would indicate employee exposure to lead, this must also be considered as part of the initial determination. This determination must have been completed within 30 days of the effective date of the standard. If this initial determination shows that a reasonable possibility exists that any employee may be exposed, without regard to the use of respirators, over the action level (30 mg/M3), your employer must set up an air monitoring program to determine the exposure level of every employee exposed to lead at your workplace.
In carrying out this air monitoring program, your employer is not required to monitor the exposure of every employee but must monitor a representative number of employees and job types. Enough sampling must be done to enable each employee's exposure level to be reasonably represented by at least one full-shift (at least 7 hours) air sample. In addition, these air samples must be taken under conditions which represent each employee's regular, daily exposure to lead. All initial exposure monitoring must have been completed within 90 days of the effective date of the standard.
If you are exposed to lead and air sampling is performed, your employer is required to quickly notify you in writing of air monitoring results which represent your exposure. If the results indicate your exposure exceeds the PEL (without regard to your use of respirators), then your employer must also notify you of this in writing and also provide you with a description of the corrective action that will be taken to reduce your exposure.
Your exposure must be rechecked by monitoring every six months if your exposure is over the action level but below the PEL. Air monitoring must be repeated every three months if you are exposed over the PEL. Your employer may discontinue monitoring for you if two consecutive measurements, taken at least two weeks apart, are below the action level. However, whenever there is a production, process, control, or personnel change at your workplace which may result in new or additional exposure to lead, or whenever there is any other reason to suspect a change which may result in new or additional exposure to lead, your employer must perform additional monitoring.
III. Compliance
Except for certain industries, the regulation requires employers to reduce and maintain employee exposure to lead at or below the permissible exposure limit by means of engineering, work practice, and administrative controls to the extent that such controls are feasible. Even though such controls may not be sufficient to effect compliance with the PEL, they must be instituted to achieve the lowest feasible exposure level and the employer must provide supplemental protection in the form of respirators.
Where employee exposure above the PEL occurs intermittently for no more than 30 days per year, feasible engineering controls must be implemented to achieve compliance with an exposure limit of 150 mg/M3 but compliance with the PEL may be accomplished by any combination of engineering, work practice, and administrative controls and respiratory protection.
IV. Respiratory Protection
Your employer is required to provide and assure your use of respirators when your exposure to lead is not controlled below the PEL by other means. The employer must pay the cost of the respirator. Whenever you request one, your employer is also required to provide you a respirator even if the air exposure level does not exceed the PEL. You might desire a respirator when, for example, you intend to have children in the near future, and want to reduce the level of lead in your body to minimize adverse reproductive effects. While respirators are the least satisfactory means of controlling your exposure, they are capable of providing significant protection when properly chosen, fitted, worn, cleaned, and maintained and are replaced when they stop providing adequate protection.
Your employer is required to select respirators from the types listed in the respiratory protection subsection of the standard. Any respirator chosen must be approved by the National Institute for Occupational Safety and Health (NIOSH) under the provisions of 42 CFR part 84. The respirator selection table will enable your employer to choose a type of respirator which will give you proper protection based on your airborne lead exposure. Your employer may select a type of respirator that provides greater protection than that required by the standard; that is, one recommended for a higher concentration of lead than that to which you are exposed.
An air purifying respirator is any respirator which has a filter, cartridge or canister which cleans the work room air as you breathe it. The typical air purifying respirator is a negative pressure respirator because it requires the force of your inhalation to draw air through the filtering element. It is less protective than a powered air purifying respirator (PAPR) which also has a filter, cartridge or canister to clean the air, but a power source which continuously blows filtered air into your breathing zone. Your employer might make a PAPR available to you to ease the burden of having to wear a negative pressure air purifying respirator for long periods of time. The standard provides that you can obtain a PAPR upon request.
Supplied-air respirators are also available which, as the name implies, are respirators to which breathing quality air is supplied from a source such as an air compressor, blower or compressed air cylinder. Three types of supplied-air respirators are availabledemand, pressure demand, and continuous flow. The demand-type requires the force of inhalation to open a diaphragm valve thus admitting air from the supply source. As any leakage around the facepiece will permit the concurrent admission of contaminated air, the demand-type only provides protection generally equivalent to that of the typical negative pressure air purifying respirator of the same facepiece type. Greater protection is provided by either the pressure-demand or continuous-flow types as positive air pressure exists within the respirator at all times.
Your employer must also start a Respiratory Protection Program in accordance with General Industry Safety Orders section 5144. This program must include written procedures for the proper selection, use, cleaning, storage, and maintenance of respirators.
Your employer must assure that your respirator facepiece fits properly. Proper fit of a respirator facepiece is critical and no single facepiece fits all facial configurations equally well. Obtaining a proper fit thus may require your employer to make available two or three different mask types in order that facepiece leakage is minimized for each employee. In order to assure that your respirator fits properly and that facepiece leakage is minimized, your employer must give you either a “quantitative or qualitative fit test” as specified in Appendix A of Section 5144, Respiratory Protection.
You must also receive from your employer proper training in the use of respirators. Your employer is required to teach you how to wear a respirator, to know why it is needed, and to understand its limitations.
The standard provides that if your respirator uses filter elements, you must be given an opportunity to change the filter elements whenever an increase in breathing resistance is detected. You also must be permitted to periodically leave your work area to wash your face and respirator facepiece whenever necessary to prevent skin irritation. If you ever have difficulty in breathing during a fit test or while using a respirator, your employer must make a medical examination available to you to determine whether you can safely wear a respirator. The result of this examination may be to give you a positive pressure respirator (which reduces breathing resistance) or to provide alternative means of protection.
V. Protective Work Clothing and Equipment
If you are exposed to lead above the PEL, or if you are exposed to lead compounds such as lead arsenate or lead azide which can cause skin and eye irritation, your employer must provide you with protective work clothing and equipment appropriate for the hazard. If work clothing is provided, it must be provided in a clean and dry condition at least weekly, and daily if your exposure to airborne lead is greater than 150 mg/M3. Appropriate protective work clothing and equipment can include coveralls or similar full-body work clothing, gloves, hats, shoes or disposable shoe coverlets, and face shields or vented goggles. Your employer is required to provide all such equipment at no cost to you. He is responsible for providing repairs and replacement as necessary, and also is responsible for the cleaning, laundering or disposal of protective clothing and equipment. Contaminated work clothing or equipment must be removed in change rooms and not worn home or you will extend your exposure and expose your family since lead from your clothing can accumulate in your house, car, etc. Contaminated clothing which is to be cleaned, laundered or disposed of must be placed in closed containers in the change room. At no time may lead be removed from protective clothing or equipment by any means which disperses lead into the workroom air.
VI. Housekeeping
Your employer must establish a housekeeping program sufficient to maintain all surfaces as free as practicable of accumulations of lead dust. Vacuuming is the preferred method of meeting this requirement, and the use of compressed air to clean floors and other surfaces is absolutely prohibited. Dry or wet sweeping, shoveling, or brushing may not be used except where vacuuming or other equally effective methods have been tried and do not work. Vacuums must be used and emptied in a manner which minimizes the reentry of lead into the workplace.
VII. Hygiene Facilities and Practices
The standard requires that change rooms, showers, and lunchrooms be made available to workers exposed to lead above the PEL. When the PEL is exceeded, the employer must assure that food and beverage is not present or consumed, tobacco products are not present or used, and cosmetics are not applied, except in these facilities. Change rooms, showers, and lunchrooms, if available, must be used by workers exposed in excess of the PEL. After showering, no clothing or equipment worn during the shift may be worn home, and this includes shoes and underwear. Your own clothing worn during the shift should be carried home and cleaned carefully so that it does not contaminate your home. Lunchrooms may not be entered with protective clothing or equipment unless surface dust has been removed by vacuuming, downdraft booth, or other cleaning method. Finally, workers exposed above the PEL must wash their hands and faces prior to eating, drinking, smoking or applying cosmetics.
All of the facilities and hygiene practices just discussed are essential to minimize additional sources of lead absorption from inhalation or ingestion of lead that may accumulate on you, your clothes, or your possessions. Strict compliance with these provisions can virtually eliminate several sources of lead exposure which significantly contribute to excessive lead absorption.
VIII. Medical Surveillance
The medical surveillance program is part of the standard's comprehensive approach to the prevention of lead-related disease. Its purpose is to supplement the main thrust of the standard which is aimed at minimizing airborne concentrations of lead and sources of ingestion. Only medical surveillance can determine if the other provisions of the standard have effectively protected you as an individual. Compliance with the standard's provisions will protect most workers from the adverse effects of lead exposure, but may not be satisfactory to protect individual workers (1) who have high body burdens of lead acquired over past years, (2) who have additional uncontrolled sources of non-occupational lead exposure, (3) who exhibit unusual variations in lead absorption rates, or (4) who have specific non-work related medical conditions which could be aggravated by lead exposure (e.g., renal disease, anemia). In addition, control systems may fail, or hygiene and respirator programs may be inadequate. Periodic medical surveillance of individual workers will help detect those failures. Medical surveillance will also be important to protect your reproductive ability regardless of whether you are a man or woman.
All medical surveillance required by the standard must be performed by or under the supervision of a licensed physician. The employer must provide required medical surveillance without cost to the employees and at a reasonable time and place. The standard's medical surveillance program has two parts periodic biological monitoring and medical examinations.
Your employer's obligation to offer medical surveillance is triggered by the results of the air monitoring program. Medical surveillance must be made available to all employees who are exposed in excess of the action level (without regard to the use of respirators) for more than 30 days a year. The initial phase of the medical surveillance program, which includes blood lead level tests and medical examinations, must be completed for all covered employees within 150 days of the effective date of the lead standard. Priority within this first round of medical surveillance must be given to employees whom the employer believes to be at greatest risk from continued exposure (for example, those with the longest prior exposure to lead, or those with the highest current exposure). Thereafter, the employer must periodically make medical surveillance both biological monitoring and medical examinations available to all covered employees.
Biological monitoring under the standard consists of blood lead level (PbB) and zinc protoporphyrin tests at least every 6 months after the initial PbB test. If a worker's PbB exceeds 40 mg/100g the monitoring frequency must be increased from every 6 months to at least every 2 months and not reduced until two consecutive PbBs indicate a blood lead level below 40 mg/100g. Each time your PbB is determined to be over 40 mg/100g, your employer must notify you of this in writing within five working days of his receipt of the test results. The employer must also inform you that the standard requires temporary medical removal with economic protection when your PbB exceeds certain criteria (See Discussion of Medical Removal Protection). During the first year of the standard, this removal criterion is 80 mg/100g. Anytime your PbB exceeds 80 mg/100g your employer must make available to you a prompt follow-up PbB test to ascertain your PbB. If the two tests both exceed 80 mg/100g and you are temporarily removed, then your employer must make successive PbB tests available to you on a monthly basis during the period of your removal.
Medical examinations beyond the initial one must be made available on an annual basis if your blood lead level exceeds 40 mg/100g at any time during the preceding year. The initial examination will provide information to establish a baseline with which subsequent data can be compared. An initial medical examination must also be made available (prior to assignment) for each employee being assigned for the first time to an area where the concentration of airborne lead equals or exceeds the action level. In addition, a medical examination or consultation must be made available as soon as possible if you notify your employer that you are experiencing signs or symptoms commonly associated with lead poisoning or that you have difficulty breathing while wearing a respirator or during a respirator fit test. You must also be provided a medical examination or consultation if you notify your employer that you desire medical advice concerning the effects of current or past exposure to lead on your ability to procreate a healthy child.
Finally, appropriate follow-up medical examinations or consultations may also be provided for employees who have been temporarily removed from exposure under the medical removal protection provisions of the standard (See Part IX, below).
The standard specifies the minimum content of pre-assignment and annual medical examinations. The content of other types of medical examinations and consultations is left up to the sound discretion of the examining physician. Pre-assignment and annual medical examinations must include (1) a detailed work history, (2) a thorough physical examination, and (3) a series of laboratory tests designed to check your blood chemistry and your kidney function. In addition, at any time upon your request, a laboratory evaluation of male fertility will be made (microscopic examination of a sperm sample), or a pregnancy test will be given.
The standard does not require that you participate in any of the medical procedures, tests, etc. which your employer is required to make available to you. Medical surveillance can, however, play a very important role in protecting your health. You are strongly encouraged, therefore, to participate in a meaningful fashion The standard contains a multiple physician review mechanism which provides you with the right to a second medical opinion from a physician of your choice if you are dissatisfied with an examination by a physician chosen by your employer. The standard requires the two physicians to attempt a resolution of any difference in their opinions. If any dispute remains unresolved, the standard provides that a third physician, selected by you and your employer, shall make a final, binding medical determination unless you and your employer reach an agreement which is otherwise consistent with the recommendations of one of the physicians. Generally, your employer will choose the physician who conducts medical surveillance under the lead standard unless you and your employer otherwise agree on the choice of a physician or physicians. Some companies and unions have agreed in advance, for example, to use certain independent medical laboratories or panels of physicians. Any of these arrangements are acceptable so long as required medical surveillance is made available to workers.
The standard requires your employer to provide certain information to a physician to aid in his or her examination of you. This information includes (1) the standard and these appendices, (2) a description of your duties as they relate to lead exposure, (3) your exposure level, (4) a description of personal protective equipment you wear, (5) prior blood lead level results, and (6) prior written medical opinions concerning you that the employer may have. After a medical examination or consultation the physician must prepare a written report which must contain (1) the physician's opinion as to whether you have any medical condition which places you at increased risk of material impairment to health from exposure to lead, (2) any recommended special protective measures to be provided to you, (3) any blood lead level determinations, and (4) any recommended limitation on your use of respirators. This last element must include a determination of whether you can wear a powered air purifying respirator (PAPR) if you are found unable to wear a negative pressure respirator.
The medical surveillance program of the lead standard may at some point in time serve to notify certain workers that they have acquired a disease or other adverse medical condition as a result of occupational lead exposure. If this is true, workers may have legal rights to compensation from public agencies, their employers, firms that supply hazardous products to their employers, or other persons. The results of the medical surveillance program can significantly affect the legal remedies of a worker who has acquired a job-related disease or impairment.
The medical surveillance subsection of the standard also contains provisions dealing with chelation. Chelation is the use of certain drugs (administered in pill form or injected into the body) to reduce the amount of lead absorbed in body tissues. Experience accumulated by the medical and scientific communities has largely confirmed the effectiveness of this type of therapy for the treatment of very severe lead poisoning. On the other hand, it has also been established that there can be a long list of extremely harmful side effects associated with the use of chelating agents. The medical community has balanced the advantages and disadvantages resulting from the use of chelating agents in various circumstances and has established when the use of these agents is acceptable. The standard includes these accepted limitations due to a history of abuse of chelation therapy by some lead companies. The most widely used chelating agents are calcium disodium EDTA, Ca Na2 EDTA), calcium disodium versenate (Versenate), and d-penicillamine (penicillamine or Cupramine).
The standard prohibits “prophylactic chelation” of any employee by any person the employer retains, supervises or controls. “Prophylactic chelation” is the routine use of chelating or similarly acting drugs to prevent elevated blood levels in workers who are occupationally exposed to lead, or the use of these drugs to routinely lower blood levels to predesignated concentrations believed to be `safe'. It should be emphasized that where an employer takes a worker who has no symptoms of lead poisoning and has chelation carried out by a physician (either inside or outside of a hospital) solely to reduce the worker's blood lead level, such practice is generally considered prophylactic chelation. The use of a hospital and a physician does not mean that prophylactic chelation is not being performed. Routine chelation to prevent increased or reduce current blood lead levels is unacceptable whatever the setting. The standard allows the use of “therapeutic” or “diagnostic” chelation if administered under the supervision of a licensed physician in a clinical setting with thorough and appropriate medical monitoring. Therapeutic chelation responds to severe lead poisoning where there are marked symptoms. Diagnostic chelation involves giving a patient a dose of the drug then collecting all urine excreted for some period of time as an aid to the diagnosis of lead poisoning.
In cases where the examining physician determines that chelation is appropriate, you must be notified in writing of this fact before such treatment. This will inform you of a potentially harmful treatment and allow you to obtain a second medical opinion if you choose to do so.
IX. Medical Removal Protection
Excessive lead absorption subjects you to increased risk of disease. Medical removal protection (MRP) is a means of protecting you when, for whatever reasons, other methods such as engineering and administrative controls, work practices, and respirators have failed to provide the protection you need. MRP involves the temporary removal of a worker from his or her regular job to a place of significantly lower exposure without any loss of earnings, seniority, or other employment rights or benefits. The purpose of this program is to cease further lead absorption and allow your body to naturally excrete lead which has previously been absorbed. Temporary medical removal can result from an elevated blood lead level, or a medical opinion. Up to eighteen months of protection is provided as a result of either form of removal. The vast majority of removed workers, however, will return to their former jobs long before this eighteen-month period expires. The standard contains special provisions to deal with the extraordinary but possible case where a worker's bloodlead level does not adequately decline during eighteen months of removal.
If your blood lead level is 50 mg/100g or above, you must be removed from any exposure where your air lead level without a respirator would be 30 mg/m3 or above. If you are removed from your normal job you may not be returned until your blood lead level declines to at least 40 mg/100g.
You may also be removed from exposure even if your blood lead levels are below these criteria if a medical determination indicates that you temporarily need reduced lead exposure for medical reasons. If the physician who is implementing your employer's medical program makes a written opinion recommending your removal or other special protective measures, your employer must implement the physician's recommendation. If you are removed in this manner, you may only be returned when the doctor indicates that it is safe for you to do so.
The standard does not give specific instructions dealing with what an employer must do with a removed worker. Your job assignment upon removal is a matter for you, your employer and your union (if any) to work out consistent with procedures or agreements for job assignments which may exist in your place of employment. Each removal must be accomplished in a manner consistent with existing collective bargaining relationships. Your employer is given broad discretion to implement temporary removals so long as no attempt is made to override existing agreements. Similarly, a removed worker is provided no right to veto an employer's choice which satisfies the standard.
In most cases, employers will likely transfer removed employees to other jobs with sufficiently low lead exposure. Alternatively, a worker's hours may be reduced so that the time-weighted average exposure is reduced, or he or she may be temporarily laid off if no other alternative is feasible.
In all of these situations, MRP benefits must be provided during the period of removal that is, you continue to receive the same earnings, seniority, and other rights and benefits you would have had if you had not been removed. Earnings include more than just your base wage; they include overtime, shift differentials, incentives, and other compensation you would have earned if you had not been removed. During the period of removal you must also be provided with appropriate follow-up medical surveillance. If you were removed because your blood lead level was too high, you must be provided with a monthly blood test. If a medical opinion caused your removal, you must be provided medical tests or examinations that the doctor believes to be appropriate. If you do not participate in this follow up medical surveillance, you may lose your eligibility for MRP benefits.
When you are medically eligible to return to your former job, your employer must return you to your “former job status.” This means that you are entitled to the position, wages, benefits, etc., you would have if you had not been removed. If you would still be in your old job if no removal had occurred, you are to be returned to this job. If you would not be in your old job, the job assignment to which you return must be consistent with the decision which your employer would have been obliged to make had no removal occurred. MRP only seeks to maintain your rights, not expand them or diminish them.
If you are removed under MRP and you are also eligible for worker compensation or other compensation for lost wages, your employer's MRP benefits obligation is reduced by the amount that you actually receive from these other sources. Similarly, if you obtain other employment during the time you are laid off, the benefits you receive under MRP are reduced by the amount you earn in such other employment.
The standard also covers situations where an employer voluntarily removes a worker from exposure to lead due to the effects of lead on the employee's medical condition, even though the standard does not require removal. In these situations MRP benefits must also be provided as though the standard required removal. Finally, it is important to note that in all cases where removal is required, respirators cannot be used as a substitute. Respirators may be used before removal becomes necessary, but not as an alternative to a transfer to a low exposure job or to a lay-off with MRP benefits.
X. Employee Information and Training
Your employer is required to provide an information and training program for all employees exposed to lead at or above the action level or who may suffer skin or eye irritation from lead. This program must inform these employees of the specific hazards associated with their work environment, protective measures which can be taken, the danger of lead to their bodies (including their reproductive systems), and their rights under the standard. In addition your employer must make readily available to all employees, including those exposed below the action level, a copy of the standard and these appendices.
Your employer is required to complete this training program for all new employees (who may be exposed to lead at or above the action level or for whom the possibility exists of eye or skin irritation from lead exposure) prior to initial assignment.
This training program must also be provided at least annually thereafter.
XI. Signs
The following warning sign must be posted in work areas where the exposure to lead exceeds the PEL:

WARNING
LEAD WORK AREA
POISON
NO SMOKING OR EATING
XII. Recordkeeping
Your employer is required to keep all records of exposure monitoring for airborne lead. These records must include the name and job classification of employees measured, details of the sampling and analytic techniques, the result of this sampling, and the type of respiratory protection being worn by the person sampled. Your employer is also required to keep all records of biological monitoring and medical examination results. These must include the names of the employee, the physician's written opinion, and a copy of the results of the examination. All of the above kinds of records must be kept for 40 years or for at least 20 years after your termination of employment, whichever is longer.
Recordkeeping is also required if you are temporarily removed from your job under the medical removal protection program. This record must include your name and social security number, the date of your removal and return, how the removal was or is being accomplished, and whether or not the reason for the removal was an elevated blood lead level. Your employer is required to keep each medical removal record only for the duration of an employee's employment.
The standard requires that if you request to see or copy environmental monitoring, blood lead level (PbB) monitoring, or medical removal records, they must be made available to you or to a representative that you authorize. Your union also has access to these records. Upon your request, your complete medical records must also be provided to you, to your physician or to any other person whom you may specifically designate. Your union does not have access to your personal medical records unless you authorize such access.
XIII. Observation of Monitoring
When air monitoring for lead is performed at your workplace as required by the standard, your employer must allow you or someone you designate to observe the monitoring. The observer is entitled to an explanation of the measurement procedure and to record the results obtained. Since results will not normally be available at the time of the monitoring, the observer is entitled to record or receive the results of the monitoring when returned by the laboratory. Your employer is required to provide the observer with any personal protective devices required to be worn by employees working in the area that is being monitored. The employer must require the observer to wear all such equipment and to comply with all other applicable safety and health procedures.
XIV. Effective Date
The standard's effective date is September 8, 1979, and the employer obligations under the standard begin to come into effect as of that date.
XV. For Additional Information
A. Copies of the Federal lead standard and explanatory materials can be obtained free of charge by calling or writing the OSHA Office of Publications, Room S-1212, United States Department of Labor, Washington, D.C. 20210; Telephone, (202) 523-6138. The following publications are available:
1. The Federal lead standard and summary of the statement of reasons (preamble), Federal Register, Volume 43, pp. 52952-53014, November 14, 1978.
2. The full statement of reasons (preamble), Federal Register, Volume 43, pp. 54354-54509, November 21, 1978.
3. Partial Administrative Stay and Corrections to the Federal lead standard, Federal Register, Volume 44, pp. 5446-5448, January 26, 1979.
4. Notice of the Partial Judicial Stay, Federal Register, Volume 44, pp.  14554-14555, March 13, 1979.
5. Corrections to the preamble, Federal Register, Volume 44, pp. 20680-20681, April 6, 1979.
6. Additional correction to the preamble concerning the construction industry, Federal Register, Volume 44, p. 50338, August 28, 1979.
7. Appendices A, B and C to the Federal lead standard, Federal Register, Volume 44, pp. 60980-60994, October 23, 1979. Corrections to the appendices, Federal Register, Volume 44, p. 68828, November 30, 1979.
8. Notice of Limited Reopening of Rulemaking Record (and summary of U.S. Court of Appeals decision), Federal Register, Volume 45, pp. 63881-3, September 26, 1980.
9. Supplemental feasibility statement (in response to U.S. Court of Appeal's remand order), Federal Register, Volume 46, pp. 6134-6228, January 21, 1981.
10. Revised supplemental feasibility statement, Federal Register, Volume 46, pp. 60758-60776, December 11, 1981.
11. Revisions of the Federal standard and appendices and new Appendix D. Federal Register, Volume 47, pp. 51110-51119, November 12, 1982.
B. Additional information about the California lead standard, its enforcement, and your employer's compliance can be obtained from the nearest CAL/OSHA Consulting Service Office in Downey, Fresno, Panorama City, Sacramento, San Diego, and San Francisco. The CAL/OSHA Consulting Service is listed in telephone directories under California State Government/Industrial Relations Department.

Appendix C

Medical Surveillance Guidelines
Introduction
The occupational health standard for lead was promulgated to protect workers exposed to lead which, as defined by the standard, includes metallic lead, all inorganic lead compounds and organic lead soaps but excludes all other organic lead compounds. The term “inorganic lead” used throughout this appendix is meant to be synonymous with the definition of lead set forth in the standard.
Under this final standard in effect as of September 8, 1979, occupational exposure to inorganic lead is to be limited to 50 mg/M3 (micrograms per cubic meter) based on an 8-hour time-weighted average (TWA). This level of exposure must be achieved through a combination of engineering, work practice, and administrative controls (in periods of time ranging from 1 to 10 years) in primary lead smelting, secondary lead smelting, electronics, gray iron foundries, ink manufacture, paints and coatings manufacture, can manufacture, and printing. In these industries, respirators may be used to meet the 50 mg/M3 exposure limit pending the implementation of the prescribed controls. For all other industries, there is no prescribed period during which compliance with the PEL must be achieved by controls other than respiratory protection.
The standard also provides for a program of biological monitoring and medical surveillance for all employees exposed to levels of inorganic lead above the action level of 30 mg/M3 (TWA) for more than 30 days per year.
The purpose of this document is to outline the medical surveillance provisions of the standard for inorganic lead and to provide further information to the physician regarding the examination and evaluation of workers exposed to inorganic lead.
Section I provides a detailed description of the monitoring procedure including the required frequency of blood testing for exposed workers, provisions for medical removal protection (MRP), and notification and recordkeeping requirements of the employer. Discussions of respirator use, respirator monitoring, and chelation therapy are also included.
Section II discusses the toxic effects and clinical manifestations of lead poisoning and effects of lead intoxication on enzymatic pathways in heme synthesis. The adverse effects on both male and female reproductive capacity and on the fetus are also discussed.
Section III outlines the recommended medical evaluation of the worker exposed to inorganic lead including details of the medical history, physical examination, and recommended laboratory tests, which are based on the toxic effects of lead as discussed in Section II.
Section IV provides detailed information concerning the laboratory tests available for the monitoring of exposed workers. Also discussed are the relative value of each test and the limitations and precautions which are necessary in the interpretation of laboratory results.
I. Medical surveillance and monitoring requirements for workers exposed to inorganic lead.
Under the occupational health standard for inorganic lead, a program of biological monitoring and medical surveillance is to be made available to all employees exposed to lead above the action level of 30 mg/M3 TWA for more than 30 days each year. This program consists of periodic blood sampling and medical evaluation to be performed on a schedule which is defined by previous laboratory results, worker complaints or concerns, and the clinical assessment of the examining physician.
Under this program, the blood lead level of all employees who are exposed to lead above the action level of 30 mg/M3 is to be determined at least every six months. The frequency is increased to every two months for employees whose last blood lead level was between 40 mg/100g whole blood and the level requiring employee medical removal to be discussed below. For employees who are removed from exposure to lead due to an elevated blood lead, a new blood lead level must be measured monthly. A zinc protoporphyrin (ZPP) measurement is required on each occasion that a blood lead level measurement is made.
An annual medical examination and consultation performed under the guidelines discussed in Section III is to be made available to each employee for whom a blood test conducted at any time during the preceding 12 months indicated a blood lead level at or above 40 mg/100 g. Also, an examination is to be given to all employees prior to their assignment to an area in which airborne lead concentrations reach or exceed the action level. In addition, a medical examination must be provided as soon as possible after notification by an employee that the employee has developed signs or symptoms commonly associated with lead intoxication, that the employee desires medical advice regarding lead exposure and the ability to procreate a healthy child, or that the employee has demonstrated difficulty in breathing during a respirator fitting test or during respirator use. An examination is also to be made available to each employee removed from exposure to lead due to a risk of sustaining material impairment to health, or otherwise limited or specially protected pursuant to medical recommendations.
Results of biological monitoring or the recommendations of an examining physician may necessitate removal of an employee from further lead exposure pursuant to the standard's medical removal protection (MRP) program. The objective of the MRP program is to provide temporary medical removal to workers either with substantially elevated blood lead levels or otherwise at risk of sustaining material health impairment from continued substantial exposure to lead. The guidelines which are summarized in the following table were created under the standard for the temporary removal of an exposed employee and his or her subsequent return to work in an exposure area.

View Graphic
Note: When medical opinion indicates that an employee is at risk of material impairment from exposure to lead, the physician can remove an employee from exposures exceeding the action level (or less) or recommend special protective measures as deemed appropriate and necessary. Medical monitoring during the medical removal period can be more stringent than noted in the table above if the physician so specifies. Return to work or removal of limitations and special protection is permitted when the physician indicates that the worker is no longer at risk of material impairment.
Under the standard's ultimate worker removal criteria, a worker is to be removed from any work having any eight-hour TWA exposure to lead of 30 mg/M3 or more (without regard to the use of respirators) whenever either of the following circumstances apply: (1) a blood lead level of 60 mg/100g or greater is obtained and confirmed by a second follow-up blood lead level performed within two weeks after the employer receives the results of the first blood sampling test, or (2) the average of the previous three blood lead determinations or the average of all blood lead determinations conducted during the previous six months, whichever encompasses the longest time period, equals or exceeds 50 mg/100g, unless the last blood sample indicates a blood lead level at or below 40 mg/100g in which case the employee need not be removed. Medical removal is to continue until two consecutive blood lead levels are 40 mg/100g or less.
As part of the standard, the employer is required to notify in writing each employee whose blood lead level exceeds 40 mg/100g. In addition each such employee is to be informed that the standard requires medical removal with MRP benefits, discussed below, when an employee's blood lead level exceeds the above defined limits.
In addition to the above blood lead level criteria, temporary worker removal may also take place as a result of medical determinations and recommendations. A written medical opinion must be prepared after each examination pursuant to the standard. If the examining physician includes a medical finding, determination or opinion that the employee has a medical condition which places the employee at increased risk of material health impairment from exposure to lead, then the employee must be removed from exposure to lead at or above the action level. Alternatively, if the examining physician recommends special protective measures for an employee (e.g., use of a powered air purifying respirator) or recommends limitations on an employee's exposure to lead, then the employer must implement these recommendations. Recommendations may be more stringent than the specific provisions of the standard. The examining physician, therefore, is given broad flexibility to tailor special protective procedures to the needs of individual employees. This flexibility extends to the evaluation and management of pregnant workers and male and female workers who are planning to raise children. Based on the history, physical examination, and laboratory studies, the physician might recommend special protective measures or medical removal for an employee who is pregnant or who is planning to conceive a child when, in the physician's judgement, continued exposure to lead at the current job would pose a significant risk. The return of the employee to his or her former job status, or the removal of special protections or limitations, depends upon the examining physician determining that the employee is no longer at increased risk of material impairment or that special measures are no longer needed.
During the period of any form of special protection or removal, the employer must maintain the worker's earnings, seniority, and other employment rights and benefits (as though the worker had not been removed) for a period of up to 18 months. This economic protection will maximize meaningful worker participation in the medical surveillance program, and is appropriate as part of the employer's overall obligation to provide a safe and healthful workplace. The provisions of MRP benefits during the employee's removal period may, however, be conditioned upon participation in medical surveillance.
On rare occasions, an employee's blood lead level may not acceptably decline within 18 months of removal. This situation will arise only in unusual circumstances, thus the standard relies on an individual medical examination to determine how to protect such an employee. This medical determination is to be based on both laboratory values, including lead levels, zinc protoporphyrin levels, blood counts, and other tests felt to be warranted, as well as the physician's judgment that any symptoms or findings on physical examination are a result of lead toxicity. The medical determination may be that the employee is incapable of ever safely returning to his or her former job status. The medical determination may provide additional removal time past 18 months for some employees or specify special protective measures to be implemented.
The lead standard provides for a multiple physician review in cases where the employee wishes a second opinion concerning potential lead poisoning or toxicity. If an employee wishes a second opinion, he or she can make an appointment with a physician of his or her choice. This second physician will review the findings, recommendations or determinations of the first physician and conduct any examinations, consultations or tests deemed necessary in an attempt to make a final medical determination. If the first and second physicians do not agree in their assessment they must try to resolve their differences. If they cannot reach an agreement then they must designate a third physician to resolve the dispute.
The employer must provide examining and consulting physicians with the following specific information: a copy of the lead standard and all appendices, a description of the employee's duties as related to exposure, the exposure level to lead and any other toxic substances (if applicable), a description of personal protective equipment used, blood lead levels, and all prior written medical opinions regarding the employee in the employer's possession or control. The employer must also obtain from the physician and provide the employee with a written medical opinion containing blood lead levels, the physician's opinion as to whether the employee is at risk of material impairment to health, any recommended protective measures for the employee if further exposure is permitted, as well as any recommended limitations upon an employee's use of respirators.
Employers must instruct each physician not to reveal to the employer in writing or in any other way his or her findings, laboratory results, or diagnoses which are felt to be unrelated to occupational lead exposure.
They must also instruct each physician to advise the employee of any occupationally or non-occupationally related medical condition requiring further treatment or evaluation.
The standard provides for the use of respirators where engineering and other primary controls have not been fully implemented. However, the use of respirator protection shall not be used in lieu of temporary medical removal due to elevated blood lead levels or findings that an employee is at risk of material health impairment. This is based on the numerous inadequacies of respirators including skin rash where the facepiece makes contact with the skin, unacceptable stress to breathing in some workers with underlying cardiopulmonary impairment, difficulty in providing adequate fit, the tendency for respirators to create additional hazards by interfering with vision, hearing, and mobility, and the difficulties of assuring the maximum effectiveness of a complicated work practice program involving respirators. Respirators do, however, serve a useful function where engineering and work practice controls are inadequate by providing supplementary, interim, or short-term protection, provided they are properly selected for the environment in which the employee will be working, properly fitted to the employee, maintained and cleaned periodically, and worn by the employee when required.
Prophylactic chelation is prohibited by the lead standard. Diagnostic and therapeutic chelation are permitted only under the supervision of a licensed physician with appropriate medical monitoring in an acceptable clinical setting. The decision to initiate chelation therapy must be made on an individual basis and must take into account the severity of symptoms felt to be a result of lead toxicity along with blood lead levels, ZPP levels, and other laboratory tests as appropriate. EDTA and penicillamine, which are the primary chelating agents used in the therapy of occupational lead poisoning, have significant potential side effects and their use must be justified on the basis of expected benefits to the worker. Unless frank and severe symptoms are present, therapeutic chelation is not recommended, given the opportunity to remove a worker from exposure and allow the body to naturally excrete accumulated lead. As a diagnostic aid, the chelation mobilization test using Ca-EDTA has limited applicability. According to some investigators, the test can differentiate between lead-induced and other nephropathies. The test may also provide an estimation of the mobile fraction of the total body lead burden.
Employers are required to assure that accurate records are maintained on exposure monitoring, medical surveillance, and medical removal for each employee. Exposure monitoring and medical surveillance records must be kept for 40 years or the duration of employment plus 20 years, whichever is longer, while medical removal records must be maintained for the duration of employment. All records required under the standard must be available upon request to the Chief of the Division of Occupational Safety and Health and the Director of the National Institute for Occupational Safety and Health. Employees must also make environmental and biological monitoring and medical removal records available to affected employees and to former employees or their authorized employee representatives. Employees or their specifically designated representatives have access to their entire medical surveillance records.
In addition, the standard requires that the employer inform all workers exposed to lead at or above the action level of the provisions of the standard and all its appendices, the purpose and description of medical surveillance and provisions for medical removal protection if temporary removal is required. An understanding of the potential health effects of lead exposure by all exposed employees along with full understanding of their rights under the lead standard is essential for an effective monitoring program.
II. Adverse health effects of inorganic lead
Although the toxicity of lead has been known for 2,000 years, the knowledge of the complex relationship between lead exposure and human response is still being refined. Significant research into the toxic properties of lead continues throughout the world, and it should be anticipated that our understanding of thresholds of effects and margin of safety will be improved in future years. The provisions of the lead standard are founded on two prime medical judgments: first, the prevention of adverse health effects from exposure to lead throughout a working lifetime requires that worker blood lead levels be maintained at or below 40 mg/100g; and second, the blood lead levels of workers, male or female, who intend to parent in the near future should be maintained below 30 mg/100g to minimize adverse reproductive health effects to the parents and developing fetus. The adverse effects of lead on reproduction are being actively researched and the physician is encouraged to remain abreast of recent developments in the area to best advise pregnant workers or workers planning to conceive children.
The spectrum of health effects caused by lead exposure can be subdivided into five developmental stages: normal, physiological changes of uncertain significance, overt symptoms (morbidity), and mortality. Within this process there are no sharp distinctions, but rather a continuum of effects. Boundaries between categories overlap due to the wide variation of individual responses and exposures in the working population. The development of the lead standard focused on pathophysiological changes as well as later stages of disease.
1. Heme Synthesis Inhibition. The earliest demonstrated effect of lead involves its ability to inhibit at least two enzymes of the heme synthesis pathway at very low blood lead levels. Inhibition of delta aminolevulinic acid dehydrase (ALA-D) which catalyzes the conversion of delta-aminolevulinic acid (ALA) to protoporphyrin is observed at a blood lead level below 20 mg/100g of whole blood. At a blood lead level of 40 mg/100g, more than 20% of the population would have 70% inhibition of ALA-D. There is an exponential increase in ALA excretion at blood lead levels greater than 40 mg/100g.
Another enzyme, ferrochelatase, is also inhibited at low blood lead levels. Inhibition of ferrochelatase leads to increase free erythrocyte protoporphyrin (FEP) in the blood which can then bind to zinc to yield zinc protoporphyrin (ZPP). At a blood lead level of 50 mg/100g or greater, nearly 100% of the population will have an increase in FEP. There is also an exponential relationship between blood lead levels greater than 40 mg/100g and the associated ZPP level, which has led to the development of the ZPP screening test for lead exposure.
While the significance of these effects is subject to debate, these enzymatic disturbances may be early stages of a disease process which eventually results in the clinical symptoms of lead poisoning. Whether or not the effects do progress to the later stages of clinical disease, disruption of these enzymatic processes over a working lifetime is considered to be a material impairment of health.
One of the eventual results of lead-induced inhibition of enzymes in the heme synthesis pathway is anemia which can be asymptomatic if mild but associated with a wide array of symptoms including dizziness, fatigue, and tachycardia when more severe. Studies have indicated that lead levels as low as 50 mg/100g can be associated with a definite decreased hemoglobin, although most cases of lead-induced anemia, as well as shortened red-cell survival times, occur at lead levels exceeding 80 mg/100g. Inhibited hemoglobin synthesis is more common in chronic cases whereas shortened erythrocyte life span is more common in acute cases.
In lead-induced anemias, there is usually a reticulocytosis along with the presence of basophilic stippling, and ringed sideroblasts, although none of the above are pathognomonic for lead-induced anemia.
2. Neurological Effects. Inorganic lead has been found to have toxic effects on both the central and peripheral nervous systems. The earliest stages of lead-induced central nervous system effects are manifested by behavioral disturbances and central nervous system symptoms including irritability, restlessness, insomnia and other sleep disturbances, fatigue, vertigo, headache, poor memory, tremor, depression, and apathy. With more severe exposure, symptoms can progress to drowsiness, stupor, hallucinations, delirium, convulsions and coma.
The most severe and acute form of lead poisoning which usually follows ingestion or inhalation of large amounts of lead is acute encephalopathy which may arise precipitously with the onset of intractable seizures, coma, cardiorespiratory arrest, and death within 48 hours.
While there is disagreement about what exposure levels are needed to produce the earliest symptoms, most experts agree that symptoms definitely can occur at blood lead levels of 60 mg/100g whole blood and therefore recommend a 40 mg/100g maximum. The central nervous system effects frequently are not reversible following discontinued exposure or chelation therapy and when improvement does occur, it is almost always only partial.
The peripheral neuropathy resulting from lead exposure characteristically involves only motor function with minimal sensory damage and has a marked predilection for the extensor muscles of the most active extremity. The peripheral neuropathy can occur with varying degrees of severity. The earliest and mildest form which can be detected in workers with blood lead levels as low as 50 mg/100g is manifested by slowing of motor nerve conduction velocity often without clinical symptoms. With progression of the neuropathy there is development of painless extensor muscle weakness usually involving the extensor muscles of the fingers and hand in the most active upper extremity, followed in severe cases by wrist drop or, much less commonly, foot drop.
In addition to slowing of nerve conduction, electromyographical studies in patients with blood lead levels greater than 50 mg/100g have demonstrated a decrease in the number of acting motor unit potentials, an increase in the duration of motor unit potentials, and spontaneous pathological activity including fibrillations and fasciculations. Whether these effects occur at levels of 40 mg/100g is undetermined.
While the peripheral neuropathies can occasionally be reversed with therapy, again such recovery is not assured particularly in the more severe neuropathies and often improvement is only partial. The lack of reversibility is felt to be due in part to segmental demyelination.
3. Gastrointestinal. Lead may also affect the gastrointestinal system producing abdominal colic or diffuse abdominal pain, constipation, obstipation, diarrhea, anorexia, nausea and vomiting. Lead colic rarely develops at blood lead levels below 80 mg/100g.
4. Renal. Renal toxicity represents one of the most serious health effects of lead poisoning. In the early stages of disease nuclear inclusion bodies can frequently be identified in proximal renal tubular cells. Renal function remains normal and the changes in this stage are probably reversible. With more advanced disease there is progressive interstitial fibrosis and impaired renal function. Eventually extensive interstitial fibrosis ensues with sclerotic glomeruli and dilated and atrophied proximal tubules; all represent end stage kidney disease. Azotemia can be progressive, eventually resulting in frank uremia necessitating dialysis. There is occasionally associated hypertension and hyperuricemia with or without gout.
Early kidney disease is difficult to detect. The urinalysis is normal in early lead nephropathy and the blood urea nitrogen and serum creatinine increase only when two-thirds of kidney function is lost. Measurement of creatinine clearance can often detect earlier disease as can other methods of measurement of glomerular filtration rate. An abnormal Ca-EDTA mobilization test has been used to differentiate between lead-induced and other nephropathies, but this procedure is not widely accepted. A form of Fanconi syndrome with aminoaciduria, glycosuria, and hyperphosphaturia indicating severe injury to the proximal renal tubules is occasionally seen in children.
5. Reproductive effects. Exposure to lead can have serious effects on reproductive function in both males and females. In male workers exposed to lead there can be a decrease in sexual drive, impotence, decreased ability to produce healthy sperm, and sterility. Malformed sperm (teratospermia), decreased number of sperm (hypospermia), and sperm with decreased motility (asthenospermia) can all occur. Teratospermia has been noted at mean blood lead levels of 53 mg/100g and hypospermia and asthenospermia at 41 mg/100g. Furthermore, there appears to be adose-response relationship for teratospermia in lead exposed workers.
Women exposed to lead may experience menstrual disturbances including dysmenorrhea, menorrhagia and amenorrhea. Following exposure to lead, women have a higher frequency of sterility, premature births, spontaneous miscarriages, and stillbirths.
Germ cells can be affected by lead and cause genetic damage in the egg or sperm cells before conception and result in failure to implant, miscarriage, stillbirth, or birth defects.
Infants of mothers with lead poisoning have a higher mortality during the first year and suffer from lowered birth weights, slower growth, and nervous system disorders.
Lead can pass through the placental barrier and lead levels in the mother's blood are comparable to concentrations of lead in the umbilical cord at birth. Transplacental passage becomes detectable at 12-14 weeks of gestation and increases until birth.
There is little direct data on damage to the fetus from exposure to lead but it is generally assumed that the fetus and newborn would be at least as susceptible to neurological damage as young children. Blood lead levels of 50-60 mg/100g in children can cause significant neurobehavioral impairments and there is evidence of hyperactivity at blood lead levels as low as 25 mg/100g. Given the overall body of literature concerning the adverse health effects of lead in children, it is recommended that the blood lead level in children should be maintained below 30 mg/100g with a population mean of 15 mg/100g. Blood lead levels in the fetus and newborn likewise should not exceed 30 mg/100g.
Because of lead's ability to pass through the placental barrier and also because of the demonstrated adverse effects of lead on reproductive function in both the male and female as well as the risk of genetic damage of lead on both the ovum and sperm, a 30 mg/100g maximum permissible blood lead level is recommended for both males and females who wish to bear children.
6. Other toxic effects. Debate and research continue on the effects of lead on the human body. Hypertension has frequently been noted in occupationally exposed individuals although it is difficult to assess whether this is due to lead's adverse effects on the kidney or if some other mechanism is involved. Vascular and electrocardiographic changes have been detected but have not been well characterized. Lead is thought to impair thyroid function and interfere with the pituitary-adrenal axis, but again these effects have not been well defined.
III. Medical Evaluation
The most important principle in evaluating a worker for any occupational disease including lead poisoning is a high index of suspicion on the part of the examining physician. As discussed in Section II, lead can affect numerous organ systems and produce a wide array of signs and symptoms, most of which are non-specific and subtle in nature at least in the early stages of disease. Unless serious concern for lead toxicity is present, many of the early clues to diagnosis may easily be overlooked.
The crucial initial step in the medical evaluation is recognizing that a worker's employment can result in exposure to lead. The worker will frequently be able to define exposures to lead and lead-containing materials but often will not volunteer this information unless specifically asked. In other situations the worker may not know of any exposures to lead but the suspicion might be raised on the part of the physician because of the industry or occupation of the worker. Potential occupational exposure to lead and its compounds occur in at least 120 occupations, including lead smelting, the manufacture of lead storage batteries, the manufacture of lead pigments and products containing pigments, solder manufacture, shipbuilding and ship repair, auto manufacturing, construction, and painting.
Once the possibility for lead exposure is known, the focus can then be directed toward eliciting information from the medical history, physical examination, and finally from laboratory data to evaluate the worker for potential lead toxicity.
A complete and detailed work history is important in the initial evaluation. A listing of all previous employment with information on work processes, exposure to fumes or dust, known exposures to lead or other toxic substances, respiratory protection used, and previous medical surveillance should all be included in the worker's record. Where exposure to lead is suspected, information concerning on-the-job personal hygiene, smoking or eating habits in work areas, laundry procedures, and use of any protective clothing or respiratory protection equipment should be noted. A complete work history is essential in the medical evaluation of a worker with suspected lead toxicity, especially when long term effects such as neurotoxicity and nephrotoxicity are considered.
The medical history is also of fundamental importance and should include a listing of all past and current medical conditions, current medications including proprietary drug intake, previous surgeries and hospitalizations, allergies, smoking history, alcohol consumption, and also non-occupational lead exposures such as hobbies (hunting, riflery). Also known childhood exposures should be elicited. Any previous history of hematological, neurological, gastrointestinal, renal, psychological, gynecological, genetic, or reproductive problems should be specifically noted.
A careful and complete review of systems must be performed to assess both recognized complaints and subtle or slowly acquired symptoms which the worker might not appreciate as being significant. The review of symptoms should include the following:
General weight loss, fatigue, decreased appetite.
Head, Eyes, Ears, Nose, Throat (HEENT) headaches, visual disturbances or decreased visual acuity, hearing deficits or tinnitus, pigmentation of the oral mucosa, or metallic taste in mouth.
Cardiopulmonary shortness of breath, cough, chest pains, palpitations, or orthopnea.
Gastrointestinal nausea, vomiting, heartburn, abdominal pain, constipation or diarrhea.
Neurologic irritability, insomnia, weakness (fatigue), dizziness, loss of memory, confusion, hallucinations, incoordination, ataxia, decreased strength in hands or feet, disturbances in gait, difficulty in climbing stairs, or seizures.
Hematologic pallor, easily fatigued, abnormal blood loss, melena.
Reproductive (male and female and spouse where relevant) history of infertility, impotence, loss of libido, abnormal menstrual periods, history of miscarriages, stillbirths, or children with birth defects.
Musculo-skeletal muscle and joint pains.
The physical examination should emphasize the neurological, gastrointestinal, and cardiovascular systems. The worker's weight and blood pressure should be recorded and the oral mucosa checked for pigmentation characteristic of a possible Burtonian or lead line on the gingiva. It should be noted, however, that the lead line may not be present even in severe lead poisoning if good oral hygiene is practiced.
The presence of pallor on skin examination may indicate an anemia, which if severe might also be associated with a tachycardia. If an anemia is suspected, an active search for blood loss should be undertaken including potential blood loss through the gastrointestinal tract.
A complete neurological examination should include an adequate mental status evaluation including a search for behavioral and psychological disturbances, memory testing, evaluation for irritability, insomnia, hallucinations, and mental clouding. Gait and coordination should be examined along with close observation for tremor. A detailed evaluation of peripheral nerve function including careful sensory and motor function testing is warranted. Strength testing particularly of extensor muscle groups of all extremities is of fundamental importance.
Cranial nerve evaluation should also be included in the routine examination.
The abdominal examination should include auscultation for bowel sounds and abdominal bruits and palpation for organomegaly, masses, and diffuse abdominal tenderness.
Cardiovascular examination should evaluate possible early signs of congestive heart failure. Pulmonary status should be addressed particularly if respirator protection is contemplated.
As part of the medical evaluation, the lead standard requires the following laboratory studies:
1. Blood lead level.
2. Hemoglobin and hematocrit determinations, red cell indices, and examination of the peripheral blood smear to evaluate red blood cell morphology.
3. Blood urea nitrogen.
4. Serum creatinine.
5. Routine urinalysis with microscopic examination.
6. A zinc protoporphyrin level.
In addition to the above, the physician is authorized to order any further laboratory or other tests which he or she deems necessary in accordance with sound medical practice. The evaluation must also include pregnancy testing or laboratory evaluation of male fertility if requested by the employee.
Additional tests which are probably not warranted on a routine basis but may be appropriate when blood lead and ZPP levels are equivocal include delta-aminolevulinic acid and coproporphyrin concentrations in the urine, and dark-field illumination for detection of basophilic stippling in red blood cells.
If an anemia is detected further studies including a careful examination of the peripheral smear, reticulocyte count, stool for occult blood, serum iron, total iron binding capacity, bilirubin, and, if appropriate, vitamin B12 and folate may be of value in attempting to identify the cause of the anemia.
If a peripheral neuropathy is suspected, nerve conduction studies are warranted both for diagnosis and as a basis to monitor any therapy.
If renal disease is questioned, a 24-hour urine collection for creatinine clearance, protein, and electrolytes may be indicated. Elevated uric acid levels may result from lead-induced renal disease and a serum uric acid level might be performed.
An electrocardiogram and chest X-ray may be obtained as deemed appropriate.
Sophisticated and highly specialized testing should not be done routinely and where indicated should be under the direction of a specialist.
IV. Laboratory Evaluation
The blood lead level at present remains the single most important test to monitor lead exposure and is the test used in the medical surveillance program under the lead standard to guide employee medical removal. The ZPP has several advantages over the blood lead level, but because of its relatively recent development and the lack of extensive data concerning its interpretation, the ZPP currently remains an ancillary test.
This section will discuss the blood lead level and ZPP in detail and will outline their relative advantages and disadvantages. Other blood tests currently available to evaluate lead exposure will also be reviewed.
The blood lead level is a good index of current or recent lead absorption when there is no anemia present and when the worker has not taken any chelating agents. However, blood lead levels along with urinary lead levels do not necessarily indicate the total body burden of lead and are not adequate measures of past exposure. One reason for this is that lead has a high affinity for bone and up to 90% of the body's total lead is deposited there. A very important component of the total lead body burden is lead in soft tissue (liver, kidney, and brain). This fraction of the lead body burden, the biologically active lead, is not entirely reflected by blood lead levels since it is a function of the dynamics of lead absorption, distribution, deposition in bone and excretion. Following discontinuation of exposure to lead, the excess body burden is only slowly mobilized from bone and other relatively stable body stores and excreted. Consequently, a high blood lead level may only represent recent heavy exposure to lead without a significant total body excess and likewise a low blood lead level does not exclude an elevated total body burden of lead.
Also, due to its correlation with recent exposures, the blood lead level may vary considerably over short time intervals.
To minimize laboratory error and erroneous results due to contamination, blood specimens must be carefully collected (after thorough cleaning of the skin with appropriate methods) using lead-free blood containers and analyzed by a reliable laboratory. Under the standard, samples must be analyzed in laboratories which are approved by the Center of Disease Control (CDC) or which have received satisfactory grades in proficiency testing by the CDC in the previous year. Analysis is to be made using atomic absorption spectrophotometry, anodic stripping voltammetry or any method which meets the accuracy requirements set forth by the standard.
The determination of lead in urine is generally considered a less reliable monitoring technique than analysis of whole blood primarily due to individual variability in urinary excretion capacity as well as the technical difficulty of obtaining accurate 24-hour urine collections. In addition, workers with renal insufficiency,whether due to lead or some other cause, may have decreased lead clearances and consequently urine lead levels may underestimate the true lead burden. Therefore, urine lead levels should not be used as a routine test.
The zinc protoporphyrin test, unlike the blood lead determination, measures an adverse metabolic effect of lead and as such is a better indicator of lead toxicity than the level of blood lead itself. The level of ZPP reflects lead absorption over the preceding 3 to 4 months, and therefore is a better indicator of lead body burden. The ZPP requires more time than the blood lead to reach significantly elevated levels; the return to normal after discontinuing lead exposure is also slower. Furthermore, the ZPP test is simpler, faster, and less expensive to perform and no contamination is possible. Many investigators believe it is the most reliable means of monitoring chronic lead absorption.
Zinc protoporphyrin results from the inhibition of the enzyme ferrochelatase which catalyzes the insertion of an iron molecule into the protoporphyrin molecule, which then becomes heme. If iron is not inserted into the molecule then zinc, having a greater affinity for protoporphrin, takes the place of the iron, forming ZPP.
An evaluation in the level of circulating ZPP may occur at blood lead levels as low as 20-30 mg/100g in some workers. Once the blood lead level has reached 40 mg/100g there is more marked rise in the ZPP value from its normal range of less than 100 g/100ml. Increases in blood lead levels beyond 40 mg/100g are associated with exponential increases in ZPP.
Whereas blood lead levels fluctuate over short time spans, ZPP levels remain relatively stable. ZPP is measured directly in red blood cells and is present for the cell's entire 120-day life span. Therefore, the ZPP level in blood reflects the average ZPP production over the previous 3-4 months and consequently the average lead exposure during that time interval.
It is recommended that a hematocrit be determined whenever a confirmed ZPP of 50 mg/100ml whole blood is obtained to rule out a significant underlying anemia. If the ZPP is in excess of 100 g/100ml and not associated with abnormal elevations in blood lead levels, the laboratory should be checked to be sure that blood leads were determined using atomic absorption spectrophotometry, anodic stripping voltammetry or other method meeting the accuracy requirements set forth by the standard and by a CDC-approved laboratory which is experienced in lead level determinations. Repeat periodic blood lead studies should be obtained in all individuals with elevated ZPP levels to be certain that an associated elevated blood lead level has not been missed due to transient fluctuations in blood leads.
ZPP has a characteristic fluorescence spectrum with a peak at 594 nm which is detectable with a hematofluorimeter. The hematofluorimeter is accurate and portable and can provide on-site, instantaneous results for workers who can be frequently tested via a finger prick.
However, careful attention must be given to calibration and quality control procedures. Limited data on blood leadZPP correlations and the ZPP levels which are associated with the adverse health effects discussed in Section II are the major limitations of the test. Also it is difficult to correlate ZPP levels with environmental exposure and there is some variation of response with age and sex. Nevertheless, the ZPP promises to be an important diagnostic test for the early detection of lead toxicity and its value will increase as more data are collected regarding its relationship to other manifestations of lead poisoning.
Levels of delta-aminolevulinic acid (ALA) in the urine are also used as a measure of lead exposure. Increasing concentrations of ALA are believed to result from the inhibition of the enzyme delta-aminolevulinic acid dehydrase (ALA-D). Although the test is relatively easy to perform, inexpensive, and rapid, the disadvantages include variability in results, the necessity to collect a complete 24-hour urine sample which has a specific gravity greater than 1.010, and also the fact that ALA decomposes in the presence of light.
The pattern of porphyrin excretion in the urine can also be helpful in identifying lead intoxication. With lead poisoning, the urine concentrations of coproporphyrins I and II, porphobilinogen and uroporphyrin I rise. The most important increase, however, is that of coproporphyrin III; levels may exceed 5,000 mg/1 in the urine in lead poisoned individuals, but its correlation with blood lead levels and ZPP are not as good as those of ALA. Increases in urinary prophyrins are not diagnostic of lead toxicity and may be seen in porphyria, some liver diseases, and in patients with high reticulocyte counts.
Summary. The standard for inorganic lead places significant emphasis on the medical surveillance of all workers exposed to levels of inorganic lead above the action level of 30 mg/M3 TWA. The physician has a fundamental role in this surveillance program, and in the operation of the medical removal protection program.
Even with adequate worker education on the adverse health effects of lead and appropriate training in work practices, personal hygiene and other control measures, the physician has a primary responsibility for evaluating potential lead toxicity in the worker. It is only through a careful and detailed medical and work history, a complete physical examination and appropriate laboratory testing that an accurate assessment can be made. Many of the adverse health effects of lead toxicity are either irreversible or only partially reversible and therefore early detection of disease is very important.
This document outlines the medical monitoring program as defined by the occupational safety and health standard for inorganic lead. It reviews the adverse health effects of lead poisoning and describes the important elements of the history and physical examinations as they relate to these adverse effects.

Appendix D

Qualitative Fit Test (QLFT) Protocols

[See Section 5144, Appendix A]
§5199. Aerosol Transmissible Diseases.
Note     •     History

Contents

(a) Scope and Application

(b) Definitions

(c) Referring Employers

(d) Aerosol Transmissible Diseases Exposure Control Plan

(e) Engineering and Work Practice Controls and Personal Protective Equipment

(f) Laboratories

(g) Respiratory Protection

(h) Medical Services

(i) Training

(j) Recordkeeping
(a) Scope and Application.
(1) Scope. This section applies to work in the following facilities, service categories, or operations: 
(A) Each of the following health care facilities, services, or operations:
1. Hospitals
2. Skilled nursing facilities
3. Clinics, medical offices, and other outpatient medical facilities
4. Facilities where high hazard procedures, as defined in subsection (b), are performed
5. Home health care
6. Long term health care facilities and hospices
7. Medical outreach services
8. Paramedic and emergency medical services including these services when provided by firefighters and other emergency responders 
9. Medical transport
(B) Facilities, services, or operations that are designated to receive persons arriving from the scene of an uncontrolled release of hazardous substances involving biological agents, as defined in Section 5192, Hazardous Waste Operations and Emergency Response, of these orders.
(C) Police services, provided during transport or detention of persons reasonably anticipated to be cases or suspected cases of aerosol transmissible diseases; and police services provided in conjunction with health care or public health operations. 
(D) Public health services, such as communicable disease contact tracing or screening programs that are reasonably anticipated to be provided to cases or suspected cases of aerosol transmissible diseases, and public health services rendered in health care facilities or in connection with the provision of health care. 
(E) The following facilities, services or operations that are identified as being at increased risk for transmission of aerosol transmissible disease (ATD) infection:
1. Correctional facilities and other facilities that house inmates or detainees
2. Homeless shelters
3. Drug treatment programs
(F) Facilities, services or operations that perform aerosol-generating procedures on cadavers such as pathology laboratories, medical examiners' facilities, coroners' offices, and mortuaries. 
(G) Laboratories that perform procedures with materials that contain or are reasonably anticipated to contain aerosol transmissible pathogens -- laboratory (ATP-L) or zoonotic aerosol transmissible pathogens as defined in Section 5199.1. 
(H) Any other facility, service or operation that has been determined in writing by the Chief of the Division of Occupational Safety and Health through the issuance of an Order to Take Special Action, in accordance with Section 332.3 of these orders, to require application of this standard as a measure to protect employees. 
(I) Maintenance, renovation, service, or repair operations involving air handling systems or equipment or building areas that may reasonably be anticipated to be contaminated with aerosol transmissible pathogens (ATPs) or ATPs-L, including: 
1. Areas in which Airborne Infectious Disease (AirID) cases and suspected cases are treated or housed.
2. Air handling systems that serve airborne infection isolation rooms or areas (AIIRs).
3. Equipment such as laboratory hoods, biosafety cabinets, and ventilation systems that are used to contain infectious aerosols.

NOTES to subsection (a)(1): 
(1) Employers who conduct hazardous waste and emergency response operations, as defined in Section 5192 of these orders, shall also comply with the applicable requirements of Section 5192. 
(2) Occupational exposure to animals infected by aerosol transmissible pathogens which cause human disease are regulated by Section 5199.1 of these orders. 
(2) The following are not covered by this standard:
(A) Outpatient dental clinics or offices are not required to comply with this standard if they meet all of the following conditions: 
1. Dental procedures are not performed on patients identified to them as ATD cases or suspected ATD cases.
2. The Injury and Illness Prevention Program includes a written procedure for screening patients for ATDs that is consistent with current guidelines issued by the Centers for Disease Control and Prevention (CDC) for infection control in dental settings, and this procedure is followed before performing any dental procedure on a patient to determine whether the patient may present an ATD exposure risk.
3. Employees have been trained in the screening procedure in accordance with Section 3203.
4. Aerosol generating dental procedures are not performed on a patient identified through the screening procedure as presenting a possible ATD exposure risk unless a licensed physician determines that the patient does not currently have an ATD. 
(B) Outpatient medical specialty practices whose policy is not to diagnose or treat ATDs are not required to comply with this standard if they meet all of the following conditions: 
1. The medical specialty practice does not perform aerosol-generating procedures on cases or suspected cases of ATD; 
2. The Injury and Illness Prevention Program includes written screening procedures to identify potential ATD cases, and then refer those patients for further evaluation to an appropriate medical provider;
3. Employees have been trained in the screening procedure in accordance with Section 3203.
(3) Application.
(A) Referring Employers. A referring employer is required only to comply with the provisions of subsection (a), subsection (c), including all parts of Section 5199 referred to in subsection (c), and subsection (j). To be a referring employer, the operation, service or facility must conform to each of the following, as indicated:
1. Screen persons for airborne infectious diseases (AirID).
2. Refer any person identified as a case or suspected case of AirID.
3. Not intend to provide further medical services to AirID cases and suspected cases beyond first aid, initial treatment or screening and referral as described in subsections (a)(3)(A)1 and (a)(3)(A)2 immediately above.
4. Not provide transport, housing, or airborne infection isolation (as defined in subsection (b)) to any person identified as an AirID case or suspected case, unless the transport provided is only non-medical transport in the course of a referral.
(B) Laboratories. A laboratory facility or operation in which employees do not have direct contact with cases or suspected cases of ATD or with potentially infected cadavers is required to comply only with the provisions of subsection (a), subsection (f), all provisions of Section 5199 referred to in subsection (f), subsection (i) and subsection (j). 
(C) Work settings, operations, or facilities included within the scope of this standard that are not identified in subsections (a)(3)(A) or (a)(3)(B) shall comply with subsections (a), (d), (e), (f), (g), (h), (i), and (j). 
(4) The employer shall provide all safeguards required by this section, including provision of personal protective equipment, respirators, training, and medical services, at no cost to the employee, at a reasonable time and place for the employee, and during the employee's working hours.
(b) Definitions.
Accredited laboratory. A laboratory that is licensed by the CDPH pursuant to Title 17 of the California Code of Regulations (CCR), or which has received a certification of competence based on participation in a quality assurance program administered by a governmental or private organization that tests and certifies laboratories.
Aerosol transmissible disease (ATD) or aerosol transmissible pathogen (ATP). A disease or pathogen for which droplet or airborne precautions are required, as listed in Appendix A. 
Aerosol transmissible pathogen -- laboratory (ATP-L). A pathogen that meets one of the following criteria: (1) the pathogen appears on the list in Appendix D, (2) the Biosafety in Microbiological and Biomedical Laboratories (BMBL) recommends biosafety level 3 or above for the pathogen, (3) the biological safety officer recommends biosafety level 3 or above for the pathogen, or (4) the pathogen is a novel or unknown pathogen. 
Airborne infection isolation (AII). Infection control procedures as described in Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings. These procedures are designed to reduce the risk of transmission of airborne infectious pathogens, and apply to patients known or suspected to be infected with epidemiologically important pathogens that can be transmitted by the airborne route. 
Airborne infection isolation room or area (AIIR). A room, area, booth, tent, or other enclosure that is maintained at negative pressure to adjacent areas in order to control the spread of aerosolized M. tuberculosis and other airborne infectious pathogens and that meets the requirements stated in subsection (e)(5)(D) of this standard.
Airborne infectious disease (AirID). Either: (1) an aerosol transmissible disease transmitted through dissemination of airborne droplet nuclei, small particle aerosols, or dust particles containing the disease agent for which AII is recommended by the CDC or CDPH, as listed in Appendix A, or (2) the disease process caused by a novel or unknown pathogen for which there is no evidence to rule out with reasonable certainty the possibility that the pathogen is transmissible through dissemination of airborne droplet nuclei, small particle aerosols, or dust particles containing the novel or unknown pathogen.
Airborne infectious pathogen (AirIP). Either: (1) an aerosol transmissible pathogen transmitted through dissemination of airborne droplet nuclei, small particle aerosols, or dust particles containing the infectious agent, and for which the CDC or CDPH recommends AII, as listed in Appendix A, or (2) a novel or unknown pathogen for which there is no evidence to rule out with reasonable certainty the possibility that it is transmissible through dissemination of airborne droplet nuclei, small particle aerosols, or dust particles containing the novel or unknown pathogen.
Biological safety officer(s). A person who is qualified by training and/or experience to evaluate hazards associated with laboratory procedures involving ATPs-L, who is knowledgeable about the facility biosafety plan, and who is authorized by the employer to establish and implement effective control measures for laboratory biological hazards. 
Biosafety level 3. Compliance with the criteria for laboratory practices, safety equipment, and facility design and construction recommended by the CDC in Biosafety in Microbiological and Biomedical Laboratories for laboratories in which work is done with indigenous or exotic agents with a potential for aerosol transmission and which may cause serious or potentially lethal infection. 
Biosafety in Microbiological and Biomedical Laboratories (BMBL). Biosafety in Microbiological and Biomedical Laboratories, Fifth Edition, CDC and National Institutes for Health, 2007, which is hereby incorporated by reference for the purpose of establishing biosafety requirements in laboratories. 
CDC. United States Centers for Disease Control and Prevention.
CDPH. California Department of Public Health and its predecessor, the California Department of Health Services (CDHS). 
Case. Either of the following:
(1) A person who has been diagnosed by a health care provider who is lawfully authorized to diagnose, using clinical judgment or laboratory evidence, to have a particular disease or condition. 
(2) A person who is considered a case of a disease or condition that satisfies the most recent communicable disease surveillance case definitions established by the CDC and published in the Morbidity and Mortality Weekly Report (MMWR) or its supplements. 
Chief. The Chief of the Division of Occupational Safety and Health of the Department of Industrial Relations, or his or her designated representative.
CTCA. The California Tuberculosis Controllers Association. 
Droplet precautions. Infection control procedures as described in Guideline for Isolation Precautions designed to reduce the risk of transmission of infectious agents through contact of the conjunctivae or the mucous membranes of the nose or mouth of a susceptible person with large-particle droplets (larger than 5 mm in size) containing microorganisms generated from a person who has a clinical disease or who is a carrier of the microorganism. 
Drug treatment program. A program that is (A) licensed pursuant to Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code; or Chapter 1 (commencing with Section 11876), Part 3, Article 3, Division 10.5 of the Health and Safety Code; or (B) certified as a substance abuse clinic or satellite clinic pursuant to Section 51200, Title 22, CCR, and which has submitted claims for Medi-Cal reimbursement pursuant to Section 51490.1, Title 22, CCR, within the last two calendar years or (C) certified pursuant to Section 11831.5 of the Health and Safety Code.
Emergency medical services. Medical care provided pursuant to Title 22, Division 9, by employees who are certified EMT-1, certified EMT-II, or licensed paramedic personnel to the sick and injured at the scene of an emergency, during transport, or during interfacility transfer. 
Epidemiology and Prevention of Vaccine-Preventable Diseases. Epidemiology and Prevention of Vaccine-Preventable Diseases. Centers for Disease Control and Prevention, Atkinson W, Hamborsky J, McIntyre L, Wolfe S, eds. 10th ed. 2nd printing, including chapters from the 9th edition on Anthrax and Smallpox, Washington DC: Public Health Foundation, 2008, which is hereby incorporated by reference. 
Exposure incident. An event in which all of the following have occurred: (1) An employee has been exposed to an individual who is a case or suspected case of a reportable ATD, or to a work area or to equipment that is reasonably expected to contain ATPs associated with a reportable ATD; and (2) The exposure occurred without the benefit of applicable exposure controls required by this section, and (3) It reasonably appears from the circumstances of the exposure that transmission of disease is sufficiently likely to require medical evaluation.
Exposure incident (laboratory). A significant exposure to an aerosol containing an ATP-L, without the benefit of applicable exposure control measures required by this section.
Field operation. An operation conducted by employees that is outside of the employer's fixed establishment, such as paramedic and emergency medical services or transport, law enforcement, home health care, and public health.
Guideline for Isolation Precautions. The Guideline for Isolation Precautions: Preventing Transmission of Infectious Agents in Healthcare Settings, June 2007, CDC, which is hereby incorporated by reference for the sole purpose of establishing requirements for droplet and contact precautions.
Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings. The Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings, December 2005, CDC, which is hereby incorporated by reference for the sole purpose of establishing requirements for airborne infection isolation. 
Health care provider. A physician and surgeon, a veterinarian, a podiatrist, a nurse practitioner, a physician assistant, a registered nurse, a nurse midwife, a school nurse, an infection control practitioner, a medical examiner, a coroner, or a dentist. 
Health care worker. A person who works in a health care facility, service or operation, or who has occupational exposure in a public health service described in subsection (a)(1)(D).
High hazard procedures. Procedures performed on a person who is a case or suspected case of an aerosol transmissible disease or on a specimen suspected of containing an ATP-L, in which the potential for being exposed to aerosol transmissible pathogens is increased due to the reasonably anticipated generation of aerosolized pathogens. Such procedures include, but are not limited to, sputum induction, bronchoscopy, aerosolized administration of pentamidine or other medications, and pulmonary function testing. High Hazard Procedures also include, but are not limited to, autopsy, clinical, surgical and laboratory procedures that may aerosolize pathogens.
Individually identifiable medical information. Medical information that includes or contains any element of personal identifying information sufficient to allow identification of the individual, such as the patient's name, address, electronic mail address, telephone number, or social security number, or other information that, alone or in combination with other publicly available information, reveals the individual's identity.
Infection control PLHCP. A PLHCP who is knowledgeable about infection control practices, including routes of transmission, isolation precautions and the investigation of exposure incidents.
Initial treatment. Treatment provided at the time of the first contact a health care provider has with a person who is potentially an AirID case or suspected case. Initial treatment does not include high hazard procedures. 
Laboratory. A facility or operation in a facility where the manipulation of specimens or microorganisms is performed for the purpose of diagnosing disease or identifying disease agents, conducting research or experimentation on microorganisms, replicating microorganisms for distribution or related support activities for these processes. 
Latent TB infection (LTBI). Infection with M. tuberculosis in which bacteria are present in the body, but are inactive. Persons who have LTBI but who do not have TB disease are asymptomatic, do not feel sick and cannot spread TB to other persons. They typically react positively to TB tests.
Local health officer. The health officer for the local jurisdiction responsible for receiving and/or sending reports of communicable diseases, as defined in Title 17, CCR. 

NOTE: Title 17, Section 2500 requires that reports be made to the local health officer for the jurisdiction where the patient resides. 
M. tuberculosis. Mycobacterium tuberculosis complex, which includes M. tuberculosis, M. bovis, M. africanum, and M. microti. M. tuberculosis is the scientific name of the group of bacteria that cause tuberculosis.
Medical specialty practice. A medical practice other than primary care, general practice, or family medicine. 
Negative pressure. A relative air pressure difference between two areas. The pressure in a containment room or area that is under negative pressure is lower than adjacent areas, which keeps air from flowing out of the containment facility and into adjacent rooms or areas. 
NIOSH. The Director of the National Institute for Occupational Safety and Health, CDC, or his or her designated representative.
Non-medical transport. The transportation by employees other than health care providers or emergency medical personnel during which no medical services are reasonably anticipated to be provided. 
Novel or unknown ATP. A pathogen capable of causing serious human disease meeting the following criteria: 
(1) There is credible evidence that the pathogen is transmissible to humans by aerosols; and
(2) The disease agent is:
(a) A newly recognized pathogen, or
(b) A newly recognized variant of a known pathogen and there is reason to believe that the variant differs significantly from the known pathogen in virulence or transmissibility, or 
(c) A recognized pathogen that has been recently introduced into the human population, or 
(d) A not yet identified pathogen. 

NOTE: Variants of the human influenza virus that typically occur from season to season are not considered novel or unknown ATPs if they do not differ significantly in virulence or transmissibility from existing seasonal variants. Pandemic influenza strains that have not been fully characterized are novel pathogens. 
Occupational exposure. Exposure from work activity or working conditions that is reasonably anticipated to create an elevated risk of contracting any disease caused by ATPs or ATPs-L if protective measures are not in place. In this context, “elevated” means higher than what is considered ordinary for employees having direct contact with the general public outside of the facilities, service categories and operations listed in subsection (a)(1) of this standard. Occupational exposure is presumed to exist to some extent in each of the facilities, services and operations listed in subsection (a)(1)(A) through (a)(1)(I). Whether a particular employee has occupational exposure depends on the tasks, activities, and environment of the employee, and therefore, some employees of a covered employer may have no occupational exposure. For example, occupational exposure typically does not exist where a hospital employee works only in an office environment separated from patient care facilities, or works only in other areas separate from those where the risk of ATD transmission, whether from patients or contaminated items, would be elevated without protective measures. It is the task of employers covered by this standard to identify those employees who have occupational exposure so that appropriate protective measures can be implemented to protect them as required. Employee activities that involve having contact with, or being within exposure range of cases or suspected cases of ATD, are always considered to cause occupational exposure. Similarly, employee activities that involve contact with, or routinely being within exposure range of, populations served by facilities identified in subsection (a)(1)(E) are considered to cause occupational exposure. Employees working in laboratory areas in which ATPs-L are handled or reasonably anticipated to be present are also considered to have occupational exposure. 
Physician or other licensed health care professional (PLHCP) means an individual whose legally permitted scope or practice (i.e., license, registration, or certification) allows him or her to independently provide, or be delegated the responsibility to provide, some or all of the health care services required by this section.
Public health guidelines. (1) In regards to tuberculosis, applicable guidelines published by the CTCA and/or CDPH as follows, which are hereby incorporated by reference: 
(A) Guidelines for Tuberculosis (TB) Screening and Treatment of Patients with Chronic Kidney Disease (CKD), Patients Receiving Hemodialysis (HD), Patients Receiving Peritoneal Dialysis (PD), Patients Undergoing Renal Transplantation and Employees of Dialysis Facilities, May 18, 2007.
(B) Guidelines for the Treatment of Active Tuberculosis Disease, April 15, 2003 including related material: Summary of Differences Between 2003 California and National Tuberculosis Treatment Guidelines, 2004, Amendment to Joint CDHS/CTCA Guidelines for the Treatment of Active Tuberculosis Disease, May 12, 2006, Appendix 3 -- Algorithm for MDR-TB Cases and Hospital Discharge, May 12, 2006.
(C) Targeted Testing and Treatment of Latent Tuberculosis Infection in Adults and Children, May 12, 2006.
(D) California Tuberculosis Controllers Association Position Statement: The Utilization of QuantiFERON -- TB Gold in California, May 18, 2007.
(E) Guidelines for Mycobacteriology Services in California, April 11, 1997.
(F) Guidelines for the Placement or Return of Tuberculosis Patients into High Risk Housing, Work, Correctional, or In-Patient Settings, April 11, 1997.
(G) Contact Investigation Guidelines, November 12, 1998. 
(H) Source Case Investigation Guidelines, April 27, 2001. 
(I) Guidelines on Prevention and Control of Tuberculosis in California Long-Term Health Care Facilities, October 2005.
(J) Guidelines for Reporting Tuberculosis Suspects and Cases in California, October 1997. 
(K) CTCA recommendations for serial TB testing of Health Care Workers (CA Licensing and Certification), September 23, 2008.
(2) In regards to vaccine-preventable diseases, the publication cited in the definition of Epidemiology and Prevention of Vaccine-Preventable Diseases. 
(3) In regards to any disease or condition not addressed by the above guidelines, recommendations made by the CDPH or the local health officer pursuant to authority granted under the Health and Safety Code and/or Title 17, California Code of Regulations. 
Referral. The directing or transferring of a possible ATD case to another facility, service or operation for the purposes of transport, diagnosis, treatment, isolation, housing or care. 
Referring employer. Any employer that operates a facility, service, or operation in which there is occupational exposure and which refers AirID cases and suspected cases to other facilities. Referring facilities, services and operations do not provide diagnosis, treatment, transport, housing, isolation or management to persons requiring AII. General acute care hospitals are not referring employers. Law enforcement, corrections, public health, and other operations that provide only non-medical transport for referred cases are considered referring employers if they do not provide diagnosis, treatment, housing, isolation or management of referred cases.
Reportable aerosol transmissible disease (RATD). A disease or condition which a health care provider is required to report to the local health officer, in accordance with Title 17 CCR, Division 1, Chapter 4, and which meets the definition of an aerosol transmissible disease (ATD). 
Respirator. A device which has met the requirements of 42 CFR Part 84, has been designed to protect the wearer from inhalation of harmful atmospheres, and has been approved by NIOSH. for the purpose for which it is used.
Respirator user. An employee who in the scope of their current job may be assigned to tasks which may require the use of a respirator, in accordance with subsection (g).
Respiratory Hygiene/Cough Etiquette in Health Care Settings. Respiratory Hygiene/Cough Etiquette in Health Care Settings, CDC, November 4, 2004, which is hereby incorporated by reference for the sole purpose of establishing requirements for source control procedures.
Screening (health care provider). The initial assessment of persons who are potentially AirID or ATD cases by a health care provider in order to determine whether they need airborne infection isolation or need to be referred for further medical evaluation or treatment to make that determination. Screening does not include high hazard procedures.
Screening (non health care provider). The identification of potential ATD cases through readily observable signs and the self-report of patients or clients. Screening does not include high hazard procedures. 
Significant exposure. An exposure to a source of ATPs or ATPs-L in which the circumstances of the exposure make the transmission of a disease sufficiently likely that the employee requires further evaluation by a PLHCP.
Source control measures. The use of procedures, engineering controls, and other devices or materials to minimize the spread of airborne particles and droplets from an individual who has or exhibits signs or symptoms of having an ATD, such as persistent coughing. 
Surge. A rapid expansion beyond normal services to meet the increased demand for qualified personnel, medical care, equipment, and public health services in the event of an epidemic, public health emergency, or disaster. 
Susceptible person. A person who is at risk of acquiring an infection due to a lack of immunity as determined by a PLHCP in accordance with applicable public health guidelines.
Suspected case. Either of the following:
(1) A person whom a health care provider believes, after weighing signs, symptoms, and/or laboratory evidence, to probably have a particular disease or condition listed in Appendix A.
(2) A person who is considered a probable case, or an epidemiologically-linked case, or who has supportive laboratory findings under the most recent communicable disease surveillance case definition established by CDC and published in the Morbidity and Mortality Weekly Report (MMWR) or its supplements as applied to a particular disease or condition listed in Appendix A.
TB conversion. A change from negative to positive as indicated by TB test results, based upon current CDC or CDPH guidelines for interpretation of the TB test
Test for tuberculosis infection (TB test). Any test, including the tuberculin skin test and blood assays for M. Tuberculosis (BAMT) such as interferon gamma release assays (IGRAs) which: (1) has been approved by the Food and Drug Administration for the purposes of detecting tuberculosis infection, and (2) is recommended by the CDC for testing for TB infection in the environment in which it is used, and (3) is administered, performed, analyzed and evaluated in accordance with those approvals and guidelines. 

NOTE: Where surveillance for LTBI is required by Title 22, CCR, the TB test must be approved for this use by the CDPH.
Tuberculosis (TB). A disease caused by M. tuberculosis.
UVGI. Ultraviolet germicidal irradiation.
(c) Referring Employers. In facilities, services, or operations in which there is occupational exposure and which meet the criteria specified by (a)(3)(A), employers are only required to comply with the following provisions: 
(1) The employer shall designate a person as the administrator who will be responsible for the establishment, implementation and maintenance of effective written infection control procedures to control the risk of transmission of aerosol transmissible diseases. The administrator shall have the authority to perform this function and shall be knowledgeable in infection control principles as they apply specifically to the facility, service or operation. The administrator shall also identify in writing the job categories in which employees have occupational exposure to ATDs. When the administrator is not on site, there shall be a designated person with full authority to act on his or her behalf. The infection control procedures shall include procedures for the cleaning and disinfection of work areas, vehicles, and equipment that may become contaminated with ATPs and pose an infection risk to employees. The written procedures shall be available at the worksite.
(2) The employer shall establish, implement, and maintain effective written source control procedures. For fixed health care and correctional facilities, and in other facilities, services, and operations to the extent reasonably practicable, these procedures shall incorporate the recommendations contained in the Respiratory Hygiene/Cough Etiquette in Health Care Settings. These procedures shall include the method of informing persons with whom employees will have contact of the employer's source control measures.
(3) The employer shall establish, implement, and maintain effective written procedures for the screening and referral of cases and suspected cases of AirIDs to appropriate facilities. 
(A) Transfers shall occur within 5 hours of the identification of the case or suspected case, unless:
(1) the initial encounter with the case or suspected case occurs after 3:30 p.m. and prior to 7 a.m., in which event the employer shall ensure that transfer occurs no later than 11:00 a.m.; or
(2) the employer has contacted the local health officer, determined that there is no facility that can provide appropriate AII, and complied with all of the conditions in (e)(5)(B)2.; or 
(3) the case meets the conditions of either of the exceptions to subsection (e)(5)(B). 
(B) When screening is provided by persons who are not health care providers, the employer shall meet the requirements of this section by establishing criteria and procedures for referral of persons to a health care provider for further evaluation within the timeframes in subsection (c)(3)(A). Referrals shall be provided to persons who do any of the following:
1. Have a cough for more than three weeks that is not explained by non-infectious conditions.
2. Exhibit signs and symptoms of a flu-like illness during March through October, the months outside of the typical period for seasonal influenza, or exhibit these signs and symptoms for a period longer than two weeks at any time during the year. These signs and symptoms generally include combinations of the following: coughing and other respiratory symptoms, fever, sweating, chills, muscle aches, weakness and malaise. 
3. State that they have a transmissible respiratory disease, excluding the common cold and seasonal influenza.
4. State that they have been exposed to an infectious ATD case, other than seasonal influenza.

NOTES to subsection (c)(3): 
1. Seasonal influenza does not require referral.
2. Appendix F contains sample criteria for screening that may be adopted by employers in non-medical settings for the purpose of meeting the requirements of this subsection. 
(4) The employer shall establish, implement, and maintain effective written procedures to communicate with employees, other employers, and the local health officer regarding the suspected or diagnosed infectious disease status of referred patients. These shall include procedures to receive information from the facility to which patients were referred and to provide necessary infection control information to employees who were exposed to the referred person. 
(5) The employer shall establish, implement and maintain effective written procedures to reduce the risk of transmission of aerosol transmissible disease, to the extent feasible, during the period the person requiring referral is in the facility or is in contact with employees. In addition to source control measures, these procedures shall include, to the extent feasible:
(A) placement of the person requiring referral in a separate room or area;
(B) provision of separate ventilation or filtration in the room or area; and 
(C) employee use of respiratory protection when entering the room or area in which the person requiring referral is located, if that person is not compliant with source control measures. Respirator use shall meet the requirements of subsection (g) and Section 5144, Respiratory Protection, of these orders.
Exception to subsection (c)(5)(C): Law enforcement or corrections personnel who transport a person requiring referral in a vehicle need not use respiratory protection if all of the following conditions are met: 
i. A solid partition separates the passenger area from the area where employees are located; 
ii. The employer implements written procedures that specify the conditions of operation, including the operation of windows and fans; 
iii. The employer tests (e.g., by the use of smoke tubes) the airflow in a representative vehicle (of the same model, year of manufacture, and partition design) under the specified conditions of operation, and finds that there is no detectable airflow from the passenger compartment to the employee area; 
iv. The employer records the results of the tests and maintains the results in accordance with subsection (j)(3)(F); and
v. The person performing the test is knowledgeable about the assessment of ventilation systems.
(6) The employer shall establish a system of medical services for employees which meets the following requirements:
(A) The employer shall make available to all health care workers with occupational exposure all vaccinations recommended by the CDPH as listed in Appendix E in accordance with subsection (h). These vaccinations shall be provided by a PLHCP at a reasonable time and place for the employee. 
(B) The employer shall develop, implement, and maintain effective written procedures for exposure incidents in accordance with subsections (h)(6) through (h)(9).
(C) The employer shall establish, implement, and maintain an effective surveillance program for LTBI in accordance with subsections (h)(3) and (h)(4).
(D) The employer shall establish, implement, and maintain effective procedures for providing vaccinations against seasonal influenza to all employees with occupational exposure, in accordance with subsection (h)(10). 
Exception to subsection (c)(6)(D): Seasonal influenza vaccine shall be provided during the period designated by the CDC for administration and need not be provided outside of those periods. 
(7) Employers shall ensure that all employees with occupational exposure participate in a training program. Training shall be provided at the time of initial assignment to tasks where occupational exposure may take place and at least annually thereafter. Additional training shall be provided when there are changes in the workplace or when there are changes in procedures that could affect worker exposure to ATPs. The person conducting the training shall be knowledgeable in the subject matter covered by the training program as it relates to the workplace. Training material appropriate in content and vocabulary to the educational level, literacy, and language of employees shall be used. This training shall include:
(A) A general explanation of ATDs including the signs and symptoms that require further medical evaluation;
(B) Screening methods and criteria for persons who require referral;
(C) The employer's source control measures and how these measures will be communicated to persons the employees contact;
(D) The employer's procedures for making referrals in accordance with subsection (c)(3); 
(E) The employer's procedures for temporary risk reduction measures prior to transfer;
(F) Training in accordance with subsection (g) and Section 5144 of these orders, when respiratory protection is used;
(G) The employer's medical services procedures in accordance with subsection (h), the methods of reporting exposure incidents, and the employer's procedures for providing employees with post-exposure evaluation; 
(H) Information on vaccines the employer will make available, including the seasonal influenza vaccine. For each vaccine, this information shall include the efficacy, safety, method of administration, the benefits of being vaccinated, and that the vaccine and vaccination will be offered free of charge; 
(I) How employees can access the employer's written procedures and how employees can participate in reviewing the effectiveness of the employer's procedures in accordance with subsection (c)(8); and
(J) An opportunity for interactive questions and answers with a person who is knowledgeable in the subject matter as it relates to the workplace that the training addresses and who is also knowledgeable in the employer's infection control procedures. Training not given in person shall provide for interactive questions to be answered within 24 hours by a knowledgeable person.
(8) The employer shall ensure that the infection control procedures are reviewed at least annually by the administrator and by employees regarding the effectiveness of the program in their respective work areas, and that deficiencies found are corrected. 
(9) The employer shall establish and maintain training records, vaccination records, records of exposure incidents, and records of inspection, testing, and maintenance of non-disposable engineering controls, in accordance with subsection (j). If the employer utilizes respirators, the employer shall maintain records of implementation of the Respiratory Protection Program in accordance with Section 5144, Respiratory Protection, of these orders.
(d) Aerosol Transmissible Diseases Exposure Control Plan.
(1) The employer shall establish, implement, and maintain an effective, written ATD Exposure Control Plan (Plan) which is specific to the work place or operation(s), and which contains all of the elements in subsection (d)(2). 
Exception to subsection (d)(1): Employers with laboratory operations in which employees do not have direct patient contact may establish, implement and maintain an effective, written Biosafety Plan meeting the requirements of subsection (f) in lieu of an Exposure Control Plan for those operations.
(2) The Plan shall contain all of the following elements:
(A) The name(s) or title(s) of the person(s) responsible for administering the Plan. This person shall be knowledgeable in infection control principles and practices as they apply to the facility, service or operation. 
(B) A list of all job classifications in which employees have occupational exposure.
(C) A list of all high hazard procedures performed in the facility, service or operation, and the job classifications and operations in which employees are exposed to those procedures. 
(D) A list of all assignments or tasks requiring personal or respiratory protection. 
(E) The methods of implementation of subsections (e), (g), (h), (i) and (j) as they apply to that facility, service or work operation. Specific control measures shall be listed for each operation or work area in which occupational exposure occurs. These measures shall include applicable engineering and work practice controls, cleaning and decontamination procedures, and personal protective equipment and respiratory protection. In establishments where the Plan pertains to laboratory operations, it also shall contain the methods of implementation for subsection (f), unless those operations are included in a Biosafety Plan. 
(F) A description of the source control measures to be implemented in the facility, service or operation, and the method of informing people entering the work setting of the source control measures.
(G) The procedures the employer will use to identify, temporarily isolate, and refer or transfer AirID cases or suspected cases to AII rooms, areas or facilities. These procedures shall include the methods the employer will use to limit employee exposure to these persons during periods when they are not in airborne infection isolation rooms or areas. These procedures shall also include the methods the employer will use to document medical decisions not to transfer patients in need of AII in accordance with subsection (e)(5)(B). 
(H) The procedures the employer will use to provide medical services, including recommended vaccinations and follow-up, as required in subsection (h). This shall include the procedures the employer will use to document the lack of availability of a recommended vaccine.
(I) The procedures for employees and supervisors to follow in the event of an exposure incident, including how the employer will determine which employees had a significant exposure, in accordance with subsections (h)(6) through (h)(9). 
(J) The procedures the employer will use to evaluate each exposure incident, to determine the cause, and to revise existing procedures to prevent future incidents. 
(K) The procedures the employer will use to communicate with its employees and other employers regarding the suspected or confirmed infectious disease status of persons to whom employees are exposed in the course of their duties, in accordance with subsection (h). 
(L) The procedures the employer will use to communicate with other employers regarding exposure incidents, including procedures for providing or receiving notification to and from health care providers about the disease status of referred or transferred patients, in accordance with subsection (h).
(M) The procedures the employer will use to ensure that there is an adequate supply of personal protective equipment and other equipment necessary to minimize employee exposure to ATPs, in normal operations and in foreseeable emergencies. 
(N) The procedures the employer will use to provide initial and annual training in accordance with subsection (i) to employees in job categories identified in subsection (d)(2)(B). 
(O) The procedures the employer will use for recordkeeping, in accordance with subsection (j). 
(P) An effective procedure for obtaining the active involvement of employees in reviewing and updating the exposure control plan with respect to the procedures performed in their respective work areas or departments in accordance with subsection (d)(3). 
(Q) Surge procedures. Employers of employees who are designated to provide services in surge conditions, and employers of employees who are designated to provide services to persons who have been contaminated as the result of a release of a biological agent as described in subsection (a)(1)(B), shall include procedures for these activities in the plan. The plan shall include work practices, decontamination facilities, and appropriate personal protective equipment and respiratory protection for such events. The procedures shall include how respiratory and personal protective equipment will be stockpiled, accessed or procured, and how the facility or operation will interact with the local and regional emergency plan. 
(3) The ATD Plan shall be reviewed at least annually by the program administrator, and by employees regarding the effectiveness of the program in their respective work areas. Deficiencies found shall be corrected. The review(s) shall be documented in writing, in accordance with subsection (j)(3)(A). 
(4) The Plan shall be made available to employees, employee representatives, the Chief and NIOSH for examination and copying, in accordance with subsection (j)(4). 
(e) Engineering and Work Practice Controls, and Personal Protective Equipment. 
(1) General. Employers shall use feasible engineering and work practice controls to minimize employee exposures to ATPs. Where engineering and work practice controls do not provide sufficient protection (e.g., when an employee enters an AII room or area) the employer shall provide, and ensure that employees use, personal protective equipment, and shall provide respiratory protection in accordance with subsection (g) to control exposures to AirIPs. 
(A) Work practices shall be implemented to prevent or minimize employee exposures to airborne, droplet, and contact transmission of aerosol transmissible pathogens (ATP), in accordance with Appendix A, and where not addressed by Appendix A, in accordance with the Guideline for Isolation Precautions. Droplet and contact precautions shall be in accordance with Guideline for Isolation Precautions. Airborne precautions shall be in accordance with Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings. 

NOTE: These work practices may include, but are not limited to; handwashing and gloving procedures; the use of anterooms; and cleaning and disinfecting contaminated surfaces, articles and linens. 
(B) Each employer shall implement written source control procedures. For fixed health care and correctional facilities, and in field operations to the extent that it is reasonably practicable, these procedures shall incorporate the recommendations contained in the Respiratory Hygiene/Cough Etiquette in Health Care Settings. The procedures shall include methods to inform individuals entering the facility, being transported by employees, or otherwise in close contact with employees, of the source control practices implemented by the employer. 
(C) Employers shall develop and implement engineering and work practice controls to protect employees who operate, use, or maintain vehicles that transport persons who are ATD cases or suspected cases. The employer shall give consideration to implementing barriers and air handling systems, where feasible. Employers shall document the results and the basis for the results of their consideration process. These control measures shall be included in the annual review of the Plan, in accordance with subsection (d)(3).
(2) The employer shall develop and implement effective written decontamination procedures, including appropriate engineering controls, for the cleaning and decontamination of work areas, vehicles, personal protective equipment, and other equipment.
(3) The employer shall provide information about infectious disease hazards to any contractor who provides temporary or contract employees who may be reasonably anticipated to have occupational exposure so that the contractors can institute precautions to protect their employees.
(4) Engineering controls shall be used in workplaces that admit, house, or provide medical services to AirID cases or suspected cases, except in settings where home health care or home-based hospice care is being provided. 
(5) AirID cases or suspected cases shall be identified, and except in field operations and in settings where home health care or home-based hospice care is being provided, these individuals shall be:
(A) Provided with disposable tissues and hand hygiene materials and masked or placed in such a manner that contact with employees who are not wearing respiratory protection is eliminated or minimized until transfer or placement in an AII room or area can be accomplished and; 
(B) Placed in an AII room or area or transferred to a facility with AII rooms or areas. The employer shall ensure that this placement or transfer is effected in a timely manner.
1. Transfers within facility. Transfers to airborne infection isolation rooms or areas within the facility shall occur within 5 hours of identification. If there is no AII room or area available within this time, the employer shall transfer the individual to another suitable facility in accordance with subsection (e)(5)(B)2.
2. Transfers to other facilities. Transfers to other facilities shall occur within 5 hours of identification, unless the employer documents, at the end of the 5-hour period, and at least every 24 hours thereafter, each of the following:
a. The employer has contacted the local health officer.
b. There is no AII room or area available within that jurisdiction. 
c. Reasonable efforts have been made to contact establishments outside of that jurisdiction, as provided in the Plan.
d. All applicable measures recommended by the local health officer or the Infection Control PLHCP have been implemented.
e. All employees who enter the room or area housing the individual are provided with, and use, appropriate personal protective equipment and respiratory protection in accordance with subsection (g) and Section 5144, Respiratory Protection of these orders. 
Exceptions to subsection (e)(5)(B): 
(1) Where the treating physician determines that transfer would be detrimental to a patient's condition, the patient need not be transferred. In that case the facility shall ensure that employees use respiratory protection when entering the room or area housing the individual. The patient's condition shall be reviewed at least every 24 hours to determine if transfer is safe, and the determination shall be recorded as described in the Plan in accordance with (d)(2)(G). Once transfer is determined to be safe, transfer must be made within the time period set forth in subsection (e)(5)(B).
(2) Where it is not feasible to provide AII rooms or areas to individuals suspected or confirmed to be infected with or carriers of novel or unknown ATPs, the employer shall provide other effective control measures to reduce the risk of transmission to employees, which shall include the use of respiratory protection in accordance with subsection (g) and Section 5144, Respiratory Protection of these orders. 
(C) High-hazard procedures shall be conducted in AII rooms or areas, such as a ventilated booth or tent. Persons not performing the procedures shall be excluded from the area, unless they use the respiratory and personal protective equipment required for employees performing these procedures.

EXCEPTION to subsection (e)(5)(C): Where no AII room or area is available and the treating physician determines that it would be detrimental to the patient's condition to delay performing the procedure, high hazard procedures may be conducted in other areas. In that case, employees working in the room or area where the procedure is performed shall use respiratory protection, in accordance with subsection (g) and Section 5144, Respiratory Protection of these orders, and shall use all necessary personal protective equipment.
(D) Specific requirements for AII rooms and areas.
1. Hospital isolation rooms constructed in conformance with Title 24, California Code of Regulations, Section 417, et seq., and which are maintained to meet those requirements shall be considered to be in compliance with subsection (e)(5)(D)2.
2. Negative pressure shall be maintained in AII rooms or areas. The ventilation rate shall be 12 or more air changes per hour (ACH). The required ventilation rate may be achieved in part by using in-room high efficiency particulate air (HEPA) filtration or other air cleaning technologies, but in no case shall the outdoor air supply ventilation rate be less than six ACH. Hoods, booths, tents and other local exhaust control measures shall comply with Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings.
3. Negative pressure shall be visually demonstrated by smoke trails or equally effective means daily while a room or area is in use for AII. 
4. Engineering controls shall be maintained, inspected and performance monitored for exhaust or recirculation filter loading and leakage at least annually, whenever filters are changed, and more often if necessary to maintain effectiveness. Where UVGI is used, it shall be used, maintained, inspected and controlled in accordance with Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings. Problems found shall be corrected in a reasonable period of time. If the problem(s) prevent the room from providing effective AII, then the room shall not be used for that purpose until the condition is corrected. 
5. Ventilation systems for AII rooms or areas shall be constructed, installed, inspected, operated, tested, and maintained in accordance with Section 5143, General Requirements of Mechanical Ventilation Systems, of these orders. Inspections, testing and maintenance shall be documented in writing, in accordance with subsection (j)(3)(F). 
6. Air from AII rooms or areas, and areas that are connected via plenums or other shared air spaces shall be exhausted directly outside, away from intake vents, employees, and the general public. Air that cannot be exhausted in such a manner or that must be recirculated must pass through HEPA filters before discharge or recirculation. 
7. Ducts carrying air that may reasonably be anticipated to contain aerosolized M. tuberculosis or other AirIP shall be maintained under negative pressure for their entire length before in-duct HEPA filtration or until the ducts exit the building for discharge.
8. Doors and windows of AII rooms or areas shall be kept closed while in use for airborne infection isolation, except when doors are opened for entering or exiting and when windows are part of the ventilation system being used to achieve negative pressure.
9. When a case or suspected case vacates an AII room or area, the room or area shall be ventilated according to Table 1 in the Guidelines for Preventing the Transmission of Mycobacterium tuberculosis in Health-Care Settings for a removal efficiency of 99.9 % before permitting employees to enter without respiratory protection.
(f) Laboratories. 
(1) This subsection applies to laboratory operations where employees perform procedures capable of aerosolizing ATPs-L. 

NOTE: Employers with laboratory operations in which employees have direct contact with cases or suspected cases are also required to comply with applicable portions of subsections (d), (e), (g), (h), (i) and (j). 
(2) The biological safety officer shall perform a risk assessment in accordance with the methodology included in Section II of the BMBL for each agent and procedure involving the handling of ATPs-L. The biosafety officer shall record the safe practices required for each evaluated agent/procedure in the Biosafety Plan. 
(3) The employer shall implement feasible engineering and work practice controls, in accordance with the risk assessment performed in subsection (f)(2), to minimize employee exposures to ATPs-L. Where exposure still remains after the institution of engineering and work practice controls, the employer shall provide, and ensure that employees use, personal protective equipment and, where necessary to control exposure, respiratory protection. Control measures shall be consistent with the recommendations in BMBL. 
(4) Biosafety Plan (BSP). The employer shall establish, implement, and maintain an effective written Biosafety Plan to minimize employee exposures to ATPs-L that may be transmitted by laboratory aerosols. The BSP may be incorporated into an existing Exposure Control Plan for bloodborne pathogens or an ATD Exposure Control Plan as described in subsection (d), and shall do all of the following: 
(A) Identify a biological safety officer(s) with the necessary knowledge, authority and responsibility for implementing the BSP. 
(B) Include a list of all job classifications in which all or some employees have occupational exposure, and a list of all tasks and procedures in which employees have occupational exposure. 
(C) Include a list of ATPs-L known or reasonably expected to be present in laboratory materials and the applicable biosafety measures. 
(D) Include a requirement that all incoming materials containing ATPs-L are to be treated as containing the virulent or wild-type pathogen, until procedures have been conducted at the laboratory to verify that a pathogen has been deactivated or attenuated. 
(E) Identify and describe the use of engineering controls, including containment equipment and procedures, to be used to minimize exposure to infectious or potentially infectious laboratory aerosols. 
(F) Establish safe handling procedures and prohibit practices, such as sniffing in vitro cultures, that may increase employee exposure to infectious agents. 
(G) Establish effective decontamination and disinfection procedures for laboratory surfaces and equipment.
(H) Identify and describe the use of the appropriate personal protective equipment to be used to minimize exposure to infectious or potentially infectious laboratory aerosols. 
(I) Identify any operations or conditions in which respiratory protection will be required. The use of respiratory protection shall be in accordance with subsection (g) and Section 5144 of these orders. 
(J) Establish emergency procedures for uncontrolled releases within the laboratory facility and untreated releases outside the laboratory facility. These procedures shall include effective means of reporting such incidents to the local health officer. 
(K) Include a medical services program consistent with subsection (h), including the provision of all vaccinations as recommended by applicable public health guidelines for the specific laboratory operations, and the methods for providing investigation and medical follow up for exposure incidents (laboratory). 

EXCEPTION to subsection (f)(4)(K): Research and production laboratories in which it is not reasonably anticipated that materials containing M. Tuberculosis will be present need not provide surveillance for LTBI.
(L) Include procedures for communication of hazards and employee training that complies with subsection (i). This shall include training in the employer's Biosafety Plan and emergency procedures. 
(M) Include an effective procedure for obtaining the active involvement of employees in reviewing and updating the Biosafety Plan with respect to the procedures performed by employees in their respective work areas or departments on an annual (or more frequent) basis.
(N) Include procedures for the biological safety officer(s) to review plans for facility design and construction that will affect the control measures for ATPs-L. 
(O) Include procedures for inspection of laboratory facilities, including an audit of biosafety procedures. These inspections shall be performed at least annually. Hazards found during the inspection, and actions taken to correct hazards, shall be recorded. 
(5) Recordkeeping shall be in accordance with subsection (j). 
(g) Respiratory Protection. 
(1) Respirators provided for compliance with this section shall be approved by NIOSH for the purpose for which they are used. 
(2) Each employer who has any employee whose occupational exposure is based on entering any of the work settings or performing any of the tasks described in subsection (g)(4) shall establish, implement and maintain an effective written respiratory protection program that meets the requirements of Section 5144 of these orders, except as provided in subsections (g)(5) and (g)(6). 

NOTE to subsection (g)(2): The respiratory protection program may be incorporated into the ATD Exposure Control Plan or the Biosafety Plan. 
(3) Respirator selection.
(A) Where respirator use is required for protection against potentially infectious aerosols and is not required to meet the requirements of subsections (g)(3)(B) or (g)(3)(C), the employer shall provide a respirator that is at least as effective as an N95 filtering facepiece respirator, unless the employer's evaluation of respiratory hazards determines that a more protective respirator is necessary, in which case the more protective respirator shall be provided. 
(B) Effective September 1, 2010, the employer shall provide a powered air purifying respirator (PAPR) with a High Efficiency Particulate Air (HEPA) filter(s), or a respirator providing equivalent or greater protection, to employees who perform high hazard procedures on AirID cases or suspected cases and to employees who perform high hazard procedures on cadavers potentially infected with ATPs, unless the employer determines that this use would interfere with the successful performance of the required task or tasks. This determination shall be documented in accordance with the ATD Plan and shall be reviewed by the employer and employees at least annually in accordance with subsection (d)(3). 

EXCEPTION 1 to subsection (g)(3)(B): Where a high hazard procedure is performed by placing the patient in a booth, hood or other ventilated enclosure that effectively contains and removes the aerosols resulting from the procedure, and the employee remains outside of the enclosure, the employee may use a respirator meeting the requirements of subsection (g)(3)(A). 

EXCEPTION 2 to subsection (g)(3)(B): Paramedics and other emergency medical personnel in field operations may use a P100 respirator in lieu of a PAPR. 
(C) Respirators used in laboratory operations to protect against infectious aerosols shall be selected in accordance with the risk assessment and biosafety plan, in accordance with subsection (f). 
(D) Where respirators are necessary to protect the user from other hazards, including the uncontrolled release of microbiological spores, or exposure to chemical or radiologic agents, respirator selection shall also be made in accordance with Sections 5144, Respiratory Protection, and 5192, Hazardous Waste and Emergency Response Operations, of these orders, as applicable. 
(4) The employer shall provide, and ensure that employees use, a respirator selected in accordance with subsection (g)(3) and Section 5144 when the employee:
(A) Enters an AII room or area in use for AII; 
(B) Is present during the performance of procedures or services for an AirID case or suspected case; 
(C) Repairs, replaces, or maintains air systems or equipment that may contain or generate aerosolized pathogens; 
(D) Is working in an area occupied by an AirID case or suspected case, during decontamination procedures after the person has left the area and as required by subsection (e)(5)(D)9; 
(E) Is working in a residence where an AirID case or suspected case is known to be present;
(F) Is present during the performance of aerosol generating procedures on cadavers that are suspected of, or confirmed as, being infected with aerosol transmissible pathogens; 
(G) Is performing a task for which the Biosafety Plan or Exposure Control Plan requires the use of respirators; or
(H) Transports an AirID case or suspected case within the facility or in an enclosed vehicle (e.g., van, car, ambulance or helicopter) when the patient is not masked.

EXCEPTIONS to subsection (g)(4)(H): 
(1) The employer shall not require or permit respirator use when an employee is operating a helicopter or other vehicle and the respirator may interfere with the safe operation of that vehicle. When employees do not use respirators, the employer shall provide other means of protection such as barriers or source control measures, where feasible.
(2) Law enforcement or corrections personnel who transport an airborne infectious disease case or suspected case in a vehicle need not use respiratory protection if all of the following conditions are met: 
i. A solid partition separates the passenger area from the area where employees are located; 
ii. The employer implements written procedures that specify the conditions of operation, including the operation of windows and fans; 
iii. The employer tests (for example by the use of smoke tubes) the airflow in a representative vehicle (of the same model, year of manufacture, and partition design) under the specified conditions of operation, and finds that there is no detectable airflow from the passenger compartment to the employee area; 
iv. The employer records and maintains the results, in accordance with subsection (j)(3)(F); and
v. The person performing the test is knowledgeable about the assessment of air handling systems.
(5) Medical evaluation: The employer shall provide a medical evaluation, in accordance with Section 5144(e) of these orders, to determine the employee's ability to use a respirator before the employee is fit tested or required to use the respirator. For employees who use respirators solely for compliance with subsections (g)(3)(A) and (g)(3)(B), the alternate questionnaire in Appendix B may be used. 
(6) Fit testing. 
(A) The employer shall perform either quantitative or qualitative fit tests in accordance with the procedures outlined in Appendix A of Section 5144, Respiratory Protection, of these orders. The fit test shall be performed on the same size, make, model and style of respirator as the employee will use. When quantitative fit testing is performed, the employer shall not permit an employee to wear a filtering facepiece respirator or other half-facepiece respirator, unless a minimum fit factor of one hundred (100) is obtained. When fit testing single use respirators, a new respirator shall be used for each employee.
(B) The employer shall ensure that each employee who is assigned to use a filtering facepiece or other tight-fitting respirator passes a fit test:
1. At the time of initial fitting;
2. When a different size, make, model or style of respirator is used; and
3. At least annually thereafter.

EXCEPTION to subsection (g)(6)(B)3: Until January 1, 2014, employers may increase the interval for repeat fit testing to no more than two years for employees who do not perform high hazard procedures and are not using respirators for protection against laboratory generated aerosols. Employers shall provide to each employee who is not fit-tested within the previous 12 months a respirator fit-test screening that includes the information in Appendix G, and that obtains a response to the questions included in Appendix G. As of January 1, 2015, an employee who uses a respirator under this section shall have been fit-tested within the previous 12 months. 
(C) The employer shall conduct an additional fit test when the employee reports, or the employer, PLHCP, supervisor, or program administrator makes visual observations of changes in the employee's physical condition that could affect respirator fit. Such conditions include, but are not limited to, facial scarring, dental changes, cosmetic surgery, or an obvious change in body weight. 
(D) If, after passing a fit test, the employee subsequently notifies the employer, program administrator, supervisor, or PLHCP that the fit of the respirator is unacceptable, the employee shall be given a reasonable opportunity to select a different respirator facepiece and to be retested. 
(7) The employer shall ensure that each respirator user is provided with initial and annual training in accordance with Section 5144, Respiratory Protection of these orders.
(h) Medical Services.
(1) Each employer who has any employee with occupational exposure shall provide the employee with medical services for tuberculosis and other ATDs, and infection with ATPs and ATPs-L, in accordance with applicable public health guidelines, for the type of work setting and disease. When an employer is also acting as the evaluating health care professional, the employer shall advise the employee following an exposure incident that the employee may refuse to consent to vaccination, post-exposure evaluation and follow-up from the employer-health care professional. When consent is refused, the employer immediately shall make available a confidential vaccination, medical evaluation or follow-up from a PLHCP other than the exposed employee's employer. 
(2) Medical services, including vaccinations, tests, examinations, evaluations, determinations, procedures, and medical management and follow-up, shall be:
(A) Performed by or under the supervision of a PLHCP; 
(B) Provided according to applicable public health guidelines; and 
(C) Provided in a manner that ensures the confidentiality of employees and patients. Test results and other information regarding exposure incidents and TB conversions shall be provided without providing the name of the source individual. 
(3) The employer shall make assessment for latent tuberculosis infection (LTBI) available to all employees with occupational exposure. Assessment procedures shall be in accordance with applicable public health guidelines. 
(A) TB tests and other forms of TB assessment shall be provided at least annually, and more frequently, if applicable public health guidelines or the local health officer recommends more frequent testing. Employees with baseline positive TB test shall have an annual symptom screen. 
(B) The employer shall refer employees who experience a TB conversion to a PLHCP knowledgeable about TB for evaluation.
1. The employer shall provide the PLHCP with a copy of this standard and the employee's TB test records. If the employer has determined the source of the infection, the employer shall also provide any available diagnostic test results including drug susceptibility patterns relating to the source patient.
2. The employer shall request that the PLHCP, with the employee's consent, perform any necessary diagnostic tests and inform the employee about appropriate treatment options.
3. The employer shall request that the PLHCP determine if the employee is a TB case or suspected case, and to do all of the following, if the employee is a case or suspected case:
a. Inform the employee and the local health officer in accordance with Title 17. 
b. Consult with the local health officer and inform the employer of any infection control recommendations related to the employee's activity in the workplace. 
c. Make a recommendation to the employer regarding precautionary removal due to suspect active disease, in accordance with subsection (h)(8), and provide the employer with a written opinion in accordance with subsection (h)(9). 
(C) TB conversions shall be recorded in accordance with California Code of Regulations, Title 8, Section 14300 et seq.
(D) Unless it is determined that the TB test conversion is not occupational, the employer shall investigate the circumstances of the conversion, and correct any deficiencies found during the investigation. The investigation shall be documented in accordance with subsection (j). 

EXCEPTION to subsection (h)(3): Research and production laboratories in which M. tuberculosis containing materials are not reasonably anticipated to be present, need not provide assessment for LTBI infection.
(4) Laboratory tests shall be conducted by an accredited laboratory.
(5) The employer shall make available to all susceptible health care workers with occupational exposure all vaccine doses listed in Appendix E. Employees in laboratory operations outside of health care settings, and within the scope of subsection (f), shall be provided with vaccines in accordance with the BMBL for the specific laboratory operations. The requirements in subsection (h)(5) will become effective on September 1, 2010.
(A) Recommended vaccinations shall be made available to all employees who have occupational exposure after the employee has received the training required in subsection (c) or (i) and within 10 working days of initial assignment unless: 
1. The employee has previously received the recommended vaccination(s) and is not due to receive another vaccination dose; or
2. A PLHCP has determined that the employee is immune in accordance with applicable public health guidelines; or
3. The vaccine(s) is contraindicated for medical reasons.
(B) The employer shall make additional vaccine doses available to employees within 120 days of the issuance of new applicable public health guidelines recommending the additional dose.
(C) The employer shall not make participation in a prescreening serology program a prerequisite for receiving a vaccine, unless applicable public health guidelines recommend this prescreening prior to administration of the vaccine. 
(D) If the employee initially declines a vaccination but at a later date, while still covered under the standard, decides to accept the vaccination, the employer shall make the vaccination available in accordance with subsection (h)(5)(A) within 10 working days of receiving a written request from the employee. 
(E) The employer shall ensure that employees who decline to accept a recommended and offered vaccination sign the statement in Appendix C1 for each declined vaccine.
(F) The employer shall request the PLHCP administering a vaccination or determining immunity to provide only the following information to the employer:
1. The employee's name and employee identifier.
2. The date of the vaccine dose or determination of immunity.
3. Whether the employee is immune to the disease, and whether there are any specific restrictions on the employee's exposure or ability to receive vaccine.
4. Whether an additional vaccination dose is required, and if so, the date the additional vaccination dose should be provided.

EXCEPTION to subsection (h)(5): Where the employer cannot implement these procedures because of the lack of availability of vaccine, the employer shall document efforts made to obtain the vaccine in a timely manner and inform employees of the status of the vaccine availability, including when the vaccine is likely to become available. The employer shall check on the availability of the vaccine at least every 60 calendar days and inform employees when the vaccine becomes available. 
(6) Exposure Incidents. 
(A) A health care provider, or the employer of a health care provider who determines that a person is an RATD case or suspected case shall report, or ensure that the health care provider reports, the case to the local health officer, in accordance with Title 17. 
(B) In addition to the report required in subsection (h)(6)(A), the employer in the facility, service or operation that originates the report shall determine, to the extent that the information is available in the employer's records, whether the employee(s) of any other employer(s) may have had contact with the case or suspected case while performing activities within the scope of this section. The employer shall notify the other employer(s) within a timeframe that will both provide reasonable assurance that there will be adequate time for the employee to receive effective medical intervention to prevent disease or mitigate the disease course, and will also permit the prompt initiation of an investigation to identify exposed employees. In no case, shall the notification be longer than 72 hours after the report to the local health officer. The notification shall include the date, time, and nature of the potential exposure, and provide any other information that is necessary for the other employer(s) to evaluate the potential exposure of his or her employees. The notifying employer shall not provide the identity of the source patient to the other employers. 

NOTE 1 to subsection (h)(6)(B): These employees may include, but are not limited to, paramedics, emergency medical technicians, emergency responders, home health care personnel, homeless shelter personnel, personnel at referring health care facilities or agencies, and corrections personnel.

NOTE 2 to subsection (h)(6)(B): Some diseases, such as meningococcal disease, require prompt prophylaxis of exposed individuals to prevent disease. Some diseases, such as varicella, have a limited window in which to administer vaccine to non-immune contacts. Exposure to some diseases may create a need to temporarily remove an employee from certain duties during a potential period of communicability. For other diseases such as tuberculosis there may not be a need for immediate medical intervention, however prompt follow up is important to the success of identifying exposed employees. 
(C) Each employer who becomes aware that his or her employees may have been exposed to an RATD case or suspected case, or to an exposure incident involving an ATP-L shall do all of the following:
1. Within a timeframe that is reasonable for the specific disease, as described in subsection (h)(6)(B), but in no case later than 72 hours following, as applicable, the employer's report to the local health officer or the receipt of notification from another employer or the local health officer, conduct an analysis of the exposure scenario to determine which employees had significant exposures. This analysis shall be conducted by an individual knowledgeable in the mechanisms of exposure to ATPs or ATPs-L, and shall record the names and any other employee identifier used in the workplace of persons who were included in the analysis. The analysis shall also record the basis for any determination that an employee need not be included in post-exposure follow-up because the employee did not have a significant exposure or because a PLHCP determined that the employee is immune to the infection in accordance with applicable public health guidelines. The exposure analysis shall be made available to the local health officer upon request. The name of the person making the determination, and the identity of any PLHCP or local health officer consulted in making the determination shall be recorded. 
2. Within a timeframe that is reasonable for the specific disease, as described in subsection (h)(6)(B), but in no case later than 96 hours of becoming aware of the potential exposure, notify employees who had significant exposures of the date, time, and nature of the exposure. 
3. As soon as feasible, provide post-exposure medical evaluation to all employees who had a significant exposure. The evaluation shall be conducted by a PLHCP knowledgeable about the specific disease, including appropriate vaccination, prophylaxis and treatment. For M. tuberculosis, and for other pathogens where recommended by applicable public health guidelines, this shall include testing of the isolate from the source individual or material for drug susceptibility, unless the PLHCP determines that it is not feasible.
4. Obtain from the PLHCP a recommendation regarding precautionary removal in accordance with subsection (h)(8), and a written opinion in accordance with subsection (h)(9).
5. Determine, to the extent that the information is available in the employer's records, whether employees of any other employers may have been exposed to the case or material. The employer shall notify these other employers within a time frame that is reasonable for the specific disease, as described in subsection (h)(6)(B), but in no case later than 72 hours of becoming aware of the exposure incident of the nature, date, and time of the exposure, and shall provide the contact information for the diagnosing PLHCP. The notifying employer shall not provide the identity of the source patient to other employers.
(7) Information provided to the Physician or Other Licensed Health Care Professional. 
(A) Each employer shall ensure that all PLHCPs responsible for making determinations and performing procedures as part of the medical services program are provided a copy of this standard and applicable public health guidelines. For respirator medical evaluations, the employer shall provide information regarding the type of respiratory protection used, a description of the work effort required, any special environmental conditions that exist (e.g., heat, confined space entry), additional requirements for protective clothing and equipment, and the duration and frequency of respirator use.
(B) Each employer shall ensure that the PLHCP who evaluates an employee after an exposure incident is provided the following information:
1. A description of the exposed employee's duties as they relate to the exposure incident;
2. The circumstances under which the exposure incident occurred;
3. Any available diagnostic test results, including drug susceptibility pattern or other information relating to the source of exposure that could assist in the medical management of the employee; and
4. All of the employer's medical records for the employee that are relevant to the management of the employee, including tuberculin skin test results and other relevant tests for ATP infections, vaccination status, and determinations of immunity. 
(8) Precautionary removal recommendation from the physician or other licensed health care professional.
(A) Each employer who provides a post-exposure evaluation in accordance with this Section, or an evaluation of an employee's TB conversion in accordance with subsection (h)(3) shall request from the PLHCP an opinion regarding whether precautionary removal from the employee's regular assignment is necessary to prevent spread of the disease agent by the employee and what type of alternate work assignment may be provided. The employer shall request that the PLHCP convey to the employer any recommendation for precautionary removal immediately via phone or fax and that the PLHCP document the recommendation in the written opinion as required in subsection (h)(9). 
(B) Where the PLHCP recommends precautionary removal, or where the local health officer recommends precautionary removal, the employer shall maintain until the employee is determined to be noninfectious, the employee's earnings, seniority, and all other employee rights and benefits, including the employee's right to his or her former job status, as if the employee had not been removed from his or her job or otherwise medically limited. 

EXCEPTION to subsection (h)(8)(B): Precautionary removal provisions do not extend to any period of time during which the employee is unable to work for reasons other than precautionary removal. 
(9) Written opinion from the physician or other licensed health care professional. 
(A) Each employer shall obtain, and provide the employee with a copy of, the written opinion of the PLHCP within 15 working days of the completion of all medical evaluations required by this section.
(B) For respirator use, the physician's opinion shall have the content required by Section 5144(e)(6) of these orders. 
(C) For TB conversions and all RATD and ATP-L exposure incidents, the written opinion shall be limited to the following information:
1. The employee's TB test status or applicable RATD test status for the exposure of concern;
2. The employee's infectivity status;
3. A statement that the employee has been informed of the results of the medical evaluation and has been offered any applicable vaccinations, prophylaxis, or treatment;
4. A statement that the employee has been told about any medical conditions resulting from exposure to TB, other RATD, or ATP-L that require further evaluation or treatment and that the employee has been informed of treatment options; and
5. Any recommendations for precautionary removal from the employee's regular assignment. 
(D) All other findings or diagnoses shall remain confidential and shall not be included in the written report.
(10) The employer shall make available seasonal influenza vaccine to all employees with occupational exposure. The employer shall ensure that each employee who declines to accept the seasonal influenza vaccine signs the statement in Appendix C2. 

EXCEPTION 1 to subsection (h)(10): Seasonal influenza vaccine shall be provided during the period designated by the CDC for administration, and need not be provided outside of those periods.

EXCEPTION 2 to subsection (h)(10): In lieu of the statement in Appendix C2, the employer may utilize an influenza vaccine declination statement acceptable to the CDPH in accordance with Health and Safety Code Section 1288.7. 
(i) Training.
(1) Employers shall ensure that all employees with occupational exposure participate in a training program. 
(2) Employers shall provide training as follows: 
(A) At the time of initial assignment to tasks where occupational exposure may take place; 
(B) At least annually thereafter, not to exceed 12 months from the previous training; 
(C) For employees who have received training on aerosol transmissible diseases in the year preceding the effective date of the standard, only training with respect to the provisions of the standard that were not included previously need to be provided. 
(D) When changes, such as introduction of new engineering or work practice controls, modification of tasks or procedures or institution of new tasks or procedures, affect the employee's occupational exposure or control measures. The additional training may be limited to addressing the new exposures or control measures. 
(3) Training material appropriate in content and vocabulary to the educational level, literacy, and language of employees shall be used. 
(4) The training program shall contain at a minimum the following elements: 
(A) An accessible copy of the regulatory text of this standard and an explanation of its contents.
(B) A general explanation of ATDs including the signs and symptoms of ATDs that require further medical evaluation. 
(C) An explanation of the modes of transmission of ATPs or ATPs-L and applicable source control procedures.
(D) An explanation of the employer's ATD Exposure Control Plan and/or Biosafety Plan, and the means by which the employee can obtain a copy of the written plan and how they can provide input as to its effectiveness. 
(E) An explanation of the appropriate methods for recognizing tasks and other activities that may expose the employee to ATPs or ATPs-L.
(F) An explanation of the use and limitations of methods that will prevent or reduce exposure to ATPs or ATPs-L including appropriate engineering and work practice controls, decontamination and disinfection procedures, and personal and respiratory protective equipment. 
(G) An explanation of the basis for selection of personal protective equipment, its uses and limitations, and the types, proper use, location, removal, handling, cleaning, decontamination and disposal of the items of personal protective equipment employees will use. 
(H) A description of the employer's TB surveillance procedures, including the information that persons who are immune-compromised may have a false negative test for LTBI. 

Exception: Research and production laboratories do not need to include training on surveillance for LTBI if M. tuberculosis containing materials are not reasonably anticipated to be present in the laboratory. 
(I) Training meeting the requirements of Section 5144(k) of these orders for employees whose assignment includes the use of a respirator. 
(J) Information on the vaccines made available by the employer, including information on their efficacy, safety, method of administration, the benefits of being vaccinated, and that the vaccine and vaccination will be offered free of charge. 
(K) An explanation of the procedure to follow if an exposure incident occurs, including the method of reporting the incident, the medical follow-up that will be made available, and post-exposure evaluation. 
(L) Information on the employer's surge plan as it pertains to the duties that employees will perform. As applicable, this training shall cover the plan for surge receiving and treatment of patients, patient isolation procedures, surge procedures for handling of specimens, including specimens from persons who may have been contaminated as the result of a release of a biological agent, how to access supplies needed for the response including personal protective equipment and respirators, decontamination facilities and procedures, and how to coordinate with emergency response personnel from other agencies.
(5) Every training program shall include an opportunity for interactive questions and answers with a person who is knowledgeable in the subject matter of the training as it relates to the workplace that the training addresses and who is also knowledgeable in the employer's ATD exposure control or biosafety plan. Training not given in person shall fulfill all the subject matter requirements of subsections (i)(4) and shall provide for interactive questions to be answered within 24 hours by a knowledgeable person as described above. 
(j) Recordkeeping.
(1) Medical records. 
(A) The employer shall establish and maintain an accurate medical record for each employee with occupational exposure, in accordance with Section 3204, Access to Employee Exposure and Medical Records, of these orders. 

NOTE to subsection (j)(1)(A): This record may be combined with the medical record required by Section 5193, Bloodborne Pathogens, of these orders, but may not be combined with non-medical personnel records.
(B) This record shall include: 
1. The employee's name and any other employee identifier used in the workplace; 
2. The employee's vaccination status for all vaccines required by this standard, including the information provided by the PLHCP in accordance with subsection (h)(5)(F), any vaccine record provided by the employee, and any signed declination forms; 

EXCEPTION to subsection (j)(1)(B)2.: As to seasonal influenza vaccine, the medical record need only contain a declination form for the most recent seasonal influenza vaccine.
3. A copy of all written opinions provided by a PLHCP in accordance with this standard, and the results of all TB assessments; and
4. A copy of the information regarding an exposure incident that was provided to the PLHCP as required by subsection (h)(7)(B).
(C) Confidentiality. The employer shall ensure that all employee medical records required by this section are: 
1. Kept confidential; and 
2. Not disclosed or reported without the employee's express written consent to any person within or outside the workplace except as permitted by this section or as may be required by law. 

NOTE to subsection (j)(1)(C): These provisions do not apply to records that do not contain individually identifiable medical information, or from which individually identifiable medical information has been removed.
(D) The employer shall maintain the medical records required by this section for at least the duration of employment plus 30 years in accordance with Section 3204, Access to Employee Exposure and Medical Records, of these orders.
(2) Training records. 
(A) Training records shall include the following information: 
1. The date(s) of the training session(s); 
2. The contents or a summary of the training session(s); 
3. The names and qualifications of persons conducting the training or who are designated to respond to interactive questions; and 
4. The names and job titles of all persons attending the training sessions. 
(B) Training records shall be maintained for 3 years from the date on which the training occurred. 
(3) Records of implementation of ATD Plan and/or Biosafety Plan.
(A) Records of annual review of the ATD Plan and Biosafety Plan shall include the name(s) of the person conducting the review, the dates the review was conducted and completed, the name(s) and work area(s) of employees involved, and a summary of the conclusions. The record shall be retained for three years.
(B) Records of exposure incidents shall be retained and made available as employee exposure records in accordance with Section 3204. These records shall include:
1. The date of the exposure incident; 
2. The names, and any other employee identifiers used in the workplace, of employees who were included in the exposure evaluation;
3. The disease or pathogen to which employees may have been exposed;
4. The name and job title of the person performing the evaluation;
5. The identity of any local health officer and/or PLHCP consulted; 
6. The date of the evaluation; and
7. The date of contact and contact information for any other employer who either notified the employer or was notified by the employer regarding potential employee exposure. 
(C) Records of the unavailability of vaccine shall include the name of the person who determined that the vaccine was not available, the name and affiliation of the person providing the vaccine availability information, and the date of the contact. This record shall be retained for three years.
(D) Records of the unavailability of AII rooms or areas shall include the name of the person who determined that an AII room or area was not available, the names and the affiliation of persons contacted for transfer possibilities, and the date of the contact, the name and contact information for the local health officer providing assistance, and the times and dates of these contacts. This record, which shall not contain a patient's individually identifiable medical information, shall be retained for three years.
(E) Records of decisions not to transfer a patient to another facility for AII for medical reasons shall be documented in the patient's chart, and a summary shall be provided to the Plan administrator providing only the name of the physician determining that the patient was not able to be transferred, the date and time of the initial decision and the date, time and identity of the person(s) who performed each daily review. The summary record, which shall not contain a patient's individually identifiable medical information, shall be retained for three years.
(F) Records of inspection, testing and maintenance of non-disposable engineering controls including ventilation and other air handling systems, air filtration systems, containment equipment, biological safety cabinets, and waste treatment systems shall be maintained for a minimum of five years and shall include the name(s) and affiliation(s) of the person(s) performing the test, inspection or maintenance, the date, and any significant findings and actions that were taken. 
(G) Records of the respiratory protection program shall be established and maintained in accordance with Section 5144, Respiratory Protection, of these orders. Employers who provide fit-test screening, in accordance with the exception to subsection (g)(6)(B)3 shall retain the screening record for two years. 
(4) Availability. 
(A) The employer shall ensure that all records, other than the employee medical records more specifically dealt with in subsection (j)(4)(C), required to be maintained by this section shall be made available upon request to the Chief and NIOSH and the local health officer for examination and copying. 
(B) Employee training records, the exposure control plan and/or biosafety plan, and records of implementation of the ATD exposure control plan and biosafety plan, other than medical records containing individually identifiable medical information, shall be made available as employee exposure records in accordance with Section 3204(e)(1) to employees and employee representatives. 
(C) Employee medical records required by this subsection shall be provided upon request to the subject employee, anyone having the written consent of the subject employee, the local health officer, and to the Chief and NIOSH in accordance with Section 3204 of these orders, Access to Employee Exposure and Medical Records, for examination and copying. 
(5) Transfer of Records. 
(A) The employer shall comply with the requirements involving the transfer of employee medical and exposure records that are set forth in Section 3204, Access to Employee Exposure and Medical Records, of these orders. 
(B) If the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Chief and NIOSH, at least three months prior to the disposal of the records and shall transmit them to NIOSH, if required by NIOSH to do so, within that three-month period. 
NOTE

Authority cited: Sections 142.3 and 6308; Labor Code. Reference: Sections 142.3 and 6308, Labor Code; and 8 CCR 332.3. 
HISTORY

1. New section filed 7-6-2009; operative 8-5-2009 (Register 2009, No. 28). For prior history, see Register 87, No. 51.

Appendix A -- Aerosol Transmissible Diseases/Pathogens (Mandatory)

This appendix contains a list of diseases and pathogens which are to be considered aerosol transmissible pathogens or diseases for the purpose of Section 5199. Employers are required to provide the protections required by Section 5199 according to whether the disease or pathogen requires airborne infection isolation or droplet precautions as indicated by the two lists below.

Diseases/Pathogens Requiring Airborne Infection Isolation

Aerosolizable spore-containing powder or other substance that is capable of causing serious human disease, e.g. Anthrax/Bacillus anthracis

Avian influenza/Avian influenza A viruses (strains capable of causing serious disease in humans)

Varicella disease (chickenpox, shingles)/Varicella zoster and Herpes zoster viruses, disseminated disease in any patient. Localized disease in immunocompromised patient until disseminated infection ruled out

Measles (rubeola)/Measles virus

Monkeypox/Monkeypox virus

Novel or unknown pathogens

Severe acute respiratory syndrome (SARS)

Smallpox (variola)/Varioloa virus

Tuberculosis (TB)/Mycobacterium tuberculosis -- Extrapulmonary, draining lesion; Pulmonary or laryngeal disease, confirmed; Pulmonary or laryngeal disease, suspected

Any other disease for which public health guidelines recommend airborne infection isolation

Diseases/Pathogens Requiring Droplet Precautions

Diphtheria pharyngeal

Epiglottitis, due to Haemophilus influenzae type b

Haemophilus influenzae Serotype b (Hib) disease/Haemophilus influenzae serotype b -- Infants and children

Influenza, human (typical seasonal variations)/influenza viruses

Meningitis

 Haemophilus influenzae, type b known or suspected

 Neisseria meningitidis (meningococcal) known or suspected 

Meningococcal disease sepsis, pneumonia (see also meningitis)

Mumps (infectious parotitis)/Mumps virus

Mycoplasmal pneumonia

Parvovirus B19 infection (erythema infectiosum)

Pertussis (whooping cough)

Pharyngitis in infants and young children/Adenovirus, Orthomyxoviridae, Epstein-Barr virus, Herpes simplex virus, Pneumonia

 Adenovirus

 Haemophilus influenzae Serotype b, infants and children

 Meningococcal

 Mycoplasma, primary atypical

 Streptococcus Group A

Pneumonic plague/Yersinia pestis

Rubella virus infection (German measles)/Rubella virus

Severe acute respiratory syndrome (SARS)

Streptococcal disease (group A streptococcus)

 Skin, wound or burn, Major

 Pharyngitis in infants and young children

 Pneumonia 

 Scarlet fever in infants and young children

 Serious invasive disease

Viral hemorrhagic fevers due to Lassa, Ebola, Marburg, Crimean-Congo fever viruses (airborne infection isolation and respirator use may be required for aerosol-generating procedures)

Any other disease for which public health guidelines recommend droplet precautions

Aerosol Transmissible Diseases

Appendix B -- Alternate Respirator Medical Evaluation Questionnaire (This Appendix is Mandatory if the Employer chooses to use a Respirator Medical Evaluation Questionnaire other than the Questionnaire in Section 5144  Appendix C)

View Graphic

Appendix C1 -- Vaccination Declination Statement  (Mandatory)

The employer shall ensure that employees who decline to accept a recommended vaccination offered by the employer sign and date the following statement as required by subsection (h)(5)(E): 

I understand that due to my occupational exposure to aerosol transmissible diseases, I may be at risk of acquiring infection with ________________ (name of disease or pathogen). I have been given the opportunity to be vaccinated against this disease or pathogen at no charge to me. However, I decline this vaccination at this time. I understand that by declining this vaccine, I continue to be at risk of acquiring _____________________, a serious disease. If in the future I continue to have occupational exposure to aerosol transmissible diseases and want to be vaccinated, I can receive the vaccination at no charge to me. 

Employee Signature		Date

Appendix C2 -- Seasonal Influenza Vaccination  Declination Statement (Mandatory)

The employer shall ensure that employees who decline to accept the seasonal influenza vaccination offered by the employer sign and date the following statement as required by subsection (h)(10): 

I understand that due to my occupational exposure to aerosol transmissible diseases, I may be at risk of acquiring seasonal influenza. I have been given the opportunity to be vaccinated against this infection at no charge to me. However, I decline this vaccination at this time. I understand that by declining this vaccine, I continue to be at increased risk of acquiring influenza. If, during the season for which the CDC recommends administration of the influenza vaccine, I continue to have occupational exposure to aerosol transmissible diseases and want to be vaccinated, I can receive the vaccination at no charge to me. 

Employee Signature		Date

Appendix D: Aerosol Transmissible Pathogens --  Laboratory (Mandatory)

This appendix contains a list of agents that, when reasonably anticipated to be present, require a laboratory to comply with Section 5199 for laboratory operations by performing a risk assessment and establishing a biosafety plan that includes appropriate control measures as identified in the standard. 
Adenovirus (in clinical specimens and in cultures or other materials derived from clinical specimens)
Arboviruses, unless identified individually elsewhere in this list (large quantities or high concentrations* of arboviruses for which CDC recommends BSL-2, e.g., dengue virus; potentially infectious clinical materials, infected tissue cultures, animals, or arthropods involving arboviruses for which CDC recommends BSL-3 or higher, e.g., Japanese encephalitis, West Nile virus, Yellow Fever)
Arenaviruses (large quantities or high concentrations of arenaviruses for which CDC recommends BSL-2, e.g., Pichinde virus; potentially infectious clinical materials, infected tissue cultures, animals, or arthropods involving arenaviruses for which CDC recommends BSL-3 or higher, e.g., Flexal virus)
Bacillus anthracis (activities with high potential for aerosol production**, large quantities or high concentrations, screening environmental samples from b. anthracis -- contaminated locations)
Blastomyces dermatitidis (sporulating mold-form cultures, processing environmental materials known or likely to contain infectious conidia)
Bordetella pertussis (aerosol generation, or large quantities or high concentrations)
Brucella abortus, B. canis, B. “maris”, B. melitensis, B. suis (cultures, experimental animal studies, products of conception containing or believed to contain pathogenic Brucella spp.)
Burkholderia mallei, B. pseudomallei (potential for aerosol or droplet exposure, handling infected animals, large quantities or high concentrations)
Cercopithecine herpesvirus (see Herpesvirus simiae)
Chlamydia pneumoniae (activities with high potential for droplet or aerosol production, large quantities or high concentrations)
Chlamydia psittaci (activities with high potential for droplet or aerosol production, large quantities or high concentrations, non-avian strains, infected caged birds, necropsy of infected birds and diagnostic examination of tissues or cultures known to contain or be potentially infected with C. psittaci strains of avian origin)
Chlamydia trachomatis (activities with high potential for droplet or aerosol production, large quantities or high concentrations, cultures of lymphogranuloma venereum (LGV) serovars, specimens known or likely to contain C. trachomatis)
Clostridium botulinum (activities with high potential for aerosol or droplet production, large quantities or high concentrations)
Coccidioides immitis, C. posadasii (sporulating cultures, processing environmental materials known or likely to contain infectious arthroconidia, experimental animal studies involving exposure by the intranasal or pulmonary route)
Corynebacterium diphtheriae 
Coxiella burnetti (inoculation, incubation, and harvesting of embryonated eggs or cell cultures; experimental animal studies, animal studies with infected arthropods, necropsy of infected animals, handling infected tissues)
Crimean-Congo haemorrhagic fever virus
Cytomegalovirus, human (viral production, purification, or concentration)
Eastern equine encephalomyelitis virus (EEEV) (clinical materials, infectious cultures, infected animals or arthropods)
Ebola virus
Epstein-Barr virus (viral production, purification, or concentration)
Escherichia coli, shiga toxin-producing only (aerosol generation or high splash potential)
Flexal virus
Francisella tularensis (suspect cultures--including preparatory work for automated identification systems, experimental animal studies, necropsy of infected animals, high concentrations of reduced-virulence strains)
Guanarito virus
Haemophilus influenzae, type b 
Hantaviruses (serum or tissue from potentially infected rodents, potentially infected tissues, large quantities or high concentrations, cell cultures, experimental rodent studies)
Helicobacter pylori (homogenizing or vortexing gastric specimens)
Hemorrhagic fever -- specimens from cases thought to be due to dengue or yellow fever viruses or which originate from areas in which communicable hemorrhagic fever are reasonably anticipated to be present
Hendra virus
Hepatitis B, C, and D viruses (activities with high potential for droplet or aerosol generation, large quantities or high concentrations of infectious materials)
Herpes simplex virus 1 and 2 
Herpesvirus simiae (B-virus) (consider for any material suspected to contain virus, mandatory for any material known to contain virus, propagation for diagnosis, cultures)
Histoplasma capsulatum (sporulating mold-form cultures, propagating environmental materials known or likely to contain infectious conidia)
Human herpesviruses 6A, 6B, 7, and 8 (viral production, purification, or concentration)
Influenza virus, non-contemporary human (H2N2) strains, 1918 influenza strain, highly pathogenic avian influenza (HPAI) (large animals infected with 1918 strain and animals infected with HPAI strains in ABSL-3 facilities, loose-housed animals infected with HPAI strains in BSL-3-Ag facilities)
Influenza virus, H5N1 -- human, avian 
Junin virus
Kyasanur forest disease virus
Lassa fever virus
Legionella pneumophila, other legionella-like agents (aerosol generation, large quantities or high concentrations)
Lymphocytic choriomeningitis virus (LCMV) (field isolates and clinical materials from human cases, activities with high potential for aerosol generation, large quantities or high concentrations, strains lethal to nonhuman primates, infected transplantable tumors, infected hamsters)
Machupo virus
Marburg virus
Measles virus 
Monkeypox virus (experimentally or naturally infected animals)
Mumps virus 
Mycobacterium tuberculosis complex (M. africanum, M. bovis, M. caprae, M. microti, M. pinnipedii, M. tuberculosis (aerosol-generating activities with clinical specimens, cultures, experimental animal studies with infected nonhuman primates)
Mycobacteria spp. other than those in the M. tuberculosis complex and M. leprae (aerosol generation)
Mycoplasma pneumoniae
Neisseria gonorrhoeae (large quantities or high concentrations, consider for aerosol or droplet generation)
Neisseria meningitidis (activities with high potential for droplet or aerosol production, large quantities or high concentrations)
Nipah virus
Omsk hemorrhagic fever virus
Parvovirus B19 
Prions (bovine spongiform encephalopathy prions, only when supported by a risk assessment)
Rabies virus, and related lyssaviruses (activities with high potential for droplet or aerosol production, large quantities or high concentrations)
Retroviruses, including Human and Simian Immunodeficiency viruses (HIV and SIV) (activities with high potential for aerosol or droplet production, large quantities or high concentrations)
Rickettsia prowazekii, Orientia (Rickettsia) tsutsuagmushi, R. typhi (R. mooseri), Spotted Fever Group agents (R. akari, R. australis, R. conorii, R. japonicum, R. rickettsii, and R. siberica) (known or potentially infectious materials; inoculation, incubation, and harvesting of embryonated eggs or cell cultures; experimental animal studies with infected arthropods)
Rift valley fever virus (RVFV) 
Rubella virus 
Sabia virus
Salmonella spp. other than S. typhi (aerosol generation or high splash potential)
Salmonella typhi (activities with significant potential for aerosol generation, large quantities)
SARS coronavirus (untreated specimens, cell cultures, experimental animal studies)
Shigella spp. (aerosol generation or high splash potential)
Streptococcus spp., group A 
Tick-borne encephalitis viruses (Central European tick-borne encephalitis, Far Eastern tick-borne encephalitis, Russian spring and summer encephalitis)
Vaccinia virus
Varicella zoster virus 
Variola major virus (Smallpox virus)
Variola minor virus (Alastrim)
Venezuelan equine encephalitis virus (VEEV) (clinical materials, infectious cultures, infected animals or arthropods)
West Nile virus (WNV) (dissection of field-collected dead birds, cultures, experimental animal and vector studies)
Western equine encephalitis virus (WEEV) (clinical materials, infectious cultures, infected animals or arthropods)
Yersinia pestis (antibiotic resistant strains, activities with high potential for droplet or aerosol production, large quantities or high concentrations, infected arthropods, potentially infected animals)

* `Large quantities or high concentrations' refers to volumes or concentrations considerably in excess of those typically used for identification and typing activities. A risk assessment must be performed to determine if the quantity or concentration to be used carries an increased risk, and would therefore require aerosol control. 

** `activities with high potential for aerosol generation' include centrifugation

Appendix E: Aerosol Transmissible Disease Vaccination Recommendations for Susceptible Health Care Workers (Mandatory)

   Vaccine 	  Schedule
Influenza 	One dose annually

Measles 	Two doses

Mumps 	Two doses

Rubella 	One dose

Tetanus, Diptheria, and Acellular	One dose, booster as 
Pertussis (Tdap)	recommended

Varicella-zoster (VZV)	Two doses

Source: California Department of Public Health, Immunization Branch Immunity should be determined in consultation with Epidemiology and Prevention of Vaccine-Preventable Diseases.

Appendix F: Sample Screening Criteria for Work Settings Where No Health Care Providers Are Available (non-mandatory)

This appendix contains sample criteria to be used by non-medical employees for screening purposes in settings where no health care providers are available. Coordination with local health departments, including TB control programs, may be necessary for the success of this referral policy. Employees should be instructed in how clients' privacy will be maintained during screening procedures.

1. For screening a coughing client with potential TB -- privately ask the person
a. if he/she has had a cough for more than three weeks. 
b. if, in addition to cough, he/she has had one or more of the following clinical symptoms of TB disease:

	· Unexplained weight loss (>5lbs)
	· Night Sweats
	· Fever
	· Chronic Fatigue/Malaise
	· Coughing up blood
A person who has had a cough for more than three weeks and who has one of the other symptoms in b. must be referred to a health care provider for further evaluation, unless that person is already under treatment. Consider referring a person with any of the above symptoms, if there is no alternative explanation.

2. In addition to TB, other vaccine preventable aerosol transmissible diseases, including pertussis, measles, mumps, rubella (“German measles”) and chicken pox should be considered when non-medical personnel screen individuals in non-health care facilities. The following is a brief list of some findings that should prompt referral to a health care provider for further evaluation when identified through a screening process:
· Severe coughing spasms, especially if persistent; coughing fits may interfere with eating, drinking and breathing
· Fever, headache, muscle aches, tiredness, poor appetite followed by painful, swollen salivary glands, one side or both sides of face under jaw
· Fever, chills, cough, runny nose, watery eyes associated with onset of an unexplained rash (diffuse rash or blister-type skin rash)
· Fever, headache, stiff neck, possibly mental status changes

3. Any client who exhibits any of the above described findings and reports contact with individuals known to have any of these transmissible illnesses in the past 2-4 weeks should be promptly evaluated by a health care provider.

4. Health officials may issue alerts for community outbreaks of other diseases. They will provide screening criteria, and people must be referred to medical providers as recommended by the health officer. 

Appendix G: Information for Respirator Fit-Test  Screening (Mandatory if employer does not  provide annual fit-test)

Respirators are an important means of reducing your exposure to infectious aerosols. Air purifying respirators provide a barrier to prevent health care workers from inhaling Mycobacterium tuberculosis and other pathogens. The level of protection a respirator provides is determined by the efficiency of the filter material and how well the facepiece fits or seals to your face. 

Cal/OSHA regulations require that you be provided with a fit-test at the time of initial fitting, whenever a different size, make, model or style of respirator is used, and whenever you report a change in physical characteristics that may affect fit, such as major dental work, facial surgery or injury, or a change in weight. 

Fit tests must also be repeated periodically, because people are not always aware of facial changes that may have affected the fit of the respirator. Generally, Cal/OSHA regulations require that fit-tests be repeated annually. The aerosol transmissible disease regulation permits employers to lengthen this interval to every two years for employees who are not exposed to high hazard procedures, such as bronchoscopies. However, if you believe that you need another fit-test to ensure that the respirator is fitting you correctly, you may request an additional fit-test, and your employer will provide it. 

A respirator will not protect you if it does not fit, and if it is not worn properly. In addition to fit-testing, it is important for you to be aware of the size, make, model and style of respirator that fits you, and to understand and practice how to put the respirator on and take it off. It is particularly important to properly place the straps, and in some models, to adjust the straps and adjust the nose piece, so that it forms a snug seal on your face. During your annual training, you will be shown how to use a respirator. 

Screening Questions (Answer Yes/No) 
Have you had recent major dental work, facial injury or facial surgery since your last fit-test?
Have you had a significant weight gain or loss since your last fit-test?
Do you want to be provided with an additional fit-test for your current respirator?

Name 	
Date	
Employee ID number	
Date of fit-test (if provided) 		
§5199.1. Aerosol Transmissible Diseases -- Zoonotic.
Note     •     History

(a) Scope, Application and Definitions.
(1) Scope. 
(A) This section applies to work in the following facilities, service categories or operations:
1. Operations involving the management, capture, sampling, transportation or disposal of wild birds or other wildlife.
2. Farms producing animals or animal products, including the transport of animals and untreated animal products, byproducts, or wastes to or from farms.
3. Slaughterhouses and initial processing facilities for untreated animal products, byproducts, or wastes.
4. Veterinary, animal inspection, and other animal health operations. 
5. Importers of live animals and untreated animal products.
6. Zoos, animal parks, pet stores and other operations in which animals are displayed, transported, or housed.
7. Laboratory operations involving samples, cultures, or other materials potentially containing zoonotic aerosol transmissible pathogens (zoonotic ATPs).
8. Zoonotic ATP incident response operations as defined below. 
(B) This section does not apply to restaurants or facilities or portions of facilities in which the sole exposure to animal products, byproducts, or wastes comes from carcasses or portions thereof that have passed an inspection conducted in accordance with regulations of the USDA or CDFA and have been determined to be fit for human consumption.
(2) Application.
(A) Basic requirements applicable to all covered employers. Every employer with facilities, operations or services that are within the scope of this standard shall establish, implement, and maintain effective procedures for preventing employee exposure to zoonotic aerosol transmissible pathogens in accordance with Section 3203 of these orders. These procedures shall include sanitation, investigation of occupational injuries and illnesses, training, and where applicable, biosecurity and the use of personal protective equipment. Training shall cover all of the employer's exposure control procedures required by this subsection, and shall be appropriate in content and vocabulary for the educational level, literacy, and language of employees. An employer is not required to comply with any requirement of this standard beyond what is contained in this subsection if they do not have employees who participate in or are exposed to any of the work operations listed below in subsections (a)(2)(B) through (a)(2)(G). This subsection does not exclude the application of Section 3203 to zoonotic diseases that are not transmitted by infectious aerosols. 
(B) In addition to complying with subsection (a)(2)(A), employers shall also comply with subsections (b) and (e) if they have work operations that involve:
1. capturing or sampling of wildlife for the purpose of determining whether they are infected with zoonotic ATPs, or 
2. collecting and disposing of wildlife for which an alert regarding the potential of zoonotic ATP infection has been issued by the CDC, CDFA, CDFG, CDPH, USDA, or USDOI, and the alert is applicable to the employer's operations based on conditions specified in the alert, e.g., the geographic area and the species or type of animal.
(C) In addition to complying with subsection (a)(2)(A), employers shall also comply with subsections (c) and (e) if they have establishments or operations for which the USDA or CDFA have issued a quarantine order, movement restriction, or other infection control order due to an increased risk of zoonotic ATP infection.
(D) In addition to complying with subsection (a)(2)(A), employers shall also comply with subsections (d) and (e) if they have work operations that involve: 
1. handling, culling, transporting, killing, eradicating, or disposing of animals infected with zoonotic ATPs as defined in subsection (a)(4), or 
2. cleaning or disinfecting areas used, or previously used, to contain such animals or their wastes.
(E) Laboratory operations. Laboratory operations involving samples, cultures, or other materials potentially containing zoonotic ATPs shall comply with Section 5199(f) of these orders. 
(F) Vertebrate animal research facilities shall comply with this standard by performing and documenting a risk assessment and adopting control measures consistent with Biosafety in Microbiological and Biomedical Laboratories. These facilities shall also comply with subsection (e) of this standard. Where the risk assessment determines that ABSL-3 or above practices are required the employer shall also comply with subsection (d). 
(G) Hazardous Waste and Emergency Response Operations shall also comply with Section 5192 of these orders.
(3) The employer shall provide all safeguards required by this section, including provision of personal protective equipment, respirators, training, and medical services, at a reasonable time and place for the employee, at no cost to the employee, and during the employee's working hours.
(4) Definitions.
Aerosol. A suspension of liquid or solid particles in the air, including droplets, droplet nuclei, fomites, and dusts. 
Aerosol transmissible pathogen (ATP). A pathogen that is transmitted by liquid or solid particles in the air, including droplets, droplet nuclei, fomites and dusts. 
Alert. A public announcement or notification by a local health officer, or California or federal agency, regarding a detected zoonotic ATP hazard. This notification may be issued for a species or type of animal and/or a geographic area.
Animal Biosafety Level 3 (ABSL-3). Compliance with the criteria for work practices, safety equipment, and facility design and construction recommended by the CDC in Biosafety in Microbiological and Biomedical Laboratories for work with laboratory animals infected with indigenous or exotic agents, agents that present a potential for aerosol transmission and agents causing serious or potentially lethal disease. 
Animals infected with zoonotic ATPs. Animals that (1) have been diagnosed with a zoonotic ATP through recognized testing methods or (2) meet the clinical definition of a suspect case of infection with a zoonotic ATP or (3) have been identified by the CDFA, CDFG, USDA, or USDOI as requiring isolation, quarantine, or destruction due to suspected or confirmed infection.
Animal waste. Animal carcasses, excrement, contaminated litter, or debris from the bodies of animals, such as feathers or dander.
Biosafety in Microbiological and Biomedical Laboratories (BMBL). Biosafety in Microbiological and Biomedical Laboratories, Fifth Edition, CDC and National Institutes for Health, 2007, which is hereby incorporated by reference for the purpose of establishing requirements for risk assessments and control measures in vertebrate animal research facilities.
Biosecurity procedures. Control measures, such as traffic control, disinfection, and isolation, that are implemented to reduce the risk of transmission of infection into, from, or within an establishment. The purpose of biosecurity measures is to prevent direct or indirect animal-to-animal transmission of zoonotic ATPs, release of pathogens into the environment, and infection of people who may come into contact with animals or areas where animals are housed, or with debris from those areas. The specific biosecurity measures necessary depend on the type of operation conducted by the employer. Typically, no provision for biosecurity other than the use of common sanitation measures is required for incidental removal of animal carcasses or other wastes, unless the activity may result in the introduction of pathogens into areas where animals are kept or housed, or unless the animal is the subject of an applicable alert or disease control order. 
CDFA. California Department of Food and Agriculture.
CDFG. California Department of Fish and Game.
CDC. United States Centers for Disease Control and Prevention.
CDPH. California Department of Public Health and its predecessor the California Department of Health Services.
Chief. The Chief of the Division of Occupational Safety and Health of the Department of Industrial Relations or his or her designated representative.
Decontamination. The removal of hazardous substances from employees and their equipment to the extent necessary to preclude the occurrence of foreseeable adverse health effects. 
Immediately dangerous to life or health (IDLH). An atmosphere that poses an immediate threat to life, would cause irreversible adverse health effects, or would impair an individual's ability to escape. 
Local health officer. The health officer for the local jurisdiction responsible for receiving and/or sending reports of communicable diseases, as defined in Title 17 of the California Code of Regulations. 
NIOSH. The director of the National Institute for Occupational Safety and Health, CDC, or his or her designated representative.
Occupational exposure. Reasonably anticipated work exposure to a source of zoonotic ATPs under conditions that, without the use of protective measures, create a significant risk of contracting the disease caused by the pathogen. Examples of such conditions include: conducting diagnostic sampling of animals reasonably suspected of infection, performing animal husbandry activities with flocks quarantined due to an increased risk of infection with zoonotic ATPs, and disposing of infected animal carcasses or their wastes.
Oxygen deficient atmosphere. An atmosphere with an oxygen content below 19.5% by volume.
Physician or other licensed healthcare professional (PLHCP). An individual whose legally permitted scope of practice in California allows him or her to provide independently or be delegated the responsibility to provide some or all of the health care services required by this section. 
Untreated animal products, byproducts, or wastes. Materials derived from animals that have not been processed in a manner that will deactivate zoonotic ATPs the materials may contain. “Untreated animal products, byproducts, or wastes” do not include animal carcasses or portions thereof that have passed an inspection in accordance with the standards of the USDA or CDFA and have been determined to be fit for human consumption.
USDA. United States Department of Agriculture.
USDOI. United States Department of the Interior, or any of its agencies, including the United States Fish and Wildlife Service and the United States Geological Survey. 
Wildlife. Wild birds and other animals that are not domesticated, including their remains and wastes. 
Zoonotic aerosol transmissible pathogen (Zoonotic ATP). A disease agent that is transmissible from animals to humans by aerosol, and is capable of causing human disease. Zoonotic ATPs include pathogens that are classified as transmissible either by droplets or by an airborne route. 
Zoonotic ATP incident response. Operations conducted to control an outbreak of an animal disease involving the destruction and/or disposal of animals infected with zoonotic ATPs and the clean up, decontamination and disinfection of areas and equipment associated with the infected animals or their remains. 
(b) Exposure to potentially infectious wildlife. 
(1) The employer shall establish, implement, and maintain effective written procedures for operations that involve capturing or sampling of wildlife to detect the presence of infection with zoonotic ATPs, or the collecting and disposing of wildlife for which an alert regarding the potential of zoonotic ATP infection has been issued by the CDC, CDFA, CDFG, CDPH, USDA or USDOI. These procedures shall be kept available at the site of all work operations covered by this subsection. 
(2) These procedures shall include: 
(A) work procedures that minimize the production of aerosols, 
(B) use of personal protective equipment, 
(C) cleaning and decontamination procedures,
(D) medical services as recommended by the CDC, CDPH or Local Health Officer, and 
(E) training. 
(3) These procedures shall include the use of a respirator at least as effective as an N95 filtering facepiece respirator, in accordance with Section 5144 of these orders, whenever: 
(A) there is an increased potential of exposure to infectious aerosols, such as when handling animals in an enclosed or indoor area, 
(B) responding to a mortality event involving a significant number of animals, or 
(C) there are animal-related dusts in the environment that are reasonably likely to be an aerosol infection hazard to employees. 
(c) When the USDA or the CDFA issues a quarantine order, movement restriction, or other infection control order applicable to an establishment due to an increased risk of zoonotic ATP infection, the employer shall establish, implement and maintain effective written zoonotic disease control procedures to protect employees from hazards related to undetected or early infection in animals. These procedures shall be available onsite at all times when employees are present, and shall include the following elements: 
(1) The employer shall identify restricted areas in which occupational exposure to potentially infectious animals may occur and shall post signs at all entrances to those areas identifying them as restricted areas. These signs shall be in all languages necessary to ensure that they are understood by all employees who may be in the vicinity of an entrance to the restricted area.
(2) The employer shall ensure that all employees who enter into restricted areas are protected as follows: 
(A) Those employees who enter into the restricted area shall be supervised by a person who is knowledgeable in the employer's zoonotic disease control procedures. 
(B) The employer shall provide those employees with, and the employer shall ensure that the employees use, protective clothing and equipment, such as coveralls or similar whole-body clothing, head coverings, gloves, and foot coverings. The employer shall provide for the disposal or laundering of this clothing and equipment in a manner that will not further expose employees to potentially infectious materials. Laundry shall be handled in accordance with Section 5193(d)(3)(J) of these orders. Where the disease may be transmitted by contact with the eyes or mucous membranes, appropriate eye, mouth and nose protection shall be used. The use of personal protective equipment shall comply with Sections 3380 through 3387 of these orders. 
(C) The employer shall provide, and ensure that the employees use approved respiratory protection when entering into enclosed areas in which aerosols from potentially infectious animals or animal wastes are present. Respirator use shall be in accordance with Section 5144 of these orders.
(D) The employer shall provide sanitary facilities, change rooms, shower rooms, and drinking water, and a method to access them. These facilities shall meet the requirements of Sections 3360 through 3368 of these orders.

Exception: Where change rooms and shower rooms are not feasible, the employer shall implement alternative measures for sanitation and changing clothes that protect employees from infectious materials that may be present on their clothing or their person.
(E) The employer shall provide all medical services, including surveillance, vaccinations, and prophylaxis recommended by the CDC, CDPH or local health officer for exposed employees.
(F) The employer shall provide training that is appropriate in content and vocabulary for the educational level, literacy, and language of employees. This training shall include the nature of the zoonotic disease hazard, the employer's control measures, the use of personal protective equipment and respiratory protective equipment, decontamination procedures, the employer's medical services program including recommended surveillance, evaluations, vaccinations and prophylaxis, and heat illness prevention. 
(G) The employer shall establish procedures for recording the entry of persons into the restricted area. These records shall be maintained and made available in accordance with subsection (e). 
(3) The additional protective measures required by subsection (c) are no longer required if testing acceptable to the agency placing the movement restriction, quarantine or other infection control order determines that the premises is free from infection, and is no longer at increased risk, although the movement restriction may remain in place. 
(d) Every employer with work operations involving handling, culling, transporting, killing, eradicating, or disposing of animals infected with zoonotic ATPs, or the cleaning and disinfection of areas used, or previously used, to contain such animals or their wastes, shall establish, implement, and maintain written zoonotic disease control procedures to control the risk of transmission of disease from the animals to employees. These procedures shall be available onsite at all times when employees are present, and shall be maintained as an employee exposure record, in accordance with Section 3204 of these orders.
(1) The written procedures shall include all of the following as they apply to the employer's operation:
(A) A detailed work plan including an assessment of the risks to employees, including biological, chemical, physical, and safety hazards, and a description of site control measures including designating a restricted area consisting of contaminated zones and contaminant reduction zones. Support equipment and personnel shall be staged outside of the restricted area.
(B) A list of all jobs, tasks or procedures in which employees may have occupational exposure.
(C) The measures the employer will use to control employee exposure, including each of the following: 
1. Engineering controls, work practice controls, and exposure monitoring.
2. Procedures for the safe handling of hazardous substances, including hazardous substances used for disinfection and decontamination. 
3. Procedures for the application of toxic or asphyxiant gases, if such gases are to be used in the operation. 
4. Respiratory protection.
5. Personal protective equipment and protective clothing. 
6. Decontamination procedures. 
7. Disposal of animal waste and contaminated personal protective equipment.
8. Medical services.
9. Training. 
10. Recordkeeping.
(D) Procedures to provide employees ready or frequent access to drinking water and sanitation facilities, including appropriate decontamination methods for employees who need to access these facilities. 
(E) Procedures to protect employees from the risk of heat illness.
(2) Operations in the restricted area shall be supervised at all times by a person knowledgeable about and authorized by the employer to enforce the employer's zoonotic disease control procedures. The supervisor shall ensure that all persons entering the restricted area have been trained in the control procedures applicable to the site or operation and are protected in accordance with this section. The supervisor shall record the identity and time of entry and exit for each person who enters and/or exits the restricted area. These records shall be maintained and made available in accordance with subsection (e).
(3) The employer shall provide and ensure that employees use personal protective equipment and clothing that meets the requirements of Sections 3380 through 3387 of these orders and is adequate to ensure that hazardous substances and contaminated fluids and aerosols do not penetrate to the employee's mucous membranes or skin. The equipment and clothing shall be reasonably comfortable and shall not unduly encumber the employee's movements necessary to perform the work. The equipment and clothing shall be compatible with decontamination and disposal methods available at the site. 
(4) Respiratory Protection. The employer shall provide and ensure that employees use appropriate respiratory protection during operations in the restricted area in accordance with Section 5144 of these orders, unless the employer has demonstrated through objective evidence, that engineering and work practice controls have eliminated the risk of disease transmission to employees. Respirator selection shall be based on the infectious disease hazard and on any hazardous substances that may require respiratory protection. Respirators shall be used until work areas have been decontaminated. Employees who work in enclosed areas shall use, at a minimum, elastomeric facepiece respirators or powered air purifying respirators (PAPR) with appropriate cartridges, unless the employer has demonstrated through objective evidence, that such use is not necessary to protect employees. The employer shall provide and ensure that employees use appropriate eye protection, unless employees use full facepiece respirators or PAPRs that provide eye protection. 
(5) Additional procedures for the application of toxic or asphyxiant gases. Employers whose work operations include areas in which toxic or asphyxiant gases are applied shall develop and implement written procedures that ensure all of the following:
(A) Prior to the application of toxic or asphyxiant gases to occupiable areas, the employer shall take positive measures to ensure that no person is in areas to which gas is applied, unless that person is protected by all of the measures required in Section 5144(g) of these orders for atmospheres that are immediately dangerous to life or health (IDLH). The completion of the measures shall be documented in writing and the documentation shall be signed by the supervisor of the restricted area. These measures shall include, but not be limited to, each of the following:
1. A physical or visual search of the area.
2. An audible or visual warning that is distinctive and recognizable by all persons in the area.
3. An accounting for all personnel who are known to be in the restricted zone. 
(B) Signs shall be posted at all possible entry points to the area prior to the application of gases. The signs shall be visible from a distance of 12 feet and clearly display the words “Danger -- Do Not Enter,” the poison symbol shown in Appendix A, and the name of the gas being applied. The signs shall be in all languages necessary to be understood by employees. Employees shall be prohibited from entering the area once the signs have been posted unless the employees enter under procedures for IDLH atmospheres as required by Section 5144(g). 
(C) The area shall be effectively ventilated prior to the re-entry of employees. Ventilation shall be accomplished in a manner that does not endanger employees working in other areas of the site.
(D) The signs required by subsection (d)(5)(B) shall not be removed until the employer has tested the atmosphere in the area and determined that it is not oxygen deficient, does not contain an atmosphere that is IDLH, and does not exceed the ceiling or short term exposure limits in Section 5155 of these orders for the applied gases. The employer shall ensure that the testing represents all potential exposures in the area. The results of this testing shall be recorded, including the specific area in which the measurements were taken, the date and time of the measurements, and the name and title of the person taking the measurements. This record shall be posted at the entrance to the area for the duration of the work operation, and then shall be retained in accordance with subsection (e). 
(E) Continuous monitoring for oxygen deficiency and toxic gases shall be conducted in areas in which employees are working adjacent to the area of application and where a hazardous atmosphere may exist. Employees shall be directed to exit the area immediately if an oxygen deficient atmosphere is detected or if toxic substances are detected at levels which exceed the permissible exposure limits in Section 5155 of these orders, independent of the duration of exposure. The area shall be posted as described in subsection (d)(5)(B), and entry shall be prohibited except under IDLH procedures, until the employer has verified that the area is safe for re-entry in accordance with subsection (d)(5)(D). 
(F) Where employees enter confined spaces, the employer shall comply with Section 5157 of these orders. 
(G) Fumigation operations shall also comply with Sections 5221 through 5223 of these orders. 
(6) Disposal. Procedures for treatment and disposal of animal waste and contaminated personal protective equipment and clothing shall minimize employee exposure to zoonotic disease hazards, and shall be in accordance with applicable standards of the California Environmental Protection Agency and the United States Environmental Protection Agency.
(7) Decontamination. The employer shall ensure that employees are properly decontaminated when leaving the restricted area and that contaminated clothing and equipment are appropriately decontaminated or disposed of. Decontamination facilities shall include change rooms and shower facilities that meet the requirements of Sections 3360 through 3368 of these orders.

Exception: Where change rooms and shower facilities are not feasible, the employer shall implement alternative effective measures for decontamination and changing clothes that protect employees from infectious materials and hazardous substances that may be present on their clothing or their person.
(8) Medical Services. The employer shall provide a medical services program to all employees who enter the restricted area. The employer shall consult a PLHCP knowledgeable about chemical and zoonotic disease hazards in developing the program. The program shall maintain medical confidentiality in accordance with Section 3204 of these orders. The employer shall provide all vaccinations, prophlyaxis, and medical surveillance recommended by the PLHCP, the CDC, the CDPH or the local health officer for employees involved in these operations. The medical services program shall include, at a minimum:
(A) Initial medical evaluation to be provided prior to first entrance into a restricted area. This shall include a respirator medical evaluation, in accordance with Section 5144(e) of these orders.
(B) Surveillance for signs and symptoms of zoonotic disease. Employees exhibiting signs or symptoms of zoonotic disease and employees requesting referral shall be referred immediately to the PLHCP for follow-up evaluation.
(C) Surveillance for signs and symptoms of over-exposures to hazardous substances as appropriate for substances present in the work operation. Employees exhibiting these signs or symptoms shall be referred immediately to the PLHCP for follow-up evaluation, and the employer shall further investigate the source of the potential over-exposure and take corrective measures, as needed.
(D) Provision of vaccinations or prophylaxis as recommended by the CDC, the CDPH, the local health officer, or the PLHCP. 
(E) Follow-up medical evaluations as recommended by the CDC, the CDPH, the local health officer or the PLHCP.
(F) The PLHCP shall provide the employer with a written report that shall contain only the following information: 
1. For respirator medical evaluations, information shall be limited to the information required in Section 5144(e)(6)(A) of these orders.
2. For provision of vaccination or prophylaxis, the PLHCP shall inform the employer as to whether the employee has been provided with vaccine and/or prophylaxis, and whether the employee is authorized to enter the restricted area.
3. For referrals and follow-up medical evaluations, the PLHCP shall inform the employer that the employee has received the evaluation, whether additional evaluation is required, and whether the employee is authorized to work in the restricted area.
(9) Training. Employees shall receive training upon initial assignment, when site conditions are substantially changed, and when hazards are newly introduced or newly recognized. Training shall be appropriate in content and vocabulary for the educational level, literacy, and language of employees. The training shall include each of the following as they apply to the work operation:
(A) The identification and description of the zoonotic diseases that may be present in the work operation, and their signs and symptoms. 
(B) The processes and procedures employees will use in restricted areas or when dealing with infected animals or their waste.
(C) The employer's safety program, including engineering and administrative controls, exposure monitoring and the results of exposure monitoring, the use of personal and respiratory protection equipment, cleaning and decontamination procedures, access to sanitation facilities and drinking water, and methods to control the risk of heat illness. 
(D) The meaning of signs that will be used onsite.
(E) Hazard communications training in accordance with Section 5194 of these orders.
(F) The employer's medical services program. 
(e) Recordkeeping. The employer shall establish and maintain records of implementation of the employer's zoonotic disease control procedures as follows:
(1) Records of implementation of hazard identification, evaluation and control, and employee training required by this section shall be created and maintained in accordance with Section 3203 of these orders. 
(2) Employee exposure records, including the employer's zoonotic disease control procedures as required by subsections (b), (c), and (d), records of entry into restricted areas, records of atmospheric testing, and records of exposures to hazardous substances shall be maintained in accordance with Section 3204 of these orders. 
(3) Employee medical records shall be maintained in a confidential manner in accordance with Section 3204 of these orders. 
(4) Records of the respiratory protection program shall be established, maintained, and made available in accordance with Sections 5144 and 3204 of these orders.
(5) Availability. 
(A) Employee medical records required by this section shall be provided upon request for examination and/or copying, in accordance with Section 3204 of these orders, to the subject employee, to anyone having the subject employee's written consent, and to the Chief, NIOSH, and the local health officer. 
(B) All other records shall be made available upon request for examination and/or copying to employees, employee representatives, the Chief, NIOSH, and the local health officer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section and Appendix A filed 7-6-2009; operative 8-5-2009 (Register 2009, No. 28).

Appendix A

View Graphic
Article 110. Regulated Carcinogens
§5200. Methylenedianiline.
Note     •     History

(a) Scope and application.
(1) This section applies to all occupational exposures to MDA, Chemical Abstracts Service Registry No. 101-77-9, except as provided in subsections (a)(2) through (a)(7) of this section.
(2) Except as provided in subsections (a)(8) and (e)(5), this section does not apply to the processing, use, and handling of products containing MDA where initial monitoring indicates that the product is not capable of releasing MDA in excess of the action level under the expected conditions of processing, use, and handling which will cause the greatest possible release; and where no “dermal exposure to MDA” can occur.
(3) Except as provided in subsection (a)(8), this section does not apply to the processing, use, and handling of products containing MDA where objective data are reasonably relied upon which demonstrate the product is not capable of releasing MDA under the expected conditions of processing, use, and handling which will cause the greatest possible release; and where no “dermal exposure to MDA” can occur.
(4) This section does not apply to the storage, transportation, distribution or sale of MDA in intact containers sealed in such a manner as to contain the MDA dusts, vapors, or liquids, except for the provisions of section 5149 and subsection (d).
(5) This section does not apply to the construction industry. (Exposure to MDA in the construction industry is covered by section 1535).
(6) Except as provided in subsection (a)(8) of this section, this section does not apply to materials in any form which contain less than 0.1% MDA by weight or volume.
(7) Except as provided in subsection (a)(8), this section does not apply to “finished articles containing MDA.”
(8) Where products containing MDA are exempted under subsections (a)(2) through (a)(7), the employer shall maintain records of the initial monitoring results or objective data supporting that exemption and the basis for the employer's reliance on the data, as provided in the recordkeeping provision of subsection (n).
(b) Definitions. For the purpose of this section, the following definitions shall apply:
Action level means a concentration of airborne MDA of 5 ppb as an eight (8)-hour time-weighted average.
Authorized person means any person specifically authorized by the employer whose duties require the person to enter a regulated area, or anv person entering such an area as a designated representative of employees, for the purpose of exercising the right to observe monitoring and measuring procedures under subsection (o), or any other person authorized by the Act or regulations issued under the Act.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Container means any barrel, bottle, can, cylinder, drum, reaction vessel, storage tank, commercial packaging or the like, but does not include piping systems.
Dermal exposure to MDA occurs where employees are engaged in the handling, application or use of mixtures or materials containing MDA, with any of the following non-airborne forms of MDA:
(A) Liquid, powdered, granular, or flaked mixtures containing MDA in concentrations greater than 0.1% by weight or volume; and
(B) Materials other than “finished articles” containing MDA in concentrations greater than 0.1% by weight or volume.
Emergency means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which results in an unexpected and potentially hazardous release of MDA.
Employee exposure means exposure to MDA which would occur if the employee were not using respirators or protective work clothing and equipment.
Finished article containing MDA is defined as a manufactured item:
(A) Which is formed to a specific shape or design during manufacture;
(B) Which has end use function(s) dependent in whole or part upon its shape or design during end use; and
(C) Where applicable, is an item which is fully cured by virtue of having been subjected to the conditions (temperature, time) necessary to complete the desired chemical reaction.
4,4' Methylenedianiline or MDA means the chemical, 4,4'-diaminodiphenylmethane, Chemical Abstract Service Registry number 101-77-9, in the form of a vapor, liquid, or solid. The definition also includes the salts of MDA.
NIOSH means the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
Regulated areas means areas where airborne concentrations of MDA exceed or can reasonably be expected to exceed, the permissible exposure limits, or where dermal exposure to MDA can occur.
STEL means short term exposure limit as determined by any 15 minute sample period.
(c) Permissible exposure limits (PEL).The employer shall assure that no employee is exposed to an airborne concentration of MDA in excess of ten parts per billion (10 ppb) as an 8-hour time-weighted average or a STEL of 100 ppb.
(d) Emergency situations.
(1) Written plan.
(A) A written plan for emergency situations shall be developed for each workplace where there is a possibility of an emergency. Appropriate portions of the plan shall be implemented in the event of an emergency.
(B) The plan shall specifically provide that employees engaged in correcting emergency conditions shall be equipped with the appropriate personal protective equipment and clothing as required in subsections (h) and (i) until the emergency is abated.
(C) The plan shall specifically include provisions for alerting and evacuating affected employees as well as the elements prescribed in section 3220.
(2) Alerting employees. Where there is the possibility of employee exposure to MDA due to an emergency, means shall be developed to alert promptly those employees who have the potential to be directly exposed. Affected employees not engaged in correcting emergency conditions shall be evacuated immediately in the event that an emergency occurs. Means shall also be developed and implemented for alerting other employees who may be exposed as a result of the emergency.
(e) Exposure monitoring.
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of each employee's exposure to airborne MDA over an eight (8) hour period. Determination of employee exposure to the STEL shall be made from breathing zone air samples collected over a 15 minute sampling period.
(B) Representative employee exposure shall be determined on the basis of one or more samples representing full shift exposure for each shift for each job classification in each work area where exposure to MDA may occur.
(C) Where the employer can document that exposure levels are equivalent for similar operations in different work shifts, the employer shall only be required to determine representative employee exposure for that operation during one shift.
(2) Initial monitoring. Each employer who has a workplace or work operation covered by this standard shall perform initial monitoring to determine accurately the airborne concentrations of MDA to which employees may be exposed.
(3) Periodic monitoring and monitoring frequency.
(A) If the monitoring required by subsection (e)(2) reveals employee exposure at or above the action level, but at or below the PELs, the employer shall repeat such representative monitoring for each such employee at least every six (6) months.
(B) If the monitoring required by subsection (e)(2) reveals employee exposure above the PELs, the employer shall repeat such monitoring for each such employee at least every three (3) months.
(C) The employer may alter the monitoring schedule from every three months to every six months for any employee for whom two consecutive measurements taken at least 7 days apart indicate that the employee exposure has decreased to below the TWA but above the action level.
(4) Termination of monitoring.
(A) If the initial monitoring required by subsection (e)(2) reveals employee exposure to be below the action level, the employer may discontinue the monitoring for that employee, except as otherwise required by subsection (e)(5).
(B) If the periodic monitoring required by subsection (e)(3) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are below the action level the employer may discontinue the monitoring for that employee, except as otherwise required by subsection (e)(5).
(5) Additional monitoring. The employer shall institute the exposure monitoring required under subsections (e)(2) and (e)(3) when there has been a change in production process, chemicals present, control equipment, personnel, or work practices which may result in new or additional exposures to MDA, or when the employer has any reason to suspect a change which may result in new or additional exposures.
(6) Accuracy of monitoring. Monitoring shall be accurate, to a confidence level of 95 percent, to within plus or minus 25 percent for airborne concentrations of MDA.
(7) Employee notification of monitoring results.
(A) The employer shall, within 15 working days after the receipt of the results of any monitoring performed under this standard, notify each employee of these results, in writing, either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) The written notification required by subsection (e)(7)(A) shall contain the corrective action being taken by the employer to reduce the employee exposure to or below the PELs, wherever the PELs are exceeded.
(8) Visual monitoring. The employer shall make routine inspections of employee hands, face and forearms potentially exposed to MDA. Other potential dermal exposures reported by the employee must be referred to the appropriate medical personnel for observation. If the employer determines that the employee has been exposed to MDA the employer shall:
(A) Determine the source of exposure;
(B) Implement protective measures to correct the hazard; and
(C) Maintain records of the corrective actions in accordance with subsection (n).
(f) Regulated areas.
(1) Establishment.
(A) Airborne exposures. The employer shall establish regulated areas where airborne concentrations of MDA exceed or can reasonably be expected to exceed, the permissible exposure limits.
(B) Dermal exposures. Where employees are subject to dermal exposure to MDA the employer shall establish those work areas as regulated areas.
(2) Demarcation. Regulated areas shall be demarcated from the rest of the workplace in a manner that minimizes the number of persons potentially exposed.
(3) Access. Access to regulated areas shall be limited to authorized persons.
(4) Personal protective equipment and clothing. Each person entering a regulated area shall be supplied with, and required to use, the appropriate personal protective clothing and equipment in accordance with subsections (h) and (i).
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in regulated areas.
(g) Methods of compliance.
(1) Engineering controls and work practices.
(A) The employer shall institute engineering controls and work practices to reduce and maintain employee exposure to MDA at or below the PELs except to the extent that the employer can establish that these controls are not feasible or where the provisions of subsections (g)(1)(B) or (h)(1)(A) through (D) apply.
(B) Wherever the feasible engineering controls and work practices which can be instituted are not sufficient to reduce employee exposure to or below the PELs, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protective devices which comply with the requirements of subsection (h).
(2) Compliance program.
(A) The employer shall establish and implement a written proqram to reduce employee exposure to or below the PELs by means of engineering and work practice controls, as required by subsection (g)(1), and by use of respiratory protection where permitted under this section. The program shall include a schedule for periodic maintenance (e.g., leak detection) and shall include the written plan for emergency situations as specified in subsection (d).
(B) Upon request this written program shall be furnished for examination and copying to the Chief, NIOSH, affected employees, and designated employee representatives. The employer shall review and, as necessary, update such plans at least once every 12 months to make certain they reflect the current status of the program.
(3) Employee rotation. Employee rotation shall not be permitted as a means of reducing exposure.
(h) Respiratory protection.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations for which the employer establishes that engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the PEL; and
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(3) Respirator selection.
(A) The employer shall select the appropriate respirators specified in Section 5144(d)(3)(A)1, and shall assure that the employee uses the respirator provided.
(B) Any employee who cannot wear a negative pressure respirator shall be given the option of wearing a positive pressure respirator or any supplied-air respirator operated in the continuous flow or pressure demand mode.
(C) The employer shall provide HEPA filters for powered and non-powered air-purifying respirators.
(D) For escape, the employer shall provide employees with one of the following respirator options:  Any self-contained breathing apparatus with a full facepiece or hood operated in the positive-pressure or continuous-flow mode; or a full facepiece air-purifying respirator.
(E) The employer shall provide a combination HEPA filter and organic vapor canister or cartridge with powered or non-powered air-purifying respirators when MDA is in liquid form or used as part of a process requiring heat.
(i) Protective work clothing and equipment.
(1) Provision and use. Where employees are subject to dermal exposure to MDA, where liquids containing MDA can be splashed into the eyes, or where airborne concentrations of MDA are in excess of the PEL, the employer shall provide, at no cost to the employee, and ensure that the employee uses, appropriate protective work clothing and equipment which prevent contact with MDA such as, but not limited to:
(A) Aprons, coveralls or other full-body work clothing;
(B) Gloves, head coverings, and foot coverings; and
(C) Face shields, chemical goggles; or
(D) Other appropriate protective equipment which comply with section 3404.
(2) Removal and storage.
(A) The employer shall ensure that, at the end of their work shift, employees remove MDA-contaminated protective work clothing and equipment that is not routinely removed throughout the day in change rooms provided in accordance with the provisions established for change rooms.
(B) The employer shall ensure that, during their work shift, employees remove all other MDA-contaminated protective work clothing or equipment before leaving a regulated area.
(C) The employer shall ensure that no employee takes MDA-contaminated work clothing or equipment out of the change room, except those employees authorized to do so for the purpose of laundering, maintenance, or disposal.
(D) MDA-contaminated work clothing or equipment shall be placed and stored in closed containers which prevent dispersion of the MDA outside the container.
(E) Containers of MDA-contaminated protective work clothing or equipment which are to be taken out of change rooms or the workplace for cleaning, maintenance, or disposal, shall bear labels warning of the hazards of MDA.
(3) Cleaning and replacement.
(A) The employer shall provide the employee with clean protective clothing and equipment. The employer shall ensure that protective work clothing or equipment required by this subsection is cleaned, laundered, repaired, or replaced at intervals appropriate to maintain its effectiveness.
(B) The employer shall prohibit the removal of MDA from protective work clothing or equipment by blowing, shaking, or any methods which allow MDA to re-enter the workplace.
(C) The employer shall ensure that laundering of MDA-contaminated clothing shall be done so as to prevent the release of MDA in the workplace.
(D) Any employer who gives MDA-contaminated clothing to another person for laundering shall inform such person of the requirement to prevent the release of MDA.
(E) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with MDA of the potentially harmful effects of exposure.
(F) MDA-contaminated clothing shall be transported in properly labeled, sealed, impermeable bags or containers.
(i) Hygiene facilities and practices.
(1) Change rooms.
(A) The employer shall provide clean change rooms for employees, who must wear protective clothing, or who must use protective equipment because of their exposure to MDA.
(B) Change rooms must be equipped with separate storage for protective clothing and equipment and for street clothes which prevents MDA contamination of street clothes.
(2) Showers.
(A) The employer shall ensure that employees, who work in areas where there is the potential for exposure resulting from airborne MDA (e.g., particulates or vapors) above the action level, shower at the end of the work shift.
1. Shower facilities required by this subsection shall comply with section 3366(f).
2. The employer shall ensure that employees who are required to shower pursuant to the provisions contained herein do not leave the workplace wearing any protective clothing or equipment worn during the work shift.
(B) Where dermal exposure to MDA occurs, the employer shall ensure that materials spilled or deposited on the skin are removed as soon as possible by methods which do not facilitate the dermal absorption of MDA.
(3) Lunch facilities.
(A) Availability and construction.
1. Whenever food or beverages are consumed at the worksite and employees are exposed to MDA at or above the PEL or are subject to dermal exposure to MDA the employer shall provide readily accessible lunch areas.
2. Lunch areas located within the workplace and in areas where there is the potential for airborne exposure to MDA at or above the PEL shall have a positive pressure, temperature controlled, filtered air supply.
3. Lunch areas may not be located in areas within the workplace where the potential for dermal exposure to MDA exists.
(B) The employer shall ensure that employees who have been subjected to dermal exposure to MDA or who have been exposed to MDA above the PEL wash their hands and faces with soap and water prior to eating, drinking, smoking, or applying cosmetics.
(C) The employer shall ensure that employees exposed to MDA do not enter lunch facilities with MDA-contaminated protective work clothing or equipment.
(k) Communication of hazards to employees.
(1) Signs and labels.
(A) The employer shall post and maintain legible signs demarcating regulated areas and entrances or accessways to regulated areas that bear the following legend:

DANGER
MDA
MAY CAUSE CANCER
LIVER TOXIN
AUTHORIZED PERSONNEL ONLY
RESPIRATORS AND PROTECTIVE CLOTHING
MAY BE REQUIRED TO BE WORN IN THIS AREA
(B) The employer shall ensure that labels or other appropriate forms of warning are provided for containers of MDA within the workplace. The labels shall comply with the requirements of section 5194(f) and shall include the following legend:
1. For Pure MDA:

DANGER
CONTAINS MDA
MAY CAUSE CANCER
LIVER TOXIN
2. For mixtures containing MDA:

DANGER
CONTAINS MDA
CONTAINS MATERIALS WHICH MAY CAUSE CANCER
LIVER TOXIN
(2) Material safety data sheets (MSDS).
(A) Employers shall obtain or develop, and shall provide access to their employees, to a material safety data sheet (MSDS) for MDA. In meeting this obligation, employers shall make appropriate use of the information found in Appendices A and B.
(B) Employers who are manufacturers or importers shall:
1. Comply with subsection (k)(1)(B) appropriate, and
2. Comply with the requirement in the Hazard Communication standard, section 5194, that they deliver to downstream employers an MSDS for MDA.
(3) Information and training.
(A) The employer shall provide employees with information and training on MDA, in accordance with section 5194(h), at the time of initial assignment and at least annually thereafter.
(B) In addition to the information required under section 5194, the employer shall:
1. Provide an explanation of the contents of this section, including Appendices A and B, and indicate to employees where a copy of the standard is available;
2. Describe the medical surveillance program required under subsection (m), and explain the information contained in Appendix C; and
3. Describe the medical removal provision required under subsection (m).
(4) Access to training materials.
(A) The employer shall make readily available to all affected employees, without cost, all written materials relating to the employee training program, including a copy of this regulation.
(B) The employer shall provide to the Chief and NIOSH, upon request, all information and training materials relating to the employee information and training program.
(l) Housekeeping.
(1) All surfaces shall be maintained as free as practicable of visible accumulations of MDA.
(2) The employer shall institute a program for detecting MDA leaks, spills, and discharges, including regular visual inspections of operations involying liquid or solid MDA.
(3) All leaks shall be repaired and liquid or dust spills cleaned up promptly.
(4) Surfaces contaminated with MDA may not be cleaned by the use of compressed air.
(5) Shoveling, dry sweeping, and other methods of dry clean-up of MDA may be used where HEPA-filtered vacuuming and/or wet cleaning are not feasible or practical.
(6) Waste, scrap, debris, bags, containers, equipment, and clothing contaminated with MDA shall be collected and disposed of in a manner to prevent the re-entry of MDA into the workplace.
(m) Medical surveillance.
(1) General.
(A) The employer shall make available a medical surveillance program for employees exposed to MDA:
1. Employees exposed at or above the action level for 30 or more days per year;
2. Employees who are subject to dermal exposure to MDA for 15 or more days per year;
3. Employees who have been exposed in an emergency situation;
4. Employees whom the employer, based on results from compliance with subsection (e)(8), has reason to believe are being dermally exposed; and
5. Employees who show signs or symptoms of MDA exposure.
(B) The employer shall ensure that all medical examinations and procedures are performed by, or under the supervision of, a licensed physician, at a reasonable time and place, and provided without cost to the employee.
(2) Initial examinations.
(A) Within 150 days of the effective date of this standard, or before the time of initial assignment, the employer shall provide each employee covered by subsection (m)(1)(A) with a medical examination including the following elements:
1. A detailed history which includes:
a. Past work exposure to MDA or any other toxic substances;
b. A history of drugs, alcohol, tobacco, and medication routinely taken (duration and quantity); and
c. A history of dermatitis, chemical skin sensitization, or previous hepatic disease.
2. A physical examination which includes all routine physical examination parameters, skin examination, and signs of liver disease.
3. Laboratory tests including:
a. Liver function tests, and
b. Urinalysis.
4. Additional tests as necessary in the opinion of the physician.
(B) No initial medical examination is required if adequate records show that the employee has been examined in accordance with the requirements of this section within the previous six months prior to the effective date of this standard or prior to the date of initial assignment.
(3) Periodic examinations.
(A) The employer shall provide each employee covered by this section with a medical examination at least annually following the initial examination. These periodic examinations shall include at least the following elements:
1. A brief history regarding any new exposure to  potential liver toxins, changes in drug, tobacco, and alcohol intake, and the appearance of physical signs relating to the liver, and the skin;
2. The appropriate tests and examinations including liver function tests and skin examinations; and
3. Appropriate additional tests or examinations as deemed necessary by the physician.
(B) If in the physician's opinion the results of liver function tests indicate an abnormality, the employee shall be removed from further MDA exposure in accordance with subsection (m)(9). Repeat liver function tests shall be conducted on advice of the physician.
(4) Emergency examinations. If the employer determines that the employee has been exposed to a potentially hazardous amount of MDA in an emergency situation as addressed in subsection (d), the employer shall provide medical examinations in accordance with subsections (m)(3)(A) and (B). If the results of liver function testing indicate an abnormality, the employee shall be removed in accordance with subsection (m)(9). Repeat liver function tests shall be conducted on the advice of the physician. If the results of the tests are normal, tests must be repeated two to three weeks from the initial testing. If the results of the second set of tests are normal and on the advice of the physician, no additional testing is required.
(5) Additional examinations. Where the employee develops signs and symptoms associated with exposure to MDA, the employer shall provide the employee with an additional medical examination including a liver function test. Repeat liver function tests shall be conducted on the advice of the physician. If the results of the tests are normal, tests must be repeated two to three weeks from the initial testing. If the results of the second set of tests are normal and, on the advice of the physician, no additional testing is required.
(6) Multiple physician review mechanism.
(A) If the employer selects the initial physician who conducts any medical examination or consultation provided to an employee under this section, and employee has signs or symptoms of occupational exposure to MDA (which could include an abnormal liver function test), and the employee disagrees with the opinion of the examining physician, and this opinion could affect the employee's job status, the employee may designate an appropriate, mutually acceptable second physician:
1. To review any findings, determinations, or recommendations of the initial physician; and
2. To conduct such examinations, consultations, laboratory tests, and discussions with the prior physicians as the second physician deems necessary to facilitate this review. 
(B) The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician conducts a medical examination or consultation pursuant to this section. The employer may condition its participation in, and payment for, the multiple physician review mechanism upon the employee doing the following within fifteen (15) days after receipt of the foregoing notification, or receipt of the initial physician's written opinion, whichever is later:
1. The employee informing the employer that he or she intends to seek a second medical opinion, and 
2. The employee initiating steps to make an appointment with a second physician.
(C) If the findings, determinations, or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
(D) If the two physicians have been unable to resolve quickly their disagreement, then the employer and the employee through their respective physicians shall designate a third physician;
1. To review any findings, determinations, or recommendations of the prior physicians; and
2. To conduct such examinations, consultations, laboratory tests, and discussions with the prior physicians as the third physician deems necessary to resolve the disagreement of the prior physicians.
(E) The employer shall act consistent with the findings, determinations, and recommendations of the third physician, unless the employer and the employee reach an agreement which is otherwise consistent with the recommendations of at least one of the three physicians.
(7) Information provided to the examining and consulting physicians.
(A) The employer shall provide the following information to the examining physician:
1. A copy of this regulation and its appendices;
2. A description of the affected employee's duties as they relate to the employee's potential exposure to MDA;
3. The employee's current actual or representative MDA exposure level;
4. A description of any personal protective equipment used or to be used; and
5. Information from previous employment-related medical examinations of the affected employee.
(B) The employer shall provide the foregoing information to a second physician under this section upon request either by the second physician, or by the employee.
(8) Physician's written opinion.
(A) For each examination under this section, the employer shall obtain, and provide the employee with a copy of, the examining physician's written opinion within 15 days of its receipt. The written opinion shall include the following:
1. The occupationally-pertinent results of the medical examination and tests;
2. The physician's opinion concerning whether the employee has any detected medical conditions which would place the employee at increased risk of material impairment of health from exposure to MDA;
3. The physician's recommended limitations upon the employee's exposure to MDA or upon the employee's use of protective clothing or equipment and respirators; and
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions resulting from MDA exposure which require further explanation or treatment.
(B) The written opinion obtained by the employer shall not reveal specific findings or diagnoses unrelated to occupational exposures.
(9) Medical removal.
(A) Temporary medical removal of an employee.
1. Temporary removal resulting from occupational exposure. The employee shall be removed from the work environments in which exposure to MDA is at or above the action level or where dermal exposure to MDA may occur, following an initial examination (subsection (m)(2)), periodic examinations (subsection (m)(3)), an emergency situation (subsection (m)(4)), or an additional examination (subsection (m)(5)) in the following circumstances:
a. When the employee exhibits signs and/or symptoms indicative of acute exposure to MDA; or
b. When the examining physician determines that an employee's abnormal liver function tests are not associated with MDA exposure but that the abnormalities may be exacerbated as a result of occupational exposure to MDA.
2. Temporary removal due to a final medical determination.
a. The employer shall remove an employee from work environments in which exposure to MDA is at or above the action level or where dermal exposure to MDA may occur, on each occasion that there is a final medical determination or opinion that the employee has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to MDA.
b. For the purposes of this section, the phrase “final medical determination” shall mean the outcome of the physician review mechanism used pursuant to the medical surveillance provisions of this section.
c. Where a final medical determination results in any recommended special protective measures for an employee, or limitations on an employee's exposure to MDA, the employer shall implement and act consistent with the recommendation.
(B) Return of the employee to former job status.
1. The employer shall return an employee to his or her former job status:
a. When the employee no longer shows signs or symptoms of exposure to MDA, or upon the advice of the physician.
b. When a subsequent final medical determination results in a medical finding, determination, or opinion that the employee no longer has a detected medical condition which places the employee at increased risk of material impairment to health from exposure to MDA.
2. For the purposes of this section, the requirement that an employer return an employee to his or her former job status is not intended to expand upon or restrict any rights an employee has or would have had, absent temporary medical removal, to a specific job classification or position under the terms of a collective bargaining agreement.
(C) Removal of other employee special protective measure or limitations. The employer shall remove any limitations placed on an employee, or end any special protective measures provided to an employee, pursuant to a final medical determination, when a subsequent final medical determination indicates that the limitations or special protective measures are no longer necessary.
(D) Employer options pending a final medical determination. Where the physician review mechanism used pursuant to the medical surveillance provisions of this section, has not yet resulted in a final medical determination with respect to an employee, the employer shall act as follows:
1. Removal. The employer may remove the employee from exposure to MDA, provide special protective measures to the employee, or place limitations upon the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status.
2. Return. The employer may return the employee to his or her former job status, and end any special protective measures provided to the employee, consistent with the medical findings, determinations, or recommendations of any of the physicians who have reviewed the employee's health status, with two exceptions.
a. If the initial removal, special protection, or limitation of the employee resulted from a final medical determination which differed from the findings, determinations, or recommendations of the initial physician; or
b. If the employee has been on removal status for the preceding six months as a result of exposure to MDA, then the employer shall await a final medical determination.
(E) Medical removal protection benefits.
1. Provisions of medical removal protection benefits. The employer shall provide to an employee up to six (6) months of medical removal protection benefits on each occasion that an employee is removed from exposure to MDA or otherwise limited pursuant to this section.
2. Definition of medical removal protection benefits. For the purposes of this section, the requirement that an employer provide medical removal protection benefits means that the employer shall maintain the earnings, seniority, and other employment rights and benefits of an employee as though the employee has not been removed from normal exposure to MDA or otherwise limited.
3. Follow-up medical surveillance during the period of employee removal or limitations. During the period of time that an employee is removed from normal exposure to MDA or otherwise limited, the employer may condition the provision of medical removal protection benefits upon the employee's participation in follow-up medical surveillance made available pursuant to this section.
4. Workers' compensation claims. If a removed employee files a claim for workers' compensation payments for a MDA-related disability, then the employer shall continue to provide medical removal protection benefits pending disposition of the claim. To the extent that an award is made to the employee for earnings lost during the period of removal, the employer's medical removal protection obligation shall be reduced by such amount. The employer shall receive no credit for workers' compensation payments received by the employee for treatment-related expenses.
5. Other credits. The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program, or receives income from non-MDA-related employment with any employer made possible by virtue of the employee's removal.
6. Employees who do not recover within the 6 months of removal. The employer shall take the following measures with respect to any employee removed from exposure to MDA:
a. The employer shall make available to the employee a medical examination pursuant to this section to obtain a final medical determination with respect to the employee;
b. The employer shall assure that the final medical determination obtained indicates whether or not the employee may be returned to his or her former job status, and, if not, what steps should be taken to protect the employee's health;
c. Where the final medical determination has not yet been obtained, or, once obtained indicates that the employee may not yet be returned to his or her former job status, the employer shall continue to provide medical removal protection benefits to the employee until either the employee is returned to former job status, or a final medical determination is made that the employee is incapable of ever safely returning to his or her former job status; and
d. Where the employer acts pursuant to a final medical determination which permits the return of the employee to his or her former job status, despite what would otherwise be an abnormal liver function test, later questions concerning removing the employee again shall be decided by a final medical determination. The employer need not automatically remove such an employee pursuant to the MDA removal criteria provided by this section.
(F) Voluntary removal or restriction of an employee. Where an employer, although not required by this section to do so, removes an employee from exposure to MDA or otherwise places limitations on an employee due to the effects of MDA exposure on the employee's medical condition, the employer shall provide medical removal protection benefits to the employee equal to that required by subsection (m)(9)(E).
(n) Recordkeeping.
(1) Monitoring data for exempted employers.
(A) Where as a result of the initial monitoring the processing, use, or hanling of products made from or containing MDA are exempted from other requirements of this section under subsection (a)(2), the employer shall establish and maintain an accurate record of monitoring relied on in support of the exemption.
(B) This record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the monitoring data (e.g., was monitoring performed by the employer or a private contractor);
3. The testing protocol, results of testing, and/or analysis of the material for the release of MDA;
4. A description of the operation exempted and how the data support the exemption (e.g., are the monitoring data representative of the conditions at the affected facility); and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Objective data for exempted employers.
(A) Where the processing, use, or handling of products made from or containing MDA are exempted from other requirements of this section under subsection (a), the employer shall establish and maintain an accurate record of objective data relied upon in support of the exemption.
(B) This record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of MDA;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(3) Exposure measurements.
(A) The employer shall establish and maintain an accurate record of all measurements required by subsection (e), in accordance with section 3204.
(B) This record shall include:
1. The dates, number, duration, and results of each of the samples taken, including a description of the procedure used to determine representative employee exposures;
2. Identification of the sampling and analytical methods used;
3. A description of the type of respiratory protective devices worn, if any; and
4. The name, social security number, job classification and exposure levels of the employee monitored and all other employees whose exposure the measurement is intended to represent.
(C) The employer shall maintain this record for at least 30 years, in accordance with section 3204.
(4) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance required by subsection (m), in accordance with section 3204.
(B) This record shall include:
1. The name, social security number and description of the duties of the employee;
2. The employer's copy of the physician's written opinion on the initial, periodic, and any special examinations, including results of medical examination and all tests, opinions, and recommendations;
3. Results of any airborne exposure monitoring done for that employee and the representative exposure levels supplied to the physician; and
4. Any employee medical complaints related to exposure to MDA.
(C) The employer shall keep, or assure that the examining physician keeps, the following medical records:
1. A copy of this standard and its appendices, except that the employer may keep one copy of the standard and its appendices for all employees provided the employer references the standard and its appendices in the medical surveillance record of each employee;
2. A copy of the information provided to the physician as required by any subsections in the regulatory text;
3. A description of the laboratory procedures and a copy of any standards or guidelines used to interpret the test results or references to the information;
4. A copy of the employee's medical and work history related to exposure to MDA.
(D) The employer shall maintain this record for at least the duration of employment plus 30 years, in accordance with section 3204.
(5) Medical removals.
(A) The employer shall establish and maintain an accurate record for each employee removed from current exposure to MDA pursuant to subsection (m).
(B) Each record shall include:
1. The name and social security number of the employee;
2. The date of each occasion that the employee was removed from current exposure to MDA as well as the corresponding date on which the employee was returned to his or her former job status;
3. A brief explanation of how each removal was or is being accomplished; and
4. A statement with respect to each removal indicating the reason for the removal.
(C) The employer shall maintain each medical removal record for at least the duration of an employee's employment plus 30 years.
(6) Availability.
(A) The employer shall assure that records required to be maintained by this section shall be made available, upon request, to the Chief and NIOSH for examination and copying.
(B) Employee exposure monitoring records required by this section shall be provided upon request for examination and copying to employees, employee representatives, and the Chief in accordance with section 3204(a)-(e) and (g)-(i).
(C) Employee medical records required by this section shall be provided upon request for examination and copying, to the subject employee, to anyone having the specific written consent of the subject employee, and to the Chief in accordance with section 3204.
(7) Transfer of records.
(A) The employer shall comply with the requirements involying transfer of records set forth in section 3204(h)
(B) If the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify NIOSH, at least 90 days prior to disposal, and transmit the records to NIOSH if so requested by NIOSH within that period.
(o) Observation of monitoring.
(1) Employee observation. The employer shall provide affected employees, or their designated representatives, an opportunity to observe the measuring or monitoring of employee exposure to MDA conducted pursuant to subsection (e).
(2) Observation procedures. When observation of the measuring or monitoring of employee exposure to MDA requires entry into areas where the use of protective clothing and equipment or respirators is required, the employer shall provide the observer with personal protective clothing and equipment or respirators required to be worn by employees working in the area, assure the use of such clothing and equipment or respirators, and require the observer to comply with all other applicable safety and health procedures.
(p) Reporting requirements. See section 5203.
(q) Appendices. The information contained in Appendices A, B, C and D to this section is not intended by itself, to create any additional obligations not otherwise imposed by this standard nor detract from any existing obligation. The protocols for respiratory fit testing in Appendix E are mandatory.
(r) Dates. All obligations related to meeting the PEL for MDA in section 5155 remain in effect until replaced by the more specific requirements of this section on its effective date or on the following dates:
(1) Initial monitoring under subsection (e)(2) shall be completed as soon as possible but no later than 90 days from the effective date of this section.
(2) Medical examinations under subsection (m) shall be completed as soon as possible but no later than 150 days from the effective date of this section.
(3) Emergency plans required by subsection (d) shall be provided and available for inspection and copying as soon as possible but no later than 120 days from the effective date of this section.
(4) Initial training and education shall be completed as soon as possible but no later than 120 days from the effective date of this section.
(5) Hygiene and lunchroom facilities under subsection (j) shall be in operation as soon as possible but no later than 1 year from the effective date of this section.
(6) Respiratory protection required by subsection (h) shall be provided as soon as possible but no later than 120 days from the effective date of this section.
(7) Written compliance plans required by subsection (g)(2) shall be completed and available for inspection and copying as soon as possible but no later than 120 days from the effective date of this section.
(8) The permissible exposure limits in subsection (c) shall apply 120 days from the effective date of this section.
(9) Engineering controls needed to achieve the PELs must be in place 1 year from the effective date of this section.
(10) Personal protective clothing required by subsection (i) shall be available 120 days from the effective date of this section.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 3-3-93; operative 4-2-93 (Register 93, No. 11). For prior history, see Register 87, No. 51.
2. Amendment of former subsections (h)(1)-(h)(5)(A) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3)(B), amendment of appendix A, subsection III.A, and amendment repealing appendix E and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
3. Editorial correction moving Note and Histories 1-2 from following Appendix E to preceding Appendix A (Register 99, No. 28).
4. Amendment of subsection (p) and repealer of subsections (p)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
5. Amendment of subsection (h)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
6. Amendment of subsections (h)(3)(A)-(B) and new subsections (h)(3)(C)-(E) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A to Section 5200 --  Substance Data Sheet   for 4-4'-Methylenedianiline
I. SUBSTANCE IDENTIFICATION
A. Substance: Methylenedianiline (MDA)
B. Permissible Exposure:
1. Airborne: Ten parts per billion parts of air (10 ppb), time- weighted average (TWA) for an 8-hour workday and an action level of five parts per billion parts of air (5 ppb).
2. Dermal: Eye contact and skin contact with MDA are not permitted.
C. Appearance and odor: White to tan solid; amine odor
II. HEALTH HAZARD DATA
A. Ways in which MDA affects your health. MDA can affect your health if you inhale it, or if it comes in contact with your skin or eyes. MDA is also harmful if you happen to swallow it. Do not get MDA in eyes, on skin, or on clothing.
B. Effects of overexposure.
1. Short-term (acute) overexposure: Overexposure to MDA may produce fever, chills, loss of appetite, vomiting, jaundice. Contact may irritate skin, eyes and mucous membranes. Sensitization may occur.
2. Long-term (chronic) exposure. Repeated or prolonged exposure to MDA, even at relatively low concentrations, may cause cancer. In addition, damage to the liver, kidneys, blood, and spleen may occur with long term exposure.
3. Reporting signs and symptoms: You should inform your employer if you develop any signs or symptoms which you suspect are caused by exposure to MDA including yellow staining of the skin.
III. PROTECTIVE CLOTHING AND EQUIPMENT
A. Respirators. Respirators are required for those operations in which engineering controls or work practice controls are not adequate or feasible to reduce exposure to the permissible limit. If respirators are worn, they must have a label issued by the National Institute for Occupational Safety and Health (NIOSH) under the provisions of 42 CFR part 84 stating that the respirators have been approved for this purpose, and cartridges or canisters must be replaced in accordance with the requirements of section 5144. If you experience difficulty breathing while wearing a respirator, you may request a positive pressure respirator from your employer. You must be thoroughly trained to use the assigned respirator, and the training will be provided by your employer.
MDA does not have a detectable odor except at levels well above the permissible exposure limits. Do not depend on odor to warn you when a respirator canister is exhausted. If you can smell MDA while wearing a respirator, proceed immediately to fresh air. If you experience difficulty breathing while wearing a respirator, tell your employer.
B. Protective clothing. You may be required to wear coveralls, aprons, gloves, face shields, or other appropriate protective clothing to prevent skin contact with MDA. Where protective clothing is required, your employer is required to provide clean garments to you, as necessary, to assure that the clothing protects you adequately. Replace or repair impervious clothing that has developed leaks.
MDA should never be allowed to remain on the skin. Clothing and shoes which are not impervious to MDA should not be allowed to become contaminated with MDA, and if they do, the clothing and shoes should be promptly removed and decontaminated. The clothing should be laundered to remove MDA or discarded. Once MDA penetrates shoes or other leather articles, they should not be worn again.
C. Eye protection. You must wear splashproof safety goggles in areas where liquid MDA may contact your eyes. Contact lenses should not be worn in areas where eye contact with MDA can occur. In addition, you must wear a face shield if your face could be splashed with MDA liquid.
IV. EMERGENCY AND FIRST AID PROCEDURES
A. Eye and face exposure. If MDA is splashed into the eyes, wash the eyes for at least 15 minutes. See a doctor as soon as possible.
B. Skin exposure. If MDA is spilled on your clothing or skin, remove the contaminated clothing and wash the exposed skin with large amounts of soap and water immediately. Wash contaminated clothing before you wear it again.
C. Breathing. If you or any other person breathes in large amounts of MDA, get the exposed person to fresh air at once. Apply artificial respiration if breathing has stopped. Call for medical assistance or a doctor as soon as possible. Never enter any vessel or confined space where the MDA concentration might be high without proper safety equipment and at least one other person present who will stay outside. A life line should be used.
D. Swallowing. If MDA has been swallowed and the patient is conscious, do not induce vomiting. Call for medical assistance or a doctor immediately.
V. MEDICAL REQUIREMENTS
If you are exposed to MDA at a concentration at or above the action level for more than 30 days per year, or exposed to liquid mixtures more than 15 days per year, your employer is required to provide a medical examination, including a medical history and laboratory tests, within 60 days of the effective date of this standard and annually thereafter. These tests shall be provided without cost to you. In addition, if you are accidentally exposed to MDA (either by ingestion, inhalation, or skin/eye contact) under conditions known or suspected to constitute toxic exposure to MDA, your employer is required to make special examinations and tests available to you.
VI. OBSERVATION OF MONITORING
Your employer is required to perform measurements that are representative of your exposure to MDA and you or your designated representative are entitled to observe the monitoring procedure. You are entitled to observe the steps taken in the measurement procedure and to record the results obtained. When the monitoring procedure is taking place in an area where respirators or personal protective clothing and equipment are required to be worn, you and your representative must also be provided with, and must wear, the protective clothing and equipment.
VII. ACCESS TO RECORDS
You or your representative are entitled to see the records of measurements of your exposure to MDA upon written request to your employer. Your medical examination records can be furnished to your physician or designated representative upon request by you to your employer.
VIII. PRECAUTIONS FOR SAFE USE, HANDLING AND STORAGE
A. Material is combustible. Avoid strong acids and their anhydrides. Avoid strong oxidants. Consult supervisor for disposal requirements.
B. Emergency clean-up. Wear self-contained breathing apparatus and fully clothe the body in the appropriate personal protective clothing and equipment.

Appendix B to Section 5200--Substance Technical  Guidelines, MDA
I. IDENTIFICATION
A. Substance identification.
1. Synonyms: CAS No. 101-77-9.
4.4'-methylenedianiline; 4,4'-methylenebisaniline; methylenedianiline; dianilinomethane.
2. Formula: C13H14N2
II. PHYSICAL DATA
1. Appearance and Odor: White to tan solid; amine odor
2. Molecular Weight: 198.26
3. Boiling Point: 398-399 degrees C at 760 mm Hg
4. Melting Point: 88-93 degrees C (190-200 degrees F)
5. Vapor Pressure: 9 mm Hg at 232 degrees C
6. Evaporation Rate (n-butyl acetate = 1): Negligible
7. Vapor Density (Air=1): Not Applicable
8. Volatile Fraction by Weight: Negligible
9. Specific Gravity (Water=1): Slight
10. Heat of Combustion: -8.40 kcal/g
11. Solubility in Water: Slightly soluble in cold water, very soluble in alcohol, benzene, ether, and many organic solyents.
III. FIRE, EXPLOSION, AND REACTIVITY HAZARD DATA
1. Flash Point: 190 degrees C (374 degrees F) Setaflash closed cup
2. Flash Point: 226 degrees C (439 degrees F) Cleveland open cup
3. Extinguishing Media: Water spray; Dry Chemical; Carbon dioxide.
4. Special Fire Fighting Procedures:
Wear self-contained breathing apparatus and protective clothing to prevent contact with skin and eyes.
5. Unusual Fire and Explosion Hazards:
Fire or excessive heat may cause production of hazardous decomposition products.
IV. REACTIVITY DATA
1. Stability: Stable
2. Incompatibility: Strong oxidizers
3. Hazardous Decomposition Products: As with any other organic material, combustion may produce carbon monoxide. Oxides of nitrogen may also be present.
4. Hazardous Polymerization: Will not occur.
V. SPILL AND LEAK PROCEDURES
1. Sweep material onto paper and place in fiber carton.
2. Package appropriately for safe feed to an incinerator or dissolye in compatible waste solyents prior to incineration.
3. Dispose of in an approved incinerator equipped with afterburner and scrubber or contract with licensed chemical waste disposal service.
4. Discharge treatment or disposal may be subject to federal, state, or local laws.
5. Wear appropriate personal protective equipment.
VI. SPECIAL STORAGE AND HANDLING PRECAUTIONS
A. High exposure to MDA can occur when transferring the substance from one container to another. Such operations should be well ventilated and good work practices must be established to avoid spills.
B. Pure MDA is a solid with a low vapor pressure. Grinding or heating operations increase the potential for exposure.
C. Store away from oxidizing materials.
D. Employers shall advise employees of all areas and operations where exposure to MDA could occur.
VII. HOUSEKEEPING AND HYGIENE FACILITIES
A. The workplace should be kept clean, orderly, and in a sanitary condition. The employer should institute a leak and spill detection program for operations involying MDA in order to detect sources of fugitive MDA emissions.
B. Adequate washing facilities with hot and cold water are to be provided and maintained in a sanitary condition. Suitable cleansing agents should also be provided to assure the effective removal of MDA from the skin.
VIII. COMMON OPERATIONS
Common operations in which exposure to MDA is likely to occur include the following: Manufacture of MDA; Manufacture of Methylene diisocyanate; Curing agent for epoxy resin structures; Wire coating operations; and filament winding.

Appendix C to Section 5200--Medical Surveillance  Guidelines for MDA
I. ROUTE OF ENTRY
Inhalation; skin absorption; ingestion. MDA can be inhaled, absorbed through the skin, or ingested.
II. TOXICOLOGY
MDA is a suspect carcinogen in humans. There are several reports of liver disease in humans and animals resulting from acute exposure to MDA. A well documented case of an acute cardiomyopathy secondary to exposure to MDA is on record. Numerous human cases of hepatitis secondary to MDA are known. Upon direct contact MDA may also cause damage to the eyes. Dermatitis and skin sensitization have been observed. Almost all forms of acute environmental hepatic injury in humans involve the hepatic parenchyma and produce hepatocellular jaundice. This agent produces intrahepatic cholestasis. The clinical picture consists of cholestatic jaundice, preceded or accompanied by abdominal pain, fever, and chills. Onset in about 60% of all observed cases is abrupt with severe abdominal pain. In about 30% of observed cases, the illness presented and evolved more slowly and less dramatically, with only slight abdominal pain. In about 10% of the cases only jaundice was evident. The cholestatic nature of the jaundice is evident in the prominence of itching, the histologic predominance of bile stasis, and portal inflammatory infiltration, accompanied by only slight parenchmal injury in most cases, and by the moderately elevated transaminase values. Acute, high doses, however, have been known to cause hepatocellular damage resulting in elevated SGPT, SGOT, alkaline phosphatase and bilirubin.
Absorption through the skin is rapid. MDA is metabolized and excreted over a 48-hour period. Direct contact may be irritating to the skin, causing dermatitis. Also MDA which is deposited on the skin is not thoroughly removed through washing.
MDA may cause bladder cancer in humans. Animal data supporting this assumption is not available nor is conclusive human data. However, human data collected on workers at a helicopter manufacturing facility where MDA is used suggests a higher incidence of bladder cancer among exposed workers.
III. SIGNS AND SYMPTOMS
Skin may become yellow from contact with MDA. Repeated or prolonged contact with MDA may result in recurring dermatitis (red- itchy, cracked skin) and eye irritation. Inhalation, ingestion or absorption through the skin at high concentrations may result in hepatitis, causing symptoms such as fever and chills, nausea and vomiting, dark urine, anorexia, rash, right upper quadrant pain and jaundice. Corneal burns may occur when MDA is splashed in the eyes.
IV. TREATMENT OF ACUTE TOXIC EFFECTS/EMERGENCY SITUATION
If MDA gets into the eyes, immediately wash eyes with large amounts of water. If MDA is splashed on the skin, immediately wash contaminated skin with mild soap or detergent. Employee should be removed from exposure and given proper medical treatment. Medical tests required under the emergency section of the medical surveillance subsection (m)(4) must be conducted.
If the chemical is swallowed do not induce vomiting but remove by gastric lavage.

Appendix D to Section 5200--Sampling and Analytical Methods for MDA Monitoring and Measurement Procedures
Measurements taken for the purpose of determining employee exposure to MDA are best taken so that the representative average 8-hour exposure may be determined from a single 8-hour sample or two (2) 4-hour samples. Short-time interval samples (or grab samples) may also be used to determine average exposure level if a minimum of five measurements are taken in a random manner over the 8-hour work shift. Random sampling means that any portion of the work shift has the same chance of being sampled as any other. The arithmetic average of all such random samples taken on one work shift is an estimate of an employee's average level of exposure for that work shift. Air samples should be taken in the employee's breathing zone (air that would most nearly represent that inhaled by the employee).
There are a number of methods available for monitoring employee exposures to MDA. The method OSHA currently uses is included below.
The employer, however, has the obligation of selecting any monitoring method which meets the accuracy and precision requirements of the standard under his unique field conditions. The standard requires that the method of monitoring must have an accuracy, to a 95 percent confidence level, of not less than plus or minus 25 percent for the select PEL.
OSHA METHODOLOGY
Sampling Procedure. Apparatus:
Samples are collected by use of a personal sampling pump that can be calibrated within +5% of the recommended flow rate with the sampling filter in line.
Samples are collected on 37 mm Gelman type A/E glass fiber filters treated with sulfuric acid. The filters are prepared by soaking each filter with 0.5 mL of 0.26N  H2S04. (0.26 N H2S04 can be prepared by diluting 1.5 mL of 36N H2504 to 200 mL with deionized water.) The filters are dried in an oven at 100 degrees C for one hour and then assembled into two-piece 37 mm polystyrene cassettes with backup pads. The cassettes are sealed with shrink bands and the ends are plugged with plastic plugs.
After sampling, the filters are carefully removed from the cassettes and individually transferred to small vials containing approximately 2 mL deionized water. The vials must be tightly sealed. The water can be added before or after the filters are transferred. The vials must be sealable and capable of holding at least 7 mL of liquid. Small glass scintillation vials with caps containing Teflon liners are recommended.
Reagents. Deionized water is needed for addition to the vials.
Sampling technique. Immediately before sampling, remove the plastic plugs from the filter cassettes. Attach the cassette to the sampling pump with flexible tubing and place the cassette in the employee's breathing zone. After sampling, seal the cassettes with plastic plugs until the filters are transferred to the vials containing deionized water. At some convenient time within 10 hours of sampling, transfer the sample filters to vials. Seal the small vials lengthwise. Submit at least one blank filter with each sample set. Blanks should be handled in the same manner as samples, but no air is drawn through them. Record sample volumes (in L of air) for each sample, along with any potential interferences.
Retention efficiency. A retention efficiency study was performed by drawing 100 L of air (80% relative humidity) at 1 L/min through sample filters that had been spiked with 0.814 mg MDA. Instead of using backup pads, blank acid-treated filters were used as backups in each cassette. Upon analysis, the top filters were found to have an average of 91.8% of the spiked amount. There was no MDA found on the bottom filters, so the amount lost was probably due to the slight instability of the MDA salt.
Extraction efficiency. The average extraction efficiency for six filters spiked at the target concentration is 99.6%. The stability of extracted and derivatized samples was verified by reanalyzing the above six samples the next day using fresh standards. The average extraction efficiency for the reanalyzed samples is 98.7%.
Recommended air volume and sampling rate. The recommended air volume is 100 L. The recommended sampling rate is 1 L/min.
Interferences (sampling). MDI appears to be a positive interference. It was found that when MDI was spiked onto an acid-treated filter, the MDI converted to MDA after air was drawn through it. Suspected interferences should be reported to the laboratory with submitted samples.
Safety precautions (sampling). Attach the sampling equipment to the employees so that it will not interfere with work performance or safety. Follow all safety procedures that apply to the work area being sampled.
Analytical Procedure. Apparatus: The following are required for analysis:
A GC equipped with an electron capture detector. For this evaluation a Tracor 222 Gas Chromatograph equipped with a Nickel 63 High Temperature Electron Capture Detector and a Linearizer was used.
A GC column capable of separating the MDA derivative from the solyent and interferences. A 6 ft x 2 mm ID glass column packed with 3% OV-101 coated on 100/120 Gas Chrom Q was used in this evaluation.
An electronic integrator or some other suitable means of measuring peak areas or heights.
Small resealable vials with Teflon-lined caps capable of holding 4 mL.
A dispenser or pipet for toluene capable of delivering 2.0 mL.
Pipets (or repipets with plastic or Teflon tips) capable of delivering 1 mL for the sodium hydroxide and buffer solutions.
A repipet capable of delivering 25 mL HFAA.
Syringes for preparation of standards and injection of standards and samples into a GC.
Volumetric flasks and pipets to dilute the pure MDA in preparation of standards.
Disposable pipets to transfer the toluene layers after the samples are extracted.
Reagents.
0.5 NaOH prepared from reagent grade NaOH.
Toluene, pesticide grade. Burdick and Jackson distilled in glass toluene was used.
Heptafluorobutyric acid anhydride (HFAA). HFAA from Pierce Chemical Company was used.
pH 7.0 phosphate buffer, prepared from 136 g potassium dihydrogen phosphate and 1 L deionized water. The pH is adjusted to 7.0 with saturated sodium hydroxide solution.
4,4'-Methylenedianiline (MDA), reagent grade.
Standard Preparation. Concentrated stock standards are prepared by diluting pure MDA with toluene. Analytical standards are prepared by injecting mL amounts of diluted stock standards into vials that contain 2.0 mL toluene. 25 mL HFAA are added to each vial and the vials are capped and shaken for 10 seconds. After 10 min, 1 mL of buffer is added to each vial. The vials are recapped and shaken for 10 seconds. After allowing the layers to separate, aliquots of the toluene (upper) layers are removed with a syringe and analyzed by GC. Analytical standard concentrations should bracket sample concentrations. Thus, if samples fall out of the range of prepared standards, additional standards must be prepared to ascertain detector response.
Sample preparation. The sample filters are received in vials containing deionized water. 1 mL of 0.5N NaOH and 2.0 mL toluene are added to each vial. The vials are recapped and shaken for 10 min. After allowing the layers to separate, approximately 1 mL aliquots of the toluene (upper) layers are transferred to separate vials with clean disposable pipets. The toluene layers are treated and analyzed.

	Analysis. GC conditions:
	Zone temperatures:	Column - 220 degrees C
		Injector - 235 degrees C
		Detector - 335 degrees C
	
	Gas flows, Ar/CH4:	Column - 28 mL/min
	(95/5) 	Purge - 40 mL/min
	Iniection volume:	  5.0 mL
	
	Column: 	6 ft x 1/8 in ID glass, 3%
		OV-101 on 100/120 Gas
		Chrom Q
	
	Retention time of MDA
	derivative: 	3.5 min
	Chromatogram: 	Peak areas or heights are measured by an integrator or other suitable means. A calibration curve is constructed by plotting response (peak areas or heights) of standard injections versus mg of MDA per sample. Sample concentrations must be bracketed by standards.
Interferences (analytical). Any compound that gives an electron capture detector response and has the same general retention time as the HFAA derivative of MDA is a potential interference. Suspected interferences reported to the laboratory with submitted samples by the industrial hygienist must be considered before samples are derivatized. GC parameters may be changed to possibly circumvent interferences. Retention time on a single column is not considered proof of chemical identity. Analyte identity should be confirmed by GC/MS if possible.
Calculations. The analyte concentration for samples is obtained from the calibration curve in terms of mg MDA per sample. The extraction efficiency is 100%. If any MDA is found on the blank, that amount is subtracted from the sample amounts. The air concentrations are calculated using the following formulae:
mg/m3 = (mg MDA per sample)(1000)/(L of air sampled)
ppb = (mg/m3)(24.46)/(198.3) = (mg/m3)(0.1233) where 24.46 is the molar volume at 25 degrees C and 760 mm Hg
Safety Precautions (analytical) . Avoid skin contact and inhalation of all chemicals. Restrict the use of all chemicals to a fume hood if possible. Wear safety glasses and a lab coat at all times while in the lab area.

Appendix E to Section 5200--Qualitative and Quantitative Fit Testing Procedures

[See Section 5144, Appendix A]
HISTORY

1. Editorial correction moving Note and Histories 1-2 to precede Appendix A to section 5200 (Register 99, No. 28). For prior history of Appendices, see section 5200.
§5201. 1,3-Butadiene.
History

(a) Scope and application.
(1) This section applies to all occupational exposures to 1,3-Butadiene (BD), Chemical Abstracts Service Registry No. 106-99-0, except as provided in subsection (a)(2).
(2) Exemptions.
(A) Except for the recordkeeping provisions in subsection (m)(1), this section does not apply to the processing, use, or handling of products containing BD or to other work operations and streams in which BD is present where objective data are reasonably relied upon that demonstrate the work operation or the product or the group of products or operations to which it belongs may not reasonably be foreseen to release BD in airborne concentrations at or above the action level or in excess of the STEL under the expected conditions of processing, use, or handling that will cause the greatest possible release or in any plausible accident.
(B) This section also does not apply to work operations, products or streams where the only exposure to BD is from liquid mixtures containing 0.1% or less of BD by volume or the vapors released from such liquids, unless objective data become available that show that airborne concentrations generated by such mixtures can exceed the action level or STEL under reasonably predictable conditions of processing, use or handling that will cause the greatest possible release.
(C) Except for labeling requirements and requirements for emergency response, this section does not apply to the storage, transportation, distribution or sale of BD or liquid mixtures in intact containers or in transportation pipelines sealed in such a manner as to fully contain BD vapors or liquid.
(3) Where products or processes containing BD are exempted under subsection (a)(2), the employer shall maintain records of the objective data supporting that exemption and the basis for the employer's reliance on the data, as provided in subsection (m)(1).
(b) Definitions: For the purpose of this section, the following definitions shall apply: 
Action level means a concentration of airborne BD of 0.5 ppm calculated as an eight (8)-hour time-weighted average.
Authorized person means any person specifically designated by the employer, whose duties require entrance into a regulated area, or a person entering such an area as a designated representative of employees to exercise the right to observe monitoring and measuring procedures under subsection (d)(8), or a person designated by the Chief or NIOSH to enter a regulated area.
1,3-Butadiene means an organic compound with chemical formula CH(2)=CH-CH=CH(2) that has a molecular weight of approximately 54.15 gm/mole.
Business day means any Monday through Friday, except those days designated as federal, state, local or company specific holidays.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Complete Blood Count (CBC) means laboratory tests performed on whole blood specimens and includes the following: White blood cell count (WBC), hematocrit (Hct), red blood cell count (RBC), hemoglobin (Hgb), differential count of white blood cells, red blood cell morphology, red blood cell indices, and platelet count.
Day means any part of a calendar day.
Emergency situation means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment that may or does result in an uncontrolled significant release of BD.
Employee exposure means exposure of a worker to airborne concentrations of BD which would occur if the employee were not using respiratory protective equipment.
NIOSH means the Director of the National Institute for Occupational Safety and Health (NIOSH), U.S. Department of Health and Human Services, or designee.
Objective data means monitoring data, or mathematical modeling or calculations based on composition, chemical and physical properties of a material, stream or product.
Permissible Exposure Limits, PELs means either the 8 hour Time Weighted Average (8-hr TWA) exposure or the Short-Term Exposure Limit (STEL).
Physician or other licensed health care professional is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide one or more of the specific health care services required by subsection (k).
Regulated area means any area where airborne concentrations of BD exceed or can reasonably be expected to exceed the 8-hour time weighted average (8-hr TWA) exposure of 1 ppm or the short-term exposure limit (STEL) of 5 ppm for 15 minutes.
(c) Permissible exposure limits (PELs).--
(1) Time-weighted average (TWA) limit. The employer shall ensure that no employee is exposed to an airborne concentration of BD in excess of one (1) part BD per million parts of air (ppm) measured as an eight (8)-hour time-weighted average.
(2) Short-term exposure limit (STEL). The employer shall ensure that no employee is exposed to an airborne concentration of BD in excess of five parts of BD per million parts of air (5 ppm) as determined over a sampling period of fifteen (15) minutes.
(d) Exposure monitoring--
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour TWA and 15-minute short-term exposures of each employee.
(B) Representative 8-hour TWA employee exposure shall be determined on the basis of one or more samples representing full-shift exposure for each shift and for each job classification in each work area.
(C) Representative 15-minute short-term employee exposures shall be determined on the basis of one or more samples representing 15-minute exposures associated with operations that are most likely to produce exposures above the STEL for each shift and for each job classification in each work area.
(D) Except for the initial monitoring required under subsection (d)(2), where the employer can document that exposure levels are equivalent for similar operations on different work shifts, the employer need only determine representative employee exposure for that operation from the shift during which the highest exposure is expected.
(2) Initial monitoring.
(A) Each employer who has a workplace or work operation covered by this section, shall perform initial monitoring to determine accurately the airborne concentrations of BD to which employees may be exposed, or shall rely on objective data pursuant to subsection (a)(2)(A) to fulfiill this requirement.
(B) Where the employer has monitored within two years prior to the effective date of this section and the monitoring satisfies all other requirements of this section, the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (d)(2)(A), provided that the conditions under which the initial monitoring was conducted have not changed in a manner that may result in new or additional exposures.
(3) Periodic monitoring and its frequency.
(A) If the initial monitoring required by subsection (d)(2) reveals employee exposure to be at or above the action level but at or below both the 8-hour TWA limit and the STEL, the employer shall repeat the representative monitoring required by subsection (d)(1) every twelve months.
(B) If the initial monitoring required by subsection (d)(2) reveals employee exposure to be above the 8-hour TWA limit, the employer shall repeat the representative monitoring required by subsection (d)(1)(B) at least every three months until the employer has collected two samples per quarter (each at least 7 days apart) within a two-year period, after which such monitoring must occur at least every six months.
(C) If the initial monitoring required by subsection (d)(2) reveals employee exposure to be above the STEL, the employer shall repeat the representative monitoring required by subsection (d)(1)(C) at least every three months until the employer has collected two samples per quarter (each at least 7 days apart) within a two-year period, after which such monitoring must occur at least every six months.
(D) The employer may alter the monitoring schedule from every six months to annually for any required representative monitoring for which two consecutive measurements taken at least 7 days apart indicate that employee exposure has decreased to or below the 8-hour TWA, but is at or above the action level.
(4) Termination of monitoring.
(A) If the initial monitoring required by subsection (d)(2) reveals employee exposure to be below the action level and at or below the STEL, the employer may discontinue the monitoring for employees whose exposures are represented by the initial monitoring.
(B) If the periodic monitoring required by subsection (d)(3) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are below the action level and at or below the STEL, the employer may discontinue the monitoring for those employees who are represented by such monitoring.
(5) Additional monitoring.
(A) The employer shall institute the exposure monitoring required under subsection (d) whenever there has been a change in the production, process, control equipment, personnel or work practices that may result in new or additional exposures to BD or when the employer has any reason to suspect that a change may result in new or additional exposures.
(B) Whenever spills, leaks, ruptures or other breakdowns occur that may lead to employee exposure above the 8-hr TWA limit or above the STEL, the employer shall monitor [using leak source, such as direct reading instruments, area or personal monitoring], after the cleanup of the spill or repair of the leak, rupture or other breakdown, to ensure that exposures have returned to the level that existed prior to the incident.
(6) Accuracy of monitoring. Monitoring shall be accurate, at a confidence level of 95 percent, to within plus or minus 25 percent for airborne concentrations of BD at or above the 1 ppm TWA limit and to within plus or minus 35 percent for airborne concentrations of BD at or above the action level of 0.5 ppm and below the 1 ppm TWA limit.
(7) Employee notification of monitoring results.
(A) The employer shall, within 5 business days after the receipt of the results of any monitoring performed under this section, notify the affected employees of these results in writing either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) The employer shall, within 15 business days after receipt of any monitoring performed under this section indicating the 8-hour TWA or STEL has been exceeded, provide the affected employees, in writing, with information on the corrective action being taken by the employer to reduce employee exposure to or below the 8-hour TWA or STEL and the schedule for completion of this action.
(8) Observation of monitoring. -- 
(A) Employee observation. The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to BD conducted in accordance with subsection (d). 
(B) Observation procedures. When observation of the monitoring of employee exposure to BD requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer at no cost with protective clothing and equipment, and shall ensure that the observer uses this equipment and complies with all other applicable safety and health procedures. 
(e) Regulated areas. 
(1) The employer shall establish a regulated area wherever occupational exposures to airborne concentrations of BD exceed or can reasonably be expected to exceed the permissible exposure limits, either the 8-hr TWA or the STEL. 
(2) Access to regulated areas shall be limited to authorized persons. 
(3) Regulated areas shall be demarcated from the rest of the workplace in any manner that minimizes the number of employees exposed to BD within the regulated area. 
(4) An employer at a multi-employer worksite who establishes a regulated area shall communicate the access restrictions and locations of these areas to other employers with work operations at that worksite whose employees may have access to these areas. 
(f) Methods of compliance. -- 
(1) Engineering controls and work practices. 
(A) The employer shall institute engineering controls and work practices to reduce and maintain employee exposure to or below the PELs, except to the extent that the employer can establish that these controls are not feasible or where subsection (h)(1)(A) applies.
(B) Wherever the feasible engineering controls and work practices which can be instituted are not sufficient to reduce employee exposure to or below the 8-hour TWA or STEL, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (h). 
(2) Compliance plan.
(A) Where any exposures are over the PELs, the employer shall establish and implement a written plan to reduce employee exposure to or below the PELs primarily by means of engineering and work practice controls, as required by subsection (f)(1), and by the use of respiratory protection where required or permitted under this section. No compliance plan is required if all exposures are under the PELs. 
(B) The written compliance plan shall include a schedule for the development and implementation of the engineering controls and work practice controls including periodic leak detection surveys.
(C) Copies of the compliance plan required in subsection (f)(2) shall be furnished upon request for examination and copying to the Chief, NIOSH, affected employees and designated employee representatives. Such plans shall be reviewed at least every 12 months, and shall be updated as necessary to reflect significant changes in the status of the employer's compliance program. 
(D) The employer shall not implement a schedule of employee rotation as a means of compliance with the PELs. 
(g) Exposure Goal Program.
(1) For those operations and job classifications where employee exposures are greater than the action level, in addition to compliance with the PELs, the employer shall have an exposure goal program that is intended to limit employee exposures to below the action level during normal operations. 
(2) Written plans for the exposure goal program shall be furnished upon request for examination and copying to the Chief, NIOSH, affected employees and designated employee representatives. 
(3) Such plans shall be updated as necessary to reflect significant changes in the status of the exposure goal program. 
(4) Respirator use is not required in the exposure goal program. 
(5) The exposure goal program shall include the following items unless the employer can demonstrate that the item is not feasible, will have no significant effect in reducing employee exposures, or is not necessary to achieve exposures below the action level: 
(A) A leak prevention, detection, and repair program. 
(B) A program for maintaining the effectiveness of local exhaust ventilation systems. 
(C) The use of pump exposure control technology such as, but not limited to, mechanical double-sealed or seal-less pumps. 
(D) Gauging devices designed to limit employee exposure, such as magnetic gauges on rail cars. 
(E) Unloading devices designed to limit employee exposure, such as a vapor return system. 
(F) A program to maintain BD concentration below the action level in control rooms by use of engineering controls. 
(h) Respiratory protection. --
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls; 
(B) Non-routine work operations which are performed infrequently and in which exposures are limited in duration. 
(C) Work operations for which feasible engineering controls and work practice controls are not yet sufficient to reduce exposures to or below the PELs; 
(D) Emergencies. 
(2) Respirator Program.
(A) The employer shall institute a respirator program in accordance with section 5144(b) (except (d)(1)(C), (d)(1)(C)2.a., and b.) through (m).
(B) If air-purifying respirators are used, the employer shall replace the air purifying filter element(s) according to the replacement life interval set for the class of respirator listed in Table 1 and at the beginning of each work shift. 
(C) In lieu of the replacement intervals listed in Table 1, the employer may replace cartridges or canisters at 90% of the expiration of service life, provided the employer: 
1. Demonstrates that employees will be adequately protected by this procedure.
2. Uses BD breakthrough data for this purpose that have been derived from tests conducted under worst case conditions of humidity, temperature, and air flow rate through the filter element. The employer shall describe the data supporting the cartridge/canister change schedule and the basis for reliance on the data in the employer's respirator program. 
(D) A label shall be attached to the filter element(s) to indicate the date and time it is first installed on the respirator. 
(E) If a NIOSH-approved end of service life indicator (ESLI) for BD becomes available for an air-purifying filter element, the element may be used until such time as the indicator shows no further useful service life or until replaced at the beginning of the next work shift, whichever comes first. 
(F) Regardless of the air purifying element used, if an employee detects the odor of BD, the employer shall replace the air-purifying element(s) immediately. 
(3) Respirator selection.
(A) The employer must select appropriate respirators from Table I.

Table 1.--Minimum Requirements for Respiratory Protection 
for Airborne BD

Concentration of airborne BD	Minimum required respirator
(ppm) or condition of use

Less than or equal to 5 ppm	(a) Air-purifying half mask or full facepiece
(5 times PEL).	respirator equipped with approved BD or 
	organic vapor cartridges or canisters. 
	Cartridges or canisters shall be replaced every
	4 hours.

Less than or equal to 10 ppm	(a)  Air-purifying half mask or full facepiece
(10 times PEL).	respirator equipped with approved BD or 
	organic vapor cartridges or canisters. 
	Cartridges or canisters shall be replaced every
	3 hours.

Concentration of airborne BD	Minimum required respirator
(ppm) or condition of use

Less than or equal to 25 ppm	(a)  Air-purifying full facepiece respirator 
(25 times PEL).	equipped with approved BD or organic vapor 	cartridges or canisters. Cartridges or canisters
	shall be replaced every 2 hours.
	(b) Any powered air-purifying respirator
	equipped with approved BD or organic vapor
	cartridges. PAPR cartridges shall be replaced
	every 2 hours.
	(c) Continuous flow supplied air respirator
	equipped with a hood or helmet.

Less than or equal to 50 ppm	(a) Air-purifying full facepiece respirator 
(50 times PEL).	equipped with approved BD or organic vapor 	cartridges or canisters. Cartridges or canisters
	shall be replaced every (1) hour.
	(b) Powered air-purifying respirator
	equipped with a tight-fitting facepiece
	and an approved BD or organic vapor
	cartridges. PAPR cartridges shall be replaced
	every (1) hour.

Concentration of airborne BD	Minimum required respirator
(ppm) or condition of use

Less than or equal to 1,000	(a) Supplied air respirator equipped with a
ppm (1,000 times PEL).	half mask of full facepiece and operated in
	a pressure demand or other positive pressure
	mode.

Greater than 1000 ppm	(a) Self-contained breathing unknown 
	concentration, or apparatus equipped with a
	firefighting full facepiece and operated in a
	pressure demand or other positive pressure
	mode.
	(b) Any supplied air respirator equipped with 			a full facepiece and operated in a pressure
	demand or other positive pressure mode in
	combination with an auxiliary self-contained
	breathing apparatus operated in a pressure
	demand or other positive pressure mode.

Escape from IDLH	(a) Any positive pressure self-contained
conditions. 	breathing apparatus with an appropriate
	service life.
	(b) A air-purifying full facepiece respirator
 	equipped with a front or back mounted BD or
 	organic vapor canister.

Notes: Respirators approved for use in higher concentrations are permitted to be used in lower concentrations. Full facepiece is required when eye irritation is anticipated.
(B) Air purifying respirators must have filter element(s) approved by NIOSH for organic vapors or BD.
(C) When an employee whose job requires the use of a respirator cannot use a negative pressure respirator, the employer must provide the employee with a respirator that has less breathing resistance, such as a powered air-purifying respirator or supplied air respirator, when the employee is able to use it and if it will provide adequate protection.
(i) Protective clothing and equipment. Where appropriate to prevent eye contact and limit dermal exposure to BD, the employer shall provide protective clothing and equipment at no cost to the employee and shall ensure its use. Eye and face protection shall meet the requirements of section 3382. 
(j) Emergency situations. Written plan. A written plan for emergency situations shall be developed, or an existing plan shall be modified, to contain the applicable elements specified in section 3220, Emergency Action Plan, section 3221, Fire Prevention Plan, and in section 5192, Hazardous Waste Operations and Emergency Responses, for each workplace where there is a possibility of an emergency. 
(k) Medical screening and surveillance. --
(1) Employees covered. The employer shall institute a medical screening and surveillance program as specified in this subsection for: 
(A) Each employee with exposure to BD at concentrations at or above the action level on 30 or more days or for employees who have or may have exposure to BD at or above the PELs on 10 or more days a year; 
(B) Employers (including successor owners) shall continue to provide medical screening and surveillance for employees, even after transfer to a non-BD exposed job and regardless of when the employee is transferred, whose work histories suggest exposure to BD: 
1. At or above the PELs on 30 or more days a year for 10 or more years;
2. At or above the action level on 60 or more days a year for 10 or more years; or 
3. Above 10 ppm on 30 or more days in any past year; and 
(C) Each employee exposed to BD following an emergency situation.
(2) Program administration. 
(A) The employer shall ensure that the health questionnaire, physical examination and medical procedures are provided without cost to the employee, without loss of pay, and at a reasonable time and place. 
(B) Physical examinations, health questionnaires, and medical procedures shall be performed or administered by a physician or other licensed health care professional. 
(C) Laboratory tests shall be conducted by an accredited laboratory.
(3) Frequency of medical screening activities. The employer shall make medical screening available on the following schedule: 
(A) For each employee covered under subsections (j)(1) (A)-(B), a health questionnaire and complete blood count with differential and platelet count (CBC) every year, and a physical examination as specified below: 
1. An initial physical examination that meets the requirements of this rule, if twelve months or more have elapsed since the last physical examination conducted as part of a medical screening program for BD exposure; 
2. Before assumption of duties by the employee in a job with BD exposure; 
3. Every 3 years after the initial physical examination;
4. At the discretion of the physician or other licensed health care professional reviewing the annual health questionnaire and CBC; 
5. At the time of employee reassignment to an area where exposure to BD is below the action level, if the employee's past exposure history does not meet the criteria of subsection (j)(1)(B) for continued coverage in the screening and surveillance program, and if twelve months or more have elapsed since the last physical examination; and 
6. At termination of employment if twelve months or more have elapsed since the last physical examination. 
(B) Following an emergency situation, medical screening shall be conducted as quickly as possible, but not later than 48 hours after the exposure. 
(C) For each employee who must wear a respirator, physical ability to perform the work and use the respirator must be determined as required by section 5144. 
(4) Content of medical screening.
(A) Medical screening for employees covered by subsections (j)(1) (A)-(B) shall include: 
1. A baseline health questionnaire that includes a comprehensive occupational and health history and is updated annually. Particular emphasis shall be placed on the hematopoietic and reticuloendothelial systems, including exposure to chemicals, in addition to BD, that may have an adverse effect on these systems, the presence of signs and symptoms that might be related to disorders of these systems, and any other information determined by the examining physician or other licensed health care professional to be necessary to evaluate whether the employee is at increased risk of material impairment of health from BD exposure. Health questionnaires shall consist of the sample forms in Appendix C to this section, or be equivalent to those samples; 
2. A complete physical examination, with special emphasis on the liver, spleen, lymph nodes, and skin; 
3. A CBC; and 
4. Any other test which the examining physician or other licensed health care professional deems necessary to evaluate whether the employee may be at increased risk from exposure to BD. 
(B) Medical screening for employees exposed to BD in an emergency situation shall focus on the acute effects of BD exposure and at a minimum include: A CBC within 48 hours of the exposure and then monthly for three months; and a physical examination if the employee reports irritation of the eyes, nose, throat, lungs, or skin, blurred vision, coughing, drowsiness, nausea, or headache. Continued employee participation in the medical screening and surveillance program, beyond these minimum requirements, shall be at the discretion of the physician or other licensed health care professional. 
(5) Additional medical evaluations and referrals. 
(A) Where the results of medical screening indicate abnormalities of the hematopoietic or reticuloendothelial systems, for which a non-occupational cause is not readily apparent, the examining physician or other licensed health care professional shall refer the employee to an appropriate specialist for further evaluation and shall make available to the specialist the results of the medical screening. 
(B) The specialist to whom the employee is referred under this subsection shall determine the appropriate content for the medical evaluation, e.g., examinations, diagnostic tests and procedures, etc. 
(6) Information provided to the physician or other licensed health care professional. The employer shall provide the following information to the examining physician or other licensed health care professional involved in the evaluation: 
(A) A copy of this section including its appendices; 
(B) A description of the affected employee's duties as they relate to the employee's BD exposure; 
(C) The employee's actual or representative BD exposure level during employment tenure, including exposure incurred in an emergency situation; 
(D) A description of pertinent personal protective equipment used or to be used; and 
(E) Information, when available, from previous employment-related medical evaluations of the affected employee which is not otherwise available to the physician or other licensed health care professional or the specialist. 
(7) The written medical opinion.
(A) For each medical evaluation required by this section, the employer shall ensure that the physician or other licensed health care professional produces a written opinion and provides a copy to the employer and the employee within 15 business days of the evaluation. The written opinion shall be limited to the following information: 
1. The occupationally pertinent results of the medical evaluation; 
2. A medical opinion concerning whether the employee has any detected medical conditions which would place the employee's health at increased risk of material impairment from exposure to BD; 
3. Any recommended limitations upon the employee's exposure to BD; and 
4. A statement that the employee has been informed of the results of the medical evaluation and any medical conditions resulting from BD exposure that require further explanation or treatment. 
(B) The written medical opinion provided to the employer shall not reveal specific records, findings, and diagnoses that have no bearing on the employee's ability to work with BD.
Note: However, this provision does not negate the ethical obligation of the physician or other licensed health care professional to transmit any other adverse findings directly to the employee.
(8) Medical surveillance.
(A) The employer shall ensure that information obtained from the medical screening program activities is aggregated (with all personal identifiers removed) and periodically reviewed, to ascertain whether the health of the employee population of that employer is adversely affected by exposure to BD. 
(B) Information learned from medical surveillance activities must be disseminated to covered employees, as defined in subsection (k)(1), in a manner that ensures the confidentiality of individual medical information. 
(l) Communication of BD hazards to employees. --
(1) Hazard communication. The employer shall communicate the hazards associated with BD exposure in accordance with the requirements of section 5194, Hazard Communication. 
(2) Employee information and training.
(A) The employer shall provide all employees exposed to BD with information and training in accordance with the requirements of section 5194, Hazard Communication. 
(B) The employer shall institute a training program for all employees who are potentially exposed to BD at or above the action level or the STEL, ensure employee participation in the program and maintain a record of the contents of such program. 
(C) Training shall be provided prior to or at the time of initial assignment to a job potentially involving exposure to BD at or above the action level or STEL and at least annually thereafter. 
(D) The training program shall be conducted in a manner that the employee is able to understand. The employee shall ensure that each employee exposed to BD over the action level or STEL is informed of the following: 
1. The health hazards associated with BD exposure, and the purpose and a description of the medical screening and surveillance program required by this section; 
2. The quantity, location, manner of use, release, and storage of BD and the specific operations that could result in exposure to BD, especially exposures above the PEL or STEL; 
3. The engineering controls and work practices associated with the employee's job assignment, and emergency procedures and personal protective equipment; 
4. The measures employees can take to protect themselves from exposure to BD. 
5. The contents of this standard and its appendices, and 
6. The right of each employee exposed to BD at or above the action level or STEL to obtain: 
a. medical examinations as required by subsection (j) at no cost to the employee; 
b. the employee's medical records required to be maintained by subsection (m)(4); and 
c. all air monitoring results representing the employee's exposure to BD and required to be kept by subsection (m)(2). 
(3) Access to information and training materials.
(A) The employer shall make a copy of this standard and its appendices readily available without cost to all affected employees and their designated representatives and shall provide a copy if requested. 
(B) The employer shall provide to the Chief or NIOSH, or the designated employee representatives, upon request, all materials relating to the employee information and the training program. 
(m) Recordkeeping. --
(1) Objective data for exemption from initial monitoring.
(A) Where the processing, use, or handling of products or streams made from or containing BD are exempted from other requirements of this section under subsection (a)(2), or where objective data have been relied on in lieu of initial monitoring under subsection (d)(2)(B), the employer shall establish and maintain a record of the objective data reasonably relied upon in support of the exemption. 
(B) This record shall include at least the following information: 
1. The product or activity qualifying for exemption; 
2. The source of the objective data; 
3. The testing protocol, results of testing, and analysis of the material for the release of BD; 
4. A description of the operation exempted and how the data support the exemption; and 
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption. 
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data. 
(2) Exposure measurements.
(A) The employer shall establish and maintain an accurate record of all measurements taken to monitor employee exposure to BD as prescribed in subsection (d). 
(B) The record shall include at least the following information: 
1. The date of measurement; 
2. The operation involving exposure to BD which is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken; 
5. Type of protective devices worn, if any; and 
6. Name, social security number and exposure of the employees whose exposures are represented.
7. The written corrective action and the schedule for completion of this action required by subsection (d)(7)(B).
(C) The employer shall maintain this record for at least 30 years in accordance with section 3204.
(3) Respirator Fit-test.
(A) The employer shall establish a record of the fit tests administered to an employee including: 
1. The name of the employee,
2. Type of respirator, 
3. Brand and size of respirator, 
4. Date of test, and 
5. Where QNFT is used, the fit factor, strip chart recording or other recording of the results of the test. 
(B) Fit test records shall be maintained for respirator users until the next fit test is administered. 
(4) Medical screening and surveillance. 
(A) The employer shall establish and maintain an accurate record for each employee subject to medical screening and surveillance under this section. 
(B) The record shall include at least the following information: 
1. The name and social security number of the employee; 
2. Physician's or other licensed health care professional's written opinions as described in subsection (k)(7); 
3. A copy of the information provided to the physician or other licensed health care professional as required by subsections (k)(7)(B)-(D). 
(C) Medical screening and surveillance records shall be maintained for each employee for the duration of employment plus 30 years, in accordance with section 3204. 
(5) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available for examination and copying to the Chief and NIOSH. 
(B) Access to records required to be maintained by subsections (l)(1)-(3) shall be granted in accordance with section 3204(e). 
(6) Transfer of records.
(A) Whenever the employer ceases to do business, the employer shall transfer records required by this section to the successor employer. The successor employer shall receive and maintain these records. If there is no successor employer, the employer shall notify NIOSH, at least three (3) months prior to disposal, and transmit them to NIOSH if requested by NIOSH within that period. 
(B) The employer shall transfer medical and exposure records as set forth in section 3204(h). 
(n) Reporting requirements. See section 5203.
(o) Dates. --
(1) Effective date. This section shall become effective August 27, 1997.
(2) Start-up dates.
(A) The initial monitoring required under subsection (d)(2) shall be completed within sixty (60) days of the effective date of this standard or the introduction of BD into the workplace. 
(B) The requirements of subsections (c) through (m), including feasible work practice controls but not including engineering controls specified in subsection (f)(1), shall be complied with within one-hundred and eighty (180) days after the effective date of this section. 
(C) Engineering controls specified by subsection (f)(1) shall be implemented within two (2) years after the effective date of this section, and the exposure goal program specified in subsection (g) shall be implemented within three (3) years after the effective date of this section. 
(p) Appendices.
(1) Appendix E to this section is mandatory. 
(2) Appendices A, B, C, D, and F to this section are informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
Note: Copies of the non-mandatory appendices can be obtained from any Cal/OSHA Consultation Service office.

Appendix A.   Substance Safety Data Sheet for 1,3-Butadiene  (Non-Mandatory)

See Title 29 Code of Federal Regulations section 1910.1051 
Appendix A.

Appendix B.   Substance Technical Guidelines for 1,3-Butadiene  (Non-Mandatory)

See Title 29 Code of Federal Regulations section 1910.1051 
Appendix B.

Appendix C.   Medical Screening and Surveillance for 1,3-Butadiene (Non-Mandatory)

See Title 29 Code of 
Federal Regulations section 1910.1051 Appendix C.

Appendix D.   Sampling and Analytical Method  for 1,3-Butadiene (Non-Mandatory)

See Title 29 Code of Federal Regulations section 1910.1051 
Appendix D.

Appendix E. Respirator Fit Testing Procedures (Mandatory)

[See Section 5144, Appendix A]

Appendix F.   Medical Questionaires. (Non-mandatory)

See Title 29 Code of Federal Regulations section 1910.1051 
Appendix F.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 5-29-97; operative 8-27-97 (Register 97, No. 22). For prior history, see Register 87, No. 51.
2. Change without regulatory effect amending subsections (b), (c)(1), (d)(2)(A)-(B), (d)(7)(B) and (p)(2) filed 12-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 52).
3. Amendment of former subsections (h)(1)-(h)(5)(C) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3)(C), and amendment repealing appendix E and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
4. Amendment of subsection (n) and repealer of subsections (n)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
5. Amendment of subsection (h)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
§5202. Methylene Chloride.
Note     •     History

This occupational health standard establishes requirements for employers to control occupational exposure to methylene chloride (MC). Employees exposed to MC are at increased risk of developing cancer, adverse effects on the heart, central nervous system and liver, and skin or eye irritation. Exposure may occur through inhalation, by absorption through the skin, or through contact with the skin. MC is a solvent which is used in many different types of work activities, such as paint stripping, polyurethane foam manufacturing, and cleaning and degreasing. Under the requirements of subsection (d), each covered employer must make an initial determination of each employee's exposure to MC. If the employer determines that employees are exposed below the action level, the only other provisions of this section that apply are that a record must be made of the determination, the employees must receive information and training under subsection (l) and, where appropriate, employees must be protected from contact with liquid MC under subsection (h). The provisions of the MC standard are as follows:
(a) Scope and application. This section applies to all occupational exposures to methylene chloride (MC), Chemical Abstracts Service Registry Number 75-09-2, in general industry, construction and shipyard employment.
(b) Definitions. For the purposes of this section, the following definitions shall apply:
Action level means a concentration of airborne MC of 12.5 parts per million (ppm) calculated as an eight (8)-hour time-weighted average (TWA).
Authorized person means any person specifically authorized by the employer and required by work duties to be present in regulated areas, or any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring and measuring procedures under subsection (d), or any other person authorized by the Chief.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Emergency means any occurrence, such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment, which results, or is likely to result in an uncontrolled release of MC. If an incidental release of MC can be controlled by employees such as maintenance personnel at the time of release and in accordance with the leak/spill provisions required by subsection (f), it is not considered an emergency as defined by this standard.
Employee exposure means exposure to airborne MC which occurs or would occur if the employee were not using respiratory protection.
Methylene chloride (MC) means an organic compound with chemical formula, CH2Cl2. Its Chemical Abstracts Service Registry Number is 75-09-2. Its molecular weight is 84.9 g/mole.
NIOSH means the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
Physician or other licensed health care professional is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide some or all of the health care services required by subsection (j).
Regulated area means an area, demarcated by the employer, where an employee's exposure to airborne concentrations of MC exceeds or can reasonably be expected to exceed either the 8-hour TWA PEL or the STEL.
Symptom means central nervous system effects such as headaches, disorientation, dizziness, fatigue, and decreased attention span; skin effects such as chapping, erythema, cracked skin, or skin burns; and cardiac effects such as chest pain or shortness of breath.
(c) Permissible exposure limits (PELs).
(1) Eight-hour time-weighted average (TWA) PEL. The employer shall ensure that no employee is exposed to an airborne concentration of MC in excess of twenty-five parts of MC per million parts of air (25 ppm) as an 8-hour TWA.
(2) Short-term exposure limit (STEL). The employer shall ensure that no employee is exposed to an airborne concentration of MC in excess of one hundred and twenty-five parts of MC per million parts of air (125 ppm) as determined over a sampling period of fifteen minutes.
(d) Exposure monitoring.
(1) Characterization of employee exposure.
(A) Where MC is present in the workplace, the employer shall determine each employee's exposure by either:
1. Taking a personal breathing zone air sample of each employee's exposure; or
2. Taking personal breathing zone air samples that are representative of each employee's exposure.
(B) Representative samples. The employer may consider personal breathing zone air samples to be representative of employee exposures when they are taken as follows:
1. 8-hour TWA PEL. The employer has taken one or more personal breathing zone air samples for at least one employee in each job classification in a work area during every work shift, and the employee sampled is expected to have the highest MC exposure.
2. Short-term exposure limits. The employer has taken one or more personal breathing zone air samples which indicate the highest likely 15-minute exposures during such operations for at least one employee in each job classification in the work area during every work shift, and the employee sampled is expected to have the highest MC exposure.
3. Exception. Personal breathing zone air samples taken during one work shift may be used to represent employee exposures on other work shifts where the employer can document that the tasks performed and conditions in the workplace are similar across shifts.
(C) Accuracy of monitoring. The employer shall ensure that the methods used to perform exposure monitoring produce results that are accurate to a confidence level of 95 percent, and are:
1. Within plus or minus 25 percent for airborne concentrations of MC above the 8-hour TWA PEL or the STEL; or
2. Within plus or minus 35 percent for airborne concentrations of MC at or above the action level but at or below the 8-hour TWA PEL.
(2) Initial determination. Each employer whose employees are exposed to MC shall perform initial exposure monitoring to determine each affected employee's exposure, except under the following conditions:
(A) Where objective data demonstrate that MC cannot be released in the workplace in airborne concentrations at or above the action level or above the STEL. The objective data shall represent the highest MC exposures likely to occur under reasonably foreseeable conditions of processing, use, or handling. The employer shall document the objective data exemption as specified in subsection (m);
(B) Where the employer has performed exposure monitoring within 12 months prior to the effective date of this section and that exposure monitoring meets all other requirements of this section, and was conducted under conditions substantially equivalent to existing conditions; or
(C) Where employees are exposed to MC on fewer than 30 days per year (e.g., on a construction site), and the employer has measurements by direct-reading instruments which give immediate results (such as a detector tube) and which provide sufficient information regarding employee exposures to determine what control measures are necessary to reduce exposures to acceptable levels.
(3) Periodic monitoring. Where the initial determination shows employee exposures at or above the action level or above the STEL, the employer shall establish an exposure monitoring program for periodic monitoring of employee exposure to MC in accordance with Table 1:

Table 1.--Initial Determination Exposure Scenarios 
and Their Associated Monitoring Frequencies

	Exposure scenario	Required monitoring activity

Below the action level and at or below		No 8-hour TWA or STEL 
 the STEL.		 monitoring required.

Below the action level and above		No 8-hour TWA monitoring
 the STEL.		 required; monitor STEL
		 exposures every three months.

At or above the action level, at or below		Monitor 8-hour TWA exposures
 the TWA, and at or below the STEL.		 every six months.

At or above the action level, at the STEL.		Monitor 8-hour TWA exposures
 		 every six months and monitor
		 STEL exposures every three
		 months.

Above the TWA and at or below the 	Monitor 8-hour TWA exposures
STEL.		 every three months. 
		 In addition, without regard to
		 the last sentence of the note to
		 subsection (d)(3), the 
		 following employers must
		 monitor STEL exposures
		 every three months until
		 either the date by which
		 they must achieve the
		 8-hour TWA PEL under
		 subsection (n) of this
		 section or the date by which
		 they in fact achieve the
		 8-hour TWA PEL,
		 whichever comes first:
		 employers engaged in
		 polyurethane foam 
		 manufacturing; foam

		 fabrication; furniture
		 refinishing; general
		 aviation aircraft stripping;
		 product formulation; use of
		 MC-based adhesives for
		 boat building and repair,
		 recreational vehicle
		 manufacture,  van
		 conversion, or upholstery;
		 and  use of MC in
		 construction work for
		 restoration and
		 preservation  of buildings,
		 painting and paint
		 removal, cabinet making,
		 or floor refinishing or
		 resurfacing

Above the TWA and above the STEL.		Monitor 8-hour TWA exposures
		 and STEL exposures every 
		 three months.

Note to subsection (d)(3): The employer may decrease the frequency of 8-hour TWA exposure monitoring to every six months when at least two consecutive measurements taken at least seven days apart show exposures to be at or below the 8-hour TWA PEL. The employer may discontinue the periodic 8-hour TWA monitoring for employees where at least two consecutive measurements taken at least seven days apart are below the action level. The employer may discontinue the periodic STEL monitoring for employees where at least two consecutive measurements taken at least seven days apart are at or below the STEL.
(4) Additional monitoring.
(A) The employer shall perform exposure monitoring when a change in workplace conditions indicates that employee exposure may have increased. Examples of situations that may require additional monitoring include changes in production, process, control equipment, or work practices, or a leak, rupture, or other breakdown.
(B) Where exposure monitoring is performed due to a spill, leak, rupture or equipment breakdown, the employer shall clean-up the MC and perform the appropriate repairs before monitoring.
(5) Employee notification of monitoring results.
(A) The employer shall, within 15 working days after the receipt of the results of any monitoring performed under this section, notify each affected employee of these results in writing, either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) Whenever monitoring results indicate that employer exposure is above the 8-hour TWA PEL or the STEL, the employer shall describe in the written notification the corrective action being taken to reduce employee exposure to or below the 8-hour TWA PEL or STEL and the schedule for completion of this action.
(6) Observation of monitoring.
(A) Employee observation. The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to MC conducted in accordance with this section.
(B) Observation procedures. When observation of the monitoring of employee exposure to MC requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide, at no cost to the observer(s), and the observer(s) shall be required to use such clothing and equipment and shall comply with all other applicable safety and health procedures.
(e) Regulated areas.
(1) The employer shall establish a regulated area whenever an employee's exposure to airborne concentrations of MC exceeds or can reasonably be expected to exceed either the 8-hour TWA PEL or the STEL.
(2) The employer shall limit access to regulated areas to authorized persons.
(3) The employer shall supply a respirator, selected in accordance with subsection (g)(3), to each person who enters a regulated area and shall require each affected employee to use that respirator whenever MC exposures are likely to exceed the 8-hour TWA PEL or STEL.

Note to subsection (e)(3): An employer who has implemented all feasible engineering, work practice and administrative controls (as required in subsection (f)), and who has established a regulated area (as required by subsection (e)(1)) where MC exposure can be reliably predicted to exceed the 8-hour TWA PEL or the STEL only on certain days (for example, because of work or process schedule) would need to have affected employees use respirators in that regulated area only on those days.
(4) The employer shall ensure that, within a regulated area, employees do not engage in non-work activities which may increase dermal or oral MC exposure.
(5) The employer shall ensure that while employees are wearing respirators, they do not engage in activities (such as taking medication or chewing gum or tobacco) which interfere with respirator seal or performance.
(6) The employer shall demarcate regulated areas from the rest of the workplace in any manner that adequately establishes and alerts employees to the boundaries of the area and minimizes the number of authorized employees exposed to MC within the regulated area.
(7) An employer at a multi-employer worksite who establishes a regulated area shall communicate the access restrictions and locations of these areas to all other employers with work operations at that worksite.
(f) Methods of compliance.
(1) Engineering and work practice controls. The employer shall institute and maintain the effectiveness of engineering controls and work practices to reduce employee exposure to or below the PELs except to the extent that the employer can demonstrate that such controls are not feasible. Wherever the feasible engineering controls and work practices which can be instituted are not sufficient to reduce employee exposure to or below the 8-TWA PEL or STEL, the employer shall use them to re-- duce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (g).
(2) Prohibition of rotation. The employer shall not implement a schedule of employee rotation as a means of compliance with the PELs.
(3) Leak and spill detection.
(A) The employer shall implement procedures to detect leaks of MC in the workplace. In work areas where spills may occur, the employer shall make provisions to contain any spills and to safely dispose of any MC-contaminated waste materials.
(B) The employer shall ensure that all incidental leaks are repaired and that incidental spills are cleaned promptly by employees who use the appropriate personal protective equipment and are trained in proper methods of cleanup.

Note to subsection (f)(3)(B): See Appendix A for examples of procedures that satisfy this requirement. Employers covered by this standard may also be subject to the hazardous waste and emergency response provisions contained in § 5192(q).
(g) Respiratory protection.
(1) General requirements. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods when an employee's exposure to MC exceeds or can reasonably be expected to exceed the 8-hour TWA PEL or the STEL (such as where an employee is using MC in a regulated area);
(B) Periods necessary to install or implement feasible engineering and work practice controls;
(C) A few work operations, such as some maintenance operations and repair activities, for which the employer demonstrates that engineering and work practice controls are infeasible;
(D) Work operations for which feasible engineering and work practice controls are not sufficient to reduce exposures to or below the PELs; or
(E) Emergencies.
(2) Respirator program.
(A) The employer must institute a respirator program in accordance with section 5144(b) through (m) (except (d)(1)(C) and (d)(3)(C)2.a. and b.).
(B) Employers who provide gas masks with organic vapor canisters for the purpose of emergency escape shall replace those canisters after any emergency use before those gas masks are returned to service.
(3) Respirator selection. 
(A) The employer must select, and provide to employees, appropriate atmosphere-supplying respirators specified in Section 5144(d)(3)(A)1.; however employers must not select or use half masks of any type because MC may cause eye irritation or damage.
(B) For emergency escape, the employer shall provide employees with one of the following respirator options:  A self-contained breathing apparatus operated in the continuous-flow or pressure-demand mode; or a gas mask with an organic vapor canister.
(h) Protective Work Clothing and Equipment.
(1) Where needed to prevent MC-induced skin or eye irritation, the employer shall provide clean protective clothing and equipment which is resistant to MC, at no cost to the employee, and shall ensure that each affected employee uses it. Eye and face protection shall meet the requirements of § 3382, as applicable.
(2) The employer shall clean, launder, repair and replace all protective clothing and equipment required by this subsection as needed to maintain their effectiveness.
(3) The employer shall be responsible for the safe disposal of such clothing and equipment. 

Note to subsection (h)(3): See Appendix A for examples of disposal procedures that will satisfy this requirement.
(i) Hygiene facilities.
(1) If it is reasonably foreseeable that employees' skin may contact solutions containing 0.1 percent or greater MC (for example, through splashes, spills or improper work practices), the employer shall provide conveniently located washing facilities capable of removing the MC, and shall ensure that affected employees use these facilities as needed. 
(2) If it is reasonably foreseeable that an employee's eyes may contact solutions containing 0.1 percent or greater MC (for example through splashes, spills or improper work practices), the employer shall provide appropriate eyewash facilities within the immediate work area for emergency use, and shall ensure that affected employees use those facilities when necessary. 
(j) Medical surveillance.
(1) Affected employees. The employer shall make medical surveillance available for employees who are or may be exposed to MC as follows:
(A) At or above the action level on 30 or more days per year, or above the 8-hour TWA PEL or the STEL on 10 or more days per year;
(B) Above the 8-TWA PEL or STEL for any time period where an employee has been identified by a physician or other licensed health care professional as being at risk from cardiac disease or from some other serious MC-related health condition and such employee requests inclusion in the medical surveillance program;
(C) During an emergency. 
(2) Costs. The employer shall provide all required medical surveillance at no cost to affected employees, without loss of pay and at a reasonable time and place.
(3) Medical personnel. The employer shall ensure that all medical surveillance procedures are performed by a physician or other licensed health care professional, as defined in subsection (b).
(4) Frequency of medical surveillance. The employer shall make medical surveillance available to each affected employee as follows:
(A) Initial surveillance. The employer shall provide initial medical surveillance under the schedule provided by subsection (n)(2)(C), or before the time of initial assignment of the employee, whichever is later. The employer need not provide the initial surveillance if medical records show that an affected employee has been provided with medical surveillance that complies with this section within 12 months before the effective date of this section.
(B) Periodic medical surveillance. The employer shall update the medical and work history for each affected employee annually. The employer shall provide periodic physical examinations, including appropriate laboratory surveillance, as follows:
1. For employees 45 years of age or older, within 12 months of the initial surveillance or any subsequent medical surveillance; and
2. For employees younger than 45 years of age, within 36 months of the initial surveillance or any subsequent medical surveillance.
(C) Termination of employment or reassignment. When an employee leaves the employer's workplace, or is reassigned to an area where exposure to MC is consistently at or below the action level and STEL, medical surveillance shall be made available if six months or more have elapsed since the last medical surveillance.
(D) Additional surveillance. The employer shall provide additional medical surveillance at frequencies other than those listed above when recommended in the written medical opinion. (For example, the physician or other licensed health care professional may determine an examination is warranted in less than 36 months for employees younger than 45 years of age based upon evaluation of the results of the annual medical and work history.)
(5) Content of medical surveillance.
(A) Medical and work history. The comprehensive medical and work history shall emphasize neurological symptoms, skin conditions, history of hematological or liver disease, signs or symptoms suggestive of heart disease (angina, coronary artery disease), risk factors for cardiac disease, MC exposures, and work practices and personal protective equipment used during such exposures.

Note to subsection (j)(5)(A): See Appendix B for an example of a medical and work history format that would satisfy this requirement.
(B) Physical examination. Where physical examinations are provided as required above, the physician or other licensed health care professional shall accord particular attention to the lungs, cardiovascular system (including blood pressure and pulse), liver, nervous system, and skin. The physician or other licensed health care professional shall determine the extent and nature of the physical examination based on the health status of the employee and analysis of the medical and work history.
(C) Laboratory surveillance. The physician or other licensed health care professional shall determine the extent of any required laboratory surveillance based on the employee's observed health status and the medical and work history.

Note to subsection (j)(5)(C): See Appendix B for information regarding medical tests. Laboratory surveillance may include before- and after-shift carboxyhemoglobin determinations, resting ECG, hematocrit, liver function tests and cholesterol levels.
(D) Other information or reports. The medical surveillance shall also include any other information or reports the physician or other licensed health care professional determines are necessary to assess the employee's health in relation to MC exposure. 
(6) Content of emergency medical surveillance. The employer shall ensure that medical surveillance made available when an employee has been exposed to MC in emergency situations includes, at a minimum:
(A) Appropriate emergency treatment and decontamination of the exposed employee;
(B) Comprehensive physical examination with special emphasis on the nervous system, cardiovascular system, lungs, liver and skin, including blood pressure and pulse;
(C) Updated medical and work history, as appropriate for the medical condition of the employee; and
(D) Laboratory surveillance, as indicated by the employee's health status.

Note to subsection (j)(6)(D): See Appendix B for examples of tests which may be appropriate.
(7) Additional examinations and referrals. Where the physician or other licensed health care professional determines it is necessary, the scope of the medical examination shall be expanded and the appropriate additional medical surveillance, such as referrals for consultation or examination, shall be provided.
(8) Information provided to the physician or other licensed health care professional. The employer shall provide the following information to a physician or other licensed health care professional who is involved in the diagnosis of MC-induced health effects:
(A) A copy of this section including its applicable appendices;
(B) A description of the affected employee's past, current and anticipated future duties as they relate to the employee's MC exposure;
(C) The employee's former or current exposure levels or, for employees not yet occupationally exposed to MC, the employee's anticipated exposure levels and the frequency and exposure levels anticipated to be associated with emergencies; 
(D) A description of any personal protective equipment, such as respirators, used or to be used; and
(E) Information from previous employment-related medical surveillance of the affected employee which is not otherwise available to the physician or other licensed health care professional.
(9) Written medical opinions. 
(A) For each physical examination required by this section, the employer shall ensure that the physician or other licensed health care professional provides to the employer and to the affected employee a written opinion regarding the results of that examination within 15 days of completion of the evaluation of medical and laboratory findings, but not more than 30 days after the examination. The written medical opinion shall be limited to the following information:
1. The physician or other licensed health care professional's opinion concerning whether exposure to MC may contribute to or aggravate the employee's existing cardiac, hepatic, neurologic (including stroke) or dermal disease or whether the employee has any other medical condition(s) that would place the employee's health at increased risk of material impairment from exposure to MC; 
2. Any recommended limitations upon the employee's exposure to MC including removal from MC exposure, or upon the employee's use of respirators, protective clothing, or other protective equipment;
3. A statement that the employee has been informed by the physician or other licensed health care professional that MC is a potential occupational carcinogen, of risk factors for heart disease, and the potential for exacerbation of underlying heart disease by exposure to MC through its metabolism to carbon monoxide; and
4. A statement that the employee has been informed by the physician or other licensed health care professional of the results of the medical examination and any medical conditions resulting from MC exposure which require further explanation or treatment.
(B) The employer shall instruct the physician or other licensed health care professional not to reveal to the employer, orally or in the written opinion, any specific records, findings, and diagnoses that have no bearing on occupational exposure to MC.

Note to subsection (j)(9)(B): The written medical opinion may also include information and opinions generated to comply with other Title 8 health standards.
(10) Medical presumption. For purposes of subsection (j), the physician or other licensed health care professional shall presume, unless medical evidence indicates to the contrary, that a medical condition is unlikely to require medical removal from MC exposure if the employee is not exposed to MC above the 8-hour TWA PEL. If the physician or other licensed health care professional recommends removal for an employee exposed below the 8-hour TWA PEL, the physician or other licensed health care professional shall cite specific medical evidence, sufficient to rebut the presumption that exposure below the 8-hour TWA PEL is unlikely to require removal, to support the recommendation. If such evidence is cited by the physician or other licensed health care professional, the employer must remove the employee. If such evidence is not cited by the physician or other licensed health care professional, the employer is not required to remove the employee.
(11) Medical removal protection (MRP).
(A) Temporary medical removal and return of an employee.
1. Except as provided in subsection (j)(10), when a medical determination recommends removal because the employee's exposure to MC may contribute to or aggravate the employee's existing cardiac, hepatic, neurological (including stroke), or skin disease, the employer must provide medical removal protection benefits to the employee and either:
a. Transfer the employee to comparable work where methylene chloride exposure is below the action level; or
b. Remove the employee from MC exposure.
2. If comparable work is not available and the employer is able to demonstrate that removal and the costs of extending MRP benefits to an additional employee, considering feasibility in relation to the size of the employer's business and the other requirements of this standard, make further reliance on MRP an inappropriate remedy, the employer may retain the additional employee in the existing job until transfer or removal becomes appropriate, provided:
a. The employer ensures that the employee receives additional medical surveillance, including a physical examination at least every 60 days until transfer or removal occurs; and
b. The employer or physician or other licensed health care professional informs the employee of the risk to the employee's health from continued MC exposure.
3. The employer shall maintain in effect any job-related protective measures or limitations, other than removal, for as long as a medical determination recommends them to be necessary.
(B) End of MRP benefits and return of the employee to former job status.
1. The employer may cease providing MRP benefits at the earliest of the following:
a. Six months;
b. Return of the employee to the employee's former job status following receipt of a medical determination concluding that the employee's exposure to MC no longer will aggravate any cardiac, hepatic, neurological (including stroke), or dermal disease;
c. Receipt of a medical determination that the employee can never return to MC exposure.
2. For the purposes of subsection (j), the requirement that an employer return an employee to the employee's former job status is not intended to expand upon or restrict any rights an employee has or would have had, absent temporary medical removal, to a specific job classification or position under the terms of a collective bargaining agreement.
(12) Medical removal protection benefits.
(A) For purposes of subsection (j), the term medical removal protection benefits means that, for each removal, an employer must maintain for up to six months the earnings, seniority, and other employment rights and benefits of the employee as though the employee had not been removed from MC exposure or transferred to a comparable job.
(B) During the period of time that an employee is removed from exposure to MC, the employer may condition the provision of medical removal protection benefits upon the employee's participation in follow-up medical surveillance made available pursuant to this section.
(C) If a removed employee files a workers' compensation claim for an MC-related disability, the employer shall continue the MRP benefits required by this subsection until either the claim is resolved or the 6-month period for payment of MRP benefits has passed, whichever occurs first. To the extent the employee is entitled to indemnity payments for earnings lost during the period of removal, the employer's obligation to provide medical removal protection benefits to the employee shall be reduced by the amount of such indemnity payments.
(D) The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal from either a publicly or an employer-funded compensation program, or receives income from employment with another employer made possible by virtue of the employee's removal.
(13) Voluntary removal or restriction of an employee. Where an employer, although not required by this section to do so, removes an employee from exposure to MC or otherwise places any limitation on an employee due to the effects of MC exposure on the employee's medical condition, the employer shall provide medical removal protection benefits to the employee equal to those required by subsection (j)(12).
(14) Multiple health care professional review mechanism.
(A) If the employer selects the initial physician or licensed health care professional to conduct any medical examination or consultation provided to an employee under subsection (j)(11), the employer shall notify the employee of the right to seek a second medical opinion each time the employer provides the employee with a copy of the written opinion of that physician or other licensed health care professional.
(B) If the employee does not agree with the employer-selected physician or other licensed health care professional, notifies the employer of that fact, and takes steps to make an appointment with a second physician or other licensed health care professional within 15 days of receiving a copy of the written opinion of the initial physician or other licensed health care professional, the employer shall pay for the physician or other licensed health care professional chosen by the employee to perform at least the following:
1. Review any findings, determinations or recommendations of the initial physician or other licensed health care professional; and
2. Conduct such examinations, consultations, and laboratory tests as the physician or other licensed health care professional deems necessary to facilitate this review.
(C) If the findings, determinations or recommendations of the second physician or other licensed health care professional differ from those of the initial physician or other licensed health care professional, then the employer and the employee shall instruct the two health care professionals to resolve the disagreement.
(D) If the two health care professionals are unable to resolve their disagreement within 15 days, then those two health care professionals shall jointly designate a physician or other licensed health care professional who is a specialist in the field at issue. The employee shall pay for the specialist to perform at least the following:
1. Review the findings, determinations and recommendations of the first two physicians or other licensed health care professionals; and
2. Conduct such examinations, consultations, laboratory tests, and discussions with the prior physicians or other licensed health care professionals as the specialist deems necessary to resolve the disagreements of the prior health care professionals.
(E) The written opinion of the specialist shall be the definitive medical determination. The employer shall act consistent with the definitive medical determination, unless the employer and employee agree that the written opinion of one of the other two physicians or other licensed health care professionals shall be the definitive medical determination.
(F) The employer and the employee or authorized employee representative may agree upon the use of any expeditious alternate health care professional determination mechanism in place of the multiple health care professional review mechanism provided by this subsection so long as the alternate mechanism otherwise satisfies the requirements contained in this subsection.
(k) Hazard communication. The employer shall communicate the following hazards associated with MC on labels and in material safety data sheets in accordance with §5194: cancer, cardiac effects (including elevation of carboxyhemoglobin), central nervous system effects, liver effects, and skin and eye irritation.
(l) Employee information and training.
(1) The employer shall provide information and training for each affected employee prior to or at the time of initial assignment to a job involving potential exposure to MC. 
(2) The employer shall ensure that information and training is presented in a manner that is understandable to the employees.
(3) In addition to the information required under § 5194:
(A) The employer shall inform each affected employee of the requirements of this section and information available in its appendices, as well as how to access or obtain a copy of it in the workplace; 
(B) Wherever an employee's exposure to airborne concentrations of MC exceeds or can reasonably be expected to exceed the action level, the employer shall inform each affected employee of the quantity, location, manner of use, release, and storage of MC and the specific operations in the workplace that could result in exposure to MC, particularly noting where exposures may be above the 8-hour TWA PEL or STEL; 
(4) The employer shall train each affected employee as required under §5194.
(5) The employer shall re-train each affected employee as necessary to ensure that each employee exposed above the action level or the STEL maintains the requisite understanding of the principles of safe use and handling of MC in the workplace.
(6) Whenever there are workplace changes, such as modifications of tasks or procedures or the institution of new tasks or procedures, which increase employee exposure, and where those exposures exceed or can reasonably be expected to exceed the action level, the employer shall update the training as necessary to ensure that each affected employee has the requisite proficiency. 
(7) An employer whose employees are exposed to MC at a multi-employer worksite shall notify the other employers with work operations at that site in accordance with the requirements of §5194.
(8) The employer shall provide to the Chief or NIOSH, upon request, all available materials relating to employee information and training.
(m) Recordkeeping.
(1) Objective data.
(A) Where an employer seeks to demonstrate that initial monitoring is unnecessary through reasonable reliance on objective data showing that any materials in the workplace containing MC will not release MC at levels which exceed the action level or the STEL under foreseeable conditions of exposure, the employer shall establish and maintain an accurate record of the objective data relied upon in support of the exemption.
(B) This record shall include at least the following information:
1. The MC-containing material in question; 
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of MC;
4. A description of the operation exempted under subsection (d)(2)(A) and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Exposure measurements.
(A) The employer shall establish and keep an accurate record of all measurements taken to monitor employee exposure to MC as prescribed in subsection (d).
(B) Where the employer has 20 or more employees, this record shall include at least the following information:
1. The date of measurement for each sample taken;
2. The operation involving exposure to MC which is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken;
5. Type of personal protective equipment, such as respiratory protective devices, worn, if any; and
6. Name, social security number, job classification and exposure of all of the employees represented by monitoring, indicating which employees were actually monitored.
(C) Where the employer has fewer than 20 employees, the record shall include at least the following information:
1. The date of measurement for each sample taken;
2. Number, duration, and results of samples taken; and 
3. Name, social security number, job classification and exposure of all of the employees represented by monitoring, indicating which employees were actually monitored. 
4. The employer shall maintain this record for at least thirty (30) years, in accordance with §3204. 
(3) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance under subsection (j).
(B) The record shall include at least the following information:
1. The name, social security number and description of the duties of the employee; 
2. Written medical opinions; and
3. Any employee medical conditions related to exposure to MC.
4. The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with §3204.
(4) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available to the Chief or NIOSH for examination and copying in accordance with §3204.

Note to subsection (m)(4)(A): All records required to be maintained by this section may be kept in the most administratively convenient form (for example, electronic or computer records would satisfy this requirement).
(B) The employer, upon request, shall make any employee exposure and objective data records required by this section available for examination and copying by affected employees, former employees, and designated representatives in accordance with §3204.
(C) The employer, upon request, shall make employee medical records required to be kept by this section available for examination and copying by the subject employee and by anyone having the specific written consent of the subject employee in accordance with §3204. 
(5) Transfer of records. The employer shall comply with the requirements concerning transfer of records set forth in §3204(h).
(n) Dates.
(1) Effective date. This section became effective on November 2, 1997.
(2) Start-up dates.
(A) Engineering controls required under subsection (f)(1) shall be implemented according to the following schedule:
1. For employers with fewer than 20 employees, within three (3) years after the effective date of this section.
2. For employers with fewer than 150 employees engaged in foam fabrication; for employers with fewer than 50 employees engaged in furniture refinishing, general aviation aircraft stripping, and product formulation; for employers with fewer than 50 employees using MC based adhesives for boat building and repair, recreational vehicle manufacture, van conversion, and upholstering; for employers with fewer than 50 employees using MC in construction work for restoration and preservation of buildings, painting and paint removal, cabinet making and/or floor refinishing and resurfacing, within three (3) years after the effective date of this section.
3. For employers engaged in polyurethane foam manufacturing with 20 or more employees, within thirty (30) months after the effective date of this section.
4. For employers with 150 or more employees engaged in foam fabrication; for employers with 50 or more employees engaged in furniture refinishing, general aviation aircraft stripping, and product fabrication; for employers with 50 or more employees using MC-based adhesives in boat building and repair, recreational vehicle manufacture, van conversion, and upholstering; and for employers with 50 or more employees using MC in construction work for restoration and preservation of buildings, painting and paint removal, cabinet making and/or floor refinishing and resurfacing, within two (2) years after the effective date of this section.
(B). Employers identified in subsections (n)(2)(A)2., 3., and 4. shall comply with the following requirements by the dates indicated:
1. Use of respiratory protection whenever an employee's exposure to MC exceeds or can reasonably be expected to exceed the 8-hour TWA PEL, in accordance with subsections (c)(1), (e)(3), (f)(1), and (g)(1), by the applicable dates set out in subsections (n)(2)(A)2., 3., and 4. for the installation of engineering controls.
2. Use of respiratory protection whenever an employee's exposure to MC exceeds or can reasonably be expected to exceed the STEL in accordance with subsections (e)(3), (f)(1), and (g)(1), by the applicable dates indicated in subsection (n)(2)(C).
3. Implementation of work practices (such as leak and spill detection, cleanup, and enclosure of containers) required by subsection (f)(1), by the applicable dates indicated in subsection (n)(2)(C).
4. Notification of corrective action under subsection (d)(5)(B) of this section, by no later than ninety (90) days before the compliance date applicable to such corrective action.
(C). Unless otherwise specified in subsection (n), all other requirements of this section shall be complied with.
(o) Reporting requirements. See section 5203.
(p) Appendices. The information contained in the appendices does not, by itself, create any additional obligations not otherwise imposed or detract from any existing obligation. 
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 8-4-97; operative 11-2-97 (Register 97, No. 32). For prior history, see Register 87, No. 51.
2. Change without regulatory effect amending subsection (n)(1) filed 2-3-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 6).
3. Editorial correction of subsection (b) (Register 98, No. 6).
4. Amendment of former subsections (g)(1)-(g)(7)(B) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(4)(B) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
5. Amendment of subsection (o) and repealer of subsections (o)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
6. Amendment filed 7-29-99; operative 7-29-99. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 99, No. 31). 
7. Amendment of subsection (g)(3), new subsections (g)(3)(A)-(B) and repealer of subsections (g)(4)-(g)(4)(B) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
8. Editorial correction of subsections (g)(1)(D) and (g)(2)(A) (Register 2008, No. 6).

Appendix A to Section 5202   Substance Safety Data Sheet and Technical Guidelines for Methylene chloride.

I. Substance Identification 
A. Substance: Methylene chloride (CH2Cl2). 
B. Synonyms: MC, Dichloromethane (DCM); Methylene dichloride; Methylene bichloride; Methane dichloride; CAS: 75-09-2; NCI-C50102. 
C. Physical data: 
1. Molecular weight: 84.9. 
2. Boiling point (760 mm Hg): 39.8 deg.C (104 deg.F). 
3. Specific gravity (water=1): 1.3. 
4. Vapor density (air=1 at boiling point): 2.9. 
5. Vapor pressure at 20 deg.C (68 deg.F): 350 mm Hg. 
6. Solubility in water, g/100 g water at 20 deg. C (68 deg. F)=1.32. 
7. Appearance and odor: colorless liquid with a chloroform-like odor.
D. Uses: 
MC is used as a solvent, especially where high volatility is required. It is a good solvent for oils, fats, waxes, resins, bitumen, rubber and cellulose acetate and is a useful paint stripper and degreaser. It is used in paint removers, in propellant mixtures for aerosol containers, as a solvent for plastics, as a degreasing agent, as an extracting agent in the pharmaceutical industry and as a blowing agent in polyurethane foams. Its solvent property is sometimes increased by mixing with methanol, petroleum naphtha or tetrachloroethylene. 
E. Appearance and odor: 
MC is a clear colorless liquid with a chloroform-like odor. It is slightly soluble in water and completely miscible with most organic solvents. 
F. Permissible exposure: 
Exposure may not exceed 25 parts MC per million parts of air (25 ppm) as an eight-hour time-weighted average (8-hour TWA PEL) or 125 parts of MC per million parts of air (125 ppm) averaged over a 15-minute period (STEL). 

II. Health Hazard Data 
A. MC can affect the body if it is inhaled or if the liquid comes in contact with the eyes or skin. It can also affect the body if it is swallowed.
B. Effects of overexposure: 
1. Short-term Exposure: 
MC is an anesthetic. Inhaling the vapor may cause mental confusion, light-headedness, nausea, vomiting, and headache. Continued exposure may cause increased light-headedness, staggering, unconsciousness, and even death. High vapor concentrations may also cause irritation of the eyes and respiratory tract. Exposure to MC may make the symptoms of angina (chest pains) worse. Skin exposure to liquid MC may cause irritation. If liquid MC remains on the skin, it may cause skin burns. Splashes of the liquid into the eyes may cause irritation. 
2. Long-term (chronic) exposure: 
The best evidence that MC causes cancer is from laboratory studies in which rats, mice and hamsters inhaled MC 6 hours per day, 5 days per week for 2 years. MC exposure produced lung and liver tumors in mice and mammary tumors in rats. No carcinogenic effects of MC were found in hamsters. There are also some human epidemiological studies which show an association between occupational exposure to MC and increases in biliary (bile duct) cancer and a type of brain cancer. Other epidemiological studies have not observed a relationship between MC exposure and cancer. OSHA interprets these results to mean that there is suggestive (but not absolute) evidence that MC is a human carcinogen. 
C. Reporting signs and symptoms: 
You should inform your employer if you develop any signs or symptoms and suspect that they are caused by exposure to MC. 
D. Warning Properties: 
1. Odor Threshold: 
Different authors have reported varying odor thresholds for MC. Kirk-Othmer and Sax both reported 25 to 50 ppm; Summer and May both reported 150 ppm; Spector reports 320 ppm. Patty, however, states that since one can become adapted to the odor, MC should not be considered to have adequate warning properties. 
2. Eye Irritation Level: 
Kirk-Othmer reports that “MC vapor is seriously damaging to the eyes.” Sax agrees with Kirk-Othmer's statement. The ACGIH Documentation of TLVs states that irritation of the eyes has been observed in workers exposed to concentrations up to 5000 ppm. 
3. Evaluation of Warning Properties: 
Since a wide range of MC odor thresholds are reported (25-320 ppm), and human adaptation to the odor occurs, MC is considered to be a material with poor warning properties. 

III. Emergency First Aid Procedures 
In the event of emergency, institute first aid procedures and send for first aid or medical assistance. 
A. Eye and Skin Exposures: 
If there is a potential for liquid MC to come in contact with eye or skin, face shields and skin protective equipment must be provided and used. If liquid MC comes in contact with the eye, get medical attention. Contact lenses should not be worn when working with this chemical. 
B. Breathing: 
If a person breathes in large amounts of MC, move the exposed person to fresh air at once. If breathing has stopped, perform cardiopulmonary resuscitation. Keep the affected person warm and at rest. Get medical attention as soon as possible. 
C. Rescue: 
Move the affected person from the hazardous exposure immediately. If the exposed person has been overcome, notify someone else and put into effect the established emergency rescue procedures. Understand the facility's emergency rescue procedures and know the locations of rescue equipment before the need arises. Do not become a casualty yourself. 

IV. Respirators, Protective Clothing, and Eye Protection 
A. Respirators: 
Good industrial hygiene practices recommend that engineering controls be used to reduce environmental concentrations to the permissible exposure level. However, there are some exceptions where respirators may be used to control exposure. Respirators may be used when engineering and work practice controls are not feasible, when such controls are in the process of being installed, or when these controls fail and need to be supplemented. Respirators may also be used for operations which require entry into tanks or closed vessels, and in emergency situations. If the use of respirators is necessary, the only respirators permitted are those that have been approved by the Mine Safety and Health Administration (MSHA) or the National Institute for Occupational Safety and Health (NIOSH). Supplied-air respirators are required because air- purifying respirators do not provide adequate respiratory protection against MC. In addition to respirator selection, a complete written respiratory protection program should be instituted which includes regular training, maintenance, inspection, cleaning, and evaluation. If you can smell MC while wearing a respirator, proceed immediately to fresh air. If you experience difficulty in breathing while wearing a respirator, tell your employer. 
B. Protective Clothing: 
Employees must be provided with and required to use impervious clothing, gloves, face shields (eight-inch minimum), and other appropriate protective clothing necessary to prevent repeated or prolonged skin contact with liquid MC or contact with vessels containing liquid MC. Any clothing which becomes wet with liquid MC should be removed immediately and not reworn until the employer has ensured that the protective clothing is fit for reuse. Contaminated protective clothing should be placed in a regulated area designated by the employer for removal of MC before the clothing is laundered or disposed of. Clothing and equipment should remain in the regulated area until all of the MC contamination has evaporated; clothing and equipment should then be laundered or disposed of as appropriate. 
C. Eye Protection: 
Employees should be provided with and required to use splash-proof safety goggles where liquid MC may contact the eyes. 

V. Housekeeping and Hygiene Facilities 
For purposes of complying with the sanitation requirements of Article 9, the following items should be emphasized: 
A. The workplace should be kept clean, orderly, and in a sanitary condition. The employer should institute a leak and spill detection program for operations involving liquid MC in order to detect sources of fugitive MC emissions. 
B. Emergency drench showers and eyewash facilities are recommended. These should be maintained in a sanitary condition. Suitable cleansing agents should also be provided to assure the effective removal of MC from the skin. 
C. Because of the hazardous nature of MC, contaminated protective clothing should be placed in a regulated area designated by the employer for removal of MC before the clothing is laundered or disposed of. 

VI. Precautions for Safe Use, Handling, and Storage 
A. Fire and Explosion Hazards: 
MC has no flash point in a conventional closed tester, but it forms flammable vapor-air mixtures at approximately 100 deg.C (212 deg.F), or higher. It has a lower explosion limit of 12%, and an upper explosion limit of 19% in air. It has an autoignition temperature of 556.1 deg.C (1033 deg.F), and a boiling point of 39.8 deg.C (104 deg.F). It is heavier than water with a specific gravity of 1.3. It is slightly soluble in water. 
B. Reactivity Hazards: 
Conditions contributing to the instability of MC are heat and moisture. Contact with strong oxidizers, caustics, and chemically active metals such as aluminum or magnesium powder, sodium and potassium may cause fires and explosions. Special precautions: Liquid MC will attack some forms of plastics, rubber, and coatings. 
C. Toxicity: 
Liquid MC is painful and irritating if splashed in the eyes or if confined on the skin by gloves, clothing, or shoes. Vapors in high concentrations may cause narcosis and death. Prolonged exposure to vapors may cause cancer or exacerbate cardiac disease. 
D. Storage: 
Protect against physical damage. Because of its corrosive properties, and its high vapor pressure, MC should be stored in plain, galvanized or lead lined, mild steel containers in a cool, dry, well ventilated area away from direct sunlight, heat source and acute fire hazards. 
E. Piping Material: 
All piping and valves at the loading or unloading station should be of material that is resistant to MC and should be carefully inspected prior to connection to the transport vehicle and periodically during the operation. 
F. Usual Shipping Containers: 
Glass bottles, 5- and 55-gallon steel drums, tank cars, and tank trucks. Note: This section addresses MC exposure in marine terminal and longshore employment only where leaking or broken packages allow MC exposure that is not addressed through compliance with Article 14.
G. Electrical Equipment: 
Electrical installations in Class I hazardous locations as defined in Article 500 of the National Electrical Code, should be installed according to Article 501 of the code; and electrical equipment should be suitable for use in atmospheres containing MC vapors. See Flammable and Combustible Liquids Code (NFPA No. 325M), Chemical Safety Data Sheet SD-86 (Manufacturing Chemists' Association, Inc.). 
H. Fire Fighting: 
When involved in fire, MC emits highly toxic and irritating fumes such as phosgene, hydrogen chloride and carbon monoxide. Wear breathing apparatus and use water spray to keep fire- exposed containers cool. Water spray may be used to flush spills away from exposures. Extinguishing media are dry chemical, carbon dioxide, foam. For purposes of compliance with the Electrical Safety Orders, locations classified as hazardous due to the presence of MC shall be Class I. 
I. Spills and Leaks: 
Persons not wearing protective equipment and clothing should be restricted from areas of spills or leaks until cleanup has been completed. If MC has spilled or leaked, the following steps should be taken: 
1. Remove all ignition sources. 
2. Ventilate area of spill or leak. 
3. Collect for reclamation or absorb in vermiculite, dry sand, earth, or a similar material. 
J. Methods of Waste Disposal: 
Small spills should be absorbed onto sand and taken to a safe area for atmospheric evaporation. Incineration is the preferred method for disposal of large quantities by mixing with a combustible solvent and spraying into an incinerator equipped with acid scrubbers to remove hydrogen chloride gases formed. Complete combustion will convert carbon monoxide to carbon dioxide. Care should be taken for the presence of phosgene. 
K. You should not keep food, beverage, or smoking materials, or eat or smoke in regulated areas where MC concentrations are above the permissible exposure limits. 
L. Portable heating units should not be used in confined areas where MC is used. 
M. Ask your supervisor where MC is used in your work area and for any additional plant safety and health rules. 

VII. Medical Requirements 
Your employer is required to offer you the opportunity to participate in a medical surveillance program if you are exposed to MC at concentrations at or above the action level (12.5 ppm 8- hour TWA) for more than 30 days a year or at concentrations exceeding the PELs (25 ppm 8- hour TWA or 125 ppm 15-minute STEL) for more than 10 days a year. If you are exposed to MC at concentrations over either of the PELs, your employer will also be required to have a physician or other licensed health care professional ensure that you are able to wear the respirator that you are assigned. Your employer must provide all medical examinations relating to your MC exposure at a reasonable time and place and at no cost to you. 

VIII. Monitoring and Measurement Procedures 
A. Exposure above the Permissible Exposure Limit: 
1. Eight-hour exposure evaluation: Measurements taken for the purpose of determining employee exposure under this section are best taken with consecutive samples covering the full shift. Air samples must be taken in the employee's breathing zone. 
2. Monitoring techniques: The sampling and analysis under this section may be performed by collection of the MC vapor on two charcoal adsorption tubes in series or other composition adsorption tubes, with subsequent chemical analysis. Sampling and analysis may also be performed by instruments such as real-time continuous monitoring systems, portable direct reading instruments, or passive dosimeters as long as measurements taken using these methods accurately evaluate the concentration of MC in employees' breathing zones. OSHA method 80 is an example of a validated method of sampling and analysis of MC. Copies of this method are available from OSHA or can be downloaded from the Internet at http://www.osha.gov. The employer has the obligation of selecting a monitoring method which meets the accuracy and precision requirements of the standard under his or her unique field conditions. The standard requires that the method of monitoring must be accurate, to a 95 percent confidence level, to plus or minus 25 percent for concentrations of MC at or above 25 ppm, and to plus or minus 35 percent for concentrations at or below 25 ppm. In addition to OSHA method 80, there are numerous other methods available for monitoring for MC in the workplace.
B. Since many of the duties relating to employee exposure are dependent on the results of measurement procedures, employers must assure that the evaluation of employee exposure is performed by a technically qualified person. 

IX. Observation of Monitoring 
Your employer is required to perform measurements that are representative of your exposure to MC and you or your designated representative are entitled to observe the monitoring procedure. You are entitled to observe the steps taken in the measurement procedure, and to record the results obtained. When the monitoring procedure is taking place in an area where respirators or personal protective clothing and equipment are required to be worn, you or your representative must also be provided with, and must wear, protective clothing and equipment. 

X. Access To Information 
A. Your employer is required to inform you of the information contained in this Appendix. In addition, your employer must instruct you in the proper work practices for using MC, emergency procedures, and the correct use of protective equipment. 
B. Your employer is required to determine whether you are being exposed to MC. You or your representative has the right to observe employee measurements and to record the results obtained. Your employer is required to inform you of your exposure. If your employer determines that you are being over exposed, he or she is required to inform you of the actions which are being taken to reduce your exposure to within permissible exposure limits. 
C. Your employer is required to keep records of your exposures and medical examinations. These records must be kept by the employer for at least thirty (30) years. 
D. Your employer is required to release your exposure and medical records to you or your representative upon your request. 
E. Your employer is required to provide labels and material safety data sheets (MSDS) for all materials, mixtures or solutions composed of greater than 0.1 percent MC. An example of a label that would satisfy these requirements would be: 
Danger Contains Methylene Chloride Potential Cancer Hazard 
May worsen heart disease because methylene chloride is converted to carbon monoxide in the body. 
May cause dizziness, headache, irritation of the throat and lungs, loss of consciousness and death at high concentrations (for example, if used in a poorly ventilated room). 
Avoid Skin Contact. Contact with liquid causes skin and eye irritation.

XI. Common Operations and Controls
The following list includes some common operations in which exposure to MC may occur and control methods which may be effective in each case:

	Operations	Controls

Use as solvent in paint and varnish	General dilution ventilation; local
removers; manufacture of aerosols; cold	exhaust ventilation; personal
cleaning and ultrasonic cleaning; and as	protective equipment; substitution.
a solvent in furniture stripping.

Use as solvent in vapor degreasing.	Process enclosure; local exhaust
	ventilation; chilling coils; 
	substitution.

Use as a secondary refrigerant in	General dilution ventilation;
air conditioning and scientific testing.	local exhaust ventilation;
	personal protective equipment.

NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9031 and 9040, Labor Code.
HISTORY

1. New appendix A filed 8-4-97; operative 11-2-97 (Register 97, No. 32). 

Appendix B to Section 5202   Medical Surveillance for Methylene chloride.

I. Primary Route of Entry 
Inhalation. 

II. Toxicology 
Methylene chloride (MC) is primarily an inhalation hazard. The principal acute hazardous effects are the depressant action on the central nervous system, possible cardiac toxicity and possible liver toxicity. The range of CNS effects are from decreased eye/hand coordination and decreased performance in vigilance tasks to narcosis and even death of individuals exposed at very high doses. Cardiac toxicity is due to the metabolism of MC to carbon monoxide, and the effects of carbon monoxide on heart tissue. Carbon monoxide displaces oxygen in the blood, decreases the oxygen available to heart tissue, increasing the risk of damage to the heart, which may result in heart attacks in susceptible individuals. Susceptible individuals include persons with heart disease and those with risk factors for heart disease. Elevated liver enzymes and irritation to the respiratory passages and eyes have also been reported for both humans and experimental animals exposed to MC vapors. MC is metabolized to carbon monoxide and carbon dioxide via two separate pathways. Through the first pathway, MC is metabolized to carbon monoxide as an end-product via the P-450 mixed function oxidase pathway located in the microsomal fraction of the cell. This biotransformation of MC to carbon monoxide occurs through the process of microsomal oxidative dechlorination which takes place primarily in the liver. The amount of conversion to carbon monoxide is significant as measured by the concentration of carboxyhemoglobin, up to 12% measured in the blood following occupational exposure of up to 610 ppm. Through the second pathway, MC is metabolized to carbon dioxide as an end product (with formaldehyde and formic acid as metabolic intermediates) via the glutathione dependent enzyme found in the cytosolic fraction of the liver cell. Metabolites along this pathway are believed to be associated with the carcinogenic activity of MC. 
MC has been tested for carcinogenicity in several laboratory rodents. These rodent studies indicate that there is clear evidence that MC is carcinogenic to male and female mice and female rats. Based on epidemiologic studies, OSHA has concluded that there is suggestive evidence of increased cancer risk in MC-related worker populations. The epidemiological evidence is consistent with the finding of excess cancer in the experimental animal studies. NIOSH regards MC as a potential occupational carcinogen and the International Agency for Research Cancer (IARC) classifies MC as an animal carcinogen. OSHA considers MC as a suspected human carcinogen. 

III. Medical Signs and Symptoms of Acute Exposure 
Skin exposure to liquid MC may cause irritation or skin burns. Liquid MC can also be irritating to the eyes. MC is also absorbed through the skin and may contribute to the MC exposure by inhalation. 
At high concentrations in air, MC may cause nausea, vomiting, light-headedness, numbness of the extremities, changes in blood enzyme levels, and breathing problems, leading to bronchitis and pulmonary edema, unconsciousness and even death. 
At lower concentrations in air, MC may cause irritation to the skin, eye, and respiratory tract and occasionally headache and nausea. Perhaps the greatest problem from exposure to low concentrations of MC is the CNS effects on coordination and alertness that may cause unsafe operations of machinery and equipment, leading to self-injury or accidents. 
Low levels and short duration exposures do not seem to produce permanent disability, but chronic exposures to MC have been demonstrated to produce liver toxicity in animals, and therefore, the evidence is suggestive for liver toxicity in humans after chronic exposure. Chronic exposure to MC may also cause cancer. 

IV. Surveillance and Preventive Considerations 
As discussed above, MC is classified as a suspect or potential human carcinogen. It is a central nervous system (CNS) depressant and a skin, eye and respiratory tract irritant. At extremely high concentrations, MC has caused liver damage in animals. MC principally affects the CNS, where it acts as a narcotic. The observation of the symptoms characteristic of CNS depression, along with a physical examination, provides the best detection of early neurological disorders. Since exposure to MC also increases the carboxyhemoglobin level in the blood, ambient carbon monoxide levels would have an additive effect on that carboxyhemoglobin level. Based on such information, a periodic post-shift carboxyhemoglobin test as an index of the presence of carbon monoxide in the blood is recommended, but not required, for medical surveillance. 
Based on the animal evidence and three epidemiologic studies previously mentioned, OSHA concludes that MC is a suspect human carcinogen. The medical surveillance program is designed to observe exposed workers on a regular basis. While the medical surveillance program cannot detect MC-induced cancer at a preneoplastic stage, OSHA anticipates that, as in the past, early detection and treatments of cancers leading to enhanced survival rates will continue to evolve. 
A. Medical and Occupational History: 
The medical and occupational work history plays an important role in the initial evaluation of workers exposed to MC. It is therefore extremely important for the examining physician or other licensed health care professional to evaluate the MC-exposed worker carefully and completely and to focus the examination on MC's potentially associated health hazards. The medical evaluation must include an annual detailed work and medical history with special emphasis on cardiac history and neurological symptoms. 
An important goal of the medical history is to elicit information from the worker regarding potential signs or symptoms associated with increased levels of carboxyhemoglobin due to the presence of carbon monoxide in the blood. Physicians or other licensed health care professionals should ensure that the smoking history of all MC exposed employees is known. Exposure to MC may cause a significant increase in carboxyhemoglobin level in all exposed persons. However, smokers as well as workers with anemia or heart disease and those concurrently exposed to carbon monoxide are at especially high risk of toxic effects because of an already reduced oxygen carrying capacity of the blood. 
A comprehensive or interim medical and work history should also include occurrence of headache, dizziness, fatigue, chest pain, shortness of breath, pain in the limbs, and irritation of the skin and eyes. 
In addition, it is important for the physician or other licensed health care professional to become familiar with the operating conditions in which exposure to MC is likely to occur. The physician or other licensed health care professional also must become familiar with the signs and symptoms that may indicate that a worker is receiving otherwise unrecognized and exceptionally high exposure levels of MC. 
An example of a medical and work history that would satisfy the requirement for a comprehensive or interim work history is represented by the following: 
The following is a list of recommended questions and issues for the self-administered questionnaire for methylene chloride exposure. 
Questionnaire For Methylene chloride Exposure 
I. Demographic Information 
1. Name 
2. Social Security Number 
3. Date 
4. Date of Birth 
5. Age 
6. Present occupation 
7. Sex
8. Race 
II. Occupational History 
1. Have you ever worked with Methylene chloride, Dichloromethane, Methylene dichloride, or CH2Cl2 (all are different names for the same chemical)? Please list which on the occupational history form if you have not already. 
2. If you have worked in any of the following industries and have not listed them on the occupational history form, please do so. 
Furniture stripping 
Polyurethane foam manufacturing 
Chemical manufacturing or formulation 
Pharmaceutical manufacturing 
Any industry in which you used solvents to clean and degrease equipment or parts 
Construction, especially painting and refinishing
Aerosol manufacturing 
Any industry in which you used aerosol adhesives 
3. If you have not listed hobbies or household projects on the occupational history form, especially furniture refinishing, spray painting, or paint stripping, please do so. 
III. Medical History 
A. General 
1. Do you consider yourself to be in good health? If no, state reason(s).
2. Do you or have you ever had: 
a. Persistent thirst 
b. Frequent urination (three times or more at night) 
c. Dermatitis or irritated skin 
d. Non-healing wounds 
3. What prescription or non-prescription medications do you take, and for what reasons? 
4. Are you allergic to any medications, and what type of reaction do you have? 
B. Respiratory 
1. Do you have or have you ever had any chest illnesses or diseases? Explain. 
2. Do you have or have you ever had any of the following: 
a. Asthma 
b. Wheezing 
c. Shortness of breath 
3. Have you ever had an abnormal chest X-ray? If so, when, where, and what were the findings? 
4. Have you ever had difficulty using a respirator or breathing apparatus? Explain. 
5. Do any chest or lung diseases run in your family? Explain. 
6. Have you ever smoked cigarettes, cigars, or a pipe? Age started: 
7. Do you now smoke? 
8. If you have stopped smoking completely, how old were you when you stopped? 
9. On the average of the entire time you smoked, how many packs of cigarettes, cigars, or bowls of tobacco did you smoke per day? 
C. Cardiovascular 
1. Have you ever been diagnosed with any of the following: Which of the following apply to you now or did apply to you at some time in the past, even if the problem is controlled by medication? Please explain any yes answers (i.e., when problem was diagnosed, length of time on medication). 
a. High cholesterol or triglyceride level 
b. Hypertension (high blood pressure) 
c. Diabetes 
d. Family history of heart attack, stroke, or blocked arteries 
2. Have you ever had chest pain? If so, answer the next five questions.
a. What was the quality of the pain (i.e., crushing, stabbing, squeezing)? 
b. Did the pain go anywhere (i.e., into jaw, left arm)? 
c. What brought the pain out? 
d. How long did it last? 
e. What made the pain go away? 
3. Have you ever had heart disease, a heart attack, stroke, aneurysm, or blocked arteries anywhere in you body? Explain (when, treatment). 
4. Have you ever had bypass surgery for blocked arteries in your heart or anywhere else? Explain. 
5. Have you ever had any other procedures done to open up a blocked artery (balloon angioplasty, carotid endarterectomy, clot-dissolving drug)? 
6. Do you have or have you ever had (explain each): 
a. Heart murmur 
b. Irregular heartbeat 
c. Shortness of breath while lying flat 
d. Congestive heart failure 
e. Ankle swelling 
f. Recurrent pain anywhere below the waist while walking 
7. Have you ever had an electrocardiogram (EKG)? When? 
8. Have you ever had an abnormal EKG? If so, when, where, and what were the findings? 
9. Do any heart diseases, high blood pressure, diabetes, high cholesterol, or high triglycerides run in your family? Explain. 
D. Hepatobiliary and Pancreas 
1. Do you now or have you ever drunk alcoholic beverages? Age started: ________ Age stopped: ________. 
2. Average numbers per week: 
a. Beers: ________, ounces in usual container: 
b. Glasses of wine: ________, ounces per glass:
c. Drinks: ________, ounces in usual container: 
3. Do you have or have you ever had (explain each): 
a. Hepatitis (infectious, autoimmune, drug-induced, or chemical) 
b. Jaundice 
c. Elevated liver enzymes or elevated bilirubin 
d. Liver disease or cancer 
E. Central Nervous System 
1. Do you or have you ever had (explain each): 
a. Headache 
b. Dizziness
c. Fainting 
d. Loss of consciousness 
e. Garbled speech 
f. Lack of balance 
g. Mental/psychiatric illness 
h. Forgetfulness 
F. Hematologic 
1. Do you have, or have you ever had (explain each): 
a. Anemia
b. Sickle cell disease or trait 
c. Glucose-6-phosphate dehydrogenase deficiency 
d. Bleeding tendency disorder 
2. If not already mentioned previously, have you ever had a reaction to sulfa drugs or to drugs used to prevent or treat malaria? What was the drug? Describe the reaction. 
B. Physical Examination 
The complete physical examination, when coupled with the medical and occupational history, assists the physician or other licensed health care professional in detecting pre-existing conditions that might place the employee at increased risk, and establishes a baseline for future health monitoring. These examinations should include: 
1. Clinical impressions of the nervous system, cardiovascular function and pulmonary function, with additional tests conducted where indicated or determined by the examining physician or other licensed health care professional to be necessary. 
2. An evaluation of the advisability of the worker using a respirator, because the use of certain respirators places an additional burden on the cardiopulmonary system. It is necessary for the attending physician or other licensed health care professional to evaluate the cardiopulmonary function of these workers, in order to inform the employer in a written medical opinion of the worker's ability or fitness to work in an area requiring the use of certain types of respiratory protective equipment. The presence of facial hair or scars that might interfere with the worker's ability to wear certain types of respirators should also be noted during the examination and in the written medical opinion. 
Because of the importance of lung function to workers required to wear certain types of respirators to protect themselves from MC exposure, these workers must receive an assessment of pulmonary function before they begin to wear a negative pressure respirator and at least annually thereafter. The recommended pulmonary function tests include measurement of the employee's forced vital capacity (FVC), forced expiratory volume at one second (FEV1), as well as calculation of the ratios of FEV1 to FVC, and the ratios of measured FVC and measured FEV1 to expected respective values corrected for variation due to age, sex, race, and height. Pulmonary function evaluation must be conducted by a physician or other licensed health care professional experienced in pulmonary function tests. 
The following is a summary of the elements of a physical exam which would fulfill the requirements under the MC standard: 
Physical Exam 
I. Skin and appendages 
1. Irritated or broken skin 
2. Jaundice 
3. Clubbing cyanosis, edema 
4. Capillary refill time 
5. Pallor 
II. Head 
1. Facial deformities 
2. Scars 
3. Hair growth 
III. Eyes 
1. Scleral icterus 
2. Corneal arcus 
3. Pupillary size and response 
4. Fundoscopic exam 
IV. Chest 
1. Standard exam 
V. Heart 
1. Standard exam 
2. Jugular vein distention 
3. Peripheral pulses 
VI. Abdomen 
1. Liver span 
VII. Nervous System 
1. Complete standard neuralgic exam 
VIII. Laboratory 
1. Hemoglobin and hematocrit 
2. Alanine aminotransferase (ALT, SGPT) 
3. Post-shift carboxyhemoglobin 
IX. Studies 
1. Pulmonary function testing 
2. Electrocardiogram 
An evaluation of the oxygen carrying capacity of the blood of employees (for example by measured red blood cell volume) is considered useful, especially for workers acutely exposed to MC. 
It is also recommended, but not required, that end of shift carboxyhemoglobin levels be determined periodically, and any level above 3% for non-smokers and above 10% for smokers should prompt an investigation of the worker and his workplace. This test is recommended because MC is metabolized to CO, which combines strongly with hemoglobin, resulting in a reduced capacity of the blood to transport oxygen in the body. This is of particular concern for cigarette smokers because they already have a diminished hemoglobin capacity due to the presence of CO in cigarette smoke. 
C. Additional Examinations and Referrals 
1. Examination by a Specialist 
When a worker examination reveals unexplained symptoms or signs (i.e. in the physical examination or in the laboratory tests), follow-up medical examinations are necessary to assure that MC exposure is not adversely affecting the worker's health. When the examining physician or other licensed health care professional finds it necessary, additional tests should be included to determine the nature of the medical problem and the underlying cause. Where relevant, the worker should be sent to a specialist for further testing and treatment as deemed necessary. 
The final rule requires additional investigations to be covered and it also permits physicians or other licensed health care professionals to add appropriate or necessary tests to improve the diagnosis of disease should such tests become available in the future. 
2. Emergencies 
The examination of workers exposed to MC in an emergency should be directed at the organ systems most likely to be affected. If the worker has received a severe acute exposure, hospitalization may be required to assure proper medical intervention. It is not possible to precisely define “severe,” but the physician or other licensed health care professional's judgment should not merely rest on hospitalization. If the worker has suffered significant conjunctival, oral, or nasal irritation, respiratory distress, or discomfort, the physician or other licensed health care professional should instigate appropriate follow-up procedures. These include attention to the eyes, lungs and the neurological system. The frequency of follow-up examinations should be determined by the attending physician or other licensed health care professional. This testing permits the early identification essential to proper medical management of such workers. 
D. Employer Obligations 
The employer is required to provide the responsible physician or other licensed health care professional and any specialists involved in a diagnosis with the following information: a copy of the MC standard including relevant appendices, a description of the affected employee's duties as they relate to his or her exposure to MC; an estimate of the employee's exposure including duration (e.g., 15hr/wk, three 8-hour shifts/wk, full time); a description of any personal protective equipment used by the employee, including respirators; and the results of any previous medical determinations for the affected employee related to MC exposure to the extent that this information is within the employer's control. 
E. Physicians' or Other Licensed Health Care Professionals' Obligations 
The standard requires the employer to ensure that the physician or other licensed health care professional provides a written statement to the employee and the employer. This statement should contain the physician's or licensed health care professional's opinion as to whether the employee has any medical condition placing him or her at increased risk of impaired health from exposure to MC or use of respirators, as appropriate. The physician or other licensed health care professional should also state his or her opinion regarding any restrictions that should be placed on the employee's exposure to MC or upon the use of protective clothing or equipment such as respirators. If the employee wears a respirator as a result of his or her exposure to MC, the physician or other licensed health care professional's opinion should also contain a statement regarding the suitability of the employee to wear the type of respirator assigned. Furthermore, the employee should be informed by the physician or other licensed health care professional about the cancer risk of MC and about risk factors for heart disease, and the potential for exacerbation of underlying heart disease by exposure to MC through its metabolism to carbon monoxide. Finally, the physician or other licensed health care professional should inform the employer that the employee has been told the results of the medical examination and of any medical conditions which require further explanation or treatment. This written opinion must not contain any information on specific findings or diagnosis unrelated to employee's occupational exposures. 
The purpose in requiring the examining physician or other licensed health care professional to supply the employer with a written opinion is to provide the employer with a medical basis to assist the employer in placing employees initially, in assuring that their health is not being impaired by exposure to MC, and to assess the employee's ability to use any required protective equipment.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9031 and 9040, Labor Code.
HISTORY

1. New appendix B filed 8-4-97; operative 11-2-97 (Register 97, No. 32). 
§5203. Carcinogen Report of Use Requirements.
Note     •     History

(a) Scope. All employers who use a regulated carcinogen shall report that use in writing to the Chief as required by this section.

Note: Asbestos has additional report of use and asbestos-related work registration requirements in sections 1529, 5208, and 8358.
(b) Definitions.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Emergency means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which results in an unexpected and potentially hazardous release of a regulated carcinogen.
Regulated carcinogen means a recognized cancer causing substance, compound, mixture, or product regulated by sections 1529, 1532, 1532.2, 1535, 8358, 8359 or Article 110, sections 5200-5220.
Use means any use by an employer that could potentially result in employee exposure to a regulated carcinogen. Use includes, but is not limited to: manufacturing, sale, transfer, storage, disposal, handling, research utilization, and transportation of a regulated carcinogen.
(c) Use that requires reporting.
(1) Regulated area. For all regulated carcinogens that specify a requirement for the employer to establish a regulated area, use of a regulated carcinogen within such a regulated area shall be reported.
(2) For regulated carcinogens that do not have a regulated area requirement, use of the regulated carcinogen shall be reported in the following circumstances:
(A) For chromium (VI) regulated by sections 1532.2 or 8358, reporting is required where an employee's exposure to airborne concentrations of chromium (VI) exceeds, or can reasonably be expected to exceed, the PEL.
(B) For all other regulated carcinogens that do not have a regulated area requirement, reporting is required for any use of a concentration greater than or equal to 0.1% by weight or volume and which results in exposure or potential exposure to employees.
(d) Report of use.
(1) Initial use of a regulated carcinogen shall be reported in writing to the Chief within 15 calendar days of that initial use.
(2) Any changes in the reported information shall be similarly reported in writing within 15 calendar days of such change.
(3) All written reports shall be mailed to:

OCCUPATIONAL CARCINOGEN CONTROL UNIT
DIVISION OF OCCUPATIONAL SAFETY AND HEALTH>
POST OFFICE BOX 420603
SAN FRANCISCO, CALIFORNIA 94142
(4) The report shall include:
(A) The name of the employer and address of each workplace where a regulated carcinogen is in use;
(B) An identifying description of where the use of a regulated carcinogen is located in the workplace;
(C) A brief description of each process or operation which creates employee exposure to the regulated carcinogen, including the estimated number of employees engaged in each process or operation; and
(D) The names and addresses of any collective bargaining units or other representatives of the affected employees.
(e) Temporary worksite notification. Employers with temporary worksites need only provide an initial report and changes as specified in subsection (c) for the employer's permanent workplace location. Such employers shall also provide notification of the time and date of commencement of work, the approximate duration of the work, the location, the type of business, and the kind of work for each temporary worksite at least 24 hours prior to the commencement of each job when feasible, to the nearest district office of the Division of Occupational Safety and Health.
(f) Emergency. Any emergency, as defined in subsection (b), shall be reported as follows:
(1) A report of the occurrence of an emergency and the facts obtainable at that time shall be made within 24 hours to the nearest district office of the Division of Occupational Safety and Health.
(2) A written report shall be filed with the Chief within 15 calendar days after the occurrence of an emergency. The written report shall include:
(A) A description of the operation or process involved including its location, the amount of regulated carcinogen released, and the duration of the emergency.
(B) A statement of the known or estimated extent of employee exposure to the regulated carcinogen and area of contamination.
(C) An analysis of the circumstance that led up to the emergency.
(D) A description of the measures taken or to be taken, with specific dates, to prevent further similar emergencies from reoccurring.
(g) Posting. A copy of the applicable written report of use, temporary worksite notification, and emergency report shall be posted where the regulated carcinogen is in use or other appropriate location where the posting is conspicuous to affected employees. The reports shall be posted until the use no longer takes place at the worksite with the exception of emergency reports which shall be posted for at least 30 days after the written report was filed with the Chief.
NOTE

Authority cited: Sections 142.3, 9020 and 9030, Labor Code. Reference: Sections 142.3, 9004, 9009, 9020, 9030 and 9031, Labor Code.
HISTORY

1. New section filed 7-6-99; operative 8-5-99 (Register 99, No. 28). For prior history, see Register 87, No. 51.
2. Change without regulatory effect amending subsection (b) filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
3. Amendment of subsections (b) and (c)(2) and new subsections (c)(2)(A)-(B) filed 10-30-2007; operative 11-29-2007 (Register 2007, No. 44).
§5204. Hydrogen Peroxide. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5205. Perchloric Acid and Oxonium Perchlorate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
§5206. Chromium (VI).
Note     •     History

(a) Scope. 
(1) This standard applies to occupational exposures to chromium (VI) in all forms and compounds in general industry, except: 
(2) Exposures that occur in the application of pesticides regulated by the California Department of Pesticide Regulation, the U.S. Environmental Protection Agency or another Federal government agency (e.g., the treatment of wood with preservatives); 
(3) Exposures to portland cement; or 
(4) Where the employer has objective data demonstrating that a material containing chromium or a specific process, operation, or activity involving chromium cannot release dusts, fumes, or mists of chromium (VI) in concentrations at or above 0.5 mg/m3 as an 8-hour time-weighted average (TWA) under any expected conditions of use. 

Note: Exposures to strontium chromate shall comply with the provisions of Section 5155 in addition to this standard. 
(b) Definitions. For the purposes of this section the following definitions apply: 
Action level means a concentration of airborne chromium (VI) of 2.5 micrograms per cubic meter of air (2.5 mg/m3) calculated as an 8-hour time-weighted average (TWA). 
Chromium (VI) [hexavalent chromium or Cr(VI)] means chromium with a valence of positive six, in any form and in any compound. 
Emergency means any occurrence that results, or is likely to result, in an uncontrolled release of chromium (VI). If an incidental release of chromium (VI) can be controlled at the time of release by employees in the immediate release area, or by maintenance personnel, it is not an emergency. 
Employee exposure means the exposure to airborne chromium (VI) that would occur if the employee were not using a respirator. 
High efficiency particulate air [HEPA] filter means a filter that is at least 99.97 percent efficient in removing mono dispersed particles of 0.3 micrometers in diameter or larger. 
Historical monitoring data means data from chromium (VI) monitoring conducted prior to September 19, 2006, obtained during work operations conducted under workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Objective data means information such as air monitoring data from industry-wide surveys or calculations based on the composition or chemical and physical properties of a substance demonstrating the employee exposure to chromium (VI) associated with a particular product or material or a specific process, operation, or activity. The data must reflect workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Physician or other licensed health care professional [PLHCP] is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide some or all of the particular health care services required by subsection (k) of this section. 
Regulated area means an area, demarcated by the employer, where an employee's exposure to airborne concentrations of chromium (VI) exceeds, or can reasonably be expected to exceed, the PEL. 
“This section” means this 5206 Chromium (VI) standard. 
(c) Permissible exposure limit (PEL). The employer shall ensure that no employee is exposed to an airborne concentration of chromium (VI) in excess of 5 micrograms per cubic meter of air (5 mg/m3), calculated as an 8-hour time-weighted average (TWA). 
(d) Exposure determination. 
(1) General. Each employer who has a workplace or work operation covered by this section shall determine the 8 hour TWA exposure for each employee exposed to chromium (VI). This determination shall be made in accordance with either subsection (d)(2) or subsection (d)(3) of this section. 
(2) Scheduled monitoring option. 
(A) The employer shall perform initial monitoring to determine the 8 hour TWA exposure for each employee on the basis of a sufficient number of personal breathing zone air samples to accurately characterize full shift exposure on each shift, for each job classification, in each work area. Where an employer does representative sampling instead of sampling all employees in order to meet this requirement, the employer shall sample the employee(s) expected to have the highest chromium (VI) exposures. 
(B) If initial monitoring indicates that employee exposures are below the action level, the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring. 
(C) If monitoring reveals employee exposures to be at or above the action level, the employer shall perform periodic monitoring at least every six months. 
(D) If monitoring reveals employee exposures to be above the PEL, the employer shall perform periodic monitoring at least every three months. 
(E) If periodic monitoring indicates that employee exposures are below the action level, and the result is confirmed by the result of another monitoring taken at least seven days later, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring. 
(F) The employer shall perform additional monitoring when there has been any change in the production process, raw materials, equipment, personnel, work practices, or control methods that may result in new or additional exposures to chromium (VI), or when the employer has any reason to believe that new or additional exposures have occurred. 
(3) Performance-oriented option. The employer shall determine the 8 hour TWA exposure for each employee on the basis of any combination of air monitoring data, historical monitoring data, or objective data sufficient to accurately characterize employee exposure to chromium (VI). 
(4) Employee notification of determination results. 
(A) Within 15 working days after making an exposure determination in accordance with subsections (d)(2) or (d)(3), the employer shall either post the results in an appropriate location that is accessible to all affected employees or shall notify each affected employee individually in writing of the results. 
(B) Whenever the exposure determination indicates that employee exposure is above the PEL, the employer shall describe in the written notification the corrective action being taken to reduce employee exposure to or below the PEL. 
(5) Accuracy of measurement. Where air monitoring is performed to comply with the requirements of this section, the employer shall use a method of monitoring and analysis that can measure chromium (VI) to within an accuracy of plus or minus 25 percent (+/- 25%) and can produce accurate measurements to within a statistical confidence level of 95 percent for airborne concentrations at or above the action level. 
(6) Observation of monitoring. 
(A) Where air monitoring is performed to comply with the requirements of this section, the employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to chromium (VI). 
(B) When observation of monitoring requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with clothing and equipment and shall assure that the observer uses such clothing and equipment and complies with all other applicable safety and health procedures. 
(e) Regulated areas. 
(1) Establishment. The employer shall establish a regulated area wherever an employee's exposure to airborne concentrations of chromium (VI) is, or can reasonably be expected to be, in excess of the PEL. 
(2) Demarcation. The employer shall ensure that regulated areas are demarcated from the rest of the workplace in a manner that adequately establishes and alerts employees of the boundaries of the regulated area. 
(3) Access. The employer shall limit access to regulated areas to: 
(A) Persons authorized by the employer and required by work duties to be present in the regulated area; 
(B) Any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring procedures under subsection (d) of this section; or 
(C) Any person authorized by the California or federal Occupational Safety and Health Acts or standards issued under these Acts to be in a regulated area. 
(f) Methods of compliance. 
(1) Engineering and work practice controls. 
(A) Except as permitted in subsection (f)(1)(B) and subsection (f)(1)(C) of this section, the employer shall use engineering and work practice controls to reduce and maintain employee exposure to chromium (VI) to or below the PEL unless the employer can demonstrate that such controls are not feasible. Wherever feasible engineering and work practice controls are not sufficient to reduce employee exposure to or below the PEL, the employer shall use them to reduce employee exposure to the lowest levels achievable, and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (g) of this section. 
(B) Where painting of aircraft or large aircraft parts is performed in the aerospace industry, the employer shall use engineering and work practice controls to reduce and maintain employee exposure to chromium (VI) to or below 25 mg/m3 unless the employer can demonstrate that such controls are not feasible. The employer shall supplement such engineering and work practice controls with the use of respiratory protection that complies with the requirements of subsection (g) of this section to achieve the PEL. 
(C) Where the employer can demonstrate that a process or task does not result in any employee exposure to chromium (VI) above the PEL for 30 or more days per year (12 consecutive months), the requirement to implement engineering and work practice controls to achieve the PEL does not apply to that process or task. 
(2) Prohibition of rotation. The employer shall not rotate employees to different jobs to achieve compliance with the PEL. 
(g) Respiratory protection. 
(1) General. The employer shall provide respiratory protection for employees during: 
(A) Periods necessary to install or implement feasible engineering and work practice controls; 
(B) Work operations, such as maintenance and repair activities, for which engineering and work practice controls are not feasible; 
(C) Work operations for which an employer has implemented all feasible engineering and work practice controls and such controls are not sufficient to reduce exposures to or below the PEL; 
(D) Work operations where employees are exposed above the PEL for fewer than 30 days per year, and the employer has elected not to implement engineering and work practice controls to achieve the PEL; or 
(E) Emergencies. 
(2) Respiratory protection program. Where respirator use is required by this section, the employer shall institute a respiratory protection program in accordance with Section 5144. 
(h) Protective work clothing and equipment. 
(1) Provision and use. Where a hazard is present or is likely to be present from skin or eye contact with chromium (VI), the employer shall provide appropriate personal protective clothing and equipment at no cost to employees, and shall ensure that employees use such clothing and equipment. 
(2) Removal and storage. 
(A) The employer shall ensure that employees remove all protective clothing and equipment contaminated with chromium (VI) at the end of the work shift or at the completion of their tasks involving chromium (VI) exposure, whichever comes first. 
(B) The employer shall ensure that no employee removes chromium (VI)-contaminated protective clothing or equipment from the workplace, except for those employees whose job it is to launder, clean, maintain, or dispose of such clothing or equipment. 
(C) When contaminated protective clothing or equipment is removed for laundering, cleaning, maintenance, or disposal, the employer shall ensure that it is stored and transported in sealed, impermeable bags or other closed, impermeable containers. 
(D) Bags or containers of contaminated protective clothing or equipment that are removed from change rooms for laundering, cleaning, maintenance, or disposal shall be labeled in accordance with the requirements of the Hazard Communication standard, Section 5194. 
(3) Cleaning and replacement. 
(A) The employer shall clean, launder, repair and replace all protective clothing and equipment required by this section as needed to maintain its effectiveness. 
(B) The employer shall prohibit the removal of chromium (VI) from protective clothing and equipment by blowing, shaking, or any other means that disperses chromium (VI) into the air or onto an employee's body. 
(C) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with chromium (VI) of the potentially harmful effects of exposure to chromium (VI) and that the clothing and equipment should be laundered or cleaned in a manner that minimizes skin or eye contact with chromium (VI) and effectively prevents the release of airborne chromium (VI) in excess of the PEL. 
(i) Hygiene areas and practices. 
(1) General. Where protective clothing and equipment is required, the employer shall provide change rooms in conformance with Section 3367. Where skin contact with chromium (VI) occurs, the employer shall provide washing facilities in conformance with Section 3366(a)-(e). Eating and drinking areas provided by the employer shall be in conformance with Section 3368. 
(2) Change rooms. The employer shall assure that change rooms are equipped with separate storage facilities for protective clothing and equipment and for street clothes, and that these facilities prevent cross-contamination. 
(3) Washing facilities. 
(A) The employer shall provide readily accessible washing facilities capable of removing chromium (VI) from the skin, and shall ensure that affected employees use these facilities when necessary. 
(B) The employer shall ensure that employees who have skin contact with chromium (VI) wash their hands and faces at the end of the work shift and prior to eating, drinking, smoking, chewing tobacco or gum, applying cosmetics, or using the toilet. 
(4) Eating and drinking areas. 
(A) Whenever the employer allows employees to consume food or beverages at a worksite where chromium (VI) is present, the employer shall ensure that eating and drinking areas and surfaces are maintained as free as practicable of chromium (VI). 
(B) The employer shall ensure that employees do not enter eating and drinking areas with protective work clothing or equipment unless surface chromium (VI) has been removed from the clothing and equipment by methods that do not disperse chromium (VI) into the air or onto an employee's body. 
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in regulated areas, or in areas where skin or eye contact with chromium (VI) occurs; or carry the products associated with these activities, or store such products in these areas. 
(j) Housekeeping. 
(1) General. The employer shall ensure that: 
(A) All surfaces are maintained as free as practicable of accumulations of chromium (VI). 
(B) All spills and releases of chromium (VI) containing material are cleaned up promptly. 
(2) Cleaning methods. 
(A) The employer shall ensure that surfaces contaminated with chromium (VI) are cleaned by HEPA-filter vacuuming or other methods that minimize the likelihood of exposure to chromium (VI). 
(B) Dry shoveling, dry sweeping, and dry brushing may be used only where HEPA-filtered vacuuming or other methods that minimize the likelihood of exposure to chromium (VI) have been tried and found not to be effective. 
(C) The employer shall not allow compressed air to be used to remove chromium (VI) from any surface unless: 
1. The compressed air is used in conjunction with a ventilation system designed to capture the dust cloud created by the compressed air; or 
2. No alternative method is feasible. 
(D) The employer shall ensure that cleaning equipment is handled in a manner that minimizes the reentry of chromium (VI) into the workplace. 
(3) Disposal. The employer shall ensure that: 
(A) Waste, scrap, debris, and any other materials contaminated with chromium (VI) and consigned for disposal are collected and disposed of in sealed, impermeable bags or other closed, impermeable containers. 
(B) Bags or containers of waste, scrap, debris, and any other materials contaminated with chromium (VI) that are consigned for disposal are labeled in accordance with the requirements of the Hazard Communication standard, Section 5194. 
(k) Medical surveillance. 
(1) General. 
(A) The employer shall make medical surveillance available at no cost to the employee, and at a reasonable time and place, for all employees: 
1. Who are or may be occupationally exposed to chromium (VI) at or above the action level for 30 or more days a year; 
2. Experiencing signs or symptoms of the adverse health effects associated with chromium (VI) exposure; or 
3. Exposed in an emergency. 
(B) The employer shall assure that all medical examinations and procedures required by this section are performed by or under the supervision of a PLHCP. 
(2) Frequency. The employer shall provide a medical examination: 
(A) Within 30 days after initial assignment, unless the employee has received a chromium (VI) related medical examination that meets the requirements of this subsection within the last twelve months; 
(B) Annually; 
(C) Within 30 days after a PLHCP's written medical opinion recommends an additional examination; 
(D) Whenever an employee shows signs or symptoms of the adverse health effects associated with chromium (VI) exposure; 
(E) Within 30 days after exposure during an emergency which results in an uncontrolled release of chromium (VI); or 
(F) At the termination of employment, unless the last examination that satisfied the requirements of subsection (k) of this section was less than six months prior to the date of termination. 
(3) Contents of examination. A medical examination consists of: 
(A) A medical and work history, with emphasis on: past, present, and anticipated future exposure to chromium (VI); any history of respiratory system dysfunction; any history of asthma, dermatitis, skin ulceration, or nasal septum perforation; and smoking status and history; 
(B) A physical examination of the skin and respiratory tract; and 
(C) Any additional tests deemed appropriate by the examining PLHCP. 
(4) Information provided to the PLHCP. The employer shall ensure that the examining PLHCP has a copy of this standard, and shall provide the following information: 
(A) A description of the affected employee's former, current, and anticipated duties as they relate to the employee's occupational exposure to chromium (VI); 
(B) The employee's former, current, and anticipated levels of occupational exposure to chromium (VI); 
(C) A description of any personal protective equipment used or to be used by the employee, including when and for how long the employee has used that equipment; and 
(D) Information from records of employment-related medical examinations previously provided to the affected employee, currently within the control of the employer. 
(5) PLHCP's written medical opinion. 
(A) The employer shall obtain a written medical opinion from the PLHCP, within 30 days for each medical examination performed on each employee, which contains: 
1. The PLHCP's opinion as to whether the employee has any detected medical condition(s) that would place the employee at increased risk of material impairment to health from further exposure to chromium (VI); 
2. Any recommended limitations upon the employee's exposure to chromium (VI) or upon the use of personal protective equipment such as respirators; 
3. A statement that the PLHCP has explained to the employee the results of the medical examination, including any medical conditions related to chromium (VI) exposure that require further evaluation or treatment, and any special provisions for use of protective clothing or equipment. 
(B) The PLHCP shall not reveal to the employer specific findings or diagnoses unrelated to occupational exposure to chromium (VI). 
(C) The employer shall provide a copy of the PLHCP's written medical opinion to the examined employee within two weeks after receiving it. 
(l) Communication of chromium (VI) hazards to employees. 
(1) General. In addition to the requirements of the Hazard Communication standard, Section 5194, employers shall comply with the following requirements. 
(2) Employee information and training. 
(A) The employer shall ensure that each employee can demonstrate knowledge of at least the following: 
1. The contents of this section; and 
2. The purpose and a description of the medical surveillance program required by subsection (k) of this section. 
(B) The employer shall make a copy of this section readily available without cost to all affected employees. 
(m) Recordkeeping. 
(1) Air monitoring data. 
(A) The employer shall maintain an accurate record of all air monitoring conducted to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The date of measurement for each sample taken; 
2. The operation involving exposure to chromium (VI) that is being monitored; 
3. Sampling and analytical methods used and evidence of their accuracy; 
4. Number, duration, and the results of samples taken; 
5. Type of personal protective equipment, such as respirators worn; and 
6. Name, social security number, and job classification of all employees represented by the monitoring, indicating which employees were actually monitored. 
(C) The employer shall ensure that exposure records are maintained and made available in accordance with Section 3204. 
(2) Historical monitoring data. 
(A) Where the employer has relied on historical monitoring data to determine exposure to chromium (VI), the employer shall establish and maintain an accurate record of the historical monitoring data relied upon. 
(B) The record shall include information that reflects the following conditions: 
1. The data were collected using methods that meet the accuracy requirements of subsection (d)(5) of this section; 
2. The processes and work practices that were in use when the historical monitoring data were obtained are essentially the same as those to be used during the job for which exposure is being determined; 
3. The characteristics of the chromium (VI) containing material being handled when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; 
4. Environmental conditions prevailing when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; and 
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exception. 
(C) The employer shall ensure that historical exposure records are maintained and made available in accordance with Section 3204. 
(3) Objective data. 
(A) The employer shall maintain an accurate record of all objective data relied upon to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The chromium containing material in question; 
2. The source of the objective data; 
3. The testing protocol and results of testing, or analysis of the material for the release of chromium (VI); 
4. A description of the process, operation, or activity and how the data support the determination; and 
5. Other data relevant to the process, operation, activity, material, or employee exposures. 
(C) The employer shall ensure that objective data are maintained and made available in accordance with Section 3204. 
(4) Medical surveillance. 
(A) The employer shall establish and maintain an accurate record for each employee covered by medical surveillance under subsection (k) of this section. 
(B) The record shall include the following information about the employee: 
1. Name and social security number; 
2. A copy of the PLHCP's written opinions; 
3. A copy of the information provided to the PLHCP as required by subsection (k)(4) of this section. 
(C) The employer shall ensure that medical records are maintained and made available in accordance with Section 3204. 
(n) Dates. 
(1) For employers with 20 or more employees, all obligations of this section, except engineering controls required by subsection (f) of this section, commence November 27, 2006. 
(2) For employers with 19 or fewer employees, all obligations of this section, except engineering controls required by subsection (f) of this section, commence May 30, 2007. 
(3) For all employers, engineering controls required by subsection (f) of this section shall be implemented no later than May 31, 2010. 
(o) Reporting requirements. See Section 5203.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 9-19-2006; operative 9-19-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 38). For prior history, see Register 81, No. 51.
2. New subsection (o) and amendment of Note filed 10-30-2007; operative 11-29-2007 (Register 2007, No. 44).
3. Amendment of subsection (d)(4)(A) filed 9-13-2010; operative 9-13-2010. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 38).
§5207. Cadmium.
Note     •     History

(a) Scope.
This standard applies to all occupational exposures to cadmium and cadmium compounds, in all forms, and in all industries except the construction-related industries, which are covered under section 1532.
(b) Definitions.
Action level (AL) is defined as an airborne concentration of cadmium of 2.5 micrograms per cubic meter of air (2.5 mg/m3), calculated as an 8-hour time-weighted average (TWA).
Authorized person means any person authorized by the employer and required by work duties to be present in regulated areas or any person authorized by the Chief to be in regulated areas.
Chief means the Chief of the Division of Occupational Safety and Health, or designee.
Emergency means any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which results in an unexpected and potentially hazardous release of Cadmium.
Employee exposure and similar language referring to the air cadmium level to which an employee is exposed means the exposure to airborne cadmium that would occur if the employee were not using respiratory protective equipment.
Final medical determination is the written medical opinion of the employee's health status by the examining physician under subsections (l)(3)-(12) or, if multiple physician review under subsection (l)(13) or the alternative physician determination under subsection (l)(14) is invoked, it is the final, written medical finding, recommendation or determination that emerges from that process.
High-efficiency particulate air [HEPA] filter means a filter capable of trapping and retaining at least 99.97 percent of mono-dispersed particles of 0.3 micrometers in diameter.
NIOSH means the National Institute for Occupational Safety and Health (NIOSH), U.S. Department of Health and Human Services, or designee.
Regulated area means an area demarcated by the employer where an employee's exposure to airborne concentrations of cadmium exceeds, or can reasonably be expected to exceed the permissible exposure limit (PEL).
(c) Permissible Exposure Limit (PEL).
The employer shall assure that no employee is exposed to an airborne concentration of cadmium in excess of five micrograms per cubic meter of air (5 mg/m3), calculated as an eight-hour time-weighted average exposure (TWA).
(d) Exposure Monitoring.
(1) General.
(A) Each employer who has a workplace or work operation covered by this section shall determine if any employee may be exposed to cadmium at or above the action level.
(B) Determinations of employee exposure shall be made from breathing zone air samples that reflect the monitored employee's regular, daily 8-hour TWA exposure to cadmium.
(C) Eight-hour TWA exposures shall be determined for each employee on the basis of one or more personal breathing zone air samples reflecting full shift exposure on each shift, for each job classification, in each work area. Where several employees perform the same job tasks, in the same job classification, on the same shift, in the same work area, and the length, duration, and level of cadmium exposures are similar, an employer may sample a representative fraction of the employees instead of all employees in order to meet this requirement. In representative sampling, the employer shall sample the employee(s) expected to have the highest cadmium exposures.
(2) Specific.
(A) Initial monitoring. Except as provided for in subsections (d)(2)(B) and (d)(2)(C), the employer shall monitor employee exposures and shall base initial determinations on the monitoring results.
(B) Where the employer has monitored after September 14, 1991, under conditions that in all important aspects closely resemble those currently prevailing and where that monitoring satisfies all other requirements, including the accuracy and confidence levels of subsection (d)(6), the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (d)(2)(A).
(C) Where the employer has objective data, as defined in subsection (n)(2), demonstrating that employee exposure to cadmium will not exceed the action level under the expected conditions of processing, use, or handling, the employer may rely upon such data instead of implementing initial monitoring.
(3) Monitoring Frequency (periodic monitoring).
(A) If the initial monitoring or periodic monitoring reveals employee exposures to be at or above the action level, the employer shall monitor at a frequency and pattern needed to represent the levels of exposure of employees and where exposures are above the PEL to assure the adequacy of respiratory selection and the effectiveness of engineering and work practice controls. However, such exposure monitoring shall be performed at least every six months. The employer, at a minimum, shall continue these semi- annual measurements unless and until the conditions set out in subsection (d)(3)(B) are met.
(B) If the initial monitoring or the periodic monitoring indicates that employee exposures are below the action level and that result is confirmed by the results of another monitoring taken at least seven days later, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring.
(4) Additional Monitoring.
The employer also shall institute the exposure monitoring required under subsections (d)(2)(A) and (d)(3) whenever there has been a change in the raw materials, equipment, personnel, work practices, or finished products that may result in additional employees being exposed to cadmium at or above the action level or in employees already exposed to cadmium at or above the action level being exposed above the PEL, or whenever the employer has any reason to suspect that any other change might result in such further exposure.
(5) Employee Notification of Monitoring Results.
(A) Within 15 working days after the receipt of the results of any monitoring performed under this section, the employer shall notify each affected employee individually in writing of the results. In addition, within the same time period the employer shall post the results of the exposure monitoring in an appropriate location that is accessible to all affected employees.
(B) Wherever monitoring results indicate that employee exposure exceeds the PEL, the employer shall include in the written notice a statement that the PEL has been exceeded and a description of the corrective  action being taken by the employer to reduce employee exposure to or below the PEL.
(6) Accuracy of Measurement.
The employer shall use a method of monitoring and analysis that has an accuracy of not less than plus or minus 25 percent (+ 25%), with a confidence level of 95 percent, for airborne concentrations of cadmium at or above the action level, the permissible exposure limit (PEL), and the separate engineering control air limit (SECAL).
(e) Regulated Areas.
(1) Establishment.
The employer shall establish a regulated area wherever an employee's exposure to airborne concentrations of cadmium is, or can reasonably be expected to be in excess of the permissible exposure limit (PEL).
(2) Demarcation.
Regulated areas shall be demarcated from the rest of the workplace in any manner that adequately establishes and alerts employees of the boundaries of the regulated area.
(3) Access.
Access to regulated areas shall be limited to authorized persons.
(4) Provision of Respirators.
Each person entering a regulated area shall be supplied with and required to use a respirator, selected in accordance with subsection (g)(2).
(5) Prohibited Activities.
The employer shall assure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in regulated areas, carry the products associated with these activities into regulated areas, or store such products in those areas.
(f) Methods of Compliance.
(1) Compliance Hierarchy.
(A) Except as specified in subsections (f)(1)(B), (C) and (D) the employer shall implement engineering and work practice controls to reduce and maintain employee exposure to cadmium at or below the PEL, except to the extent that the employer can demonstrate that such controls are not feasible.
(B) Except as specified in subsections (f)(1)(C) and (D), in industries where a separate engineering control air limit (SECAL) has been specified for particular processes (See Table 1), the employer shall implement engineering and work practice controls to reduce and maintain employee exposure at or below the SECAL, except to the extent that the employer can demonstrate that such controls are not feasible.

TABLE I 

Separate Engineering Control Airborne Limits (SECALs)
for Processes in Selected Industries

		Industry	Process	SECAL ( mg/m3)

		Nickel Cadmium Battery
			Plate making, plate preparation	50
			All other processes	15

		Zinc/Cadmium Refining*	
			Cadmium refining, casting, melting,
			oxide production, sinter plant	50

		Pigment Manufacture
			Calcine, crushing, milling & blending	50
			All other processes	15

		Stabilizers*	
			Cadmium oxide charging, crushing,
			drying & blending	50

		Lead Smelting*	
			Sinter plant, blast furnace,
			baghouse & yard area	50

		Plating*	
			Mechanical plating	15

---------
*Processes in these industries that are not specified in this table must achieve the PEL using engineering controls and work practices as required in subsection f(1)(A).
(C) The requirement to implement engineering and work practice controls to achieve the PEL or, where applicable, the SECAL does not apply where the employer demonstrates the following:
1. the employee is only intermittently exposed; and
2. the employee is not exposed above the PEL on 30 or more days per year (12 consecutive months).
(D) Wherever engineering and work practice controls are required and are not sufficient to reduce employee exposure to or below the PEL or, where applicable, the SECAL, the employer nonetheless shall implement  such controls to reduce exposures to the lowest levels achievable. The employer shall supplement such controls with respiratory protection that complies with the requirements of subsection (g) and the PEL.
(E) The employer shall not use employee rotation as a method of compliance.
(2) Compliance Program.
(A) Where the PEL is exceeded, the employer shall establish and implement a written compliance program to reduce employee exposure to or below the PEL by means of engineering and work practice controls, as required by subsection (f)(1). To the extent that engineering and work practice controls cannot reduce exposures to or below the PEL, the employer shall include in the written compliance program the use of appropriate respiratory protection to achieve compliance with the PEL.
(B) Written compliance programs shall include at least the following:
1. A description of each operation in which cadmium is emitted; e.g., machinery used, material processed, controls in place, crew size, employee job responsibilities, operating procedures, and maintenance practices;
2. A description of the specific means that will be employed to achieve compliance, including engineering plans and studies used to determine methods selected for controlling exposure to cadmium, as well as, where necessary, the use of appropriate respiratory protection to achieve the PEL;
3. A report of the technology considered in meeting the PEL;
4. Air monitoring data that document the sources of cadmium emissions;
5. A detailed schedule for implementation of the program, including documentation such as copies of purchase orders for equipment, construction contracts, etc.;
6. A work practice program that includes items required under subsections (h), (i), and (j);
7. A written plan for emergency situations, as specified in subsection (h); and
8. Other relevant information.
(C) The written compliance programs shall be reviewed and updated at least annually, or more often if necessary, to reflect significant changes in the employer's compliance status.
(D) Written compliance programs shall be provided upon request for examination and copying to affected employees, designated employee representatives as well as to the Chief, and NIOSH.
(3) Mechanical Ventilation.
(A) When ventilation is used to control exposure, measurements that demonstrate the effectiveness of the system in controlling exposure, such as capture velocity, duct velocity, or static pressure shall be made as necessary to maintain its effectiveness.
(B) Measurements of the system's effectiveness in controlling exposure shall be made as necessary within five working days of any change in production, process, or control that might result in a significant increase in employee exposure to cadmium.
(C) Recirculation of air. If air from exhaust ventilation is recirculated into the workplace, the system shall have a high efficiency filter and be monitored to assure effectiveness.
(D) Procedures shall be developed and implemented to minimize employee exposure to cadmium when maintenance of ventilation systems and changing of filters is being conducted.
(g) Respiratory Protection.
(1) General.
For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls when employee exposure levels exceed the PEL;
(B) Maintenance and repair activities and during those brief or intermittent operations where exposures exceed the PEL and engineering and work practice controls are not feasible or are not required;
(C) Activities in regulated areas, specified in subsection (e);
(D) Work operations for which the employer has implemented all feasible engineering and work practice controls and such controls are not sufficient to reduce exposures to or below the PEL;
(E) Emergencies;
(F) Work operations for which an employee who is exposed to cadmium at or above the action level requests a respirator;
(G) Work operations for which an employee is exposed to cadmium above the PEL and engineering controls are not required under subsection (f)(1)(B).
(2) Respirator program.
(A) The employer must implement a respirator program in accordance with section 5144(b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) No employees must use a respirator if, based upon their most recent examination, the examining physician determines that they will be unable to continue to function normally while using a respirator. If the physician determines the employee must be limited in, or removed from their current inability to use a respirator, the limitation or removal must be in accordance with subsections (l)(11) and (12).
(C) If an employee exhibits breathing difficulty during a fit test or respirator use, the employer must provide the employee with a medical examination in accordance with subsection (l)(6)(B) to determine if the employee can use a respirator while performing the required duties.
(3) Respirator Selection.
(A) The employer shall select, and provide the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) The employer shall provide a powered, air-purifying respirator (PAPR) in lieu of a negative pressure respirator wherever:
1. An employee entitled to a respirator chooses to use this type of respirator; and
2. This respirator will provide adequate protection to the employee.
(C) Employers shall provide employees with full facepiece respirators when they experience eye irritation.
(D) Employers shall provide HEPA filters for powered and non-powered respirators.
(h) Emergency Situations.
The employer shall develop and implement a written plan for dealing with emergency situations involving substantial releases of airborne cadmium. The plan shall include provisions for the use of appropriate respirators and personal protective equipment. In addition, employees not essential to correcting the emergency situation shall be restricted from the area and normal operations halted in that area until the emergency is abated.
(i) Protective Work Clothing and Equipment.
(1) Provision and Use.
If an employee is exposed to airborne cadmium above the PEL or where skin or eye irritation is associated with cadmium exposure at any level, the employer shall provide at no cost to the employee, and assure that the employee uses, appropriate protective work clothing and equipment that prevents contamination of the employee and the employee's garments. Protective work clothing and equipment includes, but is not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, head coverings, and boots or foot coverings; and,
(C) Face shields, vented goggles, or other appropriate protective equipment that complies with Article 10.
(2) Removal and Storage.
(A) The employer shall assure that employees remove all protective clothing and equipment contaminated with cadmium at the completion of the work shift and do so only in change rooms provided in accordance with subsection (j)(1).
(B) The employer shall assure that no employee takes cadmium- contaminated protective clothing or equipment from the workplace, except for employees authorized to do so for purposes of laundering, cleaning, maintaining, or disposing of cadmium contaminated protective clothing and equipment at an appropriate location or facility away from the workplace.
(C) The employer shall assure that contaminated protective clothing and equipment, when removed for laundering, cleaning, maintenance, or disposal, is placed and stored in sealed, impermeable bags or other closed, impermeable containers that are designed to prevent dispersion of cadmium dust.
(D) The employer shall assure that bags or containers of contaminated protective clothing and equipment that are to be taken out of the change rooms or the workplace for laundering, cleaning, maintenance or disposal shall bear labels in accordance with subsection (m)(3).
(3) Cleaning, Replacement, and Disposal.
(A) The employer shall provide the protective clothing and equipment required by subsection (i)(1) in a clean and dry condition as often as necessary to maintain its effectiveness, but in any event at least weekly. The employer is responsible for cleaning and laundering the protective clothing and equipment required by this subsection to maintain its effectiveness and is also responsible for disposing of such clothing and equipment.
(B) The employer also is responsible for repairing or replacing required protective clothing and equipment as needed to maintain its effectiveness. When rips or tears are detected while an employee is working they shall be immediately mended, or the worksuit shall be immediately replaced.
(C) The employer shall prohibit the removal of cadmium from protective clothing and equipment by blowing, shaking, or any other means that disperses cadmium into the air.
(D) The employer shall assure that any laundering of contaminated clothing or cleaning of contaminated equipment in the workplace is done in a manner that prevents the release of airborne cadmium in excess of the permissible exposure limit prescribed in subsection (c).
(E) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with cadmium of the potentially harmful effects of exposure to cadmium and that the clothing and equipment should be laundered or cleaned in a manner to effectively prevent the release of airborne cadmium in excess of the PEL.
(j) Hygiene Areas and Practices.
(1) General.
For employees whose airborne exposure to cadmium is above the PEL, the employer shall provide clean change rooms, handwashing facilities, showers, and lunchroom facilities that comply with Article 9.
(2) Change Rooms.
The employer shall assure that change rooms are equipped with separate storage facilities for street clothes and for protective clothing and equipment, which are designed to prevent dispersion of cadmium and contamination of the employee's street clothes.
(3) Showers and Handwashing Facilities.
(A) The employer shall assure that employees who are exposed to cadmium above the PEL shower during the end of the work shift.
(B) The employer shall assure that employees whose airborne exposure to cadmium is above the PEL wash their hands and faces prior to eating, drinking, smoking, chewing tobacco or gum, or applying cosmetics.
(4) Lunchroom Facilities.
(A) The employer shall assure that the lunchroom facilities are readily accessible to employees, that tables for eating are maintained free of cadmium, and that no employee in a lunchroom facility is exposed at any time to cadmium at or above a concentration of 2.5 mg/m3.
(B) The employer shall assure that employees do not enter lunchroom facilities with protective work clothing or equipment unless surface cadmium has been removed from the clothing and equipment by HEPA vacuuming or some other method that removes cadmium dust without dispersing it.
(k) Housekeeping.
(1) All surfaces shall be maintained as free as practicable of accumulations of cadmium.
(2) All spills and sudden releases of material containing cadmium shall be cleaned up as soon as possible.
(3) Surfaces contaminated with cadmium shall, wherever possible, be cleaned by vacuuming or other methods that minimize the likelihood of cadmium becoming airborne.
(4) HEPA-filtered vacuuming equipment or equally effective filtration methods shall be used for vacuuming. The equipment shall be used and emptied in a manner that minimizes the reentry of cadmium into the workplace.
(5) Shoveling, dry or wet sweeping, and brushing may be used only where vacuuming or other methods that minimize the likelihood of cadmium becoming airborne have been tried and found not to be effective.
(6) Compressed air shall not be used to remove cadmium from any surface unless the compressed air is used in conjunction with a ventilation system designed to capture the dust cloud created by the compressed air.
(7) Waste, scrap, debris, bags, containers, personal protective equipment, and clothing contaminated with cadmium and consigned for disposal shall be collected and disposed of in sealed impermeable bags or other closed, impermeable containers. These bags and containers shall be labeled in accordance with subsection (m)(3).
(l) Medical Surveillance.
(1) General.
(A) Scope.
1. Currently exposed - The employer shall institute a medical surveillance program for all employees who are or may be exposed to cadmium at or above the action level unless the employer demonstrates that the employee is not, and will not be, exposed at or above the action level on 30 or more days per year (twelve consecutive months); and,
2. Previously exposed - The employer shall also institute a medical surveillance program for all employees who prior to the effective date of this section might previously have been exposed to cadmium at or above the action level by the employer, unless the employer demonstrates that the employee did not prior to the effective date of this section work for the employer in jobs with exposure to cadmium for an aggregated total of more than 60 months.
(B) To determine an employee's fitness for using a respirator, the employer shall provide the limited medical examination specified in subsection (l)(6).
(C) The employer shall assure that all medical examinations and procedures required by this standard are performed by or under the supervision of a licensed physician, who has read and is familiar with the health effects section of Appendix A, the regulatory text of this section, the protocol for sample handling and laboratory selection in Appendix F, and the questionnaire of Appendix D. These examinations and procedures shall be provided without cost to the employee and at a time and place that is reasonable and convenient to employees.
(D) The employer shall assure that the collecting and handling of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine  (b2-M) taken from employees under this section is done in a manner that assures their reliability and that analysis of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine (b2-M) taken from employees under this section is performed in laboratories with demonstrated proficiency for that particular analyte. (See Appendix F.)
(2) Initial Examination.
(A) The employer shall provide an initial (preplacement) examination to all employees covered by the medical surveillance program required in subsection (l)(1)(A). The examination shall be provided to those employees within 30 days after initial assignment to a job with exposure to cadmium or no later than 90 days after the effective date of this section, whichever date is later.
(B) The initial (preplacement) medical examination shall include:
1. A detailed medical and work history, with emphasis on: past, present, and anticipated future exposure to cadmium; any history of renal, cardiovascular, respiratory, hematopoietic, reproductive, and/or musculo-skeletal system dysfunction; current usage of medication with potential nephrotoxic side-effects; and smoking history and current status; and
2. Biological monitoring that includes the following tests:
a. Cadmium in urine (CdU), standardized to grams of creatinine (g/Cr);
b. Beta-2 microglobulin in urine (b2-M), standardized to grams of creatinine (g/Cr), with pH specified, as described in Appendix F; and
c. Cadmium in blood (CdB), standardized to liters of whole blood (lwb).
(C) Recent Examination: An initial examination is not required to be provided if adequate records show that the employee has been examined in accordance with the requirements of subsection (l)(2)(B) within the past 12 months. In that case, such records shall be maintained as part of the employee's medical record and the prior exam shall be treated as if it were an initial examination for the purposes of subsections (l)(3) and (4).
(3) Actions Triggered by Initial Biological Monitoring:
(A) If the results of the initial biological monitoring tests show the employee's CdU level to be at or below 3 mg/g Cr, b2-M level to be at or below 300 mg/g Cr and CdB level to be at or below 5 mg/lwb, then:
1. for currently exposed employees, who are subject to medical surveillance under subsection (l)(1)(A)1., the employer shall provide the minimum level of periodic medical surveillance in accordance with the requirements in subsection (l)(4)(A); and
2. for previously exposed employees, who are subject to medical surveillance under subsection (l)(1)(A)2., the employer shall provide biological monitoring for CdU, b2-M, and CdB one year after the initial biological monitoring and then the employer shall comply with the requirements of subsection (l)(4)(E).
(B) For all employees who are subject to medical surveillance under subsection (l)(1)(A), if the results of the initial biological monitoring tests show the level of CdU to exceed mg/g Cr, the level of b2-M to exceed 300 mg/g Cr, or the level of CdB to exceed 5 mg/lwb, the employer shall:
1. within two weeks after receipt of biological monitoring results, reassess the employee's occupational exposure to cadmium as follows:
a. reassess the employee's work practices and personal hygiene;
b. reevaluate the employee's respirator use, if any, and the respirator program;
c. review the hygiene facilities;
d. reevaluate the maintenance and effectiveness of the relevant engineering controls;
e. assess the employee's smoking history and status;
2. within 30 days after the exposure reassessment, specified in (l)(3)(B)1., take reasonable steps to correct any deficiencies found in the reassessment that may be responsible for the employee's excess exposure to cadmium; and,
3. within 90 days after receipt of biological monitoring results, provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B).  After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. If the physician determines that medical removal is not necessary, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr Cr and CdB level falls to or below 5 mg/lwb, the employer shall:
a. Provide biological monitoring in accordance with subsection (l)(2)(B)2. on a semiannual basis; and
b. Provide annual medical examinations in accordance with subsection (l)(4)(B).
(C) For all employees who are subject to medical surveillance under subsection (l)(1)(A), if the results of the initial biological monitoring tests show the level of CdU to be in excess of 15 mg/g Cr, or the level of CdB to be in excess of 15 mg/lwb, or the level of b2-M to be in excess of 1,500 mg/g Cr, the employer shall comply with the requirements of subsections (l)(3)(B)1.-2. Within 90 days after receipt of biological monitoring results, the employer shall provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B). After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. However, if the initial biological monitoring results and the biological monitoring results obtained during the medical examination both show that: CdU exceeds 15 mg/g Cr; or CdB exceeds 15 mg/lwb; or b2-M exceeds 1500 mg/g Cr, and in addition CdU exceeds 3 mg/g Cr or CdB exceeds 5 mg/liter of whole blood, then the physician shall medically remove the employee from exposure to cadmium at or above the action level. If the second set of biological monitoring results obtained during the medical examination does not show that a mandatory removal trigger level has been exceeded, then the employee is not required to be removed by the mandatory provisions of this subsection. If the employee is not required to be removed by the mandatory provisions of this subsection or by the physician's determination, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr and CdB level falls to or below 5 mg/lwb, the employer shall:
1. Periodically reassess the employee's occupational exposure to cadmium;
2. Provide biological monitoring in accordance with subsection (l)(2)(B)2. on a quarterly basis; and
3. Provide semiannual medical examinations in accordance with subsection (l)(4)(B).
(D) For all employees to whom medical surveillance is provided, beginning on January 1, 1999, and in lieu of subsections (l)(3)(A)-(C):
1. If the results of the initial biological monitoring tests show the employee's CdU level to be at or below 3 mg/g Cr, b2-M level to be at or below 300 mg/g Cr and CdB level to be at or below 5 mg/lwb, then for currently exposed employees, the employer shall comply with the requirements of subsection (l)(3)(A)1., and for previously exposed employees, the employer shall comply with the requirements of subsection (l)(3)(A)2.;
2. If the results of the initial biological monitoring tests show the level of CdU to exceed 3 mg/g Cr, the level of b2-M to exceed 300 mg/g Cr, or the level of CdB to exceed 5 mg/lwb, the employer shall comply with the requirements of subsections (l)(3)(B)1.-3.; and,
3. If the results of the initial biological monitoring tests show the level of CdU to be in excess of 7 mg/g Cr, or the level of CdB to be in excess of 10 mg/lwb, or the level of b2-M to be in excess of 750 mg/g Cr, the employer shall: comply with the requirements of subsections (l)(3)(B)1.-2.; and, within 90 days after receipt of biological monitoring results, provide a full medical examination to the employee in accordance with the requirements of subsection (l)(4)(B). After completing the medical examination, the examining physician shall determine in a written medical opinion whether to medically remove the employee. However, if the initial biological monitoring results and the biological monitoring results obtained during the medical examination both show that: CdU exceeds 7 mg/g Cr; or CdB exceeds 10 mg/lwb; or b2-M exceeds 750 mg/g Cr, and in addition CdU exceeds 3 mg/g Cr or CdB exceeds 5 mg/liter of whole blood, then the physician shall medically remove the employee from exposure to cadmium at or above the action level. If the second set of biological monitoring results obtained during the medical examination does not show that a mandatory removal trigger level has been exceeded, then the employee is not required to be removed by the mandatory provisions of this subsection. If the employee is not required to be removed by the mandatory provisions of this subsection or by the physician's determination, then until the employee's CdU level falls to or below 3 mg/g Cr, b2-M level falls to or below 300 mg/g Cr and CdB level falls to or below 5 mg/lwb, the employer shall: periodically reassess the employee's occupational exposure to cadmium; provide biological monitoring in accordance with subsection (l)(2)(B)2. on a quarterly basis; and provide semiannual medical examinations in accordance with subsection (l)(4)(B).
(4) Periodic Medical Surveillance.
(A) For each employee who is covered under subsection (l)(1)(A)1., the employer shall provide at least the minimum level of periodic medical surveillance, which consists of periodic medical examinations and periodic biological monitoring. A periodic medical examination shall be provided within one year after the initial examination required by subsection (l)(2) and thereafter at least biennially. Biological sampling shall be provided at least annually, either as part of a periodic medical examination or separately as periodic biological monitoring.
(B) The periodic medical examination shall include:
1. A detailed medical and work history, or update thereof, with emphasis on: past, present and anticipated future exposure to cadmium; smoking history and current status; reproductive history; current use of medications with potential nephrotoxic side-effects; any history of renal, cardiovascular, respiratory, hematopoietic, and/or musculo-skeletal system dysfunction; and as part of the medical and work history, for employees who wear respirators, questions 3-11 and 25-32 in Appendix D;
2. A complete physical examination with emphasis on: blood pressure, the respiratory system, and the urinary system;
3. A 14 inch by 17 inch, or a reasonably standard sized posterior-anterior chest X-ray (after the initial X-ray, the frequency of chest X-rays is to be determined by the examining physician);
4. Pulmonary function tests, including forced vital capacity (FVC) and forced expiratory volume at 1 second (FEV1);
5. Biological monitoring, as required in subsection (l)(2)(B)2.;
6. Blood analysis, in addition to the analysis required under subsection (l)(2)(B)2., including blood urea nitrogen, complete blood count, and serum creatinine;
7. Urinalysis, in addition to the analysis required under subsection (l)(2)(B)2., including the determination of albumin, glucose, and total and low molecular weight proteins;
8. For males over 40 years old, prostate palpation, or other at least as effective diagnostic test(s); and
9. Any additional tests deemed appropriate by the examining physician.
(C) Periodic biological monitoring shall be provided in accordance with subsection (l)(2)(B)2..
(D) If the results of periodic biological monitoring or the results of biological monitoring performed as part of the periodic medical examination show the level of the employee's CdU, b2-M, or CdB to be in excess of the levels specified in subsections (l)(3)(B)-(C); or, beginning on January 1, 1999, in excess of the levels specified in subsections (l)(3)(B) or (D), the employer shall take the appropriate actions specified in subsections (l)(3)(B)-(D).
(E) For previously exposed employees under subsection (l)(1)(A)2.:
1. If the employee's levels of CdU did not exceed 3 mg/g Cr, CdB did not exceed 5 mg/lwb, and  b2-M did not exceed 300 mg/g Cr in the initial biological monitoring tests, and if the results of the followup biological monitoring required by subsection (l)(3)(A)2. one year after the initial examination confirm the previous results, the employer may discontinue all periodic medical surveillance for that employee.
2. If the initial biological monitoring results for CdU, CdB, or b2-M were in excess of the levels specified in (l)(3)(A), but subsequent biological monitoring results required by (l)(3)(B)-(D) show that the employee's CdU levels no longer exceed 3 mg/g Cr, CdB levels no longer exceed 5 mg/lwb, and b2-M levels no longer exceed 300 mg/g Cr, the employer shall provide biological monitoring for CdU, CdB, and b2-M one year after these most recent biological monitoring results. If the results of the followup biological monitoring, specified in this subsection, confirm the previous results, the employer may discontinue all periodic medical surveillance for that employee.
3. However, if the results of the follow-up  tests specified in (l)(4)(E)1. or 2. indicate that the level of the employee's CdU, b2-M, or CdB exceeds these same levels, the employer is required to provide annual medical examinations in accordance with the provisions of subsection (l)(4)(B) until the results of biological monitoring are consistently below these levels or the examining physician determines in a written medical opinion that further medical surveillance is not required to protect the employee's health.
(F) A routine, biennial medical examination is not required to be provided in accordance with subsections (l)(3)(A) and (l)(4) if adequate medical records show that the employee has been examined in accordance with the requirements of subsection (l)(4)(B) within the past 12 months. In that case, such records shall be maintained by the employer as part of the employee's medical record, and the next routine, periodic medical examination shall be made available to the employee within two years of the previous examination.
(5) Actions Triggered by Medical Examinations:
(A) If the results of a medical examination carried out in accordance with this section indicate any laboratory or clinical finding consistent with cadmium toxicity that does not require employer action under subsections (l)(2), (3) or (4), the employer, within 30 days, shall reassess the employee's occupational exposure to cadmium and take the following corrective action until the physician determines they are no longer necessary:
1. Periodically reassess: the employee's work practices and personal hygiene; the employee's respirator use, if any; the employee's smoking history and status; the respiratory protection program; the hygiene facilities; and the maintenance and effectiveness of the relevant engineering controls;
2. Within 30 days after the reassessment, take all reasonable steps to correct the deficiencies found in the reassessment that may be responsible for the employee's excess exposure to cadmium;
3. Provide semiannual medical reexaminations to evaluate the abnormal clinical sign(s) of cadmium toxicity until the results are normal or the employee is medically removed; and
4. Where the results of tests for total proteins in urine are abnormal, provide a more detailed medical evaluation of the toxic effects of cadmium on the employee's renal system.
(6) Examination for Respirator Use:
(A) To determine an employee's fitness for respirator use, the employer shall provide a medical examination that includes the elements specified in (l)(6)1.-4.. This examination shall be provided prior to the employee's being assigned to a job that requires the use of a respirator or no later than 90 days after this section goes into effect, whichever date is later, to any employee without a medical examination within the preceding 12 months that satisfies the requirements of this subsection.
1. A detailed medical and work history, or update thereof, with emphasis on: past exposure to cadmium; smoking history and current status; any history of renal, cardiovascular, respiratory, hematopoietic, and/or musculo-skeletal system dysfunction; a description of the job for which the respirator is required; and questions 3-11 and 25-32 in Appendix D;
2. A blood pressure test;
3. Biological monitoring of the employee's levels of CdU, CdB and b2-M in accordance with the requirements of subsection (l)(2)(B)2., unless such results already have been obtained within the previous 12 months; and 
4. Any other test or procedure that the examining physician deems appropriate.
(B) After reviewing all the information obtained from the medical examination required in subsection (l)(6)(A), the physician shall determine whether the employee is fit to wear a respirator.
(C) Whenever an employee has exhibited difficulty in breathing during a respirator fit test or during use of a respirator, the employer, as soon as possible, shall provide the employee with a periodic medical examination in accordance with subsection (l)(4)(B) to determine the employee's fitness to wear a respirator.
(D) Where the results of the examination required under subsection (l)(6)(A), (B) or (C) are abnormal, medical limitation or prohibition of respirator use shall be considered. If the employee is allowed to wear a respirator, the employee's ability to continue to do so shall be periodically evaluated by a physician.
(7) Emergency Examinations:
(A) In addition to the medical surveillance required in subsections (l)(2)-(6), the employer shall provide a medical examination as soon as possible to any employee who may have been acutely exposed to cadmium because of an emergency.
(B) The examination shall include the requirements of subsection (l)(4)(B), with emphasis on the respiratory system, other organ systems considered appropriate by the examining physician, and symptoms of acute overexposure, as identified in Appendix A in subsections II2.(1)-(2) and IV.
(8) Termination of Employment Examination:
(A) At termination of employment, the employer shall provide a medical examination in accordance with subsection (l)(4)(B), including a chest X-ray, to any employee to whom at any prior time the employer was required to provide medical surveillance under subsections (l)(1)(A) or (l)(7). However, if the last examination satisfied the requirements of subsection (l)(4)(B) and was less than six months prior to the date of termination, no further examination is required unless otherwise specified in subsections (l)(3) or (l)(5);
(B) However, for employees covered by subsection(l)(1)(A)2., if the employer has discontinued all periodic medical surveillance under (l)(4)(E), no termination of employment medical examination is required.
(9) Information Provided to the Physician:
The employer shall provide the following information to the examining physician:
(A) A copy of this standard and appendices;
(B) A description of the affected employee's former, current, and anticipated duties as they relate to the employee's occupational exposure to cadmium;
(C) The employee's former, current, and anticipated future levels of occupational exposure to cadmium;
(D) A description of any personal protective equipment, including respirators, used or to be used by the employee, including when and for how long the employee has used that equipment; and
(E) relevant results of previous biological monitoring and medical examinations.
(10) Physician's Written Medical Opinion:
(A) The employer shall promptly obtain a written, signed medical opinion from the examining physician for each medical examination performed on each employee. This written opinion shall contain:
1. The physician's diagnosis for the employee;
2. The physician's opinion as to whether the employee has any detected medical condition(s) that would place the employee at increased risk of material impairment to health from further exposure to cadmium, including any indications of potential cadmium toxicity;
3. The results of any biological or other testing or related evaluations that directly assess the employee's absorption of cadmium;
4. Any recommended removal from, or limitation on the activities or duties of the employee or on the employee's use of personal protective equipment, such as respirators;
5. A statement that the physician has clearly and carefully explained to the employee the results of the medical examination, including all biological monitoring results and any medical conditions related to cadmium exposure that require further evaluation or treatment, and any limitation on the employee's diet or use of medications.
(B) The employer promptly shall obtain a copy of the results of any biological monitoring provided by an employer to an employee independently of a medical examination under subsections (l)(2) and (l)(4), and, in lieu of a written medical opinion, an explanation sheet explaining those results.
(C) The employer shall instruct the physician not to reveal orally or in the written medical opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to cadmium.
(11) Medical Removal Protection (MRP):
(A) General.
1. The employer shall temporarily remove an employee from work where there is excess exposure to cadmium on each occasion that medical removal is required under subsections (l)(3), (l)(4), or (l)(6) and on each occasion that a physician determines in a written medical opinion that the employee should be removed from such exposure. The physician's determination may be based on biological monitoring results, inability to wear a respirator, evidence of illness, other signs or symptoms of cadmium-related dysfunction or disease, or any other reason deemed medically sufficient by the physician.
2. The employer shall medically remove an employee in accordance with subsection (l)(11) regardless of whether at the time of removal a job is available into which the removed employee may be transferred.
3. Whenever an employee is medically removed under subsection (l)(11), the employer shall transfer the removed employee to a job where the exposure to cadmium is within the permissible levels specified in that subsection as soon as one becomes available.
4. For any employee who is medically removed under the provisions of subsection (l)(11)(A), the employer shall provide follow-up biological monitoring in accordance with (l)(2)(B)2. at least every three months and follow-up medical examinations semi-annually at least every six months until in a written medical opinion the examining physician determines that either the employee may be returned to his/her former job status as specified under (l)(11)(D)-(E) or the employee must be permanently removed from excess cadmium exposure.
5. The employer may not return an employee who has been medically removed for any reason to his/her former job status until a physician determines in a written medical opinion that continued medical removal is no longer necessary to protect the employee's health.
(B) Where an employee is found unfit to wear a respirator under subsection (l)(6)(B), the employer shall remove the employee from work where exposure to cadmium is above the PEL.
(C) Where removal is based on any reason other than the employee's inability to wear a respirator, the employer shall remove the employee from work where exposure to cadmium is at or above the action level.
(D) Except as specified in subsection (l)(11)(E), no employee who was removed because his/her level of CdU, CdB and/or b2-M exceeded the medical removal trigger levels in subsections (l)(3) or (l)(4) may be returned to work with exposure to cadmium at or above the action level until the employee's levels of CdU fall to or below 3 mg/g Cr, CdB falls to or below 5 mg/lwb, and b2-M falls to or below 300 mg/g Cr.
(E) However, when in the examining physician's opinion continued exposure to cadmium will not pose an increased risk to the employee's health and there are special circumstances that make continued medical removal an inappropriate remedy, the physician shall fully discuss these matters with the employee, and then in a written determination may return a worker to his/her former job status despite what would otherwise be unacceptably high biological monitoring results. Thereafter, the returned employee shall continue to be provided with medical surveillance as if he/she were still on medical removal until the employee's levels of CdU fall to or below 3 mg/g Cr, CdB falls to or below 5 mg/lwb, and b2-M falls to or below 300 mg/g Cr.
(F) Where an employer, although not required by(l)(11)(A)-(C) to do so, removes an employee from exposure to cadmium or otherwise places limitations on an employee due to the effects of cadmium exposure on the employee's medical condition, the employer shall provide the same medical removal protection benefits to that employee under subsection (l)(12) as would have been provided had the removal been required under subsection (l)(11)(A)-(C).
(12) Medical Removal Protection Benefits (MRPB).
(A) The employer shall provide MRPB for up to a maximum of 18 months to an employee each time and while the employee is temporarily medically removed under subsection (l)(11).
(B) For purposes of this section, the requirement that the employer provide MRPB means that the employer shall maintain the total normal earnings, seniority, and all other employee rights and benefits of the removed employee, including the employee's right to his/her former job status, as if the employee had not been removed from the employee's job or otherwise medically limited.
(C) Where, after 18 months on medical removal because of elevated biological monitoring results, the employee's monitoring results have not declined to a low enough level to permit the employee to be returned to his/her former job status:
1. the employer shall make available to the employee a medical examination pursuant to this section in order to obtain a final medical determination as to whether the employee may be returned to his/her former job status or must be permanently removed from excess cadmium exposure; and
2. the employer shall assure that the final medical determination indicates whether the employee may be returned to his/her former job status and what steps, if any, should be taken to protect the employee's health.
(D) The employer may condition the provision of MRPB upon the employee's participation in medical surveillance provided in accordance with this section.
(13) Multiple Physician Review.
(A) If the employer selects the initial physician to conduct any medical examination or consultation provided to an employee under this section, the employee may designate a second physician to:
1. Review any findings, determinations, or recommendations of the initial physician; and
2. Conduct such examinations, consultations, and laboratory tests as the second physician deems necessary to facilitate this review.
(B) The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician provided by the employer conducts a medical examination or consultation pursuant to this section. The employer may condition its participation in, and payment for, multiple physician review upon the employee doing the following within fifteen (15) days after receipt of this notice, or receipt of the initial physician's written opinion, whichever is later:
1. Informing the employer that he or she intends to seek a medical opinion; and
2. Initiating steps to make an appointment with a second physician.
(C) If the findings, determinations, or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve any disagreement.
(D) If the two physicians have been unable to quickly resolve their disagreement, then the employer and the employee, through their respective physicians, shall designate a third physician to:
1. Review any findings, determinations, or recommendations of the other two physicians; and
2. Conduct such examinations, consultations, laboratory tests, and discussions with the other two physicians as the third physician deems necessary to resolve the disagreement among them.
(E) The employer shall act consistently with the findings, determinations, and recommendations of the third physician, unless the employer and the employee reach an agreement that is consistent with the recommendations of at least one of the other two physicians.
(14) Alternate Physician Determination.
The employer and an employee or designated employee representative may agree upon the use of any alternate form of physician determination in lieu of the multiple physician review provided by subsection (l)(13), so long as the alternative is expeditious and at least as protective of the employee.
(15) Information the Employer Must Provide the Employee.
(A) The employer shall provide a copy of the physician's written medical opinion to the examined employee within two weeks after receipt thereof.
(B) The employer shall provide the employee with a copy of the employee's biological monitoring results and an explanation sheet explaining the results within two weeks after receipt thereof.
(C) Within 30 days after a request by an employee, the employer shall provide the employee with the information the employer is required to provide the examining physician under subsection (l)(9).
(16) Reporting.
In addition to other medical events that are required to be reported on the Cal/OSHA Form No. 200, the employer shall report any abnormal condition or disorder caused by occupational exposure to cadmium associated with employment as specified in Title 8, Section 14301.
(m) Communication of Cadmium Hazards to Employees.
(1) General.
In communications concerning cadmium hazards, employers shall comply with the requirements of the Hazard Communication Standard, section 5194, including but not limited to the requirements concerning warning signs and labels, material safety data sheets (MSDS), and employee information and training. In addition, employers shall comply with the following requirements:
(2) Warning Signs.
(A) Warning signs shall be provided and displayed in regulated areas. In addition, warning signs shall be posted at all approaches to regulated areas so that an employee may read the signs and take necessary protective steps before entering the area.
(B) Warning signs required by subsection (m)(2)(A) shall bear the following information:

DANGER
CADMIUM
CANCER HAZARD
CAN CAUSE LUNG AND KIDNEY DISEASE
AUTHORIZED PERSONNEL ONLY
RESPIRATORS REQUIRED IN THIS AREA
(C) The employer shall assure that signs required by this subsection are illuminated, cleaned, and maintained as necessary so that the legend is readily visible.
(3) Warning Labels.
(A) Shipping and storage containers containing cadmium, cadmium compounds, or cadmium contaminated clothing, equipment, waste, scrap, or debris shall bear appropriate warning labels, as specified in subsection (m)(3)(B).
(B) The warning labels shall include at least the following information:

DANGER
CONTAINS CADMIUM
CANCER HAZARD
AVOID CREATING DUST
CAN CAUSE LUNG AND KIDNEY DISEASE
(C) Where feasible, installed cadmium products shall have a visible label or other indication that cadmium is present.
(4) Employee Information and Training.
(A) The employer shall institute a training program for all employees who are potentially exposed to cadmium, assure employee participation in the program, and maintain a record of the contents of such program.
(B) Training shall be provided prior to or at the time of initial assignment to a job involving potential exposure to cadmium and at least annually thereafter.
(C) The employer shall make the training program understandable to the employee and shall assure that each employee is informed of the following:
1. The health hazards associated with cadmium exposure, with special attention to the information incorporated in Appendix A;
2. The quantity, location, manner of use, release, and storage of cadmium in the workplace and the specific nature of operations that could result in exposure to cadmium, especially exposures above the PEL;
3. The engineering controls and work practices associated with the employee's job assignment;
4. The measures employees can take to protect themselves from exposure to cadmium, including modification of such habits as smoking and personal hygiene, and specific procedures the employer has implemented to protect employees from exposure to cadmium such as appropriate work practices, emergency procedures, and the provision of personal protective equipment;
5. The purpose, proper selection, fitting, proper use, and limitations of respirators and protective clothing;
6. The purpose and a description of the medical surveillance program required by subsection (l);
7. The contents of this section and its appendices, and,
8. The employee's rights of access to records under section 3204(e) and (g).
(D) Additional access to information and training program and materials.
1. The employer shall make a copy of this section and its appendices readily available without cost to all affected employees and shall provide a copy if requested.
2. The employer shall provide to the Chief or NIOSH, upon request, all materials relating to the employee information and the training program.
(n) Recordkeeping.
(1) Exposure Monitoring.
(A) The employer shall establish and keep an accurate record of all air monitoring for cadmium in the workplace.
(B) This record shall include at least the following information:
1. The monitoring date, duration, and results in terms of an 8-hour TWA of each sample taken;
2. The name, social security number, and job classification of the employees monitored and of all other employees whose exposures the monitoring is intended to represent;
3. A description of the sampling and analytical methods used and evidence of their accuracy;
4. The type of respiratory protective device, if any, worn by the monitored employee;
5. A notation of any other conditions that might have affected the monitoring results.
(C) The employer shall maintain this record for at least thirty (30) years, in accordance with section 3204.
(2) Objective Data for Exemption from Requirement for Initial Monitoring.
(A) For purposes of this section, objective data are information demonstrating that a particular product or material containing cadmium or a specific process, operation, or activity involving cadmium cannot release dust or fumes in concentrations at or above the action level even under the worst-case release conditions. Objective data can be obtained from an industry-wide study or from laboratory product test results from manufacturers of cadmium-containing products or materials. The data the employer uses from an industry-wide survey must be obtained under workplace conditions closely resembling the processes, types of material, control methods, work practices and environmental conditions in the employer's current operations.
(B) The employer shall establish and maintain a record of the objective data for at least 30 years.
(3) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee covered by medical surveillance under subsection (l)(1)(A).
(B) The record shall include at least the following information about the employee:
1. Name, social security number, and description of the duties;
2. A copy of the physician's written opinions and an explanation sheet for biological monitoring results;
3. A copy of the medical history, and the results of any physical examination and all test results that are required to be provided by this section, including biological tests, X-rays, pulmonary function tests, etc., or that have been obtained to further evaluate any condition that might be related to cadmium exposure;
4. The employee's medical symptoms that might be related to exposure to cadmium; and
5. A copy of the information provided to the physician as required by subsection (l)(9)(B)-(E).
(C) The employer shall assure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with section 3204.
(4) Training.
The employer shall certify that employees have been trained by preparing a certification record which includes the identity of the person trained, the signature of the employer or the person who conducted the training, and the date the training was completed. The certification records shall be prepared at the completion of training and shall be maintained on file for one (1) year beyond the date of training of that employee.
(5) Availability.
(A) Except as otherwise provided for in this section, access to all records required to be maintained by subsections (n)(1)-(4) shall be in accordance with the provisions of section 3204.
(B) Within 15 days after a request, the employer shall make an employee's medical records required to be kept by subsection (n)(3) available for examination and copying to the subject employee, to designated representatives, to anyone having the specific written consent of the subject employee, and after the employee's death or incapacitation, to the employee's family members.
(6) Transfer of Records.
Whenever an employer ceases to do business and there is no successor employer to receive and retain records for the prescribed period or the employer intends to dispose of any records required to be preserved for at least 30 years, the employer shall comply with the requirements concerning transfer of records set forth in section 3204 (h).
(o) Observation of Monitoring.
(1) Employee Observation.
The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to cadmium.
(2) Observation Procedures.
When observation of monitoring requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with that clothing and equipment and shall assure that the observer uses such clothing and equipment and complies with all other applicable safety and health procedures.
(p) Reporting requirements. See section 5203.
(q) Dates.
(1) Effective Date.
This section shall become effective June 14, 1993.
(2) Start-up dates.
All obligations of this section commence on the effective date except as follows:
(A) Exposure monitoring. Except for small businesses [nineteen (19) or fewer employees], initial monitoring required by subsection (d)(2) shall be completed as soon as possible and in any event no later than 60 days after the effective date of this standard. For small businesses, initial monitoring required by subsection (d)(2) shall be completed as soon as possible and in any event no later than 120 days after the effective date of this standard.
(B) Regulated areas. Except for small business, defined under subsection (q)(2)(A) above, regulated areas required to be established by subsection (e) shall be set up as soon as possible after the results of exposure monitoring are known and in any event no later than 90 days after the effective date of this section. For small businesses, regulated areas required to be established by subsection (e) shall be set up as soon as possible after the results of exposure monitoring are known and in any event no later than 150 days after the effective date of this section.
(C) Respiratory protection. Except for small businesses, defined under subsection (q)(2)(A) above, respiratory protection required by subsection (g) shall be provided as soon as possible and in any event no later than 90 days after the effective date of this section. For small businesses, respiratory protection required by subsection (g) shall be provided as soon as possible and in any event no later than 150 days after the effective date of this section.
(D) Compliance program. Written compliance programs required by subsection (f)(2) shall be completed and available for inspection and copying as soon as possible and in any event no later than 1 year after the effective date of this section.
(E) Methods of compliance. The engineering controls required by subsection (f)(1) shall be implemented as soon as possible and in any event no later than two (2) years after the effective date of this section. Work practice controls shall be implemented as soon as possible. Work practice controls that are directly related to engineering controls to be implemented in accordance with the compliance plan shall be implemented as soon as possible after such engineering controls are implemented.
(F) Hygiene and lunchroom facilities.
1. Handwashing facilities, permanent or temporary, shall be provided in accordance with Article 9 as soon as possible and in any event no later than 60 days after the effective date of this section.
2. Change rooms, showers, and lunchroom facilities shall be completed as soon as possible and in any event no later than 1 year after the effective date of this section.
(G) Employee information and training. Except for small businesses, defined under subsection (q)(2)(A) above, employee information and training required by subsection (m)(4) shall be provided as soon as possible and in any event no later than 90 days after the effective date of this standard. For small businesses, employee information and training required by subsection (m)(4) shall be provided as soon as possible and in any event no later than 180 days after the effective date of this standard.
(H) Medical surveillance. Except for small businesses, defined under subsection (q)(2)(A) above, initial medical examinations required by subsection (l) shall be provided as soon as possible and in any event no later than 90 days after the effective date of this standard. For small businesses, initial medical examinations required by subsection (l) shall be provided as soon as possible and in any event no later than 180 days after the effective date of this standard.
(r) Appendices.
(1) Appendix C to this section is incorporated as part of this section, and compliance with its contents is mandatory.
(2) Except where portions of appendices A, B, D, E, and F to this section are expressly incorporated in requirements of this section, these appendices are purely informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 4-30-93; operative 6-14-93 (Register 93, No. 18). For prior history, see Register 87, No. 51.
2. Editorial correction of Appendix F, subsections 4.2, 5.1.1, 5.1.7.2, 5.2.7.1, and 6.0, and Storage Data Table (Register 97, No. 1).
3. Repealer of subsection (f)(4), amendment of subsections (g)(2)(A) (Table), (l)(3)(A)2., (l)(4)(D)-(l)(4)(D)2., (l)(6)(D), (l)(11)(D), (l)(16) and (m)(4)(C)8., and amendment of Appendix C adding new subsection B.4-B.4.(b)(11) filed 1-2-97; operative 1-2-97 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 97, No. 1).
4. Change without regulatory effect amending appendix A filed 1-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
5. Amendment of former subsections (g)(1)-(g)(4)(E) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(B)2., and amendment repealing appendix C and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
6. Editorial correction moving Note and Histories 1-5 from following Appendix F to preceding Appendix A (Register 99, No. 28).
7. Amendment of subsection (p) and repealer of subsections (p)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
8. Amendment of subsection (g)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
9. Amendment of subsection (g)(3)(A) and new subsections (g)(3)(C)-(D) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
10. Editorial correction of subsection (g)(2)(A) (Register 2008, No. 6).
11. Change without regulatory effect providing more legible illustration for Appendix F, Figure 1 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
12. Change without regulatory effect amending Appendix B, paragraph I.A.1. filed 8-25-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 35).

Appendix A

Substance Safety Data Sheet
Cadmium
I. Substance Identification
A. Substance: Cadmium.
B. 8-Hour, Time-weighted-average, Permissible Exposure Limit (TWA PEL):
1. TWA PEL: Five micrograms of cadmium per cubic meter of air 5 mg/m3, time-weighted average (TWA) for an 8-hour workday.
C. Appearance: Cadmium metal - soft, blue-white, malleable, lustrous metal or grayish-white powder. Some cadmium compounds may also appear as a brown, yellow, or red powdery substance.
II. Health Hazard Data
A. Routes of Exposure.
Cadmium can cause local skin or eye irritation. Cadmium can affect your health if you inhale it or if you swallow it.
B. Effects of overexposure.
1. Short-term (acute) exposure: Cadmium is much more dangerous by inhalation than by ingestion. High exposures to cadmium that may be immediately dangerous to life or health occur in jobs where workers handle large quantities of cadmium dust or fume; heat cadmium-containing compounds or cadmium-coated surfaces; weld with cadmium solders or cut cadmium-containing materials such as bolts.
2. Severe exposure may occur before symptoms appear. Early symptoms may include mild irritation of the upper respiratory tract, a sensation of constriction of the throat, a metallic taste and/or a cough. A period of 1 - 10 hours may precede the onset of rapidly progressing shortness of breath, chest pain, and flu-like symptoms with weakness, fever, headache, chills, sweating and muscular pain. Acute pulmonary edema usually develops within 24 hours and reaches a maximum by three days. If death from asphyxia does not occur, symptoms may resolve within a week.
3. Long-term (chronic) exposure. Repeated or long-term exposure to cadmium, even at relatively low concentrations, may result in kidney damage and an increased risk of cancer of the lung and of the prostate.
C. Emergency First Aid Procedures
1. Eye exposure: Direct contact may cause redness or pain. Wash eyes immediately with large amounts of water, lifting the upper and lower eyelids. Get medical attention immediately.
2. Skin exposure: Direct contact may result in irritation. Remove contaminated clothing and shoes immediately. Wash affected area with soap or mild detergent and large amounts of water. Get medical attention immediately.
3. Ingestion: Ingestion may result in vomiting, abdominal pain, nausea, diarrhea, headache and sore throat. Treatment for symptoms must be administered by medical personnel. Under no circumstances should the employer allow any person whom he retains, employs, supervises or controls to engage in therapeutic chelation. Such treatment is likely to translocate cadmium from pulmonary or other tissue to renal tissue. Get medical attention immediately.
4. Inhalation: If large amounts of cadmium are inhaled, the exposed person must be moved to fresh air at once. If breathing has stopped, perform cardiopulmonary resuscitation. Administer oxygen if available. Keep the affected person warm and at rest. Get medical attention immediately.
5. Rescue: Move the affected person from the hazardous exposure. If the exposed person has been overcome, attempt rescue only after notifying at least one other person of the emergency and putting into effect established emergency procedures. Do not become a casualty yourself. Understand your emergency rescue procedures and know the location of the emergency equipment before the need arises.
III. Employee Information
A. Protective Clothing and Equipment
1. Respirators: You may be required to wear a respirator for non-routine activities; in emergencies; while your employer is in the process of reducing cadmium exposures through engineering controls; and where engineering controls are not feasible. If respirators are worn in the future, they must have a joint Mine Safety and Health Administration (MSHA) and National Institute for Occupational Safety and Health (NIOSH) label of approval. Cadmium does not have a detectable odor except at levels well above the permissible exposure limits. If you can smell cadmium while wearing a respirator, proceed immediately to fresh air. If you experience difficulty breathing while wearing a respirator, tell your employer.
2. Protective Clothing: You may be required to wear impermeable clothing, gloves, foot gear, a face shield, or other appropriate protective clothing to prevent skin contact with cadmium. Where protective clothing is required, your employer must provide clean garments to you as necessary to assure that the clothing protects you adequately. The employer must replace or repair protective clothing that has become torn or otherwise damaged.
3. Eye Protection: You may be required to wear splash-proof or dust resistant goggles to prevent eye contact with cadmium.
B. Employer Requirements
1. Medical: If you are exposed to cadmium at or above the action level, your employer is required to provide a medical examination, laboratory tests and a medical history according to the medical surveillance provisions under paragraph (l) of this standard. (See summary chart and tables in this Appendix A.) These tests shall be provided without cost to you. In addition, if you are accidentally exposed to cadmium under conditions known or suspected to constitute toxic exposure to cadmium, your employer is required to make special tests available to you.
2. Access to Records: All medical records are kept strictly confidential. You or your representative are entitled to see the records of measurements of your exposure to cadmium. Your medical examination records can be furnished to your personal physician or designated representative upon request by you to your employer.
3. Observation of Monitoring: Your employer is required to perform measurements that are representative of your exposure to cadmium and you or your  designated representative are entitled to observe the monitoring procedure. You are entitled to observe the steps taken in the measurement procedure, and to record the results obtained. When the monitoring procedure is taking place in an area where respirators or personal protective clothing and equipment are required to be worn, you or your representative must also be provided with, and must wear the protective clothing and equipment.
C. Employee Requirements
You will not be able to smoke, eat, drink, chew gum or tobacco, or apply cosmetics while working with cadmium in regulated areas. You will also not be able to carry or store tobacco products, gum, food, drinks or cosmetics in regulated areas because these products easily become contaminated with cadmium from the workplace and can therefore create another source unnecessary of cadmium exposure.
Some workers will have to change out of work clothes and shower at the end of the day, as part of their workday, in order to wash cadmium from skin and hair. Handwashing and cadmium-free eating facilities shall be provided by the employer and proper hygiene should always be performed before eating. It is also recommended that you do not smoke or use tobacco products, because among other things, they naturally contain cadmium. For further information, read the labeling on such products.
IV. Physician Information
A. Introduction
The medical surveillance provisions of paragraph (l) generally are aimed at accomplishing three main interrelated purposes: first, identifying employees at higher risk of adverse health effects from excess, chronic exposure to cadmium; second, preventing cadmium-induced disease; and third, detecting and minimizing existing cadmium-induced disease. The core of medical surveillance in this standard is the early and periodic monitoring of the employee's biological indicators of: a) recent exposure to cadmium; b) cadmium body burden; and c) potential and actual kidney damage associated with exposure to cadmium.
The main adverse health effects associated with cadmium overexposure are lung cancer and kidney dysfunction. It is not yet known how to adequately biologically monitor human beings to specifically prevent cadmium-induced lung cancer. By contrast, the kidney can be monitored to provide prevention and early detection of cadmium-induced kidney damage. Since, for non-carcinogenic effects, the kidney is considered the primary target organ of chronic exposure to cadmium, the medical surveillance provisions of this standard effectively focus on cadmium-induced kidney disease. Within that focus, the aim, where possible, is to prevent the onset of such disease and, where necessary, to minimize such disease as may already exist. The by-products of successful prevention of kidney disease are anticipated to be the reduction and prevention of other cadmium-induced diseases.
B. Health Effects
The major health effects associated with cadmium overexposure are described below.
1. Kidney
The most prevalent non-malignant disease observed among workers chronically exposed to cadmium is kidney dysfunction. Initially, such dysfunction is manifested as proteinuria. The proteinuria associated with cadmium exposure is most commonly characterized by excretion of low-molecular weight proteins (15,000 to 40,000 MW) accompanied by loss of electrolytes, uric acid, calcium, amino acids, and phosphate. The compounds commonly excreted include: beta-2-microglobulin (b2-M), retinol binding protein (RBP), immunoglobulin light chains, and lysozyme. Excretion of low molecular weight proteins are characteristic of damage to the proximal tubules of the kidney (Iwao et al., 1980).
It has also been observed that exposure to cadmium may lead to urinary excretion of high-molecular weight proteins such as albumin, immunoglobulin G, and glycoproteins (Ex. 29). Excretion of high-molecular weight proteins is typically indicative of damage to the glomeruli of the kidney. Bernard et al., (1979) suggest that damage to the glomeruli and damage to the proximal tubules of the kidney may both be linked to cadmium exposure but they may occur independently of each other.
Several studies indicate that the onset of low-molecular weight proteinuria is a sign of irreversible kidney damage (Friberg et al., 1974; Roels et al., 1982; Piscator 1984; Elinder et al., 1985; Smith et al., 1986). Above specific levels of b2-M associated with cadmium exposure it is unlikely that b2-M levels return to normal even when cadmium exposure is eliminated by removal of the individual from the cadmium work environment (Friberg, Ex. 29, 1990).
Some studies indicate that such proteinuria may be progressive; levels  of b2-M observed in the urine increase with time even after cadmium exposure has ceased. See, for example, Elinder et al., 1985. Such observations, however, are not universal, and it has been suggested that studies in which proteinuria has not been observed to progress may not have tracked patients for a sufficiently long time interval (Jarup, Ex. 8-661).
When cadmium exposure continues after the onset of proteinuria, chronic nephrotoxicity may occur (Friberg, Ex. 29). Uremia results from the inability of the glomerulus to adequately filter blood. This leads to severe disturbance of electrolyte concentrations and may lead to various clinical complications including kidney stones (L-140-50).
After prolonged exposure to cadmium, glomerular proteinuria, glucosuria, aminoaciduria, phosphaturia, and hypercalciuria may develop (Exs. 8-86, 4-28, 14-18). Phosphate, calcium, glucose, and amino acids are essential to life, and under normal conditions, their excretion should be regulated by the kidney. Once low molecular weight proteinuria has developed, these elements dissipate from the human body. Loss of glomerular function may also occur, manifested by decreased glomerular filtration rate and increased serum creatinine. Severe cadmium- induced renal damage may eventually develop into chronic renal failure and uremia (Ex. 55).
Studies in which animals are chronically exposed to cadmium confirm the renal effects observed in humans (Friberg et al., 1986). Animal studies also confirm problems with calcium metabolism and related skeletal effects which have been observed among humans exposed to cadmium in addition to the renal effects. Other effects commonly reported in chronic animal studies include anemia, changes in liver morphology, immunosuppression and hypertension. Some of these effects may be associated with co- factors. Hypertension, for example, appears to be associated with diet as well as cadmium exposure. Animals injected with cadmium have also shown testicular necrosis (Ex. 8-86B).
2. Biological Markers
It is universally recognized that the best measures of cadmium exposures and its effects are measurements of cadmium in biological fluids, especially urine and blood. Of the two, CdU is conventionally used to determine body burden of cadmium in workers without kidney disease. CdB is conventionally used to monitor for recent exposure to cadmium. In addition, levels of CdU and CdB historically have been used to predict the percent of the population likely to develop kidney disease (Thun et al., Ex. L-140-50; WHO, Ex. 8-674; ACGIH, Exs. 8-667, 140-50).
The third biological parameter upon which OSHA relies for medical surveillance is Beta-2-microglobulin in urine (b2-M), a low molecular weight protein.  Excess b2-M has been widely accepted by physicians and scientists as a reliable indicator of functional damage to the proximal tubule of the kidney (Exs. 8- 447, 144-3-C, 4-47, L-140-45, 19-43-A).
Excess b2-M is found when the proximal tubules can no longer reabsorb this protein in a normal manner. This failure of the proximal tubules is an early stage of a kind of kidney disease that commonly occurs among workers with excessive cadmium exposure. Used in conjunction with biological test results indicating abnormal levels of CdU and CdB, the finding of excess b2-M can establish for an examining physician that any existing kidney disease is probably cadmium-related (Trs. 6/6/90, pp. 82- 86, 122, 134). The upper limits of normal levels for cadmium in urine and cadmium in blood are 3 mg Cd/gram creatinine in urine and 5 mg Cd/liter whole blood, respectively. These levels were derived from broad-based population studies.
Three issues confront the physicians in the use of b2-M as a marker of kidney dysfunction and material impairment. First, there are a few other causes of elevated levels of b2-M not related to cadmium exposures, some of which may be rather common diseases and some of which are serious diseases (e.g., myeloma or transient flu, Exs. 29 and 8-086). These can be medically evaluated as alternative causes (Friberg, Ex. 29). Also, there are other factors that can cause b2-M to degrade so that low levels would result in workers with tubular dysfunction. For example, regarding the degradation of b2-M, workers with acidic urine (pH < 6) might have b2-M levels that are within the “normal” range when in fact kidney dysfunction has occurred (Ex. L-140-1) and the low molecular weight proteins are degraded in acid urine. Thus, it is very important that the pH of urine be measured, that urine samples be buffered as necessary (See Appendix F.),  and that urine samples be handled correctly, i.e., measure the pH of freshly voided urine samples, then if necessary, buffer to pH > 6 (or above for shipping purposes), measure pH again and then, perhaps, freeze the sample for storage and shipping. (See also Appendix F.) Second, there is debate over the pathological significance of proteinuria, however, most world experts believe that b2-M levels greater than 300 mg/g Cr are abnormal (Elinder, Ex. 55, Friberg, Ex. 29). Such levels signify kidney dysfunction that constitutes material impairment of health. Finally, detection of b2-M at low levels has often been considered difficult, however, many laboratories have the capability of detecting excess b2-M using simple kits, such as the Phadebas Delphia test, that are accurate to levels of 100 mg b2-M/g Cr U (Ex. L-140-1).
Specific recommendations for ways to measure b2-M and proper handling of urine samples to prevent degradation of b2-M have been addressed by OSHA in Appendix F, in the section on laboratory standardization. All biological samples must be analyzed in a laboratory that is proficient in the analysis of that particular analyte, under paragraph (l)(1)(iv). [See Appendix F]. Specifically, under paragraph (l)(1)(iv), the employer is to assure that the collecting and handling of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine (b2-M) taken from employees is collected in a manner that assures reliability. The employer must also assure that analysis of biological samples of cadmium in urine (CdU), cadmium in blood (CdB), and beta-2 microglobulin in urine (b2-M) taken from employees is performed in laboratories with demonstrated proficiency for that particular analyte. (See Appendix F.)
3. Lung and Prostate Cancer
The primary sites for cadmium-associated cancer appear to be the lung and the prostate (L-140-50). Evidence for an association between cancer and cadmium exposure derives from both epidemiological studies and animal experiments. Mortality from prostate cancer associated with cadmium is slightly elevated in several industrial cohorts, but the number of cases is small and there is not clear dose-response relationship. More substantive evidence exists for lung cancer.
The major epidemiological study of lung cancer was conducted by Thun et al., (Ex. 4-68). Adequate data on cadmium exposures were available to allow evaluation of dose-response relationships between cadmium exposure and lung cancer. A statistically significant excess of lung cancer attributed to cadmium exposure was observed in this study even when confounding variables such as co-exposure to arsenic and smoking habits were taken into consideration (Ex. L-140-50).
The primary evidence for quantifying a link between lung cancer and cadmium exposure from animal studies derives from two rat bioassay studies; one by Takenaka et al., (1983), which is a study of cadmium chloride and a second study by Oldiges and Glaser (1990) of four cadmium compounds.
Based on the above cited studies, the U.S. Environmental Protection Agency (EPA) classified cadmium as “B1”, a probable human carcinogen, in 1985 (Ex. 4-4). The International Agency for Research on Cancer (IARC) in 1987 also recommended that cadmium be listed as “2A”, a probable human carcinogen (Ex. 4- 15). The American Conference of Governmental Industrial Hygienists (ACGIH) has recently recommended that cadmium be labeled as a carcinogen. Since 1984, NIOSH has concluded that cadmium is possibly a human carcinogen and has recommended that exposures be controlled to the lowest level feasible.
4. Non-carcinogenic Effects
Acute pneumonitis occurs 10 to 24 hours after initial acute inhalation of high levels of cadmium fumes with symptoms such as fever and chest pain (Exs. 30, 8-86B).  In extreme exposure cases pulmonary edema may develop and cause death several days after exposure. Little actual exposure measurement data is available on the level of airborne cadmium exposure that causes such immediate adverse lung effects, nonetheless, it is reasonable to believe a cadmium concentration of approximately 1 mg/m3 over an eight hour period is “immediately dangerous” (55 FR 4052, ANSI; Ex. 8-86B).
In addition to acute lung effects and chronic renal effects, long term exposure to cadmium may cause other severe effects on the respiratory system.  Reduced pulmonary function and chronic lung disease indicative of emphysema have been observed in workers who have had prolonged exposure to cadmium dust or fumes (Exs. 4-29, 4-22, 4-42, 4-50, 4-63). In a study of workers conducted by Kazantzis et al., a statistically significant excess of worker deaths due to chronic bronchitis was found, which in his opinion was directly related to high cadmium exposures of 1 mg/m3 or more (Tr. 6/8/90, pp. 156-157).
Cadmium need not be respirable to constitute a hazard.  Inspirable cadmium particles that are too large to be respirable but small enough to enter the tracheobronchial region of the lung can lead to bronchoconstriction, chronic pulmonary disease, and cancer of that portion of the lung. All of these diseases have been associated with occupational exposure to cadmium (Ex. 8- 86B). Particles that are constrained by their size to the extra-thoracic regions of the respiratory system such as the nose and maxillary sinuses can be swallowed through mucocillary clearance and be absorbed into the body (ACGIH, Ex. 8-692).  The impaction of these particles in the upper airways can lead to anosmia, or loss of sense of smell, which is an early indication of overexposure among workers exposed to heavy metals. This condition is commonly reported among cadmium-exposed workers (Ex. 8-86-B).
C. Medical Surveillance
In general, the main provisions of the medical surveillance section of the standard, under paragraphs (l)(1)-(17) of the regulatory text, are as follows:
1. Workers exposed above the action level are covered;
2. Workers with intermittent exposures are not covered;
3. Past workers who are covered receive biological monitoring for at least one year;
4. Initial examinations include a medical questionnaire and biological monitoring of cadmium in blood (CdB), cadmium in urine (CdU), and Beta-2-microglobulin in urine (b2-M);
5. Biological monitoring of these three analytes is performed at least annually; full medical examinations are performed biennially;
6. Until five years from the effective date of the standard, medical removal is required when CdU is greater than 15 mg/gram creatinine (g Cr), or CdB is greater than 15 mg/liter whole blood (lwb), or b2-M is greater than 1500  mg/g Cr, and CdB is greater than 5 mg/lwb or CdU is greater than 3 mg/g Cr;
7. Beginning five years after the standard is in effect, medical removal triggers will be reduced;
8. Medical removal protection benefits are to be provided for up to 18 months;
9. Limited initial medical examinations are required for respirator usage;
10. Major provisions are fully described under section (l) of the regulatory text; they are outlined here as follows:
A. Eligibility
B. Biological monitoring
C. Actions triggered by levels of CdU, CdB, and b2-M (See Summary Charts and Tables in Attachment-1.)
D. Periodic medical surveillance
E. Actions triggered by periodic medical surveillance (See Appendix A Summary Chart and Tables in Attachment-1.)
F. Respirator usage
G. Emergency medical examinations
H. Termination examination
I. Information to physician
J. Physician's medical opinion
K. Medical removal protection
L. Medical removal protection benefits
M. Multiple physician review
N. Alternate physician review
O. Information employer gives to employee
P. Recordkeeping
Q. Reporting on OSHA form 200
11. The above mentioned summary of the medical surveillance provisions, the summary chart, and tables for the actions triggered at different levels of CdU, CdB and b2-M (in Appendix A Attachment-1) are included only for the purpose of facilitating understanding of the provisions of paragraphs (l)(3) of the final cadmium standard. The summary of the provisions, the summary chart, and the tables do not add to or reduce the requirements in paragraph (l)(3).
D. Recommendations to Physicians
1. It is strongly recommended that patients with tubular proteinuria are counseled on: the hazards of smoking; avoidance of nephrotoxins and certain prescriptions and over-the-counter medications that may exacerbate kidney symptoms; how to control diabetes and/or blood pressure; proper hydration, diet, and exercise (Ex. 19-2). A list of prominent or common nephrotoxins is attached. (See Appendix A Attachment-2.)
2. DO NOT CHELATE; KNOW WHICH DRUGS ARE NEPHROTOXINS OR ARE ASSOCIATED WITH NEPHRITIS.
3. The gravity of cadmium-induced renal damage is compounded by the fact there is no medical treatment to prevent or reduce the accumulation of cadmium in the kidney (Ex. 8-619). Dr. Friberg, a leading world expert on cadmium toxicity, indicated in 1992, that there is no form of chelating agent that could be used without substantial risk. He stated that tubular proteinuria has to be treated in the same way as other kidney disorders (Ex. 29).
4. After the results of a workers' biological monitoring or medical examination are received the employer is required to provide an information sheet to the patient, briefly explaining the significance of the results. (See Attachment 3 of this Appendix A.)
5. For additional information the physician is referred to the following additional resources:
a. The physician can always obtain a copy of the preamble, with its full discussion of the health effects, from OSHA's Computerized Information System (OCIS).
b. The Docket Officer maintains a record of the rulemaking. The Cadmium Docket (H-057A), is located at 200 Constitution Ave. N.W., Room N-2625, Washington, D.C. 20210; telephone: 202-523- 7894.
c. The following articles and exhibits in particular from that docket (H-057A):

Exhibit numberAuthor and paper title

8-447Lauwerys et. al., Guide for physicians, Health Maintenance of Workers Exposed to Cadmium published by the Cadmium Council

4-67.Takenaka, S., H. Oldiges, H. Konig, D. Hochrainer, G. Oberdorster. “Carcinogenicity of Cadmium Chloride Aerosols in Wistar Rats”. JNCI 70:367-373, 1983. (32)

Exhibit numberAuthor and paper title

4-68.Thun, M.J., T.M. Schnoor, A.B. Smith, W.E. Halperin, R.A. Lemen. “Mortality Among a Cohort of U.S. Cadmium Production Workers - An Update.” JNCI 74(2):325-33, 1985. (8)

4-25.Elinder, C.G., Kjellstrom, T., Hogstedt, C., et al., “Cancer Mortality of Cadmium Workers. Brit. J. Ind. Med. 42:651-655, 1985. (14)

Exhibit numberAuthor and paper title

4-26.Ellis, K.J. et al., “Critical Concentrations of Cadmium in Human Renal Cortex: Dose Effect Studies to Cadmium Smelter Workers.” J. Toxicol. Environ. Health 7:691-703, 1981. (76)

4-27.Ellis, K.J., S.H. Cohn and T.J. Smith. “Cadmium Inhalation Exposure Estimates: Their Significance with Respect to Kidney and Liver Cadmium Burden.” J. Toxicol. Environ. Health 15:173-187, 1985.

4-28.Falck, F.Y., Jr., Fine, L.J., Smith, R.G., McClatchey, K.D., Annesley, T., England, B., and Schork, A.M. “Occupational Cadmium Exposure and Renal Status.”Am J.Ind.Med. 4:541, 1983. (64)

 8-86A.Friberg, L., C.G. Elinder, et al., Cadmium and Health a Toxicological and Epidemiological Appraisal Volume I Exposure, Dose, and Metabolism. CRC Press, Inc., Boca Raton, FL, 1986. (Available from the OSHA Technical Data Center)

 8-86B.Friberg, L., C.G. Elinder, et al. Cadmium and Health: A Toxicological and Epidemiological Appraisal Volume II Effects and Response. CRC  Press, Inc., Boca Raton, FL, 1986. (Available from the OSHA Technical Data Center)

 L-140-45.Elinder, C.G., “Cancer Morality of Cadmium Workers”, Brit. J. Ind. Med., 42, 651-655, 1985.

 L-140-50.Thun, M., Elinder, C.G., Friberg, L, “Scientific Basis for an Occupational Standard for Cadmium, Am. J. Ind. Med., 20; 629-642, 1991. 
V. Information Sheet
The information sheet (Appendix A Attachment-3.) or an equally explanatory one should be provided to you after any biological monitoring results are reviewed by the physician, or where applicable, after any medical examination.

Appendix A--Attachment 1

Summary Chart And Tables A And B Of Actions Triggered
By Biological Monitoring

Appendix A Summary Chart:
Section (1)(3) Medical Surveillance
CATEGORIZING BIOLOGICAL MONITORING RESULTS
(A) Biological monitoring results categories are set forth in Appendix A Table A for the periods ending December 31, 1998 and for the period beginning January 1, 1999.
(B) The results of the biological monitoring for the initial medical exam and the subsequent exams shall determine an employee's biological monitoring result category.
ACTIONS TRIGGERED BY BIOLOGICAL MONITORING
(A)(i) The actions triggered by biological monitoring for an employee are set forth in Appendix A Table B.
(ii) The biological monitoring results for each employee under section (1)(3) shall determine the actions required for that employee. That is, for any employee in biological monitoring category C, the employer will perform all of the actions for which there is an X in column C of Appendix A Table B.
(iii) An employee is assigned the alphabetical category (“A” being the lowest) depending upon the test results of the three biological markers.
(iv) An employee is assigned category A if monitoring results for all three biological markers fall at or below the levels indicated in the table listed for category A.
(v) An employee is assigned category B if any monitoring result for any of the three biological markers fall within the range of levels indicated in the table listed for category B, providing no result exceeds the levels listed for category B.
(vi) An employee is assigned category C if any monitoring result for any of the three biological markers are above the levels listed for category C.
(B) The user of Appendix A Tables A and B should know that these tables are provided only to facilitate understanding of the relevant provisions of paragraph (l)(3) of this section. Appendix A Tables A and B are not meant to add to or subtract from the requirements of those provisions.
Appendix A--Table A

View Graphic

Appendix A--Table B

Actions Determined By Biological Monitoring
This table presents the actions required based on the monitoring result in Appendix A Table A. Each item is a separate requirement in citing non-compliance. For example, a medical examination within 90 days for an employee in category B is separate from the requirement to administer a periodic medical examination for category B on an annual basis.

View Graphic

*For all employees covered by medical surveillance exclusively because of exposures prior to the effective date of this standard, if they are in Category A, the employer shall follow the requirements of paragraphs (l)(3)(i)(B) and (l)(4)(v)(A). If they are in Category B or C, the employer shall follow the requirements of paragraphs (l)(4)(v)(B)-(C).

**See footnote Appendix A Table A.

Appendix A--Attachment 2

List Of Medications
A list of the more common medications that a physician, and the employee, may wish to review is likely to include some of the following: (1) anticonvulsants: paramethadione, phenytoin, trimethadone; (2) antihypertensive drugs: captopril, methyldopa; (3) antimicrobials: aminoglycosides, amphotericin B, cephalosporins, ethambutol; (4) antineoplastic agents: cisplatin, methotrexate, mitomycin-C, nitrosoureas, radiation; (4) sulfonamide diuretics: acetazolamide, chlorthalidone, furosemide, thiazides; (5) halogenated alkanes, hydrocarbons, and solvents that may occur in some settings: carbon tetrachloride, ethylene glycol, toluene; iodinated radiographic contrast media; nonsteroidal anti-inflammatory drugs; and, (7) other miscellaneous compounds: acetominophen, allopurinol, amphetamines, azathioprine, cimetidine, cyclosporine, lithium, methoxyflurane, methysergide, D-penicillamine, phenacetin, phenendione. A list of drugs associated with acute interstitial nephritis includes: (1) antimicrobial drugs: cephalosporins, chloramphenicol, colistin, erythromycin, ethambutol, isoniazid, para-aminosalicylic acid, penicillins, polymyxin B, rifampin, sulfonamides, tetracyclines, and vancomycin; (2) other miscellaneous drugs: allopurinol, antipyrene, azathioprine, captopril, cimetidine, clofibrate, methyldopa, phenindione, phenylpropanolamine, phenytoin, probenecid, sulfinpyrazone, sulfonamid diuretics, triamterene; and, (3) metals: bismuth, gold.
This list have been derived from commonly available medical textbooks (e.g., Ex. 14-18). The list has been included merely to facilitate the physician's, employer's, and employee's understanding. The list does not represent an official OSHA opinion or policy regarding the use of these medications for particular employees. The use of such medications should be under physician discretion.

Appendix A--Attachment 3

Biological Monitoring and Medical Examination Results

View Graphic
The levels of cadmium in the urine and blood provide an estimate of the total amount of cadmium in the body. The amount of a specific protein in the urine (beta-2-microglobulin) indicates changes in kidney function. All three tests must be evaluated together. A single mildly elevated result may not be important if testing at a later time indicates that the results are normal and the workplace has been evaluated to decrease possible sources of cadmium exposure. The levels of cadmium or beta-2-microglobulin may change over a period of days to months and the time needed for those changes to occur is different for each worker.
If the results for biological monitoring are above specific “high levels” [cadmium urine greater than 10 micrograms per gram of creatinine (mg Cr), cadmium blood greater than 10 micrograms per liter of whole blood (mg/lwb), or beta-2-microglobulin greater than 1000 micrograms per gram of creatinine (mg Cr)], the worker has a much greater chance of developing other kidney diseases.
One way to measure for kidney function is by measuring beta-2- microglobulin in the urine. Beta-2-microglobulin is a protein which is normally found in the blood as it is being filtered in the kidney, and the kidney reabsorbs or returns almost all of the beta-2-microglobulin to the blood. A very small amount (less than 300 mg/g Cr in the urine) of beta-2-microglobulin is not reabsorbed into the blood, but is released in the urine. If cadmium damages the kidney, the amount of beta-2-microglobulin in the urine increases because the kidney cells are unable to reabsorb the beta-2-microglobulin normally. An increase in the amount of beta-2-microglobulin in the urine is a very early sign of kidney dysfunction. A small increase in beta-2-microglobulin in the urine will serve as an early warning sign that the worker may be absorbing cadmium from the air, cigarettes contaminated in the workplace, or eating in areas that are cadmium contaminated.
Even if cadmium causes permanent changes in the kidney's ability to reabsorb beta-2-microglobulin, and the beta-2- microglobulin is above the “high levels”, the loss of kidney function may not lead to any serious health problems. Also, renal function naturally declines as people age. The risk for changes in kidney function for workers who have biological monitoring results between the “normal values” and the “high levels” is not well known. Some people are more cadmium-tolerant, while others are more cadmium-susceptible.
For anyone with even a slight increase of beta-2-microglobulin, cadmium in the urine, or cadmium in the blood, it is very important to protect the kidney from further damage. Kidney damage can come from other sources than excess cadmium-exposure so it is also recommended that if a worker's levels are “high” he/she should receive counseling about drinking more water; avoiding cadmium- tainted tobacco and certain medications (nephrotoxins, acetaminophen); controlling diet, vitamin intake, blood pressure and diabetes; etc.

Appendix B

Substance Technical Guidelines for Cadmium
I. CADMIUM METAL
A. Physical and Chemical Data
1. Substance Identification
Chemical name: Cadmium
Formula: Cd
Molecular Weight: 112.4
Chemical Abstracts Service (CAS) Registry No.: 7740-43-9
Other Identifiers: RTECS EU9800000; EPA D006; DOT 2570 53
Synonyms: Colloidal Cadmium: Kadmium (German): CI 77180
2. Physical data
Boiling point: (760 mm Hg): 765 degrees C
Melting point: 321 degrees C
Specific Gravity: (H20=@ 20oc): 8.64
Solubility: Insoluble in water; soluble in dilute nitric acid and in sulfuric acid
Appearance: soft, blue-white, malleable, lustrous metal or grayish-white powder.
B. Fire, Explosion and Reactivity Data
1. Fire
Fire and Explosion Hazards: The finely divided metal is pyrophoric, that is the dust is a severe fire hazard and moderate explosion hazard when exposed to heat or flame. Burning material reacts violently with extinguishing agents such as water, foam, carbon dioxide, and halons.
Flash point: flammable (dust)
Extinguishing media: Dry sand, dry dolomite, dry graphite, or sodium chloride.
2. Reactivity
Conditions contributing to instability: Stable when kept in sealed containers under normal temperatures and pressure, but dust may ignite upon contact with air. Metal tarnishes in moist air.
Incompatibilities: Ammonium nitrate, fused: reacts violently or explosively with cadmium dust below 20oC.  Hydrozoic acid: violent explosion occurs after 30 minutes. Acids: reacts violently, forms hydrogen gas. Oxidizing agents or metals: strong reaction with cadmium dust. Nitryl fluoride at slightly elevated temperature: glowing or white incandescence occurs. Selenium: reacts exothermically. Ammonia: corrosive reaction. Sulfur dioxide: corrosive reaction. Fire extinguishing agents (water, foam, carbon dioxide, and halons): reacts violently. Tellurium: incandescent reaction in hydrogen atmosphere.
Hazardous decomposition products: The heated metal rapidly forms highly toxic, brownish fumes of oxides of cadmium.
C. Spill, Leak and Disposal Procedures
1. Steps to be taken if the materials is released or spilled.
Do not touch spilled material. Stop leak if you can do it without risk. Do not get water inside container. For large spills, dike spill for later disposal. Keep unnecessary people away. Isolate hazard area and deny entry. The Superfund Amendments and Reauthorization Act of 1986 Section 304 requires that a release equal to or greater than the reportable quantity for this substance (1 pound) must be immediately reported to the local emergency planning committee, the state emergency response commission, and the National Response Center (800) 424-8802; in Washington, D.C. metropolitan area (202) 426-2675.
II. CADMIUM OXIDE
A. Physical and Chemical Data
1. Substance identification
Chemical name: Cadmium Oxide
Formula: Cd0
Molecular Weight: 128.4
CAS No.: 1306-19-0
Other Identifiers: RTECS EV1929500
Synonyms: Kadmu tlenek (Polish)
2. Physical data
Boiling point (760 mm Hg): 950 degrees C decomposes
Melting point: 15000C
Specific Gravity: (H20 = 1 @ 200C): 7.0
Solubility: Insoluble in water; soluble in acids and alkalines
Appearance: Red or brown crystals
B. Fire, Explosion and Reactivity Data
1. Fire
Fire and Explosion Hazards: Negligible fire hazard when exposed to heat or flame.
Flash point: Nonflammable
Extinguishing media: Dry chemical, carbon dioxide, water spray or foam.
2. Reactivity
Conditions contributing to instability: Stable under normal temperatures and pressures.
Incompatibilities: Magnesium may reduce CdO2 explosively on heating.
Hazardous decomposition products: Toxic fumes of cadmium.
C. Spill Leak and Disposal Procedures
1. Steps to be taken if the material is released or spilled.
Do not touch spilled material. Stop leak if you can do it without risk. For small spills, take up with sand or other absorbent material and place into containers for later disposal. For small dry spills, use a clean shovel to place material into clean, dry container and then cover. Move containers from spill area. For larger spills, dike far ahead of spill for later disposal. Keep unnecessary people away. Isolate hazard area and deny entry. The Superfund Amendments and Reauthorization Act of 1986 Section 304 requires that a release equal to or greater than the reportable quantity for this substance (1 pound) must be immediately reported to the local emergency planning committee, the state emergency response commission, and the National Response Center (800) 424-8802; in Washington, D.C. metropolitan area (202) 426-2675.
III. CADMIUM SULFIDE
A. Physical and Chemical Data
1. Substance Identification
Chemical name: Cadmium sulfide
Formula: CdS
Molecular weight: 144.5
CAS No. 1306-23-6
Other Identifiers: RTECS EV3150000
Synonyms: Aurora yellow; Cadmium Golden 366; Cadmium Lemon Yellow 527; Cadmium Orange; Cadmium Primrose 819; Cadmium Sulphide; Cadmium Yellow; Cadmium Yellow 000; Cadmium Yellow Conc. Deep; Cadmium Yellow Conc. Golden; Cadmium Yellow Conc. Lemon; Cadmium Yellow Conc. Primrose; Cadmium Yellow Oz. Dark; Cadmium Yellow Primrose 47-1400; Cadmium Yellow 10G Conc.; Cadmium Yellow 892; Cadmopur Golden Yellow N; Cadmopur Yellow: Capsebon; C.I. 77199; C.I. Pigment Orange 20; CI Pigment Yellow 37; Ferro Lemon Yellow; Ferro Orange Yellow; Ferro Yellow; Greenockite; NCI-C02711.
2. Physical data
Boiling point (760 mm. Hg): sublines in N2 at 980oC
Melting point: 1750 degrees C (100 atm)
Specific Gravity: (H20=1 @ 20oC): 4.82
Solubility: Slightly soluble in water; soluble in acid.
Appearance: Light yellow or yellow-orange crystals.
B. Fire, Explosion and Reactivity Data
1. Fire
Fire and Explosion Hazards: Negligible fire hazard when exposed to heat or flame.
Flash point: Nonflammable
Extinguishing media: Dry chemical, carbon dioxide, water spray or foam.
2. Reactivity
Conditions contributing to instability: Generally non-reactive under normal conditions. Reacts with acids to form toxic hydrogen sulfide gas.
Incompatibilities: Reacts vigorously with iodine monochloride.
Hazardous decomposition products: Toxic fumes of cadmium and sulfur oxides.
C. Spill Leak and Disposal Procedures
1. Steps to be taken if the material is released or spilled.
Do not touch spilled material. Stop leak if you can do it without risk. For small, dry spills, with a clean shovel place material into clean, dry container and cover. Move containers from spill area. For larger spills, dike far ahead of spill for later disposal. Keep unnecessary people away. Isolate hazard and deny entry.
IV. CADMIUM CHLORIDE
A. Physical and Chemical Data
1. Substance Identification
Chemical name: Cadmium chloride
Formula: CdC12
Molecular weight: 183.3
CAS No. 10108-64-2
Other Identifiers: RTECS EY0175000
Synonyms: Caddy; Cadmium dichloride; NA 2570 (DOT); UI-CAD; dichlorocadmium
2. Physical data
Boiling point (760 mm Hg): 960 degrees C
Melting point: 568 degrees C
Specific Gravity: (H20 = 1 @ 20oC): 4.05
Solubility: Soluble in water (140 g/100 cc); soluble in acetone.
Appearance: small, white crystals.
B. Fire, Explosion and Reactivity Data
1. Fire
Fire and Explosion Hazards: Negligible fire and negligible explosion hazard in dust form when exposed to heat or flame.
Flash point: Nonflammable
Extinguishing media: Dry chemical, carbon dioxide, water spray or foam.
2. Reactivity
Conditions contributing to instability: Generally stable under normal temperatures and pressures.
Incompatibilities: Bromine triflouride rapidly attacks cadmium chloride. A mixture of potassium and cadmium chloride may produce a strong explosion on impact.
Hazardous decomposition products: Thermal decomposition may release toxic fumes of hydrogen chloride, chloride, chlorine or oxides of cadmium.
C. Spill Leak and Disposal Procedures
1. Steps to be taken if the material is released or spilled.
Do not touch spilled material. Stop leak if you can do it without risk. For small, dry spills, with a clean shovel place material into clean, dry container and cover. Move containers from spill area. For larger spills, dike far ahead of spill for later disposal. Keep unnecessary people away. Isolate hazard and deny entry. The Superfund Amendments and Reauthorization Act of 1986 Section 304 requires that a release equal to or greater than the reportable quantity for this substance (100 pounds) must be immediately reported to the local emergency planning committee, the state emergency response commission, and the National Response Center (800) 424-8802; in Washington, D.C. Metropolitan area (202) 426-2675.

Appendix C

Qualitative and Quantitative Fit Testing Procedures, Mandatory

[See Section 5144, Appendix A]

Appendix D

Occupational Health History Interview
With Reference to Cadmium Exposure

Directions
(To be read by employee and signed prior to the interview)
Please answer the questions you will be asked as completely and carefully as you can. These questions are asked of everyone who works with cadmium. You will also be asked to give blood and urine samples. The doctor will give your employer a written opinion on whether you are physically capable of working with cadmium. Legally, the doctor cannot share personal information you may tell him/her with your employer. The following information is considered strictly confidential. The results of the tests will go to you, your doctor and your employer. You will also receive an information sheet explaining the results of any biological monitoring or physical examinations performed.
If you are just being hired, the results of this interview and examination will be used to:
1) establish your health status and see if working with cadmium might be expected to cause unusual problems,
2) determine your health status today and see if there are changes over time,
3) see if you can wear a respirator safely.
If you are not a new hire:
OSHA says that everyone who works with cadmium can have periodic medical examinations performed by a doctor.
The reasons for this are:
The reasons for this are:
a) if there are changes in your health, either because of cadmium or some other reason, to find them early,
b) to prevent kidney damage.Please sign below.
I have read these directions and understand them:

		
Employee signatureDate

Thank you for answering these questions.
(Suggested Format)

Name	Age	 
Social Security #			
Company			

Job	
Type of Preplacement Exam:
[ ] Periodic
[ ] Termination
[ ] Initial
[ ] Other

Blood Pressure	Pulse Rate	

1.How long have you
worked at the job
listed above?[ ] not yet hired
[ ] number of months
[ ] number of years

2.JOB DUTIES, ETC.:

		

		

		

3. Have you ever been told by a doctor that you had bronchitis? 
[ ] yes
[ ] no

If yes, how long ago?
[ ] number of months[ ] number of years

4. Have you ever been told by a doctor that you had emphysema?
[ ] yes
[ ] no

If yes, how long ago? 
[ ] number of years[ ] number of months

 5. Have you ever been told by a doctor that you had other lung problems?
[ ] yes
[ ] no

If yes, please describe type of lung problems and when you had these problems.

	

6. In the past year, have you had a cough?
[ ] yes
[ ] no

If yes, did you cough up sputum?
[ ] yes
[ ] no

If yes, how long did the cough with sputum production last?
[ ] less than 3 months   [ ] 3 months or longer

If yes, for how many years have you had episodes of cough with sputum production lasting this long?
[ ] less than one[ ] 1
[ ] 2[ ] longer than 2

7. Have you ever smoked cigarettes?
[ ] yes
[ ] no

8. Do you now smoke cigarettes?
[ ] yes
[ ] no

9. If you smoke or have smoked cigarettes, for how many years have you smoked, or did you smoke?
[ ] less than 1 year[ ] number of years

What is or was the greatest number of packs per day that you have smoked?
[ ] number of packs

If you quit smoking cigarettes, how many years ago did you quit?
[ ] less than 1 year[ ] number of years

How many packs a day do you now smoke?
[ ] number of packs per day

10. Have you ever been told by a doctor that you had a kidney or urinary tract disease or disorder?
[ ] yes
[ ] no

11. Have you ever had any of these disorders?
Kidney stones[ ] yes[ ] no
Protein in urine[ ] yes[ ] no
Blood in urine[ ] yes[ ] no
Difficulty urinating[ ] yes[ ] no
Other kidney/
Urinary disorders[ ] yes[ ] no

Please describe problems, age, treatment, and follow up for any kidney or urinary problems you have had:

	

12.Have you ever been told by a doctor or other health care provider who took your blood pressure that your blood pressure was high?
[ ] yes
[ ] no

13. Have you ever been advised to take any blood pressure medication?
[ ] yes
[ ] no

14. Are you presently taking any blood pressure medication?
[ ] yes
[ ] no

15. Are you presently taking any other medication?
[ ] yes
[ ] no

16.Please list any blood pressure or other medications and describe how long you have been taking each one:

MedicineHow long taken

		

		

17. Have you ever been told by a doctor that you have diabetes? (sugar in your blood or urine)
[ ] yes
[ ] no

  If yes, do you presently see a doctor about your diabetes? 
[ ] yes
[ ] no

  If yes, how do you control your blood sugar?
[ ] diet alone[ ] diet plus oral medicine
[ ] diet plus insulin (injection)

18. Have you ever been told by a doctor that you had:
anemia[ ] yes[ ] no
a low blood count?[ ] yes[ ] no

19. Do you presently feel that you tire or run out of energy sooner than normal or soon than other people your age?
[ ] yes
[ ] no

  If yes, for how long have you felt that you tire easily?
[ ] less than 1 year[ ] number of years

20. Have you given blood within the last year?
[ ] yes
[ ] no

If yes, how many times?
  [ ] number of times

How long ago was the last time you gave blood?
[ ] less than 1 month[ ] number of months

21. Within the last year have you had any injuries with heavy bleeding?
[ ] yes
[ ] no

If yes, how long ago?
[ ] less than 1 month[ ] number of months

Describe: 		

			

22. Have you recently had any surgery?
[ ] yes
[ ] no

If yes, please describe: 	

23. Have you seen any blood lately in your stool or after a bowel movement?
[ ] yes
[ ] no

24. Have you ever had a test for blood in your stool?
[ ] yes
[ ] no

If yes, did the test show any blood in the stool?
[ ] yes
[ ] no

What further evaluation and treatment were done? 

		

		

The following questions pertain to the ability to wear a respirator. Additional information for the physician can be found in The Respiratory Protective Devices Manual.

25. Have you ever been told by a doctor that you have asthma?
[ ] yes
[ ] no

  If yes, are you presently taking any medication for asthma? Mark all that apply.
[ ] shots
[ ] pills
[ ] inhaler

26. Have you ever had a heart attack?
[ ] yes
[ ] no

If yes, how long ago?
[ ] number of years[ ] number of months

27. Have you ever had pains in your chest?
[ ] yes
[ ] no

If yes, when did it usually happen?
While resting[ ] 
While working[ ] 
While exercising[ ] 
Activity didn't matter[ ] 

28. Have you ever had a thyroid problem?
[ ] yes
[ ] no

29. Have you ever had a seizure or fits?
[ ] yes
[ ] no

30. Have you ever had a stroke (cerebrovascular accident)?
[ ] yes
[ ] no

31. Have you ever had a ruptured eardrum or a serious hearing problem?
[ ] yes
[ ] no

32.Do you now have a claustrophobia, meaning fear of crowded or closed in spaces or any psychological problems that would make it hard for you to wear a respirator?
[ ] yes
[ ] no

The following questions pertain to reproductive history

33. Have you or your partner had a problem conceiving a child?
[ ] yes
[ ] no

If yes, specify:
[ ] self[ ] present mate[ ] previous mate

34.Have you or your partner consulted a physician for a fertility or other reproductive problem?
[ ] yes
[ ] no

If yes, specify who consulted the physician:
[ ] self[ ] spouse/partner[ ] self and partner

If yes, specify diagnosis made:	

35.Have you or your partner ever conceived a child resulting in a miscarriage, still birth or deformed offspring?
[ ] yes
[ ] no

If yes, specify:
[ ] miscarriage
[ ] still birth
[ ] deformed offspring

If outcome was a deformed offspring, please specify type:

		

36. Was this outcome a result of a pregnancy of:
[ ] yours with present partner
[ ] yours with a previous partner

37. Did the timing of any abnormal pregnancy outcome coincide with present employment?
[ ] yes
[ ] no

List dates of occurrences:	

38. What is the occupation of your spouse or partner?	

FOR WOMEN ONLY

39. Do you have menstrual periods?
[ ] yes
[ ] no

Have you had menstrual irregularities?
[ ] yes
[ ] no

If yes, specify type:	

		

If yes, what was the approximated date this problem began?

Approximate date problem stopped?	

FOR MEN ONLY

40. Have you ever been diagnosed by a physician as having prostate gland problem(s)?
[ ] yes
[ ] no

If yes, please describe type of problem(s) and what was done to evaluate and treat the problem(s):

		

		

Appendix E

CADMIUM IN WORKPLACE ATMOSPHERES
Method Number: ID-189
Matrix: Air
OSHA Permissible Exposure Limits:

5 mg/m3 (TWA)2.5 mg/m3 (Action Level TWA)

	Collection Procedure:A known volume of air is drawn through a 37-mm diameter filter cassette containing a 0.8-mm mixed cellulose ester membrane filter (MCEF)

	Recommended Air
	 Volume:960 L

	Recommended Sampling
	 Rate:2.0 L/min

	Analytical Procedure:Air filter samples are digested with nitric acid. After digestion, a small amount of hydrochloric acid is added. The samples are then diluted to volume with deionized water and analyzed by either flame atomic absorption spectroscopy (AAS) or flameless atomic absorption spectroscopy using a heated graphite furnace atomizer (AAS-HGA).
Detection Limits:
Qualitative: 0.2 mg/m3 for a 200 L sample by Flame AAS, 0.007 mg/m3 for a 60 L sample by AAS-HGA
Quantitative: 0.70 mg/m3 for a 200 L sample by Flame AAS, 0.025 mg/m3 for a 60 L sample by AAS-HGA
Precision and Accuracy: Flame AAS Analysis AAS-HGA Analysis
Validation Level: 2.5 to 10 mg/m3 for a 60 L air vol 1.25 to 5.0 mg/m3 for a 400 L air vol 

CV1 (pooled):0.0100.043
Analytical Bias:+4.0%-5.8
Overall Analytical Error:±6.0%±14.2
Method Classification:Validated
Date:June, 1992

Inorganic Service Branch II
OSHA Salt Lake Technical Center
Salt Lake City, Utah
Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources can be substituted.
1. Introduction
1.1. Scope
This method describes the collection of airborne elemental cadmium and cadmium compounds on 0.8-mm mixed cellulose ester membrane filters and their subsequent analysis by either flame atomic absorption spectroscopy (AAS) or flameless atomic absorption spectroscopy using a heated graphite furnace atomizer (AAS-HGA). It is applicable for both TWA and Action Level TWA Permissible Exposure Level (PEL) measurements. The two atomic absorption analytical techniques included in the method do not differentiate between cadmium fume and cadmium dust samples. They also do not differentiate between elemental cadmium and its compounds.
1.2. Principle
Airborne elemental cadmium and cadmium compounds are collected on a 0.8-mm mixed cellulose ester membrane filter (MCEF). The air filter samples are digested with concentrated nitric acid to destroy the organic matrix and dissolve the cadmium analytes. After digestion, a small amount of concentrated hydrochloric acid is added to help dissolve other metals which may be present. The samples are diluted to volume with deionized water and then aspirated into the oxidizing air/acetylene flame of an atomic absorption spectrophotometer for analysis of elemental cadmium.
If the concentration of cadmium in a sample solution is too low for quantitation by this flame AAS analytical technique, and the sample is to be averaged with other samples for TWA calculations, aliquots of the sample and a matrix modifier are later injected onto a L'vov platform in a pyrolytically-coated graphite tube of a Zeeman atomic absorption spectrophotometer/graphite furnace assembly for analysis of elemental cadmium. The matrix modifier is added to stabilize the cadmium metal and minimize sodium chloride as an interference during the high temperature charring step of the analysis (5.1., 5.2.).
1.3. History
Previously, two OSHA sampling and analytical methods for cadmium were used concurrently (5.3., 5.4.). Both of these methods also required 0.8-mm mixed cellulose ester membrane filters for the collection of air samples. These cadmium air filter samples were analyzed by either flame atomic absorption spectroscopy (5.3.) or inductively coupled plasma/ atomic emission spectroscopy (ICP-AES) (5.4.). Neither of these two analytical methods have adequate sensitivity for measuring workplace exposure to airborne cadmium at the new lower TWA and Action Level TWA PEL levels when consecutive samples are taken on one employee and the sample results need to be averaged with other samples to determine a single TWA. The inclusion of two atomic absorption analytical techniques in the new sampling and analysis method for airborne cadmium permits quantitation of sample results over a broad range of exposure levels and sampling periods. The flame AAS analytical technique included in this method is similar to the previous procedure given in the General Metals Method ID-121 (5.3.) with some modifications. The sensitivity of the AAS-HGA analytical technique included in this method is adequate to measure exposure levels at 1/10 the Action Level TWA, or lower, when less than full-shift samples need to be averaged together.
1.4. Properties (5.5.)
Elemental cadmium is a silver-white, blue-tinged, lustrous metal which is easily cut with a knife. It is slowly oxidized by moist air to form cadmium oxide. It is insoluble in water, but reacts readily with dilute nitric acid. Some of the physical properties and other descriptive information of elemental cadmium are given below:

CAS No.7440-43-9
Atomic Number48
Atomic SymbolCd
Atomic Weight112.41
Melting Point321 oC
Boiling Point765 oC
Density8.65 g/mL (25 oC)
The properties of specific cadmium compounds are described in reference 5.5.
1.5. Method Performance
A synopsis of method performance is presented below. Further information can be found in Section 4.
1.5.1. The qualitative and quantitative detection limits for the flame AAS analytical technique are 0.04 mg (0.004 mg/mL) and 0.14 mg (0.014 mg/mL) cadmium, respectively, for a 10 mL solution volume. These correspond, respectively, to 0.2 mg/m3 and 0.70 mg/m3 for a 200 L air volume.
1.5.2. The qualitative and quantitative detection limits for the AAS-HGA analytical technique are 0.44 ng (0.044 ng/mL) and 1.5 ng (0.15 ng/mL) cadmium, respectively, for a 10 mL solution volume. These correspond, respectively, to 0.007 mg/m3 and 0.025 mg/m3 for a 60 L air volume.
1.5.3. The average recovery by the flame AAS analytical technique of 17 spiked MCEF samples containing cadmium in the range of 0.5 to 2.0 times the TWA target concentration of 5 mg/m3 (assuming a 400 L air volume) was 104.0% with a pooled coefficient of variation (CV1) of 0.010. The flame analytical technique exhibited a positive bias of +4.0% for the validated concentration range. The overall analytical error (OAE) for the flame AAS analytical technique was ±6.0%.
1.5.4. The average recovery by the AAS-HGA analytical technique of 18 spiked MCEF samples containing cadmium in the range of 0.5 to 2.0 times the Action Level TWA target concentration of 2.5 mg/m3 (assuming a 60 L air volume) was 94.2% with a pooled coefficient of variation (CV1) of 0.043. The AAS-HGA analytical technique exhibited a negative bias of -5.8% for the validated concentration range. The overall analytical error (OAE) for the AAS-HGA analytical technique was ± 14.2%.
1.5.5. Sensitivity in flame atomic absorption is defined as the characteristic concentration of an element required to produce a signal of 1% absorbance (0.0044 absorbance units). Sensitivity values are listed for each element by the atomic absorption spectrophotometer manufacturer and have proved to be a very valuable diagnostic tool to determine if instrumental parameters are optimized and if the instrument is performing up to specification. The sensitivity of the spectrophotometer used in the validation of the flame AAS analytical technique agreed with the manufacturer specifications (5.6.); the 2 mg/mL cadmium standard gave an absorbance reading of 0.350 abs. units.
1.5.6. Sensitivity in graphite furnace atomic absorption is defined in terms of the characteristic mass, the number of picograms required to give an integrated absorbance value of 0.0044 absorbance-second (5.7.). Data suggests that under Stabilized Temperature Platform Furnace (STPF) conditions (see Section 1.6.2.), characteristic mass values are transferable between properly functioning instruments to an accuracy of about 20% (5.2.). The characteristic mass for STPF analysis of cadmium with Zeeman background correction listed by the manufacturer of the instrument used in the validation of the AAS-HGA analytical technique was 0.35 pg. The experimental characteristic mass value observed during the determination of the working range and detection limits of the AAS-HGA analytical technique was 0.41 pg.
1.6. Interferences
1.6.1. High concentrations of silicate interfere in determining cadmium by flame AAS (5.6.). However, silicates are not significantly soluble in the acid matrix used to prepare the samples.
1.6.2. Interferences, such as background absorption, are reduced to a minimum in the AAS-HGA analytical technique by taking full advantage of the Stabilized Temperature Platform Furnace (STPF) concept. STPF includes all of the following parameters (5.2.):
a. Integrated Absorbance,
b. Fast Instrument Electronics and Sampling Frequency,
c. Background Correction,
d. Maximum Power Heating,
e. Atomization off the L'vov platform in a pyrolytically coated graphite tube,
f. Gas Stop during Atomization,
g. Use of Matrix Modifiers.
1.7. Toxicology (5.14.)
Information listed within this section is synopsis of current knowledge of the physiological effects of cadmium and is not intended to be used as the basis for OSHA policy.
IARC classifies cadmium and certain of its compounds as Group 2A carcinogens (probably carcinogenic to humans). Cadmium fume is intensely irritating to the respiratory tract. Workplace exposure to cadmium can cause both chronic and acute effects. Acute effects include tracheobronchitis, pneumonitis, and pulmonary edema. Chronic effects include anemia, rhinitis/anosmia, pulmonary emphysema, proteinuria and lung cancer. The primary target organs for chronic disease are the kidneys (non-carcinogenic) and the lungs (carcinogenic).
2. Sampling
2.1. Apparatus
2.1.1. Filter cassette unit for air sampling: A 37-mm diameter mixed cellulose ester membrane filter with a pore size of 0.8-mm contained in a 37-mm polystyrene two- or three-piece cassette filter holder (part no. MAWP 037 A0, Millipore Corp., Bedford, MA). The filter is supported with a cellulose backup pad. The cassette is sealed prior to use with a shrinkable gel band.
2.1.2. A calibrated personal sampling pump whose flow is determined to an accuracy of ±5% at the recommended flow rate with the filter cassette unit in line.
2.2. Procedure
2.2.1. Attach the prepared cassette to the calibrated sampling pump (the backup pad should face the pump) using flexible tubing. Place the sampling device on the employee such that air is sampled from the breathing zone.
2.2.2. Collect air samples at a flow rate of 2.0 L/min. If the filter does not become overloaded, a full-shift (at least seven hours) sample is strongly recommended for TWA and Action Level TWA measurements with a maximum air volume of 960 L. If overloading occurs, collect consecutive air samples for shorter sampling periods to cover the full workshift.
2.2.3. Replace the end plugs into the filter cassettes immediately after sampling. Record the sampling conditions.
2.2.4. Securely wrap each sample filter cassette end-to-end with an OSHA Form 21 sample seal.
2.2.5. Submit at least one blank sample with each set of air samples. The blank sample should be handled the same as the other samples except that no air is drawn through it.
2.2.6. Ship the samples to the laboratory for analysis as soon as possible in a suitable container designed to prevent damage in transit.
3. Analysis
3.1. Safety Precautions
3.1.1. Wear safety glasses, protective clothing and gloves at all times.
3.1.2. Handle acid solutions with care. Handle all cadmium samples and solutions with extra care (see Sect. 1.7.). Avoid their direct contact with work area surfaces, eyes, skin and clothes. Flush acid solutions which contact the skin or eyes with copious amounts of water.
3.1.3. Perform all acid digestions and acid dilutions in an exhaust hood while wearing a face shield. To avoid exposure to acid vapors, do not remove beakers containing concentrated acid solutions from the exhaust hood until they have returned to room temperature and have been diluted or emptied.
3.1.4. Exercise care when using laboratory glassware. Do not use chipped pipets, volumetric flasks, beakers or any glassware with sharp edges exposed in order to avoid the possibility of cuts or abrasions.
3.1.5. Never pipet by mouth.
3.1.6. Refer to the instrument instruction manuals and SOPs (5.8., 5.9.) for proper and safe operation of the atomic absorption spectrophotometer, graphite furnace atomizer and associated equipment.
3.1.7. Because metallic elements and other toxic substances are vaporized during AAS flame or graphite furnace atomizer operation, it is imperative that an exhaust vent be used. Always ensure that the exhaust system is operating properly during instrument use.
3.2. Apparatus for Sample and Standard Preparation
3.2.1. Hot plate, capable of reaching 150o C, installed in an exhaust hood.
3.2.2. Phillips beakers, 125 mL.
3.2.3. Bottles, narrow-mouth, polyethylene or glass with leakproof caps: used for storage of standards and matrix modifier.
3.2.4. Volumetric flasks, volumetric pipets, beakers and other associated general laboratory glassware.
3.2.5. Forceps and other associated general laboratory equipment.
3.3. Apparatus for Flame AAS Analysis
3.3.1. Atomic absorption spectrophotometer consisting of a (an):
Nebulizer and burner head.
Pressure regulating devices capable of maintaining constant oxidant and fuel pressures.
Optical system capable of isolating the desired wavelength of radiation (228.8 nm).
Adjustable slit.
Light measuring and amplifying device.
Display, strip chart, or computer interface for indicating the amount of absorbed radiation.
Cadmium hollow cathode lamp or electrodeless discharge lamp (EDL) and power supply.
3.3.2. Oxidant: compressed air, filtered to remove water, oil and other foreign substances.
3.3.3. Fuel: standard commercially available tanks of acetylene dissolved in acetone; tanks should be equipped with flash arresters. CAUTION: Do not use grades of acetylene containing solvents other than acetone because they may damage the PVC tubing used in some instruments.
3.3.4. Pressure-reducing valves: two gauge, two-stage pressure regulators to maintain fuel and oxidant pressures somewhat higher than the controlled operating pressures of the instrument.
3.3.5. Exhaust vent installed directly above the spectrophotometer burner head.
3.4. Apparatus for AAS-HGA Analysis
3.4.1. Atomic absorption spectrophotometer consisting of a (an):
Heated graphite furnace atomizer (HGA) with argon purge system.
Pressure-regulating devices capable of maintaining constant argon purge pressure.
Optical system capable of isolating the desired wavelength of radiation (228.8 nm).
Adjustable slit.
Light measuring and amplifying device.
Display, strip chart, or computer interface for indicating the amount of absorbed radiation (as integrated absorbance, peak area).
Background corrector: Zeeman or deuterium arc. The Zeeman background corrector is recommended.
Cadmium hollow cathode lamp or electrodeless discharge lamp (EDL) and power supply.
Autosampler capable of accurately injecting 5 to 20 mL sample aliquots onto the L'vov Platform in a graphite tube.
3.4.2. Pyrolytically-coated graphite tubes containing solid, pyrolytic L'vov platforms.
3.4.3. Polyethylene sample cups, 2.0 to 2.5 mL, for use with the autosampler.
3.4.4. Inert purge gas for graphite furnace atomizer: compressed gas cylinder of purified argon.
3.4.5. Two gauge, two-stage pressure regulator for the argon gas cylinder.
3.4.6. Cooling water supply for graphite furnace atomizer.
3.4.7. Exhaust vent installed directly above the graphite furnace atomizer.
3.5. Reagents
All reagents should be ACS analytical reagent grade or better.
3.5.1. Deionized water with a specific conductance of less than 10  mS.
3.5.2. Concentrated nitric acid, HNO3.
3.5.3. Concentrated hydrochloric acid, HCl.
3.5.4. Ammonium phosphate, monobasic, NH4H2PO4.
3.5.5. Magnesium nitrate, Mg(NO3)2.
3.5.6. Diluting solution (4% HNO3, 0.4% HCl): Add 40 mL HNO3 and 4 mL HCl carefully to approximately 500 mL deionized water and dilute to 1 L with deionized water.
3.5.7. Cadmium standard stock solution, 1,000 mg/mL: Use a commercially available certified 1,000 mg/mL cadmium standard or, alternatively, dissolve 1.0000 g of cadmium metal in a minimum volume of 1:1 HCl and dilute to 1 L with 4% HNO3. Observe expiration dates of commercial standards. Properly dispose of commercial standards with no expiration dates or prepared standards one year after their receipt or preparation date.
3.5.8. Matrix modifier for AAS-HGA analysis: Dissolve 1.0 g NH4H2PO4 and 0.15 g Mg(NO3)2 in approximately 200 mL deionized water. Add 1 mL HNO3 and dilute to 500 mL with deionized water.
3.5.9 Nitric Acid, 1:1 HNO3/DI H2O mixture: Carefully add a measured volume of concentrated HNO3 to an equal volume of DI H2O.
3.5.10. Nitric acid, 10% v/v: Carefully add 100 mL of concentrated HNO3 to 500 mL of DI H2O and dilute to 1 L.
3.6. Glassware Preparation
3.6.1. Clean Phillips beakers by refluxing with 1:1 nitric acid on a hot plate in a fume hood. Thoroughly rinse with deionized water and invert the beakers to allow them to drain dry.
3.6.2. Rinse volumetric flasks and all other glassware with 10% nitric acid and deionized water prior to use.
3.7. Standard Preparation for Flame AAS Analysis
3.7.1. Dilute stock solutions:
Prepare 1, 5, 10 and 100 mg/mL cadmium standard stock solutions by making appropriate serial dilutions of 1,000 mg/mL cadmium standard stock solution with the diluting solution described in Section 3.5.6.
3.7.2. Working standards:
Prepare cadmium working standards in the range of 0.02 to 2.0 mg/ML by making appropriate serial dilutions of the dilute stock solutions with the same diluting solution. A suggested method of preparation of the working standards is given below.

Working StandardStd SolutionAliquotFinal Vol
(mg/mL)(mg/mL)(mL)(mL)

0.02110500
0.0555500
0.1105500
0.21010500
0.51025500
11005500
210010500

Store the working standards in 500-mL, narrow-mouth polyethylene or glass bottles with leak proof caps. Prepare every twelve months.
3.8. Standard Preparation for AAS-HGA Analysis
3.8.1. Dilute stock solutions:
Prepare 10, 100 and 1,000 ng/mL cadmium standard stock solutions by making appropriate ten-fold serial dilutions of the 1,000 mg/mL cadmium standard stock solution with the diluting solution described in Section 3.5.6.
3.8.2. Working standards:
Prepare cadmium working standards in the range of 0.2 to 20 ng/mL by making appropriate serial dilutions of the dilute stock solutions with the same diluting solution. A suggested method of preparation of the working standards is given below.

	Working StandardStd SolutionAliquotFinal Vol
	(mg/mL)(mg/mL)(mL)(mL)

0.2102100
0.5105100
11010100
21002100
51002100
1010010100
201,0002100

Store the working standards in narrow-mouth polyethylene or glass bottles with leakproof caps. Prepare monthly.
3.9. Sample Preparation
3.9.1. Carefully transfer each sample filter with forceps from its filter cassette unit to a clean, separate 125-mL Phillips beaker along with any loose dust found in the cassette. Label each Phillips beaker with the appropriate sample number.
3.9.2. Digest the sample by adding 5 mL of concentrated nitric acid (HNO3) to each Phillips beaker containing an air filter sample. Place the Phillips beakers on a hot plate in an exhaust hood and heat the samples until approximately 0.5 mL remains. The sample solution in each Phillips beaker should become clear. If it is not clear, digest the sample with another portion of concentrated nitric acid.
3.9.3. After completing the HNO3 digestion and cooling the samples, add 40 L (2 drops) of concentrated HCl to each air sample solution and then swirl the contents. Carefully add about 5 mL of deionized water by pouring it down the inside of each beaker.
3.9.4. Quantitatively transfer each cooled air sample solution from each Phillips beaker to a clean 10-mL volumetric flask. Dilute each flask to volume with deionized water and mix well.
3.10. Flame AAS Analysis
Analyze all of the air samples for their cadmium content by flame atomic absorption spectroscopy (AAS) according to the instructions given below.
3.10.1. Set up the atomic absorption spectrophotometer for the air/acetylene flame analysis of cadmium according to the SOP (5.8.) or the manufacturer's operational instructions. For the source lamp, use the cadmium hollow cathode or electrodeless discharge lamp operated at the manufacturer's recommended rating for continuous operation. Allow the lamp to warm up 10 to 20 min or until the energy output stabilizes. Optimize conditions such as lamp position, burner head alignment, fuel and oxidant flow rates, etc. See the SOP or specific instrument manuals for details. Instrumental parameters for the Perkin-Elmer Model 603 used in the validation of this method are given in Appendix A.
3.10.2. Aspirate and measure the absorbance of a standard solution of cadmium. The standard concentration should be within the linear range. For the instrumentation used in the validation of this method a 2 mg/mL cadmium standard gives a net absorbance reading of about 0.350 abs. units (see Section 1.5.5.) when the instrument and the source lamp are performing to manufacturer specifications.
3.10.3. To increase instrument response, scale expand the absorbance reading of the aspirated 2 mg/mL working standard approximately four times. Increase the integration time to at least 3 seconds to reduce signal noise.
3.10.4. Autozero the instrument while aspirating a deionized water blank. Monitor the variation in the baseline absorbance reading (baseline noise) for a few minutes to insure that the instrument, source lamp and associated equipment are in good operating condition.
3.10.5. Aspirate the working standards and samples directly into the flame and record their absorbance readings. Aspirate the deionized water blank immediately after every standard or sample to correct for and monitor any baseline drift and noise. Record the baseline absorbance reading of each deionized water blank. Label each standard and sample reading and its accompanying baseline reading.
3.10.6. It is recommended that the entire series of working standards be analyzed at the beginning and end of the analysis of a set of samples to establish a concentration-response curve, ensure that the standard readings agree with each other and are reproducible. Also, analyze a working standard after every five or six samples to monitor the performance of the spectrophotometer. Standard readings should agree within ±10 to 15% of the readings obtained at the beginning of the analysis.
3.10.7. Bracket the sample readings with standards during the analysis. If the absorbance reading of a sample is above the absorbance reading of the highest working standard, dilute the sample with diluting solution and reanalyze. Use the appropriate dilution factor in the calculations.
3.10.8. Repeat the analysis of approximately 10% of the samples for a check of precision.
3.10.9. If possible, analyze quality control samples from an independent source as a check on analytical recovery and precision.
3.10.10. Record the final instrument settings at the end of the analysis. Date and label the output.
3.11. AAS-HGA Analysis
Initially analyze all of the air samples for their cadmium content by flame atomic absorption spectroscopy (AAS) according to the instructions given in Section 3.10. If the concentration of cadmium in a sample solution is less than three times the quantitative detection limit [0.04 mg/mL (40 ng/mL) for the instrumentation used in the validation] and the sample results are to be averaged with other samples for TWA calculations, proceed with the AAS-HGA analysis of the sample as described below.
3.11.1. Set up the atomic absorption spectrophotometer and HGA for flameless atomic absorption analysis of cadmium according to the SOP (5.9.) or the manufacturer's operational instructions and allow the instrument to stabilize. The graphite furnace atomizer is equipped with a pyrolytically coated graphite tube containing a pyrolytic platform. For the source lamp, use a cadmium hollow cathode or electrodeless discharge lamp operated at the manufacturer's recommended setting for graphite furnace operation. The Zeeman background corrector and EDL are recommended for use with the L'vov platform. Instrumental parameters for the Perkin-Elmer Model 5100 spectrophotometer and Zeeman HGA-600 graphite furnace used in the validation of this method are given in Appendix B.
3.11.2. Optimize the energy reading of the spectrophotometer at 228.8 nm by adjusting the lamp position and the wavelength according to the manufacturer's instructions.
3.11.3. Set up the autosampler to inject a 5-mL aliquot of the working standard, sample or reagent blank solution onto the L'vov platform along with a 10-mL overlay of the matrix modifier.
3.11.4. Analyze the reagent blank (diluting solution, Section 3.5.6.) and then autozero the instrument before starting the analysis of a set of samples. It is recommended that the reagent blank be analyzed several times during the analysis to assure the integrated absorbance (peak area) reading remains at or near zero.
3.11.5. Analyze a working standard approximately midway in the linear portion of the working standard range two or three times to check for reproducibility and sensitivity (see Sections 1.5.5. and 1.5.6.) before starting the analysis of samples. Calculate the experimental characteristic mass value from the average integrated absorbance reading and injection volume of the analyzed working standard. Compare this value to the manufacturer's suggested value as a check of proper instrument operation.
3.11.6. Analyze the reagent blank, working standard, and sample solutions. Record and label the peak area (abs-sec) readings and the peak and background peak profiles on the printer/plotter.
3.11.7. It is recommended the entire series of working standards be analyzed at the beginning and end of the analysis of a set of samples. Establish a concentration-response curve and ensure standard readings agree with each other and are reproducible. Also, analyze a working standard after every five or six samples to monitor the performance of the system. Standard readings should agree within ±15% of the readings obtained at the beginning of the analysis.
3.11.8. Bracket the sample readings with standards during the analysis. If the peak area reading of a sample is above the peak area reading of the highest working standard, dilute the sample with the diluting solution and reanalyze. Use the appropriate dilution factor in the calculations.
3.11.9. Repeat the analysis of approximately 10% of the samples for a check of precision.
3.11.10. If possible, analyze quality control samples from an independent source as a check of analytical recovery and precision.
3.11.11. Record the final instrument settings at the end of the analysis. Date and label the output.
3.12. Calculations
Note: Standards used for HGA analysis are in ng/mL. Total amounts of cadmium from calculations will be in ng (not mg) unless a prior conversion is made.
3.12.1. Correct for baseline drift and noise in flame AAS analysis by subtracting each baseline absorbance reading from its corresponding working standard or sample absorbance reading to obtain the net absorbance reading for each standard and sample.
3.12.2. Use a least squares regression program to plot a concentration-response curve of net absorbance reading (or peak area for HGA analysis) versus concentration (mg/mL or ng/mL) of cadmium in each working standard.
3.12.3. Determine the concentration (mg/mL or ng/mL) of cadmium in each sample from the resulting concentration-response curve. If the concentration of cadmium in a sample solution is less than three times the quantitative detection limit [0.04 mg/mL (40 ng/mL) for the instrumentation used in the validation of the method] and if consecutive samples were taken on one employee and the sample results are to be averaged with other samples to determine a single TWA, reanalyze the sample by AAS- HGA as described in Section 3.11. and report the AAS-HGA analytical results.
3.12.4. Calculate the total amount (mg or ng) of cadmium in each sample from the sample solution volume (mL):
W = (C)(sample vol, mL)(DF)
Where:
W = Total cadmium in sample
C = Calculated concentration of cadmium
DF = Dilution Factor (if applicable)
3.12.5. Make a blank correction for each air sample by subtracting the total amount of cadmium in the corresponding blank sample from the total amount of cadmium in the sample.
3.12.6. Calculate the concentration of cadmium in an air sample (mg/m3 or mg/m3) by using one of the following equations:
mg/m3 = Wbc/(Air vol sampled, L)
or
mg/m3 = (Wbc)(1,000 ng/mg)/(Air vol sampled, L)
Where: Wbc = blank corrected total mg cadmium in the sample. (1mg = 1,000 ng)
4. Backup Data
4.1. Introduction
4.1.1. The purpose of this evaluation is to determine the analytical method recovery, working standard range, and qualitative and quantitative detection limits of the two atomic absorption analytical techniques included in this method. The evaluation consisted of the following experiments:
1. An analysis of 24 samples (six samples each at 0.1, 0.5, 1 and 2 times the TWA-PEL) for the analytical method recovery study of the flame AAS analytical technique.
2. An analysis of 18 samples (six samples each at 0.5, 1 and 2 times the Action Level TWA-PEL) for the analytical method recovery study of the AAS-HGA analytical technique.
3. Multiple analyses of the reagent blank and a series of standard solutions to determine the working standard range and the qualitative and quantitative detection limits for both atomic absorption analytical techniques.
4.1.2. The analytical method recovery results at all test levels were calculated from concentration-response curves and statistically examined for outliers at the 99% confidence level. Possible outliers were determined using the Treatment of Outliers test (5.10.). In addition, the sample results of the two analytical techniques, at 0.5, 1.0 and 2.0 times their target concentrations, were tested for homogeneity of variances also at the 99% confidence level. Homogeneity of the coefficients of variation was determined using the Bartlett's test (5.11.). The overall analytical error (OAE) at the 95% confidence level was calculated using the equation (5.12.):
OAE = ±[|Bias| +  (1.96)(CV1 (pooled)) (100%)]
4.1.3. A derivation of the International Union of Pure and Applied Chemistry (IUPAC) detection limit equation (5.13.) was used to determine the qualitative and quantitative detection limits for both atomic absorption analytical techniques:
Cld = k(sd)/m (Equation 1)
Where:

	Cld=the smallest reliable detectable concentration an analytical instrument can determine at a given confidence level. 

	k=3 for the Qualitative Detection Limit at the 99.86% Confidence Level 

	k=10 for the Quantitative Detection Limit at the 99.99% Confidence Level. 

	sd=standard deviation of the reagent blank (Rbl) readings. 

	m=analytical sensitivity or slope as calculated by linear regression. 
4.1.4. Collection efficiencies of metallic fume and dust atmospheres on 0.8-mm mixed cellulose ester membrane filters are well documented and have been shown to be excellent (5.11.). Since elemental cadmium and the cadmium component of cadmium compounds are nonvolatile, stability studies of cadmium spiked MCEF samples were not performed.
4.2. Equipment
4.2.1. A Perkin-Elmer (PE) Model 603 spectrophotometer equipped with a manual gas control system, a stainless steel nebulizer, a burner mixing chamber, a flow spoiler and a 10 cm. (one-slot) burner head was used in the experimental validation of the flame AAS analytical technique. A PE cadmium hollow cathode lamp, operated at the manufacturer's recommended current setting for continuous operation (4 mA), was used as the source lamp. Instrument parameters are listed in Appendix A.
4.2.2. A PE Model 5100 spectrophotometer, Zeeman HGA-600 graphite furnace atomizer and AS-60 HGA autosampler were used in the experimental validation of the AAS-HGA analytical technique. The spectrophotometer was equipped with a PE Series 7700 professional computer and Model PR-310 printer. A PE System 2 cadmium electrodeless discharge lamp, operated at the manufacturer's recommended current setting for modulated operation (170 mA), was used as the source lamp. Instrument parameters are listed in Appendix B.
4.3. Reagents
4.3.1. J.T. Baker Chem. Co. (Analyzed grade) concentrated nitric acid, 69.0-71.0%, and concentrated hydrochloric acid, 36.5-38.0%, were used to prepare the samples and standards.
4.3.2. Ammonium phosphate, monobasic, NH4H2PO4 and magnesium nitrate, Mg(NO3)2, both manufactured by the Mallinckrodt Chem. Co., were used to prepare the matrix modifier for AAS-HGA analysis.
4.4. Standard Preparation for Flame AAS Analysis
4.4.1. Dilute stock solutions:
Prepared 0.01, 0.1, 1, 10 and 100 mg/mL cadmium standard stock solutions by making appropriate serial dilutions of a commercially available 1,000 mg/mL cadmium standard stock solution (RICCA Chemical Co., Lot# A102) with the diluting solution (4% HNO3, 0.4% HCl).
4.4.2. Analyzed Standards:
Prepared cadmium standards in the range of 0.001 to 2.0 mg/mL by pipetting 2 to 10 mL of the appropriate dilute cadmium stock solution into a 100-mL volumetric flask and diluting to volume with the diluting solution. (See Section 3.7.2.)
4.5. Standard Preparation for AAS-HGA Analysis
4.5.1. Dilute stock solutions:
Prepared 1, 10, 100 and 1,000 ng/mL cadmium standard stock solutions by making appropriate serial dilutions of a commercially available 1,000 mg/mL cadmium standard stock solution (J.T. Baker Chemical Co., Instra-analyzed, Lot# D22642) with the diluting solution (4% HNO3, 0.4% HCl).
4.5.2. Analyzed Standards:
Prepared cadmium standards in the range of 0.1 to 40 ng/mL by pipetting 2 to 10 mL of the appropriate dilute cadmium stock solution into a 100-mL volumetric flask and diluting to volume with the diluting solution. (See Section 3.8.2.)
4.6. Detection Limits and Standard Working Range for Flame AAS Analysis
4.6.1. Analyzed the reagent blank solution and the entire series of cadmium standards in the range of 0.001 to 2.0 mg/mL three to six times according to the instructions given in Section 3.10. The diluting solution (4% HNO3, 0.4% HCl) was used as the reagent blank. The integration time on the PE 603 spectrophotometer was set to 3.0 seconds and a four-fold expansion of the absorbance reading of the 2.0 mg/mL cadmium standard was made prior to analysis. The 2.0 mg/mL standard gave a net absorbance reading of 0.350 abs. units prior to expansion in agreement with the manufacturer's specifications (5.6.).
4.6.2. The net absorbance readings of the reagent blank and the low concentration Cd standards from 0.001 to 0.1 mg/mL and the statistical analysis of the results are shown in Table I. The standard deviation, sd, of the six net absorbance readings of the reagent blank is 1.05 abs. units. The slope, m, as calculated by a linear regression plot of the net absorbance readings (shown in Table II) of the 0.02 to 1.0m g/mL cadmium standards versus their concentration is 772.7 abs. units/(mg/mL).
4.6.3. If these values for sd and the slope, m, are used in Eqn. 1 (Sect. 4.1.3.), the qualitative and quantitative detection limits as determined by the IUPAC Method are:
Cld = (3)(1.05 abs. units)/(772.7 abs. units/(mg/mL))
= 0.0041 mg/mL for the qualitative detection limit.
Cld= (10)(1.05 abs. units)/(772.7 abs. units/mg/mL))
= 0.014 mg/mL for the quantitative detection limit.
The qualitative and quantitative detection limits for the flame AAS analytical technique are 0.041 mg and 0.14 mg cadmium, respectively, for a 10 mL solution volume. These correspond, respectively, to 0.2 mg/m3 and 0.70 mg/m3 for a 200 L air volume.
4.6.4. The recommended Cd standard working range for flame AAS analysis is 0.02 to 2.0 mg/mL. The net absorbance readings of the reagent blank and the recommended working range standards and the statistical analysis of the results are shown in Table II. The standard of lowest concentration in the working range, 0.02 mg/mL, is slightly greater than the calculated quantitative detection limit, 0.014 mg/mL. The standard of highest concentration in the working range, 2.0 mg/mL, is at the upper end of the linear working range suggested by the manufacturer (5.6.). Although the standard net absorbance readings are not strictly linear at concentrations above 0.5 mg/mL, the deviation from linearity is only about 10% at the upper end of the recommended standard working range. The deviation from linearity is probably caused by the four-fold expansion of the signal suggested in the method. As shown in Table II, the precision of the standard net absorbance readings are excellent throughout the recommended working range; the relative standard deviations of the readings range from 0.009 to 0.064.
4.7. Detection Limits and Standard Working Range for AAS-HGA Analysis
4.7.1. Analyzed the reagent blank solution and the entire series of cadmium standards in the range of 0.1 to 40 ng/mL according to the instructions given in Section 3.11. The diluting solution (4% HNO3, 0.4% HCl) was used as the reagent blank. A fresh aliquot of the reagent blank and of each standard was used for every analysis. The experimental characteristic mass value was 0.41 pg, calculated from the average peak area (abs-sec) reading of the 5 ng/mL standard which is approximately midway in the linear portion of the working standard range. This agreed within 20% with the characteristic mass value, 0.35 pg, listed by the manufacturer of the instrument (5.2.).
4.7.2. The peak area (abs-sec) readings of the reagent blank and the low concentration Cd standards from 0.1 to 2.0 ng/mL and statistical analysis of the results are shown in Table III. Five of the reagent blank peak area readings were zero and the sixth reading was 1 and was an outlier. The near lack of a blank signal does not satisfy a strict interpretation of the IUPAC method for determining the detection limits. Therefore, the standard deviation of the six peak area readings of the 0.2 ng/mL cadmium standard, 0.75 abs-sec, was used to calculate the detection limits by the IUPAC method. The slope, m, as calculated by a linear regression plot of the peak area (abs-sec) readings (shown in Table IV) of the 0.2 to 10 ng/mL cadmium standards versus their concentration is 51.5 abs-sec/(ng/mL).
4.7.3. If 0.75 abs-sec (sd) and 51.5 abs-sec/(ng/mL) (m) are used in Eqn. 1 (Sect. 4.1.3.), the qualitative and quantitative detection limits as determined by the IUPAC method are:
Cld= (3)(0.75 abs-sec)/(51.5 abs-sec/(ng/mL)
= 0.044 ng/mL for the qualitative detection limit.
Cld= (10)(0.75 abs-sec)/(51.5 abs-sec/(ng/mL)
= 0.15 ng/mL for the quantitative detection limit.
The qualitative and quantitative detection limits for the AAS-HGA analytical technique are 0.44 ng and 1.5 ng cadmium, respectively, for a 10 mL solution volume. These correspond, respectively, to 0.007 mg/m3 and 0.025 mg/m3 for a 60 L air volume.
4.7.4. The peak area (abs-sec) readings of the Cd standards from 0.2 to 40 ng/mL and the statistical analysis of the results are given in Table IV. The recommended standard working range for AAS-HGA analysis is 0.2 to 20 ng/mL. The standard of lowest concentration in the recommended working range is slightly greater than the calculated quantitative detection limit, 0.15 ng/mL. The deviation from linearity of the peak area readings of the 20 ng/mL standard, the highest concentration standard in the recommended working range, is approximately 10%. The deviations from linearity of the peak area readings of the 30 and 40 ng/mL standards are significantly greater than 10%. As shown in Table IV, the precision of the peak area readings are satisfactory throughout the recommended working range; the relative standard deviations of the readings range from 0.025 to 0.083.
4.8. Analytical Method Recovery for Flame AAS Analysis
4.8.1. Four sets of spiked MCEF samples were prepared by injecting 20 L of 10, 50, 100 and 200 mg/mL dilute cadmium stock solutions on 37 mm diameter filters (part no. AAWP 037 00, Millipore Corp., Bedford, MA) with a calibrated micropipet. The dilute stock solutions were prepared by making appropriate serial dilutions of a commercially available 1,000 mg/mL cadmium standard stock solution (RICCA Chemical Co., Lot# A102) with the diluting solution (4% HNO3, 0.4% HCl). Each set contained six samples and a sample blank. The amount of cadmium in the prepared sets were equivalent to 0.1, 0.5, 1.0 and 2.0 times the TWA PEL target concentration of 5 mg/m3 for a 400 L air volume.
4.8.2. The air-dried spiked filters were digested and analyzed for their cadmium content by flame atomic absorption spectroscopy (AAS) following the procedure described in Section 3. The 0.02 to 2.0 mg/mL cadmium standards (the suggested working range) were used in the analysis of the spiked filters.
4.8.3. The results of the analysis are given in Table V. One result at 0.5 times the TWA PEL target concentration was an outlier and was excluded from statistical analysis. Experimental justification for rejecting it is that the outlier value was probably due to a spiking error. The coefficients of variation for the three test levels at 0.5 to 2.0 times the TWA PEL target concentration passed the Bartlett's test and were pooled.
4.8.4. The average recovery of the six spiked filter samples at 0.1 times the TWA PEL target concentration was 118.2% with a coefficient of variation (CV1) of 0.128. The average recovery of the spiked filter samples in the range of 0.5 to 2.0 times the TWA target concentration was 104.0% with a pooled coefficient of variation (CV1) of 0.010. Consequently, the analytical bias found in these spiked sample results over the tested concentration range was +4.0% and the OAE was ±6.0%.
4.9. Analytical Method Recovery for AAS-HGA Analysis
4.9.1. Three sets of spiked MCEF samples were prepared by injecting 15 mL of 5, 10 and 20 mg/mL dilute cadmium stock solutions on 37 mm diameter filters (part no. AAWP 037 00, Millipore Corp., Bedford, MA) with a calibrated micropipet. The dilute stock solutions were prepared by making appropriate serial dilutions of a commercially available certified 1,000 mg/mL cadmium standard stock solution (Fisher Chemical Co., Lot# 913438-24) with the diluting solution (4% HNO3, 0.4% HCl). Each set contained six samples and a sample blank. The amount of cadmium in the prepared sets were equivalent to 0.5, 1 and 2 times the Action Level TWA target concentration of 2.5 mg/m3 for a 60 L air volume.
4.9.2. The air-dried spiked filters were digested and analyzed for their cadmium content by flameless atomic absorption spectroscopy using a heated graphite furnace atomizer following the procedure described in Section 3. A five-fold dilution of the spiked filter samples at 2 times the Action Level TWA was made prior to their analysis. The 0.05 to 20 ng/mL cadmium standards were used in the analysis of the spiked filters.
4.9.3. The results of the analysis are given in Table VI. There were no outliers. The coefficients of variation for the three test levels at 0.5 to 2.0 times the Action Level TWA PEL passed the Bartlett's test and were pooled. The average recovery of the spiked filter samples was 94.2% with a pooled coefficient of variation (CV1) of 0.043. Consequently, the analytical bias was -5.8% and the OAE was ±14.2%.
4.10. Conclusions
The experiments performed in this evaluation show the two atomic absorption analytical techniques included in this method to be precise and accurate and have sufficient sensitivity to measure airborne cadmium over a broad range of exposure levels and sampling periods.
5. References:
5.1. Slavin, W. Graphite Furnace AAS - A Source Book; Perkin-Elmer Corp., Spectroscopy Div.: Ridgefield, CT , 1984; p. 18 and pp. 83-90.
5.2. Grosser, Z., Ed.; Techniques in Graphite Furnace Atomic Absorption Spectrophotometry; Perkin-Elmer Corp., Spectroscopy Div.: Ridgefield, CT, 1985.
5.3. Occupational Safety and Health Administration Salt Lake Technical Center: Metal and Metalloid Particulate in Workplace Atmospheres (Atomic Absorption) (USDOL/OSHA Method No. ID-121). In OSHA Analytical Methods Manual 2nd ed. Cincinnati, OH: American Conference of Governmental Industrial Hygienists, 1991.
5.4. Occupational Safety and Health Administration Salt Lake Technical Center: Metal and Metalloid Particulate in Workplace Atmospheres (ICP) (USDOL/OSHA Method No. ID-125G). In OSHA Analytical Methods Manual 2nd ed. Cincinnati, OH: American Conference of Governmental Industrial Hygienists, 1991.
5.5. Windholz, M., Ed.; The Merck Index, 10th ed.; Merck & Co.: Rahway, NJ, 1983.
5.6. Analytical Methods for Atomic Absorption Spectrophotometry, The Perkin-Elmer Corporation: Norwalk, CT, 1982.
5.7. Slavin, W., D.C. Manning, G. Carnrick, and E. Pruszkowska: Properties of the Cadmium Determination with the Platform Furnace and Zeeman Background Correction. Spectrochim. Acta 38B:1157-1170 (1983).
5.8. Occupational Safety and Health Administration Salt Lake Technical Center: Standard Operating Procedure for Atomic Absorption. Salt Lake City, UT: USDOL/OSHA-SLTC, In progress.
5.9. Occupational Safety and Health Administration Salt Lake Technical Center: AAS-HGA Standard Operating Procedure. Salt Lake City, UT: USDOL/OSHA-SLTC, In progress.
5.10. Mandel, J.: Accuracy and Precision, Evaluation and Interpretation of Analytical Results, The Treatment of Outliers. In Treatise On Analytical Chemistry, 2nd ed., Vol.1, edited by I. M. Kolthoff and P. J. Elving. New York: John Wiley and Sons, 1978. pp. 282-285.
5.11. National Institute for Occupational Safety and Health: Documentation of the NIOSH Validation Tests by D. Taylor, R. Kupel, and J. Bryant (DHEW/NIOSH Pub. No. 77-185). Cincinnati, OH: National Institute for Occupational Safety and Health, 1977.
5.12. Occupational Safety and Health Administration Analytical Laboratory: Precision and Accuracy Data Protocol for Laboratory Validations. In OSHA Analytical Methods Manual 1st ed. Cincinnati, OH: American Conference of Governmental Industrial Hygienists (Pub. No. ISBN: 0-936712-66-X), 1985.
5.13. Long, G.L. and J.D. Winefordner: Limit of Detection --A Closer Look at the IUPAC Definition. Anal.Chem. 55:712A-724A (1983).
5.14. American Conference of Governmental Industrial Hygienists: Documentation of Threshold Limit Values and Biological Exposure Indices. 5th ed. Cincinnati, OH: American Conference of Governmental Industrial Hygienists, 1986.

Table I
Cd Detection Limit Study
(Flame AAS Analysis)

STDAbsorbance ReadingStatistical
(mg/mL)at 228.8 nmAnalysis

Reagent Blank  52n = 6
43mean = 3.50
43std dev = 1.05
CV = 0.30

0.00166n = 6
24mean = 5.00
66std dev = 1.67
CV = 0.335

0.00257n = 6
73mean = 5.50
74std dev = 1.76
CV = 0.320

0.00577n = 6
88mean = 7.33
86std dev = 0.817
CV = 0.111

0.010109n = 6
1013mean = 10.3
1010std dev = 1.37
CV = 0.133

0.0202023n = 6
2022mean = 20.8
2020std dev = 1.33
CV = 0.064

0.0504242n = 6
4242mean = 42.5
4245std dev = 1.22
CV = 0.029

0.1084n = 3
80mean = 82.3
83std dev = 2.08
CV = 0.025

Table II
Cd Standard Working Range Study(Flame AAS Analysis)

STDAbsorbance ReadingStatistical
(mg/mL)at 228.8 nm Analysis

Reagent Blank 52n = 6 
43mean = 3.50 
43std dev = 1.05
CV = 0.30 

0.0202023n = 6 
2022mean = 20.8 
2020std dev = 1.33 
CV = 0.064 

0.0504242n = 6 
4242mean = 42.5 
4245std dev = 1.22 
CV = 0.029 
0.1084n = 3 
80mean = 82.3 
83std dev = 2.08 
CV = 0.025 

0.20161n = 3 
161mean = 160.0 
158std dev = 1.73 
CV = 0.011 

0.50391n = 3 
389mean = 391.0 
393std dev = 2.00 
CV = 0.005 

1.00760n = 3 
748mean = 753.3 
752std dev = 6.11 
CV = 0.008 

2.001416n = 3 
1426mean = 1414.3 
1401std dev = 12.6 
CV = 0.009 

Table III
Cd Detection Limit Study(AAS-HGA Analysis)

STDPeak Area ReadingsStatistical
(ng/mL)x 103 at 228.8
nm Analysis

Reagent Blank00n = 6
01mean = 0.167
00std dev = 0.41
CV = 2.45

0.186n = 6
57mean = 7.7
137std dev = 2.8
CV = 0.366

0.21113n = 6
1112mean = 11.8
1212std dev = 0.75
CV = 0.064

0.52833n = 6
2628mean = 28.8
2830std dev = 2.4
CV = 0.083

1.05255n = 6
5658mean = 54.8
5454std dev = 2.0
CV = 0.037
2.0101112n = 6
110110mean = 108.8
110110std dev = 3.9
CV = 0.036

Table IV
Cd Standard Working Range Study
(AAS-HGA Analysis)

STDPeak Area ReadingsStatistical
(ng/mL)x 103 at 228.8
nm Analysis

0.21113n = 6
1112mean = 11.8
1212std dev = 0.75
CV = 0.064

0.52833n = 6
2628mean = 28.8
2830std dev = 2.4
CV = 0.083

1.05255n = 6
5658mean = 54.8
5454std dev = 2.0
CV = 0.037

2.0101112n = 6
110110mean = 108.8
110110std dev = 3.9
CV = 0.036

5.0247265n = 6
268275mean = 265.5
259279std dev = 11.5
CV = 0.044

10.0495520n = 6
523513mean = 516.7
516533std dev = 12.7
CV = 0.025

20.0950953n = 6
951958mean = 941.8
949890std dev = 25.6
CV = 0.027

30.012691291n = 6
13031307mean = 1293
12951290std dev = 13.3
CV = 0.010
40.015051567n = 6
15351567mean = 1552
15661572std dev = 26.6
CV = 0.017 

Table V
Analytical Method Recovery
(Flame AA Analysis)

Test
Level0.5x1.0x2.0x

	 mg mg% mg mg % mg mg%
	TakenFoundRec.TakenFoundRec.TakenFoundRec.

	1.001.0715107.22.002.0688103.44.004.1504103.8
	1.001.0842108.42.002.0174100.94.004.1108102.8
	1.001.0842108.42.002.0431102.24.004.0581101.5
	1.001.0081*100.8*2.002.0431102.24.004.0844102.1
	1.001.0715107.22.002.0174100.94.004.1504103.8
	1.001.0842108.42.002.0045100.24.004.1899104.7

	n =566
	mean =107.9101.6103.1
	std dev =0.6571.1741.199
	CV1 =0.0060.0110.012

CV1 (pooled) = 0.010

*-Rejected as an outlier - this value did not pass the outlier T-test at the 99% confidence level.

	Test
	Level0.1x

	 mg mg%
	TakenFoundRec.

	0.2000.2509125.5
	0.2000.2509125.5
	0.2000.2761138.1
	0.2000.2258112.9
	0.2000.2258112.9
	0.2000.188194.1

	n =6
	mean =118.2
	std dev =15.1
	CV1 =0.128

	

	

Table VI
Analytical Method Recovery
(AAS-HGA Analysis)

Test
Level0.5x1.0x2.0x

	ngng%ngng%ngng%
	TakenFoundRec.TakenFoundRec.TakenFoundRec.

	7571.2395.0150138.0092.0300258.4386.1
	7571.4795.3150138.2992.2300258.4686.2
	7570.0293.4150136.3090.9300280.5593.5
	7577.34103.1150146.6297.7300288.3496.1
	7578.32104.4150145.1796.8300261.7487.2
	7571.9695.9150144.8896.6300277.2292.4

	n =666
	mean =97.994.490.3
	std dev=4.662.984.30
	CV1 =0.0480.0320.048

CV1 (pooled) = 0.043

Appendix E--Attachment A

Instrumental Parameters for Flame AAS Analysis

Atomic Absorption Spectophotometer
(Perkin-Elmer Model 603)

	Flame:Air/Acetylene
	lean, blue
	Oxidant Flow:55
	Fuel Flow:32
	Wavelength:228.8 nm
	Slit:4 (0.7 nm)
	Range:UV
	Signal:Concentration (4 exp)
	Integration Time:3 sec

Appendix E--Attachment B

Instrumental Parameters for HGA Analysis

Atomic Absorption Spectrophotometer
(Perkin-Elmer Model 5100)

	Signal Type:Zeeman AA
	Slitwidth:0.7 nm
	Wavelength:228.8 nm
	Measurement:Peak Area
	Integration Time:6.0 sec
	BOC Time:5 sec

BOC = Background Offset Correction

Zeeman Graphite Furnace
(Perkin-Elmer Model HGA-600)

StepRampHoldTemp.ArgonRead
TimeTimeFlow
(sec)(sec)(oC)(mL/min)(sec)

1)Predry51090300--
2)Dry3010140300--
3)Char1020900300--
4)Cool Down1830300--
5)Atomize0516000-1
6)Burnout182500300--

Appendix F: Nonmandatory Protocol   for Biological Monitoring
1.0 INTRODUCTION
Under the final OSHA cadmium rule, monitoring of biological specimens and several periodic medical examinations are required for eligible employees. These medical examinations are to be conducted regularly, and medical monitoring is to include the periodic analysis of cadmium in blood (CDB), cadmium in urine (CDU) and beta-2-microglobulin in urine (B2MU). As CDU and B2MU are to be normalized to the concentration of creatinine in urine (CRTU), then CRTU must be analyzed in conjunction with CDU and B2MU analyses.
The purpose of this protocol is to provide procedures for establishing and maintaining the quality of the results obtained from the analyses of CDB, CDU and B2MU by commercial laboratories. Laboratories conforming to the provisions of this nonmandatory protocol shall be known as “participating laboratories.” The biological monitoring data from these laboratories will be evaluated by physicians responsible for biological monitoring to determine the conditions under which employees may continue to work in locations exhibiting airborne- cadmium concentrations at or above defined actions levels (see paragraphs (1)(3) and (1)(4) of the final rule). These results also may be used to support a decision to remove workers from such locations.
Under the medical monitoring program for cadmium, blood and urine samples must be collected at defined intervals from workers by physicians responsible for medical monitoring; these samples are sent to commerical laboratories that perform the required analyses and report results of these analyses to the responsible physicians. To ensure the accuracy and reliability of these laboratory analyses, the laboratories to which samples are submitted should participate in an ongoing and efficacious proficiency testing program. Availability of proficiency testing programs may vary with the analyses performed.
To test proficiency in the analysis of CDB, CDU and B2MU, a laboratory should participate either in the interlaboratory comparison program operated by the Centre de Toxicologie du Quebec (CTQ) or an equivalent program. (Currently, no laboratory in the U.S. performs proficiency testing on CDB, CDU or B2MU.) Under this program, CTQ sends participating laboratories 18 samples of each analyte (CDB, CDU and/or B2MU) annually for analysis. Participating laboratories must return the results of these analyses to CTQ within four to five weeks after receiving the samples.
The CTQ program pools analytical results from many participating laboratories to derive consensus mean values for each of the samples distributed. Results reported by each laboratory then are compared against these consensus means for the analyzed samples to determine the relative performance of each laboratory. The proficiency of a participating laboratory is a function of the extent of agreement between results submitted by the participating laboratory and the consensus values for the set of samples analyzed.
Proficiency testing for CRTU analysis (which should be performed with CDU and B2MU analyses to evaluate the results properly) also is recommended. In the U.S., only the College of American Patholgists (CAP) currently conducts CRTU proficiency testing; participating laboratories should be accredited for CRTU analysis by the CAP.
Results of the proficiency evaluations will be forwarded to the participating laboratory by the proficiency-testing laboratory, as well as to physicians designated by the participating laboratory to receive this information. In addition, the participating laboratory should, on request, submit the results of their internal Quality Assurance/Quality Control (QA/QC) program for each analytic procedure (i.e., CDB, CDU and/or B2MU) to physicians designated to receive the proficiency results. For participating laboratories offering CDU and/or B2MU analyses, QA/QC documentation also should be provided for CRTU analysis. (Laboratories should provide QA/QC information regarding CRTU analysis directly to the requesting physician if they perform the analysis in-house; if CRTU analysis is performed by another laboratory under contract, this information should be provided to the physician by the contract laboratory.)
QA/QC information, along with the actual biological specimen measurements, should be provided to the responsible physician using standard formats. These physicians then may collate the QA/QC information with proficiency test results to compare the relative performance of laboratories, as well as to facilitate evaluation of the worker monitoring data. This information supports discretionary decisions made by the physician with regard to the biological monitoring program, and for mandating medical removal.
This protocol describes procedures that may be used by the responsible physicians to identify laboratories most likely to be proficient in the analysis of samples used in the biological monitoring of cadmium; also provided are procedures for record keeping and reporting by laboratories participating in proficiency testing programs, and recommendations to assist these physicians in interpreting analytical results determined by participating laboratories. As the collection and handling of samples affects the quality of the data, recommendations are made for these tasks. Specifications for analytical methods to be used in the medical monitoring program are included in this protocol as well.
In conclusion, this document is intended as a supplement to characterize and maintain the quality of medical monitoring data collected under the final cadmium rule promulgated by OSHA. OSHA has been granted authority under the Occupational Safety and Health Act of 1970 to protect workers from the effects of exposure to hazardous substances in the work place and to mandate adequate monitoring of workers to determine when adverse health effects may be occurring. This nonmandatory protocol is intended to provide guidelines and recommendations to improve the accuracy and reliability of the procedures used to analyze the biological samples collected as part of the medical monitoring program for cadmium.
2.0 DEFINITIONS
When the terms below appear in this protocol, use the following definitions.
Accuracy:
A measure of the bias of a data set. Bias is a systematic error that is either inherent in a method or caused by some artifact or idiosyncracy of the measurement system. Bias is characterized by a consistent deviation (positive or negative) in the results from an accepted reference value.
Arithmetic Mean:
The sum of measurements in a set divided by the number of measurements in a set.
Blind Samples:
A quality control procedure in which the concentration of analyte in the samples should be unknown to the analyst at the time that the analysis is performed.
Coefficient of Variation:
The ratio of the standard deviation of a set of measurements to the mean (arithmetic or geometric) of the measurements.
Compliance Samples:
Samples from exposed workers sent to a participating laboratory for analysis.
Control Charts:
Graphic representations of the results for quality control samples being analyzed by a participating laboratory.
Control Limits:
Statistical limits which define when an analytic procedure exceeds acceptable parameters; control limits provide a method of assessing the accuracy of analysts, laboratories, and discrete analytic runs.
Control Samples:
Quality control samples.
F/T:
The measured amount of an analyte divided by the theoretical value (defined below) for that analyte in the sample analyzed; this ratio is a measure of the recovery for a quality control sample.
Geometric Mean:
The natural antilog of the mean of a set of natural log- transformed data.
Geometric Standard Deviation:
The antilog of the standard deviation of a set of natural log-transformed data.
Limit of Detection:
Using a predifined level of confidence, this is the lowest measured value at which some of the measured material is likely to have come from the sample.
Mean:
A central tendency of a set of data; in this protocol, this mean is defined as the arithmetic mean (see definition of arithmetic mean above) unless stated otherwise.
Performance:
A measure of the overall quality of data reported by a laboratory.
Pools:
Groups of quality-control samples to be established for each target value (defined below) of an analyte. For the protocol provided in attachment 3, for example, the theoretical value of the quality control samples of the pool must be within a range defined as plus or minus (±) 50% of the target value. Within each analyte pool, there must be quality control samples of at least 4 theoretical values.
Precision:
The extent of agreement between repeated, independent measurements of the same quantity of an analyte.
Proficiency:
The ability to satisfy a specified level of analyte performance.
Proficiency Samples:
Specimens, the values of which are unknown to anyone at a participating laboratory, and which are submitted by a participating laboratory for proficiency testing.
Quality or Data Quality:
A measure of the confidence in the measurement value.
Quality Control (QC) Samples:
Specimens, the value of which is unknown to the analyst, but is known to the appropriate QA/QC personnel of a participating laboratory; when used as part of a laboratory QA/QC program, the theoretical values of these samples should not be known to the analyst until the analyses are complete. QC samples are to be run in sets consisting of one QC sample from each pool (see definition of “pools” above).
Sensitivity:
For the purposes of this protocol, the limit of detection.
Standard Deviation:
A measure of the distribution or spread of a data set about the mean; the standard deviation is equal to the positive square root of the variance, and is expressed in the same units as the original measurements in the data set.
Standards:
Samples with values known by the analyst and used to calibrate equipment and to check calibration throughout an analytic run. In a laboratory QA/QC program, the values of the standards must exceed the values obtained for compliance samples such that the lowest standard value is near the limit of detection and the highest standard is higher than the highest compliance sample or QC sample. Standards of at least three different values are to be used for calibration, and should be constructed from at least 2 different sources.
Target Value:
Those values of CDB, CDU or B2MU which trigger some action as prescribed in the medical surveillance section of the regulatory text of the final cadmium rule. For CDB, the target values are 5, 7, 10 and 15 mg/l. For CDU, the target values are 3, 5, 10 and 15 mg/g CRTU. For B2MU, the target value are 300, 500, 1000 and 1500 mg/g CRTU. (Note that target values may vary as a function of time.)
Theoretical Value (or Theoretical Amount):
The reported concentration of a quality-control sample (or calibration standard) derived from prior characterizations of the sample.
Value or Measurement Value:
The numerical result of a measurement.
Variance:
A measure of the distribution or spread of a data set about the mean; the variance is the sum of the squares of the differences between the mean and each discrete measurement divided by one less than the number of measurements in the data set.
3.0 PROTOCOL
This protocol provides procedures for characterizing and maintaining the quality of analytic results derived for the medical monitoring program mandated for workers under the final cadmium rule.
3.1 Overview
The goal of this protocol is to assure that medical monitoring data are of sufficient quality to facilitate proper interpretation. The data quality objectives (DQOs) defined for the medical monitoring program are summarized in Table 1. Based on available information, the DQOs presented in Table 1 should be achievable by the majority of laboratories offering the required analyses commercially; OSHA recommends that only laboratories meeting these DQOs be used for the analysis of biological samples collected for monitoring cadmium exposure.

View Graphic
To satisfy the DQOs presented in Table 1, OSHA provides the following guidelines:
1. Procedures for the collection and handling of blood and urine are specified (Section 3.4.1 of this protocol);
2. preferred analytic methods for the analysis of CDB, CDU and B2MU are defined (and a method for the determination of CRTU also is specified since CDU and B2MU results are to be normalized to the level of CRTU).
3. procedures are described for identifying laboratories likely to provide the required analyses in an accurate and reliable manner;
4. these guidelines (Sections 3.2.1 to 3.2.3, and Section 3.3) include recommendations regarding internal QA/QC programs for participating laboratories, as well as levels of proficiency through participation in an interlaboratory proficiency program;
5. procedures for QA/QC record keeping (Section 3.3.2), and for reporting QC/QA results are described (Section 3.3.3); and,
6. procedures for interpreting medical monitoring results are specified (Section 3.4.3).
Methods recommended for the biological monitoring of eligible workers are:
1. The method of Stoeppler and Brandt (1980) for CDB determinations (limit of detection: 0.5 mg/l);
2. the method of Pruszkowska et al. (1983) for CDU determinations (limit of detection: 0.5 mg/l of urine); and,
3. the Pharmacia Delphia test kit (Pharmacia 1990) for the determination of B2MU (limit of detection: 100 mg/l urine).
Because both CDU and B2MU should be reported in mg/g CRTU, an independent determination of CRTU is recommended. Thus, both the OSHA Salt Lake City Technical Center (OSLTC) method (OSHA, no date) and the Jaffe method (Du Pont, no date) for the determination of CRTU are specified under this protocol (i.e., either of these 2 methods may be used). Note that although detection limits are not reported for either of these CRTU methods, the range of measurements expected for CRTU (0.9-1.7 mg/l) are well above the likely limit of detection for either of these methods (Harrison, 1987).
Laboratories using alternate methods should submit sufficient data to the responsible physicians demonstrating that the alternate method is capable of satisfying the defined data quality objectives of the program. Such laboratories also should submit a QA/QC plan that documents the performance of the alternate method in a manner entirely equivalent to the QA/QC plans proposed in Section 3.3.1.
3.2 Duties of the Responsible Physician
The responsible physician will evaluate biological monitoring results provided by participating laboratories to determine whether such laboratories are proficient and have satisfied the QA/QC recommendations. A requirement of the medical monitoring program mandated under the cadmium rule is that responsible physicians have the duty to employ laboratories to perform the required CDB, CDU and B2MU analyses of biological samples collected from eligible workers (paragraph (l)(1)(iv) of the final rule). In determining which laboratories to employ for this purpose, these physicians should review proficiency and QA/QC data submitted to them by the participating laboratories.
Participating laboratories should demonstrate proficiency for each analyte (CDU, CDB and B2MU) sampled under the biological monitoring program. Participating laboratories involved in analyzing CDU and B2MU also should demonstrate proficiency for CRTU analysis, or provide evidence of a contract with a laboratory proficient in CRTU analysis.
3.2.1 Recommendations for Selecting Among Existing Laboratories
OSHA recommends that existing laboratories providing commercial analyses for CDB, CDU and/or B2MU for the medical monitoring program satisfy the following criteria:
1. Should have performed commercial analyses for the appropriate analyte (CDB, CDU and/or B2MU) on a regular basis over the last 2 years;
2. should provide the responsible physician with an internal QA/QC plan;
3. if performing CDU or B2MU analyses, the participating laboratory should be accredited by the CAP for CRTU analysis, and should be enrolled in the corresponding CAP survey (note that alternate credentials may be acceptable, but acceptability is to be determined by the responsible physician); and,
4. should have enrolled in the CTQ interlaboratory comparison program for the appropriate analyte (CDB, CDU and/or B2MU).
Participating laboratories should submit appropriate documentation demonstrating compliance with the above criteria to the responsible physician. To demonstrate compliance with the first of the above criteria, participating laboratories should submit the following documentation for each analyte they plan to analyze (note that each document should cover a period of at least 8 consecutive quarters, and that the period designated by the term “regular analyses” is at least once a quarter):
1. Copies of laboratory reports providing results from regular analyses of the appropriate analyte (CDB, CDU and/or B2MU);
2. copies of 1 or more signed and executed contracts for the provision of regular analyses of the appropriate analyte (CDB, CDU and/or B2MU); or,
3. copies of invoices sent to 1 or more clients requesting payment for the provision of regular analyses of the appropriate analyte (CDB, CDU and/or B2MU).
Whatever the form of documentation submitted, the specific analytic procedures conducted should be identified directly. The forms that are copied for submission to the responsible physician also should identify the laboratory which provided these analyses.
To demonstrate compliance with the second of the above criteria, a laboratory should submit to the responsible physician an internal QA/QC plan detailing the standard operating procedures to be adopted for satisfying the recommended QA/QC procedures for the analysis of each specific analyte (CDB, CDU and/or B2MU). Procedures for internal QA/QC programs are detailed in Section 3.3.1 below.
To satisfy the third of the above criteria, laboratories analyzing for CDU or B2MU also should submit a QA/QC plan for creatinine analysis (CRTU); the QA/QC plan and characterization analyses for CRTU must come from the laboratory performing the CRTU analysis, even if the CRTU analysis is being performed by a contract laboratory.
Laboratories enrolling in the CTQ program (to satisfy the last of the above criteria) must remit, with the enrollment application, an initial fee of approximately $100 per analyte. (Note that this fee is only an estimate, and is subject to revision without notice.) Laboratories should indicate on the application that they agree to have proficiency test results sent by the CTQ directly to the physicians designated by participating laboratories.
Once a laboratory's application is processed by the CTQ, the laboratory will be assigned a code number which will be provided to the laboratory on the initial confirmation form, along with identification of the specific analytes for which the laboratory is participating. Confirmation of participation will be sent by the CTQ to physicians designated by the applicant laboratory.
3.2.2 Recommended Review of Laboratories Selected to Perform Analyses
Six months after being selected initially to perform analyte determinations, the status of participating laboratories should be reviewed by the responsible physicians. Such reviews should then be repeated every 6 months or whenever additional proficiency or QA/QC documentation is received (whichever occurs first).
As soon as the responsible physician has received the CTQ results from the first 3 rounds of proficiency testing (i.e., 3 sets of 3 samples each for CDB, CDU and/or B2MU) for a participating laboratory, the status of the laboratory's continued participation should be reviewed. Over the same initial 6-month period, participating laboratories also should provide responsible physicians the results of their internal QA/QC monitoring program used to assess performance for each analyte (CDB, CDU and/or B2MU) for which the laboratory performs determinations. This information should be submitted using appropriate forms and documentation.
The status of each participating laboratory should be determined for each analyte (i.e., whether the laboratory satisfies minimum proficiency guidelines based on the proficiency samples sent by the CTQ and the results of the laboratory's internal QA/QC program). To maintain competency for analysis of CDB, CDU and/or B2MU during the first review, the laboratory should satisfy performance requirements for at least 2 of the 3 proficiency samples provided in each of the 3 rounds completed over the 6-month period. Proficiency should be maintained for the analyte(s) for which the laboratory conducts determinations.
To continue participation for CDU and/or B2MU analyse, laboratories also should either maintain accreditation for CRTU analysis in the CAP program and participate in the CAP surveys, or they should contract the CDU and B2MU analyses to a laboratory which satisfies these requirements (or which can provide documentation of accreditation/participation in an equivalent program).
The performance requirement for CDB analysis is defined as an analytical result within ± mg/l blood or 15% of the consensus mean (whichever is greater). For samples exhibiting a consensus mean less than 1 mg/l, the performance requirement is defined as a concentration between the detection limit of the analysis and a maximum of 2 mg/l. The purpose for redefining the acceptable interval for low CDB values is to encourage proper reporting of the actual values obtained during measurement; laboratories, therefore, will not be penalized (in terms of a narrow range of acceptability) for reporting measured concentrations smaller than 1 mg/l.
The performance requirement for CDU analysis is defined as an analytical result within ± 1 mg/l urine or 15% of the consensus mean (whichever is greater). For samples exhibiting a consensus mean less than 1æg/l urine, the performance requirement is defined as a concentration between the detection limit of the analysis and a maximum of 2 mg/l urine. Laboratories also should demonstrate proficiency in creatinine analysis as defined by the CAP. Note that reporting CDU results, other than for the CTQ proficiency samples (i.e., compliance samples), should be accompanied with results of analyses for CRTU, and these 2 sets of results should be combined to provide a measure of CDU in units of mg/g CRTU.
The performance requirement for B2MU is defined as analytical results within ± 15% of the consensus mean. Note that reporting B2MU results, other than for CTQ proficiency samples (i.e., compliance samples), should be accompanied with results of analyses for CRTU, and these 2 sets of results should be combined to provide a measure of B2MU in units of mg/g CRTU.
There are no recommended performance checks for CRTU analyses. As stated previously, laboratories performing CRTU analysis in support of CDU or B2MU analyses should be accredited by the CAP, and participating in the CAP's survey for CRTU.
Following the first review, the status of each participating laboratory should be reevaluated at regular intervals (i.e., corresponding to receipt of results from each succeeding round of proficiency testing and submission of reports from a participating laboratory's internal QA/QC program).
After a year of collecting proficiency test results, the following proficiency criterion should be added to the set of criteria used to determine the participating laboratory's status (for analyzing CDB, CDU and/or B2MU): A participating laboratory should not fail performance requirements for more than 4 samples from the 6 most recent consecutive rounds used to assess proficiency for CDB, CDU and/or B2MU separately (i.e., a total of 18 discrete proficiency samples for each analyte). Note that this requirement does not replace, but supplements, the recommendation that a laboratory should satisfy the performance criteria for at least 2 of the 3 samples tested for each round of the program.
3.2.3 Recommendations for Selecting Among Newly-Formed Laboratories (or Laboratories that Previously Failed to Meet the Protocol Guidelines)
OSHA recommends that laboratories that have not previously provided commercial analyses of CDB, CDU and/or B2MU (or have done so for a period less than 2 years), or which have provided these analyses for 2 or more years but have not conformed previously with these protocol guidelines, should satisfy the following provisions for each analyte for which determinations are to be made prior to being selected to analyze biological samples under the medical monitoring program:
1. Submit to the responsible physician an internal QA/QC plan detailing the standard operating procedures to be adopted for satisfying the QA/QC guidelines (guidelines for internal QA/QC programs are detailed in Section 3.3.1;
2. submit to the responsible physician the results of the initial characterization analyses for each analyte for which determinations are to be made;
3. submit to the responsible physician the results, for the initial 6-month period, of the internal QA/QC program for each analyte for which determinations are to be made (if no commercial analyses have been conducted previously, a minimum of 2 mock standardization trials for each analyte should be completed per month for a 6-month period;
4. enroll in the CTQ program for the appropriate analyte for which determinations are to be made, and arrange to have the CTQ program submit the initial confirmation of participation and proficiency test results directly to the designated physicians. Note that the designated physician should receive results from 3 completed rounds from the CTQ program before approving a laboratory for participation in the biological monitoring program;
5. laboratories seeking participation for CDU and/or B2MU analyses should submit to the responsible physician documentation of accreditation by the CAP for CRTU analyses performed in conjunction with CDU and/or B2MU determinations (if CRTU analyses are conducted by a contract laboratory, this laboratory should submit proof of CAP accreditation to the responsible physician); and,
6. documentation should be submitted on an appropriate form.
To participate in CDB, CDU and/or B2MU analyses, the laboratory should satisfy the above criteria for a minimum of 2 of the 3 proficiency samples provided in each of the 3 rounds of the CTQ program over a 6-month period; this procedure should be completed for each appropriate analyte. Proficiency should be maintained for each analyte to continue participation. Note that laboratories seeking participation for CDU or B2MU also should address the performance requirements for CRTU, which involves providing evidence of accreditation by the CAP and participation in the CAP surveys (or an equivalent program).
The performance requirement for CDB analysis is defined as an analytical result within ± 1 mg/l or 15% of the consensus mean (whichever is greater). For samples exhibiting a consensus mean less than 1 mg/l, the performance requirement is defined as a concentration between the detection limit of the analysis and a maximum of 2 mg/l. The purpose of redefining the acceptable interval for low CDB values is to encourage proper reporting of the actual values obtained during measurement; laboratories, therefore, will not be penalized (in terms of a narrow range of acceptability) for reporting measured concentrations less than 1 mg/l.
The performance requirement for CDU analysis is defined as an analytical result within ± 1 mg/l urine or 15% of the consensus mean (whichever is greater). For samples exhibiting a consensus mean less than 1 mg/l urine, the performance requirement is defined as a concentration that falls between the detection limit of the analysis and a maximum of 2 mg/l urine. Performance requirements for the companion CRTU analysis (defined by the CAP) also should be met. Note that reporting CDU results, other than for CTQ proficiency testing (i.e., compliance samples), should be accompanied with results of CRTU analyses, and these 2 sets of results should be combined to provide a measure of CDU in units of mg/g CRTU.
The performance requirement for B2MU is defined as an analytical result within ± 15% of the consensus mean. Note that reporting B2MU results, other than for CTQ proficiency testing (i.e., compliance samples), should be accompanied with results of CRTU analysis, these 2 sets of results should be combined to provide a measure of B2MU in units of mg/g CRTU.
Once a new laboratory has been approved by the responsible physician for conducting analyte determinations, the status of this approval should be reviewed periodically by the responsible physician as per the criteria presented under Section 3.2.2.
Laboratories which have failed previously to gain approval of the responsible physician for conducting determinations of 1 or more analytes due to lack of compliance with the criteria defined above for existing laboratories (Section 3.2.1), may obtain approval by satisfying the criteria for newly-formed laboratories defined under this section; for these laboratories, the second of the above criteria may be satisfied by submitting a new set of characterization analyses for each analyte for which determinations are to be made.
Reevaluation of these laboratories is discretionary on the part of the responsible physician.
Reevaluation, which normally takes about 6 months, may be expedited if the laboratory can achieve 100% compliance with the proficiency test criteria using the 6 samples of each analyte submitted to the CTQ program during the first 2 rounds of proficiency testing.
For laboratories seeking reevaluation for CDU or B2MU analysis, the guidelines for CRTU analyses also should be satisfied, including accreditation for CRTU analysis by the CAP, and participation in the CAP survey program (or accreditation/participation in an equivalent program).
3.2.4 Future Modifications to the Protocol Guidelines
As participating laboratories gain experience with analyses for CDB, CDU and B2MU, it is anticipated that the performance achievable by the majority of laboratories should improve until it approaches that reported by the research groups which developed each method. OSHA, therefore, may choose to recommend stricter performance guidelines in the future as the overall performance of participating laboratories improves.
3.3 Guidelines for Record Keeping and Reporting
To comply with these guidelines, participating laboratories should satisfy the above-stated performance and proficiency recommendations, as well as the following internal QA/QC, record keeping, and reporting provisions.
If a participating laboratory fails to meet the provisions of these guidelines, it is recommended that the responsible physician disapprove further analyses of biological samples by that laboratory until it demonstrates compliance with these guidelines. On disapproval, biological samples should be sent to a laboratory that can demonstrate compliance with these guidelines, at least until the former laboratory is reevaluated by the responsible physician and found to be in compliance.
The following record keeping and reporting procedures should be practiced by participating laboratories.
3.3.1 Internal Quality Assurance/Quality Control Procedures
Laboratories participating in the cadmium monitoring program should develop and maintain an internal quality assurance/quality control (QA/QC) program that incorporates procedures for establishing and maintaining control for each of the analytic procedures (determinations of CDB, CDU and/or B2MU) for which the laboratory is seeking participation. For laboratories analyzing CDU and/or B2MU, a QA/QC program for CRTU also should be established.
Written documentation of QA/QC procedures should be described in a formal QA/QC plan; this plan should contain the following information: Sample acceptance and handling procedures (i.e., chain-of-custody); sample preparation procedures; instrument parameters; calibration procedures; and, calculations.
Documentation of QA/QC procedures should be sufficient to identify analytical problems, define criteria under which analysis of compliance samples will be suspended, and describe procedures for corrective actions.
3.3.1.1 QA/QC procedures for establishing control of CDB and CDU analyses
The QA/QC program for CDB and CDU should address, at a minimum, procedures involved in calibration, establishment of control limits, internal QC analyses and maintaining control, and corrective-action protocols. Participating laboratory should develop and maintain procedures to assure that analyses of compliance samples are within control limits, and that these procedures are documented thoroughly in a QA/QC plan.
A nonmandatory QA/QC protocol is presented in Attachment 1. This attachment is illustrative of the procedures that should be addressed in a proper QA/QC program.
Calibration. Before any analytic runs are conducted, the analytic instrument should be calibrated. Calibration should be performed at the beginning of each day on which QC and/or compliance samples are run. Once calibration is established, QC or compliance samples may be run. Regardless of the type of samples run, about every fifth sample should serve as a standard to assure that calibration is being maintained.
Calibration is being maintained if the standard is within ± 15% of its theoretical value. If a standard is more than ± 15% of its theoretical value, the run has exceeded control limits due to calibration error; the entire set of samples then should be reanalyzed after recalibrating or the results should be recalculated based on a statistical curve derived from that set of standards.
It is essential that the value of the highest standard analyzed be higher than the highest sample analyzed; it may be necessary, therefore, to run a high standard at the end of the run, which has been selected based on results obtained over the course of the run (i.e., higher than any standard analyzed to that point).
Standards should be kept fresh; as samples age, they should be compared with new standards and replaced if necessary.
Internal Quality Control Analyses. Internal QC samples should be determined interspersed with analyses of compliance samples. At a minimum, these samples should be run at a rate of 5% of the compliance samples or 2 samples per analytic run, whichever is greater. If only 2 samples are run, they should contain different levels of cadmium.
Internal QC samples may be obtained as commercially- available reference materials and/or they may be internally prepared. Internally-prepared samples should be well characterized and traced, or compared to a reference material for which a consensus value is available.
Levels of cadmium contained in QC samples should not be known to the analyst prior to reporting the results of the analysis.
Internal QC results should be plotted or charted in a manner which describes sample recovery and laboratory control limits.
Internal Control Limits. The laboratory protocol for evaluating internal QC analyses per control limits should be clearly defined. Limits may be based on statistical methods (e.g., as 2s from the laboratory mean recovery), or on proficiency testing limits (e.g., ± 2 mg or 15% of the mean, whichever is greater).
Statistical limits that exceed ± 40% should be reevaluated to determine the source error in the analysis.
When laboratory limits are exceeded, analytic work should terminate until the source of error is determined and corrected; compliance samples affected by the error should be reanalyzed. In addition, the laboratory protocol should address any unusual trends that develop which may be biasing the results. Numerous, consecutive results above or below laboratory mean recoveries, or outside laboratory statistical limits, indicate that problems may have developed.
Corrective Actions. The QA/QC plan should document in detail specific actions taken if control limits are exceeded or unusual trends develop. Corrective actions should be noted on an appropriate form, accompanied by supporting documentation.
In addition to these actions, laboratories should include whatever additional actions are necessary to assure that accurate data are reported to the responsible physicians.
Reference Materials. The following reference materials may be available:
Cadmium in Blood (CDB)
1. Centre de Toxicologie du Quebec, Le Centre Hospitalier de l'Universite Laval, 2705 boul. Laurier, Quebec, Que., Canada G1V 4G2. (Prepared 6 times per year at 1-15 mg Cd/l.)
2. H. Marchandise, Community Bureau of Reference-BCR, Directorate General XII, Commission of the European Communities, 200, rue de la Loi, B-1049, Brussels, Belgium. (Prepared as Bl CBM-1 at 5.37 mg Cd/l, and Bl CBM-2 at 12.38 mg Cd/l.)
3. Kaulson Laboratories Inc., 691 Bloomfield Ave., Caldwell, NJ 07006; tel: (201) 226-9494, FAX (201) 226-3244. (Prepared as #0141 [As, Cd, Hg, Pb] at 2 levels.)
Cadmium in Urine (CDU)
1. Centre de Toxicologie du Quebec, Le Centre Hospitalier de l'Universite Laval, 2705 boul. Laurier, Quebec, Que., Canada G1V 4G2. (Prepared 6 times per year.)
2. National Institute of Standards and Technology (NIST), Dept. of Commerce, Gaithersburg, MD; tel: (301) 975-6776. (Prepared as SRM 2670 freeze-dried urine [metals]; set includes normal and elevated levels of metals; cadmium is certified for elevated level of 88.0 mg/l in reconstituted urine.)
3. Kaulson Laboratories Inc., 691 Bloomfield Ave., Caldwell, NJ 07006; tel: (201) 226-9494, FAX (201) 226-3244. (Prepared as #0140 [As, Cd, Hg, Pb] at 2 levels.)
3.3.1.2 QA/QC procedures for establishing control of B2MU
A written, detailed QA/QC plan for B2MU analysis should be developed. The QA/QC plan should contain a protocol similar to those protocols developed for the CDB/CDU analyses. Differences in analyses may warrant some differences in the QA/QC protocol, but procedures to ensure analytical integrity should be developed and followed.
Examples of performance summaries that can be provided include measurements of accuracy (i.e., the means of measured values verses target values for the control samples) and precision (i.e., based on duplicate analyses). It is recommended that the accuracy and precision measurements be compared to those reported as achievable by the Pharmacia Delphia kit (Pharmacia 1990) to determine if and when unsatisfactory analyses have arisen. If the measurement error of 1 or more of the control samples is more than 15%, the run exceeds control limits. Similarly, this decision is warranted when the average CV for duplicate samples is greater than 5%.
3.3.2 Procedures for Record Keeping
To satisfy reporting requirements for commercial analyses of CDB, CDU and/or B2MU performed for the medical monitoring program mandated under the cadmium rule, participating laboratories should maintain the following documentation for each analyte:
1. For each analytic instrument on which analyte determinations are made, records relating to the most recent calibration and QC sample analyses;
2. for these instruments, a tabulated record for each analyte of those determinations found to be within and outside of control limits over the past 2 years;
3. results for the previous 2 years of the QC  sample analyses conducted under the internal QA/QC program (this information should be: Provided for each analyte for which determinations are made and for each analytic instrument used for this purpose, sufficient to demonstrate that internal QA/QC programs are being executed properly, and consistent with data sent to responsible physicians.
4. duplicate copies of monitoring results for each analyte sent to clients during the previous 5 years, as well as associated information; supporting material such as chain-of- custody forms also should be retained; and,
5. proficiency test results and related materials received while participating in the CTQ interlaboratory program over the past 2 years; results also should be tabulated to provide a serial record of relative error (derived per Section 3.3.3 below).
3.3.3 Reporting Procedures
Participating laboratories should maintain these documents: QA/QC program plans; QA/QC status reports; CTQ proficiency program reports; and, analytical data reports. The information that should be included in these reports is summarized in Table 2; a copy of each report should be sent to the responsible physician.

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As noted in Section 3.3.1, a QA/QC program plan should be developed that documents internal QA/QC procedures (defined under Section 3.3.1) to be implemented by the participating laboratory for each analyte; this plan should provide a list identifying each instrument used in making analyte determinations.
A QA/QC status report should be written bimonthly for each analyte. In this report, the results of the QC program during the reporting period should be reported for each analyte in the following manner: The number (N) of QC samples analyzed during the period; a table of the target levels defined for each sample and the corresponding measured values; the mean of F/T value (as defined below) for the set of QC samples run during the period; and, use of X ± 2s (as defined below) for the set of QC samples run during the period as a measure of precision.
As noted in Section 2, an F/T value for a QC sample is the ratio of the measured concentration of analyte to the established (i.e., reference) concentration of analyte for that QC sample. The equation below describes the derivation of the mean for F/T values, X:

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The standard deviation, s, for these measurements is derived using the following equation (note that 2s is twice this value):

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The nonmandatory QA/QC protocol (see Attachment 3) indicates that QC samples should be divided into several discrete pools, and a separate estimate of precision for each pools then should be derived. Several precision estimates should be provided for concentrations which differ in average value. These precision measures may be used to document improvements in performance with regard to the combined pool.
Participating laboratories should use the CTQ proficiency program for each analyte. Results of the this program will be sent by CTQ directly to physicians designated by the participating laboratories. Proficiency results from the CTQ program are used to establish the accuracy of results from each participating laboratory, and should be provided to responsible physicians for use in trend analysis. A proficiency report consisting of these proficiency results should accompany data reports as an attachment.
For each analyte, the proficiency report should include the results from the 6 previous proficiency rounds in the following format:
1. Number (N) of samples analyzed;
2. mean of the target levels, (1/N)S Ti, with Ti being a consensus mean for the sample;
3. mean of the measurements, (1/N)S Mi, with Mi being a sample measurement;
4. a measure of error defined by:

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Analytical data reports should be submitted to responsible physicians directly. For each sample, report the following information: The date the sample was received; the date the sample was analyzed; appropriate chain-of-custody information; the type(s) of analyses performed; and, the results of the analyses. This information should be reported on a form similar to the form provided an appropriate form. The most recent proficiency program report should accompany the analytical data reports (as an attachment).
Confidence intervals for the analytical results should be reported as X ± 2s, with X being the measured value and 2s the standard deviation calculated as described above.
For CDU or B2MU results, which are combined with CRTU measurements for proper reporting, the 95% confidence limits are derived from the limits for CDU or B2MU, (p), and the limits for CRTU, (q), as follows:

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For these calculations, X ± p is the measurement and confidence limits for CDU or B2MU, and Y ± q is the measurement and confidence limit for CRTU.
Participating laboratories should notify responsible physicians as soon as they receive information indicating a change in their accreditation status with the CTQ or the CAP. These physicians should not be expected to wait until formal notice of a status change has been received from the CTQ or the CAP.
3.4 Instructions to Physicians
Physicians responsible for the medical monitoring of cadmium-exposed workers must collect the biological samples from workers; they then should select laboratories to perform the required analyses, and should interpret the analytic results.
3.4.1 Sample Collection and Holding Procedures
Blood Samples. The following procedures are recommended for the collection, shipment and storage of blood samples for CDB analysis to reduce analytical variablility; these recommendations were obtained primarily through personal communications with J.P. Weber of the CTQ (1991), and from reports by the Centers for Disease Control (CDC, 1986) and Stoeppler and Brandt (1980).
To the extent possible, blood samples should be collected from workers at the same time of day. Workers should shower or thoroughly wash their hands and arms before blood samples are drawn. The following materials are needed for blood sample collection: Alcohol wipes; sterile gauze sponges; band-aids; 20- gauge, 1.5-in. stainless steel needles (sterile); preprinted labels; tourniquets; vacutainer holders; 3-ml “metal free” vacutainer tubes (i.e., dark-blue caps), with EDTA as an anti- coagulant; and, styrofoam vacutainer shipping containers.
Whole blood samples are taken by venipuncture. Each blue- capped tube should be labeled or coded for the worker and company before the sample is drawn. (Blue-capped tubes are recommended instead of red-capped tubes because the latter may consist of red coloring pigment containing cadmium, which could contaminate the samples.) Immediately after sampling, the vacutainer tubes must be thoroughly mixed by inverting the tubes at least 10 times manually or mechanically using a Vortex device (for 15 sec). Samples should be refrigerated immediately or stored on ice until they can be packed for shipment to the participating laboratory for analysis.
The CDC recommends that blood samples be shipped with a “cool pak” to keep the samples cold during shipment. However, the CTQ routinely ships and receives blood samples for cadmium analysis that have not been kept cool during shipment. The CTQ has found no deterioration of cadmium in biological fluids that were shipped via parcel post without a cooling agent, even though these deliveries often take 2 weeks to reach their destination.
Urine Samples. The following are recommended procedures for the collection, shipment and storage of urine for CDU and B2MU analyses, and were obtained primarily through personal communications with J.P. Weber of the CTQ (1991), and from reports by the CDC (1986) and Stoeppler and Brandt (1980).
Single “spot” samples are recommended. As B2M can degrade in the bladder, workers should first empty their bladder and then drink a large glass of water at the start of the visit. Urine samples then should be collected within 1 hour. Separate samples should be collected for CDU and B2MU using the following materials: Sterile urine collection cups (250 ml); small sealable plastic bags; preprinted labels; 15-ml polypropylene or polyethylene screw-cap tubes; lab gloves (“metal free”); and, preservatives (as indicated).
The sealed collection cup should be kept in the plastic bag until collection time. The workers should wash their hands with soap and water before receiving the collection cup. The collection cup should not be opened until just before voiding and the cup should be sealed immediately after filling. It is important that the inside of the container and cap are not touched by, or come into contact with, the body, clothing or other surfaces.
For CDU analyzes, the cup is swirled gently to resuspend any solids, and the 15-ml tube is filled with 10-12 ml urine. The CDC recommends the addition of 100 ml concentrated HNO3 as a preservative before sealing the tube and then freezing the sample. The CTQ recommends minimal handling and does not acidify their interlaboratory urine reference materials prior to shipment, nor do they freeze the sample for shipment. At the CTQ, if the urine sample has much sediment, the sample is acidified in the lab to free any cadmium in the precipitate.
For B2M, the urine sample should be collected directly into a polyethylene bottle previously washed with dilute nitric acid. The pH of the urine should be measured and adjusted to 8.0 with 0.1 N NaOH immediately following collection. Samples should be frozen and stored at -20°C until testing is performed. The B2M in the samples should be stable for 2 days when stored at 2-8°C, and for at least 2 months at -20°C. Repeated freezing and thawing should be avoided to prevent denaturing the B2M (Pharmacia 1990).
3.4.2 Recommendations for Evaluating Laboratories
Using standard error data and the results of proficiency testing obtained from CTQ, responsible physicians can make an informed choice of which laboratory to select to analyze biological samples. In general, laboratories with small standard errors and little disparity between target and measured values tend to make precise and accurate sample determinations. Estimates of precision provided to the physicians with each set of monitoring results can be compared to previously-reported proficiency and precision estimates. The latest precision estimates should be at least as small as the standard error reported previously by the laboratory. Moreover, there should be no indication that precision is deteriorating (i.e., increasing values for the precision estimates). If precision is deteriorating, physicians may decide to use another laboratory for these analyses. QA/QC information provided by the participating laboratories to physicians can, therefore, assist physicians in evaluating laboratory performance.
3.4.3 Use and Interpretation of Results
When the responsible physician has received the CDB, CDU and/or B2MU results, these results must be compared to the action levels discussed in the final rule for cadmium. The comparison of the sample results to action levels is straightforward. The measured value reported from the laboratory can be compared directly to the action levels; if the reported value exceeds an action level, the required actions must be initiated.
4.0 BACKGROUND
Cadmium is a naturally-occurring environmental contaminant to which humans are continually exposed in food, water, and air. The average daily intake of cadmium by the U.S. population is estimated to ben 10-20 mg/day. Most of this intake is via ingestion, for which absorption is estimated at 4-7% (Kowal et al. 1979). An additional nonoccupational source of cadmium is smoking tobacco; smoking a pack of cigarettes a day adds an additional 2-4 mg cadmium to the daily intake, assuming absorption via inhalation of 25-35% (Nordberg and Nordberg 1988; Friberg and Elinder 1988; Travis and Haddock 1980).
Exposure to cadmium fumes and dusts in an occupational setting where air concentrations are 20-50 mg/m3 results in an additional daily intake of several hundred micrograms (Friberg and Elinder 1988, p. 563). In such a setting, occupational exposure to cadmium occurs primarily via inhalation, although additional exposure may occur through the ingestion of material via contaminated hands if workers eat or smoke without first washing. Some of the particles that are inhaled initially may be ingested when the material is deposited in the upper respiratory tract, where it may be cleared by mucociliary transport and subsequently swallowed.
Cadmium introduced into the body through inhalation or ingestion is transported by the albumin fraction of the blood plasma to the liver, where it accumulates and is stored principally as a bound form complexed with the protein metallothionein. Metallothionein-bound cadmium is the main form of cadmium subsequently transported to the kidney; it is these 2 organs, the liver and kidney, in which the majority of the cadmium body burden accumulates. As much as one half of the total body burden of cadmium may be found in the kidneys (Nordberg and Nordberg 1988).
Once cadmium has entered the body, elimination is slow; about 0.02% of the body burden is excreted per day via urinary/fecal elimination. The whole-body half-life of cadmium is 10-35 years, decreasing slightly with increasing age (Travis and Haddock 1980).
The continual accumulation of cadmium is the basis for its chronic noncarcinogenic toxicity. This accumulation makes the kidney the target organ in which cadmium toxicity usually is first observed (Piscator 1964). Renal damage may occur when cadmium levels in the kidney cortex approach 200 mg/g wet tissue-weight (Travis and Haddock 1980).
The kinetics and internal distribution of cadmium in the body are complex, and depend on whether occupational exposure to cadmium is ongoing or has terminated. In general, cadmium in blood is related principally to recent cadmium exposure, while cadmium in urine reflects cumulative exposure (i.e., total body burden)(Lauwerys et al. 1976; Friberg and Elinder 1988).
4.1 Health Effects
Studies of workers in a variety of industries indicate that chronic exposure to cadmium may be linked to several adverse health effects including kidney dysfunction, reduced pulmonary function, chronic lung disease and cancer (Federal Register 1990). The primary sites for cadmium-associated cancer appear to be the lung and the prostate.
Cancer. Evidence for an association between cancer and cadmium exposure comes from both epidemiological studies and animal experiments. Pott (1965) found a statistically significant elevation in the incidence of prostate cancer among a cohort of cadmium workers. Other epidemiology studies also report an elevated incidence of prostate cancer; however, the increases observed in these other studies were not statistically significant (Meridian Research, Inc. 1989).
One study (Thun et al. 1985) contains sufficiently quantitative estimates of cadmium exposure to allow evaluation of dose-response relationships between cadmium exposure and lung cancer. A statistically significant excess of lung cancer attributed to cadmium exposure was found in this study, even after accounting for confounding variables such as coexposure to arsenic and smoking habits (Meridian Research, Inc. 1989).
Evidence for quantifying a link between lung cancer and cadmium exposure comes from a single study (Takenaka et al. 1983). In this study, dose-response relationships developed from animal data were extrapolated to humans using a variety of models. OSHA chose the multistage risk model for estimating the risk of cancer for humans using these animal data. Animal injection studies also suggest an association between cadmium exposure and cancer, particularly observations of an increased incidence of tumors at sites remote from the point of injection. The International Agency for Research on Cancer (IARC) (Supplement 7, 1987) indicates that this, and related, evidence is sufficient to classify cadmium as an animal carcinogen. However, the results of these injection studies cannot be used to quantify risks attendant to human occupational exposures due to differences in routes of exposure (Meridian Research, Inc. 1989).
Based on the above-cited studies, the U.S. Environmental Protection Agency (EPA) classifies cadmium as “B1,” a probable human carcinogen (USEPA 1985). IARC in 1987 recommended that cadmium be listed as a probable human carcinogen.
Kidney Dysfunction. The most prevalent nonmalignant effect observed among workers chronically exposed to cadmium is kidney dysfunction. Initially, such dysfunction is manifested by proteinuria (Meridian Research, Inc. 1989; Roth Associates, Inc. 1989). Proteinuria associated with cadmium exposure is most commonly characterized by excretion of low-molecular weight proteins (15,000-40,000 MW), accompanied by loss of electrolytes, uric acid, calcium, amino acids, and phosphate. Proteins commonly excreted include b-2-microglobulin (B2M), retinol-binding protein (RBP), immunoglobulin light chains, and lysozyme. Excretion of low molecular weight proteins is characteristic of damage to the proximal tubules of the kidney (Iwao et al. 1980).
Exposure to cadmium also may lead to urinary excretion of high-molecular weight proteins such as albumin, immunoglobulin G, and glycoproteins (Meridian Research, Inc. 1989; Roth Associates, Inc. 1989). Excretion of high-molecular weight proteins is indicative of damage to the glomeruli of the kidney. Bernard et al. (1979) suggest that cadmium-associated damage to the glomeruli and damage to the proximal tubules of the kidney develop independently of each other, but may occur in the same individual.
Several studies indicate that the onset of low-molecular weight proteinuria is a sign of irreversible kidney damage (Friberg et al. 1974; Roels et al. 1982; Piscator 1984; Elinder et al. 1985; Smith et al. 1986). For many workers, once sufficiently elevated levels of B2M are observed in association with cadmium exposure, such levels do not appear to return to normal even when cadmium exposure is eliminated by removal of the worker from the cadmium-contaminated work environment (Friberg, exhibit 29, 1990).
Some studies indicate that cadmium-induced proteinuria may be progressive; levels of B2MU increase even after cadmium exposure has ceased (Elinder et al. 1985). Other researchers have reached similar conclusions (Frieburg testimony, OSHA docket exhibit 29, Elinder testimony, OSHA docket exhibit 55, and OSHA docket exhibits 8-86B). Such observations are not universal, however (Smith et al. 1986; Tsuchiya 1976). Studies in which proteinuria has not been observed, however, may have initiated the reassessment too early (Meridian Research, Inc.1989; Roth Associates, Inc. 1989; Roels 1989).
A quantitative assessment of the risks of developing kidney dysfunction as a result of cadmium exposure was performed using the data from Ellis et al. (1984) and Falck et al. (1983). Meridian Research, Inc. (1989) and Roth Associates, Inc. (1989) employed several mathematical models to evaluate the data from the 2 studies, and the results indicate that cumulative cadmium exposure levels between 5 and 100 mg-years/m3 correspond with a one-in-a-thousand probability of developing kidney dysfunction.
When cadmium exposure continues past the onset of early kidney damage (manifested as proteinuria), chronic nephrotoxicity may occur (Meridian Research, Inc. 1989; Roth Associates, Inc. 1989). Uremia, which is the loss of the glomerulus' ability to adequately filter blood, may result. This condition leads to severe disturbance of electrolyte concentrations, which may result in various clinical complications including atherosclerosis, hypertension, pericarditis, anemia, hemorrhagic tendencies, deficient cellular immunity, bone changes, and other problems. Progression of the disease may require dialysis or a kidney transplant.
Studies in which animals are chronically exposed to cadmium confirm the renal effects observed in humans (Friberg et al. 1986). Animal studies also confirm cadmium-related problems with calcium metabolism and associated skeletal effects, which also have been observed among humans. Other effects commonly reported in chronic animal studies include anemia, changes in liver morphology, immunosuppression and hypertension. Some of these effects may be associated with cofactors; hypertension, for example, appears to be associated with diet, as well as with cadmium exposure. Animals injected with cadmium also have shown testicular necrosis.
4.2 Objectives for Medical Monitoring
In keeping with the observation that renal disease tends to be the earliest clinical manifestation of cadmium toxicity, the final cadmium standard mandates that eligible workers must be medically monitored to prevent this condition (as well as cadmium-induced cancer). The objectives of medical-monitoring, therefore, are to: Identify workers at significant risk of adverse health effects from excess, chronic exposure to cadmium; prevent future cases of cadmium-induced disease; detect and minimize existing cadmium-induced disease; and, identify workers most in need of medical intervention.
The overall goal of the medical monitoring program is to protect workers who may be exposed continuously to cadmium over a 45-year occupational lifespan. Consistent with this goal, the medical monitoring program should assure that:
1. Current exposure levels remain sufficiently low to prevent the accumulation of cadmium body burdens sufficient to cause disease in the future by monitoring CDB as an indicator of recent cadmium exposure;
2. cumulative body burdens, especially among workers with undefined historical exposures, remain below levels potentially capable of leading to damage and disease by assessing CDU as an indicator of cumulative exposure to cadmium; and,
3. health effects are not occurring among exposed workers by determining B2MU as an early indicator of the onset of cadmium- induced kidney disease.
4.3 Indicators of Cadmium Exposure and Disease
Cadmium is present in whole blood bound to albumin, in erythrocytes, and as a metallothionein-cadmium complex. The metallothionein-cadmium complex that represents the primary transport mechanism for cadmium delivery to the kidney. CDB concentrations in the general, nonexposed population average 1 mg Cd/l whole blood, with smokers exhibiting higher levels (see Section 5.1.6). Data presented in Section 5.1.6 shows that 95% of the general population not occupationally exposed to cadmium have CDB levels less than 5 mg Cd/l.
If total body burdens of cadmium remain low, CDB concentrations indicate recent exposure (i.e., daily intake). This conclusion is based on data showing that cigarette smokers exhibit CDB concentrations of 2-7 mg/l depending on the number of cigarettes smoked per day (Nordberg and Nordberg 1988), while CDB levels for those who quit smoking return to general population values (approximately 1 mg/l) within several weeks (Lauwerys et al. 1976). Based on these observations, Lauwerys et al. (1976) concluded that CDB has a biological half-life of a few weeks to less than 3 months. As indicated in Section 3.1.6, the upper 95th percentile for CDB levels observed among those who are not occupationally exposed to cadmium is 5 mg/l, which suggests that the absolute upper limit to the range reported for smokers by Nordberg and Nordberg may have been affected by an extreme value (i.e., beyond 2s above the mean).
Among occupationally-exposed workers, the occupational history of exposure to cadmium must be evaluated to interpret CDB levels. New workers, or workers with low exposures to cadmium, exhibit CDB levels that are representative of recent exposures, similar to the general population. However, for workers with a history of chronic exposure to cadmium, who have accumulated significant stores of cadmium in the kidneys/liver, part of the CDB concentrations appear to indicate body burden. If such workers are removed from cadmium exposure, their CDB levels remain elevated, possibly for years, reflecting prior long-term accumulation of cadmium in body tissues. This condition tends to occur, however, only beyond some threshold exposure value, and possibly indicates the capacity of body tissues to accumulate cadmium which cannot be excreted readily (Friberg and Elinder 1988; Nordberg and Nordberg 1988).
CDU is widely used as an indicator of cadmium body burdens (Nordberg and Nordberg 1988). CDU is the major route of elimination and, when CDU is measured, it is commonly expressed either as mg Cd/l urine (unadjusted), mg Cd/l urine (adjusted for specific gravity), or mg Cd/g CRTU (see Section 5.2.1). The metabolic model for CDU is less complicated than CDB, since CDU is dependent in large part on the body (i.e., kidney) burden of cadmium. However, a small proportion of CDU still be attributed to recent cadmium exposure, particularly if exposure to high airborne concentrations of cadmium occurred. Note that CDU is subject to larger interindividual and day-to-day variations than CDB, so repeated measurements are recommended for CDU evaluations.
CDU is bound principally to metallothionein, regardless of whether the cadmium originates from metallothionein in plasma or from the cadmium pool accumulated in the renal tubules. Therefore, measurement of metallothionein in urine may provide information similar to CDU, while avoiding the contamination problems that may occur during collection and handling urine for cadmium analysis (Nordberg and Nordberg 1988). However, a commercial method for the determination of metallothionein at the sensitivity levels required under the final cadmium rule is not currently available; therefore, analysis of CDU is recommended.
Among the general population not occupationally exposed to cadmium, CDU levels average less than 1 mg/l (see Section 5.2.7). Normalized for creatinine (CRTU), the average CDU concentration of the general population is less than 1 mg/g CRTU. As cadmium accumulates over the lifespan, CDU increases with age. Also, cigarette smokers may eventually accumulate twice the cadmium body burden of nonsmokers, CDU is slightly higher in smokers than in nonsmokers, even several years after smoking cessation (Nordberg and Nordberg 1988). Despite variations due to age and smoking habits, 95% of those not occupationally exposed to cadmium exhibit levels of CDU less than 3 mg/g CRTU (based on the data presented in Section 5.2.7).
About 0.02% of the cadmium body burden is excreted daily in urine. When the critical cadmium concentration (about 200 ppm) in the kidney is reached, or if there is sufficient cadmium-induced kidney dysfunction, dramatic increases in CDU are observed (Nordberg and Nordberg 1988). Above 200 ppm, therefore, CDU concentrations cease to be an indicator of cadmium body burden, and are instead an index of kidney failure.
Proteinuria is an index of kidney dysfunction, and is defined by OSHA to be a material impairment. Several small proteins may be monitored as markers for proteinuria. Below levels indicative of proteinuria, these small proteins may be early indicators of increased risk of cadmium-induced renal tubular disease. Analytes useful for monitoring cadmium-induced renal tubular damage include:
1. b-2-Microglobulin (B2M), currently the most widely used assay for detecting kidney dysfunction, is the best characterized analyte available (Iwao et al. 1980; Chia et al. 1989);
2. Retinol Binding Protein (RBP) is more stable than B2M in acidic urine (i.e., B2M breakdown occurs if urinary pH is less than 5.5; such breakdown may result in false [i.e., low] B2M values [Bernard and Lauwerys, 1990]);
3. N-Acetyl-B-Glucosaminidase (NAG) is the analyte of an assay that is simple, inexpensive, reliable, and correlates with cadmium levels under 10 mg/g CRTU, but the assay is less sensitive than RBP or B2M (Kawada et al. 1989);
4. Metallothionein (MT) correlates with cadmium and B2M levels, and may be a better predictor of cadmium exposure than CDU and B2M (Kawada et al. 1989);
5. Tamm-Horsfall Glycoprotein (THG) increases slightly with elevated cadmium levels, but this elevation is small compared to increases in urinary albumin, RBP, or B2M (Bernard and Lauwerys 1990);
6. Albumin (ALB), determined by the biuret method, is not sufficiently sensitive to serve as an early indicator of the onset of renal disease (Piscator 1962);
7. Albumin (ALB), determined by the Amido Black method, is sensitive and reproducible, but involves a time-consuming procedure (Piscator 1962);
8. Glycosaminoglycan (GAG) increases among cadmium workers, but the significance of this effect is unknown because no relationship has been found between elevated GAG and other indices of tubular damage (Bernard and Lauwerys 1990);
9. Trehalase seems to increase earlier than B2M during cadmium exposure, but the procedure for analysis is complicated and unreliable (Iwata et al. 1988); and,
10. Kallikrein is observed at lower concentrations among cadmium-exposed workers than among normal controls (Roels et al. 1990).
Of the above analytes, B2M appears to be the most widely used and best characterized analyte to evaluate the presence/absence, as well as the extent of, cadmium-induced renal tubular damage (Kawada, Koyama, and Suzuki 1989; Shaikh and Smith 1984; Nogawa 1984). However, it is important that samples be collected and handled so as to minimize B2M degradation under acidic urine conditions.
The threshold value of B2MU commonly used to indicate the presence of kidney damage 300 mg/g CRTU (Kjellstrom et al. 1977a; Buchet et al. 1980; and Kowal and Zirkes 1983). This value represents the upper 95th or 97.5th percentile level of urinary excretion observed among those without tubular dysfunction (Elinder, exbt L-140-45, OSHA docket H057A). In agreement with these conclusions, the data presented in Section 5.3.7 of this protocol generally indicate that the level of 300 mg/g CRTU appears to define the boundary for kidney dysfuncion. It is not clear, however, that this level represents the upper 95th percentile of values observed among those who fail to demonstrate proteinuria effects.
Although elevated B2MU levels appear to be a fairly specific indicator of disease associated with cadmium exposure, other conditions that may lead to elevated B2MU levels include high fevers from influenza, extensive physical exercise, renal disease unrelated to cadmium exposure, lymphomas, and AIDS (Iwao et al. 1980; Schardun and van Epps 1987). Elevated B2M levels observed in association with high fevers from influenza or from extensive physical exercise are transient, and will return to normal levels once the fever has abated or metabolic rates return to baseline values following exercise. The other conditions linked to elevated B2M levels can be diagnosed as part of a properly- designed medical examination. Consequently, monitoring B2M, when accompanied by regular medical examinations and CDB and CDU determinations (as indicators of present and past cadmium exposure), may serve as a specific, early indicator of cadmium- induced kidney damage.
4.4 Criteria for Medical Monitoring of Cadmium Workers
Medical monitoring mandated by the final cadmium rule includes a combination of regular medical examinations and periodic monitoring of 3 analytes: CDB, CDU and B2MU. As indicated above, CDB is monitored as an indicator of current cadmium exposure, while CDU serves as an indicator of the cadmium body burden; B2MU) is assessed as an early marker of irreversible kidney damage and disease.
The final cadmium rule defines a series of action levels that have been developed for each of the 3 analytes to be monitored. These action levels serve to guide the responsible physician through a decision-making process. For each action level that is exceeded, a specific response is mandated. The sequence of action levels, and the attendant actions, are described in detail in the final cadmium rule.
Other criteria used in the medical decision-making process relate to tests performed during the medical examination (including a determination of the ability of a worker to wear a respirator). These criteria, however, are not affected by the results of the analyte determinations addressed in the above paragraphs and, consequently, will not be considered further in these guidelines.
4.5 Defining to Quality and Proficiency of the Analyte Determinations
As noted above in Sections 2 and 3, the quality of a measurement should be defined along with its value to properly interpret the results. Generally, it is necessary to know the accuracy and the precision of a measurement before it can be properly evaluated. The precision of the data from a specific laboratory indicates the extent to which the repeated measurements of the same sample vary within that laboratory. The accuracy of the data provides an indication of the extent to which these results deviate from average results determined from many laboratories performing the same measurement (i.e., in the absence of an independent determination of the true value of a measurement). Note that terms are defined operationally relative to the manner in which they will be used in this protocol. Formal definitions for the terms in italics used in this section can be found in the list of definitions (Section 2).
Another data quality criterion required to properly evaluate measurement results is the limit of detection of that measurement. For measurements to be useful, the range of the measurement which is of interest for biological monitoring purposes must lie entirely above the limit of detection defined for that measurement.
The overall quality of a laboratory's results is termed the performance of that laboratory. The degree to which a laboratory satisfies a minimum performance level is referred to as the proficiency of the laboratory. A successful medical monitoring program, therefore, should include procedures developed for monitoring and recording laboratory performance; these procedures can be used to identify the most proficient laboratories.
5.0 Overview of Medical Monitoring Tests for CDB, CDU, B2MU and CRTU
To evaluate whether available methods for assessing CDB, CDU, B2MU and CRTU are adequate for determining the parameters defined by the proposed action levels, it is necessary to review procedures available for sample collection, preparation and analysis. A variety of techniques for these purposes have been used historically for the determination of cadmium in biological matrices (including CDB and CDU), and for the determination of specific proteins in biological matrices (including B2MU). However, only the most recent techniques are capable of satisfying the required accuracy, precision and sensitivity (i.e., limit of detection) for monitoring at the levels mandated in the final cadmium rule, while still facilitating automated analysis and rapid processing.
5.1 Measuring Cadmium in Blood (CDB)
Analysis of biological samples for cadmium requires strict analytical discipline regarding collection and handling of samples. In addition to occupational settings, where cadmium contamination would be apparent, cadmium is a ubiquitous environmental contaminant, and much care should be exercised to ensure that samples are not contaminated during collection, preparation or analysis. Many common chemical reagents are contaminated with cadmium at concentrations that will interfere with cadmium analysis; because of the widespread use of cadmium compounds as colored pigments in plastics and coatings, the analyst should continually monitor each manufacturer's chemical reagents and collection containers to prevent contamination of samples.
Guarding against cadmium contamination of biological samples is particularly important when analyzing blood samples because cadmium concentrations in blood samples from nonexposed populations are generally less than 2 mg/l (2 ng/ml), while occupationally-exposed workers can be at medical risk to cadmium toxicity if blood concentrations exceed 5 mg/l (ACGIH 1991 and 1992). This narrow margin between exposed and unexposed samples requires that exceptional care be used in performing analytic determinations for biological monitoring for occupational cadmium exposure.
Methods for quantifying cadmium in blood have improved over the last 40 years primarily because of improvements in analytical instrumentation. Also, due to improvements in analytical techniques, there is less need to perform extensive multi-step sample preparations prior to analysis. Complex sample preparation was previously required to enhance method sensitivity (for cadmium), and to reduce interference by other metals or components of the sample.
5.1.1 Analytical Techniques Used to Monitor Cadmium in Biological Matrices

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A number of analytical techniques have been used for determining cadmium concentrations in biological materials. A summary of the characteristics of the most widely employed techniques is presented in Table 3. The technique most suitable for medical monitoring for cadmium is atomic absorption spectroscopy (AAS).
To obtain a measurement using AAS, a light source (i.e., hollow cathode or lectrode-free discharge lamp) containing the element of interest as the cathode, is energized and the lamp emits a spectrum that is unique for that element. This light source is focused through a sample cell, and a selected wavelength is monitored by a monochrometer and photodetector cell. Any ground state atoms in the sample that match those of the lamp element and are in the path of the emitted light may absorb some of the light and decrease the amount of light that reaches the photodetector cell. The amount of light absorbed at each characteristic wavelength is proportional to the number of ground state atoms of the corresponding element that are in the pathway of the light between the source and detector.
To determine the amount of a specific metallic element in a sample using AAS, the sample is dissolved in a solvent and aspirated into a high-temperature flame as an aerosol. At high temperatures, the solvent is rapidly evaporated or decomposed and the solute is initially solidified; the majority of the sample elements then are transformed into an atomic vapor. Next, a light beam is focused above the flame and the amount of metal in the sample can be determined by measuring the degree of absorbance of the atoms of the target element released by the flame at a characteristic wavelength.
A more refined atomic absorption technique, flameless AAS, substitutes an electrothermal, graphite furnace for the flame. An aliquot (10-100 ml) of the sample is pipetted into the cold furnace, which is then heated rapidly to generate an atomic vapor of the element.
AAS is a sensitive and specific method for the elemental analysis of metals; its main drawback is nonspecific background absorbtion and scattering of the light beam by particles of the sample as it decomposes at high temperatures; nonspecific absorbance reduces the sensitivity of the analytical method. The problem of nonspecific absorbance and scattering can be reduced by extensive sample pretreatment, such as ashing and/or acid digestion of the sample to reduce its organic content.
Current AAS instruments employ background correction devices to adjust electronically for background absorbtion and scattering. A common method to correct for background effects is to use a deuterium arc lamp as a second light source. A continuum light source, such as the deuterium lamp, emits a broad spectrum of wavelengths instead of specific wavelengths characteristic of a particular element, as with the hollow cathode tube. With this system, light from the primary source and the continuum source are passed alternately through the sample cell. The target element effectively absorbs light only from the primary source (which is much brighter than the continuum source at the characteristic wavelengths), while the background matrix absorbs and scatters light from both sources equally. Therefore, when the ratio of the two beams is measured electronically, the effect of nonspecific background absorption and scattering is eliminated. A less common, but more sophisticated, background correction system is based on the Zeeman effect, which uses a magnetically- activated light polarizer to compensate electronically for nonspecific absorbtion and scattering.
Atomic emission spectroscopy with inductively-coupled argon plasma (AES-ICAP) is widely used to analyze for metals. With this instrument, the sample is aspirated into an extremely hot argon plasma flame, which excites the metal atoms; emission spectra specific for the sample element then are generated. The quanta of emitted light passing through a monochrometer are amplified by photomultiplier tubes and measured by a photodetector to determine the amount of metal in the sample. An advantage of AES- ICAP over AAS is that multi-elemental analyses of a sample can be performed by simultaneously measuring specific elemental emission energies. However, AES-ICAP lacks the sensitivity of AAS, exhibiting a limit of detection which is higher than the limit of detection for graphite-furnace AAS (Table 3).
Neutron activation (NA) analysis and isotope dilution mass spectrometry (IDMS) are 2 additional, but highly specialized, methods that have been used for cadmium determinations. These methods are expensive because they require elaborate and sophisticated instrumentation.
NA analysis has the distinct advantage over other analytical methods of being able to determine cadmium body burdens in specific organs (e.g., liver, kidney) in vivo (Ellis et al. 1983). Neutron bombardment of the target transforms cadmium- 13 to cadmium-114, which promptly decays (< 10-14 sec) to its ground state, emitting gamma rays that are measured using large gamma detectors; appropriate shielding and instrumentation are required when using this method.
IDMS analysis, a definitive but laborious method, is based on the change in the ratio of 2 isotopes of cadmium (cadmium 111 and 112) that occurs when a known amount of the element (with an artificially altered ratio of the same isotopes [i.e., a cadmium 111 “spike”] is added to a weighed aliquot of the sample (Michiels and De Bievre 1986).
5.1.2 Methods Developed for CDB Determinations
A variety of methods have been used for preparing and analyzing CDB samples; most of these methods rely on one of the analytical techniques described above. Among the earliest reports, Princi (1947) and Smith et al. (1955) employed a colorimetric procedure to analyze for CDB and CDU. Samples were dried and digested through several cycles with concentrated mineral acids (HNO3 and H2SO4) and hydrogen peroxide (H2O2). The digest was neutralized, and the cadmium was complexed with diphenylthiocarbazone and extracted with chloroform. The dithizone-cadmium complex then was quantified using a spectrometer.
Colorimetric procedures for cadmium analyses were replaced by methods based on atomic absorption spectroscopy (AAS) in the early 1960s, but many of the complex sample preparation procedures were retained. Kjellstrom (1979) reports that in Japanese, American and Swedish laboratories during the early 1970s, blood samples were wet ashed with mineral acids or ashed at high temperature and wetted with nitric acid. The cadmium in the digest was complexed with metal chelators including diethyl dithiocarbamate (DDTC), ammonium pyrrolidine dithiocarbamate (APDC) or diphenylthiocarbazone (dithizone) in ammonia-citrate buffer and extracted with methyl isobutyl ketone (MIBK). The resulting solution then was analyzed by flame AAS or graphite- furnace AAS for cadmium determinations using deuterium-lamp background correction.
In the late 1970s, researchers began developing simpler preparation procedures. Roels et al. (1978) and Roberts and Clark (1986) developed simplified digestion procedures. Using the Roberts and Clark method, a 0.5 ml aliquot of blood is collected and transferred to a digestion tube containing 1 ml concentrated HNO3. The blood is then digested at 110oC for 4 hours. The sample is reduced in volume by continued heating, and 0.5 ml 30% H2O2 is added as the sample dries. The residue is dissolved in 5 ml dilute (1%) HNO3, and 20 ml of sample is then analyzed by graphite-furnace AAS with deuterium-background correction.
The current trend in the preparation of blood samples is to dilute the sample and add matrix modifiers to reduce background interference, rather than digesting the sample to reduce organic content. The method of Stoeppler and Brandt (1980), and the abbreviated procedure published in the American Public Health Association's (APHA) Methods for Biological Monitoring (1988), are straightforward and are nearly identical. For the APHA method, a small aliquot (50-300 ml) of whole blood that has been stabilized with ethylenediaminetetraacetate (EDTA) is added to 1.0 ml 1M HNO3, vigorously shaken and centrifuged. Aliquots (10-25 ml) of the supernatant then are then analyzed by graphite-furnace AAS with appropriate background correction.
Using the method of Stoeppler and Brandt (1980), aliquots (50-200 ml) of whole blood that have been stabilized with EDTA are pipetted into clean polystyrene tubes and mixed with 150-600 ml of 1 M HNO3. After vigorous shaking, the solution is centrifuged and a 10-25 ml aliquot of the supernatant then is analyzed by graphite-furnace AAS with appropriate background correction.
Claeys-Thoreau (1982) and DeBenzo et al. (1990) diluted blood samples at a ratio of 1:10 with a matrix modifier (0.2% Triton X-100, a wetting agent) for direct determinations of CDB. DeBenzo et al. also demonstrated that aqueous standards of cadmium, instead of spiked, whole-blood samples, could be used to establish calibration curves if standards and samples are treated with additional small volumes of matrix modifiers (i.e., 1% HNO3, 0.2% ammonium hydrogenphosphate and 1 mg/ml magnesium salts.)
These direct dilution procedures for CDB analysis are simple and rapid. Laboratories can process more than 100 samples a day using a dedicated graphite-furnace AAS, an auto-sampler, and either a Zeeman- or a deuterium-background correction system. Several authors emphasize using optimum settings for graphite-furnace temperatures during the drying, charring, and atomization processes associated with the flameless AAS method, and the need to run frequent QC samples when performing automated analysis.
5.1.3 Sample Collection and Handling
Sample collection procedures are addressed primarily to identify ways to minimize the degree of variability that may be introduced by sample collection during medical monitoring. It is unclear at this point the extent to which collection procedures contribute to variability among CDB samples. Sources of variation that may result from sampling procedures include time-of-day effects and introduction of external contamination during the collection process. To minimize these sources, strict adherence to a sample collection protocol is recommended. Such a protocol must include provisions for thorough cleaning of the site from which blood will be extracted; also, every effort should be made to collect samples near the same time of day. It is also important to recognize that under the recent OSHA blood-borne pathogens standard (29 CFR 1910.1030), blood samples and certain body fluids must be handled and treated as if they are infectious.
5.1.4 Best Achievable Performance
The best achievable performance using a particular method for CDB determinations is assumed to be equivalent to the performance reported by research laboratories in which the method was developed.
For their method, Roberts and Clark (1986) demonstrated a limit of detection of 0.4 mg Cd/l in whole blood, with a linear response curve from 0.4 to 16.0 mg Cd/l. They report a coefficient of variation (CV) of 6.7% at 8.0 mg/l.
The APHA (1988) reports a range of 1.0-25 mg/l, with a CV of 7.3% (concentration not stated). Insufficient documentation was available to critique this method.
Stoeppler and Brandt (1980) achieved a detection limit of 0.2 mg Cd/l whole blood, with a linear range of 0.4-12.0 mg Cd/l, and a CV of 15-30%, for samples at 1.0æg ml. Improved precision (CV of 3.8%) was reported for CDB concentrations at 9.3 mg/l.
5.1.5 General Method Performance
For any particular method, the performance expected from commercial laboratories may be somewhat lower than that reported by the research laboratory in which the method was developed. With participation in appropriate proficiency programs and use of a proper in-house QA/QC program incorporating provisions for regular corrective actions, the performance of commercial laboratories is expected to approach that reported by research laboratories. Also, the results reported for existing proficiency programs serve as a gauge of the likely level of performance that currently can be expected from commercial laboratories offering these analyses.
Weber (1988) reports on the results of the proficiency program run by the Centre de Toxicologie du Quebec (CTQ). As indicated previously, participants in that program receive 18 blood samples per year having cadmium concentrations ranging from 0.2-20 mg/l. Currently, 76 laboratories are participating in this program. The program is established for several analytes in addition to cadmium, and not all of these laboratories participate in the cadmium proficiency-testing program.
Under the CTQ program, cadmium results from individual laboratories are compared against the consensus mean derived for each sample. Results indicate that after receiving 60 samples (i.e., after participation for approximately three years), 60% of the laboratories in the program are able to report results that fall within ± 1 mg/l or 15% of the mean, whichever is greater. (For this procedure, the 15% criterion was applied to concentrations exceeding 7 mg/l.) On any single sample of the last 20 samples, the percentage of laboratories falling within the specified range is between 55 and 80%.
The CTQ also evaluates the performance of participating laboratories against a less severe standard: ± 2 mg/l or 15% of the mean, whichever is greater (Weber 1988); 90% of participating laboratories are able to satisfy this standard after approximately 3 years in the program. (The 15% criterion is used for concentrations in excess of 13 mg/l.) On any single sample of the last 15 samples, the percentage of laboratories falling within the specified range is between 80 and 95% (except for a single test for which only 60% of the laboratories achieved the desired performance).
Based on the data presented in Weber (1988), the CV for analysis of CDB is nearly constant at 20% for cadmium concentrations exceeding 5 mg/l, and increases for cadmium concentrations below 5 mg/l. At 2 mg/l, the reported CV rises to approximately 40%. At 1 mg/l, the reported CV is approximately 60%.
Participating laboratories also tend to overestimate concentrations for samples exhibiting concentrations less than 2 mg/l (see Figure 11 of Weber 1988). This problem is due in part to the proficiency evaluation criterion that allows reporting a minimum ± 2.0 mg/l for evaluated CDB samples. There is currently little economic or regulatory incentive for laboratories participating in the CTQ program to achieve greater accuracy for CDB samples containing cadmium at concentrations less than 2.0 mg/l, even if the laboratory has the experience and competency to distinguish among lower concentrations in the samples obtained from the CTQ.
The collective experience of international agencies and investigators demonstrate the need for a vigorous QC program to ensure that CDB values reported by participating laboratories are indeed reasonably accurate. As Friberg (1988) stated:
“Information about the quality of published data has often been lacking. This is of concern as assessment of metals in trace concentrations in biological media are fraught with difficulties from the collection, handling, and storage of samples to the chemical analyses. This has been proven over and over again from the results of interlaboratory testing and quality control exercises. Large variations in results were reported even from “experienced” laboratories.”
The UNEP/WHO global study of cadmium biological monitoring set a limit for CDB accuracy using the maximum allowable deviation method at Y=X±(0.1X+1) for a targeted concentration of 10 mg Cd/l (Friberg and Vahter 1983). The performance of participating laboratories over a concentration range of 1.5-12 mg/l was reported by Lind et al. (1987). Of the 3 QC runs conducted during 1982 and 1983, 1 or 2 of the 6 laboratories failed each run. For the years 1983 and 1985, between zero and 2 laboratories failed each of the consecutive QC runs.
In another study (Vahter and Friberg 1988), QC samples consisting of both external (unknown) and internal (stated) concentrations were distributed to laboratories participating in the epidemiology research. In this study, the maximum acceptable deviation between the regression analysis of reported results and reference values was set at Y=X±(0.05X+0.2) for a concentration range of 0.3-5.0  mg Cd/l. It is reported that only 2 of 5 laboratories had acceptable data after the first QC set, and only 1 of 5 laboratories had acceptable data after the second QC set. By the fourth QC set, however, all 5 laboratories were judged proficient.
The need for high quality CDB monitoring is apparent when the toxicological and biological characteristics of this metal are considered; an increase in CDB from 2 to 4 mg/l could cause a doubling of the cadmium accumulation in the kidney, a critical target tissue for selective cadmium accumulation (Nordberg and Nordberg 1988).
Historically, the CDC's internal QC program for CDB cadmium monitoring program has found achievable accuracy to be ± 10% of the true value at CDB concentrations > 5.0 mg/l (Paschal 1990). Data on the performance of laboratories participating in this program currently are not available.
5.1.6 Observed CDB Concentrations
As stated in Section 4.3, CDB concentrations are representative of ongoing levels of exposure to cadmium. Among those who have been exposed chronically to cadmium for extended periods, however, CDB may contain a component attributable to the general cadmium body burden.
5.1.6.1 CDB concentrations among unexposed samples
Numerous studies have been conducted examining CDB concentrations in the general population, and in control groups used for comparison with cadmium-exposed workers. A number of reports have been published that present erroneously high values of CDB (Nordberg and Nordberg 1988). This problem was due to contamination of samples during sampling and analysis, and to errors in analysis. Early AAS methods were not sufficiently sensitive to accurately estimate CDB concentrations.
Table 4 presents results of recent studies reporting CDB levels for the general U.S. population not exposed occupationally to cadmium. Other surveys of tissue cadmium using U.S. samples and conducted as part of a cooperative effort among Japan, Sweden and the U.S., did not collect CDB data because standard analytical methodologies were unavailable, and because of analytic problems (Kjellstrom 1979; SWRI 1978).

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Arithmetic and/or geometric means and standard deviations are provided in Table 4 for measurements among the populations defined in each study listed. The range of reported measurements and/or the 95% upper and lower confidence intervals for the means are presented when this information was reported in a study. For studies reporting either an arithmetic or geometric standard deviation along with a mean, the lower and upper 95th percentile for the distribution also were derived and reported in the table.
The data provided in Table 4 from Kowal et al. (1979) are from studies conducted between 1974 and 1976 evaluating CDB levels for the general population in Chicago, and are considered to be representative of the U.S. population. These studies indicate that the average CDB concentration among those not occupationally exposed to cadmium is approximately 1 mg/l.
In several other studies presented in Table 4, measurements are reported separately for males and females, and for smokers and nonsmokers. The data in this table indicate that similar CDB levels are observed among males and females in the general population, but that smokers tend to exhibit higher CDB levels than nonsmokers. Based on the Kowal et al. (1979) study, smokers not occupationally exposed to cadmium exhibit an average CDB level of 1.4 mg/l.
In general, nonsmokers tend to exhibit levels ranging to 2 mg/l, while levels observed among smokers range to 5æg/l. Based on the data presented in Table 4, 95% of those not occupationally exposed to cadmium exhibit CDB levels less than 5 mg/l.
5.1.6.2 CDB concentrations among exposed workers.
Table 5 is a summary of results from studies reporting CDB levels among workers exposed to cadmium in the work place. As in Table 4, arithmetic and/or geometric means and standard deviations are provided if reported in the listed studies. The absolute range, or the 95% confidence interval around the mean, of the data in each study are provided when reported. In addition, the lower and upper 95th percentile of the distribution are presented for each study i which a mean and corresponding standard deviation were reported. Table 5 also provides estimates of the duration, and level, of exposure to cadmium in the work place if these data were reported in the listed studies. The data presented in Table 5 suggest that CDB levels are dose related. Sukuri et al. (1983) show that higher CDB levels are observed among workers experiencing higher work place exposure. This trend appears to be true of every the studies listed in the table.

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CDB levels reported in Table 5 are higher among those showing signs of cadmium-related kidney damage than those showing no such damage. Lauwerys et al. (1976) report CDB levels among workers with kidney lesions that generally are above the levels reported for workers without kidney lesions. Ellis et al. (1983) report a similar observation comparing workers with and without renal dysfunction, although they found more overlap between the 2 groups than Lauwerys et al.
The data in Table 5 also indicate that CDB levels are higher among those experiencing current occupational exposure than those who have been removed from such exposure. Roels et al. (1982) indicate that CDB levels observed among workers experiencing ongoing exposure in the work place are almost entirely above levels observed among workers removed from such exposure. This finding suggests that CDB levels decrease once cadmium exposure has ceased.
A comparison of the data presented in Tables 4 and 5 indicates that CDB levels observed among cadmium-exposed workers is significantly higher than levels observed among the unexposed groups. With the exception of 2 studies presented in Table 5 (1 of which includes former workers in the sample group tested), the lower 95th percentile for CDB levels among exposed workers are greater than 5 mg/l, which is the value of the upper 95th percentile for CDB levels observed among those who are not occupationally exposed. Therefore, a CDB level of 5 mg/l represents a threshold above which significant work place exposure to cadmium may be occurring.
5.1.7 Conclusions and Recommendations for CDB
Based on the above evaluation, the following recommendations are made for a CDB proficiency program.
5.1.7.1 Recommended method
The method of Stoeppler and Brandt (1980) should be adopted for analyzing CDB. This method was selected over other methods for its straightforward sample-preparation procedures, and because limitations of the method were described adequately. It also is the method used by a plurality of laboratories currently participating in the CTQ proficiency program. In a recent CTQ interlaboratory comparison report (CTQ 1991), analysis of the methods used by laboratories to measure CDB indicates that 46% (11 of 24) of the participating laboratories used the Stoeppler and Brandt methodology (HNO3 deproteinization of blood followed by analysis of the supernatant by GF-AAS). Other CDB methods employed by participating laboratories identified in the CTQ report include dilution of blood (29%), acid digestion (12%) and miscellaneous methods (12%).
Laboratories may adopt alternate methods, but it is the responsibility of the laboratory to demonstrate that the alternate methods meet the data quality objectives defined for the Stoeppler and Brandt method (see Section 5.1.7.2 below).
5.1.7.2 Data quality objectives
Based on the above evaluation, the following data quality objectives (DQOs) should facilitate interpretation of analytical results.
Limit of Detection. 0.5 mg/l should be achievable using the Stoeppler and Brandt method. Stoeppler and Brandt (1980) report a limit of detection equivalent to <0.2 mg/l in whole blood using 2 ml aliquots of deproteinized, diluted blood samples.
Accuracy. Initially, some of the laboratories performing CDB measurements may be expected to satisfy criteria similar to the less severe criteria specified by the CTQ program, i.e., measurements within 2 mg/l or 15% (whichever is greater) of the target value. About 60% of the laboratories enrolled in the CTQ program could meet this criterion on the first proficiency test (Weber 1988).
Currently, approximately 12 laboratories in the CTQ program are achieving an accuracy for CDB analysis within the more severe constraints of ±1 mg/l or 15% (whichever is greater). Later, as laboratories gain experience, they should achieve the level of accuracy exhibited by these 12 laboratories. The experience in the CTQ program has shown that, even without incentives, laboratories benefit from the feedback of the program; after they have analyzed 40-50 control samples from the program, performance improves to the point where about 60% of the laboratories can meet the stricter criterion of ±1 mg/l or 15% (Weber 1988). Thus, this stricter target accuracy is a reasonable DQO.
Precision. Although Stoeppler and Brandt (1980) suggest that a coefficient of variation (CV) near 1.3% (for a 10 mg/l concentration) is achievable for within-run reproducibility, it is recognized that other factors affecting within- and between- run comparability will increase the achievable CV. Stoeppler and Brandt (1980) observed CVs that were as high as 30% for low concentrations (0.4 mg/l), and CVs of less than 5% for higher concentrations.
For internal QC samples (see Section 3.3.1), laboratories should to attain an overall precision near 25%. For CDB samples with concentrations less than 2 mg/l, a target precision of 40% is reasonable, while precisions of 20% should be achievable for concentrations greater than 2 mg/l. Although these values are more strict than values observed in the CTQ interlaboratory program reported by Webber (1988), they are within the achievable limits reported by Stoeppler and Brandt (1980).
5.1.7.3 Quality assurance/quality control
Commercial laboratories providing measurement of CDB should adopt an internal QA/QC program that incorporates the following components: Strict adherence to the selected method, including all calibration requirements; regular incorporation of QC samples during actual runs; a protocol for corrective actions, and documentation of these actions; and, participation in an interlaboratory proficiency program. Note that the nonmandatory QA/QC program presented in Attachment 3 is based on the Stoeppler and Brandt method for CDB analysis. Should an alternate method be adopted, the laboratory should develop a QA/QC program satisfying the provisions of Section 3.3.1.
5.2 Measuring Cadmium in Urine (CDU)
As in the case of CDB measurement, proper determination of CDU requires strict analytical discipline regarding collection and handling of samples. Because cadmium is both ubiquitous in the environment and employed widely in coloring agents for industrial products that may be used during sample collection, preparation and analysis, care should be exercised to ensure that samples are not contaminated during the sampling procedure.
Methods for CDU determination share many of the same features as those employed for the determination of CDB. Thus, changes and improvements to methods for measuring CDU over the past 40 years parallel those used to monitor CDB. The direction of development has largely been toward the simplification of sample preparation techniques made possible because of improvements in analytic techniques.
5.2.1 Units of CDU Measurement
Procedures adopted for reporting CDU concentrations are not uniform. In fact, the situation for reporting CDU is more complicated than for CDB, where concentrations are normalized against a unit volume of whole blood.
Concentrations of solutes in urine vary with several biological factors (including the time since last voiding and the volume of liquid consumed over the last few hours); as a result, solute concentrations should be normalized against another characteristic of urine that represents changes in solute concentrations. The 2 most common techniques are either to standardize solute concentrations against the concentration of creatinine, or to standardize solute concentrations against the specific gravity of the urine. Thus, CDU concentrations have been reported in the literature as “uncorrected” concentrations of cadmium per volume of urine (i.e.,  mg Cd/l urine), “corrected” concentrations of cadmium per volume of urine at a standard specific gravity (i.e.,  mg Cd/l urine at a specific gravity of 1.020), or “corrected” mass concentration per unit mass of creatinine (i.e.,  mg Cd/g creatinine). (CDU concentrations [whether uncorrected or corrected for specific gravity, or normalized to creatinine] occasionally are reported in nanomoles [i.e., nmoles] of cadmium per unit mass or volume. In this protocol, these values are converted to  mg of cadmium per unit mass or volume using 89 nmoles of cadmium=10  mg.)
While it is agreed generally that urine values of analytes should be normalized for reporting purposes, some debate exists over what correction method should be used. The medical community has long favored normalization based on creatinine concentration, a common urinary constituent. Creatinine is a normal product of tissue catabolism, is excreted at a uniform rate, and the total amount excreted per day is constant on a day-to-day basis (NIOSH 1984b). While this correction method is accepted widely in Europe, and within some occupational health circles, Kowals (1983) argues that the use of specific gravity (i.e., total solids per unit volume) is more straightforward and practical (than creatinine) in adjusting CDU values for populations that vary by age or gender.
Kowals (1983) found that urinary creatinine (CRTU) is lower in females than males, and also varies with age. Creatinine excretion is highest in younger males (20-30 years old), decreases at middle age (50-60 years), and may rise slightly in later years. Thus, cadmium concentrations may be underestimated for some workers with high CRTU levels.
Within a single void urine collection, urine concentration of any analyte will be affected by recent consumption of large volumes of liquids, and by heavy physical labor in hot environments. The absolute amount of analyte excreted may be identical, but concentrations will vary widely so that urine must be corrected for specific gravity (i.e., to normalize concentrations to the quantity of total solute) using a fixed value (e.g., 1.020 or 1.024). However, since heavy-metal exposure may increase urinary protein excretion, there is a tendency to underestimate cadmium concentrations in samples with high specific gravities when specific-gravity corrections are applied.
Despite some shortcomings, reporting solute concentrations as a function of creatinine concentration is accepted generally; OSHA therefore recommends that CDU levels be reported as the mass of cadmium per unit mass of creatinine ( mg/g CTRU).
Reporting CDU as  mg/g CRTU requires an additional analytical process beyond the analysis of cadmium: Samples must be analyzed independently for creatinine so that results may be reported as the ratio of cadmium to creatinine concentrations found in the urine sample. Consequently, the overall quality of the analysis depends on the combined performance by a laboratory on these 2 determinations. The analysis used for CDU determinations is addressed below in terms of  mg Cd/l, with analysis of creatinine addressed separately. Techniques for assessing creatinine are discussed in Section 5.4.
Techniques for deriving cadmium as a ratio of CRTU, and the confidence limits for independent measurements of cadmium and CRTU, are provided in Section 3.3.3.
5.2.2 Analytical Techniques Used to Monitor CDU
Analytical techniques used for CDU determinations are similar to those employed for CDB determinations; these techniques are summarized in Table 3. As with CDB monitoring, the technique most suitable for CDU determinations is atomic absorption spectroscopy (AAS). AAS methods used for CDU determinations typically employ a graphite furnace, with background correction made using either the deuterium-lamp or Zeeman techniques; Section 5.1.1 provides a detailed description of AAS methods.
5.2.3 Methods Developed for CDU Determinations
Princi (1947), Smith et al. (1955), Smith and Kench (1957), and Tsuchiya (1967) used colorimetric procedures similar to those described in the CDB section above to estimate CDU concentrations. In these methods, urine (50 ml) is reduced to dryness by heating in a sand bath and digested (wet ashed) with mineral acids. Cadmium then is complexed with dithiazone, extracted with chloroform and quantified by spectrophotometry. These early studies typically report reagent blank values equivalent to 0.3  mg Cd/l, and CDU concentrations among nonexposed control groups at maximum levels of 10  mg Cd/l--erroneously high values when compared to more recent surveys of cadmium concentrations in the general population.
By the mid-1970s, most analytical procedures for CDU analysis used either wet ashing (mineral acid) or high temperatures (>400oC) to digest the organic matrix of urine, followed by cadmium chelation with APDC or DDTC solutions and extraction with MIBK. The resulting aliquots were analyzed by flame or graphite-furnace AAS (Kjellstrom 1979).
Improvements in control over temperature parameters with electrothermal heating devices used in conjunction with flameless AAS techniques, and optimization of temperature programs for controlling the drying, charring, and atomization processes in sample analyses, led to improved analytical detection of diluted urine samples without the need for sample digestion or ashing. Roels et al. (1978) successfully used a simple sample preparation, dilution of 1.0 ml aliquots of urine with 0.1 N HNO3, to achieve accurate low-level determinations of CDU.
In the method described by Pruszkowska et al. (1983), which has become the preferred method for CDU analysis, urine samples were diluted at a ratio of 1:5 with water; diammonium hydrogenphosphate in dilute HNO3 was used as a matrix modifier. The matrix modifier allows for a higher charring temperature without loss of cadmium through volatilization during pre-atomization. This procedure also employs a stabilized temperature platform in a graphite furnace, while nonspecific background absorbtion is corrected using the Zeeman technique. This method allows for an absolute detection limit of approximately 0.04  mg Cd/l urine.
5.2.4 Sample Collection and Handling
Sample collection procedures for CDU may contribute to variability observed among CDU measurements. Sources of variation attendant to sampling include time-of-day, the interval since ingestion of liquids, and the introduction of external contamination during the collection process. Therefore, to minimize contributions from these variables, strict adherence to a sample-collection protocol is recommended. This a protocol should include provisions for normalizing the conditions under which urine is collected. Every effort also should be made to collect samples during the same time of day.
Collection of urine samples from an industrial work force for biological monitoring purposes usually is performed using “spot” (i.e., single-void) urine with the pH of the sample determined immediately. Logistic and sample-integrity problems arise when efforts are made to collect urine over long periods (e.g., 24 hrs). Unless single-void urines are used, there are numerous opportunities for measurement error because of poor control over sample collection, storage and environmental contamination.
To minimize the interval during which sample urine resides in the bladder, the following adaption to the “spot” collection procedure is recommended: The bladder should first be emptied, and then a large glass of water should be consumed; the sample may be collected within an hour after the water is consumed.
5.2.5 Best Achievable Performance
Performance using a particular method for CDU determinations is assumed to be equivalent to the performance reported by the research laboratories in which the method was developed. Pruszkowska et al. (1983) report a detection limit of 0.04  mg/l CDU, with a CV of <4%between0-5  mg/l.The CDC reports a minimum CDU detection limit of 0.07  mg/l using a modified method based on Pruszkowska et al. (1983). No CV is stated in this protocol; the protocol contains only rejection criteria for internal QC parameters used during accuracy determinations with known standards (Attachment 8 of exhibit 106 of OSHA docket H057A). Stoeppler and Brandt (1980) report a CDU detection limit of 0.2  mg/l for their methodology.
5.2.6 General Method Performance
For any particular method, the expected initial performance from commercial laboratories may be somewhat lower than that reported by the research laboratory in which the method was developed. With participation in appropriate proficiency programs, and use of a proper in-house QA/QC program incorporating provisions for regular corrective actions, the performance of commercial laboratories may be expected to improve and approach that reported by a research laboratories. The results reported for existing proficiency programs serve to specify the initial level of performance that likely can be expected from commercial laboratories offering analysis using a particular method.
Weber (1988) reports on the results of the CTQ proficiency program, which includes CDU results for laboratories participating in the program. Results indicate that after receiving 60 samples (i.e., after participating in the program for approximately 3 years), approximately 80% of the participating laboratories report CDU results ranging between ± 2 mg/l or 15% of the consensus mean, whichever is greater. On any single sample of the last 15 samples, the proportion of laboratories falling within the specified range is between 75 and 95%, except for a single test for which only 60% of the laboratories reported acceptable results. For each of the last 15 samples, approximately 60% of the laboratories reported results within ± 1  mg or 15% of the mean, whichever is greater. The range of concentrations included in this set of samples was not reported.
Another report from the CTQ (1991) summarizes preliminary CDU results from their 1991 interlaboratory program. According to the report, for 3 CDU samples with values of 9.0, 16.8, 31.5  mg/l, acceptable results (target ± 2  mg/l) were achieved by only 44-52% of the 34 laboratories participating in the CDU program. The overall CVs for these 3 CDU samples among the 34 participating laboratories were 31%, 25%, and 49%, respectively. The reason for this poor performance has not been determined.
A more recent report from the CTQ (Weber, private communication) indicates that 36% of the laboratories in the program have been able to achieve the target of ± 1  mg/l or 15% for more than 75% of the samples analyzed over the last 5 years, while 45% of participating laboratories achieved a target of ± 2  mg/l or 15% for more than 75% of the samples analyzed over the same period.
Note that results reported in the interlaboratory programs are in terms of  mg Cd/l of urine, unadjusted for creatinine. The performance indicated, therefore, is a measure of the performance of the cadmium portion of the analyses, and does not include variation that may be introduced during the analysis of CRTU.
5.2.7 Observed CDU Concentrations
Prior to the onset of renal dysfunction, CDU concentrations provide a general indication of the exposure history (i.e., body burden) (see Section 4.3). Once renal dysfunction occurs, CDU levels appear to increase and are no longer indicative solely of cadmium body burden (Friberg and Elinder 1988).
5.2.7.1 Range of CDU concentrations observed among unexposed samples
Surveys of CDU concentrations in the general population were first reported from cooperative studies among industrial countries (i.e., Japan, U.S. and Sweden) conducted in the mid-1970s. In summarizing these data, Kjellstrom (1979) reported that CDU concentrations among Dallas, Texas men (age range: 9-59 years; smokers and nonsmokers) varied from 0.11-1.12  mg/l (uncorrected for creatinine or specific gravity). These CDU concentrations are intermediate between population values found in Sweden (range: 0.11-0.80  mg/l) and Japan (range: 0.14-2.32  mg/l).
Kowal and Zirkes (1983) reported CDU concentrations for almost 1,000 samples collected during 1978-79 from the general U.S. adult population (i.e., nine states; both genders; ages 20-74 years). They report that CDU concentrations are lognormally distributed; low levels predominated, but a small proportion of the population exhibited high levels. These investigators transformed the CDU concentrations values, and reported the same data 3 different ways:  mg/l urine (unadjusted),  mg/l (specific gravity adjusted to 1.020), and  mg/g CRTU. These data are summarized in Tables 6 and 7.
Based on further statistical examination of these data, including the lifestyle characteristics of this group, Kowal (1988) suggested increased cadmium absorption (i.e., body burden) was correlated with low dietary intakes of calcium and iron, as well as cigarette smoking.
CDU levels presented in Table 6 are adjusted for age and gender. Results suggest that CDU levels may be slightly different among men and women (i.e., higher among men when values are unadjusted, but lower among men when the values are adjusted, for specific gravity or CRTU). Mean differences among men and women are small compared to the standard deviations, and therefore may not be significant. Levels of CDU also appear increase with age. The data in Table 6 suggest as well that reporting CDU levels adjusted for specific gravity or as a function of CRTU results in reduced variability.

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The data in the Table 6 indicate the geometric mean of CDU levels observed among the general population is 0.52 mg Cd/l urine (unadjusted), with a geometric standard deviation of 3.0. Normalized for creatinine, the geometric mean for the population is 0.66 mg/g CRTU, with a geometric standard deviation of 2.7. Table 7 provides the distributions of CDU concentrations for the general population studied by Kowal and Zirkes. The data in this table indicate that 95% of the CDU levels observed among those not occupationally exposed to cadmium are below 3 mg/g CRTU.
5.2.7.2 Range of CDU concentrations observed among exposed workers
Table 8 is a summary of results from available studies of CDU concentrations observed among cadmium-exposed workers. In this table, arithmetic and/or geometric means and standard deviations are provided if reported in these studies. The absolute range for the data in each study, or the 95% confidence interval around the mean of each study, also are provided when reported. The lower and upper 95th percentile of the distribution are presented for each study in which a mean and corresponding standard deviation were reported. Table 8 also provides estimates of the years of exposure, and the levels of exposure, to cadmium in the work place if reported in these studies. Concentrations reported in this table are in  mg/g CRTU, unless otherwise stated.
Data in Table 8 from Lauwerys et al. (1976) and Ellis et al. (1983) indicate that CDU concentrations are higher among those exhibiting kidney lesions or dysfunction than among those lacking these symptoms. Data from the study by Roels et al. (1982) indicate that CDU levels decrease among workers removed from occupational exposure to cadmium in comparison to workers experiencing ongoing exposure. In both cases, however, the distinction between the 2 groups is not as clear as with CDB; there is more overlap in CDU levels observed among each of the paired populations than is true for corresponding CDB levels. As with CDB levels, the data in Table 8 suggest increased CDU concentrations among workers who experienced increased overall exposure.

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Although a few occupationally-exposed workers in the studies presented in Table 8 exhibit CDU levels below 3 mg/g CRTU, most of those workers exposed to cadmium levels in excess of the PEL defined in the final cadmium rule exhibit CDU levels above 3 mg/g CRTU; this level represents the upper 95th percentile of the CDU distribution observed among those who are not occupationally exposed to cadmium (Table 7).
The mean CDU levels reported in Table 8 among occupationally-exposed groups studied (except 2) exceed 3 mg/g CRTU. Correspondingly, the level of exposure reported in these studies (with 1 exception) are significantly higher than what workers will experience under the final cadmium rule. The 2 exceptions are from the studies by Mueller et al. (1989) and Kawada et al. (1990); these studies indicate that workers exposed to cadmium during pigment manufacture do not exhibit CDU levels as high as those levels observed among workers exposed to cadmium in other occupations. Exposure levels, however, were lower in the pigment manufacturing plants studied. Significantly, workers removed from occupational cadmium exposure for an average of 4 years still exhibited CDU levels in excess of 3 mg/g CRTU (Roels et al. 1982). In the single-exception study with a reported level of cadmium exposure lower than levels proposed in the final rule (i.e., the study of a pigment manufacturing plant by Kawada et al. 1990), most of the workers exhibited CDU levels less than 3 mg/g CRTU (i.e., the mean value was only 1.3 mg/g CRTU). CDU levels among workers with such limited cadmium exposure are expected to be significantly lower than levels reported on Table 8.
Based on the above data, a CDU level of 3 mg/g CRTU appear to represent a threshold above which significant work place exposure to cadmium occurs over the work span of those being monitored. Note that this threshold is not as distinct as the corresponding threshold described for CDB. In general, the variability associated with CDU measurements among exposed workers appears to be higher than the variability associated with CDB measurements among similar workers.
5.2.8 Conclusions and Recommendations for CDU
The above evaluation supports the following recommendations for a CDU proficiency program. These recommendations address only sampling and analysis procedures for CDU determinations specifically, which are to be reported as an unadjusted m/g Cd/l urine. Normalizing this result to creatinine requires a second analysis for CRTU so that the ratio of the 2 measurements can be obtained. Creatinine analysis is addressed in Section 5.4. Formal procedures for combining the 2 measurements to derive a value and a confidence limit for CDU in mg/g CRTU are provided in Section 3.3.3.
5.2.8.1 Recommended method
The method of Pruszkowska et al. (1983) should be adopted for CDU analysis. This method is recommended because it is simple, straightforward and reliable (i.e., small variations in experimental conditions do not affect the analytical results).
A synopsis of the methods used by laboratories to determine CDU under the interlaboratory program administered by the CTQ (1991) indicates that more than 78% (24 of 31) of the participating laboratories use a dilution method to prepare urine samples for CDU analysis. Laboratories may adopt alternate methods, but it is the responsibility of the laboratory to demonstrate that the alternate methods provide results of comparable quality to the Pruszkowska method.
5.2.8.2 Data quality objectives
The following data quality objectives should facilitate interpretation of analytical results, and are achievable based on the above evaluation.
Limit of Detection. A level of 0.5 mg/l (i.e., corresponding to a detection limit of 0.5 mg/g CRTU, assuming 1 g CRT/l urine) should be achievable. Pruszkowska et al. (1983) achieved a limit of detection of 0.04 mg/l for CDU based on the slope the the curve for their working standards (0.35 pg Cd/0.0044, A signal=1% absorbance using GF-AAS).
The CDC reports a minimum detection limit for CDU of 0.07 mg/l using a modified Pruszkowska method. This limit of detection was defined as 3 times the standard deviation calculated from 10 repeated measurements of a “low level” CDU test sample (Attachment 8 of exhibit 106 of OSHA docket H057A).
Stoeppler and Brandt (1980) report a limit of detection for CDU of 0.2 mg/l using an aqueous dilution (1:2) of the urine samples.
Accuracy. A recent report from the CTQ (Weber, private communication) indicates that 36% of the laboratories in the program achieve the target of ± 1 mg/l or 15% for more than 75% of the samples analyzed over the last 5 years, while 45% of participating laboratories achieve a target of ± 2 mg/l or 15% for more than 75% of the samples analyzed over the same period. With time and a strong incentive for improvement, it is expected that the proportion of laboratories successfully achieving the stricter level of accuracy should increase. It should be noted, however, these indices of performance do not include variations resulting from the ancillary measurement of CRTU (which is recommended for the proper recording of results). The low cadmium levels expected to be measured indicate that the analysis of creatinine will contribute relatively little to the overall variability observed among creatinine-normalized CDU levels (see Section 5.4). The initial target value for reporting CDU under this program, therefore, is set at ± 1 mg/g CRTU or 15% (whichever is greater).
Precision. For internal QC samples (which are recommended as part of an internal QA/QC program, Section 3.3.1), laboratories should attain an overall precision of 25%. For CDB samples with concentrations less than 2 mg/l, a target precision of 40% is, while precisions of 20% should be achievable for CDU concentrations greater than 2 mg/l. Although these values are more stringent than those observed in the CTQ interlaboratory program reported by Webber (1988), they are well within limits expected to be achievable for the method as reported by Stoeppler and Brandt (1980).
5.2.8.3 Quality assurance/quality control
Commercial laboratories providing CDU determinations should adopt an internal QA/QC program that incorporates the following components: Strict adherence to the selected method, including calibration requirements; regular incorporation of QC samples during actual runs; a protocol for corrective actions, and documentation of such actions; and, participation in an interlaboratory proficiency program. Note that the nonmandatory program presented in Attachment 1 as an example of an acceptable QA/QC program, is based on using the Pruszkowska method for CDU analysis. Should an alternate method be adopted by a laboratory, the laboratory should develop a QA/QC program equivalent to the nonmandatory program, and which satisfies the provisions of Section 3.3.1.
5.3 Monitoring b2-Microglobulin in Urine (B2MU)
As indicated in Section 4.3, B2MU appears to be the best of several small proteins that may be monitored as early indicators of cadmium-induced renal damage. Several analytic techniques are available for measuring B2M.
5.3.1 Units of B2MU Measurement
Procedures adopted for reporting B2MU levels are not uniform. In these guidelines, OSHA recommends that B2MU levels be reported as mg/g CRTU, similar to reporting CDU concentrations. Reporting B2MU normalized to the concentration of CRTU requires an additional analytical process beyond the analysis of B2M: Independent analysis for creatinine so that results may be reported as a ratio of the B2M and creatinine concentrations found in the urine sample. Consequently, the overall quality of the analysis depends on the combined performance on these 2 analyses. The analysis used for B2MU determinations is described in terms of mg B2M/l urine, with analysis of creatinine addressed separately. Techniques used to measure creatinine are provided in Section 5.4. Note that Section 3.3.3 provides techniques for deriving the value of B2M as function of CRTU, and the confidence limits for independent measurements of B2M and CRTU.
5.3.2 Analytical Techniques Used to Monitor B2MU
One of the earliest tests used to measure B2MU was the radial immunodiffusion technique. This technique is a simple and specific method for identification and quantitation of a number of proteins found in human serum and other body fluids when the protein is not readily differentiated by standard electrophoretic procedures. A quantitative relationship exists between the concentration of a protein deposited in a well that is cut into a thin agarose layer containing the corresponding monospecific antiserum, and the distance that the resultant complex diffuses. The wells are filled with an unknown serum and the standard (or control), and incubated in a moist environment at room temperature. After the optimal point of diffusion has been reached, the diameters of the resulting precipition rings are measured. The diameter of a ring is related to the concentration of the constituent substance. For B2MU determinations required in the medical monitoring program, this method requires a process that may be insufficient to concentrate the protein to levels that are required for detection.
Radioimmunoassay (RIA) techniques are used widely in immunologic assays to measure the concentration of antigen or antibody in body-fluid samples. RIA procedures are based on competitive-binding techniques. If antigen concentration is being measured, the principle underlying the procedure is that radioactive-labeled antigen competes with the sample's unlabeled antigen for binding sites on a known amount of immobile antibody. When these 3 components are present in the system, an equilibrium exists. This equilibrium is followed by a separation of the free and bound forms of the antigen. Either free or bound radioactive- labeled antigen can be assessed to determine the amount of antigen in the sample. The analysis is performed by measuring the level of radiation emitted either by the bound complex following removal of the solution containing the free antigen, or by the isolated solution containing the residual-free antigen. The main advantage of the RIA method is the extreme sensitivity of detection for emitted radiation and the corresponding ability to detect trace amounts of antigen. Additionally, large numbers of tests can be performed rapidly.
The enzyme-linked immunosorbent assay (ELISA) techniques are similar to RIA techniques except that nonradioactive labels are employed. This technique is safe, specific and rapid, and is nearly as sensitive as RIA techniques. An enzyme-labeled antigen is used in the immunologic assay; the labeled antigen detects the presence and quantity of unlabeled antigen in the sample. In a representative ELISA test, a plastic plate is coated with antibody (e.g., antibody to B2M). The antibody reacts with antigen (B2M) in the urine and forms an antigen-antibody complex on the plate. A second anti-B2M antibody (i.e., labeled with an enzyme) is added to the mixture and forms an antibody-antigen- antibody complex. Enzyme activity is measured spectrophotometrically after the addition of a specific chromogenic substrate which is activated by the bound enzyme. The results of a typical test are calculated by comparing the spectrophotometric reading of a serum sample to that of a control or reference serum. In general, these procedures are faster and require less laboratory work than other methods.
In a fluorescent ELISA technique (such as the one employed in the Pharmacia Delphia test for B2M), the labeled enzyme is bound to a strong fluorescent dye. In the Pharmacia Delphia test, an antigen bound to a fluorescent dye competes with unlabeled antigen in the sample for a predetermined amount of specific, immobile antibody. Once equilibrium is reached, the immobile phase is removed from the labeled antigen in the sample solution and washed; an enhancement solution then is added that liberates the fluorescent dye from the bound antigen-antibody complex. The enhancement solution also contains a chelate that complexes with the fluorescent dye in solution; this complex increases the fluorescent properties of the dye so that it is easier to detect.
To determine the quantity of B2M in a sample using the Pharmacia Delphia test, the intensity of the fluorescence of the enhancement solution is measured. This intensity is proportional to the concentration of labeled antigen that bound to the immobile antibody phase during the initial competition with unlabeled antigen from the sample. Consequently, the intensity of the fluorescence is an inverse function of the concentration of antigen (B2M) in the original sample. The relationship between the fluorescence level and the B2M concentration in the sample is determined using a series of graded standards, and extrapolating these standards to find the concentration of the unknown sample.
5.3.3 Methods Developed for B2MU Determinations
B2MU usually is measured by radioimmunoassay (RIA) or enzyme-linked immunosorbent assay (ELISA); however, other methods (including gel electrophoresis, radial immunodiffusion, and nephelometric assays) also have been described (Schardun and van Epps 1987). RIA and ELISA methods are preferred because they are sensitive at concentrations as low as micrograms per liter, require no concentration processes, are highly reliable and use only a small sample volume.
Based on a survey of the literature, the ELISA technique is recommended for monitoring B2MU. While RIAs provide greater sensitivity (typically about 1 mg/l, Evrin et al. 1971), they depend on the use of radioisotopes; use of radioisotopes requires adherence to rules and regulations established by the Atomic Energy Commission, and necessitates an expensive radioactivity counter for testing. Radioisotopes also have a relatively short half-life, which corresponds to a reduced shelf life, thereby increasing the cost and complexity of testing. In contrast, ELISA testing can be performed on routine laboratory spectrophotometers, do not necessitate adherence to additional rules and regulations governing the handling of radioactive substances, and the test kits have long shelf lives. Further, the range of sensitivity commonly achieved by the recommended ELISA test (i.e., the Pharmacia Delphia test) is approximately 100 mg/l (Pharmacia 1990), which is sufficient for monitoring B2MU levels resulting from cadmium exposure. Based on the studies listed in Table 7 (Section 5.3.7), the average range of B2M concentrations among the general, nonexposed population falls between 60 and 300 mg/g CRTU. The upper 95th percentile of distributions, derived from studies in Table 9 which reported standard deviations, range between 180 and 1,140 mg/g CRTU. Also, the Pharmacia Delphia test currently is the most widely used test for assessing B2MU.
5.3.4 Sample Collection and Handling
As with CDB or CDU, sample collection procedures are addressed primarily to identify ways to minimize the degree of variability introduced by sample collection during medical monitoring. It is unclear the extent to which sample collection contributes to B2MU variability. Sources of variation include time-of-day effects, the interval since consuming liquids and the quantity of liquids consumed, and the introduction of external contamination during the collection process. A special problem unique to B2M sampling is the sensitivity of this protein to degradation under acid conditions commonly found in the bladder. To minimize this problem, strict adherence to a sampling protocol is recommended. The protocol should include provisions for normalizing the conditions under which the urine is collected. Clearly, it is important to minimize the interval urine spends in the bladder. It also is recommended that every effort be made to collect samples during the same time of day.
Collection of urine samples for biological monitoring usually is performed using “spot” (i.e., single-void) urine. Logistics and sample integrity become problems when efforts are made to collect urine over extended periods (e.g., 24 hrs). Unless single-void urines are used, numerous opportunities exist for measurement error because of poor control over sample collection, storage and environmental contamination.
To minimize the interval that sample urine resides in the bladder, the following adaption to the “spot” collection procedure is recommended: The bladder should be emptied and then a large glass of water should be consumed; the sample then should be collected within an hour after the the water is consumed.
5.3.5 Best Achievable Performance
The best achievable performance is assumed to be equivalent to the performance reported by the manufacturers of the Pharmacia Delphia test kits (Pharmacia 1990). According to the insert that comes with these kits, QC results should be within ± 2 SDs of the mean for each control sample tested; a CV of less than or equal to 5.2% should be maintained. The total CV reported for test kits is less than or equal to 7.2%.
5.3.6 General Method Performance
Unlike analyses for CDB and CDU, the Pharmacia Delphia test is standardized in a commercial kit that controls for many sources of variation. In the absence of data to the contrary, it is assumed that the achievable performance reported by the manufacturer of this test kit will serve as an achievable performance objective. The CTQ proficiency testing program for B2MU analysis is expected to use the performance parameters defined by the test kit manufacturer as the basis of the B2MU proficiency testing program.
Note that results reported for the test kit are expressed in terms of mg B2M/l of urine, and have not been adjusted for creatinine. The indicated performance, therefore, is a measure of the performance of the B2M portion of the analyses only, and does not include variation that may have been introduced during the analysis of creatinine.
5.3.7 Observed B2MU Concentrations
As indicated in Section 4.3, the concentration of B2MU may serve as an early indicator of the onset of kidney damage associated with cadmium exposure.
5.3.7.1 Range of B2MU concentrations among unexposed samples
Most of the studies listed in Table 9 report B2MU levels for those who were not occupationally exposed to cadmium. Studies noted in the second column of this table (which contain the footnote “d”) reported B2MU concentrations among cadmium-exposed workers who, nonetheless, showed no signs of proteinuria. These latter studies are included in this table because, as indicated in Section 4.3, monitoring B2MU is intended to provide advanced warning of the onset of kidney dysfunction associated with cadmium exposure, rather than to distinguish relative exposure. This table, therefore, indicates the range of B2MU levels observed among those who had no symptoms of renal dysfunction (including workers with none of these symptoms).

View Graphic
To the extent possible, the studies listed in Table 9 provide geometric means and geometric standard deviations for measurements among the groups defined in each study. For studies reporting a geometric standard deviation along with a mean, the lower and upper 95th percentile for these distributions were derived and reported in the table.

View Graphic
The data provided from 15 of the 19 studies listed in Table 9 indicate that the geometric mean concentration of B2M observed among those who were not occupationally exposed to cadmium is 70-170 mg/g CRTU. Data from the 4 remaining studies indicate that exposed workers who exhibit no signs of proteinuria show mean B2MU levels of 60-300 mg/g CRTU. B2MU values in the study by Thun et al. (1989), however, appear high in comparison to the other 3 studies. If this study is removed, B2MU levels for those who are not occupationally exposed to cadmium are similar to B2MU levels found among cadmium-exposed workers who exhibit no signs of kidney dysfunction. Although the mean is high in the study by Thun et al., the range of measurements reported in this study is within the ranges reported for the other studies.
Determining a reasonable upper limit from the range of B2M concentrations observed among those who do not exhibit signs of proteinuria is problematic. Elevated B2MU levels are among the signs used to define the onset of kidney dysfunction. Without access to the raw data from the studies listed in Table 9, it is necessary to rely on reported standard deviations to estimate an upper limit for normal B2MU concentrations (i.e., the upper 95th percentile for the distributions measured). For the 8 studies reporting a geometric standard deviation, the upper 95th percentiles for the distributions are 180-1140 mg/g CRTU. These values are in general agreement with the upper 95th percentile for the distribution (i.e., 631 mg/g CRTU) reported by Buchet et al. (1980). These upper limits also appear to be in general agreement with B2MU values (i.e., 100-690 mg/g CRTU) reported as the normal upper limit by Iwao et al. (1980), Kawada et al. (1989), Wibowo et al. (1982), and Schardun and van Epps (1987). These values must be compared to levels reported among those exhibiting kidney dysfunction to define a threshold level for kidney dysfunction related to cadmium exposure.
5.3.7.2 Range of B2MU concentrations among exposed workers
Table 10 presents results from studies reporting B2MU determinations among those occupationally exposed to cadmium in the work place; in some of these studies, kidney dysfunction was observed among exposed workers, while other studies did not make an effort to distinguish among exposed workers based on kidney dysfunction. As with Table 9, this table provides geometric means and geometric standard deviations for the groups defined in each study if available. For studies reporting a geometric standard deviation along with a mean, the lower and upper 95th percentiles for the distributions are derived and reported in the table.
The data provided in Table 10 indicate that the mean B2MU concentration observed among workers experiencing occupational exposure to cadmium (but with undefined levels of proteinuria) is 160-7400 mg/g CRTU. One of these studies reports geometric means lower than this range (i.e., as low as 71 mg/g CRTU); an explanation for this wide spread in average concentrations is not available.
Seven of the studies listed in Table 10 report a range of B2MU levels among those diagnosed as having renal dysfunction. As indicated in this table, renal dysfunction (proteinuria) is defined in several of these studies by B2MU levels in excess of 300 mg/g CRTU (see footnote “c” of Table 10); therefore, the range of B2MU levels observed in these studies is a function of the operational definition used to identify those with renal dysfunction. Nevertheless, a B2MU level of 300 mg/g CRTU appears to be a meaningful threshold for identifying those having early signs of kidney damage. While levels much higher than 300 mg/g CRTU have been observed among those with renal dysfunction, the vast majority of those not occupationally exposed to cadmium exhibit much lower B2MU concentrations (see Table 9). Similarly, the vast majority of workers not exhibiting renal dysfunction are found to have levels below 300 mg/g CRTU (Table 9).
The 300 mg/g CRTU level for B2MU proposed in the above paragraph has support among researchers as the threshold level that distinguishes between cadmium-exposed workers with and without kidney dysfunction. For example, in the guide for physicians who must evaluate cadmium-exposed workers written for the Cadmium Council by Dr. Lauwerys, levels of B2M greater than 200-300 mg/g CRTU are considered to require additional medical evaluation for kidney dysfunction (exhibit 8-447, OSHA docket H057A). The most widely used test for measuring B2M (i.e., the Pharmacia Delphia test) defines B2MU levels above 300 mg/l as abnormal (exhibit L-140-1, OSHA docket H057A).
Dr. Elinder, chairman of the Department of Nephrology at the Karolinska Institute, testified at the hearings on the proposed cadmium rule. According to Dr. Elinder (exhibit L-140-45, OSHA docket H057A), the normal concentration of B2MU has been well documented (Evrin and Wibell 1972; Kjellstrom et al. 1977a; Elinder et al. 1978, 1983; Buchet et al. 1980; Jawaid et al. 1983; Kowal and Zirkes, 1983). Elinder stated that the upper 95 or 97.5 percentiles for B2MU among those without tubular dysfunction is below 300 mg/g CRTU (Kjellstrom et al. 1977a; Buchet et al. 1980; Kowal and Zirkes, 1983). Elinder defined levels of B2M above 300æg/g CRTU as “slight” proteinuria.
5.3.8 Conclusions and Recommendations for B2MU
Based on the above evaluation, the following recommendations are made for a B2MU proficiency testing program. Note that the following discussion addresses only sampling and analysis for B2MU determinations (i.e., to be reported as an unadjusted mg B2M/l urine). Normalizing this result to creatinine requires a second analysis for CRTU (see Section 5.4) so that the ratio of the 2 measurements can be obtained.
5.3.8.1 Recommended method
The Pharmacia Delphia method (Pharmacia 1990) should be adopted as the standard method for B2MU determinations. Laboratories may adopt alternate methods, but it is the responsibility of the laboratory to demonstrate that alternate methods provide results of comparable quality to the Pharmacia Delphia method.
5.3.8.2 Data quality objectives
The following data quality objectives should facilitate interpretation of analytical results, and should be achievable based on the above evaluation.
Limit of Detection. A limit of 100 mg/l urine should be achievable, although the insert to the test kit (Pharmacia 1990) cites a detection limit of 150 mg/l; private conversations with representatives of Pharmacia, however, indicate that the lower limit of 100 mg/l should be achievable provided an additional standard of 100 mg/l B2M is run with the other standards to derive the calibration curve (Section 3.3.1.1). The lower detection limit is desirable due to the proximity of this detection limit to B2MU values defined for the cadmium medical monitoring program.
Accuracy. Because results from an interlaboratory proficiency testing program are not available currently, it is difficult to define an achievable level of accuracy. Given the general performance parameters defined by the insert to the test kits, however, an accuracy of ± 15% of the target value appears achievable.
Due to the low levels of B2MU to be measured generally, it is anticipated that the analysis of creatinine will contribute relatively little to the overall variability observed among creatinine-normalized B2MU levels (see Section 5.4). The initial level of accuracy for reporting B2MU levels under this program should be set at ± 15%.
Precision. Based on precision data reported by Pharmacia (1990), a precision value (i.e., CV) of 5% should be achievable over the defined range of the analyte. For internal QC samples (i.e., recommended as part of an internal QA/QC program, Section 3.3.1), laboratories should attain precision near 5% over the range of concentrations measured.
5.3.8.3 Quality assurance/quality control
Commercial laboratories providing measurement of B2MU should adopt an internal QA/QC program that incorporates the following components: Strict adherence to the Pharmacia Delphiad method, including calibration requirements; regular use of QC samples during routine runs; a protocol for corrective actions, and documentation of these actions; and, participation in an interlaboratory proficiency program. Procedures that may be used to address internal QC requirements are presented in Attachment 1. Due to differences between analyses for B2MU and CDB/CDU, specific values presented in Attachment 1 may have to be modified. Other components of the program (including characterization runs), however, can be adapted to a program for B2MU.
5.4 Monitoring Creatinine in Urine (CRTU)
Because CDU and B2MU should be reported relative to concentrations of CRTU, these concentrations should be determined in addition CDU and B2MU determinations.
5.4.1 Units of CRTU Measurement
CDU should be reported as mg Cd/g CRTU, while B2MU should be reported as mg B2M/g CRTU. To derive the ratio of cadmium or B2M to creatinine, CRTU should be reported in units of g crtn/l of urine. Depending on the analytical method, it may be necessary to convert results of creatinine determinations accordingly.
5.4.2 Analytical Techniques Used to Monitor CRTU
Of the techniques available for CRTU determinations, an absorbance spectrophotometric technique and a high-performance liquid chromatography (HPLC) technique are identified as acceptable in this protocol.
5.4.3 Methods Developed for CRTU Determinations
CRTU analysis performed in support of either CDU or B2MU determinations should be performed using either of the following 2 methods:
1. The Du Pont method (i.e., Jaffe method), in which creatinine in a sample reacts with picrate under alkaline conditions, and the resulting red chromofore is monitored (at 510 nm) for a fixed interval to determine the rate of the reaction; this reaction rate is proportional to the concentration of creatinine present in the sample (a copy of this method is provided in Attachment 2 of this protocol); or,
2. the OSHA SLC Technical Center (OSLTC) method, in which creatinine in an aliquot of sample is separated using an HPLC column equipped with a UV detector; the resulting peak is quantified using an electrical integrator (a copy of this method is provided in Attachment 3 of this protocol).
5.4.4 Sample Collection and Handling
CRTU samples should be segregated from samples collected for CDU or B2MU analysis. Sample-collection techniques have been described under Section 5.2.4. Samples should be preserved either to stabilize CDU (with HNO3) or B2MU (with NaOH). Neither of these procedures should adversely affect CRTU analysis (see Attachment 3).
5.4.5 General Method Performance
Data from the OSLTC indicate that a CV of 5% should be achievable using the OSLTC method (Septon, L private communication). The achievable accuracy of this method has not been determined.
Results reported in surveys conducted by the CAP (CAP 1991a, 1991b and 1992) indicate that a CV of 5% is achievable. The accuracy achievable for CRTU determinations has not been reported.
Laboratories performing creatinine analysis under this protocol should be CAP accredited and should be active participants in the CAP surveys.
5.4.6 Observed CRTU Concentrations
Published data suggest the range of CRTU concentrations is 1.0-1.6 g in 24-hour urine samples (Harrison 1987). These values are equivalent to about 1 g/l urine.
5.4.7 Conclusions and Recommendations for CRTU
5.4.7.1 Recommended method
Use either the Jaffe method (Attachment 2) or the OSLTC method (Attachment 3). Alternate methods may be acceptable provided adequate performance is demonstrated in the CAP program.
5.4.7.2 Data quality objectives
Limit of Detection. This value has not been formally defined; however, a value of 0.1 g/l urine should be readily achievable.
Accuracy. This value has not been defined formally; accuracy should be sufficient to retain accreditation from the CAP.
Precision. A CV of 5% should be achievable using the recommended methods.
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Sakurai H, Omae K, Toyama T, Higashi T, and Nakadate T. (1982). Cross-sectional study of pulmonary function in cadmium alloy workers. Scandanavian Journal of Work and Environmental Health, 8, 122-130.
Schardun G and van Epps L. (1987). B-2-microglobulin: Its significance in the evaluation of renal function. Kidney International, 32, 635-641.
Shaikh Z, and Smith L. (1984). Biological indicators of cadmium exposure and toxicity. Experentia, 40, 36-43.
Smith J and Kench J. (1957). Observations on urinary cadmium and protein excretion in men exposed to cadmium oxide dust and fume. British Journal of Industrial Medicine, 14, 240-245.
Smith J, Kench J, and Lane R. (1955). Determination of Cadmium in urine and observations on urinary cadmium and protein excretion in men exposed to cadmium oxide dust. British Journal of Industrial Medicine, 12, 698-701.
SWRI (Southwest Research Institute). (1978). The distribution of cadmium and other metals in human tissues. Health Effects Research Lab, Research Triangle Park, NC, Population Studies Division. NTIS No. PB-285-200.
Stewart M and Hughes E. (1981). Urinary B-2-microglobulin in the biological monitoring of cadmium workers. British Journal of Industrial Medicine, 38, 170-174.
Stoeppler K and Brandt M. (1980). Contributions to automated trace analysis. Part V. Determination of cadmium in whole blood and urine by electrothermal atomic absorption spectrophotometry. Fresenius' Zeitschrift fur Analytical Chemistry, 300, 372-380.
Takenaka et al. (1983). Carcinogencity of Cd Chloride Aerosols in White Rates. INCI 70: 367-373, 1983.
Thun M, Osorio A, Schober S, Hannon W, Lewis B, and Hal-- perin W. (1989). Nephropathy in cadmium workers: Assessment of risk from airborne occupational exposure to cadmium. British Journal of Industrial Medicine, 46, 689-697.
Thun M, Schnorr T, Smith A, Halperin W, and Lemen R. (1985). Mortality among a cohort of US cadmium production workers--an update. Journal of the National Cancer Institute, 74, 325-333.
Travis D and Haddock A. (1980). Interpretation of the observed age-dependency of cadmium body burdens in man. Environmental Research, 22, 46-60.
Tsuchiya K. (1967). Proteinuria of workers exposed to cadmium fume. Archives of Environmental Health, 14, 875-880.
Tsuchiya K. (1976). Proteinuria of cadmium workers. Journal of Occupational Medicine, 18, 463-470.
Tsuchiya K, Iwao S, Sugita M, Sakurai H. (1979). Increased urinary B-2-microglobulin in cadmium exposure: Dose-effect relationship and biological significance of B-2-microglobulin. Environmental Health Perspectives, 28, 147-153.
USEPA. (1985). Updated Mutagenicity and Carcinogenicity Assessments of Cd: Addendum to the Health Assessment Document for Cd (May 1981). Final Report. June 1985.
Vahter M and Friberg L. (1988). Quality control in integrated human exposure monitoring of lead and cadmium. Fresenius' Zeitschrift fur Analytical Chemistry, 332, 726-731.
Weber J. (1988). An interlaboratory comparison programme for several toxic substances in blood and urine. The Science of the Total Environment, 71, 111-123.
Weber J. (1991a). Accuracy and precision of trace metal determinations in biological fluids. In K. Subramanian, G. Iyengar, and K. Okamot (Eds.), Biological Trace Element Research-Multidisciplinary Perspectives, ACS Symposium Series 445. Washington, DC: American Chemical Society.
Weber J. (1991b). Personal communication about interlaboratory program and shipping biological media samples for cadmium analyses.
Wibowo A, Herber R, van Deyck W, and Zielhuis R. (1982). Biological assessment of exposure in factories with second degree usage of cadmium compounds. International Archives of Occupational Environmental Health, 49, 265-273.
ATTACHMENT 1: NONMANDATORY PROTOCOL FOR AN INTERNAL QUALITY ASSURANCE/QUALITY CONTROL PROGRAM
The following is an example of the type of internal quality assurance/quality control program that assures adequate control to satisfy mandatory OSHA requirements under this protocol. However, other approaches may also be acceptable.
As indicated in Section 3.3.1 of the protocol, the mandatory QA/QC program for CDB and CDU should address, at a minimum, the following:
o calibration;
o establishment of control limits;
o internal QC analyses and maintaining control; and
o corrective action protocols.
This illustrative program includes both initial characterization runs to establish the performance of the method and ongoing analysis of quality control samples intermixed with compliance samples to maintain control.
CALIBRATION
Before any analytical runs are conducted, the analytic instrument must be calibrated. This is to be done at the beginning of each day on which quality control samples and/or compliance samples are run. Once calibration is established, quality control samples or compliance samples may be run. Regardless of the type of samples run, every fifth sample must be a standard to assure that the calibration is holding.
Calibration is defined as holding if every standard is within plus or minus (±) 15% of its theoretical value. If a standard is more than plus or minus 15% of its theoretical value, then the run is out of control due to calibration error and the entire set of samples must either be reanalyzed after recalibrating or results should be recalculated based on a statistical curve derived from the measurement of all standards.
It is essential that the highest standard run is higher than the highest sample run. To assure that this is the case, it may be necessary to run a high standard at the end of the run, which is selected based on the results obtained over the course of the run.
All standards should be kept fresh, and as they get old, they should be compared with new standards and replaced.
INITIAL CHARACTERIZATION RUNS AND ESTABLISHING CONTROL
A participating laboratory should establish four pools of quality control samples for each of the analytes for which it wishes to be accredited. The concentrations of quality control samples within each pool are to be centered around each of the four target levels for the particular analyte identified in Section 4.4 of the protocol.
Within each pool, at least 4 quality control samples need to be established with varying concentrations ranging between plus or minus 50% of the target value of that pool. Thus for the medium-high cadmium in blood pool, the theoretical values of the quality control samples may range from 5 to 15 mg/l, (the target value is m 10 g/l). At least 4 unique theoretical values must be represented in this pool.
The range of theoretical values of plus or minus 50% of the target value of a pool means that there will be overlap of the pools. For example, the range of values for the medium-low pool for cadmium in blood is 3.5 to 10.5 mg/l while the range of values for the medium-high pool is 5 to 15 mg/l. Therefore, it is possible for a quality control sample from the medium-low pool to have a higher concentration of cadmium than a quality control sample from the medium-high pool.
Quality control samples may be obtained as commercially available reference materials, internally prepared, or both. Internally prepared samples should be well characterized and traced or compared to a reference material for which a consensus value for concentration is available. Levels of analyte in the quality control samples must be concealed from the analyst prior to the reporting of analytical results. Potential sources of materials that may be used to construct quality control samples are listed in Section 3.3.1 of the protocol.
Before any compliance samples are analyzed, control limits must be established. Control limits should be calculated for every pool of each analyte for which a laboratory seeks accreditation, and control charts should be kept for each pool of each analyte. A separate set of control charts and control limits should be established for each analytical instrument in a laboratory that will be used for analysis of compliance samples.
At the beginning of this QA/QC program, control limits should be based on the results of the analysis of 20 quality control samples from each pool of each analyte. For any given pool, the 20 quality control samples should be run on 20 different days. Although no more than one sample should be run from any single pool on a particular day, a laboratory may run quality control samples from different pools on the same day. This constitutes a set of initial characterization runs.
For each quality control sample analyzed, the value F/T (defined in the glossary) should be calculated. To calculate the control limits for a pool of an analyte, it is first necessary to calculate the mean, X, of the F/T values for each quality control sample in a pool and then to calculate its standard deviation ^s. Thus, for the control limit for a pool, X is calculated as:

View Graphic
and ^ s is calculated as

View Graphic
where N is the number of quality control samples run for a pool.
The control limit for a particular pool is then given by the mean plus or minus 3 standard deviations (X ± 3;s).
The control limits may be no greater than 40% of the mean F/T value. If three standard deviations are greater than 40% of the mean F/T value, then analysis of compliance samples may not begin1. Instead, an investigation into the causes of the large standard deviation should begin, and the inadequacies must be remedied. Then, control limits must be reestablished which will mean repeating the running 20 quality control samples from each pool over 20 days.

1Note that the value, “40%” may change over time as experience is gained with the program.
INTERNAL QUALITY CONTROL ANALYSES AND MAINTAINING CONTROL
Once control limits have been established for each pool of an analyte, analysis of compliance samples may begin. During any run of compliance samples, quality control samples are to be interspersed at a rate of no less than 5% of the compliance sample workload. When quality control samples are run, however, they should be run in sets consisting of one quality control sample from each pool. Therefore, it may be necessary, at times, to intersperse quality control samples at a rate greater than 5%.
There should be at least one set of quality control samples run with any analysis of compliance samples. At a minimum, for example, 4 quality control samples should be run even if only 1 compliance sample is run. Generally, the number of quality control samples that should be run are a multiple of four with the minimum equal to the smallest multiple of four that is greater than 5% of the total number of samples to be run. For example, if 300 compliance samples of an analyte are run, then at least 16 quality control samples should be run (16 is the smallest multiple of four that is greater than 15, which is 5% of 300).
Control charts for each pool of an analyte (and for each instrument in the laboratory to be used for analysis of compliance samples) should be established by plotting F/T versus date as the quality control sample results are reported. On the graph there should be lines representing the control limits for the pool, the mean F/T limits for the pool, and the theoretical F/T of 1.000. Lines representing plus or minus (±) 2s should also be represented on the charts. A theoretical example of a control chart is presented in Figure 1

View Graphic
All quality control samples should be plotted on the chart, and the charts should be checked for visual trends. If a quality control sample falls above or below the control limits for its pool, then corrective steps must be taken (see the section on corrective actions below). Once a laboratory's program has been established, control limits should be updated every 2 months, prior to sending OSHA the updated data required to maintain accreditation.
The updated control limits should be calculated from the results of the last 100 quality control samples run for each pool. If 100 quality control samples from a pool have not been run at the time of the update, then the limits should be based on as many as have been run provided at least 20 quality control samples from each pool have been run over 20 different days.
The trends that should be looked for on the control charts are:
1. 10 consecutive quality control samples falling above or below the mean;
2. 3 consecutive quality control samples falling more than 2s from the mean (above or below the 2s lines of the chart); or
3. the mean calculated to update the control limits falls more than 10% above or below the theoretical mean of 1.000.
If any of these trends is observed, then all analysis must be stopped, and an investigation into the causes of the errors must begin. Before the analysis of compliance samples may resume, the inadequacies must be remedied and the control limits must be reestablished for that pool of an analyte. Reestablishment of control limits will entail running 20 sets of quality control samples over 20 days.
Note that alternative procedures for defining internal quality control limits may also be acceptable. Limits may be based, for example, on proficiency testing, such as ± 1 mg or 15% of the mean (whichever is greater). These should be clearly defined.
CORRECTIVE ACTIONS
Corrective action is the term used to describe the identification and remediation of errors occurring within an analysis. Corrective action is necessary whenever the result of the analysis of any quality control sample falls outside of the established control limits. The steps involved may include simple things like checking calculations of basic instrument maintenance, or it may involve more complicated actions like major instrument repair. Whatever the source of error, it must be identified and corrected (and a Corrective Action Report (CAR) must be completed and sent to OSHA with the next reaccreditation).
To maintain accreditation, laboratories must report corrective actions to the OSHA Salt Lake Technical Center. A form to be used for reporting corrective actions is provided in Attachment 5 of the protocol.
Attachment 2:
CREATININE IN URINE (JAFFE PROCEDURE)
INTENDED USE: The CREA pack is used in the Du Pont ACAÒ discrete clinical analyzer to quantitatively measure creatinine in serum and urine.
SUMMARY: The CREA method employs a modification of the kinetic Jaffe reaction reported by Larsen. This method has been reported to be less susceptible than conventional methods to interference from non-creatinine, Jaffe-positive compounds.1
A split sample comparison between the CREA method and a conventional Jaffe procedure on AutoanalyzerÒ showed a good correlation. (See SPECIFIC PERFORMANCE CHARACTERISTICS).
Autoanalyzer,Ò is a registered trademark of Technicon Corp., Tarrytown, NY.
PRINCIPLES OF PROCEDURE: In the presence of a strong base such as NaOH, picrate reacts with creatinine to form a red chromophore. The rate of increasing absorbance at 510 nm due to the formation of this chromophore during a 17.07-second measurement period is directly proportional to the creatinine concentration in the sample.

View Graphic

REAGENTS:

	

View Graphic

a. Compartments are numbered 1-7, with compartment #7 located closest to pack fill position #2.

b. Nominal value at manufacture.

c. See PRECAUTIONS.
PRECAUTIONS: COMPARTMENT #6 CONTAINS 75 mL OF 10 N NaOH; AVOID CONTACT; SKIN IRRITANT; RINSE CONTACTED AREA WITH WATER.
USED PACKS CONTAIN HUMAN BODY FLUIDS; HANDLE WITH APPROPRIATE CARE.
FOR IN VITRO DIAGNOSTIC USE.
MIXING & DILUTING: Mixing and diluting are automatically performed by the ACAÒ discrete clinical analyzer. The sample cup must contain sufficient quantity to accommodate the sample volume plus the “dead volume”; precise cup filling is not required.

Sample Cup Volumes (mL)

	StandardMicrosystem

	AnalyzerDeadTotalDeadTotal

	II, III120300010500
	IV, SX120300030500
	V90300010500
	
STORAGE OF UNPROCESSED PACKS: Store at 2-8oC. Do not freeze. Do not expose to temperatures above 35o C or to direct sunlight.
EXPIRATION: Refer to EXPIRATION DATE on the tray label.
SPECIMEN COLLECTION: Serum or urine can be collected and stored by normal procedures.2
KNOWN INTERFERING SUBSTANCES3: Serum Protein Influence. Serum protein levels exert a direct influence on the CREA assay. The following should be taken into account when this method is used for urine samples and when it is calibrated:
Aqueous creatinine standards or urine specimens will give CREA results depressed by approximately 0.7 mg/dL [62 mmol/L]d and will be less precise than samples containing more than 3 g/dL [30 g/L] protein.
All urine specimens should be diluted with an albumin solution to give a final protein concentration of at least 3 g/dL [30 g/L]. Du Pont Enzyme Diluent (Cat. #790035-901) may be used for this purpose.
o High concentration of endrogenous bilirubin (>20 mg/dL [>342 mmol/L]) will give depressed CREA results (average depression 0.8 mg/dL [71 mmol/L]).4
o Grossly hemolyzed (hemoglobin100 mg/dL [>62 mol/L]) or visibly lipemic specimens may cause falsely elevated CREA results.5,6
o The following cephalosporin antibiotics do not interfere with the CREA method when present at the concentrations indicated. Systematic inaccuracies (bias) due to these substances are less than or equal to 0.1 mg/dL [8.84 mmol/L] at CREA concentrations of approximately 1 mg/dL [88 mmol/L].

PeakDrug
Serum Level7,8,9Concentration

AntibioticmgdL[mmolL]mgdL[mmolL]

Cephaloridine1.40.3256.0
Cephalexin0.6-2.00.2-0.6257.2
Cephamandole1.3-2.50.3-0.5254.9
Cephapirin2.00.4255.6
Cephradine1.5-2.00.4-0.6257.1
Cefazolin2.5-5.00.55-1.15011.0

o The following cephalosporin antibiotics have been shown to affect CREA results when present at the indicated concentrations. System inaccuracies (bias) due to these substances are greater that 0.1 mg/dL [8.84 mol/L] at CREA concentrations of:

PeakDrug
Serum Level7,8,9ConcentrationEffect

AntibioticmgdL[mmolL]mgdL[mmolL]

Cephalothin 1-60.2-1.510025.220-25
Cephoxitin2.00.55.01.235-40

o The single wavelength measurement used in this method eliminates interference from chromophores whose 510 nm absorbance is constant throughout the measurement period.
d. Systeme International d'unites (S.I. Units) are in brackets.
o Each laboratory should determine the acceptability of its own blood collection tubes and serum separation products. Variations in these products may exist between manufacturers and, at times, from lot to lot.
PROCEDURE:

TEST MATERIALS

II,IIIIV,SXV
Du PontDu PontDu Pont
ItemCat. #Cat. #Cat. #

ACAÒ CREA
Analytical
Test Pack701976901701976901701976901

Sample System
Kit710642901710642901713697901
or
Micro Sample
System Kit702694901710356901NA
and
Micro Sample 
System
Holders702785000NANA
DYLUXÒ
Photosensitive
Printer 
Paper700036000NANA
Thermal Printer
PaperNA710639901713645901
Du Pont
Purified
Water704209901710615901710815901
Cell Wash
Solution701864901710664901710864901

TEST STEPS
The operator  need only load the sample kit and appropriate test pack(s) into a properly prepared ACAÒ discrete clinical analyzer. It automatically advances the pack(s) through the test steps and prints a result(s). See the Instrument Manual of the ACAÒ analyzer for details of mechanical travel of the test pack(s).
o Preset Creatinine (CREA) Test Conditions
o Sample Volume: 200 mL
o Diluent: Purified Water
o Temperature: 37.0± 0.1oC
o Reaction Period: 29 seconds
o Type of Measurement: Rate
o Measurement Period: 17.07 seconds
o Wavelength: 510 nm
o Units: mg/dL [mmol/L]
CALIBRATION
The general calibration procedure is described in the Calibration/Verification chapter of the Manuals. The following information should be considered when calibrating the CREA method.
o Assay Range: 0-20 mg/mL[0-1768 mmol/L]e
o Reference Material: Protein containing primary standardsf or secondary calibrators such as Du Pont Elevated Chemistry Control (Cat. #790035903) and Normal Chemistry Control (Cat. #790035905)g
o Suggested Calibration levels: 1,5,20, mg/mL [88, 442, 1768 mmol/L]
o Calibration Scheme: 3 levels, 3 packs per level
o Frequency: Each new pack lot. Every 3 months for any one pack lot.
e. For the results in S.I. units [mmol/L] the conversion factory is 88.4.
f. Refer to the Creatinine Standard Preparation and Calibration Procedure available on request from a Du Pont Representative.
g. If the Du Pont Chemistry Controls are being used, prepare them according to the instructions on the product insert sheets.

Preset Creatinine (CREA) Test Conditions

ACAÒACAÒ
IIIII, IV, SX, V
 Item AnalyzerAnalyzer

Count byOne(1)NA
[Five (5)]
Decimal
 Point0.0 mg/dL000.0 mg/dL
 Location[000. mmol/L][000 mmol/L]
Assigned
 Starting999.8-1.000 E1
 Point or 
 Offset C0[9823.][-8.840 E2]
Scale Factor
 or0.20002.004 E-1h
 Assignedmg/dL/counth
Linear Term
 C1h[0.3536[1.772E1]
mmol/L/count]

h.The preset scale factor(linear term) was derived from the molar absorptivity of the indicator and is based on an absorbance to activity relationship (sensitivity) of 0.596 (mA/min)/(U/L). Due to small differences in filters and electronic components between instruments, the actual scale factor (linear term) may differ slightly from that given above.
QUALITY CONTROL
Two types of quality control procedures are recommended:
o General Instrument Check. Refer to the Filter Balance Procedure and the Absorbance Test Method described in the Instrument Manual. Refer also to the ABS Test Methodology literature.
o Creatinine Method Check. At least once daily run a CREA test on a solution of known creatinine activity such as an assayed control or calibration standard other than that used to calibrate the CREA method. For further details review the Quality Assurance Section of the Chemistry Manual. The result obtained should fall within acceptable limits defined by the day-to-day variability of the system as measured in the user's laboratory. (See SPECIFIC PERFORMANCE CHARACTERISTICS for guidance.) If the result falls outside the laboratory's acceptable limits, follow the procedure outlined in the Chemistry Troubleshooting Section of the Chemistry Manual.
A possible system malfunction is indicated when analysis of a sample with five consecutive test packs gives the following results:

LevelSD

1 mg/dL>0.15 mg/dL
[88 mmol/L][>13 mmol/L]
20 mg/dL>0.68 mg/dL
[1768 mmol/L][>60 mmol/L]
Refer to the procedure outlined in the Trouble Shooting Section of the Manual.
RESULTS
The ACAÒ analyzer automatically calculates and prints the CREA result in mg/dL [mmol/L].
LIMITATION OF PROCEDURE
Results >20 mg/dL [1768 mmol/L]:
o Dilute with suitable protein base diluent. Reassay. Correct for diluting before reporting.
The reporting system contains error messages to warn the operator of specific malfunctions. Any report slip containing a letter code or word immediately following the numerical value should not be reported. Refer to the Manual for the definition of error codes.
REFERENCE INTERVAL
SERUM:11,i Males - 0.8-1.3 md/dL [71-115 mmol/L] Females - 0.6-1.0 md/dL [53-88 mmol/L]
URINE12
Males - 0.6-2.5 g/24 hr [53-221 mmol/24 hr]Females - 0.6-1.5 g/24 hr [53-133 mmol/24 hr]
Each laboratory should establish its own reference intervals for CREA as performed on the analyzer.
i. Reference interval data obtained from 200 apparently healthy individuals (71 males, 129 females) between the ages of 19 and 72.
SPECIFIC PERFORMANCE CHARACTERISTICS

REPRODUCIBILITYK

Standard Deviation (% CV)

MaterialMeanWithin-RunBetween-Day

Lyophilized1.30.05 (3.7)0.05 (3.7)
Control[115][4.4][4.4]
Lyophilized20.60.12 (0.6)0.37 (1.8)
Control[1821][10.6][32.7]

CORRELATION
Regression Statistics1

ComparativeCorrelation

 MethodSlopeInterceptCoefficientn

AutoanalyzerÒ1.030.03[2.7]0.997260
					
j. ALL SPECIFIC PERFORMANCE CHARACTERISTICS tests were run after normal recommended equipment quality control checks were performed (see Instrument Manual).
k. Specimens at each level were analyzed in duplicate for twenty days. The within-run and between-day standard deviations were calculated by the analysis of variance method.
l. Model equation for regression statistics is: Result of ACAÒ Analyzer = Slope Comparative method result) + intercept
ASSAY RANGEm
0.0-20.0 mg/dl [0-1768 mmol]
m. See REPRODUCIBILITY for method performance within the assay range.
ANALYTICAL SPECIFICITY
See KNOWN INTERFERING SUBSTANCES section for details.
BIBLIOGRAPHY:
1Larsen, K, Clin Chem Acta 41, 209 (1972).
2Tietz, NW,  Fundamentals of Clinical Chemistry, W. B. Saunders Co., Philadelphia, PA, 1976, pp 47-52, 1211.
3Supplementary information pertaining to the effects of various drugs and patient conditions on in vivo or in vitro diagnostic levels can be found in “Drug Interferences with Clinical Laboratory Tests,” Clin. Chem  21 (5) (1975), and “Effects of Disease on Clinical Laboratory Tests,” Clin Chem, 26 (4) 1D-476D (1980).
4Watkins, R. Fieldkamp, SC, Thibert, RJ, and Zak, B, Clin Chem, 21, 1002 (1975).
5Kawas, EE, Richards, AH, and Bigger, R, An Evaluation of a Kinetic Creatinine Test for the Du Pont ACA, Du Pont Company, Willmington, DE (February 1973).n
6Westgard, JO, Effects of Hemolysis and Lipemia on ACA Creatinine Method,0.200 mL, Sample Size, Du Pont Company, Wilmington, DE (October 1972).
7Physicians' Desk Reference, Medical Economics Company, 33 Edition, 1979.
8Henry, JB, Clinical Diagnosis and Management by Laboratory Methods, W.B. Saunders Co., Philadelphia, PA 1979, Vol. III.
9Krupp, MA, Tierney, LM Jr., Jawetz, E, Roe, Rl, Camargo, CA, Physicians Handbook, Lange Medical Publications, Los Altos, CA, 1982 pp 635-636.
10Sarah, AJ, Koch, TR, Drusano, GL, Celoxitin Falsely Elevates Creatinine Levels, JAMA 247, 205-206 (1982).
11Gadsden, RH, and Phelps, CA, A Normal Range Study of Amylase in Urine and Serum on the Du Pont ACA, Du Pont Company, Wilmington, DE (March 1978)n
12Dicht, JJ, Reference Intervals for Serum Amylase and Urinary Creatinine on the Du Pont ACAÒ Discrete Clinical Analyzer, Du Pont Company, Wilimgton, DE (November 1984).
n.Reprints available from Du Pont Company, Diagonostic Systems.
Attachment 3
Analysis of Creatinine for the Normalization of Cadmium and Beta-2-Microglobulin Concentrations in Urine
Matrix: Urine
Target Concentration: 1.1 g/L (this amount is representative of creatinine concentrations found in urine).
Procedure: A 1.0 mL aliquot of urine is passed through a C18 SEP-PAK (Waters Associates). Approximately 30 mL of HPLC (high performance liquid chromatography) grade water is then run through the SEP-PAK. The resulting solution is diluted to volume in a 100-mL volumetric flask and analyzed by HPLC using an ultraviolet (UV) detector.
Special Requirements: After collection, samples should be appropriately stabilized for cadmium (Cd) analysis by using 10% high purity (with low Cd background levels) nitric acid (exactly 1.0 mL of 10% nitric acid per 10 mL of urine) or stabilized for Beta-2-Microglobulin (B2M) by taking to pH 7 with dilute NaOH (exactly 1.0 mL of 0.11 N NaOH per 10 mL of urine). If not immediately analyzed, the samples should be frozen and shipped by overnight mail in an insulated container.
Date: January 1992.
Chemists: David B. Armitage, Duane Lee, Organic Service Branch II, OSHA Technical Center, Salt Lake City, Utah.
1. General Discussion
1.1. Background
1.1.1. History or procedure
Creatinine has been analyzed by several methods in the past. The earliest methods were of the wet chemical type. As an example, creatinine reacts with sodium picrate in basic solution to form a red complex, which is then analyzed colorimetrically (Refs. 5.1 and 5.2).
Since industrial hygiene laboratories will be analyzing for Cd and B2M in urine, they will be normalizing those concentrations to the concentration of creatinine in urine. A literature search reveled several HPLC methods (Refs. 5.3., 5.4., 5.5. and 5.6) for creatinine in urine and because manu industrial hygiene laboratories have HPLC equipment, it was desirable to develop an industrial hygiene HPLC method for creatinine in urine. The method of Hausen, Fuchs, and Wachter was chosen as the starting point for method development, SEP-PAKs were used for sample clarification and cleanup in this method to protect the analytical column. The urine aliquot which has been passed through the SEP-PAK is then analyzed by reverse-phase HPLC using ion-pair techniques.
This method is very similar to that of Ogata and Taguchi (Ref. 5.6.) except they used centrifugation for sample clean-up. It is also of note that they did a comparison of their HPLC results to those of the Jaffe method (a picric acid method commonly used in the health care industry) and found a linear relationship of close to 1:1. This indicates that either HPLC or colorimetric methods may be used to measure creatinine concentrations in urine.
1.1.2. Physical properties (Ref 5.7.)
Molecular weight: 113.12
Molecular formula: C4-H7-N3-O
Chemical name: 2-amino-1.5-dihydro-1-methyl-4H-imidazol-4- one
CAS#: 60-27-5
Melting point: 300>C (decomposes)
Appearance: white powder
Solubility: soluble in water; slightly soluble in alcohol; practically insoluble in acetone, ether, and chloroform
Synonyms: 1-methylglycocyamidine, 1-methylhydation-2- imide
Structure: see Figure #1

View Graphic

Figure #1
1.2. Advantages
1.2.1. This method offers a simple, straightforward, and specific alternative method to the Jaffe method.
1.2.2. HPLC instrumentation is commonly found in many industrial hygiene laboratories.
2. Sample Stabilization Procedure
2.1. Apparatus Metal-free plastic container for urine sample.
2.2. Reagents
2.2.1. Stabilizing Solution-1) Nitric acid (10%, high purity with low Cd background levels) for stabilizing urine for Cd analysis or 2) NaOH, 0.11 N, for stabilizing urine for B2M analysis.
2.2.2. HPLC grade water
2.3. Technique
2.3.1. Stabilizing solution is added to the urine sample (see section 2.2.1.) The stabilizing solution should be such that for each 10 mL of urine, add exactly 1.0 mL of stabilizer solution. (Never add water or urine to acid or base. Always add acid or base to water or urine.) Exactly 1.0 mL of 0.11 N NaOH added to 10 mL of urine should result in a pH of 7. Or add 1.0 mL of 10% nitric acid to 10 mL of urine.
2.3.2. After sample collection seal the plastic bottle securely and wrap it with an appropriate seal. Urine samples should be frozen and then shipped by overnight mail (if shipping is necessary) in an insulted container. (Do not fill plastic bottle too full. This will allow for expansion of contents during the freezing process.)
2.4. The Effect of Preparation and Stabilization Techniques on Creatinine Concentrations
Three urine samples were prepared by making one sample acidic, not treating a second sample, and adjusting a third sample to pH 7. The samples were analyzed in duplicate by two different procedures. For the first procedure a 1.0 mL aliquot of urine was put in a 100-mL volumetric flask, diluted to volume with HPLC grade water, and then analyzed directly on an HPLC. The other procedure used SEP-PAKs. The SEP-PAK was rinsed with approximately 5 mL of methanol followed by approximately 10 mL of HPLC grade water and both rinses were discarded. Then 1.0 mL of the urine sample was put through the SEP-PAK, followed by 30 mL of HPLC grade water. The urine and water were transferred to a 100-mL volumetric flask, diluted to volume with HPLC grade water and analyzed by HPLC. These three urine samples were analyzed on the day they were obtained and then frozen. The results show that whether the urine is acidic, untreated or adjusted to pH 7, the resulting answer for creatinine is essentially unchanged. The purpose of stabilizing the urine by making it acidic or neutral is for the analysis of Cd or B2M respectively.

COMPARISON OF PREPARATION AND
STABILIZATION TECHNIQUES

	Samplew/o SEP-PAKwith SEP-PAK
	(g/L creatinine)(g/L creatinine)

	Acid1.101.10
	Acid1.111.10
	Untreated1.121.11
	Untreated1.111.12
	pH 71.081.02
	pH 71.111.08

2.5. Storage After 4 days and 54 days of storage in a freezer, the samples were thawed, brought to room temperature and analyzed using the same procedures as in section 2.4. The results of several days of storage show that the resulting answer for creatinine is essentially unchanged.

View Graphic
2.6. Interferences: None.
2.7. Safety precautions
2.7.1. Make sure samples are properly sealed and frozen before shipment to avoid leakage.
2.7.2. Follow the appropriate shipping procedures.
The following modified special safety precautions are based on those recommended by the Centers for Disease Control (CDC) (Ref.5.8).
2.7.3. Wear gloves, lab coat, and safety glasses while handling all human urine products. Disposable plastic, glass, and paper (pipet tips, gloves, etc.) that contact urine should be placed in a biohazard autoclave bag. These bags should be kept in appropriate containers until sealed and autoclave. Wipe down all work surfaces with 10% sodium hypochlorite solution when work is finished.
2.7.4. Dispose of all biological samples and diluted specimens in a biohazard autoclave bag at the end of the analytical run.
2.7.5. Special care should be taken when handling and dispensing nitric acid. Always remember to add acid to water (or urine). Nitric acid is a corrosive chemical capable of severe eye and skin damage. Wear metal-free gloves, a lab coat, and safety glass. If the nitric acid comes in contact with any part of the body, quickly wash with copious quanties of water for at least 15 minutes.
2.7.6. Special care should be taken when handling and dispensing NaOH. Always remember to add base to water (or urine). NaOH can cause severe eye and skin damage. Always wear the appropriate gloves, a lab coat, and safety glasses. If the NaOH comes in contact with any part of the body, quickly wash with copius quantities of water for at least 15 minutes.
3. Analytical Procedure
3.1. Apparatus
3.1.1. A high performance liquid chromatograph equipped with pump, sample injector and UV dector.
3.1.2. A C18 HPLC column; 25 cm X 4.6 mm I.D.
3.1.3. An electronic integrator, or some other suitable means of determining analyte response.
3.1.4. Stripchart recorder.
3.1.5. C18 SEP-PAKs (Waters Associates) or equivalent.
3.1.6. Luer-lock syringe for sample preparation (5 mL or 10 mL).
3.1.7. Volumetric pipettes and flasks for standard and sample preparation.
3.1.8. Vacuum system to aid sample preparation (optional).
3.2. Reagents
3.2.1. Water, HPLC grade.
3.2.2. Methanol, HPLC grade.
3.2.3. PIC B-7 (Waters Associates) in small vials.
3.2.4. Creatinine, anhydrous, Sigma Chemical Corp., purity not listed.
3.2.5. 1-Heptanesulfonic acid, sodium salt monohydrate.
3.2.6. Phosphoric acid.
3.2.7. Mobile phase. It can be prepared by mixing one vial of PIC B-7 into a 1 L solution of 50% methanol and 50% water. The mobil phase can also be made by preparing a solution that is 50% methanol and 50% water with 0.005M heptanesulfonic acid and adjusting the pH of the solution to 3.5 with phosphoric acid.
3.3. Standard preparation
3.3.1. Stock standards were prepared by weighing 10 to 15 mg of creatinine. This is transferred to a 25-mL volumetric flask and diluted to volume with HPLC grade water.
3.3.2. Dilutions to a working range of 3 to 35 g/mL are made in either HPLC grade water or HPLC mobil phase (standards give the same detector response in either solution).
3.4. Sample preparation
3.4.1. The C18 SEP-PAK is connected to a Luer-lock syringe. It is rinsed with 5 mL HPLC grade methanol and then 10 mL of HPLC grade water. These rinses are discarded.
3.4.2. Exactly 1.0 mL of urine is pipetted into the syringe. The urine is put through the SEP-PAK into a suitable container using a vacuum system.
3.4.3. The walls of the syringe are rinsed in several stages with a total of approximately 30 mL of HPLC grade water. These rinses are put through the SEP-PAK into the same container. The resulting solution is transferred to a 100-mL volumetric flask and then brought to volume with HPLC grade water.
3.5. Analysis (conditions and hardware are those used in this evaluation.)
3.5.1. Instrument conditions

Column 	Zorbax. ODS, 5-6 mm particle size; 25 cm X 4.6 mm I.D.

Mobile phase 	See Section 3.2.7.

Detector 	Dual wavelength UV; 229 nm (primary) 254 nm (secondary),

Flow rate 	0.7 mL/minute.

Retention time 	7.2 minutes.

Sensitivity 	0.05 AUFS.

Injection volume 	20 mL.
3.5.2. Chromatogram (See Figure #2).

View Graphic
3.6. Interferences
3.6.1. Any compound that has the same retention time as creatinine and absorbs at 229 nm is an interference.
3.6.2. HPLC conditions may be varied to circumvent interferences. In addition, analysis at another UV wavelength (i.e. 254 nm) would allow a comparison of the ratio of response of a standard to that of a sample. Any deviations would indicate an interference.
3.7. Calculations
3.7.1. A calibration curve is constructed by plotting dector response versus standard concentration (See Figure #3).
3.7.2. The concentration of creatinine in a sample is determined by finding the concentration corresponding to its detector response. (See Figure #3).

View Graphic
3.7.3. The mg/mL creatinine from section 3.7.2. is then multiplied by 100 (the dilution factor). This value is equivalent to the micrograms of creatinine in the 1.0 mL stabilized urine aliquot or the milligrams of creatinine per liter of urine. The desire unit, g/L, is determined by the following relationship:

View Graphic
3.7.4. The resulting value for creatinine is used to normalize the urinary concentration of the desired analyte (A) (Cd or B2M) by using the following formula.

View Graphic
Where A is the desired analyte. The protocol of reporting such normalized results is mg A/g creatinine.
3.8. Safety precautions. See section 2.7
4. Conclusions
The determination of creatinine in urine by HPLC is a good alternative to the Jaffe method for industrial hygiene laboratories. Sample clarification with SEP-PAKs did not change the amount of creatinine found in urine samples. However, it does protect the analytical column. The results of this creatinine in urine procedure are unaffected by the pH of the urine sample under the conditions tested by this procedure. Therefore, no special measure are required for creatinine analysis whether the urine sample has been stabilized with 10% nitric acid for the Cd analysis or brought to a pH of 7 with 0.11 NaOH for the B2M analysis.
5. References
5.1. Clark, L.C.; Thompson, H.L. Anal. Chem. 1949, 21, 1218.
5.2. Peters, J.H; J. Biol. Chem. 1942, 146, 176.
5.3. Hausen. V.A.; Fuchs, D; Wachter, H.;J. Clin. Chem. Clin. Biochem. 1981, 19,373-378.
5.4. Clark, P.M.S.; Kricka, L.J.; Patel, A.; J. Liq. Chrom. 1980, 3(7), 1031-1046.
5.5. Ballerini, R.; Chinol, M.; Cambi, A; J. Chrom. 1979, 179, 365-369.
5.6. Ogata, M.; Taguchi, T.; Industrial Health 1987, 25, 225-228.
5.7. “Merck Index”, 11th ed.; Windholz, Martha Ed.; Merck: Rahway, N.J., 1989; p. 403.
5.8. Kimberly, M.; “Determination of Cadmium in Urineby Graphite Furance Atomic Absorption Spectrometry with Zeeman Background Correction.” Centers for Disease Control, Atlanta, Georgia, unpublished, update 1990.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. Editorial correction moving Note and Histories 1-5 to precede Appendix A to section 5207 (Register 99, No. 28). For prior history of Appendices, see section 5207.
§5208. Asbestos.
Note     •     History

(a) Scope and application --
(1) This section applies to all occupational exposures to asbestos in all industries covered by the California Occupational Safety and Health Act, except as provided in subsection (a)(2) and (3) of this section.
(2) This section does not apply to construction work as defined in Section 1502, except for the spraying of asbestos containing material in subsection 5208(f)(1)(J). (Exposure to asbestos in construction work other than spraying is covered by Section 1529).
(3) This section does not apply to ship repairing, shipbuilding and shipbreaking employments and related employments as defined in Section 8354: Definitions. (Exposure to asbestos in these employments is covered by Section 8358).
(4) Whenever employee exposure to asbestos as defined in subsection (b) of this section consists only of exposure to tremolite, anthophyllite, and actinolite in the non-asbestiform mineral habit, the provisions of section 5208.1 shall apply and supersede the provisions of this section.
(5) The provisions of this section are subject to the requirements of the Occupational Carcinogen Control Act of 1976 (Labor Code, Division 5, Part 10).
(b) Definitions --
“Asbestos” includes chrysotile, amosite, crocidolite, tremolite asbestos, anthophyllite asbestos, actinolite asbestos, and any of these minerals that have been chemically treated and/or altered.
“Asbestos-containing material (ACM)” means any material containing more than 1% asbestos.
“Chief” means the Chief of the Division of Occupational Safety and Health, California Department of Industrial Relations.
“Authorized person” means any person authorized by the employer and required by work duties to be present in regulated areas.
“Building/facility owner” is the legal entity, including a lessee, which exercises control over management and record keeping functions relating to a building and/or facility in which activities covered by this standard take place.
“Certified Industrial Hygienist (CIH)” means one certified in the practice of industrial hygiene by the American Board of Industrial Hygiene.
“Director” means the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee. 
“Employee exposure” means that exposure to airborne asbestos that would occur if the employee were not using respiratory protective equipment. 
“Fiber” means a particulate form of asbestos 5 micrometers or longer, with a length-to-diameter ratio of at least 3 to 1.
“High-efficiency particulate air (HEPA) filter” means a filter capable of trapping and retaining at least 99.97 percent of 0.3 micrometer diameter monodisperse particles.
“Homogeneous area” means an area of surfacing material or thermal system insulation that is uniform in color and texture.
“Incident” means any unanticipated event which causes, or is immediately likely to cause, an exposure of an employee, unprotected by an appropriate respirator, to asbestos fibers in excess of the permissible exposure limit.
“Industrial hygienist” means a professional qualified by education, training, and experience to anticipate, recognize, evaluate and develop controls for occupational health hazards.
“PACM” means “presumed asbestos containing material”.
“Presumed Asbestos Containing Material” means thermal system insulation and surfacing material found in buildings constructed no later than 1980. The designation of a material as “PACM” may be rebutted pursuant to subsection (j)(8) of this section.
“Regulated area” means an area established by the employer to demarcate areas where airborne concentrations of asbestos exceed, or there is a reasonable possibility they may exceed, the permissible exposure limits.
“Surfacing ACM” means surfacing material which contains more than 1% asbestos. 
“Surfacing materials” means material that is sprayed, troweled-on or otherwise applied to surfaces (such as acoustical plaster on ceilings and fireproofing materials on structural members, or other materials on surfaces for acoustical, fireproofing, and other purposes).
“Thermal System Insulation (TSI)” means ACM applied to pipes, fittings, boilers, breeching, tanks, ducts or other structural components to prevent heat loss or gain.
“Thermal System Insulation ACM” means thermal system insulation which contains more than 1% asbestos.
(c) Permissible exposure limit (PELS) --
(1) Time-weighted average limit (TWA): The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic centimeter (0.1 f/cc) of air as an eight (8)-hour time-weighted average (TWA) as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(2) Excursion limit: The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 1.0 fiber per cubic centimeter of air (1 f/cc) as averaged over a sampling period of thirty (30) minutes as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(d) Exposure monitoring --
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour TWA and 30-minute short-term exposures of each employee.
(B) Representative 8-hour TWA employee exposures shall be determined on the basis of one or more samples representing full- shift exposures for each shift for each employee in each job classification in each work area. Representative 30-minute short- term employee exposures shall be determined on the basis of one or more samples representing 30 minute exposures associated with operations that are most likely to produce exposures above the excursion limit for each shift for each job classification in each work area.
(2) Initial monitoring.
(A) Each employer who has a workplace or work operation covered by this standard, except as provided for in subsections (d)(2)(B) and (d)(2)(C) of this section, shall perform initial monitoring of employees who are, or may reasonably be expected to be exposed to airborne concentrations at or above the TWA permissible exposure limit and/or excursion limit.
(B) Where the employer has monitored after March 31, 1992, for the TWA permissible exposure limit and/or the excursion limit, and the monitoring satisfies all other requirements of this section, the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (d)(2)(A) of this section.
(C) Where the employer has relied upon objective data that demonstrate that asbestos is not capable of being released in airborne concentrations at or above the TWA permissible exposure limit and/or excursion limit under the expected conditions of processing, use, or handling, then no initial monitoring is required.
(3) Monitoring frequency (periodic monitoring) and patterns: After the initial determinations required by subsection (d)(2)(A) of this section, samples shall be of such frequency and pattern as to represent with reasonable accuracy the levels of exposure of the employees. In no case shall sampling be at intervals greater than six months for employees whose exposures may reasonably be foreseen to exceed the TWA permissible exposure limit and/or excursion limit. 
(4) Changes in monitoring frequency: If either the initial or the periodic monitoring required by subsection (d)(2) and (d)(3) of this section statistically indicates that employee exposures are below the TWA permissible exposure limit and/or excursion limit, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring.
(5) Additional monitoring: Notwithstanding the provisions of subsections (d)(2)(B) and (d)(4) of this section, the employer shall institute the exposure monitoring required under subsections (d)(2)(A) and (d)(3) of this section whenever there has been a change in the production, process, control equipment, personnel or work practices that may result in new or additional exposures above the TWA permissible exposure limit and/or excursion limit or when the employer has any reason to suspect that a change may result in new or additional exposures above the PEL and/or excursion limit.
(6) Method of monitoring.
(A) All samples taken to satisfy the monitoring requirements of subsection (d) of this section shall be personal samples collected following the procedures specified in Appendix A.
(B) All samples taken to satisfy the monitoring requirements of subsection (d) of this section shall be evaluated using the OSHA Reference Method (ORM) specified in Appendix A of this section, or an equivalent counting method.
(C) If an equivalent method to the ORM is used, the employer shall ensure that the method meets the following criteria:
1. Replicate exposure data used to establish equivalency are collected in side-by-side field and laboratory comparisons; and
2. The comparison indicates that 90% of the samples collected in the range 0.5 to 2.0 times the permissible limit have an accuracy range of plus or minus 25 percent of the ORM results at a 95% confidence level as demonstrated by a statistically valid protocol; and
3. The equivalent method is documented and the results of the comparison testing are maintained.
(D) To satisfy the monitoring requirements of subsection (d) of this section, employers must use the results of monitoring analysis performed by laboratories which have instituted quality assurance programs that include the elements as prescribed in Appendix A of this section.
(7) Employee notification of monitoring results.
(A) The employer shall, within 15 working days after the receipt of the results of any monitoring performed under the standard, notify the affected employees of these results in writing either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) The written notification required by subsection (d)(7)(A) of this section shall contain the corrective action being taken by the employer to reduce employee exposure to or below the TWA and/or excursion limit, wherever monitoring results indicated that the TWA and/or excursion limit had been exceeded.
(e) Regulated Areas --
(1) Establishment: The employer shall establish regulated areas wherever airborne concentrations of asbestos and/or PACM are in excess of the TWA and/or excursion limit prescribed in subsection (c) of this section. 
(2) Demarcation: Regulated areas shall be demarcated from the rest of the workplace in any manner that minimizes the number of persons who will be exposed to asbestos.
(3) Access: Access to regulated areas shall be limited to authorized persons or to persons authorized by the Chief or the Director. 
(4) Provision of respirators: Each person entering a regulated area shall be supplied with and required to use a respirator, selected in accordance with subsection (g)(2) of this section.
(5) Prohibited activities: The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in the regulated areas.
(f) Methods of compliance --
(1) Engineering controls and work practices.
(A) The employer shall institute engineering controls and practices to reduce and maintain employee exposure to or below the TWA and/or excursion limit prescribed in subsection (c) of this section, except to the extent that such controls are not feasible.
(B) Wherever the feasible engineering controls and work practices that can be instituted are not sufficient to reduce employee exposure to or below the TWA and/or excursion limit prescribed in subsection (c) of this section, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (g) of this section.
(C) Particular tools: All hand-operated and power-operated tools which would produce or release fibers of asbestos, such as, but not limited to, saws, scorers, abrasive wheels, and drills, shall be provided with local exhaust ventilation systems which comply with subsection (f)(1)(E) of this section.
(D) For the following operations, wherever feasible engineering controls and work practices that can be instituted are not sufficient to reduce the employee exposure to or below the TWA and/or excursion limit prescribed in subsection (c) of this section, the employer shall use them to reduce employee exposure to or below 0.5 fiber per cubic centimeter of air (as an eight-hour time-weighted average) or 2.5 fibers/cc for 30 minutes (short-term exposure) and shall supplement them by the use of any combination of respiratory protection that complies with the requirements of subsection (g) of this section, work practices and feasible engineering controls that will reduce employee exposure to or below the TWA and to or below the excursion limit permissible prescribed in subsection (c) of this section:
Coupling cutoff in primary asbestos cement pipe manufacturing; sanding in primary and secondary asbestos cement sheet manufacturing; grinding in primary and secondary friction product manufacturing; carding and spinning in dry textile processes; and grinding and sanding in primary plastics manufacturing.
(E) Local exhaust ventilation: Local exhaust ventilation and dust collection systems shall be designed, constructed, installed, and maintained in accordance with good practices such as those found in the American National Standard Fundamentals Governing the Design and Operation of Local Exhaust Systems, ANSI Z9.2-1979.
(F) Wet methods: Insofar as practicable, asbestos shall be handled, mixed, applied, removed, cut, scored, or otherwise worked in a wet state sufficient to prevent the emission of airborne fibers so as to expose employees to levels in excess of the TWA and/or excursion limit, prescribed in subsection (c) of this section, unless the usefulness of the product would be diminished thereby.
(G) Particular products and operations: No asbestos cement, mortar, coating, grout, plaster, or similar material containing asbestos, shall be removed from bags, cartons, or other containers in which they are shipped, without being either wetted, or enclosed, or ventilated so as to prevent effectively the release of airborne fibers.
(H) Compressed air: Compressed air shall not be used to remove asbestos or materials containing asbestos unless the compressed air is used in conjunction with a ventilation system which effectively captures the dust cloud created by the compressed air.
(I) Flooring: Sanding of asbestos-containing flooring material is prohibited.
(J) The spraying of any substance containing any amount of asbestos in or upon a building or other structure during its construction, alteration, or repair is prohibited.

Exceptions: 

1. Exterior and interior coating and laminating resins containing encapsulated asbestos fibers bound within the finished product from manufacture through application.

2. Cold process asphalt roof coatings.

3. Substances containing less than one-quarter of one percent asbestos solely as a result of naturally occurring impurities in the substance or its components.
(2) Compliance program.
(A) Where the TWA and/or excursion limit is exceeded, the employer shall establish and implement a written program to reduce employee exposure to or below the TWA and to or below the excursion limit by means of engineering and work practice controls as required by subsection (f)(1) of this section, and by the use of respiratory protection where required or permitted under this section.
(B) Such programs shall be reviewed and updated as necessary to reflect significant changes in the status of the employer's compliance program.
(C) Written programs shall be submitted upon request for examination and copying to the Chief, the Director, affected employees and designated employee representatives.
(D) The employer shall not use employee rotation as a means of compliance with the TWA and/or excursion limit.
(3) Specific compliance methods for brake and clutch repair.
(A) Engineering controls and work practices for brake and clutch repair and service: During automotive brake and clutch inspection, disassembly, repair and assembly operations, the employer shall institute engineering controls and work practices to reduce employee exposure to materials containing asbestos using the negative pressure enclosure/HEPA vacuum system requirements set out in Appendix F to this section. The employer may also comply using an equivalent method which follows written procedures which the employer demonstrates can achieve results equivalent to Method A in Appendix F to this section. For facilities in which no more than 5 pair of brakes or 5 clutches are inspected, disassembled, repaired, or assembled per week, the method set forth in subsection [D] of Appendix F to this section may be used.
(B) The employer may also comply by using an equivalent method which follows written procedures, which the employer demonstrates can achieve equivalent exposure reductions as do the two “preferred methods.” Such demonstration must include monitoring data conducted under workplace conditions closely resembling the process, type of asbestos containing materials, control method, work practices and environmental conditions which the equivalent method will be used, or objective data, which document that under all reasonably foreseeable conditions of brake and clutch repair applications, the method results in exposures which are equivalent to the methods set out in Appendix F to this section.
(g) Respiratory protection --
(1) General: For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations, such as maintenance and repair activities, or other activities for which engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the TWA and/or excursion limit; and
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respirator program in accordance with section 5144(b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) The employer must provide a tight-fitting powered, air-purifying respirator instead of any negative pressure respirator selected according to subsection (g)(3) when:
1. An employee chooses to use this type of respirator; and
2. This respirator provides adequate protection to the employee.
(C) No employee must be assigned to tasks requiring the use of respirators if, based on their most recent examination, an examining physician determines that the employee will be unable to function normally using a respirator, or that the safety or health of the employee or other employees will be impaired by the use of a respirator. Such employees must be assigned to another job or given the opportunity to transfer to a different position, the duties of which they can perform. If such a transfer position is available, the position must be with the same employer, in the same geographical area, and with the same seniority, status, and rate of pay the employee had just prior to such transfer.
(3) Respirator selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1; however, employers must not select or use filtering facepiece respirators for protection against asbestos fibers.
(B) Employers shall provide HEPA filters for powered and non-powered air-purifying respirators.
(h) Protective work clothing and equipment --
(1) Provision and use: If an employee is exposed to asbestos above the TWA and/or excursion limit, or where the possibility of eye irritation exists, the employer shall provide, at no cost to the employee and ensure that the employee uses, appropriate protective work clothing and equipment such as, but not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, head coverings, and foot coverings; and
(C) Face shields, vented goggles, or other appropriate protective equipment which complies with Section 3382.
(2) Removal and storage.
(A) The employer shall ensure that employees remove work clothing contaminated with asbestos only in change rooms provided in accordance with subsection (i)(1) of this section.
(B) The employer shall ensure that no employee takes contaminated work clothing out of the change room, except those employees authorized to do so for the purpose of laundering, maintenance, or disposal.
(C) Contaminated work clothing shall be placed and stored in closed containers which prevent dispersion of the asbestos outside the container.
(D) Containers of contaminated protective devices or work clothing which are to be taken out of change rooms or the workplace for cleaning, maintenance or disposal, shall bear labels in accordance with subsection (j)(4) of this section.
(3) Cleaning and replacement:
(A) The employer shall clean, launder, repair, or replace protective clothing and equipment required by this subsection to maintain their effectiveness.
(B) The employer shall provide clean protective clothing and equipment at least weekly to each affected employee.
(C) The employer shall prohibit the removal of asbestos from protective clothing and equipment by blowing or shaking.
(D) Laundering of contaminated clothing shall be done so as to prevent the release of airborne fibers of asbestos in excess of the permissible exposure limits prescribed in subsection (c) of this section.
(E) Any employer who gives contaminated clothing to another person for laundering shall inform such person of the requirement in subsection (h)(3)(D) of this section to effectively prevent the release of airborne fibers of asbestos in excess of the permissible exposure limits.
(F) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with asbestos of the potentially harmful effects of exposure to asbestos.
(G) Contaminated clothing shall be transported in sealed impermeable bags, or other closed, impermeable containers, and labeled in accordance with subsection (j) of this section.
(i) Hygiene facilities and practices --
(1) Change rooms.
(A) The employer shall provide clean change rooms for employees who work in areas where their airborne exposure to asbestos is above the TWA and/or excursion limit.
(B) The employer shall ensure that change rooms are in accordance with Section 3367, and are equipped with two separate lockers or storage facilities, so separated as to prevent contamination of the employee's street clothes from his protective work clothing and equipment.
(2) Showers.
(A) The employer shall ensure that employees who work in areas where their airborne exposure is above the TWA and/or excursion limit, shower at the end of the work shift.
(B) The employer shall provide shower facilities which comply with Section 3366(f).
(C) The employer shall ensure that employees who are required to shower pursuant to subsection (i)(2)(A) of this section do not leave the workplace wearing any clothing or equipment worn during the work shift.
(3) Lunchrooms.
(A) The employer shall provide lunchroom facilities for employees who work in areas where their airborne exposure is above the TWA and/or excursion limit.
(B) The employer shall ensure that lunchroom facilities have a positive pressure, filtered air supply, and are readily accessible to employees.
(C) The employer shall ensure that employees who work in areas where their airborne exposure is above the PEL and/or excursion limit wash their hands and faces prior to eating, drinking or smoking.
(D) The employer shall ensure that employees do not enter lunchroom facilities with protective work clothing or equipment unless surface asbestos fibers have been removed from the clothing or equipment by vacuuming or other method that removes dust without causing the asbestos to become airborne. 
(4) Smoking in work areas: The employer shall ensure that employees do not smoke in work areas where they are occupationally exposed to asbestos because of activities in that work area.
(j) Communication of hazards to employees --
Introduction: This section applies to the communication of information concerning asbestos hazards in general industry to facilitate compliance with this standard. Asbestos exposure in general industry occurs in a wide variety of industrial and commercial settings. Employees who manufacture asbestos-containing products may be exposed to asbestos fibers. Employees who repair and replace automotive brakes and clutches may be exposed to asbestos fibers. In addition, employees engaged in housekeeping activities in industrial facilities with asbestos product manufacturing operations, and in public and commercial buildings with installed asbestos containing materials may be exposed to asbestos fibers. Most of these workers are covered by this general industry standard. It should be noted that employees who perform housekeeping activities during and after construction activities are covered by the asbestos construction standard, Section 1529. However, housekeeping employees, regardless of industry designation, should know whether building components they maintain may expose them to asbestos. The same hazard communication provisions will protect employees who perform housekeeping operations in all three asbestos standards; general industry, construction, and shipyard employment. As noted in the construction standard, building owners are often the only and/or best source of information concerning the presence of previously installed asbestos containing building materials. Therefore they, along with employers of potentially exposed employees, are assigned specific information conveyance and retention duties under this section.
(1) Installed Asbestos Containing Material: Employers and building owners are required to treat installed TSI and sprayed on and troweled-on surfacing materials as ACM in buildings constructed no later than 1980 for purposes of this standard. These materials are designated “presumed ACM” or “PACM”, and are defined in subsection (b) of this section. Asphalt and vinyl flooring material installed no later than 1980 also must be treated as asbestos-containing. The employer or building owner may demonstrate that PACM and flooring material do not contain asbestos by complying with subsection (j)(8)(C) of this section.
(2) Duties of employers and building and facility owners.
(A) Building and facility owners shall determine the presence, location, and quantity of ACM and/or PACM at the work site. Employers and building and facility owners shall exercise due diligence in complying with these requirements to inform employers and employees about the presence and location of ACM and PACM.
(B) Building and facility owners shall maintain records of all information required to be provided pursuant to this section and/or otherwise known to the building owner concerning the presence, location and quantity of ACM and PACM in the building/facility. Such records shall be kept for the duration of ownership and shall be transferred to successive owners.
(C) Building and facility owners shall inform employers of employees, and employers shall inform employees who will perform housekeeping activities in areas which contain ACM and/or PACM of the presence and location of ACM and/or PACM in such areas which may be contacted during such activities.
Identification of ACM and PACM shall be made by an industrial hygienist or by persons whose skill and experience with respect to identification of asbestos hazards, is the equivalent to that of industrial hygienists and so can be demonstrated by the owner.
(3) Warning signs.
(A) Posting.
1. Warning signs shall be provided and displayed at each regulated area.
2. In addition, warning signs shall be posted at all approaches to regulated areas so that an employee may read the signs and take necessary protective steps before entering the area.
(B) Sign specifications:
1. The warning signs required by subsection (j)(3) of this section shall bear the following information:

DANGER 
ASBESTOS 
CANCER AND LUNG DISEASE HAZARD 
AUTHORIZED PERSONNEL ONLY
2. In addition, where the use of respirators and protective clothing is required in the regulated area under this section, the warning signs shall include the following:

RESPIRATORS AND PROTECTIVE CLOTHING 
ARE REQUIRED IN THIS AREA
(C) Where minerals in the regulated area are only tremolite, anthophyllite or actinolite, the employer may replace the term “asbestos” with the appropriate mineral name.
(D) The employer shall ensure that employees working in and contiguous to regulated areas comprehend the warning signs required to be posted by subsection (j)(3)(A) of this section. Means to ensure employee comprehension may include the use of foreign languages, pictographs and graphics.
(E) At the entrance to mechanical rooms/areas in which employees reasonably can be expected to enter and which contain ACM and/or PACM, the building owner shall post signs which identify the material which is present, its location, and appropriate work practices which, if followed, will ensure that ACM and/or PACM will not be disturbed. The employer shall ensure, to the extent feasible, that employees who come in contact with these signs can comprehend them. Means to ensure employee comprehension may include the use of foreign languages, pictographs, graphics, and awareness training.
(4) Warning labels.
(A) Labeling: Warning labels shall be affixed to all raw materials, mixtures, scrap, waste, debris, and other products containing asbestos fibers, or to their containers. When a building owner or employer identifies previously installed ACM and/or PACM, labels or signs shall be affixed or posted so that employees will be notified of what materials contain ACM and/or PACM. The employer shall attach such labels in areas where they will clearly be noticed by employees who are likely to be exposed, such as at the entrance to mechanical rooms/areas. Signs required by subsection (j)(3) of this section may be posted in lieu of labels so long as they contain information required for labeling.
(B) Label specifications: The labels shall comply with the requirements of Section 5194 (f) of the Hazard Communication standard, and shall include the following information:

DANGER 
CONTAINS ASBESTOS FIBERS
AVOID CREATING DUST 
CANCER AND LUNG DISEASE HAZARD
(5) Material safety data sheets: Employers who are manufacturers or importers of asbestos or asbestos products shall comply with the requirements regarding development of material safety data sheets as specified in Section 5194(g) of the Hazard Communication standard, except as provided by subsection (j)(6) of this section.
(6) The provisions for labels required by subsection (j)(4) of this section or for material safety data sheets required by subsection (j)(5) of this section do not apply where:
(A) Asbestos fibers have been modified by a bonding agent, coating, binder, or other material, provided that the manufacturer has demonstrated by objective data that during all reasonably foreseeable uses, handling, storage, disposal, processing, or transportation, no airborne concentrations of asbestos fibers in excess of the TWA permissible exposure level and/or excursion limit will be released. The record of objective data shall include at least those elements specified in subsection (m)(2)(B) of this section.
(B) No label is required when asbestos is present in a waste product in concentrations less than 1.0%
Note: Section 5194 requires that manufactured and imported products containing more than 0. 1 % asbestos by weight be labeled with an appropriate warning. The exemption specified in subsection (j)(6)(B) only applies to waste products or waste containers.
(7) Employee information and training.
(A) The employer shall institute a training program for all employees who are exposed to airborne concentrations of asbestos at or above the PEL and/or excursion limit and ensure their participation in the program.
(B) Training shall be provided prior to or at the time of initial assignment and at least annually thereafter.
(C) The training program shall be conducted in a manner which the employee is able to understand. The employer shall ensure that each employee is informed of the following:
1. The health effects associated with asbestos exposure;
2. The relationship between smoking and exposure to asbestos, producing lung cancer;
3. The quantity, location, manner of use, release, and storage of asbestos, and the specific nature of operations which could result in exposure to asbestos;
4. The purpose for and a description of the air monitoring program;
5. The purpose and a description of the medical surveillance program required by subsection (l) of this section;
6. The engineering controls and work practices associated with the employee's job assignment;
7. The purpose, proper use, and limitations of respirators and protective clothing, if required;
8. The specific procedures implemented to protect employees from exposure to asbestos, such as appropriate work practices, emergency and clean-up procedures, and personal protective equipment to be used;
9. The content of this standard, including appendices;
10. The names, addresses and phone numbers of public health organizations which provide information, materials, and/or conduct programs concerning smoking cessation. The employer may distribute the list of such organizations contained in Appendix I to this section, to comply with this requirement;
11. The requirements for posting signs and affixing labels and the meaning of the required legends for such signs and labels.
(D) The employer shall also provide, at no cost to employees who perform housekeeping operations in an area which contains ACM or PACM, an asbestos awareness training course, which shall at a minimum contain the following elements: health effects of asbestos, locations of ACM and PACM in the building/facility, recognition of ACM and PACM damage and deterioration, requirements in this standard relating to housekeeping, and proper response to fiber release episodes--to all employees who perform housekeeping work in areas where ACM and/or PACM is present. Each such employee shall be so trained at least once a year.
(E) Access to information and training materials.
1. The employer shall make a copy of this standard and its appendices readily available without cost to all affected employees.
2. The employer shall provide, upon request, all materials relating to the employee information and training program to the Chief and the Director.
3. The employer shall inform all employees concerning the availability of self-help smoking cessation program material. Upon employee request, the employer shall distribute such material, consisting of NIH Publication No. 89-1647, or equivalent self-help material, which is approved or published by a public health organization listed in Appendix I to this section.
(8) Criteria to rebut the designation of installed material as PACM.
(A) At any time, an employer and/or building owner may demonstrate, for purposes of this standard, that PACM does not contain asbestos. Building owners and/or employers are not required to communicate information about the presence of building material for which such a demonstration pursuant to the requirements of subsection (j)(8)(B) of this section has been made. However, in all such cases, the information, data and analysis supporting the determination that PACM does not contain asbestos, shall be retained pursuant to subsection (m) of this section.
(B) An employer or owner may demonstrate that PACM does not contain asbestos by the following:
1. Having a completed inspection conducted pursuant to the requirements of AHERA (40 CFR 763, Subpart E) which demonstrates that no ACM is present in the material; or
2. Performing tests of the material containing PACM which demonstrate that no ACM is present in the material. Such tests shall include analysis of bulk samples in the manner described in 40 CFR 763.86. The tests, evaluation and sample collection shall be conducted by an accredited inspector or by a CIH. Analysis of samples shall be performed by persons or laboratories with proficiency demonstrated by current successful participation in a nationally recognized testing program such as the National Voluntary Laboratory Accreditation Program (NVLAP) or the National Institute for Standards and Technology (NIST) or the Round Robin for bulk samples administered by the American Industrial Hygiene Association (AIHA) or an equivalent nationally recognized round robin testing program.
(C) The employer and/or building owner may demonstrate that flooring material including associated mastic and backing does not contain asbestos, by a determination of an industrial hygienist based upon recognized analytical techniques showing that the material is not ACM.
(k) Housekeeping --
(1) All surfaces shall be maintained as free as practicable of ACM waste and debris and accompanying dust.
(2) All spills and sudden releases of material containing asbestos shall be cleaned up as soon as possible.
(3) Surfaces contaminated with asbestos may not be cleaned by the use of compressed air.
(4) Vacuuming: HEPA-filtered vacuuming equipment shall be used for vacuuming asbestos containing waste and debris. The equipment shall be used and emptied in a manner which minimizes the reentry of asbestos into the workplace. 
(5) Shoveling, dry sweeping and dry clean-up of asbestos may be used only where vacuuming and/or wet cleaning are not feasible.
(6) Waste disposal: Waste, scrap, debris, bags, containers, equipment, and clothing contaminated with asbestos consigned for disposal, shall be collected, recycled and disposed of in sealed impermeable bags, or other closed, impermeable containers.
(7) Care of asbestos-containing flooring material.
(A) Sanding of asbestos-containing floor material is prohibited.
(B) Stripping of finishes shall be conducted using low abrasion pads at speeds lower than 300 rpm, and wet methods.
(C) Burnishing or dry buffing may be performed only on asbestos- containing flooring which has sufficient finish so that the pad cannot contact the asbestos-containing material.
(8) Waste and debris and accompanying dust in an area containing accessible ACM and/or PACM or visibly deteriorated ACM, shall not be dusted or swept dry, or vacuumed without using a HEPA filter.
(l) Medical surveillance --
(1) General
(A) Employees covered: The employer shall institute a medical surveillance program for all employees who are or will be exposed to airborne concentrations of fibers of asbestos at or above the TWA and/or excursion limit.
(B) Examination by a physician.
1. The employer shall ensure that all medical examinations and procedures are performed by or under the supervision of a licensed physician, and shall be provided without cost to the employee and at a reasonable time and place.
2. Persons other than licensed physicians, who administer the pulmonary function testing required by this section, shall complete a training course in spirometry sponsored by an appropriate academic or professional institution.
(2) Pre-placement examinations.
(A) Before an employee is assigned to an occupation exposed to airborne concentrations of asbestos fibers at or above the TWA and/or excursion limit, a pre-placement medical examination shall be provided or made available by the employer.
(B) The employer shall obtain that part of the examining physician's opinion required by subsection (l)(7)(A)l. of this section before the employee is assigned to any job requiring the use of respiratory protective equipment or personal protective equipment.
(C) The employer shall obtain that part of the examining physician's opinion required by (l)(7)(A)2. of this section within 45 working days of the employee's assignment to any work involving exposure to asbestos in excess of the TWA and/or excursion limit. 
(D) Such examination shall include, as a minimum:
1. A medical and work history;
2. A complete physical examination of all systems with emphasis on the respiratory system, the cardiovascular system and digestive tract; 
3. Completion of the respiratory disease standardized questionnaire in Appendix D to this section, Part 1;
4. A chest roentgenogram in accordance with Table 2;
5. Pulmonary function tests to include forced vital capacity (FVC) and forced expiratory volume at 1 second (FEV(1.0)); and
6. Any additional tests deemed appropriate by the examining physician.
7. Interpretation and classification of chest roentgenogram shall be conducted in accordance with Appendix E to this section.
(3) Periodic examinations.
(A) Periodic medical examinations shall be made available annually.
(B) The scope of the medical examination shall be in conformance with the protocol established in subsection (l)(2)(D) of this section, except that the frequency of chest roentgenogram shall be conducted in accordance with Table 2, and the abbreviated standardized questionnaire contained in, Part 2 of Appendix D to this section shall be administered to the employee.

TABLE 2. 
FREQUENCY OF CHEST ROENTGENOGRAM

Years since first exposure		Age of employee 	

				Less than 40 	40 and older 

	0 to 10 			Every 3 years	Annually* 
	10 	 		Annually*	Annually*

*Oblique x-rays need only be performed every 3 years.
(4) Termination of employment examinations.
(A) The employer shall provide, or make available, a termination of employment medical examination for any employee who has been exposed to airborne concentrations of fibers of asbestos at or above the TWA and/or excursion limit.
(B) The medical examination shall be in accordance with the requirements of the periodic examinations stipulated in subsection (l)(3) of this section, and shall be given within 30 calendar days before or after the date of termination of employment.
(5) Recent examinations: No medical examination is required of any employee if adequate records show that the employee has been examined in accordance with any of subsections (l)(2) through (l)(4) of this section within the past 1 year period. A pre-employment medical examination which was required as a condition of employment by the employer, may not be used by that employer to meet the requirements of this subsection, unless the cost of such examination is borne by the employer.
(6) Information provided to the physician: The employer shall provide the following information to the examining physician:
(A) A copy of this standard and Appendices D and E.
(B) A description of the affected employee's duties as they relate to the employee's exposure.
(C) The employee's representative exposure level or anticipated exposure level.
(D) A description of any personal protective and respiratory equipment used or to be used.
(E) Information from previous medical examinations of the affected employee that is not otherwise available to the examining physician.
(7) Physician's written opinion.
(A) The employer shall obtain a written signed opinion from the examining physician. This written opinion shall contain the results of the medical examination and shall include:
1. Any recommended limitations on the employee or upon the use of personal protective equipment such as clothing or respirators;
2. The physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of material health impairment from exposure to asbestos;
3. A statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions resulting from asbestos exposure that require further explanation or treatment; and 
4. A statement that the employee has been informed by the physician of the increased risk of lung cancer attributable to the combined effect of smoking and asbestos exposure.
(B) The employer shall instruct the physician not to reveal in the written opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to asbestos.
(C) The employer shall provide a copy of the physician's written opinion to the affected employee within 30 days from its receipt.
(m) Recordkeeping --
(1) Exposure measurements.
Note: The employer may utilize the services of competent organizations such as industry trade associations and employee associations to maintain the records required by this section.
(A) The employer shall keep an accurate record of all measurements taken to monitor employee exposure to asbestos as prescribed in subsection (d) of this section.
(B) This record shall include at least the following information:
1. The date of measurement;
2. The operation involving exposure to asbestos which is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken;
5. Type of respiratory protective devices worn, if any; and
6. Name, social security number and exposure of the employees whose exposures are represented.
(C) The employer shall maintain this record for at least thirty (30) years in accordance with Section 3204.
(2) Objective data for exempted operations.
(A) Where the processing, use, or handling of products made from or containing asbestos is exempted from other requirements of this section under subsection (d)(2)(C) of this section, the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) The record shall include at least the following:
1. The product qualifying for exemption:
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of asbestos;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(3) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance by subsection (l)(1)(A) of this section, in accordance with Section 3204. 
(B) The record shall include at least the following information:
1. The name and social security number of the employee;
2. Physician's written opinions;
3. Any employee medical complaints related to exposure to asbestos; and
4. A copy of the information provided to the physician as required by subsection (l)(6) of this section.
(C) The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with Section 3204.
(4) Training: The employer shall maintain all employee training records for one (1) year beyond the last date of employment of that employee.
(5) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available to the Chief and the Director for examination and copying.
(B) The employer, upon request, shall make any exposure records required by subsection (m)(1) of this section available for examination and copying to affected employees, former employees, designated representatives and the Chief, in accordance with Section 3204(a) through (e), and (g) through (i)
(C) The employer, upon request, shall make employee medical records required by subsection (m)(3) of this section available for examination and copying to the subject employee, to anyone having the specific written consent of the subject employee, and the Chief, in accordance with Section 3204.
(6) Transfer of records.
(A) The employer shall comply with the requirements concerning transfer of records set forth in Section 3204(h).
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Director at least 90 days prior to disposal of records and, upon request, transmit them to the Director.
(n) Observation of monitoring --
(1) Employee observation: The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to asbestos conducted in accordance with subsection (d) of this section.
(2) Observation procedures: When observation of the monitoring of employee exposure to asbestos requires entry into an area where the use of protective clothing or equipment is required, the observer shall be provided with and be required to use such clothing and equipment and shall comply with all other applicable safety and health procedures.
(o) Reports of use (User Registration, Temporary Worksite Notification, and incident reporting) -- See section 5203.

Exceptions: 
A. Automotive repair facilities which are registered with the State Bureau of Automotive Repairs meet the registration requirements of this subsection but are not otherwise exempt from this section.
B. Operations such as retail, wholesale, warehousing, transportation or distribution of products containing asbestos are exempt from report of use requirements of this section, provided such products are handled or stored in sealed or unbroken containers.
C. Products in which the asbestos fibers have been modified by a bonding agent, coating, binder, or other material, provided that the manufacturer has demonstrated by objective data that during all reasonably foreseeable uses, handling, storage, disposal, processing or transportation, no airborne concentrations of asbestos fibers in excess of the PEL [TWA] and/or excursion limit will be released. The record of objective data shall include at least those elements specified in subsection (m)(2)(B) of this section.
D. Large outdoor storage such as mine ore tailings piles, if posted in accordance with the requirements of 8 CCR 5208(j)(3).
(p) Appendices --
(1) Appendices A, C, D, E, and F to this section are incorporated as part of this section and the contents of these Appendices are mandatory
(2) Appendices B, G, H, I, and J to this section are informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
NOTE

Authority cited: Sections 142.3, 6501.5, 9020, 9021.5, 9030, and 9040, Labor Code. Reference: Sections 142.3, 6501.5, 6501.7, 6501.8, 6501.9, 6502, 9003, 9004(b), 9005, 9006, 9009, 9020, 9021.5, 9030, and 9040, Labor Code; and Section 25910, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (g)(1)(B), and new Appendix A filed 7-10-89 as an emergency; operative 7-10-89 (Register 89, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-7-89. For prior history, see Register 83, No. 10.
2. Readoption of amendment of subsections (a) and (g)(1)(B), and new Appendix A filed 11-2-89 as an emergency; operative 11-2-89 (Register 89, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days, by 3-2-90, or emergency language is repealed by operation of law effective 3-3-90.
3. Readoption of amendment of subsections (a) and (g)(1)(B), and new Appendix A filed 2-22-90 as an emergency; operative 2-22-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-22-90.
4. Readoption of amendment of subsections (a) and (g)(1)(B), and new Appendix A filed 6-15-90 as an emergency; operative 6-15-90 (Register 90, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 10-15-90.
5. Amendment of subsections (a) and (g)(1)(B) and new Appendix A filed 10-12-90 as an emergency readoption; operative 10-12-90 (Register 90, No. 46). A Certificate of Compliance must be transmitted to OAL by 2-9-91 or emergency language will be repealed by operation of law on the following day.
6. Readoption of amendment of subsections (a) and (g)(1)(B) and new Appendix A filed 2-4-91 as an emergency; operative 2-4-91 (Register 91, No. 11). Certificate of Compliance must be transmitted to OAL by 6-4-91 or emergency language will be repealed by operation of law on the following day.
7. Amendment filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
8. Editorial correction of printing error in subsection (q) and restoring dropped HISTORYs 1., 2., 3., 4., 5., and 6. and renumbering former HISTORY 1. to HISTORY 7. (Register 91, No. 31).
9. Editorial correction of HISTORY 7. amending date (Register 91, No. 45).
10. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
11. Amendment of subsection (c)(1) and Note filed 5-1-95; operative 5-31-95 (Register 95, No. 18).
12. Repealer and new section filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
13. Amendment of subsection (j)(3)(E) filed 10-3-97; operative 10-3-97. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 97, No. 40).
14. Amendment of former subsections (g)(1)-(g)(4)(B) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(A) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
15. Amendment of subsection (o) and repealer of subsections (o)(1)(B)1. and (o)(1)(B)2.-(o)(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
16. Amendment of subsections (g)(2)(B) and (g)(3)(A) and new subsection (g)(3)(B) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

OSHA Reference Method
Mandatory
This mandatory appendix specifies the procedure for analyzing air samples for asbestos, tremolite, anthophyllite, and actinolite and specifies quality control procedures that must be implemented by laboratories performing the analysis. The sampling and analytical methods described below represent the elements of the available monitoring methods (such as appendix B to this section, the most current version of the OSHA method ID-60, or the most current version of the NIOSH 7400 method) which OSHA considers to be essential to achieve adequate employee exposure monitoring while allowing employers to use methods that are already established within their organizations. All employers who are required to conduct air monitoring under subsection (d) of this section are required to utilize analytical laboratories that use this procedure, or an equivalent method, for collecting and analyzing samples.
Sampling and Analytical Procedure 
1. The sampling medium for air samples shall be mixed cellulose ester filter membranes. These shall be designated by the manufacturer as suitable for asbestos, tremolite, anthophyllite, and actinolite counting. See below for rejection of blanks.
2. The preferred collection device shall be the 25-mm diameter cassette with an open-faced 50-mm extension cowl. The 37-mm cassette may be used if necessary but only if written justification for the need to use the 37-mm filter cassette accompanies the sample results in the employee's exposure monitoring record. Do not reuse or reload cassettes for asbestos sample collection. 
3. An air flow rate between 0.5 liter/min and 2.5 liters/min shall be selected for the 25-mm cassette. If the 37-mm cassette is used, an air flow rate between 1 liter/min and 2.5 liters/min shall be selected. 
4. Where possible, a sufficient air volume for each air sample shall be collected to yield between 100 and 1,300 fibers per square millimeter on the membrane filter. If a filter darkens in appearance or if loose dust is seen on the filter, a second sample shall be started. 
5. Ship the samples in a rigid container with sufficient packing material to prevent dislodging the collected fibers. Packing material that has a high electrostatic charge on its surface (e.g., expanded polystyrene) cannot be used because such material can cause loss of fibers to the sides of the cassette.
6. Calibrate each personal sampling pump before and after use with a representative filter cassette installed between the pump and the calibration devices.
7. Personal samples shall be taken in the “breathing zone” of the employee (i.e., attached to or near the collar or lapel near the worker's face).
8. Fiber counts shall be made by positive phase contrast using a microscope with an 8 to 10 X eyepiece and a 40 to 45 X objective for a total magnification of approximately 400 X and a numerical aperture of 0.65 to 0.75. The microscope shall also be fitted with a green or blue filter.
9. The microscope shall be fitted with a Walton-Beckett eyepiece graticule calibrated for a field diameter of 100 micrometers (+/- 2 micrometers).
10. The phase-shift detection limit of the microscope shall be about 3 degrees measured using the HSE phase shift test slide as outlined below. 
a. Place the test slide on the microscope stage and center it under the phase objective.
b. Bring the blocks of grooved lines into focus.

Note: The slide consists of seven sets of grooved lines (ca. 20 grooves to each block) in descending order of visibility from sets 1 to 7, seven being the least visible. The requirements for asbestos, tremolite, anthophyllite, and actinolite counting are that the microscope optics must resolve the grooved lines in set 3 completely, although they may appear somewhat faint, and that the grooved lines in sets 6 and 7 must be invisible. Sets 4 and 5 must be at least partially visible but may vary slightly in visibility between microscopes. A microscope that fails to meet these requirements has either too low or too high a resolution to be used for asbestos, tremolite, anthophyllite, and actinolite.
c. If the image deteriorates, clean and adjust the microscope optics. If the problem persists, consult the microscope manufacturer.
11. Each set of samples taken will include 10 percent field blanks or a minimum of 2 field blanks. These blanks must come from the same lot as the filters used for sample collection. The field blank results shall be averaged and subtracted from the analytical results before reporting. A set consists of any sample or group of samples for which an evaluation for this standard must be made. Any samples represented by a field blank having a fiber count in excess of the detection limit of the method being used shall be rejected.
12. The samples shall be mounted by the acetone/triacetin method or a method with an equivalent index of refraction and similar clarity.
13. Observe the following counting rules.
a. Count only fibers equal to or longer than 5 micrometers. Measure the length of curved fibers along the curve. 
b. Count all particles as asbestos, tremolite, anthophyllite, and actinolite that have a length-to-width ratio (aspect ratio) of 3:1 or greater.
c. Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle, shall receive the count of one half (1/2). Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area.
d. Count bundles of fibers as one fiber unless individual fibers can be identified by observing both ends of an individual fiber.
e. Count enough graticule fields to yield 100 fibers. Count a minimum of 20 fields; stop counting at 100 fields regardless of fiber count.
14. Blind recounts shall be conducted at the rate of 10 percent.
Quality Control Procedures
1. Intra-laboratory program. Each laboratory and/or each company with more than one microscopist counting slides shall establish a statistically designed quality assurance program involving blind recounts and comparisons between microscopists to monitor the variability of counting by each microscopist and between microscopists. In a company with more than one laboratory, the program shall include all laboratories and shall also evaluate the laboratory-to-laboratory variability.
2. a. Interlaboratory program. Each laboratory analyzing asbestos, tremolite, anthophyllite, and actinolite samples for compliance determination shall implement an interlaboratory quality assurance program that as a minimum includes participation of at least two other independent laboratories. Each laboratory shall participate in round robin testing at least once every 6 months with at least all the other laboratories in its interlaboratory quality assurance group. Each laboratory shall submit slides typical of its own work load for use in this program. The round robin shall be designed and results analyzed using appropriate statistical methodology.
b. All laboratories should participate in a national sample testing scheme such as the Proficiency Analytical Testing Program (PAT), the Asbestos Registry sponsored by the American Industrial Hygiene Association (AIHA).
3. All individuals performing asbestos, tremolite, anthophyllite, and actinolite analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos, tremolite, anthophyllite, and actinolite dust or an equivalent course. 
4. When the use of different microscopes contributes to differences between counters and laboratories, the effect of the different microscope shall be evaluated and the microscope shall be replaced, as necessary.
5. Current results of these quality assurance programs shall be posted in each laboratory to keep the microscopists informed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix A to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19). 
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix B

Sampling and Analysis (Non-mandatory)

Matrix Air: 

	OSHA Permissible Exposure Limits: 
	Time Weighted Average	 	0.1 fiber/cc 
	Excursion Level (30 minutes) 		 1.0 fiber/cc

Collection Procedure: 

A known volume of air is drawn through a 25-mm diameter cassette containing a mixed-cellulose ester filter. The cassette must be equipped with an electrically conductive 50-mm extension cowl. The sampling time and rate are chosen to give a fiber density of between 100 to 1,300 fibers/mm2 on the filter.

Recommended Sampling Rate	 0.5 to 5.0 liters/
	 	minute (L/min) 
Recommended Air Volumes: 

	Minimum 	 25 L 
	Maximum 	 2,400 L
	
Analytical Procedure:
A portion of the sample filter is cleared and prepared for asbestos fiber counting by Phase Contrast Microscopy (PCM) at 400X. Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources can be substituted.
1. Introduction
This method describes the collection of airborne asbestos fibers using calibrated sampling pumps with mixed-cellulose ester (MCE) filters and analysis by phase contrast microscopy (PCM). Some terms used are unique to this method and are defined below: Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, crocidolite, amosite (cummingtonite-grunerite asbestos), tremolite asbestos, actinolite asbestos, anthophyllite asbestos, and any of these minerals that have been chemically treated and/or altered. The precise chemical formulation of each species will vary with the location from which it was mined. Nominal compositions are listed:

	Chrysotile		Mg3Si2O5(OH)4 
	Crocidolite		Na2Fe32Fe23Si8O22(OH)2 
	Amosite		(Mg,Fe)7Si8O22(OH)2 
	Tremolite-actinolite		Ca2(Mg,Fe)5Si8O22(OH)2 
	Anthophyllite		(Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos which meets the criteria specified below for a fiber.
Aspect Ratio: The ratio of the length of a fiber to it's diameter (e.g. 3:1, 5:1 aspect ratios).
Cleavage Fragments: Mineral particles formed by comminution of minerals, especially those characterized by parallel sides and a moderate aspect ratio (usually less than 20:1).
Detection Limit: The number of fibers necessary to be 95% certain that the result is greater than zero.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from the fiber count because they do not appear to be asbestos.
Fiber: A particle that is 5 mm or longer, with a length-to-width ratio of 3 to 1 or longer.
Field: The area within the graticule circle that is superimposed on the microscope image.
Set: The samples which are taken, submitted to the laboratory, analyzed, and for which, interim or final result reports are generated.
Tremolite, Anthophyllite, and Actinolite: The non-asbestos form of these minerals which meet the definition of a fiber. It includes any of these minerals that have been chemically treated and/or altered.
Walton-Beckett Graticule: An eyepiece graticule specifically designed for asbestos fiber counting. It consists of a circle with a projected diameter of 100 plus or minus 2 mm (area of about 0.00785 mm2) with a crosshair having tic-marks at 3-mm intervals in one direction and 5-mm in the orthogonal direction. There are marks around the periphery of the circle to demonstrate the proper sizes and shapes of fibers. This design is reproduced in Figure 1. of this appendix. The disk is placed in one of the microscope eyepieces so that the design is superimposed on the field of view.
1.1. History
Early surveys to determine asbestos exposures were conducted using impinger counts of total dust with the counts expressed as million particles per cubic foot. The British Asbestos Research Council recommended filter membrane counting in 1969. In July 1969, the Bureau of Occupational Safety and Health published a filter membrane method for counting asbestos fibers in the United States. This method was refined by NIOSH and published as P & CAM 239. On May 29, 1971, OSHA specified filter membrane sampling with phase contrast counting for evaluation of asbestos exposures at work sites in the United States. The use of this technique was again required by OSHA in 1986. Phase contrast microscopy has continued to be the method of choice for the measurement of occupational exposure to asbestos.
1.2. Principle
Air is drawn through a MCE filter to capture airborne asbestos fibers. A wedge shaped portion of the filter is removed, placed on a glass microscope slide and made transparent. A measured area (field) is viewed by PCM. All the fibers meeting defined criteria for asbestos are counted and considered a measure of the airborne asbestos concentration.
1.3. Advantages and Disadvantages
There are four main advantages of PCM over other methods:
(1) The technique is specific for fibers. Phase contrast is a fiber counting technique which excludes non-fibrous particles from the analysis.
(2) The technique is inexpensive and does not require specialized knowledge to carry out the analysis for total fiber counts.
(3) The analysis is quick and can be performed on-site for rapid determination of air concentrations of asbestos fibers.
(4) The technique has continuity with historical epidemiological estimates of expected disease can be inferred from long-term determinations of asbestos exposures.
The main disadvantage of PCM is that it does not positively identify asbestos fibers. Other fibers which are not asbestos may be included in the count unless differential counting is performed. This requires a great deal of experience to adequately differentiate asbestos from non-asbestos fibers. Positive identification of asbestos must be performed by polarized light or electron microscopy techniques. A further disadvantage of PCM is that the smallest visible fibers are about 0.2mm in diameter while the finest asbestos fibers may be as small as 0.02mm in diameter. For some exposures, substantially more fibers may be present than are actually counted.
1.4. Workplace Exposure
Asbestos is used by the construction industry in such products as shingles, floor tiles, asbestos cement, roofing felts, insulation and acoustical products. Non-construction uses include brakes, clutch facings, paper, paints, plastics, and fabrics. One of the most significant exposures in the workplace is the removal and encapsulation of asbestos in schools, public buildings, and homes. Many workers have the potential to be exposed to asbestos during these operations.
About 95% of the asbestos in commercial use in the United States is chrysotile. Crocidolite and amosite make up most of the remainder. Anthophyllite and tremolite or actinolite are likely to be encountered as contaminants in various industrial products.
1.5. Physical Properties
Asbestos fiber possesses a high tensile strength along its axis, is chemically inert, non-combustible, and heat resistant. It has a high electrical resistance and good sound absorbing properties. It can be weaved into cables, fabrics or other textiles, and also matted into asbestos papers, felts, or mats.
2. Range and Detection Limit
2.1. The ideal counting range on the filter is 100 to 1,300 fibers/mm2 With a Walton-Beckett graticule this range is equivalent to 0.8 to 10 fibers/field. Using NIOSH counting statistics, a count of 0.8 fibers/field would give an approximate coefficient of variation (CV) of 0.13.
2.2. The detection limit for this method is 4.0 fibers per 100 fields or 5.5 fibers/mm2. This was determined using an equation to estimate the maximum CV possible at a specific concentration (95% confidence) and a Lower Control Limit of zero. The CV value was then used to determine a corresponding concentration from historical CV vs. fiber relationships. As an example:
Lower Control Limit (95% Confidence) = AC -- 1.645(CV)(AC)
Where:
AC = Estimate of the airborne fiber concentration (fibers/cc) Setting the Lower Control Limit = 0 and solving for CV:
0 = AC - 1.645(CV)(AC)
CV = 0.61
This value was compared with CV vs. count curves. The count at which CV = 0.61 for Leidel-Busch counting statistics or for an OSHA Salt Lake Technical Center (OSHA-SLTC) CV curve (see Appendix A for further information) was 4.4 fibers or 3.9 fibers per 100 fields, respectively. Although a lower detection limit of 4 fibers per 100 fields is supported by the OSHA-SLTC data, both data sets support the 4.5 fibers per 100 fields value.
3. Method Performance -- Precision and Accuracy
Precision is dependent upon the total number of fibers counted and the uniformity of the fiber distribution on the filter. A general rule is to count at least 20 and not more than 100 fields. The count is discontinued when 100 fibers are counted, provided that 20 fields have already been counted. Counting more than 100 fibers results in only a small gain in precision. As the total count drops below 10 fibers, an accelerated loss of precision is noted.
At this time, there is no known method to determine the absolute accuracy of the asbestos analysis. Results of samples prepared through the Proficiency Analytical Testing (PAT) Program and analyzed by the OSHA-SLTC showed no significant bias when compared to PAT reference values. The PAT samples were analyzed from 1987 to 1989 (N=36) and the concentration range was from 120 to 1,300 fibers/mm2.
4. Interferences
Fibrous substances, if present, may interfere with asbestos analysis. Some common fibers are:

	fiberglass 
	anhydrite 
	plant fibers 
	perlite veins 
	gypsum 
	some synthetic fibers 
	membrane structures 
	sponge spicules 
	diatoms 
	microorganisms 
	wollastonite
The use of electron microscopy or optical tests such as polarized light, and dispersion staining may be used to differentiate these materials from asbestos when necessary.
5. Sampling
5.1. Equipment
5.1.1. Sample assembly. Conductive filter holder consisting of a 25-mm diameter, 3-piece cassette having a 50-mm long electrically conductive extension cowl. Backup pad: 25-mm, cellulose. Membrane filter: mixed-cellulose ester (MCE), 25-mm, plain, white, 0.4- to 1.2-mm pore size.

Notes:

(a) DO NOT RE-USE CASSETTES.

(b) Fully conductive cassettes are required to reduce fiber loss to the sides of the cassette due to electrostatic attraction. 

(c) Purchase filters which have been selected by the manufacturer for asbestos counting or analyze representative filters for fiber background before use. Discard the filter lot if more than 4 fibers/100 fields are found.

(d) To decrease the possibility of contamination, the sampling system (filter-backup pad-cassette) for asbestos is usually preassembled by the manufacturer.

(e) Other cassettes, such as the Bell-mouth, may be used within the limits of their validation.
5.1.2. Gel bands for sealing cassettes.
5.1.3. Sampling pump. Each pump must be a battery operated, self- contained unit small enough to be placed on the monitored employee and not interfere with the work being performed. The pump must be capable of sampling at the collection rate of 2.5 liters per minute (L/min) for the required sampling time.
5.1.4. Flexible tubing, 6 mm bore.
5.1.5. Pump calibration. Stopwatch and bubble tube/burette or electronic meter.
5.2. Sampling Procedure
5.2.1. Seal the point where the base and cowl of each cassette meet with a gel band or tape.
5.2.2. Charge the pumps completely before beginning.
5.2.3. Connect each pump to a calibration cassette with an appropriate length of 6 mm bore plastic tubing. Do not use luer connectors -- the type of cassette specified above has built-in adapters.
5.2.4. Select an appropriate flow rate for the situation being monitored. The sampling flow rate must be between 0.5 and 5.0 L/min for personal sampling and is commonly set between 1 and 2 L/min. Always choose a flow rate that will not produce overloaded filters.
5.2.5. Calibrate each sampling pump before and after sampling with a calibration cassette in-line (Note: This calibration cassette should be from the same lot of cassettes used for sampling). Use a primary standard (e.g. bubble burette) to calibrate each pump. If possible, calibrate at the sampling site.
If sampling site calibration is not possible, environmental influences may affect the flow rate. The extent is dependent on the type of pump used. Consult with the pump manufacturer to determine dependence on environmental influences. If the pump is affected by temperature and pressure changes, correct the flow rate using the formula shown in the section “Sampling Pump Flow Rate Corrections” at the end of this appendix.
5.2.6. Connect each pump to the base of each sampling cassette with flexible tubing. Remove the end cap of each cassette and take each air sample open face. Assure that each sample cassette is held open side down in the employee's breathing zone during sampling. The distance from the nose/mouth of the employee to the cassette should be about 10 cm. Secure the cassette on the collar or lapel of the employee using spring clips or other similar devices.
5.2.7. A suggested minimum air volume when sampling to determine TWA compliance is 25 L. For Excursion Limit (30 min sampling time) evaluations, a minimum air volume of 48 L is recommended.
5.2.8. The most significant problem when sampling for asbestos is overloading the filter with non-asbestos dust. Suggested maximum air sample volumes for specific environments are:

	Environment 	Air Vol. (L)

Asbestos removal operations (visible dust) 	100 
Asbestos removal operations (little dust) 	240 
Office environments. 	400 to 2,400

CAUTION: Do not overload the filter with dust. High levels of non- fibrous dust particles may obscure fibers on the filter and lower the count or make counting impossible. If more than about 25 to 30% of the field area is obscured with dust, the result may be biased low. Smaller air volumes may be necessary when there is excessive non-asbestos dust in the air.
While sampling, observe the filter with a small flashlight. If there is a visible layer of dust on the filter, stop sampling, remove and seal the cassette, and replace with a new sampling assembly. The total dust loading should not exceed 1 mg.
5.2.9. Blank samples are used to determine if any contamination has occurred during sample handling. Prepare two blanks for the first 1 to 20 samples. For sets containing greater than 20 samples, prepare blanks as 10% of the samples. Handle blank samples in the same manner as air samples with one exception: Do not draw any air through the blank samples. Open the blank cassette in the place where the sample cassettes are mounted on the employee. Hold it open for about 30 seconds. Close and seal the cassette appropriately. Store blanks for shipment with the sample cassettes.
5.2.10. Immediately after sampling, close and seal each cassette with the base and plastic plugs. Do not touch or puncture the filter membrane as this will invalidate the analysis.
5.2.11. Attach and secure a sample seal around each sample cassette in such a way as to assure that the end cap and base plugs cannot be removed without destroying the seal. Tape the ends of the seal together since the seal is not long enough to be wrapped end-to-end. Also wrap tape around the cassette at each joint to keep the seal secure.
5.3. Sample Shipment
5.3.1. Send the samples to the laboratory with paperwork requesting asbestos analysis. List any known fibrous interferences present during sampling on the paperwork. Also, note the workplace operation(s) sampled.
5.3.2. Secure and handle the samples in such that they will not rattle during shipment nor be exposed to static electricity. Do not ship samples in expanded polystyrene peanuts, vermiculite, paper shreds, or excelsior. Tape sample cassettes to sheet bubbles and place in a container that will cushion the samples in such a manner that they will not rattle.
5.3.3. To avoid the possibility of sample contamination, always ship bulk samples in separate mailing containers.
6. Analysis
6.1. Safety Precautions
6.1.1. Acetone is extremely flammable and precautions must be taken not to ignite it. Avoid using large containers or quantities of acetone. Transfer the solvent in a ventilated laboratory hood. Do not use acetone near any open flame. For generation of acetone vapor, use a spark free heat source. 
6.1.2. Any asbestos spills should be cleaned up immediately to prevent dispersal of fibers. Prudence should be exercised to avoid contamination of laboratory facilities or exposure of personnel to asbestos. Asbestos spills should be cleaned up with wet methods and/or a High Efficiency Particulate Air (HEPA) filtered vacuum.
CAUTION: Do not use a vacuum without a HEPA filter -- It will disperse fine asbestos fibers in the air.
6.2. Equipment
6.2.1. Phase contrast microscope with binocular or trinocular head.
6.2.2. Widefield or Huygenian 10X eyepieces (NOTE: The eyepiece containing the graticule must be a focusing eyepiece. Use a 40X phase objective with a numerical aperture of 0.65 to 0.75).
6.2.3. Kohler illumination (if possible) with green or blue filter.
6.2.4. Walton-Beckett Graticule, type G-22 with 100 plus or minus 2mm projected diameter.
6.2.5. Mechanical stage. A rotating mechanical stage is convenient for use with polarized light.
6.2.6. Phase telescope.
6.2.7. Stage micrometer with 0.01-mm subdivisions.
6.2.8. Phase-shift test slide, mark II (Available from PTR optics Ltd., and also McCrone).
6.2.9. Precleaned glass slides, 25 mm X 75 mm. One end can be frosted for convenience in writing sample numbers, etc., or paste-on labels can be used.
6.2.10. Cover glass #1 1/2.
6.2.11. Scalpel (#10, curved blade).
6.2.12. Fine tipped forceps.
6.2.13. Aluminum block for clearing filter (see Appendix D and Figure 4).
6.2.14. Automatic adjustable pipette, 100-to 500-mL. 
6.2.15. Micropipette, 5 mL.
6.3. Reagents
6.3.1. Acetone (HPLC grade).
6.3.2. Triacetin (glycerol triacetate).
6.3.3. Lacquer or nail polish.
6.4. Standard Preparation
A way to prepare standard asbestos samples of known concentration has not been developed. It is possible to prepare replicate samples of nearly equal concentration. This has been performed through the PAT program. These asbestos samples are distributed by the AIHA to participating laboratories.
Since only about one-fourth of a 25-mm sample membrane is required for an asbestos count, any PAT sample can serve as a “standard” for replicate counting.
6.5. Sample Mounting
See Safety Precautions in Section 6.1. before proceeding. The objective is to produce samples with a smooth (non-grainy) background in a medium with a refractive index of approximately 1.46. The technique below collapses the filter for easier focusing and produces permanent mounts which are useful for quality control and interlaboratory comparison.
An aluminum block or similar device is required for sample preparation. 
6.5.1. Heat the aluminum block to about 70 deg.C. The hot block should not be used on any surface that can be damaged by either the heat or from exposure to acetone.
6.5.2. Ensure that the glass slides and cover glasses are free of dust and fibers.
6.5.3. Remove the top plug to prevent a vacuum when the cassette is opened. Clean the outside of the cassette if necessary. Cut the seal and/or tape on the cassette with a razor blade. Very carefully separate the base from the extension cowl, leaving the filter and backup pad in the base.
6.5.4. With a rocking motion cut a triangular wedge from the filter using the scalpel. This wedge should be one-sixth to one-fourth of the filter. Grasp the filter wedge with the forceps on the perimeter of the filter which was clamped between the cassette pieces. DO NOT TOUCH the filter with your finger. Place the filter on the glass slide sample side up. Static electricity will usually keep the filter on the slide until it is cleared.
6.5.5. Place the tip of the micropipette containing about 200 mL acetone into the aluminum block. Insert the glass slide into the receiving slot in the aluminum block. Inject the acetone into the block with slow, steady pressure on the plunger while holding the pipette firmly in place. Wait 3 to 5 seconds for the filter to clear, then remove the pipette and slide from the aluminum block.
6.5.6. Immediately (less than 30 seconds) place 2.5 to 3.5 mL of triacetin on the filter (NOTE: Waiting longer than 30 seconds will result in increased index of refraction and decreased contrast between the fibers and the preparation. This may also lead to separation of the cover slip from the slide).
6.5.7. Lower a cover slip gently onto the filter at a slight angle to reduce the possibility of forming air bubbles. If more than 30 seconds have elapsed between acetone exposure and triacetin application, glue the edges of the cover slip to the slide with lacquer or nail polish.
6.5.8. If clearing is slow, warm the slide for 15 min on a hot plate having a surface temperature of about 50 deg.C to hasten clearing. The top of the hot block can be used if the slide is not heated too long.
6.5.9. Counting may proceed immediately after clearing and mounting are completed.
6.6. Sample Analysis
Completely align the microscope according to the manufacturer's instructions. Then, align the microscope using the following general alignment routine at the beginning of every counting session and more often if necessary.
6.6.1. Alignment
(1) Clean all optical surfaces. Even a small amount of dirt can significantly degrade the image.
(2) Rough focus the objective on a sample.
(3) Close down the field iris so that it is visible in the field of view. Focus the image of the iris with the condenser focus. Center the image of the iris in the field of view.
(4) Install the phase telescope and focus on the phase rings. Critically center the rings. Misalignment of the rings results in astigmatism which will degrade the image.
(5) Place the phase-shift test slide on the microscope stage and focus on the lines. The analyst must see line set 3 and should see at least parts of 4 and 5 but, not see line set 6 or 7. A microscope/microscopist combination which does not pass this test may not be used.
6.6.2. Counting Fibers
(1) Place the prepared sample slide on the mechanical stage of the microscope. Position the center of the wedge under the objective lens and focus upon the sample.
(2) Start counting from one end of the wedge and progress along a radial line to the other end (count in either direction from perimeter to wedge tip). Select fields randomly, without looking into the eyepieces, by slightly advancing the slide in one direction with the mechanical stage control.
(3) Continually scan over a range of focal planes (generally the upper 10 to 15 mm of the filter surface) with the fine focus control during each field count. Spend at least 5 to 15 seconds per field.
(4) Most samples will contain asbestos fibers with fiber diameters less than 1 mm. Look carefully for faint fiber images. The small diameter fibers will be very hard to see. However, they are an important contribution to the total count.
(5) Count only fibers equal to or longer than 5 mm. Measure the length of curved fibers along the curve.
(6) Count fibers which have a length to width ratio of 3:1 or greater.
(7) Count all the fibers in at least 20 fields. Continue counting until either 100 fibers are counted or 100 fields have been viewed; whichever occurs first. Count all the fibers in the final field.
(8) Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle shall receive a count of 1/2. Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area. If a fiber touches the circle, it is considered to cross the line.
(9) Count bundles of fibers as one fiber unless individual fibers can be clearly identified and each individual fiber is clearly not connected to another counted fiber. See Figure 1 of this appendix for counting conventions.
(10) Record the number of fibers in each field in a consistent way such that filter non-uniformity can be assessed.
(11) Regularly check phase ring alignment.
(12) When an agglomerate (mass of material) covers more than 25% of the field of view, reject the field and select another. Do not include it in the number of fields counted.
(13) Perform a “blind recount” of 1 in every 10 filter wedges (slides). Re-label the slides using a person other than the original counter.
6.7. Fiber Identification
As previously mentioned in Section 1.3., PCM does not provide positive confirmation of asbestos fibers. Alternate differential counting techniques should be used if discrimination is desirable. Differential counting may include primary discrimination based on morphology, polarized light analysis of fibers, or modification of PCM data by Scanning Electron or Transmission Electron Microscopy.
A great deal of experience is required to routinely and correctly perform differential counting. It is discouraged unless it is legally necessary. Then, only if a fiber is obviously not asbestos should it be excluded from the count. Further discussion of this technique can be found in reference 8.10. If there is a question whether a fiber is asbestos or not, follow the rule: “WHEN IN DOUBT, COUNT.”
6.8. Analytical Recommendations -- Quality Control System
6.8.1. All individuals performing asbestos analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos or an equivalent course.
6.8.2. Each laboratory engaged in asbestos counting shall set up a slide trading arrangement with at least two other laboratories in order to compare performance and eliminate inbreeding of error. The slide exchange occurs at least semiannually. The round robin results shall be posted where all analysts can view individual analyst's results.
6.8.3. Each laboratory engaged in asbestos counting shall participate in the Proficiency Analytical Testing Program, the Asbestos Analyst Registry or equivalent.
6.8.4. Each analyst shall select and count prepared slides from a “slide bank”. These are quality assurance counts. The slide bank shall be prepared using uniformly distributed samples taken from the workload. Fiber densities should cover the entire range routinely analyzed by the laboratory. These slides are counted blind by all counters to establish an original standard deviation. This historical distribution is compared with the quality assurance counts. A counter must have 95% of all quality control samples counted within three standard deviations of the historical mean. This count is then integrated into a new historical mean and standard deviation for the slide.
The analyses done by the counters to establish the slide bank may be used for an interim quality control program if the data are treated in a proper statistical fashion.
7. Calculations
7.1. Calculate the estimated airborne asbestos fiber concentration on the filter sample using the following formula:

View Graphic
where:

AC = Airborne fiber concentration 
FB = Total number of fibers greater than 5 mm counted 
FL = Total number of fields counted on the filter 
BFB = Total number of fibers greater than 5 mm counted in the blank 
BFL = Total number of fields counted on the blank 
ECA = Effective collecting area of filter (385 mm2 nominal for a 25 - mm filter.) 
FR = Pump flow rate (L/min) 
MFA = Microscope count field area (mm2). This is 0.00785 mm2 for a Walton-Beckett Graticule. 
T = Sample collection time (min) 
1,000 = Conversion of L to cc
The collection area of a filter is seldom equal to 385 mm2. It is appropriate for laboratories to routinely monitor the exact diameter using an inside micrometer. The collection area is calculated according to the formula:
Area =  P (d/2)2
7.2. Short-Cut Calculation
Since a given analyst always has the same interpupillary distance, the number of fields per filter for a particular analyst will remain constant for a given size filter. The field size for that analyst is constant (i.e. the analyst is using an assigned microscope and is not changing the reticle).
For example, if the exposed area of the filter is always 385 mm2 and the size of the field is always 0.00785 mm2 the number of fields per filter will always be 49,000. In addition it is necessary to convert liters of air to cc. These three constants can then be combined such that ECA/(1,000 x MFA)=49. The previous equation simplifies to:

View Graphic
7.3. Recount Calculations
As mentioned in step 13 of Section 6.6.2., a “blind recount” of 10% of the slides is performed. In all cases, differences will be observed between the first and second counts of the same filter wedge. Most of these differences will be due to chance alone, that is, due to the random variability (precision) of the count method. Statistical recount criteria enables one to decide whether observed differences can be explained due to chance alone or are probably due to systematic differences between analysts, microscopes, or other biasing factors.
The following recount criterion is for a pair of counts that estimate AC in fibers/cc. The criterion is given at the type-I error level. That is, there is 5% maximum risk that we will reject a pair of counts for the reason that one might be biased, when the large observed difference is really due to chance.
Reject a pair of counts if:

View Graphic
Where:

AC1 = lower estimated airborne fiber concentration 
AC2 = higher estimated airborne fiber concentration 
ACavg = average of the two concentration estimates 
CVFB = CV for the average of the two concentration estimates
If a pair of counts are rejected by this criterion then, recount the rest of the filters in the submitted set. Apply the test and reject any other pairs failing the test. Rejection shall include a memo to the industrial hygienist stating that the sample failed a statistical test for homogeneity and the true air concentration may be significantly different than the reported value.
7.4. Reporting Results
Report results to the industrial hygienist as fibers/cc. Use two significant figures. If multiple analyses are performed on a sample, an average of the results is to be reported unless any of the results can be rejected for cause.
8. References
8.1. Dreesen, W.C., et al., U.S. Public Health Service: A Study of Asbestosis in the Asbestos Textile Industry (Public Health Bulletin No. 241), U.S. Treasury Dept., Washington, DC, 1938.
8.2. Asbestos Research Council: The Measurement of Airborne Asbestos Dust by the Membrane Filter Method (Technical Note), Asbestos Research Council, Rockdale, Lancashire, Great Britain, 1969.
8.3. Bayer, S.G., Zumwalde, R.D., Brown, T.A., Equipment and Procedure for Mounting Millipore Filters and Counting Asbestos Fibers by Phase Contrast Microscopy, Bureau of Occupational Health, U.S. Dept. of Health, Education and Welfare, Cincinnati, OH, 1969.
8.4. NIOSH Manual of Analytical Methods, 2nd ed., Vol. 1 (DHEW/ NIOSH Pub. No. 77-157-A). National Institute for Occupational Safety and Health, Cincinnati, OH, 1977. pp. 239-1 -- 239-21.
8.5. Asbestos, Code of Federal Regulations 29 CFR 1910.1001. 1971.
8.6. Occupational Exposure to Asbestos, Tremolite, Anthophyllite, and Actinolite. Final Rule, Federal Register 51:119 (20 June 1986). pp. 22612-22790.
8.7. Asbestos, Tremolite, Anthophyllite, and Actinolite, Code of Federal Regulations 1910.1001. 1988. pp. 711-752.
8.8. Criteria for a Recommended Standard -- Occupational Exposure to Asbestos (DHEW/NIOSH Pub. No. HSM 72-10267), National Institute for Occupational Safety and Health, NIOSH, Cincinnati, OH, 1972. pp. III-1 -- III-24.
8.9. Leidel, N.A., Bayer, S.G., Zumwalde, R.D., Busch, K.A., USPHS/NIOSH Membrane Filter Method for Evaluating Airborne Asbestos Fibers (DHEW/NIOSH Pub. No. 79-127). National Institute for Occupational Safety and Health, Cincinnati, OH, 1979.
8.10. Dixon, W.C., Applications of Optical Microscopy in Analysis of Asbestos and Quartz, Analytical Techniques in Occupational Health Chemistry, edited by D.D. Dollberg and A.W. Verstuyft. Wash. D.C.: American Chemical Society, (ACS Symposium Series 120) 1980. pp. 13-41.
Quality Control
The OSHA asbestos regulations require each laboratory to establish a quality control program. The following is presented as an example of how the OSHA-SLTC constructed its internal CV curve as part of meeting this requirement. Data is from 395 samples collected during OSHA compliance inspections and analyzed from October 1980 through April 1986.
Each sample was counted by 2 to 5 different counters independently of one another. The standard deviation and the CV statistic was calculated for each sample. This data was then plotted on a graph of CV vs. fibers/mm2. A least squares regression was performed using the following equation:
CV = antilog10 [A(log10(x))2+B(log10(x))+C]
where:

x = the number of fibers/mm2
Application of least squares gave:

A = 0.182205 
B = 0.973343 
C = 0.327499
Using these values, the equation becomes:
CV = antilog10 [0.182205(log10(x))2 + 0.973343(log10(x)) + 0.327499]
Sampling Pump Flow Rate Corrections
This correction is used if a difference greater than 5% in ambient temperature and/or pressure is noted between calibration and sampling sites and the pump does not compensate for the differences.

View Graphic

Where:

Qact = actual flow rate 
Qcal = calibrated flow rate (if a rotameter was used, the rotameter value)
Pcal = uncorrected air pressure at calibration 
Pact = uncorrected air pressure at sampling site 
Tact = temperature at sampling site (oK) 
Tcal = temperature at calibration (oK)
Walton-Beckett Graticule
When ordering the Graticule for asbestos counting, specify the exact disc diameter needed to fit the ocular of the microscope and the diameter (mm) of the circular counting area. Instructions for measuring the dimensions necessary are listed:
(1) Insert any available graticule into the focusing eyepiece and focus so that the graticule lines are sharp and clear.
(2) Align the microscope.
(3) Place a stage micrometer on the microscope object stage and focus the microscope on the graduated lines.
(4) Measure the magnified grid length, PL (mm), using the stage micrometer.
(5) Remove the graticule from the microscope and measure its actual grid length, AL (mm). This can be accomplished by using a mechanical stage fitted with verniers, or a jeweler's loupe with a direct reading scale.
(6) Let D = 100 mm. Calculate the circle diameter, dc(mm), for the Walton-Beckett graticule and specify the diameter when making a purchase:

View Graphic

Example: If PL = 108 mm, AL = 2.93 mm and D = 100 mm, then,

View Graphic
(7) Each eyepiece-objective-reticle combination on the microscope must be calibrated. Should any of the three be changed (by zoom adjustment, disassembly, replacement, etc.), the combination must be recalibrated. Calibration may change if interpupillary distance is changed.
Measure the field diameter, D (acceptable range: 100 plus or minus 2 mm) with a stage micrometer upon receipt of the graticule from the manufacturer. Determine the field area (mm2).

Field Area = p(D/2)2 
If D = 100 mm = 0.1 mm, then 
Field Area = P(0.1 mm/2)2 = 0.00785mm2
The Graticule is available from: Graticules Ltd., Morley Road, Tonbridge TN9 IRN, Kent, England (Telephone 011-44-732-359061). Also available from PTR Optics Ltd., 145 Newton Street, Waltham, MA 02154 [telephone (617) 891-6000] or McCrone Accessories and Components, 2506 S. Michigan Ave., Chicago, IL 60616 [phone (312)- 842-7100]. The graticule is custom made for each microscope.

View Graphic

Figure 1: Walton-Beckett Graticule with some explanatory fibers.

Counts for the Fibers in the Figure

Structure No. 	Count 	Explanation

1 to 6	1		Single fibers all contained within the Circle. 7	1/2		Fiber crosses circle once.
8 	0		Fiber too short. 
9 	2		Two crossing fibers. 
10 	0		Fiber outside graticule. 
11 	0		Fiber crosses graticule twice.
12 	1/2		Although split, fiber only crosses once. 

NOTE

Authority cited: Section 142.3, Labor  Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix B to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1 (Register 91, No. 45).
3. Editorial correction of Appendix B (Register 95, No. 41).
4. Repealer and new appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
5. Change without regulatory effect providing more legible Figure 1 filed 1-20-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).

Appendix C

Qualitative and Quantitative Fit Testing Procedures 

Mandatory

[See Section 5144, Appendix A]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix C to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Amendment repealing appendix C and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).

Appendix D

Medical Questionnaires 

Manditory
This mandatory appendix contains the medical questionnaires that must be administered to all employees who are exposed to asbestos above the permissible exposure limit, and who will therefore be included in their employer's medical surveillance program. Part 1 of the appendix contains the Initial Medical Questionnaire, which must be obtained for all new hires who will be covered by the medical surveillance requirements. Part 2 includes the abbreviated Periodical Medical Questionnaire, which must be administered to all employees who are provided periodic examinations under the medical surveillance provisions of the standard.

Part 1
INITIAL MEDICAL QUESTIONNAIRE

1. NAME 									

2. SOCIAL SECURITY # 																		

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15

4. PRESENT OCCUPATION 											

5. PLANT 												

6. ADDRESS 												

7. 												
											 (Zip Code)

8. TELEPHONE NUMBER 																

9. INTERVIEWER 																	

10. DATE																			

								16		17		18		19		20	21

11. Date of Birth																			

		Month		Day	Year			22		23		24		25		26	27

12. Place of Birth 																	

13 Sex					1. Male			
					2. Female		

14. What is your marital status?			1. Single					4. Separated/
					2. Married				  Divorced		
					3. Widowed		

15. Race					1. White				4. Hispanic		
					2. Black				5. Indian				
					3. Asian				6. Other				

16. What is the highest grade completed in school? 											
  (For example 12 years is completion of high school)

OCCUPATIONAL HISTORY

17A. Have you ever worked full time (30 hours					1. Yes 		2. No 		
   per week or more) for 6 months or more?
  
   IF YES TO 17A:

 B. Have you ever worked for a year or more in					1. Yes 		2. No 		
   any dusty job?					3. Does Not Apply 	

   Specify job/industry 					 Total Years Worked 		

   Was dust exposure:		1. Mild __  2. Moderate __  3. Severe __

 C. Have you even been exposed to gas or 					1. Yes 		2. No 		
   chemical fumes in your work?
   Specify job/industry 						 Total Years Worked 		

   Was exposure:		1. Mild __  2. Moderate __  3. Severe __

 D. What has been your usual occupation or job--the one you have worked at the longest?

   1. Job occupation 												

   2. Number of years employed in this occupation 											

   3. Position/job title 												

   4. Business, field or industry												

(Record on lines the years in which you have worked in any of these industries. e.g. 1960-1969)

View Graphic

19. CHEST COLDS AND CHEST ILLNESSES

19A. If you get a cold, does it usually go to your chest? (Usually 	1.	Yes __ 2. No	__
means more than 1/2 the time)	3.	Don't get colds 	__

20A. During then past 3 years, have you had any chest illnesses	1.	Yes __ 2. No	__
that have kept you off work, indoors at home, or in bed?

   IF YES TO 20A

 B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. In the last 3 years, how many such illnesses with (increased)	Number of illnesses	__
 phlegm did you have which lasted a week or more?	No such illnesses		__

21. Did you have any lung trouble before the age of 16?	1.	Yes __ 2. No	__

22. Have you ever had any of the following?

1A. Attacks of bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 1A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age was your first attack?		Age in Years		__
		Does Not Apply	__

2A. Pneumonia (include bronchopneumonia)?	1.	Yes __ 2. No	__

   IF YES TO 2A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age did you first have it?		Age in Years		__
		Does Not Apply	__

3A. Hay fever?	1.	Yes __ 2. No	__

   IF YES TO 3A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__
	
 C. At what age did it start?		Age in Years		__
		Does Not Apply	__

23A. Have you ever had chronic bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 23A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

24A. Have you ever had emphysema?	1.	Yes __ 2. No	__

   IF YES TO 24A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

25A. Have you ever had asthma?	1.	Yes __ 2. No	__

   IF YES TO 25A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

 E. If you no longer have it, at what age did it stop?		Age stopped		__
		Does Not Apply	__

26. Have you ever had:
A. Any other chest illness?	1.	Yes __ 2. No	__
   If yes, please specify 				

B. Any chest operations?	1.	Yes __ 2. No	__
   If yes, please specify				

C. Any chest injuries?	1.	Yes __ 2. No	__
   If yes, please specify				

27A. Has a doctor ever told you that you had heart trouble?	1.	Yes __ 2. No	__
  
   IF YES TO 27A:
B. Have you ever had treatment for heart trouble in the	1.	Yes __ 2. No	__
  past 10 years?	3.	Does not apply		__

28A. Has a doctor ever told you that you had high blood pressure?	1.	Yes __ 2. No	__
  
   IF YES TO 28A:
B. Have you ever had treatment for high blood pressure 	1.	Yes __ 2. No	__
  (hypertension) in the past 10 years?	3.	Does not apply		__

29. When did you last have your chest X-rayed?	(Year)								
			25		26		27		28

30. Where did you last have your chest X-rayed (if known)?				
What was the outcome?				

FAMILY HISTORY

31. Were either of your natural parents ever told by a doctor that they had a chronic lung condition such as:

	FATHER	MOTHER

	1.	Yes	2.	No	3.	Don't	1.	Yes	2.	No	3.	Don't
						Know						Know

  A. Chronic
    Bronchitis?													

  B. Emphysema?													

  C. Asthma?													 

  D. Lung cancer?													

  E. Other chest conditions?													

  F. Is parent currently alive?													

  G. Please Specify			 Age if Living			 Age if Living
			 Age at Death				 Age at Death
			 Don't Know				 Don't Know
  H. Please specify cause of death

COUGH

32A. Do you usually have a cough? (Count a cough with first 	1.	Yes __ 2. No	__
smoke or on first going out of doors. Exclude clearing of
throat.) [If no, skip to question 32C.]

 B. Do you usually cough as much as 4 to 6 times a day	1.	Yes __ 2. No	__
4 or more days out of the week?

 C. Do you usually cough at all on getting up or first thing in	1.	Yes __ 2. No	__
the morning?

 D. Do you usually cough at all during the rest of the day	1.	Yes __ 2. No	__
or at night?

IF YES TO ANY OF ABOVE (32A, B, C, OR D), ANSWER THE FOLLOWING. IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO NEXT PAGE.

 E. Do you usually cough like this on most days for 3	1.	Yes __ 2. No	__
consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had the cough?	Number of Years		__
	Does Not Apply		__

33A. Do you usually bring up phlegm from your chest?	1.	Yes __ 2. No	__
(Count phlegm with the first smoke or on first
going out of doors. Exclude phlegm from the nose. 
Count swallowed phlegm.) (If no, skip to 33C)

 B. Do you usually bring up phlegm like this as much	1.	Yes __ 2. No	__
as twice a day 4 or more days out of the week?

 C. Do you usually bring up phlegm at all on getting	1.	Yes __ 2. No	__
up or first thing in the morning?

 D. Do you usually bring up phlegm at all during	1.	Yes __ 2. No	__
the rest of the day or at night?

IF YES TO ANY OF THE ABOVE (33A, B, C, OR D), ANSWER THE FOLLOWING:
IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO 34A.

 E. Do you bring up phlegm like this on most days	1.	Yes __ 2. No	__
for 3 consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had trouble with phlegm?	Number of years		__
	Does not apply		__

EPISODES OF COUGH AND PHLEGM

34A. Have you had periods or episodes of (increased*) cough	1.	Yes __ 2. No	__
and phlegm lasting for 3 weeks or more each year?
*(For persons who usually have cough and/or phlegm)

IF YES TO 34A

 B. For how long have you had at least 1 such episode per year?	Number of years		__
	Does not apply		__

WHEEZING

35A. Does you chest ever sound wheezy or whistling
   1. When you have a cold?	1.	Yes __ 2. No	__
   2. Occasionally apart from colds?	1.	Yes __ 2. No	__
   3. Most days or nights?	1.	Yes __ 2. No	__

IF YES TO 1, 2, or 3 in 35A

 B. For how many years has this been present?	Number of years		__
	Does not apply		__

36A. Have you ever had an attack of wheezing that has made you	1.	Yes __ 2. No	__
feel short of breath?

 B. How old were you when you had your first such attack?	Age in years		__
	Does not apply		__

 C. Have you had 2 or more such episodes?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 D. Have you ever required medicine or treatment	1.	Yes __ 2. No	__
for the(se) attack(s)?	3.	Does not apply		__

BREATHLESSNESS

37. If disabled from walking by any condition other
than heart or lung disease, please describe and
proceed to question 39A.
Nature of condition(s)			

38A. Are you troubled by shortness of breath when	1.	Yes __ 2. No	__
hurrying on the level or walking up a slight hill?

IF YES TO 38A

 B. Do you have a walk slower than people of your age	1.	Yes __ 2. No	__
on the level because of breathlessness?	3.	Does not apply		__

 C. Do you ever have to stop for breath when walking at	1.	Yes __ 2. No	__
your own pace on the level?	3.	Does not apply		__

 D. Do you ever have to stop for breath after walking	1.	Yes __ 2. No	__
about 100 yards (or after a few minutes) on the level?	3.	Does not apply		__

 E. Are you too breathless to leave the house or	1.	Yes __ 2. No	__
breathless on dressing or climbing one flight of stairs?	3.	Does not apply		__

TOBACCO SMOKING

39A. Have you ever smoked cigarettes? (No means less than 20	1.	Yes __ 2. No	__
packs of cigarettes or 12 oz. of tobacco in a lifetime or
less than 1 cigarette a day for 1 year.)

IF YES TO 39A

 B. Do you now smoke cigarettes (as of one month ago)	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. How old were you when you first started regular	Age in years		__
cigarette smoking?	Does not apply		__

 D. If you have stopped smoking cigarettes completely,	Age stopped		__
how old were you when you stopped?	Check if still 
	smoking		__
	Does not apply		__

 E. How many cigarettes do you smoke per day now?	Cigarettes per day		__
	Does not apply		__

 F. On the average of the entire time you smoked, how	Cigarettes per day		__
many cigarettes did you smoke per day?	Does not apply		__

 G. Do or did you inhale the cigarette smoke?	1.	Does not apply		__
	2.	Not at all		__
	3.	Slightly		__
	4.	Moderately		__
	5.	Deeply		__

40A. Have you ever smoked a pipe regularly?	1.	Yes __ 2. No	__
(Yes means more than 12 oz. of tobacco in a
lifetime.)

IF YES TO 40A:

 B. 1. How old were you when you started to smoke a pipe regularly?	Age			__

2. If you have stopped smoking a pipe completely, how old were	Age stopped			__
 you when you stopped?	Check of still smoking
	pipe			__
	Does not apply		__

 C. On the average over the entire time you smoked a pipe,	__	oz. per week (a standard pouch
how much pipe tobacco did you smoke per week?	  of tobacco contains 1 1/2 oz.)
	__	Does not apply

 D. How much pipe tobacco are you smoking now?	oz. per week			__
	Not currently 
	smoking a pipe		__

 E. Do you or did you inhale the pipe smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

41A. Have you ever smoked cigars regularly?	1.	Yes __ 2. No	__
(Yes means more than 1 cigar a week for a year)

IF YES TO 41A

FOR PERSONS WHO HAVE EVER SMOKED CIGARS

 B. 1. How old were you when you started smoking cigars regularly?	Age			__

2. If you have stopped smoking cigars completely, how old were	Age stopped			__
 you when you stopped?	Check if still 
	smoking cigars		__
	Does not apply		__

 C. On the average over the entire time you smoked cigars,	Cigars per week		__
how many cigars did you smoke per week?	Does not apply		__

 D. How many cigars are you smoking per week now?	Cigars per week		__
	Check if not 
	smoking cigars
	currently		__

 E. Do or did you inhale the cigar smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

Signature 		Date			

Part 2
PERIODIC MEDICAL QUESTIONNAIRE

1. NAME 									

2. SOCIAL SECURITY # 																			

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15

4. PRESENT OCCUPATION 											

5. PLANT 												

6. ADDRESS 												

7. 												
											 (Zip Code)

8. TELEPHONE NUMBER 																

9. INTERVIEWER 																	

10. DATE																				

								16		17		18		19		20	21

11. What is your marital status?	1.	Single			4.	Separated/	
	2.	Married				Divorced		
	3.	Widowed		

12. OCCUPATIONAL HISTORY

12A. In the past year, did you work full time (30 hours	1.	Yes __ 2. No	__
per week or more) for 6 months or more?

IF YES TO 12A:

12B. In the past year, did you work in a dusty job?	1.	Yes __ 2. No	__
	3.	Does not apply		__

12C. Was dust exposure:	1.	Mild			2.	Moderate		3.	Severe	

12D. In the past year, were you exposed to gas or	1.	Yes __ 2. No	__
chemical fumes in your work?

12E. Was exposure:	1.	Mild			2.	Moderate		3.	Severe	

12F. In the past year,
what was your:	1.	Job/occupation?					
	2.	Position/job title?					

13. RECENT MEDICAL HISTORY

13A. Do you consider yourself to be in good heath?	Yes __		No __

IF NO, state reason												

13B. In the past year, have you developed:							Yes  No
		Epilepsy?				___  ___
		Rheumatic fever?			___  ___
		Kidney disease?			___  ___
		Bladder disease?			___  ___
		Diabetes?				___  ___
		Jaundice?				___  ___
		Cancer?				___  ___

14. CHEST COLDS AND CHEST ILLNESSES

14A. If you get a cold, does it usually go to your chest?
(Usually means more than 1/2 the time)
	1.	Yes __	2 No.	__
	3.	Don't get colds		__

15A. During the past year, have you had any chest illnesses	1.	Yes __	2 No.	__
that have kept you off work, indoors at home, or in bed?	3.	Does Not Apply	__

IF YES TO 15A:

15B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __	2 No.	__
	3.	Does Not Apply	__

15C. In the past year, how many such illnesses with (increased)	Number of illnesses	__
phlegm did you have which lasted a week or more?	No such illnesses		__

16. RESPIRATORY SYSTEM
In the past year have you had:
	Yes or No	Further Comment on Positive
		Answers
Asthma	 ____

Bronchitis	 ____

Hay Fever	 ____

Other Allergies	 ____

	Yes or No	Further Comment on Positive
		Answers
Pneumonia	 ____

Tuberculosis	 ____

Chest Surgery	 ____

Other Lung Problems	 ____

Heart Disease	 ____

Do you have:

	Yes or No	Further Comment on Positive
		Answers
Frequent colds	 ____

Chronic cough	 ____

Shortness of breath when
walking or climbing one
flight of stairs	 ____

Do you:

Wheeze	 ____

Cough up phlegm	 ____

Smoke cigarettes	 ____	Packs per day ____ How many years ____

Date 		Signature 		

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix D to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Editorial correction of Part 1, No. 16 (Register 99, No. 28).

Appendix E

Interpretation and Classification of Chest Roentgenograms
Mandatory
(a) Chest roentgenograms shall be interpreted and classified in accordance with a professionally accepted classification system and recorded on an interpretation form following the format of the CDC/NIOSH (M) 2.8 form. As a minimum, the content within the bold lines of this form (items 1 through 4) shall be included. This form is not to be submitted to NIOSH.
(b) Roentgenograms shall be interpreted and classified only by a B-reader, a board eligible/certified radiologist, or an experienced physician with known expertise in pneumoconioses.
(c) All interpreters, whenever interpreting chest roentgenograms made under this section, shall have immediately available for reference a complete set of the ILO-U/C International Classification of Radiographs for Pneumoconioses, 1980.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix E to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix F

Work Practices and Engineering Controls for Automotive Brake and Clutch Inspection, Disassembly, Repair, and Assembly 

Mandatory
This mandatory appendix specifies engineering controls and work practices that must be implemented by the employer during automotive brake and clutch inspection, disassembly, repair, and assembly operations. Proper use of these engineering controls and work practices by trained employees will reduce employees' asbestos exposure below the permissible exposure level during clutch and brake inspection, disassembly, repair, and assembly operations. The employer shall institute engineering controls and work practices using either the method set forth in paragraph [A] or paragraph [B] of this appendix, or any other method which the employer can demonstrate to be equivalent in terms of reducing employee exposure to asbestos, as defined, and which meets the requirements described in paragraph [C] of this appendix. For those facilities in which no more than 5 pairs of brakes or 5 clutches are inspected, disassembled, reassembled, and/or repaired per week, the method set forth in paragraph [D] of this appendix may be used. 
[A] Negative Pressure Enclosure/HEPA Vacuum System Method:
(1) The brake and clutch inspection, disassembly, repair, and assembly operations shall be enclosed to cover and contain the clutch or brake assembly and to prevent the release of asbestos fibers into the worker's breathing zone.
(2) the enclosure shall be sealed tightly and thoroughly inspected for leaks before work begins on brake and clutch inspection, disassembly, repair, and assembly.
(3) The enclosure shall be such that the worker can clearly see the operation and shall provide impermeable sleeves through which the worker can handle the brake and clutch inspection, disassembly, repair and assembly. The integrity of the sleeves and ports shall be examined before work begins.
(4) A HEPA-filtered vacuum shall be employed to maintain the enclosure under negative pressure throughout the operation. Compressed-air may be used to remove asbestos fibers or particles from the enclosure.
(5) The HEPA vacuum shall be used first to loosen the asbestos-containing residue from the brake and clutch parts, and then to evacuate the loosened asbestos-containing material from the enclosure and capture the material in the vacuum filter.
(6) The vacuum's filter, when full, shall be first wetted with a fine mist of water, then removed and placed immediately in an impermeable container, labeled according to subsection (j) (4) of this section, and disposed of according to subsection (k) of this section.
(7) Any spills or releases of asbestos-containing waste material from inside of the enclosure or vacuum hose or vacuum filter shall be immediately cleaned up and disposed of according to subsection (k) of this section.
[B] Low Pressure/Wet Cleaning Method:
(1) A catch basin shall be placed under the brake assembly, positioned to avoid splashes and spills.
(2) The reservoir shall contain water containing an organic solvent or wetting agent. The flow of liquid shall be controlled such that the brake assembly is gently flooded to prevent the asbestos-containing brake dust from becoming airborne.
(3) The aqueous solution shall be allowed to flow between the brake drum and brake support before the drum is removed.
(4) After removing the brake drum, the wheel hub and back of the brake assembly shall be thoroughly wetted to suppress dust.
(5) The brake support plate, brake shoes and brake components used to attach the brake shoes shall be thoroughly washed before removing the old shoes.
(6) In systems using filters, the filters when full shall be first wetted with a fine mist of water, then removed and placed immediately in an impermeable container labeled according to subsection (j) (4) of this section, and disposed of according to subsection (k) of this section.
(7) Any spills of asbsetos-containing aqueous solution or any asbsetos-containing waste material shall be cleaned up immediately and disposed of according to subsection (k) of this section.
(8) The use of dry brushing during low pressure/wet cleaning operations is prohibited.
[C] Equivalent Methods:
An equivalent method is one which has sufficient written detail so that it can be reproduced, and for which it has been demonstrated that the exposures resulting from the equivalent method are equal to or less than the exposures which would result from the use of the method described in paragraph [A] of this appendix. For purposes of making this comparison, the employer shall assume that exposures resulting from the use of the method described in paragraph [A] of this appendix shall not exceed 0.016 f/cc, as measured by the OSHA reference method and as averaged over at least 18 personal samples.
[D] Wet Method:
(1) A spray bottle, hose nozzle, or other implement capable of delivering a fine mist of water or amended water, or other delivery system capable of delivering water at low pressure, shall be used to first thoroughly wet the brake and clutch parts. Brake and clutch components shall then be wiped clean with a cloth.
(2) The cloth shall be placed in an impermeable container, labeled according to subsection (j) (4) of this section, and then disposed of according to subsection (k) of this section; or the cloth shall be laundered in a way to prevent the release of asbestos fibers in excess of 0.1 fiber per cubic centimeter of air.
(3) Any spills of solvent or any asbstos-containing waste material shall be cleaned up immediately according to subsection (k) of this section.
(4) The use of dry brushing during the wet method operations is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Appendix F to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19). 
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Repealer and new appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix G

Substance Technical Information for Asbestos
Non-Mandatory
I. Substance Identification
A. Substance: “Asbestos” is the name of a class of magnesium-silicate minerals that occur in fibrous form. Minerals that are included in this group are chrysotile, crocidolite, amosite, anthophyllite asbestos, tremolite asbestos, and actinolite asbestos.
B. Asbestos is used in the manufacture of heat-resistant clothing, automotive brake and clutch linings, and a variety of building materials including floor tiles, roofing felts, ceiling tiles, asbestos-cement pipe and sheet, and fire-resistant drywall. Asbestos is also present in pipe and boiler insulation materials, and in sprayed-on materials located on beams, in crawlspaces, and between walls.
C. The potential for an asbestos-containing product to release breathable fibers depends on its degree of friability. “Friable” means that the material can be crumbled with hand pressure and is therefore likely to emit fibers. The fibrous fluffy sprayed-on materials used for fireproofing, insulation, or sound proofing are considered to be friable, and they readily release airborne fibers if disturbed. Materials such as vinyl-asbestos floor tile or roofing felt are considered non-friable if intact and generally do not emit airborne fibers unless subjected to sanding, sawing and other aggressive operations. Asbestos-cement pipe or sheet can emit airborne fibers if the materials are cut or sawed, or if they are broken. 
D. Permissible exposure: Exposure to airborne asbestos fibers may not exceed 0.1 fibers per cubic centimeter of air (0.1 f/cc) averaged over the 8-hour workday, and 1 fiber per cubic centimeter of air (1.0 f/cc) averaged over a 30 minute work period.
II. Health Hazard Data
A. Asbestos can cause disabling respiratory disease and various types of cancers if the fibers are inhaled. Inhaling or ingesting fibers from contaminated clothing or skin can also result in these diseases. The symptoms of these diseases generally do not appear for 20 or more years after initial exposure.
B. Exposure to asbestos has been shown to cause lung cancer, mesothelioma, and cancer of the stomach and colon. Mesothelioma is a rare cancer of the thin membrane lining of the chest and abdomen. Symptoms of mesothelioma include shortness of breath, pain in the walls of the chest, and/or abdominal pain.
III. Respirators and Protective Clothing
A. Respirators: You are required to wear a respirator when performing tasks that result in asbestos exposure that exceeds the permissible exposure limit (PEL) of 0.1 f/cc and when performing certain designated operations. Air-purifying respirators equipped with a high-efficiency particulate air (HEPA) filter can be used where airborne asbestos fiber concentrations do not exceed 1.0 f/cc; otherwise, more protective respirators such as air-supplied, positive-pressure, full facepiece respirators must be used. Disposable respirators or dust masks are not permitted to be used for asbestos work. For effective protection, respirators must fit your face and head snugly. Your employer is required to conduct fit tests when you are first assigned a respirator and annually thereafter. Respirators should not be loosened or removed in work situations where their use is required.
B. Protective Clothing: You are required to wear protective clothing in work areas where asbestos concentrations exceed the permissible exposure limit (PEL) of 0.1 f/cc.
IV. Disposal Procedures and Clean-up
A. Wastes that are generated by processes where asbestos is present include:
1. Empty asbestos shipping containers.
2. Process wastes such as cuttings, trimmings, or reject material.
3. Housekeeping waste from wet-sweeping or HEPA-vacuuming.
4. Asbestos fireproofing or insulating material that is removed from buildings.
5. Asbestos-containing building products removed during building renovation or demolition.
6. Contaminated disposable protective clothing.
B. Empty shipping bags can be flattened under exhaust hoods and packed into airtight containers for disposal. Empty shipping drums are difficult to clean and should be sealed.
C. Vacuum bags or disposable paper filters should not be cleaned, but should be sprayed with a fine water mist and placed into a labeled waste container.
D. Process waste and housekeeping waste should be wetted with water, or a mixture of water, and surfactant prior to packaging in disposable containers.
E. Asbestos-containing material that is removed from buildings must be disposed of in leak-tight 6-mil plastic bags, plastic-lined cardboard containers, or plastic-lined metal containers. These wastes, which are removed while wet, should be sealed in containers before they dry out to minimize the release of asbestos fibers during handling.
V. Access to Information
A. Each year, your employer is required to inform you of the information contained in this standard, and appendices, for asbestos. In addition, your employer must instruct you in the proper work practices for handling asbestos-containing materials, and the correct use of protective equipment.
B. Your employer is required to determine whether you are being exposed to asbestos. Your employer must treat exposure to thermal system insulation and sprayed-on and troweled-on surfacing material as asbestos exposure, unless results of laboratory analysis show that the material does not contain asbestos. You or your representative has the right to observe employee measurements and to record the results obtained. Your employer is required to inform you of your exposure, and, if you are exposed above the permissible exposure limit, he or she is required to inform you of the actions that are being taken to reduce your exposure to within the permissible limit.
C. Your employer is required to keep records of your exposures and medical examinations. These exposure records must be kept for at least thirty (30) years, Medical records must be kept for the period of your employment plus thirty (30) years.
D. Your employer is required to release your exposure and medical records to your physician or designated representative upon your written request. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix G to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
4. Change without regulatory effect amending section III.A. of appendix G filed 12-23-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 52).

Appendix H

Medical Surveillance Guidelines for Asbestos
Non-Mandatory

I. 	Route of Entry:  Inhalation, Ingestion

II.	Toxicology
Clinical evidence of the adverse effects associated with exposure to asbestos is present in the form of several well-conducted epidemiological studies of occupationally exposed workers, family contacts of workers, and persons living near asbestos mines. These studies have shown a definite association between exposure to asbestos and an increased incidence of lung cancer, pleural and peritoneal mesothelioma, gastrointestinal cancer, and asbestosis. The latter is a disabling fibrotic lung disease that is caused only by exposure to asbestos. Exposure to asbestos has also been associated with an increased incidence of esophageal, kidney, laryngeal, pharyngeal, and buccal cavity cancers. As with other known chronic occupational diseases, disease associated with asbestos generally appears about 20 years following the first occurrence of exposure. There are no known acute effects associated with exposure to asbestos.
Epidemiological studies indicate that the risk of lung cancer among exposed workers who smoke cigarettes is greatly increased over the risk of lung cancer among non-exposed smokers or exposed nonsmokers. These studies suggest that cessation of smoking will reduce the risk of lung cancer for a person exposed to asbestos but will not reduce it to the same level of risk as that existing for an exposed worker who has never smoked.
III. Signs and Symptoms of Exposure-Related Disease
The signs and symptoms of lung cancer or gastrointestinal cancer induced by exposure to asbestos are not unique, except that a chest X-ray of an exposed patient with lung cancer may show pleural plaques, pleural calcification, or pleural fibrosis. Symptoms characteristic of mesothelioma include shortness of breath, pain in the walls of the chest, or abdominal pain. Mesothelioma has a much longer latency period compared with lung cancer (40 years versus 15-20 years), and mesothelioma is therefore likely to be found among workers who were first exposed to asbestos at an early age. Mesothelioma is always fatal.
Asbestosis is pulmonary fibrosis caused by the accumulation of asbestos fibers in the lungs. Symptoms include shortness of breath, coughing, fatigue, and vague feelings of sickness. When the fibrosis worsens, shortness of breath occurs even at rest. The diagnosis of asbestosis is based on a history of exposure to asbestos, the presence of characteristic radiologic changes, end inspiratory crackles (rales), and other clinical features of fibrosing lung disease. Pleural plaques and thickening are observed on X-rays taken during the early stages of the disease. Asbestosis is often a progressive disease even in the absence of continued exposure, although this appears to be a highly individualized characteristic. In severe cases, death may be caused by respiratory or cardiac failure.
IV. Surveillance and Preventive Considerations
As noted above, exposure to asbestos has been linked to an increased risk of lung cancer, mesothelioma, gastrointestinal cancer, and asbestosis among occupationally exposed workers. Adequate screening tests to determine an employee's potential for developing serious chronic diseases, such as cancer, from exposure to asbestos do not presently exist. However, some tests, particularly chest X-rays and pulmonary function tests, may indicate that an employee has been overexposed to asbestos, thus increasing his or her risk of developing exposure-related chronic disease. It is important for the physician to become familiar with the operating conditions in which occupational exposure to asbestos is likely to occur. This is particularly important in evaluating medical and work histories and in conducting physical examinations. When an active employee has been identified as having been overexposed to asbestos, measures taken by the employer to eliminate or mitigate further exposure should also lower the risk of serious long-term consequences. 
The employer is required to institute a medical surveillance program for all employees who are or will be exposed to asbestos at or above the permissible exposure limit (0.1 fiber per cubic centimeter of air). All examinations and procedures must be performed by or under the supervision of a licensed physician, at a reasonable time and place, and at no cost to the employee.
Although broad latitude is given to the physician in prescribing specific tests to be included in the medical surveillance program, OSHA requires inclusion of the following elements in the routine examination: 
(i) Medical and work histories with special emphasis directed to symptoms of the respiratory system, cardiovascular system, and digestive tract.
(ii) Completion of one of the respiratory disease questionnaires contained in Appendix D: Part 1 for the initial examination and part 2 for periodic examinations. 
(iii) A physical examination including a chest X-ray (at the discretion of the examining physician for construction work) and pulmonary function testing that includes measurement of the employee's forced vital capacity (FVC) and forced expiratory volume at one second (FEV1).
(iv) Any laboratory or other test that the examining physician deems by sound medical practice to be necessary or appropriate.
The employer is required to make the prescribed tests available at least annually to those employees covered; more often than specified if recommended by the examining physician; and upon termination of employment.
The employer is required to provide the physician with the following information: a copy of this standard and appendices; a description of the employee's work assignments as they relate to asbestos exposure; the employee's representative level of exposure to asbestos; a description of any personal protective and respiratory equipment used; and information from previous medical examinations of the affected employee that is not otherwise available to the physician. Making this information available to the physician will aid in the evaluation of the employee's health in relation to assigned duties and fitness to wear personal protective equipment, if required.
The employer is required to obtain a written opinion from the examining physician containing the results of the medical examination; the physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of exposure-related disease; any recommended limitations on the employee or on the use of personal protective equipment; and a statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions related to asbestos exposure that require further explanation or treatment. This written opinion must not reveal specific findings or diagnoses unrelated to exposure to asbestos, and a copy of the opinion must be provided to the affected employee.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. New Appendix H to section 5208 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Amendment of appendix and Note filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix  I

Smoking Cessation Program Information
for Asbestos 

Non-Mandatory
The following organizations provide smoking cessation information.
1. The National Cancer Institute operates a toll free Cancer Information Service (CIS) with trained personnel to help you. Call 1-800-4-CANCER to reach the CIS office serving your area, or write: Office of Cancer Communications, National Cancer Institute, National Institutes of Health, Building 31 Room 10A24, Bethesda, Maryland 20892.
2. American Cancer Society, 3340 Peachtree Road, N.E., Atlanta, Georgia 30026, (404) 320-3333. The American Cancer Society (ACS) is a voluntary organization composed of 58 divisions and 3,100 local units. Through “The Great American Smokeout” in November, the annual Cancer Crusade in April, and numerous educational materials, ACS helps people learn about the health hazards of smoking and become successful ex-smokers.
3. American Heart Association, 7320 Greenville Avenue, Dallas, Texas 75231, (214) 750-5300. The American Heart Association (AHA) is a voluntary organization with 130,000 members (physicians, scientists, and lay persons) in 55 state and regional groups. AHA produces a variety of publications and audiovisual materials about the effects of smoking on the heart. AHA also has developed a guidebook for incorporating a weight-control component into smoking cessation programs.
4. American Lung Association, 1740 Broadway, New York, New York 10019, (212) 245-8000. A voluntary organization of 7,500 members (physicians, nurses, and lay persons), the American Lung Association (ALA) conducts numerous public information programs about the health effects of smoking. ALA has 59 state and 85 local units. The organization actively supports legislation and information campaigns for non-smokers' rights and provides help for smokers who want to quit, for example, through ”Freedom From Smoking,” a self-help smoking cessation program.
5. Office on Smoking and Health, U.S. Department of Health and Human Services, 5600 Fishers Lane, Park Building, Room 110, Rockville, Maryland 20857. The Office on Smoking and Health (OSH) is the Department of Health and Human Services' lead agency in smoking control. OSH has sponsored distribution of publications on smoking-related topics, such as free flyers on relapse after initial quitting, helping a friend or family member quit smoking, the health hazards of smoking, and the effects of parental smoking on teenagers. In Hawaii, on Oahu call 524-1234 (call collect from neighboring islands), Spanish-speaking staff members are available during daytime hours to callers from the following areas: California, Florida, Georgia, Illinois, New Jersey (area code 201), New York, and Texas. Consult your local telephone directory for listings of local chapters.
NOTE

Authority cited: Section 1 42.3. Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix I to section 5208 filed 5-3-96; operative 7-3-96 (Register 96, No. 18).

Appendix J

Polarized Light Microscopy of Asbestos 

Non-Mandatory

Method number: ID-191 
Matrix: Bulk
Collection Procedure: Collect approximately 1 to 2 grams of each type of material and place into separate 20 mL scintillation vials. 
Analytical Procedure: A portion of each separate phase is analyzed by gross examination, phase-polar examination, and central stop dispersion microscopy.
Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources may be substituted.

1. Introduction
This method describes the collection and analysis of asbestos bulk materials by light microscopy techniques including phase-polar illumination and central-stop dispersion microscopy. Some terms unique to asbestos analysis are defined below:
Amphibole: A family of minerals whose crystals are formed by long, thin units which have two thin ribbons of double chain silicate with a brucite ribbon in between. The shape of each unit is similar to an “I beam”. Minerals important in asbestos analysis include cummingtonite-grunerite, crocidolite, tremolite-actinolite and anthophyllite.
Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, cummingtonite-grunerite asbestos (amosite), anthophyllite asbestos, tremolite asbestos, crocidolite, actinolite asbestos and any of these minerals which have been chemically treated or altered. The precise chemical formulation of each species varies with the location from which it was mined. Nominal compositions are listed:

Chrysotile Mg3Si2O5(OH)4 
Crocidolite (Riebeckite asbestos) Na2Fe32Fe23Si8O22(OH)2 
Cummingtonite-Grunerite asbestos (Amosite) (Mg,Fe)7Si8O22(OH)2
Tremolite-Actinolite asbestos Ca2(Mg,Fe)5Si8O22(OH)2 
Anthophyllite asbestos (Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos meeting the criteria for a fiber. (See section 3.5. of this Appendix)
Aspect Ratio: The ratio of the length of a fiber to its diameter usually defined as “length : width”, e.g. 3:1.
Brucite: A sheet mineral with the composition Mg(OH)2.
Central Stop Dispersion Staining (microscopy): This is a dark field microscope technique that images particles using only light refracted by the particle, excluding light that travels through the particle unrefracted. This is usually accomplished with a McCrone objective or other arrangement which places a circular stop with apparent aperture equal to the objective aperture in the back focal plane of the microscope.
Cleavage Fragments: Mineral particles formed by the comminution of minerals, especially those characterized by relatively parallel sides and moderate aspect ratio.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from a phase contrast asbestos count because they are not asbestos.
Fiber: A particle longer than or equal to 5 mm with a length to width ratio greater than or equal to 3:1. This may include cleavage fragments. (see section 3.5 of this appendix).
Phase Contrast: Contrast obtained in the microscope by causing light scattered by small particles to destructively interfere with unscattered light, thereby enhancing the visibility of very small particles and particles with very low intrinsic contrast.
Phase Contrast Microscope: A microscope configured with a phase mask pair to create phase contrast. The technique which uses this is called Phase Contrast Microscopy (PCM).
Phase-Polar Analysis: This is the use of polarized light in a phase contrast microscope. It is used to see the same size fibers that are visible in air filter analysis. Although fibers finer than 1 mm are visible, analysis of these is inferred from analysis of larger bundles that are usually present.
Phase-Polar Microscope: The phase-polar microscope is a phase contrast microscope which has an analyzer, a polarizer, a first order red plate, and a rotating phase condenser all in place so that the polarized light image is enhanced by phase contrast.
Sealing Encapsulant: This is a product which can be applied, preferably by spraying, onto an asbestos surface which will seal the surface so that fibers cannot be released.
Serpentine: A mineral family consisting of minerals with the general composition Mg3Si2O5(OH)4 having the magnesium in brucite layer over a silicate layer. Minerals important in asbestos analysis included in this family are chrysotile, lizardite, antigorite.

1.1. History
Light microscopy has been used for well over 100 years for the determination of mineral species. This analysis is carried out using specialized polarizing microscopes as well as bright field microscopes. The identification of minerals is an on-going process with many new minerals described each year. The first recorded use of asbestos was in Finland about 2500 B.C. where the material was used in the mud wattle for the wooden huts the people lived in as well as strengthening for pottery. Adverse health aspects of the mineral were noted nearly 2000 years ago when Pliny the Younger wrote about the poor health of slaves in the asbestos mines. Although known to be injurious for centuries, the first modern references to its toxicity were by the British Labor Inspectorate when it banned asbestos dust from the workplace in 1898. Asbestosis cases were described in the literature after the turn of the century. Cancer was first suspected in the mid 1930's and a causal link to mesothelioma was made in 1965. Because of the public concern for worker and public safety with the use of this material, several different types of analysis were applied to the determination of asbestos content. Light microscopy requires a great deal of experience and craft. Attempts were made to apply less subjective methods to the analysis. X-ray diffraction was partially successful in determining the mineral types but was unable to separate out the fibrous portions from the non-fibrous portions. Also, the minimum detection limit for asbestos analysis by X-ray diffraction (XRD) is about 1%. Differential Thermal Analysis (DTA) was no more successful. These provide useful corroborating information when the presence of asbestos has been shown by microscopy; however, neither can determine the difference between fibrous and non-fibrous minerals when both habits are present. The same is true of Infrared Absorption (IR).
When electron microscopy was applied to asbestos analysis, hundreds of fibers were discovered present too small to be visible in any light microscope. There are two different types of electron microscope used for asbestos analysis: Scanning Electron Microscope (SEM) and Transmission Electron Microscope (TEM). Scanning Electron Microscopy is useful in identifying minerals. The SEM can provide two of the three pieces of information required to identify fibers by electron microscopy: morphology and chemistry. The third is structure as determined by Selected Area Electron Diffraction -- SAED which is performed in the TEM. Although the resolution of the SEM is sufficient for very fine fibers to be seen, accuracy of chemical analysis that can be performed on the fibers varies with fiber diameter in fibers of less than 0.2 mm diameter. The TEM is a powerful tool to identify fibers too small to be resolved by light microscopy and should be used in conjunction with this method when necessary. The TEM can provide all three pieces of information required for fiber identification. Most fibers thicker than 1 mm can adequately be defined in the light microscope. The light microscope remains as the best instrument for the determination of mineral type. This is because the minerals under investigation were first described analytically with the light microscope. It is inexpensive and gives positive identification for most samples analyzed. Further, when optical techniques are inadequate, there is ample indication that alternative techniques should be used for complete identification of the sample.

1.2. Principle
Minerals consist of atoms that may be arranged in random order or in a regular arrangement. Amorphous materials have atoms in random order while crystalline materials have long-range order. Many materials are transparent to light, at least for small particles or for thin sections. The properties of these materials can be investigated by the effect that the material has on light passing through it. The six asbestos minerals are all crystalline with particular properties that have been identified and cataloged. These six minerals are anisotropic. They have a regular array of atoms, but the arrangement is not the same in all directions. Each major direction of the crystal presents a different regularity. Light photons travelling in each of these main directions will encounter different electrical neighborhoods, affecting the path and time of travel. The techniques outlined in this method use the fact that light traveling through fibers or crystals in different directions will behave differently, but predictably. The behavior of the light as it travels through a crystal can be measured and compared with known or determined values to identify the mineral species. Usually, Polarized Light Microscopy (PLM) is performed with strain-free objectives on a bright-field microscope platform. This would limit the resolution of the microscope to about 0.4 mm. Because OSHA requires the counting and identification of fibers visible in phase contrast, the phase contrast platform is used to visualize the fibers with the polarizing elements added into the light path. Polarized light methods cannot identify fibers finer than about 1 mm in diameter even though they are visible. The finest fibers are usually identified by inference from the presence of larger, identifiable fiber bundles. When fibers are present, but not identifiable by light microscopy, use either SEM or TEM to determine the fiber identity.

1.3. Advantages and Disadvantages
The advantages of light microcopy are:
(a) Basic identification of the materials was first performed by light microscopy and gross analysis. This provides a large base of published information against which to check analysis and analytical technique.
(b) The analysis is specific to fibers. The minerals present can exist in asbestiform, fibrous, prismatic, or massive varieties all at the same time. Therefore, bulk methods of analysis such as X-ray diffraction, IR analysis, DTA, etc. are inappropriate where the material is not known to be fibrous.
(c) The analysis is quick, requires little preparation time, and can be performed on-site if a suitably equipped microscope is available.
The disadvantages are:
(a) Even using phase-polar illumination, not all the fibers present may be seen. This is a problem for very low asbestos concentrations where agglomerations or large bundles of fibers may not be present to allow identification by inference.
(b) The method requires a great degree of sophistication on the part of the microscopist. An analyst is only as useful as his mental catalog of images. Therefore, a microscopist's accuracy is enhanced by experience. The mineralogical training of the analyst is very important. It is the basis on which subjective decisions are made.
(c) The method uses only a tiny amount of material for analysis. This may lead to sampling bias and false results (high or low). This is especially true if the sample is severely inhomogeneous.
(d) Fibers may be bound in a matrix and not distinguishable as fibers so identification cannot be made.

1.4. Method Performance
1.4.1. This method can be used for determination of asbestos content from 0 to 100% asbestos. The detection limit has not been adequately determined, although for selected samples, the limit is very low, depending on the number of particles examined. For mostly homogeneous, finely divided samples, with no difficult fibrous interferences, the detection limit is below 1%. For inhomogeneous samples (most samples), the detection limit remains undefined. NIST has conducted proficiency testing of laboratories on a national scale. Although each round is reported statistically with an average, control limits, etc., the results indicate a difficulty in establishing precision especially in the low concentration range. It is suspected that there is significant bias in the low range especially near 1%. EPA tried to remedy this by requiring a mandatory point counting scheme for samples less than 10%. The point counting procedure is tedious, and may introduce significant biases of its own. It has not been incorporated into this method.
1.4.2. The precision and accuracy of the quantitation tests performed in this method are unknown. Concentrations are easier to determine in commercial products where asbestos was deliberately added because the amount is usually more than a few percent. An analyst's results can be “calibrated” against the known amounts added by the manufacturer. For geological samples, the degree of homogeneity affects the precision.
1.4.3. The performance of the method is analyst dependent. The analyst must choose carefully and not necessarily randomly the portions for analysis to assure that detection of asbestos occurs when it is present. For this reason, the analyst must have adequate training in sample preparation, and experience in the location and identification of asbestos in samples. This is usually accomplished through substantial on-the-job training as well as formal education in mineralogy and microscopy.

1.5. Interferences
Any material which is long, thin, and small enough to be viewed under the microscope can be considered an interference for asbestos. There are literally hundreds of interferences in workplaces. The techniques described in this method are normally sufficient to eliminate the interferences. An analyst's success in eliminating the interferences depends on proper training.
Asbestos minerals belong to two mineral families: the serpentines and the amphiboles. In the serpentine family, the only common fibrous mineral is chrysotile. Occasionally, the mineral antigorite occurs in a fibril habit with morphology similar to the amphiboles. The amphibole minerals consist of a score of different minerals of which only five are regulated by federal standard: amosite, crocidolite, anthophyllite asbestos, tremolite asbestos and actinolite asbestos. These are the only amphibole minerals that have been commercially exploited for their fibrous properties; however, the rest can and do occur occasionally in asbestiform habit.
In addition to the related mineral interferences, other minerals common in building material may present a problem for some microscopists: gypsum, anhydrite, brucite, quartz fibers, talc fibers or ribbons, wollastonite, perlite, attapulgite, etc. Other fibrous materials commonly present in workplaces are: fiberglass, mineral wool, ceramic wool, refractory ceramic fibers, kevlar, nomex, synthetic fibers, graphite or carbon fibers, cellulose (paper or wood) fibers, metal fibers, etc.
Matrix embedding material can sometimes be a negative interference. The analyst may not be able to easily extract the fibers from the matrix in order to use the method. Where possible, remove the matrix before the analysis, taking careful note of the loss of weight. Some common matrix materials are: vinyl, rubber, tar, paint, plant fiber, cement, and epoxy. A further negative interference is that the asbestos fibers themselves may be either too small to be seen in Phase Contrast Microscopy (PCM) or of a very low fibrous quality, having the appearance of plant fibers. The analyst's ability to deal with these materials increases with experience.

1.6. Uses and Occupational Exposure
Asbestos is ubiquitous in the environment. More than 40% of the land area of the United States is composed of minerals which may contain asbestos. Fortunately, the actual formation of great amounts of asbestos is relatively rare. Nonetheless, there are locations in which environmental exposure can be severe such as in the Serpentine Hills of California.
There are thousands of uses for asbestos in industry and the home. Asbestos abatement workers are the most current segment of the population to have occupational exposure to great amounts of asbestos. If the material is undisturbed, there is no exposure. Exposure occurs when the asbestos-containing material is abraded or otherwise disturbed during maintenance operations or some other activity. Approximately 95% of the asbestos in place in the United States is chrysotile.
Amosite and crocidolite make up nearly all the difference. Tremolite and anthophyllite make up a very small percentage. Tremolite is found in extremely small amounts in certain chrysotile deposits. Actinolite exposure is probably greatest from environmental sources, but has been identified in vermiculite containing, sprayed-on insulating materials which may have been certified as asbestos-free.

1.7. Physical and Chemical Properties
The nominal chemical compositions for the asbestos minerals were given in Section 1. Compared to cleavage fragments of the same minerals, asbestiform fibers possess a high tensile strength along the fiber axis. They are chemically inert, noncombustible, and heat resistant. Except for chrysotile, they are insoluble in Hydrochloric acid (HCl). Chrysotile is slightly soluble in HCl. Asbestos has high electrical resistance and good sound absorbing characteristics. It can be woven into cables, fabrics or other textiles, or matted into papers, felts, and mats.

1.8. Toxicology (This Section is for Information Only and Should Not Be Taken as OSHA Policy)
Possible physiologic results of respiratory exposure to asbestos are mesothelioma of the pleura or peritoneum, interstitial fibrosis, asbestosis, pneumoconiosis, or respiratory cancer. The possible consequences of asbestos exposure are detailed in the NIOSH Criteria Document or in the OSHA Asbestos Standards 29 CFR 1910.1001, 29 CFR 1926.1101, and 29 CFR 1915.1001.

2. Sampling Procedure
2.1. Equipment for sampling
(a) Tube or cork borer sampling device
(b) Knife
(c) 20 mL scintillation vial or similar vial
(d) Sealing encapsulant

2.2. Safety Precautions
Asbestos is a known carcinogen. Take care when sampling. While in an asbestos-containing atmosphere, a properly selected and fit-tested respirator should be worn. Take samples in a manner to cause the least amount of dust. Follow these general guidelines:
(a) Do not make unnecessary dust.
(b) Take only a small amount (1 to 2 g).
(c) Tightly close the sample container.
(d) Use encapsulant to seal the spot where the sample was taken, if necessary.

2.3. Sampling Procedure
Samples of any suspect material should be taken from an inconspicuous place. Where the material is to remain, seal the sampling wound with an encapsulant to eliminate the potential for exposure from the sample site. Microscopy requires only a few milligrams of material. The amount that will fill a 20 mL scintillation vial is more than adequate. Be sure to collect samples from all layers and phases of material. If possible, make separate samples of each different phase of the material. This will aid in determining the actual hazard. DO NOT USE ENVELOPES, PLASTIC OR PAPER BAGS OF ANY KIND TO COLLECT SAMPLES. The use of plastic bags presents a contamination hazard to laboratory personnel and to other samples. When these containers are opened, a bellows effect blows fibers out of the container onto everything, including the person opening the container.
If a cork-borer type sampler is available, push the tube through the material all the way, so that all layers of material are sampled. Some samplers are intended to be disposable. These should be capped and sent to the laboratory. If a non-disposable cork borer is used, empty the contents into a scintillation vial and send to the laboratory. Vigorously and completely clean the cork borer between samples.

2.4. Shipment
Samples packed in glass vials must not touch or they might break in shipment.
(a) Seal the samples with a sample seal over the end to guard against tampering and to identify the sample.
(b) Package the bulk samples in separate packages from the air samples. They may cross-contaminate each other and will invalidate the results of the air samples.
(c) Include identifying paperwork with the samples, but not in contact with the suspected asbestos.
(d) To maintain sample accountability, ship the samples by certified mail, overnight express, or hand carry them to the laboratory.

3. Analysis
The analysis of asbestos samples can be divided into two major parts: sample preparation and microscopy. Because of the different asbestos uses that may be encountered by the analyst, each sample may need different preparation steps. The choices are outlined below. There are several different tests that are performed to identify the asbestos species and determine the percentage. They will be explained below.

3.1. Safety
(a) Do not create unnecessary dust. Handle the samples in HEPA- filter equipped hoods. If samples are received in bags, envelopes or other inappropriate container, open them only in a hood having a face velocity at or greater than 100 fpm. Transfer a small amount to a scintillation vial and only handle the smaller amount.
(b) Open samples in a hood, never in the open lab area.
(c) Index of refraction oils can be toxic. Take care not to get this material on the skin. Wash immediately with soap and water if this happens.
(d) Samples that have been heated in the muffle furnace or the drying oven may be hot. Handle them with tongs until they are cool enough to handle.
(e) Some of the solvents used, such as THF (tetrahydrofuran), are toxic and should only be handled in an appropriate fume hood and according to instructions given in the Material Safety Data Sheet (MSDS).

3.2. Equipment
(a) Phase contrast microscope with 10x, 16x and 40x objectives, 10x wide-field eyepieces, G-22 Walton-Beckett graticule, Whipple disk, polarizer, analyzer and first order red or gypsum plate, 100 Watt illuminator, rotating position condenser with oversize phase rings, central stop dispersion objective, Kohler illumination and a rotating mechanical stage. (see Figure 1. of this appendix)
(b) Stereo microscope with reflected light illumination, transmitted light illumination, polarizer, analyzer and first order red or gypsum plate, and rotating stage.
(c) Negative pressure hood for the stereo microscope
(d) Muffle furnace capable of 600 oC
(e) Drying oven capable of 50 -- 150 oC
(f) Aluminum specimen pans
(g) Tongs for handling samples in the furnace
(h) High dispersion index of refraction oils (Special for dispersion staining.)

	n = 1.550 
	n = 1.585 
	n = 1.590 
	n = 1.605 
	n = 1.620 
	n = 1.670 
	n = 1.680 
	n = 1.690
(i) A set of index of refraction oils from about n=1.350 to n=2.000 in n=0.005 increments. (Standard for Becke line analysis.) 
(j) Glass slides with painted or frosted ends 1x3 inches 1mm thick, precleaned.
(k) Cover Slips 22x22 mm, #1 1/2
(l) Paper clips or dissection needles
(m) Hand grinder
(n) Scalpel with both #10 and #11 blades
(o) 0.1 molar HCl
(p) Decalcifying solution (Baxter Scientific Products) 
Ethylenediaminetetraacetic Acid, Tetrasodium 0.7 g/l 
Sodium Potassium Tartrate 8.0 mg/liter 
Hydrochloric Acid 99.2 g/liter 
Sodium Tartrate 0.14 g/liter 
(q) Tetrahydrofuran (THF)
(r) Hotplate capable of 60 deg.C
(s) Balance
(t) Hacksaw blade
(u) Ruby mortar and pestle

3.3. Sample Pre-Preparation
Sample preparation begins with pre-preparation which may include chemical reduction of the matrix, heating the sample to dryness or heating in the muffle furnace. The end result is a sample which has been reduced to a powder that is sufficiently fine to fit under the cover slip. Analyze different phases of samples separately, e.g., tile and the tile mastic should be analyzed separately as the mastic may contain asbestos while the tile may not.
(a) Wet Samples
Samples with a high water content will not give the proper dispersion colors and must be dried prior to sample mounting. Remove the lid of the scintillation vial, place the bottle in the drying oven and heat at 100 oC to dryness (usually about 2 h). Samples which are not submitted to the lab in glass must be removed and placed in glass vials or aluminum weighing pans before placing them in the drying oven.
(b) Samples With Organic Interference -- Muffle Furnace 
These may include samples with tar as a matrix, vinyl asbestos tile, or any other organic that can be reduced by heating. Remove the sample from the vial and weigh in a balance to determine the weight of the submitted portion. Place the sample in a muffle furnace at 500 oC for 1 to 2 h or until all obvious organic material has been removed. Retrieve, cool and weigh again to determine the weight loss on ignition. This is necessary to determine the asbestos content of the submitted sample, because the analyst will be looking at a reduced sample.

Note: Heating above 600 oC will cause the sample to undergo a structural change which, given sufficient time, will convert the chrysotile to forsterite. Heating even at lower temperatures for 1 to 2 h may have a measurable effect on the optical properties of the minerals. If the analyst is unsure of what to expect, a sample of standard asbestos should be heated to the same temperature for the same length of time so that it can be examined for the proper interpretation.
(c) Samples With Organic Interference -- THF
Vinyl asbestos tile is the most common material treated with this solvent, although, substances containing tar will sometimes yield to this treatment. Select a portion of the material and then grind it up if possible. Weigh the sample and place it in a test tube. Add sufficient THF to dissolve the organic matrix. This is usually about 4 to 5 mL. Remember, THF is highly flammable. Filter the remaining material through a tared silver membrane, dry and weigh to determine how much is left after the solvent extraction. Further process the sample to remove carbonate or mount directly.
(d) Samples With Carbonate Interference
Carbonate material is often found on fibers and sometimes must be removed in order to perform dispersion microscopy. Weigh out a portion of the material and place it in a test tube. Add a sufficient amount of 0.1 M HCl or decalcifying solution in the tube to react all the carbonate as evidenced by gas formation; i.e., when the gas bubbles stop, add a little more solution. If no more gas forms, the reaction is complete. Filter the material out through a tared silver membrane, dry and weigh to determine the weight lost.

3.4. Sample Preparation
Samples must be prepared so that accurate determination can be made of the asbestos type and amount present. The following steps are carried out in the low-flow hood (a low-flow hood has less than 50 fpm flow):
(1) If the sample has large lumps, is hard, or cannot be made to lie under a cover slip, the grain size must be reduced. Place a small amount between two slides and grind the material between them or grind a small amount in a clean mortar and pestle. The choice of whether to use an alumina, ruby, or diamond mortar depends on the hardness of the material. Impact damage can alter the asbestos mineral if too much mechanical shock occurs. (Freezer mills can completely destroy the observable crystallinity of asbestos and should not be used). For some samples, a portion of material can be shaved off with a scalpel, ground off with a hand grinder or hack saw blade.
The preparation tools should either be disposable or cleaned thoroughly. Use vigorous scrubbing to loosen the fibers during the washing. Rinse the implements with copious amounts of water and air-dry in a dust-free environment.
(2) If the sample is powder or has been reduced as in (1) above, it is ready to mount. Place a glass slide on a piece of optical tissue and write the identification on the painted or frosted end. Place two drops of index of refraction medium n=1.550 on the slide. (The medium n=1.550 is chosen because it is the matching index for chrysotile.) Dip the end of a clean paper-clip or dissecting needle into the droplet of refraction medium on the slide to moisten it. Then dip the probe into the powder sample. Transfer what sticks on the probe to the slide. The material on the end of the probe should have a diameter of about 3 mm for a good mount. If the material is very fine, less sample may be appropriate. For non-powder samples such as fiber mats, forceps should be used to transfer a small amount of material to the slide. Stir the material in the medium on the slide, spreading it out and making the preparation as uniform as possible. Place a cover-slip on the preparation by gently lowering onto the slide and allowing it to fall “trapdoor” fashion on the preparation to push out any bubbles. Press gently on the cover slip to even out the distribution of particulate on the slide. If there is insufficient mounting oil on the slide, one or two drops may be placed near the edge of the coverslip on the slide. Capillary action will draw the necessary amount of liquid into the preparation. Remove excess oil with the point of a laboratory wiper.
Treat at least two different areas of each phase in this fashion. Choose representative areas of the sample. It my be useful to select particular areas or fibers for analysis. This is useful to identify asbestos in severely inhomogeneous samples.
When it is determined that amphiboles may be present, repeat the above process using the appropriate high-dispersion oils until an identification is made or all six asbestos minerals have been ruled out. Note that percent determination must be done in the index medium 1.550 because amphiboles tend to disappear in their matching mediums.

3.5. Analytical procedure

Note: This method presumes some knowledge of mineralogy and optical petrography.
The analysis consists of three parts: The determination of whether there is asbestos present, what type is present, and the determination of how much is present. The general flow of the analysis is:
(1) Gross examination.
(2) Examination under polarized light on the stereo microscope.
(3) Examination by phase-polar illumination on the compound phase microscope.
(4) Determination of species by dispersion stain. Examination by Becke line analysis may also be used; however, this is usually more cumbersome for asbestos determination.
(5) Difficult samples may need to be analyzed by SEM or TEM, or the results from those techniques combined with light microscopy for a definitive identification.
Identification of a particle as asbestos requires that it be asbestiform. Description of particles should follow the suggestion of Campbell. (Figure 1. of this appendix)

View Graphic

Figure 1. Particle definitions showing mineral growth habits. 
From the U.S. Bureau of Mines
For the purpose of regulation, the mineral must be one of the six minerals covered and must be in the asbestos growth habit. Large specimen samples of asbestos generally have the gross appearance of wood. Fibers are easily parted from it. Asbestos fibers are very long compared with their widths. The fibers have a very high tensile strength as demonstrated by bending without breaking. Asbestos fibers exist in bundles that are easily parted, show longitudinal fine structure and may be tufted at the ends showing “bundle of sticks” morphology. In the microscope some of these properties may not be observable. Amphiboles do not always show striations along their length even when they are asbestos. Neither will they always show tufting. They generally do not show a curved nature except for very long fibers. Asbestos and asbestiform minerals are usually characterized in groups by extremely high aspect ratios (greater than 100:1). While aspect ratio analysis is useful for characterizing populations of fibers, it cannot be used to identify individual fibers of intermediate to short aspect ratio. Observation of many fibers is often necessary to determine whether a sample consists of “cleavage fragments” or of asbestos fibers.
Most cleavage fragments of the asbestos minerals are easily distinguishable from true asbestos fibers. This is because true cleavage fragments usually have larger diameters than 1 mm. Internal structure of particles larger than this usually shows them to have no internal fibrillar structure. In addition, cleavage fragments of the monoclinic amphiboles show inclined extinction under crossed polars with no compensator. Asbestos fibers usually show extinction at zero degrees or ambiguous extinction if any at all. Morphologically, the larger cleavage fragments are obvious by their blunt or stepped ends showing prismatic habit. Also, they tend to be circular rather than filiform.
Where the particles are less than 1 mm in diameter and have an aspect ratio greater than or equal to 3:1, it is recommended that the sample be analyzed by SEM or TEM if there is any question whether the fibers are cleavage fragments or asbestiform particles. Care must be taken when analyzing by electron microscopy because the interferences are different from those in light microscopy and may structurally be very similar to asbestos. The classic interference is between anthophyllite and biopyribole or intermediate fiber. Use the same morphological clues for electron microscopy as are used for light microscopy, e.g. fibril splitting, internal longitudinal striation, fraying, curvature, etc.
(1) Gross examination:
Examine the sample, preferably in the glass vial. Determine the presence of any obvious fibrous component. Estimate a percentage based on previous experience and current observation. Determine whether any prepreparation is necessary. Determine the number of phases present. This step may be carried out or augmented by observation at 6 to 40 x under a stereo microscope.
(2) After performing any necessary pre-preparation, prepare slides of each phase as described above. Two preparations of the same phase in the same index medium can be made side-by-side on the same glass for convenience. Examine with the polarizing stereo microscope. Estimate the percentage of asbestos based on the amount of birefringent fiber present.
(3) Examine the slides on the phase-polar microscopes at magnifications of 160 and 400x. Note the morphology of the fibers. Long, thin, very straight fibers with little curvature are indicative of fibers from the amphibole family. Curved, wavy fibers are usually indicative of chrysotile. Estimate the percentage of asbestos on the phase-polar microscope under conditions of crossed polars and a gypsum plate. Fibers smaller than 1.0 mm in thickness must be identified by inference to the presence of larger, identifiable fibers and morphology. If no larger fibers are visible, electron microscopy should be performed. At this point, only a tentative identification can be made. Full identification must be made with dispersion microscopy. Details of the tests are included in the appendices.
(4) Once fibers have been determined to be present, they must be identified. Adjust the microscope for dispersion mode and observe the fibers. The microscope has a rotating stage, one polarizing element, and a system for generating dark-field dispersion microscopy (see Section 4.6. of this appendix). Align a fiber with its length parallel to the polarizer and note the color of the Becke lines. Rotate the stage to bring the fiber length perpendicular to the polarizer and note the color. Repeat this process for every fiber or fiber bundle examined. The colors must be consistent with the colors generated by standard asbestos reference materials for a positive identification. In n=1.550, amphiboles will generally show a yellow to straw-yellow color indicating that the fiber indices of refraction are higher than the liquid. If long, thin fibers are noted and the colors are yellow, prepare further slides as above in the suggested matching liquids listed below:

	Type of asbestos	 Index of refraction

Chrysotile		n = 1.550. 
Amosite		n = 1.670 or 1.680. 
Crocidolite		n = 1.690. 
Anthophyllite		n = 1.605 and 1.620. 
Tremolite		n = 1.605 and 1.620. 
Actinolite		n = 1.620.

Where more than one liquid is suggested, the first is preferred; however, in some cases this liquid will not give good dispersion color. Take care to avoid interferences in the other liquid; e.g., wollastonite in n=1.620 will give the same colors as tremolite. In n=1.605 wollastonite will appear yellow in all directions. Wollastonite may be determined under crossed polars as it will change from blue to yellow as it is rotated along its fiber axis by tapping on the cover slip. Asbestos minerals will not change in this way.
Determination of the angle of extinction may, when present, aid in the determination of anthophyllite from tremolite. True asbestos fibers usually have 0 deg. extinction or ambiguous extinction, while cleavage fragments have more definite extinction.
Continue analysis until both preparations have been examined and all present species of asbestos are identified. If there are no fibers present, or there is less than 0.1% present, end the analysis with the minimum number of slides (2).
(5) Some fibers have a coating on them which makes dispersion microscopy very difficult or impossible. Becke line analysis or electron microscopy may be performed in those cases. Determine the percentage by light microscopy. TEM analysis tends to overestimate the actual percentage present.
(6) Percentage determination is an estimate of occluded area, tempered by gross observation. Gross observation information is used to make sure that the high magnification microscopy does not greatly over-or under-estimate the amount of fiber present. This part of the analysis requires a great deal of experience. Satisfactory models for asbestos content analysis have not yet been developed, although some models based on metallurgical grain-size determination have found some utility. Estimation is more easily handled in situations where the grain sizes visible at about 160x are about the same and the sample is relatively homogeneous.
View all of the area under the cover slip to make the percentage determination. View the fields while moving the stage, paying attention to the clumps of material. These are not usually the best areas to perform dispersion microscopy because of the interference from other materials. But, they are the areas most likely to represent the accurate percentage in the sample. Small amounts of asbestos require slower scanning and more frequent analysis of individual fields.
Report the area occluded by asbestos as the concentration. This estimate does not generally take into consideration the difference in density of the different species present in the sample. For most samples this is adequate. Simulation studies with similar materials must be carried out to apply microvisual estimation for that purpose and is beyond the scope of this procedure.
(7) Where successive concentrations have been made by chemical or physical means, the amount reported is the percentage of the material in the “as submitted” or original state. The percentage determined by microscopy is multiplied by the fractions remaining after pre-preparation steps to give the percentage in the original sample. For example:
Step 1. 60% remains after heating at 550 oC for 1 h.
Step 2. 30% of the residue of step 1 remains after dissolution of carbonate in 0.1 m HCl.
Step 3. Microvisual estimation determines that 5% of the sample is chrysotile asbestos.
The reported result is:

R = (Microvisual result in percent) x (Fraction remaining after step 2) 
 x (Fraction remaining of original sample after step 1)

R = (5) x (.30) x (.60) = 0.9%
(8) Report the percent and type of asbestos present. For samples where asbestos was identified, but is less than 1.0%, report “Asbestos present, less than 1.0%.” There must have been at least two observed fibers or fiber bundles in the two preparations to be reported as present. For samples where asbestos was not seen, report as “None Detected.”

4. Auxiliary Information
Because of the subjective nature of asbestos analysis, certain concepts and procedures need to be discussed in more depth. This information will help the analyst understand why some of the procedures are carried out the way they are.

4. 1. Light
Light is electromagnetic energy. It travels from its source in packets called quanta. It is instructive to consider light as a plane wave. The light has a direction of travel. Perpendicular to this and mutually perpendicular to each other, are two vector components. One is the magnetic vector and the other is the electric vector. We shall only be concerned with the electric vector. In this description, the interaction of the vector and the mineral will describe all the observable phenomena. From a light source such a microscope illuminator, light travels in all different direction from the filament.
In any given direction away from the filament, the electric vector is perpendicular to the direction of travel of a light ray. While perpendicular, its orientation is random about the travel axis. If the electric vectors from all the light rays were lined up by passing the light through a filter that would only let light rays with electric vectors oriented in one direction pass, the light would then be POLARIZED.
Polarized light interacts with matter in the direction of the electric vector. This is the polarization direction. Using this property it is possible to use polarized light to probe different materials and identify them by how they interact with light.
The speed of light in a vacuum is a constant at about 2.99 x 10(8) m/s. When light travels in different materials such as air, water, minerals or oil, it does not travel at this speed. It travels slower. This slowing is a function of both the material through which the light is traveling and the wavelength or frequency of the light. In general, the more dense the material, the slower the light travels. Also, generally, the higher the frequency, the slower the light will travel. The ratio of the speed of light in a vacuum to that in a material is called the index of refraction (n). It is usually measured at 589 nm (the sodium D line). If white light (light containing all the visible wavelengths) travels through a material, rays of longer wavelengths will travel faster than those of shorter wavelengths, this separation is called dispersion. Dispersion is used as an identifier of materials as described in Section 4.6.

4.2. Material Properties
Materials are either amorphous or crystalline. The difference between these two descriptions depends on the positions of the atoms in them. The atoms in amorphous materials are randomly arranged with no long range order. An example of an amorphous material is glass. The atoms in crystalline materials, on the other hand, are in regular arrays and have long range order. Most of the atoms can be found in highly predictable locations. Examples of crystalline material are salt, gold, and the asbestos minerals. 
It is beyond the scope of this method to describe the different types of crystalline materials that can be found, or the full description of the classes into which they can fall. However, some general crystallography is provided below to give a foundation to the procedures described.
With the exception of anthophyllite, all the asbestos minerals belong to the monoclinic crystal type. The unit cell is the basic repeating unit of the crystal and for monoclinic crystals can be described as having three unequal sides, two 90 deg. angles and one angle not equal to 90 deg.. The orthorhombic group, of which anthophyllite is a member has three unequal sides and three 90 deg. angles. The unequal sides are a consequence of the complexity of fitting the different atoms into the unit cell. Although the atoms are in a regular array, that array is not symmetrical in all directions. There is long range order in the three major directions of the crystal. However, the order is different in each of the three directions. This has the effect that the index of refraction is different in each of the three directions. Using polarized light, we can investigate the index of refraction in each of the directions and identify the mineral or material under investigation. The indices alpha, beta, and gamma are used to identify the lowest, middle, and highest index of refraction respectively. The x direction, associated with alpha is called the fast axis. Conversely, the z direction is associated with gamma and is the slow direction. Crocidolite has alpha along the fiber length making it “length-fast”. The remainder of the asbestos minerals have the gamma axis along the fiber length. They are called “length-slow”. This orientation to fiber length is used to aid in the identification of asbestos.

4.3. Polarized Light Technique
Polarized light microscopy as described in this section uses the phase-polar microscope described in Section 3.2. A phase contrast microscope is fitted with two polarizing elements, one below and one above the sample. The polarizers have their polarization directions at right angles to each other.
Depending on the tests performed, there may be a compensator between these two polarizing elements. Light emerging from a polarizing element has its electric vector pointing in the polarization direction of the element. The light will not be subsequently transmitted through a second element set at a right angle to the first element. Unless the light is altered as it passes from one element to the other, there is no transmission of light.

4.4. Angle of Extinction
Crystals which have different crystal regularity in two or three main directions are said to be anisotropic. They have a different index of refraction in each of the main directions. When such a crystal is inserted between the crossed polars, the field of view is no longer dark but shows the crystal in color. The color depends on the properties of the crystal. The light acts as if it travels through the crystal along the optical axes. If a crystal optical axis were lined up along one of the polarizing directions (either the polarizer or the analyzer) the light would appear to travel only in that direction, and it would blink out or go dark. The difference in degrees between the fiber direction and the angle at which it blinks out is called the angle of extinction. When this angle can be measured, it is useful in identifying the mineral. The procedure for measuring the angle of extinction is to first identify the polarization direction in the microscope. A commercial alignment slide can be used to establish the polarization directions or use anthophyllite or another suitable mineral. This mineral has a zero degree angle of extinction and will go dark to extinction as it aligns with the polarization directions. When a fiber of anthophyllite has gone to extinction, align the eyepiece reticle or graticule with the fiber so that there is a visual cue as to the direction of polarization in the field of view. Tape or otherwise secure the eyepiece in this position so it will not shift.
After the polarization direction has been identified in the field of view, move the particle of interest to the center of the field of view and align it with the polarization direction. For fibers, align the fiber along this direction. Note the angular reading of the rotating stage. Looking at the particle, rotate the stage until the fiber goes dark or “blinks out”. Again note the reading of the stage. The difference in the first reading and the second is an angle of extinction.
The angle measured may vary as the orientation of the fiber changes about its long axis. Tables of mineralogical data usually report the maximum angle of extinction. Asbestos forming minerals, when they exhibit an angle of extinction, usually do show an angle of extinction close to the reported maximum, or as appropriate depending on the substitution chemistry.

4.5. Crossed Polars with Compensator
When the optical axes of a crystal are not lined up along one of the polarizing directions (either the polarizer or the analyzer) part of the light travels along one axis and part travels along the other visible axis. This is characteristic of birefringent materials.
The color depends on the difference of the two visible indices of refraction and the thickness of the crystal. The maximum difference available is the difference between the alpha and the gamma axes. This maximum difference is usually tabulated as the birefringence of the crystal.
For this test, align the fiber at 45 deg. to the polarization directions in order to maximize the contribution to each of the optical axes. The colors seen are called retardation colors. They arise from the recombination of light which has traveled through the two separate directions of the crystal. One of the rays is retarded behind the other since the light in that direction travels slower. On recombination, some of the colors which make up white light are enhanced by constructive interference and some are suppressed by destructive interference. The result is a color dependent on the difference between the indices and the thickness of the crystal. The proper colors, thicknesses, and retardations are shown on a Michel-Levy chart. The three items, retardation, thickness and birefringence are related by the following relationship:

R = t (n gamma - n alpha) 
R = retardation, t = crystal thickness in mm, and 
n alpha, gamma = indices of refraction.
Examination of the equation for asbestos minerals reveals that the visible colors for almost all common asbestos minerals and fiber sizes are shades of gray and black. The eye is relatively poor at discriminating different shades of gray. It is very good at discriminating different colors. In order to compensate for the low retardation, a compensator is added to the light train between the polarization elements. The compensator used for this test is a gypsum plate of known thickness and birefringence. Such a compensator when oriented at 45 deg. to the polarizer direction, provides a retardation of 530 nm of the 530 nm wavelength color. This enhances the red color and gives the background a characteristic red to red-magenta color. If this “full-wave” compensator is in place when the asbestos preparation is inserted into the light train, the colors seen on the fibers are quite different. Gypsum, like asbestos has a fast axis and a slow axis. When a fiber is aligned with its fast axis in the same direction as the fast axis of the gypsum plate, the ray vibrating in the slow direction is retarded by both the asbestos and the gypsum. This results in a higher retardation than would be present for either of the two minerals. The color seen is a second order blue. When the fiber is rotated 90 deg. using the rotating stage, the slow direction of the fiber is now aligned with the fast direction of the gypsum and the fast direction of the fiber is aligned with the slow direction of the gypsum. Thus, one ray vibrates faster in the fast direction of the gypsum, and slower in the slow direction of the fiber; the other ray will vibrate slower in the slow direction of the gypsum and faster in the fast direction of the fiber. In this case, the effect is subtractive and the color seen is a first order yellow. As long as the fiber thickness does not add appreciably to the color, the same basic colors will be seen for all asbestos types except crocidolite. In crocidolite the colors will be weaker, may be in the opposite directions, and will be altered by the blue absorption color natural to crocidolite. Hundreds of other materials will give the same colors as asbestos, and therefore, this test is not definitive for asbestos. The test is useful in discriminating against fiberglass or other amorphous fibers such as some synthetic fibers. Certain synthetic fibers will show retardation colors different than asbestos; however, there are some forms of polyethylene and aramid which will show morphology and retardation colors similar to asbestos minerals. This test must be supplemented with a positive identification test when birefringent fibers are present which cannot be excluded by morphology. This test is relatively ineffective for use on fibers less than 1 mm in diameter. For positive confirmation TEM or SEM should be used if no larger bundles or fibers are visible.

4.6. Dispersion Staining
Dispersion microscopy or dispersion staining is the method of choice for the identification of asbestos in bulk materials. Becke line analysis is used by some laboratories and yields the same results as does dispersion staining for asbestos and can be used in lieu of dispersion staining. Dispersion staining is performed on the same platform as the phase-polar analysis with the analyzer and compensator removed. One polarizing element remains to define the direction of the light so that the different indices of refraction of the fibers may be separately determined. Dispersion microscopy is a dark-field technique when used for asbestos. Particles are imaged with scattered light. Light which is unscattered is blocked from reaching the eye either by the back field image mask in a McCrone objective or a back field image mask in the phase condenser. The most convenient method is to use the rotating phase condenser to move an oversized phase ring into place. The ideal size for this ring is for the central disk to be just larger than the objective entry aperture as viewed in the back focal plane. The larger the disk, the less scattered light reaches the eye. This will have the effect of diminishing the intensity of dispersion color and will shift the actual color seen. The colors seen vary even on microscopes from the same manufacturer. This is due to the different bands of wavelength exclusion by different mask sizes. The mask may either reside in the condenser or in the objective back focal plane. It is imperative that the analyst determine by experimentation with asbestos standards what the appropriate colors should be for each asbestos type. The colors depend also on the temperature of the preparation and the exact chemistry of the asbestos. Therefore, some slight differences from the standards should be allowed. This is not a serious problem for commercial asbestos uses. This technique is used for identification of the indices of refraction for fibers by recognition of color. There is no direct numerical readout of the index of refraction. Correlation of color to actual index of refraction is possible by referral to published conversion tables. This is not necessary for the analysis of asbestos. Recognition of appropriate colors along with the proper morphology are deemed sufficient to identify the commercial asbestos minerals. Other techniques including SEM, TEM, and XRD may be required to provide additional information in order to identify other types of asbestos
Make a preparation in the suspected matching high dispersion oil, e.g., n=1.550 for chrysotile. Perform the preliminary tests to determine whether the fibers are birefringent or not. Take note of the morphological character. Wavy fibers are indicative of chrysotile while long, straight, thin, frayed fibers are indicative of amphibole asbestos. This can aid in the selection of the appropriate matching oil. The microscope is set up and the polarization direction is noted as in Section 4.4. Align a fiber with the polarization direction. Note the color. This is the color parallel to the polarizer. Then rotate the fiber rotating the stage 90 deg. so that the polarization direction is across the fiber. This is the perpendicular position. Again note the color. Both colors must be consistent with standard asbestos minerals in the correct direction for a positive identification of asbestos. If only one of the colors is correct while the other is not, the identification is not positive. If the colors in both directions are bluish-white, the analyst has chosen a matching index oil which is higher than the correct matching oil, e.g. the analyst has used n=1.620 where chrysotile is present. The next lower oil (Section 3.5.) should be used to prepare another specimen. If the color in both directions is yellow-white to straw-yellow-white, this indicates that the index of the oil is lower than the index of the fiber, e.g. the preparation is in n=1.550 while anthophyllite is present. Select the next higher oil (Section 3.5.) and prepare another slide. Continue in this fashion until a positive identification of all asbestos species present has been made or all possible asbestos species have been ruled out by negative results in this test. Certain plant fibers can have similar dispersion colors as asbestos. Take care to note and evaluate the morphology of the fibers or remove the plant fibers in pre-preparation. Coating material on the fibers such as carbonate or vinyl may destroy the dispersion color. Usually, there will be some outcropping of fiber which will show the colors sufficient for identification. When this is not the case, treat the sample as described in Section 3.3. and then perform dispersion staining. Some samples will yield to Becke line analysis if they are coated or electron microscopy can be used for identification.

5. References

5.1. Crane, D.T., Asbestos in Air, OSHA method ID160, Revised November 1992.

5.2. Ford, W.E., Dana's Textbook of Mineralogy; Fourth Ed.; John Wiley and Son, New York, 1950, p. vii.

5.3. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 3,20.

5.4. Women Inspectors of Factories. Annual Report for 1898, H.M. Statistical Office, London, p. 170 (1898).

5.5. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 26,30.

5.6. Campbell, W.J., et al, Selected Silicate Minerals and Their Asbestiform Varieties, United States Department of the Interior, Bureau of Mines, Information Circular 8751, 1977.

5.7. Asbestos, Code of Federal Regulations, 29 CFR 1910.1001 and 29 CFR 1926.58.

5.8. National Emission Standards for Hazardous Air Pollutants; Asbestos NESHAP Revision, Federal Register, Vol. 55, No. 224, 20 November 1990, p. 48410.

5.9. Ross, M. The Asbestos Minerals: Definitions, Description, Modes of Formation, Physical and Chemical Properties and Health Risk to the Mining Community, Nation Bureau of Standards Special Publication, Washington, D.C., 1977.

5.10. Lilis, R., Fibrous Zeolites and Endemic Mesothelioma in Cappadocia, Turkey, J. Occ Medicine, 1981, 23,(8),548-550.

5.11. Occupational Exposure to Asbestos -- 1972, U.S. Department of Health Education and Welfare, Public Health Service, Center for Disease Control, National Institute for Occupational Safety and Health, HSM-72-10267.

5.12. Campbell,W.J., et al, Relationship of Mineral Habit to Size Characteristics for Tremolite Fragments and Fibers, United States Department of the Interior, Bureau of Mines, Information Circular 8367, 1979.

5.13. Mefford, D., DCM Laboratory, Denver, private communication, July 1987.

5.14. Deer, W.A., Howie, R.A., Zussman, J., Rock Forming Minerals, Longman, Thetford, UK, 1974.

5.15. Kerr, P.F., Optical Mineralogy; Third Ed. McGraw-Hill, New York, 1959.

5.16. Veblen, D.R. (Ed.), Amphiboles and Other Hydrous Pyriboles -- Mineralogy, Reviews in Mineralogy, Vol 9A, Michigan, 1982, pp 1- 102.

5.17. Dixon, W.C., Applications of Optical Microscopy in the Analysis of Asbestos and Quartz, ACS Symposium Series, No. 120, Analytical Techniques in Occupational Health Chemistry, 1979.

5.18. Polarized Light Microscopy, McCrone Research Institute, Chicago, 1976.

5.19. Asbestos Identification, McCrone Research Institute, G & G printers, Chicago, 1987.

5.20. McCrone, W.C., Calculation of Refractive Indices from Dispersion Staining Data, The Microscope, No 37, Chicago, 1989.

5.21. Levadie, B. (Ed.), Asbestos and Other Health Related Silicates, ASTM Technical Publication 834, ASM, Philadelphia 1982.

5.22. Steel, E. and Wylie, A., Riordan, P.H. (Ed.), Mineralogical Characteristics of Asbestos, Geology of Asbestos Deposits, pp. 93-101, SME-AIME, 1981.

5.23. Zussman, J., The Mineralogy of Asbestos, Asbestos: Properties, Applications and Hazards, pp. 45-67 Wiley, 1979.
NOTE

Authority cited: Section 142.3. Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix J to section 5208 filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
2. Change without regulatory effect repealing and adopting new Figure 1 filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
§5208.1. Non Asbestiform Tremolite, Anthophyllite, and Actinolite.
Note     •     History

This section applies to occupational exposures to non-asbestiform tremolite, anthophyllite, and actinolite.
(a) The 8-hour time weighted average concentration of airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers to which any employee may be exposed shall not exceed 2 fibers, longer than 5 micrometers, per cubic centimeter of air as determined by the membrane filter method using phase contrast illumination and 400 to 450X magnification. The ceiling or short time concentration to which employees are exposed shall not exceed 10 fibers, longer than 5 micrometers, per cubic centimeter of air.
(b) Engineering Controls. Controls such as, but not limited to, isolation, enclosure, exhaust ventilation, and dust collection shall be used to meet the exposure limits in 5208.1(a). All hand-operated and power-operated tools which may produce or release non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of such limit shall be provided with local exhaust ventilation systems. The American National Standards Institute Z9.2-1971 Standard Governing the Design and Operations of Local Exhaust Systems shall be used to design, construct, install, and maintain exhaust ventilation and dust collection systems in accordance with section 5143.
(c) Work Practices. 
(1) Non-asbestiform tremolite, anthophyllite, and actinolite shall be mixed, handled, applied, removed, cut, or otherwise worked wet insofar as practicable.
(2) Non-asbestiform tremolite, anthophyllite, and actinolite spills shall be cleaned up promptly.
(3) Non-asbestiform tremolite, anthophyllite, and actinolite-containing cement, mortar, coating, grout, plastic, or similar material shall not be removed from bags, cartons, or other containers without being wetted, unless it is enclosed and/or ventilated to effectively control airborne fibers as specified in section 5208.1(a).
(4) The spraying of any substance containing any amount of non-asbestiform tremolite, anthophyllite, and actinolite in or upon a building or other structure during its construction, alteration, or repair is prohibited.

Exceptions:  (A) Exterior and interior coatings and laminating resins containing encapsulated non-asbestiform tremolite, anthophyllite, and actinolite fibers bound within finished product from manufacture through application. (B) Cold process asphalt roof coatings. (C) Substances containing less than one-quarter of 1 percent non-asbestiform tremolite, anthophyllite, and actinolite solely as a result of naturally occurring impurities in the substance or its components.
(5) Non-asbestiform tremolite, anthophyllite, and actinolite waste, scrap, debris, bags, containers, equipment or other non-asbestiform tremolite, anthophyllite, and actinolite-contaminated material consigned for disposal which may produce in any reasonably foreseeable use, handling, storage, processing, disposal, or transportation employee exposure to airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of the limits prescribed by section 5208.1(a) shall be collected and disposed of in sealed impermeable bags or other closed im--permeable containers which shall be labeled in accordance with section 5208.1(i).
(d) Respiratory Protective Equipment. When engineering controls and wet handling methods are not feasible or are incapable of controlling the concentration or in an emergency, respiratory protection and shall be provided and worn in accordance with provisions of section 5144 and the following requirements: 
(1) Reusable or single-use air filtering respirators shall be used when the concentration exceeds the levels specified in section 5208.1(a), but may not be used when the concentration may reasonable be expected to exceed 10 times the limit.
(2) Powered air filtering respirators may be worn for lower concentrations, but shall be worn when the non-asbestiform tremolite, anthophyllite, and actinolite fiber concentration is reasonable expected to exceed 10 times, but not 100 times the limit in section 5208.1(a).
(3) Continuous flow or pressure demand air-line respirators or self-contained breathing apparatus may be worn for lower concentrations, but shall be worn when the non-asbestiform tremolite, anthophyllite, and actinolite fiber concentration is reasonably expected to exceed 100 times the limit in section 5208.1(a).
(4) No employee shall be assigned to tasks requiring the use of respirators if based on his most recent examination an examining physician determines that the employee will be unable to function normally wearing a respirator or that the safety or health of the employee or other employees will be impaired by his use of the respirator. Such employee shall be rotated to an equivalent job whose duties he is able to perform, with the same employer, in the same geographical area and with the same seniority, status, and rate of pay, if such a position is available. 
(e) Change Rooms and Special Clothing.
(1) The employer shall provide and require the use of special clothing such as coveralls or similar whole body clothing, head coverings, gloves, and foot coverings for any employee exposed to airborne concentrations of non-asbestiform tremolite, anthophyllite, and actinolite fibers which exceed the ceiling level prescribed in section 5208.1(a).
(2) Any fixed place of employment exposed to airborne concentrations of non-asbestiform tremolite, anthophyllite, and actionlite fibers in excess of exposure limits prescribed in section 5208.1(a), the employer shall provide change rooms for employees working regularly at the place, and shall provide two separate lockers or containers for each employee, so separated or isolated as to prevent contamination of the employees' street clothes from his work clothes.
(f) Laundering. 
(1) Laundering of non-asbestiform tremolite, anthophyllite, and actinolite-contaminated clothing shall be done so as to prevent the release of airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of the exposure limits prescribed in section 5208.1(a).
(2) Any employer who gives non-asbestiform tremolite, anthophyllite, and actinolite-contaminated clothing to another person for laundering shall inform such person of the requirement in section 5208.1 to effectively prevent the release of airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of the exposure limits prescribed in section 5208.1(a).
(3) Contaminated clothing shall be transported in sealed impermeable bags or other closed, impermeable containers, and labeled in accordance with section 5208.1(i).
(g) Monitoring and Record Keeping. 
(1) Monitoring. 
(A) The employer shall sample the air and determine the concentration of non-asbestiform tremolite, anthophyllite, and actinolite fibers within the breathing zone of employees whose exposure to non-asbestiform tremolite, anthophyllite, and actinolite fibers may exceed an 8-hour time-weighted average concentration of 0.1 fiber longer than 5 micrometers, per cubic centimeter due to work assignment(s) at or near operations with non- asbestiform tremolite, anthophyllite, and actinolite or non-asbestiform tremolite, anthophyllite, and actinolite-containing products which result in the release of non-asbestiform tremolite, anthophyllite, and actinolite fibers. 
(B) Monitoring shall be repeated at least once every 6 months where exposure to airborne non-asbestiform tremolite, anthophyllite, and actinolite may exceed an 8-hour time-weighted average concentration of  0.5 fiber, longer than 5 micrometers, per cubic centimeter or a ceiling concentration of 5 fibers longer than 5 micrometers, per cubic centimeter.
(C) Following any change in control, process, or production method which may alter the concentration of airborne non-asbestiform tremolite, anthophyllite, and actinolite, the employer shall monitor the level of any employee's exposure which may have been affected by such change.
(D) The sampling of airborne non-asbestiform tremolite, anthophyllite, and actinolite shall be performed in a manner which will assure a reasonable accurate determination and shall be made without regard to employee use of respiratory protective equipment.
(E) All determinations of concentrations of airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers shall use the membrane filter method with phase contrast illumination, 400 to 450X magnification. and 4 millimeter objective.
(2) Record Keeping. 
(A) The employer shall maintain complete and accurate records of monitoring required by section 5208.1(g)(1).
(B) Monitoring records shall be maintained for at least 30 years.
(C) Monitoring records shall be made available upon request to authorized representatives of the Chief of the Division of Safety and Health, in accordance with section 3204, or the Director of the National Institute for Occupational Safety and Health.
(D) Upon request of an employee, former employee or an employee representative of either, the employer shall provide a copy of the monitoring record of the employee or former employee in accordance with section 3204.
(E) The employer shall comply with the provisions of section 3204 concerning the transfer or disposition of monitoring records.
(h) Caution Signs. 
(1) Posting. Caution signs shall be provided and displayed at each location where airborne concentrations of non-asbestiform tremolite, anthophyllite, and actinolite fibers may be in excess of the exposure limits prescribed in section 5208.1(a). Signs shall be posted at such a distance from such a location so that an employee may read the signs and take necessary protective steps before entering the area marked by the signs. Signs shall be posted at all approaches to areas containing excessive concentrations of airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers.
(2) Sign Specifications. The signs required by subsection (h)(1) shall conform to the requirements specified in section 3340(d)(3) of the General Industry Safety Orders and to this subsection. The signs shall display the following legend in the lower panel, with the letter sizes and styles of a visibility at least equal to that specified in this subsection.

	Legend	 Notation

[Mineral Name]		1” Sans Serif, Gothic or Block
Dust Hazard		3/4” Sans Serif, Gothic or Block
Avoid Breathing Dust		1/4” Gothic
Wear Assigned Protective
 Equipment		1/4” Gothic
Do Not Remain In Area
 Unless Your Work
 Requires It		1/4” Gothic
Breathing [Mineral Name]
 Dust May Be Hazardous
 To Your Health		14 Point Gothic
Spacing between lines shall be at least equal to the height of the upper of any two lines. 
(i) Caution Labels. 
(1) Labeling. Caution labels shall be affixed to all raw materials, mixtures, scrap, waste, debris, and other products containing non-asbestiform tremolite, anthophyllite, and actinolite fibers or to their containers.

Exceptions: 1. No label is required where non-asbestiform tremolite, anthophyllite, and actinolite fibers have been modified by a bonding agent, coating, binder, or other material so that during any reasonably foreseeable use, handling, storage, disposal, processing, or transportation, no airborne non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of the exposure limits prescribed in section 5208.1(a) will be released. 2. No label is required for large outdoor storage such as mine ore tailing piles, if properly posted.
(2) Label Specifications. Caution labels required by this subsection shall be conspicuous and legible and shall contain the following or equivalent warning:

CAUTION
Contains [Mineral Name] Fibers
Avoid Creating Dust
Breathing [Mineral Name] Dust May Cause
Serious Bodily Harm
(j) Medical Surveillance. 
(1) Medical Examinations. The employer shall provide or make available at no cost to the employee a comprehensive medical examination by a licensed physician in accordance with this subsection for each employee engaged in an occupation where exposure to airborne non-asbestiform tremolite, anthophyllite, and actinolite, without regard to the use of respiratory protective equipment, has been determined to exceed, or  may be reasonably expected to exceed, an 8-hour time-weighted average concentration of 0.1 fiber, longer than 5 micrometers, per cubic centimeter.
(A) The examination shall be conducted within 30 calendar days of the employee's initial assignment, thereafter, as required by section 5208.1 (j)(1)(B)1 or (j)(1)(B)2, and within 30 calendar days of termination of employment if an examination has not been performed within the year preceding termination.
(B) The examination shall include, as a minimum, a history to elicit symptomatology of upper and lower respiratory and gastrointestinal diseases, a physical examination of the respiratory and gastrointestinal diseases, a 14-inch by 17-inch posterior-anterior chest X-ray, right and left anterior oblique chest X-rays, pulmonary function tests including forced vital capacity (FVC) and forced expiratory volume at one second (FEV1).
1. For employees less than 40 years of age with less than 10 years since initial occupational exposure to non-asbestiform tremolite, anthophyllite, and actinolite, the medical examination shall be provided every three years after the initial examination and shall include as a minimum a 14-inch by 17-inch posterior-anterior chest X-ray, a physical examination of the respiratory and gastrointestinal systems, and pulmonary function tests including forced vital capacity (FVC) and forced expiratory volume at one second (FEV1).
2. For employees 40 years of age or older or with 10 years or more since initial occupational exposure to non-asbestiform tremolite, anthophyllite, and actinolite, the medical examination, as described in section 5208.1(j)(1)(B), shall be performed annually, except that the oblique X-rays need only be performed every three years. A rectal examination and a stool guaiac test for occult blood shall be performed annually.
(C) The employer shall obtain from the examining physician all the information required by this subsection and any other medical information or diagnosis relevant to occupational exposure to non-asbestiform tremolite, anthophyllite, and actinolite including the physician's opinion as to whether the employee has any detected medical condition which would place the employee at increased risk of material impairment of the employee's health from exposure to non-asbestiform tremolite, anthophyllite, and actinolite.
(2) Recordkeeping.
(A) Complete and accurate records of medical examinations required by this section shall be maintained for each employee.
(B) Medical examination records shall be maintained for at least 30 years.
(C) Records of the medical examinations required by this section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief of the Division of Occupational Safety and Health in accordance with section 3204. Medical records shall also be provided upon the request of the Director, National Institute for Occupational Safety and Health.
(D) The employer shall comply with the provisions of section 3204 concerning the transfer or disposition of medical records.
(k) Employee Notification. Any employee found to have been exposed to non-asbestiform tremolite, anthophyllite, and actinolite fibers in excess of either the permissible limits prescribed by subsection (a) shall be notified in writing of the exposure within 5 days of the finding. The individuals so exposed shall also be notified of the corrective action in compliance with subsections (b), (c), (d), (e), and (f) being taken by the employer.
(l) Reports of Use. See section 5203.
(m) Transfer of Records. 
(1) In the event the employer ceases to do business and there is no successor to receive and retain records in accordance with section 5208.1 and such records shall be transmitted to the Director, National Institute for Occupational Safety and Health, 5600 Fisher Lane, Rockville, Maryland 20852.
(2) Upon the expiration of the retention period prescribed by section 5208.1(g)(2)(B) and (j)(2)(B), the employer shall notify the Director, National Institute for Occupational Safety and Health at least 3 months prior to any planned disposal of the records and shall transfer those records to the Directed if requested within the period.
(n) Employee Information and Training. 
(1) Training Program. 
(A) Within 60 days of the effective date of this subsection, the employer shall institute a training program for, and assure the participation of all employees exposed to non-asbestiform tremolite, anthophyllite, and actinolite such that medical examination are required pursuant to section 5208.1

Exception: Employees who are certified as having been trained in an apprenticeship non-asbestiform tremolite, anthophyllite, and actinolite training program meeting all the criteria in section 5208.1(n)(1)(B).
(B) Training shall be provided at the time of initial assignment and at least annually thereafter, and the employer shall assure that each employee is informed of the following information in language that he can understand:
1. The nature of all health hazards directly attributable to non-asbestiform tremolite, anthophyllite, and actinolite exposure including carcinogenic hazards.
2. The increased risk of lung cancer associated with smoking cigarettes and non-asbestiform tremolite, anthophyllite, and actinolite exposure.
3. The specific nature of the operations and specific information to aid the employee in recognizing when and where non-asbestiform tremolite, anthophyllite, and actinolite exposure may result.
4. The purpose for and a description of the monitoring program.
5. The purpose for and description of the medical surveillance program.
6. The necessary protective steps to prevent exposure, including engineering controls and safe work practices.
7. Where the employee is required to wear a respirator, the purpose for, proper use and limitations of the respiratory devices.
8. Where protective clothing is required, the purpose for, proper use and limitations of protective devices or clothing.
9. The purpose for and application of housekeeping and personal hygiene practices and procedures to prevent non-asbestiform tremolite, anthophyllite, and actinolite exposure to others.
10. The purpose for, significance of and familiarization with emergency procedures as described in section 5209(l)(3).
11. A review of the provisions of this standard. 
(2) Access to Training Materials. 
(A) The employer shall make a copy of this standard readily available to all affected employees and their representatives.
(B) All materials relating to the employee information and training program shall be provided, upon request, to authorized representatives of the Chief of the Division of Occupational Safety and Health.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(b), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5208.1 filed 2-15-91; operative 2-15-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 19).
2. Editorial correction of HISTORY 1. (Register 91, No. 45).
3. Change without regulatory effect amending subsection (l) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
4. Amendment of subsection (h)(2) filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
5. Editorial correction of subsections (e)(1), (g)(1)(A), (i)(2), (j)(1)(B)2. and (n)(1)(A) (Register 98, No. 35).
6. Amendment of subsection (l), repealer of subsections (l)(1)-(4) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
§5209. Carcinogens.
Note     •     History

(a) Scope and Application. This section applies to an area in which any of the substances listed below is manufactured, processed, used, repackaged, released, stored or otherwise handled but does not apply to solid or liquid mixtures with a content less than the percent specified below or to transshipment in sealed containers, except for the labeling requirements under paragraphs (e)(2), (e)(3) and (e)(4) of this section.

                                                                     Chemical Abstracts
Chemical                                                         Registry number	Percent *
2-Acetylaminofluorene 	53963	1.0
4-Aminodiphenyl 	92671	0.1
Benzidine (and its salts) 	92875	0.1
3,3'-Dichlorobenzidine (and its salts) 	91941	1.0
4-Dimethylaminoazobenzene 	60117	1.0
alpha-Naphthylamine ** 	134327	1.0
beta-Naphthylamine ** 	91598	0.1
4-Nitrobiphenyl 	92933	0.1
N-Nitrosodimethylamine 	62759	1.0
beta-Propiolactone 	57578	1.0
bis-Chloromethyl ether 	542881	0.1
Methyl chloromethyl ether 	107302	0.1
Ethyleneimine 	151564	1.0
* By weight or volume
** This section does not apply to these materials in operations involving the destructive distillation of carbonaceous materials, such as occurs in coke ovens.

(b) Definitions.
(1) Absolute Filter. A filter capable of retaining 99.97 percent of a mono disperse aerosol of 0.3 micrometer particles.
(2) Authorized Employee. An employee whose duties require him to be in the regulated area and who has been specifically assigned by the employer.
(3) Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, California 94142.
(4) Clean Change Room. A room where employees put on clean clothing and/or protective equipment in an environment free of carcinogens. This room shall be contiguous to, and have entry from, a shower room when shower facilities are otherwise required by this section.
(5) Closed System. Any operation involving a carcinogen where containment prevents release into regulated areas, nonregulated areas or the external environment.
(6) Decontamination. The inactivation of a carcinogen or its safe disposal.
(7) Disposal. The safe removal of a carcinogen from the work environment.
(8) Emergency. An unforeseen circumstance or set of circumstances resulting in the release of a carcinogen which may result in exposure to, or contact with, the carcinogen.
(9) External Environment. Any environment external to regulated and nonregulated areas.
(10) Isolated System. A fully enclosed structure, other than the vessel of containment of a carcinogen, which is impervious to the passage of the carcinogen and which would prevent the entry of the carcinogen into regulated areas, nonregulated areas or the external environment should leakage or spillage from the vessel of containment occur.
(11) Laboratory Type Hood. A device enclosed on three sides and the top and bottom, designed and maintained so as to draw air inward at an average linear face velocity of 150 feet per minute with a minimum of 125 feet per minute; designed, constructed and maintained in such a way that an operation involving a carcinogen within the enclosure does not require the insertion of any portion of any employee's body other than hands and arms.
(12) Nonregulated Area. Any area under the control of the employer where entry and exit is neither restricted nor controlled.
(13) Open Vessel System. An operation involving a carcinogen in an open vessel which is not in an isolated system, in a laboratory type hood or in any other system affording equivalent protection against the entry of a carcinogen into regulated areas, nonregulated areas or the external environment.
(14) Protective Clothing. Clothing designed to protect an employee against contact with, or exposure to, a carcinogen.
(15) Regulated Area. An area where entry and exit is restricted and controlled.
(c) Regulated Areas. A regulated area shall be established by an employer where a carcinogen is manufactured, processed, used, released, stored or otherwise handled. All such areas shall be controlled in accordance with the requirements for the following category or categories describing the operation involved:
(1) Isolated Systems. Employees working with a carcinogen within an isolated system such as a “glove box” shall wash their hands and arms upon completion of the assigned task and before engaging in other activities not associated with the isolated system.
(2) Closed System Operations. Within the regulated areas where a carcinogen is stored in sealed containers or is contained in a closed system, including piping systems with any sample ports or openings closed while a carcinogen is contained within:
(A) Access shall be restricted to authorized employees;
(B) With the exception of those cases in which the substance is beta-propiolactone, bis-chloromethyl ether, methyl chloromethyl ether, or ethyleneimine, employees shall be required to wash hands, forearms, face and neck upon each exit from the regulated areas, close to the point of exit, and before engaging in other activities.
(3) Open Vessel System Operations. Open vessel system operations as defined in paragraph (b)(13) of this section are prohibited.
(4) Transfer From a Closed System, Charging or Discharging Point Operations, or Otherwise Opening a Closed System. In operations where a carcinogen is contained in a “closed system” but is transferred, charged or discharged into other normally closed containers, the following provisions shall apply:
(A) Access shall be restricted to authorized employees.
(B) Each operation shall be provided with a “laboratory type hood” or with equivalent continuous local exhaust ventilation so that air movement is always from ordinary work areas to the operation. Exhaust air shall not be discharged to regulated areas, nonregulated areas or the external environment unless decontaminated. Clean makeup air shall be introduced in sufficient volume to maintain the correct operation of the local exhaust system.
(C) Employees shall be provided with, and be required to wear, clean, full body protective clothing (smocks, coveralls or long-sleeved shirts and pants), shoe covers and gloves prior to entering the regulated area. Shoe covers are not required when the substance is bis-chloromethyl ether, methyl chloromethyl ether, or ethyleneimine.
(D) Employees engaged in the handling of carcinogens shall be provided with, and be required to wear and use as minimum protection, a half-face, filter type respirator for dusts, mists and fumes, or air purifying canisters or cartridges. Those employees engaged in the handling of beta-propiolactone, bis-chloromethyl ether, methyl chloromethyl ether, N-nitrosodimethylamine, or ethyleneimine shall be provided with, and be required to wear and use any self-contained breathing apparatus that has a full facepiece and is operated in a pressure-demand or other positive-pressure mode, or any supplied-air respirator that has a full facepiece and is operated in a pressure-demand or other positive-pressure mode in combination with an auxiliary self-contained positive-pressure breathing apparatus. A respirator affording higher levels of protection than these respirators may be substituted.
(E) Prior to each exit from a regulated area, employees shall be required to remove and leave protective clothing and equipment at the point of exit and, at the last exit of the day, to place used clothing and equipment in impervious containers at the point of exit for purposes of subsequent decontamination or disposal. The contents of such impervious containers shall be identified as required under paragraphs (e)(2), (e)(3) and (e)(4) of this section.
(F) Employees shall be required to wash hands, forearms, face and neck on each exit from the regulated area, close to the point of exit, and before engaging in other activities. Exception to this requirement is permitted when the substance is beta-propiolactone, bis-chloromethyl ether, methyl chloromethyl ether, or ethyleneimine.
(G) Employees shall be required to shower after the last exit of the day except in those cases in which the substance is beta-propiolactone, bis-chloromethyl ether, methyl chloromethyl ether, or ethyleneimine.
(H) Drinking fountains are prohibited in the regulated area.
(5) Maintenance and Decontamination Activities. In cleanup of leaks or spills, maintenance or repair operations on contaminated systems or equipment, or any operations involving work in an area where direct contact with a carcinogen could result, each authorized employee entering that area shall:
(A) Be provided with, and be required to wear, clean, impervious garments including gloves, boots and continuous air-supplied hood in accordance with Section 5144.
(B) Be decontaminated before removing the protective garments and hood.
(C) Be required to shower, including washing of the hair, upon removing the protective garments and hood.
(6) Laboratory Activities. The requirements of this paragraph shall apply to research and quality control activities involving the use of a carcinogen.
(A) Mechanical pipetting aids shall be used for all pipetting procedures.
(B) Experiments, procedures and equipment which could produce aerosols shall be confined to laboratory type hoods or glove boxes.
(C) Laboratory work surfaces on which a carcinogen is handled shall be protected from contamination.
(D) Contaminated wastes and animal carcasses shall be collected in impervious containers which are closed and decontaminated prior to removal from the work area. Such wastes and carcasses shall be incinerated in such a manner that no carcinogenic products are released.
(E) All other forms of a carcinogen shall be inactivated prior to disposal.
(F) Laboratory vacuum systems shall be protected with high efficiency scrubbers or with disposable absolute filters except that only high efficiency scrubbers shall be used with beta-propiolactone, bis-chloromethyl ether, methyl chloromethyl ether, or ethyleneimine.
(G) Employees, other than those engaged in animal support activities, shall be provided with, and shall be required to wear, a daily change of clean, protective laboratory clothing, such as a solid-front gown, surgical scrub suit or fully buttoned laboratory coat. The required change of clean, protective clothing for employees engaged in animal support activities shall include coveralls or pants and shirt, foot covers, head covers, gloves, and appropriate protective respiratory equipment or devices.
(H) Prior to each exit from a regulated area, employees shall be required to remove and leave protective clothing and equipment at the point of exit and, at the last exit of the day, to place used clothing and equipment in impervious containers at the point of exit for purposes of decontamination or disposal. Such impervious containers shall be identified as to their contents by labeling according to paragraphs (e)(2), (e)(3) and (e)(4) of this section.
(I) Employees shall be required to wash hands, forearms, face and neck upon each exit from the regulated area, close to the point of exit, and before engaging in other activities.
(J) Employees engaged in animal support activities shall be required to shower, including washing of the hair, after the last exit of the day.
(K) Air pressure in laboratory areas and animal rooms where a carcinogen is handled and bio-assay studies are performed shall be negative in relation to the pressure in surrounding areas. Exhaust air shall not be discharged to regulated areas, nonregulated areas or the external environment unless decontaminated.
(L) There shall be no connection between regulated areas and any other areas through the ventilation system.
(M) A current inventory of carcinogens shall be maintained.
(N) Ventilated apparatus such as laboratory type hoods shall be tested at least semi-annually, or immediately after ventilation modification or maintenance operations, by personnel fully qualified to certify correct containment and operation.
(d) General Regulated Area Requirements.
(1) Emergencies. Specific emergency procedures shall be prescribed and posted. In an emergency, immediate measures including, but not limited to, the requirements of subparagraphs (A), (B), (C), (D) and (E) of this paragraph shall be implemented.
(A) The potentially affected areas shall be evacuated as soon as the emergency has been determined.
(B) Hazardous conditions created by the emergency shall be eliminated and the potentially affected area shall be decontaminated prior to the resumption of normal operations.
(C) Special medical surveillance by a physician shall be instituted within 24 hours for employees present in the potentially affected area at the time of the emergency. A report of the medical surveillance and of any medical treatment shall be included in the incident report, in accordance with paragraph (f)(2) of this section.
(D) Where an employee has a known contact with a carcinogen, such an employee shall be required to shower, including washing of the hair, as soon as possible unless contraindicated by physical injuries.
(E) An incident report on the emergency shall be reported as provided in paragraph (f)(2) of this section.
(F) In operations involving beta-propiolactone, or ethyleneimine, emergency deluge showers and eyewash fountains supplied with running potable water shall be located near, within sight of, and on the same level with locations where a direct exposure would be most likely to occur as a result of equipment failure or improper work practice.
(2) Hygiene Facilities and Practices.
(A) Storage or consumption of food, storage or use of containers of beverages, storage or application of cosmetics, smoking, storage of smoking materials, tobacco products or other products for chewing, or the chewing of such products, are prohibited in regulated areas.
(B) Where employees are required by this section to wash or shower, facilities shall be provided in accordance with Section 3366.
(C) Where employees wear protective clothing and equipment, clean change rooms shall be provided in accordance with Section 3367 for the number of such employees required to change clothes.
(D) Where toilets are in regulated areas, such toilets shall be in a separate room in accordance with Section 3365.
(3) Contamination Control.
(A) Regulated areas, except for outdoor systems, shall be maintained under pressure negative with respect to nonregulated areas. Local exhaust ventilation may be used to satisfy this requirement. Clean makeup air in equal volume shall replace air removed.
(B) Any equipment, material or other item taken into or removed from a regulated area shall be done so in a manner that does not cause contamination in nonregulated areas or the external environment.
(C) Decontamination procedures shall be established and implemented to remove a carcinogen from the surface of materials, equipment and the decontamination facility.
(D) Dry sweeping and dry mopping are prohibited.
(4) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C) and (E), and (d)(3)), and (e) through (m).
(e) Signs, Information and Training.
(1) Signs.
(A) Entrances to regulated areas shall be posted with signs bearing the legend: 

CANCER-SUSPECT AGENT
AUTHORIZED PERSONNEL ONLY
(B) Entrances to regulated areas containing operations covered in paragraph (c)(5) of this section shall be posted with signs bearing the legend: 

CANCER-SUSPECT AGENT EXPOSED IN THIS AREA
IMPERVIOUS SUIT INCLUDING GLOVES, BOOTS
AND AIR-SUPPLIED HOOD REQUIRED AT ALL TIMES 
AUTHORIZED PERSONNEL ONLY
(C) Appropriate signs and instructions shall be posted at the entrance to, and exit from, regulated areas informing employees of the procedures that must be followed in entering and leaving a regulated area.
(D) Prescribed emergency procedures shall be posted in an appropriate location.
(2) Container Contents Identification.
(A) Containers of a carcinogen and containers required under subparagraphs (c)(4)(E), (c)(6)(H) and (c)(7)(C) of this section which are accessible only to, and handled only by, authorized employees or other employees trained in accordance with paragraph (e)(5) may have the identification of their contents limited to a generic or proprietary name, or other proprietary identification, of the carcinogen and percent.
(B) Containers of a carcinogen and containers required under subparagraphs (c)(4)(E), (c)(6)(H) and (c)(7)(C) of this section which are accessible to, or handled by, employees other than authorized employees or employees trained in accordance with paragraph (e)(5), shall have contents identification which includes the full chemical name and Chemical Abstracts Service Registry number as listed in subsection (a) of this section.
(C) Containers shall display the following warning immediately under, or adjacent to, the contents identification: 

CANCER-SUSPECT AGENT
(D) Containers which have carcinogen contents with corrosive or irritating properties shall have label statements warning of such hazards, noting, if appropriate, particularly sensitive or affected portions of the body.
(3) Lettering. Lettering on signs required by subparagraphs (e)(1)(A), (B) and (C)of this section shall be a minimum height of 2 inches. Instructions required by subparagraphs (e)(1)(C) and (D) shall be legible and no smaller than standard pica type. The letter height of labels required on containers under this section shall be not less than one-half the size of the largest other lettering on the package, and not less than 8-point type in any instance, but no such required lettering need be more than 1 inch in height.
(4) Prohibited Statements. No statement shall appear on or near any required sign, label or instruction which contradicts or detracts from the effect of any required warning, information or instruction.
(5) Training and Indoctrination. Each employee, prior to being authorized to enter a regulated area, shall receive a training and indoctrination program including, but not necessarily limited to, the information or requirements of this paragraph. (All materials relating to the training/indoctrination program shall be provided upon request to authorized representatives of the Chief and the Director of the Department of Health.)
(A) The nature of the carcinogenic hazards including local and systemic toxicity.
(B) The specific nature of the operation involving a carcinogen which could result in exposure.
(C) The purpose for, and application of, the medical surveillance program, including, as appropriate, methods of self examination.
(D) The purpose for, and application of, decontamination practices and procedures.
(E) The purpose for, and significance of, emergency practices and procedures.
(F) The employee's specific role in prescribed emergency procedures.
(G) Specific information to aid the employee in recognition and evaluation of conditions and situations which may result in the release of a carcinogen.
(H) The purpose for, and application of, specific first-aid procedures and practices.
(I) The employee shall be familiarized with the prescribed emergency procedures and rehearsed in their application.
(J) This section shall be reviewed at the employee's first training and indoctrination program and annually thereafter.
(f) Reports. See section 5203.
(g) Medical Surveillance. At no cost to the employee, a program of medical surveillance shall be established and implemented for employees considered for assignment to enter regulated areas, and for authorized employees.
(1) Examinations.
(A) Before an employee is assigned to enter a regulated area, a preassignment medical examination by a licensed physician shall be provided. The examination shall include the employee's personal history and that of the employee's family insofar as these are related to pertinent genetic, occupational and environmental factors.
(B) Authorized employees shall be provided periodic medical examinations, not less often than annually, following the preassignment examination.
(C) In all medical examinations, the physician shall consider whether factors exist, which would predispose the employee to increase risk, such as reduced immunological competence, treatment with steroids or cytotoxic agents, pregnancy and cigarette smoking.
(2) Records.
(A) Employers of employees examined pursuant to paragraph (g)(1), above, shall cause to be maintained complete and accurate records of all such medical examinations. Records shall be maintained for the duration of the employee's employment. Upon termination of the employee's employment, including retirement or death, or in the event that the employer ceases business without a successor, records, or notarized true copies thereof, shall be forwarded by registered mail to the Director, National Institute for Occupational Safety and Health. The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(B) Records required by this paragraph shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief, in accordance with Section 3204, and the Director of the National Institute for Occupational Safety and Health.
(C) Any physician who conducts a medical examination required by this paragraph shall furnish to the employer a statement of the employee's suitability for employment in the specific exposure.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 8-1-74; effective thirtieth day thereafter (Register 74, No. 31). For former section and history, see Register 73, No. 43.
2. Amendment of subsection (d) filed 9-20-74 as procedural; effective upon filing (Register 74, No. 38).
3. Amendment filed 2-13-75; effective thirtieth day thereafter (Register 75, No. 7).
4. Amendment of subsections (a), (b)(3), and repealer of subsection (c)(7) filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
5. Amendment of subsection (f)(1) filed 6-15-79; effective thirtieth day thereafter (Register 79, No. 24).
6. Repealer of subsection (d)(1) and renumbering of subsections (d)(2)-(d)(4) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
7. Amendment of subsection (g)(2) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
8. Editorial correction of subsection (b)(3) filed 3-3-83 (Register 83, No. 10).
9. Amendment of subsection (c)(4)(D) filed 4-5-85; effective thirtieth day thereafter (Register 85, No. 14).
10. Change without regulatory effect amending subsection (b)(3) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
11. Amendment of subsections (c)(4)(D) and (d)(4) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
12. Amendment of subsection (f), repealer of subsections (f)(1)-(f)(2)(B)4. and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
13. Change without regulatory effect amending subsections (d)(2)(B)-(D) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
14. Amendment of subsection (c)(4)(D) filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).
§5210. Vinyl Chloride.
Note     •     History

(a) Scope and Application.
(1) This section includes requirements for the control of employee exposure to vinyl chloride (chloroethene), Chemical Abstracts Service Registry No. 75014.
(2) This section applies to the manufacture, reaction, packaging, repackaging, storage, handling or use of vinyl chloride or polyvinyl chloride, but does not apply to fabricated products made of polyvinyl chloride.
(3) This section applies to the transportation of vinyl chloride or polyvinyl chloride except to the extent that the Department of Transportation may regulate the hazards covered by this section.
(b) Definitions.
(1) Action Level. A time-weighted concentration of vinyl chloride of 0.5 ppm averaged over any 8-hour period.
(2) Authorized Person. Any person specifically authorized by the employer whose duties require him to enter a regulated area or any person entering such an area as a designated representative of employees for the purpose of exercising an opportunity to observe monitoring and measuring procedures.
(3) Fabricated product. A product made wholly or partly from polyvinyl chloride, and which has been processed at temperatures, and for times, sufficient to cause mass melting of the polyvinyl chloride.
(4) Polyvinyl Chloride. The homopolymer or copolymer of polyvinyl chloride before such is converted to a fabricated product.
(5) Vinyl Chloride. The monomer of vinyl chloride.
(c) Permissible Exposure Limit.
(1) No employee may be exposed to vinyl chloride at concentrations greater than 1 ppm averaged over any 8-hour period, and
(2) No employee may be exposed to vinyl chloride at concentrations greater than 5 ppm averaged over any period not exceeding 15 minutes.
(3) No employee may be exposed to vinyl chloride by direct contact with liquid vinyl chloride.
(d) Monitoring.
(1) A program of initial monitoring and measurement shall be undertaken in each establishment to determine if there is any employee exposed, without regard to the use of respirators, in excess of the action level.
(2) Where a determination conducted under paragraph (d)(1) of this section shows any employee exposures, without regard to the use of respirators, in excess of the action level, a program for determining exposures for each such employee shall be established. Such a program:
(A) Shall be repeated at least monthly where any employee is exposed, without regard to the use of respirators, in excess of the permissible exposure limit.
(B) Shall be repeated not less than quarterly where any employee is exposed, without regard to the use of respirators, in excess of the action level.
(C) May be discontinued for any employee only when at least two consecutive monitoring determinations, made not less than 5 working days apart, show exposures for that employee at or below the action level.
(3) Whenever there has been a production, process or control change which may result in an increase in the release of vinyl chloride, or the employer has any other reason to suspect that any employee may be exposed in excess of the action level, a determination of employee exposure under paragraph (d)(1) of this section shall be performed.
(4) The method of monitoring and measurement shall have an accuracy (with a confidence level of 95 percent) of not less than plus or minus 50 percent from 0.25 through 0.5 ppm, plus or minus 35 percent from over 0.5 ppm through 1.0 ppm, and plus or minus 25 percent over 1.0 ppm. (Methods meeting these accuracy requirements are available in the “NIOSH Manual of Analytical Methods.”)
(5) Employees or their designated representatives shall be afforded reasonable opportunity to observe the monitoring and measuring required by this paragraph.
(6) Employee Notification of Monitoring Results. The employer must, within 15 working days after the receipt of the results of any monitoring performed under this section, notify each affected employee of these results and the steps being taken to reduce exposures within the permissible exposure limit either individually in writing or by posting the results in an appropriate location that is accessible to affected employees.
(e) Regulated Area.
(1) A regulated area shall be established where vinyl chloride is released into work areas such that employees are exposed above the limits specified in paragraph (c)(1) or (c)(2) of this section, without regard to the use of respirators.
(2) Access to regulated areas shall be limited to authorized persons.
(f) Methods of Compliance. Employee exposures to vinyl chloride shall be controlled to at or below the permissible exposure limit provided in paragraph (c) of this section by engineering, work practice, and personal protective controls as follows:
(1) Feasible engineering and work practice controls shall immediately be used to reduce exposures to at or below the permissible exposure limit.
(2) Wherever feasible engineering and work practice controls which can be instituted immediately are not sufficient to reduce exposures to at or below the permissible exposure limit, they shall nonetheless be used to reduce exposures to the lowest practicable level, and shall be supplemented by respiratory protection in accordance with paragraph (g) of this section. A program shall be established and implemented to reduce exposures to at or below the permissible exposure limit, or to the greatest extent feasible, solely by means of engineering and work practice controls, as soon as feasible.
(3) Written plans for such a program shall be developed and furnished upon request for examination and copying to the Chief of the Division of Industrial Safety or the Director of the Department of Health or their authorized representatives. Such plans shall be updated at least every six months.
(g) Respiratory Protection. 
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection.
(2) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C), and (d)(3)(C)2.a. and b.), and (f) through (m).
(3) Respirator selection.
(A) The appropriate respirators shall be selected, and provided to employees, as specified in Section 5144(d)(3)(A)1:
(B) Employers shall provide an organic vapor cartridge that has a service life of at least one hour when using a chemical cartridge respirator at vinyl chloride concentrations up to 10 ppm.
(C) Employers shall select a canister that has a service life of at least four hours when using a powered air-purifying respirator having a hood, helmet, or full or half facepiece, or a gas mask with a front- or back-mounted canister, at vinyl chloride concentrations up to 25 ppm.
(h) Hazardous Operations.
(1) Employees engaged in hazardous operations, including entry of vessels to clean polyvinyl chloride residue from vessel walls, shall be provided and required to wear and use:
(A) Respiratory protection in accordance with paragraphs (c) and (g) of this section; and
(B) Protective garments to prevent skin contact with liquid vinyl chloride or with polyvinyl chloride residue from vessel walls. The protective garments shall be selected for the operation and its possible exposure conditions.
(2) Protective garments shall be provided clean and dry for each use.
(i) Emergency Situations. A written operational plan for emergency situations shall be developed for each facility storing, handling, or otherwise using vinyl chloride as a liquid or compressed gas. Appropriate portions of the plan shall be implemented in the event of an emergency. The plan shall specifically provide that:
(1) Employees engaged in hazardous operations or correcting situations of existing hazardous releases shall be equipped as required in paragraph (h) of this section.
(2) Other employees not so equipped shall evacuate the area and not return until conditions are controlled by the methods required in paragraph (f) of this section and the emergency is abated.
(j) Training. Each employee engaged in vinyl chloride or polyvinyl chloride operations shall be provided training in a program relating to the hazards of vinyl chloride and precautions for its safe use.
(1) The program shall include:
(A) The nature of the health hazard from chronic exposure to vinyl chloride including specifically the carcinogenic hazard;
(B) The specific nature of operations which could result in exposure to vinyl chloride in excess of the permissible limit and necessary protective steps;
(C) The purpose for, proper use, and limitations of respiratory protective devices;
(D) The fire hazard and acute toxicity of vinyl chloride, and the necessary protective steps;
(E) The purpose for and a description of the monitoring program;
(F) The purpose for and a description of the medical surveillance program;
(G) Emergency procedures;
(H) Specific information to aid the employee in recognition of conditions which may result in the release of vinyl chloride; and
(I) A review of this standard at the employee's first training and indoctrination program, and annually thereafter.
(2) All materials relating to the program shall be provided upon request to the Chief of the Division of Industrial Safety or the Director of the Department of Health or their authorized representatives.
(k) Medical Surveillance. A program of medical surveillance shall be instituted for each employee exposed, without regard to the use of respirators, to vinyl chloride in excess of the action level. The program shall provide each such employee with an opportunity for examinations and tests in accordance with this paragraph. All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, and shall be provided without cost to the employee.
(1) At the time of initial assignment, or upon institution of medical surveillance:
(A) A general physical examination shall be performed, with specific attention to detecting enlargement of the liver, spleen or kidneys, or dysfunction in these organs, and for abnormalities in skin, connective tissues, and the pulmonary system. (See Appendix A.)
(B) A medical history shall be taken including the following topics:
1. Alcohol intake;
2. Past history of hepatitis;
3. Work history and past exposure to potential hepato-toxic agents, including drugs and chemicals;
4. Past history of blood transfusions; and
5. Past history of hospitalizations.
(C) A serum specimen shall be obtained and determinations made of:
1. Total bilirubin;
2. Alkaline phosphatase;
3. Serum glutamic oxalacetic transaminase (SGOT);
4. Serum glutamic pyruvic transaminase (SGPT); and
5. Gamma glutamyl transpeptidase.
(2) Examinations provided in accordance with this paragraph shall be performed at least:
(A) Every 6 months for each employee who has been employed in vinyl chloride or polyvinyl chloride manufacturing for 10 years or longer; and
(B) Annually for all other employees.
(3) Each employee exposed to an emergency shall be afforded appropriate medical surveillance.
(4) A statement of each employee's suitability for continued exposure to vinyl chloride including use of protective equipment and respirators, shall be obtained from the examining physician promptly after any examination. A copy of the physician's statement shall be provided each employee.
(5) If any employee's health would be materially impaired by continued exposure, such employee shall be withdrawn from possible contact with vinyl chloride.
(6) Laboratory analyses for all biological specimens included in medical examinations shall be performed in laboratories licensed under Division 2, Chapter 3 of the California Business and Professions Code, or 42 CFR Part 74.
(7) If the examining physician determines that alternative medical examinations to those required by paragraph (k)(1) of this section will provide at least equal assurance of detecting medical conditions pertinent to the exposure to vinyl chloride, the employer may accept such alternative examinations as meeting the requirements of paragraph (k)(1) of this section, if the employer obtains a statement from the examining physician setting forth the alternative examinations and the rationale for substitution. This statement shall be available upon request for examination and copying to authorized representatives of the Chief of the Division of Occupational Safety and Health or the Director of the Department of Health.
(l) Signs and Labels.
(1) Entrances to regulated areas shall be posted with legible signs bearing the legend: 

CANCER-SUSPECT AGENT AREA 
AUTHORIZED PERSONNEL ONLY
(2) Areas containing hazardous operations or where an emergency currently exists shall be posted with legible signs bearing the legend: 

CANCER-SUSPECT AGENT IN THIS AREA 
PROTECTIVE EQUIPMENT REQUIRED 
AUTHORIZED PERSONNEL ONLY
(3) Containers of polyvinyl chloride resin waste from reactors or other waste contaminated with vinyl chloride shall be legibly labeled: 

CONTAMINATED WITH 
VINYL CHLORIDE 
CANCER-SUSPECT AGENT
(4) Containers of polyvinyl chloride shall be legibly labeled: 

POLYVINYL CHLORIDE (OR TRADE NAME) 
Contains 
VINYL CHLORIDE 
VINYL CHLORIDE IS A CANCER-SUSPECT AGENT
(5) Containers of vinyl chloride shall be legibly labeled either: 
(A) 

VINYL CHLORIDE 
EXTREMELY FLAMMABLE GAS UNDER PRESSURE 
CANCER-SUSPECT AGENT
(B) or, in accordance with 49 CFR Parts 170-189, with the additional legend: 

CANCER-SUSPECT AGENT 

applied near the label or placard.
(6) No statement shall appear on or near any required sign, label or instruction which contradicts or detracts from the effect of, any required warning, information or instruction.
(m) Records. 
(1) All records maintained in accordance with this section shall include the name and social security number of each employee where relevant.
(2) Records of required monitoring and measuring and medical records shall be provided upon request to employees, designated representatives, and authorized representatives of the Division of Occupational Safety and Health in accordance with Section 3204. These records shall also be provided upon request to the Director, National Institute for Occupational Safety and Health.
(A) Monitoring and measuring records shall:
1. State the date of such monitoring and measuring and the concentrations determined and identify the instruments and methods used;
2. Include any additional information necessary to determine individual employee exposures where such exposures are determined by means other than individual monitoring of employees; and
3. Be maintained for not less than 30 years.
(B) Medical records shall be maintained for the duration of the employment of each employee plus 20 years, or 30 years, whichever is longer.
(3) In the event that the employer ceases to do business and there is no successor to receive and retain his records for the prescribed period, these records shall be transmitted by registered mail to the Director, National Institute for Occupational Safety and Health, 5600 Fisher Lane, Rockville, Maryland 20852, and each employee individually notified in writing of this transfer. The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(n) Reports. See section 5203.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New subsection (n)(1)(C), (n)(4), (n)(5) and (o) filed 6-1-77; effective thirtieth day thereafter (Register 77, No. 23). For prior history, see Register 75, No. 29.
2. Editorial correction to history note (Register 79, No. 10).
3. Amendment of subsections (e)(2) and (m)(2) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
4. Amendment of subsection (m) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
5. Editorial correction of subsections (k)(7) and (n) filed 3-3-83 (Register 83, No. 10).
6. Amendment of former subsections (g)(1)-(g)(5)(B) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(C) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
7. Amendment of subsection (n), repealer of subsections (n)(1)-(5) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
8. New subsection (d)(6) filed 7-28-2005; operative 7-28-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 30).
9. Amendment of subsection (g)(3)(A), repealer and new subsection (g)(3)(B), repealer of subsections (g)(3)(B)1.-2. and repealer and new subsection (g)(3)(C) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A--Supplementary Medical Information
When required tests under paragraph (k)(1) of this section show abnormalities, the tests should be repeated as soon as practicable, preferably within 3 to 4 weeks. If tests remain abnormal, consideration should be given to withdrawal of the employee from contact with vinyl chloride, while a more comprehensive examination is made.
Additional tests which may be useful:
A. For kidney dysfunction: urine examination for albumin, red blood cells, and exfoliative abnormal cells.
B. Pulmonary system: Forced vital capacity. Forced expiratory volume at 1 second, and chest roentgenogram (posterior-anterior, 14x17 inches).
C. Additional serum tests: Lactic acid dehydrogenase, lactic acid dehydrogenase isoenzyme, protein determination, and protein electrophoresis.
D. For a more comprehensive examination on repeated abnormal serum tests: Hepatitis B antigen, and liver scanning.
§5211. Coke Oven Emissions.
Note     •     History

(a) Scope and Application. This section establishes work practices, engineering methods, and other requirements for the control of employee exposure to coke oven emissions during the production of coke from coal.
The requirements of this section are subject to the provisions of the Occupational Carcinogens Control Act of 1976 (Chapter 2 Division 20 Health and Safety Code).
(b) Definitions.
(1) Authorized Person.
Any employee or other person, specifically authorized by the employer, whose duties require access to a regulated area, including any employee representative designated to observe the performance of monitoring and measuring procedures pursuant to subsection (w).
(2) Beehive Oven. A coke oven in which the products of carbonization other than coke are not recovered but are released into the ambient air.
(3) Coke Oven. A retort in which coke is produced by the destructive distillation or carbonization of coal.
(4) Coke Oven Battery. A structure containing a number of slot-type coke ovens.
(5) Coke Oven Emissions. The benzene-soluble fraction of total particulate matter present during the destructive distillation or carbonization or coal for the production of coke.
(6) Emergency. Any occurrence such as, but not limited to, equipment failure which is likely to, or does, result in any massive release of coke oven emissions.
(7) Existing Coke Oven Battery. A battery in operation or under construction on the effective date of this section and which is not a rehabilitated coke oven battery.
(8) Rehabilitated Coke Oven Battery. A battery which is rebuilt, overhauled, renovated, or restored, such as from the pad up, after the effective date of this section.
(9) Stage Charging. A procedure by which a predetermined volume of coal in each larry car hopper is introduced into an oven such that no more than two hoppers are discharging simultaneously.
(10) Sequential Charging. A procedure, usually automatically timed, by which a predetermined volume of coal in each larry car hopper is introduced into an oven such that no more than two hoppers commence or finish discharging simultaneously although, at some point, all hoppers are discharging simultaneously.
(11) Pipeline Charging. Any procedure for the introduction of coal into an oven which uses a pipe or duct permanently mounted onto an oven and through which coal is charged.
(12) Green Push. Coke which when removed from the oven results in emissions due to the presence of unvolatilized coal.
(c) Permissible Exposure Limit. The employer shall assure that no employee is exposed to coke oven emissions at concentrations greater than 0.15 milligrams per cubic meter of air, averaged over any 8-hour period.
(d) Regulated Areas. Regulated areas, to which access shall be restricted to authorized persons, shall be established for the following areas:
(1) The coke oven battery including topside and its machinery, pushside and its machinery, coke side and its machinery, and the battery ends; the wharf; and the screening station.
(2) The beehive oven and its machinery.
(e) Monitoring. Each employer who has a place of employment where coke oven emissions are present shall monitor employees employed in the regulated area in accordance with this subsection.
(1) Measurements.
(A) The employer shall obtain measurements which are representative of each employee's exposure to coke oven emissions, as an 8-hour, time-weighted average concentration, without regard to the employee's use of respiratory protective equipment.
(B) The employer shall collect personal samples including at least one sample during each shift for each battery and each job classification within the regulated areas. Whenever normal assignments of employees in a particular job classification involve more than one battery, the employer shall collect representative personal samples which are proportionate in number to the number of batteries on which work is performed in such job classification.
Note: The job classifications referred to above include but are not limited to the following:
1. Lid tender
2. Spray tender
3. Larry car operator
4. Luter tender
5. Door machine operator
6. Door cleaner, coke side
7. Door cleaner, pusher side
8. Heater
9. Heater helper
10. Quenching car operator
11. Pusher operator
12. Lead pusher
13. Conveyor attendant
14. Wharf tender
15. First patcher
16. First oven door repair hand
17. Patcher
18. Oven door repair hand helper
19. Patcher helper
20. Spell hand
21. Nozzle cleaner
22. Oven labor
23. Heating labor
24. Maintenance personnel
25. Oven door repair hand
(C) The determination of each employee's exposure to coke oven emissions, as conducted in accordance with paragraph (e)(1), shall be repeated at least every three months.
(2) Redetermination. Whenever there has been a production, process, or control change which may result in new or additional exposure to coke oven emissions, or whenever the employer has any other reason to suspect an increase in employee exposure, the employer shall repeat the monitoring and measurements required by paragraph (e)(1) for those employees affected by such change or increase.
(3) Employee Notification.
(A) The employer shall notify the employee monitored of his exposure measurements and post representative levels for all other employees within five working days after the receipt of the results of measurements required by paragraph (e)(1) or (e)(2).
(B) Whenever such results indicate that the representative employee exposure exceeds the permissible exposure limit, the employer shall, in such notification, inform each employee of that fact and of the corrective action being taken to reduce exposure to, or below, the permissible exposure limit.
(4) Accuracy of Measurement. The employer shall use a method of monitoring and measurement which has an accuracy (with a confidence level of 95%) of not less than plus or minus 35% for concentrations of coke oven emissions greater than, or equal to, 0.15 milligrams per cubic meter of air.
(f) Methods of Compliance.
(1) Existing Coke Oven Batteries.
(A) The employer shall institute the generally applicable, but minimum, engineering and work practice controls prescribed by subsections (g) through (m) in existing coke oven batteries at the earliest possible time, but not later than January 20, 1980, except to the extent that the employer can establish that such controls are not feasible.
Note: In determining the earliest possible time for the institution of engineering and work practice controls, the requirement, effective August 27, 1971, to implement feasible administrative or engineering controls to reduce exposures to coal tar pitch volatiles shall be considered.
(B) If, after implementing all controls required by subsections (g) through (m), or after January 20, 1980, whichever is sooner, employee exposures still exceed the permissible exposure limit, the employer shall implement any other engineering controls necessary to reduce exposures to, or below, the permissible limit.
(C) Whenever the engineering and work practice controls which can be instituted, in accordance with the provisions of subparagraphs (f)(1)(A) or (f)(1)(B), are not sufficient to reduce employee exposures to, or below, the permissible exposure limit, the employer shall nonetheless use them to reduce exposures to the lowest level achievable by these controls and shall supplement them by the use of respiratory protection which complies with the requirements of subsection (p).
(2) New or Rehabilitated Coke Oven Batteries.
(A) The employer shall institute the best available engineering and work practice controls on all new or rehabilitated coke oven batteries to reduce and maintain employee exposures at, or below, the permissible exposure limit except to the extent that the employer can establish that such controls are not feasible.
(B) If, after implementing all the engineering and work practice controls required by subparagraph (f)(2)(A), employee exposures still exceed the permissible limit, the employer shall implement any other engineering and work practice controls necessary to reduce exposure to, or below, the permissible limit except to the extent that the employer can establish that such controls are not feasible.
(C) Wherever the engineering and work practice controls which can be instituted in accordance with subparagraph (f)(2)(A) or (f)(2)(B) are not sufficient to reduce employee exposures to or below the permissible exposure limit, the employer shall nonetheless use them to reduce exposures to the lowest level achievable by these controls and shall supplement them by the use of respiratory protection which complies with the requirements of subsection (p).
(3) Beehive Ovens.
(A) The employer shall institute engineering and work practice controls on all beehive ovens at the earliest possible time to reduce and maintain employee exposures at, or below, the permissible exposure limit except to the extent that the employer can establish that such controls are not feasible.
Note: In determining the earliest possible time for the institution of engineering and work practice controls, the requirement, effective August 27, 1971, to implement feasible administrative or engineering controls to reduce exposures to coal tar pitch volatiles, shall be considered.
(B) If, after implementing all the engineering and work practice controls required by subparagraph (f)(3)(A), employee exposures still exceed the permissible limit, the employer shall implement any other engineering and work practice controls necessary to reduce exposure to, or below, the permissible limit except to the extent that the employer can establish that such controls are not feasible.
(C) Wherever the engineering and work practice controls which can be instituted in accordance with subparagraph (f)(3)(A) or (f)(3)(B) are not sufficient to reduce employee exposures to or below the permissible exposure limit, the employer shall nonetheless use them to reduce exposures to the lowest level achievable by these controls and shall supplement them by the use of respiratory protection which complies with the requirements of subsection (p).
(g) Engineering Controls During Charging. The employer shall equip and operate existing coke oven batteries with all of the engineering controls specified by this subsection to control emissions during charging operations.
(1) One of the following methods of charging:
(A) Stage charging as described in paragraph (i)(2).
(B) Sequential charging as described in paragraph (i)(2), except that subparagraph (i)(2)(C)2, does not apply to sequential charging.
(C) Pipeline charging or other forms of enclosed charging in accordance with this subsection except that paragraphs (2), (4), (5), (6), and (8) do not apply.
(2) Drafting from two or more points in the oven being charged, through the use of double collector mains, or a fixed or moveable jumper pipe system to another oven, to effectively remove the gases from the oven to the collector mains.
(3) Aspiration systems designed and operated to provide sufficient negative pressure and flow volume to effectively move the gases evolved during charging into the collector mains, including sufficient steam pressure, and steam jets of sufficient diameter.
(4) Mechanical volumetric controls on each larry car hopper to provide the proper amount of coal to be charged through each charging hole so that the tunnel head will be sufficient to permit the gases to move from the oven into the collector mains.
(5) Devices to facilitate the rapid and continuous flow of coal into the oven being charged, such as stainless steel liners, coal vibrators or pneumatic shells.
(6) Individually operated larry car drop sleeves and slide gates designed and maintained so that the gases are effectively removed from the oven into the collector mains.
(7) Mechanized gooseneck and standpipe cleaners.
(8) Air seals on the pusher machine leveler bars to control air infiltration during charging.
(9) Roof carbon cutters or a compressed air system, or both, on the pusher machine rams to remove roof carbon.
(h) Engineering Controls During Coking. The employer shall equip and operate existing coke oven batteries with all of the engineering controls specified by this subsection to control emissions during coking.
(1) A pressure control system on each battery to obtain uniform collector main pressure.
(2) Ready access to door repair facilities capable of prompt and efficient repair of doors, door sealing edges, and all door parts.
(3) An adequate number of spare doors available for replacement purposes.
(4) Chuck door gaskets to control chuck door emissions until such door is repaired or replaced.
(5) Heat shields on door machines.
(i) Work Practice Controls During Charging. The employer shall operate existing coke oven batteries with all of the following work practices to control emissions during charging:
(1) Establishment and implementation of a detailed, written inspection and cleaning procedure for each battery which shall include, as a minimum, provision for the following:
(A) Prompt and effective repair or replacement of all engineering controls.
(B) Inspection and cleaning of goosenecks and standpipes, prior to each charge, to a specified minimum diameter sufficient to effectively move the evolved gases from the oven to the collector mains.
(C) Inspection for roof carbon build-up prior to each charge and removal of roof carbon as necessary to provide an adequate gas channel so that the gases are effectively moved from the oven into the collector mains.
(D) Inspection of the steam aspiration system prior to each charge so that sufficient pressure and volume is maintained to effectively move the gases from the oven to the collector mains.
(E) Inspection of steam nozzles and liquor sprays prior to each charge and cleaning as necessary so that the steam nozzles and liquor sprays are clean.
(F) Inspection of standpipe caps prior to each charge and cleaning and luting or both as necessary so that the gases are effectively moved from the oven to the collector mains.
(G) Inspection of charging holes and lids for cracks, warpage and other defects prior to each charge and removal of carbon to prevent emissions, and application of luting material to standpipe and charging hole lids where necessary to obtain a proper seal.
(2) Establishment and implementation of a detailed, written charging procedure, designed and operated to eliminate emissions during charging for each battery, which shall include, as a minimum, the following elements:
(A) Larry car hoppers filled with coal to a predetermined level in accordance with the mechanical volumetric controls required under paragraph (g)(4) so as to maintain a sufficient gas passage in the oven to be charged.
(B) The larry car aligned over the oven to be charged such that the drop sleeves fit tightly over the charging holes.
(C) Actual charging of the oven performed following the sequence and under the conditions prescribed by this subparagraph.
1. The aspiration system in operation.
2. Coal charged from the outermost hoppers, either individually or simultaneously, depending upon the capacity of the aspiration system to collect the evolved gases, and following charging, each charging hole immediately relidded or otherwise sealed off to prevent the leakage of coke oven emissions.
3. Additional hoppers discharged individually and each relidded or otherwise sealed off to prevent leakage of coke oven emissions before proceeding.
4. The final hopper discharged until the gas channel at the top of the oven is blocked and then the chuck door opened and the coal leveled.
5. When the coal from the final hopper is discharged and the leveling operation is completed, the charging hole relidded or otherwise sealed off to prevent leakage of coke oven emissions.
6. The aspiration system turned off only after the charging holes have been closed.
(3) Establishment and implementation of a detailed, written procedure, designed and operated to eliminate emissions during charging, of each pipeline or enclosed charged battery.
(j) Work Practice Controls During Coking. The employer shall operate existing coke oven batteries pursuant to a detailed, written procedure established and implemented for the control of coke oven emissions during coking which shall be based on at least the following work practices:
(1) Checking oven back pressure controls to maintain uniform pressure conditions in the collecting main.
(2) Repair, replacement, maintenance and adjustment of oven doors, chuck doors, and door jacks and replacement of door jambs so as to provide a continuous metal-to-metal fit. No more than two successive charges shall be allowed on ovens with defective oven doors or chuck doors before repair or replacement.
(3) Cleaning of oven doors, check doors and door jambs each coking cycle so as to provide an effective seal.
(4) An inspection system and program including positive correction action to control door emissions to the maximum extent possible.
(5) Luting of doors that are sealed by luting at each coking cycle and reluting, replacing or adjusting as necessary to control leakage.
(k) Work Practices During Pushing. The employer shall operate all existing coke oven batteries using all of the following work practices to control emissions during pushing:
(1) Coke and coal spillage quenched as soon as practicable and not shoveled into a heated oven.
(2) Establishment and implementation of a detailed, written procedure for each battery, designed and operated for the control of emissions during pushing, based, as a minimum, on the following elements:
(A) Dampering off the ovens and removal of charging hole lids to effectively control coke oven emissions during the push.
(B) Heating of the coal charge uniformly for a sufficient period so as to obtain proper coking including the prevention of green pushes.
(C) When it is known in advance that a green push will occur which can be prevented by corrective measures, such measures shall be taken before the push is made.
(D) Inspection, adjustment and correction of heating flue temperatures and defective flues at least weekly and after any green push so as to prevent green pushes.
(E) Cleaning of heating flues and related equipment to prevent green pushes, at least weekly and after any green push.
(l) Maintenance and Repair. The employer shall operate existing coke oven batteries following a detailed, written procedure of maintenance and repair established and implemented for the effective control of coke oven emissions and such procedure shall be based, as a minimum, on the following work practices:
(1) Regular inspection of all controls, including goosenecks, standpipes, standpipe caps, charging hole lids and castings, jumper pipes and air seals for cracks, misalignment or other defects and implementation of the necessary repairs as soon as possible.
(2) Maintaining the regulated area in an orderly condition reasonably free of coal and coke spillage and debris.
(3) Regular inspection of the damper system, aspiration system and collector main for cracks or leakage, and prompt implementation of the necessary repairs.
(4) Regular inspection of the heating system and prompt implementation of the necessary repairs.
(5) Prevention of miscellaneous fugitive topside emissions.
(6) Regular inspection and patching of oven brickwork.
(7) Maintenance of battery equipment and controls in good working order.
(8) Maintenance and repair of coke oven doors, chuck doors, door jambs and seals.
(9) Repairs instituted and completed as soon as possible, including temporary repair measures instituted and completed where necessary, including but not limited to:
(A) Prevention of miscellaneous fugitive topside emissions; and
(B) Installation of chuck door gaskets prior to the start of the next coking cycle.
(m) Filtered Air.
(1) The employer shall provide positive-pressure, temperature-controlled, filtered air for larry car, pusher machine, door machine, and quench car cabs.
(2) The employer shall provide standby pulpits on the battery topside, and one centrally located to the screening station equipped with positive-pressure, temperature-controlled, filtered air.
(n) Emergencies. Whenever an emergency occurs, the next coking cycle may not begin until the cause of the emergency is determined and corrected unless the employer can establish that it is necessary to initiate the next coking cycle in order to determine the cause of the emergency.
(o) Compliance Program.
(1) Each employer shall establish and implement a written program to reduce exposures solely by means of the engineering and work practice controls required in subsections (g) through (m). The written program shall include at least the following:
(A) A description of each coke oven by battery, including work force and operating crew, coking time, operating procedures and maintenance practices.
(B) Engineering plans and other studies used to determine the controls for the coke battery.
(C) A report of the technology considered in meeting the permissible exposure limit.
(D) Monitoring data obtained in accordance with subsection (e).
(E) A detailed schedule for the implementation of the engineering and work practice controls required in subsections (g) through (m).
(F) Any other relevant information.
(2) If, after implementing all controls required by subsections (g) through (m), or after January 20, 1980, whichever is sooner, or after completion of a new or rehabilitated battery, the permissible exposure limit is still exceeded, the employer shall develop a detailed, written plan and schedule for the implementation of any additional engineering controls and work practices necessary to reduce exposure to, or below, the permissible exposure limit.
(3) Written programs, as required by Sections 5211(o)(1) and (o)(2), shall be submitted upon request to the Chief of the Division of Occupational Safety and Health (the Chief) and the Director of the National Institute for Occupational Safety and Health (the Director) and shall be available at the worksite for examination and copying by authorized representatives of the Chief and the Director and by the authorized employee representative. These programs shall be revised and updated at least every 6 months to reflect the current status.
(4) The employer shall incorporate the written procedures required by Sections 5211(i) through (l) and the schedules required by Sections 5211(o)(1)(e) and (o)(2) in the employee information and training program under Section 5211(t) and, where appropriate, shall post the procedures and schedules in the regulated area(s).
(p) Respiratory Protection. 
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Compliance with the permissible exposure limit may not be achieved by the use of respirators except during:
(A) Periods necessary to install or implement feasible engineering and work practice controls.
(B) Work operations such as maintenance and repair activity in which engineering and work practice controls are technologically not feasible.
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to, or below, the permissible exposure limit.
(D) Emergencies.
(2) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1; however, employers may use a filtering facepiece respirator only when it functions as a filter respirator for coke oven emissions particulates.
(q) Protective Clothing and Equipment.
(1) Provision and Use. The employer shall provide and assure the use of appropriate protective clothing and equipment, such as, but not limited to:
(A) Flame resistant jacket and pants.
(B) Flame resistant gloves.
(C) Face shields or vented goggles which comply with Section 3382.
(D) Insulation from hot surfaces for footwear.
(E) Safety shoes which comply with Section 3385.
(F) Protective helmets which comply with Section 3381.
(2) Cleaning and Replacement.
(A) Protective clothing required by subparagraphs (q)(1)(A) and (q)(1)(B) which has been wet with coal tar volatiles such that skin contact can occur shall be replaced immediately and cleaned before reissue. Such clothing which is wet with water shall be dried before being reissued, and all such protective clothing shall be cleaned at least weekly.
(B) The employer shall provide for the cleaning, laundering, or disposal of the protective clothing required by subparagraphs (q)(1)(A) and (q)(1)(B).
(C) The employer shall repair or replace the protective clothing and equipment as needed to maintain their effectiveness.
(D) The employer shall assure that all protective clothing is removed at the completion of a work shift and only in change rooms prescribed by paragraph (r)(1).
(E) The employer shall assure that protective clothing which is to be cleaned, laundered, or disposed of, is placed in a closable container in the change room.
(F) The employer shall inform any person who cleans or launders protective clothing of the potentially harmful effects of exposure to coke oven emissions.
(r) Hygiene Facilities and Practices.
(1) Change Rooms. As soon as possible but no later than January 20, 1978, the employer shall provide clean change rooms equipped with storage facilities for street clothes and separate storage facilities for protective clothing and equipment, in accordance with Section 3367(a), whenever employees are required to wear protective clothing and equipment as prescribed by paragraph (q)(1).
(2) Showers.
(A) The employer shall provide shower facilities in accordance with Section 3366(h).
(B) The employer shall assure that employees working in the regulated area shower at the end of the work shift.
(3) Lunchrooms. The employer shall provide lunchroom facilities which have a temperature-controlled, positive-pressure, filtered air supply, are readily accessible to employees working in the regulated area, and conform to the requirements of Section 3368.
(4) Lavatories.
(A) The employer shall provide lavatory facilities conforming to Section 3366, subsections (a) through (g).
(B) The employer shall assure that employees working in the regulated area wash their hands and face prior to eating.
(5) Prohibited Activities. The employer shall assure that, in the regulated area, food or beverages, with the exception of drinking water, are not present or consumed, smoking products are not present or consumed, and cosmetics are not present or applied, except that these activities may be conducted in the lunchrooms and change rooms required under the provisions of this subsection.
(s) Medical Surveillance.
(1) General.
(A) The employer shall provide or make available, at no cost to the employee, medical examinations conforming to the requirements of this subsection for each employee employed in a regulated area for at least 30 days per year.
(B) The employer shall inform any employee who refuses any required medical examination of the possible health consequences of such refusal. Any employee refusing a medical examination shall be requested to sign a statement acknowledging the personal health risk in such refusal.
(C) The employer shall assure that all medical examinations and procedures are performed by, or under the supervision of, a licensed physician.
(2) Initial Examination. At the time of initial assignment to a regulated area or upon the institution of the medical surveillance program, the employer shall provide a medical examination for employees covered under subparagraphs (s)(1)(A) which shall include at least the following elements:
(A) A work history and medical history which shall include smoking history and the presence and degree of respiratory symptoms, such as breathlessness, cough, sputum production, and wheezing.
(B) A 1” x 17” posterior-anterior chest X-ray and International Labor Office UICC/Cincinnati (ILO U/C) rating.
(C) Pulmonary function tests including forced vital capacity (FVC) and forced expiratory volume at one second (FEV 1.0) with recording of type of equipment used.
(D) Weight.
(E) A skin examination.
(F) Urinalysis for sugar, albumin, and hematuria.
(G) A sputum cytology examination.
(H) A urinary cytology examination.
(3) Periodic Examination.
(A) The employer shall provide the examination specified by paragraph (s)(2) at least annually for each employee except as prescribed by subparagraph (B) of this paragraph.
(B) The employer shall provide the examination specified by paragraph (s)(2) at least semi-annually for employees 45 years of age or older or with 5 or more years employment in areas which are defined as regulated areas by this section.
(C) Whenever an employee who is 45 years of age or older or with five (5) or more years employment in the regulated area transfers or is transferred from employment in the regulated area, the employer shall continue to provide the examination specified in paragraph (s)(2) at least semi-annually for as long as that employee is employed by the same employer or a successor employer.
(D) Whenever an employee has not taken the examination specified in paragraph (s)(2) within the 6 months preceding the termination of employment, the employer shall provide such examination to the employee upon termination of employment.
(4) Information Provided to the Physician. The employer shall provide the following information to the examining physician:
(A) A copy of this regulation.
(B) A description of the affected employee's duties as they relate to the employee's exposure.
(C) The employee's exposure level or estimated exposure level.
(D) A description of any personal protective equipment used or to be used.
(E) Information from previous medical examinations of the affected employee which is not readily available to the examining physician.
(5) Physician's Written Opinion.
(A) The employer shall obtain a written opinion from the examining physician which shall include:
1. The results of the medical examination.
2. The physician's opinion as to whether the employee has any detected medical conditions which would place the employee at increased risk of material impairment of the employee's health from exposure to coke oven emissions.
3. Any recommended limitations upon the employee's exposure to coke oven emissions or upon the use of protective clothing or equipment such as respirators.
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further explanation or treatment.
(B) The employer shall instruct the physician not to reveal in the written opinion specific findings or diagnoses unrelated to occupational exposure.
(C) The employer shall provide a copy of the written opinion to the affected employee.
(t) Employee Information and Training.
(1) Training Program.
(A) The employer shall institute a training program for employees who are employed in the regulated area and shall assure their participation.
(B) The training program shall be provided within seven days of the effective date of this section for employees who are employed in the regulated area at that time or at the time of initial assignment to a regulated area.
(C) The training program shall be provided at least annually for all employees who are employed in the regulated area.
(D) The minimum information provided each employee in the training program shall include the following:
1. A review of this standard.
2. The purpose, proper use, and limitations of respiratory protective devices required in accordance with subsection (p).
3. The purpose for and a description of the medical surveillance program required by subsection (s) including information on the occupational safety and health hazards associated with exposure to coke oven emissions.
4. A review of all written procedures required under subsections (i) through (l).
5. A review of the schedules required by Sections 5211(o)(1)(E) and (o)(2).
(2) Access to Training Materials.
(A) The employer shall provide a copy of this standard and a copy of the appendix contained in 29 CFR 1910.1029 to all employees who are employed in the regulated area.
(B) The employer shall provide all materials relating to the employee information and training program upon the request of authorized representatives of either the Chief of the Division of Occupational Safety and Health or the Director of the National Institute for Occupational Safety and Health.
(u) Precautionary Signs and Labels.
(1) General.
(A) The employer may use labels or signs required by other statutes, regulations or ordinances in addition to, or in combination with, signs and labels required by paragraphs (2) and (3) of this subsection.
(B) The employer shall assure that no statement appears on or near any required sign which contradicts or detracts from the effects of the sign.
(C) The employer shall assure that required signs are illuminated and cleaned as necessary so that the legend is readily visible.
(2) Signs.
(A) The employer shall post signs in the regulated area bearing the legends: 

DANGER 
CANCER HAZARD
AUTHORIZED PERSONNEL ONLY 
NO SMOKING OR EATING
(B) In addition, not later than January 20, 1978, the employer shall post signs in the areas where the permissible exposure limit is exceeded bearing the legend: 

DANGER 
RESPIRATOR REQUIRED
(3) Labels. The employer shall apply precautionary labels to all containers of protective clothing contaminated with coke oven emissions bearing the legend: 

CAUTION 
CLOTHING CONTAMINATED WITH COKE EMISSIONS 
DO NOT REMOVE DUST BY BLOWING OR SHAKING
(v) Recordkeeping.
(1) Exposure Measurements. The employer shall establish and maintain an accurate record of all measurements taken to monitor employee exposure to coke oven emissions required by subsection (e).
(A) The record shall include the following information:
1. Name, social security number, and job classification of the employees monitored.
2. The date(s), number, duration and results of each of the samples taken including a description of the sampling procedure used to determine representative employee exposure where applicable.
3. The type of respiratory protective devices worn, if any.
4. A description of the sampling and analytical methods used and qualifications of persons performing such tests.
5. The environmental variables that could affect the measurement of employee exposure.
(B) The employer shall maintain the record for at least 40 years or for the duration of employment plus 20 years, whichever is longer.
(2) Medical Surveillance. The employer shall establish and maintain an accurate record for each employee for whom a medical surveillance program is implemented in accordance with subsection (s).
(A) The record shall include:
1. The name, social security number, and description of duties of the employee.
2. A copy of the physician's written opinion.
3. A notation of any refusal to take a medical examination or any signed statement to this effect obtained in accordance with subparagraph (s)(1)(B).
4. Any employee medical complaints related to exposure to coke oven emissions
(B) The employer shall keep, or assure that the examining physical keeps the following medical records:
1. A copy of the medical examination results including medical and work history required under paragraph (s)(2).
2. A description of the laboratory procedures used and a copy of any standards or guidelines used to interpret the test results.
3. The initial X-ray.
4. The X-rays for the most recent 5 years.
5. Any X-ray with a demonstrated abnormality and all subsequent X-rays.
6. The initial cytologic examination slide and written description.
7. The cytologic examination slide and written description for the most recent 10 years.
8. Any cytologic examination slides with demonstrated atypia, if such atypia persists for 3 years, and all subsequent slides and written descriptions.
(C) The employer shall maintain medical records under this paragraph for at least 40 years, or for the duration of employment plus 20 years, whichever is longer.
(3) Availability.
(A) The employer shall make available upon request all records required to be maintained by this section to the Chief of the Division of Occupational Safety and Health or the Director of the National Institute for Occupational Safety and Health, or to authorized representatives of either, for examination and copying.
(B) Employee exposure measurement records and employee medical records required by this section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief of the Division of Occupational Safety and Health in accordance with Section 3204.
(4) Transfer of Records.
(A) Whenever the employer ceases to do business, the successor employer shall receive and retain all records required to be maintained by this subsection.
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, these records shall be transmitted by registered mail to the Director, National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services.
(C) At the expiration of the prescribed retention period for the records required to be maintained under this section, the employer shall either transmit these records to the Director, National Institute for Occupational Safety and Health, or shall continue to retain such records.
(D) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(w) Observation of Monitoring.
(1) Employee Observation. The employer shall provide affected employees or their representative an opportunity to observe any measuring or monitoring of employee exposure to coke oven emissions conducted pursuant to subsection (e).
(2) Observation Procedures.
(A) Whenever observation of the measuring or monitoring of employee exposure to coke oven emissions requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with, and assure the use of, such equipment and shall require the observer to comply with all other applicable safety and health procedures.
(B) Without interfering with the measurement, observers shall be entitled to:
1. An explanation of the measurement procedures.
2. Observe all steps related to the measurement of coke oven emissions at the place of exposure.
3. Record the results obtained.
(x) Reporting. See section 5203.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 7-27-77; effective thirtieth day thereafter (Register 77, No. 31).
2. Editorial correction (Register 77, No. 52).
3. Repealer and new subsection (q)(2)(A) filed 11-16-79; effective thirtieth day thereafter (Register 79, No. 46).
4. Amendment of subsection (v) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
5. Amendment of subsections (f), (o), and (t) filed 8-6-81; effective thirtieth day thereafter (Register 81, No. 32).
6. Editorial correction of subsection (x) filed 3-3-83 (Register 83, No. 10).
7. Change without regulatory effect amending subsection (t)(1)(C) filed 5-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 20).
8. Amendment of former subsections (p)(1)-(p)(4)(C) including subsection renumbering and relettering resulting in newly designated subsections (p)(1)-(p)(3)(A) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
9. Amendment of subsection (x), repealer of subsections (x)(1)-(5) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
10. Amendment of subsection (p)(2) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
11. Amendment of subsection (p)(3)(A) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).
§5212. 1,2 Dibromo-3-Chloropropane (DBCP).
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for the control of employee exposure to 1,2-dibromo-3-chloropropane (DBCP).
(2) This section applies to the manufacture, reaction, release, packaging, storage, handling, disposal or other use of DBCP except as otherwise provided by this subsection.
(3) This section does not apply to exposures to DBCP which result from the application or use of DBCP as a pesticide. These exposures are governed by the California Department of Health Services for low level DBCP concentrations in water and the California Environmental Protection Agency for direct pesticide application or use.
(4) The storage, transportation, distribution or sale of DBCP in intact containers sealed in such a manner as to prevent the release of DBCP vapor or liquid are subject to the following provisions of this section:
(A) Notification of use and emergencies (subsection (d)).
(B) Emergency requirements (subsection (i)).
(C) Training (subsection (n)).
(D) Labeling requirements (subsection (o)(3)).
(5) The provisions of this section are subject to the requirements of the Occupational Carcinogens Control Act of 1976 (Health and Safety Code, Division 20, Chapter 2).
(b) Definitions
(1) Authorized person. Any employee or other person, specifically authorized by the employer whose duties require access to a regulated area including any employee or employee representative designated to observe the performance of monitoring and measuring procedures pursuant to California Administrative Code, Title 8, Section 340.1.
(2) Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, California, 94142.
(3) DBCP. 1,2-Dibromo-3-chloropropane, Chemical Abstracts Service Registry Number 96-12-8, and includes all forms of DBCP.
(4) Emergency. Any occurrence such as, but not limited to equipment failure, rupture of containers, or failure of control equipment which may, or does, result in an unexpected release of DBCP.
(c) Permissible Exposure Limit.
(1) Inhalation. The employer shall assure that no employee is exposed to a concentration of airborne DBCP in excess of 1 part DBCP per billion parts of air by volume (ppb) as an 8-hour time-weighted average (TWA).
(2) Dermal and Eye Exposure. The employer shall assure that no employee is exposed to eye or skin contact with DBCP.
(d) Notification of Use and Emergencies. See section 5203.
(e) Regulated Areas.
(1) The employer shall establish, within each place of employment, regulated areas wherever DBCP concentrations are in excess of the permissible exposure limit.
(2) Regulated areas shall be demarcated and segregated from the rest of the workplace in any manner that minimizes the number of persons potentially exposed to airborne DBCP. The posting of regulated areas shall be in conformance with Subsection (o) (2) (A).
(3) Access to regulated areas shall be restricted to authorized persons.
(f) Exposure Monitoring.
(1) General.
(A) Determinations of exposure levels shall be made from air samples that are representative of each employee's exposure to airborne DBCP over an 8-hour period.
(B) For the purpose of this paragraph, employee exposure is that exposure which would occur if the employee were not using a respirator.
(2) Initial. Each employer who has a place of employment in which DBCP is present, shall monitor each workplace and work operation to accurately determine the concentration of airborne DBCP to which employees may be exposed. Such monitoring shall be conducted as soon as possible but not latter than 30 days following the effective date of this section. 
(3) Frequency.
(A) If the monitoring required by this section reveals employee exposure to be below the permissible exposure limit, the employer shall repeat these measurements at least quarterly.
(B) If the monitoring required by this section reveals employee exposures to be in excess of the permissible exposure limit, the employer shall repeat these measurements for each such employee at least monthly. The employer shall continue monthly monitoring until at least two consecutive measurements, taken at least seven (7) days apart, are below the permissible exposure limit. Thereafter the employer shall monitor at least quarterly.
(4) Additional. Whenever there has been a production, process, control, or personnel change which may result in any new or additional exposure to DBCP, or whenever the employer has any reason to suspect new or additional exposures to DBCP, the employer shall monitor the employees potentially affected by such change for the purpose of redetermining their exposure. Monitoring shall be conducted as soon as possible but not later than 30 days after the change.
(5) Employee Notification.
(A) Within five (5) working days after the receipt of monitoring results, the employer shall notify each employee in writing of the measurements which represent the employee's exposure.
(B) Whenever the results indicate that employee exposure exceeds the permissible exposure limit, the employer shall include in the written notice a statement that the permissible exposure limit was exceeded and a description of the corrective action being taken to reduce exposure to or below the permissible exposure limit.
(6) Accuracy of Measurement. The employer shall use a method of measurement which has an accuracy, to a confidence level of 95 percent, of not less than plus or minus 25 percent for concentrations of DBCP at or above the permissible exposure limit.
(g) Methods of Compliance.
(1) Priority of Compliance Methods. The employer shall institute engineering and work practice controls to reduce and maintain employee exposures to DBCP at or below the permissible exposure limit, except to the extent that the employer establishes that such controls are not feasible. Where feasible engineering and work practice controls are not sufficient to reduce employee exposures to within the permissible exposure limit, the employer shall nonetheless use them to reduce exposures to the lowest level achievable by these controls, and shall supplement them by use of respiratory protection.
(2) Compliance Program.
(A) The employer shall establish and implement a written program to reduce employee exposures to DBCP to or below the permissible exposure limit solely by means of engineering and work practice controls as required by paragraph (g)(1). The program shall be established within 30 days of the effective date of the Order or within 30 days of the introduction of DBCP into the workplace.
(B) The written program shall include a detailed schedule for development and implementation of the engineering and work practice controls. These plans shall be revised at least every six months to reflect the current status of the program.
(C) Written plans for these compliance programs shall be submitted to the Chief upon request of authorized representatives of the Division of Occupational Safety and Health Administration and shall be available at the worksite for examination and copying by authorized representatives of the Division of Occupational Safety and Health Administration and any affected employee or designated representative of employees.
(D) The employer shall institute and maintain at least the controls described in his most recent written compliance program.
(h) Respirators.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls; 
(B) Maintenance and repair activities in which engineering and work practice controls are not feasible; 
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the permissible exposure limit; 
(D) Emergencies.
(2) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C)), and (f) through (m).
(3) Respirator Selection. 
(A) The employer shall select, and provide to employees, the appropriate atmosphere-supplying specified in Section 5144(d)(3)(A)1. 
(B) The employer shall provide employees with one of the following respirator options to use for entry into, or escape from, unknown DBCP concentrations:
1. A combination respirator that includes a supplied-air respirator with a full facepiece operated in a pressure-demand or other positive-pressure or continuous-flow mode, as well as an auxiliary self-contained breathing apparatus (SCBA) operated in a pressure-demand or positive-pressure mode.
2. An SCBA with a full facepiece operated in a pressure-demand or other positive-pressure mode.
(i) Emergencies. Within 15 days of the effective date of this Order, a written plan for emergency situations shall be developed for each workplace where DBCP is present. The plan shall address, as a minimum, the implementation of the requirements of this subsection. Within 45 days of this Order, all elements of the emergency plan shall have been implemented.
(1) Written Procedures. Specific, written procedures prescribing the course of action to be followed in an emergency shall be posted in those areas of the workplace where DBCP is present. The procedure shall be in English and in the predominant language of non-English-speaking employees.
(2) Personal Protective Equipment. The procedure shall require that employees involved in the abatement of an emergency be equipped with specific items of respiratory protective equipment and personal protective clothing appropriate to the emergency conditions.
(3) Emergency Procedure Training. All employees potentially affected by an emergency shall be thoroughly familiarized with the emergency procedure and shall be instructed and rehearsed in the performance of their assigned or potential role in an emergency.
(4) Evacuation. Employees not engaged in correcting the emergency shall be removed and restricted from the area and normal operations in the affected area shall not be resumed until the emergency is abated.
(5) Alerting Employees. Where there is a possibility of employee exposure to DBCP due to the occurrence of an emergency, a general alarm shall be installed and maintained to promptly alert employees of such occurrences.
(6) Medical Surveillance. For any employee exposed to DBCP in an emergency situation, the employer shall provide medical surveillance in accordance with paragraph (m)(6) of this section.
(7) Exposure Monitoring.
(A) Following an emergency, the employer shall conduct monitoring which complies with Subsection (f) of this section.
(B) In workplaces not normally subject to periodic monitoring, the employer may terminate monitoring when two consecutive measurements indicate exposures below the permissible exposure limit.
(j) Protective Clothing and Equipment.
(1) Provision and Use. Where there is any possibility of eye or dermal contact with liquid or solid DBCP, the employer shall provide, at no cost to the employee, and assure that the employee wears impermeable protective clothing and equipment to protect the area of the body which may come in contact with DBCP. Eye and face protection and protective clothing and equipment shall be in compliance with requirements of Article 10.
(2) Removal and Storage.
(A) The employer shall assure that employees remove work clothing only in change rooms provided in accordance with paragraph (l) (1).
(B) The employer shall assure that employees promptly remove any protective clothing and equipment which becomes contaminated with DBCP containing liquids and solids. This clothing shall not be reworn until the DBCP has been removed from the clothing or equipment.
(C) The employer shall assure that no employee takes DBCP-contaminated protective devices and work clothing out of the change room, except those employees authorized to do so for the purpose of laundering, maintenance, or disposal.
(D) DBCP-contaminated protective devices and work clothing shall be placed and stored in closed containers which prevent dispersion of the DBCP outside the container.
(E) Containers of DBCP-contaminated protective devices or work clothing which are to be taken out of change rooms or the workplace for cleaning, maintenance or disposal, shall bear labels in accordance with paragraph (o)(3).
(3) Cleaning and Replacement.
(A) The employer shall clean, launder, repair, or replace protective clothing and equipment required by this paragraph to maintain their effectiveness. The employer shall provide clean protective clothing and equipment at least daily to each affected employee.
(B) The employer shall inform any person who launders or cleans DBCP-contaminated protective clothing or equipment of the potentially harmful effects of exposure to DBCP.
(C) The employer shall prohibit the removal of DBCP from protective clothing and equipment by blowing or shaking.
(k) Housekeeping.
(1) Surfaces.
(A) All workplace surfaces shall be maintained free of visible accumulations of DBCP.
(B) Dry sweeping and the use of compressed air for the cleaning of floors and other surfaces is prohibited where DBCP dust or liquids are present.
(C) Where vacuuming methods are selected to clean floors and other surfaces, either portable units or a permanent system may be used.
1. If a portable unit is selected, the exhaust shall be attached to the general workplace exhaust ventilation system or collected within the vacuum unit, equipped with high efficiency filters or other appropriate means of contaminant removal, so that DBCP is not reintroduced into the workplace air; and
2. Portable vacuum units used to collect DBCP may not be used for other cleaning purposes and shall be labeled as prescribed by paragraph (o)(3) of this section.
(D) Cleaning of floor and other surfaces contaminated with DBCP-containing dusts shall not be performed by washing down with a hose, unless a fine spray has first been laid down.
(2) Liquids. Where DBCP is present in a liquid form, or as a resultant vapor, all containers or vessels containing DBCP shall be enclosed to the maximum extent feasible and tightly covered when not in use.
(3) Waste Disposal. DBCP waste, scrap, debris, containers or equipment, shall be disposed of in sealed bags or other closed containers which prevent dispersion of DBCP outside the container.
(l) Hygiene Facilities and Practices.
(1) Change Rooms. The employer shall provide clean change rooms equipped with storage facilities for street clothes and separate storage facilities for protective clothing and equipment whenever employees are required to wear protective clothing and equipment in accordance with Subsections (h) and (j) of this section. Change rooms shall conform to Section 3367.
(2) Showers. 
(A) The employer shall assure that employees working in the regulated area shower at the end of the work shift.
(B) The employer shall assure that employees whose skin becomes contaminated with DBCP-containing liquids or solids immediately wash or shower to remove any DBCP from the skin.
(C) The employer shall provide shower facilities in accordance with Section 3366(h).
(3) Lunchrooms. The employer shall provide lunchroom facilities which have a temperature controlled, positive pressure, filtered air supply, and which are readily accessible to employees working in regulated areas. Section 3368 shall be complied with.
(4) Sanitation.
(A) The employer shall assure that employees working in the regulated area remove protective clothing and wash their hands and face prior to eating.
(B) The employer shall provide a sufficient number of lavatory facilities to comply with Section 3364.
(5) Prohibition of Activities in Regulated Areas. The employer shall assure that, in regulated areas, food or beverages are not present or consumed, smoking products and implements are not present or used, and cosmetics are not present or applied.
(m) Medical Surveillance.
(1) General.
(A) The employer shall make available a medical surveillance program for employees who work in regulated areas and employees who are subjected to DBCP exposures in an emergency situation.
(B) All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, and shall be provided without cost to the employee.
(2) Frequency and Content. At the time of initial assignment, and annually thereafter the employer shall provide a medical examination for employees who work in regulated areas, which includes at least the following:
(A) A medical and occupational history including reproductive history.
(B) A physical examination, including examination of the genito-urinary tract, testicle size, and body habitus, and a determination of sperm count.
(C) If a sperm count cannot be obtained, a serum specimen shall be obtained and the following determinations made by radioimmunoassay techniques utilizing National Institutes of Health (NIH) specific antigen or one of equivalent sensitivity:
1. Serum follicle stimulating hormone (FSH); and
2. Serum luteinizing hormone (LH); and
(D) Serum total estrogen shall be performed by radioimmunoassay on samples from females.
(E) Any other tests deemed appropriate by the examining physician.
(3) Additional Examinations. If the employee for any reason develops signs or symptoms commonly associated with exposure to DBCP, the employer shall provide the employee with a medical examination which shall include those elements considered appropriate by the examining physician.
(4) Information Provided to the Physician. The employer shall provide the following information to the examining physician:
(A) A copy of this regulation and its appendices;
(B) A description of the affected employee's duties as they relate to the employee's exposure;
(C) The level of DBCP to which the employee is exposed; and
(D) A description of any personal protective equipment used or to be used.
(5) Physician's Written Opinion.
(A) For each examination under this section, the employer shall obtain and provide the employee with a written opinion from the examining physician which shall include:
1. The results of the medical tests performed;
2. The physician's opinion as to whether the employee has any detected medical condition which would place the employee at an increased risk of material impairment of health from exposure to DBCP; and
3. Any recommended limitations upon employee's exposure to DBCP or upon the use of protective clothing and equipment such as respirators.
(B) The employer shall instruct the physician not to reveal in the written opinion specific findings or diagnoses unrelated to occupational exposure to DBCP.
(6) Emergency Situations. If the employee is exposed to DBCP in an emergency situation, the employer shall provide the employee with a sperm count test as soon as practicable, or, if the employee has had a vasectomy or is unable to produce a semen specimen, the hormone tests contained in subparagraph (m)(2)(C) of this section. Such tests shall also be provided three months later.
(n) Employee Information and Training.
(1) Training Program.
(A) The employer shall institute a training program for all employees who may be exposed to DBCP and shall assure their participation in such training program. Training shall be performed prior to potential exposure or to allowing employees in a regulated area and at least annually thereafter.
(B) The employer shall assure that each employee is informed of the following:
1. The information contained in Appendix A;
2. The quantity, location, manner of use, release or storage of DBCP and the specific nature of operations which could result in exposure to DBCP as well as any necessary protective steps;
3. The purpose, proper use, and limitations of respirators;
4. The purpose and description of the medical surveillance program required by Subsection (m); and
5. A review of this standard, including appendices.
(C) The employer shall provide a copy of Appendix A of this standard to each operator of a vehicle permitted to transport DBCP off the employer's premises. This copy shall be provided to each such operator prior to loading the vehicle with the DBCP and shall remain in the operator's control for the duration of the shipment.
(2) Access to Training Materials.
(A) The employer shall make a copy of this standard and its appendices readily available to all affected employees.
(B) The employer shall provide all materials relating to the employee information and training program upon request to authorized representatives of the Chief.
(o) Signs and Labels.
(1) General.
(A) The employer may use labels or signs required by other statutes, regulations or ordinances in addition to or in combination with, signs and labels required by this subsection.
(B) The employer shall assure that no statement appears on or near any sign or label required by this subsection which contradicts or detracts from the required sign or label.
(2) Signs. The employer shall post signs to clearly indicate all regulated areas. These signs shall bear the legend: 

DANGER 
1,2-DIBROMO-3-CHLOROPROPANE 
(Insert Appropriate Trade or Common Names)
CANCER HAZARD 
MAY CAUSE STERILITY 
AUTHORIZED PERSONNEL ONLY 
RESPIRATOR REQUIRED
(3) Labels. 
(A) The employer shall assure that precautionary labels are affixed to all containers of DBCP and of products containing DBCP in the workplace, and that the labels remain affixed when the DBCP or products containing DBCP are sold, distributed, or otherwise leave the employer's workplace. Where DBCP or products containing DBCP are sold, distributed, or otherwise leave the employer's workplace bearing appropriate labels required by the Environmental Protection Agency (EPA) under the regulations in 40 CFR Part 162, the labels required by this paragraph need not be affixed. 
(B) The employer shall assure that the precautionary labels required by this paragraph are readily visible and legible. The labels shall bear the following legend: 

DANGER
1,2-DIBROMO-3-CHLOROPROPANE
CANCER HAZARD 
MAY CAUSE STERILITY
(p) Recordkeeping.
(1) Exposure Monitoring.
(A) The employer shall establish and maintain an accurate record of all monitoring required by subsection (f) of this Section.
(B) This record shall include:
1. The dates, number, duration and results of each of the samples taken, including a description of the sampling procedure used to determine representative employee exposure;
2. A description of the sampling and analytical methods used;
3. Type of respiratory protective devices worn, if any; and
4. Name, social security number, and job classification of the employee monitored and of all other employees whose exposure the measurement is intended to represent.
(C) The employer shall maintain this record for at least 40 years or the duration of employment plus 20 years, whichever is longer.
(2) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance required by Subsection (m) of this section.
(B) This record shall include:
1. The name and social security number of the employee;
2. A copy of the physician's written opinion;
3. Any employee medical complaints related to exposure to DBCP;
4. A copy of the information provided the physician as required by subsections (m)(4)(B) through (m)(4)(D) of this Section; and
5. A copy of the employee's medical and work history.
(C) The employer shall maintain this record for at least 40 years or the duration of employment plus 20 years, whichever is longer.
(3) Availability.
(A) The employer shall assure that all records required to be maintained by this section be made available for examination and copying upon the request of authorized representatives of the Chief and the Director, National Institute for Occupational Safety and Health.
(B) Employee exposure monitoring records and employee medical records required by this Section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief in accordance with Section 3204.
(4) Transfer of Records.
(A) Whenever an employer ceases to do business, all applicable records maintained under the requirements of this section shall be transferred to the successor employer for continued maintenance.
(B) If an employer ceases to do business and there is no successor employer, or whenever the prescribed retention period for a record expires, the record(s) shall be transmitted by registered mail to the Director, National Institute for Occupational Safety and Health, 5600 Fisher Lane, Rockville, MD 20852.
(C) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(q) Observation of Monitoring. During any observation of monitoring by an affected employee or employees or their representative, pursuant to California Administrative Code, Title 8, Section 340.1, the employer shall provide the observer with personal protective clothing or equipment required to be worn by employees working in the area, assure the use of such clothing and equipment, and require the observer to comply with all other applicable safety and health procedures.
(r) Appendices. The information contained in the appendices is not intended, by itself, to create any additional obligations not otherwise imposed by this standard or to detract from any such obligation. 
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 10-5-77 as an emergency; effective upon filing. Under the authority of section 142.4(b) of the Labor Code, section is effective until 120 days after the promulgation of a permanent standard by the Secretary of Labor pursuant to section 6(c)(3) of the Federal Occupational Safety and Health Act of 1970 (Register 77, No. 41).
2. Expired 8-17-78 by operation of section 142.4(b), Labor Code (Register 78, No. 40).
3. New section filed 10-4-78; effective thirtieth day thereafter (Register 78, No. 40).
4. Amendment of subsections (l)(4)(B) and (o)(2) filed 2-6-79; effective thirtieth day thereafter (Register 79, No. 6).
5. Editorial correction of subsection (n)(1)(B) (Register 79, No. 17).
6. Amendment of subsection (p) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
7. Editorial correction of subsection (b)(2) filed 3-3-83 (Register 83, No. 10).
8. Change without regulatory effect amending subsection (b)(2) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
9. Amendment of subsection (a)(3) filed 6-9-92; operative 7-9-92 (Register 92, No. 24).
10. Editorial correction of printing error in subsection (f)(2), table in subsection (h)(2), and I.B.1 of Appendix B (Register 92, No. 33).
11. Amendment of former subsections (h)(1)-(h)(3)(B) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
12. Editorial correction moving Note and Histories 1-11 from following Appendix C to preceding Appendix A (Register 99, No. 28).
13. Amendment of subsection (d), repealer of subsections (d)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
14. Amendment of subsection (h)(3) and new subsections (h)(3)(A)-(B)2. filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Substance Safety Data Sheet for DBCP
I. Substance Identification
A. Synonyms and trade names; DBCP; Dibromochloropropane; Fumazone (Dow Chemical Company TM); Nemafume; Nemagon (Shell Chemical Co. TM); Nemaset; BBC 12; and OS 1879.
B. Permissible exposure:
1. Airborne. 1 part DBCP vapor per billion parts of air (1 ppb); time-weighted average (TWA) for an 8-hour workday.
2. Dermal. Eye contact and skin contact with DBCP are prohibited.
C. Appearance and odor: Technical grade DBCP is a dense yellow or amber liquid with a pungent odor. It may also appear in granular form, or blended in varying concentrations with other liquids.
D. Uses: DBCP is used to control nematodes, very small worm-like plant parasites, on crops including cotton, soybeans, fruits, nuts, vegetables and ornamentals. 
II. Health Hazard Data
A. Routes of entry: Employees may be exposed:
1. Through inhalation (breathing);
2. Through ingestion (swallowing);
3. Skin contact; and
4. Eye contact.
B. Effects of exposure:
1. Acute exposure. DBCP may cause drowsiness, irritation of the eyes, nose, throat and skin, nausea and vomiting. In addition, overexposure may cause damage to the lungs, liver or kidneys.
2. Chronic exposure. Prolonged or repeated exposure to DBCP has been shown to cause sterility in humans. It also has been shown to produce cancer and sterility in laboratory animals and has been determined to constitute an increased risk of cancer in man.
3. Reporting signs and symptoms. If you develop any of the above signs or symptoms that you think are caused by exposure to DBCP, you should inform your employer. 
III. Emergency First Aid Procedures
A. Eye exposure. If DBCP liquid or dust containing DBCP gets into your eyes, wash your eyes immediately with large amounts of water, lifting the lower and upper lids occasionally. Get medical attention immediately. Contact lenses should not be worn when working with DBCP.
B. Skin exposure. If DBCP liquids or dusts containing DBCP get on your skin, immediately wash using soap or mild detergent and water. If DBCP liquids or dusts containing DBCP penetrate through your clothing, remove the clothing immediately and wash. If irritation is present after washing get medical attention.
C. Breathing. If you or any person breathe in large amounts of DBCP, move the exposed person to fresh air at once. If breathing has stopped, perform artificial respiration. Do not use mouth-to-mouth. Keep the affected person warm and at rest. Get medical attention as soon as possible.
D. Swallowing. When DBCP has been swallowed and the person is conscious, give the person large amounts of water immediately. After the water has been swallowed, try to get the person to vomit by having him touch the back of his throat with his finger. Do not make an unconscious person vomit. Get medical attention immediately.
E. Rescue. Notify someone. Put into effect the established emergency rescue procedures. Know the locations of the emergency rescue equipment before the need arises. 
IV. Respirators and Protective Clothing
A. Respirators. You may be required to wear a respirator in emergencies and while your employer is in the process of reducing DBCP exposures through engineering controls. If respirators are worn, they must have a National Institute for Occupational Safety and Health (NIOSH) approval label. (Older respirators may have a Bureau of Mines Approval label). For effective protection, a respirator must fit your face and head snugly. The respirator should not be loosened or removed in work situations where its use is required. DBCP does not have a detectable odor except at 1,000 times or more above the permissible exposure limit. If you can smell DBCP while wearing a respirator, the respirator is not working correctly; go immediately to fresh air. If you experience difficulty breathing while wearing a respirator, tell your employer.
B. Protective clothing. When working with DBCP you must wear for your protection impermeable work clothing provided by your employer. (Standard rubber and neoprene protective clothing do not offer adequate protection).
DBCP must never be allowed to remain on the skin. Clothing and shoes must not be allowed to become contaminated with DBCP, and if they do, they must be promptly removed and not worn again until completely free of DBCP. Turn in impermeable clothing that has developed leaks for repair or replacement.
C. Eye protection. You must wear splash-proof safety goggles where there is any possibility of DBCP liquid or dust contacting your eyes. 
V. Precautions For Safe Use, Handling, and Storage
A. DBCP must be stored in tightly closed containers in a cool, well-ventilated area.
B. If your work clothing may have become contaminated with DBCP, or liquids or dusts containing DBCP, you must change into uncontaminated clothing before leaving the work premises.
C. You must promptly remove any protective clothing that becomes contaminated with DBCP. This clothing must not be reworn until the DBCP is removed from the clothing.
D. If your skin becomes contaminated with DBCP, you must immediately and thoroughly wash or shower with soap or mild detergent and water to remove any DBCP from your skin.
E. You must not keep food, beverages, cosmetics, or smoking materials, nor eat or smoke, in regulated areas.
F. If you work in a regulated area, you must wash your hands thoroughly with soap or mild detergent and water, before eating, smoking or using toilet facilities.
G. If you work in a regulated area, you must remove any impermeable protective equipment or clothing before leaving the regulated area.
H. Ask your supervisor where DBCP is used in your work area and for any additional safety and health rules. 
VI. Access to Information
A. Each year, your employer is required to inform you of the information contained in this Substance Safety Data Sheet for DBCP. In addition, your employer must instruct you in the safe use of protective equipment.
B. Your employer is required to determine whether you are being exposed to DBCP. You or your representative have the right to observe employee exposure measurements and to record the result obtained. Your employer is required to inform you of your exposure. If your employer determines that you are being overexposed, he is required to inform you of the actions which are being taken to reduce your exposure.
C. Your employer is required to keep records of your exposure and medical examinations. Your employer is required to keep exposure and medical data for at least 40 years or the duration of your employment plus 20 years, whichever is longer.
D. Your employer is required to release exposure and medical records to you, your physician, or other individual designated by you upon your written request. 
VII. Transportation of DBCP
A. As a vehicle operator transporting DBCP, you are entitled to be given and allowed to keep a copy of this Substance Safety Data Sheet for DBCP.
B. All provisions of this substance data sheet except Section VI apply to the safe handling of DBCP by vehicle operators.
C. Any spill or leak of DBCP or anytime DBCP can be smelled, it is to be considered an emergency. Under these circumstances, get fresh air. Only adequately trained persons with appropriate respiratory protective equipment and protective clothing shall be permitted to approach the vehicle. 

Appendix B

Substance Technical Guidelines for DBCP
I. Physical and Chemical Data
A. Substance Identification
1. Synonyms: 1,2-dibromo-3-chloropropane; DBCP, Fumazone; Nemafume; Nemagon; Nemaset; BBC 12; OS 1879. DBCP is also included in agricultural pesticides and fumigants which include the phrase “Nema ________” in their name.
2. Formula: C3H5Br2Cl.
3. Molecular Weight: 236.
B. Physical Data:
1. Boiling point (760 mm Hg): 195o C (383o F)
2. Specific gravity (water = 1): 2.1
3. Vapor density (air = 1 at boiling point of DBCP): Data not available.
4. Melting point: 6o C (43o F).
5. Vapor pressure at 20o C (68o F) 0.8mm Hg.
6. Solubility in water: 1000 ppm.
7. Evaporation rate (Butyl Acetate = 1): very much less than 1.
8. Appearance and odor: Dense yellow or amber liquid with pungent odor at high concentrations. Any detectable odor of DBCP indicates overexposure. 
II. Fire Explosion and Reactivity Hazard Data
A. Fire
1. Flash point: 170o F (77o C)
2. Autoignition temperature: Data not available.
3. Flammable limits in air, percent by volume: Data not available.
4. Extinguishing media: Carbon dioxide, dry chemical.
5. Special fire-fighting procedures: Do not use a solid stream of water since a stream will scatter and spread the fire. Use water spray to cool containers exposed to a fire.
6. Unusual fire and explosion hazards: None known.
7. For purposes of complying with the requirements of Group 20 of the General Industry Safety Orders, liquid DBCP is classified as Class III A combustible liquid.
8. For the purpose of complying with the requirements of the Low Voltage Electrical Safety Orders (Title 8, California Administrative Code), the classification of hazardous locations as described in Article 500 of the National Electrical Code for DBCP shall be Class 1, Group D.
9. For the purpose of complying with the requirements of Section 6152, DBCP is classified as a Class B fire hazard.
10. For the purposes of complying with Section 3650(i), locations classified as hazardous due to the presence of DBCP shall be Class 1, Group D.
11. Sources of ignition are prohibited where DBCP presents a fire or explosion hazard.
B. Reactivity
1. Conditions contributing to instability: None known.
2. Incompatibilities: Reacts with chemically active metals, such as aluminum, magnesium and tin alloys.
3. Hazardous decomposition products: Toxic gases and vapors (such as HBr, HCl and carbon monoxide) may be released in a fire involving DBCP.
4. Special precautions: DBCP will attack some rubber materials and coatings. 
III. Spill, Leak and Disposal Procedures
A. If DBCP is spilled or leaked, the following steps should be taken:
1. The area should be evacuated at once and re-entered only while wearing appropriate protective equipment.
2. Contain the spill or leak.
3. If in liquid form, collect on absorbent material and place in sealed containers and/or destroy by chemical methods.
4. If in solid form, collect spilled material in the most convenient and safe manner for reclamation or for disposal or destruction.
B. Persons not wearing protective equipment must be restricted from areas of spills or leaks until cleanup has been completed and monitoring results indicate the area to be safe for re-entry.
C. Waste Disposal Methods:
1. For small quantities of liquid DBCP, absorb on paper towels, remove to safe place (such as a fume hood) and burn the paper. Large quantities can be reclaimed or collected and atomized in a suitable combustion chamber equipped with an appropriate effluent gas cleaning device. If liquid DBCP is absorbed in vermiculite, earth or similar material and placed in sealed containers it may be disposed of in a State-approved sanitary landfill.
2. If in solid form, for small quantities, place on paper towels, remove to a safe place (such as a fume hood) and burn. Large quantities may be reclaimed. However, if this is not practical, dissolve in a flammable solvent (such as alcohol) and atomize in a suitable combustion chamber equipped with an appropriate effluent gas cleaning device. DBCP in solid form may also be disposed in a state-approved sanitary landfill. 
IV. Monitoring and Measurement Procedures
A. Exposure above the permissible exposure limit.
1. Eight Hour Exposure Evaluation: Measurements taken for the purpose of determining employee exposure under this section are best taken so that the average 8-hour exposure may be determined from a single 8-hour sample or two (2) 4-hour samples. Air samples should be taken in the employee's breathing zone (air that would most nearly represent that inhaled by the employee). 
2. Monitoring Techniques: The sampling and analysis under this section may be performed by collecting the DBCP vapor on petroleum based charcoal absorption tubes with subsequent chemical analyses. The method of measurement chosen should determine the concentration of airborne DBCP at the permissible exposure limit to an accuracy of plus or minus 25 percent. If charcoal tubes are used, a total volume of 10 liters should be collected at a flow rate of 50 cc. per minute for each tube. Analyze the resultant samples as you would samples of halogenated solvent.
B. Since many of the duties relating to employee protection are dependent on the results of monitoring and measuring procedures, employers should assure that the evaluation of employee exposures is performed by a competent industrial hygienist or other technically qualified person. 
V. Protective Clothing
Employees should be required to wear appropriate protective clothing to prevent any possibility of skin contact with DBCP. Because DBCP is absorbed through the skin, it is important to prevent skin contact with both liquid and solid forms of DBCP. The employer shall provide impermeable protective clothing and equipment to protect the area of the body which may come in contact with DBCP. Standard rubber and neoprene gloves do not offer adequate protection and should not be relied upon to keep DBCP off the skin. DBCP should never be allowed to remain on the skin. Clothing and shoes should not be allowed to become contaminated with the material, and if they do, they should be promptly removed and not worn again until completely free of the material. Any protective clothing which has developed leaks or is otherwise found to be defective should be repaired or replaced. Employees should also be required to wear splashproof safety goggles where there is any possibility of DBCP contacting the eyes. 
VI. Housekeeping and Hygiene Facilities
1. The workplace must be kept clean, orderly and in a sanitary condition;
2. Dry sweeping and the use of compressed air is unsafe for the cleaning of floors and other surfaces where DBCP dust or liquids are found. To minimize the contamination of air with dust, vacuuming with either portable or permanent systems must be used. If a portable unit is selected the exhaust must be attached to the general workplace exhaust ventilation system, or collected within the vacuum unit equipped with high efficiency filters or other appropriate means of contamination removal and not used for other purposes. Units used to collect DBCP must be labeled.
3. Adequate washing facilities with hot and cold water must be provided, and maintained in a sanitary condition. Suitable cleansing agents should also be provided to assure the effective removal of DBCP from the skin.
4. Change or dressing rooms with individual clothes storage facilities must be provided to prevent the contamination of street clothes with DBCP. Because of the hazardous nature of DBCP, contaminated protective clothing must be stored in closed containers for cleaning or disposal.
VII. Miscellaneous Precautions
A. Store DBCP in tightly closed containers in a cool, well ventilated area.
B. Use of supplied-air suits or other impervious clothing (such as acid suits) may be necessary to prevent skin contact with DBCP. Supplied-air suits should be selected, used, and maintained under the supervision of persons knowledgeable in the limitations and potential life-endangering characteristics of supplied-air suits.
C. The use of air-conditioned suits may be necessary in warmer climates.
D. Advise employees of all areas and operations where exposure to DBCP could occur. 
VIII. Common Operations
Common operations in which exposure to DBCP is likely to occur are: during its production; and during its formulation into pesticides and fumigants. 

Appendix C

Medical Surveillance Guidelines for DBCP
I. Route of Entry
Inhalation; skin and eye absorption, ingestion.
II. Toxicology
Recent data collected on workers involved in the manufacture and formulation of DBCP has shown that DBCP can cause sterility at very low levels of exposure. This finding is supported by studies showing that DBCP causes sterility in animals. Chronic exposure to DBCP resulted in pronounced necrotic action on the parenchymatous organs (i.e., liver, kidney, spleen) and on the testicles of rats at concentrations as low as 5 ppm. Rats that were chronically exposed to DBCP also showed changes in the composition of the blood, showing low RBC, hemoglobin, and WBC, and high reticulocyte levels as well as functional hepatic disturbance, manifesting itself in a long prothrombin time. Reznik et al. noted a single dose of 100 mg produced profound depression of the nervous system of rats. Their condition gradually improved. Acute exposure also resulted in the destruction of the sex gland activity of male rats as well as causing changes in the estrous cycle in female rats. Animal studies have also associated DBCP with an increased incidence of carcinoma. Olson, et al. orally administered DBCP to rats and mice 5 times per week at experimentally predetermined maximally tolerated doses. As early as ten weeks after initiation of treatment, DBCP induced a high incidence of squamous cell carcinomas of the stomach with metastases in both species, DBCP also induced mammary adenocarcinomas in the female rats at both dose levels. 
III. Signs and Symptoms
A. Airborne Exposure: Nausea, eye irritation, conjunctivitis, respiratory irritation, pulmonary congestion or edema, CNS depression with apathy, sluggishness, and ataxia.
B. Skin Contact: Erythema or inflammation and dermatitis on repeated exposure. 
IV. Special Tests
A. Semen analysis: The following information excerpted from the document “Evaluation of Testicular Function,” submitted by the Corporate Medical Department of the Shell Oil Company (exhibit 39-3), may be useful to physicians conducting the medical surveillance program;
In performing semen analyses certain minimal but specific criteria should be met:
1. It is recommended that a minimum of three valid semen analyses be obtained in order to make a determination of an individual's average sperm count.
2. A period of sexual abstinence is necessary prior to the collection of each masturbatory sample. It is recommended that intercourse or masturbation be performed 48 hours before the actual specimen collection. A period of 48 hours of abstinence would follow; then the masturbatory sample would be collected.
3. Each semen specimen should be collected in a clean, widemouthed, glass jar (not necessarily pre-sterilized) in a manner designated by the examining physician. Any part of the seminal fluid exam should be initiated only after liquefaction is complete, i.e., 30 to 45 minutes after collection.
4. Semen volume should be measured to the nearest 1/10 of a cubic centimeter.
5. Sperm density should be determined using routine techniques involving the use of a white cell pipette and a hemocytometer chamber. The immobilizing fluid most effective and most easily obtained for this process is distilled water.
6. Thin, dry smears of the semen should be made for a morphologic classification of the sperm forms and should be stained with either hematoxylin or the more difficult, yet more precise, Papanicolaou technique.
Also of importance to record is obvious sperm agglutination, pyospermia, delayed liquefaction (greater than 30 minutes), and hyperviscosity. In addition, pH, using nitrazine paper, should be determined.
7. A total morphology evaluation should include percentages of the following:
a. Normal (oval) forms,
b. Tapered forms,
c. Amorphous forms (include large and small sperm shapes),
d. Duplicated (either heads or tails) forms, and
e. Immature forms.
8. Each sample should be evaluated for sperm viability (percent viable sperm moving at the time of examination) as well as sperm motility (subjective characterization of “purposeful forward sperm progression” of the majority of those viable sperm analyzed) within two hours after collection, ideally by the same or equally qualified examiner.
B. Serum determinations: The following serum determinations should be performed by radioimmuno-assay techniques using National Institutes of Health (NIH) specific antigen or antigen preparations of equivalent sensitivity:
1. Serum follicle stimulating hormone (FSH);
2. Serum luteinizing hormone (LH); and
3. Serum total estrogen (females only). 
V. Treatment
Remove from exposure immediately, give oxygen or artificial resuscitation if indicated. Contaminated clothing and shoes be removed immediately. Flush eyes and wash contaminated skin. If swallowed and the person is conscious, induce vomiting. Recovery from mild exposures is usually rapid and complete. 
VI. Surveillance and Preventive Considerations
A. Other considerations. DBCP can cause both acute and chronic effects. It is important that the physician become familiar with the operating conditions in which exposure to DBCP occurs. Those with respiratory disorders may not tolerate the wearing of negative pressure respirators.
B. Surveillance and screening. Medical histories and laboratory examinations are required for each employee subject to exposure to DBCP. The employer should screen employees for history of certain medical conditions (listed below) which might place the employee at increased risk from exposure.
1. Liver disease. The primary site of biotransformation and detoxification of DBCP is the liver. Liver dysfunctions likely to inhibit the conjugation reactions will tend to promote the toxic actions of DBCP. These precautions should be considered before exposing persons with impaired liver function to DBCP.
2. Renal disease. Because DBCP has been associated with injury to the kidney it is important that special consideration be given to those with possible impairment of renal function.
3. Skin disease. DBCP can penetrate the skin and can cause erythema on prolonged exposure. Persons with pre-existing skin disorders may be more susceptible to the effects of DBCP.
4. Blood dyscrasias. DBCP has been shown to decrease the content of erythrocytes, hemoglobin, and leukocytes in the blood, as well as increase the prothrombin time. Persons with existing blood disorders may be more susceptible to the effects of DBCP.
5. Reproductive disorders. Animal studies have associated DBCP with various effects on the reproductive organs. Among these effects are atrophy of the testicles and changes in the estrous cycle. Persons with pre-existing reproductive disorders may be at increased risk to these effects of DBCP. 

REFERENCES

1. Reznik, Ya. B. and Sprinchan, G. K.: Experimental Data on the Gonadotoxic effect of Nemagon, Gig. Sanit., (6), 1975, pp. 101-102, (translated from Russian).
2. Faydysh, E. V., Rakhmatullaev, N. N. and Varshavskii, V. A.: The Cytotoxic Action of Nemagon in a Subacute Experiment, Med. Zh. Uzbekistana, (No. 1), 1970, pp. 64-65, (translated from Russian).
3. Rakhmatullaev, N. N.: Hygienic Characteristics of the Nematocide Nemagon in Relation to Water Pollution Control, Hyg. Sanit., 36(3), 1971, pp. 344-348, (translated from Russian).
4. Olson, W. A. et al: Induction of Stomach Cancer in Rats and Mice by Halogenated Aliphatic Fumigants, Journal of the National Cancer Institute, (51), 1973, pp. 1993-1995.
5. Torkelson, T. R. et al: Toxicologic Investigations of 1,2 Dibromo-3-chloropropane, Toxicology and Applied Pharmacology, 3, 1961, pp. 545-559.
HISTORY

1. Editorial correction moving Note and Histories 1-11 to precede Appendix A of section 5212 (Register 99, No. 28). For prior history of Appendices, see section 5212.
§5213. Acrylonitrile.
Note     •     History

(a) Scope and Application.
(1) This section applies to all occupational exposures to acrylonitrile (AN), Chemical Abstracts Service Registry No. 107131, except as provided in Sections 5213(a)(2) and (a)(3).
(2) This section does not apply to exposures which result solely from the processing, use, and handling of the following materials:
(A) Acrylonitrile-butadiene-styrene (ABS) resins, styrene-acrylonitrile (SAN) resins, nitrile barrier resins, solid nitrile elastomers, and acrylic and modacrylic fibers, when these listed materials are in the form of finished polymers, and products fabricated from such finished polymers;
(B) Materials made from and/or containing AN for which objective data is reasonably relied upon to demonstrate that the material is not capable of releasing AN in airborne concentrations in excess of 1 part per million of air by volume (1 ppm) as an 8-hour time-weighted average, under the expected conditions of processing, use, and handling which will cause the greatest possible release; and
(C) Solid materials made from and/or containing AN which will not be heated above 170o F during handling, use, or processing.
(3) An employer relying upon exemption under Section 5213(a)(2)(B) shall maintain records of the objective data supporting that exemption, and of the basis of the employer's reliance on the data, as provided in Section 5213(q).
(4) The requirements of this section are subject to the provisions of the Occupational Carcingens Control Act of 1976 (Health and Safety Code, Division 20, Chapter 2).
(b) Definitions.
Acrylonitrile or AN. Acrylonitrile monomer; chemical formula, CH2 = CHCN.
Action level. A concentration of 1 part AN per million parts of air by volume (1 ppm) as an 8-hour time-weighted average.
Authorized Person. Any person specifically authorized by the employer and whose duties require the person to be present in areas where AN  concentrations exceed the permissible exposure limit and any person entering this area as a designated representative of employees exercising an opportunity to observe employee exposure monitoring pursuant to Title 8 Cal. Admin. Code 340.1.
Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, California 94142.
Decontamination. Treatment of materials and surfaces by water washdown, ventilation, or other means, to assure that the materials will not expose employees to airborne concentrations of AN above 1 ppm. 
Director. The Director, National Institute for Occupational Safety and Health, U. S. Department of Health, Education and Welfare, 5600 Fisher Lane, Rockville, Maryland 20852.
Emergency. Any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment, which results in an unexpected massive release of AN.
Liquid AN. Acrylonitrile monomer in liquid form, and liquid or semiliquid polymer intermediates, including slurries, suspensions, emulsions, and solutions, produced during the polymerization of AN.
Qualitative fit testing. A procedure which tests for leakage at the juncture of the respirator facepiece and the wearer's face by determining whether or not the odor of a test agent is detectable by the respirator wearer while exposed to a test atmosphere.
Quantitative fit testing. A procedure using sophisticated instrumentation which measures the concentration of a test agent inside a respirator while worn in a test atmosphere of known concentration; the ratio of the concentration of the agent in the test atmosphere to its concentration inside the respirator provides a numerical value (the protection factor) indicative of the degree of protection afforded the wearer by the respirator.
(c) Exposure Limits.
(1) Permissible Exposure Limits--Inhalation.
(A) Time-Weighted Average Limit (TWA). The employer shall assure that no employee is exposed to a concentration in excess of 2 parts acrylonitrile per million parts of air by volume (2 ppm) as an 8-hour time-weighted average.
(B) Ceiling Limit. The employer shall assure that no employee is exposed to a concentration in excess of 10 parts acrylonitrile per million parts of air by volume (10 ppm) as averaged over any 15-minute period during the working day.
(2) Dermal and Eye Exposure. The employer shall assure that no employee is exposed to skin or eye contact with liquid AN.
(d) Reporting of Use and Emergencies. See section 5203.
(e) Exposure Monitoring.
(1) General. Determinations of exposure levels shall be made from air samples that are representative of each employee's exposure to AN over an 8-hour period. (For the purposes of this subsection, employee exposure is that which would occur if the employee were not using a respirator.)
(2) Initial Monitoring. Within 30 days of the effective date of this standard (or within 30 days of the introduction of AN into the workplace), each employer who has a place of employment in which AN is present shall monitor each such workplace and work operation to accurately determine the concentrations of airborne AN to which employees may be exposed. Such monitoring may be done on a representative basis, provided that the employer can demonstrate that these determinations are representative of employee exposures.
Note: Monitoring conducted under the provisions of the temporary emergency standard for AN may be relied upon to meet this initial monitoring requirement.
(3) Frequency.
(A) If the monitoring required by this subsection reveals employee exposure to be below the action level, the employer may discontinue monitoring for that employee.
(B) If the monitoring required by this subsection reveals employee exposure to be at or above the action level but below the permissible exposure limits, the employer shall repeat monitoring for each such employee within three months. Quarterly measurements shall be continued until at least two consecutive measurements taken at least 7 days apart, are below the action level and thereafter monitoring may be discontinued for that employee.
(C) If the monitoring required by this subsection reveals employee exposure to be in excess of the permissible exposure limits, the employer shall repeat these determinations for each such employee at least monthly. The employer shall continue these monthly measurements until at least two consecutive measurements, taken at least seven (7) days apart, are below the permissible exposure limits, and thereafter the employer shall monitor at least quarterly.
(4) Additional Monitoring. Whenever there has been a production, process, control, or personnel change which may result in new or increased exposures to AN, or whenever the employer has any reason to suspect a change which may result in new or increased exposures to AN, additional monitoring which complies with this subsection shall be conducted.
(5) Employee Notification.
(A) Within five (5) working days after the receipt of monitoring results, the employer shall notify each employee in writing of the results which represent that employee's exposure.
(B) Whenever the results indicate that the representative employee exposure exceeds the permissible exposure limits, the employer shall include in the written notice a statement that the permissible exposure limits were exceeded and a description of the corrective action being taken to reduce exposure to or below the permissible exposure limits.
(6) Accuracy of Measurement. The method of measurement shall be accurate, to a confidence level of 95 percent, to within plus or minus 35 percent for concentrations of AN at or above the permissible exposure limits, and to within plus or minus 50 percent for concentrations of AN below the permissible exposure limits.
(f) Regulated Areas.
(1) The employer shall establish regulated areas where AN concentrations are in excess of the permissible exposure limits.
(2) Regulated areas shall be demarcated and segregated from the rest of the workplace, in any manner that minimizes the number of persons who will be exposed to AN.
(3) Access to regulated areas shall be limited to authorized persons.
(4) The employer shall assure that food or beverages are not present or consumed, tobacco products are not present or used, and cosmetics are not applied in the regulated area.
(g) Methods of Compliance.
(1) Engineering and Work Practice Controls.
(A) By November 2, 1980, the employer shall institute engineering and work practice controls to reduce and maintain employee exposures to AN, to or below the permissible exposure limits, except to the extent that such controls are not feasible.
(B) Wherever the engineering and work practice controls which can be instituted are not sufficient to reduce employee exposures to or below the permissible exposure limits, the employer shall nonetheless use them to reduce exposures to the lowest levels achievable by these controls, and shall supplement them by the use of respiratory protection which complies with the requirements of Section 5213(h).
(2) Compliance Program.
(A) The employer shall establish and implement a written program to reduce employee exposures to or below the permissible exposure limits solely by means of engineering and work practice controls as required by Section 5213(g)(1).
(B) Written plans for these compliance programs shall be established within 60 days from the effective date of this standard and shall include at least the following:
1. A description of each operation or process resulting in employee exposure to AN above the permissible exposure limits;
2. An outline of the nature of the engineering controls and work practices to be applied to the operation or process in question;
3. A report of the technology considered in meeting the permissible exposure limits;
4. A schedule for implementation of engineering and work practice controls for operation or process, which shall project completion no later than November 2, 1980; and
5. Any other relevant information.
(C) The employer shall complete the steps set forth in the compliance program by the dates in the schedule.
(D) Written plans shall be submitted to the Chief upon the request of authorized representatives of the Chief and shall be available at the workplace for examination and copying by such authorized representatives or by any affected employee or employee representative.
(E) The plans required by this subsection shall be revised and updated at least every 6 months to reflect the current status of the program.
(h) Respiratory Protection. 
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations, such as maintenance and repair activities or reactor cleaning, in which the employer establishes that engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the permissible exposure limits; and
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C), and (f) through (m).
(3) Respirator selection. 
(A) The employer must select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1. 
(B) For escape, the employer shall provide employees with any organic vapor respirator or any self-contained breathing apparatus permitted for use under subsection (h)(3).
(i) Emergencies. Within fifteen (15) days of the effective date of this section, a written plan for emergency situations shall be developed for each workplace where liquid AN is present. The plan shall address, as a minimum, the implementation of the requirements of this subsection. Within 45 days of the effective date of this section, all elements of the emergency plan shall have been implemented.
(1) Written Procedures. Specific, written procedures prescribing the course of action to be followed in an emergency shall be posted in those areas of the workplace where liquid AN is present.
(A) The procedure shall require that employees involved in the abatement of an emergency be equipped with specific items of respiratory protective equipment and personal protective clothing appropriate to the emergency conditions.
(B) All employees potentially affected by an emergency shall be thoroughly familiarized with the emergency procedure and shall be instructed in the performance of their assigned or potential role in an emergency.
(C) Twin-headed eyewash fountains supplied with potable running water shall be installed near, within sight of, and on the same level with locations where eye contact with liquid AN would be likely to occur as the result of equipment failure or improper work practice.
(D) Necessary emergency equipment, including appropriate respiratory protective devices, shall be stored in readily accessible locations.
(E) Employees not engaged in correcting the emergency shall be evacuated from the area and shall not be permitted to return until the emergency is abated.
(F) Hazardous conditions created by the emergency shall be eliminated and the potentially affected area shall be decontaminated prior to the resumption of normal operations.
(2) Emergency Alarm. Where there is the possibility of employee exposure to AN in excess of the ceiling limit due to the occurrence of an emergency, a general alarm shall be installed, maintained, and used to promptly alert employees of such occurrence.
(j) Protective Clothing and Equipment.
(1) Provision and Use. Where eye or skin contact with liquid AN may occur, the employer shall provide at no cost to the employee, and assure that employees wear, impermeable protective clothing or other equipment such as protective eye and face equipment, in accordance with Article 10, to protect any area of the body which may come in contact with liquid AN.
(2) Cleaning and Replacement.
(A) The employer shall clean, launder, maintain, or replace protective clothing and equipment required by this section as needed to maintain their effectiveness.
(B) The employer shall assure that impermeable protective clothing which contacts or is likely to have contacted liquid AN shall be decontaminated before being removed by the employee.
(C) The employer shall assure that an employee whose nonimpermeable clothing becomes wetted with liquid AN shall immediately remove that clothing and proceed to shower. The clothing shall be decontaminated before it is removed from the regulated area.
(D) The employer shall assure that no employee removes protective clothing or equipment from the change room, except for those employees authorized to do so for the purpose of laundering, maintenance, or disposal.
(E) The employer shall inform any person who launders or cleans protective clothing or equipment of the potentially harmful effects of exposure to AN.
(k) Housekeeping.
(1) All surfaces shall be maintained free of visible accumulations of liquid AN.
(2) For operations involving liquid AN, the employer shall institute a program for detecting leaks and spills of liquid AN, including regular visual inspections.
(3) Where spills of liquid AN are detected, the employer shall assure that surfaces contacted by the liquid AN are decontaminated. Employees not engaged in decontamination activities shall leave the area of the spill, and shall not be permitted in the area until decontamination is completed.
(l) Waste Disposal. Acrylonitrile-contaminated waste, scrap, debris, bags, containers, or equipment shall be decontaminated before being incorporated in the general waste disposal system.
(m) Hygiene Facilities and Practices.
(1) Where employees are exposed to airborne concentrations of AN above the permissible exposure limits, or where employees are required to wear protective clothing or equipment pursuant to Section 5213(j), the facilities required by Article 9, including clean change rooms and shower facilities, shall be provided by the employer for the use of those employees, and the employer shall assure that the employees use the facilities provided.
(2) The employer shall assure that employees wearing protective clothing or equipment for protection from skin contact with liquid AN shall shower at the end of the work shift.
(3) The employer shall assure that, in the event of skin or eye exposure to liquid AN, the affected employee shall shower immediately to minimize the danger of skin absorption.
(4) The employer shall assure that employees working in the regulated area wash their hands and faces prior to eating.
(n) Medical Surveillance.
(1) General.
(A) The employer shall institute a program of medical surveillance for each employee who is or will be exposed to AN at or above the action level, without regard to the use of respirators. The employer shall provide each such employee with an opportunity for medical examinations and tests in accordance with this paragraph.
(B) The employer shall assure that all medical examinations and procedures are performed by or under the supervision of a California-licensed physician and that they shall be provided without cost to the employee.
(2) Initial Examinations. Within thirty (30) days of the effective date of this section, or thereafter at the time of initial assignment, the employer shall provide each affected employee an opportunity for a medical examination, including at least the following elements:
(A) A work history and medical history with special attention to skin, respiratory, and gastrointestinal systems, and those nonspecific symptoms, such as headache, nausea, vomiting, dizziness, weakness, or other central nervous system dysfunctions that may be associated with acute or chronic exposure to AN;
(B) A comprehensive physical examination giving particular attention to the peripheral and central nervous system, gastrointestinal system, respiratory system, skin, and thyroid;
(C) Posterior-anterior chest X-ray (14- by 17-inch); and
(D) Further tests of the intestinal tract, including fecal occult blood screening, for all workers 40 years of age or older, and for any other affected employees for whom, in the opinion of the physician, such testing is appropriate.
Note: Medical surveillance conducted under the provisions of the temporary emergency standard for AN may be relied upon by the employer to meet this initial medical surveillance requirement.
(3) Periodic Examinations.
(A) The employer shall provide the examinations prescribed by Section 5213(n)(2) at least annually for all employees specified in Section 5213(n)(1).
(B) If an employee has not had the examination specified in Section 5213(n)(2) within 6 months preceding termination of employment, the employer shall make such examination available to the employee prior to such termination.
(4) Additional Examinations. If the employee for any reason develops signs or symptoms which may be associated with exposure to AN, the employer shall provide an appropriate examination and emergency medical treatment.
(5) Information Provided to the Physician. The employer shall provide the following information to the examining physician:
(A) A copy of this standard and its appendices;
(B) A description of the affected employee's duties as the relate to the employee's exposure;
(C) The employee's representative exposure level;
(D) The employee's anticipated or estimated exposure level (for preplacement examinations or in cases of exposure due to an emergency);
(E) A description of any personal protective equipment used or to be used; and
(F) Information from previous medical examinations of the affected employee which is not otherwise available to the examining physician.
(6) Physician's Written Opinion.
(A) The employer shall obtain a written opinion from the examining physician which shall include:
1. The results of the medical examination and tests performed insofar as such findings relate to occupational exposure to AN;
2. The physician's opinion as to whether the employee has any detected medical condition(s) which would place the employee at an increased risk of material impairment of the employee's health from exposure to AN;
3. Any recommended limitations upon the employee's exposure to AN or upon the use of protective clothing and equipment such as respirators; and
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further examination or treatment.
(B) The employer shall instruct the physician not to reveal in the written opinion specific findings or diagnoses unrelated to occupational exposure to AN.
(C) The employer shall provide a copy of the written opinion to the affected employee.
(o) Employee Information and Training.
(1) Training Program.
(A) Within 60 days of the effective date of this section, the employer shall institute a training program for, and assure the participation of, all employees exposed to AN above the action level, all employees whose exposures are maintained below the action level by engineering and work practice controls, and all employees subject to potential skin or eye contact with liquid AN.
(B) Training shall be provided at the time of initial assignment, or upon institution of the training program, and at least annually thereafter, and the employer shall assure that each employee is informed of the following:
1. The information contained in Appendices A and B;
2. The quantity, location, manner of use, release, or storage of AN, and the specific nature of operations which could result in exposure to AN, as well as any necessary protective steps;
3. The purpose, proper use, and limitations of respirators and protective clothing;
4. The purpose and a description of the medical surveillance program required by Section 5213(n);
5. The emergency procedures developed, as required by Section 5213(i);
6. First-aid measures for acute exposure to AN;
7. Engineering and work practice controls, their function, and the employee's relationship to these controls; and
8. A review of this standard.
(2) Access to Training Materials.
(A) The employer shall make a copy of this section and its appendices readily available to all affected employees and employee representatives.
(B) All materials relating to the employee information and training program shall be provided, upon request, to authorized representatives of the Chief.
(p) Signs and Labels.
(1) General.
(A) The employer may use labels or signs required by other statutes, regulations, or ordinances in addition to, or in combination with, signs and labels required by this subsection.
(B) The employer shall assure that no statement appears on or near any sign or label required by this paragraph which contradicts or detracts from the required sign or label.
(2) Signs.
(A) The employer shall post signs to clearly indicate all workplaces where AN concentrations exceed the permissible exposure limits. The signs shall bear the following legend:

DANGER
ACRYLONITRILE (AN) 
CANCER HAZARD
AUTHORIZED PERSONNEL ONLY
RESPIRATOR REQUIRED
(B) The employer shall assure that signs required by this paragraph are illuminated and cleaned as necessary so that the legend is readily visible.
(3) Labels.
(A) The employer shall assure that precautionary labels are affixed to all containers of liquid AN and AN-based materials not exempted under Section 5213(a)(2). The employer shall assure that the labels remain affixed when the materials are sold, distributed, or otherwise leave the employer's workplace.
(B) The employer shall assure that the precautionary labels required by this paragraph are readily visible and legible. The labels shall bear the following legend:

DANGER
CONTAINS ACRYLONITRILE (AN)
CANCER HAZARD
(q) Recordkeeping.
(1) Objective Data for Exempted Operations.
(A) Where the processing, use, or handling of materials made from or containing AN are exempted pursuant to Section 5213(a)(2)(B), the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) This record shall include at least the following information:
1. The material qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of AN;
4. A description of the operation exempted and how the data supports the exemption; and
5. Other data relevant to the operations, materials, and processing covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Exposure Monitoring.
(A) The employer shall establish and maintain an accurate record of all monitoring required by Section 5213(e).
(B) This record shall include:
1. The dates, number, duration, and results of each of the samples taken, including a description of the sampling procedure used to determine representative employee exposure;
2. A description of the sampling and analytical methods used and the data relied upon to establish that the methods used meet the accuracy and precision requirements of Section 5213(e)(6);
3. Type of respiratory protective devices worn, if any; and
4. Name, social security number, and job classification of the employee monitored and of all other employees whose exposure the measurement is intended to represent.
(C) The employer shall maintain this record for at least forty (40) years, or for the duration of employment plus twenty (20) years, whichever is longer.
(3) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance as required by Section 5213(n).
(B) This record shall include:
1. A copy of the physician's written opinions;
2. Any employee medical complaints related to exposure to AN;
3. A copy of the information provided to the physician as required by Section 5213(n)(5); and
4. A copy of the employee's medical and work history.
(C) The employer shall assure that this record be maintained for at least forty (40) years, or for the duration of employment plus twenty (20) years, whichever is longer.
(4) Availability of Records.
(A) The employer shall make all records required to be maintained by this subsection available, upon request, to authorized representatives of the Chief and the Director for examination and copying.
(B) Records required by Sections 5213(q)(1)-(3) shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief in accordance with Section 3204. Records required by Section 5213(q)(1) shall be provided a collective bargaining agent in the same manner as exposure monitoring records under Section 3204.
(5) Transfer of Records.
(A) Whenever the employer ceases to do business, the successor employer shall receive and retain all records required to be maintained by this subsection for the prescribed period.
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, these records shall be transmitted to the Director.
(C) At the expiration of the retention period for the records required to be maintained pursuant to this section, the employer shall notify the Director at least 3 months prior to the disposal of the records, and shall transmit them to the Director upon request.
(D) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(r) Observation of Monitoring. During any observation of monitoring by an affected employee or employees, or their representative, pursuant to Title 8, California Administrative Code, Section 340.1, the employer shall provide the observer with personal protective clothing or equipment required to be worn by employees working in the area, assure the use of such clothing and equipment, and require the observer to comply with all other applicable safety and health procedures.
(s) Appendices. The information contained in the appendices to this standard is not intended, by itself, to create any additional obligations not otherwise imposed by the standard or to detract from any such obligation.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 5-15-79; effective thirtieth day thereafter (Register 79, No. 20). For history of former section which expired on its own terms on 3-15-79, see Register 7, No. 40.
2. Amendment of subsection (q) and Appendix A (VI) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Amendment of subsections (b) and (h)(3) filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
4. Editorial correction of subsection (b) filed 3-3-83 (Register 83, No. 10). Section Numbers contained in this file are listed below. 5209 5210 5211 5212 5213
5. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
6. Amendment of former subsections (h)(1)-(h)(3)(B) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3), and amendment of appendix A, subsection IV. filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
7. Editorial correction moving Note and Histories 1-6 from following Appendix D to preceding Appendix A (Register 99, No. 28).
8. Amendment of subsection (d), repealer of subsections (d)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
9. Amendment of subsection (h)(2)(A), repealer of subsections (h)(2)(B)-(B)2., amendment of subsection (h)(3) and new subsections (h)(3)(A)-(B) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Substance Safety Sheet for Acrylonitrile
I. Substance Identification
A. Substance: Acrylonitrile (CH2 = CHCN).
B. Synonyms: Acrylic nitrile; vinyl cyanide; cyanoethylene; AN; VCN; Acrylon; Carbacryl; Fumigrain; Ventox; propenenitrile.
C. Acrylonitrile can be found as a liquid or vapor, and can also be found in polymer resins, plastics, polyols, and other polymers having acrylonitrile as a raw or intermediate material.
D. AN is used in the manufacture of acrylic and modacrylic fibers, acrylic plastics and resins, specialty polymers, nitrile rubbers, and other organic chemicals. It has also been used as a fumigant.
E. Appearance and Odor: Colorless to pale yellow liquid with a pungent odor which can only be detected at concentrations above the permissible exposure level, in a range of 13-19 parts AN per million parts of air (13-19 ppm).
F. Exposure may not exceed either:
1. Two parts AN per million parts of air (2 ppm) averaged over the eight-hour workday; or
2. Ten parts AN per million parts of air (10 ppm) averaged over any 15-minute period in the workday.
3. In addition, skin and eye contact with liquid AN is prohibited.
II. Health Hazard Data
A. Acrylonitrile can affect your body if you inhale the vapor (breathing), if it comes in contact with your eyes or skin, or if you swallow it. It may enter your body through your skin.
B. Effects of Overexposure:
1. Short-Term Exposure: Acrylonitrile causes eye irritation, nausea, vomiting, headache, sneezing, weakness, and lightheadedness. At high concentrations, the effects of exposure may go on to loss of consciousness and death. When acrylonitrile is held in contact with the skin after being absorbed into shoe leather or clothing, it may produce blisters following several hours of no apparent effect. Unless the shoes or clothing are removed immediately and the area washed, blistering will occur. Usually there is no pain or inflammation associated with blister formation.
2. Long-Term Exposure: Acrylonitrile has been shown to cause cancer in laboratory animals and has been associated with higher incidences of cancer in humans. Repeated or prolonged exposure of the skin to acrylonitrile may produce irritation and dermatitis.
3. Reporting Signs and Symptoms: You should inform your employer if you develop any signs or symptoms which may be caused by exposure to acrylonitrile.
III. Emergency First-aid Procedures
A. Eye Exposure: If acrylonitrile gets into your eyes, wash your eyes immediately with large amounts of water, lifting the lower and upper lids occasionally. Get medical attention immediately. Contact lenses should not be worn when working with this chemical.
B. Skin Exposure: If acrylonitrile gets on your skin, immediately wash the contaminated skin with water. If acrylonitrile soaks through your clothing, especially your shoes, remove the clothing immediately and wash the skin with water. If symptoms occur after washing, get medical attention immediately. Thoroughly wash the clothing before re-using. Contaminated leather shoes or other leather articles should be discarded.
C. Inhalation: If you or any other person breathes in large amounts of acrylonitrile, move the exposed person to fresh air at once. If breathing has stopped, perform artificial respiration. Keep the affected person warm and at rest. Get medical attention as soon as possible.
D. Swallowing: When acrylonitrile has been swallowed, give the person large quantities of water immediately. After the water has been swallowed, try to get the person to vomit by having him touch the back of his throat with his finger. Do not make an unconscious person vomit. Get medical attention immediately.
E. Rescue: Move the affected person from the hazardous exposure. If the exposed person has been overcome, notify someone else and put into effect the established emergency procedures. Do not become a casualty yourself. Understand your emergency rescue procedures and know the locations of the emergency equipment before the need arises.
F. Special First-Aid Procedures: First-aid kits containing an adequate supply (at least two dozen) of amyl nitrite pearls (ampules), each containing 0.3 ml, should be maintained at each site where acrylonitrile is used. When a person is suspected of receiving an overexposure to acrylonitrile, immediately remove that person from the contaminated area using established rescue procedures. Contaminated clothing must be removed and the acrylonitrile washed from the skin immediately. Artificial respiration should be started at once if breathing has stopped. If the person is unconscious, amyl nitrite may be used as an antidote by a properly-trained individual in accordance with established emergency procedures. Medical aid should be obtained immediately.
IV. Respirators and Protective Clothing
A. Respirators: You may be required to wear a respirator for non-routine activities, in emergencies, and while your employer is in the process of reducing acrylonitrile exposures through engineering controls. If respirators are worn, they must have a label issued by the National Institute for Occupational Safety and Health (NIOSH) under the provisions of 42 CFR part 84 stating that the respirators have been approved for use with organic vapors. For effective protection, respirators must fit your face and head snugly. Respirators should not be loosened or removed in work situations where their use is required.
Acrylonitrile does not have a detectable odor except at levels above the permissible exposure limit. Do not depend on odor to warn you when a respirator cartridge or canister is exhausted. Cartridges or canisters must be changed daily. Reuse of these may allow acrylonitrile to gradually filter through the cartridge and cause exposures which you cannot detect by odor. If you can smell acrylonitrile while wearing a respirator, the respirator is not working correctly. Go immediately to fresh air. If you experience difficulty breathing while wearing a respirator, tell your employer.
B. Supplied-Air Suits: In some work situations, the wearing of supplied-air suits may be necessary. Your employer should instruct you in their proper use and operation.
C. Protective Clothing: You must wear impervious clothing, gloves, face shield, or other appropriate protective clothing to prevent skin contact with liquid acrylonitrile. Where protective clothing is required, your employer is required to provide clean garments to you as necessary to assure that the clothing protects you adequately. Replace or repair impervious clothing that has developed leaks. Acrylonitrile should never be allowed to remain on the skin. Clothing and shoes which are not impervious to acrylonitrie, should not be allowed to be contaminated with acrylonitrile, and if they do, the clothing and shoes should be promptly removed and decontaminated. The clothing should be laundered or discarded after the AN is removed. Once acrylonitrile penetrates shoe leather, or other leather articles, the article should not be worn again.
D. Eye Protection: You must wear splash-proof safety goggles in areas where liquid acrylonitrile may contact your eyes. In addition contact lenses should not be worn when working with acrylonitrile.
V. Precautions for Safe Use, Handling, and Storage
A. Acrylonitrile is a flammable liquid and its vapors can easily form explosive mixtures in air.
B. Acrylonitrile must be stored in tightly-closed containers in a cool, well-ventilated area, away from heat, sparks, flames, strong oxidizers (especially bromine), strong bases, copper, copper alloys, ammonia, and amines.
C. Sources of ignition such as smoking and open flames are prohibited wherever acrylonitrile is handled, used, or stored in a manner that could create a potential fire or explosion hazard.
D. You should use non-sparking tools when opening or closing metal containers of acrylonitrile, and containers must be bonded and grounded when pouring or transferring liquid acrylonitrile.
E. You must immediately remove any non-impervious clothing that becomes contaminated with acrylonitrile, and this clothing must not be reworn until the acrylonitrile is removed from the clothing.
F. Impervious clothing wet with liquid acrylonitrile can be easily ignited. This clothing must be washed down with water before you remove it.
G. If your skin becomes wet with liquid acrylonitrile, you must promptly and thoroughly wash or shower with soap or mild detergent to remove any acrylonitrile from your skin.
H. You must not keep food, beverages, or smoking materials nor are you permitted to eat or smoke in regulated areas where acrylonitrile concentrations are above the permissible exposure limits.
I. If you handle acrylonitrile, you must wash your hands thoroughly with soap or mild detergent and water before eating, smoking, or using toilet facilities.
J. Fire extinguishers and quick drenching facilities must be readily available, and you should know where they are and how to operate them.
K. Ask your supervisor where acrylonitrile is used in your work area and for any additional plant safety and health rules.
VI. Access to Information
A. Each year, your employer is required to inform you of information contained in this Substance Safety Data Sheet for acrylonitrile. In addition, your employer must instruct you in the proper work practices for using acrylonitrile, emergency procedures, and the correct use of protective equipment.
B. Your employer is required to determine whether you are being exposed to acrylonitrile. You or your representative has the right to observe employee exposure measurements and to record the results obtained. Your employer is require to inform you of your exposure. If your employer determines that you are being overexposed, he or she is required to inform you of the actions which are being taken to reduce your exposure to within permissible exposure limits.
C. Your employer is required to keep records of your exposures and medical examination. These records must be kept by the employer for at least forty (40) years or for the period of your employment plus twenty (20) years, whichever is longer.
D. Upon the request of either you or your collective bargaining agent, if any, your employer is required to release your exposure records, or a copy thereof. Upon your request, your employer is required to provide a copy of your medical records to you or to any individual or organization designated by you.

Appendix B

Substance Technical Guidelines for Acrylonitrile
I. Physical and Chemical Data
A. Substance Identification:
1. Synonyms: AN; VCN; vinyl cyanide; acrylic nitrile; cyanoethylene; Acrylon; Carbacryl; Fumigrain; Ventox; propenenitrile.
2. Formula: CH2 = CHCN
3. Molcular Weight: 53.1.
B. Physician Data:
1. Boiling Point (760 mm Hg): 77.3o C (171o F)
2. Specific Gravity (water = 1): 0.81 (at 20o C or 68o F)
3. Vapor Density (air = 1) at boiling point of acrylonitrile: 1.83.
4. Melting Point: -83o F (-117o F)
5. Vapor Pressure at 20o C (68o F): 83 mm Hg.
6. Solubility in Water: Percent by weight at 20o C (68o F): 7.35.
7. Evaporation Rate (Butyl Acetate = 1): 4.54.
8. Appearance and Odor: Colorless to pale yellow liquid with a pungent odor at concentrations above the permissible exposure level. Any detectable odor of acrylonitrile may indicate overexposure.
II. Fire, Explosion, and Reactivity Hazard Data
A. Fire:
1. Flash Point: -1o C (30o F) (open cup)
2. Autoignition Temperature: 481o C (898o F).
3. Flammable Limits in Air, Percent by Volume: Lower: 3; Upper: 17.
4. Extinguishing Media: Alcohol foam, carbon dioxide, dry chemical.
5. Special Fire-fighting Procedures: Do not use a solid stream of water, since the stream will scatter and spread the fire. Use water spray to cool containers exposed to a fire.
6. Fire and Explosion Hazards: Acrylonitrile is a flammable liquid. Its vapors can easily form explosive mixtures with air. All ignition sources must be controlled where acrylonitrile is handled, used, or stored in a manner that could create a potential fire or explosion hazard. Acrylonitrile vapors are heavier than air and may travel along the ground and be ignited by open flames or sparks at locations remote from the site at which acrylonitrile is being handled.
7. For purposes of compliance with the requirements of Articles 141 through 148 of the General Industry Safety Orders, acrylonitrile is classified as a Class 1B flammable liquid. For example, 7500 ppm, approximately one-fourth of the lower flammable limit, would be considered to pose a potential fire and explosion hazard.
8. For purposes of compliance with the regulations for fire protection, acrylonitrile is classified as a Class B fire hazard.
9. For purpose of compliance with the Electrical Safety Orders (California Administrative Code, Chapter 4, Subchapters 5 and 6) locations classified as hazardous due to the presence of acrylonitrile shall be Class I Group D.
B. Reactivity.
1. Conditions Contributing to Instability: Acrylonitrile will polymerize when hot, and the additional heat liberated by the polymerization may cause containers to explode. Pure AN may self-polymerize with a rapid build-up of pressure resulting in an explosive hazard. Inhibitors are added to the commercial product to prevent self-polymerization.
2. Incompatibilities: Contact with strong oxidizers (especially bromine) and strong bases may cause fires and explosions. Contact with copper, copper alloys, ammonia, and amines may start serious decomposition.
3. Hazardous Decomposition Products: Toxic gases and vapors (such as hydrogen cyanide, oxides of nitrogen, and carbon monoxide) may be released in a fire involving acrylonitrile and certain polymers made from acrylonitrile.
4. Special Precautions: Liquid acrylonitrile will attack some forms of plastics, rubbers, and coatings.
III. Spill, Leak, and Disposal Procedures
A. If acrylonitrile is spilled or leaked, the following steps should be taken:
1. Remove all ignition sources.
2. The area should be evacuated at once and reentered only after the area has been thoroughly ventilated and washed down with water.
3. If liquid acrylonitrile or polymer intermediate, collect for reclamation or absorb in paper, vermiculite, dry sand, earth, or similar material, or wash down with water into process sewer system.
B. Persons not wearing protective equipment should be restricted from areas of spills or leaks until cleanup has been completed.
C. Waste Disposal Methods: Waste material shall be disposed of in a manner that is not hazardous to employees or to the general population. Spills of acrylonitrile and flushing of such spills shall be channeled for appropriate treatment or collection for disposal. They shall not be channeled directly into the sanitary sewer system. In selecting the method of waste disposal, applicable local, state, and federal regulations should be consulted.
IV. Monitoring and Measurement Procedures
A. Exposure Above the Permissible Exposure Limit:
1. Eight-hour Exposure Evaluation: Measurements taken for the purpose of determining employee exposure under this section are best taken so that the average eight-hour exposure may be determined from a single 8-hour sample or two (2) 4-hour samples. Air samples should be taken in the employee's breathing zone (air that would most nearly represent that inhaled by the employee).
2. Ceiling Evaluation: Measurements taken for the purpose of determining employee exposure under this section must be taken during periods of maximum expected concentrations of acrylonitrile in the employee's breathing zone. A minimum of three (3) measurements should be taken on one work shift. The average of all measurement taken is an estimate of the employee's ceiling exposure.
3. Monitoring Techniques: The sampling and analysis under this section may be performed by collecting the acrylonitrile vapor on charcoal adsorption tubes or other composition adsorption tubes, with subsequent chemical analysis. Sampling and analysis may also be performed by instruments such as real-time continuous monitoring systems, portable direct-reading instrument or passive dosimeters. Analysis of resultant samples should be by gas chromatography.
Appendix D lists methods of sampling and analysis which have been tested by NIOSH and OSHA for use with acrylonitrile. NIOSH and OSHA have validated modifications of NIOSH Method S-156 (see Appendix D) under laboratory conditions for concentrations below 1 ppm. The employer has the obligation of selecting a monitoring method which meets the accuracy and precision requirements of the standard under his unique field conditions. The standard requires that methods of monitoring must be accurate, to 95-percent confidence level, to +35 percent for concentrations of AN at or above 2 ppm, and to +50 percent for concentrations below 2 ppm. In addition to the methods described in Appendix D, there are numerous other methods available for monitoring for AN in the workplace.
Since many of the duties relating to employee exposure are dependent on the results of monitoring and measuring procedures, employers shall assure that the evaluation of employee exposures is performed by a competent industrial hygienist or other technically qualified person.
V. Protective Clothing
Employees shall be provided with, and required to wear appropriate protective clothing to prevent any possibility of skin contact with liquid AN. Because acrylonitrile is absorbed through the skin, it is important to prevent skin contact with the liquid. Protective clothing shall include impermeable coveralls or similar full-body work clothing, gloves, head-coverings, and workshoes or shoe coverings, as appropriate, to protect areas of the body which may come in contact with liquid AN.
Employers should ascertain that the protective garments are impermeable to acrylonitrile. Non-impermeable clothing and shoes should not be allowed to become contaminated with acrylonitrile. If permeable clothing does become contaminated, it should be promptly removed, placed in a regulated area for removal of the AN, and not worn again until the AN is removed. If leather footwear or other leather garments become wet from acrylonitrile, they should be replaced and not worn again, due to the ability of leather to absorb acrylonitrile and hold it against the skin. Since there is no pain associated with the blistering, it is essential that the employee be informed of this hazard so that he or she can be protected.
Any protective clothing which has developed leaks or is otherwise found to be defective should be repaired or replaced. Clean protective clothing shall be provided to the employee, as necessary to assure adequate protection. Whenever impervious clothing becomes wet with liquid AN, it shall be washed down with water before being removed by the employee. Employees are also required to wear splash-proof safety goggles where there is any possibility of acrylonitrile contacting the eyes.
VI. Housekeeping and Hygiene Facilities
For purposes of complying with Article 9 of the General Industry Safety Orders the following items should be emphasized
A. The workplace should be kept clean, orderly, and in a sanitary condition. The employer is required to institute a leak and spill detection program for operations involving liquid AN in order to detect sources of fugitive AN emissions.
B. Dry sweeping and the use of compressed air is unsafe for the cleaning of floors and other surfaces where liquid AN may be found.
C. Adequate washing facilities with hot and cold water are to be provided, and maintained in a sanitary condition. Suitable cleansing agents are also to be provided to assure the effective removal of acrylonitrile from the skin.
D. Change or dressing rooms with individual clothes-storage facilities must be provided to prevent the contamination of street clothes with acrylonitrile. Because of the hazardous nature of acrylonitrile, contaminated protective clothing must be placed in a regulated area designated by the employer for the removal of the AN before the clothing is laundered or disposed of.
VII. Miscellaneous Precautions
A. Store acrylonitrile in tightly-closed containers in a cool, well-ventilated area and take the necessary precautions to avoid an explosion hazard.
B. High exposure to acrylonitrile can occur when transferring the liquid from one container to another.
C. Non-sparking tools must be used to open and close metal acrylonitrile containers. These containers must be effectively grounded and bonded prior to pouring.
D. Never store uninhibited acrylonitrile.
E. Acrylonitrile vapors are not inhibited. They may clog vents of storage tanks through the formation of polymer.
F. Use of supplied-air suits or other impervious coverings may be necessary to prevent skin contact as well as to provide respiratory protection where the concentration of acrylonitrile is unknown or is above the ceiling limit. Supplied-air suits should be selected, used, and maintained under the immediate supervision of persons knowledgeable in the limitations and potential life-endangering characteristics of supplied-air suits.
G. Employers shall advise employees of all areas and operations where exposure to acrylonitrile could occur.
VIII. Common Operations
Common operations in which exposure to acrylonitrile is likely to occur include the following: manufacture of acrylonitrile monomer; synthesis of acrylic fibers, ABS, SAN and nitrile barrier plastics and resins, nitrile rubber, surface coatings, specialty chemicals, use as a chemical intermediate, use as a fumigant and in the cyanoethylation of cotton.

Appendix C

Medical Surveillance Guidelines for Acrlonitrile
I. Route of Entry
Inhalation; skin absorption; ingestion.
II. Toxicology
Acrylonitrile vapor is an asphyxiant due to its inhibitory action on metabolic enzyme systems. Animals exposed to 75 or 100 ppm for 7 hours have shown signs of anoxia; in some animals which died at the higher level, cyanomethemoglobin was found in the blood. Two human fatalities from accidental poisoning have been reported; one was caused by inhalation of an unknown concentration of the vapor, and the other was thought to be caused by skin absorption or inhalation. Most cases of intoxication from industrial exposure have been mild, with rapid onset of eye irritation, headache, sneezing, and nausea. Weakness, light-headedness, and vomiting may also occur. Exposure to high concentrations may produce profound weakness, asphyxia, and death. The vapor is a severe eye irritant. Prolonged skin contact with the liquid may result in absorption with systemic effects, and in the formation of large blisters after a latent period of several hours. Although there is usually little or no pain or inflammation, the affected skin resembles a second-degree thermal burn. Solutions spilled on exposed skin, or on areas covered only by a light layer of clothing, evaporate rapidly, leaving no irritation, or, at the most, mild transient redness. Repeated spills on exposed skin may result in dermatitis due to solvent effects.
Results after one year of a planned two-year animal study on the effects of exposure to acrylonitrile have indicated that rats ingesting as little as 35 ppm in their drinking water develop tumors of the central nervous system. The interim results of this study have been supported by a similar study being conducted by the same laboratory, involving exposure of rats by inhalation of acrylonitrile vapor, which has shown similar types of tumors in animals exposed to 80 ppm.
In addition, the preliminary results of an epidemiological study being performed by duPont on a cohort of workers in their Camden, South Carolina, acrylic fiber plant indicate a statistically significant increase in the incidence of colon and lung cancer among employees exposed to acrylonitrile.
III. Signs And Symptoms of Acute Overexposure
Asphyxia and death can occur from exposure to high concentrations of acrylonitrile. Symptoms of overexposure include eye irritation, headache, sneezing, nausea and vomiting, weakness, and light-headedness. Prolonged skin contact can cause blisters on the skin, with the appearance of a second degree thermal burn, but with little or no pain. Repeated skin contact may produce scaling dermatitis.
IV. Treatment of Acute Overexposure
Remove employee from exposure. Immediately flush eyes with water and wash skin with soap or mild detergent and water. If AN has been swallowed and person is conscious, give large quantities of water immediately, and induce vomiting. Give artificial resuscitation if indicated. More severe cases, such as those associated with loss of consciousness, may be treated by the intravenous administration of sodium nitrate, followed by sodium thiosulfate, although this is not as effective for acrylonitrile poisoning a for inorganic cyanide poisoning.
V. Surveillance and Preventive Considerations
A. Exposure to acrylonitrile has been linked to increased incidence of cancers of the colon and lung in employees of the duPont acrylic fiber plant in Camden, S.C. In addition, the animal testing of acrylonitrile has resulted in the development of cancers of the central nervous system in rats exposed by either inhalation or ingestion. The physician should be aware of the findings of these studies in evaluating the health of employees exposed to acrylonitrile.
Most reported acute effects of occupational exposure to acrylonitrile are due to its ability to cause tissue annoxia and asphyxia. The effects are similar to those caused by hydrogen cyanide. Liquid acrylonitrile can be absorbed through the skin upon prolonged contact. The liquid readily penetrates leather, and will produce burns of the feet if footwear contaminated with acrylonitrile is not removed.
It is important for the physician to become familiar with the operating conditions in which exposure to acrylonitrile may occur. Those employees with skin diseases may not tolerate the wearing of whatever protective clothing may be necessary to protect them from exposure. In addition, those with chronic respiratory disease may not tolerate the wearing of negative-pressure respirators.
B. Surveillance and screening. Medical histories and laboratory examinations are required for each employee subject to exposure to acrylonitrile above the action level. The employer must screen employees for history of certain medical conditions which might place the employee at increased risk from exposure to acrylonitrile.
1. Central nervous system dysfunction. Acute effects of exposure to acrylonitrile generally involve the central nervous system. Symptoms of acrylonitrile exposure include headache, nausea, dizziness, and general weakness. The animal studies cited above suggested possible carcinogenic effects of acrylonitrile on the central nervous system, since rats exposed by either inhalation or ingestion have developed similar CNS tumors.
2. Respiratory disease. The duPont data indicate an increased risk of lung cancer among employees exposed to acrylonitrile.
3. Gastrointestinal disease. The duPont data indicate an increased risk of cancer of the colon among employees exposed to acrylonitrile. In addition, the animal studies show possible tumorogenic effects on the stomachs of the rats in the ingestion study.
4. Skin disease. Acrylonitrile can cause skin burns when prolonged skin contact with the liquid occurs. In addition, repeated skin contact with the liquid can cause dermatitis.
5. General. The purpose of the medical procedures outlined in the standard is to establish a baseline for future health monitoring. Persons unusually susceptible to the effects of anoxia or those with anemia would be expected to be at increased risk. In addition to emphasis on the CNS, respiratory and gastrointestinal systems, the cardiovascular system, liver and kidney function should also be stressed.

Appendix D

Sampling and Analytical Methods for Acrylonitrile
There are many methods available for monitoring employee exposures to acrylonitrile. Most of these involve the use of charcoal tubes and sampling pumps, with analysis by gas chromatograph. The essential differences between the charcoal tube methods include, among others, the use of different desorbing solvents, the use of different lots of charcoal, and the use of different equipment for analysis of the samples.
Besides charcoal, considerable work has been performed on methods using porous polymer sampling tubes and passive dosimeters. In addition, there are several portable gas analyzers and monitoring units available on the open market.
This appendix contains details for the methods which have been tested at OSHA Analytical Laboratory in Salt Lake City, and NIOSH in Cincinnati. Each is a variation on NIOSH Method S 156, which is also included for reference. This does not indicate that these methods are the only ones which will be satisfactory. There also may be workplace situations in which these methods are not adequate, due to such factors as high humidity.
Employers who note problems with sample breakthrough should try larger charcoal tubes. Tubes of larger capacity are available, and are often used for sampling vinyl chloride. In addition, lower flow rates and shorter sampling times should be beneficial in minimizing breakthrough problems.
Whatever method the employer chooses, he must assure himself of the method's accuracy and precision under the unique conditions present in his workplace.

NIOSH Method S 156 (Unmodified)
Analyte: Acrylonitrile
Matrix: Air
Procedure: Adsorption on charcoal, desorption with methanol, GC.
1. Principle of the method (Reference 11.1).
1.1 A known volume of air is drawn through a charcoal tube to trap the organic vapors present.
1.2 The charcoal in the tube is transferred to a small, stoppered sample container, and the analyte is desorbed with methanol.
1.3 An aliquot of the desorbed sample is injected into a gas chromatograph.
1.4 The area of the resulting peak is determined and compared with areas obtained for standards.
2. Range and sensitivity.
2.1 This method was validated over the range of 17.5-70.0 mg/cu m at an atmospheric temperature and pressure of 22o C and 760 mm Hg, using a 20-liter sample. Under the conditions of sample size (20 liters) the probable useful range of this method is 4.5-135 mg/cu m. The method is capable of measuring much smaller amounts if the desorption efficiency is adequate. Desorption efficiency must be determined over the range used.
2.2 The upper limit of the range of the method is dependent on the adsorptive capacity of the charcoal tube. This capacity varies with the concentrations of acrylonitrile and other substances in the air. The first section of the charcoal tube was found to hold at least 3.97 mg of acrylonitrile when a test atmosphere containing 92.0 mg/cu m of acrylonitrile in air was sampled 0.18 liter per minute for 240 minutes; at that time the concentration of acrylonitrile in the effluent was less than 5 percent of that in the influent. (The charcoal tube consists of two sections of activated charcoal separated by a section of urethane foam. See section 6.2). If a particular atmosphere is suspected of containing a large amount of contaminant, a smaller sampling volume should be taken.
3. Interference.
3.1 When the amount of water in the air is so great that condensation actually occurs in the tube, organic vapors will not be trapped efficiently. Preliminary experiments using toluene indicate that high humidity severely decreases the breakthrough volume.
3.2 When interfering compounds are known or suspected to be present in the air, such information, including their suspected identities, should be transmitted with the sample.
3.3 It must be emphasized that any compound which has the same retention time as the analyte at the operating conditions described in this method is an interference. Retention time data on a single column cannot be considered proof of chemical identity.
3.4 If the possibility of interference exists, separation conditions (column packing, temperature, etc.) must be changed to circumvent the problem.
4. Precision and accuracy.
4.1 The Coefficient of Variation (CV1) for the total analytical and sampling method in the range 17.5-70.0 mg/cu m was 0.073. This value corresponds to a 3.3 mg/cu m standard deviation at the (previous) OSHA standard level (20 ppm). Statistical information and details of the validation and experimental test procedures can be found in Reference 11.2.
4.2 On the average the concentrations obtained at the 20 ppm level using the overall sampling and analytical method were 6.0 percent lower than the “true” concentrations for a limited number of laboratory experiments. Any difference between the “found” and “true” concentrations may not represent a bias in the sampling and analytical method, but rather a random variation from the experimentally determined “true” concentration. Therefore, no recovery correction should be applied to the final result in section 10.5.
5. Advantages and disadvantages of the method.
5.1 The sampling device is small, portable, and involves no liquids. Interferences are minimal, and most of those which do occur can be eliminated by altering chromatographic conditions. The tubes are analyzed by means of a quick, instrumental method.
The method can also be used for the simultaneous analysis of two or more substances suspected to be present in the same sample by simply changing gas chromatographic conditions.
5.2 One disadvantage of the method is that the amount of sample which can be taken is limited by the number of milligrams that the tube will hold before overloading. When the sample value obtained for the backup section of the charcoal tube exceeds 25 percent of that found on the front section, the possibility of sample loss exists.
5.3 Furthermore, the precision of the method is limited by the reproducibility of the pressure drop across the tubes. This drop will affect the flow rate and cause the volume to be imprecise, because the pump is usually calibrated for one tube only.
6. Apparatus.
6.1 A calibrated personal sampling pump whose flow can be determined within +5 percent at the recommended flow rate. (Reference 11.3).
6.2 Charcoal tubes: Glass tubes with both ends flame sealed, 7 cm long with a 6-mm O.D. and a 4-mm I.D., containing 2 sections of 20/40 mesh activated charcoal separated by a 2-mm portion of urethane foam. The activated charcoals prepared from coconut shells and is fired at 600o C prior to packing. The adsorbing section contains 100 mg of charcoal, the backup section 50 mg. A 3-mm portion of urethane foam is placed between the outlet end of the tube and the backup section. A plug of silicated glass wool is placed in front of the adsorbing section. The pressure drop across the tube must be less than 1 inch of mercury at a flow rate of 1 liter per minute.
6.3 Gas chromatograph equipped with a flame ionization detector.
6.4 Column (4-ft X 1/4-in stainless steel) packed with 50/80 mesh Poropak, type Q.
6.5 An electronic integrator or some other suitable method for measuring peak areas.
6.6 Two-milliliter sample containers with glass stoppers or Teflon-lined caps. If an automatic sample injector is used, the associated vials may be used.
6.7 Microliter syringes: 10-microliter, and other convenient sizes for making standards.
6.8 Pipets: 1.0-ml delivery pipets.
6.9 Volumetric flask: 10-ml or convenient sizes for making standard solutions.
7. Reagents.
7.1 Chromatographic quality methanol.
7.2 Acrylonitrile, reagent grade.
7.3 Hexane, reagent grade.
7.4 Purified nitrogen.
7.5 Prepurified hydrogen.
7.6 Filtered compressed air.
8. Procedure.
8.1 Cleaning of equipment. All glassware used for the laboratory analysis should be detergent washed and thoroughly rinsed with tap water and distilled water.
8.2 Calibration of personal pumps. Each personal pump must be calibrated with a representative charcoal tube in the line. This will minimize errors associated with uncertainties in the sample volume collected.
8.3 Collection and shipping of samples.
8.3.1 Immediately before sampling, break the ends of the tube to provide an opening at least one-half the internal diameter of the tube (2 mm).
8.3.2 The smaller section of charcoal is used as a backup and should be positioned nearest the sampling pump.
8.3.3 The charcoal tube should be placed in a vertical direction during sampling to minimize channeling through the charcoal.
8.3.4 Air being sampled should not be passed through any hose or tubing before entering the charcoal tube.
8.3.5 A maximum sample size of 20 liters is recommended. Sample at a flow of 0.20 liter per minute or less. The flow rate should be known with an accuracy of at least +5 percent.
8.3.6 The temperature and pressure of the atmosphere being sampled should be recorded. If pressure reading is not available, record the elevation.
8.3.7 The charcoal tubes should be capped with the supplied plastic caps immediately after sampling. Under no circumstances should rubber caps be used.
8.3.8 With each batch of 10 samples submit one tube from the same lot of tubes which was used for sample collection and which is subjected to exactly the same handling as the samples except that no air is drawn through it. Label this as a blank.
8.3.9 Capped tubes should be packed tightly and padded before they are shipped to minimize tube breakage during shipping.
8.3.10 A sample of the bulk material should be submitted to the laboratory in a glass container with a Teflon-lined cap. This sample should not be transported in the same container as the charcoal tubes.
8.4 Analysis of samples.
8.4.1 Preparation of samples. In preparation for analysis, each charcoal tube is scored with a file in front of the first section of charcoal and broken open. The glass wool is removed and discarded. The charcoal in the first (larger) section is transferred to a 2-ml stoppered sample container. The separating section of foam is removed and discarded; the second section is transferred to another stoppered container. These two sections are analyzed separately.
8.4.2 Desorption of samples. Prior to analysis, 1.0 ml of methanol is pipetted into each sample container. Desorption should be done for 30 minutes. Tests indicate that this is adequate if the sample is agitated occasionally during this period. If an automatic sample injector is used, the sample vials should be capped as soon as the solvent is added to minimize volatilization.
8.4.3 GC conditions. The typical operating conditions for the gas chromatograph are:
1. 50 ml/min (60 psig) nitrogen carrier gas flow.
2. 65 ml/min (24 psig) hydrogen gas flow to detector.
3. 500 ml/min (50 psig) air flow to detector.
4. 235o C injector temperature.
5. 255o C manifold temperature (detector).
6. 155o C column temperature.
8.4.4 Injection. The first step in the analysis is the injection of the sample into the gas chromatograph. To eliminate difficulties arising from blowback or distillation within the syringe needle, one should employ the solvent flush injection technique. The 10-microliter syringe is first flushed with solvent several times to wet the barrel and plunger. Three microliters of solvent are drawn into the syringe to increase the accuracy and reproducibility of the injected sample volume. The needle is removed from the solvent, and the plunger is pulled back about 0.2 microliter to separate the solvent flush from the sample with a pocket of air to be used as a marker. The needle is then immersed in the sample, and a 5-microliter aliquot is withdrawn, taking into consideration the volume of the needle, since the sample in the needle will be completely injected. After the needle is removed from the sample and prior to injection, the plunger is pulled back 1.2 microliters to minimize evaporation of the sample from the tip of the needle. Observe that the sample occupies 4.9-5.0 microliters in the barrel of the syringe. Duplicate injections of each sample and standard should be made. No more than a 3 percent difference in area is to be expected. An automatic sample injector can be used if it is shown to give reproducibility at least as good as the solvent flush method.
8.4.5 Measurement of area. The area of the sample peak is measured by an electronic integrator or some other suitable form of area measurement, and preliminary results are read from a standard curve prepared as discussed below.
8.5 Determination of desorption efficiency.
8.5.1 Importance of determination. The desorption efficiency of a particular compound can vary from one laboratory to another and also from one batch of charcoal to another. Thus, it is necessary to determine at least once the percentage of the specific compound that is removed in the desorption process, provided the same batch of charcoal is used.
8.5.2 Procedure for determining desorption efficiency. Activated charcoal equivalent to the amount in the first section of the sampling tube (100 mg) is measured into a 2.5-in, 4-mm I.D., glass tube, flame sealed at one end. This charcoal must be from the same batch as that used in obtaining the samples and can be obtained from unused charcoal tubes. The open end is capped with Parafilm. A known amount of hexane solution of acrylonitrile containing 0.239 g/ml is injected directly into the activated charcoal with a microliter syringe, and tube is capped with more Parafilm. When using an automatic sample injector, the sample injector vials, capped with Teflon-faced septa, may be used in place of the glass tubes.
The amount injected is equivalent to that present in a 20-liter air sample at the selected level.
Six tubes at each of three levels (0.5X, 1X, and 2X of the standard) are prepared in this manner and allowed to stand for at least overnight to assure complete adsorption of the analyte onto the charcoal. These tubes are referred to as the sample. A parallel blank tube should be treated in the same manner except that no sample is added to it. The sample and blank tubes are desorbed and analyzed in exactly the same manner as the sampling tube described in section 8.4.
Two or three standards are prepared by injecting the same volume of compound into 1.0 ml of methanol with the same syringe used in the preparation of the samples. These are analyzed with the samples.
The desorption efficiency (D.E.) equals the average weight in mg recovered from the tube divided by the weight in mg added to the tube, or

D.E. = Average weight recovered (mg)/
weight added (mg)
The desorption efficiency is dependent on the amount of analyte collected on the charcoal. Plot the desorption efficiency versus weight of analyte found. This curve is used in section 10.4 to correct for adsorption losses.
9. Calibration and standards.
It is convenient to express concentration of standards in terms of mg/1.0 ml methanol, because samples are desorbed in this amount of methanol. The density of the analyte is used to convert mg into microliters for easy measurement with a microliter syringe. A series of standards, varying in concentration over the range of interest, is prepared and analyzed under the same GC conditions and during the same time period as the unknown samples. Curves are established by plotting concentration in mg/1.0 ml versus peak area.
Note: Since no internal standard is used in the method, standard solutions must be analyzed at the same time that the sample analysis is done. This will minimize the effect of known day-to-day variations and variations during the same day of the FID response.
10. Calculations.
10.1 Read the weight, in mg, corresponding to each peak area from the standard curve. No volume corrections are needed, because the standard curve is based on mg/1.0 ml methanol and the volume of sample injected is identical to the volume of the standards injected.
10.2 Corrections for the blank must be made for each sample.

mg = mg sample - mg blank
Where:
mg sample = mg found in front section of sample tube.
mg sample = mg found in front section of blank tube.
A similar procedure is followed for the backup sections.
10.3 Add the weights found in the front and backup sections to get the total weight in the sample.
10.4 Read the desorption efficiency from the curve (see sec. 8.5.2) for the amount found in the front section. Divide the total weight by this desorption efficiency to obtain the corrected mg/sample.

Corrected mg/sample = Total weight/D.E.
10.5 The concentration of the analyte in the air sampled can be expressed in mg/cu m.

mg/cu m = Corrected mg (section 10.4) x 1,000
(liter/cu m)/air volume sampled (liter)
10.6 Another method of expressing concentration is ppm.

ppm = mg/cu x 24.45/M.W. x 760/P x T + 273/298
Where

P = Pressure (mm Hg) of air sampled.

T = Temperature (C) of air sampled.

24.45 = Molar volume (liter/mole) at 25o C and 760 mm Hg.

M.W. = Molecular weight (g/mole) of analyte.

760 = Standard pressure (mm Hg).

298 = Standard temperature (K).
11. References.
11.1 White, L. D. et al ., “A Convenient Optimized Method for the Analysis of Selected Solvent Vapors in the Industrial Atmosphere,” American Industrial Hygiene Association J., 31 :225 (1970).
11.2 Documentation of NIOSH Validation Tests, NIOSH Contract No. CDC-99-74-45.
11.3 Final Report, NIOSH Contract HSM-99-71-31, “Personal Sampler Pump for Charcoal Tubes,” September 15, 1972.

NIOSH Modification of NIOSH Method S-156
The NIOSH recommended method for low levels for acrylonitrile is a modification of method S-156. It differs in the following respects:
(1) Samples are desorbed using 1 ml of 1 percent acetone in CS2 rather than methanol.
(2) The analytical column and conditions are:
Column: 20 percent SP-1000 on 80/100 Supelcoport 10 feet x 1/8-inch S.S.
Conditions:
 Injector temperature: 200o C.
 Detector temperature: 100o C.
 Column temperature: 85o C.
 Helium flow: 25 ml/min.
 Air flow: 450 ml/min.
 Hydrogen flow: 55 ml/min.
(3) A 2 ml injection of the desorbed analyte is used.
(4) A sampling rate of 100 ml/min is recommended. 

OSHA Laboratory Modification of NIOSH
Method S-156
Analyte: Acrylonitrile.
Matrix: Air
Procedure: Adsorption on charcoal, desorption with methanol, GC
1. Principle of the Method (Reference 1)
1.1 A known volume of air is drawn through a charcoal tube to trap the organic vapors present.
1.2 The charcoal in the tube is transferred to a small, stoppered sample vial, and the analyte is desorbed with methanol.
1.3 An aliquot of the desorbed sample is injected into a gas chromatograph.
1.4 The area of the resulting peak is determined and compared with areas obtained for standards.
2. Advantages and disadvantages of the method.
2.1 The sampling device is small, portable, and involves no liquids. Interferences are minimal, and most of those which do occur can be eliminated by altering chromatographic conditions. The tubes are analyzed by means of a quick, instrumental method.
2.2 This method may not be adequate for the simultaneous analysis of two or more substances.
2.3 The amount of sample which can be taken is limited by the number of milligrams that the tube will hold before overloading. When the sample value obtained for the backup section of the charcoal tube exceeds 25 percent of that found on the front section, the possibility of sample loss exists.
2.4 The precision of the method is limited by the reproducibility of the pressure drop across the tubes. This drop will affect the flow rate and cause the volume to be imprecise, because the pump is usually calibrated for one tube only.
3. Apparatus.
3.1 A calibrated personal sampling pump whose flow can be determined within +5 percent at the recommended flow rate.
3.2 Charcoal tubes: Glass tube with both ends flame sealed, 7 cm long with a 6-mm O.D. and a 4-mm I.D. containing 2 sections of 20/40 mesh activated charcoal separated by a 2-mm portion of urethane foam. The activated charcoal is prepared from coconut shells and is fired at 600o C prior to packing. The adsorbing section contains 100 mg of charcoal, the back-up section 50 mg. A 3-mm portion of urethane foam is placed between the outlet end of the tube and the back-up section. A plug of silicated glass wool is placed in front of the adsorbing section. The pressure drop across the tube must be less than one inch of mercury at a flow rate of 1 liter per minute.
3.3 Gas chromatograph equipped with a nitrogen phosphorus detector.
3.4 Column (10-ft x 1/8-in stainless steel) packed with 100/120 Supelcoport coated with 10 percent SP 1000.
3.5 An electronic integrator or some other suitable method for measuring peak areas.
3.6 Two-milliliter sample vials with Teflon-lined caps.
3.7 Microliter syringes: 10-microliter, and other convenient sizes for making standards.
3.8 Pipets: 1.0-ml delivery pipets.
3.9 Volumetric flasks: convenient sizes for making standard solutions.
4. Reagents.
4.1 Chromatographic quality methanol.
4.2 Acrylonitrile, reagent grade.
4.3 Filtered compressed air.
4.4 Purified hydrogen.
4.5 Purified helium.
5. Procedure.
5.1 Cleaning of equipment. All glassware used for the laboratory analysis should be properly cleaned and free of organics which could interfere in the analysis.
5.2 Calibration of personal pumps. Each pump must be calibrated with a representative charcoal tube in the line.
5.3 Collection and shipping of samples.
5.3.1 Immediately before sampling, break the ends of the tube to provide an opening at least one-half the internal diameter of the tube (2 mm).
5.3.2 The smaller section of the charcoal is used as the backup and should be placed nearest the sampling pump.
5.3.3 The charcoal should be placed in a vertical position during sampling to minimize channeling through the charcoal.
5.3.4 Air being sampled should not be passed through any hose or tubing before entering the charcoal tube.
5.3.5 A sample size of 20 liters is recommended. Sample at a flow rate of approximately 0.2 liters per minute. The flow rate should be known with an accuracy of at least 1+5 percent.
5.3.6 The temperature and pressure of the atmosphere being sampled should be recorded.
5.3.7 The charcoal tubes should be capped with the supplied plastic caps immediately after sampling. Rubber caps should not be used.
5.3.8 Submit at least one blank tube (a charcoal tube subjected to the same handling procedures, without having any air drawn through it) with each set of samples.
5.3.9 Take necessary shipping and packing precautions to minimize breakage of samples.
5.4 Analysis of samples.
5.4.1 Preparation of samples. In preparation for analysis, each charcoal tube is scored with a file in front of the first section of charcoal and broken open. The glass wool is removed and discarded. The charcoal in the first (larger) section is transferred to a 2-ml vial. The separating section of foam is removed and discarded; the second section is transferred to another capped vial. These two sections are analyzed separately. 
5.4.2 Desorption of samples. Prior to analysis, 1.0 ml of methanol is pipetted into each sample container. Desorption should be done for 30 minutes in an ultrasonic bath. The sample vials are recapped as soon as the solvent is added.
5.4.3 GC conditions. The typical operating conditions for the gas chromatograph are:
1. 30 ml/min (60 psig) helium carrier gas flow.
2. 3.0 ml/min (30 psig) hydrogen gas flow to detector.
3. 50 ml/min (60 psig) air flow to detector.
4. 200o C injector temperature.
5. 200o C dejector temperature.
6. 100o C column temperature.
5.4.4 Injection. Solvent flush technique or equivalent.
5.4.5 Measurement of area. The area of the sample peak is measured by an electronic integrator or some other suitable form of area measurement, and preliminary results are read from a standard curve prepared as discussed below.
5.5 Determination of desorption efficiency.
5.5.1 Importance of determination. The desorption efficiency of a particular compound can vary from one laboratory to another and also from one batch of charcoal to another. Thus, it is necessary to determine, at least once, the percentage of the specific compound that is removed in the desorption process, provided the same batch of charcoal is used.
5.5.2 Procedure for determining desorption efficiency. The reference portion of the charcoal tube is removed. To the remaining portion, amounts representing 0.5X, 1X, and 2X (X represents TLV) based on a 20 1 air sample are injected onto several tubes at each level. Dilutions of acrylonitrile with methanol are made to allow injection of measurable quantities. These tubes are then allowed to equilibrate at least overnight. Following equilibration they are analyzed following the same procedure as the samples. A curve of the desorption efficiency (amt. recovered/amt added) is plotted versus amount of analyte found. This curve is used to correct for adsorption losses.
6. Calibration and standards. A series of standards, varying in concentration over the range of interest, is prepared and analyzed under the same GC conditions and during the same time period as the unknown samples. Curves are prepared by plotting concentration versus peak area.
Note: Since no internal standard is used in the method, standard solutions must be analyzed at the same time that the sample analysis is done. This will minimize the effect of known day-to-day variations and variations during the same day of the NPD response. Multiple injections are necessary.
7. Calculations. Read the weight, corresponding to each peak area from the standard curve, correct for the blank, correct for the desorption efficiency, and make necessary air volume corrections.
HISTORY

1. Editorial correction moving Note and Histories 1-6 to precede Appendix A of section 5213 (Register 99, No. 28). For prior history of Appendices, see section 5213.
§5214. Inorganic Arsenic.
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for the control of employee exposure to inorganic arsenic.
(2) This section applies to the manufacture, reaction, release, packaging, repackaging, storage, handling, disposal or other use of inorganic arsenic except as otherwise provided by this subsection. This section applies to the transportation of inorganic arsenic except to the extent that the California Highway Patrol may regulate the hazards covered by this section.
(3) This section does not apply to the use of inorganic arsenic registered with the California Department of Food and Agriculture where such use occurs in:
(A) Pesticide application in agriculture, or
(B) Distribution, sale and use of ant control devices.
(4) This section applies to the manufacture and use of wood preservatives containing inorganic arsenic but does not apply to the utilization of arsenically preserved wood.
(5) This section does not apply to the utilization of electronic products or components which contain inorganic arsenic encapsulated or bound within the product in such a manner as to make unlikely the possibility of exposure to airborne inorganic arsenic.
(6) This section does not apply to the storage, transshipment, distribution, or sale of inorganic arsenic in intact, sealed containers except that the requirements for notification of use and incidents (Section 5214(d)), procedures for the effective cleanup of spills and leaks (Section 5214(j)), and signs and labels (Section 5214(l)) shall apply.
(7) The requirements of this section are subject to the provisions of the Occupational Carcinogens Control Act of 1976 (Labor Code, Division 5, Part 10).
(b) Definitions.
Action level. An 8-hour time-weighted average concentration of 0.005 milligrams of inorganic arsenic per cubic meter of air (0.005 mg/m3, which is equal to 5 micrograms of inorganic arsenic per cubic meter of air, or 5mg/m3).
Authorized person. Any employee or other person specifically authorized by the employer whose duties require access to a regulated area, including any employee or employee representative designated to observe the performance of monitoring and measuring procedures pursuant to Title 8, Section 340.1, California Administrative Code.
Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, California 94142.
Director. The Director, National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
Incident. Any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment resulting in the unexpected release of inorganic arsenic into an area where employees, unprotected by appropriate respirators, clothing or equipment in accordance with Sections 5214(h)(2)(A) or 5214(i), are exposed to concentrations in excess of 1.0 milligrams per cubic meter of air or are subjected to direct skin or eye contact with arsenic trichloride, tribromide, or trifluoride.
Inorganic arsenic. Elemental arsenic and all of its inorganic compounds, including copper acetoarsenite (Paris Green), with the exception of arsine. For the purposes and requirements of this section, any substance of a total inorganic arsenic content of 0.02 percent or less, by weight, is excluded from this definition.
Qualitative fit testing. A procedure which tests for leakage at the juncture of the respirator facepiece and the wearer's face by determining whether or not the odor or taste of a test agent is detectable by the respirator wearer while exposed to a test atmosphere.
Quantitative fit testing. A procedure using instrumentation which measures the concentration of a test agent inside a respirator while worn in a test atmosphere of known concentration; the ratio of the concentration of the agent in the test atmosphere to its concentration inside the respirator provides a numerical value (the fit factor) indicative of the degree of protection afforded the wearer by the respirator under the test conditions.
(c) Permissible Exposure Limit. During a work day, no employee shall be exposed to airborne inorganic arsenic in excess of an 8-hour time-weighted average concentration of 0.01 milligrams (as arsenic) per cubic meter of air.
(d) Registration of Use and Reporting of Incidents. See section 5203.
(e) Exposure Monitoring.
(1) General.
(A) A determination of the concentration of airborne inorganic arsenic to which each employee is exposed on an 8-hour time-weighted average basis shall be made from air samples that are representative of the employee's exposure without regard to the employee's use of respiratory protective equipment.
(B) The employer shall collect full shift (for at least 7 continuous hours) personal samples including at least one sample for each shift for each job classification in each work area.
(2) Initial Monitoring. Each employer who has a workplace or work operation covered by this standard shall monitor each such workplace and work operation to accurately determine the concentration of airborne inorganic arsenic to which employees may be exposed.
(3) Frequency.
(A) If the determination conducted pursuant to Section 5214(e)(2) reveals an employee's exposure to be in excess of the permissible exposure limit, monitoring shall be repeated at least quarterly until two consecutive measurements, taken at least seven days apart, demonstrate that such employee's exposure no longer exceeds the permissible limit.
(B) Whenever an employee's exposure is demonstrated to be at the permissible exposure limit, or below the permissible exposure limit but at or above the action level, pursuant to determinations conducted in conformance with Section 5214(e)(2) or (e)(3)(A), monitoring of the employee's exposure shall be repeated at 6-month intervals, as a minimum, thereafter. Such measurements shall be continued until two consecutive determinations, taken at least seven days apart, are below the action level and thereafter monitoring may be discontinued except as required by Section 5214(e)(4).
(C) Whenever an employee's exposure is demonstrated to be below the action level upon initial monitoring, by at least two consecutive determinations, taken at least seven days apart in accordance with Section 5214(e)(2), no further monitoring is required except as required by Section 5214(e)(4).
(4) Additional Monitoring. Whenever there has been a personnel, production, process, control, or other change which may result in new or increased exposure to inorganic arsenic, additional monitoring which complies with this subsection shall be conducted for all potentially affected employees within 30 days of any such change.
(5) Employee Notification.
(A) Within five working days from the receipt of monitoring results, each employee shall be notified in writing of the results which represent that employee's exposure.
(B) Whenever the monitoring results representative of an employee's exposure indicate that the employee's exposure was in excess of the permissible limit, the written notice shall include a statement that the permissible limit was exceeded and shall include a description of the corrective action being taken to reduce the employee's exposure to or below the permissible exposure limit.
(6) Accuracy of Measurement.
(A) A method of monitoring and measurement shall be used which has an accuracy (with a confidence level of 95 percent) to within plus or minus 25 percent for concentrations of airborne inorganic arsenic, as arsenic, equal to or greater than the time-weighted average permissible exposure limit.
(B) The employer shall use a method of monitoring and measurement which has an accuracy (with a confidence level of 95 percent) of not less than plus or minus 35 percent for concentrations of airborne inorganic arsenic greater than 0.005 milligrams per cubic meter of air but less than 0.01 milligrams per cubic meter of air.
(f) Regulated Areas.
(1) Regulated areas shall be established where employee exposures to airborne inorganic arsenic, without regard to the use of respirators, are in excess of the permissible exposure limit.
(2) Regulated areas shall be demarcated and segregated from the rest of the workplace in any manner that minimizes the number of persons potentially exposed to inorganic arsenic. The posting of regulated areas shall be in conformance with Section 5214(1)(2)(A) of this standard.
(3) Access to regulated areas shall be restricted to authorized persons or to other persons authorized under the provisions of Labor Code Section 6314(a).
(4) All persons entering a regulated area shall be provided with a respirator selected in accordance with Section 5214(h).
(g) Compliance.
(1) Methods.
(A) Employee exposure to airborne inorganic arsenic shall be controlled at or below the permissible limit solely by means of engineering and work practice controls except to the extent that such controls are not feasible. Where engineering and work practice controls are not sufficient to reduce exposure to or below the permissible exposure limit, they shall nonetheless be used to reduce exposures to the lowest levels achievable by such controls.
(B) Whenever engineering and work practice controls which can be instituted in accordance with Section 5214(g)(1)(A) do not reduce and maintain employee exposures to or below the permissible limit, respiratory protective equipment, in conformance with Section 5214(h), shall be utilized to effectively control exposures within the permissible limit.
Note: Employee rotation or other administrative controls are not required before respiratory protection is instituted.
(C) Employee protection against exposure to eye or skin contact with inorganic arsenic shall be provided by engineering and work practice controls and, in accordance with Section 5214(i), by personal protective clothing and equipment.
(2) Written Program.
(A) The employer shall establish and implement a written program to limit exposure to or below the permissible exposure limit by means of engineering and work practice controls.
(B) Written plans for these compliance programs shall include at least the following:
1. A description of each operation in which inorganic arsenic is emitted; e.g. machinery used, material processed, controls in place, crew size, operating procedures and maintenance practices;
2. Engineering plans and studies used to determine methods selected for controlling exposure to inorganic arsenic;
3. A report of the technology considered in meeting the permissible exposure limit;
4. Monitoring data;
5. A detailed schedule for implementation of the engineering controls and work practices that cannot be implemented immediately and for the adaptation and implementation of any additional engineering and work practices necessary to meet the permissible exposure limit; and
6. Other relevant information.
(C) The plan required by this paragraph shall be revised and updated at least every six months to reflect the current status of the program.
(D) Written plans required by this paragraph shall be submitted to the Chief upon the request of authorized representatives of the Division of Occupational Safety and Health and shall be available at the workplace for examination and copying by such authorized representatives or by any affected employee or employee representative.
(h) Respiratory Protection.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering or work practice controls;
(B) Work operations in which the employer establishes that engineering and work practice controls are not feasible;
(C) Work operations for which engineering controls and supplemental work practice controls are not yet sufficient to reduce exposures to or below the permissible exposure limit; 
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(B) If an employee exhibits breathing difficulty during fit testing or respirator use, they must be examined by a physician trained in pulmonary medicine to determine whether they can use a respirator while performing the required duty.
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) Where employee exposures exceed the permissible exposure limit for inorganic arsenic and also exceed the relevant limit for particular gases, such as sulfur dioxide, any air purifying respirator supplied to the employee as permitted by this standard must have a combination high efficiency filter with an appropriate gas sorbent.
(C) The employer shall provide a powered, air purifying respirator in lieu of the respirator specified in Section 5214(h)(3)(A) whenever:
1. An employee chooses to use this type of respirator; and
2. This respirator will provide adequate protection to the employee.
(D) Employers shall ensure that employees do not use half mask respirators for protection against arsenic trichloride because it is absorbed rapidly through the skin.
(E) Employers shall provide HEPA filters for powered and non-powered air-purifying respirators.
(F) The employer shall select and provide one of the following respirators for protection against arsenic trichloride (and all compounds with significant vapor pressure) concentrations not greater than 0.5 milligrams per cubic meter;
1. Gas mask, front or back mounted, equipped with high efficiency filter, acid gas canister, and full facepiece;
2. Any supplied-air respirator with full facepiece;
3. Any self-contained breathing apparatus with full facepiece.
(i) Protective Clothing and Equipment.
(1) Provision and Use. Where the possibility of skin or eye irritation from inorganic arsenic exists and for all workers working in regulated areas, the employer shall provide at no cost to the employee, and require that employees use appropriate and clean protective work clothing and equipment such as, but not limited to:
(A) Coveralls or similar full-body work clothing;
(B) Gloves, and shoes or shoe coverlets;
(C) Eye protection, when necessary to prevent eye irritation, which complies with the requirements of Article 10; and
(D) Impervious clothing for employees subject to exposure to arsenic trichloride.
(2) Cleaning and Replacement.
(A) Protective clothing and equipment shall be cleaned, laundered, repaired, replaced, or disposed of in a manner which complies with all applicable provisions of this Order.
(B) Any person not under the control of the employer to whom inorganic arsenic-contaminated clothing and equipment is consigned for cleaning, laundering, disposal or other purpose shall be informed in writing by the employer of the provisions of this Order and of the potentially harmful effects, including carcinogenic effects, of exposure to inorganic arsenic.
(C) The employer shall provide the protective clothing required in Section 5214(i)(1), in a freshly laundered and dry condition at least weekly, and daily if the employee works in areas where exposures are over 0.1 milligrams of inorganic arsenic per cubic meter of air or in areas where more frequent laundering is needed to prevent skin irritation.
(D) The employer shall repair or replace the protective clothing and equipment as needed to maintain their effectiveness.
(E) The employer shall require that protective clothing and equipment be removed in change rooms provided in accordance with Section 5214(k)(3) and always at the end of the working day except under conditions which would place the employee at greater risk such as during an emergency situation.
(F) The employer shall require that inorganic arsenic-contaminated clothing and equipment or such items of clothing and equipment which are to be replaced in accordance with Section 5214(i)(2)(C) be immediately placed, upon removal, in impermeable bags or containers which shall be securely sealed or closed, and labeled in accordance with Section 5214(l)(3) before removal from the change room.
(G) Where inorganic arsenic compounds with significant vapor pressure such as arsenic trichloride are used, the employer shall develop a procedure prescribing appropriate emergency action for the removal and disposition of contaminated protective clothing and/or equipment.
(H) The employer shall prohibit the removal of inorganic arsenic from protective clothing or equipment by shaking or by the use of compressed air or other gases.
(j) Housekeeping. 
(1) Procedures shall be established and implemented for the prompt and effective cleanup of inorganic arsenic spills and leaks and for the maintenance of all accessible working surfaces such as floors, bench tops, and hand rails as free as practicable of accumulations of inorganic arsenic. Methods used shall minimize the reentry of inorganic arsenic into the workplace.
(2) Floors and other accessible surfaces contaminated with inorganic arsenic may not be cleaned by the use of compressed air, and shoveling and brushing may be used only where vacuuming or other relevant methods have been tried and found not to be effective.
(3) Where cleaning is performed by vacuuming methods, a high efficiency internal filter (99.97 percent efficiency against 0.3 micrometer monodisperse di(2-ethylhexyl)phthalate (DOP)particles) or other appropriate means shall be utilized for removal of inorganic arsenic from all air exhausted by the vacuum system or device.
(4) Where a portable vacuum cleaning device is utilized, it shall be labeled in accordance with Section 5214(l)(3).
(5) A written housekeeping and maintenance plan shall be kept which shall list appropriate frequencies for carrying out housekeeping operations, and for cleaning and maintaining ventilation and dust collection equipment. The plan shall be available for inspection by authorized representatives of the Chief.
(6) Periodic cleaning of dust collection and ventilation equipment and checks of their effectiveness shall be carried out to maintain the effectiveness of the system. Design, construction, operation, maintenance, testing, and record keeping for ventilation and dust collection systems shall comply with section 5143.
(7) Inorganic arsenic waste, scrap, debris, bags, containers, or equipment shall be disposed of in sealed and labeled bags or other closed and labeled containers which prevent dispersion of inorganic arsenic outside the container.
(k) Hygiene Facilities and Practices.
(1) Employees who work in a regulated area or who are otherwise subject to possible direct contact with inorganic arsenic shall be required to routinely exercise the following practices.
(A) To wash their hands and face before eating.
(B) To shower at the completion of the work shift and always before changing into street clothes.
(2) The storage and consumption of food or beverages; the storage, smoking, or chewing of tobacco products or other products for smoking or chewing; and the storage and application of cosmetics are prohibited in regulated areas. Drinking fountains are permitted in regulated areas.
(3) Change rooms and shower facilities shall be provided for the use of employees working in a regulated area or who are otherwise required to shower or use personal protective clothing and equipment in accordance with this Order.
(A) Change rooms shall conform with Section 3367.
(B) Shower facilities shall conform with Section 3366(f).
(4) The employer shall provide for employees working in regulated areas, lunchroom facilities which have a temperature controlled, positive pressure, filtered air supply, and which are readily accessible to employees working in regulated areas.
(5) The employer shall provide facilities for employees working in areas where exposure, without regard to the use of respirators, exceeds 0.1 milligrams of inorganic arsenic per cubic meter of air to vacuum their protective clothing and clean or change shoes worn in such areas before entering change rooms, lunchrooms or shower rooms required by this subsection and shall assure that employees use such facilities.

Exception: Workplaces where inorganic arsenic is restricted to compounds with significant vapor pressure such as arsenic trichloride.
(6) The employer shall assure that no employee is exposed to skin or eye contact with arsenic trichloride, or to skin or eye contact with liquid or particulate inorganic arsenic which is likely to cause skin or eye irritation.
(l) Signs and Labels.
(1) General.
(A) Labels or signs required by other regulations or statutes may be used in addition to, or in combination with, signs or labels required by this subsection.
(B) No statement shall appear on or near any sign, label, or instruction required by this subsection which contradicts or detracts from the effect of any required warning, information, or instruction.
(2) Signs.
(A) All entrances or approaches to a regulated area shall be posted with a sign bearing the following legend:

DANGER
(INSERT APPLICABLE CHEMICAL NAME)
CANCER HAZARD
AUTHORIZED PERSONNEL ONLY
NO SMOKING OR EATING
RESPIRATOR REQUIRED
(B) The applicable provisions of Section 3340 shall govern the design of caution and danger signs required by this section.
(C) The employer shall assure that signs required by this section are illuminated and cleaned as necessary so that the legend is readily visible.
(3) Labels.
(A) Precautionary labels shall be prominently affixed to containers of raw materials, intermediates, products, byproducts, mixtures, scrap, waste, debris, contaminated clothing and any other material containing inorganic arsenic and the labels shall remain affixed whenever any such products or materials are sold, consigned, or distributed or otherwise leave a place of employment.

Exception: When the inorganic arsenic is encapsulated or bound within the product in such a manner as to make unlikely the possibility of exposure to airborne inorganic arsenic. Examples include semiconductors, light emitting diodes, and glass.
(B) Labels required by this paragraph shall be legible and understandable and shall bear the following legend:

DANGER
CONTAINS INORGANIC ARSENIC
CANCER HAZARD
HARMFUL IF INHALED OR
SWALLOWED
USE ONLY WITH ADEQUATE 
VENTILATION
OR RESPIRATORY PROTECTION
(C) The label warning, CANCER HAZARD, required by Subsection 5214(1)(3)(B) shall be at least one-half the height of the largest other lettering on the container or product and not less than 8-point type in any instance. 
NOTE

Authority cited: Labor Code Section 142.3. Reference: Health and Safety Code 24230.
(m) Employee Information and Training.
(1) Training Program. A training program shall be instituted for all employees who may be exposed to inorganic arsenic above the action level without regard to respirator use or for whom there is the possibility of skin or eye irritation from inorganic arsenic. The employer shall require that those employees participate in the training program.
(A) The training program shall be provided at the time of an employee's initial assignment and at least annually thereafter.
(B) The program shall include, as a minimum, the following information, instruction, and training in language which all affected employees can understand:
1. The information contained in Appendix A;
2. The quantity, location, manner of use, storage, sources of exposure, and the specific nature of operations which could result in exposure to inorganic arsenic as well as any necessary protective steps;
3. Work and hygienic practices to be followed to preclude exposure to inorganic arsenic;
4. The purpose, proper use, and limitations of respiratory protective equipment and protective clothing and equipment;
5. The purpose and a description of the medical surveillance program as required by Section 5214(n);
6. The engineering controls and work practices associated with the employee's job assignment; and
7. A review of this standard.
(2) Access to Training Materials.
(A) A copy of this standard and its appendices shall be made readily available to all affected employees.
(B) The employer shall provide, upon request, all materials relating to the employee information and training program to authorized representatives of the Chief.
(n) Medical Surveillance.
(1) General.
(A) The employer shall institute a medical surveillance program for the following employees:
1. All employees who are or will be exposed above the action level, without regard to the use of respirators, at least 30 days per year; and
2. All employees who have been exposed above the action level, without regard to respirator use, for 30 days or more per year for a total of 10 years or more of combined employment with the employer or predecessor employers prior to or after the effective date of this standard. The determination of exposures prior to the effective date of this standard shall be based upon prior exposure records, comparison with the first measurements taken after the effective date of this standard, or comparison with records of exposures in areas with similar processes, extent of engineering controls utilized and materials used by that employer.
(B) The employer shall obtain the services of a licensed physician familiar with the occupational hazards of inorganic arsenic to perform or supervise all medical examinations and procedures required by this subsection.
(C) The employer shall provide all medical examinations and procedures without cost to the employee, without loss of pay and at a reasonable time and place.
(2) Initial Examinations. At the time of initial assignment to an area where the employee is likely to be exposed over the action level at least 30 days per year, the employer shall provide each affected employee an opportunity for a medical examination, including at least the following elements:
(A) A work and comprehensive medical history, including smoking history;
(B) A physical examination with special attention to skin, nose, respiratory tract, lymph nodes, nervous system, and liver;
(C) Posterior-anterior chest X-ray (14-inch x 17-inch);
(D) A sputum cytology examination and 
(E) Other examinations which the physician believes appropriate because of the employee's exposure to inorganic arsenic or because of required respirator use.
(3) Periodic Examinations.
(A) The employer shall provide each affected employee under 45 years of age with fewer than 10 years of exposure over the action level, without regard to respirator use, an opportunity for an annual medical examination, including the following elements:
1. Interim work and medical history, including smoking history;
2. Interim physical examination; and
3. Other examinations which the physician believes appropriate because of the employee's exposure to inorganic arsenic or because of required respirator use.
(B) The employer shall provide each affected employee either 45 years of age or older or with 10 or more years of exposure over the action level, without regard to respirator use, with an opportunity for a semi-annual medical examination, including a sputum cytology examination in addition to the elements prescribed by Section 5214(n)(3)(A).
(C) Whenever an affected employee has not taken the applicable medical examination prescribed by Section 5214(n)(3)(A) or (n)(3)(B) within six (6) months preceding the termination of employment, the employer shall provide an opportunity for such examination upon termination of employment.
(4) Additional Examinations. Whenever signs or symptoms of health problems arise which the employee believes to be related to occupational exposure to inorganic arsenic, the employer shall provide the employee an opportunity for medical consultation from the physician.
(5) Physician's Written Report.
(A) The employer shall obtain from the physician a written report interpreting the results, insofar as they concern occupational hazards, of each medical examination and providing recommendations, if appropriate, of action to be taken by the employer for the protection of the employee's health.
(B) The employer shall instruct the physician not to reveal in the written opinion specific findings or diagnoses unrelated to occupational exposure.
(C) The physician's written report shall include a statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further explanation or treatment.
(D) The employer shall provide a copy of the physician's written report to the affected employee.
(6) Information Provided to the Physician. The employer shall make the following information available to the physician prior to the conduct of any medical examination required by this subsection.
(A) A copy of this standard and its appendices.
(B) A description of the employee's duties as they relate to exposure to inorganic arsenic.
(C) For candidates for employment or new employees, a statement of the anticipated or estimated 8-hour, time-weighted average concentration of airborne inorganic arsenic which the employee will experience.
(D) For currently employed workers, a statement of the employee's representative level of exposure to airborne inorganic arsenic, as determined in accordance with Section 5214(e), resulting from usual and/or periodic work assignment and a statement of the employee's length of service in operations subject to known or probable exposure to inorganic arsenic.
(E) A description of respiratory protective equipment and other protective equipment and clothing used or anticipated to be used by the employee and a statement of the conditions and prevalence of such usage.
(F) Information from previous medical examinations of the affected employe which is not readily available to the examining physician.
(G) Any other information related to the employee's work involving inorganic arsenic which the employer may consider pertinent to the medical examination.
(o) Recordkeeping.
(1) Exposure Monitoring. The employer shall establish and maintain a record of all monitoring required by Section 5214(e).
(A) This record shall include:
1. The dates, number, duration, location, and results of each of the samples taken, including a description of the sampling procedure used to determine representative employee exposure;
2. A description of the sampling and analytical methods used and evidence of their accuracy; 
3. The type of respiratory protective devices worn, if any;
4. Name, social security number, and job classification of employee(s) monitored and of all other employees whose exposure the measurement is intended to represent; and
5. The environmental variables that could affect the measurement of the employees exposure.
(B) The employer shall maintain these monitoring records for at least 40 years or for the duration of employment plus 20 years, whichever is longer.
(2) Physician's Written Reports.
(A) The employer shall establish and maintain an accurate record of the physician's written reports obtained in accordance with Section 5214(n)(5) for each affected employee. The record shall include the name and social security number of the employee and the following:
1. Results of any exposure monitoring done for that employee and the representative exposure levels supplied to the physician; and
2. Any employee medical complaints related to exposure to inorganic arsenic.
(B) This record shall be maintained for at least 40 years or for the duration of employment plus 20 years, whichever is longer.
(3) Medical Records.
(A) The employer shall keep, or assure that the examining physician keeps, the following medical records:
1. A copy of the medical examination results including medical and work history required under Section 5214(n);
2. A description of the laboratory procedures and a copy of any standards or guidelines used to interpret the test results or references to that information;
3. The initial X-ray and any subsequent X-rays;
4. The initial cytologic examination slide and written description;
5. The cytologic examination slide and written description for the most recent 5 years; and
6. Any cytologic examination slides with demonstrated atypia, if such atypia persists for 3 years, and all subsequent slides and written descriptions.
(B) The employer shall maintain or assure that the physician maintains those medical records for at least 40 years or for the duration of employment plus 20 years, whichever is longer.
(4) Availability.
(A) The employer shall make available upon request all records required to be maintained by this section to authorized representatives of the Chief and the Director for examination and copying.
(B) Records required by this section shall be provided upon request to employees, designated representatives, and authorized representatives of the Chief in accordance with Section 3204.
(5) Transfer of Recordkeeping.
(A) Whenever an employer ceases to do business, all applicable records maintained under the requirements of this section shall be transferred to the successor employer for their continued maintenance.
(B) If an employer ceases to do business and there is no successor employer, the record(s) shall be transmitted to the Director.
(C) At the expiration of the retention period for the records required to be maintained by this section, the employer shall notify the Director at least 3 months prior to the disposal of such records and shall transmit those records to the Director if he requests them within that period.
(D) The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(p) Observation of Monitoring.
(1) Employee observation. The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to inorganic arsenic conducted pursuant to Section 5214(e).
(2) Observation procedures.
(A) Whenever observation of the monitoring of employee exposure to inorganic arsenic requires entry into an area where the use of respirators, protective clothing, or equipment is required, the employer shall provide the observers with and assure the use of such respirators, clothing, and such equipment, and shall require the observers to comply with all other applicable safety and health procedures.
(B) Without interfering with the monitoring, observers shall be entitled to:
(1) Receive an explanation of the measurement procedures;
(2) Observe all steps related to the monitoring of inorganic arsenic performed at the place of exposure; and
(3) Record the results obtained or receive copies of the results when returned by the laboratory.
(q) Appendices. The information contained in the appendices to this standard is not intended, by itself, to create any additional obligations not otherwise imposed by the standard or to detract from any such obligation.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. Renumbering of Section 5214 to Section 5185 filed 5-3-78 as procedural and organizational; effective upon filing (Register 78, No. 18). For history of former Section 5214, see Register 77, No. 41.
2. New section filed 3-19-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment of subsection (a)(3) filed 9-15-80; effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment of subsection (o) and Appendix A (VIII) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
5. Amendment of subsections (a)(6), (a)(7), (b), (d)(1)(C), (e)(2), (h) and (n)(5)(A) filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
6. Editorial correction of subsection (b) filed 3-3-83 (Register 83, No. 10).
7. Amendment filed 10-29-87; operative 11-28-87 (Register 87, No. 44).
8. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
9. Amendment of subsections (l)(2)(B)-(C) filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
10. Amendment of former subsections (h)(1)-(h)(3)(C)2. including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3)(C)2. filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
11. Editorial correction moving Note and Histories 1-10 from following Appendix C to preceding Appendix A (Register 99, No. 28).
12. Amendment of subsection (d), repealer of subsections (d)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
13. Amendment of subsections (h)(3)(A), (i)(1)(C) and (j)(5)-(6) and amendment of section III. of Appendix A filed 5-27-2003; operative 6-26-2003 (Register 2003, No. 22).
14. Amendment of subsection (h)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
15. Editorial correction amending subsection (b) (Register 2004, No. 10).
16. Amendment of subsection (h)(3)(A) and new subsections (h)(3)(D)-(h)(3)(F)3. filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Inorganic Arsenic Substance Information Sheet
I. SUBSTANCE IDENTIFICATION
A. Substance. Inorganic Arsenic.
B. Definition. Copper acetoarsenite, arsenic and all inorganic compounds containing arsenic except arsine, measured as arsenic (As).
C. Permissible Exposure Limit. 0.01 milligrams per cubic meter of air (same as 10 micrograms per cubic meter of air) as determined as an average over an 8-hour period. No employee may be exposed to any skin or eye contact with arsenic trichloride or to skin or eye contact likely to cause skin or eye irritation.
D. Action Level. 0.005 milligrams per cubic meter of air (same as 5 micrograms per cubic meter of air) determined as an average over an 8-hour period.
E. Regulated Areas. Only employees authorized by your employer should enter a regulated area.
II. HEALTH HAZARD DATA
A. Comments. The health hazard of inorganic arsenic is high.
B. Ways In Which Inorganic Arsenic Affects Your Body. Exposure to airborne inorganic arsenic may cause lung cancer, and it can be a skin irritant. Inorganic arsenic may also affect your body if swallowed. One compound in particular, arsenic trichloride, is especially dangerous because it is highly corrosive and it can be absorbed readily through the skin. Because inorganic arsenic is a poison, you should wash your hands thoroughly prior to eating or smoking.
III. PROTECTIVE CLOTHING AND EQUIPMENT
A. Respirators. Respirators will be provided by your employer at no cost to you for routine use if your employer is in the process of implementing engineering and work practice controls or where engineering and work practice controls are not feasible or insufficient. You must wear respirators for non-routine activities or in emergency situations where you are likely to be exposed to levels of inorganic arsenic in excess of the permissible exposure limit. Since how well your respirator fits your face is very important, your employer is required to conduct fit tests to make sure the respirator seals properly when you wear it. These tests are simple and rapid and will be explained to you during training sessions.
B. Protective clothing. If you work in a regulated area, your employer is required to provide at no cost to you, and you must wear, appropriate, clean, protective clothing and equipment. The purpose of this equipment is to prevent you from bringing to your home arsenic-contaminated dust and to protect your body from repeated skin contact with inorganic arsenic likely to cause skin irritation. This clothing should include such items as coveralls or similar full-body clothing, gloves, shoes or coverlets, and aprons. Eye protection, such as indirectly vented goggles, may be required to prevent eye injuries.
IV. HYGIENE FACILITIES AND PRACTICES
You must not eat, drink, smoke, chew gum or tobacco, or apply cosmetics in the regulated area, except that drinking water is permitted. If you work in a regulated area your employer is required to provide lunch rooms and other areas for these purposes.
If you work in a regulated area, your employer is required to provide showers, washing facilities, and change rooms. You must wash your face and hands before eating and must shower at the end of the work shift. Do not take used protective clothing out of change rooms without your employer's permission. Your employer is required to provide for laundering or cleaning of your protective clothing.
V. SIGNS AND LABELS
Your employer is required to post warning signs and labels for your protection. Signs must be posted in regulated areas. The signs must warn that a cancer hazard is present, that only authorized employees may enter the area, and that no smoking or eating is allowed, and that respirators must be worn.
VI. MEDICAL EXAMINATIONS
If your exposure to arsenic is over the action level at least 30 days per year, or your have been exposed to arsenic for more than 10 years over the action level, your employer is required to provide you with a medical examination. The examination shall be every 6 months for employees over 45 years old or with more than 10 years exposure over the action level and annually for other covered employees. The initial medical examination must include a medical history; a chest X-ray; skin examination; nasal examination and sputum cytology examination for the early detection of lung cancer. In subsequent medical examinations, the chest X-ray is not required unless recommended by the physician. The cytology exams are only included in the initial examination and examinations given after you are either 45 years or older or have 10 or more years employment over the action level. The examining physician will provide a written opinion to your employer interpreting the results of the medical exams. You should also receive a copy of this opinion. The physician must not tell your employer any conditions he or she detects unrelated to occupational exposure to arsenic but must tell you those conditions.
VII. OBSERVATION OF MONITORING
Your employer is required to monitor your exposure to arsenic and you or your representatives are entitled to observe the monitoring procedure. You are entitled to receive an explanation of the measurement procedure, and to record the results obtained. When the monitoring procedure is taking place in an area where respirators or personal protective clothing and equipment are required to be worn, you must also be provided with and must wear the protective clothing and equipment.
VIII. ACCESS TO RECORDS
You or your representative are entitled to records of your exposure to inorganic arsenic upon request to your employer. Your medical examination records can be furnished to you, your physician, or any other individual or organization that you designate if you request your employer to provide them.
IX. TRAINING AND NOTIFICATION
Additional information on all of these items plus training as to hazards of exposure to inorganic arsenic and the engineering and work practice controls associated with your job will also be provided by your employer. If you are exposed over the permissible exposure limit, your employer must inform you of that fact and the actions he or she is taking to reduce your exposures.

Appendix B

Substance Technical Guidelines
Arsenic, Arsenic Trioxide, Arsenic Trichloride
(Three Examples)
I. Physical and Chemical Properties
A. Arsenic (metal).
1. Formula: As.
2. Appearance: Gray metal.
3. Melting point: Sublimes without melting at 613oC.
4. Specific Gravity: (H2O = 1): 5.73.
5. Solubility in water: Insoluble.
B. Arsenic Trioxide.
1. Formula: As2O3 (As4O6).
2. Appearance: White powder.
3. Melting point: 315oC.
4. Specific Gravity (H2O = 1): 3.74.
5. Solubility in water: 3.7 grams in 100cc of water at 20o C.
C. Arsenic Trichloride (liquid).
1. Formula: AsCl3.
2. Appearance: Colorless or pale yellow liquid.
3. Melting point: -8.5o C.
4. Boiling point: 130.2o C.
5. Specific Gravity (H2O = 1): 2.16 at 20o C.
6. Vapor pressure: 10mm Hg at 23.5o C.
7. Solubility in Water: Decomposes in water.
II. Fire, Explosion and Reactivity Data.
A. Fire: Arsenic, Arsenic Trioxide and Arsenic Trichloride are nonflammable.
B. Reactivity:
1. Conditions Contributing to Instability: Heat.
2. Incompatibility: Hydrogen gas can react with inorganic arsenic to form the highly toxic gas arsine.
III. Monitoring and Measurement Procedures.
Samples collected should be full shift (at least 7-hour) samples. Sampling should be done using a personal sampling pump at a flow rate of 2 liters per minute. Samples should be collected on 0.8 micrometer pore size membrane filter (37mm diameter). Volatile arsenicals such as arsenic trichloride can be most easily collected in a midget bubbler filled with 15 ml of 0.1 N sodium hydroxide.
The method of sampling and analysis should have an accuracy of not less than plus or minus 25 percent (with a confidence limit of 95 percent) for 0.01 mg per cubic meter of air (10 mg/m3) and plus or minus 35 percent (with a confidence limit of 95 percent) for concentrations of inorganic arsenic between 0.005 and 0.01 mg/m3.

Appendix C

Medical Surveillance Guidelines
I. General
Medical examinations are to be provided for all employees exposed to levels of inorganic arsenic above the action level (0.005mg/m3) for at least 30 days per year (which would include, among others, all employees who work in regulated areas). Examinations are also to be provided to all employees who have had 10 years or more exposure above the action level for more than 30 days per year while working for the present or predecessor employer though they may no longer be exposed above the level.
An initial medical examination is to be provided to all such employees within 4 months of the effective date of the standard. In addition, an initial medical examination is to be provided to all employees who are first assigned to areas in which worker exposure will probably exceed 0.005mg/m3 at the time of initial assignment. In addition to its immediate-diagnostic usefulness, the initial examination will provide a baseline for comparing future test results. The initial examination must include as a minimum the following elements:
(1) A work and medical history, including a smoking history;
(2) A physical examination with special attention to skin, nose, respiratory tract, lymph nodes, nervous system, and liver;
(3) Posterior-anterior chest X-ray (14-inch x 17-inch);
(4) A sputum cytology examination; and
(5) Other examinations which the physician believes appropriate because of the employee's exposure to inorganic arsenic or because of required respirator use.
Periodic examinations are also to be provided to the employees listed above. The periodic examinations shall be given annually for those covered employees 45 years of age or less with fewer than 10 years employment in areas where employee exposure exceeds the action level (0.005mg/m3). Periodic examinations need not include sputum cytology and only an updated medical history is required.
Periodic examinations for other covered employees, shall be provided every six (6) months. These examinations shall include an updated medical history and all tests required in the initial examination, except for the chest X-ray, and that the medical history need only be updated.
The examination contents are minimum requirements. Additional tests such as pulmonary function tests may be useful.
II. Noncarcinogenic Effects
The standard is based on minimizing risk of exposed workers dying of lung cancer from exposure to inorganic arsenic. It will also minimize skin cancer from such exposure.
The following three sections quoted from “Occupational Diseases: A Guide to Their Recognition,” Revised Edition, June 1977, National Institute for Occupational Safety and Health is included to provide information on the nonneoplastic effects of exposure to inorganic arsenic. Such effects should not occur if the OSHA standards are followed.
A. Local--Trivalent arsenic compounds are corrosive to the skin. Brief contact has no effect but prolonged contact results in a local hyperemia and later vesicular or pustular eruption. The moist mucous membranes are most sensitive to the irritant action. Conjunctiva, moist ad macerated areas of skin, the eyelids, the angles of the ears, nose, mouth, and respiratory mucosa are also vulnerable to the irritant effects. The wrists are common sites of dermatitis, as are the genitalia if personal hygiene is poor. Perforations of the nasal septum may occur. Arsenic trioxide and pentoxide are capable of producing skin sensitization and contact dermatitis. Arsenic is also capable of producing keratoses, especially of the palms and soles.
B. Systemic--The acute toxic effects of arsenic are generally seen following ingestion of inorganic arsenical compounds. This rarely occurs in an industrial setting. Symptoms develop within 1/2 to 4 hours following ingestion and are usually characterized by constriction of the throat followed by dysphagia, epigastric pain, vomiting, and watery diarrhea. Blood may appear in vomitus and stools. If the amount ingested is sufficiently high, shock may develop due to severe fluid loss, and death may ensue in 24 hours. If the acute effects are survived, exfoliative dermatitis and peripheral neuritis may develop.
Cases of acute arsenical poisoning due to inhalation are exceedingly rare in industry. When it does occur, respiratory tract symptoms--cough, chest pain, dyspnea-giddiness, headache, and extreme general weakness precede gastrointestinal symptoms. The acute toxic symptoms of trivalent arsenical poisoning are due to severe inflammation of the mucous membranes and greatly increased permeability of the blood capillaries.
Chronic arsenical poisoning due to ingestion is rare and generally confined to patients taking prescribed medications. However, it can be a concomitant of inhaled inorganic arsenic, from swallowed sputum, and improper eating habits. Symptoms are weight loss, nausea and diarrhea alternating with constipation, pigmentation and eruption of the skin, loss of hair, and peripheral neuritis. Chronic hepatitis and cirrhosis have been described. Polyneuritis may be the salient feature, but more frequently there are numbness and parasthenias of “glove and stocking” distribution. The skin lesions are usually melanotic and keratotic and may occasionally take the form of an intradermal cancer of the squamous cell type, but without infiltrative properties. Horizontal white lines (striations) on the fingernails and toenails are commonly seen in chronic arsenical poisoning and are considered to be a diagnostic accompaniment of arsenical polyneuritis.
Inhalation of inorganic arsenic compounds is the most common cause of chronic poisoning in the industrial situation. This condition is divided into three phases based on signs and symptoms.
First Phase: The worker complains of weakness, loss of appetite, some nausea, occasional vomiting, a sense of heaviness in the stomach, and some diarrhea.
Second Phase: The worker complains of conjunctivitis, a catarrhal state of the mucous membranes of the nose, larynx, and respiratory passage. Coryza, hoarseness, and mild tracheobronchitis may occur. Perforation of the nasal septum is common, and is probably the most typical lesion of the upper respiratory tract in occupational exposure to arsenical dust. Skin lesions, eczematoid and allergic in type, are common.
Third Phase: The worker complains of symptoms of peripheral neuritis, initially of hands and feet, which is essentially sensory. In more severe cases, motor paralyses occur; the first muscles affected are usually the toe extensors and the peronei. In only the most severe cases will paralysis of flexor muscles of the feet or of the extensor muscles of hands occur.
Liver damage from chronic arsenical poisoning is still debated, and as yet the question is unanswered. In cases of chronic and acute arsenical poisoning, toxic effects to the myocardium have been reported based on EKG changes. These findings, however, are now largely discounted and the EKG changes are ascribed to electrolyte disturbances concomitant with arsenicalism. Inhalation of arsenic trioxide and other inorganic arsenical dusts does not give rise to radiological evidence or pneumoconiosis. Arsenic does have a depressant effect upon the bone marrow, with disturbances of both erythropoiesis and myelopoiesis.
III. SPUTUM CYTOLOGY
Sputum can be collected by aerosol inhalation during the medical exam or by spontaneous early morning cough at home. Sputum is induced by transoral inhalation of an aerosolized solution of eight per cent (8 percent) sodium chloride in water. After inhaling as few as three to five breaths the subject usually yields an adequate sputum. All sputum should be collected directly into sixty percent (60 percent) alcohol.
HISTORY

1. Editorial correction moving Note and Histories 1-10 to precede Appendix A of section 5214 (Register 99, No. 28). For prior history of Appendices, see section 5214.

Addendum to Section 5214 “Inorganic Arsenic”

Bibliography
Feldman, R.G., Niles, C.A., Kelly-Hayes, M. 1979. Peripheral neuropathy in arsenic smelter workers. Neurology 29:939-944.
Fowler, B.A., Ishiniski, N., Tsuchiya, K. 1979. Arsenic, in Handbook on the Toxicology of Metals. Friberg et al (Ed.). Elsevier, New York.
Haley, T.J. 1984. Arsenic. Dangerous Properties of Industrial Materials 4:9-17.
Hine, C.H., Pinto, S.S. and Nelson, K.W. 1977. Medical problems associated with arsenic exposure. J. Occup. Med. 19:391-396.
Landrigan, P.J. 1981. Arsenic - State of the art. Am. J. Indust. Med. 2:5-14.
Lauwerys, R.R. 1983. Arsenic, in Industrial Chemical Exposure: Guidelines for Biological Monitoring. Biomedical Publications, Davis, CA.
Leonard, A. and Lauwerys, R.R. 1980. Carcinogenicity, teratogenicity and mutagenicity of arsenic. Mut. Res. 75:49-62.
National Institute for Occupational Safety and Health. 1975. Occupational Exposure to Inorganic Arsenic. NIOSH/HEW 75-149.
National Research Council. 1977. Arsenic. National Academy of Sciences, Washington.
§5215. 4,4'-Methylenebis(2-Chloroaniline).
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for the control of employee exposure to 4,4'-methylenebis(2-chloroaniline), MBOCA, Chemical Abstracts Service Registry No. 101144.
(2) This section applies to the manufacture, packaging, repackaging, storage, handling and use of MBOCA, but does not apply to:
(A) Fabricated products; or
(B) The storage or transportation of MBOCA in sealed, unbroken containers except for labeling of containers under Section 5215(l)(4), reporting of use under Section 5215(n)(1) and preparation of emergency plan under Section 5215(h)(4).
(3) The requirements of this section are subject to the provisions of the Occupational Carcinogens Control Act of 1976 (Health and Safety Code, Division 20, Chapter 2).
(b) Definitions.
Authorized Person. Any person specifically authorized by the employer to handle or use MBOCA or to enter a controlled access area or any person entering such an area as a designated representative of employees for the purpose of exercising an opportunity to observe monitoring and measuring procedures.
Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
Controlled Access Area. An area where entry and exit are restricted and controlled for the purpose of limiting occupational exposure to MBOCA.
Engineering Controls. Methods of controlling occupational exposure to injurious materials or conditions by means of general or local exhaust ventilation, by process modification, or by isolation or enclosure of health hazard-producing operation or machinery. Engineering controls do not include employee personal protection.
Work Practice Controls. Methods of controlling occupational exposure to injurious materials or conditions by means of written procedures specifying handling, employee personal protection and personal hygiene.
Fabricated Products. Any elastomer or foam product processed so that the unreacted MBOCA is less than 1.0 percent by weight of polymer.
MBOCA. 4,4'-Methylenebis(2-chloroaniline), Chemical Abstracts Service Registry No. 101144. Appendix A contains other synonyms.
(c) Permissible Exposure Limit.
(1) Exposure to MBOCA shall be controlled such that no employee's urine contains more than 100 micrograms (mg) of MBOCA per liter of urine when the specific gravity of the urine is adjusted to 1.024.
(2) Where specific urine samples are not received as requested by the Chief or his authorized representatives:
(A) Employees shall not be exposed to an 8-hour time-weighted average concentration of MBOCA in excess of 10 mg (micrograms) per cubic meter of air, and
(B) Employees shall not be exposed to a ceiling concentration in excess of 50 mg per cubic meter of air during any 15-minute period, and
(C) Accessible surfaces which employees are likely to contact in controlled access areas or uncontrolled areas during their normal work shall not exceed 100 mg MBOCA per 100 cm2 of surface. For regulatory purposes, the average of at least five wipe samples shall be used; if one sample exceeds the mean by a factor of 10 or more, it will be rejected as not being representative.
(d) Monitoring.
(1) Within 30 days of the effective date of this standard, employers using more than one kilogram of MBOCA regardless of concentration, dilution or form, except frozen premix, in any 6-month period shall institute a program of monitoring of surface contamination and urine analysis.
(2) All authorized employees who enter a controlled access area shall have the urine analysis repeated quarterly. Samples are to be obtained near the end of the work shift.
(3)(A) Employees whose urinary levels of MBOCA exceed 100 m>/1 with specific gravity adjusted to 1.024 shall be tested at least monthly until 2 consecutive samples taken no less than 3 days apart have been reduced to below 100 mg/liter.
(B) No later than 6 months from the effective date of this standard, employees whose urinary levels of MBOCA exceed 100 mg/1 with specific gravity adjusted to 1.024 shall be tested at least monthly until 2 consecutive samples taken no less than 3 days apart have been reduced to below 30 m/liter.
(4) The method of monitoring and measurement shall be accurate and precise so that 95% of the determinations are within 25% of the true value at the exposure limit.
(5) Employees or their designated representatives shall be afforded reasonable opportunity to observe the monitoring and measuring required by this paragraph.
(6) Within 10 working days following any monitoring and measuring which discloses that any employee has been exposed in excess of the permissible exposure limit, each such employee shall be notified in writing of the numerical results of the monitoring.
(e) Controlled Access Area.
(1) All areas outside of controlled access areas shall be maintained so that MBOCA contamination of surfaces does not exceed 100 mg per 100 cm2.
(2) All equipment and materials removed from a controlled access area shall be decontaminated so that MBOCA does not exceed 100 mg per 100 cm2 of surface.
(3) Entry to controlled access areas shall be limited to authorized personnel and escorted visitors. A daily roster shall be made of persons who enter the controlled access area.
(4) Storage, consumption or use of food, beverages, cosmetics, smoking or chewing materials are prohibited in controlled access areas, except for foot-operated drinking fountains.
(f) Methods of Control.
(1) Employee exposures which exceed the limits specified in Section 5215(c) shall be prevented by engineering controls whenever feasible.
(2) Written plans, including timetables for attaining compliance with this section, shall be developed and furnished on request for examination and copying by the Chief or his authorized representative. Such plans shall be updated at least every six months until compliance is achieved and maintained to reflect current methods of control.
(g) Respiratory Protection.
(1) Respiratory protective equipment shall be provided in accordance with this subsection and Section 5144. Records of face fit tests shall be maintained.
(2) Appropriate selection, provision, and use of respiratory protective equipment shall be based on the following table.

RESPIRATORY PROTECTION FOR MBOCA

Concentration of Airborne
MBOCA	Respiratory Type
1. Not greater than 0.1 milligram	Air-purifying with high efficiency parti-
per cubic meter.	culate filter* and half-mask;

	Any supplied air respirator
	with half-mask.

2. Not greater than 0.5 milligrams	Air-purifying, with high efficiency particper cubic meter.	ulate filter* and full facepiece;

	Any supplied air respirator
	with full facepiece;

	Any self-contained breathing
	apparatus with full facepiece.

3. Not greater 10 milligrams	Powered air-purifying, with high effici-
per cubic meter	ency particulate filter*, half-mask, full
	facepiece, hood or helmet;

	Supplied air, operated in
	positive pressure mode, with
	half-mask.

4. Not greater than 20 milligrams	Supplied air, operated in .positive pressure per cubic meter	mode, with full facepiece, hood, helmet,
	or suit.

5. Firefighting and/or any high	Self-contained breathing apparatus with 
or potentially high concentration	full facepiece operated in pressure demand
 	mode;

	Combination breathing appar-
	atus: supplied-air, positive
	pressure, full facepiece
	respirator with auxiliary
	self-contained compressed air
	supply with sufficient service
	time for escape.

* High efficiency filter--99.97 percent efficiency against 0.3 micrometer monodisperse diethylhexyl phthalate (DOP) particles.
(3) Employee Options.
(A) Employees who wear respirators shall be allowed reasonable time to leave work areas to wash the face and respirator facepiece to prevent potential skin irritation associated with respirator use.
(B) Where air-purifying respirators are required for protection against MBOCA, the employee shall be permitted to change filter elements whenever an increase in breathing resistance is detected, a the employer shall maintain an adequate supply of filter elements for this purpose.
(C) Where compliance with this section requires employee use of an air-purifying respirator for a major portion of the work shift, the employer shall provide, at the option of each affected employee, a powered respirator within 120 days of the effective date of this order.
(h) Hazardous Operations and Emergencies.
(1) Employees engaged in hazardous operations, shall be provided with and required to use:
(A) Respiratory protection that is in accordance with Section 5215(g).
(B) Protective garments to prevent skin contact. The protective garments shall be selected for the operation and its possible exposure conditions.
(C) Eye and face protection where splash hazards from liquid or solution of MBOCA exist.
(2) Employees shall be decontaminated before removing protective garments.
(3) Protective garments shall be provided clean and dry for each use of the garments.
(4) A written operational plan for hazardous operations and emergency situations shall be developed for each facility manufacturing, processing, handling, packaging, repackaging, releasing, storing, selling, transferring, transporting, disposing, or using MBOCA. Appropriate portions of the plan shall be implemented in the event of an emergency. The plan shall specifically provide that:
(A) Employees engaged in hazardous operations or correcting situations of existing hazardous spills shall be equipped as required in this paragraph.
(B) Other employees not so equipped shall evacuate the area and not return until conditions are controlled by methods required in Section 5215(f) and the emergency is abated.
(C) Areas containing hazardous operations, or where the emergency currently exists, shall be posted in accordance with Section 5215(l)(2).
(D) Reports shall be made as required by Section 5215(n)(2).
(E) An employee with a known contact with MBOCA shall be required to shower and wash hair as soon as possible, unless prevented by physical injuries, and shall be given the option to provide a urine specimen for analysis of MBOCA content.
(i) Decontamination and Disposal. All waste contaminated with MBOCA shall be disposed of in accordance with Hazardous Waste Disposal Regulations, Title 22, California Administrative Code, Sections 60001 through 60283.
(1) All shipping containers shall be considered contaminated until decontaminated, or shown not to be contaminated.
(2) Contaminated surfaces may be decontaminated by:
(A) Removal of MBOCA by appropriate mechanical and chemical means; or
(B) Reacting and sealing the MBOCA with urethane or isocyanate solutions.
(3) Decontaminated surfaces shall be retested by wipe samples or fixed with a label showing date and method by which surface was decontaminated, and the label required by Section 5215(l)(4).
(j) Training.
(1) Each employee engaged in an operation or activity where MBOCA is used shall receive an Information and Training Program including the information or requirements of this subsection and precautions for its safe use.
(2) Instruction shall include all information in the Material Safety Data Sheets applicable to the specific MBOCA-containing product to which there is possible exposure. Such a program shall be provided without cost to the employee.
(3) The program shall include:
(A) The nature of the carcinogenic hazard, including local and systemic toxicity.
(B) The specific nature of the operation involving MBOCA which could result in exposure in excess of the permissible exposure limits and necessary protective steps.
(C) The purpose, proper use, and limitations of respiratory protective devices, gloves and protective garments.
(D) The purpose for, and application of, decontamination procedures.
(E) The purpose for, and significance of, emergency practices and procedures.
(F) The employee's specific role in prescribed emergency procedures.
(G) Employee familiarization with the prescribed emergency procedures and rehearsal in their application.
(H) Specific information to aid the employee in recognition of conditions which may result in exposure to MBOCA.
(I) The purpose for, and application of, specific first aid procedures and practices.
(J) The purpose for, and description of, the monitoring program.
(K) The purpose for, and description of, the medical surveillance program.
(L) Employee rights under this section and the CAL/OSHA program.
(M) A review of this section at the employee's first training and indoctrination program and annually thereafter.
(4) All materials relating to the program shall be provided on request to the Chief or his authorized representative.
(5) The employer shall make a copy of this section and its appendices readily available to all affected employees.
(k) Medical Surveillance. A program of medical surveillance shall be instituted for each authorized person. The employer shall provide each such employee with an opportunity for medical examinations and tests in accordance with this subsection. All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, and shall be provided without cost to the employee. 
(1) Frequency of medical examinations:
(A) Prior to time of initial assignment or within 90 days of the effective date of this order.
(B) At least every 3 years for the first 10 years of employment involving the use of MBOCA, and annually thereafter.
(2) Content of medical examinations:
(A) A comprehensive medical history with emphasis on pertinent medical, occupational, genetic, and environmental factors (employee and employee's family).
(B) A comprehensive physical examination with emphasis on detecting abnormalities of the liver, pulmonary system, urinary system, breasts, and hematologic system.
(C) Evaluation of the advisability of the employee using negative or positive pressure respirators.
(D) Laboratory tests shall include:
1. Chest X-ray (14-inch by 17-inch, posterior-anterior).
2. Serum total bilirubin.
3. Serum alkaline phosphatase.
4. Serum glutamic oxaloacetic transaminase (SGOT) or serum glutamic pyruvic transaminase (SGPT).
5. Complete blood count (CBC).
6. Complete urinalysis (UA).
(3) Information provided to the physician by the employer:
(A) A copy of this standard and its appendices.
(B) The results of the biological monitoring required by this section since the last medical examination.
(4) The examining physician's written opinion to the employer regarding each employee shall include:
(A) The results of the medical tests performed.
(B) Any medical condition that could place the employee at an increased risk of material impairment of health from his employment.
(5) The employer shall provide a copy of the written opinion to the affected employee.
(l) Signs and Labels.
(1) Entrances to controlled access areas shall be posted with legible signs bearing the legend:

CONTROLLED ACCESS AREA 
AUTHORIZED PERSONNEL ONLY
4,4'-Methylenebis(2-chloroaniline)
(2) Areas containing hazardous operations or where an emergency currently exists shall be posted with legible signs bearing the legend:

DANGER
HAZARDOUS/EMERGENCY CONDITION
4,4'-Methylenebis(2-chloroaniline)
ENTRY PROHIBITED EXCEPT UNDER EMERGENCY
PROCEDURES
(3) Prescribed emergency procedures shall be posted or available in appropriate locations.
(4) Containers of MBOCA and of unreacted solutions or mixtures containing more than one percent (1%) of MBOCA shall have a label not inconsistent * with the following:

CAUTION
4,4'-Methylenebis(2-chloroaniline)
AVOID SKIN CONTACT
AVOID BREATHING DUST/VAPOR
REGULATED CARCINOGEN
* In order to provide legibility, careful and selective shortening of warning statements may be permitted for small containers (1 quart or less) where their size precludes the use of the warning words shown above. In no instance shall the label omit “Regulated Carcinogen.”
(5) No statement shall appear on or near any required sign, label, or instruction which contradicts or detracts from the effect of any required warning, information, or instruction.
(6) Lettering on signs required by this subsection shall be conspicuous and legible.
(m) Records.
(1) All records maintained in accordance with this section shall include the name an social security number of each employee where relevant.
(2) Records of required monitoring and measuring, face fit tests, medical records, and authorized personnel rosters shall be made and shall be available upon request for examination and copying to authorized representatives of the Chief. Such records shall also be provided upon request to authorized representatives of the Chief in accordance with Section 3204.
(3) The daily roster of employees entering regulated areas or a summary of the rosters shall be retained for a period of a year. The roster and/or summaries shall be provided upon request to authorized representatives of the Chief.
(4) Monitoring and measuring records shall be maintained for not less than 30 years and shall contain the following information:
(A) Date, location, and concentration of each determination;
(B) Instruments and methods used;
(C) Any additional information necessary to determine individual employee exposure.
(5) Face fit tests shall be maintained for not less than one year and shall include persons tested, method used and results.
(6) The employer shall maintain the originals or true copies of the physician's written opinions regarding each affected employee for the duration of the employment plus 20 years or for 30 years, whichever is longer.
(7) In the event that the employer ceases to do business and there is no successor to receive and retain the records for the prescribed period, these records shall be transmitted by Registered Mail to the Director of National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services.
The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(8) Employees, former employees, or their designated representatives shall be provided records of required monitoring and measuring in accordance with Section 3204.
(9) Upon written request of any employee or former employee, a copy of the medical record of that employee shall be furnished to the employee or to any physician or other individual or organization designated by the employee or former employee in accordance with Section 3204.
(n) Reports. See section 5203.

Appendix A

Physical and Chemical Data
(1) Synonyms:
4,4'-methylenebis(2-chloroaniline)
p,p'-methylenebis(o-chloroaniline)
methylene-4,4'-bis(o-chloroaniline)
4,4'-methylenebis(2-chlorobenzenamine)
p,p'-methylenebis(o-chlorobenzenamine)
3,3'-dichloro-4,4'-diaminodiphenylmethane
p,p'-methylenebis(alpha-chloroaniline)
di(4-amino-3-chlorophenyl)methane
di(4-amino-3-clorofenil)metano (Italian)
3,3'dicloro-4,4'diaminodifenilmetano (Italian)
4,4'-metilene-bis-o-cloranilina (Italian)
3,3'-dichlor-4,4'-diaminodiphenylmethan (German)
MBOCA
DACPM
MOCA (R), DuPont
Cyanaset (R), American Cyanamid
Curalon M (R), Uniroyal
Curene 442 (R), Anderson Chemical
Bis-Amine A (R), Wakayama Seiko/Polyester Corp.
CL-MDA
Activator M (R), MVR
Cuamine M, Ihara Chemical
MBK, Kulkman
(2) Identification and General Properties:
Structural formula:

View Graphic
Molecular weight: 267
Specific gravity of solid: 1.44 at 75o (24o C)
Melting range: 212-228o F (100-109o C)
Color: light creamy yellow to light gray tan
Odor: slight

Appendix B

Supplemental Medical Information
(1) When required tests under Section 5215(k)(2) reveal abnormalities, the tests should be repeated as soon as practicable within 30 days. If the tests remain abnormal, consideration should be given to withdrawing the employee from contact with 4,4'-methylenebis(2-chloroaniline) while a more comprehensive examination is made.
(2) Additional tests that may be useful;
(A) Pulmonary system
1. Sputum cytology
2. Bronchoscopy with bronchial washings for cytology and tissue biopsy.
3. Computerized axial tomography with or without use of a contrast medium.
(B) Liver
1. Liver scan
2. Percutaneous liver biopsy
3. Hepatic angiography
(C) Urinary system
1. Urine cytology, 24-hour specimen
2. Blood urea nitrogen (BUN)
3. Serum creatinine
4. Creatinine clearance
5. Radioactive renogram
6. Intravenous pyelogram (IVP)
7. Cystoscopy with retrograde pyelogram and/or urinary bladder biopsy, as indicated.
8. Percutaneous renal biopsy.
(D) Breasts
1. Mammography
2. Breasts biopsy
(3) Known toxicity of 4,4'-methylenebis(2-chloroaniline)
(A) Pulmonary carcinoma*
(B) Malignant tumors of the liver*
(C) Carcinoma of the breast*
(D) Carcinoma of the urinary bladder*
(E) Kidney irritation
(F) Methemoglobinemia*
*Observed in experimental animals only
(4) Routes of absorption
(A) Skin (primary)
(B) Inhalation (secondary)
(C) Ingestion (minor)

Appendix C

Analytical Methods
(Laboratory methods used by CAL/OSHA will be furnished on request.)
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section and Appendices A-C filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment of subsection (m) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Editorial correction of subsection (b) filed 3-3-83 (Register 83, No. 10).
4. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
5. Amendment of subsection (n), repealer of subsections (n)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
§5215. 4,4'-Methylenebis(2-Chloroaniline).
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for the control of employee exposure to 4,4'-methylenebis(2-chloroaniline), MBOCA, Chemical Abstracts Service Registry No. 101144.
(2) This section applies to the manufacture, packaging, repackaging, storage, handling and use of MBOCA, but does not apply to:
(A) Fabricated products; or
(B) The storage or transportation of MBOCA in sealed, unbroken containers except for labeling of containers under Section 5215(l)(4), reporting of use under Section 5215(n)(1) and preparation of emergency plan under Section 5215(h)(4).
(3) The requirements of this section are subject to the provisions of the Occupational Carcinogens Control Act of 1976 (Health and Safety Code, Division 20, Chapter 2).
(b) Definitions.
Authorized Person. Any person specifically authorized by the employer to handle or use MBOCA or to enter a controlled access area or any person entering such an area as a designated representative of employees for the purpose of exercising an opportunity to observe monitoring and measuring procedures.
Chief. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
Controlled Access Area. An area where entry and exit are restricted and controlled for the purpose of limiting occupational exposure to MBOCA.
Engineering Controls. Methods of controlling occupational exposure to injurious materials or conditions by means of general or local exhaust ventilation, by process modification, or by isolation or enclosure of health hazard-producing operation or machinery. Engineering controls do not include employee personal protection.
Work Practice Controls. Methods of controlling occupational exposure to injurious materials or conditions by means of written procedures specifying handling, employee personal protection and personal hygiene.
Fabricated Products. Any elastomer or foam product processed so that the unreacted MBOCA is less than 1.0 percent by weight of polymer.
MBOCA. 4,4'-Methylenebis(2-chloroaniline), Chemical Abstracts Service Registry No. 101144. Appendix A contains other synonyms.
(c) Permissible Exposure Limit.
(1) Exposure to MBOCA shall be controlled such that no employee's urine contains more than 100 micrograms (mg) of MBOCA per liter of urine when the specific gravity of the urine is adjusted to 1.024.
(2) Where specific urine samples are not received as requested by the Chief or his authorized representatives:
(A) Employees shall not be exposed to an 8-hour time-weighted average concentration of MBOCA in excess of 10 mg (micrograms) per cubic meter of air, and
(B) Employees shall not be exposed to a ceiling concentration in excess of 50 mg per cubic meter of air during any 15-minute period, and
(C) Accessible surfaces which employees are likely to contact in controlled access areas or uncontrolled areas during their normal work shall not exceed 100 mg MBOCA per 100 cm2 of surface. For regulatory purposes, the average of at least five wipe samples shall be used; if one sample exceeds the mean by a factor of 10 or more, it will be rejected as not being representative.
(d) Monitoring.
(1) Within 30 days of the effective date of this standard, employers using more than one kilogram of MBOCA regardless of concentration, dilution or form, except frozen premix, in any 6-month period shall institute a program of monitoring of surface contamination and urine analysis.
(2) All authorized employees who enter a controlled access area shall have the urine analysis repeated quarterly. Samples are to be obtained near the end of the work shift.
(3)(A) Employees whose urinary levels of MBOCA exceed 100 m>/1 with specific gravity adjusted to 1.024 shall be tested at least monthly until 2 consecutive samples taken no less than 3 days apart have been reduced to below 100 mg/liter.
(B) No later than 6 months from the effective date of this standard, employees whose urinary levels of MBOCA exceed 100 mg/1 with specific gravity adjusted to 1.024 shall be tested at least monthly until 2 consecutive samples taken no less than 3 days apart have been reduced to below 30 m/liter.
(4) The method of monitoring and measurement shall be accurate and precise so that 95% of the determinations are within 25% of the true value at the exposure limit.
(5) Employees or their designated representatives shall be afforded reasonable opportunity to observe the monitoring and measuring required by this paragraph.
(6) Within 10 working days following any monitoring and measuring which discloses that any employee has been exposed in excess of the permissible exposure limit, each such employee shall be notified in writing of the numerical results of the monitoring.
(e) Controlled Access Area.
(1) All areas outside of controlled access areas shall be maintained so that MBOCA contamination of surfaces does not exceed 100 mg per 100 cm2.
(2) All equipment and materials removed from a controlled access area shall be decontaminated so that MBOCA does not exceed 100 mg per 100 cm2 of surface.
(3) Entry to controlled access areas shall be limited to authorized personnel and escorted visitors. A daily roster shall be made of persons who enter the controlled access area.
(4) Storage, consumption or use of food, beverages, cosmetics, smoking or chewing materials are prohibited in controlled access areas, except for foot-operated drinking fountains.
(f) Methods of Control.
(1) Employee exposures which exceed the limits specified in Section 5215(c) shall be prevented by engineering controls whenever feasible.
(2) Written plans, including timetables for attaining compliance with this section, shall be developed and furnished on request for examination and copying by the Chief or his authorized representative. Such plans shall be updated at least every six months until compliance is achieved and maintained to reflect current methods of control.
(g) Respiratory Protection.
(1) Respiratory protective equipment shall be provided in accordance with this subsection and Section 5144. Records of face fit tests shall be maintained.
(2) Appropriate selection, provision, and use of respiratory protective equipment shall be based on the following table.

RESPIRATORY PROTECTION FOR MBOCA

Concentration of Airborne
MBOCA	Respiratory Type
1. Not greater than 0.1 milligram	Air-purifying with high efficiency parti-
per cubic meter.	culate filter* and half-mask;

	Any supplied air respirator
	with half-mask.

2. Not greater than 0.5 milligrams	Air-purifying, with high efficiency particper cubic meter.	ulate filter* and full facepiece;

	Any supplied air respirator
	with full facepiece;

	Any self-contained breathing
	apparatus with full facepiece.

3. Not greater 10 milligrams	Powered air-purifying, with high effici-
per cubic meter	ency particulate filter*, half-mask, full
	facepiece, hood or helmet;

	Supplied air, operated in
	positive pressure mode, with
	half-mask.

4. Not greater than 20 milligrams	Supplied air, operated in .positive pressure per cubic meter	mode, with full facepiece, hood, helmet,
	or suit.

5. Firefighting and/or any high	Self-contained breathing apparatus with 
or potentially high concentration	full facepiece operated in pressure demand
 	mode;

	Combination breathing appar-
	atus: supplied-air, positive
	pressure, full facepiece
	respirator with auxiliary
	self-contained compressed air
	supply with sufficient service
	time for escape.

* High efficiency filter--99.97 percent efficiency against 0.3 micrometer monodisperse diethylhexyl phthalate (DOP) particles.
(3) Employee Options.
(A) Employees who wear respirators shall be allowed reasonable time to leave work areas to wash the face and respirator facepiece to prevent potential skin irritation associated with respirator use.
(B) Where air-purifying respirators are required for protection against MBOCA, the employee shall be permitted to change filter elements whenever an increase in breathing resistance is detected, a the employer shall maintain an adequate supply of filter elements for this purpose.
(C) Where compliance with this section requires employee use of an air-purifying respirator for a major portion of the work shift, the employer shall provide, at the option of each affected employee, a powered respirator within 120 days of the effective date of this order.
(h) Hazardous Operations and Emergencies.
(1) Employees engaged in hazardous operations, shall be provided with and required to use:
(A) Respiratory protection that is in accordance with Section 5215(g).
(B) Protective garments to prevent skin contact. The protective garments shall be selected for the operation and its possible exposure conditions.
(C) Eye and face protection where splash hazards from liquid or solution of MBOCA exist.
(2) Employees shall be decontaminated before removing protective garments.
(3) Protective garments shall be provided clean and dry for each use of the garments.
(4) A written operational plan for hazardous operations and emergency situations shall be developed for each facility manufacturing, processing, handling, packaging, repackaging, releasing, storing, selling, transferring, transporting, disposing, or using MBOCA. Appropriate portions of the plan shall be implemented in the event of an emergency. The plan shall specifically provide that:
(A) Employees engaged in hazardous operations or correcting situations of existing hazardous spills shall be equipped as required in this paragraph.
(B) Other employees not so equipped shall evacuate the area and not return until conditions are controlled by methods required in Section 5215(f) and the emergency is abated.
(C) Areas containing hazardous operations, or where the emergency currently exists, shall be posted in accordance with Section 5215(l)(2).
(D) Reports shall be made as required by Section 5215(n)(2).
(E) An employee with a known contact with MBOCA shall be required to shower and wash hair as soon as possible, unless prevented by physical injuries, and shall be given the option to provide a urine specimen for analysis of MBOCA content.
(i) Decontamination and Disposal. All waste contaminated with MBOCA shall be disposed of in accordance with Hazardous Waste Disposal Regulations, Title 22, California Administrative Code, Sections 60001 through 60283.
(1) All shipping containers shall be considered contaminated until decontaminated, or shown not to be contaminated.
(2) Contaminated surfaces may be decontaminated by:
(A) Removal of MBOCA by appropriate mechanical and chemical means; or
(B) Reacting and sealing the MBOCA with urethane or isocyanate solutions.
(3) Decontaminated surfaces shall be retested by wipe samples or fixed with a label showing date and method by which surface was decontaminated, and the label required by Section 5215(l)(4).
(j) Training.
(1) Each employee engaged in an operation or activity where MBOCA is used shall receive an Information and Training Program including the information or requirements of this subsection and precautions for its safe use.
(2) Instruction shall include all information in the Material Safety Data Sheets applicable to the specific MBOCA-containing product to which there is possible exposure. Such a program shall be provided without cost to the employee.
(3) The program shall include:
(A) The nature of the carcinogenic hazard, including local and systemic toxicity.
(B) The specific nature of the operation involving MBOCA which could result in exposure in excess of the permissible exposure limits and necessary protective steps.
(C) The purpose, proper use, and limitations of respiratory protective devices, gloves and protective garments.
(D) The purpose for, and application of, decontamination procedures.
(E) The purpose for, and significance of, emergency practices and procedures.
(F) The employee's specific role in prescribed emergency procedures.
(G) Employee familiarization with the prescribed emergency procedures and rehearsal in their application.
(H) Specific information to aid the employee in recognition of conditions which may result in exposure to MBOCA.
(I) The purpose for, and application of, specific first aid procedures and practices.
(J) The purpose for, and description of, the monitoring program.
(K) The purpose for, and description of, the medical surveillance program.
(L) Employee rights under this section and the CAL/OSHA program.
(M) A review of this section at the employee's first training and indoctrination program and annually thereafter.
(4) All materials relating to the program shall be provided on request to the Chief or his authorized representative.
(5) The employer shall make a copy of this section and its appendices readily available to all affected employees.
(k) Medical Surveillance. A program of medical surveillance shall be instituted for each authorized person. The employer shall provide each such employee with an opportunity for medical examinations and tests in accordance with this subsection. All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, and shall be provided without cost to the employee. 
(1) Frequency of medical examinations:
(A) Prior to time of initial assignment or within 90 days of the effective date of this order.
(B) At least every 3 years for the first 10 years of employment involving the use of MBOCA, and annually thereafter.
(2) Content of medical examinations:
(A) A comprehensive medical history with emphasis on pertinent medical, occupational, genetic, and environmental factors (employee and employee's family).
(B) A comprehensive physical examination with emphasis on detecting abnormalities of the liver, pulmonary system, urinary system, breasts, and hematologic system.
(C) Evaluation of the advisability of the employee using negative or positive pressure respirators.
(D) Laboratory tests shall include:
1. Chest X-ray (14-inch by 17-inch, posterior-anterior).
2. Serum total bilirubin.
3. Serum alkaline phosphatase.
4. Serum glutamic oxaloacetic transaminase (SGOT) or serum glutamic pyruvic transaminase (SGPT).
5. Complete blood count (CBC).
6. Complete urinalysis (UA).
(3) Information provided to the physician by the employer:
(A) A copy of this standard and its appendices.
(B) The results of the biological monitoring required by this section since the last medical examination.
(4) The examining physician's written opinion to the employer regarding each employee shall include:
(A) The results of the medical tests performed.
(B) Any medical condition that could place the employee at an increased risk of material impairment of health from his employment.
(5) The employer shall provide a copy of the written opinion to the affected employee.
(l) Signs and Labels.
(1) Entrances to controlled access areas shall be posted with legible signs bearing the legend:

CONTROLLED ACCESS AREA 
AUTHORIZED PERSONNEL ONLY
4,4'-Methylenebis(2-chloroaniline)
(2) Areas containing hazardous operations or where an emergency currently exists shall be posted with legible signs bearing the legend:

DANGER
HAZARDOUS/EMERGENCY CONDITION
4,4'-Methylenebis(2-chloroaniline)
ENTRY PROHIBITED EXCEPT UNDER EMERGENCY
PROCEDURES
(3) Prescribed emergency procedures shall be posted or available in appropriate locations.
(4) Containers of MBOCA and of unreacted solutions or mixtures containing more than one percent (1%) of MBOCA shall have a label not inconsistent * with the following:

CAUTION
4,4'-Methylenebis(2-chloroaniline)
AVOID SKIN CONTACT
AVOID BREATHING DUST/VAPOR
REGULATED CARCINOGEN
* In order to provide legibility, careful and selective shortening of warning statements may be permitted for small containers (1 quart or less) where their size precludes the use of the warning words shown above. In no instance shall the label omit “Regulated Carcinogen.”
(5) No statement shall appear on or near any required sign, label, or instruction which contradicts or detracts from the effect of any required warning, information, or instruction.
(6) Lettering on signs required by this subsection shall be conspicuous and legible.
(m) Records.
(1) All records maintained in accordance with this section shall include the name an social security number of each employee where relevant.
(2) Records of required monitoring and measuring, face fit tests, medical records, and authorized personnel rosters shall be made and shall be available upon request for examination and copying to authorized representatives of the Chief. Such records shall also be provided upon request to authorized representatives of the Chief in accordance with Section 3204.
(3) The daily roster of employees entering regulated areas or a summary of the rosters shall be retained for a period of a year. The roster and/or summaries shall be provided upon request to authorized representatives of the Chief.
(4) Monitoring and measuring records shall be maintained for not less than 30 years and shall contain the following information:
(A) Date, location, and concentration of each determination;
(B) Instruments and methods used;
(C) Any additional information necessary to determine individual employee exposure.
(5) Face fit tests shall be maintained for not less than one year and shall include persons tested, method used and results.
(6) The employer shall maintain the originals or true copies of the physician's written opinions regarding each affected employee for the duration of the employment plus 20 years or for 30 years, whichever is longer.
(7) In the event that the employer ceases to do business and there is no successor to receive and retain the records for the prescribed period, these records shall be transmitted by Registered Mail to the Director of National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services.
The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
(8) Employees, former employees, or their designated representatives shall be provided records of required monitoring and measuring in accordance with Section 3204.
(9) Upon written request of any employee or former employee, a copy of the medical record of that employee shall be furnished to the employee or to any physician or other individual or organization designated by the employee or former employee in accordance with Section 3204.
(n) Reports. See section 5203.

Appendix A

Physical and Chemical Data
(1) Synonyms:
4,4'-methylenebis(2-chloroaniline)
p,p'-methylenebis(o-chloroaniline)
methylene-4,4'-bis(o-chloroaniline)
4,4'-methylenebis(2-chlorobenzenamine)
p,p'-methylenebis(o-chlorobenzenamine)
3,3'-dichloro-4,4'-diaminodiphenylmethane
p,p'-methylenebis(alpha-chloroaniline)
di(4-amino-3-chlorophenyl)methane
di(4-amino-3-clorofenil)metano (Italian)
3,3'dicloro-4,4'diaminodifenilmetano (Italian)
4,4'-metilene-bis-o-cloranilina (Italian)
3,3'-dichlor-4,4'-diaminodiphenylmethan (German)
MBOCA
DACPM
MOCA (R), DuPont
Cyanaset (R), American Cyanamid
Curalon M (R), Uniroyal
Curene 442 (R), Anderson Chemical
Bis-Amine A (R), Wakayama Seiko/Polyester Corp.
CL-MDA
Activator M (R), MVR
Cuamine M, Ihara Chemical
MBK, Kulkman
(2) Identification and General Properties:
Structural formula:

View Graphic
Molecular weight: 267
Specific gravity of solid: 1.44 at 75o (24o C)
Melting range: 212-228o F (100-109o C)
Color: light creamy yellow to light gray tan
Odor: slight

Appendix B

Supplemental Medical Information
(1) When required tests under Section 5215(k)(2) reveal abnormalities, the tests should be repeated as soon as practicable within 30 days. If the tests remain abnormal, consideration should be given to withdrawing the employee from contact with 4,4'-methylenebis(2-chloroaniline) while a more comprehensive examination is made.
(2) Additional tests that may be useful;
(A) Pulmonary system
1. Sputum cytology
2. Bronchoscopy with bronchial washings for cytology and tissue biopsy.
3. Computerized axial tomography with or without use of a contrast medium.
(B) Liver
1. Liver scan
2. Percutaneous liver biopsy
3. Hepatic angiography
(C) Urinary system
1. Urine cytology, 24-hour specimen
2. Blood urea nitrogen (BUN)
3. Serum creatinine
4. Creatinine clearance
5. Radioactive renogram
6. Intravenous pyelogram (IVP)
7. Cystoscopy with retrograde pyelogram and/or urinary bladder biopsy, as indicated.
8. Percutaneous renal biopsy.
(D) Breasts
1. Mammography
2. Breasts biopsy
(3) Known toxicity of 4,4'-methylenebis(2-chloroaniline)
(A) Pulmonary carcinoma*
(B) Malignant tumors of the liver*
(C) Carcinoma of the breast*
(D) Carcinoma of the urinary bladder*
(E) Kidney irritation
(F) Methemoglobinemia*
*Observed in experimental animals only
(4) Routes of absorption
(A) Skin (primary)
(B) Inhalation (secondary)
(C) Ingestion (minor)

Appendix C

Analytical Methods
(Laboratory methods used by CAL/OSHA will be furnished on request.)
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section and Appendices A-C filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
2. Amendment of subsection (m) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Editorial correction of subsection (b) filed 3-3-83 (Register 83, No. 10).
4. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
5. Amendment of subsection (n), repealer of subsections (n)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
6. Change without regulatory effect providing more legible illustration within Appendix A filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5216. Lead.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 8-9-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Amendment of subsection (m)(5)(A) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
3. Amendment of subsections (i)(5), (j)(4), (l), (o)(7), (o)(9)-(10); new subsection (q) and new Appendices A-C filed 5-30-83; effective thirtieth day thereafter (Register 80, No. 22).
4. Amendment of subsection (m) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
5. Amendment of subsections (a), (b), (f), (j), (o); repealer of subsection (p) and consecutive relettering of subsection (q); and amendment of Appendix A (title only) and Appendix B (IV and XIV) filed 5-7-81; effective thirtieth day thereafter (Register 81, No. 19).
6. Amendment (including Appendices A-C) filed 2-5-82; effective thirtieth day thereafter (Register 82, No. 6).
7. Editorial correction of subsection (p)(11)(D) (Register 82, No. 12).
8. Amendment of subsections (e) and (p) and Appendices B-III, B-XV and NOTE filed 9-2-82; effective thirtieth day thereafter (Register 82, No. 36).
9. Editorial correction of subsection (b) filed 3-3-83 (Register 83, No. 10).
10. Amendment of subsection (p)(3) filed 3-7-83 as an emergency; effective upon filing (Register 83, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-5-83.
11. Editorial correction of Appendix C (table of effective dates) to correct printing error (Register 83, No. 11).
12. Amendment of subsections (f)(3)(A) and (B), Appendix B IV and XV-A, and new Appendix D filed 7-15-83; effective thirtieth day thereafter (Register 83, No. 30).
13. Editorial correction of subsection (i)(B)(3) filed 4-5-84; effective thirtieth day thereafter (Register 84, No. 14).
14. Editorial correction of subsection (g)(2)(A) formula (Register 91, No. 20).
15. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
16. Editorial correction of printing errors in subsection (j)(2)(A)2. (Register 92, No. 27).
17. Amendment of table in subsections (e)(1)(A) and (f)(2)(A) and amendment of subsections (h)(3), (i)(3)(C), and (o) filed 12-9-92; operative 1-8-93 (Register 92, No. 50).
18. Amendment of former subsections (f)(1)-(f)(4)(E) including subsection renumbering and relettering resulting in newly designated subsections (f)(1)-(f)(3)(B)2., amendment of appendix B, subsection IV., and amendment repealing appendix D and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
19. Change without regulatory effect renumbering section 5216 and appendices A-D to section 5198 filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
§5217. Formaldehyde.
Note     •     History

(a) Scope and application. This standard applies to all occupational exposures to formaldehyde, i.e. from formaldehyde gas, its solutions, and materials that release formaldehyde.
(b) Definitions. For purposes of this standard, the following definitions shall apply:
Action level. Action level means a concentration of 0.5 part formaldehyde per million parts of air (0.5 ppm) calculated as an eight (8)-hour  time-weighted average (TWA) concentration.
Authorized Person. Authorized person means any person required by work duties to be present in regulated areas, or authorized to do so by the employer, by this section, or by the California Occupational Safety and Health Act of 1973.
Chief. The Chief of the Division of Occupational Safety and Health, or designee.
Director. Director means the Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
Emergency. An emergency is any occurrence, such as but not limited to equipment failure, rupture of containers, or failure of control equipment that results in an uncontrolled release of a significant amount of formaldehyde.
Employee exposure. Employee exposure means the exposure to airborne formaldehyde which would occur without corrections for protection provided by any respirator that is in use.
Formaldehyde. Formaldehyde means the chemical substance, HCHO, Chemical Abstracts Service Registry No. 50-00-0.
(c) Permissible Exposure Limit (PEL)
(1) Time Weighted Average (TWA): The employer shall assure that no employee is exposed to a concentration of airborne formaldehyde which exceeds 0.75 parts formaldehyde per million parts of air (0.75 ppm) as an 8-hour TWA.
(2) Short Term Exposure Limit (STEL): The employer shall assure that no employee is exposed to a concentration of airborne formaldehyde which exceeds two parts formaldehyde per million parts of air (2 ppm) as a 15 minute STEL.
(d) Exposure monitoring
(1) General.
(A) Each employer who has a workplace covered by this standard shall monitor employees to determine their exposure to formaldehyde.
(B) Exceptions.
Where the employer documents, using objective data, that the presence of formaldehyde or formaldehyde-releasing products in the workplace cannot result in concentrations of airborne formaldehyde that would cause any employee to be exposed at or above the action level or at or above the STEL under foreseeable conditions of use, the employer will not be required to measure employee exposure to formaldehyde.
(C) When an employee's exposure is determined from representative sampling, the measurements used shall be representative of the employee's full shift or short-term exposure to formaldehyde, as appropriate.
(D) Representative samples for each job classification in each work area shall be taken for each shift unless the employer can document with objective data that exposure levels for a given job classification are equivalent for different work shifts.
(2) Initial monitoring. The employer shall identify all employees who may be exposed at or above the action level or at or above the STEL and accurately determine the exposure of each employee so identified.
(A) Unless the employer chooses to measure the exposure of each employee potentially exposed to formaldehyde, the employer shall develop a representative sampling strategy and measure sufficient exposures within each job classification for each workshift to correctly characterize and not underestimate the exposure of any employee within each exposure group.
(B) The initial monitoring process shall be repeated each time there is a change in production, equipment, process, personnel, or control measures which may result in new or additional exposure to formaldehyde.
(C) If the employer receives reports of signs or symptoms of respiratory or dermal conditions associated with formaldehyde exposure, the employer shall promptly monitor the affected employee's exposure.
(3) Periodic monitoring.
(A) The employer shall periodically measure and accurately determine exposure to formaldehyde for employees shown by the initial monitoring to be exposed at or above the action level or at or above the STEL.
(B) If the last monitoring results reveal employee exposure at or above the action level, the employer shall repeat monitoring of the employees at least every 6 months.
(C) If the last monitoring results reveal employee exposure at or above the STEL, the employer shall repeat monitoring of the employees at least once a year under worst conditions.
(4) Termination of monitoring. The employer may discontinue periodic monitoring of employees if results from two consecutive sampling periods taken at least 7 days apart show that employee exposure is below the action level and the STEL.The results must be statistically representative and consistent with the employer's knowledge of the job and work operation.
(5) Accuracy of monitoring. Monitoring shall be accurate, at the 95 percent confident level, to within plus or minus 25 percent for concentrations of airborne formaldehyde at the TWA and the STEL, and to within plus or minus 35 percent for concentrations of airborne formaldehyde at the action level.
(6) Employee notification of monitoring results. Within 15 days of receiving the results of exposure monitoring conducted under this standard, the employer shall notify the affected employees of these results. Notification shall be in writing, either by distributing copies of the results to the employees or by posting the results. If the employee exposure is over either PEL, the employer shall develop and implement a written plan to reduce employee exposure to or below both PELs, and give written notice to employees. The written notice shall contain a description of the corrective action being taken by the employer to decrease exposure.
(7) Observation of monitoring.
(A) The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to formaldehyde required by this standard.
(B) When observation of the monitoring of employee exposure to formaldehyde requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the clothing and equipment to the observer, require the observer to use such clothing and equipment, and assure that the observer complies with all other applicable safety and health procedures.
(e) Regulated areas
(1) The employer shall establish regulated areas where the concentration of airborne formaldehyde exceeds either the TWA or the STEL, and post all entrances and accessways with signs bearing the following information:

DANGER
FORMALDEHYDE
IRRITANT AND POTENTIAL CANCER HAZARD
AUTHORIZED PERSONNEL ONLY
(2) The employer shall limit access to regulated areas to authorized persons who have been trained to recognize the hazards of formaldehyde.
(3) An employer at a multi-employer worksite who establishes a regulated area shall communicate the access restrictions and locations of these areas to other employers with work operations at that worksite.
(f) Methods of compliance
(1) Engineering controls and work practices. The employer shall institute engineering and work practice controls to reduce and maintain employee exposures to formaldehyde at or below the TWA and the STEL.
(2) Exception. Whenever the employer has established that feasible engineering and work practice controls cannot reduce employee exposure to or below either of the PELs, the employer shall apply these controls to reduce employee exposures to the extent feasible and shall supplement them with respirators which satisfy this standard.
(g) Respiratory protection
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations, such as maintenance and repair activities or vessel cleaning, for which the employer establishes that engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the PELS; and
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) When employees use air-purifying respirators with chemical-cartridges or canisters that do not contain end-of-service-life indicators approved by the National Institute for Occupational Safety and Health, employers shall replace these cartridges or canisters as specified by subsection (d)(3)(C)(2)(b) of Section 5144, or at the end of the workshift, whichever condition occurs first.
(3) Respirator selection.
(A) The employer must select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) The employer shall make available a powered air purifying respirator, adequate to protect against formaldehyde exposure to any employee who experiences difficulty wearing a negative pressure respirator to reduce exposure to formaldehyde.
(C) The employer shall equip each air-purifying, full facepiece respirator with a canister or cartridge approved for protection against formaldehyde.
(D) For escape, the employer shall provide employees with one of the following respirator options:  A self-contained breathing apparatus operated in the demand or pressure-demand mode; or a full facepiece respirator having a chin-style, or a front- or back-mounted industrial-size, canister or cartridge approved for protection against formaldehyde.
(E) Employers may substitute an air-purifying, half mask respirator for an air-purifying, full facepiece respirator when they equip the half mask respirator with a cartridge approved for protection against formaldehyde and provide the affected employee with effective gas-proof goggles.
(h) Protective equipment and clothing. Employers shall comply with the provisions of Sections 3380, 3382, 3383 and 3384. When protective equipment or clothing is provided under these provisions, the employer shall provide these protective devices at no cost to the employee and assure that the employee wears them.
(1) Selection. The employer shall select protective clothing and equipment based upon the form of formaldehyde to be encountered, the conditions of use, and the hazard to be prevented.
(A) All contact of the eyes and skin with liquids containing 1 percent or more formaldehyde shall be prevented by the use of chemical protective clothing made of material impervious to formaldehyde and the use of other personal protective equipment, such as goggles and face shields, as appropriate to the operation.
(B) Contact with irritating or sensitizing materials shall be prevented to the extent necessary to eliminate the hazard.
(C) Where a face shield is worn, chemical safety goggles are also required if there is a danger of formaldehyde reaching the area of the eye.
(D) Full body protection shall be worn for entry into areas where concentrations exceed 100 ppm and for emergency reentry into areas of unknown concentration.
(2) Maintenance of protective equipment and clothing.
(A) The employer shall assure that protective equipment and clothing that has become contaminated with formaldehyde is cleaned or laundered before its reuse.
(B) When ventilating formaldehyde contaminated clothing and equipment, the employer shall establish a storage area so that employee exposure is minimized. Containers for contaminated clothing, equipment, and storage areas shall have labels and signs containing the following information:

DANGER
FORMALDEHYDE-CONTAMINATED
(CLOTHING) EQUIPMENT
AVOID INHALATION AND SKIN CONTACT
(C) The employer shall assure that only persons trained to recognize the hazards of formaldehyde remove the contaminated material from the storage area for purposes of cleaning, laundering, or disposal.
(D) The employer shall assure that no employee takes home equipment or clothing that is contaminated with formaldehyde.
(E) The employer shall repair or replace all required protective clothing and equipment for each affected employee as necessary to assure its effectiveness.
(F) The employer shall inform any person who launders, cleans, or repairs such clothing or equipment of formaldehyde's potentially harmful effects and of procedures to safely handle the clothing and equipment.
(i) Hygiene protection.
(1) The employer shall provide change rooms, as described in Section 3367 for employees who are required to change from work clothing into protective clothing to prevent skin contact with formaldehyde.
(2) If employee's skin may become splashed with solutions containing 1 percent or greater formaldehyde, for example because of equipment failure or improper work practices, the employer shall provide conveniently located quick drench showers and assure that affected employees use these facilities immediately.
(3) If there is any possibility that an employee's eyes may be splashed with solutions containing 0.1 percent or greater formaldehyde, the employer shall provide acceptable eyewash facilities within the immediate work area for emergency use.
(j) Housekeeping. For operations involving formaldehyde liquids or gas, the employer shall conduct a program to detect leaks and spills, including regular visual inspections.
(1) Preventative maintenance of equipment, including surveys for leaks, shall be undertaken at regular intervals.
(2) In work areas where spillage may occur, the employer shall make provisions to contain the spill, to decontaminate the work area, and to dispose of the waste.
(3) The employer shall assure that all leaks are repaired and spills are cleaned promptly by employees wearing suitable protective equipment and trained in proper methods for cleanup and decontamination.
(4) Formaldehyde contaminated waste and debris resulting from leaks or spills shall be placed for disposal in sealed containers bearing a label warning of formaldehyde's presence and of the hazards associated with formaldehyde.
(k) Emergencies. For each workplace where there is the possibility of an emergency involving formaldehyde, the employer shall assure appropriate procedures are adopted to minimize injury and loss of life. Appropriate procedures shall be implemented in the event of an emergency.
(l) Medical surveillance
(1) Employees covered.
(A) The employer shall institute medical surveillance programs for all employees exposed to formaldehyde at concentrations at or exceeding the action level or exceeding the STEL.
(B) The employer shall make medical surveillance available for employees who develop signs and symptoms of overexposure to formaldehyde and for all employees exposed to formaldehyde in emergencies. When determining whether an employee may be experiencing signs and symptoms of possible overexposure to formaldehyde, the employer may rely on the evidence that signs and symptoms associated with formaldehyde exposure will occur only in exceptional circumstances when airborne exposure is less than 0.1 ppm and when formaldehyde is present in materials in concentrations less than 0.1 percent.
(2) Examination by a physician. All medical procedures, including administration of medical disease questionnaires, shall be performed by or under the supervision of a licensed physician and shall be provided without cost to the employee, without loss of pay, and at a reasonable time and place.
(3) Medical disease questionnaire. The employer shall make the following medical surveillance available to employees prior to assignment to a job where formaldehyde exposure is at or above the action level or above the STEL, and annually thereafter. The employer shall also make the following medical surveillance available promptly upon determining that an employee is experiencing signs and symptoms indicative of possible overexposure to formaldehyde.
(A) Administration of a medical disease questionnaire, such as in Appendix D, which is designed to elicit information on work history, smoking history, any evidence of eye, nose, or throat irritation; chronic airway problems or hyperactive airway disease; allergic skin conditions or dermatitis; and upper or lower respiratory problems.
(B) A determination by the physician based on evaluation of the medical disease questionnaire, of whether a medical examination is necessary for employees not required to wear respirators to reduce exposure to formaldehyde.
(4) Medical examinations. Medical examinations shall be given to any employee who the physician feels, based on information in the medical disease questionnaire, may be of increased risk from exposure to formaldehyde and at the time of initial assignment and at least annually thereafter to all employees required to wear a respirator to reduce exposure to formaldehyde. The medical examination shall include:
(A) A physical examination with emphasis on evidence of irritation or sensitization of the skin and respiratory system, shortness of breath, or irritation of the eyes.
(B) Laboratory examinations for respirator wearers consisting of baseline and annual pulmonary function tests. As a minimum, these tests shall consist of forced vital capacity (FVC), forced expiratory volume in one second (FEVI), and forced expiratory flow (FEF).
(C) Any other test which the examining physician deems necessary to complete the written opinion.
(D) Counseling of employees having medical conditions that would be directly or indirectly aggravated by exposure to formaldehyde on the increased risk of impairment of their health.
(5) Examinations for employees exposed in an emergency. The employer shall make medical examinations available as soon as possible to all employees who have been exposed to formaldehyde in an emergency.
(A) The examination shall include a medical and work history with emphasis on any evidence of upper or lower respiratory problems, allergic conditions, skin reaction or hypersensitivity, and any evidence of eye, nose, or throat irritation.
(B) Other examinations shall consist of those elements considered appropriate by the examining physician.
(6) Information provided to the physician. The employer shall provide the following information to the examining physician:
(A) A copy of this standard and Appendices A, C, D, and E;
(B) A description of the affected employee's job duties as they relate to the employee's exposure to formaldehyde;
(C) The representative exposure level for the employee's job assignment;
(D) Information concerning any personal protective equipment and respiratory protection used or to be used by the employee;
(E) Information from previous medical examinations of the affected employee within the control of the employer; and
(F) In the event of a non-routine examination because of an emergency, the employer shall provide to the physician as soon as possible a description of how the emergency occurred and the exposure the victim may have received.
(7) Physician's written opinion.
(A) For each examination required under this standard, the employer shall obtain a written opinion from the examining physician. This written opinion shall contain the results of the medical examination except that it shall not reveal specific findings or diagnoses unrelated to occupational exposure to formaldehyde. The written opinion shall include:
1. The physician's opinion as to whether the employee has any medical condition that would place the employee at an increased risk of material impairment of health from exposure to formaldehyde;
2. Any recommended limitations on the employee's exposure or changes in the use of personal protective equipment, including respirators; and
3. A statement that the employee has been informed by the physician of any medical conditions which would be aggravated by exposure to formaldehyde, whether these conditions may have resulted from past formaldehyde exposure or from exposure in an emergency, and whether there is a need for further examination or treatment.
(B) The employer shall provide for retention of the results of the medical examination and tests conducted by the physician.
(C) The employer shall provide a copy of the physician's written opinion to the affected employee within 15 days of its receipt.
(8) Medical removal.
(A) The provisions of subsection (l)(8) apply when an employee reports significant irritation of the mucosa of the eyes or of the upper airways, respiratory sensitization, dermal irritation, or dermal sensitization attributed to workplace formaldehyde exposure. Medical removal provisions do not apply in the case of dermal irritation or dermal sensitization when the product suspected of causing the dermal condition contains less than 0.05% formaldehyde.
(B) An employee's report of signs or symptoms of possible overexposure to formaldehyde shall be evaluated by a physician, selected by the employer pursuant to subsection (l)(3). If the physician determines that a medical examination is not necessary under subsection (l)(3)(B), there shall be a two-week evaluation and remediation period to permit the employer to ascertain whether the signs or symptoms subside untreated or with the use of creams, gloves, first aid treatment or personal protective equipment. Industrial hygiene measures that limit the employee's exposure to formaldehyde may also be implemented during this period. The employee shall be referred immediately to a physician prior to expiration of the two-week period if the signs or symptoms worsen. Earnings, seniority and benefits may not be altered during the two-week period by virtue of the report.
(C) If the signs or symptoms have not subsided or been remedied by the end of the two-week period, or earlier if signs or symptoms warrant, the employee shall be examined by a physician selected by the employer. The physician shall presume,  absent contrary evidence, that observed dermal irritation or dermal sensitization are not attributable to formaldehyde when products to which the affected employee is exposed contain less than 0.1% formaldehyde.
(D) Medical examinations shall be conducted in compliance with the requirements of subsection (l)(5)(A) and (B). Additional guidelines for conducting medical exams are contained in Appendix C.
(E) If the physician finds that significant irritation of the mucosa of the eyes or of the upper airways, respiratory sensitization, dermal irritation, or dermal  sensitization result from workplace formaldehyde exposure and recommends restrictions or removal, the employer shall promptly comply with the restrictions or recommendation of removal. In the event of a recommendation of removal, the employer shall remove the affected employee from the current formaldehyde exposure and if possible, transfer the employee to work having no or significantly less exposure to formaldehyde.
(F) When an employee is removed pursuant to subsection (l)(8)(E), the employer shall transfer the employee to comparable work for which the employee is qualified or can be trained in a short period (up to 6 months), where the formaldehyde exposures are as low as possible, but not higher than the action level. The employer shall maintain the employee's current earnings, seniority, and other benefits. If there is no such work available, the employer shall maintain the employee's current earnings, seniority and other benefits until such work becomes available, until the employee is determined to be unable to return to workplace formaldehyde exposure, until the employee is determined to be able to return to the original job status, or for six months, whichever comes first.
(G)  The employer shall arrange for a follow-up medical examination to take place within six months after the employee is removed pursuant to this subsection. This examination shall determine if the employee can return to the original job status, or if the removal is to be permanent. The physician shall make a decision within six months of the date the employee was removed as to whether the employee can be returned to the original job status, or if the removal is to be permanent.
(H) An employer's obligation to provide earnings, seniority and other benefits to a removed employee may be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program or from employment with another employer made possible by virtue of the employee's removal.
(I) In making determinations of the formaldehyde content of materials under this subsection the employer may rely on objective data.
(9) Multiple physician review.
(A) After the employer selects the initial physician who conducts any medical examination or consultation to determine whether medical removal or restriction is appropriate, the employee may  designate a second physician to review any findings, determinations or recommendations of the initial physician and to conduct such examinations, consultations, and laboratory tests as the second physician deems necessary and appropriate to evaluate the effects of formaldehyde exposure and to facilitate this review.
(B) The employer shall promptly notify an employee of the right to seek a second medical opinion after each occasion that an initial physician conducts a medical examination or consultation for the purpose of medical removal or restriction.
(C) The employer may condition its participation in, and payment for, the multiple physician review mechanism upon the employee doing the following within fifteen (15) days after receipt of the notification of the right to seek a second medical opinion, or receipt of the initial physician's written opinion, whichever is later;
1. The employee informs the employer of the intention to seek a second medical opinion, and
2. The employee initiates steps to make an appointment with a second physician.
(D) If the findings, determinations or recommendations of the second physician differ from those of the initial physician, then the employer and the employee shall assure that efforts are made for the two physicians to resolve the disagreement. If the two physicians are unable to quickly resolve their disagreement, then the employer and the employee through their respective physicians shall designate a third physician who shall be a specialist in the field at issue:
1. To review the findings, determinations or recommendations of the prior physicians; and
2. To conduct such examinations, consultations, laboratory tests and discussions with the prior physicians as the third physician deems necessary to resolve the disagreement of the prior physicians.
(E)  In the alternative, the employer and the employee or authorized employee representative may jointly designate such third physician.
(F) The employer shall act consistent with the findings, determinations and recommendations of the third physician, unless the employer and the employee reach an agreement which is otherwise consistent with the recommendations of at least one of the three physicians.
(m) Hazard communication
(1) General. Communication of the hazards associated with formaldehyde in the workplace shall be governed by the requirements of this subsection. The definitions of Section 5194(c) shall apply under this subsection.
(A) The following shall be subject to the hazard communication requirements of this subsection: formaldehyde gas, all mixtures or solutions composed of greater than 0.1 percent formaldehyde, and materials capable of releasing formaldehyde into the air, under reasonably foreseeable conditions of use, at concentrations reaching or exceeding 0.1 ppm.
(B) As a minimum, specific health hazards that the employer shall address are: cancer, irritation and sensitization of the skin and respiratory system, eye and throat irritation, and acute toxicity.
(2) Manufacturers and importers who produce or import formaldehyde or formaldehyde-containing products shall provide downstream employers using or handling these products with an objective determination through the required labels and MSDSs if these items may constitute a health hazard within the meaning of Section 5194(d) under normal conditions of use.
(3) Labels.
(A) The employer shall assure that hazard warning labels complying with the requirements of Section 5194(f) are affixed to all containers of materials listed in subsection (m)(1)(A), except to the extent that Section 5194(f) is inconsistent with this subsection.
(B) Information on labels. As a minimum, for all materials listed in subsection (m)(1)(A) capable of releasing formaldehyde at levels of 0.1 ppm to 0.5 ppm, labels shall identify that the product contains formaldehyde; list the name and address of the responsible party; and state that physical and health hazard information is readily available from the employer and from material safety data sheets.
(C) For materials listed in subsection (m)(1)(A) capable of releasing formaldehyde at levels above 0.5 ppm, labels shall appropriately address all hazards as defined in Section 5194(d) and Section 5194 Appendices A and B, including respiratory sensitization, and shall contain the words “Potential Cancer Hazard.”
(D) In making the determinations of anticipated levels of formaldehyde release, the employer may rely on objective data indicating the extent of potential formaldehyde release under reasonably foreseeable conditions of use.
(E) Substitute warning labels. The employer may use warning labels required by other statutes, regulations, or ordinances which impart the same information as the warning statements required by this subsection.
(4) Material safety data sheets.
(A) Any employer who uses formaldehyde-containing materials listed in subsection (m)(1)(A) shall comply with the requirements in Section 5194(g) with regard to the development and updating of material safety data sheets
(B)  Manufacturers, importers, and distributors of formaldehyde-containing materials listed  in subsection (m)(1)(A) shall assure that material safety data sheets and updated information are provided to all employers purchasing such materials at the time of the initial shipment and at the time of the first shipment after a material safety data sheet is updated.
(5) Written hazard communication program. The employer shall develop, implement, and maintain at the workplace, a written hazard communication program for formaldehyde exposures in the workplace, which  at a minimum describes how the requirements specified in this subsection for labels and other forms of warning and material safety data sheets, and subsection (n) for employee information and training, will be met. Employers in multi-employer workplaces shall comply with the requirements of Section 5194(e)(2).
(n) Employee information and training
(1) Participation. The employer shall assure that all employees who are assigned to workplaces where there is exposure to formaldehyde participate in a training program, except that where the employer can show, using objective data, that employees are not exposed to formaldehyde at or above 0.1 ppm, the employer is not required to provide training.
(2) Frequency.
Employers shall provide such information and training to employees at the time of  initial assignment and whenever a new exposure to formaldehyde is introduced into their work area. The training shall be repeated at least annually.
(3) Training program. The training program shall be conducted in a manner which the employee is able to understand and shall include:
(A) A discussion of the contents of this regulation and the contents of the Material Safety Data Sheet;
(B) The purpose for and a description of the medical surveillance program required by this standard, including:
1. A description of the potential health hazards associated with exposure to formaldehyde and a description of the signs and symptoms of exposure to formaldehyde.
2. Instructions to immediately report to the employer the development of any adverse signs or symptoms that the employee suspects is attributable to formaldehyde exposure.
(C) Description of operations in the work area where formaldehyde is present and an explanation of the safe work practices appropriate for limiting exposure to formaldehyde to each job;
(D) The purpose for, proper use of, and limitations of personal protective clothing and equipment;
(E) Instructions for the handling of spills, emergencies, and clean-up procedures;
(F) An explanation of the importance of engineering and work practice controls for employee protection and any necessary instruction in the use of these controls; and
(G) A review of emergency procedures including the specific duties or assignments of each employee in the event of an emergency.
(4) Access to training materials.
(A) The employer shall inform all affected employees of the location of written training materials and shall make these materials readily available, without cost, to the affected employees.
(B) The employer shall provide, upon request, all training materials relating to the employee training program to the Chief and the Director.
(o) Recordkeeping
(1) Exposure measurements. The employer shall establish and maintain an accurate record of all measurements taken to monitor employee exposure to formaldehyde. This record shall include:
(A) The date of measurement;
(B) The operation being monitored;
(C) The methods of sampling and analysis and evidence of their accuracy and precision;
(D) The number, durations, time, and results of samples taken;
(E) The types of protective devices worn; and
(F) The names, job classifications, social security numbers, and exposure estimates of the employees whose exposures are represented by the actual monitoring results.
(2) Exposure determinations. Where the employer has determined that no monitoring is required under this standard, the employer shall maintain a record of the objective data relied upon to support the determination that no employee is exposed to formaldehyde at or above the action level.
(3) Medical surveillance. The employer shall establish and maintain an accurate record for each employee subject to medical surveillance under this standard. This record shall include:
(A) The name and social security number of the employee;
(B) The physician's written opinion;
(C) A list of any employee health complaints that may be related to exposure to formaldehyde; and
(D) A copy of the medical examination results, including medical disease questionnaires and results of any medical tests required by the standard or mandated by the examining physician.
(4) Respirator fit testing.
(A) The employer shall establish and maintain accurate records for employees subject to negative pressure respirator fit testing required by this standard.
(B) This record shall include:
1. A copy of the protocol selected for respirator fit testing.
2. A copy of the results of any fit testing performed.
3. The size and manufacturer of the types of respirator available for selection.
4. The date of the most recent fit testing, the name and social security number of each tested employee, and the respirator type and facepiece selected.
(5) Record retention. The employer shall retain records required by this standard for at least the following periods:
(A) Exposure records and determinations shall be kept for at least 30 years.
(B) Medical records shall be kept for the duration of employment plus 30 years.
(C) Respirator fit testing records shall be kept until replaced by a more recent record.
(6) Availability of records.
(A) Upon request, the employer shall make all records maintained as a requirement of this standard available for examination and copying to the Chief and the Director.
(B) The employer shall make employee exposure records, including estimates made from representative monitoring and available upon request for examination, and copying to the subject employee, or former employee, and employee representative in accordance with section 3204.
(C) Employee medical records required by this standard shall be provided upon request for examination and copying, to the subject employee or former employee or to anyone having the specific written consent of the subject employee or former employee in accordance with Section 3204(a)-(e) and (g)-(i).
(p) Reporting requirements See section 5203.
(q) Delayed Effective Dates. The amendments to the following subsections have a delayed effective date:
(1) Respiratory protection. Respiratory protection required to meet the amended PEL of 0.75 ppm TWA shall be provided as soon as possible but no later than March 24, 1993.
(2) Engineering and work practice controls. Engineering and work practice controls required to meet the amended PEL of 0.75 ppm TWA shall be implemented as soon as possible, but no later than December 26, 1993.
(3) Medical removal protection. The medical removal protection provisions including the multiple physician review mechanism shall be implemented no later than June 28, 1993.
(4) Hazard communication. The labeling provisions contained in amended subsection (m) of this standard shall be implemented no later than June 28, 1993. Labeling of containers of formaldehyde products shall continue to comply with the provisions of Section 5194(e)-(j) until that time.
(5) Training. The periodic training mandated for all employees exposed to formaldehyde between 0.1 ppm and 0.5 ppm shall begin no later than February 25, 1993.
(r) Appendices. The information contained in Appendices A, B, C, and D is not intended, by itself, to create any additional obligations not otherwise imposed or to detract from any existing obligations. The protocols on respiratory fit testing in Appendix E are mandatory.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section and Appendices A-E filed 3-5-90; operative 4-4-90 (Register 90, No. 11). For history of former section 5217, see Registers 87, No. 51 and 86, No. 47.
2. Change without regulatory effect amending section filed 11-21-90 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 2).
3. Amendment of subsection (c)(1), table 1, subsections (g)(3)(D), (n)(1)-(2) and Appendix 1, repeal of subsections (d)(1)(B)1., (m)(1) and (n)(2)(B) and new subsections (d)(2)(C), (l)(8)(A)-(m)(5) and (q)-(q)(5) and relettering filed 12-9-92; operative 1-8-93 (Register 92, No. 50).
4. Change without regulatory effect amending subsection (o)(6)(C) filed 3-30-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 14).
5. Editorial corrections (Register 95, No. 24).
6. Amendment of former subsections (g)(1)-(g)(3)(E) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(B), and amendment repealing appendix E and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
7. Editorial correction moving Note and Histories 1-6 from following Appendix E to preceding Appendix A (Register 99, No. 28).
8. Amendment of subsection (p) and repealer of subsections (p)(1)-(3) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
9. Editorial correction of subsections (o)(2) and (o)(3) (Register 2007, No. 6).
10. Amendment of subsections (g)(2)(A)-(B), repealer of subsections (g)(2)(B)1.-2., amendment of subsections (h)(3)(A)-(B) and new subsections (h)(3)(C)-(h)(3)(E) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A to Section 5217

Substance Technical Guidelines for Formalin
The following Substance Technical Guideline for Formalin provides information on uninhibited formalin solution (37%formaldehyde, no methanol stabilizer). It is designed to inform employees at the production level of their rights and duties under the formaldehyde standard whether their job title defines them as workers or supervisors. Much of the information provided is general; however, some information is specific for formalin. When employee exposure to formaldehyde is from resins capable of releasing formaldehyde, the resin itself and other impurities or decomposition products may also be toxic, and employers should include this information as well when informing employees of the hazards associated with the materials they handle. The precise hazards associated with exposure to formaldehyde depend both on the form (solid, liquid, or gas) of the material and the concentration of formaldehyde present. For example, 37-50 percent solutions of formaldehyde present a much greater hazard to the skin and eyes from spills or splashes than solutions containing less than 1 percent formaldehyde. Individual Substance Technical Guidelines used by the employer for training employees should be modified to properly give information on the material actually being used.
Substance Identification
Chemical Name: Formaldehyde
Chemical Family: Aldehyde
Chemical Formula: HCHO Molecular Weight: 30.03
Chemical Abstracts Service Number
(CAS Number): 50-00-0
Synonyms: Formalin; Formic
Aldehyde; Paraform; Formol; Formalin
(Methanol-free); Fyde; Formalith;
Methanal; Methyl Aldehyde; Methylene
Glycol; Methylene Oxide;
Tetraoxymethalene; Oxomethane;
Oxymethylene
Components and Contaminants
Percent: 37.0 Formaldehyde
Percent: 63.0 Water
(NOTE: Inhibited solutions contain methanol.)
Other Contaminants: Formic Acid (alcohol free)
Exposure Limits: OSHA TWA-0.75 ppm
OSHA STEL-2 ppm
Physical Data
Description: Colorless liquid, pungent odor
Boiling Point: 214o F (101o C)
Specific Gravity: 1.08 (H2O = 1@20o C)
pH: 2.8-4.0
Solubility in Water: Miscible
Solvent Solubility: Soluble in alcohol and acetone
Vapor Density: 1.04 (Air = 1@20o C)
Odor Threshold: 0.8-1 ppm
Fire and Explosion Hazard
Moderate fire and explosion hazard when exposed to heat or flame.
The flash point of 37% formaldehyde solutions is above normal room temperature, but the explosion range is very wide, from 7 to 73% by volume in air.
Reaction of formaldehyde with nitrogen dioxide, nitromethane, perchloric acid and aniline, or peroxyformic acid yields explosive compounds.
Flash Point: 1855F (85oC) closed cup
Lower Explosion Limit: 7%
Upper Explosion Limit: 73%
Autoignition Temperature: 806oF (430oC)
Flammability Class (OSHA): III A.
Extinguishing Media: Use dry chemical, “alcohol foam,” carbon dioxide, or water in flooding amounts as fog. Solid streams may not be effective. Cool fire-exposed containers with water from side until well after fire is out.
Use of water spray to flush spills can also dilute the spill to produce nonflammable mixtures. Water runoff, however, should be contained for treatment. National Fire Protection Association section 325M Designation:
Health: 2--Materials hazardous to health, but areas may be entered with full-faced mask self-contained breathing apparatus which provides eye protection.
Flammability: 2--Materials which must be moderately heated before ignition will occur. Water spray may be used to extinguish the fire because the material can be cooled below its flash point.
Reactivity: D--Materials which (in themselves) are normally stable even under fire exposure conditions which are not reactive with water. Normal fire fighting procedures may be used. Reactivity
Stability: Formaldehyde solutions may self-polymerize to form paraformaldehyde which precipitates.
Incompatibility (Materials to Avoid): Strong oxidizing agents, caustics, strong alkalies, isocyanates, anhydrides, oxides, and inorganic acids. Formaldehyde reacts with hydrochloric acid to form the potent carcinogen, bischloromethyl ether. Formaldehyde reacts with nitrogen dioxide, nitromethane, perchloric acid and aniline, or peroxyformic acid to yield explosive compounds. A violent reaction occurs when formaldehyde is mixed with strong oxidizers.
Hazardous Combustion or Decomposition Products: Oxygen from the air can oxidize formaldehyde to formic acid, especially when heated. Formic acid is corrosive.
Health Hazard Data
Acute Effects of Exposure
Ingestion (Swallowing): Liquids containing 10 to 40% formaldehyde cause severe irritation and inflammation of the mouth, throat, and stomach. Severe stomach pains will follow ingestion with possible loss of consciousness and death. Ingestion of dilute formaldehyde solutions (0.03-0.04%) may cause discomfort in the stomach and pharynx.
Inhalation (Breathing): Formaldehyde is highly irritating to the upper respiratory tract and eyes. Concentrations of 0.5 to 2.0 ppm may irritate the eyes, nose, and throat of some individuals. Concentrations of 3 to 5 ppm also cause tearing of the eyes and are intolerable to some persons. Concentrations of 10 to 20 ppm cause difficulty in breathing, burning of the nose and throat, cough, and heavy tearing of the eyes, and 25 to 30 ppm causes severe respiratory tract injury leading to pulmonary edema and pneumonitis. A concentration of 100 ppm is immediately dangerous to life and health. Deaths from accidental exposure to high concentrations of formaldehyde have been reported.
Skin (Dermal): Formalin is a severe skin irritant and a sensitizer. Contact with formalin causes white discoloration, smarting, drying, cracking, and scaling. Prolonged and repeated contact can cause numbness and a hardening or tanning of the skin. Previously exposed persons may react to future exposure with an allergic eczematous dermatitis or hives.
Eye Contact: Formaldehyde solutions splashed in the eye can cause injuries ranging from transient discomfort to severe, permanent corneal clouding and loss of vision. The severity of the effect depends on the concentration of formaldehyde in the solution and whether or not the eyes are flushed with water immediately after the accident.
Note: The perception of formaldehyde by odor and eye irritation becomes less sensitive with time as one adapts to formaldehyde. This can lead to overexposure if a worker is relying on formaldehyde's warning properties to alert him or her to the potential for exposure.
Acute Animal Toxicity:
Oral, rats: LD50 = 800 mg/kg
Oral, mouse: LD50 = 42 mg/kg
Inhalation, rats: LCLo = 250 mg/kg
Inhalation, mouse: LCLo = 900 mg/kg
Inhalation, rats: LC50 = 590 mg/kg
Chronic Effects of Exposure
Carcinogenicity: Formaldehyde has the potential to cause cancer in humans. Repeated and prolonged exposure increases the risk. Various animal experiments have conclusively shown formaldehyde to be a carcinogen in rats. In humans, formaldehyde exposure has been associated with cancers of the lung, nasopharynx and oropharynx, and nasal passages.
Mutagenicity: Formaldehyde is genotoxic in several in vitro test systems showing properties of both an initiator and a promoter.
Toxicity: Prolonged or repeated exposure to formaldehyde may result in respiratory impairment. Rats exposed to formaldehyde at 2 ppm developed benign nasal tumors and changes of the cell structure in the nose as well as inflamed mucous membranes of the nose. Structural changes in the epithelial cells in the human nose have also been observed. Some persons have developed asthma or bronchitis following exposure to formaldehyde, most often as the result of an accidental spill involving a single exposure to a high concentration of formaldehyde.
Emergency and First Aid Procedures
Ingestion (Swallowing): If the victim is conscious, dilute, inactivate, or absorb the ingested formaldehyde by giving milk, activated charcoal, or water. Any organic material will inactivate formaldehyde. Keep affected person warm and at rest. Get medical attention immediately. If vomiting occurs, keep head lower than hips.
Inhalation (Breathing): Remove the victim from the exposure area to fresh air immediately. Where the formaldehyde concentration may be very high, each rescuer must put on a self-contained breathing apparatus before attempting to remove the victim, and medical personnel should be informed of the formaldehyde exposure immediately. If breathing has stopped, give artificial respiration. Keep the affected person warm and at rest. Qualified first-aid or medical personnel should administer oxygen, if available, and maintain the patient's airway and blood pressure until the victim can be transported to a medical facility. If exposure results in a highly irritated upper respiratory tract and coughing continues for more than 10 minutes, the worker should be hospitalized for observation and treatment.
Skin Contact. Remove contaminated clothing (including shoes) immediately. Wash the affected area of your body with soap or mild detergent and large amounts of water until no evidence of the chemical remains (at least 10 to 20 minutes). If there are chemical burns, get first aid to cover the area with sterile, dry dressing, and bandages. Get medical attention if you experience appreciable eye or respiratory irritation.
Eye Contact: Wash the eyes immediately with large amounts of water occasionally lifting lower and upper lids, until no evidence of chemical remains (at least 15 to 20 minutes). In case of burns, apply sterile bandages loosely without medication. Get medical attention immediately. If you have experienced appreciable eye irritation from a splash or excessive exposure, you should be referred promptly to an ophthalmologist for evaluation.
Emergency Procedures
Emergencies: If you work to an area where a large amount of formaldehyde could be released in an accident or from equipment failure, your employer must develop procedures to be followed in event of an emergency. You should be trained in your specific duties in the event of an emergency, and it is important that you clearly understand these duties. Emergency equipment must be accessible and you should be trained to use any equipment that you might need. Formaldehyde contaminated equipment must be cleaned before reuse.
If a spill of appreciable quantity occurs, leave the area quickly unless you have specific emergency duties. Do not touch spilled material. Designated persons may stop the leak and shut off ignition sources if these procedures can be done without risk. Designated persons should isolate the hazard area and deny entry except for necessary people protected by suitable protective clothing and respirators adequate for the exposure. Use water spray to reduce vapors. Do not smoke, and prohibit all flames or flares in the hazard area.
Special Firefighting Procedures: Learn procedures and responsibilities in the event of a fire in your workplace. Become familiar with the appropriate equipment and supplies and their location. In firefighting, withdraw immediately in case of rising sound from venting safety device or any discoloration of storage tank due to fire.
Spill, Leak, and Disposal Procedures
Occupational Spill: For small containers, place the leaking container in a well ventilated area. Take up small spills with absorbent material and place the waste into properly labeled containers for later disposal. For larger spills, dike the spill to minimize contamination and facilitate salvage or disposal. You may be able to neutralize the spill with sodium hydroxide or sodium sulfite. Your employer must comply with EPA rules regarding the clean-up of toxic waste and notify state and local authorities, if required. If the spill is greater than 1,000 lb/day, it is reportable under EPA's Superfund legislation.
Waste Disposal: Your employer must dispose of waste containing formaldehyde in accordance with applicable local, state, and Federal law and in a manner that minimizes exposure of employees at the site and of the clean-up crew.
Monitoring and Measurement Procedures
Monitoring Requirements: If your exposure to formaldehyde exceeds the 0.5 ppm action level or the 2 ppm STEL, your employer must monitor your exposure. Your employer need not measure every exposure if a “high exposure” employee can be identified. This person usually spends the greatest amount of time nearest the process equipment. If you are a “representative employee,” you will be asked to wear a sampling device to collect formaldehyde. This device may be a passive badge, adsorbent tube attached to a pump, or an impinger containing liquid. You should perform your work as usual, but inform the person who is conducting the monitoring of any difficulties you are having wearing the device.
Evaluation of 8-hour Exposure: Measurements taken for the purpose of determining time-weighted average (TWA) exposures are best taken with samples covering the full shift. Samples collected must be taken from the employee's breathing zone air.
Short-term Exposure Evaluation: If there are tasks that involve brief but intense exposure to formaldehyde, employee exposure must be measured to assure compliance with the STEL. Sample collections are for brief periods, only 15 minutes, but several samples may be needed to identify the peak exposure.
Monitoring Techniques: OSHA's only requirement for selecting a method for sampling and analysis is that the methods used accurately evaluate the concentration of formaldehyde in employees' breathing zones. Sampling and analysis may be performed by collection of formaldehyde on liquid or solid sorbents with subsequent chemical analysis. Sampling and analysis may also be performed by passive diffusion monitors and short-term exposure may be measured by instruments such as real-time continuous monitoring systems and portable direct reading instruments.
Notification of Results: Your employer must inform you of the results of exposure monitoring representative of your job. You may be informed in writing, but posting the results where you have ready access to them constitutes compliance with the standard.
Protective Equipment and Clothing
(Material impervious to formaldehyde is needed if the employee handles formaldehyde solutions of 1% or more. Other employees may also require protective clothing or equipment to prevent dermatitis.)
Respiratory Protection: Use NIOSH approved full facepiece negative pressure respirators equipped with approved cartridges or canisters within the use limitations of these devices. (Present restrictions on cartridges and canisters do not permit them to be used for a full workshift.) In all other situations, use positive pressure respirators such as the positive pressure air purifying respirator or the self-contained breathing apparatus (SCBA). If you use a negative pressure respirator, your employer must provide you with fit testing of the respirator at least once a year in accordance with the procedures outlined in Appendix E.
Protective Gloves: Wear protective (impervious) gloves provided by your employer, at no cost, to prevent contact with formalin. Your employer should select these gloves based on the results of permeation testing and in accordance with the ACGIH Guidelines for Selection of Chemical Protective Clothing.
Eye Protection: If you might be splashed in the eyes with formalin, it is essential that you wear goggles or some other type of complete protection for the eye. You may also need a face shield if your face is likely to be splashed with formalin, but you must not substitute face shields for eye protection. (This section pertains to formaldehyde solutions of 1% or more.)
Other Protective Equipment: You must wear protective (impervious) clothing and equipment provided by your employer at no cost to prevent repeated or prolonged contact with formaldehyde liquids. If you are required to change into whole-body chemical protective clothing, your employer must provide a change room for your privacy and for storage of your normal clothing.
If you are splashed with formaldehyde, use the emergency showers and eyewash fountains provided by your employer immediately to prevent serious injury. Report the incident to your supervisor and obtain necessary medical support.
Entry Into an IDLH Atmosphere
Enter areas where the formaldehyde concentration might be 100 ppm or more only with complete body protection including a self-contained breathing apparatus with a full facepiece operated in a positive pressure mode or a supplied air respirator with full facepiece and operated in a positive pressure mode. This equipment is essential to protect your life and health under such extreme conditions.
Engineering Controls
Ventilation is the most widely applied engineering control method for reducing the concentration of airborne substances in the breathing zones of workers. There are two distinct types of ventilation.
Local Exhaust: Local exhaust ventilation is designed to capture airborne contaminants as near to the point of generation as possible. To protect you, the direction of contaminant flow must always be toward the local exhaust system inlet and away from you.
General (Mechanical): General dilution ventilation involves continuous introduction of fresh air into the workroom to mix with the contaminated air and lower your breathing zone concentration of formaldehyde. Effectiveness depends on the number of air changes per hour. Where devices emitting formaldehyde are spread out over a large area, general dilution ventilation may be the only practical method of control.
Work Practices: Work practices and administrative procedures are an important part of a control system. If you are asked to perform a task in a certain manner to limit your exposure to formaldehyde, it is extremely important that you follow these procedures.
Medical Surveillance
Medical surveillance helps to protect employees' health. You are encouraged strongly to participate in the medical surveillance program.
Your employer must make a medical surveillance program available at no expense to you and at a reasonable time and place if you are exposed to formaldehyde at concentrations above 0.5 ppm as an 8-hour average or 2 ppm over any 15-minute period. You will be offered medical surveillance at the time of your initial assignment and once a year afterward as long as your exposure is at least 0.5 ppm (TWA) or 2 ppm (STEL). Even if your exposure is below these levels, you should inform your employer if you have signs and symptoms that you suspect, through your training, are related to your formaldehyde exposure because you may need medical surveillance to determine if your health is being impaired by your exposure.
The surveillance plan includes:
(a) A medical disease questionnaire.
(b) A physical examination if the physician determines this is necessary.
If you are required to wear a respirator, your employer must offer you a physical examination and a pulmonary function test every year.
The physician must collect all information needed to determine if you are at increased risk from your exposure to formaldehyde. At the physician's discretion, the medical examination may include other tests, such as a chest X-ray, to make this determination.
After a medical examination, the physician will provide your employer with a written opinion which includes any special protective measures recommended and any restrictions on your exposure. The physician must inform you of any medical conditions you have which would be aggravated by exposure to formaldehyde.
All records from your medical examinations, including disease surveys, must be retained at your employer's expense.
Emergencies
If you are exposed to formaldehyde in an emergency and develop signs or symptoms associated with acute toxicity from formaldehyde exposure, your employer must provide you with a medical examination as soon as possible. This medical examination will include all steps necessary to stabilize your health. You may be kept in the hospital for observation if your symptoms are severe to ensure that any delayed effects are recognized and treated.

Appendix B to Section 5217

Sampling Strategy and Analytical Methods for Formaldehyde
To protect the health of employees, exposure measurements must be unbiased and representative of employee exposure. The proper measurement of employee exposure requires more than a token commitment on the part of the employer. OSHA's mandatory requirements establish a baseline; under the best of circumstances all questions regarding employee exposure will be answered. Many employers, however, will wish to conduct more extensive monitoring before undertaking expensive commitments, such as engineering controls, to assure that the modifications are truly necessary. The following sampling strategy, which was developed at NIOSH by Nelson A. Leidel, Kenneth A. Busch, and Jeremiah R. Lynch and described in NIOSH publication No. 77-173 (Occupational Exposure Sampling Strategy Manual) will assist the employer in developing a strategy for determining the exposure of his or her employees.
There is no one correct way to determine employee exposure. Obviously, measuring the exposure of every employee exposed to formaldehyde will provide the most information on any given day. Where few employees are exposed, this may be a practical solution. For most employers, however, use of the following strategy will give just as much information at less cost.
Exposure data collected on a single day will not automatically guarantee the employer that his or her workplace is always in compliance with the formaldehyde standard. This does not imply, however, that it is impossible for an employer to be sure that his or her worksite is in compliance with the standard. Indeed, a property designed sampling strategy showing that all employees are exposed below the PELs, at least with a 95 percent certainty, is compelling evidence that the exposure limits are being achieved provided that measurements are conducted using valid sampling strategy and approved analytical methods.
There are two PELs, the TWA concentration and the STEL. Most employers will find that one of these two limits is more critical in the control of their operations, and OSHA expects that the employer will concentrate monitoring efforts on the critical component. If the more difficult exposure is controlled, this information, along with calculations to support the assumptions, should be adequate to show that the other exposure limit is also being achieved.
Sampling Strategy
Determination of the Need for Exposure Measurements
The employer must determine whether employees may be exposed to concentrations in excess of the action level. This determination becomes the first step in an employee exposure monitoring program that minimizes employer sampling burdens while providing adequate employee protection. If employees may be exposed above the action level, the employer must measure exposure. Otherwise, an objection determination that employee exposure is low provides adequate evidence that exposure potential has been examined.
The employer should examine all available relevant information, e.g., insurance company and trade association data and information from suppliers or exposure data collected from similar operations. The employer may also use previously-conducted sampling including area monitoring. The employer must make a determination relevant to each operation although this need not be on a separate piece of paper. If the employer can demonstrate conclusively that no employee is exposed above the action level or the STEL, through the use of objective data, the employer need proceed no further on employee exposure monitoring until such time that conditions have changed and the determination is no longer valid.
If the employer cannot determine that employee exposure is less than the action level and the STEL, employee exposure monitoring will have to be conducted.
Workplace Material Survey
The primary purpose of a survey of raw material is to determine if formaldehyde is being used in the work environment and if so, the conditions under which formaldehyde is being used.
The first step is to tabulate all situations where formaldehyde is used in a manner such that it may be released into the workplace atmosphere or contaminate the skin. This information should be available through analysis of company records and information on the MSDSs available through provisions of this standard and the Hazard Communication standard.
If there is an indication from materials handling records and accompanying MSDSs that formaldehyde is being used in the following types of processes or work operations, there may be a potential for releasing formaldehyde into the workplace atmosphere:
(1) Any operation that involves grinding, sanding, sawing, cutting, crushing, screening, sieving, or any other manipulation of material that generates formaldehyde-bearing dust;
(2) Any processes where there have been employee complaints or symptoms indicative of exposure to formaldehyde;
(3) Any liquid or spray process involving formaldehyde;
(4) Any process that uses formaldehyde in preserved tissue; and
(5) Any process that involves the heating of a formaldehyde-bearing resin. Processes and work operations that use formaldehyde in these manners will probably require further investigation at the worksite to determine the extent of employee monitoring that should be conducted. Workplace Observations
To this point, the only intention has been to provide an indication as to the existence of potentially exposed employees. With this information, a visit to the workplace is needed to observe work operations, to identify potential health hazards, and to determine whether any employees may be exposed to hazardous concentrations of formaldehyde.
In many circumstances, sources of formaldehyde can be identified through the sense of smell. However, this method of detection should be used with caution because of olfactory fatigue.
Employee location in relation to source of formaldehyde is important in determining if an employee may be significantly exposed to formaldehyde. In most instances, the closer a worker is to the source, the higher the probability that a significant exposure will occur.
Other characteristics should be considered. Certain high temperature operations give rise to higher evaporation rates. Locations of open doors and windows provide natural ventilation that tend to dilute formaldehyde emissions. General room ventilation also provides a measure of control.
Calculation of Potential Exposure Concentrations
By knowing the ventilation rate in a workplace and the quantity of formaldehyde generated, the employer may be able to determine by calculation if the PELs might be exceeded. To account for poor mixing of formaldehyde into the entire room, locations of fans and proximity of employees to the work operation, the employer must include a safety factor. If an employee is relatively close to a source, particularly if he or she is located downwind, a safety factor of 100 may be necessary. For other situations, a factor of 10 may be acceptable. If the employer can demonstrate through such calculations that employee exposure does not exceed the action level or the STEL, the employer may use this information as objective data to demonstrate compliance with the standard.
Sampling Strategy
Once the employer determines that there is a possibility of substantial employee exposure to formaldehyde, the employer is obligated to measure employee exposure.
The next step is selection of a maximum risk employee. When there are different processes where employees may be exposed to formaldehyde, a maximum risk employee should be selected for each work operation.
Selection of the maximum risk employee requires professional judgment. The best procedure for selecting the maximum risk employee is to observe employees and select the person closest to the source of formaldehyde. Employee mobility may affect this selection; e.g., if the closest employee is mobile in his tasks, he may not be the maximum risk employee. Air movement patterns and differences in work habits will also affect selection of the maximum risk employee.
When many employees perform essentially the same task, a maximum risk employee cannot be selected. In this circumstance, it is necessary to resort to random sampling of the group of workers. The objective is to select a subgroup of adequate size so that there is a high probability that the random sample will contain at least one worker with high exposure if one exists. The number of persons in the group influences the number that need to be sampled to ensure that at least one individual from the highest 10 percent exposure group is contained in the sample. For example, to have 90 percent confidence in the results, if the group size is 10, nine should be sampled; for 50, only 18 need to be sampled.
If measurement shows exposure to formaldehyde at or above the action level or the STEL, the employer needs to identify all other employees who may be exposed at or above the action level or STEL and measure or otherwise accurately characterize the exposure of these employees.
Whether representative monitoring or random sampling are conducted, the purpose remains the same--to determine if the exposure of any employee is above the action level. If the exposure of the most exposed employee is less than the action level and the STEL, regardless of how the employee is identified, then it is reasonable to assume that measurements of exposure of the other employees in that operation would be below the action level and the STEL.
Exposure Measurements
There is no “best” measurement strategy for all situations. Some elements to consider in developing a strategy are:
(1) Availability and cost of sampling equipment,
(2) Availability and cost of analytic facilities,
(3) Availability and cost of personnel to take samples,
(4) Location of employees and work operations,
(5) Intraday and interday variations in the process,
(6) Precision and accuracy of sampling and analytic methods, and
(7) Number of samples needed.
Samples taken for determining compliance with STEL differ from those that measure the TWA concentration in important ways. STEL samples are best taken in a non-random fashion using all available knowledge relating to the area, the individual, and the process to obtain samples during periods of maximum expected concentrations. At least three measurements on a shift are generally needed to spot gross errors or mistakes; however, only the highest value represents the STEL.
If an operation remains constant throughout the workshift, a much greater number of samples would need to be taken over the 32 discrete non-overlapping periods in an 8-hour workshift to verify compliance with a STEL. If employee exposure is truly uniform throughout the workshift, an employer in compliance with the 1 ppm TWA would be in compliance with the 2 ppm STEL, and this determination can probably be made using objective data.
Need to Repeat the Monitoring Strategy
Interday and intraday fluctuations in employee exposure are mostly influenced by the physical processes that generate formaldehyde and the work habits of the employee. Hence, implant process variations influence the employer's determination of whether or not additional controls need to be imposed. Measurements that employee exposure is low on a day that is not representative of worst conditions may not provide sufficient information to determine whether or not additional engineering controls should be installed to achieve the PELs.
The person responsible for conducting sampling must be aware of systematic changes which will negate the validity of the sampling results. Systematic changes in formaldehyde exposure concentration for an employee can occur due to:
(1) The employee changing patterns of movement in the workplace,
(2) Closing of plant doors and windows,
(3) Changes in ventilation from season to season,
(4) Decreases in ventilation efficiency or abrupt failure of engineering control equipment, and
(5) Changes in the production process or work habits of the employee. Any of these changes, if they may result in additional exposure that reaches the next level of action (i.e., 0.5 or 1.0 ppm as an 8-hr average or 2 ppm over 15 minutes) require the employer to perform additional monitoring to reassess employee exposure.
A number of methods are suitable for measuring employee exposure to formaldehyde or for characterizing emissions within the worksite. The preamble to this standard describes some methods that have been widely used or subjected to validation testing. A detailed analytical procedure derived from the OSHA Method 52 for acrolein and formaldehyde is presented below for informational purposes.
Inclusion of OSHA's method in this appendix in no way implies that it is the only acceptable way to measure employee exposure to formaldehyde. Other methods that are free from significant interferences and that can determine formaldehyde at the permissible exposure limits within z 25 percent of the “true” value at the 95 percent confidence level are also acceptable. Where applicable, the method should also be capable of measuring formaldehyde at the action level to z 35 percent of the “true” value with a 95 percent confidence level. OSHA encourages employers to choose methods that will be best for their individual needs. The employer must exercise caution, however, in choosing an appropriate method since some techniques suffer from interferences that are likely to be present in workplaces of certain industry sectors where formaldehyde is used.
OSHA's Analytical Laboratory Method
Method: No. 52
Matrix: Air
Target Concentration: 1 ppm (1.2 mg/m3)
Procedures: Air samples are collected by drawing known volumes of air through sampling tubes containing XAD-2 adsorbent which have been coated with 2-(hydroxymethyl) piperidine. The samples are desorbed with toluene and then analyzed by gas chromatography using a nitrogen selective detector.
Recommended Sampling Rate and Air Volumes: 0.1L/min and 24 L
Reliable Quantitation Limit: 16 ppb (20ug/m3)
Standard Error of Estimate of the Target Concentration: 7.3%
Status of the Method: A sampling and analytical method that has been subjected to the established evaluation procedures of the Organic Methods of Evaluation Branch.
Date: March 1985
1. General Discussion
1.1 Background: The current OSHA method for collecting acrolein vapor recommends the use of activated 13X molecular sieves. The samples must be stored in an ice bath during and after sampling and also they must be analyzed within 48 hours of collection. The current OSHA method for collecting formaldehyde vapor recommends the use of bubblers containing 10% methanol in water as the trapping solution.
This work was undertaken to resolve the sample stability problems associated with acrolein and also to eliminate the need to use bubblers to sample formaldehyde. A goal of this work was to develop and/or to evaluate a common sampling and analytical procedure for acrolein and formaldehyde.
NIOSH has developed independent methodologies for acrolein and formaldehyde which recommend the use of reagent-coated adsorbent tubes to collect the aldehydes as stable derivatives. The formaldehyde sampling tubes contain Chromosorb 102 adsorbent coated with N-benzylethanolamine (BEA) which reacts with formaldehyde vapor to form a stable oxazolidine compound. The acrolein sampling tubes contain XAD-2 adsorbent coated with 2-(hydroxymethyl) piperidine (2-HMP) which reacts with acrolein vapor to form a different, stable oxazolidine derivative. Acrolein does not appear to react with BEA to give a suitable reaction product. Therefore, the formaldehyde procedure cannot provide a common method for both aldehydes. However, formaldehyde does react with 2-HMP to form a very suitable reaction product. It is the quantitative reaction of acrolein and formaldehyde with 2-HMP that provides the basis for this evaluation.
This sampling and analytical procedure is very similar to the method recommended by NIOSH for acrolein. Some changes in the NIOSH methodology were necessary to permit the simultaneous determination of both aldehydes and also to accommodate OSHA laboratory equipment and analytical techniques.
1.2 Limit-defining parameters: The analyte air concentrations reported in this method are based on the recommended air volume for each analyte collected separately and a desorption volume of 1 mL. The amounts are presented as acrolein and/or formaldehyde, even though the derivatives are the actual species analyzed.
1.2.1 Detection limits of the analytical procedure: The detection limit of the analytical procedure was 386 pg per injection for formaldehyde. This was the amount of analyte which gave a peak whose height was about five times the height of the peak given by the residual formaldehyde derivative in a typical blank front section of the recommended sampling tube.
1.2.2 Detection limits of the overall procedure: The detection limits of the overall procedure were 482 ng per sample (16 ppb or 20 ug/m3 for formaldehyde). This was the amount of analyte spiked on the sampling device which allowed recoveries approximately equal to the detection limit of the analytical procedure.
1.2.3 Reliable quantitation limits: The reliable quantitation limit was 482 ng per sample (16 ppb or 20 ug/m3) for formaldehyde. These were the smallest amounts of analyte which could be quantitated within the limits of a recovery of at least 75% and a precision (+ 1.96 SD)of + 25% or better.
The reliable quantitation limit and detection limits reported in the method are based upon optimization of the instrument for the smallest possible amount of analyte. When the target concentration of an analyte is exceptionally higher than these limits, they may not be attainable at the routine operating parameters.
1.2.4 Sensitivity: The sensitivity of the analytical procedure over concentration ranges representing 0.4 to 2 times the target concentration, based on the recommended air volumes, was 7,589 area units per ug/mL for formaldehyde. This value was determined from the slope of the calibration curve. The sensitivity may vary with the particular instrument used in the analysis.
1.2.5 Recovery: The recovery of formaldehyde from samples used in an 18-day storage test remained above 92% when the samples were stored at ambient temperature. These values were determined from regression lines which were calculated from the storage data. The recovery of the analyte from the collection device must be at least 75% following storage.
1.2.6 Precision (analytical method only): The pooled coefficient of variation obtained from replicate determinations of analytical standards over the range of 0.4 to 2 times the target concentration was 0.0052 for formaldehyde (section 4.3).
1.2.7 Precision (overall procedure): The precision at the 95% confidence level for the ambient temperature storage tests was + 14.3% for formaldehyde. These values each include an additional + 5% for sampling error. The overall procedure must provide results at the target concentrations that are + 25% at the 95% confidence level.
1.2.8 Reproducibility: Samples collected from controlled test atmospheres and a draft copy of this procedure were given to a chemist unassociated with this evaluation. The formaldehyde samples were analyzed following 15 days storage. The average recovery was 96.3% and the standard deviation was 1.7%.
1.3 Advantages:
1.3.1 The sampling and analytical procedures permit the simultaneous determination of acrolein and formaldehyde.
1.3.2 Samples are stable following storage at ambient temperature for at least 18 days.
1.4 Disadvantages: None.
2. Sampling Procedure
2.1 Apparatus:
2.1.1 Samples are collected by use of a personal sampling pump that can be calibrated to within + 5% of the recommended 0.1L/min sampling rate with the sampling tube in line.
2.1.2 Samples are collected with laboratory prepared sampling tubes. The sampling tube is constructed of silane treated glass and is about 8-cm long. The ID is 4 mm and the OD is 6 mm. One end of the tube is tapered so that a glass wool end plug will hold the contents of the tube in place during sampling. The other end of the sampling tube is open to its full 4-mm ID to facilitate packing of the tube. Both ends of the tube are firepolished for safety. The tube is packed with a 75-mg backup section, located nearest the tapered end and a 150-mg sampling section of pretreated XAD-2 adsorbent which has been coated with 2-HMP. The two sections of coated adsorbent are separated and retained with small plugs of silanized glass wool. Following packing, the sampling tubes are sealed with two 7/32 inch OD plastic end caps. Instructions for the pretreatment and the coating of XAD-2 adsorbent are presented in section 4 of this method.
2.1.3 Sampling tubes, similar to those recommended in this method, are marketed by Supelco, Inc. These tubes were not available when this work was initiated, therefore, they were not evaluated.
2.2 Reagents: None required.
2.3 Technique:
2.3.1 Properly label the sampling tube before sampling and then remove the plastic end caps.
2.3.2 Attach the sampling tube to the pump using a section of flexible plastic tubing such that the large, front section of the sampling tube is exposed directly to the atmosphere. Do not place any tubing ahead of the sampling tube. The sampling tube should be attached in the worker's breathing zone in a vertical manner such that it does not impede work performance.
2.3.3 After sampling for the appropriate time, remove the sampling tube from the pump and then seal the tube with plastic end caps.
2.3.4  Include at least one blank for each sampling set. The blank should be handled in the same manner as the samples with the exception that air is not drawn through it.
2.3.5 List any potential interferences on the sample data sheet.
2.4 Breakthrough:
2.4.1 Breakthrough was defined as the relative amount of analyte found on a backup sample in relation to the total amount of analyte collected on the sampling train.
2.4.2 For formaldehyde collected from test atmospheres containing 6 times the PEL, the average 5% breakthrough air volume was 41 L. The sampling rate was 0.1L/min and the average mass of formaldehyde collected was 250 ug.
2.5 Desorption Efficiency: No desorption efficiency corrections are necessary to compute air sample results because analytical standards are prepared using coated adsorbent. Desorption efficiencies were determined, however, to investigate the recoveries of the analytes from the sampling device. The average recovery over the range of 0.4 to 2 times the target concentration, based on the recommended air volumes, was 96.2% for formaldehyde. Desorption efficiencies were essentially constant over the ranges studied.
2.6 Recommended Air Volume and Sampling Rate:
2.6.1 The recommended air volume for formaldehyde is 24 L.
2.6.2 The recommended sampling rate is 0.1L/min.
2.7 Interferences:
2.7.1 Any collected substance that is capable of reacting 2-HMP and thereby depleting the derivatizing agent is a potential interference. Chemicals which contain a carbonyl group, such as acetone, may be capable of reacting with 2-HMP.
2.7.2 There are no other known interferences to the sampling method.
2.8 Safety Precautions:
2.8.1 Attach the sampling equipment to the worker in such a manner that it will not interfere with work performance or safety.
2.8.2 Follow all safety practices that apply to the work area being sampled.
3. Analytical Procedure
3.1 Apparatus:
3.1.1 A gas chromatograph (GC), equipped with a nitrogen selective detector. A Hewlett-Packard Model 5840A GC fitted with a nitrogen-phosphorus flame ionization detector (NPD) was used for this evaluation. Injections were performed using a Hewlett-Packard Model 7671A automatic sampler.
3.1.2 A GC column capable of resolving the analytes from any interference. A 6 ft x 1/4 in OD (2mm ID) glass GC column containing 10% UCON 50-HB-5100 + 2% KOH on 80/100 mesh Chromosorb W-AW was used for the evaluation. Injections were performed on-column.
3.1.3 Vials, glass 2-mL with Teflon-lined caps.
3.1.4 Volumetric flasks, pipets, and syringes for preparing standards, making dilutions, and performing injections.
3.2 Reagents:
3.2.1 Toluene and dimethylformamide. Burdick and Jackson solvents were used in this evaluation.
3.2.2 Helium, hydrogen, and air, GC grade.
3.2.3 Formaldehyde, 37% by weight, in water. Aldrich Chemical, ACS Reagent Grade formaldehyde was used in this evaluation.
3.2.4 Amberlite XAD-2 adsorbent coated with 2-(hydrosymethyl-piperidine (2-HMP), 10% by weight (section 4).
3.2.5 Desorbing solution with internal standard. This solution was prepared by adding 20 uL of dimethylformamide to 100 mL of toluene.
3.3 Standards preparation:
3.3.1 Formaldehyde: Prepare stock standards by diluting known volumes of 37% formaldehyde solution with methanol. A procedure to determine the formaldehyde content of these standards is presented in section 4. A standard containing 7.7 mg/mL formaldehyde was prepared by diluting 1 mL of the 37% reagent to 50 mL with methanol.
3.3.2 It is recommended that analytical standards be prepared about 16 hours before the air samples are to be analyzed in order to ensure the complete reaction of the analytes with 2-HMP. However, rate studies have shown the reaction to be greater than 95% complete after 4 hours. Therefore, one or two standards can be analyzed after this reduced time if sample results are outside the concentration range of the prepared standards.
3.3.3 Place 150-mg portions of coated XAD-2 adsorbent, from the same lot number as used to collect the air samples, into each of several glass 2-mL vials. Seal each vial with a Teflon-lined cap.
3.3.4 Prepare fresh analytical standards each day by injecting appropriate amounts of the diluted analyte directly onto 150-mg portions of coated adsorbent. It is permissible to inject both acrolein and formaldehyde on the same adsorbent portion. Allow the standards to stand at room temperature. A standard, approximately the target levels, was prepared by injecting 11 uL of the acrolein and 12 uL of the formaldehyde stock standards onto a single coated XAD-2 adsorbent portion.
3.3.5 Prepare a sufficient number of standards to generate the calibration curves. Analytical standard concentrations should bracket sample concentrations. Thus, if samples are not in the concentration range of the prepared standards, additional standards must be prepared to determine detector response.
3.3.7 Desorb the standards in the same manner as the samples following the 16-hour reaction time.
3.4 Sample preparation:
3.4.1 Transfer the 150-mg section of the sampling tube to a 2-mL vial. Place the 75-mg section in a separate vial. If the glass wool plugs contain a significant number of adsorbent beads, place them with the appropriate sampling tube section. Discard the glass wool plugs if they do not contain a significant number of adsorbent beads.
3.4.2 Add 1 mL of desorbing solution to each vial.
3.4.3 Seal the vials with Teflon-lined caps and then allow them to desorb for one hour. Shake the vials by hand with vigorous force several times during the desorption time.
3.4.4 Save the used sampling tubes to be cleaned and recycled.
3.5 Analysis:
3.5.1 GC Conditions Column Temperature:
Bi-level temperature program-First level: 100 to 1405oC at 45oC/min following completion of the first level.
Second level: 140 to 180oC at 20oC/min following completion of the first level.
Isothermal period: Hold column at 180oC until the recorder pen returns to baseline (usually about 25 min after injection).
Injector temperature: 180oC
Helium flow rate: 30 mL/min (detector response will be reduced if nitrogen is substituted for helium carrier gas).
Injection volume: 0.8 uL GC column: Six-ft x 1/4-in OD (2 mm ID) glass
GC column containing 10% UCON 50-HB-5100-2% KOH on 80/100 Chromosorb W-AW.
NPD conditions:
Hydrogen flow rate: 3 mL/min
Air flow rate: 50 mL/min
Detector temperature: 275oC
3.5.2 Chromatogram: For an example of a typical chromatogram, see Figure 4.11 in OSHA Method 52.
3.5.3 Use a suitable method, such as electronic integration, to measure detector response.
3.5.4 Use an internal standard method to prepare the calibration curve with several standard solutions of different concentrations. Prepare the calibration curve daily. Program the integrator to report results in ug/mL.
3.5.5 Bracket sample concentrations with standards.
3.6 Interferences (Analytical).
3.6.1 Any compound with the same general retention time as the analytes and which also gives a detector response is a potential interference. Possible interferences should be reported to the laboratory with submitted samples by the industrial hygienist.
3.6.2 GC parameters (temperature, column, etc.) may be changed to circumvent interferences.
3.6.3 A useful means of structure designation is GC/MS. It is recommended this procedure be used to confirm samples whenever possible.
3.6.4 The coated adsorbent usually contains a very small amount of residual formaldehyde derivative (section 4.8).
3.7 Calculations:
3.7.1 Results are obtained by use of calibration curves. Calibration curves are prepared by plotting detector response against concentration for each standard. The best line through the data points is determined by curve fitting.
3.7.2 The concentration in ug/mL for a particular sample is determined by comparing its detector response to the calibration curve. If either of the analytes is found on the backup section, it is added to the amount found on the front section. Blank corrections should be performed before adding the results together.
3.7.3 The acrolein and/or formaldehyde air concentration can be expressed using the following equation:
mg/m3 = (A) (B)/C
where A = ug/mL from 3.7.2, B = desorption volume, and C = L of air sampled.
No desorption efficiency corrections are required.
3.7.4 The following equation can be used to convert result in mg/m3 to ppm. ppm = (mg/m3) (24.45)/MW
where mg/m3 = result from 3.7.3, 24.45 = molar volume of an ideal gas at 760 mm Hg and 25oC, MW = molecular weight (30.0).
4. Backup Data
4.1 Backup data on detection limits, reliable quantitation limits, sensitivity and precision of the analytical method, breakthrough, desorption efficiency, storage, reproducibility, and generation of test atmospheres are available in OSHA Method 52, developed by the Organics Methods Evaluation Branch, OSHA Analytical Laboratory, Salt Lake City, Utah.
4.2 Procedure to Coat XAD-2 Adsorbent with 2-HMP:
4.2.1 Apparatus: Soxhlet extraction apparatus, rotary evaporation apparatus, vacuum desiccator, 1-L vacuum flask, 1-L round-bottomed evaporative flask, 1-L Erlenmeyer flask, 250-mL Buchner funnel with a coarse fritted disc, etc.
4.2.2 Reagents:
4.2.2.1 Methanol, isooctane, and toluene.
4.2.2.2-(Hydroxymethyl) piperidine.
4.2.2.3 Amberlite XAD-2 non-ionic polymeric adsorbent, 20 to 60 mesh, Aldrich Chemical XAD-2 was used in this evaluation.
4.2.3 Procedure: Weigh 125 g of crude XAD-2 adsorbent into a 1-L Erlenmeyer flask. Add about 200 mL of water to the flask and then swirl the mixture to wash the adsorbent. Discard any adsorbent that floats to the top of the water and then filter the mixture using a fritted Buchner funnel. Air dry the adsorbent for 2 minutes. Transfer the adsorbent back to the Erlenmeyer flask and then add about 200 mL of methanol to the flask. Swirl and then filter the mixture as before. Transfer the washed adsorbent to a 1-L round-bottomed evaporative flask, add 13 g of 2-HMP and then 200 mL of methanol, swirl the mixture and then allow it to stand for one hour. Remove the methanol at about 405C and reduced pressure using a rotary evaporation apparatus. Transfer the coated adsorbent to a suitable container and store it in a vacuum desiccator at room temperature overnight. Transfer the coated adsorbent to a Soxhlet extractor and then extract the material with toluene for about 24 hours. Discard the contaminated toluene, add methanol in its place, and then continue the Soxhlet extraction for an additional 4 hours. Transfer the adsorbent to a weighted 1-L round-bottom evaporative flask and remove the methanol using the rotary evaporation apparatus. Determine the weight of the adsorbent and then add an amount of 2-HMP, which is 10% by weight of the adsorbent. Add 200 mL of methanol and then swirl the mixture. Allow the mixture to stand for one hour. Remove the methanol by rotary evaporation. Transfer the coated adsorbent to a suitable container and store it in a vacuum desiccator until all traces of solvents are gone. Typically, this will take 2-3 days. The coated adsorbent should be protected from contamination. XAD-2 adsorbent treated in this manner will probably not contain residual acrolein derivative. However, this adsorbent will often contain residual formaldehyde derivative levels of about 0.1 ug per 150 mg of adsorbent. If the blank values for a batch of coated adsorbent are too high, then the batch should be returned to the Soxhlet extractor, extracted with toluene again, and then recoated. This process can be repeated until the desired blank levels are attained.
The coated adsorbent is now ready to be packed into sampling tubes. The sampling tubes should be stored in a sealed container to prevent contamination. Sampling tubes should be stored in the dark at room temperature. The sampling tubes should be segregated by coated adsorbent lot number. A sufficient amount of each lot number of coated adsorbent should be retained to prepare analytical standards for use with air samples from that lot number.
4.3 A Procedure to Determine Formaldehyde by Acid Titration: Standardize the 0.1 N HC1 solution using sodium carbonate and methyl orange indicator.
Place 50 mL of 0.1 M sodium sulfite and three drops of thymophthalein indicator into a 250-mL Erlenmeyer flask. Titrate the contents of the flask to a colorless endpoint with 0.1 N HC1 (usually one or two drops is sufficient). Transfer 10 mL of the formaldehyde/methanol solution (prepared in 3.3.1) into the same flask and titrate the mixture with 0.1 N HC1. again, to a colorless endpoint. The formaldehyde concentration of the standard may be calculated by the following equation:

Formal-	acid titer x acid

dehyde, =	normality x 30.0

mg/mL	mL of sample
This method is based on the quantitative liberation of sodium hydroxide when formaldehyde reacts with sodium sulfite to form the formaldehyde-bisulfite addition product. The volume of sample may be varied depending on the formaldehyde content but the solution to be titrated must contain excess sodium sulfite. Formaldehyde solutions containing substantial amounts of acid or base must be neutralized before analysis.

Appendix C to Section 5217

Medical Surveillance--Formaldehyde
I. Health Hazards
The occupational health hazards of formaldehyde are primarily due to its toxic effects after inhalation, after direct contact with the skin or eyes by formaldehyde in liquid or vapor form, and after ingestion.
II. Toxicology
A. Acute Effects of Exposure
1. Inhalation (breathing): Formaldehyde is highly irritating to the upper airways. The concentration of formaldehyde that is immediately dangerous to life and health is 100 ppm. Concentrations above 50 ppm can cause severe pulmonary reactions within minutes. These include pulmonary edema, pneumonia, and bronchial irritation which can result in death. Concentrations above 5 ppm readily cause lower airway irritation characterized by cough, chest tightness, and wheezing. There is some controversy regarding whether formaldehyde gas is a pulmonary sensitzer which can cause occupational asthma in a previously normal individual. Formaldehyde can produce symptoms of bronchial asthma in humans. The mechanism may be either sensitization of the individual by exposure to formaldehyde or direct irritation by formaldehyde in persons with pre-existing asthma. Upper airway irritation is the most common respiratory effect reported by workers and can occur over a wide range of concentrations, most frequently above 1 ppm. However, airway irritation has occurred in some workers with exposures to formaldehyde as low as 0.1 ppm. Symptoms of upper airway irritation include dry or sore throat, itching and burning sensations of the nose, and nasal congestion. Tolerance to this level of exposure may develop within 1-2 hours. This tolerance can permit workers remaining in an environment of gradually increasing formaldehyde concentrations to be unaware of their increasingly hazardous exposure.
2. Eye contact: Concentrations of formaldehyde between 0.05 ppm and 0.5 ppm produce a sensation of irritation in the eyes with burning, itching, redness, and tearing. Increased rate of blinking and eye closure generally protects the eye from damage at these low levels, but these protective mechanisms may interfere with some workers' work abilities. Tolerance can occur in workers continuously exposed to concentrations of formaldehyde in this range. Accidental splash injuries of human eyes to aqueous solutions of formaldehyde (formalin) have resulted in a wide range of ocular injuries including corneal opacities and blindness. The severity of the reactions have been directly dependent on the concentration of formaldehyde in solution and the amount of time lapsed before emergency and medical intervention.
3. Skin contact: Exposure to formaldehyde solutions can cause irritation of the skin and allergic contact dermatitis. These skin diseases and disorders can occur at levels well below those encountered by many formaldehyde workers. Symptoms include erythema, edema, and vesiculation or hives. Exposure to liquid formalin or formaldehyde vapor can provoke skin reactions in sensitized individuals even when airborne concentrations of formaldehyde are well below 1 ppm.
4. Ingestion: Ingestion of as little as 30 ml of a 37 percent solution of formaldehyde (formalin) can result in death. Gastrointestinal toxicity after ingestion is most severe in the stomach and results in symptoms which can include nausea, vomiting, and severe abdominal pain. Diverse damage to other organ systems including the liver, kidney, spleen, pancreas, brain, and central nervous systems can occur from the acute response to ingestion of formaldehyde.
B. Chronic Effects of Exposure
Long term exposure to formaldehyde has been shown to be associated with an increased risk of cancer of the nose and accessory sinuses, nasopharyngeal and oropharyngeal cancer, and lung cancer in humans. Animal experiments provide conclusive evidence of a casual relationship between nasal cancer in rats and formaldehyde exposure. Concordant evidence of carcinogenicity includes DNA binding, genotoxicity in short-term tests, and cytotoxic changes in the cells of the target organ suggesting both preneoplastic changes and a doserate effect. Formaldehyde is a complete carcinogen and appears to exert an effect on at least two stages of the carcinogenic process.
III. Surveillance considerations
A. History
1. Medical and occupational history: Along with its acute irritative effects, formaldehyde can cause allergic sensitization and cancer. One of the goals of the work history should be to elicit information on any prior or additional exposure to formaldehyde in either the occupational or the non-occupational setting.
2. Respiratory history: As noted above, formaldehyde has recognized properties as an airway irritant and has been reported by some authors as a cause of occupational asthma. In addition, formaldehyde has been associated with cancer of the entire respiratory system of humans. For these reasons, it is appropriate to include a comprehensive review of the respiratory system in the medical history. Components of this history might include questions regarding dyspnea on exertion, shortness of breath, chronic airway complaints, hyperactive airway disease, rhinitis, bronchitis, bronchiolitis, asthma, emphysema, respiratory allergic reaction, or other preexisting pulmonary disease.
In addition, generalized airway hypersensitivity can result from exposures to a single sensitizing agent. The examiner should, therefore, elicit any prior history of exposure to pulmonary irritants and any short- or long-term effects of that exposure.
Smoking is known to decrease mucociliary clearance of materials deposited during respiration in the nose and upper airways. This may increase a worker's exposure to inhaled materials such as formaldehyde vapor. In addition, smoking is a potential confounding factor in the investigation of any chronic respiratory disease, including cancer. For these reasons, a complete smoking history should be obtained.
3. Skin Disorders: Because of the dermal irritant and sensitizing effects of formaldehyde, a history of skin disorders should be obtained. Such a history might include the existence of skin irritation, previously documented skin sensitivity, and other dermatologic disorders. Previous exposure to formaldehyde and other dermal sensitizers should be recorded.
4. History of atopic or allergic diseases: Since formaldehyde can cause allergic sensitization of the skin and airways, it might be useful to identify individuals with prior allergen sensitization. A history of atopic disease and allergies to formaldehyde or any other substances should also be obtained. It is not definitely known at this time whether atopic diseases and allergies to formaldehyde or any other substances should also be obtained. Also, it is not definitely known at this time whether atopic individuals have a greater propensity to develop formaldehyde sensitivity than the general population, but identification of these individuals may be useful for ongoing surveillance.
5. Use of disease questionnaires: Comparison of the results from previous years with present results provides the best method for detecting a general deterioration in health when toxic signs and symptoms are measured subjectively. In this way recall bias does not affect the results of the analysis. Consequently, OSHA has determined that the findings of the medical and work histories should be kept in a standardized form for comparison of the year-to-year results.
B. Physical Examination
1. Mucosa of eyes and airways: Because of the irritant effects of formaldehyde, the examining physician should be alert to evidence of this irritation. A speculum examination of the nasal mucosa may be helpful in assessing possible irritation and cytotoxic changes, as may be indirect inspection of the posterior pharynx by mirror.
2. Pulmonary system: A conventional respiratory examination, including inspection of the thorax and auscultation and percussion of the lung fields should be performed as part of the periodic medical examination. Although routine pulmonary function testing is only required by the standard once every year for persons who are exposed over the TWA concentration limit, these tests have an obvious value in investigation possible respiratory dysfunction and should be used wherever deemed appropriate by the physician. In cases of alleged formaldehyde-induced airway disease, other possible causes of pulmonary disfunction (including exposures to other substances) should be ruled out. A chest radiograph may be useful in these circumstances. In cases of suspected airway hypersensitivity or allergy, it may be appropriate to use bronchial challenge testing with formaldehyde or methacholine to determine the nature of the disorder. Such testing should be performed by or under the supervision of a physician experienced in the procedures involved.
3. Skin: The physician should be alert to evidence of dermal irritation of sensitization, including reddening and inflammation, urticaria, blistering, scaling, formation of skin fissures, or other symptoms. Since the integrity of the skin barrier is compromised by other dermal disease, the presence of such disease should be noted. Skin sensitivity testing carries with it some risk of inducing sensitivity, and therefore, skin testing for formaldehyde sensitivity should not be used as a routine screening test. Sensitivity testing may be indicated in the investigation of a suspected existing sensitivity. Guidelines for such testing have been prepared by the North American Contact Dermatitis Group.
C. Additional Examinations or Tests
The physician may deem it necessary to perform other medical examinations or tests as indicated. The standard provides a mechanism whereby these additional investigations are covered under the standard for occupational exposure to formaldehyde.
D. Emergencies
The examination of workers exposed in an emergency should be directed at the organ systems most likely to be affected. Much of the contents of the examination will be similar to the periodic examination unless the patient has received a severe acute exposure requiring immediate attention to prevent serious consequences. If a severe overexposure requiring medical intervention or hospitalization has occurred, the physician must be alert to the possibility of delayed symptoms. Follow-up nonroutine examinations may be necessary to assure the patient's well-being.
E. Employer Obligations
The employer is required to provide the physician with the following information: A copy of this standard and appendices A, C, D, and E; a description of the affected employee's duties as they relate to his or her exposure concentration; an estimate of the employee's exposure including duration (e.g. 15 hr/wk, three 8-hour shifts, full-time); a description of any personal protective equipment, including respirators, used by the employee; and the results of any previous medical determinations for the affected employee related to formaldehyde exposure to the extent that this information is within the employer's control.
F. Physician's Obligations
The standard requires the employer to obtain a written statement from the physician. This statement must contain the physician's opinion as to whether the employee has any medical condition which would place him or her at increased risk of impaired health from exposure to formaldehyde or use of respirators, as appropriate. The physician must also state his opinion regarding any restrictions that should be placed on the employee's exposure to formaldehyde or upon the use of protective clothing or equipment such as respirators. If the employee wears a respirator as a result of his or her exposure to formaldehyde, the physician's opinion must also contain statement regarding the suitability of the employee to wear the type of respirator assigned. Finally, the physician must inform the employer that the employee has been told the results of the medical examination and of any medical conditions which require further explanation or treatment. This written opinion is not to contain any information on specific findings or diagnoses unrelated to occupational exposure to formaldehyde.
The purpose in requiring the examining physician to supply the employer with a written opinion is to provide the employer with a medical basis to assist the employer in placing employees initially, in assuring that their health is not being impaired by formaldehyde, and to assess the employee's ability to use any required protective equipment.

Appendix D to Section 5217

Nonmandatory Medical Disease Questionnaire

	A. Identification
	Plant Name:	
	Date:	
	Employee Name:	
	S.S. #:	
	Job Title:	
	Birthdate:	
	Age:	
	Sex:	
	Height:	
	Weight:	
B. Medical History 
1. Have you ever been in the hospital as a patient?

	If yes, what kind of problem were you having?
		
2. Have you ever had any kind of operation?

	If yes, what kind?	
		
3. Do you take any kind of medicine regularly?

	If yes, what kind?	
		
4. Are you allergic to any drugs, foods, or chemicals?

	If yes, what kind of allergy is it?	
		
	What causes the allergy?	
		
5. Have you ever been told that you have asthma, hayfever, or sinusitis?
6. Have you ever been told that you have emphysema, bronchitis, or any other respiratory problems? 
7. Have you ever been told that you had hepatitis? 
8. Have you ever been told that you had cirrhosis? 
9. Have you ever been told that you had cancer? 
10. Have you ever had arthritis or joint pain? 
11. Have you ever been told that you had high blood pressure? 
12. Have you ever had a heart attack or heart trouble? 
B-1.  Have Medical History Update
1. Have you been in the hospital as a patient any time within the past year? 
If so, for what condition?______________________
2. Have you been under the care of a physician during the past year? 

	If so, for what condition?	
		
3. Is there any change in your breathing since last year?

	Better?	
	Worse?	
	No change?	
	If change, do you know why?	
		
4. Is your general health different this year from last year? 

	If different, in what way?	
		
5. Have you in the past year or are you now taking any medication on a regular basis?

	Name Rx	
	Condition being treated	
C.  Occupational History

	1. How long have you worked for your present employer?	

	2. What job have you held with this employer? Include job title and length in each job.	

		

	3. In each of these jobs, how many hours a day were you exposed to chemicals?	

	4. What chemicals have you worked with most of the time?	
		
5. Have you ever noticed any type of skin rash you feel was related to your work?
6. Have you ever noticed that any kind of chemical makes you cough? 
Wheeze?
Become short of breath or cause your chest to become tight?
7. Are you exposed to any dust or chemicals at home?

	If yes, explain:	

8. In other jobs, have you ever had exposure to:
Wood dust? 
Nickel or chromium? 
Silica (foundry, sand blasting)?
Arsenic or asbestos?
Organic solvents?
Urethane foams?
C-1.  Occupational History Update
1. Are you working on the same job this year as you were last year? 

	If not, how has your job changed?	

	2. What chemicals are you exposed to on your job?	

	3. How many hours a day are are exposed to chemicals?	
4. Have you noticed any skin rash within the past year you feel was related to your work?

	If so, explain circumstances:	
		
5. Have you noticed that any chemical makes you cough, be short of breath, or wheeze?

	If so, can you identify it?	
		
D.  Miscellaneous
1. Do you smoke?

	If so, how much and for how long?	
		
	Pipe	
	Cigars	
	Cigarettes	
2. Do you drink alcohol in any form?

	If so, how much, how long, and how often?	
		
3. Do you wear glasses or contact lenses?
4. Do you get any physical exercise other than that required to do your job?

	If so, explain:	
		
5. Do you have any hobbies or “side jobs” that require you to use chemicals, such as furniture stripping, sand blasting, insulation or manufacture of urethane foam, furniture, etc?

	If so, please describe, giving type of business or hobby, chemicals used and length of exposures.

E.  Symptoms Questionnaire
1. Do you ever have any shortness of breath?
If yes, do you have to rest after climbing several flights of stairs?
If yes, if you walk on the level with people your own age, do you walk slower than they do?
If yes, if you walk slower than a normal pace, do you have to limit the distance that you walk?
If yes, do you have to stop and rest while bathing or dressing?
2. Do you cough as much as three months out of the year?
If yes, have you had this cough for more than two years?
If yes, do you ever cough anything up from chest?
3. Do you ever have a feeling of smothering, unable to take a deep breath, or tightness in you chest?
If yes, do you notice this condition on any particular day of the week?

	If yes, what day of the week?	
If yes, do you notice that this occurs at any particular place?
If yes, do you notice that this is worse after you have returned to work after being off for several days?
4. Have you ever noticed any wheezing in your chest?
If yes, is this only with colds or other infections?
Is this caused by exposure to any kind of dust or other material?

	If yes, what kind?	
5. Have you noticed any burning, tearing, or redness of your eyes when you are at work?

	If so, explain circumstances:	
		
6. Have you noticed any sore or burning throat or itchy or burning nose when you are at work?

	If so, explain circumstances:	
		
7. Have you noticed any stuffiness or dryness of your nose?
8. Do you ever have swelling of the eyelids or face?
9. Have you ever been jaundiced?
If yes, was this accompanied by any pain?
10. Have you ever had a tendency to bruise easily or bleed excessively?
11. Do you have frequent headaches that are not relieved by aspirin or Tylenol?
If yes, do they occur at any particular time of the day or week?

	If yes, when do they occur?	
		
12. Do you have frequent episodes of nervousness or irritability?
13. Do you tend to have trouble concentrating or remembering?
14. Do you ever feel dizzy, light-headed, excessively drowsy or like you have been drugged?
15. Does your vision ever become blurred?
16. Do you have numbness or tingling of the hands or feet or other parts of your body?
17. Have you ever had chronic weakness or fatigue?
18. Have you ever had any swelling of your feet or ankles to the point where you could not wear your shoes?
19. Are you bothered by heartburn or indigestion?
20. Do you ever have itching, dryness, or peeling and scaling of the hands?
21. Do you ever have a burning sensation in the hands or reddening of the skin?
22. Do you ever have cracking or bleeding of the skin on your hands? 
23. Are you under a physician's care?

	If yes, for what are you being treated?	
		
24. Do you have any physical complaints today?

	If yes, explain:	
		
25. Do you have other health conditions not covered by these questions?

	If yes, explain:	

Appendix E to Section 5217

Qualitative and Quantitative Fit Testing Procedures

[See Section 5144, Appendix A]
HISTORY

1. Editorial correction moving Note and Histories 1-6 to precede Appendix A of section 5217 (Register 99, No. 28). For prior history of Appendices, see section 5217.
§5218. Benzene.
Note     •     History

(a) Scope and Application.
(1) This section applies to all occupational exposures to benzene, Chemical Abstracts Service Registry No. 71-43-2, except as provided in subsections (a)(2) and (a)(3).
(2) This section does not apply to:
(A) The storage, transportation, distribution, dispensing, sale or use of gasoline, motor fuels, or other fuels containing benzene subsequent to their final discharge from bulk wholesale storage facilities, except that operations where gasoline or motor fuels are dispensed for more than 4 hours per day in an indoor location are covered by this section.
(B) Loading and unloading operations at bulk wholesale storage facilities which use vapor control systems for all loading and unloading operations, except for the provisions of section 5194, Hazard Communication, as incorporated into this section and the emergency provisions of subsections (g) and (i)(4) of this section.
(C) The storage, transportation, distribution or sale of benzene or liquid mixtures containing more than 0.1 percent benzene in intact containers or in transportation pipelines while sealed in such a manner as to contain benzene vapors or liquid, except for the provisions of section 5194, Hazard Communication, as incorporated into this section and the emergency provisions of subsections (g) and (i)(4) of this section.
(D) Containers and pipelines carrying mixtures with less than 0.1 percent benzene and natural gas processing plants processing gas with less than 0.1 percent benzene.
(E) Work operations where the only exposure to benzene is from liquid mixtures containing 0.1 percent or less of benzene by volume, or the vapors released from such liquids.
(F) Tire building machine operators except that such operators using solvents with more than 0.1 percent benzene are covered by subsection (i) of this section.
(G) Oil and gas drilling, production and servicing operations.
(H) Coke oven batteries.
(3) The cleaning and repair of barges and tankers which have contained benzene are excluded from subsections (f), methods of compliance; (e)(1), exposure monitoring-general; and (e)(6), accuracy of monitoring. Engineering and work practice controls shall be used to keep exposures below 10 ppm unless proven to not be feasible.
(b) Definitions.
“Action level.” A concentration of airborne benzene of 0.5 ppm calculated as an 8-hour time-weighted average.
“Authorized person.” Any person specifically authorized by the employer whose duties require the person to enter a regulated area, or any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring and measuring procedures under subsection (1).
“Benzene.” A chemical with the empirical formula, C6H6, and Chemical Abstracts Service Registry No.71-43-2. For the purposes of this section, it includes both liquefied and gaseous forms of benzene; benzene contained in liquid mixtures; and the benzene vapors released from such mixtures. It does not include trace amounts of unreacted benzene in solid materials.
“Bulk wholesale storage facility.” A bulk terminal or bulk plant where fuel is stored prior to its delivery to wholesale customers.
“Chief.” The chief administrative officer of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
“Container.” Any barrel, bottle, can, cylinder, drum, reaction vessel, storage tank, or the like, but does not include piping systems.
“Day.” Any part of a calendar day.
“Director.” The Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
“Emergency.” Any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which may or does result in an unexpected significant release of benzene.
“Employee exposure.” Exposure to airborne benzene which would occur if the employee were not using respiratory protective equipment.
“Regulated area.” Any area where concentrations of airborne benzene exceed or can reasonably be expected to exceed, the allowable employee exposure limits, either the 8-hour time-weighted average exposure limit of 1 ppm or the short-term exposure limit of 5 ppm as averaged over a sampling period of 15 minutes.
“Vapor control system.” Any equipment used for containing the total vapors displaced during the loading of gasoline, motor fuel or other fuel tank trucks and the displacing of these vapors through a vapor processing system or balancing the vapor with the storage tank. This equipment also includes systems containing the vapors displaced from the storage tank during the unloading of the tank truck which balance the vapors back to the tank truck.
(c) Employee Exposure Limits.
(1) Permissible Exposure Limit (PEL). The employer shall assure that no employee is exposed to an 8-hour time-weighted average concentration of airborne benzene in excess of one part benzene per million parts of air (1 ppm).
(2) Short Term Exposure Limit (STEL). The employer shall assure that no employee is exposed to a concentration of airborne benzene in excess of five (5) ppm as averaged over a sampling period of fifteen (15) minutes.
(d) Regulated Areas.
(1) The employer shall establish a regulated area wherever the concentration of airborne benzene exceeds or can reasonably be expected to exceed either the PEL or the STEL.
(2) Access to regulated areas shall be limited to authorized persons.
(3) Regulated areas shall be demarcated from the rest of the workplace in any manner that minimizes the number of employees exposed to benzene within the regulated area.
(e) Exposure Monitoring.
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of each employee's average exposure to airborne benzene.
(B) Representative 8-hour time-weighted average exposures shall be determined on the basis of one sample or samples representing the full shift exposure for each job classification in each work area.
(C) Determinations of compliance with the STEL shall be made from 15-minute employee breathing zone samples measured at operations where there is reason to believe exposures are high, such as where tanks are opened, filled, unloaded or gauged; where containers or process equipment are opened and where benzene is used for cleaning or as a solvent in an uncontrolled situation. The employer may use objective data, such as measurements from brief period measuring devices, to determine where STEL monitoring is needed.
(D) Except for initial monitoring as required under subsection (e)(2), where the employer can document that one shift with consistently have higher employee exposures for an operation, the employer shall only be required to determine representative employee exposure for that operation during the shift on which the highest exposure is expected.
(2) Initial Monitoring.
(A) Each employer who has a place of employment covered under subsection (a)(1) shall monitor each of these workplaces and work operations to determine accurately the concentrations of airborne benzene to which employees may be exposed.
(B) The initial monitoring required under subsection (a)(2)(A) shall be completed within 30 days of the introduction of benzene into the workplace.
(C) Where the employer has previously monitored and the monitoring satisfies all other requirements of this section, the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (e)(2)(A).
(3) Periodic Monitoring and Monitoring Frequency.
(A) If the monitoring required by subsection (e)(2)(A) reveals employee exposure at or above the action level but at or below the PEL, the employer shall repeat such monitoring for each such employee at least every year.
(B) If the monitoring required by subsection (e)(2)(A) reveals employee exposure above the PEL, the employer shall repeat such monitoring for each such employee at least every six (6) months.
(C) The employer may alter the monitoring schedule from every six (6) months to annually for any employee for whom two consecutive measurements taken at least 7 days apart indicate that the employee exposure has decreased to the PEL or below, but is at or above the action level.
(D) Monitoring for compliance with the STEL shall be repeated as necessary to evaluate exposures of employees subject to short term exposures.
(4) Termination of Monitoring.
(A) If the initial monitoring required by subsection (e)(2)(A) reveals employee exposure to be below the action level, the employer may discontinue the monitoring for that employee except as otherwise required by subsection (e)(5).
(B) If the periodic monitoring required by subsection (e)(3) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are below the action level, the employer may discontinue the monitoring for that employee, except as otherwise required by subsection (e)(5).
(5) Additional Monitoring.
(A) The employer shall institute the exposure monitoring require under subsections (e)(2) and (e)(3) when there has been a change in the production, process, control equipment, personnel or work practices which may result in new or additional exposure to benzene, or when the employer has any reason to suspect a change which may result in new or additional exposures.
(B) Whenever spills, leaks, ruptures or other breakdowns occur that may lead to employee exposure, the employer shall monitor (using area or personal sampling) after the cleanup of the spill or repair of the leak, rupture or other breakdown to ensure that exposures have returned to the level that existed prior to the incident.
(6) Accuracy of Monitoring. Monitoring shall be accurate, to a confidence level of 95 percent, to within plus or minus 25 percent for concentrations of airborne benzene.
(7) Employee Notification of Monitoring Results.
(A) The employer shall, within 15 working days after the receipt of the results of any monitoring performed under this section, notify each employee of these results in writing either individually or by posting of results in an appropriate location that is accessible to affected employees.
(B) Whenever the PEL and/or STEL are exceeded, the written notification required by subsection (e)(7)(A) shall contain the corrective action being taken by the employer to reduce the employee exposure to or below the PEL and/or STEL, or shall refer to a document available to the employee which states the corrective actions to be taken.
(f) Methods of Compliance.
(1) Engineering Controls and Work Practices.
(A) The employer shall institute engineering controls and work practices to reduce and maintain employee exposure to benzene at or below the employee exposure limits, except to the extent that the employe can establish that these controls are not feasible or where the provisions of subsections (f)(1)(C) or (g)(1) apply.
(B) Wherever the feasible engineering controls and work practices which can be instituted are not sufficient to reduce employee exposure to or below the PEL and/or STEL, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protection which complies with the requirements of subsection (g).
(C) Where the employer can document that benzene is used in a workplace less than a total of 30 days per year, the employer shall use engineering controls, work practice controls or respiratory protection or any combination of these controls to reduce employee exposure to benzene to or below the PEL and/or STEL, except that employers shall use engineering and work practice controls, if feasible, to reduce employee exposure to or below 10 ppm as an 8-hour time-weighted average.
(2) Compliance Program.
(A) When exposures are over the PEL and/or STEL, the employer shall establish and implement a written program to reduce employee exposure to or below the PEL and/or STEL primarily by means of engineering and work practice controls, as required by subsection (f)(1).
(B) The written program shall include a schedule for development and implementation of the engineering and work practice controls. These plans shall be reviewed and revised as appropriate based on the most recent exposure monitoring data, to reflect the current status of the program.
(C) Written compliance programs shall be furnished upon request for examination and copying to authorized representatives of the Chief, the Director, affected employees and designated employee representatives.
(g) Respiratory Protection.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations for which the employer establishes that compliance with either the PEL or STEL through the use of engineering and work practice controls is not feasible, such as some maintenance and repair activities, vessel cleaning, or other operations where engineering and work practice controls are infeasible because exposures are intermittent in nature and limited in duration;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient or are not required under subsection (f)(1)(C) to reduce exposure to or below the PEL or STEL; and
(D) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144(b) through (d) (except (d)(1)(C)), and (f) through (m).
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1.
(B) Any employee who cannot wear a negative pressure respirator shall be given the option of wearing a respirator with less breathing resistance such as a powered air-purifying respirator or supplied air respirator.
(C) Employers shall provide employees with any organic vapor gas mask or any self-contained breathing apparatus with a full facepiece to use for escape.
(D) Employers shall provide organic vapor cartridges or canisters for use with powered and non-powered air-purifying respirators, and chin-style canisters for use with full facepiece gas masks.
(E) Employers shall ensure that canisters used with non-powered air purifying respirators have a minimum service life of (4) hours when tested at 150 ppm benzene, at a flow rate of 64 LPM, 25o C, and 85% relative humidity. 
(F) Employers shall ensure that canisters used with tight fitting and loose fitting powered air-purifying respirators, have a minimum service life of (4) hours when tested at 150 ppm benzene at a flow rate of 115 LPM and 170 LPM, respectively.
(h) Protective Clothing and Equipment. Personal protective clothing and equipment shall be worn where appropriate to prevent eye contact and limit dermal exposure to liquid benzene. Protective clothing and equipment shall be provided by the employer at no cost to the employee and the employer shall assure appropriate use. Eye and face protection shall meet the requirements of article 10, Personal Safety Devices and Safeguards.
(i) Medical Surveillance.
(1) General.
(A) The employer shall make a medical surveillance program available for employees who are or may be exposed to benzene at or above the action level 30 or more days per year; for employees who are or may be exposed to benzene at or above the PEL and/or STEL 10 or more days per year; for employees who were exposed above 10 ppm of benzene for 30 or more days in any year prior to December 10, 1989 while employed by their current employer; and for employees involved in the tire building operations called tire building machine operators, who use solvents containing greater than 0.1 percent benzene.
(B) The employer shall assure that all medical examinations and procedures are performed by or under the supervision of a licensed physician and that all laboratory tests are conducted by an accredited laboratory.
(C) The employer shall assure that persons other than licensed physicians who administer the pulmonary function testing required by this section shall complete a training course in spirometry sponsored by an appropriate governmental, academic or professional institution.
(D) The employer shall assure that all examinations and procedures are provided without cost to the employee and at a reasonable time and place.
(2) Initial Examination. Before the time of initial assignment, the employer shall provide each employee covered by subsection (i)(1)(A) with a medical examination in accordance with procedures prescribed by this subsection unless adequate records show that the employee has been examined in accordance with these procedures within the past twelve months. The medical examination shall include the following elements;
(A) A detailed occupational history which includes:
1. Past work exposure to benzene or any other hematological toxins.
2. A family history of blood dyscrasia including hematological neoplasms;
3. A history of blood dyscrasia including genetic hemoglobin abnormalities, bleeding abnormalities, abnormal function of formed blood elements;
4. A history of renal or liver dysfunction;
5. A history of medicinal drugs routinely taken;
6. A history of previous exposure to ionizing radiation; and
7. Exposure to marrow toxins outside of the current work situation.
(B) A complete physical examination.
(C) A complete blood count including a leukocyte count with differential, a quantitative thrombocyte count, hematocrit, hemoglobin, erythrocyte count and erythrocyte indices (MCV, MCH, MCHC). The results of these laboratory tests shall be reviewed by the examining physician.
(D) Additional tests as necessary in the opinion of the examining physician, based on alterations, to the components of the blood or other signs which may be related to benzene exposure; and
(E) For all workers required to wear respirators for at least 30 days a year, the physical examination shall pay special attention to the cardiopulmonary system and shall include a pulmonary function test.
(3) Periodic Examinations.
(A) The employer shall provide each employee covered under subsection (i)(1)(A) with a medical examination annually following the previous examination. These periodic examinations shall include at least the following elements:
1. A brief history regarding any new exposure to potential marrow toxins, changes in medicinal drug use, and the appearance of physical signs relating to blood disorders;
2. A complete blood count including a leukocyte count with differential quantitative thrombocyte count, hemoglobin, hematocrit, erythrocyte count and erythrocyte indices (MCV, MCH, MCHC); and
3. Appropriate additional tests as necessary, in the opinion of the examining physician, in consequence of alterations in the components of the blood or other signs which my be related to benzene exposure.
(B) Where the employee develops signs and symptoms commonly associated with toxic exposure to benzene, the employer shall provide the employee with an additional medical examination which shall include those elements considered appropriate by the examining physician.
(C) For persons required to use respirators for at least 30 days a year, a pulmonary function test shall be performed every three (3) years. A specific evaluation of the cardiopulmonary system shall be made at the time of the pulmonary function test.
(4) Emergency Examinations.
(A) In addition to the surveillance required by the subsection (i)(1)(A), if an employee is exposed to benzene in an emergency situation, the employer shall have the employee provide a urine sample at the end of the employee's shift and have a urinary phenol test performed on the sample within 72 hours. The urine specific gravity shall be corrected to 1.024.
(B) If the result of the urinary phenol test is below 75 mg phenol/L, no further testing is required.
(C) If the result of the urinary phenol test is equal to or greater than 75 mg phenol/L of urine, the employer shall provide the employee with a complete blood count including an erythrocyte count, leukocyte count with differential and thrombocyte count at monthly intervals for a duration of three (3) months following the emergency exposure.
(D) If any of the conditions specified in subsection (i)(5)(A) exists, then the further requirements of subsection (i)(5) shall be met and the employer shall, in addition, provide the employees with periodic examinations if directed by the physician.
(5) Additional Examinations and Referrals.
(A) Where the results of the complete blood count required for the initial and periodic examinations indicate the existence of any of the following abnormal conditions, then the blood count shall be repeated within 2 weeks.
1. The hemoglobin level or the hematocrit falls below the normal limit [outside the 95% confidence interval (C.I.)] as determined by the laboratory for the particular geographic area and/or these indices show a persistent downward trend from the individual's pre-exposure norms; provided these findings cannot be explained by other medical reasons.
2. The thrombocyte (platelet) count varies more than 20 percent below the employee's most recent values or falls outside the normal limit (95% C.I.) as determined by the laboratory.
3. The leukocyte count is below 4,000 per mm3 or there is an abnormal differential count.
(B) If the abnormality persists, the examining physician shall refer the employee to a hematologist or internist for further evaluation unless the physician has good reason to believe such referral is unnecessary. (See Appendix C for examples of conditions where a referral may be unnecessary.)
(C) The employer shall provide the hematologist or internist with the information required to be provided to the physician under subsection (i)(6) and the medical record required to be maintained by subsection (k)(2)(B).
(D) The hematologist's or internist's evaluation shall include a determination as to the need for additional tests, and the employer shall assure that these tests are provided.
(6) Information Provided to the Physician.
The employer shall provide the following information to the examining physician:
(A) A copy of this regulation and its appendices;
(B) A description of the affected employee's duties as they relate to the employee's exposure;
(C) The employee's actual or representative exposure level;
(D) A description of any personal protective equipment used or to be used; and
(E) Information from previous employment-related medical examinations of the affected employee which is not otherwise available to the examining physician.
(7) Physician's Written Opinions.
(A) For each examination under this section, the employer shall obtain and provide the employee with a copy of the examining physician's written opinion within 15 days of the examination. The written opinion shall be limited to the following information:
1. The occupationally pertinent results of the medical examination and tests;
2. The physician's opinion concerning whether the employee has any detected medical conditions which would place the employee's health at greater than normal risk of material impairment from exposure to benzene;
3. The physician's recommended limitations upon the employee's exposure to benzene or upon the employee's use of protective clothing or equipment and respirators.
4. A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions resulting from benzene exposure which require further explanation or treatment.
(B) The written opinion obtained by the employer shall not reveal specific records, findings and diagnoses that have no bearing on the employee's ability to work in a benzene-exposed workplace.
(8) Medical Removal Plan.
(A) When a physician makes a referral to a hematologist/internist as required under subsection (i)(5)(B), the employee shall be removed from areas where exposures may exceed the action level until such time as the physician makes a determination under subsection (i)(8)(B).
(B) Following the examination and evaluation by the hematologist/internist, a decision to remove an employee from areas where benzene exposure is above the action level or to allow the employee to return to areas where benzene exposure is above the action level shall be made by the physician in consultation with the hematologist/internist. This decision shall be communicated in writing to the employer and employee. In the case of removal, the physician shall state the required probable duration of removal from occupational exposure to benzene above the action level and the requirements for future medical examinations to review the decision.
(C) For any employee who is removed pursuant to subsection (i)(8)(B), the employer shall provide a follow-up examination. The physician, in consultation with the hematologist/internist, shall make a decision within 6 months of the date employee was removed as to whether the employee shall be returned to the employee's former job or whether the employee should be removed permanently.
(D) Whenever an employee is temporarily removed from benzene exposure pursuant to subsections (i)(8)(A) or (i)(8)(B), the employer shall transfer the employee to a comparable job for which the employee is qualified (or can be trained for in a short period) and where benzene exposures are as low as possible, but in no event higher than the action level. The employer shall maintain the employee's current wage rate, seniority and other benefits. If there is no such job available, the employer shall provide medical removal protection benefits until such a job becomes available or for 6 months, whichever comes first.
(E) Whenever an employee is removed permanently from benzene exposure based on a physician's recommendation pursuant to subsection (i)(8)(C), the employee shall be given the opportunity to transfer to another position which is available or later becomes available for which the employee is qualified (or can be trained for in a short period) and where benzene exposures are as low as possible but in no event higher than the action level. The employer shall assure that such employee suffers no reduction in current wage rate, seniority or other benefits as a result of the transfer.
(9) Medical Removal Protection Benefits.
(A) The employer shall provide to an employee 6 months of medical removal protection benefits immediately following each occasion an employee is removed from exposure to benzene because of hematological findings pursuant to subsections (i)(8)(A) and (i)(8)(B), unless the employee has been transferred to a comparable job where benzene exposures are no higher than the action level.
(B) For the purposes of this section, the requirement that an employer provide medical removal protection benefits means that the employer shall maintain the current wage rate, seniority and other benefits of an employee as though the employee had not been removed.
(C) The employer's obligation to provide medical removal protection benefits to a removed employee shall be reduced to the extent that the employee receives compensation for earnings lost during the period of removal either from a publicly or employer-funded compensation program, or from employment with another employer made possible by virtue of the employee's removal.
(j) Communication of Benzene Hazards to Employees.
(l) Signs and Labels.
(A) The employer shall post signs at entrances to regulated areas. The signs shall bear the following legend:

DANGER
BENZENE 
CANCER HAZARD
EXTREMELY FLAMMABLE -- NO SMOKING 
AUTHORIZED PERSONNEL ONLY
RESPIRATOR REQUIRED
(B) The employer shall ensure that labels or other appropriate forms of warning are provided for containers of benzene within the workplace. There is no requirement to label pipes. The labels shall comply with the requirements of section 5194(f) and in addition shall include the following legend:

DANGER
CONTAINS BENZENE
CANCER HAZARD
(2) Material Safety Data Sheets.
(A) Employers shall obtain or develop, and shall provide access to their employees, to a material safety data sheet (MSDS) which addresses benzene and complies with section 5194.
(B) Employers who are manufacturers or importers shall:
1. Comply with subsection (a) of this section; and
2. Comply with the requirement in section 5194 (g)(6) that they deliver to downstream employers an MSDS which addresses benzene.
(3) Information and Training.
(A) The employer shall provide employees with information and training at the time of their initial assignment to a work area where benzene is present. If exposures are above the action level, employees shall be provided with information and training at least annually thereafter.
(B) The training program shall be in accordance with the requirements of section 5194(h) and shall include specific information on benzene for each category of information prescribed by that section.
(C) In addition to the information required under section 5194, the employer shall:
1. Provide employees with an explanation of the contents of this section, including Appendices A and B, and indicate to them where this regulation is available; and
2. Describe the medical surveillance program required under subsection (i) and explain the information contained in Appendix C.
(k) Recordkeeping.
(l) Exposure Measurements.
(A) The employer shall establish and maintain an accurate record of all measurements required by subsection (e), in accordance with section 3204, Access to Employee Exposure and Medical Records.
(B) This record shall include:
1. The dates, number, duration, and results of each of the samples taken, including a description of the procedure used to determine representative employee exposures;
2. A description of the sampling and analytical methods used;
3. A description of the type of respiratory protective devices worn, if any; and
4. The name, social security number, job classification and exposure levels of the employee monitored and all other employees whose exposure the measurement is intended to represent.
(C) The employer shall maintain this record for at least 30 years, in accordance with section 3204.
(2) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance required by subsection (i), in accordance with section 3204
(B) This record shall include:
1. The name and social security number of the employee;
2. The employer's copy of the physician's written opinion on the initial, periodic and special examinations, including results of medical examinations and all tests, opinions and recommendations;
3. Any employee medical complaints related to exposure to benzene;
4. A copy of the information provided to the physician as required by subsections (i)(6)(B) through (E); and
5. A copy of the employee's medical and work history related to exposure to benzene or any other hematologic toxins.
(C) The employer shall maintain this record for at least the duration of employment plus 30 years, in accordance with section 3204.
(3) Access to Records.
(A) The employer shall assure that all records required to be maintained by this section shall be made available upon request to the Chief and the Director for examination and copying.
(B) Employee exposure monitoring records required by subsection (k)(l) shall be provided upon request for examination and copying to employees, employee representatives, and the Chief in accordance with section 3204.
(C) Employee medical records required by subsection (k)(2) shall be provided, upon request for examination and copying, to the subject employee, to anyone having the specific written consent of the subject employee, and to the Chief in accordance with section 3204.
(4) Transfer of Records.
(A) The employer shall comply with the requirements involving transfer of records set forth in section 3204(h).
(B) If the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Director at least three (3) months prior to disposal, and transmit them to the Director if required by the Director within that period.
(l) Observation of Monitoring.
(1) Employee Observation. The employer shall provide affected employees, or their designated representatives, an opportunity to observe the measuring or monitoring of employee exposure to benzene conducted pursuant to subsection (e).
(2) Observation Procedures. When observation of the measuring or monitoring of employee exposure to benzene requires entry into areas where the use of protective clothing and equipment or respirators is required, the employer shall provide the observer with personal protective clothing and equipment or respirators required to be worn by employees working in the area, assure the use of such clothing and equipment or respirators, and require the observer to comply with all other applicable safety and health procedures.
(m) Reporting Requirements. See section 5203.
(n) Dates.
(1) Effective Date. This regulation shall become effective on the thirtieth day after the date it is filed with the Secretary of State except as provided by subsection (n)(2).
(2) Start-up Dates.
(A) Engineering and work practice controls required by subsection (f)(l) shall be implemented no later than December 10, 1989.
(B) Coke and coal chemical operations may comply with subsection (n)(2)(A) or alternately include within the compliance program required by subsection (f)(2), a requirement to phase in engineering controls as equipment is required and replaced. For coke and coal chemical operations choosing the latter alternative, compliance with the engineering controls requirements of subsection (f)(1) shall be achieved no later than December 10, 1992 and substantial compliance with the engineering control requirements shall be achieved by December 10, 1990.
(o) Appendices. The information contained in Appendices A, B, C, and D is not intended, by itself, to create any additional obligations not otherwise imposed or to detract from any existing obligations. The protocols on respiratory fit testing in Appendix E are mandatory.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).
2. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
3. Amendment of former subsections (g)(1)-(g)(5)(B) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3)(B) filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
4. Editorial correction relocating History 2 from Appendix E and renumbering Histories (Register 99, No. 28).
5. Amendment of subsection (m) and repealer of subsections (m)(1)-(3) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
6. Amendment of subsection (g)(2)(A) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
7. Amendment of subsections (g)(2)(A), repealer of subsections (g)(2)(B)-(C), amendment of subsections (g)(3)(A)-(B) and new subsections (g)(3)(C)-(F) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Substance Safety Data Sheet, Benzene
I. Substance Identification
A. Substance: Benzene
(B) Permissible Exposure: Except as to the use of gasoline, motor fuels and other fuels subsequent to discharge from bulk terminals and other exemptions specified in section 5218(a)(2):
1. Airborne: The maximum time-weighed average exposure limit is 1 part of benzene vapor per million parts of air (1 ppm) for an 8-hour workday and the maximum short-term exposure limit (STEL) is 5 ppm as averaged over a 15-minute sampling period.
2. Dermal: Eye contact must be prevented and skin contact with liquid benzene must be limited.
C. Appearance and odor: Benzene is a clear, colorless liquid with a pleasant, sweet odor. The odor of benzene does not provide adequate warning of its hazard.
II. Health Hazard Data
A. Ways in which benzene affects your health. Benzene can affect your health if you inhale it, or if it comes in contact with your skin or eyes. Benzene is also harmful if you happen to swallow it.
B. Effects of Overexposure.
1. Short-term (acute) Overexposure: If you are overexposed to high concentrations of benzene, well above the levels where its odor is first recognizable, you may feel breathless, irritable, euphoric, or giddy; you may experience irritation in your eyes, nose, and respiratory tract. You may develop a headache, feel dizzy, nauseated, or intoxicated. Severe exposures may lead to convulsions and loss of consciousness.
2. Long-term (chronic) Exposure. Repeated or prolonged exposure to benzene, even at relatively low concentrations, may result in various blood disorders, ranging from anemia to leukemia, an irreversible, fatal disease. Many blood disorders associated with benzene exposure may occur without symptoms.
III. Protective Clothing and Equipment.
A. Respirators. Respirators are required for those operations in which engineering controls or work practice controls are not feasible to reduce exposure to the permissible level. However, where employers can document that benzene is present in the workplace less than 30 days a year, respirators may be used in lieu of engineering controls. If respirators are worn, they must have joint Mine Safety and Health Administration and the National Institute for Occupational Safety and Health (NIOSH) seal of approval, and cartridges or canisters must be replaced before the end of their service life, or the end of the shift, whichever occurs first. If you experience difficulty breathing while wearing a respirator, you may request a positive pressure respirator from your employer. You must be thoroughly trained to use the assigned respirator, and the training will be provided by your employer.
B. Protective Clothing. You must wear appropriate protective clothing (such as boots, gloves, sleeves, aprons, etc.) over any parts of your body that could be exposed to liquid benzene.
C. Eye and Face Protection. You must wear splash-proof safety goggles if it is possible that benzene may get into your eyes. In addition, you must wear a face shield if your face could be splashed with benzene liquid.
IV. Emergency and First-Aid Procedures.
A. Eye and Face Exposure. If benzene is splashed in your eyes, wash it out immediately with large amounts of water. If irritation persists or vision appears to be affected see a doctor as soon as possible.
B. Skin Exposure. If benzene is spilled on your clothing or skin, remove the contaminated clothing and wash the exposed skin with large amounts of water and soap immediately. Wash contaminated clothing before you wear it again.
C. Breathing. If you or any other person breathes in large amounts of benzene, get the exposed person to fresh air at once. Apply artificial respiration if breathing has stopped. Call for medical assistance or a doctor as soon as possible. Never enter any vessel or confined space where the benzene concentration might be high without proper safety equipment and at least one other person present who will stay outside. A life line should be used.
D. Swallowing. If benzene has been swallowed and the patient is conscious, do not induce vomiting. Call for medical assistance or a doctor immediately.
V. Medical Requirements
If you are exposed to benzene at a concentration at or above 0.5 ppm as an 8-hour time weighted average, or have been exposed above 10 ppm in the past while employed by your current employer, your employer is required to provide an initial medical examination and history and laboratory tests and annually thereafter. These tests shall be provided without cost to you. In addition, if you are accidentally exposed to benzene (either by ingestion, inhalation, or skin/eye contact) under emergency conditions known or suspected to constitute toxic exposure to benzene, your employer is required to make special laboratory tests available to you.
VI. Observation of Monitoring
Your employer is required to perform measurements that are representative of your exposure to benzene and you or your designated representative are entitled to observe the monitoring procedure. You are entitled to observe the steps taken in the measurement procedure and to record the results obtained. When the monitoring procedure is taking place in an area where respirators or personal protective clothing and equipment are required to be worn, you or your representative must also be provided with, and must wear the protective clothing and equipment.
VII. Access to Records
You or your representative are entitled to see the records of measurements of your exposure to benzene upon written request to your employer. Your medical examination records can be furnished to yourself, your physician or designated representative upon request by you to your employer.
VIII. Precautions for Safe Use, Handling and Storage
Benzene liquid is highly flammable. It should be stored in tightly closed containers in a cool, well ventilated area. Benzene vapor may form explosive mixtures in air. All sources of ignition must be controlled. Use nonsparking tools when opening or closing benzene containers. Fire extinguishers, where provided, must be readily available. Know where they are located and how to operate them. Smoking is prohibited in areas where benzene is used or stored. Ask your supervisor where benzene is used in your area and for additional plant safety rules.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5218 and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).

Appendix B

Substance Technical Guidelines, Benzene
I. Physical and Chemical Data
A. Substance identification.
1. Synonyms: Benzol, benzole, coal naphtha, cyclohexatriene, phene, phenyl hydride, pyrobenzol. (Benzin, petroleum benzin and Benzine do not contain benzene.)
2. Formula: C6H6 (CAS Registry Number: 71-43-2)
B. Physical data.
1. Boiling Point (760 mm Hg): 80.1oC (176oF)
2. Specific Gravity (water = 1): 0.879
3. Vapor Density (air = 1): 2.7
4. Melting Point: 5.5oC (42oF)
5. Vapor Pressure at 20oC (68oF): 75 mm Hg
6. Solubility in Water: .06
7. Evaporation Rate (ether = 1): 2.8
8. Appearance and Odor: Clear, colorless liquid with a distinctive sweet odor.
II. Fire, Explosion, and Reactivity Hazard Data
A. Fire.
1. Flash Point (closed cup): -11oC (121oF)
2. Autoignition Temperature: 580oC (1076oF)
3. Flammable Limits in Air. % by Volume: Lower: 1.3%, Upper: 7.5
4. Extinguishing Media: Carbon dioxide, dry chemical, or foam.
5. Special fire-fighting procedures: Do not use solid stream of water, since stream will scatter and spread fire. Fine water spray can be used to keep fire-exposed containers cool.
6. Unusual fire and explosion hazards: Benzene is a flammable liquid. Its vapors can form explosive mixtures. All ignition sources must be controlled when benzene is used, handled, or stored. Where liquid or vapor may be released, such areas shall be considered as hazardous locations. Benzene vapors are heavier than air; thus the vapors may travel along the ground and be ignited by open flames or sparks at locations remote from the site at which benzene is handled.
7. Benzene is classified as a 1 B flammable liquid for the purpose of conforming to the requirements of article 136 of these Orders. A concentration exceeding 3,250 ppm is considered a potential fire explosion hazard. Locations where benzene may be present in quantities sufficient to produce explosive or ignitable mixtures are considered Class I Group D for the purposes of conforming to the requirements of article 59 of the Low-Voltage Electrical Safety Orders.
B. Reactivity.
1. Conditions contributing to instability: Heat.
2. Incompatibility: Heat and oxidizing materials.
3. Hazardous decomposition products: Toxic gases and vapors (such as carbon monoxide).
III. Spill and Leak Procedures
A. Steps to be taken if the material is released or spilled. As much benzene as possible should be absorbed with suitable materials, such as dry sand or earth. That remaining must be flushed with large amounts of water. Do not flush benzene into a confined space, such as a sewer, because of explosion danger. Remove all ignition sources. Ventilate enclosed places.
B. Waste disposal method. Disposal methods must conform to other jurisdictional regulations. If allowed, benzene may be disposed of: (a) by absorbing it in dry sand or earth and disposing in a sanitary landfill; (b) if small quantities, by removing it to a safe location from buildings or other combustible sources, pouring it in dry sand or earth and cautiously igniting it; and (c) if large quantities, by atomizing it in a suitable combustion chamber.
IV. Miscellaneous Precautions
A. High exposure to benzene can occur when transferring the liquid from one container to another. Such operations should be well ventilated and good work practices must be established to avoid spills.
B. Use non-sparking tools to open benzene containers which are effectively grounded and bonded prior to opening and pouring.
C. Employers must advise employees of all plant areas and operations where exposure to benzene could occur. Common operations in which high exposures to benzene may be encountered are: the primary production and utilization of benzene, and transfer of benzene.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5218 and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).

Appendix C

Medical Surveillance Guidelines For Benzene
I. Route of Entry
Inhalation; skin absorption.
II. Toxicology
Benzene is primarily an inhalation hazard. Systemic absorption may cause depression of the hematopoietic system, pancytopenia, aplastic anemia, and leukemia. Inhalation of high concentrations can affect central nervous system function. Aspiration of small amounts of liquid benzene immediately causes pulmonary edema and hemorrhage of pulmonary tissue. There is some absorption through the skin. Absorption may be more rapid in the case of abraded skin, and benzene may be more readily absorbed if it is present in a mixture or as a contaminant in solvents which are readily absorbed. The defatting action of benzene may produce primary irritation due to repeated or prolonged contact with the skin. High concentrations are irritating to the eyes and the mucous membranes of the nose, and respiratory tract.
III. Signs and Symptoms
Direct skin contact with benzene may cause erythema. Repeated or prolonged contact may result in drying, scaling dermatitis, or the development of secondary skin infections. In addition, there is benzene absorption through the skin. Local effects of benzene vapor or liquid on the eye are slight. Only at very high concentrations is there any smarting sensation in the eye. Inhalation of high concentrations of benzene may have an initial stimulatory effect on the central nervous system characterized by exhilaration, nervous excitation, and/or giddiness, followed by a period of depression, drowsiness, or fatigue. A sensation of tightness in the chest accompanied by breathlessness may occur and ultimately the victim may lose consciousness. Tremors, convulsions and death may follow from respiratory paralysis or circulatory collapse in a few minutes to several hours following severe exposures.
The detrimental effect on the blood-forming system of prolonged exposure to small quantities of benzene vapor is of extreme importance. The hematopoietic system is the chief target for benzene's toxic effects which are manifested by alterations in the levels of formed elements in the peripheral blood. These effects have occurred at concentrations of benzene which may not cause irritation of mucous membranes, or any unpleasant sensory effects. Early signs and symptoms of benzene morbidity are varied, often not readily noticed and non-specific. Subjective complaints of headache, dizziness, and loss of appetite may precede or follow clinical signs. Rapid pulse and low blood pressure , in addition to a physical appearance of anemia, may accompany a subjective complaint of shortness of breath and excessive tiredness. Bleeding from the nose, gums, or mucous membranes, and the development of purpuric spots (small bruises) may occur as the condition progresses. Clinical evidence of leukopenia, anemia, and thrombocytopenia, singly or in combination, has been frequently reported among the first signs.
Bone marrow may appear normal, aplastic, or hyperplastic, and may not, in all situations, correlate with peripheral blood forming tissues. Because of variations in the susceptibility to benzene morbidity, there is no “typical” blood picture. The onset of effects of prolonged benzene exposure may be delayed for many months or years after the actual exposure has ceased and identification or correlation with benzene exposure must be sought out in the occupational history.
IV. Treatment of Acute Toxic Effects
Remove from exposure immediately. Make sure you are adequately protected and do not risk being overcome by vapors. Give oxygen or artificial resuscitation if indicated. Flush eyes, wash skin if contaminated and remove all contaminated clothing. Symptoms of intoxication may persist following severe exposure. Recovery from mild exposures is usually rapid and complete.
V. Surveillance and Preventive Considerations.
A. General
The principal effects of benzene exposure which form the basis for this regulation are pathological changes in the hematopoietic system, reflected by changes in the peripheral blood and manifesting clinically as pancytopenia, aplastic anemia, and leukemia. Consequently, the medical surveillance program is designed to observe, on a regular basis, blood indices for early signs of these effects, and although early signs of leukemia are not usually available, emerging diagnostic technology and innovative regimes make consistent surveillance for leukemia, as well as other hematopoietic effects, essential.
Initial examinations are to be provided at the time of initial assignment, and periodic examinations annually thereafter. There are special provisions for medical tests in the event of hematologic abnormalities or for emergency situations.
The blood values which require referral to a hematologist or internist are noted in the standard in paragraph (i)(5). The standard specifies that blood abnormalities that persist must be referred “unless the physician has good reason to believe such referral is unnecessary” (paragraph (i)(5)). Examples of conditions that could make a referral unnecessary despite abnormal blood limits are iron or folate deficiency, menorrhagia, or blood loss due to some unrelated medical abnormality.
Symptoms and signs of benzene toxicity can be non-specific. Only a detailed history and appropriate investigative procedures will enable a physician to rule out or confirm conditions that place the employee at increased risk. To assist the examining physician with regard to which laboratory tests are necessary and when to refer an employee to the specialist, OSHA has established the following guidelines.
B. Hematology Guidelines
A minimum battery of tests is to be performed by strictly standardized methods.
1. Red cell, white cell, platelet counts, white blood cell differential, hematacrit and red cell indices must be performed by an accredited laboratory. The normal ranges for the red cell and white cell counts are influenced by altitude, race, and sex, and therefore should be determined by the accredited laboratory in the specific area where the tests are performed.
Either a decline from an absolute normal or an individual's base line to a subnormal value or a rise to a supranormal value, are indicative of potential toxicity, particularly if all blood parameters decline. The normal total white blood count is approximately 7,200/mm3 plus or minus 3,000. For cigarette smokers the white count may be higher and the upper range may be 2,000 cells higher than normal for the laboratory. In addition, infection, allergies and some drugs may raise the white cell count. The normal platelet count is approximately 250,000 with a range of 140,000 to 400,000. Counts outside this range should be regarded as possible evidence of benzene toxicity.
Certain abnormalities found through routine screening are of greater significance in the benzene-exposed worker and require prompt consultation with a specialist, namely:
a. Thrombocytopenia.
b. A trend of decreasing white cell, red cell, or platelet indices in an individual over time is more worrisome than an isolated abnormal finding at one test time. The importance of trend highlights the need to compare an individual's test results to baseline and/or previous periodic tests.
c. A constellation or pattern of abnormalities in the different blood indices is of more significance than a single abnormality. A low white count not associated with any abnormalities in other cell indices may be a normal statistical variation, whereas if the low white count is accompanied by decreases in the platelet and/or red cell indices, such a pattern is more likely to be associated with benzene toxicity and merits thorough investigation.
Anemia, leukopenia, macrocytosis or an abnormal differential white blood cell count should alert the physician to further investigate and/or refer the patient if repeat tests confirm the abnormalities. If routine screening detects an abnormality, follow-up tests which may be helpful in establishing the etiology of the abnormality are the peripheral blood smear and the reticulocyte count.
The extreme range of normal for reticulocytes is 0.4 to 2.5 percent of the red cells, the usual range being 0.5 to 1.2 percent of the red cells, but the typical value is in the range of 0.8 to 1.0 percent. A decline in reticulocytes to levels of less than 0.4 percent is to be regarded as possible evidence (unless another specific cause is found) of benzene toxicity requiring accelerated surveillance. An increase in reticulocyte levels to about 2.5 percent may also be consistent with (but is not as characteristic of) benzene toxicity.
2. An important diagnostic test is a careful examination of the peripheral blood smear. As with reticulocyte count the smear should be with fresh uncoagulated blood obtained from a needle tip following venipuncture or from a drop of earlobe blood (capillary blood). If necessary, the smear may, under certain limited conditions, be made from a blood sample anticoagulated with EDTA (but never with oxalate or heparin). When the smear is to be prepared from a specimen of venous blood which has been collected by a commercial VacutainerR type tube containing neutral EDTA, the smear should be made as soon as possible after the venesection. A delay of up to 12 hours is permissible between the drawing of the blood specimen into EDTA and the preparation of the smear if the blood is stored at refrigerator (not freezing) temperature.
3. The minimum mandatory observations to be made from the smear are:
a. The differential white blood cell count.
b. Description of abnormalities in the appearance of red cells.
c. Description of any abnormalities in the platelets.
d. A careful search must be made throughout of every blood smear for immature white cells such as band forms (in more than normal proportion, i.e., over 10 percent of the total differential count), any number of metamyelocytes, myelocytes or myeloblasts. Any nucleate or multinucleated red blood cells should be reported. Large “giant” platelets or fragments of megakaryocytes must be recognized.
An increase in the proportion of band forms among the neutrophilicgranulocytes is an abnormality deserving special mention for it may represent a change which should be considered as an early warning of benzene toxicity in the absence of other causative factors (most commonly infection). Likewise, the appearance of metamyelocytes, in the absence of another probable cause, is to be considered a possible indication of benzene-induced toxicity.
An upward trend in the number of basophils, which normally do not exceed about 2.0 percent of the total white cells, is to be regarded as possible evidence of benzene toxicity. A rise in the eosinophil count is less specific but also may be suspicious of toxicity if the rise is above 6.0 percent of the total white count.
The normal range of monocytes is from 2.0 to 8.0 percent of the total white count with an average of about 5.0 percent. About 20 percent of individuals reported to have mild but persisting abnormalities caused by exposure to benzene show a persistent monocytosis. The findings of a monocyte count which persists at more than 10 to 12 percent of the normal white cell count (when the total count is normal) or persistence of an absolute monocyte count in excess of 800/mm3 should be regarded as a possible sign of benzene-induced toxicity.
A less frequent but more serious indication of benzene toxicity is the finding in the peripheral blood of the so-called “pseudo” (or acquired) Pelger-Huet anomaly. In this anomaly many, or sometimes the majority, of the neutrophilic granulocytes possess two round nuclear segments--less often one or three round segments--rather than three normally elongated segments. When this anomaly is not hereditary, it is often but not invariably predictive of subsequent leukemia. However, only about two percent of patients who ultimately develop acute myelogenous leukemia show the acquired Pelger-Huet anomaly. Other tests that can be administered to investigate blood abnormalities are discussed below; however, such procedures should be undertaken by the hematologist.
An uncommon sign, which cannot be detected from the smear, but can be elicited by a “sucrose water test” of peripheral blood, is transient paroxysmal nocturnal hemoglobinuria (PNH), which may first occur insidiously during a period of established aplastic anemia, and may be followed within one to a few years by the appearance of rapidly fatal acute myelogenous leukemia. Clinical detection of PNH, which occurs in only one or two percent of those destined to have acute myelogenous leukemia, may be difficult; if the “sucrose water test” is positive, the somewhat more definitive Ham test, also known as the acid-serum hemolysis test, may provide confirmation.
e. Individuals documented to have developed acute myelogenous leukemia years after initial exposure to benzene may have progressed through a preliminary phase of hematologic abnormality. In some instances pancytopenia (i.e., a lowering in the counts of all circulating blood cells of bone marrow origin, but not to the extent implied by the term “aplastic anemia”) preceded leukemia for many years. Depression of a single blood cell type or platelets may represent a harbinger of aplasia or leukemia. The finding of two or more cytopenias, or pancytopenia in a benzene-exposed individual, must be regarded as highly suspicious of more advanced although still reversible, toxicity. “Pancytopenia” coupled with the appearance of immature cells (myelocytes, myeloblasts, erythroblasts, etc.), with abnormal cells (pseudo Pelger-Huetanomaly, atypical nuclear heterochromatin, etc.), or unexplained elevations of white blood cells must be regarded as evidence of benzene overexposure unless proved otherwise. Many severely aplastic patients manifested the ominous finding of 5-10 percent myeloblasts in the marrow, occasional myeloblasts and myelocytes in the blood and 20-30% monocytes. It is evident that isolated cytopenias, pancytopenias, and even aplastic anemias induced by benzene may be reversible and complete recovery has been reported on cessation of exposure. However, since any of these abnormalities is serious, the employee must immediately be removed from any possible exposure to benzene vapor. Certain tests may substantiate the employee's prospects for progression or regression. One such test would be an examination of the bone marrow, but the decision to perform a bone marrow aspiration or needle biopsy is made by the hematologist.
The findings of basophilic stippling in circulating red blood cells (usually found in 1 to 5% of red cells following marrow injury), and detection in the bone marrow of what are termed “ringed sideroblasts” must be taken seriously, as they have been noted in recent years to be premonitory signs of subsequent leukemia.
Recently peroxidase-staining of circulating or marrow neutrophil granulocytes, employing benzidine dihydrochloride, have revealed the disappearance of, or diminution in, peroxidase in a sizable proportion of the granulocytes, and this has been reported as an early sign of leukemia. However, relatively few patients have been studied to date. Granulocyte granules are normally strongly peroxidase positive. A steady decline in leukocyte alkaline phosphatase has also been reported as suggestive of early acute leukemia. Exposure to benzene may cause an early rise in serum iron, often but not always associated with a fall in the reticulocyte count. Thus, serial measurements of serum iron levels may provide a means of determining whether or not there is a trend representing sustained suppression of erythropoiesis. 
Measurement of serum iron, determination of peroxidase and of alkaline phosphatase activity in peripheral granulocytes can be performed in most pathology laboratories. Peroxidase and alkaline phosphatase staining are usually undertaken when the index of suspicion for leukemia is high.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5218 and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).

Appendix D

Sampling and Analytical Methods for Benzene Monitoring and Measurement Procedures
Measurements taken for the purpose of determining employee exposure to benzene are best taken so that the representative average 8-hour exposure may be determined from a single 8-hour sample or two (2) 4-hour samples. Short-time interval samples (or grab samples) may also be used to determine average exposure level if a minimum of five measurements are taken in a random manner over the 8-hour work shift. Random sampling means that any portion of the workshift has the same chance of being sampled as any other. The arithmetic average of all such random samples taken on one work shift is an estimate of an employee's average level of exposure for that work shift. Air samples should be taken in the employee's breathing zone (air that would most nearly represent that inhaled by the employee). Sampling and analysis must be performed with procedures meeting the requirements of the standard.
There are a number of methods available for monitoring employee exposures to benzene. The sampling and analysis may be performed by collection of the benzene vapor on charcoal absorption tubes, with subsequent chemical analysis by gas chromatography. Sampling and analysis may also be performed by portable direct reading instruments, real-time continuous monitoring systems, passive dosimeters or other suitable methods. The employer has the obligation of selecting a monitoring method which meets the accuracy and precision requirements of the standard under his unique field conditions. The standard requires that the method of monitoring must have an accuracy, to a 95 percent confidence level, of not less than plus or minus 25 percent for concentrations of benzene greater than or equal to 0.5 ppm.
The OSHA Laboratory modified NIOSH Method S311 and evaluated it at a benzene concentration of 1 ppm. A procedure for determining the benzene concentration in bulk material samples was also evaluated. This work, reported in OSHA Laboratory Method No. 12, includes the following two analytical procedures:
1. OSHA Method 12 for Air Samples
Analyte: Benzene
Matrix: Air
Procedure: Adsorption on charcoal, desorption with carbon disulfide, analysis by GC.
Detection limit: 0.04 ppm
Recommend air volume and sampling rate: 10 L at 0.2 L/min.
1. Principle of the Method.
1.1. A known volume of air is drawn through a charcoal tube to trap the organic vapors present.
1.2. The charcoal in the tube is transferred to a small, stoppered vial, and the analyte is desorbed with carbon disulfide.
1.3. An aliquot of the desorbed sample is injected into a gas chromatograph.
1.4. The area of the resulting peak is determined and compared with areas obtained from standards.
2. Advantages and disadvantages of the method.
2.1. Sampling device is small, portable, and involves no liquids. Interferences are minimal, and most of those which do occur can be eliminated by altering chromatographic conditions. The samples are analyzed by means of a quick, instrumental method.
2.2. The amount of sample which can be taken is limited by the number of milligrams that the tube will hold before overloading. When the sample value obtained for the backup section of the charcoal tube exceeds 25 percent of that found on the front section, the possibility of sample loss exists.
3. Apparatus.
3.1. A calibrated personal sampling pump whose flow can be determined within +5 percent at the recommended flow rate.
3.2. Charcoal tubes: Glass with both ends flame sealed, 7cm long with a 6-mm O.D. and a 4-mm I.D., containing 2 sections of 20/40 mesh activated charcoal separated by a 2-mm portion of urethane foam. The activated charcoal is prepared from coconut shells and is fired at 600oC prior to packing. The adsorbing section contains 100 mg of charcoal, the back-up section 50 mg. A 3-mm portion of urethane foam is placed between the outlet and of the tube and the back-up section. A plug of silanized glass wool is placed in front of the adsorbing section. The pressure drop across the tube must be less than one inch of mercury at flow rate of 1 liter per minute.
3.3. Gas chromatograph equipped with a flame ionization detector.
3.4. Column (10-ft x 1/8-in stainless steel) packed with 80/100 Supelcoport coated with 20 percent SP 2100, 0.1 percent CW 1500.
3.5. An electronic integrator or some other suitable method for measuring peak area.
3.6. Two-milliliter sample vials with Teflon-lined caps.
3.7. Microliter syringes: 10-microliter (10-uL) syringe, and other convenient sizes for making standards; 1-uL syringe for sample injections.
3.8. Pipets: 1.0 mL delivery pipets.
3.9. Volumetric flasks: convenient sizes for making standard solutions.
4. Reagents.
4.1. Chromatographic quality carbon disulfide (CS2). Most commercially available carbon disulfide contains a trace of benzene which must be removed. It can be removed with the following procedure:
Heat under reflux for 2 to 3 hours, 500 mL of carbon disulfide, 10 mL concentrated sulfuric acid, and 5 drops of concentrated nitric acid. The benzene is converted to nitrobenzene. The carbon disulfide layer is removed, dried with anhydrous sodium sulfate, and distilled. The recovered carbondisulfide should be benzene free. (It has recently been determined that benzene can also be removed by passing the carbon disulfide through 13x molecular sieve.)
4.2. Benzene, reagent grade.
4.3. p-Cymene, reagent grade (internal standard).
4.4. Desorbing reagent. The desorbing reagent is prepared by adding 0.05 mL of p-cymene per milliliter of carbon disulfide. (The internal standard offers a convenient means of correcting analytical response for slight inconsistencies in the size of sample injections. If the external standard technique is preferred, the internal standard can be eliminated).
4.5. Purified GC grade helium, hydrogen and air.
5. Procedure.
5.1. Cleaning of equipment. All glassware used for the laboratory analysis should be properly cleaned and free of organics which could interfere in the analysis.
5.2. Calibration of personal pumps. Each pump must be calibrated with a representative charcoal tube in the line.
5.3. Collection and shipping of samples.
5.3.1. Immediately before sampling, break the ends of the tube to provide an opening at least one-half the internal diameter of the tube (2mm).
5.3.2. The smaller section of the charcoal is used as the backup and should be placed nearest the sampling pump.
5.3.3. The charcoal tube should be placed in a vertical position during sampling to minimize channeling through the charcoal.
5.3.4. Air being sampled should not be passed through any hose or tubing before entering the charcoal tube.
5.3.5. A sample size of 10 liters is recommended. Sample at a flow rate of approximately 0.2 liters per minute. The flow rate should be known with an accuracy of at least +5 percent.
5.3.6. The charcoal tubes should be capped with the supplied plastic caps immediately after sampling.
5.3.7. Submit at least one blank tube (a charcoal tube subjected to the same handling procedures, without having any air drawn through it) with each set of samples.
5.3.8. Take necessary shipping and packing precautions to minimize breakage of samples. 
5.4. Analysis of samples.
5.4.1. Preparation of samples. In preparation for analysis, each charcoal tube is scored with a file in front of the first section of charcoal and broken open. The glass wool is removed and discarded. The charcoal in the first (larger) section is transferred to a 2-mL vial. The separating section of foam is removed and discarded; the second section is transferred to another capped vial, these two sections are analyzed separately.
5.4.2. Desorption of samples. Prior to analysis, 1.0 mL of desorbing solution is pipetted into each sample container. The desorbing solution consists of 0.05 uL internal standard per mL of carbon disulfide. The sample vials are capped as soon as the solvent is added. Desorption should be done for 30 minutes with occasional shaking.
5.4.3. GC conditions. Typical operating conditions for the gas chromatograph are:
a. 30 mL/min (60 psig) helium carrier gas flow.
b. 30 mL/min (40 psig) hydrogen gas flow to detector.
c. 240 mL/min (40 psig) air flow to detector.
d. 150oC injector temperature.
e. 250oC detector temperature.
f. 100oC column temperature.
5.4.4. Injection size, 1 uL.
5.4.5. Measurement of area. The peak areas are measured by an electronic integrator or some other suitable form of area measurement.
5.4.6. An internal standard procedure is used. The integrator is calibrated to report results in ppm for a 10 liter air sample after correction for desorption efficiency.
5.5. Determination of desorption efficiency.
5.5.1. Importance of determination. The desorption efficiency of a particular compound can vary from one laboratory to another and from one lot of chemical to another. Thus, it is necessary to determine, at least once, the percentage of the specific compound that is removed in the desorption process, provided the same batch of charcoal is used.
5.5.2. Procedure for determining desorption efficiency. The reference portion of the charcoal tube is removed. To he remaining portion, amounts representing 0.5X, 1X, and 2X (X represents target concentration) and based on a 10 L air sample are injected into several tubes at each level. Dilutions of benzene with carbon disulfide are made to allow injection of measurable quantities. These tubes are then allowed to equilibrate at least overnight. Following equilibration they are analyzed following the same procedure as the samples. Desorption efficiency is determined by dividing the amount of benzene found by amount spiked on the tube.
6. Calibration and standards. A series of standards varying in concentration over the range of interest is prepared and analyzed under the same GC conditions that will be used on the samples. A calibration curve is prepared by plotting concentration (ug/mL) versus peak area.
7. Calculations. Benzene air concentration can be calculated from the following equation:
mg/m3 = (A)(B)/(C)(D)
Where: A = ug/mL benzene, obtained from the calibration curve,
B = desorption volume (1 mL),
C = liters of air sampled, and
D = desorption efficiency.
The concentration in mg/m3 can be converted to ppm (at 25oC and 760 mm) with the following equation:
ppm = (mg/m3)(24.46)/(78.11)
Where: 24.46 = molar volume of an ideal gas at 25oC and 760 mm, and 78.11 = molecular weight of benzene.
8. Backup Data.
8.1. Detection limit--Air Samples.
The detection limit for the analytical procedure is 1.28 ng with a coefficient of variation of 0.023 at this level. This would be equivalent to a concentration of 0.04 ppm for a 10 L air sample. This amount provided a chromatographic peak that could be identifiable in the presence of possible interferences. The detection limit data were obtained by making 1 uL injections of a 1.283 ug/mL standard.

		Area
	Injection	Count

	1	655.4
	2	617.5
	3	662.0	X = 640.2
	4	641.1	SD = 14.9
	5	636.4	CV =  0.023
	6	629.2
				
8.2. Pooled coefficient of variation--Air Samples. The pooled coefficient of variation for the analytical procedure was determined by 1 uL replicate injections of analytical standards. The standards were 16.04, 32.08, and 64.16 ug/mL, which are equivalent to 0.5, 1.0, and 2.0 ppm for a 10 L air sample respectively.

		Area Counts		
     Injection				
	0.5 ppm	1.0 ppm	2.0 ppm      

	1	3996.5	8130.2	16481
	2	4059.4	8235.6	16493
	3	4052.0	8307.9	16535
	4	4027.2	8263.2	16609
	5	4046.8	8291.1	16552
	6	4137.9	8288.8	16618

	1.	3996.5	8130.2	16481
	2	4059.4	8235.6	16493
	3	4052.0	8307.9	16535
	4	4027.2	8263.2	16609
	5	4046.8	8291.1	16552
	6	4137.9	8288.8	16618

X =	4053.3	8254.0	16548.3
SD =	  47.2	  62.5	   57.1
CV =	   0.0116	   0.0076	        0.0034
CV = 0.008				
				
8.3. Storage Data--Air Sample.
Samples were generated at 1.03 ppm benzene at 80% relative humidity, 20oC, and 643mm. All samples were taken for 50 minutes at 0.2 L/min. Six samples were analyzed immediately and the rest of the samples were divided into two groups by fifteen samples each. One group was stored at refrigerated temperature of -25oC, and the other group was stored at ambient temperature (approximately 23oC). These samples were analyzed over a period of fifteen days. The results are tabulated below.

PERCENT RECOVERY

	Day
Analyzed		Refrigerated			Ambient		

	0	97.4	 98.7	98.9	97.4	98.7	98.9
	0	97.1	100.6	100.9	97.1	100.6	100.9
	2	95.8	 96.4	95.4	95.4	96.6	96.9
	5	93.9	 93.7	92.4	92.4	94.3	94.1
	9	93.6	 95.5	94.6	95.2	95.6	96.6
	13	94.3	 95.3	93.7	91.0	95.0	94.6
	15	96.8	 95.8	94.2	92.9	96.3	95.9
								
8.4. Desorption data.
Samples were prepared by injecting liquid benzene onto the A section of charcoal tubes. Samples were prepared that would be equivalent to 0.5, 1.0, and 2.0 ppm for a 10 L air sample.

PERCENT RECOVERY

	0.5	1.0	2.0
Sample	ppm	ppm	ppm

	1	99.4	98.8	99.5
	2	99.5	98.7	99.7
	3	99.2	98.6	99.8
	4	99.4	99.1	100.0
	5	99.2	99.0	99.7
	6	99.8	99.1	99.9
X =	99.4	98.9	99.8

SD =		 0.22	  0.21	0.18    
CV =	 	0.0022	    0.0021	0.0018

X = 99.4
					  
8.5. Carbon disulfide.
Carbon disulfide from a number of sources was analyzed for benzene contamination. The results are given in the following table. The benzene contaminant can be removed with the procedures given in section 4.1.
II. OSHA Laboratory Method No. 12 for Bulk Samples
Analyte: Benzene.

		ppm equivalent
	Sample	ug Benzene/ml	(for 10 L air sample)

Aldrich Lot 83017	4.20	0.13
Baker Lot 720364	1.01	0.03
Baker Lot 822351	1.01	0.03
Mallinkrodt Lot WEMP	1.74	0.05
Mallinkrodt Lot WDSJ	5.65	0.18
Mallindrodt Lot WHGA	2.90	0.09
Treated SC2		
				
Matrix: Bulk Samples.
Procedure: Bulk samples are analyzed directly by high performance liquid chromatography (HPLC).
Detection limits: 0.01% by volume.
1. Principle of the method.
1.1. An aliquot of the bulk sample to be analyzed is injected into a liquid chromatograph.
1.2. The peak area for benzene is determined and compared to areas obtained from standards.
2. Advantages and disadvantages of the method.
2.1. The analytical procedure is quick, sensitive, and reproducible.
2.2. Reanalysis of samples is possible.
2.3. Interferences can be circumvented by proper selection of HPLC parameters.
2.4. Samples must be free of any particulates that may clog the capillary tubing in the liquid chromatograph. This may require distilling the sample or clarifying with a clarification kit.
3. Apparatus.
3.1. Liquid chromatograph equipped with a UV detector.
3.2. HPLC column that will separate benzene from other components in the bulk sample being analyzed. The column used for validation studies was a Waters uBondapack C18, 30 cm x 3.9 mm.
3.3. A clarification kit to remove any particulates in the bulk if necessary.
3.4. A micro-distillation apparatus to distill any samples if necessary.
3.5. An electronic integrator or some other suitable method of measuring peak areas.
3.6. Microliter syringes-10 uL syringe and other convenient sizes for making standards. 10 uL syringe for sample injections.
3.7. Volumetric flasks, 5 mL and other convenient sizes for preparing standards and making dilutions.
4. Reagents.
4.1. Benzene, reagent grade.
4.2. HPLC grade water , methyl, alcohol, and isopropyl alcohol.
5. Collection and shipment of samples.
5.1. Samples should be transported in glass containers with Teflon-lined caps.
5.2. Samples should not be put in the same container used for air samples.
6. Analysis of samples.
6.1. Sample preparation. If necessary, the samples are distilled or clarified. Samples are analyzed undiluted. If the benzene concentration is out of the working range, suitable dilutions are made with isopropyl alcohol.
6.2. HPLC conditions.
The typical operating conditions for the high performance liquid chromatograph are:
a. Mobile phase--Methyl alcohol/water, 50/50
b. Analytical wavelength--254 mm
c. Injection size--10 uL
6.3. Measurement of peak area and calibration. Peak areas are measured by an integrator or other suitable means. The integrator is calibrated to report results in % benzene by volume.
7. Calculations.
Since the integrator is programmed to report results in % benzene by volume in an undiluted sample, the following equation is used:
% Benzene by Volume = A x B
Where: A = % by volume on report, and
B = Dilution factor
(B = 1 for undiluted sample).
8. Backup Data.
8.1. Detection limit--Bulk samples.
The detection limit for the analytical procedure for bulk samples is 0.88 ug, with a coefficient of variation of 0.019 at this level. This amount provided a chromatographic peak that could be identifiable in the presence of possible interferences. The detection limit data were obtained by making 10 uL injections of a 0.10% by volume standard.

1	45386
2	44214
3	43822	X = 44040.1
4	44062	SD = 852.5
6	42724	CV = 0.019
			
8.2. Pooled coefficient of variation--Bulk Samples. The pooled coefficient of variation for the analytical procedure was determined by 50 uL replicate injections of analytical standards. The standards were 0.01, 0.02, 0.04, 0.10, 1.0, and 2.0% benzene by volume.

AREA COUNT (PERCENT)

Injection	0.01	0.02	0.04	0.10	1.0	2.0

	1	45386	84737	166097	448497	4395380	9339150
	2	44241	84300	170832	441299	4590800	9484900
	3	43822	83835	164160	443719	4593200	9557580
	4	44062	84381	164445	444842	4642350	9677060
	5	44006	83012	168398	442564	4646430	9766240
	6	42724	81957	173002	443975	4646260	............

	X =	44040.1	83703.6	167872	444149	4585767	9564986        

	SD =	 852.5	1042.2	3589.8	2459.1	96839.3	166233        

	CV =	0.0194	0.0125	0.0213	0.0055	0.0211	0.0174
	CV =	0.017 
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5218 and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).

Appendix E

Qualitative and Quantitative Fit Testing Protocols

[See Section 5144, Appendix A]
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section 5218 and Appendices A-E filed 4-20-90; operative 5-20-90 (Register 90, No. 23).
2. Amendment repealing appendix E and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
3. Editorial correction relocating History 2 to Histories for section 5218 and renumbering Histories (Register 99, No. 28).
§5219. Ethylene Dibromide (EDB).
Note     •     History

(a) Scope and Application.
(1) This section establishes requirements for the control of employee exposure to ethylene dibromide (EDB) including exposures which may result after EDB use as a fumigant. Because of the higher risk of harm due to exposure above the permissible exposure limit, noncompliance with subsections (c), (e) through (k), and (n) constitutes a real and apparent hazard.
(2) This section applies to the manufacture, reaction, packaging, repackaging, storage, transportation, distribution, sale, handling and use of ethylene dibromide.
(3) This section does not apply to the storage, transportation, distribution or sale of EDB in intact containers sealed in such a manner as to prevent the release of EDB vapor or liquid except for the following provisions:
(A) Notification of use and emergencies (subsection (d));
(B) Emergency Procedures (subsection (i));
(C) Training (subsection (j)); and
(D) Posting and notification of shipment (subsection (k)).
(4) This section, with the exception of subsection (c), Permissible Exposure Limit, does not apply to:
(A) The distribution, storage, bulk handling, or use of leaded fuel;
Note: This section applies to the entering of leaded fuel storage tanks.
(B) The handling and storage of EDB-treated materials at or between wholesale and retail establishments provided the requirements of subsection (n), Receipt of EDB-Treated Materials, have been met;
(C) Liquid mixtures that contain less than 0.01% EDB by weight or volume.
(5) This section does not apply to the use of EDB by pest control applicators who are regulated by the California Department of Food and Agriculture. Employees who may be exposed to EDB as a result of the activities of such applicators are covered by this section.
(6) The provisions of this section are subject to the requirements of the Occupational Carcinogens Control Act of 1976 (Health and Safety Code, Division 20, Chapter 2).
(b) Definitions.
Action level. An 8-hour time-weighted average concentration of 15 parts of EDB per billion parts of air by volume (ppb) but not exceeding 130 ppb over any 15-minute period.
Chief. Chief of the Division of Occupational Safety and Health, P.O Box 420603, San Francisco, CA 94142.
First receiver. A retail warehouse, wholesale establishment, or container freight station where any portion of a shipment of EDB-treated material is first unloaded in California.

Exception: The handling of sealed intermodal containers.
Shipping container. The smallest unit into which EDB-treated materials are packaged for distribution in commerce in California, for example, a box, crate, or pallet.
Supplier. The shipper or shipper's agent who arranges for shipment of treated materials between the point of treatment and the first receiver under the requirements of (n), Receipt of EDB-Treated Materials.
(c) Permissible Exposure Limit (PEL).
(1) Inhalation. The employer shall assure that no employee is exposed to a concentration of airborne EDB in excess of 130 parts of EDB per billion parts of air by volume (ppb) as an 8-hour, time-weighted average (TWA), and in excess of a ceiling concentration of airborne EDB of 130 ppb, as measured over a 15-minute period.
(2) Dermal and Eye Exposure. The employer shall assure that no employee is exposed to eye or skin contact with liquid EDB or liquid mixtures containing greater than 0.1% EDB by weight.
(d) Reporting of Use and Emergencies. See section 5203.
(e) Exposure Monitoring.
(1) General.
(A) Determinations of exposure levels shall be made from air samples that are representative of each employee's 8-hour time-weighted average and peak exposure to airborne EDB.
(B) For the purpose of this subsection, employee exposure is that exposure which would occur if the employee were not using a respirator.
(2) Initial. Each employer who has a place of employment in which EDB is present shall monitor each such workplace and work operation to accurately determine the 8-hour time-weighted average and peak concentrations of airborne EDB to which employees may be exposed. Such monitoring shall be conducted as soon as possible but not later than 30 days following the effective date of this section or within 30 days following the initial introduction of EDB into the workplace.
(3) Frequency.
(A) If monitoring required by this section reveals employee exposures to be below the action level, no additional monitoring of such employees is necessary other than as required by paragraph (e)(4).
(B) If the monitoring required by this section reveals employee exposures to be below the permissible exposure limit, but at or above the action level, the employer shall repeat exposure measurements representative of each such employee's exposure at least quarterly. The employer shall continue quarterly monitoring until at least two consecutive measurements taken at least seven (7) days apart are below the action level.
(C) If the monitoring required by this section reveals employee exposures to be in excess of the permissible exposure limit, the employer shall repeat exposure measurements representative of each such employee at least monthly. The employer shall continue monthly monitoring until at least two consecutive measurements, taken at least seven (7) days apart, are below the permissible exposure limit. Thereafter the employer shall monitor as required by paragraphs (e)(3) and (e)(4).
(4) Additional. Whenever there has been a production, process, or engineering control change or leak or spill which may result in any new or additional exposure to EDB, or whenever the employer has any reason to suspect new or additional exposures to EDB, the employer shall monitor the employees potentially affected by such change for the purpose of redetermining their exposure. Monitoring shall be conducted as soon as possible but not later than 15 days after the change. Subsequent monitoring shall be in accordance with paragraph (e)(3).
(5) Employee Notification.
(A) Within five (5) working days after the receipt of monitoring results, the employer shall notify each employee in writing, through conspicuous posting or through letter, of the monitoring results which represent the employee's exposure. Posting shall be for at least 30 days.
(B) Whenever the results indicate that employee exposure exceeds the permissible exposure limit, the employer shall include in the written notice a statement that the permissible exposure limit was exceeded and a description of the corrective action being taken to reduce exposure to or below the permissible exposure limit.
(6) Accuracy of Measurement. The employer shall use NIOSH Method No. P&CAM 260 or a method of equivalent accuracy.
(f) Methods of Compliance. Where employee exposure exceeds the limits specified in subsection (c), exposure shall be controlled by the following methods:
(1) Feasible engineering and work practice controls shall immediately be used to reduce exposures.
(2) Where engineering controls are not feasible to control employee exposure within the limits specified in subsection (c), or during the time such controls are being implemented, worker exposure shall be controlled by administrative and work practice controls, and by appropriate personal protective equipment as described in (g) and (h).
(g) Protective Clothing and Equipment.
(1) Provision and Use. Where there is a possibility of eye or skin contact with liquid EDB or liquid mixtures containing greater than 0.1% EDB by weight, the employer shall provide at no cost to the employee, and require that the employee wears, resistant protective clothing and equipment to protect the area of the body which may come into such contact with EDB. Eye and face protection and protective clothing and equipment shall comply with the requirements of Sections 3380, 3382 and 3384 of the General Industry Safety Orders.
(2) Removal and Storage.
(A) The employer shall require that employees promptly remove any protective equipment an clothing which becomes contaminated with EDB-containing liquids. This clothing and equipment shall not be reworn until it has been decontaminated.
(B) EDB-contaminated protective devices and work clothing shall be placed and stored in containers which prevent dispersion of the EDB into the workplace.
(C) Containers of EDB-contaminated protective devices or work clothing shall bear labels with the legend specified under paragraph (k) (2) (B).
(3) Cleaning and Replacement.
(A) The employer shall clean, launder, repair, or replace protective clothing and equipment required by this section to maintain their effectiveness. The employer shall provide uncontaminated protective clothing and equipment to each affected employee as required.
(B) The employer shall inform any person who launders or cleans EDB-contaminated protective clothing or equipment of the potentially harmful effects of exposure to EDB.
(h) Respiratory Protection. Where respiratory protection is required in subsection (f), or during emergencies, respiratory protection shall be provided and used in accordance with General Industry Safety Order 5144 and the following table:

CONCENTRATIONS OF
AIRBORNE EDB OR
CONDITION OF USE	RESPIRATOR TYPE1

(A) Not greater than 0.130 ppm 	Respirators not required.
  (130 ppb)
(B) Not greater than 1.3 ppm.	1. Any supplied-air respirator; or
  (1300 ppb)	2. Any self-contained breathing
	apparatus.
(C) Not greater than 6.5 ppm.	1. Any supplied-air respirator
  (6500 ppb)	with full facepiece, helmet, or
	hood; or
	2. Any self-contained breathing
	apparatus with full facepiece.
(D) Not greater than 130 ppm.	A Type C supplied-air respirator
  (130,000 ppb)	operated in pressure-demand or
	the positive pressure or continuous flow 			mode.
(E) Not greater than 260 ppm.	A Type C supplied-air respirator 
  (260,000 ppb)	with full facepiece operated inpressure-de			mand or other positive pressure mode, or 			with full face-piece, helmet, or hood oper			ated in continuous flow mode.
(F) Greater than 260 ppm or	1.A combination respirator which includes  entry and escape from unknown	a Type C supplied-air respirator with 
 concentrations.	full facepiece operated in pressure-demand
	or other positive pressure or continuous
	flow mode and an auxiliary self-contained 	breathing apparatus operated in pressure-			demand or positive pressure mode; or
	2. A self-contained breathing apparatus 			with full facepiece operated in pressure-			demand mode.
(G) Firefighting	A self-contained breathing apparatus with			full facepiece operated in pressure demand			mode.

1 Respirators specified for high concentrations can be used for lower concentrations of EDB.
(i) Emergency Procedures.
(1) Skin or Eye Contact. When skin or eye contact with liquid EDB or liquid mixtures containing greater than 0.1% EDB by weight occurs, the employer shall assure that affected employees immediately flush contaminated eyes with water for 15 minutes and remove all contaminated clothing and shoes and flush contaminated skin with water. Appropriate medical treatment shall be provided.

Exception: For skin contact with liquid mixtures containing EDB, an appropriate cleaning agent may precede a flush with water.
Note: For proper selection, installation, and maintenance of emergency wash facilities, consult American National Standards Institute (ANSI) Z358.1-1981.
(2) Written Procedures. Each facility that stores, handles, or otherwise uses liquid EDB or liquid mixtures containing greater than 0.1% EDB by weight shall develop and implement as necessary, a written operation plan such that:
(A) Employees engaged in correcting emergency situations are protected in accordance with this section;
(B) Employees not engaged in correcting emergency situations are evacuated from areas of potential overexposure;
(C) Employees who have eye or kin contact with EDB are decontaminated and given treatment in accordance with paragraph (1) above, and;
(D) Employees who may have inhaled airborne EDB at concentrations greater than the permissible exposure limit are directed to and provided appropriate medical treatment and offered annual medical examinations.
(j) Training.
(1) Each employee who may be exposed at or above the action level regardless of respirator use or work practice, and all employees subject to skin or eye contact with liquid EDB or liquid mixtures containing greater than 0.1% EDB by weight shall be provided a training and education program relating to the hazards of EDB and precautions for its safe use. The employer shall provide initial training prior to working with EDB and at least annually thereafter. The training shall be appropriate to the jobs to which the worker is assigned and presented in a language the employee understands.
(2) The training program shall include and cover:
(A) A Material Safety Data Sheet on EDB or the EDB-containing mixture;
Note: An MSDS for the chemical or pesticide may be obtained from the manufacturer or seller.
(B) Safe work practices on EDB;
(C) The purpose for, proper use, and limitations of respiratory protective devices, if such devices are required;
(D) The purpose for, proper use, and limitations of personal protective clothing and equipment, if such clothing and equipment are required;
(E) The purpose for and a description of the medical surveillance program, if one is required;
(F) Emergency procedures as required by subsection (i);
(G) The interaction of disulfiram (Antabuse) and similar compounds with EDB; and
(H) Section 5219, including employee rights granted by paragraphs (a)(1) and (e)(5).
(I) In addition, for uses of EDB as a pesticide, a copy and discussion of the Hazard Evaluation System and Information Service (HESIS) Hazard Alert on EDB.
Note: The Hazard Alert is available in both English and Spanish from the Hazard Evaluation System and Information Service (HESIS), Departments of Health Services and Industrial Relations, 2151 Berkeley Way, Room 504, Berkeley, CA 94704.
(k) Signs and Notification of Shipment.
(1) General.
(A) The employer may use labels or signs required by other statutes, regulations or ordinances in addition to, or in combination with, signs required by this subsection.
(B) The employer shall assure that no statement appears on or near any sign required by this subsection which contradicts or detracts from the required sign.
(2) Posting.
(A) The employer shall post a precautionary sign in areas where employee exposure may exceed the action level or where liquid EDB or mixtures of greater than 0.1% EDB by weight are transferred or stored.
(B) Intermodal containers containing EDB-treated materials received at marine terminals shall be conspicuously posted at the door end with a notice equivalent to (k)(2)(C) or the Notification of Shipment required by (k)(3).
(C) The employer shall assure that the precautionary signs required by this subsection are readily visible, legible, and understood by the employee. The signs shall bear the following legend in both Spanish and English:

DANGER
ETHYLENE DIBROMIDE
CANCER HAZARD
MAY CAUSE STERILITY IN MALES
For instructions concerning safe work practices, contact your employer.

PELIGRO
ETHYLENE DIBROMIDE
RIESGO DE CANCER
PUEDE CAUSAR ESTERILIDAD A LOS HOMBRES
Pida a su patron instrucciones para seguridad en el trabajo.
(3) Notification of Shipment. All employers shipping or handling material treated with EDB shall provide the recipient of the material with a written notice informing the recipient that the material was treated with EDB and the date of treatment. The notice shall be provided prior to any handling of the treated material by the recipient.
(l) Recordkeeping. The employer shall establish and maintain an accurate record of all monitoring and medical surveillance required by this section, allow employee access to all such records, and otherwise conform to the requirements set forth in General Industry Safety Order 3204.
(m) Medical Surveillance. A medical surveillance program shall be provided for employees assigned to areas where exposure monitoring required by (e) indicates employees will be exposed at or above the action level. The comprehensive medical examination shall include but not be limited to:
(1) Preassignment and annual examinations.
(2) The employee's personal, reproductive, and family history insofar as these are related to pertinent genetic, occupational, and environmental factors.
(3) A consideration by the physician of whether factors exist which would predispose the employee to increased risk, such as reduced immunological competence, treatment with steroids or cytotoxic agents, pregnancy, and cigarette smoking.
(4) The examining physician shall be provided with:
(A) The HESIS Hazard Alert or MSDS.
(B) A copy of Section 5219, and
(C) Information on the interaction of disulfiram (Antabuse R) and similar compounds with EDB.
(5) Employee medical records shall be retained in accordance with Section 3204.
(n) Receipt of EDB-Treated Materials.
(1) First receivers or suppliers on their behalf shall submit a written application to the Chief for approval which shall include, but not be limited to, the following:
(A) A written plan for packaging and shipping EDB-treated material which will result in exposures of 15 ppb or less over a maximum 30-minute period to employees off-loading such material.
(B) Measurements of airborne levels of EDB taken in the operator's breathing zone demonstrating that exposure to employees will be as specified in (A) for all shipments. Sampling data shall include:
1. Test results for shipments treated with EDB on three different days within one month of the start of treatment each season, if applicable; and
2. One test on any representative shipment per month thereafter.
(C) A plan to make copies of the Appendix available to employees off-loading treated materials.
(2) The supplier shall provide the first receiver with a written notice that the material was treated with EDB and the date of treatment. The notice shall be provided prior to any handling of the treated material by the recipient.
(3) Where the first receiver consolidates EDB-treated materials into intermodal containers, he shall provide the recipient of the intermodal container with a written notice that the material was treated with EDB and the date of treatment. The notice shall be provided prior to any handling of the intermodal container by the recipient.
(4) Shipping containers shall be clearly labeled in 10 point type or larger as follows:
This produce has been fumigated with Ethylene Dibromide (EDB) for the control of fruit fly infestation. Procedures approved by Cal/OSHA have been undertaken by the supplier to assure safe exposure levels at this workplace. For further information contact your employer, Cal/OSHA Consultation Service at 1-800-652-1476, or your local Cal/OSHA office.
(5) Where the first receiver consolidates EDB-treated materials into intermodal containers, the first receiver shall clearly label the container at the door end with a notice equivalent to that in (n)(3)(A) or the Notification of Shipment required by (k)(3).
(6) In addition to procedures outlined in the shipping plan, (n)(1), trucks hauling materials between treatment and the first receiver shall have:
(A) Trailer vents opened, forward and rear, during the last two hours in transit; and
(B) Trailer doors opened upon arrival.
(7) Failure by suppliers to comply with subsection (n) subjects first receivers, upon notice by the Division, to the full requirements of this section.

Appendix
Information for Persons Handling Fresh Produce and Other Materials Treated with Ethylene Dibromide (EDB)
The cartons you will be handling contain fruit that has been fumigated with Ethylene Dibromide (EDB). Fumigation with EDB is done only when it is required by law to prevent the spread of fruit flies that lay eggs on citrus fruit, mangos, and papayas. High concentrations of EDB cause cancer and reproductive problems in animals. Even though these effects have not been seen in humans, special precautions, required by law, have been undertaken to make sure you are exposed to only very low levels of this chemical.
The shipper of this fumigated fruit has applied to the California Division of Occupational Safety and Health (Cal/OSHA) with his plan to pack and ship fruit assuring that when it is unloaded, only trace amounts of EDB will remain in the trailer or shipping container. Cal/OSHA regulations require that truck trailer vents be opened the last two hours on the road and the trailer doors be opened upon arrival.
Fruit shipments handled according to Cal/OSHA's requirements are safe to unload and will have a notice on each carton to confirm this. If you want more information you should consult your employer or call Cal/OSHA (Toll Free) at 1-800-652-1476.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 8-4-81 as an emergency; effective upon filing (Register 81, No. 33).
2. Order of Repeal of 8-4-81 emergency order filed 8-13-81 by OAL pursuant to Government Code section 11349.6 (Register 81, No. 33).
3. New section filed 9-23-81 as an emergency; effective upon filing (Register 81, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-21-82.
4. Certificate of Compliance including amendment transmitted to OAL 1-21-82 and filed 2-19-82; effective thirtieth day thereafter (Register 82, No. 8).
5. Editorial correction of subsection (i)(2)(B) (Register 82, No. 14).
6. Amendment filed 6-6-84; effective thirtieth day thereafter (Register 84, No. 23).
7. Change without regulatory effect of NOTE filed 2-14-86; effective thirtieth day thereafter (Register 86, No. 7).
8. Change without regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
9. Amendment of subsection (d), repealer of subsections (d)(1)-(3) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
§5220. Ethylene Oxide.
Note     •     History

(a) Scope and Application.
(1) This section applies to all occupational exposures to ethylene oxide (EtO) except as provided in subsection (a)(2).
(2) This section does not apply to the processing, use, or handling of products made from or containing EtO where objective data demonstrate that the product is not capable of releasing airborne EtO in concentrations at or above the action level under conditions of processing, use, or handling that would reasonably be expected to cause the greatest possible release.
(3) Where a product is exempted pursuant to subsection (a)(2), the employer shall maintain a record of the objective data supporting that exemption and the basis for the employer's reliance on the data, as provided in subsection (k)(1).
(4) Sections 5221 and 5222 also apply where EtO is used in walk-in chambers for fumigation or sterilization purposes.
(5) Every employer using EtO shall report such use(s) to the Chief in accordance with subsection (m) except to the extent that the use of EtO is exempt under the provisions of subsection (a)(2).
(b) Definitions: For the purpose of this section, the following definitions shall apply:
“Action Level.” Employee exposure to airborne EtO at an 8-hour time-weighted average concentration of 0.5 part EtO per million parts of air (0.5 ppm).
“Authorized Person.” Any person specifically authorized by the employer whose duties require the person to enter a regulated area, or any person entering such an area as a designated representative of employees for the purpose of exercising the right to observe monitoring and measuring procedures under subsection (3).
“Chief.” The chief administrative officer of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
“Director.” The Director of the National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
“Emergency.” Any occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment that is likely to or does result in an unexpected significant release of EtO.
“Employee Exposure.” Exposure to airborne EtO without regard to the employee's use of respiratory protective equipment.
“Ethylene Oxide” or “EtO.” The three-membered ring compound with the empirical chemical formula, C2H4O, and Chemical Abstracts Service Register No. 75-21-8.
(c) Permissible Exposure Limit (PEL).
(1) Permissible Exposure Limit (PEL). The employer shall ensure that no employee is exposed to an 8-hour time-weighted average concentration of airborne EtO in excess of one (1) part EtO per million parts of air (1 ppm).
(2) Short Term Exposure Limit (STEL). The employer shall ensure that no employee is exposed to a concentration of airborne EtO in excess of 5 parts of EtO per million parts of air (5 ppm) as averaged over a sampling period of fifteen (15) minutes.
(d) Exposure Monitoring.
(1) General.
(A) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour time-weighted average exposure of each employee.
(B) Determinations of representative employee exposure shall be based on one or more samples representing full-shift exposure for each shift for each job classification in each work area.
(C) Where the employer can document that exposure levels are equivalent for similar operations on different work shifts, the employer need only determine representative employee exposure for such operations during one shift.
(2) Initial Monitoring.
(A) Each employer who has a workplace or work operation covered by this regulation, except as provided for in subsections (a)(2) or (d)(2)(B), shall perform initial monitoring to determine accurately the concentrations of airborne EtO to which employees may be exposed.
(B) Where the employer has monitored after June 15, 1983 and the monitoring satisfies all other requirements of this section, the employer may rely on such earlier monitoring results to satisfy the requirements of subsection (d)(2)(A).
(3) Monitoring Frequency (Periodic Monitoring).
(A) If the monitoring required by subsection (d)(2) reveals employee exposure at or above the action level but not above the permissible exposure limit, the employer shall repeat such monitoring for each such employee at least every 6 months.
(B) If the monitoring required by subsection (d)(2)(A) reveals employee exposure above the permissible exposure limit, the employer shall repeat such monitoring for each such employee at least every 3 months.
(C) The employer may alter the monitoring schedule from quarterly to semiannually for any employee for whom two consecutive measurements taken at listed 7 days apart indicate that the employee's exposure has decreased to or below the permissible exposure limit.
(D) If the monitoring required by subsection (d) (2) (A) reveals employee exposure above the STEL, the employer shall repeat such monitoring for each such employee at least every 3 months, and more often as necessary to evaluate the employee's short term exposures.
(4) Termination of Monitoring.
(A) If the initial monitoring required by subsection (d)(2)(A) reveals employee exposure to be below the action level, the employer may discontinue the monitoring for those employees whose exposures are represented by the initial monitoring.
(B) If the periodic monitoring required by subsection (d)(3) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are below the action level, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring.
(C) If the initial monitoring required by subsection (d) (2) reveals employee exposure to be at or below the STEL, the employer may discontinue short term exposure monitoring for those employees whose exposures are represented by the initial monitoring.
(D) If the periodic monitoring required by subsection (d) (3) (D) reveals that employee exposures, as indicated by at least two consecutive measurements taken at least 7 days apart, are at or below the STEL, the employer may discontinue short term exposure monitoring for those employees whose exposures are represented by such monitoring.
(5) Additional Monitoring. Notwithstanding the provisions of subsection (d)(4), the employer shall institute the exposure monitoring required under subsections (d)(2)(A) and (d)(3) whenever there has been a change in the production, process, control equipment, personnel or work practices that may result in new or additional employee exposures or when the employer has any reason to suspect that a change may result in new or additional exposures.
(6) Accuracy of Monitoring.
(A) Monitoring shall be accurate, to a confidence level of 95 percent, to within plus or minus 25 percent for concentrations of airborne EtO at the permissible exposure limit and to within plus or minus 35 percent for concentrations of airborne EtO at the action level.
(B) Monitoring shall be accurate, to a confidence level of 95 percent, to within plus or minus 35 percent for concentrations of airborne EtO at the STEL.
(7) Employee Notification of Monitoring Results.
(A) The employer shall, within 15 working days after the receipt of the results of any monitoring performed under this regulation, notify the affected employee of these results in writing either individually or by posting the results in an appropriate location that is accessible to affected employees.
(B) The written notification required by subsection (d)(7)(A) shall describe the corrective action being taken by the employer to reduce employee exposure to or below the PEL or STEL wherever monitoring results indicated that the PEL and/or STEL has been exceeded.
(e) Regulated Areas.
(1) The employer shall establish a regulated area wherever employee exposures may exceed the PEL or can reasonably be expected to exceed the STEL.
(2) Access to regulated areas shall be limited to authorized persons.
(3) Regulated areas shall be demarcated in any manner that minimizes the number of employees within the regulated area.
(4) Regulated areas shall be posted in accordance with subsection (j)(1).
(f) Methods of Compliance.
(1) Engineering Controls and Work Practices.
(A) The employer shall institute engineering controls and work practices to reduce and maintain employee exposure to or below the PEL except to the extent that such controls are not feasible.
(B) Wherever the feasible engineering controls and work practices that can be instituted are not sufficient to reduce employee exposure to or below the PEL, the employer shall use them to reduce employee exposure to the lowest levels achievable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (g).
Note: Engineering controls are generally infeasible for the following operations: collection of quality assurance sampling from sterilized materials; removal of biological indicators from sterilized materials; loading and unloading of tank cars; changing of ethylene oxide tanks on sterilizers; and vessel cleaning. For these operations, engineering controls are required only where the Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor or the Chief demonstrate that such controls are feasible.
(2) Compliance Program.
(A) Where the PEL is exceeded, the employer shall establish and implement a written program to reduce employee exposure to or below the PEL by means of engineering and work practice controls, as required by subsection (f)(1), and by the use of respiratory protection where required or permitted under this section.
(B) The compliance program shall include a schedule for periodic leak detection surveys and, as specified in subsection (h)(1), a written plan for emergency situations.
(C) Written plans for a program required in subsection (f)(2) shall be developed and furnished upon request for examination and copying to authorized representatives of the Chief, the Director, affected employees and designated employee representatives. Such plans shall be reviewed at least every 12 months, and shall be updated as necessary to reflect significant changes in the status of the employer's compliance program.
(D) The employer shall not implement a schedule of employee rotation as a means of compliance with the PEL or the STEL.
(g) Respiratory Protection and Personal Protective Equipment.
(1) General. For employees who are required to use respirators by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Periods necessary to install or implement feasible engineering and work practice controls;
(B) Work operations such as maintenance and repair activities, vessel cleaning, or other activities for which engineering and work practice controls are not feasible;
(C) Work operations for which feasible engineering and work practice controls are not yet sufficient to reduce exposure to or below the PEL; and
(D) Emergencies.
(2) Respirator program. The employer must implement a respiratory protection program in accordance with section 5144(b) (except (d)(1)(C)) through (m).
(3) Respirator Selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1; however, employers shall not select or use half masks of any type because EtO may cause eye irritation or injury.
(B) Each air-purifying, full facepiece respirator shall be equipped with a front- or back-mounted canister approved for protection against ethylene oxide.
(C) For escape, the employer shall provide employees with any respirator permitted for use under subsections (g)(3)(A) and (B).
(4) Protective Clothing and Equipment. Where eye or skin contact with liquid EtO or EtO solutions may occur, the employer shall select and provide, at no cost to the employee, appropriate protective clothing or other equipment in accordance with Sections 3380, 3382, 3383, and 3384 to protect any area of the body that may come in contact with liquid EtO or EtO in solution and shall ensure that the employee wears the protective clothing and equipment provided.
(h) Emergency Situations.
(1) Written Plan.
(A) A written plan for emergency situations shall be developed for each workplace where there is a possibility of an emergency. Appropriate portions of the plan shall be implemented in the event of an emergency.
(B) The plan shall specifically provide that employees engaged in correcting emergency conditions shall be equipped with respiratory protection as required by subsection (g) until the emergency is abated.
(C) The plan shall include the elements prescribed by Section 3220, Emergency Action Plan, and Section 3221, Fire Prevention Plan. 
(2) Alerting Employees. Where there is the possibility of employee exposure to EtO due to an emergency, means shall be developed and provided to promptly alert potentially affected employees upon such occurrences. Affected employees not engaged in correcting the emergency conditions shall be immediately evacuated from the area and shall not be permitted to return until the emergency is abated.
(3) Reporting of Emergencies. Emergencies shall be reported to the Chief in accordance with subsection (m).
(i) Medical Surveillance.
(1) General.
(A) The employer shall institute a medical surveillance program for all employees who are or may be exposed to EtO at or above the action level, without regard to the use of respirators, for at least 30 days a year.
(B) The employer shall make available medical examinations and consultations to all employees who have been exposed to EtO in an emergency situation.
(C) The employer shall ensure that all medical examinations and procedures are performed by or under the supervision of a licensed physician and are provided without cost to the employee, without employee loss of pay, and at a reasonable time and place.
(2) Frequency of Medical Examinations and Consultations. The employer shall make medical examinations and consultations available to each employee covered under subsections (i)(1)(A) and (B) on the following schedules:
(A) Prior to assignment of the employee to an area where exposure may be at or above the action level for at least 30 days a year.
(B) At least annually for each employee exposed at or above the action level for at least 30 days in the preceding year.
(C) At termination of employment or upon reassignment to an area where employee exposure is not at or above the action level for at least 30 days a year.
(D) As medically appropriate for any employee exposed during an emergency.
(E) As soon as possible following notification of the employer by an employee either (1) that the employee has developed signs or symptoms indicating possible overexposure to EtO, or (2) that the employee desires medical advice concerning the effects of current or past exposure to EtO on the employee's ability to produce a healthy child.
(F) If the examining physician determines that any of the examinations should be provided more frequently than specified, the employer shall provide such examination to affected employees at the frequencies recommended by the physician.
(3) Content of Medical Examinations and Consultations.
(A) Medical examinations made available pursuant to subsection (i)(2)(A)-(D) shall include:
1. A medical and work history with special emphasis directed to symptoms related to the pulmonary, hematologic, neurologic, and reproductive systems and to the eyes and skin;
2. A physical examination with particular emphasis given to the pulmonary, hematologic, neurologic, and reproductive systems and to the eyes and skin;
3. A complete blood count to include at least a white cell count (including differential cell count) and red cell count and hematocrit and hemoglobin determinations; and
4. Any laboratory or other test which the examining physician deems necessary by sound medical practice.
(B) The content of medical examinations or consultations made available pursuant to subsection (i)(2)(E) shall be determined by the examining physician and shall include pregnancy testing or laboratory evaluation of fertility if requested by the employee and deemed appropriate by the physician.
(4) Information Provided to the Physician. The employer shall provide the following information to the examining physician:
(A) A copy of this standard and Appendices A, B and C;
(B) A description of the affected employee's duties as they relate to the employee's exposure;
(C) The employee's representative exposure level or anticipated exposure level;
(D) A description of any personal protective and respiratory equipment used or to be used; and
(E) Information from previous medical examinations of the affected employee that is not otherwise available to the examining physician.
(5) Physician's Written Opinion.
(A) The employer shall obtain a written opinion from the examining physician. This written opinion shall contain the results of the medical examination and shall include:
1. The physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of material health impairment from exposure to EtO;
2. Any recommended limitations on the employee or upon the use of personal protective equipment such as clothing or respirators; and
3. A statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions resulting from EtO exposure that require further explanation or treatment.
(B) The employer shall instruct the physician not to reveal in the written opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to EtO.
(C) The employer shall provide a copy of the physician's written opinion to the affected employee within 15 days from its receipt.
(j) Communication of EtO Hazards to Employees:
(1) Signs and Labels.
(A) The employer shall post and maintain legible signs demarcating regulated areas and entrances or accessways to regulated areas that bear the following legend:

DANGER
ETHYLENE OXIDE
CANCER HAZARD AND REPRODUCTIVE HAZARD
AUTHORIZED PERSONNEL ONLY 
RESPIRATORS AND PROTECTIVE CLOTHING MAY BE
REQUIRED TO BE WORN IN THIS AREA
(B) The employer shall ensure that precautionary labels are affixed to all containers the contents of which are capable of causing employee exposure at or above the action level, or the contents of which may reasonably be foreseen to cause employee exposure above the STEL, and that the labels remain affixed when the containers leave the workplace. The labels shall comply with Section 5194 (f) and shall include the following legend:
1.

DANGER
CONTAINS ETHYLENE OXIDE
CANCER HAZARD AND REPRODUCTIVE HAZARD; and
2. An appropriate statement warning against the breathing of EtO such as:

USE ONLY WITH ADEQUATE VENTILATION
OR RESPIRATORY PROTECTION.
(C) In lieu of affixing the label prescribed by subsection (j)(1)(B) on individual stationary process containers such as reaction vessels, storage tanks and pipes or piping systems, the employer may use signs, placards, process sheets, batch tickets, operating procedures or other such written materials to convey the prescribed labeling information. The written materials shall be readily accessible to the employees in their work area throughout each work shift.
(D) The labeling requirements under this section do not apply where EtO is used as a pesticide, as such term is defined in the Federal Insecticide, Fungicide and Rodenticide Act (& U.S.C.136 et seq.), when it is labeled pursuant to that Act and regulations issued under that Act by the Environmental Protection Agency.
(2) Material Safety Data Sheets.
(A) Employers who are manufacturers of EtO or mixtures containing EtO, or any person other than a manufacturer who sells EtO or mixtures containing EtO, shall comply with requirements for the preparation and provision of material safety data sheets specified by the Hazardous Substances Information and Training Act (Labor Code Section 6360, et seq.).
(B) Employers who are users of EtO or mixtures containing EtO shall obtain material safety data sheets and provide for their availability in accordance with Section 5194.
(3) Information and Training.
(A) The employer shall provide employees who are potentially exposed to EtO at or above the action level with information and training on EtO at the time of initial assignment and at least annually thereafter.
(B) Employees shall be informed of the following:
1. The requirements of this regulation with an explanation of its contents, including Appendices A and B;
2. All operations in their work area where EtO is present;
3. The location and availability of this regulation within the workplace; and
4. The medical surveillance program required by subsection (i) with an explanation of the information in Appendix C.
(C) Employee training shall include at least:
1. Methods and observations that may be used to detect the presence or release of EtO in the work area (such as monitoring conducted by the employer, continuous monitoring devices, etc.);
2. The physical and health hazards of EtO;
3. The measures employees can take to protect themselves from hazards associated with EtO exposure, including specific procedures the employer has implemented to protect employees from exposure to EtO, such as work practices, emergency procedures, and personal protective equipment to be used; and
4. The details of the hazard communication program developed by the employer in accordance with Section 5194, including an explanation of the labeling system and how employees can obtain and use the appropriate hazard information.
(k) Recordkeeping.
(1) Objective Data For Exempted Operations.
(A) Where the processing, use, or handling of products made from or containing EtO are exempted from other requirements of this regulation under subsection (a)(2), or where objective data such as earlier monitoring have been relied on in lieu of initial monitoring under subsection (d)(2)(B), the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) This record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of EtO;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption.
(C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Exposure Measurements.
(A) The employer shall keep an accurate record of all measurements taken to monitor employee exposure to EtO as prescribed in subsection (d).
(B) This record shall include at least the following information:
1. The date of measurement;
2. The operation involving exposure to EtO which is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken;
5. Type of protective devices worn, if any; and
6. Name, social security number and exposure of the employees whose exposures are represented.
(C) The employer shall maintain this record for at least thirty (30) years.
(3) Medical Surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance as prescribed by subsection (i)(1).
(B) The record shall include at least the following information:
1. The name and social security number of the employee;
2. Physicians' written opinions;
3. Any employee medical complaints related to exposure to EtO; and
4. A copy of the information provided to the physician as required by subsection (i)(4).
(C) The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years.
(4) Availability.
(A) The employer, upon written request, shall make all records required to be maintained by this section available to authorized representatives of the Chief and the Director for examination and copying.
(B) The employer, upon request, shall make any exemption and exposure records required by subsections (k)(1) and (k)(2) of this section available for examination and copying to affected employees, former employees, designated representatives, and authorized representatives of the Chief, in accordance with Section 3204(a)-(e) and (g)-(i).
(C) The employer, upon request, shall make employee medical records required by subsection (k)(3) available for examination and copying to the subject employee, anyone having the specific written consent of the subject employee, and authorized representatives of the Chief, in accordance with Section 3204.
(5) Transfer of Records.
(A) The employer shall comply with the requirements concerning transfer of records set forth in Section 3204(h).
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Director in writing at least 90 days prior to their disposal and shall transmit them to the Director if requested to do so within the 90-day period.
(l) Observation of Monitoring.
(1) Employee Observation. The employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to EtO conducted in accordance with subsection (d).
(2) Observation Procedures. When observation of the monitoring of employee exposure to EtO requires entry into an area where the use of protective clothing or equipment is required, the observer shall be provided with and be required to use such clothing and equipment and shall be required to comply with all of the applicable safety and health procedures.
(m) Notification of Use and Emergencies. See section 5203.
(n) Appendices. The information contained in the appendices is not intended by itself to create any additional obligations nor otherwise imposed by this section or to detract from any existing obligation.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code.
HISTORY

1. New section filed 1-16-85; effective thirtieth day thereafter (Register 85, No. 3).
2. Change without regulatory effect of NOTE filed 2-14-86; effective thirtieth day thereafter (Register 86, No. 7).
3. Amendment of subsection (j)(1)(b)1. filed 8-4-86; effective thirtieth day thereafter (Register 86, No. 32).
4. Amendment of subsections (a), (c), (d), (e), (f), (g) and (j), repealer of subsection (n) and relettering of former subsection (o) to subsection (n) filed 1-12-90; operative 2-11-90 (Register 90, No. 5).
5. Change withour regulatory effect amending definition of Chief in subsection (b) filed 3-4-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 19).
6. Editorial correction of printing error in Appendix A subsection (d)[ii] and Note (Register 92, No. 19).
7. Amendment of former subsections (g)(1)-(g)(3)(B) including subsection renumbering and relettering resulting in newly designated subsections (g)(1)-(g)(3), and amendment of appendix A, subsection IV. filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
8. Editorial correction moving Note and Histories 1-7 from following Appendix D to preceding Appendix A (Register 99, No. 28).
9. Amendment of subsection (m), repealer of subsections (m)(1)-(4) and amendment of Note filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
10. Amendment of subsection (g)(2) filed 7-31-2003; operative 8-30-2003 (Register 2003, No. 31).
11. Amendment of subsection (g)(3)(A) and new subsections (g)(3)(B)-(C) filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

Substance Safety Data Sheetfor Ethylene Oxide
I. SUBSTANCE IDENTIFICATION
(A) Substance: Ethylene oxide.
(B) Synonyms: dihydrooxirene, dimethylene oxide, EO, 1, 2-epoxyethane, EtO, ETO, oxacyclopropane, oxane, oxidoethane, alpha/beta-oxidoethane, oxiran, oxirane.
(C) Ethylene oxide can be found as a liquid or vapor.
(D) EtO is used in the manufacture of ethylene glycol, surfactants, ethanolamines, glycol ethers, and other organic chemicals. EtO is also used as a sterilant and fumigant.
(E) Appearance and color: Colorless liquid below 10.7o C (51.3o F) or colorless gas with an ether-like odor detectable at approximately 700 parts EtO per million parts of air (700 ppm).
(F) Permissible exposure limit: Exposure may not exceed 1 part EtO per million parts of air averaged over the 8-hour work day.
(G) Short term exposure limit: Exposure may not exceed 5 parts EtO per million parts of air averaged over a sampling period of 15 minutes.
II. HEALTH HAZARD DATA
(A) Routes of exposure. Ethylene oxide can cause bodily harm if you inhale the vapor, if it comes into contact with your eyes or skin, or if you swallow it.
(B) Effects of overexposure.
(1) Ethylene oxide in liquid form can cause eye irritation and injury to the cornea, frostbite, and severe irritation and blistering of the skin upon prolonged or confined contact. Ingestion of EtO can cause gastric irritation and liver injury. Acute effects from inhalation of EtO vapors include respiratory irritation and lung injury, headache, nausea, vomiting, diarrhea, shortness of breath, and cyanosis (blue or purple coloring of skin). Exposure has also been associated with the occurrence of cancer, reproductive effects, mutagenic changes, neurotoxicity, and sensitization.
(2) EtO has been shown to cause cancer in laboratory animals and has been associated with higher incidences of cancer in humans. Adverse reproductive effects and chromosome damage may also occur from EtO exposure.
(C) Reporting signs and symptoms: You should inform your employer if you develop any signs or symptoms that you suspect are caused by exposure to EtO.
III. EMERGENCY FIRST AID PROCEDURES
(A) Eye exposure: If EtO gets into your eyes, wash your eyes immediately with large amounts of water, lifting the lower and upper eyelids. Get medical attention immediately. Contact lenses should not be worn when working with this chemical.
Section 3400(d) of the General Industry Safety Orders requires that where the eyes or body of any person may be exposed to injurious corrosive materials (such as liquid EtO or EtO-containing solutions), suitable facilities for quick drenching or flushing of the eyes and body shall be provided within the work area for immediate emergency use.
(B) Skin exposure: If EtO gets on your skin, immediately wash the contaminated skin with water. If EtO wets your clothing, including your shoes, remove the clothing immediately and wash the skin with water using an emergency deluge shower. Get medical attention immediately. Thoroughly wash contaminated clothing before reusing. Contaminated leather shoes or other leather articles should not be reused and should be discarded.
(C) Inhalation: If large amounts of EtO are inhaled, the exposed person must be moved to fresh air at once. If breathing has stopped, perform cardiopulmonary resuscitation. Keep the affected person warm and at rest. Get medical attention immediately.
(D) Swallowing: When EtO has been swallowed, give the person large quantities of water immediately. After the water has been swallowed, try to get the person to vomit by having him or her touch the back of the throat with his or her finger. Do not make an unconscious person vomit. Get medical attention immediately.
(E) Rescue: Move the affected person from the hazardous exposure. If the exposed person has been overcome, attempt rescue only after notifying at least one other person of the emergency and putting into effect established emergency procedures. Do not become a casualty yourself. Understand your emergency rescue procedures and know the location of the emergency equipment before the need arises.
IV. RESPIRATORS AND PROTECTIVE CLOTHING
(A) Respirators: You may be required to wear a respirator in emergencies, during nonroutine activities, while your employer is installing engineering controls for the reduction of EtO exposures, or when engineering controls are not feasible. As of the effective date of the EtO regulation, only air supplied positive-pressure, full-facepiece respirators are approved for protection against EtO. If air-purifying respirators are worn in the future, they must have a label issued by the National Institute for Occupational Safety and Health (NIOSH) under the provisions of 42 CFR part 84 stating that the respirators have been approved for use with ethylene oxide. For effective protection, respirators must fit your face and head snugly. Respirators should not be loosened or removed in work situations where their use is required.
EtO does not have a detectable odor except at levels well above the permissible exposure limit. If you can smell EtO while wearing a respirator, proceed immediately to fresh air. If you experience difficulty breathing while wearing a respirator, tell your employer.
(B) Protective clothing: You may be required to wear impermeable clothing, gloves, a face shield, or other appropriate protective clothing to prevent skin contact with liquid EtO or EtO-containing solutions. Where protective clothing is required, your employer must provide clean garments to you as necessary to assure that the clothing protects you adequately.
Replace or repair protective clothing that has become torn or otherwise damaged.
EtO must never be allowed to remain on the skin. Clothing and shoes which are not impermeable to EtO should not be allowed to become contaminated with EtO, and if they do, the clothing should be promptly removed and decontaminated. Once EtO penetrates shoes or other leather articles, they should not be worn again.
(C) Eye protection: You must wear splashproof safety goggles in areas where liquid EtO or EtO-containing solutions may contact your eyes. In addition, contact lenses should not be worn in areas where eye contact with EtO can occur.
V. PRECAUTIONS FOR SAFE USE, HANDLING, AND STORAGE
(A) EtO is a flammable liquid, and its vapors can easily form explosive mixtures in air.
(B) EtO must be stored in tightly closed containers in a cool, well-ventilated area, away from heat, sparks, flames, strong oxidizers, alkalies and strong bases, acids, and acetylide-forming metals such as copper, silver, mercury and their alloys.
(C) Sources of ignition such as smoking materials, open flames and some electrical devices are prohibited wherever EtO is handled, used, or stored in a manner that could create a potential fire or explosion hazard.
(D) You should use non-sparking tools when opening or closing metal containers of EtO, and containers must be bonded and grounded in the rare instances in which liquid EtO is poured or transferred.
(E) Impermeable clothing wet with liquid EtO or EtO-containing solutions may be easily ignited and should be washed down with water before removal. If you are wearing clothing which is not impermeable to EtO and are splashed with liquid EtO or EtO-containing solution, you should immediately remove the clothing while under an emergency deluge shower.
(F) If your skin comes into contact with liquid EtO or EtO-containing solutions, you should immediately use an emergency deluge shower to remove the EtO.
(G) You should not keep food, beverages, or smoking materials in regulated areas where employee exposures are above the permissible exposure limit.
(H) Fire extinguishers and emergency deluge showers for quick drenching should be readily available, and you should know where they are and how to operate them.
(I) Ask your supervisor where EtO is used in your work area and for any additional plant safety and health rules.
VI. ACCESS TO INFORMATION
(A) Each year, your employer is required to inform you of the information contained in this standard and appendices for EtO. In addition, your employer must instruct you in the proper work practices for using EtO, in emergency procedures, and in the correct use of protective equipment.
(B) Your employer is required to determine whether you are being exposed to EtO. You or your representative has the right to observe employee measurements and to record the results obtained. Your employer is required to inform you of your exposure. If your employer determines that you are being overexposed, he or she is required to inform you of the actions which are being taken to reduce your exposure to within permissible exposure limits.
(C) Your employer is required to keep records of your exposures and medical examinations. The exposure records must be kept by the employer for at least thirty (30) years. Medical records must be kept for the period of your employment plus thirty (30) years.
(D) Your employer is required to release your exposure records to you and your designated representative and to release your medical records to your physician or designated representative upon your written request in accordance with the provisions of Section 3204, Access to Employee Exposure and Medical Records.
VII. STERILANT USE OF EtO IN HOSPITALS AND HEALTH CARE FACILITIES.
This section of Appendix A, for informational purposes, sets forth EPA's recommendations for modifications in workplace design and practice in hospitals and health care facilities for which the Environmental Protection Agency has registered EtO for uses as a sterilant or fumigant under the Federal Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136 et seq. Published in the Federal Register as mandatory provisions by the EPA at 49 FR 15268 on April 18, 1984 and relegated to advisory status at 49 FR 25675 on June 22, 1984 (concurrent with OSHA's publication of the Federal standard for occupational exposure to EtO), these recommended workplace design and workplace practices are intended to help reduce the exposure of hospital and health care workers to EtO to 1 ppm. For the purposes of this appendix, EPA language which could be misinterpreted to impose mandatory provisions for workplace design and work practices has been amended, primarily by the replacement of “must” by “should,” in the recommendations which follow:
1. WORKPLACE DESIGN
(a) Installation of gas line hand valves. Hand valves should be installed on the gas supply line at the connection to the supply cylinders to minimize leakage during cylinder change.
(b) Installation of capture boxes. Sterilizer operations result in a gas/water discharge at the completion of the process. This discharge is routinely piped to a floor drain which is generally located in an equipment or an adjacent room. When the floor drain is not in the same room as the sterilizer and workers are not normally present, all that is necessary is that the room be well ventilated. 
A “capture box” should be installed in those workplace layouts where the floor drain is located in the same room as the sterilizer or in a room where workers are normally present. A “capture box” is a piece of equipment that totally encloses the floor drain into which the discharge from the sterilizer is pumped. The “capture box” should be vented directly to a non-recirculating or dedicated ventilation system. Sufficient air intake should be allowed at the bottom of the box to handle the volume of air that is ventilated from the top of the box. The “capture box” can be made of metal, plastic, wood or other equivalent material. The box is intended to reduce levels of EtO discharged into the work room atmosphere. The use of a “capture box” is not needed if: (1) the vacuum pump discharge floor drain is located in a well ventilated equipment or other room where workers are not normally present; or (2) the water sealed vacuum pump discharges directly to a closed sealed sewer line (check local plumbing codes).
If it is impractical to install a vented “capture box” and a well ventilated equipment or other room is not feasible, a box that can be sealed over the floor drain may be used if: (1) The floor drain is located in a room where workers are not normally present and EtO cannot leak into an occupied area; and (2) the sterilizer in use is less than 12 cubic feet in capacity (check local plumbing codes).
(c) Ventilation of aeration units.
[i] Existing aeration units. Existing units should be vented to a non-recirculating or dedicated ventilation system or vented to an equipment or other room where workers are not normally present and which is well ventilated. Aerator units should be positioned as close as possible to the sterilizer to minimize the exposure from the off-gassing of sterilized items.
[ii] Installation of new aerator units (where none exist). New aerator units should be vented as described above for existing aerators.
(d) Ventilation during cylinder change. Workers may be exposed to short but relatively high levels of EtO during the change of gas cylinders. To reduce exposure from this route, users should select one of three alternatives designed to draw off gas that may be released when the line from the sterilizer to the cylinder is disconnected:
[i] Location of cylinders in a well ventilated equipment room or other room where workers are not normally present.
[ii] Installation of a flexible hose (at least 4” in diameter) to a non-recirculating or dedicated ventilation system and located in the area of cylinder change in such a way that the hose can be positioned at the point where the sterilizer gas line is disconnected from the cylinder.
[iii] Installation of a hood that is part of a non-recirculating or dedicated ventilation system and is positioned no more than one foot above or behind the point where the change of cylinders takes place.
(e) Ventilation of sterilizer door area. One of the major sources of exposure to EtO occurs when the sterilizer door is opened following the completion of the sterilization process. In order to reduce this avenue of exposure, a hood or metal canopy closed on each end should be installed over the sterilizer door. The hood or metal canopy should be connected to a non-recirculating or dedicated ventilation system or one that exhausts gases to a well ventilated equipment or other room where workers are not normally present. A hood or canopy over the sterilizer door should be installed for use even with those sterilizers that have a purge cycle.
(f) Ventilation of sterilizer relief valve. Sterilizers are typically equipped with a safety relief device to release gas in case of increased pressure in the sterilizer. Generally, such relief devices are used on pressure vessels. Although these pressure relief devices are rarely opened for hospital and health care sterilizers, it is suggested that they be designed to exhaust vapor from the sterilizer by one of the following methods:
[i] Through a pipe connected to the outlet of the relief valve ventilated directly outdoors at a point high enough to be away from passers-by, and not near any windows that open, nor near any air conditioning or ventilation air intakes.
[ii] Through a connection to an existing or new non-recirculating or dedicated ventilation system.
[iii] Through a connection to a well ventilated equipment or other room where workers are not normally present.
(g) Ventilation systems: Each hospital and health care facility that uses EtO for the sterilization of equipment and supplies should have a ventilation system which enables compliance with the recommendations of section (b) through (f) in the manner described in these sections. Thus, each affected hospital and health care facility should have or install a non-recirculating or dedicated ventilation system or have available a well ventilated equipment or other room where workers are not normally present in which to vent EtO.
(h) Installation of alarm systems. An audible and visual indicator alarm system should be installed to alert personnel of ventilation system failures, i.e., when the ventilation fan motor is not working.
2. WORKPLACE PRACTICES
All the workplace practices discussed in this unit should be permanently posted near the door of each sterilizer prior to use by any operator.
(a) Changing of supply line filters. Filters in the sterilizer liquid line should be changed when necessary by the following procedure:
[i] Close the cylinder valve and the hose valve.
[ii] Disconnect the cylinder hose (piping) from the cylinder.
[iii] Open the hose valve and bleed slowly into a proper ventilating system at or near the in-use supply cylinders.
[iv] Vacate the area until the line is empty.
[v] Change the filter.
[vi] Reconnect the lines and reverse the valve position.
[vii] Check hoses, filters, and valves for leaks with a fluorocarbon leak detector (for those sterilizers using the 88 percent chlorofluorocarbon and 12 percent ethylene oxide mixture).
(b) Restricted access area.
[i] Areas involving use of EtO should be designated as restricted access areas. They should be identified with signs or floor marks near the sterilizer door, aerator, vacuum pump floor drain discharge, and in-use cylinder storage.
[ii] All personnel should be excluded from the restricted area when certain operations are in progress, such as discharging a vacuum pump, emptying a sterilizer liquid line, or venting a non-purge sterilizer with the door ajar or other operations where EtO might be released directly into the face of workers.
(c) Door opening procedures.
[i] Sterilizers with purge cycles. A load treated in a sterilizer equipped with a purge cycle should be removed immediately upon completion of the cycle (provided no time is lost opening the door after cycle is completed). If this is not done, the purge cycle should be repeated before opening door.
[ii] Sterilizers without purge cycles. For a load treated in a sterilizer not equipped with a purge cycle, the sterilizer door should be ajar 6” for 15 minutes, and then fully opened for at least another 15 minutes before removing the treated load. The length of time of the second period should be established by peak monitoring for one hour after the two 15-minute periods suggested. If the level is above 10 ppm time-weighted average for 8 hours, more time should be added to the second waiting period (door wide open). However, in no case should the second period be shortened to less than 15 minutes.
(d) Chamber unloading procedures.
[i] Procedures for unloading the chamber should include the use of baskets or rolling carts, or baskets and rolling tables to transfer treated loads quickly, thus avoiding excessive contact with treated articles and reducing the duration of exposures.
[ii] If rolling carts are used, they should be pulled not pushed by the sterilizer operators to avoid off-gassing exposure.
(e) Maintenance. A written log should be instituted and maintained documenting the date of each leak detection and any maintenance procedures undertaken.
[i] Leak detection. Sterilizer door gaskets, cylinder and vacuum piping, hoses, filters, and valves should be checked for leaks under full pressure with a fluorocarbon leak detector (for 12/88 systems only) every two weeks by maintenance personnel. Also, the cylinder piping connections must be checked after changing cylinders. Particular attention in leak detection should be given to the automatic solenoid valves that control the flow of EtO to the sterilizer. Specifically, a check should be made at the EtO gasoline entrance port to the sterilizer, while the sterilizer door is open and the solenoid valves are in a closed position.
[ii] Maintenance procedures. Sterilizer/aerator door gaskets, valves, and fittings should be replaced when necessary as determined by maintenance personnel in their bi-weekly checks; in addition, visual inspection of the door gaskets for cracks, debris, and other foreign substances should be conducted daily by the operator.

Appendix B

Substance Technical Guidelinesfor Ethylene Oxide
I. PHYSICAL AND CHEMICAL DATA
(A) Substance identification
(1) Synonyms: dihydrooxirene, dimethylene oxide, EO, 1, 2-epoxyethane, EtO, ETO, oxacyclopropane, oxane, oxidoethane, alpha/beta-oxidoethane, oxiran, oxirane
(2) Formula: 

View Graphic
(3) Molecular weight: 44.06
(B) Physical data:
(1) Boiling point (760 mm Hg): 10.7o C (51.3o F)
(2) Specific gravity (water = 1): 0.87 (at 20o C or 68o F)
(3) Vapor density (air = 1): 1.49
(4) Vapor pressure (at 20o C): 1,095 mm Hg
(5) Solubility in water: complete
(6) Appearance and odor: colorless liquid; gas at temperatures above 10.7oF (51.3oC) with an ether-like odor detectable above 700 ppm
II. FIRE, EXPLOSION, AND REACTIVITY HAZARD DATA
(A) Fire:
(1) Flash point: less than 0o F (open cup);
(2) Stability: decomposes violently at temperatures above 800o F;
(3) Flammable limits in air, percent by volume: Lower: 3, Upper: 100;
(4) Extinguishing media: Carbon dioxide for small fires, polymer or alcohol foams for large fires;
(5) Special fire fighting procedures: Dilution of ethylene oxide with 23 volumes of water renders it non-flammable;
(6) Unusual fire and explosion hazards: Vapors of EtO will burn without the presence of air or other oxidizers. EtO vapors are heavier than air and may travel along the ground and be ignited by open flames or sparks at locations remote from the site at which EtO is being used.
(7) For purposes of compliance with the requirements of Articles 141 through 148 of the General Industry Safety Orders, EtO is classified as a flammable gas. For example, 7,500 ppm, approximately one-fourth of the lower flammable limit, would be considered to pose a potential fire and explosion hazard.
(8) For purposes of compliance with regulations for fire protection, EtO is classified as a Class B fire hazard.
(9) For purposes of compliance with the Electrical Safety Orders (California Administrative Code, Title 8, Subchapters 5 and 6), locations classified as hazardous due to the presence of EtO shall be Class I.
(B) Reactivity:
(1) Conditions contributing to instability: EtO will polymerize violently if contaminated with aqueous alkalies, amines, mineral acids, metal chlorides, or metal oxides. Violent decomposition will also occur at temperatures above 800oF;
(2) Incompatibilities: Alkalies and acids;
(3) Hazardous decomposition products: Carbon monoxide and carbon dioxide.
III. SPILL, LEAK, AND DISPOSAL PROCEDURES
(A) If EtO is spilled or leaked, the following steps should be taken:
(1) Remove all ignition sources.
(2) The area should be evacuated at once and re-entered only after the area has been thoroughly ventilated and washed down with water.
(B) Persons not wearing appropriate protective equipment must be restricted from areas of spills or leaks until cleanup has been completed.
(C) Waste disposal methods: Waste material shall be disposed of in a manner that is not hazardous to employees or to the general population. In selecting the method of waste disposal, applicable local, State, and Federal regulations should be consulted.
IV. MONITORING AND MEASUREMENT PROCEDURES
(A) Exposure above the Permissible Exposure Limit:
(1) Measurements taken for the purpose of determining employee exposure under this section are best taken with consecutive samples covering the full shift. Air samples must be taken in the employee's breathing zone (air that would most nearly represent that inhaled by the employee).
(2) The sampling and analysis under this section may be performed by collection of the EtO vapor on charcoal adsorption tubes or other composition adsorption tubes, with subsequent chemical analysis. Sampling and analysis may also be performed by instruments such as a real-time continuous monitoring systems, portable direct reading instruments, or passive dosimeters provided measurements taken using these methods accurately evaluate the concentration of EtO in employees' breathing zones.
Appendix D describes the validated method of sampling and analysis which has been tested by Federal OSHA for use with EtO. The employer has the obligation of selecting a monitoring method which meets the accuracy and precision requirements of the standard under his or her unique field conditions. The standard requires that the method of monitoring must be accurate, to a 95 percent confidence level, to plus or minus 25 percent for concentrations of EtO at 1 ppm and to plus or minus 35 percent for concentrations at 0.5 ppm.
(B) Since many of the employer's duties under the regulation depend upon the results of employee exposure measurements, employers must assure that the evaluation of employee exposures is performed by a technically qualified person.
V. PROTECTIVE CLOTHING AND EQUIPMENT
Employees shall be provided with and be required to wear appropriate protective clothing wherever there is significant potential for skin contact with liquid EtO or EtO-containing solutions. Protective clothing shall include impermeable coveralls or similar full-body work clothing, gloves, and head coverings, as appropriate to protect areas of the body which may come in contact with liquid EtO or EtO-containing solutions.
Employers must ascertain that the protective garments are impermeable to EtO. Permeable clothing, including items made of rubber, and leather shoes should not be allowed to become contaminated with liquid EtO or EtO-containing solutions. If permeable clothing does become contaminated, it should be immediately removed while the employee is under an emergency deluge shower. If leather footwear or other leather garments become wet from EtO they should be discarded and not be worn again because leather absorbs EtO and holds it against the skin.
Any protective clothing that has been damaged or is otherwise found to be defective should be repaired or replaced. Clean protective clothing should be provided to the employee as necessary to assure employee protection. Whenever impermeable clothing becomes wet with liquid EtO or EtO-containing solutions, it should be washed down with water before being removed by the employee. Employees are also required to wear splash-proof safety goggles where there is any possibility of EtO contacting the eyes.
VI. MISCELLANEOUS PRECAUTIONS
(A) Store EtO in tightly closed containers in a cool, well-ventilated area and take all necessary precautions to avoid any explosion hazard.
(B) Non-sparking tools must be used to open and close metal containers. These containers must be effectively grounded and bonded.
(C) Do not incinerate EtO cartridges, tanks or other containers.
(D) Employers shall advise employees of all areas and operations where exposure to EtO could occur.
VII. COMMON OPERATIONS
Common operations in which exposure to EtO is likely to occur include the following: Manufacture of EtO, surfactants, ethanolamines, glycol ethers, and specialty chemicals, and use as a sterilant and fumigant in the hospital, health product and spice industries.

Appendix C

Medical Surveillance Guidelinesfor Ethylene Oxide
I. ROUTE OF ENTRY
Inhalation.
II. TOXICOLOGY
Clinical evidence of adverse effects associated with exposure to EtO is present in the form of increased incidence of cancer in laboratory animals (leukemia, stomach, brain), mutation in offspring in animals, and resorptions and spontaneous abortions in animals and human populations, respectively. Findings in humans and experimental animals exposed to airborne EtO also indicate damage to the genetic material (DNA). These include hemoglobin alkylation, unscheduled DNA synthesis, sister chromatid exchange, chromosomal aberration, and functional sperm abnormalities.
Ethylene oxide in liquid form can cause eye irritation and injury to the cornea, frostbite, severe irritation, and blistering of the skin upon prolonged or confined contact. Ingestion of EtO can cause gastric irritation and liver injury. Other effects from inhalation of EtO vapors include respiratory irritation and lung injury, headache, nausea, vomiting, diarrhea, dyspnea and cyanosis.
III. SIGNS AND SYMPTOMS OF ACUTE OVEREXPOSURE
The early effects of acute overexposure to EtO are nausea and vomiting, headache, and irritation of the eyes and respiratory passages. The patient may notice a “peculiar taste” in the mouth. Delayed effects can include pulmonary edema, drowsiness, weakness, and incoordination. Studies suggest that blood cell changes, an increase in chromosomal aberrations, and spontaneous abortion may also be causally related to acute overexposure to EtO.
Skin contact with liquid or gaseous EtO causes characteristic burns and possibly even an allergic-type sensitization. The edema and erythema occurring from skin contact with EtO progress to vesiculation with a tendency to coalesce into blebs with desquamation. Healing occurs within three weeks, but there may be a residual brown pigmentation. A 40-80% solution is extremely dangerous, causing extensive blistering after only brief contact. Pure liquid EtO causes frostbite because of rapid evaporation.
Most reported acute effects of occupational exposure to EtO are due to contact with EtO in liquid phase. The liquid readily penetrates rubber and leather, and will produce blistering if clothing or footwear contaminated with EtO are not removed.
IV. SURVEILLANCE AND PREVENTIVE CONSIDERATIONS
As noted above, exposure to EtO has been linked to an increased risk of cancer and reproductive effects including decreased male fertility, fetotoxicity, and spontaneous abortion. EtO workers are more likely to have chromosomal damage than similar groups not exposed to EtO. At the present, limited studies of chronic effects in humans resulting from exposure to EtO suggest a causal association with leukemia. Animal studies indicate leukemia and cancers at other sites (brain, stomach) as well. The physician should be aware of the findings of these studies in evaluating the health of employees exposed to EtO.
Adequate screening tests to determine an employee's potential for developing serious chronic diseases, such as cancer, from exposure to EtO do not presently exist. Laboratory tests may, however, give evidence to suggest that an employee is potentially overexposed to EtO. It is important for the physician to become familiar with the operating conditions in which exposure to EtO is likely to occur. The physician also must become familiar with the signs and symptoms that indicate a worker is receiving otherwise unrecognized and unacceptable exposure to EtO. These elements are especially important in evaluating the medical and work histories and in conducting the physical examination. When an unacceptable exposure in an active employee is identified by the physician, measures taken by the employer to lower exposure should also lower the risk of serious long-term consequences.
The employer is required to institute a medical surveillance program for all employees who are or will be exposed to EtO at or above the action level (0.5 ppm) for at least 30 days per year, without regard to respirator use. All examinations and procedures must be performed by or under the supervision of a licensed physician at a reasonable time and place for the employee and at no cost to the employee.
Although broad latitude in prescribing specific tests to be included in the medical surveillance program is extended to the examining physician, OSHA requires inclusion of the following elements in the routine examination:
[i] Medical and work histories with special emphasis directed to symptoms related to the pulmonary, hematologic, neurologic, and reproductive systems and to the eyes and skin.
[ii] Physical examination with particular emphasis given to the pulmonary, hematologic, neurologic, and reproductive systems and to the eyes and skin.
[iii] Compete blood count to include at least a white cell count (including differential cell count), red cell count, hematocrit, and hemoglobin.
[iv] Any laboratory or other test which the examining physician deems necessary by sound medical practice.
If requested by the employee, the medical examinations shall include pregnancy testing or laboratory evaluation of fertility as deemed appropriate by the physician.
In certain cases, to provide sound medical advice to the employer and the employee, the physician must evaluate situations not directly related to EtO. For example, employees with skin diseases may be unable to tolerate wearing protective clothing. In addition, those with chronic respiratory diseases may not tolerate the wearing of negative pressure (air purifying) respirators. Additional tests and procedures that will help the physician determine which employees are medically unable to wear such respirators should include: an evaluation of cardiovascular function, a baseline chest X-ray to be repeated at five-year intervals, and a pulmonary function test to be repeated every three years. The pulmonary function test should include measurement of the employee's forced vital capacity (FVC) and forced expiratory volume at one second (FEV1), the calculation of the ratio of FEV1 to FVC, and the calculation of the ratio of measured FVC and measured FEV1 values to predicted FVC and FEV1 values based on age, sex, race, and height.
The employer is required to make the prescribed tests available at least annually to employees who are or will be exposed at or above the action level for 30 or more days per year; more often than specified if recommended by the examining physician; and upon the employee's termination of employment or reassignment to another work area. While little is known about the long term consequences of high short-term exposures, it appears prudent to monitor such affected employees closely in light of existing health data. The employer shall provide physician-recommended examinations to any employee exposed to EtO in emergency conditions. Likewise, the employer shall make available medical consultations including physician-recommended examinations to employees who believe they are suffering signs or symptoms of exposure to EtO.
The employer is required to provide the physician with the following information: a copy of this standard and its appendices; a description of the affected employee's duties as they relate to the employee exposure level; and information from the employee's previous medical examinations which is not readily available to the examining physician. Making this information available to the physician will aid in the evaluation of the employee's health in relation to assigned duties and the employee's fitness to wear personal protective equipment, if required.
The employer is required to obtain a written opinion from the examining physician containing the results of the medical examinations; the physician's opinion as to whether the employee has any detected medical conditions which would place the employee at increased risk of material impairment of his or her health from exposure to EtO; any recommended restrictions upon the employee's exposure to EtO, or upon the use of protective clothing or equipment such as respirators; and a statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions which require further explanation or treatment. This written opinion must not reveal specific findings or diagnoses unrelated to occupational exposure to EtO, and a copy of the opinion must be provided to the affected employee.
The purpose in requiring the examining physician to supply the employer with a written opinion is to provide the employer with a medical basis to aid in the determination of initial placement of employees and to assess the employee's ability to use protective clothing and equipment.

Appendix D

Sampling and Analytical Methodfor Ethylene Oxide
This appendix contains details for the method which has been tested at the OSHA Analytical Laboratory in Salt Lake City. Inclusion of this method in the appendix does not mean that this method is the only one which will be satisfactory.
Employers who note problems with sample breakthrough using the OSHA or other charcoal methods should try larger charcoal tubes. Tubes of larger capacity are available. In addition, lower flow rates and shorter sampling times should be beneficial in minimizing breakthrough problems.
ETHYLENE OXIDE METHOD NO. : 30
Matrix: Air.
Target Concentration: 1.0 ppm (1.8 mg/m3).
Procedure: Samples are collected on two charcoal tubes in series and desorbed with 1% CS2 in benzene. The samples are derivatized with HBr and treated with sodium carbonate. Analysis is done by gas chromatography with an electron capture detector.
Recommended Air Volume and Sampling Rate: 1 liter and 0.05 Lpm.
Detection Limit of the Overall Procedure: 13.3 ppb (0.024 mg/m3) (Based on 1.0 liter air sample).
Reliable Quantitation Limit: 52.2 ppb (0.094 mg/m3) (Based on 1.0 liter air sample).
Standard Error of Estimate: 6.59%.
Special Requirements: Samples must be analyzed within 15 days of sampling date.
Status of Method: The sampling and analytical method has been subjected to the established evaluation procedures of the Organic Method Evaluations Branch.
1. General Discussion.
1.1 Background.
1.1.1 History of Procedure.
In studies to develop a method for the analysis of EtO at very low concentrations, it was found that the reaction of EtO with HBr (hydrobromic acid) gave a derivative, 2-bromoethanol, readily detectable by an ECD (electron capture detector) due to the presence of the bromine. Of solvents tested for their response on the ECD and their ability to desorb EtO from the charcoal, benzene was the only solvent tested that gave a suitable response on the ECD and a high desorption. The desorption efficiency was improved by using 1% CS2 (carbon disulfide) with the benzene.
1.1.2 Physical Properties.
See Section 5220, Appendix B.
1.2 Limit Defining Parameters.
1.2.1 Detection Limit of the Analytical Procedure.
The detection limit of the analytical procedure is 12.0 picograms of ethylene oxide per injection. This is the amount of analyte which will give a peak whose height is five times the height of the baseline noise.
1.2.2 Detection Limit of the Overall Procedure.
The detection limit of the overall procedure is 24.0 nanograms of ethylene oxide per sample. This is the amount of analyte spiked on the sampling device which allows recovery of an amount of analyte equivalent to the detection limit of the analytical procedure.
1.2.3 Reliable Quantitation Limit.
The reliable quantitation limit is 94.0 nanograms of ethylene oxide per sample. This is the smallest amount of analyte which can be quantiated within the requirements of 75% recovery and 95% confidence limits.
It must be recognized that the reliable quantitation limit and detection limit are based upon optimization of the instrument for the smallest possible amount of analyte. When the target concentration of an analyte is exceptionally higher than these limits, they may not be attainable at the routine operating parameters. The limits reported on analysis reports must be based on the operating parameters used during the analysis of the samples.
1.2.4 Sensitivity.
The sensitivity of the analytical procedure over a concentration range representing 0.5 to 2 times the target concentration based on the recommended air volume is 34105 area units per mg/mL. The sensitivity is determined by the slope of the calibration curve.
The sensitivity will vary somewhat with the particular instrument used in the analysis.
1.2.5 Recovery.
The recovery of analyte from the collection medium must be 75% or greater. The average recovery from spiked samples over the range of 0.5 to 2 times the target concentration is 88.0%. At lower concentrations the recovery appears to be non-linear.
1.2.6 Precision (Analytical Method Only).
The pooled coefficient of variation obtained from replicate determinations of analytical standards at 0.5X, 1X and 2X the target concentration is 0.036.
1.2.7 Precision (Overall Procedure).
The overall procedure must provide results at the target concentration that are 25% or better at the 95% confidence level. The precision at the 95% confidence level for the 15-day storage test is plus or minus 12.9%.
This includes an additional plus or minus 5% for sampling error.
1.3 Advantages.
1.3.1 The sampling procedure is convenient.
1.3.2 The analytical procedure is very sensitive and reproducible.
1.3.3 Reanalysis of samples is possible.
1.3.4 Samples are stable for at least 15 days at room temperature.
1.3.5 Interferences are reduced by the long GC retention time of the derivative.
1.4 Disadvantages.
1.4.1 Two tubes in series must be used because of possible breakthrough and migration.
1.4.2 The precision of the sampling rate may be limited by the reproducibility of the pressure drop across the tubes. The pumps are usually calibrated for one tube only.
1.4.3 The use of benzene as the desorption solvent increases the hazards of analysis because of the potential carcinogenic effects of benzene.
1.4.4 After repeated injections there can be a buildup of residue formed on the electron capture detector which decreases sensitivity.
1.4.5 Recovery from the charcoal tubes appears to be nonlinear at low concentrations.
2. Sampling Procedure.
2.1 Apparatus.
2.1.1 A calibrated personal sampling pump whose flow can be determined within plus or minus 5% of the recommended flow.
2.1.2 Charcoal tubes: glass tube with both ends flame sealed, 7 cm long with a 6-mm O.D. and a 4-mm I.D., containing 2 sections of coconut shell charcoal separated by a 3-mm portion of urethane foam. The adsorbing section contains 100 mg of charcoal, the backup section 50 mg. A 3-mm portion of urethane foam is placed between the outlet end of the tube and the backup section. A plug of silylated glass wool is placed in front of the adsorbing section.
2.2 Reagents.
2.2.1 None required.
2.3 Sampling Technique.
2.3.1 Immediately before sampling, break the ends of the charcoal tubes. All tubes must be from the same lot.
2.3.2 Connect two tubes in series to the sampling pump with a short section of flexible tubing. A minimum amount of tubing is used to connect the two sampling tubes together. The tube closer to the pump is used as a backup. This tube should be identified as the backup tube.
2.3.3 The tubes should be placed in a vertical position during sampling to minimize channeling.
2.3.4 Air being sampled should not pass through any hose or tubing before entering the charcoal tubes.
2.3.5 Seal the charcoal tubes with plastic caps immediately after sampling. Also, seal each sample with OSHA seals lengthwise.
2.3.6 With each batch of samples, submit at least one blank tube from the same lot used for samples. This tube should be subjected to exactly the same handling as the samples (break, seal, transport) except that no air is drawn through it.
2.3.7 Transport the samples (and corresponding paperwork) to the lab for analysis.
2.3.8 If bulk samples are submitted for analysis, they should be transported in glass containers with Teflon-lined caps. These samples must be mailed separately from the container used for the charcoal tubes.
2.4 Breakthrough.
2.4.1 The breakthrough (5% breakthrough) volume for a 3.0 mg/m3 ethylene oxide sample stream at approximately 85% relative humidity, 22o C and 633 mm is 2.6 liters sampled at 0.05 liters per minute. This is equivalent to 7.8 mg of ethylene oxide. Upon saturation of the tube it appeared that the water may be displacing ethylene oxide during sampling.
2.5 Desorption Efficiency.
2.5.1 The desorption efficiency, from liquid injection onto charcoal tubes, averaged 88.0% from 0.5 to 2.0 x the target concentration for a 1.0-liter air sample. At lower ranges it appears that the desorption efficiency is non-linear.
2.5.2 The desorption efficiency may vary from one laboratory to another and also from one lot of charcoal to another. Thus, it is necessary to determine the desorption efficiency for a particular lot of charcoal.
2.6 Recommended Air Volume and Sampling Rate.
2.6.1 The recommended air volume is 1.0 liter.
2.6.2 The recommended maximum sampling rate is 0.05 Lpm.
2.7 Interferences.
2.7.1 Ethylene glycol and Freon 12 at target concentration levels did not interfere with the collection of ethylene oxide.
2.7.2 Suspected interferences should be listed on the sample data sheets.
2.7.3 The relative humidity may affect the sampling procedure.
2.8 Safety Precautions.
2.8.1 Attach the sampling equipment to the employee so that it does not interfere with work performance.
2.8.2 Wear safety glasses when breaking the ends of the sampling tubes.
2.8.3 If possible, place the sampling tubes in a holder so the sharp end is not exposed while sampling.
3. Analytical Method.
3.1 Apparatus.
3.1.1 Gas chromatograph equipped with a linearized electron capture detector.
3.1.2 GC column capable of separating the derivative of ethylene oxide (2-bromoethanol) from any interferences and the 1% CS2 in benzene solvent. The column used for validation studies was: 10 ft x 1/8-inch stainless steel 20% SP-2100, 0.1% Carbowax 1500 on 100/120 Supelcoport.
3.1.3 An electronic integrator or some other suitable method of measuring peak areas.
3.1.4 Two milliliter vials with Teflon-lined caps.
3.1.5 Gas tight syringe--500 L or other convenient sizes for preparing standards.
3.1.6 Microliter syringes--10 L or other convenient size for diluting standards and 1 L for sample injections.
3.1.7 Pipets for dispensing the 1% CS2 in benzene solvent. The Glenco 1 mL dispenser is adequate and convenient.
3.1.8 Volumetric flasks--5 mL and other convenient sizes for preparing standards.
3.1.9 Disposable Pasteur Pipets.
3.2 Reagents.
3.2.1 Benzene, reagent grade.
3.2.2 Carbon disulfide, reagent grade.
3.2.3 Ethylene oxide, 99.7% pure.
3.2.4 Hydrobromic acid, 48% reagent grade.
3.2.5 Sodium carbonate, anhydrous, reagent grade.
3.2.6 Desorbing reagent, 99% benzene/1%CS2.
3.3 Sample Preparation.
3.3.1 The front and back sections of each sample are transferred to separate 2-mL vials.
3.3.2 Each sample is desorbed with 1.0 mL of desorbing reagent.
3.3.3 The vials are sealed immediately and allowed to desorb for one hour with occasional shaking.
3.3.4 Desorbing reagent is drawn off the charcoal with a disposable pipet and put into clean 2-mL vials.
3.3.5 One drop of HBr is added to each vial. Vials are resealed and HBr is mixed well with the desorbing reagent.
3.3.6 About 0.15 gram of sodium carbonate is carefully added to each vial. Vials are again resealed and mixed well.
3.4 Standard Preparation.
3.4.1 Standards are prepared by injecting the pure ethylene oxide gas into the desorbing reagent.
3.4.2 A range of standards are prepared to make a calibration curve. A concentration of 1.0 mL of ethylene oxide gas per 1 mL desorbing reagent is equivalent to 1.0 ppm air concentration (all gas volumes at 25oC and 760 mm) for the recommended 1-liter air sample. This amount is uncorrected for desorption efficiency.
3.4.3 One drop of HBr per mL of standard is added and mixed well. 3.4.4 About 0.15 grams of sodium carbonate is carefully added for each drop of HBr (a small reaction will occur).
3.5 Analysis.
3.5.1 GC Conditions.Nitrogen flow rate--10mL/min.Injector Temperature--250oCDetector Temperature--300oCColumn Temperature--100oCInjection size--0.8 mLElution time--3.9 minutes
3.5.2 Peak areas are measured by an integrator or other suitable means.
3.5.3 The integrator results are in area units and a calibration curve is set up with concentration vs. area units.
3.6 Interferences.
3.6.1 Any compound having the same retention time of 2-bromoethanol is a potential interference. Possible interferences should be listed on the sample data sheets.
3.6.2 GC parameters may be changed to circumvent interferences.
3.6.3 There are usually trace contaminants in benzene. These contaminants, however, posed no problem of interference.
3.6.4 Retention time data on a single column is not considered proof of chemical identity. Samples over the 1.0 ppm target level should be confirmed by GC/Mass Spec or other suitable means.
3.7 Calculations.
3.7.1 The concentration in g/mL for a sample is determined by comparing the area of a particular sample to the calibration curve, which has been prepared from analytical standards.
3.7.2 The amount of analyte in each sample is corrected for desorption efficiency by use of a desorption curve.
3.7.3 Analytical results (A) from the two tubes that compose a particular air sample are added together.
3.7.4 The concentration for a sample s calculated by the following equation:

EtO, mg/m3 = (A x B) / C
where
A = mg/mL
B = desorption volume in milliliters
C = air volume in liters.
3.7.5 To convert mg/m3 to parts per million (ppm) the following relationship is used:

EtO, ppm = (mg/m3 x 24.45) / 44.05
where:
mg/m3 = results from 3.7.4
24.45 = molar volume at 25oC and 760 mm Hg
44.05 = molecular weight of EtO.
3.8 Safety Precautions
3.8.1 Ethylene oxide and benzene are potential carcinogens and care must be exercised when working with these compounds.
3.8.2 All work done with the solvents (preparation of standards, desorption of samples, etc.) should be done in a hood.
3.8.3 Avoid any skin contact with all of the solvents.
3.8.4 Wear safety glasses at all times.
3.8.5 Avoid skin contact with HBr because it is highly toxic and a strong irritant to eyes and skin.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030 and 9040, Labor Code.
HISTORY

1. Editorial correction moving Note and Histories 1-7 to precede Appendix A of section 5220 (Register 99, No. 28). For prior history of Appendices, see section 5220.
Article 111. Fumigation
§5221. Fumigation: General.
Note     •     History

(a) Wherever a poisonous gas or a substance giving rise to a poisonous gas is used for fumigation, at least two people shall be present at all times, and each person shall be provided with respiratory equipment approved as protection against the gas being used.
(b) All persons working with fumigants or near fumigation operations shall be instructed in the hazards of the substances employed.
(c) Where poisonous gas or substance giving rise to poisonous gas is used for fumigation, the division may require an employer to provide an approved antidote or first-aid treatment where lack of such facilities might constitute a hazard.
HISTORY

1. Renumbering of Section 5215 to Section 5221 filed 5-3-78 as procedural and organizational; effective upon filing (Register 78, No. 18).
2. Change without regulatory effect amending subsection (a) filed 12-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 51).
§5222. Fumigation in Vaults and Chambers.
History

(a) Vaults and chambers used for fumigation of food products, textiles or other objects shall be so constructed that employees will not be exposed to hazardous concentrations of fumigants during fumigation.
(b) A suitable warning notice with the words, “Danger,” “Do Not Open,” “Poison Gas,” or equivalent shall be attached to the door of such rooms or vaults.
(c) After the exposure is completed, vaults or chambers shall be purged of fumigant and the air therein shall be tested. Employees shall not be allowed to enter a vault or chamber, except to make tests, until the concentration of fumigant in the air is known to be safe. Employees making tests shall wear respiratory protection approved for use in the fumigant used.
(d) Purging shall be carried out in such a way as not to endanger employees.
(e) If a flammable gas, or substance giving rise to a flammable gas is used for fumigation, all sources of ignition shall be removed or extinguished before fumigation is begun, and no source of ignition shall be allowed in a vault or chamber which has been fumigated while the concentration of flammable gas is over 20 percent of the lower explosive limit.
HISTORY

1. Renumbering of Section 5216 to Section 5222 filed 5-3-78 as procedural and organizational; effective upon filing (Register 78, No. 18).
§5223. Fumigation in Buildings or Rooms Other Than Fumigation Vaults or Chambers.
History

(a) Whenever any building or section thereof, other than fumigation vaults or chambers, are fumigated with a poisonous gas:
(1) All cracks, holes, crevices, openings, and apertures in walls, floors, and ceilings shall be sealed so as to confine the gas to the rooms being fumigated.
(2) Doors and windows shall be closed and sealed; and legible warning signs shall be posted at all entrances or approaches. Signs shall state premises under fumigation and type of gas used and shall not be removed till fumigation and ventilation are complete.
(3) Employees releasing poisonous gases for fumigation shall wear respiratory protection of a type approved for use in the gas used.
(4) Fumigation of single rooms is forbidden unless such room constitutes a wing, floor, or other detached or semi-detached section of a building, or can be effectively sealed off from the remainder of the building.
(5) When a part of a building is to be fumigated, all adjoining rooms, including those above and below, and all other parts of the building or of adjacent buildings into which the gas may penetrate shall be vacated. Windows in such locations shall be open during fumigation.
(6) After the exposure is completed, premises shall be purged of fumigant and the air therein shall be tested. Employees shall not be allowed to enter the premises, except to make tests, until the concentration of fumigant is known to be safe. Employees making tests shall wear respiratory protection approved for use in the fumigant used.
(7) Purging or ventilation shall be carried out in such a manner as not to endanger employees.
(8) Where flammable fumigants are used, no source of ignition shall be allowed in premises being fumigated. When part of a building is being fumigated, no source of ignition shall be allowed in the rooms being fumigated or in adjoining rooms including those above and below, or in adjacent buildings into which gas may reasonably be expected to penetrate.
HISTORY

1. Renumbering of Section 5217 to Section 5223 filed 5-3-78 as procedural and organizational; effective upon filing (Register 78, No. 18).
2. Change without regulatory effect amending subsections (a)(2)-(3) filed 12-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 51).
Article 112. Labeling of Injurious Substances
§5225. Application of These Orders.
History

HISTORY

1. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5226. Definitions.
History

HISTORY

1. Amendment of subsection (a) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Amendment of first paragraph only filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
3. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5227. Labeling.
History

HISTORY

1. Amendment of subsection (c)(2) filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36). 2. New subsection (f) filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
2. New subsection (f) filed 12-10-87; operative 1-9-88 (Register 87, No. 51).
3. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5228. Labels.
History

HISTORY

1. Amendment of subsection (202) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Amendment filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36).
3. Editorial correction to change format (Register 80, No. 8).
4. Amendment filed 9-23-81 as an emergency; effective upon filing (Register 81, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-21-82.
5. Certificate of Compliance transmitted to OAL 1-21-82 and filed 2-19-82 (Register 82, No. 8).
6. Editorial corrections (Register 95, No. 31).
7. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5229. Protection.
History

HISTORY

1. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5230. Samples.
History

HISTORY

1. Repealer filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
Group 18. Explosive Materials
Article 113. Explosive Materials
§5236. Purpose.
Note     •     History

(a) Group 18 establishes minimum standards for the manufacture, assembly, possession, storage, transportation, repacking and distribution, and use of explosive materials at places of employment.
(b) This group shall not apply to: 
(1) The public display of fireworks as defined in Health and Safety Code Section 12524 and under the jurisdiction of the State Fire Marshal under Title 19. 
(2) Explosive materials while in the course of transportation under the jurisdiction of the US Department of Transportation (USDOT), the permit provisions of the Health and Safety Code or the California Vehicle Code (CVC) as enforced  by the California Highway Patrol.
(3) Pyrotechnic devices, fireworks and special effects which are regulated by the State Fire Marshal under provisions of Part 2, Division 11 (commencing with Section 12500) of the Health and Safety Code.
(4) The use of explosive materials in medicines and medicinal agents in the forms prescribed by the United States Pharmacopeia, or the National Formulary. 
(5) Operations governed by the provisions of Group 18 under contract with federal government agencies requiring compliance with:
(A) DOD Contractors' Safety Manual(s),
(B) DOD explosive safety requirements and surveillance, and
(C) Where the Department of the Army/DOD conducts site inspections to ensure compliance.
(c) Whenever the term “explosive materials” is used in this group it shall be construed as including blasting agents unless specifically exempted in a safety order.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code. 
HISTORY

1. Amendment of subsections (a) and (b) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of subsection (b) effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment of article heading and section filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
5. Amendment of group heading, article heading and section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5237. Definitions.
Note     •     History

“Air Loader.” A device for inserting explosive materials into a bore hole or other cavity, using compressed air as the propulsive force. 
“Air Supply Lines.” Pipe, hose or combination of pipe and hose, that supplies compressed air to the air loader. 
“ANFO.” An explosive material consisting of ammonium nitrate and fuel oil. 
“ATF.” Bureau of Alcohol, Tobacco and Firearms, United States Department of Treasury. 
“Barricade--Artificial.” An artificial mound or revetted wall of earth of a minimum thickness of 3 feet at the top of the mound or acceptable equivalent. 
“Barricade--Natural.” Natural features of the terrain such as hills, or timber of sufficient density that the surrounding exposures which require protection cannot be seen from the magazine when the trees are bare of leaves.
“Barricaded.” A building or structure containing explosives effectively screened from another magazine, inhabited building, railway, highway or work area either by a natural or by an artificial barricade of such height that a straight line from the top of any sidewall of the building, or structure, containing explosives to the eave line of any other magazine, inhabited building or a point 12 feet about the center of a railway, highway, or outside work area will pass through such intervening natural or artificial barricade. 
“Binary Components.” The combination of two non-explosive materials to form an explosive material. 
“Blast Area.” The area of a blast within the influence of flying fragments, gases, and concussion. 
“Blast Site.” The area where explosive materials are handled during loading, including the perimeter of blast holes and 50 feet in all directions from loaded holes or holes to be loaded. 
“Blaster, Licensed.” Any competent person designated to supervise blasting operations and in possession of a current blasters license issued by the Division. 
“Blasting Accessories.” Equipment used when loading and firing explosives. It does not include explosive materials. 
“Blasting Agents.” Any material or mixture consisting of a fuel and oxidizer, intended for blasting and not otherwise classified as an explosive, provided that the finished product, as mixed and packaged for shipment, cannot be detonated by means of a No. 8. test blasting cap when unconfined.
“Blasting Cap.” See “Detonator.”
“Blasting Circuit.” A circuit used to initiate explosive materials. 
“Blasting Machine.” An electrical device designed to fire electric detonators.
“Blasting Mat.” A heavy mat of woven rope, steel wire, or chain, or improvised from timber, logs, brush, or other materials placed over loaded holes to minimize the amount of rock and other debris that might be thrown into the air. 
“Blasting Operation.” Includes, but is not limited to use, on-site transportation and storage of commercial explosives, blasting agents, and other materials used in blasting. 
“Blasting Shelter.” A shelter for the protection of employees while blasting. 
“Bullet Resistant.” Magazine walls or doors of construction resistant to penetration of a bullet of 150-grain M2 ball ammunition having a nominal muzzle velocity of 2700 feet per second fired from a .30 caliber rifle from a distance of 100 feet perpendicular to the wall or door.
“Bus Wires.” Wires in the blasting circuit to which the leg wires of electric blasting caps are attached for parallel electric blasting. 
“Cap Crimper.” A tool specially designed to securely crimp the metallic shell of a fuse detonator or igniter cord connector to a section of inserted safety fuse.
“Capped Fuse.” A length of safety fuse to which a blasting cap has been attached.
“Car.” Wheeled conveyance for use on rails, whether hand trammed or included in a train. 
“Competent Person.” One who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them. 
“Connecting Wires.” Wires used to extend the leading (firing) line or leg wires in an electric blasting circuit. 
“Coyote Hole.” An underground tunnel-like chamber into which explosives are placed for primary blasting. 
“Deflagration.” A rapid chemical reaction in which the output of heat is sufficient to enable the reaction to proceed and be accelerated without input of heat from another source. Deflagration is a surface phenomenon with the reaction products flowing away from the unreacted material along the surface at subsonic velocity. The effect of a true deflagration under confinement is an explosion. Confinement of the reaction increases pressure, temperature, and rate of reaction, and may cause transition into a detonation. 
“Detonating Cord.” A flexible cord containing a center core of high explosives.
“Detonation.” An explosive reaction that moves through an explosive material at a velocity greater than the speed of sound in the material. 
“Detonator.” Any device containing an initiating or primary explosive that is used for initiating detonation in another explosive material. Detonators were formerly called blasting caps and include: 
(A) Fuse caps or ordinary blasting caps which are initiated by safety fuse. 
(B) Electric blasting caps which are initiated by means of an electric current. 
(C) Electric delay blasting caps are electric detonators which introduce a predetermined lapse of time between the application of electric current and the detonation of the base charge in the detonator. 
(D) Shock tube, gas initiation, or miniaturized detonating cord blasting caps are detonators that are designed to be initiated by the signal, flame or detonation impulse from shock tube, gas filled tubes, or miniaturized detonating cord. Like electric blasting caps, they may incorporate a delay element to produce a predetermined lapse of time between receipt of the energy signal and the firing of the base charge in the detonator. 
“DOD.” U. S. Department of Defense. 
“Electric Blasting Cap.” See “Detonator”. 
“Electric Delay Blasting Caps.”  See “Detonator”. 
“Nonelectric Delay Blasting Cap.” See “Detonator”.
“Emulsion.” An explosive material containing proportional amounts of an oxidizer dissolved in water droplets surrounded by immiscible fuel or droplets of an immiscible fuel surrounded by water containing substantial amounts of oxidizer.
“Explosive Materials.” The term includes, but is not limited to, dynamite and other high explosives; slurries, emulsions, and water gels; black powder and pellet powder; initiating explosives; detonators; blasting caps; safety fuse; squibs; detonating cord; igniter; igniter cord; pyrotechnic devices; blasting agents; and propellants.
(A) “Explosives, Chlorates.” Explosive materials that contain over one percent (1%) chlorate by weight, in the total mix. 
(B) “Explosives, Perchlorates.” Explosive materials that contain over one percent (1%) perchlorates by weight, in the total mix. 
“Explosives.” Any chemical compound, mixture or device, the primary or common purpose of which is to function by explosion. 
(A) “Classes.” 
(1) High explosives. Explosive materials which can be caused to detonate by means of an initiator test detonator when unconfined (for example, dynamite, flash powders, and bulk salutes). 
(2) Low explosives. Explosive materials which can be caused to deflagrate when confined (for example, black powder, safety fuses, igniters, igniter cords, fuse lighters, and “special fireworks.”) 
(3) Blasting Agent. Any material or mixture, consisting of fuel and oxidizer which cannot be detonated by means of a No. 8 testing blasting cap when unconfined. 
(B) Division. (For transportation purposes only.) 
(1) Division 1.1 -- Explosives that have a mass explosion hazard. 
(2) Division 1.2 -- Explosives that have a projection hazard, but not a mass explosion hazard. 
(3) Division 1.3 -- Explosives that have a fire hazard and (1) a minor blast hazard or (2) a minor projection hazard, or both, but not a mass explosion hazard. 
(4) Division 1.4 -- Explosive devices that present a minor explosion hazard. 
(5) Division 1.5 -- Very insensitive explosives which have a mass explosion hazard but are so insensitive that there is little probability of initiation. (Blasting Agents - ANFO, non cap-sensitive emulsions and water-gels, and packaged ANFO products.) 
(6) Division 1.6 - Extremely insensitive articles which do not have a mass explosion hazard. (There currently are no commercial explosive products that fit this classification.) 
“Explosives-Actuated Power Devices.” Any tool or special mechanical device which is actuated by explosives, but not to include propellant actuated power devices. Examples of explosive actuated devices are jet perforators, shaped charges and similar devices.
“Face or Bank.” The sides from the bottom or floor of a pit to the surface surrounding the pit. Where one or more benches or levels are used in a pit, each bench or level has a separate face. 
“Face -- Underground.” That part of any adit, tunnel, stope, or raise where excavating is progressing, or was last done. 
“Fireworks.” (Also see “pyrotechnic devices.”) Any device containing chemical elements and chemical compounds capable of burning independently of the oxygen of the atmosphere and producing audible, visual, mechanical, or thermal effects which are useful as pyrotechnic devices or for entertainment. The term “fireworks” includes, but is not limited to, devices designated by the manufacturer as fireworks, torpedoes, skyrockets, roman candles, rockets, Daygo bombs, sparklers, party poppers, paper caps, chasers, fountains, smoke spards, aerial bombs, and fireworks kits. 
“Forbidden or not Acceptable Explosives.” Explosives which are forbidden or not acceptable for transportation by common, contract or private carriers by rail freight, rail express, highway or water in accordance with the regulations of the U.S. Department of Transportation, 49 CFR Chapter I.
Note: Certain chemicals and certain fuel materials may have explosive characteristics but are not within the coverage of 18 U.S.C., Chapter 40 and are not specifically classified as explosives by the U.S. Department of Transportation. Authoritative information should be obtained for such materials and action commensurate with their hazards, location, isolation and safeguards, should be taken. 
“Fume Classification.” As defined by the Institute of Makers of Explosives, Publication No. 12, “A classification indicating the amount of carbon monoxide and hydrogen sulfide produced by an explosive or blasting agent. Explosives with positive oxygen balances are not considered as being acceptable in these classifications.” 
“Fuse, Safety.” A flexible cord containing an internal burning composition by which fire is conveyed at a continuous uniform rate.
“Highway.” Any street, alley, or road, publicly or privately maintained and open to use of the public for purposes of vehicular travel.
“Igniter Cord.” A small-diameter pyrotechnic cord that burns at a uniform rate with an external flame and used to ignite a series of safety fuses. 
“IME.” Institute of Makers of Explosives. 
“Industrial Explosive Devices.” Explosive-actuated-power devices and propellant-actuated-power devices.
“Industrial Explosive Material.” Shaped materials and sheet forms and various other extrusions, pellets, and packages of high explosive which include dynamites, trinitrotoluene (TNT); pentaerythritoltetranitrate (PETN); and other similar compounds used for high energy rate forming, expanding, and shaping in metal fabrication and for disassembly and quick reduction to scrap metal.
“Inhabited Building.” A building regularly occupied in whole or part as a habitation for human beings, or any church, schoolhouse, railroad station, store, or other structure where people are accustomed to assemble, except any building or structure occupied in connection with the manufacture, transportation, storage or use of explosive materials. 
“Intraline Distance.” The minimum distance permitted between any two buildings within one operating line. Intraline distances are also used for separating certain specified areas, buildings, and locations even though actual line operations are not involved. Intraline distance separation is expected to protect explosive materials in buildings from propagation detonation due to blast effects, but not against the possibility of propagation detonation due to fragments. Buildings separated by intraline distances will probably suffer substantial structural damage. 
“Intraline Operations.” Those operations accomplished within one operating line.
“Leading Wires.” The wire(s) connecting the electrical power source to the blasting circuit. 
“Loading Hose.” The hose through which an explosive or blasting agent is blown or forced. 
“Loading Line.” The loading hose, loading tube and all fittings and connections from the loader to the discharge end of the loading tube. 
“Loading Tube.” The rigid or semi-rigid static dissipating tube in the loading line. 
“Magazine.” Any building or structure, other than an explosive manufacturing building, used for storage of explosive materials. 
(A) Type 1 Magazines. Permanent magazines for storage of high explosive materials. Other classes of explosive materials may also be stored in Type 1 magazines. 
(B) Type 2 Magazines. Mobile and portable indoor and outdoor magazines for the storage of high explosive materials. Other classes of explosive materials may also be stored in Type 2 magazines. 
(C) Type 3 Magazines. Portable outdoor magazines for the temporary storage of high explosive materials while attended (for example, a “day box”). Other classes of explosive materials may also be stored in Type 3 magazines. 
(D) Type 4 Magazines. Magazines for the storage of low explosive materials. Blasting agents may be stored in Type 4 magazines. Detonators that will not mass detonate may also be stored in Type 4 magazines. 
(E) Type 5 Magazines. Magazines for the storage of blasting agents. 
“Misfire.” An explosive charge which partly or completely failed to explode as planned.
“Missed Hole.” An explosive loaded hole or any portion thereof containing an explosive charge that failed to explode. 
“Motor Vehicle.” Any self-propelled vehicle, truck, tractor, semitrailer, or trailer used for the transportation of freight over public highways.
“Mudcapping.” Blasting by placing a quantity of explosives with detonator on or against the object to be blasted. This is also known as bulldozing, adobying, or plaster shooting. 
“NFPA.” National Fire Protection Association. 
“Operating Building.” A building in which any processing of explosive materials is conducted. 
“Operating Line.” A group of separated operating buildings of specific arrangement, used in the assembly, modification, reconditioning, renovation, maintenance, inspection, surveillance, testing or manufacturing of explosives.
“Operating Line Separation.” The required safe distance separating two or more operating lines.
“Permanent Blasting (Leading) Wires.” Those wires between the firing switch and auxiliary switch, including sections between auxiliary switches, for use in blasting where the power source is an electric circuit. 
“Permissible.” A machine, material, apparatus, or device which has been investigated, tested, and approved by the Mine Safety and Health Administration, and is maintained in accordance with the requirements of the approving agency. 
“Pneumatic Loading.” Loading of explosive materials by means of compressed air. 
“Prills.” Spherical pellets. 
“Primary Blasting.” Blasting used to fragment and displace material from its original position to facilitate subsequent handling and crushing. 
“Primer.” A cartridge or container of explosives into which a detonator is inserted or attached to the main charge.
“Processing.” A series of actions or operations involved in the manufacturing of explosive materials, including the manufacture of explosives, the assembly, loading, disassembly, modification, reconditioning, renovation, maintenance, inspection, surveillance, shipping, receiving, or testing of explosive materials and the packaging and repackaging of explosive materials for wholesale distribution. 
“Propagation (Sympathetic Detonation).” The detonation of explosive charges by an impulse received from adjacent or nearby explosive charges. 
“Propellant (Solid).” Explosives compositions used for propelling projectiles and rockets and to generate gases for powering auxiliary devices. 
“Propellant-Actuated Power Devices.” Any tool or special mechanical device or gas generator system which is actuated by a propellant, or which releases and directs work through propellant charge.
“Pyrotechnic Devices.” Any combination of materials, including pyrotechnic compositions, which, by the agency of fire, produce an audible, visual, mechanical or thermal effect designed and intended to be useful for industrial, agricultural, personal safety, or educational purposes. The term “pyrotechnic device” includes, but is not limited to, agricultural and wildlife fireworks, model rockets, exempt fireworks, emergency signaling devices, and special effects. 
“Remote Operation.” Where operating personnel are protected by substantial walls designed to safely withstand the anticipated overpressure should a incident occur. 
“Safety (Blast) Shield.” A barrier constructed at a particular location, or around a particular operation to protect personnel, material or equipment from the effects of a possible fire or explosion. 
“Safety Fuse.” See “Fuse, Safety.”
“Secondary Blasting.” Blasting to reduce the size of boulders resulting from a primary blast. 
“Sensitizer.” Any additive, active or inert, which added to a chemical compound or mixture causes that compound or mixture to become more sensitive to initiation. 
“Slurry Explosives.” An explosive material containing substantial portions of a liquid, oxidizers, and fuel, plus a thickener.  
“Small Arms Ammunition.” Ammunition of .75 caliber or less, when designated as an explosive by USDOT.
“Small Arms Ammunition Primer.” Small percussion sensitive explosive charges encased in cup used for ignition of propellant powder. 
“Special Effects.” Articles containing any pyrotechnic composition manufactured and assembled, designed, or discharged in connection with television, theater, or motion picture productions, which may or may not be presented before live audiences and any other articles containing any pyrotechnic composition used for commercial, industrial, education, recreation, or entertainment purposes when authorized by the authority having jurisdiction. 
“Springing.” The creation of a pocket at the bottom of a bore hole by the use of a moderate quantity of explosives.
“Squib-Electric.” A firing device that burns with a flash. 
“Static Dissipating.” Sufficiently conductive to dissipate charges of static electricity but possessing enough electrical resistance to be nonconductive to ordinary stray electrical currents. The electrical characteristics shall be uniform and for hose or tubes shall have a resistance of not less than 5,000 ohms per foot nor more than 30,000 ohms per foot and not more than 2 megohms over its entire length. 
“Stemming Material.” Inert material placed in a borehole after the explosive. Used for the purpose of confining explosive materials or to separate charges of explosive materials in the same borehole. 
“Trackless Vehicle.” A type of vehicle that does not run on rails. 
“Train.” A car or cars moved by mechanical or other power. 
“Underground.” Work locations in mines, tunnels or similar subterranean excavations. 
“USDOT.” United States Department of Transportation.
“Water Gels.” An explosive material containing substantial portions of water, oxidizers, and fuel, plus a cross-linking agent. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code.
HISTORY

1. Amendment of subsection (a) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 44). For prior history, see Register 76, No. 29. 
2. Amendment filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
3. Editorial correction of “Blasting Shelter.” (Register 95, No. 24).
4. New definition “Explosive Materials” filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
5. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5238. Competency and Qualifications of Blasters.
Note     •     History

(a) An employer shall not permit a blasting operation, unless a blaster having a current, valid California “Blaster's License” issued by the Division is physically present on the site to accomplish the blasting operation and/or direct and supervise others in such operation.  
(b) The employer shall ensure that the physical condition of the licensed blaster will not interfere with his or her ability to safely conduct blasting operations. 
(c) A licensed blaster shall be able to understand and give written and oral orders. 

NOTE: Other persons may work under the direct supervision of a licensed blaster for the purpose of obtaining the necessary experience to qualify for a California Blaster's License. 
(d) The employer shall require that the licensed blaster: 
(1) furnish satisfactory evidence of competency in the use and handling of explosive materials, and 
(2) have the necessary qualifications to safely perform the type of blasting operations required for the specific worksite. 
(e) The licensed blaster shall show proof of a valid Blaster's License when requested by a representative of the Division or other authority having jurisdiction. 
(f) The applicant for a blaster's license shall meet the following minimum qualifications: 
(1) Shall be at least 21 years of age;  
(2) Shall have at least three years experience in the blasting category being applied for; and, 
(3) Meet the requirements of subsections (b) and (c) of this Section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 6710, Labor Code; and Section 12006, Health and Safety Code. 
HISTORY

1. Repealer and new section heading, section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5239. Training and Trainees.
Note     •     History

All persons who handle or transport explosive materials shall be trained in the hazards of the job and safe performance of their duties. Trainees conducting blasting operations shall be under the direct supervision of a licensed blaster. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5240. Disposal of Explosive Materials.
Note     •     History

(a) Deteriorated, damaged, frozen, contaminated, or scrap explosive materials which are unfit for use, shall be desensitized, destroyed or otherwise made safe in a safe place by a competent person(s). 
EXPLOSIVE MATERIALS SHALL NEVER BE BURIED OR COVERED OVER BY ANY MATERIALS AS A MEANS OF DISPOSAL.
(b) Sites for destruction of explosive materials shall be located away from inhabited buildings, public highways, passenger railways, operating buildings and all other explosives. The separation shall not be less than the inhabited building distance as contained in Table Ex. 1. When possible, barricades shall be utilized between the site and inhabited buildings. 
(c) A shelter or other adequate protection shall be provided near the disposal area for emergency use. 
(d) A warning device shall be used when explosive materials are being destroyed. 
(e) Waste static sensitive explosive materials shall be handled, transported or otherwise protected against the hazards of static electricity. 
(f) Incompatible waste explosive materials shall not be transported in the same container or vehicle. 
(g) Provisions shall be made so scrap explosive materials will not be placed in any burn location until at least 48 hours has past since the last fire has gone out. 
(h) Bags that have contained ammonium nitrate shall not be piled, even temporarily, in or near a wooden building, as such bags are flammable. Bags shall be destroyed after emptying. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5241. Explosives for Blasting.
Note     •     History

(a) Chlorate high explosives shall not be used for blasting operations.
(b) Low-Freezing explosives shall be of a type that will not freeze at temperatures that may reasonably be expected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5242. Water Gels.
Note     •     History

(a) Cap sensitive water gels and those containing an explosive shall be classified as high explosive and manufactured, transported, stored, and used as specified for explosives in this Article. 
(b) Water gels containing no substance in itself classified as an explosive and which are not cap-sensitive as defined in Section 5237 under “Blasting agents” shall be classified as blasting agents and manufactured, transported, stored, and used as specified for blasting agents in this Article and Article 120.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5243. Black Powder Blasting.
Note     •     History

(a) The use of Black Powder for blasting is not recommended. However, if it is used, the following rules shall be complied with:
(1) Inexperienced persons shall be closely supervised by a competent person.
(2) The licensed blaster and helper(s) shall not carry matches or other sources of ignition except when lighting fuse.
(3) The blasting crew shall wear shoes with no exposed metal. 
(4) All persons not connected with the loading operations shall be kept at least 500 feet away and the area shall be roped off if necessary. 
(5) Fires are prohibited within 500 feet of any black powder taken from the magazine for blasting purposes. 
(6) Holes shall not be loaded while compressors, shovels, trucks, tractors, or sources of ignition are within 100 feet. 
(7) Only bagged powder shall be used. It shall not be brought from the magazine until after the holes are sprung and have been cooled. 
(8) Black powder shall not be used underground or for construction blasting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5244. Explosives for Underground Use.
Note     •     History

(a) Tests made to determine the fume class as shown in the following table shall be made according to the standard for “toxic gas test” procedure of the Mine Safety and Health Administration (MSHA):

Cubic Feet of Toxic Gases Per 
(1-1/4” X 8”) Cartridge of Explosive Material

	Fume Class 1 -- Less than 0.16 
	Fume Class 2 -- From 0.16 to 0.33 
	Fume Class 3 -- From 0.33 to 0.67 
(b) Except as provided for in subsections (c) and (d), main explosive charge used underground shall comply with the requirements for Fume Class 1. 
(c) Where the concentration of combustible dust and vapor is found to exceed 10% of the lower flammable limit, loading and blasting operations with Fume Class 1 explosive materials shall be halted. 
(d) When there is reason to believe that use of Fume Class 1 explosive materials may endanger employees by igniting combustible dusts or gases, permissible explosive materials shall be used and the ventilation increased to compensate for the resulting increase of poisonous and toxic gases. 
Note: The composition of permissible explosives is such that they are less likely to ignite combustible dusts and gases than explosive materials which comply with Fume Class 1. On the other hand, the volume of poisonous and toxic gases produced by some permissible explosive materials is several times greater than that generated by Fume Class 1 explosive materials. 
(e) Fume Class 1 explosives will not be required for the final loading of a coyote hole when the coyote hole is sufficiently back-filled to become a primary blast. 
(f) Only plant mixed blasting agents where composition control is assured shall be used underground.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5245. Blasting Operations During Lightning and Dust Storms.
Note     •     History

(a) Upon the approach of a lightning or dust storm, blasting operations shall be stopped and all persons in the blast area withdrawn to a safe location. 
(b) Provisions shall be made for warning crews when an electric or dust storm approaches. 
(c) In underground operations using electrical blasting systems, instrumentation to determine the presence of a lightning and dust storm within 15 miles of the portal and means to signal the heading shall be provided. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5246. Smoking and Open Flames.
Note     •     History

Smoking and open flames are prohibited within 50 feet of explosive materials in the open, unless otherwise stated in these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5247. Miscellaneous Provisions.
Note     •     History

(a) No person shall store, handle, or transport explosive materials except under a valid permit issued by the applicable Federal, State or Local Agency. 
(b) No employee shall be permitted to handle or use explosive materials while under the influence of alcohol, narcotics, or other drugs that cause drowsiness or other side effects which could cause the employee to perform duties/functions in an unsafe manner. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5248. Blasting Accident Reports and Procedures.
Note     •     History

(a) In the event of a blasting accident or unusual occurrence affecting the safety of employees in which explosive materials are involved, whether or not personal injury is sustained, the employer shall within 24 hours forward a report of the incident to the Division. 
(b) The report shall state: 
(1) The names and license numbers of all blasters involved. 
(2) The names and occupations of any employees injured. 
(3) The type of explosive materials, detonator, and method or methods of detonation of explosive materials. 
(4) A factual account of events pertinent to the accident. 
(c) In any blasting incident in which serious personal injury is sustained, there shall be no continuation of the blasting operation involved until such time as the Division has completed its investigation or authorized resumption of work. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 114. Storage of Explosive Materials
§5251. Storage of Explosive Materials.
Note     •     History

(a) All explosive materials as defined in these orders, including industrial high explosives and any newly developed and unclassified explosives, shall be stored in the appropriate magazine as shown in Table EX-3. Magazines shall be constructed in conformity with the provisions of this Article.
(b) The following materials/devices shall be kept in their shipping containers until used:   
(1) Explosive materials such as explosive power packs in the form of explosive cartridges or explosive-charged construction devices, explosive rivets, explosive bolts, explosive charges for driving pins or studs.
(2) Cartridges for explosives actuated power devices when in quantities of less than 50 pounds net weight of explosives.
(3) Stocks of small arms ammunition, propellant-actuated power cartridges, small arms ammunition primers in quantities of less than 750,000, and smokeless propellant in quantities of less than 750 pounds.
(4) Fuse lighters and fuse igniters.
(5) Safety fuses.
(c) Detonating cord shall not be kept or stored with blasting caps, but may be stored with other explosives.
(d) All magazines shall be located or protected as to minimize accidental impact from vehicles or falling objects.
(e) Area surrounding magazines shall be kept clear of brush, dried grass, leaves, and other combustible materials for a distance of 50 feet. 
(1) Magazine contents shall be protected from flooding. The ground around magazines shall slope away from the magazine or drainage shall be provided.
(f) Electric power lines shall be kept at least 5 feet away from the exterior of any underground magazine except underground service.
(g) Magazines shall be located at least 25 feet from low-voltage electrical lines and 100 feet from high-voltage electrical lines. Care should be taken that they be placed in such a manner that should a line break, it would not fall within this distance except for underground service.
(h) Quantity and Storage Restrictions.  
(1) Explosive materials in excess of 300,000 pounds or detonators in excess of 20 million shall not be stored in one magazine. 
(2) Detonators shall not be kept or stored in any magazine with other explosive materials, except under any of the following conditions: 
(A) In a Type 4 magazine, detonators that will not mass detonate may be stored with electric squibs, safety fuse, igniters, and igniter cord. 
(B) In a Type 1 or Type 2 magazine, detonators may be stored with delay devices and any of the items listed in subsection (h)(2)(A) of this Section. 
(C) When approved by the Division.  
(3) No more than 50 pounds of high explosives shall be stored in an indoor magazine. 
(i) Type 3 magazines “Day Box” shall not be used for storage of more than 110 pounds of explosive materials. 
(j) All magazines shall be kept closed and locked, except when contents are being removed or replaced. Keys or combinations shall be kept in a safe place. Only persons authorized by the employer or licensed blaster shall be permitted to unlock or remove supplies from a magazine. 
(k) Fuse caps with attached safety fuses shall not be stored in an explosives magazine, but may be stored in a magazine with other detonators. 
(l) Vehicular storage facilities for Types 2, 4 and 5 magazines shall have wheels removed or shall be immobilized by kingpin locking devices. 
(m) Explosive materials shall not be left unattended in Type 3 magazines. The explosive materials shall be removed to a Type 1 or 2 magazine for storage. 
(n) A running inventory shall be maintained for the magazine to indicate the quantity of explosive materials in storage, quantity removed, date of removal and the name of the person responsible for transfer/removal of the explosive materials. 

Exception: A Type 3 magazine (day box). 
(o) Magazines shall not be located within 300 feet of the entrance (portal) of an active tunnel or mine. 
(p) Signs shall be posted on the premises where magazines are located with the words “EXPLOSIVES -- KEEP OFF” legibly printed thereon in letters not less than 3 inches high with a 1/2 inch stroke. Such signs shall be within 100 feet of the magazine and so placed that a bullet through the sign will not strike the magazine. 
(q) Metal magazines shall be equipped with electrical bonding connections between all conductive portions so the entire structure is at the same electrical potential. Suitable electrical grounding methods include welding, riveting, or the use of securely tightened bolts where individual metal portions are joined. Conductive portions of non-metal magazines shall be grounded. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 12006, Health and Safety Code. 
HISTORY

1. Amendment of subsections (a) and (b) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Editorial correction restoring missing text in subsection (d) (Register 91, No. 45).
4. Editorial correction reinserting article 114 heading (Register 92, No. 11).
5. Amendment of article heading, section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5252. Quantity and Distances Table for the Storage of Explosive Materials.
Note     •     History

(a) The quantity of explosive materials that may be kept or stored in any magazine shall conform to Table EX-1, Table of Distances, which sets forth the minimum distance that a magazine may be located from the nearest inhabited building or other magazine. 
(b) The quantity and distance table is not applicable to any magazine if the nearest inhabited building is effectually screened from the magazine by a natural barrier, which: 
(1) Is 40 feet or more in height at any point, above a straight line drawn from the top of any sidewall of the magazine to any part of the inhabited building; and 
(2) Has a natural thickness of not less than 200 feet at the point where it is intersected by the straight line. 
(c) All types of blasting caps in strength through No. 8 shall be rated at 1 1/2 pounds of explosives per 1,000 caps. For strengths higher than No. 8 cap, consult the manufacturer. 
(d) For quantity and distance purposes detonating cord up to 60 grains per foot shall be calculated as equivalent to 9 pounds of high explosives per 1,000 feet. Heavier detonating cord shall be rated proportion- ately. 
(e) When two or more storage magazines are located on the same property, each magazine must comply with the minimum distances specified from inhabited buildings, railways, and highways; and, in addition, they shall be separated from each other by not less than the distances shown for “Separation of Magazines,” except that the quantity of explosive materials contained in cap magazines shall govern in regard to the spacing of said cap magazines from magazines containing other explosive materials. If any two or more magazines are separated from each other by less than the specified “Separation of Magazines” distances, then such two or more magazines, as a group, must be considered as one magazine, and the total quantity of explosive materials stored in such group must be treated as if stored in a single magazine located on the side of any magazine of the group, and must comply with the minimum of distances specified from other magazines and inhabited buildings. 

TABLE EX-1

View Graphic

TABLE EX-2

View Graphic

NOTES: 

(1) Separation distances to prevent explosion of ammonium nitrate and ammonium nitrate-based blasting agents by propagation from nearby stores of high explosives or blasting agents referred to in the Table as the “donor”. Ammonium nitrate, by itself, is not considered to be a donor when applying this Table. Ammonium nitrate, ammonium nitrate-fuel oil or combinations thereof are acceptors. If stores of ammonium nitrate are located within the sympathetic detonation distances of explosives or blasting agents, one-half the mass of the ammonium nitrate should be included in the mass of the donor. 

(2) The distances in the Table apply to ammonium nitrate that passes the insensitivity test prescribed in the definition of ammonium nitrate fertilizer promulgated by The Fertilizer Institute, and ammonium nitrate failing to pass said test shall be stored at separation distances determined by competent persons. 

TABLE EX-3
Types of Storage Facilities

View Graphic
*As a result of tests with electric blasting caps, it has been determined that these blasting caps are not subject to sympathetic detonation. Therefore, a Type 4 storage facility meets the necessary requirements for storage of blasting caps that do not mass detonate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 12006, Health and Safety Code. 
HISTORY

1. Repealer and new section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment of section heading, section and Note, including transfer of section 1938, App B, Plate B-14, table 1 to replace former Table EX-1; transfer of section 5253 Table EX-2 to new section 5252 Table EX-2; and transfer of section 1938, App B, Plate B-14a to new Table EX-3, filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5252.1. Quantity and Distance Table for Storage of Explosives-Low Explosives Distances in Feet When Storage Is Unbarricaded.
Note     •     History

(a) These explosives normally will be confined to pressure ruptures of containers and will not produce propagating shock waves or damaging blast over pressure beyond the magazine distance specified for this class. These distances are unbarricaded. 

View Graphic
(b) Distances are not to be reduced by the presence of barricades or earth cover. 
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5253. Quantity and Distance Table for Storage of Ammonium Nitrate and Blasting Agents.
Note     •     History

(a) The quantity of ammonium nitrate or ammonium nitrate based blasting agents that may be stored in any magazine shall conform to Table EX-2, Table of Separation Distances, in Section 5252 which sets forth the minimum separation distances for ammonium nitrate and blasting agents from stores of high explosives or blasting agents. These distances apply to the separation of stores only. The American Table of Distances (See Table EX-1 in Section 5252) shall be used in determining separation distances from inhabited buildings. 
(b) When the ammonium nitrate and/or blasting agent is not barricaded the distances shown in Table EX-2 in Section 5252 shall be multiplied by six. These distances allow for the possibility of high velocity metal fragments from mixers, hoppers, truck bodies, sheet metal structures, metal containers, and the like which may enclose the “donor.” Where storage is in bullet-resistant magazines recommended for explosives or where the storage is protected by a bullet-resistant wall, distances and barricade thicknesses in excess of those prescribed in Table EX-1 in  Section 5252 and are not required. (See Section 5253.1 for bullet-resistant construction.)
(c) Earth, or sand dikes, or enclosures filled with the prescribed minimum thickness of earth or sand are acceptable artificial barricades. Natural barricades, such as hills or timber of sufficient density that the surrounding exposures which require protection cannot be seen from the “donor” when the trees are bare of leaves, are also acceptable. 
(d) When the ammonium nitrate must be counted in determining the distances to be maintained from inhabited buildings, it shall be counted at l/2 its actual weight because its blast effect is lower. 
Note: Ammonium nitrate by itself is relatively insensitive and is widely used through the State as an agricultural fertilizer. When used for blasting purposes, it is customary to sensitize the ammonium nitrate by mixing it with carbonaceous materials such as coal dust, lamp black, carbon black, wood pulp, diesel fuel, stove oil, or other materials containing carbon. When mixed with carbonaceous materials, ammonium nitrate becomes much more sensitive to fire, friction, and shock, so it takes on characteristics resembling those of dynamite. For this reason, a mixture of ammonium nitrate and carbonaceous material must be stored in compliance with regulations governing storage of explosives. Burning ammonium nitrate produces oxides of nitrogen which are very dangerous to breathe.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code. 
HISTORY

1. Repealer and new section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsections (a) and (d) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment of section, including transfer of section 5253 Table EX-2 to new section 5252 Table EX-2, filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5253.1. Construction and Use of Magazines.
Note     •     History

(a) Type 1 Magazines.
(1) A Type 1 magazine shall be a permanent structure; a building, igloo, tunnel, or dugout. It shall be bullet, theft, fire and weather resistant, and be well ventilated. 
(A) A Type 1 magazine shall be built at least equivalent to one of the following methods: 
1. 8 inch masonry. 
2. Metal of at least 14 gauge. 
3. Wood frame with at least 26-gauge metal covering. No wood shall be exposed on the exterior. 
(B) A Type 1 magazine shall meet the following additional requirements. 
1. Masonry in subsection (a)(1)(A)1. shall have any openings in tile or cement blocks filled with a coarse, dry sand or a wet mixture of 1 part cement and 10 parts dry sand. 
2. Metal in subsections (a)(1)(A)2. and 3. above shall be lined inside with not less than 4 inches of brick, solid cement blocks, hardwood, or equivalent. 
(C) Solid wood or plywood floors are required. Floors shall be strong enough to bear the weight of the maximum quantity to be stored. 
(D) Magazines shall have no openings except for ventilation and entrances. Vent openings shall be screened to prevent sparks passing through them. 
(E) Magazine roofs shall be constructed of at least 7/8-inch sheathing covered with not less than 26-gauge iron or aluminum. Where it is possible for a bullet to be fired directly through the roof and into the magazine at such an angle that the bullet would strike the explosives within, the magazine is to be protected by one of the following methods: 
1. A sand tray lined with a layer of building paper, plastic or other nonporous material, and filled with not less than four inches of coarse, dry sand, and located at the tops of inner walls covering the entire ceiling area, except the portion necessary for ventilation, or 
2. A fabricated metal roof constructed of 3/16 inch plate steel lined with four inches of hardwood. (For each additional 1/16 inch of plate steel, the hardwood lining may be decreased one inch.) 
(F) Magazine doors shall be kept closed and locked, except when opened for transacting business. The magazine doors shall be constructed of at least 1/4 inch plate steel on the outside and lined with at least two inches of hardwood on the inside. 
(G) Each door shall be equipped with:  
1. Two mortise locks; or 
2. Two padlocks fastened in separate hasps and staples; or 
3. A combination of a mortise lock and padlock; or 
4. A mortise lock that requires two keys to open; or 
5. A three-point lock. 
6. If padlocks are used, they shall have at least five tumblers and a case-hardened shackle of at least 3/8 inch diameter. Padlocks shall be protected with not less than 1/4 inch steel hoods constructed so as to prevent sawing or lever action on the locks, hasps, and staples. 

Exception: The lock requirement does not apply to magazine doors that are adequately secured on the inside by means of a bolt, lock, or bar that cannot be actuated from the outside. 
(b) Type 2 Magazines.   
(1) A Type 2 magazine shall be a portable box, trailer, semitrailer, or other mobile facility. It shall be bullet, theft, fire, and weather resistant, and shall be well ventilated. It shall be supported to prevent direct contact with the ground and, if less than one cubic yard in size, shall be securely fastened to a fixed object. 
(A) The exterior construction and doors shall be constructed of not less than 1/4 inch steel and lined with at least two inches of hardwood. Magazines with top openings shall have lids with water-resistant seals or, lids that overlap the sides by at least one inch when in the closed position. 
(B) Hinges and hasps shall be attached to doors by welding, riveting, or bolting (nut on inside of door). Hinges and hasps shall be installed so that they cannot be removed when the doors are closed and locked. 
(C) Doors shall be equipped with locks as required by Section 5253.1(a)(1)(G). 
(D) Type 2 magazines shall be located in conformity with Table EX-1, Distances for the Storage of Explosives, but may be permitted in warehouses and in wholesale and retail establishments when located on a floor which has an exit outside at grade level and the magazine is located not more than 10 feet from such an exit. Two Type 2 magazines may be located in the same building when one is used only for blasting caps in quantities not in excess of 5,000 caps and a distance of 10 feet is maintained between magazines. 
(E) Indoor magazines shall be painted “red” and shall bear lettering in “white” on sides and top at least 3 inches high with a 1/2 inch stroke which reads, EXPLOSIVES--KEEP FIRE AWAY”. 

Exception: When size of the indoor magazine does not permit, letterings shall be as large as possible. 
(c) Type 3 Magazines. 
(1) A Type 3 magazine is a “Day Box” or other portable magazine. It shall be fire, theft and weather resistant. A Type 3 magazine shall be constructed of not less than number 12 gauge steel lined with a minimum of either 1/2 inch plywood or 1/2 inch Masonite-type hardboard. 
(A) The door or lid shall overlap the opening by at least one inch. Hinges and hasps shall be attached by welding, riveting or bolting (nuts on inside of door). 
(B) At least one steel padlock shall be provided (which need not be protected by a steel hood) having at least five tumblers and a case-hardened shackle of at least 3/8 inch diameter. 
(2) When used for temporary storage at a site for blasting operations, Type 3 magazines shall be located away from inhabited buildings, and other magazines. A distance of at least 150 feet shall be maintained between Type 3 magazines and the other work in progress. 
(d) Type 4 Magazines. 
(1) A Type 4 magazine shall be a building, igloo, tunnel, dugout, box, trailer, semi-trailer, or other mobile magazine. It shall be fire, theft and weather resistant. 
(A) A Type 4 magazine shall be constructed of masonry, metal-covered wood, fabricated metal, or a combination of these materials. The foundation shall be constructed of brick, concrete, cement block, stone, or metal or wood posts. If piers or posts are used in lieu of a continuous foundation, the space under the building shall be enclosed with fire-resistant material. The walls and floor shall be constructed of, or covered with nonsparking material or lattice work. 
(B) The doors shall be metal or solid wood covered with metal. Hinges and hasps shall be attached by welding, riveting or bolting (nuts on inside of the door). Hinges and hasps shall be installed so that they cannot be removed when the doors are closed and locked. 
(C) Locks shall meet the requirements of Section 5253.1(a)(1)(G).
(e) Type 5 Magazines.  
(1) A Type 5 magazine shall be a building, igloo, tunnel, dugout, box, trailer, semi-trailer, or other mobile magazine. It shall be theft and weather resistant. 
(A) The doors shall be metal or solid wood covered with metal. Hinges and hasps shall be attached by welding, riveting or bolting (nuts on inside of the door). Hinges and hasps shall be installed so that they cannot be removed when the doors are closed and locked. 
(B) Locks shall meet the requirements of Section 5253.1(a)(1)(G). 
(f) Magazines shall be ventilated to minimize dampness and heating of stored explosives. ventilation openings shall be screened with 14 mesh, 21-gauge wire to prevent the entrance sparks and rodents, and shall be protected in a manner that will maintain the bullet resistance of the magazine. 

NOTE: The recommendation for ventilation as contained in Safety Library Publication No. 1, Institute of Makers of Explosives, 1993 Edition, is evidence of good practice.   
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5254. Magazine Heating.
Note     •     History

(a) When heating systems are installed they shall be either hot water radiant heating within the magazine building; or air directed into the magazine building over either hot water or low pressure steam (15 psig) coils located outside the magazine building. 
The magazine heating systems shall meet the following requirements:
(1) The radiant heating coils within the building shall be installed in such a manner that the explosive materials or their containers cannot contact the coils and air is free to circulate between the coils and the explosive materials or their containers.
(2) The heating ducts shall be installed in such a manner that the hot air discharge from the duct is not directed against the explosive materials or their containers. 
(3) The heating device used in connection with the magazine shall have controls which prevent the ambient building temperature from exceeding 130oF.
(4) The electric fan or pump used in the heating system for a magazine shall be mounted outside and separate from the wall of the magazine and shall be grounded. 
(5) The electric fan motor and the controls for electrical heating devices used in heating water or steam shall have overloads and disconnects which comply with the Electrical Safety Orders. All electrical switch gear shall be located a minimum distance of 25 feet from the magazine. 
(6) The heating source for water or steam shall be separated from the magazine by a distance of not less than 25 feet when electrical and 50 feet when fuel fired. The area between the heating unit and the magazine shall be cleared of all combustible materials. 
(7) The storage of explosive materials and their containers in the magazine shall allow uniform air circulation so temperature uniformity can be maintained throughout the explosive materials.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code. 
HISTORY

1. Amendment of subsections (b), (d), (e) and (f), and new subsection (j) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of subsection (i) filed 9-18-80 effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment of section heading, repealer of subsections (a)-(i), subsection relettering and amendment of newly designated subsections (j)(5) and (j)(7) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5255. Second-Class Magazines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code. 
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of subsection (h) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
3. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5256. Storage Within Magazines.
Note     •     History

(a) Magazines shall be kept clean and free from rubbish. They shall not be used as storerooms for anything except explosive materials and transfer conveyors or other magazine tools while explosive materials are stored therein. 
Sweepings from floors of magazines shall be properly disposed of. Magazine floors stained by leakage from explosive materials shall be cleaned according to instructions by the explosives manufacturer. 
(b) Smoking, matches, open flames, spark producing devices and unauthorized fire arms shall be prohibited inside of or within 50 feet of magazines. Combustible materials shall not be stored within 50 feet of magazines. 
(c) Fixed electric wiring in a magazine shall be equivalent to the requirements of Class II, Division 1, Hazardous Location, Electrical Safety Orders or may be more restrictive upon classification materials. The electric switch must be located outside of the magazine. 
(d) When portable lights are necessary inside the magazine, permissible flash lights or permissible lanterns shall be used. 
(e) Corresponding grades and brands of explosive materials shall be stored together in such a manner that brands and grade marks show. All stocks shall be stored so as to be easily counted and checked. Packages shall be piled in a stable manner and laid flat with top side up. Black powder, when stored in magazines with other explosive materials, shall be segregated by a sandbag barricade not less than 2 bags thick. 
(f) When explosive materials are removed from a magazine, the oldest explosive materials of that kind in the magazine shall be taken and used first. 
(g) Containers of bulk explosives shall not be unpacked or repacked in a magazine nor within 50 feet of a magazine or in close proximity to other explosive materials, except for manufacturing processes. Opened containers of bulk explosives shall be securely closed before being returned to a magazine.
(h) When magazines need inside repairs, all explosive materials shall be removed therefrom and the floors cleaned before work is started. In making outside repairs, if there is a possibility of causing sparks or fire, the explosive materials shall first be removed from the magazine. 
(i) Explosive materials removed from a magazine under repair shall either be placed in another magazine or placed a safe distance from the magazine where they shall be properly guarded and protected until repairs have been completed and the explosive materials returned to the magazine. 
(j) Every magazine used for the storage of explosive materials shall be under the supervision of a competent person who shall be not less than 21 years of age.
(k) Explosive materials shall not be piled/stored against interior walls so as not to interfere with ventilation. 
(l) If buffer material is used to isolate the explosive material from the masonry walls, brick-lined or sand filled metal walls and single-thickness walls, it shall be so placed/ positioned as to not interfere with the ventilation provisions of the side and walls. 
(m) Ammonium nitrate fuel oil (ANFO) blasting agent shall be physically separated from other explosives stored in the same magazine and in such a manner that oil does not contaminate other explosives. 
(n) Magazine interiors shall be of a smooth finish without cracks or crevices with all nails, screws, bolts and nuts countersunk. Exposed metal or materials capable of emitting sparks shall be covered so as not to come in contact with packages of explosive materials. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5257. Makeup or Primer House for Underground Blasting Operations.
Note     •     History

(a) When 30 or more primers are required for a single round/shot, the primers shall be made up in advance in a makeup or primer house. 
(b) When primers are made up and stored in quantities greater than for immediate need, they must be processed in a separate structure that complies with the Type 1 or Type 2 magazine requirements except as follows: 
(1) Electricity for lights will be permitted if the electric wiring is at least 5 feet from explosive materials and complies with Class II, Division I, Hazardous Locations, Electrical Safety Orders. 
(2) Not more than 110 pounds of explosive materials other than primers shall be stored in this makeup house.
(3) The number of made-up primers of each delay stored in this makeup house shall not exceed a normal 2-day supply. 
(4) Heaters, if installed, shall comply with Section 5254(a). 
(c) Makeup or primer houses shall be located no closer than 100 feet from any magazine or inhabited building. 
(d) Primers not made up in a makeup or primer house shall be made up at the blasting site.

NOTE: This Section does not prohibit primers being made up in a separate building or area, provided that explosives, detonators, and primers are stored in proper magazines. 
NOTE

Authority cited: Section 142. 3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5258. Storage of Explosive Materials Underground.
Note     •     History

(a) Explosive materials stored underground shall be so located that should they detonate or burn, the escape route for the employees will not be obstructed.
(b) Magazines shall be at least 200 feet from active underground workings, 50 feet from other magazines and at least 25 feet of solid ground separation from any haulageway used for any purpose other than the transportation of explosive materials. Any timbers within 25 feet of any magazine shall be made fire resistant. 
(c) Explosive materials shall not be stored in an underground work area during tunneling and construction operations. 
(d) In magazines where explosive materials may become damp, electricity may be installed for drying purposes. Electrical equipment used shall comply with Class II, Division I, Hazardous Locations, Electrical Safety Orders. Electrical wiring shall be kept at least 5 feet from explosive materials. No other electrical wiring shall be permitted within 5 feet of any magazine. 
(e) Underground storage magazines shall be conspicuously marked with the words, “EXPLOSIVES,” in red letters at least 4 inches high and with 5/8-inch stroke on a white background. 
(f) Combustible rubbish shall not be permitted within 100 feet of any underground magazine. 
(g) Detonator storage magazines shall be of the same construction as explosives storage magazines and shall be separated by at least 50 feet from other magazines. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (d) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 115. Transportation of Explosive Materials
§5262. General. 
Note     •     History

(a) This Article shall apply to motorized vehicles, the operations of which are not under the jurisdiction of the USDOT, the California Highway Patrol, or the California Vehicle Code, or the Health and Safety Code on Public Highways. 
(b) Electric detonators or similar primary explosive materials initiation devices shall not be transported on/in any vehicle equipped with a radio transmitter or other device which may cause detonation unless kept in their original shipping containers.
(c) Transportation of detonators and explosive materials together shall be in accordance with the Institute of Makers of Explosives, Safety Library Publication No. 22, Recommendations for the Safe Transportation of Detonators in a Vehicle with Certain Other Explosive Materials, May 1993, pages 1-16, which is hereby incorporated by reference. 
(d) Any vehicle transporting explosive materials or oxidizing materials shall be placarded in accordance with the regulations of the USDOT. Explosive materials being transported on-site during or incidental to the manufacturing process shall be marked when deemed appropriate by the manufacturer. 
(e) Original shipping containers or Type 3 magazines (day box) shall be used for taking detonators and other explosive materials from storage magazines to the blasting area. 
(f)(1) Vehicles used for transporting explosive materials shall be strong enough to carry the load without difficulty and be in good mechanical condition. If vehicles do not have a closed body, the body shall be covered with a flame-proof and moisture-proof tarpaulin or other effective protection against moisture and sparks. 
(2) All vehicles used for the transportation of explosive materials shall have tight floors and any exposed spark-producing metal on the inside of the body shall be covered with wood or other nonsparking materials to prevent contact with packages of explosive materials. 

Exception: Exposed spark-producing metal need not be covered in vehicles transporting only blasting agents or oxidizers. 
(3) Packages of explosive materials shall not be loaded above the sides of an open body vehicle. 
(4) Vehicles used for transporting explosive materials shall be inspected weekly, or prior to use when used less than weekly, to determine that it is in proper condition for safe transportation. Such inspections shall include, but not be limited to, the following: 
(A) Fire extinguishers that comply with subsection (g) shall be filled and in working order. 
(B) All electrical wiring shall be completely protected and securely fastened to prevent short-circuiting. 
1. No auxiliary lighting systems on the truck beds shall be powered by the truck's electrical system. 
(C) Chassis, motor, pan, and underside of body shall be reasonably clean and free of excess oil and grease. 
(D) Fuel tank and feedline shall be secure and have no leaks. 
(E) Brakes, lights, horn, windshield wipers, and steering apparatus shall function properly. 
(F) Tires shall be checked for proper inflation and defects which may effect the safe operation of the vehicle. 
(G) The vehicle shall be in proper condition in every other respect and acceptable for handling explosive materials. 
(g) Each vehicle used for transportation of explosive materials shall be equipped with at least two fully charged 4-A:20-B:C fire extinguishers in good condition securely mounted separately in conspicuous locations or in clearly marked compartments and readily accessible. The driver shall be trained in the use of the extinguisher carried on the vehicle. 
(h) Vehicles transporting explosive materials for blasting operations shall not carry any other materials except blasting equipment unless the containers of explosive materials are protected from mechanical damage or other materials are secured in place. 
(1) When open body vehicles are used to transport explosive materials, the explosive materials shall be carried in a Type 3 magazine or original manufacturer's container that has been securely retained or mounted on the bed of the vehicle to prevent movement. 
(2) Special service trucks such as, but not limited to, used in such operations as well services, snow avalanche control, seismic work, and explosives research and development that carry employees and materials and on which equipment is installed for use in connection with the work to be done, may carry small amounts of explosive materials necessary for their activities. When explosive materials are carried, they shall be safeguarded as provided for in subsections (e), (f), and (g). 
(i) Motor vehicles or conveyances transporting explosive materials shall be driven by, and be in the charge of, a licensed driver familiar with the local, State, and Federal regulations governing the transportation of explosive materials. The driver shall have been made aware of the class of the explosive materials in the vehicle and of its inherent dangers, and shall have been instructed in the measures and procedures to be followed in order to protect employees from those dangers. The driver shall have been made familiar with the vehicle that has been assigned, and shall be trained and authorized to move the vehicle. 
(j) Only the vehicle operator and powder crew shall be permitted to ride on any vehicle transporting explosive materials.  
(k) Vehicles carrying explosive materials shall not be taken to a repair garage or shop for any purpose. 
(1) No service or repairs involving the use of heat/flame-producing devices shall be performed on vehicles carrying explosive materials. 
(l) Vehicles containing explosive materials when stored shall comply with the Quantity Distance Table for the appropriate class of explosive materials. 
(m) Drivers of vehicles containing explosive materials shall not be permitted to leave the cab without first stopping the motor and setting the parking brake. Precautions shall be taken to prevent the movement of such vehicles. 
(n) Except under emergency conditions, no vehicle transporting explosive materials shall be parked unattended before reaching its destination. No vehicle transporting explosive materials shall be parked on any public street adjacent to or in proximity to any place where people work or congregate. 

NOTE: For the purpose of this subsection, a motor vehicle shall be deemed “attended” only when the driver or other attendant is physically on or in the vehicle, or has the vehicle within their field of vision and can reach it quickly and without interference. “Attended” also means that the driver or attendant is awake, alert, and not engaged in other duties or activities which may divert their attention from the vehicle. However, an explosive-laden vehicle may be left unattended if parked within a securely fenced or walled area with all gates or entrances locked where parking of such vehicle is permitted or at a magazine site established solely for the purpose of storing explosives. 
(o) Incompatible materials, such as flammable liquids, flames or spark producing materials or combustibles materials, shall not be carried in the vehicle's cargo space with explosive materials. 
(p) No person shall be permitted to smoke, carry matches or any other flame-producing device, or carry any unauthorized firearms or loaded cartridges while in or near a motor vehicle transporting explosive materials, or drive, load or unload such vehicle in a careless or reckless manner. 
(q) Delivery of explosive materials shall be made only to authorized persons and into authorized magazines or authorized temporary storage or handling areas. 
(r) The transfer of explosive materials from storage places shall be so arranged that no undue delay will occur between the time the explosive materials leave the storage place and the time they are used. 
(s) Explosive materials shall not be transferred from one vehicle to another within the confines of any jurisdiction (city, county, or other area) without informing the fire and police and/or sheriff's departments thereof. In the event of breakdown or collision, the appropriate local emergency services agencies shall be promptly notified. The explosive materials shall be transferred from the disabled vehicle to another only when qualified supervision is provided. 

NOTE: Federal DOT and local regulations shall also apply when applicable. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Editorial correction reinserting article 115 heading (Register 92, No. 11).
2. Amendment of article heading and section, including redesignation and amendment of former section 5263, subsections (a) - (l) as new section 5262, subsections (d) - (p), and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5263. Surface Transportation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3 Labor Code. 
HISTORY

1. New subsection (k) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
3. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10). 
4. Redesignation of former section 5263, subsections (a)-(l) as new section 5262, subsections (d)-(p) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5264. Transportation of Explosive Materials--Underground--General.
Note     •     History

(a) Explosive materials shall not be left on the station level near the shaft collar, mine, or tunnel entrance, but shall be taken to the place of use or storage without delay. 
(b) Detonators, capped fuses, and other explosive materials transported in any car, vehicle, or shaft conveyance shall be enclosed in substantially constructed containers equipped with tight-fitting covers. Such containers, including the covers, shall be made of wood, metal, fiber, or other equivalent material and shall be lined with nonconductive material. 
Note: Except for primers, the original cases or DOT shipping containers in which the explosive materials were packaged will be accepted as being in compliance with this subsection. 
(c) Except as provided in Section 5264(c)(1), detonators, primers, or capped fuses, shall not be transported in the same container or compartment with other explosive materials. 
(1) When carried in the same vehicle, detonators and capped fuses shall be in a separate compartment from the other explosive materials with at least 25 inches of air space between the compartments. 
(d) Except when being transported manually, primers shall be transported in a closed container constructed as described in subsection (b) of this section, and arranged so that each primer is separated from the others by a partition of nonmetallic material. No explosive materials, other than that which is contained in the primer, shall be transported in the same container with the primers. 
(e) Explosive materials shall not be transported with rock, ore, or other materials or equipment other than those used in blasting. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5265. Transportation of Explosive Materials--Underground--Hoisting or Lowering.
Note     •     History

(a) No employees except those specifically required and designated by the person in charge of the mine or tunnel, shall be permitted to ride in any shaft conveyance at the same time as explosive materials are being transported in such shaft. 
(b) The hoist engineer shall be notified before explosive materials are transported in the shaft conveyance. 
(c) Explosive materials shall be in a suitable conveyance while being hoisted from or lowered to any place underground.
(d) Hoisting of ore, muck or other materials in adjacent shaft compartments shall be stopped while explosive materials are being handled. 
(e) Detonators and primers shall not be transported at the same time with other explosive materials in any shaft conveyance unless in a powder car. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5266. Rail Transportation of Explosive Materials--Underground.
Note     •     History

(a) Only the train crew and powder crew shall be permitted to ride on a train transporting explosive materials. 
(b) Explosive materials in quantities of 110 pounds or more when transported on a train, shall be in special powder cars. Such cars shall be constructed of metal and have closed compartments for the explosive materials. The compartments shall be lined with nonconductive material.
(c) Explosive materials shall not be transported on or in any locomotive. When transporting explosive materials by train, at least one empty car shall be kept between the locomotive and the car which contains explosive materials. 
(d) Each side of the special powder car shall bear a sign with the word “EXPLOSIVES” in letters not less than 4 inches high with a 5/8-inch stroke on a background of sharply contrasting color. 
(e) Powder cars that are carrying explosive materials shall be pulled, not pushed, except when switching or traveling at the dead end of a line.
(f) The primers shall be placed in a primer compartment of the powder car in a suitable box with divisions for each separate delay. If capped fuses are used, they must be in a suitable container in the primer compartment. The primer and powder compartments shall be separated by at least 25 inches of air space.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5267. Transportation of Explosive Materials--Underground-- Special Trackless Vehicles.
Note     •     History

(a) Trackless vehicles used for the transportation of explosive materials shall be especially equipped for that purpose and shall be carefully maintained in compliance with the provisions of section 5262. 
(b) Truck-type vehicles used for the transportation of explosive materials shall be especially equipped with closed compartments for the explosive materials. The compartments shall be lined with nonconductive materials. 
(c) Each side, front, and rear of every truck-type vehicle, when transporting explosive materials, shall bear a sign with the word “EXPLOSIVES” in letters not less than 4 inches high with a 5/8-inch stroke on a background of sharply contrasting color. 
(d) Truck-type vehicles when transporting explosive materials underground, shall be equipped with a flashing red light visible from the front and rear.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5268. Transportation of Explosive Materials--Manual.
Note     •     History

(a) Explosive materials that are transported manually from one area to another shall be placed in suitable bags or other containers for such transportation. 
(b) Detonators and primers shall be transported separately from other explosive materials.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5269. Transportation of Explosive Materials--Air and Water.
Note     •     History

Aircraft and water transportation of explosive materials shall comply with standards of Federal Government or equivalent to such standards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5270. Explosive Materials at Railway and Truck Terminals.
Note     •     History

(a) Every railway car and truck containing explosive materials which has reached its destination, or is stopped in transit so as no longer to be in interstate commerce, shall remain placarded in accordance with the regulations of the U.S. Department of Transportation. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of section heading, section Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 116. Handling and Use of Explosive Materials in Blasting Operations
§5276. General.
Note     •     History

(a)  There shall be no smoking, open flames or other sources of ignition within 50 feet of any area where explosive materials are being handled, except devices necessary to ignite the fuses of set charges.

NOTE: Internal combustion engines equipped with spark arresters which are functioning as designed are not considered sources of ignition. 
(b) Tools used for opening containers of explosive materials shall be constructed of non-sparking material, except that metal slitters may be used for opening fiberboard containers provided that the metal slitter does not come into contact with any metallic fasteners which may be in or part of the case. Only a wooden wedge and a fiber, rubber or wooden mallet shall be used for opening or closing wood containers of explosive materials.
(c) Empty boxes, paper and fiber packing materials which have previously contained high explosives shall not be used again for any other purpose. They shall be destroyed by burning at an isolated location out of doors, and no person shall be nearer than 100 feet after the burning has started.

Exception: Containers designed and maintained for reuse.
(d) Explosive materials shall not be placed within 25 feet of an electrical circuit except during transportation. 
(e) Explosive materials left over after loading operations are completed, shall be promptly returned to their proper magazines. 
(f) When blasting in a location where flying rock or material may damage other property or endanger employees, all loaded holes shall be covered with a blasting mat that has been anchored.
(g) No person under the age of 21 years shall be permitted in any explosive magazine or be permitted to use, handle, or transport explosives. 

Exception: Persons 18 years or older and under the direct personal supervision of a licensed blaster.   
(h) Spilled explosive materials shall be cleaned up promptly.
(i) Explosive materials shall not be subjected to excessive heat, friction or force. 
(j) Explosive materials shall be used only at temperatures recommended by the manufacturer. 
(k) Defective blasting equipment shall not be used.
(l) No fire shall be fought where the explosive materials are in imminent danger of contact with the fire. All employees shall be removed to a safe area and the fire area guarded against intruders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (d), repealer of subsection (e), and new subsections (e) and (i) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of article heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5277. Tamping Poles or Devices.
Note     •     History

(a) Tamping poles or devices shall be made of wood or plastic materials manufactured for tamping explosives.

NOTE: There are many kinds of “plastics,” most of which cannot be used safely for tamping explosives. Some plastics are too soft to withstand physical abuse, some are too hard, others are flammable or will absorb nitroglycerin or generate hazardous accumulations of static electricity.  
(b) The end of the tamping pole shall be kept squared and shall be of such size that the pole will not bypass the cartridges in the hole. 
(c) Wooden tamping poles shall have no metal parts, other than non-ferrous metal ferrules, for extending the length of the pole.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5278. Loading of Explosive Materials--General.
Note     •     History

(a) Loading shall not commence until all drilling is completed and drill holes are cleaned or blown out, unless this procedure is impracticable under conditions encountered. When conditions justify simultaneous loading and drilling in the same area, such operations shall be separated as widely as practicable and in no case shall a drilling operation be closer than 50 feet to a hole being loaded. All drill holes shall be sufficiently large to freely admit the insertion of the explosive materials. 
(b) At least 5 foot candles illumination shall be provided to safely perform loading operations. Only approved lights shall be used within 50 feet of the loading area. 
(c) No vehicle traffic shall be permitted over loaded holes. 
(d) Loading operations shall be carried on with the smallest practical number of persons and explosive materials loading equipment present and no one but the loading crew, inspection personnel, and authorized supervisory personnel shall be allowed within 50 feet of the loading area. 
(1) At locations where 50 foot minimum distance cannot be maintained, an alternative plan shall be submitted to the Division for approval 30 days prior to anticipated start of work. The Division shall give written notice of receipt to the applicant within 7 days. Notice of approval/disapproval, shall be given within 15 days of receipt of the application. The Division may shorten the 30-day notification requirement where construction has commenced and unexpected site and/or emergency conditions requiring blasting occur. 
(2) The Division shall approve the alternative plan if the following elements are satisfied: 
(A) All blasting operations will be conducted using low sensitivity explosive materials.
(B) All blasting operations will be conducted using initiation systems which cannot be affected by stray current or radio frequency energy. 
(C) A lightning and electric storm-detection system and written plan of action is provided to the Division. The plan shall include provisions for a detection system capable of warning the loading crew when a storm is 100 miles away. When a storm is detected 50 miles from the loading operation, the storm's movement is to be monitored. When a storm is detected at 25 miles from the loading operation, loading operations will be discontinued and all persons in the blast area withdrawn to a safe location. 
(D) K-rails, barriers, traffic control systems or natural terrain shall be used to prevent entry by vehicular traffic into the loading site. 
(e) The amount of explosive materials delivered into a loading area shall not exceed the amount estimated by the licensed blaster as necessary for the blasting. No holes shall be loaded except those to be fired in the next round of blasting.
(f) Detonators shall not be less strength than No. 8. 
(g) The detonator, if used, shall be properly encased in explosives when inserted into the drill hole. 
(h) Tamping shall be by pressured or light blows only, and never by excessive ramming. The primer shall not be tamped. 
(i) All blast holes in open work shall be stemmed to a point that will sufficiently confine the charge. 
(j) Stacks of explosive materials shall be spaced and distributed in the loading area to prevent propagation of an explosion between any two piles or loaded holes in the event of a premature explosion in any portion of the blast area. 
(k) Springing holes: 
(1) Boreholes shall not be sprung within 100 feet of any hole containing explosive materials for primary blasting. 
(2) A hole that has been sprung shall not be loaded until sufficient time has elapsed for the hole to cool. Artificial means may be used to cool the hole. 
(l) Except for avalanche blasting, drop fuses or any other method that calls for ignition of the fuse prior to placement of the charge in its final position shall not be used. 
(m) Drill holes or any part of such holes which have been charged with explosive materials shall not be deepened. 
(n) Drilling shall not be started until all remaining butts of old holes are examined for unexploded charges and if any are found, they shall be detonated or properly disposed of before other work proceeds. (See Section 5293).
(o) Except as provided in Section 5278(w), holes to be blasted shall be charged as near to blasting time as practical and such holes shall be blasted as soon as possible after charging has been completed.
(1) No explosive materials shall be left unattended at the blast site.
(2) Loaded holes shall not be left unattended except as permitted in Section 5278(w). 
(3) No one but the attendant(s) (see CCR, Title 8, Section 3207 for the definition of Qualified Person, Attendant or Operator), the loading/detonation crew, inspection personnel, and authorized supervisory personnel shall be allowed within 50 feet of the loaded holes.
(A) At locations where 50 foot minimum distance cannot be maintained, an approved alternative plan pursuant to the requirements in subsection (d) shall be implemented.
(p) Explosive materials shall be kept separated from detonators until charging is started.
(q) Capped primers shall be made up at the time of charging and as close to the blasting site as conditions allow.
(r) Only wooden or other nonsparking implements shall be used to punch holes in an explosive cartridge.
(s) Areas in which charged holes are awaiting firing shall be guarded or barricaded and posted or flagged against unauthorized entry.
(t) The double-trunkline or loop system shall be used in detonating-cord blasting.
(u) Trunklines, in multiple-row blasts, shall make 1 or more complete loops, with crossties between loops at intervals of not over 200 feet.
(v) All detonating cord knots shall be tight and all connections shall be kept at right angles to the trunklines.
(w) Loaded holes intended for geophysical operations:
(1) Shall be attended; or
(2) May be left unattended, but only where the loaded explosives, if detonated, will not cause injuries and where the loaded explosives are: 
(A) Anchored, tamped or stemmed so that the charge cannot be removed; or
(B) Left so that the detonator leads are inaccessible to or concealed from unauthorized persons.
(3) No one but the attendant(s), the loading/detonation crew, inspection personnel, and authorized supervisory personnel shall be allowed within 50 feet of the loaded holes.
(A) At locations where 50 foot minimum distance cannot be maintained, an approved alternative plan pursuant to the requirements in subsection (d) shall be implemented.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13). 2. Amendment of subsection (d) and new subsection (l) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of section heading and section filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
3. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
4. New subsections (o)(3)-(o)(3)(A), amendment of subsection (w)(2) and new subsections (w)(3)-(w)(3)(A) filed 7-22-2010; operative 8-21-2010 (Register 2010, No. 30).
§5279. Loading and Blasting Near or Under Power Lines.
Note     •     History

(a) When electric initiated blasting under, or near overhead power lines, the leading wires shall be placed at right angles to such lines and shall be securely anchored to prevent the blasting circuit conductors from being thrown into the overhead lines. 
(b) When blasting under, or near overhead power lines, all loaded holes shall be covered with a nonconductive blasting mat anchored to prevent the mat or other material from being blown into the overhead lines. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5280. Pneumatic Loading of Explosive Materials for Blasting.
Note     •     History

(a) Construction of Air Loaders.
(1) Blasting agents shall not be loaded into any air loader constructed of copper, copper alloys, or zinc (including galvanized metals) unless the loader is constructed so that such incompatible materials do not come in contact with blasting agents. 
(2) An explosive shall not be loaded into any air loader constructed wholly or in part of ferrous metals except that stainless steel may be used.
(3) The vessel that is pressurized on an air loader shall be designed, constructed, inspected, and stamped in compliance with the Unfired Pressure Vessel Safety Orders.
(b) Air Loader Equipment.
(1) A 20-mesh screen, an air trap or a filter shall be installed in the air supply line adjacent to the loader when a pressure vessel is being used.
(2) An air pressure reducing regulator of standard manufacture shall be installed in the air supply line and be a part of the loader assembly for a pressure-type loader.
(3) An air pressure relieving safety valve of adequate capacity shall be installed in the air supply line between the air pressure reducing regulator and the pressure vessel of the air loader. There shall be no valve between the pressure vessel and the pressure relieving device.
(4) An adequate pressure gauge shall be installed in the air supply line between the air pressure reducing regulator and the air loader pressure vessel.
(c) Air Temperature and Pressure.
(1) The temperature of the air supplied to the air loader shall not exceed 150 degrees Fahrenheit.
(2) The air pressure shall not exceed 50 pounds per square inch when explosive materials are being loaded.
(3) The air pressure relieving safety valve shall be set to open at a pressure not to exceed 55 pounds per square inch, when an explosive is being loaded. 
(4) When a blasting agent is being loaded, the safety valve shall be set at not more than 110% of the safe loading pressure, but in no case to exceed 110 psi.
(d) Control of Static Electricity and Stray Currents.
(1) There shall be continuous electrical path from the discharge end of the loading tube, through the loading tube, the loading line, the air loader, and to ground. The loading tube shall be static dissipating and shall be at least 2 feet longer than the deepest hole loaded. 
(2) Where metal air loaders are on non-conductive rock or earth, an auxiliary ground shall be provided by metal straps or cables of at least #8 American Wire Gauge connected to ground rods. If it is necessary, the ground rods shall be driven into water-filled holes. The total resistance from the discharge end of the loading tube to ground shall not exceed two megohms.
(3) Pneumatic loading equipment shall not be grounded to water lines, airlines, rails, or other permanent electrical grounding systems. 
(4) The loading tube and loading hose, if one piece, shall be either of a distinctive design or else identified at least every 18 inches that it is static dissipating.
(e) Operations and Procedures.
(1) The air supply line shall be thoroughly blown out before it is attached to the air loader.
(2) All material poured into a pressure type air loader shall be passed through a screen having openings not larger than half an inch.
(3) Air loaders when used to blow or force stemming into loaded holes shall be thoroughly cleaned before and after such use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5291. Firing of Explosive Materials (Blasting Operations).
Note     •     History

(a) The licensed blaster-in-charge shall fix the time of blasting. 
(b) Blasts are not to be fired without a warning signal/procedure. The signals, which may be given by a siren, air horn, whistle or other device, shall be loud enough to be heard clearly in areas that could possibly be affected by the blast or flyrock from the blast. In addition, blasts are not to be fired until the licensed blaster-in-charge verifies the following:
(1) All surplus explosive materials are in a safe place, 
(2) All security personnel at the blast area are in the proper location, and
(3) All personnel are either outside of the blast area or under sufficient cover.
(c) Precautions, such as the following, shall be taken to prevent unauthorized entry into the blast area: warning signs, barricades, or flaggers when necessary.
(d) Warning signals shall be given by the use of a compressed air whistle, a horn, lights or equivalent means, such as flaggers or voice warning and shall be clearly audible at the most distant point in the blast area. Where other than flagger or other visible method or voice warning is used, the following signals are recommended: 

WARNING SIGNAL 
5 minutes prior to the blast 	A 1-minute series of long audible signals

BLASTING SIGNAL 
1 minute prior to the blast 	A series of short audible signals 

ALL-CLEAR SIGNAL 
Following inspection of the blast area 	A prolonged audible signal 
(e) The type of warning signal or method shall be posted at one or more conspicuous locations and all employees shall be made familiar with the signals and instructed accordingly. 
(f) The “ALL CLEAR” signal shall not be given until the licensed blaster has made a thorough, visual inspection of the blast area for misfires. In the event of a misfire, the requirements of Section 5293 shall be complied with before the “ALL CLEAR” signal is given. 
(g) Warning signs, indicating a blast area, shall be maintained at all approaches to the blast area. The warning sign lettering shall not be less than 4 inches in height on a contrasting background. 
(h) Whenever blasting is being conducted in the area immediately adjacent to gas pipelines, flammable liquid gas pipelines, electric, water, fire alarm, telephone, telegraph, and steam utilities, the licensed blaster shall notify the appropriate representatives of such pipelines or utilities at least 24 hours in advance of blasting, specifying the location and intended time of such blasting. Verbal notice shall be confirmed with written notice before the blast. In an emergency this time limit may be waived.
(i) Employees shall be prohibited from entering the blast area after blasting until any toxic vapor/fumes, dust and gases have been reduced to safe limits. 
(j) After blasting, the blasting crew shall wait at least 5 minutes before returning to the point of blasting.   
(k) For underground blasting, no one shall enter the place where primary blasting has been done for at least 15 minutes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (a) and new subsection (e) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of section heading, section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
3. Amendment of subsection (b) and new subsections (b)(1)-(3) filed 2-1-2011; operative 3-3-2011 (Register 2011, No. 5).
§5292. Secondary Blasting.
Note     •     History

(a) There shall be no activity of any kind that would create a hazard to explosive materials that have been placed or are being placed for secondary blasting.
(b) Where shots are to be fired in such close proximity that one shot may displace another, the firing shall be done by use of detonating cord or instantaneous electric blasting caps.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5293. Misfires.
Note     •     History

(a) After each shot the blast area shall be examined for misfires. If any are found, or suspected to exist, they shall be reported to the person in charge. Steps shall be taken to eliminate all undetonated explosive materials.
(b) In case of a detonator misfire, the shot area shall be made safe under competent supervision by one of the following means after a 30-minute wait following electric or non-electric shock tube blasting, or a 60-minute wait following fuse cap blasting:
(1) Where practical a new primer shall be inserted into the hole and the hole reblasted, or
(2) Where the hole cannot be reblasted, the stemming and explosive shall be washed out with water, or
(3) Where blasting agents are used, try to remove the detonator and cap sensitive explosive materials.
(4)(A) Where reblasting, washing, or removing explosive materials is unsafe or impracticable in a geophysical operation, the Division and surface owners shall be notified within 24 hours. The notice shall include the location, depth and the amount of the undetonated explosive material; and
(B) Following concurrence by the Division that retrieval of the explosive material in a misfired geophysical operation is impractical or unsafe, a substantial concrete cap capable of containing the explosion shall be placed above the explosive material at least 3 feet below the ground surface, or other permanent protection shall be installed.
(c) If explosive materials are suspected of burning in a hole, all persons in the endangered area shall move to a safe location and no one shall return to the hole until the danger has passed, but in no case within 1 hour. 
(d) Holes shall not be drilled where there is danger of intersecting a charged hole of misfired explosives.
(e) No other work shall be performed in the danger area except that necessary to remove the hazard of the misfire. No other employees except the licensed blaster and the necessary crew shall be in the danger area when a misfire hazard is being removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (e) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. Amendment of section and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
3. Amendment of subsection (b), new subsection (c) and subsection relettering filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5294. Coyote Hole Blasting.
Note     •     History

(a) Electric lighting circuits shall not be permitted in a coyote hole while it is being loaded with explosives. Electric flashlights or cap lamps shall be used for illumination.
(b) In electrical blasting, the ends of leading wires shall be kept shorted until ready to blast. Circuits should be tested at least every 10 feet if stemming is placed in the cross-cuts, or before each explosives charge is placed.
(c) When detonating cord is used, a double line of cord with frequent cross ties shall be used throughout so that the detonating wave can reach each explosive charge from 2 independent sources.
(d) Coyote holes shall be backfilled tightly and for a sufficient length to prevent a blown-out shot.
(e) The area being loaded for blasting shall be plainly marked both in front and on top of the bank to be blasted with appropriate warning signs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5295. Use of Safety Fuse--General.
Note     •     History

(a) No fuse except safety fuse shall be used for fuse cap blasting.
(b) The average burning rate per foot of safety fuse used shall be determined by burning not less than three, 3-foot lengths of such fuse in open air at or near the blast area. Safety fuse which varies more than 10 percent from the manufacturer's stated burning range shall not be used.
(c) Notice shall be displayed conspicuously at the work location, stating the burning rate of safety fuse used.
(d) Damaged safety fuse shall not be used.
(e) If the roll of safety fuse has not been fully used and is stored for future use after blasting has been completed, the average burning rate shall be re-determined prior to use as required by subsection (b). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5296. Safety Fuse Storage.
Note     •     History

(a) In cold weather the safety fuse shall be warmed slightly before being uncoiled in order to avoid breaking or cracking.
(b) Safety fuse and igniter cord shall be stored in a place which is dry, cool, oil/grease free, and the relative humidity of the air is less than 80 percent.
(c) Safety fuse shall not be hung on nails or other projections that could cause a sharp bend to be formed in the fuse.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5297. Making Capped Fuses and Primers.
Note     •     History

(a) In capping safety fuse, at least one inch shall be cut from the end of each coil of the fuse to be used to prevent damp fuse ends from getting into the cap.
(b) Blasting caps shall be kept in original or equivalent containers except as they are used for capping safety fuses.
(c) Only a ring-type cap crimper of standard design shall be used for attaching blasting caps to safety fuse. 
(d) In capping fuse, the fuse ends shall be cut squarely with a sharp cutting blade. The capping operation shall be performed in a safe, dry location. The area shall be conspicuously posted with no smoking signs. 
(e) A waterproof ring-type crimp or a compound especially prepared for waterproofing shall be used when necessary.
(f) A capped fuse shall not be attached to the primer cartridge by half-hitch.
(g) The safety fuse shall not be kinked when using the lacing method. The safety fuse shall lie in smooth curves as shown on the illustration. The cap shall be properly embedded along the axis of the cartridge. 

View Graphic

Recommended Methods of Attaching Capped Fuse to
Primer Cartridge
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
2. Change without regulatory effect providing more legible illustration filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5298. Non-Electric Blasting Systems.
Note     •     History

(a) Safety Fuse Initiation System. 
(1) Safety fuses shall not be ignited before explosive charges are in place.

Exception: Avalanche blasting. 
(2) When blasting with safety fuse, consideration shall be given to the following: (A) the length and burning rate of the fuse; (B) the condition of the escape route; and, (C) the distance to a place of safety.
(3) Safety fuses shall not be used in any location, such as a shaft, raise or winz, where the lack of adequate nearby shelter and the distance of travel to a place of safety is such that there is a hazard to employees from flying rock and concussion.
(4) All safety fuses shall be cut sufficiently long to extend beyond the collar of the hole and in no case shall they be less than 3 feet in length.

NOTE: At the usual rate of burning, a 3-foot length of safety fuse will fire a shot in about 2 minutes.  
(5) Only single shots shall be fired when using 3-foot safety fuses. If more than one fuse is to be lighted at one time, such fuses shall comply with subsection (6) of this section.
(6) When lighting safety fuse, the fuses shall be so timed that no charge will detonate until at least 2 minutes after the last fuse in the blast area has been ignited.
(7) No one employee shall be permitted to ignite more than 12 safety fuses in succession. When 2 or more safety fuses in a group are lighted as one, by means of igniter cord or other fuse-lighting device, they may be considered as one fuse for the purpose of the subsection.
(8) If more than 3 safety fuses are lighted at one time, no person shall be permitted to enter the blast area until after a period of time equal to 2 minutes for each foot in the length of the longest fuse in the round or 15 minutes, whichever is the longest time.
(9) At least two employees shall be present when lighting fuses.

Exception: Avalanche blasting.
(10) Fuses shall be lit with devices approved for such purposes.
(b) Shock Tube Initiation System. 
(1) Connections with other initiation devices shall be secured in a manner which provides for uninterrupted propagation; 
(2) Factory-made units shall be used as assembled and shall not be cut except that a single splice is permitted on the lead-in trunkline during dry conditions; and 
(3) Connections between blast holes shall not be made until immediately prior to clearing the blast site when surface delay detonators are used. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
2. Repealer and new section heading and amendment of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5298.1. Use of Detonating Cord.
Note     •     History

(a) Detonating cord shall be selected consistent with the type and physical condition of the bore hole and stemming and the type of explosives used. 
(b) Detonating cord shall be handled and used as an explosive. 
(c) The line of detonating cord extending out of a bore hole or from a charge shall be cut from the supply spool before loading the remainder of the bore hole or placing additional charges. 
(d) Detonating cord shall be handled and used with care to avoid damaging or severing the cord during and after loading, stemming and hooking up. 
(e) Detonating cord connections shall be made in accordance with the manufacturer's recommendations. Knot-type or other cord-to-cord connections shall be made only with detonating cord in which the explosive core is dry. 
(f) All detonating cord trunklines and branchlines shall be free of loops, sharp kinks, or angles that direct the cord back toward the oncoming line of detonation. 
(g) All detonating cord connections shall be inspected before firing the blast. 
(h) When detonating cord millisecond-delay connectors or short-interval-delay electric blasting caps are used with detonating cord, the practice shall conform strictly to the manufacturer's recommendations. 
(i) When connecting a blasting cap or an electric blasting cap to detonating cord, the cap shall be taped or otherwise attached securely along the side or the end of the detonating cord, with the end of the cap containing the explosive charge pointed in the direction in which the detonation is to proceed. 
(j) Detonators for firing the trunkline shall not be brought to the loading area nor attached to the detonating cord until everything else is in readiness for the blast. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5299. Firing with Electricity--General.
Note     •     History

(a) Before adopting any system of electrical firing, the licensed blaster shall conduct a thorough survey for extraneous currents, and all dangerous currents shall be eliminated before any holes are loaded. No electric blasting or preparation for electric blasting shall be done when stray electrical currents exceed 0.05 amperes. 

Exception: Specialty electric blasting caps used as recommended by the manufacturer. 
(b) Electric firing shall be done only with devices designed for initiating electric detonators. 
(c) Electric detonators to be fired with blasting machines shall be connected in accordance with the number and circuitry limitations recommended by the machine or detonator manufacturer.  
(d) Devices used for igniting electric detonators shall not cause arcing in the detonators. A circuit interrupter shall be used when arcing is a problem. 
(e) All blasting wires shall be kept clear of electric lines, pipes, rails, and other conductive materials.
(f) That part of the blasting circuit leading from the firing switch to the blast area shall not be grounded.
(g) All low-voltage electric power lines within 50 feet of the holes to be loaded shall be removed or de-energized before an electric detonator or starter is brought into the blast area. Where this is not practical, a check for stray current shall be made with a proper instrument.
(h) The blasting circuit shall be tested with a blasting galvanometer or other device designed to test blasting circuits before firing the round.
(i) The blasting circuit shall remain shorted until the round is ready to test and fire.
(j) Electric detonators of different brands shall not be used in the same round. 
(k) Where light and power circuits are used for blasting, keys to the shot-firing and safety switches shall be kept by the licensed blaster. When necessary to make repairs, extensions, or tests on the blasting or shot-firing lines, the licensed blaster or blaster in training shall unlock and remain at the switch until he or she relocks the switches or designates that responsibility to someone who reports back to the licensed blaster with the keys when work is completed. No preparations for loading or blasting shall be done until all switches are relocked and the keys back in the possession of the licensed blaster. At the end of the shift, the licensed blaster shall give the keys to the licensed blaster of the following shift. A duplicate set of keys should be kept by the superintendent under lock and key in the office. There shall be no other set of keys fitting these locks on the job site. 
(l) Mobile radio transmitters shall be de-energized and effectively locked when less than 100 feet from electrical blasting caps that are not in their original container. 

EXAMPLES OF BLASTING CIRCUITS
Electric Detonators

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 3-28-75; effective thirtieth day thereafter (Register 75, No. 13).
2. Amendment of subsection (a) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
3. Repealer of subsection (a) and relettering of existing subsections filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 10). 
4. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
5. Change without regulatory effect providing more legible diagrams filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5300. Firing Switches.
Note     •     History

(a) The firing switch shall conform to the following minimum standards:
(1) It shall be an externally operable switch, enclosed in a tight case provided with a lock.
(2) It shall be a double pole, double throw switch with the handle arranged to be locked in the “off” position only.
(3) It shall be provided with a bar for short-circuiting, but not grounding the leading wires when the switch is in the “off” position.
(4) Switches shall have adequate rating for the maximum voltage and current to be used.
(5) The service entrance switch fuse or circuit breaker rating shall be fused not exceeding 33 percent of the maximum calculated current requirement and will blow at 15 times the rated capacity in 1/20 of a second.
(6) The switch shall be mounted so that the handle is down when the switch is in the “off” position. The leading wires shall be attached to the blade terminals and the power line wires to the up-throw terminals.
(b) When firing by means of a light or power circuit, the circuit shall be open at all times in at least one place by an air gap of at least 5 feet underground and 15 feet on the surface, between the firing and the auxiliary switches at all times, except during the actual firing operation. The air gap shall be established by means of a cable and 2-pole plug and receptacle of adequate capacity. The plug shall be provided with a device, preferably of automatic type, to short-circuit the wires when the plug is removed from the receptacle.
(c) The shot firing switch shall be no less than 1,000 feet from the face of a tunnel if the tunnel length exceeds 1,000 feet. 
(d) For tunnels less than 1,000 feet in length, the shot switch shall be outside the portal. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New subsections (c)-(d) and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5301. Auxiliary Switches.
Note     •     History

(a) One or more auxiliary switches shall be installed at the beginning of each branch circuit of the permanent leading wires.
(b) Such switches shall be as described in Section 5300 except that they need not be fused.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5302. Permanent and Temporary Leading Wires.
Note     •     History

(a) All leading wires shall be type “S” cable or equivalent, or shall consist of 2 suitable insulated solid aluminum or solid copper wires.
(b) Permanent leading wires shall be installed in conduit or shall be strung on insulators and kept at least 5 inches apart.
(c) The conductor used to close the air gap shall be type “S” cable or equivalent.
(d) All leading wires shall have the capacity to carry the required firing current to the detonators. In no case shall a capacity of less than copper wire No. 14 American Wire Gauge or aluminum wire No. 12 American Wire Gauge be used, except No. 18 American Wire Gauge may be used for one electric blasting cap.

View Graphic

Recommended power firing systems for series and parallel series firing with no circuit interrupter.

View Graphic

Recommended power firing systems for series and parallel series firing using a circuit interrupter.
(e) All splices shall be well made and shall be so joined as to be electrical and mechanically secure. Splices shall be taped or otherwise effectively insulated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (d) and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
2. Change without regulatory effect providing more legible illustrations filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5304. Blasting Procedure with Power and Light Circuits.
Note     •     History

(a) Before connecting the leading wires to the leg wires, the licensed blaster shall make sure that the auxiliary switch or switches are locked in the “off” position, the air gap is open, the short-circuiting device is in place, and the firing switch is locked in the “off” position.
(b) If an electric circuit from a light or power source is used for firing shots, the electrical connections shall be made within an approved weatherproof enclosure. 
(c) Leading or connecting wires shall be tested for the presence of stray electric current before they are attached to the leg wires. The test shall be made with an instrument designed and approved for this purpose. If stray current is detected it shall be eliminated before the connection is made.
(d) Before the leg wires are connected to the temporary leading wires, the blaster shall cause all persons to leave the blast area and proceed to a safe location.
(e) When the blast area is clear of all persons, the person responsible for firing shall proceed to the auxiliary switch, unlock it, and move the switch handle to the “on” position.
(f) After blasting, no one shall approach the blasted area until: 
(1) The blasting switch has been locked in the “off” or “open” position, and, 
(2) The blasting switch attachment plug has been disconnected from the electrical source, and,  
(3) The blasting wires have been shorted together.
(g) In case the shot fails to fire (misfire) or the licensed blaster is not sure that the charges have fired, the licensed blaster shall lock the firing switch in the “off” position and open the air gap. The licensed blaster  shall wait at least 30 minutes before proceeding to the auxiliary switch which shall be locked in the “off” position before entering the blast area.
(h) Only the crew actually necessary for the loading and connecting-up operation shall be at the face during operations. 
(i) No unnecessary work shall be done at the face during or after loading before the shots are fired. 

BLASTING CIRCUIT DIAGRAM

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section, including transfer of Plate C-27 from section 1938, Appendix C, and new Note, filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
2. Change without regulatory effect providing more legible diagram filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5305. Electric Blasting Devices and Electric Blasting Machines.
Note     •     History

(a) All blasting devices and blasting machines shall be in the charge of the licensed blaster-in-charge and no other person shall connect the leading wires to the blasting machine or other blasting devices.
(b) Leading wires shall not be connected to blasting devices or blasting machine until all steps preparatory to firing have been completed and all persons proceed from the blast area to a safe location.
(c) After firing the round, the licensed blaster-in-charge shall immediately disconnect all wires from blasting devices or blasting machines and short-circuit the leading wires.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5306. Electric Blasting in Proximity to Radio, Television or Radar Transmitters.
Note     •     History

(a) Blasting area warning signs shall be posted approximately 1,000 feet from the blasting area along all access routes. These signs shall be in accordance with all requirements of the California Manual on Uniform Traffic Control Devices for Streets and Highways, September 26, 2006, published by the State Department of Transportation (CA-MUTCD), Part 6, Temporary Traffic Control, Sections 6F.38 through 6F.41, which are hereby incorporated by reference.
(b) Electric blasting operations shall not be conducted closer to any operating mobile or fixed radio, television, or radar transmitter than the distances shown in the following tables:

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NOTE: RECOMMENDED TABLES OF DISTANCES

 These tables of distances are designed for the convenience of the licensed blaster. The selected groupings include all the obvious types of RF transmitters that will be encountered around blasting sites.

 These tables were derived from analytical worse case calculations. They are based on an assumed 40-milliwatt no-fire level of commercial blasting caps. Actual field tests have shown that these tables are conservative as would be expected. Because of the uncertainties involved in field tests as to the efficiency of RF energy pickup and its delivery to the blasting cap, we strongly recommend that these tables be followed. If these tables present distances which are operationally inconvenient to use, we suggest field tests be made by expert consultants and the procedures detailed for providing minimum RF pickup be adhered to.

 The data upon which these tables are based were derived by the Franklin Institute Research Laboratories for the Institute of Makers of Explosives.
(d) The specified distances in the tables may be reduced provided special precautions, acceptable to the Division are taken. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-8-81; effective thirtieth day thereafter (Register 81, No. 28).
2. Amendment of section and Note, including transfer of section 1938, App. B, Plate B-15 to section 5306, tables 1-5, filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
3. Amendment of section heading and subsection (a), repealer of subsection (b) and subsection relettering filed 10-26-2009; operative 11-25-2009 (Register 2009, No. 44).
§5307. Blasting in Excavation Work Under Compressed Air.
Note     •     History

(a) Detonators and explosives shall not be stored or kept in caissons. Detonators and explosives for each round shall be taken directly from the magazines to the blasting zone and immediately loaded. Detonators and explosives left over after loading a round shall be removed from the working chamber before the connecting wires are connected up. 
(b) When detonators or explosives are brought into an air lock, no employee except the licensed blaster, lock tender and the employees necessary for carrying, shall be permitted to enter the air lock. No other material, supplies, or equipment shall be locked through with the explosives. 
(c) Detonators and explosives shall be taken separately into pressure working chambers. 
(d) The licensed blaster shall be responsible for the receipt, unloading, storage, and on-site transportation of explosives and detonators. 
(e) The explosives suitable for use in wet holes shall be water-resistant and shall be Fume Class I. 
(f) All metal pipes, rails, air locks and steel tunnel lining shall be electrically bonded together and grounded at or near the portal or shaft, and such pipes and rails shall be cross-bonded together at not less than 1,000-foot intervals throughout the length of the tunnel. In addition, each low-air supply pipe shall be grounded at its delivery end. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5308. Underwater Blasting.
Note     •     History

(a) Loading tubes and casings of dissimilar metals shall not be used because of possible electric transient currents from galvanic action of the metals and water. 
(b) Only water-resistant blasting caps and detonating cords shall be used for all marine blasting. Loading shall be done through a non-sparking metal loading tube when tube is necessary. 
(c) No blast shall be fired while any vessel under way is closer than 1,500 feet to the blasting area. Those on board vessels or craft moored or anchored within 1,500 feet shall be notified before a blast is fired. 
(d) No blast shall be fired while any swimming or diving operations are in progress in the vicinity of the blasting area. If such operations are in progress, signals and arrangements shall be agreed upon to assure that no blast shall be fired while any person is in the water. 
(e) Blasting flags shall be displayed. 
(f) The storage and handling of explosives aboard vessels used in underwater blasting operations shall be according to provisions outlined herein on handling and storing explosives. 
(g) When more than one charge is placed underwater, a float device shall be attached to an element of each charge in such a manner that it will be released by the firing. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 118. Explosives for Well Service Industry
§5311. Scope.
Note     •     History

This article shall cover loading, assembly, transporting and storage, and well site use of special industrial explosive material, perforating tools, including projectile firing devices and similar explosive-actuated devices.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5312. Loading or Assembling of Industrial Explosives and Devices and/or Propellent Devices.
Note     •     History

(a) Loading operation of projectile firing devices which would fire in other than a vertical plane shall be isolated from other operations by a partition constructed of materials capable of withstanding the explosion of the device or shall be carried on in a separate area at least 25 feet from other work areas.
(b) Loading operations of projectile firing devices which fire only in a vertical direction shall have the work areas clearly delineated to separate them from other work areas. 
(c) Loading operations of other types of explosive and/or propellant-actuated power devices shall be conducted in clearly defined areas separated from other work areas.
(d) Electrical apparatus in the loading area shall conform with the wiring requirements for Class II, Division 2, Hazardous Areas, Electrical Safety Orders, except that no electrical outlets or electrical tools are permitted on the loading bench. Metal parts of loading benches and racks shall be electrically bonded and grounded.
(e) Work benches used for loading shall be smooth finished to facilitate cleaning.
(f) Materials not necessary for the operation shall not be stored in the loading area.
(g) Only personnel necessary to the loading operation shall be in the loading area.
(h) The amount of explosive materials in the loading area shall be limited to that amount required for the day's loading operations.
(i) Waste, scrap and unused explosive materials shall be kept in labeled, covered containers and be returned to the magazine immediately upon completion of the days loading activities. More than one day's accumulation of waste or scrap explosives shall be stored in at least a Type 2 magazine, located outside the loading area, or destroyed or desensitized in a safe manner.
(j) Spilled explosives shall be cleaned up promptly.
(k) Explosives shall not be subjected to excessive heat, friction, or force during loading operations.
(l) Detonators shall not be installed in explosive devices in the loading area unless assembly of the detonator is necessary at the time of loading.
(m) Explosive loading areas shall be posted with a sign reading, “EXPLOSIVES,” with letters 4 inches high and a 5/8-inch stroke on a background of sharply contrasting color.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (c) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42). 
2. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5313. Storage and Transportation of Industrial Explosive Materials.
Note     •     History

(a) Industrial explosive charges shall be transported as explosive materials.
(b) Explosive devices shall not be transported with detonators installed unless installation of the detonator is necessary at the time of loading.
(c) Explosive charges shall be protected from mechanical damage, heat, and electric current during storage and transportation.
(d) Loaded explosive power actuated devices shall be stored in a manner which will result in the least possible hazard to employees in case of fire or premature explosion as follows:
(1) Jet charges assembled in appropriate carriers shall be stored on storage racks in designated areas or as appropriate.
(2) Projectile-type devices to be maintained in the horizontal position shall be stored in pits below ground level in an isolated part of a building at least 25 feet from work areas, in an open area at least 25 feet from any building, or surrounded by a barrier capable of withstanding the blast of the device and/or containing the projectile(s).
(3) “Armed” explosive devices (detonator installed) shall be stored in pits below ground level or compartmented steel containers.
(e) Quantities of explosive-actuated power device charges less than 50 pounds net weight of explosives, not assembled as in subsection (b)(1) or less than 500 detonators may be stored in a Type 2 magazine located in a building provided that:
(1) The storage area within the building is enclosed by walls of one-hour fire resistant construction or the enclosure is protected by an acceptable automatic sprinkler system or the magazine is located within 10 feet of an exit.
(2) The magazine is on a floor having a ground level exit.
(3) A distance of 10 feet is maintained between detonator and explosive magazines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5314. Firing with Electricity--Well Site.
Note     •     History

(a) Before implementing any system of electrical firing, the licensed blaster shall conduct a thorough survey for extraneous currents, and all dangerous currents shall be eliminated before any loading is accomplished.
(b) The firing circuit shall be effectively shorted following testing and remain shorted until the explosive device is lowered below the surface of the well.
(c) Well casing, service unit and rig, shall be connected and effectively bonded to minimize stray currents.
(d) Warning signs shall be posted at all entrances to the well site with lettering “RADIO TRANSMITTING PROHIBITED IN THIS AREA” or equivalent. Lettering of the sign shall be at least 4 inches high in red letters with a 5/8-inch stroke on a white background.
(e) Perforating shall not be knowingly conducted closer to any operating mobile or fixed radio, television, or radar transmitter than shown in tables in Section 5306, unless special precautions are taken that are acceptable to the Division. 
(f) Employees shall be prohibited from entering the cellar after blasting until any toxic vapor/fumes, dust and gasses have been reduced to safe limits. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 119. Manufacturing and Processing of Explosive Materials
§5319. Scope.
Note     •     History

The orders in this Article shall apply to the manufacturing, processing and handling of explosives, blasting agents, ammunition and pyrotechnic devices upon the manufacturing site including:
(a) The assembly of raw materials.
(b) Handling activities of raw materials, such as: mixing, grinding, blending, forming, loading encasement, packaging and similar activities in the manufacturing process.
(c) On-site testing and storage of explosive materials and the packaged product through removal from storage for transportation off the manufacturing site.
(d) Packing and repacking of explosive materials for wholesale distribution. 
(e) The disposal of all waste explosive materials resulting from the manufacturing process.

Exception: For the purpose of this Article, the manufacturer of explosive materials does not include any person who assembles or fabricates any sets or mechanical pieces for public display, and/or persons operating within the scope of a public display license, or a pyrotechnic operator license.
NOTE

Authority cited: 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 11-1-76 as an emergency; effective upon filing (Register 76, No. 45).
2. Certificate of Compliance filed 1-11-77 (Register 77, No. 3).
3. Amendment of subsection (d) filed 8-18-77, effective thirtieth day thereafter (Register 77, No. 34).
4. Amendment of subsection (d) filed 9-19-80; effective thirtieth day thereafter (Register 80, No. 38).
5. Amendment of article heading and section filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
6. Amendment of article heading and first paragraph, new subsection (d) and subsection relettering filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5320. Reporting Requirements.
Note     •     History

(a) Employers manufacturing explosive materials shall make available upon request by the Division the following information:
(1) The exact location of the place of manufacture.
(2) The kind or kinds of explosives, ammunition, blasting agents, or pyrotechnic devices to be manufactured or processed, and the property of hazardous materials to be used.
(3) The names and addresses of individual owners, partners, or officers of a corporation.
(4) A map of the operating premises with the operating buildings indicated in which greater than one pound of explosives is manufactured, handled, used, or stored. The maximum amount of explosives greater than one pound to be used in each building, number of persons in each operating building, barricade locations and dimensions, and the location and capacity of storage magazines.

Exception: This article shall not be construed as applying to, or prohibiting the mixing of, binary components or blasting agents such as ANFO in the loading area provided all necessary safety precautions are taken.
(5) A copy of the general safety rules which the manufacturer will enforce including plans for emergency procedures in the event of fire or explosion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 11-1-76 as an emergency; effective upon filing (Register 76, No. 45).
2. Certificate of Compliance filed 1-11-77 (Register 77, No. 3).
3. Amendment filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
4. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5321. Plans of Plant.
Note     •     History

A copy of the plans of the plant shall be kept in the office on the premises of each explosives, ammunition, blasting agents, pyrotechnic devices processing facilities, or manufacturing plants, and shall be made available to the Division upon request.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5322. Training and Instruction.
Note     •     History

Employees who handle explosive material shall be instructed in the hazards of the materials and processes in which they are to be engaged and with the safety rules governing such materials and processes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5323. Emergency Procedure.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5324. Change Rooms and Washing Facilities.
Note     •     History

Whenever employees are required to change from street clothes into protective clothing, change rooms shall be provided equipped with locker space suitable for employees street clothing and personal effects at each explosives, ammunition, blasting agents or fireworks manufacturing plant. Shower baths and washbasins with hot and cold running water shall be required where necessary.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5325. Food.
Note     •     History

Employees shall not be permitted to eat at places where explosive materials or pyrotechnic devices are present.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5326. Intraline Distance.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5327. Intraline Separation of Operating Buildings.
Note     •     History

(a) All mass detonating explosives and pyrotechnic devices manufacturing buildings, including those where explosive charges are assembled, prepared, or loaded shall be separated from all other buildings, including magazines, within the confines of the manufacturing plant at a distance not less than those shown in the following table when buildings are BARRICADED.
Note: Explosives not subject to mass detonation may be processed in buildings located in accordance with other intraline distance tables of recognized authority such as DOD or ATF Tables 55.219 and 55.222 through 55.224, with footnotes.
(b) When a building or magazine containing explosives is not barricaded the intraline distances shown in the following Table shall be doubled.

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5328. Operating Buildings and Equipment.
Note     •     History

(a) Operating buildings or rooms in which more than 50 pounds of explosive materials which mass detonate are present at any time shall be constructed with at least one wall and roof of explosion-relief type. The direction of the relief wall shall be so placed as to be of least hazard to employees in adjacent buildings.
(b) When explosion pressure relief venting is required, the venting area shall be calculated on one square foot for each 35 cubic feet of building or room area.
(c) Floors and work surfaces shall be constructed to facilitate cleaning and to preclude, to the extent possible, cracks and crevices in which explosive materials can lodge/accumulate. 
(d) When it is desirable to heat or cool buildings in which explosives are manufactured or charges are prepared, this shall be by steam, water, or other indirect sources. No floor registers will be permitted.
(e) All electrical wiring and equipment shall be in accordance with the Electrical Safety Orders.
(f) Bonding and grounding means shall be provided to prevent accumulation of static charges.
(g) Hydraulic or pneumatic presses and hand jacks shall be provided with pressure-relief valves so arranged and set that the material being processed will not be subjected to pressure likely to cause it to explode. Dies and plugged press equipment shall not be cleared by striking blows that may detonate or start the material burning.

Exception: Where provisions have been made to contain or preclude a fire/detonation. 
(h) Explosives dust shall not be exhausted to the atmosphere. Where vacuum dust collection systems are used, they shall be designed by a qualified person, installed and maintained commensurate with the hazards involved, incorporating the following requirements:
(1) Adequate filters shall be installed between the source vacuum and the point of pick-up to prevent explosive materials from entering the vacuum pump or exhauster.
(2) The explosive material dust collection system shall be designed to prevent pinch points threaded fittings exposed to the hazardous dust and sharp turns, dead ends, pockets, etc., in which explosive materials may lodge and accumulate outside the collecting chamber.
(3) The entire vacuum collection system shall be made electrically continuous and be grounded to a maximum resistance of 5 ohms.
(4) Chambers in which the dust is collected shall not be located in the operating area unless protective shields adequate for the maximum quantity of material in the collector are furnished for personnel protection.
(5) No more than two rooms shall be serviced by a common connection to a vacuum collection chamber. Where interconnections are used, means shall be employed to prevent propagation of an incident via the collection piping.
(6) When collecting sensitive explosive materials such as black powder, lead azide, etc., a “wet” collector which moistens the dust close to the point of intake and maintains the dust wet until removed for disposal shall be used. Wetting agents shall be compatible with the explosive materials.
(7) Explosive material dust shall be removed from the collection chamber as often as necessary to prevent overloading, but under no circumstances shall the material be left in the chamber overnight. The entire system shall be cleaned at a frequency that will eliminate hazardous concentrations of explosive material dust in pipes, tubing, and/or ducts.
(i) Squirrel cage blowers shall not be used for exhausting hazardous fumes, vapors, or gases. Only non-sparking fan blades shall be used for fans located within the ductwork and through which hazardous materials are exhausted. Motors shall be located outside the duct.
(j) Work stations for explosive materials shall be separated by distance, barrier, or other means, so fire/initiation in one station will not initiate explosive materials in the next work station. When necessary, each operator shall be protected by a protective shield located between the operator and the explosive device or explosive materials being processed. This shield shall be designed to safely withstand a blast from the maximum amount of explosive materials allowed behind it.
(k) A prototype of the shield to be used shall be tested and proven sufficient for the anticipated conditions prior to an operational model being placed in service.
(l) If the personnel protection wall for the required operation becomes so large that it is impractical, the operator shall perform the operations by remote control or be protected by a suitably constructed shelter designed with a safety factor of not less than 4 to withstand the overpressure from the maximum amount of explosive materials in process.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (f) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5329. Explosives Operations.
Note     •     History

(a) Process hazard analysis shall be performed in accordance with Section 5189 of these Orders on all operations involving explosive materials including such factors as: (1) initiation sensitivity; (2) quantity of explosive materials; (3) blast output; (4) thermal output; (5) rate of burning; (6) potential ignition and initiation sources; (7) separation barricades; (8) personal protective equipment; and, (9) personnel exposure with special consideration given to the respiratory and circulatory damage to be expected by inhalation of hot vapors and the toxicological effects due to inhalation of combustion products.
(b) Workers shall be provided protection from potential blast overpressures, hazardous fragments and thermal effects when hazard assessments indicate the probability of an accidental explosion. 
(c) A fire detection and extinguishing system that is quick-acting and of adequate capacity to extinguish potential flash fires in their incipient state shall be installed. Such system shall maximize speed of detection and application of the extinguishing agent. 
(d) The working area where the screening, grinding, blending, and other processing of static-sensitive explosive materials is done shall be maintained above 20 percent relative humidity. Except for controlled environments where it is necessary to maintain the humidity below 20%, when the relative humidity drops below 20 percent, the above operations shall be stopped and secured (personnel removed) until the relative humidity can be raised above 20 percent.
(e) Means shall be provided and used to discharge static electricity from hand trucks, buggies, and similar equipment before they enter buildings containing static-sensitive explosive materials.
(f) Bulk explosive materials shall be kept in covered containers when not being used or processed. In no case shall explosive materials be stored or transported in open containers.
(g) The quantity of explosive materials at any particular work station shall be limited in accordance with the quantity distance table in 5327, and not to exceed 4 hours supply of material or 4 hours supply of product, except that when this quantity would introduce a serious hazard, such quantities shall be limited to a lesser amount.

Exceptions: Quantities required for a unit of production for the following: 
(1) Propellant processing; 
(2) Explosive casting operations; or 
(3) Batch processing of explosive materials. 
(h) Appropriate receptacles with covers shall be provided for each station for disposing of waste material and debris. These waste receptacles shall be emptied and cleaned as often as necessary, but not less than once each day or at the end of each shift.
(i) General safety rules and operating instructions governing the particular operation or process carried on at that location, shall be available at each work station. The rules shall include requirements for bonding and grounding, compatible cleaning agents to use and other precautions deemed necessary for safe operation.
(j) Personnel and explosive load limits shall be conspicuously posted.
(k) Major repairs or changes to the building or equipment shall not be undertaken in an explosives location during regular operations without removing the explosive materials. This does not prohibit minor adjustments or emergency repairs to secure immediate safety. Before beginning repairs, the consent of the competent person in immediate charge of the building or location shall be obtained. Any other personnel in the location shall be notified of the work to be performed; the area shall be inspected for the presence of residue explosive materials and dusts; and all such material shall be removed from equipment, crevices beneath floors, from walls and pipes, and under fittings where explosive materials may accumulate. The area shall be washed down thoroughly and maintained wet during repairs. 
(l) Tools and equipment used near explosive materials shall be compatible with the explosive materials.
(m) Spilled explosive materials shall be cleaned up immediately.
(n) Shipping containers, cleaning rags, and other materials contaminated with explosive materials shall be removed daily and disposed of in a safe manner.
(o) Explosive materials shall not be placed near any source of ignition.
(p) A warning system shall be provided to alert persons approaching a hazardous operation or area. The warning system shall be activated when operations are being conducted. 
(q) Employees working in processing facilities shall wear flame retardant, non-static generating, pocketless coveralls or coats. Footwear having waffle or similar soles which can capture and retain explosive materials shall not be worn. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5330. Testing of Explosive Materials.
Note     •     History

(a) Detonation or ignition of explosive charges or pyrotechnic devices for testing shall be done only in a location isolated by distances or barriers/shelters shall be provided so all personnel will be protected.
(b) When tests are being conducted or explosive materials are being detonated, only authorized persons shall be present. Areas where explosive materials are regularly or frequently detonated or burned shall be fenced or provided with controlled access and posted with warning signs. Warning devices shall be used before burning or detonating explosive materials to warn persons who might approach from any direction that they are approaching a danger zone. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5331. Disposal of Waste Explosives and Fireworks.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 120. Blasting Agents
§5340. General.
Note     •     History

(a) Unless otherwise set forth in these Orders, blasting agents shall be transported, stored, and used in the same manner as explosive materials.
(b) Unless otherwise set forth in these Orders, water gels, slurries, and  emulsions shall be transported, stored, and used in the same manner as explosives or blasting agents in accordance with the classification of the product. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of article heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5341. Mixing of Blasting Agents--Location.
Note     •     History

(a) Buildings or other facilities used for mixing blasting agents, including mobile equipment, shall be located in accordance with the Quantity and Distance Table, Section 5252, unless the mobile equipment is in the process of loading blast holes.
(1) Smoking, matches, open flames, spark-producing devices, and firearms shall not be permitted inside of or within 50 feet of any building or facility used for the mixing of blasting agents. The land surrounding the mixing plant shall be kept clear of brush, dried grass, leaves, and other combustible materials for a distance of at least 50 feet. 
(b) If ammonium nitrate is stored at a closer distance to blasting agents than recommended by Section 5253, then 1/2 the ammonium nitrate weight shall be added to the quantity of blasting agents to calculate the total quantity involved for the application of the aforementioned table.
(c) Liquid oxidizers shall be stored in a manner to prevent them from contaminating blasting agents or fuels.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsections (b) and (c) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (c) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47). 
4. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5342. Mixing Buildings.
Note     •     History

(a) Buildings used for the mixing of blasting agents shall conform to the requirements of this section. Buildings constructed after May 21, 1971, shall be noncombustible construction or of sheet metal on wood studs.
(b) The layout of the mixing building shall provide physical separation between the finished product storage and the mixing and packaging operation in accordance with applicable intraline distances contained in Section 5327.
(c) Floors in the processing plant shall be of concrete or of nonabsorbent material and free of cracks and crevices.
(d) Floors shall be constructed to eliminate open floor drains and piping into which molten materials could flow and be confined in case of fire.
(e) Liquid fuel shall be stored outside the mix building and away from the oxidizer area. The storage area shall be designed and located in such a manner that in case of tank rupture, the oil fuel shall be retained or be drained away from the mixing plant building. The shut-off valves shall be at the tank. Suitable means shall be provided to prevent the flow of oil fuel to the mixer in case of fire. In gravity flow systems, an automatic spring-loaded shut-off valve with fusible link shall be installed.
(f) The building shall be well ventilated.

Note: The recommendation for ventilation as contained in SLP No. 1, Institute of Makers of Explosives, 1993 Edition, is evidence of good practice. 
(g) Heat shall be provided exclusively from a unit outside of the building or electric heat at a safe distance from combustible material.
(h) Personnel limits shall be established, posted, and enforced while operations involving blasting agents are underway at the mix house.
(i) Blasting agents and fuels shall be removed from the mix house and the equipment or area completely washed down before major work, other than routine maintenance, or open flame repairs are made.
(j) Before welding or repairs to hollow shafts, all oxidizer material shall be removed from the outside and inside of the shaft and the shaft vented.
(k) All internal combustion engines used for electric power generation shall be located outside the mixing plant building at least 50 feet from any opening in the building or shall be properly ventilated and isolated by a fire wall having a minimum one hour fire-resistance rating. The exhaust system on all such engines shall be equipped with a spark arrestor and shall be located so any spark emission cannot be a hazard to any material in or adjacent to the plant.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
3. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5344. Mix Room Equipment.
Note     •     History

(a) Mixing facilities shall comply with the fire prevention requirements of this Section. The mixing equipment shall be designed to minimize the possibility of friction, heating, compaction, overloading, confinement, and the accumulation of static electricity.
(b) Bearings and gears shall be of the outboard type and protected from accumulation of explosive materials.
(c) All surfaces shall be accessible for cleaning. Mixers, pumps, valves and related equipment shall be designed to permit regular and periodic flushing, cleaning, dismantling and inspection.
(d) Mixing and packaging equipment shall be constructed of materials that are compatible with blasting agents.
(e) All electrical equipment in the mixing room shall conform to the requirements of the Electrical Safety Orders. The frame of the mixer and all other equipment used shall be effectively bonded.
(f) An automatic water-deluge system with adequate capacity shall be provided to protect mixers and the finished blasting agents storage area in the plant. The floors and equipment of the mixing and packaging room shall be washed down frequently to prevent accumulation of oxidizers, fuels, or sensitizers. The entire mixing and packaging plant shall be washed down periodically to prevent excessive accumulation of dust.
(g) Empty oxidizer bags shall be disposed of daily in a safe manner.
(h) Not more than 4 hours production of blasting agents or the limit determined by the Quantity and Distance Table, TABLE EX-1, Section 5252, whichever is less, shall be permitted in or near the mixing and packaging area. The total amount of oxidizer and blasting agents in the mix house shall be considered blasting agents in process.
(i) Equipment and handling procedures shall be designed to prevent the introduction of foreign objects or materials into the mix.
(j) Each day prior to starting operations, a visual inspection shall be made of the mixing, conveying, and electrical equipment to establish that such equipment is in good operating condition. A program of systematic maintenance sufficient to maintain the equipment in proper working order shall be conducted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5345. Composition.
Note     •     History

(a) The sensitivity of the blasting agent shall be determined by means of a No. 8 test blasting cap or equivalent at regular intervals and after every change in formulation.

Note: Oxidizers of small particle size, such as crushed ammonium nitrate prills or fines, may be more sensitive than coarser products and  therefore, should be handled with greater care.
(b) No hydrocarbon liquid fuel with flash point lower than that of No. 2 diesel fuel oil (125o F minimum or legal) shall be used.
(c) Waste oil, including crankcase oil shall not be used.

Exception: The requirements of subsections (b) and (c) do not apply to compositions made under the supervision of qualified personnel capable of determining the overall hazards of the resulting product in its manufacture, storage, transportation and use. 
(d) Metal powders such as aluminum shall be kept dry and shall be stored in containers or bins which are moisture-resistant or weather-tight. Fuels shall be used in such manner as to minimize dust explosion hazards.
(e) Peroxides and chlorates shall not be used.
(f) Ingredients shall be measured or proportioned to ensure control of sensitivity and oxygen balance. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer and new section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5346. Blasting Agent Storage.
Note     •     History

(a) Blasting agents or ammonium nitrate, when stored in conjunction with explosive materials, shall be stored in the manner set forth in Article 114 for explosives. The mass of blasting agents and one-half the mass of ammonium nitrate shall be included when computing the total quantity of explosive materials for determining distance requirements.
(b) The front, both sides, and rear of the trailer or truck shall be posted with a warning sign reading: “EXPLOSIVES” in red letters, at least 4 inches high with a 5/8-inch stroke, on a white background.
(c) Blasting agents and blasting agent slurries may be stored in a noncombustible bin or tank, provided they comply with storage requirements of Article 114. All openings shall be designed to provide a tight closure and shall be locked except during use. Storage containers shall be constructed of materials compatible with the blasting agents being stored, shall be waterproof, and adequately supported and braced to withstand the combination of all loads, including impact forces arising from product movement within the bin and accidental vehicle contact. Bins containing blasting agents shall be located, with respect to inhabited buildings in accordance with Table EX-1, and with respect to other blasting agent storage and explosive storage, in conformity with Table EX-2.
(d) Good housekeeping practices shall be maintained around any bin containing ammonium nitrate or blasting agent. This includes keeping weeds and other combustible materials cleared within 50 feet of such bin. Accumulation of spilled product on the ground shall be prevented.
(e) Any electrically driven conveyors for loading or unloading bins shall conform to the requirements of the Electrical Safety Orders. They shall be designed to minimize damage from corrosion.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsections (e) and (j) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
4. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5347. Transportation of Blasting Agents.
Note     •     History

(a) Blasting agents shall be transported in compliance with Article 115.
(b) Bulk blasting agents and water gels may be transported in tank or hopper trucks provided that the pump or conveyor equipment, including electrical equipment, is equivalent to on-site mix trucks.
(c) The front, both sides, and rear of the truck or trailer shall be posted with warning signs reading: “EXPLOSIVES” in red letters at least 4 inches high, with a 5/8-inch stroke on a white background.
(d) Matches, fire arms, acids or other corrosive liquids, oils, greases or other similar hydrocarbons shall not be carried in the cargo carrying space of any vehicle containing blasting agents, unless the blasting agents are in an unopened shipping container.
(e) A bulk vehicle body for delivering and mixing blasting agents shall comply with the following:
(1) The body shall be constructed of noncombustible materials.
(2) Vehicles used to transport bulk premixed blasting agents shall have closed bodies.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) and new subsections (d) and (e) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of subsection (c) and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5348. On-Site Mixed Water Gels, Slurries, Emulsions, and Blasting Agents.
Note     •     History

(a) The composition of field mixed blasting agents and water gels shall comply with Section 5340.
(b) Liquid fuels shall be stored in separate tanks with shut-off valves. Solid fuels shall be stored in separate containers until mixed.
(c) Ingredients in themselves classified as explosive materials, shall be stored in compliance with Article 114.
(d) Liquid ammonium nitrate spills or leaks shall be cleaned up immediately.
(e) Mixing equipment shall comply with the following requirements:
(1) If electric power is used, it may be furnished by cable from an outside source or by a self-contained motor generator. In case of a self-contained power source, it shall be located at the end of the storage container opposite that which the blasting agent is discharged. It shall have adequate capacity for the loads to be expected and be equipped with suitable overload protection devices.
(2) Electric wiring and motors shall conform to the requirements of the Electrical Safety Orders.
(3) All exposed metal parts, electric equipment and personnel shall be placed at the same potential by electrical bonding.
(4) All moving parts of the mixing system shall be designed to prevent a heat build up. Shafts or axles which contact the product shall have outboard bearings with one-inch minimum clearance between the bearings and the outside of the product container. Particular attention shall be given to the clearances on all moving parts.
(5) Mixing equipment and other transfer equipment shall be compatible with blasting agents.
(f) Sensitized blasting agents shall not be pulverized or crushed.
(g) Each mixer unit shall be equipped with an operable, UL approved fire extinguisher, 4-A:20-B:C or equivalent.
(h) All unused explosives shall be returned to their proper magazines or designated storage area, upon completion of loading operations.
(i) A warning sign shall be posted on the front, sides, and rear of the mixing unit reading: “EXPLOSIVES” in red letters at least 4 inches high, with a 5/8-inch stroke, on a white background.
(j) Repairs to bulk delivery and/or mixing vehicles shall conform with the following requirements:
(1) No welding or open flames shall be used on or around any part of the delivery equipment unless it has been completely washed down and all oxidizer material removed.
(2) Before welding or repairs to hollow loading shafts, the shaft shall be thoroughly cleaned inside and out and vented.
(k) The entire loading and mixing equipment shall be cleaned to prevent hazardous accumulations of ingredients and before open flame work is performed on the unit.
(l) Intransit mixing of blasting agents shall not be performed.
(m) The operator shall be trained in the safe operation of the vehicle together with its mixing, conveying, and related equipment and shall be familiar with the commodities being delivered and the general procedure for handling emergency situations.
(n) Caution shall be exercised in the movement of the vehicle in the blasting area to avoid driving the vehicle over or dragging hoses over firing lines, detonator wires, or explosive materials. The driver in moving the vehicle shall obtain the assistance of a second person to guide the movements.
(o) The location chosen for water gel or ingredient transfer from a support vehicle into the borehole loading vehicle shall be away from the blast hole site when the bore holes are loaded or in the process of being loaded.
(p) No person shall smoke, carry matches or any flame-producing device, or carry any fire arms while in or about bulk vehicles effecting the mixing transfer or down-the-hole loading of blasting agents at or near the blasting site.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment of subsection (d) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47). 
3. Amendment of section heading and section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 121. Snow Avalanche Blasting
§5349. Scope.
Note     •     History

The provisions found in Article 121, Snow Avalanche Blasting, shall only pertain to snow avalanche control operations, and shall take precedence when in conflict with other applicable safety orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5350. Training.
Note     •     History

(a) The avalanche blasting crewmembers shall be adequately trained in the explosives and the deployment method(s) used.
(b) Training for members of the blasting crew shall ensure competence in the following areas:
(1) A general knowledge of explosive materials, history of their development, their properties and requirements for their safe use and management;
(2) Assembly procedures for the type of charge(s) used;
(3) Arming procedures for the type of charge(s) used, including:
(A) Clearing adjacent areas pursuant to requirements in Section 5355.1(a)(1) and (3),
(4) Transportation procedures to blast site for the type of charge(s) used pursuant to requirements in Section 5356;
(5) Deployment procedures for the type of charge(s) used including:
(A) Use of igniters;
(B) Determining successful initiation or misfire of fuse;
(C) Procedures for clearing and guarding the ski lifts, blasting areas, slopes, and runout zones pursuant to requirements in Section 5356(c)(5), Section 5357(a)(2), Section 5357(b)(6) and Section 5357(e)(3) where applicable.
(6) Disarming procedures and the management of misfires for the type of charge(s) used including:
(A) Disarming of misfired charges pursuant to Section 5358;
(B) Timed disarming practice of misfired handcharges to meet requirements of Section 5358(h),
(7) Emergency operations and rescue procedures.
(8) The work stoppage procedures during lightning storm danger pursuant to Section 5245.
(9) A knowledge of all applicable safety orders in Group 18 including this Article.
(c) Training shall include practical field experience to ensure that the conditions and hazards encountered during inclement weather blasting are known factors.
(d) The employer shall make a copy of these orders available to the blaster.
(e) Essential personnel, as defined in the Note in Section 5355.1(a), other than avalanche blasting crewmembers, shall be adequately trained and competent in their blasting related duties and in the following: 
(1) A general knowledge of explosive materials, history of their development, their properties and requirements for their safe use and management;
(2) Clearing adjacent areas pursuant to requirements in Sections 5355.1(a)(1) and (3), Section 5356(c)(5), Section 5357(a)(2), Section 5357(b)(6) and Section 5357(e)(3) where applicable;
(3) Transportation procedures to blast site for the type of charge(s) used pursuant to requirements in Section 5356;
(4) Emergency operations and rescue procedures;
(5) The work stoppage procedures during lightning storm danger pursuant to Section 5245.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5351. Snow Avalanche Blasting Crew.
Note     •     History

(a) The employer shall ensure that activities of all avalanche blasting crews shall be approved, managed, and coordinated by an avalanche control coordinator, who is a licensed avalanche blaster pursuant to Section 344.20. 
(b) The employer shall ensure that each avalanche blasting crew shall have a designated “blaster in charge,” who is a licensed avalanche blaster pursuant to Section 344.20.
(c) The blaster in charge shall be responsible for all phases of preparation, coordination, and placement of charges by the avalanche blasting crew.
(d) Each avalanche blasting crew shall consist of at least one licensed avalanche blaster and at least one trained assistant or a blaster in training.
(e) Personnel in training shall only participate in the handling and use of explosives when authorized and under the direct supervision of a licensed avalanche blaster.
(f) The employer shall ensure that all members of the avalanche blasting crew are competent ski mountaineers in good physical and mental condition.
(g) Constant communication shall be maintained during avalanche control activities as follows:
(1) All crewmembers shall maintain voice communication with other members of the avalanche blasting crew;
(2) All crewmembers shall maintain visual contact or awareness of physical location of crewmembers at all times;
(3) All crewmembers shall be equipped for continuous two-way communications with the avalanche control coordinator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5352. Explosives.
Note     •     History

(a) Explosives used in avalanche control shall have a safe shelf life of at least one avalanche control season while in the storage facilities.
(b) Explosives used in avalanche control shall have excellent weather resistance, or shall be recommended for avalanche control by the manufacturer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5353. Detonating Systems.
Note     •     History

(a) Detonating systems for hand-placed or hand-thrown charges.
(1) The initiation system on single-unit handcharges shall consist of a fuse cap, safety fuse, and a fuse igniter or a non-electric shock tube initiation system. 
(2) Multiple units combined to form a single handcharge may use the above initiation systems or an appropriate detonating cord system.
(3) No other initiation system shall be permitted unless accepted by the Division as providing equivalent safety to the detonating systems allowed under subsections (a)(1) and (2). 
(b) Detonating systems for multiple charge blasting.
(1) Detonating cord or non-electric shock tube shall be used to connect multiple charge blasts.
(2) After all charges are placed, connected to the detonating cord, and the charges are ready, a capped fuse, or a non-electric shock tube initiation system shall be attached to the detonating cord.
(c) Appropriate fuse caps, for a particular explosive, shall be used. 
(d) Safety Fuses.
(1) Water resistant safety fuse shall be used in snow avalanche blasting.
(2) The average burning rate per foot of safety fuse used shall be determined by burning not less than three, 3-foot lengths of such fuse. Safety fuse which varies more than 10 percent from the manufacturer's stated burning rate shall not be used.
(3) Prior to use, the average burning rate shall be re-determined as required by subsection (d)(2), if the roll of safety fuse has not been fully used and is stored for future use after blasting has been completed.
(4) A notice shall be conspicuously displayed at the work location stating the burning rate of safety fuse used.
(5) Safety fuse shall be of sufficient length to provide a minimum burning time of 90 seconds from ignition to detonation.
(6) Cut ends of fuses shall be protected from weather and physical damage.
(7) Damaged safety fuse shall not be used.
(e) Cap and Fuse Assembly.
(1) The caps and fuses shall be assembled in a warm, dry, well-lighted environment.
(2) The location used for assembly shall not have flammable and combustible liquids, flammable gases, or explosives present where accidental detonation of the caps could create a secondary ignition or detonation hazard.
(3) Caps shall only be crimped to the fuse with a crimping tool approved for that purpose.
(f) Fuse Igniter.
(1) A fuse igniter, designed for that purpose, shall be used for lighting safety fuse.
(2) The fuse igniter shall not be attached to the safety fuse until immediately prior to time of ignition.
(3) The fuse igniter shall not be installed on a damaged fuse.
(g) Appropriate eye protection shall be worn pursuant to Section 3382 when handling or using detonating systems or their components.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5354. Storage of Explosives and Handcharges.
Note     •     History

(a) The storage of explosive materials used in avalanche control practices shall comply with Article 114 of these Orders.
(b) Explosive materials shall be stored inside the manufacturer's original shipping containers.

Exception: Fuse caps and capped fuses stored in containers provided with sufficient padding that will reduce or minimize the potential for shock-induced detonation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5355. Arming Explosive Charges.
Note     •     History

(a) General Requirements. 
(1) Charges shall be armed (assembled or combined with detonators) at the point of deployment or in a safe, dry location as close to the deployment area as possible. 
(2) Explosives and blasting agents shall not be armed in any occupied area or building.
(3) If no such facility exists near the deployment area, charges may be armed at the bottom of the slope in an arming room that meets requirements in Section 5355.1.
(b) Method I. Handcharge Arming at the Deployment Site.
(1) The capped fuse shall be inserted in the explosive charge at the deployment site.
(2) The initiation system shall consist of a fuse cap and water resistant safety fuse, or detonating cord, or non-electric shock-tube assembled as recommended by the manufacturer.
(3) Fuse caps shall be attached to correct length fuses prior to being transported to control routes.
(4) No spark-producing metal tools shall be used to open explosives containers.
(5) Only non-sparking implements shall be used to punch holes in an explosives cartridge.
(6) Disbursement of explosive materials from the storage magazine shall be done outside the storage magazine. Records shall be maintained for all explosives disbursed in accordance with Section 5251(n) of these Orders.
(7) Fuse caps, capped fuses, armed handcharges, or fuse igniters shall not be allowed in any magazine storing explosives.
(c) Method II. Handcharge Arming Inside an Arming Room. Method II is different from Method I in that the capped fuse is inserted in the explosive charge inside an arming room. The assembly procedure of Method II shall include requirements of subsection (b) and the following:
(1) No other explosive materials shall be present when fuse caps and fuses are being assembled in the arming room;
(2) The handcharges shall not be armed until just before the intended time of distribution;
(3) The capped fuse shall be laced or taped in position after inserting the cap in the charge;
(4) Each handcharge shall be placed in an explosives box or avalanche blasting pack immediately after assembly is completed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
2. Repealer and new section heading and section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5355.1. Arming Room.
Note     •     History

(a) Location of Arming Room.
(1) During arming procedures the arming room shall be located and separated from any building or structure occupied by the public or non-essential personnel the equivalent distance required by the Table of Distances in Article 114 of these Orders, for the maximum amount of explosives that will be allowed in the arming room at any time.
(2) The quantity of explosives used to determine the distances shall be the maximum amount that will be allowed in the arming room at any time.
(3) Only authorized and essential personnel to the operation shall be allowed within the arming room and within the equivalent distance to occupied structures required by the Table of Distances for the amount of explosives present.

NOTE: Essential personnel are those individuals directly involved with the arming, the deployment of charges, transportation and site clearing to facilitate transportation. Non-essential personnel are all other individuals.
(b) Arming Room Construction.
(1) Interior of the arming room shall be finished and equipped to the following minimum requirements:
(A) The walls shall be of a smooth finish without cracks or crevices with all nails, screws, bolts and nuts countersunk. Exposed metal or materials capable of emitting sparks shall be covered so as not to come in contact with packages of explosive materials;
(B) The floors shall be constructed of, or covered with, a non-sparking material;
(C) The building and arming room shall be well ventilated, and the ventilation system shall discharge to the outside from the arming room;
(D) The arming table shall be constructed of non-sparking, nonconductive material; 
(c) Arming Room Restrictions.
(1) Heating units shall be explosion proof, dust-proof and not depend on a combustion process when properly designed and located. Explosion proof and dust-proof heating units rated for Class II, Division I, Hazardous Locations, pursuant to Article 59, of the Electrical Safety Orders, may be used inside arming rooms.
(2) Temperature control devices shall be adequately designed to prevent overheating of arming rooms when explosives are present.
(3) Lighting fixtures and all wiring shall meet, or shall be equivalent to the requirements for Class II, Division I, Hazardous Location, pursuant to Article 59, of the Electrical Safety Orders, and shall be located a minimum of 5 feet from the explosives. Mine Safety and Health Administration-permissible portable lighting may be used.
(4) All electric control switches, outlet boxes and junction boxes shall be located outside the arming room.
(5) Smoking, matches, open flames, or flame or spark producing devices shall not be permitted inside the arming room.
(6) Flammable and combustible liquids or flammable compressed gases shall not be used or stored in the arming room.
(7) Occupancy of arming room shall be limited to authorized and trained personnel when explosives are present. Trainees shall be permitted in the arming room under the direct personal supervision of a licensed avalanche blaster.
(8) The arming room shall not be used for storage of explosives, detonator systems, or components.

Exception: A maximum total of 5000 caps and capped fuses may be stored in the arming room inside a separate Type 2 magazine. The Type 2 magazine shall be located within 10 feet from an outside exit door at grade level.
(d) Arming Room Housekeeping.
(1) The arming room shall be kept clean and orderly. 
(2) Only non-sparking tools and devices shall be used or stored in the arming room.
(3) Brooms used in the arming room shall be made of non-sparking materials.
(4) Sweepings and empty explosive material containers shall be disposed of as recommended by the manufacturer.
(5) The arming room shall be cleaned and all explosive materials shall be removed upon completion of daily arming activities except as provided in the subsection (8) exception. The arming room shall be cleaned and all explosive materials shall be removed when any repairs are made to the arming room.
(6) The arming table or bench shall be cleaned regularly and shall be kept free of any materials or tools not used in the assembly of the charges.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5356. Transporting Explosives and Handcharges.
Note     •     History

(a) Explosive materials shall be transported on public roads or highways in compliance with the United States Department of Transportation standards. 
(b) When explosives or explosives components are transported in or on any vehicle powered by an internal combustion engine, provisions shall be made to ensure that said explosives or containers cannot come into contact with the hot exhaust system.
(c) Armed charges may be transported to the deployment area by ski lift with the following restrictions:
(1) Only the ski lift operator and the deployment crew shall ride the ski lifts;
(2) A ski lift chair shall carry a blasting crew of no more then two persons and a maximum of 90 pounds explosive materials;
(3) Blasting crews carrying explosive materials shall be separated from other crews or personnel by a minimum of 300 feet when riding the ski lift;
(4) The ski lift operator and blasting crew shall be in direct communication at all times; 
(5) The ski lift and slope shall be closed to the public and non-essential personnel. 
(d) Handcharges and explosive materials shall be transported in the following:
(1) Avalanche blasting packs; 
(2) Type 3 magazines; or 
(3) The original shipping containers. 

Exception: Fuse caps and capped fuses may be transported in padded shields or equivalent that will reduce or minimize the potential for shock induced detonation.
(e) Criteria for Avalanche Blasting Packs.
(1) The pack shall be constructed of water resistant, non-sparking and non-conductive material, or shall be treated to meet these requirements.
(2) The treatment of the avalanche blasting packs pursuant to subsection (e)(1) shall be according to manufacturer's recommendations. 
(3) Packs shall be constructed with sufficient individual compartments to separate handcharges or explosives components from tools or other equipment or supplies which may be carried in the pack.
(4) Each compartment used for handcharges or explosives components shall have an independent closure means.
(f) Use of Avalanche Blasting Packs.
(1) Packs shall be inspected daily, prior to loading, for holes or faulty compartment closures. Defective packs shall not be used until repaired.
(2) Tools or other materials shall not be placed in any compartment which contains handcharges or explosives components.
(3) Fuse igniters shall be carried in a container or pouch completely separate from the blasting pack when the blasting pack contains handcharges, capped fuses, or other explosives components. Such container or pouch may be attached to the front of the blasting pack harness.
(4) Handcharges or explosives components shall not be stored or left unattended in avalanche blasting packs. 
(5) Individual blasting team members shall not carry more than forty-five pounds of explosive materials in avalanche blasting packs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c), new subsection (d) and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
2. Amendment of subsection (b) and new subsection (e) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
3. Repealer and new section heading and section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5357. Snow Avalanche Control Blasting.
Note     •     History

(a) General Requirements. 
(1) All avalanche blasting shall be conducted under the attended supervision of the blaster in charge who is a licensed avalanche blaster, certified by the Division to perform such blasting activities.
(2) When avalanche blasting is deemed necessary, slopes and trails in the potential avalanche path (runout zone) and ski lifts shall be closed to the public and non-essential personnel and not be opened until the work is completed.
(3) To insure a dry powder train is exposed to the igniter, at least 1 inch of fuse shall be cut from the fuse prior to attaching the igniter. A cutter with sharp blades shall be used to prevent smearing of tar over the powder train.
(4) Charges shall be placed, thrown or propelled to the desired location from a safe position by one of the following methods:
(A) Hand deployed pursuant to subsection (b);
(B) Deployed from a ski lift or tram pursuant to subsection (c) if there is no safe approach to the desired location from the ground;
(C) Deployed from helicopters pursuant to subsection (d) if there is no safe approach to the desired location from the ground;
(D) Deployed from an avalauncher/launcher pursuant to subsection (e); 
(E) Deployed from such remote control devices accepted by the Division as providing equivalent safety to the remote control devices allowed under subsection (e).
(5) Avalanche blasting shall be conducted during daylight hours, except during emergency operations. 
(6) Avalanche blasting shall not be conducted during conditions where the blaster cannot determine whether the fuse is lit, or clearly identify the location of the target area for the detonation of the charge.
(b) Hand Deployed Charges.
(1) A blaster shall only work with one handcharge at a time.
(2) When placing a handcharge on or in the snow, the crewmember shall be belayed from behind when necessary. 
(3) The handcharge shall be lowered by rope, cord or a long pole to the designated location when there is danger that the charge may slide downhill. 
(4) Before attaching the igniter, the blaster shall:
(A) Determine the deployment target;
(B) Check the runout zone for personnel;
(C) Check the blast area for personnel;
(5) When the blast area and runout zone are clear, the igniter shall be attached to the safety fuse and immediately activated and the charge deployed within 20 seconds of attaching the igniter onto the fuse.
(6) Avalanche blasting crewmembers shall seek a position of safety behind a pre-selected terrain barrier or a position not less than 100 feet from the ignited charge.
(7) At the completion of individual avalanche control routes, unused charges shall be deployed or disarmed pursuant to Section 5358(h)(1) and all components transported and returned to approved storage magazines pursuant to requirements in Article 121. 

Exception: Unused charges that are immediately required for deployment at another location.
(c) Handcharges deployed from ski lifts or trams.
(1) The number of charges thrown from ski lifts or trams shall be kept to a minimum.
(2) The ski lift operating crew shall be informed of the blasting plans.
(3) The ski lift crew shall stand by, in full readiness, for emergency procedures such as the transfer of the ski lift operation to auxiliary power, evacuation, activation of emergency medical system, etc.
(4) The ski lift crew and the blaster in charge shall be in direct radio contact at all times during the blasting operations.
(5) The blasting operations shall comply with requirements of Section 5356(c).
(6) Explosive charges shall be armed prior to entering the lift or tram and shall be adequately protected from impact, vibration, jarring, high temperatures, and electrical currents until deployed. 
(7) The avalanche blasting crew shall be traveling up-slope when a charge is thrown.
(8) A charge shall always be thrown down slope and to the side, away from towers, haul ropes, ski lift equipment, moving chairs, cables and other equipment or facilities.
(9) The minimum distance from the blast target to the closest point of the ski lift shall be sixty feet.
(10) Handcharges shall not exceed 4.5 pounds of TNT equivalent.
(11) Fuses shall be of such length that all personnel on the ski lift shall have moved a minimum of three hundred feet from the blast target by the time of detonation, and provide a minimum burning time of 90 seconds from ignition to detonation.
(12) Personnel shall be protected from flying rock and other debris.
(d) Handcharges thrown from a helicopter.
(1) All helicopter operations shall comply with the requirements of Article 35 of the Construction Safety Orders.
(2) Blasting from a helicopter shall be conducted by a licensed avalanche blaster.
(3) The employer shall prepare a written safety plan before each blasting activity shall commence. The safety plan shall include the following:
(A) Procedures to be followed, including provisions for safety in the avalanche runout zone and emergency rescue plans;
(B) Handcharge arming and handling procedures;
(C) The type of explosives to be used;
(D) The qualifications of all personnel involved;
(E) The locations and conditions under which helicopter blasting is to take place.
(4) The employer shall comply with the written safety plan, and shall provide a copy of the safety plan to the Division's Mining and Tunneling Unit before blasting can commence.
(e) Avalauncher/Launcher requirements.
(1) The operation of an avalauncher/launcher shall be under the direct supervision of an authorized, licensed avalanche blaster certified for propelled operation.
(2) Only trained and authorized personnel shall be permitted to operate an avalauncher/launcher. 
(3) During loading and firing of explosive rounds, the firing crew shall consist of the blaster in charge, one trained operator, and/or one blaster in training. All other personnel shall be removed to a minimum of 100 feet from the avalauncher/launcher before firing can commence.
(4) All equipment shall be in good working condition, and shall be assembled, maintained, and operated in accordance with the manufacturer's instructions at the launch site.
(5) The components of projectile assemblies shall not be interchanged, and shall be assembled at the launch site and used in accordance with the manufacturer's instructions.
(6) The projectiles shall be inspected before transport to the avalauncher site to ensure proper working condition, and shall be free from damage, obstructions, dirt and debris.
(7) Defective projectiles shall not be used and shall be properly disposed of or returned to the manufacturer.
(8) The projectile's safety devices or components shall not be removed, unless recommended by the manufacturer, and then only immediately prior to inserting the projectile into the barrel.
(9) The operator, and at least one other member of the firing crew shall check the vertical, horizontal (altitude & azimuth), and pressure settings of the avalauncher before each shot is fired.
(10) Operators shall attempt to determine and record whether or not each round which is fired actually explodes on contact.
(11) The approximate location of all known or suspected misfires shall be recorded.
(12) Firing of explosive avalauncher/launcher rounds shall only be conducted when personnel are not in the target area.
(13) The avalauncher/launcher apparatus shall be stored in a nonfunctional condition when not in use, or shall be locked securely to prevent unauthorized use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
2. Amendment of subsection (a) and new subsections (a)(1)-(2) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
3. Repealer and new section heading and section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
§5358. Management of Misfires.
Note     •     History

The following requirements shall apply to all avalanche blasting:
(a) Each person who deploys a charge with any kind of apparatus shall record whether or not the charge actually detonates pursuant to subsection (i);
(b) A conscientious effort shall be made to retrieve all misfires; 
(c) Where a deployed charge is suspected of misfire, the slope shall remain closed and the licensed blaster shall wait at least thirty minutes before approaching the blast site. After the thirty minutes has elapsed, one of the following shall be accomplished to abate the condition:
(1) Rearm the misfired charge and detonate.
(2) Place another charge alongside the misfired charge and detonate.
(3) Retrieve and disarm the misfired handcharge in accordance with subsection (h), and the misfired avalauncher/launcher charges in accordance with manufacturer's recommendations.
(d) If subsections (c)(1), (c)(2), or (c)(3) above are not immediately possible due to terrain or storm conditions, the location of the misfire shall be carefully documented and marked so a search for the misfire can be undertaken as soon as conditions permit. 
(e) When searching for a misfire on an uncontrolled avalanche slope (a slope which has not released), the procedures used shall be consistent with good mountaineering practices.
(f) Any misfire which is aflame or emitting smoke shall not be approached for at least one hour after evidence of combustion ceases.
(g) When a fuse of a handcharge does not light properly on the first attempt, it shall be considered a misfire and no further attempt shall be made to light it. The resulting misfire shall be deployed, and recovered pursuant to subsection (c), or disarmed pursuant to subsection (h).
(h) If a misfire occurs before a charge is deployed, a licensed blaster may disarm the armed handcharge as follows:
(1) The blaster shall disarm the misfired charge within 20 seconds after the igniter has been installed on the fuse end;
(2) The capped fuse shall be carefully removed from the cartridge avoiding any excessive twisting or pulling force; 
(3) After the capped fuse is removed from the cartridge pursuant to subsection (h)(2), the cap shall be cut from the fuse assembly as close to the cap as possible or the capped fuse shall be placed in a safe location for later retrieval;
(4) The cap shall be protected and separately transported to a safe area or destroyed by attaching it to another handcharge for immediate deployment.
(i) Records.
(1) Accurate records shall be maintained for every explosive device which does not detonate, and shall be made available to the Division upon request.
(2) Misfire records shall include the following information:
(A) The suspected location;
(B) A description and type of charge;
(C) The date the misfire occurred;
(D) The date the misfire was found and disposed of.
(E) Determination of the cause of the misfire. 
(j) Misfire warning signs.
(1) Ski area operations which use any form of explosive device for avalanche blasting shall display warning and information placards and/or signs.
(2) Signs shall be posted at readily visible locations and in such a manner as to give both employees and the public ample opportunity to be informed of the potential existence of misfire avalanche charges. Sign locations shall include, but are not limited to:
(A) Ticket sales and ski lift loading areas;
(B) Food and beverage service facilities;
(C) Restrooms and locker rooms;
(D) Safety bulletin boards;
(E) Along general access routes.
(3) Signs shall be distinctive in appearance from the surrounding background where they are posted.
(4) Signs shall be maintained in legible condition.
(5) Signs shall include the following information:
(A) The word “warning” or “danger” at the top of the sign in the largest lettering on the sign;
(B) Sign wording indicating that unexploded explosives could be encountered;
(C) A colored pictorial illustration which also provides information on dimensions of each type of explosive device used in the area;
(D) The sign wording shall conclude with specific instructions to be followed by anyone who locates an unexploded explosive device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of first paragraph and subsection (d) and new Note filed 9-24-97; operative 10-24-97 (Register 97, No. 39).
2. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
3. Repealer and new section heading and amendment of section filed 10-10-2007; operative 11-9-2007 (Register 2007, No. 41).
Article 122. Ammonium Nitrate Storage
§5359. Scope.
Note     •     History

(a) This Article applies to storing, having or keeping ammonium nitrate in quantities of 1,000 pounds or more. 
(b) Except as provided in subsection (c), this Section applies to the storage of ammonium nitrate in the form of crystals, flakes, grains or prills including fertilizer grade, dynamite grade, nitrous oxide grade, technical grade and other mixtures containing 60 percent or more ammonium nitrate by weight but does not apply to blasting agents.
(c) The storage of ammonium nitrate and ammonium nitrate mixtures which are more sensitive than allowed by the Fertilizer Institute's publication, “Definition and Test Procedures for Ammonium Nitrate Fertilizer”, dated August 1984, pages 1 - 12, which is hereby incorporated by reference, shall be stored in accordance with TABLE EX-1 in Section 5252.
Note: For further guidance see:
“Definition and Test Procedures for Ammonium Nitrate Fertilizer” available from The Fertilizer Institute, 501 2nd Street, N.E., Washington, D.C. 20002. This definition limits the contents of organic materials, metals, sulfur, etc., in a product that may be classified ammonium nitrate fertilizer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 122 ( §§ 5359-5363) filed 10-17-75; effective thirtieth day thereafter (Register 75, No 42).
2. Amendment of subsection (b) filed 12-19-75 as procedural and organizational; effective upon filing (Register 75, No. 51).
3. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
4. Amendment of subsection (c) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
5. Amendment of section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5360. Storage.
Note     •     History

(a) Ammonium nitrate shall be in a separate building or shall be separated by fire walls constructed to be of not less than one hour fire-resistance rating from storage of organic chemicals, acids or other corrosive materials, materials that may require blasting during processing or handling, compressed flammable gases, flammable and combustible materials or other contaminating substances. Walls referred to in this Section need extend only to the underside of the roof. In lieu of separation walls, ammonium nitrate may be separated from these materials by a space of at least 30 feet and if necessary, sills or curbs shall be provided to prevent mixing.
(b) Flammable and combustible liquids such as gasoline, kerosene, solvents and light fuel oils shall not be stored on the premises except when such storage conforms to Articles 135 and 141 of these orders and when walls and sills or curbs are provided in accordance with subsection (a) of this Section.
(c) Sulfur and finely divided metals shall not be stored in the same building with ammonium nitrate except when such storage conforms to the requirements of subsection (a) of this Section.
(d) Explosive materials shall not be stored in the same building with ammonium nitrate except on the premises of makers, distributors and user-compounders of explosive materials.
(e) Quantities of 2,500 tons or more of bagged ammonium nitrate shall not be stored in buildings or structures unless equipped with automatic sprinkler systems. Sprinkler protection shall be required for the storage of less than 2,500 tons of ammonium nitrate where location of the building or the presence of other stored materials presents a fire or detonation hazard. Sprinkler systems shall be of approved type and installed in accordance with Article 159.
(f) Suitable fire control devices complying with Articles 157 and/or 158 shall be provided throughout the warehouse and in the loading dock areas.
(g) Where required by local fire authorities or the State Fire Marshal, lightning strike protection shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (b) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
3. New subsection (f)(1) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
4. Editorial correction of subsections (f)(1) and (g) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45). 
5. Amendment of section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5361. Structures.
Note     •     History

(a) Ammonium nitrate storage buildings shall be only one-story buildings without basements. 
(b) Storage buildings shall have adequate ventilation or be capable of adequate ventilation in the event of fire.
(c) The wall on the exposed side of a storage building within 50 feet of a combustible building, forest, piles of combustible materials and similar exposure hazards shall be of fire-resistive construction. In lieu of the fire-resistive wall, other suitable means of exposure protection such as a free standing wall may be used.
(d) All flooring in storage and handling areas shall be of noncombustible material or protected against impregnation by ammonium nitrate and shall be without open drains, traps, tunnels, pits or pockets into which any molten ammonium nitrate could flow and be confined in the event of fire.
(e) Buildings and structures shall be dry and free from water seepage through the roof, walls and floors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment of subsections (a), (b) and (e) and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5362. Container Storage.
Note     •     History

(a) Bags and containers used for ammonium nitrate shall comply with specifications and standards required for use in interstate commerce.
(b) Containers of ammonium nitrate shall not be accepted for storage when the temperature of the ammonium nitrate exceeds 130o F.

Exception: Containers used on the premises in the manufacturing or processing need not comply with the provisions of subsections (a) or (b). 
(c) Bags of ammonium nitrate shall not be stored within 30 inches of the storage building walls and partitions.
(d) The height of stacked bags shall not exceed 20 feet. The width of the stacked bags shall not exceed 20 feet and the length 50 feet except that where the building is of noncombustible construction or is protected by automatic sprinklers the length of piles shall not be limited. In no case shall the ammonium nitrate be stacked closer than 36 inches below the roof or supporting and spreader beams overhead.
(e) Aisles shall be provided to separate piles by a clear space of not less than 3 feet in width. At least one service or main aisle in the storage area shall be not less than 4 feet in width. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5363. Bulk Storage.
Note     •     History

(a) Bulk storage may be in piles or bins in warehouses, or in separate, bin-type structures.
(b) Unless constructed of noncombustible material or unless adequate facilities for fighting a roof fire are available, bulk storage structures shall not exceed a height of 40 feet.
(c) Bins shall be free of materials which may contaminate ammonium nitrate.
(d) Due to the corrosive and reactive properties of ammonium nitrate, and to avoid contamination, galvanized iron, copper, lead and zinc shall not be used in bin construction unless suitably protected. Aluminum bins, and wooden bins protected against impregnation by ammonium nitrate, are permissible.
Note: Steel or wood can be protected by special coatings such as sodium silicate (water glass), or epoxy coatings, or polyvinyl chloride coatings.
(e) The warehouse may be subdivided into any desired number of ammonium nitrate storage compartments or bins. The partitions dividing the ammonium nitrate storage from the storage of other products which would contaminate the ammonium nitrate shall be of tight construction to eliminate cracks or crevices.
(f) The ammonium nitrate storage bins or piles shall be clearly identified by signs reading: “AMMONIUM NITRATE” with letters at least 2 inches high.
(g) Piles or bins shall be so sized and arranged that all material in the pile is moved out periodically in order to minimize possible caking of the stored ammonium nitrate.
(h) Height or depth of piles shall be limited by the pressure-setting (caking) tendency of the product. However, in no case shall the ammonium nitrate be piled higher at any point than 36 inches below the roof or supporting and spreader beams overhead.
Note: Pressure-setting (caking) is a factor affected by humidity and temperature in the storage space and by pellet quality. Temperature cycles through 90o F. and high atmospheric humidity are undesirable for storage in depth.
(i) Ammonium nitrate shall not be accepted for storage when the temperature of the product exceeds 130o F.

Exception: Manufacturing or processing. 
(j) Explosive materials shall not be used to break up or loosen the caked, bagged, or bulk ammonium nitrate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 123. Small Arms Ammunition, Small Arms Ammunition Primers, Smokeless Propellants, and Black Powder Propellants
§5370. Scope.
Note     •     History

The provisions of this Article apply to the channels of distribution of and to the users of small arms ammunition, small arms ammunition primers, smokeless propellants, and black powder propellants. They do not apply to in-process storage and intra-plant transportation during manufacture.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 123 ( § 5370) and new Article 123 ( §§ 5370-5374) filed 10-17-75; effective thirtieth day thereafter (Register 75, No. 42).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of article heading, section and Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5371. Small Arms Ammunition.
Note     •     History

(a) Small arms ammunition shall be separated from flammable liquids, flammable solids and oxidizing materials by a fire-resistant wall of one-hour rating or by a distance of 25 feet.
(b) Small arms ammunition shall not be stored together with high explosive materials unless the storage facility is adequate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5372. Smokeless Propellants.
Note     •     History

(a) All smokeless propellants shall be stored in shipping containers except as noted in subsection (b).
(b) Commercial stocks of smokeless propellants shall be stored as follows:
(1) In quantities over 20 pounds and not more than 110 pounds, they shall be stored in portable wooden boxes having walls of at least 1-inch thickness.
(2) In quantities over 100 pounds and not more than 750 pounds, they shall be stored in nonportable storage cabinets having wooden walls of at least 1-inch thickness or other non-sparking material of equivalent strength. Not more than 400 pounds shall be permitted in any one cabinet.
(c) Commercial stocks in excess of 750 pounds and not more than 5,000 pounds may be stored in a building if all of the following requirements are met:
(1) The warehouse or storage room is not accessible to unauthorized personnel.
(2) The smokeless propellant stocks are stored in nonportable storage cabinets having wooden walls at least 1-inch thick and having shelves with not more than a 3-foot separation between shelves.
(3) Not more than 400 pounds is permitted in any one cabinet.
(4) Cabinets are located only against walls of the storage room or warehouse with a minimum distance between cabinets of 40 feet.
(5) Separation distance between cabinets may be reduced to 20 feet if barricades: 
(A) are attached to the wall and are at least twice the height of the cabinet; 
(B) are centered between cabinets and extend at least 10  feet beyond the wall toward the center of the room; 
(C) are constructed of at least 2-inch thick lumber, brick, or concrete block or steel plate at least 1/4-inch thick, or of equivalent materials; and 
(D) are firmly attached to the building structure at both ends.
(6) Smokeless propellant is separated by a fire-resistive wall of 1-hour rating or by a distance of 25 feet from materials classified by the U.S. Department of Transportation as flammable liquids, flammable solids and oxidizing materials.
(7) The building is equipped with an automatic sprinkler system installed in compliance with Article 159.
(d) Commercial stocks of smokeless propellant not stored in accordance with subsections (b), and (c) of this Section, whichever applies, shall be stored in a magazine constructed and located as specified in Article 114.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer of subsection (b) and consecutive relettering of subsections (c)-(e) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
3. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5373. Black Powder Propellants.
Note     •     History

(a) All black powder propellants shall be stored in shipping containers approved by the U.S. Department of Transportation.
(b) Quantities of black powder propellant in excess of 50 pounds shall be stored in an outdoor magazine.
(c) If smokeless propellants are stored in the same magazine with black powder propellants, the total quantity shall not exceed that permitted for black powder propellants.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (b) and (c), subsection relettering and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§5374. Small Arms Ammunition Primers.
Note     •     History

(a) Small arms ammunition primers shall not be transported or stored except in the original shipping containers.
(b) Small arms ammunition primers shall be separated from flammable liquids, flammable solids and oxidizing materials by a fire-resistive wall of one-hour rating or by a distance of 25 feet.
(c) Quantities up to 750,000 small arms ammunition primers may be stored in a building if not more than 100,000 are stored in any one pile and piles are at least 15 feet apart.
(d) Quantities in excess of 750,000 small arms ammunition primers may be stored in a building if all of the following conditions are met:
(1) The warehouse or storage room is not accessible to unauthorized personnel.
(2) The primers shall be stored in cabinets.
(3) Shelves of storage cabinets shall not have more than a 2-foot vertical separation.
(4) Not more than 200,000 primers shall be stored in one cabinet.
(5) Cabinets shall be located only against walls of the warehouse or storage room with a minimum distance between cabinets of 40 feet.
(6) Separation distance between cabinets may be reduced to 20 feet if barricades are attached to the wall and are at least twice the height of cabinets. Barricades shall be centered between cabinets and shall extend at least 10 feet beyond the wall toward the center of the room. They are to be constructed of at least 2-inch thick lumber, brick, concrete block, or of steel plate at least 1/4-inch thick, or of equivalent materials. Barricades shall be firmly attached to the building structure at both ends.
(7) Small arms ammunition primers shall be separated by a fire-resistive wall of 1-hour rating or by a distance of 25 feet from flammable liquids, flammable solids, and oxidizing materials.
(8) The building is equipped with an automatic sprinkler system installed in compliance with Article 159.
(e) Commercial stocks of small arms ammunition primers not in the original shipping containers shall be stored in a magazine constructed as specified in Article 114.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
3. Amendment of subsections (d), (d)(6) and (e) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Group 20. Flammable Liquids, Gases and Vapors
Article 134. Definitions
§5415. Definitions.
Note     •     History

Adequate Ventilation. Ventilation which, under normal operating conditions, is sufficient to keep the concentration of a hazardous gas, vapor, mist, fume or dust below 25 percent of the lower explosive limit and sufficient to ensure that no employee is harmfully exposed.
Aerated Solid Powders. Any powdered material used as a coating material which shall be fluidized within a container by passing air uniformly from below. It is common practice to fluidize such materials to form a fluidized powder bed and then dip the part to be coated into the bed in a manner similar to that used in liquid dipping. Such beds are also used as sources for powder spray operations. The combustibility of such materials may be determined by reference to the “Standard for the Prevention of Dust Explosions in the Plastics Industry,” NFPA No. 6541982.
Aerosol. A material which is dispensed from its container as a mist, spray or foam by a propellant under pressure.
Atmospheric Tank. A storage tank which has been designed to operate at pressures from atmospheric through 0.5 psig.
Barrel. A volume of 42 U. S. gallons.
Boiling Point. The boiling point of a liquid at a pressure of 14.7 psia (760 mm). Where an accurate boiling point is unavailable for the material in question, or for mixtures which do not have a constant boiling point, for purposes of this code the 10 percent point of a distillation performed in accordance with the Standard Method of Test for Distillation of Petroleum Products, ASTM D-86-78, may be used as the boiling point of the liquid.
Boil-Over. The expulsion of crude oil (or certain other liquids) from a burning tank. The light fractions of the crude oil burn off producing a heat wave in the residue, which on reaching a water strata may result in the expulsion of a portion of the contents of the tank in the form of froth.
Bulk Oxygen System. A bulk oxygen system is an assembly of equipment, such as oxygen storage containers, pressure regulators, safety devices, vaporizers, manifolds, and interconnecting piping; which has a storage capacity of more than 20,000 cubic feet of oxygen (NTP) including unconnected reserves on hand at the site. The bulk oxygen system terminates at the point where oxygen at service pressure first enters the supply line. The oxygen containers may be stationary or movable, and the oxygen may be stored as gas or liquid.
Bulk Plant. That portion of a property where flammable or combustible liquids are received by tank vessel, pipe lines, tank car, or tank vehicle, and are stored or blended in bulk for the purpose of distributing such liquids by tank vessel, pipe line, tank car, tank vehicle, or container.
Chemical Plant. A large integrated plant or that portion of such a plant other than a refinery or distillery where flammable or combustible liquids are produced by chemical reactions or used in chemical reactions.
Closed Container. A container as herein defined, so sealed by means of a lid or other device that neither liquid nor vapor will escape from it at ordinary temperatures.
Combustible Liquids. See Liquids.
Container. Any vessel of 60 U.S. gallons or less capacity used for transporting or storing flammable or combustible liquids.
Crude Petroleum. Hydrocarbon mixtures that have a flash point below 150 F. and which have not been processed in a refinery.
Dip Tank. A tank, vat or container of flammable or combustible liquid in which articles or materials are immersed for the purpose of coating, finishing, treating or similar processes.
Distillery. A plant or that portion of a plant where flammable or combustible liquids produced by fermentation are concentrated, and where the concentrated products may also be mixed, stored, or packaged.
Dry Spray Booth. A spray booth not equipped with a water washing system. A dry spray booth may be equipped with distribution or baffle plates to promote an even flow of air through the booth or cause deposit of overspray before it enters exhaust duct; or overspray dry filters to minimize dust or residues entering exhaust ducts; or overspray dry filter rolls designed to minimize dusts or residues entering exhaust ducts; or where dry powders are being sprayed, with powder collection systems so arranged in the exhaust to capture oversprayed material.
Electrostatic Fluidized Bed. A container holding powder coating material which is aerated from below so as to form an air-supported expanded cloud of such material which is electrically charged with a charge opposite to the charge of the object to be coated; such object is transported through the container immediately above the charged and aerated materials in order to be coated.
Fire Area. An area of a building separated from the remainder of the building by construction having a fire resistance of at least one hour and having all communicating openings properly protected by an assembly having a fire resistance rating of at least one hour.
Flammable Aerosol. An aerosol which is required to be labeled “Flammable” under the U. S. Federal Hazardous Substances Labeling Act. For the purposes of these regulations such aerosols are considered Class IA liquids.
Flammable (Explosive) Limits. The percent levels, volume by volume, of a flammable vapor or gas mixed in air between which propagation of a flame or an explosion will occur upon the presence of ignition. The leanest mixture at which this will occur is called the lower flammable limit. The richest mixture at which it will occur is the upper flammable limit. The percent of vapor mixture between the lower and upper limits is known as the flammable range.
Flash Point (of a liquid). The minimum temperature at which it gives off vapor in sufficient concentration to form an ignitible mixture with air near the surface of the liquid within the vessel as specified by appropriate test procedure and apparatus as follows:
(A) The flash point of a liquid having a viscosity less than 45 SUS at 100 F. (37.8o C) and a flash point below 200o F. (93.4o C), shall be determined in accordance with the Standard Method of Test for Flash Point by the Tag Closed Tester, ASTM D-56-79.
(B) The flash point of a liquid having a viscosity of 45 SUS or more at 100 F. (37.8o C) or a flash point of 200o F. (93.4o C) or higher shall be determined in accordance with the Standard Method of Test for Flash Point by the Pensky Martens Closed Tester, ASTM D-93-73.
(C) For a liquid that is a mixture of compounds that have different volatilities and flash points, its flash point shall be determined by using the procedure specified above on the liquid in the form it is shipped. If the flash point, as determined by this test, is 100o F. (37.8o C) or higher, an additional flash point determination shall be run on a sample of the liquid evaporated to 90 percent of its original volume, and the lower value of the two tests shall be considered the flash point of the material.
(D) Organic peroxides, which undergo autoaccelerating thermal decomposition, are excluded from any of the flash point determination methods above.
Flow Coat. The process of discharging liquids from nozzles, slots, etc. in an unatomized state onto material to be coated.
Fluidized Bed. A container holding powder coating material which is aerated from below so as to form an air-supported expanded cloud of such material through which the preheated object to be coated is immersed and transported.
Gaseous Hydrogen System. One in which the hydrogen is delivered, stored and discharged in the gaseous form to consumer's piping. The system includes stationary or movable containers, pressure regulators, safety relief devices, manifolds, interconnecting piping and controls. The system terminates at the point where hydrogen at service pressure first enters the consumer's distribution piping.
Ignition Temperature. The minimum temperature to which a flammable vapor or gas mixture in air must be heated in order to initiate or cause self sustained combustion.
Inside Storage. A room or building used for the storage of liquids in containers or portable tanks, separated from other types of occupancies. Such areas may include:
Inside room. A room totally enclosed within a building and having no exterior walls.
Cut-off Room. A room within a building having at least one exterior wall.
Liquefied Hydrogen System. One into which liquefied hydrogen is delivered and stored and from which it is discharged in the liquid or gaseous form to consumer piping. The system may include stationary or portable containers, pressure regulators, safety relief devices, manifolds, interconnecting piping and controls as required. The system originates at the storage container fill connection and terminates at the point where hydrogen at service pressure first enters the supply line.
Liquid. Any material which has a fluidity greater than that of 300 penetration asphalt when tested in accordance with ASTM Test for Penetration for Bituminous Materials, D-5-73. When not otherwise identified, the term “liquid” shall include both flammable and combustible liquids.
Liquid, Combustible. A liquid having a flash point at or above 100 F. (37.8o C). They shall be subdivided as follows:
(A) Class II Liquids shall include those having flash points at or above 100 F (37.8o C) and below 140 F (60o C).
(B) Class IIIA Liquids shall include those having flash points at or above 140 F (60o C) and below 200 F (93.4o C).
(C) Class IIIB Liquids shall include those having flash points at or above 200 F (93.4o C).
Liquid, Flammable. A liquid having a flash point below 100 F. (37.8 C) and having a vapor pressure not exceeding 40 pounds per square inch (absolute) at 100o F. (37.8o C). It shall be known as a Class I liquid. Class I liquids shall be subdivided as follows:
(A) Class IA shall include those having flash points below 73o F (22.8o C) and having a boiling point below 100o F (37.8o C).
(B) Class IB shall include those having flash points below 73o F (22.8o C) and having a boiling point at or above 100o F (37.8o C).
(C) Class IC shall include those having flash points at or above 73 F (22.8 C) and below 100o F (37.8o C).
Liquid, Unstable (Reactive). A liquid which in the pure state or as commercially produced or transported will vigorously polymerize, decompose, condense, or will become self-reactive under conditions of shock, pressure, or temperature.
Low Pressure Tank. A storage tank designed to withstand an internal pressure above 0.5 psig but not more than 15 psig.
Outdoor Location. Outside of any building or structure, and includes locations under a weather shelter or canopy provided such locations are not enclosed by more than two walls set at right angles and are provided with vent space between the walls and vented roof or canopy.
Portable Tank. Any closed vessel having a liquid capacity over 60 U.S. gallons and not intended for fixed installation.
Pressure Vessel. Any fired or unfired vessel within the scope of the applicable section of the ASME Boiler and Pressure Vessel Code.
Refinery. A plant in which flammable or combustible liquids are produced on a commercial scale from crude petroleum, natural gasoline, or other hydrocarbon sources.
Roll Coating. The spreading and impregnating of fabrics, paper or other material by passing the material to be coated directly through a tank or trough containing flammable or combustible liquid, or over the surface of a roller that revolves partially submerged in a flammable liquid.
Safety Can. A listed container of not more than five gallons capacity, having a spring-closing lid, spout cover and a flame arrester and so designed that it will safely relieve internal pressure when subjected to fire exposure.
Service Station, Automotive. That portion of property where liquids used as motor fuels are stored and dispensed from fixed equipment into the fuel tanks of motor vehicles and shall include any facilities available for the sale and service of tires, batteries and accessories, and for minor automotive maintenance work. Major automotive repairs, painting, body and fender work are excluded.
Service Station, Marine. That portion of a property where flammable or combustible liquids used as fuels are stored and dispensed from fixed equipment on shore, piers, wharves, or floating docks into the fuel tanks of self-propelled craft, and shall include all facilities used in connection therewith.
Spray Booth A power-ventilated structure provided to enclose or accommodate a spraying operation, to confine and limit the escape of spray, vapor and residue, and to safely conduct or direct them to an exhaust system. Spray booths are manufactured in a variety of forms, including automotive refinishing, downdraft, open-face, traveling, tunnel, and updraft booths.
Spray Room. A power-ventilated fully enclosed room used exclusively for open spraying of flammable or combustible materials. The entire spray room is a spray area. A spray booth is not a spray room.
Spraying Area. Any area in which dangerous quantities of flammable vapors or mists, or combustible residues, dusts or deposits are present due to the operation of spraying processes.
A spraying area shall include:
(A) The interior of spray booths except as specifically provided in Section 5456(d).
(B) The interior of ducts exhausting from spraying processes.
(C) Any area in the direct path of spray or any area containing dangerous quantities of air-suspended powder or air-suspended combustible residue, dust, deposits, vapor or mists as a result of spraying operations.
SUS. Saybolt Universal Seconds as determined by the Standard Method of Test for Saybolt Viscosity (ASTM D-88-81), and may be determined by use of the SUS conversion tables specified in ASTM Method D2161-66 following determination of viscosity in accordance with the procedures specified in the Standard Method of Test for Viscosity of Transparent and Opaque Liquids (ASTM D445-79).
Vapor Area. Any area containing dangerous quantities of flammable vapors in the vicinity of dip tanks, their drain boards or associated drying, conveying or other equipment, during operation or shutdown periods.
Vapor Pressure. The pressure, measured in pounds per square inch (absolute) exerted by a volatile liquid as determined by the “Standard Method of Test for Vapor Pressure of Petroleum Products (Reid Method)” (ASTM D323-82).
Viscous. A viscosity of 45 SUS or more.
Waterwash Spray Booth. A spray booth equipped with a water washing system designed to minimize dusts or residues entering exhaust ducts and to permit the recovery of overspray finishing material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). For prior history, see Register 76, No. 36.
2. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
Article 135. General
§5416. Flammable Vapors.
Note     •     History

(a) Ventilation shall be sufficient so that under normal operating conditions concentrations of flammable vapors or gases in buildings, rooms or similarly enclosed places shall not exceed 25 percent of the lower explosive limit for such vapors except that in pits, sumps, or the other locations which are not normally entered, except in cases of emergency, such ventilation will not be required. In such locations, the provisions of paragraph (c) shall be complied with.
(b) No source of ignition shall be permitted in or near a pit or sump in a location near which flammable liquids are regularly and frequently, or have recently been, used, handled or stored in other than closed containers unless tests have been made which indicate that the concentration of flammable vapor is less than 25 percent of the lower explosive limit.
(c) No source of ignition shall be permitted in any location, indoors or outdoors, where the concentration of the flammable gases or vapors exceeds or may reasonably be expected to exceed 25 percent of the lower explosive limit. Tests shall be made to ascertain that this limit is not exceeded before a source of ignition is introduced into such location, and such tests shall be repeated frequently (or a continuous indicator used) as long as conditions giving rise to such concentrations of flammable vapors or gases continue and a source of ignition is present. If electronic or thermal testing equipment is used, it must be approved for use in such flammable conditions as required by section 2540.2
(d) Smoking shall be forbidden in any location where flammable vapors in concentrations greater than 25 percent of the lower explosive limit may reasonably be expected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
2. Amendment of subsection (c) filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
§5417. Flammable Liquids--General.
Note     •     History

(a) All containers, either open or closed, which contain a flammable liquid shall be plainly marked with an appropriate warning legend or painted a distinctive color or otherwise distinguished from containers which contain nonflammable substances, except that:
(1) Where there are a number of fixed or permanent containers which usually contain flammable liquids, warning signs may be posted in the room or area in which such containers are located instead of marking individual containers; however, portable containers in which flammable liquids are used, stored, or transported, shall be marked in one of the manners described above unless such containers are used under controlled conditions that reduce the possibility of confusion to a minimum. Nonflammable liquids should not be placed in such containers.
(2) Original containers marked as required by the General Industry Safety Orders, Section 5194, shall be considered to comply with the requirements of this section. Containers such as drums, bottles, or carboys, in which flammable liquids are placed for sale, distribution, or shipment need not be marked during the time between filling and labeling.
(b) Flammable liquids shall not be used to wash floors, walls, ceilings, structural members, furniture, equipment, machines or machine parts, unless ventilation is provided and maintained in accordance with Section 5143.
Note: For the prohibitions of Class 1A Liquids, See Section 5417(d). 
(c) Spraying of flammable liquids for cleaning purposes shall be forbidden except when performed as follows:
(1) In a booth equipped with adequate ventilation. See Section 5153.
(2) Outdoors, or in open sheds, with no source of ignition within 25 feet of the spraying operation.
(d) Class IA flammable liquids shall not be used for washing except that two quarts or less may be so used in an enclosed booth provided adequate ventilation is maintained and all sources of ignition are excluded from locations where concentrations of vapors of such liquids may reasonably be expected to exceed 25 percent of lower explosive limit.
(e) Flammable liquids shall be kept in covered containers when not actually in use, being processed or compounded, or shall be stored in permanent storage tanks. Such liquids shall not be transported from storage areas to areas of use in open containers. Containers used to transport flammable liquids or as dispensing devices shall be covered containers or original closed containers. Closures of such containers shall be kept in place at all times except when liquid is being drawn from the container.
(f) Tubular gauges on stationary tanks, vats, or containers which contain flammable liquids shall be shielded to prevent liquid spray from endangering employees should the gauge break. All such gauges shall be guarded when exposed to the hazards of being broken by accidental impact and in all cases when located less than 7 feet above or 3 feet laterally from working levels or passageways. All such gauges shall be provided with valves which can be readily closed in case of breakage. Where practicable, ball-check or other self-closing valves shall be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (f) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment of subsections (d) and (e) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
3. Amendment of subsections (b) and (d) filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
4. Amendment of subsection (b) filed 9-6-79 as procedural and organizational; effective upon filing (Register 79, No. 36).
5. Amendment of subsections (b), (d) and (e) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
6. Amendment of subsection (a)(2) filed 9-4-97; operative 10-4-97 (Register 97, No. 36).
§5418. Carboys and Drums Containing Flammable Liquids.
Note     •     History

(a) Carboys or drums containing flammable liquids shall not be stored near steam coils or other source of heat.
(b) Carboys or drums containing flammable liquids shall not be emptied by air pressure except as produced by hand pumps or bulbs.
(c) No naked flame, torch, or similar source of ignition shall be allowed in contact with carboys or drums which contain or have last contained flammable or combustible liquids except for purposes of repair as provided in (d).
(d) Before repair work involving the use of open flames or other source of ignition, carboys or drums shall be purged of flammable vapors and insofar as is practicable, cleansed of residues which may give rise to such vapors. Ventilation, water, inert gas, or other suitable and effective means shall be used to prevent formation of explosive mixtures as necessary. Where such work is regularly or frequently undertaken, means shall be provided for testing the air in carboys or drums for explosibility.
(e) When carboys or drums containing or having last contained a flammable liquid are opened, any pressure which may have developed in the drum shall be relieved through a loosened plug before plugs are removed. During such operation, no source of ignition shall be permitted within 25 feet of the carboys or drums.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5419. Drums Containing Flammable Liquids.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5420. Tanks, Vats and Containers Containing Flammable Liquids.
Note     •     History

(a) When repairs, alterations, or cleaning operations are performed on tanks, vats, or containers, which contain or have last contained a flammable liquid or a substance giving rise to flammable vapors the following procedure shall be followed:
(1) Lines which may convey hazardous materials to the vessels shall be disconnected, or other positive means shall be used to prevent discharge of such material into the vessel.
(2) If work involving the use of flame, arc, spark, or other source of ignition is to be done, the vessel shall be emptied, flushed or otherwise purged of flammable vapors. A test for flammability of the vapors in the vessel shall be made, using an appropriate device for this purpose, and no source of ignition shall be permitted in or in contact with the vessel if the percentage of combustible vapor is greater than 25 percent of the lower explosive limit. As long as any source of ignition is used in or in contact with the vessel, frequent tests shall be made to determine the concentration of combustible vapors. If this concentration exceeds 25 percent of the lower explosive limit of the vapor present, sources of ignition shall be extinguished or removed until such concentration is reduced below 25 percent of the lower explosive limit.
Note: For suggested procedures, see NFPA 327-1982.
(3) Fire extinguishing equipment adequate to cope with the hazards which may be encountered shall be provided and maintained close at hand.
Note: See Article 108 for further instruction when working in confined spaces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
Article 136. Dip Tanks
§5426. Construction of Dip Tanks.
Note     •     History

Note: Closed system quench tanks of integral quench furnaces are not included in this Article.
(a) Dip tanks, including drain boards if provided, shall be constructed of substantial noncombustible material, and their supports shall be of steel, reinforced concrete or masonry, or equivalent fire resistant material.
Note: Where dip tanks extend through a floor to the story below or where the weakening of the tank supports by fire may result in the tank collapse, supports should be of material having not less than one-hour fire resistance.
(b) Dip tanks of over 150 gallons in capacity or 10 square feet in liquid surface area shall be equipped with a properly trapped overflow pipe leading to a safe location outside buildings.
(c) Overflow pipes shall be of sufficient capacity to overflow the maximum delivery of dip tank liquid fill pipes but shall not be less than 3 inches in diameter and shall be increased in size depending upon the area of the liquid surface and the length and pitch of pipe.
(d) If the liquid surface area of dip tank (and drain board, unless drain board is arranged to positively prevent drainage into dip tank) is 75-150 square feet, diameter of overflow pipe shall be not less than 4 inches; if 150-225 square feet, not less than 5 inches; if 225-325 square feet, not less than 6 inches.
Note: 1. On large dip tanks, multiple overflow connections are preferable to a single large pipe, provided the aggregate cross sectional area is equivalent. 
Note: 2. Overflow pipes should be connected to dip tanks through a flared outlet where the accumulation of caked or dried material may clog the overflow opening.
(e) Piping connections on drains and overflow lines shall be designed so as to permit ready access for inspection and cleaning of interior.
(f) The bottom of the overflow connection shall be not less than 6 inches below the top of the tank.
(g) Dip tanks over 500 gallons in liquid capacity shall be equipped with bottom drains automatically and manually arranged to quickly drain tank in event of fire, unless the viscosity of the liquid at ambient temperature makes this impractical. Manual operation shall be from a safely accessible location. Where gravity flow is not practicable, automatic pumps shall be required.
(h) Such drain shall be trapped and discharge to a closed properly vented salvage tank or to a safe location outside which will not endanger property.
(i) According to tank capacity the diameter of bottom drain pipe shall be not less than the following:

	500 to 750 gallons--	3 in.
	750 to 1,000 gallons--	4 in.
	1,000 to 2,500 gallons--	5 in.
	2,500 to 4,000 gallons--	6 in.
	over 4,000 gallons--	8 in.
(j) Where the drain line is long or of poor pitch the pipe size shall be increased to at least the next larger size.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
2. Amendment file 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5427. Ventilation.
Note     •     History

(a) Vapor areas shall be limited to the smallest practical space by maintaining a properly designed system of mechanical ventilation arranged to move air from all directions towards the vapor origin area to a safe outside location. Ventilating systems shall conform to Section 5154.
(b) Required ventilating systems shall be so arranged that the failure of any ventilating fan shall automatically stop any dipping conveyor system.
(c) When a required ventilating system serves associated drying operations utilizing a heating system which may be a source of ignition, means shall be provided for pre-ventilation before heating system can be started; the failure of any ventilating fan shall automatically shut down the heating system; and the installation shall otherwise conform to NFPA Standard for Ovens and Furnaces (NFPA No. 86A1977).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
2. Amendment of subsection (c) filed 12-5-86; effective thirtieth day thereafter (Register 86, No.51). 
§5428. Salvage Tanks.
Note     •     History

(a) Where salvage tanks are employed, pumping arrangements shall be provided for the transfer of their contents.
(b) The capacity of salvage tank shall be greater than the capacity of the dip tank or tanks to which they are connected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5429. Conveyor Systems.
Note     •     History

(a) Dip tanks utilizing a conveyor system shall be so arranged that in the event of fire, the conveyor system shall automatically cease motion and required bottom drains shall open.
(b) Conveyor systems shall automatically cease motion unless required ventilation is in full operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5430. Heating Dip Tank Liquids.
Note     •     History

When dip tank liquids are artificially heated, either by the dipping of heated articles, or by other application of heat to the liquid, provision shall be made to prevent a temperature rise greater than 50 degrees F. below the flash point of the liquid.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5431. Liquids Used in Dip Tanks, Storage and Handling.
Note     •     History

(a) The storage of flammable and combustible liquids in connection with dipping operation shall conform to the requirements of Article 141, where applicable.
(b) Where portable containers are used for the replenishment of flammable liquids the tank and the container shall be electrically bonded to prevent a build-up of static electricity.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5432. Electrical and Other Sources of Ignition.
Note     •     History

(a) There shall be no open flames, spark producing devices, or heated surfaces having a temperature sufficient to ignite vapors in any vapor area.
(b) Except as specifically permitted in Section 5438, relating to electrostatic apparatus, electrical wiring and equipment in any vapor area shall be explosion proof type approved for Class I, Group D locations and shall otherwise conform to the provisions of the Electrical Safety Orders, Class I, Division 1.
Note: It will be observed that the presence of ordinary infra-red drying lamps is prohibited in any vapor area; however, their use is permitted when adequate ventilation is maintained in such manner that their location is not within the vapor area.
(c) Unless specifically approved for locations containing both deposits of readily ignitible residues and explosive vapors, there shall be no electrical equipment in the vicinity of dip tanks, or associated drain boards or drying operations, which are subject to splashing or dripping of dip tank liquids. However, wiring in rigid conduit or in threaded boxes or fittings containing no taps, splices or terminal connections is permitted.
(d) In any floor space outside a vapor area but within 20 feet therefrom, and not separated by tight partitions, there shall be no open flames or spark producing devices [except as specifically permitted in NFPA Standard No. 86A, Ovens and Furnaces (Paragraph 200-7)] and electrical wiring and equipment shall conform to the provisions of the Electrical Safety Orders, Class I, Division 2.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (b) and (d) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5433. Operations and Maintenance.
Note     •     History

(a) Areas in vicinity of dip tanks shall be kept as clear of combustible stock as practical and shall be kept entirely free of combustible debris.
(b) When waste or rags are used in connection with dipping operations, self-closing, hinged, metal waste cans shall be provided and all impregnated rags or waste deposited therein immediately after use. The contents of waste cans shall be properly disposed of at least once daily or at the end of each shift.
(c) Periodic inspection or tests of all dip tank facilities shall be made, including covers, overflow pipe inlets, and discharge, bottom drains and valves, electrical wiring and equipment and grounding and bonding connections, ventilation facilities, and all extinguishing equipment. Any defects found shall be promptly corrected.
(d) Smoking shall be prohibited except in designated localities. “NO SMOKING” signs shall be conspicuously posted where hazard from flammable vapors may be reasonably expected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5434. Fire Protection.
Note     •     History

(a) Except as noted in Section 5436(e) (applying to hardening and tempering tanks), all dip tanks exceeding 150 gallons liquid capacity, or having a liquid surface area exceeding four square feet, shall be protected with automatic extinguishing facilities or covers so designed and installed as to close automatically in case of fire. (See Section 5435.)
(b) Areas in the vicinity of dip tanks shall be provided with portable fire extinguishers suitable for flammable and combustible liquid fires, conforming to Article 157.
(c) Automatic water spray extinguishing systems shall conform to Article 163 and shall be arranged to protect tanks, drain boards and stock over drain boards.
(d) Automatic foam extinguishing systems shall conform to Article 163 and to NFPA No. 111983, NFPA 11A-1983, or NFPA 11B1977 and shall also conform to the following:
(1) Foam producing material selected shall be suitable for intended use, taking into account characteristics of the dip tank liquid.
(2) Overflow pipe shall be arranged to prevent the floating away of foam and clogging overflow pipe. This may be accomplished by either of the following:
(A) Overflow pipe may be extended through tank wall and terminated in an ell pointing downward.
(B) Overflow pipe inlet may be provided with a removable screen of one-fourth-inch mesh having an area at least twice the cross-sectional area of overflow pipe. Screens which may be clogged by dip tank ingredients shall be inspected and cleaned periodically.
(e) Automatic carbon dioxide systems shall conform to Article 162 and shall be arranged to protect both dip tanks and drain boards and unless stock over drain boards is otherwise protected with automatic extinguishing facilities, shall also be arranged to protect such stock.
(f) Dry chemical extinguishing systems shall conform to Article 161 and shall be arranged to protect both dip tanks and drain boards, and unless stock over drain boards is otherwise protected with automatic extinguishing facilities, shall also be arranged to protect such stock.
(g) Automatic closing process tank covers or special extinguishing systems shall be provided for open tanks under 150 gallons capacity or 10 sq. ft. in liquid surface area.
(h) Protection systems shall be provided for tanks 150 gallons capacity and over or 10 sq. ft. in liquid surface area and over. These systems shall be designed to protect the following areas:
(1) For process tanks the system shall protect the tank, drain board, freshly coated objects, hoods and ducts.
(2) For flow coaters, the system shall protect open tanks, drying tunnel, and ducts. Pumps circulating coating material shall be interlocked to automatically shut off on actuation of the system.
(3) For curtain and roll coating the system shall protect the coated object and open troughs or tanks of coating material. Pumps circulation coating material shall be interlocked to automatically shut off on actuation of the special protection system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
3. Editorial correction of subsection (d) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
4. Editorial correction of subsection (c) filed 6-30-82 (Register 82, No. 27).
5. Amendment of subsection (d)(2)(A) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
6. Amendment of subsections (d) and (f) and new subsection (g) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5435. Dip Tank Covers.
Note     •     History

(a) Covers arranged to close automatically in the event of fire shall be actuated by approved automatic devices and shall also be arranged for manual operation.
(b) Covers shall be of substantial noncombustible material or of tin-clad type with enclosing metal applied with locked joints.
Note: For the construction of dip tank covers, refer to NFPA 34-1982.
(c) Chains or wire rope shall be used for cover support or operating mechanism where the burning of a cord would interfere with the action of a device.
(d) Where drain boards return drippings to tanks, special means shall be provided to permit the cover to close tightly and prevent water from sprinklers or other sources draining into dip tank in the event of fire.
(e) Covers shall be kept closed when tanks are not in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5436. Hardening and Tempering Tanks.
Note     •     History

(a) Tanks shall be located as far as practicable from furnaces and shall not be located on or near combustible floors.
Note: Combustible stock and other combustible materials should not be stored in the vicinity of dipping operations.
(b) Tanks shall be provided with a noncombustible hood and vent or other equally effective means, venting to outside of building to serve as a vent in case of fire. All such vent ducts shall be treated as flues and be kept well away from combustible roofs or materials.
(c) Tanks shall be so designed that the maximum work load is incapable of raising the temperature of the cooling medium to within 50 degrees below its flash point, or such tanks shall be equipped with circulating cooling systems which will accomplish the same result.
(d) Tanks shall be equipped with a high temperature limit switch arranged to sound an alarm when the temperature of the quenching medium reaches within 50 degrees F. below the flash point. If practical from an operating standpoint, such limit switches shall also shut down conveying equipment supplying work to the tank.
(e) The provisions of Section 5434(a) shall apply to tanks having a liquid surface area of 25 square feet or more or a capacity of 500 gallons or more.
(f) Air under pressure shall not be used to fill or to agitate oil in tanks.
(g) Drain facilities from bottom of tank may be combined with the oil circulating system or arranged independently to drain the oil to a safe location. The drain valve shall be operated automatically with approved heat actuated devices or manually, and if the latter, the valve shall be operated from a safe distance.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86; No. 51). 
§5437. Flow Coat.
Note     •     History

(a) Except as modified in this Section, all of the preceding requirements for dip tanks apply.
(b) All flow coat operations shall be within an effective noncombus-tible enclosure, adequately vented to the outside of building.
(c) All piping shall be strongly erected and rigidly supported.
(d) Paint shall be supplied by direct low pressure pumping arranged to automatically shut down by means of approved heat actuated devices, in case of fire, or paint may be supplied by a gravity tank not exceeding 10 gallons in capacity.
(e) The area of the sump and an areas on which paint flows shall be considered the area of dip tank for the purpose of interpreting these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of NOTE filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5438. Electrostatic Apparatus.
Note     •     History

(a) The installation and use of electrostatic detearing equipment shall conform to all applicable provisions of this Section.
(b) Electrostatic apparatus and devices used in connection with paint detearing operations shall be of approved types.
(c) Transformers, high voltage supplies, control apparatus, and all other electrical portions of the equipment, with the exception of high voltage grids and their connections, shall be located outside the vapor area or shall conform to the requirements of the California Electrical Safety Orders.
(d) Electrodes shall be of substantial construction, shall be rigidly supported in permanent locations and shall be effectively insulated from ground. Insulators shall be nonporous and noncombustible.
(e) High voltage leads to electrodes shall be effectively and permanently supported on suitable insulators, and shall be effectively guarded against accidental contact or grounding. An automatic means shall be provided for grounding and discharging any accumulated residual charge on the electrode assembly or the secondary circuit of the high voltage transformer when the transformer primary is disconnected from the source of supply.
(f) A safe distance shall be maintained between goods being deteared and electrodes or conductors of at least twice the sparking distance. A suitable sign indicating this safe distance shall be conspicuously posted near the assembly.
(g) Goods being deteared using this process are to be supported on conveyors. The conveyors shall be so arranged as to maintain safe distances between the goods and the electrodes at all times. All goods shall be so supported as to prevent any swinging or movement which would reduce the clearance to less than specified in (f).
(h) This process is not approved where goods being deteared are manipulated by hand.
(i) Electrostatic apparatus shall be equipped with automatic controls which will operate without time delay to disconnect the power supply to the high voltage transformer and to signal the operator under any of the following conditions:
(1) Stoppage of ventilation fans or failure of ventilating equipment from any cause.
(2) Stoppage of the conveyor carrying goods past the high voltage grid.
(3) Occurrence of a ground or of an imminent ground at any point on the high voltage system.
(4) Reduction of clearance below that specified in (f).
(j) Fencing, railings or guards shall be so placed about the equipment that they, either by their location or character or both, assure that a safe isolation of the process is maintained from plant storage or personnel. Such railings, fencing and guards shall be grounded, and be at least 5 feet from processing equipment.
(k) Hazardous areas shall be posted.
(l) Electrode insulators shall be kept clean and dry.
(m) All areas for detearing shall be protected by automatic sprinklers or other approved automatic extinguishing equipment shall be provided.
(n) Drip plates and screens subject to paint deposits shall be removable and shall be taken to a safe place for cleaning.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (j) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Amendment of subsections (c), (j), (k) and (m) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5439. Roll Coating.
Note     •     History

(a) Roll coating shall conform to the applicable requirements of Sections 5426 through 5434.
(b) Arrangements shall be made to prevent sparks from static electricity by electrically bonding and grounding all metallic rotating and other parts of machinery and equipment and by the installation of static collectors or maintaining a conductive atmosphere.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
Article 137. Spray Coating Operations
§5445. Scope.
Note     •     History

(a) Scope. This Article covers the application of flammable or combustible materials when applied as a spray by compressed air, “airless” or “hydraulic atomization,” or by steam, or electrostatic methods or by any other means in continuous or intermittent processes. It also covers the application of combustible powders when applied by powder spray guns, electrostatic powder spray guns, fluidized beds or electrostatic fluidized beds.
Note: This Article does not cover outdoor spray application of buildings, tanks or other similar structures, nor small portable spraying apparatus not used repeatedly in the same location; however, the safeguards contained in this Article pertaining to cleanliness, care of flammable liquids, dangerous vapor-air or powder-air mixtures and sources of ignition should be followed where applicable.
(b) This Article does not cover the spray application of noncombustible finishing material. Certain water type finishes, however, although involving little or no hazard in the liquid state may leave highly combustible residues upon evaporation of the liquid carrier. The provisions of this standard for minimizing the hazards of combustible residues shall be followed irrespective of the characteristics of the liquid.
(c) Spray rooms shall meet the requirements of Sections 5446, 5447, 5448, 5449 and 5450.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 11-18-76; effective thirtieth day thereafter (Register 76, No. 47).
3. Amendment of subsection (b) and new subsection (c) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5446. Spray Booths.
Note     •     History

(a) Spray booths and connected ductwork shall be substantially constructed of steel, securely and rigidly supported, or of concrete or masonry, except that aluminum or other substantial noncombustible material may be used for intermittent or low volume spraying. Spray booths shall be designed to sweep or guide air currents toward the exhaust outlet.
(b) The interior surfaces of spray booths shall be smooth and continuous without edges and otherwise designed to prevent pocketing of residues and facilitate cleaning and washing without injury.
(c) The floor surface of a spray booth and operator's working area, if combustible, shall be covered with noncombustible material of such character as to facilitate the safe cleaning and removal of residues.
(d) Distribution or baffle plates, if installed to promote an even flow of air through booth or cause the deposit of overspray before it enters exhaust duct, shall be of noncombustible material and readily removable or accessible on both sides for cleaning. Such plates shall not be located in exhaust ducts.
(e) Every spray booth having an open front elevation larger in area than 9 square feet and which is not equipped with doors, shall have a fire curtain or metal deflector not less than 2 1/2 inches deep installed at the upper outer edge of the booth opening.
(f) Where conveyors are arranged to carry work into or out of spray booths, the openings therefor shall be as small as practical.
(g) Each spray booth shall be separated from other dissimilar operations by not less than three feet, or by a greater distance, or by such partition or wall as to reduce the danger from adjacent hazardous operations.
(h) Spray booths shall be so installed that all portions are readily accessible for cleaning. A clear space of not less than three feet on all sides shall be kept free from storage or combustible construction.
Note: This does not preclude the installation of a spray booth against a partition or wall having a one hour fire resistance rating providing the booth can be maintained and cleaned.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (h) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5447. Dry Type Overspray Collectors (Exhaust Air Filters).
Note     •     History

(a) In conventional dry type spray booths, overspray dry filters or filter rolls, if installed, shall conform to the following:
(1) Visible gauges or audible alarms or pressure activated devices shall be installed to indicate or insure that the required air velocity is maintained.(See Section 5153). Dry spray booth equipped with a filter roll which is automatically advanced when the air velocity is reduced to that specified in this Section shall be arranged to cause shutdown of spraying operations if the filter roll fails to advance automatically.
(2) Maintenance procedures shall be established to assure replacing filter pads before excessive restriction to air flow occurs. Filter pads shall be inspected after each period of use and clogged filter pads discarded and replaced. Filter rolls shall be inspected to insure proper replacement of filter media.
(3) All discarded filter pads and filter rolls shall be immediately removed to a safe, well detached location or placed in a water-filled metal container and disposed of at the close of the day's operation unless maintained completely in water.
(4) The location of filters in a spray booth shall not reduce the effective booth enclosure of the articles being sprayed.
(5) Space within spray booth on the down stream and up stream sides of filters shall be protected with approved automatic sprinklers.
(6) Filters or filter rolls shall not be used when applying a spray material known to be highly susceptible to spontaneous heating and ignition.
(7) Those parts of the booth which act as supports for, or holders of filters or filter rolls shall be noncombustible.
(8) Clean filters or filter rolls shall be noncombustible or of a type having a combustibility not in excess of Class 2 filters as listed by Underwriters' Laboratories, Inc.
(9) Filters and filter rolls shall not be alternately used for different types of coating materials, where the combination of materials may be conducive to spontaneous ignition. See also Section 5453(l).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) (1) and (4) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5448. Washing Chamber.
Note     •     History

(a) For wet or waterwash spray booths, the water chamber enclosure, within which intimate contact of contaminated air and cleaning water or other cleaning medium is maintained, if made of steel, shall be 18 gage or heavier and adequately protected against corrosion.
(b) Chambers shall be provided with adequate means for creating and maintaining scrubbing action for removal of particulate matter from the exhaust air stream.
(c) Collecting tanks shall be of welded steel construction or other suitable noncombustible material. If pits are used as collecting tanks, they shall be concrete, masonry, or other material having similar properties.
(d) Tanks shall be provided with weirs, skimmer plates, or screens to prevent sludge and floating paint from entering the pump suction box. Means for automatically maintaining the proper water level shall also be provided. Fresh water inlets shall not be submerged. They shall terminate at least one pipe diameter above the safety overflow level of the tank.
(e) Tanks shall be so constructed as to prevent excessive accumulation of hazardous deposits.
(f) Pump manifolds, risers, and headers shall be adequately sized to ensure sufficient water flow to provide efficient operation of the water chamber.
Note: Cleanout means should be provided to permit mechanical cleaning of headers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (e) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5449. Electrical and Other Sources of Ignition.
Note     •     History

(a) All electrical equipment, open flames and other sources of ignition shall conform to the requirements of this Section, except as follows:
(1) Electrostatic apparatus shall conform to the requirements of Sections 5454 and 5455.
(2) Drying, curing and fusion apparatus shall conform to the requirements of Section 5456.
(3) Automobile undercoating spray operations in garages shall conform to the requirements of Section 5459.
(4) Powder coating equipment shall conform to the requirements of Section 5460.
(5) Finishing operations as described in Subsection (m).
(b) There shall be no open flame, spark producing equipment or exposed surfaces exceeding the ignition temperature of the material being sprayed in any spraying area nor within 20 feet thereof, unless separated by a partition.
(c) Space heating appliances, steam pipes or hot surfaces shall not be located in a spraying area where deposits of combustible residues may readily accumulate and be ignited.
(d) Electrical wiring and equipment shall conform to the provisions of this Section and shall otherwise be in accordance with the California Electrical Safety Orders.
(e) Unless specifically approved for locations containing both deposits of readily ignitible residue and explosive vapors, there shall be no electrical equipment in any spraying area, whereon deposits of combustible residues may readily accumulate, except wiring in rigid metal conduit, Type MI cable, or in metal boxes or fittings containing no taps, splices or terminal connections.
(f) Electrical wiring and equipment not subject to deposits of combustible residues but located in a spraying area shall be of explosion-proof or other type approved for Class I, Division 1, Group D locations and shall otherwise conform to the provisions of the Electrical Safety Orders for Class I, Division 1 locations.
(g) Equipment within twenty feet horizontally and ten feet vertically, of any spraying operation and not enclosed in a spray booth, shall not produce sparks under normal operating conditions, and shall otherwise conform to the provisions of the Electrical Safety Orders for Class I, Division 2, locations. See Figure SB-1.

View Graphic

Figure SB-1
(h) When spraying areas are illuminated through glass panels or other transparent materials, only fixed lighting units shall be used as a source of illumination. Panels shall isolate the spraying area from the area in which the lighting unit is located, and shall be of a noncombustible material of such a nature or so protected that breakage will be unlikely. Panels shall be so arranged that normal accumulations of residue on the exposed surface of the panel will not be raised to a dangerous temperature to cause vapors and/or ignition by radiation or conduction from the source of illumination.
(i) Electric lamps outside of, but within twenty feet of any spraying area and not separated by a partition, shall be totally enclosed to prevent the falling of hot particles and shall be protected from mechanical injury by guards or by location.
(j) Portable electric lamps shall not be used in any spraying area during spraying operations. Portable electric lamps, if used during cleaning or repairing operations, shall be of the type approved for Class I, Group D, Division 1 locations.
(k) All metal parts of spray booths, exhaust ducts and piping systems conveying flammable or combustible liquids or aerated solids shall be electrically grounded in an effective and permanent manner.
(l) Airless high fluid pressure spray guns and any conductive object being sprayed shall be electrically grounded.

Exception: Equipment specifically intended to be operated at other than ground potential.
(m) Where the product to be sprayed is brought into a spraying area, removed from it, or manipulated while there, by a self-powered vehicle capable of producing ignition, the vehicle shall not be activated while in the area unless the spraying operation is stopped, the ventilation system is in operation and the area has been purged of vapors to ensure a nonflammable atmosphere.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)(1) and (4) and (m) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (l ) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Amendment of subsections (d), (f)-(i) and (k)-(m) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
5. Change without regulatory effect providing more legible illustration for Figure SB-1 filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§5450. Ventilation.
Note     •     History

(a) Ventilation requirements shall conform to the provisions of Section 5153 and 5143 and this Section.
(b) Except as permitted in Section 5460, each spray booth shall have an independent exhaust duct system discharging to the building exterior. Multiple cabinet spray booths in which identical spray finishing material is used with a combined frontal area of more than eighteen square feet shall not have a common exhaust.
(c) The fan rotating element shall be nonferrous or nonsparking or the casing shall consist of or be lined with such material. There shall be ample clearance between the fan rotating element and fan casing to avoid a fire by friction, necessary allowance being made for ordinary expansion and loading to prevent contact between moving parts and the duct or fan housing. Fan blades shall be mounted on a shaft sufficiently heavy to maintain proper alignment even when the blades of the fan are heavily loaded, the shaft preferably to have bearings outside the duct and booth. All bearings shall be of the self-lubricating type, or lubricated from outside the duct.
(d) Electric motors driving exhaust fans shall not be placed inside booths or ducts.
(e) Belts shall not enter duct or booth unless belt and pulley within the duct or booth are completely enclosed.
(f) Where ductwork passes through a combustible roof or wall, the roof or wall shall be protected at the point of penetration by open space or fire resistive material between the duct and the roof or wall.
(g) When ducts pass through firewalls, they shall be provided with automatic fire dampers on both sides of the wall, except that 3/8-inch steel plates may be used in lieu of automatic fire dampers for ducts not exceeding 18 inches in diameter.
(h) Exhaust ducts shall be constructed of steel and shall be substantially supported. If dampers are installed, they shall be maintained so that adequate airflow is maintained at all times the ventilating system is in operation. When spray booths are not in use and it is necessary to shut off ducts, noncombustible removable covers completely closing ducts may be used.
(i) Exhaust ducts shall be protected against mechanical damage and have a clearance from unprotected combustible construction or other combustible material of not less than 18 inches, except if combustible construction is provided with the following protection applied to all surfaces within 18 inches, clearances may be reduced to the distance indicated:

(1) 28 gauge sheet metal on 1/4-inch asbestos mill
board or equivalent	 12 inches

(2) 28 gauge sheet metal on 1/8-inch asbestos mill
board spaced out one-inch on noncombustible spacers
or equivalent	 9 inches

(3) 22 gauge sheet metal on 1-inch rockwool bats
reinforced with wire mesh or the equivalent	 3 inches
(4) Where ducts are protected with an approved automatic sprinkler system, properly maintained; the clearance may be reduced to 6 inches.
(j) The spray booth exhaust discharge point shall be not less than six feet from any combustible exterior wall or roof nor discharge in the direction of any combustible construction or unprotected opening in any noncombustible exterior wall within 25 feet.
(k) Freshly sprayed articles shall be dried only in spaces provided with adequate ventilation to prevent the accumulation of flammable vapors. In the event adequate and reliable ventilation is not provided such drying spaces shall be considered a spraying area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (b), (c) and (k) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5451. Flammable and Combustible Liquids--Storage and Handling.
Note     •     History

(a) The storage of flammable or combustible liquids in connection with spraying operations shall conform to the requirements of Article 141, where applicable.
(b) Bulk storage of flammable or combustible liquids shall be in a separate, properly constructed building detached from other important buildings or cut off from them by construction having at least one-hour fire resistance rating.
Note: Lesser quantities of flammable or combustible liquids may be stored for use within a building under conditions meeting the other provisions of this section.
(c) The quantity of flammable and combustible liquids kept in the vicinity of spraying operations outside an inside storage room or storage cabinet in any one fire area shall not exceed the greater of: (1) a supply for one day or one shift; (2) 25 gallons of Class IA liquids in containers, and 120 gallons of Class IB, IC, II or IIIA liquids in containers, or (3) one approved portable tank not exceeding 660 gallons of Class IB, IC, II, or IIIA liquids.
(d) Closed containers, approved portable tanks, approved safety cans, or a properly arranged system of piping shall be used for transporting flammable or combustible liquids. Open or glass containers shall not be used for transportation or storage.
(e) The withdrawal of flammable or combustible liquids from containers and the filling of containers, including portable mixing tanks, shall be done only in a suitable mixing room or in a spraying area when the ventilating system is in operation. Precautions shall be taken to protect against liquid spillage and sources of ignition.
(f) Except as provided in (h), the withdrawal of flammable or combustible liquids from containers having a capacity of greater than 60 gallons shall be by approved pumps.
(g) Containers supplying spray nozzles shall be of closed type or provided with metal covers kept closed. Containers not resting on floors shall be on substantial supports or suspended by wire cables. Containers supplying spray nozzles by gravity flow shall not exceed 10 gallons capacity.
(h) Original shipping containers shall not be subjected to air pressure for supplying spray nozzles. Pressure vessels supplying spray nozzles shall be of limited capacity, not exceeding that necessary for one day's operation; shall be designed and approved for such use; shall be provided with a visible pressure gauge; and shall be provided with a relief valve; all in conformance with the Unfired Pressure Vessel Safety Orders.
(i) Containers under pressure supplying spray nozzles, air storage tanks and coolers shall conform to the standards of the Unfired Pressure Vessel Safety Orders for construction, tests and maintenance.
(j) All containers or piping to which is attached a hose or flexible connection shall be provided with a shutoff valve at the connection. Such valves shall be kept shut when spraying operations are not being conducted. 

Exception: When a circulating system is used and it is provided with an automatically operated anti-runaway control.
(k) When a pump is used to deliver products, automatic means shall be provided to prevent pressure in excess of the design working pressure of accessories, piping and hose.
(l) All pressure hose and couplings shall be inspected at regular intervals appropriate to the service. With the hose extended, the hose and couplings shall be tested using the “in service maximum operating pressures.” Any hose showing material deteriorations, signs of leakage or weakness in its carcass or at the couplings shall be withdrawn from service.
(m) Unless flammable and combustible liquid piping, hose and equipment have been designed to meet the requirements of high pressure processes (those employing pressures in excess of 100 psig) such equipment shall not be used for this purpose.
(n) If flammable or combustible liquids are supplied to spray nozzles by positive displacement pumps, means shall be provided to prevent the discharge pressure exceeding the safe operating pressure of the system. Any discharge shall be to a safe location.
(o) Piping systems conveying flammable or combustible liquids shall be of steel or other material having comparable properties of resistance to heat and physical damage; they shall be so installed that a rupture of the system for any reason is unlikely. Piping systems shall be properly bonded and grounded.
(p) Whenever flammable or combustible liquids are transferred from one container to another, both containers shall be effectively bonded and grounded to dissipate static electricity.
(q) If a spray liquid heater is used, it shall be low-pressure, steam or hot water type, or electric. If electric, it shall be approved and listed for the specific location in which it is used. (See Section 5449.) Heaters shall not be located in spray booths nor other locations subject to the accumulation of deposits or combustible residue. Agitators, if used, shall be driven by compressed air, water, or low-pressure steam, or electric. If powered by an electric motor, the motor shall conform to the requirements of Section 5449.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsections (b), (c), (e) and (j) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5452. Fire Protection.
Note     •     History

(a) In sprinklered buildings, the automatic sprinkler system in rooms containing spray application operations shall conform to Article 159, and in unsprinklered buildings where sprinklers are installed only to protect spraying areas, the installation shall conform to such standards insofar as they may be applicable. Sprinkler installations shall also conform to the provisions of this Section. Sprinkler heads shall be located so as to provide water distribution throughout the entire booth.
(b) Water supply for sprinklers in rooms containing spray finishing operations shall be sufficient to supply all sprinklers likely to open in one fire without depleting the available water for use in hose streams.
Note: Where sprinklers are installed to protect spraying areas only, water may be furnished from the domestic supply.
(c) Where automatic sprinklers protect each spray booth (together with its connecting exhaust) they shall be under an accessibly located separate outside stem and yoke (OS&Y) sub-control valve. Sprinkler systems in stacks or ducts shall be automatic and of a type not subject to freezing.
(d) Sprinklers (heads) protecting spraying areas shall be kept as free from deposits as practical by cleaning daily if necessary.
(e) Where automatic sprinkler protection is not available, a spray booth and its exhaust ducts shall be protected with an extinguishing system installed so as to conform either to Article 160, Article 161 or Article 162.
(f) An adequate supply of suitable portable fire extinguishers shall be installed near all spraying areas. (See Article 157.)
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment of subsection (a) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
4. Editorial correction of subsection (a) filed 6-30-82 (Register 82, No. 27).
5. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5453. Operation and Maintenance.
Note     •     History

(a) Spraying shall not be conducted outside of predetermined spraying areas and all provisions of this Section applying to spraying areas shall be strictly followed.
(b) High pressure hose conveying flammable or combustible material in “airless” spray application operations shall be frequently inspected and properly maintained. Hose and equipment shall be so located that in the event of a leak or rupture, application material will not be discharged into any space having a source of ignition.
(c) All spraying areas shall be kept free from the accumulation of deposits of combustible residues. If residue accumulates to excess in booths, duct or duct discharge points or other spraying areas, then all spraying operations shall be discontinued until conditions are corrected.
Note: Combustible coverings (thin paper, plastic, etc.) and strippable coatings may be used to facilitate cleaning operations in spray areas.
(d) Spray booths, spray rooms and similar locations shall be thoroughly cleaned of combustible deposits on floors, walls, ceilings, and equipment before any repairs involving the use of torches, electric arcs or sparks, or other source of ignition are undertaken.
(e) Scrapers, spuds or other such tools used for cleaning purposes shall be of non-sparking material.
(f) Residue scrapings and debris contaminated with residue shall be immediately removed from premises and properly disposed of.
(g) Self-closing, hinged, metal waste cans shall be provided wherever rags or waste are impregnated with sprayed material and all such rags or waste shall be deposited therein immediately after use. The contents of waste cans shall be properly disposed of at least once daily or at the end of each shift.
(h) Employees' clothing contaminated with sprayed material shall not be left on the premises overnight unless kept in metal lockers.
(i) Solvents for cleaning operations shall have flash points above 100o F, however, for cleaning spray nozzles and auxiliary equipment, solvents having flash points not less than those normally used in spray operations may be used.
(j) Cleaning operations using flammable or combustible solvents shall be conducted inside spray booths with ventilating equipment operated during cleaning or in other adequately ventilated locations.
(k) Spray booths shall not be alternately used for different types of coating materials, where the combination of materials may be conducive to spontaneous ignition, unless all deposits of the first used material are removed from the booth and exhaust ducts prior to spraying with the second.
(l) Unless spray booths are thoroughly cleaned before changing operations, booths used for application of pyroxylin finishes shall not be used for other purposes.
(m) Smoking shall be prohibited except in designated localities. “NO SMOKING” signs shall be conspicuously posted where hazard from flammable vapors may be reasonably expected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5454. Fixed Electrostatic Apparatus.
Note     •     History

(a) This Section shall apply to any equipment using electrostatically charged elements for the atomization, charging and (or) precipitation of hazardous materials for coatings on articles or for other similar purposes in which the charging or atomizing device is attached to a mechanical support and is not hand-held or manipulated.
(b) Electrostatic apparatus and devices used in connection with coating operations shall be of approved types.
(c) Transformers, high voltage supply, control apparatus, and all other electrical portions of the equipment, with the exception of high voltage grids, electrodes and electrostatic atomizing heads and their connections, shall be located outside of the spraying area or shall otherwise conform to the requirements of Section 5449.
(d) Electrodes and electrostatic atomizing heads shall be supported in permanent locations and shall be insulated from ground. Electrodes and electrostatic atomizing heads which are permanently attached to their bases, supports, or reciprocators, shall be deemed to comply with this Section. Insulators shall be nonporous. Fine wire elements when used shall be under tension at all times and be of unkinked hardened steel or material of comparable strength.
(e) High voltage leads shall be properly insulated and protected from mechanical injury or exposure to destructive chemicals. Any exposed element at high voltage shall be effectively guarded against accidental contact or grounding. An automatic means shall be provided for grounding the electrode system when the primary of its high voltage supply is electrically deenergized for any reason.
(f) All insulators shall be kept clean and dry.
(g) A safe distance shall be maintained between goods being painted and electrodes or electrostatic atomizing heads or conductors of at least twice the sparking distance. A suitable sign indicating this safe distance shall be conspicuously posted near the assembly.
(h) Goods being coated using this process shall be supported on conveyors or hangers. The conveyors or hangers shall be so arranged as to assure that the parts being coated are electrically connected to ground and to maintain safe distances between the goods and the electrodes or electrostatic atomizing heads at all times. Goods shall be supported to prevent swinging or movement which would reduce the clearance to less than that specified in (h).
(i) Electrostatic apparatus shall be equipped with automatic means which will rapidly de-energize and ground the high voltage elements under any of the following conditions:
(1) Stoppage of ventilating fans or failure of ventilating equipment from any cause.
(2) Stoppage of the conveyor carrying goods through the high voltage field.
(3) Occurrence of a ground or excessive current leakage at any point on the high voltage system.
(4) Reduction of clearance below that specified in (g).
(5) De-energizing the primary of the power supply.
(j) Safeguards such as booths, fencing, railings or other means shall be so placed about the equipment or incorporated therein that they, either by their location or character or both, assure that a safe isolation of the process is maintained from plant storage or personnel. Mechanical guards shall be at least 5 feet from processing equipment.
(k) All electrically conductive objects in the spraying area, except those objects required by the process to be at high voltage, shall be adequately grounded. This requirement shall apply to paint containers, wash cans, guards and any other electrically conductive objects or devices in the area. The equipment shall carry a prominent permanently installed warning regarding the necessity for this grounding feature.
(l) All areas used for spraying, including the interior of the booth, shall be protected by automatic sprinklers where this protection is available. Where this protection is not available, other approved automatic extinguishing equipment shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5455. Electrostatic Hand Spraying Equipment.
Note     •     History

(a) This Section shall apply to any equipment using electrostatically charged elements for the atomization, charging and (or) precipitation of materials for coatings on articles, or for other similar purposes in which the atomizing device is hand-held and manipulated during the spraying operation.
(b) Electrostatic hand spray apparatus and devices used in connection with coating operations shall be of approved types. The high voltage circuits shall be designed so as to not produce a spark of sufficient intensity to ignite the most hazardous of those vapor-air mixtures likely to be encountered, nor result in appreciable shock hazard upon coming in contact with a grounded object under all normal operating conditions.
(c) The electrostatically charged exposed elements of the hand gun shall be capable of being energized only by an actuator which also controls the coating material supply.
(d) Transformers, high voltage supply, control apparatus, and all other electrical portions of the equipment shall be located outside of the spraying area or shall otherwise conform to the requirements of Section 5449.

Exception: The hand gun and its connections to the power supply.
(e) The handle of the spray gun shall be electrically connected to ground by a metallic connection and be so constructed that the operator in normal operating position is in intimate electrical contact with the grounded handle to prevent buildup of a static charge on the operator's body. Signs indicating the necessity for grounding other persons entering the spraying area shall be conspicuously posted.
Whenever gloves are worn by the operator during electrostatic hand spraying, the grounding contact between the operator and the grounded handle of the spray gun shall be maintained.
(f) All electrically conductive objects in the spraying area shall be grounded. This requirement shall apply to paint containers, wash cans and any other electrically conductive objects or devices in the area. The equipment shall carry a prominent permanently installed warning regarding the necessity for this grounding feature.
(g) Objects being coated shall be maintained in electrical contact with the conveyor or other grounded support. Hooks shall be regularly cleaned to insure this contact and areas of contact shall be sharp points or knife edges where possible. Points of support of the object shall be concealed from random spray where feasible and where the objects being sprayed are supported from a conveyor, the point of attachment to the conveyor shall be so located as to not collect spray material during normal operation.
(h) The electrical equipment shall be so interlocked with the ventilation of the spraying area that the equipment cannot be operated unless the ventilation fans are in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5456. Drying, Curing or Fusion Apparatus.
Note     •     History

(a) Drying, curing or fusion apparatus in connection with spray application of flammable and combustible coatings shall conform to the Standard for Ovens and Furnaces, NFPA No. 86A1977, where applicable and shall also conform to the following subsections.
(b) Spray booths, rooms or other enclosures used for spraying operations shall not alternately be used for the purpose of drying by any arrangement which will cause a substantial increase in the surface temperature of the spray booth, room or enclosure.
(c) Except as specifically provided in (d), drying, curing or fusion units utilizing a heating system having open flames or which may produce sparks shall not be installed in a spraying area, but may be installed adjacent thereto when equipped with an interlocked ventilating system arranged to:
(1) Thoroughly ventilate the drying space before heating system can be started;
(2) Maintain a safe atmosphere at any source of ignition;
(3) Automatically shut down heating system in the event of failure of the ventilating system.
(d) When automobile refinishing spray booths or enclosures are used for drying using portable electrical infrared drying apparatus, the following shall apply:
(1) Interior (especially floors) of spray enclosures shall be kept free of overspray deposits.
(2) During spray operations, the drying apparatus and electrical connections and wiring thereto shall not be located within spray enclosure nor in any other location where spray residue may be deposited thereon.
(3) Spraying apparatus, drying apparatus, and ventilating system of spray enclosure shall be equipped with suitable interlocks so arranged that:
(A) Spraying apparatus cannot be operated while drying apparatus is inside spray enclosure.
(B) Spray enclosure will be purged of spray vapors for a period of not less than three minutes before drying apparatus can be energized.
(C) Ventilating system will maintain a safe atmosphere within the enclosure during the drying process and drying apparatus will automatically shut off in the event of failure of the ventilating system.
(4) All electrical wiring and equipment of drying apparatus shall conform to the applicable sections of the Electrical Safety Orders. Only equipment approved for Class I, Division 2 locations shall be located within 18 inches of floor level. All metallic parts of drying apparatus shall be electrically bonded and grounded.
(5) Drying apparatus shall contain a prominently located permanently attached warning sign indicating that ventilation shall be maintained during the drying period and spraying shall not be so conducted in the vicinity that spray will deposit on apparatus.
(e) Fusion facilities shall be ventilated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5457. Electrical.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5458. Ventilation.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5459. Automobile Undercoating in Garages.
Note     •     History

Undercoating spray operations shall conform to all requirements of this Article pertaining to spray finishing operations.

Exception: Automobile undercoating operations in garages, conducted in areas having adequate natural or mechanical ventilation, are exempt from the requirements pertaining to spray coating operations, when undercoating materials not more hazardous than kerosene (as classified by Underwriters Laboratories in respect to fire hazard rating 30-40) are used, or undercoating materials using only solvents having a flash point in excess of 100o F(37.8o C) are used, and no open flames or other sources of ignition are within 20 feet while such operations are conducted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
§5460. Powder Coating.
Note     •     History

(a) This section shall apply to processes in which combustible dry powders are applied such as:
(1) Fluidized bed.
(2) Electrostatic fluidized bed.
(3) Powder spray guns.
(4) Electrostatic powder spray guns.
(b) Powder coating operations shall be confined to properly designed enclosures protected with automatic fire extinguishing systems.
(c) Powder shall be effectively confined by conducting coating operations within:
(1) Completely enclosed, adequately ventilated rooms of noncombustible construction with smooth surfaces designed to prevent accumulation of powder and to facilitate cleaning, or
(2) Adequately ventilated spray booths and by using effectively enclosed, adequately ventilated containers (tanks, bins, etc.) of noncombustible material.
(d) Electrical equipment shall conform to the requirements of the Electrical Safety Orders.
(e) Powder transport, application and recovery equipment shall be grounded.
(f) Ventilation requirements shall conform to the provisions of Section 5153 and 5143.
(g) All areas including horizontal surfaces such as ledges, beams, pipes, hoods and booth floors shall be periodically cleaned to prevent the accumulation of powder.
(h) Surfaces shall be cleaned in such manner as to avoid scattering powder or creating powder clouds. Vacuum sweeping equipment where used, shall be of a type approved for use in hazardous locations.
(i) Care shall be exercised to prevent tramp iron or spark producing material from being introduced into the powders being applied. Magnetic and filter type separators are recommended.
(j) Smoking shall be prohibited except in designated localities. “NO SMOKING” signs shall be conspicuously posted where hazard from flammable vapors or combustible powders are normally present.
(k) The provisions of Section 5454 and this section shall apply to fixed electrostatic equipment, except that electrical equipment not covered therein shall conform to (d) and (e) of this Section.
(l) The provisions of Section 5455 and this Section shall apply to electrostatic hand guns when used in powder coating.The high voltage circuits shall be designed so as not to produce a spark of sufficient intensity to ignite any powder-air mixtures likely to be encountered. The electrical equipment not covered by Section 5455 shall comply with (d) and (e) of this Section.
(m) Electrostatic fluidized beds and associated equipment shall be of approved types. The high voltage circuits shall be so designed that any discharge produced when the charging electrodes of the bed are approached, or contacted by a grounded object shall not be of sufficient intensity to ignite any powder-air mixture likely to be encountered, nor result in an appreciable shock hazard.
(n) Transformers, high voltage supply, control apparatus and all other electrical portions of the equipment, with the exception of the charging electrodes and their connections to the power supply shall be located outside of the powder coating area or shall otherwise conform to the requirements (d) and (e) of this Section.
(o) All electrically conductive objects within the powder coating area shall be grounded. The powder coating equipment shall carry a prominent, permanently installed warning regarding the necessity for grounding these objects.
(p) Objects being coated shall be maintained in electrical contact with the conveyor or other support in order to insure proper grounding. Hangers shall be regularly cleaned to insure effective contact and areas of contact shall be sharp points or knife edges where possible.
(q) The electrical equipment shall be so interlocked with the ventilation system that the equipment cannot be operated unless the ventilation fans are in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51).
§5461. Organic Peroxides and Dual Component Coatings.
Note     •     History

(a) Extreme care shall be exercised at all times to prevent the contamination of organic peroxide initiators with any foreign substance. Only spray guns and related handling equipment specifically manufactured for use with organic peroxides shall be used. Separate pressure vessels and inserts specific for the application shall be used for the resin and for the organic peroxide and they shall not be interchanged.
(b) Organic peroxide pressure tank inserts shall be constructed of stainless steel, polyethylene, or other chemically nonreactive materials.
(c) Extreme care shall be exercised to prevent any mixing of dusts or overspray residues resulting from the sanding or spraying of finishing materials containing organic peroxides with other materials. Such mixing may result in a spontaneous fire or explosion.
(d) All spilled peroxides shall be promptly removed so there are no residues. Spilled material may be absorbed by using a noncombustible absorbent and then promptly disposed of in accordance with the manufacturer's recommendation.
(e) Organic peroxides shall be stored in a cool, detached building apart from other finishing materials, and only minimum daily requirements shall be brought to the processing area; such material remaining at the spraying station at the end of a day's operations shall be carefully disposed of. Organic peroxides shall be kept away from all sources of heat including steam pipes, radiators, open flames or sparks and solar radiation.
(f) Extreme care shall be exercised in handling organic peroxides to avoid shock and friction which can cause decomposition and violent reaction.
(g) Organic peroxides shall not be mixed directly with any accelerators or promoters as violent decomposition or explosion may result.
(h) Smoking shall be prohibited and “No Smoking” signs shall be prominently displayed and only nonsparking tools shall be used in any area where organic peroxides are stored, mixed or applied.
(i) Only specifically trained personnel shall be permitted to work with these materials.
(j) Spraying with organic peroxides and other dual-component coatings shall be conducted only in sprinkler-equipped spray booths.
(k) All wetted portions of organic peroxide handling equipment shall be constructed of stainless steel (300 series), polyethylene, Teflon (registered trademark) or other materials which are specifically recommended for the application.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (j) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment of subsection (g) and new subsection (k) filed 12-5-86; effective thirtieth day thereafter (Register 86, No. 51). 
Article 138. Hydrogen
§5465. Gaseous Hydrogen at Consumer Sites.
History

(a) Purpose. This Section covers the general principles for the installation of gaseous hydrogen systems on consumer premises where the hydrogen supply to the consumer premises originates outside the consumer premises and is delivered by mobile equipment.

Exceptions: 
1. Systems using containers have a total hydrogen content of less than 400 CF.
2. Hydrogen manufacturing plants or other establishments operated by the hydrogen supplier or his agent for the purpose of storing hydrogen and refilling portable containers, trailers, mobile supply trucks or tank cars.
(Title 24, T8-5465)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5466. Design of Hydrogen Systems.

(a) Hydrogen containers shall comply with one of the following:
(1) Designed, constructed, and tested in accordance with appropriate requirements of ASME Boiler and Pressure Vessel Code, Section VIII Unfired Pressure Vessels (1974).
(2) Designed, constructed, tested and maintained in accordance with U.S. Department of Transportation (formerly Interstate Commerce Commission) Specifications and Regulations.
(b) Permanently installed containers shall be provided with substantial noncombustible supports on firm, noncombustible foundations.
(c) Each portable container and manifold hydrogen supply unit shall be legibly marked with the name HYDROGEN or a legend such as “This unit contains hydrogen,” the height of the letters shall not be less than 1/25th of the diameter of the cylinder, the stroke shall be not less than 1/8th inch. 
§5467. Safety Relief Devices.

(a) Hydrogen containers shall be equipped with safety relief devices as required by the ASME Code or the DOT Specification and Regulations under which the container is fabricated.
(b) Safety relief devices shall be arranged to discharge upward and unobstructed to the open air in such a manner as to prevent any impingement of escaping gas upon the container, adjacent structures or personnel. This requirement does not apply to DOT Specification containers having an internal volume of 2.0 cubic feet or less.
(c) Safety relief devices or vent piping shall be designed or located so that moisture cannot collect and freeze in a manner which would interfere with proper operation of the device. 
§5468. Piping, Tubing and Fittings.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 4-30-99; operative 5-30-99 (Register 99, No. 18).
§5469. Equipment Assembly.

(a) Valves, gauges, regulators and other accessories shall be suitable for hydrogen service.
(b) Installation of hydrogen systems shall be supervised by personnel familiar with proper practices with reference to their construction and use.
(c) Storage containers, piping, valves, regulating equipment and other accessories shall be readily accessible, and shall be protected against physical damage and against tampering.
(d) Cabinets or housings containing hydrogen control or operating equipment shall be adequately ventilated.
(e) Each mobile hydrogen supply unit used as part of a hydrogen system shall be adequately secured to prevent movement.
(f) Mobile hydrogen supply units shall be electrically bonded to the system before discharging hydrogen. 
§5470. Marking.

The hydrogen storage location shall be permanently placarded as follows: “HYDROGEN FLAMMABLE GAS NO SMOKING NO OPEN FLAMES,” or equivalent. 
§5471. Testing.

After installation, all piping, tubing and fittings shall be tested and proved hydrogen gas tight at maximum operating pressure. 
§5472. Location of Gaseous Hydrogen Systems.

(a) The system shall be located so that it is readily accessible to delivery equipment and to authorized personnel.
(b) Systems shall be located above ground.
(c) Systems shall not be located beneath electric power lines.
(d) Systems shall not be located close to flammable liquid piping or piping of other flammable gases.
(e) Systems near above ground flammable liquid storage shall be located on ground higher than the flammable liquid storage except when dikes, diversion curbs, grading, or separating solid walls are used to prevent accumulation of flammable liquids under the system. 
§5473. Specific Requirements.
History

(a) The location of a system, as determined by the maximum total contained volume of hydrogen, shall be in the order of preference as indicated by Roman numerals in Table H-1.

Table H-1 

	                           Size of Hydrogen System               

	Less	3,000 CF	In Excess
Nature of Location	than	to	of
	3,000 CF	15,000 CF	15,000 CF
				
Outdoors	I	I	I
				
In a separate building	II	II	II
				
In a special room	III	III	Not
			Permitted
				
Inside buildings not in a		Not	Not
  special room and exposed	IV	Permitted	Permitted
  to other occupancies
				
(b) The minimum distance in feet from a hydrogen system of indicated capacity located outdoors, in separate buildings or in special rooms to any specified outdoor exposure shall be in accordance with Table H-2.
(c) The distance in Table H-2, Items 1, 14 and 3 to 10 inclusive do not apply where protective structures such as adequate fire walls are located between the system and the exposure.
(d) Hydrogen systems of less than 3,000 CF when located inside buildings and exposed to other occupancies shall be situated in the building so that the system will be as follows:
(1) In an adequately ventilated area as in Section 5475(b).
(2) 20 feet from stored flammable materials or oxidizing gases.
(3) 25 feet from open flames, ordinary electrical equipment or other sources of ignition.
(4) 25 feet from concentrations of people.
(5) 50 feet from intakes of ventilation or air conditioning equipment and air compressors.
(6) 50 feet from other flammable gas storage.
(7) Protected against damage or injury due to falling objects or working activity in the area.
(8) More than one system of 3,000 CF or less may be installed in the same room, provided the systems are separated by at least 50 feet. Each such system shall meet all of the requirements of this Section.

Table H-2

	         Size of Hydrogen System    

			Less  	3,000 CF	In Excess
Type of Outdoor Exposure	than   	to      	of       
			3,000 CF	15,000 CF	15,000 CF
					
1. Building or		Wood Frame Construction*	10	25	50
   Structure	Heavy Timber, Noncom-
	  bustible or Ordinary Con-
	  struction*	0	10	25*
	Fire Resistive
	  Construction* 	0	0	0
					
2. Wall Openings	Not above any part of a	10	10	10
	  system
	Above any part of a system	25	25	25
					
3. Flammable
    liquids	0-1,000 gallons	10	25	25
  above ground	In excess of 1,000 gallons	25	50	50
					
4. Flammable
    liquids	Tank	10	10	10
    below ground--
    0-1,000
    gallons	Vent or fill opening of tank	25	25	25
					
5. Flammable
    liquids	Tank	20	20	20
    below ground--
    in excess of
    1,000
    gallons	Vent or fill opening of tank	25	25	25
					
6. Flammable gas
    storage	0-15,000 CF capacity	10	25	25
    age, either high
  pressure or
  low 	in excess of 15,000 CF
  pressure	capacity	25	50	50

7. Oxygen
    Storage	12,000 CF or less	Refer to NFPA No. 51, Gas 
		Systems
		for Welding and Cutting
	More than 12,000 CF	Refer to NFPA No. 50, Bulk
		Oxygen
		Systems at Consumer Sites

8. Fast burning solids such as ordinary lumber,	50	50	50
     excelsior or paper
					
9. Slow burning solids such as heavy timber or	25	25	25
    coal
					
10. Open flames and other sources of ignition	25	25	25
					
11. Air compressor intakes or inlets to ventilating	50	50	50
     or air-conditioning equipment
					
12. Concentration of people***	25	50	50
					
13. Public Sidewalks		15	15	15
					
14. Line of adjoining property which may be built	5	5	5
      upon

* Refer to NFPA No. 220, Standard Types of Building Construction for definitions of various types of construction.

** But not less than one-half the height of adjacent side wall of the structure.

*** In congested areas such as offices, lunchrooms, locker rooms, time-clock areas and places of public assembly.
HISTORY

1. Editorial correction of Table H-2 (Register 76, No. 9).
§5474. Design Considerations at Specific Locations.
History

(a) Where protective walls or roofs are provided, they shall be constructed of noncombustible materials.
(b) Where the enclosing sides adjoin each other, the enclosed area shall be properly ventilated.
(c) Electrical equipment within 15 feet shall be in accordance with the California Electrical Safety Orders for Class I, Division 2 locations. (Title 24, T8-5474)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5475. Separate Buildings.
History

(a) Separate buildings shall be built of at least noncombustible construction. Windows and doors shall be located so as to be readily accessible in case of emergency. Windows shall be of glass or plastic in metal frames.
(b) Adequate ventilation to the outdoors shall be provided. Inlet openings shall be located near the floor in exterior walls only. Outlet openings shall be located at the high point of the room in exterior walls or roof. Inlet and outlet openings shall each have a minimum total area of one (1) square foot per 1,000 cubic feet of room volume. Discharge from outlet openings shall be directed or conducted to a safe location.
(c) Explosion venting shall be provided in exterior walls or roof only. The venting area shall be equal to not less than one square foot per 30 cubic feet of room volume and may consist of any one or any combination of the following: walls of light, noncombustible material, preferably single thickness, single strength glass; lightly fastened hatch covers; lightly fastened swinging doors in exterior walls opening outward; lightly fastened walls or roof designed to relieve at a maximum pressure of 25 lb. per sq. ft.
(d) There shall be no sources of ignition from open flames, electrical equipment, or heating equipment.
(e) Electrical equipment shall be in accordance with the California Electrical Safety Orders for Class I, Division 2 locations.
(f) Heating, if provided, shall be by steam, hot water, or other indirect means. (Title 24, T8-5475)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5476. Special Rooms.
History

(a) Floor, walls, and ceiling shall have a fire-resistance rating of at least two hours. Walls or partitions shall be continuous from floor to ceiling and shall be securely anchored. At least one wall shall be an exterior wall. Openings to other parts of the building shall not be permitted. Windows and doors shall be in exterior walls and shall be located so as to be readily accessible in case of emergency. Windows shall be of glass or plastic in metal frames.
(b) Ventilation shall be as provided in 5475(b).
(c) Explosion venting shall be as provided in 5475(c).
(d) There shall be no sources of ignition from open flames, electrical equipment, or heating equipment.
(e) Electrical equipment shall be in accordance with the California Electrical Safety Orders for Class I, Division 2 locations.
(f) Heating, if provided, shall be by steam, hot water, or indirect means. (Title 24, T8-5476)
HISTORY

1. Amendment of subsection (a) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5477. Operating Instructions.

For installations which require any operation of equipment by the user, legible instructions shall be maintained at operating locations. 
§5478. Maintenance.

(a) Each hydrogen system installed on consumer premises shall be inspected annually and maintained by a qualified representative of the equipment owner.
(b) The area within 15 feet of any hydrogen container shall be kept free of dry vegetation and combustible material. 
§5480. Liquefied Hydrogen Systems at Consumer Sites.
History

(a) Purpose. This section covers the general principles recommended for the installation of liquefied hydrogen systems on consumer premises where the liquid hydrogen supply to the consumer premises originates outside the consumer premises and is delivered by mobile equipment.

Exceptions: 
(1) Portable containers having a total liquefied hydrogen content of less than 150 liters (39.63 gallons).
(2) Liquefied hydrogen manufacturing plants or other establishments operated by the hydrogen supplier or his agent for the sole purpose of storing liquefied hydrogen and refilling portable containers, trailers, mobile supply trucks or tank cars.
(Title 24, T8-5480)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5481. Design of Liquefied Hydrogen Systems.

(a) Hydrogen containers shall comply with the following:
(1) Storage containers shall be designed, constructed, and tested in accordance with appropriate requirements of the ASME Boiler and Pressure Vessel Code, Section VIII Unfired Pressure Vessels (1974) or applicable provisions of API Standard 620, Recommended Rules for Design & Construction of Large, Welded, Low-Pressure Storage Tanks, Second Edition (June 1963) and Appendix R (April 1965).
(2) Portable containers shall be designed, constructed and tested in accordance with U. S. Department of Transportation Specifications and Regulations. 
§5482. Supports.
History

Permanently installed containers shall be provided with substantial noncombustible supports securely anchored on firm noncombustible foundations. Steel supports in excess of 18 inches in height shall be protected with protective coating having a 2-hour fire-resistance rating. (Title 24, T8-5482)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5483. Marking.

Each container shall be legibly marked to indicate “LIQUEFIED HYDROGEN--FLAMMABLE GAS.”
(See Section 5466(c).) 
§5484. Safety Relief Devices.

(a) Stationary liquefied hydrogen containers shall be equipped with safety relief devices sized in accordance with CGA Pamphlet S-1, Part 3, Safety Relief Device Standards for Compressed Gas Storage Containers.
(b) Portable liquefied hydrogen containers complying with the U.S. Department of Transportation Regulations shall be equipped with safety relief devices as required in the U.S. Department of Transportation Specifications and Regulations. Safety relief devices shall be sized in accordance with the requirements of CGA Pamphlet S-1, Safety Relief Device Standards, Part 1, Compressed Gas Cylinders and Part 2, Cargo and Portable Tank Containers.
(c) Safety relief devices shall be arranged to discharge unobstructed to the outdoors and in such a manner as to prevent impingement of escaping liquid or gas upon the container, adjacent structures or personnel. See Section 5491(f) for venting of safety relief devices in special locations.
(d) Safety relief devices or vent piping shall be designed or located so that moisture cannot collect and freeze in a manner which would interfere with proper operation of the device.
(e) Safety relief devices shall be provided in piping wherever liquefied hydrogen could be trapped between closures. 
§5485. Piping, Tubing and Fittings.
Note     •     History

(a) Piping, tubing and fittings and gasket and thread sealants shall be suitable for hydrogen service at the pressures and temperatures involved. Cast iron pipe and fittings shall not be used.
NOTES:

1. Consideration shall be given to the thermal expansion and contraction of piping systems when exposed to temperature fluctuations of ambient to liquefied hydrogen temperatures.

2. Some materials suitable for liquefied hydrogen temperature are austenitic chromium-nickel alloys, certain copper alloys, and aluminum which retain ductility and do not become brittle at the temperature of liquefied hydrogen.
(b) Hydrogen piping and tubing.
(1) Hydrogen piping and tubing installed after May 30, 1999, shall conform to  ASME B31.3-1996, Process Piping, which is hereby incorporated by reference.
(2) Hydrogen piping and tubing installed on or before May 30, 1999, shall conform to either the American National Standard Code for Pressure Piping, Petroleum Refinery Piping, ANSI B31.3-1973, or the updated version of the ANSI/ASME B31.3 standard in effect at the time of installation.
(3) For temperatures of -20oF to -320oF, hydrogen piping shall be approved as defined Section 3206 of the General Industry Safety Orders.
(c) Joints in piping and tubing shall preferably be made by welding or brazing; flanged, threaded, socket or suitable compression fittings may be used.
(d) Means shall be provided to minimize exposure of personnel to piping operating at low temperatures and to prevent air condensate from contacting piping, structural members and surfaces not suitable for cryogenic temperatures. Only those insulating materials which are rated nonburning in accordance with ASTM Procedure D-1692-68 may be used. Other protective means may be used to protect personnel. The insulation shall be designed to have a vapor-tight seal in the outer covering to prevent the condensation of air and subsequent oxygen enrichment within the insulation. The insulation material and outside shield shall also be of adequate design to prevent attrition of the insulation due to normal operating conditions.
(e) Uninsulated piping and equipment which operate at liquefied-hydrogen temperature shall not be installed above asphalt surfaces or other combustible materials in order to prevent contact of liquid air with such materials. Drip pans may be installed under uninsulated piping and equipment to retain and vaporize condensed liquid air. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b), new subsections (b)(1)-(3) and new Note filed 4-30-99; operative 5-30-99 (Register 99, No. 18).
§5486. Equipment Assembly.

(a) Valves, gages, regulators and other accessories shall be suitable for liquefied hydrogen service and for the pressures and temperatures involved.
(b) Installation of liquefied hydrogen systems shall be supervised by personnel familiar with proper practices and with reference to their construction and use.
(c) Storage containers, piping, valves, regulating equipment and other accessories shall be readily accessible and shall be protected against physical damage and against tampering. A shutoff valve shall be located in liquid product withdrawal lines as close to the container as practical. On containers of over 2,000 gallons capacity, this shutoff valve shall be of the remote control type with no connections, flanges or other appurtenances (other than a welded manual shutoff valve) allowed in the piping between the shutoff valve and its connection to the inner container.
(d) Cabinets or housings containing hydrogen control equipment shall be ventilated to prevent any accumulation of hydrogen gas. 
§5487. Testing.

(a) After installation, all field erected piping shall be tested and proved hydrogen gastight at operating pressure and temperature.
(b) Containers if out of service in excess of one year shall be inspected and tested as outlined in (a). The safety relief devices shall be checked to determine if they are operable and properly set. 
§5488. Liquefied Hydrogen Vaporizers.

(a) The vaporizer shall be anchored and its connecting piping shall be sufficiently flexible to provide for the effect of expansion and contraction due to temperature changes.
(b) The vaporizer and its piping shall be adequately protected on the hydrogen and heating media sections with safety relief devices.
(c) Heat used in a liquefied hydrogen vaporizer shall be indirectly supplied utilizing media such as air, steam, water, or water solutions.
(d) A low temperature shutoff switch shall be provided in the vaporizer discharge piping to prevent flow of liquefied hydrogen in the event of the loss of the heat source. 
§5489. Electrical Systems.
History

(a) Electrical wiring and equipment located within 3 feet of a point where connections are regularly made and disconnected, shall be in accordance with the California Electrical Safety Orders for Class I, Group B, Division 1 locations.
(b) Except as provided in (a), electrical wiring and equipment located within 25 feet of a point where connections are regularly made and disconnected or within 25 feet of a liquid hydrogen storage container, shall be in accordance with the California Electrical Safety Orders for Class I, Group B, Division 2 locations. When equipment approved for Class I, Group B atmospheres is not commercially available, the equipment may be purged or ventilated in accordance with NFPA No. 496, Standard for Purged Enclosures for Electrical Equipment in Hazardous Locations, or intrinsically safe, or approved for Class I, Group C atmospheres. This requirement does not apply to electrical equipment which is installed on mobile supply trucks or tank cars from which the storage container is filled. (Title 24, T8-5489)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5490. Bonding and Grounding.

The liquefied hydrogen container and associated piping shall be electrically bonded and grounded. 
§5491. Location of Liquefied Hydrogen Storage.

(a) The storage containers shall be located so that they are readily accessible to non-sparking mobile supply equipment at ground level and to authorized personnel.
(b) The containers shall not be exposed by electric power lines, flammable liquid lines, flammable gas lines, or lines carrying oxidizing materials.
(c) When locating liquefied hydrogen storage containers near aboveground flammable liquid storage or liquid oxygen storage, it is advisable to locate the liquefied hydrogen container on ground higher than flammable liquid storage or liquid oxygen storage.
(d) Where it is necessary to locate the liquefied hydrogen container on ground that is level with or lower than adjacent flammable liquid storage or liquid oxygen storage, suitable protective means shall be taken (such as by diking, diversion curbs, or grading), with respect to the adjacent flammable liquid storage or liquid oxygen storage, to prevent accumulation of liquids within 50 feet of the liquefied hydrogen container.
(e) Storage sites shall be fenced and posted to prevent entrance by unauthorized personnel. Sites shall also be placarded as follows: “LIQUEFIED HYDROGEN--FLAMMABLE GAS NO SMOKING NO OPEN FLAMES.”
(f) If liquefied hydrogen is located (as specified in Table H-3) in a separate building, in a special room, or inside buildings when not in a special room and exposed to other occupancies, containers shall have the safety relief devices vented unobstructed to the outdoors at a minimum elevation of 25 feet above grade to a safe location as required in 5484(b). 
§5492. Specific Requirements.
History

(a) The location of liquefied hydrogen storage, as determined by the maximum total quantity of liquefied hydrogen, shall be in the order of preference as indicated by Roman numerals in the following Table H-3:

Table H-3
Maximum Total Quantity of Liquefied Hydrogen Storage Permitted

                                                  	 Size of Hydrogen Storage (Capacity in Gallons)
	39.63			In excess 
Nature of Location	(150 liters)	51 to 300	301 to 600	of 600   
	to 50
Outdoors	I	I	I	I
In a separate building	II	II	II	Not permitted
In a special room	III	III	Not permitted	Not permitted
Inside buildings not in
  a special room and
  exposed to other
  occupancies	IV	Not 	Not 	Not
		permitted	permitted	 permitted

Note: This table does not apply to the storage in dewars of the type generally used in laboratories for experimental purposes.
(b) The minimum distance in feet from liquefied hydrogen systems of indicated storage capacity located outdoors, in a separate building, or in a special room to any specified exposure shall be in accordance with Table H-4.

Table H-4
Minimum Distance (feet) from Liquefied Hydrogen Systems to Exposures

		   Liquefied Hydrogen Storage 
	39.63	3,501	15,001
Type of Exposure	(150 liters)	to	to
	3,500	15,000	30,000
1. Fire-resistive Building and	5	5	5
  Fire Walls*
2. Noncombustible Building*	25	50	75
3. Other Buildings*	50	75	100
4. Wall Openings, Air Compressor	75	75	75
  Intakes, Inlets for Air-
  Conditioning or Ventilating Equipment
5. Flammable Liquids (Above-	50	75	100
  ground and Vent or Fill
  Openings if Below Ground)
  (See 5491(c) and (d))
6. Between Stationary Liquefied	5	5	5
  Hydrogen Containers
7. Flammable Gas Storage	50	75	100
8. Liquid Oxygen Storage and	100	100	100
  other Oxidizers (See 5491(c) and (d))
9. Combustible Solids	50	75	100
10. Open Flames, Smoking and	50	50	50
  Welding
11. Concentrations of People**	75	75	75
12. Public Ways, Railroads, and	25	50	75
  Property Lines

* Refer to NFPA No. 220, “Standard Types of Building Construction,” for definitions of construction types.

** In congested areas such as offices, lunchrooms, locker rooms, time clock areas, and places of public assembly.
Note: 1: The distances in Nos. 2, 3, 5, 7, 8, 9 and 12, in Table 2, may be reduced where protective structures, such as fire walls equal to height of top of the container, to safeguard the liquefied hydrogen storage system, are located between the liquefied hydrogen storage installation and the exposure. (See definition of Outdoor Location, Section 5415.)
Note: 2: Where protective structures are provided, ventilation and confinement of product shall be considered. The 5-foot distance in Nos. 1 and 6 facilitates maintenance and enhances ventilation.
HISTORY

1. Amendment of Table H-4 filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10). 
§5493. Handling of Liquefied Hydrogen Inside Buildings Other Than Separate Buildings and Special Rooms.

(a) Portable liquefied hydrogen containers of 50 gallons or less capacity as permitted in Table H-3 and in compliance with Section 5491(f) when housed inside buildings not located in a special room and exposed to other occupancies shall comply with the following minimum requirements:
(1) Be located 20 feet from flammable liquids and readily combustible materials such as excelsior or paper.
(2) Be located 25 feet from ordinary electrical equipment, and other sources of ignition including process or analytical equipment. (See Section 5489.)
(3) Be located 25 feet from concentrations of people.
(4) Be located 50 feet from intakes of ventilation and air-conditioning equipment or intakes of compressors.
(5) Be located 50 feet from storage of other flammable gases or storage of oxidizing gases.
(6) Containers shall be protected against damage or injury due to falling objects or work activity in the area.
(7) Containers shall be firmly secured and stored in an upright position.
(8) Welding or cutting operations, and smoking shall be prohibited while hydrogen is in the room.
(9) The area shall be adequately ventilated. Safety relief devices on the containers shall be vented directly outdoors or to a suitable hood. See Sections 5469(b) and 5491(f). 
§5494. Design Considerations at Specific Locations.
History

(a) Roadways and yard surfaces located below liquefied hydrogen piping, from which liquid air may drip, shall be constructed of noncombustible materials.
(b) If protective walls are provided, they shall be constructed of noncombustible materials and in accordance with the provisions of the definition of “Outdoor Location” (See Section 5415) as applicable.
(c) Electrical wiring and equipment shall comply with Sections 5489 (a) and (b).
(d) Adequate lighting shall be provided for nighttime transfer operation. (Title 24, T8-54954).
HISTORY

1. Amendment of subsections (b) and (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5495. Separate Buildings.
History

(a) Separate buildings shall be of light, noncombustible construction on a substantial frame. Walls and roofs shall be lightly fastened and designed to relieve at a maximum internal pressure of 25 pounds per square foot. Windows shall be of shatterproof glass or plastic in metal frames. Doors shall be located in such a manner that they will be readily accessible to personnel in an emergency.
(b) Adequate ventilation to the outdoors shall be provided. Inlet openings shall be located near the floor level in exterior walls only. Outlet openings shall be located at the high point of the room in exterior walls or roof. Both the inlet and outlet vent openings shall have a minimum total area of one square foot per 1,000 cubic feet of room volume. Discharge from outlet openings shall be directed or conducted to a safe location.
(c) There shall be no sources of ignition.
(d) Electrical wiring and equipment shall comply with Section 5489 except that the provisions of Subsection (b) of Section 5489 shall apply to all electrical wiring and equipment in the separate building.
(e) Heating, if provided, shall be by steam, hot water, or other indirect means. (Title 24, T8-5495)
HISTORY

1. Amendment of subsection (d) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5496. Special Rooms.
History

(a) Floors, walls and ceilings shall have a fire resistance rating of at least two hours. Walls or partitions shall be continuous from floor to ceiling and shall be securely anchored. At least one wall shall be an exterior wall. Openings to other parts of the building shall not be permitted. Windows and doors shall be in exterior walls and doors shall be located in such a manner that they will be accessible in an emergency. Windows shall be of shatterproof glass or plastic in metal frames.
(b) Ventilation shall be as provided in Section 5495(b).
(c) Explosion venting shall be provided in exterior walls or roof only. The venting area shall be equal to not less than one square foot per 30 cubic feet of room volume and may consist of any one or any combination of the following: walls of light noncombustible material; lightly fastened hatch covers; lightly fastened swinging doors opening outward in exterior walls; lightly fastened walls or roofs designed to relieve at a maximum pressure of 25 pounds per square foot.
(d) There shall be no sources of ignition.
(e) Electrical wiring and equipment shall comply with Section 5489 except that the provisions of Subsection (b) of Section 5489 shall apply to all electrical wiring and equipment in the special room.
(f) Heating, if provided, shall be steam, hot water, or by other indirect means. (Title 24, T8-5496)
HISTORY

1. Amendment of subsection (e) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5497. Operating Instructions.

(a) For installations which require any operation of equipment by the user, legible instructions shall be maintained at operating locations.
(b) A qualified person shall be in attendance at all times while the mobile hydrogen supply unit is being unloaded.
(c) Each mobile liquefied hydrogen supply unit used as part of a hydrogen system shall be adequately secured to prevent movement.
(d) The mobile hydrogen supply unit shall be grounded. 
§5498. Maintenance.

(a) Each liquefied hydrogen system installed on consumer premises shall be inspected annually and maintained by a qualified representative of the equipment owner.
(b) The area within 25 feet of any liquefied hydrogen equipment shall be kept free of dry vegetation and combustible material. 
Article 139. Oxygen
§5500. Bulk Oxygen Systems at Consumer Sites.
History

(a) Purpose. This Section covers the general principles recommended for the installation of bulk oxygen systems on industrial and institutional consumer premises where the supply to the consumer premises originates outside the consumer premises and is delivered by mobile equipment.

Exceptions: 
(1) Oxygen manufacturing plants or other establishments operated by the oxygen supplier or his agent for the purpose of storing oxygen and refilling portable containers, trailers, mobile supply trucks or tank cars.
(2) Bulk oxygen storage systems having capacities less than 20,000 cubic feet.
(Title 24, T8-5500)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5501. Location of Bulk Oxygen Systems.
History

(a) Bulk oxygen storage systems shall be located aboveground out of doors, or shall be installed in a building of noncombustible construction, adequately vented, and used for that purpose exclusively. The location selected shall be such that containers and associated equipment shall not be exposed by electric power lines, flammable or combustible liquid lines, or flammable gas lines.
(b) The system shall be located so that it is readily accessible to mobile supply equipment at ground level and to authorized personnel.
(c) Where oxygen is stored as a liquid, noncombustible surfacing shall be provided in an area extending at least 3 feet from points at ground level upon which any leakage of liquid oxygen might fall during operation of the system and filling of a storage container. Such an area under liquid delivery connections of mobile supply equipment shall be at least the full width of the vehicle and at least 8 feet in the transverse direction. For purposes of this Article, asphaltic or bitumastic paving is considered to be combustible. The slope, if any, of such areas shall consider possible flow of spilled liquid oxygen to adjacent combustible material.
Note: When locating bulk oxygen systems near aboveground flammable or combustible liquid storage which may be either indoors or outdoors, it is advisable to locate the system on ground higher than the flammable or combustible liquid storage.
(d) Where it is necessary to locate a bulk oxygen system on ground lower than adjacent flammable or combustible liquid storage, suitable means shall be taken (such as by diking, diversion curbs, or grading) with respect to the adjacent flammable or combustible liquid storage to prevent accumulation of liquids under the bulk oxygen system. (Title 24, T8-5501(a), (b))
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5502. Distance Between Bulk Oxygen Systems and Exposures.
Note     •     History

(a) Except as provided in (15), the minimum distance from any bulk oxygen storage container to exposures, measured in the most direct line (except as indicated in (5), shall be as indicated in (1) to (15) inclusive.
(1) 50 feet from buildings of wood frame construction.
(2) Not less than one foot (or other distance to permit system maintenance) from buildings of other than wood frame construction, including fire resistive, heavy timber, noncombustible, and ordinary construction.
(3) At least 10 feet from any opening in walls of adjacent structures. This provision shall apply to all elements of a bulk oxygen system where the oxygen storage is high pressure gas. Where the storage is as liquid, this provision shall apply to only pressure regulators, safety devices, vaporizers, manifolds, and interconnecting piping.
(4) Flammable and Combustible Liquid Storage Aboveground:

Distance (feet)	Capacity (gallons)
25	1000 or less
50	1001 or more
(5) Flammable and Combustible Liquid Storage Belowground:

	Distance Measured Horizontally	Distance from Oxygen Storage
	from Oxygen Storage Container	Container to Filling and Vent
	to Tank (feet)	Connections or Openings to Tank (feet)
	15	25
(6) 25 feet from quantities of flammable gases not exceeding 1,000 gallons of liquefied gases, or 25,000 cubic feet NTP for nonliquefied or dissolved gases. For quantities in excess of these, the distance shall be 50 feet.
(7) 50 feet from solid materials which burn rapidly, such as excelsior or paper.
(8) 25 feet from solid materials which burn slowly, such as coal and heavy timber.
(9) 75 feet in one direction and 35 feet in approximately 90 direction from confining walls (not including fire walls less than 20 feet high) to provide adequate ventilation in courtyards and similar confining areas.
(10) 25 feet from congested areas such as offices, lunchrooms, locker rooms, time clock areas, and similar locations where employees may congregate.
(11) 50 feet from places of public assembly.
(12) 50 feet from areas occupied by nonambulatory patients.
(13) 10 feet from any public sidewalk or parked vehicles.
(14) 5 feet from any line of adjoining property which may be built upon.
(15) The distances in (1), (4) to (8) inclusive, (13), and (14) do not apply where protective structures, such as fire walls or insulated liquid oxygen storage containers, interrupt the line-of-sight between uninsulated portions of the bulk oxygen storage installation and the exposure. In such cases, the uninsulated bulk oxygen installation shall be a minimum distance of 1 foot (or greater distance if required for system maintenance) from the protective structure. (Title 24, Part 6, Section T8-5502)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(15) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of subsection (a)(10) filed 9-19-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5503. Bulk Oxygen Storage Containers.

(a) Foundation and Supports. Permanently installed containers shall be provided with substantial noncombustible supports on firm noncombustible foundations.
(b) Liquid oxygen containers shall comply with (b)(1) or (b)(2).
(1) Be fabricated from materials meeting the impact test requirements of Paragraph UG-84 of the ASME Boiler and Pressure Vessel Code, Section VIII--Unfired Pressure Vessels (1974). Containers operating at pressures above 15 psig shall be designed, constructed and tested in accordance with appropriate requirements of the ASME Boiler and Pressure Vessel Code, Section VIII--Unfired Pressure Vessels (1974). Insulation surrounding the liquid oxygen container shall be noncombustible.
(2) Be designed, constructed, tested and maintained in accordance with U. S. Department of Transportation (DOT) Specifications and Regulations for 4L containers.
(c) High pressure gaseous oxygen containers shall comply with (c)(1) or (c)(2).
(1) Be designed, constructed and tested in accordance with appropriate requirements of the ASME Boiler and Pressure Vessel Code, Section VIII--Unfired Pressure Vessels (1974).
(2) Be designed, constructed, tested and maintained in accordance with U. S. Department of Transportation (DOT) Specifications and Regulations.
§5504. Piping, Tubing and Fittings.
Note     •     History

(a) Piping, tubing and fittings shall be suitable for oxygen service and for the pressures and temperatures involved.
(b) Piping and tubing installed after May 30, 1999, shall conform to ASME B31.3-1996, Process Piping, which is hereby incorporated by reference. Piping and tubing installed on or before May 30, 1999, shall conform to either the American National Standard Code for Pressure Piping, Petroleum Refinery Piping, ANSI B31.3-1973, or the updated version of the ANSI/ASME B31.3 standard in effect at the time of installation.
(c) Piping or tubing for operating temperatures below -20o F. shall be fabricated from materials meeting the impact test requirements of Paragraph UG-84 of ASME Boiler and Pressure Vessel Code, Section VIII Unfired Pressure Vessels (1974), when tested at the minimum operating temperature to which the piping may be subjected in service.
Note: Some materials suitable for low temperature piping are austenitic chromium-nickel alloy steels, copper, copper-silicon alloys, aluminum, and some brasses and bronzes. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new Note filed 4-30-99; operative 5-30-99 (Register 99, No. 18).
§5505. Safety Relief Devices.
History

(a) Bulk oxygen storage containers, regardless of design pressure, shall be equipped with safety relief devices as required by the ASME Code or the DOT Specifications and Regulations. (See Section 5503.)
(b) Bulk oxygen storage containers designed and constructed in accordance with a DOT Specification shall be equipped with safety relief devices as required by the DOT. See Subsection 5503(c)(2).
(c) Bulk oxygen storage containers designed and constructed in accordance with the ASME Boiler and Pressure Vessel Code, Section VIII--Unfired Pressure Vessels (1974), shall be equipped with safety relief devices meeting the provisions of Compressed Gas Association Pamphlet “Safety Relief Device Standards for Compressed Gas Storage Containers,” S-1, Part 3.
(d) Insulation casings on liquid oxygen containers shall be equipped with suitable safety relief devices.
(e) All safety relief devices shall be so designed or located that moisture cannot collect and freeze in a manner which could interfere with proper operation of the device.
HISTORY

1. Amendment of subsection (c) filed 3-2-76; effective thirtieth day thereafter (Register 76, No. 10). 
§5506. Liquid Oxygen Vaporizers.

(a) The vaporizer shall be anchored and its connecting piping be sufficiently flexible to provide for the effect of expansion and contraction due to temperature changes.
(b) The vaporizer and its piping shall be adequately protected on the oxygen and heating medium sections with safety relief devices.
(c) Heat used in an oxygen vaporizer shall be indirectly supplied only through mediums such as steam, air, water, or water solutions which do not react with oxygen.
(d) If electric heaters are used to provide the heat, the vaporizing system shall be electrically grounded. 
§5507. Equipment Assembly and Installation.

(a) Equipment making up a bulk oxygen system shall be cleaned in order to remove oil, grease or other readily oxidizable materials before placing the system in service.
(b) Joints in piping and tubing may be made by welding or by use of flanged, threaded, slip or compression fittings. Gaskets or thread sealants shall be suitable for oxygen service.
(c) Valves, gages, regulators and other accessories shall be suitable for oxygen service.
(d) Installation of bulk oxygen systems shall be supervised by personnel familiar with proper practices with reference to their construction and use.
(e) After installation all field erected piping shall be tested and proved gas tight at maximum operating pressure. Any medium used for testing shall be inert and oil free.
(f) Storage containers, piping, valves, regulating equipment, and other accessories shall be protected against physical damage and against tampering.
(g) Any enclosure containing oxygen control or operating equipment shall be adequately vented.
(h) The bulk oxygen storage location shall be permanently placarded to indicate: “OXYGEN--NO SMOKING--NO OPEN FLAMES,” or an equivalent warning.
Note: Bulk oxygen installations are not hazardous locations as defined and covered in the California Electrical Safety Orders. 
§5508. Operating Instructions.

For installations which require any operation of equipment by the user, legible instructions shall be maintained at operating locations. 
§5509. Maintenance.

(a) Each bulk oxygen system installed on consumer premises shall be periodically inspected and maintained by a qualified representative of the equipment owner.
(b) The area within 15 feet of any bulk oxygen storage container shall be kept free of dry vegetation and combustible material.
Article 140. Electrical Equipment
§5530. Scope.
Note     •     History

This article shall apply to areas where Class I liquids are stored or handled or where Class II or Class III liquids are stored or handled at a temperature above their flash points.
For areas where Class II or Class III liquids only are stored or handled at a temperature below their flash points, the electrical equipment may be installed in accordance with the provisions of the California Electrical Safety Orders for ordinary locations; however, care shall be used in locating electrical apparatus to prevent hot metal from falling into open equipment.
(a) All electrical equipment and wiring shall be of a type specified by and shall be installed in accordance with the California Electrical Safety Orders.
(b) In the application of classified areas, a classified area shall not extend beyond an unpierced floor, wall, roof or other solid partition.
(c) Where the provisions of this article require the installation of electrical equipment suitable for Class I, Division 1 or Division 2 locations, ordinary electrical equipment including switchgear may be used if installed in a room or enclosure which is maintained under positive pressure with respect to the classified area. Ventilation make-up air shall be uncontaminated by flammable vapors.
(1) Pressurizing or purging of classified areas shall be in compliance with NFPA 496-1974.
(d) The area classifications listed in Table FL-1 are based on the premise that the installation meets the applicable requirements of this section in all respects.
(e) Extent of classified areas shall be as contained in Table FL-1. (Title 24, T8-5530)

Table FL-1

	Class I		Extent of
Location	Division		Classified Area
Indoors equipment in-	1	Area within 5 feet of any edge of such equip-
stalled in accordance with	 	ment, extending in all directions.
5546(d) where flammable
vapor-air mixtures may ex-
ist under normal operations.
	2	Area between 5 feet and 8 feet of any edge of 
		such equipment, extending in all directions. 
		Also, area up to 3 feet above floor or grade 
		level within 5 feet to 25 feet horizontally 
		from any edge of such equipment.*
Outdoor equipment of the	1	Area within 3 feet of any edge of such equip-
type covered in 5546(d)		ment, extending in all directions.
where flammable vapor-
air mixtures may exist un-
der normal operations.
	2	Area between 3 feet and 8 feet of any edge of
		such equipment extending in all directions.
		Also, area up to 3 feet above floor or grade
		level within 3 feet to 10 feet horizontally
		from any edge of such equipment.
Tank--Aboveground (Un-
derground, see 5574)
  Shell, Ends, or Roof and	2	Within 10 feet from shell, ends or roof of
		tank
  Dike Area		Area inside dikes to level of top of dike.
  Vent	1	Within 5 feet of open end of vent, extending
		in all directions.
  Floating Roof	1	Area above the roof and within the shell.

Drum and Container Filling	1	Within 3 feet of vent and fill opening, ex
Outdoors, or Indoors		tending in all directions
with Adequate Ventilation		
	2	Area between 3 feet and 5 feet from vent or
		fill opening, extending in all directions. Also
		up to 18 inches above floor or grade level
		within a horizontal radius of 10 feet from
		vent or fill opening.
Pumps, Bleeders, With-
drawal, Fittings, Meters
and Similar Devices
  Indoors	2	Within 5 feet of any edge of such devices ex-
	tending in all directions. Also up to 3 feet
		above floor or grade level within 25 feet hor-
		izontally from any edge of such devices.

Outdoors	2	Within 3 feet of any edge of such devices,
		extending in all directions. Also up to 18
		inches above grade level within 10 feet ho-
		rizontally from any edge of such devices.

Pits
  Without Mechanical	1	Entire area within pit if any part is within a
  Ventilation		within a Division 1 or 2 classified area.
  With Mechanical Vent-	2	Entire area within pit if any part is within a
  lation		Division 1 or 2 classified area.
  Containing Valves, Fit-	2	Entire pit.
  tings or Piping, and Not
  Within a Division 1 or 2
  Classified Area
  Drainage Ditches, Separ-	2	Area up to 18 inches above ditch, separ-
  ators, Impounding Basins		ator, or basin. Also up to 18 inches above 
		grade within 15 feet horizontally from any
		edge.

* The release of Class I liquids may generate vapors to the extent that the entire building, and possibly a zone surrounding it, should be considered a Class I, Division 2 location.
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Articles 140-148 (Sections 5530-5629, not consecutive) filed 11-28-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendments filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
Article 141. Container and Portable Tank Storage
§5531. Scope.
History

This article shall apply only to the storage of flammable or combustible liquids in drums or other containers (including flammable aerosols) not exceeding 60 gallons individual capacity and those portable tanks not exceeding 660 gallons individual capacity.

Exceptions: This article shall not apply to the following:
(1) Storage of containers in bulk plants, service stations, refineries, chemical plants, wineries and distilleries.
(2) Flammable or combustible liquids in the fuel tanks of a motor vehicle, aircraft, boat or portable or stationary engine.
(3) Flammable or combustible paints, oils, varnishes and similar mixtures used for painting or maintenance when not kept for a period in excess of 30 days.
(4) Beverages when packaged in individual containers not exceeding one gallon in size.
(5) Medicines, foodstuffs, cosmetics and other consumer items containing not more than 50 percent by volume of water miscible flammable or combustible liquids and with the remainder of the solution not being flammable when packaged in individual containers not exceeding one gallon in size.
(Title 24, T8-5531)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5532. Design, Construction, and Capacity of Containers.
Note     •     History

(a) Only approved containers and portable tanks shall be used. Metal containers and portable tanks meeting the requirements of and containing products authorized by Chapter 1, Title 49, of the Code of Federal Regulations (DOT Regulations), or NFPA No. 386, Standard for Portable Shipping Tanks, shall be deemed to be acceptable.
(b) Each portable tank shall be provided with one or more devices installed in the top with sufficient emergency venting capacity to limit internal pressure under fire exposure conditions to 10 psig, or 30 percent of the bursting pressure of the tank, whichever is greater. The total venting capacity shall be not less than that specified in Subsections 5593(d) or (f). At least one pressure-actuated vent having a minimum capacity of 6,000 cu. ft. of free air per hour (14.7 psia and 60o F) shall be used. It shall be set to open at not less than 5 psig. If fusible vents are used, they shall be actuated by elements that operate at a temperature not exceeding 300 F. When used for paints, drying oils, and similar materials where plugging of the pressure-actuated vent may occur, fusible vents or vents of the type that soften to failure at a maximum of 300 F. under fire exposure, may be used for the entire emergency venting requirement.
(c) Containers and portable tanks for flammable and combustible liquids shall conform to Table FL-2.

Exceptions: 
(1) Medicines, beverages, foodstuffs, cosmetics, and other common consumer items, when packaged according to commonly accepted practices, shall be exempt from the requirements of 5532(a).
(2) Class IA and Class IB flammable liquids may be stored in glass containers of not more than one-gallon (3.78 l.) capacity if the required liquid purity (such as ACS analytical reagent grade or higher) would be affected by storage in metal containers or if the liquid would cause excessive corrosion of the metal container.

View Graphic
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (c)(2) and Table FL-2 filed 12-9-82 (Register 82, No. 50). 
§5533. Design, Construction, and Capacity of Storage Cabinets.

(a) Not more than 120 gallons of Class I, Class II and Class IIIA liquids may be stored in a storage cabinet. Of this total, not more than 60 gallons may be of Class I and Class II liquid. Not more than three such cabinets may be located in a single fire area, except that in an industrial occupancy additional cabinets may be located in the same fire area if the additional cabinet, or group of not more than three cabinets, is separated from any other cabinets or group of cabinets by at least 100 feet.
(b) Storage cabinets shall be designed and constructed to limit the internal temperature to not more than 325o F when subjected to a ten-minute fire test using the standard time temperature curve as set forth in Standard Methods of Fire Tests of Building Construction and Materials, NFPA No. 251-1972. All joints and seams shall remain tight and the door shall remain securely closed during the fire test. Cabinets shall be labeled in conspicuous lettering, “FLAMMABLE--KEEP FIRE AWAY.”
(1) Metal cabinets constructed in the following manner shall be deemed to be in compliance with (b). The bottom, top, door and sides of cabinet shall be at least No. 18 gage sheet iron and double walled with 1 1/2-inch air space. Joints shall be riveted, welded or made tight by some equally effective means. The door shall be provided with a three-point lock, and the door sill shall be raised at least two inches above the bottom of the cabinet.
(2) Wooden cabinets constructed in the following manner shall be deemed in compliance with (b). The bottom, sides and top shall be constructed of an approved grade of plywood at least 1-inch in thickness, which shall not break down or delaminate under fire conditions. All joints shall be rabbeted and shall be fastened in two directions with flathead wood screws. When more than one door is used, there shall be a rabbeted overlap of not less than 1-inch. Hinges shall be mounted in such a manner as to not lose their holding capacity due to loosening or burning out of the screws when subjected to the fire test. 
§5534. Design and Construction of Inside Storage Rooms.
History

(a) Inside storage rooms shall be constructed to meet the required fire-resistive rating for their use. Such construction shall comply with the test specification set forth in Standard Methods of Fire Tests of Building Construction and Materials, NFPA No. 251-1972. Where an automatic sprinkler system is provided, the system shall be designed and installed in an approved manner. Openings to other rooms or buildings shall be provided with noncombustible liquid-tight raised sills or ramps at least four inches in height, or the floor in the storage area shall be at least four inches below the surrounding floor. Openings shall be provided with approved self-closing fire doors. The room shall be liquid-tight where the walls join the floor. A permissible alternate to the sill or ramp is an open-grated trench inside of the room which drains to a safe location. Where other portions of the building or other properties are exposed, windows shall be protected as set forth in the Standard for Fire Doors and Windows, NFPA No. 80-1974, for Class E or F openings. Wood at least one-inch nominal thickness may be used for shelving, racks, dunnage, scuffboards, floor overlay and similar installations.
(b) Storage in inside storage rooms shall comply with the following:

TABLE FL-3

Automatic		Total Allowable
Fire Protection *	Fire	Maximum	Quantities
Provided	Resistance	Floor Area	Gals./sq. ft./floor area
				
yes	2-hour	500 sq. ft.	10
no	2-hour	500 sq. ft.	4
yes	1-hour	150 sq. ft.	5
no	1-hour	150 sq. ft.	2

* Fire protection system shall be sprinkler, water spray, carbon dioxide, dry chemical, halon or other approved system.
(1) Electrical wiring and equipment located in inside storage rooms used for Class I liquids shall be approved for Class I, Division 2 Locations; for Class II and Class III liquids, shall be approved for general use.
(2) Every inside storage room shall be provided with either a gravity or a continuous mechanical exhaust ventilation system. Mechanical ventilation shall be used if Class I liquids are dispensed within the room.
(A) Exhaust air shall be taken from a point near a wall on one side of the room and within 12 inches of the floor with one or more make-up air inlets located on the opposite side of the room within 12 inches from the floor. The location of both the exhaust and inlet air openings shall be arranged to provide, as far as practicable, air movements across all portions of the floor to prevent accumulation of flammable vapors. Exhaust from the room shall be directly to the exterior of the building. If ducts are used they shall not be used for any other purpose and shall comply with the Standard for the Installation of Blower and Exhaust Systems for Dust, Stock and Vapor Removal or Conveying, NFPA No. 91-1973 (ANSI Z33.1). If make-up air to a mechanical system is taken from within the building, the opening shall be equipped with an approved fire door or damper, as required in the Standard for the Installation of Blower and Exhaust Systems, for Dust, Stock and Vapor Removal or Conveying, NFPA 91-1973 (ANSI Z33.1). For gravity systems, the make-up air shall be supplied from outside the building.
(B) Mechanical ventilation systems shall provide at least one cubic foot per minute of exhaust per square foot of floor area, but not less than 150 CFM. (Title 24, T8-5534)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (b)(1) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).  
§5535. Storage in Inside Storage Rooms.
History

In every inside storage room there shall be maintained one clear aisle at least three feet wide. Containers over 30 gallons capacity storing Class I or Class II liquids shall not be stacked one upon the other. Dispensing shall be by approved pump or self-closing faucet only. [Section 5607(a)]. (Title 24, T8-5535)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5536. Storage Inside Buildings.
History

(a) Flammable or combustible liquids, including stock for sale, shall not be stored so as to limit use of exits, stairways, or areas normally used for the safe egress of people.
(b) The storage of flammable or combustible liquids in containers or portable tanks shall comply with Sections 5537 through 5541. (Title 24, T8-5536)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5537. Assembly Occupancies, Buildings Containing More Than Three Dwelling Units and Hotels.
History

Storage in excess of 10 gallons of Class I and Class II liquids combined or 60 gallons of Class IIIA liquids shall be in containers stored in a storage cabinet or in safety cans or in an inside storage room not having an opening directly into that portion of the building used by the public. (Title 24, T8-5537)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5538. Office, Educational and Institutional Occupancies.
History

(a) Storage shall be limited to that required for operation of office equipment, maintenance, demonstration, treatment, and laboratory work. All liquids in laboratories and at other points of use shall meet the following storage provisions:
(1) No container for Class I or Class II liquids shall exceed a capacity of one gallon except that safety cans can be of two gallons capacity.
(2) Not more than 10 gallons of Class I and Class II liquids combined shall be stored outside of a storage cabinet or storage room, except in safety cans.
(3) Not more than 25 gallons of Class I and Class II liquids combined shall be stored in safety cans outside of a storage room or storage cabinet.
(4) Not more than 60 gallons of combustible liquids shall be stored outside of a storage room or storage cabinet.
(5) Quantities of flammable and combustible liquids in excess of those set forth in this section shall be stored in an inside storage room or storage cabinet. (Title 24, T8-5538)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5539. Mercantile Occupancies and Other Retail Stores.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer filed 9-18-80, effective thirtieth day thereafter (Register 80, No. 38). 
§5540. General Purpose or Industrial Plant Warehouses.
History

Storage shall be in accordance with Table FL-4 or FL-5 and in buildings or in portions of such buildings cut off by fire walls of not less than 2-hour fire-resistive construction. Material creating no fire exposure hazard to the flammable or combustible liquids may be stored in the same area. (Title 24, T8-5540)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5541. Flammable and Combustible Liquid Warehouses or Storage Buildings.
Note     •     History

(a) If storage building is located 50 feet or less from a building or line of adjoining property that may be built upon, the exposing wall shall have a fire-resistance rating of at least two hours with any openings protected by approved fire doors.
(b) The total quantity of liquids within a building shall not be restricted, but the arrangement of storage shall comply with Tables FL-4 or FL-5.
(c) Containers in piles shall be separated by pallets or dunnage where necessary to provide stability and to prevent excessive stress on container walls.
(d) Portable tanks stored over one tier high shall be designed to nest securely, without dunnage, and adequate materials handling equipment shall be available to handle tanks safely at the upper tier level.
(e) No pile shall be closer than three feet to the nearest beam, chord, girder or other obstructions, and shall be three feet below sprinkler deflectors or discharge orifices of water spray, or other overhead fire protection systems.
(f) Aisles at least three feet wide shall be provided where necessary for reasons of access to doors, windows or standpipe connections. (Title 24, T8-5541)

Table FL-4
Indoor Container Storage

	                          Protected Storage*   Unprotected Storage
	                         Maximum Per Pile     Maximum Per Pile  
Class	Storage
Liquid	Level	Gals.	Gals.
				
IA	Ground	2,750	660
	& Upper	(50)	(12)
	Floors
	Basement	Not permitted	Not permitted
				
IB	Ground	5,500	1,375
	& Upper	(100)	(25)
	Floors
	Basement	Not Permitted	Not Permitted
				
IC	Ground	16,500	4,125
	& Upper	(300)	(75)
	Floors
	Basement	Not permitted	Not permitted
				
II	Ground	16,500	4,125
	& Upper	(300)	(75)
	Floors
	Basement	5,500	Not permitted
		(100)
				
III	Ground	55,000	13,750
	& Upper	(1,000)	(250)
	Floors
	Basement	8,250	Not permitted
		(150)

* A sprinkler or equivalent fire protection system installed in accordance with the applicable NFPA Standard.
(Numbers in parentheses indicate corresponding number of 55-gallon drums.)
Note: 1: When two or more classes of materials are stored in a single pile, the maximum gallonage permitted in that pile shall be the smallest of the two or more separate maximum gallonages.
Note: 2: Aisles shall be provided so that no container is more than 12 feet from an aisle. Main aisles shall be at least eight Feet wide and side aisles at least four feet wide.
Note: 3: Each pile shall be separated from each other pile by at least four feet. When stored on suitably protected racks or when the storage is suitably protected, containers may be piled up to the height limits in Section 5541(e).

Table FL-5
Indoor Portable Tank Storage

	                          Protected Storage*   Unprotected Storage
	                         Maximum Per Pile     Maximum Per Pile  
Class	Storage
Liquid	Level	Gals.	Gals.
				
IA	Ground	Not permitted	Not Permitted
	& Upper
	Floors
				
	Basement	Not permitted	Not permitted
				
IB	Ground	20,000	2,000
	& Upper
	Floors
				
	Basement	Not Permitted	Not Permitted
				
IC	Ground	40,000	5,500
	& Upper
	Floors
				
	Basement	Not permitted	Not permitted
				
II	Ground	40,000	5,500
	& Upper
	Floors
				
	Basement	20,000	Not permitted
				
III	Ground	60,000	22,000
	& Upper
	Floors
				
	Basement	20,000	Not permitted

* A sprinkler or equivalent fire protection system installed in accordance with the applicable NFPA Standard.
Note: 1: When two or more classes of materials are stored in a single pile, the maximum gallonage permitted in that pile shall be the smallest of the two or more separate maximum gallonages.
Note: 2: Aisles shall be provided so that no portable tank is more than 12 feet from an aisle. Main aisles shall be at least eight feet wide and side aisles at least four feet wide.
Note: 3: Each pile shall be separated from each other pile by at least four feet. When stored on suitably protected racks or when the storage is suitably protected, portable tanks may be piled up to the height limits in Section 5541(e).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of Tables FL-4 and FL-5 filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
3. Amendment of Tables FL-4 and FL-5 filed 4-9-81; effective thirtieth day thereafter (Register 81, No. 15). 
§5542. Storage Outside Buildings.
Note     •     History

(a) Storage outside buildings shall be in accordance with Table FL-6 or FL-7 and (b) and (d).
(b) A maximum of 1,100 gallons of flammable or combustible liquids may be located adjacent to buildings located on the same premises and under the same management. Where the quantity stored exceeds 1,100 gallons a minimum distance of 10 feet between buildings and nearest container of flammable or combustible liquid shall be maintained.
(c) The storage area shall be graded in a manner to divert possible spills away from buildings or other exposures or shall be surrounded by a curb at least six inches high. When curbs are used, provisions shall be made for draining of accumulations of ground or rain water or spills of flammable or combustible liquids. Drains shall terminate at a safe location and shall be accessible to operation under fire conditions.
(d) Storage area shall be protected against tampering or trespassers where necessary and shall be kept free of weeds, debris and other combustible material not necessary to the storage. (Title 24, T8-5542)

Table FL-6
Outdoor Container Storage 

1	2    	3    	4       	5     
			Distance to	Distance to
	Maximum	Distance	Property Line	Street,
	Per Pile	Between	That Can Be	Alley,
	Gallons	Piles	Built Upon	Public Way
Class	(See Note 1)	(See Note 2)	(See Notes 3 & 4)	(See Note 4)
				
IA	1,100	5 feet	20 feet	10 feet
IB	2,200	5 feet	20 feet	10 feet
IC	4,400	5 feet	20 feet	10 feet
II	8,800	5 feet	10 feet	5 feet
III	22,000	5 feet	10 feet	5 feet
				
Note: 1: When two or more classes of materials are stored in a single pile, the maximum gallonage in that pile shall be the smallest of the two or more separate gallonages.
Note: 2: Within 200 feet of each container, there shall be a 12-foot wide access way to permit approach of fire control apparatus.
Note: 3: The distances listed apply to properties that have protection for exposures as defined. If there are exposures, and such protection for exposures does not exist, the distances in column four shall be doubled.
Note: 4: When total quantity stored does not exceed 50% of maximum per pile, the distances in columns four and five may be reduced 50%, but not less than three feet.

Table FL-7
Outdoor Portable Tank Storage

1	2    	3    	4       	5     
			Distance to	Distance to
	Maximum	Distance	Property Line	Street,
	Per Pile	Between	Property Line	Street,
	Gallons	Piles	That Can Be	Alley, Public
Class	(See Note 1)	(See Note 2)	Built Upon	Way
				
IA	2,200	5 feet	20 feet	10 feet
IB	4,400	5 feet	20 feet	10 feet
IC	8,800	5 feet	20 feet	10 feet
II	17,600	5 feet	10 feet	5 feet
III	44,000	5 feet	10 feet	5 feet
				
Note: 1: When two or more classes of materials are stored in a single pile, the maximum gallonage in that pile shall be the smallest of the two or more separate gallonages.
Note: 2: Within 200 feet of each portable tank, there shall be a 12-foot wide access way to permit approach of fire control apparatus.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer and new subsection (b) and relocation of Tables FL-6 and FL-7 filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5543. Fire Control.
History

(a) Suitable fire control devices, such as small hose or portable fire extinguishers, shall be available at locations where flammable or combustible liquids are stored.
(1) At least one portable fire extinguisher having a rating of not less than 10-B units shall be located outside of, but not more than 10 feet from, the door opening into any room used for storage.
(2) At least one portable fire extinguisher having a rating of not less than 10-B units shall be located not less than 10 feet, nor more than 25 feet, from any Class I or Class II liquid storage area located outside of a storage room but inside a building.
(b) When sprinklers are provided, they shall be installed in an approved manner. The Standard for the Installation of Sprinkler Systems, NFPA No. 13-1974, provides information on the installation of sprinkler systems.
(c) Open flames and smoking shall not be permitted in flammable or combustible liquid storage areas.
(d) Materials which will react with water shall not be stored in the same room with flammable or combustible liquids. (Title 24, T8-5543)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
Article 142. Industrial Plants
§5545. General.
History

This Section shall be applicable to those portions of an industrial plant where the use and handling of flammable or combustible liquids is only incidental to the principal business, such as automobile assembly, construction of electronic equipment, furniture manufacturing or other similar activities.
(a) Flammable or combustible liquids shall be stored in tanks or closed containers.
(1) Except as provided in (2) and (3), all storage shall comply with Article 141, Container Storage.
(2) The quantity of liquid that may be located in a building or in any one fire area of a building outside of an inside storage room or storage cabinet shall not exceed that given in (A), (B) and (C) below:
(A) 25 gallons of Class IA liquids in containers and
(B) 120 gallons of Class IB, IC, II or III liquids in containers and
(C) One portable tank not exceeding 660 gallons of Class IB, IC, Class II, or Class III liquids.
(3) Where large quantities of flammable or combustible liquids are necessary, storage may be in tanks, which shall comply with the applicable requirements of Articles 140 and 146 and Sections 5546, 5548, 5549, 5550, and 5551.
(b) Areas in which flammable or combustible liquids are transferred from one tank or container to another container shall be separated from other operations in the building by adequate distance or by construction having adequate fire resistance. Drainage or other means shall be provided to control spills. Natural or mechanical ventilation shall be provided in accordance with Section 5143.
(c) Class I and Class II liquids shall be kept in covered containers when not actually in use.
(d) Where flammable or combustible liquids are used or handled, except in closed containers, means shall be provided to dispose promptly and safely of leakage or spills.
(e) Class I liquids may be used only where there are no open flames or other sources of ignition within the possible path of vapor travel.
(f) Class I and Class II liquids shall be drawn from or transferred into vessels, containers or portable tanks within a building only through a closed piping system, from original shipping containers, from safety cans, by means of a device drawing through the top or from a container or portable tanks by gravity through a self-closing valve or faucet [Section 5607(a)]. Transferring any liquids by means of air pressure on the container or portable tanks shall be prohibited. (Title 24, T8-5545(b))
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5546. General.
Note     •     History

This Section shall be applicable in those portions of industrial plants where flammable or combustible liquids are handled or used in unit physical operations such as mixing, drying, evaporating, filtering, distillation, and similar operations which do not involve chemical change. Examples are plants compounding cosmetics, pharmaceuticals, solvents, cleaning fluids, insecticides and similar types of activities.
(a) Emergency drainage systems shall be provided to direct flammable or combustible liquid leakage and fire protection water to a safe location. This may require curbs, scuppers, or special holding basins or tanks.
(1) Emergency drainage systems, if connected to public sewers or discharged into public waterways, shall be equipped with traps or separators.
(b) Areas as defined in Section 5546 using Class I liquids shall be ventilated at a rate of not less than one cubic foot per minute per square foot of solid floor area. This shall be accomplished by natural or mechanical ventilation with discharge or exhaust to a safe location outside of the building. Provision shall be made for introduction of make-up air in such a manner as not to short circuit the ventilation. Ventilation shall be arranged to include all floor areas or pits where flammable vapors may collect. Local or spot general ventilation may be needed for the control of special fire or health hazards. Such ventilation, if provided, may be utilized for up to 75 percent of the required ventilation.
(c) Equipment used in a building and the ventilation of the building shall be designed so as to limit flammable vapor-air mixtures under normal operating conditions to the interior of equipment, and to not more than five feet from equipment which exposes Class I liquids to the air. Examples of such equipment are dispensing stations, open centrifuges, plate and frame filters, open vacuum filters, and surfaces of open equipment.
(d) The storage, transfer and handling of liquids shall comply with Section 5557. (Title 24, T8-5546)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer of subsection (b) and consecutive relettering of subsections (c)-(e) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5547. Tank Vehicle and Tank Car Loading and Unloading.

(a) Tank vehicle and tank car loading or unloading facilities shall be separated from aboveground tanks, warehouses, other plant buildings or nearest line of adjoining property, which may be built upon by a distance of 25 feet for Class I liquids and 15 feet for Class II and Class III liquids measured from the nearest position of any fill stem. Buildings for pumps or shelters for personnel may be a part of the facility. Operations of the facility shall comply with the appropriate portions of Section 5619. 
§5548. Fire Control.
History

(a) Portable fire extinguishment and control equipment shall be provided in such quantities and types as are needed for the special hazards of operation and storage. See Article 157.
(b) Water shall be available in volume and at adequate pressure to supply water hose streams, foam-producing equipment, automatic sprinklers or water spray systems as the need is indicated by the special hazards of operation, dispensing and storage.
(c) All plant fire protection facilities shall be installed and maintained in accordance with the provisions of Group 27.
Note: An approved fire alarm system is recommended for prompt notification of fire. Where service is available, it is recommended that a public fire alarm box be located nearby. It may be advisable to connect the plant system with the public system. (Title 24, T8-5548)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5549. Sources of Ignition.

(a) Adequate precautions shall be taken to prevent the ignition of flammable vapors by open flames; lightning; smoking; cutting and welding; hot surfaces; frictional heat; static, electrical and mechanical sparks; spontaneous ignition, including heat-producing chemical reactions; radiant heat; or other sources of ignition.
(b) Class I liquids shall not be dispensed into metal containers unless the nozzle or fill pipe is in electrical contact with the container. This can be accomplished by maintaining metallic contact during filling, by a bond wire between them, or by other conductive path having an electrical resistance not greater than 106 ohms. Bonding is not required where a container is filled through a closed system, or the container is made of glass or other nonconducting material.
(c) See Article 140 for electrical classifications. 
§5550. Repairs to Equipment.

Hot work, such as welding or cutting operations, use of spark-producing power tools, and chipping operations shall be permitted only under supervision of a qualified person. The individual in charge shall make an inspection of the area to be sure that it is safe for the work to be done and that safe procedures will be followed for the work specified. 
§5551. Housekeeping.

(a) Maintenance and operating practices shall be in accordance with established procedures which will tend to control leakage and prevent the accidental escape of flammable or combustible liquids.Spills shall be cleaned up promptly.
(b) Adequate aisles shall be maintained for unobstructed movement of personnel and so that fire protection equipment can be brought to bear on any part of flammable or combustible liquid storage, use, or any unit physical operation.
(c) Combustible waste material and residues in a building or unit operating area shall be kept to a minimum, stored in covered metal receptacles and disposed of daily.
(d) Ground area around buildings and unit operating areas shall be kept free of weeds, trash or other unnecessary combustible materials. 
Article 143. Processing Plants
§5554. Scope.
History

This Article shall apply to those plants or buildings which contain chemical operations such as oxidation, reduction, halogenation, hydrogenation, alkylation, polymerization, and other chemical processes but shall not apply to chemical plants, wineries, refineries or distilleries as defined which are covered in Article 148, Refineries, Chemical Plants, Wineries, and Distilleries. (Title 24, T8-5554)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5555. Location.
History

(a) The location of each processing vessel shall be based upon its flammable or combustible liquid capacity. Processing vessels shall be located, with respect to distances to lines of adjoining property which may be built upon, in accordance with Table FL-8, except when the processing plant is designed in accordance with (b).

Table FL-8

Processing Vessels With
  Emergency Relief Venting
  to Permit Pressure	Stable Liquids	Unstable Liquids
			
Not in excess of 2.5 psig	 Table FL-15*	2 1/2 times
		Table FL-15*
Over 2.5 psig	 1 1/2 times	4 times
	Table FL-15*	Table FL-15 *

* Double distances where protection of exposure is not provided.
(b) The distances required in (a) may be waived when the vessels are housed within a building and the exterior wall facing the line of adjoining property which may be built upon is a blank wall having a fire resistance rating of not less than four hours. When Class IA or unstable liquids are handled, the blank wall shall have explosion resistance in accordance with good engineering practice, see Section 5556(f). (Title 24, T8-5555)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5556. Construction.
History

(a) Processing buildings shall be of not less than noncombustible construction, except heavy timber construction with load-bearing walls may be permitted for plants utilizing only stable Class II or Class III liquids. Except as provided in Section 5555(b) or in the case of explosion resistant walls used in conjunction with explosion relieving facilities, see (f), load-bearing walls shall be prohibited. Buildings handling Class I or Class II liquids shall be without basements or covered pits.
(b) Areas shall have adequate exit facilities arranged to prevent occupants from being trapped in the event of fire (see Article 2).
(c) Exits shall not be exposed by the drainage facilities described in Section 5546(a) and (b).
(d) Enclosed processing buildings handling Class I or Class II liquids shall be ventilated at a rate of not less than one cubic foot per minute per square foot of solid floor area. This shall be accomplished by natural or mechanical ventilation with discharge or exhaust to a safe location outside of the building. Provision shall be made for introduction of make-up air in such a manner as not to short circuit the ventilation. Ventilation shall be arranged to include all floor areas or pits where flammable vapors may collect. Local (or spot) ventilation may be needed for the control of special fire or health hazards. Such ventilation, if provided, may be utilized for up to 75 percent of the required ventilation.
(e) Equipment used in a building and the ventilation of the building shall be designed so as to limit flammable vapor-air mixtures under normal operating conditions to the interior of equipment, and to not more than five feet from equipment which exposes Class I liquids to the air. Examples of such equipment are dispensing stations, open centrifuges, plate and frame filters, open vacuum filters, and surfaces of open equipment.
(f) Areas where Class IA or unstable liquids are processed shall have explosion venting through one or more of the following methods: 
(1) Open air construction;
(2) Lightweight walls and roof;
(3) Lightweight wall panels and roof hatches;
(4) Windows of explosion venting-type. (Title 24, T8-5556)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5557. Storage.
Note     •     History

(a) The storage of flammable or combustible liquids in tanks shall be in accordance with the applicable provisions of Article 145, Tank Storage.
(b) Storage tanks inside of buildings shall be permitted only in areas at or above grade which have adequate drainage and are separated from the processing area by construction having a fire resistance rating of at least two hours. Day tanks, running tanks and surge tanks are permitted in process areas. Openings to other rooms or buildings shall be provided with noncombustible liquid-tight raised sills or ramps at least 4 inches in height, or the floor in the storage area shall be at least 4 inches below the surrounding floor. Openings shall be provided with approved self-closing fire doors. The room shall be liquid-tight where the walls join the floor. (See Article 2 for exit requirements).
(c) The storage of flammable or combustible liquids in containers shall be in accordance with the applicable provisions of Article 141, Container and Portable Tank Storage.
(d) Piping, valves and fittings shall be in accordance with Article 146, Piping, Valves and Fittings.
(e) Piping containing flammable or combustible liquids shall be identified. See Section 3321.
(f) The transfer of large quantities of flammable or combustible liquids shall be through piping by means of pumps or water displacement. Except as required in process equipment, gravity flow shall not be used. The use of compressed air as a transferring medium shall be prohibited.
(g) Positive displacement pumps shall be provided with pressure relief discharging back to the tank or to pump suction.
(h) Equipment shall be designed and arranged to prevent the unintentional escape of liquids and vapors and to minimize the quantity escaping in the event of accidental release.

Note: Where the vapor space of equipment is usually within the flammable range, the probability of explosion damage to the equipment can be limited by inerting, by providing an explosion suppression system, or by designing the equipment to contain the peak explosion pressure which may be modified by explosion relief. Where the special hazards of operation, sources of ignition, or exposures indicate a need, consideration shall be given to providing protection by one or more of the above means. NFPA 69-2002, Standard on Explosion Prevention Systems, provides information on inerting. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
2. Editorial correction of subsection (h) (Register 2003, No. 30).
3. Change without regulatory effect amending subsection (h) and adding Note filed 7-21-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 30).
§5558. Tank Vehicle and Tank Car Loading and Unloading.

Tank vehicle and tank car loading or unloading facilities shall be separated from aboveground tanks, warehouses, other plant buildings or nearest line of adjoining property which may be built upon by a distance of 25 feet for Class I liquids and 15 feet for Class II and Class III liquids measured from the nearest position of any fill stem. Buildings for pumps or shelters for personnel may be a part of the facility. Operations of the facility shall comply with the appropriate portions of Article 147, Bulk Plants. 
§5559. Fire Control.
History

(a) Approved portable fire extinguishers of appropriate size, type and number shall be provided. See Article 157.
(b) An approved automatic sprinkler system or an equivalent extinguishing system shall be installed when required by state or local regulations. Such systems shall comply with the applicable NFPA standard. (Title 24, T8-5559)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5560. Sources of Ignition.

(a) Precautions shall be taken to prevent the ignition of flammable vapors. Sources of ignition include but are not limited to open flames; lightning; smoking; cutting and welding; hot surfaces; frictional heat; static, electrical and mechanical sparks; spontaneous ignition, including heat-producing chemical reactions; and radiant heat.
(b) Class I liquids shall not be dispensed into metal containers unless the nozzle or fill pipe is in electrical contact with the container. This can be accomplished by maintaining metallic contact during filling, by a bond wire between them, or by other conductive path having an electrical resistance not greater than 106 ohms. Bonding is not required where a container is filled through a closed system, or the container is made of glass or other nonconducting material.
(c) See Article 140 for electrical classifications. 
§5561. Maintenance and Repair.

(a) When necessary to do maintenance work in a flammable or combustible liquid processing area, the work shall be authorized by a responsible member of supervision.
(b) Hot work, such as welding or cutting operations, use of spark-producing power tools, and chipping operations shall be permitted only under supervision of a qualified person. The individual in charge shall make an inspection of the area to be sure that it is safe for the work to be done and that safe procedures will be followed for the work specified. 
§5562. Housekeeping.

(a) Maintenance and operating practices shall be in accordance with established procedures which will tend to control leakage and prevent the accidental escape of flammable or combustible liquids. Spills shall be cleaned up promptly.
(b) Adequate aisles shall be maintained for unobstructed movement of personnel and so that fire protection equipment can be brought to bear on any part of the processing equipment.
(c) Combustible waste material and residues in a building or operating area shall be kept to a minimum, stored in closed metal waste cans, and disposed of daily.
(d) Ground area around buildings and operating areas shall be kept free of tall grass, weeds, trash or other combustible materials. 
Article 144. Service Stations
§5565. Scope.
History

This Article applies to both automotive and marine service stations. (Title 24, T8-5565)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5566. Storage.
Note     •     History

(a) Liquids shall be stored in closed containers not exceeding 60 gallons capacity, in tanks in special enclosures as described in 5567, in aboveground tanks as provided for in (e), or in tanks located underground as in Sections 5597, 5598 and 5599. Vent pipes on tanks storing gasoline shall discharge only upward in order to disperse vapors. Also see Section 5578.
(b) Aboveground tanks, located at an adjoining bulk plant, may be connected by piping to service station underground tanks if, in addition to valves at aboveground tanks, a valve is also installed within control of service station personnel. Apparatus dispensing Class I liquids into the fuel tanks of motor vehicles of the public shall not be located at a bulk plant unless separated by a fence or similar barrier from the area in which bulk operations are conducted.
(c) Class I liquids shall not be stored or handled within a building having a basement or pit into which flammable vapors may travel, unless such area is provided with ventilation which will prevent the accumulation of flammable vapors therein.
(d) Tanks supplying marine service stations and pumps not integral with the dispensing unit shall be on shore or on a pier of the solid-fill type, except as provided in (1) and (2).
(1) Where a shore location would require excessively long supply lines to dispensers, tanks may be installed on piers provided that applicable portions of Article 145 relative to spacing, diking and piping are complied with and the quantity so stored does not exceed 1,100 gallons aggregate capacity.
(2) Shore tanks supplying marine service stations may be located aboveground where rock ledges or high water tables make underground tanks impractical.
(e) Where tanks are at an elevation which produces a gravity head on the dispensing unit, the tank outlet shall be equipped with a device, such as a solenoid valve, positioned adjacent to and downstream from the valve specified in Section 5596(b), so installed and adjusted that liquid cannot flow by gravity from the tank in case of piping or hose failure when the dispenser is not in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (f) filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment of subsection (a) filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Repealer of subsection (d), and relettering of subsections (e) and (f) to subsections (d) and (e) filed 5-6-87; operative 6-5-87 (Register 87, No. 19). 
§5567. Special Enclosures.
Note     •     History

(a) When installation of tanks in accordance with Sections 5597, 5598 and 5599 is impractical because of property or building limitations, tanks for flammable or combustible liquids may be installed in buildings if enclosed as described in (b).
(b) Enclosure shall be liquid and vaportight without backfill. Sides, top and bottom of the enclosure shall be of reinforced concrete at least six inches thick, with openings for inspection through the top only. Tank connections shall be so piped or closed that neither vapors nor liquid can escape into the enclosed space. Means shall be provided to use portable equipment to discharge to the outside any liquid or vapors which might accumulate should leakage occur.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (b) and repealer of subsection (c) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5568. Inside Buildings.

(a) Except where stored in tanks as provided in Section 5567, no Class I liquids shall be stored within any service station building except in closed containers of aggregate capacity not exceeding 120 gallons. One container not exceeding 60 gallons capacity equipped with an approved pump is permitted.
(b) Class I liquids may be transferred from one container to another in lubrication or service rooms of a service station building provided the electrical installation complies with Table FL-9 and provided that any heating equipment complies with Section 5575. See also Section 5580 for other possible sources of ignition.
(c) Class II and Class III liquids may be stored and dispensed inside service station buildings from tanks of not more than 120 gallons each.
§5569. Piping, Valves and Fittings.

(a) The design, fabrication, assembly, test and inspection of the piping system shall be in accordance with Article 146 except that, where dispensing is from a floating structure, suitable lengths of oil-resistant flexible hose may be employed between the shore piping and the piping on the floating structure as made necessary by change in water level or shore line.
(1) Where excessive stray currents are encountered, piping handling Class I and Class II liquids at marine service stations shall be electrically insulated from the shore piping.
(2) Piping shall be located so as to be protected from physical damage.
(3) A readily accessible valve to shut off the supply from shore shall be provided in each pipeline at or near the approach to the pier and at the shore end of each marine pipeline adjacent to the point where a flexible hose is attached.
(4) After completion of the installation, including any paving, that section of the pressure piping system between the pump discharge and the connection for the dispensing facility shall be tested for at least 30 minutes at the maximum operating pressure of the system. Such tests shall be repeated at 5-year intervals thereafter. 
§5570. Remote Pumping Systems.

(a) This Section shall apply to systems for dispensing Class I liquids where such liquids are transferred from storage to individual or multiple dispensing units by pumps located elsewhere than at the dispensing units.
(b) Pumps shall be designed or equipped so that no part of the system will be subjected to pressures above its allowable working pressure. Each pump shall have installed on the discharge side an approved leak detection device which will provide an indication if the piping and dispensers are not essentially liquid-tight.
(c) Pumps installed above grade, outside of buildings, shall be located not less than 10 feet from lines of adjoining property which may be built upon, and not less than 5 feet from any building opening. When an outside pump location is impractical, pumps may be installed inside buildings as provided for dispensers in Section 5571(b), or in pits as provided in (d). Pumps shall be substantially anchored and protected against physical damage.
(d) Pits for subsurface pumps or piping manifolds of submersible pumps shall withstand the external forces to which they may be subjected without damage to the pump, tank or piping. The pit shall be no larger than necessary for inspection and maintenance and shall be provided with a fitted cover.
(e) An emergency shutoff valve, incorporating a fusible link or other thermally actuated device, designed to close automatically in event of severe impact or fire exposure shall be properly installed in the supply line at the base of each individual island-type dispenser or at the inlet of each overhead dispensing unit. If a coupling incorporating a slip-joint feature is used to join the emergency valve to the dispenser piping, the emergency valve shall automatically close before the slip-joint can disengage. The automatic closing feature of this valve shall be checked at the time of initial installation and at least once a year thereafter by manually tripping the hold-open linkage.
§5571. Fuel Dispensing System.

(a) Dispensing devices at an automotive service station shall be so located that all parts of the vehicle being served will be on the premises of the service station. Dispensing devices at marine service stations may be located on open piers, wharves, or floating docks or on shore or on piers of the solid-fill type and shall be located from other structures so as to provide room for safe ingress and egress of craft to be fueled. Dispensing units shall be in all cases at least 20 feet from any activity involving fixed sources of ignition.
(b) Dispensing units installed inside buildings after January 1, 1976, shall be separated from other areas by not less than a one-hour fire separation and shall be provided with adequate ventilation.
(c) When dispensing units are located below grade, only mechanical ventilation shall be used and the entire dispensing area shall be protected by an approved automatic sprinkler system. Ventilating systems shall be electrically interlocked with gasoline dispensing units so that the dispensing units cannot be operated unless the ventilating fan motors are energized.
§5572. Emergency Power Cutoff.
History

A clearly identified and easily accessible switch(es) or circuit breaker(s) shall be provided at a location remote from dispensing devices, including remote pumping systems, to shut off the power to all dispensing devices in the event of an emergency. (Title 24, T8-5572)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5573. Fuel Dispensing Units.
History

(a) Class I liquids shall be transferred from tanks by means of fixed pumps designed and equipped to allow control of the flow and prevent leakage or accidental discharge.
(b) Only listed nozzles may be used for dispensing Class I liquids. No such nozzle may be used if it shows evidence of having been dismantled.

Exception: Nozzles which are an integral part of a gasoline vapor recovery system, certified by the State Air Resources Board and the State Fire Marshal pursuant to the provisions of Sections 41954 through 41961, inclusive, of the California Health and Safety Codes.
(c) Every dispensing nozzle for Class I liquids installed after December 31, 1978, shall contain evidence of listing so placed that any attempt to dismantle the nozzle will result in damage to such evidence, visible without disassembly or dismounting of the nozzle.

Exception: Nozzles which are an integral part of a gasoline vapor recovery system, certified by the State Air Resources Board and the State Fire Marshal pursuant to the provisions of Sections 41954 through 41961, inclusive, of the California Health and Safety Codes.
Note: A rebuilt nozzle valve shall be deemed in substantial compliance with (b) and (c) if:
(1) The nozzle valve has been approved, within the meaning of Section 3206; or
(2) The user of the nozzle valve shows a certificate prepared by the rebuilder which certifies that:
(A) The nozzle valve:
1. Has a spout that will break off at 150 pounds or less;
2. Will shut off automatically when dropped from a height of 22 inches to a concrete floor;
3. Has been pressure tested to 10 psi;
4. Has a poppet seat that has been pressure tested to 50 psi.
5. Will shut off automatically at a minimum flow rate of 5 gallons per minute; and
6. Can be reasonably expected to operate without malfunctioning due to mechanical failure in excess of 100,000 cycles under laboratory conditions; and
(B) The rebuilder of the nozzle valve has made application to a nationally recognized testing laboratory to obtain a listing in accordance with the Occupational Safety and Health Act of 1970.
(d) A control shall be provided that will permit the pump to operate only when a dispensing nozzle is removed from its bracket or normal position with respect to the dispensing unit, and the switch on this dispensing unit is manually actuated. This control shall also stop the pump when all nozzles have been returned, either to their brackets or to the normal non-dispensing position.
(e) Class I liquids shall not be dispensed by applying pressure to drums, barrels and similar containers. Approved pumps taking suction through the top of the container or approved self-closing faucets shall be used.
(f) The dispensing unit and its piping, except those attached to containers, shall be mounted on a concrete island or protected against collision damage by suitable means. If located indoors, the dispenser shall also be mounted either on a concrete island or protected against collision damage by suitable means and shall be located in a position where it cannot be struck by a vehicle that is out of control descending a ramp or other slope.
HISTORY

1. Amendment of subsections (b) and (c) filed 3-3-77; effective thirtieth day thereafter (Register 77, No. 10).
§5574. Electrical Equipment.
History

(a) This Section shall apply to areas where Class I liquids are stored, handled or dispensed. For areas where Class II or Class III liquids are stored, handled or dispensed, the electrical equipment may be installed in accordance with the provisions of the California Electrical Safety Orders for nonclassified locations.
(b) All electrical equipment and wiring shall be of a type specified by and shall be installed in accordance with the California Electrical Safety Orders. All electrical equipment integral with the dispensing hose or nozzle shall be suitable for use in Division 1 locations.
(c) Table FL-9 shall be used to delineate and classify areas for the purpose of installation of electrical equipment under normal circumstances. A classified area shall not extend beyond an unpierced wall, roof or other solid partition.
(d) The area classifications listed in (c) shall be based on the premise that the installation meets the applicable requirements of these orders in all respects. (Title 24, T8-5574)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).

Table FL-9
Electrical Equipment Classified Areas--Service Stations 

	Class I,
	Group D                      Extent of
Location	Division                 Classified Area
			
UNDERGROUND TANK
Fill Opening	1	Any pit, box or space below grade level, any 
		part of which is within the Division 1 or 2 
		classified area.
	2	Up to 18 inches above grade level within a 
		horizontal radius of 10 feet from a loose fill 
		connection and within a horizontal radius of 
		5 feet from a tight fill connection.
Vent Discharging	1	Within 3 feet of open end of vent, 
		Upward 
		extending in all directions
	2	Area between 3 feet and 5 feet of open end 
		of vent, extending in all directions.
			
DISPENSING UNITS
  (except overhead-type)
  Pits	1	Any pit, box or space below grade level, any 
		part of which is within the Division 1 or 2 
		classified area.

Table FL-9 (cont.)

	Class I,
	Group D                      Extent of
Location	Division                 Classified Area
			
  Dispenser	1	The area up to 4 feet vertically above the 
		base within the enclosure, or up to a solid
		partition less than 4 feet above the base, lo-
		cated above the nozzle insertion level and 
		above the level of any gasketed joint, hose or 
		stuffing box.
	2	Within 18 inches horizontally in all direc-
		tions from the Division 1 area within the 
		enclosure.
  Outdoor	2	Up to 18 inches above grade level within 20
		feet horizontally of any edge of enclosure. INDOOR
  with Mechanical 	2	Up to 18 inches above grade or Ventilation
		floor level within 20 feet horizontally of any
		edge of enclosure.
  with Gravity Ventilation	2	Up to 18 inches above grade or floor level
		within 25 feet horizontally of any edge of 
		enclosure.
DISPENSING UNITS,
OVERHEAD TYPE	1	Within the dispenser enclosure and 18 in
		ches in all directions from the enclosure
		where not suitably cut off by ceiling or wall.
		All electrical equipment integral with the
		dispensing hose or nozzle.
	2	An area extending 2 feet horizontally in all
		directionsbeyond the Division 1 area and
		extending to grade below this classified area.
	2	Up to 18 inches above grade level within 20
		feet horizontally measured from a point ver
		tically below the edge of any dispenser
		enclosure.
			
REMOTE PUMP--
OUTDOOR	1	Any pit, box or space below grade level if
		any part is within a horizontal distance of 10
		feet from any edge of pump.
	2	Within 3 feet of any edge of pump, extending
		in all directions. Also up to 18 inches above
		grade level within 10 feet horizontally from
		any edge of pump.
			
REMOTE PUMP--
IN DOOR	1	Entire area within any pit.
	2	Within 5 feet of any edge of pump, extending
		in all directions. Also up to 3 feet above floor 
		or grade level within 25 feet horizontally
		from any edge of pump.
			
LUBRICATION OR SERV-
ICE ROOM
  WITH DISPENSING	1	Any pit within any unventilated area.
	2	Any pit with ventilation.
	2	Area up to 18 inches above floor or grade
		level and 3 feet horizontally from a lubrica-
		tion pit.
			
DISPENSER FOR CLASS I
LIQUIDS	2	Within 3 feet of any fill or dispensing point,
		extending in all directions.
LUBRICATION OR SERV-
ICE ROOM--WITHOUT
DISPENSING	2	Entire area within any pit used for lubrica-
		tion or similar services where Class I liquids 
		may be released.
	2	Area up to 18 inches above any such pit, and
		extending a distance of 3 feet horizontally
		from any edge of the pit.
			
SPECIAL ENCLOSURE INS-
IDE BUILDING PER SEC-
TION 5567	1	Entire enclosure.

SALES, STORAGE AND
REST ROOMS 	non	If there is any opening to these class-rooms 
	clas-	within the extent of a Division 1 area, the en--
	sified	tire room shall be classified as Division 1. 
			
§5575. Heating Equipment.
History

(a) Heating equipment may be installed in the conventional manner except as provided in (b), (c), (d), or (e).
(b) Heating equipment may be installed in a special room separated from an area classified as Division 1 or Division 2 in Table FL-9 by walls having a fire-resistance rating of at least one hour and without any openings in the walls within 8 feet of the floor into an area classified as Division 1 or Division 2 in Table FL-9. This room shall not be used for combustible storage, and all air for combustion purposes shall come from outside the building.
(c) Heating equipment using gas or oil fuel may be installed in the lubrication or service room where there is no dispensing or transferring of Class I liquids provided the bottom of the combustion chamber is at least 18 inches above the floor and the heating equipment is protected from physical damage.
(d) Heating equipment using gas or oil fuel listed for use in garages may be installed in the lubrication or service room where Class I liquids are dispensed provided the equipment is installed at least 8 feet above the floor.
(e) Electrical heating equipment shall conform to Section 5574. (Title 24, T8-5575)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5576. Fuel Delivery Nozzles.
Note     •     History

(a) A listed manual or automatic-closing type hose nozzle shall be provided on dispensers used for the dispensing of Class I liquids.
(b) Overhead-type dispensing units shall be provided with a listed automatic-closing type hose nozzle valve without a latch-open device.
(1) A listed automatic-closing type hose nozzle valve with latch-open device may be used if the design of the system is such that the hose nozzle valve will close automatically in the event the valve is released from a fill opening or upon impact with a driveway.
(c) Dispensing nozzles used at marine service stations shall be of the automatic-closing type without a latch-open device.
(d) Manual-closing type valves shall be held open manually during dispensing. Automatic-closing type valves may be used in conjunction with an approved latch-open device.

Exception: Nozzles which are an integral part of a gasoline vapor recovery system, certified by the State Air Resources Board and the State Fire Marshal pursuant to the provisions of Sections 41954 through 41961, inclusive, of the California Health and Safety Codes.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-3-77; effective thirtieth day thereafter (Register 77, No. 10).
2. Amendment filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20). 
§5577. Dispensing into Portable Containers.
Note     •     History

(a) No delivery of any Class I or Class II liquid shall be made into portable containers unless the container is constructed of metal or is approved for such use, has a tight closure and is fitted with spout or so designed that the contents can be poured without spilling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (b) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5578. Attendance or Supervision of Dispensing.
Note     •     History

(a) The provisions of Section 5566(a) shall not prohibit the temporary use of movable tanks in conjunction with the dispensing of flammable or combustible liquids into the fuel tanks of motor vehicles or other motorized equipment on premises not normally accessible to the public.
(b) The provisions of Section 5566(a) shall not prohibit the dispensing of Class I and Class II liquids in the open from a tank vehicle to a motor vehicle. Such dispensing shall be permitted provided:
(1) The dispensing is done on premises not open to the public.
(2) The dispensing hose does not exceed 50 feet in length.
(3) The dispensing nozzle is a listed automatic-closing type.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 5-12-83; effective thirtieth day thereafter (Register 83, No. 20).
2. Amendment filed 12-12-84; effective thirtieth day thereafter (Register 84, No. 50). 
§5579. Drainage and Waste Disposal.

(a) Provision shall be made in the area where Class I liquids are dispensed to prevent spilled liquids from flowing into the interior of service station buildings. Such provision may be by grading driveways, raising door sills, or other equally effective means.
(b) Crankcase drainings and flammable or combustible liquids shall not be dumped into sewers, streams or adjoining property, but shall be stored in tanks or drums outside any building until removed from the premises. 
§5580. Sources of Ignition.

In addition to the previous restrictions of this Article the following shall apply: There shall be no smoking or open flames in the areas used for fueling, servicing fuel systems for internal combustion engines, receiving or dispensing of Class I and Class II liquids. Conspicuous and legible signs prohibiting smoking shall be posted within sight of the customer being served. The motors of all equipment being fueled shall be shut off during the fueling operation except for emergency generators, pumps, etc., where continuing operation is essential.
§5581. Fire Control.

Each service station shall be provided with at least one fire extinguisher having a minimum classification of 5B, C located so that an extinguisher will be within 100 feet of each pump, dispenser, underground fill pipe opening, and lubrication or service room. 
Article 145. Tank Storage
§5583. Materials.

(a) Tanks shall be built of steel except as provided in (b) through (d).
(b) Tanks may be built of materials other than steel:
(1) If required by the properties of the liquid stored. In case of doubt, the supplier, producer of the flammable or combustible liquid, or other competent authority should be consulted as to the suitability of the material of construction to be used;
(2) For installation underground;
(3) If used for the storage of Class IIIB liquids aboveground in areas not exposed to a spill or leak of a Class I or Class II liquid. If tanks storing Class IIIB liquids are located where they are exposed to a spill or leak of a Class I or Class II liquid, they shall be constructed in accordance with Section 5585; or
(4) If used for the storage of Class IIIB liquids inside a building protected by an approved automatic fire extinguishing system.
(c) Tanks built of materials other than steel shall be designed to specifications embodying principles recognized as good engineering design for the material used.
(d) Unlined concrete tanks may be used for storing flammable or combustible liquids having a gravity of 40 degrees API or heavier. Concrete tanks with special lining may be used for other services provided the design is in accordance with sound engineering practice.
(e) Special engineering consideration shall be required if the specific gravity of the liquid to be stored exceeds that of water or if the tanks are designed to contain flammable or combustible liquids at a liquid temperature below zero degrees F. 
§5584. Fabrication.

(a) Tanks may be of any shape or type consistent with sound engineering design.
(b) Metal tanks shall be welded, riveted and caulked, or bolted, or constructed by use of a combination of these methods. 
§5585. Atmospheric Tanks.

(a) Atmospheric tanks shall be built in accordance with approved standards of design. Atmospheric tanks may be built in accordance with:
(1) Underwriters' Laboratories, Inc., Standard For Steel Aboveground Tanks for Flammable and Combustible Liquids UL142-1972; Standard for Steel Underground Tanks for Flammable and Combustible Liquids, UL58-1972; or Standard for Steel Inside Tanks for Oil Burner Fuel, UL80-1968.
(2) American Petroleum Institute Standards No. 12A, Specification for Oil Storage Tanks with Riveted Shells, Seventh Edition, September 1951 or No. 650, Welded Steel Tanks for Oil Storage, Fifth Edition 1973.
(3) American Petroleum Institute Standards No. 12B, Specification for Bolted Production Tanks, Eleventh Edition, May, 1958 and Supplement I, April, 1962; No. 12D, Specification For Large Welded Production Tanks, Seventh Edition, August, 1957 and Supplement I, March, 1965; or No. 12F, Specification for Small Welded Production Tanks, Sixth Edition, March, 1968. Tanks built in accordance with these standards shall be used only as production tanks for storage of crude petroleum in oil-producing areas.
(b) Low pressure tanks and pressure vessels may be used as atmospheric tanks.
(c) Atmospheric tanks shall not be used for the storage of a flammable or combustible liquid at a temperature at or above its boiling point. 
§5585.1. Liquid Level Indicator, Temperature Regulator, Class IIIB.
Note     •     History

Atmospheric tanks used for storing Class IIIB liquids heated by internal heating coil/element shall be equipped with a liquid level indicator or equivalent device that displays the liquid level in the tank; or a temperature regulating system. When equipped with a temperature regulating system, the temperature regulating system shall automatically shut off the heat source to the tank before the tank contents reach the ignition temperature. If a liquid level indicator is the sole sensing method, 1) the liquid level indicator shall be affixed to the tank or located elsewhere, such as in a control room, 2) the liquid level indicator shall be monitored when filling or emptying the tank, 3) the location of the internal heating coil/element on the tank shall be clearly indicated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 1-16-96; operative 2-15-96 (Register 96, No. 3).
§5586. Low Pressure Tanks.

(a) The normal operating pressure of the tank shall not exceed the design pressure of the tank.
(b) Low pressure tanks shall be built in accordance with approved standards of design. Low pressure tanks may be built in accordance with:
(1) American Petroleum Institute Standard No. 620, Recommended Rules for the Design and Construction of Large, Welded, Low-Pressure Storage Tanks, Fifth Edition 1973.
(2) The principles of the Code for Unfired Pressure Vessels, Section VIII, Division I of the ASME Boiler and Pressure Vessels Code, 1971 Edition.
(c) Atmospheric tanks built according to Underwriters' Laboratories, Inc. requirements in Section 5585(a) may be used for operating pressures not exceeding 1 psig and shall be limited to 2.5 psig under emergency venting conditions.
(d) Pressure vessels may be used as low pressure tanks. 
§5587. Pressure Vessels.

(a) The normal operating pressure of the vessel shall not exceed the design pressure of the vessel.
(b) Storage tanks designed to withstand pressures above 15 psig shall meet the requirements of the Unfired Pressure Vessel Safety Orders. 
§5588. Provisions for Internal Corrosion.

When tanks are not designed in accordance with the American Petroleum Institute, American Society of Mechanical Engineers or the Underwriters' Laboratories, Inc. Standards, or if corrosion is anticipated beyond that provided for in the design formulas used, additional metal thickness or suitable protective coatings or linings shall be provided to compensate for the corrosion loss expected during the design life of the tank. 
§5589. Installation of Outside Aboveground Tanks.
Note     •     History

(a) Every aboveground tank for the storage of Class I, Class II or Class IIIA liquids, except those liquids with boil-over characteristics and unstable liquids, operating at pressures not in excess of 2.5 psig and designed with a weak roof-to-shell seam or equipped with emergency venting devices which will not permit pressures to exceed 2.5 psig, shall be located in accordance with Table FL-10.
(1) For the purpose of this Section, a floating roof tank is one which incorporates a pontoon or double deck roof in an open top tank in accordance with API Standard 650, or one which incorporates an internal all-metal (except for seals) floating cover with a fixed metal roof with adequate ventilation at the eaves of the roof. Tanks with internal floating covers incorporating nonmetallic construction, such as plastics, shall be treated as cone roof tanks.
(b) Every aboveground tank for the storage of Class I, Class II or Class IIIA liquids, except those liquids with boil-over characteristics and unstable flammable or combustible liquids, operating at pressures exceeding 2.5 psig or equipped with emergency venting which will permit pressures to exceed 2.5 psig shall be located in accordance with Table FL-11.
(c) Every aboveground tank for the storage of Class I, Class II or Class IIIA liquids with boil-over characteristics shall be located in accordance with Table FL-12.
(d) Every aboveground tank for the storage of unstable liquids shall be located in accordance with Table FL-13.
(e) Every aboveground tank for the storage of Class IIIB liquids, excluding unstable liquids, shall be located in accordance with Table FL-14 except when located within a diked area or drainage path for a tank or tanks storing a Class I or Class II liquid. When a Class IIIB liquid storage tank is within the diked area or drainage path for a Class I or Class II liquid, (a) or (b) shall apply.
(f) Reference minimum distances for use in Tables FL-10 to FL-13, inclusive.
(g) Where end failure of horizontal pressure tanks and vessels may expose property, the tank shall be placed with the longitudinal axis parallel to the nearest important building.

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NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (e) and Table FL-11 filed 12-19-78; effective thirtieth day thereafter (Register 79, No. 1). 
§5590. Spacing (Shell-to-Shell) Between Aboveground Tanks.

(a) The distance between any two flammable or combustible liquid storage tanks shall not be less than three feet.
(b) Except as provided in (c), the distance between any two adjacent tanks any one of which stores Class I, Class II or Class IIIA liquids shall not be less than one-sixth the sum of their diameters, except when the diameter of one tank is less than one-half the diameter of the adjacent tank, the distance between the two tanks shall not be less than one-half the diameter of the smaller tank. Tanks used only for storing Class IIIB liquids may be spaced as provided in (a) unless within a diked area or drainage path for a tank storing a Class I or Class II liquid.
(c) Crude petroleum tanks at production facilities in isolated locations having capacities not exceeding 126,000 gallons (3,000 barrels), need not be separated by more than three feet.
(d) For unstable flammable or combustible liquids, the distance between such tanks shall not be less than one-half the sum of their diameters.
(e) When tanks are in a diked area containing Class I or Class II liquids, or in the drainage path of Class I or Class II liquids, and are compacted in three or more rows or in an irregular pattern, greater spacing or other means shall be provided to make inside tanks accessible for fire fighting purposes.
(f) The minimum separation between a liquefied petroleum gas container and a flammable or combustible liquid storage tank shall be 20 feet, except in the case of flammable or combustible liquid tanks operating at pressures exceeding 2.5 psig or equipped with emergency venting which will permit pressures to exceed 2.5 psig in which case the provisions of (a) and (b) shall apply. Suitable means shall be taken to prevent the accumulation of flammable or combustible liquids under adjacent liquefied petroleum gas containers such as by diversion curbs or grading. When flammable or combustible liquid storage tanks are within a diked area, the liquefied petroleum gas containers shall be outside the diked area and at least 10 feet away from the center line of the wall of the diked area. The foregoing provisions shall not apply when liquefied petroleum gas containers of 125 gallons or less capacity are installed adjacent to fuel oil supply tanks of 660 gallons or less capacity. 
§5591. Location of Outside Aboveground Tanks with Respect to Important Buildings on Same Property.

Every outside aboveground tank shall be separated from important buildings on the same property by distances not less than those specified in Section 5589(a) through (e), whichever is applicable. The appropriate distance column in Tables FL-10 through 15 that shall be used shall be the one reading: “Minimum Distance in Feet from Nearest Side of a Public Way or from Nearest Important Building.”
Note: Important buildings are those buildings containing employees, flammables or explosives. 
§5592. Normal Venting for Aboveground Tanks.

(a) Atmospheric storage tanks shall be adequately vented to prevent the development of vacuum or pressure sufficient to distort the roof of a cone roof tank or exceeding the design pressure in the case of other atmospheric tanks, as a result of filling or emptying, and atmospheric temperature changes.
(b) Normal vents shall be sized either in accordance with the American Petroleum Institute Standard No. 2000, Venting Atmospheric and Low-Pressure Storage Tanks, 1968, or other accepted standard, or shall be at least as large as the filling or withdrawal connection, whichever is larger but in no case less than 1 1/4-inch nominal inside diameter.
(c) Low-pressure tanks and pressure vessels shall be adequately vented to prevent development of pressure or vacuum, as a result of filling or emptying and atmospheric temperature changes, from exceeding the design pressure of the tank or vessel. Protection shall also be provided to prevent overpressure from any pump discharging into the tank or vessel when the pump discharge pressure can exceed the design pressure of the tank or vessel.
(d) If any tank or pressure vessel has more than one fill or withdrawal connection and simultaneous filling or withdrawal can be made, the vent size shall be based on the maximum anticipated simultaneous flow.
(e) The outlet of all vents and vent drains on tanks equipped with venting to permit pressures exceeding 2.5 psig shall be arranged to discharge in such a way as to prevent localized overheating of or flame impingement on any part of the tank, in the event vapors from such vents are ignited.
(f) Tanks and pressure vessels storing Class IA liquids shall be equipped with venting devices which shall be normally closed except when venting to pressure or vacuum conditions. Tanks and pressure vessels storing Class IB and IC liquids shall be equipped with venting devices which shall be normally closed except when venting under pressure or vacuum conditions, or with approved flame arresters. Tanks of 3,000 bbls. capacity or less containing crude petroleum in crude-producing areas; and, outside aboveground atmospheric tanks under 1,000 gallons capacity containing other than Class IA flammable liquids may have open vents. (See Section 5594(b).)
(g) Flame arresters or venting devices required in (f) may be omitted for IB and IC liquids where conditions are such that their use may, in case of obstruction, result in tank damage. Liquid properties justifying the omission of such devices include, but are not limited to, condensation, corrosiveness, crystallization, polymerization, freezing or plugging. When any of these conditions exist, consideration may be given to heating, use of devices employing special materials of construction, the use of liquid seals, or inserting. 
§5593. Emergency Relief Venting for Fire Exposure for Aboveground Tanks.

(a) Except as provided in (b), every aboveground storage tank shall have some form of construction or device that will relieve excessive internal pressure caused by exposure fires.
(b) Tanks larger than 12,000 gallons capacity storing Class IIIB liquids and not within the diked area or the drainage path of Class I or Class II liquids do not require emergency relief venting.
(c) In a vertical tank the construction referred to in (a) may take the form of a floating roof, lifter roof, a weak roof-to-shell seam, or other approved pressure relieving construction. The weak roof-to-shell seam shall be constructed to fail preferential to any other seam.
(d) Where entire dependence for emergency relief is placed upon pressure relieving devices, the total venting capacity of both normal and emergency vents shall be enough to prevent rupture of the shell or bottom of the tank if vertical, or of the shell or heads if horizontal. If unstable liquids are stored, the effects of heat or gas resulting from polymerization, decomposition, condensation, or self-reactivity shall be taken into account. The total capacity of both normal and emergency venting devices shall be not less than that derived from Table FL-16 except as provided in (f) or (g). Such device may be a self-closing manhole cover, or one using long bolts that permit the cover to lift under internal pressure, or an additional or larger relief valve or valves. The wetted area of the tank shall be calculated on the basis of 55 percent of the total exposed area of a sphere or spheroid, 75 percent of the total exposed area of a horizontal tank and the first 30 feet above grade of the exposed shell area of a vertical tank.
(e) For tanks and storage vessels designed for pressures over 1 psig, the total rate of venting shall be determined in accordance with Table FL-16, except that when the exposed wetted area of the surface is greater than 2,800 sq. ft., the total rate of venting shall be in accordance with Table FL-17 or calculated by the following formula:

CFH = 1,107 A0.82
Where:
CFH = venting requirement, in cubic feet of free air per hour.
A = exposed wetted surface, in square feet.

The foregoing formula is based on Q = 21,000 A0.82
(f) The total emergency relief venting capacity for any specific stable liquid may be determined by the following formula:

Cubic feet of free air per hour = V	 1337 
	LÖ M.
V = cubic feet of free air per hour from Table FL-16.
L = latent heat of vaporization of specific liquid in BTU per pound.
M = molecular weight of specific liquids.

View Graphic
(g) For tanks containing stable liquids, the required air-flow rate of (d) or (f) may be multiplied by the appropriate factor listed in the following schedule when protection is provided as indicated. Only one factor may be used for any one tank.
.5 For drainage in accordance with Section 5595(b) for tanks over 200 square feet of wetted area.
.3 For approved water spray in accordance with Standard for Water Spray Fixed Systems for Fire Protection, NFPA No. 15, and drainage in accordance with Section 5595(b).
.3 For approved insulation in accordance with (g)(1). 
.15 For approved water spray with approved insulation in accordance with (g)(1) and drainage in accordance with Section 5595(b).
(1) Insulation systems for which credit is taken shall meet the following performance criteria and shall be subject to approval of the authority having jurisdiction:
(A) Remain in place under fire exposure conditions.
(B) Withstand dislodgment when subjected to hose stream impingement during fire exposure. This requirement may be waived where use of solid hose streams is not contemplated or would not be practical.
(C) Maintain a maximum conductance value of 4.0 Btu's per hour per square foot per degree oF (Btu/hr./sq.ft./ oF) when the outer insulation jacket or cover is at a temperature of 1,660o F and when the mean temperature of the insulation is 1,000o F.
(h) The outlet of all vents and vent drains on tanks equipped with emergency venting to permit pressures exceeding 2.5 psig shall be arranged to discharge in such a way as to prevent localized overheating of or flame impingement on any part of the tank, in the event vapors from such vents are ignited.
(i) Each commercial tank venting device shall have stamped on it the opening pressure, the pressure at which the valve reaches the full open position and the flow capacity at the latter pressure. If the start to open pressure is less than 2.5 psig and the pressure at full open position is greater than 2.5 psig, the flow capacity at 2.5 psig shall also be stamped on the venting device. The flow capacity shall be expressed in cubic feet per hour of air at 60 F. and 14.7 psia.
(1) The flow capacity of tank venting devices under 8 inches in nominal pipe size shall be determined by actual test of each type and size of vent. These flow tests may be conducted by the manufacturer if certified by a qualified impartial observer, or may be conducted by a qualified impartial outside agency. The flow capacity of tank venting devices 8 inches nominal pipe size and larger, including manhole covers with long bolts or equivalent, may be calculated provided that the opening pressure is actually measured, the rating pressure and corresponding free orifice area are stated, the word “calculated” appears on the nameplate, and the computation is based on a flow coefficient of 0.5 applied to the rated orifice area.
(2) A suitable formula for this calculation is:

	 CFH = 1,667 CfAÖ(Pt - Pa)
	
	where CFH = venting requirement in cubic feet of free air per hour
		Cf 	= 0.5 (the flow coefficient)
		A 	= the orifice are in sq. in.
		Pt 	= the absolute pressure inside the tank in inches of water
		Pa 	= the absolute atmospheric pressure outside the tank in
			inches of water
§5594. Vent Piping for Aboveground Tanks.

(a) Vent piping shall be constructed in accordance with Article 146.
(b) Where vent pipe outlets for tanks storing Class I liquids are adjacent to buildings or public ways, they shall be located so that the vapors are released at a safe point outside of buildings and not less than 12 feet above the adjacent ground level. In order to aid their dispersion, vapors shall be discharged upward or horizontally away from closely adjacent walls. Vent outlets shall be located so that flammable vapors will not be trapped by eaves or other obstructions and shall be at least five feet from building openings.
(c) The manifolding of tank vent piping shall be avoided except where required for special purposes such as vapor recovery, vapor conservation or air pollution control. When tank vent piping is manifolded, pipe sizes shall be such as to discharge, within the pressure limitations of the system, the vapors they may be required to handle when manifolded tanks are subject to the same fire exposure.
(d) Vent piping for tanks storing Class I liquids shall not be manifolded with vent piping for tanks storing Class II or Class III liquids unless positive means are provided to prevent the vapors from Class I liquids from entering tanks storing Class II or Class III liquids, to prevent contamination and possible change in classification of the less volatile liquid. 
§5595. Drainage, Dikes and Walls for Aboveground Tanks.

(a) The area surrounding a tank or group of tanks storing Class I, Class II or Class IIIA liquids shall be provided with drainage as in (b), or shall be diked as provided in (c), to prevent accidental discharge of liquid from endangering employees or facilities. Tanks storing Class IIIB liquids do not require drainage or dikes.
(b) Where protection is by means of a natural or man-made drainage system, such systems shall comply with the following:
(1) A slope of not less than 1 percent away from the tank toward the drainage system shall be provided.
(2) The drainage system shall terminate in vacant land or other area or in an impounding basin having a capacity not smaller than that of the largest tank served. This termination area and the route of the drainage system shall be so located that, if the flammable or combustible liquids in the drainage system are ignited, the fire will not seriously expose tanks or adjoining property.
(3) The drainage system, including automatic drainage pumps, shall not discharge to adjoining property, natural water courses, public sewers, or public drains unless the discharge of flammable or combustible liquids would not constitute a hazard, or the system is so designed that it will not permit flammable or combustible liquids to be released.
(c) Where protection is accomplished by retaining the liquid around the tank by means of a dike, the volume of the diked area shall comply with the following requirements:
(1) The volumetric capacity of the diked area shall not be less than the greatest amount of liquid that can be released from the largest tank within the diked area, assuming a full tank. To allow for volume occupied by tanks, the capacity of the diked area enclosing more than one tank shall be calculated after deducting the volume of the tanks, other than the largest tank, below the height of the dike.
(2) Walls of the diked area shall be of earth, steel, concrete or solid masonry designed to be liquid-tight and to withstand a full hydrostatic head. Earthen walls 3 feet or more in height shall have a flat section at the top not less than 2 feet wide. The slope of an earthen wall shall be consistent with the angle or repose of the material of which the wall is constructed. Diked areas for tanks containing Class I liquids located in extremely porous soils may require special treatment to prevent seepage of hazardous quantities of liquids to low lying areas or waterways in case of spills.
(3) Except as provided in (4) below, the walls of earthen dikes shall be restricted to an average interior height of six feet above interior grade.
(4) Dikes may be higher than an average of six feet above interior grade where provisions are made for normal and necessary emergency access to tanks, valves and other equipment, and safe egress from the diked enclosure.
(A) Where the average height of the dike containing Class I liquids is over 12 feet high, measured from interior grade, or where the distance between any tank and the top inside edge of the dike wall is less than the height of the dike wall, provisions shall be made for normal operation of valves and for access to tank roof(s) without entering below the top of the dike. These provisions may be met through the use of remote operated valves, elevated walkways or similar arrangements.
(B) Piping passing through dike walls shall be designed to prevent excessive stresses as a result of settlement or fire exposure.
(C) The minimum distance between tanks and toe of the interior dike walls shall be five feet.
(5) Where provision is made for draining water from diked areas, drainage shall be provided at a uniform slope of not less than one percent away from tanks toward a sump, drainbox or other safe means of disposal located at the greatest practical distance from the tank. Such drains shall normally be controlled in a manner so as to prevent flammable or combustible liquids from entering natural water courses, public sewers, or public drains, if their presence would constitute a hazard. Control of drainage shall be accessible under fire conditions and outside the dike.
(6) No loose combustible material, empty or full drum or barrel, shall be permitted within the diked area.
(7) Each diked area containing two or more tanks shall be subdivided preferably by drainage channels or at least by intermediate curbs in order to prevent spills from endangering adjacent tanks within the diked area as follows:
(A) When storing normally stable liquids in vertical cone roof tanks constructed with weak roof-to-shell seam or approved floating roof tanks or when storing crude petroleum in producing areas in any type of tank, one subdivision for each tank in excess of 10,000 bbls. and one subdivision for each group of tanks (no tank exceeding 10,000 bbls. capacity) having an aggregate capacity not exceeding 15,000 bbls.
(B) When storing normally stable flammable or combustible liquids in tanks not covered in subparagraph (1), one subdivision for each tank in excess of 100,000 gallons (2,500 bbls.) and one subdivision for each group of tanks (no tank exceeding 100,000 gallons capacity) having an aggregate capacity not exceeding 150,000 gallons (3,570 bbls.).
(C) When storing unstable liquids in any type of tank, one subdivision for each tank except that tanks installed in accordance with the drainage requirements of the Standard for Water Spray Fixed Systems for Fire Protection, NFPA No. 15-1973, shall require no additional subdivision. Since unstable liquids will react more rapidly when heated than when at ambient temperatures, subdivision by drainage channels is the preferred method.
(D) The drainage channels or intermediate curbs shall be located between tanks so as to take full advantage of the available space with due regard for the individual tank capacities. Intermediate curbs, where used, shall be not less than 18 inches in height. 
§5596. Tank Openings Other Than Vents for Aboveground Tanks.
Note     •     History

(a) Connections for all tank openings shall be vapor-tight and liquid-tight.
(b) Openings for gaging on tanks storing Class I liquids shall be provided with a vaportight cap or cover. Such covers shall be closed when not gaging.
(c) For Class IB and Class IC liquids other than crude oils, gasolines and asphalts, the fill pipe shall be so designed and installed as to minimize the possibility of generating static electricity. A fill pipe entering the top of a tank shall terminate within six inches of the bottom of the tank and shall be installed to avoid excessive vibration.
(d) Filling and emptying connections for Class I, Class II and Class IIIA liquids which are made and broken shall be located outside of buildings at a location free from any source of ignition and not less than five feet away from any building opening. Such connections for any liquid shall be closed and liquid-tight when not in use and shall be properly identified.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsections (b) and (c) and consecutive relettering of subsections (d)-(f) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5597. Installation of Underground Tanks.

(a) Excavation for underground storage tanks shall be made with due care to avoid undermining of foundations of existing structures. Underground tanks or tanks under buildings shall be so located with respect to existing building foundations and supports that the loads carried by the latter cannot be transmitted to the tank. The distance from any part of a tank storing Class I liquids to the nearest wall of any basement or pit shall be not less than one foot, and to any property line that may be built upon, not less than three feet. The distance from any part of a tank storing Class II or Class III liquids to the nearest wall of any basement, pit or property line shall be not less than one foot.
(b) Underground tanks shall be set on firm foundations and surrounded with at least six inches of noncorrosive, inert materials such as clean sand, earth or gravel well tamped in place. The tank shall be placed in the hole with care since dropping or rolling the tank into the hole can break a weld, puncture or damage the tank or scrape off the protective coating of coated tanks. Tanks shall be covered with a minimum of two feet of earth, or shall be covered with not less than one foot of earth, on top of which shall be placed a slab of reinforced concrete not less than four inches thick. When underground tanks are, or are likely to be, subjected to traffic, they shall be protected against damage from vehicles passing over them by at least three feet of earth cover, or 18 inches of well-tamped earth, plus six inches of reinforced concrete or eight inches of asphaltic concrete. When asphaltic or reinforced concrete paving is used as part of the protection, it shall extend at least one foot horizontally beyond the outline of the tank in all directions.
(c) Corrosion protection for the tank and its piping shall be provided by one or more of the following methods:
(1) Use of protective coatings or wrappings;
(2) Cathodic protection; or
(3) Corrosion resistant materials of construction.
Selection of the type of protection to be employed shall be based upon the corrosion history of the area and the judgment of a qualified engineer. 
§5598. Vents for Underground Tanks.

(a) Vent pipes from underground storage tanks storing Class I liquids shall be so located that the discharge point is outside of buildings, higher than the fill pipe opening, and not less than 12 feet above the adjacent ground level. Vent pipes shall not be obstructed by devices that will cause excessive back pressure. Vent outlets shall be so located and directed that flammable vapors will not accumulate or travel to an unsafe location, enter building openings or be trapped under eaves. Tanks containing Class IA liquids shall be equipped with pressure and vacuum venting devices which shall be normally closed except when venting to pressure or vacuum conditions. Tanks storing Class IB or Class IC liquids shall be equipped with pressure-vacuum vents or with approved flame arresters. Tanks storing gasoline are exempt from the requirements for pressure and vacuum venting devices or flame arresters provided the vent does not exceed 3 inches in nominal inside diameter.
(b) Each tank shall be vented through piping adequate in size to prevent blow-back of vapor or liquid at the fill opening while tank is being filled. Vent pipes shall be not less than 1 1/4-inch nominal inside diameter. The vent size depends upon the filling or withdrawal rate whichever is larger, the vent line length and the tank design pressure. Vent piping sized in accordance with Table FL-18 will prevent the pressure in the tank from exceeding 2.5 psig.

Table FL-18
Vent Line Diameters 

Maximum Flow		Pipe Length *	
GPM	50 Feet	100 Feet	200 Feet
			
100	1 1/4-inch	1 1/4-inch	1 1/4-inch
200	1 1/4-inch	1 1/4-inch	1 1/4-inch
300	1 1/4-inch	1 1/4-inch	1 1/2-inch
400	1 1/4-inch	1 1/2-inch	2-inch
500	1 1/2-inch	1 1/2-inch	2-inch
600	1 1/2-inch	2-inch	2-inch
700	2-inch	2-inch	2-inch
800	2-inch	2-inch	3-inch
900	2-inch	2-inch	3-inch
1,000	2-inch	2-inch	3-inch

* Vent lines of 50 feet, 100 feet, and 200 feet of pipe plus 7 ells.
(c) Vent pipes from tanks storing Class II or Class III liquids shall terminate outside of building and higher than the fill pipe opening. Vent outlets shall be above normal snow level. They may be fitted with return bends, course screens or other devices to minimize ingress of foreign material.
(d) Vent piping shall be constructed in accordance with Article 146. Vent pipes shall be so laid as to drain toward the tank without sags or traps in which liquid can collect. They shall be located so that they will not be subjected to physical damage. The tank end of the vent pipe shall enter the tank through the top.
(e) When tank vent piping is manifolded, pipe sizes shall be such as to discharge, within the pressure limitations of the system, the vapors they may be required to handle when manifolded tanks are filled simultaneously.
(f) Vent piping for tanks storing Class I liquids shall not be manifolded with vent piping for tanks storing Class II or Class III liquids unless positive means are provided to prevent the vapors from Class I liquids from entering tanks storing Class II or Class III liquids, to prevent contamination and possible change in classification of the less volatile liquid. 
§5599. Tank Openings Other Than Vents for Underground Tanks.

(a) Connections for all tank openings shall be liquid-tight.
(b) Openings for manual gaging, if independent of the fill pipe, shall be provided with a liquid-tight cap or cover. Covers shall be kept closed when not gaging. If inside a building, each such opening shall be protected against liquid overflow and possible vapor release by means of a spring loaded check valve or other approved device.
(c) Fill and discharge lines shall enter tanks only through the top. Fill lines shall be sloped toward the tank.
(d) For Class IB and Class IC liquids other than crude oils, gasolines and asphalts, the fill pipe shall be so designed and installed as to minimize the possibility of generating static electricity by terminating within six inches of the bottom of the tank.
(e) Filling and emptying connections for Class I, Class II or Class IIIA liquids which are made and broken shall be located outside of buildings at a location free from any source of ignition and not less than five feet away from any building opening. Such connection for any liquid shall be closed and liquid-tight when not in use and shall be properly identified. 
§5600. Installation of Tanks Inside of Buildings.

(a) Location. Tanks shall not be permitted inside of buildings except as provided in Articles 142, 143, 144 or 148.
(b) Vents. Vents for tanks inside of buildings shall be as required in Sections 5592, 5593, 5594(b) and 5598 except that emergency venting by the use of weak roof seams on tanks shall not be permitted. Automatic sprinkler systems designed in accordance with the requirements of the Standard for the Installation of Sprinkler Systems, NFPA No. 13-1974 may be accepted as equivalent to approved water spray systems for purposes of calculating the required air flow rates for emergency vents in Section 5593(g). Except for tanks containing Class IIIB liquids, vents shall terminate outside the buildings.
(c) Vent Piping. Vent piping shall be constructed in accordance with Article 146. 
§5601. Tank Openings Other Than Vents for Tanks Inside Buildings.

(a) Connections for all tank openings shall be liquid-tight.
(b) Each connection to a tank inside of buildings through which liquid can normally flow shall be provided with an internal or an external valve located as close as practical to the shell of the tank.
(c) Flammable or combustible liquid storage tanks located inside of buildings, except in one-story buildings designed and protected for flammable or combustible liquid storage, shall be provided with an automatic-closing heat-actuated valve on each withdrawal connection below the liquid level, except for connections used for emergency disposal, to prevent continued flow in the event of fire in the vicinity of the tank. This function may be incorporated in the valve required in (b), and if a separate valve, shall be located adjacent to the valve required in (b).
(d) Openings for manual gaging of Class I or Class II liquids, if independent of the fill pipe, shall be provided with a vaportight cap or cover. Openings shall be kept closed when not gaging. Each such opening for any liquid shall be protected against liquid overflow and possible vapor release by means of a spring loaded check valve or other approved device. Substitutes for manual gaging include, but are not limited to, heavy-duty flat gage glasses, magnetic, hydraulic or hydrostatic remote reading devices and sealed float gages.
(e) For Class IB and Class IC liquids other than crude oils, gasolines and asphalts, the fill pipe shall be so designed and installed as to minimize the possibility of generating static electricity by terminating within six inches of the bottom of the tank.
(f) The fill pipe inside of the tank shall be installed to avoid excessive vibration of the pipe.
(g) The inlet of the fill pipe for Class I, Class II and Class IIIA liquids shall be located outside of buildings at a location free from any source of ignition and not less than five feet away from any building opening. The inlet of the fill pipe for any liquid shall be closed and liquid-tight when not in use, and the fill connection shall be properly identified.
(h) Tanks storing Class I, Class II and Class IIIA liquids inside buildings shall be equipped with a device, or other means shall be provided, to prevent overflow into the building. Suitable devices include, but are not limited to, a float valve, a preset meter on the fill line, a valve actuated by the weight of the tank contents, a low head pump which is incapable of producing overflow, or a liquid-tight overflow pipe at least one pipe size larger than the fill pipe discharging by gravity back to the outside source of liquid or to an approved location.
§5602. Supports, Foundations and Anchorage for All Tank Locations.

(a) Tanks shall rest on the ground or on foundations made of concrete, masonry, piling of steel. Tank foundations shall be designed to minimize the possibility of uneven settling of the tank and to minimize corrosion in any part of the tank resting on the foundation.
(b) When tanks are supported above from the foundations, tank supports shall be installed on firm foundations. Supports for tanks storing Class I, Class II or Class IIIA liquids shall be of concrete, masonry or protected steel. Single wood timber supports (not cribbing) laid horizontally may be used for outside aboveground tanks if not more than 12 inches high at their lowest point.
(c) Steel supports or exposed piling for tanks storing Class I, Class II or Class IIIA liquids shall be protected by materials having a fire resistant rating of not less than two hours, except that steel saddles need not be protected if less than 12 inches high at their lowest point. Water spray protection or its equivalent may be used in lieu of fire-resistive materials to protect supports.
(d) The design of the supporting structure for tanks such as spheres shall requires special engineering consideration.
(e) Every tank shall be so supported as to prevent the excessive concentration of loads on the supporting portion of the shell.
(f) In areas subject to earthquakes, the tank supports and connections shall be designed to resist damage as a result of such shocks. 
§5603. Sources of Ignition.

In locations where flammable vapors may be present, precautions shall be taken to prevent ignition by eliminating or controlling sources of ignition. Sources of ignition may include open flames, lightning, smoking, cutting and welding, hot surfaces, frictional heat, sparks (static, electrical and mechanical), spontaneous ignition, chemical and physical-chemical reactions and radiant heat. 
§5604. Testing.

(a) All tanks, whether shop-built or field-erected, shall be tested before they are placed in service in accordance with the applicable paragraphs of the Code under which they were built. The ASME Code stamp, API monogram, or the Listing Mark of Underwriters' Laboratories, Inc., on a tank shall be evidence of compliance with this test. Tanks not marked in accordance with the above Codes shall be tested before they are placed in service in accordance with good engineering principles and reference shall be made to the sections on testing in the Codes listed in Sections 5585, 5586(b) or 5587(b).
(b) When the vertical length of the fill and vent pipes is such that when filled with liquid the static head imposed upon the bottom of the tank exceeds 10 pounds per square inch, the tank and related piping shall be tested hydrostatically to a pressure equal to the static head thus imposed.
(c) In addition to the test called for in (a) and (b), all tanks and connections shall be tested for tightness. Except for underground tanks, this tightness shall be made at operating pressure with air, inert gas or water prior to placing the tank in service. In the case of field-erected tanks the test called for in (a) or (b) may be considered to be the test for tank tightness. Underground tanks and piping, before being covered, enclosed, or placed in use, shall be tested for tightness hydrostatically, or with air pressure at not less than three pounds per square inch and not more than five pounds per square inch. (See Section 5612 for testing pressure piping).
(d) Before the tank is initially placed in service, all leaks or deformations shall be corrected in an acceptable manner. Mechanical caulking is not permitted for correcting leaks in welded tanks except pin hole leaks in the roof.
(e) Tanks to be operated at pressures below their design pressure may be tested by the applicable provisions of (a) or (b) based upon the pressure developed under full emergency venting of the tank. 
§5605. Protection of Tanks in Locations That May Be Flooded.

Where a tank is located in an area that may be subjected to flooding, installation shall be in accordance with the provisions of NFPA No. 30-1973. 
Article 146. Piping, Valves and Fittings
§5606. General.

(a) The design, fabrication, assembly, test and inspection of piping systems containing flammable or combustible liquids shall be suitable for the expected working pressures and structural stresses. Conformity with the applicable sections of ANSI B31 American National Standard Code for Pressure Piping, and the provisions of this chapter, shall be considered prima facie evidence of compliance with the foregoing provisions.

Exceptions: 
(1) Tubing or casing on any oil or gas wells and any piping connected directly thereto.
(2) Motor vehicle, aircraft, boat or portable or stationary engine.
(3) Piping within the scope of any applicable boiler and pressure vessel Code.
(b) Piping systems consist of pipe, tubing, flanges, bolting, gaskets, valves, fittings, the pressure containing parts of other components such as expansion joints and strainers, and devices which serve such purposes as mixing, separating, snubbing, distributing, metering, or controlling flow. 
§5607. Materials for Piping, Valves and Fittings.

(a) Pipe, valves, faucets, fittings and other pressure containing parts as covered in Section 5606(b) shall meet the material specifications and pressure and temperature limitations of the applicable sections of ANSI B31, American National Standard Code for Pressure Piping, except as provided by Section 5607(b), (c) and (d). Plastic or similar materials, as permitted by Section 5607(d), shall be designed to specifications embodying recognized engineering principles and shall be compatible with the fluid service.
(b) Nodular iron shall conform to ASTM A-445-70, Ferritic Ductile Iron Castings for Valves, Flanges, Pipe Fittings and Other Piping Components. Malleable iron shall conform to ASTM A-47-68, Malleable Iron Castings.
(c) Valves at storage tanks, as required by Sections 5596(b) and 5601(b), and their connections to the tank shall be of steel or nodular iron, or malleable iron except as provided in (1) or (2).
(1) Valves at storage tanks may be other than steel, malleable or nodular iron when the chemical characteristics of the liquid stored are not compatible with steel or when installed internally to the tank. When installed externally to the tank, the material shall have a ductility and melting point comparable to steel or nodular iron so as to withstand reasonable stresses and temperatures involved in fire exposure, or otherwise be protected such as by materials having a fire resistance rating of not less than two hours.
(2) Cast iron, brass, copper, aluminum, and similar materials may be used on tanks described in Section 5590(c) or for tanks storing Class IIIB liquids when the tank is located outdoors and not within a diked area or drainage path of a tank storing a Class I, Class II or Class IIIA liquid.
(d) Low melting point materials, such as aluminum, copper and brass; or materials which soften on fire exposure, such as plastics; or nonductile material, such as cast iron, may be used underground for all flammable and combustible liquids within the pressure and temperature limits of the ANSI B31, American National Standard Code for Pressure Piping, if such materials are used outdoors in aboveground piping systems handling Class I, Class II or Class IIIA liquids or within buildings handling any flammable or combustible liquid, they shall be either suitably protected against fire exposure, or so located that any leakage resulting from the failure would not unduly expose persons, important buildings or structures or located where leakage can readily be controlled by operation of an accessible remotely located valve or valves. 
§5608. Pipe Joints.

(a) Joints shall be made liquid-tight. Welded or screwed joints or approved connectors shall be used. Threaded joints and connections shall be made up tight with a suitable lubricant or piping compound. Joints and piping systems handling Class I liquids where located in concealed spaces within buildings or structures shall be welded.
(b) Pipe joints dependent upon the friction characteristics of combustible materials for mechanical continuity of piping shall not be used inside buildings. They may be used outside of buildings above or below ground. If used aboveground, the piping shall either be secured to prevent disengagement at the fitting or the piping system shall be so designed that any spill resulting from such disengagement could not unduly expose persons, important buildings or structures, and could be readily controlled by remote valves. 
§5609. Supports.

Piping systems shall be substantially supported and protected against physical impact and excessive stresses arising from settlement, vibration, expansion or contraction. 
§5610. Protection Against Corrosion.

All piping for flammable or combustible liquids, both aboveground and underground, where subject to external corrosion, shall be painted or otherwise protected. 
§5611. Valves.

Piping systems shall contain a sufficient number of valves to operate the system properly and to protect the plant. Piping systems in connection with pumps shall contain a sufficient number of valves to control properly the flow of liquid in normal operation and in the event of physical damage. Each connection to pipe lines, by which equipment such as tank cars or tank vehicles discharge liquids by means of pumps into storage tanks, shall be provided with a check valve for automatic protection against backflow if the piping arrangement is such that backflow from the system is possible. [See also Section 5596(b)]. 
§5612. Testing.

Unless tested in accordance with the applicable sections of ANSI B31, American National Standard Code for Pressure Piping, all piping before being covered, enclosed or placed in use shall be hydrostatically tested to 150 percent of the maximum anticipated pressure of the system, or pneumatically tested to 110 percent of the maximum anticipated pressure of the system, but not less than 5 pounds per square inch gage at the highest point of the system. This test shall be maintained for a sufficient time to complete visual inspection of all joints and connections, but for at least 10 minutes. 
Article 147. Bulk Plants
§5614. Scope.
History

The requirements contained in this Article shall also apply to petroleum bulk plants which are in addition covered in the Petroleum Safety Orders Refining, Transportation, Handling. (Title 24, T8-5614)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5616. Storage.

(a) Class I liquids shall be stored in closed containers, or in storage tanks aboveground outside of buildings, or underground in accordance with Article 145.
(b) Class II and Class III liquids shall be stored in containers, or in tanks within buildings or aboveground outside of buildings, or underground in accordance with Article 145.
(c) Containers of flammable or combustible liquids when piled one upon the other shall be separated by dunnage sufficient to provide stability and to prevent excessive stress on container walls. The height of pile shall be consistent with stability and strength of containers.
(d) Piping systems shall be in accordance with Article 146. 
§5617. Buildings.
History

(a) Rooms in which flammable or combustible liquids are stored or handled by pumps, shall have exit facilities arranged to prevent occupants being trapped in the event of fire.
(b) Rooms in which Class I liquids are stored or handled shall be heated only by means not constituting a source of ignition, such as steam or hot water. Rooms containing heating appliances involving sources of ignition shall be located and arranged to prevent entry of flammable vapors. (Title 24, T8-5617)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5618. Ventilation.
History

(a) Ventilation shall be provided for all rooms, buildings, or enclosures in which Class I liquids are pumped or dispensed. Design of ventilation systems shall take into account the relatively high specific gravity of the vapors. Ventilation may be provided by adequate openings in outside walls at floor level unobstructed except by louvers or coarse screens. Where natural ventilation is inadequate, mechanical ventilation shall be provided. (See Section 5143).
(b) Class I liquids shall not be stored or handled within a building having a basement or pit into which flammable vapors may travel, unless such area is provided with ventilation designed to prevent the accumulation of flammable vapors therein.
(c) Containers of Class I liquids shall not be drawn from or filled within buildings unless provision is made to prevent the accumulation of flammable vapors in hazardous concentrations. Where mechanical ventilation is required, it shall be kept in operation while flammable liquids are being handled. (Title 24, T8-5618)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
§5619. Loading and Unloading Facilities.
History

(a) Tank vehicle and tank car loading and unloading facilities shall be separated from aboveground tanks, warehouses, other plant buildings or nearest line of adjoining property that may be built upon by a distance of 25 feet for Class I liquids and 15 feet for Class II and Class III liquids measured from the nearest position of any fill spout. Buildings for pumps or shelters for personnel may be a part of the facility.
(b) Equipment such as piping, pumps, and meters used for the transfer of Class I liquids between storage tanks and the fill stem of the loading rack shall not be used for the transfer of Class II or Class III liquids.
(c) Except for Class III liquids, valves used for the final control for filling tank vehicles shall be of the self-closing type and manually held open except where automatic means are provided for shutting off the flow when the vehicle is full or after filling of a preset amount.
(d) Bonding facilities for protection against static sparks during the loading of tank vehicles though open domes shall be provided where Class I liquids are loaded, or where Class II or Class III liquids are loaded into vehicles which may contain vapors from previous cargoes of Class I liquids.
(e) Protection as required in (d) shall consist of a metallic bond wire permanently electrically connected to the fill stem or to some part of the rack structure in electrical contact with the fill stem. The free end of such wire shall be provided with a clamp or equivalent device for convenient attachment to some metallic part in electrical contact with the cargo tank of the tank vehicle.
(f) Such bonding connection shall be made fast to the vehicle or tank before dome covers are raised and shall remain in place until filling is completed and all dome covers have been closed and secured.
(g) Bonding as specified in (d), (e), and (f) is not required:
(1) Where vehicles are loaded exclusively with products not having a static accumulating tendency, such as asphalts including cutback asphalts, most crude oils, residual oils and water soluble liquids;
(2) Where no Class I liquids are handled at the loading facility and the tank vehicles loaded are used exclusively for Class II and Class III liquids; and
(3) Where vehicles are loaded or unloaded through closed bottom or top connections whether the hose or pipe is conductive or nonconductive.
(h) Filling through open domes into the tanks of tank vehicles or tank cars, that contain vapor-air mixtures within the flammable range or where the liquid being filled can form such a mixture, shall be by means of a downspout which extends near the bottom of the tank. This precaution is not required when loading liquids which are nonaccumulators of static charges.
(i) Tank car loading facilities where flammable and combustible liquids are loaded or unloaded through open domes shall be protected against stray currents by permanently bonding the pipe to at least one rail and to the rack structure, if of metal. Multiple pipes entering the rack area shall be permanently electrically bonded together. In addition, in areas where excessive stray currents are known to exist, all pipe entering the rack area shall be provided with insulating sections to electrically isolate the rack piping from the pipe lines. These precautions are not necessary where Class II or Class III liquids are handled exclusively and there is no probability that tank cars will contain vapors from previous cargoes of Class I liquids. Temporary bonding is not required between the tank car and the rack or piping during either loading or unloading irrespective of the class of liquid handled.
(j) Class I liquids shall not be dispensed into metal containers unless the nozzle or fill pipe is in electrical contact with the container. This can be accomplished by maintaining metallic contact during filling, by a bond wire between them, or by other conductive path having an electrical resistance not greater than 106 ohms. Bonding is not required where a container is filled through a closed system, or is made of glass or other nonconducting material.
HISTORY

1. Editorial correction filed 10-9-84; effective thirtieth day thereafter (Register 84, No. 41). 
§5620. Wharves.
Note     •     History

(a) The term wharf shall mean any wharf, pier, bulkhead or other structure over or contiguous to navigable water, the primary function of which is the transfer of flammable or combustible liquid cargo in bulk between shore installations and any tank vessel, ship, barge, lighter boat or other mobile floating craft; and this article shall apply to all such installations except Marine Service Stations as covered in Article 144.
(1) If flammable or combustible liquids are handled in bulk quantities across general purpose piers or wharves the Standard for the Construction and Protection of Piers and Wharves, NFPA No. 87, shall be followed.
(b) Substructure and deck shall be substantially designed for the use intended. Deck may employ any material which will afford the desired combination of flexibility, resistance to shock, durability, strength and fire resistance. Heavy timber construction is acceptable.
(c) Loading pumps capable of building up pressures in excess of the safe working pressure of cargo hose or loading arms shall be provided with by-passes, relief valves, or other arrangement to protect the loading facilities against excessive pressure. Relief devices shall be tested at not more than yearly intervals to determine that they function satisfactorily at the pressure at which they are set.
(1) All pressure hoses and couplings shall be inspected at intervals appropriate to the service. With the hose extended, test the hose and couplings using the “in service maximum operating pressures.” Any hose showing material deteriorations, signs of leakage, or weakness in its carcass or at the couplings shall be withdrawn from service and repaired or discarded.
(d) Piping, valves and fittings shall be in accordance with Article 146, with the following exceptions and additions:
(1) Flexibility of piping shall be assured by appropriate layout and arrangement of piping supports so that motion of the wharf structure resulting from wave action, currents, tides or the mooring of vessels will not subject the pipe to repeated strain beyond the elastic limit.
(2) Pipe joints depending upon the friction characteristics of combustible materials or grooving of pipe ends for mechanical continuity of piping shall not be used.
(3) Swivel joints may be used in piping to which hoses are connected, and for articulated swivel-joint transfer systems, provided that the design is such that the mechanical strength of the joint will not be impaired if the packing material should fail, as by exposure to fire.
(4) Piping systems shall contain a sufficient number of valves to operate the system properly and to control the flow of liquid in normal operation and in the event of physical damage.
(5) In addition to the requirements of (4), each line conveying Class I and Class II liquids leading to a wharf shall be provided with a readily accessible block valve located on shore near the approach to the wharf and outside of any diked area. Where more than one line is involved, the valves shall be grouped in one location.
(6) Means of easy access shall be provided for cargo line valves located below the wharf deck.
(7) Pipe lines on wharves shall be adequately bonded and grounded if Class I and Class II liquids are handled.
(8) Hose or articulated swivel-joint pipe connections used for cargo transfer shall be capable of accommodating the combined effects of change in draft and maximum tidal range, and mooring lines shall be kept adjusted to prevent surge of the vessel from placing stress on the cargo transfer system.
(9) Hose shall be supported so as to avoid kinking and damage from chafing.
(e) Suitable portable fire extinguishers with a rating of not less than 20-B shall be located within 75 feet of those portions of the facility where fires are likely to occur, such as hose connections, pumps and separator tanks.
(1) Where piped water is available, ready-connected fire hose in size appropriate for the water supply shall be provided so that manifolds where connections are made and broken can be reached by at least one hose stream.
(2) Material shall not be placed on wharves in such a manner as to obstruct access to fire fighting equipment or important pipe line control valves.
(3) Where the wharf is accessible to vehicle traffic, an unobstructed roadway to the shore end of the wharf shall be maintained for access of fire fighting apparatus. (Title 24, T8-5620(a), (b), (c))
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Repealer of subsections (b) and (d) and consecutive relettering of subsections (c)-(g) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
§5621. Electrical Equipment.
History

(a) This section shall apply to areas where Class I liquids are stored or handled. For areas where Class II or Class III liquids only are stored or handled, the electrical equipment may be installed in accordance with the provisions of the California Electrical Safety Orders for ordinary locations.
(b) All electrical equipment and wiring shall be of a type specified by and shall be installed in accordance with the California Electrical Safety Orders.
(c) So far as it applies Table FL-19 shall be used to delineate and classify areas for the purpose of installation of electrical equipment under normal circumstances. In Table FL-19, a classified area shall not extend beyond an unpierced wall, roof or other solid partition. (Title 24, T8-5621)

View Graphic

View Graphic
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
§5622. Sources of Ignition.

Class I liquids shall not be handled, drawn, or dispensed where flammable vapors may reach a source of ignition. Smoking shall be prohibited except in designated localities. “NO SMOKING” signs shall be conspicuously posted where hazard from flammable vapors is normally present. 
§5623. Drainage and Waste Disposal.

Provision shall be made to prevent flammable or combustible liquids which may be spilled at loading or unloading points from entering public sewers and drainage systems, or natural waterways. Connection to such sewers, drains, or waterways by which flammable or combustible liquids might enter shall be provided with separator boxes or other approved means whereby such entry is precluded. Crankcase drainings and flammable or combustible liquids shall not be dumped into sewers, but shall be stored in tanks or tight drums outside of any building until removed from the premises. 
§5624. Fire Control.
History

Suitable fire-control devices, such as small hose or portable fire extinguishers, shall be available to locations where fires are likely to occur. Additional fire-control equipment may be required where a tank of more than 50,000 gallons individual capacity contains Class I liquids and where an unusual exposure hazard exists from surrounding property. Such additional fire-control equipment shall be sufficient to extinguish a fire in the largest tank. The design and amount of such equipment shall be in accordance with approved engineering standards. (Title 24, T8-5624)
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29). 
Article 148. Refineries, Chemical Plants, Wineries and Distilleries
§5629. Scope.
Note     •     History

The requirements contained in this Article shall also apply to petroleum refineries which are in addition covered in the Petroleum Safety Orders Refining, Transportation, Handling.
(a) Flammable and combustible liquids shall be stored in tanks, containers or in portable tanks. Tanks shall be installed in accordance with Article 145 except process units shall be located in accordance with (d) below.
(b) Piping systems shall be in accordance with Article 146. Fired and unfired pressure vessels shall be in accordance with the Boiler and Fired Pressure Vessel Safety Orders and the Unfired Pressure Vessel Safety Orders.
(c) Wharves handling flammable or combustible liquids shall be in accordance with Section 5620.
(d) Process units shall be located so that they are accessible from at least one side for the purpose of fire control.
(e) Portable fire extinguishment and control equipment shall be provided in such quantities and types as are needed for the special hazards of operation and storage. See Article 157.
(f) Water shall be available in volume to supply the largest single fixed installation requirement plus not less than 250 gallons per minute for hose streams.
(g) Special extinguishing equipment such as that utilizing foam, inert gas, or dry chemical shall be provided as the need is indicated by the special hazards of operation and storage.
(h) Smoking shall be permitted only in approved areas. (Title 24, T8-5629)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment of subsection (d) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38). 
Group 25. Federal Regulations
Article 150. Scope
§6000. Scope.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Group 25 (Articles 150 and 151, Sections 6000 through 6004) filed 2-6-73; effective thirtieth day thereafter (Register 73, No. 6). 
2. Repealer of section and Note and new Note filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
Article 151. OSHA Standards
§6001. Nonionizing Radiation.
Note     •     History

NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 4-16-81; effective thirtieth day thereafter (Register 81, No. 16). 
§6002. Nitrous Oxide.
History

HISTORY

1. Repealer filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29). 
§6003. Accident Prevention Signs.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (a)(3) filed 7-17-75; effective thirtieth day thereafter (Register 75, No. 29).
2. Repealer and new section filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment of subsections (c)(1)(A), (f)(1) and (f)(4)-(6) filed 7-8-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Amendment of section heading and repealer of subsection (f) filed 10-27-87; operative 11-26-87 (Register 87, No. 44). 
5. Renumbering of former section 6003 to new section 3340 filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
§6004. Accident Prevention Tags.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section and Appendix A filed 10-27-87; operative 11-26-87 (Register 87, No. 44). For history of former Section 6004, see Register 80, No. 8. 
2. Renumbering of former section 6004 and accompanying Appendix A to new section 3341 filed 2-5-97; operative 3-7-97 (Register 97, No. 6).
Group 26. Diving and Pressurized Worksite Operations
Article 152. Diving Operations
§6050. General.
Note     •     History

(a) Scope.
(1) This standard applies to all diving operations: commercial, scientific, technical and agricultural which are conducted within the boundaries of the State as defined in Government Code Section 170 except in areas of exclusive Federal jurisdiction and the exceptions listed below. In addition, any diver involved in commercial diving operations shall comply with the requirements of Sections 6059 thru 6063 of these orders.

Exception: This standard does not apply to the following diving operations:
(A) Commercial diving operations under the jurisdiction of the U.S. Coast Guard which includes all commercial diving operations taking place offshore and from all vessels required to have a certificate of inspection issued by the Coast Guard.
(B) Diving operations performed solely for search, rescue, or related public safety purposes under the control of and performed by employees of a state or local governmental agency.
(C) Diving operations performed solely for instruction purposes, using open-circuit, compressed-air SCUBA and breathhold diving conducted within the no-decompression limits.
(D) Diving operations governed by 45 CFR Part 46 (Protection of Human Subjects, U.S. Department of Health, Education and Welfare), or equivalent rules or regulations established by another Federal agency, which regulate research, development, or related purposes involving human subjects.
(E) Scientific diving operations under the direction and control of a diving program containing at least the following elements:
1. Diving safety manual which includes at a minimum: procedures covering all diving operations specific to the program; procedures for emergency care, including recompression and evacuation; and criteria for diver training and certification.
2. Diving control (safety) board, with the majority of its members being active divers, which shall at a minimum have the authority to: Approve and monitor diving projects; review and revise the diving safety manual; assure compliance with the manual; certify the depths to which a diver has been trained; take disciplinary action for unsafe practices; and, assure adherence to the buddy system (a diver is accompanied by and is in continuous contact with another diver in the water) for SCUBA diving.
(2) Deviations from this Standard.
(A) An employer may deviate from the requirements of this standard to the extent necessary to prevent or minimize a situation which is likely to cause death, serious physical harm, or major environmental damage, provided that the person-in-charge:
1. Notifies the Division within 48 hours of the onset of the emergency situation indicating the nature of the emergency and extent of the deviation from the prescribed regulations; and
2. Upon request from the Division, submits such information in writing.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Group 26 (Article 152, Sections 6050-6061 and Appendix A) filed 7-26-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Repealer of Article 152 (Sections 6050-6061 and Appendix A) filed 1-30-80; designated effective 6-29-80 (Register 80, No. 5).
3. New Article 152 (Sections 6050-6058) filed 1-30-80; designated effective 6-30-80 (Register 80, No. 5).
4. Reprinting of Article 152 to reflect operative dates (Register 80, No. 22).
5. Repealer of Article 152 (Sections 6050-6061 and Appendix A) redesignated effective 12-31-80 and new Article 152 (Sections 6050-6058) redesignated  effective 1-1-81 filed 6-24-80 as an emergency; effective upon filing. Certificate of Compliance included (Register 80, No. 26).
6. Amendment filed 6-10-83; effective thirtieth day thereafter (Register 83, No. 24).
7. Amendment of subsection (a)(2) filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
8. Amendment of group 26 heading filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§6051. Definitions.
Note     •     History

As used in this Article, the listed terms are as follows:
Acfm. Actual cubic feet per minute.
ASME Code or Equivalent. ASME (American Society of Mechanical Engineers) Boiler and Pressure Vessel Code, Section VIII, or an equivalent code which the employer can demonstrate to be equally effective.
ATA. Atmosphere absolute.
Agricultural Diving. All diving operations (including maricultural and aquacultural diving) performed by agricultural employees necessary to a farming activity including but not limited to maintenance planting, cultivation, growing or harvesting not conducted by a commercial diver.
Aquaculture (Mariculture). The culture and husbandry of aquatic organisms.
Bell. An enclosed compartment, pressurized (closed bell) or unpressurized (open bell), which allows the diver to be transported to and from the underwater work area which may be used as a temporary refuge during diving operations.
Bottom Time. The total elapsed time measured in minutes from the time when the diver leaves the surface in descent to the time that the diver begins ascent.
Breath-hold Diving. A diving mode in which the diver uses no self-contained or surface-supplied air or oxygen supply.
Bursting Pressure. The pressure at which a pressure containment device would fail structurally.
Commercial Diver. A diver hired for underwater work who is engaged in commercial diving operations.
Commercial Diving Operations. All diving operations in which construction, demolition, repair, maintenance, shipbuilding, shipbreaking or ship repair, work is performed.
Cylinder. A pressure vessel for the storage of gases.
Decompression Chamber. A pressure vessel for human occupancy such as a surface decompression chamber, closed bell, or deep diving systems used to decompress divers and to treat decompression sickness.
Decompression Sickness. A condition with a variety of symptoms which may result from gas and bubbles in the tissues of divers after pressure reduction.
Decompression Table. A profile or set of profiles of depth-time relationships for ascent rates and breathing mixtures to be followed after a specific depth-time exposure or exposures.
Dive Location. A surface or vessel from which a diving operation is conducted.
Dive-Location Reserve Breathing Gas. A supply system of air or mixed gas (as appropriate) at the dive location which is independent of the primary supply system and sufficient to support divers during the planned decompression.
Diver. An employee working in water who using apparatus, including snorkels, which supplies breathing gas at ambient pressure.
Diver-in-Training. An employee gaining experience and training in additional diving activities under the supervision of a dive team member experienced in those activities.
Diver-Carried Reserve Breathing Gas. A diver-carried supply of air or mixed gas (as appropriate) sufficient under standard operating conditions to allow the diver to reach the surface, or another source of breathing gas, or to be reached by a standby diver.
Dive Site. The physical location of a diver during a dive which may be on the surface or underwater.
Dive Team. Divers and support employees who are exposed to or control the exposure of others to hyperbaric conditions, including the designated person-in-charge.
Diving Mode. A type of diving requiring specific equipment, procedures and techniques (SCUBA, surface-supplied air, or mixed gas).
Fsw. Feet of seawater (or equivalent static pressure head).
Heavy Gear. Diver-worn, deep-sea dress including but not limited to helmet, breastplate, dry suit.
HOOKAH Diving. A type of shallow water surface-supplied diving where the diver uses the second stage of a SCUBA regulator connected to a non-return valve and hose to a surface air source.
Hyperbaric Conditions. Pressure conditions in excess of normal atmospheric pressure at the dive site.
Inwater Stage. A suspended underwater platform which supports a diver in the water.
Liveboating. The practice of supporting a surface-supplied air or mixed gas diver from a vessel which is underway.
Maximum Working Pressure. The maximum pressure to which a containment device may be exposed under standard operating conditions.
Mixed-Gas Diving. A diving mode in which the diver is supplied in the water with a breathing gas other than air.
Msw. Meters of seawater (or equivalent static pressure head).
No-Decompression Limits. The depth-time limits of the “no-decompressions limits and repetitive dive group designations table for no-decompression air dives.” U.S. Navy diving Manual or equivalent limits which the employer can demonstrate to be equally effective.
Pressure-Related Injury. Any injury resulting from pressure disequilibrium within the body as the result of hyperbaric exposure such as: decompression sickness, pneumothorax, mediastinal emphysema, air embolism, or subcutaneous emphysema.
Psi(g). Pounds per square inch (gauge).
Scientific Diving. All diving performed solely as a necessary part of a scientific research, or educational activity by employees whose sole purpose for diving is to perform scientific research tasks. Scientific diving does not include performing any tasks usually associated with commercial diving such as: placing or removing heavy objects underwater, inspection of pipelines and similar objects; construction; demolition; cutting or welding; or the use of explosives.
SCUBA Diving. A diving mode independent of surface supply in which the diver uses open circuit self-contained underwater breathing apparatus.
Standby Diver. A diver at the dive location capable of rendering immediate assistance to a diver in the water.
Surface-Supplied Air Diving. A diving mode in which the diver in the water is supplied from the dive location with compressed air for breathing.
Technical Diving. All diving other than scientific or commercial diving performed by employees in making or performing observations, measurements, adjustments, underwater photography or special effects and related activities, etc., which require technical expertise and are not an integral part of an ongoing construction, demolition, repair, maintenance, shipbuilding, shipbreaking, or ship repair job.
Treatment Table. A depth-time and breathing gas profile designed to treat decompression sickness.
Umbilical. The composite hose bundle between a dive location and a diver or bell, or between a diver and a bell, which supplies the diver or bell with breathing gas, communications, power, or heat as appropriate to the diving mode or conditions, and includes a safety line between the diver and the dive location.
Volume Tank. A pressure vessel connected to the outlet of a compressor and used as an air reservoir.
Working Pressure. The normal pressure at which the system is designed to operate.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 9-11-80; designated effective 1-1-81 (Register 80, No. 37).
2. Amendment filed 6-10-83; effective thirtieth day thereafter (Register 83, No. 24). 
3. Change without regulatory effect amending definition of “Liveboating” filed 11-7-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 45).
§6052. General Requirements.
Note     •     History

(a) Employer Obligation.
(1) The employer shall be responsible for compliance with:
(A) All provisions of this standard of general applicability; and
(B) All requirements pertaining to specific modes to the extent diving operations in such modes are conducted.
(2) The employer shall not:
(A) Require a dive team member to be exposed to hyperbaric conditions against the employee's will, except when necessary to prevent or treat pressure related injury.
(B) Permit a dive team member to dive for the duration of any physical impairment or condition which is known to the employer and is likely to affect adversely the safety or health of the employee or other dive team members.
(b) Requirement for a Manual for Diving Safety. The employer shall develop and maintain a Manual for Diving Safety which shall be made available to each dive team member. The emergency evacuation and emergency medical treatment sections of the Manual for Diving Safety shall be abstracted and with the decompression, repetitive, and no-decompression tables (as appropriate) be available at the dive location.
(c) The Dive Team.
(1) Person-in-Charge:
(A) Definition and Authority: The employer or a person appointed by the employer shall be designated as the person-in-charge. This person shall be in charge of all aspects of the diving operation and shall be at the dive location or the dive site during the diving operation.
(B) Qualifications: The person-in-charge shall have experience and training to conduct the diving operation.
(C) Responsibilities.
1. Coordination. Diving shall be coordinated with other known activities in the vicinity which are likely to interfere with diving operations.
2. Briefing. The dive team members shall be briefed on:
(i) Dive objectives;
(ii) Any unusual hazards or environmental conditions likely to affect the safety of the diving operation;
(iii) Any modifications to diving or emergency procedures necessitated by the specific diving operation;
(iv) Immediately reporting any physical problems or adverse physiological effects including symptoms of pressure related injuries.
3. Pre-Dive Inspection. The designated-person-in-charge shall ascertain that the diver has conducted a functional check of his or her own diving equipment and shall inquire into the diver's current state of diving fitness.
4. Post Dive Procedures.
(i) After the completion of a day's diving, the designated-person-in-charge shall observe the physical condition of each diver and shall conduct an interview with each diver regarding any physical problems or symptoms of decompression sickness.
(ii) When diving outside the no-decompression limits, deeper that 100 fsw or using mixed gas as a breathing mixture, the employer shall insure the diver remains awake for at least one hour after diving (including decompression or treatment if appropriate), and in the vicinity of the decompression chamber (if required at the dive location), or in the company of a dive team member who is prepared to transport the diver to a decompression chamber if necessary.
(2) Diver. Qualifications: The diver shall be trained and qualified for the diving mode being used and shall have the training and experience to participate in diving activities in a safe and healthful manner.
(3) Diver-in-Training. Qualifications: The diver-in-training shall have the training and experience to participate in the training activity in safe and healthful manner.
(d) Dive Team Training and Experience.
(1) Each dive team member shall have experience or training in the following:
(A) The use of the instruments and equipment appropriate to the diving activity to be conducted.
(B) Techniques of the diving mode to be used.
(C) Dive planning and emergency procedures.
(2) All dive team members shall be trained in cardiopulmonary resuscitation, diver rescue techniques and diving related first aid.
(3) Dive team members who are exposed to or control the exposure of others to hyperbaric conditions shall be trained in diving-related physics and physiology and recognition of pressure related injuries.
(e) Warning Flag. When diving in areas capable of supporting marine traffic, either:
(1) A rigid replica of the international code flag “A” at least one meter in height shall be displayed at the dive location in a manner which allows all-round visibility, and shall be illuminated during night diving operations, or
(2) The use of a smaller code flag “A” shall be permitted for shallow diving, commensurate with the size of boats, skiffs, or other surface floats used in the dive operation, or
(3) A flag and/or other signal required by the agency which has jurisdiction at the dive location shall be displayed to indicate that diving operations are being conducted.
(f) First-Aid Supplies.
(1) A first-aid kit adequate for the diving operation shall be available at the dive location.
(2) When used in a decompression chamber or bell, the first-aid kit shall be suitable for use under hyperbaric conditions.
(g) Record of Dive.
(1) The following information shall be recorded for each diving operation and retained for a period of one year.
(A) Names of dive team members including designated person-in-charge;
(B) Date, time and location;
(C) Diving modes used;
(D) General nature of diving activity;
(E) Approximate underwater and surface conditions (visibility, water temperature and current);
(F) Maximum depth, bottom time, surface interval time and mixed-gas profiles (if used) for each diver.
(G) Diving tables used if other than U.S. Navy Standard Air Table.
(2) If pressure related injuries are suspected or if symptoms are evident, the following additional information shall be recorded and retained with the record of dive for a period of 5 years.
(A) Description of symptoms (including depths and time of onset); and
(B) Description and results of treatment.
(3) Pressure Related Injury Assessment. The employer shall:
(A) Investigate and document any incident of pressure related injury.
(B) Prepare a written report of the incident resulting in the pressure related injury, including any corrective action taken, within 45 days of the incident. This report shall be retained for a period of 5 years.
(C) Take appropriate corrective action to reduce the probability of recurrence.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
§6053. Medical Requirements of Dive Team.
Note

(a) General.
(1) The employer shall determine that dive team members who are, or are likely to be, exposed to hyperbaric conditions have passed a current physical examination and have been declared medically fit to engage in diving activities.
(2) The employer shall provide each diver with all medical examinations required by this standard.
(3) All medical examinations required by this standard shall be performed by, or under the direction of, a licensed physician.
(b) Frequency of Medical Examinations. Medical examinations shall be provided:
(1) Before an employee may dive, unless an equivalent medical examination has been given within the preceding 12 months and the employer has obtained the results of the examination and an opinion from the examining physician of the employee's medical fitness to dive.
(2) At one year intervals from the date of initial examination or last equivalent examination; and
(3) After an injury or illness requiring hospitalization of more than twenty-four (24) hours.
(4) After an episode of unconsciousness related to diving activity.
(c) Information Provided to Examining Physician. The employer shall provide the following information to the examining physician.
(1) A copy of the medical requirements of this standard;
(2) A summary of the nature and extent of the diving conditions to which the dive team member will be exposed, including diving modes and the level of physical activity which is expected.
(d) Content of Medical Examinations:
(1) Medical examinations conducted initially and annually shall consist of the following:
(A) General medical history;
(B) Diving-related medical history;
(C) Basic physical examination;
(D) The tests required by Table I; and
(E) Any additional tests the physician considers necessary.
(2) Medical examinations conducted after an injury or illness requiring hospitalization of more than 24 hours or after an episode of unconsciousness related to diving activity shall be appropriate to the nature and extent of the injury or illness as determined by the examining physician.

Table I. Tests for Diving Medical Examination Initial Annual

	Initial	Annual
Test	Examination	Reexamination
			
Chest X-Ray	X	(b)
Visual acuity	X	X
Color blindness	X
Master's Step Test
  (or equivalent)	X	X(a)
Hearing Test	X	X
Hematocrit or hemoglobin	X	X
Sickle cell index	X
White cell count	X	X
Urinalysis	X	X

(a) for those age 35 or older

(b) every 2 years 

(e) Physician's Written Report.
(1) After any medical examination required by this standard, the employer shall obtain a written report prepared by the examining physician which shall contain the examining physician's opinion of the employee's fitness to dive, including any recommended restrictions or limitations (See Appendix A). The report shall not include diagnosis or details unrelated to diving.
(2) The employer shall provide the employee with a copy of the physician's written report.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6054. Manual for Diving Safety.
Note

(a) The Manual for Diving Safety shall include, but not be limited to:
(1) A copy of this standard and the employer's policies for implementing the requirements of this standard.
(2) For each diving mode engaged in:
(A) Safety procedures for the diving operation;
(B) Responsibilities of the dive team members;
(C) Equipment procedures;
(D) Emergency procedures.
(3) Emergency Evacuation and Emergency Medical Treatment Procedures.
(A) A listing of operational recompression chambers and appropriate medical facilities.
(B) For each diving location a procedure shall be established to transport a diver to an operational recompression chamber in the event of a diving accident.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6055. Dive Planning.
Note

(a) Planning of a diving operation shall include considerations of the safety and health aspects of the following:
(1) Diving mode;
(2) Surface and underwater conditions and hazards;
(3) Breathing gas supply;
(4) Thermal protection;
(5) Diving equipment;
(6) Dive team assignments;
(7) Residual inert gas status of dive team members;
(8) Decompression schedules and altitude corrections;
(9) Emergency procedures.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6056. Basic Operation Procedures.
Note     •     History

(a) SCUBA Diving (Compressed Air and Mixed Gas).
(1) Limits:
(A) Compressed air SCUBA diving shall not be conducted at depths greater than 130 fsw (40 msw).

Exception: SCUBA diving to a maximum depth of 190 fsw (58 msw) is permitted for scientific and technical diving operations, providing the diver(s) has been certified for the depth reached.
(B) SCUBA diving shall not be conducted at depths greater than 100 fsw (30 msw) unless a recompression chamber is ready for use or procedures have been established at the dive location for emergency evacuation of the diver(s) to a recompression chamber.
SCUBA diving shall not be conducted at depths greater than 100 fsw (30 msw) and outside no-decompression limits unless a decompression chamber is available within four (4) hours of the dive location.
(C) SCUBA diving shall not be conducted against currents exceeding 3 knots unless line-tended.
(2) Procedures.
(A) A standby diver shall be available while a diver is in the water; or
(B) A diver shall be line-tended from the surface; or,
(C) A SCUBA diver shall be accompanied in the water by another SCUBA diver and they shall remain in effective communication with each other throughout the diving operation.
(D) A diver shall be stationed at the underwater point of entry when diving is conducted in enclosed or physically confining spaces; or an orientation line shall be used in enclosed spaces where there is a probability of entrapment or disorientation.
(E) If loss of effective communication occurs, within a buddy team, all divers shall surface and re-establish contact.
(F) Each diver or buddy team shall have an adequate depth gauge and underwater time keeping device.
(G) Each diver shall have a submersible pressure gauge for monitoring SCUBA tank pressure, capable of being monitored by the diver during the dive.
(H) The dive shall be terminated while there is still sufficient tank pressure to permit the diver to safely reach the surface (including decompression time if a decompression chamber is not provided at the dive site).
(I) Each diver shall have the capability of achieving and maintaining positive buoyancy.
(3) If mixed gas is used as the breathing media, appropriate diving tables shall be used.
(4) Closed and semi-closed circuit SCUBA (rebreathers) shall meet the following requirements:
(A) Oxygen partial pressure (PO2) in the breathing gas shall not exceed 1.5 Atmospheres at depths greater than 25 fsw (7.6 msw).
(B) Chemicals used for the absorption of carbon dioxide shall be kept in a cool, dry location in a sealed container until required for use.
(C) The designated-person-in-charge shall determine that the carbon dioxide absorption canister is used in accordance with the manufacturer's specification.
(D) Each diver shall be notified of the absorption time of the canister before entering the water.
(E) Closed and semi-closed diving equipment will not be used at a depth greater than that recommended by the manufacturer of the equipment.
(5) HOOKAH.
(A) HOOKAH divers shall comply with all SCUBA diving procedures in this section except for the depth limitations contained in Section 6056(a)(1). HOOKAH diving shall not be conducted at depths greater than 190 fsw (58 msw).
(B) Divers using the HOOKAH mode shall be equipped with an independent reserve breathing gas supply and regulator.
(C) Each HOOKAH diver shall be hose tended by a separate dive team member while in the water.
(D) The HOOKAH breathing gas supply shall be sufficient to support all HOOKAH divers in the water for the duration of the planned dive, including decompression.
(b) Surface-Supplied-Air-Diving.
(1) Limits.
(A) Surface-supplied air dives with bottom times greater than 30 minutes shall be conducted at depths not to exceed 190 fsw (58 msw). Dives with bottom times of less than 30 minutes may be conducted to depths of 220 fsw (67 msw).
(B) Except when heavy gear is worn or diving is conducted in physically confining spaces a bell shall be used for dives with inwater decompression times greater than 120 minutes.
(C) For heavy-gear diving deeper than 100 fsw or outside the no-decompression limits:
1. An extra breathing gas hose capable of supplying breathing gas to the diver in the water shall be available to the standby diver.
Note: The pneumofathometer hose if equivalent to the breathing gas hose in strength and flow capacity and properly plumbed to breathing gas source, will be considered satisfactory for this purpose.
2. An inwater stage shall be provided to divers in the water.
(D) Except when heavy gear is worn or where physical space does not permit, a diver-carried reserve breathing gas supply shall be provided whenever the diver is prevented by the configuration of the dive area from ascending directly to the surface.
(2) Procedures.
(A) A separate dive team member shall continuously tend each diver in the water;
(B) Continuous two-way voice communications between the diver and the surface shall be maintained for each surface supplied diver in the water.
(C) A standby diver equipped with surface-supplied gear or a pair of SCUBA divers shall hose tend at the underwater point of entry when diving is conducted in enclosed or physically confining spaces.
(D) Each diving operation shall have a primary breathing gas supply sufficient to support all divers in the water for the duration of the planned dive, including decompression.
(E) For dives deeper than 100 fsw (30 msw) or outside the no-decompression limits:
1. A standby diver shall be available while a surface supplied diver is in the water;
2. A diver-carried reserve breathing gas supply shall be provided for each diver.
3. A dive-location reserve breathing gas supply shall be provided. 
(F) Gauges and Timekeeping Devices.
1. Gauges indicating diver depth which can be read at the dive location or dive site shall be used for all dives.
2. A timekeeping device shall be available at each dive location.
(c) Liveboating.
(1) General. Employers engaged in diving operations involving liveboating shall comply with the following requirements.
(2) Limits. Diving operations involving liveboating shall not be conducted:
(A) With an inwater decompression time of greater than 120 minutes;
(B) Using surface-supplied air at depths deeper than 190 fsw, except that dives with bottom times of 30 minutes or less may be conducted to depths of 220 fsw;
(C) Using mixed gas at depths greater than 220 fsw;
(D) In rough seas which significantly impede diver mobility or work function; or
(E) In other than daylight hours.
(3) Procedures.
(A) The propeller of the vessel shall be stopped while the diver enters or exits the water.
(B) A device shall be used which minimizes the possibility of entanglement of the diver's hose in the propeller of the vessel.
(C) Two-way voice communication between the tender(s) and the person controlling the vessel shall be available while the diver is in the water.
(D) A standby diver other than the operator of the vessel shall be available while a diver is in the water.
(E) A diver-carried reserve breathing gas supply shall be carried by each diver engaged in liveboating operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)(5)(A), (b)(1)(A) and (b)(2)(E) filed 5-30-80; effective thirtieth day thereafter (Register 80, No. 22). 
§6057. Equipment Procedures and Requirements.
Note     •     History

(a) Recordkeeping. Each equipment modification, repair, test, calibration or maintenance service be logged including the date and nature of work performed, serial number of the item and the name of the person performing the work for the following equipment:
Compressors
Regulators
SCUBA tanks
Diving helmets
Submersible breathing masks
Submersible pressure gauges
Depth gauges
Tank valves
Gas control panels
Analytical instruments
(b) SCUBA.
(1) Regulators. Regulators shall be submitted to functional test every six months at which time, at a breathing rate of 15 breaths per minute the regulator must have an exhalation pressure not to exceed 3 inches of water nor a negative inhalation pressure not to exceed minus 3 inches of water.
(2) SCUBA tanks.
(A) SCUBA tanks shall be designed, constructed and maintained in accordance with the applicable provisions of Section 454, Unfired Pressure Vessel Safety Orders, Title 8, California Administrative Code;
(B) SCUBA tanks must be hydrostatically tested in accordance with DOT standards.
(C) SCUBA tanks must have an internal visual inspection at intervals not to exceed 12 months.
(D) SCUBA tank valves shall be functionally tested at intervals not to exceed 12 months.
(3) Submersible Pressure Gauges. Submersible pressure gauges shall be tested against a master gauge at intervals not to exceed six months.
(4) Buoyancy Compensators.
(A) A dry suit or other variable volume bouyancy compensation device shall be equipped with an exhaust valve.
(B) Buoyancy compensation devices shall be functionally inspected at intervals not to exceed six months.
(5) Submersible Depth Gauge. Each depth gauge shall be tested or calibrated every six months and when there is reasonable cause to believe a discrepancy exists.
(6) Weight Belts and Harnesses. Weight belts and harnesses used by SCUBA divers shall be capable of quick release.
(7) Underwater Breathing Masks and Helmets. Underwater breathing masks and helmets used at SCUBA must meet the requirements for the same equipment used in the surface supplied mode.
(c) Surface Supplied Diving.
(1) Underwater Breathing Masks and Helmets.
(A) Breathing masks and helmets shall have:
1. A non-return valve at the attachment point between helmet or mask hose which shall close readily and positively; and
2. An exhaust valve.
(B) Breathing masks and helmets shall have a minimum ventilation rate capability of 4.5 acfm at any depth at which they are operated or the capability of maintaining the diver's inspired carbon dioxide partial pressure below 0.02 ATA when the diver is producing carbon dioxide at the rate of 1.6 standard liters per minute.
(2) Hoses and Umbilicals.
(A) Hoses used in surface supplied diving shall:
1. Have a working pressure equal to that portion of the breathing gas system in which it will be utilized;
2. Have a rated bursting pressure at least equal to 4 times the working pressure;
3. Be tested at least annually to 1.5 times their working pressure; and
4. Have their open ends taped, capped or plugged when not in use.
(B) Breathing gas supply hose connectors shall:
1. Be made of corrosion-resistant materials including cadmium or zinc plated material.
2. Have a working pressure at least equal to the working pressure of the hose to which they are attached; and
3. Be resistant to accidental disengagement from either the hose or the mating connector.
(C) Umbilicals shall:
1. Be marked in 10-ft. increments to 100 feet beginning at the diver and the 50-ft. increments thereafter;
2. Be made of kink-resistant materials; and
3. Have a working pressure greater than the pressure equivalent to the maximum depth of the dive (relative to the supply source) plus 100 psi.
(3) Pneumofathometer Gauges. Each depth gauge shall be deadweight tested or calibrated against a master reference gauge every six months, or when there is a discrepancy greater than two percent (2%) of full scale between any two equivalent gauges.
(4) Buoyancy Control.
(A) Variable volume suits must have an exhaust valve or if connected directly to a helmet must have an air passageway between the suit and helmet.
(B) Bouyancy compensators must be equipped with an exhaust valve.
(5) Weights and Harnesses
(A) When using surface supplied gear, each diver shall wear a safety harness with:
1. A positive buckling device;
2. An attachment point for the umbilical to distribute the pull force of the line and to prevent strain on the mask or helmet.
(6) Compressed Gas Cylinders (except SCUBA tanks)
(A) Compressed gas cylinders shall be designed, constructed and maintained in accordance with applicable provisions of Section 454 Unfired Pressure Vessel Safety Orders, Title 8, California Administrative Code.
(B) Be stored in a ventilated area and protected from excessive heat;
(C) Be secured from falling; and
(D) Have shut-off valves recessed into the cylinder or protected by a cap, except when in use or manifolded.
(d) Air Compressor Systems.
(1) Low Pressure Compressors used to supply air to the diver shall be equipped with a volume tank with a check valve on the inlet side, a pressure gauge, a relief valve, and a drain valve.
(2) All air compressor intakes shall be located away from areas containing exhaust or other contaminants.
(3) Compressed air used by divers shall not contain:
(A) A level of carbon monoxide (CO) greater than 20 ppm;
(B) A level of carbon dioxide (CO2) greater than 1,000 ppm;
(C) A level of oil mist greater than 5 milligrams cubic meter; or
(D) A noxious or pronounced odor.
(4) The compressor for supplying air shall be equipped, maintained and its air quality tested as required by Section 5144(i).
(5) Compressed air systems over 500 psig shall have slow-opening shut-off valves.
(e) Oxygen Safety.
(1) Equipment used with oxygen or mixtures containing over forty percent (40%) by volume oxygen shall be designed and maintained for oxygen service.
(2) Components (except umbilicals) exposed to oxygen or mixtures containing over forty percent (40%) by volume oxygen shall be cleaned of flammable materials before being placed into service.
(3) Oxygen systems over 125 psig shall have slow-opening shut-off valves.
(f) Underwater Tools.
(1) Hand-held Power Tools.
(A) Hand-held electrical tools and equipment used underwater shall be specifically approved for this purpose (Electrical Safety Order 2305.4).
(B) Hand-held electrical tools and equipment supplied with power from the surface shall be de-energized before being placed into or retrieved from the water.
(C) Hand-held power tools shall not be supplied with power from the dive location until requested by the diver.
(2) Welding and Burning.
(A) A current supply switch to interrupt the current flow to the welding or burning electrode shall be:
1. Tended by a dive team member in voice communication with the diver performing the welding and burning; and
2. Kept in the open position except when the diver is welding or burning.
(B) The welding machine frame shall be grounded.
(C) Welding and burning cables, electrodes holders, and connections shall be capable of carrying the maximum current required by the work, and shall be properly insulated.
(D) Dielectrically insulated gloves shall be provided to divers performing welding and burning operations.
(E) Prior to welding or burning on closed compartments, structures or pipes, which contain a flammable vapor or in which a flammable vapor may be generated by the work, they shall be vented, flooded, or purged with a mixture of gases which will not support combustion.
(3) Explosives.
(A) Employers shall transport, store, and use explosives in accordance with this section and the applicable provisions of Group 13 of the General Industry Safety Orders.
(B) Electrical continuity of explosive circuits shall not be tested until the diver is out of the water.
(C) Explosive shall not be detonated while the diver is in the water.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (d) and (f) filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).
2. Change without regulatory effect amending subsection (d)(4) filed 12-30-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 53).
§6058. Recordkeeping Requirements.
Note     •     History

(a) Recording and Reporting.
(1) The employer shall record and report occupational injuries and illnesses in accordance with requirements of Labor Code Sections 6409 and 6410.
(2) The employer shall record the occurrence of any diving-related injury or illness which requires any dive team member to be hospitalized for 24 hours or more, specifying the circumstances of the incident and the extent of any injuries or illnesses.
(b) Availability of Records:
(1) Upon the request of the Division, the employer shall make available for inspection and copying any record or document required by Article 152.
(2) Records and documents required by Article 152 shall be provided upon request to employees, designated representatives, and authorized representatives of the Division in accordance with Section 3204. Manual for Diving Safety (cf, Sections 6052(b) and 6054), recordings of dives [cf, Section 6052(g)(1) & (2)], decompression procedure assessment evaluations [cf, Section 6052(g)(3)], and records of hospitalizations [cf, Section 6058(a)(2)], shall be provided in the same manner that Section 3204 prescribes for employee exposure records and analyses using exposure or medical records. The same requirements of Section 3204 shall determine the availability of equipment inspection and testing records which pertain to employees (cf, Section 6059).
(3) Records and documents required by this standard shall be retained by the employer for the following period:
(A) Physician's written reports of medical examinations for dive team members 5 years;
(B) Manual for diving safety, current document only;
(C) Record of dive1 year, except 5 years where there has been an incident of pressure related injury.
(D) Pressure related injury assessment 5 years;
(E) Equipment inspection and testing records current entry or tag, or until equipment is withdrawn from service;
(F) Records of hospitalization 5 years.
(4) Whenever an employer ceases to do business, all applicable records maintained under the requirements of this section shall be transferred to the successor employer or their continued maintenance.
(5) If an employer ceases to do business and there is no successor employer (or whenever the retention period of any record required to be kept for 5 years expires), the record shall be forwarded by registered mail to the Director, National Institute for Occupational Safety and Health, Department of Health and Human Services, 5600 Fisher Lane, Rockville, MD 20852.
The employer shall also comply with any additional requirements involving the transfer of records set forth in Section 3204.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
2. Amendment of subsection (b) filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
Article 153. Commercial Diving Operations
§6059. General.
Note     •     History

(a) Scope.
(1) This article contains additional requirements which shall be followed in commercial diving and related support operations. These orders shall take precedence wherever they address identical situations covered by the General Diving Safety Orders Section 6050 through 6058.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Article 153 (Sections 6059-6063, Appendix A) filed 1-30-80; designated effective 6-30-80 (Register 80, No. 5).
2. Reprinting of Article 153 to reflect operative date (Register 80, No. 22). 
§6060. Procedures During Dive.
Note     •     History

(a) General. The employer shall comply with the following requirements which are applicable to each diving operation unless otherwise specified.
(b) Water Entry Exit.
(1) A means capable of supporting the diver shall be provided for entering and exiting the water.
(2) The means provided for exiting the water shall extend below the water surface.
(3) A means shall be provided to assist an injured diver from the water or into a bell.

Exception: This subsection shall not apply to SCUBA diving operations.
(4) Working with a diver. The employer shall meet the following additional requirements when working with a diver in the water:
(A) If a crane/derrick is used to get a diver into and out of the water, it shall not be used for any other purpose until the diver is back on board. When used for more than one diver, it shall not be used for any other purpose until all divers are back on board.
(B) The operator shall remain at the controls of the crane/derrick at all times.
(C) In addition to the requirements in Construction Safety Orders, Sections 1617.1-1617.3 (Signals), either:
1. A clear line of sight shall be maintained between the operator and tender; or
2. The signals between the operator and tender shall be transmitted electronically. 
3. The means used to secure the crane/derrick to the vessel/flotation device [see Construction Safety Orders, Section 1619.3(n)(5)] shall not allow any amount of shifting in any direction. 
(c) Communications.
(1) An operational two-way voice communication system shall be used on all dives between:
(A) Each surface-supplied air or mixed-gas diver and a dive team member at the dive location or bell (when provided or required); and 
(B) The bell and dive location.
(2) An operational two-way communication system shall be available at the dive location to obtain emergency assistance.

Exception: This subsection, (c) communications, shall not apply to SCUBA and HOOKAH diving operation conducted within no-decompression limits.
(d) Dive Profiles. A depth-timer, profile, including when appropriate any breathing gas changes, shall be maintained for each diver during the dive including decompression.

Exception: This subsection shall not apply to SCUBA and HOOKAH diving operations conducted within no-decompression limits.
(e) Termination of Dive. The working interval of a dive shall be terminated when:
(1) A diver requests termination;
(2) A diver fails to respond correctly to communications or signals from the dive team member or the “buddy diver”;
(3) Communications are lost and cannot be quickly re-established between the diver and a dive team member at the dive location, and between the designated person-in-charge and the person controlling the vessel in liveboating operations; or
(4) A diver begins to use diver-carried reserve breathing gas or the dive-location reserve breathing gas.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New subsections (b)(4)-(b)(4)(C)3. filed 7-7-2011; operative 7-7-2011. Exempt from OAL review pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 27).
§6061. Specific Operations Procedures.
Note

(a) Mixed-Gas Diving.
(1) General. Employers engaged in mixed-gas diving shall comply with the following requirements, unless otherwise specified.
(2) Limits. Mixed-gas diving shall be conducted only when:
(A) A decompression chamber is ready for use at the dive location; and
1. A bell is used at depths greater than 220 fsw or when the dive involves inwater decompression time of greater than 120 minutes, except when heavy gear is worn or when diving in physically confining spaces; or
2. A closed bell is used at depths greater than 300 fsw, except when diving is conducted in physically confining spaces, or heavy-gear diving up to 350 fsw.
(3) Procedures.
(A) A separate dive team member shall tend each diver in the water.
(B) A standby diver shall be available while a diver is in the water.
(C) A diver shall be stationed at the underwater point of entry when diving is conducted in enclosed or physically confining spaces.
(D) Each diving operation shall have a primary breathing gas supply sufficient to support diving for the duration of the planned dive including decompression.
(E) Each diving operation shall have a dive-location reserve breathing gas supply.
(F) When heavy gear is worn:
1. An extra breathing gas hose capable of supplying breathing gas to the diver in the water shall be available to the standby diver; and
Note: The pneumofathometer hose, if equivalent to the breathing gas hose in strength and flow capacity and properly plumbed to breathing gas source, will be considered satisfactory for this purpose.
2. An underwater stage shall be provided to divers in the water.
(G) An inwater stage shall be provided for divers without access to a bell for dives deeper than 100 fsw or outside the no-decompression limits.
(H) When a closed bell is used, one dive team member in the bell shall be available and tend the diver in the water.
(I) Except when heavy gear is worn or where physical space does not permit, a diver-carried reserve breathing gas supply shall be provided for each diver:
1. Diving deeper than 100 fsw or outside the no-decompression limits; or
2. Prevented by the configuration of the dive area from directly ascending to the surface.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6062. Post Dive Procedures.
Note     •     History

(a) General. The employer shall comply with the following requirements which are applicable after each diving operation, unless otherwise specified:
(1) After the completion of a day's diving the designated-person-in-charge shall observe the physical condition of each diver and shall conduct an interview regarding any physical problems or symptoms of decompression sickness.
(2) Advise the diver of the location of a decompression chamber which is ready for use; and
(3) Alert the diver to the potential hazards of flying after diving.
(b) Recompression Capability.
(1) A decompression chamber capable of recompressing the diver at the surface to a minimum of 165 fsw (6 ATA) shall be available at the dive location for:
(A) Surface-supplied air-diving to depths deeper than 100 fsw and shallower than 220 fsw;
(B) Mixed-gas diving shallower than 300 fsw; or
(C) Diving outside the no-decompression limits shallower than 300 fsw.
(2) A chamber capable of recompressing the diver at the surface to the maximum depth of the dive shall be available at the dive location for dives deeper than 300 fsw.
(3) The decompression chamber shall be:
(A) Dual-lock;
Note: Dual-lock is meant to include multi-lock components if each is large enough to transfer personnel and supplies into and out of the main compartment while it is pressurized. Medical locks do not meet the intent of this requirement. A diving bell or manned deep diving system capable of mating with a decompression chamber would meet this requirement.
(B) Multiplace; and
(C) Located within 5 minutes of the dive location.
(4) The decompression chamber shall be equipped with:
(A) A pressure gauge for each pressurized compartment designed for human occupancy;
(B) A built-in-breathing-system with a minimum of one mask per occupant;
(C) A two-way voice communication system between occupants and a dive team member at the dive location;
(D) A viewport; and
(E) Illumination capability to light the interior.
(5) Treatment Table. Treatment gas appropriate to the diving mode, and sufficient gas to conduct treatment shall be available at the dive location.
(6) A dive team member shall be available at the dive location during and for at least one hour after the dive to operate the decompression chamber (when required or provided).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
§6063. Equipment Requirements.
Note     •     History

(a) Decompression Chambers.
(1) Each decompression chamber manufactured after the effective date of this standard, shall be built and maintained in accordance with the ASME Code or equivalent.
(2) Each decompression chamber manufactured prior to the effective date of this standard shall be maintained in conformity with the code requirements to which it was built, or equivalent.
(3) Each decompression chamber shall be equipped with:
(A) Means to maintain the atmosphere below a level of 25 percent oxygen by volume;
(B) Mufflers on intake and exhaust lines, which shall be regularly inspected and maintained;
(C) Suction guards on exhaust line openings; and
(D) A means for extinguishing fire, and shall be maintained to minimize sources of ignition and combustible material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50).

APPENDICES

Appendix A

Examples of Conditions Which May Restrict or Limit
Exposure to Hyperbaric Conditions
The following disorders may restrict or limit occupational exposure to hyperbaric conditions depending on severity, presence of residual effects, response to therapy, number of occurrences, diving mode, or degree and duration of isolation.
History of seizure disorder other than early febrile convulsions.
Malignancies (active) unless treated and without recurrence for 5 years.
Chronic inability to equalize sinus and/or middle ear pressure.
Cystic or cavitary disease of the lungs.
Impaired organ function caused by alcohol or drug use.
Conditions requiring continuous medication for control (e.g., antihistamines, steroids, barbiturates, moodaltering drugs, or insulin).
Meniere's disease
Hemoglobinopathies.
Obstructive or restrictive lung disease.
Vestibular end organ destruction.
Pneumothorax. Cardiac abnormalities (e.g., pathological heart block, valvular disease intraventricular conduction defects other than isolated right bundle branch block, angina pectoris, arrhythmia, coronary artery disease).
Juxta-articular osteonecrosis.

Appendix B

Diving for Scientific Purposes
This Appendix contains guidelines that will be used in conjunction with Section 6050(a)(1)(E) to determine those scientific diving programs which are exempt from the requirements for commercial diving. The guidelines are as follows:
1. The Diving Control Board consists of a majority of active scientific divers and has autonomous and absolute authority over the scientific diving program's operations.
2. The purpose of the project using scientific diving is the advancement of science; therefore, information and data resulting from the project are non-proprietary.
3. The tasks of a scientific diver are those of an observer and data gatherer. Construction and trouble-shooting tasks traditionally associated with commercial diving are not included within scientific diving.
4. Scientific diver, based on the nature of their activities, must use scientific expertise in studying the underwater environment and, therefore, are scientists or scientists in training.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix B filed 12-8-86; effective thirtieth day thereafter (Register 86, No. 50). 
Article 154. Pressurized Worksite Operations
§6070. Application.
Note     •     History

The Orders in this Article shall apply whenever persons are employed in a compressed air environment, exclusive of diving work. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New article 154 (sections 6070-6120 and Appendices A-B) and section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6074. Definitions.
Note     •     History

The following definitions shall apply in the application of these Orders. 
Air Lock (Personnel): A chamber through which employees pass from one air pressure environment into another. 
Bulkhead: An airtight structure separating the working chamber from free air or from another chamber under a different pressure than the working pressure. 
Caisson: A wood, steel, concrete or reinforced air and water-tight chamber in which it is possible for employees to work under air pressure greater than atmospheric pressure. 
Compressed Air Environment (Hyperbaric Condition): A work site where the ambient pressure is greater than the atmospheric pressure at the entrance to the work site. 
Decanting (surface decompression): A method used for decompressing under certain circumstances. In this procedure the workers are brought to atmospheric pressure with a very high gas tension in the tissues and then immediately re-compressed in a second and separate chamber or lock. 
Division: The current Division of Occupational Safety and Health, any predecessors, or any subsequent successor agency. 
Emergency Locks: A lock designed to hold and permit the quick passage of an entire shift of employees. 
High Air: Air pressure used to supply power to pneumatic tools and devices. 
Low Air: Air supplied to pressurize working chambers and locks. 
Materials Lock: An air lock through which materials and equipment pass from one air pressure environment into another. 
Hyperbaric Chamber: A chamber in which employees are treated for decompression sickness and/or air embolism. It may also be used in pre-employment physical examinations to determine the adaptability of the prospective employee to changes in pressure. 
Pressure: A force acting on a unit area. Usually shown as pounds per square inch (psi). 
Absolute Pressure (psi): The sum of the atmospheric pressure and gauge pressure (psig). 
Ambient Pressure: Encompassing pressure surrounding all sides. 
Atmospheric Pressure: The pressure of air at sea level, usually 14.7 psi (one atmosphere), or 0 Psig. 
Gauge Pressure (psig): That pressure measured by a gauge and indicating the pressure exceeding atmospheric. 
Safety Screen: An air- and water-tight diaphragm placed across the upper part of a compressed air tunnel between the face and bulkhead, in order to prevent flooding the crown of the tunnel between the safety screen and the bulkhead, thus providing a safe means of refuge and exit from a flooding or flooded tunnel. 
Special Decompression Chamber: A chamber to provide greater comfort for employees when the total decompression time exceeds 75 minutes. 
Supervising Physician: A physician licensed in the State of California who is familiar with and experienced in the physical requirements for the medical aspects of work in compressed air environments. 
Working Chamber: The space or compartment under air pressure in which the work is being done. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Repealer of definition of “Normal Condition” and new definition of “Supervising Physician” filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6075. General Provisions.
Note     •     History

(a) No work, where persons are employed in compressed air, shall be started until 7 days after the firm, corporation, commission, or person undertaking such work has notified, in writing, the Division of such contemplated work. 
(b) The employer shall ensure that a competent person, who is familiar with these and other applicable safety orders, is present at the work site at all times when employees are required to work in a compressed air environment. 
(c) Employees who are exposed to or control the exposure of others to hyperbaric conditions shall be trained in hyperbaric related physics and physiology, recognition of pressure related injuries, and how to avoid discomfort during compression. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. New subsection (c) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6080. Compression.
Note     •     History

(a) During the compression of employees, the pressure shall not be increased to more than 3 psig within the first minute. The pressure shall be held at 3 psig and again at 7 psig sufficiently long to determine if any individuals are experiencing discomfort. After the first minute the pressure is to be raised uniformly and at a rate not to exceed 10 psi per minute. If any employees complain of discomfort, the pressure will be held to determine if the symptoms are relieved. If after 5 minutes the discomfort does not disappear, the lock attendant shall gradually reduce the pressure, until the employee signals that the discomfort has ceased. If the employee does not indicate that the discomfort has disappeared, the lock attendant shall reduce the pressure to atmospheric and the employee shall be released from the lock. 
(b) No employee shall be subjected to pressure exceeding 50 pounds per square inch. 

Exception: The requirements of subsections (a) and (b) do not apply in an emergency. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment of section heading and subsection (b) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6085. Decompression of Employees.
Note     •     History

(a) Decompression tables. Decompression shall be in accordance with the following specified decompression tables contained in Volume 2, Chapter 9 of the U.S. Navy Diving Manual, Revision 6, April 15, 2008, which is hereby incorporated by reference.
(1) No-Decompression Limits and Repetitive Group Designation Table for No-Decompression Air Dives -- Table 9-7. This table shall be used to determine the no-decompression limits and the repetitive group designators for work in a compressed air environment that does not require decompression. 
(2) Air Decompression Table -- Table 9-9. This table shall be used to determine the decompression schedules and repetitive group designators for work in a compressed air environment that requires decompression. 
(3) Residual Nitrogen Timetable for Repetitive Air Dives -- Table 9-8. This table shall be used to determine the Residual Nitrogen Time when an employee who has some residual nitrogen in his/her system begins work in a compressed air environment. 
(4) Sea Level Equivalent Depth -- Table 9-4. This table shall be used to correct the sea level decompression tables for use at altitudes of 1,000 feet above sea level and higher. 
(5) Repetitive Groups Associated with Initial Ascent to Altitude -- Table 9-5. This table shall be used to adjust decompression schedules when an employee who is not fully equilibrated at altitude begins work in a compressed air environment. 
(6) Required Surface Interval Before Ascent to Altitude After Diving -- Table 9-6. This table shall be used to determine when it is safe for an employee to fly or ascend to higher altitude after performing work in a compressed air environment. 
(b) Use of decompression tables. The following provisions apply to the use of the U. S. Navy decompression tables referenced in subsection (a): 
(1) General. The decompression tables shall be used in accordance with the applicable rules, instructions, and examples provided in Chapter 9 of the referenced U.S. Navy Diving Manual. The terms, definitions and units of measure used in the referenced Diving Manual that normally refer to diving work, such as standard feet of water, diver, descent time, bottom time, dive, depth, and surface, shall apply to work in compressed air environments in a manner that is consistent with applicable scientific principles. When converting “Feet of Sea Water” (FSW) to pounds per square inch (gauge) (psi(g)), a conversion factor of 0.4454 psi(g) per 1.0 FSW shall be used. 
(2) Air Decompression Table -- Table 9-9. 
(A) The table shall not be used for pressures exceeding 50 psi(g). 
(B) The table shall not be used for pressures greater than 190 FSW. 
(C) A gas mix of air and oxygen (AIR/O2) shall be used for decompression when the table indicates a gas mix of air (AIR) is permitted but AIR/O2 is recommended. 
(D) Surface decompression (decanting) is prohibited. 
(E) The table shall not be used for a bottom time and pressure that is designated an Exceptional Exposure in the table. 
(F) The compression rate shall be in accordance with Section 6080(a). 

Exception: The provisions of subsections (a) and (b)(2) do not apply in an emergency provided that employees are decompressed in accordance with decompression tables and procedures recommended by the supervising physician. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment of section heading and section filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6087. Decompression After Repetitive Exposures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Repealer filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6089. Decompression by Decanting. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Repealer filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6090. Air Locks.
Note     •     History

(a) Except in emergency, no employees employed in compressed air shall be permitted to pass from the working chamber to atmospheric pressure until after decompression, in accordance with Section 6085. 
(b) The time of decompression shall be posted in each air lock. 
(c) The lock attendant shall be under the direct supervision of the physician required by Section 6120 and stationed at the lock controls on the free air side during the period of compression and decompression. The lock attendant shall remain at the lock control station whenever there are employees in the working chamber or in the air lock. 
(d) Except where air pressure in the working chamber is below 12 psig, each air lock shall be equipped with suitable automatic controls which automatically regulate decompressions. It shall also be equipped with manual controls to permit the lock attendant to override the automatic system in the event of an emergency. 
(e) A manual control, which can be used in the event of an emergency, shall be placed inside the air lock. 
(f) For each 8-hour shift, a record of employees employed under compressed air shall be kept by the lock attendant. This record shall show period of stay in the working chamber of each employee and the time taken for decompression. 
(g) A clock, thermometer, and continuous recording pressure gauge with a 4-hour graph shall be installed outside of each air lock and shall be changed prior to each shift's decompression. The chart shall be of sufficient size to register a legible record of variations in pressure within the air lock and shall be visible to the lock attendant. A copy of each graph shall be submitted to the physician after each shift. In addition, a pressure gauge, clock, and thermometer shall also be installed in each air lock. Additional fittings shall be provided so that test gauges may be attached whenever necessary. 
(h) Except where air pressure is below 12 psig and there is no danger of rapid flooding, all caissons having a working greater than 150 square feet and each bulkhead in tunnels of 14 feet or more in diameter, or equivalent area, shall have at least 2 locks in perfect working condition, 1 of which shall be used exclusively as an air lock. Where only a combination air and materials lock is required, this single lock shall be of sufficient capacity to hold the employees constituting two successive shifts. If emergency locks are provided, they shall be large enough to hold an entire heading shift and a limit maintained of 12 psig. There shall be a chamber available for oxygen decompression therapy to 28 psig. 
(i) The air lock shall be large enough so that those using it are not compelled to be in a cramped position, and shall not have less than 5 feet clear head room at the center and a minimum of 30 cubic feet of air space per occupant. 
(j) Locks on caissons shall be so located that the bottom door shall be not less than 3 feet above the water level surrounding the caisson on the outside. (Note: The water level, where it is affected by tides, is construed to mean high tide.) 
(k) In addition to the pressure gauge in the locks, an accurate pressure gauge shall be maintained on the outer and inner side of each bulkhead. These gauges shall be accessible at all times and shall be kept in accurate working order. 
(l) Air locks shall be illuminated and shall have an observation port at least 4 inches in diameter located in such a position that all occupants of the air lock may be observed from the working chamber and from the free air side of the lock. 
(m) Air locks shall be maintained at a minimum temperature of 70 degrees Fahrenheit, dry bulb. 
(n) When locks are not in use and employees are in the working chamber, lock doors shall be kept open to the working chamber, where practicable. 
(o) All locks shall be constructed in accordance with the Unfired Pressure Vessel Safety Orders of the Division. 
(p) Adequate ventilation shall be provided in accordance with Section 5143. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment of subsection (a) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6095. Special Decompression Chamber.
Note     •     History

(a) General. A special decompression chamber of sufficient size to accommodate the entire force of employees being decompressed at the end of a shift shall be provided whenever the regularly established working period requires a total time of decompression exceeding 75 minutes. 
(b) Size, Capacity, and Construction. The headroom in the special decompression chamber shall be not less than 7 feet and the cubical content shall provide at least 50 cubic feet of air space for each person. For each occupant there shall be provided 4 square feet of free walking area and 3 square feet of seating space exclusive of area required for lavatory and toilet facilities. The rated capacity shall be based on the stated minimum space per person and shall be posted at the chamber entrance. The posted capacity shall not be exceeded, except in case of emergency. The chamber shall be constructed in accordance with the Unfired Pressure Vessel Safety Orders. 
(c) Equipment. Each special decompression chamber shall be equipped with the following: 
(1) A clock or clocks suitably placed so that the attendant and the chamber occupants can readily ascertain the time; 
(2) Pressure gauges which will indicate to the attendants and to the chamber occupants the pressure in the chamber; 
(3) Valves to enable the attendant to control the supply and discharge of compressed air into and from the chamber; 
(4) Valves and pipes in connection with the air supply and exhaust arranged so that the chamber pressure can be controlled from within and without; 
(5) Effective means of oral communication between the attendant, occupants of the chamber, and the air compressor plant; 
(6) An observation port at the entrance to permit observation of the chamber occupants 
(7) Suitable mufflers at large air pressure drops. 
(d) Seating Facilities. Seating facilities in special decompression chambers shall so arranged as to permit a normal sitting posture. Seating space not less than 18 inches by 24 inches wide shall be provided per occupant. 
(e) Automatic Controls. Special decompression chambers shall be equipped with automatic controls complying with Section 6090(d) and (e). 
(f) Sanitation. Adequate toilet and washing facilities in a screened or enclosed recess shall be provided. Toilet bowls shall have a built-in protector on the rim so that an air space is created when the seat lid is closed. Potable drinking water shall be provided. This may be accomplished by either piping water into the special decompression chamber and providing drinking fountains, or by providing individual canteens or by some other sanitary means. Common drinking vessels shall be prohibited. The chamber shall be kept clean. 
(g) Location. Unless the special decompression chamber is serving as the air lock to atmospheric pressure, the special decompression chamber shall be situated where practicable, adjacent to the air lock on the atmospheric pressure side of the bulkhead. A passageway shall be provided connecting the special chamber with the air lock to permit employees in the process of decompression to move from the air lock to the special chamber without a reduction in the ambient pressure from that designated for the next stage of decompression. The passageway shall be so arranged as to not interfere with the normal operation of the air lock nor with the release of the occupants of the special chamber to atmospheric pressure upon the completion of the decompression procedure. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§6100. Temperature, Illumination, Sanitation and Ventilation.
Note     •     History

(a) Temperature of all working chambers which are subjected to compressed air shall, by means of after-coolers or other suitable devices, be maintained at a temperature not to exceed 85 degrees Fahrenheit. 
(b) Illumination in compressed air chambers shall be by electricity exclusively and two independent electric-lighting systems with independent sources of supply shall be used. The emergency source shall be arranged to become automatically operative in the event of failure of the regularly used source. Electrical installations and equipment shall comply with applicable portions of the Electrical Safety Orders in Title 8 of the CCR. 
(c) The minimum intensity of illumination on any walkway, ladder, stairway, or working level shall not be less than 10-foot candles, and in all work places the illumination shall at all times be such as to enable employees to see clearly. 
(d) Sanitary, heated, illuminated, and ventilated dressing rooms and drying rooms shall be provided for all employees engaged in compressed air work. Such rooms shall contain suitable benches and lockers. Bathing accommodations (showers at the ratio of 1 to 10 employees per shift) equipped with running hot and cold water along with suitable and adequate toilet accommodations shall be provided. One toilet for each 15 employees, or fractional part thereof, shall be provided. While in a compressed air environment and the toilet bowl is shut by a cover, there shall be an air space so that the bowl or bucket does not implode when the pressure is increased. All parts of caissons and other working compartments shall be kept in a sanitary condition. 
(e) Ventilation in the locks and chambers, with the exception of the medical chamber, shall be such that the air quality meets the requirement of Section 5144(i). 
(f) Exhaust valves and exhaust pipes shall be provided and operated so that the working chamber shall be well ventilated, and there shall be no pockets of dead air. Outlets may be required at intermediate points along the main low pressure air supply line to the heading to eliminate such pockets of dead air. Ventilating air shall be not less than 30 cubic feet per minute per person. 
(g) The air in the workplace shall be analyzed by the employer not less than once each shift, and records of such tests shall be kept on file at the place where the work is in progress. The test results shall be within the permissible exposure limits (PEL's) specified in the Section 5155, for hazardous gases and within 10 percent of the lower explosive limit of flammable gases. 
(h) Forced ventilation shall be provided during decompression. During the entire decompression period, forced ventilation through chemical or mechanical air purifying devices that will ensure a source of fresh air shall be provided. 
(i) When an oxygen breathing gas system is used during decompression, the employer shall take one, or both, of the following steps to ensure that the concentration of oxygen inside the chamber or lock does not exceed twenty five percent (25%) by volume: 
(1) The oxygen breathing gas system shall capture the oxygen that is not consumed by the user and directly exhaust it to a well ventilated area outside of the lock or chamber;
(2) An oxygen meter shall be used to continuously monitor the oxygen concentration inside the chamber or lock. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment of subsection (e) and new subsections (i)-(i)(2) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6105. Compressor Plant, Air Supply and Telephone Communication.
Note     •     History

(a) There shall at all times be a qualified gauge tender on duty at the air control valves to regulate the pressure in the working areas. During tunneling operations, one gauge tender may regulate the pressure in not more than two headings provided that the gauges and controls are all in one location. In caisson work there shall be a gauge tender for each caisson. 
(b) The low air compressor plant shall be of sufficient capacity to not only permit the work to be done safely, but shall provide a margin to meet anticipated emergencies and repairs. 
(c) Low air compressor units shall have at least two independent and separate sources of power supply. Each independent and separate source of power supply shall be capable of operating the entire low air plant and its accessory systems. 
(d) The capacity, arrangement, and number of compressors shall be sufficient to maintain the necessary pressure without overloading the equipment and to assure maintenance of such pressure in the working chamber during periods of breakdown, repair, or emergency. 
(e) Switching from one independent source of power supply to the other shall be done periodically to ensure the workability of the apparatus in an emergency. 
(f) Duplicate low pressure air feed lines and regulating valves shall be provided between the source of air supply and a point beyond the locks with one of the lines extending to within 100 feet of the working face. 
(g) To prevent rapid decompression all air supply lines shall be equipped with check valves. 
(h) Low pressure air shall be regulated automatically. In addition, manually operated valves shall be provided for emergency conditions. 
(i) The air intakes for all air compressors shall be located at a place where fumes, exhaust gases, and other air contaminants will be at a minimum. 
(j) Gauges indicating the pressure in the working chamber shall be installed in the compressor building, the lock attendant's station, and at the Field Office of the employer's representative. 
(k) There shall be effective communication at all times between the following: 
(1) The working chamber face; 
(2) The working chamber side of the air lock near the door; 
(3) The interior of the air lock; 
(4) Lock attendants station; 
(5) The compressor plant; 
(6) The first-aid station; 
(7) The emergency lock (if one is required); 
(8) The special decompression chamber (if one is required). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§6110. Bulkheads and Screens.
Note     •     History

(a) Intermediate bulkheads with locks or intermediate safety screens or both shall be required where there is the danger of rapid flooding. 
(b) In tunnels 16 feet or more in diameter, hanging walkways shall be provided from the face to the air lock, as high in the tunnel as practicable, with at least 6 feet of head room. Walkways shall be constructed of noncombustible material. Standard railing shall be securely installed throughout the length of all walkways on open sides. Where walkways are ramped under safety screens, the walkway surface shall be skidproofed by cleats or equivalent means. 
(c) Bulkheads used to contain compressed air shall be tested, where practicable, to prove their ability to resist the highest air pressure which may be expected to be used. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
§6115. Fire Prevention.
Note     •     History

(a) Tunnels shall be provided with a 2-inch minimum diameter water line extending into the working chamber and to within 100 feet of the working face. Such line shall have hose outlets with 100 feet of fire hose properly attached and maintained as follows: one at the working face; one immediately inside the bulkhead of the working chamber; and one immediately outside such bulkhead. In addition, hose outlets shall be provided at 200-foot intervals throughout the length of the tunnel and 100 feet of fire hose shall be attached to the outlet nearest to any location where flammable material is being kept or stored or where any flame is being used. 
(b) Fire hose shall be at least 11/2 inches in nominal diameter. Water pressure shall at all times be adequate for efficient operation of the type of nozzle used and the water supply shall be such as to ensure an uninterrupted flow. Fire hose, when not in use, shall be located or guarded to prevent injury thereto. 
(c) In addition to fire hose protection required by this section, on every floor of every building not under compressed air, but used in connection with the compressed air work, there shall be provided at least one approved extinguisher of the proper type for the hazard involved. At least two approved fire extinguishers shall be provided in the working chamber as follows: one at the working face and one immediately inside the bulkhead (pressure side). Extinguishers in the working chamber shall use water as the primary extinguishing agent and shall not use any extinguishing agent which could be harmful to the employees in the working chamber. The fire extinguisher shall be protected from damage. 
(d) No persons shall be permitted to smoke or carry smoking materials in compressed air. 
(e) While welding or flame cutting is being done in compressed air, a watch person with a fire hose or approved extinguisher shall stand by until such operation is completed. 
(f) Highly combustible materials shall not be used or stored in the working chamber. Wood, paper, and similar combustible material shall not be used in the working chamber in quantities which could cause a fire hazard. The compressor building shall be constructed of noncombustible materials. 
(g) Air locks shall be equipped with a manual-type fire extinguisher system that can be activated inside the air lock and also by the outside lock attendant. In addition, a fire hose and portable fire extinguisher shall be provided inside and outside the air lock. The portable fire extinguisher shall be the dry chemical type. 
(h) Equipment, fixtures, and furniture in air locks and special decompression chambers shall be constructed of noncombustible materials. Bedding and other furnishings shall be chemically treated so as to be fire-resistant. 
(i) Oxygen Safety. 
(1) Equipment used with oxygen or mixtures containing over forty percent (40%) by volume oxygen shall be designed and maintained for oxygen service. 
(2) Components exposed to oxygen or mixtures containing over forty percent (40%) by volume oxygen shall be free of oil, grease, and combustible materials. 
(3) Oxygen systems over 125 psig shall have slow-opening shut-off valves. 
(4) Oxygen cylinders, piping, valves, gauges, regulators and other accessories shall be protected against physical damage. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. New subsections (i)-(i)(4) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
§6120. Medical Control.
Note     •     History

(a)(1) The employer shall retain a supervising physician who shall be available at all times while work is in progress in order to provide medical supervision of employees employed in compressed air work. The physician shall meet the physical qualifications of a compressed air worker and be willing to enter a pressurized environment. 
(2) No employee shall be permitted to enter a compressed air environment until qualified by a physician in accordance with Section 6053. 
(3) In the event an employee is absent from work for 10 or more consecutive days the employee shall be determined to be medically fit to resume compressed air work by the physician. 
(4) Medical records shall be kept as required by applicable parts of Section 6058. 
(b) Except when the air pressure in the working chamber is below 14 psig a medical chamber shall be established and maintained in immediate working order. The medical chamber shall: 
(1) Have at least six feet of clear headroom at the center, and be subdivided into not less than two compartments. 
(2) Be readily accessible to employees working under compressed air. 
(3) Be kept ready for immediate use for at least five hours subsequent to the emergence of any employee from the working chamber. 
(4) Be properly heated, lighted and ventilated. 
(5) Be maintained in a sanitary condition. 
(6) Have a non-shatterable port through which the occupant(s) may be kept under constant observation. 
(7) Be constructed and tested in accordance with the Unfired Pressure Vessel Safety Orders; the medical lock shall be retested whenever it has been out of service for more than 1 year and whenever it is moved from one location to another. 
(8) Be designed for a working pressure of 75 psig. 
(9) Be equipped with internal controls which may be overridden by external controls. 
(10) Be provided with air pressure gauges to show the air pressure within each compartment to observers inside and outside the medical chamber. 
(11) Be equipped with a quick acting automatic sprinkler system. 
(12) Be provided with oxygen lines and fittings leading into external tanks. The lines shall be fitted with check valves to prevent reverse flow. 
(13) Be in constant charge of an attendant under the direct control of the supervising physician. The attendant shall be trained in the use of the chamber and suitably instructed regarding steps to be taken in the treatment of employees exhibiting symptoms compatible with a diagnosis of decompression sickness. 
(14) Be located adjacent to an emergency medical facility. The emergency medical facility shall be equipped, as required by the retained physician, with approved demand type oxygen inhalation equipment. 
(15) Be capable of being maintained at a temperature, in use, not to exceed 90 degrees Fahrenheit nor be less than 70 degrees Fahrenheit. 
(16) Be provided with sources of oil free air, both normal and emergency, which are capable of raising the air pressure in the chamber from 0 to 75 psig in five minutes. 
(c) Identification badges shall be furnished to all employees, indicating that the wearer is a compressed air worker. The badge shall give employee's name, address of the medical chamber, the phone number of the licensed physician for the compressed air project, and contain instructions that in case of an emergency of unknown or doubtful cause or illness, the wearer shall be rushed to the medical chamber. The badge shall be worn at all times off the job as well as on the job. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.  
HISTORY

1. New section filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Amendment of subsection (a)(1), repealer of subsection (a)(3), subsection renumbering and amendment of subsection (b)(13) filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).

Appendix A [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New appendix filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Repealer filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).

Appendix B [Repealed]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New appendix filed 4-4-2006; operative 5-4-2006 (Register 2006, No. 14).
2. Repealer filed 3-10-2010; operative 4-9-2010 (Register 2010, No. 11).
Group 27. Fire Protection
Article 156. Definitions
§6150. Definitions.
Note     •     History

(a) Definitions.
(1) Aqueous Film Forming Foam (AFFF). A fluorinated surfactant with a foam stabilizer which is diluted with water to act as a temporary barrier to exclude air from mixing with the fuel vapor by developing an aqueous film on the fuel surface of some hydrocarbons which is capable of suppressing the generation of fuel vapors.
(2) Automatic Fire Detection Device. A device designed to automatically detect the presence of fire by heat, flame, light, smoke or other products of combustion.
(3) Carbon Dioxide. A colorless, odorless, electrically nonconductive inert gas (chemical formula CO2) that is a medium for extinguishing fires by reducing the concentration of oxygen or fuel vapor in the air to the point where combustion is impossible.
(4) Dry Chemical. An extinguishing agent composed of very small particles of chemicals such as, but not limited to, sodium bicarbonate, potassium bicarbonate, urea-based potassium bicarbonate, potassium chloride, or monoammonium phosphate supplemented by special treatment to provide resistance to packing and moisture absorption (caking) as well as to provide proper flow capabilities. Dry chemical does not include dry powders.
(5) Dry Powder. A compound used to extinguish or control Class D fires.
(6) Extinguisher Rating. The numerical rating given to an extinguisher which indicates the extinguishing potential of the unit based on standardized tests developed by Underwriters Laboratories, Inc.
(7) Fire Extinguishers, Portable.
(A) Portable fire extinguishers are classified for use on certain classes of fires and rated for relative extinguishing effectiveness at a temperature of plus 70 degrees Fahrenheit by nationally recognized testing laboratories. This is based upon the classification of fires and the fire-extinguishment potentials as determined by fire tests.
(B) The classification and rating system described in this standard is that used by Underwriters' Laboratories, Inc., and Underwriters' Laboratories of Canada and is based on extinguishing preplanned fires of determined size and description as follows:
1. Class A Rating--Wood and excelsior.
2. Class B Rating--Two-inch depth n-heptane fires in square pans.
3. Class C Rating--No fire test. Agent must be a nonconductor of electricity.
4. Class D Rating--Special tests on specific combustible metal fires.
(8) Fires.
(A) Class A. Fires in ordinary combustible materials, such as wood, cloth, paper, rubber, and many plastics.
(B) Class B. Fires in flammable or combustible liquids, gases, greases and similar materials and some rubber and plastic materials.
(C) Class C. Fires which involve energized electrical equipment where the electrical nonconductivity of the extinguishing media is of importance. (When electrical equipment is de-energized, extinguishers for Class A or B fires may be used safely.)
(D) Class D. Fires in combustible metals, such as magnesium, titanium, zirconium, sodium, and potassium.
(9) Fixed Extinguishing System. A permanently installed system that either extinguishes or controls a fire at the location of the system.
(10) Foam. A stable aggregation of small bubbles which flow freely over a burning liquid surface and form a coherent blanket which seals combustible vapors and thereby extinguishes the fire.
(11) Gaseous Agent. A fire extinguishing agent which is in the gaseous state at normal room temperature and pressure. It has low viscosity, can expand or contract with changes in pressure and temperature, and has the ability to diffuse readily and to distribute itself uniformly throughout an enclosure.
(12) Halon 1211. A colorless, faintly sweet smelling, electrically nonconductive liquefied gas (chemical formula CBrClF2) which is a medium for extinguishing fires by inhibiting the chemical chain reaction of fuel and oxygen. It is also known as bromochlorodifluoromethane.
(13) Halon 1301. A colorless, odorless, electrically nonconductive gas (chemical formula CBrF3) which is a medium for extinguishing fires by inhibiting the chemical chain reaction of fuel and oxygen. It is also known as bromotrifluoromethane.
(14) Inspection. A visual check of fire protection systems and equipment to ensure that they are in place, charged, and ready for use in the event of fire.
(15) Local Application Systems. A fixed fire suppression system which has a supply of extinguishing agent, with nozzles arranged to discharge extinguishing agent directly on the burning material to extinguish or control a fire.
(16) Maintenance. The performance of services on fire protection equipment and systems to assure that they will perform as designed in the event of a fire. Maintenance differs from inspection in that maintenance requires the checking of internal fittings, devices and agent supplies.
(17) Multipurpose Dry Chemical. A dry chemical which is approved for use on Class A, Class B and Class C fires.
(18) Pre-Discharge Employee Alarm. An alarm which will sound at a set time prior to actual discharge of an extinguishing system so that employees may evacuate the discharge area prior to system discharge.
(19) Small Hose System. A system of hose ranging in diameter from 5/8-inch to 1 1/2-inch (1.8 cm to 3.8 cm) which is for the use of employees and which provides a means for the control and extinguishment of incipient stage fires.
(20) Sprinkler Alarm. A local alarm unit is an assembly of apparatus approved for the service and so constructed and installed that any flow of water from a sprinkler system equal to or greater than that from a single automatic sprinkler will result in an audible alarm signal on the premises.
(21) Sprinkler System. A sprinkler system, for fire protection purposes, is an integrated system of underground and overhead piping designed in accordance with fire protection engineering standards. The installation includes a water supply, such as a gravity tank, fire pump, reservoir or pressure tank and/or connection by underground piping to a city main.
The portion of the sprinkler system above ground is a network of specially sized or hydraulically designed piping installed in a building, structure or area, generally overhead, and to which sprinklers are connected in a systematic pattern. The system includes a controlling valve and a device for actuating an alarm when the system is in operation. The system is usually activated by heat from a fire and discharges water over the fire area.
(22) Standpipes.
(A) Class.
1. Class I. For use by fire departments and those trained in handling heavy fire streams (not less than 2 1/2-inch hose).
Class I Service shall be capable of furnishing the effective fire streams required during the more advanced stages of fire on the inside of buildings or for exposure fire.
2. Class II. For use primarily by the building occupants until the arrival of the fire department (1 1/2-inch hose).
Class II Service shall afford a ready means for the control of incipient fires by the occupants of buildings during working hours, and by watchmen and those present during the night time and holidays.
3. Class III. For use by either fire departments and those trained in handling heavy hose streams or by the building occupants.
Class III Service shall be capable of furnishing the effective fire streams required during the more advanced stages of fire on the inside of buildings as well as providing a ready means for the control of fires by the occupants of the building.
(B) Type. Standpipe systems may be of the following types:
1. Wet standpipe system having supply valve open and water pressure maintained at all times.
2. Standpipe system so arranged through the use of approved devices as to admit water to the system automatically by opening a hose valve.
3. Standpipe system arranged to admit water to the system through manual operation of approved remote control devices located at each hose station.
4. Dry standpipe having no permanent water supply. (Title 24, T8-6150)
(23) Total Flooding System. A fixed suppression system which is arranged to automatically discharge a predetermined concentration of agent into an enclosed space for the purpose of fire extinguishment or control.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Group 27 (Articles 156-163, Sections 6150-6183) filed 6-20-75; effective thirtieth day thereafter (Register 75, No. 25).
2. Amendment filed 7-16-76; effective thirtieth day thereafter (Register 76, No. 29).
3. Amendment filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
4. Editorial correction of subsections (a)(12) and (a)(13) filed 6-30-82 (Register 82, No. 27). 
Article 157. Portable Fire Extinguishers
§6151. Portable Fire Extinguishers.
Note     •     History

(a) Scope and Application. The requirements of this Section apply to the placement, use, maintenance, and testing of portable fire extinguishers provided for the use of employees. Section (d) of this section does not apply to extinguishers provided for employee use on the outside of workplace buildings or structures. Where extinguishers are provided but are not intended for employee use and the employer has an emergency action plan and a fire prevention plan which meet the requirements of Sections 3220 and 3221 then only the requirements of Sections (e) and (f) of this Section apply.
(b) Exemptions.
(1) Where the employer has established and implemented a written fire safety policy which requires the immediate and total evacuation of employees from the workplace upon the sounding of a fire alarm signal and which includes an emergency action plan and a fire prevention plan which meet the requirements of Sections 3220 and 3221 and when extinguishers are not available in the workplace, the employer is exempt from all requirements of this section unless a specific Section in Title 8 requires that a portable fire extinguisher be provided.
(2) Where the employer has an emergency action plan meeting the requirements of Section 3220 which designates certain employees to be the only employees authorized to use the available portable fire extinguishers, and which requires all other employees in the fire area to immediately evacuate the affected work area upon the sounding of the fire alarm, the employer is exempt from the distribution requirements in Section (d) of this Section.
(c) General Requirements.
(1) The employer shall provide portable fire extinguishers and shall mount, locate and identify them so that they are readily accessible to employees without subjecting the employees to possible injury.
(2) Only approved portable fire extinguishers shall be used to meet the requirements of this section.
(3) The employer shall not provide or make available in the workplace portable fire extinguishers using carbon tetrachloride or chlorobromomethane extinguishing agents.
(4) The employer shall assure that portable fire extinguishers are maintained in a fully charged and operable condition and kept in their designated places at all times except during use.
(5) The employer shall permanently remove from service by January 1, 1982, all soldered or riveted shell self-generating soda acid or self-generating foam or gas cartridge water type portable fire extinguishers which are operated by inverting the extinguisher to rupture the cartridge or to initiate an uncontrollable pressure generating chemical reaction to expel the agent.
(d) Selection and Distribution.
(1) Where portable fire extinguishers are provided for employee use, they shall be selected and distributed based on the classes of anticipated work place fires and on the size and degree of hazard which would affect their use.
(2) The employer shall distribute portable fire extinguishers for use by employees on Class A fires so that the travel distance for employees to any extinguisher is 75 feet (22.9m) or less.
(3) The employer may use uniformly spaced standpipe systems or hose stations connected to a sprinkler system installed for emergency use by employees instead of Class A portable fire extinguishers, provided that such systems meet the respective requirements of Articles 158 or 159, that they provide total coverage of the area to be protected, and that employees are trained at least annually in their use.
(4) The employer shall distribute portable fire extinguishers for use by employees on Class B fires so that the travel distance from the Class B hazard area to any extinguisher is 50 feet (15.2m) or less.
(5) The employer shall distribute portable fire extinguishers used for Class C hazards on the basis of the appropriate pattern for the existing Class A or Class B hazards.
(6) The employer shall distribute portable fire extinguishers or other containers of Class D extinguishing agent for use by employees so that the travel distance from the combustible metal working area to any extinguishing agent is 75 feet (22.9m) or less. Portable fire extinguishers for Class D hazards are required in those combustible metal working areas where combustible metal powders, flakes, shavings, or similarly sized products are generated a least once every two weeks.
(e) Inspection, Maintenance and Testing.
(1) The employer shall be responsible for the inspection, maintenance and testing of all portable fire extinguishers in the workplace.
(2) Portable extinguishers or hose used in lieu thereof under Subsection (d)(3) of this Section shall be visually inspected monthly.
(3) Portable fire extinguishers shall be subjected to an annual maintenance check. Stored pressure extinguishers do not require an internal examination. The employer shall record the annual maintenance date and retain this record for one year after the last entry or the life of the shell, whichever is less. The record shall be available to the Chief upon request.
(4) Stored pressure dry chemical extinguishers that require a 12-year hydrostatic test shall be emptied and subjected to applicable maintenance procedures every 6 years. Dry chemical extinguishers having non-refillable disposable containers are exempt from this requirement. When recharging or hydrostatic testing is performed, the 6-year requirement begins from that date.
(5) Alternate equivalent protection shall be provided when portable fire extinguishers are removed from service for maintenance and recharging.
(f) Hydrostatic Testing.
(1) The employer shall assure that hydrostatic testing is performed by trained persons with suitable testing equipment and facilities.
(2) The employer shall assure that portable extinguishers are hydrostatically tested at the intervals listed in Table L-1 of this Section, except under any of the following conditions:
(A) when the unit has been repaired by soldering, welding, brazing, or use of patching compounds;
(B) when the cylinder or shell threads are damaged;
(C) when there is corrosion that has caused pitting, including corrosion under removable name plate assemblies;
(D) when the extinguisher has been burned in a fire; or
(E) when a calcium chloride extinguishing agent has been used in a stainless steel shell. 

Table L-1

	Test
	Interval
                                             Type of Extinguishers	(years)
		
Soda acid (soldered brass shells) (until 1/1/82)	 (1)
Soda acid (stainless steel shell)	 5
Cartridge operated water and/or antifreeze	 5
Stored pressure water and/or antifreeze	 5
Wetting agent	 5
Foam (soldered brass shells) (until 1/1/82)	 (1)
Foam (stainless steel shell)	 5
Aqueous Film Forming Foam (AFFF)	 5
Loaded stream	 5
Dry chemical with stainless steel	 5
Carbon dioxide	 5
Dry chemical, stored pressure, with mild steel,
  brazed brass or aluminum shells	 12
Dry chemical, cartridge or cylinder operated, with mild steel shells	 12
Halon 1211	 12
Halon 1301	 12
Dry powder, cartridge or cylinder operated with mild steel shells	 12

1 Extinguishers having shells constructed of copper or brass joined by soft solder or rivets shall not be hydrostatially tested and shall be removed from service by January 1, 1982 (Not permitted).
(3) In addition to an external visual examination, the employer shall assure that an internal examination of cylinders and shells to be tested is made prior to the hydrostatic tests.
(4) The employer shall assure that portable fire extinguishers are hydrostatically tested whenever they show new evidence of corrosion or mechanical injury, except under the conditions listed in subsection (f)(2)(A)-(E) of this Section.
(5) The employer shall assure that hydrostatic tests are performed on extinguisher hose assemblies which are equipped with a shut-off nozzle at the discharge end of the hose. The test interval shall be the same as specified for the extinguisher on which the hose is installed.
(6) The employer shall assure that carbon dioxide hose assemblies with a shut-off nozzle are hydrostatically tested at 1,250 psi (8,620 kPa).
(7) The employer shall assure that dry chemical and dry powder hose assemblies with a shut-off nozzle are hydrostatically tested at 300 psi (2,070 kPa).
(8) Hose assemblies passing a hydrostatic test do not require any type of recording or stamping.
(9) The employer shall assure that hose assemblies for carbon dioxide extinguishers that require a hydrostatic test are tested within a protective cage device.
(10) The employer shall assure that carbon dioxide extinguishers and nitrogen or carbon dioxide cylinders used with wheeled extinguishers are tested every 5 years at 5/3 of the service pressure as stamped into the cylinder. Nitrogen cylinders which comply with 49 CFR 173.34(e)(15) may be hydrostatically tested every 10 years.
(11) The employer shall assure that all stored pressure and Halon 1211 types of extinguishers are hydrostatically tested at the factory test pressure not to exceed two times the service pressure.
(12) The employer shall assure that acceptable self-generating type soda acid and foam extinguishers are tested at 350 psi (2,410 kPa).
(13) Air or gas pressure may not be used for hydrostatic testing.
(14) Extinguishers shells, cylinders, or cartridges which fail a hydrostatic pressure test, or which are not fit for testing shall be removed from service and from the workplace.
(15) The equipment for testing compressed gas type cylinders shall be of the water jacket type. The equipment shall be provided with an expansion indicator which operates with an accuracy within one percent of the total expansion or 0.1cc of liquid.
(A) The equipment for testing non-compressed gas type cylinders shall consist of the following:
1. A hydrostatic test pump, hand or power operated, capable of producing not less than 150 percent of the test pressure, which shall include appropriate check valves and fittings;
2. A flexible connection for attachment to fittings to test through the extinguisher nozzle, test bonnet, or hose outlet, as is applicable; and
3. A protective cage or barrier for personal protection of the tester, designed to provide visual observation of the extinguisher under test.
(16) The employer shall maintain and provide upon request to the Chief of Division evidence that the required hydrostatic testing of fire extinguishers has been performed at the time intervals shown in Table L-1. Such evidence shall be in the form of a certification record which includes the date of the test, the signature of the person who performed the test and the serial number, or the other identifier, of the fire extinguisher that was tested. Such records shall be kept until the extinguisher is hydrostatically retested at the time interval specified in Table L-1 or until the extinguisher is taken out of service.
(g) Training and Education.
(1) Where the employer has provided portable fire extinguishers for employee use in the workplace, the employer shall also provide an educational program to familiarize employees with the general principles of fire extinguisher use and the hazards involved with incipient stage fire fighting.
(2) The employer shall provide the education required in subsection (g)(1) of this Section upon initial employment and at least annually thereafter.
(3) The employer shall provide employees who have been designated to use fire fighting equipment as part of an emergency action plan with training in the use of the appropriate equipment.
(4) The employer shall provide the training required in subsection (g)(3) of this Section upon initial assignment to the designated group of employees and at least annually thereafter.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 157 (Sections 6151-6161) and new Article 157 (Section 6151) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). For prior history, see Registers 81, No. 4; 79, No. 1; and 75, No. 46.
2. Editorial correction of subsections (d) and (e) filed 6-30-82 (Register 82, No. 27).
3. Amendment of subsection (f)(16) filed 5-6-87; operative 6-5-87 (Register 87, No. 19). 
Article 158. Standpipe and Hose Systems
§6165. Standpipe and Hose Systems.
Note     •     History

(a) Scope and Application.
(1) Scope. This Section applies to all small hose, Class II, and Class III standpipe systems.
(b) General.
(1) Where standpipe and hose systems are provided they shall meet the design requirements of the National Fire Protection Association's Standard for the Installation of Standpipe and Hose Systems NFPA 141978 and the requirements of this Article.
(c) Protection of Standpipes.
(1) The employer shall assure that standpipes are located or otherwise protected against mechanical damage. Damaged standpipes shall be repaired promptly.
(d) Equipment.
(1) Reels and Cabinets. Where reels or cabinets are provided to contain fire hose, the employer shall assure that they are designed to facilitate prompt use of the hose valves, the hose, and other equipment at the time of a fire or other emergency. The employer shall assure that the reels and cabinets are conspicuously identified and used only for fire equipment.
(2) Hose Outlets and Connections.
(A) The employer shall assure that hose outlets and connections are located high enough above the floor to avoid being obstructed and to be accessible to employees.
(B) The employer shall standardize screw threads or provide appropriate adapters throughout the system and assure that the hose connections are compatible with those used on the supporting fire equipment.
(3) Hose.
(A) The employer shall assure that every 1 1/2” (3.8 cm) or smaller hose outlet used to meet this standard is equipped with hose connected and ready for use. In extremely cold climates where such installation may result in damaged equipment, the hose may be stored in another location provided it is immediately available and can be connected when needed.
(B) Standpipe systems installed after July 1, 1981, for use by employees, shall be equipped with lined hose. Unlined hose may remain in use on existing systems. However, after the effective date of this standard, unlined hose which becomes unserviceable shall be replaced with lined hose.
(C) Beginning July 1, 1981, the employer shall provide hose of such length that friction loss resulting from water flowing through the hose will not decrease the pressure at the nozzle below 30 psi (210 kPa). The dynamic pressure at the nozzle shall be within the range of 30 psi (210 kPa) to 125 psi (860 kPa).
(4) Nozzles. Beginning July 1, 1981, the employer shall assure that all lined standpipe hose is equipped with shut-off type nozzles.
(e) Water Supply.
(1) The minimum water supply for standpipe and hose systems, which are provided for the use of employees, shall be sufficient to provide 100 gallons per minute (6.3 l/s) for a period of at least thirty minutes.
(f) Tests and Maintenance.
(1) Acceptance Tests.
(A) The employer shall assure that the piping of Class II and Class III systems installed after July 1, 1981, including yard piping, is hydrostatically tested for a period for at least 2 hours at not less than 200 psi (1380 kPa), or at least 50 psi (340 kPa) in excess of normal pressure when such pressure is greater than 150 psi (1030 kPa).
(B) The employer shall assure that hose on all standpipe systems installed after July 1, 1981, is hydrostatically tested with couplings in place, at a pressure of not less than 200 psi (1380 kPa), before it is placed in service. This pressure shall be maintained for at least 15 seconds and not more than one minute during which time the hose shall not leak nor shall any jacket thread break during the test.
(2) Maintenance.
(A) The employer shall assure that water supply tanks are kept filled to the proper level except during repairs. When pressure tanks are used, the employer shall assure that proper pressure is maintained at all times except during repairs.
(B) The employer shall assure that valves in the main piping connections to the automatic sources of water supply are kept fully open at all times except during repair.
(C) The employer shall assure that hose systems are inspected at least annually and after each use to assure that all of the equipment and hose are in place, available for use, and in serviceable condition.
(D) When the system or any portion thereof is found not to be serviceable, the employer shall remove it from service immediately and replace it with equivalent protection such as extinguishers and fire watches.
(E) Hemp or linen hose on existing systems shall be inspected for deterioration at least annually. Defective hose shall be replaced in accordance with Section 6165(d)(3)(B).
(F) The employer shall designate trained persons to conduct all inspections required under this Section.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 158 (Sections 6165-6167) and new Article 158 (Section 6165) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). For prior history, see Registers 81, No. 4 and 76, No. 29.
2. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). m
Article 159. Automatic Sprinkler Systems
§6170. Automatic Sprinkler Systems.
Note     •     History

(a) Scope and Application.
(1) The requirements of this section apply to all automatic sprinkler systems.
(2) For automatic sprinkler systems used to meet Title 8 requirements and installed prior to the effective date of this standard, compliance with the National Fire Protection Association (NFPA) or the National Board of Fire Underwriters (NBFU) standard in effect at the time of the system's installation will be acceptable as compliance with this Section.
(3) When required automatic sprinkler systems are provided they shall meet design requirements of the National Fire Protection Association's Standard for the Installation of Sprinkler Systems NFPA No. 13-1978.
(b) Exemptions.
(1) Automatic sprinkler systems installed in workplace, but not required by Title 8, are exempt from the requirements of this Section.
(c) General Requirements.
(1) Design.
(A) All automatic sprinkler designs used to comply with this standard shall provide the necessary discharge patterns, densities, and water flow characteristics for complete coverage in a particular workplace or zoned subdivision of the workplace.
(B) The employer shall assure that only approved equipment and devices are used in the design and installation of automatic sprinkler systems used to comply with this standard.
(2) Maintenance.
(A) The employer shall properly maintain an automatic sprinkler system installed to comply with this Section. The employer shall assure that a main drain flow test is performed on each system annually. The inspector's test valve shall be opened at least every two years to assure that the sprinkler system operates properly.
Note: See NFPA 131978 for further guidance, and Section 6181 where applicable.
(3) Acceptance Tests. The employer shall conduct proper acceptance tests on sprinkler systems installed for employee protection after July 1, 1981, and record the dates of such tests. Proper acceptance tests include the following:
(A) Flushing of underground connections;
(B) Hydrostatic tests of piping in system;
(C) Air tests in dry-pipe systems;
(D) Dry-pipe valve operation; and
(E) Test of drainage facilities.
(4) Water Supplies. The employer shall assure that every automatic sprinkler system is provided with at least one automatic water supply capable of providing design water flow for at least 30 minutes. An auxiliary water supply or equivalent protection shall be provided when the automatic water supply is out of service, except for systems of 20 or fewer sprinklers.
(5) Hose Connections for Fire Fighting Use. The employer may attach hose connections for fire fighting use to wet pipe sprinkler systems provided that the water supply satisfies the combined design demand for sprinklers and standpipes.
(6) Protection of Piping. The employer shall assure that automatic sprinkler system piping is protected against freezing and exterior surface corrosion.
(7) Drainage. The employer shall assure that all dry sprinkler pipes and fittings are installed so that the system may be totally drained.
(8) Sprinklers.
(A) The employer shall assure that only approved sprinklers are used on systems.
(B) The employer may not use older style sprinklers to replace standard sprinklers without a complete engineering review of the altered part of the system.
(C) The employer shall assure that sprinklers are protected from mechanical damage.
(9) Sprinkler Alarms. On all sprinkler systems having more than twenty (20) sprinklers, the employer shall assure that a local waterflow alarm is provided which sounds an audible signal on the premises upon water flow through the system equal to the flow from a single sprinkler.
(10) Sprinkler Spacing. The employer shall assure that sprinklers are spaced to provide a maximum protection area per sprinkler, a minimum of interference to the discharge pattern by building or structural members or building contents and suitable sensitivity to possible fire hazards. The minimum vertical clearance between sprinklers and material below shall be 18 inches (45.7cm).
(11) Hydraulically Designed Systems. The employer shall assure that hydraulically designed automatic sprinkler systems or portions thereof are identified and that the location, number of sprinklers in the hydraulically designed section, and the basis of the design is indicated. Central records may be used in lieu of signs at sprinkler valves provided the records are available for inspection and copying by the Division.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 159 (Sections 6170 and 6171) and new Article 159 (Section 6170) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). For prior history, see Registers 81, No. 4 and 76, No. 29).
2. Editorial correction of subsection (a)(3) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Editorial correction of subsection (c) filed 6-30-82 (Register 82, No. 27). 
4. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). 
Article 160. Fixed Extinguishing Systems
§6175. Fixed Extinguishing Systems.
Note     •     History

(a) Scope and Application.
(1) This Section applies to all fixed extinguishing systems except for automatic sprinkler systems which are covered by Article 159.
(2) This Section also applies to fixed systems not installed to meet a particular Title 8 section, but which, by means of their operation, may expose employees to possible injury, death, or adverse health consequences caused by the extinguishing agent. Such systems are only subject to the requirements of subsection (b)(4) through (b)(7) and (c) of this Section.
(3) Systems otherwise covered in subsection (a)(2) of this Section which are installed in areas with no employee exposure are exempted from the requirements of this section.
(b) General Requirements.
(1) Fixed extinguishing system components and agents shall be designed and approved for use on the specific fire hazards they are expected to control or extinguish.
(2) If for any reason a fixed extinguishing system becomes inoperable, the employer shall notify employees and take the necessary temporary precautions to assure their safety until the system is restored to operating order. Any defects or impairments shall be properly corrected by trained personnel.
(3) The employer shall provide a distinctive alarm or signaling system which complies with Article 165 and is capable of being perceived above ambient noise or light levels, on all extinguishing systems in those portions of the workplace covered by the extinguishing system to indicate when the extinguishing system is discharging. Discharge alarms are not required on systems where discharge is immediately recognizable.
(4) The employer shall provide effective safeguards to warn employees against entry into discharge areas where the atmosphere remains hazardous to employee safety or health.
(5) The employer shall post hazard warning or caution signs at the entrance to, and inside of, areas protected by fixed extinguishing systems which use agents in concentrations known to be hazardous to employee safety and health.
(6) The employer shall assure that fixed systems are inspected annually by a person knowledgeable in the design and function of the system to assure that the system is maintained in good operating condition.
(7) The employer shall assure that the weight and pressure of refillable containers is checked at least semi-annually. If the container shows a loss in net content or weight of more than 5 percent, or a loss in pressure of more than 10 percent, it shall be subjected to maintenance.

Exception: Systems using refillable, high-pressure carbon dioxide cylinders shall meet the requirements of Section 6181(b)(1).
(8) The employer shall assure that factory charged nonrefillable containers which have no means of pressure indication are weighed at least semi-annually. If a container shows a loss in net weight of more than 5 percent it shall be replaced.
(9) The employer shall assure that inspection and maintenance dates are recorded on the container, on a tag attached to the container, or in a central location. A record of the last semi-annual check shall be maintained until the container is checked again or for the life of the container, whichever is less.
(10) The employer shall train employees designated to inspect, maintain, operate, or repair fixed extinguishing systems and annually review their training to keep them up to date in the functions they are to perform.
(11) The employer shall not use chlorobromomethane or carbon tetrachloride as an extinguishing agent where employees may be exposed.
(12) The employer shall assure that systems installed in the presence of corrosive atmospheres are constructed of non-corrosive material or otherwise protected against corrosion.
(13) Automatic detection equipment shall be approved, installed and maintained in accordance with Article 164.
(14) The employer shall assure that all systems designed for and installed in areas with climatic extremes shall operate effectively at the expected extreme temperatures.
(15) The employer shall assure that at least one manual station is provided for discharge activation of each fixed extinguishing system.
(16) The employer shall assure that manual operating devices are identified as to the hazard against which they will provide protection.
(17) The employer shall provide and assure the use of the personal protective equipment needed for immediate rescue of employees trapped in hazardous atmospheres created by an agent discharge.
(c) Total Flooding Systems with Potential Health and Safety Hazards to Employees.
(1) The employer shall provide an emergency action plan in accordance with Section 3220 for each area within a workplace that is protected by a total flooding system which provides agent concentrations exceeding the maximum safe levels set forth in Subsections (b)(4) and (b)(5) of Article 162.
(2) Systems installed in areas where employees cannot enter during or after the system's operation are exempt from the requirements of Subsection (c) of this Section.
(3) On all total flooding systems the employer shall provide a pre-discharge employee alarm which complies with Article 165, and is capable of being perceived above ambient light or noise levels before the system discharges, which will give employees time to safely exit from the discharge area prior to system discharge.
(4) The employer shall provide automatic actuation of total flooding systems by means of an approved fire detection device installed and interconnected with a pre-discharge employee alarm system to give employees time to safely exit from the discharge area prior to system discharge.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Article 160 (Sections 6175-6176) repealed and new Article 160 (Section 6175) added, filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
2. Amendment of subsection (b)(7) filed 9-6-83; effective thirtieth day thereafter (Register 83, No. 37).
3. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). 
Article 161. Fixed Extinguishing Systems, Dry Chemical
§6180. Fixed Extinguishing Systems; Dry Chemical.
Note     •     History

(a) Scope and Application.
(1) This Section applies to all fixed extinguishing systems, using dry chemical as the extinguishing agent. These systems shall also comply with Article 160.
(2) When dry chemical extinguishing systems are provided they shall meet the design requirements of the National Fire Protection Association's “Standard for Dry Chemical Extinguishing Systems” NFPA No. 171980 and the requirements of this section, and Section 6175 where applicable.
(b) Specific Requirements.
(1) The employer shall assure that dry chemical agents are compatible with any foams or wetting agents with which they are used.
(2) The employer may not mix together dry chemical extinguishing agents of different compositions. The employer shall assure that dry chemical systems are refilled with the chemical stated on the approval nameplate or an equivalent compatible material.
(3) When dry chemical discharge may obscure vision, the employer shall provide a pre-discharge employee alarm which complies with Article 165 and which will give employees time to safely exit from the discharge area prior to system discharge.
(4) The employer shall sample the dry chemical supply of all but stored pressure systems at least annually to assure that the dry chemical supply is free of moisture which may cause the supply to cake or form lumps.
(5) The employer shall assure that the rate of application of drychemicals is such that the designed concentration of the system will be reached within 30 seconds of initial discharge.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 161 (Section 6180) and new Article 161 (Section 6180) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). For prior history, see Register 76, No. 29.
2. Editorial correction of subsection (a)(2) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). 
Article 162. Fixed Extinguishing Systems, Gaseous Agents
§6181. Gaseous Systems.
Note     •     History

(a) Scope and Application.
(1) Scope. This Section applies to all fixed extinguishing systems, using a gas as the extinguishing agent. These systems shall also comply with Article 160. In some cases, the gas may be in a liquid state during storage.
(2) Application. The requirements of Subsections (b)(5) and (b)(6) shall apply only to total flooding systems.
(b) General Requirements.
(1) When carbon dioxide extinguishing systems are provided they shall meet the design, inspection, maintenance, and instruction requirements of the National Fire Protection Association's “Standard on Carbon Dioxide Extinguishing Systems” NFPA No. 121977.
(2) In any proposed use of carbon dioxide where there is a possibility that employees may be trapped in, or enter into atmospheres made hazardous by a carbon dioxide discharge suitable safeguards shall be provided to insure prompt evacuation of and to prevent entry into such atmospheres and also to provide means for prompt rescue of any trapped personnel. Suitable safeguards include personnel training, warning signs, discharge alarms, predischarge alarms and breathing apparatus any one or more of which may be necessary for particular carbon dioxide extinguishing system installation.
(3) Agents used for initial supply and replenishment shall be of the type approved for the system's application. Carbon dioxide obtained by dry ice conversion to liquid is not acceptable unless it is processed to remove excess water and oil.
(4) Except during overhaul, the employer shall assure that the designed concentration of gaseous agents is maintained until the fire has been extinguished or is under control.
(5) Employees shall not be exposed to toxic levels of gaseous agent or its decomposition products.
(6) The employer shall assure that the designed extinguishing concentration is reached within 30 seconds of initial discharge except for Halon systems which must achieve design concentration within 10 seconds.
(7) The employer shall provide a distinctive pre-discharge employee alarm capable of being perceived above ambient light or noise levels when agent design concentrations exceed the maximum safe level for employee exposure. The pre-discharge employee alarm shall provide employees time to safely exit the discharge area prior to system discharge.
(8) Egress.
(A) Where egress from an area cannot be accomplished within one minute, the employer shall not use Halon 1301 in concentrations greater than 7 percent.
(B) Where egress takes greater than 30 seconds but less than one minute, the employer shall not use Halon 1301 in a concentration greater than 10 percent.
(C) Halon 1301 concentrations greater than 10 percent are only permitted in areas not normally occupied by employees provided that any employee in the area can escape within 30 seconds. The employer shall assure that no unprotected employees enter the area during agent discharge.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New article 162 (section 6181) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
2. Editorial correction of subsection (b)(1) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Amendment of subsection (b)(1) filed 9-6-83; effective thirtieth day thereafter (Register 83, No. 37).
4. Change without regulatory effect deleting title 24 reference (Register 87, No. 49). 
5. New subsections (b)(4) and (b)(6) and subsection renumbering filed 5-17-93; operative 6-16-93 (Register 93, No. 21).
Article 163. Fixed Fire Extinguishing Systems--Water-Spray, and Foam-Water Sprinkler Systems
§6182. Water-Spray Fixed Systems, Foam-Water Sprinkler Systems.
Note     •     History

(a) Scope and Application. This Section applies to all water-spray fixed extinguishing systems and to all foam-water sprinkler systems. This Section does not apply to automatic sprinkler systems which are covered in Article 159.
When water-spray fixed systems or foam-water sprinkler systems are provided, they shall meet the design requirements of the National Fire Protection Association's (NFPA) standards on “Water Spray Fixed Systems for Fire Protection” or “Foam-Water Spray Systems,” NFPA Nos. 15-1977 or 16-1974, respectively. The systems shall also comply with Article 160.
(b) General Requirements.
(1) The employer shall assure that foam and water spray systems are designed to be effective in at least controlling fire in the protected area or on protected equipment.
(2) The employer shall assure that drainage of water spray systems is directed away from areas where employees are working and that no emergency egress is permitted through the drainage path.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 163 (Section 6183) and new Article 163 (Section 6182) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37). or prior history, see Register 76, No. 29.
2. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). 
Article 164. Fire Detection Systems
§6183. Fire Detection Systems.
Note     •     History

(a) Scope and Application. This Section applies to all automatic fire detection systems.
(b) Installation and Restoration.
(1) All devices and equipment shall be designed, installed, and maintained in accordance with this Section and applicable parts of NFPA 721978 series and shall be approved for the purpose for which they are intended.
(2) The employer shall restore all fire detection systems and components to normal operating condition as promptly as possible after each test or alarm.
(c) Maintenance and Testing.
(1) The employer shall maintain all systems in an operable condition except during repairs or maintenance.
(2) Fire detectors and fire detection systems shall be tested and adjusted as often as needed to maintain proper reliability and operating condition except that factory calibrated detectors need not be adjusted after installation.
(3) Pneumatic and hydraulic operated detection systems installed after July 1, 1981, shall be equipped with supervised systems.
(4) Servicing, maintenance and testing of fire detection systems, including cleaning and necessary sensitivity adjustments shall be performed by a trained person knowledgeable in the operations and functions of the systems.
(5) Fire detectors shall be cleaned as necessary to assure proper operation.
(d) Protection of Fire Detectors.
(1) Fire detection equipment installed outdoors or in the presence of corrosive atmospheres shall be protected from corrosion. The employer shall provide a canopy, hood, or other suitable protection for detection equipment requiring protection from the weather.
(2) The employer shall locate or otherwise protect detection equipment so that it is protected from mechanical or physical impact which might render it inoperable.
(3) The employer shall assure that detectors are supported independently of their attachment to wires or tubing.
(e) Response Time.
(1) The employer shall assure that fire detection systems installed for the purpose of actuating fire extinguishment or suppression systems shall be designed to operate in time to control or extinguish a fire.
(2) Fire detection systems installed for the purpose of employee alarm and evacuation shall be designed and installed to provide a warning for emergency action and safe escape of employees.
(3) The employer shall not delay alarms or devices initiated by fire detector actuation for more than 30 seconds unless such delay is necessary for the immediate safety of employees. When such delay is necessary, it shall be addressed in an emergency action plan meeting the requirements of Section 3220.
(f) Number, Location and Spacing of Detecting Devices.
(1) The number, spacing and location of fire detectors shall be based upon design data obtained from field experience, or tests, engineering surveys, the manufacturer's recommendations, or a recognized testing laboratory listing.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New Article 164 (Section 6183) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
2. Editorial correction of subsection (f)(1) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Change without regulatory effect deleting Title 24 reference (Register 87, No. 49). 
Article 165. Employee Alarm Systems
§6184. Employee Alarm Systems.
Note     •     History

(a) Scope and Application.
(1) This Section applies to all emergency employee alarms. This section does not apply to those discharge or supervisory alarms required on various fixed extinguishing systems or to supervisory alarms on fire suppression, alarm or detection systems unless they are intended to be employee alarm systems.
(2) The requirements in this Section that pertain to maintenance, testing and inspection shall apply to all local fire alarm signaling systems used for alerting employees regardless of the other functions of the system.
(3) All pre-discharge employee alarms shall meet the requirements of subsection (b)(1) through (b)(4), (c) and (d)(1) of this Section.
(b) General Requirements.
(1) Where local fire alarm signaling systems are required by these orders, they shall meet the design requirements of the National Fire Protection Association's “Standard for the Installation, Maintenance, and Use of Local Protective Signaling Systems for Watchman, Fire Alarm and Supervisory Service,” NFPA No. 72A1975 and the requirements of this Section.
(2) The employee alarm system shall provide warning for necessary emergency action as called for in the emergency action plan, or for reaction time for safe escape of employees from the workplace or the immediate work area, or both.
(3) The employee alarm shall be capable of being perceived above ambient noise or light levels by all employees in the affected portions of the workplace. Tactile devices may be used to alert those employees who would not otherwise be able to recognize the audible or visual alarm.
(4) The employee alarm shall be distinctive and recognizable as a signal to evacuate the work area or to perform actions designated under the emergency action plan.
(5) All employees shall be made aware of means and methods of reporting emergencies. These methods may be, but are not limited to, manual pull box alarms, public address systems, radio or telephones. When telephones are used as a means of reporting an emergency, telephone numbers shall be conspicuously posted nearby. Where a communication system also serves as the employee alarm system, all emergency messages shall have priority over all non-emergency messages.
(6) The employer shall establish procedures for sounding emergency alarms in the workplace. For those employers with 10 or fewer employees in a particular workplace, direct voice communication is an acceptable procedure for sounding the alarm provided all employees can hear the alarm. Such workplaces need not have a back-up system.
(c) Installation and Restoration.
(1) The employer shall assure that all devices, components, combinations of devices or systems constructed and installed to comply with this standard shall be approved. Steam whistles, air horns, strobe lights or similar lighting devices, or tactile devices meeting the requirements of this Section are considered to meet this requirement for approval.
(2) The employer shall assure that all employee alarm systems are restored to normal operating condition as promptly as possible after each test or alarm. Devices and components of alarm systems that are subject to wear or destruction shall have replacements available in sufficient quantities and locations for prompt restoration of the system.
(d) Maintenance and Testing.
(1) The employer shall assure that all employee alarm systems are maintained in operating condition except when undergoing repairs or maintenance.
(2) The employer shall assure that a test of the reliability and adequacy of non-supervised employee alarm systems is made every two months. A different actuation device shall be used in each test of a multi-actuation device system so that no individual device is used for two consecutive tests.
(3) The employer shall maintain or replace power supplies as often as is necessary to assure a fully operational condition. Back-up means of alarm, such as employee runners or telephones, shall be provided when systems are out of service.
(4) The employer shall assure that employee alarm circuitry installed after July 1, 1981, shall be supervised and provide positive notification to assigned personnel whenever a deficiency exists in the system. The employer shall assure that all supervised employee alarm systems are tested at least annually for reliability and adequacy.
(5) The employer shall assure that servicing, maintenance and testing of employee alarms are performed by persons trained in the designed operation and functions necessary for reliable and safe operations of the system.
(e) Manual Operation.
(1) The employer shall assure that manually operated actuation devices for use in conjunction with employee alarms are unobstructed, conspicuous and readily accessible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 165 (section 6184) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
2. Editorial correction of subsections (b)(1) and (e)(1) filed 11-9-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Editorial correction of subsections (b) and (d) filed 6-30-82 (Register 82, No. 27).
4. Change without regulatory effect deleting title 24 reference (Register 87, No. 49).
5. Editorial correction of subsection (e)(1) deleting obsolete title 24 reference (Register 88, No. 9).
6. Amendment of subsection (a)(5) filed 5-17-93; operative 6-16-93 (Register 93, No. 21).
7. Amendment of section and Note filed 8-25-2005; operative 9-24-2005 (Register 2005, No. 34).
Subchapter 8. Safety Rules for Gold Dredges
HISTORY

1. Repealer of Subchapter 8 ( §§ 4300, 4301, 4305, 4310, 4318, 4323-4330, 4335-4342, 4344-4351) filed 9-14-71; effective thirtieth day thereafter (Register 71, No. 38).

LAUNDRY SAFETY ORDERS
(Originally Printed 4-20-45)
HISTORY

1. Repeal of this set of order containing §§ 4599 to 4606, inclusive, was filed 12-19-49. The orders were superseded by General Industry Safety Orders. See Group 6, Article 67, General Industry Safety Orders. 
Subchapter 9. Lamp Scaffold and Parallel Safety Orders*
HISTORY

1. Repealer of Subchapter 9 filed 7-18-66; effective thirtieth day thereafter (Register 66, No. 23). For former Subchapter 9, see Register 5 and 55, No. 13. 

* See Subchapter 7, General Industry Safety Orders, Article 3, Section 3247, Lamp Scaffold and Parallels. 
Subchapter 10. Liquefied Petroleum Gases Safety Orders

(Originally Printed 4-20-45. Revision Filed 2-15-46)
HISTORY

1. Repeal of this set of orders, containing Secs. 4900 through 5041, was filed 11-10-58, effective the thirtieth day thereafter. Refer to Subchapter 1, Unfired Pressure Vessel Safety Orders. (For history of former Sections 4900 through 5041, see Register No. 3, Registers 13 No. 3, 19 No. 1, and 55 No. 13.) 
Subchapter 11. Logging and Sawmill Safety Orders
Ed. Note Subchapter 11. Logging and Sawmill Safety Orders, Ed. renumbered as Subchapter 13 (beginning with Section 6250).

MECHANICAL POWER TRANSMISSION SAFETY ORDERS (Originally Printed 4-20-45)
HISTORY

1. Repeal of this set of orders, containing §§ 5500 to 5585, inclusive, was filed 12-19-49. The orders were superseded by General Industry Safety Orders. See Group 6, General Industry Safety Orders.
Subchapter 12. Mine Safety Orders
HISTORY

1. Repealer of Subchapter 12 (Articles 1-28, 34 §§ 5900 through 6126, no consecutive) filed 5-8-72 as an emergency; designated effective 5-15-72. Certificate of Compliance included. For prior history, see Register 58, No. 18 and Register 71, No. 17.
Subchapter 13. Logging and Sawmill Safety Orders
Article 1. Introduction
§6248. Introduction.
Note     •     History

Title. These Orders shall be known as the LOGGING AND SAWMILL SAFETY ORDERS. 
Application. These Orders establish minimum standards and apply to all places of employment in California where logging and sawmill operations as defined below are conducted. 

Exception: Marine Terminal Operations. 
Logging Operations. Cultivation and harvesting of timber, including access, falling and bucking, yarding, loading, and transportation of logs.
Sawmill Operations. Lumber, plywood, shake, shingle, and lath manufacture. 
Note: Equipment and processes not covered by these orders may be governed by other applicable safety orders. 
Approvals. 
(a) Approvals. 
(1) When the term `approved' is used in these Orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled or certified as conforming to applicable governmental standards, nationally recognized criteria, or applicable scientific principles. The approval, listing, labeling, or certification of conformity shall be based upon an evaluation performed by a person, firm or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation. 

Exception: Where written approval by the Division is required in these Orders.
(2) The term “approved” shall also refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to Nationally Recognized Testing Laboratory (NRTL) approval. 
(b) The Division may require proof in addition to that under (a) that the products, materials, devices, systems, or installations will provide reasonable safety. 
(c) When these orders require an approval of products, materials, devices, systems, or installations and that approval is not available under (a), it will be necessary to submit to the Division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The Division may then approve or disapprove the product, material, device, system, or installation as submitted or under specified conditions. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (a) filed 2-15-90; operative 3-17-90 (Register 90, No. 8). For prior history, see Register 83, No. 48.
§6249. Definitions and Glossary.
Note     •     History

Adequate. Sufficient to reduce the risk to an acceptable minimum. 
Arch. Piece of equipment attached to the rear of a tractor and used for raising one end of the logs to facilitate skidding. 
Back Cut or Felling Cut. Final cut in a felling operation, made on the opposite side of the tree from the undercut. 
Ball Hooting. Rolling or skidding loose logs down a hillside. 
Bell or Cup Hook with Spike. Hook consisting of a cylindrical cup with a spike projecting from its center. 
Bight. Area within the loop of a rope, its ends made fast; or the area within the angle formed by a line running through a block. 
Binder. Wrapper tightening device. 
Bolt. Short section of log or timber, rough sawn to length, from which shingles, laths, etc., are cut. 
Brow Log. Log placed parallel to any roadway at a landing or dump to protect vehicles during loading or unloading. 
Buck. Process of severing a tree into sections (logs or bolts).
Bucker. Worker who saws logs into desired lengths. 
Buckle Guyline. Wire rope used to stiffen or support a tree, pole, or structure between the top guys and the base. 
Bunk. Cross support for logs on a logging car or truck. 
Butt Hook. Sleeve type hook attached to the butt rigging. Also the hook on the end of the tractor winch line. 
Cant. Log slabbed on one or more sides. 
Capped Fuse. Piece of fuse to which a blasting cap has been crimped.
Carriage (Log Carriage). Framework mounted on wheels which runs on tracks or in grooves in a direction parallel to the face of the saw, and which contains apparatus to hold a log securely and advance it towards the saw. 
Chaser. Member of the yarding crew who unhooks the logs at the landing. 
Chipper (Wood). Machine which cuts waste lumber or logs into uniform sized chips. 
Chock, Bunk Block or Cheese Block. Wedge that prevents logs from rolling off the bunks. 
Choker. Wire rope with special attachments that is put around a log near its end to facilitate hauling or lifting. 
Chunking Out. Clearing material from a specific area. 
Cold Deck. Any pile of logs which is stored and left for future removal or use. 
Cold Shut. Link for permanently joining two chains closed cold with a hammer and not welded. 
Cross Haul, or Parbuckling. Rolling logs by means of rope or a power device. 
Crotch Lines. Type of two-leg sling forming an inverted “V” or crotch, with each loose end terminating in a load-attachment fitting, such as load hook, clevis, shackle, etc., for attaching the load to a hoisting line.
Crummy. Vehicle used to transport employees to and from a job site.
D or Strap Socket. Socket with a closed loop for attaching to the end of a line or block. 
Dead Man. Buried log or other object used as an anchor. 
Debark. Removing bark from trees or sections of trees, generally by mechanical means rather than manual peeling. 
Division. Unless otherwise designated in this subchapter, the phrase “division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety. Reference to the former Division of Industrial Safety in these orders is meant to refer to its successor, the Division of Occupational Safety and Health or any subsequent successor organization. 
Donkey (Yarder). Steam, diesel, or gasoline engine, equipped with drum and cable for moving or transporting logs, as in loading or yarding. 
Equivalent. Alternative design or features which will provide an equal degree or factor of safety. 
Fair-lead. Device used to guide a rope coming from any direction to a drum or sheave without fouling. 
Guarded. Protected by a cover, shield, rail, or other device, or by location, to reduce the probability of injury. 
Gut Wrapper. Intermediate wrapper for an individual tier of logs. 
Guylines. Ropes used to stay or support spar trees, booms, etc.
Head Tree. Tree where loading and/or yarding takes place. 
Heel Block. Block in the heel of a boom. 
Heel Boom. Type of loading in which one end of the log is pulled up against the boom. 
Hog. Machine for cutting or grinding slabs and refuse from the mill into coarse chips. 
Hook Tender. Person who supervises the moving of logs from the woods to the place of loading. 
Hot Deck. Deck from which logs are constantly being moved. 
Husk. Head saw framework on a mill. 
Hydraulic Excavator Type, Load Loader. Unit converted usually from a hydraulic backhoe having a grapple instead of a bucket, and using vertical cycling of the boom and stick to elevate and lower the logs. 
Hydraulic Tree Jack. A mechanical device powered by internal pressure used to control the direction in which a tree is to be felled. 
Jaggers. Any projecting wires of a cable. 
Jill-Poke. A spear-like object. 
Jill-Pole. Pivoted pole used as a lever to move logs from the car into the pond. 
Kicker. Mechanical device used to move logs or material. 
Knob. Metal ferrule attached to the end of a line. 
Landing. Any place where logs are laid after being yarded, awaiting loading. 
Landing Chute or Landing Slip. The head of the skid trail or yarder road where the logs are temporarily placed before handling, loading and hauling.
Lang Lay Rope. Wire rope in which the wires in the strands and the strands in the rope are laid in the same direction. 
Leaner. Live or dead leaning trees. 
Lift Tree. Tree or trees between the head spar and tail anchor upon which the skyline is hung but not anchored. 
Loading Boom. Any structure projecting from a pivot point to guide a log when it is lifted. 
Lodged Tree. A tree leaning against another tree or object which prevents its falling to the ground. 
Log Haul. Conveyer for transferring the logs into the mill. 
Log Stacker. A mobile machine mounted on a wheeled or tracked chassis with a frontally mounted grapple, tusk or forklift device to handle logs. 
Logging Machines. Mobile yarders, including donkeys, A-frames, towers, masts, and converted cranes used for cable logging. 
Metal Spar. Portable steel mast used to support the sheaves and/or blocks and lines for cable logging systems. 
Molle or Molly Hogan. Piece of wire strand or rope used as a temporary means of fastening together the spliced loop ends of two pieces of rope; or a piece of wire strand used in place of a cotter pin, shackle pin, etc. 
Nationally Recognized Testing Laboratory (NRTL). A laboratory which has been recognized by the Department of Labor, Occupational Safety and Health Administration (OSHA) as meeting the requirements of 29 CFR 1910.7. 
Operation, Show, Woods Layout, or Side. Any place where logging is being done. 
Pass Line. Small line threaded through a block at the top of a spar tree to assist the high climber. 
Peeling Bar. Tool for removing bark from trees or logs. 
Pike Pole. Long pole that ends in a sharp steel spike or point.
Pitman Rod. Connecting rod. 
Reach. Rod or beam connecting a trailer to a logging truck. 
Road (Cable or Yarding). The road along which logs are yarded to the landing with one setting of the rigging. 
Rock Saw. Small coarse-toothed saw carried on an adjustable arm in line with the main circular mill saw. 
Rolled Eyes. Rolling two halves of a line back on each other to form an eye. 
Root Wad. Ball of roots which extends above ground level when a tree is up-rooted. 
Rub Tree. See Siwash Tree. 
Running Lines. Any moving wire rope, distinguished from a stationary wire rope such as a guyline. 
Safety Factor. Calculated reduction factor which may be applied to laboratory test values to obtain safe working stresses. 
Sail Guy. Guyline which holds the outer end of a boom. 
Scaler. Worker who calculates the footage of logs. 
Shall. Mandatory requirement. 
Shoe. See Tree Jack. 
Shotgun Feed. Piston-fed carriage drive. 
Shovel-Type Loader. Boom-type mobile crane or shovel using cable and tongs, hooks or grapple as the hoisting and lowering means with the boom angle remaining fairly constant. 
Show. See Operations. 
Side. Unit of a logging operation, including workers and equipment, that is sufficient to fall, buck, and load logs from an area. 
Side Winder. Piece of brush or limb thrown up by a cable or a tractor; tree knocked down by another in falling. 
Siwash Tree. Tree used to deflect a line. 
Skidder. A machine used to skid logs. 
Skidding. Yarding bolts, logs, or trees by pulling or towing across the terrain. 
Skyline. A wire rope which serves as a track and support for a carriage to which logs are attached. See Appendix for various skyline systems. 
Slack Line. Form of skyline that is spooled on the drum of a yarder and may be raised or lowered. 
Slope. Increase in height over a horizontal distance, measured in percent. (An increase of one vertical foot over a horizontal distance of five feet is expressed as a 20% slope.) 
Snag. Any dead standing tree or portion thereof. 
Snubbing. Retarding or controlling the movement of logs or machines by means of looping the rope around a stationary object. 
Spar Tree. Tree from which the top and limbs have been cut and used to support the blocks and ropes for various systems of logging. 
Spault. Waste material from the first cut and piece remaining after the last cut from a shingle block. 
Spring Board. Board shod with iron at the heel and used by fallers to stand on when they must work above ground level. 
Spring Pole. Section of tree, sapling, limb, etc. which is, by virtue of its arrangement, in relation to other materials, under bending stress. 
Spud, Barking Bar. Tool for removing bark from trees or logs. 
Squirrel. Weight used to swing a boom when the power unit does not have enough drums to do it mechanically. 
Stickers. Strips placed between layers of lumber when piling to keep the layers separated for airing and drying; also used for stabilizing loads during transportation. 
Strap. Any short piece of line used for securing or holding together equipment or parts of equipment or for loading. 
Straw Line. Small line used for miscellaneous purposes. 
Swamping. Clearing brush and other material around or along a specified place. 
Tail Hold. Any anchor used for making fast any line. 
Telltale. Device that serves as a warning for overhead objects.
Tight Line. Condition in which force is exerted on both mainline and haulback at the same time. 
Tong Line Block. Block hung in a boom through which the tong line operates. 
Tongs. Grapples used to lift logs. 
Topping. Cutting off the top section of a tree preparatory to rigging the tree. 
Tractor. Track-laying or rubber-tired machine used to skid logs or build roads. 
Tree Harvester. Machine with tracks or tires and having a shear and grip head that cuts and maneuvers trees and may also delimb and cut them into selected lengths. 
Tree Jack. Saddle with set of grooved rollers set between side plates, secured to a tree as a guide for lines. 
Tree Plates. Steel protectors spiked around a tree to prevent the guys from cutting into the tree. 
Tree Shoe. Saddle with a solid curved and grooved seat between side plates, secured to a tree as a support for lines. 
Turn. Single log or group of logs being yarded as a unit. 
Twister. A line (usually small diameter wire rope “haywire”) that provides additional support for a tailhold stump, guyline stump, or tree used for anchorage in cable logging systems. This is done by connecting the tailhold tree or tree to another stump or tree opposite by wrapping the two with a line. This line is then tightened by placing a piece of large-diameter limb between the wrappings and twisting them together.
Undercut. Notch cut in the tree to guide the tree in falling. 
V Lead. Angle of the mainline between the machine drum, high-lead block, and swing or yarding road that is less than 90 degrees. 
Widow Maker. Overhanging limb or section of tree which could become dislodged and drop to the ground. (See also lodged tree.) 
Windfall. Tree felled by wind or other natural cause. 
Work Area. Any area where job assignments are performed. 
Wrapper. Chain, cable, strap, etc., used for binding loads of logs, poles or lumber. 
Yarding. Collecting logs for one central loading or shipping point. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
2. Amendment filed 2-15-90; operative 2-15-90 (Register 90, No. 8). 
3. Amendment filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
Article 1.5. Accident Prevention and First Aid
§6250. Accident Prevention Program.
Note     •     History

Note: See Section 3203 of the General Industry Safety Orders, Title 8, California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6251. First Aid.
Note     •     History

(a) First-aid material shall be provided and personnel made available for care of injured employees. Means of communication such as an operable two-way radio, phone, or radio/phone shall be provided and the names, addresses, and the telephone numbers of physicians, hospitals, and ambulances to be called shall be made readily available at all operations. Citizens' band radios are permitted only as a secondary means of communication.
(b) All necessary first-aid materials shall be provided at any active camp, mill, log landing, or other active operation and shall consist in part of a rigid stretcher, 2 acceptable blankets (1 blanket for warmth and 1 waterproof blanket), and a first-aid kit. The blankets and the contents of the first-aid kit shall be kept in dustproof and moisture proof containers.
(c) Crew vehicles shall carry a first-aid kit. First-aid kits shall be kept fully supplied.
(d) First-aid and cardiopulmonary resuscitation (CPR) training shall be provided as follows:
(1) At fixed sawmill facilities, the employer shall maintain personnel certified to provide first aid and CPR, so that these services will be readily available in the event of a medical emergency. Those required to be certified shall include those persons in charge of the work and other employees as are necessary to ensure timely first aid/CPR response. Standards for first aid and CPR training shall follow the principles of the American Heart Association, the American Red Cross, or other nationally recognized agency.
(2) At logging operations and portable sawmill operations, employers shall arrange to have each employee trained so they have a valid first-aid and CPR certificate issued by the American Red Cross, the American Heart Association, or other nationally recognized agency. Provided a person or persons having a valid first aid and CPR certificate are readily accessible at the work site to render first aid, new employees shall receive the required training within six months from the date of hire.

Exception: Log truck drivers are not required to receive first-aid and CPR training if they are not involved with falling, yarding, skidding, or processing logs.
(e) Adequate transportation to medical care shall be arranged and made available for injured persons at all camps, mills, log landings, or other operations. Such transportation shall be of a nature to render comfort to the injured. Employees requiring the use of a stretcher or whose injuries are of an otherwise serious nature shall be accompanied to medical attention by a competent person in addition to the vehicle driver.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-21-80; effective thirtieth day thereafter (Register 80, No. 12).
2. Amendment filed 10-10-80; effective thirtieth day thereafter (Register 80, No. 41).
3. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
4. Amendment filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
5. Amendment of subsections (d) and (d)(1) filed 8-9-2005; operative 9-8-2005 (Register 2005, No. 32).
Article 2. Logging Operations--General
§6252. Planning.
Note     •     History

Plans shall be made in advance for the safety of workers, including provisions for the emergency rescue in logging operations, and persons in charge shall make sure that the plans are followed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6253. Weather Conditions.
Note

No work should be started or continued in timbered areas during periods of high winds, extremely heavy fogs, and other hazardous weather conditions. When vision is impaired by darkness, adequate lighting shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6254. Footgear.
Note

Calked boots or lug-soled boots shall be worn when their use is warranted.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6255. Head Protection.
Note     •     History

Note: See Section 3381, General Industry Safety Orders, Title 8, California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6256. Slippery Surfaces.
Note

Safety tread or other nonslip material shall be installed and maintained on all steel decks of machines used by employees in the performance of their duties.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6257. Embedded Objects.
Note     •     History

Embedded metal, rock, ceramic, glass, and all other foreign objects, which can damage head rig saws, shall be located and removed from logs prior to milling.

Exception: When off bearers are protected from any hazard of injury if the head rig saw and/or object explodes, shatters or breaks upon contact, location and removal of such objects shall not be required.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment filed 6-12-90; operative 7-12-90 (Register 90, No. 32).
§6258. Checking Systems.
Note

All persons shall work within the vocal range of other employees or a procedure shall be established for periodically checking their location and welfare. All employees shall be accounted for at the end of each workday.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6259. Trees and Snags.
Note

(a) All trees and snags which appear to be dangerous to any operation shall be felled. If hand falling presents extreme hazards, other methods shall be used.
(b) Snags shall be carefully checked for dangerous bark in preparation for falling. Accessible loose bark shall be removed before falling.
(c) Whenever trees or snags are equipment-felled, they should be pulled by a line or pushed by a boom of sufficient length to keep the equipment in the clear, unless the equipment is specifically designed for this purpose.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6260. Riding Rigging Equipment.
Note     •     History

Employees are prohibited from riding logs and any rigging or rigging equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6261. Equipment.
Note     •     History

All rigging, prime movers, winches, and all other equipment essential to logging operations shall be inspected each day before starting work by a person designated by the employer who is qualified by experience and training to perform this inspection.
All necessary repairs, lubrication, adjustments, or replacements shall be made before the equipment is used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6262. Fuels, Oil and Other Flammable Liquids.
Note     •     History

(a) Flammable liquids shall be stored and transported in closed containers that are Underwriters Laboratories Inc. (UL) listed or classified, Factory Mutual (FM) approved, or other approved flammable liquid containers properly marked.
(b) An approved pump designed for the fuel to be used shall be provided to service the fuel tanks of all equipment, unless fueling is done by gravity flow with a metal-to-metal contact between the container and the fuel tank. When a hose is used, it shall be of a type designed to handle fuels.
(c) No gasoline or LPG equipment shall be fueled when the engine is running, except when refueling by a vacuum refueling system in connection with the engine.
(d) Open lights, open flames, sparking or arcing equipment, except that which is an integral part of automotive equipment, shall not be used near fuel storage tanks or internal-combustion engine equipment while they are being filled or fueled.
(e) Smoking shall not be permitted on any vehicle carrying flammable liquids, unless such liquids are in the fuel tank or a safety container outside the passenger compartment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6263. Hand Tools.
Note     •     History

(a) The employers shall be responsible for the safe condition of their tools. All tools shall be restricted to the use for which they are intended, and should be used only by employees who are required and qualified to use such tools.
(b) Periodic inspections shall be made to ensure all tools are in safe condition. Tools with defective handles shall be immediately repaired or removed from the job.
(c) Battered, laminated, or crystallized iron wedges, chisels, punches, hammers, and similar equipment, mushroomed more than 1/4-inch from the body of the tool, shall be replaced or properly repaired.
(d) Exceptionally hard hammers, wedges, and similar tools shall not be used.
(e) Only one end of a peeling bar shall have a cutting edge. The other end shall be cut off square with the length of the bar or have a rounded end.
(f) Cutting torch, impact, or hydraulic cable cutters shall be provided and used for cutting cables. Soft hammers and wire axes may be used in emergencies.
(g) Marlinspikes or needles in good condition and large enough for the size of the line being spliced shall be used.
(h) Cutting tools shall be kept sharp and properly shaped.
(i) Hand tools shall be sheathed or boxed if transported with passengers in the passenger compartment of a vehicle. If not contained in a box, the sheathed tools shall be fastened to the vehicle.
(j) Proper storage facilities shall be provided for hand tools.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6264. Mobile Log Handling Equipment.
Note

(a) Front-end type loaders shall be provided with an adequately powered log gripping or retaining device.
(b) The log handling assembly shall be capable of being tilted, or kicker-type devices shall be provided to permit unloading of logs.
(c) A canopy or cab shall be provided on the loader to protect the operator.
(d) A knob, button, or similar device shall be securely attached to the tines or clamps for trailer handling; or the ends of the tines may be shaped to accommodate the trailer-lifting attachment without slippage.
(e) Adequate lighting shall be provided and maintained when equipment is used at night.
(f) Signaling devices or communication systems shall be provided and maintained.
(g) Machines used for hoisting, unloading, or lowering logs shall be equipped with brakes or other means that are capable of controlling or holding maximum load.
(h) Mufflers provided by the manufacturer, or their equivalent, shall be in place at all times when machines are in operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
Article 3. Logging Roads and Bridges
§6265. Road Construction and Maintenance.
Note     •     History

(a) Conditions such as deep holes, large rocks, logs, or other similar hazards which prevent the safe operation of equipment, shall be immediately corrected. Obviously dangerous trees and snags which may fall into the road or on passing equipment shall be felled.
(b) Single lane roads with two-way traffic shall be provided with turnouts at points not to exceed 1/2 mile in distance. Adequate side clearance shall be maintained along all truck roads. Railroad tracks and other hazardous crossings shall be plainly posted.
(c) Brush or other obstructions which may block the driver's view at intersections or on extremely sharp curves shall be cleared.
(d) Logging roads shall be watered or treated with road compaction agents to maintain a packed surface with dust reduced to a minimum. 
(e) All traffic shall keep to the right-hand side of two-lane roads, except where the road is plainly and adequately posted for left-hand traveling.
(f) Where road conditions due to rain, snow, ice or fog, are such as to fail to afford adequate braking traction, operations shall cease or auxiliary means of safely controlling the vehicle shall be used.
(g) When doing road building, tractor operators shall not be permitted to work alone if they are not in frequent contact with another person who could assist them in case of emergency.
(h) No equipment, either loaded or empty, shall be swung over workers, or over operating equipment other than the equipment being loaded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6266. Bridge Construction and Maintenance.
Note     •     History

(a) Bridges and their approaches shall be designed, constructed, and maintained to support the maximum anticipated load.
(b) All bridges and trestles shall be equipped with 8-inch by 8-inch or equivalent fenders, continuous lengthwise along both edges of the bridge deck. Center shears are permissible on temporary bridges in lieu of outside fenders.
(c) Railroad trestles and bridges shall be decked over if converted for motor transport.
(d) Conditions such as broken or missing decking, planks or other similar hazards which prevent the safe passage of equipment shall be immediately corrected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and new subsection (d) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6267. Illumination.
Note

Adequate lighting shall be provided if road construction or bridge building and chunking-out are carried on after dark. Employees shall not work alone on any of this work after dark.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
Article 4. Signals and Communication Systems
§6270. Signal Systems.
Note     •     History

General.
(a) Standard yarding system whistle signals or an approved alternate communication system shall be used at cable logging operations.
(b) When whistles are used, whistle signals contained in Appendix A shall be used.
(c) Additional signals may be adopted for an unusual or new situation not covered in the standard signals, and shall be used only for that specific situation.
(d) All employees shall be informed of the new signals.
(e) The list of standard signals and alternate signal system in use shall be available in the yarder cab and shall be posted or made available to the crews.
(f) All signals shall be thoroughly understood by the crew.
(g) Each unit of the signal or control system in use shall be tested daily before operations begin.
(h) Audible signals used for test purposes shall not include signals used for movement of lines or materials.
(i) Machine operators shall not move any logs, loads, or rigging unless:
(1) The signal received is clear and distinct; if in doubt, the operator shall repeat the signal as understood and wait for confirmation.
(2) All crew members are in the clear and alert to signals at all times.
(j) A whistle, horn, or other signaling device, clearly audible and distinguishable to all persons in the affected area, shall be installed and used on all machines operating as yarders, swings, loaders, or tree pullers.
(k) When radio transmission or other means of signal control is used, it shall activate the audible signaling device at the machine. Audible signals are not necessary on grapple or other yarding systems in which employees are not exposed to logs or rigging movement.
(l) Only one member of any crew shall give signals where chokers are being set. Any person is authorized to give a stop signal when a worker is in danger or an emergency condition is apparent.
(m) Hand signals are permitted only when in plain sight of and within 300 feet of the operator.
(n) Hand signals may be used at any time as an emergency stop signal.
(o) Throwing of any type of material as a signal is strictly prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of subsection (e) and repealer of subsection (p) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6271. Electrical Signal Systems.
Note

(a) When an electrical signal system is used, all wire and attachments shall be weatherproof.
(b) Electrical signal systems shall be installed and adjusted to protect against accidental signaling, and shall be maintained in good operating condition at all times.
(c) Electrical signal bugs shall be designed so that they cannot be accidentally tripped.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6272. Radio Signal Systems.
Note     •     History

When space transmission of radio signals, including voice, is used under and in accord with authorization granted by the Federal Communications Commission to initiate any whistle, horn, bell, or other audible signaling device or voice conveyance; or when such transmission of radio signals, including voice, is used to activate or control any machine, material handling device, or other equipment hazardous to workers; the following shall apply:
(a) Single tone frequency shall not be used on radio equipment designed to initiate a whistle or other audible signal, or to activate or control any machine, material-handling device, or other device hazardous to workers.
(b) All adjustment, repair, or alteration of radio signaling devices shall be done only by or under the immediate supervision and responsibility of a person holding a first or second class commercial radio operator's license, either radio telephone or radio telegraph, issued by the Federal Communications Commission. All replacements parts shall be of such quality as to cause the unit to meet the minimum performance specifications outlined in Appendix A, Radio Control Signaling Devices.
(c) Equipment or machines being controlled by radio control devices shall be designed and built to fail/safe or stop in case of failure of the radio control device.
(d) When interference, overlap, fadeout, or blackout of radio signals is encountered, use of the radio control device shall be immediately discontinued and not resumed until the source of trouble has been detected and corrected.
(e) Two transmitters shall be in the visual or vocal vicinity of the rigging crew at all times. Spare transmitters shall be guarded against accidental activation.
(f) Two or more receivers on the same radio frequency with the same tone coding frequency is prohibited.

Exception: A second receiver may be used for monitoring provided it does not actuate or interfere with the primary receiver.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of initial paragraph only filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. New exception to subsection (m) filed 5-1-97; operative 5-31-97 (Register 97, No. 18).
3. Repealer of subsections (a)-(g), subsection relettering, and amendment of newly designated subsections (b) and (d) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6273. Citizen Band Radios.
Note

Citizen band radios shall not be used to activate any signal or to control any machine, material-handling device, or other equipment hazardous to workers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 5. Falling and Bucking
§6275. Falling Trees.
Note     •     History

(a) While falling, fallers shall be so located that they will not endanger other employees. In steep country, one set of fallers shall not work immediately up the slope from other fallers.
(b) Fallers and buckers shall not work near any running lines, guylines, or other units of the operation so that they could endanger themselves or other employees.
(c) The head faller shall keep informed of the location of buckers or other employees placed or passing in the vicinity of trees being felled. Fallers shall be within visible or audible signaling distance of another worker at all times.
(d) Special precautions shall be taken to prevent felling trees into power lines.
(e) After a determination by a qualified person(s) (e.g. tree faller) as to the safest tree dislodgment procedure, lodged trees shall be dislodged at the first opportunity by one of the following methods:
(1) Pulling or pushing to the ground by mechanical equipment in accordance with the requirements in Sections 6259 and 6286, or;
(2) Falling another tree onto the lodged tree by a qualified person. Multiple sequential tree falling (domino tree falling) is prohibited.
(f) When a lodged tree is left unattended, a qualified person shall flag the area in proximity to the tree(s) (i.e. hazardous area) with warning tape or ribbon in a manner which will ensure the lodged tree and the hazardous area are readily identifiable.
Note: For the purposes of subsection (f) the hazardous area refers to the area where an employee could be struck by a lodged tree which becomes dislodged.
(g) Employees shall be prohibited from working under lodged trees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of subsection (e) and new subsections (e)(1)-(g) filed 5-1-97; operative 5-31-97 (Register 97, No. 18).
§6276. Traffic.
Note

An employee shall be stationed to direct traffic when there is a probability of danger in falling a tree adjacent to a railroad, cat road, motor road, or trail. Warning signs shall be posted on motor roads in areas of cutting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6277. Spring Boards and Chopping Platforms.
Note     •     History

(a) Spring boards and chopping platforms shall be designed and maintained to withstand anticipated loading.
(b) Springboard iron shall be well lipped and firmly attached with bolts or equivalent means of attachment.
(c) Staging boards shall be tested before using on a tree.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6278. Escape Paths.
Note     •     History

(a) Adjacent material shall be cleared from around the tree to be felled so there is sufficient room to use saws and axes and to permit a quick getaway.
(b) A way of escape shall be determined, arranged and kept clear before the tree is felled. The point of escape should be well back and to one side. Workers shall not stand beside or near the stump as the tree falls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6279. Falling Cuts.
Note

(a) Undercuts shall be of a size to guide the trees in the intended direction and minimize the possibility of splitting.
(b) In trees of sound wood and no perceptible lean, the undercut shall be no less than 1/4 the diameter of the tree and the face opening shall be no less than 1/5 the diameter of the tree.
(c) The backcut shall always be started at or above the level of the horizontal cut of the undercut.
(d) Trees shall not be left standing after the undercut is made under normal conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6280. Warning Cry.
Note     •     History

(a) Fallers shall give timely audible warning to buckers and other persons in the vicinity of a tree to be felled, indicating the direction of fall and taking notice that such persons not only hear the warning cry and are out of reach of the tree, but also in the clear of logs, fallen trees, snags, or other trees which may be struck by the falling tree. Fallers shall stop saw motors when giving such warning.
(b) Employees shall not approach a faller's work area until the faller has acknowledged the signal to approach.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6281. Bucking.
Note     •     History

(a) All logs which may roll shall be propped, blocked, or bucked from the uphill side.
(b) Wedges shall be driven with a tool designed for hammering. They shall not be driven with the side of a doublebitted axe.
(c) If it is obviously hazardous to cut a log clear through, the log shall remain uncut, marked conspicuously, and the supervisor notified.
(d) Trees yarded for bucking shall be placed to minimize hazard to employees.
(e) Spring poles, limbs and trees under stress shall be cut so that an employee is clear when the tension is released.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of subsection (e) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6282. Ripping Logs.
Note     •     History

(a) Logs shall be securely chocked or strapped before they are ripped.
(b) If workers walk the log to rip it, sufficient holding wood shall be left or other positive means to prevent splitting before they dismount to complete the cut.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6283. Portable Chain Saw Operations.
Note     •     History

(a) Employees, such as fallers, buckers, limbers, choppers, landing chasers, and others performing similar operations, who operate chain saws, shall use leg protection such as chaps, pads, inserts, or other protective garments or devices that are labeled as meeting the specifications of ASTM F 1897-98, Standard Specification for Leg Protection for Chain Saw Users.

Exceptions: 1) High climbers described in Section 6287.  2) Employees, with employer's concurrence, who use a chain saw incidental to their normal assigned tasks.
(b) Each chain saw placed in service on or after May 5, 1995 shall be equipped with a chain brake and shall otherwise be provided with a label or plate stating that it meets the requirements of the ANSI B175.1-1991 “Safety Requirements for Gasoline-Powered Chain Saws”. Chain saws placed in service before May 5, 1995 shall be equipped with a protective device that minimizes chain-saw kickback. No chain-saw kickback device shall be removed or otherwise disabled.
(c) Chain saws shall be stopped and employees shall use the escape path when the tree starts to fall.
(d) All chain saws shall be equipped with a control that when released returns the saw to idling speed.
(e) Power saw motors shall be stopped when carried for a distance greater than from tree to tree, not to exceed 100 feet, or in hazardous conditions such as slippery surfaces or heavy underbrush. The saw shall be at idle speed when carried short distances.
(f) Exhaust manifolds on gasoline motors shall be constructed and maintained so that exhaust fumes are directed away from the operator.
(g) Power saws shall be equipped with a clutch so adjusted that at idling speed it will not engage the chain drive.
(h) Loose material that may catch the saw shall be removed.
(i) All power saws shall be equipped with a positive off-and-on switch.
(j) Power cables on electric units shall be properly insulated. Care shall be taken to see that cables are in the clear at all times.
(k) Electric saw and generator units shall be bonded together and grounded.
(l) The cable on electric units shall be disconnected while moving the saw through brush and thickets, or where the character of the ground obstructs the free movement of the fallers.
(m) Every employer shall instruct and enforce a safe practice procedure including the rules listed below:
(1) Inspect the saw daily to assure that all handles and guards are in place and tight, all controls function properly, and the muffler is operative.
(2) Properly instruct operators on safe operation and adjustment. 
(3) Always keep a firm grip on the saw.
(4) Fuel the saw only in conditions not conducive to fire hazards. 
(5) Start the saw at least 10 feet away from fueling area.
(6) Start the saw only when firmly supported.
(7) Do not use chain saw or other engine fuels for starting fires or for use as a cleaning solvent.

Exception: When approved by the fire authority, diesel fuel may be used to start warming fires provided the employer assures that in the particular situation it does not create a hazard for employees.
(8) Use proper methods to avoid kickbacks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading, subsections (a) and (l) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of subsection (a) filed 4-11-94; operative 5-11-94 (Register 94, No. 15).
3. New subsection (b) and subsection relettering filed 5-5-95; operative 5-5-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 18).
4. Amendment of subsection (m)(7) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
5. Amendment of subsection (a) filed 8-2-2004; operative 9-1-2004 (Register 2004, No. 32).
§6284. Mechanical Falling Devices.
Note

Mechanical falling devices, such as tree shears, feller-bunchers, and treepullers, shall be provided with canopies which comply with S.A.E. J-231 to protect the operator and with devices to safely control the descent of the tree being felled to protect the operator and nearby workers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6285. Tree Jacking.
Note

(a) Hydraulic tree jacks purchased after January 1, 1980, shall be equipped with:
(1) An operable load check valve, velocity fuse or equivalent device. When hoses are used with a jack, the device shall be installed between the ram and the first piece of hose out from the jack.
(2) An operable pressure gauge.
(b) If two or more tree jacks are used and operated with one pump, a one way flow valve shall be used to isolate the hydraulic fluid from one jack to another jack, should failure occur in the system.
(c) Hydraulic tree jacks shall have enough lift power and be of sufficient in number for the trees to be jacked and felled.
(d) A metal plate shall be placed between the ram and the saw cuts when using a hydraulic jack. The metal plate or pad shall be of sufficient area and have a surface design to prevent the plate or pad from sinking into the wood or slipping.
(e) If the faller is pumping the jack at the base of the tree, wedges shall be used as a follow-up method while using tree jacks. The wedges shall be progressively moved in as the tree is jacked.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6286. Tree Pulling.
Note

(a) Positive communications shall be maintained at all times between the tree pulling machine and the faller while tree pulling. Citizens band radios are not considered positive communications.
(b) An audible signal shall be blown when the initial pull is made on the tree and the line is tightened.
(c) A choker, choker bell, or a line with a sleeve shackle shall be used as the means of attachment around the tree when tree pulling. The bight on the line shall be only that necessary to hold the choker or line around the tree.
(d) The tree pulling machine shall be equipped with a torque converter, fluid coupler, or an equivalent device to insure a steady, even pull on the line attached around the tree.
(e) The tree pulling line shall have as straight and direct path from the machine to the tree as possible. Physical obstructions, which prevent a steady even pull on the tree pulling line, shall be removed or the line shall be rerouted.
(f) The use of siwashing, in lieu of using a block and strap, for the purpose of changing the tree pulling lead, is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 6. Climbing and Preparation of Spar Trees
§6287. High Climber.
Note     •     History

(a) Spar trees shall not be topped during windy weather.
(b) The high climber shall be an experienced logger and have a thorough knowledge of all phases of the work.
(c) The climber shall be equipped with a safety belt, steel spurs (long enough to hold in any tree on which they are used), and a steel-cored, hemp climbing rope or 3/16-inch high-test chain. The equipment shall be kept in good condition and tools used by the climber shall be securely fastened to the belt or person.
(d) The climber's rope shall be long enough to encircle the tree and be secured before the climber leaves the ground. Snaps shall not be used on the climber's rope, unless a secondary safety device between the belt and snap is used.
(e) An extra set of climbing equipment shall be available.
(f) While the climber is working in the tree, employees shall keep a safe distance from the tree. The climber shall give warning if a tool, piece of equipment, or any material is in danger of dropping.
(g) Running lines to the tree shall not be moved while the climber is working in the tree, except such pulls as the climber directs.
(h) An experienced employee, stationed out of danger of falling objects, shall be assigned to transmit the climber's signals. Neither this employee nor the machine operator shall be otherwise engaged while the climber is using the pass line.
(i) An employee shall be stationed at the drum to insure even spooling when the climber is riding the pass line.
(j) When the topping of trees is ahead of operations, another employee shall be assigned to stay in sight of the climber at all times.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6288. Pass Line and Equipment.
Note

(a) Spar trees shall be equipped with pass lines no less than 3/8-inch or more than 9/16-inch in diameter, in good condition with no short splices, knots, molles, or eye-to-eye splices. When coupled to a drum line by use of a hook or molly, the pass line shall be long enough to provide three wraps on the drum before the climber leaves the ground. The hook shall be a closeable type.
(b) Pass blocks shall be inspected before placing in each tree, and the necessary replacements or repairs made before being hung. Pass blocks shall not be used for any other purpose. The bearing pin shall be of the type which positively secures the nut and pin. The shells of pass blocks shall be bolted under the sheaves.
(c) Pass chains shall be at least 1/4-inch high-test chain and shall not contain cold shuts or wire strands. They shall be attached to the end of the pass line with a clevis or ring large enough to prevent the chains going through the pass block.
(d) The pass line equipment shall not be used for purposes other than those for which it is intended. The pass line shall not saw on other line or rigging, and it shall be kept clear of all moving lines and rigging.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6289. Spar Trees.
Note

(a) All trees from which rigging is hung shall be carefully examined for defects before being rigged. All trees shall be selected to withstand the anticipated strains.
(b) Tree plates shall be used on spar trees when necessary.
(c) All trees, except lift trees, used for loading or yarding shall be limbed and topped short enough to be rigid when guyed. Limbs shall be cut off close to the trunk. Climbers shall select the place for hanging rigging before the tree is topped. No more than 12 feet nor less than 6 feet of the tree shall extend above the top guylines.
(d) Spar trees, except redwood or cedar, shall be barked where guylines are to be placed. Rub trees around landings shall be topped and guyed if necessary. Spikes used by the climber to aid in hanging rigging shall be removed before the tree is used for logging. Loose material shall be removed or securely fastened.
(e) Lift trees shall be adequately guyed to withstand any anticipated stresses.
(f) When using a live, standing, or running skyline, the lift tree need not be topped, provided that the lines pass through a tree-jack or block hung on the tree before the skyline is anchored to a tail hold. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 7. Rigging
§6290. General.
Note     •     History

(a) Rigging and all parts thereof shall be of design and application to safely withstand all expected or potential loading to which it will be subjected.
(b) Chokers shall be at least 1/8-inch smaller than the line to which they are attached.
(c) Rigging shall be arranged and operated so that it or its loads will not be damaged by fouling, rubbing, or sawing against lines, straps, blocks, or other equipment.
(d) Running lines shall be arranged so that workers are not required to work in the bight.
(e) Employees shall be out of the bight of lines before the lines are moved.
(f) When a road is changed, all employees shall be in the clear before the lines are tightened.
(g) Reefing or similar practices to increase line pull is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
2. Amendment of subsection (c) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6291. Inspection of Rigging.
Note

A thorough inspection of all blocks, straps, guylines, and other rigging shall be made before they are placed in positions for use. This inspection shall include an examination for damaged, cracked, or worn parts, loose nuts and bolts, and of lubrication and condition of straps and guylines. The repairs shall be made before the rigging is used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6292. Guylines.
Note     •     History

(a) All trees rigged for logging operations shall be sufficiently guyed to be rigid and stable. Minimum requirements for guylines shall be as follows:

         Use of	Number of	Number of
           Tree	Top Guylines	Buckle Guylines
Loading and yarding	6	4
Loading and swinging	6	4
Loading only (head tree)	5	--
Loading only (standing
  tail tree)	3	--
Loading only (raised
  tail tree)	4	--
Yarding only (head tree)	6	--
Yarding with skyline
  (head tree)	6	4
  (raised tail tree)	4	--
(b) Guylines shall be of plow steel or better material and in good condition.
(c) Guylines shall be equal to or greater in strength than the largest opposing yarding line and properly spaced to effectively oppose the forces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6293. Securing Guylines.
Note

(a) Guylines shall be fastened to spar trees by means of shackles, or hooks and slides, or other devices of similar construction, equal in strength to the guylines. Pins shall be inserted with the head up and securely fastened, preferably with molles or cotter keys. Only sleeve shackles shall be used on guylines on which a jack is hung.
(b) The U part of the shackle shall be around the guyline and its pin passed through the eye in the line. Guylines shall be alternately passed around the tree in opposite directions. Guylines shall be hung in a manner to prevent fouling when they are tightened.
(c) The use of loops, molles, or threaded eyes for attaching guylines is prohibited.
NOTE

Authority cite: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6294. Guyline and Skyline Extensions.
Note

(a) Extensions to guylines or skylines shall be equal in strength to the lines to which they are attached. Shackles shall not be used on running lines where such lines pass through a block or traveler, unless designed for that purpose.
(b) All guyline eyes shall be tucked at least three times.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6295. Anchoring.
Note     •     History

(a) Skylines shall be hung in a tree jack or block and securely anchored to a stump, deadman or the base of a live tree outside the work area that would not reach the work area if pulled over. All other rigging shall be anchored to stumps.
(b) Anchors used for fastening guylines and skylines shall be carefully chosen as to position and strength. They shall be tied back if necessary. These anchorages shall be inspected daily for signs of failure, while the operation is in progress. 
(c) Stumps shall be adequately notched and barked where the wraps are to be made. Employees shall not stand close to the stump as the guyline or wraps are being tightened.
(d) When tightening is done at the stump, the anchor ends of guylines shall be firmly secured to the stump by passing the guys at least two and one-half times around them; guys may be secured by spikes or cable clips.
(e) Where spikes are used, the first and last turn shall be firmly spiked.
(f) Where wire rope clips are used, they shall be made fast with U bolts on the head or short end of the rope. The minimum number of clips shall not be less than three. The clips should be spaced at a distance equal to approximately six times the diameter of the rope.
(g) Stumps shall be notched to prevent the lines from creeping. Guylines shall be kept tight.
(h) In removing guylines or skylines from stumps, a reversed safety wrap shall be put on before loosening any spikes in the last wrap.
(i) An experienced employee shall be in charge of loosening such guylines or skylines, using all precautions and giving warning before the lines are released.
(j) Safety holdbacks, such as twisters, shall be used when necessary for the safety of workers.
(k) Powder is recommended for releasing the last wrap on skylines. 
(l) When raising spar trees, stumps used for snubbing shall be deeply notched and guylines held by the haulback or other running lines.
(m) If deadmen or rock bolts are used as anchors, they shall be constructed and maintained in accordance with established principles of mechanics and sound engineering practice.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (c) and (i) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
2. Amendment of subsection (j) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6296. Rigging Trees.
Note     •     History

(a) All tree straps shall be of the best material and at least 1/4-inch larger than the pulling lines. D's shall be attached in accordance with manufacturer's specifications. Straps shall be properly seated.
(b) All blocks and tree jacks shall be properly hung. They shall not be hung in one eye or within the bight of straps. Mainline straps shall be hung and maintained no more than 10 inches below the guylines at the side of the tree opposite the block. When necessary, tree plates or a holdup strap shall be used to maintain the position of the mainline lead straps.
(c) The use of threaded straps for running line blocks in spar trees is prohibited.
(d) Shackles used to hang all blocks and jacks on trees or loading booms shall have the pins secured by a nut with a cotter key or wire strand. Wire strands so used shall be run twice through the pin and the loose ends rolled in. The jaws of shackles shall fit the yoke or swivel of the block or jack.
(e) Safety straps shall be used on all mainline lead blocks rigged below the guylines. They shall be of at least 1-inch, with one end securely fastened to the block and the other to a shackle arranged to slide on the guylines. The pin of this shackle shall be securely held in place by a cotter key or molle. The heel of the shackle shall encircle the guyline.
(f) Safety straps shall be attached to the guyline which will carry the block in the direction of least hazard to employees. This guyline is usually the guyline nearest the logging lead. Any guyline which is used for this purpose shall not have an extension.
(g) Whenever a safety strap would carry a block or line to a place where employees habitually work, the safety strap shall be 1/2-inch larger than the pulling line, the shackle and block shall be in good condition, and the block shall not be of the swivel type.
(h) Spar tree rigging shall be placed and operated so that lines will not rub or saw other lines, straps, blocks, or other equipment. 
(i) Yarding with more than one donkey at one time at any spar tree is prohibited.
(j) Swinging or yarding with a V or diamond lead is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6297. Cables and Straps.
Note     •     History

(a) Cables or straps which are burned, fatigued, kinked, stranded, chafed or sawed shall be taken out of service or properly repaired before further use.
(b) Under ordinary circumstances, a cable shall not be used when 12--1/2 percent of the wires are broken within a distance of one rope lay.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6298. Splices.
Note

(a) Long splices shall be used for permanently joining regular lay running line.
(b) The safe margin of line to be used in making a long splice is indicated in the following table. The full length of the splice will be twice that to be unraveled. 

   Rope	To be	Rope	To be   
Diameter	Unraveled	Diameter	Unraveled
1/4-inch	 5 feet	1 1/4-inch	 15 feet
1/2-inch	 7 feet	1 1/2-inch	 20 feet
3/4-inch	 9 feet	1 3/4-inch	 25 feet
1-inch	 12 feet	2 inches	 30 feet

(c) Splices other than eye splices in lang lay loading lines are prohibited.
(d) Short splices, eye-to-eye splices, cat's paws, knots or molles, rolled eyes, or wild eyes are prohibited for use in joining lines, except for temporary rigging-up purposes.
(e) Eye splices in all lines and straps shall be tucked at least three times. Eye splices in lang lay lines shall be tucked at least four times.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6299. Straps.
Note

All straps other than spar tree straps shall be at least as strong as the line they hold.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6300. Blocks and Sheaves.
Note

(a) Blocks and sheaves shall be in proportion to the size, strength, and design of the cables used.
(b) Sheaves shall be of mild steel or better, and bearings shall be of a material and type designed for the purpose for which they are being used.
(c) The bearings shall be kept well lubricated; sheaves with badly corrugated cable grooves or grooves smaller than the cable in use, shall not be used.
(d) All blocks shall be designed and maintained to prevent fouling.
(e) The bearing and yoke pins of all blocks shall be securely fastened.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6301. Shackles, Shoes, and Butt-Rigging.
Note

(a) Tree shoes shall be repaired or replaced when they contain insufficient wood to prevent the line from rubbing on the bolts. The wood shall be well rounded if there is much deflection in the skyline.
(b) All shackles used for joining lines shall have a strength of no less than one and one-half times that of the lines they join.
(c) Shackles used to hang blocks or jacks shall have a strength equal to no less than two times that of the pulling lines.
(d) High lead shackles, skyline shackles, skidder tower shackles, and swivels subjected to heavy strains, shall not be built up by welding.
(e) The spread of the jaws of a high lead shackle shall fit the yoke or swivel.
(f) Shackles, swivels, links, and rigging plates, when they are obviously worn or misshaped so that they will not safely support the imposed strain, shall be replaced or repaired.
(g) Molles or cold shuts shall not be used in butt rigging. All swivels shall be operative.
(h) All butt hooks on donkey rigging shall be of the closed or slotted type.
(i) Where clevises or shackles are used for connections, they shall be of the screw pin or lock nut type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 8. Logging Machines
§6303. General.
Note     •     History

(a) Overhead protection and necessary screens or barriers, of sufficient strength and dimension to afford adequate protection for the operator, shall be provided on or above all logging machines. Such devices shall be constructed so that they do not substantially impair the operator's view.
(b) Substantial barriers or bulkheads that protect the operator shall be provided on all logging machines when the design, location, or use of such machines exposes the operators to materials or loads being handled. Such barriers or bulkheads shall be of adequate size, capable of withstanding the impact of the materials handled.
(c) Machines, sleds, or bases shall be designed and constructed for their intended purposes; machines shall be securely anchored to their bases.
(d) Mobile logging machine brakes shall be capable of stopping and holding the machine on any grade on which it is being operated or parked. The brakes shall be effective in any direction of travel regardless of whether the engine is running. Mobile logging machines shall also be equipped with a brake locking device.
(e) Controls shall be maintained in good operating condition.
(f) Exhaust pipes shall be located or guarded so that employees are not endangered by accidental contact with them.
(g) Brakes or dogs shall be installed on all hoist drums.
(1) Brakes shall be maintained in effective working condition.
(2) Brake linings shall be of materials designed for this purpose. 
(3) Brake levers shall be provided with a ratchet or other equally effective means for securely holding the drums.
(4) Brakes shall be protected from direct exposure to the elements, or shall be of design or construction which renders them impervious to such exposure.
(5) At the start of each shift, operators shall test brakes before taking any full load.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (f) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6304. Mobile Yarders and Loaders.
Note     •     History

(a) All mobile yarders and loaders shall be designed and constructed to withstand the expected strains imposed on them when they are in operation.
(b) Conversion of cranes, shovels, etc., into yarders or loaders shall be made in conformity with these Orders.
(c) Necessary guylines and/or outriggers shall be provided and used to effectively prevent masts, booms, A-frames, etc., from tipping or overturning.
(d) The manufacturer's recommendation for line sizes, rigging and guying, if in compliance with the applicable safety orders, shall be followed, and the rated capacity of the machine shall not be exceeded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6305. A-Frames, Towers, Masts, Etc.
Note     •     History

(a) A-frames, towers, and masts shall be of design and construction that provides adequate structural strength, and of sufficient vertical clearance or height for positive control of material or loads.
(b) The apex and base of A-frames and similar devices shall be secured to prevent displacement.
(c) The A-frame shall be guyed with two back guys and one front guy or snap line. In lieu of a snap line, a back stiff leg may be used.
(d) Where mobile A-frames, towers, masts, or similar devices are used, all rigging on such devices shall be inspected; worn or defective parts shall be replaced or repaired before the devices are raised or used on each respective setting.
(e) Rigging shall conform to the requirements of Article 7.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (e) filed 3-11-81 (Register 81, No. 11). 
Article 9. Tractors (Including Rubber-Tired)
§6308. Tractors and Arches.
Note     •     History

(a) When blades afford overturning protection, they shall be used on all tractors that are used for yarding.
(b) Tractor brakes shall be sufficient to hold the machine on any grade over which it is being operated, and shall be kept in good repair. The braking system shall be effective whether or not the engine is running, and regardless of the direction of travel. A parking brake or a device to hold the service brakes in the applied position shall be provided.
(c) Running boards or fenders used to enter or leave the tractor shall be of nonslip-type metal or covered with nonslip-type material.
(d) Approved respirators or dust masks shall be provide for tractor operators during dusty operating conditions.
(e) The guiding of lines by hand onto tractor drums is prohibited, except when new lines are installed.
(f) Arches shall be equipped with line guards. These shall be arranged to prevent a whipping action if the line breaks. When a coupling is attached above the drum, it shall be secured by a safety strap to prevent the arch from running forward if the coupling breaks.
(g) Riding on arches, reaches, or logs, or on any part of a tractor, except in the driver's compartment is prohibited.
(h) Employees shall not stand upon the track of a logging tractor or arch unless they are required to do so by the nature of the work they are doing, and then only when there is no danger of the tractor moving.
(i) Movements of tractors used around employees shall be regulated by hand signals. Signaling by means of throwing objects in the air is prohibited.
Note: See Appendix A for recommended tractor hand signals.
(j) Ball hooting is prohibited.
(k) Knots shall not be used for connecting separate lengths of drum line.
(l) If a tractor is equipped with multiple drums and operated as a logging machine, it shall have a roof and comply with Section 6303.
(m) Winch lines on logging tractors or skidders shall be attached to the drums with a breakaway device.
(n) Where knots are permitted, the strand ends shall not be over 2 inches long.
(o) Chokers shall be positioned near the end of the log or tree length to allow turning of the tractor preventing the penetration of the operator station and reducing the possibility of striking the wheel or track.
(p) Provisions shall be made to securely fasten and protect all tools and material on the carrier.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (d), (e), (h) and (i) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6309. Canopies. Rollover, Jill Poke and Overhead Guard Protection.
Note     •     History

(a) Every tractor, skidder, scraper, motor-grader and front-end loader, which is subjected to the breaking lines, or rocks, shall be equipped with a canopy that is designed, constructed, and installed in compliance with SAE Recommended Practice J-231 to protect the operator against falling objects. The canopy shall be of construction that allows the driver maximum possible visibility. For this purpose, the forward 18 inches may be of woven wire, expanded metal, materials such as certain clear polycarbonates, or other materials which provide equivalent or greater protection and visibility; such materials shall meet or exceed the performance criteria of SAE J-231.
(b) Unless previously approved by the Division, all canopies installed after April 1, 1971, shall be designed and constructed to provide protection in the event of rollover, and shall be in compliance with SAE Recommended Practice J-1040-c.
(c) Each canopy shall bear a label with the following information:
(1) Name and address of manufacturer.
(2) Canopy model number.
(3) Make and model of equipment for which the canopy is designed.
(4) A statement of compliance with SAE Recommended Practice J-1040-c and J-231; or California approval number, if any; or Fed OSHA 1926.1000(c)(2).
(d) Labels shall be stamped plates or other permanently attached means of identification, and shall not be obscured, obliterated, or changed.
(e) There shall be shear or brush deflector guards extending from the leading edge of the canopy to the front part of the tractor frame or radiator guard. One year after the effective date of these Orders, in work environments where there exists the hazard of jill poking (intrusion of spring poles, brush, etc., into the operator's compartment), side and front shielding shall be provided to protect the operator from this hazard. Structurers which meet requirements of SAE J-1084 will satisfy this requirement.
(f) The opening in the rear of the structure shall be covered with 1/4-inch woven wire of no more than 2-inch mesh. Materials such as certain clear polycarbonates, laminated safety glass, or other plastics which provide equivalent or greater protection and visibility, may be substituted for wire mesh material. This covering shall be affixed to the structural members to afford ample clearance for the movements of the operator's deck or the top of the fuel tank. The structural members shall have smooth, rounded edges and the covering shall be free of protuberances that could puncture or tear flesh or clothing.
(g) Other openings in the structure may be protected with the same materials listed in Subsection (f), provided that such protection does not interfere with the operator's vision or movement during the machine's operation.
(h) Seat belts meeting the requirements of SAE J-386-a shall be provided and used on all equipment for which rollover protective structures (ROPS) are installed and employees shall be instructed in their use.
Note: The use of an approved body belt or harness, controlled by an inertia reel to hold the operator in place during rollover, will satisfy the seat belt requirement.
(i) Forklift trucks used in logging operations as defined in Section 6248 shall be equipped with an overhead guard which is labeled or marked as meeting the requirements of the ASME B56.6-1992, “Safety Standard for Rough Terrain Forklift Trucks”.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (h) filed 4-22-91, operative 5-22-91 (Register 91, No. 20).
2. Amendment of section heading and new subsection (i) filed 5-5-95; operative 5-5-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 18).
3. Amendment of subsection (h) filed 12-9-98; operative 1-8-99 (Register 98, No. 50).
Article 10. Portable Metal Spars
§6312. Design and Construction.
Note     •     History

(a) Portable metal spars shall be of sufficient strength to support the actual dead and estimated live loads acting on them.
(b) Evenly spaced fittings that accommodate no less than six top guys shall be provided on all vertical portable metal spars.
(c) Fittings that accommodate no less than three evenly spaced back guys and one nose, or snap guy shall be provided on all leaning portable metal spars.
(d) All lines, blocks, and fairleads shall be located so that there is no chafing or sawing of any line or part of the structure.
(e) The machine operator, while engaged in yarding or swinging, shall be protected by roof and barricades as required by Section 6303.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6313. Identification and Capacity Markings.
Note

Each portable metal spar shall have identification and specification plates permanently attached to its base, in a position that can be easily read by a person standing on the ground or on the base platform. Plates shall contain the following information:
(a) Name of manufacturer, city and state where manufactured.
(b) Model number.
(c) Maximum size of mainline for which the spar is designed.
(d) Number and size of guylines and any other lines required.
(e) Maximum size of skyline, mainline, and haulback line that can be used if the spar is designed for a skyline, slackline, or modified slackline system.
(f) Maximum and minimum inclination at which the spar is designed to be operated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6314. Erecting, Lowering, and Moving.
Note     •     History

(a) All persons not engaged in the actual raising or lowering of portable metal spars shall stay clear of these operations.
(b) The manufacturer's written instructions on the proper method of raising, lowering, and tightening guylines for each particular model of portable metal spar shall be followed.
(c) A competent person shall direct each raising and lowering of each portable metal spar.
(d) Where guylines are required in raising and lowering, great care shall be used to prevent fouling of or excess tension in the line.
(e) A stable base shall be provided under outriggers or leveling pads in soft ground.
(f) During movement of the portable metal spar, the spar shall be lowered or adequately supported so that the stability of the machine is not impaired. Adequate brakes or an equally effective means for holding the machine on any grade over which it may operate or travel shall be provided and used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6315. Guying of Spars.
Note

(a) Vertical portable metal spars shall be guyed with no less than six guylines, each providing strength equal to that of the mainline used.
(b) Guylines shall be arranged so that stresses are imposed on no less than two guylines.
(c) Leaning portable metal spars 55 feet or more in length from base or trunnion shall be guyed with no less than three back guys, each at least equal in strength to that of the mainline used. Guys shall be arranged so that strains are imposed on no less than two back guylines. In addition, one nose, or snap guy of equal strength to the mainline, or a means providing equivalent stability, shall be used.
(d) Leaning portable metal spars less than 55 feet in length from base or trunnion, when used with mainline or skyline smaller than 1 1/8-inch diameter, shall be guyed with no less than two back guys, each of strength at least equal to line 1/4-inch larger than the mainline used. Back guys shall be arranged to form an angle 70-90 degrees with each other and opposite the direction of stress. In addition, one nose, or snap guy of the same size used for the back guys, or a means providing equivalent stability, shall be used. When used with mainlines 1 1/8-inch diameter, or larger, such spars shall be guyed as required in (c).
(e) Boom-type machines used for yarding, which are specifically designed to be self-stabilizing, may be used without guying. When the stability of the machine is impaired in any manner, the machine shall be guyed.
(f) Any additional guying recommended by the spar manufacturer shall be used.
(g) Guylines shall be anchored as required in Section 6295, except they may be choked around adequately notched stumps when shackles or approved choker attachments are used. If cable clamps are used, two full wraps or more must be placed around an adequately notched stump to secure the guyline.
(h) Stress bearing guylines should be anchored to provide a guyline angle no steeper than 45 degrees from horizontal.
(i) Safety straps or other devices of appropriate size and design shall be installed at the top of the spar to prevent guylines from falling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6316. Use.
Note     •     History

(a) Portable metal spars shall not be used for any purpose for which they have not been designed and constructed.
(b) Swinging or yarding with a V lead is prohibited, except under the following conditions:
(1) No additional hazards to the logging machine operator, or to other workers in the area, will be created by this operating procedure.
(2) The spar shall be equipped with fairleads for both main and haulback lines.
(3) The mainline and haulback drums shall be located no more than 25 feet from the base of the spar.
(4) No less than six guylines shall be used.
(5) Each guyline on the side opposite the direction of stresses imposed by yarding or swinging must have a breaking strength at least 20 percent greater than that of the mainline used; or one extra guyline at least equal in strength to the mainline used must be placed to oppose the stresses imposed by yarding or swinging in a V lead, and when the lead is changed, the required extra guyline must be repositioned to oppose the stresses of this changed direction of pull.
Note: These requirements for additional strength guylines or an extra guyline do not apply to those spars where the mainline and haulback drums are located within the base of the spar, or where lines from these drums are led through sheaves located within the base of the spar. For purposes of determining guyline requirements only, this method of leading main and haulback lines is not considered as creating a V lead.
(c) No yarding or swinging in a V lead shall be performed at less than an angle of 70 degrees formed between the logging machine, fairlead, and the yarding or swing road on either side of the spar, unless the logging machine is controlled in a manner that permits the operator to be stationed in a safe place.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6317. Inspection, Repair and Maintenance.
Note     •     History

(a) Portable metal spars and their component parts shall be inspected by a person designated by the employer as qualified by experience and training to perform this specific work; the inspection shall be made each time the spar is lowered and any time its safe condition is in doubt. If damage from overstress is noted or suspected, the part in question shall be inspected by a suitable method and defective parts shall be repaired or replaced before the spar is again used. All lines, including guylines, shall also be inspected, and any wire rope that is worn or damaged beyond the point of safety shall be repaired or replaced.
Note: See Section 6297.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
Article 11. Helicopter Yarding Operations
These Orders shall establish minimum safety standards for the use of helicopters during the yarding of logs and similar operations in the logging industry.
§6320. General.
Note

(a) Prior to working in each new area of operation, a briefing shall be conducted. This briefing shall set forth the plan of operation for the pilots and ground personnel. 

Exception: Emergency operations involving immediate hazard to life or property.
(b) A Code of Safe Practices shall be formulated and adhered to for operations involving the use of a helicopter. This code shall include, but is not limited to, the safe practices presented in the Appendix to the Logging and Sawmill Safety Orders.
(c) Helicopter operations shall not be performed beyond the helicopter's or pilot's certification. The pilot's employer shall make sure before operations begin that the pilot is properly certificated by the F.A.A. to perform the planned operations.
(d) Good housekeeping shall be maintained in all helicopter loading, unloading, fueling, and maintenance areas.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6321. Rigging.
Note

(a) Loads shall be properly slung.
(b) Taglines shall be of a length and/or properly weighted so that they can not be drawn up into the rotors. Pressed sleeves, swedged eyes or the equivalent shall be used for all freely suspended loads. 
(c) Taglines shall be long enough to allow helicopters to remain above all obstacles.
(d) All electrically operated cargo hooks shall have the electrical activating device designed and installed to prevent inadvertent operation.
(e) Cargo hooks shall be equipped with an emergency mechanical, electrical, or manual control for releasing the load.
(f) The employer shall ensure that cargo hooks are tested prior to each day's operation by a competent person to determine that the release functions properly, both electrically and mechanically.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6322. Hooking and Unhooking Loads.
Note

(a) The size and weight of loads, and the manner in which loads are to be connected to the helicopter, shall be checked prior to loading.
(b) The employer shall take all necessary precautions to protect employees from flying objects thrown by the rotor downwash.
(c) All loose equipment susceptible to rotor downwash shall be secured or removed.
(d) Log pickup shall be arranged so that the hookup crew does not work on slopes directly below the logs being picked up.
(e) If the load must be lightened, the hook shall be held at eye level on the uphill side of the turn before the hooker approaches to release the excess logs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6323. Landings.
Note

(a) The landings drop zone shall be twice the nominal length of logs to be yarded. This zone shall be not less than 125 feet from the loading or decking area.
(b) Flight paths to the landing shall be clear and long enough to prevent tree tops from being pulled into the landing.
(c) Only authorized, qualified personnel shall be allowed in the log-landing and fueling areas.
(d) Logs shall not be landed in the landing crew working area. The landing crew will remain clear of the drop area when logs are being landed.
(e) Landings shall be watered down, or other means employed, to control dusty conditions.
(f) Separate areas shall be designed and used for landing logs and fueling helicopters.
(g) Warning signs shall be posted at all approaches to log-landing and fueling areas.
(h) Except in an emergency, one end of all the logs in the turn shall be touching the ground and lowered to an angle of no more than 45 degrees from the horizontal before the chokers are released.
(i) Logs will be laid on the ground and the helicopter will be completely free of the chokers before the workers approach the logs. 
(j) If the load does not release from the hook, the load shall be laid on the ground and the hook remain at eye level before the workers approach to release the hook manually.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6324. Ground Personnel.
Note     •     History

(a) Helicopter approach and departure zones shall be designated, and no equipment or personnel shall occupy these areas during helicopter arrival or departure.
(b) A take-off path from the log pickup point shall be established, and shall be made known to all workers in that area before the first turn of logs is moved.
(c) If the take-off path is to be changed to a different direction, all workers in the log pickup area shall be made aware of the change before the first turn of logs is moved.
(d) Sufficient ground personnel shall be provided to ensure that helicopter loading and unloading operations are performed safely.
(e) Helicopters shall not move loads over any workers.
(f) Helicopters with a load on the hook shall not pass over any area in which fallers and buckers are working.
(g) Communications shall be maintained between the ground crew and flight crew to continuously update knowledge of woods crew locations and movement, so that sufficient lateral clearance of the helicopter flight pattern for safe operation shall be observed at all times.
(h) Employees shall remain in the clear as chokers are being delivered. Employees shall not move under the helicopter that is delivering the choker, or take hold of the chokers before they have been released by the helicopter, except when the lower hook malfunctions or in an emergency requiring the woods crew to release the chokers manually.
(i) If the flight path of the loaded helicopter passes over haul roads, flagmen shall be posted to direct traffic.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (h) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6325. Fueling and Fueling Area.
Note     •     History

(a) Fueling pads shall be built and maintained with a well compacted surface free of loose materials and debris.
(b) There shall be two 60:B.C. rated fire extinguishers, or equivalent fire fighting protection, readily available at each fueling station.
(c) Smoking, open flames, or other sources of ignition shall not be permitted within 50 feet of fueling operations or fuel storage areas.
(d) The helicopter engines shall be shut off if refueling with either aviation gasoline or Jet B (turbine) type fuel.
(e) The helicopter and fuel supply system shall be securely bonded together before and during fueling operations to provide static electrical discharge.
(f) The helicopter's fuel supply shall at all times be adequate to perform its mission and at least 15 minutes of additional flight time.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of subsection (e) filed 10-18-2012; operative 11-17-2012 (Register 2012, No. 42).
§6326. Communications and Signal Systems.
Note     •     History

(a) The employer shall instruct the aircrew and ground personnel on signal systems to be used, and shall review the systems with the employees before hoisting the load. This applies to both radio and hand signal systems. Hand signals are shown in Appendix A.
(b) There shall be continual reliable communication between the pilot and the ground crew employee who acts as signalperson during the period of hooking and unhooking.
(c) There shall be a signalperson in radio contact with the aircrew for each operation site on the ground, even if the helicopter is not specifically working at that operation.
(d) All signalmen shall wear high-visibility, colored garments, such as orange, yellow, etc.
(e) Citizen band radios shall not be used for communication between the helicopter pilot and ground personnel.
(f) The helicopter shall be equipped with a siren to warn workers of any hazard.
(g) Two radio transceivers shall be in the vicinity of the log pickup and landing crews and at least one of the radios shall be operative at each of the operations at all times.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6327. Personal Protective Equipment.
Note

(a) Appropriate eye protection shall be worn by employees hooking logs and working on the landing.
(b) Hard hats worn by ground personnel shall be secured by chin straps.
(c) Static charge on the tagline and cargo hook shall be dissipated before personnel touch them or protective rubber gloves shall be worn.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 12. Yarding, Swinging, and Loading
§6328. Yarding and Swinging.
Note     •     History

(a) Employees shall not stand or work in the bight of running lines.
(b) Chokers shall not be hooked or unhooked from the butt hook before all the rigging has come to a complete stop.
(c) Care shall be taken in working around logs which are propped up or show a tendency to roll. Workers in charge shall carefully watch for such hazards.
(d) In setting or unhooking chokers, care shall be taken to stand clear of rolling logs.
(e) Workers shall remain on their feet until the turn is broken out and well into the clear.
(f) Standing on or near logs which may move or be moved by the turn going in is prohibited. Until a signal to go ahead is given, all workers shall stand clear of the area that is affected by the turn breaking out.
(g) When approaching or working around hangups, workers shall watch carefully for the danger of logs rolling or sliding, widow-makers, snags, or tops of trees falling.
(h) Chokers shall be placed near, but not closer than 2 feet, from the ends of logs.
(i) Choker holes shall be dug from the uphill side of a log if there appears to be any danger of its rolling.
(j) While hooking or unhooking chokers, workers shall choose the safest approach. This is usually from the upper side or end of the log.
(k) Logs shall not be landed at the landing chute until all workers and equipment are in the clear.
(l) Chasers shall be sure that logs are securely landed before approaching them to unhook chokers.
(m) Towed equipment, such as but not limited to, skid pans, pallets, arches, and trailers, shall be attached to each machine or vehicle in such a manner as to allow a full 90 degree turn; to prevent overrunning of the towing machine or vehicle; and to assure that the operator is always in control of the towed equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (n) filed 5-5-95; operative 5-5-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 18).
2. Repealer of subsection (k), subsection relettering, and amendment of newly designated subsection (k) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6329. Landings and Loading Areas.
Note     •     History

(a) Landings shall be prepared and kept reasonably clear of all debris to provide maximum safety for all employees, and shall provide ample space for the safe movement of equipment and log storage and handling.
(b) Landing chutes shall be long and even enough so that at least two-thirds of the longest bucked log to be yarded shall rest on the ground. This is not intended to restrict the yarding and loading of logs for poles, piling or an infrequent long break or tree length, provided the log is secured before unhooking the choker.
(c) Roadside or continuous landings shall be large enough to safely operate and maintain the yarding or loading equipment. Outrigger pads, tracks or wheels shall be on firm, stable ground.
(d) In logging operations where the yarder is set up in the haul road and logs are landed on the slope below the road, the following shall apply:
(1) If the landing chute slope is 20 percent or less, logs may be landed and decked in the chute provided the logs can be left in a stable position.
(2) If the landing chute exceeds 20 percent slope, decking is not permitted in the chute if a chaser is required to unhook the rigging from the logs or if employees are working below the landing chute and are exposed to rolling or sliding logs.
(3) If logs are to be decked below the road, the logs shall be effectively secured from rolling or sliding down the hill or no employees shall work below the deck.
(e) Space for truck turn-around shall be provided as close as possible to the landing.
(f) Where necessary, sufficient brow logs or blocking shall be installed to prevent logs from rolling onto the landing.
(g) All personnel shall stand clear of the hazardous area while logs are being hoisted, or while logs or loads are being shifted on trucks. The hazardous area is the area between the deck or decks from which the logs are being removed and the area over which the logs are carried to place them on the log truck, as well as along both sides of log trucks behind the cab guard.
(h) Logs shall not be swung over employees, tractors, or truck cabs while employees are in the cabs.
(i) Logs shall be loaded so that the load is balanced as near as possible over the center plates of the trucks.
(j) Logs shall be loaded to minimize any crowding which causes excessive strain on the wrappers, choke chains, or stakes.
(k) Logs shall be loaded so that there are no projecting large knots or limbs to impair side clearance.
(l) When operating in landing areas, loading machines used to sort and deck logs and/or load log trucks shall be equipped with an automatically operating warning device which will activate any time the loading machine is traveling in a direction opposite to that which the operator faces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. New subsection (m) filed 7-6-93; operative 8-5-93 (Register 93, No. 28).
3. Amendment of subsections (e) and (g), repealer of subsection (i), subsection relettering, and amendment of newly designated subsections (i) and (l) filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
§6330. Tongs, Hooks, and Straps.
Note

(a) When hooks are used for loading, they shall be of the spiked bell type. The spike shall project beyond the lip of the cup, and both spike and lip shall be kept sharp.
(b) Loading hooks shall be kept in good repair and equipped with hand ropes.
(c) When there is danger of tongs or hooks pulling out of the logs, straps shall be used. Tongs may be used on extra large logs, provided the logs are barked and notched sufficiently for a secure hold.
(d) Crotch line straps for loading hooks or end bridles should be of the right length or adjustable to the length necessary for proper end pull, and shall be made of no less than 5/8-inch line. The size of this line shall be increased according to the weight of the logs handled.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6331. Loading Rigs, General. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference:Section 142.3, Labor Code.
HISTORY

1. Repealer filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6332. Log Decks (Woods and Millyards).
Note     •     History

(a) Employees working on log decks shall be provided with and use a means of signaling that complies with the applicable requirements of these Orders.
(b) Logs shall be placed in and removed from log decks in a straight and orderly manner which eliminates as much as possible the hazards of rolling and shifting logs.
(c) Logs shall not be decked in a location which creates a hazard to employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
Article 13. Transportation
§6333. Motor Trucks.
Note     •     History

(a) Each truck shall be equipped with a fire extinguisher of no less than 10 B:C rating. The fire extinguisher shall be full and in operating condition, mounted securely and readily available. Carbon tetrachloride extinguishers are prohibited.
(b) Every truck shall be equipped with a heater, defroster and windshield wipers.
(c) All trucks and trailers shall be equipped with brakes that will safely hold the maximum load on the maximum grade. These brakes shall be kept in good condition.
(d) Brakes on truck-trailer combinations shall be designed so that in the event of trailer brake failure, the truck brakes remain operable.
(e) Logging trucks hauling loads in mountainous areas shall be equipped with water storage tanks that provide water for the trailer brakes, unless the truck is equipped with a countertorque device.
(f) Trucks and trailers with air brakes shall be equipped with air connection devices designed to protect hose couplers from damage and dirt while disconnected.
(g) Hose lines and couplings shall be replaced or repaired immediately when found defective. New parts shall be of equal or better quality than replaced parts.
(h) Sufficient slack in the hose line shall be replaced to prevent uncoupling when reach is extended. Suitable hangers shall be installed to hold the hose and to provide easy travel along the reach.
(i) Tires worn to the breaker strip, regrooved tires that are not designed for regrooving, and tires that are section-repaired, shall not be used on the front wheels of trucks or truck-tractors. Retreaded tires shall not be used on the front wheels of trucks or truck-tractors, unless the name of the tire manufacturer and the tire serial number are legible and markings that identify the retreader are burned, branded, or molded on the tire sidewall.
(j) Cab doors shall open easily from inside or outside.
(k) When an employee is required to stand on the cab top to direct loading or unloading operations, a safe, nonslip platform shall be installed on the cab top. The platform shall extend 4 inches from the sides, front, and back. A safe means of access shall be provided.
(l) The space between the truck frame members and the first cross member behind the cab shall be floored over with substantial decking.
(m) Lighting systems shall be maintained in good operating condition if trucks are used after dark, in fog, or inclement weather.
(n) A substantial bulkhead shall be installed at the rear of the cab.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6334. Trailers.
Note     •     History

(a) Trailer tongues shall be constructed of steel.
(b) Reaches shall be equipped with stops at their rear ends to prevent their pulling out of the trailer socket.
(c) Trailer reach and tongue couplings shall be securely locked or the pin keyed.
(d) Means shall be provided for loading trailers onto trucks so that it is unnecessary for an employee to go beneath the trailer.
(e) Trailers loaded on trucks shall be secured when necessary. When necessary, drivers shall have assistance in loading trailers.
(f) Substantial links, chains, or straps, fastened securely to the trailer frame, shall be used in hoisting the trailer. These connections shall not be attached to the trailer bunks. Strap eyes shall be so fitted to prevent closing of the eye. The trailer lifting attachment shall be installed so that unloading can be done without manual assistance.
(g) When unloading trailers from motor trucks with loading hooks or tongs or other means, trailers shall be hoisted clear, the truck driven from under the trailer, and the trailer lowered to about 1-foot above the roadway before workers approach the trailer or reach.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (f) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6335. Truck and Trailer Equipment.
Note     •     History

(a) Motor logging, trucks and trailers shall be equipped with bunks, stakes, chock blocks, or similar devices. Such blocks, stakes, or other devices shall extend no less than 8 inches above the top edge of the bunk.

Exception: When hauling a single log, chock blocks may be turned in, provided that these blocks extend at least 5 1/2 inches above the top of the bunk.
(b) Chocks and stakes shall be arranged so that they can be released from the side opposite the log-dumping side. They shall not be locked in any manner which makes it necessary to hammer on chains for releasing. Molly Hogans and cold shuts shall not be permitted in chains. Chock and stake chains shall be at least 1/2-inch high-test material or its equivalent. Chocks shall not project beyond the end of the bunk.
(c) Chocks and stakes shall be of steel, or material of equivalent bending and compression strength, and maintained in good condition.
(d) Bunks bent down more than 1-inch on either end shall be straightened and strengthened.
(e) Sufficient clearance shall be maintained to prevent bunk binding. Bunks shall pivot freely, and be cleaned and greased when necessary. Kingpins shall be maintained to minimum tolerances.
(f) To minimize end shift, the top edge of the bunks shall be no more than 3/8-inch thick and either square or beveled to a sharp edge.
(g) Bunk locks or centering devices shall be installed on all trucks and trailers, and bunk locks shall be disengaged before moving the loaded truck.
(h) When trailed, truck and trailer combinations shall be connected with a safety strap or chain which shall be of sufficient strength to control the trailer in event of failure of the regular trailer hitch or coupling. Straps of 1/2-inch plow steel or chains of 1/2-inch, high-test steel, with equivalent fittings, are considered adequate. Fittings shall be designed so that they cannot become accidentally unhooked.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (g) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6336. Truck Driving.
Note     •     History

(a) All drivers shall have a valid operator's license for the class of vehicle being operated.
(b) Logging truck drivers should have general knowledge of the handling of logs, in addition to being qualified drivers of logging trucks.
(c) Truck drivers or other workers shall not approach the area alongside trucks being loaded until communication is established with the loading machine operator and the area is determined safe.
(d) Before entering any public road, drivers shall stop and inspect loads for stability and security. Such inspections shall also be made at appropriate intervals while in transit.
(e) A brake test shall be made before trucks leave the loading point or descend any steep or sustained grade. A notice to that effect should be posted in the cab near the air gauge.
(f) Passengers shall not be carried in logging trucks, except persons having business at the operation and permission from the management.
(g) Riding on any part of a logging truck other than in the cab is prohibited.
(h) Logs lost off trucks shall be removed as soon as possible to a safe distance from the traveled portion of the road.
(i) Tires, steering apparatus, boosters, air hoses, and connections on all trucks and trailers shall be inspected daily. If any defect is found which will prevent the safe operation of the equipment, all necessary repairs or adjustments shall be made before the equipment is used.
(j) Inspection or maintenance records shall be kept.
(k) Condensation in compressed air tanks shall be drained daily.
(l) No loose equipment or tools shall be kept in the cab.
(m) Motor trucks shall not be moved on a landing until all employees are in the clear, and warning shall be sounded before such movement is begun.
(n) Trucks shall not enter a landing while there is danger from in-coming logs.
(o) When it is necessary for trucks to back into the place of loading, they shall do so only upon a signal from the loader or authorized person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (k) and (m) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6337. Wrappers.
Note

(a) Wrappers shall have a breaking strength of no less than 11,500 pounds. The type, grade, and minimum size include:
(1) 3/8-inch improved plow steel wire rope
(2) 3/8-inch high-test steel chain
(3) 5/16-inch alloy steel chain
(4) Other approved material.
(b) Anchor points, wrappers and wrapper attachments shall be maintained in good condition. The following conditions, illustrative and not all-inclusive, are prohibited:
(1) Cracked welds or links in wrappers or wrapper attachments.
(2) Bent, twisted, stretched, or collapsed links.
(3) Links which are weakened by gouges or pits.
(4) Knots in any portion of the wrapper.
(5) Links which are obviously worn or show other evidence of loss of strength.
(6) Chain which has been repaired or joined with other than high-test or alloy steel repair links.
(7) Use of Molly Hogan, rolled eye, or quick eye.
(8) Use of contractor's knot and clip.
(9) Wire rope which is stranded, crushed, kinked, badly worn, rust-pitted, or which has twelve or more broken wires in a lay length, or which shows any other evidence of loss of strength.
(10) Anchor points, binders, or attachments which are in a weakened condition, or which show evidence of loss of strength from crack, breaks, distortion, or other deterioration.
(c) Binders shall be designed so that they can be securely locked.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6338. Binding Log Loads.
Note     •     History

(a) All logs shall be well balanced and centered so that the load is stable without wrappers.
(b) All equipment shall be kept clear of log trucks being bound.
(c) Warning shall be given before throwing wrappers over a load and care shall be taken to prevent striking persons.
(d) Wrappers, except the gut wrapper, shall pass over the entire load. All wrappers shall be tight enough to keep the load from shifting.
(e) Wrappers shall be placed so that they must be released from the unloading machine or stanchion side.
(f) No load shall leave the loading spot until sufficient wrappers have been placed to restrain the load. No load shall leave the loading area until all required wrappers have been placed.
(g) When scaling and branding are done on the load at the dump or reload, it must be done before wrappers are released.
(h) When it is necessary to retighten the wrappers, only one wrapper shall be released and retightened at a time.
(i) On vehicles equipped with chock blocks, single log loads shall be secured to the rear bunk. All other loads shall be secured as follows:
(1) If load is one or two logs high, two wrappers used, one at each end.
(2) If load is three or four logs high, three wrappers used.
(3) If load is five or more logs high, four wrappers used.
(j) On vehicles equipped with bunk stakes, single logs shall be secured to the rear bunk. Loads that extend above the stakes shall have at least two wrappers. Loads with three or more tiers of logs above the stakes shall have at least three wrappers; six or more tiers of logs above the stakes shall have no less than four wrappers.
(k) Short logs, known as split peakers, on top of the load shall be secured by no less than two wrappers each.
(l) Bunk logs shall extend beyond the bunks no less than 6 inches. Logs shall be loaded so that no more than one-third the weight of the log extends beyond the end of the bunk or the log supporting it. 
(m) Whenever loads consist of logs to be dumped at different destinations, lots shall be separated with gut wrappers, and wrappers shall be used for the entire loads, as provided in these Orders.
(n) All trucks shall carry spare wrappers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
Article 14. Log Dumps, Ponds and Other Log Handling Facilities
§6340. Log Dumps, Ponds, and Other Unloading, Log Handling, or Storage Facilities.
Note     •     History

(a) Employers shall inaugurate, post, and enforce a set of log dump procedures applicable to their operation, notifying log truck drivers of these procedures.
(b) When these areas are used during the hours of darkness, they shall be illuminated sufficiently to provide clear vision.
(c) Jill-poking of logs from railroad cars shall be done only at permanent locations that are properly equipped.
(d) The top of the brow log, where used, shall be below the truck or car bunk level.
(1) All persons are prohibited from going between a brow log and the load of logs at any time.
(2) All persons shall remain in the clear until moving equipment has come to a complete stop.
(e) Where logs are unloaded into rollways, sufficient space shall be provided between the top of the skids and the ground or deck to accommodate the body of an employee.
(f) All log dumps shall be kept reasonably free of bark and other debris.
(g) When dumping, transferring, or unloading logs from trucks, an effective restraining device shall be used on the side from which the wrappers, stakes, or chocks are loosened, to prevent any logs from falling while being released. All personnel shall remain on the same side of the truck as the restraining devices, in the clear, until logs are removed. 

Exception: Release and removal of all wrappers may be permitted within acceptable restraining stanchions or barriers located in the decking or unloading area prior to reaching the unloading spot, provided no pedestrian, or vehicle traffic is permitted between the stanchions or barriers and the unloading spot. The log truck driver shall remain beyond the ends of all loaded logs while the truck is being unloaded.
(h) A-frames used for unloading logs shall be constructed and rigged in accordance with Articles 7 and 8 of these Orders.
(i) When using crotched lines, spreader bars with pendants, or similar devices for dumping logs, the lines shall be placed so that the distance between them is approximately one-third the length of the load. This distance is measured along the centerline of the bunk log on the unloading machine side.
(j) Chocks, stakes, and binders shall be arranged so that all releases are made from the side opposite to that from which the logs will roll during unloading.
(k) No machine or dump operator shall dump any load of logs, unless there are a sufficient number of wrappers left in place to secure all logs until the machine or unloading lines are in place, and the load is secured as indicated in (g).
(l) The engineer or operator shall determine that all persons are in the clear before proceeding to unload the logs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (g) filed 5-30-80; effective thirtieth day thereafter (Register 80, No. 22).
2. Amendment of subsections (e) and (h) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6341. Log Ponds.
Note     •     History

(a) Employees shall not work alone on a log pond unless there are other employees within constant visual or audible contact.
(b) All employees working on logs or around booms in water shall wear calked boots or other boots designed to prevent slipping.
(c) Pike poles shall be of continuous, straight-grained No. 1 Douglas fir, or material of equal strength. Metal or conductive poles shall not be used around electrical conductors. Defective poles or blunt or dull pipes shall not be used.
(d) At least two life buoys or life rings with 50 feet of 1/4-inch Manila rope or equivalent attached shall be kept in the pond area. They shall be conveniently located in places accessible to the log dump and the log haul.
(e) Employers shall not permit or require an employee to work on log ponds where there is a drowning hazard, unless employee is provided with and is wearing a life vest or similar safeguard. Such vests or similar safeguards shall be designed to hold the face above the surface of the water.
(f) All regular boom sticks and foot logs upon which workers are required to walk, step upon, or work from shall be reasonably straight, with no protruding knots and bark, and shall be capable of supporting the weight of an employee and equipment above the water line at either end.
(g) Permanent cable swifters shall be arranged so that it is necessary to roll boom sticks in order to attach or detach them.
(h) Periodic inspection of cable or dogging lines shall be made to determine when repair or removal from service is necessary.
(i) The banks of the log pond in the vicinity of the log haul shall be reinforced to prevent caving in.
(j) Stiff booms shall be two float-logs wide, secured by boom chains or other connecting devices, and of a width adequate for working. Walking surfaces shall be free of loose material and maintained in good repair.
(k) Boom sticks shall be fastened together with adequate crossties or couplings.
(l) Floating donkeys or other power-driven machinery used on booms shall be placed on a raft or float with enough buoyancy to keep the deck well above water.
(m) All sorting gaps shall have a substantially stiff boom on each side.
(n) When powered pond boats or rafts are used, there shall be compliance with the applicable provisions of the Standards for Fire Protection for Motorcraft, NFPA No. 302-1971.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
Article 15. Sawmills
§6343. Sawmills.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6344. Log Hauls.
Note

(a) Log conveyors shall be solidly built, kept in good repair, and of sufficient strength to support five times the maximum load.
(b) Log conveyor bull chains or cables shall be designed and built with an adequate safety factor.
(c) The return strand of chain log conveyors in the basement shall be guarded so that in the event of breaking, they cannot fall on anyone beneath.
(d) Log conveyor controls shall be identified and arranged to be operated from a position where the operator is in the clear of logs, machinery, lines, and rigging.
(e) A positive stop or bulkhead shall be installed on all log conveyors to prevent logs traveling too far ahead in the mill.
(f) Employees shall not work under logs which are being hoisted to the log deck.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6345. Decks.
Note     •     History

(a) Where deck saws are provided, they shall be arranged so that they do not project into any walkway or aisle.
(b) In existing installations where the deck saw is located so that it blocks the entrance to the log haul runway, the entrance doorway shall be guarded by a substantial timber or an automatic bar or gate operated by the saw frame to close the entrance while the saw is in operation.
(c) When a stationary chain saw is used, either at the pond or log deck, the top run of the chain shall be guarded.
(d) Log decks shall be provided with adequate chocks, chains, or other safeguards, to prevent logs from accidentally rolling down the deck and onto the carriage or its runway, or off the yard end of the deck.
(e) A barricade or other positive stop shall be erected at the mill end of the log deck to protect the sawyer from rolling logs. Such barricade or stop shall be of sufficient strength to stop any log.
(f) Where scaling is done on the log deck, the scaler shall be protected by some means of stopping all log moving equipment in the immediate vicinity.
(g) Loose chains from overhead canting gear or other equipment shall not be allowed to hand over the log deck in such a manner as to create a hazard.
(h) Employees shall not cross or work on log decks where they are likely to be struck by rolling logs.
(i) Deck surfaces shall be kept reasonably clean.
(j) A clear walkway along the upper side of the log deck and around the head rig shall be provided. An overhead walkway or underpass may be substituted.
(k) When it is necessary to cross log hauls or chutes, overhead grablines shall be installed.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and subsection (j) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6346. Barkers.
Note

(a) Mechanical barking devices shall be guarded to protect employees from flying objects.
(b) Logs shall not be removed from the barker until the barking head has ceased to revolve, unless the barker is designed, arranged, or located so that the barking head will not create a hazard to employees.
(c) The elevating ramp, or gate, shall be provided with a safety chain and hook, or other positive means of suspension, for use while employees are working under the gate.
(d) Hoop barriers, or other adequate means strong enough to contain a whipping log, shall be installed on both sides of ring barkers.
(e) Steel barriers, or other positive means of stopping a rolling or thrown log, shall be installed between the operator and revolving head barkers where the operator is exposed to this hazard.
(f) Hydraulic barkers shall be enclosed with strong baffles at the inlet and the outlet. The operator shall be protected by at least five-ply laminated glass, or material of equivalent strength.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6347. Sawyer.
Note     •     History

(a) Positive means shall be provided for securing the sawyer's control levers in neutral position when not in use.
(b) All control levers, except those on steam or shotgun feed, shall be arranged so that when released they will return to the neutral position.
(c) Carriage control levers shall be guarded against interference from moving objects.
(d) The sawyer shall be protected from flying chips and knots.
(e) An audible signal device, mirror, or other means shall be used for transmitting signals between the sawyer, offbearer, and setter where logs may be of such size as to block visibility.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6348. Carriages.
Note     •     History

(a) Carriages shall be substantially constructed, kept in proper adjustment, and floored or decked over to afford secure footing where employees are required to ride.
(b) The sheaves on rope-driven carriages shall be guarded at the floor line with substantial housings. Sheaves of cable operating rope-feed setworks and setworks pinion, at the rear of the carriage head blocks, shall be guarded in a similar manner.
(c) On a shotgun-fed carriage drive, the following are required:
(1) Valves on shotgun feeds shall be positively secured before the sawyer leaves the station. The use of leaking steam valves or piping on saw carriage drives is prohibited. Adequate provision shall be made to prevent the carriage from creeping.
(2) When steam boilers are located above the shotgun feed, provision shall be made for preventing condensation from collecting in the shotgun feed cylinder.
(3) Heads of shotgun cylinders shall be substantially blocked.
(4) Means shall be provided whereby the sawyer or other members of the head rig crew may stop the head saw, in an emergency.
(d) When the mill is shut down, the carriage on shotgun feed mills shall be positively secured at the end of the run.
(e) Where employees ride the carriage, and the distance from the rear edge of the carriage to the wall of the building is not more than 18 inches, the side wall shall be boarded over smoothly to a height of no less than 6 feet 6 inches above the carriage platform, and for at least the length of the carriage travel. Where overhead knee braces or timbers come to within 6 feet 6 inches above the carriage platform, such braces or timbers shall be boarded over smoothly for the length of the carriage run. No roof truss, roof timber, or other projection shall be located less than 6 feet 6 inches above the platform on any carriage.
(f) Where a walkway is provided behind the carriage, there shall be no less than a 4-foot clearance between the rear of the carriage and the building wall, unless guardrails or barriers are provided to eliminate possible contact with the moving carriage.
(g) The carriage run, if exposed, shall be protected by a guardrail of the same height as the carriage platform, the rail to be of 1 1/4-inch pipe or 2-inch by 4-inch lumber. The guardrail shall clear the carriage blocks when they are in their rear position.
(1) Doors which lead to a passageway at the end or side of the carriage run shall be provided with standard guardrails opposite the doorways. A warning sign shall be posted at the entrance of such doorways.
(2) Where employees ride the carriage, a substantial spring or a pneumatic stop shall be installed at each end of the carriage travel. Riderless carriages shall be provided with substantial stops to protect employees in the vicinity of the ends of the carriage run.
(3) Substantial sweeps of metal, wood, or other suitable material shall be provided in font of the wheels at each end of the carriage. The sweeps shall extend to within 1/4-inch of the rails.
(h) Where a steam-operated, Hill-type log-turning device is used, carriage knees shall be provided with goosenecks, unless the carriage crew is otherwise protected against climbing logs.
(i) Logs which are not long enough to reach at least two carriage blocks shall not be sawn on carriages.
(j) Dogging devices shall be adequate to secure logs, cants, or boards during sawing operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6349. Band Saws.
Note     •     History

(a) Band saws 7 inches or wider shall not be run at speeds in excess of the manufacturer's recommendation.
(b) When the saws are repaired, remanufactured, or retensioned to change their operating speeds, they shall be tagged, painted, marked or otherwise flagged to indicate the new safe operating speed.
(c) Saws that develop a crack greater than one-tenth the width of the saw shall be repaired or replaced.
(d) Saws shall not be continued in use on the head rig after they have been reduced 30 percent in width. They may be used for other purposes if properly conditioned. They shall not be circumferentially welded together to increase their width, except by a manufacturer.
(e) Guides shall be kept in proper conditions and alignment at all times.
Note: For band saws less than 7 inches wide, see Section 4310 of the General Industry Safety Orders, Title 8, California Administrative Code.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6350. Band Saw Wheels.
Note     •     History

(a) Every band wheel shall be carefully inspected at least once a month for defects; proper repairs shall be made, or the wheel removed from service.
(b) A band wheel in which a crack is found shall be immediately discontinued from service until properly repaired.
(c) Band wheels 7 inches or wider shall have a minimum rim thickness of 5/8-inch if made of cast iron, or 1/2-inch if of cast steel, or equivalent material, except for a distance no more than 1-inch from the edge of the wheel.
(d) No band wheel saw shall be run at a peripheral speed in excess of that recommended by the manufacturer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6351. Guarding Head Saw.
Note

(a) Band wheels shall be encased or guarded, except for the lower front quadrant on the off bearing side of the upper wheel where the blade leaves the wheel and the blade itself from that point down to the lower point of support or guide. The guard shall be constructed of no less than No. 7 gauge steel plate, or of wood. If wood is used, the guard shall be of at least 2-inch boards, secured to frame members no less than 2 inches by 4 inches.
(1) The opening in the upper band wheel guard shall be no larger than 12 inches horizontally toward the center of the wheel, and 6 inches vertically above the point of contact of the blade with the wheel.
(2) Suitable ventilating ports no larger than 2 inches by 4 inches shall be permissible.
(3) Every band mill shall be equipped with a saw catcher or rest of substantial construction.
(4) Saw hoists shall have brakes and an upper travel limit switch.
(b) Band resaws and rip saws shall be guarded as provided in (a). Vertical feed rolls exposed to contact shall be guarded on the sides and in front by an enclosure extending to within 1/2-inch of the surface of the work passing through the rolls. Horizontal feed rolls exposed to contact shall be enclosed by a cover over the front and open sides. The lower edge of the cover shall come down to a point within 1/2-inch of the surface of the work passing through the rolls.
(c) Provisions shall be made for alerting and warning employees before starting band head saws, and measures shall be taken to ensure that all persons are in the clear.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6352. Circular Head Saws.
Note     •     History

(a) Circular head saws shall not be operated at speeds in excess of 10,000 peripheral feet per minute, unless specially tensioned and recommended by the manufacturer for the higher speeds, in which case the saw shall be distinctively marked to indicate the higher speed.
(b) When saws are repaired, remanufactured, or retensioned to change their operating speeds, the saw shall be tagged, painted, marked, or otherwise flagged to indicate the new operating speed.
Note: The following table shows revolutions per minute of saws operated at the rim speed of 10,000 feet per minute: 

Diameter of		   Diameter of
saws, inches	R.P.M.	  saws, inches	R.P.M.
 	8	 4,774	46	 830 
	 9	 4,244	48	800 
	10	 3,819	50	764 
	11	 3,472	52	734 
	12	 3,183	54	707 
	14	 2,728	56	 682 
	16	 2,387	58	658 
	18	 2,122	60	636 
	20	 1,910	62	616 
	22	 1,736	64	597 
	24	 1,592	66	579 
	26	 1,469	68	562 
	28	 1,364	70	546 
	30	 1,273	72	530 
	32	 1,193	74	516 
	34	 1,123	76	502 
	36	 1,061	78	490 
	38	 1,005	80	477 
	40	 955	82	465 
	42	 910	84	455 
	44	 868
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6353. Guarding Head Rigs.
Note     •     History

(a) Where rock saws are provided, the upper portion of the saw shall be guarded.
(b) Wherever practicable, the rock saw shall be provided with an exhaust hood.
(c) Circular headrigs shall be equipped with safety guides which permit adjustment without the use of a wrench or other hand tool.
(d) Brackets or edging support shall be provided between the saw and the side of the husk or frame.
(e) Circular headrigs shall have horizontal clearance from the side of the saw to the nearest post of the husk frame. Horizontal clearance shall be 1-inch greater than the vertical distance between the saw collar and the cutting edge of the saw.
(f) The opening in the off-bearing side between the husk and the saw shall be guarded.
(g) There shall be a hood or canopy over the upper saw of every double circular head saw.
(h) There shall be a guard over the saw of single circular head saws.
(i) Splitters shall be used on all circular headsaws, unless the dogging and turning of logs and cants are done by mechanical means and the roll cases are power-driven.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6354. Guarding.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 6354 to Section 6353(g) and (h) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6355. Splitter.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering of former Section 6355 to Section 6353(i) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6356. Circular Saw Crack.
Note     •     History

Circular saws shall be inspected for cracks each time the teeth are filed or set. Any circular saw found to have developed a crack equal to the following table shall be repaired or replaced. 

Length of Crack	Saw Diameter

1/2-inch	 12 inches
1-inch	 24 inches
1 1/2-inch	 36 inches
2-inches	 48 inches
2 1/2 inches	 60 inches
3 inches	 Over 60 inches

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6357. Live Rolls and Roll Cases.
Note     •     History

(a) Employees shall not cross over or pass through gaps in moving sorting chains, green chains, cross conveyors, roll conveyors, or bridge rolls, except where crossovers or walkways are provided. 

Exception: Decked-over green chains or sorting chains.
(b) Stops or guides shall be installed where necessary to prevent lumber from running off conveyors.
(c) The space between live rolls for a distance of at least one roll on either side of crossovers or runways shall be filled in with materials to support a load of 250 pounds applied at any one point.
(d) The use of spike rolls is prohibited, either in mill or yards. Rough shaker rolls are permitted where no employees are exposed to contact.
(e) No employees shall ride a moving sorting chain or similar type of equipment.
(f) No less than 24 inches of the head saw roll case shall be joined to the husk.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6358. Edgers.
Note     •     History

(a) Edgers shall be housed with a guard of No. 8 gauge metal plate, or material of equivalent strength, to close the openings in the end frames, cover the top, and guard the front and back as far down as is practicable.
(b) On edgers equipped with automatic setworks, the circuits which control the saw setting mechanism shall be interlocked with the pressure rolls and the edger picker in such a manner as to prevent shifting of the saws while there is stock in the edger. In the event of power failure, the saws and picker should lock in position without shifting.
(c) All edgers with saw arbors mounted below the feed rolls shall be equipped with an anti-kickback device installed on the in-feed side, designed and maintained to be effective for all thicknesses of materials. The tips of the fingers shall be hardened and kept sharp. See Edger Anti-kickback Device Plate in Appendix A. 

Exception: Edgers having counter rotating arbors which are mounted above and below the feed rolls and act in conjunction with constant pressure hold down rolls.
Note: This may not apply when the location of the edger renders the use of these devices unnecessary.
(d) All edgers with saw arbors mounted above the feed rolls shall be equipped with effective anti-kickout devices or barriers located on the outfeed side of the edgers.
(e) Edgers shall not be located in the main roll case behind the head saws. They shall be offset at least 6 feet the husk or mill side of the roll cases.
(f) The pressure roll on edgers shall not be raised while stock is being run, or when any person is in line with the saws.
(g) The edgerman shall not raise feed rolls or fingers while standing in front of the edger, or reach between saws while the edger is in operation.
(h) The edgerman shall not put hands on cants being run through the edger after the cant has become engaged by feed rolls.
(i) Live rolls in back of the edger shall operate at a speed no less than the speed of the edger feed rolls.
(j) Tables in back of the edger shall be kept clear of cants, edging, and obstacles that impair processing.
(k) Saws shall not be sharpened on the arbors or changed, until the machine is positively disconnected from the power and cannot be started without the knowledge of the employee doing the sharpening.
(l) A controlling device shall be installed and located so that the operator can stop the feed mechanism without releasing the tension of the pressure rolls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction of subsection (d) filed 3-11-81 (Register 81, No. 11).
2. Amendment of subsections (c), (d) and (j) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
3. Amendment of subsection (c) filed 4-29-85; effective thirtieth day thereafter (Register 85, No. 18).
§6359. Jump, Underhung, and Overhead Swing Saws.
Note

(a) All saws shall be effectively guarded above and below the table or roll case.
(b) Stops shall be installed to prevent timber from being thrown off the roll case.
(c) A positive stop shall be installed to prevent the saw from passing the front edge of the roll case, guard, barrier, or table. The throat in the table or roll case shall be only wide enough to permit unobstructed operation of the saw.
(d) Foot-treadle operated saws shall have a treadle guard fastened over the treadle. A safety block shall be placed under the treadle while adjustments are being made.
(e) Swing cutoffs saws shall be provided with an effective device that automatically returns the saw to the back of the table when the saw is released at any point in its travel; such device shall not depend upon a fiber rope for its proper functioning.
(f) If a counterweight is used on overhead swing saws, all bolts supporting the bar and weight shall be provided with cotter pins. A bolt shall be put through the extreme end of the bar to prevent dropping the weight; where the weight does not enclose the bar, a safety chain shall be attached to prevent dropping.
(g) If an overhead counterweight and arm are used, the arm shall be provided with a safety chain or chains to prevent the counterweight falling if the arm breaks.
(h) Swing cutoff or trim saws shall not be located so that they operate directly in line with stock coming from the edger.
(i) Saws that are fed by other than hand power shall be so designed that they can be locked, or rendered inoperative to unauthorized persons.
(j) Swing saws on log decks shall be equipped with a positive stop for the protection of persons who may be on the opposite edge of the log haul chute.
(k) Tables or roll casings for swing saws shall be provided with stops or line-up rail to prevent material being pushed off the opposite side.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6360. Slasher Saws.
Note

(a) Substantial guards of no less than 2-inch planking, heavy wire mesh mounted in a steel frame, or the equivalent, shall be placed in front of gang slasher saws. A second barricade of planking 2 inches or thicker, or its equivalent, shall be provided at the rear of the saws and constructed to provide full protection to anyone working or passing in the rear of the saws. If end saws are on passageways, they shall be guarded against contact.
(b) Slasher saw feed chains shall be arranged so that they can be controlled from the spotter's station.
(c) Slasher feed chains shall be stopped while employees are on the slasher feed table, unless the operator is stationed at the feed chain control.
(d) The slasher should be fenced off at the end opposite the operator.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6361. Underhung and Drop Trimmer Saws.
Note

(a) Trimmer saws shall not be run at a rim speed in excess of the manufacturer's recommended speed.
(b) Gang trimmer saws shall be guarded in front by a flat or round steel framework with a rigid metal screen or light iron bars attached thereto, or by wood baffles no less than 2 inches and securely bolted to a substantial frame or equivalent means.
(c) Front guards for a series of saws shall be set as close to the top of the trimmer table as is practical, considering the type of machine and the material being cut. The end saws on these trimmers shall be either guarded or railed off wherever employees are exposed to contact.
(d) The rear of the saws shall have a stationary or swinging guard of no less than 2-inch wood material, or equivalent, the full width of the saws and extending as much as possible to protect all persons at the rear of the trimmer.
(e) Push, pull, or two-saw trimmers shall be arranged so that the operator may make trim adjustment without coming close to the saw; or shall be provided with hood guards that cover the saw at all times, at least to the depth of the teeth. The guard should adjust itself automatically to the thickness of the material being cut, and remain in contact with the material at the point where it encounters the saw. That part of the saw located below the table shall also be enclosed.
(f) Automatic trimmer saws shall be provided with safety stops or hangers to prevent saws dropping below their sawing position.
(g) Saws shall not be propped up at quitting time, or for the convenience of the filers, until they have completely stopped. All controls shall be locked while the saws are filed.
(h) Trimmer feed chains shall be stopped while employees are on the trimmer feed table.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6362. Gang Saws.
Note

(a) Cranks, pitman rods, and other moving parts shall be shielded from contact by the frame of the machine or by adequate guards.
(b) The drive mechanism to the feed rolls shall be completely enclosed.
(c) Carriage cradles of whole-log gang saws shall be of adequate height to prevent logs kicking out while being loaded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6363. Hog Mills.
Note

(a) To minimize jamming, hog mills shall be provided with feed chutes and conveyors designed to handle the material being processed.
(b) Chutes shall be arranged so that the distance from any place on the rim to the cutter knives is no less than 40 inches.
(c) The feed chutes shall be provided with suitable baffles, screens, or barriers which shall prevent material being thrown from the mill, unless the mill is located so that thrown material is not a hazard.
(d) The top rim of the chute shall extend no less than 36 inches above the floor or working platform, unless the chute opening is protected by other adequate means.
(e) Employees feeding or tending hog mills shall be provided with and required to use safety belts and lines, unless they are otherwise protected from falling into the mill.
(f) All conveyor-fed hog mills shall be equipped with a trip bar or emergency stop located where employees can readily reach it to immediately stop the conveyors.
(g) A metal detector shall be installed whenever possible.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6364. Wood Chippers.
Note     •     History

(a) Wood chippers shall be provided with a feed throat extending not less than 36 inches from the knives, and the minimum access distance from the ground or other working level to the knives (measured vertically and horizontally) shall not be less than 88 inches.
(b) Chippers shall be provided with a swinging baffle at the mouth of the chipper or hopper, a screen between the chipper and operator, or some other means of protecting employees from material thrown back by the chipper knives.
(c) All conveyor-fed chippers shall be equipped with a trip bar or emergency stop located where employees can readily reach it to immediately stop the conveyor.
(d) A metal detector shall be installed whenever possible.
(e) Access covers or doors shall not be opened until the drum or disk is at a complete stop. A permanent plate carrying this instruction shall be attached in a prominent place on or near the covers or doors. 
(f) Employees feeding or tending chippers shall be provided with and required to use safety belts and lines, unless the employees are otherwise protected from falling into the chipper.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 1-16-81; effective thirtieth day thereafter (Register 81, No. 3).
2. Amendment of subsection (d) and new subsection (f) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6365. Conveyors.
Note

(a) Troughs in which the working strands of a conveyor operate shall be of ample dimension and strength to carry a broken chain, and shall afford effective protection to all employees.
(b) Return strands of all conveyors that are within 7 feet of the floor and subject to contact by employees shall be provided with a trough guard.
(c) Return strands of conveyors higher than 7 feet and located over or near passageways or work areas shall have rollers or guards underneath that effectively protect employees.
(d) When the working strands of conveyors cross within 3 feet of the floor level in passageways, they shall be completely enclosed or bridged over along the full length of the exposure.
(e) Elevated slab or wood conveyors shall have sidewalls of ample height to prevent material being thrown from the conveyor. In lieu of this, the area under the conveyor may be fenced off.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6366. Stationary Tramways and Trestles.
Note

(a) Tramways and trestles shall have substantial mud sills or foundations which shall be frequently inspected and kept in repair. When vehicles are operated on tramways and trestles which are used for foot passage, traffic shall be controlled, or there shall be provided a walkway with standard handrails at the outer edge and shear timber on the inner edge. The walkway shall be wide enough to allow adequate clearance for vehicles. When walkways cross over other thoroughfares, they shall be solidly fenced at the outer edge to a height of 42 inches over such thoroughfares.
(b) Stationary tramways and trestles shall have a vertical clearance of 22 feet above railroad rails. When constructed over carrier docks or roads, they shall have a clearance of 6 feet above the driver's footrest on the carrier, and in no event shall this clearance be less than 12 feet above the roadway. In existing operations where it is impractical to obtain such clearance, telltales, electric signals, or other precautionary measures shall be installed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6367. Dry Kilns.
Note     •     History

(a) Dry kilns shall be constructed upon solid foundations to prevent tracks from sagging. Transfer car, kiln car, and dolly tracks shall be maintained in good repair and condition at all times.
(b) Transfer, kiln car, and dolly tracks shall not have a grade steeper than 1 1/4 percent, and shall be provided with substantial bumpers or stops to prevent cars from running off the ends of the rails.
(c) When loaded kiln cars are standing on inclined track, the wheels shall be effectively blocked.
(d) Where tram or kiln cars are gravity-traveled, effective mechanical braking devices shall be used.
(e) Track grades in kilns shall not exceed 15 inches in 100 feet, unless a winch and line are used for snubbing and pulling the cars to or from the kiln.
(f) Each kiln car shall be equipped for easy attachment and detachment to transfer cables.
(g) An adequate means shall be provided for chocking cars.
(h) Tracks shall be clear before cars are shunted into the unstacker. 
(i) Cars shall not be moved while employees are in the bight of transfer lines.
(j) Stickers shall not be allowed to hazardously protrude.
(k) Dry kilns shall be provided with suitable walkways. Each kiln shall have a door easily operated from the inside, or a special exit door operated from the inside shall be located in or near the main loading doors.
(l) A clearance of no less than 18 inches shall be maintained between loaded cars and the walls of the kilns.
(m) Main kiln doors shall be provided with a method of holding them open while the kiln is loaded. To prevent toppling, adequate means shall be provided to firmly secure the main doors when they are disengaged from carriers and hangers.
(n) Pickup and unloading points and paths for lumber packages on conveyors transfers, and other areas where accurate spotting is required, shall be plainly marked and wheel stops provided where necessary.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (g) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6). 
§6368. Fuel Houses, Chip Bins, and Hoppers.
Note     •     History

(a) Fuel houses shall be provided with at least two exits.
(b) Sawmill operations involving fuel houses, chip bins, and hoppers, shall comply with the requirements of Section 3482 of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Repealer of subsections (b)-(d) and new subsection (b) filed 11-14-2006; operative 12-14-2006 (Register 2006, No. 46).
Article 16. Veneer and Plywood Plants
§6375. Barking and Peeling Pits.
Note

(a) Hooks used for handling logs shall be equipped with hand holds and kept in good repair.
(b) Spiked hooks without a bell shall not be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6376. Veneer Lathe.
Note

(a) The area under the elevating ramp (tipple) from the lathe to stock trays, shall be provided with railings or other suitable means of preventing employees from entering.
(b) A positive means shall be provided and used to prevent the back-up roll from closing until activated by the operator.
(c) A guard or positive interlock and necessary hydraulic or air controls shall be provided to prevent forward movement of the charger, if such movement is hazardous.
(d) Positive means shall be provided to hold the head in the open position while servicing the knife.
(e) A protective device for the knife edge shall be provided for transporting the knife.
(f) Where there is a hazard from exploding logs, both lathe operator's and charger operator's stations shall be protected against flying slabs and chips.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6377. Veneer Slicer.
Note

The veneer slicer knife shall be guarded at front and rear to prevent accidental contact with the knife edge.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6378. Veneer Clipper.
Note

(a) Clippers shall be provided with a guard on both in-feed and out-feed sides to protect the operator and helper.
(b) Each operating treadle for veneer clippers shall be covered by a treadle guard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6379. Tray System.
Note

The tray system shall be equipped with controls at each end so that the system cannot be operated unless both switches are in the one position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6380. Core Saws.
Note

All unused portions of band saws or circular saws used to trim panel core shall be guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6381. Veneer Glue Spreaders.
Note

(a) Spreaders shall be equipped with an automatic stopping device which will stop the spreader rolls when contact is made with the device.
Note: A roll-release device is recommended.
(b) Spreader cleanup persons shall be prohibited from cleaning the rolls from the in-feed side while the machine is running.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6382. Veneer Presses.
Note

(a) Hot-press hoists shall be provided with a braking and holding mechanism which will operate automatically in case of failure of the lifting chains or cables.
(b) On a hot-press equipped with an automatic charger, an electrically interlocked gate or chain shall be provided across the opening between the charger and the press which, when opened, will open the circuit to prevent the charger from moving.
(c) Where two workers are employed in loading the press, closing control devices shall be provided within reach of each work station. These devices shall interconnect so that activation of both controls is required to operate the press. A quick-opening device shall be provided at each work station on the press hoist platform.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6383. Stripsaw.
Note

An anti-kickback device and hood guard shall be provided on the veneer stripsaw.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6384. Patch Machine.
Note

The patch machine shall be guarded to prevent the operator's hands entering the punch area, and the foot treadle shall be guarded.
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
§6385. Veneer Chipper.
Note     •     History

The top feed roll shall be equipped with a guard, and a shield or panel shall be provided on the operator's side to prevent contacting the roll.
Note: See Section 6364, Chippers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6386. Edge Gluer Jointer.
Note

(a) A barrier shall be installed at the end of the travel of the head to prevent flying splinters from injuring personnel.
(b) A gate shall be installed to prevent access between the edge gluer jointer and the grasshopper, arranged so that when the gate is opened, all electricity, air, and hydraulic lines will be shut off and the cylinders bled.
(c) A device shall be positioned across the front of the in-feed nip point, arranged to shut off the equipment if contact is made with it.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6387. Sanders.
Note

Wide-belt sanders shall be equipped with anti-kickback devices, and a barrier at the in-feed side adjusted to prevent more than one panel entering the sander at a time.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6388. Scissors Lift.
Note

For purposes of cleaning and repair, all scissors lifts, regardless of size, shall be provided with mechanical means of supporting the lift in a raised position, independent of the hydraulic system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
Article 17. Lath, Shingle, and Shake Mills
§6395. Shingle Saws.
Note

(a) Shingle saws shall have a metal guard covering the edge of the saw to at least the depth of the teeth, except for the part of the cutting edge that is essential for sawing.
(b) A die piece shall be substantially attached to this rim guard, on the side next to the sawyer. In lieu of this, both sides shall be guarded up to the part which must be left open to clear the stock, provided the front and back guards extend 6 inches beyond the points of the teeth.
(c) When a bolt is not in the cut, a wood or metal guard should be secured to the sliding table at the side nearest the sawyer to protect from contact with the cutting edge of the saw.
(d) The bottom spault catcher shall be no less than 1/4-inch thick, and kept sharp at all times.
(e) Shingles saws, when reduced in size to less than 40 inches in diameter, shall no longer be used as shingle saws.
(f) Such reduced shingle saws may be reconditioned for use as clip saws, provided the surfaces are reground and the proper balance attained.
(g) Clip saws shall be entirely housed, except for the operating edge.
(h) All clip saws shall be provided with an approved metal bar guard above the operating edge of the saw, and clipper board finger guard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6396. Hansen Saws.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6397. Bolter and Equalizer Saws.
Note     •     History

(a) Bolter and equalizer saws shall be provided with guards of 1-inch wood or equivalent material. The guard shall be secured to the carriage and entirely cover the saw disc when the carriage is in the loading position. Wipers shall be installed on both sides of the saw.
(b) A device shall be provided to automatically return, secure and hold the carriage in the neutral position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
§6398. Knee Bolter Saw.
Note

Knee bolter saws shall be provided with guards of 2-inch wooden or equivalent material secured to the carriage. Guards shall entirely cover the saw disc when the carriage is in the loading position. The saw shall be located so that there is no hazard of flying materials, or a barricade of no less than 2-inch planking shall be placed at the rear of the saws.
NOTE

Authority cited: Section 142.3, Labor Code. Reference:Section 142.3, Labor Code.
§6399. Shingle Jointer.
Note

The front or cutting face of knife-type shingle jointers shall be fully guarded, except for a narrow slot through which the shingles may be fed against the knives.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6400. Circular Shake Saws.
Note

(a) An effective splitter shall be installed behind the shake saw.
(b) A canopy guard shall be installed over the top of the shake saw. This may be a 2-inch by 6-inch timber of a length equal to the diameter of the saw, and of a height to clear the moving pats of the carriage.
(c) Grooving or edging saws shall be completely protected against contact, except for that portion against which the stock is fed.
(d) That portion of all such saws which is below and behind the saw table shall be effectively guarded. Hinged or removable doors or gates will be permitted where necessary for machine adjustment and oiling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
§6401. Lath and Shingle Mills.
Note

Lath mills shall be arranged so that stock pickers are protected from slabs and blocks that come from the slasher and trimmers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§6402. Bolters and Lath Machines.
Note

(a) Bolters and lath machines shall be provided with a shield of no less than 2-inch wood or equivalent material and built in front of the machines.
(b) Lath bolters and lath mill saws shall be provided with a metal hood guard no less than 1/8-inch thick. These hoods may be hinged so that they can be turned back to permit changing the saws.
(c) A substantial metal plate baffle, finger device, or other acceptable device shall be installed to prevent kickbacks.
(d) Feed rolls and feed mechanisms shall be arranged so that it is not necessary to push the stock through the machine. The feed rolls shall not be raised while any employee is in line with the saws.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix A Radio Control Signaling Devices
Radio equipment at cable logging sites which is used primarily for voice communication shall be assigned a frequency separate from radio equipment used primarily to: initiate whistles and other audible signaling devices; control any machine, material handling device, or other equipment hazards to workers.
Frequencies at 72.44, 72.48, 72.52, 72.56, 72.60, 75.44, 75.48, 75.52, 75.56, 75.60, 154.57 and 154.60 megahertz (MHz) are to be retained for channels using coded modulation to provide secure signalling for the purpose of activating signalling devices and machine functions in cable logging with a maximum one half watt output. Voice transmission on these radio frequencies will be limited to emergency situations only.
All radio devices that are tone coded for signal and/or machine functions or used for voice communications, shall meet or exceed the following requirements, specifications, tolerances and tests:
(1) Transmitters and receivers shall be Federal Communications Commission (FCC) type accepted and certified.
(2) Radio coded systems which activate audible signals or machine functions shall transmit and decode only on authorized codes.
(3) The receiver tone signaling threshold sensitivity shall be .35 micro-volt or better to initiate the signal function.
(4) The receiver spurious attenuation shall be no less than 50 dB.
(5) The receiver selectivity shall be more than 60 dB at the adjacent channel.
(6) In tone coded systems the receiver decode tone frequency stability shall not exceed plus or minus (+) .006 (.6 percent) of the assigned tone frequency.
(7) In tone coded systems, the transmitter encoder tone frequency stability shall not exceed plus or minus (+) .006 (.6 percent) of the assigned tone frequency.
(7.5) In systems which use coded modulation other than tone coding, tolerances on modulation/code parameters shall be such as to guarantee security against code falsing and/or interference with systems of the same or different coding format.
(8) Radio systems (transmitters and receivers) shall operate in accordance with the specifications over an ambient temperature range of minus 30oC to plus 60oC.
(9) Switches of transmitters used to send whistle signals or activate equipment associated with high lead, slackline, or skidder systems of logging shall be designed so that two buttons, motions, or a combination of these are required simultaneously to cause activation of the system. Arrangement of the activating switches shall be such that the operator can transmit signals easily by the use of either hand, but cannot easily activate the transmitter accidentally.
(10) All receivers intended to be mounted on or in the yarder or similar equipment shall continue to operate satisfactorily and shall suffer no mechanical damage after being subjected to a series of no less than 10 impacts in each plane (total 30). Each impact shall be no less than 20 g acceleration.
(11) All receivers intended for mounting in the yarder or similar equipment, and all portable transmitters, shall continue to maintain specified mechanical and electrical performance during and after being subjected to vibration of the magnitude and amplitude as prescribed in ANSI/TIA/EIA-603-1992, Section 3.3.4, Vibration Stability, which is hereby incorporated by reference.
(12) All portable transmitters shall continue to maintain specified mechanical and electrical performance after being subjected to the following test:
The equipment shall be dropped once on each of 5 surfaces from a height of 4 feet.
(13) At least one model of each radio system shall be tested, and certified that it meets or exceeds the minimum requirements for performance specified in this Appendix. The model shall be selected at random from stock. 

Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of Appendix A filed 2-6-85; effective thirtieth day thereafter (Register 85, No. 6).
2. Amendment of second and fourth paragraphs filed 5-1-97; operative 5-31-97 (Register 97, No. 18).
3. Change without regulatory effect amending fourth paragraph filed 12-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 52).
4. Amendment filed 10-24-01; operative 11-23-01 (Register 2001, No. 43).
5. Change without regulatory effect providing more legible illustrations within Appendix A filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).

Appendix A

Whistle--Signals
The following standard signals shall be adopted and used for the type of operation listed. If a standard signal is not listed to cover an unusual or new situation, a new signal may be adopted and used for that specific situation. 

HIGH-LEAD LOGGING WHISTLE SIGNALS 

1 short	Stop all lines
3 short--3 short	 Ahead slow on mainline
3 short	 Ahead on mainline
2 short	 Ahead on haulback
2 short--2 short	 Ahead slow on haulback
3 short--1 short	 Ahead on strawline
3 short--1 short--3 short	 Ahead slow on strawline
4 short	 Slack mainline
2 short--4 short	 Slack haulback
3 short--1 short--4 short	 Slack strawline
3 short--2 short	 Tight line
3 short	 When rigging is in:strawline
	back on haulback
3 short plus “X” number of shorts	When rigging is in: Indicates
	number of sections of 
	strawline back on rigging
3 short--1 short--2 short	 Strawline back on rigging
1 short	 When rigging is in: Chaser inspect 
	and repair rigging
2 short	 When rigging is in: No chokers back
2 short--1 short plus “X” number of shorts	Number chokers back
2 short--4 short	When rigging in: Slack haulback--
	hold all lines until 2 short blown
3 medium	 Hooker
3 medium--4 short	 Hooker and his crew
5 long	 Climber
4 long	 Foreman
1 long--1 short	 Start or stop work
7 long--2 short	 Man injured, call transportation and stretcher
1 long--1 short repeated	 Fire

GRABINSKI SYSTEM

2 short--1 short	 Slack mainline and haulback together
2 long	 Take off or put on rider block

SLACK LINE WHISTLE SIGNALS

2 short--2 short--2 short	First cable up when road has been
	changed and tail hold made fast
2 short--2 short--2 short	 Drop skyline
1 short	 Stop any moving line
1 long	 When logging, slack skyline
2 short	 Ahead on skyline
1 long--2 short	 Ahead easy on skyline
3 short	 Ahead on skidding line,
	holding haulback
3 short--3 short	Ahead easy on skidding line
	with slack haulback
4 short	 Slack skidding line
2 short--2 short--repeated once	 Ahead easy on haulback with
	slack skidding line
2 short--2 short	 Ahead on haulback
2 short--2 short--4 short	 Slack haulback
2 short--pause--3 short	 Pick up skyline and skid
2 short--pause--2 short--2 short	 Pick up skyline and skid
3 short--1 short	When carriage is in: strawline
	back on haulback
3 short--1 short--2 short	When carriage is in: strawline
	back on carriage
3 short--1 short	 When strawline is out: ahead on strawline
3 short--2 short	 Tight line
3 short--1 short--4 short	 Slack strawline
3 short--1 short--3 short	 Pull easy on strawline
2 long	 Ahead on transfer
2 long--4 short	 Slack transfer
2 long--2 short--2 short	 When carriage is in: transfer 
	back on carriage
1 long--1 short	 When carriage is in: number of coils
2 short--2 short--1 or more short spaced	 When carriage is in
	number of chokers
1 short	When carriage is in: inspect rigging,
	repair, and send back
2 short--2 short--4 short	 When carriage is in: slack haulback
 	and hold all lines until 1 short
	is blown; then send back
3 short--3 short	 When carriage is in: send back powder
5 medium	 Tail rigger
5 medium--4 short	 Tail rigger and his crew
3 medium	 Head hooker
3 medium--4 short	 Second hooker and his crew
5 long	 Climber
4 long	 Foreman
1 long--1 short	 Start or stop work
7 long--2 short	Man injured, call transportation and stretcher
1 long--1 short repeated	 Fire

SKIDDER WHISTLE SIGNALS

1 short	 Stops moving carriage. Stops or goes ahead on 
	slack puller as case may be, if carriage is stopped
2 short	 Go ahead on skidding line holding carriage
1 short--2 short	 Pick up skidding line, easy
2 short--1 short	 Shake up carriage to clear choker
2 short--2 short	 Ahead on receding line
3 short	 Ahead on carriage, holding at present level,
	using interlock
2 short--3 short--3 short	 Ahead easy on skidding line
2 short--2 short--2 short	 Slack skyline, cable down
2 short--2 short--2 short--1 short	 Pick up skyline, cable up
2 short--2 short--4 short	 Slack receding line
2 short--4 short	 Slack skidding line
2 short--2 short--1 short	 Tighten all lines
1 short--4 short	 Slack off slack puller
1 short--2 short	 Pick up slack puller when slack
2 short--2 short--1 short	 When carriage is in: to be 
	used for number of chokers wanted
2 short--2 short--1 long	 To be used for bull choker
1 short	 When carriage is in: inspect butt rigging
2 short--4 short--1 short	 For each additional 10 feet of long line
1 long--1 short	 Number of coils of strawline wanted
5 medium	 Tail or second rigger
5 medium--4 short	 Tail or second rigger and his crew
2 medium	 Skidder head rigger
3 medium--4 short	 Hooker and his crew
2 long	 Ahead on transfer
2 long--4 short	 Slack transfer
1 short--3 short	 Ahead on carriage with slack puller line
1 long	 Ahead on strawline
1 long--4 short	 Slack strawline
1 long--3 short	 Ahead easy on strawline
5 long	 Climber 
4 long	 Foreman
1 long--1 short	 Start or stop work
7 long--2 short	 Man injured, call transportation and stretcher
1 long--1 short repeated	 Fire

RUNNING SKYLINE WHISTLE SIGNALS

1 short	 STOP or DROP dropline
2 short	 Go ahead on dropline
1 short--2 short	 Go ahead on dropline EASY
2 short--2 short	 Ahead on haulback
3 short-3 short	 Ahead on mainline 
3 short	 Ahead on mainline EASY
2 short--2 short--2 short	 Slack carriage
2 short--2 short--1 short	 Tight line
1 long	 Ahead on strawline 
1 long--4 short	 Slack strawline
1 long--3 short	 Ahead EASY on strawline
3 short	 When carriage in: strawline back on haulback
1 long--1 short	 START or STOP WORK
4 long	 FOREMAN 
2 short--2 short--plus “X” shorts	 When carriage is in, number of
 	chokers WANTED
1 long--1 short--plus “X” shorts	 Number of strawline sections
 	WANTED

Appendix A

Recommended Hand Signals

The following signals are recommended for use during tractor logging operations:

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Appendix A

Safe Practices For Helicopters
Do not approach or leave a helicopter while its engines are running unless the pilot or designee signals that it is safe to do so. Approach and leave the helicopter on a level with the craft or on a lower level, never from or to ground higher than that of the helicopter. Carry all materials to or from the helicopter in a horizontal position, not above waist level.
Do not place explosives, flammables, corrosives, or other dangerous materials on board any aircraft without the pilot's knowledge. Do not smoke within 50 feet of the helicopter, fuel storage, or fueling operation. Turn off the radio transmitter when in the vicinity of explosives or an explosive-loading operation.
Notify the person in charge of the project when you erect a suspended line, tower, or other navigational hazard. Know the escape procedure at each operation site. Always watch the helicopter, sling load, hook, or bottom end of the cable to avoid being hit. Listen to and be familiar with the normal sounds emitted by the helicopter in flight so that you will have the earliest notice of trouble and can avoid dangerous exposure.
Passengers transported by helicopter shall obey the following:
(1) Board and depart only on instructions from the pilot.
(2) Use seat belts during take-off, flight, and landing.
(3) Remain seated during the time aboard.
(4) Do not smoke unless permitted by the pilot.
(5) Do not talk unnecessarily to the pilot.
(6) Watch for other airborne aircraft and navigational hazards, and call them to the attention of the pilot.

Helicopter Hand Signals

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Appendix A

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Suggested Anti-Kickback Device Applied to Gang Edgers with Saw Arbors Mounted Below Feed Rolls.
A: Fingers shall extend across full length of rolls.
B: Fingers shall clear the bottom feed roll by 1/2-inch.
C: Fingers shall be spaced 3/8-inch maximum.
D: Finger shaft 1 13/16-inch diameter minimum (heavy duty, high powered edgers 1 15/16-inch diameter).
E: Fingers shall be installed so that they set at not more than 40 degrees to vertical on the maximum size stack the edger will cut.
F: Finger lift controls shall be mounted to the side of the edger and require constant pressure to hold the fingers up. 

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Three Types Of Leads In Highlead Logging
(Plan View)

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LOGGING TRUCK LOADING

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Appendix B

Engineering Data

Strength and Weights of Wire Ropes

		Breaking Strength
Rope Diameter	Plow Steel in Tons Weight Per Foot
    in Inches	6x 19 6 x17 6 x 21 in Pounds

	1/4	 2.39	 .10
	5/16	 3.71	.16
	3/8	 5.31	.23
	7/16	 7.19	.31
	1/2	 9.35	.40
	9/16	 11.8	.51
	5/8	 14.5	.63
	3/4	 20.7	.90
	7/8	 28.0	1.2
	1	 36.4	1.60
	1 1/8	 45.7	2.03
	1 1/4	  56.2	2.50
	1 3/8	 67.5	3.03
	1 1/2	  80.0	3.60
	1 5/8	  93.4	4.23
	1 3/4	 108.0	4.90
	1 7/8	 123.0	5.63
	2	 39.0	6.40
	2 1/8	 156.0	7.23
	2 1/4	 174.0	8.10
	2 1/2	 212.0	10.00
	2 3/4	 254.0	12.10
	3	300.0	15.00

When ropes are galvanized deduct 10 percent from the above listed strengths. When wire strand centers and independent wire rope centers are used add 7 1/2 percent to strengths. 

Common Causes of Wire Rope Failure
1. Ropes of incorrect size, construction, or grade
2. Ropes allowed to drag over obstacles
3. Ropes not properly lubricated
4. Ropes operating over sheaves and drums of inadequate size
5. Ropes overwinding or crosswinding on drums
6. Ropes operating over sheaves and drums out of alignment
7. Ropes operating over sheaves and drums with improperly fitting groves or broken flanges.
8. Ropes permitted to jump sheaves
9. Ropes subjected to moisture of acid fumes and salt air
10. Ropes with improperly attached fittings
11. Ropes permitted to untwist
12. Ropes subjected to excessive heat
13. Ropes kinked
14. Ropes subjected to severe overloads due to inefficient operation
15. Ropes destroyed by internal wear caused by grit penetrating between strands and wires. 

Rules for Discarding Wire Ropes
1. Safety factors must never fall below 4.5
2. Ropes of standard construction shall be discarded where there are 6 broken wires in 1 rope lay
3. When wires on crown are worn to 65 percent of their original diameter
4. When there are more than 8 broken wires reduced by wear more than 80 percent in cross-section
5. When marked corrosion appears When a new rope is installed, there is a short period (while the rope is taking its set and equalizing tension) during which breaks are relatively frequent. These breaks do not necessarily indicate that the rope is wearing out or that it is overstressed. After the period of their occurrence, the rope will run for sometime without more wires breaking. Toward the end of the life of the rope, however, it may happen that the number of breaks begins to increase rapidly. This condition is a sign that the rope is going to pieces and it should be taken off immediately. It is recommended, therefore, that not only should rope inspections be frequent, but that the number of broken wires be recorded so that the increase in breaking rate may be ascertained. 

STRENGTH EFFICIENCY UNDER STATIC LOAD 

      Sheave Diameter 		Efficiency of Rope          

10 times rope diameter		79% of strength of straight rope
12 times rope diameter		81% of strength of straight rope
14 times rope diameter		 86% of strength of straight rope
16 times rope diameter		88% of strength of straight rope
18 times rope diameter		 90% of strength of straight rope
20 times rope diameter		91% of strength of straight rope
24 times rope diameter		93% of strength of straight rope
30 times rope diameter		95% of strength of straight rope

EXAMPLE: Given a 1-inch rope (breaking strength 36.4 tons) reeved through a 10-inch pulley. The strength of the rope is (36.4) (.79) = 28.75 tons. (Based on U.S. Bureau of Standards tests.) 

APPLICATION OF CLIPS 

Diameter of Rope 	Number of Clips 	Space Between Clips	

	1 1/2 inch	8	10 inches
	1 3/8 inch	7	9 inches
	1 1/4 inch	6	8 inches
	1 1/8 inch	5	7 inches
	1 inch	5	6 inches
	7/8 inch	5	5 1/2 inches
	3/4 inch	5	4 1/2 inches
	  3/8-5/8 inch	4	3 inches

Proper number ad spacing to develop 80 percent of rope strength.

EFFECTIVENESS OF GUYS ACCORDING TO ANGLE
Guys making angle with the horizontal greater than 60 will be considered less than 50% effective.

Degree  	Effectiveness
60° to 45°	 50% to 75%
45° to 30°	75% to 85%
30° to 10°	85% to 95%

EFFECTIVENESS OF GUYS ACCORDING TO
NUMBER AND SPACING

No. Guys
Equally	Guys Most Effective	Guys Will Support Strain
Spaced	     When Pull Is	      Equal to Following
	3	Opposite 1 guy	100% of strength of one guy
	4	Halfway between 2 guys	140% of strength of one guy
	5	Opposite 1 guy or halfway
  	  	  between 2 guys	160% of strength of one guy
	6	Opposite 1 guy or halfway
  	  	  between 2 guys	200% of strength of one guy
	7	Opposite 1 guy or halfway
  	  	  between 2 guys	225% of strength of one guy
	8	Halfway between 2 guys	260% of strength of one guy
	9	Opposite 1 guy or halfway
  	  	  between 2 guys	290% of strength of one guy
	10	Opposite 1 guy or halfway
  	  	  between 2 guys	325% of strength of one guy

LENGTH OF GUYS REQUIRED FOR VARIOUS 
ANGLES OF EFFICIENCY
The following table will furnish the answers to the following problems which usually arise when making up guy lines.
(1) What length of line is needed to reach from a certain height to the ground with the required angle of efficiency?
(2) If the guylines are already cut and the required angle of efficiency is known, how high above the ground can the guys be rigged?
(3) If you know how high the guys are to be rigged above the ground, the length of guys and the angle of efficiency needed, how far away from the base of the spar or mast should stumps be selected or “deadmen” be placed to hold the guys?

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No. of	Guys Most Effective	Guys Will Support Lead
Guys	      When Pull Is	Equal to:             

   8	Halfway between 2 guys	260% of strength of 1 guy
   9	Either halfway between 2,	290% of strength of 1 guy
	  or opposite 1 guy	
Note: EXAMPLE: In lifting a 10-ton log between spreader bar rigger spar poles the horizontal force at the top of the pole is found to be 25 tons. Using a factor of safety of 5 the design strength of 1 1/2-inch guys is

 80.0   = 16 tons. If the spar pole guys are rigged at 80 angle with the ground,
    5                     they are 85% effective (see table). How many guys should be used?

	         25      = 1.84 or 184%
	(16)   (.85)                       
The number of guys needed to support 184% of strength of 1 guy in between 5 and 6 (see table). Therefore, 6 guys should be used with 1 1/2-inch cable. Other cable sizes will give a variety of numbers of guys for more practicable application.

INDIRECT METHOD OF DETERMINING
THE LOAD ON A WIRE ROPE.
Since 1 horsepower is the rate at which 550 foot-pounds of work are done per second, the horsepower exerted by an engine on a rope may be expressed:

HP =  feet  x  pounds             

seconds x 550              
By rearrangement:

  Pull on rope in pounds =  horsepower x seconds x 550

	feet                                                       
Thus if you know the horsepower of a given engine and measure the number of seconds it takes a point on the rope to go a given distance the pull on the rope may be found.
EXAMPLE: A 100-HP gasoline donkey engine requires 10 seconds to reel in 30 feet of cable when working at nearly wide-open throttle. What is the pull on the cable?
Since 100 HP is the ideal SAE rating of a stripped engine it is not a true indication of the power delivered at the cable. A good assumption is 1/3 of rated horsepower.
Pull on rope in pounds  =  33 x 10 x 550            ---------------    =  6,050 pounds 
Providing a safety factor of 5 the required rope strength should be 30,250 pounds or 15.2 tons. From the table on page 112, in Appendix B, a 5/8-inch cable is nearest to this strength.
Subchapter 14. Petroleum Safety Orders--Drilling and Production

(Originally Printed 4-20-45
Repealer and new Subchapter 14 filed 5-14-52)
Article 1. Application and Variances
§6500. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Petroleum Industry Safety Orders (Sections 6600 through 6652) originally published 4-20-45 (Title 8).
2. Amendments to Petroleum Industry Safety Orders filed 5-7-46; effective thirtieth day thereafter (Register 3).
3. Repealer of Petroleum Industry Safety Orders filed 5-14-52 and new Petroleum Safety Orders--Drilling and Production, numbered Subchapter 14 (Sections 6500 through 6692) filed 5-14-52; effective thirtieth day thereafter (Register 28, No. 5). 
4. Amendment of article 1 heading, repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6501. Title. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6502. Application.
Note     •     History

(a) These orders establish minimum safety standards and shall apply to the equipment and operations used in or appurtenant to the drilling for and production of petroleum and natural gas; servicing of oil and gas wells; storage and handling of petroleum, natural gas and their products; and shall include the construction, location, transportation, installation, testing, demolition, maintenance and operation of such equipment in “Employment” or a “Place of Employment” or by an “Employer” or an “Employee” as these terms are defined in Division 5, Part 1 of the Labor Code.
(b) These orders shall take precedence over other safety orders when applied to drilling for and production of crude oil and natural gas.

Exception: Existing installations which are in compliance with safety orders, or variances therefrom, in effect prior to the effective date of these safety orders, unless the hazard presented by the installations or equipment is in the judgment of the Chief of the Division of such severity as to warrant control by the application of the applicable sections of these orders.
(c) Where petroleum drilling or oil well servicing equipment is being used for drilling or servicing wells other than petroleum wells, the applicable sections of these orders shall apply to such operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (c) filed 5-27-77 as an emergency; effective upon filing (Register 77, No. 22).
2. Certificate of Compliance filed 9-16-77 (Register 77, No. 39).
3. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27). 
4. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6503. Scope.
Note     •     History

(a) The operations to which these orders apply are those generally known as drilling and production. This includes:
(1) Well servicing; rig building; erection and dismantling of derricks and equipment; and raising and lowering of masts.
(2) Pipe line transportation on a lease(s): loading and unloading; storage, blending, and separation of crude oil from water and natural gas.
(3) Research, testing and experimenting.
(4) Construction, operation and maintenance of equipment applicable to the foregoing.
(b) Production of crude oil and/or natural gas shall be considered to end at the point where they leave the last producing facility, change custody, or where gas enters a natural gasoline plant.
(c) Pipe lines delivering gas for use in serving the producing facilities of a lease are included when located on such lease.

Diagrams Indicate the Extent to Which the Petroleum Safety Orders--Drilling and Production and the Petroleum Safety Orders--
Refining, Transportation and Handling Apply,
In Explanation of Article 1, Section 6503(a) and (b)

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
2. Change without regulatory effect providing more legible illustration filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§6504. Variances.
Note     •     History

(a) Any employer may apply to the Division for a temporary order granting a variance from an occupational safety and health standard. Such temporary order shall be granted only if the employer files an application which meets the requirements of Section 6450 through 6457, inclusive, of the California Labor Code.
(b) Any employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard order, special order, or portion thereof upon a showing of an alternate program, method, practice, means, device or process which will provide equal or superior safety for employees. Such applications shall conform to the requirements of the California Code of Regulations, Title 8, Chapter 3.5, Section 411.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and subsections (a)-(b), repealer of subsections (c)-(e) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 2. Definitions
§6505. Definitions.
Note     •     History

The following definitions shall apply in the application of these Orders.
Air Intake Shut-off Valve. A device located between the engine air filter and the intake manifold, designed to shut off the diesel engine's combustion air in the event engine runaway occurs.
Alteration (Pressure Vessel). An alteration is any change to the item described on the manufacturer's data report which affects the pressure containing capacity or the pressure vessel. Nonphysical (re-rating) such as an increase in the maximum allowable working pressure (internal or external) or design temperature or the addition at loading not considered in the original design, shall be considered an alteration. A reduction in the (minimum) design metal temperature such that additional mechanical tests are required shall also be considered an alteration.
Anchor, Deadline. A means of holding the deadline to the derrick or substructure.
Approved. As defined in the General Industry Safety Orders. Section 3206.
A.N.S.I. American National Standards Institute.
A.P.I. American Petroleum Institute.
A.S.M.E. American Society of Mechanical Engineers.
A.S.T.M. American Society for Testing Materials.
Authorized Person. A person assigned by an employer to perform or supervise the performance of a specific type duty or duties at the work site.
Auto Ignition Temperature. The minimum temperature to which a flammable or gas mixture in air must be heated in order to initiate self-sustained combustion.
Back-up Line. A length of wire rope used for holding the leverage arm or handle of a tong to prevent tong rotation.
Back-up Post. A post, column or stanchion to which a back-up line is secured.
Barrel. A liquid measure of 42 U. S. gallons (158.9 liters).
Bail. A cylindrical steel bar, similar to the handle or band of a bucket, only much larger, that supports the swivel and connects it to the hook. The links that attach the elevators to the hook may also be referred to as bails.
Bailer. A long cylindrical container, fitted with a valve at its lower end, used to remove water, sand, mud, or oil from a well.
Blind. A device such as metal plates inserted in flanged joints, blind flanges, and caps or plugs installed on the ends of pipe lines, used to prevent liquids, gases, or vapors from passing through a pipe line or nozzle. Valves are not blinds.
Blowout. An uncontrolled discharge of gas, liquid, or mixture of gases and liquids from a well to the atmosphere.
Blowout Preventer. A device attached to a casing head that allows the well to be sealed to confine the well fluid in the well bore.
Breaking Line. (Break-out Line, Make-up Line, Jerk Line, Snap Line). A wire rope or fiber rope or chain, one end of which is secured to a tong handle and the other end attached to or wound on a mechanical device to impart a pulling power on the tong leverage arm or handle.
Cathead. Unless referred to as “automatic” cathead, means a spool shaped metal mechanical device mounted on the end of a shaft on which a rope is wrapped. The rotating cathead imparts a pulling power to the rope that is wrapped on it.
Cathead, Automatic. A clutch operated metal mechanical device consisting of a wheel having a flanged or flat surfaced rim or a spool shaped drum mounted on a shaft to which the end of a wire or fiber rope or chain is attached. The rotating cathead imparts a pulling power to the line attached to it.
Catline. A rope, usually reeved on a crown block sheave in a derrick or mast, for the primary purpose of lifting and transferring materials from one place to another about the derrick or mast floor. A rotating cathead imparts the pulling power to the catline that is wrapped on it.
Catwalk (Derrick Walk or Mast Walk). A walkway extending from the derrick and/or mast to a point beyond the outer end of the drill pipe and casing storage rack at a well, the purpose of which is to facilitate the handling of such pipe between the rack and the derrick and/or mast.
Cellar. An excavation around the well head to provide space for equipment at the top of the well bore.
Circulating Hose (Bumper Hose). A hose for high pressure circulation between the high pressure side of the mud pump and the bottom of the standpipe.
Combustible Liquid. Any material which has a fluidity greater than that of 300 penetration asphalt when tested in accordance with American Society For Testing and Materials. Designation D5-86, Standard Test Method For Penetration of Bituminous Materials, pages 1-5, which is hereby incorporated by reference. Combustible liquids shall be subdivided as follows:
Class II liquids shall include those having flash points at or above 100oF (37.8oC) and below 140oF (600C).
Class IIIA liquids include those having flash points at or above 140oF (60oC) and below 200oF (93.4oC).
Class IIIB liquids shall include those having flash points at or above 200oF (93.4oC).
Confined Space. As defined in General Industry Safety Orders, Section 5156.
Contractor's Standby. A half hitch in a wire line secured by a wire line clamp(s).
Corrosive. A substance that causes visible destruction of, or irreversible alterations in, living tissue by chemical action at the site of contact.
Crown Block Assembly. An assembly of mechanical parts mounted on top of a derrick tower or mast, consisting of a framework to which a number of sheaves are fastened over which hoisting lines are reeved.
DBBS. Double block and bleeder system.
Dead Line. The line (which does not travel) from the crown block sheave to the anchor.
Dead Line Stabilizer. A device attached to the mast or derrick for restricting lateral movement of the dead line.
Derrick Crown Platform (Runaround, Water Table). A continuous platform that provides access to the crown block assembly and warning lights.
Derrick Ladder or Mast Ladder. Any fixed ladder providing access to any location in or on the derrick or mast.
Derrick. The tower component of a drilling or well servicing rig that supports the crown block assembly, traveling block and hoisting lines. Derricks and masts may be stationary structures normally requiring dismantling and disassembly when moved from location to location, or may be portable with the capability of being laid down and raised to and from ground level fully assembled.
Division. The Division of Occupational Safety and Health.
Drawworks. Any assembly of power transmission equipment and machine parts used in the rotary method of drilling or well servicing, for hoisting and lowering the drill pipe, casing, tubing and drilling tools used in a well.
Drilling. Includes redrilling and means digging a hole in earth formation with a power-driven drill bit for the purpose of exploring for or developing of oil or gas. Drilling includes those operations that are concerned with the completion of a well.
Drilling (Hoisting) Line. A wire line used in the main rig hoisting system.
Effective. Capable of performing with safety the particular function specified in the order.
Elevator. A metal mechanical device used in connection with and suspended from a traveling block or hoisting line, to hold pipe or sucker rods in suspension when being hoisted or lowered in a well.
Enclosed. As applied to mechanical guarding means that the moving parts are so guarded that physical contact by parts of the body is precluded as long as the guard remains in place. This does not prohibit the use of hinged, sliding, or otherwise removable doors or sections to permit inspection or lubrication.
Finger. A bar or structural steel shape which serves as a restraining support for pipe or other equipment racked in a derrick or mast.
Finger Board. A support for the finger. It may be a timber, metal bar, structural steel shape, or inside derrick platform secured in the derrick or mast.
Finger Brace. A bar or structural steel shape secured to the finger board or to the derrick or mast members to resist horizontal movement of the finger.
Flammable Liquid. A liquid having a flash point below 100oF., (37.8oC) and having a vapor pressure not exceeding 40 lb. per sq. in. (absolute) (176 kPa) at 100oF (37.8oC) and shall be known as Class I liquid. Class I Liquids shall be subdivided as follows:
Class IA shall include those having flash points below 73oF., (22.8oC.) and having a boiling point below 100oF., (37.8oC.).
Class IB shall include those having flash points below 73oF., (22.8oC.) and having a boiling point at or above 100oF., (37.8oC.).
Class IC shall include those having flash points at or above 73oF., (22.8oC.) and below 100oF., (37.8oC.).
Flare. The stack, pit, or device, or location where waste or excess flammable gases and vapors are burned in the atmosphere.
Gas. A fluid, such as air, that has neither independent shape nor volume, but tends to expand indefinitely.
Gas Free or Free of Gas. Free from harmful or hazardous concentrations of vapors, fumes and gases.
Gin Pole Mast. A single or double leg type mast supported in working position by either guys or one or more auxiliary legs, normally used for supporting crown block and traveling block. This definition includes tripods.
Girt. A cross-brace between the legs of a mast or derrick.
Good Engineering Practice. The use of mathematics, scientific formulae, manufacturer's data and/or experience by a qualified person to determine the elements of safety, such as stress values, strength of materials, overturning moments and factors of safety, of equipment and component parts.
Guarded. Shielded, fenced, enclosed or otherwise protected to prevent injury to employees.
Hazardous Substance. One which is likely to cause injury by reason of being explosive, flammable, extremely flammable, poisonous, corrosive, oxidizing, irritant, or otherwise harmful.
High Line. A specially rigged rope used to convey pipe, drilling tools or other equipment from a derrick or mast to the derrick, catwalk or other location outside the derrick or mast.
Inside Derrick Platform. A fixed platform for workers inside the derrick.
Kelly. The square or other shaped steel pipe connecting the swivel to the drill pipe. The kelly moves through the rotary table and transmits torque to the drill string.
Kelly Bushing. A device fitted to the master bushing that transmits torque to the kelly.
Kelly Cock. A valve installed at one or both ends of the kelly that can be used to confine pressure inside the drill string.
Ladder Climbing Assist Device (Angel Lift). A device consisting of a length of wire rope reeved over a sheave, with one end attached to a counterweight and the other end attached to a belt that passes under a person's buttocks. As a person ascends or descends the mast ladder, the device acts as an assist by lightening the person's weight.
Ladder Offset Platform. A platform installed on the derrick or mast at points where the ladder is offset to provide access from one ladder section to an adjacent offset section.
Lanyard. A flexible line to secure a wearer of a safety belt or harness to a drop line, lifeline, or fixed anchorage.
Lease. Any property, irrespective of the legal title or possession, from which gas or oil is being produced or sought. A single lease may include adjacent properties under the same employer.
Loading and Unloading Platform. A platform giving access to the tops of tank cars, tank trucks and trailers and to overhead valves and pipes.
Mast. The tower component of a drilling or well servicing rig that supports the crown block assembly, travelling block and hoisting lines. Derricks and masts may be stationary structures normally requiring dismantling and disassembly when moved from location to location, or may be portable with the capability of being laid down and raised to and from ground level fully assembled.
Monkey Board (Tubing Board or Racking Board). The derrickman's working platform.
Mousehole. An opening through the rig floor, usually lined with pipe, into which a length of drill pipe is placed temporarily for later connection to the drill string.
Oil Saver. A device used in conjunction with a wire line in an oil or gas well to direct liquids and gases from such wells into desirable outlets.
Open Well Bore. A well open to the atmosphere during well drilling, work-over, maintenance, repair or abandonment operations.
Owner-User Inspection Agency. An owner or user of pressure vessels who maintains a regularly established inspection department whose organization and inspection procedures have been accepted by the Division.
Pressure Relief Device. A device for relieving pressure, such as a direct spring-loaded safety valve, rupture disk, or shear-pin set safety valve.
Pressure Vessel. A container, including cylinders, used for the storage or accumulation of any gas or liquid under pressure and as defined in the Unfired Pressure Vessel Safety Orders with the following exceptions:
(a) Those exceptions defined in Section 451 of the Unfired Pressure Vessel Safety Orders.
(b) Pressure vessels constructed entirely of pipe and fittings conforming to and in service as prescribed in the applicable ANSI code.
(c) High and low pressure gas holder covered by General Order No. 94-B of the Public Utility Commission of the State of California with revised Section 4a, effective November 12, 1970.
This definition is not intended to include boilers as defined in the Boiler and Fired Pressure Vessel Safety Orders, and pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses.
Prime Mover. An engine or motor whose main function is to drive or operate other mechanical equipment.
Production Facility. Typically, an area where production wells, stock tanks, separators, lease automatic custody transfer (LACT) units and other production equipment are located.
Qualified Inspector. An inspector as defined in the Unfired Pressure Safety Orders, and who holds a valid certificate of competency issued by the Division.
Qualified Person. A person designated by the employer who by reason of training and experience has demonstrated the ability to safely perform his duties and, where required, is licensed in accordance with federal, state, or local laws and regulations.
Rathole. A hole in the rig floor lined with a casing that projects above the floor into which the kelly and swivel are placed when hoisting operations are in progress.
Remote Control. A wired or wireless equipment control device that operates the diesel engine's air intake shut-off valve from a distance.
Repair (Pressure Vessel). A repair is any work necessary to restore a pressure vessel to a safe operating condition, provided there is no deviation from the original design. Examples of repair include:
1. Weld repair or replacement of pressure retaining parts or attachments that have failed in a weld or in the base material;
2. Addition of welded attachments to pressure parts;
3. Replacement of pressure retaining parts identical or equivalent to those existing on the pressure vessel and described in the original ASME Manufacturer's Data Report;
4. Replacement or addition of a nozzle where reinforcement is not required to be considered by the code under which the vessel was constructed;
5. The addition of a nozzle where reinforcement is a considertaion provided the nozzle is identical or equivalent to the one in the original design and located in a similar part of the vessel;
6. Repairs of base material by weld overlay;
7. Repair or replacement of a pressure part with an ASME Code accepted material that has a nominal chemical composition and strength equivalent to the original material and is suitable for the intended service.
Reservoir. A roofed excavation for the storage of petroleum liquids.
Rod-Wheel Wrench. A spoked, circular metal wheel which when secured onto the sucker/polished rod is used to manually apply torque to the rod string.
Rotary Hose. (Kelly Hose). Length or section of hose between the swivel and the top of the standpipe.
Runaway. A condition affecting diesel engines, where the engine overspeeds out of control, as a result of the introduction of airborne flammable gas or vapor via the air intake causing the engine to accelerate to progressively higher and higher revolutions per minute beyond the normal operating range to a point where the engine becomes damaged due to mechanical failure.
Samson Post. The main upright post or column that supports the walking beam.
Secured. The device or object referred to is so anchored that it will not become accidentally detached, displaced or removed under normal use or foreseen circumstances.
Slips. The wedge-shaped pieces of metal with gripping elements used to prevent pipe from slipping down the well bore.
Source of Ignition. Any flame, arc, spark, or heat capable of igniting flammable liquids, gases or vapors.
Stabbing Board. A readily movable platform used in the derrick or on a mast which workmen stand on to perform work of a temporary nature and not normally performed from a fixed inside derrick platform or monkey board, or a fixed working platform on a mast.
Standpipe. A vertical pipe which joins the rotary hose to the circulating system.
Static Electricity. The type of electrical charge resulting from the separation of materials, friction or similar causes.
Stationary Internal Combustion Engine. An engine that is permanently attached to a fixed foundation.
Sump. A pit or excavation, for holding liquids.
Tank. A receptacle (covered or uncovered) of 60 gallons (227.1 liters) or greater capacity. Unless referred to in these Orders as “stationary,” the above definition shall include such receptacle when used on tank cars, tank vehicles or skids.
Traveling Block. Two or more steel plates and other metal parts assembled into a framework within which are mounted one or more sheaves on which the hoisting line is reeved in connection with the sheaves on the crown block. The traveling block travels between the derrick or mast floor and the crown block.
Traveling Block Hook. A hook or equivalent device suspended from the traveling block and from which the elevator links, swivel bail or other equipment is attached.
Valve. A device for regulating or controlling the flow of material by means of a movable part or parts which open or close a passage.
Wall, Diversion. A wall made of concrete, earthwork or other noncombustible material, built for the purpose of protecting employees by diverting the flow of hazardous substances.
Wall, Retaining (Dike). A wall made of concrete, earthwork, or other noncombustible material, built for the purpose of protecting employees by confining hazardous substances.
Well Servicing. Remedial or maintenance work performed within the well casing on any well, other than a drilling well. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
3. Amendment of definition of “Owner-User Inspection Agency” filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
4. New definitions of “Air Intake Shut-off Valve,” “Open Well Bore,” “Prime Mover,” “Remote Control” and “Runaway” and amendment of definition of “Pressure Vessel” filed 10-31-2012; operative 11-30-2012 (Register 2012, No. 44).
Article 3. Injury and Illness Prevention Program
§6507. Injury and Illness Prevention Program.
Note     •     History

The employer shall establish, implement and maintain an Injury and Illness Prevention Program in accordance with the requirements of Section 3203 of the General Industry Safety Orders. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8). 
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6508. Accident Prevention Program. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-16-91; operative 2-15-91 (Register 91, No. 8).
2. Amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6509. Contractors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-16-91; operative 2-15-91 (Register 91, No. 8).
2. Amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 4. First Aid and Medical Services
§6511. First Aid.
Note     •     History

The employer shall provide first aid and medical services in accordance with the provisions of the General Industry Safety Orders. Section 3400.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 4 heading and subsection (a), repealer of subsections (b)-(d)(2) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6512. Emergency Medical Services.
Note     •     History

Every employer shall establish a system of communication or plan of action to ensure response by emergency services or transportation of employees for medical help in the event of a serious injury.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 5. Dangerous Exposure
§6513. Clothing.
Note     •     History

Wearing apparel and personal protective equipment shall in be accordance with the provisions of the General Safety Orders, Article 10.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a), repealer of subsections (b)-(c), and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6514. Permanent Change Rooms.
Note     •     History

(a) Permanent change rooms shall be in accordance with the provisions of the General Industry Safety Orders, Article 9.

Exception: General Industry Safety Orders, Section 3366(f)(1). One shower facility shall be provided for each twenty-five employees or fraction thereof on a shift.
(b) Change rooms shall be kept clean, orderly, and in a sanitary condition.
(c) Change rooms shall be so located relative to working sites, as not to introduce or aggravate an accident, fire, or health hazards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12). 
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6515. Change Rooms, Drilling and Servicing Wells.
Note     •     History

(a) Where the lack of such facilities would constitute a hazard to health or safety, change rooms shall be located where employees ordinarily change clothes at the beginning or end of shift.
(b) Facilities shall be provided with heating, lighting and ventilation and shall be kept in clean, orderly, and sanitary condition.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6516. Change Rooms, Miscellaneous. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 6. Fires and Explosions
§6518. Smoking.
Note     •     History

Smoking shall be permitted only in areas designated by the employer.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and subsection (a), repealer of subsections (b)-(d) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6519. Fire Protection and Fire Fighting Equipment.
Note     •     History

(a) Fire fighting equipment shall be inspected and tested, and maintained in serviceable condition. A record shall be kept showing the date when fire extinguishers were last inspected, tested or recharged.
(b) A plan shall be established and implemented to ensure the safe and orderly evacuation of employees in accordance with the General Industry Safety Orders, Section 3220.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b), repealer of subsections (c)-(e)(2) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6520. Cleaning Oils.
Note     •     History

(a) Light oils shall not be used for cleaning purposes in locations where these orders apply. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6521. Hazardous Areas.
Note     •     History

(a) Before a source of ignition may be used in an area where flammable gases or vapors are likely to occur, a qualified person shall make a test by chemical analysis or with an approved device to determine if a flammable atmosphere exists.
(b) No source of ignition shall be permitted in an area where the content of flammable vapors or gases is greater than twenty percent (20%) of the lower explosive limit.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6522. Spontaneous Ignition.
Note     •     History

(a) Iron sulfide during and after removal from the inside of equipment shall be kept wet or otherwise protected from auto-ignition until removed to a safe place.
(b) Where lime is used inside a vessel to dehydrate the oil or gas, steel wool shall not be used as a porous medium to hold the lime in place.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6523. Static Electricity.
Note     •     History

(a) The accumulation of static electricity shall be controlled in accordance with the provisions of General Industry Safety Orders, except as provided in subsection (b) of this section.
(b) Steel derricks and masts shall be grounded. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (b) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6524. Flammable Waste Gases and Vapors.
Note     •     History

(a) Flammable waste vapors or gases shall be burned or controlled to prevent hazardous concentrations reaching sources of ignition or otherwise endangering employees.
(b) Reliable and safe means of remote ignition shall be provided whenever flammable vapors or gases are released to the air through flares.
(c) Flares shall be located so that gases, vapors or products of combustion will be dispersed as to not create a hazard to employees.
(d) Means shall be provided to prevent the prolonged escape of hazardous quantities of unburned gases or vapors from flare installations.
(e) Employees shall not enter or be permitted to enter the area where a flare has become extinguished, and the means of igniting the flare has failed, until tests establish that the area is free from flammable gases or vapors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6525. Transfer of Flammable and Combustible Liquids by Air Displacements.
Note     •     History

(a) Air under pressure shall not be used to transfer flammable and combustible liquids from one tank or container to another tank or container. This shall not prohibit the use of air in blowing out pipe line or blow cases to free them of flammable and combustible liquids.
This section shall not apply to existing visible-type gasoline-dispensing pumps, to air-driven pumps, or to vacuum-tank truck operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6526. Location of Fired Equipment.
Note     •     History

(a) Fired equipment shall be located at least 100 feet from a well being drilled or serviced which can release flammable vapors. If the area or situation will not permit the minimum distance of 100 feet, fired equipment shall be located at the greatest practicable distance from the well, and effective means shall be used to prevent the ignition of flammable vapors which develop in the area.
Note: This does not prevent the emergency or temporary use of fired equipment within one hundred feet (100') of a drilling or serviced well if the provisions of Section 6521 are followed. In locating fired equipment due regard shall be given to ground topography, direction of prevailing winds, atmospheric conditions, and the distance from likely gas and vapor conditions to be encountered. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6527. Electrical Equipment.
Note     •     History

(a) All electrical equipment and wiring shall be of a type specified by and shall be installed in accordance with Title 8, Electrical Safety Orders.
(b) Electrical equipment shall be installed and maintained to conform with the appropriate area classification as defined in Title 8, Electrical Safety Orders, Article 60.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 7. Confined Spaces
§6528. Ventilation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 7 heading, repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6529. Confined Spaces.
Note     •     History

Every employer shall implement confined space procedures in accordance with the provisions of the General Industry Safety Orders, Article 108.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. New first paragraph, repealer of subsections (a)-(k) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 8. Gas and Vapor Testing
§6531. Gas and Vapor Testing.
Note     •     History

Tests for the presence of flammable or toxic vapors or gases, required by these orders, shall be made by the use of approved devices or apparatus or by chemical analysis; conducted by a qualified person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 9. Pipe Lines, Fittings, and Valves
§6533. Pipe Lines, Fittings, and Valves.
Note     •     History

(a) General.
(1) Pipe lines, piping, fittings, and valves installed prior to July 26, 2006, shall be installed, supported and maintained to withstand the stresses imposed by the internal and external loads, and by contraction, expansion and vibration. This section does not apply to drill pipe, casing or tubing in a well.
(2) The design, fabrication, and assembly of piping systems installed on or after July 26, 2006, and the testing, inspection, and repair of all piping systems shall comply with Title 8, Subchapter 7, Article 146 of the General Industry Safety Orders, and ASME B31.3-2002, Process Piping, ASME B31.4- 2002, Pipeline Transportation Systems for Liquid Hydrocarbons and Other Liquids, ASME B31.8- 2003, Gas Transmission and Distribution Piping Systems, or API 1104, Nineteenth Edition, September 1999, Welding of Pipelines and Related Facilities (including the October 31, 2001 Errata), as applicable, which are hereby incorporated by reference. 
(3) Each owner or user of piping shall establish an inspection and maintenance program that will ensure that all piping has sufficient integrity for the intended service. 
(A) Each owner or user shall employ appropriate engineering, inspection, classification and recording systems that meet all requirements of this Article. 
(b) Inspections. 
(1) The inspector shall be an authorized piping inspector as defined in Section 4 of API 570 Piping Inspection Code, Second Edition, October 1998, Addendum 3, August 2003, which is hereby incorporated by reference. 
(2) The inspector or piping engineer may employ the principles of API 570-2003 when developing inspection strategies and methodologies. 
(3) The piping owner or user shall establish piping inspection risk classes by grouping piping systems into common classes of service, pressure/temperature rating, and risk. 
(A) The classification of piping systems shall be determined by a qualified person and shall be based on: 
1. The potential for the piping to fail due to corrosion, erosion, and other damage mechanisms; 
2. The piping location, history, design basis, operating conditions, and previous inspections; and, 
3. The consequences of piping failure relative to its location to employees or the public, potential damage to adjacent equipment, or extent of any environmental impact. 
(B) Piping inspection risk classes shall be specified as either Class 1, Class 2, Class 3 or Class 4 as follows: 
1. Class 1 piping systems are those that will result in an immediate emergency should a leak occur. Examples include, but are not limited to: 
a. Piping systems that contain flammable services that may auto refrigerate; 
b. Piping systems that contain hydrogen sulfide greater than 3%; 
c. Piping systems that contain highly reactive chemicals such as hydrofluoric acid or anhydrous hydrogen chloride, 
d. Piping systems located over or adjacent to public thoroughfares and continuously flowing waterways. 
2. Class 2 piping systems are those that contain hydrocarbons that will vaporize slowly during release, strong acids and caustics, hydrogen, fuel gas, or natural gas. 
3. Class 3 piping systems are those that contain a flammable liquid that does not significantly vaporize and is potentially harmful to human tissue, but located in remote areas. 
4. Class 4 piping systems are those where there is minimal risk based on the likelihood and consequence of failure, such as low pressure water piping, lube oil piping, low pressure piping within secondary containments, or low pressure piping containing a chemical that is not flammable, corrosive, toxic, or reactive. 
(4) Inspection intervals and inspection strategy shall be determined by the piping risk classification and the remaining life and corrosion rate calculations. Remaining life and corrosion rate calculations shall be performed in accordance with API 570-2003, Section 7, which is hereby incorporated by reference. When establishing maximum allowable pressure and temperature ratings, the material allowable stress and appropriate non-destructive examination factors from the original code of construction shall be used. 
(A) Any signs of leakage or deterioration detected in the interval between inspections shall require inspection of that piping and re-evaluation by the piping inspector, the piping engineer, or a corrosion specialist of the inspection interval for that piping class. This re-evaluation may necessitate a decrease in the inspection interval or an increase in the number of inspection locations. If service conditions change the risk classification, the interval between inspections shall be re-evaluated. 
(B) The piping inspection interval for each risk classification shall be established by individuals experienced in piping corrosion and inspection, and shall be set as follows: 
1. Class 1 piping systems shall be inspected on a representative sample of piping, as corrosion damage may cause generalized wall thickness loss. The inspection interval shall not exceed 5 years or half the remaining life as determined from the corrosion rate calculation, whichever is less. In cases where the remaining life is estimated to be less than 4 years, the inspection interval may be the full remaining life up to 2 years maximum and the number of piping systems inspected shall be increased within that class to detect worst case deterioration rates. 
2. Class 2 piping systems shall be inspected on a representative sample of piping. The inspection interval shall not exceed 10 years or half the remaining life as determined from the corrosion rate calculation, whichever is less. 
3. Class 3 piping systems shall be inspected on a representative sample of piping. The inspection interval shall not exceed 15 years or 3/4 of the remaining life as determined from the corrosion rate calculation, whichever is less. 
4. Class 4 piping systems shall be inspected and tested in accordance with good engineering practices. 
(5) When the inspection of a piping system shows measured losses, the inspector or the piping engineer shall evaluate those losses. This evaluation shall include: establishing maximum allowable working pressure, performing remaining life calculations, retirement thickness determination and assessment of wall losses from general, local and pitting corrosion. 
(6) The inspector or the piping engineer shall review all repairs to Class 1 piping systems. Repairs to other piping classes shall be reviewed by the inspector or piping engineer, or the inspector may give prior authorization for specific repair procedures, provided the inspector has reviewed and approved the competency of the repair organization. 
(7) Each owner or user shall maintain records of piping inspections. Records shall include classification, inspection type, inspection interval, inspector, inspection results, and corrective actions taken for all piping systems covered. 
(c) Pressure relief devices and valves. 
(1) Low pressure piping systems connected to a high pressure piping system shall be protected with pressure relief devices that are set to open at a pressure not to exceed the lowest rated working pressure of any component they protect.
(2) Open-ended pipe lines, bleeder lines and flow lines which can be subjected to pressure shall be securely anchored to prevent swinging, revolving, or whipping.
(3) Safe access shall be provided to all valves, or their remote controls, whenever it is necessary to operate them.
(4) Valves or their remote controls shall be provided with a means of ready and safe access when required by the frequency of operation or the necessity of emergency operation. Included in this classification are:
(A) Valves manually operated as often as once a shift.
(B) Valves on fuel lines to a plant, unit, or internal combustion engine.
(C) Line valves.
(5) Manually operated valves required for the emergency shutdown of units shall be maintained in operating condition and provided with ready and safe access. Such valves shall plainly indicate whether they are opened or closed.
(6) Quarter turn valves shall be provided with a means to indicate whether the valve is in the open or closed position.
(7) If a permanently attached handle is used on a quarter turn valve, it shall be installed or placed on the valve in such a position that the handle is at right angles to the line when in the closed position, and parallel with the line when in the open position. If compliance with the provisions of the subsection obstructs a passageway or walkway, the handle may be bent so as to provide clearance.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a)-(d), new subsections (e)-(h), and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
2. Amendment filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
Article 10. Opening and Blinding Pipe Lines and Equipment
§6535. Opening Pipe Lines and Equipment.
Note     •     History

(a) Before opening lines or other equipment, the pressure shall be reduced to atmospheric or as near atmospheric as is practicable. Employees shall be informed of the hazards from the contents of lines or equipment, and shall be instructed on precautions necessary.
(b) When practicable flammable gas or vapor lines and equipment shall be emptied of their contents. When necessary to protect employees, such lines or equipment shall be washed or steamed before being opened.
(c) All sources of ignition shall be eliminated or controlled and be sufficiently remote so as to present no hazard before bleeding or opening lines containing flammable liquids, gases or vapors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsections (a)-(c), repealer of subsections (d)-(e) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6536. Blinding or Isolating Pipe Lines and Equipment.
Note     •     History

(a) Employees whose duties require them to perform work within a tank, vessel or still/heater shall be protected from the hazards of liquid, vapor or gas that may be discharged through connected pipe lines. Isolation of equipment shall be accomplished by blinding or disconnecting and disaligning.
(1) Where blinding or disconnecting and disaligning is not possible, a double block and bleeder system (DBBS) shall be utilized to isolate pipe lines or equipment. When th DBBS will be used, written operating procedures containing at least the following, must be approved by the Location Management and available:
(A) Block valves used in DBBS shall be monitored for leakage while in use.
(B) Double block valves shall be tagged and locked in the closed position. The bleeder shall be tagged and locked in the open position.
(C) The bleeder valve shall be checked to ensure that it is not plugged and is functioning properly.
(D) The bleeder valve shall be sized to handle the flow and pressure if the block valve fails.
(E) Discharge of leakage through the bleeder valve shall be directed so as not to create a hazard if the block valve fails.
(F) Block valve bonnets must be vented to ensure that no gases or liquids are trapped in the valve.
(G) Before the double block valve(s) is opened, a qualified person shall determine that it is safe.
(b) Blinds shall be designed and installed to preclude failure when subjected to the conditions of service.
(c) When isolated as a unit, vessels, tanks or stills/heaters with compartments or trays shall have the top and bottom manhole covers removed and it shall be determined that ventilation is established through these manholes.
(d) When welding or flame cutting on oil or gas pipe lines, the lines shall be isolated and gas free unless hot-work method in accordance with American National Standards Institute/American Welding Society F4. 1-1988-Recommended Safe Practices for the Preparation for Welding and Cutting of Containers That Have Held Hazardous Substances, pages 1-4, which is hereby incorporated by reference, recommendations or equivalent are used.
(e) Blinds installed in a line shall clearly indicate whether the line is open or closed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 11. Drainage, Housekeeping and Leakage Control
§6538. Drainage.
Note     •     History

(a) Drainage sumps, pits or ponds for collecting oil or oil and water mixtures, or hazardous liquids shall be in a safe location away from probable sources of ignition.
(b) Adequate drainage shall be provided to prevent a hazardous accumulation of oils around pump bases.
(c) Drainage pits or ponds shall be located, or other means of protection shall be provided, to ensure employees are not exposed to the vapors of hazardous liquids.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and new subsection (c) and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6539. Housekeeping.
Note     •     History

(a) Oil storage facilities shall be maintained reasonably free from oil, grease, and other combustible waste material.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6540. Leakage and Spill Control.
Note     •     History

Sources of leaks and spills which occur shall be repaired immediately or as the operation permits. Where a hazard to employees exists, and repairs can not be immediately made, the hazard shall be isolated and/or guarded and only those employees necessary to mitigate the hazard shall be permitted in the area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 12. Hazardous Substances
§6542. Hazardous Substances.
Note     •     History

Hazardous substances requirements shall be in accordance with the provisions of the General Industry Safety Orders, Section 5194.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (a), repealer of subsections (b)-(d) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 13. Agitation and Heating of Liquids in Tanks
§6544. Agitation and Heating of Liquids in Tanks.
Note     •     History

Tanks in which liquids at temperatures above one hundred and forty degrees Fahrenheit (140o F.), corrosive liquids, or flammable liquids are agitated or heated by steam (applied directly or indirectly), or agitated by means of air or gas pressure, shall have their control equipment located where employees operating it will not be exposed to the hazards of splashes or froth overs. If this is not possible, equivalent protection shall be provided by means of shelter which shall include safe access and exit.
Note: (See General Industry Safety Orders under “Static Electricity.”)
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 14. Reservoirs and Stationary Tanks
§6546. Reservoirs and Stationary Tanks.
Note     •     History

(a) Design and construction of stationary tanks shall be in accordance with the provisions of the General Industry Safety Orders, Article 145.
(b) Tank roofs shall be capable of supporting anticipated live loading.
(c) Where it is necessary for employees to gage, sample, or perform other operating duties at a tank roof level or from or on tank roofs, safe access to the roof shall be provided.
(1) Locations on tank roofs where operating duties are performed shall be provided with safe platforms and safe means of access. A walkway will be accepted as a safe platform if the operating duties are performed entirely from the walkway.
(2) If such duties are performed from a ladder providing access to the tank top, the ladder shall be equipped with a cage, ring, or equivalent protection to support the employee while performing such duties.
(d) Where the means of access, the walkways, or the platforms of a group of two or more tanks are connected, there shall be a safe alternate means to permit an employee to escape from the roof, walkway or platform of any tank in the group in the event the walkway or platform of any other tank in the group becomes impassable due to fire or other emergency. This subsection shall not apply to tanks containing non-combustible liquids.
(e) Within this subsection tanks shall be classified as follows:
Class A--Tanks with fixed steel roofs, except steel waterseal roofs.
Class B--Tanks with nonmetal roofs.
Class C--Tanks with steel waterseal roofs.
Walkways and platforms on tank roofs required by subsections (c) and (d) of this section, and the railings and toeboards, shall be provided as follows:
(1) The roofs of Class A tanks shall have walkways as follows:
(A) Tank roofs having a thickness less than one-eighth inch (1/8”) shall not be used as a walkway regardless of the slope of the roof. In measuring the thickness of metal roofs, allowance shall be made for manufacturer's tolerances.
(B) Tank roofs having a slope of two inches (2”) or less per foot may be used as a walkway. Such walkways shall be clearly defined by color contrast, and if the slope of the tank roof is one inch (1”) or more per foot the walkway shall have a nonskid surface.
(C) Tank roofs having a slope greater than two inches (2”) per foot shall be provided with independent walkways of steel or wood.
(2) Class B and C tank roofs shall have independent walkways of metal or wood.
(3) No independent walkways on Class A or B tank roofs shall have a slope greater than three inches (3”) per foot.
(4) No walkway on Class A or B tank roofs shall have a transverse slope greater than two inches (2”) per foot.
(5) Walkways on tank roofs shall have a minimum clear width of 20 inches (20”). Walkways shall be designed to carry the load to the supporting structure of the tank roof and shall be securely attached to the tank.
(6) Platforms on Class A, B and C tanks shall be at least equivalent in safety to the type of walkway required for the tank class.
(7) Class A, B and C tanks more than 30 inches (30”) above ground or floor level below shall either:
(A) Have railings and toeboards at those portions of their walkway and platform edges that are within six feet (6') of the roof edge; or
(B) Have railings and toeboards on tank edges that are within six feet (6') of the walkways or platforms.
Toeboards are not required on the side of a platform that faces the peak of the roof, unless their absence would create a hazard to employees.
(f) Where a roof is found to be unsafe, barriers shall be erected to block off the entire roof or that portion which is unsafe. Legible signs shall be posted at all approaches to the tank or reservoir if the entire roof is blocked off, or on the barrier facing all approaches to the defective area if only the unsafe portion is barricaded. These signs shall read: “Danger--Unsafe Roof--Keep Off,” or equivalent wording, in letters at least two inch (2”) high.
(g) Tank roofs, platforms, walkways and stairways shall be kept clear of loose material or equipment except for sampling and gaging equipment kept on tank roofs in special racks or containers. Oil spills shall be cleaned up to prevent fire and slipping hazards.
(h) When in the open position, the covers of gage, sampling and manhole openings in tank roofs shall be securely attached to the roof or roof opening fixture.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of article 14 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6547. Reservoir and Stationary Tank Maintenance.
Note     •     History

(a) Maintenance work shall not be performed on the roof of a tank or reservoir or shell of a tank at any location where the employee is exposed to a hazardous concentration of flammable or toxic gases or vapors.
(b) If such work is contemplated and there is reason to suspect the existence of any of the hazards mentioned in subsection (a), tests shall be made of the atmosphere at the location of the proposed work to determine the presence or absence of these hazards. Additional tests shall be made during the progress of the work to determine whether a safe atmospheric condition still exists.
This order does not prohibit an employee protected by approved respiratory equipment from entering such a hazardous atmosphere.
(c) If tank or reservoir roof plates or sheathing are known to be weak or defective, and it is necessary for employees to go on a roof to determine the extent of the weak and defective parts or to remove them, the following precautions, or substantially equally safe procedure, shall be used:
(1) Employees shall work at least two rafters apart, be provided with and use an approved safety harness with an independent safety line securely attached to safe supports.
(2) If rafters, girders or posts are known to be weak or defective in an area which cannot be spanned by thrustout planking and thus support employees, temporary shoring shall be installed inside the tank or reservoir before employees are permitted to work on the weak or defective roof area. If this is impracticable, an overhead life line shall be installed and employees shall attach their safety belts to this life line.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6548. Drainage, Dikes and Walls for Aboveground Tanks.
Note     •     History

(a) Drainage, diking and retaining walls for aboveground tanks shall be provided for employee protection as required by the provisions in the General Industry Safety Orders, Section 5595.
(b) (1) At least one means of safe access shall be provided over retaining walls to the ground level within the walled area.
(2) Where walls exceed three feet (3') in height, there shall be provided at least one emergency exit located as nearly opposite the means of access as practicable. The emergency exit shall be a stairway, walkway, fixed ladder or ramp.
(3) Walkways and ramps may be structures of metal or wood. For earthen retaining walls with sloping embankments, they may be suitably surfaced natural walkways or ramps on the embankment, in which case the slope of the walkway or ramp shall be no more than twenty degrees (20o ) from the horizontal.
(4) If the slope is greater than two inches (2”) per foot, structural walkways or ramps shall have securely attached and uniformly spaced cleats not over sixteen inches (16”) apart, or other protection against slipping.
(c) Stairways, walkways, and ramps over retaining or diversion walls more than thirty inches (30”) high shall be provided with a stair railing or railings on the exposed sides, unless the stairways or ramps are laid upon sloping earth embankments. In that case, a railing or stair railing may be installed on one side only, if the vertical distance from the nose of the stairway tread or from the surface of the ramp to the earth below is no more than two feet (2').
(d) Roadway or walkway openings in diversion and retaining walls are prohibited, except temporarily during repairs.
(e) There shall be no openings or holes in diversion or retaining walls.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Section (f) repealer filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6549. Pits and Sumps.
Note     •     History

Open pits or sumps which constitute a hazard to employees, shall be guarded by readily visible barricades, rails or other equally effective means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 15. Unfired Pressure Vessels, Boilers, and Fired Pressure Vessels and Pressure Relief Devices
§6551. Pressure Vessels and Boilers.
Note     •     History

(a) All unfired pressure vessels, boilers, and fired pressure vessels shall meet all applicable requirements of the Unfired Pressure Vessel Safety Orders and the Boiler and Fired Pressure Vessel Safety Orders unless the design, material and construction of the pressure vessel or boiler is accepted by the Division as equivalent to the ASME Code.
(b) Maximum allowable working pressure. 
(1) The employer shall establish, or cause to be established, the maximum allowable working pressure of each boiler or pressure vessel in accordance with the rules of recognized pressure vessel codes applicable to the pressure vessel service involved.
(2) No pressure vessel shall be operated above its maximum allowable working pressure at coincident design temperature(s). 
(3) The maximum allowable working pressure for each vessel shall be evaluated at intervals sufficiently frequent to give due consideration to corrosion and other factors causing deterioration. The original code of construction shall be used to establish the allowable stresses and joint efficiencies when re-rating, de-rating or calculating the pressure boundary minimum thickness of a vessel. 
(c) Maintenance, inspection, and repair procedures of unfired pressure vessels shall comply with API 510, Pressure Vessel Inspection Code, Eighth Edition, June 1997, Addendum 4, August 2003; or the ANSI/NB-23, American National Standard/National Board Inspection Code, 2004 Edition; which are hereby incorporated by reference. 
(1) A written risk-based inspection program, as described in API 510-2003 and API 580, Risk-based Inspection, Recommended Practice, First Edition, May 2002, which is hereby incorporated by reference, may be used to increase the internal or on-stream inspection limits required by API 510-2003 Section 6.4 to a maximum of 15 years, or the external inspection interval described by API 510-2003, Section 6.3 to a maximum of 10 years, provided it is reviewed and accepted by the Division before the program is implemented, and every three years thereafter. Any revisions made to the accepted risk-based inspection program must also be submitted, reviewed, and accepted by the Division prior to implementation of these revisions. 
(A) The risk-based inspection program shall be submitted to the Division in writing, and shall be reviewed and accepted by the Division before the program is implemented, and every three years thereafter. Any revisions made to the accepted risk-based inspection program must also be submitted, reviewed and accepted by the Division prior to implementation of these revisions. 
(B) The risk-based inspection program shall not be used for pressure vessels and boilers that require “Permits to Operate” issued by the Division. 
(C) The plan shall not be used for safety relief devices. 
(D) The program shall indicate: 
1. Acceptance by signature of plant management. 
2. Involvement of plant operating, engineering, inspection, and maintenance personnel by signature. 
3. The type of vessels covered. 
4. The methodology used to create the program. 
5. A listing of the vessels covered by the program, with a clear indication of those vessels that have an inspection interval beyond the 10-year or half remaining life as required by API 510-2003, Section 6.4. 
(2) If a written fitness-for-service program, as described in Section 5.8 of API 510-2003, is used to evaluate pressure vessels for continued service when found to have degradation that could affect their load carrying capability, it shall comply with API 579, Fitness-for-Service, Recommended Practice, First Edition, January 2000, which is hereby incorporated by reference. 
(A) The fitness-for-service program shall be submitted to the Division in writing, and shall be reviewed and accepted by the Division before the program is implemented, and every three years thereafter. Any revisions made to the accepted fitness-for-service program must also be submitted, reviewed and accepted by the Division prior to implementation of these revisions. 
(B) The program shall indicate: 
1. Acceptance by signature of plant management. 
2. The type of vessels covered. 
3. How fitness-for-service results are documented. As a minimum, this documentation shall include acceptance of the fitness-for-service evaluation by signature of a technically competent company employee that is designated to review and accept the evaluation. 
4. Involvement of plant operating, engineering, inspection, and maintenance personnel by signature. 
5. The procedures in place for notifying the Division no later than the next business day of initiating a level 2 or 3 fitness-for-service evaluation as described in API 579-2000. Level 2 and 3 evaluations are subject to the acceptance by the Division. If the review is subsequent to returning the vessel to service, the Division may, in its reasonable discretion, require the unit be removed from service. 
(d) Repair and alterations. 
(1) Repair and alteration of boilers and pressure vessels shall meet all applicable requirements of the Unfired Pressure Vessel Safety Orders and the Boiler and Fired Pressure Vessel Safety Orders, and shall comply with API 510, Pressure Vessel Inspection Code, Eighth Edition, June 1997, Addendum 4, August 2003; or the ANSI/NB-23, American National Standard/National Board Inspection Code, 2004 Edition; which are hereby incorporated by reference. 
(2) Repairs and alterations of pressure vessels performed in a state other than California shall be done by a company with a valid National Board `R' stamp and inspected by an inspector holding a valid National Board Commission and Certificate of Competency (or equivalent) for the state in which the work is being performed. The repair or alteration shall conform to all the requirements of this section and be stamped in accordance with ANSI/NB-23-2004. 
(3) Repairs. 
(A) Repairs shall be performed by one of the following: 
1. An organization in possession of a valid ASME Certificate of Authorization; or
2. An organization in possession of a valid National Board Certificate of Authorization.
(B) The API 510-2003 Code shall not be used for the repair of boilers and pressure vessels as follows:
1. Boilers and fired pressure vessels as defined in the Boiler and Fired Pressure Vessel Safety Orders.
2. Vessels as defined in the Unfired Pressure Vessel Safety Orders, Section 460.
3. Vessels used in compressed air, LPG, CNG, LNG and NH3 services as defined in the Unfired Pressure Vessel Safety Orders.
(C) The employer making the repair in accordance with API 510-2003 or ANSI/NB-23-2004, shall provide for inspection, documentation and certification of the work and shall ensure prior authorization for the repair by a Qualified Inspector as defined in the Unfired Pressure Vessel Safety Orders.
1. Inspection and certification of repairs shall be made by an inspector regularly employed by one of the following:
a. The Division;
b. A City or County;
c. The Authorized Inspection Agency of the organization making the repair;
d. The Authorized Inspection Agency which insures the boiler or pressure vessel; or,
e. The owner/user inspection agency.
(D) Fillet weld patches shall not be permitted unless acceptable to the Division. Acceptance by the Division will be based on the materials, design and construction providing safety equivalent to the original code of construction.
(4) Alterations. 
(A) Alterations to pressure vessels shall be performed in compliance with ANSI/NB-23, 2004, unless the material design and construction are accepted by the Division as equivalent to the ASME Code.
1. No alteration to a pressure vessel shall be made until authorized by a Qualified Inspector as defined in the Unfired Pressure Vessel Safety Orders.
2. Alterations shall be performed by one of the following:
a. An organization in possession of a valid ASME Certificate of Authorization, provided that the alteration is within the scope of such authorization, and provided that the organization's alteration program has been reviewed and accepted by the Division. 
b. An organization in possession of a valid Certificate of Authorization issued by the National Board of Boiler and Pressure Vessel Inspectors to use the National Board “R” symbol stamp provided that the alteration is within the scope of such authorization, and provided that the organization's alteration program has been reviewed and accepted by the Division.
3. For alterations performed at a field site, the scope of such authorization shall include field fabrication.
4. The employer making the alteration shall provide for inspection, documentation and certification of the work and shall ensure prior authorization of the alteration by a Qualified Inspector holding a valid Certificate of Competency issued by the Division.
5. Inspection and certification of alterations shall be made by a Qualified Inspector, employed by one of the following:
a. The Division;
b. A City or County;
c. The Authorized Inspection Agency of the organization making the alteration;
d. The Authorized Inspection Agency which insures the boiler or pressure vessel; or,
e. The owner/user inspection agency, provided the work was not performed by the Qualified Inspector's employer.
6. A pressure test shall be applied after an alteration as required by the applicable ASME Code section. An alternate test or examination may be used subject to prior acceptance by the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 15 heading and section heading, repealer and new section filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
2. Amendment of section heading and section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
§6552. Pressure-Relieving Devices.
Note     •     History

(a) All pressure vessels shall be protected by a pressure relief device. Such relief devices shall be set to prevent the pressure in the vessel from exceeding limits established by the ASME Code or, where permitted, the Unfired Pressure Vessel Safety Orders. Pressure vessels that are connected together in a system with piping not containing valves that can isolate any pressure vessel while connected to its source or pressure may be considered as one unit. 
(b) A vessel having a stop valve that can isolate the vessel from its pressure-relieving device, as permitted in subsection (c), shall be protected by an additional safety device, if the vessel may become entirely filled with liquid, and if it is possible that pressure may be generated by continued input of heat through exchanger tubes or similar devices or by exposure to sun or adjacent hot equipment. This additional safety device shall be connected to the vessel at all times except as permitted in subsection (c)(3). The additional safety device may be set at a pressure not greater than one and one-quarter times the maximum allowable working pressure. 
(c) Stop Valves Between Pressure-Relieving Device and Vessel. 
(1) A vessel in which pressure can be generated because of service conditions shall have no stop valve between the vessel and its pressure-relieving device except for inspection or repair purposes, as permitted in subsection (c)(3), or except in cases where multiple pressure-relieving devices are provided and the stop valves are so constructed that they can not be operated so as to reduce the pressure-relieving capacity below that required. 
(2) A vessel in which the pressure originates from an outside source exclusively may have its pressure-relieving device on the vessel or at any point on the system between the vessel and its source of pressure, provided that the pressure-relieving device is set to function at not over the maximum allowable working pressure of the vessel. Under these conditions there may be a stop valve between the vessel and the pressure-relieving device which need not be locked open if the stop valve also closes the vessel from its source of pressure. Any stop valve between the pressure-relieving device and the vessel which does not close the vessel from its source of pressure shall meet the requirements given in subsection (c)(1) above. 
(3) Stop valves may be installed between a pressure relief device and the operating vessel for the purposes of inspection, repair and/or replacement of the pressure relief device. Where stop valves are installed, the employer shall develop, implement, and maintain a written plan containing all of the following: 
(A) Procedures to ensure that stop valves are open and locked or sealed during normal operations and are not to be closed except by a qualified person(s). 

NOTE: In the case of multiple relief device installations having spare capacity or spare relief valves, the stop valve can be closed on the inactive relief valves providing sufficient system relief capacity is maintained. 
(B) Procedures to minimize the frequency of closing stop valves while the vessel is in service. Stop valves shall remain open and locked or sealed until a replacement pressure relief device is available for installation. 

Exception:Stop valves may be closed for emergencies such as pressure relief device failure. 
(C) Procedures to ensure that a replacement pressure relieving device or needed replacement parts are readily available prior to closing the stop valve and removing the pressure relief device. An index for the location of all stop valves subject to this section shall be maintained. 
(D) Before the removal of a pressure relief device from operating equipment, facility management shall review and approve a written operations plan for closing the stop valves. The plan shall incorporate, at a minimum, the following elements: 
1. An engineering review to ensure that no increase in the capacity, pressure, severity, and/or operating condition of the unit or vessel will affect the safety of employees or equipment while the pressure relief device is out of service. 
2. Provisions for written notification and operational procedures to unit controllers, operators and other affected personnel, including the safeguards and estimated time the valve will be out of service. 
3. Identification of the functional position(s) or employees having knowledge of the operating equipment and pressure relieving device(s) authorized to approve closing a stop valve; and, 
4. Identification of the qualified person(s) or functional position(s) authorized to actually close and then reopen a stop valve. 
(E) A written overpressure relief plan for each safety relief device shall be developed prior to closing the stop valve. The plan shall include: 
1. The means by which overpressure-relief protection will be provided during the time that the pressure relief device is out of service; 
2. The procedures to be followed to minimize the time that the stop valve will be closed; 
3. The operating conditions, limitations, and other safety measures which are required to be observed to protect employees and equipment; and, 
4. In the event that the plan requires a standby person to manually operate a vent to the atmosphere, a replacement safety relief valve shall be available for installation prior to closing the valve. Employees shall be protected from hazards as identified by Article 10 of the General Industry Safety Orders. 
(F) The written overpressure-relief plan shall be made available to the Division upon request during the course of the work operation to which it applies. 
(4) Valves as permitted above shall not be gate valves installed with the stems pointing above the horizontal plane of the valve body or globe valves installed so that the disk will open against pressure. This limitation need not apply to stop valves closing the vessel from its source of pressure. Other provisions acceptable to the Division may be used to assure that the valve is in the open position. 
(d) Capacity of Pressure-Relieving Devices. 
(1) The aggregate capacity of the pressure relief devices applied to any pressure vessel or system shall be sufficient to carry off the maximum quantity of material that can be generated in, or supplied to, the attached equipment without permitting a rise in pressure within the vessel above the limits permitted by the ASME Code. 
(2) Pressure relief devices designed to relieve hydrostatic pressure caused by heat as outlined under subsection (b) shall have sufficient relieving capacity to prevent a hydrostatic pressure within the vessel in excess of 1.33 times the maximum allowable working pressure. 
(e) Discharge lines from pressure relief devices shall be secured against movement. The lines shall be designed to facilitate drainage or shall be fitted with drains to prevent liquid entrapment in the discharge side of the relief device. The lines shall discharge at a location or in a manner to prevent injury to employees. The size of the discharge lines shall be such that any pressure that may exist or develop will not reduce the relieving capacity of the relief device below that required to properly protect the vessel. No valve shall be placed in a discharge line from a pressure relief device except when such discharge line discharges to a common header, in which case such valve shall be installed in compliance with subsection (c)(4) and locked or sealed open. Such valves may be closed only as allowed by subsection (c)(3). 
(f) The employer shall maintain each pressure relief device installed on operating equipment so as to ensure the proper functioning of the device at the intended pressure. Such maintenance shall include inspection, testing, and the repair of the pressure relief device at frequencies as required by the service conditions. 
(g) Pressure relief valve settings shall be changed only by authorized employees assigned such duties. 
(h) A permanent and progressive record for each pressure vessel shall be maintained at the plant or the field office where the vessel is located. The record shall be available for inspection by the Division and shall include the following: 
(1) The serial or identification number of the vessel. 
(2) The established maximum allowable working pressure of the vessel. 
(3) The coincident design temperature(s), 
(4) Manufacturer's data reports, when obtainable, and any calculations used in establishing the maximum allowable working pressure. 
(5) Such documents as necessary to record the results of tests, inspections, repairs, or alterations. Information on maintenance activities and events affecting the pressure vessel's integrity shall be included. 
(i) Each pressure relief device in service shall have a serial or identification number stamped upon it and, in addition, a metal plate or tag shall be attached showing the pressure setting and the date the device was installed in service. A permanent and progressive record showing the serial or identification number, the location, the pressure setting, the date of installation in service, and the date of testing shall be maintained at the plant or field office where the pressure relieving device is located or at the supervising office. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
2. Amendment of section heading and new section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
Article 16. Gas Compressors and Engines
§6553. Gas Compressors and Gas Plant Protection.
Note     •     History

(a) When a gas compressor plant discharges gas into a line to which other sources of gas supply are connected, except when discharging into a public utility distributing system, there shall be a valve installed in the plant's discharge line, or lines, for the purpose of preventing the return flow of gas.
(b) Gas compressor discharge lines shall have a pressure relief device. There shall be no intervening valves or fittings between the compressor and its pressure relief device nor between the pressure relief device and its point of discharge, which would render the pressure relief device ineffective.
The pressure relief safety device shall be set to open at a pressure not to exceed one hundred and ten percent (110%) of the maximum allowable working pressure of the cylinder. The relieving capacity of the pressure relief device shall be such as to prevent a rise of pressure in the cylinders of more than ten percent (10%) above their maximum allowable working pressure as established by the manufacturer.
Note: A valve locked in the open position does not render the pressure relief device ineffective.
(c) Where a gas compressor pressure relief device discharges into the atmosphere, the discharge outlet shall be located outside of the compressor building; and if it discharges adjacent to the building, the discharge outlet shall be located above the compressor building eaves.
(d) Where hazardous quantities of liquid may be present in the incoming gas to compressors, an inlet scrubber shall be provided and a device installed on it that will either give an audible warning or shut down the compressors if the liquid in the scrubber exceeds a predetermined level.
(e) Gas lines connected to compressor intakes shall be provided with shut-off valves in a safe location outside the compressor building, if there is one, but in no case within a reasonable distance of the compressor.
(f) Before maintenance work requiring the opening of lines or equipment containing gas is performed on a compressor or its suction or discharge piping, the valves in the intake and discharge lines shall be closed and locked to protect employees from the danger of escaping gas. If this is inadequate, the lines shall be blinded, or other equally effective means taken, to prevent the escape of gas.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6554. Stationary Internal Combustion Engine Driving Air or Gas Compressors.
Note     •     History

(a) Air and gas compressor engines of over thirty (30) horsepower shall be provided with means other than manual for starting. Manual starting is permitted in emergencies only.
(b) In a gas compressor building or in buildings where there may be an accumulation of flammable gases, internal-combustion engine ignition systems or wires shall not be manipulated in a manner that may produce an open spark, unless tests indicate that the flammable gas or vapor content of the atmosphere is less than twenty percent (20%) of the lower explosive limit.
(c) Cylinder cocks of internal-combustion engines shall not be opened at any time when a flame or spark may be discharged from the cylinder cock into a gas compressor room or in buildings where there may be an accumulation of flammable gases, unless tests indicate that the flammable gas or vapor content of the atmosphere is less than twenty percent (20%) of the lower explosive limit.
(d) In addition to the throttle valve, other means shall be provided by the use of one or more valves, blinding, or other provisions giving equivalent safety, to prevent fuel gas entering cylinders and actuating moving parts while maintenance work is being performed upon an internal combustion engine, or upon the equipment connected to and driven by the engine, when such maintenance work would otherwise expose the employee to possible injury.
(e) The main fuel gas line to gas compressor engines and other internal combustion engines located in gas compressor buildings shall be equipped with a suitable master shut-off valve located outside the building but in any case within a reasonable distance of the engine.
(f) A check valve shall be provided in the engine or in the starting air line adjacent to each internal combustion engine cylinder using compressed air as the means of starting.
(g) The compressed air supply for starting an engine shall be prevented from so functioning while maintenance work is being performed on an idle internal combustion engine, or on the equipment connected to and driven by the engine, when such maintenance work is of a nature that employees may be endangered should the starting air cause the engine to move or turn over. This shall be accomplished by one of the following means:
(1) Disconnecting the starting air line union and disaligning the pipe.
(2) Having two closed valves in the starting air line with an open tee between them having a discharge capacity equal to the capacity of the starting air line.
(3) Other means giving equally effective positive protection as (1) or (2) above.
(h)(1) In addition to the governor controlling the fuel supply, an overspeed trip or overspeed regulator operating to cut off the engine ignition shall be installed on stationary internal combustion engines which are equipped with external flywheels and which drive gas compressors. 
(2) On turbo-charged compressor drive engines, the overspeed control shall also shut off the fuel supply. Internal combustion engines which have the flywheel installed within the engine body as an integral part of the engine are not included in this order.
(3) The overspeed trip or overspeed regulator shall be so installed and adjusted as to prevent the engine from overspeeding, and shall be maintained in an operative condition.
(i) Provisions shall be made to prevent the contact of flammable liquids with exhaust pipes of internal combustion engines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19)
Article 17. Identification of Wells and Equipment
§6556. Identification of Wells and Equipment.
Note     •     History

(a) Every producing or injection well shall have placed in a conspicuous place, the name or number of the well. The operator and the name or number of the lease on which the well is located shall be clearly identified at the entrance(s) to the property or at the well site.
(b) Each stationary tank or vessel containing flammable, corrosive, or hazardous liquids or gases shall be identified by a letter, number, name or combination of these. Such identification should include information which either conveys the health and/or physical hazards of the substance in the tank or vessel or may be used to identify the hazards from readily available literature such as material safety data sheets. The identifications shall, when practical, be located so as to be legible from the location at which the tank or vessel is operated or controlled.
Note: National Fire Protection Association (NFPA) 704 may be used as a hazard identification method on stationary tanks or vessels.
(c) Pipe lines containing flammable, corrosive, or hazardous liquids or gases shall be identified to indicate their contents or purpose when such identification is practical and the correct operation of the valves of the line is essential to the safety of employees. The identification of the lines shall be by name or color placed on the lines or on the valves in the lines and shall be legible from the place at which the valves are operated. This shall not prohibit identification by the use of both a name and a color. Identifications shall be maintained so as to be legible. 

Exception: Drilling and well servicing equipment.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 18. Standard Type Derricks
§6558. New and Old Installations.
Note     •     History

(a) Derricks to which the orders in this article apply are classified into three groups, as follows:
Group 1 consists of derricks constructed before March 1, 1924.
Group 2 consists of derricks constructed after March 1, 1924, and before June 13, 1952.
Group 3 consists of derricks constructed after June 13, 1952.
Note: A dismantled derrick re-erected after June 13, 1952, shall be considered a new installation and governed by the orders designated as Group 3.
(b) The abbreviations G-1, G-2, and G-3 indicate Group 1, Group 2, and Group 3, respectively. Where one or more of these abbreviations precedes a specific order it means that the order applies to the group or groups of derricks indicated by the abbreviation.
(c) Where none of these abbreviations precedes an order, it means that the order applies to all three groups of derricks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6559. Derrick Floors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6560. Inside Derrick Platforms.
Note     •     History

(a) An inside derrick platform shall be provided in the derrick tower at each elevation where an employee is normally required to handle pipe, sucker rods or other equipment racked in the derrick tower.
(b) The working edge of inside derrick platforms shall be placed with sufficient clearance for safe passage of the traveling block and to permit the employee, if working from the platform, to reach the elevator.
(c) Every inside derrick platform, monkey board type excepted, shall completely cover the space from the working edge back to the derrick girts.
(d) Every monkey board type platform shall be secured to the derrick with bolts or equivalent fastenings to resist being shifted or dislodged under normal operating conditions.
(e) Except for the monkey board type, every inside derrick platform of metal construction shall have the decking at each end and near the working side secured to the derrick girts or other platform supports with machine bolts, “U” bolts, or “J” bolts.
(f) The space between the derrick girt and the monkey board shall be completely covered at the normal point of access to the monkey board. Monkey board type platforms shall be at least twenty-four inches (24”) across their least horizontal dimension.

Exception: This subsection does not apply to (G-1) derricks unless the monkey board type platform is installed after the effective date of these orders.
(g) Except for the monkey board type, every inside derrick platform of wood construction shall have each end of the decking plank or planks on the working side secured to the derrick girts or other platform supports with machine bolts, “U” bolts, or “J” bolts.
(h) A vertical clearance of at least six and one-half feet (6 1/2') shall be maintained above the decking of each inside derrick platform.
(i) No inside derrick platform shall be in such a position that the hoisting line, running to the hoist drum, will run through or in contact with the platform unless provisions are made to prevent the platform from being abraded by the line and the line guarded to prevent employees working on the platform contacting it.
(j) Inside derrick platform shall not be installed in a derrick in such a position that it would obstruct the driller's or hoist operator's view, when at their operating stations, of either the crown block or the traveling block at any point of its travel.
(k) An inside derrick platform which is more than three and one-half feet (3 1/2') above the outside derrick platform which serves it and to which the main derrick ladder does not provide direct access shall have access provided thereto by means of an auxiliary derrick ladder from the outside derrick platform below to a point not less than three and one-half feet (3 1/2') above the inside platform.
(l) A finger or finger brace shall not be used as a principal inside derrick platform. A finger board may be used as an inside derrick platform when it meets the requirements for an inside derrick platform and provides safe working space between the traveling block or hoisting lines and the pipe racked in the derrick tower.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsections (b), (d), (i), (j)  and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6561. Outside Derrick Platforms.
Note     •     History

(a) Every derrick used for drilling or redrilling shall have a continuous outside derrick platform at least two feet (2') wide completely around the derrick at an elevation not more than two feet (2') above and not more than one (1) girt [not to exceed eight feet (8')] below the principal inside derrick platform.
(b) Every derrick used for drilling or redrilling shall have an outside derrick platform at least two feet (2') wide across the side of the derrick in which each auxiliary inside derrick platform is located. This outside derrick platform shall be parallel to the longest side of the inside platform and shall be two feet (2') or less from adjacent derrick legs and at an elevation not more than two feet (2') above and not more than one (1) girt [not to exceed eight feet (8')] below the inside platform. A minimum vertical clearance of at least six and one-half feet (6 1/2') shall be maintained between outside derrick platforms.
(c) (G-3) With the exception noted below, every derrick used for well servicing shall have a continuous outside derrick platform at least two feet (2') wide completely around the derrick at an elevation not more than two feet (2') above and not more than one (1) girt [not to exceed eight feet (8')] below the principal inside derrick platform. 
If well-servicing hoists are used and operating conditions necessitate running the sand line to the sand reel outside the derrick tower, the platform on that side of the derrick tower may be omitted.
(G-2) Every derrick used for well servicing shall have an outside derrick platform at least two feet (2') wide across the side of the derrick in which the principal inside derrick platform is located. This outside derrick platform shall be parallel to the longest side of the inside platform, and shall be two feet (2') or less from adjacent derrick legs and at an elevation not more than two feet (2') above and not more than one (1) girt [not to exceed eight feet (8')] below the principal inside derrick platform.
(d) (G-2, G-3) Every derrick used for well servicing shall have an outside derrick platform at least two feet (2') wide across the side of the derrick in which each auxiliary inside derrick platform is located. This outside derrick platform shall be parallel to the longest side of the inside platform and shall be two feet (2') or less from adjacent derrick legs and at an elevation not more than two feet (2') above and not more than one (1) girt [not to exceed eight feet (8')] below the inside derrick platform. A minimum vertical clearance of at least six and one-half feet (6 1/2') shall be maintained between outside derrick platforms.
Every derrick used for well servicing shall have an outside derrick platform at least two feet (2') wide across the side of the derrick in which the inside derrick rod board platform is located. This outside derrick platform shall be parallel to the longest side of the inside derrick rod board platform, and shall be two feet (2') or less from adjacent derrick legs and at an elevation not more than two feet (2') above and not more than five feet (5') below the inside derrick rod board platform. A minimum vertical clearance of at least six and one-half feet (6 1/2') shall be maintained between outside derrick platforms.
(e) (G-2, G-3) Direct access shall be provided to each outside derrick platform by the main derrick ladder, by an auxiliary derrick ladder from any lower outside derrick platform to which the main derrick ladder provides direct access, or by extending the outside derrick platform to the main derrick ladder.
(f) The outer edges of all outside derrick platforms shall be equipped with standard railings and toeboards.
(g) The outer edges of all ladder offset platforms shall be equipped with standard railings but need not be equipped with toeboards.

Exception: to subsections (f) and (g) of this section: Railings and toeboards constructed on these respective platforms before March 1, 1924, need not conform to standards set forth in the General Industry Safety Orders, but shall consist of a top rail three and one-half feet (3 1/2') high, and a mid rail, or equivalent type of construction. Such railings and toeboards shall be constructed and maintained to conform to good engineering practices.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of Exception and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6562. Crown Platforms and Railings.
Note     •     History

(a) (G-2, G-3) On every derrick used for drilling, redrilling, or well servicing, a continuous platform at least two feet (2') wide shall be provided completely around the outer edges of the derrick crown. The outer edges of the platform shall be equipped with standard railings and with toeboards at least twelve inches (12”) high.
(b) (G-2, G-3) The derrick crown platform shall be at an elevation that will provide access to the crown block.
(c) If a (G-1) derrick is used for drilling or redrilling, it shall conform to the requirements of this section. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6563. Derrick Gin Pole.
Note     •     History

(a) A derrick gin pole or other equivalent means shall be provided on every derrick tower when it is necessary to raise or lower a crown block to or from the top of the derrick tower.
(b) A derrick gin pole shall not be subjected to loads greater than the design and condition of the structure will withstand.
(c) Every derrick gin pole used to handle a crown block shall have sufficient height above the derrick crown (water table) to permit the crown block to be raised to a point at least two feet (2') in the clear above the top of the water table.
(d) When a derrick gin pole is used to install a crown block, access shall be provided to the top of the derrick gin pole by means of a fixed ladder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6564. Derrick Ladders.
Note     •     History

(a) (G-2, G-3) Every derrick shall be equipped with a fixed ladder or ladders providing access from the derrick floor to the derrick crown platform and to each intervening outside derrick platform.

Exception: The lower end of fixed ladders may be terminated at a height not to exceed ten feet (10') above the floor or working area. A secured portable ladder of similar design shall provide  access to the lower section of the fixed ladder when the ladder is in use.
(b) (G-2, G-3) The width of ladders shall be at least twelve inches (12”), measured from the inside of the side rails.
(c) (G-2, G-3) Uniform and parallel rung or step spacing shall be employed and shall be not less than twelve inches (12”) nor more than sixteen inches (16”) from top to top of rungs or steps. The clear space between rungs or steps shall be not less than eight inches (8”).
(d) (G-2, G-3) Where sections of a ladder are spliced, they shall be so supported at the splice that the ladder will be aligned and the splice will not be stressed beyond its safe working limit.
(e) On the climbing side of the ladder, a clear and unobstructed space shall be maintained to a distance of at least twelve inches (12”) from each side of a center line drawn vertically through the center of the ladder width and to a distance at least twenty-four inches (24”) outward from the front of the ladder rungs or steps; provided, however, this does not apply to ladderway openings in platforms, nor does it forbid the use of safety devices to prevent or control falls from a ladder when the use of the device is approved by the Division or designed and constructed in compliance with recognized national standards such as ANSI, UL or Factory Mutual.
(f) (G-2, G-3) Throughout the length and width of the back of the ladder, a space of at least four inches (4”) shall be maintained clear of all obstructions that present a tripping hazard, prevent a safe footing, or prevent a secure handhold to the ladder rungs or steps.
(g) No ladder shall lean backward from the vertical. Ladders may, if necessary, lean sideways from the vertical but not in excess of three degrees (3o), provided, however, that the slope of the rungs or steps, in the width dimension of the ladder, shall not exceed two degrees (2o) from the horizontal.
(h) (G-2, G-3) The lowest rung or step of a ladder or ladder section shall be not more than sixteen inches (16”) above the derrick floor or platform landing.
(i) (G-2, G-3) Every ladder shall be secured with bolts, brackets, or equivalent fastening. 
(j) (G-2, G-3) The top end of each ladder or ladder section providing access to the derrick crown platform, outside derrick platform, ladder offset platform, inside derrick platform, monkey board platform or any fixed platform in or on a derrick shall extend at least three and one-half feet (3 1/2') above the platform.
(k) (G-3) Continuous ladders or ladder sections shall be provided with platforms at intervals not exceeding forty feet (40') upon which the employee may rest. Such platforms shall be not less than twelve inches (12”) in depth, nor less than eighteen inches (18”) in width. Handholds shall be provided above the rest platform. Toeboards and railings are not required.
(l) Ladders constructed of wood shall be as follows:
(1) (G-2, G-3) Side rails shall be not less than two by four inches (2” x 4”), nominal size.
(2) (G-2, G-3) Rungs or steps shall be not less than one by four inches (1” x 4”), nominal size.
(3) (G-2, G-3) In addition to nailing rungs or steps to the side rails, provision shall be made to prevent the rungs or steps from being pulled off under normal use. This shall be done by nailing strips of not less than one by two inch (1” x 2”) lumber to the side rails, over the ends of the rungs, or steps, or by other means providing equivalent fastenings.
(4) (G-2, G-3) The top and bottom of each side rail of the ladder section shall be secured to the derrick with bolts at least three-eighths inch (3/8”) in diameter or other equivalent means.
Lag screws, spikes or nails are not acceptable as a means of securing such ladders in place.
(m) Ladder cages are not required on any standard type derrick.
(n) Every (G-1) derrick shall be equipped with a securely fastened fixed ladder or ladders providing access from the derrick floor to the derrick crown and to each intervening derrick platform in or on the derrick.
Note: These ladders need not meet the detailed specifications required by other subsections of this article specifically applying to (G-2) or (G-3) derricks.
(o) If derrick ladders are offset, such offsets shall occur only at outside derrick platforms or ladder offset platforms.
(p) Counterweighted ladder climbing assist devices may be used in conjunction with a ladder climbing safety device or in conjunction with rest platforms on the ladder in conformance with these orders. If the assist device is used in conjunction with ladders with rest platforms, the counterweight shall weigh no more than 100 pounds. Employees using the assist device will be instructed in proper use of the device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter. (Register 59, No. 12).
2. Amendment of Exception, subsections (e), (i), (k), (k)(3)-(4), (n), new subsection (p), and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6565. Ladderway Openings in Platforms.
Note     •     History

(a) (G-2, G-3) Openings in platforms to permit the passage of men climbing the derrick ladder shall be provided as follows:
(1) The width of the openings parallel to the ladder width shall be at least twenty-two inches (22”) but not more than thirty inches (30”). The ladder shall be placed midway along the width of the opening.
(2) The openings shall be clear and unobstructed to a distance of at least twenty inches (20”) outward from the front of the ladder rungs or steps.
(3) There shall be a clearance of at least twenty inches (20”) between platform railings and toeboards and the ladder rungs or steps.
(4) Exception: Platforms installed on G-2 derricks before June 13, 1952, and not having the clearances required in paragraphs (2) and (3) of this subsection, will be allowed a two inch (2”) minus tolerance.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6566. Guying Standard Type Derricks.
Note     •     History

(a) Reasonable provisions shall be made to prevent derricks from collapsing as a result of wind velocity. This shall be accomplished by using either one or both of the following methods:
(1) By the use of guy lines.
(2) By constructing the derrick and foundations in such a manner as to resist overturning.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a)(2) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 19. All Derricks, Masts and Supporting Structures
§6568. Construction and Maintenance.
Note     •     History

(a) Every derrick and mast and their component parts shall be constructed and maintained to conform to good engineering practice.
(b) Supporting structures of operating derricks and masts shall be constructed and maintained to conform to good engineering practice. The derrick or mast and supporting structure shall not be loaded beyond its designed capacity.
(c) Auxiliary parts of derricks and masts shall be constructed and maintained to conform to good engineering practice.
(d) Derrick and mast floors shall cover the area within the perimeter of the derrick or mast, except for such portions of the area and openings in the floor that are necessary for operating equipment and operating procedures.

Exception: When a mast base is used in conjunction with a standard steel derrick (such as necessitated by soundproofing or other requirements), the regular mast base flooring and guarding will be permissible if approaches to pipe walkway, stairway, or runway are extended.
(e) (G-2, G-3) The derrick or mast floor, if more than two feet (2') above ground level at the approach to the derrick or mast ladder shall extend to at least two feet (2') beyond the climbing side of the ladder. This extended portion of the floor shall be not less than four feet (4') in width.
(f) Employees shall be protected from the hazards of falling tong counterweights by one of the following:
(1) The counterweight shall be enclosed with a guard which extends from the working level to at least the midpoint of the counterweight when it is at its highest position;
(2) The counterweight shall be secured by chain or cable to prevent the counterweight from coming within seven feet above the floor or working level; or,
(3) Work or pedestrian traffic shall be prohibited in the area below the counterweight. The area below the counterweight shall be enclosed or barricaded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter. (Register 59, No. 12).
2. Amendment of article 19 heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6569. Fingers, Finger Boards and Finger Braces.
Note     •     History

(a) Each end of every finger board shall be secured to the derrick girts or other supports upon which it is placed, with machine bolts, “U” bolts, “J” bolts, or other equivalent means. Nails shall not be considered a fastening.
(b) Every metal finger and finger brace shall be fastened to the finger board with bolts or by welding or other equivalent means.
(c) All fingers shall be provided with a wire rope, chain or other equivalent means to prevent them from falling if dislodged.
(d) A metal finger exposed to contact with the traveling block shall be secured in place with a bolt or other fastening that will release or deflect the finger if it is caught on the traveling block, thus preventing material damage to the structure to which it is attached. The finger shall be secured with a wire rope, chain, or other equivalent means, to prevent it from falling if dislodged.
(e) Every wooden finger and finger brace shall be fastened to the finger board with bolts or other equivalent means. Lag screws, spikes or nails are not considered a fastening.
(f) All wooden fingers and wooden finger braces which project beyond the edge of the finger board adjacent to the traveling block shall be secured by one of the following methods to prevent them from falling if broken in two or if the securing bolts fail:
(1) By wrapping a guy strand or wire at least one complete turn around and through the entire length of the finger and finger brace, nailing or otherwise fastening the guy strand or wire to them at intervals of not more than one foot (1'), and fastening one end of the guy strand or wire to the derrick or mast.
(2) By zigzagging a guy strand or wire along one or more sides and through the entire length of the finger and finger brace, nailing or otherwise fastening the guy strand or wire to them at intervals of not more than one foot (1'), and fastening one end of the guy strand or wire to the derrick or mast.
(3) By other methods providing a secure fastening equivalent to those described in paragraph (1) and (2) of this subsection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6570. Stabbing Boards.
Note     •     History

(a) A stabbing board shall be provided for and used by employees where a platform is necessary for regular operating duties and the work cannot be performed from a fixed platform or monkey board. A stabbing board will not be required for repairing or maintaining the derrick or equipment.
(b) A stabbing board shall be at least twelve inches (12” nominal) wide and shall be strong enough to withstand the total weight of the persons, equipment and material that is required or permitted to be placed thereon.
(c) Ends of a stabbing board while in position shall be fastened in such a manner that will prevent the board from accidentally shifting off its supports or falling to the floor.
(d) After use the stabbing board shall be removed from the derrick or mast unless its further immediate use is indicated.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsections (a)-(b), repealer of subsection (e), and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6571. Crown Blocks.
Note     •     History

(a) Each crown block sheave and crown block shall be securely fastened in place in a manner that will prevent it from jumping out of its bearings or becoming accidentally shifted or dislodged.
(b) Cast iron sheaves shall not be used in any crown block used for drilling or redrilling or remedial well servicing operations where rotary jars are used nor in any new crown block installed after the effective date of these orders.
Cast iron sheaves which were in use before the effective date of these orders may be used in routine well servicing operations.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6572. Catwalk and Pipe Storage Racks at Drilling Wells.
Note     •     History

(a) Catwalk and pipe storage rack or pipe trailer, constructed and maintained to conform to good engineering practice shall be provided at every drilling well, as follows:
(1) The catwalk shall be at least four feet (4') wide and shall cover the space between the pipe storage racks or trailers.
(2) The catwalk shall be continuous from the derrick or mast or from the lower end of the pipe ramp, connecting the derrick or mast floor to the catwalk, to at least eight feet (8') beyond the outer end of the normal lengths of drill pipe to be handled on the walk.
(b) If catwalks are provided at remedial well work, they shall meet the provisions of subsection (a) of this section.
(c) If a catwalk is provided at a producing well, it shall meet the provisions of subsection (a) of this section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter. (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6573. Auxiliary Means of Escape from Derricks and Masts.
Note     •     History

(a) At every drilling, redrilling, and well servicing site, when operations require an employee in the derrick or mast, an auxiliary means of escape shall be immediately accessible from the outside derrick platform and from the pipe-racking platform on the mast. This auxiliary means of escape shall allow an employee to reach the ground safely if an emergency in or around the derrick or mast cuts off his escape by way of the derrick or mast ladder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter. (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6574. Escape Lines.
Note     •     History

(a) Escape lines shall be anchored, stretched taut and shall be free of knots, splices, broken strands, and other obstructions. In locating escape lines, due regard shall be given to topography, prevailing winds, and to the location of hazardous materials and equipment to provide for a safe dismount.
(b) Escape lines shall be installed at an angle of between forty degrees (40o) and fifty degrees (50o) from the horizontal if practicable, and never more than sixty degrees (60o) from the horizontal.
(c) Every mechanical slide provided on an escape line shall be equipped with a brake that will permit the employee using the slide to control the rate of speed in descending.
(d) If there is no mechanical slide on an escape line, a means of protection against friction burns to the hands of employees using the escape line shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter. (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 20. Cellars and Shafts
§6576. Construction and Maintenance.
Note     •     History

(a) Every cellar and shaft and every stairway, ramp, runway, and ladder providing entry to a cellar or shaft shall be constructed and maintained to conform to good engineering practice.
(b) When employees are required to be in a cellar or shaft, the cellar or shaft and the exits from it shall be kept reasonably free from water, oil, drilling fluid and other like substances that may endanger the employees.
(c) When employees are at work in a cellar or shaft, no loose equipment or material shall be kept in the cellar or shaft or exits except what is in use or about to be used.
(d) The depth of a cellar shall be the vertical measurement between the lowest point of the floor area in the bottom of the cellar and the lowest point of ground or finished surface adjacent to the top of the cellar wall.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (a) and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6577. Entrance and Exit.
Note     •     History

(a) The cellar(s) at every well shall be provided with entrances and exits as follows:
(1) The entrance to the bottom of a multiwell cellar that is  greater than two and one-half feet (2 1/2') deep shall be by means of a stairway and shall terminate in an unobstructed area at the cellar floor. The entrance shall be at least three feet (3') wide and shall have a vertical clearance of at least six and one-half feet (6 1/2'). The entrance to the bottom of a single well cellar that is greater than two and one-half feet (2 1/2') deep shall be by means of a fixed or secured portable ladder or a stairway.
(A) When the running length of the cellar exceeds 25 feet, a stairway shall be provided at both ends of the cellar.
(B) In cellars exceeding twenty-five feet (25') running length, a fixed ladder, a secured portable ladder or stairway shall be provided with unobstructed access and located no more than fifty (50') feet apart. The fixed ladder side rail extension at the cellar floor may be of the removable type.
(C) Where possible, the ladder shall be so located as to provide a clearance of twenty-four inches (24”) outward on the climbing side. Where the size of the cellar or necessary placement of equipment does not permit the full twenty-four inches (24”) clearance, the ladder shall be located so as to provide the maximum clearance available, and in no case less than fourteen inches (14”).
(2) Exit from the top of the ladder leading from the cellar, or from the top of the cellar wall where no ladders are required, shall be provided by one of the following means:
(A) A passageway under the derrick or mast floor leading to an unobstructed area at ground level.
(B) A fixed ladder leading to the top of the derrick or mast floor.
(C) A combination of a passageway and a fixed ladder leading to the top of the derrick or mast floor.
(3) The passageway under the derrick or mast floor shall be at least two feet (2') wide.
Where the height of the substructure and necessary placement of equipment does not permit a full six and one-half feet (6 1/2') vertical height above ground level, the maximum height available shall be used, but in no case shall it be less than four feet (4') above the ground level.
Beams of the substructure and pipe lines may be permitted horizontally across the passageway at ground level if  an unobstructed vertical clearance of at least three feet (3') above such beams or pipe lines is maintained. Beams of the substructure or pipe lines shall not be permitted longitudinally within the two feet (2') width of the passageway.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 21. Access and Exits, Derrick and Mast Floors
§6579. Access to and Exit from Derrick and Mast Floors.
Note     •     History

(a) The means of access includes the means of exit.
(b) Where the difference in elevation is more than eighteen inches (18”) between the ground, working levels, platforms or floors, access shall be provided by means of a stairway, ladder, ramp, walkway or a combination of these at the following locations:
(1) At a place along an edge of the drawworks floor or platform most remote from the derrick or mast floor as operating conditions will permit.
(2) At the end of the derrick or mast walk most remote from the derrick or mast floor.
(3) At the junction of the derrick or mast floor and derrick or mast walk.
(4) At the junction of the drilling fluid ditch walk and derrick or mast floor.
(c) The construction of stairways, ladders, ramps, and walkways shall be in accordance with the General Industry Safety Orders except where otherwise specifically provided for in these orders.
(d) Stair railings may be omitted from one side of a stairway where the installation of the railing interferes with the loading, unloading or transfer of equipment.
(e) Derrick and mast floors shall have at least one (1) means of access provided if the derrick or mast floor is over eighteen inches (18”) but less than ten feet (10') above the ground level, and two (2) means of access if ten feet (10') or more above ground level.
The two (2) means of access shall be remotely located with respect to each other so that they will provide an alternate means of escape in case of an emergency. One (1) means of access shall be provided by a stairway, ramp, walkway, or a combination of these. A ladder may be used as the other means of escape.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 22. Safety Belts and Lanyards
§6580. Safety Belts and Lanyards.
Note     •     History

(a) A safety belt and lanyard shall be provided for each employee working on a derrick or mast at a height more than ten feet (10') above the derrick or mast floor or more than ten feet (10') above the ground level if there is no floor.
The employee shall be required to wear the belt and see that it is securely fastened to a support by the life line or lanyard.

Exceptions:
(1) Employees engaged in erecting, dismantling, demolishing or cleaning a derrick or mast or their component parts where the nature of work is such that necessitates their continuously moving from one location to another in the derrick or mast as the job or operation progresses.
(2) Employees ascending or descending or otherwise traveling to or from a working place on the derrick or mast.
(3) Employees while on platforms equipped with standard railings.
(4) Employees performing work when standing on a ladder equipped with a safety cage, ring or equivalent at the working place.
(b) Safety belt and lanyard shall be capable of supporting a dead weight of 5400 pounds and be attached to an anchor or support.
(c) Each employee shall use a safety belt in good condition and shall inspect the safety belt and lanyard for defects prior to use. Defective equipment shall be removed from service.
(d) Lanyards shall be kept as short as possible to minimize the possibility and length of a free fall. Whatever the length of the lanyard, it shall be tied off as short as possible. Where the length of the lanyard would result in a free fall greater than four feet (4'), shock absorbing devices shall be provided. Care shall be used to see that the lanyard is attached to a fixed anchorage by means that will not reduce its required strength.
(e) All safety belt life lines shall be at least three-fourth inch (3/4”) diameter three-strand manila rope or material of equivalent strength.
Such life lines shall be capable of withstanding a stress caused by a weight of two hundred pounds (200 lbs.) dropping a distance of six feet (6').
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (c) and amendment of subsections (b) and (e) filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Change without regulatory effect inserting “(c)” immediately preceding the second paragraph in subsection (b) filed pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 7).
3. Amendment of article 22 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 23. Erection of Derricks and Masts
§6582. Portable Telescoping Derrick or Mast.
Note     •     History

Every portable telescoping derrick or mast shall be equipped with a safety device designed to engage automatically to prevent the upper section of the derrick or mast descending at an uncontrolled rate of speed if the lifting mechanism fails when the upper telescoping section is being raised or lowered.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 23 heading, section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6583. Hydraulic Lifts for Derricks and Masts.
Note     •     History

Where hydraulic lifts are employed to raise or lower a derrick or mast between the horizontal and vertical positions, or to raise or lower the top telescoping section of a derrick or mast, the hydraulic fluid system shall be equipped with a device located within the cylinder, or as closely connected to the cylinder as is feasible, to prevent either section descending at an uncontrolled rate of speed if the fluid piping system fails. This may be accomplished by the use of an excess flow device, a restricting orifice, or other equally effective means.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6584. Telescoping Gin Pole Mast: Locking Device.
Note     •     History

Every telescoping gin pole mast shall be equipped with a locking device for holding the top telescoping section of the mast in its extended working position. This device may be operated from ground level or at various positions on the mast, and shall be secured with a safety chain or other equivalent means to prevent the locking device from falling.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 24. Guying Derricks and Masts
§6586. Derricks and Masts.
Note     •     History

Every derrick and mast in use at a well shall be guyed, braced, or otherwise engineered to prevent overturning in accordance with the manufacturer's recommendations and/or good engineering practice. Stake type anchors shall not be used as guy line anchors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of article 24 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6587. Portable Cantilever Masts. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Repealer of section and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 25. Crown Platforms and Railings
§6589. Gin Pole Masts, Stationary or Portable: Crown Platforms and Railings.
Note     •     History

(a) Every portable and stationary gin pole mast (telescoping type excepted) shall be equipped with a crown platform that will provide access to the crown block, unless lines can be reeved on the crown block sheaves by an employee standing on the mast ladder, in which case a ladder safety cage may be provided in lieu of the crown platform.
(b) The platform shall be not less than twenty-four by twenty-four inches (24” x 24”) in size. Smaller platforms may be used if employees are provided with and required to use safety belts and lanyards.
(c) The outer edges of the platform, except for the ladder opening, shall be equipped with standard railings and toeboards.
(d) When a ladder safety cage is provided in lieu of a crown platform it shall be:
(1) At least three and one-half feet (3 1/2') long.
(2) At such an elevation as will provide protection against an employee falling from the ladder while standing on it to reeve lines over the sheaves.
(3) Constructed and installed to provide a clearance on the climbing side of the ladder of at least twelve inches (12”) but not more than fourteen inches (14”) from each side of a line drawn vertically through the center of the ladder width, and of at least twenty inches (20”) but not more than twenty-four inches (24”) outward.
(e) On every telescoping type gin pole mast, one of the following provisions shall be made for lubricating the crown block sheaves:
(1) Lowering the upper section of the mast to a point where the lubricant feeders can be reached from the top of the ladder on the lower section.
(2) Providing a remote oiling system by which the crown block sheaves can be lubricated from the top of the lower section or from ground level.
(3) Extending the ladder on the lower section of the mast to crown block level.
(4) Lubricating the crown block sheaves while the mast is in horizontal position. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6590. Portable Cantilever Derricks and Masts: Crown Platforms and Railings.
Note     •     History

(a) A platform at least twenty-four inches (24”) wide shall be provided approximately level with the top of the derrick or mast and continuous along at least three sides of the crown block. This platform shall provide access to the sheaves and lubricant feeders if oiling is done at the crown block level.
Note: If the crown block is of such size and configuration that it can be safely inspected and serviced from one side, the crown platform may be limited to one side only. A smaller platform may be used if employees are provided with and required to use safety belts and lanyards.
(b) The outer edges of the platform shall be equipped with standard railings and toeboards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6591. Portable Telescoping and Jackknife Derricks and Masts: Crown Platforms and Railings.
Note     •     History

(a) A platform at least twenty-four inches (24”) wide shall be provided completely across any one side of the derrick or mast and approximately level with the top of the derrick or mast. Such platform shall provide access to the crown block sheaves and their lubricant feeders if lubricating is done at the crown block level. A smaller platform may be used if employees are provided with and required to use safety belts and lanyards.
(b) The outer edges of the platform or platforms shall be equipped with standard railings and toeboards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6592. Portable Cantilever, Jackknife, and Telescoping Derricks and Masts: Access and Lubrication.
Note     •     History

(a) When lubricant feeders are piped down to the pipe racking platform for servicing, and the crown platform is used for maintenance or emergency work only, the width of the crown platform may be reduced to eighteen inches (18”). When the crown platform is reduced to eighteen inches (18”), the ladderway opening shall be clear and unobstructed to a distance of at least twenty inches (20”) outward on the climbing side of the ladder.
(b) Access from the ladder to the crown platform shall be provided as follows:
(1) When access to the crown platform is by means of a ladderway opening in the platform, the opening shall be not less than twenty-two inches by twenty-two inches (22” x 22”). 
(2) The platform shall be designed so that the ladderway opening is clear and unobstructed to a distance of at least twenty inches (20”) outward on the climbing side of the ladder.
(3) The ladder side rails shall extend three and one-half feet (3 1/2') above the platform level unless suitable handholds are provided.
(4) Where access to the crown platform is by means of a ladder on the outer edge of the platform, the ladder shall terminate at platform level.
Entry to the platform shall be provided by an opening in the standard railings and toeboards, not less than fourteen inches (14”) and not more than sixteen inches (16”) wide. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 26. Pipe and Sucker Rod Platforms for Derricks and Masts
§6594. Platforms and Access Runways.
Note     •     History

(a) Platforms shall be provided on masts for employees to stand on to handle pipe, sucker rods, or other equipment racked in or on the derrick or mast. These platforms shall be at least eighteen inches (18”) wide, and shall cover the space between the working edges and the main structural member to which they are attached.
(b) Access runways or platforms not less than twelve inches (12”) wide shall be provided between the derrick or mast ladder and the pipe and sucker rod platforms; provided, however, that a minimum width of ten inches (10”) will be accepted on platforms installed before June 13, 1952. The maximum allowable distance between the ladder and the access runway or platform and between the pipe or sucker rod platform and the access runway or platform shall be eighteen inches (18”).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of article 26, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6595. Portable Cantilever Derricks and Masts: Platforms.
Note     •     History

(a) A platform at least twenty-four inches (24”) wide shall be provided completely across each outer side of the derrick or mast adjacent to and level with the ends of the pipe-racking support. The outer edges of these platforms shall be equipped with standard railings and toeboards. If the design of a derrick or mast is such as to make outside platforms impractical, then inside platforms at least twenty-four inches (24”) wide and adjacent to and level with the ends of the pipe-racking support may be used.

Exception: On cantilever derricks and masts equipped with an adjustable pipe-racking support, the outside platform may be not more than thirty inches (30”) below or twenty-four inches (24”) above the pipe-racking support provided that railing extensions are installed for safe access between the outside platform and pipe-racking support.
(b) Access shall be provided from the derrick or mast ladder to these platforms in a manner described in Section 6594(b).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 27. Pipe Racking Supports for Derricks and Masts
§6596. Pipe-Racking Supports.
Note     •     History

(a) On every derrick or mast where the pipe, sucker rods, or other equipment being handled is racked on the derrick or mast, a pipe-racking support primarily designed to prevent pipe from falling shall be provided near the top of the stands of pipe, sucker rods, or other equipment. This support shall be so constructed that it will, with the mast, completely surround the pipe or other racked equipment.
(b) A standard railing shall be provided on the pipe racking support through its entire length to within twenty-four inches (24”) but not closer than fourteen inches (14”) of the mast leg adjacent to the ladder.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Reg. 59, No. 12). 
2. Amendment of article 27 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6597. Portable Cantilever, Jackknife, and Telescoping Masts: Pipe-Racking Supports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Repealer of section and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 28. Ladders and Ladderway Openings for Derricks and Masts
§6599. Ladders for Derricks and Masts.
Note     •     History

(a) Except as provided for gin pole masts in Section 6600, every derrick or mast shall be equipped with a fixed ladder or ladders arranged to provide access from the ground, floor level, or a base landing on the vehicle on which it is mounted, to the crown platform and to any intervening fixed platform in or on the derrick or mast.
(b) The width of ladders shall be at least twelve inches (12”), measured from the inside of the side rails except that ladders for telescoping type derricks or masts shall be not less than eleven inches (11”).
(c) Rung or step spacing shall be uniform and parallel, and shall be at least twelve inches (12”) but not more than sixteen inches (16”) from top to top of consecutive rungs or steps. The clear space above the rungs or steps shall be at least six inches (6”).
(d) Where sections of ladders are spliced, they shall be supported at the splice so the ladder will be aligned and the splice will not reduce the strength of the ladder.
(e) On the climbing side of the ladder a clear and unobstructed space shall be maintained of at least twelve inches (12”) from each side of a line drawn vertically through the ladder width, and of at least twenty-four inches (24”) outward, but this does not forbid the use of a safety device to prevent or control falls from a ladder when the use of the device is approved by the Division or designed and constructed in compliance with recognized national standards such as ANSI, UL, or Factory Mutual. This subsection does not apply to ladderway openings in platforms.
(f) Throughout the length and width of the back of the ladder, a space of at least four inches (4”) shall be maintained clear of all obstructions that present a tripping hazard, prevent adequate footing, or prevent a secure handhold to the ladder.
(g) No ladder shall lean backward from the vertical.
No ladder shall lean sideways more than five and three-fourths degrees (5 3/4o) from the vertical, provided, however, that ladders for the cantilever type derricks or masts shall not lean sideways more than three degrees (3o).
Ladders shall be so constructed that the rungs or steps are approximately horizontal at the normal operating position of the derrick or mast and never more than two degrees (2o) from the horizontal.
(h) The lowest rung or step of the ladder or ladder section shall be not more than eighteen inches (18”) above the ground, floor, or platform landing.
(i) Ladders shall be constructed and secured to the derrick or mast to support all expected working loads.
(j) The top end of each terminating ladder or ladder section providing access to any fixed platform in or on a derrick or mast shall extend at least three and one-half feet (3 1/2') above the platform unless suitable handholds are provided.
(k) Unless a ladder climbing assist device is used, continuous ladders or ladder sections below the racking platform of the derrick or mast shall be provided with platforms at intervals not exceeding forty feet (40') upon which employees may rest.
Such platforms shall be not less than twelve inches (12”) in depth nor less than eighteen inches (18”) in width. handholds shall be provided above the rest platform. Toeboards and railings are not required.
(l) If ladders are offset, such offsets shall be located at ladder offset rest platforms only.
(m) Ladder cages are not required on any derrick or mast except as provided for in Section 6600 (b) of this article and Section 6589 (a) of Article 25.
(n) Counterweighted ladder climbing assist devices may be used in conjunction with a ladder climbing safety device or in conjunction with rest platforms on the ladder in conformance with these orders. If the assist device is used in conjunction with ladders with rest platforms, the counterweight shall weigh no more than 100 pounds. Employees using the assist device shall be instructed in the proper use of the device, which shall require the use of both hands and feet in contact with the ladder as if climbing with no assist device.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12). 
2. Amendment of article 28 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6600. Pole Steps for Gin Pole Masts.
Note     •     History

(a) Pole steps so arranged as to provide access from the ground or floor level, or from a base landing platform on the bed of the vehicle on which the mast is mounted, to each platform on the mast shall comply with the requirements in subsections (b) and (d) of this section. (See accompanying illustration for pole steps for portable and stationary gin pole masts.)
(b) When an employee has to perform any duty at the crown block level of a telescoping type gin pole mast in its operating position at a well, the upper section of the mast shall be lowered to a point where the duties can be performed from the pole steps on the lower section of the mast, unless access is provided to the crown block by means of a fixed ladder having a safety cage at the crown block level. (See accompanying illustration for pole steps for portable and stationary gin pole masts.)
(c) Ladder cages are not required on any portable or stationary gin pole mast except as provided for in subsection (b) of this section.
(d) Pole steps, as provided for in subsections (a) and (b) of this section, are acceptable as a type of ladder on the leg or legs of a gin pole mast if the leg is not more than sixteen inches (16”) in diameter and the steps are constructed and installed as follows:
(1) Pole steps shall be designed, constructed, installed and maintained to conform to good engineering practices. 
Diagram relocated at the bottom of Section 6600
(2) The length of the tread surface of the steps shall be not less than five and three-eighths inches (5 3/8”) and not more than eight inches (8”). For stirrup type steps, this minimum, clear length, shall be maintained to a distance of at least four inches (4”) above the tread surface of the step before the material is curved or tapered toward the mast.
(3) Steps shall alternate, one step on one side of the mast, the next step on the other side of the mast, and shall be uniformly spaced in elevation at intervals of at least twenty-four inches (24”), but not more than thirty-two inches (32”) on each side of the mast.
The steps on each side of the mast shall be in vertical alignment. 
(4) The outer ends of hook head type steps shall be turned upward at least three-fourths inch (3/4”). 

POLE STEPS
FOR PORTABLE AND STATIONARY GIN POLE MASTS

View Graphic
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section, and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
2. Change without regulatory effect providing more legible illustrations filed 3-2-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§6601. All Masts: Ladderway Openings for All Platforms Other Than Crown Platforms. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 29. Tools, Equipment, and Materials in Derricks or Masts
§6603. Tools, Equipment, and Materials in Derricks or Masts.
Note     •     History

(a) Only such tools, equipment or materials as are essential to operations shall be kept in a derrick or mast at an elevation above the floor. Provisions shall be made to prevent them from falling.
(b) When laying down or picking up pipe or other equipment with elevators, the elevator door shall face upward if practicable.
If this is impracticable, employees shall not be required or permitted to be in a location where they would be endangered by falling pipe or other equipment should the elevator door become accidentally opened.

Exception: This order does not apply to handling sucker rods.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12). 
2. Amendment of subsection (c) and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 30. Back-Up Posts, Kelly Pull-Back Posts, Back-Up and Safety Lines for Pipe Tongs
§6605. Back-Up Posts, Kelly Pull-Back Posts, Back-Up and Safety Lines for Pipe Tongs.
Note     •     History

(a) Back-up and safety lines shall be wire rope so designed, constructed, installed and maintained to conform to good engineering practices. End fastenings used on the rope shall be made in accordance with the manufacturer's recommendation, except that a thimble is not required.
A “contractor's standby” (half hitch and clips) shall not be used as end fastenings on these lines.
(b) Tong back-up posts, kelly pull-back posts, tong back-up lines and safety lines shall not be  attached to derrick or mast girts or legs unless the legs are so constructed and the lines so attached that the stresses imposed will not result in structural damage to the legs.

Exception: This subsection does not apply to tong back-up posts, tong back-up lines or safety lines in well servicing operations when the outside diameter of the pipe being handled is not over four and one-half inches (4 1/2”).
(c) Each tong safety line shall be attached to prevent the tongs being pulled into the cathead or braking mechanism or, traveling with the rotating pipe.
A back-up line may also serve as a safety line. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 31. Handling Heavy Tools at Drilling Wells
§6607. Handling Heavy Tools at Drilling Wells.
Note     •     History

(a) At drilling wells provisions shall be made for the safe handling of heavy tools between transporting vehicle and the derrick or mast floor or storage platform.
The term “heavy tools” shall mean such tools as bits, reamers, fishing tools, elevators, spiders, and tools for testing formation or casing. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 32. Rotary and Circulating Hose and Standpipe
§6609. Rotary and Circulating Hose and Standpipe.
Note     •     History

(a) The upper end of the rotary hose standpipe shall be attached to the derrick or mast at a point not more than eighteen inches (18”) from the derrick or mast leg, unless other support is provided.
(b) The standpipe end of the rotary hose shall be secured to the standpipe or to the derrick or mast and the other end to the swivel by a clamp and chain or wire rope.
The clamp shall be tightly fitted to and near the end of the hose and the chain or wire rope attached to it and to the standpipe, derrick or mast and to the swivel as the case may be.
(c) The ends of connecting hose sections shall be secured together by means of clamps and a safety chain or wire rope. The clamps shall be tightly fitted to and near the ends of the connecting hose sections and the chain or wire rope securely fastened to each of the clamps.
(d) The standpipe end of the circulating hose shall be secured to the standpipe or to the derrick or mast and the other end to the circulating pump by a clamp and chain and wire rope. The clamp shall be tightly fitted to and near the end of the hose and the chain or wire rope attached to it and to the standpipe, derrick or mast and to the mud pump skid.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 33. Rotary Drilling Machinery [Repealed]
HISTORY

1. Repealer of Article 33 (sections 6611-6613) filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 34. Standard Tool-Drilling Machinery [Repealed]
HISTORY

1. Repealer of Article 33 (sections 6614-6619) filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 35. Drilling and Well-Servicing Machinery and Equipment
§6621. Scope.
Note     •     History

The requirements in this article shall apply to all well drilling machinery and servicing equipment, component parts, and the prime movers. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 35 heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6622. Guarding.
Note     •     History

The equipment to which this article applies shall be guarded in accordance with the General Industry Safety Orders, Group 6, except catheads, kelly bushings, kellys, spinning chains/ropes, master bushings, slip handles, pipe spinners, and down hole tools.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6624. Construction and Maintenance of Drilling and Well Servicing Equipment.
Note     •     History

(a) Drilling and well-servicing machinery and equipment when in use shall be designed, constructed, installed and maintained to conform to good engineering practice.
(b) Kelly spinner and pipe spinner controls shall be identified and shall be designed or guarded so as to prevent accidental actuation.
(c) Unless the purpose is self-evident, controls shall be labeled to identify the equipment and operation they control.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Deletion of article 36 heading and amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6625. Emergency Stop Device.
Note     •     History

(a) A readily accessible emergency stop device shall be provided for each prime mover for drilling and well servicing machinery. The controls for the device shall be painted red or otherwise made conspicuous. The device shall be one that, once placed in the stop position, must be manually reset to the starting or running position before the prime mover can be started.
(b) Stop devices for various types of prime movers shall be as follows:
(1) For an internal combustion gas engine, an ignition or grounding switch of a type which will not produce an arc or spark in open air.
(2) For a diesel engine, a quick closing valve or equivalent device that will shut off the air into the engine's air intake manifold, a means of releasing the engine compression, provided it is done in a manner that will not produce an open flame or spark or other safe means will be acceptable.
(3) For an electric motor, a switch or stop button in the control circuit shall be of an approved type for the location in which it is installed, in accordance with the Electrical Safety Orders, Article 56.
(c) The controls for such stop devices for the draw works prime movers shall be located at the driller's console.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6625.1. Diesel Engines Runaway Protection.
Note     •     History

(a) In order to prevent diesel engine runaway as defined in Section 6505, no employer shall operate a stationary, vehicular or mobile diesel engine within 50 feet of the open well bore or other source of ignitable gas or vapor, unless the employer complies with subsection (b) through (f). 
(b) The concentration of the flammable gases or vapors shall be at all times 10 percent or less of the lower explosive limit (LEL). Where concentration of the flammable gases or vapors is found to be greater than 10 percent of the LEL, the diesel engine(s) shall be shut down immediately. 
(c) The air shall be continuously monitored at the well bore or at other sources of ignitable gas or vapor with an approved device to determine if a flammable atmosphere exists at concentrations greater than 10 percent of the LEL, or
(d) Where the air is not continuously monitored pursuant to subsection (c), diesel engines shall be operated under at least one of the following conditions: 
(1) The diesel engine has an approved automatically actuated air intake shut-off valve that is equipped with a remote control readily accessible from the operator location or the equipment control panel where an operator is present, or
(2) The diesel engine's combustion air is provided by a duct that runs from a non-hazardous area to the air intake of the diesel engine, and the duct's air inlet is located not closer than 50 feet from the open well or other source of flammable gas or vapor, or
(3) The diesel engine has an approved automatically actuated system for injecting an inert gas into the engine's cylinders, and the system is equipped with a remote control that is readily accessible from the operator location or the equipment control panel where an operator is present, or
(4) The employer utilizes another approved method or device, as defined in Section 3206 of the General Industry Safety Orders, that is designed to automatically shut down the diesel engine effectively and stop a diesel engine runaway. 
(e) The air intake shut-off valve or emergency shut-off device used to comply with this section shall be maintained and tested in accordance with manufacturer's recommendations. 
(f) Diesel engines experiencing runaway conditions shall be shut down immediately, and not restarted until the area affecting the safe operation of the diesel engine is free of flammable gas or vapor. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 10-31-2012; operative 11-30-2012 (Register 2012, No. 44).
§6626. Brakes and Brake Control Mechanism.
Note     •     History

(a) The brakes for hoist drums for well-servicing machinery and for drilling machinery shall be designed, constructed, installed and maintained to control the load being handled.
(b) The brake rims of hoist drums shall be constructed of steel or alloys of equivalent strength.
(c) All parts of the brake control mechanism for hoist drums shall be guarded and protected in a way that will maintain the brakes in an effective operating condition.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c) and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6627. Steam Engines: Bleeder Pipe and Valve. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6628. Power Tongs Control Mechanism.
Note     •     History

(a) The control device on power tongs shall be designed or guarded so as to prevent accidental activation.
(b) The discharge end of hoses used on power tongs shall be securely fastened to the tongs.
(c) Hoses shall be disconnected before doing any repair, replacement, or other work of similar nature on tongs, chains, dies, or their component parts.
(d) Power tongs shall be equipped with doors to prevent contact with the moving parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (b), new subsection (d) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 37. Oil Well Pumping Machinery and Equipment
§6629. Oil Well Pumping Machinery. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 37 heading, repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6630. Construction, Installation, and Maintenance.
Note     •     History

(a) Oil well pumping machinery shall be designed, constructed, installed and maintained to conform to good engineering practices.
(b) No maintenance work shall be performed on a pumping unit located on a well that is being steamed.
(c) The pumping unit shall be equipped with a brake system capable of stopping and securing all movable parts with the power off. The brake control shall be accessible outside the guards for the moving parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsections (a)-(b), new subsection (c) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6631. Guarding.
Note     •     History

(a) The power transmission equipment, prime movers, and machine parts shall be guarded in accordance with guard standards set forth in the General Industry Safety Orders, Group 6.
(b) If the lowest point of travel of the beam horsehead is less than six feet six inches (6' 6”) above the floor or working level, it shall be guarded by a securely fastened single or standard railing placed at least forty-two inches (42”) but not more than forty-five inches (45”) above the floor or working level, and at least fifteen inches (15”) but not more than twenty inches (20”) in the clear of a vertical plane with the outermost point of travel of the horsehead. If the guardrailing is continued and attached to the samson post, it will be considered to be in compliance with this order. Other methods of guarding that will provide equivalent protection to employees may be used if they comply with General Industry Safety Orders, Group 6, requirements.
(c) Equipment shall be blocked and/or locked out of service to protect employees from injury during maintenance or repair operations.
(d) When the horsehead is to be left on the walking beam at any location during servicing or maintenance operations, it shall be secured against falling or being knocked into the area below. When the above cannot be accomplished, the horsehead shall be removed, placed out of the working area and stored in the horizontal position, or otherwise secured to prevent its falling.
(e) The work areas at the well head of the well being serviced shall be free of surface openings, level and reasonably free of fluids. Cellars of any other wells in the area which create a hazard shall be covered or otherwise guarded.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 53, No. 12).
2. Amendment of subsections (a)-(b), new subsections (c)-(e) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6632. Access to the Walking Beam.
Note     •     History

(a) When employees are required to go on top of a walking beam, access shall be provided to the top of the beam (preferably at the samson post) if the top of the beam is more than seven and one-half feet (7 1/2') above the working level. The access shall be by means of a fixed ladder. The ladder shall be continuous from the working level to a point not more than eighteen inches (18”) below the top of the beam and not more than twelve inches (12”) horizontally from the side of the beam. Ladders shall be outside of the guards for moving parts of machinery.
(b) Uniform and parallel rung or step spacing shall be used. Spacing shall not be less than twelve inches (12”) and not more than sixteen inches (16”) from top to top of rungs or steps. Throughout the length and width of the back of each fixed ladder, a space of at least six inches (6”) [four inches (4”) on installations made prior to the effective date of these orders] shall be maintained clear of all obstructions which present a tripping hazard, prevent a safe footing, or prevent a secure handhold to the ladder rungs or steps. A four inch (4”) space behind equipment manufactured prior to 1959 is acceptable.
(c) Before any employee is allowed on the walking beam, the following conditions shall be met:
(1) Pumping unit prime mover shall be turned off at a readily accessible control switch and locked out at the main disconnect.
(2) Unit brake is set and counterweights are in the lowest position. When the operation involves the pitman assembly, additional precautions shall be taken to secure any part of the unit against movement. When the horsehead unit is being removed or is being installed on the walking beam, the counterweights may be placed in an upward position.
Existing subsection (c) has been relocated to new subsection (e)
(d) When the employee is required to work from the top of the walking beam, and the beam is 10 feet (10') or more above the floor or ground level, a safety belt and lanyard shall be worn and attached so that the employee will not fall more than two feet (2') below the beam.

Exception: For other than well servicing operations, on walking beams of “I” or “H” section, no lanyard, belt or railing is required if the employee is instructed to and performs their duties while in a sitting position with one leg on each side of the beam and moves along the beam with feet on the lower flange, sitting down on the upper flange to change positions of hands or feet.
(e) Bearings on the walking beam requiring lubrication shall be equipped with extension lubricant fittings so arranged that the lubricating can be done from floor or ground level, and from outside of guards for moving parts of machinery, or from the ladder providing access to the beam if the ladder at the point where the lubricating is done is equipped with a cage, ring, or a railed platform.
(f) When areas of the horsehead are not accessible from the walking beam, a safety basket, as specified in the General Industry Safety Orders, Section 5004, or a boatswain's chair, as specified in the Construction Safety Orders, Section 1662, shall be provided and utilized, including a safety belt and lanyard. When hoisting an employee in the basket or chair, the hoist unit shall be powered up and down and the hoist operator shall be at the controls at all times. The travelling block, cathead and catline, or sand line shall never be used for hoisting personnel. A hydraulic or air wench may be used to hoist an employee during work of short duration and of a temporary nature, or in an emergency, provided the employee is sitting in a boatswain's chair or safety basket and is tied off with a safety belt and lanyard.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
3. Change without regulatory effect amending subsection (f) filed 12-14-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 50).
§6633. Attractive Nuisance Guards: Well-Pumping Units.
Note     •     History

(a) Where attractive nuisance guards are provided in addition to guards required by the Division, they shall conform to the following:
(1) In case of single well-pumping units, at least one (1) gate, door, or other opening shall be provided in the motor or engine end of the guard to provide safe access and exit for employees when required to go within the confines of the attractive nuisance guard.
(2) In the case of multiple well-pumping units enclosed by such guards, at least one (1) gate, door, or other opening shall provide safe access and exit for employees. Where the hazard justifies, the Division may require two (2) or more gates, doors, or other openings, so located with respect to each other that they will provide alternate means of escape in case of an emergency.
(b) The minimum vertical clearance through doorways, gateways, or passageways in attractive nuisance guards shall not be less than six feet six inches (6' 6”). A clear and unobstructed passageway through the doorways, gateways or other openings shall be as required in the General Industry Safety Orders, Sections 3224, 3225, and 3235.
(c) When only one (1) door, gate or other opening is provided in the attractive nuisance guards, as required in subsection (a)(1) of this section, a clear and unobstructed passageway of at least two feet (2') wide shall be provided and maintained between the attractive nuisance guards and the guards installed in accordance with the General Industry Safety Orders, Group 6, for moving parts of machinery.
(d) When a door, gate or passageway is provided in the well end of the attractive nuisance guard, in addition to the one required in the motor or engine end of the guard, and the space between the guards for the pitmans and cranks of pumping units and the attractive nuisance guards is railed, barricaded, or otherwise guarded to prevent its use as a passageway, the two-foot (2') clearance between these guards will not be required when provision is made for employees to perform lubricating duties on the pumping unit from a location outside the guards.
(e) When the access/egress openings through the attractive nuisance fencing guard are blocked at the well location, additional egress shall be provided away from the well head area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 38. Pumps and Pump Pressure Relief Devices
§6634. Pumps and Pump Pressure Relief Devices.
Note     •     History

(a) Pumps shall not be operated in excess of manufacturer's allowable rated working pressure.
Every power driven piston or plunger type pump shall have a maximum allowable rated working pressure of the pump shown in raised or stamped letters and figures on a metal plate affixed to the pump where readily visible. The letters and figures shall be so maintained as to be legible.
(b) All positive displacement pumps shall be equipped with a pressure relief device.
(c) Pressure relief devices shall be installed and maintained as follows:
(1) There shall be no intervening stop valves between the pump and its pressure-relief device nor between the pressure-relief device and the point of discharge which would render the pressure relief device ineffective.

Exception: The pump may have a valve between it and its pressure relief device for use during repair, in which case the valve shall be locked or sealed open and shall not be closed except by a qualified person assigned such duties by the employer, and such person shall immediately replace the relief device and again lock or seal the valve in the open position before leaving the location.
(2) The pressure relief device shall be so installed and maintained to ensure its operation.
(3) The point of discharge from pressure relief devices shall be at a place where the safety of employees is not endangered by the discharged liquids.
(4) Pressure relief devices shall be set to relieve at a pressure not in excess of ten percent (10%) above the maximum allowable rated working pressure of the pump.
(d) Every shear-pin-set relief valve shall have a metal plate attached to it with holes drilled as a gage for each size shear pin to be used with the valve and a table with stamped or raised letters and figures, showing the pressure at which each size shear pin will shear. The shear pin shall be in accordance with the manufacturer's recommendation as to size, type and installation.
(e) Every shear-pin-set relief valve shall have the valve stem and the shear pin enclosed in a manner that will prevent contact with the valve stem and also prevent the shear pin flying when sheared.
(f) Each disk used in a rupture type pressure relief device shall have stamped on it the approximate pressure at which it will rupture.
(g) Adequate drainage shall be provided to prevent the accumulation of oils or drilling fluids around pump bases.
(h) Stuffing boxes of pumps handling flammable liquids shall be maintained so as to prevent excessive leakage.
(i) Pumps handling flammable liquids, corrosives, or any fluid at a temperature over one hundred fifty degrees (150o) Fahrenheit shall be equipped with shields or covers to protect employees from the hazard of liquid spray if the service experience of the pump indicates that the stuffing box or type packing used is inadequate to prevent a liquid spray hazardous to employees.
(j) No pump shall be set in motion when the fluid end cylinder head is not secured in place unless precautions are taken to prevent injury to employees.
(k) The use of hydraulic, pneumatic or gas pressure inside a pump to remove pump liners is prohibited. This does not prohibit the use of hydraulic or pneumatic tools made for this purpose.
(l) Every pump shall be equipped with a bleeder pipe and valve through which the pressure in any part of the pump can be bled off to atmospheric or as near atmospheric pressure as is practicable unless other piping and valves connected to the pump can be effectively used for this purpose.
(m) Before beginning the removal of any cap, plug, plate or cover from a pump or otherwise opening a pump the pressure within the pump shall be bled off to atmospheric or as near atmospheric pressure as is practicable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of article 38 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 39. Guarding Sheaves for Telescoping, Jackknife, Gin Pole and Cantilever Derricks and Masts
§6636. Guarding Sheaves for Telescoping, Jackknife, Gin Pole and Cantilever Derricks and Masts.
Note     •     History

(a) All crown block sheaves, sand line sheaves, and all sheaves on which hoisting ropes are run for raising or lowering the mast between the horizontal and vertical positions and for raising or lowering the top telescoping section of the mast, shall be provided with a device to minimize the possibility of ropes running off the side of the sheave. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article 39 heading and section heading and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 40. Traveling Blocks and Hooks or Similar Devices
§6638. Traveling Blocks and Traveling Block Hooks or Similar Devices.
Note     •     History

(a) Every traveling block and traveling block hook, including their component parts, shall be designed, constructed, installed and maintained to conform with good engineering practices.
(b) No traveling block, traveling block hook or their component parts shall be subjected to a load in excess of that for which they are designed.
(c) Every traveling block shall be guarded to minimize the hazard of contact with the sheaves and their nip points.
(d) Every traveling block hook shall be equipped with a safety latch or other device to close the opening in the hook and to prevent the load from becoming disengaged from the hook.
(e) All equipment attached either directly or indirectly to, and suspended from, the traveling block hook shall be securely fastened. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Reg. 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 41. Wire Rope Lines
§6640. Wire Rope Lines.
Note     •     History

(a) All wire ropes used for pulling purposes shall be of sufficient strength to move or hold the loads. The maximum allowable working loads shall be based on a minimum factor of safety of four (4) for routine operations. 

Exception: A factor of safety of three (3) is allowed when setting casing, pulling on stuck pipe, or while engaging in similar infrequent operations.
(b) The employer or a designated qualified person shall inspect wire rope lines at reasonable intervals for wear or broken wires or a combination of these or marked corrosion or other damage that may reduce the strength of the line to a point where it will not safely lift or otherwise handle the load.
Note: “Reasonable intervals” shall be determined by the nature and amount of work performed by the line and its exposure to the weather when not in use, and other damage that may reduce the safe handling of the loads.
(c) Spliced hoisting lines shall not be used except those lines that run into a well. This does not prohibit forming an eye in the end of a line by the splice method or by the use of wire rope clips or clamps.
“Contractor's standby” (half hitch and clips) shall not be used in any wire rope.
(d) When a hoisting line is in use, precautions shall be taken to prevent the fast (lead) line and that portion of the dead line between the crown block and the dead line anchor from contacting any structural members of the derrick or mast or stationary equipment therein, line spoolers and line stabilizers excepted.
(e) The hoisting line shall be securely fastened to the hoist drum and there shall be enough line on the drum to permit the traveling block to be laid horizontally on the derrick or mast floor.

Exception: This does not apply when a grooved hoist drum is used and more than a five (5) part fall is reeved, but in no case shall there be less than seven (7) anchor coils on the drum when the traveling block is at its lowest point of travel during hoisting operations.
(f) The dead line anchor for any wire rope shall be designed, constructed, installed and maintained to conform to good engineering practices. Provisions shall be made to prevent the deadline from becoming disengaged from the anchor.
(g) When a wire rope socket is used on any wire rope, it shall be attached to the line in a manner specified by the manufacturer of the rope. This does not apply to lines that run into a well.
(h) Eye splices shall be made in a manner to develop maximum splice efficiencies as set forth in wire rope manufacturer's tables. 
(i) When wire rope clips (Crosby type) are used on any wire rope, the U-bolts shall be on the dead or short end of the rope and the saddle on the live end.
(j) The maximum number of clips on any wire rope, for end attachments shall be not less than specified in the manufacturer's tables for the rope diameter, and type of rope construction but in no case less than three (3). The spacing of the clips shall be approximately six (6) times the diameter of the rope. All clip bolts shall be kept tight.
(k) Where wedge or compressed fittings, or plate clamps are used on any wire rope, they shall be applied in a manner specified by manufacturer's tables.
(l) When the dead line of a hoisting line is secured to a dead line anchor and surplus or reserve line continues beyond the anchor, the line shall be secured to the anchor in such a manner as to prevent its being kinked, distorted or otherwise damaged.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of article 41 heading, section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 42. Catheads for Well-Drilling and Well-Servicing Machinery
§6642. Catheads.
Note     •     History

(a) All catheads and their mechanisms shall be designed, constructed, installed and maintained to conform to good engineering practices.
(b) When a cathead is mounted on a shaft end that projects outside the guards for other moving parts of machinery, the shaft end, or the key or other device for securing the cathead to the shaft, shall not project more than one-half the diameter of the shaft beyond a point flush with the outer end of the cathead.
(c) The projecting shaft end and key or other device for securing a cathead to the shaft, as allowed in subsection (b) above, shall be covered with a smooth thimble. The thimble shall be of a shape and design that will prevent the winding of a rope around it.
(d) Every cathead on which a rope is manually operated shall have a reasonably smooth surface and shall be free of projections on which employees' clothing may be caught. Cracked or broken catheads shall not be used.
(e) The horizontal friction surface of every cathead on which a rope is manually operated shall be of uniform diameter between the inner and outer flange. The maximum depth of grooves in the cathead shall not exceed one-fourth inch.
(f) Every cathead on which a rope is manually operated shall be equipped with an anti rope-fouling device that will separate the beginning of the second wrap of rope from the first wrap at the point where the first wrap begins contact with the cathead. The device shall be so designed and fitted in place that its inner edge is not more than three-eighths inch (3/8”) at any point from the friction surface of the cathead.
(g) Every cathead on which a rope is manually operated shall have a rope guide that will hold the on-running breaking rope, spinning rope, snapping-up rope, and kelly pull-back rope in alignment with their normal running position against the inner flange of the cathead. This shall also apply to ropes, other than the cat line and high line, used on the cathead for loading and unloading or otherwise handling supplies and equipment.
(h) Anti rope-fouling devices and rope guides shall be maintained free of sharp edges that will cut or materially abrade the ropes in use on the cathead.
(i) Only trained employees shall be permitted to operate the cathead.
(j) A kill switch shall be located at each cathead. The kill switch shall be painted red or otherwise made conspicuous.
(k) Each cathead using chain shall be of the automatic type and shall be equipped with a manually operated cathead clutch or with another device to keep the rotation of the cathead under control when it is in use. Such clutch or device shall be of the “non-grab” type and shall release automatically when not manually held in the engaged position.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 43. Lines Used on Catheads
§6644. Lines Used on Catheads.
Note     •     History

(a) A “short” splice in a line or a frayed portion of a line that is being manually operated shall not be permitted to run onto a cathead.
(b) Precautions shall be taken to prevent entanglement of other lines with a line in use on a cathead.
(c) No manually operated line shall be left wrapped unattended on a cathead.
(d) Lines used on all catheads shall have strength to withstand the stresses imposed on them.
(e) Only the free end of the cathead rope shall be handled during normal operation.
(f) The engine clutch shall be disengaged before removing fouled rope. A catline grip or other effective devices shall be provided and used to keep the catline taut when the line is not in use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6645. Chain Used for Spinning Lines.
Note     •     History

(a) Chain shall not be used either wholly or in part with any cathead except as a spinning line.
(b) Chain used in a spinning line shall be of a type designed for that purpose.
(c) Every chain used in a spinning line shall have a fiber tail rope not more than twelve inches (12”) or less than six inches (6”) in length, secured to the pipe end of the chain for employees to hold when rotating pipe with the chain.
(d) No part of any chain that has been broken shall be used in a spinning line.
(e) A chain having a distorted or worn link beyond the manufacturer's mark or the indicator shall be discarded at once from further use as a spinning line.
(f) Chains which have been connected together for use as a spinning line shall be connected and used as follows:
(1) A section of unbroken chain fastened to the cathead may be connected to a section of unbroken chain of smaller size.
(2) The connector link shall be of a type with equivalent design strength of the chain in which it is to be used.
(3) The connector link shall be located where it will not come in contact with pipe being rotated.
(4) In case of rupture of a link in the section of smaller chain, that section shall be discarded at once from further use as a spinning line.
In event of rupture of a link in the section of larger chain, both sections of chain shall be discarded at once from further use as a spinning line.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12). 
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 44. Miscellaneous Tools and Equipment
§6646. Miscellaneous Tools and Equipment.
Note     •     History

(a) When there is fluid inside of a length of pipe above the derrick or mast floor that is being disconnected from pipe in the well, a means shall be provided and used to prevent, as far as is practicable, fluid spraying on employees on the floor.
(b) An oil saver shall be provided and used when swabbing a well, also when bailing a well, where experience indicates that the well has sufficient gas pressure to cause the well to flow or that hazardous quantities of gas may be released.
(c) An oil saver shall be provided and used when perforating for oil or gas production in a well that has sufficient gas pressure to cause the well to flow. The two parts of a wire line oil saver shall be handled separately.
(d) Oil savers when used shall be installed and maintained in a manner to convey the fluid being swabbed or that may flow, to a safe place of disposal.
(e) Drill pipe slip handles shall be short enough that they will not project beyond the inner edge of the metal step around the top outer edge of the rotary table when the slips are in position to hold the pipe in the rotary table. In the event the slip handles extend beyond the rotating portion of the rotary table, a metal safety ring 1/4 inch to 1/2 inch high and 1/2 inch to 3/4 inch wide, or equivalent, with edges rounded shall be permanently attached at the perimeter of the rotary opening of each rotary table so that it will not create a tripping hazard. The diameter of the safety ring described shall exceed the diameter of the arc described by the slip handles.
(f) In well servicing operations a torsion stress shall not be applied to a string of sucker rods in a well by the use of any wrench, tong or tool other than a power driven tong or device or a rod-wheel wrench. The rim of a rod-wheel wrench shall be free of projections on which employees' clothing may be caught.
This does not apply to normal hand rod wrench operations.
(g) No tool or device of any kind shall be used in connection with a rod-wheel wrench as a means of additional leverage.
(h) A rat hole shall be provided to rack the kelly and/or swivel in when it is not in use in the well unless it is laid on the derrick walk or racked in the derrick or mast.
When mouse and rat hole pipes are provided, they shall be covered when not in use except when the pipe extends at least twelve (12”) above the floor.
(j) Splash plates that are used on drilling fluid pump piston rods shall be constructed of rubber or similar material which offers protection to an employee's hand should it be caught between the splash plate and the pump.
(k) When a tubing sand pump is used, the discharge shall be to a safe area so as not to endanger any employees. When discharge hoses or piping is used, they shall be secured against movement. When a bailer is used, a dumpkey shall be provided and the discharge shall be away from the person doing the dumping and not endanger other employees. When there are signs of gas in the bailer, the bailer shall be secured prior to emptying.
(l) Tube testing shall be in accordance with the following:
(1) The top packer of the tubing assembly shall always be set below the working level of the employees at the wellhead to guard against the possibility of an employee being struck by pressurized fluid that has escaped through a rupture in the tubing.
(2) When a leak is detected in the section of tubing being tested, the tester shall bleed off the remaining pressure of the pipe, and not repressurize until that section of pipe is pulled above the tubing slips. All employees shall be at least ten feet (10') away before repressurizing is done to find the leak location.
(3) The derrickman can remain in the derrick, as long as the testing of the pipe is being done below platform position. When it is necessary to pull the pipe above the derrickman's platform to locate the leak, the tester shall bleed off the pressure on the pipe and wait until the derrickman descends to ground level.
(4) Employees shall be at least ten feet (10') away when pipe is being plug tested.
(m) When a pipe wrench extension is used, the maximum length of the extension shall be two times the length of the pipe wrench handle. The extension shall be constructed of steel pipe of such a diameter to snugly fit the pipe wrench handle and cover the full length of the pipe wrench handle. The force exerted on the wrench shall not exceed the manufacturer's rated breaking strength of the wrench.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 45. Pipe Handling and Storage Racks
§6648. Storage and Handling of Pipe.
Note     •     History

(a) The pipe on storage racks shall be chocked or wedged, or otherwise secured to prevent it from falling or rolling off the rack.
(b) Skids over which pipe is moved shall support the load being handled. Skids shall be placed and supported to minimize the danger of skids being shifted or displaced while used.
(c) Employees shall not be required or permitted to be between or under the skids over which pipe is being moved. Skids shall not be adjusted until the pipe on the racks or trucks is chocked, wedged or secured to prevent pipe movement.
(d) During the loading and unloading of pipe from a transporting vehicle, employees shall not be required or permitted to be on the pipe unless the load is secured by the use of stakes in the truck or trailer bolster or vehicle bed, or by chains, binders or by chocking, wedging or other means. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6649. Pipe Storage Racks Other Than for Drilling and Production: Decking and Railings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 46. Liquid Loading and Unloading Facilities and Operations
§6651. Loading and Unloading Operations.
Note     •     History

(a) During the loading and unloading of flammable liquids into or from truck or trailer tanks, no repairs, adjustments, or other operations shall be performed upon a truck, truck engine, trailer, truck tank, or trailer tank.
(b) During the loading and unloading of a tank truck or trailer, the truck engine shall be stopped and the cab shall be unoccupied, unless the cargo is moved by means of the truck engine or an auxiliary engine with controls located in the cab, in which case the cab may be occupied by the truck operator.
(c) When a tank truck engine or an auxiliary internal combustion engine is being used to furnish power to transfer a flammable liquid, the vapors that may be liberated by such transfer shall be prevented from reaching the truck or auxiliary engine. If necessary, the vapors shall be piped to a safe location.
(d) During the loading and unloading of a tank truck or trailer, a qualified person shall be at or near the loading or unloading controls.
(e) In loading and unloading of tank cars, tank trucks or trailers, provision shall be made for the safe disposal of the liquids released by overflow or from hose spouts or lines. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6652. Loading and Unloading Platforms.
Note     •     History

(a) Safe access shall be provided to the top of tank cars, trucks, and trailers, if employees must go to such locations during loading and unloading operations.
(b) Where fixed platforms are provided for access, they shall be at least three feet (3') wide. It is permissible to install openings or equipment in the platform, if an unobstructed passageway at least sixteen inches (16”)  wide and six feet, six inches (6'6”) high is maintained along the length of the platform.
(c) There shall be at least one stairway or ramp from the platform to the ground. If the loading platform is more than twenty-five feet (25') long, there shall be at least one stairway or ramp no farther than ten feet (10') from each end of the platform.
(d) Access from the fixed platform to the loading and unloading positions on tank cars, tank trucks or trailers shall be by any one of the following methods:
(1) By a gangplank hinged or otherwise fastened to the platform.
(A) When not in use, gangplanks shall be latched or otherwise secured in a raised position, except where they may be safely left in a lowered position.
(B) Gangplanks shall provide at least six feet six inches (6' 6”) vertical clearance and shall be at least twenty-four inches (24”) wide, and shall be provided with standard railings or other safeguards that will protect employees from falling.

Exception: Toeboards are not required on gangplanks.
(2) By stepping directly from the fixed platform to the side catwalk or top of the tank truck or trailer, if the vertical distance stepped is no more than fifteen inches (15”), and if the combined vertical and horizontal distance stepped is no more than twenty inches (20”).
(A) Loading and unloading from side catwalks less than six inches (6”) wide is prohibited.
(B) Loading and unloading from the side of a tank car, truck or trailer is prohibited, unless safe access or fall protection is provided. Unobstructed passageway shall be provided from the platform to the catwalk.
This passageway shall be at least sixteen inches (16”) wide and six feet six inches (6' 6”) high.
(3) By other means affording equivalent protection.
(e) When it is necessary for employees to go on the top of tank cars, trucks or trailers during loading and unloading operations, a vertical clearance of at least six feet six inches (6'6”) shall be provided between the top of the tank car, truck or trailer and fixed members or fixed parts of the loading rack. This does not apply to movable loading spouts or arms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6653. Loading and Unloading Operations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 47. General Safety Provisions and Precautions
§6655. General Safety Provisions and Precautions.
Note     •     History

(a) The reeving of the hoisting line onto the sheaves of a traveling block shall be done at the derrick floor level.
(b) A hand line shall be provided and used to carry a cat line, drilling line, sand line, hoisting line or other such lines up the derrick and over the sheaves, unless there is already a line at the top of the derrick suitable for the purpose.
(c) Employees shall not be required or permitted to ride or be hoisted by the catline, sand line, traveling block, the traveling block hook, the elevators or any of the equipment suspended from the traveling block except in an emergency, and the employee is secured with a safety belt and lanyard.
(d) If drill pipe or tools have been made up, the tool joints shall not be initially loosened by rotating the rotary table. Drill bits shall not be torqued up by rotating the rotary table.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (f) filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12). 
2. Amendment of section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 48. Illumination
§6657. Illumination.
Note     •     History

Illumination shall be provided in accordance with the provisions of the General Industry Safety Orders, Section 3317.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (a), repealer of subsections (b)-(e) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 49. Wharves and Piers
§6659. Wharves and Piers.
Note     •     History

Loading and unloading at wharves and piers shall be in accordance with the provisions in the General Industry Safety Orders, Sections 5620 through 5624.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (a), repealer of subsections (b)-(j) and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 50. Shafts at Oil Wells
§6661. All Shafts and Equipment.
Note     •     History

The provisions of the Mine Safety Orders and the Tunnel Safety Orders shall apply to all shafts used in conjunction with oil wells.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6662. Head Frames and Sheaves. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6663. Hoists and Hoisting. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6664. Hoisting or Lowering of Employees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6665. Ropes and Attachments. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6666. Signals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6667. Timbering. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6668. Ladders. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6669. Ventilation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6670. Storage, Transportation and Use of Explosives. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 4-21-71; effective thirtieth day thereafter (Register 71, No. 17). For former section, see Register 59, No. 12. 
2. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6671. General Safety Precautions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 51. Rig-Building Equipment and Operations [Repealed]
HISTORY

1. Repealer of Article 51 (sections 6672-6679) filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 52. Prime Movers
§6681. Power Control for Prime Movers.
Note     •     History

The throttle control or other control device for each prime mover for a rotary table or a draw works, well pulling hoist, sand reel, standard tool drilling machinery and other types of hoists used in drilling and well servicing operations shall be so designed, installed and maintained as to provide the operator with safe control of the prime movers from the normal operating station.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6682. Flywheels.
Note     •     History

(a) Flywheel shall be guarded in accordance with the provisions of the General Industry Safety Orders, Section 3995.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6683. Exhausts from Steam Prime Movers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6684. Internal Combustion Engines, Exhausts, Ignition Systems and Electrical Accessories.
Note     •     History

(a) Scope. The provisions in subsections (b) to (h) inclusive of this section shall apply within the following described hazardous locations:
(1) The area within a radius of fifty feet (50') of the casing of all drilling wells.
(2) The area within a radius of twenty-five feet (25') from the casing of all wells other than drilling wells, where there is a probability of flammable liquid or gas being released to the atmosphere in quantities to create a hazard to employees should it become ignited.

Exception: Internal combustion engines located within this described hazardous area which are shut down at the time a hazardous condition exists need not be equipped with nor use a water injection system or other effective device to prevent the discharge of flames or sparks from the exhaust pipe.
(3) Inside any building where the conditions or operations are such that there is a probability of flammable liquid or gas being released to the atmosphere in quantity to create a hazard to employees should it become ignited.
(4) At any location where conditions or operations are such that there is a probability of flammable liquid or gas being released to the atmosphere in quantities to create a hazard to employees should it become ignited.
(b) When an internal combustion engine is being operated within the hazardous areas as described in paragraphs (1), (2), (3), or (4) of subsection (a) of this section and there is a probability of flammable liquid or gas being released to the atmosphere in quantities to create a hazard to employees should it become ignited, the following precautions shall be taken to prevent the discharge of flame or sparks from the exhaust pipe:
(1) In area described in paragraph (1) of subsection (a) of this section, the exhaust system shall be provided with a water injection system or other effective device.
(2) In areas described in paragraphs (2), (3), or (4) of subsection (a) of this section, shutting down the engine will be accepted in lieu of providing the exhaust system with a water injection system or other effective device.
(c) Exhaust systems shall be maintained in good operating condition.
(d) Combustible material shall be prevented from contacting the hot surfaces of internal combustion engines and their exhaust systems or insulation shall be provided to prevent them from becoming ignited.
(e) Cylinder cocks of internal combustion engines shall not be opened when a flame or spark may be discharged into the atmosphere where there may be an accumulation of flammable gas.
(f) All electrical accessories of an internal combustion engine, including magnetos, distributors, coils, batteries, generators, starting motors, spark plugs, ignition cables and other miscellaneous wiring and switches shall be installed and maintained in a manner which will prevent arcing and sparking.
(g) Ignition systems, electrical accessories and equipment shall not be manipulated in a manner to create an arc or spark in open air where there may be an accumulation of flammable gas.
(h) Electrical storage batteries shall be provided with suitable covers to prevent contact with the battery terminals. 

Exception: The provisions of subsections (c) to (h) inclusive of this section do not apply to engines used exclusively to propel automotive vehicles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6685. Starters for Internal Combustion Engines.
Note     •     History

(a) Internal combustion engines of over thirty horsepower (30 h.p.) shall be provided with means other than manual for starting them. This does not prohibit manual starting in an emergency.
Note: The horsepower rating of internal combustion engines shall be the brake horsepower rating as established by the manufacturer.
(b) A check valve shall be provided in the air starting line adjacent to the engine or in the engine cylinder if compressed air is used as a means of starting.

Exception: This does not apply to the motor air starter.
(c) The compressed air supply for starting an engine shall be prevented from so functioning while maintenance work is being performed on an idle engine, or on equipment connected to and driven by the engine when such work is of a nature that employees may be endangered should the starting air cause the engine to move or turn over. This shall be accomplished by one of the following means:
(1) Disconnecting the air starting line union and disaligning the pipe.
(2) Having two closed valves in the air starting line with an open fitting between them that has a discharge capacity equal to the capacity of the air starting line (double block and bleed).
(3) Means other than those in subsections (1) and (2) above that will provide positive protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 53. Line Spoolers and Dead Line Stabilizers
§6688. Line Spoolers and Dead Line Stabilizers.
Note     •     History

(a) Line spoolers and dead line stabilizers shall be designed, constructed, installed and maintained to conform to good engineering practices.
(b) Sand line units, piano wire units and other wire line units, any of which utilize a line spooler, shall have the spooler operated from the ground or floor level.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 54. Weight Indicators
§6690. Weight Indicators.
Note     •     History

(a) A weight indicator shall be provided and used on every drilling and redrilling well, also on all other wells when pulling on casing or stuck pipe. This applies only when wire rope hoisting lines are used.
Note: This section does not apply to sucker rods in a producing well.
(b) Weight indicators shall be installed and maintained to manufacturer's specifications.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of subsection (b) and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 55. Blowout Prevention
§6691. Blowout Prevention Equipment.
Note     •     History

(a) For well operations which require a permit issued by the Department of Conservation, Division of Oil, Gas, and Geothermal Resources, the components of the blowout prevention equipment system shall fulfill the requirements of the blowout equipment class specified by the Division of Oil, Gas, and Geothermal Resources, “Permit to Conduct Well Operations.” A copy of this permit shall be conspicuously posted or be otherwise readily available at the well site. The equipment requirements for each blowout prevention equipment classification are outlined in Section 2, Paragraph 2.2 of the Division of Oil and Gas Manual M07, Sixth Edition, 1987, “Oil and Gas Blowout Prevention in California”, pages 7-16, which is hereby incorporated by reference. This equipment shall be used and maintained in accordance with the guidelines contained in the Division of Oil and Gas Manual M07 and the recommendations of the manufacturer.
(b) All components of the blowout prevention equipment system shall be secured in accordance with good engineering practices. All flanges and/or clamps shall be made up completely.
(c) A clear passageway shall be maintained to all blowout preventer controls. The passageway shall be at least two feet (2') wide with a vertical clearance of at least six and one-half feet (6 1/2'). Substructure beams and piping necessary to the function and structural integrity of the rig shall be permissible in this passageway providing the top of the beam or upper limit of the pipe shall not exceed a height of twelve inches (12”) above the ground or floor level of the passageway.
(d) All blowout preventer controls shall be clearly identified as to their function and method of operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment of section heading and section filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6691.1. Controls for Manually Operated Blowout Preventers.
Note     •     History

(a) Operating controls shall be located not closer than twelve feet (12') from the center line of the well bore and not closer than ten feet (10') from the drilling fluid circulating ditch or pit. 
(b) All controls shall be located where they can be operated from ground level or an access platform shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6691.2. Controls for Power-Actuated Blowout Preventers.
Note     •     History

(a) Every blowout preventer that is actuated with power of any source other than manual shall be provided with a means of control located at least twenty-five feet (25') from the well bore.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Repealer and new subsection (c) filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment of section heading, section and Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
§6692. Blowout Prevention Equipment for Wells Other Than Drilling Wells. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 7-20-59; effective thirtieth day thereafter (Register 59, No. 12).
2. Repealer of section and amendment of Note filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Article 56. Attractive Nuisance Guards [Repealed]
HISTORY

1. Repealer of Article 56 (section 6693) filed 5-8-95; operative 6-7-95 (Register 95, No. 19).
Subchapter 15. Petroleum Safety Orders--Refining, Transportation and Handling
Article 1. Application and Scope
§6750. Application and Scope.
Note     •     History

(a) Application. These orders shall apply to the equipment and operations used in or appurtenant to the refining, storage and handling of petroleum, natural gas and their products, including the construction, location, transportation, utilization, testing, demolition, maintenance and operation of such equipment in “Employment” or a “Place of Employment” or by an “Employer” or an “Employee” as these terms are defined in Division 5, Part 1 of the Labor Code.

Exceptions: (1) These orders shall not apply to the equipment and operations of a consumer nor of retail outlets.
 (2) Existing installations and equipment which were in compliance with safety orders, or variances therefrom, in effect prior to the effective date of these safety orders, unless the hazard presented by the installation or equipment is, in the judgement of the Chief of the Division, of such severity as to warrant control by the application of the applicable sections of these orders.
Note: These orders shall take precedence over other safety orders when applied to petroleum refining, transportation and handling of crude oil, natural gas, and their products.
(b) Scope.
(1) The operations to which these orders apply are those generally known as refining, storage, packaging, distributing, pipeline transportation and movements, filling and unloading, laboratories, and the construction, operation and maintenance of the equipment application to the foregoing.
(2) Transportation and movement through pipelines is included, but transportation by truck, rail or marine transportation is excluded.
(3) Pipeline transportation shall begin at the point where the material leaves the last producing facility or changes custody, and shall end at the point where the material enters a distribution or refining facility.
(4) Pipeline transportation of consumer's gas shall be considered to end where the gas enters the initial pressure control station or pressure regulating device of the distributing system. Excluded are areas used for residential or recreational purposes, parking of vehicles, or office buildings, when so located, and when the nature of the activities therein are such that they do not endanger the safety of employees engaged in the operations to which these orders apply.
(5) For the convenience of the user of these orders, some Sections make reference to the General Industry Safety Orders for requirements which may be applicable to the subject matter. This is not to be construed as meaning the referenced orders are the only ones applicable.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New sections 6750 to 6896, inclusive, filed 6-13-46 (Register 4).
2. Revision of sections 6750 to 6896, inclusive, filed 1-4-51; effective 30th day thereafter (Register 23, No. 1).
3. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
4. Amendment of article heading, section heading and text and repealer and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6751. Approvals.
Note     •     History

(a) Approvals.
(1) When the term “approved” is used in these orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to applicable governmental or other nationally recognized standards, or applicable scientific principles. The approval, listing, labeling, or certification of conformity, shall be based upon an evaluation performed by a person, firm, or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation.

Exception: Where written approval by the Division is required in these orders.
(2) The term “approved” shall also refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified by a Nationally Recognized Testing Laboratory (NRTL).
(b) The Division may require proof in addition to that under subsection (a) of this Section that the products, materials, devices, systems, or installations will provide reasonable safety under the conditions of use.
(c) When these orders require an approval of products, materials, devices, systems or installations and that approval is not available under subsection (a) of this Section, it will be necessary to submit to the Division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The Division will then approve or disapprove the product, material, device system, or installation as submitted or under specified conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 2. Definitions
§6755. Definitions.
Note     •     History

(a) The following definitions shall apply in the application of these orders. 
Alteration (Pressure Vessels). An alteration is any change in the item described on the original Manufacturer's Data Report which affects the pressure containing capability of the pressure vessel. Nonphysical changes (re-rating) such as an increase in the maximum allowable working pressure (internal or external) or design temperature, or the addition of loadings not considered in the original design, shall be considered an alteration. A reduction in the (minimum) design metal temperature such that additional mechanical tests are required shall also be considered an alteration.
Approved. See Section 6751.
A.N.S.I. American National Standards Institute.
A.P.I. American Petroleum Institute.
A. S. M. E. American Society of Mechanical Engineers.
A. S. T. M. American Society for Testing and Materials.
Atmospheric Tank. A storage tank which has been designed to operate at pressures from atmospheric through 0.5 psig (3.5 KPa).
Authorized Employee. (in reference to an employee's assignment). Selected by the employer for that purpose.
Auto Ignition Temperature. See Ignition Temperature.
Barrel. A liquid measure of 42 U.S. gallons (158.9 liters).
Blind. A device, other than a valve, used to isolate equipment for the purpose of preventing the passage of liquid, gas or vapor.
Boiling Point. The temperature at which a liquid boils at a pressure of 14.7 psia (760 mm Hg).
Chain or wire rope access equipment (Jacob's ladder). Specialized equipment approved for use to access constricted locations and having rigid rungs suspended between two vertical chain or wire rope stringers instead of the rigid rails used on fixed or portable ladders. 
Code. Consensus Standards as referenced in the Petroleum Safety Orders.
Combustible Liquid. See Liquid.
Competent Person. One who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.
Confined Space. See Article 108, General Industry Safety Orders.
Consumer. One who uses up or consumes petroleum, natural gas or their products either in serving his own wants or in the production of another article of value when such use or consumption does not involve processing as defined in these orders.
Corrosive. A substance that causes visible destruction of, or irreversible alterations in living tissue by chemical action at the site of contact. For example, a substance is considered to be corrosive if, when tested on the intact skin of albino rabbits by the method described by the U.S. Department of Transportation in Appendix A to 49 CFR Part 173, it destroys or changes irreversibly the structure of the tissue. This term shall not refer to action on inanimate surfaces.
Crude Oil. Hydrocarbon mixtures that have a flash point below 150oF and which have not been refined.
Division. Division of Occupational Safety and Health.
Existing Installations. All equipment installed in California prior to the adoption of these orders and in compliance with applicable safety orders of the Division in effect at the time of installation and that have not changed ownership and location since the adoption of these orders.
Fire Watch. A qualified person designated by the employer to perform the duties as required by General Industry Safety Orders, Section 4848.
Fired Equipment. Equipment heated by an externally applied flame.
Flammable Gas. A gas that will burn in air.
Flammable Liquid. See Liquid.
Flare. A device in which excess gases and vapors are burned in the atmosphere.
Flash Point (of a liquid). The minimum temperature at which it gives off vapor in sufficient concentration to form an ignitible mixture with air near the surface of the liquid within the vessel as specified by appropriate test procedure and apparatus as follows:
(1) The flash point of a liquid having a viscosity less than 45 SUS at 100o F (37.8o C) and a flash point below 200oF. (93.4o C), (refer to General Industry Safety Orders, Section 5194.)
(2) The flash point of a liquid having a viscosity of 45 SUS or more at 100o F. (37.8o C) or a flash point of 200o F. (93.4o C) or higher, (refer to General Industry Safety Orders, Section 5194.)
(3) For a liquid that is a mixture of compounds that have different volatilities and flash points, its flash point shall be determined by using the procedure specified above on the liquid in the form it is shipped. If the flash point, as determined by this test, is 100o F. (37.8o C) or higher, an additional flash point determination shall be run on a sample of the liquid evaporated to 90 percent of its original volume, and the lower value of the two tests shall be considered the flash point of the  material.
(4) Organic peroxides, which undergo auto accelerating thermal decomposition, are excluded from any of the flash point determination methods above.
Fumes. Solid particles generated by condensation from the gaseous state, generally after volatilization from molten metals, etc., and often accompanied by a chemical reaction such as oxidation.
Gas. A fluid, such as air, that has neither independent shape nor volume, but tends to expand indefinitely.
Gas Free or Free of Gas. Free from harmful or hazardous concentrations of  vapors, fumes and gases.
Hazardous Substance. One which by reason of being explosive, flammable, toxic, poisonous, corrosive, oxidizing, irritant, or otherwise harmful is likely to cause injury.
High Vapor Pressure Hydrocarbon. Any liquid hydrocarbon component of petroleum or natural gas, or a mixture of two or more liquid petroleum or natural gas components, having a vapor pressure greater than 23 P.S.I.A.  at 100o F., as determined by means of recognized test methods.
Hot Work. Electric or gas welding, cutting or brazing or any extreme heat, flame or spark producing procedures or operations.
Ignition Temperature. The minimum temperature to which a flammable vapor or gas mixture in air must be heated in order to initiate or cause self-sustained combustion.
Isolation. A procedure whereby equipment is removed from service and completely protected against the inadvertent release or introduction of material or energy.
Laboratory. A plant or a generally recognized department or subdivision of a plant where the primary purpose is testing, analysis, inspection, research, experimentation or process development in connection with petroleum, natural gas or their products, derivatives or related commodities. This shall not include places where simple routine tests, not requiring the use of a source of ignition, are done incidental to the processing or handling of petroleum, natural gas, or their products as, for example, by gaugers, process equipment operators, and others not generally considered to be laboratory personnel.
Liquid. See General Industry Safety Orders, Section 5415.
(A) Combustible liquids shall be subdivided as follows:
Class II liquids shall include those having flash points at or above 100o F (37.8o C) and below 140o F (60o C).
Class IIIA liquids shall include those having flash points at or above 140o F (60o C) and below 200o F (93.4o C).
Class IIIB liquids shall include those having flash points at or above 200o F (93.4o C.)
(B) Flammable Liquid. A liquid having a flash point below 100o F (37.8o C) and having a vapor pressure not exceeding 40 lb. per sq. in. (absolute) (176 kPa) at 100o F (37.8o C) and shall be known as Class I liquid.
Class I liquids shall be subdivided as follows:
Class IA shall include those having flash points below 73o F (22.8o C) and having a boiling point below 100o F (37.8o C).
Class IB shall include those having flash points below 73o F (22.8o C) and having a boiling point at or above 100o F (37.8o C).
Class IC shall include those having flash points at or above 73o F (22.8o C) and below 100o F (37.8o C).
Natural Gas. Mixture of hydrocarbon gases and vapors consisting principally of methane.
Opening of Pipelines or Equipment. Exposing the contents of pipelines or equipment to the atmosphere, through means other than valves.
Owner-User. (Pressure Vessel) An owner or user of pressure vessels who maintains a regularly established inspection department whose organization and inspection procedures have been accepted by the Division.
Pilot Plant. See Laboratory.
Plant. See Refinery.
Portable Tank. A tank not intended for a fixed installation.
Pressure Relief Device. A device such as a spring-loaded safety valve or rupture disk for relieving excess pressure.
Pressure Vessel. A container, including cylinders, used for the storage or accumulation of any gas or liquid under pressure. This definition is not intended to include boilers as defined in the Boiler and Fired Pressure Vessel Safety Orders, or pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses.
Qualified Inspector. An inspector as defined in Title 8, Unfired Pressure Vessel Safety Orders, and who holds a valid certificate of competency issued by the Division.
Refinery. A plant for the separation, refining, or processing of petroleum, natural gas, and products thereof. The entire operating facilities within clearly defined boundaries used for the operations to which these orders apply. A refinery may include numerous processing units or groups of activities.
Repair (Pressure Vessels). A repair is any work necessary to restore a pressure vessel to a safe and satisfactory operating condition, provided there is no deviation from the original design. Examples of repair include:
(1) Weld repair or replacement of pressure retaining parts or attachments that have failed in a weld or in the base material;
(2) Addition of welded attachments to pressure parts;
(3) Replacement of pressure retaining parts identical or equivalent to those existing on the pressure vessel and described on the original ASME Manufacturer's Data Report;
(4) Replacement or addition of a nozzle where reinforcement is not required to be considered by the code under which the vessel was constructed;
(5) The addition of a nozzle where reinforcement is a consideration provided the nozzle is identical or equivalent to the one in the original design and located in a similar part of the vessel;
(6) Repairs of base material by weld overlay;
(7) Repair or replacement of a pressure part with an ASME code accepted material that has a nominal chemical composition and strength equivalent to the original material, and is suitable for the intended service.
Reservoir. A roofed excavation for the storage of petroleum liquids.
Respiratory Protective Equipment. A breathing device designed to protect the wearer from oxygen-deficient or hazardous atmospheres (General Industry Safety Orders, Section 5144).
Source of Ignition. Any flame, arc, spark, or heat which is capable of igniting flammable liquids, gases or vapors.
Static Electricity. The type of electrical charge resulting from the separation of materials, friction, or similar causes.
Sump. An unroofed, lined or unlined, pit or excavation for holding liquids.
Tank. A fixed receptacle (covered or uncovered) of greater than 60 gallons capacity other than a pressure vessel or reservoir used for holding or storage of liquids.
Toxic Material. A material listed in Sections 5155, 5208, and 5209 of the General Industry Safety Orders which has the capacity to produce personal injury or illness to persons through ingestion, inhalation, or absorption through any body surface.
Tubular Gage Glass. An unsupported level indicator comprised of a glass tube or cylinder.
Vapor. The gaseous form of a substance normally liquid or solid.
Valve. A device for regulating or controlling the flow of material by a movable part or parts which open or close a passage. 
Wall-Diversion. A wall made of concrete, earthwork, or other noncombustible material, built for the purpose of protecting employees, by diverting the flow of hazardous substances that may be released by tank failure, tank overflow, or other causes.
Wall-Retaining (Dike). A wall made of concrete, earthwork, or other noncombustible material, built for the purpose of protecting equipment and employees by confining hazardous substances that may be released by tank failure, tank overflow, or other causes.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (22) filed 12-11-68; effective thirtieth day thereafter. Approved by State Building Standards Commission. (Register 68, No. 47.)
2. Amendment of section and Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
3. Amendment of definition of “Owner-User. (Pressure Vessel)” filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
4. New definitions of “Chain or wire rope access equipment (Jacob's ladder)” and “Competent Person” filed 7-28-2011; operative 8-27-2011 (Register 2011, No. 30).
Article 3. Injury and Illness Prevention Program
§6760. Injury and Illness Prevention Program.
Note     •     History

(a) The employer shall establish, implement and maintain an Injury and Illness Prevention Program in accordance with section 3203 of the General Industry Safety Orders. 
(b) The program shall also include a check in/check out procedure for persons not normally assigned to an operating area while the unit is in operation.
NOTE

Authority cited: Sections 142.3 and 6401.7, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8). 
2. Editorial correction of printing error (Register 91, No. 20).
3. New subsection (b) filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6761. Reporting Unsafe Conditions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 142.3 and 6401, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. Repealer filed 1-16-91; operative 2-15-91 (Register 91, No. 8). 
§6762. Contractors. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 142.3 and 6401, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. Repealer filed 1-16-91; operative 2-15-91 (Register 91, No. 8). 
Article 4. First Aid
§6767. Medical Services and First Aid.
Note     •     History

Emergency medical services shall be provided as required by General Industry Safety Orders, Section 3400.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Originally published 7-15-46 (Register 4).
2. Amendment filed 1-20-48 (Register 11, No. 3).
3. Amendment of section heading and repealer and new text filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 5. Fire and Explosions
§6772. Smoking, Matches and Lighters.
Note     •     History

(a) Smoking areas shall be conspicuously posted. See also Section 6777.
(b) “Strike anywhere” matches shall not be allowed.
(c) Only cigar or cigarette lighters having the flint, steel, and operating mechanism enclosed in such a manner as to prevent the possibility of accidental lighting or sparking, shall be allowed.
(d) No employee shall be permitted to carry a torch lighter of the spark type in an area where sources of ignition are forbidden, except when sheathed or otherwise protected against accidental operation.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6773. Fire Protection and Fire Fighting Equipment.
Note     •     History

(a) Fire fighting equipment shall be available to locations where fires are likely to occur. Such equipment or systems shall comply with the applicable fire protection requirements specified in Articles 156 through 165 of the General Industry Safety Orders.
(b) Fire protection and fire fighting equipment shall be inspected, tested and maintained in serviceable condition. A record shall be kept showing the date when fire extinguishers and hose lines were last inspected, tested, repaired, or renewed. Fire protection and fire fighting equipment after any use shall promptly be made serviceable and restored to its proper location.
(c) Before employees are required or permitted to use the fire fighting equipment mentioned in (a) above, the employees shall be trained in the proper use, care, and limitations of the equipment.
(d) Water and foam lines shall not be used to transfer petroleum products.
(e) Access road(s) shall be provided to accommodate available mobile fire fighting equipment.
(f) A written plan shall be established and implemented to ensure the safe and orderly evacuation of employees.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 4-16-82; effective thirtieth day thereafter (Register 82, No. 16).
2. Amendment of subsections (a) and (f) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6774. Cleaning Agents.
Note     •     History

(a) Flammable cleaning agents shall be used only in accordance with General Industry Safety Orders, Section 5417.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6775. Static Electricity.
Note     •     History

(a) Where not effectively grounded and/or bonded by contact or connection, provision shall be made to prevent the accumulation of static electrical charges which may create a source of ignition in the presence of flammable vapors or gases. This order applies specifically, but is not necessarily limited to, the following operations:
(1) Blowing or agitating with air.
(2) Loading and unloading tank cars and tank trucks.
(3) Filling metal drums or containers.
(4) Abrasive Blasting.
(5) Hydroblasting.

Exception: Bonding is not required where vehicles are loaded or unloaded exclusively with products not having  a static accumulating tendency.
(b) Stationary tanks containing flammable liquids and Class II combustible liquids, not inherently grounded by contact or by connection to a grounded pipe line, shall be grounded.
(c) The nozzle of air, high pressure water cleaning systems, grit cleaning systems, inert gas and steam lines or hoses when used in the cleaning or ventilation of tanks and vessels that contain hazardous concentrations of flammable gases or vapors, shall be grounded and bonded to the tank or vessel shell. Bonding devices shall not be attached nor detached in hazardous concentrations of flammable gases or vapors. Before starting work, precautions shall be taken to prevent ignition of flammable atmospheres in tanks and vessels in accordance with the requirements of Sections 5168 and 5420 of the General Industry Safety Orders.

Exception: High pressure water cleaning system nozzles used to clean tanks or vessels 100 cubic meters or less in size need not be bonded to the tank or vessel shell, provided all conductive components are grounded and it is not possible for steam to enter the tank or vessel.
(d) Conductors used for bonding and grounding shall be equivalent in strength to a #8 A.W.G. (American Wire Gage) copper wire and shall be suitably conductive to ensure a circuit resistance of not more than one megohm.
(e) Flexible conductors shall be used for bonds that are to be connected and disconnected frequently. Solid conductors are acceptable for fixed connections.
(f) When attaching bonding and grounding clamps or clips, a secure and positive metal to metal contact shall be made. Such attachments shall be made before closures are opened and shall not be broken until after static generating activities are completed, and/or closures closed. 
(g) Static bonding installations shall be so designed, constructed, installed and maintained to prevent static charges of different potential from arcing from one conductive object to another.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment to subsection (g) filed 12-11-68; effective thirtieth day thereafter. Approved by State Building Standards Commission. (Register 68, No. 47).
2. Amendment of section and repealer and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
3. Amendment of subsection (c) filed 8-26-2008; operative 9-25-2008 (Register 2008, No. 35).
§6776. Spontaneous Ignition.
Note     •     History

(a) Iron sulfide, during and after removal from the inside of tanks and equipment, shall be kept wet or otherwise protected against ignition until removed to a safe place.
(b) Where lime is used inside a vessel to dehydrate the oil or gas, steel wool shall not be used as a porous medium to hold the lime in place. 
Note: When a dehydrator is opened for cleaning, the lime and iron sulfide, which is formed in the steel wool, may react with atmospheric air and ignite vapors that may be present. Mineral wool may be used in place of steel wool.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a) and Note and new Authority and Reference filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6777. Hot Work Procedures and Permits.
Note     •     History

(a) Scope and application. This section contains the required practices and procedures necessary to protect employees from fire and explosion hazards associated with hot work. This section applies to all hot work operations, except as provided in subsections (a)(1) and (a)(2).
(1) The following operations are exempt from the requirements of this section:
(A) The operation of fixed fired equipment.
(B) Hot work required for operating purposes in laboratories and pilot plants. This exemption does not apply to sources of ignition used in the maintenance of equipment.
(C) Hot work within designated, marked, or posted smoking areas within plants.
(D) Hot work in locations outside of plants where it would be safe to smoke.
(2) The following operations need only comply with the hot work safety procedures in subsections (b), (c), and (d):
(A) Operations where compliance with the order will result in the employer or authorized agent issuing a hot work permit to him/herself.
(B) Operations where the use of a source of ignition in connection with work on an oil or gas transmission pipeline remote from plants does not affect the normal movement of the contents of the pipeline.
(C) Hot work within areas meeting all of the following conditions:
1. With respect to operating process equipment, the area is:
a. Free of flammable liquids, vapors and gases except as may be required for necessary activities when safely used, handled and stored; and
b. Effectively protected against the possibility of flammable oils, liquids, vapors or gases being liberated within the area from pipe lines, sewers, drains or ditches.
2. The area is posted in a manner to define the boundaries.
3. The area has a warning system to alert employees to eliminate ignition sources in the event of an emergency.
(b) Hot work procedures. Before hot work is begun, the employer shall determine that a source of ignition can be safely used. In locations where flammable vapors may be present, precautions shall be taken to prevent ignition by eliminating or controlling sources of ignition. A source of ignition shall not be introduced into an area until all of the following required actions have been completed:
(1) Tests for the presence of flammable gases and vapors shall be made when the concentration of flammable gases or vapors may reasonably be expected to exceed 20 percent of the lower explosive limit (LEL). The tests shall confirm that the concentration of flammable gases and vapors does not exceed 20 percent of the LEL.
(2) Oil accumulations or other combustible materials shall be removed or protected from ignition when present in exposed areas.
(3) The gauge valves shall be closed and the gauges drained, or the gauge glasses shall be guarded when gauge glasses contain flammable liquids, vapors or gases and are exposed to the spatter of molten metal.
(c) A source of ignition shall not be used where the concentration of flammable gases or vapors exceeds 20 percent of the LEL.
(d) Suitable fire extinguishing equipment shall be readily available in the area where hot work is performed.
(e) Hot work permits.
Except for those operations identified in subsection (a)(2), a written and numbered hot work permit shall be completed, signed and issued by the employer or his authorized agent before a source of ignition is used. As part of this hot work permit issuance procedure, the employer shall verify that all of the required actions identified in subsection (b) have been completed before a hot work permit is issued.
(f) Before an employee introduces a source of ignition, the employer shall provide a copy of the hot work permit to the employee or shall post a copy of the permit in the area of the planned hot work. The copy of the permit shall be kept on the job where the source of ignition is being used until the work is completed, or the permit expires or is revoked.
(g) The hot work permit shall contain the following information:
(1) The effective time and date.
(2) The place of use.
(3) The hours during which the source of ignition may be used, not to exceed 24 hours.
(4) The specific location or piece of equipment where the source of ignition will be used.
(5) The nature of the use of the source of ignition.
(6) Any special precautions or limitations to be observed before, during or after the use of the source of ignition, including the need for fire watch.
(h) The employer shall revoke the permit under the following conditions:
(1) When circumstances would make the continued use of the source of ignition hazardous.
(2) Any time the conditions of its issuance change.
(3) Inactivity of permitted hot work in excess of two hours unless test(s) determine the LEL is less than 20%
(i) The employer issuing the hot work permit shall keep a copy of the permit on file at the plant of issue for at least six months after the date of issue.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
2. Amendment of section heading and section filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
3. Editorial correction of subsection (b) (Register 2005, No. 44).
§6778. Atmospheric Vents.
Note     •     History

The discharge from atmospheric vents shall be so located that any liquids, gases or vapors discharged will not endanger employees. Nothing in this Section shall prohibit the burning of flammable gases or vapors at flares.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6779. Flammable Waste Gases or Vapors.
Note     •     History

(a) Flammable waste gases or vapors liberated to the atmosphere from refining units shall be burned unless the place of liberation, method, or quantity liberated, is such that the gases or vapors will not endanger employees.
(b) Reliable and safe means of remote ignition shall be provided whenever flammable gases or vapors are released to the air through flares.
(c) Flares shall be located so that gases or vapors will be dispersed so as not to create a hazard to employees. 
(d) Means shall be provided to prevent the  escape of hazardous quantities of gases or vapors from flare installations. 
(e) Employees shall not be permitted to enter the area of a flare should the flare become extinguished, and the means of igniting the flare fail to function, until tests have established that the area is free from hazardous quantities of gases or vapors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6780. Transfer of Flammable Liquids by Air Displacement.
Note     •     History

Compressed air shall not be used to transfer flammable liquids from one tank or container to another tank or container, including the blowing out of pipe lines or blow cases to free them of flammable liquids or vapors.

Exception: Flammable liquids while they are being processed;
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6781. Steam Hose.
Note     •     History

A hose carrying steam used for cleaning or for fire protection shall be equipped with one or more handles near the discharge end of the hose. The handle or handles may be attached to or be a part of a nozzle or lance, and shall be of a type that will protect the operator from the hazard of contacting heated metal or steam.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (a) designation and footnote and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 6. Dangerous Exposure
§6786. Clothing.
Note     •     History

Wearing apparel and personal protective equipment shall meet the requirements of General Industry Safety Orders, Article 10.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6787. Change Rooms.
Note     •     History

Refer to General Industry Safety Orders, Article 9.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6788. Media for Allaying Dusts, Fumes, Mists, Vapors, and Gases.
Note     •     History

See General Industry Safety Orders, Article 107.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6789. Gases and Vapor Testing.
Note     •     History

(a) Combustible gas indicators shall be available and maintained for use in locations where combustible gases and vapors may be present or are likely to occur.
(b) Tests for the presence of flammable or toxic vapors or gases, required by these orders, shall be made by the use of approved devices or apparatus or by chemical analysis and conducted by a person qualified in the use of the apparatus or skilled in chemical analysis.
(c) A written calibrating and testing program for all test equipment shall be implemented and documented by a qualified person.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 7. Confined Spaces
§6792. Ventilation.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and repealer of  section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6793. Confined Spaces.
Note     •     History

See General Industry Safety Orders, Article 108, Confined Spaces.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 8. Access and Egress
§6798. Buildings.
Note     •     History

Building access and egress provisions shall comply with the following General Industry Safety Orders:
General Industry Safety Orders 3215 - Means of Egress.
General Industry Safety Orders 3216 - Exit Signs.
General Industry Safety Orders 3219 - Maintenance of Exits.
General Industry Safety Orders 3222 - Arrangement and Distance to Exits.
General Industry Safety Orders 3223 - Changes in Elevation.
General Industry Safety Orders 3224 - Headroom.
General Industry Safety Orders 3225 - Access to Exits.
General Industry Safety Orders 3226 - Corridors and Exterior Exit Balconies.
General Industry Safety Orders 3227 - Discharge from Exits.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new article heading and section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6799. Egress Requirements for Equipment Structures.
Note     •     History

(a) The exit doors of rooms housing equipment containing corrosives, flammable liquids, gases or vapors being processed or tested shall swing outward except when they would swing into corridors of less than five feet (1.52 m) in width. When located between two such rooms, the exit doors shall swing both ways. Exit doors shall not be locked in such a manner as to prevent a ready exit while the rooms are occupied.
(b) Two means of egress shall be provided from any elevated platform 10 feet (3.05 m) or more above the floor or ground level, on fired processing equipment, or which serves or is connected to three or more vessels, and from which employees must perform operating duties, and when the lack of the second means would prevent the egress of an employee in case of fire or other emergency. The means of egress may be by fixed ladder, stairway, ramp, walkway, or slide and shall be so located relative to each other as to provide reasonably safe alternative means of egress.
(c) Fences, closely or immediately surrounding flammable liquid or gas process equipment, which may hamper or prevent the egress of employees in an emergency, shall have gates opening outward. Such gates shall be unlocked when the area within the enclosure is occupied, or other facilities affording equally quick exit shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6799.1. Use of Chain or Wire Rope Access Equipment.
Note     •     History

(a) Scope and Application. This section establishes requirements for the use of chain or wire rope access equipment as defined in Section 6755. Use of the equipment shall be permitted only when it is not feasible to use fixed or portable ladders to access constricted locations, such as tubes, pipes, shafts, flues, chimneys or cyclones inside of pressure vessels, 
(b) Equipment and materials used shall be approved pursuant to Section 3206 of the General Industry Safety Orders. 
(c) Inspection and Load Testing. 
(1) The equipment shall be load tested annually by a competent person, and the testing shall be documented in writing annually by a competent person. The equipment shall be suspended vertically, with the top lashing rings at full length and free of any obstruction. A total static load equal to the weight rating of the equipment shall be distributed throughout the length of the equipment. Stretch or sag shall be determined by comparing the measurements of the vertical distance between the rungs after load testing to the measurements at the time the equipment was new. The appearance of any defects, signs of weakness, or undue stretch or sag in the equipment under test shall result in the equipment being taken out of service immediately and permanently. 
(2) The equipment shall be visually inspected by a competent person before each use. If any part of the equipment fails the inspection, it shall immediately be taken out of service. At a minimum, the visual inspection shall check for the following conditions:
(A) Broken or split rungs. 
(B) Broken or split chains or cables in the stringer.
(C) Damaged sections, appearance of corrosion, or sharp/rough edges.
(D) Any hardware or fittings that is not secure.
(E) Bent or dented rungs or rails.
(F) Grease, oil or other slip hazards on the ladder rungs.
(d) Equipment Use Plan. Before using chain or wire rope access equipment, the employer shall prepare an equipment use plan. The equipment use plan shall be in writing, shall be available to the Division for inspection and shall have the following components: 
(1) A description of the specific locations where chain or wire rope access equipment is to be used. 
(2) A description of tasks requiring access using chain or wire rope access equipment. 
(3) A justification as to why the use of fixed or portable ladders is not feasible for each location identified for equipment use. A single justification may be used for multiple locations that have substantially the same characteristics. Among other things, these details must include, but shall not be limited to, a description of the manner in which the equipment is to be secured at the top to an anchorage.
(4) Installation details for each location. A single set of details may be provided for multiple locations that have substantially the same characteristics. 
(5) Inspection instructions. 
(6) Maintenance instructions. 
(7) Maintenance log. 
(e) Use. 
(1) Employees using chain or wire rope access equipment shall wear a safety harness that is attached to a rescue retrieval system in accordance with Section 5157(k) of Title 8 at all times while on the equipment. 
(2) The chain or wire rope access equipment shall be: 
(A) Secured at the top to an anchorage as described in the equipment use plan. 
(B) Secured at the bottom to a substantial anchorage.

EXCEPTION to subsection (e)(2)(B): During installation or retrieval of the chain or wire rope access equipment.
(3) Only one person shall be on the equipment at a time.
(4) The user shall not hand-carry tools, equipment or other materials while climbing on the equipment. 
(5) Three points of contact shall be maintained at all times while climbing on the equipment. 
(6) The equipment shall not be used where the user or equipment may contact energized electrical conductors.
(7) The equipment shall be kept free of oil, grease, or other slippery materials.
(f) Training. Employees who use the equipment shall be trained in the following: 
(1) Recognition of, and measures for addressing, the hazards associated with climbing on or working from the equipment. These hazards include, but are not necessarily limited to, fatigue, falling hazards, slipping and tripping hazards, cuts and abrasions, and hazards presented by the specific installation. 
(2) Inspection and correct use of the rescue retrieval system in accordance with subsection (e)(1). 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 7-28-2011; operative 8-27-2011 (Register 2011, No. 30).
§6800. Illumination.
Note     •     History

Illumination for work areas shall conform to General Industry Safety Orders, Section 3317.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 9. Tanks and Reservoirs
§6801. Design and Construction of Tanks.
Note     •     History

Tank storage shall be designed, constructed, tested and installed in accordance with General Industry Safety Orders, Article 145.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6803. Stationary Tanks and Reservoirs.
Note     •     History

(a) The roofs of tanks and reservoirs in service shall be externally inspected by a qualified person at intervals not to exceed one year. Where a roof has been found to be unsafe or has not been inspected, substantial barriers shall be erected to block off the entire roof or that portion which is unsafe. Legible signs shall be posted at all approaches to the tank or reservoir roof if the entire roof is blocked off, or on the barrier facing all approaches to the defective area if only a portion of the tank or reservoir roof is barricaded. These signs shall read: “DANGER - UNSAFE ROOF - KEEP OFF”, or equivalent wording in letters at least two inches (2”) in height. 
(b) Work shall not be performed upon the exterior of the roof or shell of a tank at a location where the employee may be exposed to a hazardous concentration of flammable or toxic gases or vapors. When there is reason to suspect the existence of any of the hazards above mentioned, jobsite atmospheric tests shall be made and employees shall be protected. This order shall not prohibit an employee, when protected by approved respiratory equipment, from entering such a hazardous atmosphere when necessary, provided that the work is not of a nature that tends to aggravate the hazard.
(c) When tank or reservoir roof plates or sheathing are suspected to be weak or defective and it is necessary for employees to go onto a roof to determine the extent of the weak and defective parts or to remove them, the following precautions or equally safe procedures shall be used;
(1) Employees shall work at least two rafters apart, be provided with and use an approved safety harness with safety line securely attached to safe supports;
(2) If rafters, girders or posts are known to be weak or defective over an area which cannot be spanned safely, temporary shoring or support shall be installed inside the tank or reservoir before employees are permitted to work on the defective roof area. If this is impractical, an adequate overhead lifeline shall be installed and the employees shall attach their harness to this lifeline;
(3) A standby employee shall be available within sight and sound to offer assistance should an emergency arise while duties are performed.
(d) The roofs of tanks shall be capable of safely supporting employees required to go on the roofs. Locations on tank roofs where work is performed shall be provided with safe platforms and safe access thereto. A walkway will be acceptable as a safe platform when the work is performed entirely from the walkway.
(e) Where the means of access, the walkways, or the platforms of a group of two or more tanks are connected, there shall be provided sufficient unobstructed stairways, ramps, fixed ladders, slides, walkways or crosswalks to permit an employee to escape from the roof, walkway or platform of any tank in the group in the event the walkway or platform of any other tank in the group becomes impassable due to fire or other emergency. Provided, however, that this order shall not apply to tanks containing water or tanks containing petroleum products having an open cup flash point above 3000 F. as determined by A.S.T.M. Designation D92, or in the case of fuel oils by the A.S.T.M. Designation D93, and where such tanks are isolated from tanks, pipelines and other equipment containing liquids at a temperature above 1500 F., gases, flammable liquids or corrosives.
(f) Within this subsection, tanks shall be classified as follows:
Class A--Tanks with fixed steel roofs but excluding steel water-seal roofs.
Class B--Tanks with nonmetal roofs.
Class C--Tanks with steel water-seal roofs. 
Walkways and platforms on tank roofs required by subsections (b) and (c) of this Section, and the railings and toeboards, shall be provided as follows:
(1) The roofs of tanks in Class A shall have walkways as follows:
(A) Tank roofs having a thickness less than one-eighth inch (1/8”) shall not be used as a walkway regardless of the slope of the roof. In measuring the thickness of metal roofs, allowance shall be made for manufacturers tolerances.
(B) Tank roofs having a slope of two inches (2”) per foot or less may be used as a walkway. Such walkways shall be clearly defined by color contrast and if the slope of the tank roof is one inch (1”) per foot or greater, the walkway shall have a nonskid surface.
(C) Tank roofs having a slope greater than two inches (2”) per foot shall be provided with independent walkways of steel or wood construction.
(2) The roofs of tanks in Class B and C shall have independent walkways of metal or wood construction.
(3) No independent walkways on a tank roof of Class A or B shall have a slope greater than three inches (3”) per foot.
(4) No walkway on a tank roof of Class A or B shall have a transverse slope greater than two inches (2”) per foot.
(5) Walkways on tank roofs shall be not less than twenty-four inches (24”) in width but it shall be permissible to install midrails and toeboards within this width provided, however, that a minimum clear width of twenty inches (20”) shall be maintained. Walkways shall be designed to carry the load to the supporting structure of the tank roof and shall be securely attached to the tank. Walkways constructed of steel shall have a nominal thickness not less than one-eighth inch (1/8”). Walkways shall be of sufficient strength to safely support the loads imposed on them.
(6) Platforms on tanks of Class A, B and C shall be at least the equivalent in safety of the type of walkway required for the tank class.
(7) Tanks in Class A, B, and C, the roofs of which are five feet (5') or more above ground or floor level, shall have those portions of their walkway and platform edges that are within six feet (6') of the roof edge equipped with railings and toeboards, or, as an alternative, railings and toeboards shall be installed on the tank edges which are within six feet (6') of the walkways or platforms. Provided, however, that toeboards shall not be required on that side of a platform that faces the peak of the roof.
(g) When duties require an employee to travel on or over reservoir roofs, walkways shall be installed. 
(h) Tank roofs, platforms, walkways and stairways shall be kept clear of loose material or equipment except that sampling and gaging equipment may be kept on tank roofs in special racks or containers. Oil spills shall be cleaned up to prevent fire and slipping hazards. 
(i) When in the open position the covers of gage, sampling and manhole openings in tank roofs shall be securely attached to the roof or roof opening fixture to prevent their falling. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (a)-(c)(3), subsection redesignation, amendment of subsections (d)-(f), (g) and (i) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6804. Stationary Tank Maintenance.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6805. Drainage, Dikes and Walls for Aboveground Tanks.
Note     •     History

(a) Drainage, dikes and walls for aboveground tanks shall be provided. See General Industry Safety Orders, Section 5595.
(b) Diversion walls and dikes shall not have roadway or walkway openings except temporary openings for equipment during repairs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6806. Tank Openings Other Than Vents for Aboveground Tanks.
Note     •     History

See General Industry Safety Orders, Section 5596.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6807. Underground Tanks.
Note     •     History

(a) Installation. See General Industry Safety Orders, Section 5597.
(b) Vents for underground tanks. See General Industry Safety Orders, Section 5598.
(c) Tank openings for other than vents for underground tanks. See General Industry Safety Orders, Section 5599.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6808. Installation of Tanks Inside of Buildings.
Note     •     History

See General Industry Safety Orders, Section 5600.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6809. Supports, Foundations and Anchorage for All Tank Locations.
Note     •     History

See General Industry Safety Orders, Section 5602.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 10. Gas and Vapor Testing
§6810. Gas and Vapor Testing.
Note     •     History

NOTE

Authority  cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-6-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Reprinting of text due to technical reasons (Register 81, No. 38).
3. Repealer of article 10 and section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 11. Opening and Blinding Pipe Lines and Equipment
§6815. Opening Pipe Lines and Equipment.
Note     •     History

(a) Before opening lines or other equipment the pressure shall be reduced to atmospheric or as near atmospheric as is practical. Employees shall be informed of the hazards due to the contents of lines or equipment and instructed as to the necessary precautions to be taken.
(b) Lines and equipment containing flammable liquids shall be emptied of their contents, washed out, or steamed before being opened, as is practical.
(c) Precautions shall be taken to prevent ignition by eliminating or controlling sources of ignition before opening lines or equipment where flammable liquids or vapors may be present.
NOTE

Authority  cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Originally published 7-15-46 (Register 4).
2. Amendment filed 1-20-48 (Register 11, No. 3).
3. Repealer of opening Note, amendment of subsections (a)-(b), repealer and new subsection (c), repealer of subsections (d)-(e) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6816. Blinding or Isolating of Pipe Lines and Equipment for Entry.
Note     •     History

(a) Isolation of equipment shall be accomplished by blinding or disconnecting and disaligning. Where equipment, operations or conditions will not allow blinding or disconnecting and disaligning, double blocking with a bleeder (located between the block valves) may be utilized to isolate pipelines or equipment under the following conditions:
(1) Written standard operating procedures must be approved by the location management and be available where the double blocking bleeder system will be used.
(2) Block valves used in double blocking bleeder systems shall be monitored for leakage while employees are in the confined space.
(3) Double block valves shall be tagged and locked in the closed position. The bleeder shall be tagged and locked in the open position.
(4) The bleeder valve shall be checked to ensure that it is not plugged and is functioning properly.
(5) Any leakage through the bleeder valve shall require a re-evaluation of the job before work continues.
(6) Discharge of leakage through the bleeder valve shall be directed so as not to create a hazard if the block valve fails.
(7) Before the double block valve(s) is opened, a qualified person shall determine that it is safe.
(b) Cold water, air and foam lines need not be blinded or disconnected, but shall be provided with block valves.
(c) Blinds shall be of sufficient strength and so installed as to provide safe conditions of pressure, temperature and service.
(d) Lines which are blinded shall be clearly identified.
NOTE

Authority  cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 12. Hazardous Substances
§6821. Hazardous Substances.
Note     •     History

See General Industry Safety Orders, Section 5194, Hazard Communication.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and section heading, repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6822. Corrosives.
Note     •     History

(a) See General Industry Safety Orders, Section 5162.
(b) Safety shower and eyewash fountain locations shall be made conspicuous by special marking, signs, or other identification.
(c) When samples of corrosives are carried or transported in breakable bottles from one part of a plant to another part of a plant, as from a process unit or tank car to the laboratory, the bottles shall be transported in a safe container having individual compartments and a strong carrying handle. The container shall be plainly marked or tagged for identification, and it shall be vented or so constructed that a gas or vapor pressure will not build up within the secondary container.
(d) Where corrosive liquids are regularly or frequently handled in open containers or drawn from reservoirs or pipelines, means shall be provided to neutralize or dispose of spills and overflows promptly and safely.
(e) Sampling and Gaging.
(1) Employees shall be instructed  in the proper procedures for sampling or gaging.  These instructions shall include the use of personal protective equipment to be furnished by the employer and worn by the employee. (See General Industry Safety Orders Section 5144 and Article 10.)
(2) Sampling stations shall be designed, installed and maintained to prevent exposure to employees to harmful substances. Warning signs or legends shall be conspicuously posted where the substance being sampled or gaged is corrosive.
(3) Provisions shall be made to promptly dispose of spills, overflows, and leakage at the sampling or gaging station.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (a), amendment of subsections (b)-(c), repealer of subsections (d)(1)-(3) and new subsections (d)-(e)(3) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6823. Leaded Gasoline Stationary Tanks.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 13. Drainage
§6828. Drainage.
Note     •     History

(a) Means shall be provided and used to promptly and safely dispose of oils, oil-water mixtures, liquid corrosives, or toxic liquids resulting from leaks, spills, maintenance activities or operations where the presence or accumulation of such liquids endanger employees.
(b) Provisions shall be made to prevent surface openings or manholes of underground drainage or sewer systems from liberating flammable gases or vapors where such liberated gases or vapors may reach a source of ignition.
(c) The outlets of blow-downs shall be located so as not to endanger employees. 
(d) Where equivalent protection is not provided by process piping, means shall be provided for draining vessels in refining units in flammable liquid service. Drains shall discharge to a safe place.
(e) Drainage sumps, pits and ponds for collecting oil or oil and water mixtures shall be in a safe location away from probable sources of ignition and where the exposure of employees to the danger of fire is held to a minimum.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Originally published 7-15-46 (Register 4).
2. Amendment filed 1-20-48 (Register 11, No. 3).
3. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 14. Agitation and Heating of Liquids in Tanks
§6833. Agitation and Heating of Liquids in Tanks.
Note     •     History

Tanks in which corrosive or combustible liquids at temperatures above 1400 F. are agitated or heated by steam, applied directly or indirectly; or in which such liquids are agitated by means of air under pressure, shall have the steam and air control equipment located where employees operating such equipment will not be exposed to the hazards of splashes or overflows. Where not possible to so locate the control equipment, equivalent protection shall be provided by means of a shelter with a safe means of access.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 15. Process Equipment - Maintenance
§6838. Process Equipment - Maintenance.
Note     •     History

(a) Scaffolding, staging or rigging shall not prevent safe access to the parts of a processing unit nor hamper the operation of, controls in case of an emergency, and shall be promptly removed when no longer needed.
(b) When wood or other combustible scaffolding, staging or rigging is erected near hot equipment, it shall be so spaced or insulated from such equipment that it will not ignite nor char by contact or by radiated heat.
(c) Vessel manhole covers which are installed vertically and which are not provided with hinges, davits or other means of support, shall be fitted with handles or other suitable means for connecting lifting devices when the absence of such devices constitutes a hazard.
(d) Where employees are required to enter a vessel through a manhole on the side or end of the vessel, and where the bottom of such manhole is over three feet six inches (3'6”) above the ground or floor level, a temporary or a permanent platform shall be provided. Such platform shall be located not more than three feet six inches (3'6”) below the bottom of the manhole through which entry is to be made.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading and subsection (a), repealer of subsection (c), subsection redesignation and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6839. Condenser and Cooling Boxes.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 16. Pumps, Pipe Lines, Fittings and Valves
§6844. Pumps.
Note     •     History

(a) Drainage shall be provided to prevent the accumulation of oils around pump bases.
(b) When the service experience of a pump indicates that the stuffing box is inadequate to prevent the possibility of liquid spray creating a hazard to employees, and such pump handles a flammable liquid, a corrosive, or a liquid at a temperature over 2000 F., shields, covers, or equivalent protection shall be provided.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (a), repealer and new subsection (b), repealer of subsection (c) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
2. Amendment of article 16 heading filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
§6845. Piping, Fittings, and Valves.
Note     •     History

(a) The design, fabrication, and assembly of piping systems installed prior to July 26, 2006, shall comply with General Industry Safety Orders and ASME B31.3-1990, Chemical Plant and Petroleum Refinery Piping herein incorporated by reference. The design, fabrication, and assembly of piping systems installed on or after July 26, 2006, and the testing, inspection, and repair of all piping systems shall comply with Article 146 of the General Industry Safety Orders; API 570, Piping Inspection Code, Second Edition, October 1998, Addendum 3, August 2003; and ASME B31.3-2002, Process Piping; herein incorporated by reference. 
(1) Excluded and optional piping systems specified in Section 1.2.2 of API 570-2003, are subject to inspection and testing by the employer in accordance with good engineering practices. 
(b) Safe access shall be provided to all valves, or their remote controls, whenever it is necessary to operate them. 
(c) Valves or their remote controls shall be provided with means of ready and safe access when required by the frequency of operation or the necessity of emergency operation. The valves included in this classification are: 
(1) Valves manually operated as often as once a shift. 
(2) Valves on fuel lines to a plant, unit, or internal combustion engine. 
(3) Valves on lines, the emergency operation of which may be necessary for the safety of employees. 
(d) Manually operated valves required for the emergency shutdown of units shall be maintained in good operating condition and provided with ready and safe access. Such valves shall plainly indicate whether they are open or closed. 
(e) Quarter turn valves shall be provided with a means to indicate whether the valve is in the open or closed position. 
(f) If a permanently attached handle is used on a quarter turn valve, it shall be installed or placed on the valve in such a position that the handle is at right angles to the line when in the closed position, and parallel with the line when in the open position. If compliance with the provisions of this subsection obstructs a passageway or walkway, the handle may be bent so as to provide clearance. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading, repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
2. Amendment of section heading and section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
§6846. Valves.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b), (b)(3), (d) and (e) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
2. Repealer filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
Article 17. Equipment Leakage and Breakage
§6851. Leakage and Spill Control.
Note     •     History

(a) Leaks or spills from pipe lines, piping, tanks, or other equipment shall, where possible, be promptly stopped. Reasonable efforts shall be made by inspection and maintenance to prevent the occurrence of such leaks or spills.
(b) Tanks receiving transfers of Class I liquids from main line pipe lines or marine vessels shall be either:
(1) Gauged at frequent intervals while receiving transfer of product and communications maintained with main line pipe line or marine personnel so that flow can be promptly shut down or diverted, or
(2) Equipped with a high level alarm located where personnel are on duty during the transfer and can promptly arrange for flow stoppage or diversion.
(c) In the event the flow cannot be stopped or diverted as in Section 6851(b), affected employees in the hazardous area shall be immediately notified and evacuated as necessary.
(d) Temperatures of flammable or combustible liquids or gases in processing units shall be monitored, controlled, and alarms provided where employees could be exposed to hazards resulting from exceeding safe operating conditions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 8-6-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Reprinting of text due to technical reasons (Register 81, No. 38).
3. Amendment of subsection (c) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6852. Tubular Gage Glasses.
Note     •     History

(a) Tubular gage glasses shall not be used for pressures in excess of 15 psig when containing:
(1) Harmful concentrations of hazardous substances.
(2) Liquids at temperatures above one hundred forty degrees Fahrenheit (140°F.) which remains in a liquid state when released to the atmosphere.
(3) Fluids heated to or above their autoignition temperatures.
(b) Tubular gage glasses that are operated at pressures in excess of 15 psig shall be guarded against accidental impact when located within seven feet (7') above or three feet (3') laterally from a working level or passageway.
(c) Tubular gage glasses which contain hazardous substances, or those which are operated in excess of 15 psig, shall be provided with valves that can be readily closed in case of glass breakage. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 18. Unfired Pressure Vessels, Boilers, and Fired Pressure Vessels and Pressure Relief Valves
§6857. Pressure Vessels and Boilers.
Note     •     History

(a) All unfired pressure vessels, boilers, and fired pressure vessels shall meet all applicable requirements of the Unfired Pressure Vessel Safety Orders and the Boiler and Fired Pressure Vessel Safety Orders unless the design, material and construction of the pressure vessel or boiler is accepted  by the Division as equivalent to the ASME Code.
(b) Maximum allowable working pressure. 
(1) The employer shall establish, or cause to be established, the maximum allowable working pressure of each boiler or pressure vessel in accordance with the rules of recognized pressure vessel codes applicable to the pressure vessel service involved. 
(2) No pressure vessel shall be operated above its maximum allowable working pressure at coincident design temperature(s). 
(3) The maximum allowable working pressure for each vessel shall be evaluated at intervals sufficiently frequent to give due consideration to corrosion and other factors causing deterioration. The original code of construction shall be used to establish the allowable stresses and joint efficiencies when re-rating, de-rating or calculating the pressure boundary minimum thickness of a vessel. 
(c) Maintenance, inspection, and repair procedures. 
(1) Maintenance, inspection, and repair procedures of unfired pressure vessels shall comply with API 510, Pressure Vessel Inspection Code, Eighth Edition, June 1997, Addendum 4, August 2003; API 580, Risk-based Inspection, Recommended Practice, First Edition, May 2002; API 579, Fitness-for-Service, Recommended Practice, First Edition, January 2000; or the National Board Inspection Code/American National Standard ANSI/NB-23, 2004 Edition; which are hereby incorporated by reference. 
(2) A written risk-based inspection program, as described in API 510-2003 and API 580-2002, may be used to increase the internal or on-stream inspection limits required by API 510-2003 Section 6.4 to a maximum of 15 years, or the external inspection interval described by API 510-2003, Section 6.3 to a maximum of 10 years, provided it is reviewed and accepted by the Division before the program is implemented, and every three years thereafter. Any revisions made to the accepted risk-based inspection program must also be submitted, reviewed, and accepted by the Division prior to implementation of these revisions. 
(A) The risk-based inspection program shall not apply to pressure vessels and boilers that require “Permits to Operate” issued by the Division. 
(B) The plan shall not apply to safety relief devices. 
(C) The program shall indicate: 
1. Acceptance by signature of plant management. 
2. Involvement of plant operating, engineering, inspection, and maintenance personnel by signature. 
3. The type of vessels covered. 
4. The methodology used to create the program. 
5. A listing of the vessels covered by the program, with a clear indication of those vessels that have an inspection interval beyond the 10-year or half remaining life as required by API 510-2003 Section 6.4. 
(3) A written fitness-for-service program, as described in API 510-2003 and API 579-2000, may be used to evaluate pressure vessels for continued service when found to have degradation that could affect their load carrying capability, provided it is reviewed and accepted by the Division before the program is implemented, and every three years thereafter. Any revisions made to the accepted fitness-for-service program must also be submitted, reviewed, and accepted by the Division prior to implementation of these revisions. 
(A) The program shall indicate: 
1. Acceptance by signature of plant management. 
2. The type of vessels covered. 
3. How fitness-for-service results are documented. As a minimum, this documentation shall include acceptance of the fitness-for-service evaluation by signature of a technically competent company employee that is designated to review and accept the evaluation. 
4. Involvement of plant operating, engineering, inspection, and maintenance personnel by signature. 
5. The procedures in place for notifying the Division within the next business day of initiating a level 2 or 3 fitness-for-service evaluation as described in API 579-2000. Level 2 and 3 evaluations are subject to the acceptance of the Division. If the review is subsequent to returning the vessel to service, the Division may, in its reasonable discretion, require the unit be removed from service. 
(4) Repair and alterations. 
(A) Repair and alteration of boilers and pressure vessels shall meet all applicable requirements of the Unfired Pressure Vessel Safety Orders and the Boiler and Fired Pressure Vessel Safety Orders.
(B) Repairs and alterations of pressure vessels performed in a state other than California shall be done by a company with a valid National Board `R' stamp and inspected by an inspector holding a valid National Board Commission and Certificate of Competency (or equivalent) for the state in which the work is being performed. The repair or alteration shall conform to all the requirements of this section and be stamped in accordance with ANSI/NB-23-2004. 
(C) Repairs. 
1. Repairs shall be performed by one of the following: 
a. An organization in possession of a valid ASME Certificate of Authorization;
b. An organization in possession of a valid National Board Certificate of Authorization;
2. The API 510-2003 Code shall not be used for the repair of boilers and pressure vessels as follows:
a. Boilers and fired pressure vessels as defined in the Boiler and Fired Pressure Vessel Safety Orders;
b. Vessels as defined in the Unfired Pressure Vessel Safety Orders, Section 460;
c. Vessels used in compressed air, LPG, CNG, LNG, and NH3 services as defined in the Unfired Pressure Vessel Safety Orders.
3. The employer making the repair in accordance with API 510-2003 or ANSI/NB-23, 2004 shall provide for inspection, documentation and certification of the work and shall ensure prior authorization for the repair by a Qualified Inspector as defined in the Unfired Pressure Vessel Safety Orders.
4. Inspection and certification of repairs shall be made by an inspector, regularly employed by one of the following:
a. The Division;
b. A City or County;
c. The Authorized Inspection Agency of the organization making the repair;
d. The Authorized Inspection Agency which insures the boiler or pressure vessel; or
e. The owner/user inspection Agency.
5. Fillet weld patches shall not be permitted unless acceptable to the Division. Acceptance by the Division will be based on the materials, design and construction providing safety equivalent to the original code of construction.
(D) Alterations.
1. Alterations to pressure vessels shall be performed in compliance with ANSI/NB-23-2004, unless the material design and construction are accepted by the Division as equivalent to the ASME Code.
2. No alteration to a pressure vessel shall be made until authorized by a Qualified Inspector as defined in the Unfired Pressure Vessel Safety Orders.
3. Alterations shall be performed by one of the following:
a. An organization in possession of a valid ASME Certificate of Authorization, provided that the alteration is within the scope of such authorization, and provided that the organization's alteration program has been reviewed and accepted by the Division. 
b. An organization in possession of a valid Certificate of Authorization issued by the National Board of Boiler and Pressure Vessel Inspectors to use the National Board “R” symbol stamp provided that the alteration is within the scope of such authorization, and provided that the organization's alteration program has been reviewed and accepted by the Division.
4. For alterations performed at a field site, the scope of such authorization shall include field fabrication.
5. The employer making the alteration shall provide for inspection, documentation, and certification of the work and shall ensure prior authorization of the alteration by a Qualified Inspector holding a valid Certificate of Competency issued by the Division.
6. Inspection and certification of alterations shall be made by a Qualified Inspector, employed by one of the following:
a. The Division;
b. A City or County;
c. The Authorized Inspection Agency of the organization making the alteration;
d. The Authorized Inspection Agency which insures the boiler or pressure vessel; or
e. The owner/user inspection agency, provided the work was not performed by the Qualified Inspector's employer.
7. A pressure test shall be applied after an alteration as required by the applicable ASME Code section. An alternative test or examination may be used subject to prior acceptance by the Division.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (e)(3) and new subsections (e)(3)-(e)(3)(F) and Note filed 2-26-93; operative 3-29-93 (Register 93, No. 9).
2. Amendment of article heading and section heading, repealer and new text filed 9-6-94; operative 10-6-94 (Register 94, No. 36)
3. Amendment of section heading and section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
§6858. Pressure-Relieving Devices.
Note     •     History

(a) All pressure vessels shall be protected by a pressure relief device. Such relief devices shall be set to prevent the pressure in the vessel from exceeding limits established by the ASME Code or, where permitted, the Unfired Pressure Vessel Safety Orders. Pressure vessels that are connected together in a system with piping not containing valves that can isolate any pressure vessel while connected to its source or pressure may be considered as one unit. 
(b) A vessel having a stop valve that can isolate the vessel from its pressure-relieving device, as permitted in subsection (c), shall be protected by an additional safety device, if the vessel may become entirely filled with liquid, and if it is possible that pressure may be generated by continued input of heat through exchanger tubes or similar devices or by exposure to sun or adjacent hot equipment. This additional safety device shall be connected to the vessel at all times except as permitted in subsection (c)(3). The additional safety device may be set at a pressure not greater than one and one-quarter times the maximum allowable working pressure. 
(c) Stop Valves Between Pressure-Relieving Device and Vessel. 
(1) A vessel in which pressure can be generated because of service conditions shall have no stop valve between the vessel and its pressure-relieving device except for inspection or repair purposes, as permitted in subsection (c)(3), or except in cases where multiple pressure-relieving devices are provided and the stop valves are so constructed that they can not be operated so as to reduce the pressure-relieving capacity below that required. 
(2) A vessel in which the pressure originates from an outside source exclusively may have its pressure-relieving device on the vessel or at any point on the system between the vessel and its source of pressure, provided that the pressure-relieving device is set to function at not over the maximum allowable working pressure of the vessel. Under these conditions there may be a stop valve between the vessel and the pressure-relieving device which need not be locked open if the stop valve also closes the vessel from its source of pressure. Any stop valve between the pressure-relieving device and the vessel which does not close the vessel from its source of pressure shall meet the requirements given in subsection (c)(1) above. 
(3) Stop valves may be installed between a pressure relief device and the operating vessel for the purposes of inspection, repair and/or replacement of the pressure relief device. Where stop valves are installed, the employer shall develop, implement, and maintain a written plan containing all of the following: 
(A) Procedures to ensure that stop valves are open and locked or sealed during normal operations and are not to be closed except by a qualified person(s). 

NOTE: In the case of multiple relief device installations having spare capacity or spare relief valves, the stop valve can be closed on the inactive relief valves providing sufficient system relief capacity is maintained. 
(B) Procedures to minimize the frequency of closing stop valves while the vessel is in service. Stop valves shall remain open and locked or sealed until a replacement pressure relief device is available for installation. 

Exception:Stop valves may be closed for emergencies such as pressure relief device failure. 
(C) Procedures to ensure that a replacement pressure relieving device or needed replacement parts are readily available prior to closing the stop valve and removing the pressure relief device. An index for the location of all stop valves subject to this section shall be maintained. 
(D) Before the removal of a pressure relief device from operating equipment, facility management shall review and approve a written operations plan for closing the stop valves. The plan shall incorporate, at a minimum, the following elements: 
1. An engineering review to ensure that no increase in the capacity, pressure, severity, and/or operating condition of the unit or vessel will affect the safety of employees or equipment while the pressure relief device is out of service; 
2. Provisions for written notification and operational procedures to unit controllers, operators and other affected personnel, including the safeguards and estimated time the valve will be out of service; 
3. Identification of the functional position(s) or employees having knowledge of the operating equipment and pressure-relieving device(s) authorized to approve closing a stop valve; and, 
4. Identification of the qualified person(s) or functional position(s) authorized to actually close and then reopen a stop valve. 
(E) A written overpressure relief plan for each safety relief device shall be developed prior to closing the stop valve. The plan shall include: 
1. The means by which overpressure-relief protection will be provided during the time that the pressure relief device is out of service; 
2. The procedures to be followed to minimize the time that the stop valve will be closed; 
3. The operating conditions, limitations, and other safety measures which are required to be observed to protect employees and equipment; and, 
4. In the event that the plan requires a standby person to manually operate a vent to the atmosphere, a replacement safety relief valve shall be available for installation prior to closing the valve. Employees shall be protected from hazards as identified by Article 10 of the General Industry Safety Orders. 
(F) The written overpressure-relief plan shall be made available to the Division upon request during the course of the work operation to which it applies. 
(4) Valves as permitted above shall not be gate valves installed with the stems pointing above the horizontal plane of the valve body or globe valves installed so that the disk will open against pressure. This limitation need not apply to stop valves closing the vessel from its source of pressure. Other provisions acceptable to the Division may be used to assure that the valve is in the open position. 
(d) Capacity of Pressure-Relieving Devices. 
(1) The aggregate capacity of the pressure relief devices applied to any pressure vessel or system shall be sufficient to carry off the maximum quantity of material that can be generated in, or supplied to, the attached equipment without permitting a rise in pressure within the vessel above the limits permitted by the ASME Code. 
(2) Pressure relief devices designed to relieve hydrostatic pressure caused by heat as outlined under subsection (b) shall have sufficient relieving capacity to prevent a hydrostatic pressure within the vessel in excess of 1.33 times the maximum allowable working pressure. 
(e) Discharge lines from pressure relief devices shall be secured against movement. The lines shall be designed to facilitate drainage or shall be fitted with drains to prevent liquid entrapment in the discharge side of the relief device. The lines shall discharge at a location or in a manner to prevent injury to employees. The size of the discharge lines shall be such that any pressure that may exist or develop will not reduce the relieving capacity of the relief device below that required to properly protect the vessel. No valve shall be placed in a discharge line from a pressure relief device except when such discharge line discharges to a common header, in which case such valve shall be installed in compliance with subsection (c)(4) and locked or sealed open. Such valves may be closed only as allowed by subsection (c)(3). 
(f) The employer shall maintain each pressure relief device installed on operating equipment so as to ensure the proper functioning of the device at the intended pressure. Such maintenance shall include inspection, testing, and the repair of the pressure relief device at frequencies as required by the service conditions. 
(g) Pressure relief valve settings shall be changed only by authorized employees assigned such duties. 
(h) A permanent and progressive record for each pressure vessel shall be maintained at the plant or the field office where the vessel is located. The record shall be available for inspection by the Division and shall include the following: 
(1) The serial or identification number of the vessel. 
(2) The established maximum allowable working pressure of the vessel. 
(3) The coincident design temperature(s), 
(4) Manufacturer's data reports, when obtainable, and any calculations used in establishing the maximum allowable working pressure. 
(5) Such documents as necessary to record the results of tests, inspections, repairs, or alterations. Information on maintenance activities and events affecting the pressure vessel's integrity shall be included. 
(i) Each pressure relief device in service shall have a serial or identification number stamped upon it and, in addition, a metal plate or tag shall be attached showing the pressure setting and the date the device was installed in service. A permanent and progressive record showing the serial or identification number, the location, the pressure setting, the date of installation in service, and the date of testing shall be maintained at the plant or field office where the pressure relieving device is located or at the supervising office. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
Article 19. Identification of Equipment
§6862. Identification of Equipment.
Note     •     History

Identification of vessels, tanks or pipelines containing hazardous substances shall comply with General Industry Safety Orders, Sections 5194 and 3321 respectively.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading, repealer and new text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 20. High-Pressure Hydrocarbons
§6867. High-Pressure Hydrocarbons.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of article 20 and section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 21. Gas Compressors and Engines
§6872. Gas Compressor or Gas Processing Plant Protection.
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6873. Gas Compressors.
Note     •     History

(a) Where a compressor can exceed the maximum allowable working pressure of the system, a pressure relief device shall be provided. If valves are installed under the pressure relief device for maintenance or inspection, alternate means of providing protection to the system shall be employed when the valve is in the closed position.
(b) Where liquid may be present in the incoming gas to compressors, a means shall be provided and a device installed to give either audible warning or shut down the compressors in case the liquid exceeds a predetermined level.
(c) Gas lines which enter plants and which are connected to compressor intakes shall be provided with shut-off valves installed in a safe location, and shall be so identified.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (a), repealer of subsection (b), subsection redesignation, amendment of subsections (b)-(c), repealer of subsection (e) and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6874. Stationary Internal Combustion Engines.
Note     •     History

(a) Air and gas compressor engines of over 30 horsepower shall be provided with means other than manual for starting, provided, however, that manual starting may be used in emergencies.
(b) In addition to the throttle valve, other means shall be provided by the use of one or more valves, blinding, or other provisions giving equivalent safety, to prevent fuel gas entering cylinders and actuating moving parts while maintenance work is being performed upon an internal combustion engine, when such work would expose the employee to possible injury.
(c) The main fuel gas line to the gas compressor engines, and other internal combustion engines located in gas compressor buildings, shall be equipped with a suitable master shut-off valve located outside the building and shall be so identified.
(d) There shall be a check valve provided on the engine or in the air-starting line adjacent to each internal combustion engine cylinder using compressed air as a means of starting.
(e) The compressed air supply for starting an engine shall be prevented from so functioning while maintenance work is being performed which may endanger employees. This shall be accomplished by one of the following means:
(1) Disconnect and disalign the starting air line.
(2) Double-block and bleed the starting air line.
(3) Other means which give equally effective protection to employees.
(f) An effective overspeed device shall be installed and maintained in an operative condition on internal combustion engines driving gas compressors.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 22. Loading and Unloading Platforms and Operations
§6879. Loading Platforms.
Note     •     History

(a) Safe access shall be provided to the top of tank cars, trucks and trailers, if employees must go to such locations during loading operations.
(b) Where fixed platforms are provided for access, they shall be at least three feet (3') wide. It is permissible to install openings or equipment in the platform if an unobstructed passageway at least sixteen inches (16”) wide and six feet six inches (6' 6”) high is maintained along the length of the platform.
(c) There shall be at least one stairway or ramp from the platform to the ground. If the loading platform is more than twenty-five feet (25') long, there shall be at least one stairway or ramp no farther than ten feet (10') from each end of the platform.
(d) Access from the fixed platform to the loading position on tank cars, tank trucks or trailers shall be by any one of the following methods:
(1) By a gangplank hinged or otherwise suitably fastened to the platform.
(A) When not in use, gangplanks shall be latched or otherwise securely held in a raised position, except where they may be safely left in a lowered position.
(B) Gangplanks shall be provided at least six feet six inches (6'6”) vertical clearance and shall be at least twenty-four inches (24”) wide, and shall be provided with standard railings or other safeguards that will adequately protect employees from falling.

Exception: Toeboards are not required on gangplanks.
(2) By stepping directly from the fixed loading platform to the side catwalk or top of the tank truck or trailer, if the vertical distance stepped is no more than fifteen inches (15”), and if the combined vertical and horizontal distance stepped is no more than twenty inches (20”).
(A) Loading from side catwalks less than six inches (6”) wide is prohibited.
(B) Loading from the side of a truck or trailer is prohibited, unless safe access or fall protection is provided.
(C) Unobstructed passageway shall be provided from the fixed loading platform to the side catwalk used for loading. This passageway shall be at least sixteen inches (16”) wide and six feet six inches (6'6”) high.
(3) By other means affording equivalent protection.

Exceptions: 
(1) Locations where trucks and trailers are loaded through bottom connections.
(2) Locations where trucks or trailers are loaded during emergencies.
(e) When it is necessary for employees to go on the top of tank trucks or trailers during loading operations a vertical clearance of at least six feet six inches (6'6”) shall be provided between the top of the tank truck or trailers and fixed members or fixed parts of the loading rack; provided, however, that this does not apply to movable loading spouts or arms.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of articel heading, section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6880. Loading and Unloading Operations.
Note     •     History

(a) During the loading or unloading of flammable liquids into or from truck or trailer tanks, no repairs, adjustments, or other operations shall be performed upon a truck, truck engine, trailer, truck tank, or trailer tank.
(b) During the loading or unloading of a tank truck or trailer, the truck engine shall be stopped and the cab shall be unoccupied unless the cargo is moved by means of the truck engine, or an auxiliary engine, with controls located in the cab, in which case the cab may be occupied by the truck operator.
(c) When a tank truck engine or an auxiliary internal combustion engine is being used to furnish power to transfer a flammable liquid, the vapors that may be liberated by such transfer shall be prevented from reaching the truck or auxiliary engine. If necessary, the vapors shall be discharged to a safe location.
(d) During the loading or unloading of a tank truck or trailer a qualified person shall be in control of the operation.
(e) In loading or unloading tank cars, tank trucks and trailers, provision shall be made for the safe disposal of the liquids released by overflow and/or from hoses, spouts or lines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6881. High-Vapor Pressure Hydrocarbons.
Note     •     History

(a) High vapor pressure hydrocarbons shall not be loaded or unloaded into or from tank cars or trucks where flammable vapors may reach a source of ignition.
(b) Each loading facility shall be provided with hose approved for such loading. Unless hose of the all metal type is used, the loading line and hose shall be so equipped and connected that if the hose should break the liquid stream will be shut off without excessive liberation of liquid and vapors. This may be accomplished by the operation of automatic shut-off valves; a shut-off valve operated by remote manual control; or other equally effective means. 
(c) The loading line and hose between the loading  valve and tank car or truck tank valve shall be fitted with a bleeder line to release the contents to a safe place after loading is completed.
(d) Each loading facility shall be provided with a vapor return hose or other connections for returning vapors from tank cars, tank trucks or trailers being filled. The vapor hose or other connections shall be so equipped and connected that vapors from a return vapor line will not be liberated in excessive quantities should the hose break. Vapors not returned through a return vapor line shall be released to a safe place.
(e) Positive displacement type pumps used for the transfer of high vapor pressure hydrocarbons shall have a pressure-relief device.
(f) The unloading line shall have a check valve installed adjacent to the discharge end of the unloading hose or pipe to prevent return flow of liquid or vapor in case of hose breakage. 
(g) A vent or drain connection shall be installed for the purpose of bleeding off liquid or vapor from the hose after unloading. The vent or drain shall discharge to a safe place.
(h) Piping, valves and regulators at high vapor pressure hydrocarbon truck loading facilities shall be protected from damage by moving vehicles.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and text and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 23. Laboratories and Pilot Plants
§6886. Laboratories and Pilot Plants.
Note     •     History

(a) Fired experimental equipment, fired pilot plant units, and unfired equipment which is a part of, and adjacent to, such experimental or pilot plant units, shall be located in an open area or enclosure isolated from unrelated gas or flammable liquid processing equipment. This shall not preclude the temporary use of operating equipment for experimental or pilot plant purposes when protection equivalent to isolation is provided. “Experimental equipment,” for the purpose of this subsection, shall not include equipment used in routine testing or analysis.
(b) Safe access shall be provided to elevated parts of equipment where employees are required to perform work.
(c) Containers of samples, stocks, or cuts of flammable liquids required for current activities shall be kept in a designated place isolated from sources of ignition, and shall be marked or labeled to identify them as flammable liquids.
(d) A separate area shall be provided for the storage of petroleum samples. Samples of flammable liquids not required for current use, but which must be preserved, shall be stored in such a separate area.
(e) Flammable liquid samples shall be disposed of safely. When sinks are used for the disposal of flammable liquids the drains to the sinks shall be properly trapped and vented.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6887. Extractors and Centrifuges.
Note     •     History

(a) Each centrifugal extractor or centrifuge shall be equipped with a metal cover or access door of at least No. 20 gage, or its equivalent which shall entirely cover the opening of the outer shell.
(b) Each centrifugal extractor or centrifuge shall be equipped with an interlock that will disconnect the source of power to the drive motor and prevent starting rotation when the access door to the machine is open. The interlock shall also prevent opening of the access door or cover while the centrifugal units are rotating. The interlock shall allow the operator to rotate the unit by manual control or inch the unit for loading or unloading while the access door or cover is open.
(c) Each centrifugal extractor or centrifuge shall be equipped with a mechanically or electrically operated brake to stop the units when the driving power is shut off.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 24. Wharves and Piers
§6891. Loading and Unloading.
Note     •     History

Loading and unloading at wharves and piers shall comply with General Industry Safety Orders, Sections 5620 through 5624.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of article heading, repealer and new section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Article 25. Miscellaneous Safety Practices
§6892. Flarebacks.
Note     •     History

See General Industry Safety Orders, Sections 3311.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New article 25 heading and section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6893. Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels.
Note     •     History

See General Industry Safety Orders, Sections 3312.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6894. Working Areas.
Note     •     History

See General Industry Safety Orders, Sections 3272 and 3273 except as specified otherwise in these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
§6896. 
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Originally published 7-15-46 (Register 4).
2. Amendment filed 1-20-48 (Register 11, No. 3).
3. Repealer of article 25 heading and section and new Note filed 9-6-94; operative 10-6-94 (Register 94, No. 36).
Subchapter 17. Mine Safety Orders
INTRODUCTION
§6950. Title.
Note     •     History

These Orders shall be known as the Mine Safety Orders.
NOTE

Authority cited: Sections 6312, 6500, 6502, Labor Code.
HISTORY

1. Repealer of Subchapter 17, “Quarry and Open Pit Mine Safety Orders,” (Articles 1-20, not consecutive ( §§ 7200 through 7348, not consecutive)) and new “Mine Safety Orders,” (Articles 1-54, not consecutive), ( §§ 6950 through 7264), filed 5-8-72 as an emergency; designated effective 5-15-72 (Register 72, No. 20). Certificate of compliance included. For prior history, see Register 53, No. 4 and Register 71, No. 17.
§6951. Superseded Orders.

These Mine Safety Orders supersede all previous Mine Safety Orders published in California Administrative Code, Title 8, Chapter 4, Subchapter 12, and the Quarry and Open Pit Mine Safety Orders, Chapter 4, Subchapter 17.
§6952. Purpose.

The Mine Safety Orders are designed to promote safety at mines and are promulgated as standards for the guidance of employers and employees. They are consistent with the policy expressed in Section 21, Article XX, of the Constitution of the State of California--a policy which includes “full provision for securing safety in places of employment.”
§6953. Excerpts from the California Labor Code.

The following provisions of Division 5, Part 1, Chapter 2, of the California Labor Code, 1969 Edition, are applicable to all employments:
“Section 6401. Every employer shall furnish and use safety devices and safeguards, and shall adopt and use practices, means, methods, operations, and processes which are reasonably adequate to render such employment and place of employment safe. Every employer shall do every other thing reasonably necessary to protect the life and safety of employees.”
“Section 6406. No person shall do any of the following:
“(a) Remove, displace, damage, destroy or carry off any safety device, safeguard, notice, or warning, furnished for use in any employment or place of employment.
“(b) Interfere in any way with the use thereof by any other person.
“(c) Interfere with the use of any method or process adopted for the protection of any employee, including himself, in such employment or place of employment.
“(d) Fail or neglect to do every other thing reasonably necessary to protect the life and safety of employees.”
§6954. Application.
Note     •     History

(a) These orders establish minimum safety standards in places of employment at mines and premises appurtenant thereto.
Note: Unless otherwise designated in this subchapter, the phrase “division” refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency.
(b) At mines these Orders take precedence over any other Safety Orders of the Division with which they are inconsistent.
(c) Machines, equipment, processes, and operations not specifically covered by these Orders shall be governed by the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 6302(d), Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
§6955. Scope.

(a) The operations to which these Orders apply are those employed at mines in the extraction of minerals, either metallic or nonmetallic. These operations include:
(1) Prospecting, exploration, development, extraction of minerals, and other operations in connection therewith.
(2) Placer and hydraulic mining.
(3) Transportation of men, materials and equipment in areas and operations covered by these orders.
(4) Operations and maintenance of the equipment applicable to the foregoing.
§6956. Permits for Variations from These Orders.

(a) When the Division finds that, under such conditions as shall be specified, a variation from the terms of a Safety Order will give such freedom from danger as the employment reasonably permits, the Division upon written application, after investigation and such hearing as the Division may direct, may make and enter its order permitting such variation from the terms of the said Safety Order in a place of employment, upon such conditions as it may specify and upon the provision and use of such safety measures and appliances as shall in the judgment of the said Division secure the safety of employees. A copy of said order shall be posted conspicuously under glass at the place of employment and shall be maintained in legible condition during the time said order is in effect.
(b) An appeal from a decision of the Division concerning a permit for variation from these Orders may be made to the Industrial Safety Board.
(c) When the Division has reason to believe--or upon receipt of a complaint--that a variation does not provide such freedom from danger as the employment reasonably permits, the Division, after notice to the employer--and to the complainant where a complaint has been received--and after hearing, may continue in force, suspend, revoke, or modify the conditions specified in such order.
(d) Where death or serious personal injury at the place of employment appears in the judgment of the Division to be attributable to a variation from the terms of a Safety Order, the Division may set aside or amend said variation order after notice to the employer and such hearings as the Division may direct. Notice of such action shall be conspicuously posted at the place of employment.
(e) No declaration, act, or omission of the Division or of its representatives, other than a written order authorizing a variation as permitted under this Order, shall be deemed to exempt, either wholly or in part, expressly or impliedly, any employer or place of employment from full compliance with the terms of any Safety Order issued by the Division.
§6957. Responsibility of Independent Contractors.

Any employer performing work on a contractual basis at a location subject to these Orders is bound by these Orders, and shall acquaint himself with the hazards of the employment, and shall instruct his employees as to the hazards and necessary safeguards. 
EDITORIAL NOTE: The Federal metal and non-metallic Mine Health and Safety Mandatory Standards numbers have been included with the Mine Safety Order numbers. These sections and standards are indicated by a number such as (3-5). The Mine Safety Order number precedes the U.S. Bureau of Mines' number--example, 6965. (3-5). Some State Safety Orders have no Federal reference number but all Federal Mandatory Standards are covered by State Safety Orders. This arrangement will help the mine operators and their employees in complying with both the Federal and State Mine Safety Orders.
The Federal Mandatory Standard “Part” numbers are not included in the Section numbers, but are listed here for your information:
Part 55-- Open Pit Mining Operations
Part 56--Sand, Gravel, and Crushed Stone Operations
Part 57--Underground Mining Operations
The Mine Safety Orders are identified by headings such as:
“General”--Applies to both surface and underground mining operations.
“Surface”--Applies to surface mining operations only.
“Underground”--Applies to underground and surface facilities of underground mining operations.
Article 1. Definitions
§6958. Definitions.
Note     •     History

(a) The following definitions shall apply in the application of these Orders.
Approved. Approved by the Division of Occupational Safety and Health.
Berm. A pile or mount of material capable of restraining a vehicle.
Bulkhead. A tight partition or stopping in a mine.
Combustible. Capable of being ignited and consumed by fire. Wherever combustible substances or materials are mentioned in these Orders, flammable and extremely flammable substances and materials are included.
Competent Person. A person at least 21 years of age and having abilities and experience that fully qualify him for the duties he is assigned.
Division. The Division of Industrial Safety.
Extremely Flammable. Having a flash point of 20 degrees Fahrenheit or less, when tested by the Tagliabue open-cup method.
Face or Bank. The sides from the bottom or floor of a pit to the surface surrounding the pit. Where one or more benches or levels are used in a pit, each bench or level has a separate face.
Face--Underground. That part of any audit, tunnel, stope, or raise where excavating is progressing, or was last done.
Fire Resistant. Protected against fire by a covering at least one-half inch thick, of noncombustible materials, such as gunite, cement plaster, gypsum wallboard, asbestos, or other suitable material applied in a manner acceptable to the Division.
Fireproof. Fire resistant.
Fixed. The machine or device is fastened in place and is not moved about while being operated.
Flammable. Capable of being easily ignited or burning rapidly.
Flash Point. The particular temperature at which a material gives off flammable vapor in sufficient quantity to burn instantaneously at the approach of a flame or spark.
High Potential. More than 650 volts.
Highway. Any street, alley, or road, publicly or privately maintained and open to use for the public for purposes of vehicular travel.
Hoist--First Class. A hoist which is secured to a permanent, substantial foundation, and which is not intended to be moved from one location to another. It is used to lower and hoist men and materials.
Hoist--Material. A hoist for lifting, lowering, or pulling materials. It includes tugger-type and scraper hoists.
Jumbo. A mobile platform or series of platforms, usually on wheels, to provide work areas for men and the machines, tools, or materials being used.
Magazine. A building, other than the explosives manufacturing building, or other structures especially designed for the storage of explosives, or any cave or other structure adapted to the storage of explosives.
Man-Deck. An enclosed platform on a shaft conveyance for the transportation of employees.
Mineral. Any substance, organic or inorganic, found in nature as part of the earth and having sufficient value away from its natural location to be mined, quarried, or dug for its own sake or its own specific use.
Mine. An area of land from which minerals are extracted in non-liquid form.
Movable. The machine or device can be, and usually is, moved about in course of normal operations, but is too heavy to be carried. This includes self-propelled machines.
Permissible. Applied to any device, equipment, or appliance means that such device, equipment, or appliance is classed as permissible by the Mine Safety and Health Administration.
Portable. The machine or device can be, and usually is, carried about in the course of normal operation.
Public Conveyance. Any railroad car, street car, ferry, cab, bus, airplane, or other vehicle which is carrying passengers for hire.
Return Air Course. The air course through which the vitiated air of a mine is returned or conducted to the surface.
Return Air. The mine air or ventilation current that has passed through the active mine workings and is returning to the surface.
Railroad. Any railway or tramway which carries passengers for hire, on the particular line or branch in the vicinity where explosives are stored, or where explosives-manufacturing buildings are situated.
Secured or Securely Fastened. The device or object referred to is so anchored that it will not become accidentally detached, displaced, or removed under normal use and foreseen circumstances.
Shaft. A passageway to underground workings through which mining operations are conducted. A shaft is either vertical or inclined at an angle greater than 20 degrees from the horizontal.
A winze or raise in which men are hoisted or lowered shall be considered a shaft for the purpose of these Orders.
Shall and Should. Shall means mandatory and should means recommended.
Stope. An underground excavation resulting from actual mining of ore or waste, as distinguished from other excavations, such as drifts, crosscuts, raises, or winzes.
Substantially Constructed or Substantial Construction. Construction of such strength, material, and workmanship that the object will withstand all reasonable shock, wear, usage, and deterioration it was designed to withstand.
Timber. Wood, steel, concrete, or other materials used for bracing or supporting the ground.
Trackless Vehicle. A type of vehicle that does not run on railroad tracks.
Tramway. An aerial passenger tramway used to transport passengers by the use of overhead steel cables or by ropes supported in one or more spans.
Underground. Mines, tunnels or similar confined subterranean excavations.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 3. Reports to the Division
GENERAL
§6960. Reports to the Division.

(a) Whether or not personal injury results, the person in charge shall notify the Division forthwith of every case of:
(1) Fire threatening injury to men or mine workings.
(2) Appearance of dangerous accumulations of gas.
(3) Breakage of cables or other gear by which men are hoisted or lowered.
(4) Overwinding while men are being hoisted.
(5) Serious inrush of water.
(6) Advancing a mine working within 100 feet of any other mine working suspected of containing a dangerous accumulation of water or gases.
(7) Crushing of active mine workings.
(8) Any serious problem of ground instability.
(9) Fatal accidents and accidents resulting in two or more serious injuries.
(10) Any other accident, occurrence, or change of condition that tends to materially increase the hazards of mining.
Article 4. Accident Prevention Program
§6962. Safety Bulletin Boards.

(a) A safety bulletin board shall be provided at each mine. All notices pertaining to the mine safety shall be posted on the safety bulletin board.
(b) A second bulletin board may be used for posting other bulletins, pictures, slogans, and circulars.
§6963. (18-6). Safety Training and Instructions.

When an employee is first engaged, the person in charge shall determine the extent of the employee's experience at the work for which he has been hired. He shall instruct all new employees in the hazards of the job and the safe performance of the duties.
§6964. Safety Committee.

(a) Except as provided in subsection (b) of this section, a safety committee shall be organized at each place of employment to which these Orders apply.
Members of the committee shall acquaint themselves with the Safety Orders of the Division.
They shall review and discuss the cause of accidents occurring to employees in the mine or operations connected therewith, and shall devise and recommend ways and means for the prevention of accidents. 
They shall carry on safety education among the employees and encourage employees to make safety suggestions. All safety suggestions shall be considered by the committee.
At least once every month a safety committee shall make a detailed inspection of all working places, and equipment. They shall note any unsafe practices and conditions and shall promptly report their findings to the person in charge. A written record shall be made of the suggestions offered and action taken.
(b) At mines employing fewer than five men, personal safety instruction for all employees each month will be accepted in lieu of the safety committee required by subsection (a) of this section.
§6965. (3-9). Reporting Unsafe Conditions.

Any unsafe condition of ground control, defects in or damage to machinery, apparatus, or equipment resulting in unsafe or dangerous conditions, and accidents occurring in course of operations which may result in personal injury, shall be reported to the employer. The employer shall investigate such reports promptly, and shall take such actions as may be required to correct the condition if it is in fact unsafe or dangerous.
§6966. Supervision.

(a) The operator of every mine shall appoint a competent man who shall be personally in charge of the work and the employees therein. 
(b) The operator of such mine may be personally in charge of such work and employees.
(c) Some competent person in authority shall be on duty whenever employees are working in a mine.
§6967. Certification of Safety Representatives at Underground Mines.
Note     •     History

(a) The employer shall designate a competent safety representative, certified by the Division experienced in underground mining with the responsibility of administering the safety program. He shall institute action to correct unsafe conditions and unsafe practices.
Every person requesting certification as a safety representative shall submit a completed application form to the Division. Upon submission of an application for certification as a safety representative, the Division shall collect the amount of $15.00 for examination fee which is non-refundable. Renewal fees are $5.00 annually.
(b) Labor Code Excerpts: Section 8003.
“Violation of regulations, rules, orders, or special orders adopted by the board or division as a condition of certification shall be punishable by suspension or revocation of certification, unless such violation is responsible for death or injury to employees, in which case it shall be punishable as a misdemeanor.”
NOTE

Authority cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
Article 5. Care of Injured
GENERAL
§6968. First-Aid Training.

(a) At underground mines employing more than 5 men, a sufficient number of supervisors and workmen shall be trained in the U.S. Bureau of Mines Manual of First-Aid Instructions so that at least 25 percent of the personnel are so trained.
(b) Some person trained in first aid shall be readily available at surface operations where five or more workers are employed at one time.
(c) The training should be given by the U.S. Bureau of Mines, or it may be given by an instructor holding an effective first-aid instructor's certificate from the U.S. Bureau of Mines, or by anyone holding an effective Red Cross Instructor's Certificate, or by a licensed physician.
§6969. (15-1). Care of the Injured.

(a) Every mine shall be provided with an approved mine-type stretcher, a woolen blanket or equally warm covering, and a waterproof covering for injured employees unless ambulance service is readily available to all locations in the operation.
(b) If more than 25 men are working underground at the same time, an additional stretcher, blanket, and waterproof covering for each 25 men or fraction thereof shall be provided.
Each stretcher shall be provided with at least 20 feet of one-half-inch rope, or equivalent, for securing an injured man in the stretcher.
(c) When considered necessary by the Division, stretchers shall be provided with a rope or other safe means for hoisting or lowering.
(d) Adequate first-aid dressing shall be provided and placed at locations about the mine convenient for treatment of injured employees.
Note: It is recommended that the employer seek the advice of a medical doctor regarding the type and quantity of first-aid dressings to be placed about the mine.
(e) First-Aid materials shall be kept in dry, sanitary, and usable condition, and shall be readily available to employees.
(f) A recommended method of treatment shall be kept readily available at all times where dangerously poisonous substances are used. A method prescribed by a medical doctor is acceptable. Water or neutralizing agents shall be available where corrosive chemicals or other harmful substances are stored, handled, or used.
(g) (18-14) Arrangements shall be made in advance for obtaining emergency medical assistance and transportation for injured persons. 
(h) (18-12) The name, address, and telephone numbers of the physician, hospital, and ambulance to be called in an emergency shall be posted on the safety bulletin board and at telephones and in the hoist room of underground mines.
(i) Some suitable means of transportation shall be readily available where the services of an ambulance cannot be secured in one hour.
Note: The intent of this Order is that there shall be no unnecessary delay in getting seriously injured employees to medical attention. Ambulance service should be utilized where possible, but it is recognized that mines exist in isolated places not possible to reach by ambulance. Therefore, “suitable means of transportation” means the type of transportation ordinarily used by employees when going to or coming from a mine not possible to reach by ambulance.
Article 6. General Safety Precautions
GENERAL
§6973. (3-22). General Safety Precautions.

(a) Every reasonable precaution shall be taken to insure the safety of workmen in all cases, whether or not provided for in these orders.
(b) No employee shall be permitted to work in an unsafe place unless for the purpose of making it safe and then only after proper precautions have been taken to protect him while doing such work.
(c) (20-1) Intoxicating beverages and narcotics shall not be permitted or used in or around mines. Persons under the influence of alcohol or narcotics shall not be permitted on the job.
(d) (3-9) Men shall examine their working places before starting work and frequently thereafter, and any unsafe condition shall be corrected.
(e) Only a bar blunt on one end shall be used for loading at chutes or for barring down loose rock in any part of the mine.
(f) All spikes, nails, and other sharp objects that protrude and may cause injury shall be bent down or removed.
(g) (18-20) (18-25) No employee shall be assigned, or allowed, or be required to perform work alone in any area where hazardous conditions exist that would endanger his safety unless he can communicate with others, can be heard, or can be seen. 

UNDERGROUND
(h) Materials shall not be placed or permitted to remain where they can fall down a shaft, manway, winze, raise, or other opening.
(i) Employees shall be warned when others are working above or below them so employees will not be injured by falling rock or materials.
(j) (3-22) No other work shall be done in a working place until it has been barred down and made safe for work. The roof and sides shall be examined several times during the working shift.
(k) (18-25) Solitary employment is prohibited in sinking, enlarging, and maintaining shafts, and in installing and maintaining equipment located in the shaft.
§6974. (18-27). Check List for Underground Employees.

(a) The operator of every mine shall provide and maintain on the surface a check list by which every man shall be checked into and out of the mine on each shift.
Note: This may be done by several methods, such as the use of time cards, numbered cap lamps, check boards with metal checks, having the employee report to a clerk or timekeeper when he enters or leaves the mine, or any other method acceptable to the Division.
(b) At the end of the shift the check list shall be examined to see if all men are out of the mine, except men who are authorized to remain therein.
If the check list indicates that an unauthorized employee remains in the mine, a prompt search shall be made for the missing man.
Article 7. Drinking Water, Change Rooms, and Sanitation
GENERAL
§6975. (20-2). Drinking Water.

(a) Water suitable for drinking shall be available to all employees during working hours.
This may be accomplished by piping water into the mine and providing drinking fountains or by providing individual canteens or by other sanitary means.
(b) Common drinking vessels are prohibited. 
SURFACE
§6976. Change Rooms.

(a) Where the lack of such facilities constitutes a hazard to health and safety, the division may require heated change rooms, with shower baths, or other washing facilities; hot and cold water; lavatories; and adequate space for the clothing of employees.
(b) Change rooms shall be kept clean, orderly and in a sanitary condition.
(c) Change rooms shall be located at a point convenient to the pit. 
UNDERGROUND MINES 
§6977. Change Rooms.

The provisions of T8-6977 of Part 6, T-24, are incorporated herein as a part of these regulations and reads as follows:
T8-6977. Change Rooms. In addition to the provisions of Part 2, the following shall apply to all mine construction.
(a) The operator of every mine shall provide a change room for the use of employees for drying clothes and bathing.
(b) The change room shall be placed in a convenient location for use by employees but, because of the danger of fire, it shall not be nearer than 100 feet from any mine opening, fan house, or hoist house.
(c) Except as provided in subsection (e) of this section the change room shall be equipped with shower baths having hot and cold water, and shall have at least 1 shower for each 15 men on a shift working in the mine.
(d) Change rooms shall be provided with adequate means of heating and lighting, and shall be kept in a reasonably clean and sanitary condition.
(e) Mines which employ fewer than 10 mean and which have no suitable water available on the property for washing or bathing need not comply with the shower bath provisions of this section, but shall provide their employees with washing facilities that are reasonably clean and sanitary.
(f) The change room shall be available to employees at all times when they are going on or coming off shift.
(g) It is recommended that working clothes be either elevated by suitable means, such as chains, to the upper air of the change house or that separate rooms be used for working and street clothes.
§6978. Sanitation.

(a) An adequate number of dry or water closets shall be provided at convenient locations on the main working levels or on the surface. Ready means of access shall be provided to each closet.
Note: For purposes of this section, “convenient” means within five minutes of travel from any working place.
(b) Means shall be provided for removing the contents of each closet and for cleansing of the closet. The contents shall be removed often enough to prevent the closet from becoming offensive.
(c) Each closet shall be provided with some disinfectant or deodorant to be sprinkled upon the contents thereof.
(d) All men employed at any mine where closets are provided shall be required to use such closets.
Article 10. Personal Protection
GENERAL
§6980. Personal Protection.

(a) Employees shall be safeguarded with personal protective equipment as required by the General Industry Safety Orders.
(b) (15-2) All persons shall wear suitable hard hats when in or around a mine or plant where falling objects may create a hazard.
(c) (15-2) Every person underground shall be safeguarded by an approved safety hat or safety cap.
(d) (15-3) All persons shall wear suitable protective footwear when in or around an area of a mine or plant where a hazard exists which could cause an injury to the feet.
(e) (15-3) Every employee underground shall be safeguarded by safety boots or safety shoes.
(f) (15-4) All persons shall wear safety glasses, goggles, or face shields, or other suitable protective devices when in or around an area of a mine or plant where a hazard exists which could cause injury to unprotected eyes.
(g) (14-14) Face shields or goggles, in good condition, shall be worn when operating a grinding wheel.
(h) (15-7) Protective clothing or equipment and face shields or goggles shall be worn when welding, cutting, or working with molten metal.
(i) (15-20) Life jackets or belts shall be worn where there is danger from falling into water.
§6981. (15-5). Safety Belts and Life Lines.

(a) Safety belts and lines shall be worn when men work where there is danger of falling.
No employee shall be permitted to enter any bin, bunker, or other storage place containing materials which may cave or run unless he is provided with and is wearing a safety belt with life line attached. He shall be attended by another workman, who shall keep the life line reasonably taut at all times.
(b) Life lines shall be of three-fourths inch diameter Manila rope or equivalent.
(c) Life lines subject to excessive fraying or rock damage shall be protected or shall have wire center rope. Seriously worn or damaged rope shall be promptly removed from service.
(d) Safety belts and life lines shall be inspected by a qualified person before each use. When fiber ropes show serious abrasion, broken fibers, cuts, fraying, or other defects, such defects shall be reported to the person in charge.
(e) When in use, the life line shall be secured so as to prevent it from being accidentally loosened or dislodged.
(f) Safety belts shall be of a type approved by the Division.
Article 11. Materials--Storage and Handling
GENERAL
§6982. Materials Storage and Handling.

(a) Materials shall be stored in conformance with the Housekeeping and Maintenance Standards of the General Industry Safety Orders.
(b) (16-3) Hazardous materials shall be stored and handled in conformance with Hot, Flammable, Poisonous, Corrosive, and Irritant Substances Standards of the General Industry Safety Orders.
(c) (16-4) Hazardous materials shall be labeled in conformance with the Labeling of Injurious Substances Standards of the General Industry Safety Orders.
(d) (4-18) (16-5) Compressed and liquid gas cylinders shall be stored and/or secured in conformance with the General Industry Safety Orders.
(e) (16-6) Valves on compressed gas cylinders shall be protected by covers when being transported or stored, and by a safe location when the cylinders are in use.
(f) (16-9) Men shall stay clear of suspended loads.
(g) (16-14) (16-15) Cranes and hoisting equipment for materials shall be constructed, operated, and maintained in conformance with the Cranes and Other Hoisting Equipment Standards of the General Industry Safety Orders.
(h) (16-11) Men shall not ride on loads being moved by cranes or derricks, nor shall they ride the hoisting hooks unless such method eliminates a greater hazard and the man is secured by a safety belt or equivalent.
Article 12. Ground Control
SURFACE 
§6984. (3-1). Face or Bank of Pit.

(a) All reasonable precautions shall be taken to free the face or bank of the pit from loose materials that may be dangerous to employees.
(b) Where practicable, the face of the pit shall be given a slope so as to minimize the danger of rock falling on employees.
(c) (3-3) Whenever the division considers that the height and condition of the face constitutes a serious hazard to employees, it may require the installation of a bench or other suitable method of working.
(d) When a bench or multiple-bench method of operation is required, a setback of at least one-half the height of the single face or bank for each section of the face or bank shall be required.
§6985. (3-1). Excavations of Sand, Gravel and Similar Material.

(a) Excavations in sand, gravel, or other material shall be sloped to an angle at which employees will not be endangered by falling or sliding materials.
(b) When determining the maximum permitted slope of the face, consideration shall be given to:
(1) Nature of the material being excavated.
(2) Extent to which the material is cemented or consolidated.
(3) Height of the face.
(4) Type and size of equipment used at the face and amount of protection this equipment affords the operator.
(5) Safety of employees who are not protected by such equipment.
(c) Where the face is composed of loose or unstable materials, the slope of the face shall not exceed 50 degrees where the height is greater than can be reached by the dipper or bucket of the excavator or loader being used.
(d) Where the face is composed of moderately compacted materials that are not firmly cemented or consolidated but which experience indicates will stand well in place, the slope shall not exceed 65 degrees where the height is greater than can be reached by the dipper or bucket of the excavator or loader being used.
(e) Where the face is composed of firmly cemented or consolidated materials that experience indicates do not shall or cave readily, the slope shall not exceed 80 degrees where the height is greater than can be reached by the dipper or bucket of the excavator or loader being used.
§6986. (3-2). Overburden.

(a) No person shall be permitted under a face or bank where stripping operations constitute a hazard.
(b) Where employees are endangered by materials rolling or sliding down the slopes above a pit, such employees shall be removed from the danger area or shall be protected by barriers, baffle boards, screens, or other devices that afford equivalent protection.
(c) Loose, unconsolidated material shall be stripped for a safe distance, but in no case less than 10 feet from the top of pit or quarry walls, and the loose, unconsolidated material shall be sloped to the angle of repose.
§6987. Floors of Pits and Quarries.

(a) Sufficient mapping or exploratory drilling shall be performed to locate dangerous underground excavations.
(b) Dangerous underground excavations shall be backfilled or otherwise controlled to prevent workers or mobile equipment from falling into such excavations.
§6988. (3-8). Face Inspection and Control.

(a) A daily inspection shall be made of faces and banks where men are exposed to falling or rolling materials. The inspection shall be made by a competent person who shall dislodge or make safe any material dangerous to employees, or shall cause such material to be dislodged or made safe.
(b) (3-9) No person shall be permitted to work near a face made unsafe by primary blasting, rains, freezing or thawing weather, or earthquakes, until the face has been inspected and made safe.
(c) At least once a week, or oftener if necessary, a competent person shall inspect the top of the face or bank for cracks that may indicate the imminence of slides or movement of the face.
(d) (3-5) Overhanging banks in pits are forbidden, except in:
(1) Pits where material is moved away from the face by mechanical equipment having controls located at a safe distance so that no employee is required to approach the face in the course of normal operations.
(2) Hydraulic pits where the bank is undercut with a stream of water and the monitor is located at a safe distance from the bank.
(e) Where necessary, a watchman shall be employed at the face, to give warning when loose rock or other materials are about to fall.
The watchman shall be provided with a whistle, siren, or other device that will give adequate warning to employees in the pit.
The watchman shall have no other work to distract his attention from his duties as a watchman.
(f) Work shall not be permitted on or near any bank or face at night unless the bank or face above the working area is adequately illuminated to make any movement of rock or other material readily observable.
(g) Provision shall be made to keep employees away from dangerous areas that are not working places. Signs shall be posted warning employees to keep away, or such dangerous areas shall be barricaded or otherwise guarded.
§6989. (3-4). Protection of Workers at the Face.

(a) No work shall be permitted above or below men at the face if such work endangers their safety.
(b) Workers at the face shall be protected as follows:
(1) On top of the bank, by fencing with guard rails or ropes, by using railed platform, or by using safety belts and life lines. This does not apply where the bank is less than 20 feet high, or the slope below is less than 50 degrees from the horizontal, or where no work is performed within 10 feet of the edge.
(2) On the face, by removing loose rock from over the working place, and by the use of safety belts and life lines, portable staging, boatswain chair, or skips especially designed for use at pit faces. If a boatswain chair is used, the employee shall be attached thereto with a safety belt and life line.
When necessary for safety, two or more persons shall be employed in cooperation with each other in drilling, blasting or removing loose rock.
(3) At the foot of the bank by removing loose rock from above the working place, and maintaining a ready way of exit to a place of safety.
(4) By any other means affording safety equivalent to that provided by (1), (2), and (3) of this subsection.
(c) (3-6) Men shall approach from above loose rock and areas to be scaled and shall scale from a safe location.
(d) (3-12) Men shall not work between equipment and the pit wall or bank where the equipment may hinder escape from falls or slides of the bank.
(e) (3-4) Safe means for scaling pit banks shall be provided. Hazardous banks shall be scaled before other work is performed in the hazardous bank area. 
UNDERGROUND
§6990. (3-20). Timbering--General.

(a) Every working place in the mine shall when necessary be kept securely timbered or otherwise supported to prevent injury to employees from falling material.
(b) All miners shall be supplied at all times with the timbers or other adequate materials which are necessary to keep their working places in a safe condition.
(c) If for any cause necessary timbers are not available, work at that place shall cease until timbers are supplied.
(d) It is recommended that wood preservatives be used to increase the useful life of mine timbers. Such preservatives should be of a type which will not irritate the skin or increase the flammability of the timbers.
§6991. Bearing Sets.

(a) Bearing sets shall be installed in all vertical shafts and in all inclined shafts where it is necessary to support the shaft timbers.
(b) Bearing sets shall be installed as close to the shaft collar as is practical, and along the shaft at necessary intervals.
It is recommended that the distance between bearing sets be not more than 100 feet.
Article 13. Illumination
§6992. (17-1). Surface Illumination.

(a) Illumination sufficient to provide safe working conditions shall be provided in and on all surface structures, paths, walkways, stairways, switch panels, loading and dumping sites, and work areas. Also see 6988 (f). 
UNDERGROUND
§6993. Illumination.

(a) Stationary lights shall be provided during working hours of all shaft stations during such time that they are in actual use.
(b) All places where hoists, pumps, or other machinery is operating in the proximity of persons in the mine shall be so lighted that the moving parts of such machinery can be readily distinguished.
(c) Where practical, electric lights shall be used for all stationary lighting in the mine. Electric lights shall be kept at a safe distance from flammable materials.
(d) No open-flame light shall be left burning unattended on or near flammable materials.
(e) No gasoline, oil, or liquefied petroleum gases shall be taken underground for illuminating purposes.
This does not prohibit the use of permissible flame safety lamps in the mine.
(f) (17-10) Miner's individual electric cap lamps shall be carried for illumination by all persons underground.
Article 15. Mining Equipment and Practices
GENERAL
§6995. Mining Equipment and Practices.
History

(a) (14-10) Handheld power tools, other than rock drills, shall be equipped with controls requiring constant hand or finger pressure to operate the tools or shall be equipped with friction or other equivalent safety devices.
(b) (14-26) Unsafe equipment or machinery shall be removed from service immediately.
(c) (9-102) When a signalman is used during slushing operations, he shall be positioned in a safe place.
(d) (14-29) Repairs or maintenance shall not be performed on machinery until the power is off and the machinery is blocked against motion, except where machinery motion is necessary to make adjustments.
(e) (14-30) Men shall not work on or from a piece of mobile equipment in a raised position until it has been blocked in place securely. This does not preclude the use of equipment specifically designed as elevated mobile-work-platforms.
(f) (14-31) Drive belts shall not be shifted while in motion unless the machines are provided with mechanical shifters.
(g) (14-32) Belts, chains, and ropes shall not be guided onto power-driven moving pulleys, sprockets, or drums with the hands except on slow-moving equipment especially designed for hand feeding.
(h) (14-33) Pulleys of conveyors shall not be cleaned manually while the conveyor is in motion.
(i) (14-34) Belt dressing shall not be applied manually while belts are in motion unless an aerosol-type dressing is used.
(j) (14-35) Machinery shall not be lubricated while in motion where a hazard exists, unless equipped with extended fittings or cups.
(k) (14-45) Welding operations shall be shielded and well-ventilated.
(l) (14-1) (14-6) Power transmission and point-of-operation guarding shall be in conformance with the General Industry Safety Orders.
(m) (14-2) Overhead belts shall be guarded as required by the General Industry Safety Orders.
(n) (14-8) (14-9) Grinding machines and grinding wheels shall be operated in conformance with the Use, Care, and Protection of Abrasive Wheel Standards of the General Industry Safety Orders.
HISTORY

1. Repealer of subsections (o), (p) and (q) filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
§6996. (13-1). Boilers and Pressure Vessels.
History

(a) All boilers and pressure vessels shall be constructed, installed and maintained in accordance with the standards and specifications of the Boiler and Fired Pressure Vessel Safety Orders and the Unfired Pressure Vessel Safety Orders of the Division.
(b) (13-19) Repairs involving the pressure system of compressors, receivers, or compressed-air-powered equipment shall not be attempted until the pressure has been bled off.
HISTORY

1. Renumbering of former section to 6998 and new section filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
§6997. Air Hose.
History

(a) (13-21) The ends of every compressed air hose 1 inch or larger inside diameter shall be chained or otherwise secured to prevent whipping in case of a disconnected hose. When 2 or more hoses are connected to each other, the connecting ends shall be secured together.
(b) Material used to secure the hose ends shall be chain made of three-sixteenths-inch stock or of other material of equivalent strength.
(c) When an auxiliary compressed air tank is located on a jumbo or at any other place away from the rigid compressed air supply line, both ends of every length of connecting hose shall be secured.
(d) Air pipe lines 2 inches or more in diameter shall be adequately secured against unnecessary movement. Such pipe lines shall be protected against accidental impact from vehicles and falling objects at points where breakage of lines would constitute a hazard to employees.
(e) (13-20) At no time shall compressed air be directed toward a person. When compressed air is used, all necessary precautions shall be taken to protect persons from injury.
HISTORY

1. Renumbering of former section to 6999 and new section filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
§6998. Hydraulic Monitor.
History

(a) A safe, unobstructed working place shall be provided for the monitor operator.
(b) A positive safety latch shall be installed for securing the deflecting lever on all monitors. The deflecting lever shall be secured at all times when the monitor is not being moved by hand.
HISTORY

1. Renumbering from Section 6996 filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
§6999. Rock Crushers.
History

(a) Every rock crusher where an employee is required or permitted to be at, or near, an unguarded feed opening, shall be provided with adequate means whereby the power can be quickly disconnected in case of emergency. Such means of disconnecting the power shall be located at the crusher feed opening.
(b) A safe place shall be provided for employees at a crusher while cars or haulage vehicles are being unloaded.
(c) Adequate precautions shall be taken to prevent materials from being dumped into the crusher or crusher feeder while men are working therein.
(d) Employees working at a crusher shall be protected from falling into the crusher by one of the following means:
(1) By adequately guarding the crusher mouth.
(2) Use of a working platform located in such position that hung-up material in the crusher can be safely dislodged from the platform. The platform shall have a standard railing.
(3) When it is not practical to adequately guard the crusher mouth, a safety belt and life line shall be worn by employees working over the feed opening of an operating crusher. This life line shall be tied sufficiently short to prevent the wearer from getting into the crusher.
(4) By other equally safe means.
It is recommended that a wedge on a line, or hooks attached to an overhead hoist, be used to keep the crusher feed open.
(e) Before any repair work that may endanger the employee is started on a crusher, the prime mover shall be shut down, and where feasible rendered inoperable. A sign prohibiting starting shall be placed on the prime mover controls.
HISTORY

1. Renumbering from Section 6997 filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
UNDERGROUND
§7000. Working Space for Machine Operators.
History

(a) Unobstructed working space shall be provided at the operating controls of every fixed machine. Such working space shall be at least 3 feet wide, and long enough to provide access to all operating controls.
(b) Adequate unobstructed working space shall be provided at the operating controls of every movable machine.
Such unobstructed working space shall be at least 3 feet wide and 6 1/2 feet in height, except when the operator works in a sitting position, in which case he shall be provided with an overhead clearance of at least 2 feet.
(c) Where the operating controls are located at the side of the machine, at least 2 feet of unobstructed space shall be maintained between the operating controls and the nearest wall or object while the machine is in operation.
(d) Boom and rocker-type mucking machines shall be equipped with a substantial device to keep them from upsetting.
HISTORY

1. Renumbering from Section 6998 filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
§7001. Power Shutoff for Underground Machines.
History

(a) In addition to the operating controls, a positive power shutoff shall be provided for every prime mover for use in the mine. 
(b) The positive power shutoff shall be located where it is readily accessible to the machine operator and, except for hand-held machines and tools, not more than 10 feet from the machine. It is recommended that it be placed on the machine when practical.
HISTORY

1. Renumbering from Section 6999 filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
Article 16. Drilling Operations and Jumbos
GENERAL
§7005. Drilling Operations.

(a) (7-2) Drilling machines shall b in good condition. The drill chucks shall be the proper size to keep the drills secured therein.
(b) Iron or steel hammers used for removing detachable bits shall be malleable or annealed, so that they will not readily chip or break while being used.
(c) It is strictly prohibited to drill in or deepen any hole that contains or may have contained explosives. 

SURFACE
(d) No hole shall be drilled within 5 feet of any hole or chamber that contains or has contained explosives, and no hole shall be drilled at such an angle as to approach within 5 feet of such hole or chamber.
(e) (7-13) Drill holes for primary blasting shall be adequately covered or plugged to prevent injury to persons and keep materials from falling therein.
(f) (7-4) Men working on erected drill masts shall be safeguarded with elevated work platforms, standard railings, and toe-boards and protected by an approved safety belt and life line.
(g) (7-3) The drilling area shall be inspected for hazards before starting the drilling operations.
(h) (7-5) Drill crews and others shall stay clear of augers or drill stems that are in motion. Persons shall not pass under or step over a moving stem or auger.
(i) (7-8) When a drill is being moved from one drilling area to another, drill steel, tools, and other equipment shall be secured and the mast placed in a safe position.
(j) (7-10) In the event of power failure, drill controls shall be placed in the neutral position until power is restored.
(k) (7-12) While in operation, drills shall be attended at all times.
(l) (7-18) Men shall not hold the drill steel while collaring holes, or rest their hands on the chuck or centralizer while drilling.
(m) (7-11) The drill stem shall be resting on the bottom of the hole or on the platform with the stem secured to the mast before attempts are made to straighten a crossed cable on a reel.
(n) (8-2)-(8-5) The mandatory standards for rotary jet piercing of the U.S. Bureau of Mines for metal and nonmetallic open pit mines as published on July 31, 1969, February 25, 1970, and December 8, 1970, are adopted for control of surface rotary jet piercing hazards. 
UNDERGROUND
§7006. Drilling Operation--Underground.

(a) No hole shall be drilled within 2 feet of any hole or chamber that contains or may contain explosives, and no hole shall be drilled at such an angle as to approach within 2 feet of such hole or chamber.
(b) Rock drilling operations shall be performed from a safe floor, platform, or staging which will provide a secure support for both the drilling machine and the operator.
§7007. Jumbos--Construction and Use.

(a) Jumbo working platforms that are 30 inches or more in height shall be equipped with standard railings on open ends and sides, except where standard railings interfere with drilling operations, in which case they shall be provided with some other means of protection acceptable to the Division.
(b) Toeboards at least 4 inches high shall be provided around platforms of jumbos to prevent tools or other equipment from falling off.
(c) (7-8) Where drill steel is kept on jumbo platforms prior to or after use, suitable receptacles, such as boxes, racks, grooves, or equivalent, shall be provided for temporary storage.
(d) (7-8) No tools, materials, equipment, or other unattached objects shall remain on any platform while the jumbo is being moved, if any part of such protrudes beyond the width of the jumbo.
(e) (7-8) A safe means of access shall be provided to all jumbo platforms. Safe access may consist of a ramp, stair, or ladder constructed in compliance with the standards set forth in the General Industry Safety Orders.
(f) Where necessary, overhead protection against falling rock shall be provided at jumbo working areas.
(g) If bore holes are loaded from the jumbo, all electrical circuits to the jumbo shall be disconnected and the live ends removed to a minimum distance of 100 feet from the jumbo before explosives are brought to the heading.
(h) Warning must be given to men working below before starting to collar holes.
(i) When drill steel is hoisted by a power method, double slings with a tag line shall be used, or some other equally safe method shall be provided.
Article 17. Loading, Hauling, and Dumping
§7010. Loading, Hauling, and Dumping--General.

(a) (9-2) Equipment defects affecting safety shall be corrected before the equipment is used.
(b) (9-31) When traveling between work areas, the equipment shall be secured in the travel position.
(c) (9-36) Electrically powered mobile equipment shall not be left unattended unless the master switch is in the off position, all operating controls are in the neutral position, and the brakes are set or other equivalent precautions are taken against rolling.
(d) (9-37) Mobile equipment shall not be left unattended unless the brakes are set. The wheels shall be turned into a bank or rib, or shall be blocked, when such equipment is parked on a grade.
(e) (9-60) Where overhead clearance is restricted, warning devices shall be installed and the restricted area shall be conspicuously marked.
(f) (9-64) Chute loading installations shall be designed so that the men pulling chutes are not required to be in a hazardous position while loading cars.
(g) (9-39) Employees shall not be permitted to get on or off moving vehicles or equipment.

Exception: This does not apply to train crews when operating trains or industrial railroads.
(h) (9-26) Only authorized persons shall be present in areas of loading or dumping operations.
(i) (14-13) Industrial trucks, tractors, haulage vehicles, and earthmoving equipment shall meet the canopy, roll-over protection, and other requirements of the General Industry Safety Orders.
§7011. Parts of Shovels, Draglines, and Hoisting Equipment Subject to Wear.

(a) The employer shall require that wire ropes, bearings, friction clutches, chain drives, and other parts subject to wear be inspected at adequate intervals in order that any unsafe conditions may be corrected.
(b) The division may require properly dated detailed reports of such inspections to be made in places of employment where there is doubt as to proper supervision over safe maintenance of hoisting equipment.
(c) The intervals between the inspections shall be short enough to enable the employer to be reasonably certain that the crane, hoist, derrick, excavating or loading equipment will not be operated when in an unsafe condition.
(d) (9-3) Mechanically or electrically operated brakes shall be inspected periodically, and necessary repairs and adjustments shall be made.
§7012. Cranes, Draglines, Shovels, and Loading Devices.

(a) The control area for every crane or other lifting device, and for every power-driven shovel or loading device, shall be protected with a strong guard where there is danger from falling or flying materials.
(b) (9-11) All glass in the windows of the cab shall be safety glass of a type approved by the State Department of Motor Vehicles.
(c) The crane, excavator, or loader shall be equipped with a signaling device that may be heard above the usual noises in the pit.
(d) When loading where there is a probability of dangerous slides, the wheels or treads of loading equipment, other than railroad shovels, shall be turned in the direction which will most facilitate escape in case of danger.
(e) (9-30) Employees shall not be permitted under suspended loads or buckets.
(f) (9-27) Any person desiring to go on board any shovel, crane, or dragline which is in operation shall first signal the operator of such equipment. He shall not go aboard until the operator stops the equipment and signals that it is safe to proceed.
(g) (9-5) The operator of any crane, dragline, shovel, or loader shall signal other persons in the vicinity before he begins operations or moves the equipment.
(h) The shovel, loader, dragline, or crane shall not be started to travel until it is first determined that the travel way is clear of persons and equipment.
(i) When equipment is traveling under its own power, the operator shall so turn his cab that he has clear vision in the direction of travel.
(j) (9-25) Where practicable, haulage vehicles shall be loaded in such way that the bucket or boom does not pass over the vehicle driver's position. If the bucket or boom has to pass over the driver's position, no loading shall be done until the driver is in a safe location away from his vehicle.
(k) (9-32) The crane, excavator, or loader shall not be left unattended until the load or bucket is lowered to the ground.
(l) (9-61) Stockpile and muckpile faces shall be trimmed to prevent hazards to personnel.
(m) (9-62) Rocks too large to be handled safely shall be broken before loading.
§7014. Private Roads.

(a) When building private roads, consideration shall be given to the following factors:
(1) Type of material to be used for road bed and surfacing.
(2) Type of equipment that will travel on the road.
(3) Size of loads to be hauled.
(4) Length, and percent of grades.
(5) Degree of curvature and visibility on turns.
(b) Bridges shall be substantially constructed and maintained in good repair. They shall not be subjected to loads greater than they were designed to support.
(c) Grades shall be commensurate with the safe operating limits of the equipment used.
(d) Single lane roads with two-way traffic shall be provided with adequate turnouts where practicable. Where adequate turnouts are not practicable, a control system shall be provided to prevent vehicles from meeting on such single lane roads.
(e) Roads used for two-way traffic on which vehicles do not travel on the right side all the way shall be posted with signs indicating the side of the road to travel.
(f) Roads should be maintained free from holes and deep ruts. Action should be taken to keep the dust to a minimum.
(g) (9-22) Mid-axle height berms or guards shall be provided on the outer bank of elevated roadways.
(h) (9-54) Berms, bumper blocks, safety hooks, or similar means shall be provided to prevent overtravel and overturning at dumping locations.
(i) (9-59) Public and permanent railroad crossings shall be posted with warning signs or signals, or shall be guarded when trains are passing and shall be planked or otherwise filled between the rails.
(j) When the Division considers that a serious hazard exists to employees because of traffic or haulage conditions in a mine, it may require the employer to establish a system of traffic control satisfactory to the Division.
§7015. Haulage Vehicle Definition.

Haulage vehicle as used in this article means any vehicle other than railroad cars or locomotives used to transport the product of a pit. In addition to self-propelled trucks, the term “haulage vehicle” includes tractors, trailers, and all other similar equipment used for such transportation.
§7016. Haulage Vehicle, Construction and Maintenance.
Note     •     History

(a) (9-11) Every haulage vehicle shall be in compliance with the California Motor Vehicle Code except for:
(1) Lights;
(2) Weight limits;
(3) Width and height;
(4) Installation of windshields.
This article does not require the installation of windshields on haulage vehicles but if windshields are installed, they shall be in compliance with the provisions of the California Motor Vehicle Code. 
(b) Equipment and accessories installed on haulage vehicle shall be so arranged as to not seriously impair the driver's vision to the front or sides.
(c) (9-3) All haulage vehicles, including trailers, shall be equipped with brakes or other holding device adequate to hold such vehicle with the maximum load on the maximum grade on which it is used. Brakes shall be inspected and maintained in good condition as recommended by the vehicle manufacturer. If the vehicle manufacturer's recommendations are no longer available, the required inspection, maintenance and repairs shall be performed by a qualified person.
(d) (9-3) The brakes on motor vehicle trailer combinations shall be so designed that failure of the trailer brakes will not affect those of the motor driven vehicle.
(e) The use of a counter-torque device is recommended on haulage vehicles operating on grades.
(f) Haulage vehicles operated at night shall be equipped with adequate headlights and at least one taillight in good condition.
(g) Every self-propelled haulage vehicle shall be equipped with a warning device which can be clearly heard for a distance of 200 feet from the vehicle.
(h) Haulage vehicles shall be provided with a safe means of access from the ground to the driver's location. Such means of access shall be maintained in good condition.
(i) The vehicle seat shall be maintained in good repair at all times.
(j) Liquids shall be drained from the compressed air tanks each day.
(k) (9-69) Tires shall be deflated before repairs on them are started and adequate means shall be provided to prevent wheel locking rims from creating a hazard during tire inflation.
(l) (9-81) Trucks, shuttle cars, and front-end loaders operated on the surface shall be equipped with emergency brakes separate and independent of the regular braking system when generally available for a particular class of equipment. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) and new Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
UNDERGROUND
§7018. Trackless Mine Haulage--Equipment and Practices.

(a) Every trackless haulage vehicle shall be provided with adequate power to carry its load safely up any grade over which it operates.
(b) A safe seat shall be provided for the operator of the vehicle. The seat shall be constructed so it will prevent the operator from slipping over the back or sides of the seat.
(c) Haulage vehicles shall be equipped with headlights and at least one taillight in good condition.
Such vehicles shall be equipped with backup lights which function automatically when the vehicle is put in reverse gear. 
GENERAL
§7020. (9-25). Canopy Guard.

(a) Except as provided in subsection (d) of this section every haulage vehicle that is loaded by means of any device which employs a swinging boom to load the vehicle shall be equipped with a suitable canopy guard for the driver's seat.
(b) The canopy guard shall be strongly constructed to afford adequate protection for the driver. It shall be of sufficient width and height so as not to hamper the movement of the driver or prevent his immediate escape from the vehicle in emergency.
(c) The canopy shall be steel plate at least three-sixteenths inch thick. It shall be substantially supported by steel members of adequate strength attached to the frame or body of the vehicle.
(d) A canopy guard is not required on any haulage vehicle which is provided with a cab so constructed that it will afford at least as much protection as a canopy guard.
§7021. Haulage Vehicle Operation Procedure.

(a) When operating vehicles, consideration shall be given to the condition of the roadway, weather, curves, grades and mechanical condition of the vehicle.
The vehicle shall not be operated at a speed which will endanger the driver or traffic.
On curves, the vehicle speed shall be limited so that it can be stopped within one-half the visible distance of the roadway.
(b) (9-23) (9-24) Haulage vehicles shall at all time be operated under positive control. When descending grades, the vehicle shall be kept in gear.
(c) (9-5) Where other warning signals are not provided, the vehicle's warning device shall be sounded before moving the haulage vehicle.
(d) (9-45) The loaded haulage vehicle shall not be moved away from the shovel or loader until the load is balanced and trimmed.
(e) Haulage vehicles shall not be driven unnecessarily while the body is in the dump position.
(f) No workman shall be permitted under the raised body of a haulage vehicle until such body is secured in its raised position.
(g) The hands or feet shall not be used to guide a hoist or winch cable on a haulage vehicle. When necessary to control a moving cable, the drum and sheaves shall be equipped with a device that will guide the cable to its proper position without being handled, or the employee shall be provided with a device which will enable him to guide the cable safely.
(h) (9-12) Cabs of mobile equipment shall be kept free of extraneous materials.
(i) (9-45) Equipment which is to be hauled shall be loaded and protected so as to prevent sliding or spillage.
(j) (9-58) If truck spotters are used, they shall be well in the clear while trucks are backing into dumping position and dumping; lights shall be used at night to direct trucks.
(k) (9-68) Lights, flares, or other warning devices shall be posted when parked equipment creates a hazard to vehicular traffic. 
GENERAL
§7023. Industrial Railroads.

(a) (9-83) The tracks for all industrial railroads in use in the mine or on the surface shall be kept in good condition, free of dips, bumps, or obstructions that may interfere with safe operation of haulage equipment. Surface industrial railroads and clearances shall comply with the Industrial Railroad standards of the General Industry Safety Orders.
(b) All bridges and trestles shall be substantially constructed and maintained in good repair. They shall not be subjected to loads greater than they were designed to support.
It is recommended that bridge and trestle timbers be treated with an effective preservative before being used.
(c) (9-20) Positive-acting stopblocks, derail devices, track skates, or other adequate means shall be installed wherever necessary to protect persons from runaway or moving railroad equipment.
(d) (9-28) Switch throws shall be installed so as to provide adequate clearance for switchmen.
§7024. Mine Trains--Equipment and Practice.

(a) (9-9) Every locomotive shall be provided with an audible warning device capable of being heard at a distance of 200 feet. Such a warning device shall be maintained in good working condition. 
Operators shall sound warning before starting trains, when trains approach crossings or other trains on adjacent tracks, and where vision is obscured.
(b) Locomotives or trains operating at night shall be equipped with front and rear lights.
(c) Locomotives shall be equipped at both ends with adequate footboards and grab irons.
(d) (9-48) Every locomotive shall be equipped with brakes of sufficient capacity to control the train with reasonable safety and railroad cars with braking systems shall be equipped with effective brake shoes.
(e) (9-3) Before a locomotive is moved, the engineer shall make certain that the brakes are in operating condition. When the locomotive is not in operation the hand brake shall be set.
(f) No locomotive shall be left unattended unless it is locked or otherwise made inoperable.
(g) (9-98) Locomotives and cars moved by locomotives that are coupled and uncoupled in the course of their regular operation shall be equipped with automatic couplings with extension handles.
(h) Dump cars shall be equipped with positive locking devices to prevent accidental dumping.
(i) (9-97) Couplings shall not be shifted or lined up on moving cars or locomotives. If the couplings are not in line, the car or locomotive shall be stopped before they are shifted. Employees shall not stand on the rail while coupling or uncoupling cars.
(j) (9-47) When cars are uncoupled from a train they shall be secured against accidental movement.
(k) (9-45) No materials shall be carried on any locomotive unless such locomotive is equipped so that the materials can be carried safely.
Materials may be carried on locomotives equipped with fixed boxes or trays or with raised edges high enough to keep the materials safely in place.
No material that extends over the side or end of a locomotive shall be carried on the locomotive.
(l) (9-45) The material on loaded cars shall be balanced and trimmed in order to prevent dislodging during transportation.
(m) Railroad equipment shall not be operated at a speed which will endanger employees.
(n) (9-50) Railcars shall not be left on side tracks unless ample clearance is provided for traffic on adjacent tracks.
(o) (9-51) Persons shall not go over, under, or between cars unless the train is stopped and the motorman has been notified and the notice acknowledged.
(p) (9-52) Inability of a motorman to clearly recognize his brakeman's signals, when the train is under the direction of the brakeman, shall be construed by the motorman as a stop signal.
(q) (9-54) A bumper or other device that will effectively prevent cars from going over the end of the track shall be provided at all dump points for ore or waste.
(r) (9-54) Safety chains, or other equally effective devices, shall be used to keep the cars from overturning while being dumped. 
UNDERGROUND
§7025. Mine Trains--Equipment and Practices.

(a) Every new locomotive purchased after October 27, 1958 shall be equipped with some type of dead-man control that will shut off the power automatically when the operator leaves his compartment. Where practical, existing locomotives shall be equipped with such controls.
(b) Rerailing equipment shall be available and used to put derailed cars and locomotives on the track. It is recommended that rerailers and jacks be provided.
(c) Every locomotive when in motion shall continuously display a white light in the direction of travel which will provide sufficient illumination to make men or objects clearly visible at a distance of 100 feet in the direction in which the locomotive is traveling.
(d) Each train shall be equipped with a red taillight of sufficient intensity as to be clearly visible from a distance of 100 feet.
(e) A safe seat shall be provided for the operator of every locomotive. The seat shall be constructed so it will prevent the operator from accidentally slipping over the back or sides of the seat.
(f) To prevent runaway cars should a coupling part, the locomotive shall be operated on the downgrade end of the train, except:
(1) When transporting workers. (See Section 7038.)
(2) When transporting materials which cannot be pushed safely.
(3) When the construction of a locomotive is such that it seriously obstructs the operator's view of the roadway; in which case, the locomotive shall be placed ahead of the train with the seat end turned in the direction in which the locomotive is traveling.
(g) (9-45) Timber or similar material that extends over the side or end of a mine car shall be secured and positioned so that it will clear obstructions, especially when traveling around curves.
§7026. Mechanical Haulage Refuge Stations.

(a) (9-110) Refuge stations for pedestrians shall be provided at intervals not exceeding 200 feet along the haulageway on every mine level where a 30-inch passageway cannot be maintained.
(b) Each refuge station shall be not less than 4 feet long and shall afford a space at least 2 1/2 feet in width between the widest portion of the car or train running on the railroad track and the side of the refuge.
(c) Refuge stations shall be plainly marked and kept free of rubbish.
(d) Ample passing space shall be provided along haulageways where trackless haulage is used. 
Article 18. Conveyors and Tramways
GENERAL
§7030. Conveyors.

(a) (14-1) Screw conveyors 7 feet or less above floor or other working level shall be completely covered with substantial lids except that screw conveyors the top of which is 2 feet or less above the floor or other working level, or below the floor level may be guarded by standard railing guards having toeboards of midrail height or shall be guarded by substantial covers or gratings.
(b) All belt conveyor head pulleys, tail pulleys, single tension pulleys and dip take-up pulleys shall be so guarded that the entire sides of the pulleys are covered. The guard shall extend in the direction of the run of the belt to such a distance that a person cannot reach behind it and become caught in the nip point between the belt and pulley.
(c) Portable inclined conveyors shall have head and tail pulleys or sprockets and other power transmission equipment guarded according to the General Industry Safety Orders of the division.
(d) (11-2) (11-13) (11-14) Crossovers shall be provided and used where it is necessary to pass over exposed chain, belt, bucket, screw, or roller conveyors. Such crossovers shall be bridges or runways properly equipped with standard railings and toeboards, and shall have a fixed ladder, ramp, or stairway as a safe means of access.
(e) Conveyors passing over areas that are occupied or used by employees shall be so guarded as to prevent the material handled from falling on or causing injury to employees.
(f) Where workmen pass under the return strands of chain conveyors, a shallow trough or other effective means of sufficient strength to carry the weight of the broken chain shall be provided.
(g) (9-14) No employee shall be permitted to ride a power-driven chain, belt or bucket conveyor.
(h) (9-6) When the entire length of a conveyor is visible from the starting switch, the operator shall visually check to make certain that all persons are in the clear before starting the conveyor. When the entire length of the conveyor is not visible from the starting switch, a positive audible or visible warning system shall be installed and operated to warn persons that the conveyor will be started.
(i) (9-7) Unguarded conveyors with walkways shall be equipped with emergency stop devices or cords along their full length.
(j) (9-13) Adequate backstops or brakes shall be installed on inclined-conveyor drive units to prevent conveyors from running in reverse if a hazard to personnel would be caused.
§7031. Conveyor Passage.

(a) (11-9) Safe passageway shall be provided along every pit conveyor where employees are required or permitted to travel in the course of their operating duties.
(b) Conveyor tunnels constructed after April 7, 1953 shall have an unobstructed passageway at least 2 feet wide and 6 1/2 feet high.
When a tunnel constructed before April 7, 1953 is extensively repaired or rebuilt, an unobstructed passageway shall be provided as required in the foregoing paragraph of this subsection.
(c) (11-16) Passageways adjacent to conveyors shall be kept free of spillage from the conveyor. Means shall be taken to minimize spillage on the passageway. 
UNDERGROUND
§7032. Belt Conveyors in Mines.

(a) Before a belt conveyor is installed in an underground mine, permission shall be secured in writing from the Division.
(b) Conveyor belting used underground shall be of a type that is acceptable to the Division.
(c) When application is made to install a conveyor in a mine, information regarding the following shall be submitted to the Division:
(1) Service for which the conveyor is intended.
(2) Width and length of conveyor.
(3) Size of passageway in which the conveyor will operate.
(4) Kind of automatic devices that will be provided to shut off the power should the belt stop.
(5) Fire protection to be provided.
(6) Any other information considered pertinent by the Division.
(d) When in the opinion of the Division a belt conveyor can be operated safely in a mine, permission may be granted to the applicant, specifying the conditions under which such belt conveyor shall be operated.
(e) When permission to use a belt conveyor is granted, the conditions specified are those believed necessary for the protection of workers. If experience in the operation of the belt conveyor indicates that any of the conditions are inadequate or unnecessary, the Division may revise the conditions in the light of such experience.
(f) Permission to use a belt conveyor underground may be revoked for failure to comply with the conditions specified by the Division. 
GENERAL
§7035. Aerial Tramway.

(a) (10-8b) Every aerial tramway, the operation of which requires the presence of employees at both ends of the tramway, shall be provided with direct connected telephone or other equally ready means of quick communication.
(b) (10-8d) No employees, except maintenance and repair men designated by the employer, shall be permitted to ride on any aerial tramway unless such tramway was designed for transportation of passengers.
(c) (10-8c) Tramways used for transportation of employees shall be provided with suitable stand-by power for emergency use, and a safe conveyance for employees to ride in.
(d) (10-7) Working areas under tramways shall be guarded by a substantial roof or other adequate protection against falling buckets or falling materials.
(e) (10-8a) The hoisting equipment and hoisting practices for inclined tramlines over which employees are transported shall be in compliance with the Aerial Passenger Tram Safety Orders of the Division.
(f) (10-3) Any hazardous defects shall be corrected before the equipment is used.
(g) (10-9) Men shall not ride loaded buckets.
(h) (10-10) Where possible, aerial tramways shall not be started until the operator has ascertained that everyone is in the clear.
Article 20. Transportation of Workers
GENERAL
§7037. Transportation of Workers.

(a) When transporting employees by vehicles, the vehicles and procedures shall be in compliance with the General Industry Safety Orders of the Division.
(b) (9-33) Men shall not ride in dippers, shovel buckets, forks, clamshells, or in the beds of dump trucks for the purpose of transportation.
(c) (9-40) Men shall not ride on top of loaded haulage equipment.
(d) (9-41) Only authorized persons shall be permitted to ride on trains or locomotives and they shall ride in a safe position.
(e) (9-43) Men shall not ride outside the cabs or beds of mobile equipment.
(f) (9-67) Facilities used to transport men to and from work areas shall not be overcrowded.
(g) (9-85) Supplies, materials, and tools other than small hand tools shall not be transported with men in man trip vehicles unless such vehicles are specifically designed to make such transportation safe. 
UNDERGROUND
§7038. Transportation of Employees.

(a) Except as provided in subsection (b) of this section, transportation of employees over mine railroads when going on or coming off shift shall be in man cars especially designed for such transportation.
(b) Where not more than five men are going on or coming off shift, they may be transported in mine cars.
(c) All man cars and mine cars carrying men going on or coming off shift shall be secured with safety chains to prevent such cars from running away should a coupling fail.
(d) Every mine car used for transportation of employees shall be provided with a positive locking device that will prevent accidental dumping of the car.
(e) A train transporting workers shall be pulled, not pushed, by the locomotive, and shall be operated at a safe speed.
(f) (9-67) Every man car or mine car, truck, or other vehicle used for transportation of employees shall be provided with safe and secure seats, and shall be protected on sides and ends to prevent falls from the vehicle.
Means shall be provided whereby employees can safely mount or dismount the vehicle.
(g) (9-113) Vehicles transporting workers shall be operated cautiously and with due regard for the safety of employees. Such vehicles shall be operated at a safe speed.
(h) (9-114) Employees shall not be required or permitted to get on or off a moving vehicle.
(i) (9-99) Supplies, materials, and tools other than small hand tools shall not be transported with men in man trip cars or vehicles. Man trips shall be operated independently of ore and supply trips.
(j) (9-116) During shift changes, the movement of rock or material trains shall be limited to areas where such trains could not present a hazard to men coming on or going off shift.
(k) (9-117) Men shall not ride between cars or on top of loaded cars.
Article 21. Mine Ladders and Travelways
§7040. (11-3) (11-5) (11-6). Ladders.

Ladders used in surface operations shall be constructed, installed, and maintained in conformance with provisions of the General Industry Safety Orders. 
UNDERGROUND
§7041. (11-3) (11-5). Construction of Wooden Ladders for Underground Use.

(a) Wooden ladders shall be substantially constructed of sound lumber of strength equivalent to No. 1 Select Douglas Fir of the following dimensions:
(1) Side rails shall be not less than 2 inches by 4 inches nominal, in cross section.
(2) Ladder steps shall be clear, straight-grained, and absolutely free of knots.
(3) Ladder steps shall be not less than 1 inch by 4 inches nominal, in cross section.
(b) The distance between the tops of the steps of a ladder shall not exceed 14 inches and shall not vary more than 1 inch in any one ladderway.
(c) Ladders shall be constructed so there is at least 10 inches clear space between the side rails.
(d) Ladder steps shall be securely fastened to the side rails with nails or other equivalent fastenings, and shall be secured against pulling loose by one or more of the following methods:
(1) Mortised in the side rails so as to be flush with the surface, provided this is done without unduly weakening the side rails.
(2) Fastened to the surface of the side rails with filler pieces between the ends of the steps. Filler pieces shall be the same width as the side rail and the same thickness as the ladder steps.
(3) Fastened on the surface of the side rails with continuous wooden strips nailed over the ends of the steps for the full length of the ladder.
(4) Any combination of the above methods which in the opinion of the Division will provide equivalent protection.
(e) Nails and other metal fasteners used in ladders that are exposed to corrosive water or corrosive mine atmosphere shall be made of metal that is resistant to corrosion of the type to which they are exposed.
§7042. (11-3). Construction of Metal Ladders for Underground Use.

(a) Metal ladders shall be substantially constructed. Side rails shall have at least equal strength as that of No. 1 Select Douglas Fir, 2 inches by 4 inches in cross section.
(b) Steps shall be secured to the side rails in such manner as to prevent them from coming loose.
(c) Round ladder steps shall be at least 1-inch outside diameter. The steps of metal ladders shall be smooth and free of ribs or projections. 
(d) The distance between the tops of the steps of a ladder shall not exceed 14 inches and shall not vary more than 1 inch in any one ladderway.
(e) Ladders shall be constructed so there is at least 10 inches clear space between the side rails.
(f) Metal ladders and ladder fasteners for use where exposed to corrosive waters or corrosive mine atmosphere shall be constructed of materials that are resistant to corrosion of the type to which they are exposed.
§7043. (11-3). Construction of Flexible Ladders for Underground Use.

(a) Flexible ladders shall have sides made of chain, connecting links, wire rope, or fiber rope.
(b) Each side of a flexible ladder shall have a tensile strength not less than that of 1-inch best Manila rope. If chair is used, the links shall be made of stock not less than three-eighths inch.
(c) There shall be at least 12 inches of clear space between the sides of a flexible ladder.
(d) Each step of a flexible ladder shall be made of stiff material and shall be strong enough to safely support a weight of 300 pounds at the center of the step. The distance between the tops of the steps of a ladder shall not exceed 14 inches.
(e) The steps shall be fastened to the sides in such manner that they will be held securely in place without damage to the sides of the ladder.
§7044. (11-1). Manways and Ladder Installations.

(a) Every mine shall have at least one means of outlet for the miners by means of ladders, stairways, or runway from all active workings of the mine to the surface.
(b) (11-55) No ladder or stair need be provided in a passageway if the slope is less than 20 degrees from the horizontal and the footing is such that men can walk safely.
(c) Every ladderway having an inclination of more than 60 degrees from the horizontal, and where the distance between the top and bottom of the ladderway is more than 30 feet, shall have substantial platforms at intervals of not more than 20 feet. If possible, the sections of the ladders shall be staggered at each platform so that no section shall be directly in line with the section above or below it.
(d) The ladder opening in any platform shall be large enough to permit ready passage of rescue men wearing breathing apparatus, and in no case shall such opening be less than 24 inches by 24 inches.
(e) Distance from the step to the nearest permanent object on the climbing side of the ladder shall not be less than 24 inches.
There shall be a clear width of at least 12 inches from the center line of the ladder on each side across the front of the ladder.
(f) (11-5) The front side of the step of a ladder shall in no case be less than 4 inches from any obstruction.
(g) (11-6) Ladders shall project at least 3 feet above every platform in the ladderway, and at least 3 feet above the collar of the shaft, winze, or raise, unless convenient and secure handholds are fixed at such places.
(h) (11-5) All ladders shall be securely fastened.
(i) Under no circumstances shall any ladder be installed in such manner that it leans backwards from the vertical.
(j) In all shafts which are in the process of sinking or enlarging, a fixed ladder, stair, or ramp shall be provided to within such distance from the bottom of the shaft as will secure it from the danger of blasting.
Access shall be provided from the bottom of the shaft to the bottom of the fixed ladder, stair, or ramp. Such access may be by means of an extension ladder or flexible ladder or by a handline or chain.
(k) Ladders, stairways, and ramps shall be installed at such distance from power and light wires that a person on them cannot accidentally contact an electric conductor.
(l) Every shaft shall be provided with a continuous means of egress from the bottom of such shaft to the nearest active mine level. Such means of egress may be by stairs or fixed ladders or ramps, or by a combination of the above.
(m) (11-3) Any manway through which employees are required or permitted to pass shall be kept in good repair to allow ready passage.
(n) (11-36) Trap doors or adequate guarding shall be provided in ladderways at each level. Doors shall be kept operable so that they are easily opened.
GENERAL
§7046. Travelways.

(a) Where practicable, walkways shall be separate and apart from railway or vehicle roads.
(b) Walkways shall be kept free from stumbling hazards.
(c) Handrail, cable guard, fence, or other suitable barrier shall be installed along permanent walkways where there is danger of falling into excavations.
(d) (11-1) (11-16) Safe means of access shall be provided and maintained to all working places as required by the General Industry Safety Orders.
(e) (11-12) Openings above, below, or near travelways through which men or materials may fall shall be protected by railings, barriers, or covers. Where it is impractical to install such protective devices, adequate warning signals shall be installed.
(f) (11-2) (11-16) (11-36) Unless otherwise stated in the Mine Safety Orders, crossovers, walkways, ramps, stairways, railings, and toeboards shall be constructed, installed, and maintained in conformance with the General Industry Safety Orders.
§7048. (11-27). Scaffolds.

(a) Scaffolds and working platforms shall be of substantial construction and provided with guardrails and maintained in good condition. Floor boards shall be laid properly and the scaffolds and working platform shall not be overloaded. Working platforms shall be provided with toeboards when necessary. Scaffolds shall be in conformance with the Construction Safety Orders. 
UNDERGROUND
§7050. (9-107). Stopes.

(a) Floors shall be provided in every stope where needed for the safety of employees.
(b) In stopes timbered with square sets those portions of the working floors that are in use shall be closely and securely lagged.
(c) An adequate work floor shall be provided in narrow stopes that are too steep to permit safe footing.
§7051. (11-12). Winzes, Raises, and Openings.

(a) Winzes or other openings in the floor of mine workings shall be guarded so that persons will not fall into them.
(b) (11-12) Manways intersecting overhead workings through which material is dropped shall be closed to the passage of persons whenever material is dropped through such working.
(c) (11-1) Every raise while under construction shall be provided with a safe means of access from the bottom to the face at all times when employees are working in the raise.
Such means of access shall be as follows:
(1) For slopes up to 20 degrees, a walkway may be used where there is safe footing.
If footing is slipping or otherwise insecure, a rope, chain, or other aid to climbing shall be provided.
(2) For slopes from 20 degrees to 45 degrees, chains, or ladders shall be provided.
(3) For slopes greater than 45 degrees, ladders shall be provided. 
(4) Other means that will afford at least equal safety.
§7052. (9-103). Chutes and Ore Passes.

(a) Chutes and ore passes shall be guarded.
(b) Employees shall be protected against falling into the chute by one or more of the following methods:
(1) A grizzly with openings between the bars of not more than 10 inches in the least dimension.
(2) Use of an approved safety belt and life line tied sufficiently short to prevent the wearer from going through the grizzly opening where such opening is greater than 10 inches in the least dimension. In no case shall grizzly bars be more than 30 inches apart.
(3) By other equally safe means acceptable to the Division.
(c) Active chutes and ore passes shall be kept in good repair so that material will not spill into a manway.
(d) Chute gates shall be maintained in safe and easily operable condition.
(e) To protect the hands and arms of trammers and train crews, a safe clearance of not less than 6 inches shall be maintained between any part of a chute and the top of every car that is operated under such chute.
(f) (9-106) Ample warning shall be given to men who may be affected by the draw or otherwise exposed to danger from chute-pulling operations.
(g) (9-107) Men shall not stand on broken rock or ore over draw points if there is danger that the chute will be pulled. Suitable platforms or safety lines shall be provided when work must be done in such areas.
Article 22. Fire Prevention and Control
GENERAL
§7055. Fire Prevention and Control.

(a) No person shall smoke or use an open flame:
(1) (4-1a) Where flammable solvents, liquids, fluids, or other flammable materials are stored, transported, handled, or used; or
(2) (4-1b) Where oil or grease is stored, transported, handled, or used, if smoking or the use of an open flame may cause a fire; or
(3) (4-1c) Within an unsafe distance of any area where smoking or the use of an open flame may cause a fire or an explosion.
(b) (4-2) Signs warning against smoking and open flames shall be posted so they can be readily seen in areas or places where fire or explosion hazards exist.
(c) (4-4) Flammable liquids shall be stored in accordance with standards of the National Fire Protection Association or other recognized agencies approved by the Bureau of Mines. Small quantities of flammable liquids drawn from storage shall be kept in appropriately labeled safety cans.
(d) (4-8) Fuel lines shall be equipped with valves to cut off fuel at the source and shall be located and maintained to minimize fire hazards.
(e) (4-9) All heat sources, including lighting equipment, capable of producing combustion shall be insulated or isolated from combustible materials.
(f) (4-14) Solvents with flash points lower than 100 Fahrenheit (38 Centigrade) shall not be used for cleaning.
(g) (4-15) Solvents shall not be used near an open flame or other ignition source, or near any source of heat, or in an atmosphere that can elevate the temperature of the solvent above the flash point.
(h) (4-20) Battery-charging stations shall be located in well-ventilated areas.
(i) (4-21) Equipment powered by internal combustion engines (except diesel engines) where the fuel tank is an integral part of the equipment, shall be shut off and stopped before being fueled.
(j) (4-22) Each mine shall have available or be provided with suitable fire-fighting equipment adequate for the size of the mine.
(k) (4-23) Firefighting equipment which is provided on the mine property shall be strategically located, readily accessible, plainly marked, properly maintained, and inspected periodically. Records shall be kept of such inspections.
(l) (4-29) When welding or cutting near combustible materials, suitable precaution shall be taken to ensure that smoldering metal or sparks do not result in fire.
(m) (4-33) Valves on oxygen and acetylene tanks shall be kept closed when the contents are not being used.
(n) (4-40) Fire alarm systems shall be provided and maintained in operating condition or adequate fire alarm procedures shall be established to warn promptly all persons endangered by a fire.
(o) (18-12) Emergency telephone numbers shall be posted at appropriate telephones.
(p) (4-19) Gauges and regulators used with oxygen or acetylene cylinders shall be kept clean and free of oil and grease.
§7056. Surface Structures over or Near Mines.

The provisions of T8-7056 of Part 6, T-24, are incorporated herein as a part of these regulations and reads as follows: 

UNDERGROUND
T8-7056. Surface Structures Over or Near Mine Openings.
In addition to the provisions of Part 2, the following shall apply to all mine construction.
(a) Change houses, timber framing sheds, storage sheds, or piles of combustible materials shall not be placed or permitted to remain within 100 feet of any mine opening, shaft house, hoist house, explosives magazine, or ventilating fan.
(b) Every building and structure within 100 feet of any mine opening shall be constructed of noncombustible materials or shall be of not less than one-hour fire-resistive construction,except that wooden headframes and headframes with built-in wooden bins for dumping the shaft conveyance may be erected and used over mine shafts.
(c) A fire door shall be installed at the collar of every shaft over which a wooden headframe has been erected.
(d) A fire door shall be installed at every mine opening connected to a surface building or snowshed. Such fire door shall be installed as near to the surface as is practical, and shall be so arranged that it will close automatically in case of fire.
(e) At all times when men are working in a mine and combustible structures are within 100 feet of a mine opening, a man shall be on duty outside the mine and near the mine opening.
§7057. Mine Exit Protection.

(a) Each mine required to maintain an escape exit shall protect underground employees against the hazard of all exits becoming impassable because of fire or fire gases by one or more of the following methods:
(1) By fireproofing the main shaft and shaft stations where there is a fire hazard sufficient to interrupt use of the main shaft hoist for rescue purposes.
(2) By maintaining a connecting passageway between working levels of such mine and an adjoining mine which has a safe access to the surface.
(3) By mechanical control of the air currents that will permit good air to be supplied through any shaft or escapeway by reversal of air currents.
(4) By installation of fire doors and ventilation doors satisfactory to the Division.
(5) If none of the foregoing methods can be made applicable to a particular mine, such mine may be required by the Division to install a hoist in an escape exit and keep it in a usable condition.
§7058. Fire Doors and Fire Bulkheads.

(a) If the Division considers that a serious fire hazard exists at a mine, fire doors or fire bulkheads shall be installed so as to prevent smoke and gases from endangering the men. Such doors may also be used for mine ventilation.
(b) Fire doors shall be constructed of steel and shall be set in steel or concrete walls so constructed that fire on one side cannot pass to the other side when the door is closed.
(c) Fire doors shall fit closely so they can be readily made gas tight when closed. They shall be provided with suitable latches or devices so they can be readily opened from either side without the use of tools, but cannot be opened by a reversal of the air current.
(d) Fire doors shall be tested each month and maintained in good working order.
(e) Where practical, fire bulkheads shall be installed in solid rock away from timbers and stoped-out areas. Fire bulkheads shall be of noncombustible construction if located within 100 feet of mine timbers or other combustible materials.
(f) Fire bulkheads shall be installed in such manner that fire, smoke, and gases on one side of the bulkhead cannot pass to the other side.
Note: In order to provide for sampling air or gas behind the bulkhead, in case fire or other emergency makes such sampling desirable, it is recommended that a metal pipe be installed through the bulkhead. Such pipe should be not less than 1-inch inside diameter and provided with a cap or gate-type valve on the outer end.
§7060. Fire Prevention--Underground.

(a) (4-9) All electrical equipment which might communicate fire to adjacent flammable material shall be of a type which will confine the heat and flames within the equipment, or it shall be so located and installed that flammable material will not be exposed.
(b) If the Division considers that a serious fire hazard exists at mine openings or underground stations, it may require that underground employees be protected by one or more of the following methods:
(1) By making fire resistant the mine openings for a distance of 50 feet from the surface.
(2) By making fire resistant underground stations and adjoining portions of the shaft.
(3) By making fire resistant underground buildings or enclosures used to house machinery, or as lunchrooms or places of assembly for men.
It is recommended that the main shafts and haulageways be provided with fireproof sections at regular intervals.
(c) In mines where serious fire hazards exist, the division may require fire inspection of timbered areas after the crews have left the working places at the end of the shift.
§7061. Heating Devices Underground.

(a) (4-58) Fire for space heating shall not be permitted underground. Torches, acetylene lamps, and candles shall not be left unattended in any mine in the vicinity of wood or other flammable material.
(b) Electric heaters underground shall be of a type in which the heating elements do not become hot enough to ignite combustible materials.
(c) Acetylene taken underground shall be in cylinders and shall be limited to necessary quantities. It shall be stored in a well-ventilated, fire-resistant location.
Empty cylinders shall be removed from the mine without unnecessary delay.
(d) (4-65) The following precautions shall be taken when welding equipment, blow torches, or other heat-producing devices or materials are used in a mine:
(1) All flammable materials within a radius of 10 feet shall be made wet with water before hot work is begun and again after hot work is finished.
(2) Any flammable materials at a greater distance than 10 feet upon which sparks or hot metal can fall shall be made wet with water before hot work is begun and again after hot work is finished.
(3) Before hot work is commenced in a shaft, a noncombustible barrier shall be installed to prevent sparks from falling below.
(4) A fire extinguisher or water hose ready for use shall be at the operation until the hot work is finished.
(5) The area where hot work was done shall be inspected for smoldering fires between one and two hours after hot work is finished.
§7062. Mine Housekeeping.

(a) Combustible rubbish shall be promptly removed from the mine.
(b) All oily rags or waste shall be deposited in covered metal receptacles. The contents shall be sent to the surface every week, and also when the receptacle is full.
(c) Old timber, waste timber, scraps, and chips shall not be permitted to accumulate underground, but shall be removed from the mine as soon as practical.

Exception: Old timber, waste timber, wood scraps, and chips in stopes may be left in the mine if buried in filling material.
(d) Active manways, shafts, and winzes shall be kept clear of loose rocks and other obstructions.
§7063. (4-22). Fire Fighting Equipment.

(a) One or more fire extinguishers of a type suitable for use underground shall be provided at all locations where electrical equipment is in service in the mine.
Carbon tetrachloride fire extinguishers shall not be permitted in a mine because of danger to men who may breathe the vapor.
(b) Where a fire hazard exists near an underground magazine or an explosives distributing station, fire extinguishers or water hydrants and hose shall be provided for use in fighting fire outside the magazine. They shall not be used on burning explosives nor in fighting a fire in a magazine.
(c) Fire extinguishers of a type suitable for use on oil fires shall be at every storage place for oil or grease in the mine.
(d) Every mine with a fire hazard as outlined below shall be protected against fire in accordance with the provisions of subsection (e) of this section:
(1) Mines in which the main working shaft is timbered and such timber is not protected against fire by being made fire resistant or by being constantly wet.
(2) Mines in which stations are in a combustible condition.
(3) Mines with workings considered by the Division to constitute a local fire hazard of more than normal proportions.
(e) Mines required by subsection (d) of this section to be protected against fire shall be provided with water and equipment for fighting fires as follows:
(1) A supply of water so distributed that a stream of water can be made readily available at any mine station at which a fire hazard exists and throughout all combustible portions of the shaft. “Readily available” means that all necessary piping, valves, and hose connections must be in place and a supply of hose sufficient for the need kept conveniently near such hose connections. Attention is called to the advisability of having connections for hose so placed that a stream of water can be directed upon any station from above and below the station in the event of a fire at the station.
(2) Hose shall be kept at the mine entrances, on each working level, and at such other places as may be required by the Division.
(3) The threads and couplings for hose for fighting fire shall be of standard sizes so that hose coupling of a given size may be readily connected to a pipe coupling of like size.
(4) Fire pails and a 50-gallon drum or tank of water shall be located in every section of the mine where timber is framed and where other fire fighting equipment is not available.
(5) Where the water supply is inadequate or cannot be practicably applied, special fire fighting equipment and protection may be required by the Division.
(6) All equipment intended solely for fire fighting purposes shall be tested or carefully inspected at monthly intervals and defective equipment repaired or replaced immediately. All hand chemical fire extinguishers of the soda-acid type shall be discharged, inspected, and refilled every 12 months, and the date of last refilling marked on a tag attached to the extinguisher. Special care must be taken to keep the nozzles of chemical fire extinguishers free from corrosion. See Subchapter 3, Title 19, CAC for additional servicing requirements.
(7) Special provision shall be made to protect fire extinguishers whose effectiveness is destroyed by cold.
(8) The location of each fire extinguisher shall be marked conspicuously so that it may be easily found in an emergency. 
UNDERGROUND
§7064. (4-46). Combustible Liquids and Gases--Surface Storage.

(a) Combustible liquids and gases shall be stored at least 100 feet from the following:
(1) Mine openings
(2) Buildings and snow sheds connected to mine openings
(3) Ventilation fan houses
(4) Hoist houses
(5) Explosive magazines
The storage place shall be located where contents of leaking containers cannot run over the surface to any point within 100 feet of the above-mentioned places and structures.
Note: Certain petroleum gases, such as butane and propane, are compressed to liquid form in pressure tanks. When a tank containing liquefied petroleum gases leaks or is ruptured, the contents vaporize in the atmosphere. These vapors are heavier than air and will flow downhill over the surface of the ground much like water until the vapors are diffused. For this reason tanks containing liquefied petroleum gases must be stored at locations which are in compliance with the provisions of this section.
§7065. (4-54). Fuels, Lubricants, and Rope Dressings--Underground Storage and Handling.

(a) Oils, greases, and rope dressings taken underground shall be transported and stored in closed metal containers that will not permit the contents to leak or spill.
(b) Rope dressings shall not be stored in the mine.
(c) The underground storage place for oils and greases shall be located in a remote place where there will be the least danger to men in the mine should a fire occur.
Where practical, the storage place shall be at least 25 feet from any timbers. Where it is necessary to store oils or greases nearer than this distance to mine timbers, such timbers shall be made fire resistant.
Should the amount of oil or grease stored on any 1 level exceed 60 gallons, it shall be stored in a manner acceptable to the Division.
(d) The storage place shall be so arranged that the contents of leaking containers cannot run from the storage place.
(e) Adequate drip pans shall be provided at the storage places of oils, greases, and rope dressings.
(f) Leaking containers or fittings shall be promptly repaired or replaced.
(g) Spillage and leakage shall be promptly cleaned up and sent to the surface.
(h) No combustible materials shall be permitted in any oil or grease storage place.
(i) (4-52) Gasoline shall not be taken, stored, or used under--ground except in permissible flame safety lamps.
(j) (4-53) The use of liquified petroleum gases shall be limited to maintenance work.
Article 25. Engines-Internal Combustion
UNDERGROUND 
§7068. Internal-Combustion Engines Near Mine Openings.

No internal-combustion engine shall be permitted on the surface within 50 feet of any mine opening. 

Exception: This does not apply to self-propelled vehicles which are not operated as stationary equipment.
§7069. Engines Prohibited Underground.

No fuel-burning or internal-combustion engine, other than diesels as allowed in Section 7070 of these Orders, shall be permitted to operate in any mine.
§7070. Permit to Use Diesel Engines Underground.
History

(a) No diesel engine shall be permitted in an underground mine unless a permit to use diesel engines underground has first been secured from the Division of Industrial Safety.
(b) Application for such permit shall be made in writing to the Division of Industrial Safety, and shall include the following information:
(1) Service for which diesel engines are intended.
(2) Location in mine where engines are to be operated.
(3) Aggregate brake horsepower of all diesel engines to be operated in the mine.
(4) Plans for ventilation of the mine.
(5) Any other information considered pertinent by the Division.
(c) When in the opinion of the Division diesel engines can be operated safely in the mine, a permit may be issued to the applicants specifying the conditions under which the diesel engines must be operated.
(d) When a permit is issued the conditions specified are those believed necessary for the protection of workers. If experience in the operation of the diesel engine indicates that any of the conditions are inadequate or unnecessary, the Division may revise the conditions in the light of such experience.
(e) The permit to use diesel engines underground may be revoked for failure to comply with conditions of the permit.
(f) The following is a list of conditions under which diesel powered equipment will be permitted to operate in underground mines:
(1) Before any diesel engine is permitted underground, the employer shall make sure that it is in good operating condition.
(2) Every diesel engine, which is operated underground, shall be checked daily by a mechanic who is skilled in the operation and maintenance of diesel engines. The diesels shall be maintained in good operating condition.
(3) The exhaust of each diesel shall be passed through a water bath or approved catalytic conditioner prior to its discharge into the atmosphere. Conditioners shall be kept in proper operating condition at all times when equipment is in use underground.
(4) Diesel exhaust gas shall not be directed towards diesel operators and shall be deflected so that persons alongside will not encounter exhaust gas at breathing level.
(5) The diesel fuel shall not contain in excess of .5% of sulphur.
(6) Each diesel unit shall be equipped with a fire extinguisher suitable for control of oil fires.
(7) Before any diesel engine is permitted underground, the mine shall be provided with a mechanically produced and positively controlled system of ventilation.
(8) The main fan shall be installed on the surface and shall be of a type that readily permits the air current to be reversed in direction.
(9) A continuous flow of fresh air shall be maintained in the mine as long as any diesel equipment is operating therein.
(10) The flow of fresh air in any air course shall never be less than 100 cubic feet of air per minute per brake horsepower of the aggregate diesel equipment operating in such air course, plus 200 cubic feet of air per minute for each employee therein.
(11) Positive instructions shall be issued to all workmen that all diesel equipment underground shall be shut down immediately should the air flow stop, and shall remain shut down until the air flow is resumed.
(12) A daily record shall be kept of the condition of the diesels and the amount of ventilation provided. The record shall show:
(A) Condition of each diesel engine
(B) Total horsepower of diesel equipment that operates in the mine
(C) Quantity of air flowing in the air course
(D) Locations at which the air measurements were taken in relation to position of the diesel engines
(E) Name and title of the person who made the measurements
(13) The record shall be signed by the person who made the measurements. A signed copy shall be kept in the office at the mine, and this copy shall be available for inspection by engineers of the Division of Industrial Safety.
(14) Daily air quality tests shall be conducted for nitrogen dioxide and carbon monoxide. Results of such tests shall be kept with the daily diesel engine records. Diesels shall be shut down or ventilation increased if contaminant levels exceed safe threshold limit values.
HISTORY

1. Editorial correction restoring missing text in subsection (f)(10) (Register 91, No. 45).
§7071. Fueling Diesel Engines Underground.

(a) Diesel engines shall not be fueled underground where it is practical to fuel them on the surface.
(b) When fueled underground the engine shall be taken to the fuel storage place, if practical, and the fuel pumped directly from the storage container to the engine fuel tank.
(c) (4-54) When the engine must be fueled away from the fuel storage place, the fuel shall be transported in closed metal containers that will not permit the contents to leak or spill should the container be overturned.
(d) The engine shall be shut down during fueling operations.
(e) Precautions shall be taken to prevent spilling during fueling operations. Spilled fuel shall be promptly cleaned up and removed.
(f) The use of compressed air to force fuel from a container is prohibited.
(g) (4-1) No fire, smoking, open lights, or other source of ignition shall be permitted near fueling operations. 
Note: See Section 7065 for orders pertaining to storage of fuels and lubricants.
Article 26. Emergency Plan
UNDERGROUND 
§7074. (4-50). Emergency Plan.

(a) The operator of every mine which employs men underground or is required by these Orders to provide an escape exit shall prepare a general plan of action for use in time of emergency.
(b) The plan shall outline the duties and responsibilities of each mine official and key man so that each will know what is expected of him should a fire, explosion, or other emergency occur.
(c) The plan shall be posted conspicuously on the mine safety bulletin board and in the mine office.
(d) All officials and key men shall be thoroughly instructed in their duties so as to avoid contradictory orders and confusion at a time when promptly and efficient action is needed.
(e) Workmen, both surface and underground, shall be informed of the plan, and each man shall be told what is expected of him in case of explosion, fire, or other emergency.
§7075. (4-51). Emergency Alarm System.

(a) An emergency alarm system adequate to give warning to all employees underground shall be installed and maintained in good working order at all mines.
(b) Where compressed air is available at all times that an employee is in the mine, it is recommended that a stench method of warning be used. Where compressed air is not available, some other warning system acceptable to the Division shall be used.
(c) Warning shall be given immediately to all persons underground upon occurrence of fire or other emergency in or near the mine.
§7076. (4-50) (11-53). Fire and Safety Diagram.

(a) A diagram of the mine shall be provided showing the location of:
(1) Principal levels
(2) Shafts
(3) Tunnels
(4) Manways
(5) Escape routes
(6) Fire doors
(7) Fire extinguisher
(8) Water and air lines available for fighting fire 
(9) Telephones
(10) Refuge stations
(11) Ventilation doors
(12) Direction of air flow
(b) The diagram shall be brought up to date at least once every six months. It need not show boundary lines, outlines of ore bodies, or other details not essential for the safety of employees.
(c) Easily legible copies of the fire and safety diagram shall be kept posted on the surface near the mine entrance most frequently used by the men and at every working station in the mine.
§7077. (11-53). Maps.

(a) The operator of every mine shall make and maintain, or cause to be made and maintained, a clear and accurate map, showing all the workings of such mine. All underground workings shall be surveyed and mapped before they are allowed to become inaccessible.
(b) Mine maps shall be brought up to date at least once every six months.
(c) The mine maps shall be available near the mine for inspection by the Division.
Article 27. Escapeways and Refuge Stations
UNDERGROUND 
§7080. Escapeways and Refuge Stations.

(a) (11-50) Every mine shall have two separate escapeways to the surface which are so positioned that damage to one shall not lessen the effectiveness of the other, or a method of refuge shall be provided when only one opening to the surface is possible.
(b) The escape exit shall be maintained within reasonable distance of the toping areas of the mine.
When the distance between the escape exit and any stope is computed by the following formula and the answer is one or more, the escape exit shall be extended in the direction of such stope until it is reasonable close.
__T__ + __S__ = D
1000         300
T = distance in feet of horizontal travel.
S = distance in feet of vertical and inclined travel.
D = symbol for total distance of travel.
For the purpose of this formula, an incline of less than 20 degrees from the horizontal will be considered as a horizontal passageway.
(c) (11-51a) Escape exits shall be maintained in good condition at all times so as to provide a ready means of escape for employees in case of emergency.
(d) (11-51b) All underground passageways and shaft stations shall be signed and marked by arrows pointing the way to and through the escape exit in a manner to expedite escape.
(e) The surface outlets from escape exits shall be not less than 100 feet from the exit most frequently used by the men.
The surface outlet of no two exits shall be covered by one building or by connected buildings.
(f) Where the use of a series or raises is contemplated for an emergency exit, the mine management is strongly advised to select the position of the raises so as to have them in line with one another, so that hoisting equipment can be installed if advisable at some future time.
§7081. Refuge Stations.

(a) When the Division deems it necessary for the protection of employees, it may require that refuge stations be provided and maintained at such places within the mine as the Division may direct.
(b) Where feasible, the refuge station shall be located where it has two exits to the surface.
(c) (11-52d) The refuge station shall be provided with a water line, compressed air line, and telephone connection through each exit to the surface. The air lines and water lines shall be equipped with suitable valves which can be readily operated without the use of a tool.
(d) (11-52a c) Each refuge station shall be provided with fire doors so it can be isolated from other parts of the mine.
(e) (11-52b) Refuge chambers shall be large enough to accommodate readily the normal number of men in the particular area of the mine.
(f) (11-54) Telephone or other voice communication shall be provided between the surface and refuge chambers and such systems shall be independent of the mine power supply.
Article 30. Rescue Stations and Equipment Underground
§7083. Mine Rescue Stations.

(a) (4-67). Every mine at which more than fifty (50) men work underground at one time shall be provided with a mine rescue station located at or near the mine, or shall be a member of a cooperative mine rescue station located no greater distance from the member mine than can be covered by the most convenient means of transportation in 2 hours during any season of the year.
(b) At each mine in which the Division considers there is a serious hazard from mine fires or mine gases, the Division may require the installation of a mine rescue station, with apparatus and equipment as specified in Section 7084.
(c) (4-70) Smaller mines having 10 to 50 men underground at one time shall join a cooperative mine rescue station or shall have one man for each 10 underground employees or fraction thereof trained annually in the use of breathing apparatus.
It is recommended that small mines, regardless of size, affiliate with a cooperative mine rescue station wherever practical. Where it is not practical, each mine should have some man in its organization who is trained and qualified in the use of breathing apparatus, to accompany mine rescue crews into the mine in case of emergency. This man should be familiar with the mine workings, mine ventilation, water lines, electrical circuits, and underground hoists.
(d) Each rescue station shall be in the immediate charge of a competent and responsible man. The man in charge need not be employed exclusively at the rescue station, but his employment shall be arranged so that he, or a competent and responsible substitute, shall be promptly available in case of need.
(e) Telephone, or other equally rapid means of communication, shall be maintained between the residence of the man in charge and the rescue station and every mine affiliated with the rescue station.
§7084. (4-67) (4-69). Mine Rescue Equipment and Supplies.

(a) Except as provided in subsection (b) of this section, each mine rescue station shall be provided with the following respiratory equipment, supplies, and spare parts:
(1) Ten sets of permissible self-contained two-hour oxygen breathing apparatus.
(2) Sufficient spare parts to assemble one complete breathing apparatus in good working order.
(3) One high-pressure oxygen pump for recharging oxygen bottles.
(4) An emergency supply of oxygen and regenerator charges sufficient to keep 10 sets of breathing apparatus running for 10 hours.
(5) One signal line 1200 feet long and 1 reel for the signal line.
(6) Ten permissible electric cap lamps and charger. 
(7) Necessary gas detection and ventilation instruments.
(b) On a showing that equal protection will be afforded to employees, the Division may permit mine rescue stations to be equipped with other types of permissible breathing apparatus and supplies than specified in subsection (a) of this section.
Permission to deviate from the provisions of subsection (a) must be in writing. Application to deviate must state the type of permissible breathing apparatus the applicant desires to use.
(c) Breathing apparatus shall be maintained in good working condition and ready for use. It shall be inspected at least once each month and any necessary repairs and adjustments shall be promptly made.
(d) The man in charge of the rescue station shall make a monthly report on a form prescribed by the Division. The report shall state the condition of the apparatus and equipment, and shall contain a record of the men trained during the month.
Copies of the monthly report shall be furnished to each member of a cooperative rescue station and to the Division of Industrial Safety.
§7085. (4-67) (4-69). Mine Rescue Training and Procedure.

(a) Each mine required by Section 7083 (a) to have a mine rescue station or to be a member of a cooperative mine rescue station shall have at least 10 men trained annually in the use of permissible breathing apparatus as recommended by the U.S. Bureau of Mines.
A mine which is a member of a cooperative mine rescue station and which has fewer than 50 men underground at one time shall have trained annually in the use of breathing apparatus at least 1 man for each 10 underground employees or fraction thereof.
(b) At mines that are required to have men who are trained in the use of permissible breathing apparatus, at least 5 men shall practice with the apparatus each month, said practice to include work in an irrespirable atmosphere for at least 30 minutes. Five other men shall be trained the following month. Additional men should be trained. Where it is desirable to do so, 10 men may be trained every 2 months, instead of training 5 men each month.
All men designated to take this training shall be given a careful physical examination, and no man physically unfit for the work shall be allowed to take the training.
(c) Where practical, not more than 50 percent of the regular mine rescue crew shall be regularly employed underground at one time.
§7086. (4-70). Use of Mine Rescue Equipment.

(a) As used in these Orders, “breathing apparatus” means a device which supplies the wearer with oxygen or air under low pressure for breathing purposes. By use of this device, the wearer carries his air with him and is independent of the atmosphere around him.
“Gas mask” is a device which is equipped with a canister containing chemicals. The wearer draws his air through the chemicals, which remove small amounts of poisonous gases by filtering or chemical action. As the gas mask does not provide oxygen for the wearer, it cannot be worn safely in an atmosphere containing a high concentration of gases or so low in oxygen that a flame safety lamp will not burn.
There are many types of gas mask canisters which are permissible for use as protection against certain gases or combinations of gases. However, there is only one type of canister that affords protection against carbon monoxide, the poisonous gas which is always present during mine fires and after mine explosions. This is the Type N canister, which is easily recognizable because of its red color.
No gas mask shall be used in a mine unless such gas mask is of a type designated as “permissible” by the U. S. Bureau of Mines and used only with a permissible Type N canister.
(b) No man shall be permitted to wear breathing apparatus in irrespirable mine air unless he is physically fit and has had the required training.
(c) Every rescue crew shall be composed of at least five men. A crew composed of six men is preferable.
(d) No breathing apparatus shall be used in irrespirable mine air unless such apparatus is of a type designated as “permissible” by the U.S. Bureau of Mines.
(e) Each apparatus shall be carefully inspected and tested before it is worn in irrespirable air.
The test shall be sufficient in scope to assure that the apparatus is air tight, and that its various parts are in good condition, functioning properly, and in safe condition to wear.
(f) Except in extreme emergency, only a full rescue crew of not less than five men shall be permitted to wear breathing apparatus in irrespirable air in any mine during a mine fire or for recovery work following a mine explosion.
(g) Except in extreme emergency, no rescue crew shall be permitted to wear breathing apparatus in irrespirable air unless a fully equipped reserve rescue crew is standing by, ready for service, in the most advanced fresh air station.
(h) Communication shall be maintained between the reserve rescue crew and the rescue crew in irrespirable air by means of a signal line.
(i) Care shall be used that the rescue crew does not proceed farther from its fresh air base than it can return safely to such base.
It is recommended that, except in extreme emergency, the rescue crew does not travel farther than 1,000 feet from its fresh air base over a level, unobstructed traveling way where visibility is good. Where necessary to climb ladders or other obstructions, or travel in dense smoke, the distance traveled should be shortened accordingly.
(j) Breathing apparatus should not be used to explore inactive mines or parts of mines because of the many dangers in addition to irrespirable air. Instead, it is recommended that a temporary ventilation system be installed and the exploration be made in fresh air.
If such exploration is undertaken, it shall be done only with a full rescue crew of not less than five men, with a second full rescue crew acting as a reserve in fresh air. Such crews shall be equipped with permissible breathing apparatus. Gas masks shall not be used for such exploration.
(k) Every rescue crew equipped with permissible gas masks shall be provided with a permissible flame safety lamp in good condition.
(l) No rescue crew using gas masks shall remain in an atmosphere where the permissible flame safety lamp will not burn.
Article 31. Air Quality, Radiation, and Ventilation
GENERAL
§7090. Environmental Controls.

(a) (5-1a) The exposure to airborne contaminants of a person working in a mine shall not exceed, on the basis of a time-weighted average, the threshold limit values adopted by the American Conference of Governmental Industrial Hygienists, as set forth and explained in the most recent edition of the Conference's publication entitled “Threshold Limit Values of Airborne Contaminants.” Excursions above the listed threshold limit values shall not be of a greater magnitude than is characterized as permissible by the Conference. This paragraph (a) does not apply to airborne contaminants given a “C” designation by the Conference--for example, nitrogen dioxide.
(b) (5-1b) Employees shall be withdrawn from areas in which there is a concentration of an airborne contaminant given a “C” designation by the Conference which exceeds the threshold limit value (ceiling “C” limit) listed for that contaminant.
(c) General Industry Safety Orders for control of Dust, Fumes, Mists, Vapors, and Gases shall be minimum standards for mines.
(d) (5-2) Dust, gas, mist, and fume surveys shall be conducted as frequently as necessary to determine the adequacy of control measures.
(e) (5-5) Respirators shall not be substituted for environmental control measures. However, where environmental controls have not been developed or when necessary by nature of the work involved (for example, welding, sandblasting, lead burning), a person may work for reasonable periods of time in concentrations of airborne contaminants which exceed ceiling “C” limits or the limit of permissible excursions referred to in (a) and (b), if such person wears a respiratory protective device approved by the Bureau of Mines as protection against the particular hazards involved.
(f) (20-5) Carbon tetrachloride shall not be used unless under strict environmental controls.
(g) (20-9) Dusts suspected of being explosive shall be tested for explosibility. If tests prove positive, appropriate control measures shall be taken.
§7091. (5-37)-(5-42). Underground Radiation Hazards.
Note     •     History

The mandatory radiation standards of the Mine Safety and Health Administration for Metal and Non-Metallic Underground Mines, published July 31, 1969, February 25, 1970, and December 8, 1970, are adopted for control of underground radiation hazards.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-17-80; effective thirtieth day thereafter (Register 80, No. 3). 
SURFACE
§7092. (5-3). Dust Control While Drilling.

When drilling holes with machines in rock or other dust-producing material, such dust shall be controlled as required by the General Industry Safety Orders. 
UNDERGROUND
§7093. (5-3). Dust--Rock Drilling.

(a) For the purpose of these Orders “rock drilling” means drilling, cutting, chipping, channeling, or broaching rock by means of machinery.
“Wet drilling” means the continuous application of water through the central hole of hollow drill steel to the bottom of the drill hole.
(b) Rock drilling in underground mines is prohibited unless the dust is controlled by wet drilling or other means acceptable to the Division.
(c) Rock drilling machines purchased and used for wet drilling after the effective date of these Orders shall be equipped with a combination air throttle and water valve, so designed that the air cannot be turned on without turning on the water, and the water cannot be turned off without turning off the air.
(d) During wet drilling, the water flow shall be maintained continuously whenever the drill is in operation, including the period of collaring or starting the hole.
(e) Water for wet drilling shall be supplied to the drill in adequate quantities at a pressure of at least 40 pounds per square inch.
(f) Should the water supply or pressure for wet drilling become inadequate, such drilling shall be stopped immediately.
§7094. (5-1). Dust--Mucking and Transferring Rock.

(a) The muck pile shall be wet down before mucking begins and shall be kept wet during the entire mucking operation to control the dust.
It is recommended that a continuous spray of water be maintained on muck piles where mucking machines are being operated.
(b) Water sprinklers shall be installed and used on all chutes from which dusty rock is taken, or other equally effective means acceptable to the Division shall be used to prevent harmful accumulations of dust in the atmosphere.
(c) Whenever a sprinkling device is installed at a chute, it shall be so placed that it can be operated by the workmen who operate the chute gates.
The spray shall be directed into the chute and away from the operator's position at the chute.
(d) To prevent spillage from loaded cars and trackless haulage vehicles from adding to the mine dust, the loaded car or vehicle shall not be moved away from the loading spot until the load has been trimmed and leveled so as to prevent spillage.
(e) Effective means shall be used to control the dust in manways, haulageways and other parts of the mine.
It is recommended that dust on haulageways be controlled with water, treating with calcium chloride, or other equally effective means.
In areas of water scarcity, it is recommended that water for dust control be treated with a wetting agent to increase its efficiency.
§7095. (5-1). Dust, Smoke, and Gases After Primary Blasting.

(a) Except as provided in subsection (b) of this section, no primary blasting shall be done in a mine during the working shift, except where the ventilating currents are arranged so that dust, smoke, and gases from the blast go out of the mine without circulating through any active working place.
(b) Where it is necessary to do primary blasting during the working shift and the ventilating currents pass from the blast area through active mine workings, all employees shall be removed from such workings to the fresh air side of the blast area before the shots are fired.
(c) After a blast, employees shall not be required or permitted to return to their working places until the atmosphere of such places is reasonably free of smoke, dust, and gases from the blast.
§7096. (5-1). Dust, Smoke, and Gases from Secondary Blasting.

(a) In order to protect employees from harmful dust, smoke, and gases from secondary blasting, such blasting shall not be done unnecessarily during the working shift.
(b) At permanent locations, such as bulldozing chambers, main grizzlies, draw points, and other control points where blasting is done throughout the working shift in the regular course of the work, employees shall be protected by one or more of the following, as necessary:
(1) A ventilation system that carries dust, smoke, and gases directly into the return air without circulation through any active working place.
(2) A system of water sprays that will blanket the area with a fine spray or mist during blasting, and long enough thereafter that the dust, smoke, and gases are allayed.
(3) Removal of employees from all areas of contamination until the atmosphere is reasonably free of dust, smoke, and gases.
(c) When blasting a chute that is equipped with water sprays, it is recommended that the sprays be turned on before the shot is fired.
(d) After a secondary blast has been fired, employees shall not be required or permitted to return to the blast area until the atmosphere is reasonably free of dust, smoke, and gases from the blast.
(e) If the amount of explosive used or the frequency of secondary blasting is such that serious contamination of active working places is apt to occur, employees in such places shall be removed to the fresh air side of the blast area.
Such employees shall not be required or permitted to return to their working places until the atmosphere is reasonably free of dust, smoke, or gases. 
UNDERGROUND MINE VENTILATION
§7098. Ventilation.

(a) The operator of every mine shall cause a good and sufficient current of fresh air to be circulated through every working place in the mine.
(b) The quantity of fresh air circulated through each working place shall be at least 200 cubic feet per minute for each person.
(c) Where workings are of such size or shape that air does not circulate satisfactorily in the vicinity of the workers, auxiliary ventilation shall be used.
(d) If the quantity of fresh air required by subsection (b) of this section is not sufficient to prevent harmful accumulations of dust, fumes, vapors, or gases, enough additional fresh air shall be provided to remove and prevent such accumulations.
(e) Men shall not be permitted, except in extreme emergencies, to work in a place where the oxygen content of the air is less than 19 1/2 percent by volume (dry basis).
(f) No man, unless he is wearing permissible, self-contained breathing apparatus, shall be permitted to work in a place where a flame safety lamp will not burn.
(g) (5-28) Unventilated areas shall be sealed or barricaded and posted against entry.
§7099. Mechanical Ventilation.

(a) When the Division considers it necessary for the protection of employees, mechanically produced and positively controlled air currents shall be provided.
(b) For maximum accessibility and to isolate them from underground hazards, the main fan or fans shall be installed on the surface, unless permission in writing is secured from the Division for their underground installation.
Fans shall be so arranged that the mine entrances can be used for rescue or other purposes.
(c) For the protection of employees, the main fan or fans shall be installed so that the ventilating current can be quickly reversed in direction.
(d) Auxiliary fans underground shall be located so as to provide the best air available to the working place. Recirculation of air by auxiliary fans shall be avoided as far as practical.
(e) (5-22) All surface fans, casings, and air ducts shall be constructed wholly of noncombustible materials.
(f) Every fan house and every building within 50 feet of a fan house shall be constructed wholly of noncombustible material, or shall be made fire resistant by the use of gunite, cement plaster, metal sheathing, or by other equally effective means.
(g) Compressed air that does not contain smoke, harmful gases, or excessive oil may be used for ventilating purposes.
(h) Where underground fans are operated by electricity, all combustible material in the immediate vicinity shall be removed or made fire resistant.
Article 32. Gases in Mines
UNDERGROUND
§7102. Dangerous Accumulation of Gases.
Note     •     History

(a) When the air in any part of a mine is known to contain, or is suspected of containing, a dangerous accumulation of gas, it shall be tested before anyone is allowed to work therein.
(b) For the purpose of these Orders, a dangerous accumulation of gas is any gas, except flammable gas, in a concentration greater than listed in the General Industry Safety Orders as the maximum allowable concentration for such gas.
A dangerous accumulation of flammable gas is any mixture of flammable gas and air which exceeds 20 percent of its lower explosive limit.
(c) If an accumulation of gas is sufficient to endanger persons away from its immediate vicinity, such persons shall be promptly taken out of the danger area until the gas is removed.
(d) When it is necessary to move an accumulation of gas, provision shall be made for the safety of employees in the area through which the gas is to be moved. Accumulations of gas shall be moved under the direction of a competent person.
(e) No one shall be permitted to work or be in a dangerous accumulation of gas unless permissible respiratory equipment adequate for employee protection is worn.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending subsections (d) and (e) and adding Note filed 3-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 11).
§7103. (21-1). Gassy Mine Classification.

(a) A mine shall be deemed gassy, and thereafter operated as a gassy mine, if:
(1) (21-1b) Flammable gas emanating from the orebody or the strata surrounding the orebody has been ignited in the mine; or
(2) (21-1c) A concentration of 0.25 percent or more, by air analysis, of flammable gas emanating only from the orebody or the strata surrounding the orebody has been detected not less than 12 inches from the back, face, or ribs in any open workings; or
(3) (21-1d) The mine is connected to a gassy mine; or
(4) (21-1a) The Division may designate any mine as gassy if history or past experience indicates that flammable gas in hazardous concentrations is likely to be encountered in such mine.
§7104. Tests for Gases.
Note     •     History

(a) Tests for flammable gases shall be made with a permissible methane detector or by chemical analysis.

Note: To be of most value in active mines, it is necessary that the percent of gas present be quickly and accurately determined. Because of the time required to collect and analyze air samples, and the relative insensitivity of the flame safety lamp, it is strongly recommended that a permissible methane detector be used for testing.
(b) Tests for any gas other than flammable gas shall be made by chemical analysis or by use of a testing device designed to detect the particular gas for which the test is being made, and to measure its concentration.
(c) When the air in any part of a mine is known to contain or is suspected of containing dangerous or explosive gas, it shall be tested by means acceptable to the Division of Industrial Safety before employees are allowed to work therein. These tests shall be made by an individual who has been certified by the Division to make them.
Every person requesting certification as a gas tester shall submit a completed application form to the Division. Upon submission of an application for certification as a gas tester, the Division shall collect the amount of $15.00 for examination fee which is non-refundable. Renewal fees are $5.00 annually.

Note: See Section 6967 (b) for Labor Code excerpts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code
HISTORY

1. Repealer of subsection (c) and new subsection (c) filed 8-1-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Change without regulatory effect amending subsection (c) and Note filed 3-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 11).
§7105. Mechanical and Electrical Equipment for Gassy Mines.

(a) Before installing mechanical equipment in a gassy mine, consideration shall be given to the use of power which will not be a source of ignition in a gaseous atmosphere.
Where practical, locomotives, material hoists, scraper hoists, auxiliary fans, and other equipment in the mine should be driven by compressed air.
(b) Before installing or using any electrical equipment in a gassy mine, the Division of Industrial Safety shall be advised of actual conditions. Such installations or operations shall be made according to specific orders to be issued by the Division for the particular location.
§7106. (21-2)-(21-100). Gassy Mine Operation.

Gassy mines shall be operated in accordance with all mandatory U.S. Bureau of Mines Health and Safety Standards for Metal and Nonmetallic Underground Gassy Mines, published July 31, 1969, February 25, 1970, and December 8, 1970.
Article 35. Mine Shafts
Note: The principal hazards of all shaft work are falls of persons; falling materials, including rock from operating skips and skip pockets; and skips in adjoining compartments which may strike workers or materials being handled.
Note: The hazards of falling persons and falling materials decrease as the incline of the shaft grows flatter, but a fall in a 20 degree shaft may cause painful or even serious injury.
§7110. Shaft Guarding.

(a) (19--100) Every shaft shall be guarded at the top and at every shaft station.
(b) Guards for shafts shall conform to the following standards;
(1) The guards shall be substantially constructed, preferably, of solid materials, to keep objects from falling into the shaft. If solid materials are not used, openings in the guard shall not exceed one--half inch.
(2) The guards shall be securely fastened in place and, except when necessarily opened, the gates shall be kept securely closed.
(3) The guards and gates shall be at least 42 inches high and shall fit as closely to the floor as feasible.
(4) Any alternate means of guarding which will afford at least equal protection to employees and is acceptable to the division.
(c) The guards for all shafts shall be kept closed except when necessarily opened to:
(1) Load or unload the shaft conveyance.
(2) Make repairs to shaft.
(3) Perform other operations that cannot be performed with the guard in place.
At all times when a guard is removed, the employer shall provide other effective means to prevent men or materials from falling into the shaft.
(d) When a bucket or skip is used for hoisting, means shall be provided that will prevent material from falling into the shaft while being dumped.
(e) (19-105) All stations, levels, and skip pockets shall have a passageway around the working shaft where it is necessary for employees to cross through the shaft.
(f) Entering or crossing through a shaft, except to ascend or descend or for the purpose of inspecting or effecting repairs, is prohibited.
(g) In inclined shafts where the dip exceeds 45 degrees from the horizontal and men are hoisted in skips, the space between the hoisting compartments at each level station shall be closed by lining boards; and an iron bar or pipe of approximately 1-inch diameter shall be placed overhead above the divider in order to give men an easy and secure overhead handhold while walking on the divider.
(h) (19-101) Positive stopblocks or a detail switch shall be installed on all tracks leading to a shaft collar or lading.
§7111. Shaft Work, Maintenance, and Repair--General.

(a) (19-107) Before maintenance or repair work is begun in a shaft, the person in charge of such work shall inform the hoistman of the nature of the work to be done.
(b) (19-108) Signs marked “Men Working in Shaft” shall be hung on the signal device in the hoist room and on or near the hoist brake during the time men are at work in a shaft compartment. The sign shall not be removed until the shaft men have notified the hoist operator that they are in the clear.
(c) When men are working in any compartment of a shaft, the shaft conveyance in any adjoining compartment shall not be operated except in an emergency or as directed by the shaft repair crew.
The hoisting conveyance of any adjoining compartment shall be spotted at the working place to prevent workers from falling into such compartment.
(d) All planks, timbers, bulkheads, and other materials used in repair work shall be removed to a safe place before regular hoisting operations are resumed.
They shall not be placed in a manway compartment in such manner as to impede safe and ready passage through the shaft.
(e) Wherever practical, maintenance work shall be carried on from the hoisting conveyance used in the shaft.
(f) If maintenance work is carried on from the top of the conveyance, a substantial platform or other safe footing securely fastened to the conveyance shall be provided for the workers.
In vertical shafts, an auxiliary bonnet shall be secured to the hoisting rope as closely above such platform as is practical for the work being done.
(g) (15-5) Unless protected by other means acceptable to the Division, approved safety belts shall be provided employees while working:
(1) In or over shafts or winzes inclined more than 45 degrees from the horizontal.
(2) In any portion of any shaft where, because of slippery footing or other local conditions, a serious fall may result.
§7112. Shaft Work--Major Repair.

(a) To prevent injury to men and keep materials from falling down the shaft while extensive repair work is carried on, the following precautions shall be taken:
(1) A substantially constructed bulkhead shall be secured in place in the compartment where the repair operations are carried on, and as close below where the men are working as is practical.
(2) (19-77) When the shaft conveyance is lowered to the working place, it shall be stopped at least 15 feet above the working place and shall be held there until a further signal is given by the repair crew.
§7113. (19-110). Protection Against Falling Materials.

(a) When a bucket or skip is used for hoisting while sinking a new shaft or deepening a shaft already in operation, workers in the shaft shall be protected against falling rocks and materials by one or both of the following means:
(1) Trap doors shall be installed at the shaft collar over openings in pentices and bulkheads, and under dumping points in the shaft for buckets and skips. Such trap doors shall be substantially constructed and so arranged that they can be readily and easily opened and closed. 
It is recommended that trap doors at the collar be operated by compressed air and that the controls be located convenient to the hoistman.
(2) Some other equally effective means acceptable to the Division.
§7114. (19-110). Deepening an Operating Shaft.

(a) No hoisting or other work shall be permitted in the upper part of the shaft while men are in the lower part, unless the men are protected by one or more of the following means:
(1) By leaving a rock pentice at the bottom of the shaft that is to be deepened. The depth of such pentice shall be not less than one and one-half times the least dimension of the shaft.
(2) By installing a substantial bulkhead at the bottom of the shaft to be deepened.
Such bulkhead shall consist of not less than 2 layers of heavy timbers placed with the layers at right angles to each other, and shall be covered with loose rock to a depth of not less than 15 feet.
(b) Any opening through the pentice or bulkhead shall be not larger than is necessary to accommodate the sinking operations, and shall not be located under the hoisting compartments of the shaft being deepened.
§7115. Special Power-Driven Shaft Equipment.

Before special power-driven mechanical equipment is used in a shaft for sinking or enlarging operations, the mine operator shall notify the Division in writing of the provisions made for the safety of employees. 
If considered necessary by the Division, additional safeguards shall be provided.
This section applies to shaft boring machines, shaft drill jumbos, shaft mucking devices, prime movers, and other mechanical appurtenances used in connection with the operation of such equipment.
§7116. Hoisting While Sinking or Enlarging Shaft.

(a) In order to protect men working below the shaft conveyance, only first-class hoists shall be used to hoist or lower men or materials through any shaft or winze which is being deepened or enlarged.
This is not intended to prohibit the material hoist from auxiliary use, such as lifting equipment from the hoist conveyance, raising timbers into place, and similar work, when such use is confined to the immediate area of the working place. When a material hoist is used, no one shall be permitted under the suspended load.
(b) (19-77) When the shaft conveyance is lowered to the working place, it shall be stopped at least 15 feet above the working place and shall be held there until a further signal is given by the shaft workers.
§7117. (11-55). Manway Compartment.

Every mine shaft, winze, or raise used for hoisting, and through which men are required or permitted to climb, shall be wide enough to accommodate a ladder, stairway, or ramp at a safe distance from the moving conveyance.
§7118. (3-20). Shaft Safety Pillars.

No stopping shall be done within 20 feet of a shaft that is regularly used for hoisting men or is used as the main passageway for men entering or leaving the mine. In no case shall stopping be done so as to endanger the shaft.
Article 36. Hoisting Equipment
GENERAL
§7120. Hoisting Equipment for Materials.

Hoisting equipment for materials shall comply with the General Industry Safety Orders.
§7121. Power-Driven Material Hoists.

(a) Material hoists shall not be used to hoist or lower men.
(b) Material hoists shall be installed in a safe location where falling materials from the load cannot endanger either the hoist or hoistman.
(c) Provision shall be made to prevent a pile-up of rope on the drum from overflowing the drum flange.
It is recommended that vertical roller be installed at each end of the drum to guide the incoming rope.
(d) Hands or feet shall not be used to guide the rope onto the drum. A mechanical guide may be used for this purpose, provided it is of a type that can be used safely.
(e) A substantial screen or other suitable guard shall be installed in front of each scraper hoist to protect the operator in event of a broken rope.
§7122. Whims and Windlasses.

Whims and windlasses shall be provided with a reliable device to prevent accidental lowering of the bucket.
§7123. Hoists.

(a) In addition to the regular operating controls, every hoist shall be provided with adequate means for disconnecting the power from the hoist.
(b) The means for disconnecting the power shall be located where it can be easily and safely manipulated by the hoist operator at his operating station.
(c) Power shall be disconnected from the hoist when:
(1) Movement of the hoist would endanger men working on or about the hoist or equipment moved by the hoist.
(2) The hoist is left unattended.
(d) (19-1) Hoists shall have rated capacities consistent with the loads handled and the recommended safety factors of the ropes used.
(e) (19-2) Hoists shall be anchored securely.
(f) (19-6) Automatic hoists shall be provided with devices that automatically apply the brakes in the event of power failure.
§7124. Hoists at Shafts with Only One Exit.

At any mine which is entered by a shaft inclined at an angle more than 20 degrees from the horizontal, the hoist shall be a first-class hoist that complies with the standards set forth in Section 7126.
§7125. Hoist for Hoisting and Lowering Men.

Only a first-class hoist shall be used for hoisting or lowering men.
§7126. First-Class Hoists.

(a) (19-3) Belt, rope, or chains shall not be used to connect driving mechanisms to man hoists.
(b) The hoist shall be provide with ample power to hoist the fully loaded and unbalanced shaft conveyance from the lowest point in the shaft.
(c) (19-4) The hoist shall be equipped with 2 independent and separate braking systems, either of which shall be capable of holding 150 percent of the weight of the fully loaded and unbalanced shaft conveyance at any point in the shaft.
Such brakes shall be so arranged that the failure of one will not interfere with the proper operation of the other. One such braking system shall operate directly on the hoist drum.
(d) Brakes and other control devices shall be arranged and maintained so that they can be easily and safely manipulated by the hoistman at his operating station.
(e) No brake required by this section is acceptable if its operation depends on engaging a jaw clutch, multiple-tooth clutch, or similar device.
(f) (19-5) (19-65) The clutch and one brake on every hoist drum shall be so arranged that the brake must be applied before the drum can be unclutched, and the clutch must be engaged before the brake can be released.
(g) The clutch of every hoist drum shall be provided with means to prevent it being accidentally engaged or released.
(h) (19-9) Every hoist shall be provided with an indicator that will accurately show at any moment the position of the conveyance in the shaft.
It is recommended that the indicator be of a type that is operated by the hoist drum through a system of gears.
Belt-driven indicators are not acceptable because of the danger of the belt slipping or breaking.
(i) The hoist drums shall be provided with flanges that extend at least three diameters of the hoisting rope radially beyond the last layer of rope when all of the rope is coiled on the drum.
(j) Bolts and other fittings of the hoist shall be made secure by suitable locking devices.
(k) (19-120) The hoist shall be maintained in good operating condition. Parts that are defective, broken, cracked, or dangerously worn shall be repaired or replaced without delay.
(l) The hoist drum and head sheave shall be so aligned that the head sheave is at a right angle to the centerline of the hoist drum.
(m) The distance between the hoist drum and the nearest fixed sheave shall be not less than 15 feet for each foot of drum width.
(n) Each hoist drum and head sheave where men are hoisted or lowered shall have a minimum diameter according to the type of rope used, as given below:
6-strand  7-wire rope--42 times rope diameter
6-strand 19-wire rope--30 times rope diameter
6-strand 37-wire rope--18 times rope diameter
8-strand 19-wire rope--21 times rope diameter
(o) The hoistings rope shall be securely fastened to the hoist drum with at least four cable clips, or equivalent, and shall have at least three full wraps of cable on the drum when the hoisting conveyance is at its greatest depth.
(p) Only a first-class hoist shall be used for hoisting or lowering men.
(q) (19-7) Man hoists shall be provided with devices to prevent overtravel and overspeed.
§7128. Design of Headframes.

(a) The headframe shall be so designed and constructed that it will resist a pull in the direction of the hoisting engine greater than the breaking strength of the hoisting rope employed.
(b) There shall be at least 15 feet of unobstructed hoistway clearance between the bottom of the head sheave and the top of the shaft conveyance or top connection for the hoisting rope, whichever is higher, when the bottom of such conveyance is at the top landing. 
(c) (19-38) Every head sheave shall be provided with a platform for inspection and maintenance. Such platform shall be conveniently located, shall be of adequate size for men to work from safely, and shall be equipped with standard railings and toeboards.
(d) Safe access shall be provided to the head sheave platforms.
(e) The headframe, sheaves, bearings, and all accessories shall be maintained in safe and usable condition.
§7129. (19-120). Shaft Conveyances--General.

(a) Every shaft conveyance shall be constructed of steel or other metal of equivalent strength acceptable to the Division.
(b) Safety dogs or catches shall be substantially constructed of steel. They shall be kept well oiled and in good working condition.
(c) At least once each work day, the weight on the hosting rope shall be relieved for activating and inspecting the safety dogs.
When deemed necessary by the Division of Industrial Safety, drop tests may be required in the presence of a representative of the Division.
(d) Should the safety dogs or catches fail to function properly while being tested, the shaft conveyance shall be removed from service until the safety dogs or catches have been put into satisfactory working condition.
§7130. Shaft Guides.

(a) All shaft guides shall be Select Douglas Fir or equivalent, and shall be large enough in cross section to absorb the shock of stopping the fall of a shaft conveyance when gripped by the safety dogs or catches.
(b) Shaft guides shall be securely fastened in place with bolts or lag screws. Lag screws shall be screwed and not driven into place.
§7131. Shaft Tracks.

(a) The tracks for the shaft conveyance in inclined shafts shall be made of steel or other metal of equal strength.

Exception: Wooden rails or skids may be used with a bucket when enlarging or deepening a shaft.
(b) Rails shall be well aligned and securely fastened in place.
(c) The connecting ends of rails shall be fastened together by use of splice bars or welds.
(d) Rail joints shall be supported adequately to prevent bending. It is recommended that rail joints be staggered for better stability.
(e) The track shall be maintained in good condition. Repairs, when needed, shall be made without unnecessary delay.
§7132. Conveyances for Hoisting or Lowering Men in Vertical Shafts.

(a) (19-49) Except when using a bucket for sinking or repairing a shaft, every shaft conveyance in which employees are required or permitted to ride shall be provided with a man-deck for use of employees.
(b) (19-45) Every conveyance used for hoisting or lowering men in a vertical shaft shall be covered by a bonnet to protect persons riding therein.
(c) (19-45) The bonnet shall be constructed of mild steel plate at least three-sixteenths-inch thick, or equivalent, which shall slope toward each side and shall be so arranged that they may be readily pushed upward to afford egress to persons in the conveyance.
(d) (19-50c) The man-deck of every shaft conveyance shall be provided with side casings at least 5 feet high, the gates of which must be at least four and 4 1/2 feet high.
(e) Side casings and doors shall be substantially constructed of metal at least one-sixteenth-inch thick or of wire netting composed of wires at least one-sixteenth inch in diameter, with maximum openings not more than one-half inch.
(f) To prevent accidental opening while the shaft conveyance is in motion, doors shall be equipped with safety catches or other devices satisfactory to the Division.
The doors of the shaft conveyance shall be so arranged that they cannot be opened outward.
(g) Conveyances in vertical shafts shall have at least 1-inch clearance from all timbers and other objects in the shaft except guides for the conveyance.
(h) Every shaft conveyance in which employees are required or permitted to ride shall travel in guides and be equipped with safety dogs or catches of standard design to hold the fully loaded conveyance should the hoisting rope fail.
(i) (19-50a) Every hoisting bucket used in a shaft more than 50 feet deep shall be provided with a crosshead that travels upon guides and is equipped with safety dogs or catches of standard design. The height of the crosshead shall be not less than its width.
(j) (19-50b) Buckets used to hoist men during shaft sinking operation shall have devices to prevent accidental dumping.
§7133. Conveyances for Hoisting or Lowering Men in Inclined Shafts.

Note: The chief hazards of hoisting and lowering men in inclined shafts are derailing the shaft conveyance, breaking the hoisting cable, falling rock or materials, and striking against fixed objects.
(a) Every shaft conveyance shall be provided with shaft guides or other satisfactory means to prevent derailment of the conveyance.
(b) Every shaft conveyance shall be equipped with a device to stop the conveyance should the hoisting rope fail.
(c) (19-45) Conveyances in shafts with a slope greater than 45 degrees from the horizontal shall be provided with bonnets constructed in accordance with the provisions of Section 7132(c).
(d) To prevent employees from being caught between the moving shaft conveyance and the shaft walls, chute lips, timbers, or other obstructions, one (1) or more of the following precautions shall be taken:
(1) At least 2 feet of overhead clearance shall be provided between men on the shaft conveyances in their riding position and the nearest shaft wall, chute lip, timber, or other obstruction.
At least 1 foot of clearance shall be provided between men on the shaft conveyance in their riding position and the nearest obstruction at the side of the shaft conveyance.
(2) The shaft conveyance shall be enclosed in such manner that men riding thereon cannot come in contact with obstructions along the shaft.
(3) The shaft conveyance shall be of such size and construction that men ride entirely inside the conveyance.
(4) Use of alternate means which will afford equivalent protection is acceptable to the Division.
§7135. (19-21). Hoisting Ropes--Safety Factor and Inspections.

(a) Every hoisting rope used on a mechanically driven hoist shall be made of steel or alloy steel. The rope center may be fiber.
(b) Hoisting ropes shall be of adequate size to handle the intended load and shall have the following safety factors:

	Minimum 	Minimum
	safety factor 	safety factor when
Length of rope 	of new rope 	rope must be discarded
500 feet or less	 8	6.4
500 to 1000 feet	 7	5.8
1000 to 2000 feet	 6	5.0
2000 feet and more	 5	4.3

(c) The safety factor of a new rope shall be calculated by dividing the breaking strength of the rope as rated by the manufacturer by the sum of the maximum load to be hoisted, plus the total weight of the rope in the shaft when fully let out.
(d) (19-128) No rope shall be used for hoisting or lowering men:
(1) If there are six broken wires in one strand of a rope lay.
(2) If the wires on the crown are worn to 65 percent of their original diameter.
(3) If more than 3 wires have been reduced by wear more than 30 percent in cross section are broken in 1 strand of a rope lay.
(4) If marked corrosion appears.
(5) If minimum safety factor falls below that specified in subsection (b) of this section.
(e) (19-120) At least once every three months, every hoisting rope used for hoisting or lowering men shall be carefully inspected by a competent man designated for that purpose:
Such inspection shall consist of:
(1) Carefully examining the exterior of the rope throughout its entire length.
(2) Cutting off a section from the load end of the rope at a point not less than 5 feet above the highest part of the rope connection to the conveyance.
(f) The interior of the section of hoisting rope cut off in compliance with subsection (e) of this section shall be carefully examined for fatigue, wear, corrosion, or breaks.
(g) (19-120) If, upon inspection, any hoisting rope is found to be below any requirement set forth in this section, it shall forthwith be removed from service as a hoisting rope.
(h) Serious damage may be caused to the hoisting rope by shaft accidents, such as pulling the shaft conveyance into the sheave, piling up rope on a stopped conveyance, or by kinking or running over the rope when the conveyance is derailed.
In event of an accident which may have caused damage to the hoisting rope, such rope shall not be used to hoist or lower men until it has been inspected by a competent man and found to be safe.
§7136. (19-120). Hoisting Rope Maintenance.

(a) No hoisting rope shall be allowed to drag or rub on any part of the hoistway, but shall be supported by rollers or guide pulleys located so as to prevent dragging or rubbing.
(b) Spliced hoisting ropes shall not be used in mines except as provided for in Section 7137 of these Orders.
(c) Every hoisting rope shall be kept well lubricated at all times.
(d) In all shafts containing acid water or a corrosive atmosphere, an acid-resistant preservative shall be used regularly on the hoisting rope, or a corrosion-resistant rope shall be used.
§7137. (19-24). Hoisting Rope--Method of Attaching to Conveyance.

(a) The hoisting rope shall be attached to the shaft conveyance by one of the following methods:
(1) Thimble With Clip or Clamp Method. The rope shall be attached to the load by passing one end around an oval thimble that is attached to the load and bending the end back so that it is parallel to the long or “live” end of the rope and fastening the two parts of the rope together with clips or clamps.
The “U” bolt of each clip shall encircle the short or “dead” end of the rope, and the distance between clips shall not be less than the figures given in the table below.
The following number of clips shall be used for various diameters of 6-strand 19-wire plow steel ropes. (Follow manufacturer's recommendations for other kinds of wire rope.)

Diameter of		    Space between
rope (inches)	 Number of clips	     clips (inches)

	3/4	 5 	4 1/2 
	7/8	 5 	5 1/4 
1		 5 	6
1	1/2	 5 	7
1	1/4	 6 	8
	1/8	 7 	9
1	1/2	 8 	10
1	5/8	 8 	10
1	3/4	 8 	11
1	7/8	 8 	12
2		 8 	12

Where clamps other than “U” bolts are used, the manufacturer's recommendations shall be used.
For all wire ropes less than three-fourths inch in diameter, at least four clips shall be used.
When clips or clamps are installed on a hoisting rope, they shall be carefully tightened. A full load shall then be applied to the rope and the clips or clamps retightened under load before the rope is put into service.
During the first few days, the clips or clamps shall be inspected at frequent intervals and retightened as necessary.
(2) Zinc Socketing Method. For wire ropes over 1 1/4 inches in diameter, it is recommended that the zinc socketing method b used. If used, the work shall be done by a person experienced in this kind of work.
Babbit metal or lead for socketing wire ropes is prohibited.
(3) Thimble and Splice Method. The rope shall be attached to the load by passing one end around an oval thimble that is attached to the load, bending it back and fastening the “dead” end to the “live” line by splicing in such a manner as to develop the maximum efficiency possible for the particular rope size.
Such splice shall be made only by a workman skilled in wire rope splicing.
§7138. Attaching Hoisting Cable to Hoisting Conveyance--Safety Hook.

(a) (19-75) No open hook shall be used with a shaft conveyance in hoisting, but some form of safety hook or shackle shall be used.
(b) In all shafts where men are hoisted or lowered, an emergency sling double clevis pin, or other attachment acceptable to the Division shall be used from the cable to the conveyance, so that should the clevis pin break, the emergency attachment will prevent the conveyance from falling.
§7139. Hoist Signal System.

(a) (19-90) Every shaft shall be provided with an efficient means of interchanging distinct and definite signals between the top of the shaft and the lowest level and all other levels from which hoisting is done.
(b) (19-92) Every shaft in which hoisting is done shall be provided with an emergency signal system that can be operated from the shaft conveyance at any point in the shaft.
(c) Special care shall be taken to keep all signaling apparatus in good order, and necessary precautions shall be taken to prevent electric signal and telephone wires from coming into contact with other electric conductors, whether insulated or not.
§7140. (19-90). Dual Signaling System.

(a) Every shaft in which men are hoisted or lowered shall be provided with a dual electrical system for shaft signaling.
(b) When a dual method of signaling is employed, one shall be a bell system to signal for movement of the shaft conveyance. It shall be used for no other purpose.
The second method shall be used to call for the shaft conveyance and may also be used for other communications, except to signal for movement of the shaft conveyance. This method shall consist of a system of telephones with buzzers or horns loud enough to be heard clearly.
(c) (19-92) The control for the signal for movement of the shaft conveyance shall be located at the shaft, within easy reach of a person in the shaft conveyance.
(d) The control for the signal used to call for the shaft conveyance shall be in a convenient location well away from the shaft.
(e) (19-10) Hoist controls shall be placed or hosed so that the noise from machinery or other sources will not prevent hoist men from hearing signals.
§7141. (19-94). Hoisting Signal Code.

(a) When using signals for hoisting or lowering, the following system or code shall be used:
Signals Between Mine and Hoistman--

2-1 bells, to hoist rock.
1 bell, to stop if in motion.
1-2-1 bells, to release skip.
2 bells, to lower.
3-1 bells, man on; run slowly; men to be hoisted.
3-2 bells, man on; run slowly; men to be lowered.
7 bells and repeat, accident. Follow this signal with station signal.
3-3-1 bells, hoist cautiously.
3-3-2 bells, lower cautiously.
3-2-1 bells, ready to blast.

After receiving the signal “ready to blast,” the hoistman shall give his signal when he is ready to hoist. The hoistman's signal “ready to hoist” is to raise the shaft conveyance 2 feet and lower it again.
(b) When a signal system is used to call for the shaft conveyance, the following code shall be used: 

1-2 bells, collar of shaft	2--1-2 bells, 20th level
1-3 bells, 1st level	2--1-3 bells, 21st level
1-4 bells, 2d level 	2--1-4 bells, 22d level
1-5 bells, 3d level	2--1-5 bells, 23d level
2-1 bells, 4th level	2--2-1 bells, 24th level
2-2 bells, 5th level 	2--2-2 bells, 25th level
2-3 bells, 6th level	2--2-3 bells, 26th level
2-4 bells, 7th level	2--2-4 bells, 27th level
2-5 bells, 8th level 	2--2-5 bells, 28th level
4-1 bells, 9th level	2--4-1 bells, 29th level
4-2 bells, 10th level	2--4-2 bells, 30th level
4-3 bells, 11th level 	2--4-3 bells, 31st level
4-4 bells, 12th level	2--4-4 bells, 32d level
4-5 bells, 13th level	2--4-5 bells, 33d level
5-1 bells, 14th level 	2--5-1 bells, 34th level
5-2 bells, 15th level	2--5-2 bells, 35th level
5-3 bells, 16th level	2--5-3 bells, 36th level
5-4 bells, 17th level 	2--5-4 bells, 37th level
5-5 bells, 18th level	2--5-5 bells, 38th level
6-1 bells, 19th level 	2--6-1 bells, 39th level
(c) (19-94) Easily legible copies of the hoisting signals shall be posted in a convenient location at the collar of the shaft, at each shaft station, and in the hoist room.
Note: When there are two or more shafts with hoists in the same mining operations, similarly identified levels shall have the same signal code number.
(d) (19-96) Any person responsible for receiving or giving signals for cages, skips, and man trips when men or materials are being transported shall be familiar with the posted signaling code.
§7142. (19-94). Station Signal Boards.

There shall be placed at each station a signboard on which shall be displayed the number of the level and the method for calling the shaft conveyance.
§7143. Lubricating Sheaves, Rollers, and Hoisting Equipment.

(a) The hoistman shall be informed immediately before lubricating or oiling operations are commenced, and again when such operations are finished.
(b) (19-107) The hoist shall not be operated or moved while the sheaves, rollers, or other hoisting equipment are being lubricated, except as directed by the oiler.
Article 37. Hoisting Practices
§7146. Loading Men on Shaft Conveyance.

(a) The person in charge of the mine shall determine the maximum number of people allowed to ride in the shaft conveyance at one time.
(b) Legible signs stating the number of persons allowed to ride in the shaft conveyance at one time shall be posted conspicuously at the shaft collar and on each shaft station where employees board the shaft conveyance.
(c) (19-69) Some responsible person or persons shall be designated to supervise the loading of the shaft conveyance while the shift is being hoisted or lowered.
Such person or persons shall see that the men board the conveyance in an orderly fashion, that the posted maximum number of men allowed on the conveyance at one time is not exceeded, and that the proper hoisting signals are used.
(d) (19-50) It is forbidden to place boards across the top of a bucket or skip and permit men or materials to ride thereon. If boards are used, they shall be placed inside and at least 30 inches below the lip of the bucket or skip.
(e) Men shall be provided with a safe means for getting in and out of the shaft conveyance.
Where it is necessary for men to climb up or down inside the shaft conveyance for a distance of more than 4 feet, a ladder or some other device acceptable to the Division shall be kept in such conveyance while men are being hoisted or lowered.
(f) (19-71) Men shall not be permitted to ride on the bail or edge of the shaft conveyance.
(g) (19-70) The gates of the man-deck shall be closed and latched before a signal is given to move the shaft conveyance.
(h) No smoking or open-flame lights shall be permitted in the shaft conveyance while the shift is being hoisted or lowered.
(i) Crowding or scuffling of men in the vicinity of a shaft is strictly prohibited.
§7147. Hoisting and Lowering Men--General Safe Practices.

(a) The safe rate of speed for the shaft conveyance shall be fixed by the employer for each shaft, and shall not be exceeded when hoisting or lowering men.
A notice of such speed limitation shall be posted in a conspicuous place near the hoist.
(b) When hoisting or lowering men with a bucket, the speed shall not exceed 200 feet per minute except in case of apprehended danger. 
(c) At the beginning of each shift, the shaft conveyance shall make one full trip up and down each hoisting compartment before men are hoisted or lowered.
Such trips before carrying men shall also be made by the hoist conveyance in each hoisting compartment after repair work has been performed in the shaft and after the hoist has not been operated for a period of one hour or more.
(d) When the shaft conveyance has been released to the hoistman, it shall not be left at a landing but shall be hung up at least 10 feet above the shaft collar or level.
(e) A careful watch shall be kept over all hoisting equipment. A daily inspection shall be made of all such equipment and a report of any defect shall be made to the person in charge.
(f) Only authorized visitors and employees shall be permitted in the hoist room.
(g) When men are being hoisted in a skip or bucket, means shall be taken to prevent the lip of the skip from catching on the shaft timbers should the conveyance dip downward.
(h) (19-69) It is forbidden to get on or off a shaft conveyance while it is in motion.
(i) Hoisting or lowering men by animal power or by motor vehicles is prohibited.
(j) (19-71) Men shall not ride in skips or buckets with muck, supplies, materials, or tools other than small hand tools.
(k) (19-73) Rock or supplies shall not be hoisted in the same shaft as men during shift changes, unless the compartments and dumping bins are partitioned to prevent spillage into the cage compartment.
§7148. Hoisting Tools and Materials.

(a) (19-80) All timbers, tools, and other materials that are longer than the shaft conveyance in which they are being hoisted or lowered shall be securely lashed to the cable at their upper ends, or otherwise secured, so they will safely ride up or down the shaft without catching on timbers, rocks, or other obstructions.
(b) Other material shall be secured to the shaft conveyance or enclosed in such manner that it cannot fall from the conveyance or catch on obstructions along the shaft.
(c) (19-79) Where mine cars are hoisted by cage or skip, means for blocking cars shall be provided at all landings and also on the cage.
§7149. Hoistmen Required to Be on Duty.

(a) A qualified hoistman shall be in immediate charge of the hoist at all times when men are being hoisted or lowered.
Should any of the hoistman's duties be delegated to a learner, they shall be performed under the direct personal supervision of the qualified hoistman.
(b) At all times the shift is being hoisted or lowered, a man who is familiar with the operation of the hoist shall be present beside the hoistman, and be on the alert to assume immediate control of the hoist in the event that the hoistman should become incapacitated.
The standby man need not be a fully qualified hoistman, but shall be familiar with the operation of the hoist.
This subsection does not apply where the hoist is equipped with control devices that will automatically stop the hoist and apply the brake when the shaft conveyance reaches designated points at the top and bottom of the shaft.
(c) (19-55) A hoistman shall be on duty, within hearing of the hoist signal, as long as any man remains in a mine into which he has been lowered. He shall not at any time be more than 300 feet from his hoist.
(d) The hoistman shall not be permitted to engage in conversation while hoisting or lowering men.
§7150. (19-58). Qualified Hoistman.

(a) At every mine where men are hoisted or lowered, there shall be one or more qualified hoistmen who shall operate the hoist while men are being hoisted or lowered.
(b) Qualified hoistmen shall be not less than 21 years of age and shall be able to speak and read English readily.
(c) Every qualified hoistman shall be familiar with the details and workings of mine hoists and must be experienced in their operation.
(d) Men who wish to become qualified hoistmen, but who have not had practical experience in hoisting and lowering men and material, must operate a hoist handling material a sufficient length of time under instruction of an experienced qualified hoistman until the employer considers the learner competent to hoist and lower men.
(e) Every qualified hoistman shall be given a thorough physical examination at least once a year by a physician licensed to practice medicine in California. The physician shall complete an examination form prescribed by the Division and send it to the employer after signing, detaching, and delivering the lower part to the applicant for posting in the hoist house.
No man shall be permitted to hoist or lower men until he has successfully passed the physical examination.
(f) The Division may require hoistmen who handle materials only to pass the prescribed physical examination where improper operation of the hoist might endanger an employee.
Article 40. Inspections
UNDERGROUND
§7160. (3-22). Daily Inspections.
Note     •     History

(a) At least twice during each working shift, an inspection shall be made of every part of the mine where an employee is working or required to be in the course of his duties.
One such inspection shall be made during the early part of the work shift and another inspection shall be made during the latter part of the workshift.
Such inspections shall be made by a shift boss or other mine official, who must be at least 21 years of age, and able to speak, read, and write English.
(b) The employee who makes the inspection shall watch for unsafe conditions and practices that may cause injury to employees. Immediate hazards such as missed holes, dangerous accumulations of gases, and unguarded chutes shall be corrected without unnecessary delay.
(c) If any dangerous or questionable ground is found in the roof or sides, it shall promptly be made safe by one or more of the following means:
(1) Scaling or blasting down
(2) Supporting
(3) Backfilling
(4) Erect barriers with warning signs to prevent entrance to the dangerous area.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending subsection (b) and adding Note filed 3-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 11).
§7161. (19-120). Shaft Inspection.

Each shaft in which men or materials are hoisted or lowered shall be inspected each week by a man who is competent to make such inspection.
The man making the inspection shall list on a form prescribed by the Division all unsafe conditions found in the shaft and corrective measures necessary to make the shaft safe.
The weekly shaft report shall be signed by the man who made the inspection. The weekly shaft inspection report shall be kept at the mine office for two years, and shall be available for examination by representatives of the Division.
§7162. (11-51a). Monthly Inspections.

(a) Some competent person or persons shall make an inspection at least once each month of all active workings of the mine and appliances in the mine, and shall report any unsafe conditions to the employer, who shall take immediate steps to remedy the same.
(b) The entire escape exit shall be inspected at least once each month for rock falls, fire hazards, deterioration of ladders, timbers, and other equipment necessary to maintain an adequate escapeway.
If any condition is found in an escape exit making it inadequate for an escapeway, repairs shall be commenced immediately and completed with reasonable diligence.
A written report shall be made of the escape exit inspection. The report shall list all hazardous conditions found in the escape exit. It shall be signed by the person or persons who made the inspection, and shall be kept at the mine office for two years, during which period it shall be available for examination by representatives of the Division.
Note: If desired, the general mine inspection and escape exit inspection required by subsections (a) and (b) may be combined with the safety committee inspection required by Section 6964.
Article 41. Telephones
UNDERGROUND
§7164. Telephone System.

(a) A telephone system shall be installed and maintained in good working condition in every mine which:
(1) Has reached a depth of 500 feet.
(2) Is entered by an audit or tunnel in which mining or development work is being done at a distance more than 1,000 feet from the entrance.
(b) The telephone system shall be equipped with telephones on the surface and at each working level 100 feet or more below the surface. 
(c) Mines opened by a shaft having an inclination of less than 20 degrees from the horizontal shall be considered, for the purpose of this Order, to be mines opened by tunnels or adits.
§7165. Emergency Telephone.

At every mine with an escape exit required by these Orders, telephone communication for emergency purposes shall be provided between the underground telephone stations and the principal surface telephone station, by way of the escape exit, provided, however, that other equally rapid means of communication may be used between surface stations.
Such emergency system shall be in addition to the telephone system required by Section 7164.
§7166. Telephones for Shaft Work.

When a shaft-sinking or shaft-deepening operation reaches a depth of 100 feet below the shaft-sinking hoist, a telephone system shall be installed for communication between the shaft crew and the hoistman.
It is recommended that a portable type of telephone be provided for the shaft crew so that it can be kept near their working place during working hours.
Article 45. Protection Against Water
GENERAL
§7175. (20-10). Retaining Dams.

(a) If failure of a water or silt retaining dam will create a hazard, it shall be of substantial construction and inspected at regular intervals.
(b) (20-10) No restraining dam shall be installed in any mine where the rupture of such dam would imperil the safety of men in said mine or other mine until the Division has given its approval for the construction of said dam. 
UNDERGROUND
§7176. (20-10). Protection Against Water.

(a) No mine working shall be allowed to approach within 16 feet of any part of a winze, stope, or other opening in which there is a known or suspected dangerous accumulation of water.
(b) Notice shall be given to the Division in writing before starting to advance a mine working toward another mine working that is suspected of being filled with water.
(c) A bore hole shall be drilled at least 18 feet ahead of the face when in the vicinity of mine workings suspected of containing a dangerous accumulation of water.
When the exact location of such working is not known, additional bore holes at least 18 feet deep shall be drilled in other directions.
(d) In every mine where there is danger of a sudden inburst of water, additional raises, drifts, bulkheads, or other workings shall be constructed as are necessary in the opinion of the Division to insure the escape of workmen.
(e) No underground mine working shall be allowed to approach within 50 feet of any stream, pond, or other body of water on the surface.
Article 46. Dangerous Excavations at Underground Mines
§7178. Dangerous Excavations.
Note     •     History

(a) (20-20) Access to unattended mine openings shall be restricted by gates or doors, or the openings shall be fenced and posted.
(b) (20-21) Every dangerous surface excavation in which work has been discontinued, including any tunnel, mine shaft, pit, well, septic tank, cesspool, or other abandoned excavation, shall be securely covered over, fenced, or otherwise effectively guarded and appropriate danger notices shall be posted.
(c) (20-21) All dangerous inactive or abandoned underground mine workings shall be securely covered over, fenced, or otherwise effectively guarded to prevent entrance of employees into such workings.
Where the method of guarding does not positively prevent entrance into the dangerous workings, such entrance shall be plainly marked with legible signs warning unauthorized employees to keep out.
(d) (20-31) In areas where dangerous accumulations of water, gas, mud, or fire atmosphere could be encountered, employees shall be removed to safe places before blasting.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect amending subsection (d) and adding Note filed 3-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 11).
Article 47. Electrical Equipment and Practices
GENERAL
§7180. Electrical Equipment and Installations.

The provisions of T8-7180 of Part 6, T-24, are incorporated herein as a part of these regulations and reads as follows:

T8-7180. Electrical Equipment and Installations.
In addition to the provisions of Part 2, the following shall apply to all mine construction. All electrical wiring and equipment shall be installed and maintained in compliance with the Electrical Safety Orders for underground and Part 3, T-24, CAC for surface buildings.
§7181. Trailing Electrical Power Cables--General.

(a) Trailing electric power cables shall be used only in continuous lengths except when connections are made with a connector or splice box of approved design.
(b) Branch circuits shall not be installed on trailing electric power cables.
(c) Vehicles shall not be driven over electric power cables unless such cables are protected from mechanical injury and the vehicles prevented from coming in contact with cables.
(d) Where a trailing electric power cable passes over an industrial railway track or vehicular road, it shall be securely supported by poles, horses, or other means so as to provide a safe clearance between the cable and any equipment used on the railway or vehicular road.
(e) Trailing electric power cables shall be connected to mobile equipment in such manner that tension will not be transmitted to the joints or terminals screws of the fittings. This shall be accomplished by a special fitting designed for such purpose, or by other equally effective means.
(f) Cable tongs, cable hooks, or slings with insulated handles shall be used when handling energized trailing electric power cables.
(g) Noncurrent-carrying metal parts of portable equipment using trailing electric cables shall be grounded by means of a grounding conductor run with the circuit conductors in cable assemblies or flexible cords; this conductor may be uninsulated but if an individual covering is provided for this conductor, it shall be finished to show a green color.
§7182. Trailing Electric Power Cables, Maintenance and Repair.

(a) Trailing electric power cables shall be maintained in good repair.
(b) Conductors of trailing electric power cables shall be so spliced or joined as to be mechanically and electrically secured without solder and unless an approved splicing device is used, shall then be soldered with a fusible metal or alloy or brazed or welded. All splices and joints and free ends of conductors shall be covered with an insulation equivalent to that on the conductors.
(c) When the jackets of trailing electric power cables have been cut or damaged so that their insulation protection is substantially reduced, or when the conductors of such cables have been sliced, the jackets shall be repaired and vulcanized so that the repaired section will have insulating properties equivalent to the original electric cable cover.
§7183. Federal Electrical Standards.
Note     •     History

(a) Except as provided herein, the Bureau of Mines Mandatory Electricity Standards published July 31, 1969, February 25, 1970 and December 8, 1970 are adopted as part of these orders and read as follows:

Exception: In no case shall the minimum requirements be less than those established in the Electrical Safety Orders, T-8, CAC and Part 3, T-24, CAC. 

GENERAL
(1) (12-1) Circuits shall be protected against excessive overload by fuses or circuits breakers of the correct type and capacity.
(2) (12-2) Electric equipment and circuits shall be provided wit switches or other controls. Such switches or controls shall be of approved design and construction and shall be properly installed.
(3) (12-3) Individual overload protection and short circuit protection shall be provided for the trailing cables of mobile equipment.
(4) (12-7) Trailing cables and power-cable connections to junction boxes shall not be made or broken while energized.
(5) (12-11) High-potential transmission cables shall be covered, insulated, or placed to prevent contact with low-potential circuits. 
(6) (12-14) Shovel trailing cables shall not be moved with the shovel dipper unless cable slings or sleds are used.
(7) (12-16) Electrical equipment shall be deenergized before work is done on such equipment. Switches shall be locked out or other measures taken which shall prevent the equipment from being energized without the knowledge of the individuals working on it. Such locks, or preventative devices shall be removed only by the persons who installed them or by authorized personnel.
(8) (12-17) Power circuits shall be deenergized before work is done on such circuits unless hotline tools are used. Suitable warning signs shall be posted by the individuals who are to do the work. Switches shall be locked out or other measures taken which shall prevent the power circuits from being energized without the knowledge of the individuals working on them. Such locks, signs, or preventative devices shall be removed only by the person who installed them or by authorized personnel.
(9) (12-18) All switches, automatic cutouts, or other control devices shall be located or marked as to clearly indicate the equipment controlled by them, and switches (excepting magnetic switches) shall indicate whether they are open or closed.
(10) (12-20) Dry wooden platforms, insulating mats, or other electrically-nonconductive material shall be kept in place at all switchboards and power-control switches where shock hazards exist. However, metal plates on which a person normally would stand and which are kept at the same potential as the grounded, metal, noncurrent-carrying parts of the power switches to be operated may be used.
(11) (12-21) Suitable danger signs shall be posted at all major electrical installations.
(12) (12-23) Electrical connections and resistor grids that are difficult or impractical to insulate shall be guarded, unless protection is provided by location.
(13) (12-25) All metal enclosing or encasing electrical circuits shall be grounded or provided with equivalent protection. This requirement does not apply to battery-operated equipment.
(14) (12-26) Metal fencing and metal buildings enclosing transformers and switchgear shall be grounded.
(15) (12-27) Frame grounding or equivalent protection shall be provided for mobile equipment powered through trailing cables.
(16) (12-28) Continuity and resistance of grounding systems shall be tested immediately after installation.
(17) (12-30) When a potentially dangerous condition is found it shall be corrected before equipment or wiring is energized.
(18) (12-33) Hand-held electric tools shall not be operated at high potential voltages.
(19) (12-36) Fuses shall not be removed or replaced by hand in an energized circuit, and they shall not otherwise be removed or replaced in an energized circuit unless equipment and techniques especially designed to prevent electric shock are provided and used for such purpose.
(20) (12-37) Fuse tongs or hot line tools shall be used when fuses are removed or replaced in high-potential circuits.
(21) (12-40) Operating controls shall be installed so that they can be operated without danger of contact with energized conductors. 
(22) (12-41) Switches and starting boxes shall be of safe design and capacity.
(23) (12-45) Overhead high-potential powerlines lines shall be installed as specified by the Electrical Safety Orders and Part 3, T-24, CAC.
(24) (12-47) Guy wires of poles supporting high-potential conductors shall be equipped with insulators installed near the pole end.
(25) (12-48) Telegraph, telephone, or signal wires shall not be installed on the same crossarm with power conductors. When carried on poles supporting powerlines, they shall be installed as specified by the Electrical Safety Orders and Part 3, T-24, CAC.
(26) (4-10) Power wires and cables shall be adequately insulated. Flexible cords and cables shall not be used as a substitute for fixed wiring and shall be adequately protected when subject to physical damage.
(27) (4-11) Abandoned electrical circuits shall be de-energized and isolated so that they cannot become energized inadvertently.

SURFACE ONLY
(28) (12-65) Powerlines, including trolley wires, and telephone circuits shall be protected against short circuits and lightning.
(29) (12-66) Where metallic tools or equipment can come in contact with trolley wires or bare powerlines, the lines shall be guarded or deenergized.
(30) (12-67) Transformers shall be totally enclosed, located on poles or shall be enclosed in compliance with the Electrical Safety Orders.
(31) (12-68) Transformer enclosures shall be kept locked against unauthorized entry.
(32) Provisions for preventing accidents due to overhead high-voltage lines shall be in conformance with the High-Voltage Electrical Safety Orders, Article 86, which reads:

Article 86. Provisions for Preventing Accidents Due to Proximity of Overhead Lines

2946.  Provisions for Preventing Accidents Due to Proximity to Overhead Lines.
(a) General. No person, firm, or corporation, or agent of same, shall require or permit any employee to perform any function in proximity to energize high-voltage lines; to enter upon any land, building, or other premises and thereto engage in any excavation, demolition, construction, repair, or other operation; or to erect, install, operate, or store in or upon such premises any tools, machinery, equipment, materials, or structures (including scaffolding, house moving, well drilling, pile driving, or hoisting equipment) unless and until danger from accidental contact with said high-voltage lines has been effectively guarded against.
(b) Clearances or Safeguards Required. Except where electrical distribution and transmission lines have been deenergized and visibly grounded or effective barriers have been erected to prevent physical and arcing contacts with the high-voltage lines, the following provisions shall be met:
(1) Over Lines. The operation, erection, or handling of tools, machinery, apparatus, supplies, or materials, or any part thereof, over energized high-voltage lines shall be prohibited.
(2) Equipment and Materials in Use. The operation, erection, or handling of tools, machinery equipment, apparatus, materials, or supplies, or any part thereof within the minimum clearances from energized lines set forth in Table X shall be prohibited.

Table X
Required Clearances from Overhead High-Voltage Lines

              Nominal Voltage	Minimum Required    
              (Phase to Phase)	Clearance (Feet)      

	750-	50,000	 10
	        Over 50,000-	75,000	 11
	        Over 75,000-	125,000	 13
	Over 125,000-	175,000	 15
	Over 175,000-	250,000	 17
	Over 250,000-	370,000	 21
	Over 370,000-	550,000	 27
	Over 550,000-	1,000,000	 42
(3) Transportation or Transit. The transportation or transit of any tool, machinery, equipment, or apparatus, or the moving of any house or other building in proximity to overhead high-voltage lines shall be expressly prohibited if at any time during such transportation or transit such tool, machinery, equipment, apparatus, or building or any part thereof, can come closer to high-voltage lines than the minimum clearances set forth in Table Y.
 Except where the boom of boom-type equipment is lowered and no load is imposed thereon, the equipment in transit shall conform to the minimum required clearances set forth in Table X.

Table Y
Required Clearances from Energized High-Voltage Conductors (While in Transit)

            Nominal Voltage 	Minimum Required    
            (Phase to Phase) 	Clearance (Feet)      

	   750-	50,000	 6
	Over   50,000-	345,000	 10
	Over 345,000-	750,000	 16
	Over 750,000-	1,000,000	 20
(4) Storage. The storage of tools, machinery, equipment, supplies, materials, or apparatus under, by, or near energized high-voltage lines is hereby expressly prohibited if at any time during such handling or other manipulation it is possible to bring such tools, machinery, equipment, supplies, materials, or apparatus, or any part thereof, within the minimum required clearances from high-voltage lines as set forth in Table X.
(c) The specified clearance shall not be reduced by movement due to any strains impressed (by attachments or otherwise) upon the structures supporting the high-voltage line or upon any equipment, fixtures, or attachments thereon.
(d) Insulated cage-type boom guards, boom stops, insulating links, or proximity warning devices may be used on cranes, but the use of such devices shall not alter the required clearances set forth in Table X.
(e) Any overhead conductor shall be considered to be energized unless and until the person owning or operating such line verifies that the line is not energized, and the line is visibly grounded at the work site. 
 2947. Warning Signs Required. The owner, agent, or employer responsible for the operations of equipment shall post and maintain in plain view of the operator and driver on each crane, derrick, power shovel, drilling rig, hay loader, hay stacker, pile driver, or similar apparatus, a durable warning sign legible at 12 feet reading: “UNLAWFUL TO OPERATE THIS EQUIPMENT WITHIN 10 FEET OF HIGH-VOLTAGE LINES OF 50,000 VOLTS OR LESS.”
 In addition to the above wording, the following statement in small lettering shall be provided on the warning sign: “For Minimum Clearances Of High-Voltage Lines In Excess of 50,000 Volts. See Article 86, Title 8, High-Voltage Electrical Safety Orders.”

2948.  Notification to the Operators of High-Voltage Lines and
Responsibility for Safeguards. 
 When any operations are to be performed, tools, or materials handled, or equipment is to be moved or operated within the specified clearances of any energized high-voltage lines, the person or persons responsible for the work to be done shall promptly notify the operator of the high-voltage line of the work to be performed and shall be responsible for the completion of the safety measures as required by Order 2946(b) before proceeding with any work which would impair the aforesaid clearance.

2949.  Special Exemptions.
The provisions of the foregoing Orders 2946 through 2948 shall not apply to the construction, reconstruction, maintenance, or operation of any energized high-voltage overhead lines or their supporting structure or appurtenances by qualified electrical workers, nor to work performed in proximity to high-voltage lines by qualified persons using approved equipment and work procedures.

UNDERGROUND ONLY
(33) (12-80) Trolley wires and bare power conductors shall be guarded at man-trip loading and unloading points, and at shaft stations. Open unguarded trolley wires shall be placed not less than 9 feet above the track, or not less than 6 inches outside of the rail and not less than 7 feet above the rail.
(34) (12-82) Powerlines shall be well separated or insulated from waterlines, telephone lines, and air lines.
(35) (12-85) Transformer stations shall be enclosed to prevent persons from unintentionally or inadvertently contacting energized parts.
NOTE

Authority cited: Section 6500, Labor Code.
HISTORY

1. Repealer of subsection (a)(32) and new subsection (a)(32) filed 7-27-73, effective thirtieth day thereafter (Register 73, No. 30). 
2. Editorial correction of subsection (a)(11) (Register 97, No. 25).
Article 50. Explosives [Repealed]
HISTORY

1. Repealer of article 50 (sections 7200-7208) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 51. Storage of Explosives [Repealed]
HISTORY

1. Repealer of article 51 (sections 7210-7217) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 52. Transportation of Explosives [Repealed]
HISTORY

1. Repealer of article 52 (sections 7220-7227) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 53. Handling and Use of Explosives--Blasting Operations [Repealed]
HISTORY

1. Repealer of article 53 (sections 7230-7256) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 54. Mixing Blasting Agents [Repealed]
HISTORY

1. Repealer of article 54 (sections 7260-7267) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 55. Licensing of Blasters [Repealed]
HISTORY

1. Repealer of article 55 (sections 7275-7283 and appendices A and B) filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Subchapter 18. Ship Building, Ship Repairing and Ship Breaking Safety Orders

(Originally Printed 4-20-75
Revised 11-1-75)
Article 1. Introduction
§8345. Title.
Note     •     History

These Safety Orders shall be known as Ship Building, Ship Repairing and Ship Breaking Safety Orders, and shall take precedence over all other Safety Orders insofar as any inconsistencies are concerned. The other Safety Orders will apply to all conditions or exposures not specifically covered by these Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Originally printed 4-20-45 (Title 8).
2. Repealer and new Subchapter 18 (Sections 7500 through 7506, 7508, 7509, 7512, 7517, 7518, 7523 through 7534, 7539 through 7556, 7561, 7562, 7567, 7572, 7573, Appendix A) filed 8-8-61; effective thirtieth day thereafter (Register 61, No. 16).
3. Renumbering of Sections 7500 through 7573 to 8345 through 8399 (not consecutive) and modification of internal references filed August 2, 1971, as organizational and procedural; effective upon filing (Register 71, No. 32).
4. Editorial correction (Register 75, No. 44).
5. Amendment filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27). 
6. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8346. Purpose and Objectives. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Editorial correction (Register 75, No. 44). 
2. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8347. Scope.
Note     •     History

These orders shall apply to all shoreside ship and boat building, ship repair and breaking operations up to the dockside end of the gangway, and to all shore-based cranes and shore-based devices used for loading or unloading materials on or off vessels on the navigable waters of the United States contiguous to the borders of the State of California. These orders do not apply to work aboard vessels on cradles on marine railways, in graving docks or dry docks, including floating dry docks, or on vessels afloat on navigable waters.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Repealer and new section filed 7-13-78; effective thirtieth day thereafter (Register 78, No. 28). 
3. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8348. Labor Code, Section 6404. [Repealed]
History

HISTORY

1. Repealer filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
§8349. Employee Responsibility. [Repealed]
History

HISTORY

1. Repealer filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
§8350. Injury and Illness Prevention Program.
Note     •     History

All employers shall establish, implement and maintain an effective Injury and Illness Prevention Program in accordance with section 3203 of the General Industry Safety Orders. 
(a) A written Code of Safe Practices similar or equal to those contained in Appendix A shall be developed, implemented and posed in a conspicuous location, and issued to each employee.
NOTE

Authority cited: Sections 142.3 and 6401.7, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
2. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8). 
§8351. Medical Services and First Aid.
Note     •     History

(a) General requirement. The employer shall ensure that emergency medical services and first aid are readily accessible.
(b) Advice and consultation. The employer shall ensure that healthcare professionals are readily available for advice and consultation on matters of workplace health.
(c) First aid providers. 
(1) The employer shall ensure that there are an adequate number of employees trained as first aid providers at each worksite during each work shift unless:
(A) There is an on-site clinic or infirmary with first aid providers during each work shift; or
(B) The employer can demonstrate that outside first aid providers (i.e., emergency medical services) can reach the worksite within five (5) minutes of a report of injury or illness. The employer shall take appropriate steps to ascertain that emergency medical assistance will be readily available promptly if an injury or illness occurs.
(2) The employer shall ensure that a first aid provider is able to reach an injured/ill employee within five (5) minutes of a report of a serious injury, illness, or accident such as one involving cardiac arrest, acute breathing problems, uncontrolled bleeding, suffocation, electrocution, or amputation.
(3) The employer shall use the following factors in determining the number and location of employees who shall have first aid training: size and location of each worksite; the number of employees at each worksite; the hazards present at each worksite; and the distance of each worksite from hospitals, clinics, and rescue squads.
(4) The employer shall ensure that first aid providers are trained to render first aid, including cardiopulmonary resuscitation (CPR).
(5) The employer shall ensure that each first aid provider maintains current first aid and CPR certifications, such as issued by the Red Cross, American Heart Association, or other equivalent organization.
(d) First aid supplies. 
(1) The employer shall provide and maintain adequate first aid supplies that are readily accessible to each worksite. An employer's on-site infirmary or clinic containing first aid supplies that are readily accessible to each worksite complies with this requirement.
(2) The employer shall ensure that the placement, content, and amount of first aid supplies are adequate for the size and location of each worksite, the number of employees at each worksite, the hazards present at each worksite, and the distance of each worksite from hospitals, clinics, and rescue squads.
(3) The employer shall ensure that first aid supplies are placed in a weatherproof container.
(4) The employer shall maintain first aid supplies in a dry, sterile, and serviceable condition.
(5) The employer shall replenish first aid supplies as necessary to ensure that there is an adequate supply when needed.
(6) The employer shall inspect first aid supplies at sufficient intervals to ensure that they are adequate and in a serviceable condition.
(e) Quick-drenching and flushing facilities. Where the potential exists for an employee to be splashed with a substance that may result in an acute or serious injury, the employer shall provide facilities for quick-drenching or flushing the eyes and body. The employer shall ensure that such a facility is located for immediate emergency use within close proximity to operations where such substances are being used.
(f) Basket stretchers. 
(1) The employer shall provide an adequate number of basket stretchers, or the equivalent, readily accessible to where work is being performed on a vessel or vessel section. The employer is not required to provide basket stretchers or the equivalent where emergency response services have basket stretchers or the equivalent that meet the requirements of this subsection.
(2) The employer shall ensure each basket stretcher, or the equivalent, is equipped with:
(A) Permanent lifting bridles that enable the basket stretcher, or the equivalent, to be attached to hoisting gear capable of lifting at least 5,000 pounds (2,270 kg);
(B) Restraints that are capable of securely holding the injured/ill employee while the basket stretcher, or the equivalent, is lifted or moved; and
(C) A blanket or other suitable covering for the injured/ill employee.
(3) The employer shall store basket stretchers, or the equivalent, and related equipment (i.e., restraints, blankets) in a clearly marked location in a manner that prevents damage and protects the equipment from environmental conditions.
(4) The employer shall inspect stretchers, or the equivalent, and related equipment at intervals that ensure the equipment remains in a safe and serviceable condition, but at least once a year.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50). For prior history, see Register 88, No. 6.
Article 2. Application
§8352. Application of These Orders.
Note     •     History

These orders shall apply to the construction, reconditioning, rebuilding, altering, overhauling, demolition, and repairing of all ships, boats, pontoons, floating drydocks, and/or similar floating structures of wood or metal construction irrespective of type or description (exception, row boats and racing shells) at any place of employment in the State of California.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8352.1. OSHA Standards. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-14-73; effective thirtieth day thereafter (Register 73, No. 7).
2. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8353. Permits for Variations from These Orders. [Repealed]
History

HISTORY

1. Repealer filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
Article 3. Definitions
§8354. Definitions Applicable to this Subchapter.
Note     •     History

Accessible Surface. A surface capable of being worked upon without changing, altering, or dismantling the parts concerned.
Additional Safety Measure. A component of the tags-plus system that provides an impediment (in addition to the energy-isolating device) to the release of energy or the energization or startup of the machinery, equipment, or system being serviced. Examples of additional safety measures include, but are not limited to, removing an isolating circuit element; blocking a controlling switch; blocking, blanking, or bleeding lines; removing a valve handle or wiring it in place; opening an extra disconnecting device.
Adjacent Spaces. Those spaces bordering a subject space in all directions, including all points of contact, corners, diagonals, decks, tank tops, and bulkheads.
Affected Employee. An employee who normally operates or uses the machinery, equipment, or system that is going to be serviced under lockout/tags-plus or who is working in the area where servicing is being performed under lockout/tags-plus. An affected employee becomes an authorized employee when the employer assigns the employee to service any machine, equipment, or system under a lockout/tags-plus application.
Alarm. A signal or message from a person or device that indicates that there is a fire, medical emergency, or other situation that requires emergency response or evacuation. At some shipyards this may be called an “incident” or a “call for service.” 
Alarm System. A system that warns employees at the worksite of danger. 
Authorized employee. 
(a) An employee who performs one or more of the following lockout/tags-plus responsibilities:
(1) Executes the lockout/tags-plus procedures;
(2) Installs a lock or tags-plus system on machinery, equipment, or systems; or
(3) Services any machine, equipment, or system under lockout/tags-plus application.
(b) An affected employee becomes an authorized employee when the employer assigns the employee to service any machine, equipment, or system under a lockout/tags-plus application.
Barge. An unpowered, flat bottom, shallow draft vessel including scows, carfloats, and lighters. For purposes of these orders, the term does not include ship-shaped or deep draft barges.
Body Harness. A system of straps that may be secured about the employee in a manner that will distribute the fall arrest forces over at least the thighs, shoulders, chest and pelvis, with means for attaching it to other components of a personal fall arrest system. 
Capable of being locked out. An energy-isolating device is capable of being locked out if it has a locking mechanism built into it, or it has a hasp or other means of attachment to which, or through which, a lock can be affixed. Other energy-isolating devices are capable of being locked out if lockout can be achieved without the need to dismantle, rebuild, or replace the energy-isolating device or permanently alter its energy-control capability.
Certified Industrial Hygienist (CIH). An industrial hygienist who is certified by the American Board of Industrial Hygiene.
Chief. The Chief of the Division of Occupational Safety and Health or designee.
Class II Standpipe System. A 1 1/2 inch (3.8 cm) hose system which provides a means for the control or extinguishment of incipient stage fires. 
Coast Guard Authorized Person. An individual who meets the requirement of Appendix B to section 8355 for tank vessels, for passenger vessels, and for cargo and miscellaneous vessels.
Cofferdam. The space between two bulkheads located close together.
Cold Work. Any operation which does not involve heat, fire, or sparks.
Compartment. A subdivision of space or room in a ship.
Contract Employer. An employer, such as a painter, joiner, carpenter, or scaffolding sub-contractor, who performs shipyard-related services or work under a contract to the host employer or to another employer under contract to the host employer at the host employer's worksite. This excludes employers who provide incidental services that are not directly related to shipyard employment (such as mail delivery, office supply and food vending services).
Dangerous Atmosphere. An atmosphere that may expose employees to the risk of death, incapacitation, impairment of ability to self-rescue (i.e., escape unaided from a confined or enclosed space), injury, or acute illness.
Designated Area. An area established for hot work after an inspection that is free of fire hazards. 
Division. Division of Occupational Safety and Health. 
Drop Test. A method utilizing gauges to ensure the integrity of an oxygen fuel gas burning system. The method requires that the burning torch is installed to one end of the oxygen and fuel gas lines and then the gauges are attached to the other end of the hoses. The manifold or cylinder supply valve is opened and the system is pressurized. The manifold or cylinder supply valve is then closed and the gauges are watched for at least sixty (60) seconds. Any drop in pressure indicates a leak.
Dummy Load. A device used in place of an antenna to aid in the testing of a radio transmitter that converts transmitted energy into heat to minimize energy radiating outward or reflecting back to its source during testing.
Emergency Operations. Activities performed by fire response organizations that are related to: rescue, fire suppression, emergency medical care, and special operations or activities that include responding to the scene of an incident and all activities performed at that scene. 
Energy-Isolating Device. A mechanical device that, when utilized or activated, physically prevents the release or transmission of energy. Energy-isolating devices include, but are not limited to, manually operated electrical circuit breakers; disconnect switches; line valves; blocks; and any similar device used to block or isolate energy. Control-circuit devices (for example, push buttons, selector switches) are not considered energy-isolating devices.
Enter with Restrictions. Denotes a space where entry for work is permitted only if engineering controls, personal protective equipment, clothing, and time limitations are as specified by the Marine Chemist, Certified Industrial Hygienist, or the shipyard competent person.
Entry. The action by which a person passes through an opening into a space. Entry includes ensuing work activities in that space and is considered to have occurred as soon as any part of the entrant's body breaks the plane of an opening into the space.
Fire Hazard. A condition or material that may start or contribute to the spread of a fire. 
Fire Protection. Methods of providing fire prevention, response, detection, control, extinguishment, and engineering. 
Fire Response. The activity taken by the employer at the time of an emergency incident involving a fire at the worksite, including fire suppression activities carried out by internal or external resources or a combination of both, or total or partial employee evacuation of the area exposed to the fire. 
Fire Response Employee. A shipyard employee who carries out the duties and responsibilities of shipyard firefighting in accordance with the fire safety plan. 
Fire Response Organization. An organized group knowledgeable, trained, and skilled in shipyard firefighting operations that responds to shipyard fire emergencies, including: fire brigades, shipyard fire departments, private or contractual fire departments, and municipal fire departments. 
Fire Suppression. The activities involved in controlling and extinguishing fires. 
Fire Watch. A person having knowledge of and qualified in fire prevention and suppression techniques, whose duties include: patrolling areas for the purpose of fire prevention; checking areas that are potential fire hazards, reporting potential fire hazards directly to the nearest person in charge of the job; suppressing any small fires, and immediately reporting all fires to the yard fire department and/or immediate supervisor of the operation. 
Fixed Extinguishing System. A permanently installed fire protection system that either extinguishes or controls fire occurring in the space it protects. 
Flammable Liquid. Any liquid having a flashpoint below 100 oF (37.8 oC), except any mixture having components with flashpoints of 100 oF (37.8 oC) or higher, the total of which make up 99 percent or more of the total volume of the mixture. 
Gangway. Any ramp-like or stair-like means of access provided to enable personnel to board or leave a vessel including accommodation ladders, gangplanks and brows.
Hazardous Energy. Any energy source, including mechanical (for example, power transmission apparatus, counterbalances, springs, pressure, gravity), pneumatic, hydraulic, electrical, chemical, and thermal (for example, high or low temperature) energies that could cause injury to employees.
Hazardous Substance. A substance that may cause injury, illness, or disease, or otherwise harm an employee by reason of being explosive, flammable, poisonous, corrosive, oxidizing, irritating, or otherwise harmful.
Health care professional. A physician or any other healthcare professional whose legally permitted scope of practice allows the provider to independently provide, or be delegated the responsibility to provide, some or all of the advice or consultation this subchapter requires.
Horse. A device or structure generally used in multiple for supporting a platform of boards or planks. It consists essentially of a single header or ledger supported at each end by two legs assembled in the form of A-frames.
Hose Systems. Fire protection systems consisting of a water supply, approved fire hose, and a means to control the flow of water at the output end of the hose. 
Host Employer. An employer who is in charge of coordinating shipyard-related work or who hires other employers to perform shipyard-related work or to provide shipyard-related services, at a multi-employer workplace.
Hot work. Any activity involving riveting, welding, burning, the use of powder-actuated tools or similar fire-producing operations. Grinding, drilling, abrasive blasting, or similar spark-producing operations are also considered hot work except when such operations are isolated physically from any atmosphere containing more than 10 percent of the lower explosive limit of a flammable or combustible substance.
Immediately Dangerous to Life or Health (IDLH). An atmosphere that poses an immediate threat to life or that is likely to result in acute or immediate severe health effects.
Incident Management System. A system that defines the roles and responsibilities to be assumed by personnel and the operating procedures to be used in the management and direction of emergency operations; the system is also referred to as an “incident command system” (ICS). 
Incipient Stage Fire. A fire, in the initial or beginning stage, which can be controlled or extinguished by portable fire extinguishers, Class II standpipe or small hose systems without the need for protective clothing or breathing apparatus. 
Inert or Inerted Atmosphere. An atmospheric condition where:
(1) The oxygen content of the atmosphere in the space is maintained at a level equal to or less than 8.0 percent by volume or at a level at or below 50 percent of the amount required to support combustion, whichever is less; or
(2) The space is flooded with water and the vapor concentration of flammable or combustible materials in the free space atmosphere above the water line is less than 10 percent of the lower explosive limit for the flammable or combustible material.
Inerting. The displacement of the atmosphere in a permit space by noncombustible gas (such as nitrogen) to such an extent that the resulting atmosphere is noncombustible. This procedure produces an IDLH oxygen-deficient atmosphere. 
Interior Structural Firefighting Operations. The physical activity of fire response, rescue, or both involving a fire beyond the incipient stage inside of buildings, enclosed structures, vessels, and vessel sections. 
Isolated location. An area in which employees are working alone or with little assistance from others due to the type, time, or location of their work. Such locations include remote locations or other work areas where employees are not in close proximity to others.
Labeled. Identified with a sign, placard, or other form of written communication, including pictograms, that provides information on the status or condition of the work space to which it is attached.
Ledger. The horizontal member of a scaffold that runs at right angles to the structure and directly supports the planking of the platform.
Lock. A device that utilizes a positive means, either a key or combination lock, to hold an energy isolating device in a ``safe'' position that prevents the release of energy and the startup or energization of the machinery, equipment, or system to be serviced.
Lockout. The placement of a lock on an energy-isolating device in accordance with an established procedure, thereby ensuring that the energy-isolating device and the equipment being controlled cannot be operated until the lock is removed.
Lockout/tags-plus coordinator. An employee whom the employer designates to coordinate and oversee all lockout and tags-plus applications on vessels or vessel sections and at landside work areas when employees are performing multiple servicing operations on the same machinery, equipment, or systems at the same time, and when employees are servicing multiple machinery, equipment, or systems on the same vessel or vessel section at the same time. The lockout/tags-plus coordinator also maintains the lockout/tags-plus log.
Lockout/tags-plus materials and hardware. Locks, chains, wedges, blanks, key blocks, adapter pins, self locking fasteners, or other hardware used for isolating, blocking, or securing machinery, equipment, or systems to prevent the release of energy or the startup or energization of machinery, equipment, or systems to be serviced.
Lower Explosive Limit (LEL). The minimum concentration of vapor in air below which propagation of a flame does not occur in the presence of an ignition source.
Marine Chemist. An individual who possesses a current Marine Chemist Certificate issued by the National Fire Protection Association.
Motor vehicle. Any motor-driven vehicle operated by an employee that is used to transport employees, material, or property. For the purposes of this subchapter, motor vehicles include passenger cars, light trucks, vans, motorcycles, all-terrain vehicles, small utility trucks, powered industrial trucks, and other similar vehicles. Motor vehicles do not include boats, or vehicles operated exclusively on a rail or rails.
Motor vehicle safety equipment. Systems and devices integral to or installed on a motor vehicle for the purpose of effecting the safe operation of the vehicle, and consisting of such systems or devices as safety belts, airbags, headlights, tail lights, emergency/hazard lights, windshield wipers, defogging or defrosting devices, brakes, horns, mirrors, windshields and other windows, and locks.
Multi-Employer Workplace/site. A workplace where there is a host employer and at least one contract employer. 
Navy ship's force. The crew of a vessel that is owned or operated by the U.S. Navy, other than a time- or voyage chartered vessel, which is under the control of a Commanding Officer or Master.
Normal production operations. The use of machinery or equipment, including, but not limited to, punch presses, bending presses, shears, lathes, keel press rollers, and automated burning machines, to perform a shipyard-employment production process.
Not Safe for Hot Work. Denotes a space where hot work may not be performed because the conditions do not meet the criteria for Safe for Hot Work.
Nationally Recognized Testing Laboratory (NRTL). An organization recognized by the U.S. Department of Labor, Occupational Safety and Health Administration (OSHA), in accordance with Appendix A of Title 29 Code of Federal Regulations section 1910.7, which tests for safety and lists or labels or accepts equipment and materials that meet all the criteria found in section 1910.7(b)(1) through (b)(4)(ii).
NIOSH. The National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designated representative.
Not Safe for Workers. Denotes a space where an employee may not enter because the conditions do not meet the criteria for Safe for Workers.
Oxygen-Deficient Atmosphere. An atmosphere having an oxygen concentration of less than 19.5 percent by volume.
Oxygen-Enriched Atmosphere. An atmosphere that contains 22.0 percent or more oxygen by volume.
Personal Alert Safety System (PASS). A device that sounds a loud signal if the wearer becomes immobilized or is motionless for 30 seconds or more. 
Physical Isolation. The elimination of a fire hazard by removing the hazard from the work area (at least 35 feet for combustibles), by covering or shielding the hazard with fire-resistant material, or physically preventing the hazard from entering the work area. 
Physically Isolated. Positive isolation of the supply from the distribution piping of a fixed extinguishing system. Examples of ways to physically isolate include: removing a spool piece and installing a blank flange; providing a double block and bleed valve system; or completely disconnecting valves and piping from all cylinders or other pressure vessels containing extinguishing parts. 
Platform. A floored elevated area. It may be erected in the scaffolding independent of the staging or elsewhere.
Portable toilet. A non-sewered portable facility for collecting and containing urine and feces. A portable toilet may be either flushable or non-flushable. For purposes of this subchapter, portable toilets do not include privies.
Potable water. Water that meets the standards for drinking purposes of the state or local authority having jurisdiction, or water that meets the quality standards prescribed by the U.S. Environmental Protection Agency's National Primary Drinking Water Regulations (40 CFR part 141).
Protected Space. Any space into which a fixed extinguishing system can discharge. 
Proximity Firefighting. Specialized firefighting operations that require specialized thermal protection and may include the activities of rescue, fire suppression, and property conservation at incidents involving fires that produce very high levels of conductive, convective and radiant heat such as aircraft fires, bulk flammable gas fires, and bulk flammable liquid fires. Proximity firefighting operations usually are exterior operations but may be combined with structural firefighting operations. Proximity firefighting is not entry firefighting. 
Psi. Pounds per square inch.
Qualified Instructor. A person with specific knowledge, training, and experience in fire response or fire watch activities to cover the material found in Section 8397.13(b) or (c). 
Readily accessible/available. Capable of being reached quickly enough to ensure, for example, that emergency medical services and first aid intervention are appropriate or that employees can reach sanitation facilities in time to meet their health and personal needs.
Rescue. Locating endangered persons at an emergency incident, removing those persons from danger, treating the injured, and transporting the injured to an appropriate health care facility. 
Ribbon. The horizontal member in a scaffold which runs from upright to upright parallel to the hull or structure and is normally placed directly under the ledger.
Safe for Hot Work. Denotes a space that meets all of the following criteria:
(1) The oxygen content of the atmosphere does not exceed 22.0 percent by volume;
(2) The concentration of flammable vapors in the atmosphere is less than 10 percent of the lower explosive limit;
(3) The residues or materials in the space are not capable of producing a higher concentration than permitted in subsections (1) or (2) of the above, under existing atmospheric conditions in the presence of hot work and while maintained as directed by the Marine Chemist or competent person, and
(4) All adjacent spaces have been cleaned, or inerted, or treated sufficiently to prevent the spread of fire.
Safe for Workers. Denotes a space that meets the following criteria:
(1) The oxygen content of the atmosphere is at least 19.5 percent and below 22 percent by volume;
(2) The concentration of flammable vapors is below 10 percent of the lower explosive limit (LEL);
(3) Any toxic materials in the atmosphere associated with cargo, fuel, tank coatings, or inerting media are within permissible concentrations at the time of the inspection; and
(4) Any residues or materials associated with the work authorized by the Marine Chemist, Certified Industrial Hygienist, or competent person will not produce uncontrolled release of toxic materials under existing atmospheric conditions while maintained as directed.
Sanitation facilities. Facilities, including supplies, maintained for employee personal and health needs such as potable drinking water, toilet facilities, hand-washing and -drying facilities, showers (including quick-drenching or flushing) and changing rooms, eating and drinking areas, first aid stations, and on-site medical-service areas. Sanitation supplies include soap, waterless cleaning agents, single-use drinking cups, drinking water containers, toilet paper, and towels.
Scaffolding. The structure erected and maintained for the purpose of supporting the staging planks.
Serviceable condition. The state or ability of supplies or goods, or of a tool, machine, vehicle, or other device, to be used or to operate in the manner prescribed by the manufacturer.
Service Line. A small rope or hand line used for hoisting and lowering light loads by hand.
Servicing. Workplace activities that involve the construction, installation, adjustment, inspection, modification, testing, or repair of machinery, equipment, or systems. Servicing also includes maintaining machines, equipment, or systems when performing these activities would expose the employee to harm from the start-up or energization of the system being serviced, or the release of hazardous energy.
Sewered toilet. A fixture maintained for the purpose of urination and defecation that is connected to a sanitary sewer, septic tank, holding tank (bilge), or on-site sewage-disposal treatment facility, and that is flushed with water.
Shield. To install a covering, protective layer, or other effective measure on or around steam hoses or temporary steam-piping systems, including metal fittings and couplings, to protect employees from contacting hot surfaces or elements.
Shipbreaking. Any breaking down of a vessel's structure for the purpose of scrapping the vessel, including the removal of gear, equipment or any component part of a vessel.
Shipbuilding. The construction of a vessel, including the installation of machinery and equipment.
Ship Repair. Repair of a vessel including, but not restricted to, alterations, conversions, installations, cleaning, painting, and maintenance work.
Shipyard Firefighting. The activity of rescue, fire suppression, and property conservation involving buildings, enclosed structures, vehicles, vessels, aircraft, or similar properties involved in a fire or emergency situation.
Short bight. A loop created in a line or rope that is used to tie back or fasten objects such as hoses, wiring, and fittings.
Small Hose System. A system of hoses ranging in diameter from 5/8” (1.6 cm) up to 1 1/2” (3.8 cm) which is for the use of employees and which provides a means for the control and extinguishment of incipient stage fires. 
Space. An area on a vessel or vessel section or within a shipyard such as, but not limited to: cargo tanks or holds; pump or engine rooms; storage lockers; tanks containing flammable or combustible liquids, gases, or solids; rooms within buildings; crawl spaces; tunnels or accessways. The atmosphere within a space is the entire area within its bounds.
Staging. The runways or walkways supported by the scaffolding, and from which or upon which the employees work.
Standard Guardrail. See Article 16, Construction Safety Orders. 
Standpipe. A fixed fire protection system consisting of piping and hose connections used to supply water to approved hose lines or sprinkler systems. The hose may or may not be connected to the system. 
Suitable. Capable of performing with safety the particular function specified in these orders.
Tag. A prominent warning device that includes a means of attachment that can be securely fastened to an energy isolating device in accordance with an established procedure to indicate that the energy-isolating device and the equipment being controlled shall not be operated until the tag is removed by an authorized employee.
Tags-plus system. A system to control hazardous energy that consists of an energy-isolating device with a tag affixed to it, and at least one additional safety measure.
Toeboard. A board set on edge in the same vertical plane as the railing and whose lower edge is no more than 1/4-inch from the top of the staging, platform or runway.
Upper Explosive Limit (UEL). The maximum concentration of flammable vapor in air above which propagation of flame does not occur on contact with a source of ignition.
Verification of isolation. The means necessary to detect the presence of hazardous energy, which may involve the use of a test instrument (for example, a voltmeter), and, for other than electric shock protection, a visual inspection, or a deliberate attempt to start-up the machinery, equipment, or system.
Vermin. Insects, birds, and other animals, such as rodents and feral cats, that may create safety and health hazards for employees.
Vessel. Includes every description of watercraft or other artificial contrivance used, or capable of being used, as a means of transportation on water, including special purpose floating structures not primarily designed for or used as a means of transportation on water.
Vessel Section. A sub-assembly, module, or other component of a vessel being built, repaired, or broken.
Visual Inspection. The physical survey of the space, its surroundings and contents to identify hazards such as, but not limited to, restricted accessibility, residues, unguarded machinery, and piping or electrical systems.
Walkway. Any surface, whether vertical, slanted, or horizontal, on which employees walk, including areas that employees pass through, to perform their job tasks. Walkways include, but are not limited to, access ways, designated walkways, aisles, exits, gangways, ladders, ramps, stairs, steps, passageways, and scaffolding. If an area is, or could be, used to gain access to other locations, it is to be considered a walkway.
Work area. A specific area, such as a machine shop, engineering space, or fabrication area, where one or more employees are performing job tasks.
Working surface. Any surface where work is occurring or areas where tools, materials, and equipment are being staged for performing work.
Worksite. A general work location where one or more employees are performing work, such as a shipyard, pier, barge, vessel, or vessel section.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Repealer of all definition numbering; repealer and new definition of “Standard Guardrail” filed 3-20-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Amendment of definition “Standard Guardrail” filed 5-25-79; effective thirtieth day thereafter (Register 79, No. 21).
4. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
5. Amendment of subsection (a) filed 1-30-95; operative 1-30-95. Submitted to OAL for printing only pursuant to Labor Code Section 142.3(a)(3) (Register 95, No. 5).
6. Amendment filed 4-14-2005; operative 4-14-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 15).
7. Amendment of definition of “Safe for Hot Work” and new definitions of “Class II Standpipe System,” “Fire Suppression,” “Fixed Extinguishing System,” “Flammable Liquid,” “Hazardous Substance,” “Incipient Stage Fire,” “Inerting,” “Interior Structural Firefighting Operations,” “Small Hose System” and “Standpipe” filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 8).
8. Amendment of section heading and section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
Article 4. Control of Hazardous Work
§8355. Confined and Enclosed Spaces and Other Dangerous Atmospheres.
Note     •     History

(a) Supervision and Responsibility. The employer shall neither permit nor require any hazardous work to be done in any closed compartment or poorly ventilated space until such work can be done with a minimum risk of injury to employees. The employer shall designate a person or persons to be responsible for supervising and coordinating such work.
(b) Competent Person Designation.
(1) One or more competent persons shall be designated by the employer in accordance with the applicable requirements of this section, unless the requirements of this section are always carried out by a Marine Chemist.

Exception:The employer may designate any person who meets the applicable portions of the criteria set forth in subsection (c) as a competent person who is limited to performing testing to the following situations:
(A) Repair work on small craft in boat yards where only combustible gas indicator tests are required for fuel tank leaks or when using flammable paints below decks;
(B) Building of wooden vessels where only knowledge of the precautions to be taken when using flammable paints is required;
(C) The breaking of vessels where there is no fuel oil or other flammable hazard; and
(D) Tests and inspections performed to comply with subsection (j).
(2) The employer shall maintain either a roster of designated competent persons or a statement that a Marine Chemist will perform the tests or inspections which require a competent person.
(A) The employer shall make the roster of designated persons or the statement available to employees, the employee's representative, the Chief or NIOSH upon request.
(B) The roster shall contain, as a minimum, the following:
1. The employer's name.
2. The designated competent person's name(s), and
3. The date the employee was trained as a competent person.
(c) Criteria. The employer shall ensure that each designated competent person has the following skills and knowledge:
(1) Ability to understand and carry out written or oral information or instructions left by Marine Chemist, Coast Guard authorized persons and Certified Industrial Hygienists;
(2) Knowledge of this section;
(3) Knowledge of the structure, location, and designation of spaces where work is done;
(4) Ability to calibrate and use testing equipment including but not limited to, oxygen indicators, combustible gas indicators, carbon monoxide indicators, and carbon dioxide indicators, and to interpret accurately the test results of that equipment;
(5) Ability to perform all required tests and inspections which are or may be performed by a competent person as set forth in this section.
(6) Ability to inspect, test, and evaluate spaces to determine the need for further testing by a Marine Chemist or a Certified Industrial Hygienist; and
(7) Ability to maintain records required by this section.
(d) Recordkeeping.
(1) When tests and inspections are performed by a competent person, Marine Chemist, or Certified Industrial Hygienist as required by any provisions of this section, the employer shall ensure that the person performing the test and inspection records the location, time, date, location of inspected spaces, and the operations performed, as well as the test results and any instructions.
(2) The employer shall ensure that the records are posted in the immediate vicinity of the affected operations while work in the spaces is in progress. The records shall be kept on file for a period of at least three months from the completion date of the specific job for which they were generated.
(3) The employer shall ensure that the records are available for inspection by the Chief, NIOSH, employees and their representatives.
(e) Precautions and Order of Testing Before Entering Confined and Enclosed Spaces and Other Dangerous Atmospheres. The employer shall ensure that atmospheric testing is performed in the following sequence: oxygen content, flammability, toxicity. If electronic or thermal equipment is used for testing and the possibility exists of an explosive substance or a flammable atmosphere, then the testing equipment must be approved for use in such explosive or flammable conditions as required by section 2540.2.
(1) Oxygen content.
(A) The employer shall ensure that the following spaces are visually inspected and tested by a competent person to determine the atmosphere's oxygen content prior to initial entry into the space by an employee:
1. Spaces that have been sealed, such as, but not limited to, spaces that have been coated and closed up, and non-ventilated spaces that have been freshly painted;
2. Spaces and adjacent spaces that contain or have contained combustible or flammable liquids or gases;
3. Spaces and adjacent spaces that contain or have contained liquids, gases, or solids that are toxic, corrosive, or irritant;
4. Spaces and adjacent spaces that have been fumigated; and
5. Spaces containing materials or residues of materials that create an oxygen-deficient atmosphere.
(B) If the space to be entered contains an oxygen deficient atmosphere, the space shall be labeled “Not Safe for Workers” or, if oxygen-enriched, “Not Safe for Workers - Not Safe for Hot Work.” If an oxygen-deficient or oxygen-enriched atmosphere is found, ventilation shall be provided at volumes and flow rates sufficient to ensure that the oxygen content is maintained at or above 19.5 percent and below 22.0 percent by volume. The warning label may be removed when the oxygen content is equal to or greater than 19.5 and less than 22.0 percent by volume.
(C) An employee may not enter a space where the oxygen content, by volume, is below 19.5 percent or above 22.0 percent.

Exception:An employee may enter for emergency rescue or for a short  duration for installation of ventilation equipment necessary to start work in the space provided:
1. The atmosphere in the space is monitored for oxygen content, by volume, continuously; and
2. Respiratory protection and other appropriate personal protective equipment and clothing are provided in accordance with section 5144 and sections 3380 to 3384.
Note: Other provisions for work in IDLH atmospheres are located in section 5144.
(2) Flammable atmospheres.
(A) The employer shall ensure that spaces and adjacent spaces that contain or have contained combustible or flammable liquids or gases are:
1. Inspected visually by the competent person to determine the presence of combustible or flammable liquids; and
2. Tested by a competent person prior to entry by an employee to determine the concentration of flammable vapors and gases within the space.
(B) If the concentration of flammable vapors or gases in the space to be entered is equal to or greater than 10 percent of the lower explosive limit, the space shall be labeled “Not Safe for Workers” and “Not Safe for Hot Work.” Ventilation shall be provided at volumes and flow rates sufficient to ensure that the concentration of flammable vapors is maintained below 10 percent of the lower explosive limit. The warning labels may be removed when the concentration of flammable vapors is below 10 percent of the lower explosive limit.
(C) An employee may not enter a space where the concentration of flammable vapors or gases is equal to or greater than 10 percent of the lower explosive limit.

Exception:An employee may enter for emergency rescue or for a short duration for installation of ventilation equipment necessary to start work in the space, provided:
1. No ignition sources are present;
2. The atmosphere in the space is monitored continuously;
3. Atmospheres at or above the upper explosive limit are maintained; and
4. Respiratory protection and other appropriate personal protective equipment and clothing are provided in accordance with section 5144 and section 3380 to 3384.
Note #1: Additional provisions for work in IDLH atmospheres are located in section 5144.
Note #2:Additional provisions for work in spaces containing a flammable substance which also has a permissible exposure limit, are located in subsection (k) and Articles 109 and 110 of the General Industry Safety Orders.
(3) Toxic, corrosive, irritant or fumigated atmospheres and residues.
(A) The employer shall ensure that spaces or adjacent spaces that contain or have contained liquids, gases, or solids that are toxic, corrosive or irritant are:
1. Inspected visually by the competent person to determine the presence of toxic, corrosive, or irritant residue contaminants; and
2. Tested by a competent person prior to initial entry by an employee to determine the air concentration of toxics, corrosives, or irritants within the space.
(B) If a space contains an air concentration of a material which exceeds a section 5155 permissible exposure limit (PEL) or is IDLH, the space shall be labeled “Not Safe for Workers.” Ventilation shall be provided at volumes and flow rates which will ensure that air concentrations are maintained within the PEL or, in the case of contaminants for which there is no established PEL, below the IDLH. The warning label may be removed when the concentration of contaminants is maintained within the PEL or below IDLH level.
(C) If a space cannot be ventilated to within the PELs or is IDLH, a Marine Chemist or CIH must re-test until the space can be certified “Enter with Restrictions” or “Safe for Workers.”
(D) An employee may not enter a space whose atmosphere exceeds a PEL or is IDLH.

Exception:An employee may enter for emergency rescue, or for a short duration for installation of ventilation equipment provided:
1. The atmosphere in the space is monitored continuously;
2. Respiratory protection and other necessary and appropriate personal protective equipment and clothing are provided in accordance with section 5144 and section 3380 to 3384.
Note: Other provisions for work in IDLH atmospheres are located in section 5144.
(4) Training of employees entering confined and enclosed spaces or other dangerous atmospheres.
(A) The employer shall ensure that each employee that enters a confined or enclosed space and other areas with dangerous atmospheres is trained to perform all required duties safely.
(B) The employer shall ensure that each employee who enters a confined space, enclosed space, or other areas with dangerous atmospheres is trained to:
1. Recognize the characteristics of the confined space;
2. Anticipate and be aware of the hazards that may be faced during entry;
3. Recognize the adverse health effects that may be caused by the exposure to a hazard;
4. Understand the physical signs and reactions related to exposures to such hazards;
5. Know what personal protective equipment is needed for safe entry into and exit from the space;
6. Use personal protective equipment; and
7. Where necessary, be aware of the presence and proper use of barriers that may be needed to protect an entrant from hazards.
(C) The employer shall ensure that each entrant into confined or enclosed spaces or other dangerous atmospheres is trained to exit the space or dangerous atmosphere whenever:
1. The employer or his or her representative orders evacuation;
2. An evacuation signal such as an alarm is activated; or
3. The entrant perceives that he or she is in danger.
(D) The employer shall provide each employee with training:
1. Before the entrant begins work addressed by this section; and
2. Whenever there is a change in operations or in an employee's duties that presents a hazard about which the employee has not previously been trained.
(E) The employer shall certify that the training required by subsection (e)(4) has been accomplished.
1. The certification shall contain the employee's name, the name of the certifier, and the date(s) of the certification.
2. The certification shall be available for inspection by the Chief, NIOSH, employees, and their representatives.
(5) Rescue teams. The employer shall either establish a shipyard rescue team or arrange for an outside rescue team which will respond promptly to a request for rescue service.
(A) Shipyard rescue teams shall meet the following criteria:
1. Each employee assigned to the shipyard team shall be provided with and trained to use the personal protective equipment he or she will need, including respirators and any rescue equipment necessary for making rescues from confined and enclosed spaces and other dangerous atmospheres.
2. Each employee assigned to the shipyard rescue team shall be trained to perform his or her rescue functions including confined and enclosed and other dangerous atmosphere entry.
3. Shipyard rescue teams shall practice their skills at least once every 12 months. Practice drills shall include the use of mannequins and rescue equipment during simulated rescue operations involving physical facilities that approximate closely those facilities from which rescue may be needed.
Note: If the team performs an actual rescue during the 12 month period, an additional practice drill for that type of rescue is not required.
4. At least one person on each rescue team shall maintain current certification in basic first aid which includes maintenance of an airway, control of bleeding, maintenance of circulation and cardiopulmonary resuscitation (CPR) skills.
(B) The employer shall inform outside rescue teams of the hazards that the team may encounter when called to perform confined and enclosed space or other dangerous atmosphere rescue at the employer's facility so that the rescue team can be trained and equipped.
Note: The criteria for in-house rescue, listed in subsection (e)(5)(A) can be used by the employer in evaluating outside rescue services.
(6) Exchanging hazard information between employers. Each employer whose employees work in confined and enclosed spaces or other dangerous atmospheres shall ensure that all available information on the hazards, safety rules, and emergency procedures concerning those spaces and atmospheres is exchanged with any other employer whose employees may enter the same spaces. This requirement shall apply even if the other employer is covered by sections 5157 or 5158.
(7) When an employer (host employer) arranges to have employees of another employer (contractor) perform work that involves a confined space entry covered by this standard or by sections 5157 or 5158, the host employer shall:
(A) Inform the contractor that the workplace contains a confined space and that confined space entry is allowed only through compliance with a confined space program meeting the requirements of this section, section 5157 or section 5158, depending on which section applies to the contractor;
(B) Apprise the contractor of the elements, including the hazards identified and the host employer's experience with the confined space, that make the space in question a confined space;
(C) Apprise the contractor of any precautions or procedures that the host employer has implemented for the protection of employees in or near the confined space where the contractor's personnel will be working;
(D) Coordinate entry operations with the contractor, when both host employer personnel and contractor personnel will be working in or near the confined space, as required by subsection (e)(6); and
(E) Debrief the contractor at the conclusion of the confined space operation regarding the confined space program followed and any hazards confronted or created in the confined space during entry operations.
(8) In addition to complying with the confined space requirements that apply to all employers, each contractor who is retained to perform confined space entry operations shall:
(A) Obtain any available information regarding confined space hazards and entry operations from the host employer;
(B) Coordinate entry operations with the host employer, when both host employer personnel and contractor personnel will be working in or near a confined space, as required by subsection (e)(6); and
(C) Inform the host employer of the confined space program that the contractor will follow and of any hazards confronted or created in the confined space, either through a debriefing or during the entry operation.
(f) Cleaning and Other Cold Work.
(1) Locations covered by this section. The employer shall ensure that manual cleaning and other cold work are not performed in the following spaces unless the conditions of subsection (f)(2) have been met:
(A) Spaces containing or having last contained bulk quantities of combustible or flammable liquids or gases; and
(B) Spaces containing or having last contained bulk quantities of liquids, gases or solids that are toxic, corrosive or irritating.
(2) Requirements for performing cleaning or cold work.
(A) Liquid residues of hazardous materials shall be removed from work spaces as thoroughly as practicable before employees start cleaning operations or cold work in a space. Special care shall be taken to prevent the spilling or the draining of these materials into the water surrounding the vessel, or for shore-side operations, onto the surrounding work area.
(B) Testing shall be conducted by a competent person to determine the concentration of flammable, combustible, toxic, corrosive, or irritant vapors within the space prior to the beginning of cleaning or cold work.
(C) Continuous ventilation shall be provided at volumes and flow rates sufficient to ensure that the concentration(s) of:
1. Flammable vapor is maintained below 10 percent of the lower explosive limit; and
Note: Spaces containing highly volatile residues may require additional ventilation to keep the concentration of flammable vapors below 10 percent of the lower explosive limit and within the permissible exposure limit.
2. Toxic, corrosive, or irritant vapors are maintained within the permissible exposure limits and below IDLH levels.
(D) Testing shall be conducted by the competent person as often as necessary during cleaning or cold work to assure that air concentrations are below 10 percent of the lower explosive limit and within the PELs and below IDLH levels. Factors such as, but not limited to, temperature, volatility of the residues and other existing conditions in and about the spaces are to be considered in determining the frequency of testing necessary to assure a safe atmosphere.
Note: See Appendix A for additional information on frequency of testing.
(E) Spills or other releases of flammable, combustible, toxic, corrosive, and irritant materials shall be cleaned up as work progresses.
(F) An employee may not enter a confined or enclosed space or other dangerous atmosphere if the concentration of flammable or combustible vapors in work spaces exceeds 10 percent of the lower explosive limit.

Exception:An employee may enter for emergency rescue or for a short duration for installation of ventilation equipment provided:
1. No ignition sources are present;
2. The atmosphere in the space is monitored continuously;
3. The atmosphere in the space is maintained above the upper explosive limit; and
4. Respiratory protection, personal protective equipment, and clothing are provided in accordance with section 5144 and sections 3380 to 3384.
Note: Other provisions for work in IDLH and other dangerous atmospheres are located in section 5144.
(G) A competent person shall test ventilation discharge areas and other areas where discharged vapors may collect to determine if vapors discharged from the spaces being ventilated are accumulating in concentrations hazardous to employees.
(H) If the tests required in subsections (f)(2)(G) indicate that concentrations of exhaust vapors that are hazardous to employees are accumulating, all work in the contaminated area shall be stopped until the vapors have dissipated or been removed. 
(I) Only explosion-proof, self-contained portable lamps, or other electric equipment approved by a National Recognized Testing Laboratory (NRTL) for the hazardous location shall be used in spaces described in subsection (f)(1) until such spaces have been certified as “Safe for Workers.”
Note: Battery-fed, portable lamps or other electric equipment bearing the approval of a NRTL for the class, and division of the location in which they are used are deemed to meet the requirements of this paragraph.
(J) The employer shall prominently post signs that prohibit sources of ignition within or near a space that has contained flammable or combustible liquids or gases in bulk quantities:
1. At the entrance to those spaces;
2. In adjacent spaces; and
3. In the open area adjacent to those spaces.
(K) All air moving equipment and its component parts, including duct work, capable of generating a static electric discharge of sufficient energy to create a source of ignition, shall be bonded electrically to the structure of a vessel or vessel section or, in the case of land-side spaces, grounded to prevent an electric discharge in the space.
(L) Fans shall have non-sparking blades, and portable air ducts shall be of non-sparking materials.
Note to subsection (f)(2): See subsection (e)(3) and applicable requirements of Articles 109 and 110 of the General Industry Safety Orders for other provisions affecting cleaning and cold work.
(g) Hot Work.
(1) Hot work requiring testing by a Marine Chemist or Coast Guard authorized person.
(A) The employer shall ensure that hot work is not performed in or on any of the following confined and enclosed spaces and other dangerous atmospheres, boundaries of spaces or pipelines until the work area has been tested and certified by a Marine Chemist or a U.S. Coast Guard authorized person as “Safe for Hot Work”:
1.Within, on, or immediately adjacent to spaces that contain or have contained combustible or flammable liquids or gases. 
2. Within, on, or immediately adjacent to fuel tanks that contain or have last contained fuel; and
3. On pipelines, heating coils, pump fittings or other accessories connected to spaces that contain or have last contained fuel.
4. Exception: On dry cargo, miscellaneous and passenger vessels and in the landside operations, within spaces which meet the standards for oxygen, flammability and toxicity in subsection (e) but are adjacent to spaces containing flammable gases or liquids, as long as the gases or liquids have a flash point below 150 degrees F (65.6 degrees C) and the distance between such spaces and the work is 25 feet (7.5 m) or greater.
Note: For flammable liquids with flash points above 150 degrees F (65.5 degrees C), see subsection (g)(2).
Note to subsection (g)(1)(A): The criteria for safe for hot work is located in section 8354, definitions.
(B) The certificate issued by the Marine Chemist or Coast Guard authorized person shall be posted in the immediate vicinity of the affected operations while they are in progress and kept on file for a period of at least three months from the date of the completion of the operation for which the certificate was generated.
(2) Hot work requiring testing by a competent person.
(A) Hot work is not permitted in or on the following spaces or adjacent spaces or other dangerous atmospheres until they have been tested by a competent person and determined to contain no concentrations of flammable vapors equal to or greater than 10 percent of the lower explosive limit:
1. Dry cargo holds.
2. The bilges.
3. The engine room and boiler spaces for which a Marine Chemist or a Coast Guard authorized person certificate is not required under subsection (g)(1)(A)1., and
4. Vessels and vessel sections for which a Marine Chemist or Coast Guard authorized person certificate is not required under subsection (g)(1)(A)l., and
5. Land-side confined and enclosed spaces or other dangerous atmospheres not covered by subsection (g)(1)(A).
(B) If the concentration of flammable vapors or gases is equal to or greater than 10 percent of the lower explosive limit in the space or an adjacent space where the hot work is to be done, then the space shall be labeled “Not Safe for Hot Work” and ventilation shall be provided at volumes and flow rates sufficient to ensure that the concentration of flammable vapors or gases is below 10 percent by volume of the lower explosive limit. The warning label may be removed when the concentration of flammable vapors and gases are below 10 percent lower explosive limit.
Note to subsection (g): See appendix A for additional information relevant to performing hot work safely.
(h) Maintenance of Safe Conditions.
(1) Preventing hazardous materials from entering. Pipelines that could carry hazardous materials into spaces that have been certified “Safe for Workers” or “Safe for Hot Work” shall be disconnected, blanked off, or otherwise blocked by a positive method to prevent hazardous materials from being discharged into the space.
(2) Alteration of existing conditions. When a change that could alter conditions within a tested confined or enclosed space or other dangerous atmosphere occurs, work in the affected space or area shall be stopped. Work may not be resumed until the affected space or area is visually inspected and retested and found to comply with subsections (e), (f) and (g), as applicable.
Note: Examples of changes that would warrant the stoppage of work include: The opening of manholes or other closures or the adjusting of a valve regulating the flow of hazardous materials.
(3) Tests to maintain the conditions of a Marine Chemist's or Coast Guard authorized person's certificates. A competent person shall visually inspect and test each space certified as “Safe for Workers” or “Safe for Hot Work,” as often as necessary to ensure that atmospheric conditions within that space is maintained within the conditions established by the certificate after the certificate has been issued.
(4) Change in the conditions of a Marine Chemist's or Coast Guard authorized person's certificate. If a competent person finds that the atmospheric conditions within a certified space fail to meet the applicable requirements of subsections (e), (f) and (g), work in the certified space shall be stopped and may not be resumed until the space has been retested by a Marine Chemist or Coast Guard authorized person and a new certificate issued in accordance with subsection (g)(1).
(5) Tests to maintain a competent person's findings. After a competent person has conducted a visual inspection and tests required in subsections (e), (f) and (g) and determined a space to be safe for an employee to enter, he or she shall continue to test and visually inspect spaces as often as necessary to ensure that the required atmospheric conditions within the tested space are maintained.
(6) Changes in conditions determined by a competent person's findings. After the competent person has determined initially that a space is safe for an employee to enter and he or she finds subsequently that the conditions within the tested space fail to meet the requirements of subsections (e), (f) and (g), as applicable, work shall be stopped until the conditions in the tested space are corrected to comply with subsections (e), (f) and (g), as applicable.
(i) Warning Signs and Labels.
(1) Employee comprehension of signs and labels. The employer shall ensure that each sign or label posted to comply with the requirements of this subpart is presented in a manner that can be perceived and understood by all employees.
(2) Posting of large work areas. A warning sign or label required by subsection (i)(1) need not be posted at an individual tank, compartment or work space within a work area if the entire work area has been tested and certified: not safe for workers, not safe for hot work, and if the sign or label to this effect is posted conspicuously at each means of access to the work area.
(j) General Precautions.
(1) Access Openings--New and Repair Work. At least one access opening shall be provided in confined spaces or other areas where an employee may be trapped. This opening shall be kept sufficiently clear of hose, conductors, ventilation ducts, or other obstructions to provide ready egress in case of an emergency.
(2) Care shall be taken in placing welding leads and hose so that ducts serving blowers are not pinched off. Ducting shall be treated with fire retardant material or otherwise protected against sparks from welding or burning operations.
(3) If the required necessary ventilation is interrupted, the employer shall cause the work to stop and shall order the employees to leave the compartment or space immediately. Prior to any resumption of operations, a qualified person and/or Certificated Marine Chemist shall personally ascertain that the space is safe to enter and/or safe for the type of work to be performed.
(4) A fire watch for hot work operations shall remain on duty from the time hot work is started until it is completed and danger is passed. The employee assigned as a fire watch shall not leave the area and shall have a suitable fire extinguisher available.
(5) Whenever liquid solvents, paint and preservative removers, paints or other vehicles in use are capable of producing a flammable atmosphere under conditions of use, a qualified person shall inspect all power and lighting cables to ensure that they are undamaged, being used safely, and that there are no connections within 50 feet of the operation.
(6) A temporarily assembled pressurized piping system conveying hazardous liquids or gases shall be provided with a relief valve and by-pass to a safe location to prevent rupture of the system and the escape of such hazardous liquids or gases.
(7) Unless pressure vessels, drums and containers of 30-gallon capacity or over containing flammable or toxic liquids or gases are placed in an out-of-the-way area where they will not be subject to physical injury from an outside source, barriers or guards shall be erected to protect them from such physical injury.
(8) Containers of 55 gallons or more capacity containing flammable or toxic liquid shall not be stored in an area unless surrounded by dikes or pans which enclose a volume equal to at least 35 percent of the total volume of the containers.
(9) All work areas shall have adequate natural or artificial illumination.
(10) The use of matches and open flame lights shall be prohibited. 
(11) In spaces which contain or are likely to contain flammable vapors only explosion-proof lighting devices shall be used. 
(k) Paints and Tank Coatings Dissolved in Highly Volatile, Toxic and Flammable Solvents. Work involving organic coatings, adhesives and resins dissolved in highly toxic, flammable and explosive solvents with flash points below 80o F., shall be done only when the following special precautions have been taken:
(1) The face, eyes, head, hands and all other exposed parts of the bodies of employees handling highly volatile paints shall be protected. All footwear shall be nonsparking, such as rubbers, rubber boots or rubber soled shoes without nails. Coveralls or other outer clothing shall be of cotton or other non-static spark-producing material. Rubber, rather than plastic gloves, shall be used because of the danger of static sparks.
(2) Only nonsparking paint buckets, spray guns and tools shall be used. Metal parts of paint brushes and rollers shall be insulated. Staging and scaffolding shall be erected in a manner which ensures that it is nonsparking.
(3) Spray guns, paint pots, and metallic parts of connecting tubing shall be electrically bonded, and the bonded assembly shall be grounded to the vessel.
(4) All motors and control equipment shall be of the explosion-proof type. Fans shall have nonferrous blades. Portable air ducts shall also be of nonferrous materials and bonded to prevent the accumulation of static electricity. All motors and associated control equipment shall be properly maintained and grounded.
NOTE

Authority cited: Section 142.3, Labor Code.  Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
3. Editorial correction of subsection (g) (Register 94, No. 8).
4. Editorial correction of printing error in subsection (c)(3) (Register 94, No. 31).
5. Amendment of section heading, repealer of subsections (b)-(e), new subsections (b)-(i), subsection relettering and new appendices filed 1-30-95; operative 1-30-95. Submitted to OAL for printing only pursuant to Labor Code Section 142.3(a)(3) (Register 95, No. 5).
6. Editorial correction moving History to precede Appendix A (Register 95, No. 22).
7. Change without regulatory effect adding subsection (b) designator and amending subsections (h)(5)-(6) filed 6-1-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 22).
8. Amendment of subsections (e), (e)(2)(C)3., (e)(5)(A)3., (g)(1)(A)4. and (h)(5) filed 8-28-95; operative 8-28-95. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 95, No. 35).
9. Amendment of subsection (e) filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
10. Amendment of subsection (e)(6) and new subsections (e)(7)-(e) (8)(C) filed 4-25-2001; operative 5-25-2001 (Register 2001, No. 17).
11. Amendment of Appendix A, “Section 8354 Definition of `Hot work'” filed 1-18-2012; operative 1-18-2012 pursuant to Labor Code section 142.3(a)(4)(C). Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2012, No. 3).

Appendix A to Section 8355 -- Compliance Assistance Guidelines for Confined and Enclosed Spaces and Other Dangerous Atmospheres
This Appendix is a non-mandatory set of guidelines provided to assist employers in complying with the requirements of this section. This Appendix neither creates additional obligations nor detracts from obligations otherwise contained in the standard. It is intended to provide explanatory information and educational material to employers and employees to foster understanding of, and compliance with, the standard. The requirements of this standard are minimum safety standards for entering and working safely in vessel tanks and compartments.
Section 8354 Definition of “Hot work.” There are several instances in which circumstances do not necessitate that grinding, drilling, abrasive blasting be regarded as hot work. Some examples are:
1. Abrasive blasting of the external surface of the vessel (the hull) for paint preparation does not necessitate pumping and cleaning the tanks of a vessel.
2. Prior to hot work on any hollow structure, the void space should be tested and appropriate precautions taken.
Section 8354 Definition of “Lower explosive limit.” The terms lower flammable limit (LFL) and lower explosive limit (LEL) are used interchangeably in fire science literature.
Section 8354 Definition of “Upper explosive limit.” The terms upper flammable limit (UFL) and upper explosive limit (UEL) are used interchangeably in fire science literature.
Section 8355(e)(1). After a tank has been properly washed and ventilated, the tank should contain 20.8 percent oxygen by volume. This is the same amount found in our normal atmosphere at sea level. However, it is possible that the oxygen content will be lower. When this is the case, the reasons for this deficiency should be determined and corrective action taken.
An oxygen content of 19.5 percent can support life and is adequate for entry. However, any oxygen level less than 20.8 percent and greater than 19.5 percent level should also alert the competent person to look for the causes of the oxygen deficiency and to correct them prior to entry.
Section 8355(e)(2) Flammable atmospheres. Atmospheres with a concentration of flammable vapors at or above 10 percent of the lower explosive limit (LEL) are considered hazardous when located in confined spaces. However, atmospheres with flammable vapors below 10 percent of the LEL are not necessarily safe.
Such atmospheres are too lean to burn. Nevertheless, when a space contains or produces measurable flammable vapors below the 10 percent LEL, it might indicate that flammable vapors are being released or introduced into the space and could present a hazard in time. Therefore, the cause of the vapors should be investigated and, if possible, eliminated prior to entry.
Some situations that have produced measurable concentrations of flammable vapors that could exceed 10 percent of the LEL in time are:
1. Pipelines that should have been blanked or disconnected have opened, allowing product into the space.
2. The vessel may have shifted, allowing product not previously cleaned and removed during washing to move into other areas of the vessel.
3. Residues may be producing the atmosphere by releasing flammable vapor.
Section 8355(e)(2) Flammable atmospheres that are toxic. An atmosphere with a measurable concentration of a flammable substance below 10 percent of the LEL may be above the permissible exposure limit for that substance. In that case, refer to subsection (e)(3)(B), (C), and (D).
Section 8355(f)(2)(D), (h)(3) and (h)(5). The frequency with which a tank is monitored to determine if atmospheric conditions are being maintained is a function of several factors that are discussed below:
1. Temperature. Higher temperatures will cause a combustible or flammable liquid to vaporize at a faster rate than lower temperatures. This is important since hotter days may cause tank residues to produce more vapors and that may result in the vapors exceeding 10 percent of the LEL or an overexposure to toxic contaminants.
2. Work in the tank. Any activity in the tank could change the atmospheric conditions in that tank. Oxygen from a leaking oxyfuel hose or torch could result in an oxygen-enriched atmosphere that would more easily propagate a flame. Some welding operations use inert gas, and leaks can result in an oxygen-deficient atmosphere. Manual tank cleaning with high pressure spray devices can stir up residues and result in exposures to toxic contaminants. Simple cleaning or mucking out, where employees walk through and shovel residues and sludge, can create a change in atmospheric conditions.
3. Period of time elapsed. If a period of time has elapsed since a Marine Chemist or Coast Guard authorized person has certified a tank as safe, the atmospheric condition should be rechecked by the competent person prior to entry and starting work.
4. Unattended tanks or spaces. When a tank or space has been tested and declared safe, then subsequently left unattended for a period of time, it should be retested prior to entry and starting work. For example, when barges are left unattended at night, unidentified products from another barge are sometimes dumped into their empty tanks. Since this would result in a changed atmosphere, the tanks should be retested prior to entry and starting work.
5. Work break. When workers take a break or leave at the end of the shift, equipment sometimes is inadvertently left in the tanks. At lunch or work breaks and at the end of the shift are the times when it is most likely someone will leave a burning or cutting torch in the tank, perhaps turned on and leaking oxygen or an inert gas. Since the former can produce an oxygen-enriched atmosphere, and the latter an oxygen-deficient atmosphere, tanks should be checked for equipment left behind, and atmosphere, monitored if necessary prior to re-entering and resuming work. In an oxygen-enriched atmosphere, the flammable range is severely broadened. This means than an oxygen-enriched atmosphere can promote very rapid burning.
6. Ballasting or trimming. Changing the position of the ballast, or trimming or in any way moving the vessel so as to expose cargo that had been previously trapped, can produce a change in the atmosphere of the tank. The atmosphere should be retested after any such move and prior to entry or work.
Section 8355(g)(1) and (2) Hot work. This is a reminder that other sections of the shipyard safety and health standards in subchapter 18 should be reviewed prior to starting any hot work. Most notably, Article 7 Welding, Cutting and Heating, places additional restrictions on hot work begun on any metal that is toxic, covered by a preservative coating or is begun on any structural voids.
Section 8355(e)(1)(B). During hot work, more than 20.8 percent oxygen by volume can be unsafe since it extends the normal flammable range. The standard permits the oxygen level to reach 22 percent by volume in order to account for instrument error. However, the cause of excess oxygen should be investigated and the source removed.
Section 8355(i)(2). If the entire vessel has been found to be in the same condition, then employers shall be considered to be in compliance with this requirement when signs using appropriate warning language in accordance with subsection (i)(1) are posted at the gangway and at all other means of access to the vessel.

Appendix B to Section 8355 -- Confined and Enclosed Spaces and Other Dangerous Atmospheres in   Shipyard Employment
This Appendix provides a complete reprint of U.S. Coast Guard regulations as of October 1, 1993 referenced in section 8355 for purposes of determining who is a Coast Guard authorized person.
1. Title 46 CFR 35.01-1(a) through (c) covering hot work on tank vessels reads as follows:
(a) The provisions of “Standard for the Control of Gas Hazards on Vessels to be Repaired.” NFPA No. 306, published by National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269, shall be used as a guide in conducting the inspections and issuance of certificates required by this section.
(b) Until an inspection has been made to determine that such operation can be undertaken with safety, no alterations, repairs, or other such operations involving riveting, welding, burning, or like fire-producing actions shall be made:
(1) Within or on the boundaries of cargo tanks that have been used to carry flammable or combustible liquid or chemicals in bulk, or within spaces adjacent to such cargo tanks; or
(2) Within or on the boundaries of fuel tanks; or
(3) To pipelines, heating coils, pumps, fittings, or other appurtenances connected to such cargo or fuel tanks.
(c) Such inspections shall be made and evidenced as follows:
(1) In ports or places in the United States or its territories and possessions, the inspection shall be made by a Marine Chemist certificated by the National Fire Protection Association; however, if the services of such certified Marine Chemists are not reasonably available, the Officer in Charge, Marine Inspection, upon the recommendation of the vessel owner and his contractor or their representative, shall select a person who, in the case of an individual vessel, shall be authorized to make such inspection. If the inspection indicates that such operations can be undertaken with safety, a certificate setting forth the fact in writing and qualified as may be required, shall be issued by the certified Marine Chemist or the authorized person before the work is started. Such qualifications shall include any requirements as may be deemed necessary to maintain, insofar as can reasonably be done, the safe conditions in the spaces certified, throughout the operation and shall include such additional tests and certifications as considered required. Such qualifications and requirements shall include precautions necessary to eliminate or minimize hazards that may be present from protective coatings or residues from cargoes.
2. Title 46 CFR 71.60(c)(1) covering hot work on passenger vessels reads as follows:
(a) The provisions of “Standard for the Control of Gas Hazards on Vessels to be Repaired,” NFPA No. 306, published by National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269, shall be used as a guide in conducting the inspections and issuance of certificates required by this section.
(b) Until an inspection has been made to determine that such operation can be undertaken with safety, repairs, or other such operations involving riveting, welding, burning, or like fire-producing actions shall be made:
(1) Within or on the boundaries of cargo tanks which have been used to carry flammable or combustible liquid or chemicals in bulk, or within spaces adjacent to such cargo tanks; or
(2) Within or on the boundaries of fuel tanks; or
(3) To pipe lines, heating coils, pumps, fittings, or other appurtenances connected to such cargo or fuel tanks.
(c) Such inspections shall be made and evidenced as follows:
(1) In ports or or places in the United States or its territories and possessions the inspection shall be made by a Marine Chemist certificated by the National Fire Protection Association; however, if the services of such certified Marine Chemist are not reasonably available, the Officer in Charge, Marine Inspection, upon the recommendation of the vessel owner and his contractor or their representative, shall select a person who, in the case of an individual vessel, shall be authorized to make such inspection. If the inspection indicated that such operations can be undertaken with safety, a certificate setting forth the fact in writing and qualified as may be required, shall be issued by the certified Marine Chemist or the authorized person before the work is started. Such qualifications shall include any requirements as may be deemed necessary to maintain, insofar as can reasonably be done, the safe conditions in the spaces certified throughout the operation and shall include such additional tests and certifications as considered required. Such qualifications and requirements shall include precautions necessary to eliminate or minimize hazards that may be present from protective coatings or residues from cargoes.
3. Title 46 CFR 91.50-1(c)(1) covering hot work on cargo and miscellaneous vessels as follows:
(a) The provisions of “Standard for the Control of Gas Hazards on Vessels to be Repaired.” NFPA No. 306, published by National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269, shall be used as a guide in conducting the inspections and issuance of certificates required by this section.
(b) Until an inspection has been made to determine that such operation can be undertaken with safety, no alterations, repairs, or other such operations involving riveting, welding, burning, or like fire-producing actions shall be made:
(1) Within or on the boundaries of cargo tanks which have been used to carry flammable or combustible liquid or chemicals in bulk, or within spaces adjacent to such cargo tanks; or,
(2) Within or on the boundaries of fuel tanks; or,
(3) To pipe lines, heating coils, pumps, fittings, or other appurtenances connected to such cargo or fuel tanks.
(c) Such inspections shall be made and evidenced as follows:
(1) In ports or places in the United States or its territories and possessions the inspection shall be made by a Marine Chemist certificated by the National Fire Protection Association; however, if the services of such certified Marine Chemist are not reasonably available, the Officer in Charge, Marine Inspection, upon the recommendation of the vessel owner and his contractor or their representative, shall select a person who, in the case of an individual vessel, shall be authorized to make such inspection. If the inspection indicated that such operations can be undertaken with safety, a certificate setting forth the fact in writing and qualified as may be required, shall be issued by the certified Marine Chemist or the authorized person before the work is started. Such qualifications shall include any requirements as may be deemed necessary to maintain, insofar as can reasonably be done, the safe conditions in the spaces certified throughout the operation and shall include such additional tests and certifications as considered required. Such qualifications and requirements shall include precautions necessary to eliminate or minimize hazards that may be present from protective coatings or residues from cargoes.
§8357. Inert-Gas Shielded Metal-Arc Welding.
Note     •     History

Employees shall not be permitted or required to operate such equipment until they have been thoroughly instructed in its use, and have knowledge of the hazards involved. Before starting operations, the following shall be complied with:
(a) Before starting to work in an area used for purposes other than welding, permission to weld shall be obtained from the supervisor directly responsible.
(b) General ventilation for such operations shall be installed.
(c) Local exhaust ventilation or supplied-air respirators shall be provided in all cases when doing inert-gas shielded metal-arc welding of stainless steel, lead, zinc, beryllium, copper, or cadmium to protect against dangerous concentrations of toxic gases and fumes.
(d) The use of chlorinated solvents shall be kept away from the exposed arc; surfaces prepared with chlorinated solvents shall be steamed and thoroughly dried or otherwise cleaned of chlorinated solvents before welding is permitted on such surface.
(e) Where inert-gas shielded metal-arc welding is being used, employees and others in the area not protected by screening shall be provided with and shall wear shaded goggles, with side shields.
(f) Protective clothing, including gloves, shall be worn by employees within the areas exposed to radiation so that the skin is covered completely to prevent burns and other damage by ultraviolet rays. Shirts worn shall be dark in color to reduce reflection to the face from underneath the helmet. Welding helmets and hand-held shields shall be free from leaks and openings and free of highly reflective surfaces.
Note: Cotton clothing should be covered since it disintegrates rapidly when exposed to high intensities of ultraviolet rays.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8356. Control of Hazardous Energy (Lockout/Tags-Plus).

(a) Scope, application, and effective dates. 
(1) Scope. This section covers the servicing of machinery, equipment, and systems when the energization or startup of machinery, equipment, or systems, or the release of hazardous energy, could endanger an employee.
(2) Application. 
(A) This section applies to the servicing of any machinery, equipment, or system that employees use in the course of shipyard employment work and that is conducted:
1. In any landside facility that performs shipyard employment work; and
2. On any vessel or vessel section.
(B) This section applies to such servicing conducted on a vessel by any employee including, but not limited to, the ship's officers and crew unless such application is preempted by the regulations of any federal agency.
(3) When other standards in these Orders and applicable standards in CCR Title 8 require the use of a lock or tag, the employer shall use and supplement them with the procedural and training requirements specified in this section where more protective.
(4)EXCEPTIONS. This section does not apply to:
(A) Work on cord-and-plug-connected machinery, equipment, or system, provided the employer ensures that the machinery, equipment, or system is unplugged and the plug is under the exclusive control of the employee performing the servicing;
(B) Minor servicing activities performed during normal production operations, including minor tool changes and adjustments, that are routine, repetitive, and integral to the use of the machinery, equipment, or system, provided the employer ensures that the work is performed using measures that provide effective protection from energization, startup, or the release of hazardous energy.
(5) Effective date. The Provisions of Section 8356 shall become effective March 13, 2012.
(b) Lockout/tags-plus program. The employer shall establish and implement a written program and procedures for lockout and tags-plus systems to control hazardous energy during the servicing of any machinery, equipment, or system in shipyard employment. The program shall cover:
(1) Procedures for lockout/tags-plus systems while servicing machinery, equipment, or systems in accordance with subsection (c);
(2) Procedures for protecting employees involved in servicing any machinery, equipment, or system in accordance with subsections (d) through (m);
(3) Specifications for locks and tags-plus hardware in accordance with subsection (n);
(4) Employee information and training in accordance with subsection (o);
(5) Incident investigations in accordance with subsection (p); and
(6) Program audits in accordance with subsection (q).
(c) General requirements. 
(1) The employer shall ensure that, before any authorized employee performs servicing when energization or startup, or the release of hazardous energy, may occur, all energy sources are identified and isolated, and the machinery, equipment, or system is rendered inoperative.
(2) If an energy-isolating device is capable of being locked, the employer shall ensure the use of a lock to prevent energization or startup, or the release of hazardous energy, before any servicing is started, unless the employer can demonstrate that the utilization of a tags-plus system will provide full employee protection as set forth in subsection (c)(6).
(3) If an energy-isolating device is not capable of being locked, the employer shall ensure the use of a tags-plus system to prevent energization or startup, or the release of hazardous energy, before any servicing is started.
(4) Each tags-plus system shall consist of:
(A) At least one energy-isolating device with a tag affixed to it; and
(B) At least one additional safety measure that, along with the energy isolating device and tag required in subsection (c)(4)(A), will provide the equivalent safety available from the use of a lock.

Note to subsection (c)(4):
When the Navy ship's force maintains control of the machinery, equipment, or systems on a vessel and has implemented such additional measures it determines are necessary, the provisions of subsection (c)(4)(B) shall not apply, provided that the employer complies with the verification procedures in subsection (g).
(5) After March 13, 2012, the employer shall ensure that each energy isolating device for any machinery, equipment, or system is designed to accept a lock whenever the machinery, equipment, or system is extensively repaired, renovated, modified, or replaced, or whenever new machinery, equipment, or systems are installed. This requirement does not apply when a shipyard employer:
(A) Does not own the machinery, equipment, or system; or
(B) Builds or services a vessel or vessel section according to customer specifications.
(6) Full employee protection. 
(A) When a tag is used on an energy-isolating device that is capable of being locked out, the tag shall be attached at the same location that the lock would have been attached, and;
(B) The employer shall demonstrate that the use of a tags-plus system will provide a level of safety equivalent to that obtained by using a lock. In demonstrating that an equivalent level of safety is achieved, the employer shall:
1. Demonstrate full compliance with all tags-plus-related provisions of this standard; and
2. Implement such additional safety measures as are necessary to provide the equivalent safety available from the use of a lock.

Note to subsection (c)(6):
When the Navy ship's force maintains control of the machinery, equipment, or systems on a vessel and has implemented such additional measures it determines are necessary, the provisions of subsection (c)(6)(B)2 do not apply, provided that the employer complies with the verification procedures in subsection (g).
(7) Lockout/tags-plus coordination. 
(A) The employer shall establish and implement lockout/tags-plus coordination when:
1. Employees on vessels and in vessel sections are servicing multiple machinery, equipment, or systems at the same time; or
2. Employees on vessels, in vessel sections, and at landside facilities are performing multiple servicing operations on the same machinery, equipment, or system at the same time.
(B) The coordination process shall include a lockout/tags-plus coordinator and a lockout/tags-plus log. Each log shall be specific to each vessel, vessel section, and landside work area.
(C) The employer shall designate a lockout/tags-plus coordinator who is responsible for overseeing and approving:
1. The application of each lockout and tags-plus system;
2. The verification of hazardous energy isolation before the servicing of any machinery, equipment, or system begins; and
3. The removal of each lockout and tags-plus system.
(D) The employer shall ensure that the lockout/tags-plus coordinator maintains and administers a continuous log of each lockout and tags-plus system. The log shall contain:
1. Location of machinery, equipment, or system to be serviced;
2. Type of machinery, equipment, or system to be serviced;
3. Name of the authorized employee applying the lockout/tags-plus system;
4. Date that the lockout/tags-plus system is applied;
5. Name of authorized employee removing the lock or tags-plus system; and
6. Date that lockout/tags-plus system is removed.

Note to subsection (c)(7):
When the Navy ship's force serves as the lockout/tags-plus coordinator and maintains control of the lockout/tags-plus log, the employer shall be in compliance with the requirements in subsection (c)(7) when coordination between the ship's force and the employer occurs to ensure that applicable lockout/tags-plus procedures are followed and documented.
(d) Lockout/tags-plus written procedures. 
(1) The employer shall establish and implement written procedures to prevent energization or startup, or the release of hazardous energy, during the servicing of any machinery, equipment, or system. Each procedure shall include:
(A) A clear and specific outline of the scope and purpose of the lockout/tags-plus procedure;
(B) The means the employer will use to enforce compliance with the lockout/tags-plus program and procedures; and 
(C) The steps that shall be followed for:
1. Preparing for shutting down and isolating of the machinery, equipment, or system to be serviced, in accordance with subsection (e);
2. Applying the lockout/tags-plus system, in accordance with subsection (f);
3. Verifying isolation, in accordance with subsection (g);
4. Testing the machinery, equipment, or system, in accordance with subsection (h);
5. Removing lockout/tags-plus systems, in accordance with subsection (i);
6. Starting up the machinery, equipment, or system that is being serviced, in accordance with subsection (j);
7. Applying lockout/tags-plus systems in group servicing operations, in accordance with subsection (k);
8. Addressing multi-employer worksites involved in servicing any machinery, equipment, or system, in accordance with subsection (l); and
9. Addressing shift or personnel changes during servicing operations, in accordance with subsection (m).

Note TO SUBSECTION (d)(1):
The employer need only develop a single procedure for a group of similar machines, equipment, or systems if the machines, equipment, or systems have the same type and magnitude of energy and the same or similar types of controls, and if a single procedure can satisfactorily address the hazards and the steps to be taken to control these hazards.
(2) The employer's lockout procedures do not have to be in writing for servicing machinery, equipment, or systems, provided that all of the following conditions are met:
(A) There is no potential for hazardous energy to be released (or to re-accumulate) after shutting down, or restoring energy to, the machinery, equipment, or system;
(B) The machinery, equipment, or system has a single energy source that can be readily identified and isolated;
(C) The isolation and lock out of that energy source will result in complete de-energization and deactivation of the machinery, equipment, or system, and there is no potential for re-accumulation of energy;
(D) The energy source is isolated and secured from the machinery, equipment, or system during servicing; 
(E) Only one lock is necessary for isolating the energy source; 
(F) The lock is under the exclusive control of the authorized employee performing the servicing;
(G) The servicing does not create a hazard for any other employee; and
(H) The employer, in utilizing this exception, has not had any accidents or incidents involving the activation or re-energization of this type of machinery, equipment, or system during servicing.
(e) Procedures for shutdown and isolation. 
(1) Before an authorized employee shuts down any machinery, equipment, or system, the employer shall:
(A) Ensure that the authorized employee has knowledge of:
1. The source, type, and magnitude of the hazards associated with energization or startup of the machine, equipment, or system;
2. The hazards associated with the release of hazardous energy; and
3. The means to control these hazards; and
(B) Notify each affected employee that the machinery, equipment, or system will be shut down and de-energized prior to servicing, and that a lockout/tags-plus system will be implemented.
(2) The employer shall ensure that the machinery, equipment, or system is shut down according to the written procedures the employer established.
(3) The employer shall use an orderly shutdown to prevent exposing any employee to risks associated with hazardous energy.
(4) The employer shall ensure that the authorized employee relieves, disconnects, restrains, or otherwise renders safe all potentially hazardous energy that is connected to the machinery, equipment, or system.

Note TO SUBSECTION (e): 
When the Navy ship's force shuts down any machinery, equipment, or system, and relieves, disconnects, restrains, or otherwise renders safe all potentially hazardous energy that is connected to the machinery, equipment, or system, the employer will be in compliance with the requirements in subsection (e) when the employer's authorized employee verifies that the machinery, equipment, or system being serviced has been properly shut down, isolated, and de-energized.
(f) Procedures for applying lockout/tags-plus systems. 
(1) The employer shall ensure that only an authorized employee applies a lockout/tags-plus system.
(2) When using lockout systems, the employer shall ensure that the authorized employee affixes each lock in a manner that will hold the energy isolating device in a safe or off position.
(3) When using tags-plus systems, the employer shall ensure that the authorized employee affixes a tag directly to the energy-isolating device that clearly indicates that the removal of the device from a safe or off position is prohibited.
(4) When the tag cannot be affixed directly to the energy-isolating device the employer shall ensure that the authorized employee locates it as close as safely possible to the device, in a safe and immediately obvious position.
(5) The employer shall ensure that each energy-isolating device that controls energy to the machinery, equipment, or system is effective in isolating the machinery, equipment, or system from all potentially hazardous energy source(s).

Note TO SUBSECTION (f): 
When the Navy ship's force applies the lockout/tags-plus systems or devices, the employer will be in compliance with the requirements in subsection (f) when the employer's authorized employee verifies the application of the lockout/tags-plus systems or devices.
(g) Procedures for verification of de-energization and isolation. 
(1) Before servicing machinery, equipment, or a system that has a lockout/tags-plus system, the employer shall ensure that the authorized employee, or the primary authorized employee in a group lockout/tags-plus application, verifies that the machinery, equipment, or system is de-energized and all energy sources isolated.
(2) The employer shall ensure that the authorized employee, or the primary authorized employee in a group lockout/tags-plus application, continues verifying de-energization and isolation while servicing the machinery, equipment, or system.
(3) Each authorized employee in a group lockout/tags-plus application who will be servicing the machinery, equipment, or system shall be given the option to verify that the machinery, equipment, or system is de-energized and all energy sources isolated, even when verification is performed by the primary authorized employee.
(h) Procedures for testing. In each situation in which a lockout/tags-plus system must be removed temporarily and the machinery, equipment, or system restarted to test it or to position a component, the employer shall ensure that the authorized employee does the following in sequence:
(1) Clears tools and materials from the work area;
(2) Removes nonessential employees from the work area;
(3) Removes each lockout/tags-plus system in accordance with subsection (i); 
(4) Restarts the machinery, equipment, or system and then proceeds with testing or positioning; and
(5) After completing testing or positioning, de-energizes and shuts down the machinery, equipment, or system and reapplies all lockout/tags-plus systems in accordance with subsections (e)-(g) to continue servicing.

Note TO SUBSECTION (h):
When the Navy ship's force serves as the lockout/tags-plus coordinator, performs the testing, and maintains control of the lockout/tags-plus systems or devices during testing, the employer is in compliance with subsection (h) when the employer's authorized employee acknowledges to the lockout/tags-plus coordinator that the employer's personnel and tools are clear and the machinery, equipment, or system being serviced is ready for testing, and upon completion of the testing, verifies the reapplication of the lockout/tags-plus systems.
(i) Procedures for removal of lockout and tags-plus systems. 
(1) Before removing any lockout/tags-plus system and restoring the machinery, equipment, or system to use, the employer shall ensure that the authorized employee does the following:
(A) Notifies all other authorized and affected employees that the lockout/tags-plus system will be removed;
(B) Ensures that all employees in the work area have been safely positioned or removed; and
(C) Inspects the work area to ensure that nonessential items have been removed and machinery, equipment, or system components are operationally intact.
(2) The employer shall ensure that each lock or tags-plus system is removed by the authorized employee who applied it.
(3) When the authorized employee who applied the lockout/tags-plus system is not available to remove it, the employer may direct removal by another authorized employee, provided the employer developed and incorporated into the lockout/tags-plus program the specific procedures and training that address such removal, and demonstrates that the specific procedures used provide a level of employee safety that is at least as effective in protecting employees as removal of the system by the authorized employee who applied it. After meeting these requirements, the employer shall do the following in sequence:
(A) Verify that the authorized employee who applied the lockout/tags-plus system is not in the facility;
(B) Make all reasonable efforts to contact the authorized employee to inform him/her that the lockout/tags-plus system has been removed; and
(C) Ensure that the authorized employee who applied the lock or tags-plus system has knowledge of the removal before resuming work on the affected machinery, equipment, or system.

Note TO SUBSECTION (i): 
When the Navy ship's force serves as lockout/tags-plus coordinator and removes the lockout/tags-plus systems or devices, the employer is in compliance with the requirements in subsection (i) when the employer's authorized employee informs the lockout/tags-plus coordinator that the procedures in subsection (i)(1) have been performed.
(j) Procedures for startup. 
(1) Before an authorized employee turns on any machinery, equipment, or system after servicing is completed, the employer shall ensure that the authorized employee has knowledge of the source, type, and magnitude of the hazards associated with energization or startup, and the means to control these hazards.
(2) The employer shall execute an orderly startup to prevent or minimize any additional or increased hazard(s) to employees. The employer shall perform the following tasks before starting up the machinery, equipment, or system:
(A) Clear tools and materials from the work area;
(B) Remove any non-essential employees from the work area; and
(C) Start up the machinery, equipment, or system according to the detailed procedures the employer established for that machinery, equipment, or system.

Note TO SUBSECTION (j): 
When the Navy ship's force serves as lockout/tags-plus coordinator and maintains control of the lockout/tags-plus systems or devices during startup, and the employer is prohibited from starting up the machinery, equipment, or system, the employer is in compliance with the requirements in subsection (j) when the employer's authorized employee informs the lockout/tags-plus coordinator the procedures in subsections (j)(2)(A) and (j)(2)(B) have been performed.
(k) Procedures for group lockout/tags-plus.
When more than one authorized employee services the same machinery, equipment, or system at the same time, the following procedures shall be implemented:
(1) Primary authorized employee. The employer shall:
(A) Assign responsibility to one primary authorized employee for each group of authorized employees performing servicing on the same machinery, equipment, or system;
(B) Ensure that the primary authorized employee determines the safe exposure status of each authorized employee in the group with regard to the lockout/tags-plus system;
(C) Ensure that the primary authorized employee obtains approval from the lockout/tags-plus coordinator to apply and remove the lockout/tags-plus system; and
(D) Ensure that the primary authorized employee coordinates the servicing operation with the coordinator when required by subsection (c)(7)(A).
(2) Authorized employees. The employer shall either:
(A) Have each authorized employee apply a personal lockout/tags-plus system; or
(B) Use a procedure that the employer can demonstrate affords each authorized employee a level of protection equivalent to the protection provided by having each authorized employee apply a personal lockout/tags-plus system. Such procedures shall incorporate a means for each authorized employee to have personal control of, and accountability for, his or her protection such as, but not limited to, having each authorized employee:
1. Sign a group tag (or a group tag equivalent), attach a personal identification device to a group lockout device, or performs a comparable action before servicing is started; and
2. Sign off the group tag (or the group tag equivalent), remove the personal identification device, or perform a comparable action when servicing is finished.

Note TO SUBSECTION (k)(2):
When the Navy ship's force maintains control of the machinery, equipment, or systems on a vessel and prohibits the employer from applying or removing the lockout/tags-plus system or starting up the machinery, equipment, or systems being serviced, the employer is in compliance with the requirements in subsections (k)(1)(C) and (k)(2), provided that the employer ensures that the primary authorized employee takes the following steps in the following order: (1) Before servicing begins and after de-energization, (a) verifies the safe exposure status of each authorized employee, and (b) signs a group tag (or a group tag equivalent) or performs a comparable action; and (2) after servicing is complete and before re-energization, (a) verifies the safe exposure status of each authorized employee, and (b) signs off the group tag (or the group tag equivalent) or performs a comparable action.
(l) Procedures for multi-employer worksites. 
(1) The host employer shall establish and implement procedures to protect employees from hazardous energy in multi-employer worksites. The procedures shall specify the responsibilities for host and contract employers.
(2) Host employer responsibilities. The host employer shall carry out the following responsibilities in multiemployer worksites:
(A) Inform each contract employer about the content of the host employer's lockout/tags-plus program and procedures;
(B) Instruct each contract employer to follow the host employer's lockout/tags-plus program and procedures; and
(C) Ensure that the lockout/tags-plus coordinator knows about all servicing operations and communicates with each contract employer who performs servicing or works in an area where servicing is being conducted.
(3) Contract employer responsibilities.
Each contract employer shall perform the following duties when working in a multi-employer worksite:
(A) Follow the host employer's lockout/tags-plus program and procedures;
(B) Ensure that the host employer knows about the lockout/tags-plus hazards associated with the contract employer's work and what the contract employer is doing to address these hazards; and
(C) Inform the host employer of any previously unidentified lockout/tags-plus hazards that the contract employer identifies at the multi-employer worksite.

Note TO SUBSECTION (l): 
1. The host employer may include provisions in its contract with the contract employer for the contract employer to have more control over the lockout/tags-plus program if such provisions will provide an equivalent level of protection for the host employer's and contract employer's employees as that provided by subsection (l).
2. When the U.S Navy contracts directly with a contract employer and the Navy ship's force maintains control of the lockout/tags-plus systems or devices, that contract employer shall consider the Navy to be the host employer for the purposes of subsection (l)(3).
(m) Procedures for shift or personnel changes. 
(1) The employer shall establish and implement specific procedures for shift or personnel changes to ensure the continuity of lockout/tags-plus protection.
(2) The employer shall establish and implement provisions for the orderly transfer of lockout/ tags-plus systems between authorized employees when they are starting and ending their work shifts, or when personnel changes occur during a work shift, to prevent energization or startup of the machinery, equipment, or system being serviced or the release of hazardous energy.
(n) Lockout/tags-plus materials and hardware. 
(1) The employer shall provide locks and tags-plus system hardware used for isolating, securing, or blocking machinery, equipment, or systems from all hazardous-energy sources.
(2) The employer shall ensure that each lock and tag is uniquely identified for the purpose of controlling hazardous energy and is not used for any other purpose.
(3) The employer shall ensure that each lock and tag meets the following requirements:
(A) Durable. 
1. Each lock and tag shall be capable of withstanding the existing environmental conditions for the maximum period of time that servicing is expected to last;
2. Each tag shall be made so that weather conditions, wet or damp conditions, corrosive substances, or other conditions in the work area where the tag is used or stored will not cause it to deteriorate or become illegible.
(B) Standardized. 
1. Each lock and tag shall be standardized in at least one of the following areas: color, shape, or size; and
2. Each tag shall be standardized in print and format.
(C) Substantial. 
1. Each lock shall be sturdy enough to prevent removal without the use of extra force or unusual techniques, such as bolt cutters or other metal-cutting tools;
2. Each tag and tag attachment shall be sturdy enough to prevent inadvertent or accidental removal;
3. Each tag attachment shall have the general design and basic safety characteristics of a one-piece, all-environment-tolerant nylon tie;
4. Each tag attachment shall be non-reusable, attachable by hand, self-locking, and non-releasable, and has a minimum unlocking strength of 50 pounds.
(D) Identifiable. Each lock and tag shall indicate the identity of the authorized employee applying it; and
(E) Each tag shall warn of hazardous conditions that could arise if the machinery, equipment, or system is energized and includes a legend such as one of the following: “Do Not Start,” “Do Not Open,” “Do Not Close,” “Do Not Energize,” or “Do Not Operate.”
(o) Information and training. 
(1) Initial training. The employer shall train each employee in the applicable requirements of this section no later than March 13, 2012.
(2) General training content. The employer shall train each employee who is, or may be, in an area where lockout/tags-plus systems are being used so they know:
(A) The purpose and function of the employer's lockout/tags-plus program and procedures;
(B) The unique identity of the locks and tags to be used in the lockout/tags-plus system, as well as the standardized color, shape or size of these devices;
(C) The basic components of the tags-plus system: an energy-isolating device with a tag affixed to it and an additional safety measure;
(D) The prohibition against tampering with or removing any lockout/tags-plus system; and
(E) The prohibition against restarting or reenergizing any machinery, equipment, or system being serviced under a lockout/tags-plus system.
(3) Additional training requirements for affected employees. In addition to training affected employees in the requirements in subsection (o)(2), the employer also shall train each affected employee so he/she knows:
(A) The use of the employer's lockout/tags-plus program and procedures;
(B) That affected employees are not to apply or remove any lockout/tags-plus system; and
(C) That affected employees are not to bypass, ignore, or otherwise defeat any lockout/tags-plus system.
(4) Additional training requirements for authorized employees. In addition to training authorized employees in the requirements in subsections (o)(2) and (o)(3), the employer also shall train each authorized employee so he/she knows:
(A) The steps necessary for the safe application, use, and removal of lockout/tags-plus systems to prevent energization or startup or the release of hazardous energy during servicing of machinery, equipment, or systems;
(B) The type of energy sources and the magnitude of the energy available at the worksite;
(C) The means and methods necessary for effective isolation and control of hazardous energy;
(D) The means for determining the safe exposure status of other employees in a group when the authorized employee is working as a group's primary authorized employee.
(E) The requirement for tags to be written so they are legible and understandable to all employees;
(F) The requirement that tags and their means of attachment be made of materials that will withstand the environmental conditions encountered in the workplace;
(G) The requirement that tags be securely attached to energy-isolating devices so they cannot be accidentally removed while servicing machinery, equipment, or systems;
(H) That tags are warning devices, and alone do not provide physical barriers against energization or startup, or the release of hazardous energy, provided by locks, and energy-isolating devices; and
(I) That tags shall be used in conjunction with an energy-isolating device to prevent energization or startup or the release of hazardous energy.
(5) Additional training for lockout/tags-plus coordinator. In addition to training lockout/tags-plus coordinators in the requirements in subsections (o)(2), (o)(3), and (o)(4), the employer shall train each lockout/tags-plus coordinator so he/she knows:
(A) How to identify and isolate any machinery, equipment, or system that is being serviced; and
(B) How to accurately document lockout/tags-plus systems and maintain the lockout/tags-plus log.
(6) Employee retraining.
(A) The employer shall retrain each employee, as applicable, whenever:
1. There is a change in his/her job assignment that presents new hazards or requires a greater degree of knowledge about the employer's lockout/tags-plus program or procedures;
2. There is a change in machinery, equipment, or systems to be serviced that present a new energy-control hazard;
3. There is a change in the employer's lockout/tags-plus program or procedures; or
4. It is necessary to maintain the employee's proficiency.
(B) The employer also shall retrain each employee, as applicable, whenever an incident investigation or program audit indicates that there are:
1. Deviations from, or deficiencies in, the employer's lockout/tags-plus program or procedures; or
2. Inadequacies in an employee's knowledge or use of the lockout/tags-plus program or procedures.
(C) The employer shall ensure that retraining establishes the required employee knowledge and proficiency in the employer's lockout/tags-plus program and procedures and in any new or revised energy-control procedures.
(7) Upon completion of employee training, the employer shall keep a record that the employee accomplished the training, and that this training is current. The training record shall contain at least the employee's name, date of training, and the subject of the training.
(p) Incident investigation. 
(1) The employer shall investigate each incident that resulted in, or could reasonably have resulted in, energization or startup, or the release of hazardous energy, while servicing machinery, equipment, or systems.
(2) Promptly but not later than 24 hours following the incident, the employer shall initiate an incident investigation and notify each employee who was, or could reasonably have been, affected by the incident.
(3) The employer shall ensure that the incident investigation is conducted by at least one employee who has the knowledge of, and experience in, the employer's lockout/tags-plus program and procedures, and in investigating and analyzing incidents involving the release of hazardous energy. The employer may also use additional individuals to participate in investigating the incident.
(4) The employer shall ensure that the individual(s) conducting the investigation prepare(s) a written report of the investigation that includes:
(A) The date and time of the incident;
(B) The date and time the incident investigation began;
(C) Location of the incident;
(D) A description of the incident;
(E) The factors that contributed to the incident;
(F) A copy of any lockout/tags-plus log that was current at the time of the incident; and
(G) Any corrective actions that need to be taken as a result of the incident.
(5) The employer shall review the written incident report with each employee whose job tasks are relevant to the incident investigation findings, including contract employees when applicable.
(6) The employer shall ensure that the incident investigation and written report are completed, and all corrective actions implemented, within 30 days following the incident.
(7) If the employer demonstrates that it is infeasible to implement all of the corrective actions within 30 days, the employer shall prepare a written abatement plan that contains an explanation of the circumstances causing the delay, a proposed timetable for the abatement, and a summary of the steps the employer is taking in the interim to protect employees from hazardous energy while servicing machinery, equipment, or systems.
(q) Program audits. 
(1) The employer shall conduct an audit of the lockout/tags-plus program and procedures currently in use at least annually to ensure that the procedures and the requirements of this section are being followed and to correct any deficiencies.
(2) The employer shall ensure that the audit is performed by:
(A) An authorized employee other than the one(s) currently using the energy control procedure being reviewed; or
(B) Individuals other than an authorized employee who are knowledgeable about the employer's lockout/tags-plus program and procedures and the machinery, equipment, or systems being audited.
(3) The employer shall ensure that the audit includes:
(A) A review of the written lockout/tags-plus program and procedures;
(B) A review of the current lockout/tags-plus log;
(C) Verification of the accuracy of the lockout/tags-plus log;
(D) A review of incident reports since the last audit;
(E) A review conducted between the auditor and authorized employees regarding the authorized employees' responsibilities under the lockout systems being audited; and 
(F) A review conducted between the auditor and affected and authorized employees regarding their responsibilities under the tags-plus systems being audited.
(4) The employer shall ensure that, within 15 days after completion of the audit, the individual(s) who conducted the audit prepare and deliver to the employer a written audit report that includes at least:
(A) The date of the audit;
(B) The identity of the individual(s) who performed the audit;
(C) The identity of the procedure and machinery, equipment, or system that were audited;
(D) The findings of the program audit and recommendations for correcting deviations or deficiencies identified during the audit;
(E) Any incident investigation reports since the previous audit; and 
(F) Descriptions of corrective actions the employer has taken in response to the findings and recommendations of any incident investigation reports prepared since the previous audit.
(5) The employer shall promptly communicate the findings and recommendations in the written audit report to each employee having a job task that may be affected by such findings and recommendations.
(6) The employer shall correct the deviations or inadequacies in the lockout/tags-plus program within 15 days after receiving the written audit report.
(r) Recordkeeping. 
(1) Table 8356(r)(1) specifies what records the employer shall retain and how long the employer shall retain them:

Table 8356(r)(1) -- Retention of Records Required by Section 8356

The employer shall keep the following	For at least . . .
records	

(A) Current lockout/tags-plus program	Until replaced by updated program
and procedures	and procedures.

(B) Training records	Until replaced by updated records
	for each type of training.

(C) Incident investigation reports	Until the next program audit is 
	completed.

(D) Program audit report	12 months after being replaced by
	the next audit report.
(2) The employer shall make all records required by this section available to employees, their representatives, and the Division in accordance with the procedures and time periods specified in General Industry Safety Orders, Section 3204(e).
(s) Appendices. Non-mandatory Appendix A to this section is a guideline to assist employers and employees in complying with the requirements of this section, and to provide them with other useful information. The information in Appendix A does not add to, or in any way revise, the requirements of this section.

Appendix A to §8356 (Non-Mandatory) -- Typical  Minimal Lockout/Tags-Plus Procedures
General
Lockout/Tags-Plus Procedure
Lockout/Tags-Plus Procedure for

[Name of company for single procedure or identification of machinery, equipment, or system if multiple procedures used.]
Purpose
This procedure establishes the minimum requirements for the lockout/tags-plus application of energy-isolating devices on vessels and vessel sections, and for landside facilities whenever servicing is done on machinery, equipment, or systems in shipyards. This procedure shall be used to ensure that all potentially hazardous-energy sources have been isolated and the machinery, equipment, or system to be serviced has been rendered inoperative through the use of lockout or tags-plus procedures before employees perform any servicing when the energization or start-up of the machinery, equipment, or system, or the release of hazardous energy could cause injury.
Compliance With This Program
All employees are required to comply with the restrictions and limitations imposed on them during the use of lockout or tags-plus applications. Authorized employees are required to perform each lockout or tags-plus application in accordance with this procedure. No employee, upon observing that machinery, equipment, or systems are secured using lockout or tags-plus applications, shall attempt to start, open, close, energize, or operate that machinery, equipment, or system. 

Type of compliance enforcement to be taken for violation of the above.
Procedures for Lockout/Tags-Plus Systems

(1) Notify each affected employee that servicing is required on the machinery, equipment, or system, and that it shall be isolated and rendered inoperative using a lockout or tags-plus system.
			
Method of notifying all affected employees. 
(2) The authorized employee shall refer to shipyard employer's procedures to identify the type and magnitude of the energy source(s) that the machinery, equipment, or system uses, shall understand the hazards of the energy, and shall know the methods to control the energy source(s).

Type(s) and magnitude(s) of energy, its hazards and the methods to control the energy.
(3) If the machinery, equipment, or system is operating, shut it down in accordance with the written procedures (depress the stop button, open switch, close valve, etc.) established by the employer.

Type(s) and location(s) of machinery, equipment, or system operating controls.
(4) Secure each energy-isolating device(s) through the use of a lockout or tags-plus system (for instance, disconnecting, blanking, and affixing tags) so that the energy source is isolated and the machinery, equipment, or system is rendered inoperative.

Type(s) and location(s) of energy-isolating devices.
(5) Lockout System. Affix a lock to each energy-isolating device(s) with assigned individual lock(s) that will hold the energy isolating device(s) in a safe or off position. Potentially hazardous energy (such as that found in capacitors, springs, elevated machine members, rotating flywheels, hydraulic systems, and air, gas, steam, or water pressure, etc.) shall be controlled by methods such as grounding, repositioning, blocking, bleeding down, etc.
(6) Tags-Plus System. Affix a tag to each energy-isolating device and provide at least one additional safety measure that clearly indicates that removal of the device from the safe or off position is prohibited. Potentially hazardous energy (such as that found in capacitors, springs, elevated machine members, rotating flywheels, hydraulic systems and air, gas, steam, or water pressure, etc.) shall be controlled by methods such as grounding, repositioning, blocking, bleeding down, etc.

Type(s) of hazardous energy-methods used to control them.
(7) Ensure that the machinery, equipment, or system is relieved, disconnected, restrained, or rendered safe from the release of all potentially hazardous energy by checking that no personnel are exposed, and then verifying the isolation of energy to the machine, equipment, or system by operating the push button or other normal operating control(s), or by testing to make certain it will not operate.
CAUTION: Return operating control(s) to the safe or off position after verifying the isolation of the machinery, equipment, or system.

Method of verifying the isolation of the machinery, equipment, or system.
(8) The machinery, equipment, or system is now secured by a lockout or tags-plus system, and servicing by the authorized person may be performed.
Procedures for Removal of Lockout/Tags-Plus Systems
When servicing is complete and the machinery, equipment, or system is ready to return to normal operating condition, the following steps shall be taken:
(1) Notify each authorized and affected employee(s) that the lockout/tags-plus system will be removed and the machinery, equipment, or system reenergized.
(2) Inspect the work area to ensure that all employees have been safely positioned or removed.
(3) Inspect the machinery, equipment, or system and the immediate area around the machinery, equipment, or system to ensure that nonessential items have been removed and that the machinery, equipment or system components are operationally intact.
(4) Reconnect the necessary components, remove the lockout/tags-plus material and hardware, and reenergize the machinery, equipment, or system through the established detailed procedures determined by the employer.
(5) Notify all affected employees that servicing is complete and the machinery, equipment, or system is ready for testing or use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8358. Asbestos.
Note     •     History

(a) Scope and application.
This section regulates asbestos exposure in all shipyard employment work as defined in Section 8347, including but not limited to the following: 
(1) Demolition or salvage of structures, vessels, and vessel sections where asbestos is present;
(2) Removal or encapsulation of materials containing asbestos;
(3) Construction, alteration, repair, maintenance, or renovation of vessels, vessel sections, structures, substrates, or portions thereof, that contain asbestos;
(4) Installation of products containing asbestos;
(5) Asbestos spill/emergency cleanup; and
(6) Transportation, disposal, storage, containment of and housekeeping activities involving asbestos or products containing asbestos, on the site or location at which construction activities are performed. 
(7) Coverage under this standard shall be based on the nature of the work operation involving asbestos exposure. 
(8) Whenever employee exposure to asbestos, as defined in subsection (b) of this section consists only of exposure to tremolite, anthophyllite, and actinolite in the non-asbestiform mineral habit, the provisions of Section 5208.1 of the General Industry Safety Orders shall apply and supersede the provisions of this section. 
(9) The provisions of this section are subject to the requirements of the Occupational Carcinogen Control Act of 1976 (Labor Code, Division 5, part 10).
(b) Definitions.
“Aggressive method” means removal or disturbance of building/vessel materials by sanding, abrading, grinding, or other method that breaks, crumbles, or otherwise disintegrates intact ACM.
“Amended water” means water to which surfactant (wetting agent) has been added to increase the ability of the liquid to penetrate ACM.
“Asbestos” includes chrysotile, amosite, crocidolite, tremolite asbestos, anthophyllite asbestos, actinolite asbestos, and any of these minerals that has been chemically treated and/or altered. For purposes of this standard, “asbestos” includes PACM, as defined below.
“Asbestos-containing material, (ACM)” means any material containing more than one percent asbestos.
“Assistant Secretary” means the Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor, or designee.
“Authorized person” means any person authorized by the employer and required by work duties to be present in regulated areas.
“Building/facility/vessel owner” is the legal entity, including a lessee, which exercises control over management and record keeping functions relating to a building, facility, and/or vessel in which activities covered by this standard take place.
“Certified Industrial Hygienist (CIH)” means one certified in the practice of industrial hygiene by the American Board of Industrial Hygiene.
“Chief”. The Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142.
“Class I asbestos work” means activities involving the removal of thermal system insulation or surfacing ACM/PACM.
“Class II asbestos works” means activities involving the removal of ACM which is neither TSI or surfacing ACM. This includes, but is not limited to, the removal of asbestos-containing wallboard, floor tile and sheeting, roofing and siding shingles, and construction mastics.
“Class III asbestos work means” repair and maintenance operations, where “ACM”, including TSI and surfacing ACM and PACM, is likely to be disturbed.
“Class IV asbestos work” means maintenance and custodial activities during which employees contact but do not disturb ACM or PACM and activities to clean up dust, waste and debris resulting from Class I, II, and III activities.
“Clean room” means an uncontaminated room having facilities for the storage of employees' street clothing and uncontaminated materials and equipment.
“Closely resemble” means that the major workplace conditions which have contributed to the levels of historic asbestos exposure, are no more protective than conditions of the current workplace.
“Competent person” see “Qualified person.”
“Critical barrier” means one or more layers of plastic sealed over all openings into a work area or any other physical barrier sufficient to prevent airborne asbestos in a work area from migrating to an adjacent area.
“Decontamination area” means an enclosed area adjacent and connected to the regulated area and consisting of an equipment room, shower area, and clean room, which is used for the decontamination of workers, materials, and equipment that are contaminated with asbestos.
“Demolition” means the wrecking or taking out of any load- supporting structural member and any related razing, removing, or stripping of asbestos products.
“Director” means the Director, National institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee.
“Disturbance” means activities that disrupt the matrix of ACM or PACM, crumble or pulverize ACM or PACM, or generate visible debris from ACM or PACM. Disturbance includes cutting away small amounts of ACM and PACM, no greater than the amount which can be contained in one standard sized glovebag or waste bag, in order to access a building or vessel component. In no event shall the amount of ACM or PACM so disturbed exceed that which can be contained in one glovebag or waste bag which shall not exceed 60 inches in length and width.
“Employee exposure” means that exposure to airborne asbestos that would occur if the employee were not using respiratory protective equipment.
“Equipment room (change room)” means a contaminated room located within the decontamination area that is supplied with impermeable bags or containers for the disposal of contaminated protective clothing and equipment.
“Fiber” means a particulate form of asbestos, 5 micrometers or longer, with a length-to-diameter ratio of at least 3 to 1.
“Glovebag” means not more than a 60 x 60 inch impervious plastic bag-like enclosure affixed around asbestos-containing material, with glove-like appendages through which material and tools may be handled.
“High-efficiency particulate air (HEPA) filter” means a filter capable of trapping and retaining at least 99.97 percent of all mono-dispersed particles of 0.3 micrometers in diameter.
“Homogeneous area” means an area of surfacing material or thermal system insulation that is uniform in color and texture.
“Incident” means any unanticipated event which causes, or is immediately likely to cause, an exposure of an employee, unprotected by an appropriate respirator, to asbestos fibers in excess of the PEL and/or excursion limit.
“Industrial hygienist” means a professional qualified by education, training, and experience to anticipate, recognize, evaluate and develop controls for occupational health hazards.
“Intact” means that the ACM has not crumbled, been pulverized, or otherwise deteriorated so that the asbestos is no longer likely to be bound with its matrix.
“Modification” for purposes of subsection (g)(6)(B) of this section, means a changed or altered procedure, material or component of a control system, which replaces a procedure, material or component of a required system. Omitting a procedure or component, or reducing or diminishing the stringency or strength of a material or component of the control system is not a “modification” for purposes of subsection (g)(6) of this section.
“Negative Initial Exposure Assessment” means a demonstration by the employer, which complies with the criteria in subsection (f)(2)(C) of this section, that employee exposure during an operation is expected to be consistently below the PELs.
“PACM” means “presumed asbestos containing material”.
“Presumed Asbestos Containing Material” means thermal system insulation and surfacing material found in buildings, vessels, and vessel sections constructed no later than 1980. The designation of a material as “PACM” may be rebutted pursuant to subsection (k)(5) of this section.
“Project Designer” means a person who has successfully completed the training requirements for an abatement project designer established by 40 U.S.C. Sec. 763.90(g).
“Qualified person” means, in addition to the definition in section 1504(a), one who is capable of identifying existing asbestos hazards in the workplace and selecting the appropriate control strategy for asbestos exposure, who has the authority to take prompt corrective measures to eliminate them, as specified in section 1504(a); in addition, for Class I and Class II work who is specially trained in a training course which meets the criteria of EPA's Model Accreditation Plan (40 CFR part 763) for supervisor, or its equivalent, and for Class Ill and Class IV work, who is trained in a manner consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(2).
“Regulated area” means an area established by the employer to demarcate areas where Class I, II, and III asbestos work is conducted, and any adjoining area where debris and waste from such asbestos work accumulate; and a work area within which airborne concentrations of asbestos, exceed or can reasonably be expected to exceed the permissible exposure limit. Requirements for regulated areas are set out in subsection (e) of this section.
“Removal” means all operations where ACM and/or PACM is taken out or stripped from structures or substrates, and includes demolition operations.
“Renovation” means the modifying of any existing vessel, vessel section, structure, or portion thereof.
“Repair” means overhauling, rebuilding, reconstructing, or reconditioning of vessels, vessel sections, structures or substrates, including encapsulation or other repair of ACM or PACM attached to structures or substrates.
“Surfacing material” means material that is sprayed, troweled-on or otherwise applied to surfaces (such as acoustical plaster on ceilings and fireproofing materials on structural members, or other materials on surfaces for acoustical, fireproofing, and other purposes).
“Surfacing ACM” means surfacing material which contains more than 1% asbestos.
“Thermal system insulation (TSI)” means ACM applied to pipes, fittings, boilers, breeching, tanks, ducts or other structural components to prevent heat loss or gain.
“Thermal system insulation ACM” is thermal system insulation which contains more than 1% asbestos.
(c) Permissible exposure limits (PELS).
(1) Time-weighted average limit (TWA). The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic centimeter of air as an eight (8) hour time-weighted average (TWA), as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(2) Excursion limit. The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 1.0 fiber per cubic centimeter of air (1 f/cc) as averaged over a sampling period of thirty (30) minutes, as determined by the method prescribed in Appendix A to this section, or by an equivalent method.
(d) Multi-employer worksites.
(1) On multi-employer worksites, an employer performing work requiring the establishment of a regulated area shall inform other employers on the site of the nature of the employer's work with asbestos and/or PACM, of the existence of and requirements pertaining to regulated areas, and the measures taken to ensure that employees of such other employers are not exposed to asbestos.
(2) Asbestos hazards at a multi-employer work site shall be abated by the contractor who created or controls the source of asbestos contamination. For example, if there is a significant breach of an enclosure containing Class I work, the employer responsible for erecting the enclosure shall repair the breach immediately.
(3) In addition, all employers of employees exposed to asbestos hazards shall comply with applicable protective provisions to protect their employees. For example, if employees working immediately adjacent to a Class I asbestos job are exposed to asbestos due to the inadequate containment of such job, their employer shall either remove the employees from the area until the enclosure breach is repaired; or perform an initial exposure assessment pursuant to subsection (f) of this section.
(4) All employers of employees working adjacent to regulated areas established by another employer on a multi-employer work-site, shall take steps on a daily basis to ascertain the integrity of the enclosure and/or the effectiveness of the control method relied on by the primary asbestos contractor to assure that asbestos fibers do not migrate to such adjacent areas.
(5) All general contractors on a shipyard project which includes work covered by this standard shall be deemed to exercise general supervisory authority over the work covered by this standard, even though the general contractor is not qualified to serve as the asbestos “qualified person” as defined by subsection (b) of this section. As supervisor of the entire project, the general contractor shall ascertain whether the asbestos contractor is in compliance with this standard, and shall require such contractor to come into compliance with this standard when necessary.
(e) Regulated areas.
(1) All Class I, II and III asbestos work shall be conducted within regulated areas. All other operations covered by this standard shall be conducted within a regulated area where airborne concentrations of asbestos exceed, or there is a reasonable possibility they may exceed a PEL. Regulated areas shall comply with the requirements of subsections (e)(2), (3), (4) and (5) of this section.
(2) Demarcation. The regulated area shall be demarcated in any manner that minimizes the number of persons within the area and protects persons outside the area from exposure to airborne asbestos. Where critical barriers or negative pressure enclosures are used, they may demarcate the regulated area. Signs shall be provided and displayed pursuant to the requirements of subsection (k)(7) of this section.
(3) Access. Access to regulated areas shall be limited to authorized persons and to persons authorized by the Chief or Director.
(4) Respirators. All persons entering a regulated area where employees are required pursuant to subsection (h)(1) of this section to wear respirators shall be supplied with a respirator selected in accordance with subsection (h)(2) of this section.
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in the regulated area.
(6) Qualified Persons. The employer shall ensure that all asbestos work performed within regulated areas is supervised by a qualified person, as defined in subsection (b) of this section. The duties of the qualified person are set out in subsection (o) of this section.
(f) Exposure assessments and monitoring.
(1) General monitoring criteria.
(A) Each employer who has a workplace or work operation where exposure monitoring is required under this section shall perform monitoring to determine accurately the airborne concentrations of asbestos to which employees may be exposed.
(B) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour TWA and 30-minute short-term exposures of each employee.
(C) Representative 8-hour TWA employee exposure shall be determined on the basis of one or more samples representing full-shift exposure for employees in each work area. Representative 30-minute short-term employee exposures shall be determined on the basis of one or more samples representing 30 minute exposures associated with operations that are most likely to produce exposures above the excursion limit for employees in each work area.
(2) Initial Exposure Assessment.
(A) Each employer who has a workplace or work operation covered by this standard shall ensure that a “qualified person” conducts an exposure assessment immediately before or at the initiation of the operation to ascertain expected exposures during that operation or workplace. The assessment must be completed in time to comply with requirements which are triggered by exposure data or the lack of a “negative exposure assessment,” and to provide information necessary to assure that all control systems planned are appropriate for that operation and will work properly. 
(B) Basis of Initial Exposure Assessment: Unless a negative exposure assessment has been made pursuant to subsection (f)(2)(C) of this section, the initial exposure assessment shall, if feasible, be based on monitoring conducted pursuant to subsection (f)(1)(C) of this section. The assessment shall take into consideration both the monitoring results and all observations, information or calculations which indicate employee exposure to asbestos, including any previous monitoring conducted in the workplace, or of the operations of the employer which indicate the levels of airborne asbestos likely to be encountered on the job. For Class I asbestos work, until the employer conducts exposure monitoring and documents that employees on that job will not be exposed in excess of the PELs, or otherwise makes a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, the employer shall presume that employees are exposed in excess of the TWA and excursion limit.
(C) Negative Initial Exposure Assessment: For any one specific asbestos job which will be performed by employees who have been trained in compliance with the standard, the employer may demonstrate that employee exposures will be below the PELs by data which conform to the following criteria;
1. Objective data demonstrating that the product or material containing asbestos minerals or the activity involving such product or material cannot release airborne fibers in concentrations exceeding the TWA and excursion limit under those work conditions having the greatest potential for releasing asbestos; or
2. Where the employer has monitored prior asbestos jobs for the PEL and the excursion limit within 12 months of the current or projected job, the monitoring and analysis were performed in compliance with the asbestos standard in effect; and the data were obtained during work operations conducted under workplace conditions “closely resembling” the processes, type of material, control methods, work practices, and environmental conditions used and prevailing in the employer's current operations, the operations were conducted by employees whose training and experience are no more extensive than that of employees performing the current job, and these data show that under the conditions prevailing and which will prevail in the current workplace there is a high degree of certainty that employee exposures will not exceed the TWA and excursion limit; or
3. The results of initial exposure monitoring of the current job made from breathing zone air samples that are representative of the 8-hour TWA and 30 minute short-term exposures of each employee covering operations which are most likely during the performance of the entire asbestos job to result in exposures over the PELs.
(3) Periodic monitoring.
(A) Class I and II operations. The employer shall conduct daily monitoring that is representative of the exposure of each employee who is assigned to work within a regulated area who is performing Class I or II work, unless the employer pursuant to subsection (f)(2)(C) of this section, has made a negative exposure assessment for the entire operation.
(B) All operations under the standard other than Class I and II operations. The employer shall conduct periodic monitoring of all work where exposures are expected to exceed a PEL, at intervals sufficient to document the validity of the exposure prediction.
(C) Exception: When all employees required to be monitored daily are equipped with supplied-air respirators operated in the pressure demand mode, or other positive pressure mode respirator, the employer may dispense with the daily monitoring required by this subsection. However, employees performing Class I work using a control method which is not listed in subsections (g)(4)(A), (B), or (C) of this section or using a modification of a listed control method, shall continue to be monitored daily even if they are equipped with supplied-air respirators
(4) Termination of monitoring.
(A) If the periodic monitoring required by subsection (f)(3) of this section reveals that employee exposures, as indicated by statistically reliable measurements, are below the permissible exposure limit and excursion limit the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring.
(B) Additional monitoring. Notwithstanding the provisions of subsections (f)(2) and (3), and (f)(4) of this section, the employer shall institute the exposure monitoring required under subsection (f)(3) of this section whenever there has been a change in process, control equipment, personnel or work practices that may result in new or additional exposures above the permissible exposure limit and/or excursion limit or when the employer has any reason to suspect that a change may result in new or additional exposures above the permissible exposure limit and/or excursion limit. Such additional monitoring is required regardless of whether a “negative exposure assessment” was previously produced for a specific job.
(5) Employee notification of monitoring results.
(A) The employer shall notify affected employees of the monitoring results that represent that employee's exposure as soon as possible but no later than 5 days following receipt of monitoring results.
(B) The employer shall notify affected employees of the results of monitoring representing the employee's exposure in writing either individually or by posting at a centrally located place that is accessible to affected employees.
(6) Observation of monitoring.
(A) The employer shall provide affected employees and their designated representatives an opportunity to observe any monitoring of employee exposure to asbestos conducted in accordance with this section.
(B) When observation of the monitoring of employee exposure to asbestos requires entry into an area where the use of protective clothing or equipment is required, the observer shall be provided with and be required to use such clothing and equipment and shall comply with all other applicable safety and health procedures.
(g) Methods of compliance.
(1) Engineering controls and work practices for all operations covered by this section. The employer shall use the following engineering controls and work practices in all operations covered by this section, regardless of the levels of exposure:
(A) Vacuum cleaners equipped with HEPA filters to collect all debris and dust containing ACM and PACM, except as provided in subsection (g)(8)(B) of this section in the case of roofing material;
(B) Wet methods, or wetting agents, to control employee exposures during asbestos handling, mixing, removal, cutting, application, and cleanup, except where employers demonstrate that the use of wet methods is infeasible due to for example, the creation of electrical hazards, equipment malfunction, and, in roofing, except as provided in subsection (g)(8)(B) of this section. 
(C) Prompt clean-up and disposal of wastes and debris contaminated with asbestos in leak-tight containers except in roofing operations, where the procedures specified in subsection (g)(8)(B) of this section apply. 
(2) In addition to the requirements of subsection (g)(1) of this section above, the employer shall use the following control methods to achieve compliance with the TWA permissible exposure limit and excursion limit prescribed by subsection (c) of this section;
(A) Local exhaust ventilation equipped with HEPA filter dust collection systems;
(B) Enclosure or isolation of processes producing asbestos dust;
(C) Ventilation of the regulated area to move contaminated air away from the breathing zone of employees and toward a filtration or collection device equipped with a HEPA filter;
(D) Use of other work practices and engineering controls that the Assistant Secretary can show to be feasible.
(E) Wherever the feasible engineering and work practice controls described above are not sufficient to reduce employee exposure to or below the permissible exposure limit and/or excursion limit prescribed in subsection (c) of this section, the employer shall use them to reduce employee exposure to the lowest levels attainable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (h) of this section.
(3) Prohibitions. The following work practices and engineering controls shall not be used for work related to asbestos or for work which disturbs ACM or PACM, regardless of measured levels of asbestos exposure or the results of initial exposure assessments:
(A) High-speed abrasive disc saws that are not equipped with point of cut ventilator or enclosures with HEPA filtered exhaust air.
(B) Compressed air used to remove asbestos, or materials containing asbestos, unless the compressed air is used in conjunction with an enclosed ventilation system designed to capture the dust cloud created by the compressed air.
(C) Dry sweeping, shoveling or other dry clean-up of dust and debris containing ACM and PACM.
(D) Employee rotation as a means of reducing employee exposure to asbestos.
(E) The spraying of any substance containing any amount of asbestos in or upon a building or other structure during its construction, alteration, or repair is prohibited.

Exceptions: 

1. Exterior and interior coating and laminating resins containing encapsulated asbestos fibers bound within the finished product from manufacture through application.

2. Cold process asphalt roof coatings.

3. Substances containing less than one-quarter of 1 percent asbestos solely as a result of naturally occurring impurities in the substance or its components. 
(4) Class I Requirements. In addition to the provisions of subsections (g)(1) and (2) of this section, the following engineering controls and work practices and procedures shall be used.
(A) All Class I work, including the installation and operation of the control system shall be supervised by a qualified person as defined in subsection (b) of this section;
(B) For all Class I jobs involving the removal of more than 25 linear or 10 square feet of TSI or surfacing ACM or PACM; for all other Class I jobs, where the employer cannot produce a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, or where employees are working in areas adjacent to the regulated area, while the Class I work is being performed, the employer shall use one of the following methods to ensure that airborne asbestos does not migrate from the regulated area:
1. Critical barriers shall be placed over all the openings to the regulated area, except where activities are performed outdoors; or
2. The employer shall use another barrier or isolation method which prevents the migration of airborne asbestos from the regulated area, as verified by perimeter area surveillance during each work shift at each boundary of the regulated area, showing no visible asbestos dust; and perimeter area monitoring showing that clearance levels contained in 40 CFR Part 763, Subpart E of the EPA Asbestos in Schools Rule are met, or that perimeter area levels, measured by Phase Contrast Microscopy (PCM) are no more than background levels representing the same area before the asbestos work began. The results of such monitoring shall be made known to the employer no later than 24 hours from the end of the work shift represented by such monitoring. Exception: For work completed outdoors where employees are not working in areas adjacent to the regulated areas, this subsection (g)(4)(B) is satisfied when the specific control methods in subsection (g)(5) of this section are used.
(C) For all Class I jobs, HVAC systems shall be isolated in the regulated area by sealing with a double layer of 6 mil plastic or the equivalent;
(D) For all Class I jobs, impermeable dropcloths shall be placed on surfaces beneath all removal activity;
(E) For all Class I jobs, all objects within the regulated area shall be covered with impermeable dropcloths or plastic sheeting which is secured by duct tape or an equivalent.
(F) For all Class I jobs where the employer cannot produce a negative exposure assessment or where exposure monitoring shows the PELs are exceeded, the employer shall ventilate the regulated area to move contaminated air away from the breathing zone of employees toward a HEPA filtration or collection device.
(5) Specific Control Systems for Class I Work. In addition, Class I asbestos work may be performed using one or more of the following control methods pursuant to the limitations stated below:
(A) Negative Pressure Enclosure (NPE) systems: NPE systems may be used where the configuration of the work area does not make the erection of the enclosure infeasible, with the following specifications and work practices.
1. Specifications:
A. The negative pressure enclosure (NPE) may be of any configuration,
B. At least 4 air changes per hour shall be maintained in the NPE,
C. A minimum of --0.02 column inches of water pressure differential, relative to outside pressure, shall be maintained within the NPE as evidenced by manometric measurements,
D. The NPE shall be kept under negative pressure throughout the period of its use, and
E. Air movement shall be directed away from employees performing asbestos work within the enclosure, and toward a HEPA filtration or a collection device.
2. Work Practices:
A. Before beginning work within the enclosure and at the beginning of each shift, the NPE shall be inspected for breaches and smoke- tested for leaks, and any leaks sealed.
B. Electrical circuits in the enclosure shall be deactivated, unless equipped with ground-fault circuit interrupters.
(B) Glove bag systems way be used to remove PACM and/or ACM from straight runs of piping and elbows and other connections with the following specifications and work practices:
1. Specifications:
A. Glovebags shall be node of 6 mil thick plastic and shall be seamless at the bottom.
B. Glovebags used on elbows and other connections must be designed for that purpose and used without modifications.
2. Work Practices:
a. Each glovebag shall be installed so that it completely covers the circumference of pipe or other structure where the work is to be done.
b. Glovebags shall be smoke-tested for leaks and any leaks sealed prior to use.
c. Glovebags may be used only once and may not be moved.
d. Glovebags shall not be used on surfaces whose temperature exceeds 150oF.
e. Prior to disposal, glovebags shall be collapsed by removing air within them using a HEPA vacuum.
f. Before beginning the operation, loose and friable material adjacent to the glovebag/box operation shall be wrapped and sealed in two layers of six mil plastic or otherwise rendered intact.
g. Where system uses attached waste bag, such bag shall be connected to collection bag using hose or other material which shall withstand pressure of ACM waste and water without losing its integrity:
h. Sliding valve or other device shall separate waste bag from hose to ensure no exposure when waste bag is disconnected:
i. At least two persons shall perform Class I glovebag removal operations.
(C) Negative Pressure Glove Bag Systems. Negative pressure glove bag systems may be used to remove ACM or PACM from piping.
1. Specifications: In addition to specifications for glove bag systems above, negative pressure glove bag systems shall attach HEPA vacuum system or other device to bag to prevent collapse during removal.
2. Work Practices:
a. The employer shall comply with the work practices for glove bag systems in subsection (g)(5)(B)2.d. of this section,
b. The HEPA vacuum cleaner or other device used to prevent collapse of bag during removal shall run continually during the operation until it is completed at which time the bag shall be collapsed prior to removal of the bag from the pipe.
c. Where a separate waste bag is used along with a collection bag and discarded after one use, the collection bag may be reused if rinsed clean with amended water before reuse.
(D) Negative Pressure Glove Box systems: Negative pressure glove boxes may be used to remove ACM or PACM from pipe runs with the following specifications and work practices. 
1. Specifications:
a. Glove boxes shall be constructed with rigid sides and made from metal or other material which can withstand the weight of the ACM and PACM and water used during removal:
b. A negative pressure generator shall be used to create negative pressure in the system:
c. An air filtration unit shall be attached to the box:
d. The box shall be fitted with gloved apertures:
e. An aperture at the base of the box shall serve as a bagging outlet for waste ACM and water:
f. A back-up generator shall be present on site:
g. Waste bags shall consist of 6 mil thick plastic double-bagged before they are filled or plastic thicker than 6 mil.
2. Work practices:
a. At least two persons shall perform the removal:
b. The box shall be smoke-tested for leaks and any leaks sealed prior to each use.
c. Loose or damaged ACM adjacent to the box shall be wrapped and sealed in two layers of 6 mil plastic prior to the job, or otherwise made intact prior to the job.
d. A HEPA filtration system shall be used to maintain the pressure barrier in the box.
(E) Water Spray Process System: A water spray process system may be used for removal of ACM and PACM from cold line piping if, employees carrying out such process have completed a 40-hour separate training course in its use, in addition to training required for employees performing Class I work. The system shall meet the following specifications and shall be performed by employees using the following work practices.
1. Specifications:
a. Piping from which insulation will be removed shall be surrounded on 3 sides by rigid framing,
b. A 360 degree water spray, delivered through nozzles supplied by a high pressure separate water line, shall be formed around the piping.
c. The spray shall collide to form a fine aerosol which provides a liquid barrier between workers and the ACM and PACM.
2. Work Practices:
a. The system shall be run for at least 10 minutes before removal begins.
b. All removal shall take place within the barrier.
c. The system shall be operated by at least three persons, one of whom shall not perform removal but shall check equipment, and ensure proper operation of the system.
d. After removal, the ACM and PACM shall be bagged while still inside the water barrier.
(F) A small walk-in enclosure which accommodates no more than two persons (mini-enclosure) may be used if the disturbance or removal can be completely contained by the enclosure, with the following specifications and work practices.
1. Specifications:
a. The fabricated or job-made enclosure shall be constructed of 6 mil plastic or equivalent.
b. The enclosure shall be placed under negative pressure by means of a HEPA filtered vacuum or similar ventilation unit.
2. Work practices:
a. Before use, the mini-enclosure shall be inspected for leaks and smoke-tested to detect breaches, and any breaches sealed.
b. Before reuse, the interior shall be completely washed with amended water and HEPA-vacuumed.
c. During use, air movement shall be directed away from the employee's breathing zone within the mini-enclosure.
(6) Alternative control methods for Class I work. Class I work may be performed using a control method which is not referenced in subsection (g)(5) of this section, or which modifies a control method referenced in subsection (g)(5) of this section, if the following provisions are complied with: 
(A) The control method shall enclose, contain or isolate the processes or source of airborne asbestos dust, or otherwise capture or redirect such dust before it enters the breathing zone of employees.
(B) A certified industrial hygienist or licensed professional engineer who is also qualified as a project designer as defined in subsection (b) of this section, shall evaluate the work area, the projected work practices and the engineering controls and shall certify in writing that: the planned control method is adequate to reduce direct and indirect employee exposure to below the PELs under worst-case conditions of use, and that the planned control method will prevent asbestos contamination outside the regulated area, as measured by clearance sampling which meets the requirements of EPA's Asbestos in Schools Rule issued under AHERA, or perimeter monitoring which meets the criteria in subsection (g)(4)(B)2. of this section.
1. Where the TSI or surfacing material to be removed is 25 linear or 10 square feet or less, the evaluation required in subsection (g)(6) of this section may be performed by a “qualified person”, and may omit consideration of perimeter or clearance monitoring otherwise required.
2. The evaluation of employee exposure required in subsection (g)(6) of this section, shall include and be based on sampling and analytical data representing employee exposure during the use of such method under worst-case conditions and by employees whose training and experience are equivalent to employees who are to perform the current job.
(7) Work Practices and Engineering Controls for Class II work.
(A) All Class II work shall be supervised by a qualified person as defined in subsection (b) of this section.
(B) For all indoor Class II jobs, where the employer has not produced a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, or where during the job, changed conditions indicate there may be exposure above the PEL or where the employer does not remove the ACM in a substantially intact state, the employer shall use one of the following methods to ensure that airborne asbestos does not migrate from the regulated area;
1. Critical barriers shall be placed over all openings to the regulated area; or,
2. The employer shall use another barrier or isolation method which prevents the migration of airborne asbestos from the regulated area, as verified by perimeter area monitoring or clearance monitoring which meets the criteria set out in subsection (g)(4)(B)2. of this section.
(C) Impermeable dropcloths shall be placed on surfaces beneath all removal activity;
(D) All Class II asbestos work shall be performed using the work practices and requirements set out above in subsections (g)(1)(A) through (g)(1)(C) of this section.
(8) Additional Controls for Class II work. Class II asbestos work shall also be performed by complying with the work practices and controls designated for each type of asbestos work to be performed, set out in this subsection. Where more than one control method may be used for a type of asbestos work, the employer may choose one or a combination of designated control methods. Class II work also may be performed using a method allowed for Class I work, except that glove bags and glove boxes are allowed if they fully enclose the Class II material to be removed.
(A) For removing vinyl and asphalt flooring/deck materials which contain ACM or for which, in buildings constructed not later than 1980, the employer has not verified the absence of ACM pursuant to subsection (g)(8)(A)9.: the employer shall ensure that employees comply with the following work practices and that employees are trained in these practices pursuant to subsection (k)(9) of this section:
1. Flooring/deck materials or its backing shall not be sanded.
2. Vacuums equipped with HEPA filter, disposable dust bag, and metal floor tool (no brush) shall be used to clean floors.
3. Resilient sheeting shall be removed by cutting with wetting of the snip point and wetting during delamination. Rip-up of resilient sheet floor material is prohibited.
4. All scraping of residual adhesive and/or backing shall be performed using wet methods.
5. Dry sweeping is prohibited.
6. Mechanical chipping is prohibited unless performed in a negative pressure enclosure which meets the requirements of subsection (g)(5)(A) of this section.
7. Tiles shall be removed intact, unless the employer demonstrates that intact removal is not possible.
8. When tiles are heated and can be removed intact, wetting may be omitted.
9. Resilient flooring/deck material in buildings/vessels constructed no later than 1980, including associated mastic and backing shall be assumed to be asbestos-containing unless an industrial hygienist determines that it is asbestos-free using recognized analytical techniques.
(B) For removing roofing material which contains ACM the employer shall ensure that the following work practices are followed:
1. Roofing material shall be removed in an intact state to the extent feasible.
2. Wet methods shall be used to remove roofing materials,that are not intact, or that will be rendered not intact during removal, unless such wet methods are not feasible or will create safety hazards.
3. Cutting machines shall be continuously misted during use, unless a competent person determines that misting substantially decreases worker safety.
4. When removing built-up roofs with asbestos-containing roofing felts and an aggregate surface using a power roof cutter, all dust resulting from the cutting operation shall be collected by a HEPA dust collector, or shall be HEPA vacuumed by vacuuming along the cut line. When removing built-up roofs with asbestos-containing roofing felts and a smooth surface using a power roof cutter, the dust resulting from the cutting operation shall be collected either by a HEPA dust collector or HEPA vacuuming along the cut line, or by gently sweeping and then carefully and completely wiping up the still-wet dust and debris left along the cut line. The dust and debris shall be immediately bagged or placed in covered containers.
5. Asbestos-containing material that has been removed from a roof shall not be dropped or thrown to the ground. Unless the material is carried or passed to the ground by hand, it shall be lowered to the ground via covered, dust-tight chute, crane or hoist:
a. Any ACM that is not intact shall be lowered to the ground as soon as is practicable, but in any event no later than the end of the work shift. While the material remains on the roof it shall either be kept wet, placed in an impermeable waste bag, or wrapped in plastic sheeting.
b. Intact ACM shall be lowered to the ground as soon as is practicable, but in any event no later than the end of the work shift.
6. Upon being lowered, unwrapped material shall be transferred to a closed receptacle in such manner so as to preclude the dispersion of dust.
7. Roof level heating and ventilation air intake sources shall be isolated or the ventilation system shall be shut down.
B. Notwithstanding any other provision of this section, removal or repair of sections of intact roofing less than 25 square feet in area does not require use of wet methods or HEPA vacuuming as long as manual methods which do not render the material nonintact are used to remove the material and no visible dust is created by the removal method used. In determining whether a job involves less than 25 square feet, the employer shall include all removal and repair work performed on the same roof on the same day.
(C) When removing cementitious asbestos-containing siding and shingles or transite panels containing ACM on building exteriors (other than roofs, where subsection (g)(8)(B) of this section applies) the employer shall ensure that the following work practices are followed:
1. Cutting, abrading or breaking siding, shingles, or transite panels shall be prohibited unless the employer can demonstrate that methods less likely to result in asbestos fiber release cannot be used.
2. Each panel or shingle shall be sprayed with amended water prior to removal.
3. Unwrapped or unbagged panels or shingles shall be immediately lowered to the ground via covered dust-tight chute, crane or hoist, or placed in an impervious waste bag or wrapped in plastic sheeting and lowered to the ground no later than the end of the work shift.
4. Nails shall be cut with flat, sharp instruments.
(D) When removing gaskets containing ACM, the employer shall ensure that the following work practices are followed:
1. If a gasket is visibly deteriorated and unlikely to be removed intact, removal shall be undertaken within a glovebag as described in subsection (g)(5)(B) of this section.
2. The gasket shall be thoroughly wetted with amended water prior to its removal.
3. The gasket shall be immediately placed in a disposal container.
4. Any scraping to remove residue must be performed wet.
(E) When performing any other Class II removal of asbestos containing material for which specific controls have not been listed in subsections (g)(8)(A) through (D), of this section, the employer shall ensure that the following work practices are complied with.
1. The materials shall be thoroughly wetted with amended water prior to and during its removal.
2. The material shall be removed in an intact state unless the employer demonstrates that intact removal is not possible.
3. Cutting, abrading or breaking the material shall be prohibited unless the employer can demonstrate that methods less likely to result in asbestos fiber release are not feasible.
4. Asbestos-containing materials removed, shall be immediately bagged or wrapped, or kept wetted until transferred to a closed receptacle, no later than the end of the work shift.
(F) Alternative Work Practices and Controls. Instead of the work practices and controls listed in subsections (g)(8)(A) through (E) of this section, the employer may use different or modified engineering and work practice controls if the following provisions are complied with.
1. The employer shall demonstrate by data representing employee exposure during the use of such method under conditions which closely resemble the conditions under which the method is to be used, that employee exposure will not exceed the PELs under any anticipated circumstances.
2. A qualified person shall evaluate the work area, the projected work practices and the engineering controls, and shall certify in writing, that the different or modified controls are adequate to reduce direct and indirect employee exposure to below the PELs under all expected conditions of use and that the method meets the requirements of this standard. The evaluation shall include and be based on data representing employee exposure during the use of such method under conditions which closely resemble the conditions under which the method is to be used for the current job, and by employees whose training and experience are equivalent to employees who are to perform the current job.
(9) Work Practices and Engineering Controls for Class III asbestos work. Class III asbestos work shall be conducted using engineering and work practice controls which minimize the exposure to employees performing the asbestos work and to bystander employees.
(A) The work shall be performed using wet methods.
(B) To the extent feasible, the work shall be performed using local exhaust ventilation.
(C) Where the disturbance involves drilling, cutting, abrading, sanding, chipping, breaking, or sawing of thermal system insulation or surfacing material, the employer shall use impermeable dropcloths and shall isolate the operation using mini-enclosures or grove bag systems pursuant to subsection (g)(5) of this section or another isolation method.
(D) Where the employer does not demonstrate by a negative exposure assessment performed in compliance with subsection (f)(2)(C) of this section that the PELs will not be exceeded, or where monitoring results show exceedances of a PEL, the employer shall contain the area using impermeable dropcloths and plastic barriers or their equivalent, or shall isolate the operation using mini-enclosure or glove bag systems pursuant to subsection (g)(5) of this section.
(E) Employees performing Class III jobs which involve the disturbance of TSI or surfacing ACM or PACM or where the employer does not demonstrate by a “negative exposure assessment” in compliance with subsection (f)(2)(C) of this section that the PELs will not be exceeded or where monitoring results show exceedances of the PEL, shall wear respirators which are selected, used and fitted pursuant to provisions of subsection (h) of this section.
(10) Class IV asbestos work. Class IV asbestos jobs shall be conducted by employees trained pursuant to the asbestos training program set out in subsection (k)(9) of this section. In addition, all Class IV jobs shall be conducted in conformity with the requirements set out in subsection (g)(1) of this section, mandating wet methods, HEPA vacuums, and prompt clean up of debris containing ACM or PACM.
(A) Employees cleaning up debris and waste in a regulated area where respirators are required shall wear respirators which are selected, used and fitted pursuant to provisions of subsection (h) of this section.
(B) Employers of employees cleaning up waste and debris in an area where friable TSI or surfacing ACM/PACM is accessible, shall assume that such waste and debris contain asbestos.
(11) Specific compliance methods for brake and clutch repair:
(A) Engineering controls and work practices for brake and clutch repair and service. During automotive brake and clutch inspection, disassembly, repair and assembly operations, the employer shall institute engineering controls and work practices to reduce employee exposure to materials containing asbestos using a negative pressure enclosure/HEPA vacuum system method or low pressure/wet cleaning method, which meets the detailed requirements set out in Appendix L to this section. The employer way also comply using an equivalent method which follows written procedures which the employer demonstrates can achieve results equivalent to Method A. For facilities in which no more than 5 pairs of brakes or 5 clutches are inspected, disassembled, repaired, or assembled per week, the method set for in subsection [D] of Appendix L to this section may be used.
(B) The employer may also comply by using an equivalent method which follows written procedures, which the employer demonstrates can achieve equivalent exposure reductions as do the two “preferred methods.” Such demonstration must include monitoring data conducted under workplace conditions closely resembling the process, type of asbestos containing materials, control method, work practices and environmental conditions under which the equivalent method will be used, or objective data, which document that under all reasonably foreseeable conditions of brake and clutch repair applications, the method results in exposures which are equivalent to the methods set out in Appendix L to this section.
(12) Alternative methods of compliance for installation, removal, repair, and maintenance of certain roofing materials and pipeline coating materials. Notwithstanding any other provision of this section, an employer who complies with all provisions of this subsection (g)(12) when installing, removing, repairing, or maintaining intact pipeline asphaltic wrap, or roof cements, mastics, coatings, or flashings which contain asbestos fibers encapsulated or coated by bituminous or resinous compounds shall be deemed to be in compliance with this section. If an employer does not comply with all provisions of this subsection (g)(12), or if during the course of the job the material does not remain intact, the provisions of subsection (g)(8) of this section apply instead of this subsection (g)(12).
(A) Before work begins and as needed during the job, a qualified person who is capable of identifying asbestos hazards in the workplace and selecting the appropriate control strategy for asbestos exposure, and who has the authority to take prompt corrective measures to eliminate such hazards, shall conduct an inspection of the worksite and determine that the roofing material is intact and will likely remain intact.
(B) All employees performing work covered by this subsection (g)(12) shall be trained in a training program that meets the requirements of subsection (k)(9)(H) of this section.
(C) The material shall not be sanded, abraded, or ground. Manual methods which do not render the material non-intact shall be used.
(D) Material that has been removed from a roof shall not be dropped or thrown to the ground. Unless the material is carried or passed to the ground by hand, it shall be lowered to the ground via covered, dust-tight chute, crane or hoist. All such material shall be removed from the roof as soon as is practicable, but in any event no later than the end of the work shift. 
(E) Where roofing products which have been labeled as containing asbestos pursuant to subsection (k)(8) of this section are installed on non-residential roofs during operations covered by this subsection (g)(12), the employer shall notify the building owner of the presence and location of such materials no later than the end of the job.
(F) All removal or disturbance of pipeline asphaltic wrap shall be performed using wet methods.
(h) Respiratory protection.
(1) General. For employees who use respirators required by this section, the employer must provide respirators that comply with the requirements of this subsection. Respirators must be used during:
(A) Class I asbestos work.
(B) Class II asbestos work where the ACM is not removed in a substantially intact state.
(C) Class II and III asbestos work which is not performed using wet methods, provided, however, that respirators need not be worn during removal of ACM from sloped roofs when a negative exposure assessment has been made and the ACM is removed in an intact state.
(D) Class II and III asbestos work for which a “negative exposure assessment” has not been conducted.
(E) Class III asbestos work where TSI or surfacing ACM or PACM is being disturbed.
(F) Class IV asbestos work performed within regulated areas where employees performing other work are required to wear respirators. 
(G) Work operations covered by this section where employees are exposed above the TWA or excursion limit.
(H) Emergencies.
(2) Respirator program.
(A) The employer must implement a respiratory protection program in accordance with section 5144 (b) through (d) (except (d)(1)(C)), and (f) through (m).
(B) No employee shall be assigned to asbestos work that requires respirator use if, based on their most recent medical examination, the examining physician determines that the employee will be unable to function normally while using a respirator, or that the safety or health of the employee or other employees will be impaired by the employee's respirator use. Such employees must be assigned to another job or given the opportunity to transfer to a different position that they can perform. If such a transfer position is available, it must be with the same employer, in the same geographic area, and with the same seniority, status, rate of pay, and other job benefits the employee had just prior to such transfer.
(3) Respirator selection.
(A) The employer shall select, and provide to employees, the appropriate respirators specified in Section 5144(d)(3)(A)1; however, employers shall not select or use filtering facepiece respirators for use against asbestos fibers.
(B) Employer shall inform employees that they may require the employer to provide a tight-fitting, powered air-purifying respirator (PAPR) permitted for use under subsection (h)(3)(A) instead of a negative pressure respirator.
(C) The employer shall provide a tight fitting powered, air- purifying respirator in lieu of any negative-pressure respirator whenever:
1. An employee chooses to use this type of respirator; and
2. this respirator will provide adequate protection to the employee.
(D) Employers shall provide HEPA filters for powered and non-powered air-purifying respirators.
(E) Employers shall provide employees with an air-purifying, half mask respirator, other than a filtering facepiece respirator; whenever the employees perform:
1. Class II or Class III asbestos work for which no negative exposure assessment is available.
2. Class III asbestos work involving disturbance of TSI or surfacing ACM or PACM.
(F) In addition to the above selection criteria, the employer shall provide a tight-fitting air purifying respirator equipped with high efficiency filters or a full facepiece supplied air respirator operated in the pressure demand mode equipped with HEPA egress cartridges or an auxiliary positive pressure self contained breathing apparatus for all employees within the regulated area where Class I work is being performed for which a negative exposure assessment has not been produced and, the exposure assessment indicates the exposure level will not exceed 1 f/cc, as an 8-hour time weighted average. A full facepiece supplied air respirator operated in the pressure demand mode equipped with an auxiliary positive pressure self-contained breathing apparatus shall be provided under such conditions, if the exposure assessment indicates exposure levels above 1 f/cc as an 8-hour time weighted average.
(i) Protective clothing.
(1) General. The employer shall provide and require the use of protective clothing, such as coveralls or similar whole-body clothing, head coverings, gloves, and foot coverings for any employee exposed to airborne concentrations of asbestos that exceed the TWA and/or excursion limit prescribed in subsection (c) of this section, or for which a required negative exposure assessment is not produced, or for any employee performing Class I operations which involve the removal of over 25 linear or 10 square feet of TSI or surfacing ACM or PACM.
(2) Laundering.
(A) The employer shall ensure that laundering of contaminated clothing is done so as to prevent the release of airborne asbestos in excess of the TWA or excursion limit prescribed in subsection (c) of this section.
(B) Any employer who gives contaminated clothing to another person for laundering shall inform such person of the requirement in subsection (i)(2)(A) of this section to effectively prevent the release of airborne asbestos in excess of the TWA excursion limit prescribed in subsection (c) of this section.
(3) Contaminated clothing. Contaminated clothing shall be transported in sealed impermeable bags, or other closed, impermeable containers, and be labeled in accordance with subsection (k) of this section.
(4) Inspection of protective clothing.
(A) The qualified person shall examine worksuits worn by employees at least once per workshift for rips or tears that may occur during performance of work.
(B) When rips or tears are detected while an employee is working, rips and tears shall be immediately mended, or the worksuit shall be immediately replaced.
(j) Hygiene facilities and practices for employees.
(1) Requirements for employees performing Class I asbestos jobs involving over 25 linear or 10 square feet of TSI or surfacing ACM and PACM.
(A) Decontamination areas: For all Class I jobs involving over 25 linear or 10 square feet of TSI or surfacing ACM or PACM, the employer shall establish a decontamination area that is adjacent and connected to the regulated area for the decontamination of such employees. The decontamination area shall consist of an equipment room, shower area, and clean room in series. The employer shall ensure that employees enter and exit the regulated area through the decontamination area.
1. Equipment room. The equipment room shall be supplied with impermeable, labeled-bags and containers for the containment and disposal of contaminated protective equipment.
2. Shower area. Shower facilities shall be provided which comply with Section 3366(f) of the General Industry Safety Orders, unless the employer can demonstrate that they are not feasible. The showers shall be adjacent both to the equipment room and the clean room, unless the employer can demonstrate that this location is not feasible. Where the employer can demonstrate that it is not feasible to locate the shower between the equipment room and the clean room, or where the work is performed outdoors, or when the work involving asbestos exposure takes place on board a ship, the employer shall ensure that employees:
A. Remove asbestos contamination from their worksuits in the equipment room using a HEPA vacuum before proceeding to a shower that is not adjacent to the work area; or
B. Remove their contaminated worksuits in the equipment room, then don clean worksuits, and proceed to a shower that is not adjacent to the work area.
3. Clean change room. The clean room small be equipped with a locker or appropriate storage container for each employee's use. When the employer can demonstrate that it is not feasible to provide a clean change area adjacent to the work area, or where the work is performed outdoors, or when the work takes place aboard a ship, the employer may permit employees engaged in Class I asbestos jobs to clean their protective clothing with a portable HEPA-equipped vacuum before such employees leave the regulated area. Following showering, such employees however must then change into street clothing in clean change areas provided by the employer which otherwise meet the requirements of this section.
(B) Decontamination area entry procedures. The employer shall ensure that employees:
1. Enter the decontamination area through the clean room;
2. Remove and deposit street clothing within a locker provided for their use;
3. Put on protective clothing and respiratory protection before leaving the clean room; and
4. Before entering the regulated area, the employer shall ensure that employees pass through the equipment room.
(C) Decontamination area exit procedures. The employer shall ensure that:
1. Before leaving the regulated area, employees shall remove all gross contamination and debris from their protective clothing.
2. Employees shall remove their protective clothing in the equipment room and deposit the clothing in labeled impermeable bags or containers.
3. Employees shall not remove their respirators in the equipment room.
4. Employees shall shower prior to entering the clean room.
5. After showering, employees shall enter the clean room before changing into street clothes.
(D) Lunch Areas. Whenever food or beverages are consumed at the worksite where employees are performing Class I asbestos work, the employer shall provide lunch areas in which the airborne concentrations of asbestos are below the permissible exposure limit and/or excursion limit.
(2) Requirements for Class I work involving less than 25 linear or 10 square feet of TSI or surfacing and PACM, and for Class II and Class III asbestos work operations where exposures exceed a PEL or where there is no negative exposure assessment produced before the operation.
(A) The employer shall establish an equipment room or area that is adjacent to the regulated area for the decontamination of employees and their equipment which is contaminated with asbestos which shall consist of an area covered by a impermeable drop cloth on the floor/deck or horizontal working surface.
(B) The area must be of sufficient size as to accommodate cleaning of equipment and removing personal protective equipment without spreading contamination beyond the area (as determined by visible accumulations).
(C) Work-clothing must be cleaned with a HEPA vacuum before it is removed.
(D) All equipment and surfaces of containers filled with ACM must be cleaned prior to removing them from the equipment room or area.
(E) The employer shall ensure that employees enter and exit the regulated area through the equipment room or area.
(3) Requirements for Class IV work. Employers shall ensure that employees performing Class IV work within a regulated area comply with the hygiene practice required of employees performing work which has a higher classification within that regulated area. Otherwise employers of employees cleaning up debris and material which is TSI or surfacing ACM or identified as PACM shall provide decontamination facilities for such employees which are required by subsection (j)(2) of this section.
(4) Smoking in work areas. The employer shall ensure that employees do not smoke in work areas where they are occupationally exposed to asbestos because of activities in that work area.
(k) Communication of hazards.
(1) This section applies to the communication of information concerning asbestos hazards in shipyard employment activities to facilitate compliance with this standard. Most asbestos-related shipyard activities involve previously installed building materials. Building/vessel owners often are the only and/or best sources of information concerning them. Therefore, they, along with employers of potentially exposed employees, are assigned specific information conveying and retention duties under this section.
Installed Asbestos Containing Building/Vessel Material: Employers and building/vessel owners shall identify TSI and sprayed or troweled on surfacing materials as asbestos-containing unless the employer, by complying with subsection (k)(5) of this section determines that the material is not asbestos-containing. Asphalt or vinyl flooring/decking material installed in buildings or vessels no later than 1980 must also be considered as asbestos containing unless the employer/owner, pursuant to subsection (g)(8)(A)9. of this section determines it is not asbestos containing. If the employer or building/vessel owner has actual knowledge or should have known, through the exercise of due diligence, that materials other than TSI and sprayed-on or troweled-on surfacing materials are asbestos-containing, they must be treated as such. When communicating information to employees pursuant to this standard, owners and employers shall identify “PACM” as ACM. Additional requirements relating to communication of asbestos work on multi- employer worksites are set out in subsection (d) of this standard.
(2) Duties of building/vessel and facility owners.
(A) Before work subject to this standard is begun, building/vessel and facility owners shall determine the presence, location, and quantity of ACM and/or PACM at the work site pursuant to this subsection (k)(1) of this section.
(B) Building/vessel and/or facility owners shall notify the following persons of the presence, location and quantity of ACM or PACM, at work sites in their buildings/facilities/vessels. Notification either shall be in writing or shall consist of a personal communication between the owner and the person to whom notification must be given or their authorized representatives:
1. Prospective employers applying or bidding for work whose employees reasonably can be expected to work in or adjacent to areas containing such material;
2. Employees of the owner who will work in or adjacent to areas containing such material;
3. On multi-employer worksites, all employers of employees who will be performing work within or adjacent to areas containing such materials; and 
4. Tenants who will occupy areas containing such materials.
(3) Duties of employers whose employees perform work subject to this standard in or adjacent to areas containing ACM and PACM. Building/vessel and facility owners whose employees perform such work shall comply with these provisions to the extent applicable.
(A) Before work in areas containing ACM and PACM is begun, employers shall identify the presence, location, and quantity of ACM, and/or PACM therein pursuant to subsection (k)(1) of this section.
(B) Before work under this standard is performed employers of employees who will perform such work shall inform the following persons of the location and quantity of ACM and/or PACM present at the work site and the precautions to be taken to insure that airborne asbestos is confined to the area:
1. Owners of the building/vessel or facility; and
2. Employees who will perform such work and employers of employees who work and/or will be working in adjacent areas.
(C) Within 10 days of the completion of such work, the employer whose employees have performed work subject to this standard, shall inform the building/vessel or facility owner and employers of employees who will be working in the area of the current location and quantity of PACM and/or ACM remaining in the former regulated area and final monitoring results, if any.
(4) In addition to the above requirements, all employers who discover ACM and/or PACM on a work site shall convey information concerning the presence, location and quantity of such newly discovered ACM and/or PACM to the owner and to other employers of employees working at the work site, within 24 hours of the discovery.
(5) Criteria to rebut the designation of installed material as PACM.
(A) At any time, an employer and/or building/vessel owner may demonstrate, for purposes of this standard, that PACM does not contain asbestos. Building/vessel owners and/or employers are not required to communicate information about the presence of building material for which such a demonstration pursuant to the requirements of subsection (k)(5)(B) of this section has been made. However, in all such cases, the information, data and analysis supporting the determination that PACM does not contain asbestos, shall be retained pursuant to subsection (n) of this section.
(B) An employer or owner may demonstrate that PACM does not contain more than 1% asbestos by the following:
1. Having a completed inspection conducted pursuant to the requirements of AHERA (40 CFR Part 763, Subpart E) which demonstrates that the material is not ACM or;
2. Performing tests of the material containing PACM which demonstrate that no ACM is present in the material. Such tests shall include analysis of bulk samples collected in the manner described in 40 CFR 763.86. The tests, evaluation and sample collection shall be conducted by an accredited inspector or by a CIH. Analysis of samples shall be performed by persons or laboratories with proficiency demonstrated by current successful participation in a nationally recognized testing program such as the National Voluntary Laboratory Accreditation Program (NVLAP) or the National Institute for Standards and Technology (NIST) or the Round Robin for bulk samples administered by the American Industrial Hygiene Association (AIHA), or an equivalent nationally-recognized round robin testing program.
(C) The employer and/or building/ vessel owner may demonstrate that flooring material including associated mastic and backing does not contain asbestos, by a determination of an industrial hygienist based upon recognized analytical techniques showing that the material is not ACM.
(6) At the entrance to mechanical rooms/areas in which employees reasonably can be expected to enter and which contain TSI or surfacing ACM and/or PACM, the building/vessel owner shall post signs which identify the material which is present, its location, and appropriate work practices which, if followed, will ensure that ACM and/or PACM will not be disturbed. The employer shall ensure, to the extent feasible, that employees who come in contact with these signs can comprehend them. Means to ensure employee comprehension may include the use of foreign languages, pictographs, graphics, and awareness training.
(7) Signs.
(A) Warning signs that demarcate the regulated area shall be provided and displayed at each location where a regulated area is required to be established by subsection (e) of this section. Signs shall be posted at such a distance from such a location that an employee may read the signs and take necessary protective steps before entering the area marked by the signs.
(B) 1. The warning signs required by subsection (k)(7) of this section shall bear the following information.

DANGER 
ASBESTOS 
CANCER AND LUNG DISEASE HAZARD 
AUTHORIZED PERSONNEL  ONLY
2. In addition, where the use of respirators and protective clothing is required in the regulated area under this section, the warning signs shall include the following:

RESPIRATORS AND PROTECTIVE CLOTHING ARE 
REQUIRED IN THIS AREA
(C) The employer shall ensure that employees working in and contiguous to regulated areas comprehend the warning signs required to be posted by Subsection (k)(7)(A) of this section. Means to ensure employee comprehension may include the use of foreign languages, pictographs and graphics. 
(8) Labels.
(A) Labels shall be affixed to all products containing asbestos and to all containers containing such products, including waste containers. Where feasible, installed asbestos products shall contain a visible label.
(B) Labels shall be printed in large, bold letters on a contrasting background.
(C) Labels shall be used in accordance with the requirements of Section 5194(f) of the General Industry Safety Orders, and shall contain the following information:

DANGER 
CONTAINS ASBESTOS FIBERS 
AVOID CREATING DUST 
CANCER AND LUNG DISEASE HAZARD
(D) Labels shall contain a warning statement against breathing asbestos fibers.
(E) The provisions for labels required by subsections (k)(8)(A) through (k)(8)(C) of this section do not apply where:
1. Asbestos fibers have been modified by a bonding agent, coating, binder, or other material, provided that the manufacturer can demonstrate that, during any reasonably foreseeable use, handling, storage, disposal, processing, or transportation, no airborne concentrations of asbestos fibers in excess of the permissible exposure limit and/or excursion limit will be released, or
2. Asbestos is present in a waste product in concentrations less than 1.0 percent.
Note: Section 5194 of the General Industry Safety Orders requires that manufactured and imported products containing more than 0.1% asbestos by weight be labeled with an appropriate warning. The exemption specified in subsection (k)(7)(E) only applies to waste products or waste containers. 
(F) When a building/vessel owner/or employer identifies previously installed PACM and/or ACM, labels or signs shall be affixed or posted so that employees will be notified of what materials contain PACM and/or ACM. The employer shall attach such labels in areas where they will clearly be noticed by employees who are likely to be exposed, such as at the entrance to mechanical rooms/areas. Signs required by subsection (k)(7) of this section may be posted in lieu of labels so long as long as they contain information required for labelling. The employer shall ensure, to the extent feasible, that employees who come in contact with these signs or labels can comprehend them. Means to ensure employee comprehension may include the use of foreign languages, pictographs, graphics, and awareness training.
(9) Employee Information and Training.
(A) The employer shall, at no cost to the employee, institute a training program for all employees who are likely to be exposed in excess of a PEL and for all employees who perform Class I through IV asbestos operations, and shall ensure their participation in the program.
(B) Training shall be provided prior to or at the time of initial assignment and at least annually thereafter.
(C) Training for Class I operations and for Class II operations that require the use of critical barriers (or equivalent isolation methods) and/or negative pressure enclosures under this section shall be the equivalent in curriculum, training method and length to the EPA Model Accreditation Plan (MAP) asbestos abatement workers training (40 CFR Part 763, Subpart E, Appendix C). 
(D) Training for other Class II work. 
1. For work with asbestos containing material involving roofing materials, flooring materials, siding materials, ceiling tiles, or transite panels, training shall include at a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specific work practices and engineering controls set forth in subsection (g) of this section which specifically relate to that category. Such course shall include “hands-on” training and shall take at least 8 hours. 
2. An employee who works with more than one of the categories of material specified in subsection (k)(9)(D)1. of this section shall receive training in the work practices applicable to each category of material that the employee removes and each removal method that the employee uses.
3. For Class II operations not involving the categories of material specified in subsection (k)(9)(D)1. of this section, training shall be provided which shall include at a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specified work practices and engineering controls set forth in subsection (g) of this section which specifically relate to the category of material being removed, and shall include “hands-on” training in the work practices applicable to each category of material that the employee removes and each removal method that the employee uses.
(E) Training for Class III employees shall be consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(2). Such a course shall also include “hands-on” training and shall take at least 16 hours. 

Exception: For Class III operations for which the qualified person determines that the EPA curriculum does not adequately cover the training needed to perform that activity, training shall include as a minimum all the elements included in subsection (k)(9)(H) of this section and in addition, the specific work practices and engineering controls set forth in subsection (g) of this section which specifically relate to that activity, and shall include “hands-on” training in the work practices applicable to each category of material that the employee disturbs.
(F) Training for employees performing Class IV operations shall be consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(1). Such a course shall include available information concerning the locations of thermal system insulation and surfacing ACM/PACM, and asbestos-containing flooring material, or flooring material where the absence of asbestos has not yet been certified; and instruction in recognition of damage, deterioration, and delamination of asbestos containing building materials. Such course shall take at least 2 hours.
(G) Training for employees who are likely to be exposed in excess of the PEL and who are not otherwise required to be trained under subsection (k)(9)(C) through (F) of this section, shall meet the requirements of subsection (k)(9)(H) of this section.
(H) The training program shall be conducted in a manner that the employee is able to understand. In addition to the content required by provisions in subsections (k)(9)(C) through (F) of this section, the employer shall ensure that each such employee is informed of the following:
1. Methods of recognizing asbestos, including the requirement in subsection (k)(1) of this section to presume that certain building materials contain asbestos;
2. The health effects associated with asbestos exposure;
3. The relationship between smoking and asbestos in producing lung cancer;
4. The nature of operations that could result in exposure to asbestos, the importance of necessary protective controls to minimize exposure including, as applicable, engineering controls, work practices, respirators, housekeeping procedures, hygiene facilities, protective clothing, decontamination procedures, emergency procedures, and waste disposal procedures, and any necessary instruction in the use of these controls and procedures; where Class III and IV work will be or is performed, the contents of EPA 20T-2003, “Managing Asbestos In-Place” July 1990 or its equivalent in content;
5. The purpose, proper use, fitting instructions, and limitations of respirators as required by section 1531;
6. The appropriate work practices for performing the asbestos job;
7. Medical surveillance program requirements;
8. The content of this standard including appendices;
9. The names, addresses and phone numbers of public health organizations which provide information, materials and/or conduct programs concerning smoking cessation. The employer may distribute the list of such organizations contained in Appendix J to this section to comply with this requirement; and 
10. The requirements for posting signs and affixing labels and the meaning of the required legends for such signs and labels.
(10) Access to training materials.
(A) The employer shall make readily available to affected employees without cost, written materials relating to the employee training program, including a copy of this regulation.
(B) The employer shall provide to the Chief and the Director, upon request, all information and training materials relating to the employee information and training program.
(C) The employer shall inform all employees concerning the availability of self-help smoking cessation program material. Upon employee request, the employer shall distribute such material, consisting of NIH Publication No, 89-1647, or equivalent self-help material, which is approved or published by a public health organization listed in Appendix J to this section.
(l) Housekeeping
(1) Vacuuming. Where vacuuming methods are selected, HEPA filtered vacuuming equipment must be used. The equipment shall be used and emptied in a manner that minimizes the reentry of asbestos into the workplace.
(2) Waste disposal. Asbestos waste, scrap, debris, bags, containers, equipment, and contaminated clothing consigned for disposal shall be collected and disposed of in sealed, labeled, impermeable bags or other closed, labeled, impermeable containers except in roofing operations, where the procedures specified in subsection (g)(8)(B) of this section apply.
(3) Care of asbestos-containing flooring/deck material.
(A) All vinyl and asphalt flooring/deck material shall be maintained in accordance with this subsection unless the building/facility owner demonstrates, pursuant to subsection (g)(8)(A)9. of this section, that the flooring/deck does not contain asbestos.
(B) Sanding of flooring/deck material is prohibited.
(C) Stripping of finishes shall be conducted using low abrasion pads at speeds lower than 300 rpm and wet methods.
(D) Burnishing or dry buffing may be performed only on flooring/ deck which has sufficient finish so that the pad cannot contact the flooring/deck material.
(4) Waste and debris and accompanying dust in an area containing accessible thermal system insulation or surfacing ACM/PACM or visibly deteriorated ACM: 
(A) shall not be dusted or swept dry, or vacuumed without using a HEPA filter;
(B) shall be promptly cleaned up and disposed of in leak tight containers.
(m) Medical surveillance
(1) General
(A) Employees covered.
1. The employer shall institute a medical surveillance program for all employees who, for a combined total of 30 or more days per year, are engaged in Class I, II and III work or are exposed at or above the permissible limit. For purposes of this paragraph, any day in which a worker engages in Class II or Class III operations or a combination thereof on intact material for one hour or less (taking into account the entire time spent on the removal operation, including cleanup) and, while doing so, adheres fully to the work practices specified in this standard, shall not be counted.
2. For employees otherwise required by this standard to wear a negative pressure respirator, employers shall ensure employees are physically able to perform the work and use the equipment. This determination shall be made under the supervision of a physician.
(B) Examination.
1. The employer shall ensure that all medical examinations and procedures are performed by or under the supervision of a licensed physician, and are provided at no cost to the employee and at a reasonable time and place.
2. Persons other than such licensed physicians who administer the pulmonary function testing required by this section shall complete a training course in spirometry sponsored by an appropriate academic or professional institution.
(2) Medical examinations and consultations.
(A) Frequency. The employer shall make available medical examinations and consultations to each employee covered under subsection (m)(1)(A) of this section on the following schedules:
1. Prior to assignment of the employee to an area where negative- pressure respirators are worn;
2. When the employee is assigned to an area where exposure to asbestos may be at or above the permissible exposure limit for 30 or more days per year, or engage in Class I, II, or III work for a combined total of 30 or more days per year, a medical examination must be given within 10 working days following the thirtieth day of exposure;
3. And at least annually thereafter.
4. If the examining physician determines that any of the examinations should be provided more frequently than specified, the employer shall provide such examinations to affected employees at the frequencies specified by the physician.
5. Within 30 calendar days before or after termination of employment.
6. Exception: No medical examination is required of any employee if adequate records show that the employee has been examined in accordance with this subsection within the past 1-year period. 
(B) Content. Medical examinations made available pursuant to subsections (m)(2)(A)l. through (m)(2)(A)3. of this section shall include: 
1. A medical and work history with special emphasis directed to the pulmonary, cardiovascular, and gastrointestinal systems.
2. On initial examination, the standard questionnaire contained in Part 1 of Appendix D to this section and, on annual examination, the abbreviated standardized questionnaire contained in Part 2 of Appendix D to this section. 
3. A physical examination directed to the pulmonary and gastrointestinal systems, including a chest, x-ray to be administered in accordance with Table 2 below, and pulmonary function tests of forced vital capacity (FVC) and forced expiratory volume at one second (FEV(1)). interpretation and classification of chest roentgenogram shall be conducted in accordance with Appendix E to this section.

TABLE 2 
FREQUENCY OF CHEST X-RAYS

	YEARS SINCE	AGE OF EMPLOYEE
	  FIRST		
	 EXPOSURE		LESS THAN 40  40 AND OLDER

	0 -10		EVERY 3 YEARS	ANNUALLY*
	 10+		ANNUALLY*	ANNUALLY*

*Oblique x-rays need only be performed every 3 years.
*Oblique x-rays need only be performed every 3 years.
4. Any other examinations or tests deemed necessary by the examining physician.
(3) Information provided to the physician. The employer shall provide the following information to the examining physician:
(A) A copy of this standard and Appendices D, E, and I to this section;
(B) A description of the affected employee's duties as they relate to the employee's exposure;
(C) The employee's representative exposure level or anticipated exposure level;
(D) A description of any personal protective and respiratory equipment used or to be used; and
(E) Information from previous medical examinations of the affected employee that is not otherwise available to the examining physician.
(4) Physician's written opinion.
(A) The employer shall obtain a written opinion from the examining physician. This written opinion shall contain the results of the medical examination and shall include:
1. The physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of material health impairment from exposure to asbestos;
2. Any recommended limitations on the employee or on the use of personal protective equipment such as respirators; and
3. A statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions that may result from asbestos exposure.
4. A statement that the employee has been informed by the physician of the increased risk of lung cancer attributable to the combined effect of smoking and asbestos exposure.
(B) The employer shall instruct the physician not to reveal in the written opinion given to the employer specific findings or diagnoses unrelated to occupational exposure to asbestos.
(C) The employer shall provide a copy of the physician's written opinion to the affected employee within 30 days from its receipt.
(n) Recordkeeping.
(1) Objective data relied on pursuant to subsection (f) of this section.
(A) Where the employer has relied on objective data that demonstrates that products made from or containing asbestos or the activity involving such products or material are not capable of releasing fibers of asbestos in concentrations at or above the permissible exposure limit and/or excursion limit under the expected conditions of processing, use, or handling to satisfy the requirements of subsection (f) of this section, the employer shall establish and maintain an accurate record of objective data reasonably relied upon in support of the exemption.
(B) The record shall include at least the following information:
1. The product qualifying for exemption;
2. The source of the objective data;
3. The testing protocol, results of testing, and/or analysis of the material for the release of asbestos;
4. A description of the operation exempted and how the data support the exemption; and
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exemption. (C) The employer shall maintain this record for the duration of the employer's reliance upon such objective data.
(2) Exposure measurements.
(A) The employer shall keep an accurate record of all measurements taken to monitor employee exposure to asbestos as prescribed in subsection (f) of this section.
Note: The employer may utilize the services of qualified organizations such as industry trade associations and employee associations to maintain the records required by this section.
(B) This record shall include at least the following information:
1. The date of measurement;
2. The operation involving exposure to asbestos that is being monitored;
3. Sampling and analytical methods used and evidence of their accuracy;
4. Number, duration, and results of samples taken;
5. Type of protective devices worn, if any; and
6. Name, social security number, and exposure of the employees whose exposures are represented.
(C) The employer shall maintain this record for at least thirty (30) years, in accordance with Section 3204 of the General industry Safety Orders.
(3) Medical surveillance.
(A) The employer shall establish and maintain an accurate record for each employee subject to medical surveillance by subsection (m) of this section, in accordance with Section 3204 of the General Industry Safety Orders.
(B) The record shall include at least the following information:
1. The name and social security number of the employee;
2. A copy of the employee's medical examination results, including the medical history, questionnaire responses, results of any tests, and physician's recommendations.
3. Physician's written opinions;
4. Any employee medical complaints related to exposure to asbestos; and
5. A copy of the information provided to the physician as required by subsection (m) of this section.
(C) The employer shall ensure that this record is maintained for the duration of employment plus thirty (30) years, in accordance with Section 3204 of the General Industry Safety Orders.
(4) Training records. The employer shall maintain all employee training records for one (1) year beyond the last date of employment by that employer. 
(5) Data to Rebut PACM: Where the building owner and employer have relied on data to demonstrate that PACM is not asbestos-containing, such data shall be maintained for as long as they are relied upon to rebut the presumption. 
(6) Records of Required Notification. Where the building/vessel owner has communicated and received information concerning the identity, location and quantity of ACM and PACM, written records of such notifications and their content shall be maintained by the owner for the duration of ownership and shall be transferred to successive owners of such buildings/facilities/vessels.
(7) Availability. (A) The employer, upon written request, shall make all records required to be maintained by this section available to the Chief and the Director for examination and copying.
(B) The employer, upon request, shall make any exposure records required by subsections (f) and (n) of this section available for examination and copying to affected employees, former employees, designated representatives, and the Chief, in accordance with Section 3204 of the General Industry Safety Orders. 
(C) The employer, upon request, shall make employee medical records required by subsections (m) and (n) of this section available for examination and copying to the subject employee, anyone having the specific written consent of the subject employee, and the Chief, in accordance with Section 3204 of the General Industry Safety Orders.
(8) Transfer of records.
(A) The employer shall comply with the requirements concerning transfer of records set forth in Section 3204 of the General Industry Safety Orders. 
(B) Whenever the employer ceases to do business and there is no successor employer to receive and retain the records for the prescribed period, the employer shall notify the Director at least 90 days prior to disposal and, upon request, transmit them to the Director.
(o) Qualified person.
(1) General. On all shipyard worksites covered by this standard, the employer shall designate a qualified person, having the qualifications and authorities for ensuring worker safety and health required by Sections 1509, 1510, 1512, 1513, 1514, 1523, and 1920 of the Construction Safety Orders. 
(2) Required Inspections by the Qualified Person. Section 1509(a) of the Construction Safety Orders which requires health and safety prevention programs to provide for frequent and regular inspections of the job sites, materials, and equipment to be made by qualified persons, is incorporated. 
(3) Additional Inspections. In addition, the qualified person shall make frequent and regular inspections of the job sites, in order to perform the duties set out in subsection (o)(3)(A) of this section. For Class I jobs, on-site inspections shall be made at least once during each work shift, and at any time at employee request. For Class II, III, and IV jobs, on-site inspections shall be made at intervals sufficient to assess whether conditions have changed, and at any reasonable time at employee request. 
(A) On all worksites where employees are engaged in Class I or II asbestos work, the qualified person designated in accordance with subsection (e)(6) of this section shall perform or supervise the following duties, as applicable:
1. Set up the regulated area, enclosure, or other containment;
2. Ensure (by on-site inspection) the integrity of the enclosure or containment;
3. Set up procedures to, control entry to and exit from the enclosure and/or area;
4. Supervise all employee exposure monitoring required by this section and ensure that it is conducted as required by subsection (f) of this section;
5. Ensure that employees working within the enclosure and/or using glove bags wear respirators and protective clothing as required by subsections (h) and (i) of this section;
6. Ensure through on-site supervision, that employees set up, use, and remove engineering controls, use work practices and personal protective equipment in compliance with all requirements;
7. Ensure that employees use the hygiene facilities and observe the decontamination procedures specified in subsection (j) of this section; 
8. Ensure that through on-site inspection, engineering controls are functioning property and employees are using proper work practices; and
9. Ensure that notification requirements in subsection (k) of this section are met.
(4) Training for the competent person;
(A) For Class I and II asbestos work the qualified person shall be trained in all aspects of asbestos removal and handling, including: abatement, installation, removal and handling: the contents of this standard; the identification of asbestos; removal procedures, where appropriate; and other practices for reducing the hazard. Such training shall be obtained in a comprehensive course for supervisors, that meets the criteria of EPA's Model Accredited Plan (40 CFR Part 763 Subpart E, Appendix C), such as a course conducted by an EPA-approved or state-approved training provider, certified by EPA or a state, or a course equivalent in stringency, content, and length.
(B) For Class III and IV asbestos work, the qualified person shall be trained in aspects of asbestos handling appropriate for the nature of the work, to include procedures for setting up glove bags and mini-enclosures, practices for reducing asbestos exposures, use of wet methods, the contents of this standard, and the identification of asbestos. Such training shall include successful completion of a course that is consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92(a)(2), or its equivalent in stringency, content, and length. Qualified persons for Class III and Class IV work may also be trained pursuant to the requirements of subsection (o)(4)(A) of this section.
(p) Appendices.
(1) Appendices A, C, D, E, and L to this section are incorporated as part of this section and the contents of these appendices are mandatory. 
(2) Appendices B, F, H, I, J, and K to this section are informational and are not intended to create any additional obligations not otherwise imposed or to detract from any existing obligations.
(q) Reports of use (User Registration, Temporary Worksite Notification, and Incident Reporting). See section 5203.
NOTE

Authority cited: Sections 142.3, 6501.5, 9020, 9021.5, 9030 and 9040, Labor Code. Reference: Sections 142.3, 6501.5, 6501.7, 6501.8, 6501.9, 6502, 9003, 9004(b), 9005, 9006, 9009, 9020, 9021.5, 9030, and 9040, Labor Code; and Section 25910, Health and Safety Code.
HISTORY

1. New section and appendicies A-F and H-L filed 5-3-96; operative 7-3-96 (Register 96, No. 18).
2. New subsection (h)(2)(F), amendment of subsections (k)(6), (k)(8)(F) and (k)(9)(C)-(k)(9)(D)1., new (k)(9)(D)2.-3. and amendment of subsections (k)(9)(E) and (m)(1)(A)1. filed 10-3-97; operative 10-3-97. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 97, No. 40).
3. Amendment of former subsections (h)(1)-(h)(4)(B) including subsection renumbering and relettering resulting in newly designated subsections (h)(1)-(h)(3)(D)3. filed 8-25-98; operative 11-23-98 (Register 98, No. 35).
4. Change without regulatory effect amending subsection (h)(2)(B) filed 9-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 38).
5. Amendment of subsection (q) and repealer of subsections (q)(1)-(4) filed 7-6-99; operative 8-5-99 (Register 99, No. 28).
6. Amendment of subsection (f)(5)(A) and repealer of subsection (g)(6)(C) filed 7-28-2005; operative 7-28-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 30).
7. Amendment of subsection (h)(3)(A), repealer of subsections (h)(3)(D)-(D)3., new subsections (h)(3)(B) and (h)(3)(D)-(E)2., subsection relettering and amendment of newly designated subsections (h)(3)(C) and (h)(3)(C)2. filed 3-6-2007; operative 3-6-2007. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 10).

Appendix A

OSHA Reference Method
Mandatory
This mandatory appendix specifies the procedure for analyzing air samples for asbestos and specifies quality control procedures that must be implemented by laboratories performing the analysis. The sampling and analytical methods described below represent the elements of the available monitoring methods (such as appendix B to this section, the most current version of the OSHA method ID-60, or the most current version of the NIOSH  Method 7400) which OSHA considers to be essential to achieve adequate employee exposure monitoring while allowing employers to use methods that are already established within their organizations. All employers who are required to conduct air monitoring under subsection (f) of this section are required to utilize analytical laboratories that use this procedure, or an equivalent method, for collecting and analyzing samples.
Sampling and Analytical Procedure 
1. The sampling medium for air samples shall be mixed cellulose ester filter membranes. These shall be designated by the manufacturer as suitable for asbestos counting. See below for rejection of blanks.
2. The preferred collection device shall be the 25-mm diameter cassette with an open-faced 50-mm extension cowl. The 37-mm cassette may be used if necessary but only if written justification for the need to use the 37-mm filter cassette accompanies the sample results in the employee's exposure monitoring record. Other cassettes such as the Bell-mouth may be used within the limits of their validation. Do not reuse or reload cassettes for asbestos sample collection. 
3. An air flow rate between 0.5 liter/min and 2.5 liters/min shall be selected for the 25-mm cassette. If the 37-mm cassette is used, an air flow rate between 1 liter/min and 2.5 liters/min shall be selected. 
4. Where possible, a sufficient air volume for each air sample shall be collected to yield between 100 and 1,300 fibers per square millimeter on the membrane filter. If a filter darkens in appearance or if loose dust is seen on the filter, a second sample shall be started. 
5. Ship the samples in a rigid container with sufficient packing material to prevent dislodging the collected fibers. Packing material that has a high electrostatic charge on its surface (e.g., expanded polystyrene) cannot be used because such material can cause loss of fibers to the sides of the cassette.
6. Calibrate each personal sampling pump before and after use with a representative filter cassette installed between the pump and the calibration devices.
7. Personal samples shall be taken in the “breathing zone” of the employee (i.e., attached to or near the collar or lapel near the worker's face).
8. Fiber counts shall be made by positive phase contrast using a microscope with an 8 to 10 X eyepiece and a 40 to 45 X objective for a total magnification of approximately 400 X and a numerical aperture of 0.65 to 0.75. The microscope shall also be fitted with a green or blue filter.
9. The microscope shall be fitted with a Walton-Beckett eyepiece graticule calibrated for a field diameter of 100 micrometers (+/- 2 micrometers).
10. The phase-shift detection limit of the microscope shall be about 3 degrees measured using the HSE phase shift test slide as outlined below. 
a. Place the test slide on the microscope stage and center it under the phase objective.
b. Bring the blocks of grooved lines into focus.

Note: The slide consists of seven sets of grooved lines (ca. 20 grooves to each block) in descending order of visibility from sets 1 to 7, seven being the least visible. The requirements for asbestos, tremolite, anthophyllite, and actinolite counting are that the microscope optics must resolve the grooved lines in set 3 completely, although they may appear somewhat faint, and that the grooved lines in sets 6 and 7 must be invisible. Sets 4 and 5 must be at least partially visible but may vary slightly in visibility between microscopes. A microscope that fails to meet these requirements has either too low or too high a resolution to be used for asbestos, tremolite, anthophyllite, and actinolite.
c. If the image deteriorates, clean and adjust the microscope optics. If the problem persists, consult the microscope manufacturer.
11. Each set of samples taken will include 10% field blanks or a minimum of 2 field blanks. These blanks must come from the same lot as the filters used for sample collection. The field blank results shall be averaged and subtracted from the analytical results before reporting. A set consists of any sample or group of samples for which an evaluation for this standard must be made. Any samples represented by a field blank having a fiber count in excess of the detection limit of the method being used shall be rejected.
12. The samples shall be mounted by the acetone/triacetin method or a method with an equivalent index of refraction and similar clarity.
13. Observe the following counting rules.
a. Count only fibers equal to or longer than 5 micrometers. Measure the length of curved fibers along the curve. 
b. In the absence of other information, count all particles as asbestos that have a length-to-width ratio (aspect ratio) of 3 to 1 or greater.
c. Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle, shall receive the count of one half (1/2). Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area.
d. Count bundles of fibers as one fiber unless individual fibers can be identified by observing both ends of an individual fiber.
e. Count enough graticule fields to yield 100 fibers. Count a minimum of 20 fields; stop counting at 100 fields regardless of fiber count.
14. Blind recounts shall be conducted at the rate of 10 percent.
Quality Control Procedures
1. Intralaboratory program. Each laboratory and/or each company with more than one microscopist counting slides shall establish a statistically designed quality assurance program involving blind recounts and comparisons between microscopists to monitor the variability of counting by each microscopist and between microscopists. In a company with more than one laboratory, the program shall include all laboratories and shall also evaluate the laboratory-to-laboratory variability.
2. a. Interlaboratory program. Each laboratory analyzing asbestos, tremolite, anthopyllite, and actinolite samples for compliance determination shall implement an interlaboratory quality assurance program that as a minimum includes participation of at least two other independent laboratories. Each laboratory shall participate in round robin testing at least once every 6 months with at least all the other laboratories in its interlaboratory quality assurance group. Each laboratory shall submit slides typical of its own work load for use in this program. The round robin shall be designed and results analyzed using appropriate statistical methodology.
b. All laboratories should participate in a national sample testing scheme such as the Proficiency Analytical Testing Program (PAT), the Asbestos Registry sponsored by the American Industrial Hygiene Association (AIHA).
3. All individuals performing asbestos, tremolite, anthopyllite, and actinolite analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos, tremolite, anthopyllite, and actinolite dust or an equivalent course. 
4. When the use of different microscopes contributes to differences between counters and laboratories, the effect of the different microscope shall be evaluated and the microscope shall be replaced, as necessary.
5. Current results of these quality assurance programs shall be posted in each laboratory to keep the microscopists informed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix B

Sampling and Analysis (Non-mandatory)

Matrix Air: 

	OSHA Permissible Exposure Limits: 
	Time Weighted Average	 	0.1 fiber/cc 
	Excursion Level (30 minutes) 		 1.0 fiber/cc

Collection Procedure: 

A known volume of air is drawn through a 25-mm diameter cassette containing a mixed-cellulose ester filter. The cassette must be equipped with an electrically conductive 50-mm extension cowl. The sampling time and rate are chosen to give a fiber density of between 100 to 1,300 fibers/mm2 on the filter.

Recommended Sampling Rate	 0.5 to 5.0 liters/
	 	minute (L/min) 
Recommended Air Volumes: 

	Minimum 	 25 L 
	Maximum 	 2,400 L
	
Analytical Procedure:
A portion of the sample filter is cleared and prepared for asbestos fiber counting by Phase Contrast Microscopy (PCM) at 400X. Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources can be substituted.
1. Introduction
This method describes the collection of airborne asbestos fibers using calibrated sampling pumps with mixed-cellulose ester (MCE) filters and analysis by phase contrast microscopy (PCM). Some terms used are unique to this method and are defined below: Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, crocidolite, amosite (cummingtonite-grunerite asbestos), tremolite asbestos, actinolite asbestos, anthophyllite asbestos, and any of these minerals that have been chemically treated and/or altered. The precise chemical formulation of each species will vary with the location from which it was mined. Nominal compositions are listed:

	Chrysotile		Mg3Si2O5(OH)4 
	Crocidolite		Na2Fe32Fe23Si8O22(OH)2 
	Amosite		(Mg,Fe)7Si8O22(OH)2 
	Tremolite-actinolite		Ca2(Mg,Fe)5Si8O22(OH)2 
	Anthophyllite		(Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos which meets the criteria specified below for a fiber.
Aspect Ratio: The ratio of the length of a fiber to it's diameter (e.g. 3:1, 5:1 aspect ratios).
Cleavage Fragments: Mineral particles formed by comminution of minerals, especially those characterized by parallel sides and a moderate aspect ratio (usually less than 20:1).
Detection Limit: The number of fibers necessary to be 95% certain that the result is greater than zero.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from the fiber count because they do not appear to be asbestos.
Fiber: A particle that is 5 mm or longer, with a length-to-width ratio of 3 to 1 or longer.
Field: The area within the graticule circle that is superimposed on the microscope image.
Set: The samples which are taken, submitted to the laboratory, analyzed, and for which, interim or final result reports are generated.
Tremolite, Anthophyllite, and Actinolite: The non-asbestos form of these minerals which meet the definition of a fiber. It includes any of these minerals that have been chemically treated and/or altered.
Walton-Beckett Graticule: An eyepiece graticule specifically designed for asbestos fiber counting. It consists of a circle with a projected diameter of 100 plus or minus 2 mm (area of about 0.00785 mm2) with a crosshair having tic-marks at 3-mm intervals in one direction and 5-mm in the orthogonal direction. There are marks around the periphery of the circle to demonstrate the proper sizes and shapes of fibers. This design is reproduced in Figure 1. of this appendix. The disk is placed in one of the microscope eyepieces so that the design is superimposed on the field of view.
1.1. History
Early surveys to determine asbestos exposures were conducted using impinger counts of total dust with the counts expressed as million particles per cubic foot. The British Asbestos Research Council recommended filter membrane counting in 1969. In July 1969, the Bureau of Occupational Safety and Health published a filter membrane method for counting asbestos fibers in the United States. This method was refined by NIOSH and published as P & CAM 239. On May 29, 1971, OSHA specified filter membrane sampling with phase contrast counting for evaluation of asbestos exposures at work sites in the United States. The use of this technique was again required by OSHA in 1986. Phase contrast microscopy has continued to be the method of choice for the measurement of occupational exposure to asbestos.
1.2. Principle
Air is drawn through a MCE filter to capture airborne asbestos fibers. A wedge shaped portion of the filter is removed, placed on a glass microscope slide and made transparent. A measured area (field) is viewed by PCM. All the fibers meeting defined criteria for asbestos are counted and considered a measure of the airborne asbestos concentration.
1.3. Advantages and Disadvantages
There are four main advantages of PCM over other methods:
(1) The technique is specific for fibers. Phase contrast is a fiber counting technique which excludes non-fibrous particles from the analysis.
(2) The technique is inexpensive and does not require specialized knowledge to carry out the analysis for total fiber counts.
(3) The analysis is quick and can be performed on-site for rapid determination of air concentrations of asbestos fibers.
(4) The technique has continuity with historical epidemiological estimates of expected disease can be inferred from long-term determinations of asbestos exposures.
The main disadvantage of PCM is that it does not positively identify asbestos fibers. Other fibers which are not asbestos may be included in the count unless differential counting is performed. This requires a great deal of experience to adequately differentiate asbestos from non-asbestos fibers. Positive identification of asbestos must be performed by polarized light or electron microscopy techniques. A further disadvantage of PCM is that the smallest visible fibers are about 0.2mm in diameter while the finest asbestos fibers may be as small as 0.02mm in diameter. For some exposures, substantially more fibers may be present than are actually counted.
1.4. Workplace Exposure
Asbestos is used by the construction industry in such products as shingles, floor tiles, asbestos cement, roofing felts, insulation and acoustical products. Non-construction uses include brakes, clutch facings, paper, paints, plastics, and fabrics. One of the most significant exposures in the workplace is the removal and encapsulation of asbestos in schools, public buildings, and homes. Many workers have the potential to be exposed to asbestos during these operations.
About 95% of the asbestos in commercial use in the United States is chrysotile. Crocidolite and amosite make up most of the remainder. Anthophyllite and tremolite or actinolite are likely to be encountered as contaminants in various industrial products.
1.5. Physical Properties
Asbestos fiber possesses a high tensile strength along its axis, is chemically inert, non-combustible, and heat resistant. It has a high electrical resistance and good sound absorbing properties. It can be weaved into cables, fabrics or other textiles, and also matted into asbestos papers, felts, or mats.
2. Range and Detection Limit
2.1. The ideal counting range on the filter is 100 to 1,300 fibers/mm2 With a Walton-Beckett graticule this range is equivalent to 0.8 to 10 fibers/field. Using NIOSH counting statistics, a count of 0.8 fibers/field would give an approximate coefficient of variation (CV) of 0.13.
2.2. The detection limit for this method is 4.0 fibers per 100 fields or 5.5 fibers/mm2. This was determined using an equation to estimate the maximum CV possible at a specific concentration (95% confidence) and a Lower Control Limit of zero. The CV value was then used to determine a corresponding concentration from historical CV vs fiber relationships. As an example:
Lower Control Limit (95% Confidence) = AC -- 1.645(CV)(AC)
Where:
AC = Estimate of the airborne fiber concentration (fibers/cc) Setting the Lower Control Limit = 0 and solving for CV:
0 = AC - 1.645(CV)(AC)
CV = 0.61
This value was compared with CV vs. count curves. The count at which CV = 0.61 for Leidel-Busch counting statistics or for an OSHA Salt Lake Technical Center (OSHA-SLTC) CV curve (see Appendix A for further information) was 4.4 fibers or 3.9 fibers per 100 fields, respectively. Although a lower detection limit of 4 fibers per 100 fields is supported by the OSHA-SLTC data, both data sets support the 4.5 fibers per 100 fields value.
3. Method Performance -- Precision and Accuracy
Precision is dependent upon the total number of fibers counted and the uniformity of the fiber distribution on the filter. A general rule is to count at least 20 and not more than 100 fields. The count is discontinued when 100 fibers are counted, provided that 20 fields have already been counted. Counting more than 100 fibers results in only a small gain in precision. As the total count drops below 10 fibers, an accelerated loss of precision is noted.
At this time, there is no known method to determine the absolute accuracy of the asbestos analysis. Results of samples prepared through the Proficiency Analytical Testing (PAT) Program and analyzed by the OSHA-SLTC showed no significant bias when compared to PAT reference values. The PAT samples were analyzed from 1987 to 1989 (N=36) and the concentration range was from 120 to 1,300 fibers/mm(2).
4. Interferences
Fibrous substances, if present, may interfere with asbestos analysis. Some common fibers are:

	fiberglass 
	anhydrite 
	plant fibers 
	perlite veins 
	gypsum 
	some synthetic fibers 
	membrane structures 
	sponge spicules 
	diatoms 
	microorganisms 
	wollastonite
The use of electron microscopy or optical tests such as polarized light, and dispersion staining may be used to differentiate these materials from asbestos when necessary.
5. Sampling
5.1. Equipment
5.1.1. Sample assembly. Conductive filter holder consisting of a 25-mm diameter, 3-piece cassette having a 50-mm long electrically conductive extension cowl, Backup pad, 25-mm, cellulose. Membrane filter, mixed-cellulose ester (MCE), 25-mm, plain, white, 0.4- to 1.2-mm pore size.

Notes:

(a) DO NOT RE-USE CASSETTES.

(b) Fully conductive cassettes are required to reduce fiber loss to the sides of the cassette due to electrostatic attraction. 

(c) Purchase filters which have been selected by the manufacturer for asbestos counting or analyze representative filters for fiber background before use. Discard the filter lot if more than 4 fibers/100 fields are found.

(d) To decrease the possibility of contamination, the sampling system (filter-backup pad-cassette) for asbestos is usually preassembled by the manufacturer.

(e) Other cassettes, such as the Bell-mouth, may be used within the limits of their validation.
5.1.2. Gel bands for sealing cassettes.
5.1.3. Sampling pump. Each pump must be a battery operated, self- contained unit small enough to be placed on the monitored employee and not interfere with the work being performed. The pump must be capable of sampling at the collection rate for the required sampling time.
5.1.4. Flexible tubing, 6-mm bore.
5.1.5. Pump calibration.
Stopwatch and bubble tube/burette or electronic meter.
5.2. Sampling Procedure
5.2.1. Seal the point where the base and cowl of each cassette meet with a gel band or tape.
5.2.2. Charge the pumps completely before beginning.
5.2.3. Connect each pump to a calibration cassette with an appropriate length of 6-mm bore plastic tubing. Do not use luer connectors -- the type of cassette specified above has built-in adapters.
5.2.4. Select an appropriate flow rate for the situation being monitored. The sampling flow rate must be between 0.5 and 5.0 L/min for personal sampling and is commonly set between 1 and 2 L/min. Always choose a flow rate that will not produce overloaded filters.
5.2.5. Calibrate each sampling pump before and after sampling with a calibration cassette in-line (Note: This calibration cassette should be from the same lot of cassettes used for sampling). Use a primary standard (e.g. bubble burette) to calibrate each pump. If possible, calibrate at the sampling site.
If sampling site calibration is not possible, environmental influences may affect the flow rate. The extent is dependent on the type of pump used. Consult with the pump manufacturer to determine dependence on environmental influences. If the pump is affected by temperature and pressure changes, correct the flow rate using the formula shown in the section “Sampling Pump Flow Rate Corrections” at the end of this appendix.
5.2.6. Connect each pump to the base of each sampling cassette with flexible tubing. Remove the end cap of each cassette and take each air sample open face. Assure that each sample cassette is held open side down in the employee's breathing zone during sampling. The distance from the nose/mouth of the employee to the cassette should be about 10 cm. Secure the cassette on the collar or lapel of the employee using spring clips or other similar devices.
5.2.7. A suggested minimum air volume when sampling to determine TWA compliance is 25 L. For Excursion Limit (30 min sampling time) evaluations, a minimum air volume of 48 L is recommended.
5.2.8. The most significant problem when sampling for asbestos is overloading the filter with non-asbestos dust. Suggested maximum air sample volumes for specific environments are:

	Environment 	Air Vol. (L)

Asbestos removal operations (visible dust) 	100. 
Asbestos removal operations (little dust) 	240. 
Office environments. 	400 to 2,400.

CAUTION: Do not overload the filter with dust. High levels of non- fibrous dust particles may obscure fibers on the filter and lower the count or make counting impossible. If more than about 25 to 30% of the field area is obscured with dust, the result may be biased low. Smaller air volumes may be necessary when there is excessive non-asbestos dust in the air.
While sampling, observe the filter with a small flashlight. If there is a visible layer of dust on the filter, stop sampling, remove and seal the cassette, and replace with a new sampling assembly. The total dust loading should not exceed 1 mg.
5.2.9. Blank samples are used to determine if any contamination has occurred during sample handling. Prepare two blanks for the first 1 to 20 samples. For sets containing greater than 20 samples, prepare blanks as 10% of the samples. Handle blank samples in the same manner as air samples with one exception: Do not draw any air through the blank samples. Open the blank cassette in the place where the sample cassettes are mounted on the employee. Hold it open for about 30 seconds. Close and seal the cassette appropriately. Store blanks for shipment with the sample cassettes.
5.2.10. Immediately after sampling, close and seal each cassette with the base and plastic plugs. Do not touch or puncture the filter membrane as this will invalidate the analysis.
5.2.11. Attach and secure a sample seal around each sample cassette in such a way as to assure that the end cap and base plugs cannot be removed without destroying the seal. Tape the ends of the seal together since the seal is not long enough to be wrapped end-to-end. Also wrap tape around the cassette at each joint to keep the seal secure.
5.3. Sample Shipment
5.3.1. Send the samples to the laboratory with paperwork requesting asbestos analysis. List any known fibrous interferences present during sampling on the paperwork. Also, note the workplace operation(s) sampled.
5.3.2. Secure and handle the samples in such that they will not rattle during shipment nor be exposed to static electricity. Do not ship samples in expanded polystyrene peanuts, vermiculite, paper shreds, or excelsior. Tape sample cassettes to sheet bubbles and place in a container that will cushion the samples in such a manner that they will not rattle.
5.3.3. To avoid the possibility of sample contamination, always ship bulk samples in separate mailing containers.
6. Analysis
6.1. Safety Precautions
6.1.1. Acetone is extremely flammable and precautions must be taken not to ignite it. Avoid using large containers or quantities of acetone. Transfer the solvent in a ventilated laboratory hood. Do not use acetone near any open flame. For generation of acetone vapor, use a spark free heat source. 
6.1.2. Any asbestos spills should be cleaned up immediately to prevent dispersal of fibers. Prudence should be exercised to avoid contamination of laboratory facilities or exposure of personnel to asbestos. Asbestos spills should be cleaned up with wet methods and/or a High Efficiency Particulate Air (HEPA) filtered vacuum.
CAUTION: Do not use a vacuum without a HEPA filter -- It will disperse fine asbestos fibers in the air.
6.2. Equipment
6.2.1. Phase contrast microscope with binocular or trinocular head.
6.2.2. Widefield or Huygenian 10X eyepieces (NOTE: The eyepiece containing the graticule must be a focusing eyepiece. Use a 40X phase objective with a numerical aperture of 0.65 to 0.75).
6.2.3. Kohler illumination (if possible) with green or blue filter.
6.2.4. Walton-Beckett Graticule, type G-22 with 100 plus or minus 2mm projected diameter.
6.2.5. Mechanical stage. A rotating mechanical stage is convenient for use with polarized light.
6.2.6. Phase telescope.
6.2.7. Stage micrometer with 0.01-mm subdivisions.
6.2.8. Phase-shift test slide, mark II (Available from PTR optics Ltd., and also McCrone).
6.2.9. Precleaned glass slides, 25 mm X 75 mm. One end can be frosted for convenience in writing sample numbers, etc., or paste-on labels can be used.
6.2.10. Cover glass #1 1/2.
6.2.11. Scalpel (#10, curved blade).
6.2.12. Fine tipped forceps.
6.2.13. Aluminum block for clearing filter (see Appendix D).
6.2.14. Automatic adjustable pipette, 100-to 500-mL. 
6.2.15. Micropipette, 5 mL.
6.3. Reagents
6.3.1. Acetone (HPLC grade).
6.3.2. Triacetin (glycerol triacetate).
6.3.3. Lacquer or nail polish.
6.4. Standard Preparation
A way to prepare standard asbestos samples of known concentration has not been developed. It is possible to prepare replicate samples of nearly equal concentration. This has been performed through the PAT program. These asbestos samples are distributed by the AIHA to participating laboratories.
Since only about one-fourth of a 25-mm sample membrane is required for an asbestos count, any PAT sample can serve as a “standard” for replicate counting.
6.5. Sample Mounting
See Safety Precautions in Section 6.1. before proceeding. The objective is to produce samples with a smooth (non-grainy) background in a medium with a refractive index of approximately 1.46. The technique below collapses the filter for easier focusing and produces permanent mounts which are useful for quality control and interlaboratory comparison.
An aluminum block or similar device is required for sample preparation. 
6.5.1. Heat the aluminum block to about 70 deg.C. The hot block should not be used on any surface that can be damaged by either the heat or from exposure to acetone.
6.5.2. Ensure that the glass slides and cover glasses are free of dust and fibers.
6.5.3. Remove the top plug to prevent a vacuum when the cassette is opened. Clean the outside of the cassette if necessary. Cut the seal and/or tape on the cassette with a razor blade. Very carefully separate the base from the extension cowl, leaving the filter and backup pad in the base.
6.5.4. With a rocking motion cut a triangular wedge from the filter using the scalpel. This wedge should be one-sixth to one-fourth of the filter. Grasp the filter wedge with the forceps on the perimeter of the filter which was clamped between the cassette pieces. DO NOT TOUCH the filter with your finger. Place the filter on the glass slide sample side up. Static electricity will usually keep the filter on the slide until it is cleared.
6.5.5. Place the tip of the micropipette containing about 200 mL acetone into the aluminum block. Insert the glass slide into the receiving slot in the aluminum block. Inject the acetone into the block with slow, steady pressure on the plunger while holding the pipette firmly in place. Wait 3 to 5 seconds for the filter to clear, then remove the pipette and slide from the aluminum block.
6.5.6. Immediately (less than 30 seconds) place 2.5 to 3.5 mL of triacetin on the filter (NOTE: Waiting longer than 30 seconds will result in increased index of refraction and decreased contrast between the fibers and the preparation. This may also lead to separation of the cover slip from the slide).
6.5.7. Lower a cover slip gently onto the filter at a slight angle to reduce the possibility of forming air bubbles. If more than 30 seconds have elapsed between acetone exposure and triacetin application, glue the edges of the cover slip to the slide with lacquer or nail polish.
6.5.8. If clearing is slow, warm the slide for 15 min on a hot plate having a surface temperature of about 50 deg.C to hasten clearing. The top of the hot block can be used if the slide is not heated too long.
6.5.9. Counting may proceed immediately after clearing and mounting are completed.
6.6. Sample Analysis
Completely align the microscope according to the manufacturer's instructions. Then, align the microscope using the following general alignment routine at the beginning of every counting session and more often if necessary.
6.6.1. Alignment
(1) Clean all optical surfaces. Even a small amount of dirt can significantly degrade the image.
(2) Rough focus the objective on a sample.
(3) Close down the field iris so that it is visible in the field of view. Focus the image of the iris with the condenser focus. Center the image of the iris in the field of view.
(4) Install the phase telescope and focus on the phase rings. Critically center the rings. Misalignment of the rings results in astigmatism which will degrade the image.
(5) Place the phase-shift test slide on the microscope stage and focus on the lines. The analyst must see line set 3 and should see at least parts of 4 and 5 but, not see line set 6 or 6. A microscope/microscopist combination which does not pass this test may not be used.
6.6.2. Counting Fibers
(1) Place the prepared sample slide on the mechanical stage of the microscope. Position the center of the wedge under the objective lens and focus upon the sample.
(2) Start counting from one end of the wedge and progress along a radial line to the other end (count in either direction from perimeter to wedge tip). Select fields randomly, without looking into the eyepieces, by slightly advancing the slide in one direction with the mechanical stage control.
(3) Continually scan over a range of focal planes (generally the upper 10 to 15 mm of the filter surface) with the fine focus control during each field count. Spend at least 5 to 15 seconds per field.
(4) Most samples will contain asbestos fibers with fiber diameters less than 1 mm. Look carefully for faint fiber images. The small diameter fibers will be very hard to see. However, they are an important contribution to the total count.
(5) Count only fibers equal to or longer than 5 mm. Measure the length of curved fibers along the curve.
(6) Count fibers which have a length to width ratio of 3:1 or greater.
(7) Count all the fibers in at least 20 fields. Continue counting until either 100 fibers are counted or 100 fields have been viewed; whichever occurs first. Count all the fibers in the final field.
(8) Fibers lying entirely within the boundary of the Walton-Beckett graticule field shall receive a count of 1. Fibers crossing the boundary once, having one end within the circle shall receive a count of 1/2. Do not count any fiber that crosses the graticule boundary more than once. Reject and do not count any other fibers even though they may be visible outside the graticule area. If a fiber touches the circle, it is considered to cross the line.
(9) Count bundles of fibers as one fiber unless individual fibers can be clearly identified and each individual fiber is clearly not connected to another counted fiber. See Figure 1 of this appendix for counting conventions.
(10) Record the number of fibers in each field in a consistent way such that filter non-uniformity can be assessed.
(11) Regularly check phase ring alignment.
(12) When an agglomerate (mass of material) covers more than 25% of the field of view, reject the field and select another. Do not include it in the number of fields counted.
(13) Perform a “blind recount” of 1 in every 10 filter wedges (slides). Re-label the slides using a person other than the original counter.
6.7. Fiber Identification
As previously mentioned in Section 1.3., PCM does not provide positive confirmation of asbestos fibers. Alternate differential counting techniques should be used if discrimination is desirable. Differential counting may include primary discrimination based on morphology, polarized light analysis of fibers, or modification of PCM data by Scanning Electron or Transmission Electron Microscopy.
A great deal of experience is required to routinely and correctly perform differential counting. It is discouraged unless it is legally necessary. Then, only if a fiber is obviously not asbestos should it be excluded from the count. Further discussion of this technique can be found in reference 8.10. 
If there is a question whether a fiber is asbestos or not, follow the rule: “WHEN IN DOUBT, COUNT.”
6.8. Analytical Recommendations -- Quality Control System
6.8.1. All individuals performing asbestos analysis must have taken the NIOSH course for sampling and evaluating airborne asbestos or an equivalent course.
6.8.2. Each laboratory engaged in asbestos counting shall set up a slide trading arrangement with at least two other laboratories in order to compare performance and eliminate inbreeding of error. The slide exchange occurs at least semiannually. The round robin results shall be posted where all analysts can view individual analyst's results.
6.8.3. Each laboratory engaged in asbestos counting shall participate in the Proficiency Analytical Testing Program, the Asbestos Analyst Registry or equivalent.
6.8.4. Each analyst shall select and count prepared slides from a “slide bank”. These are quality assurance counts. The slide bank shall be prepared using uniformly distributed samples taken from the workload. Fiber densities should cover the entire range routinely analyzed by the laboratory. These slides are counted blind by all counters to establish an original standard deviation. This historical distribution is compared with the quality assurance counts. A counter must have 95% of all quality control samples counted within three standard deviations of the historical mean. This count is then integrated into a new historical mean and standard deviation for the slide.
The analyses done by the counters to establish the slide bank may be used for an interim quality control program if the data are treated in a proper statistical fashion.
7. Calculations
7.1. Calculate the estimated airborne asbestos fiber concentration on the filter sample using the following formula:

View Graphic
where:

AC = Airborne fiber concentration 
FB = Total number of fibers greater than 5 mm counted 
FL = Total number of fields counted on the filter 
BFB = Total number of fibers greater than 5 mm counted in the blank 
BFL = Total number of fields counted on the blank 
ECA = Effective collecting area of filter (385 mm(2) nominal for a 25 - mm filter.) 
FR = Pump flow rate (L/min) 
MFA = Microscope count field area (mm(2)). This is 0.00785 mm(2) for a Walton-Beckett Graticule. 
T = Sample collection time (min) 
1,000 = Conversion of L to cc
The collection area of a filter is seldom equal to 385 mm(2). It is appropriate for laboratories to routinely monitor the exact diameter using an inside micrometer. The collection area is calculated according to the formula:
Area =  p (d/2)2
7.2. Short-Cut Calculation
Since a given analyst always has the same interpupillary distance, the number of fields per filter for a particular analyst will remain constant for a given size filter. The field size for that analyst is constant (i.e. the analyst is using an assigned microscope and is not changing the reticle).
For example, if the exposed area of the filter is always 385 mm(2) and the size of the field is always 0.00785 mm(2) the number of fields per filter will always be 49,000. In addition it is necessary to convert liters of air to cc. These three constants can then be combined such that ECA/(1,000 x MFA)=49. The previous equation simplifies to:

View Graphic
7.3. Recount Calculations
As mentioned in step 13 of Section 6.6.2., a “blind recount” of 10% of the slides is performed. In all cases, differences will be observed between the first and second counts of the same filter wedge. Most of these differences will be due to chance alone, that is, due to the random variability (precision) of the count method. Statistical recount criteria enables one to decide whether observed differences can be explained due to chance alone or are probably due to systematic differences between analysts, microscopes, or other biasing factors.
The following recount criterion is for a pair of counts that estimate AC in fibers/cc. The criterion is given at the type-I error level. That is, there is 5% maximum risk that we will reject a pair of counts for the reason that one might be biased, when the large observed difference is really due to chance.
Reject a pair of counts if:

View Graphic
Where:

AC(1) = lower estimated airborne fiber concentration 
AC(2) = higher estimated airborne fiber concentration 
AC(avg) = average of the two concentration estimates 
CV(FB) = CV for the average of the two concentration estimates
If a pair of counts are rejected by this criterion then, recount the rest of the filters in the submitted set. Apply the test and reject any other pairs failing the test. Rejection shall include a memo to the industrial hygienist stating that the sample failed a statistical test for homogeneity and the true air concentration may be significantly different than the reported value.
7.4. Reporting Results
Report results to the industrial hygienist as fibers/cc. Use two significant figures. If multiple analyses are performed on a sample, an average of the results is to be reported unless any of the results can be rejected for cause.
8. References
8.1. Dreesen, W.C., et al., U.S. Public Health Service: A Study of Asbestosis in the Asbestos Textile Industry (Public Health Bulletin No. 241), U.S. Treasury Dept., Washington, DC, 1938.
8.2. Asbestos Research Council: The Measurement of Airborne Asbestos Dust by the Membrane Filter Method (Technical Note), Asbestos Research Council, Rockdale, Lancashire, Great Britain, 1969.
8.3. Bayer, S.G., Zumwalde, R.D., Brown, T.A., Equipment and Procedure for Mounting Millipore Filters and Counting Asbestos Fibers by Phase Contrast Microscopy, Bureau of Occupational Health, U.S. Dept. of Health, Education and Welfare, Cincinnati, OH, 1969.
8.4. NIOSH Manual of Analytical Methods, 2nd ed., Vol. 1 (DHEW/ NIOSH Pub. No. 77-157-A). National Institute for Occupational Safety and Health, Cincinnati, OH, 1977. pp. 239-1 -- 239-21.
8.5. Asbestos, Code of Federal Regulations 29 CFR 1910.1001. 1971.
8.6. Occupational Exposure to Asbestos, Tremolite, Anthophyllite, and Actinolite. Final Rule, Federal Register 51:119 (20 June 1986). pp. 22612-22790.
8.7. Asbestos, Tremolite, Anthophyllite, and Actinolite, Code of Federal Regulations 1910.1001. 1988. pp. 711-752.
8.8. Criteria for a Recommended Standard -- Occupational Exposure to Asbestos (DHEW/NIOSH Pub. No. HSM 72-10267), National Institute for Occupational Safety and Health, NIOSH, Cincinnati, OH, 1972. pp. III-1 -- III-24.
8.9. Leidel, N.A., Bayer, S.G., Zumwalde, R.D., Busch, K.A., USPHS/NIOSH Membrane Filter Method for Evaluating Airborne Asbestos Fibers (DHEW/NIOSH Pub. No. 79-127). National Institute for Occupational Safety and Health, Cincinnati, OH, 1979.
8.10. Dixon, W.C., Applications of Optical Microscopy in Analysis of Asbestos and Quartz, Analytical Techniques in Occupational Health Chemistry, edited by D.D. Dollberg and A.W. Verstuyft. Wash. D.C.: American Chemical Society, (ACS Symposium Series 120) 1980. pp. 13-41.
Quality Control
The OSHA asbestos regulations require each laboratory to establish a quality control program. The following is presented as an example of how the OSHA-SLTC constructed its internal CV curve as part of meeting this requirement. Data is from 395 samples collected during OSHA compliance inspections and analyzed from October 1980 through April 1986.
Each sample was counted by 2 to 5 different counters independently of one another. The standard deviation and the CV statistic was calculated for each sample. This data was then plotted on a graph of CV vs. fibers/mm2. A least squares regression was performed using the following equation:
CV = antilog10 [A(log10(x))2+B(log10(x))+C]
where:

x = the number of fibers/mm2
Application of least squares gave:

A = 0.182205 
B = 0.973343 
C = 0.327499
Using these values, the equation becomes:
CV = antilog10 [0.182205(log10(x))2 + 0.973343(log10(x)) + 0.327499]
Sampling Pump Flow Rate Corrections
This correction is used if a difference greater than 5% in ambient temperature and/or pressure is noted between calibration and sampling sites and the pump does not compensate for the differences.

View Graphic

Where:

Q(act) = actual flow rate 
Q(cal) = calibrated flow rate (if a rotameter was used, the rotameter value) 
P(cal) = uncorrected air pressure at calibration 
P(act) = uncorrected air pressure at sampling site 
T(act) = temperature at sampling site (K) 
T(cal) = temperature at calibration (K)
Walton-Beckett Graticule
When ordering the Graticule for asbestos counting, specify the exact disc diameter needed to fit the ocular of the microscope and the diameter (mm) of the circular counting area. Instructions for measuring the dimensions necessary are listed:
(1) Insert any available graticule into the focusing eyepiece and focus so that the graticule lines are sharp and clear.
(2) Align the microscope.
(3) Place a stage micrometer on the microscope object stage and focus the microscope on the graduated lines.
(4) Measure the magnified grid length, PL (mm), using the stage micrometer.
(5) Remove the graticule from the microscope and measure its actual grid length, AL (mm). This can be accomplished by using a mechanical stage fitted with verniers, or a jeweler's loupe with a direct reading scale.
(6) Let D = 100 mm. Calculate the circle diameter, d(c)(mm), for the Walton-Beckett graticule and specify the diameter when making a purchase:

View Graphic
(7) Each eyepiece-objective-reticle combination on the microscope must be calibrated. Should any of the three be changed (by zoom adjustment, disassembly, replacement, etc.), the combination must be recalibrated. Calibration may change if interpupillary distance is changed.
Measure the field diameter, D (acceptable range: 100 plus or minus 2 mm) with a stage micrometer upon receipt of the graticule from the manufacturer. Determine the field area (mm(2)).

Field Area = p(D/2)2 
If D = 100 mm = 0.1 mm, then 
Field Area = p(0.1 mm/2)2 = 0.00785mm2
The Graticule is available from: Graticules Ltd., Morley Road, Tonbridge TN9 IRN, Kent, England (Telephone 011-44-732-359061). Also available from PTR Optics Ltd., 145 Newton Street, Waltham, MA 02154 [telephone (617) 891-6000] or McCrone Accessories and Components, 2506 S. Michigan Ave., Chicago, IL 60616 [phone (312)- 842-7100]. The graticule is custom made for each microscope.

View Graphic

Figure 1: Walton-Beckett Graticule with some explanatory fibers.

Counts for the Fibers in the Figure

Structure No. 	Count 	Explanation

1 to 6	1		Single fibers all contained within the Circle. 7	1/2		Fiber crosses circle once.
8 	0		Fiber too short. 
9 	2		Two crossing fibers. 
10 	0		Fiber outside graticule. 
11 	0		Fiber crosses graticule twice.
12 	1/2		Although split, fiber only crosses once. 

NOTE

Authority cited: Section 142.3, Labor  Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. Change without regulatory effect providing more legible Figure 1 filed 1-20-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).

Appendix C

Qualitative and Quantitative Fit Testing Procedures, Mandatory

[See Section 5144, Appendix A]
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment repealing appendix C and adding editorial reference filed 8-25-98; operative 11-23-98 (Register 98, No. 35).

Appendix D

Medical Questionnaires Manditory
This mandatory appendix contains the medical questionnaires that must be administered to all employees who are exposed to asbestos, tremolite, anthophyllite, actinolyte, or a combination of these materials above the permissible exposure limit (0.1 f/cc), and who will therefore be included in their employer's medical surveillance program. Part 1 of the appendix contains the Initial Medical Questionnaire, which must be obtained for all new hires who will be covered by the medical surveillance requirements. Part 2 includes the abbreviated Periodical Medical Questionnaire, which must be administered to all employees who are provided periodic examinations under the medical surveillance provisions of the standard.

Part 1
INITIAL MEDICAL QUESTIONNAIRE

1. NAME 									

2. SOCIAL SECURITY # 																		

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15

4. PRESENT OCCUPATION 											

5. PLANT 												

6. ADDRESS 												

7. 												
											 (Zip Code)

8. TELEPHONE NUMBER 																

9. INTERVIEWER 																	

10. DATE																			

								16		17		18		19		20	21

11. Date of Birth																			

		Month		Day	Year			22		23		24		25		26	27

12. Place of Birth 																	

13 Sex					1. Male			
					2. Female		

14. What is your marital status?			1. Single					4. Separated/
					2. Married				  Divorced		
					3. Widowed		

15. Race					1. White				4. Hispanic		
					2. Black				5. Indian				
					3. Asian				6. Other				

16. What is the highest grade completed in school? 											
  (For example 12 years is completion of high school)

OCCUPATIONAL HISTORY

17A. Have you ever worked full time (30 hours					1. Yes 		2. No 		
   per week or more) for 6 months or more?
  
   IF YES TO 17A:

 B. Have you ever worked for a year or more in					1. Yes 		2. No 		
   any dusty job?					3. Does Not Apply 	

   Specify job/industry 					 Total Years Worked 		

   Was dust exposure:		1. Mild __  2. Moderate __  3. Severe __

 C. Have you even been exposed to gas or 					1. Yes 		2. No 		
   chemical fumes in your work?
   Specify job/industry 						 Total Years Worked 		

   Was exposure:		1. Mild __  2. Moderate __  3. Severe __

 D. What has been your usual occupation or job--the one you have worked at the longest?

   1. Job occupation 												

   2. Number of years employed in this occupation 											

   3. Position/job title 												

   4. Business, field or industry												

(Record on lines the years in which you have worked in any of these industries. e.g. 1960-1969)

View Graphic

19. CHEST COLDS AND CHEST ILLNESSES

19A. If you get a cold, does it usually go to your chest? (Usually 	1.	Yes __ 2. No	__
means more than 1/2 the time)	3.	Don't get colds 	__

20A. During then past 3 years, have you had any chest illnesses	1.	Yes __ 2. No	__
that have kept you off work, indoors at home, or in bed?

   IF YES TO 20A

 B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. In the last 3 years, how many such illnesses with (increased)	Number of illnesses	__
 phlegm did you have which lasted a week or more?	No such illnesses		__

21. Did you have any lung trouble before the age of 16?	1.	Yes __ 2. No	__

22. Have you ever had any of the following?

1A. Attacks of bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 1A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age was your first attack?		Age in Years		__
		Does Not Apply	__

2A. Pneumonia (include bronchopneumonia)?	1.	Yes __ 2. No	__

   IF YES TO 2A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. At what age did you first have it?		Age in Years		__
		Does Not Apply	__

3A. Hay fever?	1.	Yes __ 2. No	__

   IF YES TO 3A:
 B. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__
	
 C. At what age did it start?		Age in Years		__
		Does Not Apply	__

23A. Have you ever had chronic bronchitis?	1.	Yes __ 2. No	__

   IF YES TO 23A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

24A. Have you ever had emphysema?	1.	Yes __ 2. No	__

   IF YES TO 24A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

25A. Have you ever had asthma?	1.	Yes __ 2. No	__

   IF YES TO 25A:
 B. Do you still have it?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 C. Was it confirmed by a doctor?	1.	Yes __ 2. No	__
	3.	Does Not Apply	__

 D. At what age did it start?		Age in Years		__
		Does Not Apply	__

 E. If you no longer have it, at what age did it stop?		Age stopped		__
		Does Not Apply	__

26. Have you ever had:
A. Any other chest illness?	1.	Yes __ 2. No	__
   If yes, please specify 				

B. Any chest operations?	1.	Yes __ 2. No	__
   If yes, please specify				

C. Any chest injuries?	1.	Yes __ 2. No	__
   If yes, please specify				

27A. Has a doctor ever told you that you had heart trouble?	1.	Yes __ 2. No	__
  
   IF YES TO 27A:
B. Have you ever had treatment for heart trouble in the	1.	Yes __ 2. No	__
  past 10 years?	3.	Does not apply		__

28A. Has a doctor ever told you that you had high blood pressure?	1.	Yes __ 2. No	__
  
   IF YES TO 28A:
B. Have you ever had treatment for high blood pressure 	1.	Yes __ 2. No	__
  (hypertension) in the past 10 years?	3.	Does not apply		__

29. When did you last have your chest X-rayed?	(Year)								
			25		26		27		28

30. Where did you last have your chest X-rayed (if known)?				
What was the outcome?				

FAMILY HISTORY

31. Were either of your natural parents ever told by a doctor that they had a chronic lung condition such as:

	FATHER	MOTHER

	1.	Yes	2.	No	3.	Don't	1.	Yes	2.	No	3.	Don't
						Know						Know

  A. Chronic
    Bronchitis?													

  B. Emphysema?													

  C. Asthma?													 

  D. Lung cancer?													

  E. Other chest conditions?													

  F. Is parent currently alive?													

  G. Please Specify			 Age if Living			 Age if Living
			 Age at Death				 Age at Death
			 Don't Know				 Don't Know
  H. Please specify cause of death

COUGH

32A. Do you usually have a cough? (Count a cough with first 	1.	Yes __ 2. No	__
smoke or on first going out of doors. Exclude clearing of
throat.) [If no, skip to question 32C.]

 B. Do you usually cough as much as 4 to 6 times a day	1.	Yes __ 2. No	__
4 or more days out of the week?

 C. Do you usually cough at all on getting up or first thing in	1.	Yes __ 2. No	__
the morning?

 D. Do you usually cough at all during the rest of the day	1.	Yes __ 2. No	__
or at night?

IF YES TO ANY OF ABOVE (32A, B, C, OR D), ANSWER THE FOLLOWING. IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO NEXT PAGE.

 E. Do you usually cough like this on most days for 3	1.	Yes __ 2. No	__
consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had the cough?	Number of Years		__
	Does Not Apply		__

33A. Do you usually bring up phlegm from your chest?	1.	Yes __ 2. No	__
(Count phlegm with the first smoke or on first
going out of doors. Exclude phlegm from the nose. 
Count swallowed phlegm.) (If no, skip to 33C)

 B. Do you usually bring up phlegm like this as much	1.	Yes __ 2. No	__
as twice a day 4 or more days out of the week?

 C. Do you usually bring up phlegm at all on getting	1.	Yes __ 2. No	__
up or first thing in the morning?

 D. Do you usually bring up phlegm at all during	1.	Yes __ 2. No	__
the rest of the day or at night?

IF YES TO ANY OF THE ABOVE (33A, B, C, OR D), ANSWER THE FOLLOWING:
IF NO TO ALL, CHECK DOES NOT APPLY AND SKIP TO 34A.

 E. Do you bring up phlegm like this on most days	1.	Yes __ 2. No	__
for 3 consecutive months or more during the year?	3.	Does not apply		__

 F. For how many years have you had trouble with phlegm?	Number of years		__
	Does not apply		__

EPISODES OF COUGH AND PHLEGM

34A. Have you had periods or episodes of (increased*) cough	1.	Yes __ 2. No	__
and phlegm lasting for 3 weeks or more each year?
*(For persons who usually have cough and/or phlegm)

IF YES TO 34A

 B. For how long have you had at least 1 such episode per year?	Number of years		__
	Does not apply		__

WHEEZING

35A. Does you chest ever sound wheezy or whistling
   1. When you have a cold?	1.	Yes __ 2. No	__
   2. Occasionally apart from colds?	1.	Yes __ 2. No	__
   3. Most days or nights?	1.	Yes __ 2. No	__

IF YES TO 1, 2, or 3 in 35A

 B. For how many years has this been present?	Number of years		__
	Does not apply		__

36A. Have you ever had an attack of wheezing that has made you	1.	Yes __ 2. No	__
feel short of breath?

 B. How old were you when you had your first such attack?	Age in years		__
	Does not apply		__

 C. Have you had 2 or more such episodes?	1.	Yes __ 2. No	__
	3.	Does not apply		__

 D. Have you ever required medicine or treatment	1.	Yes __ 2. No	__
for the(se) attack(s)?	3.	Does not apply		__

BREATHLESSNESS

37. If disabled from walking by any condition other
than heart or lung disease, please describe and
proceed to question 39A.
Nature of condition(s)			

38A. Are you troubled by shortness of breath when	1.	Yes __ 2. No	__
hurrying on the level or walking up a slight hill?

IF YES TO 38A

 B. Do you have a walk slower than people of your age	1.	Yes __ 2. No	__
on the level because of breathlessness?	3.	Does not apply		__

 C. Do you ever have to stop for breath when walking at	1.	Yes __ 2. No	__
your own pace on the level?	3.	Does not apply		__

 D. Do you ever have to stop for breath after walking	1.	Yes __ 2. No	__
about 100 yards (or after a few minutes) on the level?	3.	Does not apply		__

 E. Are you too breathless to leave the house or	1.	Yes __ 2. No	__
breathless on dressing or climbing one flight of stairs?	3.	Does not apply		__

TOBACCO SMOKING

39A. Have you ever smoked cigarettes? (No means less than 20	1.	Yes __ 2. No	__
packs of cigarettes or 12 oz. of tobacco in a lifetime or
less than 1 cigarette a day for 1 year.)

IF YES TO 39A

 B. Do you now smoke cigarettes (as of one month ago)	1.	Yes __ 2. No	__
	3.	Does not apply		__

 C. How old were you when you first started regular	Age in years		__
cigarette smoking?	Does not apply		__

 D. If you have stopped smoking cigarettes completely,	Age stopped		__
how old were you when you stopped?	Check if still 
	smoking		__
	Does not apply		__

 E. How many cigarettes do you smoke per day now?	Cigarettes per day		__
	Does not apply		__

 F. On the average of the entire time you smoked, how	Cigarettes per day		__
many cigarettes did you smoke per day?	Does not apply		__

 G. Do or did you inhale the cigarette smoke?	1.	Does not apply		__
	2.	Not at all		__
	3.	Slightly		__
	4.	Moderately		__
	5.	Deeply		__

40A. Have you ever smoked a pipe regularly?	1.	Yes __ 2. No	__
(Yes means more than 12 oz. of tobacco in a
lifetime.)

IF YES TO 40A:

 B. 1. How old were you when you started to smoke a pipe regularly?	Age			__

2. If you have stopped smoking a pipe completely, how old were	Age stopped			__
 you when you stopped?	Check of still smoking
	pipe			__
	Does not apply		__

 C. On the average over the entire time you smoked a pipe,	__	oz. per week (a standard pouch
how much pipe tobacco did you smoke per week?	  of tobacco contains 1 1/2 oz.)
	__	Does not apply

 D. How much pipe tobacco are you smoking now?	oz. per week			__
	Not currently 
	smoking a pipe		__

 E. Do you or did you inhale the pipe smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

41A. Have you ever smoked cigars regularly?	1.	Yes __ 2. No	__
(Yes means more than 1 cigar a week for a year)

IF YES TO 41A

FOR PERSONS WHO HAVE EVER SMOKED CIGARS

 B. 1. How old were you when you started smoking cigars regularly?	Age			__

2. If you have stopped smoking cigars completely, how old were	Age stopped			__
 you when you stopped?	Check if still 
	smoking cigars		__
	Does not apply		__

 C. On the average over the entire time you smoked cigars,	Cigars per week		__
how many cigars did you smoke per week?	Does not apply		__

 D. How many cigars are you smoking per week now?	Cigars per week		__
	Check if not 
	smoking cigars
	currently		__

 E. Do or did you inhale the cigar smoke?	1.	Never smoked		__
	2.	Not at all		__
	3.	Slightly			__
	4.	Moderately		__
	5.	Deeply			__

Signature 		Date			

Part 2
PERIODIC MEDICAL QUESTIONNAIRE

1. NAME 									

2. SOCIAL SECURITY # 																			

		1		2		3		4		5		6		7		8	9

3. CLOCK NUMBER																			

								10		11		12		13		14	15

4. PRESENT OCCUPATION 											

5. PLANT 												

6. ADDRESS 												

7. 												
											 (Zip Code)

8. TELEPHONE NUMBER 																

9. INTERVIEWER 																	

10. DATE																				

								16		17		18		19		20	21

11. What is your marital status?	1.	Single			4.	Separated/	
	2.	Married				Divorced		
	3.	Widowed		

12. OCCUPATIONAL HISTORY

12A. In the past year, did you work full time (30 hours	1.	Yes __	2. No	__
per week or more) for 6 months or more?

IF YES TO 12A:

12B. In the past year, did you work in a dusty job?	1.	Yes __ 2. No	__
	3.	Does not apply	__

12C. Was dust exposure:	1.	Mild			2.	Moderate		3.	Severe	

12D. In the past year, were you exposed to gas or	1.	Yes __	2. No	__
chemical fumes in your work?

12E. Was exposure:	1.	Mild			2.	Moderate		3.	Severe	

12F. In the past year,
what was your:	1.	Job/occupation?					
	2.	Position/job title?					

13. RECENT MEDICAL HISTORY

13A. Do you consider yourself to be in good heath?	Yes __		No __

IF NO, state reason												

13B. In the past year, have you developed:							Yes  No
		Epilepsy?				___  ___
		Rheumatic fever?			___  ___
		Kidney disease?			___  ___
		Bladder disease?			___  ___
		Diabetes?				___  ___
		Jaundice?				___  ___
		Cancer?				___  ___

14. CHEST COLDS AND CHEST ILLNESSES

14A. If you get a cold, does it usually go to your chest?
(Usually means more than 1/2 the time)
	1.	Yes __	2 No.	__
	3.	Don't get colds		__

15A. During the past year, have you had any chest illnesses	1.	Yes __	2 No.	__
that have kept you off work, indoors at home, or in bed?	3.	Does Not Apply	__

IF YES TO 15A:

15B. Did you produce phlegm with any of these chest illnesses?	1.	Yes __	2 No.	__
	3.	Does Not Apply	__

15C. In the past year, how many such illnesses with (increased)	Number of illnesses	__
phlegm did you have which lasted a week or more?	No such illnesses		__

16. RESPIRATORY SYSTEM
In the past year have you had:
	Yes or No	Further Comment on Positive
		Answers
Asthma	 ____

Bronchitis	 ____

Hay Fever	 ____

Other Allergies	 ____

	Yes or No	Further Comment on Positive
		Answers
Pneumonia	 ____

Tuberculosis	 ____

Chest Surgery	 ____

Other Lung Problems	 ____

Heart Disease	 ____

Do you have:

	Yes or No	Further Comment on Positive
		Answers
Frequent colds	 ____

Chronic cough	 ____

Shortness of breath when
walking or climbing one
flight of stairs	 ____

Do you:

Wheeze	 ____

Cough up phlegm	 ____

Smoke cigarettes	 ____	Packs per day ____ How many years ____

Date 		Signature 		

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.
HISTORY

1. Editorial correction of Part 1, No. 16 (Register 99, No. 28).

Appendix E

Interpretation and Classification of Chest Roentgenograms
Mandatory
(a) Chest roentgenograms shall be interpreted and classified in accordance with a professionally accepted classification system and recorded on an interpretation form following the format of the CDC/NIOSH (M) 2.8 form. As a minimum, the content within the bold lines of this form (items 1 through 4) shall be included. This form is not to be submitted to NIOSH.
(b) Roentgenograms shall be interpreted and classified only by a B-reader, a board eligible/certified radiologist, or an experienced physician with known expertise in pneumoconioses.
(c) All interpreters, whenever interpreting chest roentgenograms made under this section, shall have immediately available for reference a complete set of the ILO-U/C International Classification of Radiographs for Pneumoconioses, 1980.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix F

Work Practices and Engineering Controls for Class I Asbestos Operations (Non-mandatory)
This is a non-mandatory appendix to the asbestos standards for construction and for shipyards. It describes criteria and procedures for erecting and using negative pressure enclosures for Class I Asbestos Work, when NPEs are used as an allowable control method to comply with subsection (g)(5)(A) of this section. Many small and variable details are involved in the erection of a negative pressure enclosure. OSHA and most participants in the rulemaking agreed that only the major, more performance oriented criteria should be made mandatory. These criteria are set out in subsection (g) of this section. In addition, this appendix includes these mandatory specifications and procedures in its guidelines in order to make this appendix coherent and helpful. The mandatory nature of the criteria which appear in the regulatory text is not changed because they are included in this “non-mandatory” appendix. Similarly, the additional criteria and procedures included as guidelines in the appendix, do not become mandatory because mandatory criteria are also included in these comprehensive guidelines.
In addition, none of the criteria, both mandatory and recommended, are meant to specify or imply the need for use of patented or licensed methods or equipment. Recommended specifications included in this attachment should not discourage the use of creative alternatives which can be shown to reliably achieve the objectives of negative-pressure enclosures. Requirements included in this appendix, cover general provisions to be followed in all asbestos jobs, provisions which must be followed for all Class I asbestos jobs, and provisions governing the construction and testing of negative pressure enclosures. The first category includes the requirement for use of wet methods, HEPA vacuums, and immediate bagging of waste; Class I work must conform to the following provisions:
* oversight by competent person
* use of critical barriers over all openings to work area
* isolation of HVAC systems
* use of impermeable dropcloths and coverage of all objects within regulated areas
In addition, more specific requirements for NPEs include:
* maintenance of -0.02 inches water gauge within enclosure
* manometric measurements
* air movement away from employees performing removal work
* smoke testing or equivalent for detection of leaks and air direction
* deactivation of electrical circuits, if not provided with ground-fault circuit interrupters.

Planning the Project
The standard requires that an exposure assessment be conducted before the asbestos job is begun [Subsection (f)(1) of this section]. Information needed for that assessment, includes data relating to prior similar jobs, as applied to the specific variables of the current job. The information needed to conduct the assessment will be useful in planning the project, and in complying with any reporting requirements under this standard, when significant changes are being made to a control system listed in the standard, [see also those of USEPA (40 CFR 61, subpart M). Thus, although the standard does not explicitly require the preparation of a written asbestos removal plan, the usual constituents of such a plan, i.e., a description of the enclosure, the equipment, and the procedures to be used throughout the project, must be determined before the enclosure can be erected. The following information should be included in the planning of the system:
A physical description of the work area;
A description of the approximate amount of material to be removed;
A schedule for turning off and sealing existing ventilation systems;
Personnel hygiene procedures;
A description of personal protective equipment and clothing to be worn by employees;
A description of the local exhaust ventilation systems to be used and how they are to be tested;
A description of work practices to be observed by employees;
An air monitoring plan;
A description of the method to be used to transport waste material; and
The location of the dump site.

Materials and Equipment Necessary for Asbestos Removal

Although individual asbsetos removal projects vary in terms of the equipment required to accomplish the removal of the materials, some equipment and materials are common to most asbestos removal operations.

Plastic sheeting used to protect horizontal surfaces, seal HVAC openings or to seal vertical openings and ceilings should have a minimum thickness of 6 mils. Tape or other adhesive used to attach plastic sheeting should be of sufficient adhesive strength to support the weight of the material plus all stresses encountered during the entire duration of the project without becoming detached from the surface.

Other equipment and materials which should be available at the beginning of each project are:

-- HEPA Filtered Vacuum is essential for cleaning the work area after the asbestos has been removed. It should have a long hose capable of reaching out-of-the-way places, such as areas above ceiling tiles, behind pipes, etc.

-- Portable air ventilation systems installed to provide the negative air pressure and air removal from the enclosure must be equipped with a HEPA filter. The number and capacity of units required to ventilate an enclosure depend on the size of the area to be ventilated. The filters for these systems should be designed in such a manner that they can be replaced when the air flow is reduced by the build-up of dust in the filtration material. Pressure monitoring devices with alarms and strip chart recorders attached to each system to indicate the pressure differential and the loss due to dust buildup on the filter are recommended.

-- Water sprayers should be used to keep the asbsetos material as saturated as possible during removal; the sprayers will provide a fine mist that minimizes the impact of the spray on the material.

-- Water used to saturate the asbestos containing material can be amended by adding at least 15 milliliters (1/4 ounce) of wetting agent in 1 liter (1 pint) of water. An example of a wetting agent is a 50/50 mixture of polyoxyethylene ether and polyoxyethylene polyglycol ester. 

-- Backup power supplies are recommended, especially for ventilation systems.

-- Shower and bath water should be with mixed hot and cold water faucets. Water that has been used to clean personnel or equipment should either be filtered or be collected and discarded as asbestos waste. Soap and shampoo should be provided to aid in removing dust from the workers' skin and hair.

-- See subsections (h) and (i) of this section for appropriate respiratory protection and protective clothing.

-- See subsection (k) of this section for required signs and labels.

Preparing the Work Area
Disabling the HVAC Systems: The power to the heating, ventilation and air conditioning systems that service the restricted area must be deactivated and locked off. All ducts, grills, access ports, windows and vents must be sealed off with two layers of plastic to prevent entrainment of contaminated air.
Operating HVAC Systems in the Restricted Area: If components of a HVAC system located in the restricted area are connected to a system that will service another zone during the project, the portion of the duct in the restricted area must be sealed and pressurized. Necessary precautions include caulking the duct joints, covering all cracks and openings with two layers of sheeting, and pressurizing the duct throughout the duration of the project by restricting the return of air flow. The power to the fan supplying the positive pressure should be locked “on” to prevent pressure loss.
Sealing Elevators: If an elevator shaft is located in the restricted area, it should be either shut down or isolated by sealing with two layers of plastic sheeting. The sheeting should provide enough slack to accommodate the pressure changes in the shaft without breaking the air-tight seal.
Removing Mobile Objects: All movable objects should be cleaned and removed from the work area before an enclosure is constructed unless moving the objects creates a hazard. Mobile objects will be assumed to be contaminated and should be either cleaned with amended water and a HEPA vacuum and then removed from the area or wrapped and then disposed of as hazardous waste.
Cleaning and Sealing Surfaces: After cleaning with water and a HEPA vacuum, surfaces of stationary objects should be covered with two layers of plastic sheeting. The sheeting should be secured with duct tape or an equivalent method to provide a tight seal around the object.
Bagging Waste: In addition to the requirement for immediate bagging of waste for disposal, it is further recommended that the waste material be double-bagged and sealed in plastic bags designed for asbestos disposal. The bags should be stored in a waste storage area that can be controlled by the workers conducting the removal. Filters removed from handling units and rubbish removed from the area are to be bagged and handled as hazardous waste.

Constructing the Enclosure
The enclosure should be constructed to provide an air-tight seal around ducts and openings into existing ventilation systems and around penetrations for electrical conduits, telephone wires, water lines, drain pipes, etc. Enclosures should be both airtight and watertight except for those openings designed to provide entry and/or air flow control.
Size: An enclosure should be the minimum volume to encompass all of the working surfaces yet allow unencumbered movement by the worker(s), provide unrestricted air flow past the worker(s), and ensure walking surfaces can be kept free of tripping hazards.
Shape: The enclosure may be any shape that optimizes the flow of ventilation air past the worker(s).
Structural Integrity: The walls, ceilings and floors must be supported in such a manner that portions of the enclosure will not fall down during normal use.
Openings: It is not necessary that the structure be airtight; openings may be designed to direct air flow. Such openings should be located at a distance from active removal operations. They should be designed to draw air into the enclosure under all anticipated circumstances. In the event that negative pressure is lost, they should be fitted with either HEPA filters to trap dust or automatic trap doors that prevent dust from escaping the enclosure. Openings for exits should be controlled by an airlock or a vestibule.
Barrier Supports: Frames should be constructed to support all unsupported spans of sheeting.
Sheeting: Walls, barriers, ceilings and floors should be lined with two layers of plastic sheeting having a thickness of at least 6 mil.
Seams: Seams in the sheeting material should be minimized to reduce the possibilities of accidental rips and tears in the adhesive or connections. All seams in the sheeting should overlap, be staggered and not be located at corners or wall-to-floor joints.
Areas Within an Enclosure: Each enclosure consists of a work area, a decontamination area, and waste storage area. The work area where the asbestos removal operations occur should be separated from both the waste storage area and the contamination control area by physical curtains, doors, and/or airflow patterns that force any airborne contamination back into the work area.
See subsection (j) of this section for requirements for hygiene facilities.
During egress from the work area, each worker should step into the equipment room, clean tools and equipment, and remove gross contamination from clothing by wet cleaning and HEPA vacuuming. Before entering the shower area, foot coverings, head coverings, hand coverings and coveralls are removed and placed in impervious bags for disposal or cleaning. Airline connections from airline respirators with HEPA disconnects and power cables from powered air-purifying respirators (PAPRs) will be disconnected just prior to entering the showering room.

Establishing Negative Pressure Within the Enclosure
Negative Pressure: Air is to be drawn into the enclosure under all anticipated conditions and exhausted through a HEPA filter for 24 hours a day during the entire duration of the project.
Air Flow Tests: Air flow patterns will be checked before removal operations begin, at least once per operating enclosure. The primary test for air flow is to trace air currents with smoke tubes or other visual methods. Flow checks are made at each opening and at each doorway to demonstrate that air is being drawn into the enclosure and to each worker's position to show that air is being drawn away from the breathing zone.
Monitoring Pressure Within the Enclosure: After the initial air flow patterns have been checked, the static pressure must be monitored within the enclosure. Monitoring may be made using manometers, pressure gauges, or combinations of these devices. It is recommended that they be attached to alarms and strip chart recorders at points identified by the design engineer.
Corrective Actions: If the manometers or pressure gauges demonstrate a reduction in pressure differential below the required level, work should cease and the reason for the change investigated and appropriate changes made. The air flow patterns should be retested before work begins again.
Pressure Differential: The design parameters for static pressure differentials between the inside and outside of enclosures typically range from 0.02 to 0.10 inches of water gauge, depending on conditions. All zones inside the enclosure must have less pressure than the ambient pressure outside of the enclosure (-0.02 inches water gauge differential). Design specifications for the differential vary according to the size, configuration, and shape of the enclosure as well as ambient and mechanical air pressure conditions around the enclosure.
Air Flow Patterns: The flow of air past each worker shall be enhanced by positioning the intakes and exhaust ports to remove contaminated air from the worker's breathing zone, by positioning HEPA vacuum cleaners to draw air from the worker's breathing zone, by forcing relatively uncontaminated air past the worker toward an exhaust port, or by using a combination of methods to reduce the worker's exposure.
Air Handling Unit Exhaust: The exhaust plume from air handling units should be located away from adjacent personnel and intakes for HVAC systems.
Air Flow Volume: The air flow volume (cubic meters per minute) exhausted (removed) from the workplace must exceed the amount of makeup air supplied to the enclosure. The rate of air exhausted from the enclosure should be designed to maintain a negative pressure in the enclosure and air movement past each worker. The volume of air flow removed from the enclosure should replace the volume of the container at every 5 to 15 minutes. Air flow volume will need to be relatively high for large enclosures, enclosures with awkward shapes, enclosures with multiple openings, and operations employing several workers in the enclosure.
Air Flow Velocity: At each opening, the air flow velocity must visibly “drag” air into the enclosure. The velocity of the air flow within the enclosure must be adequate to remove airborne contamination from each worker's breathing zone without disturbing the asbestos-containing material on surfaces.
Airlocks: Airlocks are mechanisms on doors and curtains that control the air flow patterns in the doorways. If air flow occurs, the patterns through doorways must be such that the air flows toward the inside of the enclosure. Sometimes vestibules, double doors, or double curtains are used to prevent air movement through the doorways. To use a vestibule, a worker enters a chamber by opening the door or curtain and then closing the entry before opening the exit door or curtain.
Airlocks should be located between the equipment room and shower room, between the shower room and the clean room, and between the waste storage area and the outside of the enclosure. The air flow between the adjacent rooms must be checked using smoke tubes or other visual tests to ensure the flow patterns draw air toward the work area without producing eddies.

Monitoring for Airborne Concentrations
In addition to the breathing zone samples taken as outlined in subsection (f) of this section, samples of air should be taken to demonstrate the integrity of the enclosure, the cleanliness of the clean room and shower area, and the effectiveness of the HEPA filter. If the clean room is shown to be contaminated, the room must be relocated to an uncontaminated area.
Samples taken near the exhaust of portable ventilation systems must be done with care.

General Work Practices
Preventing dust dispersion is the primary means of controlling the spread of asbestos within the enclosure. Whenever practical, the point of removal should be isolated, enclosed, covered, or shielded from the workers in the area. Waste asbestos containing materials must be bagged during or immediately after removal; the material must remain saturated until the waste container is sealed.
Waste material with sharp points or corners must be placed in hard airtight containers rather than bags.
Whenever possible, large components should be sealed in plastic sheeting and removed intact.
Bags or containers of waste will be removed to the waste holding area, washed, and wrapped in a bag with the appropriate labels.

Cleaning the Work Area
Surfaces within the work area should be kept free of visible dust and debris to the extent feasible. Whenever visible dust appears on surfaces, the surfaces within the enclosure must be cleaned by wiping with a wet sponge, brush, or cloth and then vacuumed with a HEPA vacuum.
All surfaces within the enclosure should be cleaned before the exhaust ventilation system is deactivated and the enclosure is disassembled. An approved encapsulant may be sprayed onto areas after the visible dust has been removed.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix H

Substance Technical Information for Asbestos
Non-Mandatory
I. Substance Identification
A. Substance: “Asbestos” is the name of a class of magnesium-silicate minerals that occur in fibrous form. Minerals that are included in this group are chrysotile, crocidolite, amosite, anthophyllite asbestos, tremolite asbestos, and actinolite asbestos.
B. Asbestos is used in the manufacture of heat-resistant clothing, automotive brake and clutch linings, and a variety of building materials including floor tiles, roofing felts, ceiling tiles, asbestos-cement pipe and sheet, and fire-resistant drywall. Asbestos is also present in pipe and boiler insulation materials, and in sprayed-on materials located on beams, in crawlspaces, and between walls.
C. The potential for an asbestos-containing product to release breathable fibers depends on its degree of friability. “Friable” means that the material can be crumbled with hand pressure and is therefore likely to emit fibers. The fibrous fluffy sprayed-on materials used for fireproofing, insulation, or sound proofing are considered to be friable, and they readily release airborne fibers if disturbed. Materials such as vinyl-asbestos floor tile or roofing felt are considered non-friable if intact and generally do not emit airborne fibers unless subjected to sanding, sawing and other aggressive operations. Asbestos-cement pipe or sheet can emit airborne fibers if the materials are cut or sawed, or if they are broken. 
D. Permissible exposure: Exposure to airborne asbestos fibers may not exceed 0.1 fibers per cubic centimeter of air (0.1 f/cc) averaged over the 8-hour workday, and 1 fiber per cubic centimeter of air (1.0 f/cc) averaged over a 30 minute work period.
II. Health Hazard Data
A. Asbestos can cause disabling respiratory disease and various types of cancers if the fibers are inhaled. Inhaling or ingesting fibers from contaminated clothing or skin can also result in these diseases. The symptoms of these diseases generally do not appear for 20 or more years after initial exposure.
B. Exposure to asbestos has been shown to cause lung cancer, mesothelioma, and cancer of the stomach and colon. Mesothelioma is a rare cancer of the thin membrane lining of the chest and abdomen. Symptoms of mesothelioma include shortness of breath, pain in the walls of the chest, and/or abdominal pain.
III. Respirators and Protective Clothing
A. Respirators: You are required to wear a respirator when performing tasks that result in asbestos exposure that exceeds the permissible exposure limit (PEL) of 0.1 f/cc and when performing certain designated operations. Air-purifying respirators equipped with a high-efficiency particulate air (HEPA) filter can be used where airborne asbestos fiber concentrations do not exceed 1.0 f/cc; otherwise, more protective respirators such as air-supplied, positive-pressure, full facepiece respirators must be used. Disposable respirators or dust masks are not permitted to be used for asbestos work. For effective protection, respirators must fit your face and head snugly. Your employer is required to conduct fit tests when you are first assigned a respirator and every 6 months thereafter. Respirators should not be loosened or removed in work situations where their use is required.
B. Protective Clothing: You are required to wear protective clothing in work areas where asbestos concentrations exceed the permissible exposure limit (PEL) of 0.1 f/cc.
IV. Disposal Procedures and Clean-up
A. Wastes that are generated by processes where asbestos is present include:
1. Empty asbestos shipping containers.
2. Process wastes such as cuttings, trimmings, or reject material.
3. Housekeeping waste from wet-sweeping or HEPA-vacuuming.
4. Asbestos fireproofing or insulating material that is removed from buildings.
5. Asbestos-containing building products removed during building renovation or demolition.
6. Contaminated disposable protective clothing.
B. Empty shipping bags can be flattened under exhaust hoods and packed into airtight containers for disposal. Empty shipping drums are difficult to clean and should be sealed.
C. Vacuum bags or disposable paper filters should not be cleaned, but should be sprayed with a fine water mist and placed into a labeled waste container.
D. Process waste and housekeeping waste should be wetted with water or a mixture of water and surfactant prior to packaging in disposable containers.
E. Asbestos-containing material that is removed from buildings must be disposed of in leak-tight 6-mil plastic bags, plastic-lined cardboard containers, or plastic-lined metal containers. These wastes, which are removed while wet, should be sealed in containers before they dry out to minimize the release of asbestos fibers during handling.
V. Access to Information
A. Each year, your employer is required to inform you of the information contained in this standard and appendices for asbestos. In addition, your employer must instruct you in the proper work practices for handling asbestos-containing materials, and the correct use of protective equipment.
B. Your employer is required to determine whether you are being exposed to asbestos. Your employer must treat exposure to thermal system insulation and sprayed-on and troweled-on surfacing material as asbestos exposure, unless results of laboratory analysis show that the material does not contain asbestos. You or your representative has the right to observe employee measurements and to record the results obtained. Your employer is required to inform you of your exposure, and, if you are exposed above the permissible exposure limit, he or she is required to inform you of the actions that are being taken to reduce your exposure to within the permissible limit.
C. Your employer is required to keep records of your exposures and medical examinations. These exposure records must be kept for at least thirty (30) years, Medical records must be kept for the period of your employment plus thirty (30) years.
D. Your employer is required to release your exposure and medical records to your physician or designated representative upon your written request. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.

Appendix I

Medical Surveillance Guidelines for Asbestos
Non-Mandatory

I. 	Route of Entry:  Inhalation, Ingestion

II.	Toxicology
Clinical evidence of the adverse effects associated with exposure to asbestos is present in the form of several well-conducted epidemiological studies of occupationally exposed workers, family contacts of workers, and persons living near asbestos mines. These studies have shown a definite association between exposure to asbestos and an increased incidence of lung cancer, pleural and peritoneal mesothelioma, gastrointestinal cancer, and asbestosis. The latter is a disabling fibrotic lung disease that is caused only by exposure to asbestos. Exposure to asbestos has also been associated with an increased incidence of esophageal, kidney, laryngeal, pharyngeal, and buccal cavity cancers. As with other known chronic occupational diseases, disease associated with asbestos generally appears about 20 years following the first occurrence of exposure. There are no known acute effects associated with exposure to asbestos.
Epidemiological studies indicate that the risk of lung cancer among exposed workers who smoke cigarettes is greatly increased over the risk of lung cancer among non-exposed smokers or exposed nonsmokers. These studies suggest that cessation of smoking will reduce the risk of lung cancer for a person exposed to asbestos but will not reduce it to the same level of risk as that existing for an exposed worker who has never smoked.
III. Signs and Symptoms of Exposure-Related Disease
The signs and symptoms of lung cancer or gastrointestinal cancer induced by exposure to asbestos are not unique, except that a chest X-ray of an exposed patient with lung cancer may show pleural plaques, pleural calcification, or pleural fibrosis. Symptoms characteristic of mesothelioma include shortness of breath, pain in the walls of the chest, or abdominal pain. Mesothelioma has a much longer latency period compared with lung cancer (40 years versus 15-20 years), and mesothelioma is therefore likely to be found among workers who were first exposed to asbestos at an early age. Mesothelioma is always fatal.
Asbestosis is pulmonary fibrosis caused by the accumulation of asbestos fibers in the lungs. Symptoms include shortness of breath, coughing, fatigue, and vague feelings of sickness. When the fibrosis worsens, shortness of breath occurs even at rest. The diagnosis of asbestosis is based on a history of exposure to asbestos, the presence of characteristic radiologic changes, end inspiratory crackles (rales), and other clinical features of fibrosing lung disease. Pleural plaques and thickening are observed on X-rays taken during the early stages of the disease. Asbestosis is often a progressive disease even in the absence of continued exposure, although this appears to be a highly individualized characteristic. In severe cases, death may be caused by respiratory or cardiac failure.
IV. Surveillance and Preventive Considerations
As noted above, exposure to asbestos has been linked to an increased risk of lung cancer, mesothelioma, gastrointestinal cancer, and asbestosis among occupationally exposed workers. Adequate screening tests to determine an employee's potential for developing serious chronic diseases, such as cancer, from exposure to asbestos do not presently exist. However, some tests, particularly chest X-rays and pulmonary function tests, may indicate that an employee has been overexposed to asbestos, thus increasing his or her risk of developing exposure-related chronic disease. It is important for the physician to become familiar with the operating conditions in which occupational exposure to asbestos is likely to occur. This is particularly important in evaluating medical and work histories and in conducting physical examinations. When an active employee has been identified as having been overexposed to asbestos, measures taken by the employer to eliminate or mitigate further exposure should also lower the risk of serious long-term consequences. 
The employer is required to institute a medical surveillance program for all employees who are or will be exposed to asbestos at or above the permissible exposure limit (0.1 fiber per cubic centimeter of air). All examinations and procedures must be performed by or under the supervision of a licensed physician, at a reasonable time and place, and at no cost to the employee.
Although broad latitude is given to the physician in prescribing specific tests to be included in the medical surveillance program, the following elements in the routine examination are required: 
(i) Medical and work histories with special emphasis directed to symptoms of the respiratory system, cardiovascular system, and digestive tract.
(ii) Completion of one of the respiratory disease questionnaires contained in Appendix D: Part 1 for the initial examination and part 2 for periodic examinations. 
(iii) A physical examination including a chest X-ray (at the discretion of the examining physician for construction work) and pulmonary function testing that includes measurement of the employee's forced vital capacity (FVC) and forced expiratory volume at one second (FEV1).
(iv) Any laboratory or other test that the examining physician deems by sound medical practice to be necessary or appropriate.
The employer is required to make the prescribed tests available at least annually to those employees covered; more often than specified if recommended by the examining physician; and upon termination of employment, if the employee has not been examined within the past one year period.
The employer is required to provide the physician with the following information: a copy of this standard and appendices; a description of the employee's work assignments as they relate to asbestos exposure; the employee's representative level of exposure to asbestos; a description of any personal protective and respiratory equipment used; and information from previous medical examinations of the affected employee that is not otherwise available to the physician. Making this information available to the physician will aid in the evaluation of the employee's health in relation to assigned duties and fitness to wear personal protective equipment, if required.
The employer is required to obtain a written opinion from the examining physician containing the results of the medical examination; the physician's opinion as to whether the employee has any detected medical conditions that would place the employee at an increased risk of exposure-related disease; any recommended limitations on the employee or on the use of personal protective equipment; and a statement that the employee has been informed by the physician of the results of the medical examination and of any medical conditions related to asbestos exposure that require further explanation or treatment. This written opinion must not reveal specific findings or diagnoses unrelated to exposure to asbestos, and a copy of the opinion must be provided to the affected employee.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3,  Labor Code.

Appendix J

Smoking Cessation Program Information
for Asbestos 

Non-Mandatory
The following organizations provide smoking cessation information.
1. The National Cancer Institute operates a toll free Cancer Information Service (CIS) with trained personnel to help you. Call 1-800-4-CANCER to reach the CIS office serving your area, or write: Office of Cancer Communications, National Cancer Institute, National Institutes of Health, Building 31 Room 10A24, Bethesda, Maryland 20892.
2. American Cancer Society, 3340 Peachtree Road, N.E., Atlanta, Georgia 30026, (404) 320-3333. The American Cancer Society (ACS) is a voluntary organization composed of 58 divisions and 3,100 local units. Through “The Great American Smokeout” in November, the annual Cancer Crusade in April, and numerous educational materials, ACS helps people learn about the health hazards of smoking and become successful ex-smokers.
3. American Heart Association, 7320 Greenville Avenue, Dallas, Texas 75231, (214) 750-5300. The American Heart Association (AHA) is a voluntary organization with 130,000 members (physicians, scientists, and lay persons) in 55 state and regional groups. AHA produces a variety of publications and audiovisual materials about the effects of smoking on the heart. AHA also has developed a guidebook for incorporating a weight-control component into smoking cessation programs.
4. American Lung Association, 1740 Broadway, New York, New York 10019, (212) 245-8000. A voluntary organization of 7,500 members (physicians, nurses, and lay persons), the American Lung Association (ALA) conducts numerous public information programs about the health effects of smoking. ALA has 59 state and 85 local units. The organization actively supports legislation and information campaigns for non-smokers' rights and provides help for smokers who want to quit, for example, through ”Freedom From Smoking,” a self-help smoking cessation program.
5. Office on Smoking and Health, U.S. Department of Health and Human Services, 5600 Fishers Lane, Park Building, Room 110, Rockville, Maryland 20857. The Office on Smoking and Health (OSH) is the Department of Health and Human Services' lead agency in smoking control. OSH has sponsored distribution of publications on smoking-related topics, such as free flyers on relapse after initial quitting, helping a friend or family member quit smoking, the health hazards of smoking, and the effects of parental smoking on teenagers. In Hawaii, on Oahu call 524-1234 (call collect from neighboring islands), Spanish-speaking staff members are available during daytime hours to callers from the following areas: California, Florida, Georgia, Illinois, New Jersey (area code 201), New York, and Texas. Consult your local telephone directory for listings of local chapters.
NOTE

Authority cited: Section 1 42.3. Labor Code. Reference: Section 142.3, Labor Code.

Appendix K

Polarized Light Microscopy of Asbestos 

Non-Mandatory

Method number: ID-191 
Matrix: Bulk
Collection Procedure: Collect approximately 1 to 2 grams of each type of material and place into separate 20 mL scintillation vials. 
Analytical Procedure: A portion of each separate phase is analyzed by gross examination, phase-polar examination, and central stop dispersion microscopy. Commercial manufacturers and products mentioned in this method are for descriptive use only and do not constitute endorsements by USDOL-OSHA. Similar products from other sources may be substituted.

1. Introduction
This method describes the collection and analysis of asbestos bulk materials by light microscopy techniques including phase-polar illumination and central-stop dispersion microscopy. Some terms unique to asbestos analysis are defined below:
Amphibole: A family of minerals whose crystals are formed by long, thin units which have two thin ribbons of double chain silicate with a brucite ribbon in between. The shape of each unit is similar to an “I beam”. Minerals important in asbestos analysis include cummingtonite-grunerite, crocidolite, tremolite-actinolite and anthophyllite.
Asbestos: A term for naturally occurring fibrous minerals. Asbestos includes chrysotile, cummingtonite-grunerite asbestos (amosite), anthophyllite asbestos, tremolite asbestos, crocidolite, actinolite asbestos and any of these minerals which have been chemically treated or altered. The precise chemical formulation of each species varies with the location from which it was mined. Nominal compositions are listed:

Chrysotile Mg3Si2O5(OH)4 
Crocidolite (Riebeckite asbestos) Na2Fe32Fe23Si8O22(OH)2 
Cummingtonite-Grunerite asbestos (Amosite) (Mg,Fe)7Si8O22(OH)2
Tremolite-Actinolite asbestos Ca2(Mg,Fe)5Si8O22(OH)2 
Anthophyllite asbestos (Mg,Fe)7Si8O22(OH)2
Asbestos Fiber: A fiber of asbestos meeting the criteria for a fiber. (See section 3.5. of this Appendix)
Aspect Ratio: The ratio of the length of a fiber to its diameter usually defined as “length : width”, e.g. 3:1.
Brucite: A sheet mineral with the composition Mg(OH)2.
Central Stop Dispersion Staining (microscopy): This is a dark field microscope technique that images particles using only light refracted by the particle, excluding light that travels through the particle unrefracted. This is usually accomplished with a McCrone objective or other arrangement which places a circular stop with apparent aperture equal to the objective aperture in the back focal plane of the microscope.
Cleavage Fragments: Mineral particles formed by the comminution of minerals, especially those characterized by relatively parallel sides and moderate aspect ratio.
Differential Counting: The term applied to the practice of excluding certain kinds of fibers from a phase contrast asbestos count because they are not asbestos.
Fiber: A particle longer than or equal to 5 mm with a length to width ratio greater than or equal to 3:1. This may include cleavage fragments. (see section 3.5 of this appendix).
Phase Contrast: Contrast obtained in the microscope by causing light scattered by small particles to destructively interfere with unscattered light, thereby enhancing the visibility of very small particles and particles with very low intrinsic contrast.
Phase Contrast Microscope: A microscope configured with a phase mask pair to create phase contrast. The technique which uses this is called Phase Contrast Microscopy (PCM).
Phase-Polar Analysis: This is the use of polarized light in a phase contrast microscope. It is used to see the same size fibers that are visible in air filter analysis. Although fibers finer than 1 mm are visible, analysis of these is inferred from analysis of larger bundles that are usually present.
Phase-Polar Microscope: The phase-polar microscope is a phase contrast microscope which has an analyzer, a polarizer, a first order red plate and a rotating phase condenser all in place so that the polarized light image is enhanced by phase contrast.
Sealing Encapsulant: This is a product which can be applied, preferably by spraying, onto an asbestos surface which will seal the surface so that fibers cannot be released.
Serpentine: A mineral family consisting of minerals with the general composition Mg3Si2O5(OH)4 having the magnesium in brucite layer over a silicate layer. Minerals important in asbestos analysis included in this family are chrysotile, lizardite, antigorite.

1.1. History
Light microscopy has been used for well over 100 years for the determination of mineral species. This analysis is carried out using specialized polarizing microscopes as well as bright field microscopes. The identification of minerals is an on-going process with many new minerals described each year. The first recorded use of asbestos was in Finland about 2500 B.C. where the material was used in the mud wattle for the wooden huts the people lived in as well as strengthening for pottery. Adverse health aspects of the mineral were noted nearly 2000 years ago when Pliny the Younger wrote about the poor health of slaves in the asbestos mines. Although known to be injurious for centuries, the first modern references to its toxicity were by the British Labor Inspectorate when it banned asbestos dust from the workplace in 1898. Asbestosis cases were described in the literature after the turn of the century. Cancer was first suspected in the mid 1930's and a causal link to mesothelioma was made in 1965. Because of the public concern for worker and public safety with the use of this material, several different types of analysis were applied to the determination of asbestos content. Light microscopy requires a great deal of experience and craft. Attempts were made to apply less subjective methods to the analysis. X-ray diffraction was partially successful in determining the mineral types but was unable to separate out the fibrous portions from the non-fibrous portions. Also, the minimum detection limit for asbestos analysis by X-ray diffraction (XRD) is about 1%. Differential Thermal Analysis (DTA) was no more successful. These provide useful corroborating information when the presence of asbestos has been shown by microscopy; however, neither can determine the difference between fibrous and non-fibrous minerals when both habits are present. The same is true of Infrared Absorption (IR).
When electron microscopy was applied to asbestos analysis, hundreds of fibers were discovered present too small to be visible in any light microscope. There are two different types of electron microscope used for asbestos analysis: Scanning Electron Microscope (SEM) and Transmission Electron Microscope (TEM). Scanning Electron Microscopy is useful in identifying minerals. The SEM can provide two of the three pieces of information required to identify fibers by electron microscopy: morphology and chemistry. The third is structure as determined by Selected Area Electron Diffraction -- SAED which is performed in the TEM. Although the resolution of the SEM is sufficient for very fine fibers to be seen, accuracy of chemical analysis that can be performed on the fibers varies with fiber diameter in fibers of less than 0.2 mm diameter. The TEM is a powerful tool to identify fibers too small to be resolved by light microscopy and should be used in conjunction with this method when necessary. The TEM can provide all three pieces of information required for fiber identification. Most fibers thicker than 1 mm can adequately be defined in the light microscope. The light microscope remains as the best instrument for the determination of mineral type. This is because the minerals under investigation were first described analytically with the light microscope. It is inexpensive and gives positive identification for most samples analyzed. Further, when optical techniques are inadequate, there is ample indication that alternative techniques should be used for complete identification of the sample.

1.2. Principle
Minerals consist of atoms that may be arranged in random order or in a regular arrangement. Amorphous materials have atoms in random order while crystalline materials have long-range order. Many materials are transparent to light, at least for small particles or for thin sections. The properties of these materials can be investigated by the effect that the material has on light passing through it. The six asbestos minerals are all crystalline with particular properties that have been identified and cataloged. These six minerals are anisotropic. They have a regular array of atoms, but the arrangement is not the same in all directions. Each major direction of the crystal presents a different regularity. Light photons travelling in each of these main directions will encounter different electrical neighborhoods, affecting the path and time of travel. The techniques outlined in this method use the fact that light traveling through fibers or crystals in different directions will behave differently, but predictably. The behavior of the light as it travels through a crystal can be measured and compared with known or determined values to identify the mineral species. Usually, Polarized Light Microscopy (PLM) is performed with strain-free objectives on a bright-field microscope platform. This would limit the resolution of the microscope to about 0.4 mm. Because OSHA requires the counting and identification of fibers visible in phase contrast, the phase contrast platform is used to visualize the fibers with the polarizing elements added into the light path. Polarized light methods cannot identify fibers finer than about 1 mm in diameter even though they are visible. The finest fibers are usually identified by inference from the presence of larger, identifiable fiber bundles. When fibers are present, but not identifiable by light microscopy, use either SEM or TEM to determine the fiber identity.

1.3. Advantages and Disadvantages
The advantages of light microcopy are:
(a) Basic identification of the materials was first performed by light microscopy and gross analysis. This provides a large base of published information against which to check analysis and analytical technique.
(b) The analysis is specific to fibers. The minerals present can exist in asbestiform, fibrous, prismatic, or massive varieties all at the same time. Therefore, bulk methods of analysis such as X-ray diffraction, IR analysis, DTA, etc. are inappropriate where the material is not known to be fibrous.
(c) The analysis is quick, requires little preparation time, and can be performed on-site if a suitably equipped microscope is available.
The disadvantages are:
(a) Even using phase-polar illumination, not all the fibers present may be seen. This is a problem for very low asbestos concentrations where agglomerations or large bundles of fibers may not be present to allow identification by inference.
(b) The method requires a great degree of sophistication on the part of the microscopist. An analyst is only as useful as his mental catalog of images. Therefore, a microscopist's accuracy is enhanced by experience. The mineralogical training of the analyst is very important. It is the basis on which subjective decisions are made.
(c) The method uses only a tiny amount of material for analysis. This may lead to sampling bias and false results (high or low). This is especially true if the sample is severely inhomogeneous.
(d) Fibers may be bound in a matrix and not distinguishable as fibers so identification cannot be made.

1.4. Method Performance
1.4.1. This method can be used for determination of asbestos content from 0 to 100% asbestos. The detection limit has not been adequately determined, although for selected samples, the limit is very low, depending on the number of particles examined. For mostly homogeneous, finely divided samples, with no difficult fibrous interferences, the detection limit is below 1%. For inhomogeneous samples (most samples), the detection limit remains undefined. NIST has conducted proficiency testing of laboratories on a national scale. Although each round is reported statistically with an average, control limits, etc., the results indicate a difficulty in establishing precision especially in the low concentration range. It is suspected that there is significant bias in the low range especially near 1%. EPA tried to remedy this by requiring a mandatory point counting scheme for samples less than 10%. The point counting procedure is tedious, and may introduce significant biases of its own. It has not been incorporated into this method.
1.4.2. The precision and accuracy of the quantitation tests performed in this method are unknown. Concentrations are easier to determine in commercial products where asbestos was deliberately added because the amount is usually more than a few percent. An analyst's results can be “calibrated” against the known amounts added by the manufacturer. For geological samples, the degree of homogeneity affects the precision.
1.4.3. The performance of the method is analyst dependent. The analyst must choose carefully and not necessarily randomly the portions for analysis to assure that detection of asbestos occurs when it is present. For this reason, the analyst must have adequate training in sample preparation, and experience in the location and identification of asbestos in samples. This is usually accomplished through substantial on-the-job training as well as formal education in mineralogy and microscopy.

1.5. Interferences
Any material which is long, thin, and small enough to be viewed under the microscope can be considered an interference for asbestos. There are literally hundreds of interferences in workplaces. The techniques described in this method are normally sufficient to eliminate the interferences. An analyst's success in eliminating the interferences depends on proper training.
Asbestos minerals belong to two mineral families: the serpentines and the amphiboles. In the serpentine family, the only common fibrous mineral is chrysotile. Occasionally, the mineral antigorite occurs in a fibril habit with morphology similar to the amphiboles. The amphibole minerals consist of a score of different minerals of which only five are regulated by federal standard: amosite, crocidolite, anthophyllite asbestos, tremolite asbestos and actinolite asbestos. These are the only amphibole minerals that have been commercially exploited for their fibrous properties; however, the rest can and do occur occasionally in asbestiform habit.
In addition to the related mineral interferences, other minerals common in building material may present a problem for some microscopists: gypsum, anhydrite, brucite, quartz fibers, talc fibers or ribbons, wollastonite, perlite, attapulgite, etc. Other fibrous materials commonly present in workplaces are: fiberglass, mineral wool, ceramic wool, refractory ceramic fibers, kevlar, nomex, synthetic fibers, graphite or carbon fibers, cellulose (paper or wood) fibers, metal fibers, etc.
Matrix embedding material can sometimes be a negative interference. The analyst may not be able to easily extract the fibers from the matrix in order to use the method. Where possible, remove the matrix before the analysis, taking careful note of the loss of weight. Some common matrix materials are: vinyl, rubber, tar, paint, plant fiber, cement, and epoxy. A further negative interference is that the asbestos fibers themselves may be either too small to be seen in Phase Contrast Microscopy (PCM) or of a very low fibrous quality, having the appearance of plant fibers. The analyst's ability to deal with these materials increases with experience.

1.6. Uses and Occupational Exposure
Asbestos is ubiquitous in the environment. More than 40% of the land area of the United States is composed of minerals which may contain asbestos. Fortunately, the actual formation of great amounts of asbestos is relatively rare. Nonetheless, there are locations in which environmental exposure can be severe such as in the Serpentine Hills of California.
There are thousands of uses for asbestos in industry and the home. Asbestos abatement workers are the most current segment of the population to have occupational exposure to great amounts of asbestos. If the material is undisturbed, there is no exposure. Exposure occurs when the asbestos-containing material is abraded or otherwise disturbed during maintenance operations or some other activity. Approximately 95% of the asbestos in place in the United States is chrysotile.
Amosite and crocidolite make up nearly all the difference. Tremolite and anthophyllite make up a very small percentage. Tremolite is found in extremely small amounts in certain chrysotile deposits. Actinolite exposure is probably greatest from environmental sources, but has been identified in vermiculite containing, sprayed-on insulating materials which may have been certified as asbestos-free.

1.7. Physical and Chemical Properties
The nominal chemical compositions for the asbestos minerals were given in Section 1. Compared to cleavage fragments of the same minerals, asbestiform fibers possess a high tensile strength along the fiber axis. They are chemically inert, noncombustible, and heat resistant. Except for chrysotile, they are insoluble in Hydrochloric acid (HCl). Chrysotile is slightly soluble in HCl. Asbestos has high electrical resistance and good sound absorbing characteristics. It can be woven into cables, fabrics or other textiles, or matted into papers, felts, and mats.

1.8. Toxicology (This Section is for Information Only and Should Not Be Taken as OSHA Policy)
Possible physiologic results of respiratory exposure to asbestos are mesothelioma of the pleura or peritoneum, interstitial fibrosis, asbestosis, pneumoconiosis, or respiratory cancer. The possible consequences of asbestos exposure are detailed in the NIOSH Criteria Document or in the OSHA Asbestos Standards 29 CFR 1910.1001, 29 CFR 1926.1101, and 29 CFR 1915.1001.

2. Sampling Procedure
2.1. Equipment for sampling
(a) Tube or cork borer sampling device
(b) Knife
(c) 20 mL scintillation vial or similar vial
(d) Sealing encapsulant

2.2. Safety Precautions
Asbestos is a known carcinogen. Take care when sampling. While in an asbestos-containing atmosphere, a properly selected and fit-tested respirator should be worn. Take samples in a manner to cause the least amount of dust. Follow these general guidelines:
(a) Do not make unnecessary dust.
(b) Take only a small amount (1 to 2 g).
(c) Tightly close the sample container.
(d) Use encapsulant to seal the spot where the sample was taken, if necessary.

2.3. Sampling Procedure
Samples of any suspect material should be taken from an inconspicuous place. Where the material is to remain, seal the sampling wound with an encapsulant to eliminate the potential for exposure from the sample site. Microscopy requires only a few milligrams of material. The amount that will fill a 20 mL scintillation vial is more than adequate. Be sure to collect samples from all layers and phases of material. If possible, make separate samples of each different phase of the material. This will aid in determining the actual hazard. DO NOT USE ENVELOPES, PLASTIC OR PAPER BAGS OF ANY KIND TO COLLECT SAMPLES. The use of plastic bags presents a contamination hazard to laboratory personnel and to other samples. When these containers are opened, a bellows effect blows fibers out of the container onto everything, including the person opening the container.
If a cork-borer type sampler is available, push the tube through the material all the way, so that all layers of material are sampled. Some samplers are intended to be disposable. These should be capped and sent to the laboratory. If a non-disposable cork borer is used, empty the contents into a scintillation vial and send to the laboratory. Vigorously and completely clean the cork borer between samples.

2.4. Shipment
Samples packed in glass vials must not touch or they might break in shipment.
(a) Seal the samples with a sample seal over the end to guard against tampering and to identify the sample.
(b) Package the bulk samples in separate packages from the air samples. They may cross-contaminate each other and will invalidate the results of the air samples.
(c) Include identifying paperwork with the samples, but not in contact with the suspected asbestos.
(d) To maintain sample accountability, ship the samples by certified mail, overnight express, or hand carry them to the laboratory.

3. Analysis
The analysis of asbestos samples can be divided into two major parts: sample preparation and microscopy. Because of the different asbestos uses that may be encountered by the analyst, each sample may need different preparation steps. The choices are outlined below. There are several different tests that are performed to identify the asbestos species and determine the percentage. They will be explained below.

3.1. Safety
(a) Do not create unnecessary dust. Handle the samples in HEPA- filter equipped hoods. If samples are received in bags, envelopes or other inappropriate container, open them only in a hood having a face velocity at or greater than 100 fpm. Transfer a small amount to a scintillation vial and only handle the smaller amount.
(b) Open samples in a hood, never in the open lab area.
(c) Index of refraction oils can be toxic. Take care not to get this material on the skin. Wash immediately with soap and water if this happens.
(d) Samples that have been heated in the muffle furnace or the drying oven may be hot. Handle them with tongs until they are cool enough to handle.
(e) Some of the solvents used, such as THF (tetrahydrofuran), are toxic and should only be handled in an appropriate fume hood and according to instructions given in the Material Safety Data Sheet (MSDS).

3.2. Equipment
(a) Phase contrast microscope with 10x, 16x and 40x objectives, 10x wide-field eyepieces, G-22 Walton-Beckett graticule, Whipple disk, polarizer, analyzer and first order red or gypsum plate, 100 Watt illuminator, rotating position condenser with oversize phase rings, central stop dispersion objective, Kohler illumination and a rotating mechanical stage. 
(b) Stereo microscope with reflected light illumination, transmitted light illumination, polarizer, analyzer and first order red or gypsum plate, and rotating stage.
(c) Negative pressure hood for the stereo microscope
(d) Muffle furnace capable of 600 oC
(e) Drying oven capable of 50 -- 150 oC
(f) Aluminum specimen pans
(g) Tongs for handling samples in the furnace
(h) High dispersion index of refraction oils (Special for dispersion staining.)

	n = 1.550 
	n = 1.585 
	n = 1.590 
	n = 1.605 
	n = 1.620 
	n = 1.670 
	n = 1.680 
	n = 1.690
(i) A set of index of refraction oils from about n=1.350 to n=2.000 in n=0.005 increments. (Standard for Becke line analysis.) 
(j) Glass slides with painted or frosted ends 1x3 inches 1mm thick, precleaned.
(k) Cover Slips 22x22 mm, #1 1/2
(l) Paper clips or dissection needles
(m) Hand grinder
(n) Scalpel with both #10 and #11 blades
(o) 0.1 molar HCl
(p) Decalcifying solution (Baxter Scientific Products) 
Ethylenediaminetetraacetic Acid, Tetrasodium 0.7 g/l 
Sodium Potassium Tartrate 8.0 mg/liter 
Hydrochloric Acid 99.2 g/liter 
Sodium Tartrate 0.14 g/liter 
(q) Tetrahydrofuran (THF)
(r) Hotplate capable of 60 deg.C
(s) Balance
(t) Hacksaw blade
(u) Ruby mortar and pestle

3.3. Sample Pre-Preparation
Sample preparation begins with pre-preparation which may include chemical reduction of the matrix, heating the sample to dryness or heating in the muffle furnace. The end result is a sample which has been reduced to a powder that is sufficiently fine to fit under the cover slip. Analyze different phases of samples separately, e.g., tile and the tile mastic should be analyzed separately as the mastic may contain asbestos while the tile may not.
(a) Wet Samples
Samples with a high water content will not give the proper dispersion colors and must be dried prior to sample mounting. Remove the lid of the scintillation vial, place the bottle in the drying oven and heat at 100 oC to dryness (usually about 2 h). Samples which are not submitted to the lab in glass must be removed and placed in glass vials or aluminum weighing pans before placing them in the drying oven.
(b) Samples With Organic Interference -- Muffle Furnace 
These may include samples with tar as a matrix, vinyl asbestos tile, or any other organic that can be reduced by heating. Remove the sample from the vial and weigh in a balance to determine the weight of the submitted portion. Place the sample in a muffle furnace at 500 oC for 1 to 2 h or until all obvious organic material has been removed. Retrieve, cool and weigh again to determine the weight loss on ignition. This is necessary to determine the asbestos content of the submitted sample, because the analyst will be looking at a reduced sample.

Note: Heating above 600 oC will cause the sample to undergo a structural change which, given sufficient time, will convert the chrysotile to forsterite. Heating even at lower temperatures for 1 to 2 h may have a measurable effect on the optical properties of the minerals. If the analyst is unsure of what to expect, a sample of standard asbestos should be heated to the same temperature for the same length of time so that it can be examined for the proper interpretation.
(c) Samples With Organic Interference -- THF
Vinyl asbestos tile is the most common material treated with this solvent, although, substances containing tar will sometimes yield to this treatment. Select a portion of the material and then grind it up if possible. Weigh the sample and place it in a test tube. Add sufficient THF to dissolve the organic matrix. This is usually about 4 to 5 mL. Remember, THF is highly flammable. Filter the remaining material through a tared silver membrane, dry and weigh to determine how much is left after the solvent extraction. Further process the sample to remove carbonate or mount directly.
(d) Samples With Carbonate Interference
Carbonate material is often found on fibers and sometimes must be removed in order to perform dispersion microscopy. Weigh out a portion of the material and place it in a test tube. Add a sufficient amount of 0.1 M HCl or decalcifying solution in the tube to react all the carbonate as evidenced by gas formation; i.e., when the gas bubbles stop, add a little more solution. If no more gas forms, the reaction is complete. Filter the material out through a tared silver membrane, dry and weigh to determine the weight lost.

3.4. Sample Preparation
Samples must be prepared so that accurate determination can be made of the asbestos type and amount present. The following steps are carried out in the low-flow hood (a low-flow hood has less than 50 fpm flow):
(1) If the sample has large lumps, is hard, or cannot be made to lie under a cover slip, the grain size must be reduced. Place a small amount between two slides and grind the material between them or grind a small amount in a clean mortar and pestle. The choice of whether to use an alumina, ruby, or diamond mortar depends on the hardness of the material. Impact damage can alter the asbestos mineral if too much mechanical shock occurs. (Freezer mills can completely destroy the observable crystallinity of asbestos and should not be used). For some samples, a portion of material can be shaved off with a scalpel, ground off with a hand grinder or hack saw blade.
The preparation tools should either be disposable or cleaned thoroughly. Use vigorous scrubbing to loosen the fibers during the washing. Rinse the implements with copious amounts of water and air-dry in a dust-free environment.
(2) If the sample is powder or has been reduced as in (1) above, it is ready to mount. Place a glass slide on a piece of optical tissue and write the identification on the painted or frosted end. Place two drops of index of refraction medium n=1.550 on the slide. (The medium n=1.550 is chosen because it is the matching index for chrysotile.) Dip the end of a clean paper-clip or dissecting needle into the droplet of refraction medium on the slide to moisten it. Then dip the probe into the powder sample. Transfer what sticks on the probe to the slide. The material on the end of the probe should have a diameter of about 3 mm for a good mount. If the material is very fine, less sample may be appropriate. For non-powder samples such as fiber mats, forceps should be used to transfer a small amount of material to the slide. Stir the material in the medium on the slide, spreading it out and making the preparation as uniform as possible. Place a cover-slip on the preparation by gently lowering onto the slide and allowing it to fall “trapdoor” fashion on the preparation to push out any bubbles. Press gently on the cover slip to even out the distribution of particulate on the slide. If there is insufficient mounting oil on the slide, one or two drops may be placed near the edge of the coverslip on the slide. Capillary action will draw the necessary amount of liquid into the preparation. Remove excess oil with the point of a laboratory wiper.
Treat at least two different areas of each phase in this fashion. Choose representative areas of the sample. It my be useful to select particular areas or fibers for analysis. This is useful to identify asbestos in severely inhomogeneous samples.
When it is determined that amphiboles may be present, repeat the above process using the appropriate high-dispersion oils until an identification is made or all six asbestos minerals have been ruled out. Note that percent determination must be done in the index medium 1.550 because amphiboles tend to disappear in their matching mediums.

3.5. Analytical procedure

Note: This method presumes some knowledge of mineralogy and optical petrography.
The analysis consists of three parts: The determination of whether there is asbestos present, what type is present, and the determination of how much is present. The general flow of the analysis is:
(1) Gross examination.
(2) Examination under polarized light on the stereo microscope.
(3) Examination by phase-polar illumination on the compound phase microscope.
(4) Determination of species by dispersion stain. Examination by Becke line analysis may also be used; however, this is usually more cumbersome for asbestos determination.
(5) Difficult samples may need to be analyzed by SEM or TEM, or the results from those techniques combined with light microscopy for a definitive identification.
Identification of a particle as asbestos requires that it be asbestiform. Description of particles should follow the suggestion of Campbell. (Figure 1 of this appendix)

View Graphic

Figure 1. Particle definitions showing mineral growth habits. 
From the U.S. Bureau of Mines
For the purpose of regulation, the mineral must be one of the six minerals covered and must be in the asbestos growth habit. Large specimen samples of asbestos generally have the gross appearance of wood. Fibers are easily parted from it. Asbestos fibers are very long compared with their widths. The fibers have a very high tensile strength as demonstrated by bending without breaking. Asbestos fibers exist in bundles that are easily parted, show longitudinal fine structure and may be tufted at the ends showing “bundle of sticks” morphology. In the microscope some of these properties may not be observable. Amphiboles do not always show striations along their length even when they are asbestos. Neither will they always show tufting. They generally do not show a curved nature except for very long fibers. Asbestos and asbestiform minerals are usually characterized in groups by extremely high aspect ratios (greater than 100:1). While aspect ratio analysis is useful for characterizing populations of fibers, it cannot be used to identify individual fibers of intermediate to short aspect ratio. Observation of many fibers is often necessary to determine whether a sample consists of “cleavage fragments” or of asbestos fibers.
Most cleavage fragments of the asbestos minerals are easily distinguishable from true asbestos fibers. This is because true cleavage fragments usually have larger diameters than 1 mm. Internal structure of particles larger than this usually shows them to have no internal fibrillar structure. In addition, cleavage fragments of the monoclinic amphiboles show inclined extinction under crossed polars with no compensator. Asbestos fibers usually show extinction at zero degrees or ambiguous extinction if any at all. Morphologically, the larger cleavage fragments are obvious by their blunt or stepped ends showing prismatic habit. Also, they tend to be circular rather than filiform.
Where the particles are less than 1 mm in diameter and have an aspect ratio greater than or equal to 3:1, it is recommended that the sample be analyzed by SEM or TEM if there is any question whether the fibers are cleavage fragments or asbestiform particles. Care must be taken when analyzing by electron microscopy because the interferences are different from those in light microscopy and may structurally be very similar to asbestos. The classic interference is between anthophyllite and biopyribole or intermediate fiber. Use the same morphological clues for electron microscopy as are used for light microscopy, e.g. fibril splitting, internal longitudinal striation, fraying, curvature, etc.
(1) Gross examination:
Examine the sample, preferably in the glass vial. Determine the presence of any obvious fibrous component. Estimate a percentage based on previous experience and current observation. Determine whether any prepreparation is necessary. Determine the number of phases present. This step may be carried out or augmented by observation at 6 to 40 x under a stereo microscope.
(2) After performing any necessary pre-preparation, prepare slides of each phase as described above. Two preparations of the same phase in the same index medium can be made side-by-side on the same glass for convenience. Examine with the polarizing stereo microscope. Estimate the percentage of asbestos based on the amount of birefringent fiber present.
(3) Examine the slides on the phase-polar microscopes at magnifications of 160 and 400x. Note the morphology of the fibers. Long, thin, very straight fibers with little curvature are indicative of fibers from the amphibole family. Curved, wavy fibers are usually indicative of chrysotile. Estimate the percentage of asbestos on the phase-polar microscope under conditions of crossed polars and a gypsum plate. Fibers smaller than 1.0 mm in thickness must be identified by inference to the presence of larger, identifiable fibers and morphology. If no larger fibers are visible, electron microscopy should be performed. At this point, only a tentative identification can be made. Full identification must be made with dispersion microscopy. Details of the tests are included in the appendices.
(4) Once fibers have been determined to be present, they must be identified. Adjust the microscope for dispersion mode and observe the fibers. The microscope has a rotating stage, one polarizing element, and a system for generating dark-field dispersion microscopy (see Section 4.6. of this appendix). Align a fiber with its length parallel to the polarizer and note the color of the Becke lines. Rotate the stage to bring the fiber length perpendicular to the polarizer and note the color. Repeat this process for every fiber or fiber bundle examined. The colors must be consistent with the colors generated by standard asbestos reference materials for a positive identification. In n=1.550, amphiboles will generally show a yellow to straw-yellow color indicating that the fiber indices of refraction are higher than the liquid. If long, thin fibers are noted and the colors are yellow, prepare further slides as above in the suggested matching liquids listed below:

	Type of asbestos	 Index of refraction

Chrysotile		n = 1.550. 
Amosite		n = 1.670 or 1.680. 
Crocidolite		n = 1.690. 
Anthophyllite		n = 1.605 and 1.620. 
Tremolite		n = 1.605 and 1.620. 
Actinolite		n = 1.620.

Where more than one liquid is suggested, the first is preferred; however, in some cases this liquid will not give good dispersion color. Take care to avoid interferences in the other liquid; e.g., wollastonite in n=1.620 will give the same colors as tremolite. In n=1.605 wollastonite will appear yellow in all directions. Wollastonite may be determined under crossed polars as it will change from blue to yellow as it is rotated along its fiber axis by tapping on the cover slip. Asbestos minerals will not change in this way.
Determination of the angle of extinction may, when present, aid in the determination of anthophyllite from tremolite. True asbestos fibers usually have 0 deg. extinction or ambiguous extinction, while cleavage fragments have more definite extinction.
Continue analysis until both preparations have been examined and all present species of asbestos are identified. If there are no fibers present, or there is less than 0.1% present, end the analysis with the minimum number of slides (2).
(5) Some fibers have a coating on them which makes dispersion microscopy very difficult or impossible. Becke line analysis or electron microscopy may be performed in those cases. Determine the percentage by light microscopy. TEM analysis tends to overestimate the actual percentage present.
(6) Percentage determination is an estimate of occluded area, tempered by gross observation. Gross observation information is used to make sure that the high magnification microscopy does not greatly over-or under-estimate the amount of fiber present. This part of the analysis requires a great deal of experience. Satisfactory models for asbestos content analysis have not yet been developed, although some models based on metallurgical grain-size determination have found some utility. Estimation is more easily handled in situations where the grain sizes visible at about 160x are about the same and the sample is relatively homogeneous.
View all of the area under the cover slip to make the percentage determination. View the fields while moving the stage, paying attention to the clumps of material. These are not usually the best areas to perform dispersion microscopy because of the interference from other materials. But, they are the areas most likely to represent the accurate percentage in the sample. Small amounts of asbestos require slower scanning and more frequent analysis of individual fields.
Report the area occluded by asbestos as the concentration. This estimate does not generally take into consideration the difference in density of the different species present in the sample. For most samples this is adequate. Simulation studies with similar materials must be carried out to apply microvisual estimation for that purpose and is beyond the scope of this procedure.
(7) Where successive concentrations have been made by chemical or physical means, the amount reported is the percentage of the material in the “as submitted” or original state. The percentage determined by microscopy is multiplied by the fractions remaining after pre-preparation steps to give the percentage in the original sample. For example:
Step 1. 60% remains after heating at 550 deg.C for 1 h.
Step 2. 30% of the residue of step 1 remains after dissolution of carbonate in 0.1 m HCl.
Step 3. Microvisual estimation determines that 5% of the sample is chrysotile asbestos.
The reported result is:

R = (Microvisual result in percent) x (Fraction remaining after step 2) 
 x (Fraction remaining of original sample after step 1)

R = (5) x (.30) x (.60) = 0.9%
(8) Report the percent and type of asbestos present. For samples where asbestos was identified, but is less than 1.0%, report “Asbestos present, less than 1.0%.” There must have been at least two observed fibers or fiber bundles in the two preparations to be reported as present. For samples where asbestos was not seen, report as “None Detected.”

4. Auxiliary Information
Because of the subjective nature of asbestos analysis, certain concepts and procedures need to be discussed in more depth. This information will help the analyst understand why some of the procedures are carried out the way they are.

4. 1. Light
Light is electromagnetic energy. It travels from its source in packets called quanta. It is instructive to consider light as a plane wave. The light has a direction of travel. Perpendicular to this and mutually perpendicular to each other, are two vector components. One is the magnetic vector and the other is the electric vector. We shall only be concerned with the electric vector. In this description, the interaction of the vector and the mineral will describe all the observable phenomena. From a light source such a microscope illuminator, light travels in all different direction from the filament.
In any given direction away from the filament, the electric vector is perpendicular to the direction of travel of a light ray. While perpendicular, its orientation is random about the travel axis. If the electric vectors from all the light rays were lined up by passing the light through a filter that would only let light rays with electric vectors oriented in one direction pass, the light would then be POLARIZED.
Polarized light interacts with matter in the direction of the electric vector. This is the polarization direction. Using this property it is possible to use polarized light to probe different materials and identify them by how they interact with light.
The speed of light in a vacuum is a constant at about 2.99 x 10(8) m/s. When light travels in different materials such as air, water, minerals or oil, it does not travel at this speed. It travels slower. This slowing is a function of both the material through which the light is traveling and the wavelength or frequency of the light. In general, the more dense the material, the slower the light travels. Also, generally, the higher the frequency, the slower the light will travel. The ratio of the speed of light in a vacuum to that in a material is called the index of refraction (n). It is usually measured at 589 nm (the sodium D line). If white light (light containing all the visible wavelengths) travels through a material, rays of longer wavelengths will travel faster than those of shorter wavelengths, this separation is called dispersion. Dispersion is used as an identifier of materials as described in Section 4.6.

4.2. Material Properties
Materials are either amorphous or crystalline. The difference between these two descriptions depends on the positions of the atoms in them. The atoms in amorphous materials are randomly arranged with no long range order. An example of an amorphous material is glass. The atoms in crystalline materials, on the other hand, are in regular arrays and have long range order. Most of the atoms can be found in highly predictable locations. Examples of crystalline material are salt, gold, and the asbestos minerals. 
It is beyond the scope of this method to describe the different types of crystalline materials that can be found, or the full description of the classes into which they can fall. However, some general crystallography is provided below to give a foundation to the procedures described.
With the exception of anthophyllite, all the asbestos minerals belong to the monoclinic crystal type. The unit cell is the basic repeating unit of the crystal and for monoclinic crystals can be described as having three unequal sides, two 90 deg. angles and one angle not equal to 90 deg.. The orthorhombic group, of which anthophyllite is a member has three unequal sides and three 90 deg. angles. The unequal sides are a consequence of the complexity of fitting the different atoms into the unit cell. Although the atoms are in a regular array, that array is not symmetrical in all directions. There is long range order in the three major directions of the crystal. However, the order is different in each of the three directions. This has the effect that the index of refraction is different in each of the three directions. Using polarized light, we can investigate the index of refraction in each of the directions and identify the mineral or material under investigation. The indices alpha, beta, and gamma are used to identify the lowest, middle, and highest index of refraction respectively. The x direction, associated with alpha is called the fast axis. Conversely, the z direction is associated with gamma and is the slow direction. Crocidolite has alpha along the fiber length making it “length-fast”. The remainder of the asbestos minerals have the gamma axis along the fiber length. They are called “length-slow”. This orientation to fiber length is used to aid in the identification of asbestos.

4.3. Polarized Light Technique
Polarized light microscopy as described in this section uses the phase-polar microscope described in Section 3.2. A phase contrast microscope is fitted with two polarizing elements, one below and one above the sample. The polarizers have their polarization directions at right angles to each other.
Depending on the tests performed, there may be a compensator between these two polarizing elements. Light emerging from a polarizing element has its electric vector pointing in the polarization direction of the element. The light will not be subsequently transmitted through a second element set at a right angle to the first element. Unless the light is altered as it passes from one element to the other, there is no transmission of light.

4.4. Angle of Extinction
Crystals which have different crystal regularity in two or three main directions are said to be anisotropic. They have a different index of refraction in each of the main directions. When such a crystal is inserted between the crossed polars, the field of view is no longer dark but shows the crystal in color. The color depends on the properties of the crystal. The light acts as if it travels through the crystal along the optical axes. If a crystal optical axis were lined up along one of the polarizing directions (either the polarizer or the analyzer) the light would appear to travel only in that direction, and it would blink out or go dark. The difference in degrees between the fiber direction and the angle at which it blinks out is called the angle of extinction. When this angle can be measured, it is useful in identifying the mineral. The procedure for measuring the angle of extinction is to first identify the polarization direction in the microscope. A commercial alignment slide can be used to establish the polarization directions or use anthophyllite or another suitable mineral. This mineral has a zero degree angle of extinction and will go dark to extinction as it aligns with the polarization directions. When a fiber of anthophyllite has gone to extinction, align the eyepiece reticle or graticule with the fiber so that there is a visual cue as to the direction of polarization in the field of view. Tape or otherwise secure the eyepiece in this position so it will not shift.
After the polarization direction has been identified in the field of view, move the particle of interest to the center of the field of view and align it with the polarization direction. For fibers, align the fiber along this direction. Note the angular reading of the rotating stage. Looking at the particle, rotate the stage until the fiber goes dark or “blinks out”. Again note the reading of the stage. The difference in the first reading and the second is an angle of extinction.
The angle measured may vary as the orientation of the fiber changes about its long axis. Tables of mineralogical data usually report the maximum angle of extinction. Asbestos forming minerals, when they exhibit an angle of extinction, usually do show an angle of extinction close to the reported maximum, or as appropriate depending on the substitution chemistry.

4.5. Crossed Polars with Compensator
When the optical axes of a crystal are not lined up along one of the polarizing directions (either the polarizer or the analyzer) part of the light travels along one axis and part travels along the other visible axis. This is characteristic of birefringent materials.
The color depends on the difference of the two visible indices of refraction and the thickness of the crystal. The maximum difference available is the difference between the alpha and the gamma axes. This maximum difference is usually tabulated as the birefringence of the crystal.
For this test, align the fiber at 45 deg. to the polarization directions in order to maximize the contribution to each of the optical axes. The colors seen are called retardation colors. They arise from the recombination of light which has traveled through the two separate directions of the crystal. One of the rays is retarded behind the other since the light in that direction travels slower. On recombination, some of the colors which make up white light are enhanced by constructive interference and some are suppressed by destructive interference. The result is a color dependent on the difference between the indices and the thickness of the crystal. The proper colors, thicknesses, and retardations are shown on a Michel-Levy chart. The three items, retardation, thickness and birefringence are related by the following relationship:

R = t (n gamma - n alpha) 
R = retardation, t = crystal thickness in mm, and 
n alpha, gamma = indices of refraction.
Examination of the equation for asbestos minerals reveals that the visible colors for almost all common asbestos minerals and fiber sizes are shades of gray and black. The eye is relatively poor at discriminating different shades of gray. It is very good at discriminating different colors. In order to compensate for the low retardation, a compensator is added to the light train between the polarization elements. The compensator used for this test is a gypsum plate of known thickness and birefringence. Such a compensator when oriented at 45 deg. to the polarizer direction, provides a retardation of 530 nm of the 530 nm wavelength color. This enhances the red color and gives the background a characteristic red to red-magenta color. If this “full-wave” compensator is in place when the asbestos preparation is inserted into the light train, the colors seen on the fibers are quite different. Gypsum, like asbestos has a fast axis and a slow axis. When a fiber is aligned with its fast axis in the same direction as the fast axis of the gypsum plate, the ray vibrating in the slow direction is retarded by both the asbestos and the gypsum. This results in a higher retardation than would be present for either of the two minerals. The color seen is a second order blue. When the fiber is rotated 90 deg. using the rotating stage, the slow direction of the fiber is now aligned with the fast direction of the gypsum and the fast direction of the fiber is aligned with the slow direction of the gypsum. Thus, one ray vibrates faster in the fast direction of the gypsum, and slower in the slow direction of the fiber; the other ray will vibrate slower in the slow direction of the gypsum and faster in the fast direction of the fiber. In this case, the effect is subtractive and the color seen is a first order yellow. As long as the fiber thickness does not add appreciably to the color, the same basic colors will be seen for all asbestos types except crocidolite. In crocidolite the colors will be weaker, may be in the opposite directions, and will be altered by the blue absorption color natural to crocidolite. Hundreds of other materials will give the same colors as asbestos, and therefore, this test is not definitive for asbestos. The test is useful in discriminating against fiberglass or other amorphous fibers such as some synthetic fibers. Certain synthetic fibers will show retardation colors different than asbestos; however, there are some forms of polyethylene and aramid which will show morphology and retardation colors similar to asbestos minerals. This test must be supplemented with a positive identification test when birefringent fibers are present which cannot be excluded by morphology. This test is relatively ineffective for use on fibers less than 1 mm in diameter. For positive confirmation TEM or SEM should be used if no larger bundles or fibers are visible.

4.6. Dispersion Staining
Dispersion microscopy or dispersion staining is the method of choice for the identification of asbestos in bulk materials. Becke line analysis is used by some laboratories and yields the same results as does dispersion staining for asbestos and can be used in lieu of dispersion staining. Dispersion staining is performed on the same platform as the phase-polar analysis with the analyzer and compensator removed. One polarizing element remains to define the direction of the light so that the different indices of refraction of the fibers may be separately determined. Dispersion microscopy is a dark-field technique when used for asbestos. Particles are imaged with scattered light. Light which is unscattered is blocked from reaching the eye either by the back field image mask in a McCrone objective or a back field image mask in the phase condenser. The most convenient method is to use the rotating phase condenser to move an oversized phase ring into place. The ideal size for this ring is for the central disk to be just larger than the objective entry aperture as viewed in the back focal plane. The larger the disk, the less scattered light reaches the eye. This will have the effect of diminishing the intensity of dispersion color and will shift the actual color seen. The colors seen vary even on microscopes from the same manufacturer. This is due to the different bands of wavelength exclusion by different mask sizes. The mask may either reside in the condenser or in the objective back focal plane. It is imperative that the analyst determine by experimentation with asbestos standards what the appropriate colors should be for each asbestos type. The colors depend also on the temperature of the preparation and the exact chemistry of the asbestos. Therefore, some slight differences from the standards should be allowed. This is not a serious problem for commercial asbestos uses. This technique is used for identification of the indices of refraction for fibers by recognition of color. There is no direct numerical readout of the index of refraction. Correlation of color to actual index of refraction is possible by referral to published conversion tables. This is not necessary for the analysis of asbestos. Recognition of appropriate colors along with the proper morphology are deemed sufficient to identify the commercial asbestos minerals. Other techniques including SEM, TEM, and XRD may be required to provide additional information in order to identify other types of asbestos
Make a preparation in the suspected matching high dispersion oil, e.g., n=1.550 for chrysotile. Perform the preliminary tests to determine whether the fibers are birefringent or not. Take note of the morphological character. Wavy fibers are indicative of chrysotile while long, straight, thin, frayed fibers are indicative of amphibole asbestos. This can aid in the selection of the appropriate matching oil. The microscope is set up and the polarization direction is noted as in Section 4.4. Align a fiber with the polarization direction. Note the color. This is the color parallel to the polarizer. Then rotate the fiber rotating the stage 90 deg. so that the polarization direction is across the fiber. This is the perpendicular position. Again note the color. Both colors must be consistent with standard asbestos minerals in the correct direction for a positive identification of asbestos. If only one of the colors is correct while the other is not, the identification is not positive. If the colors in both directions are bluish-white, the analyst has chosen a matching index oil which is higher than the correct matching oil, e.g. the analyst has used n=1.620 where chrysotile is present. The next lower oil (Section 3.5.) should be used to prepare another specimen. If the color in both directions is yellow-white to straw-yellow-white, this indicates that the index of the oil is lower than the index of the fiber, e.g. the preparation is in n=1.550 while anthophyllite is present. Select the next higher oil (Section 3.5.) and prepare another slide. Continue in this fashion until a positive identification of all asbestos species present has been made or all possible asbestos species have been ruled out by negative results in this test. Certain plant fibers can have similar dispersion colors as asbestos. Take care to note and evaluate the morphology of the fibers or remove the plant fibers in pre-preparation. Coating material on the fibers such as carbonate or vinyl may destroy the dispersion color. Usually, there will be some outcropping of fiber which will show the colors sufficient for identification. When this is not the case, treat the sample as described in Section 3.3. and then perform dispersion staining. Some samples will yield to Becke line analysis if they are coated or electron microscopy can be used for identification.

5. References

5.1. Crane, D.T., Asbestos in Air, OSHA method ID160, Revised November 1992.

5.2. Ford, W.E., Dana's Textbook of Mineralogy; Fourth Ed.; John Wiley and Son, New York, 1950, p. vii.

5.3. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 3,20.

5.4. Women Inspectors of Factories. Annual Report for 1898, H.M. Statistical Office, London, p. 170 (1898).

5.5. Selikoff, I.J., Lee, D.H.K., Asbestos and Disease, Academic Press, New York, 1978, pp. 26,30.

5.6. Campbell, W.J., et al, Selected Silicate Minerals and Their Asbestiform Varieties, United States Department of the Interior, Bureau of Mines, Information Circular 8751, 1977.

5.7. Asbestos, Code of Federal Regulations, 29 CFR 1910.1001 and 29 CFR 1926.58.

5.8. National Emission Standards for Hazardous Air Pollutants; Asbestos NESHAP Revision, Federal Register, Vol. 55, No. 224, 20 November 1990, p. 48410.

5.9. Ross, M. The Asbestos Minerals: Definitions, Description, Modes of Formation, Physical and Chemical Properties and Health Risk to the Mining Community, Nation Bureau of Standards Special Publication, Washington, D.C., 1977.

5.10. Lilis, R., Fibrous Zeolites and Endemic Mesothelioma in Cappadocia, Turkey, J. Occ Medicine, 1981, 23,(8),548-550.

5.11. Occupational Exposure to Asbestos -- 1972, U.S. Department of Health Education and Welfare, Public Health Service, Center for Disease Control, National Institute for Occupational Safety and Health, HSM-72-10267.

5.12. Campbell,W.J., et al, Relationship of Mineral Habit to Size Characteristics for Tremolite Fragments and Fibers, United States Department of the Interior, Bureau of Mines, Information Circular 8367, 1979.

5.13. Mefford, D., DCM Laboratory, Denver, private communication, July 1987.

5.14. Deer, W.A., Howie, R.A., Zussman, J., Rock Forming Minerals, Longman, Thetford, UK, 1974.

5.15. Kerr, P.F., Optical Mineralogy; Third Ed. McGraw-Hill, New York, 1959.

5.16. Veblen, D.R. (Ed.), Amphiboles and Other Hydrous Pyriboles -- Mineralogy, Reviews in Mineralogy, Vol 9A, Michigan, 1982, pp 1- 102.

5.17. Dixon, W.C., Applications of Optical Microscopy in the Analysis of Asbestos and Quartz, ACS Symposium Series, No. 120, Analytical Techniques in Occupational Health Chemistry, 1979.

5.18. Polarized Light Microscopy, McCrone Research Institute, Chicago, 1976.

5.19. Asbestos Identification, McCrone Research Institute, G & G printers, Chicago, 1987.

5.20. McCrone, W.C., Calculation of Refractive Indices from Dispersion Staining Data, The Microscope, No 37, Chicago, 1989.

5.21. Levadie, B. (Ed.), Asbestos and Other Health Related Silicates, ASTM Technical Publication 834, ASM, Philadelphia 1982.

5.22. Steel, E. and Wylie, A., Riordan, P.H. (Ed.), Mineralogical Characteristics of Asbestos, Geology of Asbestos Deposits, pp. 93-101, SME-AIME, 1981.

5.23. Zussman, J., The Mineralogy of Asbestos, Asbestos: Properties, Applications and Hazards, pp. 45-67 Wiley, 1979.
NOTE

Authority cited: Section 142.3. Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Change without regulatory effect repealing and adopting new Figure 1 filed 5-19-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).

Appendix L

Work Practices and Engineering Controls for Automotive Brake and Clutch Inspection, Disassembly, Repair and Assembly
 Mandatory
This mandatory appendix specifies engineering controls and work practices that must be implemented by the employer during automotive brake and clutch inspection, disassembly, repair, and assembly operations. Proper use of these engineering controls and work practices by trained employees will reduce employees' asbestos exposure below the permissible exposure level during clutch and brake inspection, disassembly, repair, and assembly operations. The employer shall institute engineering controls and work practices using either the method set forth in subsection [A] or subsection [B] of this appendix, or any other method which the employer can demonstrate to be equivalent in terms of reducing employee exposure to asbestos, as defined, and which meets the requirements described in subsection [C] of this appendix. For those facilities in which no more than 5 pairs of brakes or 5 clutches are inspected, disassembled, reassembled, and/or repaired per week, the method set forth in subsection [D] of this appendix may be used. 
[A] Negative Pressure Enclosure/HEPA Vacuum System Method:
(1) The brake and clutch inspection, disassembly, repair, and assembly operations shall be enclosed to cover and contain the clutch or brake assembly and to prevent the release of asbestos fibers into the worker's breathing zone.
(2) the enclosure shall be sealed tightly and thoroughly inspected for leaks before work begins on brake and clutch inspection, disassembly, repair, and assembly.
(3) The enclosure shall be such that the worker can clearly see the operation and shall provide impermeable sleeves through which the worker can handle the brake and clutch inspection, disassembly, repair and assembly. The integrity of the sleeves and ports shall be examined before work begins.
(4) A HEPA-filtered vacuum shall be employed to maintain the enclosure under negative pressure throughout the operation. Compressed-air may be used to remove asbestos fibers or particles from the enclosure.
(5) The HEPA vacuum shall be used first to loosen the asbestos-containing residue from the brake and clutch parts, and then to evacuate the loosened asbestos-containing material from the enclosure and capture the material in the vacuum filter.
(6) The vacuum's filter, when full, shall be first wetted with a fine mist of water, then removed and placed immediately in an impermeable container, labeled according to subsection (k)(8) of this section, and disposed of according to subsection (l) of this section.
(7) Any spills or releases of asbestos-containing waste material from inside of the enclosure or vacuum hose or vacuum filter shall be immediately cleaned up and disposed of according to subsection (l) of this section.
[B] Low Pressure/Wet Cleaning Method:
(1) A catch basin shall be placed under the brake assembly, positioned to avoid splashes and spills.
(2) The reservoir shall contain water containing an organic solvent or wetting agent. The flow of liquid shall be controlled such that the brake assembly is gently flooded to prevent the asbestos-containing brake dust from becoming airborne.
(3) The aqueous solution shall be allowed to flow between the brake drum and brake support before the drum is removed.
(4) After removing the brake drum, the wheel hub and back of the brake assembly shall be thoroughly wetted to suppress dust.
(5) The brake support plate, brake shoes and brake components used to attach the brake shoes shall be thoroughly washed before removing the old shoes.
(6) In systems using filters, the filters when full shall be first wetted with a fine mist of water, then removed and placed immediately in an impermeable container labeled according to subsection (k)(8) of this section, and disposed of according to subsection (l) of this section.
(7) Any spills of asbsetos-containing aqueous solution or any asbsetos-containing waste material shall be cleamed up immediately and disposed of according to subsection (l) of this section.
(8) The use of dry brushing during low pressure/wet cleaning operations is prohibited.
[C] Equivalent Methods:
An equivalent method is one which has sufficient written detail so that it can be reproduced, and for which it has been demonstrated that the exposures resulting from the equivalent method are equal to or less than the exposures which would result form the use of the method described in subsection [A] of this appendix. For purposes of making this comparison, the employer shall assume that exposures resulting from the use of the method described in subsection [A] of this appendix shall not exceed 0.016 f/cc, as measured by the OSHA reference method and as averaged over at least 18 personal samples.
[D] Wet Method:
(1) A spray bottle, hose nozzle, or other implement capable of delivering a fine mist of water or amended water, or other delivery system capable of delivering water at low pressure, shall be used to first thoroughly wet the brake and clutch parts. Brake and clutch components shall then be wiped clean with a cloth.
(2) The cloth shall be placed in an impermeable container, labeled according to subsection (k)(8) of this section, and then disposed of according to subsection (l) of this section; or the cloth shall be laundered in a way to prevent the release of asbestos fibers in excess of 0.1 fiber per cubic centimeter of air.
(3) Any spills of solvent or any asbstos-containing waste material shall be cleaned up immediately according to subsection (l) of this section.
(4) The use of dry brushing during the wet method operations is prohibited.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
§8359. Chromium (VI).
Note     •     History

(a) Scope. 
(1) This standard applies to occupational exposures to chromium (VI) in all forms and compounds in shipyards, marine terminals, and longshoring, except: 
(2) Exposures that occur in the application of pesticides regulated by the California Department of Pesticide Regulation, the U.S. Environmental Protection Agency or another Federal government agency (e.g., the treatment of wood with preservatives); 
(3) Exposures to portland cement; or 
(4) Where the employer has objective data demonstrating that a material containing chromium or a specific process, operation, or activity involving chromium cannot release dusts, fumes, or mists of chromium (VI) in concentrations at or above 0.5 mg/m3 as an 8-hour time-weighted average (TWA) under any expected conditions of use. 

Note: Exposures to strontium chromate shall comply with the provisions of Section 5155 in addition to this standard. 
(b) Definitions. For the purposes of this section the following definitions apply: 
Action level means a concentration of airborne chromium (VI) of 2.5 micrograms per cubic meter of air (2.5 mg/m3) calculated as an 8-hour time-weighted average (TWA). 
Chromium (VI) [hexavalent chromium or Cr(VI)] means chromium with a valence of positive six, in any form and in any compound. 
Emergency means any occurrence that results, or is likely to result, in an uncontrolled release of chromium (VI). If an incidental release of chromium (VI) can be controlled at the time of release by employees in the immediate release area, or by maintenance personnel, it is not an emergency. 
Employee exposure means the exposure to airborne chromium (VI) that would occur if the employee were not using a respirator. 
High efficiency particulate air [HEPA] filter means a filter that is at least 99.97 percent efficient in removing mono dispersed particles of 0.3 micrometers in diameter or larger. 
Historical monitoring data means data from chromium (VI) monitoring conducted prior to September 19, 2006, obtained during work operations conducted under workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Objective data means information such as air monitoring data from industry-wide surveys or calculations based on the composition or chemical and physical properties of a substance demonstrating the employee exposure to chromium (VI) associated with a particular product or material or a specific process, operation, or activity. The data must reflect workplace conditions closely resembling the processes, types of material, control methods, work practices, and environmental conditions in the employer's current operations. 
Physician or other licensed health care professional [PLHCP] is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently provide or be delegated the responsibility to provide some or all of the particular health care services required by subsection (i) of this section. 
“This section” means this 8359 Chromium (VI) standard. 
(c) Permissible exposure limit (PEL). The employer shall ensure that no employee is exposed to an airborne concentration of chromium (VI) in excess of 5 micrograms per cubic meter of air (5 mg/m3), calculated as an 8-hour time-weighted average (TWA). 
(d) Exposure determination. 
(1) General. Each employer who has a workplace or work operation covered by this section shall determine the 8 hour TWA exposure for each employee exposed to chromium (VI). This determination shall be made in accordance with either subsection (d)(2) or subsection (d)(3) of this section. 
(2) Scheduled monitoring option. 
(A) The employer shall perform initial monitoring to determine the 8 hour TWA exposure for each employee on the basis of a sufficient number of personal breathing zone air samples to accurately characterize full shift exposure on each shift, for each job classification, in each work area. Where an employer does representative sampling instead of sampling all employees in order to meet this requirement, the employer shall sample the employee(s) expected to have the highest chromium (VI) exposures. 
(B) If initial monitoring indicates that employee exposures are below the action level, the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring. 
(C) If monitoring reveals employee exposures to be at or above the action level, the employer shall perform periodic monitoring at least every six months. 
(D) If monitoring reveals employee exposures to be above the PEL, the employer shall perform periodic monitoring at least every three months. 
(E) If periodic monitoring indicates that employee exposures are below the action level, and the result is confirmed by the result of another monitoring taken at least seven days later, the employer may discontinue the monitoring for those employees whose exposures are represented by such monitoring. 
(F) The employer shall perform additional monitoring when there has been any change in the production process, raw materials, equipment, personnel, work practices, or control methods that may result in new or additional exposures to chromium (VI), or when the employer has any reason to believe that new or additional exposures have occurred. 
(3) Performance-oriented option. The employer shall determine the 8 hour TWA exposure for each employee on the basis of any combination of air monitoring data, historical monitoring data, or objective data sufficient to accurately characterize employee exposure to chromium (VI). 
(4) Employee notification of determination results. 
(A) As soon as possible but not more than 5 working days after making an exposure determination in accordance with subsections (d)(2) or (d)(3), the employer shall either post the results in an appropriate location that is accessible to all affected employees or shall notify each affected employee individually in writing of the results. 
(B) Whenever the exposure determination indicates that employee exposure is above the PEL, the employer shall describe in the written notification the corrective action being taken to reduce employee exposure to or below the PEL. 
(5) Accuracy of measurement. Where air monitoring is performed to comply with the requirements of this section, the employer shall use a method of monitoring and analysis that can measure chromium (VI) to within an accuracy of plus or minus 25 percent (+/- 25%) and can produce accurate measurements to within a statistical confidence level of 95 percent for airborne concentrations at or above the action level. 
(6) Observation of monitoring. 
(A) Where air monitoring is performed to comply with the requirements of this section, the employer shall provide affected employees or their designated representatives an opportunity to observe any monitoring of employee exposure to chromium (VI). 
(B) When observation of monitoring requires entry into an area where the use of protective clothing or equipment is required, the employer shall provide the observer with clothing and equipment and shall assure that the observer uses such clothing and equipment and complies with all other applicable safety and health procedures. 
(e) Methods of compliance. 
(1) Engineering and work practice controls. 
(A) Except as permitted in subsection (e)(1)(B) of this section, the employer shall use engineering and work practice controls to reduce and maintain employee exposure to chromium (VI) to or below the PEL unless the employer can demonstrate that such controls are not feasible. Wherever feasible engineering and work practice controls are not sufficient to reduce employee exposure to or below the PEL, the employer shall use them to reduce employee exposure to the lowest levels achievable, and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (f) of this section. 
(B) Where the employer can demonstrate that a process or task does not result in any employee exposure to chromium (VI) above the PEL for 30 or more days per year (12 consecutive months), the requirement to implement engineering and work practice controls to achieve the PEL does not apply to that process or task. 
(2) Prohibition of rotation. The employer shall not rotate employees to different jobs to achieve compliance with the PEL. 
(f) Respiratory protection. 
(1) General. The employer shall provide respiratory protection for employees during: 
(A) Periods necessary to install or implement feasible engineering and work practice controls; 
(B) Work operations, such as maintenance and repair activities, for which engineering and work practice controls are not feasible; 
(C) Work operations for which an employer has implemented all feasible engineering and work practice controls and such controls are not sufficient to reduce exposures to or below the PEL; 
(D) Work operations where employees are exposed above the PEL for fewer than 30 days per year, and the employer has elected not to implement engineering and work practice controls to achieve the PEL; or 
(E) Emergencies. 
(2) Respiratory protection program. Where respirator use is required by this section, the employer shall institute a respiratory protection program in accordance with Section 5144. 
(g) Protective work clothing and equipment. 
(1) Provision and use. Where a hazard is present or is likely to be present from skin or eye contact with chromium (VI), the employer shall provide appropriate personal protective clothing and equipment at no cost to employees, and shall ensure that employees use such clothing and equipment. 
(2) Removal and storage. 
(A) The employer shall ensure that employees remove all protective clothing and equipment contaminated with chromium (VI) at the end of the work shift or at the completion of their tasks involving chromium (VI) exposure, whichever comes first. 
(B) The employer shall ensure that no employee removes chromium (VI)-contaminated protective clothing or equipment from the workplace, except for those employees whose job it is to launder, clean, maintain, or dispose of such clothing or equipment. 
(C) When contaminated protective clothing or equipment is removed for laundering, cleaning, maintenance, or disposal, the employer shall ensure that it is stored and transported in sealed, impermeable bags or other closed, impermeable containers. 
(D) Bags or containers of contaminated protective clothing or equipment that are removed from change rooms for laundering, cleaning, maintenance, or disposal shall be labeled in accordance with the requirements of the Hazard Communication Standard, Section 5194. 
(3) Cleaning and replacement. 
(A) The employer shall clean, launder, repair and replace all protective clothing and equipment required by this section as needed to maintain its effectiveness. 
(B) The employer shall prohibit the removal of chromium (VI) from protective clothing and equipment by blowing, shaking, or any other means that disperses chromium (VI) into the air or onto an employee's body. 
(C) The employer shall inform any person who launders or cleans protective clothing or equipment contaminated with chromium (VI) of the potentially harmful effects of exposure to chromium (VI) and that the clothing and equipment should be laundered or cleaned in a manner that minimizes skin or eye contact with chromium (VI) and effectively prevents the release of airborne chromium (VI) in excess of the PEL. 
(h) Hygiene areas and practices. 
(1) General. Where protective clothing and equipment is required, the employer shall provide change rooms in conformance with Section 3367. Where skin contact with chromium (VI) occurs, the employer shall provide washing facilities in conformance with Section 8397.4. Eating and drinking areas provided by the employer shall be in conformance with Section 8397.4. 
(2) Change rooms. The employer shall assure that change rooms are equipped with separate storage facilities for protective clothing and equipment and for street clothes, and that these facilities prevent cross-contamination. 
(3) Washing facilities. 
(A) The employer shall provide readily accessible washing facilities capable of removing chromium (VI) from the skin, and shall ensure that affected employees use these facilities when necessary. 
(B) The employer shall ensure that employees who have skin contact with chromium (VI) wash their hands and faces at the end of the work shift and prior to eating, drinking, smoking, chewing tobacco or gum, applying cosmetics, or using the toilet. 
(4) Eating and drinking areas. 
(A) Whenever the employer allows employees to consume food or beverages at a worksite where chromium (VI) is present, the employer shall ensure that eating and drinking areas and surfaces are maintained as free as practicable of chromium (VI). 
(B) The employer shall ensure that employees do not enter eating and drinking areas with protective work clothing or equipment unless surface chromium (VI) has been removed from the clothing and equipment by methods that do not disperse chromium (VI) into the air or onto an employee's body. 
(5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in areas where skin or eye contact with chromium (VI) occurs; or carry the products associated with these activities, or store such products in these areas. 
(i) Medical surveillance. 
(1). General. 
(A) The employer shall make medical surveillance available at no cost to the employee, and at a reasonable time and place, for all employees: 
1. Who are or may be occupationally exposed to chromium (VI) at or above the action level for 30 or more days a year; 
2. Experiencing signs or symptoms of the adverse health effects associated with chromium (VI) exposure; or 
3. Exposed in an emergency. 
(B) The employer shall assure that all medical examinations and procedures required by this section are performed by or under the supervision of a PLHCP. 
(2) Frequency. The employer shall provide a medical examination: 
(A) Within 30 days after initial assignment, unless the employee has received a chromium (VI) related medical examination that meets the requirements of this subsection within the last twelve months; 
(B) Annually; 
(C) Within 30 days after a PLHCP's written medical opinion recommends an additional examination; 
(D) Whenever an employee shows signs or symptoms of the adverse health effects associated with chromium (VI) exposure; 
(E) Within 30 days after exposure during an emergency which results in an uncontrolled release of chromium (VI); or 
(F) At the termination of employment, unless the last examination that satisfied the requirements of subsection (i) of this section was less than six months prior to the date of termination. 
(3) Contents of examination. A medical examination consists of: 
(A) A medical and work history, with emphasis on: past, present, and anticipated future exposure to chromium (VI); any history of respiratory system dysfunction; any history of asthma, dermatitis, skin ulceration, or nasal septum perforation; and smoking status and history; 
(B) A physical examination of the skin and respiratory tract; and 
(C) Any additional tests deemed appropriate by the examining PLHCP. 
(4) Information provided to the PLHCP. The employer shall ensure that the examining PLHCP has a copy of this standard, and shall provide the following information: 
(A) A description of the affected employee's former, current, and anticipated duties as they relate to the employee's occupational exposure to chromium (VI); 
(B) The employee's former, current, and anticipated levels of occupational exposure to chromium (VI); 
(C) A description of any personal protective equipment used or to be used by the employee, including when and for how long the employee has used that equipment; and 
(D) Information from records of employment-related medical examinations previously provided to the affected employee, currently within the control of the employer. 
(5) PLHCP's written medical opinion. 
(A) The employer shall obtain a written medical opinion from the PLHCP, within 30 days for each medical examination performed on each employee, which contains: 
1. The PLHCP's opinion as to whether the employee has any detected medical condition(s) that would place the employee at increased risk of material impairment to health from further exposure to chromium (VI); 
2. Any recommended limitations upon the employee's exposure to chromium (VI) or upon the use of personal protective equipment such as respirators; 
3. A statement that the PLHCP has explained to the employee the results of the medical examination, including any medical conditions related to chromium (VI) exposure that require further evaluation or treatment, and any special provisions for use of protective clothing or equipment. 
(B) The PLHCP shall not reveal to the employer specific findings or diagnoses unrelated to occupational exposure to chromium (VI). 
(C) The employer shall provide a copy of the PLHCP's written medical opinion to the examined employee within two weeks after receiving it. 
(j) Communication of chromium (VI) hazards to employees. 
(1) General. In addition to the requirements of the Hazard Communication Standard, Section 5194, employers shall comply with the following requirements. 
(2) Employee information and training. 
(A) The employer shall ensure that each employee can demonstrate knowledge of at least the following: 
1 The contents of this section; and 
2. The purpose and a description of the medical surveillance program required by subsection (i) of this section. 
(B) The employer shall make a copy of this section readily available without cost to all affected employees. 
(k) Recordkeeping. 
(1) Air monitoring data. 
(A) The employer shall maintain an accurate record of all air monitoring conducted to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The date of measurement for each sample taken; 
2. The operation involving exposure to chromium (VI) that is being monitored; 
3. Sampling and analytical methods used and evidence of their accuracy; 
4. Number, duration, and the results of samples taken; 
5. Type of personal protective equipment, such as respirators worn; and 
6. Name, social security number, and job classification of all employees represented by the monitoring, indicating which employees were actually monitored. 
(C) The employer shall ensure that exposure records are maintained and made available in accordance with Section 3204. 
(2) Historical monitoring data. 
(A) Where the employer has relied on historical monitoring data to determine exposure to chromium (VI), the employer shall establish and maintain an accurate record of the historical monitoring data relied upon. 
(B) The record shall include information that reflects the following conditions: 
1. The data were collected using methods that meet the accuracy requirements of subsection (d)(5) of this section; 
2. The processes and work practices that were in use when the historical monitoring data were obtained are essentially the same as those to be used during the job for which exposure is being determined; 
3. The characteristics of the chromium (VI) containing material being handled when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; 
4. Environmental conditions prevailing when the historical monitoring data were obtained are the same as those on the job for which exposure is being determined; and 
5. Other data relevant to the operations, materials, processing, or employee exposures covered by the exception. 
(C) The employer shall ensure that historical exposure records are maintained and made available in accordance with Section 3204. 
(3) Objective data. 
(A) The employer shall maintain an accurate record of all objective data relied upon to comply with the requirements of this section. 
(B) This record shall include at least the following information: 
1. The chromium containing material in question; 
2. The source of the objective data; 
3. The testing protocol and results of testing, or analysis of the material for the release of chromium (VI); 
4. A description of the process, operation, or activity and how the data support the determination; and 
5. Other data relevant to the process, operation, activity, material, or employee exposures. 
(C) The employer shall ensure that objective data are maintained and made available in accordance with Section 3204. 
(4) Medical surveillance. 
(A) The employer shall establish and maintain an accurate record for each employee covered by medical surveillance under subsection (i) of this section. 
(B) The record shall include the following information about the employee: 
1. Name and social security number; 
2. A copy of the PLHCP's written opinions; 
3. A copy of the information provided to the PLHCP as required by subsection (i)(4) of this section. 
(C) The employer shall ensure that medical records are maintained and made available in accordance with Section 3204. 
(l) Dates. 
(1) For employers with 20 or more employees, all obligations of this section, except engineering controls required by subsection (e) of this section, commence November 27, 2006. 
(2) For employers with 19 or fewer employees, all obligations of this section, except engineering controls required by subsection (e) of this section, commence May 30, 2007. 
(3) For all employers, engineering controls required by subsection (e) of this section shall be implemented no later than May 31, 2010. 
(m) Reporting requirements. See Section 5203.
NOTE

Authority cited: Sections 142.3, 9020, 9030 and 9040, Labor Code. Reference: Sections 142.3, 9004(d), 9009, 9020, 9030, 9031 and 9040, Labor Code. 
HISTORY

1. New section filed 9-19-2006; operative 9-19-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 38). 
2. New subsection (m) and amendment of Note filed 10-30-2007; operative 11-29-2007 (Register 2007, No. 44).
3. Amendment of subsection (d)(4)(A) filed 9-13-2010; operative 9-13-2010. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2010, No. 38).
Article 5. Scaffold Construction
§8360. Scaffolds and Staging.
Note     •     History

(a) The provisions in the Construction Safety Orders concerning scaffolds shall apply to all conditions and exposures not specifically covered by these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Repealer of subsections (c) and (d) and new subsection (c) filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12).
3. Editorial correction of subsection (c) (Register 81, No. 15). 
4. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8361. Lumber.
Note     •     History

All lumber used for the construction of scaffolding and staging shall be the equivalent of “Selected Lumber” and/or “Structural Plank” as defined in Section 1504 of the Construction Safety Orders. It shall also be free from damage that affects its strength.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8362. Building Ways, Scaffolding, and Staging.
Note     •     History

(a)(1) Scaffolding shall be erected in bents, set not over 12 feet apart, center to center, parallel with the building ways. The bents shall consist of uprights adequately bolted together in pairs, with suitable sized spacers and set from 3 feet to 5 feet apart, center to center, transverse with the building ways.
(2) Uprights less than 30 feet in length shall be of not less than 3-inch by 6-inch lumber or stock of equivalent strength and rigidity. Uprights 30 feet or over in length shall be of not less than 3-inch by 8-inch lumber.
(3) Scaffolding shall be adequately braced both transversely and longitudinally. Bracing shall be of not less than 1-inch by 8-inch lumber or stock of equivalent strength and rigidity.
(4) The feet of the uprights shall be securely fastened to the dock or the flooring of the building ways by means of suitable connections.
(b) Spalls or needle beams shall be of not less than 3-inch by 8-inch lumber, and shall not overhang more than 5 feet unless additional support is provided.
(c) Spall pins shall be of not less than three-fourths-inch round steel, and shall project not less than 2 inches beyond the uprights at each end. The diameter of the holes for the spall pins when bored shall not exceed the diameter of the spall pins by more than one-sixteenth inch (1/16”).
(d)(1) Staging shall be not less than two 10-inch structural planks in width except in such cases as the structure of the vessel or in the case of trestle ladder scaffolds, the width of the trestle ladders makes it impossible. In cases where material or equipment is on the staging or more than one employee is working, it shall be wide enough to provide a clear passageway where required at least 20 inches wide throughout the work area.
(2) Planks shall be laid edge to edge. Where due to warping the space between the planks exceeds 1-inch, the planks shall be rearranged to reduce such space or they will be withdrawn from staging use. The safe concentrated center loads for scaffold plank shown in the table below shall not be exceeded.

SAFE CONCENTRATED CENTER LOADS (Lbs.) FOR SCAFFOLD PLANK OF 1,900 PSI FIBER STRESS

View Graphic
(e) Staging shall not clear the hulls by a distance of more than 8 inches except at the bow and stern where the converging hull lines prohibit. In all cases, however, the space between hull and staging shall be held to a minimum.
(f) Staging shall be supported by at least 3 spalls whenever possible. Planks shall overlap the spalls by 2 feet or be secured to the spalls.
(g) Staging at the bow and stern shall be so arranged that the outboard plank of the lower platform shall extend under the inboard plank of the upper platform immediately above.
(h) Standard guardrails shall be installed on the open sides and ends of all staging 5 feet or more in elevation above the dock or building ways. Guardrails shall be attached securely to the scaffolding upright or horse. The guardrails shall be in the same vertical plane as the outside edge of the outboard staging planks and the toeboards, where required, shall be installed so that tools or material cannot make their way between them and the staging planks.
(i) Where staging passes over established aisles, runways, or passageways, toeboards shall be installed on the side of such staging farthest from the hull. Toeboards shall be of not less than 1-inch by 4-inch lumber or stock of equivalent strength and rigidity.
(j) Independent Wood Pole Scaffolds.
(1) Ribbons shall extend over three consecutive uprights and shall overlap the uprights at each end by not less than 4 inches. They shall be left in position to brace the uprights as the platform is raised with the progress of the work. Ribbons shall be level and shall be securely nailed or bolted to each upright and shall be placed against the inside face of each upright.
(2) Diagonal sway bracing not less than 1 x 6-inch lumber or equivalent, shall be provided between the parallel poles. Cross bracing shall be provided between the inner and outer poles or from the outer poles to the ground.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment of subsection (f) filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 12). 
3. Amendment of subsections (a) and (d) filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8363. Deck Staging, Prefabrication Staging, and Other Miscellaneous Exterior Built-Up Staging. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8364. Built-Up Staging. Painters' Exterior Suspended Staging (for use of painters only).
Note     •     History

(a) Scaffold platforms shall be at least 14 inches wide, consisting of a stage ladder, as specified in the following table: two, 2x10-inch or 2x12-inch “Structural Planks” edge to edge or one 2x14-inch dressed “Structural Plank”; or a beam-type platform consisting of longitudinal side stringers with cross beams set on edge and spaced not more than 4 feet apart on which longitudinal platform planks are laid, free from damage affecting their strength are laid. Scaffolds shall be limited to a maximum width of 20 inches for the ladder-type (between side rails), and 24 inches for the plank and beam-types. The span between stirrups, hangers or falls shall not be more than 10 feet on plank-type platforms, and not more than 16 feet on beam-type platforms. Where double planks are used side by side on suspended scaffolds, as specified above, they shall be firmly cleated together so as to act as a unit.
(b)(1) Each end of the scaffold platform shall be supported by a wrought iron or mild steel stirrup or hangar, which in turn is supported by the suspension ropes.
(2) Stirrups shall be constructed so as to be equivalent in strength to wrought iron three-fourths inches in diameter.
(3) The stirrups shall be formed with a horizontal bottom member to support the platform, shall be provided with means to support the guardrail and midrail, and shall have a loop or eye at the top for securing the supporting hook on the block.
(c)(1) The staging shall be fastened to prevent abnormal sway, and all parts of such staging shall be of sufficient strength to safely support all anticipated loads.
(2) Only one employee shall be allowed to each fall or hanger. Ordinary extension ladders shall not be used as stage ladders. The overhang of the scaffold staging shall be not less than 6 inches nor more than 18 inches.
(d) Swinging or Stage Ladders: 

SPECIFICATIONS FOR SIDE RAILS OF LADDERS

	          CROSS SECTION (IN INCHES)         
LENGTH IN FEET	AT ENDS	AT CENTER
15	 1 7/8 x	2 3/4	1 7/8 x 3 3/4
16	 1 7/8 x	2 3/4	1 7/8 x 3 3/4
18	 1 7/8 x	3	1 7/8 x 4
20	 1 7/8 x	3	1 7/8 x 4
24	 1 7/8 x	3	1 7/8 x 4 1/2

Swinging or stage ladders used for suspended staging shall be reinforced with five-sixteenths-inch rods spaced at least every 5 feet to prevent side rails from spreading. The rungs shall be of straight-grained oak, ash, or hickory, not less than 1 1/8 inches diameter, with 7/8-inch tenons mortised into the side rails not less than 7/8-inch and shall be spaced no more than 18 inches on centers. 
(e) Beam-type Platforms:
(1) The side stringers an d cross beams shall be of sound, straight-grained lumber, free from knots, and of not less than 2- x 6-inch lumber, set on edge.
(2) The stringers shall be supported on stirrups to which they shall be bolted by U-bolts passing around the stirrups and bolted through the stringers with nuts drawn up tight on the inside face.
(3) The ends of the stringers shall extend beyond the stirrups not less than 6 inches nor more than 12 inches at each end of the platform.
(4) The platform shall be formed of boards not less than 7/8-inch in thickness by not less than 6 inches in width, nailed tightly together, and extending to the outside face of the stringers, and it shall be supported on cross beams which are securely nailed to the stringers.
(5) The ends of all platform boards shall rest on the top of the cross beams, shall be securely nailed, and at no intermediate points in the length of the platform shall there be any cantilever ends.
(f) Safety lines of at least five-eighths-inch diameter manila or three-fourths-inch sisal rope * with a figure 8 knot every 6 feet, hanging from above and securely tied, shall be provided between each pair of hangers or falls. Such lines shall reach to a point at least 6 feet below the lowest position at which the staging can be used. One such line shall be provided for each employee.
(g) The ropes supporting a swinging scaffold shall be equivalent in strength to first-grade 3/4-inch diameter manila rope properly rigged into a set of standard 6-inch blocks consisting of at least one double and one single block. The rope shall be inspected before being used on each job to ascertain whether it is sound and free from flaws or deterioration from contact with any solution containing chemicals.
(h) The extension from the top block to the support of rope falls supporting scaffolds or boatswains' chairs shall be wire rope at least one-half inch in diameter or metal of equivalent strength, but in no case shall it be of structural reinforcing steel.
(i) When substances injurious to fiber rope are used, every employee on the staging shall be required to wear a safety belt with lanyard securely attached to a life line by a mechanical safety device or a sliding hitch.
(j) Whenever any washing solutions injurious to fiber rope are being used, the free ends of the falls and life lines shall be coiled in barrels or other suitable receptacles.
(k) All staging referred to in this section, suspended at an elevation of 5 feet or more, shall have a guardrail with midrail of wood or other equally rigid material of sufficient strength to prevent employees from falling, and said railing shall be not less than 42 inches nor more than 45 inches above the platform of such stagings. The guardrail shall be made of 2-inch by 4-inch lumber in one piece or equivalent.
Note: Three-eighths-inch wire rope, if kept taut at all times is considered equivalent; fiber line is not.
(l) When the surfaces being worked upon lead away from the vertical, the staging shall be securely tied in by means of a sufficient number of lines to render it stable and to bring it into contact with the surface.
(m) When boatswains' chairs are used by employees using blow torches or open flames, the slings shall be at least three-eighths-inch galvanized wire rope.
(n) When air hose, water hose, electric cable, or other equipment of this type is used on staging, it shall be securely fastened at not more than 15 feet from the working end and independent of the operator.
NOTE

Authority cited: Section 142.3, labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 

* Sisal rope is to be considered as having only 75 percent of the strength of manila rope.
§8365. Exterior Suspended Staging Other Than Painters' Staging.
Note     •     History

(a) Staging shall be suspended by means of wire rope or steel suspenders, or stock of equivalent strength, excluding structural reinforcing steel. The platforms shall be provided with standard guardrails on all exposed sides and ends. Guardrails shall be 2- x 4-inch lumber or equivalent.
Note: Three-eighths-inch wire rope, if kept taut t all times is considered equivalent; fiber line is not. 
(b) All bails, stirrups, and slings shall be made of standard three-eighths-inch galvanized wire rope or of not less than three-fourths-inch galvanized solid round or three-fourths-inch galvanized square steel bars, or of materials of equivalent strength and weather resistance.
(c) Spalls or bolsters shall be on 8-foot centers and of not less than 4-inch by 6-inch lumber, or stock of equivalent strength, and shall extend not less than 10 inches beyond each edge of the platform. Stage planks shall be a minimum of 2- x 10-inch lumber.
(d) A galvanized iron or steel bolt 6 inches long and three-eighths inch diameter shall be fastened through the spall or bolster at right angles to it, not less than 3 inches from the end, and halfway between the upper and lower sides to prevent bails or slings, when used, from accidentally slipping off the end of the spall.
(e) Wire ropes shall be protected against burning or a welding arc to a height of 8 feet above the platform with a rubber hose or equivalent protection.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment of subsections (a) and (e) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8366. Interior Staging and Scaffolding.
Note     •     History

(a) Staging used on shells and bulkheads shall be supported by metal hangers, or by wooden uprights of a dimension used for uprights of outside staging, as specified in Section 8362(a), or by stock which will give the equivalent support. Where wire rope is used for hangers, it shall not be less than three-eighths-inch diameter and not less than three clips, or other accepted methods of end attachments shall be used to secure the loop.
(b) All interior staging 5 feet or more high, except in engine and boiler rooms when they interfere with the installation of machinery, shall be equipped with a standard guardrail on the open side and ends. The guardrail shall be in the same vertical plane as the edge of the platform which it protects, and shall be attached to its supports or mountings on the platform side. The rail shall be of 2 x 4-inch lumber, or stock of equivalent strength.
Note: Three-eighths-inch wire rope, if kept taut at all times is considered equivalent; fibre line is not.
(c) No interior staging shall be suspended by fiber rope except as otherwise provided in painters' staging.
(d) All hanger rods used as supports for staging shall be not less than three-fourths-inch round steel, or if made of other shaped steel, they shall be of equivalent strength. Structural reinforcing steel shall not be used for hangers.
(e) Hangers shall be so arranged that the area supported by one hanger will not exceed 100 square feet of staging.
(f) Permanent suspended staging shall be supported by beam clamps, wire rope, or extension rods from the overhead deck beams.
(g) Safe access shall be provided to all staging levels.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment of subsections (b) and (g) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8367. Horse Staging Interior and Exterior.
Note     •     History

(a) No horse staging shall be more than 20 feet in height.
(b) Horse staging shall not be built up or tiered, nor shall horses over 42 inches in height be used to increase the height or obtain intermediate levels on any other type of staging. Horses on other type staging shall be adequately secured in place.
(c) Staging platforms shall comply with Sections 8361, 8362(d), (e), and (f), and 8366(a).
(d) Guardrailings and toeboards shall comply with Sections 8362(h) if building way staging, or 8366(b) if interior staging.
(e) The lateral spread of the legs shall be equal to not less than one-third of the height of the horse.
(f) All horses shall be kept in good repair, and be properly secured when used on staging or in locations where they are insecure.
(g) The minimum dimensions of lumber used in the construction of horses shall be:

View Graphic
(h) Horse legs shall be fastened together at the top with galvanized bolts of not less than one-half inch. Horses shall be adequately braced and all braces shall be fastened to the legs with galvanized bolts, nuts, and washers of not less than three-eighths-inch size. The bearers or headers shall be fastened at each end with not less than one bolt of an adequate size, but in no case shall the bolt be less than three-eighths-inch diameter, or equivalent.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
2. Editorial correction of subsection (h) (Register 2010, No. 34).
§8368. Floating Staging.
Note     •     History

(a) Floats shall be stable for the work being done.
(b) Staging on floats shall be supported by fixed uprights and spalls equivalent in strength to those required in Section 8362, and uprights shall be securely attached to floats. Staging width shall comply with Section 8362(d), and stage planking shall be secured in place.
(c) Four head lines from the floats shall be attached to the floats proper and not to staging or scaffolding.
(d) All floating staging shall be protected by guardrailings as required by Section 8362(h).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 1-22-88; operative 1-22-88 (Register 88, No. 6). 
§8369. Intermediate Staging Levels--General.
Note     •     History

(a) Boxes, barrels, and similar makeshifts shall not be used to support boards or planks for the purpose of obtaining intermediate staging levels.
(b) Specially constructed four-legged tables may be used to secure intermediate staging levels provided they are of proper design and adequately secured in place.
(c) The minimum dimensions of lumber to be used in the construction of staging tables shall be of the following:

	Legs 	Tops 	Braces 	Bands

	3"x 3"	1"x 12"	 1"x 6"	1"x 6"
(1) Each leg shall be properly secured to the table and shall be braced both parallel and transverse with the table.
(2) Table tops shall be securely nailed in place, and the width or length of tables shall be not less than 3 feet.
(3) Standard railings shall protect the outboard side of all staging tables while in use, and such railings shall be attached to the main staging uprights.
(4) The height of a table shall not exceed its minimum horizontal dimensions.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8370. Erecting and Maintaining Staging.
Note     •     History

(a) No staging shall be erected, moved, or altered except by qualified persons.
(b) No unnecessary equipment or debris shall be permitted to remain on any staging when its presence on such staging creates a hazard.
(c) No welding, burning, riveting, or open flame work shall be carried on any staging suspended by means of fiber rope.
(d) Staging shall be maintained in a safe and secure condition.
(e) In stripping staging, boards and timbers shall be lowered by means of lines or by hand. Such material shall not be dropped free of restraint.
(f) Partially erected or partially dismantled staging shall not be used unless the part used is a complete staging under these Orders and all open sides and ends are protected by standard guardrailings. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 143.2, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8371. Stairways, Ramps, Gangways, and Ladders.
Note     •     History

(a) Access to staging from wharf or ways shall be by means of stairways, cleated ramps, or ladders, but ladders shall not be the only means of access except to the two lower levels of staging. Access from above to staging more than 3 feet below the point of access shall consist of a portable straight ladder.
(b) Safe access to staging from hulls shall be provided at all times. Such access shall be by means of ladders, suitable ramps, or stairways.
(c) Spalls and other parts of staging shall clear stairways and ramps by at least 6 feet 6 inches vertically.
(d) At least one stairway, cleated ramp, or ladder shall be used to give access to each hold as soon as construction permits. Permanent ladders installed in accordance with approved USCG plans meet this requirement. Straight ladders shall be provided when fixed ladders are impracticable.
(e) Wooden ladders, ramps, gangways, or steps with handrails available on each side shall be used to give access to forecastle, poop, and house decks until such time as permanent ship ladders and rails can be installed.
(f) The side rails of all construction ladders shall extend at least 36 inches above the top landing when space permits, or suitable grab rails shall be installed. Intermediate rectangular landing platforms shall be provided at between-deck or half-deck and main-deck landings in holds if the ladders are not installed so that one of the side rails is within 6 inches or less of the deck landings. Such platforms shall be provided with standard railings and toeboards on the open sides and ends. No horizontal platform dimensions shall be less than 36 inches.
(g) All stairways, ramps, gangways, and ladders shall be secured against displacement.
(h) Stairways and ramps shall be at least 36 inches wide in the clear and have 36-inch handrails with midrails on each side. (i) Fixed ladders or straight ladders provided for access to cargo spaces shall not be used at the same time that cargo drafts or other loads are entering or leaving the hold. Before using these ladders to enter or leave the hold, the employee shall be required to inform the winch operator or crane signaler of the intended use.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment of subsections (b), (f), (h) and (i) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
Article 6. Precautions
§8374. Deck Openings and Open Decks.
Note     •     History

(a) All deck and tank top openings 18 square feet or over in area shall be guarded by standard guardrail and 4-inch toeboards where necessary until replaced by ship's equipment.
Railing uprights shall not be spaced at greater distances than 10 feet on centers, and top- and midrails shall be of not less than 2-inch by 4-inch lumber, or other material which will provide equivalent protection.
Note: Three-eighths-inch were rope, if kept taut at all times is considered equivalent.
(b) Every manhole, tank top opening, small hatch opening, deck opening, or companionway opening through which access must be had, and whose open area is less than 18 square feet, shall be guarded by a guardrail which will not have to be removed to give access to or through the opening. Where such railings are located on tank tops or inner bottoms, they shall not be less than 30 inches or more than 31 inches high, shall completely encircle the opening, and shall consist of a single rail. Rail and uprights shall be of iron or steel.
In locations other than tank tops or inner bottoms, similar guards shall be used, but with the addition of 4-inch toeboards where necessary. Standard guardrail and toeboards may also be used as provided in subsections (a) and (b) of this section.
Where ladders extend through the opening, necessary gaps shall be left in the railings.
(c) Mast, king post, ventilator, hawse pipe deck openings, and the deck openings of hawse pipes shall be guarded by flat covers securely fastened in place. Such covers may be of steel or some other equally serviceable material.
(d) All top decks, raised decks, superstructures, flats, and similar locations shall be guarded by standard guardrailings on all open sides when the sheer drop from such open sides is 5 feet or more. The top- and midrails shall be of 2-inch by 4-inch lumber, or other material which will provide equivalent protection.
(e) Sections of bilges from which floor plates or gratings have been removed shall be guarded by guardrails except where they would interfere with work in progress. If these open sections are in a walkway at least two 2 x 10-inch planks placed edge to edge, or equivalent, shall be laid across the opening to provide a safe walking surface.
(f) Gratings, walkways, and catwalks, from which sections or ladders have been removed, shall be barricaded with standard guardrails.
(g) Before opening or closing hatches employees shall be removed from the square of the hatch below.
(h) Stairways and ramps shall comply with Section 8371(h).
(i) Ladders shall comply with Section 8371(i).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsections (e), (f), (g) filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8375. Forges.
Note     •     History

(a) Forges shall not be operated in peak tanks, fuel tanks, chain lockers, or under raised decks, nor shall they be operated in cargo spaces under or between decks.
(b) Forges shall not be located on staging but shall be located on specially constructed platforms clear of such staging. These special platforms shall be equipped with standard guardrails and toeboards. 
(c) Hot rivets shall not be thrown over open hatches or manholes, nor shall they be thrown over the heads of employees.
(d) Pneumatic passers shall have stops at both ends.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8376. Ship's Machinery.
Note     •     History

(a) Cleaning, repairing, servicing and adjusting ships machinery shall be performed in accordance with Section 3314 of the General Industry Safety Orders and Section 8356 of these Orders as applicable.
(b) Deck Machinery. 
(1) Anchor Machinery. Before work is performed on the anchor windlass or any of its attached accessories, the employer shall ensure that the following steps are taken:
(A) The devil claws shall be made fast to the anchor chains.
(B) The riding pawls shall be in the engaged position.
(C) In the absence of devil claws and riding pawls, the anchor chains shall be secured to a suitable fixed structure of the vessel.
(2) Other Deck Machinery. On other deck equipment the load shall be removed or the equipment secured and blocked, stopped or prevented in accordance with subsection (a) above before any work is performed on the equipment.
(c) Propulsion Machinery. 
(1) Before work is performed on the main engine, reduction gear, or connecting accessories, the employer shall ensure that the following steps are taken:
(A) The jacking gear shall be engaged to prevent the main engine from turning over. A sign shall be posted at the throttle indicating that the jacking gear is engaged. This sign shall not be removed until the jacking gear can be safely disengaged.
(B) If the jacking gear is steam driven, the stop valves to the jacking gear shall be secured and then locked and tagged in accordance with Section 8356. 
(C) If the jacking gear is electrically driven, the circuit controlling the jacking gear shall be de-energized by tripping the circuit breaker, opening the switch or removing the fuse, whichever is appropriate, and then locked or tagged in accordance with Section 8356. 
(2) Before the jacking engine is operated, means shall be taken to ensure that all employees, equipment, and tools are clear of the engine, reduction gear, and its connecting accessories, and the propeller.
(3) Before work is started on or in the immediate vicinity of the propeller, the throttles or main steam stops shall be wired or locked shut and a warning sign calling attention to the fact that employees are working in that area shall be hung in a conspicuous location in the engine room. This sign shall not be removed until it is determined that the work is completed and all employees are free of the propeller.
(4) Before the main engine is turned over (e.g., when warming up before departure or testing after an overhaul) means shall be taken to ensure that all employees, equipment, and tools are free of the propeller.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
3. Amendment of subsections (a) and (c)(1)(A)-(C) filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8376.1. Ship's Boilers.
Note     •     History

(a) Before work is performed in the fire, steam, or water spaces of a boiler where employees may be subject to injury from the direct escape of a high temperature medium such as steam, or water, oil, or other medium at a high temperature entering from an interconnecting system, the employer shall insure that the following steps are taken:
(1) The isolation and shutoff valves connecting the dead boiler with the live system or systems shall be secured, blanked, and then locked or tagged, in accordance with Section 8356, indicating that employees are working on the boiler. This lock or tag shall not be removed nor the valves unblanked until it is determined that this may be done without creating a hazard to the employees working on the boiler, or until the work on the boiler is completed, in accordance with Section 8356. When valves are welded instead of bolted, at least two isolation and shutoff valves connecting the dead boiler with the live system or systems shall be secured, and then locked or tagged, in accordance with Section 8356.
(2) Drain connections to atmosphere on all of the dead interconnecting systems shall be opened for visual observation of drainage.
(3) A warning sign calling attention to the fact that employees are working in the boilers shall be hung in a conspicuous location in the engine room. This sign shall not be removed until it is determined that the work is completed and all employees are out of the boilers.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8377. Material Afloat.
Note     •     History

Piling, shoring, timbering, and flotsam subject to the ebb and flow of the tide shall not be secured to slip staging, nor shall log booms secured to slip staging be used to confine it. Such material shall be removed from the water.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8378. Steam Supply and Hose.
Note     •     History

(a) Steam supply system.
(1) Prior to supplying a vessel with steam from a source outside the vessel, the employer shall ascertain from responsible vessel's representatives having knowledge of the condition of the plant, the safe working pressure of the vessel's steam system. 
(2) The employer shall install a pressure gauge and a relief valve of proper size and capacity at the point where the temporary steam hose joins the vessel's steam piping system or systems. The relief valve shall be set and capable of relieving at a pressure not exceeding the safe working pressure of the vessel's system in its present condition, and there shall be no means of isolating the relief valve from the system which it protects. 
(3) The pressure gauge and relief valve shall be located so as to be visible and readily accessible.
(4) Each relief valve shall be positioned so it is not likely to cause injury if steam is released.
(b) Steam hoses. The employer shall ensure that each steam hose meets the following requirements:
(1) The steam hose and its fittings are used in accordance with manufacturer's specifications;
(2) Steam hose and fittings shall have a factor of safety of at least five. 
(3) Steam hose shall not be bent at a radius of less than 5 feet which would result in kinking.
(4) Each steam hose is hung tightly with short bights that prevent chafing and to reduce tension on the hose and its fittings;
(5) Each steam hose is protected from damage; and
(6) Each steam hose or temporary steam piping, including metal fittings and couplings, that pass through a walking or working area is shielded to protect employees from contact.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of section heading and subsection (d), and new subsection (f) file 1-22-88; operative 2-21-88 (Register 88, No. 6). 
2. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8378.1. Ship's Piping Systems.
Note     •     History

(a) Before work is performed on a valve, fitting, or section of piping in a piping system where employees may be subject to injury from the direct escape of steam, or water, oil, or other medium at a high temperature, the employer shall insure that the following steps are taken:
(1) The isolation and shutoff valves connecting the dead system with the live system or systems shall be secured, blanked, and then locked or tagged, in accordance with Section 8356, indicating that employees are working on the systems. The lock or tag shall not be removed or the valves unblanked until it is determined that this may be done without creating a hazard to the employees working on the system, or until the work on the system is completed, in accordance with Section 8356. When valves are welded instead of bolted, at least two isolation and shutoff valves connecting the dead system with the live system or systems shall be secured, and then locked or tagged, in accordance with Section 8356.
(2) Drain connections to the atmosphere on all of the dead interconnecting systems shall be opened for visual observation of drainage.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8379. Slings and Pendants.
Note     •     History

(a) All sling and pendants shall comply with the provisions of Articles 96 and 101 of the General Industry Safety Orders and these Orders. 
(b) (1) All slings and pendants shall be given a visual inspection before being used, and those found to be defective shall not be used.
(2) Chain slings and chain pendants shall be given a thorough inspection at intervals of not less than once every three months. This inspection should include examination of the links for stretch, wear, gouge marks, distortion, open welds, and surface characteristics.
(3) Broken chains shall not be spliced by means of a bolt and nut or by passing one link through another and inserting a bolt, nail, or any other device to hold it in place, nor shall the links be gas- or electric-welded.
(c) Spreaders or strongbacks shall be used when necessary to give good balance and weight distribution in loads.
(d) Wire rope slings and wire rope pendants shall be used in accordance with the recommendations of the manufacturer.
(e) Wire rope or steel chain slings and pendants shall be used when lifting personnel platforms or handling plates or material on and off boats under construction. Lumber, lumber products, small bundles of pipe, and materials subject to damage by wire rope shall be handled by means of fiber rope.
(f) Material shall not be cradled in slings. Slings shall be used as chokers, and at least one round turn of each sling should be used around the load.
(g) Where practicable, thimbles shall be used in the eyes of wire rope slings and wire rope pendants.
(h) Loose ends of idle slings and pendants shall be temporarily secured when a load is being moved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
2. Amendment of subsection (e) filed 4-24-2007; operative 5-24-2007 (Register 2007, No. 17).
§8380. Pendants--Two Required.
Note     •     History

Plates over 50 square feet in area or 20 feet or more in length shall be handled by means of 2 pendants. Long plates which are liable to buckle shall be handled by means of spreaders or strongbacks.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8381. Handling Sections.
Note     •     History

(a) A qualified person shall determine the safe rigging and lifting methods to be utilized before lifting a load.
(b) Loads (tools, equipment or other materials) shall not be swung or suspended over the heads of employees.
(c) Before loads or empty lifting gear are raised, lowered, or swung, clear and sufficient advance warning shall be given to employees in the vicinity of such operations.
(d) All fabricated sections of five tons and over shall have their weights marked on them in figures of such height that they will be readily legible from the crane cab.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer and new subsection (c) filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8382. Handling Plates and Materials. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New subsection (j) filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8383. Securing Material--Fastenings Required.
Note     •     History

All shell plates, beams, frames, pre-assembled units, or other material, subject to falling or tipping shall be adequately secured before the slings or pendants are disconnected.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8384. Tools and Equipment.
Note     •     History

(a) General.
(1) Hand lines, slings and tackles of adequate strength, or carriers such as tools bags with shoulder straps shall be provided and used to handle tools, materials, and equipment so that employees will have their hands free when using ships ladders and access ladders. The use of hose or electric cords for this purpose is prohibited.
(2) When air tools of the reciprocating type are not in use the dies and tools shall be removed.
(3) Devices used in fairing or evening plates at joints--and known as “fish tails,” “jack clamps,” or “flanging jacks”--when used in a vertical plane or at such an angle that there is a falling hazard, shall be secured by suitable means so that the device can not fall should it become loosened.
(b) Electric Power Tools. 
(1) The employer shall notify the officer in charge of the vessel before using electric power tools operated with the vessel's current.
(2) Grounding circuits, other than by means of the structure of the vessel on which tightness immediately upon starting the engine, and any leaks shall be corrected at once.
(c) Internal Combustion Engines, Other Than Ship's Equipment.
(1) When internal combustion engines are used below decks, except on mobile equipment, the exhaust gases shall be piped to the outside atmosphere, clear of any ventilation intakes or openings, through which they might re-enter the vessel.
(2) All exhaust line joints and connections shall be checked for tightness immediately upon starting the engine, and any leaks shall be corrected at once.
(3) When internal combustion engines on vehicles, such as forklifts and mobile cranes, exhaust into the atmosphere below decks, the competent person shall monitor the carbon monoxide content of the atmosphere to ensure that dangerous concentrations do not develop. Employees shall be removed from the compartment involved when the carbon monoxide concentration exceeds 50 parts per million (0.005%). Blowers sufficient in size and number shall be used, so arranged as to maintain the concentration below this allowable limit before work is resumed. 
(d) Heat lamps. The employer shall ensure that each heat lamp, including the face, is equipped with surround type guards to prevent contact with the lamp and bulb.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
3. Repealer and new subsection (d) filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8385. Service Lines.
Note     •     History

Service lines shall be kept available in the toolroom or elsewhere for use by employees at ladders for hoisting and lowering tools and material, and employees shall use such lines.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8386. Storage Batteries--Submarines.
Note     •     History

(a) When installing batteries or when battery deck is up, no other work shall be undertaken or carried on until battery deck is in place.
(b) Batteries shall not be charged aboard the boat unless the battery ventilating system is coupled up and working, discharging outside of boat. If this is not possible, the compartment shall be ventilated by a blower located on deck, and discharging free from the boat.
(c) The ventilating systems shall be run at full speed for at least one-half hour after completion of a charge.
(d) During charging of batteries, frequent tests shall be made of the air in the battery exhaust trunk for the presence of hydrogen. Not over 3 percent of hydrogen gas shall be permitted to exist at any time in this trunk.
(e) Open lights shall not be allowed in the battery compartment during charging and for 1 hour after finishing. Explosion-proof type of portable lights shall be used if ship's lighting is not available.
(f) When battery deck is up, no hot work or work requiring open lights shall be undertaken until battery ventilating system has been running for one-half hour and the supervisor directly responsible has given written orders for work to proceed.
(g) One or more carbon dioxide-type fire extinguishers rated 10-B:C or larger shall be placed in each battery compartment as soon as the installation of the batteries has begun.
(h) All cells shall be kept sealed from time of starting installation until an adequate or equivalent ventilating system is operating.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8387. Motor Vehicle Safety Equipment, Operation and Maintenance.
Note     •     History

(a) Application. 
(1) This section applies to any motor vehicle used to transport employees, materials, or property at worksites engaged in shipyard employment. This section does not apply to motor vehicle operation on public streets and highways.
(2) The requirements of this section apply to employer-provided motor vehicles. The requirements of subsections (b)(2), (b)(4), and (c)(2) also apply to employee-provided motor vehicles.
(3) Only the requirements of subsections (b)(1) through (b)(3) apply to powered industrial trucks, as defined in General Industry Safety Orders (GISO) Section 3649. The maintenance, inspection, operation, and training requirements in GISO Article 25 apply to powered industrial trucks used for shipyard employment.
(b) Motor vehicle safety equipment.
(1) The employer shall ensure that each motor vehicle acquired or initially used after December 13, 2011 is equipped with a safety belt for each employee operating or riding in the motor vehicle. This requirement does not apply to any motor vehicle that was not equipped with safety belts at the time of manufacture.

NOTE: This provision shall not supersede requirements for seat belts already required by other portions of California Title 8 Safety Orders.
(2) The employer shall ensure that each employee uses a safety belt, securely fastened, at all times while operating or riding in a motor vehicle.
(3) The employer shall ensure that vehicle safety equipment is not removed from any employer-provided vehicle. The employer shall replace safety equipment that is removed.
(4) The employer shall ensure that each motor vehicle used to transport an employee has firmly secured seats for each employee being transported and that all employees being transported are using such seats.
(c) Motor vehicle maintenance and operation. 
(1) The employer shall ensure that each motor vehicle is maintained in a serviceable and safe operating condition, and removed from service if it is not in such condition.
(2) The employer shall ensure that, before a motor vehicle is operated, any tools and materials being transported are secured if their movements may create a hazard for employees.
(3) The employer shall implement measures to ensure that motor vehicle operators are able to see, and avoid harming, pedestrians and bicyclists at shipyards. Measures that employers may implement to comply with this requirement include:
(A) Establishing dedicated travel lanes for motor vehicles, bicyclists, and pedestrians; 
(B) Installing crosswalks and traffic control devices such as stop signs, mirrors at blind spots, or physical barriers to separate travel lanes; 
(C) Establishing appropriate speed limits for all motor vehicles;
(D) Establishing “no drive” times to allow for safe movement of pedestrians;
(E) Providing reflective vests or other gear so pedestrians and bicyclists are clearly visible to motor vehicle operators;
(F) Ensuring that bicycles have reflectors, lights, or other equipment to maximize visibility of the bicyclist; or
(G) Other measures that the employer can demonstrate are as effective in protecting pedestrians and bicyclists as those measures specified in subsections (c)(3)(A) through (c)(3)(F).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50). For prior history, see Register 88, No. 6.
§8388. Prefabrication Areas.
Note     •     History

The space between all rails, beams, or skids of all prefabrication or sub-assembly decks, skids, or open platform shall be closed or filled in to prevent employees from falling through.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 1--22--88: operative 2--21--88 (Register 88, No. 6).
§8389. Assemblies--Stacking.
Note     •     History

(a) Prefabricated or sub-assembled sections shall not be piled or stacked in such a manner as to be a hazard.
(b) The outside edges of assemblies being worked upon and piled higher than 8 feet shall be protected by standard guardrails or other material or method which will provide equivalent protection.
(c) Secured ladders, suitable stairs, or ramps shall be provided as a means of access to such stacked assemblies.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 1-22-88; operative 2-21-8 (Register 88, No. 6). 
§8390. Fueling of Ships.
Note     •     History

When fuel is being transferred on or off ships, no burning, welding, or open flames shall be allowed in the vicinity, and a watch shall be maintained.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8391. Housekeeping.
Note     •     History

(a) Good housekeeping conditions shall be maintained. Adequate aisles and passageways shall be maintained in all work areas. All staging platforms, ramps, stairways, walkways, aisles, and passageways shall be kept reasonably clear of all tools, materials, and equipment except that which is in use, and of all debris such as welding rod tips, bolts, nuts, and similar material. Hose and electric conductors shall be elevated over or placed under the walkway or working surfaces or covered by adequate cross-over structures.
(b) All working areas on vessels and dry docks shall be kept reasonably free of debris, and construction material shall be so piled or stored as not to present a hazard to employees.
(c) Slippery conditions on walkways or working surfaces shall be eliminated as they occur. If it is not practicable for the employer to remove slippery conditions, the employer shall restrict employees to designated walkways and working surfaces where the employer has eliminated slippery conditions. 
(d) The employer shall maintain easy and open access to each fire-alarm box, fire-call station, fire-fighting equipment, and each exit, including ladders, staircases, scaffolds, and gangways.
(e) All oils, paints, thinners, solvents, waste, rags, or other flammable or combustible substances shall be kept in fire-resistant covered containers when not in use. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment of subsection (a) filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment of subsection (a) filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
3. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.1. Walkways.
Note     •     History

(a) In addition to the requirements in Section 8391, the employer also shall ensure that each walkway:
(1) Provides adequate passage;
(2) Is clear of debris, including solid and liquid wastes, that may create a hazard for employees;
(3) Is clear of tools, materials, equipment, and other objects that may create a hazard for employees; and
(4) Is clear of hoses and electrical service cords. The employer shall:
(A) Place each hose and cord above walkways in a location that will prevent injury to employees and damage to the hoses and cords;
(B) Place each hose and cord underneath walkways;
(C) Place each hose and cord on walkways, provided the hoses and cords are covered by crossovers or other means that will prevent injury to employees and damage to the hoses and cords; or
(D) Protect each hose and cord by other suitable means.
(b) While a walkway or part of a walkway is being used as a working surface, the employer shall cordon off that portion to prevent it from being used as a walkway.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.2. Working Surfaces.
Note     •     History

In addition to the requirements in Section 8391, the employer also shall ensure that each working surface:
(a) Is cleared of tools, materials, and equipment that are not necessary to perform the job in progress;
(b) Is cleared of debris, including solid and liquid wastes, at the end of each work shift or job, whichever occurs first;
(c) Is maintained, so far as practicable, in a dry condition. When a wet process is used, the employer shall maintain drainage and provide false floors, platforms, mats, or other dry standing places.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.3. Illumination.
Note     •     History

(a) General Requirements. 
(1) The employer shall ensure that each work area and walkway is adequately lighted whenever an employee is present.
(2) For landside areas, the employer shall provide illumination that meets the levels set forth in Table F-1.

TABLE F-1 -- MINIMUM LIGHTING INTENSITIES
IN FOOT-CANDLES

Lumens	Area or operation
(foot-candles)

3	General areas on vessels and vessel sections such as 
	access ways, exits, gangways, stairs, and walkways.

5	General landside areas such as corridors, exits, stairs,
	and walkways.

5	All assigned work areas on any vessel or vessel section.

5	Landside tunnels, shafts, vaults, pumping stations, and
	underground work areas.

10	Landside work areas such as machine shops, electrical
	equipment rooms, carpenter shops, lofts, tool rooms, 
	warehouses, and outdoor work areas.

10	Changing rooms, showers, sewered toilets, and eating,

	drinking, and break areas.

30	First aid stations, infirmaries, and offices.
NOTE TO TABLE F-1: The required illumination levels in this table do not apply to emergency or portable lights.
(3) For vessels and vessel sections, the employer shall provide illumination that meets the levels set forth in Table F-1 or meet ANSI/IESNA RP-7-01, Recommended Practice for Lighting Industrial Facilities, ANSI approved July 26, 2001, which is incorporated by reference. 
(4) When adequate illumination is not obtainable by permanent lighting sources, temporary lighting may be used as supplementation.
(5) The employer shall ensure that neither matches nor open-flame devices are used for lighting.
(b) Temporary lights. The employer shall ensure that temporary lights meet the following requirements:
(1) Lights with bulbs that are not completely recessed are equipped with guards to prevent accidental contact with the bulb;
(2) Lights are equipped with electric cords designed with sufficient capacity to safely carry the electric load;
(3) Temporary lights shall be equipped with heavy-duty electric cords with connections and insulation maintained in safe condition. Temporary lights shall not be suspended by their electric cords unless cords and lights are designed for this means of suspension; 
(4) Temporary lighting stringers or streamers shall be so arranged as to avoid overloading of branch circuits; 
(5) Each branch circuit shall be equipped with overcurrent protection of capacity not exceeding the rated current-carrying capacity of the cord used;
(6) Splices have insulation with a capacity that exceeds that of the original insulation of the cord; and
(7) Exposed, non-current-carrying metal parts of lights are grounded. The employer shall ensure that grounding is provided either through a third wire in the cord containing the circuit conductors or through a separate wire that is grounded at the source of the current. Grounding shall be done in accordance with the requirements of General Industry Safety Orders, Subchapter 5, Electrical Safety Orders.
(c) Portable lights. 
(1) In any dark area that does not have permanent or temporary lights, where lights are not working, or where lights are not readily accessible, the employer shall provide portable or emergency lights and ensure that employees do not enter those areas without such lights.
(2) Where temporary lighting from sources outside the vessel is the only means of illumination, portable emergency lighting equipment shall be available to provide illumination for safe movement of employees.
(d) Explosion-proof, self-contained lights. The employer shall provide and ensure that each employee uses only explosion-proof, self-contained temporary and portable lights, approved for hazardous conditions by a nationally recognized testing laboratory (NRTL), in any area that the atmosphere is determined to contain a concentration of flammable vapors that are at or above 10 percent of the lower explosive limit (LEL).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. New NOTE filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
3. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.4. Electric Circuits and Distribution Boards.
Note     •     History

(a) The provisions of this section shall apply to ship repairing and shipbuilding and shall not apply to ship breaking.
(b) Before an employee is permitted to work on an electrical circuit, except when the circuit must remain energized for testing and adjusting, the circuit shall be de-energized and checked at the point at which the work is to be done to insure that it is actually de-energized.
(1) When testing or adjusting an energized circuit a rubber mat, duck board, or other suitable insulation shall be used underfoot where an insulated deck does not exist.
(c) De-energizing the circuit shall be accomplished by opening the circuit breaker, opening the switch, or removing the fuse, whichever method is appropriate. The circuit breaker, switch, or fuse location shall then be locked out or tagged in accordance with Section 8356.
(d) When work is performed immediately adjacent to an open-front energized board or in back of an energized board, the board shall be covered or some other equally safe means shall be used to prevent contact with any of the energized parts.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.5. Safety Color Code for Marking Physical Hazards.
Note     •     History

The requirements applicable to shipyard employment under this section are identical to the requirements set forth General Industry Safety Orders, Section 3340, Accident Prevention Signs.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8391.6. Accident Prevention Signs and Tags.
Note     •     History

The requirements applicable to shipyard employment under this section are identical to the requirements set forth in General Industry Safety Orders Sections 3340 and 3341.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
Article 7. Welding, Cutting and Heating
§8392. Other Applicable Provisions.
Note     •     History

The provisions in the General Industry Safety Orders concerning arc welding and cutting shall apply to all conditions and exposures not specifically covered by these orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8393. Manifolds and Hose Connections.
Note     •     History

(a) Fuel gas and oxygen manifolds shall be placed in safe and accessible locations in the open air. They shall not be located within enclosed spaces.
(b) Manifold hose connections shall be such that hose cannot be interchanged between manifolds carrying different substances.
(c) The use of adaptors to permit the interchange of hose is prohibited.
(d) Hose connections shall be kept free of grease and oil.
(e) All air cocks used at hose connections on compressed air lines shall be of the self-bleeding type.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44).
2. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8394. Hose.
Note     •     History

(a)(1) All hose carrying acetylene, oxygen, natural or manufactured fuel gas, or any gas or substance which may ignite or enter into combustion or be in any way harmful to employees shall be inspected by the user at the beginning of each shift, or if its use is infrequent or intermittent and the intervals of use are separated by periods of time equal in length to one day or more, they shall be inspected each time used.
(2) Defective hose or hose in doubtful condition shall be discarded or repaired. Such hose shall, if repair is impracticable in the field, be returned to the proper department for testing and repair.
(3) Defective hose shall not be issued to employees.
(4) Hose shall be tested for leaks under water at 150 percent of its working pressure.
(b) The use of hose couplings that can be unlocked or disconnected by means of a straight pull without rotary motion is forbidden.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8395. Fuel Gas Cylinders.
Note     •     History

(a)(1) Acetylene cylinders shall not be taken below the main deck into the deck houses or confined spaces aboard ship.
(2) If a fuel gas cylinder is found to leak at a fuse plug or other safety device, or at valves or fittings which cannot be stopped by closing the valve, it shall be properly tagged and removed from the vessel.
Note: If a regulator attached to a cylinder valve will effectively stop a leak through the valve seat, the cylinder need not be removed from the vessel.
(b) Welding, Cutting and Heating of Coated Metals.
(1) Before welding, cutting or heating is commenced on any surface covered by a preservative coating of unknown flammability and toxicity, a test shall be made to determine its flammability and toxicity.
(2) Precautions shall be taken to prevent ignition of highly flammable hardened preservative coatings and when coatings are determined to be highly flammable, they shall be stripped from the area to be heated to prevent ignition.
(3) In enclosed spaces, all surfaces covered with toxic preservatives, including coatings which generate toxic substances upon heating, shall be stripped for a distance of at least four (4) inches from the area of heat application, or employees shall be required to use supplied-air respirators in accordance with Section 5144 of the General Industry Safety Orders or the provisions of Section 5150(b) and (c) of the General Industry Safety Orders shall apply.
(4) Flame or heat shall not be used to remove soft and greasy preservative coatings.
(c) Welding, Cutting and Heating of Coated Metals in Enclosed Spaces.
(1) Before welding, cutting, or heating is commenced in enclosed spaces on metals covered by soft and greasy preservatives, the following precautions shall be taken:
(A) A designated competent person shall test the atmosphere in the space to ensure that it does not contain explosive vapors in excess of 10 percent of the Lower Explosive Limit. If the concentration exceeds 10 percent of the Lower Explosive Limit, the requirement of Section 8355(c)(3) shall apply.
(B) The preservative coatings shall be removed for a sufficient distance from the area to be heated to ensure that the temperature of the unstripped metal will not be appreciably raised. Artificial cooling of the metal surrounding the heated area may be used to limit the size of the area required to be cleaned.
(2) Immediately after welding, cutting or heating is commenced in enclosed spaces on metal covered by soft and greasy preservatives, and at frequent intervals thereafter, a competent person shall make tests to ensure that no flammable vapors are being produced by the coatings. If such vapors are determined to be present, the operation shall be stopped immediately and shall not be resumed until such additional precautions have been taken as are necessary to ensure that the operation can be resumed safely.
(d) Welding, Cutting and Heating of Hollow-Metal Containers and Structures.
(1) Drums, containers, or hollow structures which have contained flammable substances shall, before welding, cutting or heating is undertaken on them, either be filled with water or thoroughly cleaned of such substances and ventilated and tested.
(2) Before heat is applied to a drum, container, or hollow structure, a vent or opening shall be provided for the release of any built-up pressure during the application of heat.
(3) Before welding, cutting, heating or brazing is begun on structural voids such as skegs, bilge keels, fair waters, masts, booms, support stanchions, pipe stanchions, or railings, a competent person shall inspect the object and, if necessary, test it for the presence of flammable liquids or vapors. If flammable liquids or vapors are present, the requirements of (1) of this section shall apply.
(4) Objects such as those listed in paragraph (3) of this section shall also be inspected to determine whether water or other nonflammable liquids are present which, when heated, would build up excessive pressure. If such liquids are determined to be present, the object shall be vented, cooled, or otherwise made safe during the application of heat.
(5) Jacketed vessels shall be vented before and during welding, cutting or heating operations in order to release any pressure which may build up during the application of heat.
(e) Arc Welder Ground Return Circuit. 
Structures or pipe lines, except pipe lines containing flammable gases or liquids or conduits containing electrical circuits, shall be permitted to be used as part of the ground return circuit of arc welding or cutting units provided that the pipe or structure has a current-carrying capacity equal to or exceeding the total specified maximum output capacities of all the units which it services.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Renumbering from Section 8396 filed 2-14-73; effective thirtieth day thereafter (Register 73, No. 7).
2. Amendment filed 10-31-75; effective thirtieth day thereafter (Register 75, No. 44). 
3. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
Article 8. Miscellaneous Safe Practices
§8396. Scope. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of Article 8 (Section 8396) and new Article 8 ( Sections 8396, 8397, 8397.1 through 8397.13) filed 2-14-73; effective thirtieth day thereafter (Register 73, No. 7). 
2. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8397. Fire Prevention. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor code. 
HISTORY

1. Repealer filed 1-22-88; operative 2-1-88 (Register 88, No. 6).
§8397.1. Uses of Fissionable Material.
Note     •     History

(a) In ship repair and related activities involving the use of and exposure to sources of ionizing radiation not only on conventionally powered but also on nuclear powered vessels, the applicable provisions of the Nuclear Regulatory Commission's Standards for Protection Against Radiation (10 CFR Part 20), relating to protection against occupational radiation exposure, shall apply.
(b) Any activity which involves the use of radioactive material, whether or not under license from the Nuclear Regulatory Commission, shall be performed by competent persons specially trained in the proper and safe operation of such equipment. In the case of materials used under Commission license, only persons actually licensed, or competent persons under direction and supervision of the licensee, shall perform such work.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
§8397.2. Electric Power.
Note     •     History

(a) When the vessel is supplied with electric power from a source outside the vessel, the employer shall take the following precautions prior to energizing any of the vessel's circuits:
(1) Ensure that the vessel is grounded.
(2) The employer shall ascertain from responsible vessel's representatives, having a knowledge of the condition of the vessel's electrical system, that all circuits to be energized are in a safe condition.
(3) All circuits to be energized shall be equipped with overcurrent protection of capacity not exceeding the rated current carrying capacity of the conductors used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
2. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8397.3. Work in or on Lifeboats.
Note     •     History

(a) Before employees are permitted to work in or on a lifeboat, either stowed or in a suspended position, the employer shall ensure that the boat is secured independently of the releasing gear to prevent the boat from falling or capsizing.
(b) The employer shall not permit any employee to be in a lifeboat while it is being hoisted or lowered, except when the employer demonstrates that it is necessary to conduct operational tests or drills over water, or in the event of an emergency.
(c) Employees shall not be permitted to work on the outboard side of lifeboats stowed on their chocks unless the boats are secured by gripes or otherwise secured to prevent them from swinging.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
2. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8397.4. Health and Sanitation.
Note     •     History

(a) General requirements. 
(1) The employer shall provide adequate and readily accessible sanitation facilities.
(2) The employer shall establish and implement a schedule for servicing, cleaning, and supplying each facility to ensure it is maintained in a clean, sanitary, and serviceable condition.
(b) Potable water shall be provided in accordance with General Industry Safety Orders, Section 3363.
(c) Non-potable water. 
(1) The employer may use non-potable water for other purposes such as firefighting and cleaning outdoor premises so long as it does not contain chemicals, fecal matter, coliform, or other substances at levels that may create a hazard for employees.
(2) The employer shall clearly mark non-potable water supplies and outlets as “not safe for health or personal use.”
(d) Toilets. 
(1) General requirements. The employer shall ensure that sewered and portable toilets:
(A) Provide privacy at all times. When a toilet facility contains more than one toilet, each toilet shall occupy a separate compartment with a door and walls or partitions that are sufficiently high to ensure privacy; and
(B) Are separate for each sex, except as provided in (d)(1)(B)2 of this section;
1. The number of toilets provided for each sex shall be based on the maximum number of employees of that sex present at the worksite at any one time during a work shift. A single occupancy toilet room shall be counted as one toilet regardless of the number of toilets it contains; and
2. The employer does not have to provide separate toilet facilities for each sex when they will not be occupied by more than one employee at a time, can be locked from the inside, and contain at least one toilet.
(C) The employer shall establish and implement a schedule to ensure that each sewered and portable toilet is maintained in a clean, sanitary, and serviceable condition.
(2) Minimum number of toilets. 
(A) The employer shall provide at least the following number of toilets for each sex. Portable toilets that meet the requirements of subsection (d)(3) may be included in the minimum number of toilets.

TABLE F-2

Number of employees of each sex	Minimum number of toilets per sex
1 to 15	1
16 to 35	2
36 to 55	3
56 to 80	4
81 to 110	5
111 to 150	6
Over 150	1 additional toilet for each
	additional 40 employees.

NOTE TO TABLE F-2: When toilets will only be used by men, urinals may be provided instead of toilets, except that the number of toilets in such cases shall not be reduced to less than two-thirds of the minimum specified.
(3) Portable toilets. 
(A) The employer shall provide portable toilets, pursuant to subsection (d)(2)(A) and Table F-2, only when the employer demonstrates that it is not feasible to provide sewered toilets, or when there is a temporary increase in the number of employees for a short duration of time.
(B) The employer shall ensure that each portable toilet is vented and equipped, as necessary, with lighting.
(4) Exception for normally unattended worksites and mobile work crews. The requirement to provide toilets does not apply to normally unattended worksites and mobile work crews, provided that the employer ensures that employees have immediately available transportation to readily accessible sanitation facilities that are maintained in a clean, sanitary, and serviceable condition and meet the other requirements of this section.
(e) Hand washing facilities. 
(1) The employer shall provide hand washing facilities at or adjacent to each toilet facility.
(2) The employer shall ensure that each hand washing facility:
(A) Is equipped with either hot and cold or lukewarm running water and soap, or with waterless skin-cleansing agents that are capable of disinfecting the skin or neutralizing the contaminants to which the employee may be exposed; and
(B) If the facility uses soap and water, it is supplied with clean, single-use hand towels stored in a sanitary container and a sanitary means for disposing of them, clean individual sections of continuous cloth toweling, or a hand-drying air blower.
(3) The employer shall inform each employee engaged in the application of paints or coatings or in other operations in which hazardous or toxic substances can be ingested or absorbed about the need for removing surface contaminants from their skin's surface by thoroughly washing their hands and face at the end of the work shift and prior to eating, drinking, or smoking.
(f) Showers. Showers shall be provided in accordance with General Industry Safety Orders Section 3366(f).
(g) Changing rooms. When an employer provides protective clothing to prevent employee exposure to hazardous or toxic substances, the employer shall provide the following:
(1) Changing rooms that provide privacy for each sex; and
(2) Storage facilities for street clothes, as well as separate storage facilities for protective clothing.
(h) Eating, drinking, and break areas. The employer shall ensure that food, beverages, and tobacco products are not consumed or stored in any area where employees may be exposed to hazardous or toxic substances.
(i) Waste disposal.
(1) The employer shall provide waste receptacles that meet the following requirements:
(A) Each receptacle is constructed of materials that are corrosion resistant, leak-proof, and easily cleaned or disposable;
(B) Each receptacle is equipped with a solid tight-fitting cover, unless it can be kept in clean, sanitary, and serviceable condition without the use of a cover;
(C) Receptacles are provided in numbers, sizes, and locations that encourage their use; and
(D) Each receptacle is emptied as often as necessary to prevent it from overfilling and in a manner that does not create a hazard for employees. Waste receptacles for food shall be emptied at least every day, unless unused.
(2) The employer shall not permit employees to work in the immediate vicinity of uncovered garbage. 
(3) The employer shall ensure that employees working beneath or on the outboard side of a vessel are not subject to contamination by drainage or waste from overboard discharges.
(j) No minor under 18 years of age shall be employed in ship breaking or related employments. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
2. Editorial correction of subsection (a) (Register 97, No. 25).
3. Amendment filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8397.5. Radar and Communication Systems.
Note     •     History

(a) The employer shall service each vessel's radar and communication systems in accordance with Section 8356, Control of Hazardous Energy. 
(b) The employer shall secure each vessel's radar and communication system so it is incapable of energizing or emitting radiation before any employee begins work:
(1) On or in the vicinity of the system;
(2) On or in the vicinity of a system equipped with a dummy load; or
(3) Aloft, such as on a mast or king post.
(c) When a vessel's radar or communication system is operated, serviced, repaired, or tested, the employer shall ensure that:
(1) There is no other work in progress aloft; and
(2) No employee is closer to the system's antenna or transmitter than the manufacturer's specified safe minimum distance for the type, model, and power of the equipment.
(d) The employer shall ensure that no employee enters an area designated as hazardous by manufacturers' specifications while a radar or communication system is capable of emitting radiation.
(e) The requirements of this section do not apply when a radar or communication system is incapable of emitting radiation at levels that could injure workers in the vicinity of the system, or if the radar or communication system is incapable of energizing in a manner than could injure workers working on or in the vicinity of the system.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
2. Amendment of section heading and section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50).
§8397.6. Working Alone.
Note     •     History

(a) Whenever an employee is working alone, such as in a confined space or isolated location, the employer shall account for each employee:
(1) Throughout each work shift at regular intervals appropriate to the job assignment to ensure the employee's safety and health; and
(2) At the end of the job assignment or at the end of the work shift, whichever occurs first.
(b) The employer shall account for each employee by sight or verbal communication.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 12-13-2011; operative 12-13-2011. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2011, No. 50). For prior history, see Register 88, No. 6.
§8397.7. Utilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8397.8. Work in or on Lifeboats. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8397.9. Health and Sanitation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-5-73 as procedural and organizational; effective upon filing (Register 73, No. 10). 
2. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8397.10. Fire Protection.
Note     •     History

(a) Multi-employer worksites. 
(1) Host employer responsibilities. The host employer's responsibilities are to: 
(A) Inform all employers at the worksite about the content of the fire safety plan including hazards, controls, fire safety and health rules, and emergency procedures; 
(B) Make sure the safety and health responsibilities for fire protection are assigned as appropriate to other employers at the worksite; and 
(C) If there is more than one host employer, each host employer shall communicate relevant information about fire-related hazards to other host employers. When a vessel owner or operator (temporarily) becomes a host shipyard employer by directing the work of ships' crews on repair or modification of the vessel or by hiring other contractors directly, the vessel owner or operator shall also comply with these provisions for host employers. 
(b) Contract employer responsibilities. 
(1) The contract employer's responsibilities are to: 
(A) Make sure that the host employer knows about the fire-related hazards associated with the contract employer's work and what the contract employer is doing to address them; and 
(B) Advise the host employer of any previously unidentified fire-related hazards that the contract employer identifies at the worksite. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 4-14-2005; operative 4-14-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 15). For prior history, see Register 88, No. 6.
§8397.11. Fire Safety Plan.
Note     •     History

(a) Employer responsibilities. The employer shall develop and implement a written fire safety plan that covers all the actions that employers and employees shall take to ensure employee safety in the event of a fire. 
(b) Plan elements. The employer shall include the following information in the fire safety plan: 
(1) Identification of the significant fire hazards; 
(2) Procedures for recognizing and reporting unsafe conditions; 
(3) Alarm procedures; 
(4) Procedures for notifying employees of a fire emergency; 
(5) Procedures for notifying fire response organizations of a fire emergency; 
(6) Procedures for evacuation; 
(7) Procedures to account for all employees after an evacuation; and 
(8) Names, job titles, or departments for individuals who can be contacted for further information about the plan. 
(c) Reviewing the plan with employees. The employer shall review the plan with each employee at the following times: 
(1) Within 90 days of March 17, 2005, for employees who are currently working; 
(2) Upon initial assignment for new employees; and 
(3) When the actions the employee shall take under the plan change because of a change in duties or a change in the plan. 
(d) Additional employer requirements. The employer also shall: 
(1) Keep the plan accessible to employees, employee representatives, and the Division; 
(2) Review and update the plan whenever necessary, but at least annually; 
(3) Document that affected employees have been informed about the plan as required by subsection (c) of this section; and 
(4) Ensure any outside fire response organization that the employer expects to respond to fires at the employer's worksite has been given a copy of the current plan. 
(e) Contract employers. Contract employers in shipyard employment shall have a fire safety plan for their employees, and this plan shall comply with the host employer's fire safety plan. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-14-2005; operative 4-14-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 15). For prior history, see Register 88, No. 6.
§8397.12. Fire Response.
Note     •     History

(a) Employer responsibilities. The employer shall: 
(1) Decide what type of response will be provided and who will provide it; and 
(2) Create, maintain, and update a written policy that: 
(A) Describes the internal and outside fire response organizations that the employer will use; and 
(B) Defines what evacuation procedures employees shall follow, if the employer chooses to require a total or partial evacuation of the worksite at the time of a fire. 
(b) Required written policy information. 
(1) Internal fire response. If an internal fire response is to be used, the employer shall include the following information in the employer's written policy: 
(A) The basic structure of the fire response organization; 
(B) The number of trained fire response employees; 
(C) The fire response functions that may need to be carried out; 
(D) The minimum number of fire response employees necessary, the number and types of apparatuses, and a description of the fire suppression operations established by written standard operating procedures for each type of fire response at the employer's facility; 
(E) The type, amount, and frequency of training that shall be given to fire response employees; and 
(F) The procedures for using protective clothing and equipment. 
(2) Outside fire response. If an outside fire response organization is used, the employer shall include the following information in the written policy: 
(A) The types of fire suppression incidents to which the fire response organization is expected to respond at the employer's facility or worksite; 
(B) The liaisons between the employer and the outside fire response organizations; and 
(C) A plan for fire response functions that: 
1. Addresses procedures for obtaining assistance from the outside fire response organization; 
2. Familiarizes the outside fire response organization with the layout of the employer's facility or worksite, including access routes to controlled areas, and site-specific operations, occupancies, vessels or vessel sections, and hazards; and, 
3. Sets forth how hose and coupling connection threads are to be made compatible and includes where the adapter couplings are kept; or 
4. States that the employer will not allow the use of incompatible hose connections. 
(3) A combination of internal and outside fire response. If a combination of internal and outside fire response is to be used, the employer shall include the following information, in addition to the requirements in subsections (b)(1) and (2) of this section, in the written policy: 
(A) The basic organizational structure of the combined fire response; 
(B) The number of combined trained fire responders;
(C) The fire response functions that may need to be carried out; 
(D) The minimum number of fire response employees necessary, the number and types of apparatuses, and a description of the fire suppression operations established by written standard operating procedures for each particular type of fire response at the worksite; and 
(E) The type, amount, and frequency of joint training with outside fire response organizations if given to fire response employees. 
(4) Employee evacuation. The employer shall include the following information in the employer's written policy: 
(A) Emergency escape procedures; 
(B) Procedures to be followed by employees who may remain longer at the worksite to perform critical shipyard employment operations during the evacuation; 
(C) Procedures to account for all employees after emergency evacuation is completed; 
(D) The preferred means of reporting fires and other emergencies; and 
(E) Names or job titles of the employees or departments to be contacted for further information or explanation of duties. 
(5) Rescue and emergency response. The employer shall include the following information in the employer's written policy: 
(A) A description of the emergency rescue procedures; and 
(B) Names or job titles of the employees who are assigned to perform them. 
(c) Medical requirements for shipyard fire response employees. The employer shall ensure that: 
(1) All fire response employees receive medical examinations to assure that they are physically and medically fit for the duties they are expected to perform; 
(2) Fire response employees, who are required to wear respirators in performing their duties, meet the medical requirements of Section 5144 of the General Industry Safety Orders; 
(3) Each fire response employee has an annual medical examination; and 
(4) The medical records of fire response employees are kept in accordance with Section 3204 of the General Industry Safety Orders. 
(d) Organization of internal fire response functions. The employer shall: 
(1) Organize fire response functions to ensure enough resources to conduct emergency operations safely; 
(2) Establish lines of authority and assign responsibilities to ensure that the components of the internal fire response are accomplished; 
(3) Set up an incident management system to coordinate and direct fire response functions, including: 
(A) Specific fire emergency responsibilities; 
(B) Accountability for all fire response employees participating in an emergency operation; and 
(C) Resources offered by outside organizations; and 
(4) Provide the information required in this subsection (d) to the outside fire response organization to be used. 
(e) Personal protective clothing and equipment for fire response employees. 
(1) General requirements. The employer shall: 
(A) Supply to all fire response employees, at no cost, the appropriate personal protective clothing and equipment they may need to perform expected duties; and 
(B) Ensure that fire response employees wear the appropriate personal protective clothing and use the equipment, when necessary, to protect them from hazardous exposures. 
(2) Thermal stability and flame resistance. The employer shall: 
(A) Ensure that each fire response employee exposed to the hazards of flame does not wear clothing that could increase the extent of injury that could be sustained; and 
(B) Prohibit wearing clothing made from acetate, nylon, or polyester, either alone or in blends, unless it can be shown that: 
(C) The fabric will withstand the flammability hazard that may be encountered; or 
(D) The clothing will be worn in such a way to eliminate the flammability hazard that may be encountered. 
(3) Respiratory protection. The employer shall: 
(A) Provide self-contained breathing apparatus (SCBA) to all fire response employees involved in an emergency operation in an atmosphere that is immediately dangerous to life or health (IDLH), potentially IDLH, or unknown; 
(B) Provide SCBA to fire response employees performing emergency operations during hazardous chemical emergencies that will expose them to known hazardous chemicals in vapor form or to unknown chemicals; 
(C) Provide fire response employees who perform or support emergency operations that will expose them to hazardous chemicals in liquid form either: 
1. SCBA, or 
2. Respiratory protective devices certified by the National Institute for Occupational Safety and Health (NIOSH) under 42 CFR Part 84 as suitable for the specific chemical environment; 
(D) Ensure that additional outside air supplies used in conjunction with SCBA result in positive pressure systems that are certified by NIOSH under 42 CFR Part 84; 
(E) Provide only SCBA that meet the requirements of NFPA 1981, Standard on Open-Circuit Self-Contained Breathing Apparatus for Fire and Emergency Services, 2002 Edition, which is hereby incorporated by reference; and 
(F) Ensure that the respiratory protection program and all respiratory protection equipment comply with Section 5144 of the General Industry Safety Orders. 
(4) Interior structural firefighting operations. The employer shall: 
(A) Supply at no cost to all fire response employees exposed to the hazards of shipyard fire response, a helmet, gloves, footwear, and protective hoods, and either a protective coat and trousers or a protective coverall; and
(B) Ensure that this equipment meets the applicable recommendations in NFPA 1971, Standard on Protective Ensemble for Structural Fire Fighting, 2000 Edition, which is hereby incorporated by reference. 
(5) Proximity firefighting operations. The employer shall provide, at no cost, to all fire response employees who are exposed to the hazards of proximity firefighting, appropriate protective proximity clothing that meets the applicable recommendations in NFPA 1976, Standard on Protective Ensemble for Proximity Fire Fighting, 2000 Edition, which is hereby incorporated by reference. 
(6) Life safety ropes, body harnesses, and hardware. The employer shall ensure that: 
(A) All life safety ropes, body harnesses, and hardware used by fire response employees for emergency operations meet the applicable recommendations in NFPA 1983, Standard on Fire Service Life Safety Rope and System Components, 2001 Edition, which is hereby incorporated by reference; 
(B) Fire response employees use only Class I body harnesses to attach to ladders and aerial devices; and 
(C) Fire response employees use only Class II and Class III body harnesses for fall arrest and rappelling operations. 
(7) Personal Alert Safety System (PASS) devices. The employer shall:
(A) Provide each fire response employee involved in firefighting operations with a PASS device; and
(B) Ensure that each PAS device meets the recommendations in NFPA 1982-1998 Standard on Personal Alert Safety Systems (PASS), which is hereby incorporated be reference.
(f) Equipment maintenance. 
(1) Personal protective equipment. The employer shall inspect and maintain personal protective equipment used to protect fire response employees to ensure that it provides the intended protection. 
(2) Fire response equipment. The employer shall: 
(A) Keep fire response equipment in a state of readiness; 
(B) Standardize all fire hose coupling and connection threads throughout the facility and on vessels and vessel sections by providing the same type of hose coupling and connection threads for hoses of the same or similar diameter; and 
(C) Ensure that either all fire hoses and coupling connection threads are the same within a facility or vessel or vessel section as those used by the outside fire response organization, or supply suitable adapter couplings if such an organization is expected to use the fire response equipment within a facility or vessel or vessel section. 
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-14-2005; operative 4-14-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 15). For prior history, see Register 88, No. 6.
2. New subsections (e)(7)-(e)(7)(B) filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 8).
§8397.13. Training.
Note     •     History

(a) The employer shall train employees in the applicable requirements of this section: 
(1) Within 90 days of March 17, 2005, for employees currently working; 
(2) Upon initial assignment for new employees; and 
(3) When necessary to maintain proficiency for employees previously trained. 
(b) Employee training. The employer shall ensure that all employees are trained on: 
(1) The emergency alarm signals, including system discharge alarms and employee evacuation alarms; and 
(2) The primary and secondary evacuation routes that employees shall use in the event of a fire in the workplace. While all vessels and vessel sections shall have a primary evacuation route, a secondary evacuation route is not required when impracticable. 
(c) Additional training requirements for employees expected to fight incipient stage fires. The employer shall ensure that employees expected to fight incipient stage fires are trained on the following: 
(1) The general principles of using fire extinguishers or hose lines, the hazards involved with incipient firefighting, and the procedures used to reduce these hazards; 
(2) The hazards associated with fixed and portable fire protection systems that employees may use or to which they may be exposed during discharge of those systems; and 
(3) The activation and operation of fixed and portable fire protection systems that the employer expects employees to use in the workplace. 
(d) Additional training requirements for shipyard employees designated for fire response. The employer shall: 
(1) Have a written training policy stating that fire response employees shall be trained and capable of carrying out their duties and responsibilities at all times; 
(2) Keep written standard operating procedures that address anticipated emergency operations and update these procedures as necessary; 
(3) Review fire response employee training programs and hands-on sessions before they are used in fire response training to make sure that fire response employees are protected from hazards associated with fire response training; 
(4) Provide training for fire response employees that ensures they are capable of carrying out their duties and responsibilities under the employer's standard operating procedures; 
(5) Train new fire response employees before they engage in emergency operations; 
(6) At least quarterly, provide training on the written operating procedures to fire response employees who are expected to fight fires; 
(7) Use qualified instructors to conduct the training; 
(8) Conduct any training that involves live fire response exercises in accordance with NFPA 1403, Standard on Live Fire Training Evolutions, 2002 Edition, which is hereby incorporated by reference;
(9) Conduct semi-annual drills according to the employer's written procedures for fire response employees that cover site-specific operations, occupancies, buildings, vessels and vessel sections, and fire-related hazards; and 
(10) Prohibit the use of smoke generating devices that create a dangerous atmosphere in training exercises. 
(e) Additional training requirements for fire watch duty. 
(1) The employer shall ensure that each fire watch is trained by an instructor with adequate fire watch knowledge and experience to cover the items as follows: 
(A) Before being assigned to fire watch duty; 
(B) Whenever there is a change in operations that presents a new or different hazard; 
(C) Whenever the employer has reason to believe that the fire watch's knowledge, skills, or understanding of the training previously provided is inadequate; and 
(D) Annually. 
(2) The employer shall ensure that each employee who stands fire watch duty is trained in: 
(A) The basics of fire behavior, the different classes of fire and of extinguishing agents, the stages of fire, and methods for extinguishing fires; 
(B) Extinguishing live fire scenarios whenever allowed by local and federal law; 
(C) The recognition of the adverse health effects that may be caused by exposure to fire; 
(D) The physical characteristics of the hot work area; 
(E) The hazards associated with fire watch duties; 
(F) The personal protective equipment (PPE) needed to perform fire watch duties safely; 
(G) The use of PPE; 
(H) The selection and use of any fire extinguishers and fire hoses likely to be used by a fire watch in the work area; 
(I) The location and use of barriers; 
(J) The means of communication designated by the employer for fire watches; 
(K) When and how to start fire alarm procedures; and 
(L) The employer's evacuation plan. 
(3) The employer shall ensure that each fire watch is trained to alert others to exit the space whenever: 
(A) The fire watch perceives an unsafe condition; 
(B) The fire watch perceives that a worker performing hot work is in danger; 
(C) The employer or a representative of the employer orders an evacuation; or 
(D) An evacuation signal, such as an alarm, is activated. 
(f) Records. The employer shall keep records that demonstrate that employees have been trained as required by subsections (a) through (e) of this section. 
(1) The employer shall ensure that the records include the employee's name; the trainer's name; the type of training; and the date(s) on which the training took place. 
(2) The employer shall keep each training record for one year from the time it was made or until it is replaced with a new training record, whichever is shorter, and make it available for inspection and copying by the Division upon request. 
NOTE

Authority cited: Section 142.3 Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 4-14-2005; operative 4-14-2005. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2005, No. 15). For prior history, see Register 88, No. 6.
§8397.14. Precautions for Hot Work.
Note     •     History

(a) General requirements. 
(1) Designated Areas. The employer may designate areas for hot work in sites such as vessels, vessel sections, fabricating shops, and subassembly areas that are free of fire hazards. 
(2) Non-designated Areas. 
(A) Before authorizing hot work in a non-designated area, the employer must visually inspect the area where hot work is to be performed, including adjacent spaces, to ensure the area is free of fire hazards, unless a Marine Chemist's certificate or Shipyard Competent Person's log is used for authorization. 
(B) The employer shall authorize employees to perform hot work only in areas that are free of fire hazards, or that have been controlled by physical isolation, fire watches, or other positive means. 
Note to subsection (a)(2): The requirements of subsection (a)(2) apply to all hot work operations in shipyard employment except those covered by Articles 4 and 7 of these Orders. 
(b) Specific requirements. 
(1) Maintaining fire hazard-free conditions. The employer must keep all hot work areas free of new hazards that may cause or contribute to the spread of fire. Unexpected energizing and energy release are covered by Section 8397.2 and the Electrical Safety Orders. Exposure to toxic and hazardous substances is covered in General Industry Safety Orders, Article 107, Section 5155. 
(2) Fuel gas and oxygen supply lines and torches. The employer must make sure that: 
(A) No unattended fuel gas and oxygen hose lines or torches are in confined spaces; 
(B) No unattended charged fuel gas and oxygen hose lines or torches are in enclosed spaces for more than 15 minutes; 
(C) All fuel gas and oxygen hose lines are disconnected at the supply manifold at the end of each shift; 
(D) All disconnected fuel gas and oxygen hose lines are rolled back to the supply manifold or to open air to disconnect the torch; or extended fuel gas and oxygen hose lines are not reconnected at the supply manifold unless the lines are given a positive means of identification when they were first connected and the lines are tested using a drop test or other positive means to ensure the integrity of fuel gas and oxygen burning system. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 8).
§8397.15. Fire Watches.
Note     •     History

(a) Written fire watch policy. The employer must create and keep current a written policy that specifies the following requirements for employees performing fire watch in the workplace: 
(1) The training employees must be given (Section 8397.13(c) contains detailed fire watch training requirements); 
(2) The duties employees are to perform; 
(3) The equipment employees must be given; and 
(4) The personal protective equipment (PPE) that must be made available and worn as required by Article 10 of the General Industry Safety Orders. 
(b) Posting fire watches. The employer must post a fire watch if during hot work any of the following conditions are present: 
(1) Slag, weld splatter, or sparks might pass through an opening and cause a fire; 
(2) Fire-resistant guards or curtains are not used to prevent ignition of combustible materials on or near decks, bulkheads, partitions, or overheads; 
(3) Combustible material closer than 35 ft. (10.7m) to the hot work in either the horizontal or vertical direction cannot be removed, protected with flame-proof covers, or otherwise shielded with metal or fire-resistant guards or curtains; 
(4) The hot work is carried out on or near insulation, combustible coatings, or sandwich-type construction that cannot be shielded, cut back, or removed, or in a space within a sandwich type construction that cannot be inerted; 
(5) Combustible materials adjacent to the opposite sides of bulkheads, decks, overheads, metal partitions, or sandwich-type construction may be ignited by conduction or radiation; 
(6) The hot work is close enough to cause ignition through heat radiation or conduction on the following: 
(A) Insulated pipes, bulkheads, decks, partitions, or overheads; or 
(B) Combustible materials and/or coatings; 
(7) The work is close enough to unprotected combustible pipe or cable runs to cause ignition; or 
(8) A Marine Chemist, a Coast Guard-authorized person, or a shipyard Competent Person, as defined in Section 8355 of these Orders, requires that a fire watch be posted. 
(c) Assigning employees to fire watch duty. 
(1) The employer must not assign other duties to a fire watch while the hot work is in progress. 
(2) Employers must ensure that employees assigned to fire watch duty: 
(A) Have a clear view of and immediate access to all areas included in the fire watch; 
(B) Are able to communicate with workers exposed to hot work; 
(C) Are authorized to stop work if necessary and restore safe conditions within the hot work area; 
(D) Remain in the hot work area for at least 30 minutes after completion of the hot work, unless the employer or its representative surveys the exposed area and makes a determination that there is no further fire hazard; 
(E) Are trained to detect fires that occur in areas exposed to the hot work; 
(F) Attempt to extinguish any incipient stage fires in the hot work area that are within the capability of available equipment and within the fire watch's training qualifications, as defined in Section 8397.13. 
(G) Alert employees of any fire beyond the incipient stage; and 
(H) If unable to extinguish fire in the areas exposed to the hot work, activate the alarm. 
(3) The employer must ensure that employees assigned to fire watch are physically capable of performing these duties. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. New section filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 8).
§8397.16. Land-Side Fire Protection Systems.
Note     •     History

(a) Employer responsibilities. The employer must ensure all fixed and portable fire protection systems needed to meet an OSHA standard for employee safety or employee protection from fire hazards in land-side facilities, including, but not limited to, buildings, structures, and equipment, meet the requirements of this section. 
(b) Portable fire extinguishers and hose systems. 
(1) The employer must select, install, inspect, maintain, and test all portable fire extinguishers according to NFPA 10-2002 Standard for Portable Fire Extinguishers, which is hereby incorporated by reference. 
(2) The employer is permitted to use Class II or Class III hose systems, in accordance with NFPA 10-2002, as portable fire extinguishers if the employer selects, installs, inspects, maintains, and tests those systems according to the specific recommendations in NFPA 14-2003 Standard for the Installation of Standpipe and Hose Systems, which is hereby incorporated by reference. 
(c) General requirements for fixed extinguishing systems. The employer must: 
(1) Ensure that any fixed extinguishing system component or extinguishing agent is approved by an OSHA Nationally Recognized Testing Laboratory, meeting the requirements of General Industry Safety Order, Section 3206 for use on the specific hazards the employer expects it to control or extinguish; 
(2) Notify employees and take the necessary precautions to ensure employees are safe from fire if for any reason a fire extinguishing system stops working, until the system is working again; 
(3) Ensure all repairs to fire extinguishing systems and equipment are done by a qualified technician or mechanic; 
(4) Provide and ensure employees use proper personal protective equipment when entering discharge areas in which the atmosphere remains hazardous to employee safety or health, or provide safeguards to prevent employees from entering those areas. See Section 8355 of these Orders for additional requirements applicable to safe entry into spaces containing dangerous atmospheres; 
(5) Post hazard warning or caution signs at both the entrance to and inside of areas protected by fixed extinguishing systems that use extinguishing agents in concentrations known to be hazardous to employee safety or health; and 
(6) Select, install, inspect, maintain, and test all automatic fire detection systems and emergency alarms according to NFPA 72-2002 National Fire Alarm Code, which is hereby incorporated by reference. 
(d) Fixed extinguishing systems. The employer must select, install, maintain, inspect, and test all fixed systems required by OSHA as follows: 
(1) Standpipe and hose systems according to NFPA 14-2003 Standard for the Installation of Standpipe and Hose Systems, which is hereby incorporated by reference;
(2) Automatic sprinkler systems according to NFPA 25-2002 Standard for the Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems, which is hereby incorporated by reference, and either NFPA 13-2002 Standard for the Installation of Sprinkler Systems, which is hereby incorporated by reference or NFPA 750-2003 Standard on Water Mist Fire Protection Systems, which is hereby incorporated by reference. 
(3) Fixed extinguishing systems that use water or foam as the extinguishing agent according to NFPA 15-2001 Standard for Water Spray Fixed Systems for Fire Protection, which is hereby incorporated by reference; NFPA 11-2005 Standard for Low-, Medium-, and High-Expansion Foam, which is hereby incorporated by reference; 
(4) Fixed extinguishing systems using dry chemical as the extinguishing agent according to NFPA 17-2002 Standard for Dry Chemical Extinguishing Systems, which is hereby incorporated by reference; and 
(5) Fixed extinguishing systems using gas as the extinguishing agent according to NFPA 12-2005 Standard on Carbon Dioxide Extinguishing Systems, which is hereby incorporated by reference; NFPA 12A-2004 Standard on Halon 1301 Fire Extinguishing Systems, which is hereby incorporated by reference; and NFPA 2001-2004 Standard on Clean Agent Fire Extinguishing Systems, which is hereby incorporated by reference. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New section filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only pursuant to Labor Code section 142.3(a)(3) (Register 2006, No. 8).
2. Amendment filed 5-16-2007; operative 5-16-2007. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Labor Code section 142.3(a)(3) (Register 2007, No. 20).
Article 9. Personal Protective Equipment
§8398. Head Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).
§8399. Eye Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer filed 1-22-88; operative 2-21-88 (Register 88, No. 6).

Appendix A

Code of Safe Practices
(This is a suggested code. It is general in nature and intended as a basis for preparation by the employer of a code that fits the yard's operations more exactly.)

GENERAL
1. All injuries are to be reported to the immediate supervisor promptly so that adequate medical attention may be given.
2. Companionway hatch covers should be checked regularly for faulty securing devices. Do your part by reporting such faults. 
3. Compressed gases are not to be used for purposes other than their designated uses. They are not to be used to clean clothing,machines, tools, empty containers of liquids, or for ventilation. 
4. Good housekeeping must be maintained at all times aboard ship and the adjacent berth or dock. Aisles and passageways in shops,warehouses, and yard areas are to be kept clear of material. Welding leads, burner hose, air hose, and other temporary lines should be arranged so that they do not produce a tripping hazard on staging, walkways, ladders, stairways, and companionways.
5. Deck openings are not to be covered by loose material. All openings are to be protected so that no one can step or fall into them.
6. All safety precautions are to be followed against harmful and explosive gases when entering tanks, voids, or compartments. If in doubt, the supervisor should have the area certified safe by a qualified person.
7. Rules, regulations, and signs placed for the protection of personnel and equipment are to be obeyed.
8. Smoking, open flames, or other sources of ignition are not permitted in areas where a fire hazard may exist. 
9. Safety devices are not to be tampered with, nor are the warning tags placed on them to be removed except by the person or persons placing them.
10. Employees shall keep out from under suspended loads at all times.
11. Cranes are to be equipped with effective warning devices. In congested areas, the signal should be automatically operated to sound continuously while the crane is in operation. If the device becomes inoperative it should be brought to the attention of supervision and repaired immediately.
12. Shipyard traffic rules are to be strictly obeyed while operating a vehicle, regardless of type.
13. Wiping cloths and oily waste should be disposed of in designated containers.
14. All employees shall be given frequent accident prevention instructions.
15. Anyone known to be under the influence of drugs or intoxicating substances which impair the employee's ability to safely perform the assigned duties shall not be allowed on the job.
16. Horseplay, scuffling, and all other acts which tend to have an adverse influence on the safety or well-being of the employees shall be prohibited.
17. Work shall be well planned and supervised to prevent injuries in the handling of materials and in working together with equipment.
18. No one shall knowingly be permitted or required to work while the employee's ability or alertness is so impaired by fatigue, illness, or other causes that it might unnecessarily expose the employee or others to injury.
19. Air hoses shall not be disconnected at compressors until hose line has been bled.
20. Crowding or pushing when boarding or leaving any vehicle or other convenience shall be prohibited.
21. Employees shall not handle or tamper with any electrical equipment machinery, or air or water lines in a manner not within the scope of their duties unless they have received instructions from their foreman.
22. When lifting heavy objects, the large muscles of the leg instead of the smaller muscles of the back shall be used.
23. Appropriate footwear shall be worn.
24. Materials, tools, or other objects shall not be thrown from elevated structures until proper precautions are taken to protect others from the falling of objects.
25. Employees shall cleanse thoroughly after handling hazardous substances, and follow special instructions from authorized sources.
26. Work shall be so arranged that employees are able to face ladders and use hands while climbing.
27. Gasoline shall not be used for cleaning purposes.
28. No burning, welding, or other source of ignition shall be applied to any enclosed tank or vessel, even if there are some openings, until it has first been determined that no possibility of explosion exists, and authority for the work is obtained from the foreman or superintendent.
29. Any damage to scaffolds, falsework, or other supporting structures shall be immediately reported to the foreman and repaired before use.

TOOLS AND EQUIPMENT 
30. Machines, valves, switches, turrets, elevators, etc., must be checked and everyone must be in the clear before such devices are put in operation.
31. Safeguards are not to be altered or removed from tools and equipment.
32. Temporary services such as air, steam, water, and electricity furnished by the employer are not to be altered or tampered with. 
33. Proper equipment is to be used for loading or unloading material or tools to or from staging or hatchways, proper equipment is to be used for this purpose.
34. Tools and equipment are to be secured, to prevent falling when working aloft. 
35. All tools and equipment shall be maintained in good condition. 
36. Damaged tools or equipment shall be removed from service and tagged “DEFECTIVE.”
37. Only appropriate tools shall be used for the job. 
38. TOOLS shall not be altered by the addition of handle- extensions or “cheaters.” 
39. Portable electric tools shall not be lifted or lowered by means of the power cord. Ropes shall be used. 
40. Electric cords shall not be exposed to damage from vehicles.
41. In locations where the use of a portable power tool is difficult, the tool shall be supported by means of a rope or similar support of adequate strength.

MACHINERY
42. Only authorized persons shall operate machinery or equipment. 
43. Loose or frayed clothing, or long hair, dangling ties, finger rings, etc., shall not be worn around moving machinery or other sources of entanglement.
44. Machinery shall not be serviced, repaired or adjusted while in operation, nor shall oiling of moving parts be attempted, except on equipment that is designed or fitted with safeguards to protect the person performing the work.
45. Where appropriate, lock-out procedures shall be used. 

STAGING
46. Safe access is to be provided to and from all staging.
47. Properly installed staging is to be used at all times.
48. Staging scaffolds, safety lines, or other barricades erected by the shipyard force are not to be altered except by authorized employees. 

PERSONAL PROTECTIVE EQUIPMENT
49. Hard hats and other personal protective equipment are to be used in accordance with yard instructions.
50. Appropriate respirators and or body protection are to be worn whenever materials or working conditions may create a health hazard.
51. Approved eye and/or face protection suitable for the conditions encountered are to be worn when working near welding operations, grinding, chipping, or wire brushing, or when working with acids or other harmful substances.
52. Safety belts and lanyards are to be worn where required.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 

Appendix B

Suggested Safety Program For Employers 

GENERAL
1. Demonstrate your interest in safety by establishing a firm and positive accident prevention policy that includes the supplying of tangible items like hard hats, good ladders, first aid materials, and safety devices on equipment.
2. Provide that capable, responsible supervisors make regular inspections of scaffolds, stairs, ladders, structures, machinery and equipment at frequent intervals and take immediate corrective measures to eliminate hazards.
3. Make certain that the foreman assume their share of the responsibility for accidents and require a written report from them on each accident. Require that each report suggest a feasible means of avoiding future accidents of a similar nature.
4. Hold monthly or more frequent meetings with all foreman for a discussion of safety problems and accidents that have occurred. Have something specific ready for discussion, such as safety regulations, or any changes in equipment and methods that are to be adopted for safety reasons.
5. Keep track of your safety record and keep everyone posted as to progress. A graph or chart, indicating gains or losses, is good for this purpose.
6. Display safety posters, warning signs and a sign indicating how many consecutive accident-free days have passed.
7. Post a list of all shops which have been accident free for a specific period of time.
8. Establish various forms of safety competition, including suitable rewards or recognition to individuals and crews with good records.
9. Require foremen to give individual safety instructions and orders to new employees and those found to be working unsafely.
10. Have the foremen call short “gangbox” safety meetings with their crew once a week on the job, to emphasize some particular safety problem that needs special attention.
11. Encourage safety suggestions from all employees and, if the suggestion cannot be followed promptly, explain why to the employee.
12. Give employees copies of certain important safety rules that they are expected to follow.
13. Arrange for frequent and regular field safety inspections.
NOTE

Authority cited: Sections 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Appendix B filed 1-22-88; operative 2-21-88 (Register 88, No. 6). 
Subchapter 19. Trench Construction Safety Orders [Repealed]

(Originally Printed 4-20-45)
Repeal of this set of orders, containing §§8100 through 8114 was filed 8-29-57, effective thirty days thereafter. The orders were superseded by Construction Safety Orders. (See Subchapter 4)
Subchapter 20. Tunnel Safety Orders

(Originally Printed 4-20-45
Revisions Filed 8-20-54 and 8-23-73)

* Chapter 1431, Statutes of 1945, transferred jurisdiction over industrial safety orders from the Industrial Accident Commission to the Division of Industrial Safety.
Article 1. Introduction
§8400. Title. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Tunnel Safety Rules (Sections 8400 through 8469) originally printed 4-20-45 (Title 8); for amendments, see Register 3.
2. Repealer of Tunnel Safety Rules and new Tunnel Safety Orders, numbered Subchapter 20 (Sections 8400 through 8498, and Appendix A) filed 8-20-54; effective thirtieth day thereafter (Register 54, No. 18).
3. Repealer of Subchapter 20 §§ 8400, 8401, 8403-8407, 8409-8417, 8420-8422, 8425-8438, 8440-8453, 8455-8459, 8462-8468, 8470-8479, 8485-8488, 8490-8498 and Appendices A and B and new Subchapter 20 §§ 8400, 8401, 8403-8410, 8414-8416, 8420-8422, 8424-8428, 8430-8433, 8437, 8438, 8440, 8441, 8445, 8446, 8450, 8455-8460, 8470-8483, 8490-8502, 8505-8521, 8525-8531, 8535-8554 and Appendices A and B, filed 8-23-73; effective thirtieth day thereafter (Register 73, No. 34). For prior history, see Register 62, No. 23.
4. Repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8401. Superseded Orders. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8403. Scope and Application.
Note     •     History

(a) In accordance with the provisions of Labor Code, Division 5, Part 9 et al., these orders establish minimum safety standards in places of employment at tunnels, shafts, raises, inclines, underground chambers, and premises appurtenant thereto during excavation, construction, alteration, repairing, renovating or demolishing and the following:
(1) Cut-and-cover operations such as subway stations which are both physically connected to ongoing underground construction operations and are covered in such a manner as to create conditions characteristic of underground construction.
(2) Boring and pipejacking operations 30 inches in diameter or greater in size.

Exceptions: These safety orders do not apply to utility natural gas pipelines subject to the jurisdiction of the California Public Utilities Commission or the U.S. Department of Transportation, Office of Pipeline Safety, where a person does not bodily enter the bore during boring or pipejacking operations.
(3) Pipelines which are connected to and/or are an integral part of a tunnel where persons are working inside and the conditions are similar to a lined tunnel construction or repair project.
(4) All shaft excavations intended to exceed 20 feet in depth where employees may enter the shaft and/or approach the shaft area. A shaft will be considered a shaft from its inception. For shafts 20 feet or less in depth and excavations unrelated to the Tunnel Safety Orders, refer to, CCR, Title 8, Section 1533 and Article 6, commencing with Section 1539 of the Construction Safety Orders.
(b) With the following exception these orders take precedence at tunnels over any other safety orders of the Division that are inconsistent with them. Where employees work under the pressure of air in excess of atmospheric pressure, in connection with tunnel work, the Compressed Air Safety Orders also apply and take precedence over any Tunnel Safety Orders that are in conflict.
(c) Machines, equipment, processes and operations not specifically covered by these orders shall be governed by all other applicable general safety orders contained in Title 8, California Code of Regulations.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
2. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Change without regulatory effect amending subsection (a)(3) filed 4-20-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 17).
4. Amendment of subsection (a)(4) filed 5-1-2012; operative 5-31-2012 (Register 2012, No. 18).
§8404. Permit for Variation from These Orders.
Note     •     History

Any permit for variance from these safety orders shall be in accordance with Labor Code, Sections 143 and 6450 and Title 8, Chapter 3.5, Subchapter 1.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new section and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 2. Definitions
§8405. Definitions.
Note     •     History

The following definitions shall apply in the application of these orders. 
Acceptable. Acceptable to the Division.
Access Shaft. A shaft used as a regular means of worker access to or from underground operations.
Air Supply Lines. Pipe, hose, or combination of pipe and hose, that supplies compressed air to equipment.
Approved. Those products, devices, systems, or installations meeting the requirements of Section 3206 of the General Industry Safety Orders.
Automatic Coupler. A connecting device between rail equipment that automatically engages when one car strikes another.
Back. The roof, ceiling or arch of a tunnel.
Barricade. To obstruct by use of planking, sawhorses, etc., placed around an excavation, sump, shaft or drop off to prevent entry of persons, vehicles or flying materials.
Barrier. A fence, wall or other structure built to bar passage with openings no greater than 2 inches.
Barricade Natural. Natural features of the terrain such as hills.
Block System. A switching system which prevents trains from entering specific sections of track occupied by another train.
Brakeman. An employee who performs switching, loading, or other train operations and assists the motorman.
Bulkhead. A tight partition, brattice or stopping in a tunnel, raise, or shaft.
California Switch. A movable switching track resting on top of the regular track upon which trains can be diverted for passing.
Car Passer. A device by which rail equipment can be moved to one side of the regular tunnel track to permit passage of the train or for other purposes.
Chamber. An opening, room, or vault excavated completely or partially underground which may be open to the surface at the top or connected to the surface by a tunnel or shaft.
Cherry Picker. A lifting device used to pick up muck cars or other equipment, from the track so as to set it to one side or raise it high enough for passage on the track of trains or equipment.
Combustible. Capable of being ignited and consumed by fire. Wherever combustible substances or materials are mentioned in these Orders, flammable and extremely flammable substances and materials are included.
Certified Person. A person certified by the Division.
Competent Person. One who is capable of identifying  existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.
Conveyance. A cage, cab, enclosure, bucket conveyor or similar device used to lift, hoist or otherwise carry employees and/or materials.
Crown. Highest point of a tunnel cross-section.
Crown Bars. Timber or steel beams that extend ahead of the jumbo, the last set of timber or rib steel supports for temporary tunnel support and protection of workers near the face.
Cut and Cover. A work method which places a temporary roof over open excavation while doing further excavation or other work beneath the cover.
Division. The Division of Occupational Safety and Health (DOSH).
Exhaust Purifying Device (scrubber). Any of a number of devices, such as water bath scrubbers or catalytic scrubbers that reduce contaminants from internal combustion engine exhausts to an acceptable level.
Explosion Relief Mechanism. Explosion-doors, weak-wall, panel or other equivalent devices so located to relieve the pressure that would be created by an explosion underground and reduce possible damage to a ventilation system.
Extremely Flammable. Having a flash point of 20 degrees Fahrenheit or less, when tested by the Tagliabue open-cup method.
Face-Underground. That part of any adit, tunnel, or raise where excavating is progressing, or was last done.
Fan-Auxiliary. A fan used to provide ventilation or circulate air to areas off the main fresh air course.
Fan-Booster. A fan installed in the ventilation system to increase the ventilation flow rates of the system.
Fan-Main. A fan or system of fans that are located at the surface which controls the primary ventilation of a tunnel or underground chamber.
Fire Resistant. Protected against fire by a covering equivalent to a one-hour fire resistant covering applied in a manner acceptable to the Division.
Fire Resistant Hydraulic Fluids. An approved fluid of such chemical composition and physical characteristics that it will resist the propagation of flame, or meet the requirements of 30 CFR Part 35.
Flammable. Capable of being easily ignited or burning rapidly.
Flammable Gas. A mixture which when once ignited will allow flame to be self-propagated throughout the mixture, independent of and away from the source of ignition.
Flash Point. The temperature at which a material gives off flammable vapor in sufficient quantity to burn instantaneously at the approach of a flame or spark.
Ground Support System. Wood, steel, concrete, rock bolts, or other materials used for bracing or supporting the ground.
Highway. Any street, alley, or road, publicly or privately maintained and open to use for the public for purposes of vehicular travel. 
Hoist-Material. A hoist for lifting, lowering, or pulling materials. It includes tugger-type and slusher.
Hoist, Personnel. A hoist equipped with the necessary safeguards to raise or lower personnel as required by Section 8495(b).
Horsepower-Brake (BHP). The power of an engine or other motor as calculated from the force exerted on a friction brake or absorption dynamometer applied to the flywheel or the shaft.
Incline. Shaft greater than 20 degrees from the horizontal but less than 70 degrees.
Intrinsically Safe. A device or system which is incapable of releasing enough electrical or thermal energy under normal or abnormal conditions to cause ignition of a mixture of flammable gas and air in its most ignitable composition.
Invert. The floor of a tunnel.
Jumbo. A mobile platform or series of platforms, usually on wheels, to provide work areas for employees and the machines, tools, or materials being used.
Lanyard. A flexible line to secure a wearer of a safety belt or harness to a drop line, lifeline, or fixed anchorage.
Laser. Light Amplification by Stimulated Emission of Radiation and is used as a coherent beam of light for alignment.
LEL. Lower explosive limit of a flammable gas or vapor.
L.P.G. Liquified Petroleum Gas.
Magazine. A building, other than the explosives manufacturing building, or other structures especially designed for the storage of explosives, or any cave or other structure adapted to the storage of explosives.
Mechanical Tunneling Equipment. Equipment such as mechanical excavators, tunnel boring machines, shields, roadheaders, and raise boring machines.
Motorman. The operator of a locomotive or other similar rail mounted equipment.
MSHA. The United States Department of Labor Mine Safety and Health Administration.
Muck. Excavated rock, earth or other materials.
Permissible. A machine, material, apparatus, or device which has been investigated, tested, and approved by the Mine Safety and Health Administration, and is maintained in accordance with the requirements of the approving agency.
Personnel or Person. Those persons affected by the referenced standard, including those other than employees of the employer.
Pneumatic Loader. A device for injecting an explosive or blasting agent into a bore hole or other cavity, using compressed air as the propulsive force. There are two basic types of air loaders; the pressure vessel system that forces the explosive or blasting agent through a loading hose, and the ejector system which operates on the venturi principle, in that the explosive or blasting agent is sucked out of an open container and carried into the bore hole by the air stream.
Qualified Person, Attendant or Operator. A person designated by the employer, who by reasons of their training and experience has demonstrated their ability to safely perform their duties and, where required, is properly licensed and/or certificated in accordance with federal, state or local laws and regulations.
Railroad. Any railroad or tramway which carries passengers for hire on the particular line or branch in the vicinity where explosives are stored, or where explosives-manufacturing buildings are situated.
Raise. A vertical or inclined underground excavation driven from bottom to top.
Raise Climber. A mechanical powered work platform used to provide access to the raise face.
Ramp. A sloping passageway connecting two different levels.
Return Air. The portion of the ventilation system between the point where fresh air is introduced into the underground environment and its point of release into the outside atmosphere.
Safety Factor. The ratio of the ultimate strength of the material to the actual working stress or safe load when in use.
Scrubber. A device used on internal combustion engines to reduce discharge of harmful exhaust gases. See “exhaust purifying device”.
Shaft. Any excavation where its depth is at least twice its greatest cross section dimension. The sides are nearly parallel or cylindrical. A shaft is considered to be vertical if its alignment is within 20 degrees of vertical. For the purpose of these safety orders, shaft shall include incline and raise (also see Incline and Raise).
Shall. Mandatory.
Skip. A shaft conveyance, generally for hoisting muck and materials.
Spoil. See “Muck.”
Switch. A device for enabling rail-mounted equipment to pass from one track to another.
Tunnel. An underground passageway, 30 inches in diameter or greater, excavated by employees working below the earth's surface, that provides a subterranean route along which employees, equipment or substances can move; other than passageways excavated by mine or quarry operators in connection with such operations. For the purpose of these safety orders, “tunnels” include shafts, raises, underground chambers and premises appurtenant thereto.
Two-Block. A condition in hoisting where the load, or termination assembly is hoisted to the point of making contact with an obstruction normally present in the hoisting system which can result in parting of the hoisting cable and damage to the hoisting system. Generally, a condition resulting from the load or termination assembly being hoisted under power into a headframe assembly or crane boom-tip.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Amendment filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 3. Injury and Illness Prevention Program
§8406. Injury and Illness Prevention Program.
Note     •     History

Every employer shall establish, implement and maintain an effective Injury and Illness Prevention Program in accordance with Section 3203 of the General Industry Safety Orders and the following: 
(a) All safety suggestions shall be given prompt consideration by the employer and a written record shall be maintained for the duration of the underground work and made available to the Division upon request.
(b) The adoption and use of a code of safe practices and procedures for underground operations similar to the Safe Practices Code in Appendix A of these orders.
(c) Copies of such code shall be posted in accordance with Section 8409 and available at the job site for inspection by the Division.
(d) The employer shall hold meetings at least once each month with supervisory personnel and foremen for a discussion of safety problems and accidents that have occurred. A record of such meetings shall be kept, stating the meeting date, time, place, supervisory personnel present, subjects discussed and corrective action taken, if any, and maintained for inspection by the Division.
(e) Supervisory personnel shall conduct “toolbox” or “tailgate” safety meetings with their crews at least weekly on the job to emphasize safety. Records of all meetings shall be kept, stating the meeting date, time, personnel present, subjects discussed, and corrective actions taken if any, and maintained for inspection by the Division.
(f) In all places of employment where these safety orders apply, the employer shall designate an on-site Safety Representative who is qualified to recognize hazardous conditions and is certified by the Division. This person shall have the authority to correct unsafe conditions and practices, or stop the work if an imminent hazard exists. This person shall be responsible for directing the required safety and health program.
(g) All applicants for certification as a Safety Representative shall meet the following minimum requirements:
(1) Two years experience performing safety related work in tunnels and/or underground mines.
(2) In lieu of one year of the above experience, applicants may substitute equivalent education or work experience as follows:
(A) Work experience in the capacity of managing or directing tunnel safety programs, or
(B) Formal safety related education degree in safety or certification as a Certified Safety Professional (CSP), Certified Industrial Hygienist (CIH), Professional Safety Engineer (PSE), or similar.
(3) Be able to communicate with affected employees.
(4) Be of such physical condition that it would not interfere with the proper performance of their duties.
(5) Be thoroughly familiar and conversant with all Tunnel Safety Orders and other applicable safety orders.
(6) Knowledge of the means and methods of underground construction operations.
(7) The ability to identify and evaluate unsafe conditions; and knowledge of the safeguards required to protect employees from the effect of these hazards.
(8) Pass a written and oral examination administered by the Division.
(h) All applicants for certification as a Gas Tester as required by these safety orders shall have the following minimum requirements:
(1) One year experience in performing underground work in mines or tunnels.
(2) Be of such physical condition that it would not interfere with the proper performance of their duties.
(3) Be able to communicate with all affected employees.
(4) Knowledge of the gases that may be encountered underground, the hazards they pose, and the safeguards required to protect employees from their effect.
(5) Demonstrate proficiency in the operation, use and calibration of ventilation and gas detection instruments; and the interpretation and documentation of the reading obtained.
(6) Be familiar with and knowledgeable of the Tunnel Safety Orders and other applicable safety orders of Title 8.
(7) Pass a written and oral examination administered by the Division.
Free Consultation Service (Labor Code, Sections 6354 and 6355).
In order to encourage voluntary compliance with occupational safety and health regulations, free on-site consultation service is provided by Cal/OSHA. Employers may request this free on-site consultation. Employees and employee groups may also participate at the invitation of the employer, or may request consultation away from the job site.
Consultation services include:
(1) Information, advice, and recommendations on specific safety and health problems in the workplace;
(2) providing help to employers in instituting an effective accident and illness prevention program or improving an existing program; and
(3) training in good safety and health practices, and in recognition and correction of hazards through on-site surveys.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment filed 1-16-91; operative 2-15-91 (Register 91, No. 8).
2. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8407. Safety Training  and Instruction.
Note     •     History

(a) When an employee is first hired, or assigned to a new task, the person in charge shall determine the extent of the employee's experience and instruct him/her in recognition of any hazardous conditions present and the protective measures to be taken to eliminate the hazards associated with underground construction activities including, where appropriate, the following subjects.
(1) Air Monitoring;
(2) Ventilation;
(3) Illumination;
(4) Communications;
(5) Ground Control;
(6) Flood Control;
(7) Mechanical Equipment;
(8) Personal Protective Equipment;
(9) Explosives;
(10) Fire Prevention and Protection; and
(11) Emergency Procedures, including evacuation plans and a check-in/check-out system.
(b) Each employee, when first engaged, shall have his/her attention directed to the provisions of a “Safe Practices and Operations Code” and he/she shall be given a copy. Employee safety instruction shall be in accordance with Section 3203 of the General Industry Safety Orders.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8408. Pre-Job Safety Conference.
Note     •     History

At any place of employment where the Tunnel Safety Orders are applicable, a pre-job safety conference with representatives of the Division, owner, employer and employees shall be held before work begins as required by Labor Code, Section 7955. Such a conference shall include the employer's review of the construction plan and any special equipment, practices and potential safety and health problems. The Division will review all pertinent health and safety concerns relevant to the project as described in Appendix E of these orders and other related topics.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8409. Safety Bulletin Boards.
Note     •     History

A safety bulletin board shall be provided at all tunnels, where employees congregate before going underground. The Code of Safe Practices, all required positions, and other pertinent safety notices shall be posted on this bulletin board and maintained in legible condition.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 4. Safety Precautions
§8410. General Safety Precautions.
Note     •     History

(a) The employer shall ensure that every reasonable effort is taken for the safety of employees, whether or not provided for in these orders.
(b) All dangerous places shall be properly fenced off, covered over or otherwise safeguarded to control access to all openings to prevent unauthorized entry underground.
(c) No person shall be required to work in an unsafe place except for the purpose of making it safe, and then only under direct supervision and after all necessary precautions have been taken to protect him/her while doing such work.
(d) At least one designated person shall be on duty outside of all tunnels whenever anyone is working underground. This person's duties shall not interfere with his/her ability to secure aid for those persons  underground in case of emergency.
(e) No person shall be permitted to use or possess any intoxicating liquors or drugs at any place of employment where these safety orders apply. When any person is known or suspected of being under the influence of an intoxicating liquor or drugs, he/she shall not be permitted to enter or remain on the job site.
(f) Strangers or visitors shall not be allowed to enter any place where these safety orders apply, unless they are accompanied by a person designated by the employer.
(g) A check-in/check-out procedure or other method shall be provided at the surface that will ensure that aboveground personnel can accurately determine the number and identity of individuals underground in case of an emergency.
(h) Solitary employment in tunnels is prohibited where hazardous conditions exist, unless an effective means of communication has been established.
(i) Bars used for scaling and those used for loading at chutes shall be blunt on one end and maintained in good condition.
(j) All spikes or nails projecting from lumber lying in working areas or passageways shall be bent down or removed.
(k) Unnecessary accumulations of muck, timber, rails and similar materials shall be avoided underground, particularly in areas at shaft stations and between the track and the sides of tunnels.
(l) Gunite, shotcrete, and concrete pump lines shall be secured against displacement and provided with safety devices to prevent accidental uncoupling of sections when pressurized.
(m) When a 3/4-inch (inside diameter) or larger air hose is used, a safety chain, excess flow valve, or other equivalent safety device shall be attached to the hose to prevent the hose from whipping in the event of an accidental disconnection. 
(n) Oncoming shifts shall be informed of any hazardous occurrences or conditions that have affected or might affect employee safety, including liberation of gas, equipment failures, earth or rock slides, cave-ins, floodings, fires or explosions.
(o) The employer shall establish and maintain direct communications for the coordination of activities with other employers whose operations at the jobsite affect the safety of employees underground.
(p) A caution sign reading “Buried Line” or similar wording or equivalent method of identification shall be posted where air, fuel or utility lines are buried or otherwise hidden by water or debris.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, subsections (a)-(l), new subsections (n)-(p) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8411. Walkways and Access.
Note     •     History

(a) A safe means of access and egress shall be provided and maintained to all work stations.
(b) Access and egress shall be provided in such a manner that employees are protected from being struck by excavators, haulage machine, shaft conveyances, trains and other mobile equipment.
(c) Clearly designated and unobstructed walkways shall be maintained throughout the tunnel. The walkway shall be located on the lighted side of the tunnel unless conditions preclude this. Walkways shall be a minimum of 18 inches in width.
(d) Workers shall be protected from sump holes, subsidence areas or other excavations which might cause tripping or falling, by secure barricades, covers, or railings. Abandoned sumps shall be filled.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Renumbering of former Article 18 heading as new section 8411 heading and new section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 5. Personal Protective Equipment
§8414. Personal Protective Equipment.
Note     •     History

(a) Whenever employees are exposed to hazards in the work place, and where engineering or administrative controls are not effective in eliminating the hazards, personal protective equipment shall be provided and used in accordance with the applicable requirements of Article 3 of the Construction Safety Orders.
(b) Head Protection. Every employee shall be provided with and required to wear approved head protection. Winter liners shall be provided when weather conditions warrant.
(c) Foot Protection. Every employee working underground shall be required to wear approved protective footwear. 
(d) Hand Protection. Approved protection for the hands and other exposed skin areas shall be provided and used where work involves exposure to cuts, burns, electric shock, corrosives, irritants or other harmful substances.
(e) Eye and Face Protection. Acceptable eye protection shall be provided and used where eye hazards from flying particles, hazardous substances or injurious light rays are present. Particular attention shall be given to operations involving sandblasting, cleaning with air and water, guniting, welding, shotcreting and grouting in accordance with Title 8, Section 1516 of the Construction Safety Orders.
(f) Body Protection.
(1) Body protection shall be required for employees whose work exposes parts of their body, not otherwise protected as required by other orders in this article, to hazardous or flying substances or objects in accordance with Title 8, Section 1522 of the Construction Safety Orders.
(2) Where the occupational duties of an employee expose him/her to certain irritants, facilities for proper cleansing of the skin shall be required for the prevention of skin disorders.
Note: Employees should be cautioned to wash promptly and thoroughly after exposure to injurious substances.
(3) Acceptable rubber boots and rain gear shall be provided and used where wet conditions are encountered.
(g) Ear Protection. Occupational exposure to noise shall be in accordance with CCR, Title 8, Article 105 of the General Industry Safety Orders. When required  ear protection shall be provided by the employer and shall be worn by the employee. Employees and other persons shall be informed of the locations where ear protection is required. Whenever the operations reasonably permit, exposures to excessive noise shall be eliminated or at least reduced by engineering or administrative controls.
(1) Employees shall be given the opportunity to select their hearing protectors from a variety of suitable hearing protectors provided by the employer.
(2) The employer shall provide training in the use and care of all hearing protectors provided to employees.
(3) The employer shall ensure proper initial fitting and supervise the correct use of all hearing protectors.
(h) Hearing Protector Attenuation.
(1) The employer shall evaluate hearing protector attenuation for the specific noise environments in which the protector will be used. The employer shall use one of the methods described in Appendix E of the GISO, Methods for Estimating the Adequacy of Hearing Protector Attenuation.
(2) Hearing protectors must attenuate employee exposure at least to an 8-hour time-weighted average of 90 decibels as required by Section 5096(b).
(3) For employees who have experienced a standard threshold shift, hearing protectors must attenuate employee exposures to an 8-hour time-weighted average of 85 decibels or below.
(4) The adequacy of hearing protector attenuation shall be reevaluated whenever employee noise exposures increase to the extent that the hearing protectors provided may no longer provide adequate attenuation. The employer shall provide more effective hearing protectors where necessary.
(i) Respirator Protection. When it is impractical to remove harmful dusts, fumes, mists, vapors, or gases or where emergency protection against occasional and/or relatively brief exposure is needed, the employer shall provide, and the employee exposed to such hazard shall use, respiratory protective equipment as prescribed in Section 1531 of the Construction Safety Orders.
(j) Personal protective equipment shall be maintained in good operating and sanitary condition. Records shall be kept of the issuance of such equipment to each employee.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 6. Illumination and Lasers
§8415. Illumination.
Note     •     History

(a) All tunnels, shafts, and general underground work areas shall be illuminated by an electric lighting system or natural light, equivalent to at least five-foot-candles intensity and ten-foot-candles at the heading area.
(b) In completed areas of tunnels where occasional work is conducted, the invert or walking surface shall be illuminated to at least two (2) foot-candles.
(c) All switches, transformers, telephone stations, hoist landings, car passers and similar areas shall be illuminated to at least five (5) foot-candles.

Exception: Tunnel repair jobs of short duration or tunnels 8 feet or less in diameter and less than 1,000 feet in length may use electric cap lamps, or equivalent, provided the illuminating device is worn by all persons going underground.
(d) Each person underground shall have a portable  hand light or cap lamp available for emergency use unless natural light or emergency lighting systems are adequate for escape. 
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8416. Lasers.
Note     •     History

(a) Lasers shall be located and targeted at levels above the levels of workers' sight when possible.
(b) Laser warning signs and labels shall be posted in accordance with Section 1801 of the Construction Safety Orders.
(c) Lasers shall be operated, installed and adjusted, in accordance with Section 1801 of the Construction Safety Orders.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of subsection (b), subsection relettering, new subsection (c), repealer of Plate 1 and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Amendment of subsection (b) filed 8-25-97; operative 9-24-97 (Register 97, No. 35).
3. Amendment of subsections (b) and (c) filed 4-27-2007; operative 5-27-2007 (Register 2007, No. 17).
Article 7. First Aid
§8420. Care of the Injured.
Note     •     History

(a) Emergency medical services at all places of employment where these safety orders are applicable shall comply with the requirements of Section 1512 of the Construction Safety Orders and the following:
(1) At least one basket-type stretcher, or equally appropriate type stretcher with straps, a woolen blanket, a waterproof blanket or equivalent covering and adequate first-aid materials shall be provided near the primary access to the underground work area(s).
(2) At all underground operations over one-quarter mile distance from the surface, a stretcher equipped according to the requirements of Section 8420(a)(1) shall be provided at a convenient location near the advancing face for the care of injured employees.
(3) At least one stretcher equipped according to the requirements of Section 8420(a)(1) shall be provided for each 20 employees working on a shift, or fraction thereof.
(4) For the purposes of these safety orders, adequate first-aid material shall consist of those required for 6 - 15 employees in Section 1512(c)(1) of the Construction Safety Orders and the following:
(A) six (6) compresses of surgical pads suitable for pressure dressings.
(B) Six (6) triangular bandages.
(C) Suitable splinting material.
(5) First-aid material shall be maintained in a dry, sanitary and usable condition. Where blankets are required, they shall be kept in sealed, moisture and dust-proof containers.
(6) First-aid kits, boxes and containers shall be prominently marked to indicate their purpose.
(7) Weekly inspections shall be made of all first-aid materials to ensure that the expended items are replaced.
(8) An effective means of communication shall be provided for contacting emergency medical services. The procedures to contact emergency medical service(s) shall be prominently posted.
(9) Where a first-aid station is provided or required, dependable communications shall be provided between the first-aid station and the work area(s).
(b) Where emergency medical services are not available within a 30 minute response time, the following conditions shall prevail:
(1) A designated emergency transportation vehicle properly equipped and maintained unless a licensed ambulance service is available.
(2) A responsible person on each shift shall be designated to ensure that the transportation vehicle is dependable, fueled, properly cleaned, and equipped with blankets, first-aid materials, oxygen, tire chains and anti-freeze where necessary. Attention is also called to the California Vehicle Code, Regulations and Laws relating to Ambulance Operation in California. Four-wheel drive vehicles for transporting injured workers may be required depending on terrain, weather and road conditions.
(3) Where 25 or more individuals are employed on the largest shift, a fully equipped first-aid station shall be maintained with the supplies recommended by a consulting physician. 
(4) A qualified medical attendant approved by the licensed physician shall be available and responsible for first-aid care at all times when work is in progress. He/she shall be under the direction of a responsible licensed physician.
Note: Qualified shall mean a person holding a current certificate in first aid issued by the American Red Cross or the Mine Safety and Health Administration (MSHA).
(5) In addition to the required emergency transportation vehicle, approved emergency medical helicopter service shall be prearranged for remote areas of difficult access.
(c) In the event of a fatality, the Division shall be notified and no work, other than rescue and essential maintenance work, is to be resumed in that area until an investigation is completed by the Division. 
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8421. First-Aid Training.
Note     •     History

All supervisors and at least one employee on each crew shall have a valid certificate in first-aid training from the American Red Cross, Mine Safety and Health Administration, or equivalent training program that can be verified by documentary evidence.
Note: The bloodborne pathogens standard, Section 5193 of the General Industry Safety Orders does not apply to the underground construction industry (Tunneling), however, the employer is required to train designated first-aid providers in the hazards of bloodborne pathogens.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 8. Tunnel Classifications
§8422. Tunnel Classifications.
Note     •     History

(a) When the preliminary investigation of a tunnel project is conducted, the owner or agency proposing the construction of the tunnel shall submit the geological information to the Division for review and classification relative to flammable gas or vapors. The preliminary classification shall be obtained from the Division prior to bidding and in all cases prior to actual underground construction. In order to make the evaluation, the following will be required:
(1) Plans and specifications;
(2) Geological report;
(3) Test bore hole and soil analysis log along the tunnel alignment;
(4) Proximity and identity of existing utilities and abandoned underground tanks.
(5) Recommendation from owner, agency, lessee, or their agent relative to the possibility of encountering flammable gas or vapors;
(6) The Division may require additional drill hole or other geologic data prior to making gas classifications.
(b) The Division shall classify all tunnels or portions of tunnels into one of the following classifications:
(1) Nongassy, which classification shall be applied to tunnels where there is little likelihood of encountering gas during the construction of the tunnel.
(2) Potentially gassy, which classification shall be applied to tunnels where there is a possibility flammable gas or hydrocarbons will be encountered.
(3) Gassy, which classification shall be applied to tunnels where it is likely gas will be encountered or if a concentration greater than 5 percent of the LEL of:
(A) flammable gas has been detected not less than 12 inches (304.8 mm) from any surface in any open workings with normal ventilation.
(B) flammable petroleum vapors that have been detected not less than 3 inches from any surface in any open workings with normal ventilation.
(4) Extrahazardous, which classification shall be applied to tunnels when the Division finds that there is a serious danger to the safety of employees and:
Flammable gas or petroleum vapor emanating from the strata has been ignited in the tunnel; or
(A) A concentration of 20 percent of the LEL of flammable gas has been detected not less than 12 inches (304.8 mm) from any surface in any open working with normal ventilation; or
(B) A concentration of 20 percent of LEL petroleum vapors has been detected not less than three inches from any surface in any open workings with normal ventilation.
(c) A notice of the classification and any special orders, rules, special conditions, or regulations to be used shall be prominently posted at the tunnel job site, and all personnel shall be informed of the classification.
(d) The Division shall classify or reclassify any tunnel as gassy or extrahazardous if the preliminary investigation or past experience indicates that any gas or petroleum vapors in hazardous concentrations is likely to be encountered in such tunnel or if the tunnel is connected to a gassy or extrahazardous excavation and may expose employees to a reasonable likelihood of danger.
(e) For the purpose of reclassification and to ensure a proper application of classification, the Division shall be notified immediately if a gas or petroleum vapor exceeds any one of the individual classification limits described in subsection (b) above. No underground works shall advance until reclassification has been made.
(1) A request for declassification may be submitted in writing to the Division by the employer and/or owner's designated agent whenever either of the following conditions occur:
(A) The underground excavation has been completed and/or isolated from the ventilation system and/or other excavations underway, or
(B) The identification of any specific changes and/or conditions that have occurred subsequent to the initial classification criteria such as geological information, bore hole sampling results, underground tanks or utilities, ventilation system, air quality records, and/or evidence of no intrusions of explosive gas or vapor into the underground atmosphere.
Note: The Division shall respond within 10 working days for any such request. Also, the Division may request additional information and/or require specific conditions in order to work under a lower level of classification.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8424. Airborne Contaminants.
Note     •     History

(a) When the air in any part of a tunnel and/or shaft is known to contain or is suspected of containing dangerous airborne contaminants, it shall be tested by means acceptable to the Division before employees are allowed to work therein, in accordance with Section 5155 (Airborne Contaminant) of the General Industry Safety Orders. These tests shall be made by a person who has been certified by the Division.
(1) Records shall be kept of these tests.
(2) Records of gas tests and air flow measurements shall be maintained on the surface by the employer and available to the Division upon request.
(b) Tests for dangerous or explosive gas(es) shall be taken at such times and locations to accurately represent the conditions existing in all areas where employees may be exposed to the danger(s) of these gases and specifically:
(1) In tunnels classified as Potentially Gassy a manual flammable gas monitor shall be used as needed, but at least at the beginning of each shift and at least every four hours to ensure that the conditions prescribed in Section 8422(b)(2) are unchanged.
(2) In any tunnel classified as gassy, there shall be tests for gas or vapors continually during actual operations to ensure that the conditions prescribed in Section 8422(b)(3) are not exceeded. In addition, a manual electrical shut down control shall be provided near the heading. (See (Section 8425 for additional requirements for the operation of Gassy and Extrahazardous Tunnels).
(c) Whenever any of the following conditions have been encountered, all underground work shall cease, employees shall be removed, and re-entry except for rescue purposes shall be prohibited until the Division has been notified and has authorized re-entry in writing.
(1) An underground ignition of gas or vapor occurs.
(2) 20 percent of LEL of flammable gas or vapor is exceeded.
(3) A toxic or suffocating gas in concentrations dangerous to health or life is encountered.
(d) Whenever the presence of hydrogen sulfide is suspected or detected in an underground work area, a test shall be conducted in the affected area at least at the beginning and midpoint of each shift.
(e) Whenever hydrogen sulfide is detected in an amount exceeding 5 ppm, a continuous sampling and indicating hydrogen sulfide monitor shall be used. The monitor shall be designed, installed and maintained to provide a visual and audible alarm when the hydrogen sulfide concentration reaches 10 ppm to signal that additional measures, such as respirator use, increased ventilation, or evacuation might be necessary to maintain hydrogen sulfide exposures below the permissible exposure limit.
(f) When the competent person determines, on the basis of air monitoring results or other information, that air contaminants may be present in sufficient quantity to be dangerous to life, the employer shall:
(1) Instruct all affected personnel in the characteristics and means of identifying the hazard(s) and the required safeguards to protect them from the effects of said hazard(s);
(2) Prominently post a notice at all entrances to the underground jobsite to inform all entrants of the hazardous condition; and
(3) Ensure that the necessary precautions are taken.
(g) All gas testing devices shall be operated, tested, calibrated and serviced in accordance with the manufacturer's recommendations.
(h) Tests for oxygen content shall be made before tests for air contaminants.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8425. Operation of Gassy and Extrahazardous Tunnels.
Note     •     History

(a) (1) Before any electrical equipment or services are installed or used in places classified as Gassy or Extrahazardous, they shall be permissible, approved, or in accordance with Title 8, Electrical Safety Orders and acceptable to the Division. 

Exception: In tunnels where the classification is based on toxic gas(es) which does not present a fire or explosive hazard, the provisions which address a source of ignition shall not be applied.
(2) Before any internal combustion engine is permitted to enter any place classified as Gassy or Extrahazadous, the internal combustion engine shall be of an approved, permissible safe design acceptable to the Division.
(b) Smoking shall be prohibited and the employer shall be responsible for collecting all personal sources of ignition such as matches, lighters, cameras and radios from all persons entering the tunnel.
(c) Welding, cutting, or other hot work and/or spark producing operations shall not be permitted while a probe hole is being drilled or when the tunnel face is being excavated, and shall only be done in atmospheres containing less than 10 percent LEL and under the direct supervision of qualified persons. Tests for gas and vapors shall be made before the start and continuously during such operations.
(d) Tests for flammable gas shall be conducted in the return air and measured not less than a distance of 12 inches from any surface in any open workings.
(e) Tests for flammable petroleum vapors shall be conducted in the return air and measured at a distance not less than 3 inches from any surface in any open workings.
(f) Whenever gas levels in excess of 10 percent of the LEL are encountered, the Division shall be notified immediately. Any work therein shall be conducted with extra care and steps shall be taken to increase ventilation.
(g) A fixed system of continual automatic monitoring equipment shall be provided for the heading, muck handling, transfer points and return air of tunnels using mechanical excavators. The monitors shall have sensors so situated that they will detect any anticipated gas encountered and shall signal the heading, give visual and audible warning and shut down electric power in the tunnel, except for acceptable ventilation and pumping equipment necessary to evacuate personnel, when 20 percent or more of LEL is encountered. In addition, a manual shut down control shall be provided near the heading.
(h) In tunnels driven by conventional drill and blast methods, the air shall be tested for gas prior to re-entry after blasting and continuously when employees are working underground.
(i) The main ventilation systems shall exhaust flammable gas or vapors from the tunnel, shall be provided with explosion relief mechanisms, and shall be constructed of fire-resistant materials.
(1) In any tunnel classified Extrahazardous, the main ventilation system shall contain a cutoff switch capable of stopping all electrical machinery underground automatically should the fan fail or its performance fall below minimum power needed to maintain a safe atmosphere.
(j) A refuge chamber or alternate escape route shall be maintained within 5,000 feet of the face of a tunnel classified as gassy or extra-hazardous. Workers shall be provided with emergency rescue equipment and trained in its use. Refuge chambers shall be equipped with a compressed air supply, a telephone, and means of isolating the chamber from the tunnel atmosphere. The emergency equipment, air supply, and rescue chamber installation shall be acceptable to the Division.
(k) At a tunnel classified as Gassy or Extrahazardous, the Division shall permit the tunnel to operate up to but not exceeding 20 percent of the LEL without further notification if the required precautionary measures are in effect and permission is given in writing.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 9. Emergency Plan and Precautions
§8426. Emergency Plan.
Note     •     History

(a) Every employer shall prepare a general plan of action for use in time of emergency.
(b) The plan shall outline the duties and responsibilities of each key person so that each will know what is expected of him/her should a fire, explosion or other emergency occur.
(c) The plan shall be posted conspicuously on the safety bulletin board and in the project office. In addition all employees both surface and underground shall be informed of the plan, and each employee shall be told what is expected of him/her in case of explosion, fire, or other emergency. Copies of the plan shall be given to the local fire or designated off-site rescue teams and the Division.
(d) The plan shall include such items as maps, ventilation controls, fire fighting equipment, rescue procedures, evacuation plans, and communications.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8427. Protection Against Water or Gas.
Note     •     History

(a) When shaft openings, tunnels or tunnel portals are located where a sudden inrush of water might logically be expected, adequate precautions shall be taken to protect against this occurrence.
(b) Whenever any working place in a tunnel is being advanced within 200 feet of areas that contain or are likely to contain dangerous accumulations of water, gas, petroleum products, or mud, representative vertical test holes shall be drilled from the surface where possible to determine if a hazard is present. Where the likelihood of a dangerous accumulation does exist, horizontal test holes of sufficient depth shall be drilled in advance of such workings to insure that at least 20 feet of tested ground remains beyond the face. Test holes 20 feet deep shall also be drilled at angles of 45 degrees into the walls, roof, and floors when necessary.
(c) Employees shall be removed to a safe location at least 2,000 feet from the blasting site before blasting in areas where dangerous accumulations of water, flammable or toxic gas, mud or petroleum products could be encountered. After blasting, the tunnel shall be examined by a competent person and tested by a certified gas tester before other employees reenter the affected area.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (b)-(c) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8428. Telephone System.
Note     •     History

(a) Communications
(1) During periods of major construction or repair, tunnels that will be more than 2,000 feet long shall have at least one underground telephone as soon as the length reaches 1,000 feet. Other phones are to be added as the work progresses so that there is never less than one phone to serve each length-zone of 2,000 feet, and one for any remaining zone exceeding 1,000 feet in length. They shall be conveniently located and properly identified. Arrangements shall be such that calls will be answered promptly. A telephone or communication system shall be provided when more than 5 employees are underground.
(2) When natural unassisted voice communication is ineffective, a power assisted means of voice communications shall be used to provide communications between the workface, the bottom of the shaft and the surface.
(b) Telephone systems shall be independent of the tunnel power supply and shall be installed so that the destruction of one telephone will not interrupt the use of other telephones on the same system.
(c) Telephones shall be equipped with an audible or visual signal suitable for the conditions present and capable of adequately alerting the employees of an in-coming call. Equivalent communication systems may be used when accepted by the Division.
(d) Communication systems shall be tested upon initial entry of each shift to the underground, and as often as necessary at later times, to ensure that they are in working order.
(e) Telephone and low potential signal wire shall be protected from contacting energized power conductors or any other power source by isolation or suitable insulation, or both.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 10. Emergency Rescue Procedures and Equipment
§8430. Rescue Crew and Breathing Apparatus.
Note     •     History

(a) Rescue Teams
(1) On jobsites where 25 or more employees work underground at one time, the employer shall provide (or make arrangements in advance with locally available rescue services to provide) at least two 5-person rescue teams, one on the jobsite or within one-half hour travel time from the entry point, and the other within 2 hours travel time.
(2) On the jobsites where less than 25 employees work underground at one time, the employer shall provide (or make arrangements in advance with locally available rescue services to provide) at least one 5-person rescue team to be either on the jobsite or within one-half hour travel time from the entry point.

Exception:  A rescue crew of at least five persons is not required for tunnels where less than 10 persons are underground at any one time (Labor Code Section 7958).
(3) Rescue team members shall be qualified in rescue procedures, the use and limitations of breathing apparatus, and the use of fire-fighting equipment. Qualifications shall be reviewed not less than annually.
(4) On jobsites where flammable or poisonous gases are encountered or anticipated in hazardous quantities, rescue team members shall practice donning and using self-contained oxygen breathing apparatus monthly. The equipment for tunnel rescue teams shall be prescribed in the requirements of 30 CFR, July 1, 1994, Part 49, Section 49.6, pages 302-303 of the Federal Mine Safety and Health Administration, which is hereby incorporated by reference except that the number of items prescribed for two teams shall be divided by two when only one rescue team is required.
(b) The employer shall ensure that rescue teams are familiar with conditions at the jobsite.
(c) No person who is physically unfit or who has not had the required training shall be allowed to use permissible self-contained oxygen breathing apparatus for rescue crew work.
(d)
(e) Where self-contained oxygen breathing apparatus is required by this section the following shall prevail:
(1) Training for rescue crew members shall be equivalent to the requirements of 30 CFR Part 49.8, except initial training shall consist of at least 24 hours, and the 8-hour refresher training shall be given at least every three months and shall include at least two hours in the wearing and use of self-contained breathing apparatus.
(2) Self-contained oxygen breathing apparatus shall be inspected, tested, maintained, repaired and used in accordance with the manufacturer's recommendations.
(f) A 1-hour self-rescue device approved by MSHA shall be provided and be immediately available for each person underground. Where a person works on or around mobile equipment, self-rescue devices may be placed in a readily accessible location on such equipment.
(g) In tunnels classified as Gassy or Extrahazardous, self-rescue devices shall be worn or carried by each person underground at all times.
(h) All self-rescue devices shall be inspected, tested and maintained in accordance with the manufacturer's requirements. Particular attention shall be given to insure the established service life is not exceeded.
(i) Each person shall be trained in the proper inspection, use and limitations of the self-rescue device before being permitted to go underground and at least every three months thereafter. Records of this training shall be maintained on the job site in accordance with Section 3203(b) of the General Industry Safety Orders.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of Article 10 heading, repealer of subsections (a)-(c), new subsections (a)-(b) and subsection  relettering, repealer of newly designated subsection (d), new subsections (e)-(i) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 11. Change Houses and Sanitation
§8431. Change Houses.
Note     •     History

At all tunnels, the employer shall provide separate dressing rooms or a change house that provides for each sex, when applicable, with suitable facilities for changing clothes, located at a convenient place for use by the employees. Such facilities shall be provided with heating and lighting, equipped with at least one (1) shower bath with an adequate supply of  hot and cold water for each of the five (5) employees or fraction thereof, along with provisions for drying work clothes and storing street clothes, and maintained in a clean and sanitary condition.

Exception: The Division may accept reasonable travel distances to other acceptable facilities at tunnel repair projects or for projects of short duration unless the lack of shower facilities would be a health hazard.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8432. Drinking Water.
Note     •     History

Drinking water shall be provided as required in Section 1524 of the Construction Safety Orders.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new section and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8433. Toilet Facilities.
Note     •     History

Toilet facilities shall be provided s required by Section 1526 of the Construction Safety Orders and the following:
(a) Combustion toilets shall not be used underground.
(b) A deodorizing means shall be provided.
(c) A ready means of access shall be provided.
(d) Unless employees are required to use outside toilet facilities exclusively, there shall be at least one toilet provided for each main working area underground.
(e) Toilet facilities shall be located within easy walking distance to work locations unless employees have a means of transportation reasonably available for their use.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of  section heading, repealer of section, new section  and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 12. Ventilation and Air Quality
§8437. Ventilation and Air Quality.
Note     •     History

(a) Fresh air shall be provided in adequate quantities to all underground work areas. The supply shall at least be sufficient t o prevent dangerous or harmful accumulations of dusts, fumes, vapors or gases, and shall not be less than 200 cubic feet per minute for each person underground. The lineal velocity of the air flow in the tunnel bore shall not be less than 60 feet per minute in those tunnels where blasting or rock drilling is conducted or where there are other conditions that are likely to produce dusts, fumes, vapors or gases in harmful quantities.

Exception: The lineal velocity of air flow in tunnels or chambers more than 30 feet in diameter may be reduced to 30 feet per minute provided that air quality is maintained.
(b) The main ventilation system shall be so arranged that the air flow can be reversed from the surface.
(c) The main ventilation systems shall be arranged to exhaust return air to the outside atmosphere except where permitted by the Division in writing to reverse the airflow.
(d) After blasting, employees shall be required to wait at least 15 minutes before returning to the blast site and/or until air quality meets the requirements of subsection (a) and (g) of this section and Section 8424(a). A longer period may be required in the event of a misfire or in case of a fire.
(e) Employees shall not be permitted, except in extreme emergencies to work in a place where the oxygen content of the air is less than 19.5 percent by volume, unless they are wearing approved self-contained oxygen breathing apparatus.
(f) Employees shall not be allowed to work in tunnels where the oxygen content is more than 22 percent by volume.
(g) Where flammable gas or air contaminants have been encountered, adequate ventilation shall be maintained to keep the gas, vapor, or dust concentrations within safe limits as provided by these safety orders and the requirements of Section 5155 of the General Industry Safety Orders.
(1) Whenever 20 percent or more of the lower explosive limit for methane or other flammable gases is detected in any underground work area(s) or in the air return:
(A) All employees, except those necessary to eliminate the hazard, shall be immediately withdrawn to a safe location above ground; and
(B) Electrical power, except for acceptable pumping and ventilation equipment, shall be cut off to the area endangered by the flammable gas until the concentration of such gas is reduced to less than 20 percent of the lower explosive limit.
(h) Bulkheads and forced ventilation in one direction shall be provided after holing through to prevent harmful accumulations of dusts, fumes, vapors, gases, and concrete curing compounds from exceeding allowable concentrations.
(i) Auxiliary ventilation shall be used to provide the required airflow to all work areas of the tunnel.
(j) Fans used for all ventilation systems shall be so arranged to prevent recirculation of contaminated air.
(k) The exhaust from any internal combustion engine shall be so directed that it will be prevented from contaminating any inlet air source going to any underground or below surface work area.
(l) Whenever the ventilation system has been shut down with all employees out of the underground area, only competent persons authorized to test for air contaminants shall be allowed underground until the ventilation has been restored and all affected areas have been tested for air contaminants and declared safe.
Note: See Section 8470(c) of these safety orders for diesel engine ventilation requirements.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of  Article 12 heading, section heading and section  and  new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8438. Dust Control.
Note     •     History

(a) Water or other effective means shall be used to control dust where drilling, grinding, or other dust producing operations occur in accordance with Section 1538(a) of the Construction Safety Orders.
(b) Sprinklers or other effective means shall be provided to control dust produced at dumps, conveyors, chutes, and other transfer points.
(c) Whenever water sprinklers are used to control dust at loading points, they shall be capable of being operated by the person(s) responsible for conducting the loading.
(d) The muck pile shall be wet down prior to mucking and kept wet during the mucking operations in order to control dust.
(e) If compliance with the requirements of this and other tunnel safety orders fail to hold dust concentrations in all parts of the tunnel within limits specified in Section 5155 of the General Industry Safety Orders, additional steps called for in Article 107 of those orders shall be followed.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and section  and  new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 13. Ground Control
§8440. Ground Control Inspection.
Note     •     History

(a) The roof, face, walls, and ground support system of all underground work areas shall be inspected upon initial entry into the area and frequently thereafter by a competent person. Any loose or dangerous ground disclosed by this inspection shall be dislodged or adequately supported before any other activity is permitted.
(b) The entire roof, walls and ground support system of all underground areas shall be inspected weekly by a competent person. A record of such inspection shall be maintained at the job site.
(c) Appropriate tools and devices for testing the roof, walls, face, and ground support system shall be readily available for use at all times.
(d) The persons conducting inspections of ground support systems shall be protected from loose ground by location, ground support or equivalent means.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and subsections (a)-(b), new subsections (c)-(d) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8441. Tunnel and Shaft Support.
Note     •     History

(a) All working places underground shall be kept securely supported with timber, steel sets, or otherwise protected by installing wire mesh, rock bolts, gunite, shotcrete, or other methods.
(b) All sets, including horseshoe-shaped or arched rib steel sets, shall be of adequate design and installed so that the bottoms will have sufficient anchorage to prevent pressures from pushing them inward. Adequate lateral bracing shall be provided between sets to stabilize the supports.
(c) After each blast, supports systems in the effected areas shall be checked, tightened, or rewedged by a qualified person. If so, necessary repairs shall be made before employees other than those assigned to make the repairs are allowed in or below the affected areas.
(d) Damaged or dislodged ground supports that create a hazardous condition shall be promptly repaired or replaced. When replacing supports, the new supports shall be installed before the damaged supports are removed.
(e) Rock bolt systems, when used, shall be installed in uniform patterns. These patterns shall be determined by qualified persons.  Plans and specifications of the rock bolting installation shall be available to the Division at the job site. These plans shall include bolt spacing, diameter, length, type, tension in the bolts, angle of bolts to the supported surface, and type of washers and bearing plates. Additional rock bolts shall be installed as necessary to support the ground.
(1) Torque wrenches shall be used whenever bolts that depend on torsionally applied force are used for ground support.
(2) A competent person shall determine whether rock bolts meet the necessary torque, and shall determine the testing frequency in light of the bolt system, ground conditions and the distance from vibration sources.
(f) Adequate protection shall be provided for workers exposed to the hazard of loose ground while installing support systems.
(g) Portal openings and access areas shall be adequately protected by sloping, benching, installing extra sets, wire mesh and/or rock bolts, shotcreting, or equivalent methods to ensure safe access of employees and equipment.
(h) Shafts and wells over 5 feet (1.53 m) in depth that employees must enter shall be supported by a steel casing, concrete pipe, timber, solid rock or other suitable material.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and section  and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 14. Fire Prevention and Control
§8445. General.
Note     •     History

(a) Combustible structures shall not be erected over shafts or tunnel openings.

Exception: Head frames, bins, and doors or hatches required for closing the opening.
(b) All shafts and tunnel openings used as a normal means of access and egress or as the main intake of fresh air for underground workings shall be constructed of noncombustible material or designed with a fire-resistance rating of 1 1/2 hours or more.
(c) Combustible framing sheds, storage buildings or change houses shall not be located within 100 feet of any tunnel opening, shaft house, hoisting engine house or ventilating fan house.
Temporary stockpiles of timber, or buildings that are as fire resistant as a change house with concrete floor, wood frame and corrugated iron sheathing may be located within the 100-foot limit if they are as far as practicable from the tunnel opening. Other combustible material shall not be stored or permitted within 100 feet of any tunnel opening.
(d) Fire protection shall be provided in accordance with Title 8, Group 27 of the General Industry Safety Orders commencing with Section 6150.
(e) Oils and other dangerous flammable material shall be stored at least 100 feet from any shaft or tunnel opening, or building over a tunnel opening, and at least one hundred feet from any powder magazine. Where oils are stored in buildings, such buildings shall not be used for other purposes. LPG storage tanks shall be located away from tunnel openings to prevent the contents from flowing into the tunnel.
Tanks and drums containing flammable or combustible liquids shall be so located that the escaping liquid cannot run over the surface from such tank to any powder magazine or to any building, within 100 feet of any tunnel opening. Under no circumstances shall oxygen or any flammable gas be stored in proximity to oil.
(f) Lubricating oils, greases and rope dressings taken underground shall be in closed metal containers that will not permit the contents to leak out or spill. When taken underground, they shall be stored in a fire resistant secluded place at least 100 feet from shafts, winzes, hoists, and tunnel timbers and at least 300 feet from powder magazines and stored in such manner that the oil from a ruptured or overturned container will not flow from its storage place. Quantities of oil and grease underground shall be limited to a one-day supply.
(g) Welding, cutting, and other hot work shall be conducted in accordance with Title 8, Article 4 and Article 32 of the Construction Safety Orders. Where welding, cutting and other hot work operations are employed, and when such operations may cause fires, suitable shields shall be provided to isolate flammable materials. Appropriate fire extinguishers shall be provided and maintained. Thorough inspections for fire hazards shall be made immediately after welding, cutting and other hot work is completed and a fire watch maintained at the location for at least one hour.
(h) No petroleum based product shall be taken underground for illuminating or heating purposes.
(i) The use of volatile solvents (below 100o F. flash point) such as gasoline underground are prohibited.
(j) No more than the amount of acetylene and oxygen cylinders necessary to perform welding, cutting or other hot work during any 24-hour period shall be permitted underground.
(k) Noncombustible barriers shall be installed below welding, cutting, or other hot work being done over a shaft or deep excavation associated with a tunnel.
(l) All oily waste or rags used underground shall be stored in metal receptacles with secure covers. The contents of the receptacles shall be sent to the surface every week or when the receptacle is full.
(m) Waste materials for which no underground storage facilities are provided shall be promptly removed from the tunnel. Leaks and spills of flammable or combustible fluids shall be cleaned up immediately.
(n) Fire resistant hydraulic fluids shall be used in hydraulically-actuated underground machinery and equipment unless such equipment is protected by a fire suppression system or by a multi-purpose fire extinguisher(s) rated at a sufficient capacity for the type and size of hydraulic equipment involved, and rated at least 4A:40B:C.
(o) A fire extinguisher of at least 4A:40B:C rating or other equivalent extinguishing means shall be provided at the head pulley and at the tail pulley of underground belt conveyors and at 300 foot intervals along the belt line.
(p) Fires which may cause serious injury to employees or threatening occupied tunnel workings shall be reported to the Division within 24 hours.
(q) Suitable fire extinguishers or other fire protection equipment shall be provided at appropriate locations. Such equipment shall be inspected monthly and maintained in operating condition.
(r) Straw, hay or similar material shall not be taken underground.
(s) Excelsior when used underground shall be made fire resistant and shall not be used in any place where welding or cutting is anticipated.
(t) Readily visible sign prohibiting smoking and open flames shall be posted in areas having fire or explosive hazards.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and subsection (a), new subsection (b) and subsection relettering, amendment of newly designated subsection (c), new subsection (d), renumbering and amendment of former section 8446 as new subsections (e)-(t) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8446. Flammable Material.
History

HISTORY

1. Renumbering of former section 8466 to section 8445, subsections (e)-(t) filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 15. Drilling
§8449. General Requirements.
Note     •     History

(a) Drilling
(1) A competent person shall inspect all drilling and associated equipment prior to use. Equipment defects affecting safety shall be corrected before the equipment is used.
(2) The drill area shall be inspected for hazards before the drilling operation is started.
(3) Employees shall not be allowed on a drill mast while the drill bit is in operation or the drill machine is being moved.
(4) Drills on columns shall be anchored firmly before starting drilling, and shall be retightened as necessary thereafter.
(5) Scaling bars shall be available at all underground drill sites.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of Article 15 heading and new section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8450. Use of Jumbos in Tunneling Operations.
Note     •     History

(a) Guardrails. Jumbo work platforms 7 feet 6 inches high and higher shall be equipped with standard guardrails in accordance with Sections 1620 and 1621(a) of the Construction Safety Orders.

Exception: 
(1) Ends or sides at which work is in process or where the open space between a platform edge and the tunnel wall is less than 16 inches.
(2) Where tunnel dimensions do not provide ample clearance lower guardrails may be used.
(b) Toeboards. Toeboards shall be provided around jumbo platforms in accordance with Section 1621(b) of the Construction Safety Orders to prevent tools or other equipment from falling off.
(c) Housekeeping. No tools, material, equipment, or other unattached objects shall remain on any platform while jumbo is being moved if any part of such object protrudes beyond width of jumbo.
(d) Access. Suitable access ladders or stairways with railings shall be provided on all jumbos. Platforms, ladder rungs, and stair treads on jumbos shall be made of nonslip grating or similar material to prevent falls caused by slick surfaces.
(e) Falling Rock. Overhead protection against falling rock and other objects shall be provided at all jumbo working areas by means of crown bars, solid platforms or other equivalent protection.
(f) Storage Racks. Where drill steel is kept on jumbo platforms, suitable receptacles such as boxes, racks, grooves or equivalent shall be provided for temporary storage.
(g) Handling Steel. When drill steel is hoisted, double slings and tag line or an equivalent method shall be used.
(h) Collaring Holes. Before starting to collar holes, a flashing light or visual warning shall be given to employees working below.
(i) Electrical. Where electric detonators are used, all electrical circuits to the jumbo shall be disconnected and the live ends removed to a minimum distance of 100 feet from the jumbo before explosives are brought up to the heading or bench.
(j) Only employees assisting the operator shall be allowed to ride on jumbos, unless the jumbo meets the requirements of Section 8493(a)(1) of the General Industry Safety Orders.
(k) Jumbos shall be chocked to prevent movement while employees are working on them.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 16. Mechanical Tunneling Methods, Machinery and Equipment
§8455. Safety Instruction.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of Article 16 heading, repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8456. Fire Control.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8457. Excessive Heat.
Note     •     History

(a) Where hydraulic lines are subject to contact at temperatures above 160o F, insulation or guarding shall be provided.
(b) Control methods shall be used to remove excessive heat when encountered to assure reasonable working conditions.
(c) Hydraulic lines shall be located or shielded so that employees will not be exposed to the hazard of being sprayed with hot and/or pressurized hydraulic oil.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment  of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8458. Dust Control.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8459. Mechanical Hazards.
Note     •     History

(a) An audible and visual warning shall be given before starting excavating or conveyor machinery.
(b) A thorough examination of the heading shall be made before starting excavation equipment to insure that all employees are in a safe location.
(c) Excavating machines shall be equipped with a deadman control.
(d) Power transmission equipment, hazardous moving parts, and conveyors shall be guarded as required by Title 8, Group 6 of the General Industry Safety Orders.
(e) Cleaning, repairing, and servicing of machinery, equipment and prime movers shall be in accordance with Section 3314 of the General Industry Safety Orders.
(f) Emergency stop switches within reach of the operator shall be provided for emergency shutdown of all underground conveyors. Unguarded conveyors with access shall be equipped with emergency stop devices or cords along their full length.
(g) An automatic device to prevent inclined conveyors from rolling backward shall be provided.
(h) Guarding shall be provided where workers are exposed to shear hazards from erector arms and other moving equipment.
(i) Erector arms shall be operated with a power up and power down system and shall have provisions for locking devices or safety pins.
(j) Tunnel support systems shall have adequate strength to resist the thrust of hydraulic jacks.
(k) Safety cables shall be provided on jacking shoes located above the spring line.
(l) Where wire rope is used to tow tunnel machines, trailing gear and other similar equipment, all components used shall provide a safety factor of at least 2.5 to 1 and be equipped with means to prevent whipping in case the wire rope or connection fails.
(m) Employees shall not be permitted between the tunneling machine and any associated trailing equipment during the towing cycle.
(n) An audible alarm shall be provided that distinctly warns employees of the movement of tunneling machines and trailing gear such as during the regripping and towing cycles.
(o) Employees shall not be permitted on the deck area of a training gear system where they may be exposed to being injured by railed equipment unless physical safeguards are provided for their protection.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment  of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8460. Electrical Equipment and Lighting.
Note     •     History

(a) Automatic emergency lighting shall be provided in the heading area.
(b) Electric equipment and wiring shall meet standards equivalent to the requirements of Title 8, Electrical Safety Orders.
(c) Electric cords and cables shall be located to minimize mechanical damage.
(d) Insulated gloves or tongs shall be used to handle energized trailing electric power cables. If insulated gloves are used they shall be tested every 30 days for leakage.
(e) Electrical installations shall be used only for lighting fixtures in underground areas where oil, grease or diesel fuel are stored.
(f) Lighting fixtures in storage areas, or within 25 feet of underground areas where oil, grease, or diesel fuels are stored, shall be approved for Class I, Division 2 locations.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment  of subsection (b), new subsections (e)-(f) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8461. Rock Crushers.
Note     •     History

(a) Every rock crusher where an employee is required or permitted to be at or near an unguarded feed opening shall be provided with adequate means whereby the power can be quickly disconnected in case of emergency. Such means of disconnecting the power shall be located at the crusher feed opening.
(1) A safe place shall be provided for employees at a crusher while cars or haulage vehicles are being unloaded.
(2) Adequate precautions shall be taken to prevent materials from being dumped into the crusher or crusher feeder while employees are working therein.
(3) Employees working at a crusher shall be protected from falling into the crusher by one of the following means:
(A) By adequately guarding the crusher mouth.
(B) Use of working platform located in such position that hung-up material in the crusher can be safely dislodged from the platform. The platform shall have a standard railing.
(C) When it is not practical to guard the crusher mouth, a safety belt and life line shall be worn by employees working over the feed opening of an operating crusher. This life line shall be tied sufficiently short to prevent the wearer from getting into the crusher.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8462. Entering Bins or Bunkers.
Note     •     History

Safety precautions in accordance with Section 3482(a) of the General Industry Safety Orders shall be taken where employees work in or around bins or bunkers.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Renumbering of former section 8492 heading to new section 8462 heading and new section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 17. Transportation and Haulage
§8470. Internal Combustion Engines.
Note     •     History

(a) The use of fuel-burning or internal combustion engines for either mobile and/or stationary equipment underground is prohibited, except for diesel engines when and where permitted in writing by the Division and under conditions specified for each project as prescribed throughout this section and/or in accordance with the provisions of 30 CFR, Part 32, pages 229-241, revised as of July 1, 1993, which is hereby incorporated by reference and made a part hereof.
(b) Application for such a permit shall be made in duplicate to the Division. The application shall include detailed information regarding the proposed use, and the following:
(1) Complete details and specifications of the exhaust conditioning devices and diesel engine(s) including displacement, the rpm where maximum horsepower is produced and the rated brake horsepower.
(2) Location of tunnel and details of operation in which it is proposed to use the diesel equipment.
(3) Length, cross section, and layout of the tunnel.
(4) Maximum number and brake horsepower of diesels to be operated in any air course.
(5) Ventilation plan including direction of air flow, fan capacity, duct sizes, and auxiliary ventilation.
(6) Date when the proposed diesel use is to begin and dates and locations where a representative of the Division may make tests of the diesel's exhaust gases.
(7) Maximum number of employees working underground at any given time during diesel usage.
(8) The application shall also list the provisions in which the requirements of this Section will be met:
(c) The velocity of fresh air flowing through the area where diesels are operating shall be a minimum of 60 lineal feet per minute and shall amount to at least 100 cubic feet per minute per diesel brake horsepower plus 200 cubic feet per minute per person underground.
(d) Testing devices for nitrogen dioxide, carbon monoxide and carbon dioxide shall be provided and used in the tunnel at least once each shift at the peak of diesel operation and a written record kept of readings. Tests shall be conducted by a Certified Gas tester.
Note: 1: Nitrogen Dioxide is the most harmful of the gases discharged by diesel equipment. If it is held within the specified limits by proper air to fuel ratio in combustion along with adequate ventilation, the pollutants, (i.e. Hydrocarbons (HC), Carbon Monoxide (CO), Nitrogen Oxides (NO), Nitrogen Dioxide (NO2), Carbon (C) or smoke, Sulfur Dioxide (SO2)), produced in the diesel exhaust emission resulting from diesel operations will normally be well below harmful levels.
Note: 2: Carbon Monoxide: Whenever twenty parts per million (0.002 percent) of carbon monoxide has been measured in the general tunnel atmosphere under average working conditions, corrective action should be initiated immediately to lower this level.
(e) The maximum allowable amount of exposure to Nitrogen Dioxide shall not exceed the following limits throughout the general tunnel atmosphere under average working conditions:
(1) Nitrogen Dioxide. Exposure to Nitrogen Dioxide shall not exceed the PEL of 5 ppm (9 mg/M3) as prescribed in the requirements of 30 CFR, July 1, 1993, Subpart D, Section 57.5001, page 409, of the Federal Mine Safety and Health Administration, which is hereby incorporated by reference.
(f) The exhaust from the diesel engine shall be passed through an acceptable scrubber or exhaust purifying device that is at least as effective as a well-designed water-bath scrubber in reducing hazard and discomfort to workers.
(g) The diesel engine and scrubber shall be maintained in good mechanical condition and proper working order. Scrubbers shall have inspection openings so that the internal condition and/or water level can be determined.
(h) The exhaust from the diesel engine shall not be directed towards the diesel operator.
(i) The diesel fuel used shall not contain over .35 percent sulphur, by weight.
(j) The diesel fuel supply shall not be stored or taken into the tunnel in amounts greater than required for eight hours of operation.
(k) The piping of diesel fuel from the surface to an underground location is permitted under the following conditions:
(1) The surface tank is connected to the underground fueling station by an acceptable pipe or hose system that is controlled at the surface by a valve and at the bottom by an additional valve and hose nozzle.
(2) The pipe or hose is empty at all times except when transferring diesel fuel from the surface tank to a piece of equipment in use underground.
(3) Hoisting operations in the shaft are suspended during refueling operations if the supply piping or the hose in the shaft is not protected from damage.
(l) Application processing time for the Permit
(1) Within 15 business days of receipt of an application meeting all of the requirements of this section and the fee for a Permit to Operate Diesel Engines Underground, the Division shall issue the permit or inform the applicant in writing, if the application is deficient, describing what specific information and documentation is required to complete the application.
(2) Within 10 business days of receipt of the resubmittal of the complete and accurate permit application complying with the provisions of this section, the Division shall issue a permit.
(3) The Division's median, minimum and maximum times for processing a permit from the receipt of the initial application to the final permit decision, based on the Division's actual performance during the two years immediately preceding the proposal of this regulation have been as follows:

	Median time	21 days
	Minimum time	15 days
	Maximum time	90 days

(m) The diesel permit shall be conspicuously posted at the jobsite.
Note: Permit requirements of the Division of Occupational Safety and Health are contained in Article 2, Subchapter 2, Chapter 3.2, Title 8, CCR.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8471. Locomotives.
Note     •     History

(a) All haulage locomotives shall be equipped with an audible signal or warning bell, horn or whistle, which shall be maintained in a workable condition.
(b) Locomotives and other powered rail-mounted equipment shall be provided with a throttle or control which returns the engine to idle or shuts off the power automatically whenever it is released.
(c) Electric locomotives must be equipped with some type of constant pressure control that shuts off the power automatically and applies the brakes when released if the operator leaves his/her post or compartment.
(d) Operators of locomotives hauling occupied mantrips or loaded explosive cars shall have at least one year of experience in operating locomotives underground.
(e) Tops of locomotives shall have raised edges or equivalent at their sides to prevent tools from rolling or falling off or protruding over the sides.
(f) Locomotives shall be equipped with steps or footboards. Steps and footboards shall be made of nonslip material and handholds shall be provided. No person shall ride on any part of locomotives not so equipped.
(g) Exposed or unguarded trolley wires shall not be used in supplying power to underground equipment at tunnel construction projects except where the project is an alteration or repair of an existing tunnel already equipped with such wires or one to be permanently so equipped.
(1) Whenever rails serve as a return for a trolley circuit, both rails shall be bonded at every joint and crossbonded every 200 feet (60.96 m).
(h) All locomotives and powered rail-mounted equipment shall be provided with a fail-safe secondary braking system which is not dependent on any external source of power or pressure to maintain the braking action. This brake shall be set at any time the operator is not at the controls.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8472. Lights on Trains.
Note     •     History

(a) All locomotives and other self-powered rail transportation equipment shall be equipped with lights capable of illuminating the track in the direction of travel.
(b) Ends of trains shall be equipped with lights or reflectors.
(c) Concrete cars shall be equipped with flashing or rotating amber lights which are visible from the front and rear.
(d) All locomotives shall be provided with a flashing or rotating blue light which shall be visible from the front and rear.

Exception: The above requirements for lighting equipment do not apply where they are in conflict with the operation of Gassy or Extrahazardous tunnels.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c), new subsection (d) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8473. Transportation of Workers.
Note     •     History

(a) The regular transportation of tunnel crews shall be in trains made up for that purpose only and they shall be operated at a safe speed. Where switching facilities are available, the man-cars shall be pulled, not pushed, by the locomotive.
(b) Cars containing explosives or detonators shall not be included in the regular, worker transportation train.
(c) Workers shall not ride in or on cars loaded with items such as timbers, rib-steel, rail, pipe, muck or other similar material.
(d) Only the train crew, shall be permitted to ride in muck cars. Rocker-type muck cars shall have positive locks to prevent accidental dumping.
(e) Workers shall not be permitted to get on or off cars while the train is in motion.
(f) Man-cars used to transport workers shall be equipped with seats, railed sides, over-head protection, non-skid floors and entrance gates at the sides of the car.
(g) Only the regular train crews, shall be permitted to ride on the front end of a locomotive or train.
(h) No person shall be allowed to ride between the cars of a train or anyplace on the train where steps or footboards with secure handholds or seating are not provided.
(i) On man-cars and powder cars, safety chains shall be used in addition to the couplers.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (b) and (d)-(g), new subsections (h)-(i) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8474. Trains.
Note     •     History

(a) All muck cars shall be equipped with automatic coupling devices.

Exception: Small  muck cars.
(b) Couplings shall not be shifted or lined up on moving cars or locomotives. If couplings are not in line, the car or locomotive shall be stopped before they are shifted.
(c) The powder car shall be pulled, not pushed, except when switching or traveling on a dead-ended portion of the line beyond the last suitable switch, and only the motorman and the brakeman shall be on the train.
(d) Where switching of cars is being performed, a brakeman shall be provided, in addition to the motorman, to assist in the switching.
(e) When railed equipment is left standing on a track, a positive means shall be provided and used to prevent accidental movement of such equipment. Safety chains shall be used to connect cars when grades exceed one percent. Such safety chains or other connections shall be capable of maintaining connection between cars in the event of either coupler disconnect, failure or breakage.
(f) Safe speed limits for rail traffic shall be determined as the job conditions warrant and be prominently posted. Trains shall not travel faster than 12 miles per hour unless equipped with adequate air brakes in addition to those required on the locomotive to safely stop the fully loaded train on the maximum grade on which it is operated.
(g) An understandable uniform signaling means shall be developed and used for signaling the movement of trains.
(h) Long pieces of material, such as pipe, rails, etc., shall be secured against shifting or protruding over the edges while being transported by trains.
(i) During shift changes the movement of rock or material trains shall be limited to areas where trains will not present a hazard to persons coming on or going off shift.
(j) Positive means shall be provided to warn and protect the train crew from shear and crushing hazards created by unavoidable site conditions such as the lack of safe clearance and limited headroom present as trains enter or exit trailing decks and rotary dumps or pass under gantry decks.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8475. Limited Visibility Precautions.
Note     •     History

(a) While a mucker, jumbo or other equipment which seriously interferes with the motorman's vision is being pushed into the tunnel a person with a whistle or other signaling device shall be stationed in a safe position on the equipment to watch for workers in danger of being struck or other hazards.
(b) When workers are exposed to the hazard of being struck by a train or a collision hazard exists due to limited visibility as when pushing a train, a brakeman and/or signal person(s) shall be used to observe the movement of the train. Where a brakeman is used, he/she shall be located at a safe location near the end of the train with a means of communicating with the operator. Where signal person(s) are used, such person(s) shall be placed strategically in a safe location with means to communicate with the train operator.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsection (a), repealer of subsection (b) and new subsection (b) and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8476. Tracks.
Note     •     History

(a) Surface and tunnel tracks shall be installed and maintained in good condition, reasonably level and free of dips, bumps, and obstructions, commensurate with the safe passage of trains at operating speeds.
(b) Track joints and fish plates shall be installed directly over ties or other suitable support.
(c) Derailers or other equivalent stopping devices shall be provided and installed at locations where disconnected equipment can roll if unattended.
(d) Appropriate equipment, such as jacks or rerailers, shall be provided and used to retrack equipment that is derailed.
(e) Adequate drainage or pumping shall be provided to maintain the top of the rails above water.

Exception: Where the top of the rails cannot be maintained above water due to excessive water conditions, appropriate risk control measures shall be implemented.
(f) In the event oil, ice, water or other conditions render the tracks slippery, sand or other effective means shall be used to treat the affected areas to provide for adequate traction.
(g) Bumper blocks or equivalent stopping devices shall be provided at all dead ends.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (a) and (c)-(e), new subsections (f)-(g) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8477. Block Signals.
Note     •     History

If there are curves in a tunnel where more than one train or locomotive operates, block signals for each curve shall be installed and used. These signals may be manually operated from each approach to the curve or turn if arranged so as to give effective notice that a train is on the curve.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8478. Portable Switch.
Note     •     History

California type portable switches shall be planked between rails or other effective means shall be utilized to prevent workers from falling or tripping in openings.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8479. Car Passers and Cherry Pickers.
Note     •     History

(a) Where car passers of any type are used, a colored light operated by a worker at the car passer shall be used to signal the motorman.
(b) A reverse grade away from the main track, or a positive stop or lock shall be provided on the car passer track to avoid the unexpected rolling of the car.
(c) Cherry pickers shall be equipped with automatic locking devices that will prevent muck cars from falling when in the raised position.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8480. Surface and Underground Dumping Locations.
Note     •     History

(a) A berm, bumper block, safety hook or similar means, shall be provided to prevent overtravel and overturning of haulage equipment at dumping locations.
(b) Dump track areas shall be maintained reasonably level and properly ballasted or the ties planked over to prevent employees from tripping.
(c) Standard walkways with railings in accordance with Section 1620 of the Construction Safety Orders shall be provided on elevated trestles and at all dump locations.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, subsections (a)-(c), repealer of subsection (d) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8481. Switches.
Note     •     History

Frogs, guard rails and lead rails of switches shall be so filled as to eliminate the danger of a foot being caught.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8482. Places of Refuge.
Note     •     History

(a) In all areas of tunnels where mechanical rail haulage is employed and the lack of clearance becomes a hazard to foot traffic, places of refuge affording a clearance of at least 2 feet between the widest portion of the car or train shall be provided at intervals of not more than 200 feet and at all permanent work stations.
(b) Every place of refuge shall be kept free of debris and readily accessible.
(c) Every place of refuge shall be made readily visible by contrasting lights or other effective means.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8483. Haulage and Earthmoving Equipment.
Note     •     History

(a) Haulage and earthmoving equipment shall comply with CCR, Title 8, Article 10 of the Construction Safety Orders and the following:
(1) No employee shall ride haulage and/or earthmoving equipment unless it is equipped with seating for each passenger and protects passengers from being struck, crushed, or caught between other equipment or surfaces.
(2) Powered mobile haulage equipment and service vehicles shall be equipped with headlights and taillights in good condition. Such equipment shall be equipped with back-up lights which shall be used when the vehicle is operated in reverse.
(3) Where the backward movement of mobile equipment would constitute a hazard to employees working in the area on foot and where the operator's vision is obstructed to the rear, such equipment shall be equipped with an effective warning device or method to safeguard employees such as:
(A) An automatic back-up audible alarm which would normally be audible from a distance of 200 feet and will sound immediately on backing, or
(B) An automatic braking device at the rear of the vehicle that will apply the service brake immediately on contact with any obstruction to the rear, or
(C) In lieu of A or B above, administrative controls shall be established such as:
1. A spotter or flagger in clear view of the operator who shall direct the backing operation, or
2. Other procedures which will require the operator to dismount and circle the vehicle immediately prior to starting a back-up operation, or
3. Prohibiting all foot traffic in the work area, by providing an effective communications system along with barricades.
(D) Other means shall be provided that will furnish safety equivalent to the foregoing for personnel working in the area.
(4) A safe means of access shall be provided and maintained from the ground to the driver's location.
(5) The driver's seat shall be maintained in good condition.
(6) In tunnels where the overhead and side clearance is limited and the rollover protective structure itself may strike and dislodge ground support members and no rollover hazard exists, the Roll Over Protective Structure (ROPS) shall only be removed under conditions established in writing by the Division.
(7) Where hazards of falling objects exist underground, all mobile equipment used shall be provided with overhead protection for the operator and other affected employees.
(8) When it is necessary to elevate employees using an industrial truck, requirements of Section 3657 of the General Industry Safety Orders shall be applied.
(b) Vehicles which are utilized on jobsites exclusively and are, therefore, excluded from the provision of applicable traffic and vehicular code shall be equipped and operated in accordance with CCR, Title 8, Article 11 of the Construction Safety Orders.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8484. Haulageways and Private Roads.
Note     •     History

(a) All haulageways and private roads shall be in compliance with the California Code of Regulations, Section 1590 of the Construction Safety Orders.
(b) Haulageways and roads shall be maintained free from holes, deep ruts, dust, and excessive water.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8490. Walkways.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Renumbering of former Article 18 heading to new section 8411 heading, repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8491. Raises.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8492. Entering Bins or Bunkers.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Renumbering of former section 8492 heading to new section 8462 heading, repealer of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 19. Shafts and Hoisting Systems
§8493. General.
Note     •     History

(a) Shafts and Inclines.
(1) At the tops of all shafts and inclines, barriers shall be installed which are a minimum of 42 inches high and designed to withstand reasonably expected loads, such as a person with a tool or parts carrier, utility lines and a suspended load with a person tending a tag line.
(2) Barriers shall be a minimum of 6 feet high and designed to withstand reasonably expected loads where the depth of the shaft exceeds 100 feet.

Exception: A small designated section of the barrier, where the toplander observes and/or signals to the crane operator, shall be a minimum of 42 inches high.
(3) The ground adjacent to the top of all shafts shall be sloped away from the shaft collar to prevent the entry of liquids and provided with effective barriers to prevent mobile or rail-mounted equipment from falling into the shaft.
(4) At all intermediate shaft stations 6-foot high barriers shall be installed.
(5) Gates in the barriers shall be kept in place except when necessarily removed for loading operations.
(6) Where there is a hazard of material falling into the shaft, the cage and skip compartments shall be screened or timbered off from other shaft compartments. This divider shall extend high enough upon the head frame to confine in the skip compartment any muck that might become dislodged during the dumping of the skip.
(7) If a shaft is not provided with a separate, enclosed compartment for the handling of materials, a warning signal appropriate for the conditions shall be provided to warn employees at the bottom of the shaft and all intermediate stations whenever a load is being hoisted over, or through the shaft. The area around the bottom of the shaft station shall be barricaded or posted with appropriate notices or warnings.
(8) All stations and skip pockets shall have sufficient passageway so that crossing through the hoisting compartment of shafts is unnecessary.
(9) All sumps must be covered or protected with standard guard rail.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of Article 19 heading and section heading, repealer of section and new section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8494. Ladders and Ladderways in Shafts and Inclines.
Note     •     History

(a) General.
(1) Two safe means of access and egress shall be provided for all shafts and inclines. If a ladderway is used as one of the means of access, it may terminate above the shaft bottom provided chain, wire, rope or wooden extension ladders extend the remaining distance.
Note: Ramps for inclinations of 0o  to 20o  Stairways for inclinations of 20o  to 45o  Ladders for inclinations of 35o  to 90o .
(2) No shaft or incline used for hoisting shall have the center line of the ladder width closer than 36 inches from any part of the moving skip, cage or bucket. Unless the ladderway is in a separate, closed compartment, it shall be used only in emergency or occasional service.
(3) All ladders shall be of such design, material and construction that they will safely support all normal loads imposed upon them.
(4) Every ladderway more than 30 feet in length shall have an enclosed manway with platforms at intervals not exceeding 20 feet or a ladder cage. In all vertical shafts and where practicable in incline shafts (more than 60o), the sections of the ladders shall be staggered at each platform so that no section shall be directly in line with the section above or below it. 
(5) All outside edges of platforms shall be protected by standard guard railings.
(6) Ladders shall project at least 3 feet 6 inches above every platform and the collar of the shaft, unless convenient and secure hand holds are fixed at such places.
(7) All ladders shall be securely fastened.
(8) Under no circumstances shall any ladder be installed inclining backward from the vertical.
(9) Ladderways and platforms shall be kept clear of loose rock and obstructions.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of section heading and section, renumbering and amendment of former section 8497 to section 8494 and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8495. Hoisting Equipment and Systems.
Note     •     History

(a) General Requirements.
(1) When a shaft is used as a means of egress, the employer shall make advance arrangements for power-assisted hoisting capability to be readily available in an emergency, unless the regular hoisting means can continue to function in the event of an electrical power failure at the jobsite. Such hoisting means shall be designed so that the load hoist drum is powered in both directions of rotation and so that the brake is automatically applied upon power release or failure.
(2) Material hoists shall conform to applicable sections of this article and the requirements of Section 1605.14 of the Construction Safety Orders relative to mine-type hoisting machines.
(3) There shall be two safe means of access in shafts at all times. This may include a ladder and acceptable hoisting system.
(4) Where any shaft conveyance may swing, bump, or snag against the shaft sides or other structural protrusions, the conveyance shall be guided by fenders, rails, ropes, or equivalent means.
(5) Cranes used for hoisting shall comply with the applicable sections of this article and the requirements of Group 13 of the General Industry Safety Orders; and shall be proof load tested in accordance with Section 5021 prior to being placed into service and at least annually thereafter.
(6) Cranes shall be of such design that the load is powered up and down, and so arranged that the load stops or creeps slowly if the motor stops. A system shall be used to prevent the drum from being accidentally disengaged from the mechanical drive (freewheeling) while in use at a shaft.
(7) Crane and hoist drum control levers shall be of a type that return automatically to the “stop” position when the operator's hand is removed.
Note: Cranes may have a drum throttle control that automatically stops or slows the engine to idling speed when the throttle is released.
(8) All cranes used for hoisting shall be provided with a limit switch to prevent a two-block condition.
(9) Limit switches are to be used only to limit travel of loads when operational controls malfunction, and shall not be used as a substitute for other operational controls.
(10) The maximum rate of speed at which material and personnel can be hoisted shall be determined by a qualified person, posted at the hoist controls and shall not be exceeded.
(A) When a hoist is used for both personnel hoisting and material hoisting, load and speed ratings for personnel and for material shall be assigned to the equipment.
(11) A non-combustible hoist house shall be constructed and wherever possible, provide a clear and unobstructed view of the shaft collar. Physical protection shall be provided for the hoistman, hoist drum(s), braking system and drive motors.
(12) Whenever glazing is used in a hoist house, it shall be safety glass, or its equivalent, and be free of distortions and obstruction.
(13) All hoists shall be equipped with landing level indicators at the operator's station. Marking of the hoist rope and belt-driven indicators shall not satisfy this requirement.
(14) Hoisting ropes used on cranes shall be accurately marked or equivalent steps taken to indicate when the load has reached certain important positions including top and bottom landings.
(15) Hoist controls shall be clearly labeled and arranged so that the operator can perform all operating cycle functions and reach the emergency cutoff without having to reach beyond the operator's normal operating position.
(16) The hoist shall be of such design that the load is powered up and down. There shall be no friction gearing or clutch mechanism by which the motor or other power source can be disconnected from the hoisting drum.
(17) Makeshift hoisting operations shall not be permitted for personnel or materials.
(18) Construction elevator-type hoists as defined in the Construction Safety Orders shall comply with the California Code of Regulations, Title 8, Article 14 of the Construction Safety Orders.
(b) Personnel Hoisting Systems.
(1) The hoist control shall be of such design that it will return to the “stop” position when the hand of the operator is removed from the control lever. The brakes shall be automatically applied and the power cut off whenever the control lever is in the “stop” position.
(2) Hoists shall be equipped with limit switches to prevent overtravel at the top and bottom of the hoistway.
(3) Hoists utilized in shafts over 100 feet in depth shall be provided with overspeed devices which disconnect the power and apply the brake at 120 percent of the maximum rated speed.
(4) Cranes used for personnel hoisting in shafts under construction shall comply with the applicable sections of this article and the requirements of Group 13 of the General Industry Safety Orders; however, the requirements of Section 5004(c) do not apply.
(5) Personnel hoists shall be equipped with two brakes, either of which is capable of stopping and holding 150 percent of the hoist's rated line pull. One shall be an automatic brake that will be applied whenever the power fails, is shut off or when the power control lever is in the “off” position. The other brake shall be a hand or foot brake that operates on the hoist drum.
(c) Shaft Conveyances.
(1) Shaft conveyances used for moving personnel in all completed shafts, or in all shafts being used as completed shafts, shall be rope or rail guided for the full length of their travel.
(2) Personnel conveyances operating on guides or guide cable shall be equipped with broken-rope safety devices.
(3) Conveyances used for moving personnel shall be equipped with a bonnet that covers the top in such manner as to protect riders from objects falling in the shaft. It shall be the equivalent of two steel plates three-sixteenths inch in thickness, sloping toward each side. If used in a shaft where emergency egress may be blocked, the bonnet shall be so arranged that it may be readily pushed upward to afford egress.
(4) Conveyances used for the movement of personnel shall be provided with sheet iron or steel side-casings not less than six feet in height and not less than one sixteenth inch thick or with netting composed of wire not less than one sixteenth inch in diameter (the maximum size of openings of wire netting shall not be greater than one inch), and with gates of not less than four and one-half feet in height and made of such materials as specified for side-casing, either hung on hinges or working in slides; provided, however, that this safety order does not preclude the use of other materials having equivalent strength and providing equal safety. The conveyance shall have handholds provided so that each person will have a convenient means for steadying themselves.
(A) All personnel conveyances shall be provided with a positive locking door and/or gate that does not open outward.
(5) If buckets or cages without guides are used for handling personnel and material, the arrangements must be such that:
(A) The work bucket shall have all sides enclosed by a heavy screen or equivalent to a height of at least 42 inches, and have a protective canopy top. Shaft crews shall be hoisted or lowered in a conveyance as required in Section 8495(c)(3) and (4). However, when the cage is being used as a work platform the sides may be reduced in height to 42 inches when conveyance is not in motion.
(B) Self-dumping conveyances used for the transportation of personnel shall be provided with a positive means to prevent travel into the dumping position and equipped with a suitable locking device to prevent accidental dumping when persons are transported thereon.
(6) Emergency chains, slings, or double clevis pins shall be used between the lower end of the wire rope and the shaft conveyance so that in the event of ring bolt or clevis-pin breakage, the emergency attachments will prevent the cage or skip from falling.
(d) Broken Rope Safety Device.
(1) Broken-rope safety devices shall be capable of stopping and holding 150 percent of the weight of the conveyance and its maximum rated load in the event the hoisting cable parts.
(2) The safety device shall be mechanically applied. Electric, hydraulic or pneumatic action shall not be used to engage the safeties nor hold them in the retracted position.
(3) The safety device shall be designed not to engage while the conveyance is ascending and after actuation be released only by the upward movement of the conveyance.
(4) The safety device shall be drop-tested at 100 percent of its rated capacity before initial use and the following:
(A) After any repairs or alterations affecting the safety device.
(B) After any unintentional actuation of the safety device during normal operation.
(C) At least annually.
The Division shall witness the required initial and annual drop-tests.
(5) No method of roping shall be used which might interfere with the proper operation of the safety device.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, repealer of section and new section and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8496. Shafts and Raises Under Construction.
Note     •     History

(a) Shafts under construction exceeding 200 feet in depth shall be provided with guides, which extend within 75 feet of the bottom of the shaft.
(b) Where guides and safeties are used, the maximum rated speed for hoisting shall not exceed 600 feet per minute.
(c) In areas of shaft construction where buckets or cages without guides are used for handling personnel and material, the arrangements must be such that:
(1) All parts of the rigging shall provide a safety factor of 10 or more when personnel are being transported or working below a suspended load.
(2) Adequate level landing areas shall be provided for the use of personnel getting on or off buckets or cages.
(3) The travel speed shall not exceed 200 feet per minute.
(d) During sinking operations, no cage, skip, bucket or other conveyance shall be lowered directly to the bottom of a shaft or incline steeper than 20 degrees from the horizontal when personnel are working there. All such equipment shall be stopped at least 15 feet above the bottom of such excavation, and remain there until the signal to lower further is received from the bottom of the shaft.
(e) During sinking operations in shafts steeper than 20 degrees from the horizontal, no other work in any other place in the shaft shall be executed, nor shall any material or tools be hoisted in the shaft while personnel are at work in the bottom of the shaft, unless they are covered by a well constructed barrier or otherwise protected from the danger of falling material.
(f) Open pilot raises in shafts being enlarged shall be covered or railed except when necessarily open for passage of muck. Safety belts and lifelines shall be worn when the raise is not guarded.
(g) Means of unplugging shafts and/or raises, such as chains or cables that can be worked up and down, shall be provided. Hand placed “Bombs” shall not be permitted to unplug shafts and/or raises from the bottom.
(h) Shaft bottoms shall be cleaned of muck and an examination made for misfires before resuming drilling.
(i) Blasting holes shall not be drilled through blasted rock or water.
(j) Employees in a shaft shall be protected either by location or by suitable barriers if powered mechanical loading equipment is used to remove muck containing unfired explosives.
(k) Explosives used in shafts shall only be fired by blasting systems which provide for initiation from a safe and remote location away from the blast site.
(l) Powder or blasting caps shall not be taken into any shaft or raise until holes are drilled and are ready for loading.
(m) After each blast, a qualified person shall determine if the walls, ladders, timbers, blocking or wedges have loosened, and if such is the case, they shall be repaired before employees other than those assigned to make the repairs are allowed in or below the affected areas.
(n) Unless a raise-climber, suspended drill cage or similar method is used, raises over 30 feet in length and steeper than 30 degrees with the horizontal shall have separate compartments for muck and ladderway during the driving operation.
(o) Suspended Drill Cage Method of Raise Driving.
(1) Hoisting operations and equipment involved in moving the cage shall comply with Section 8495.
(2) Arrangements must be made so that the cage is adequately braced against lateral sway or spinning while cage is in work position.
(3) Each cage shall be provided with a protective canopy which may have hinged sections or other arrangements to provide partial protection, when needed, even if sections of the bonnet must be open for work purposes. The cage must be fully covered during first access after blasting so that the face can be safely inspected for loose material and barred down.
(4) Arrangements shall be such that a rope ladder can be promptly placed into position, or equivalent steps taken if the need should arise.
(5) Adequate means of communication, protected against damage or failure, shall be provided between hoist operator and drill cage.
(p) A method using raise-climbing machinery is acceptable, provided that the degree of protection for employees are equivalent to that required for the drill-cage method.
(q) During raising operations, no work or other activity shall take place beneath an open raise. The area around the bottom of the open raise shall be effectively barricaded and posted against entry. Where a raise bore is used, the area barricaded shall be extended a sufficient distance from the centerline of the raise to provide protection should the cutterhead and/or drill rod assembly accidently fall down the raise.
(r) During raise boring operations and/or shaft enlargement, muck shall not be permitted to accumulate closer than 12 inches from the bottom collar to prevent plugging.
(s) Mucking operations shall not be conducted concurrent with raise boring except those operations conducted by employees in a remote location providing protection from the hazards associated with a failure of the drill rod, cutterhead assembly or falling material.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, repealer of section and new section and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8497. Wire Rope and Sheaves.
Note     •     History

(a) Factor of Safety. All rope to be used for regular hoisting shall be wire rope providing a factor of safety not less than five to one for material hoist and ten to one for personnel hoist when new, which shall be calculated by dividing the breaking strength of the wire rope as given in the manufacturer's published tables, by the total load to be hoisted including the total weight of the wire rope in the shaft when fully let out, plus a proper allowance for impact and acceleration.
The acceleration allowance shall be in accordance with manufacturer's recommendations, but in all cases the factor of safety of five or more must be maintained when the load, used in determining it, is greater than the actual weight by a percentage that is numerically three times the acceleration or decelearation, whichever is greatest. For example, a deceleartion or acceleration of two feet per second that increases the load would require use of an effective load 6 percent greater than the actual weight, in the calcuation of a factor of safety.
(b) Wire Rope Fastenings. Every wire rope used for hoisting shall be securely fastened at both ends and when in use shall not be fully unwound; at least three full turns shall remain on the drum so as to protect the end fastening at drum from overload. The wire rope end at the cage, skip or bucket shall be securely fastened by a properly made tapered socket joint, by an eye in the wire rope made with an oval thimble and wire rope clips, or by another method acceptable to the Division for this or similar service. If the wire rope clip method is used, the spacing and number used shall be as shown in Table - 1 for U-Bolts and in Table - 2 for Fist-Grip clips based upon using RRL or RLL wire rope, 6 x 19 or 6 x 37 Class, FC or IWRC; IPS or XIP. If Seale construction or similar large outer wire type construction in the 6 x 19 Class is to be used for sizes 1 inch and larger, add one additional clip. If a pulley (sheave) is used for turning back the wire rope, add one additional clip.
The number of clips shown also applies to rotation-resistant RRL wire rope, 8 x 19 Class, IPS, XIP, sizes 1-1/2 inch and smaller; and to rotation-resistant RRL wire rope, 19 x 7 Class, IPS, XIP (sizes 1-3/4 inch and smaller for U-Bolts and size 1-1/2 inch and smaller for Fist Grips).
Note: Wire rope abbreviation used above ---RRL-- Right Regular Lay Rll-- Right Lange Lay FC-- Fiber Rope Core IWRC -- Independent Wire Rope Core IPS --  Improved Plow Steel XIP --  Extra Improved Plow Steel 

View Graphic
(c) Unsafe Wire Rope. No wire rope shall be used for hoisting when:
(1) There are 6 broken wires in one rope lay or 3 broken wires in one strand of a rope lay, or
(2) Wires on the crown are worn to 65 percent of their original diameter, or
(3) Kinking, birdcaging, high stranding, displacement or distortion of the rope structure exists, or
(4) Heat damage or marked corrosion exists, or
(5) Conditions exist which exceed the wire rope manufacturer's removal criteria.
(6) Loss of more than ten percent of rope strength as determined by nondestructive testing.
(d) Splicing. Spliced wire rope shall not be used, except that the end may be attached to the load by the thimble and/or clip method, as provided in subsection (b) of this section.
(e) Sheave and Drum Diameters. Each head sheave and hoist drum shall have a minimum diameter, according to the type of wire rope used, as follows:

	6 x 7 wire rope	-- 	42 times rope diameter
	6 x 19 wire rope	-- 	30 times rope diameter
	6 x 37 wire rope	-- 	18 times rope diameter
	8 x 19 wire rope	--	21 times rope diameter

(f) End Connections.
(1) A safety hook, shackle or other means providing closed design protection shall form the attachment between rope and a bucket, cage, skip or load. The attachment shall be made so that the force of the hoist pull, vibration, misalignment, release of lift force, or impact will not disengage the connection. Moused or open-throat hooks with light safety latches do not meet this requirement.
(2) All wire rope fittings and connections shall be in accordance with the manufacturers' specifications and compatible with the type of wire rope used.
(3) Spin-type connections, where used, shall be maintained in a clean condition and protected from foreign objects that could affect their operation.
(4) Where wire rope wedge sockets are used, means shall be provided to prevent wedge escapement and to ensure the wedge is properly seated.
(g) Drug Flanges. The drum of any hoist used for hoisting shall have flanges which extend at least 2 inches radially beyond the last layer of rope when all the rope is coiled on the drum.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Renumbering and amendment of former section 8497 to section 8494 and new section heading, section and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8498. Hoisting Signals.
Note     •     History

(a) Every shaft or incline shall be provided with two efficient means of interchanging distinct and definite signals between the top of the shaft and the lowest level and any intermediate level from which hoisting is being done, and from the conveyance at any point in the shaft. One system shall be a closed-circuit voice communication system to each landing station, with speaker microphones so located that the hoisting engineer can communicate with the individual landing stations during hoist use.
(b) Special care shall be taken to keep the signal apparatus in good order and to prevent electric signal and telephone wires from making contact with other electric conductors. The primary and secondary signal systems shall be tested at the beginning of each shift and as often as necessary at other times to ensure they are in working order.
(c) Signals to the hoist engineer shall be given only by persons authorized to do so.
(d) Hoisting signals shall be posted at the hoist and at each level.
(e) Where mobile cranes are used at shafts, there shall be a qualified signal person in direct voice communication with the hoisting engineer safely stationed where they can observe the load in the shaft and relay signals to the hoisting engineer, except where the load is in full view of the hoisting engineer or the load is provided with guides.
(f) Any signal not readily understood by the hoisting engineer shall be interpreted as a “stop” signal, and no movement of the shaft conveyance shall be undertaken until a clear and understandable signal is received.
(g) Where it is necessary to use bells or similar equipment for hoisting or lowering signals, the following system or code shall be used:

Signals from tunnel to hoist engineer:
	2--1		bells, to hoist rock.
	1		bell, to stop if in motion.
	1--2--1		bells, to release skip.
	2		bells, to lower.
	3--1		bells, employee on; run slowly; employees to be hoisted.
	3--2		bells, employee on; run slowly; employees to be lowered.
	7		bells and repeat, accident.
	3--3--1		bells, hoist cautiously.
	3--3--2		bells, lower cautiously.
	3--2--1		bells, ready to blast.

The signals 3--3--1 and 3--3--2 may be used to move cage, skip, bucket or other conveyance, whenever there is a need to hoist or lower cautiously whether or not men are aboard.
The signal “ready to blast” shall be followed by the signal “ready to hoist” coming from the hoisting engineer.
Engineer's signal that he/she is ready to hoist, is to raise the bucket, cage, or skip about 2 feet and lower it again.
Legible copies of the signals shall be posted in a convenient location at the collar of the shaft, at each station and at the operator's station. This signal code must include proper signal for each level or station.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8499. Hoisting Engineers.
Note     •     History

(a) At every shaft where personnel or materials are hoisted there shall be one or more qualified individuals to be known as hoisting engineers. They shall be able to speak and read English readily, and must have had practical experience in operating shaft hoisting systems. Each hoisting engineer shall pass a thorough physical examination, at least once a year, by a medical physician authorized to practice in California. Arrangements shall be made so that written verification indicating that the hoist engineer is physically fit to operate a hoist is sent to the employer for posting near the hoisting system control room. (See example of form shown in Appendix C of these safety orders as to the suggested information required.)
(b) Individuals who have not had practical experience in hoisting personnel or material shall not be assigned to duty as hoisting engineers without prior training under the direction of an experienced hoisting engineer. A reasonable number of trainees may work under the direct supervision of a qualified hoisting engineer hoisting materials for the purpose of obtaining the necessary experience to qualify them as hoisting engineers. Training shall include experience in operation of the hoist handling material only, until such time as the employer considers the learner competent to hoist and lower personnel. Training shall be done at such times and under such circumstances as to avoid the creation of any unusual hazard.
(c) At all shafts where personnel or materials are hoisted, only those familiar with the details and workings of a shaft hoist shall be assigned to this work and, except in cases of emergency or as provided for in (b) above, no one but the duly appointed hoisting engineers shall operate such hoisting system.
(d) At any shaft where hoisting is conducted, a copy of this article shall be available near the operator's station at all times. Prior to any person assuming the duties as a hoisting engineer, he/she shall be required to familiarize himself/herself with, and follow all the requirements contained therein.
(e) The hoisting engineer shall report immediately to his/her employer any defects in the hoisting or communication systems. The hoisting engineer shall not operate the hoisting system, nor permit any other person to operate the system until said defects have been corrected.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8500. Hoisting Operations.
Note     •     History

(a) Inexperienced or untrained employees shall not be permitted to operate the hoist (See Section 8499).
(b) Unauthorized persons shall not be allowed in the hoist room.
(c) There shall be no conversation involving the hoisting engineer while the hoist is in motion, or while he/she is attending to signals, except to receive orders or instructions.
(d) A shaft conveyance shall not be left at the collar of the shaft, or at a landing, but must be hung at least 10 feet from the collar of the shaft, or landing when not in use and before the hoist operator leaves his/her post.
(e) Whenever employees are working in a place to which they have been lowered by mechanical power, arrangements must be such that a hoisting engineer or a substitute will be within sight and sound of the signal system at the operator's station.
(f) The hoist shall not be operated and the cage, skip or bucket moved while oiling operations are under way unless clearance is obtained from the oiler. The hoisting engineer shall be notified when oiling operations are to commence and when they are finished.
(g) When employees are working in a shaft without a bulkhead over their heads, the skip, cage or bucket shall not be moved until the employees in the shaft are in the clear. Movement shall not be attempted without permission from those who issued the hold order.
(h) The hoist shall be operated with extreme caution whenever persons are being hoisted up or down.
(i) When a bucket is used for hoisting materiels, buckets shall be trimmed prior to hoisting and means shall be provided that will prevent material from falling into the shaft or incline while the bucket is being dumped.
(j) Before any work is commenced in a shaft or incline served by a hoisting system, the hoisting engineer and other employees in the area shall be informed concerning the details and given appropriate instructions. A sign warning that work is being done in the shaft shall be installed at the shaft collar, the operator's station, and at each underground landing.
(k) When employees enter the sump of a shaft or incline a positive stop shall be provided to prevent a load from being lowered on top of them and the hoist engineer shall be notified that the load is not to be moved until the employees working in the sump give the hoisting engineer clearance.
(l) In shafts and inclines precautions shall be taken to prevent materials being hoisted from catching on rocks, timbers or other obstructions.
(m) All timbers, tools, etc., longer than the depth of the bucket, skip cage or other conveyance in which they are to be hoisted or lowered must be lashed at their upper ends to the cable or otherwise secured.
(n) Personnel shall not be permitted to ride on the tops of any shaft conveyance except when necessary to perform inspection, maintenance, or repair of the shaft or hoisting system, in which case they shall be protected by guardrails or approved fall protection systems.
(o) Personnel shall not be permitted to ride on any trip in which the conveyance is loaded with explosives, except in case of a person in charge of explosives and the cage operator. No other hoisting and other activity shall be permitted when transporting explosives.
(p) Personnel and materials or equipment, other than small tools and supplies secured in a manner that will not create a hazard to employees, shall not be hoisted together in the same conveyance. However, if the cage operator is protected from shifting of materials and equipment, then the cage operator may ride with material or equipment in cages or skips.
(q) During hoisting operations no load or conveyance shall be lowered directly to any place in a shaft or incline steeper than 20 degrees from the horizontal when employees are in the shaft. All such equipment shall be stopped at least 15 feet above them, and remain there until the signal to lower further is received from them.
(r) The door and gates of all shaft conveyances shall be closed and latched before a signal to move the shaft conveyance is given and they shall remain shut until the conveyance has come to a complete stop.
(s) Employees shall not enter or leave any conveyance if it is in motion or after a signal has been given to the hoisting engineer.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8501. Shafts and Hoisting Systems Inspections.
Note     •     History

(a) A written systematic procedure of inspection testing and maintenance of shafts, hoisting systems, conveyances, hoist ropes and rigging required by this article and other applicable safety orders shall be developed and followed. Such inspection, testing and maintenance shall be done by a qualified person. If it is found or suspected that any component is not functioning properly, hoisting shall not be conducted until the malfunction has been located and corrected. (See suggested example in Appendix D of these safety orders.)
(b) All hoisting machinery, anchorages, hoist ropes and rigging, and safety appliances connected therewith shall be inspected at the beginning of each shift and during hoist use, as necessary.
(c) At the beginning of each shift, after any repairs to the shaft or hoisting system, or following any occurrence that might restrict or obstruct the conveyance, the conveyance on which no personnel are riding shall be operated up and down in the working part of the shaft at least once before resuming hoisting operations. Special attention shall be given during this test run to the condition of the hoisting machinery and shaft. No personnel shall be hoisted or lowered until all hazards disclosed by this trial are corrected except for those employees necessary to correct the condition and only under direct supervision and after appropriate precautions have been taken.
(d) Where broken rope safety devices are used, the weight on the hoisting rope shall be relieved to test the unrestricted functioning of the safety devices and their activating mechanisms at the beginning of each shift.
(e) A weekly inspection of all shafts shall be made by a competent person and a report made and kept on file for inspection by the Division.
(f) All wire rope used for hoisting shall be checked once every three months by cutting from the lower end of such wire rope a section not less than five feet in length and having such section examined carefully, both externally and internally for indications of wear, corrosion, fatigue and breaks.

Exception: Permanently affixed end connection such as poured zinc socket may be examined by an acceptable nondestructive test.
(g) When performing nondestructive test of the active length of the rope or rope diameter, measurements shall be made when the following conditions exist:
(1) Wherever wear is evident;
(2) Where the hoist rope rests on sheaves at regular stopping points;
(3) Where the hoist rope leaves the drum at regular stopping points; and
(4) At drum crossover and change-of-layer regions.
(h) In order to ensure suitable operation and safe condition of the functions and safety devices, each hoisting system shall be inspected and load-tested to 100 percent of its rated capacity at the time of installation and the following:
(1) After any repairs or alterations affecting its structural integrity;
(2) After the operation of any safety device; and
(3) Annually.
(i) At the time of completion, the person performing inspections, tests, and maintenance of shafts, hoisting systems, conveyances, hoist ropes and rigging required by this article and other applicable safety orders shall certify in writing that they had been done. The employer shall prepare a certification record which includes the date each inspection and load test was performed; the signature of the person who performed the inspection or test; and a serial number or identifier for the system component that was inspected or tested. The certification record shall be maintained on the job site until the completion of the project.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of section heading, repealer of subsections (a)-(b), new subsections (a)-(b), amendment of subsection (c), and new subsections (d)-(i) and Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
§8502. Shaft Inspection.
History

HISTORY

1. Repealer of section filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
Article 20. Explosives
GENERAL
§8505. Minors.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer of article 20 (sections 8505-8513) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8506. Training.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8507. Deteriorated Explosives.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8508. Explosives for Blasting.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8509. Water Gels.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8510. Explosives for Underground Use.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8511. Electric Detonation of Explosives During Lightning and Dust Storms.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8512. Smoking and Open Flames.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8513. Transferring Explosives.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 21. Storage of Explosives
§8514. Storage General Requirements.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer of article 21 (sections 8514-8521) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8515. Quantity and Distances Table for the Storage of Explosives--Class A.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8516. Quantity and Distance Table for Storage of Explosives--Class B Distances in Feet When Storage Is Unbarricaded.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8517. First-Class Magazines.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsection (h) and new Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8518. Second-Class Magazines.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8519. Storage Within First-Class Magazines.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8520. Makeup or Primer House for Blasting Operations.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsection (a)(1) and new Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8521. Storage of Explosives Underground.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 22. Transportation of Explosives
§8525. General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer of article 22 (sections 8525-8531) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8526. Surface Transportation.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8527. Transportation of Explosives-- Underground--General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8528. Transportation of Explosives--Hoisting or Lowering.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8529. Rail Transportation of Explosives--Underground.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8530. Transportation of Explosives--Underground-- Special Trackless Vehicles.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New subsection (h) filed 4-19-90; operative 5-19-90 (Register 90, No. 19). For prior history, see Register 73, No. 34.
2. Amendment of Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8531. Transportation of Explosives--Manual.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 23. Handling and Use of Explosives--Blasting Operations
§8535. General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer of article 23 (sections 8535-8554) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8536. Tamping Poles and Devices.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer of article 23 (sections 8535-8554) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8537. Loading Explosives--General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8538. Loading and Blasting Near and Under Power Lines.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8539. Pneumatic Loading of Explosives and Blasting Agents.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8540. Firing of Explosives.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8541. Secondary Blasting.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8542. Misfires.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8543. Coyote Hole Blasting.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8544. Use of Safety Fuse--General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8545. Safety Fuse Storage.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8546. Making Capped Fuses and Primers.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8547. Blasting with Safety Fuse--Hazards of Blasting with Safety Fuse.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of third paragraph and new Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8548. Firing with Electricity--General.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8549. Firing Switches.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8550. Auxiliary Switches.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8551. Permanent and Temporary Leading Wires.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8552. Blasting Procedure with Power and Light Circuits.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8553. Blasting with Batteries, Blasting Devices, and Blasting Machines.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8554. Electric Blasting in Proximity with Radio Transmitters.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 7-8-81; effective thirtieth day thereafter (Register 81, No. 28).
2. Amendment of Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
Article 24. Licensing of Blasters
§8560. Competency of Blasters.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Article 24 (§§ 8560 through 8567) filed 7-12-74; effective thirtieth day thereafter (Register 74, No. 28).
2. Amendment of Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer of article 24 (sections 8560-8568) and repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8561. Blaster's License--Qualifications.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8562. Blaster's License--Application and Examination.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer and new section filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
2. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8563. Expiration and Renewal.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer of subsection (c) filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
2. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8564. Custody of Blaster's License.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8565. Blasting Accident Reports and Procedures.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8566. Suspension--Blaster's License.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8567. Labor Code Excerpts.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New Note filed  3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Repealer filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).
§8568. Blaster's License Fees.
Note     •     History

NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New section filed 3-29-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Amendment of section, new Note, amendment of Appendix A and new Note, amendment of Appendix B and new Note, repealer of Appendix C, and new Appendices C-E filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
3. Repealer of section filed 7-11-2003; operative 8-10-2003 (Register 2003, No. 28).

Appendix A

SAFE PRACTICES AND OPERATIONS CODE

GENERAL
1. All persons shall follow these safe practice rules, render every possible aid to safe operations, and report all unsafe conditions or practices to the proper authority.
2. Foremen shall insist on employees observing and obeying every rule, regulation and order, as is necessary to the safe conduct of the work, and shall resort to disciplinary measures, if necessary, to compel observance.
3. All employees shall be given frequent accident prevention instructions. Instructions shall be given at least once a month.
4. Anyone known to be under the influence of intoxicating liquor shall not be allowed on the job while in that condition.
5. Horseplay, scuffling, and other acts which tend to have an adverse influence on the safety or well being of the employees is prohibited on tunnel projects or related operations.
6. It shall be the duty of employees operating machines to see that all guards and other protective devices are in proper places and that adjustments are made before starting machines.
7. Crowding or pushing when boarding or leaving any cage, car, or other conveyance is prohibited.
8. Work shall be well planned and supervised to forestall injuries in the handling of heavy materials and in working together with tools.
9. Machinery shall not be repaired or oiled while in motion.
10. Workers shall not handle or tamper with any electrical equipment, machinery, air or water lines in a manner not within the scope of their duties unless they have received instructions from their foreman.
11. Report all injuries promptly and obtain first-aid or medical treatment.
12. When lifting heavy objects, use the large muscles of the leg instead of the smaller muscles of the back.

HEADING OPERATIONS
13. Throwing drill steel or other materials up to or down from the platforms of drill carriages (or jumbos) is prohibited.
14. The drill carriage or jumbo shall be kept in an orderly manner and small tools such as wrenches, hammers, etc., must be kept in tool boxes when not in use.
15. Do not blow out drill holes without giving warning to all other workers in the heading.
16. Do not use defective chuck wrenches or other hand tools.
17. Stand in the clear when barring down loose rock; sound roof frequently for possible loose rock; start barring from a safe position under good ground.
18. Before loading holes, run loading stick to bottom of hole to determine if hole is clear; if clear, grip loading stick with hand at collar of hold and hold this grip until primer is run in, to determine if it has bottomed the hole; if it has not, tell the foreman.
19. When loading holes, place one stick of powder and tamp it before adding another stick.
20. Examine every slab or boulder prior to drilling, striking, or breaking and make sure that the operation can be performed without hazard from explosives it may still contain.
21. Do not overload muck cars. If necessary, trim the cars before they leave the heading.
22. Do not walk past a point where car loading is in progress, until the muck car is loaded and mucking machine has stopped. Then pass only where the operator can see you. Keep clear of the muck cars and movement of the trains.
23. If timbers are used drilling operations should not be started until the timbers have been securely wedged.

TRAINS 
24. Do not attempt to operate a locomotive without special permission unless that is one of your regular duties.
25. Locomotives shall not be operated from a position on the running board or step or ground.
26. Timber, long drill steel, bulky objects, rails, pipe, or similar long materials shall not be transported on locomotives. Such materials should be transported on one or more flat cars, depending upon length of cars and the materials.
27. Hitching of cars or other equipment to locomotives by ropes or cables is prohibited.
28. Trolley locomotives shall not be operated with the trolley pole in the reverse position except when it is impossible to turn the pole.
29. Trolley poles shall not be turned while the locomotive is in motion.
30. The motorman shall sound a warning when approaching pump stations, sidings, or other places where workers may be expected.

SHAFT OPERATION
31. All persons must keep back from the shaft at all times unless their work requires them to be there.
32. Do not attempt to board any cage, bucket or other conveyance if the maximum number of riders, as specified by the management, is already on.
33. If any employee drops any tools or materials into the shaft, he/she shall report immediately to the hoist engineer, who shall have the shaft inspected before resuming hoisting operations.

MISCELLANEOUS
34. Rock bolts near blasting operations shall be checked at frequent intervals and tightened as necessary.
35. Hoses for delivery of water or air to suspended drill cages should be attached to the cage and should come up through the bottom platform rather than over the side.
36. If telephone communication is used between a suspended drill cage and the hoist operator, the wires should not extend through the overhead drill hole unless the equivalent of conduit protection against wire damage has been provided. 
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of appendix and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Editorial correction establishing separate Histories for appendix (Register 2003, No. 28).

Appendix B--Labor Code Excerpts

DIVISION 5. SAFETY IN EMPLOYMENT
PART 1. WORKMEN'S SAFETY

Chapter 3. Responsibilities and Duties of 
Employers and Employees
6401. Every employer shall furnish and use safety devices and safeguards, and shall adopt and use practices, means, methods, operations, and processes which are reasonably adequate to render such employment and place of employment safe. Every employer shall do every other thing reasonably necessary to protect the life, safety, and health of employees.
6406. No person shall do any of the following:
(a) Remove, displace, damage, destroy or carry off any safety device, safeguard, notice, or warning, furnished for use in any employment or place of employment.
(b) Interfere in any way with the use thereof by any other person. 
(c) Interfere with the use of any method or process adopted for the protection of any employee, including himself, in such employment, or place of employment.
(d) Fail or neglect to do every other thing reasonably necessary to protect the life and safety of employees.

PART 9. TUNNEL AND MINE SAFETY

Chapter 1. Tunnels and Mines
7950. This part shall be known and may be cited as “The Tom Carrell Memorial Tunnel and Mine Safety Act of 1972.”
7951. As used in this part:
(a) Tunnel shall include excavation, construction, alteration, repairing, renovating, or demolishing of any tunnel except tunnel work covered under the compressed air safety orders adopted by the Occupational Safety and Health Standards Board and manhole construction.
(b) “Tunnel” means an underground passageway, excavated by men and equipment working below the earth's surface, that provides a subterranean route along which men, equipment, or substances can move.
(c) “Mine” means any excavation or opening above or below ground used for removal of ore, minerals, gravel, sand, rock, or other materials intended for manufacturing or sale. It shall include quarries and open pit operations, other than a gravel pit or other pit where material is removed by a contractor or other person for his own use and not for sale to others. The term “mine” shall not include a mine that is operated exclusively by persons having a proprietary interest in such mine or by persons who are paid only a share of the profits from the mine, nor shall it include during any calendar year, any mine that produced less than five thousand dollars ($5,000) in ore, minerals, sand, rock, or other material during the preceding calendar year.
(d) “Access shaft” means a vertical shaft used as a regular means of worker access to underground mines and tunnels under construction, renovation, or demolition.
(e) “Lower explosive limit” means the lowest concentration at which a gas or vapor can be ignited or will explode.
(f) “Face” means the head of the tunnel where soil is being removed, or that area in a mine where digging is underway.
(g) “Muck” means excavated dirt, rock, or other material.
(h) “Permissible equipment” means equipment tested and approved by the U.S. Bureau of Mines or acceptable to other authorities recognized by the division, and acceptable by the division, which is safe for use in gassy or extrahazardous tunnels or underground mines.
(i) “Division” means the Division of Occupational Safety and Health.
(j) “Board” means the Occupational Safety and Health Standards Board.
(k) “Underground mine” means a mine that consists of a subterranean excavation.
7952. There shall be within the division a separate unit of safety engineers trained to inspect all tunnel construction and mine operations.
7953. Sufficient manpower shall be maintained to provide for four annual inspections of underground mines, one inspection of surface mines or quarries annually, and six inspections of tunnels under construction annually.
7954. To assist the unit of safety engineers in determining the safety of tunnel construction and mine operation, the division shall make available at least one industrial hygiene engineer and one chemist. A laboratory for analysis of dust, gas, vapors, soil, or other materials shall be available to members of this unit. Contracts to provide for geological and other services may be signed by the division whenever it is necessary to assure safety for employees engaged in mining or tunnel work.
7955. The division and the owner of a mine, if he is not the operator of the mine, shall be notified before any initial mining operation or construction may be started at any mines or tunnels. A prejob safety conference shall be held with an authorized representative of the division for all underground operations. Representatives of the tunnel or mine owner, the employer, and employees shall be included in the prejob safety conference.
The division shall classify all tunnels or underground mines operating on the effective date of this section, or which commence operation thereafter, as one of the classifications set forth in subdivisions (a) to (d), inclusive. Such classification shall be made prior to the request for bids on all public works projects, whenever possible. This shall not, however, prevent the division from reclassifying such mines or tunnels when conditions warrant it.
(a) Nongassy, which classification shall be applied to tunnels or underground mines where there is little likelihood of encountering gas during the construction of the tunnel or operation of an underground mine. Such tunnels shall be constructed or underground mines operated under regulations, rules, and orders developed by the division and board and approved by the board. This subdivision shall not prohibit the division chief or his representatives from establishing any special orders that they feel are necessary for safety.
(b) Potentially gassy, which classification shall be applied to tunnels or underground mines where there exists a possibility gas will be encountered.
(c) Gassy, which classification shall be applied to tunnels or underground mines where it is likely gas will be encountered. Special safety measures, including those set forth in Sections 7965 to 7976, inclusive, those established by the division and board and adopted by the board, or special orders written by the chief or his representatives shall be observed in construction of gassy tunnels in addition to regular rules, orders, special orders, or regulations.
(d) Extrahazardous, which classification may, when the division finds that there is a serious danger to the safety of the employees, be applied to tunnels or underground mines where gas or vapors have caused an explosion or fire, where the likelihood of encountering petroleum vapors exists, or where tests show, with normal ventilation, a concentration of hydrocarbon petroleum vapors in excess of 20 percent of the lower explosive limit within three inches of the roof, face, floor, or walls of any open workings. Construction in extrahazardous tunnels or operation in extrahazardous underground mines shall conform to safety measures set forth in Sections 7977 to 7985, inclusive, any rules, regulations, orders, or special orders of the division, or any special rules, orders, or regulations adopted by the board.
The division shall not be required to reclassify any tunnel or underground mine that is shut down seasonally, when such tunnel or underground mine is put back into operation in not less than six months after date of the shutdown.
7956. All personnel, including both employees working above ground and those in the tunnel or underground mine, shall be informed of the classification designated by the division for that job. A notice of the classification and any special orders, rules, or regulations to be used in construction, remodeling, demolition, or operation of the tunnel or underground mine shall be prominently posted at the site.
7957. An emergency rescue plan shall be developed by the employer for every tunnel or underground mine. Such plan, including a current map of the tunnel or underground mine, shall be provided to local fire and rescue units, to the division, and to every employee at the place of employment.
7958. A trained rescue crew of at least five men shall be provided at underground mines with more than 25 men or tunnels with 10 or more men underground at any one time. Smaller mines shall have one man for each 10 men underground who receives annual training in the use of breathing apparatus. Two trained crews shall be provided at mines with more than 50 men underground and at tunnels with more than 25 men underground.
7959. Rescue crews shall be familiar with all emergency equipment necessary to effect a rescue or search for missing employees in case of an accident or explosion. Such rescue crews shall hold practices with equipment and using emergency rescue plan procedures at least once monthly during construction or operation of the tunnel or underground mines. At least one rescue crew shall be maintained above ground at all times and within 30 minutes travel of the tunnel or underground mine site classified as gassy or extrahazardous.
7960. In any tunnel or underground mine classified as potentially gassy, tests for gas or vapors shall be made prior to start of work at each shift. If any concentration of gas at or above 10 percent of the lower explosive limit is recorded, the division shall be notified immediately.
7961. The division shall investigate immediately any notification of a gas reading 10 percent of the lower explosive limit or higher by an employer in a tunnel or underground mine classified as potentially gassy. If the inspection determines the likelihood of encountering more gas or vapor, the division may halt operations until the tunnel or mine can be reclassified.
7962. A safety representative qualified to recognize hazardous conditions and certified by the division shall be designated by the employer in any tunnel or underground mine. He shall have the authority to correct unsafe conditions and unsafe practices, and shall be responsible for directing the required safety programs.
7963. All underground mines and tunnels with more than five men underground at one time shall have telephone or other communication systems to the surface in operation at any time there are persons underground. Such systems shall be installed in such a manner that destruction or removal of one phone or communication device does not make other phones or communication devices inoperative.
7964. Whenever an access shaft is used as the normal means of entrance or exit to an underground mine or tunnel, it shall be constructed of fireproof material or fireproofed by chemical or other means.
7964.5. Nothing contained in this part shall restrict the division in contracting with the Secretary of the Interior for an approved state plan for mines under P.L. 89-577 (30 U.S.C. 721 et seq.).

Chapter 2. Gassy and Extrahazardous Tunnels
7965. Any tunnel or underground mine classified by the division as gassy shall operate under special procedures adopted by the board, as well as rules, regulations, special orders, or general orders for nongassy underground mines and tunnels.
7966. In any tunnel classified as gassy by the division, there shall be tests for gas or vapors taken prior to each shift and at least hourly during actual operation. If a mechanical excavator is used, gas tests shall be made prior to removal of muck or material and before any cutting or drilling in tunnels or underground mines where explosives are used. A log shall be maintained for inspection by the division showing results of each test. Whenever a tunnel excavation or underground mine operation approaches a geologic formation in which there is a likelihood of encountering gas or water, a probe hole at least 20 feet ahead of the tunnel face or area where material is being mined shall be maintained.
7967. Whenever gas levels in excess of 10 percent of the lower explosive limit are encountered initially in a tunnel or underground mine classified as gassy, the division shall be notified immediately by telephone or telegraph. The chief of the division or his authorized representative may waive subsequent notification for gas readings less than 20 percent of the lower explosive limits upon a finding that adequate ventilation and other safety measures are provided to assure employee safety.
7968. In any gassy tunnel or underground mine, the division may order work halted until adequate testing can be completed to determine the level of hazard from gases or vapors. A notice of such shutdown shall be filed by the division inspector with his superiors as soon as practicable. Any overruling of such order must be made by the chief or his designated representative and must be in writing. An onsite inspection must be made by the person overruling an inspector's order prior to resumption of work.
7969. In any gassy tunnel or underground mine the division shall review plans for electrical lighting and power for equipment. When it is necessary for safety, the inspector may require changes in the amount and type of lighting, and may require permissive-type wiring, switches, tools, and equipment.
7970. In any tunnel or underground mine classified gassy, smoking shall be prohibited and the employer shall be responsible for collecting all personal sources of ignition such as lighters and matches from employees entering the tunnel.
7971. Whenever there is any ignition of gas or vapor in a tunnel or underground mine, all work shall cease, employees shall be removed, and reentry except for rescue purposes shall be prohibited until the division has conducted an inspection and authorized reentry for maintenance or production in writing.
7972. If the level of gas in any tunnel or underground mine reaches 20 percent of its lower explosive limit at any time all men shall be removed, the division notified immediately by telephone or telegram, and no one shall reenter the tunnel or underground mine until approval is given by the division.
7973. In any tunnel or underground mine classified as gassy, all employees shall be informed of any special orders made by the division following an inspection. Such notice shall be given before entering the tunnel or underground mine. A copy of any orders subsequently written by the division shall be posted and all employees shall be notified at a safety meeting called by the safety representative before they are permitted to start work.
7974. In any tunnel classified as gassy by the division, ventilation shall include continuous exhausting of fumes and air, unless an alternative ventilation plan which is as effective or better is approved by the division. Fans for this purpose shall be located at the surface, and shall be reversible from a single switch at the portal or shaft. These requirements shall not preclude the use of auxiliary fans to supply more air or greater exhaust to a tunnel or underground mine.
7975. A “kill” button capable of cutting off all electrical equipment shall be maintained in any gassy tunnel or underground mine. The safety representative or his designated representative shall cut off power at any time gas or vapor levels reach 20 percent of the lower explosive limit or more. Before work is restarted every employee underground shall be informed of the level of gas or vapor recorded, and a permanent record shall be called to the surface and retained in a special log.
7976. In any tunnel or underground mine classified as gassy, the division shall determine the number of fire extinguishers necessary and their locations.
7977. Any tunnel or underground mine classified as extrahazardous by the division shall comply with the provisions for gassy tunnels in this chapter, as well as regulations, rules, special orders, and general orders of the division or board.
7978. In any extrahazardous tunnel or underground mine smoking by employees or open flame shall be prohibited. Welding or cutting with arc or flame underground in other than fresh air shall be done under the direct supervision of qualified persons who shall test for gas and vapors before welding or cutting starts and continuously during such an operation. No cutting or welding shall be permitted in atmospheres where any concentration of gas or vapor reaches 20 percent of the lower explosive limit or more while a probe hole is being drilled or when the tunnel face or material from a mine is being excavated.
7979. In tunnels or underground mines classified extrahazardous, sufficient air shall be supplied to maintain an atmosphere of all of the following conditions:
(a) Not less than 19 percent oxygen.
(b) Not more than 0.5 percent carbon dioxide.
(c) Not more than 5 parts per million nitrogen dioxide.
(d) No petroleum vapors or other toxic gases in concentrations exceeding the threshold limit values established annually by the American Conference of Governmental Industrial Hygienists.
7980. All electrical equipment and machines, including diesel engines, used in tunnels or underground mines classified extrahazardous shall be permissible equipment. The division may, however, permit the use of nonpermissive equipment in a tunnel or underground mine in areas where it finds there is no longer danger from gas or other hazards.
7981. An escape chamber or alternate escape route shall be maintained within 5,000 feet of the tunnel face or areas being used to excavate material in an underground mine classified as gassy or extrahazardous. Workers shall be provided with emergency rescue equipment and trained in its use.
7982. Records of air flow and air sample tests to assure compliance with required standards shall be maintained by the employer at the site of any tunnel or underground mine classified extrahazardous. Such records shall be made available to any division representative upon request.
7983. The main fan line used for ventilation in any tunnel or underground mine classified extrahazardous shall contain a cutoff switch capable of halting all machinery underground automatically should the fan fail or its performance fall below minimum power needed to maintain a safe atmosphere.
7984. In any tunnel or underground mine classified extrahazardous a device or devices which automatically and continuously test the atmosphere for gases or vapors shall be maintained. Such device or devices shall be placed as near the face or area of operation as practical, but never more than 50 feet from such point. The division shall determine if additional monitors are necessary and where they should be located. This requirement shall apply only to tunnels or underground mines where excavation of material is by mechanical means.
7985. All such testing device or devices shall be U.S. Bureau of Mines approved or acceptable to other authorities recognized by the division and shall automatically sound an alarm and activate flashing red signals visible to employees underground whenever the concentration of gases or vapors reaches or exceeds permissible levels. Permissible levels may be established lower than the limits set in division rules, regulations, or general orders whenever a division inspector considers such action necessary to make the operation safe for employees.

Chapter 3. Licensing and Penalties
7990. In any tunnel or mine under jurisdiction of the division, the use of explosives shall be limited to persons licensed by the division.
7991. To obtain a license under Section 7990, a person shall pass an oral and written examination given by the division. The division shall offer such examination in Spanish, or any other language, when requested by the applicant. The division shall administer such examination orally when requested by an applicant who cannot write. Application for such license shall cost fifteen dollars ($15), which is nonreturnable. Licenses shall be renewable every five years at a fee of fifteen dollars ($15).
7992. The board shall determine qualifications for persons seeking an “explosive blaster's license” and rules and regulations for use of explosives in tunnels or mines.
7993. Any person holding an “explosive blaster's license” who is convicted of violating any safety order involving the use or handling of explosives shall have his license suspended for not less than 30 days upon hearing by the division, in addition to any other penalties he may be assessed.
7994. Any person holding an “explosive blaster's license” who is convicted of violating safety orders involving use or handling of explosives in which the violation is judged to be responsible for an accident involving serious injury or death shall have his license revoked for at least one year, in addition to any other penalties he may be assessed. Any person who has had his “explosive blaster's license” revoked may apply for a new license after the minimum period of revocation expires. He shall be required to pass all examinations before a new license is granted.
7995. Any person who has had his “explosive blaster's license” revoked who is subsequently convicted of violations of a safety order involving the use or handling of explosives shall have his license permanently revoked in addition to other penalties he may be assessed. 
7996. All safety equipment required to provide safe employment in tunnels or underground mines shall be U.S. Bureau of Mines approved, or acceptable to other authorities recognized by the division, and acceptable by the division.
7997. The board shall review and update general orders for tunnels and mines at least every two years. Representatives of the unit inspecting tunnels and mines shall be consulted during each review and shall be permitted to submit suggested changes to the general orders at any time.
7998. The board shall also develop tests, available in English, Spanish, or other languages where a sufficient portion of employees exists to show need, to qualify gas testers and safety representatives in tunnels and mines.
7999. No person shall be qualified to operate as a gas tester, or serve as a safety representative in a tunnel or mine unless he holds a certificate issued by the division.
8000. Requirements established by the board shall preempt local government rules, regulations, and laws requiring certification or licensing as gas testers or safety representatives. However, local governments may contract with the division for testing applicants and issuing certifications.
8001. A fee sufficient to cover costs of examination and certification of gas testers and safety representatives for tunnels and mines, but not more than fifteen dollars ($15) for original applications and fifteen dollars ($15) for renewals, may be charged by the division. Renewals shall be made every five years.
8002. All fees from such applications shall be nonrefundable. Such fees shall be paid into the State Treasury by the division to the credit of the General Fund.
8003. Violation of regulations, rules, orders, or special orders adopted by the board or division as a condition of certification shall be punishable by suspension or revocation of certification, unless such violation is responsible for death or injury to employees, in which case it shall be punishable as a misdemeanor.
8004. The provisions of this part shall not apply to the normal operation, maintenance, or repair of any completed tunnels owned or operated by a utility as defined in Section 229 of the Public Utilities Code. However, it shall apply to the initial construction or substantial modification of such a tunnel.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Amendment of appendix and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Editorial correction establishing separate Histories for appendix (Register 2003, No. 28).

Appendix C

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NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. Repealer and new appendix and new Note filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Editorial correction establishing separate Histories for appendix (Register 2003, No. 28).

Appendix D

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Notice: A cave-in in the shaft or “hanging up” of the cage or skip in the shaft or any unusual incident must be noted on the next following weekly shaft inspection report. Give details of causes and methods of correction.
NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New appendix filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Editorial correction establishing separate Histories for appendix (Register 2003, No. 28).

Appendix E

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NOTE

Authority cited: Sections 142.3 and 7997, Labor Code. Reference: Sections 142.3 and 7997, Labor Code.
HISTORY

1. New appendix filed 3-5-96; operative 4-4-96 (Register 96, No. 10).
2. Editorial correction establishing separate Histories for appendix (Register 2003, No. 28).
Subchapter 21. Telecommunication Safety Orders*

(Originally Printed 11-15-75)

* Subchapter 21 formerly Window Cleaning Safety Orders. See Register 75, No. 25.
Article 1. Telecommunications
§8600. Application.
Note     •     History

(a) This article sets forth safety and health standards that apply to the work conditions, practices, means, methods, operations, installations and processes performed at telecommunications centers and at telecommunications field installations, which are located outdoors or in building spaces used for such field installations. “Center” work includes the installation, operation, maintenance, rearrangement, and removal of communications equipment and other associated equipment in telecommunications switching centers. “Field” work includes the installation, operation, maintenance, rearrangement, and removal of conductors and other equipment used for telecommunications service, and of their supporting or containing structures, overhead or underground, on public or private rights of way, including buildings or other structures.
(b) Operations or conditions not specifically covered by this Article are subject to all the applicable orders contained in the other Safety Orders, including but not limited to the following: General Industry, Construction and Electrical Safety Orders.
(c) The requirements of this article shall not apply to existing installations, provided they are in compliance with the Safety Orders which were in existence and applicable at the time of installation, and documentation is available to substantiate this.
(d) All work performed under the provisions of this article shall, unless otherwise specifically provided for, be performed under the direction of Qualified Telecommunications Workers or Qualified Electrical Workers trained in the operations involved.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. New Subchapter 21 (Article 1, Sections 8600-8617) filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
2. Amendment of subsection (a) filed 7-6-79 as procedural and organizational; effective upon filing (Register 79, No. 27).
3. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8601. Definitions.
Note     •     History

Aerial Splicing Platform. A device designed to attach to a cable strand on which an employee(s) may stand or sit while working aloft.
Aerial Tent. A small tent designed to protect employees in inclement weather while working on ladders, aerial splicing platforms, or aerial devices.
Barricade. A physical obstruction such as tapes, ropes, cones, or “A” frame-type wood and/or metal structure intended to warn and limit access to a work area.
Barrier. A physical obstruction which is intended to prevent contact with energized lines or equipment, or to prevent unauthorized access to work area.
Bond. An electrical connection from one conductive element to another for the purpose of minimizing potential differences or providing suitable conductivity for fault current or for mitigation of leakage current and electrolytic action.
Cable. A conductor with insulation, or a stranded conductor with or without insulation and other coverings (single-conductor cable), or a combination of conductors insulated from one another (multiple-conductor cable).
Cable Sheath. A protective covering applied to cables.
Circuit. A conductor or system of conductors through which an electric current is intended to flow. May also be an optical link of glass fiber which provides a transmission path for pulses of light.
Communication Lines. The conductors and their supporting or containing structures for telephone, telegraph, railroad signal, data, clock, fire, police-alarm, community television antenna and other systems which are used for public or private signal or communication service, and which operate at potentials not exceeding 400 volts to ground or 750 volts between any two points of the circuit, and the transmitted power of which does not exceed 150 watts. When communications lines operate at less than 150 volts to ground, no limit is placed on the capacity of the system. Specifically designed communications cables may include communication circuits not complying with the preceding limitations where such circuits are also used incidentally to supply power to communication equipment.
Conductor. A material, usually in the form of a wire, cable, or bus bar, suitable for carrying an electric current.
Effectively Grounded. Intentionally connected to earth through a ground connection or connections of sufficiently low impedance and having sufficient current-carrying capacity to prevent the build-up of voltages which may result in undue hazard to employees.
Energized Parts (Live Parts). Parts which are of a potential different from that of the earth, or some conducting body which serves in place of the earth.
Equipment. A general term which includes materials, fittings, devices, appliances, fixtures, apparatus, and similar items used as part of, or in connection with, an electrical supply or communications installation.
Ground (reference). That conductive body, usually earth, to which an electric potential is referenced.
Ground (as a noun). A conductive connection, whether intentional or accidental, by which an electric circuit or equipment is connected to reference ground.
Ground (as a verb). The connecting or establishment of a connection, whether by intention or accident, of an electric current or equipment to reference ground.
Ground Tent. A small tent used to protect employees from inclement weather while working at buried cable pedestal sites or similar locations.
Grounded Conductor. A system or circuit conductor which is intentionally grounded.
Grounded Systems. A system of conductors in which at least one conductor or point (usually the middle wire, or the neutral point of transformer or generator windings) is intentionally grounded, either solidly or through a current-limiting device (not a current-interrupting device).
Grounding Electrode (Ground Electrode). A conductor imbedded in the earth, used for maintaining ground potential on conductors connected to it, and for dissipating into the earth current conducted to it.
Grounding Electrode Conductor (Grounding Conductor). A conductor used to connect equipment or the grounded circuit of a wiring system to a grounding electrode.
Guy Wire. A tension member used to withstand an otherwise unbalanced force on a pole, crossarm or overhead structure.
Insulated. Separated from other conducting surfaces by a dielectric substance (including air space) offering a high resistance to the passage of current.
Note: When any object is said to be insulated, it is understood to be insulated in suitable manner for the conditions to which it is subjected. Otherwise, it is, within the purpose of these orders, uninsulated. Insulating coverings of conductors is one means of making the conductor insulated.
Insulation (as applied to cable). That which is relied upon to insulate the conductor from other conductors or conducting parts or from ground.
Joint Use. The sharing of a common facility, such as a manhole, trench or pole, by two or more different kinds of utilities (e.g., power and telecommunications).
Ladder Platform. A device designed to facilitate working aloft from an extension ladder.
Ladder Seat. A removable seat used to facilitate work at an elevated position on rolling ladders in telecommunication centers.
Manhole. A subsurface enclosure which personnel may enter for the purpose of installing, operating, and maintaining submersible equipment and/or cable.
Manhole Platform. A platform consisting of separate planks, plywood or other material which are laid across and secured to steel platform supports. The ends of the supports are engaged in the manhole cable racks.
Microwave Transmission. The act of communicating or signaling utilizing a frequency between 1 GHz (gigahertz) and 300 GHz inclusively.
Nominal Voltage. The nominal voltage of a system or circuit is the value assigned to a system or circuit of a given voltage class for the purpose of convenient designation. The actual voltage may vary above or below this value.
Optical Link. Glass strands encased in flexible cables used to transmit pulses of light from one point to another.
Pole Balcony or Seat. A balcony or seat used as a support for workers at pole-mounted equipment or terminal boxes. A typical device consists of a bolted assembly of steel details and a wooden platform. Steel braces run from the pole to the underside of the balcony.
Pole Platform. A platform intended for use by a worker in an elevated position adjacent to a pole.
Qualified Person. A person designated by the employer who by reason of training and experience has demonstrated the ability to safely perform assigned duties.
Qualified Telecommunications Worker. A worker who, through related training and/or on the job experience, is familiar with the techniques and hazards of telecommunications work and the equipment used in the specific operations involved; and has demonstrated the ability to safely perform assigned duties, and, where required, is properly licensed in accordance with federal, state, or local laws and regulations.
Safe. See Labor Code Section 6306.
Strand. Wires laid parallel and twisted used to support wires, cables and equipment; sometimes called aerial strand, supporting strand, suspension strand, cable strand or messenger.
Suitable.
(A) Function. Capable of performing with safety the particular function specified in these Orders, or
(B) Equipment. Equipment or devices intended for the anticipated exposure which by way of design, strength and quality will eliminate, preclude or mitigate a particular hazard, and
(C) Use. The conditions, practices, means, operations or processes used which will eliminate, preclude or mitigate a particular hazard.
Telecommunications. A science dealing with the provisions of Communication Service.
Telecommunication Center. An installation of communication equipment under the exclusive control of an organization providing telecommunications service, that is located outdoors or in a vault, chamber, or a building space used primarily for such installations.
Note: Telecommunication centers are facilities established, equipped and arranged in accordance with engineered plans for the purpose of providing telecommunications service. They may be located on premises owned or leased by the organization providing telecommunication service, or on the premises owned or leased by others. This definition includes switch rooms (whether electromechanical, electronic, or computer controlled), terminal rooms, power rooms, repeater rooms, transmitter and receiver rooms, switchboard operating rooms, cable vaults, and miscellaneous communications equipment rooms. Simulation rooms of telecommunication centers for training or developmental purposes are also included.
Telecommunication Line Truck. A truck used to transport personnel, tools, and material, and to serve as a traveling workshop for telecommunication installation and maintenance work. It is usually equipped with auxiliary equipment for setting poles, digging holes, and elevating material or personnel.
Telecommunication Service. The furnishing of a capability to signal or communicate at a distance by means such as telephone, telegraph, police and fire alarm, community antenna television, or similar system, using wire, conventional cable, coaxial cable, wave guides, microwave and radio transmission, or other similar means.
Vault. An enclosure above or below ground which personnel may enter and which is used for the purpose of installing, operating, and/or maintaining equipment and/or cable which need not be of submersible design.
Vault, Unvented. A vault in which the only openings are access openings.
Vault, Vented. A vault with provision for air changes using exhaust flue stack(s) and air intake(s), which operate on differentials of pressure and/or temperature resulting in air flow throughout the vault.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-20-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8602. General.
Note     •     History

(a) Illumination. Illumination shall be provided as needed to perform the work safely.
(1) Telecommunications Centers. Lighting in telecommunication centers shall be provided in an adequate amount such that continuing work operations, routine observations, and the passage of employees can be carried out in a safe and healthful manner. (See Section 3317 of the General Industry Safety Orders.) Additional lighting shall be provided as required for specific tasks.
(2) Field Work. Whenever natural light is inadequate, suitable artificial illumination shall be provided.
(b) Working Surfaces. Guardrails and toeboards may be omitted on distribution frame mezzanine platforms to permit access to equipment. This exemption applies only on the side or sides of the platform facing the frames and only on those portions of the platform adjacent to equipment frames.
(c) Working Spaces, Aisles. Working spaces provided by “maintenance aisles,” or “wiring aisles,” between equipment frame lineups in telecommunications centers shall not be considered as parts of egress required by Article 4 of the General Industry Safety Orders.
(d) Special Doors. When blastproof or power-actuated doors are installed in specially designed hardsite security buildings and spaces, they shall be designed and installed so that they can be used as a means of egress in emergencies.
(e) Medical and First Aid. First-aid supplies recommended by a consulting physician and/or as set forth in Section 1512 of Construction Safety Orders shall be maintained and shall be easily accessible.
(f) Hazardous Substances. All work involving hazardous substances shall comply with Group 16 of the General Industry Safety Orders. Highway Mobile Vehicles and Trailers may be equipped to carry more than one LP gas container provided all provisions of the Unfired Pressure Vessel Safety Orders are complied with.
(g) Work Space. Suitable means shall be provided to permit employees to safely perform work on telecommunications equipment.
(h) Approach Distances to Exposed Energized Overhead Power Lines or Parts. The employer shall require that no employee approaches or takes any conductive object closer to any electrically energized overhead power lines or parts than prescribed in Table TC-1, unless:
(1) The employee is insulated or guarded from the energized parts (insulating gloves rated for the voltage involved shall be considered adequate insulation for the employee from the energized parts for voltage not to exceed 7,500 volts); or
(2) The energized parts are insulated or guarded from the employee and any other conductive object at a different potential; or
(3) The power conductors and equipment are de-energized and grounded.

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(i) Inclement Weather. Work from structures shall be discontinued when adverse weather such as high winds, ice on structures, or progress of an electrical storm in the immediate vicinity, makes the work unsafe.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8603. Training.
Note     •     History

(a) Employers shall provide training in the various precautions and safe practices relating to employees' job assignment(s) as described in this article and other applicable orders, and shall require that employees do not engage in these activities until they have received proper training. However, where the employer can demonstrate that an employee is already trained in the precautions and safe practices required herein prior to employment, additional training need not be provided. Where training is required, it shall consist of on-the-job or classroom-type training or a combination of both. The employer shall certify that employees have been trained by preparing a certification record which includes the identity of the person trained, the signature of the employer or the person who conducted the training, and the date the training was completed. The certification record shall be prepared at the completion of the training maintained for the duration of the employee's assignment. The certification record shall be made available upon request to the Division. Such training shall, where appropriate, include the following subjects: 
(1) Recognition and avoidance of dangers relating to encounters with harmful substances, and animal, insect, or plant life. 
(2) Procedures to be followed in emergency situations. 
(3) First-aid training, including instruction in artificial respiration and/or cardiopulmonary resuscitation and refresher course as needed to keep training updated. 
(4) Work area protection and traffic control. 
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. 
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14). 
2. Amendment of subsections (a) and (a)(2) filed 11-3-87; operative 12-3-87 (Register 87, No. 45). 
3. Amendment of subsection (a) filed 2-15-90; operative 3-17-90 (Register 90, No. 8).
§8604. Employee Protection in Public Areas.
Note     •     History

(a) Before work is begun in the vicinity of vehicular or pedestrian traffic which may endanger employees, warning signs and/or flags or other traffic control devices shall be placed conspicuously to alert and channel approaching traffic. Where further protection is needed, barriers shall be utilized. At night, warning lights shall be prominently displayed and excavated areas shall be enclosed with protective barricades.
(b) If work exposes energized or moving parts that are normally protected, danger signs shall be displayed and barricades erected, as necessary, to warn other personnel in the area.
(c) The employer shall require that an employee finding any crossed or fallen wires which create or may create a hazardous situation at the work area:
(1) Remains on guard or adopts other adequate means to warn other employees of the danger; and
(2) Has the proper authority notified at the earliest practical moment.
(d) Employer shall require employees exposed to vehicular traffic hazards outside the protected area to comply with the provisions specified in Section 1599 of the Construction Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
§8605. Tools and Personal Protective Equipment.
Note     •     History

(a) Personal protective equipment, protective devices and special tools needed for the work of employees shall be provided and the employer shall require that they are used by employees. Before each day's use the employer shall ensure that these personal protective devices, tools, and equipment are carefully inspected by a qualified person to ascertain that they are in good condition.
(b) Defective tool and equipment shall be removed from service.
(c) Telecommunication linemen's body belts, safety straps and lanyards shall meet the requirements contained in Section 2940.6(c) of the High Voltage Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. New subsection (c) filed 6-2-87; operative 7-2-87 (Register 87, No. 24).
§8606. Rubber Insulating Equipment.
Note     •     History

Rubber insulating equipment shall comply with the provisions of Section 2940.6(a) of the High-Voltage Electrical Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Repealer of subsection (c), relettering of remaining subsections and amendment of subsection (e) filed 2-20-80; effective thirtieth day thereafter (Register 80, No. 8).
2. Amendment of subsections (a), (d) and (e) filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
§8607. Pole Climbers.
Note     •     History

(a) Pole climbers shall not be used if the gaffs are less than 1 1/4 inches in length as measured on the underside of the gaff. The gaffs of pole climbers shall be covered with safety caps or equivalent protection when not being used for their intended use.
(b) The employer shall require that pole climbers are visually inspected by a qualified person for the following conditions: Fractured or cracked gaffs or leg irons, loose or dull gaffs, broken straps or buckles. If any of these conditions exist, the defect shall be corrected before the climbers are used.
(c) Pole climbers shall be inspected as required in this section before each day's use and a gaff cut-out test performed at least weekly when in use.
(d) Pole climbers shall not be used except on wood poles.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8608. Poles, Towers and Ladders.
Note     •     History

Definition applicable to subsection (a). 
“Steps” means permanent or detachable round or flat members attached to the pole or tower on one end with the other end designed to prevent the foot from sliding off while ascending or descending the pole or tower. 
(a)(1) Permanent steps for poles and towers shall not unnecessarily obstruct the climbing space and shall have a minimum diameter of 5/8-inch and a minimum clear tread width of 41/2 inches. 
(2) Detachable steps for poles and towers shall meet the requirements of subsection (a)(1) or shall provide a suitable foothold that does not unnecessarily obstruct the climbing space and shall provide a minimum clear tread width of 41/2 inches. Detachable steps shall be properly secured when in use. 
(3) The spacing between permanent and detachable steps installed on poles and towers shall be not more than 18 inches (36 inches on any one side). Spacing shall be uniform except where working, standing or access steps are required. 
(4) The lowest permanent step shall be not less than 7 feet 6 inches above the ground line. The lowest detachable step shall be no more than 24 inches above the ground line, or if there is a structural footing or foundation, no more than 24 inches above the top surface of the footing/foundation. 
(5) Poles with pole mounted terminals and/or strand mounted terminals which are expected to be climbed for maintenance or operating purposes shall be stepped in accordance with California Public Utilities Commission, General Order No. 95, August 2009, Sections 51.7, 81.6, 84.7-E. and 91.3, which are hereby incorporated by reference. 
(b)(1) All fixed ladders on poles and towers shall be approved as provided in Section 3206 of the General Industry Safety Orders. 
(2) Fixed ladder rungs for poles and towers shall have a minimum diameter of 5/8-inch and a minimum clear width of 12 inches between the side rails. 
(3) The distance between the top surfaces of rungs shall not exceed 12 inches and shall be uniform throughout the length of the ladder. 
(c) The employer shall require that no employee nor any material or equipment will be supported on any portion of a ladder unless it is first determined by inspection by a qualified person that such ladder is adequately strong, in good condition, and properly secured in place.
(d) Portable metal ladders shall not be used in telecommunications work, except in vaults and manholes.
(e) After April 30, 1975, portable wood ladders intended for general use shall not be painted but may be coated with a translucent nonconductive coating. Portable wood ladders shall not be longitudinally reinforced with metal.
(f) Portable wood ladders that are not being carried on vehicles and are not in active use shall be stored under cover.
(g) The applicable provisions of the General Industry Safety Orders shall apply to rolling ladders used in telecommunications centers, except that existing ladders may have a minimum inside width, between the side rails, of at least 8 inches.
(h) When in use, rolling ladders shall be secured to prevent inadvertent displacement.
(i) Climbing ladders or stairways on scaffolds used for access and egress shall be affixed or built into the scaffold by proper design and engineering, and shall be so located that their use will not disturb the stability of the scaffold.
(1) If a portable ladder is affixed to the scaffold, it shall be securely attached and shall have rungs meeting the spacing and clearances requirements of Section 3277 of the General Industry Safety Orders.
(2) If a fixed ladder is installed on the scaffold it shall comply with Section 3277 of the General Industry Safety Orders.
(3) Stairways shall comply with Section 3234 of the General Industry Safety Orders.
(4) Horizontal end braces may also be designed and used as a climbing device provided that the steps are:
(A) Parallel and level.
(B) Uniformly spaced throughout the climb.
(C) Not less than 16 inches in width.
(D) Not less than 12 inches nominal nor more than 16 inches nominal apart on center.
(E) Provided with sufficient clearance to provide a good handhold and foot space.
(5) Those surfaces of rungs and steps designed for use in ascending and descending shall be corrugated, serrated, knurled, dimpled, or coated with skid-resistant material.
(j) When a ladder is supported by an aerial strand, and ladder hooks or other supports are not being used, the ladder shall be extended at least 2 feet above the strand and shall be secured to it (e.g. lashed or held by a safety strap around the strand and ladder side rail). When a ladder is supported by a pole, it shall be securely lashed to the pole unless the ladder is specifically designed to prevent movement when used in this application.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 10-20-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of subsection (b) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
4. Amendment filed 9-6-2011; operative 10-6-2011 (Register 2011, No. 36).
§8609. Other Tools and Personal Protective Equipment.
Note     •     History

(a) Tent Heaters. Flame-type heaters shall not be used within ground tents or on platforms within aerial tents unless:
(1) The tent covers are constructed of fire-resistant materials, and
(2) Adequate ventilation is provided to maintain safe oxygen levels and avoid harmful build-up of combustion products and combustible gases.
(b) Torches. Torches may be used on aerial splicing platforms or in buckets enclosed by tents provided the tent material is constructed of fire-resistant material and the torch is turned off when not in actual use. Aerial tents shall be adequately ventilated while the torch is in operation.
(c) Soldering Devices. Electrical soldering devices shall be grounded. Defective soldering devices shall be immediately removed from service.

Exception: 1: Soldering devices used exclusively for work on live circuits. Such devices shall be tested for current leakage not less than each 3 months. 

Exception: 2: Soldering devices supplied through an isolating transformer with an ungrounded secondary of not over 50 volts.

Exception: 3: Soldering devices protected by a system of double insulation, or its equivalent. Where such a system is employed, the equipment shall be distinctively marked.
(d) Lead Work. All lead work shall comply with Section 5198 of General Industry Safety Orders. The wiping of lead joints using melted solder, gas fueled torches, soldering irons or other appropriate heating devices, and the soldering of wires or other electrical connections do not constitute the welding, cutting and brazing described in Group 10 of the General Industry Safety Orders. When operated from commercial power the metal housing of electric solder pots shall be grounded. Electric solder pots may be used with the power equipment described in Section 2395.6 of the Electrical Safety Orders without a grounding conductor. The employer shall require that wiping gloves or cloths and eye protection are used in lead wiping operations. A drip pan to catch hot lead drippings shall also be provided and used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Repealer of subsection (e) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
4. Change without regulatory effect amending subsection (d) filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
§8610. Vehicle-Mounted Material Handling Devices and Other Mechanical Equipment (General).
Note     •     History

(a) The employer shall require that visual inspections are made of the equipment by a qualified person each day the equipment is to be used to ascertain that it is in good condition.
(b) The employer shall require that tests shall be made at the beginning of each shift by a qualified person to ensure the vehicle brakes and operating systems are in proper working condition.
(c) All rubber-tired, self-propelled scrapers, rubber-tired front-end loaders, rubber-tired dozers, agricultural and industrial tractors, crawler tractors, crawler-type loaders, and motor graders, with or without attachments, that are used in telecommunications work shall have roll-over protective structures, when required, in accordance with Article 25 of the General Industry Safety Orders or Section 1596 of the Construction Safety Orders as applicable.
(d) Vehicle-mounted elevating and rotating work platform devices shall not be operated with any conductive part of the equipment closer to exposed energized power lines than the clearances set forth in Table TC-1 of this Article.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8611. Hoisting Equipment.
Note     •     History

(a) Hoisting equipment shall not be operated with any conductive part of the equipment closer to exposed energized high-voltage conductors and equipment than the clearances set forth in Table TC-1 of this Article.
(b) When hoisting equipment is used to handle poles near energized high-voltage conductors and equipment, these operations shall comply with the requirements contained in Sections 8602 (h) and 8615 (i).
(c) Moving parts of equipment and machinery carried on or mounted on telecommunications vehicles shall be guarded, operated, and maintained in accordance with applicable provisions of the General Industry Safety Orders.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of subsection (b) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
§8612. Materials Handling and Storage.
Note     •     History

(a) Poles. When working with poles in piles or stacks, work shall be performed from the ends of the poles as much as possible, and precautions shall be taken for the safety of employees at the outer end of the pole. During pole hauling operations, all loads shall be secured to prevent displacement. Lights, reflectors and/or flags shall be displayed on the end and sides of the load as necessary. The requirements for installation, removal, or other handling of poles in pole lines are prescribed in Section 8615 of this Article which pertains to overhead lines. In the case of hoisting machinery equipped with a positive stop load-holding device, it shall be permissible for the operator to leave the controls (while a load is suspended) for the sole purpose of assisting in positioning the load prior to landing it. Prior to and during the unloading of steel, poles, crossarms, and similar material, the load shall be thoroughly examined to ascertain that the load has not shifted, that binders or stakes have not broken, and that the load is not otherwise hazardous to employees. Employees shall not stand on top or in the potential path of an unsecured load while unloading poles from pole dollies or utility trailers.
(b) Cable Reels. Cable reels shall be chocked or otherwise restrained when there is a possibility of inadvertent movement.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of subsection (a) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
3. Amendment of subsection (a) filed 11-19-97; operative 12-19-97 (Register 97, No. 47).
§8613. Cable Fault Locating and Testing.
Note     •     History

(a) Employees involved in using high voltages to locate trouble or test cables shall be instructed in the precautions necessary for their own safety, and the safety of other employees.
(b) Before the voltage is applied, cable conductors shall be isolated. Employees shall be warned, by such techniques as briefing and tagging at all affected locations, to stay clear while the voltage is applied.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8614. Grounding for Employee Protection--Pole Lines.
Note     •     History

(a) Power Conductors. Electric power conductors and equipment shall be considered as energized unless the employee can visually determine that they are bonded to one of the grounds listed in Subsection (d) of this Section.
(b) Nonworking Open Wire. Nonworking open wire communications lines shall be bonded to one of the grounds listed in Subsection (d) of this Section.
(c) Vertical Power Conduit, Power Ground Wires and Street Light Fixtures.
(1) Metal power conduit, exposed vertical power ground wires, and street light fixtures which are below communications attachments or less than 20 inches above these attachments, shall be considered energized and shall be tested for voltage unless the employee can visually determine that they are bonded to the communications suspension strand or cable sheath.
(2) If no hazardous voltage is shown by the voltage test, a temporary bond shall be placed between such street light fixture, exposed vertical power grounding conductor, or metallic power conduit and the communications cable strand. Temporary bonds used for this purpose shall have sufficient conductivity to carry at least 500 amperes for a period of one second without fusing.
(d) Suitable Protective Grounding. Acceptable grounds for protective grounding are as follows:
(1) A vertical ground wire which has been tested, found safe, and is connected to a power system multigrounded neutral or the grounded neutral of a power secondary system where there are at least three services connected;
(2) Communications cable sheath or shield and its supporting strand where the sheath or shield is:
(A) Bonded to an underground or buried cable which is connected to a central office ground, or
(B) Bonded to an underground metallic piping system, or,
(C) Bonded to a power system multigrounded neutral or grounded neutral of a power secondary system which has at least three services connected;
(3) Guys which are bonded to the grounds specified in Subsection (d)(1) and (2) of this Section and which have continuity uninterrupted by an insulator; and
(4) If all of the preceding grounds are not available, arrays of driven ground rods where the resultant resistance to ground will be low enough to eliminate danger to personnel or permit prompt operation of protective devices.
(e) Attaching and Removing Temporary Bonds. When attaching grounds (bonds), the first attachment shall be made to the protective ground. When removing bonds, the connection to the line or equipment shall be removed first. Insulating gloves shall be worn during these operations.
(f) Temporary Grounding of Suspension Strand.
(1) The suspension strand shall be grounded to the existing grounds listed in Subsection (d) of this Section when being placed on jointly used poles and while performing work during thunderstorms.
(2) Where unsupported power crossings are encountered, the strand shall be bonded to an existing ground listed in Subsection (d) of this Section as close as possible to the crossing. This bonding is not required where crossings are made on a common crossing pole unless there is an upward change in grade at the pole. (Tie-down stress on the strand.) In this case, the bonding shall be at an adjacent pole.
(3) Where roller-type bonds are used, they shall be restrained so as to avoid stressing the electrical connections.
(4) Bonds between the suspension strand and the existing ground shall be at least No. 6 AWG copper.
(5) Temporary bonds shall be left in place until the strand has been tensioned, dead-ended, and permanently grounded.

Exception: The installation of insulated strand.
(g) Antenna Work-Radio Transmitting Stations 3-30 MHZ.
(1) Prior to grounding a radio transmitting station antenna, the employer shall ensure that the person in charge:
(A) Prepares and signs a danger tag,
(B) Requests the transmitting technician to shut down the transmitter and to ground the antenna with its grounding switch,
(C) Is notified by the transmitting technician that the transmitter has been shut down, and
(D) Tags the antenna ground switch personally in the presence of the transmitting technician after the antenna has been grounded by the transmitting technician.
(2) Power shall not be applied to the antenna, nor shall the grounding switch be opened under any circumstances while the tag is affixed.
(A) Where no grounding switches are provided, grounding sticks shall be used, one on each side of line, and tags shall be placed on the grounding sticks, antenna switch, or plate power switch in a conspicuous place.
(B) When necessary to further reduce excessive radio frequency pickup, ground sticks or short circuits shall be placed directly on the transmission lines near the transmitter in addition to the regular grounding switches.
(C) In other cases, the antenna lines may be disconnected from ground and the transmitter to reduce pickup at the point in the field.
(3) All radio frequency line wires shall be tested for pickup with an insulated probe before they are handled either with bare hands or with metal tools.
(4) The employer shall require that the transmitting technician warn the riggers about adjacent lines which are, or may become, energized.
(5) The employer shall require that when antenna work has been completed, the person in charge of the job returns to the transmitter, notifies the transmitting technician in charge that work has been completed, and personally removes the tag(s) previously attached.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsections (c), (f) and (g) filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of subsection (g)(1)(A) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
§8615. Overhead Lines.
Note     •     History

(a) Handling Suspension Strand.
(1) The employer shall ensure that when handling cable suspension strand which is being installed on poles carrying exposed energized power conductors, employees shall wear insulating gloves and shall avoid body contact with the strand until after it has been tensioned, dead-ended and permanently grounded.
(2) The strand shall be restrained against inadvertent upward movement during installation:
(A) On joint-use poles, where there is an upward change in grade at the pole, and
(B) On non-joint-use poles, where the line crosses under energized power conductors.
(b) Need for Testing Wood Poles.
Unless temporary guys or braces are attached, the following poles shall be tested in accordance with Subsection (c) of this Section and determined to be safe before employees are permitted to climb them:
(1) Dead-end poles, except properly braced or guyed “Y” or “T” cable junction poles,
(2) Straight line poles which are not storm guyed and where adjacent span lengths exceed 165 feet.
(3) Poles at which there is a downward change in grade and which are not guyed or braced corner poles or cable junction poles.
(4) Poles which support only telephone drop wire, and
(5) Poles which carry less than ten communication line wires. On joint-use poles, one power line wire shall be considered as two communication wires for purposes of this subsection.
(6) Poles at which the cable strand or guy tension is to be changed.
(c) Pole Inspection and Tests.
(1) Employers shall establish an effective written pole inspection and testing program and all involved employees shall be trained therein.
(2) Prior to climbing erected poles or other elevated structures intended to support overhead lines or equipment, a qualified person(s) shall conduct inspections and tests as required by Section 8615(b) to assure that such poles or structures are in safe condition for the work to be performed.
(3) Where poles or structures are determined to be unsafe for climbing, they shall be marked and not be climbed until made safe by guying, bracing, or other adequate means.
(d) Test Requirements for Cable Suspension Strand.
(1) Before attaching a splicing platform to a cable suspension strand, the strand shall be tested and determined to have strength sufficient to support the weight of the platform and the employee. Where the strand crosses above power conductors or railroad tracks it may not be tested but shall be inspected in accordance with Subsection (f) of this Section.
(2) The following method or an equivalent method shall be used for testing the strength of the strand: A rope, at least 3/8-inch in diameter, shall be thrown over the strand. On joint lines, the rope shall be passed over the strand using tree pruner handles or a wire raising tool. If two employees are present, both shall grip the double rope and slowly transfer their entire weight to the rope and attempt to raise themselves off the ground. If only one employee is present, one end of the rope which has been passed over the strand shall be tied to the bumper of the truck, or other equally secure anchorage. The employee then shall grasp the other end of the rope and attempt to raise off the ground.
(e) Inspection of Strand. Where strand passes over electric power conductors or railroad tracks, it shall be inspected from an elevated working position at each pole supporting the span in question. The strand shall not be used to support any splicing platform, scaffold or cable car, if any of the following conditions exist:
(1) Corrosion so that no galvanizing can be detected,
(2) One or more wires of the strand are broken,
(3) Worn spots, or
(4) Burn marks such as those caused by contact with electric power conductors.
(f)(1) Elevated Work Platforms. Unless standard railings meeting the requirements of Section 3209 of the General Industry Safety Orders are provided, personal fall protection devices as specified in subsection (g) shall be used while working on elevated work platforms including aerial splicing platforms, pole platforms, ladder platforms, pole balconies and pole seats.
(2) Ladder Platform. A ladder platform shall consist of a supporting surface not less than 9 inches by 18 inches. The rear edge of the platform and the support member shall be equipped to lock the platform to the ladder rungs.
(3) Pole Platform. A pole platform shall consist of a supporting surface not less than 10 inches by 40 inches equipped at one end with a hinged chain binder for securing the platform to a pole. A brace shall be provided from the pole to the underside of the platform.
(4) Splicing Platform. An aerial splicing platform shall consist of a supporting surface approximately 3 feet by 4 feet furnished with fiber or synthetic ropes for suspending the platform, detachable guy ropes for anchoring it, and a device for raising and lowering it with a handline.
(g) Fall Protection. When work is performed at elevated locations more than 4 feet (1.2 meters) above ground on poles, towers or similar structures, the employer shall require the employees to use either fall arrest equipment, work positioning equipment, or travel restricting equipment, if other fall protection methods have not been provided (e.g., guardrails, safety nets, etc.). The use of body belts for fall arrest systems is prohibited.

Exception: Point to point travel by a qualified person, unless conditions such as ice, high winds (as defined in Section 2951(f) of the High Voltage Electrical Safety Orders), design of the structure, or other conditions (e.g., chemical contaminants) prevent the employee from gaining a firm hand or foothold while traveling.
(h) Installing and Removing Wire and Cable. Before installing or removing wire or cable, the pole or structure shall be guyed, braced, or otherwise supported, as necessary, to prevent failure of the pole or structure.
(i) Handling Poles Near Energized High-Voltage Conductors and Equipment. Except qualified electrical workers complying with Article 36 of High-Voltage Electrical Safety Orders:
(1) Joint-use poles shall not be set, moved, or removed where the nominal voltage of open electrical power conductors exceeds 34.5kV phase to phase (20kV to ground).
(2) In joint lines where the power voltage is greater than 600 volts but less than 34.5kV phase to phase (20kV to ground), poles being placed, moved, or removed shall be insulated with either a rubber insulating blanket, a fiberglass box guide, or equivalent protective equipment. Work procedures shall be developed and employed to minimize the possibility of the pole and the protective equipment from contacting the power conductors. The guard or insulating material used to protect the pole shall meet the appropriate 3-minute proof test voltage requirements contained in the ASTM-D-1048-1981, which are hereby incorporated by reference.
(3) Where poles are being removed, insulation of the pole is not required if the pole is cut off 2 feet or more below the lowest power conductor and also cut off near the ground line.
(4) Suitable insulating gloves shall be worn when handling the pole with either hands or tools, when there exists a possibility that the pole may contact an energized high-voltage conductor.
(5) During pole handling operations, employees standing on the ground shall not be permitted to step onto or contact equipment or machinery while working near energized high-voltage conductors or equipment unless the employees are using suitable protective equipment for the voltages involved.
(j) Metal Tapes and Ropes.
(1) Metal measuring tapes, metal measuring ropes, or tapes containing conductive strands shall not be used when working near exposed energized parts.
(2) Where it is necessary to measure clearances from energized parts, only nonconductive devices shall be used.
NOTE

Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code.
HISTORY

1. Amendment of subsection (c)(3) filed 10-20-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
4. Amendment of subsections (f)(1) and (g) filed 8-10-2005; operative 9-9-2005 (Register 2005, No. 32).
§8616. Underground Lines.
Note     •     History

The provisions of this section apply to the guarding of manholes and street openings, and to the ventilation and testing for gas in manholes and unvented vaults, where telecommunications field work is performed on or with underground lines.
(a) Guarding Manholes and Street Openings.
(1) When covers of manholes or vaults are removed, the opening shall be promptly guarded by a railing, temporary cover, or other suitable temporary barrier which is appropriate to prevent an accidental fall through the opening and to protect employees working in the manhole from foreign objects entering the manhole.
(2) While work is being performed in the manhole, a person with basic first-aid training shall be immediately available to render assistance if there is cause for believing that a hazard exists, and if the requirements contained in Section 8604(a) and Subsection (a)(1) of this Section do not adequately protect the employee(s). Examples of manhole worksite hazards which shall be considered to constitute a hazard include, but are not limited to:
(A) Manhole worksites where hazards are created by traffic patterns that cannot be corrected by provisions of Section 8604(a) and Section 8616(a)(1).
(B) Manhole worksites that are subject to unusual water hazards that cannot be abated by conventional means.
(C) Manhole worksites that are occupied jointly with power utilities as described in Subsection (c) of this Section.
(D) Where combustible or explosive gas vapors have been initially detected at an explosive level.
(E) Where toxic or otherwise hazardous substances are used in such quantities that the work operations or inadvertent spills would create unsafe airborne concentrations or other bodily injury exposures.
(F) Where open flame torches are used in the work procedure.
(G) Where hazardous substances:--i.e. pesticides, herbicides, etc. are encountered.
(H) When employees are required to perform extended night work in manholes, except where constant voice communication is maintained with other person(s) who can render ready assistance. This shall not prohibit performing emergency trouble work without assistance providing the work can be performed safely.
(b) Requirements Prior to Entering Manholes and Unvented Vaults.
(1) Before an employee enters a manhole or unvented vault, the following steps shall be taken:
(A) The employer shall determine that a confined space condition as defined in General Industry Safety Orders Article 108 is non-existent. If a confined space condition exists, the requirements of Article 108 shall be followed. Otherwise, the requirements set forth herein shall be followed.
(B) The internal atmosphere shall be tested for combustible gas and, except when continuous forced ventilation is provided, the atmosphere shall also be tested for oxygen deficiency.
(C) When unsafe conditions are detected by testing or other means, the work area shall be ventilated by mechanical means and otherwise made safe before entry.
(2) An adequate continuous supply of air shall be provided while work is performed in unvented vaults and manholes under any of the following conditions:
(A) Where combustible or explosive gas vapors have been initially detected and subsequently reduced to a safe level by ventilation,
(B) Where organic solvents are used in the work procedure,
(C) Where open flame torches are used in the work procedure,
(D) Where the manhole or vault is located in that portion of a public right-of-way open to vehicular traffic and/or exposed to a seepage of gas or gases, or
(E) Where a toxic gas or oxygen deficiency is found.

Exception: Work in central office cable vaults that are adequately ventilated.
(c) Manhole Platform. A manhole platform shall consist of nominal 2-inch by 12-inch lumber of a grade no less than that of a “Structural Plank” as defined (see Lumber) in Section 1504 “Definition” of the Construction Safety Orders, or other nonconductive material of equal strength.
(d) Joint Power and Telecommunication Manholes. While work is being performed in a manhole occupied jointly by an electric utility and a telecommunication utility, an employee with basic first-aid training shall be available in the immediate vicinity to render emergency assistance as may be required. The employee whose presence is required in the immediate vicinity for the purposes of rendering emergency assistance is not to be precluded from occasionally entering a manhole to provide assistance other than in an emergency.
(e) Ladders. Metal ladders having non-skid rungs, wooden ladders or portable reinforced plastic ladders shall be used to enter and exit manholes exceeding 4 feet in depth.
(f) Flames. When open flames are used in manholes, the following precautions shall be taken to protect against the accumulation of combustible gas:
(1) A test for combustible gas shall be made immediately before using the open flame device, and at least once per hour while using the device; and
(2) A fuel tank (e.g., acetylene) may not be in the manhole unless in actual use.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of subsections (b), (c) and (e) filed 11-3-87; operative 12-3-87 (Register 87, No. 45).
§8617. Eye Protection.
Note     •     History

(a) Microwave. Employers shall require that employees do not look into an open waveguide which is connected to an energized source of microwave radiation.
(b) Fiber Optics. Employers shall require that employees do not look:
(1) Into the beam of an operating laser diode beam, or
(2) Into the end of an optical fiber emitting sufficient energy to cause damage to the eye.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. Amendment filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
§8618. Microwave Transmission.
Note     •     History

(a) Hazardous Area. Accessible areas associated with microwave communication systems where the electromagnetic radiation level exceeds the radiation exposure limits given in Section 5085 of the General Industry Safety Orders shall be posted as described in that Section. The lower half of the warning symbol shall include the following:
Radiation in this area may exceed hazard limitations and special precautions are required. Obtain specific instruction before entering.
(b) Protective Measures. When an employee works in an area where the electromagnetic radiation exceeds the radiation protection guide, the employer shall institute measures that ensure that the employee's exposure is not greater than that permitted by the radiation guide. Such measures shall include, but not be limited to, those of an administrative or engineering nature or those involving personal protective equipment.
NOTE

Authority and reference cited: Section 142.3, Labor Code.
HISTORY

1. New section filed 3-30-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Editorial correction of subsection (a) filed 7-28-82 (Register 82, No. 31).
Chapter 4.5. Division of  Workers' Compensation
Subchapter 1. Administrative Director--Administrative Rules
Article 1. Payment and Conduct of Workers' Compensation Judges
NOTE

Authority cited: Sections 123, 123.5, 123.6 and 133, Labor Code. Reference: Chapters 402 and 414, Statutes of 1980.
HISTORY

1. New Article 1 (Sections 9700-9703) filed 1-16-81; effective thirtieth day thereafter (Register 81, No. 3).
2. Repealer of Article 1 (Sections 9700-9703) filed 8-29-84; effective thirtieth day thereafter (Register 84, No. 35).
Article 1.1. Workers' Compensation Information System
§9700. Authority.
Note     •     History

This article is adopted to implement the Workers' Compensation Information System mandated by Sections 138.6 and 138.7 of the Labor Code. 
NOTE

Authority cited: Sections 133, 138.6 and 138.7, Labor Code. Reference: Sections 138.6 and 138.7, Labor Code. 
HISTORY

1. New article 1.1 (sections 9700-9704) and section filed 10-6-99; operative 11-5-99 (Register 99, No. 41).
§9701. Definitions.
Note     •     History

The following definitions apply in this article: 
(a) Bona Fide Statistical Research. The analysis of existing workers' compensation data for the purpose of developing or contributing to basic knowledge regarding the California workers' compensation system. 
(b) California EDI Implementation Guide for First and Subsequent Reports of Injury. Contains California specific reporting requirements and information excerpted from the IAIABC EDI Implementation Guide for First, Subsequent, Acknowledgment Detail, Header & Trailer Records, Release 1, issued February 15, 2002, by the International Association of Industrial Accident Boards and Commissions. The California EDI Implementation Guide for First and Subsequent Reports of Injury is posted on the Division's Web site at http://www.dir.ca.gov/dwc/WCIS.htm, and is available from the Division of Workers' Compensation upon request. 
(1) For reporting prior to November 15, 2011, use the California EDI Implementation Guide for First and Subsequent Reports of Injury, Version 2.1, dated February 2006, which is incorporated by reference.
(2) For reporting on or after November 15, 2011, use the California EDI Implementation Guide for First and Subsequent Reports of Injury, Version 3.0, dated November 15, 2011, which is incorporated by reference.
(c) California EDI Implementation Guide for Medical Bill Payment Records. Contains the California-specific protocols and excerpts from the IAIABC EDI Implementation Guide for Medical Bill Payment Records, explains the technical design and functionality of the WCIS system, testing options for the trading partners, instructions regarding the medical billing data elements, and reporting standards and requirements. The California EDI Implementation Guide for Medical Bill Payment Records is posted on the Division's Web site at http://www.dir.ca.gov/dwc/WCIS.htm, and is available from the Division of Workers' Compensation upon request. 
(1) For reporting prior to November 15, 2011, use the California EDI Implementation Guide for Medical Bill Payment Records, Version 1.0, dated December 2005, which is incorporated by reference.
(2) For reporting on or after November 15, 2011, use the California EDI Implementation Guide for Medical Bill Payment Records, Version 1.1, dated November 15, 2011, which is incorporated by reference.
(d) California Jurisdiction Code. A California-specific code that identifies a medical procedure, service, or product that is not identified by a current HCPCS code. California Jurisdiction Codes are either set forth and/or incorporated by reference in California Code of Regulations, title 8, section 9795, regarding reasonable fees for medical-legal expenses, section 9789.11, regarding fees for physician services rendered on or after July 1, 2004, or in section 9702(e), footnote 13, regarding medical lien lump-sum payments or settlements.
(e) Claim. An injury as defined in Division 4 of the Labor Code, occurring on or after March 1, 2000, that has resulted in the receipt of one or more of the following by a claims administrator: 
(1) Employer's Report of Occupational Injury or Illness, as required by California Code of Regulations, title 8,  sections 14004-14005. 
(2) Doctor's First Report of Occupational Injury or Illness, as required by California Code of Regulations, title 8, sections 14006-14007. 
(3) Application for Adjudication filed with the Workers' Compensation Appeals Board under Labor Code section 5500 and California Code of Regulations, title 8, section 10408. 
(4) Any information indicating that the injury requires medical treatment by a physician as defined in Labor Code section 3209.3. 
(f) Claims Administrator. A self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, California Insurance Guarantee Association (CIGA), or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority. 
(g) Claims Administrator's Agents. Any entity contracted by the claims administrator to assist in adjusting the claim(s) including third party administrators, bill reviewers, utilization review vendors, and electronic data interchange vendors. 
(h) Closed Claim. A claim in which future payment of indemnity benefits and/or provision of medical benefits cannot be reasonably expected to be due. 
(i) Data Elements. Information identified by data number (DN) and defined in the dictionary of the IAIABC EDI Implementation Guide, Release 1. Data elements set forth in California Code of Regulations, title 8, section 9702 must be transmitted on all claims, where applicable, as indicated in section 9702. The data elements set forth in the IAIABC EDI Implementation Guide, Release 1 that are not enumerated in section 9702 are optional and may, but need not be, submitted on any or all claims. 
(j) Electronic Data Interchange. (“EDI”). A computer to computer exchange of data or information in a standardized format acceptable to the Administrative Director. 
(k) Health Care Organization (“HCO”). Any entity certified as a health care organization by the Administrative Director pursuant to Labor Code sections 4600.5 and 4600.6. 
(l) HCPCS. Acronym for the Healthcare Common Procedure Coding System.
(m) IAIABC EDI Implementation Guide, Release 1. EDI Implementation Guide for First, Subsequent, Acknowledgment Detail, Header & Trailer Records, Release 1, issued February 15, 2002, by the International Association of Industrial Accident Boards and Commissions. The IAIABC EDI Implementation Guide, Release 1, can be obtained from the IAIABC at either the IAIABC website at http://www.iaiabc.org, or the IAIABC office located at 5610 Medical Circle, Suite 24, Madison, WI, 53719-1295; Telephone: (608) 663-6355.
(n) IAIABC EDI Implementation Guide for Medical Bill Payment Records. IAIABC EDI Implementation Guide for Medical Bill Payment Records by the International Association of Industrial Accident Boards and Commissions. The IAIABC EDI Implementation Guide for Medical Bill Payment Records, Release 1, can be obtained from the IAIABC at either the IAIABC website at http://www.iaiabc.org, or the IAIABC office located at 5610 Medical Circle, Suite 24, Madison, WI, 53719-1295; Telephone: (608) 663-6355.
(1) For reporting prior to November 15, 2011, use the IAIABC EDI Implementation Guide for Medical Bill Payment Records, Release 1, July 4, 2002, which is incorporated by reference.
(2) For reporting on or after November 15, 2011, use the IAIABC EDI Implementation Guide for Medical Bill Payment Records, Release 1.1, July 1, 2009, which is incorporated by reference.
(o) Indemnity Benefits. Payments conferred, including those made by settlement, for any of the following: temporary disability indemnity, permanent disability indemnity, death benefits, vocational rehabilitation maintenance allowance, and employer-paid salary in lieu of compensation. 
(p) Individually Identifiable Information. Any data concerning an injury or claim that is linked to a uniquely identifiable employee, employer, claims administrator, or any other person or entity. 
(q) International Association of Industrial Accident Boards and Commissions (“IAIABC”). A professional association of workers' compensation specialists, located at 5610 Medical Circle, Suite 24, Madison, Wisconsin 53719-1295, which is, in addition to other activities, engaged in the production and publication of EDI standards for filing workers' compensation information. Note: IAIABC asserts ownership of such EDI standards which are published in various ways and include Implementation Guides with instructions on their use, technical and business specifications and coding information to permit the transfer of data between regulatory bodies and regulated entities in a uniform and consistent manner. 
(r) WCIS. The Workers' Compensation Information System established pursuant to sections 138.6 and 138.7 of the Labor Code. 
NOTE

Authority cited: Sections 133, 138.6 and 138.7, Labor Code. Reference: Sections 138.6 and 138.7, Labor Code. 
HISTORY

1. New section filed 10-6-99; operative 11-5-99 (Register 99, No. 41).
2. Amendment filed 3-22-2006; operative 4-21-2006 (Register 2006, No. 12).
3. Amendment filed 11-15-2010; operative 11-15-2011 (Register 2010, No. 47).
§9702. Electronic Data Reporting.
Note     •     History

(a) Each claims administrator shall transmit data elements, by electronic data interchange in the manner set forth in the California EDI Implementation Guide for First and Subsequent Reports of Injury and the California EDI Implementation Guide for Medical Bill Payment Records, to the WCIS by the dates specified in this section. Each claims administrator shall, at a minimum, provide complete, valid, accurate data for the data elements set forth in this section. The data elements required in subdivisions (b), (c), (d) and (e) are taken from California EDI Implementation Guide for First and Subsequent Reports of Injury and the California EDI Implementation Guide for Medical Bill Payment Records. Claims administrators shall only transmit the data elements that are set forth in the California EDI Implementation Guide for First and Subsequent Reports of Injury and the California EDI Implementation Guide for Medical Bill Payment Records. Each transmission of data elements shall include appropriate header and trailer records as set forth in the California EDI Implementation Guide for First and Subsequent Reports of Injury and the California EDI Implementation Guide for Medical Bill Payment Records. 
(1) The Administrative Director, upon written request, may grant a claims administrator either a partial or total variance in reporting all or part of the data elements required pursuant to subdivision (e) of this section. Any variance granted by the Administrative Director under this subdivision shall be set forth in writing. 
(A) A partial variance requested on the basis that the claims administrator is unable to transmit some of the required data elements to the WCIS shall be granted for a six month period only if all of the following are shown: 
1. a documented showing that compliance with the reporting deadlines set forth in subdivision (e) would cause undue hardship to the claims administrator; 
2. a documented showing that any medical data elements currently being transmitted by the claims administrator or the claims administrator's agent to public or private research or statistical entities shall be reported by the claims administrator to the WCIS; and 
3. submission of a plan, prior to the applicable deadline set forth in subdivision (e), documenting the means by which the claims administrator will ensure full compliance with the data reporting within six months from the request. 
(B) A partial variance requested on the basis that the claims administrator is unable to report some of the required data elements to the WCIS because the data elements are not available to the claims administrator or the claims administrator's agent shall be granted for a six month period only if all of the following are shown: 
1. a documented showing that compliance with the reporting deadlines set forth in subdivision (e) would cause undue hardship to the claims administrator; 
2. a documented showing that any medical data elements currently being transmitted by the claims administrator or the claims administrator's agent to public or private research or statistical entities shall be reported by the claims administrator to the WCIS; 
3. a documented showing that the claims administrator will submit to the WCIS the medical data elements available to the claims administrator or the claims administrator's agents; and 
4. submission of a plan, prior to the applicable deadline set forth in subdivision (e), documenting the means by which the claims administrator will ensure full compliance with the data reporting within six months from the request. 
(C) A total variance shall be granted for a twelve month period if all of the following are shown: 
1. a documented showing that compliance with the reporting deadlines set forth in subdivision (e) would cause undue hardship to the claims administrator; 
2. a documented showing that the claims administrator has not contracted with a bill review company to review medical bills submitted by providers in its workers' compensation claims; 
3. a documented showing that the claims administrator is unable to transmit medical data to public or private research or statistical entities; and 
4. submission of a plan, prior to the applicable deadline set forth in subdivision (e), documenting the means by which the claims administrator will ensure full compliance with the data reporting within twelve months from the request. 
(2) “Undue hardship” shall be determined based upon a review of the documentation submitted by the claims administrator. The documentation shall include: the claims administrator's total required expenses; the reporting cost per claim if transmitted in house; and the total cost per claim if reported by a vendor. The costs and expenses shall be itemized to reflect costs and expenses related to reporting the data elements listed in subdivision (e) only. 
(3) The variance period for reporting data elements under subdivisions (a)(1)(A) and (B) shall not be extended. The variance period for reporting data elements under subdivision (a)(1)(C) may be extended for additional twelve month periods if the claims administrator resubmits a written request for a variance. A claims administrator granted a variance shall submit to the WCIS all data elements that were required to be submitted under subdivision (e) during the variance period except for data elements that were not known to the claims administrator, the claims administrator's agents, or not captured on the claims administrator's electronic data systems. The data shall be submitted in an electronic format acceptable to the Division. 
(b) Each claims administrator shall submit to the WCIS on each claim, within ten (10) business days of knowledge of the claim, each of the following data elements known to the claims administrator: 

Data Element Name	DN
 ACCIDENT DESCRIPTION /CAUSE	38
 CAUSE OF INJURY CODE	37
 CLAIM ADMINISTRATOR ADDRESS LINE 1	10
 CLAIM ADMINISTRATOR ADDRESS LINE 2	11
 CLAIM ADMINISTRATOR CITY 	12
 CLAIM ADMINISTRATOR CLAIM NUMBER	15
 CLAIM ADMINISTRATOR POSTAL CODE 	14
 CLAIM ADMINISTRATOR STATE 	13
 CLASS CODE(3)	59
 DATE DISABILITY BEGAN 	56
 DATE LAST DAY WORKED	65
 DATE OF HIRE(1)	61
 DATE OF INJURY	31
 DATE OF RETURN TO WORK 	68
 DATE REPORTED TO CLAIM ADMINISTRATOR 	41
 DATE REPORTED TO EMPLOYER 	40
 EMPLOYEE ADDRESS LINE 1(1) 	46
 EMPLOYEE ADDRESS LINE 2(1) 	47
 EMPLOYEE CITY(1) 	48
 EMPLOYEE DATE OF BIRTH	52
 EMPLOYEE DATE OF DEATH 	57
 EMPLOYEE FIRST NAME	44
 EMPLOYEE LAST NAME	43
 EMPLOYEE MIDDLE INITIAL(1) 	45
 EMPLOYEE PHONE(1)	51
 EMPLOYEE POSTAL CODE(1) 	50
 EMPLOYEE STATE(1) 	49
 EMPLOYER ADDRESS LINE 1 	19
 EMPLOYER ADDRESS LINE 2	20
 EMPLOYER CITY 	21
 EMPLOYER FEIN 	16
 EMPLOYER NAME	18
 EMPLOYER POSTAL CODE 	23
 EMPLOYER STATE 	22
 EMPLOYMENT STATUS CODE(1)	58
 GENDER CODE 	53
 INDUSTRY CODE	25
 INITIAL TREATMENT CODE	39
 INSURED REPORT NUMBER	26
 INSURER FEIN	6
 INSURER NAME	7
 JURISDICTION 	4
 MAINTENANCE TYPE CODE	2
 MAINTENANCE TYPE CODE DATE	3
 MARITAL STATUS CODE(2)	54
 NATURE OF INJURY CODE	35
 NUMBER OF DEPENDENTS(2)	55
 OCCUPATION DESCRIPTION	60
 PART OF BODY INJURED CODE	36
 POLICY EFFECTIVE DATE	29
 POLICY EXPIRATION DATE	30
 POLICY NUMBER	28
 POSTAL CODE OF INJURY SITE	33
 SALARY CONTINUED INDICATOR 	67
 SELF INSURED INDICATOR 	24
 SOCIAL SECURITY NUMBER(4)	42
 THIRD PARTY ADMINISTRATOR FEIN 	8
 THIRD PARTY ADMINISTRATOR NAME 	9
 TIME OF INJURY	32
 WAGE(1) 	62
 WAGE PERIOD(1) 	63

______________

(1) Required only when provided to the claims administrator. 

(2) Death Cases Only. 

(3) Required for insured claims only; optional for self-insured claims.  

(4) If the Social Security Number (DN 42) is not known, use a string of eight zeros followed by a six.
Data elements omitted under this subsection because they were not known by the claims administrator shall be submitted within sixty (60) days from the date of the first report under this subsection. 
(c) Each transmission of data elements listed under subdivisions (b), (d), (e), (f), or (g) of this section shall also include the following elements for data linkage: 

Data Element Name 	DN
 AGENCY/JURISDICTION CLAIM NUMBER(2) (3) (4)	5
 CLAIM ADMINISTRATOR CLAIM NUMBER(2) (3) (4)	15
 DATE OF INJURY(3)	31
 INSURER FEIN(4)	6
 JURISDICTION(1)	4
 MAINTENANCE TYPE CODE(1)	2
 MAINTENANCE TYPE CODE DATE(1)	3
 SOCIAL SECURITY NUMBER(3)	42
 THIRD PARTY ADMINISTRATOR FEIN(4)	8
 TRANSACTION SET ID(1)	1

______________

(1) Jurisdiction (DN 4), Maintenance Type Code (DN 2), Maintenance Type Code Date (DN 3), and Transaction Set ID (DN 1) are required for transmissions under subdivisions (b), (d), (f), and (g). 

(2) The Agency/Jurisdiction Claim Number (DN 5) will be provided by WCIS upon receipt of the first report under subdivision (b). The Agency/Jurisdiction Claim Number (DN 5) is required when changing a Claim Administrator Claim Number (DN 15); it is optional for other transmissions under this subsection. 

(3) The Date of Injury (DN 31), Social Security Number (DN 42), and Claim Administrator Claim Number (DN 15) need not be submitted if the Agency/Jurisdiction Claim Number (DN 5) accompanies the transmission, except for transmissions required under Subsection (f). If the Social Security Number (DN 42) is not known, use a string of eight zeros followed by a six.

(4) If the Agency/Jurisdiction Claim Number (DN 5) is not provided, trading partners must provide the Claim Administrator Claim Number (DN 15) and the Third Party Administrator FEIN (DN 8), or, if there is no third party administrator, the Insurer FEIN (DN 6). 
(d) Each claims administrator shall submit to the WCIS within fifteen (15) business days the following data elements, whenever indemnity benefits of a particular type and amount are started, changed, suspended, restarted, stopped, delayed, or denied, or when a claim is closed or reopened, or when the claims administrator is notified of a change in employee representation. Submissions under this subsection are required only for claims with a date of injury on or after July 1, 2000, and shall not include data on routine payments made during the course of an uninterrupted period of indemnity benefits. 

Data Element Name	DN
 BENEFIT ADJUSTMENT CODE	92
 BENEFIT ADJUSTMENT START DATE	94
 BENEFIT ADJUSTMENT WEEKLY AMOUNT	93
 CLAIM ADMINISTRATOR POSTAL CODE	14
 CLAIM STATUS 	73
 CLAIM TYPE	74
 DATE DISABILITY BEGAN	56
 DATE OF MAXIMUM MEDICAL IMPROVEMENT 	70
 DATE OF REPRESENTATION	76
 DATE OF RETURN/RELEASE TO WORK	72
 EMPLOYEE DATE OF DEATH	57
 INSURED REPORT NUMBER	26
 LATE REASON CODE	77
 NUMBER OF BENEFIT ADJUSTMENTS	80
 NUMBER OF DEATH DEPENDENT/PAYEE RELATIONSHIPS	82
 NUMBER OF DEPENDENTS	55
 NUMBER OF PAID TO DATE/REDUCED EARNINGS/
  RECOVERIES	81
 NUMBER OF PAYMENTS/ADJUSTMENTS	79
 NUMBER OF PERMANENT IMPAIRMENTS	78
 PAID TO DATE/ REDUCED EARNINGS/RECOVERIES 
  AMOUNT	96
 PAID TO DATE/ REDUCED EARNINGS/RECOVERIES 
  CODE	95
 PAYMENT/ADJUSTMENT CODE	85
 PAYMENT/ADJUSTMENT DAYS PAID	91

 PAYMENT/ADJUSTMENT END DATE 	89
 PAYMENT/ADJUSTMENT PAID TO DATE	86
 PAYMENT/ADJUSTMENT START DATE 	88
 PAYMENT/ADJUSTMENT WEEKLY AMOUNT 	87
 PAYMENT/ADJUSTMENT WEEKS PAID 	90
 PERMANENT IMPAIRMENT BODY PART CODE(1) (2) 	83
 PERMANENT IMPAIRMENT PERCENTAGE(2)	84
 RETURN TO WORK QUALIFIER	71
 SALARY CONTINUED INDICATOR	67
 WAGE	62
 WAGE PERIOD	63

______________

(1) May use Code 90 (Multiple Body Parts) to reflect combined rating for any/all impairments. 

(2) Use actual permanent disability rating at the time of initial payment of permanent disability benefits. For compromise and release cases and stipulated settlements, use permanent disability estimate as reported to the appropriate rating organization established under Insurance Code § 11750, et seq.  
(e) On and after September 22, 2006, claims administrators handling one hundred and fifty (150) or more total claims per year shall submit to the WCIS on each claim with a date of service on or after September 22, 2006, the following data elements for all medical services for which the claims administrator has received a billing or other report of provided medical services. The California EDI Implementation Guide for Medical Bill Payment Records sets forth the specific California reporting requirements. The data elements required in this subdivision are taken from California EDI Implementation Guide for Medical Bill Payment Records and the IAIABC EDI Implementation Guide for Medical Bill Payment Records. The claims administrator shall submit the data within ninety (90) calendar days of the medical bill payment or the date of the final determination that payment for billed medical services will be denied. Each claims administrator shall submit all medical lien lump sum payments or settlements following the filing of a lien claim for the payment of such medical services pursuant to Labor Code sections 4903 and 4903.1 within ninety (90) calendar days of the medical lien lump sum payment or settlement. Each claims administrator shall transmit the data elements by electronic data interchange in the manner set forth in the California EDI Implementation Guide for Medical Bill Payment Records and the IAIABC EDI Implementation Guide for Medical Bill Payment Records.

Data Element Name 	DN
 ACKNOWLEDGMENT TRANSACTION SET ID 	110
 ADMISSION DATE(17)	513
 ADMITTING DIAGNOSIS CODE 	535
 APPLICATION ACKNOWLEDGMENT CODE 	111
 BASIS OF COST DETERMINATION CODE 	564
 BATCH CONTROL NUMBER 	532
 BILL ADJUSTMENT AMOUNT(17)	545
 BILL ADJUSTMENT GROUP CODE(5)(17)	543
 BILL ADJUSTMENT REASON CODE(17)	544
 BILL ADJUSTMENT UNITS(17)	546
 BILL SUBMISSION REASON CODE 	508
 BILLING FORMAT CODE	503
 BILLING PROVIDER FEIN 	629
 BILLING PROVIDER LAST/GROUP NAME 	528
 BILLING PROVIDER NATIONAL PROVIDER ID(17)	634
 BILLING PROVIDER POSTAL CODE	542
 BILLING PROVIDER PRIMARY SPECIALTY CODE(4)	537
 BILLING PROVIDER STATE LICENSE NUMBER(4)(7)	630
 BILLING PROVIDER UNIQUE BILL IDENTIFICATION 
  NUMBER 	523
 BILLING TYPE CODE(17)	502
 CLAIM ADMINISTRATOR CLAIM NUMBER 	15
 CLAIM ADMINISTRATOR FEIN 	187
 CLAIM ADMINISTRATOR NAME 	188
 CONTRACT TYPE CODE 	515
 DATE INSURER PAID BILL(9)(11)	512
 DATE INSURER RECEIVED BILL(12)	511
 DATE OF BILL(17)	510
 DATE OF INJURY 	31
 DATE PROCESSED 	108
 DATE TRANSMISSION SENT 	100
 DAYS/UNITS BILLED(17)	554
 DAYS/UNITS CODE(17) 	553
 DIAGNOSIS POINTER 	557
 DISCHARGE DATE(17) 	514
 DISPENSE AS WRITTEN CODE	562
 DME BILLING FREQUENCY CODE 	567
 DRG CODE 	518
 DRUG NAME 	563
 DRUGS/SUPPLIES BILLED AMOUNT 	572
 DRUGS/SUPPLIES DISPENSING FEE 	579
 DRUGS/SUPPLIES NUMBER OF DAYS 	571
 DRUGS/SUPPLIES QUANTITY DISPENSED 	570
 ELEMENT ERROR NUMBER 	116
 ELEMENT NUMBER 	115
 EMPLOYEE FIRST NAME 	44
 EMPLOYEE LAST NAME 	43
 EMPLOYEE MIDDLE NAME/INITIAL 	45
 EMPLOYEE EMPLOYMENT VISA 	152
 EMPLOYEE GREEN CARD 	153
 EMPLOYEE PASSPORT NUMBER	156
 EMPLOYEE SOCIAL SECURITY NUMBER(10) 	42
 FACILITY CODE 	504
 FACILITY FEIN 	679
 FACILITY MEDICARE NUMBER 	681
 FACILITY NAME(17) 	678
 FACILITY NATIONAL PROVIDER ID(17)	682
 FACILITY POSTAL CODE(17)	688
 FACILITY STATE LICENSE NUMBER(7) 	680
 HCPCS BILL PROCEDURE CODE 	737
 HCPCS LINE PROCEDURE BILLED CODE 	714
 HCPCS LINE PROCEDURE PAID CODE 	726
 HCPCS MODIFIER BILLED CODE 	717
 HCPCS MODIFIER PAID CODE	727
 HCPCS PRINCIPLE PROCEDURE BILLED CODE 	626
 ICD-9 CM DIAGNOSIS CODE 	522
 ICD-9 CM PRINCIPAL PROCEDURE CODE	525
 ICD-9 CM PROCEDURE CODE	736
 INSURER FEIN 	6
 INSURER NAME 	7
 INTERCHANGE VERSION ID 	105
 JURISDICTION CLAIM NUMBER 	5
 JURISDICTION MODIFIER BILLED CODE(8)(10)	718
 JURISDICTION MODIFIER PAID CODE(8)	730
 JURISDICTION PROCEDURE BILLED CODE(8)(13)(17) 	715
 JURISDICTION PROCEDURE PAID CODE(8)(9)(13)	729
 LINE NUMBER(18)	547
 MANAGED CARE ORGANIZATION FEIN(1)(17) 	704
 MANAGED CARE ORGANIZATION IDENTIFICATION 
  NUMBER 	208
 MANAGED CARE ORGANIZATION NAME 	209
 MANAGED CARE ORGANIZATION POSTAL CODE 	712
 NDC BILLED CODE(17) 	721
 NDC PAID CODE 	728
 ORIGINAL TRANSMISSION DATE 	102
 ORIGINAL TRANSMISSION TIME 	103
 PLACE OF SERVICE BILL CODE(17) 	555
 PLACE OF SERVICE LINE CODE(17) 	600
 PRESCRIPTION BILL DATE 	527
 PRESCRIPTION LINE DATE 	604
 PRESCRIPTION LINE NUMBER 	561
 PRINCIPLE DIAGNOSIS CODE(17) 	521
 PRINCIPLE PROCEDURE DATE 	550
 PROCEDURE DATE 	524
 PROVIDER AGREEMENT CODE(3)	507
 RECEIVER ID 	99
 REFERRING PROVIDER NATIONAL PROVIDER ID(17)	699
 RELEASE OF INFORMATION CODE(17) 	526
 RENDERING BILL PROVIDER COUNTRY CODE(17)	657
 RENDERING BILL PROVIDER FEIN 	642
 RENDERING BILL PROVIDER LAST/GROUP NAME 	638
 RENDERING BILL PROVIDER NATIONAL PROVIDER 
  ID(7)(17)	647
 RENDERING BILL PROVIDER POSTAL CODE 	656
 RENDERING BILL PROVIDER PRIMARY SPECIALTY 
  CODE(17) 	651
 RENDERING BILL PROVIDER SPECIALTY LICENSE 
  NUMBER(7)	649
 RENDERING BILL PROVIDER STATE LICENSE 
  NUMBER(7)(17) 	643
 RENDERING LINE PROVIDER NATIONAL PROVIDER 
  ID(7)(17)	592
 RENDERING LINE PROVIDER FEIN 	586
 RENDERING LINE PROVIDER LAST/GROUP NAME(6)	589
 RENDERING LINE PROVIDER POSTAL CODE 	593
 RENDERING LINE PROVIDER PRIMARY SPECIALTY 
  CODE(6)	595
 RENDERING LINE PROVIDER STATE LICENSE 
  NUMBER(6)(7)	599
 REPORTING PERIOD 	615
 REVENUE BILLED CODE 	559
 REVENUE PAID CODE 	576
 SENDER ID 	98
 SERVICE ADJUSTMENT AMOUNT(17) 	733
 SERVICE ADJUSTMENT GROUP CODE(5)(17)	731
 SERVICE ADJUSTMENT REASON CODE(5)(17)	732
 SERVICE ADJUSTMENT UNITS(17)	734
 SERVICE BILL DATE(S) RANGE(14) 	509
 SERVICE LINE DATE(S) RANGE(9)(17)	605
 SUPERVISING PROVIDER NATIONAL PROVIDER ID(17)	667
 TEST/PRODUCTION INDICATOR 	104
 TIME PROCESSED 	109
 TIME TRANSMISSION SENT 	101
 TOTAL AMOUNT PAID PER BILL(2)(15)	516
 TOTAL AMOUNT PAID PER LINE(2)(17)	574
 TOTAL CHARGE PER BILL(16) 	501
 TOTAL CHARGE PER LINE -- PURCHASE 	566
 TOTAL CHARGE PER LINE -- RENTAL 	565
 TOTAL CHARGE PER LINE(17) 	552
 TRANSACTION TRACKING NUMBER 	266
 UNIQUE BILL ID NUMBER 	500

______________

(1) For HCO claims use the FEIN of the sponsoring organization in DN 704.

(2) Not required on non-denied bills if amount paid equals amount charged.

(3) For MPN claims use code P “Participation Agreement”

(4) Does not apply if billing provider is an organization.

(5) Required if charged and paid amounts differ.

(6) Optional if rendering provider equals billing provider.

(7) To be provided if available. The National Provider Identifier is assigned by the United States Department of Health and Human Services, Centers for Medicare & Medicaid Services (“CMS”).

(8) Use codes that are either set forth and/or incorporated by reference in California Code of Regulations, title 8, section 9795, regarding reasonable fees for medical-legal expenses, and section 9789.11, regarding fees for physician services rendered after January 1, 2004.

(9) For payments made pursuant to California Code of Regulations, title 8, section 10536, the data edit date the insurer paid the bill (DN 512) must be >= date the insurer received the bill (Error Code 073 is waived to allow payment of services); the data edit service line date(s) range (DN 605) must be <= the current date (Error Code 041 is waived to allow payment of services).

(10) If the Employee is not a United States citizen and has no other form of identification (DN 153, DN 152, or DN 156), use either a string of eight zeros followed by a six or a string of nine consecutive nines.

(11) For medical lien lump sum payments or settlements use the date final payment was made.

(12) For medical lien lump sum payments or settlements use the date on the first medical bill received.

(13) Use the following codes for reporting a medical lien lump sum payment or settlement:

MDS10 Lump sum payment or settlement for multiple bills where the amount of reimbursement is in dispute between the claims payer and the healthcare provider.

MDO10 Final order or award of the Workers' Compensation Appeals Board requires a lump sum payment for multiple bills where the amount of reimbursement is in dispute between the claims payer and the healthcare provider

MDS11 Lump sum payment or settlement for multiple bills where liability for a claim was denied but finally accepted by the claims payer

MDO11 Final order or award of the Workers' Compensation Appeals Board requires a lump sum payment for multiple bills where claims payer is found to be liable for a claim which it had denied liability.

MDS21 Lump sum payment or settlement for a single medical bill where the amount of reimbursement is in dispute between the claims payer and the healthcare provider.

MDO21 Final order or award of the Workers' Compensation Appeals Board requires a lump sum payment for a single medical bill where the amount of reimbursement is in dispute between the claims payer and the healthcare provider.

(14) For a medical lien lump sum payment or settlement use the date of lien filing.

(15) For a medical lien lump sum payment or settlement use the settled or ordered amount.

(16) For a medical lien lump sum payment or settlement use the amount in dispute.

(17) Not required for a mixed medical lien lump sum payment or settlement.

(18) For a mixed bill medical lien lump sum payment or settlement assign a value = 00.
(f) Notwithstanding the requirement in Subsection (b) to submit data elements omitted from the first report within 60 days from the date of transmission of the first report, when a claims administrator becomes aware of an error or need to update data elements previously transmitted, or learns of information that was previously omitted, the claims administrator shall transmit the corrected, updated or omitted data to WCIS no later than the next submission of data for the affected claim. 
(g) No later than January 31 of every year, claims administrators shall report for each claim the total paid in any payment category in the previous calendar year by submitting the following data elements: 

Data Element Name 	DN
 PAID TO DATE/REDUCED EARNINGS/RECOVERIES AMOUNT	96
 PAID TO DATE/REDUCED EARNINGS/RECOVERIES CODE	95
 PAYMENT/ADJUSTMENT CODE	85
 PAYMENT/ADJUSTMENT END DATE	89
 PAYMENT/ADJUSTMENT PAID TO DATE	86
 PAYMENT/ADJUSTMENT START DATE	88 
(h) Final reports (MTC = FN) are required only for claims where indemnity benefits are paid. For medical-only claims, the final report  may be reported under this section or on the annual report (MTC = AN) with claim status = “closed.” 
(i)(1) A claims administrator's obligation to submit copies of benefit notices to the Administrative Director pursuant to Labor Code section 138.4 is satisfied upon written determination by the Administrative Director that the claims administrator has demonstrated the capability to submit complete, valid, and accurate data as required under subdivision (d) and continued compliance with that subsection. 
(2) Reserved. 
(3) On and after September 22, 2006, a claims administrator's obligation to submit an Annual Report of Inventory pursuant to California Code of Regulations, title 8, section 10104 is satisfied upon determination by the Administrative Director that the claims administrator has demonstrated the capability to submit complete, valid, and accurate data as required under subdivisions (b), (d), (e), and (g), and continued compliance with those subsections. 
(j) The data submitted pursuant to this section shall not have any application to, nor be considered in, nor be admissible into, evidence in any personal injury or wrongful death action, except as between an employee and the employee's employer. Nothing in this subdivision shall be construed to expand access to information held in the WCIS beyond that authorized in California Code of Regulations, title 8, section 9703 and Labor Code section 138.7. 
(k) Each claims administrator required to submit data under this section shall submit to the Administrative Director an EDI Trading Partner Profile at least thirty days prior to its first transmission of EDI data. Each claims administrator shall advise the Administrative Director of any subsequent changes and/or corrections made to the information provided in the EDI Trading Partner Profile by filing a corrected copy of the EDI Trading Partner Profile with the Administrative Director. 
NOTE

Authority cited: Sections 133, 138.4, 138.6 and 138.7, Labor Code. Reference: Sections 138.4, 138.6 and 138.7, Labor Code. 
HISTORY

1. New section filed 10-6-99; operative 11-5-99 (Register 99, No. 41).
2. Amendment filed 3-22-2006; operative 4-21-2006 (Register 2006, No. 12).
3. Amendment filed 11-15-2010; operative 11-15-2011 (Register 2010, No. 47).
§9703. Access to Individually Identifiable Information.
Note     •     History

(a) No person shall have access to individually identifiable data held in the WCIS except as provided in this section and subdivision (c) of section 138.7 of the Labor Code. 
(b) The Division of Workers' Compensation may obtain and use individually identifiable information for the following purposes: 
(1) To create and maintain the WCIS, including the selection of claims to survey in order to obtain information not available from the data elements provided by claims administrators. 
(2) To help select claims administrators for audits under section 129 of the Labor Code. 
(3) To report the promptness with which claims administrators make payments. 
(4) To electronically import names, addresses, and other information into Division of Workers' Compensation case files which would otherwise have to be key entered by agency staff. 
(5) To conduct research related to the workers' compensation system for the purpose of carrying out the duties of the Division of Workers' Compensation or the Administrative Director. 
(c) The following agencies may obtain individually identifiable information from the WCIS, in the manner set forth in a memorandum of understanding between the Administrative Director and the agency, for the purposes specified: 
(1) The Division of Occupational Safety and Health may use individually identifiable information to help select employers for health and safety consultations and inspections. 
(2) The Division of Labor Statistics and Research may use individually identifiable information to carry out its research and reporting responsibilities under Labor Code sections 150 and 156. 
(3) The Department of Health Services may use individually identifiable information to carry out its occupational health and occupational disease prevention responsibilities under section 105175 of the Health and Safety Code. 
(d) Upon written request to the Administrative Director, researchers employed by or under contract to the Commission on Health and Safety and Workers' Compensation (CHSWC) may obtain individually identifiable information from the WCIS, in the manner set forth in a memorandum of understanding between the Administrative Director, the commission, and the person or entity conducting research, for the purpose of bona fide statistical research. 
(1) Any request from the CHSWC for individually identifiable information under this subdivision shall include the identity of the person or entity conducting the research, the purpose of the research, the research protocol, the need for individually identifiable WCIS data, and an anticipated completion date for the research. 
(2) Researchers under contract to the CHSWC seeking individually identifiable WCIS data under this subdivision shall also submit to the Administrative Director written approval of the research protocol by an Institutional Review Board in the same manner as required under subdivision (e). If the researcher under contract to the CHSWC is the University of California or a non profit educational institution, the researcher shall comply with the provisions of Civil Code section 1789.24 subdivision (t). 
(3) Individually identifiable information obtained under this subdivision shall not be disclosed to the members of the CHSWC. 
(4) No individually identifiable information obtained by researchers under this subdivision may be disclosed to any other person or entity, public or private, for a use other than that research project for which the information was obtained. 
(5) Researchers obtaining individually identifiable information under this subdivision shall notify the Administrative Director when the research has been completed. Except as required by researchers subject to subdivision (f), within 30 days thereafter, the CHSWC shall present evidence to the Administrative Director that the data collected has been modified in a manner so that the subjects cannot be identified, directly or through identifiers linked to the subjects. 
(e) Individually identifiable information may be provided to other persons or public or private entities for the purpose of bona fide statistical research which does not divulge individually identifiable information concerning any employee, employer, claims administrator, or any other person or entity. Any request for individually identifiable information for this purpose shall include the identity of the requester, the purpose of the research, the methods of research, and the need for individually identifiable WCIS data. The requester shall also submit written approval of the research protocol by an Institutional Review Board, under Title 45, Code of Federal Regulations, Part 46, Subpart A. “Approval” means a determination by the Institutional Review Board that the research protocol was reviewed and provides sufficient safeguards to ensure the confidentiality of individually identifiable information. Any agreement to permit use of the data shall be in writing between the requester and the Administrative Director. Note: The Division shall make available upon request a list of Institutional Review Boards known to the Division that have the authority to grant the required approval and that expressed willingness to review research proposals under this section. 
(f) The University of California or any non profit educational institution conducting scientific research must comply with the provisions of Civil Code section 1798.24 subdivision (t). 
(g) Each agreement or memorandum of understanding entered concerning the use of individually identifiable information by any agency, entity, or person shall specify the methods to be used to protect the information from unlawful disclosure, and shall include a warning to the receiving party that it is unlawful for any person who has received individually identifiable information from the Division of Workers' Compensation under this section to provide the information to any person who is not entitled to it under this section and Labor Code § 138.7. 
(h) Nothing in this section shall be construed to exempt from disclosure any public record contained in an individual's file once an Application for Adjudication has been filed with the Workers' Compensation Appeals Board. This includes any data from an individual's file that are converted to or stored in an electronic format for the purpose of case processing and tracking. 
(i) Nothing in this section shall be construed to exempt from disclosure WCIS data in a format that does not contain individually identifiable information. 
NOTE

Authority cited: Sections 127, 133, 138.4, 138.6 and 138.7, Labor Code. Reference: Sections 129, 138.4, 138.6 and 138.7, Labor Code; and Section 1798.24, Civil Code. 
HISTORY

1. New section filed 10-6-99; operative 11-5-99 (Register 99, No. 41).
2. Amendment filed 3-22-2006; operative 4-21-2006 (Register 2006, No. 12).
§9704. WCIS Advisory Committee.
Note     •     History

(a) The Administrative Director shall maintain a Workers' Compensation Information System Advisory Committee, which shall include, but not be limited to, representatives of claims administrators (including self-insured employers, insurers, and third party administrators), insured employers, organized labor, attorneys, physicians as defined in Labor Code § 3209.3, vocational rehabilitation counselors, academic researchers, the Department of Insurance statistical agent, and appropriate legislative committees and state agencies with jurisdiction over workers' compensation, occupational health, and related areas, including the Commission on Health and Safety and Workers' Compensation and the Employment Development Department. 
(b) The advisory committee shall meet at least annually on the call of the Administrative Director, and may provide advice on all aspects of WCIS. The Administrative Director, or his or her designee, shall present to the advisory committee any plan to collect survey data, including any expanded collection of the data elements specified in subdivision (d) of section 9702. 
NOTE

Authority cited: Sections 133 and 138.6, Labor Code. Reference: Sections 138.6 and 138.7, Labor Code.
HISTORY

1. New section filed 10-6-99; operative 11-5-99 (Register 99, No. 41).
§9708.1. Definitions.
Note     •     History

(a) Auxiliary aids: services or devices that enable persons with impaired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities.
(b) Braille: written text for use by the blind. 
(c) Computer-Aided Realtime Translation (CART): a form of captioning in which spoken words are translated onto a computer screen as the words are spoken.
(d) Disability: any mental or physical disability or medical condition as defined in California Government Code section 12926 et seq., California Civil Code section 51 et seq., the Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.), or other applicable state and federal law.
(e) Disability Accommodation: actions that result in services, programs or activities being readily accessible to and useable by an individual with a disability. Reasonable disability accommodations that may be provided include physical equipment such as wheelchair ramps or other accommodations for physical access and the use of auxiliary aids and services, such as, but not limited to, assistive listening devices, texts in Braille or large print, audio recordings, or Computer Aided Realtime Translation (CART) reporters. Reasonable disability accommodations may also include reasonable modification of policies and procedures.
(f) Disability Accommodation Request: a written or oral request for an accommodation that is needed for a disability.
(g) Disability Coordinator: An individual who handles disability accommodation issues for the public on behalf of the Division of Workers' Compensation. 
(h) Division of Workers' Compensation (“Division”): The Division of the Department of Industrial Relations overseeing the state's workers' compensation system. The Division includes its headquarters, administrative offices, the district offices servicing workers' compensation cases and includes other offices and locations used by the Division when conducting business, including but not limited to, the holding of public hearings. 
(i) Individual with a Disability: an individual seeking to access or participate in the Division's services, programs or activities who has a physical or mental impairment that limits one or more major life activities, or has a record of such impairment, or is regarded as having such an impairment, as covered by California Government Code section 12926 et seq., California Civil Code section 51 et seq., the Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.), or other applicable state and federal law. 
(j) Requestor: a member of the public, a representative, relative or friend of a member of the public, or any other participant who requests disability accommodation on behalf of himself, herself, or another individual with a disability to use or participate in a program, activity or service of the Division.
(k) Statewide Disability Coordinator: The individual who handles disability accommodation issues for the public statewide on behalf of the Division of Workers' Compensation. 
NOTE

Authority: Sections 111(a), 133, 138.2 and 5307.3, Labor Code; and Section 11138 Government Code. Reference: Sections 51, 54, 54.1 and 54.8, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12102, 12111, 12112, 12113, 12131 and 12132.
HISTORY

1. New article 1.3 (sections 9708.1-9708.6) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§9708.2. Disability Accommodations Request Process.
Note     •     History

(a) The Division will provide reasonable accommodations to individuals with disabilities to promote equal access to and equal participation in the Division's programs, activities and services. 
(b) A request for a disability accommodation to participate in the Division's programs, activities, or services may be made in writing on an optional disability accommodation request form, or orally to a Disability Coordinator. If the request concerns activities, programs or services provided at a Division district office, then the request should be directed to the Disability Coordinator located in each district office. If the request concerns other Division activities, programs or services, then the request should be directed to the Division's Statewide Disability Coordinator. 
(c) Written notice of how to request a disability accommodation shall be posted and made available to the public.
(d) Disability accommodation requests shall include a statement regarding the limitation or impairment necessitating the accommodation; what accommodation is requested; how the requested accommodation would mitigate the impact of the disability or impairment in accessing the program; and the location, date and time the accommodation is needed.
(e) Disability accommodation requests shall not address substantive issues involved in a legal proceeding. 
(f) Additional information, including medical documentation, may be requested by the Division as support for the accommodation request. 
(g) In general, requests should be made with as much notice as possible. If the request is made less than five days before the date it is needed, the Division will provide a reasonable accommodation by that date unless it is unreasonable to do so. 
(h) Upon submitting a request, the requestor must enter an interactive process to assist in determining what, if any, reasonable accommodation may be provided. The interactive process includes providing additional information and timely correspondence with the Division as needed to address the accommodation request. 
NOTE

Authority: Sections 111(a), 133 and 5307.3, Labor Code; and Section 11138, Government Code. Reference: Section 11138, Government Code; Sections 51, 54, 54.1, 54.8, 4450, 4451 and 4452, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12101, 12102, 12111, 12112, 12113, 12131, 12132 and 12133.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§9708.3. Confidentiality.
Note     •     History

Information concerning a disability accommodation request will be kept confidential to the extent possible, unless confidentiality is waived by the individual with a disability or disclosure is required by law. Confidential information may be disclosed to other Division staff involved in the accommodation process to the extent necessary. 
NOTE

Authority: Sections 111(a), 133 and 5307.3, Labor Code; and Section 11138, Government Code. Reference: Section 123.6(a), Labor Code; Sections 51, 54 and 54.1, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12101, 12112 and 12132.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§9708.4. Disability Accommodation Requests in Division of Workers' Compensation Hearings.
Note     •     History

(a) Disability accommodations requests are considered to be non-substantive requests that are separate from the merits of a legal case. 
(b) Disability accommodation requests should be raised with and handled by a Disability Coordinator. If an immediate need for a disability accommodation arises during the course of a hearing and is more expeditiously handled by the hearing officer or the workers' compensation administrative law judge, the request for an accommodation may be made directly to the hearing officer or the workers' compensation administrative law judge.
(c) Disability accommodation requests are permitted communications. Only impermissible ex parte communications shall be disclosed to the other parties.
NOTE

Authority: Sections 111(a), 133 and 5307.3, Labor Code; and Section 11138, Government Code. Reference: Section 123.6(a), Labor Code; Sections 51, 54 and 54.1, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12101 and 12132.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§9708.5. Decision-Making Process.
Note     •     History

(a) Each disability accommodation request shall be considered on a case-by-case basis. 
(b) In determining whether to grant a request for disability accommodation and what disability accommodation may be provided, the Division shall consider, California Civil Code section 51 et seq., the provisions of the Americans with Disabilities Act of 1990, and other applicable state and federal laws.
(c) For each disability accommodation request, the Division shall, either: 
(1) Issue a decision to provide the requested disability accommodation in whole or in part, or to provide a reasonable alternative accommodation; or 
(2) Issue a decision denying the request for a disability accommodation.
(d) The Division will make a decision on an accommodation request before the date the requested accommodation is needed. 
(e) If the Division is informed that the provided accommodation is not effective, the Division will seek to provide an effective alternative reasonable accommodation. 
(f) Unless otherwise specified, the disability accommodation is provided only for the specific appearance or proceeding for which the accommodation was requested. 
(g) A request for a disability accommodation may be denied if it is determined that: 
(1) The individual who would receive the disability accommodation is not legally entitled to a disability accommodation; or
(2) The requestor has failed to satisfy the requirements for requesting a disability accommodation, including failing to engage in a good faith interactive process; or 
(3) The requested disability accommodation would create an undue financial and administrative burden; or
(4) The requested disability accommodation would fundamentally alter the nature of the service, program, or activity provided by the Division; or
(5) The requested disability accommodation is unreasonable, including requesting an accommodation that is not within the Division's jurisdiction to grant under the law.
(h) The decision to deny a disability accommodation shall be issued by the Administrative Director or the designee of the Administrative Director. 
(i) A denial of a disability accommodation shall be in writing and shall set forth the reasons for denial and sent to the requestor. A Disability Coordinator may also verbally inform the requestor of the denial. 
(j) If the Division denies a requested disability accommodation, the Division shall seek to provide a reasonable alternative disability accommodation, unless a reasonable accommodation is not available or any provision under subdivision (g) of this section is met. 
NOTE

Authority: Sections 111(a), 133 and 5307.3, Labor Code; and Section 11138, Government Code. Reference: Sections 51, 54 and 54.1, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12101, 12102, 12111, 12113, 12131, 12132 and 12133.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§9708.6. Appeal Procedure.
Note     •     History

(a) A requestor may seek review of an accommodation decision within 15 calendar days of the date the accommodation decision is received. 
(b) A requestor seeking review of an accommodation decision shall submit a request to the Division's Statewide Disability Coordinator setting forth the disability accommodation requested, the accommodation decision to be reviewed, and the reasons for review, with any relevant documentation provided. 
(c) The Division's Administrative Director or a designee shall issue a decision within 30 calendar days from the date the request for review is received. 
(d) If circumstances require a more expedited review, a request to expedite the review process shall be submitted to the Division's Statewide Disability Coordinator along with the appeal requirements under section (b) within five calendar days of the date the accommodation decision was received and before any pending proceeding is scheduled for which the accommodation is requested. The request shall include a detailed explanation of the justification for an expedited review, the time frame requested, and the reasons for the appeal, with any relevant documentation provided. The Division will address the appeal and issue a decision no later than 15 calendar days from the date the requested for expedited review was received. 
NOTE

Authority: Sections 111(a), 133 and 5307.3, Labor Code; and Section 11138, Government Code. Reference: Sections 51, 54 and 54.1, Civil Code; Sections 11135 and 11351(c), Government Code; and 42 USC Sections 12101, 12132 and 12133.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 1.5. Receipt of Salary by Workers' Compensation Administrative Law Judge
§9710. Authority.
Note     •     History

The rules and regulations contained in Article 1.5 are adopted pursuant to the authority contained in Sections 123, 123.5(a) and 133 of the California Labor Code.
NOTE

Authority cited: Sections 123, 123.5(a) and 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. New Article 1.5 (Sections 9710-9715) filed 1-16-81; effective thirtieth day thereafter (Register 81, No. 3).
2. Amendment of article heading, section and Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
§9711. Operative Date.
Note     •     History

The provisions of this Article shall first apply to cases submitted after January 1, 1981, and the affidavit shall first be required for the April 1981 pay period. For the purposes of this Article, all cases submitted prior to January 1, 1981 shall be deemed to have been submitted on January 2, 1981.
NOTE

Authority cited: Sections 123, 123.5(a) and 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. New Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
§9712. Definitions.
Note     •     History

For the purposes of this Article and Section 123.5(a) of the Labor Code, the following definitions shall apply:
(a) “Salary” shall include ordinary pay, but shall not include sick leave pay, industrial disability leave or non-industrial disability insurance substantiated by a physician's report.
(b) “Cause” shall mean a cause of action arising out of the substantive rights, liabilities and duties provided for in Sections 132(a) and 139.5, and in Divisions 4 and 4.5 of the Labor Code which is pending before a Workers' Compensation Administrative Law Judge for decision. “Cause” shall not include Compromise and Release agreements, Stipulations with Request for Award, or petitions and motions which have been filed ex parte and are not part of a submission ordered by a Workers' Compensation Administrative Law Judge.
(c) “Pending and Undetermined” means that the Workers' Compensation Administrative Law Judge's decision has not been filed in the record.
(d) “Submitted” means the closing of the record for the receipt of further evidence or argument.
NOTE

Authority cited: Sections 123, 123.5(a) and 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. Amendment of section and new Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
§9713. Receipt of Salary.
Note     •     History

A Workers' Compensation Administrative Law Judge may not receive his or her salary while any cause before the Workers' Compensation Administrative Law Judge remains pending and undetermined for ninety (90) days after it has been submitted for decision.
NOTE

Authority cited: Sections 123, 123.5(a) and 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. Amendment of section and new Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
§9714. Procedures for Compliance with Labor Code Section 123.5(a).
Note     •     History

(a) In order to receive his or her salary for each pay period, at some time before 5:00 p.m. on the last working day of each State payroll period, the Workers' Compensation Administrative Law Judge shall submit to the Division of Workers' Compensation an affidavit based upon information and belief in the form prescribed by Section 9714.5, and executed under penalty of perjury, declaring that no cause submitted before him or her remains pending and undetermined for a period of ninety (90) days or more.
(b) When a Workers' Compensation Administrative Law Judge who receives salary by automatic direct deposit does not timely submit the affidavit required by subsection (a), he or she shall, before 5:00 p.m. on the next working day following the direct deposit of salary into his or her account, deliver to the Presiding Workers' Compensation Administrative Law Judge of the district office to which the judge is assigned a money order or cashier's check for the amount of salary automatically deposited.
NOTE

Authority cited: Section 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. Amendment of section heading and section and new Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
2. Amendment of subsection (a) and Note filed 5-23-2001; operative 6-22-2001 (Register 2001, No. 21).
§9714.5. Affidavit.
Note     •     History

Department of Industrial Relations
Division of Workers' Compensation
Workers' Compensation Appeals Board

AFFIDAVIT

(Labor Code Section 123.5(a))

View Graphic
NOTE

Authority cited: Section 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. Amendment filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
2. Amendment of section and new Note filed 5-23-2001; operative 6-22-2001 (Register 2001, No. 21).
§9715. Procedures for Submitting a Cause for Decision.
Note     •     History

Minutes of Hearing must be prepared at the conclusion of each hearing and filed in the record. Workers' Compensation Administrative Law Judges are to follow the provisions of Rules of Practice and Procedure Section 10566. Each set of minutes must include a disposition which includes the time and action, if any, required for submissions.
Thereafter, any change in or modification of the disposition must be served on all parties forthwith, together with the statement of the reasons for the change of disposition.
A hearing has not been concluded if the disposition includes an order taking off calendar or an order of continuance for further hearing with or without notice. Continuances and further hearings are governed by Rules of Practice and Procedure Sections 10548 and 10560.
NOTE

Authority cited: Sections 123, 123.5(a) and 133, Labor Code. Reference: Sections 123.5(a) and 5313, Labor Code.
HISTORY

1. Amendment of first paragraph and new Note filed 1-12-99; operative 2-11-99 (Register 99, No. 3).
Article 1.6. Ethical Standards of Workers' Compensation Administrative Law Judges; Enforcement of Standards
§9720.1. Authority.
Note     •     History

The rules and regulations contained in Article 1.6 are adopted pursuant to the authority contained in Sections 123.6, 133, and 5307.3 of the Labor Code. This article is designed to enforce the highest ethical standards among workers' compensation administrative law judges and to provide all parties with an independent, impartial investigation into allegations of ethics violations by workers' compensation administrative law judges. 
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New article 1.6 and section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment of article heading and section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9720.2. Definitions.
Note     •     History

For purposes of this Article and Section 123.6 of the Labor Code, the following definitions shall apply:
(a) “Code of Judicial Ethics” shall mean the Code of Judicial Ethics adopted by the Supreme Court pursuant to subdivision (m) of Section 18 of Article VI of the California Constitution and any subsequent revision thereof.
(b) “Committee” shall mean the Workers' Compensation Ethics Advisory Committee specified in Section 9722 of these regulations.
(c) “Complaint” shall mean a statement alleging facts that, if true, might constitute an ethics violation. 
(d) “Ethics violation” shall mean any conduct of a workers' compensation administrative law judge that is contrary to the Code of Judicial Ethics or to the other rules of conduct that apply to workers' compensation administrative law judges. 
(e) “Financial interest” shall mean a legal or equitable interest of either more than one per cent (1%) or a fair market value in excess of two thousand dollars ($2,000). Ownership in a mutual fund or other common investment fund that holds securities is not a “financial interest” in those securities unless the judge participates in the management of the fund.
(f) “Gift” means any payment or furnishing of value to the extent that consideration of equal or greater value is not given and includes a rebate or discount in the price of anything of value unless the rebate or discount is made in the regular course of business to members of the public without regard to official status. Any person who claims that a payment is not a gift by reason of the giving of consideration has the burden of proving that the consideration received is of equal or greater value. The term “gift” does not include:
(1) Informational material such as books, reports, pamphlets, calendars, periodicals, cassettes and discs, or free or reduced-price admission, tuition, or registration, for informational conferences or seminars. No payment for travel or reimbursement for any expenses shall be deemed “informational material.” 
(2) Gifts which are not used and which, within 30 days after receipt, are returned to the donor or delivered to a charitable organization without being claimed as a charitable contribution for tax purposes.
(3) Gifts from a judge's spouse, fiancée, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of any such person; provided that a gift from any such person shall be considered a gift if the donor is acting as an agent or intermediary for any person not covered by this paragraph.
(4) Campaign contributions required to be reported under Chapter 4 (commencing with Section 84100) of Title 9 of the Government Code. 
(5) Gifts of comestible items of nominal value that are not directed to a particular judge, such as holiday baskets of candy or fruit delivered to a District office of the Division, and placed in public areas for consumption by members of the public.
(6) Any devise, inheritance, or other transfer to the judge occurring as a result of death or distribution from an irrevocable trust.
(7) Personalized plaques and trophies with an individual value of less than the amount specified from time to time in Government Code §82028 (which at the time of this amendment is two hundred fifty dollars ($ 250). 
(8) Admission to events and refreshments and similar non-cash nominal benefits provided to a judge during the entire event at which the judge gives a speech, participates in a panel or seminar, or provides a similar service, and payments, advances, or reimbursements for actual transportation and any reasonably necessary lodging and subsistence provided directly in connection with the speech, panel, seminar, or service, provided that the lodging and subsistence expenses are limited to the day immediately preceding, the day of, and the day immediately following the speech, panel participation or seminar, and the travel is within the United States.
(9) Complimentary admission to events and refreshments and similar non-cash nominal benefits, at legal educational events at which the judge is not a speaker or participant in a panel, if:
A. the educational event is open to the public who wish to purchase admission;
B. continuing legal education credits are available for attorneys who attend; and
C. the free admission is offered to all workers' compensation administrative law judges;
“Complimentary admission to events”does not include admission to non-educational functions, such as golf tournaments, excursions, picnics, and dances. “Refreshments” does not include meals other than meals served contemporaneously with an educational presentation, and is limited to those refreshments offered to all who pay admission to the event.
(g) “Honorarium” shall mean any payment made in consideration for any speech given, article published, or attendance at any public or private conference, convention, meeting, social event, meal, or like gathering.
(1) “Honorarium” does not include earned income for personal services which are customarily provided in connection with the practice of a bona fide business, trade, or profession, such as teaching or writing for a publisher.
(2) For purposes of this article, “teaching” includes presentations to impart educational information to students in bona fide educational institutions, to associations or groups of judges, and to presentations of the State Bar of California or a section of the State Bar of California. An individual is presumed to be engaged in the bona fide profession of teaching in any of the following circumstances: 
(A) The individual receives payment for teaching students at a bona fide educational institution. 
(B) The individual receives payment for teaching students enrolled in an examination preparation program, such as a bar examination review course. 
(C) The individual receives payment for teaching or making a presentation or participating in a panel presentation at an educational program offered by an association or group of judges, or at an educational program of the State Bar of California or of a section of the State Bar of California. 
(h) “Judge” shall mean a worker's compensation administrative law judge and presiding workers' compensation administrative law judge employed by the Administrative Director and supervised by the Court Administrator pursuant to Section 123.5 of the Labor Code. The term shall also include Vocational Rehabilitation Consultants, Regional Managers (Associate Chief Judges) the Chief Judge, the Court Administrator, the Administrative Director, pro tem administrative law judges, and the Administrative Director's designees, but only while they are exercising judicial or quasi-judicial powers. The term does not include Information and Assistance Officers, Workers' Compensation Compliance Officers (Auditors), nor Disability Evaluation Specialists. 
(i) “Previously earned compensation” shall mean legal fees and other compensation to which a workers' compensation administrative law judge may be entitled arising out of the practice of law, engaged in before the judge was appointed to be a judge. Previously earned compensation includes compensation to which the judge was contingently entitled as of the time of appointment, but which became fixed in amount after appointment.
(j) “Spouse” shall include “domestic partner”. 
(k) “Third degree of relationship” shall mean the following persons: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew, and niece.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.1. Code of Judicial Ethics.
Note     •     History

Every workers' compensation administrative law judge shall abide by the Code of Judicial Ethics.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment of section heading and section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.2. Gifts, Honoraria and Travel.
Note     •     History

(a) No workers' compensation administrative law judge shall accept any gift or favor, the acceptance of which is prohibited by the Code of Judicial Ethics, or the transmission of which is prohibited by the Rules of Professional Conduct of the State Bar of California.
(b) No workers' compensation administrative law judge shall accept gifts from any single source in any calendar year with a total value of more than the greater of three hundred ninety dollars ($390) and the amount specified for that year in regulations of the Fair Political Practices Commission interpreting Government Code §89503 (currently Title 2, Regulation §18940.2). This section shall not be construed to authorize the receipt of gifts that would otherwise be prohibited by the Code of Judicial Ethics, Government Code section 19990, the Political Reform Act of 1974 and any amendment thereto, the Rules of Professional Conduct of the State Bar of California, or any other provision of law. 
(c) The limitation of subdivision (b) shall not apply to or limit the following:
(1) Payments, advances, or reimbursements for travel and related lodging and subsistence described in subdivision (d).
(2) Wedding gifts and gifts exchanged between individuals on birthdays, holidays and other similar occasions, provided that the gifts exchanged are not substantially disproportionate in value.
(3) A gift from any person whose pre-existing relationship with a judge would disqualify the judge under the Code of Judicial Ethics from hearing a case involving that person. 
(d) Payments, advances, or reimbursements, for travel, including actual transportation and related lodging and subsistence which is reasonably related to a judicial or governmental purpose, or to an issue of state, national, or international public policy, are excluded from the limits prescribed by subdivision (b) if any of the following apply:
(1) The travel is provided by a government, a governmental agency or authority, a foreign government, a bona fide public or private educational institution, as defined in Section 203 of the Revenue and Taxation Code, a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, or by a person domiciled outside the United States who substantially satisfies the requirements for tax exempt status under Section 501(c)(3) of the Internal Revenue Code.
(2) The travel is provided by the California State Bar or a section of the California State Bar, a state bar association, or professional association of judges in connection with testimony before a governmental body or attendance at any professional function hosted by the bar, bar association or professional association of judges, and the lodging and subsistence expenses are limited to the day immediately preceding, the day of, and the day immediately following the professional function.
(e) Payments, advances, and reimbursements for travel not described in either subdivision (c) of this Section or subdivision (f)(8) of Section 9720.2 are subject to the limit in subdivision (b).
(f) No workers' compensation administrative law judge shall accept any honorarium unless allowed in writing by the Court Administrator, if either:
(1) the cost of the honorarium is significantly paid for by attorneys who practice before the Workers' Compensation Appeals Board; or
(2) the judge would be required to report the receipt of income or gifts from the source of payment for the honorarium on the judge's statement of economic interests
(g) This section does not apply to any honorarium that is not used and within 30 days after receipt, is either returned to the donor or delivered to the Controller for deposit in the General Fund without being claimed as a deduction from income for tax purposes.
(h) The Court Administrator shall enforce the prohibitions of this section. 
(i) Judges may not accept honoraria or travel allowed by the Court Administrator, and not otherwise prohibited by this section in connection with any public or private conference, convention, meeting, social event, or like gathering, the cost of which is significantly paid for by attorneys who practice before the board, unless the Court Administrator, or his or her designee, has provided prior approval in writing to the workers' compensation administrative law judge allowing him or her to accept the payments. This section shall not be construed to authorize the acceptance of an honorarium, as defined by Government Code section 89501, the acceptance of which is prohibited by Government Code section 89502. 
(j) Honoraria to give a speech, participate in a panel or seminar, or provide a similar service, are allowed within the meaning of Labor Code section 123.6 where the event is sponsored by one of the following:
A professional association of judges, the State Bar of California, a section of the State Bar of California, a government, a governmental agency or authority, a foreign government, a state, national or local bar association not comprised primarily of either defense or applicant workers' compensation attorneys, a foreign bar association, an international service organization, a bona fide public or private educational institution as defined in Section 203 of the Revenue and Taxation Code, a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, or by a person domiciled outside the United States who substantially satisfies the requirements for tax exempt status under Section 501(c)(3) of the Internal Revenue Code.
(k) Upon request to the Court Administrator by a judge, the Court Administrator may approve honoraria and travel reimbursement to give a speech, participate in a panel or seminar, or provide a similar service, where the event is sponsored by a person or entity not listed in subdivision (j) of this section.
(l) Payment, provision, or reimbursement for travel in connection with a judge's speech, participation in a panel or seminar, or provision of a similar service, if the event is sponsored by a professional association of judges, the State Bar of California, or a section of the State Bar of California, a government, a governmental agency or authority, a foreign government, a foreign bar association, a bona fide public or private educational institution as defined in Section 203 of the Revenue and Taxation Code, a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, or by a person domiciled outside the United States who substantially satisfies the requirements for tax exempt status under Section 501(c)(3) of the Internal Revenue Code, is allowed within the meaning of Labor Code section 123.6 for actual transportation and any reasonably necessary lodging and subsistence provided directly in connection with the speech, panel, seminar, or service, provided that the lodging and subsistence expenses are limited to the day immediately preceding, the day of, and the day immediately following the speech, panel participation or seminar, and the travel is within the United States.
(m) Payment, provision, or reimbursement for a judge's travel, including actual transportation and related lodging and subsistence, that is reasonably related to a legislative or governmental purpose, or to an issue of state, national, or international public policy, that is provided by a government, a governmental agency or authority, a foreign government, a bona fide public or private educational institution as defined in Section 203 of the Revenue and Taxation Code, a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, or by a person domiciled outside the United States who substantially satisfies the requirements for tax exempt status under Section 501(c)(3) of the Internal Revenue Code, is allowed within the meaning of Labor Code section 123.6, and may also be accepted when prior approval of the Court Administrator is not required.
(n) Upon approval by the Court Administrator, payment, provision, or reimbursement for a judge's travel in connection with a speech, participation in a panel or seminar, or provision of a similar service, if the event is sponsored by, or if the payment or reimbursement is to be made by, an association or group of attorneys who practice before the appeals board, will be allowed for the following:
Refreshments and similar non-cash nominal benefits provided to a judge during the entire event at which the judge gives a speech, participates in a panel or seminar, or provides a similar service, actual transportation and any reasonably necessary lodging and subsistence provided directly in connection with the speech, panel, seminar, or service. Reasonably necessary subsistence is limited to meals and beverages served contemporaneously with a breakfast, dinner, or luncheon speech, panel participation or seminar, and to meals consumed while traveling to or from the activity, limited to the days of necessary travel.
(o) When prior approval of the Court Administrator is not required, payment or reimbursement for travel in connection with a speech, participation in a panel or seminar, or provision of a similar service, if the event is sponsored by a professional association of judges, the State Bar of California, or a section of the State Bar of California, a government, a governmental agency or authority, a foreign government, a foreign bar association, an international service organization, a bona fide public or private educational institution as defined in Section 203 of the Revenue and Taxation Code, a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, or by a person domiciled outside the United States who substantially satisfies the requirements for tax exempt status under Section 501(c)(3) of the Internal Revenue Code, may be accepted for actual transportation and any reasonably necessary lodging and subsistence provided directly in connection with the speech, panel, seminar, or service, provided that the lodging and subsistence expenses are limited to the day immediately preceding, the day of, and the day immediately following the speech, panel participation or seminar, and the travel is within the United States.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.11. Requirement for Disclosure.
Note     •     History

A judge shall disclose to all parties or attorneys in a case, at the time the judge first becomes aware of the existence of the facts, any and all of the following:
(a) That the judge served as a lawyer for a party at any time within the three years before being assigned to the case. “Serving as a lawyer” includes having interviewed a prospective client and learned confidential information, although the judge did not become a lawyer for the prospective client. A judge shall use the resources reasonably available to the judge to ascertain the identity of the judge's former clients.
(b) That the judge provided legal advice on the specific issue presently at bar to a party involved in the instant action or proceeding.
(c) That within the past two years, a party, officer, director, or trustee of a party was a client of the judge or of a lawyer with whom the judge was associated in private practice, as an employee or on a contract basis.
(d) That a lawyer, associate of the lawyer in private practice, or spouse of a lawyer in the proceeding is a spouse, former spouse, child, sibling, or parent of the judge or of the judge's spouse.
(e) That the judge has, as a lawyer or public official, participated in the drafting of enacted laws or actively participated in the effort to pass or defeat laws, the meaning, effect, or application of which is in issue in the proceeding. “Actively participated” means the judge has engaged in lobbying, or made other substantial efforts to change law. Mere membership in an organization which advocates or has advocated change in law does not constitute active participation.
(f) Any information that the workers' compensation administrative law judge believes would be relevant to the issue of disqualification, such that a person aware of the facts might reasonably entertain a doubt as to the workers' compensation administrative law judge's ability to be impartial.
(g) Any situation known to the judge, disclosure of which is required by the Code of Judicial Ethics.
(h) That the judge has a disputed workers' compensation claim against a party.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.12. Disqualification.
Note     •     History

(a) A judge is disqualified in a workers' compensation case if any of the following is true:
(1) The judge has personal knowledge of disputed evidentiary facts.
(2) The judge served as lawyer for a party in the past two years.
(3) The judge has actual bias in favor of or against any party and the judge has substantial doubt as to his or her capacity to be impartial. 
(4) Because of physical impairment, the judge is unable to perceive evidence or properly conduct proceedings.
(5) Within the past two years, the judge served as a lawyer for an officer, director, trustee of a party.
(6) Within the past two years, the judge was associated in private practice, as an employee or on a contract basis, with a lawyer in the proceedings. 
(7) The judge, the judge's spouse, or minor child of the judge, personally or as a fiduciary, has a financial interest in the subject matter in a proceeding or in a party to the proceeding, or has a relationship of director, advisor, or active participant to a party to the proceeding.
(8) The judge, the judge's spouse, a relative of either within the third degree of relationship, or spouse of such relative, is likely to be a material witness.
(9) A party to the action before the judge, or the party's spouse, is related within the third degree of relationship to either the judge or to the judge's spouse. 
(10) The judge believes that recusal would further the interests of justice or believes there is a substantial doubt as to his or her capacity to be impartial. 
(11) The judge has actual bias against or in favor of an attorney for a party and the judge has a substantial doubt as to his or her capacity to be impartial. A judge is not disqualified as to other members or associates in a law firm, or as to the law firm itself, solely because of actual bias against or in favor of individual attorneys in or associated with the firm. Actual bias in favor of or against an attorney does not in itself create the appearance of bias as to a law firm of which the attorney is a member or associate. A doubt of a person aware of the facts that a judge could be impartial towards a law firm or other members or associates of a law firm, based only on knowledge of a judge's bias in favor of or against an individual attorney or attorneys, is not a doubt which is reasonably entertained. If the workers' compensation appeals board, on a petition for disqualification alleging bias against or in favor of an attorney, determines that a judge is disqualified because of the appearance of bias or because a person aware of the facts might reasonably entertain a doubt that the judge could be impartial, it shall not be presumed, as to a law firm of which the attorney is a member or associate, or as to other members or associates of the law firm: 
A. that there is the appearance of bias; or 
B. that a person aware of the facts might reasonably entertain a doubt that the judge could be impartial.
(b) The parties may waive the disqualification of a judge after written disclosure of the facts constituting a ground of disqualification. A judge who believes he or she is disqualified shall recuse or shall state in writing the basis of disqualification. All waivers shall be in writing and shall be made part of the file, or shall be made on the record. The judge may ask the parties and their attorneys whether they wish to waive the disqualification. The judge may not request the parties or attorneys to waive the disqualification The parties and any attorney for the employee shall execute any waiver. An attorney for a party other than the employee may execute the waiver on behalf of the attorney's clients. Such a waiver shall state that the attorney has advised the client of the disqualification information, and that the client has agreed to waive the disqualification. 
(c) Disqualification for the following circumstances cannot be waived:
(1) The judge, the judge's spouse, a relative of either within the third degree of relationship, or spouse of such relative, is likely to be a material witness
(2) The judge served as a lawyer in the case.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.13. What Are Not Grounds for Disqualification.
Note     •     History

The following factors do not in themselves disqualify a judge:
(a) That the judge is or is not a member of a racial, ethnic, religious, gender, or sexual orientation classification, and the proceedings involve the rights of a person of the same classification.
(b) That the judge has, in any capacity, expressed a view on a legal or factual issue presented in the proceeding, except if the judge has formed or expressed an unqualified opinion or belief as to the merits of the particular action before the judge. 
(c) That the judge has a policy of insurance with an insurance company that is a party or is a carrier of a party in the proceeding, unless the judge also has a pending claim or dispute with the insurance company.
(d) That the judge has a currently disputed or recently finalized workers' compensation claim against a party.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.14. Manner of Disclosure.
Note     •     History

(a) Facts or circumstances which are required to be disclosed pursuant to §9721.11 or §9721.12, except for those which must be disclosed pursuant to subdivision (a) of §9721.11, shall be disclosed on the record.
(b) Facts or circumstances which are required to be disclosed pursuant to subdivision (a) of §9721.11 may be disclosed by the judge by providing a list of former clients. The posting in the courtroom of a list of the judge's former clients will satisfy this requirement as to former clients who were not employee workers' compensation claimants. A judge shall not post a list of former clients who were employee workers' compensation claimants, but shall make a list available to the parties in a case, and shall disclose the availability of the list. 
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.21. Restriction on Investments.
Note     •     History

(a) A workers' compensation administrative law judge may not have an ownership interest in, either in his individual capacity or as a fiduciary, and may not purchase an interest in, an insurance carrier which either writes policies of workers' compensation insurance to employers in the state of California or is authorized to write policies of workers' compensation insurance to employers in the state of California.
(b) A workers' compensation administrative law judge who, as of the date this regulation becomes effective, has an interest in an insurance company described in subdivision (a), shall dispose of the interest or terminate the fiduciary relationship within one year of the date this regulation becomes effective. 
(c) A workers' compensation administrative law judge who acquires an interest in an insurance company described in subdivision (a) through gift, inheritance or devise, or by becoming a fiduciary for a person, estate, or trust which has an interest in such an insurance company, shall dispose of the acquired interest or terminate the fiduciary relationship within one year.
(d) Upon application by a workers' compensation administrative law judge who acquired an interest in an insurance company described in subdivision (a) through gift, inheritance or devise, or by becoming a fiduciary for a person, estate, or trust which has an interest in such an insurance company, and upon the showing of hardship to the judge or to the person, trust, or estate for whom the judge is serving as fiduciary, the Administrative Director may grant an extension of time to dispose of the acquired interest or to terminate the fiduciary relationship or may grant an exemption if the value of the interest is de minimus. 
(e) The obligation of a workers' compensation administrative law judge under the California Code of Judicial Ethics to “manage personal investments and financial activities so as to minimize the necessity for disqualification” includes the obligation not to acquire or hold investments in self-insured employers who are reasonably likely to be defendant employers in cases at the district office where the judge is usually employed.
(f) An ownership interest in a corporation which owns, wholly or in part, an insurance carrier which either writes policies of workers' compensation insurance to employers in the state of California or is authorized to write policies of workers' compensation insurance to employers in the state of California, is not an ownership interest in that insurance carrier. This subdivision shall not affect a judge's disqualification or obligation to disclose.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.31. Financial Interests in Educational Programs.
Note     •     History

(a) A workers' compensation administrative law judge may not have an ownership interest in, nor may the workers' compensation administrative law judge receive a percentage of revenue or any other contingent economic interest relating to, educational programs servicing the workers' compensation community. 
(b) As used in this section, “percentage of revenues or any other contingent financial interest” does not include:
(1) Usual and customary royalties or residuals paid by commercial publishers in the normal course of business, provided that the publisher does not appear before the workers' compensation administrative law judge in question.
(2) Usual and customary royalties or residuals earned by a workers' compensation administrative law judge who self-publishes or owns the company that publishes his or her work, provided that the book is not available for purchase or delivery at any office of the Division of Workers' Compensation and is not sold or distributed by any Division of Workers' Compensation employee on behalf of the workers' administrative law judge. Any workers' compensation administrative law judge who self-publishes or owns the company that publishes his or her work has the responsibility to submit to the Court Administrator, or his or her designee, for approval a proposed plan that complies with this subdivision. If there is no Court Administrator, then the workers' compensation administrative law judge shall submit the proposed plan to the Administrative Director.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.32. Duty to Report Ethics Violations.
Note     •     History

When circumstances warrant, a workers' compensation administrative law judge shall take or initiate appropriate corrective action, which may include reporting to the appropriate authority, in respect to a workers' compensation administrative law judge, lawyer, party, or other person who engages in unprofessional, fraudulent or other improper conduct of which the workers' compensation administrative law judge becomes aware through personal knowledge or based upon information the judge reasonably believes to be competent and reliable. 
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment of section heading and section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9721.33. Previously Earned Compensation.
Note     •     History

A Workers' Compensation Administrative Law Judge may receive previously earned compensation. 
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9722. The Workers' Compensation Ethics Advisory Committee.
Note     •     History

(a) There shall be a Workers' Compensation Ethics Advisory Committee consisting of nine members appointed by the Administrative Director or by his/her designee:
(1) a member of the public representing organized labor,
(2) a member of the public representing insurers,
(3) a member of the public representing self-insured employers,
(4) an attorney who formerly practiced before the Workers' Compensation Appeals Board and who usually represented insurers or employers, 
(5) an attorney who formerly practiced before the Workers' Compensation Appeals Board and who usually represented applicants,
(6) a presiding workers' compensation administrative law judge, 
(7) a workers' compensation administrative law judge or retired workers' compensation administrative law judge, 
(8) and (9) two members of the public outside the workers' compensation community.
Members shall serve for a term of four years. However, to create staggered terms, the first term of members in odd-numbered categories above shall be two years. The Administrative Director shall designate a chairperson.
(b) The Committee shall meet as necessary to carry out its responsibilities under this article. State employees shall meet on state time and at state expense.
(c) The Committee may do the following:
(1) Receive complaints made against workers' compensation administrative law judges, 
(2) Forward those complaints to the Administrative Director or Court Administrator with a recommendation to investigate or not to investigate,
(3) Monitor the outcome of complaints, and
(4) Make reports and recommendations to the Administrative Director, the Court Administrator, the legislature and the public concerning the integrity of the workers' compensation adjudicatory process. The Committee shall make a public report on or before April 15 or each year, summarizing the activities of the Committee in the previous calendar year. The report shall not contain personally identifiable information concerning complainants or workers' compensation administrative law judges, unless the information is already public.
(d) The Administrative Director shall make staff available to the Committee to assist it in carrying out its functions.
(e) The Committee may receive information that is not available to the public. The Committee shall hold such information strictly confidential from public disclosure. However, this rule of confidentiality shall not prevent the Administrative Director or Court Administrator from disclosing information to the workers' compensation administrative law judge, if the workers' compensation administrative law judge is otherwise entitled to the information.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9722.1. Commencing an Investigation.
Note     •     History

(a) Any person may file a complaint concerning an ethics violation by a workers' compensation administrative law judge with the Committee. The Committee or the Administrative Director may require complaints to be filed in a particular form. Nothing in these regulations prohibits any person from complaining directly to a presiding workers' compensation administrative law judge, the Chief Judge, the Court Administrator or to the Administrative Director. The presiding workers' compensation administrative law judge, the Chief Judge, and Court Administrator or the Administrative Director may, but is not required to, refer such complaints to the Committee.
(b) The Committee shall review the complaint. The Committee may make inquiries to obtain information needed to clarify the complaint and/or to obtain additional information necessary to determine if the complaint might have merit. 
(c) If the Committee determines that the complaint does not allege facts that might constitute an ethics violation, or if the complaint is merely conjectural or conclusory, specious, obviously unfounded, or stale, or alleges only legal error by the workers' compensation administrative law judge, the Committee shall forward the complaint to the Administrative Director or Court Administrator with a recommendation not to proceed with the complaint.
(d) If the Committee determines that the complaint might have merit, the Committee shall refer the complaint to the Administrative Director or Court Administrator. Complaints against the Administrative Director or Court Administrator shall be referred to the Director of Industrial Relations.
(e) Except as otherwise provided in subdivision (c) of section 9722.2, reports and recommendations of the Committee regarding individual complaints shall remain confidential.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9722.2. Investigation and Action by the Administrative Director or Court Administrator.
Note     •     History

(a) Upon receiving a complaint from the Committee, the Administrative Director or Court Administrator shall investigate whether a workers' compensation administrative law judge has committed an ethics violation.
(b) If the Administrative Director or Court Administrator determines after investigation that misconduct has occurred, he or she shall take appropriate disciplinary or other action against the workers' compensation administrative law judge. The Administrative Director's or Court Administrator's action shall be in the form required by Government Code section 19574 or section 19590(b), or other applicable laws governing the ethics violation.
(c) The Administrative Director or Court Administrator shall provide the Committee with a copy of his or her decision and shall inform the complaining party whether an ethical violation occurred, and whether corrective action was taken. 
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment of section heading and section filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§9723. Miscellaneous Provisions.
Note     •     History

(a) This article does not replace or diminish the procedural rights of a workers' compensation administrative law judge under the State Civil Service Act. Documentation of unfounded or unsubstantiated complaints shall not be retained in the employee's personnel file.
(b) This article does not replace or diminish the authority of the Administrative Director or Court Administrator to investigate allegations of ethics violations, to impose appropriate discipline, or to take any other action authorized by law.
(c) Nothing in this article shall affect the rights and obligations of the Administrative Director or Court Administrator and workers' compensation administrative law judges concerning the probationary period under Government Code sections 19170 through 19180.
(d) Pursuant to Government Code section 19574.5, the Administrative Director or Court Administrator may place a workers' compensation administrative law judge on leave of absence pending investigation of the accusations listed in that section.
(e) A workers' compensation administrative law judge or other interested person may request the Administrative Director or Court Administrator to issue an advisory opinion on the application of the Code or other rules to a particular situation. The Administrative Director or Court Administrator may, in his or her sole discretion, issue an advisory opinion. The Administrative Director or Court Administrator may issue an advisory opinion on his or her own initiative.
NOTE

Authority cited: Sections 123.6, 133 and 5307.3, Labor Code. Reference: Sections 111 and 123.6, Labor Code.
HISTORY

1. New section filed 11-30-95; operative 12-1-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 48).
2. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
Article 2. Disabilities, Description of
§9725. Method of Measurement.
Note     •     History

The method of measuring physical elements of a disability should follow the Report of the Joint Committee of the California Medical Association and Industrial Accident Commission, as contained in “Evaluation of Industrial Disability” edited by Packard Thurber, Second Edition, Oxford University Press, New York, 1960. This section shall not apply to any permanent disability evaluations performed pursuant to the permanent disability rating schedule adopted on or after January 1, 2005. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New Subchapter (§§ 9725, 9727, 9732, 9735, 9738, 9739, 9742-9744, 9750, 9753, 9756-9760, 9770, 9773, 9775, 9778, 9784, 9787, 9790, 9796, 9799, 9802 and 9805) filed 4-18-66; effective thirtieth day thereafter (Register 65, No. 10).
2. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9726. Method of Measurement (Psychiatric).
Note     •     History

The method of measuring the psychiatric elements of a disability shall follow the Report of the Subcommittee on Permanent Psychiatric Disability to the Medical Advisory Committee of the California Division of Industrial Accidents, entitled “The Evaluation of Permanent Psychiatric Disability,” (hereinafter referred to as the “Psychiatric Protocols”) as adopted, forwarded for adoption on July 10, 1987, and subsequent amendments and/or revisions thereto adopted after a public hearing. This section shall not apply to any permanent disability evaluations performed pursuant to the permanent disability rating schedule adopted on or after January 1, 2005. 
Note: The Report (which contains these Protocols) of the Subcommittee on Permanent Psychiatric Disability, as adopted, does not appear as a printed part of the Administrative Director's Regulations (8 California Code of Regulations, Section 9726); copies will be available through the Medical Director of the Division of Industrial Accidents.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 8-24-87; operative 8-24-87 (Register 87, No. 36). This regulation was filed pursuant to Government Code Section 11351 and thus this filing is exempted from compliance with Article 5 (commencing with Section 11346), (except subdivision (e) of Section 11346.4), Article 6 (commencing with Section 11349), and Article 7 (commencing with Section 11350) of Chapter 3.5 of the Government Code. The provisions of Government Code Section 11343.6 are not applicable to this filing.
2. Amendment filed 6-30-88; operative 7-1-88 (Register 88, No. 28). The amendment was filed pursuant to Government Code Section 11351.
3. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9727. Subjective Disability.
Note     •     History

Subjective Disability should be identified by: 
1. A description of the activity which produces the disability.
2. The duration of the disability. 
3. The activities which are precluded and those which can be performed with the disability.
4. The means necessary for relief. The terms shown below are presumed to mean the following:
1. A severe pain would preclude the activity precipitating the pain.
2. A moderate pain could be tolerated, but would cause marked handicap in the performance of the activity precipitating the pain.
3. A slight pain could be tolerated, but would cause some handicap in the performance of the activity precipitating the pain. 
4. A minimal (mild) pain would constitute an annoyance, but causing no handicap in the performance of the particular activity, would be considered as nonratable permanent disability.
This section shall not apply to any permanent disability evaluations performed pursuant to the permanent disability rating schedule adopted on or after January 1, 2005. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4660, 4662, 4663 and 4664, Labor Code. 
HISTORY

1. New last paragraph and new Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
Article 3. Permanent Disability Ratings and Evaluations [Repealed]
HISTORY

1. Repealer of article 3 (sections 9732-9766, nonconsecutive) and section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
Article 3.5. Medical Provider Network
§9767.1. Medical Provider Networks -- Definitions.
Note     •     History

(a) As used in this article: 
(1) “Ancillary services” means any provision of medical services or goods as allowed in Labor Code section 4600 by a non-physician. 
(2) “Cessation of use” means the discontinued use of an implemented MPN that continues to do business.
(3) “Covered employee” means an employee or former employee whose employer has ongoing workers' compensation obligations and whose employer or employer's insurer has established a Medical Provider Network for the provision of medical treatment to injured employees unless: 
(A) the injured employee has properly designated a personal physician pursuant to Labor Code section 4600(d) by notice to the employer prior to the date of injury, or; 
(B) the injured employee's employment with the employer is covered by an agreement providing medical treatment for the injured employee and the agreement is validly established under Labor Code section 3201.5, 3201.7 and/or 3201.81. 
(4) “Division” means the Division of Workers' Compensation. 
(5) “Economic profiling” means any evaluation of a particular physician, provider, medical group, or individual practice association based in whole or in part on the economic costs or utilization of services associated with medical care provided or authorized by the physician, provider, medical group, or individual practice association. 
(6) “Emergency health care services” means health care services for a medical condition manifesting itself by acute symptoms of sufficient severity such that the absence of immediate medical attention could reasonably be expected to place the patient's health in serious jeopardy. 
(7) “Employer” means a self-insured employer, the Self-Insurer's Security Fund, a group of self-insured employers pursuant to Labor Code section 3700(b) and as defined by Title 8, California Code of Regulations, section 15201(s), a joint powers authority, or the state. 
(8) “Group Disability Insurance Policy” means an entity designated pursuant to Labor Code section 4616.7(c). 
(9) “Health Care Organization” means an entity designated pursuant to Labor Code section 4616.7(a). 
(10) “Health Care Service Plan” means an entity designated pursuant to Labor Code section 4616.7(b). 
(11) “Insurer” means an insurer admitted to transact workers' compensation insurance in the state of California, California Insurance Guarantee Association, or the State Compensation Insurance Fund. 
(12) “Medical Provider Network” (“MPN”) means any entity or group of providers approved as a Medical Provider Network by the Administrative Director pursuant to Labor Code sections 4616 to 4616.7 and this article. 
(13) “Medical Provider Network Plan” means an employer's or insurer's detailed description for a medical provider network contained in an application submitted to the Administrative Director by a MPN applicant. 
(14) “MPN Applicant” means an insurer or employer as defined in subdivisions (7) and (11) of this section. 
(15) “MPN Contact” means an individual(s) designated by the MPN Applicant in the employee notification who is responsible for answering employees' questions about the Medical Provider Network and is responsible for assisting the employee in arranging for an independent medical review.
(16) “Nonoccupational Medicine” means the diagnosis or treatment of any injury or disease not arising out of and in the course of employment. 
(17) “Occupational Medicine” means the diagnosis or treatment of any injury or disease arising out of and in the course of employment. 
(18) “Physician primarily engaged in treatment of nonoccupational injuries” means a provider who spends more than 50 percent of his/her practice time providing non-occupational medical services. 
(19) “Primary treating physician” means a primary treating physician within the medical provider network and as defined by section 9785(a)(1). 
(20) “Provider” means a physician as described in Labor Code section 3209.3 or other provider as described in Labor Code section 3209.5. 
(21) “Regional area listing” means either:
(A) a listing of all MPN providers within a 15-mile radius of an employee's worksite and/or residence; or
(B) a listing of all MPN providers in the county where the employee resides and/or works if
1. the employer or insurer cannot produce a provider listing based on a mile radius
2. or by choice of the employer or insurer, or upon request of the employee.
(C) If the listing described in either (A) or (B) does not provide a minimum of three physicians of each specialty, then the listing shall be expanded by adjacent counties or by 5-mile increments until the minimum number of physicians per specialty are met.
(22) “Residence” means the covered employee's primary residence. 
(23) “Second Opinion” means an opinion rendered by a medical provider network physician after an in person examination to address an employee's dispute over either the diagnosis or the treatment prescribed by the treating physician. 
(24) “Taft-Hartley health and welfare fund” means an entity designated pursuant to Labor Code section 4616.7(d). 
(25) “Termination” means the discontinued use of an implemented MPN that ceases to do business.
(26) “Third Opinion” means an opinion rendered by a medical provider network physician after an in person examination to address an employee's dispute over either the diagnosis or the treatment prescribed by either the treating physician or physician rendering the second opinion. 
(27) “Treating physician” means any physician within the MPN applicant's medical provider network other than the primary treating physician who examines or provides treatment to the employee, but is not primarily responsible for continuing management of the care of the employee. 
(28) “Workplace” means the geographic location where the covered employee is regularly employed. 
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 1063.1, 3208, 3209.3, 3209.5, 3700, 3702, 3743, 4616, 4616.1, 4616.3, 4616.5 and 4616.7, Labor Code; and California Insurance Guarantee Association v. Division of Workers' Compensation (April 26, 2005) WCAB No. Misc. #249.
HISTORY

1. New article 3.5 (sections 9767.1-9767.14) and section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 3.5 (sections 9767.1-9767.14) and section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New article 3.5 (sections 9767.1-9767.14) and section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section and Note, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. New subsections (a)(2) and (a)(25), subsection renumbering and amendment of newly designated subsection (a)(14) filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
§9767.2. Review of Medical Provider Network Application.
Note     •     History

(a) Within 60 days of the Administrative Director's receipt of a complete application, the Administrative Director shall approve or disapprove an application based on the requirements of Labor Code section 4616 et seq. and this article. An application shall be considered complete if it includes information responsive to each applicable subdivision of section 9767.3. Pursuant to Labor Code section 4616(b), if the Administrative Director has not acted on a plan within 60 days of submittal of a complete plan, it shall be deemed approved. 
(b) The Administrative Director shall provide notification(s) to the MPN applicant: (1) setting forth the date the MPN application was received by the Division; and (2) informing the MPN applicant if the MPN application is not complete and the item(s) necessary to complete the application. 
(c) No additional materials shall be submitted by the MPN applicant or considered by the Administrative Director until the MPN applicant receives the notification described in (b).
(d) The Administrative Director's decision to approve or disapprove an application shall be limited to his/her review of the information provided in the application. 
(e) Upon approval of the Medical Provider Network Plan, the MPN applicant shall be assigned a MPN approval number. 
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Section 4616, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including new subsection (c) and subsection relettering, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.3. Application for a Medical Provider Network Plan.
Note     •     History

(a) As long as the application for a medical provider network plan meets the requirements of Labor Code section 4616 et seq. and this article, nothing in this section precludes an employer or insurer from submitting for approval one or more medical provider network plans in its application. 
(b) Nothing in this section precludes an insurer and an insured employer from agreeing to submit for approval a medical provider network plan which meets the specific needs of an insured employer considering the experience of the insured employer, the common injuries experienced by the insured employer, the type of occupation and industry in which the insured employer is engaged and the geographic area where the employees are employed. 
(c) All MPN applicants shall submit an original Cover Page for Medical Provider Network Application with original signature, an original application, and a copy of the Cover Page for Medical Provider Network and application to the Division. 
(1) A MPN applicant shall submit the provider information and/or ancillary service provider information required in section 9767.3(d)(8)(C) and (D) on a computer disk(s) or CD ROM(s). The information shall be submitted as a Microsoft Excel spread sheet unless an alternative format is approved by the Administrative Director.
(2) If the network provider information is submitted on a disk(s) or CD ROM(s), the provider file must have only the following three columns. These columns shall be: (1) physician name (2) specialty and (3) location of each physician. By submission of its provider listing, the Applicant is affirming that all of the physicians listed have a valid and current license number to practice in the State of California. 
(3) The ancillary service provider file must have only the following three columns. The columns shall be (1) the name of the each ancillary provider (2) specialty or type of service and (3) location of each ancillary service provider. By submission of an ancillary provider listing, the Applicant is affirming that the providers listed have a current valid license number to practice, if they are required to have a license by the State of California.
(d) If the network is not a Health Care Organization, Health Care Service Plan, Group Disability Insurance Policy, or Taft-Hartley Health and Welfare Fund, a Medical Provider Network application shall include all of the following information: 
(1) Type of MPN Applicant: Insurer or Employer. 
(2) Name of MPN Applicant. 
(3) MPN Applicant's Taxpayer Identification Number. 
(4) Name of Medical Provider Network, if applicable. 
(5) Division Liaison: Provide the name, title, address, e-mail address, and telephone number of the person designated as the liaison for the Division, who is responsible for receiving compliance and informational communications from the Division and for disseminating the same within the MPN. 
(6) The application must be verified by an officer or employee of the MPN applicant with the authority to act on behalf of the MPN applicant with respect to the MPN. The verification by the authorized individual shall state: “I, the undersigned officer or employee of the MPN applicant, have read and signed this application and know the contents thereof, and verify that, to the best of my knowledge and belief, the information included in this application is true and correct.” 
(7) Nothing in this section precludes a network, entity, administrator, or other third-party, upon agreement with a MPN applicant, from preparing a MPN application on behalf of an insurer or employer. 
(8) Description of Medical Provider Network Plan: 
(A) State the number of employees expected to be covered by the MPN plan; 
(B) Describe the geographic service area or areas within the State of California to be served; 
(C) The name, specialty, and location of each physician as described in Labor Code Section 3209.3, or other providers as described in Labor Code Section 3209.5, who will be providing occupational medicine services under the plan. By submission of the application, the MPN applicant is confirming that a contractual agreement exists with the physicians, providers or medical group practice in the MPN to provide treatment for injured workers in the workers' compensation system and that the contractual agreement is in compliance with Labor Code section 4609, if applicable.
(D) The name, specialty or type of service and location of each ancillary service, other than a physician or provider covered under subdivision (d)(8)(C) of this section, who will be providing medical services within the medical provider network. By submission of the application, the MPN applicant is confirming that a contractual agreement exists with the ancillary service providers to provide services to be used under the  MPN; 
(E) Describe how the MPN complies with the second and third opinion process set forth in section 9767.7; 
(F) Describe how the MPN complies with the goal of at least 25% of physicians (not including pediatricians, OB/GYNs, or other specialties not likely to routinely provide care for common injuries and illnesses expected to be encountered in the MPN) primarily engaged in the treatment of nonoccupational injuries; 
(G) Describe how the MPN arranges for providing ancillary services to its covered employees. Set forth which ancillary services, if any, will be within the MPN. For ancillary services not within the MPN, affirm that referrals will be made to services outside the MPN; 
(H) Describe how the MPN complies with the access standards set forth in section 9767.5 for all covered employees; 
(I) Describe the employee notification process, and attach an English and Spanish sample of the employee notification material described in sections 9767.12(d) and (g). Any specific MPN contact or provider listing access information that is not available for administrative review in the sample employee notification shall be included in the MPN employee notification distributed to employees; 
(J) Attach a copy of the written continuity of care policy as described in Labor Code section 4616.2; 
(K) Attach a copy of the written transfer of care policy that complies with section 9767.9; 
(L) Attach any policy or procedure that is used by the MPN applicant or an entity contracted with the MPN or MPN applicant to conduct “economic profiling of MPN providers” pursuant to Labor Code section 4616.1 and affirm that a copy of the policy or procedure has been provided to the MPN providers or attach a statement that the MPN applicant does not conduct economic profiling of MPN providers; 
(M) Provide an affirmation that the physician compensation is not structured in order to achieve the goal of reducing, delaying, or denying medical treatment or restricting access to medical treatment; and 
(N) Describe how the MPN applicant will ensure that no person other than a licensed physician who is competent to evaluate the specific clinical issues involved in the medical treatment services, when these services are within the scope of the physician's practice, will modify, delay, or deny requests for authorization of medical treatment. 
(e) If the entity is a Health Care Organization, a Medical Provider Network application shall set forth the following: 
(1) Type of MPN Applicant: Insurer or Employer 
(2) Name of MPN Applicant 
(3) MPN Applicant's Taxpayer Identification Number 
(4) Name of Medical Provider Network, if applicable. 
(5) Division Liaison: Provide the name, title, address, e-mail address, and telephone number of the person designated as the liaison for the Division, who is responsible for receiving compliance and informational communications from the Division and for disseminating the same within the MPN. 
(6) The application must be verified by an officer or employee of the MPN applicant with the authority to act on behalf of the MPN applicant with respect to the MPN. The verification by the authorized individual shall state: “I, the undersigned officer or employee of the MPN applicant, have read and signed this application and know the contents thereof, and verify that, to the best of my knowledge and belief, the information included in this application is true and correct.” 
(7) Nothing in this section precludes a network, entity, administrator, or other third-party, upon agreement with a MPN applicant, from preparing a MPN application on behalf of an insurer or employer. 
(8) Describe how the MPN complies with the second and third opinion process set forth in section 9767.7; 
(9) Confirm that the application shall set forth that at least 25% of the network physicians are primarily engaged in nonoccupational medicine; 
(10) Describe the geographic service area or areas within the State of California to be served and affirm that this access plan complies with the access standards set forth in section 9767.5; 
(11) Describe the employee notification process, and attach an English and Spanish sample of the employee notification material described in sections 9767.12(d) and (g). Any specific MPN contact or provider listing access information that is not available for administrative review in the sample employee notification shall be included in the MPN employee notification distributed to employees; 
(12) Attach a copy of the written continuity of care policy as described in Labor Code section 4616.2; 
(13) Attach a copy of the written transfer of care policy that complies with section 9767.9 with regard to the transfer of on-going cases from the HCO to the MPN; 
(14) Attach a copy of the policy or procedure that is used by the MPN applicant or an entity contracted with the MPN or MPN applicant to conduct “economic profiling of MPN providers” pursuant to Labor Code section 4616.1 and affirm that a copy of the policy or procedure has been provided to the MPN providers or attach a statement that the MPN applicant does not conduct economic profiling of MPN providers; and 
(15) Describe the number of employees expected to be covered by the MPN plan and confirm that the number of employees is within the approved capacity of the HCO. 
(16) By submission of the application, the MPN applicant is confirming that a contractual agreement exists with the physicians, providers or medical group practice in the MPN to provide treatment for injured workers in the workers' compensation system and that the contractual agreement with the providers is in compliance with Labor Code section 4609, if applicable.
(f) If the entity is a Health Care Service Plan, Group Disability Insurance Policy, or Taft-Hartley Health and Welfare Fund, in addition to the requirements set forth in subdivision (e) [excluding (e)(9) and (e)(15)] of this section, a Medical Provider Network application shall include the following information: 
(1) The application shall set forth that the entity has a reasonable number of providers with competency in occupational medicine. 
(A) The MPN applicant may show that a physician has competency by confirming that the physician either is Board Certified or was residency trained in that specialty. 
(B) If (A) is not applicable, describe any other relevant procedure or process that assures that providers of medical treatment are competent to provide treatment for occupational injuries and illnesses. 
(g) If the MPN applicant is providing for ancillary services within the MPN that are in addition to the services provided by the Health Care Organization, Health Care Service Plan, Group Disability Insurance Policy, or Taft-Hartley Health and Welfare Fund, it shall set forth the ancillary services in the application.
(h) If a Health Care Organization, Health Care Service Plan, Group Disability Insurance Policy, or Taft-Hartley Health and Welfare Fund has been approved as a MPN, and the entity does not maintain its certification or licensure or regulated status, then the entity must file a new Medical Provider Network Application pursuant to section 9767.3(d). 
(i) If a Health Care Organization, Health Care Service Plan, Group Disability Insurance Policy, or Taft-Hartley Health and Welfare Fund has been modified from its certification or licensure or regulated status, the application shall comply with subdivision (d) of this section. 
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 3209.3, 4609, 4616, 4616.1, 4616.2, 4616.3, 4616.5 and 4616.7, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section and Note, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. Amendment of subsections (c)(1)-(3), (d)(6)-(7), (d)(8)(C)-(D), (d)(8)(I), (d)(8)(L), (e)(6)-(7), (e)(11), (e)(14), (f) and (i) filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
6. Change without regulatory effect amending subsections (c)(1), (d)(8)(I) and (e)(11) filed 9-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 39).
§9767.4. Cover Page for Medical Provider Network Application.
Note     •     History

View Graphic
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 3700, 3743, 4616, 4616.5 and 4616.7, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section and Note, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. Change without regulatory effect amending section filed 5-23-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
§9767.5. Access Standards.
Note     •     History

(a) A MPN must have at least three physicians of each specialty expected to treat common injuries experienced by injured employees based on the type of occupation or industry in which the employee is engaged and within the access standards set forth in (b) and (c).
(b) A MPN must have a primary treating physician and a hospital for emergency health care services, or if separate from such hospital, a provider of all emergency health care services, within 30 minutes or 15 miles of each covered employee's residence or workplace. 
(c) A MPN must have providers of occupational health services and specialists within 60 minutes or 30 miles of a covered employee's residence or workplace. 
(d) If a MPN applicant believes that, given the facts and circumstances with regard to a portion of its service area, specifically rural areas including those in which health facilities are located at least 30 miles apart, the accessibility standards set forth in subdivisions (b) and/or (c) are unreasonably restrictive, the MPN applicant may propose alternative standards of accessibility for that portion of its service area. The MPN applicant shall do so by including the proposed alternative standards in writing in its plan approval application or in a notice of MPN plan modification. The alternative standards shall provide that all services shall be available and accessible at reasonable times to all covered employees. 
(e)(1) The MPN applicant shall have a written policy for arranging or approving non-emergency medical care for: (A) a covered employee authorized by the employer to temporarily work or travel for work outside the MPN geographic service area when the need for medical care arises; (B) a former employee whose employer has ongoing workers' compensation obligations and who permanently resides outside the MPN geographic service area; and (C) an injured employee who decides to temporarily reside outside the MPN geographic service area during recovery. 
(2) The written policy shall provide the employees described in subdivision (e)(1) above with the choice of at least three physicians outside the MPN geographic service area who either have been referred by the employee's primary treating physician within the MPN or have been selected by the MPN applicant. In addition to physicians within the MPN, the employee may change physicians among the referred physicians and may obtain a second and third opinion from the referred physicians.
(3) The referred physicians shall be located within the access standards described in paragraphs (c) and (d) of this section.
(4) Nothing in this section precludes a MPN applicant from having a written policy that allows a covered employee outside the MPN geographic service area to choose his or her own provider for non-emergency medical care.
(f) For non-emergency services, the MPN applicant shall ensure that an appointment for initial treatment is available within 3 business days of the MPN applicant's receipt of a request for treatment within the MPN. 
(g) For non-emergency specialist services to treat common injuries experienced by the covered employees based on the type of occupation or industry in which the employee is engaged, the MPN applicant shall ensure that an appointment is available within 20 business days of the MPN applicant's receipt of a referral to a specialist within the MPN. 
(h) If the primary treating physician refers the covered employee to a type of specialist not included in the MPN, the covered employee may select a specialist from outside the MPN.
(i) The MPN applicant shall have a written policy to allow an injured employee to receive emergency health care services from a medical service or hospital provider who is not a member of the MPN.
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 4616 and 4616.3, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.6. Treatment and Change of Physicians Within MPN.
Note     •     History

(a) When the injured covered employee notifies the employer or insured employer of the injury or files a claim for workers' compensation with the employer or insured employer, the employer or insurer shall arrange an initial medical evaluation with a MPN physician in compliance with the access standards set forth in section 9767.5. 
(b) Within one working day after an employee files a claim form under Labor Code section 5401, the employer or insurer shall provide for all treatment, consistent with guidelines adopted by the Administrative Director pursuant to Labor Code section 5307.27 and as set forth in title 8, California Code of Regulations, section 9792.20 et seq.
(c) The employer or insurer shall provide for the treatment with MPN providers for the alleged injury and shall continue to provide the treatment until the date that liability for the claim is rejected. Until the date the claim is rejected, liability for the claim shall be limited to ten thousand dollars ($10,000). 
(d) The insurer or employer shall notify the employee of his or her right to be treated by a physician of his or her choice within the MPN after the first visit with the MPN physician and the method by which the list of participating providers may be accessed by the employee. 
(e) At any point in time after the initial medical evaluation with a MPN physician, the covered employee may select a physician of his or her choice from within the MPN. Selection by the covered employee of a treating physician and any subsequent physicians shall be based on the physician's specialty or recognized expertise in treating the particular injury or condition in question. 
(f) A Petition for Change of Treating Physician, as set forth at section 9786, cannot be utilized to seek a change of physician for a covered employee who is treating with a physician within the MPN.
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 4604.5, 4616, 4616.3, 5307.27 and 5401, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. Amendment of subsections (b) and (f) filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9767.7. Second and Third Opinions.
Note     •     History

(a) If the covered employee disputes either the diagnosis or the treatment prescribed by the primary treating physician or the treating physician, the employee may obtain a second and third opinion from physicians within the MPN. During this process, the employee is required to continue his or her treatment with the treating physician or a physician of his or her choice within the MPN.
(b) If the covered employee disputes either the diagnosis or the treatment prescribed by primary treating physician or the treating physician, it is the employee's responsibility to: (1) inform the person designated by the employer or insurer that he or she disputes the treating physician's opinion and requests a second opinion (the employee may notify the person designated by the employer or insurer either in writing or orally); (2) select a physician or specialist from a list of available MPN providers; (3) make an appointment with the second opinion physician within 60 days; and (4) inform the person designated by the employer or insurer of the appointment date. It is the employer's or insurer's responsibility to (1) provide a regional area listing of MPN providers and/or specialists to the employee for his/her selection based on the specialty or recognized expertise in treating the particular injury or condition in question and inform the employee of his or her right to request a copy of the medical records that will be sent to the second opinion physician; (2) contact the treating physician, provide a copy of the medical records or send the necessary medical records to the second opinion physician prior to the appointment date, and provide a copy of the records to the covered employee upon request; and (3) notify the second opinion physician in writing that he or she has been selected to provide a second opinion and the nature of the dispute with a copy to the employee. If the appointment is not made within 60 days of receipt of the list of the available MPN providers, then the employee shall be deemed to have waived the second opinion process with regard to this disputed diagnosis or treatment of this treating physician. 
(c) If, after reviewing the covered employee's medical records, the second opinion physician determines that the employee's injury is outside the scope of his or her practice, the physician shall notify the person designated by the employer or insurer and employee so the employer or insurer can provide a new list of MPN providers and/or specialists to the employee for his/her selection based on the specialty or recognized expertise in treating the particular injury or condition in question. 
(d) If the covered employee disagrees with either the diagnosis or treatment prescribed by the second opinion physician, the injured employee may seek the opinion of a third physician within the MPN. It is the employee's responsibility to: (1) inform the person designated by the employer or insurer that he or she disputes the treating physician's opinion and requests a third opinion (the employee may notify the person designated by the employer or insurer either in writing or orally); (2) select a physician or specialist from a list of available MPN providers; and (3) make an appointment with the third opinion physician within 60 days; and (4) inform the person designated by the employer or insurer of the appointment date. It is the employer's or insurer's responsibility to (1) provide a regional area listing of MPN providers and/or specialists to the employee for his/her selection based on the specialty or recognized expertise in treating the particular injury or condition in question and inform the employee of his or her right to request a copy of the medical records that will be sent to the third opinion physician; and (2) contact the treating physician, provide a copy of the medical records or send the necessary medical records to the third opinion physician prior to the appointment date, and provide a copy of the records to the covered employee upon request; and (3) notify the third opinion physician in writing that he or she has been selected to provide a third opinion and the nature of the dispute with a copy to the employee. If the appointment is not made within 60 days of receipt of the list of the available MPN providers, then the employee shall be deemed to have waived the third opinion process with regard to this disputed diagnosis or treatment of this treating physician. 
(e) If, after reviewing the covered employee's medical records, the third opinion physician determines that the employee's injury is outside the scope of his or her practice, the physician shall notify the person designated by the employer or insurer and employee so the MPN can provide a new list of MPN providers and/or specialists to the employee for his/her selection based on the specialty or recognized expertise in treating the particular injury or condition in question. 
(f) The second and third opinion physicians shall each render his or her opinion of the disputed diagnosis or treatment in writing and offer alternative diagnosis or treatment recommendations, if applicable. Any recommended treatment shall be in accordance with Labor Code section 4616(e). The second and third opinion physicians may order diagnostic testing if medically necessary. A copy of the written report shall be served on the employee, the person designated by the employer or insurer, and the treating physician within 20 days of the date of the appointment or receipt of the results of the diagnostic tests, whichever is later. 
(g) The employer or insurer shall permit the employee to obtain the recommended treatment within the MPN. The covered employee may obtain the recommended treatment by changing physicians to the second opinion physician, third opinion physician, or other MPN physician.
(h) If the injured covered employee disagrees with the diagnosis or treatment of the third opinion physician, the injured employee may file with the Administrative Director a request for an Independent Medical Review. 
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Sections 4616(a) and 4616.3, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.8. Modification of Medical Provider Network Plan.
Note     •     History

(a) The MPN applicant shall serve the Administrative Director with an original Notice of MPN Plan Modification with original signature, any necessary documentation, and a copy of the Notice and any necessary documentation before any of the following changes occur: 
(1) A change of 10% or more in the number or specialty of providers participating in the network since the approval date of the previous MPN Plan application or modification.
(2) A change of 25% or more in the number of covered employees since the approval date of the previous MPN Plan application or modification.
(3) A material change in the continuity of care policy. 
(4) A material change in the transfer of care policy.
(5) Change in policy or procedure that is used by the MPN or an entity contracted with the MPN or MPN applicant to conduct “economic profiling of MPN providers” pursuant to Labor Code section 4616.1. 
(6) Change in the name of the MPN or the MPN Applicant. 
(7) Change in geographic service area within the State of California.
(8) Change in how the MPN complies with the access standards. 
(9) A material change in any of the employee notification materials, including a change in MPN contact information or a change in provider listing access or website information, required by section 9767.12.
(10) Change in use of one of the following deemed entities: Health Care Organization (HCO), Health Care Service Plan, Group Disability Insurer, or Taft-Hartley Health and Welfare Trust Fund.
(11) Revision of any plan section(s) required by sections 9767.3(d)(8) or 9767.3(e) due to a change of any MPN administrator(s) listed in the MPN Plan.
(12) Replacement of entire MPN plan application.
(13) Updating to the permanent regulations pursuant to section 9767.15. 
(b) The MPN applicant shall serve the Administrative Director with a Notice of MPN Plan Modification within 5 business days of a change of the DWC liaison or authorized individual. 
(c) The modification must be verified by an officer or employee of the MPN with the authority to act on behalf of the MPN applicant with respect to the MPN. The verification by the authorized individual shall state: “I, the undersigned officer or employee of the MPN applicant, have read and signed this notice and know the contents thereof, and verify that, to the best of my knowledge and belief, the information included in this notice is true and correct.” 
(d) Within 60 days of the Administrative Director's receipt of a Notice of MPN Plan Modification, the Administrative Director shall approve or disapprove the plan modification based on information provided in the Notice of MPN Plan Modification. The Administrative Director shall approve or disapprove a plan modification based on the requirements of Labor Code section 4616 et seq. and this article. If the Administrative Director has not acted on a plan within 60 days of submittal of a Notice of MPN Plan Modification, it shall be deemed approved. Except for subdivisions (a)(6) and (b) of this section, modifications shall not be made until the Administrative Director has approved the plan or until 60 days have passed, which ever occurs first. If the Administrative Director disapproves of the MPN plan modification, he or she shall serve the MPN applicant with a Notice of Disapproval within 60 days of the submittal of a Notice of MPN Plan Modification. 
(e) A MPN applicant denied approval of a MPN plan modification may either: 
(1) Submit a new request addressing the deficiencies; or 
(2) Request a re-evaluation by the Administrative Director. 
(f) Any MPN applicant may request a re-evaluation of the denial by submitting with the Division, within 20 days of the issuance of the Notice of Disapproval, a written request for a re-evaluation with a detailed statement explaining the basis upon which a re-evaluation is requested. The request for re-evaluation shall be accompanied by supportive documentary material relevant to the specific allegations raised and shall be verified under penalty of perjury. The MPN application and modification at issue shall not be refiled; they shall be made part of the administrative record by incorporation by reference. 
(g) The Administrative Director shall, within 45 days of the receipt of the request for a re-evaluation, either:
(1) Issue a Decision and Order affirming or modifying the Notice of Disapproval based on a failure to meet the procedural requirements of this section or based on a failure to meet the requirements of Labor Code section 4616 et seq. and this article; or
(2) Issue a Decision and Order revoking the Notice of Disapproval and issue an approval of the modification.
(h) The Administrative Director may extend the time specified in subdivision (h) within which to act upon the request for a re-evaluation for a period of 30 days and may order a party to submit additional documents or information.
(i) A MPN applicant may appeal the Administrative Director's decision and order regarding the MPN by filing, within twenty (20) days of the issuance of the decision and order, a petition at the district office of the Workers' Compensation Appeals Board closest to the MPN applicant's principal place of business, together with a Declaration of Readiness to Proceed. The petition shall set forth the specific factual and/or legal reason(s) for the appeal. A copy of the petition and of the Declaration of Readiness to Proceed shall be concurrently served on the Administrative Director. 
(j) The MPN applicant shall use the following Notice of MPN Plan Modification form: 

View Graphic

View Graphic
NOTE

Authority cited: Sections 133, 4616(g) and 5300(f), Labor Code. Reference: Sections 3700, 3743, 4616, 4616.2 and 4616.5, Labor Code.
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section and Note, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. Change without regulatory effect amending form filed 5-23-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
6. Amendment of subsections (a)(5)-(6) and (a)(9), new subsections (a)(10)-(13) and amendment of subsections (b)-(d), (g)(2) and (j) filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9767.9. Transfer of Ongoing Care into the MPN.
Note     •     History

(a) If the injured covered employee's injury or illness does not meet the conditions set forth in (e)(1) through (e)(4), the injured covered employee may be transferred into the MPN for medical treatment. 
(b) Until the injured covered employee is transferred into the MPN, the employee's physician may make referrals to providers within or outside the MPN.
(c) Nothing in this section shall preclude an insurer or employer from agreeing to provide medical care with providers outside of the MPN. 
(d) If an injured covered employee is being treated for an occupational injury or illness by a physician or provider prior to coverage of a medical provider network, and the injured covered employee's physician or provider becomes a provider within the MPN that applies to the injured covered employee, then the employer or insurer shall inform the injured covered employee and his or her physician or provider if his/her treatment is being provided by his/her physician or provider under the provisions of the MPN. 
(e) The employer or insurer shall authorize the completion of treatment for injured covered employees who are being treated outside of the MPN for an occupational injury or illness that occurred prior to the coverage of the MPN and whose treating physician is not a provider within the MPN, including injured covered employees who pre-designated a physician and do not fall within the Labor Code section 4600(d), for the following conditions: 
(1) An acute condition. For purposes of this subdivision, an acute condition is a medical condition that involves a sudden onset of symptoms due to an illness, injury, or other medical problem that requires prompt medical attention and that has a duration of less than 90 days. Completion of treatment shall be provided for the duration of the acute condition. 
(2) A serious chronic condition. For purposes of this subdivision, a serious chronic condition is a medical condition due to a disease, illness, catastrophic injury, or other medical problem or medical disorder that is serious in nature and that persists without full cure or worsens over 90 days and requires ongoing treatment to maintain remission or prevent deterioration. Completion of treatment shall be authorized for a period of time necessary, up to one year: (A) to complete a course of treatment approved by the employer or insurer; and (B) to arrange for transfer to another provider within the MPN, as determined by the insurer or employer. The one year period for completion of treatment starts from the date of the injured covered employee's receipt of the notification, as required by subdivision (f), of the determination that the employee has a serious chronic condition. 
(3) A terminal illness. For purposes of this subdivision, a terminal illness is an incurable or irreversible condition that has a high probability of causing death within one year or less. Completion of treatment shall be provided for the duration of a terminal illness. 
(4) Performance of a surgery or other procedure that is authorized by the insurer or employer as part of a documented course of treatment and has been recommended and documented by the provider to occur within 180 days from the MPN coverage effective date. 
(f) If the employer or insurer decides to transfer the covered employee's medical care to the medical provider network, the employer or insurer shall notify the covered employee of the determination regarding the completion of treatment and the decision to transfer medical care into the medical provider network. The notification shall be sent to the covered employee's residence and a copy of the letter shall be sent to the covered employee's primary treating physician. The notification shall be written in English and Spanish and use layperson's terms to the maximum extent possible. 
(g) If the injured covered employee disputes the medical determination under this section, the injured covered employee shall request a report from the covered employee's primary treating physician that addresses whether the covered employee falls within any of the conditions set forth in subdivisions (e)(1-4). The treating physician shall provide the report to the covered employee within twenty calendar days of the request. If the treating physician fails to issue the report, then the determination made by the employer or insurer referred to in (f) shall apply.
(h) If the employer or insurer or injured covered employee objects to the medical determination by the treating physician, the dispute regarding the medical determination made by the treating physician concerning the transfer of care shall be resolved pursuant to Labor Code section 4062. 
(i) If the treating physician agrees with the employer's or insurer's determination that the injured covered employee's medical condition does not meet the conditions set forth in subdivisions (e)(1) through (e)(4), the transfer of care shall go forward during the dispute resolution process. 
(j) If the treating physician does not agree with the employer's or insurer's determination that the injured covered employee's medical condition does not meet the conditions set forth in subdivisions (e)(1) through (e)(4), the transfer of care shall not go forward until the dispute is resolved. 
NOTE

Authority cited: Sections 133, 4616(g), and 4062, Labor Code. Reference: Sections 4616 and 4616.2, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.10. Continuity of Care Policy.
Note     •     History

(a) At the request of a covered employee, an insurer or employer that offers a medical provider network shall complete the treatment by a terminated provider as set forth in Labor Code sections 4616.2(d) and (e). 
(b) An “acute condition,” as referred to in Labor Code section 4616.2(d)(3)(A), shall have a duration of less than ninety days.
(c) “An extended period of time,” as referred to in Labor Code section 4616.2(d)(3)(B) with regard to a serious and chronic condition, means a duration of at least ninety days.
(d) The MPN applicant's continuity of care policy shall include a dispute resolution procedure that contains the following requirements:
(1) Following the employer's or insurer's determination of the injured covered employee's medical condition, the employer or insurer shall notify the covered employee of the determination regarding the completion of treatment and whether or not the employee will be required to select a new provider from within the MPN. The notification shall be sent to the covered employee's residence and a copy of the letter shall be sent to the covered employee's primary treating physician. The notification shall be written in English and Spanish and use layperson's terms to the maximum extent possible.
(2) If the terminated provider agrees to continue treating the injured covered employee in accordance with Labor Code section 4616.2 and if the injured covered employee disputes the medical determination, the injured covered employee shall request a report from the covered employee's primary treating physician that addresses whether the covered employee falls within any of the conditions set forth in Labor Code section 4616.2(d)(3); an acute condition; a serious chronic condition; a terminal illness; or a performance of a surgery or other procedure that is authorized by the insurer or employer as part of a documented course of treatment and has been recommended and documented by the provider to occur within 180 days of the contract's termination date. The treating physician shall provide the report to the covered employee within twenty calendar days of the request. If the treating physician fails to issue the report, then the determination made by the employer or insurer referred to in (d)(1) shall apply.
(3) If the employer or insurer or injured covered employee objects to the medical determination by the treating physician, the dispute regarding the medical determination made by the treating physician concerning the continuity of care shall be resolved pursuant to Labor Code section 4062.
(4) If the treating physician agrees with the employer's or insurer's determination that the injured covered employee's medical condition does not meet the conditions set forth in Labor Code section 4616.2(d)(3), the employee shall choose a new provider from within the MPN during the dispute resolution process.
(5) If the treating physician does not agree with the employer's or insurer's determination that the injured covered employee's medical condition does not meet the conditions set forth in Labor Code section 4616.2(d)(3), the injured covered employee shall continue to treat with the terminated provider until the dispute is resolved.
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Section 4616.2, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.11. Economic Profiling Policy.
Note     •     History

(a) An insurer's or employer's filing of its economic profiling policies and procedures shall include: 
(1) An overall description of the profiling methodology, data used to create the profile and risk adjustment; 
(2) A description of how economic profiling is used in utilization review; 
(3) A description of how economic profiling is used in peer review; and 
(4) A description of any incentives and penalties used in the program and in provider retention and termination decisions. 
NOTE

Authority cited: Sections 133 and 4616(g), Labor Code. Reference: Section 4616.1, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.12. Employee Notification.
Note     •     History

(a) An employer or insurer that offers a Medical Provider Network Plan under this article shall notify every covered employee in writing about the use of the Medical Provider Network prior to the implementation of an approved MPN. An implementation notice shall also be provided to a new employee at the time of hire. An implementation notice is not required if the MPN Applicant or insured employer is changing from one MPN to another MPN within 60 days. The MPN implementation notice shall be provided in English and also in Spanish, to Spanish-speaking employees. The written MPN implementation notice to all covered employees shall, at a minimum, include the following information: 
(1) That medical treatment for new work injuries will be provided through the Medical Provider Network as of the effective date of coverage unless the employee properly predesignates a physician or medical group prior to injury;
(2) The effective date of coverage under the new MPN;
(3) That existing work injuries may be transferred into the new MPN. The worker should check with the worker's claims adjuster for more information;
(4) That more information about the MPN can be found on the workers' compensation poster or by asking your employer.
(b) The following language may be used for the written MPN implementation notice provided to covered employees: “Unless you predesignate a physician or medical group, your new work injuries arising on or after <INSERT EFFECTIVE DATE OF NEW MPN> will be treated by providers in a new Medical Provider Network, <INSERT NEW MPN NAME>. If you have an existing injury, you may be required to change to a provider in the new MPN. Check with your claims adjuster. You may obtain more information about the MPN from the workers'compensation poster or from your employer.”
(c) The MPN implementation notice may be provided by mail or included on or with an employee's paystub, paycheck or distributed through electronic means, including email, if the employee has regular electronic access to email at work to receive this notice prior to the implementation of the MPN. If the employee cannot receive this notice electronically at work within the required time frame, then the employer shall ensure this information is provided to the employee in writing prior to the implementation of the MPN. 
(d) Separate from the MPN implementation notice, a complete written MPN employee notification with the information specified in subdivision (f) of this section about coverage under the MPN shall be provided to covered employees at the time of injury or when an employee with an existing injury begins treatment under the MPN. This MPN notification shall be provided to employees in English and also in Spanish to Spanish speaking employees. Before MPN coverage is implemented, the complete written MPN employee notification shall also be posted in both English and Spanish in a conspicuous location frequented by employees during the hours of the workday and in close proximity to the workers' compensation posting required under section 9881. 
(e) The complete MPN notification may be distributed through electronic means, including email, if the covered employee has regular electronic access to email at work to receive this notice at the time of injury or when the employee is being transferred into the MPN. If the employee cannot receive this notice electronically at work, then the employer shall ensure this information is provided to the employee in writing at the time of injury or when the employee is being transferred into the MPN. 
(f) The complete written MPN employee notification shall include the following information: 
(1) How to contact the person designated by the employer or insurer to be the MPN Contact for covered employees to answer questions about MPNs and to address MPN problems. The employer or insurer shall provide a toll-free telephone number with access to the MPN Contact if the MPN geographical service area includes more than one area code;
(2) A description of MPN services; 
(3) How to review, receive or access the MPN provider directory. An employer or insurer shall ensure covered employees have access to, at minimum, a regional area listing of MPN providers in addition to maintaining and making available its complete provider listing in writing. If an employee requests an electronic listing, it shall be provided electronically on a CD or on a website. If the provider directory is also accessible on a website, the URL address shall be listed with any additional information needed to access the directory online. All provider listings shall be regularly updated, at minimum, on a quarterly basis with the date of the last update provided on the listing given to the employee, to ensure the listing is kept accurate. Each provider listing shall include a phone number and an email address for reporting of provider listing inaccuracies. If a listed provider becomes deceased or is no longer treating workers' compensation patients at the listed address the provider shall be taken off the provider list within 60 days of notice to the MPN network administrator.
(4) How to access initial care and subsequent medical care;
(5) The mileage, time requirements and alternative access standards required under section 9767.5;
(6) How to access treatment if (A) the employee is authorized by the employer to temporarily work or travel for work outside the MPN's geographical service area; (B) a former employee whose employer has ongoing workers' compensation obligations permanently resides outside the MPN geographical service area; and (C) an injured employee decides to temporarily reside outside the MPN geographic service area during recovery;
(7) How to choose a physician within the MPN; 
(8) What to do if a covered employee has trouble getting an appointment with a provider within the MPN;
(9) How to change a physician within the MPN;
(10) How to obtain a referral to a specialist within the MPN or outside the MPN, if needed; 
(11) How to use the second and third opinion process; 
(12) How to request and receive an independent medical review; 
(13) A description of the standards for the transfer of care policy and a notification that a copy of the policy shall be provided to an employee upon request; and
(14) A description of the standards for the continuity of care policy and a notification that a copy of the policy shall be provided to an employee upon request.
(g) At the time of the selection of the physician for a third opinion, the covered employee shall be notified about the Independent Medical Review process. The notification shall be written in English and also in Spanish to Spanish speaking employees.
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616, 4616.2 and 4616.3, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
5. Amendment filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9767.13. Denial of Approval of Application and Re-Evaluation.
Note     •     History

(a) The Administrative Director shall deny approval of a plan if the MPN applicant does not satisfy the requirements of this article and Labor Code section 4616 et seq. and shall state the reasons for disapproval in writing in a Notice of Disapproval, and shall transmit the Notice to the MPN applicant by U.S. Mail. 
(b) An MPN applicant denied approval may either: 
(1) Submit a new application addressing the deficiencies; or 
(2) Request a re-evaluation by the Administrative Director. 
(c) Any MPN applicant may request a re-evaluation by submitting with the Division, within 20 days of the issuance of the Notice of Disapproval, a written request for re-evaluation with a detailed statement explaining the basis upon which a re-evaluation is requested. The request for a re-evaluation shall be accompanied by supportive documentary material relevant to the specific allegations raised and shall be verified under penalty of perjury. The MPN application at issue shall not be re-filed; it shall be made part of the administrative record by incorporation by reference.
(d) The Administrative Director shall, within 45 days of the receipt of the request for a re-evaluation, either:
(1) Issue a Decision and Order affirming or modifying the Notice of Disapproval based on a failure to meet the procedural requirements of this section or based on a failure to meet the requirements of Labor Code section 4616 et seq. and this article; or
(2) Issue a Decision and Order revoking the Notice of Disapproval and issue an approval of the MPN.
(e) The Administrative Director may extend the time specified in subdivision (d) within which to act upon the request for a re-evaluation for a period of 30 days and may order a party to submit additional documents or information.
(f) A MPN applicant may appeal the Administrative Director's decision and order regarding the MPN by filing, within twenty (20) days of the issuance of the decision and order, a petition at the district office of the Workers' Compensation Appeals Board closest to the MPN applicant's principal place of business, together with a Declaration of Readiness to Proceed. The petition shall set forth the specific factual and/or legal reason(s) for the appeal. A copy of the petition and of the Declaration of Readiness to Proceed shall be concurrently served on the Administrative Director. 
NOTE

Authority cited: Sections 133, 4616(g) and 5300(f), Labor Code. Reference: Section 4616, Labor Code. 
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section heading, section and Note, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.14. Suspension or Revocation of Medical Provider Network Plan; Hearing.
Note     •     History

(a) The Administrative Director may suspend or revoke approval of a MPN Plan if: 
(1) Service under the MPN is not being provided according to the terms of the approved MPN plan. 
(2) The MPN fails to meet the requirements of Labor Code section 4616 et seq. and this article. 
(3) False or misleading information is knowingly or repeatedly submitted by the MPN or a participating provider or the MPN knowingly or repeatedly fails to report information required by this article. 
(4) The MPN knowingly continues to use the services of a provider or medical reviewer whose license, registration, or certification has been suspended or revoked or who is otherwise ineligible to provide treatment to an injured worker under California law. 
(b) If one of the circumstances in subdivision (a) exists, the Administrative Director shall notify the MPN applicant in writing of the specific deficiencies alleged. The Administrative Director shall allow the MPN applicant an opportunity to correct the deficiency and/or to respond within ten days. If the Administrative Director determines that the deficiencies have not been cured, he or she shall issue a Notice of Action to the MPN applicant that specifies the time period in which the suspension or revocation will take effect and shall transmit the Notice of Action to the MPN applicant by U.S. Mail. 
(c) A MPN applicant may request a re-evaluation of the suspension or revocation by submitting to the Administrative Director, within 20 days of the issuance of the Notice of Action, a written notice of the request for a re-evaluation with a detailed statement explaining the basis upon which a re-evaluation is requested. The request for a re-evaluation shall be accompanied by supportive documentary material relevant to the specific allegations raised and shall be verified under penalty of perjury. The MPN application at issue shall not be re-filed; it shall be made part of the administrative record and incorporated by reference.
(d) The Administrative Director shall, within 45 days of the receipt of the request for a re-evaluation, either:
(1) Issue a Decision and Order affirming or modifying the Notice of Action based on a failure to meet the procedural requirements of this section or based on a failure to meet the requirements of Labor Code section 4616 et seq. and this article;
(2) Issue a Decision and Order revoking the Notice of Action;
(e) The Administrative Director may extend the time specified in subdivision (d) within which to act upon the request for a re-evaluation for a period of 30 days and may order a party to submit additional documents or information.
(f) A MPN applicant may appeal the Administrative Director's decision and order regarding the MPN by filing, within twenty (20) days of the issuance of the decision and order, a petition at the district office of the Workers' Compensation Appeals Board closest to the MPN applicant's principal place of business, together with a Declaration of Readiness to Proceed. The petition shall set forth the specific factual and/or legal reason(s) for the appeal. A copy of the petition and of the Declaration of Readiness to Proceed shall be concurrently served on the Administrative Director.
NOTE

Authority cited: Sections 133, 4616(g) and 5300(f), Labor Code. Reference: Section 4616, Labor Code.
HISTORY

1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-2005 as an emergency; operative 3-1-2005 (Register 2005, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-2005 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-20-2005 as an emergency; operative 6-29-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-27-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-20-2005 order, including amendment of section, transmitted to OAL 7-29-2005 and filed 9-9-2005 (Register 2005, No. 36).
§9767.15. Compliance with Permanent MPN Regulations.
Note     •     History

a. This section applies to MPNs that were approved by the Administrative Director pursuant to the emergency Medical Provider Network regulations effective November 1, 2004
b. Employers or insurers whose MPNs were approved pursuant to the emergency Medical Provider Network regulations are not required to submit a Notice of MPN Plan Modification to comply with the new or revised sections of the permanent regulations, including:
1. Section 9767.3(d)(8)(C) or Section 9767.3(d)(16) regarding the contractual agreements contained in the Application for a Medical Provider Network Plan provisions.
2. Sections 9767.5(e)(1), (e)(2), (e)(3), (e)(4), 9767.5(h) and 9767.5(i) of the Access Standards provisions.
3. Section 9767.9(g) provision providing a timeline for the treating physician's report and what happens if the treating physician fails to issue a timely report contained in the Transfer of Ongoing Care into the MPN provisions.
4. Section 9767.10(b)(c) and (d) of the Continuity of Care provisions.
5. Section 9767.12(a), (a)(1), (a)(2), (a)(3), (a)(4) and (a)(5) of the Employee Notification provisions.
c. At the time an employer or insurer with an approved MPN pursuant to the emergency Medical Provider Network regulations submits a Notice of MPN Plan Modification, the employer or insurer shall be required to verify compliance with the sections of the MPN permanent regulations listed in subdivision (b) above.
NOTE

Authority cited: Sections 133, 4616(g) and 5300(f), Labor Code. Reference: Sections 4609, 4616, 4616.2 and 4616.3, Labor Code.
HISTORY

1. New section filed 9-9-2005; operative 9-9-2005 (Register 2005, No. 36).
§9767.16. Notice to Employee Upon Termination, Cessation of Use, or Change of Medical Provider Network.
Note     •     History

(a) The Medical Provider Network Applicant is responsible for ensuring that each injured covered employee is informed in writing of the MPN policies under which he or she is covered and when the injured employee is no longer covered by the Applicant's MPN. The MPN Applicant shall ensure each injured covered employee is given written notice of the date of termination or cessation of use of its MPN. The written notice shall be provided to injured covered employees prior to the effective date of termination or cessation of use of the Applicant's MPN. The notices required by this section shall be provided in English and also in  Spanish to Spanish speaking employees.
(1) The MPN Applicant whose MPN is being terminated or will cease to be used shall ensure that every injured covered employee is provided the following information prior to the termination or cessation of use of its MPN by a MPN Applicant or an insured employer:
(A) The effective date of termination or cessation of use of the Applicant's MPN.
(B) Whether the MPN will still be used for injuries arising before the date MPN coverage ends. 
(C) The address, telephone number, email address and an MPN website, (optional), of the MPN Contact who can address MPN questions.
(D) For periods when an employee is not covered by a MPN, an employee may choice a physician 30 days after the date the employee notified the employer of his or her injury.
(E)(2) The following language may be provided in writing to injured covered employees to give the required notice of termination or cessation of use of a MPN: “The <Insert MPN Name> Medical Provider Network (MPN) will no longer be used for injuries arising after <Insert Date of MPN Termination or Cessation of Use>. You will/will not <Select Whichever is Appropriate> continue to use this MPN to obtain care for work injuries occurring before this date. For new injuries that occur when you are not covered by a MPN, you have the right to choose your physician 30 days after you notify your employer of your injury. You may obtain more information at <Insert MPN Contact Phone Number, Address, Email Address, and MPN Website (optional).”
(3) The notice of MPN termination or cessation of use may be provided by mail or included on or with an employee's paystub, paycheck or distributed through electronic means, including email, if the employee has regular electronic access to email at work to receive this notice prior to the end of MPN coverage. If the employee cannot receive this notice electronically at work within the required time frame, then the employer shall ensure this information is provided to the employee in writing prior to the end of MPN coverage. 
(4) Any pending Independent Medical Review will end with the employee's coverage under the MPN. 
(b) If a MPN Applicant or insured employer is changing MPN coverage to a different MPN, the MPN Applicant that is providing the new MPN coverage shall ensure that every injured covered employee is provided written notice of the following information prior to the effective date of coverage under that Applicant's MPN:
(1) That medical treatment for new work injuries will be provided through the Medical Provider Network as of the effective date of coverage unless the employee properly predesignates a physician or medical group prior to injury;
(2) The effective date of coverage under the new MPN;
(3) That existing work injuries may be covered under the prior MPN or may be transferred into the new MPN. The worker should check with the worker's claims adjuster for more information;
(4) That for periods when the worker is not covered by a MPN, an employee may choose a physician 30 days after the date the employee notified the employer of his or her injury;
(5) The MPN Contact's telephone number, address, email address, and an MPN website (optional), for the worker to obtain more information about using the MPN.
(c) The following language may be provided in writing to injured covered employees to give the required notice of the change of MPN coverage: “Unless you predesignate a physician or medical group prior to injury, your new work injuries arising on or after <INSERT EFFECTIVE DATE OF NEW MPN> will be treated by providers in a new Medical Provider Network, <INSERT NEW MPN NAME>. If you have an existing injury, you may be required to continue care under your prior MPN or you may be required to change to a provider in the new MPN. Check with your claims adjuster. For periods when you are not covered under a MPN, you may choose a physician 30 days after you've notified your employer of your injury. You may obtain more information at <INSERT MPN CONTACT, PHONE NUMBR, ADDRESS, EMAIL ADDRESS, AND AN MPN WEBSITE (optional).”
(d) Notice of termination or cessation of use of a MPN may be combined with the notice of a change to new MPN coverage if the combined notice meets all the MPN regulatory requirements for termination or cessation of use of a MPN and for change of a MPN.
(e) Notices required by this section shall be provided in English and also in Spanish to Spanish speaking employees.
(f) The notice of a change of MPN coverage may be provided by mail or included on or with an employee's paystub, paycheck or distributed through electronic means, including email, if the covered employee has regular electronic access to email at work to receive this notice prior to the beginning of new MPN coverage.  If the employee cannot receive this notice electronically at work within the required time frame, then the employer shall ensure this information is provided to the employee in writing prior to the beginning of new MPN coverage. 
(g) If a change in MPN coverage results in modifications to an MPN's plan application or results in the filing of a new MPN application, the MPN modification or new application filing shall be submitted to DWC pursuant to section 9767.8 or 9767.3, whichever is applicable. Distribution to injured covered employees of the notice of a change of MPNs shall occur after DWC's approval of a MPN modification or new MPN.
NOTE

Authority cited: Sections 59, 124, 133, 138.3, 138.4, 4616 and 5307.3, Labor Code. Reference: Sections 3550 and 4616.2, Labor Code.
HISTORY

1. New section filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
2. Amendment of section heading, section and Note filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
Article 3.6. Independent Medical Review
§9768.1. Definitions.
Note     •     History

(a) As used in this article, the following definitions apply: 
(1) “American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines” (“ACOEM”) means the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines, 2nd Edition (2004), published by OEM Press. The Administrative Director incorporates ACOEM by reference. A copy may be obtained from OEM Press, 8 West Street, Beverly Farms, Massachusetts 01915 (www.oempress.com). 
(2) “Appropriate specialty” means a medical specialty in an area or areas appropriate to the condition or treatment under review. 
(3) “Independent Medical Reviewer” (“IMR”) means the physician who is randomly selected pursuant to subdivision (b) of Labor Code section 4616.4. 
(4) “In-person examination” means an examination of an injured employee by a physician which involves more than a review of records, and may include a physical examination, discussing the employee's medical condition with the employee, taking a history and performing an examination. 
(5) “Material familial affiliation” means a relationship in which one of the persons or entities listed in section 9768.2 is the parent, child, grandparent, grandchild, sibling, uncle, aunt, nephew, niece, spouse, or cohabitant of the Independent Medical Reviewer. 
(6) “Material financial affiliation” means a financial interest (owns a legal or equitable interest of more than 1% interest in the party, or a fair market value in excess of $2000, or relationship of director, advisor, or active participant) in any person or entity listed in section 9768.2. It also means any gift or income of more than $300 in the preceding year except for income for services as a second opinion physician, third opinion physician, treating physician, Agreed Medical Evaluator, Qualified Medical Evaluator, or Independent Medical Reviewer. 
(7) “Material professional affiliation” means any relationship in which the Independent Medical Reviewer shares office space with, or works in the same office of, any person or entity listed in section 9768.2. 
(8) “Medical emergency” means a medical condition manifesting itself by acute symptoms of sufficient severity such that the absence of immediate medical attention could reasonably be expected to place the patient's health in serious jeopardy. 
(9) “Medical Provider Network Contact” (“MPN Contact”) means the individual(s) designated by the MPN Applicant in the employee notification who is responsible for answering employees' questions about the Medical Provider Network and is responsible for assisting the employee in arranging for an Independent Medical Review. 
(10) “Panel” means the contracted providers in a specific specialty.
(11) “Relevant medical records” means all information that was considered in relation to the disputed treatment or diagnostic service, including: (A) a copy of all correspondence from, and received by, any treating physician who provided a treatment or diagnostic service to the injured employee in connection with the injury; (B) a complete and legible copy of all medical records and other information used by the physicians in making a decision regarding the disputed treatment or diagnostic service; (C) the treating physician's report with the disputed treatment or diagnosis; and (D) the second and third opinion physicians' reports.
(12) “Residence” means the covered employee's primary residence. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code.
HISTORY

1. New article 3.6 (sections 9768.1-9768.17) and section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.2. Conflicts of Interest.
Note     •     History

(a) The IMR shall not have any material, professional, familial, or financial affiliation with any of the following: 
(1) The injured employee's employer or employer's workers' compensation insurer; 
(2) Any officer, director, management employee, or attorney of the injured employee's medical provider network, employer or employer's workers' compensation insurer; 
(3) Any treating health care provider proposing the service or treatment; 
(4) The institution at which the service or treatment would be provided, if known; 
(5) The development or manufacture of the principal drug, device, procedure, or other therapy proposed for the injured employee whose treatment is under review; or 
(6) The injured employee, the injured employee's immediate family, or the injured employee's attorney. 
(b) The IMR shall not have a contractual agreement to provide physician services for the injured employee's MPN if the IMR is within a 35 mile radius of the treating physician. 
(c) The IMR shall not have previously treated or examined the injured employee. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.3. Qualifications of Independent Medical Reviewers.
Note     •     History

(a) To qualify to be on the Administrative Director's list of Independent Medical Reviewers, a physician shall file a Physician Contract Application pursuant to section 9768.5 that demonstrates to the satisfaction of the Administrative Director that the physician: 
(1) Is board certified. For physicians, the Administrative Director shall recognize only specialty boards recognized by the appropriate California licensing board. 
(2) Has an unrestricted license as a physician in California under the appropriate licensing Board; 
(3) Is not currently under accusation by any governmental licensing agency for a quality of care violation, fraud related to medical practice, or felony conviction or conviction of a crime related to the conduct of his or her practice of medicine; 
(4) Has not been terminated or had discipline imposed by the Industrial Medical Council or Administrative Director in relation to the physician's role as a Qualified Medical Evaluator; is not currently under accusation by the Industrial Medical Council or Administrative Director; has not been denied renewal of Qualified Medical Evaluator status, except for non-completion of continuing education or for non-payment of fees; has neither resigned nor failed to renew Qualified Medical Evaluator status while under accusation or probation by the Industrial Medical Council or Administrative Director or after notification that reappointment as a Qualified Medical Evaluator may or would be denied for reasons other than non-completion of continuing education or non-payment of fees; and has not filed any applications or forms with the Industrial Medical Council or Administrative Director which contained any untrue material statements; 
(5) Has not been convicted of a felony crime or a crime related to the conduct of his or her practice of medicine; and 
(6) Has no history of disciplinary action or sanction, including but not limited to, loss of staff privileges or participation restrictions taken or pending by any hospital, government or regulatory body. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a) and (a)(3), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.4. IMR Contract Application Procedures.
Note     •     History

(a) A physician seeking to serve as an Independent Medical Reviewer shall: 
(1) Apply to the Administrative Director on the Physician Contract Application set forth in section 9768.5. 
(2) Furnish a certified copy of his or her board certification, a copy of his or her current license to practice medicine, and submit other documentation of his or her qualifications as the Administrative Director may require. 
(3) Designate specialties based on each of his or her board certifications. 
(4) Designate the address(es) of the physician's office with necessary medical equipment where in-person examinations will be held. 
(5) Agree to see any injured worker assigned to him or her within 30 days unless there is a conflict of interest as defined in section 9768.2. 
(6) During the application process and after being notified by the Administrative Director that the contract application has been accepted, the physician shall keep the Administrative Director informed of any change of address, telephone, email address or fax number, and of any disciplinary action taken by a licensing board. 
(b) The contract application, completed by the physician, and any supporting documentation included with the contract application, shall be filed at the Administrative Director's office listed on the form. The contract application submitted by the physician may be rejected if it is incomplete, contains false information or does not contain the required supporting documentation listed in this section. 
(c) The Administrative Director shall maintain a list of physicians who have applied, and whom the Administrative Director has contracted with to conduct Independent Medical Reviews under Labor Code section 4616.4. 
(d) The IMR contract term is two years. A physician may apply to serve for subsequent two year terms by following the procedure set forth in subdivision (a). 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a) and (c), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.5. Physician Contract Application Form.
Note     •     History

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(Note to physicians: please use three letter specialty code when completing block 3 of application form) 

SPECIALTY CODES 

MAI	Allergy and Immunology 
MAA 	Anesthesiology 
MRS 	Colon & Rectal Surgery 
MDE 	Dermatology 
MEM 	Emergency Medicine 
MFP 	Family Practice 
MPM 	General Preventive Medicine 
MOSU 	Hand -- Orthopaedic Surgery, Plastic Surgery, General Surgery 
MMM 	Internal Medicine 
MMV 	Internal Medicine -- Cardiovascular Disease 
MME 	Internal Medicine -- Endocrinology Diabetes and Metabolism 
MMG 	Internal Medicine -- Gastroenterology 
MMH 	Internal Medicine -- Hematology 
MMI 	Internal Medicine -- Infectious Disease 
MMO 	Internal Medicine -- Medical Oncology 
MMN 	Internal Medicine -- Nephrology 
MMP 	Internal Medicine -- Pulmonary Disease 
MMR 	Internal Medicine -- Rheumatology 
MPN 	Neurology 
MNS 	Neurological Surgery 
MNM 	Nuclear Medicine 
MOG 	Obstetrics and Gynecology 
MPO 	Occupational Medicine 
MOP 	Opthalmology 
MOSG 	Orthopaedic Surgery (General) 
MOSS 	Orthopaedic -- Shoulder 
MOSK 	Orthopaedic -- Knee 
MOSB 	Orthopaedic -- Spine 
MOSF 	Orthopaedic -- Foot and ankle 
MTO 	Otolaryngology 
MAP 	Pain Management -- Psychiatry and Neurology, Physical Medicine and Rehabilitation, Anesthesiology 
MHA 	Pathology 
MEP 	Pediatrics 
MPR 	Physical Medicine & Rehabilitation 
MPS 	Plastic Surgery 
MPD 	Psychiatry 
MSY 	Surgery 
MSG 	Surgery -- General Vascular 
MTS 	Thoracic Surgery 
MTO 	Toxicology -- Preventive Medicine, Pediatrics, Emergency 
MUU 	Urology 
MRD 	Radiology
POD 	Podiatry 

DWC Form 9768.5 
May 2007
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
3. Change without regulatory effect amending form filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
4. Change without regulatory effect amending form filed 5-21-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
§9768.6. Administrative Director's Action on Contract Application Submitted by Physician.
Note     •     History

(a) After reviewing a completed contract application submitted by a physician, if the Administrative Director finds that the physician meets the qualifications, he/she shall accept the contract application made by the physician to be an Independent Medical Reviewer by executing the IMR contract, notify the physician by mail, and add the physician's name to the list of Independent Medical Reviewers. The contract term shall be for a two-year term beginning with the date of acceptance by the Administrative Director. 
(b) If the Administrative Director determines that a physician does not meet the qualifications, he/she shall notify the physician by mail that the physician's contract application is not accepted and the reason for the rejection. 
(c) A physician whose contract application has not been accepted may reapply. 
(d) If the Administrative Director denies a physician's contract application following at least two subsequent submissions, the physician may seek further review of the Administrative Director's decision by filing an appeal with the Workers' Compensation Appeals Board, and serving a copy on the Administrative Director, within twenty days after receipt of the denial. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.4 and 5300(f), Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsection (a), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.7. IMR Request to Be Placed on Voluntary Inactive Status.
Note     •     History

A physician may request to be placed on the inactive list during the IMR contract term. The physician shall submit the request to the Administrative Director and specify the time period that he or she is requesting to be on voluntary inactive status. The two-year contract term is not extended due to a physician's request to be placed on voluntary inactive status. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.8. Removal of Physicians from Independent Medical Reviewer List.
Note     •     History

(a) The Administrative Director may cancel the IMR contract and remove a physician from the Independent Medical Reviewer list if the Administrative Director determines based upon the Administrative Director's monitoring of reports: 
(1) That the physician, having been notified by the Administrative Director of the physician's selection to render an Independent Medical Review, has not issued the Independent Medical Review report in a case within the time limits prescribed in these regulations on more than one occasion; or 
(2) That the physician has not met the reporting requirements on more than one occasion; or 
(3) That the physician has at any time failed to disclose to the Administrative Director that the physician had a conflict of interest pursuant to section 9768.2; or 
(4) That the physician has failed to schedule appointments within the time frame required by these regulations on more than one occasion; or 
(5) That the physician has failed to maintain the confidentiality of medical records and the review materials consistent with the applicable state and federal law.
(b) The Administrative Director shall cancel the IMR contract and remove a physician from the Independent Medical Reviewer list if the Administrative Director determines: 
(1) That the physician no longer meets the qualifications to be on the list; or 
(2) That the physician's contract application to be on the list contained material statements which were not true. 
(c) The Administrative Director shall place a physician on an inactive list for up to the end of the two year contract term whenever the Administrative Director determines that the appropriate licensing Board from whom the physician is licensed has filed an accusation for a quality of care violation, fraud related to medical practice, or conviction of a felony crime or a crime related to the conduct of his or her practice of medicine against the physician or taken other action restricting the physician's medical license. If the accusation or action is later withdrawn, dismissed or determined to be without merit during the two year contract term, the physician shall advise the Administrative Director who will then remove the physician's name from the inactive list. If the accusation or action is withdrawn, dismissed or determined to be without merit after the expiration of the two year contract term, the physician may reapply to serve as an Independent Medical Reviewer pursuant to section 9768.4. 
(d) Upon removal of a physician from the Independent Medical Reviewer list or placement on the inactive list, the Administrative Director shall advise the physician by mail of the removal or placement on the inactive list, the Administrative Director's reasons for such action, and the right to request a hearing on the removal from the IMR list or placement on the inactive list. 
(e) A physician who has been mailed a notice of removal from the list or placement on the inactive list, may, within 30 calendar days of the mailing of the notice, request a hearing by filing a written request for hearing with the Administrative Director. If a written request for hearing is not received by the Administrative Director within 30 calendar days of the mailing of the notice, the physician shall be deemed to have waived any appeal or request for hearing. 
(f) Upon receipt of a written request for hearing, the Administrative Director shall prepare an accusation and serve the applicant physician with the accusation, as provided in Government Code section 11503. 
(g) Hearings shall be held by the Administrative Director or his or her designee under the procedures of Chapter 5 of Part 1 of Division 3 of Title 2 of the Government Code (commencing with section 11500) and the regulations of the Office of Administrative Hearings (Title 1, California Code of Regulations, section 1000 et seq.). 
(h) Failure to timely file a notice of defense or failure to appear at a noticed hearing or conference shall constitute a waiver of a right to a hearing. 
(i) A physician who has been removed from the list may petition for reinstatement after one year has elapsed since the effective date of the Administrative Director's decision on the physician's removal. The provisions of Government Code section 11522 shall apply to such petition. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code; and Section 11400.20, Government Code. Reference: Section 4616.4, Labor Code; and Sections 11415.10, 11503 and 11522, Government Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.9. Procedure for Requesting an Independent Medical Review.
Note     •     History

(a) If a covered employee disputes the diagnostic service, diagnosis, or medical treatment prescribed by the second opinion physician, the injured employee may seek the opinion of a third physician in the MPN. The covered employee and the employer or insurer shall comply with the requirements of section 9767.7(d). Additionally, at the time of the selection of the physician for a third opinion, the MPN Contact shall notify the covered employee about the Independent Medical Review process and provide the covered employee with an “Independent Medical Review Application” form set forth in section 9768.10. The MPN Contact shall fill out the “MPN Contact Section” of the form and list the specialty of the treating physician and an alternative specialty, if any, that is different from the specialty of the treating physician. 
(b) If a covered employee disputes either the diagnostic service, diagnosis or medical treatment prescribed by the third opinion physician, the covered employee may request an Independent Medical Review by filing the completed Independent Medical Review Application form with the Administrative Director. The covered employee shall complete the “employee section” of the form, indicate on the form whether he or she requests an in-person examination or record review, and may list an alternative specialty, if any, that is different from the specialty of the treating physician. 
(c) The Administrative Director shall select an IMR with an appropriate specialty within ten business days of receiving the Independent Medical Review Application form. The Administrative Director's selection of the IMR shall be based on the specialty of the treating physician, the alternative specialties listed by the covered employee and the MPN Contact, and the information submitted with the Independent Medical Review Application. 
(d) If the covered employee requests an in-person examination, the Administrative Director shall randomly select a physician from the panel of available Independent Medical Reviewers, with an appropriate specialty, who has an office located within thirty miles of the employee's residence address, to be the Independent Medical Reviewer. If there is only one physician with an appropriate specialty within thirty miles of the employee's residence address, that physician shall be selected to be the Independent Medical Reviewer. If there are no physicians with an appropriate specialty who have offices located within thirty miles of the employee's residence address, the Administrative Director shall search in increasing five mile increments, until one physician is located. If there are no available physicians with this appropriate specialty, the Administrative Director may choose another specialty based on the information submitted. 
(e) If the covered employee requests a record review, then the Administrative Director shall randomly select a physician with an appropriate specialty from the panel of available Independent Medical Reviewers to be the IMR. If there are no physicians with an appropriate specialty, the Administrative Director may choose another specialty based on the information submitted. 
(f) The Administrative Director shall send written notification of the name and contact information of the IMR to the covered employee, the employee's attorney, if any, the MPN Contact and the IMR. The Administrative Director shall send a copy of the completed Independent Medical Review Application to the IMR. 
(g) The covered employee, MPN Contact, or the selected IMR can object within 10 calendar days of receipt of the name of the IMR to the selection if there is a conflict of interest as defined by section 9768.2. If the IMR determines that he or she does not practice the appropriate specialty, the IMR shall withdraw within 10 calendar days of receipt of the notification of selection. If this conflict is verified or the IMR withdraws, the Administrative Director shall select another IMR from the same specialty. If there are no available physicians with the same specialty, the Administrative Director may select an IMR with another specialty based on the information submitted and in accordance with the procedure set forth in subdivision (d) for an in-person examination and subdivision (e) for a record review. 
(h) If the covered employee requests an in-person exam, within 60 calendar days of receiving the name of the IMR, the covered employee shall contact the IMR to arrange an appointment. If the covered employee fails to contact the IMR for an appointment within 60 calendar days of receiving the name of the IMR, then the employee shall be deemed to have waived the IMR process with regard to this disputed diagnosis or treatment of this treating physician. The IMR shall schedule an appointment with the covered employee within 30 calendar days of the request for an appointment, unless all parties agree to a later date. The IMR shall notify the MPN Contact of the appointment date. 
(i) The covered employee shall provide written notice to the Administrative Director and the MPN Contact if the covered employee decides to withdraw the request for an Independent Medical Reviewer. 
(j) During this process, the employee shall remain within the MPN for treatment pursuant to section 9767.6. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.3 and 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.10. Independent Medical Review Application (Form).
Note     •     History

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SPECIALTY CODES 

MAI	Allergy and Immunology 
MAA 	Anesthesiology 
MRS 	Colon & Rectal Surgery 
MDE 	Dermatology 
MEM 	Emergency Medicine 
MFP 	Family Practice 
MPM 	General Preventive Medicine 
MHD 	Hand -- Orthopaedic Surgery, Plastic Surgery, General Surgery 
MMM 	Internal Medicine 
MMV 	Internal Medicine -- Cardiovascular Disease 
MME 	Internal Medicine -- Endocrinology Diabetes and Metabolism 
MMG 	Internal Medicine -- Gastroenterology 
MMH 	Internal Medicine -- Hematology 
MMI 	Internal Medicine -- Infectious Disease 
MMO 	Internal Medicine -- Medical Oncology 
MMN 	Internal Medicine -- Nephrology 
MMP 	Internal Medicine -- Pulmonary Disease 
MMR 	Internal Medicine -- Rheumatology 
MPN 	Neurology 
MNS 	Neurological Surgery 
MNM 	Nuclear Medicine 
MOG 	Obstetrics and Gynecology 
MPO 	Occupational Medicine 
MOP 	Opthalmology 
MOS 	Orthopaedic Surgery 
MTO 	Otolaryngology 
MAP 	Pain Management -- Psychiatry and Neurology, Physical Medicine and Rehabilitation, Anesthesiology 
MHA 	Pathology 
MEP 	Pediatrics 
MPR 	Physical Medicine & Rehabilitation 
MPS 	Plastic Surgery 
MPD 	Psychiatry 
MRD	Radiology
MSY 	Surgery 
MSG 	Surgery -- General Vascular 
MTS 	Thoracic Surgery 
MTX	Toxicology - Preventive Medicine, Pediatrics, Emergency
MUU 	Urology 
POD 	Podiatry 

DWC Form 9768.10
May 2007
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.3 and 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section heading and section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
3. Change without regulatory effect amending form filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
4. Change without regulatory effect amending section filed 5-23-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
§9768.11. In-Person Examination or Record Review IMR Procedure.
Note     •     History

(a) The MPN Contact shall send all relevant medical records to the IMR. The MPN Contact shall also send a copy of the documents to the covered employee. The employee may furnish any relevant medical records or additional materials to the Independent Medical Reviewer, with a copy to the MPN Contact. If an in-person examination is requested and if a special form of transportation is required because of the employee's medical condition, it is the obligation of the MPN Contact to arrange for it. The MPN Contact shall furnish transportation and arrange for an interpreter, if necessary, in advance of the in-person examination. All reasonable expenses of transportation shall be incurred by the insurer or employer pursuant to Labor Code section 4600. Except for the in-person examination itself, the Independent Medical Reviewer shall have no ex parte contact with any party. Except for matters dealing with scheduling appointments, scheduling medical tests and obtaining medical records, all communications between the Independent Medical Reviewer and any party shall be in writing, with copies served on all parties. 
(b) If the IMR requires further tests, the IMR shall notify the MPN Contact within one working day of the appointment. All tests shall be consistent with the medical treatment utilization schedule adopted pursuant to Labor Code section 5307.27 or, prior to the adoption of this schedule, the ACOEM guidelines, and for all injuries not covered by the medical treatment utilization schedule or the ACOEM guidelines, in accordance with other evidence based medical treatment guidelines generally recognized by the national medical community and that are scientifically based. 
(c) The IMR may order any diagnostic tests necessary to make his or her determination regarding medical treatment or diagnostic services for the injury or illness but shall not request the employee to submit to an unnecessary exam or procedure. If a test duplicates a test already given, the IMR shall provide justification for the duplicative test in his or her report. 
(d) If the employee fails to attend an examination with the IMR and fails to reschedule the appointment within five business days of the missed appointment, the IMR shall perform a review of the record and make a determination based on those records. 
(e) The IMR shall serve the report on the Administrative Director, the MPN Contact, the employee and the employee's attorney, if any, within 20 days after the in-person examination or completion of the record review. 
(f) If the disputed health care service has not been provided and the IMR certifies in writing that an imminent and serious threat to the health of the injured employee exists, including, but not limited to, the potential loss of life, limb, or bodily function, or the immediate and serious deterioration of the injured employee, the report shall be expedited and rendered within three business days of the in-person examination by the IMR. 
(g) Subject to approval by the Administrative Director, reviews not covered under subdivision (f) may be extended for up to three business days in extraordinary circumstances or for good cause. 
(h) Extensions for good cause shall be granted for: 
(1) Medical emergencies of the IMR or the IMR's family; 
(2) Death in the IMR's family; or 
(3) Natural disasters or other community catastrophes that interrupt the operation of the IMR's office operations. 
(i) Utilizing the medical treatment utilization schedule established pursuant to Labor Code section 5307.27 or, prior to the adoption of this schedule, the ACOEM guidelines, and taking into account any reports and information provided, the IMR shall determine whether the disputed health care service is consistent with the recommended standards. For injuries not covered by the medical treatment utilization schedule or by the ACOEM guidelines, the treatment rendered shall be in accordance with other evidence-based medical treatment guidelines which are generally recognized by the national medical community and scientifically based. 
(j) The IMR shall not treat or offer to provide medical treatment for that injury or illness for which he or she has done an Independent Medical Review evaluation for the employee unless a medical emergency arises during the in-person examination. 
(k) Neither the employee nor the employer nor the insurer shall have any liability for payment for the Independent Medical Review which was not completed within the required timeframes unless the employee and the employer each waive the right to a new Independent Medical Review and elect to accept the original evaluation. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.4 and 5307.27, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a), (e), (j) and (k), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.12. Contents of Independent Medical Review Reports.
Note     •     History

(a) Reports of Independent Medical Reviewers shall include: 
(1) The date of the in-person examination or record review; 
(2) The patient's complaint(s); 
(3) A listing of all information received from the parties reviewed in preparation of the report or relied upon for the formulation of the physician's opinion; 
(4) The patient's medical history relevant to the diagnostic services, diagnosis or medical treatment; 
(5) Findings on record review or in-person examination; 
(6) The IMR's diagnosis; 
(7) The physician's opinion whether or not the proposed treatment or diagnostic services are appropriate and indicated. If the proposed treatment or diagnostic services are not appropriate or indicated, any alternative diagnosis or treatment recommendation consistent with the medical treatment utilization schedule shall be included; 
(8) An analysis and determination whether the disputed health care service is consistent with the medical treatment utilization schedule established pursuant to Labor Code section 5307.27 or, prior to the adoption of this schedule, the ACOEM guidelines. For injuries not covered by the medical treatment utilization schedule or by the ACOEM guidelines, an analysis and determination whether the treatment rendered is in accordance with other evidence-based medical treatment guidelines which are generally recognized by the national medical community and scientifically based; and 
(9) The signature of the physician. 
(b) The report shall be in writing and use layperson's terms to the maximum extent possible. 
(c) An Independent Medical Reviewer shall serve with each report the following executed declaration made under penalty of perjury: 
“I declare under penalty of perjury that this report is true and correct to the best of my knowledge and that I have not violated Labor Code section 139.3. 

________________	____________” 
Date	Signature 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 139.3, 4616.4 and 5307.27, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a) and (c), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.13. Destruction of Records by the Administrative Director.
Note     •     History

The Administrative Director may destroy any forms or documents submitted to the Administrative Director as part of the IMR process two years after the date of receipt. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code.
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.14. Retention of Records by Independent Medical Reviewer.
Note     •     History

Each Independent Medical Reviewer shall retain all comprehensive medical reports completed by the Independent Medical Reviewer for a period of five years from the date of the IMR report. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.15. Charges for Independent Medical Reviewers.
Note     •     History

(a) Payment for the services of the Independent Medical Reviewers shall be made by the employer or insurer. 
(b) The fee shall be based on the Official Medical Fee Schedule using confirmatory consultation codes (99271 through 99275 for in-person examinations or 99271 through 99273 for evaluations not requiring an in-person examination), 99080 for reports, and 99358 for record reviews, and any other appropriate codes or modifiers. 
(c) An IMR shall not accept any additional compensation from any source for his or her services as an IMR except for services provided to treat a medical emergency that arose during an in-person examination pursuant to section 9768.11(j). 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Section 4616.4, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a) and (b), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.16. Adoption of Decision.
Note     •     History

(a) The Administrative Director shall immediately adopt the determination of the Independent Medical Reviewer and issue a written decision within 5 business days of receipt of the report. 
(b) The parties may appeal the Administrative Director's written decision by filing a petition with the Workers' Compensation Appeals Board and serving a copy on the Administrative Director, within twenty days after receipt of the decision. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.4 and 5300(f), Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of subsection (a), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9768.17. Treatment Outside the Medical Provider Network.
Note     •     History

(a) If the IMR agrees with the diagnosis, diagnostic service or medical treatment prescribed by the treating physician, the covered employee shall continue to receive medical treatment from physicians within the MPN. 
(b) If the IMR does not agree with the disputed diagnosis, diagnostic service or medical treatment prescribed by the treating physician, the covered employee shall seek medical treatment with a physician of his or her choice either within or outside the MPN. If the employee chooses to receive medical treatment with a physician outside the MPN, the treatment is limited to the treatment recommended by the IMR or the diagnostic service recommended by the IMR. 
(c) The medical treatment shall be consistent with the medical treatment utilization schedule established pursuant to Labor Code section 5307.27 or, prior to the adoption of this schedule, the ACOEM guidelines. For injuries not covered by the medical treatment utilization schedule or by the ACOEM guidelines, the treatment rendered shall be in accordance with other evidence-based medical treatment guidelines which are generally recognized by the national medical community and scientifically based. 
(d) The employer or insurer shall be liable for the cost of any approved medical treatment in accordance with Labor Code section 5307.1 or 5307.11. 
NOTE

Authority cited: Sections 133 and 4616, Labor Code. Reference: Sections 4616.4, 5307.1, 5307.11 and 5307.27, Labor Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of Note, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
Article 4. Certification Standards for Health Care Organizations
§9770. Definitions.
Note     •     History

(a) “Administrative Director” means the administrative director of the Division of Workers' Compensation.
(b) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(c) “Division” means the Division of Workers' Compensation.
(d) “Employer” means an employer as defined in Section 3300 of the Labor Code.
(e) “HCO Enrollee” means a person who is eligible to receive services from an HCO.
(f) “Health care organization” (“HCO”) means any entity certified as a health care organization by the administrative director pursuant to Section 4600.5 of the Labor Code and this article.  
(g) “International Classification of Diseases--9th Revision (ICD-9) code” means the 4 or 5 digit number which identifies the illness, injury, disease, cause of death, or other morbid state of an enrollee that corresponds to the numeric classifications and descriptions listed in International Classification of Diseases.  Clinical Modification.  9th Revision (ICD-9CM) US Department of Health and Human Services, Health Care Financing Administration. Washington DC: Superintendent of Documents, and updated successor revised manuals.
(h) “Material”: A factor is “material” with respect to a matter if it is one to which a reasonable person would attach importance in determining the action to be taken upon the matter.
(i) “Participating provider” means a provider who is employed by or under contract with an HCO for purposes of providing occupational medical or health services or services required by this article.
(j) “Patient” means an HCO enrollee who is currently obtaining treatment or services for a work-related injury or illness.
(k) “Primary treating physician” means the treating physician primarily responsible for managing the care of the injured worker in accordance with Section 9785.5.
(l) “Professionally recognized standards of care” means health care practice encompassing the learning, skill and clinical judgment ordinarily possessed and and used by a provider of good standing in similar circumstances.
(m) “Provider” means any professional person, organization, health facility, or other person or institution licensed by the state to deliver or furnish health care services.
(n) “Revocation” means the termination of a health care organization's certification to provide services pursuant to Section 4600.5 of the Labor Code and this article.
(o) “Standard Industrial Classification code” means the 4 digit number which identifies the primary type of economic activity which the employer is engaged in that corresponds to the numeric classifications and descriptions listed in The Standard Industrial Classification Manual 1987, Office of Management and Budget, Washington DC: Superintendent of Documents, US Government Printing Office, 1989, and updated successor revised manuals.
(p) “Suspension” means the health care organization's authority to enter into new, renewed, or amended contracts with claims administrators has been suspended by the administrative director for a specific period of time.
(q) “Utilization review” or “Utilization Management” is the system used to manage, assess, improve, or review patient care and decision-making through case by case assessments of the medical reasonableness or medical necessity of the frequency, duration, level and appropriateness of medical care and services, based upon professionally recognized standards of care.  Utilization review may include, but is not limited to, prospective, concurrent, and retrospective review of a request for authorization of medical treatment.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 3300, 4061.5, 4600.5, 5400, 5401 and 5402, Labor Code.
HISTORY

1. New article 4 and section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).  For prior history, see Register 84, No. 35.
2. New subsection (h) and subsection relettering filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
§9771. Applications for Certification.
Note     •     History

(a) Any of the following entities may apply for certification as a health care organization:
(1) A disability insurer licensed by the Department of Insurance to transact health insurance or disability income insurance pursuant to Part 2 of Division 2 of the Insurance Code.
(2) Any workers compensation health care provider organization.
(b) An applicant must meet all of the requirements set forth in this article in order to be certified as a health care organization by the administrative director.  Applicants must initially submit to the administrative director, as part of the application, a plan which will provide a clear and concise description of how occupational medical and health care services are to be provided and how each of the requirements in this article are met, and, where specified, in the manner required under each section.  HCOs must include all documentation necessary to demonstrate that they meet the requirements for certification.
(c) Health care service plans must provide written certification that at the time of application the applicant is not in violation of any provision of law or rules or orders of the Director of the Department of Managed Health Care, and that there are no outstanding orders, undertakings, or deficiency letters which involve the applicant.  Disability insurers must provide written certification that at the time of application they are in good standing with the Department of Insurance.  The requirement of this subdivision may be satisfied by verified statement under penalty of perjury by the president or managing officer of an applicant that the applicant meets the requirements of this subdivision, subject to verification by the administrative director.
(d) An applicant who is in compliance with requirements for certification by the Department of Insurance may submit copies of any relevant exhibits, sections or other documents submitted as part of the primary certification application to meet any of the requirements of this article, provided that the applicant (1) verifies that the Department of Insurance has fully reviewed and approved the submitted information, (2) provides a concise narrative identifying any manner in which HCO services will be provided differently from those provided under the primary certification, and (3) provides a concise description for each requirement of this article, specifying how occupational medical and health care services or other services specifically and exclusively required by this article will be met.
(e) Applications must be in writing in the form and manner prescribed by the administrative director, and must be submitted on or after January 1, 1994.  The original plus one copy of the application shall be submitted together with a fee as specified in subdivision (c).  Each application shall provide, in addition to the plan specified in subdivision (b), the following information:
(1) The names of all directors and officers of the health care organization;
(2) The title and name of the person designated to be the day-to-day administrator of the health care organization.
(3) The title and name of the person designated to be the administrator of the financial affairs of the health care organization.
(4) The name, medical specialty, if any, board certification, if any, and any unrestricted licenses (including states where licensed), of the medical director.
(5) The name, address, and telephone number of a person designated to serve as a liaison for the Division, who is responsible for receiving compliance and informational communications from the Division and for disseminating the same within the HCO organization.
(6) A sample of each type of contract with participating providers, claims administrators, and insurers, and any entities specifically providing services required by this article; and a list of contractors for each type of contract.  Copies of contracts shall be made available to the administrative director upon request.  The Division will maintain as confidential information pertaining to provider rates and other financial information in accordance with Government Code Section 6254(d)(1).
(7) An organizational chart demonstrating the structural relationships between the medical director, fiscal or financial administrator, and executive officers and administrators.
(8) The identity of any worker's compensation insurer that controls or is controlled by the applicant, as defined by Section 1215 of the Insurance Code.
(f) Each application for certification must be accompanied by a non refundable fee of $2,500.
(g) In lieu of an application for certification, an entity licensed as a full service health care service plan under Section 1353 of the Health and Safety Code (a Knox-Keene Health Care Service Plan Act) and deemed to be an HCO pursuant to Labor Code Section 4600.5(c) shall submit to the administrative director:
(1) a concise description of how the health plan will satisfy the requirements of Labor Code Section 4600.5(c)(1 - 5) and Sections 9772 through 9778, inclusive, of these regulations. At the time the materials required by this subsection are submitted to the administrative director for review, the health plan shall pay a nonrefundable documentation processing and review fee of $1,000; and,
(2) written certification that the health plan is not in violation of any provisions of law or rules or orders of the Director of the Department of Managed Health Care, and that there are no outstanding orders, undertakings, or deficiency letters which involve the health plan. The requirements of this subdivision may be satisfied by verified statement under penalty of perjury by the president or managing officer of the health plan that the plan meets the requirements of this subdivision, subject to verification by the administrative director.
NOTE

Authority cited: Sections 133, 4600.5, 4600.7, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Amendment of subsection (d), new subsection (e)(8) and amendment of subsection (f) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Repealer of subsection (a)(1), subsection renumbering, amendment of newly designated subsection (a)(2) and subsections (c), (d) and (f), new subsections (g)-(g)(2) and amendment of Note filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
4. Amendment of subsections (f) and (g)(1) filed 11-4-2009; operative 1-1-2010 (Register 2009, No. 45).
§9771.1 Updating Applications.
Note     •     History

(a) Every application submitted under Section 9771(e) shall be kept current to reflect accurately the actual operation of the HCO. An applicant or a certified HCO shall file an amendment to its application to show any change in any information contained in the application. Amendments include changes, deletions, additions and variations to the original application and its exhibits, including sample contracts. Amendments shall be filed as set forth in this section. However, the administrative director may approve an alternative form of submitting an amendment if it substantially accomplishes the purposes of this section.
(b) An original and one copy of an amendment shall be submitted to the administrative director as follows:
(1) Submit an Execution Page of the application, indicating it is an “Amendment to Pending Application” or “Amendment to Application of a Certified Organization”;
(2) Furnish only those pages of the application and/or those exhibits which are changed by the amendment.
(3) If a page of the application is amended, complete all items on that page and “redline” or otherwise clearly designated the changed item. At the lower left-hand corner of each page, type “Rev. [date]”, giving the effective date of the amendment.
(4) If an exhibit is being amended:
(A) Furnish the complete exhibit as amended, bearing the same number as the original exhibit, with the changed portions of the exhibit “redlined” or otherwise clearly designated, or
(B) Furnish the pages of the exhibit which are amended, each page to be marked with the exhibit number and the page number of the exhibit, and with the changed portions “redlined” or otherwise clearly designated. At the lower left-hand corner of each page, type “Rev. [date]”, giving the effective date of the amendment. If this method of amendment is employed, the applicant shall refile the entire exhibit as amended whenever more than 10 percent if its pages have been amended.
(2) In the event that it is impossible to submit a proposed material change in the application 30 days before the change is implemented, the applicant shall submit the change as soon as the applicant becomes aware that a change is required. If, in the opinion of the administrative director, the change or proposed changed raises a question as to the ability of a certified HCO to meet the requirements of this article, the administrative director may, within 30 days of receiving notice of the change inform the HCO of the question. When the administrative director informs the HCO that a question exists, the HCO may not implement the proposed change, or shall cease implementing the change. The HCO may submit whatever materials it deems appropriate to justify the amendment and may meet with the administrative director or staff to discuss the question. Within 30 days after informing the HCO of the question, the administrative director shall inform the HCO whether the amendment is approved or disapproved.
(d) Amendments making non-material changes shall be filed quarterly on dates specified by the administrative director. However, a list of providers need be amended only when 10 percent or more of the names contained in the list for a service area have been changed or when the sole or principal provider for a particular health care service in a service area is added or deleted. When amended, the complete list (or the list for the service area) shall be furnished following the instructions for the particular item, with each added “redlined” or otherwise clearly designated and the names of persons deleted from the list shown at the end under the heading “deletions.”
(e) Review of amendments submitted under section 9771.1, except quarterly updates under section 9771.1(e)(2), will be charged based on the actual cost for performing the review. The amount shall include the actual salaries or compensation paid to the persons reviewing amendment; the expenses incurred in the course thereof, and overhead costs in connection therewith as fixed by the Administrative Director. Overhead costs shall be based on the total expenditure for operating expenses and equipment, except travel, of the managed care unit of the Division of Workers' Compensation for the previous fiscal year. The invoice will be sent upon the completion of the review and shall be paid within 30 calendar days.
NOTE

Authority: Sections 133, 4600.5, 4600.7, 5307.3, Labor Code. Reference: Sections 4600.3, 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
§9771.2. Information to Be Furnished as it Becomes Available.
Note     •     History

(a) If an HCO, or any person listed in section 9771(e)(8), is named as a defendant in a lawsuit that is materially related to the provision of medical treatment under Labor Code section 4600, the HCO shall inform the administrative director within 5 days of the day it becomes aware the suit is filed and shall provide a copy of the complaint.
(b)(1) If a certified HCO is a health care services plan and if the Director of the Department of Managed Health Care begins proceedings against the plan under Articles 7 or 8 of the Knox-Keene Health Care Service Plan Act of 1975, the certified HCO shall inform the administrative director within 5 days of the day it becomes aware of the proceedings. The requirements of this subdivision shall also apply to an HMO deemed an HCO pursuant to Labor Code Section 4600.5(c) while the administrative director is reviewing the documentation required by Section 9771 subdivisions (g)(1) and (2) prior to issuing the HMO its certification.
(2) If an applicant or a certified HCO is a disability insurer and if the Commissioner of Insurance begins proceedings against the insurer under Insurance Code section 704 or an examination under section 730, the applicant or certified HCO shall inform the administrative director within 5 days of the day it becomes aware of the proceedings or examination.
(c) A change in the information required by Section 9771(e) (1), (2), (3), (4), (5), and (8) shall be submitted within 5 days of the change.
(d) If an applicant or an affiliate of an applicant enters a contract whereby the applicant is to be purchased by or otherwise come under the control of another entity, the applicant shall notify the administrative director within 5 days of entry into the contract.
NOTE

Authority: Sections 133, 4600.5, 5307.3, Labor Code. Reference: Sections 4600.3, 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
2. Amendment of subsection (b)(2) and repealer of subsection (b)(3) filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9771.6. Application of Regulations Concerning Workers' Compensation Health Care Provider Organizations.
Note     •     History

Sections 9771.6 through 9771.83 apply only to workers' compensation health care organizations as defined by Section 9771.60(m).
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.60. Further Definitions.
Note     •     History

The following definitions apply to the interpretation of these rules and the Act:
(a) “Act” means Sections 4600.3, 4600.5 and 4600.6 of the Code
(b) “Advertisement” includes the disclosure form required pursuant to Section 4600.6(e) of the Code.
(c)(1) An “affiliate” of a person is a person controlled by, under common control with, or controlling such person.
(2) A person's relationship with another person is that of an “affiliated person” if such person is, as to such other person, a director, trustee or a member of its executive committee or other governing board or committee, or that of an officer or general partner, or holds any other position involving responsibility and authority similar to that of a principal officer or general partner; or who is the holder of 5 percent or more of its outstanding equity securities; or who has any such relationship with an affiliate of such person. An affiliate is also an affiliated person.
(d) The term “control” (including the terms “controlling,” “controlled by” and “under common control with”) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting shares, debt, by contract, or otherwise.
(e) The term “certified” or “audited,” when used in regard to financial statements, means examined and reported upon with an opinion expressed by an independent public or certified public accountant.
(f) “Code” means the California Labor Code.
(g) “Administrative Director” means the Administrative Director of the Division of Workers' Compensation.
(h) “Facility” means (1) any premises owned, leased, used or operated directly or indirectly by or for the benefit of an organization or any affiliate thereof, and (2) any premises maintained by a provider to provide services on behalf of an organization.
(i) “Material”: A factor is “material” with respect to a matter if it is one to which a reasonable person would attach importance in determining the action to be taken upon the matter.
(j) “Principal creditor” means (1) a person who has loaned funds to another for the operation of such other person's business, and (2) a person who has, directly or indirectly, 20 percent or more of the outstanding debts of a person.
(k) “Principal officer” means a president, vice-president, secretary, treasurer or chairman of the board of a corporation, a sole proprietor, the managing general partner of a partnership, or a person having similar responsibilities or functions.
(l) The term “generally accepted accounting principles,” when used in regard to financial statements, assets, liabilities and other accounting items, means generally accepted accounting principles as used by business enterprises organized for profit. Accordingly, Financial Accounting Standards Board statements, Accounting Principles Board opinions, accounting research bulletins and other authoritative pronouncements of the accounting profession should be applied in determining generally accepted accounting principles unless such statements, opinions, bulletins and pronouncements are inapplicable. Section 510.05 of the AICPA Professional Standards, in and of itself, shall not be sufficient reason for determining inapplicability of statements, opinions, bulletins and pronouncements.
(m) Workers' compensation health care provider organization” or “organization” means an entity authorized by the Administrative Director to be a health care organization pursuant to Section 4600.5(e) and 4600.6, or an entity applying for such authorization.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.61. Prohibition of Bonuses or Gratuities in Solicitations.
Note     •     History

No person subject to the provisions of the Act shall offer or otherwise distribute any bonus or gratuity to a potential self-insured employer, group of self-insured employers, or insurer of an employer for the purpose of inducing enrollment or to an existing self-insured employer, group of self-insured employers, or insurer of an employer for the purpose of inducing the continuation of enrollment.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.62. Application for Authorization as a Workers' Compensation Health Care Provider Organization.
Note     •     History

(a) An application for authorization as a workers' compensation health care provider organization shall be filed in the form specified in subsection (c) and contain the information specified in this section.
(b) Applications will be processed in the order in which they are filed; provided however, that applications under Section 4600.5(f)(2) shall have priority.
(c) Application Form (WHWCPO-1).

DIVISION OF WORKERS' COMPENSATION 
SUPPLEMENTARY APPLICATION 
UNDER LABOR CODE SECTION 4600.6. 
Date of Application:

WORKERS' COMPENSATION HEALTH CARE PROVIDER 
ORGANIZATION AUTHORIZATION  APPLICATION 
LABOR CODE SECTION 4600.6 (EXECUTION PAGE)
Identification of Organization.
Name of Applicant.

a. Legal name: 	
b. Please list all fictitious names you intend to use

A. Type of Filing: Indicate the type of filing by checking and completing the appropriate items:
1. ( ) Original application for organization authorization.
2. ( ) Amendment #___ to a pending application dated ______ for organization authorization. (Complete Item A-5 below.)
3. ( ) Notice of a proposed material modification (Complete Item A-5 below.)
4. ( ) Amendment filed by an organization because of a change in the information contained in the original application. (Complete Item A-5 below.)
5. Item numbers being amended
Exhibit numbers being amended

B. Other Agencies.
1. If applicant has made or intends to make any filing relating to its plan of operation to any other state or federal agency, check here ___, and attach Exhibit B-1 identifying each such agency, and the nature, purpose and (projected) date of each such filing.
Additional Exhibits: An original application for organization authorization must include the completed form specified in this subsection and the exhibits required.

C. Summary of Information in Application.
1. Summary Description of Organization and Operation. Provide as Exhibit C-1 a summary description of the organization and operation of applicant's business as a workers' compensation health care provider organization, covering the highlights and essential features of the information provided in response to the other portions of this application which is essential or desirable to an effective overview of the applicant's workers' compensation health care business, including a summary of the applicant's experience in the provision of workers' compensation health care.
2. Summary Description of Start-up. Provide as Exhibit C-2 a concise description of applicant's start-up program and its assumptions, including such program's operating, capitalization and financial assumptions. Indicate applicant's projected date for the beginning of operations, and discuss the factors which require such date.

D. Organization and Affiliated Persons.
1. Type of Organization.
a. Corporation. If applicant is a corporation, attach as Exhibits D-1-a-I, D-1-a- ii, D-1-a-iii and D-1-a-iv respectively, the Articles of Incorporation, Bylaws, the Corporation Information Form (Form WCHCPO 1-A) and any other organizational documents or agreements relating to the internal affairs of the applicant.
b. Partnership. If applicant is a partnership, attach as Exhibits D-1-b-I, D-1-b- ii and D-1-b-iii respectively, the Partnership Agreement, the Partnership Information Form (Form WCHCPO 1-B) and any other organizational documents or agreements relating to the internal affairs of the applicant.
c. Sole Proprietor. If applicant is a sole proprietorship, attach as Exhibit D-1-c the Sole Proprietorship Information Form. (Form WCHCPO 1-C)
d. Other Organization. If applicant is any other type of organization, attach as Exhibit D-1-d Articles of Association, trust agreement, or any other applicable documents, and any other organizational documents or agreements relating to the conduct of the internal affairs of the applicant, and attach as Exhibit D-1-d-ii the Information Form for other than Corporations, Partnerships, and Sole Proprietorships. (Form WCHCPO 1-D)
e. Individual Information Sheet. Attach as Exhibit D-1-e, an Individual Information Sheet (Form WCHCPO 2) for each natural person named in any exhibit in Item D-1.
2. Contracts with Affiliated Persons, Principal Creditors and Providers of Administrative Services.
a. Persons to Be Identified. Attach as Exhibit D-2-a, a list identifying each individual or entity who is a party to a contract with applicant, if such contract is one for the provision of administrative services to the applicant or any such party is an Affiliated Person or Principal Creditor (Rule 9771.60( c) and (j)) of the applicant. As to each such person, show the following information in columnar form:
(i) The names in alphabetical order.
(ii) The exhibit and page number of the contract (including loans and other obligations).
(iii) The type of contract or loan.
(iv) Each relationship which such individual or entity bears to the applicant (officer, director, partner, trustee, member, Principal Creditor, employee, administrative services provider, health care services provider, or shareholder).
3. Other Controlling Persons. Does any individual or entity not named as a contracting party in Item D-2 or any exhibit thereto have any power, directly or indirectly, to manage, influence, or administer the operation, or to control the operations or decisions, of applicant?
If the appropriate response to this item is “yes,” attach as Exhibit D-3 a statement identifying each such person or entity and explaining fully such person's power or control, and summarizing every contract or other arrangement or understanding (if any) with each such person. (Each such contract should be submitted pursuant to Subsection D-2.)
4. Criminal, Civil and Administrative Proceedings. Within the preceding 10 years, has the applicant, its management company, or any Affiliate of the applicant (Rule 9771.60(c)), or any controlling person, officer, director or other person occupying a principal management or supervisory position in such organization, management company or Affiliate, or any person intended to hold such a relationship or position, been convicted of or pleaded nolo contendere to a crime, or been held to have committed any act involving dishonesty, fraud or deceit in a judicial or administrative proceeding to which such person was a party?
If “yes,” attach a separate exhibit as to each such person designated Exhibit D-4, identifying such person and fully explaining the crime or act committed. Also, attach a copy of the exhibit to any Individual Information Sheet required by Item D-1-e for such individual.
5. Employment of Barred Persons. Has the organization engaged or does the organization intend to engage, as an officer, director, employee, associate, or provider, any person named in (i) any order of the Commissioner pursuant to Section 1386(c) or Section 1388(d) of the Knox-Keene Health Care Service Plan Act of 1975, (ii) any similar order of the Insurance Commissioner under the Insurance Code barring or otherwise prohibiting such person from being employed or otherwise engaged as an officer, director, employee, associate or provider of any entity subject to the jurisdiction of the Insurance Commissioner, or (iii) any administrative orders issued by a professional licensing board or by the Department of Industrial Relations? If the appropriate response to this item is “yes,” attach as Exhibit D-5 a statement identifying each such person and explaining fully the scope of, and the circumstances giving rise to, such order.

E. Contracts with Providers.
1. Compliance with Requirements. Attach as Exhibit E a statement in tabular form for each provider contract, and for each standard form contract and its variations, if any, specifying the provisions of such contract which comply with the following provisions of the Act and rules:

Section	4600.6(g) 

	4600.6(I)(8) 
 	4600.6(n) 

	Rules	9771.69 
		9771.70 
		9772 through 9778
2. The provisions describing the mechanism by which payments are to be rendered to the provider clearly identified by the name of the provider.

F. Workers' Compensation Health Care Contracts.
Compliance with Requirements. Attach as Exhibit F a schedule in tabular form for each workers' compensation health care contract and each standard form workers' compensation contract, identifying the particular provision of such contract which complies with the sections listed below, covering also any variations made in standard form contracts. As to any provision which varies from the applicable provision of the Act or rules, identify such provision in Exhibit F.

Section	4600.5(e)(7)(B) 
	4600.6(e) 

	Rules	9771.67 
		9771.69 
		9772 - 9778

G. Advertising.
Attach as Exhibit G a copy of any advertising which is subject to Section 4600.6 of the Code and which applicant proposes to use. With respect to each proposed advertisement indicate the contract(s) by name and by exhibit number(s) to which such advertisement relates and identify the employer segment to which the advertisement is directed.

H. Marketing of Workers' Compensation Health Care Contracts.
Attach as Exhibit H a statement describing the methods by which applicant proposes to market workers' compensation health care contracts, including the use of employees, or contracting solicitors or solicitor firms, their method or form of compensation, and the methods by which applicant will obtain compliance with Rules 9771.64, 9771.65, and 9771.83.

I. Supervision of Marketing.
Attach as Exhibit I a statement setting forth applicant's internal arrangements to supervise the marketing of its workers' compensation health care contracts, including the name and title of each person who has primary management responsibility for the employment and qualification of solicitors, advertising, contracts with solicitors and solicitor firms and for monitoring and supervising compliance with contractual and regulatory provisions.

J. Solicitation Contracts.
1. Attach as Exhibit J-1 a list of all persons (other than any employee of the organization whose only compensation is by salary) soliciting or agreeing to solicit the sale of workers' compensation health care contracts on behalf of the applicant. For each such person, identify by exhibit number that person's contract furnished pursuant to Item K-2 and, if such contract does not show the rate of compensation to be paid, specify the person's rate of compensation.
2. Attach as Exhibit J-2, a copy of each contract or proposed contract between applicant and the persons named in Exhibit J-1 for soliciting the sale of or selling workers' compensation health care contracts on behalf of applicant. If a standard form contract is used, furnish a specimen of the form, identify the provision and terms of the form which may be varied and include a copy of each variation.

K. Workers' Compensation Health Care Contract Enrollment Projections.
Note: All projections are to cover the period commencing from the applicant's commencement of operations as an authorized and certified workers' compensation health care provider organization for two years.
1. Projections. Attach as Exhibit K-1 projections of applicant's enrollments under workers' compensation health care provider contracts with self-insured employers, groups of self-insured employers, or insurers of employers (individually, “Employer”; collectively, “Employers”) for the periods specified in the above note. Exhibit K-1 is to contain the following information with respect to each anticipated workers' compensation health care contract:
a. The name of the Employer.
b. The number of potential employees eligible to receive workers' compensation health care from the organization who are employed by the Employer.
c. The locations within and around applicant's service area in which the potential employees live and work.
d. The estimated date (or period after authorization by the Administrative Director and certification by the Workers' Compensation Division of the Department of Industrial Relations) for entry into the workers' compensation health care contract.
e. Identification of the workers' compensation health care contract anticipated with the Employer, by reference to Exhibit F. If more than one type of workers' compensation health care contract is expected with an Employer, each contract must be covered separately.
f. The projected number of employees on a monthly basis for the initial period specified in the Note, above, and quarterly for the following year.
2. Substantiation of Projections. Attach as Exhibit K-2 for each workers' compensation health care contract specified in Exhibit K-1 a description of the facts and assumptions used in connection with the information specified in that exhibit and include documentation of the source and validity of such facts and assumptions.
3. Letters of Interest. Attach as Exhibit K-3 letters of interest or intent from each Employer listed in Exhibit K-1, on the letterhead of the Employer and signed by its representative.

L. (Reserved for future use.)

M. Current Viability.
1. Financial Statements.
a. Attach as Exhibit M-1-a the most recent audited financial statements of applicant, accompanied by a report, certificate, or opinion of an independent certified public accountant, together with all footnotes to such financial statements.
b. If the financial statements attached as Exhibit M-1-a are for a period ended more than 60 days before the date of filing of this application, also attach as Exhibit M-1-b financial statements prepared as of date no later than 60 days prior to the filing of this application consisting of at least a balance sheet, a statement of income and expenses, and any accompanying footnotes; these more recent financial statements need not be audited, so long as they are prepared in accordance with generally accepted accounting principles.
2. Provision for Extraordinary Losses. The following requirements require an initial applicant to submit legible copies of the actual policies of insurance (including any riders or endorsements) or specimen copies of the policies of insurance which show all of the terms and conditions of coverage, or with respect to those items expressly allowing for self-insurance, allow applicant to provide evidence of self-insurance at least as adequate as insurance coverage.
a. Attach as Exhibit M-2-a evidence of adequate insurance coverage or self- insurance to respond to claims for damages arising out of furnishing workers' compensation health care (malpractice insurance).
b. Attach as Exhibit M-2-b evidence of adequate insurance coverage or self-insurance (e.g., appropriate reserve set aside to fund likely liabilities associated with uninsured costs) to respond to claims for tort claims, other than with respect to claims for damages arising out of furnishing health care services.
c. Attach as Exhibit M-2-c evidence of adequate insurance coverage or self-insurance to protect applicant against losses of facilities upon which it has the risk of loss due to fire or other causes. Identify facilities covered by individual policies and indicate the basis upon which applicant believes that the insurance thereon is adequate.
d. Attach as Exhibit M-2-d, evidence of fidelity bond coverage for at least the amounts specified in Rule 9771.74, in the form of a primary commercial blanket bond or a blanket position bond written by an insurer licensed by the California Insurance Commissioner, providing 30 days' notice to the Administrative Director prior to cancellation, and covering each officer, director, trustee, partner and employee of the organization, whether or not compensated.
e. Attach as Exhibit M-2-e evidence of adequate workers' compensation insurance coverage against claims which may arise against applicant.

N. Fiscal Arrangements.
1. Maintenance of Financial Viability. Attach as Exhibit N-1 a statement describing applicant's arrangements to comply with Section 4600.6(m) of the Code and Rule 9771/73.
2. Provider Claims. Attach as Exhibit N-2 a statement describing applicant's system for processing claims from providers for payment, including the rules defining applicant's obligation to reimburse, the standards and procedures for applicant's claims processing system (including receipt, identification, handling, screening, and payment of claims), the timetable for processing claims, and procedures for monitoring the claims processing system.
3. Other Business. If the applicant is or will engage in any business other than as a workers' compensation health care provider organization, attach as Exhibit N-3 a statement describing such other business, its relationship to applicant's business as an organization, and the anticipated financial risks and liabilities of such other business. If the financial statements and projections in Exhibits M-1-a, do not include such other business, explain.
(d) Information Forms Required by Item D-1:
(1) Corporation Information Form (WCHCPO 1-A).

STATE OF CALIFORNIA 
DIVISION OF WORKERS' COMPENSATION 

D-1-a-iii CORPORATION 

INFORMATION FORM

To be used in response to Item D-1-a of Form WCHCPO 1.

1. Name of Applicant (as in Item 1-a) 	

2. State of Incorporation.	

3. Date of Incorporation.	
4. Is applicant a nonprofit corporation? ( ) Yes ( ) No
5. Is applicant exempted from taxation as a nonprofit corporation? ( ) Yes ( ) No
6. Names of principal officers, directors and shareholders: List (a) each person who is a director or principal officer or who performs similar functions or duties and (b) each person who holds of record or beneficially 5 percent or more of the voting securities of applicant or 5 percent or more of applicant's equity securities. If this is an amended exhibit, place an asterisk (*) before the names for whom a change in title, status or stock ownership is being reported and a double asterisk (**) before the names of persons which are added to those furnished in the most recent previous filing.

Full Name 	Relationship 	Class of Equity 	Percent
Last First Middle 	Beginning 	Title or Security  	of
	Date 	Status 	Class
	Mo. Year

				

7. If this is an amended exhibit, list below the names reported in the most recent filing of this exhibit which are deleted by this amendment:

(2) Partnership Information Form (WCHCPO 1-B)

STATE OF CALIFORNIA 
DIVISION OF WORKERS' COMPENSATION

EXHIBIT D-1-ii PARTNERSHIP 

INFORMATION FORM.

To be used in response to Item D-1-b of Form WCHCPO 1.

1. Name of Applicant (as in Item 1-a).	

2. State of organization.	

3. Date of organization.	
4. Names of Partners and Principal Management: List all general, limited and special partners and all persons who perform principal management functions. If this is an amended exhibit, place an asterisk (*) before the names of persons for whom a change in title, status or partnership interest is being reported and place a double asterisk (**) before the names of persons which are added to those furnished in the most recent previous filing.

 Full Name 	Beginning 	Type of	Capital 	Title or 
Last First Middle	Date	Partner	Contribution	Duties
	Mo. Year		 (percentage)

					

					

5. If this is an amended exhibit, list below the names reported in the most recent filing of this exhibit which are deleted by this amendment:

	

(3) Sole Proprietor Information Form (WCHCPO 1-C).

STATE OF CALIFORNIA 
DIVISION OF WORKERS' COMPENSATION

EXHIBIT D-1-c SOLE PROPRIETORSHIP

INFORMATION FORM

To be used in response to Item D-1-c of Form WCHCPO 1.

1. Name of Applicant (as in Item 1-a).

2. Residence Address.
	
3. Names of persons performing principal management functions: List each person who occupies a principal management position or who performs principal management functions for the applicant. If this is an amended exhibit, place an asterisk (*) before the names of persons for whom a change in title or duties is being reported and place a double asterisk (**) before the names of persons which are being added to those furnished in the most recent previous filing of this exhibit.

Full Name 	Beginning  	Title	 and
Last First Middle 	Date 	Duties 	
	Mo. Year

					

4. If this is an amended exhibit, list below the names reported in the most recent filing of this exhibit which are deleted by this amendment:

		

(4) Information Form for Miscellaneous Types of Entities (WCHCPO 1-D).

STATE OF CALIFORNIA 
DIVISION OF WORKERS' COMPENSATION
EXHIBIT D-1-d INFORMATION FORM FOR MISCELLANEOUS TYPES OF ENTITIES.
To be used in response to Item D-1-d of Form WCHCPO 1.

1. Name of Applicant (as in Item 1-a)

2. State of Organization	

3. Date of Organization	

4. Form of Organization (describe briefly)
	
5. Names of Principal Officers and Beneficial Owners: List below the names of (a) each person who is a principal officer or trustee of the applicant or who performs principal management functions, and (b) each person who owns of record or beneficially over 5 percent of any class of equity security of the applicant. If this is an amended exhibit, place an asterisk (*) before the name of each person for whom a change in title, status or interest is reported, and a double asterisk (**) before the name of persons which are added to those reported in the most recent previous filing.

 Full Name 	Beginning 	Class of Equity	Percent of 	Title and
Last First 	Date	Security	Class	Duties
	Mo. Year

					

6. If this is an amended exhibit, list below the names reported in the most recent filing of this exhibit which are deleted by this amendment:

	

NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.63. Individual Information Sheet (WCHCPO 2).
Note     •     History

An individual information sheet required pursuant to these rules shall be in the following form:

CONFIDENTIAL 

DIVISION OF WORKERS' COMPENSATION 

State of California 

INDIVIDUAL INFORMATION SHEET

under Labor Code Section 4600.6

1. Name of Applicant:     File No._________

2. Exact full name of person completing this statement:
	
First      Middle     Last
3. Have you ever had a certificate, license, permit registration or exemption issued pursuant to the Business and Professions Code, Health and Safety Code, Insurance Code, or Labor Code denied, revoked or suspended or been otherwise subject to disciplinary action, while you were in the employ of the applicant, or while you had a contract with the applicant as a provider or otherwise? [ ] Yes [ ] No

If “yes” state the date of the action and the administrative body taking such action.

	
4. Have you ever been convicted or pled nolo contendere to a misdemeanor involving moral turpitude or any felony, other than traffic violations? [ ] Yes [ ] No

If the answer is “yes” give details:

	
5. Have you ever changed your name or ever been known by any name other than that herein listed? (Including a married person's prior surname, if any.) [ ] Yes [ ] No

 If so, explain. Change in name through marriage or court order should also be listed. EXACT DATE OF EACH NAME CHANGE MUST BE LISTED.

	
6. Have you ever engaged in business under a fictitious firm name either as an individual or in the partnership or corporate form? [ ] Yes [ ] No

If the answer is “yes” set forth particulars:

	
VERIFICATION
I, the undersigned, state that I am the person named in the foregoing Individual Information Sheet, that I have read and signed said Individual Information Sheet and know the contents thereof, including all exhibits attached thereto; and that the statements made therein, including any exhibits attached thereto, are true and correct.
I certify (or declare) under penalty of perjury under the laws of the State of California that I have read this Individual Information Sheet and the exhibits thereto and know the contents thereto, and that the statements therein are true and correct.

Executed at ____________________on 	
         (Place)     (Date)
     _________________________________________        (Signature of Declarant)
Note: If this form is signed outside California complete the verification before a notary public in the space provided below.

State of	

County of	

Dated,	

at	
	
(Signature of Affiant)

Subscribed and sworn to before me,

Notary Public in and for said

County and State
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.64. Organization Assurances Prior to Solicitation.
Note     •     History

Prior to allowing any person to engage in acts of solicitation on its behalf, each organization shall reasonably assure itself that such person has sufficient knowledge of its organization, procedures, workers' compensation health care contracts, and the provisions of the Act and these rules to do so lawfully.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.65. Filing of Advertising and Disclosure Forms.
Note     •     History

(a) Two copies of a proposed advertisement shall be filed. To minimize the expense of changes in advertising copy, it may be submitted in draft form for preliminary review subject to the later filing of a proof or final copy, and the later filing of a proof or final copy may be waived when the draft copy is presented in a manner reasonably representing the final appearance of the advertisement. The text of audio or audio/visual advertising should indicate any directions for presentation, including voice qualities and the juxtaposition of the visual materials with the text.
(b) The Administrative Director will not issue letters of nondisapproval of advertising. If the person submitting the advertisement requests an order shortening the 30-day waiting period under Section 4600.6(d) of the Code, such order will be issued when an appropriate showing of the need therefor is made.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.66. Deceptive Advertising.
Note     •     History

Without limitation upon the meaning of Section 4600.6 of the Code, an advertisement or other consumer information is untrue, misleading or deceptive if:
(a) It represents that payment is provided in full for the charge for workers' compensation health care other than in accordance with what is required under the Labor Code.
(b) It represents that payment is provided for the customary charges for workers' compensation health care other than in accordance with what is required under the Labor Code.
(c) It represents that the organization, firm or solicitor or any provider or other person associated therewith is licensed or regulated by the Department of Managed Health Care or Administrative Director or other governmental agency, unless such statement is required by law or regulation or unless such statement is accompanied by a satisfactory statement which counters any inference that such licensing or regulation is an assurance of financial soundness or the quality or extent of workers' compensation health care.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
2. Amendment of subsection (c) filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9771.67. Disclosure Form.
Note     •     History

(a) The disclosure form required under subdivision (a) of Section 4600.6(e) of the Code and made available to employers and employees shall conform to the requirements established by the Administrative Director of the Division of Workers' Compensation of the Department of Industrial Relations (Cal. Code Regs., Tit. 8, Sec. 9770 et seq. ).
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.68. Deceptive Workers' Compensation Health Care Provider Organization Names.
Note     •     History

(a) A change of organization name is a “material modification”.
(b) An organization name will be considered deceptive if it suggests the quality of care furnished by the organization or if it suggests that the cost of workers' compensation health care provided to employees is lower than the cost of similar health care purchased elsewhere, and in any such case the express or implied representation contained in the organization name is demonstrably untrue or is not supported by substantial evidence at all times while such name is used by the organization. Nothing in this subsection limits or restricts the Administrative Director from a determination that an organization or solicitor firm name is deceptive for reasons other than those stated herein.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.69. Workers' Compensation Health Care Contracts.
Note     •     History

(a) All workers' compensation health care contracts and endorsements and amendments shall be printed legibly and shall include at least the following:
(1) The information required to be included on disclosure forms by Section 4600.6(e) of the Code and the information required to be included on disclosure forms by Rule 9771.67.
(2) Definitions of all terms contained in the contract which:
(A) Are defined by the Act, relevant Labor Code provisions, and the Regulations of the Administrative Director.
(B) Require definition in order to be understood by a reasonable person not possessing special knowledge of law, medicine, or organizations;
(C) Specifically describes the eligibility of employees.
(3) Appropriate captions, in boldface type, regarding the provision of workers' compensation health care, consistent with the requirements of the certification standards for health care organizations promulgated by the Administrative Director of the Division of Workers' Compensation of the Department of Industrial Relations (Cal. Code Regs., Tit. 8, Sec. 9770, et seq. ).
(A) A benefit afforded by the contract shall not be subject to any limitation, exclusion, exception, reduction, deductible, or copayment, if any, which renders the benefit illusory.
(4) Provisions relating to cancellation under appropriate caption, in boldface type, which provisions shall include a statement of the time when a notice of cancellation becomes effective.
(5) A provision requiring the organization to provide written notice within a reasonable time to the other party of any termination or breach of contract by, or inability to perform of, any contracting provider if the other party may be materially and adversely affected thereby.
(6) A provision requiring a self-insured employer, group of self-insured employers, or insurer of an employer to mail promptly to each employee a legible, true copy of any notice of cancellation of the organization contract which may be received from the organization and to provide promptly to the organization proof of such mailing and the date thereof.
(7) A provision that (i) the organization is subject to the requirements of the Labor Code, the Regulations of the Administrative Director, and (ii) any provision required to be in the contract by the above shall bind the organization whether or not provided in the contract.
(b) For the purposes of this section:
(1) “Other party” means (A) in the case of a group of self-insured employers, the group representative designated in the contract, and (B) in the case of a self-insured employer or issuer of an employer, the self-insured employer or insurer of an employer and the insured employer.
(2) Any express or implied requirement of notice to the other party, in the context of a contract with a group of self-insured employers, requires notice to the group representative designated in the contract and, with respect to material matters, to the employers and employees under the contract. An organization may fulfill any obligation imposed by this section to notify employers and employees under such contract if the organization provider notice to the group representative designated in the contract, and the contract requires the group representative to disseminate such notice to employers and employees by the next regular communication to the group, but in no event later than 30 days after the receipt thereof.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.70. Contracts with Providers.
Note     •     History

Written contracts must be executed between the organization and each provider of workers' compensation health care which regularly furnishes health care under the organization. All contracts with providers shall be subject to the following requirements:
(a) A written contract shall be prepared or arranged in a manner which permits confidential treatment by the Administrative Director of payment rendered or to be rendered to the provider without concealment or misunderstanding of other terms and provisions of the contract.
(b) The contract shall require that the provider submit claims for workers' compensation health care services to the organization within a reasonable period of time following the delivery of health care services to an employee.
Contracts which contain the following language shall be deemed to meet the timing requirements of this subsection (b), and there shall be no other agreements or other language in the contract which negates or diminishes the effect of the following language:
“[Name of Provider] shall submit claims for the cost of workers' compensation health care services to [Organization] according to the compensation provisions of [Section and paragraph] of this agreement, within 60 days after [Name of Provider] has rendered the workers' compensation health care services to the employee. However, failure to submit claims within 60 days does not alter the obligation of the organization to pay claims of contracting providers for which the organization has received payment.”
(c) The contract shall provide that the organization shall forward claims from providers to the self-insured employer, group of self-insured employers or insurers of employers within 30 days after receipt of the claim from the provider, and that the organization shall pay the provider's claim no later than 30 days after receiving payment from the self-insured employer, group of self-insured employers or insurer of employers.
(d) The contract shall require that the provider maintain such records and provide such information to the organization or to the Administrative Director as may be necessary for compliance by the organization with the provisions of the Code and the rules thereunder, that such records will be retained by the provider for at least five years, and that such obligation is not terminated upon a termination of the agreement, whether by rescission or otherwise. (See Rule 9771.83) Contracts which contain the following language shall be deemed to meet the requirements of this subsection (d), and there shall be no other agreements or other language in the contract which negates or diminishes the effect of the following language:
“[Name of Provider] shall maintain all books, records of account, medical records, reports and papers as may be necessary for compliance by the organization with the provisions of Labor Code Section 4600.6 and the rules thereunder. All such books, records and reports shall be available to the organization or to the Administrative Director, as necessary or required, under the Act and Rules.
All such books, records, reports and papers must be maintained for at least five years after the initial date of delivery of health care services under this Agreement. The obligation of [Name of Provider] to maintain books, records, reports and papers and to make them available shall not terminate upon the termination of [this Agreement].”
(e) The contract shall require that the organization shall have access at reasonable times upon demand to the books, records and papers of the provider relating to the workers' compensation health care provided to employees, to the cost thereof, to payments received by the provider from the organization, self-insured employer, group of self-insured employers, an insurer of an employer, employee, or from others on the behalf of the foregoing.
Contracts which contain the following language shall be deemed to meet the requirements of this subsection (e), and there shall be no other agreements or other language in the contract which negates or diminishes the effect of the following language:
“The [Organization] shall have access during regular business hours to all administrative, financial and medical books, records reports and papers relating to the delivery of workers' compensation health care to employees, and to the cost of such delivery, payments received by [the Provider] from [the Organization] and/or any self-insured employer, group of self-insured employers, or insurer of an employer, an employee, or others.”
(f) The contract shall prohibit surcharges or other payments in violation of the Labor Code for workers' compensation health care services and shall provide that whenever the organization receives notice of any such surcharge it shall take appropriate action.
(g) The contract shall disclose whether there are any other agreements between the organization and the provider, and shall incorporate by reference all such other agreements. Contracts which contain the following language shall be deemed to meet the requirements of this subsection (g):
“This [Agreement], including all addenda, supersedes any and all other agreements between [the Organization] and [the Provider] which are not attached hereto and incorporated herein and which are related to the delivery of, or to the compensation for, workers' compensation health care services. No future statements or promises relating to the delivery of workers' compensation health care services shall be valid or binding unless written and incorporated herein as addenda, subject to the approval of the Administrative Director”.
(h) The contract shall contain provisions complying with Section 4600.6(n) of the Code and shall comply with the provisions of subsection (a)(7) of Rule 9771.69.
(i) The contract shall require that the provider cooperate with the organization's quality assurance and utilization review system established pursuant to Section 4600.6(k) of the Code, and cooperate with the Administrative Director in accordance with the provisions of Section 4600.6(o) of the Code and Sections 9771.76 and 9771.77 of the Rules.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.71. Disclosure of Conflicts of Interest.
Note     •     History

(a) An organization shall not enter into any transaction with a person currently named in Item D of its application under Rule 9771.62 unless, prior thereto, each of the following conditions is met:
(1) The material facts concerning the transaction and the person's interest therein are disclosed to the governing body of the organization.
(2) The transaction is approved by a disinterested majority of the governing body.
(3) Such facts and such approval are made a part of the minutes of such governing body or, if no minutes are required of such governing body, otherwise retained as a record of the organization.
(b) An organization shall promptly give written notice to the Administrative Director if a transaction with a person currently named in Item D of its application under Rule 9771.62 is entered into otherwise than in conformity with the terms of this section.
(c) For the purposes of this section, “governing body” means the board of directors, all general partners, the sole proprietor, the board of trustees, and any other persons occupying a similar position or performing similar functions.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.72. Contracts with Solicitor Firms.
Note     •     History

An organization shall not permit a solicitor firm to solicit self-insured employers, groups of self-insured employers, or insurers of an employer on its behalf except pursuant to a written contract which meets all of the following minimum requirements:
(a) The solicitor firm shall comply, and shall cause its principal persons and employees to comply, with all applicable provisions of the Act and the rules thereunder.
(b) The solicitor firm shall promptly notify the organization of the institution of any disciplinary proceedings against it or against any of its principal persons or employees relating to any license issued to any such person by the California Insurance Commissioner.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.73. Fiscal Soundness, Insurance, and Other Arrangements.
Note     •     History

(a) An organization shall demonstrate fiscal soundness as follows:
Demonstrate an approach to the risk of insolvency which allows for the continuation of health care services for the duration of the contract period, the continuation of health care services to employees who are under treatment or confined on the date of insolvency in an in-patient facility until their discharge, and payments to unaffiliated providers for health care services rendered.
(b) In passing upon an organization's showing pursuant to this section, the Administrative Director will consider all relevant factors, including but not limited to:
(1) The method of compensating providers and the terms of provider contracts, especially as to the obligations of providers to employees in the event of the organization's insolvency.
(2) The methods by which the organization controls and monitors the utilization of health care services.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.74. Fidelity Bond.
Note     •     History

(a) Each organization shall at all times maintain a fidelity bond covering each officer, director, trustee, partner and employee of the organization, whether or not they are compensated. The fidelity bond may be either a primary commercial blanket bond or a blanket position bond written by an insurer licensed by the California Insurance Commissioner, and it shall provide for 30 days' notice to the Administrative Director prior to cancellation. The fidelity bond shall provide at least the minimum coverage for the organization determined by the following schedule:

	Annual 	Minimum
	Gross Income	Coverage

 Up to	$	100,000	$	10,000
100,000 to		300,000		20,000
300,000 to		500,000		30,000
500,000 to		750,000		50,000
750,000 to		1,000,000		75,000
1,000,000 to		2,000,000		100,000
2,000,000 to		4,000,000		200,000
4,000,000 to 		6,000,000		400,000
6,000,000 to 		10,000,000		600,000
10,000,000 to		20,000,000		1,000,000
20,000,000 and over			2,000,000

(b) The fidelity bond required pursuant to subsection (a) may contain a provision for a deductible amount from any loss which, except for such deductible provision, would be recoverable from the insurer. A deductible provision shall not be in excess of 10 percent of the required minimum bond coverage, but in no event shall the deductible amount be in excess of $100,000.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.75. Reimbursements on a Fee-for-Services Basis: Determination of Status of Claims.
Note     •     History

Every organization shall institute procedures whereby all claim forms received by the organization from providers of workers' compensation health care for reimbursement on a fee-for-service basis are maintained and accounted for in a manner which permits the determination of the date of receipt of any claim, the status of any claim, the dollar amount of unpaid claims at any time, and rapid retrieval of any claim. Although any categories for status-determination held unobjectionable by the Administrative Director may be used, for the purposes of this section, the following status-determination categories, as a group, shall be presumptively reasonable:
(1) to be processed,
(2) processed, waiting for payment,
(3) pending, waiting for approval for payment or denial,
(4) pending, waiting for additional information,
(5) denied,
(6) paid, and, if appropriate,
(7) other.
These procedures shall involve the use of either a claims log, claims numbering system, electronic data processing records, and/or any other method held unobjectionable by the Administrative Director.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.76. Medical Survey Procedure.
Note     •     History

(a) Unless the Administrative Director in his discretion determines that advance notice will render the survey less useful, an organization will be notified approximately four weeks in advance of the date for commencement of an onsite medical survey. The Administrative Director may, without prior notice, conduct inspections of organization facilities or other elements of a medical survey, either in conjunction with the medical survey or as part of an unannounced inspection program.
(b) The onsite medical survey of an organization shall include, but not be limited to, the following procedures to the extent considered necessary based upon prior experience with the organization and in accordance with the procedures and standards developed by the Administrative Director.
(1) Review of the procedures for obtaining workers' compensation health care including, but not limited to, the scope of health care.
(A) The availability and adequacy of facilities for telephone communication with health personnel, emergency health care facilities, out-of-the-area coverage, referral procedures, and medical encounters.
(B) The means of advising employees of the procedures to obtain health care, including the hours of operation, location and nature of facilities, types of health care, telephone and other arrangements for appointment setting.
(C) The availability of qualified personnel at each facility referred to in Section 4600.6(j) of the Code to receive and handle inquiries concerning health care and grievances.
(2) Review of the design and implementation of procedures for reviewing and regulating utilization of health care and facilities.
(3) Review of the design and implementation of procedures to review and control costs.
(4) Review of the design, implementation and effectiveness of the internal quality of care review systems, including review of medical records and medical records systems. A review of medical records and medical records systems may include, but is not limited to, determining whether:
(A) The entries establish the diagnosis stated, including an appropriate history and physical findings;
(B) The therapies noted reflect an awareness of current therapies;
(C) The important diagnoses are summarized or highlighted; (Important are those conditions that have a bearing on future clinical management.)
(D) Drug allergies and idiosyncratic medical problems are conspicuously noted;
(E) Pathology, laboratory and other reports are recorded;
(F) The health professional responsible for each entry is identifiable;
(G) Any necessary consultation and progress notes are evidenced as indicated;
(H) The maintenance of an appropriate system for coordination and availability of the medical records of the employee, including out-patient, in-patient and referral services and significant telephone consultations.
(5) Review of the overall performance of the organization in providing workers' compensation health care, by consideration of the following:
(A) The numbers and qualifications of health professional and other personnel;
(B) The provision of, incentives for, and participation in, continuing education for health personnel and the provision for access to current medical literature; 
(C) The adequacy of all physical facilities, including lighting, cleanliness, maintenance, equipment, furnishings, and convenience to employees, organization personnel and visitors;
(D) The practice of health professionals and allied personnel in a functionally integrated manner, including the extent of shared responsibility for patient care and coordinated use of equipment, medical records and other facilities and services;
(E) The appropriate functioning of health professionals and other health personnel, including specialists, consultants and referrals;
(F) Nursing practices, including reasonable supervision;
(G) Written nondiscriminatory personnel practices which attract and retain qualified health professionals and other personnel;
(H) The adequacy and utilization of pathology and other laboratory facilities, including the quality, efficiency and appropriateness of laboratory procedures and records and quality control procedures;
(I) X-ray and radiological services, including staffing, utilization, equipment, and the promptness of interpretation of X- ray films by a qualified provider;
(J) The handling and adequacy of medical record systems, including filing procedures, provisions for maintenance of confidentiality, the efficiency of procedures for retrieval and transmittal, and the utilization of sampling techniques for medical records audits and quality of care review;
(K) The adequacy, including convenience and readiness of availability to employees, of all provided health care;
(L) How the organization is organized and its mechanisms for furnishing workers' compensation health care, including the supervision of health professionals and other personnel;
(M) The extent to which individual medical decisions by qualified medical personnel are unduly constrained by fiscal or administrative personnel, policies or considerations;
(N) The adequacy of staffing, including medical specialties.
(6) Review of the overall performance of the organization in meeting the health needs of employees.
(A) Accessibility of facilities and workers' compensation health care, based upon location of facilities, hours of operation, waiting periods for health care and appointments, the availability of parking and transportation;
(B) Continuity of health care, including the ability of employees to select a primary treating physician, staffing in medical specialties or arrangements therefor; the referral system (including instructions, monitoring and follow- up); the maintenance and ready availability of medical records; and the availability of health care education to employees;
(C) The grievance procedure required by Section 4600.6(j) of the Code, including the availability to employees of grievance procedure information, the time required for and the adequacy of the response to grievances and the utilization of grievance information by the organization's management.
(7) In considering the above and in pursuit of the survey objectives, the survey team may perform any or all of the following procedures:
(A) Private interviews and group conferences with employees, physicians and other health care professionals and providers, and members of its administrative staff including, but not limited to, persons in principal management positions.
(B) Examination of any records, books, reports and papers of the organization and of any management company, provider or subcontractor providing workers' compensation health care or other services to the organization including, but not limited to, the minutes of medical staff meetings, peer review, and quality of care review records, duty rosters of medical personnel, surgical logs, appointment records, the written procedures for the internal operation of the organization, and contracts and correspondence with employees and with providers of workers' compensation health care and of other services to the organization, and such additional documentation the Administrative Director may specifically direct the surveyors to examine.
(C) Physical examination of facilities, including equipment.
(D) Investigation of grievances or complaints from employees, or from the general public.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.77. Medical Survey: Report of Correction of Deficiencies.
Note     •     History

Prior to or immediately upon the expiration of the 30-day period following notice to an organization of a deficiency as provided in subdivision (8) of Section 4600.6(o) of the Code, the organization shall file a written statement with the Administrative Director identifying the deficiency and describing the action taken to correct the deficiency and the results of such action. The report shall be signed by a principal officer of the organization.
Where such deficiencies reasonably may be adjudged to require long-term corrective action or to be of a nature which reasonably may be expected to require a period longer than 30 days to remedy, evidence that the organization has initiated remedial action and is on the way to achieving acceptable levels of compliance may be submitted for review by the Administrative Director.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.78. Removal of Books and Records from State.
Note     •     History

The books and records of an organization, management company, solicitor firm, and any provider or subcontractor providing workers' compensation health care or other services to an organization, management company, or solicitor firm shall not be removed from this state without the prior written consent of the Administrative Director.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.79. Examination Procedure.
Note     •     History

Regular and additional or nonroutine examinations conducted by the Administrative Director pursuant to Section 4600.6(q) of the Code will ordinarily be commenced on an unannounced basis. To the extent feasible, deficiencies noted will be called to the attention of the responsible officers of the company under examination during the course of the examination, and in that event the company should take the corrective action indicated. When deemed appropriate, the company will be advised by letter of the deficiencies noted upon the examination. If the deficiency letter requires a report from the organization, such report must be furnished within 15 days or such additional time as may be allowed.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.80. Additional or Nonroutine Examinations and Surveys.
Note     •     History

(a) An examination or survey is additional or nonroutine for good cause for the purposes of Section 4600.6(q) of the Code when the reason for such examination or survey is any of the following:
(1) The organization's noncompliance with written instructions from the Administrative Director;
(2) The organization has violated, or the Administrative Director has reason to believe that the organization has violated, any of the provisions of Sections 4600.3, 4600.5, or 4600.6 of the Code or regulations referring to those sections.
(3) The organization has committed, or the Administrative Director has reason to believe that the organization has committed, any of the acts or omissions enumerated in Section 4600.5(k) of the Code.
(4) The Administrative Director deems such additional or nonroutine examination or survey necessary to verify representations made to the Administrative Director by an organization in response to a deficiency letter.
(b) Each situation giving rise to an additional or nonroutine examination or survey shall be evaluated on a case-by-case basis as to the seriousness of the violation, or lack of timely or adequate response by the organization to the Administrative Director's request to correct the violation. The organization shall be notified in writing of the provisions of the Act or regulations which have been, or may have been, violated and which therefore caused such additional or nonroutine examination or survey to be performed. The expense of such examinations and surveys shall be charged to the organization being examined or surveyed in accordance with Section 4600.6(q) of the Code.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.81. Financial Statements.
Note     •     History

(a) Whenever pursuant to these rules or pursuant to an order or request of the Administrative Director under the Code a financial statement or other report is required to be audited or be accompanied by the opinion of a certified public accountant, such accountant shall be independent of the licensee, determined in accordance with Section 602.02 of Financial Reporting Release No. 1 issued by the Securities and Exchange Commission (Securities Act Release 6395, April 15, 1982).
(b) The financial statements shall be audited by an independent accountant in accordance with Rule 9771.60(e).
(c) Except as provided in subsection (d), financial statements of an organization required pursuant to these rules must be on a combining basis with an affiliate, if the organization or such affiliate is substantially dependent upon the other for the provision of workers' compensation health care, management or other services. An affiliate will normally be required to be combined, regardless of its form of organization, if the following conditions exist:
(1) The affiliate controls, is controlled by, or is under common control with, the organization, either directly or indirectly (see subsections (c) and (d) of Rule 9771.60), and
(2) The organization or the affiliate is substantially dependent, either directly or indirectly, upon the other for services or revenue.
(d) Upon written request of an organization, the Administrative Director may waive the requirement that an affiliate be combined in financial statements required pursuant to these rules. Normally, a waiver will be granted only when
(1) the affiliate is not directly engaged in the delivery of workers' compensation health care or
(2) the affiliate is operating under an authority granted by a governmental agency pursuant to which the affiliate is required to submit periodic financial reports in a form prescribed by such governmental agency that cannot practicably be reformatted into the form prescribed by these rules (such as an insurance company).
(e) When combined financial statements are required by this section, the independent accountant's report or opinion must cover all the entities included in the combined financial statements. If the accountant's report or opinion makes reference to the fact that a part of the examination was performed by another auditor, the organization shall also file the individual financial statements and report or opinion issued by the other auditor.
(f) Organizations which have subsidiaries that are required to be consolidated under generally accepted accounting principles must present either
(1) consolidating financial statements, or
(2) consolidating schedules for the balance sheet and statement of operations, which in either case must show the organization separate from the other entities included in the consolidated balances.
(g) This section shall not apply to an organization which is a public entity or political subdivision.
(h) All filings of financial statements required pursuant to these rules must include an original and one copy.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.82. Books and Records.
Note     •     History

(a) Each organization, solicitor firm, and solicitor shall keep and maintain their books of account and other records on a current basis.
(b) Each organization shall make or cause to be made and retain books and records which accurately reflect:
(1) The names and last known addresses of all employees eligible to receive workers' compensation health care, and all contracting self-insured employers, groups of self-insured employers and insurers of employers.
(2) All contracts required to be submitted to the Administrative Director and all other contracts entered into by the organization.
(3) All requests made to the organization for payment of moneys for workers' compensation health care, the date of such requests, and the dispositions thereof.
(4) A current list of the names and addresses of all individuals employed by the organization as solicitors.
(5) A current list of the names and addresses of all solicitor firms with which the organization contracts.
(6) A current list of the names and addresses of all of the organization's officers, directors, principal shareholders, general managers, and other principals.
(7) The amount of any commissions paid to persons who obtain self-insured employers, groups of self-insured employers, and insurers of employers for workers' compensation health care provider organizations, and the manner in which said commissions are determined.
(c) Each solicitor firm shall make and retain books and records which include a current list of the names and addresses of its partners, if any, and all of its employees who make act as solicitors.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code.
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9771.83. Retention of Books and Records.
Note     •     History

Every organization and solicitor firm shall preserve for a period of not less than five years, the last two years of which shall be in an easily accessible place at the offices of the organization or solicitor firm, the books of account and other records required under the provisions, and for the purposes, of the Act. After such books and records have been preserved for two years, they may be warehoused or stored, or microfilmed, subject to their availability to the Administrative Director within not more than 5 days after request therefore.
NOTE

Authority cited: Stats. 1997, Ch. 346, Section 5. Reference: Sections 4600.3, 4500.5 and 4600.6, Labor Code. 
HISTORY

1. New section filed 4-15-98; operative 4-15-98. Submitted to OAL for printing only pursuant to Stats. 1997, Ch. 346, Section 5 (Register 98, No. 16).
§9772. General Standards.
Note     •     History

(a) HCOs must demonstrate that they meet the following requirements:
(1) All facilities located in this state including, but not limited to, clinics, hospitals, laboratories, and skilled nursing facilities to be utilized by the HCO for the delivery of occupational medical and health care services or other services specifically required by this article shall be licensed by the State Department of Health Services, if such licensure is required by law, and shall meet any other relevant certification requirements.  Facilities not located in this state shall conform to all licensing and other requirements of the jurisdiction in which they are located. 
(2) All personnel employed by or under contract to the HCO shall be licensed or certified by their respective board or agency, where such licensure or certification is required by law.
(3) All equipment required to be licensed or registered by law shall be so licensed or registered and the operating personnel for such equipment shall be licensed or certified as required by law.
(4) The HCO shall provide continuity of care and timely referral of patients to other providers in a manner consistent with professionally recognized standards of care.
(5) All services shall be available and accessible at reasonable times to all HCO enrollees.
(6) The HCO may employ and utilize allied health personnel for the furnishing of occupational health services to the extent permitted by law and provided such use is consistent with professionally recognized standards of care; however, any course of treatment beyond first aid, as defined in subdivision (c) of Section 14311, shall provide for at least one face to face visit with a primary treating physician.
(7) The HCO shall have the organizational, financial, and administrative capacity to provide services to employers, claims administrators, and HCO enrollees.  The HCO shall be able to demonstrate to the Division that medical decisions are rendered by qualified providers unhindered by fiscal and administrative management, and that such decisions adhere to professionally recognized standards of care.
Any applicant that is owned in whole or in part or controlled by a workers' compensation insurer or self-insured employer shall, in addition to the requirements set forth above, further demonstrate that the organization's claims function shall have no influence or control over medical decision-making. The applicant shall further demonstrate that the clear authority of its Medical Director over all medical decisions is reflected both in its organizational chart and any internal procedure manual or other internal description of HCO operations.
(8) All contracts with claims administrators, employers, providers and other persons or entities furnishing services specifically required by this article shall be consistent with the requirements of this article and Division 4 of the Labor Code.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Section 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Amendment of subsection (b)(7) filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9773. Treatment Standards.
Note     •     History

(a) HCOs shall provide all HCO enrollees with access to all medical, surgical, chiropractic, and hospital treatment which is reasonably required to cure or relieve the effects of an injury in accordance with Section 4600 of the Labor Code.  This treatment must be provided without payment of any co-payment, deductible, or premium share by an HCO enrollee.  HCOs must provide a description of the method for providing treatment required under the code, including a list of its physical facilities.  The description must include the occupational health care delivery capabilities of the HCO, including the number of primary treating physicians and specialists, the number and types of licensed or state-certified health care support staff, the number of hospital beds, and the arrangements and the methods by which occupational health care services will be provided, which shall include the following:
(1) Provider services, including consultation and referral.  HCOs must identify the total number of full time equivalent physicians and providers of each different specialty type available to provide treatment for work injuries or illnesses on a regular basis.
(2) Inpatient hospital services, which shall include acute hospital services, general nursing care, use of operating room and related facilities, intensive care unit and services, diagnostic laboratory and x-ray services, special duty nursing as medically necessary, physical therapy, respiratory therapy, administration of blood and blood products, and other diagnostic, therapeutic and rehabilitative services as medically reasonable or medically necessary, and coordinated discharge planning including planning of such continuing care as may be necessary, both medically and as a means of preventing possible rehospitalization.
(3) Ambulatory care services, (including outpatient hospital services) which shall include diagnostic and treatment services, physical therapy, speech therapy, occupational therapy services as appropriate, and those hospital services which can reasonably be provided on an ambulatory basis.
(4) Emergency services, including ambulance services and out-of-area coverage for emergency care.
(5) Diagnostic laboratory services, diagnostic and therapeutic radiological services, and other diagnostic services.
(6) Home health service, which shall include, where medically appropriate, health services provided at the home of an HCO enrollee as provided or prescribed by a physician or osteopath licensed to practice in California.  Such home health services shall be provided in the home, including nursing care, performed by a registered nurse, public health nurse, licensed vocational nurse or licensed home health aide.
(b) HCOs shall provide a description of the times, places and manner of providing services under the HCO, including a description of the geographical service area.  The geographical service area shall be designated by a list of the postal zip codes in the service area, and a map indicating the type and number of facilities within the service area.  The following requirements must be met unless the HCO shows that a lack of a type of provider exists in an area and that the minimum number is not available:
(1) At least one full-time equivalent primary treating physician shall be available within the geographical proximity specified in paragraph (2) for every 1,200 expected injuries or illnesses.  The HCO shall provide information on expected case-load and the methodology, data and assumptions used in the calculations.
(2) HCO enrollees must have a residence or workplace within 30 minutes or 15 miles of (i) a primary treating physician or (ii) a contracting or HCO-operating hospital, or if separate from such hospital, a contracting or HCO-operated provider of all emergency health care services.  Enrollees must have a residence or workplace within 60 minutes or 30 miles of all other occupational health services listed in subdivision (a).
(3) The HCO must provide a description of how access to any of the basic health services listed in subdivision (a) will be provided to HCO enrollees who reside outside the HCO's geographical service area such that the requirements of this subdivision are met.
(4) Initial treatment for non-emergency services must be made available by an HCO within 24 hours of the HCO's receipt of a request for treatment.
(5) The HCO must describe how treatment is initiated and how an HCO enrollee is assigned a primary treating physician.
(6) Enrollees shall be entitled to at least one change of physician for an injury.  The HCO shall provide the employee, within five days of a request by an HCO enrollee, with a choice of any other available participating provider in the appropriate specialty.
(7) HCO enrollees shall be provided with a second opinion, upon request, from a participating provider.
(8) The HCO must describe how it will make available interpreter's services, as required, for the treatment or evaluation of patients.
(9) The HCO must describe how the HCO will treat an injury or illness pending a claims administrator's decision concerning liability for treatment.
(10) HCOs must maintain and make available or insure that their contracted medical providers maintain and make available medical records to treating or evaluating physicians in a timely manner.
(c) The HCO shall describe its process for coordinating all aspects of medical treatment, including the coordination and monitoring of referrals to consultants, therapeutic or diagnostic facilities, reporting of treatment, being responsive to the HCO patient's request for change of physician or physician referrals as may be required by this article, and for ensuring timeliness of referrals and timely response to the primary treating physician.
(d) The HCO must include at least one full-time equivalent board-certified occupational medicine employed or contracting physician to provide expertise on workplace health and safety issues and prevention and treatment of occupational injuries and illnesses.  The HCO shall describe its ongoing educational program to ensure that all primary treating physicians receive education, training or experience in occupational medicine and workers compensation, including but not limited to, the following:
(1) The regulatory requirements for primary treating physicians in workers' compensation;
(2) Familiarity with workplace hazards, causes of workplace injury, work restrictions, and vocational rehabilitation;
(3) The requirements of medical-legal reports in workers compensation,
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 3209.3, 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9773.1. Referrals to Chiropractors.
Note     •     History

HCOs shall maintain guidelines for chiropractor care in accordance with paragraph (2) of subdivision (1) of Section 4600.5 of the Labor Code.  The HCO must include a description of the HCO's guidelines and utilization review process for chiropractic care, including the HCO's definition of “neuromusculoskeletal condition”, and the procedure whereby enrollees may be referred to chiropractors in accordance with the HCO's guidelines.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor  Code.  Reference: Section 3209.3, 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9774. Quality of Care.
Note     •     History

(a) An HCO must include a written program designed to ensure a level of care for occupational injuries and illnesses which meets professionally recognized standards of care.  The program must be designed and directed by providers to document that the quality of care provided is reviewed, that problems are identified, that effective action is taken to improve care where deficiencies are identified, that follow-up measures are planned where indicated, and that all of the requirements of this division are met.  The plans must describe the goals and objectives of the program and organizational arrangements, including staffing, the methodology for on-going monitoring and evaluation of health services, the scope of the program, and required levels of activity.  Quality of care problems must be identified and corrected.  The program must demonstrate that the HCO's utilization review activities are designed to improve the quality of care provided.
The HCO shall describe and implement a program, including the following:
(1) A description of the process whereby the medical reasonableness or medical necessity of requests for authorization are reviewed and decisions on such requests are made by the HCO.  The description shall include the specific criteria utilized  in the review and throughout the decision-making process, including treatment protocols or standards in any software, database, or other resource used in the process.  Treatment protocols must be consistent with any guidelines adopted pursuant to paragraph (8) of subdivision (e) of Section 139 of the Labor Code.
(2) A description of the qualifications of the personnel involved in reviewing and making decisions concerning requests for authorization, including the professional qualifications of the personnel, and the manner in which such personnel are involved in the review process.  Medical decisions must be rendered by physicians with licenses unrestricted by their licensing board.
(3) A description of manual and automated data storage and retrieval systems for medical and utilization review; and the types of data analyses, reports, and manner in which results are communicated to providers.
(b) The HCO's quality assurance committee shall meet on at least a quarterly basis or more frequently if problems have been identified, to oversee its quality assurance program responsibilities.  Reports to the HCO's governing body shall be sufficiently detailed to include findings and actions taken as a result of the quality assurance program and to identify those internal or contracting provider components which the quality assurance program had identified as presenting significant or chronic quality of care issues.
(c) The HCO is responsible for establishing a quality assurance program to monitor and evaluate the care provided by each contracting provider group or facility.  Medical groups or other provider entities may have active quality assurance programs which the HCO may use.  However, the HCO must retain responsibility for reviewing the overall quality of care delivered to HCO enrollees.  To the extent that the HCO's quality assurance responsibilities are delegated within the HCO or to a contracting provider or facility, the HCO shall provide evidence of an oversight mechanism for ensuring that delegated quality assurance functions are adequately performed.
(d) Physicians must be an integral part of the quality assurance program.  Design and implementation of the quality assurance program shall be supervised by designated physicians.  Physician participation in quality assurance activity must be adequate to monitor the full scope of clinical services rendered, resolve problems and ensure that corrective action is taken when indicated.  Specialist providers must also be involved in peer review of like specialties.
(e) The HCO may delegate inpatient quality assurance functions to hospitals, however in such case a HCO must fully describe and monitor that hospital's quality assurance program.
(f) The HCO must insure that all comprehensive medical-legal reports are prepared in an objective, fair, and unbiased manner, and that such reports are prepared in accordance with Section 4628 of the Labor Code, any applicable procedures promulgated under Section 139.2 of the Labor Code, and the requirements of Section 10606.  The HCO or physician shall retain, for no less than three years, copies of all comprehensive medical evaluation reports which are prepared by any of its physicians to determine an employee's eligibility for compensation.  These reports shall be made available to the administrative director upon request.  The administrative director may review such reports as he or she deems necesary to insure compliance with this subdivision, and the results of this review may be used to deny recertification if it is determined that a significant number of an HCO's reports show bias or are legally inadequate.
(g) The HCO must describe how it will assess its activities as required by Sections 9776 and 9776.1 and the HCO's system for assuring data quality.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600, 4600.5 and 4628, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9775. Grievance and Dispute Resolution Procedure.
Note     •     History

(a) HCOs must maintain a grievance procedure under which HCO enrollees or participating providers may submit grievances to the HCO.  Each HCO must include a system for resolving disputes which shall include HCO enrollee disputes with a provider and a provider's dispute with the HCO.  The HCO must provide that either an HCO enrollee or a provider shall be able to initiate a grievance.  Each HCO must provide reasonable procedures which insure adequate consideration of enrollee and provider grievances or disputes and which provide prompt rectification when appropriate.
(b) Compliant forms and a copy of the grievance procedure shall be readily available through each provider facility and through the claims administrator, and shall be furnished promptly upon receipt of a verbal or written request.
(c) If a grievance or dispute concerns the medical reasonableness or medical necessity of treatment recommended by a provider, the HCO must provide for an expedited procedure for review of the grievance or dispute by physicians or qualified professional providers not previously involved in the grievance or dispute and who possess the specialty which is appropriate to the medical nature of the disputed treatment.  Under no circumstance may the appeal decision be made by a registered nurse.  The HCO must issue a written decision as to the grievance or dispute within 30 days unless the HCO enrollee's medical condition requires a more expedited decision.
(d) Each HCO shall inform providers and HCO enrollees, or their representatives, that they may file a written complaint to the administrative director
(e) The HCO shall annually provide to the administrative director a summary of written grievances received concerning the provision of occupational health services, including the number of total grievances received and processed.  Records of all written grievances concerning the provision of occupational health services, including the name of the grievant, the nature of the complaint or grievance, and the manner in which the grievance was resolved or referred for further action, shall be kept by the HCO for a period of not less than 3 years and shall be made available by the HCO to the administrative director as he or she deems necessary.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9776. Workplace Safety and Health.
History

(a) The HCO must maintain the capability to work cooperatively and in conjunction with claims administrators, employers, and employees to promote workplace health and safety and to detect workplace exposures and hazards, including:
(1) education of employees and employers on health and medical aspects of workplace health and safety issues;
(2) consultation on employee medical screening for early detection of occupational disease, and assessment of workplace risk factors.
(b) An HCO shall include in contracts with claims administrators a provision which enables the HCO to obtain upon request information to allow appropriate provider decision-making regarding diagnoses, patient medical restrictions, early disease detection, or return-to-work, which may include:
(1) the employer's written Injury and Illness Prevention Plan, including the name and title of individual responsible for implementing the plan.
(2) information concerning exposure levels for specified materials, and information, including Material Safety Data Sheets, concerning health, safety, and ergonomic risk factors in the workplace.
(3) the name and title of the individual responsible for loss control services for each employer.
(c) The HCO shall have in place a program for prompt reporting, to the employer or insurer loss control program and to the employer's designee responsible for the Injury and Illness Prevention Plan, of the following occupational injuries and illnesses: occupational asthma; cumulative trauma disorders of the upper extremities; lead poisoning; amputations (excluding amputations of the distal phalanges); noise-induced hearing loss; pesticide illness; electrocutions; asphyxiation; and burns and falls from heights requiring hospitalization.
(d) The HCO shall annually report to the insurer loss control program or to the employer's designee responsible for the Injury and Illness Prevention Plan as designated in the contract between the HCO and the claims administrator, aggregate data on injuries and illnesses.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9776.1. Return to Work Coordination.
History

An HCO shall maintain a return to work program in conjunction with the employer and claims administrator to facilitate and coordinate returning injured workers to the workplace, to assess the feasibility and availability of modified work or modified duty, and to minimize risk of employee exposure after return to work to risk factors which may aggravate or cause recurrence of injury.  The duties of the HCO shall be specified in the contract between the HCO and the claims administrator.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9777. Patient Assistance and Notification.
Note     •     History

(a) The HCO shall inform HCO enrollees upon enrollment in the plan and annually thereafter of the details of their coverage, and their rights and options under the HCO including: (1) how HCO enrollees are informed of the procedure for processing and resolving grievances, including the location(s) and telephone number where grievances may be submitted; and (2) how HCO enrollees are informed of their right to file a complaint with the administrative director in accordance with subdivision (d) of Section 9775.
(b) The HCO shall provide patient education specifically designed for injured workers with work-related injuries or illnesses.
(c) HCO enrollees must be able to receive information on a 24-hour basis regarding the availability of necessary medical services available within the HCO.  The information may be provided through recorded telephone message after normal working hours.  It must include information on how the enrollee can obtain emergency services or other urgently needed care and how the employee can access an evaluation within 24 hours of the injury as required under paragraph 4 of subdivision (b) of section 9773.
(d) Informational materials must be in a form understandable to all enrollees and available in Spanish.  HCOs must provide in their application a description of how the information specified in subdivisions (a) through (c) will be provided to HCO enrollees.  A copy of the informational material provided to HCO enrollees, including the text of phone messages, shall be made available to the administrative director upon request.
(e) The HCO shall provide for periodic evaluation of the HCO by enrollees.  The HCO must provide a survey to HCO enrollees and patients, which shall be in the form and manner prescribed by the administrative director.  The HCO must describe its method for incorporating the results of the survey in its quality assurance program.  The completed forms and any data extracted from such forms shall be made available to the administrative director upon request.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9778. Evaluation.
Note     •     History

(a) The HCO must include a timely and accurate method to report to the administrative director the following information, in a standardized format to be prescribed by the administrative director:
(1) Aggregated information on the number of HCO enrollees and their age, sex, geographical distribution, occupation, and SIC, by federal employer identification number.
(2) Information required to be provided pursuant to this section shall be made available by the HCO to the administrative director, in a form and manner to be prescribed by the administrative director, annually, on March 1.
(b) Information regarding medical and health care service cost and utilization, rates of return to work, and average time in medical treatment shall be submitted by the claims administrator in the format specified in Article 1.1 (commencing with section 9700).
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. New subsections (c)-(c)(2) filed 10-7-99; operative 3-1-2000 (Register 99, No. 41).
3. Amendment filed 11-4-2009; operative 1-1-2010 (Register 2009, No. 45).
§9779. Certification.
Note     •     History

(a) Once an applicant has completed an application and submitted a fee in accordance with Section 9771 and has demonstrated to the administrative director that its organization has met all of the criteria for certification, the administrative director will certify the organization as an HCO for a period of three years, unless earlier revoked or suspended.
(b) Once the Administrative Director has determined that an entity licensed as a full service health care service plan under Section 1353 of the Health and Safety Code (a Knox-Keene Health Care Service Plan Act) and deemed to be an HCO pursuant to Labor Code Section 4600.5(c) has complied with the requirements of Section 9771 subsections (g)(1) and (2) the administrative director shall certify the organization as an HCO, pursuant to Section 4600.5(c), for a period of three years unless earlier revoked or suspended.
(c) A certification shall state that a particular entity is certified as a health care organization to provide health care to injured employees for injuries and diseases and other services in accordance with the terms of the entity's application. The certification shall also state: (1) the geographic service area in which the health care organization is permitted to provide health care, (2) the maximum number of enrollees, (3) the name or names under which the health care organization is permitted to provide health care, (4) the date of expiration of the certification, and (5) any other conditions or limitations.
(d) The HCO will be recertified at the expiration of each subsequent three year period, provided it continues to meet the requirements of this article and timely pays a recertification fee of $1,000.
NOTE

Authority cited: Sections 133, 4600.5, 4600.7, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600, 4600.5 and 4600.7, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Amendment of subsection (a), repealer and new subsection (b), amendment of subsection (c), repealer and new subsection (d), repealer of subsection (e), and amendment of Note filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. New subsection (b), repealer of subsection (d) and subsection relettering filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
4. Amendment of subsection (d) filed 11-4-2009; operative 1-1-2010 (Register 2009, No. 45).
§9779.1. On-Site Surveys.
Note     •     History

(a) The HCO must ensure that it will be available for and cooperate with on-site surveys as the administrative director deems necessary to insure compliance with this article, including during the initial certification process.  The administrative director will coordinate on-site surveys with the Department of Managed Health Care to the extent feasible.  
(b) The administrative director will notify the HCO of deficiencies found by the survey team.  The administrative director will provide the HCO a reasonable time to correct the deficiencies.  Failure on the part of the HCO to timely correct noted deficiencies may result in suspension or revocation of an HCO's certification in accordance with Section 9779.2.
(c) Reports of all surveys shall be open to public inspection, except that no survey shall be made public unless the HCO has had an opportunity to review the survey and file a statement in response within 30 days, to be attached to the report.  Deficiencies shall not be made public if they are corrected within 30 days of the date that the HCO was notified.
(d) Non-routine audits will be charged based on the actual cost for performing the audit. The amount shall include the actual salaries or compensation paid to the persons making the audit, the expenses incurred in the course thereof, and overhead costs in connection therewith as fixed by the Administrative Director. Overhead costs shall be based on the total expenditure for operating expenses and equipment, except travel, of the managed care unit of the Division of Workers' Compensation for the previous fiscal year. The invoice will be sent upon the completion of the audit and shall be paid within 30 calendar days.
NOTE

Authority cited: Sections 133, 4600.5, 4600.7, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600, 4600.5 and 4600.7, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Editorial correction of section heading (Register 96, No. 7).
3. New subsection (d) and amendment of Note filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
4. Amendment of subsection (a) filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9779.2. Suspension; Revocation; Hearing.
Note     •     History

(a) Complaints pertaining to an HCO's violations of this article may be directed in writing to the administrative director.  Upon receipt of a complaint, or in the course of monitoring the HCO's operations, the administrative director may investigate an alleged violation.  The investigation may include, but not be limited to, a request for and review of pertinent HCO records, interviewing medical and administrative personnel, or an on-site medical survey.  If the investigation reveals reasonable cause to belive that the HCO has violated a requirement of this article, the administrative director may initiate proceedings to suspend or revoke an HCO's certification.
(b) Certification of an HCO may be suspended or revoked if:
(1) Service under the HCO is not being provided according to the terms of the certified HCO.
(2) The HCO fails to meet the requirements of this article, the Labor Code, or other applicable law.
(3) False or misleading information is knowingly or repeatedly submitted by the HCO or a participating provider or the HCO knowingly or repeatedly fails to report information required by this article.
(4) The HCO knowingly continues to use the services of a provider or medical reviewer whose license, registration, or certification has been suspended or revoked or who is otherwise ineligible to provide treatment to an inured worker under California law.
(c) In the event an HCO or organization is formally notified of the administrative director's intention to revoke or suspend the HCO's certification, or to refuse certification or recertification as an HCO, the HCO or organization shall be entitled to a hearing before the administrative director or an administrative law judge which shall be shall be held in accordance with the Administrative Procedure Act {Chapter 5 (commencing with Section 11500), of Part 1 of Division 3 of Title 2 of the Government Code}, and the administrative director shall have all of the powers granted under that act.
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code.  Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9779.3. Obligations of Employer Covered by a Contract with a Health Care Organization.
Note     •     History

(a) When an insurer or employers, a group of self-insured employers, or self-insured employers have contracted with a health care organization certified pursuant to Section 4600.5 of the Labor Code the employer shall provide information to all employees who are eligible to be enrolled in the health care organization as follows:
(1) a new employee shall be provided with the choice of enrolling in an HCO or designating the employee's own personal physician or personal chiropractor no later than 30 days following the employee's date of hire.
(2) a current employee shall be provided with the choice of enrolling in an HCO or designating the employee's own personal physician or personal chiropractor no later than 30 days before the initial enrollment period ends;
(3) an employer must provide information concerning the HCO it is offering to its employees no later than 30 days prior to the final date for enrollment. Information shall be provided in written form, in no less than twelve (12) point typeface, and in a language understandable to employees. The information provided must include, at a minimum, the following:
(i) the name of the HCO offered;
(ii) the corporate or business name of all entities which own or control the HCO offered; and indication of relationship, if any, of the HCO to workers' compensation carrier or self-insured employer;
(iii) the services offered by the HCO;
(iv) a complete listing of all primary treating physicians, specialist physicians, and clinics participating in the HCO who would be reasonably accessible to the employee for the provision of occupational health services. Primary treating physicians who are not accepting new patients must be clearly identified;
(v) If the HCO is also the provider of group health coverage for non-occupational health services, the HCO policy regarding enrollees' ability to use their personal physician (for non-occupational health services) for treatment of work injuries.
(vi) any provider risk-sharing arrangements related to utilization of services.
(4) Within fifteen days following enrollment, the HCO must provide to each enrollee complete information regarding HCO services and processes, including but not limited to:
(i) the services offered, including interpreters services, how such services are obtained, hours of services;
(ii) the definition of emergency care, how to obtain out-of-service treatment, how to obtain after-hours services;
(iii) case management and medical management processes, selection of the primary treating physician, and method for obtaining second opinions, change of physician, or referrals to chiropractors, physical therapists, or specialists;
(iv) the grievance and dispute resolution procedures;
(v) additional services offered, including return to work, health and safety, patient assistance, and patient education.
(b) Employees shall designate their enrollment option on form DWC 1194. This form must be maintained in the employee's personnel file for a minimum of three (3) years, and be made available to the employee or employee's representative on request.
Employees who designate on form DWC 1194 that they do not wish to enroll in an HCO and wish to pre-designate their own personal physician or personal chiropractor or personal acupuncturist shall pre-designate that personal physician or personal chiropractor or personal acupuncturist on the form 1194. At least once each year the employer shall provide the employee with a notice informing the employee of his or her right to continue as an enrollee of the HCO, change to another HCO if another HCO is offered by the employer, or designate the employee's own personal physician, personal chiropractor or personal acupuncturist  instead of the HCO. If another HCO is offered by the employer and the employee chooses to change to another HCO, or if the employee chooses to designate a personal physician, personal chiropractor or personal acupuncturist, the employee shall designate such choice on a form DWC 1194, which shall be provided by the employer.
NOTE

Authority cited: Sections 133, 4600.3, 4600.5, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4600.3 and 4600.5, Labor Code.
HISTORY

1. New section filed 3-27-95; operative 3-27-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 13).
2. Amendment filed 5-17-99; operative 5-17-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 21).
3. Amendment of section heading and section filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9779.4. DWC Form 1194.
Note     •     History

View Graphic

View Graphic
NOTE

Authority cited: Sections 133, 4600.5, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 3-27-95; operative 3-27-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 13).
2. Amendment filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9779.5. Reimbursement of Costs to the Administrative Director; Obligation to Pay Share of Administrative Expense.
Note     •     History

(a) Each organization certified under this article shall pay to the administrative director an amount as estimated by the administrative director for the ensuing fiscal year, as a reimbursement of a share of all costs and expenses, including routine on-site surveys, data collection and dissemination and overhead, reasonably incurred in the administration of this article and not otherwise recovered by the administrative director under this article or from the Worker's Compensation Managed Care Fund. The amount shall be assessed annually on or before April 15 and may be paid to the Workers' Compensation Managed Care Fund in two equal installments. The first installment shall be paid on or before July 1 of each year and the second installment shall be paid on or before December 15 of each year.
(1) Annual Assessment: The assessment shall be calculated on the basis of the number of enrollees in each individual HCO. Based on the number of enrollees enrolled in the HCO on December 31 of the prior calendar year, the annual assessment shall be $250.00 for 0 to 1000 enrollees, $350 for 1001 to 5000 enrollees, and $500 for 5001 or more enrollees.
(b) Non-routine audits conducted in response to complaints will be charged based on the actual cost for performing the audit. The invoice will be sent within sixty days of the completion of the audit and shall be paid within 30 calendar days after the billing date.
(c) In no case shall the reimbursement, payment, or other fee authorized by this section exceed the cost, including overhead, reasonably incurred in the administration of this article.
NOTE

Authority cited: Sections 133, 4600.5, 4600.7, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
2. Amendment of subsection (a)(1) and repealer and new subsection (a)(2) filed 5-17-99; operative 5-17-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 21).
3. Amendment of subsection (a)(1) and repealer of subsection (a)(2) filed 11-4-2009; operative 1-1-2010 (Register 2009, No. 45).
§9779.9. Late Payment. [Repealed]
Note     •     History

NOTE

Authority: Sections 133, 4600.5, 4600.7, 4603.5, 5307.3, Labor Code. Reference: Sections 4600, 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
2. Repealer filed 11-4-2009; operative 1-1-2010 (Register 2009, No. 45).
§9779.45. Minimum Periods of Enrollment.
Note     •     History

Pursuant to Labor Code Section 4600.3:
(a) An employee whose employer does not offer non-occupational health coverage under a plan established pursuant to collective bargaining, and does not offer to pay more than one-half the cost of non-occupational health coverage for that employee under another plan, may be treated for occupational injuries and illnesses by a physician of the employee's choosing after 90 days from the date the injury was reported.
(b) An employee whose employer offers non-occupational health coverage under a plan established pursuant to collective bargaining, or offers to pay more than one-half the cost of non-occupational health coverage for that employee under another plan, may be treated for occupational injuries and illnesses by a physician of the employee's choosing after 180 days from the date the injury was reported or upon the date of contract renewal or open enrollment of the health care organization, whichever occurs first, but in no case until 90 days from the date the injury was reported.
NOTE

Authority cited: Sections 133, 4600.3, 4600.5, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4600.3 and 4600.5, Labor Code.
HISTORY

1. New section filed 5-17-99; operative 5-17-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 21).
2. Repealer of subsection (c) filed 1-9-2003; operative 1-9-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 2). 
§9779.5. Reimbursement of Costs to the Administrative Director; Obligation to Pay Share of Administrative Expense.
Note     •     History

(a) Each organization certified under this article shall pay to the administrative director an amount as estimated by the administrative director for the ensuing fiscal year, as a reimbursement of a share of all costs and expenses, including routine on-site surveys, data collection and dissemination and overhead, reasonably incurred in the administration of this article and not otherwise recovered by the administrative director under this article or from the Worker's Compensation Managed Care Fund. The amount shall be assessed annually on or before April 15 and may be paid to the Workers' Compensation Managed Care Fund in two equal installments. The first installment shall be paid on or before July 1 of each year and the second installment shall be paid on or before December 15 of each year.
(1) Annual Assessment: The assessment shall be calculated on the basis of the number of enrollees in each individual HCO. Each HCO will be assessed a sum equivalent to $1.00 per enrollee, based on the number of enrollees enrolled in the HCO on December 31 of the prior calendar year.
(2) Loan Repayment Surcharge: Each HCO will be assessed an annual surcharge of fifty cents per enrollee, based on the number of enrollees in the HCO on December 31 of the prior claendar year, until the loan is fully repaid. This surcharge will be used solely to reimburse the general fund for the loan made to the Workers' Compensation Managed Care Fund. The surcharge shall be assessed at this level for up to five years, commencing with the 1999 assessment. If the general fund loan has not been fully repaid after five years, the annual surcharge for each HCO shall be adjusted the following three years to fully repay the loan as follows:
2004: (One-third of outstanding loan balance) divided by (total number of enrollees in all certified HCOs) times (number of enrollees in HCO)
2005: (One-half of outstanding loan balance) divided by (total number of enrollees in all certified HCOs) times (number of enrollees in HCO)
2006: (Total outstanding loan balance) divided by (total number of enrollees in all certified HCOs) times (number of enrollees in HCO)
(b) Non-routine audits conducted in response to complaints will be charged based on the actual cost for performing the audit. The invoice will be sent within sixty days of the completion of the audit and shall be paid within 30 calendar days after the billing date.
(c) In no case shall the reimbursement, payment, or other fee authorized by this section exceed the cost, including overhead, reasonably incurred in the administration of this article.
NOTE

Authority cited: Sections 133, 4600.5, 4600.7, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600 and 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
2. Amendment of subsection (a)(1) and repealer and new subsection (a)(2) filed 5-17-99; operative 5-17-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 21).
§9779.8 Copies of Documents.
Note     •     History

Fees for copies of documents will be charged as set forth in Section 9990. Any request for copies of documents must include payment of fees by check or money order made payable to the Workers' Compensation Managed Care Fund.
NOTE

Authority: Sections 133, 4600.5, 4600.7, 4603.5, 5307.3, Labor Code. Reference: Sections 4600, 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
§9779.9 Late Payment.
Note     •     History

Failure to pay fees and assessments within sixty days after the date due pursuant to this section shall allow the administrative director to charge a late payment fee for any outstanding amount at a rate of ten percent after sixty days or one hundred dollars, whichever is greater. In addition, after sixty days a late fee of ten percent per year shall be assessed on any outstanding amount. In addition, the administrative director may suspend or revoke certifications of HCOs which fail to pay fees and assessment in a timely manner.
NOTE

Authority: Sections 133, 4600.5, 4600.7, 4603.5, 5307.3, Labor Code. Reference: Sections 4600, 4600.5, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
Article 5. Predesignation of Personal Physician; Request for Change of Physician; Reporting Duties of the Primary Treating Physician; Petition for Change of Primary Treating Physician
§9780. Definitions.
Note     •     History

As used in this Article:
(a) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a self-administered joint powers authority, a self-administered legally uninsured, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority. 
(b) “Emergency health care services” means health care services for a medical condition manifesting itself by acute symptoms of sufficient severity such that the absence of immediate medical attention could reasonably be expected to place the patient's health in serious jeopardy. 
(c) “Facility” means a hospital, clinic or other institution capable of providing the medical, surgical, chiropractic or hospital treatment which is reasonably required to cure or relieve the employee from the effects of the injury.
(d) “First aid” is any one-time treatment, and a follow-up visit for the purpose of observation of minor scratches, cuts, burns, splinters, etc., which do not ordinarily require medical care. Such one-time treatment, and follow-up visit for the purpose of observation, is considered first aid, even though provided by a physician or registered professional personnel.
(e) “Nonoccupational group health coverage” means coverage for nonoccupational health care that the employer makes available to the employee, including, but not limited to, a Taft Hartley or Employee Retirement Income Security Act (ERISA) trust, or a health plan negotiated between a union or employee's association and the employer or employer's association. 
(f) “Personal Physician” means (1) the employee's regular physician and surgeon, licensed pursuant to Chapter 5 (commencing with section 2000) of Division 2 of the Business and Professions Code, (2) who has been the employee's primary care physician, and has previously directed the medical treatment of the employee, and (3) who retains the employee's medical records, including the employee's medical history. “Personal physician” includes a medical group, if the medical group is a single corporation or partnership composed of licensed doctors of medicine or osteopathy, which operates an integrated multispecialty medical group providing comprehensive medical services predominantly for nonoccupational illnesses and injuries.
(g) “Primary Care Physician” means a physician who has the responsibility for providing initial and primary care to patients, for maintaining the continuity of patient care, and for initiating referral for specialist care. A primary care physician shall be either a physician who has limited his or her practice of medicine to general practice or who is a board-certified or board-eligible internist, pediatrician, obstetrician-gynecologist, or family practitioner. 
(h) “Reasonable geographic area” within the context of Labor Code section 4600 shall be determined by giving consideration to: 
(1) The employee's place of residence, place of employment and place where the injury occurred; and 
(2) The availability of physicians in the fields of practice, and facilities offering treatment reasonably required to cure or relieve the employee from the effects of the injury; 
(3) The employee's medical history; 
(4) The employee's primary language. 
NOTE

Authority cited: Sections 59, 133 and 4603.5, Labor Code. Reference: Section 4600, Labor Code.
HISTORY

1. Repealer of Article 5 (Sections 9783-9785, 9787 and 9788) and new Article 5 (Sections 9780-9787) filed 1-28-76 as an emergency; effective upon filing (Register 76, No. 5). For prior history, see Register 70, No. 49, and Register 72, No. 51.
2. Certificate of Compliance filed 1-29-76 (Register 76, No. 5).
3. New subsections (f)-(i) filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Repealer and new article 5 heading and amendment of section and Note filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
5. Editorial correction of subsection (f) (Register 2007, No. 7).
6. Change without regulatory effect amending subsection (f) filed 2-21-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 8).
§9780.1. Employee's Predesignation of Personal Physician.
Note     •     History

(a) An employee may be treated for an industrial injury in accordance with section 4600 of the Labor Code by a personal physician that the employee predesignates prior to the industrial injury if the following three conditions are met: 
(1) Notice of the predesignation of a personal physician is in writing, and is provided to the employer prior to the industrial injury for which treatment by the personal physician is sought. The notice shall include the personal physician's name and business address. The employee may use the optional predesignation form (DWC Form 9783) in section 9783 for this purpose. 
(2) The employer provides: (i) nonoccupational group health coverage in a health care service plan, licensed pursuant to Chapter 2.2 (commencing with section 1340) of Division 2 of the Health and Safety Code, or (ii) nonoccupational health coverage in a group health plan or a group health insurance policy as described in section 4616.7 of the Labor Code. The employer's provision of health coverage as defined herein is sufficient to meet this requirement, regardless of whether the employee accepts or participates in this health coverage. 
(3) The employee's personal physician agrees to be predesignated prior to the injury. The personal physician may sign the optional predesignation form (DWC Form 9783) in section 9783 as documentation of such agreement. The physician may authorize a designated employee of the physician to sign the optional predesignation form on his or her behalf. If the personal physician or the designated employee of the physician does not sign a predesignation form, there must be other documentation that the physician agrees to be predesignated prior to the injury in order to satisfy this requirement. 
(b) If an employee has predesignated a personal physician prior to the effective date of these regulations, such predesignation shall be considered valid if the conditions in subdivision (a) have been met. 
(c) Where an employer or an employer's insurer has a Medical Provider Network pursuant to section 4616 of the Labor Code, an employee's predesignation which has been made in accordance with this section shall be valid and the employee shall not be subject to the Medical Provider Network. 
(d) Where an employee has made a valid predesignation pursuant to this section, and where the employer or employer's insurer has a Medical Provider Network, any referral to another physician for other treatment need not be within the Medical Provider Network. 
(e) An employer who qualifies under (a)(2) of this section shall notify its employees of all of the requirements of this section and provide its employees with an optional form for predesignating a personal physician, in accordance with section 9880. The employer may use the predesignation form (DWC Form 9783) in section 9783 for this purpose. 
(f) Unless the employee agrees, neither the employer nor the claims administrator shall contact the predesignated personal physician to confirm predesignation status or contact the personal physician regarding the employee's medical information or medical history prior to the personal physician's commencement of treatment for an industrial injury. 
(g) Where the employer has been notified of an employee's predesignation of a personal physician in accordance with this section and where the employer becomes liable for an employee's medical treatment, the claims administrator shall: 
(1) authorize the predesignated physician to provide all medical treatment reasonably required to cure or relieve the injured employee from the effects of his or her injury; 
(2) furnish the name and address of the person to whom billing for treatment should be sent; 
(3) where there has been treatment of an injury prior to commencement of treatment by the predesignated physician, arrange for the delivery to the predesignated physician of all medical information relating to the claim, all X-rays, the results of all laboratory studies done in relation to the injured employee's treatment; and 
(4) provide the physician with (1) the fax number, if available, to be used to request authorization of treatment plans; (2) the complete requirements of section 9785; and (3) the forms set forth in sections 9785.2 and 9785.4. In lieu of providing the materials required in (2) and (3) immediately above, the claims administrator may refer the physician to the Division of Workers' Compensation's website where the applicable information and forms can be found at http://www.dir.ca.gov/DWC/dwc_home_page.htm. 
(h) Notwithstanding subdivision (g), the employer shall provide first aid and appropriate emergency health care services reasonably required by the nature of the injury or illness. Thereafter, if further medical treatment is reasonably required to cure or relieve the injured employee from the effects of his or her injury, the claims administrator shall authorize treatment with the employee's predesignated personal physician in accordance with subdivision (g). 
(i) If documentation of a physician's agreement to be predesignated has not been provided to the employer as of the time of injury, treatment shall be provided in accordance with Labor Code section 4600, or Labor Code section 4616, if the employer or insurer has established a Medical Provider Network, as though no predesignation had occurred. Upon provision of the documented agreement that was made prior to injury that meets the conditions of Labor Code section 4600(d), the employer or claims administrator shall authorize treatment with the employee's predesignated physician as set forth in subdivision (g). 
NOTE

Authority cited: Sections 59, 133 and 4603.5, Labor Code. Reference: Sections 3551, 4600 and 4616, Labor Code.
HISTORY

1. New section filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45).
2. Amendment of section heading, repealer and new section and amendment of Note filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9780.2. Employer's Duty to Provide First Aid and Emergency Treatment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 124, 127, 133, 138.2, 138.3, 138.4, 139, 139.5, 139.6, 4600, 4601, 4602, 4603, 4603.2, 4603.5, 5307.3, 5450, 5451, 5452, 5453, 5454, and 5455, Labor Code. Reference: Chapters 442, 709, and 1172, Statutes of 1977; Chapter 1017, Statutes of 1976.
HISTORY

1. New section filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45).
2. Repealer filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9781. Employee's Request for Change of Physician.
Note     •     History

(a) This section shall not apply to self-insured and insured employers who offer a Medical Provider Network pursuant to section 4616 of the Labor Code. 
(b) Pursuant to section 4601 of the Labor Code, and notwithstanding the 30 day time period specified in subdivision (c), the employee may request a one time change of physician at any time. 
(1) An employee's request for change of physician pursuant to this subdivision need not be in writing. The claims administrator shall respond to the employee in the manner best calculated to inform the employee, and in no event later than 5 working days from receipt of said request, the claims administrator shall provide the employee an alternative physician, or if the employee so requests, a chiropractor or acupuncturist. 
(2) Notwithstanding subdivision (a) of section 9780.1, if an employee requesting a change of physician pursuant to this subdivision has notified his or her employer in writing prior to the date of injury that he or she has either a personal chiropractor or a personal acupuncturist, and where the employee so requests, the alternative physician tendered by the claims administrator to the employee shall be the employee's personal chiropractor or personal acupuncturist as defined in subdivisions (b) and (c), respectively, of Labor Code section 4601. The notification to the employer must include the name and business address of the chiropractor or acupuncturist. The employer shall notify its employees of the requirements of this subdivision and provide its employees with an optional form for notification of a personal chiropractor or acupuncturist, in accordance with section 9880. DWC Form 9783.1 in section 9783.1 may be used for this purpose. 
(3) Except where the employee is permitted to select a personal chiropractor or acupuncturist as defined in subdivisions (b) and (c), respectively, of Labor Code section 4601, the claims administrator shall advise the employee of the name and address of the alternative physician, or chiropractor or acupuncturist if requested, the date and time of an initial scheduled appointment, and any other pertinent information. 
(c) Pursuant to section 4600, after 30 days from the date the injury is reported, the employee shall have the right to be treated by a physician or at a facility of his or her own choice within a reasonable geographic area. 
(1) The employee shall notify the claims administrator of the name and address of the physician or facility selected pursuant to this subdivision. However, this notice requirement will be deemed to be satisfied if the selected physician or facility gives notice to the claims administrator of the commencement of treatment or if the claims administrator receives this information promptly from any source. 
(2) If so requested by the selected physician or facility, the employee shall sign a release permitting the selected physician or facility to report to the claims administrator as required by section 9785. 
(d) When the claims administrator is notified of the name and address of an employee-selected physician or facility pursuant to subdivision (c), or of a personal chiropractor or acupuncturist pursuant to paragraph (2) of subdivision (b), the claims administrator shall: 
(1) authorize such physician or facility or personal chiropractor or acupuncturist to provide all medical treatment reasonably required pursuant to section 4600 of the Labor Code; 
(2) furnish the name and address of the person to whom billing for treatment should be sent; 
(3) arrange for the delivery to the selected physician or facility of all medical information relating to the claim, all X-rays and the results of all laboratory studies done in relation to the injured employee's treatment; and 
(4) provide the physician or facility with (1) the fax number, if available, to be used to request authorization of treatment plans; (2) the complete requirements of section 9785; and (3) the forms set forth in sections 9785.2 and 9785.4. In lieu of providing the materials required in (2) and (3) immediately above, the claims administrator may refer the physician or facility to the Division of Workers' Compensation's website where the applicable information and forms can be found at http://www.dir.ca.gov/DWC/dwc_home_page.htm. 
NOTE

Authority cited: Sections 133 and 4603.5, Labor Code. Reference: Sections 3551, 4600 and 4601, Labor Code.
HISTORY

1. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Repealer and new section and amendment of Note filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9782. Notice to Employee of Right to Choose Physician.
Note     •     History

(a) Except for an employer who has established a Medical Provider Network, or an employer whose insurer has established a Medical Provider Network, every employer shall advise its employees in writing of an employee's right (1) to request a change of treating physician if the original treating physician is selected initially by the employer pursuant to Labor Code section 4601, and (2) to be treated by a physician of his or her own choice 30 days after reporting an injury pursuant to subdivision (c) of Labor Code 4600.
(b) Every employer shall advise its employees in writing of an employee's right to predesignate a personal physician pursuant to subdivision (d) of Labor Code section 4600, and section 9780.1. 
(c) The notices required by this section shall be provided in accordance with section 9880 and posted in accordance with section 9881. 
NOTE

Authority cited: Sections 133 and 4603.5, Labor Code. Reference: Sections 3550, 3551, 4600, 4601 and 4616, Labor Code.
HISTORY

1. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Repealer and new section filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45).
3. Amendment of section and Note filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9783. DWC Form 9783 Predesignation of Personal Physician.
Note     •     History

PREDESIGNATION OF PERSONAL PHYSICIAN

In the event you sustain an injury or illness related to your employment, you may be treated for such injury or illness by your personal medical doctor (M.D.), doctor of osteopathic medicine (D.O.) or medical group if: 
· your employer offers group health coverage; 
· the doctor is your regular physician, who shall be either a physician who has limited his or her practice of medicine to general practice or who is a board-certified or board-eligible internist, pediatrician, obstetrician-gynecologist, or family practitioner, and has previously directed your medical treatment, and retains your medical records; 
· your “personal physician” may be a medical group if it is a single corporation or partnership composed of licensed doctors of medicine or osteopathy, which operates an integrated multispecialty medical group providing comprehensive medical services predominantly for nonoccupational illnesses and injuries;
· prior to the injury your doctor agrees to treat you for work injuries or illnesses; 
· prior to the injury you provided your employer the following in writing: (1) notice that you want your personal doctor to treat you for a work-related injury or illness, and (2) your personal doctor's name and business address. 
You may use this form to notify your employer if you wish to have your personal medical doctor or a doctor of osteopathic medicine treat you for a work-related injury or illness and the above requirements are met. 
NOTICE OF PREDESIGNATION OF PERSONAL PHYSICIAN 

View Graphic
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Section 4600, Labor Code
HISTORY

1. Amendment filed 11-11-78; effective thirtieth day thereafter (Register 78, No. 45).
2. Repealer and new section heading, section and Note filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
3. Change without regulatory effect amending section filed 2-21-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 8).
§9783.1. DWC Form 9783.1 Notice of Personal Chiropractor or Personal Acupuncturist.
Note     •     History

NOTICE OF PERSONAL CHIROPRACTOR OR PERSONAL 
ACUPUNCTURIST 
If your employer or your employer's insurer does not have a Medical Provider Network, you may be able to change your treating physician to your personal chiropractor or acupuncturist following a work-related injury or illness. In order to be eligible to make this change, you must give your employer the name and business address of a personal chiropractor or acupuncturist in writing prior to the injury or illness. Your claims administrator generally has the right to select your treating physician within the first 30 days after your employer knows of your injury or illness. After your claims administrator has initiated your treatment with another doctor during this period, you may then, upon request, have your treatment transferred to your personal chiropractor or acupuncturist. 
You may use this form to notify your employer of your personal chiropractor or acupuncturist. 

View Graphic
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600 and 4601, Labor Code. 
HISTORY

1. New section filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9784. Duties of the Employer. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 124, 127, 133, 138.2, 138.3, 138.4, 139, 139.5, 139.6, 4600, 4601, 4602, 4603, 4603.2, 4603.5, 5307.3, 5450, 5451, 5452, 5453, 5454, and 5455, Labor Code. Reference: Chapters 442, 709, and 1172, Statutes of 1977; Chapter 1017, Statutes of 1976.
HISTORY

1. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Amendment filed 11-11-78; effective thirtieth day thereafter (Register 78, No. 45).
3. Repealer filed 3-14-2006; operative 3-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 11).
§9785. Reporting Duties of the Primary Treating Physician.
Note     •     History

(a) For the purposes of this section, the following definitions apply:
(1) The “primary treating physician” is the physician who is primarily responsible for managing the care of an employee, and who has examined the employee at least once for the purpose of rendering or prescribing treatment and has monitored the effect of the treatment thereafter. The primary treating physician is the physician selected by the employer, the employee pursuant to Article 2 (commencing with section 4600) of Chapter 2 of Part 2 of Division 4 of the Labor Code, or under the contract or procedures applicable to a Health Care Organization certified under section 4600.5 of the Labor Code, or in accordance with the physician selection procedures contained in the medical provider network pursuant to Labor Code section 4616. 
(2) A  “secondary physician” is any physician other than the primary treating physician who examines or provides treatment to the employee, but is not primarily responsible for continuing management of the care of the employee.
(3) “Claims administrator” is a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(4) “Medical determination” means, for the purpose of this section, a decision made by the primary treating physician regarding any and all medical issues necessary to determine the employee's eligibility for compensation. Such issues include but are not limited to the scope and extent of an employee's continuing medical treatment, the decision whether to release the employee from care, the point in time at which the employee has reached permanent and stationary status, and the necessity for future medical treatment.
(5) “Released from care” means a determination by the primary treating physician that the employee's condition has reached a permanent and stationary status with no need for continuing or future medical treatment.
(6) “Continuing medical treatment” is occurring or presently planned treatment that is reasonably required to cure or relieve the employee from the effects of the injury.
(7) “Future medical treatment” is treatment which is anticipated at some time in the future and is reasonably required to cure or relieve the employee from the effects of the injury.
(8) “Permanent and stationary status” is the point when the employee has reached maximal medical improvement, meaning his or her condition is well stabilized, and unlikely to change substantially in the next year with or without medical treatment. 
(b)(1) An employee shall have no more than one primary treating physician at a time.
(2) An employee may designate a new primary treating physician of his or her choice pursuant to Labor Code §§4600 or 4600.3 provided the primary treating physician has determined that there is a need for:
(A) continuing medical treatment; or
(B) future medical treatment. The employee may designate a new primary treating physician to render future medical treatment either prior to or at the time such treatment becomes necessary.
(3) If the employee disputes a medical determination made by the primary treating physician, including a determination that the employee should be released from care, the dispute shall be resolved under the applicable procedures set forth at Labor Code sections 4061 and 4062. If the employee objects to a decision made pursuant to Labor Code section 4610 to modify, delay, or deny a treatment recommendation, the dispute shall be resolved pursuant to Labor Code section 4610.5, if applicable, or otherwise pursuant to Labor Code section 4062. No other primary treating physician shall be designated by the employee unless and until the dispute is resolved.
(4) If the claims administrator disputes a medical determination made by the primary treating physician, the dispute shall be resolved under the applicable procedures set forth at Labor Code sections 4610, 4061 and 4062. 
(c) The primary treating physician, or a physician designated by the primary treating physician, shall make reports to the claims administrator as required in this section. A primary treating physician has fulfilled his or her reporting duties under this section by sending one copy of a required report to the claims administrator. A claims administrator may designate any person or entity to be the recipient of its copy of the required report.
(d) The primary treating physician shall render opinions on all medical issues necessary to determine the employee's eligibility for compensation in the manner prescribed in subdivisions (e), (f) and (g) of this section. The primary treating physician may transmit reports to the claims administrator by mail or FAX or by any other means satisfactory to the claims administrator, including electronic transmission.
(e)(1) Within 5 working days following initial examination, a primary treating physician shall submit a written report to the claims administrator on the form entitled “Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021. Emergency and urgent care physicians shall also submit a Form DLSR 5021 to the claims administrator following the initial visit to the treatment facility. On line 24 of the Doctor's First Report, or on the reverse side of the form, the physician shall (A) list methods, frequency, and duration of planned treatment(s), (B) specify planned consultations or referrals, surgery or hospitalization and (C) specify the type, frequency and duration of planned physical medicine services (e.g., physical therapy, manipulation, acupuncture).
(2) Each new primary treating physician shall submit a Form DLSR 5021 following the initial examination in accordance with subdivision (e)(1).
(3) Secondary physicians, physical therapists, and other health care providers to whom the employee is referred shall report to the primary treating physician in the manner required by the primary treating physician.
(4) The primary treating physician shall be responsible for obtaining all of the reports of secondary physicians and shall, unless good cause is shown, within 20 days of receipt of each report incorporate, or comment upon, the findings and opinions of the other physicians in the primary treating physician's report and submit all of the reports to the claims administrator.
(f) A primary treating physician shall, unless good cause is shown, within 20 days report to the claims administrator when any one or more of the following occurs:
(1) The employee's condition undergoes a previously unexpected significant change;
(2) There is any significant change in the treatment plan reported, including, but not limited to, (A) an extension of duration or frequency of treatment, (B) a new need for hospitalization or surgery, (C) a new need for referral to or consultation by another physician, (D) a change in methods of treatment or in required physical medicine services, or (E) a need for rental or purchase of durable medical equipment or orthotic devices;
(3) The employee's condition permits return to modified or regular work;
(4) The employee's condition requires him or her to leave work, or requires changes in work restrictions or modifications;
(5) The employee is released from care;
(6) The primary treating physician concludes that the employee's permanent disability precludes, or is likely to preclude, the employee from engaging in the employee's usual occupation or the occupation in which the employee was engaged at the time of the injury;
(7) The claims administrator reasonably requests appropriate additional information that is necessary to administer the claim. “Necessary” information is that which directly affects the provision of compensation benefits as defined in Labor Code Section 3207.
(8) When continuing medical treatment is provided, a progress report shall be made no later than forty-five days from the last report of any type under this section even if no event described in paragraphs (1) to (7) has occurred. If an examination has occurred, the report shall be signed and transmitted within 20 days of the examination.
Except for a response to a request for information made pursuant to subdivision (f)(7), reports required under this subdivision shall be submitted on the “Primary Treating Physician's Progress Report” form (Form PR-2) contained in Section 9785.2, or in the form of a narrative report. If a narrative report is used, it must be entitled “Primary Treating Physician's Progress Report” in bold-faced type, must indicate clearly the reason the report is being submitted, and must contain the same information using the same subject headings in the same order as Form PR-2. A response to a request for information made pursuant to subdivision (f)(7) may be made in letter format. A narrative report and a letter format response to a request for information must contain the same declaration under penalty of perjury that is set forth in the Form PR-2: “I declare under penalty of perjury that this report is true and correct to the best of my knowledge and that I have not violated Labor Code §139.3.”
By mutual agreement between the physician and the claims administrator, the physician may make reports in any manner and form.
(g) As applicable in section 9792.9.1, a written request for authorization of medical treatment for a specific course of proposed medical treatment, or a written confirmation of an oral request for a specific course of proposed medical treatment, must be set forth on the “Request for Authorization of Medical Treatment,” DWC Form RFA, contained in section 9785.5. A written confirmation of an oral request shall be clearly marked at the top that it is written confirmation of an oral request. The DWC Form RFA must include as an attachment documentation substantiating the need for the requested treatment.
(h) When the primary treating physician determines that the employee's condition is permanent and stationary, the physician shall, unless good cause is shown, report within 20 days from the date of examination any findings concerning the existence and extent of permanent impairment and limitations and any need for continuing and/or future medical care resulting from the injury. The information may be submitted on the “Primary Treating Physician's Permanent and Stationary Report” form (DWC Form PR-3 or DWC Form PR-4) contained in section 9785.3 or section 9785.4, or in such other manner which provides all the information required by Title 8, California Code of Regulations, section 10606. For permanent disability evaluation performed pursuant to the permanent disability evaluation schedule adopted on or after January 1, 2005, the primary treating physician's reports concerning the existence and extent of permanent impairment shall describe the impairment in accordance with the AMA Guides to the Evaluation on Permanent Impairment, 5th Edition (DWC Form PR-4). Qualified Medical Evaluators and Agreed Medical Evaluators may not use DWC Form PR-3 or DWC Form PR-4 to report medical-legal evaluations.
(i) The primary treating physician, upon finding that the employee is permanent and stationary as to all conditions and that the injury has resulted in permanent partial disability, shall complete the “Physician's Return-to-Work & Voucher Report” (DWC-AD 10133.36) and attach the form to the report required under subdivision (h). 
(j) Any controversies concerning this section shall be resolved pursuant to Labor Code Section 4603 or 4604, whichever is appropriate.
(k) Claims administrators shall reimburse primary treating physicians for their reports submitted pursuant to this section as required by the Official Medical Fee Schedule.
NOTE

Authority cited: Sections  133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4061, 4061.5, 4062, 4600, 4600.3, 4603.2, 4604.5, 4610.5, 4658.7, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. Amendment filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Amendment of subsection (b) filed 11-11-78; effective thirtieth day thereafter (Register 78, No. 45).
3. Amendment of subsections (c) and (d) and new subsection (e) filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
4. Amendment of section and Note filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
5. New subsection (e) and subsection relettering filed 3-27-95; operative 3-27-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 13).
6. Repealer and new section filed 11-9-98; operative 1-1-99 (Register 98, No. 46).
7. Amendment of subsections (e)(1), (f)(8) and (g) filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
8. Amendment of section and Note filed 5-20-2003; operative 6-19-2003 (Register 2003, No. 21).
9. Amendment of subsections (a)(1), (a)(8), (b)(3)-(4) and (g) and amendment of Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-31-2004 order, including further amendment of subsections (a)(1) and (g), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
11. Amendment of subsections (b)(3) and (f)(6), new subsections (g) and (i), subsection relettering and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9785.2. Form PR-2 “Primary Treating Physician's Progress Report.”
Note     •     History

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NOTE

Authority cited: Sections  133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4061.5, 4600, 4603.2, 4610, 4636, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 11-9-98; operative 1-1-99 (Register 98, No. 46).
2. Repealer and new form filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
3. Amendment of form filed 5-20-2003; operative 6-19-2003 (Register 2003, No. 21).
4. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-31-2004 order, including further amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9785.3. Form PR-3 “Primary Treating Physician's Permanent and Stationary Report.”
Note     •     History

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NOTE

Authority cited: Sections  133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4061.5, 4600, 4603.2, 4636, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 11-9-98; operative 1-1-99 (Register 98, No. 46).
2. Change without regulatory effect amending DWC Form PR-3, page 3, last sentence in the “Precipitating activity” narrative under the “Subjective Findings” section filed 12-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 1).
3. Repealer and new form filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
4. Amendment of form filed 5-20-2003; operative 6-19-2003 (Register 2003, No. 21).
5. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-31-2004 order, including further amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9785.4. Form PR-4 “Primary Treating Physician's Permanent and Stationary Report.”
Note     •     History

STATE OF CALIFORNIA
DIVISION OF WORKERS' COMPENSATION
PRIMARY TREATING PHYSICIAN'S PERMANENT AND STATIONARY REPORT
(PR-4)

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4600, 4061.5, 4603.2, 4636, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2004 order, including amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9785.5. Request for Authorization Form, DWC Form RFA.
Note     •     History

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NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4061, 4061.5, 4062, 4600, 4604.5, 4610, 4610.5 and 4610.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 98, No. 46.
§9786. Petition for Change of Primary Treating Physician.
Note     •     History

(a) A claims administrator desiring a change of primary treating physician pursuant to Labor Code Section 4603 shall file with the Administrative Director a petition, verified under penalty of perjury, on the “Petition for Change of Primary Treating Physician” form (DWC-Form 280 (Part A)) contained in Section 9786.1.
The petition shall be accompanied by supportive documentary evidence relevant to the specific allegations raised. A proof of service by mail declaration shall be attached to the petition indicating that (1) the completed petition (Part A), (2) the supportive documentary evidence and (3) a blank copy of the “Response to Petition for Change of Primary Treating Physician”, (DWC-Form 280 (Part B)), were served on the employee or, the employee's attorney, and the employee's current primary treating physician.
(b) Good cause to grant the petition shall be clearly shown by verified statement of facts, and, where appropriate, supportive documentary evidence. Good cause includes, but is not limited to any of the following:
(1) The primary treating physician has failed to comply with Section 9785, subdivisions (e), (f)(1-7), or (g) by not timely submitting a required report or submitting a report which is inadequate due to material omissions or deficiencies;
(2) The primary treating physician has failed to comply with subdivision (f)(8) of Section 9785 by failing to submit timely or complete progress reports on two or more occasions within the 12-month period immediately preceding the filing of the petition;
(3) A clear showing that the current treatment is not consistent with the treatment plan submitted pursuant to Section 9785, subdivisions (e) or (f);
(4) A clear showing that the primary treating physician or facility is not within a reasonable geographic area as determined by Section 9780(e).
(5) A clear showing that the primary treating physician has a possible conflict of interest, including but not limited to a familial, financial or employment relationship with the employee, which has a significant potential for interfering with the physician's ability to engage in objective and impartial medical decision making.
(c)(1) Where good cause is based on inadequate reporting under subdivisions (b)(1) or (b)(2), the petition must show, by documentation and verified statement, that the claims administrator notified the primary treating physician or facility in writing of the complete requirements of Section 9785 prior to the physician's failure to properly report.
(2) Good cause shall not include a showing that current treatment is inappropriate or that there is no present need for medical treatment to cure or relieve from the effects of the injury or illness. The claims administrator's contention that current treatment is inappropriate, or that the employee is no longer in need of medical treatment to cure or relieve from the effects of the injury or illness should be directed to the Workers' Compensation Appeals Board, not the Administrative Director, in support of a Petition for Change of Primary Treating Physician.
(3) Where an allegation of good cause is based upon failure to timely issue the “Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021, within 5 working days of the initial examination pursuant to Section 9785(e)(1) or (e)(2), the petition setting forth such allegation shall be filed within 90 days of the initial examination.
(4) The failure to verify a letter response to a request for information made pursuant to Section 9785(f)(7), failure to verify a narrative report submitted pursuant to Section 9785(f)(8), or failure of the narrative report to conform to the format requirements of Section 9785(f)(8) shall not constitute good cause to grant the petition unless the claims administrator submits documentation showing that the physician was notified of the deficiency in the verification or reporting format and allowed a reasonable time to correct the deficiency.
(d) The employee, his or her attorney, and/or the primary treating physician may file with the Administrative Director a response to said petition, provided the response is verified under penalty of perjury and is filed and served on the claims administrator and all other parties no later than 20 days after service of the petition. The response may be accompanied by supportive documentary evidence relevant to the specific allegations raised in the petition. The response may be filed using the “Response to Petition for Change of Primary Treating Physician” form (DWC-Form 280 (Part B)) contained in Section 9786.1. Where the petition was served by mail, the time for filing a response shall be extended pursuant to the provisions of Code of Civil Procedure Section 1013.  Unless good cause is shown, no other document will be considered by the Administrative Director except for the petition, the response, and supportive documentary evidence.
(e) The Administrative Director shall, within 45 days of the receipt of the petition, either:
(1) Dismiss the petition, without prejudice, for failure to meet the procedural requirements of this Section;
(2) Deny the petition pursuant to a finding that there is no good cause to require the employee to select a primary treating physician from the panel of physicians provided in the petition;
(3) Grant the petition and issue an order requiring the employee to select a physician from the panel of physicians provided in the petition, pursuant to a finding that good cause exists therefor;
(4) Refer the matter to the Workers' Compensation Appeals Board for hearing and determination by a Workers' Compensation Administrative Law Judge of such factual determinations as may be requested by the Administrative Director; or
(5) Issue a Notice of Intention to Grant the petition and an order requiring the submission of additional documents or information.
(f) The claims administrator's liability to pay for medical treatment by the primary treating physician shall continue until an order of the Administrative Director issues granting the petition.
(g) The Administrative Director may extend the time specified in Subsection (e) within which to act upon the claims administrator's petition for a period of 30 days and may order a party to submit additional documents or information.
NOTE

Authority cited: Sections 133, 139.5, 4603, 4603.2, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4603 and 4603.2, Labor Code.
HISTORY

1. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Amendment of subsections (a), (c), (d)(4), (e), and (f) filed 11-11-78; effective thirtieth day thereafter (Register 78, No. 45).
3. Amendment of subsection (a) filed 8-9-84; effective thirtieth day thereafter (Register 84, No. 35).
4. Change without regulatory effect of subsection (c) filed 7-11-86; effective upon filing (Register 86, No. 28).
5. Amendment of section and Note filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
6. Amendment of subsections (b)(5), (d), and  (g) filed 3-27-95; operative 3-27-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 13).
7. Editorial correction of subsection (h) (Register 95, No. 29).
8. Editorial correction of inadvertently omitted subsection (d)(2) (Register 96, No. 52).
9. Amendment of subsection (f) and repealer and new subsection (g) filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
10. Amendment of section heading and section filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
11. Amendment filed 5-20-2003; operative 6-19-2003 (Register 2003, No. 21).
§9786.1. Petition for Change of Primary Treating Physician; Response to Petition for Change of Primary Treating Physician (DWC Form 280 (Parts A and B)).
Note     •     History

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NOTE

Authority cited: Sections 133, 139.5, 4603, 4603.2, 4603.5, and 5307.3, Labor Code. Reference: Sections 4600, 4603 and 4603.2, Labor Code.
HISTORY

1. New section (DWC form 280) filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
§9787. Appeal from Administrative Director's Order Granting or Denying Petition for Change of Primary Treating Physician.
Note     •     History

Any order denying or granting the claims administrator's petition whether issued with or without hearing, shall be final and binding upon the parties unless within 20 days from service thereof the aggrieved party petitions the Workers' Compensation Appeals Board for relief in the manner prescribed by Section 10950 of the Board's Rules of Practice and Procedure.
NOTE

Authority cited: Sections 133, 139.5, 4603.2, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4603 and 4603.2, Labor Code.
HISTORY

1. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Amendment of section heading and section filed 12-22-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 51).
3. Amendment of section and new Note filed 5-20-2003; operative 6-19-2003 (Register 2003, No. 21).
Article 5.1. Spinal Surgery Second Opinion Procedure
§9788.01. Definitions.
Note     •     History

As used in this Article: 
(a) “Agreed second opinion physician” is a physician agreed upon by an employer and represented employee pursuant to Labor Code Section 4062 subdivision (b). 
(b) “Completion of the second opinion process” occurs on the forty-fifth day after the receipt of the treating physician's report by the employer, unless the time has been extended by mutual written consent of the parties as provided in these regulations, or unless the time has been extended as provided in these regulations because the employee failed to attend an examination with the second opinion physician or agreed second opinion physician. 
(c) “CPTã” means the procedure codes set forth in the American Medical Association's Physicians' Current Procedural Terminology (CPT) 1997, copyright 1996, American Medical Association. 
(d) “Income” of a person includes the income of that person's business partner, physician member of the office of a group practice as defined in Labor Code section 139.3, spouse, cohabitant, and immediate family. Income of a second opinion physician does not include income from employment which had terminated prior to the time the physician was selected as a second opinion physician where there is no reasonable prospect of future employment. 
(e) “Material familial affiliation” means a relationship in which one of the persons or entities listed in subdivision (c) of Labor Code section 4062 is the parent, child, grandparent, grandchild, sibling, uncle, aunt, nephew, niece, spouse, or cohabitant of the second opinion physician. For entities of the employer, insurer, physician, medical group, independent practice association, administrator, utilization review entity, facility, or institution mentioned in subdivision (c) of Labor Code section 4062, which are not persons, the familial affiliation shall be determined by considering the relationship of all of the officers, directors, owners and management employees, and individual claims administrators and supervisors to the second opinion physician. 
(f) “Material financial affiliation” includes all of the following financial relationships between the second opinion physician and another person or entity listed in subdivision (c) of Labor Code section 4062, or parent or subsidiary or otherwise related business entity of a person or entity: 
(1) One has a direct or indirect investment worth two thousand dollars or more in the other; 
(2) One is a director, officer, partner, trustee, employee, or holds any position of management in the other; 
(3) One has a direct or indirect interest worth two thousand dollars or more in fair market value in an interest in real estate owned or controlled by the other; 
(4) One has received income of any kind, including gifts, from the other, aggregating three hundred dollars or more within the twelve months prior to the time of selection as a second opinion physician, except that the following income shall not be counted for this purpose: 
A. income for services as a second opinion physician; 
B. income for services as a treating physician; 
C. income for services as an agreed medical examiner; 
D. income for services as a panel Qualified Medical Evaluator selected for unrepresented employees; 
E. income from services as a Qualified Medical Evaluator for represented employees. 
F. income for services as a Qualified Medical Evaluator for an employer from the first five cases in any twelve month period for the same employer, carrier, or administrator. 
(5) One has an employment or promise of employment relationship with the other. 
(g) “Material professional affiliation” is any relationship in which the second opinion physician shares office space with, or works in the same office of, any of the other persons or entities listed in subdivision (c) of Labor Code section 4062. 
(h) “Parent, subsidiary, and otherwise related business entity” have the same meanings as in Section 18703.1, Title 2, Division 6 of the California Code of Regulations. 
(i) “Receipt of the treating physician's report” is the day it was first received by the employer, insurance carrier, or administrator. 
(j) “Retired spinal surgeon” is a physician currently licensed in the State of California who once had, but no longer has, hospital privileges to perform spinal surgery described in Section 9788.2(c)(2). “Retired spinal surgeon” does not include a physician whose hospital privileges to perform spinal surgery were either surrendered by the physician or were terminated or not renewed by the hospital, after disciplinary charges were filed or after a disciplinary investigation was commenced. 
(k) “Second opinion physician” is the physician who is randomly selected pursuant to subdivision (b) of Labor Code section 4062 to render the second opinion on a treating physician's recommendation of spinal surgery. 
(l) “Spinal surgery” includes: 
(1) any of the procedures listed in the Official Medical Fee Schedule denominated by the following CPTR procedure code numbers: 22100, 22101, 22102, 22103, 22110, 22112, 22114, 22116, 22210, 22212, 22214, 22216, 22220, 22222, 22224, 22226, 22548, 22554, 22556, 22558, 22585, 22590, 22595, 22600, 22610, 22612, 22614, 22630, 22632, 22800, 22802, 22804, 22808, 22810, 22812, 22830, 22840, 22841, 22842, 22843, 22844, 22845, 22846, 22847, 22848, 22849, 22850, 22851, 22852, 22855; 22899; 62287, 62292, 63001 through 63615; and, 
(2) any other procedure, which is not listed in subdivision (l)(1), which is a non-diagnostic invasive procedure to the spine or associated anatomical structures to perform an operative or curative procedure which is not primarily an analgesic procedure; and, 
(3) any procedure which involves the introduction of energy, a foreign substance, or a device that destroys tissue in the spine and/or associated structures, including nerves and disks, or involves the implantation of devices into the spine and associated structures, including nerves and disks, and which is not primarily an analgesic procedure; 
(4) Notwithstanding subdivisions (1) through (3), “spinal surgery” does not include penetration of the body by needles in the performance of acupuncture by a practitioner whose license permits the performance of acupuncture, nor does “spinal surgery” include surgery which is required because of a bona fide medical emergency. 
NOTE

Authority cited: Sections 133, 5307.1 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New article 5.1 (sections 9788.01-9788.91) and section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of subsection (l)(1), transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.1. Employer's Objection To Report Of Treating Physician Recommending Spinal Surgery.
Note     •     History

(a) An objection to the treating physician's recommendation for spinal surgery shall be written on the form prescribed by the Administrative Director in Section 9788.11. The employer shall include with the objection a copy of the treating physician's report containing the recommendation to which the employer objects. The objection shall include the employer's reasons, specific to the employee, for the objection to the recommended procedure. The form must be executed by a principal or employee of the employer, insurance carrier, or administrator.
(b) Declarations.
(1) Declaration as to receipt of treating physician's recommendation.
The employer's objection shall include one of two versions of a declaration made under penalty of perjury regarding the date the report containing the treating physician's recommendation was first received by the employer, employer's insurance carrier, or administrator, in the format of the form prescribed by Section 9788.11.
Version A of the declaration shall be used if the declarant has personal knowledge of all the facts. Version B of the declaration may be used if the recipient employer, insurance carrier or administrator has a written policy of date-stamping every piece of mail on the date it was delivered to its office, this policy is consistently followed, the declarant is knowledgeable about the policy, and the report bears a legible date stamp showing when it was received in the office. 
The declaration must be executed by a principal or employee of the employer, insurance carrier, or administrator.
(2) Declaration as to service of objection.
The employer's objection shall include a declaration made under penalty of perjury, in the format of the form prescribed by Section 9788.11 as to the date and time the objection was served, and the manner in which the objection was served.
The declaration must be executed by a principal or employee of the employer, insurance carrier, or administrator.
(c) Service of Objection.
(1) The employer shall serve the objection and the report containing the treating physician's recommendation on the Administrative Director, the employee, the employee's attorney, if any, and on the treating physician within 10 days of receipt of the treating physician's report containing the recommendation. An objection which is mailed to the Administrative Director and is received more than ten days after the date of receipt of the treating physician's report is untimely unless it bears a postmark date no later than the tenth day after the date of receipt of the treating physician's report. The employer shall serve the original of the objection on the Administrative Director.
(2) Service on the Administrative Director shall be by mail or physical delivery. Service on the employee, employee's attorney, and treating physician shall be by mail or physical delivery or, if prior consent has been obtained from the recipient to be served by fax, may be by fax.
(d) If after an employer has served the objection on the Administrative Director, either the employer and a represented employee agree to an agreed second opinion physician or the employer withdraws its objection to the treating physician's recommendation for spinal surgery, the employer shall notify the Administrative Director within one working day of the agreement or withdrawal of objection. This notification may be by fax.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of section, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.11. Form for Employer's Objection To Report Of Treating Physician Recommending Spinal Surgery.
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including repealer and new form, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
3. Change without regulatory effect amending form filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
4. Change without regulatory effect amending section filed 5-23-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
§9788.2. Qualifications of Spinal Surgery Second Opinion Physicians.
Note     •     History

(a) An agreed second opinion physician may be any California licensed board-certified or board-eligible orthopaedic surgeon or neurosurgeon. 
(b) The Administrative Director shall maintain a list of qualified surgeons who have applied, and whom the Administrative Director has found to be eligible to give second opinions under Labor Code § 4062 (b) after random selection by the Administrative Director. 
(c) To apply to be on the Administrative Director's list, a physician shall demonstrate to the satisfaction of the Administrative Director that the physician: 
(1) Is currently board certified either as a neurosurgeon by the American Board of Neurological Surgery or the American Osteopathic Board of Surgery, or as an orthopaedic surgeon by either the American Board of Orthopaedic Surgery or the American Osteopathic Board of Orthopedic Surgery; 
(2) Has current hospital privileges in good standing at an accredited hospital in California to perform spinal surgery without proctoring; 
(3) Has an unrestricted license as a physician and surgeon in California; 
(4) Has no record of previous discipline by any governmental physician licensing agency, and is not then under accusation by any governmental physician licensing agency; 
(5) Has not been terminated or had discipline imposed by the Industrial Medical Council or Administrative Director in relation to the physician's role as a Qualified Medical Evaluator; is not then under accusation by the Industrial Medical Council or Administrative Director; has not been denied renewal of Qualified Medical Evaluator status, except for non-completion of continuing education or for non-payment of fees; has neither resigned nor failed to renew Qualified Medical Evaluator status while under accusation or probation by the Industrial Medical Council or Administrative Director or after notification that reappointment as a Qualified Medical Evaluator may or would be denied for reasons other than non-completion of continuing education or non-payment of fees; and has not filed any applications or forms with the Industrial Medical Council or Administrative Director which contained any untrue material statements; and 
(6) Has not been convicted of any crime involving dishonesty or any crime of moral turpitude. 
(d) The Administrative Director may also accept to be on the list a retired spinal surgeon who does not meet the qualifications of subdivision (c)(2), but who does meet the qualifications of subdivisions (c)(1), (c)(3), (c)(5), (c)(6), and either (c)(4) or (e), if the retired spinal surgeon met the qualifications of subdivision (c)(2) within three years of application. The qualification of such physician shall not extend longer than three years from the last time the physician met the requirements of subdivision (c)(2). 
(e) The Administrative Director may also accept to be on the list a physician who does not meet the qualifications of subdivision (c)(4), but who does meet the qualifications of subdivisions (c)(1), (c)(2), (c)(5), (c)(6), and either (c)(3) or (d), if at least five years have elapsed since discipline was imposed, the physician is not currently the subject of a discipline accusation, and the Administrative Director finds that the physician has been rehabilitated. 
NOTE

Authority: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.3. Application Procedures.
Note     •     History

Physicians seeking to serve as a second opinion physician shall: 
(a) Make application to the Administrative Director on the form prescribed by the Administrative Director in Section 9788.31.
(b) Furnish certified copies of their board certification and hospital privileges, and shall submit other documentation of their qualifications as the Administrative Director may require. 
(c) Both after making application, and after being notified by the Administrative Director that the application has been accepted, the physician shall keep the Administrative Director informed of any change of address, telephone, or fax number. 
(d) The physician shall also notify the Administrative Director within 10 days, if the California Medical Board, or any other state medical board from whom the physician is licensed, files any accusation or charges against the physician, or imposes any discipline.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including new subsection (d), transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.31. Application Form.
Note     •     History

View Graphic

View Graphic

View Graphic

View Graphic
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
3. Change without regulatory effect amending form filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
4. Change without regulatory effect amending form filed 5-21-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 21).
§9788.32. Administrative Director's Action on Application.
Note     •     History

(a) After reviewing a completed application, if the Administrative Director finds that the applicant meets the qualifications, he/she shall notify the applicant by mail, and add the applicant's name to the list of second opinion physicians. 
(b) If a physician applicant does not qualify only because the physician has a record of previous discipline by a governmental physician licensing agency and if at least five years have elapsed since discipline was imposed, the Administrative Director shall notify the physician that the physician may within ninety days submit written evidence of the physician's rehabilitation from the offenses or inadequacies for which discipline was imposed. If no evidence is submitted within that time period, the Administrative Director shall reject the application. If the physician submits evidence, the Administrative Director shall consider any written evidence submitted by the physician along with any other evidence the Administrative Director may obtain through investigation. The Administrative Director shall make a finding as to whether the physician has been rehabilitated from the offenses or inadequacies for which discipline was imposed. If the Administrative Director does not find that the physician has been rehabilitated, the Administrative Director shall reject the application. 
(c) If the Administrative Director finally determines that an applicant does not meet the qualifications, he/she shall notify the applicant by mail that the application is rejected. 
(d) An applicant whose application has been rejected may, within 30 days of the mailing of the notice of rejection, request a hearing by filing a written request for hearing with the Administrative Director. If a written request for hearing is not received by the Administrative Director within 30 days of the mailing of the notice of rejection, the applicant shall be deemed to have waived any appeal or request for hearing. 
(e) Upon receipt of a written request for hearing, the Administrative Director shall serve a statement of issues, as provided in Government Code section 11504. 
(f) Hearings shall be held under the procedures of Chapter 5 of Part 1 of Division 3 of Title 2 of the Government Code (commencing with section 11500) and the regulations of the Office of Administrative Hearings (California Code of Regulations, Title 1, Division 2). 
(g) Failure to file timely a mailed notice of defense or failure to appear at a noticed hearing or conference shall constitute a waiver of a right to a hearing. 
(h) An applicant whose application has been rejected may reapply after: 
1. one year has elapsed from the date his application was rejected; or
2. the time when the deficiencies which were the reasons for rejection have been corrected;
whichever occurs first. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code; and Sections 11400.20 and 11415.10, Government Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.4. Removal of Physicians from the Spinal Surgery Second Opinion Physician List.
Note     •     History

(a) The Administrative Director may remove from the list any physician whenever the Administrative Director learns: 
(1) That the physician no longer meets the qualifications to be on the list; or 
(2) That the California Medical Board, or any other state medical board from whom the physician is licensed, has filed any accusation against the physician; or 
(3) That the physician, having been notified by the Administrative Director of the physician's selection to render a second opinion in any case, has not served the second opinion report in that case within forty-five days after the receipt of the treating physician's report by the employer, unless the employee failed to attend an examination; or
(4) That the physician's application to be on the list contained statements which were not true; or 
(5) That the physician has at any time failed to disclose to the Administrative Director that the physician had a material professional, familial, or financial affiliation with any of the persons or entities listed in subdivision (c) of Labor Code section 4062 in any case in which the physician had been selected as a second opinion physician. 
(6) That the physician has declined to accept assignment as a second opinion physician at any time except during a period for which the physician had notified the Administrative Director of unavailability per Section 9788.45.
(7) That the physician has filed notifications of unavailability for more than 120 days of any one year period. The first one year period shall commence with the date the physician was added to the list of spinal surgery second opinion physicians by the Administrative Director.
(b) Upon removal of a physician from the list, the Administrative Director shall advise the physician by mail of the removal, the Administrative Director's reasons for removal, and the right to request a hearing on the removal. 
(c) A physician who has been mailed a notice of removal from the list may, within 30 days of the mailing of the notice of removal, request a hearing by filing a written request for hearing with the Administrative Director. If a written request for hearing is not received by the Administrative Director within 30 days of the mailing of the notice of removal, the physician shall be deemed to have waived any appeal or request for hearing. 
(d) Upon receipt of a written request for hearing, the Administrative Director shall serve an accusation, as provided in Government Code section 11503. 
(e) Hearings shall be held under the procedures of Chapter 5 of Part 1 of Division 3 of Title 2 of the Government Code (commencing with section 11500) and the regulations of the Office of Administrative Hearings (California Code of Regulations, Title 1, Division 2). 
(f) Failure to file timely a mailed notice of defense or failure to appear at a noticed hearing or conference shall constitute a waiver of a right to a hearing. 
(g) A physician who has been removed from the list may petition for reinstatement after one year has elapsed since the effective date of the decision on the physician's removal. The provisions of Government Code section 11522 shall apply to such petition. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code; and Sections 11400.20, 11415.10 and 11522, Government Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of section, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.45. Unavailability of Second Opinion Physician.
Note     •     History

A physician who will be unavailable to accept assignments for a period of 30 days or more for any reason, shall, at least 30 days prior to a period of unavailability, notify the Administrative Director in writing of the dates of the physician's unavailability.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 12-15-2004; operative 12-15-2004 (Register 2004, No. 51).
§9788.5. Random Selection of Second Opinion Physician.
Note     •     History

(a) Within five (5) working days of the Administrative Director's receipt of an objection to a recommendation for spinal surgery, the Administrative Director shall randomly select a physician from those listed physicians located within a thirty (30) mile radius of the employee's address, provided that six physicians are located within that radius; and if six are not located within that radius, using ever increasing radii, until at least six (6) physicians are located from which a random selection may be made. The Administrative Director shall not include among the six physicians any physician that the Administrative Director has determined, from the information submitted to the Administrative Director by the physician and by the employer objecting to the treating physician's recommendation, has a material affiliation prohibited by subdivision (c) of Labor Code section 4062. The selected second opinion physician shall notify the Administrative Director if he/she has a material professional, familial, or financial affiliation with any of the persons or entities listed in subdivision (c) of Labor Code section 4062, within five working days of the physician's receipt of notification of selection. Upon such notification, the Administrative Director shall immediately select a replacement second opinion physician. 
(b) Until the Administrative Director shall have a computerized system for random selection of physicians, the Administrative Director shall manually make random selections as in subdivision (a), except that instead of using an initial thirty mile radius, the Administrative Director shall select from those physicians located within the same zipcode as the employee's address, or if there are not at least six physicians located within that zipcode, then additional adjacent zipcodes shall be used until there are at least six physicians found within the geographic area of selection. 
(c) Upon selection by the Administrative Director, the second opinion physician shall, unless the physician notifies the Administrative Director of a material professional, familial, or financial affiliation, notify the parties within five working days of the physician's receipt of notification of selection of the date and time of any appointment for examination of the employee. If the physician arranges an appointment with the employee by telephone, the physician shall thereafter send the employee a written notice containing the details of the appointment.
(d) Within ten days of the selection of a second opinion physician, either the employer or the employee may object to the selection on the basis that the second opinion physician has a material professional, familial, or financial affiliation with any of the persons or entities listed in subdivision (c) of Labor Code section 4062, by filing a written objection with the Administrative Director and serving the other parties. The Administrative Director may either sustain the objection, in which case a new selection shall be made, or deny the objection. 
(e) The Administrative Director shall exclude from the selection process any physician who has notified the Administrative Director of unavailability pursuant to Section 9788.45.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of subsection (c) and new subsection (e), transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.6. Examination by Second Opinion Physician or Agreed Second Opinion Physician.
Note     •     History

(a) The second opinion physician or agreed second opinion physician may physically examine the patient-employee, if the second opinion physician or agreed second opinion physician determines in his or her sole discretion that an examination of the patient-employee is required, but nevertheless must physically examine the patient-employee before finally rendering a second opinion in all cases in which the second opinion physician or agreed second opinion physician disagrees with the recommendation of the treating physician. If there is to be a physical examination of the patient-employee, the second opinion physician or agreed second opinion physician shall schedule the examination, and shall, at least ten days in advance of the scheduled examination, send written notice of the date, time, and place of the examination to the employee, the employee's attorney, if any, and the party who objected to the recommended surgery. 
(b) The employer shall, and the employee may, furnish all relevant medical records to the second opinion physician or agreed second opinion physician, including x-ray, MRI, CT, and other diagnostic films, and any medical reports which describe the employee's current spinal condition or contain a recommendation for treatment of the employee's spinal diagnoses. The employer shall serve all reports and records on the employee, except for x-ray, MRI, CT and other diagnostic films and for other records which have been previously served on the employee. If a special form of transportation is required because of the employee's medical condition, it is the obligation of the employer to arrange for it. The employer shall furnish transportation expense in advance of the examination. Except for during the examination, a second opinion physician or agreed second opinion physician shall have no ex parte contact with any party. 
(1) In the case of a represented employee, except for matters dealing with the scheduling of appointments, missed appointments, the furnishing of records and reports, and the availability of the report, all communications between a second opinion physician or agreed second opinion physician and any party shall be in writing, with copies served on the other parties. 
(2) In the case of an unrepresented employee, except for during the examination and for matters dealing with the scheduling of appointments, missed appointments, the furnishing of records and reports, and the availability of the report, there shall be no communications between any party and a second opinion physician until after the report has been served.
(c) If the employee fails to attend an examination with a second opinion physician or agreed second opinion physician, and the physician is unable to reschedule the employee's appointment before the 35th day after receipt of the treating physician's report, the time to complete the second opinion process shall be extended for an additional 30 days. If a second opinion physician is unable to schedule another examination within the 30 additional days, the Administrative Director, upon request, will select another second opinion physician. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of section, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.7. Contents of Second Opinion and Agreed Second Opinion Physician Reports.
Note     •     History

(a) If the second opinion physician or agreed second opinion physician disagrees with the recommendation of the treating physician, the second opinion physician's or agreed second opinion physician's report may include a recommendation for a different treatment or therapy. 
(b) Reports of second opinion physicians and agreed second opinion physicians shall include, where applicable: 
(1) The date of the examination; 
(2) The patient's complaints; 
(3) A listing of all information received from the parties reviewed in preparation of the report or relied upon for the formulation of the physician's opinion; 
(4) The patient's medical history relevant to the treatment determination; 
(5) Findings on record review or examination; 
(6) The relevant diagnosis; 
(7) The physician's opinion whether or not the proposed spinal surgery is appropriate or indicated, and any alternate treatment recommendations; 
(8) The reasons for the opinion, including a reference to any treatment guidelines referred to or relied upon in assessing the proposed medical care; 
(9) The signature of the physician. 
(c) Second opinion physicians and agreed second opinion physicians shall serve with each report the following executed declaration made under penalty of perjury: 
“In connection with the preparation and submission of the attached report of second opinion on recommended spinal surgery, I declare, on the date next written, under penalty of perjury of the laws of the State of California, that I have no material familial affiliation, material financial affiliation, or material professional affiliation prohibited by Labor Code Section 4062, subdivision (c).
___________________________    ___________________________
  date             signature”
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.8. Time Limits For Providing Reports.
Note     •     History

Second opinion physicians and agreed second opinion physicians shall simultaneously serve the report on the Administrative Director, the employer, the employee, and the employee's attorney, if any, as soon as possible, but in any event within forty-five days of receipt of the treating physician's report (as defined herein), unless the parties have agreed in writing to extend the time to a later date. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of section, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.9. Charges for Services of Second Opinion Physician and Agreed Second Opinion Physician.
Note     •     History

Payment for the services of the second opinion physician shall be made by the employer. The fee shall be: 
(a) if the physician examines the injured worker, the same as the fee allowed under Section 9795 for a Basic Comprehensive Medical-Legal Evaluation, without modifiers which might otherwise be allowed under Section 9795(d); or, 
(b) if the physician does not examine the injured worker, one half of the fee allowed under Section 9795 for a Basic Comprehensive Medical-Legal Evaluation, without modifiers which might otherwise be allowed under Section 9795(d). 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code. 
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
§9788.91. Filing of a Declaration of Readiness to Proceed.
Note     •     History

(a) If the report of the second opinion physician or agreed second opinion physician concurs with the treating physician's recommendation for surgery, the employer shall authorize the surgery and communicate that authorization to the treating physician within three working days of receipt of the second opinion physician's report.
(b) If the report of the second opinion physician or agreed second opinion physician does not concur with the treating physician's recommendation for surgery, the employer shall file a declaration of readiness to proceed within 14 days of receipt of the second opinion physician's report, unless the parties agree with the determination of the second opinion physician or agreed second opinion physician, or unless the employer has authorized the surgery. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4062(b) and 4600, Labor Code.
HISTORY

1. New section filed 7-2-2004 as an emergency; operative 7-2-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-2-2004 order, including amendment of section, transmitted to OAL 11-1-2004 and filed 12-15-2004 (Register 2004, No. 51).
Article 5.3. Official Medical Fee Schedule
Physician Services Rendered on or after July 1, 2004. 
Inpatient Hospital Services for Services Rendered for an Admission with Date of Discharge on or after July 1, 2004. 
Outpatient Services Rendered on or after July 1, 2004. 
Pharmacy Services Rendered after January 1, 2004
Pathology and Laboratory Services Rendered after January 1, 2004
Durable Medical Equipment, Prosthetics, Orthotics, Supplies Services after January 1, 2004
Ambulance Services Rendered after January 1, 2004
§9789.10. Physician Services - Definitions.
Note     •     History

(a) “Basic value” means the unit value for an anesthesia procedure that is set forth in the Official Medical Fee Schedule 2003. 
(b) “CMS” means the Centers for Medicare & Medicaid Services of the United States Department of Health and Human Services. 
(c) “Conversion factor” or “CF” means the factor set forth below for the applicable OMFS section: 

	Evaluation and Management	$8.50
	Medicine	$6.15
	Surgery	$153.00
	Radiology	$12.50
	Pathology	$1.50
	Anesthesia	$34.50 
(d) “CPTÒ” means the procedure codes set forth in the American Medical Association's Physicians' Current Procedural Terminology (CPT) 1997, copyright 1996, American Medical Association, or the Physicians' Current Procedural Terminology (CPT) 1994, copyright 1993, American Medical Association. 
(e) “Medicare rate” means the physician fee schedule rate derived from the Resource Based Relative Value Scale and related data, adopted for the Calendar Year 2004, published in the Federal Register on January 7, 2004, Volume 69, No. 4, pages 1117 through 1242 (CMS-1372-IFC), as amended by CMS Manual System, Pub. 100-04 Medicare Claims Processing, Transmittal 105 (February 20, 2004). The Medicare rate for each procedure is derived by the Administrative Director utilizing the non-facility rate (or facility rate if no non-facility rate exists), and a weighted average geographic adjustment factor of 1.063. 
(f) “Modifying units” means the anesthesia modifiers and qualifying circumstances as set forth in the Official Medical Fee Schedule 2003. 
(g) “Official Medical Fee Schedule” or “OMFS” means Article 5.3 of Subchapter 1 of Chapter 4.5 of Title 8, California Code of Regulations (Sections 9789.10 - 9789.111), adopted pursuant to Section 5307.1 of the Labor Code for all medical services, goods, and treatment provided pursuant to Labor Code Section 4600. 
(h) “Official Medical Fee Schedule 2003” or “OMFS 2003” means the Official Medical Fee Schedule incorporated into Section 9791.1 in effect on December 31, 2003, which consists of the OMFS book revised April 1, 1999 and as amended for dates of service on or after July 12, 2002. 
(i) “Percentage reduction calculation” means the factor set forth in Table A for each procedure code which will result in a reduction of the OMFS 2003 rate by 5%, or a lesser percent so that the reduction results in a rate that is no lower than the Medicare rate. 
(j) “Physician service” means professional medical service that can be provided by a physician, as defined in Section 3209.3 of the Labor Code, and is subject to reimbursement under the Official Medical Fee Schedule. For purposes of the OMFS, “physician service” includes service rendered by a physician or by a non-physician who is acting under the supervision, instruction, referral or prescription of a physician, including but not limited to a physician assistant, nurse practitioner, clinical nurse specialist, and physical therapist. 
(k) “RVU” means the relative value unit for a particular procedure that is set forth in the Official Medical Fee Schedule 2003. 
(l) “Time value” means the unit of time indicating the duration of an anesthesia procedure that is set forth in the Official Medical Fee Schedule 2003. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New article 5.3 (sections 9789.10-9789.110) and section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of article heading, new introductory paragraph and amendment of subsections (d), (e) and (g), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.11. Physician Services Rendered on or After July 1, 2004.
Note     •     History

(a) Except as specified below, or otherwise provided in this Article, the ground rule materials set forth in each individual section of the OMFS 2003 are applicable to physician services rendered on or after July 1, 2004. 
(1) The OMFS 2003's “General Information and Instructions” section is not applicable. The “General Information and Instructions, Effective for Dates of Service on or after July 1, 2004,” are incorporated by reference and will be made available on the Division of Workers' Compensation Internet site http://www.dir.ca.gov/DWC/OMFS9904.htm or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS - PHYSICIAN SERVICES) 
P.O. BOX 420603 
SAN FRANCISCO, CA 94142 
(b) For physician services rendered on or after July 1, 2004 the maximum allowable reimbursement amount set forth in the OMFS 2003 for each procedure code is reduced by five (5) percent, except that those procedures that are reimbursed under OMFS 2003 at a rate between 100% and 105% of the Medicare rate will be reduced between zero and 5% so that the OMFS reimbursement will not fall below the Medicare rate. The reduction rate for each procedure is set forth as the adjustment factor in Table A. Reimbursement for procedures that are reimbursed under OMFS 2003 at a rate below the Medicare rate will not be reduced.
(c)(1) Table A, “OMFS Physician Services Fees for Services Rendered on or after July 1, 2004,” which sets forth each individual procedure code with its corresponding relative value, conversion factor, percentage reduction calculation (between 0 and 5.0%), and maximum reimbursable fee, is incorporated by reference. 
(2) Table A, “OMFS Physician Services Fees for Services Rendered on or after January 14, 2005,” which sets forth each individual procedure code with its corresponding relative value, conversion factor, percentage reduction calculation (between 0 and 5.0%), and maximum reimbursable fee, is incorporated by reference.
(3) Table A, “OMFS Physician Services Fees for Services Rendered on or after May 14, 2005,” which sets forth each individual procedure code with its corresponding relative value, conversion factor, percentage reduction calculation (between 0 and 5.0%), and maximum reimbursable fee, is incorporated by reference.
(4) Table A and its addenda may be obtained from the Division of Workers' Compensation Internet site http://www.dir.ca.gov/DWC/OMFS9904.htm or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS - PHYSICIAN SERVICES)
P.O. BOX 420603
SAN FRANCISCO, CA 94142 
(d)(1) Except for anesthesia services, to determine the maximum allowable reimbursement for a physician service rendered on or after July 1, 2004 the following formula is utilized: RVU x conversion factor y percentage reduction calculation = maximum reasonable fee before application of ground rules. Applicable ground rules set forth in the OMFS 2003 and the “General Information and Instructions, Effective for Dates of Service on or after July 1, 2004,” are then applied to calculate the maximum reasonable fee. 
(2) To determine the maximum allowable reimbursement for anesthesia services (CPT Codes 00100 through 01999) rendered after January 1, 2004, the following formula is utilized: (basic value + modifying units (if any) + time value) y (conversion factor x .95) = maximum reasonable fee. 
(e) The following procedures in the Pathology and Laboratory section (both professional and technical component) will be reimbursed under this section: CPT Codes 80500, 80502; 85060 through 85102; 86077 through 86079; 87164; and 88000 through 88399. All other pathology and laboratory services will be reimbursed pursuant to Section 9789.50, including but not limited to: CPT Codes 80002 through 80440; 81000 through 85048; 85130 through 86063; 86140 through 87163; 87166 through 87999; and 89050 through 89399.
(f) For physician services rendered on or after February 15, 2007, the maximum allowable reimbursement amounts for procedure codes 99201 through 99205 and 99211 through 99215 are set forth in the February, 2007 Addendum to Table A, “OMFS Physician Services Fees for Services Rendered on or after February 15, 2007.” The February, 2007 Addendum to Table A, “OMFS Physician Services Fees for Services Rendered on or after February 15, 2007”, which sets forth individual procedure codes with the corresponding maximum reimbursable fees, is incorporated by reference.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section heading and section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment of subsection (a)(1), redesignation and amendment of former subsection (c) as new subsections (c)(1) and (c)(3), new subsection (c)(2) and adoption of new revision of Table A (incorporated by reference) filed 12-15-2004 as an emergency; operative 1-14-2005 (Register 2004, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-16-2005 or emergency language will be repealed by operation of law on the following day.
4. Readoption of 12-15-2004 order, with additional amendments, filed 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-12-2005 order transmitted to OAL 8-22-2005 and filed 9-29-2005 (Register 2005, No. 39).
6. Amendment of subsection (c)(4) and new subsection (f) submitted to the Office of Administrative Law for printing only as exempt from the Administrative Procedure Act and review by the Office of Administrative Law pursuant to section 11340(g) of the Government Code (Register 2007, No. 7).
§9789.20. General Information for Inpatient Hospital Fee Schedule -- Discharge on or After July 1, 2004.
Note     •     History

(a) This Inpatient Hospital Fee Schedule section of the Official Medical Fee Schedule covers charges made by a hospital for inpatient services provided by the hospital. 
(b) Charges by a hospital for the professional component of medical services for physician services shall be paid according to Sections 9789.10 through 9789.11. 
(c) Sections 9789.20 through 9789.25 shall apply to all bills for inpatient services with a date of discharge on or after July 1, 2004. Services for discharges after January 1, 2004, but before July 1, 2004 are governed by the “emergency” regulations that were effective on January 2, 2004. Bills for services with date of admission on or before December 31, 2003 will be reimbursed in accordance with Section 9792.1. 
(d) The Inpatient Hospital Fee schedule shall be adjusted to conform to any relevant changes in the Medicare payment schedule, including mid-year changes no later than 60 days after the effective date of those changes. Updates shall be posted on the Division of Workers' Compensation webpage at http://www.dir.ca.gov/DWC/dwc_home_page.htm. The annual updates to the Inpatient Hospital Fee schedule shall be effective every year on December 1. 
(e) Any document incorporated by reference in Sections 9789.20 through 9789.25 is available from the Division of Workers' Compensation Internet site (http://www.dir.ca.gov/DWC/dwc_home_page.htm) or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS)
P.O. BOX 420603
SAN FRANCISCO, CA 94142
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2, 5307.1, and 5318 Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section heading and subsections (c) and (d), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment of subsections (c), (d) and (e) filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.21. Definitions for Inpatient Hospital Fee Schedule.
Note     •     History

(a) “Average length of stay” means the geometric mean length of stay for a diagnosis-related group assigned by CMS. 
(b) “Capital outlier factor” means for discharges occurring on or after January 1, 2004 and before January 1, 2008, the fixed loss cost outlier threshold x capital wage index x large urban add-on x (capital cost-to-charge ratio/total cost-to-charge ratio). 
For discharges on or after January 1, 2008, “Capital outlier factor” means fixed loss cost outlier threshold x capital wage index x (capital cost-to-charge ratio/total cost-to-charge ratio) as modified by Title 42, Code of Federal Regulations, Section 412.316(b), as it is in effect on November 11, 2003, amended October 1, 2004, amended October 1, 2006, and amended as of October 1, 2007, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director.
(1) The capital wage index, also referred to as the capital geographic factor (GAF), is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.25(b) for the Federal Register reference that contains the capital wage index value for a given discharge. 
(2) For discharges occurring before January 1, 2008, the “large urban add-on” is an additional 3% of what would otherwise be payable to the hospital, and the large urban add-on is eliminated for discharges occurring on or after January 1, 2008, pursuant to Title 42, Code of Federal Regulations, Section 412.316(b). See Section 9789.25(a) for the Federal Regulation reference to the large urban add-on. 
(3) “Fixed loss cost outlier threshold” means the Medicare fixed loss cost outlier threshold for inpatient admissions. The threshold is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.25(b) for the Federal Register reference that defines the fixed loss cost outlier threshold by date of discharge. 
(c) “CMS” means the Centers for Medicare & Medicaid Services of the United States Department of Health and Human Services. 
(d) For discharges before January 1, 2014, “Complex spinal surgery” is defined by the DRG to which a patient is assigned and is used to determine whether any additional payment is allowed for spinal devices used during the spinal surgery. See Section 9789.25(b) for the DRGs that define complex spinal surgery by date of discharge. 
(e) “Composite factor” means the standard OMFS rate calculated by the administrative director for a hospital by adding the hospital-adjusted rates for prospective operating costs and for prospective capital costs. It excludes the DRG weight and any applicable payments for outlier cases, spinal devices used in complex spinal surgery, and new technology. 
(1) The hospital-adjusted rate for prospective capital costs is determined by the following formula:
(A) For discharges on or after January 1, 2004 and before January 1, 2008, the hospital-adjusted rate for prospective capital costs is determined by the following formula: Capital standard federal payment rate x capital geographic adjustment factor x large urban add-on x [1 + capital disproportionate share adjustment factor + capital indirect medical education adjustment factor] 
For discharges on or after January 1, 2008, the hospital-adjusted rate for prospective capital costs is determined by the following formula as modified by Title 42, Code of Federal Regulations, Section 412.316(b), as it is in effect on November 11, 2003, amended October 1, 2004, amended October 1, 2006, and amended as of October 1, 2007, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director: Capital standard federal payment rate x capital geographic adjustment factor x [1 + capital disproportionate share adjustment factor + capital indirect medical education adjustment factor].
(B) The “capital market basket” means the Medicare capital input price index (CIPI). To determine the capital standard federal payment rate, the capital market basket is applied to the preceding capital standard federal payment rate. The capital market basket is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.25(b) for the percentage change in the capital market basket that was applied to the preceding capital standard federal payment rate to establish the applicable capital payment rate for a discharge date. 
(C) The “capital standard federal payment rate” is $ 414.18 for discharges occurring on or after January 1, 2004 and before November 29, 2004. For each update in the composite factor, the capital standard federal payment rate for the preceding period is adjusted by the rate of change in the capital market basket. See Section 9789.25(b) for the capital standard federal payment rate for discharges occurring on or after November 29, 2004 by date of discharge.
(D) The “capital geographic adjustment factor” is the post-reclassification geographic adjustment factor that is published in the Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge.
(E) For discharges occurring before January 1, 2008, the “large urban add-on” is an additional 3% of what would otherwise be payable to the hospital, and the large urban add-on is eliminated for discharges occurring on or after January 1, 2008.
(F) The “capital disproportionate share adjustment factor” is published in the Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge.
(G) The “capital indirect medical education adjustment factor” (capital IME adjustment) is published in Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge. 
(2) The hospital-adjusted rate for prospective operating costs is determined by the following formula:
(A) [(Labor-related national standardized amount x operating wage index) + nonlabor-related national standardized amount] x [1 + operating disproportionate share adjustment factor + operating indirect medical education adjustment] 
For discharges on or after November 29, 2004, the hospital-adjusted rate for prospective operating costs is determined by the following formula as modified by Section 403 of Public Law 108-173 amended Sections 1886(d)(3)(E) of the Social Security Act, and as stated in Title 42, Code of Regulations, Section 412.64(h)(3), which document is hereby incorporated by reference and will be made available upon request to the Administrative Director and in conformance with California Labor Code Section 5307.1(g)(1)(A)(i). See Section 9789.25(a) for the Federal Regulation reference for the effective date, revisions, and amendments by date of discharge:
1. The wage-adjusted standard rate is determined as follows:
If operating wage index >1.0, wage-adjusted rate = labor-related national standard operating rate x (labor-related share x operating wage index + nonlabor-related share).
If operating wage index <=1.0, wage-adjusted rate = labor-related national standard operating rate x (.62 x operating wage index + .38)
2. The wage-adjusted operating rate is further adjusted for any additional payments for teaching and serving a disproportionate share of low-income patients. 
OMFS Adjusted operating rate = wage-adjusted standard rate x (1 + operating disproportionate share adjustment factor + operating indirect medical education adjustment).
(B) The “labor-related national standardized amount” is $3,136.39 for discharges occurring on or after January 1, 2004 and before November 29, 2004. For each update in the composite factor, the labor-related national standardized amount for the preceding period is adjusted by the rate of change in the operating market basket. See Section 9789.25(b) for the labor-related national standard operating rate for discharges occurring on or after November 29, 2004 by date of discharge. 
(C) The “operating wage index” is published in the Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge.
(D) The “nonlabor-related national standardized amount” is $1,274.85, as published by CMS in the Federal Register of October 6, 2003 (correcting the publication of August 1, 2003), at Vol. 68, page 57735, Table 1A, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director and as modified by Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Public Law 108-173, §401, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. 

	For discharges on or after November 29, 2004, the nonlabor-related portion is that portion of operating costs attributable to nonlabor costs, and is determined by the following formula as modified by Section 403 of Public Law 108-173 amended sections 1886(d)(3)(E) of the Social Security Act, and as stated in Title 42, Code of Regulations, Section 412.64(h), which documents are hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Federal Regulation reference for the effective date, revisions, and amendments by date of discharge:
100% - labor-related portion (%).
(E) The “operating disproportionate share adjustment factor” is published in the Payment Impact File for each Medicare payment update, and as modified by Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Public Law 108-173, §402, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge. 
(F) The “operating indirect medical education adjustment” is published in the Payment Impact File for each Medicare payment update, and as modified by Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Public Law 108-173, §502, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge. 
(G) For sole community hospitals, the operating component of the composite rate shall be the higher of the prospective operating costs determined using the formula in Section 9789.21(e)(2) or the hospital-specific rate published in the Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge.
(3) A table of composite factors for each hospital in California is contained in Section 9789.23. The sole community hospital composite factors that incorporate the operating component specified in Section 9789.21(e)(2)(G) are listed in italics in the column headed “Composite” set forth in Section 9789.23. 
(f) “Costs” means the total billed charges for an admission, excluding non-medical charges such as television and telephone charges, charges for Durable Medical Equipment for in home use, charges for implantable medical devices, hardware, and/or instrumentation reimbursed under subdivision (g) of Section 9789.22, multiplied by the hospital's total cost-to-charge ratio and except for cases reimbursed under section 9789.22(g)(1), plus documented paid spinal device costs, net of discounts and rebates, plus any sales tax and/or shipping and handling charges actually paid. 
(g) “Cost-to-charge ratio” means the sum of the hospital specific operating cost-to-charge ratio and the hospital specific capital cost-to-charge ratio. The operating cost-to-charge ratio and capital cost-to-charge ratio for each hospital are published in the Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable names on the Payment Impact File by date of discharge.
(h) “Cost outlier case” means a hospitalization for which the hospital's costs, as defined in subdivision (f) above, exceeds the cost outlier threshold. 
(i) “Cost outlier threshold” means the sum of the Inpatient Hospital Fee Schedule payment amount, the payment for new medical services and technologies reimbursed under Section 9789.22(h), the hospital specific outlier factor, and any additional allowance for spinal devices under section 9789.22(g)(2).
(j) “Diagnosis Related Group (DRG)” means the inpatient classification scheme used by CMS for hospital inpatient reimbursement. The DRG system classifies patients based on principal diagnosis, surgical procedure, age, presence of comorbidities and complications and other pertinent data. 
(k) “DRG weight” means the weighting factor for a diagnosis-related group assigned by CMS for the purpose of determining payment under Medicare. Section 9789.24 lists the DRG weights and geometric mean lengths of stay as assigned by CMS. 
(l) “FY” means the CMS fiscal year October 1 through September 30. 
(m) “Hospital” means any facility as defined in Section 1250 of the Health and Safety Code. 
(n) “Inpatient” means a person who has been admitted to a hospital for the purpose of receiving inpatient services. A person is considered an inpatient when he or she is formally admitted as an inpatient with the expectation that he or she will remain at least overnight and occupy a bed, even if it later develops that such person can be discharged or is transferred to another facility and does not actually remain overnight. 
(o) Unless otherwise provided by applicable provisions of this fee schedule, “Inpatient Hospital Fee Schedule maximum payment amount” is that amount determined by multiplying the DRG weight x hospital composite factor x 1.20 and by making any adjustments required in Section 9789.22.. 
(p) “Labor-related portion” is that portion of operating costs attributable to labor costs, as specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.25(b) for the Federal Register reference that defines the labor-related portion by date of discharge. 
(q) As stated in Title 42, Code of Federal Regulations, Section 412.316(b), for discharges before January 1, 2008, “Large urban add-on” means an additional 3% of what would otherwise be payable to the hospital located in large urban areas. The “large urban add-on” adjustment was eliminated for discharges on or after January 1, 2008. See Section 9789.25(a) for the Code of Federal Regulations reference for effective date, revisions, and amendments by date of discharge. The “large urban add-on” is indicated in the annual Payment Impact File for each Medicare payment update. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge. 
(r) “Medical services” means those goods and services provided pursuant to Article 2 (commencing with Section 4600) of Chapter 2 of Part 2 of Division 4 of the Labor Code. 
(s) “Operating outlier factor” means ((fixed loss cost outlier threshold x ((labor-related portion x operating wage index) + nonlabor-related portion)) x (operating cost-to-charge ratio/ total cost-to-charge ratio)). 
(1) The wage index, also referred to as operating wage index published in the Payment Impact File for each Medicare payment update, is specified as the wage index in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.25(c) for the variable name on the Payment Impact File by date of discharge and see Section 9789.25(b) for the Federal Register reference that defines the wage index by date of discharge.
(2) The nonlabor-related portion is that portion of operating costs attributable to nonlabor costs as defined in the Federal Register of October 6, 2003 (correcting the publication of August 1, 2003), at Vol. 68, page 57735, Table 1A, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. 

	For discharges on or after November 29, 2004, the nonlabor-related portion is determined by the following formula as modified by Section 403 of Public Law 108-173 amended Sections 1886(d)(3)(E) of the Social Security Act, and as stated in Title 42, Code of Regulations, Section 412.64(h), which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Federal Regulation reference for the effective date, revisions, and amendments by date of discharge:
100% - labor-related portion (%).
(t) “Outlier factor” means the sum of the capital outlier factor and the operating outlier factor. A table of hospital specific outlier factors for each hospital in California is contained in Section 9789.23. 
(u) “Payment Impact File” means the Prospective Payment System Payment Impact File published by CMS, for each Medicare update. See Section 9789.25(c) for references to the Payment Impact File by date of discharge. 
(v) “Professional Component” means the charges associated with a professional service provided to a patient by a hospital based physician. This component is billed separately from the inpatient charges. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2, 5307.1 and 5318, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.22. Payment of Inpatient Hospital Services.
Note     •     History

(a) Unless otherwise provided by applicable provisions of this fee schedule, the maximum payment for inpatient medical services shall be determined by multiplying 1.20 by the product of the hospital's composite factor and the applicable DRG weight and by making any adjustments required by this fee schedule. The fee determined under this subdivision shall be a global fee, constituting the maximum reimbursement to a hospital for inpatient medical services not exempted under this section. However, preadmission services rendered by a hospital more than 24 hours before admission are separately reimbursable. 
(b) The maximum payment for inpatient medical services includes reimbursement for all of the inpatient operating costs specified in Title 42, Code of Federal Regulations, Section 412.2(c), which is incorporated by reference and will be made available upon request to the Administrative Director, and the inpatient capital-related costs specified in Title 42, Code of Federal Regulations, Section 412.2(d), which is incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge.
(c) The maximum payment shall include the cost items specified in Title 42, Code of Federal Regulations, Section 412.2(e)(1), (2), (3), and (5), which in incorporated by reference and will be made available upon request to the Administrative Director. The maximum allowable fees for cost item set forth at 42 C.F.R. Section 412.2(e)(4), “the acquisition costs of hearts, kidneys, livers, lungs, pancreas, and intestines (or multivisceral organ) incurred by approved transplantation centers,” shall be based on the documented paid cost of procuring the organ or tissue. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge.
(d) The maximum payment shall cover all items and services provided to hospital inpatients other than professional services provided by physicians and other practitioners that are payable under the Official Medical Fee Schedule -- physicians fee schedule section beginning at Section 9789.10. Billing for payments shall originate from hospitals and payment may be made only to hospitals for the covered items and services, including any spinal hardware separately payable under Sections 9789.22(g).
(e) Hospitals billing for fees under this section shall be submitted in accordance with the e-billing regulations beginning with Section 9792.5.0 or the standardized paper billing regulations beginning with Section 9792.5.2. 
(f)(1) Cost Outlier cases. Inpatient services for cost outlier cases, shall be reimbursed as follows: 
Step 1: Determine the Inpatient Hospital Fee Schedule maximum payment amount (DRG weight x 1.2 x hospital specific composite factor). 
Step 2: Determine costs. Costs = ((total billed charges - charges for spinal devices) x total cost-to-charge ratio)) + documented paid spinal device costs, net of discounts and rebates, plus any sales tax and/or shipping and handling charges actually paid.
Step 3: Determine outlier threshold. Outlier threshold = (Inpatient Hospital Fee Schedule payment amount + hospital specific outlier factor + any new technology pass-through payment determined under Section 9789.22(h) + any additional allowance for spinal devices under Section 9789.22(g)(2)). 
(2) If costs exceed the outlier threshold, the case is a cost outlier case. The additional allowance for the outlier case equals 0.8 x (costs - cost outlier threshold).
(3) For discharges before January 1, 2013, for purposes of determining whether a case qualifies as a cost outlier case under this subdivision, charges for implantable hardware and/or instrumentation reimbursed under subsection (g)(1) is excluded from the calculation of costs. If an admission for a complex spinal surgery DRG qualifies as a cost outlier case, any implantable hardware and/or instrumentation shall be separately reimbursed under subsection (g)(1).
(g) Additional allowance for spinal devices used in complex spinal surgery:
(1) For discharges occurring before January 1, 2013, costs for spinal devices used during complex spinal surgery DRGs shall be separately reimbursed at the hospital's documented paid cost, plus an additional 10% of the hospital's documented paid cost, net of discounts and rebates, not to exceed a maximum of $250.00, plus any sales tax and/or shipping and handling charges actually paid. 
(2) For discharges occurring on or after January 1, 2013 but before January 1, 2014, an additional allowance of $9,140 shall be made for spinal devices used during complex spinal surgery MS-DRGs 453, 454, and 455; an additional allowance of $3,170 shall be made for spinal devices used during complex spinal surgery MS-DRG 456; and an additional allowance of $670 shall be made for spinal devices used during complex spinal surgery MS-DRGs 028, 029, and 030.
(3) For discharges occurring on or after January 1, 2014, complex spinal surgery DRGs shall not receive any additional or separate reimbursement for spinal devices, unless the Administrative Director extends section 9789.22(g)(2) to discharges occurring on or after January 1, 2014, in accordance with Labor Code Section 5307.1(m) through a later enacted regulation.
(4) For purposes of this subdivision, a device is an instrument, apparatus, implement, machine, contrivance, implant, in vitro reagent, or other similar related article, including a component part, or accessory which is: (1) recognized in the official National Formulary, or the United States Pharmacopoeia, or any supplement to them; (2) intended for use in the cure, mitigation, treatment, or prevention of disease; or (3) intended to affect the structure or any function of the body, and which does not achieve any of its primary intended purposes through chemical action within or on the body and which is not dependent upon being metabolized for the achievement of any of its primary intended purposes. 
(h) “New technology pass-through”: Additional payments will be allowed for new medical services and technologies as provided by CMS and set forth in Title 42, Code of Federal Regulations Section 412.87 and Section 412.88 which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge.
(i) Sole Community Hospitals: If a hospital meets the criteria for sole community hospitals, under Title 42, Code of Federal Regulations §412.92(a), and has been classified by CMS as a sole community hospital, its payment rates are determined under Title 42, Code of Federal Regulations §412.92(d), which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge.
(j) Transfers 
(1) Inpatient services provided by a hospital transferring an inpatient to another hospital are exempt from the maximum reimbursement formula set forth in Section 9789.22(a). Maximum reimbursement for inpatient medical services of a hospital transferring an inpatient to another hospital shall be a per diem rate for each day of the patient's stay in that hospital, not to exceed the amount that would have been paid under Section 9789.22(a). However, the first day of the stay in the transferring hospital shall be reimbursed at twice the per diem amount and the hospital shall receive the additional allowances under Sections 9789.22(g) and (h) when applicable. The per diem rate is determined by dividing the maximum reimbursement as determined under Section 9789.22(a) by the average length of stay for that specific DRG. However, if an admission to a hospital transferring a patient is exempt from the maximum reimbursement formula set forth in Section 9789.22(a) because it satisfies one or more of the requirements of Section 9789.22(k), this subdivision shall not apply. Inpatient services provided by the hospital receiving the patient shall be reimbursed under the provisions of Section 9789.22(a).
(2) Post-acute care transfers exempt from the maximum reimbursement set forth in Section 9789.22(a).
(A) When an acute care patient is discharged to a post-acute care provider which is a rehabilitation hospital or distinct part rehabilitation unit of an acute care hospital or a long-term hospital, and the patient's discharge is assigned to one of the qualifying DRGs as specified in the Federal Register, payment to the transferring hospital shall be made as set forth in Section 9789.22(j)(1). See Section 9789.25(b) for the Federal Register reference that contains the qualifying DRGs for a given discharge.
(B) When an acute care patient is discharged to a post-acute care provider and the patient's discharge is assigned to one of the qualifying special pay DRGs as specified in the Federal Register, the payment to the transferring hospital is 50% of the amount paid under Section 9789.22(a), plus 50% of the per diem, set forth in Section 9789.22(j)(1) for each day, up to the full DRG amount. See Section 9789.25(b) for the Federal Register reference that contains the qualifying DRGs for a given discharge.
(k) The following are exempt from the maximum reimbursement formula set forth in Section 9789.22(a) and are paid on a reasonable cost basis.
(1) Critical access hospitals; 
(2) Children's hospitals that are engaged in furnishing services to inpatients who are predominantly individuals under the age of 18;
(3) Cancer hospitals as defined by Title 42, Code of Federal Regulations, Section 412.23(f) which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge;
(4) Veterans Administration hospitals;
(5) Long term care hospitals as defined by Title 42, Code of Federal Regulations, Section 412.23(e) which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. See Section 9789.25(a) for the Code of Federal Regulations reference for the effective date, revisions, and amendments by date of discharge;
(6) Rehabilitation hospital or distinct part rehabilitation units of an acute care hospital or a psychiatric hospital or distinct part psychiatric unit of an acute care hospital;
(7) The cost of durable medical equipment provided for use at home is exempt from this Inpatient Hospital Fee Schedule. The cost of durable medical equipment shall be paid pursuant to Section 9789.60; and
(8) Out of state hospitals.
(l) For discharges occurring before January 1, 2013, a hospital that is not listed on the Medicare Cost Report should notify the Administrative Director and provide in writing the following information: OSHPD Licensure number, Medicare provider number, physical location, number of beds, and, if applicable, avearage FTE residents in approved training programs. If a hospital has been in operation for more than one year, information should also be provided on the precentage of inpatient days attributable to Medicaid patients.
For discharges occurring on or after January 1, 2013, a hospital that is not listed in Section 9789.23, may notify the Administrative Director and provide in writing the following Medicare information: Medicare provider number, physical location, county code, hospital specific operating and capital CCRs, and DSH and/or IME adjustments, if applicable. 
(m) Any hospital that believes its composite factor or hospital specific outlier factor was erroneously determined because of an error in tabulating data may request the Administrative Director for a re-determination of its composite factor or hospital specific outlier factor. Such requests shall be in writing, shall state the alleged error, and shall be supported by written documentation. Within 30 days after receiving a complete written request, the Administrative Director shall make a redetermination of the composite factor or hospital specific outlier factor or reaffirm the published factor. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1, 5307.3 and 5318, Labor Code. Reference: Sections 4600, 4603.2, 5307.1 and 5318, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.23. Hospital Cost to Charge Rations, Hospital Specific Outliers, and Hospital Composite Factors.
Note     •     History

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Full Payment Impact File (impfile04zip) at http://www.cms.gov/providers/hipps/ippsputs.asp (Section 9789.23 reflects teh modifications of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Public Law 108-173, §§402, 402 and 502, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. 
Record Layout at http://cms.hhs.gov/providers/hipps/impact_rcd_lay.pdf.
Composite Rate (in italics) reflects Sole Community Hospital adjustment
NOTE

Authority cited: Sections 133, 4603.5, 5307.1, 5307.3 and 5318, Labor Code. Reference: Sections 4600, 4603.2, 5307.1 and 5318, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section heading and repealer and new section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.24. Diagnostic Related Groups, Relative Weights, Geometric Mean Length of Stay.
History

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HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.25. Federal Regulations, Federal Register Notices, and Payment Impact File by Date of Discharge.
Note     •     History

(a) Federal Regulations by Date of Discharge
(1) The Federal Regulations can be accessed at: http://www.cms.gov/AcuteInpatientPPS/ and the referenced sections are incorporated by reference and will be made available upon request to the Administrative Director.

	Discharges Occurring On	Discharges Occurring On 	Discharges Occurring On 	Discharges Occurring On
	or After 1/1/2004	or After 11/29/2004	or After 12/1/2005	or After 12/1/2006

Title 42, Code of Federal 	Effective October 1, 2003			
Regulations, §412.2				
				
Title 42, Code of Federal 	Effective date October 1, 2002			
Regulations, §412.23(e)	and revised as of 			
	October 1, 2003			
				
Title 42, Code of Federal 	Effective October 1, 2002			
Regulations, §412.23(f)	and revised as of 			
	October 1, 2003			
				
Title 42, Code of Federal 	Effective October 1, 2004			
Regulations Section 412.64				
				
Title 42, Code of Federal 	Effective September 7, 2001	Amended; effective 		
Regulations Section 412.87	and revised as of 	October 1, 2004		
	October 1, 2003			
				
Title 42, Code of Federal 	Effective September 7, 2001	Amended; effective 		
Regulations Section 412.88	and amended August 1, 2002	October 1, 2004		
	and August 1, 2003 and 			
	revised as of October 1, 2003			
				
Title 42, Code of Federal 	Effective October 1, 2002		Amended; effective 	
Regulations §412.92(a)	and revised as of 		October 1, 2005	
	October 1, 2003			
				
Title 42, Code of Federal 	Effective October 1, 2002 		Amended; effective 	
Regulations §412.92(d)	and revised as of 		October 1, 2005	
	October 1, 2003			
				
Title 42, Code of Federal 	Effective November 11, 2003, 	Amended; effective 	Amended; effective 	Amended; effective 
Regulations Section 412.316(b)	large urban add-on is an 	October 1, 2004, 	October 1, 2004, 	October 1, 2006, 
	additional 3%	large urban add-on is an 	large urban add-on is an 	large urban add-on is an 
		additional 3%	additional 3%	additional 3%

	Discharges Occurring On	Discharges Occurring On 	Discharges Occurring On 	Discharges Occurring On
	or After 1/1/2008	or After 12/1/2008	or After 12/1/2009	or After 3/01/2011

Title 42, Code of Federal 				Amended; effective 
Regulations, §412.2				October 1, 2010
				
Title 42, Code of Federal 			Amended; effective 	Amended; effective 
Regulations, §412.23(e)			October 1, 2009	October 1, 2010
				
Title 42, Code of Federal 				
Regulations, §412.23(f)				
				
Title 42, Code of Federal 				
Regulations Section 412.64				
				
Title 42, Code of Federal 		Amended; effective 	Amended; effective 	
Regulations Section 412.87		October 1, 2008	October 1, 2009	
				
Title 42, Code of Federal 	Amended; effective 			
Regulations Section 412.88	October 1, 2007			
				
Title 42, Code of Federal 				
Regulations Section 412.92(a)				
				
Title 42, Code of Federal 		Amended; effective 		
Regulations Section 412.92(d)		October 1, 2008		
				
Title 42, Code of Federal 	Amended; effective 			
Regulations Section 412.316(b)	October 1, 2007, large urban 			
	add-on is eliminated			

	Discharges Occurring On			
	or After 12/01/2011			

Title 42, Code of Federal 				
Regulations, §412.2				
				
Title 42, Code of Federal 	Amended; effective 			
Regulations, §412.23(e)	October 1, 2011			
				
Title 42, Code of Federal 				
Regulations, §412.23(f)				
				
Title 42, Code of Federal 	Amended; effective 			
Regulations, §412.64	October 1, 2011			
				
Title 42, Code of Federal 				
Regulations Section 412.87				
				
Title 42, Code of Federal 				
Regulations Section 412.88				
				
Title 42, Code of Federal 				
Regulations Section 412.92(a)				
				
Title 42, Code of Federal 				
Regulations Section 412.92(d)				
				
Title 42, Code of Federal 				
Regulations Section 412.316(b)				
(b) Federal Register Notices by Date of Discharge
(1) The Federal Register Notices can be accessed at: http://www.cms.gov/AcuteInpatientPPS/ and the referenced sections are incorporated by reference and will be made available upon request to the Administrative Director.

	Discharges Occurring On	Discharges Occurring On 	Discharges Occurring On 	Discharges Occurring On
	or After 1/1/2004	or After 11/29/2004	or After 7/1/2005	or After 12/1/2005

Applicable FR Notices	(A) August 1, 2003 	(A) August 11, 2004 	(A) August 11, 2004 	(A) August 12, 2005 
	(CMS-1470-F; 	(CMS-1428-F;  	(CMS-1428-F; 	(CMS-1500-F; 
	68 FR 45346) final rule	69 FR 48916) final rule	69 FR 48916) final rule	70 FR 47278) final rule
	(B) October 6, 2003 	(B) October 7, 2004 	(B) October 7, 2004 	(B) September 30, 2005 
	(CMS-1470-CN; 	(CMS-1428-CN2; 	(CMS-1428-CN2; 	70 FR 57161 
	68 FR 57732) 	69 FR 60242) 	69 FR 60242) 	(CMS-1500-CN) 
	correction notice 	correction notice	correction notice	correction notice
		(C) 69 FR 78526 	(C) 69 FR 78526 	
		(CMS-1428-F2) 	(CMS-1428-F2) 	
		correction notice 	correction notice	
				
Capital wage index 	Tables 4A-4C beginning	Tables 4A1 -4C2 beginning 		Tables 4A-4C beginning
	on (A) page 57736 	on (C) page 78619 		on (A) page 47580 
				as corrected by 
				Tables 4A-4C beginning 
				on (B) page 57163 
				
Capital market basket	Not applicable	0.7% ((A) page 49285)		0.8% ((A) page 47500)
				
Capital standard federal 	$414.18 	$416.73 		$420.06 ($416.73 x 1.008)
payment rate 	((B) page 57735, Table 1D)	($413.83 x 1.007)		
				
Complex Spinal 	496, 497, 498, 519, 			496, 497, 498, 519, 
Surgery DRGs 	520, 531,532			520, 531, 532, 546
				(page 47308 of (A))
				
Fixed Loss Outlier Threshold	$ 31,000 ((A) page 45477)	$ 25,800 ((A) page 49278)		$23,600 ((A) page 47494)
				
Labor-Related National 	$3,136.39	$4,569.83 		$4,738.91 
Standard Operating Rate	((B) page 57735, Table 1A)	($4,423.84 x 1.033)		($4,569.83 x 1.037)
				
Operating Wage Index	Tables 4A-4C beginning 	Tables 4A1 -4C2 beginning		Tables 4A-4C beginning 
	on (A) page 57736; PIF: 	on (C) page 78619; PIF: 		on (A) page 47580 as 
	Operating Wage Index 	Final Wage Index 		corrected by Tables 4A-4C
	location (WIGRN)	location (WIGRN)		beginning on (B) 
				page 57163; PIF: 
				Post Reclass Wage 
				Index location
				
Labor-Related Portion	Table 1A beginning 	For wage indexes 		For wage indexes 
	on B page 57735	greater than 1.0, the 		greater than 1.0, the 
		labor-related portion 		labor-related portion 
		is 71.066% of the 		is 69.731% of the 
		standard operating rate. 		standard operating rate. 
		For wage indexes 		For wage indexes 
		less than or equal to 1.0, 		less than or equal to 1.0, 
		the labor-related portion 		the labor-related portion 
		is 62 %. (A) page 49070 		is 62 %. (A) page 47393 
				
Post-acute care transfer to 	DRGs 12, 14, 24, 25, 89, 90,		DRGs 12, 14, 24, 25, 88, 	DRGs designated with 
a rehabilitation hospital or 	113, 121, 122, 130, 131, 236, 		89, 90, 113, 121, 122, 127, 	a “yes” in “FY06 Final
unit or long-term hospital 	239, 243, 263, 264, 277, 278, 		130, 131, 236, 239, 277, 	Rule Post-acute Care DRG”
qualifying DRGs	296, 297, 320, 321, 429, 462, 		278, 294, 296, 297, 320, 	column in Table 5 (A) 
	483, or 468 (A) beginning at 		321, 395, 429, 468, 541 	beginning at page 47617
	page 45413		or 542 (B) beginning at 	and (B) beginning at 
			page 60246	page 57163
				
Post-acute care transfer 	DRGs 209, 210 or 211 (A) 			DRGs 7, 8, 210, 211, 233, 
qualifying DRGs	beginning at page 45413			234, 471, 497, 498, 544, 545,
				549, or 550 (A) beginning
				at page 47617 and (B) 
				beginning at page 57163

	Discharges Occurring On	Discharges Occurring On 	Discharges Occurring On 	Discharges Occurring On
	or After 12/1/2006	or After 3/1/2007	or After 1/1/2008	or After 12/1/2008

Applicable FR Notices	(A) August 18, 2006 	(A) August 18, 2006	(A) August 22, 2007 	(A) August 19, 2008 
	(CMS-1488-F; 	(CMS-1488-F; 	(CMS-1533-FC; 	(CMS-1390-F; 
	71 FR 47870) 	71 FR 47870)	72 FR 47130) final rule	73 FR 48434) final rule
	(B) October 11, 2006 	(B) October 11, 2006 	(B) October 10, 2007 	(B) October 3, 2008 
	(CMS-1488-N; 	(CMS-1488-N; 	72 FR 57634 	73 FR 57888
	71 FR 59886) 	71 FR 59886)	(CMS-1533-CN2) 	(CMS-1390-N) 
	additional notice 	additional notice	correction notice	correction notice
		(C) January 5, 2007 		
		(CMS-1488-CN2; 72 fr 569)		
		correction notice		
				
Capital wage index 	Tables 4A-1 - 4C-1 		Tables 4A-4C beginning	Tables 4A-4C beginning
	(for discharges before 4/1/2007)		on (B) page 57698 	on (B) page 57956 
	and Tables 4A-2-4C2			
	(for discharges occurring 			
	on or after 4/1/2007) 			
	beginning on (B) page 59975			
				
Capital market basket	1.10% ((A) page 48163)		1.3% ((A) page 47426)	1.4% ((A) page 48776)
				
Capital standard federal 	$424.68 ($420.06 x 1.0110)		$430.20 ($424.68 x 1.013)	$436.22 ($430.20 x 1.014)
payment rate 				
				
Complex Spinal Surgery DRGs 			028, 029, 030, 453, 454,	
			455, 456, 457, 458, 459, 	
			460, 471, 472, 473	
				
Fixed Loss Outlier Threshold	$24,485 ((A) page 59890)		$22,185 ((A) Page 66887)	$20,045 ((A) page 57891)
				
Labor-Related National 	$4,900.03 		$5,061.73 	$5,243.95
Standard Operating Rate	($4,738.91 x 1.034)		($4,900.03 x 1.033)	($5,061.73 x 1.036)
				
Operating Wage Index	Tables 4A-1 - 4C-1 (for 		Tables 4A -4C beginning	Tables 4A-4C beginning 
	discharges before 4/1/2007)		on (B) page 57698; PIF:	on (B) page 57956; PIF: 
	and Tables 4A-2-4C2 (for 		Post Reclass Wage Index 	Post Reclass Wage Index 
	discharges occurring on 		location  	location
	or after 4/1/2007) beginning on		 	
	(B) page 59975; PIF: Post			
	Reclass Wage Index_a 			
	(for first half FY 2007) and			
	Post Reclass Wage Index_b			
	(for second half FY 2007)			
				
Labor-Related Portion	For wage indexes greater 		For wage indexes greater 	For wage indexes greater 
	than 1.0, the labor-related 		than 1.0, the labor-related 	than 1.0, the labor-related 
	portion is 69.731% of the 		portion is 69.731% of the 	portion is 69.731% of the
	standard operating rate. 		standard operating rate.	standard operating rate. 
	For wage indexes less than 		For wage indexes less than	For wage indexes less than 
	or equal to 1.0, the 		or equal to 1.0, the 	or equal to 1.0, the 
	labor-related portion 		labor-related portion 	labor-related portion 
	is 62 %. (A) page 48029 		is 62%. (A) page 47344 	is 62%. (A) page 48592 
				
Post-acute care transfer to a	DRGs designated with a 	DRGs designated with 	Medicare Severity DRGs	Medicare Severity DRGs
rehabilitation hospital or  	“yes” in the “FY 07 Final Rule 	a “yes” in the “FY 07 	designated with a “yes”	designated with a “yes”
unit or long-term hospital 	Post-acute Care DRG” column 	Final Rule Post-acute 	in the “FY08 Final Rule 	in the “FY09 Final Rule
qualifying DRGs	in Table 5 (B) beginning 	Care DRG”column in 	Post-Acute DRG” column	Post-Acute DRG” column
	at page 60013 	Table 5 (B) beginning at 	in Table 5 (A) beginning	in Table 5 (A) beginning
		page 60013 and (C) 	at page 47539 and (B)	at page 48899
		beginning at page 573	at page 57727	
				
Post-acute care transfer	DRGs 7, 8, 210, 211, 233, 	DRGs 7, 8, 210, 211, 233, 	Medicare-Severity DRGs 	Medicare-Severity DRGs 
qualifying DRGs	234, 471, 497, 498, 545, 	234, 471, 497, 498, 544, 	designated with a “yes”	designated with a “yes”
	549, or 550 (B) beginning 	545, 549, or 550 (B) 	in the “FY08 Final Rule 	in the “FY09 Final Rule
	at page 60013	beginning at page 60013 	Special Pay DRG” column	Special Pay DRG” column
		and (C) beginning 	in Table 5 (A) beginning 	in Table 5 (A) beginning 
		at page 573	at page 47539 and  (B) 	at page 48899
			at page 57727	

		 	 	Discharges Occurring On
	Discharges Occurring On	Discharges Occurring On	Discharges Occurring On	or After 1/1/2013 but 
	or After 12/1/2009	or After 3/01/2011	or After 12/01/2011	Before 1/1/2014

Applicable FR Notices 	(A)August 27, 2009 	(A) August 16, 2010 	(A) August 18, 2011 	
	(CMS-1406-F; FR 43754) 	(CMS-1498-F; FR 50042)	(CMS-1518-F; FR 51476)	
	final rule 	final Rule 	final Rule 	
	(B) October 7, 2009	(B) October 1, 2011	(B) September 26, 2011	
	(CMS-1406-CN; 	(CMS-1498-F;	(CMS-1518-CN3; 	
	74 FR 51496) 	75 FR 60640)	76 FR 59263)	
	correction notice 	correction	correction	
				
Capital wage index 	Tables 4A-4C beginning 	Tables 4A-C Beginning	Tables 4A-C at	
	on page (A)44085 as 	on page (A) 50511	https://www.cms.gov/	
	corrected by Tables 4A-4C		AcuteInpatientPPS/01	
	beginning on (B) page 51505		_overview.asp	
	for certain areas			
				
Capital market basket	1.2%  ((B) page 51498)	1.2%, (A) page 50442	1.5%, (A) page 51806	
				
Capital standard federal 	$441.46 ($436.22 x 1.012)	$446.75 ($441.46 X 1.012	$453.46 (446.75 X 1.015)	
payment rate				
				028, 029, 030, 453, 
				454, 455, 456
Complex Spinal Surgery  				
DRGs				
				
Fixed Loss Outlier Threshold	$23,140 ((A) page 44011)	$23,075, (A) page 50441	$22,385, (A) page 51795	
				
Labor-Related National 	$5,354.08 ($5,243.95 x 1.021)	$5,493.28 ($5,354.08 x 1.026)	$5,658.08 ($5,493.28 x 1.03)	
Standard Operating Rate				
				
Operating Wage Index	Tables 4A-4C beginning 	Tables 4A-C Beginning	Tables 4A-C at	
	on page (A)44085 as 	on page (A) 50511; 	https://www.cms.gov/	
	corrected by Tables 4A-4C	PIF: FY 2011 Wage	AcuteInpatientPPS/01	
	beginning on (B) page 51505	Index Location	_overview.asp;	
	for certain areas; PIF: Post		PIF: FY 2012 Wage 	
	Reclass Wage Index location		Index Location	
				
Labor-Related Portion	For wage indexes greater	For wage indexes greater 	For wage indexes greater	
	than 1.0, the labor-related 	than 1.0, the labor-related	than 1.0, the labor-related	
	portion is 68.802% of the	portion is 68.8% of the 	portion is 68.8% of the	
	standard operating rate.	standard operating rate.	standard operating rate.	
	For wage indexes less than	For wage indexes less than	For wage indexes less than	
	or equal to 1.0, the	or equal to 1.0, the 	or equal to 1.0, the	
	labor-related portion 	labor-related portion	labor-related portion	
	is 62%. (A) page 43856 	is 62% (A) page 50422	is 62% (A) page 51786	
				
Post-acute care transfer to 	Medicare-Severity DRGs 	Medicare-Severity DRGs 	Medicare-Severity DRGs	
a rehabilitation hospital or 	designated with a “yes” in	designated With a “yes” in	designated With a “yes” in	
unit or long-term hospital 	the “FY 2010 Final Rule	the “FY 2011 Final Rule	the “FY 2012 Final Rule	
qualifying DRGs	Post-Acute DRG” column	Post-Acute DRG” Column	Post-Acute DRG” Column in 	
	in Table 5 (A) beginning 	in Table 5 (A) beginning	Table 5 https://www.cms.gov/	
	at page 44126	at  page 50547	AcuteInpatientPPS/	
				
Post-acute care transfer	Medicare-Severity DRGs 	Medicare-Severity DRGs	Medicare-Severity DRGs	
qualifying DRGs	designated with a “yes” in	designated With a “yes” in	designated With a “yes” in	
	the “FY2010 Final Rule	the “FY 2011 Final Rule	the “FY 2012 Final Rule	
	Special Pay DRG” column	Special Pay DRG” column	Special Pay DRG” column in 	
	in Table 5 (A) beginning	in Table 5 (A) Beginning	Table 5 https://www.cms.gov/	
	at page 44126	at page 50547	AcuteInpatientPPS/	
(c) Payment Impact File by Date of Discharge
(1) The Payment Impact File can be accessed at: http://www.cms.gov/AcuteInpatientPPS/ and the referenced sections are incorporated by reference and will be made available upon request to the Administrative Director.

	Discharges Occurring On	Discharges Occurring On	Discharges Occurring On	Discharges Occurring On
	or After 1/1/2004	or After 11/29/2004	or After 12/1/2005	or After 12/1/2006

Applicable Payment Impact	FY2004 Final Rule 	FY2005 Final Rule 	FY2006 Final Rule 	FY2007 Final Rule 
File (PIF)	Impact File	Impact File	Impact File	Impact File
				
Capital geographic 	PIF: Capital Wage Index 	PIF:POST RECLASS GAF	PIF:WICGRN	PIF:Post Reclass GAF_a
adjustment factor 				(for first half FY 2007) and
				Post Reclass GAF_b 
				(for capital second half
				FY 2007) 
				
Large Urban Add-on 	PIF: Post-Reclassification	PIF: Standardized 	PIF:URSPA	PIF:URSPA
	Urban/Rural location	payment location		
				
Capital Disproportionate 	PIF: Capital Disproportionate	PIF: Capital Disproportionate	PIF: Capital Disproportionate	PIF: Capital 
Share Adjustment Factor	Share Adjustment location	Share (DSH) Adjustment	Share (DSH) Adjustment	Disproportionate
	(DSHCPG)	location (CAPITAL 	location (DSHCPG)	Share (DSH) Adjustment
		DSH ADJ.)		location (DSHCPG)

Capital Indirect Medical 	PIF: Capital IME Adjustment	PIF: IME adjustment factor	PIF: IME adjustment factor	PIF: IME adjustment factor
Education Adjustment Factor	location (TCHCP)	for capital PPS location (IME 	for capital PPS location 	for capital PPS location
		ADJUSTMENT-CAPITAL)	(TCHCP)	(TCHCP)
				
Operating Wage Index	Tables 4A-4C beginning	Tables 4A1-4C2 beginning 	Tables 4A-4C beginning	Tables 4A-1 - 4C-1 (for 
	on (A) page 57736; PIF:	on (C) page 78619; PIF:	on (A) page 47580 as	discharges before 4/1/2007)
	Operating Wage Index 	Final Wage Index location	corrected by Tables 4A-4C	and Tables 4A-2-4C2
	location (WIGRN)	(WIGRN)	beginning on (B) 	(for discharges occurring 
			page 57163; PIF: Post	on or after 4/1/2007)
			Reclass Wage Index 	beginning on (B) 
			location	page 59975;
				PIF: Post Reclass Wage 
				Index_a (for first half 
				FY 2007) and Post Reclass
				Wage Index_b (for second 
				half FY 2007)
				
Operating Disproportionate 	PIF: Operating DSH 	PIF: Operating 	PIF: Operating 	PIF: Operating 
Share Adjustment Factor	Adjustment Factor location	Disproportionate Share 	Disproportionate Share	Disproportionate Share
	(DSHOPG)	(DSH) Adjustment Factor	(DSH) Adjustment Factor	(DSH) Adjustment Factor
		location (OPERATING	location (DSHOPG)	location (DSHOPG)
		DSH ADJ.)		
				
Operating Indirect Medical	PIF: Operating IME 	PIF: IME Adjustment Factor	PIF: IME Adjustment 	PIF: IME Adjustment Factor
Education Adjustment	Adjustment location (TCHOP)	for Operating PPS location	Factor for Operating 	for Operating PPS location
		(IME ADJUSTMENT 	PPS location (TCHOP)	(TCHOP)
		OPERATING)		
				
Sole Community Hospital --	PIF: Hospital -- Specific Rate 	PIF: Sole Community 	PIF: 82/87 Hospital 	PIF: 82/87/96 Hospital
Hospital Specific Rate	location (HSPPUB) 	Hospital Cost/Case 	Specific Rate Updated to 	Specific Rate Updated to
		1982/1987 and Sole 	FY 2006 (OLDHSPPS) 	FY 2007 for SCH Providers
		Community Hospital 	and 1996 Hospital Specific 	location (HSP Rate)
		Cost/Case 1996 locations	Rate Updated to FY 2006 	
			(HSP96) locations	
				
Cost-to-Charge Ratio	PIF: Operating 	PIF: Operating 	PIF: Operating 	PIF: Operating 
	Cost-to-Charge Ratio	Cost-to-Charge Ratio	Cost-to-Charge Ratio	Cost-to-Charge Ratio
	location (OPCCR) and	location (OPCCR) and	location (OPCCR) and	location (OPCCR) and
	Capital Cost-to-Charge	Capital Cost-to-Charge	Capital Cost-to-Charge	Capital Cost-to-Charge
	location (CPCCR)	location (CPCCR)	location (CPCCR)	location (CPCCR)

	Discharges Occurring On	Discharges Occurring On	Discharges Occurring On	Discharges Occurring On
	or After 1/1/2008	or After 12/1/2008	or After 12/1/2009	or After 3/01/2011

Applicable Payment 	FY2008 Final Rule 	FY2009 Final Rule 	FY2010 Correction Notice 	FY 2011 Final Rule
Impact File (PIF)				
				
Capital Geographic 	Post Reclass GAF	Post Reclass GAF	Post Reclass GAF	FY 2011 GAF
Adjustment Factor				
				
Capital Disproportionate 	PIF: Capital 	PIF: Capital 	PIF: Capital 	PIF: Capital 
Share Adjustment Factor	Disproportionate 	Disproportionate 	Disproportionate	Disproportionate
	Share (DSH) Adjustment	Share (DSH) Adjustment	Share (DSH) Adjustment	Share (DSH) adjustment
	location (DSHCPG)	location (DSHCPG)	location (DSHCPG)	location (DSHCPG)
				
Capital Indirect Medical	PIF: IME adjustment factor	PIF: IME adjustment factor	PIF: IME adjustment factor	PIF: IME adjustment factor
Education Adjustment Factor	for capital PPS location	for capital PPS location	for capital PPS location	for capital PPS location
	(TCHCP)	(TCHCP)	(TCHCP)	(TCHCP)
				
Operating Wage Index	Tables 4A -4C beginning	Tables 4A-4C beginning	Tables 4A-4C beginning	Tables 4A-C Beginning
	on (B) page 57698;	on (B) page 57956;	on page (A)44085 as	on page (A) 50511;
	PIF: Post Reclass Wage	PIF: Post Reclass Wage	corrected by Tables 	PIF: FY 2011 Wage
	Index location 	Index location	4A-4C beginning on (B) 	Index Location
			page 51505 for certain 	
			areas; PIF: Post Reclass 	
			Wage Index location	
				
Operating Disproportionate	PIF: Operating 	PIF: Operating 	PIF: Operating 	PIF: Operating 
Share Adjustment Factor	Disproportionate	Disproportionate	Disproportionate	Disproportionate
	Share (DSH) Adjustment	Share (DSH) Adjustment	Share (DSH) Adjustment	Share (DSH) Adjustment
	Factor location (DSHOPG)	Factor location (DSHOPG)	Factor location (DSHOPG)	Factor location (DSHOPG)
				
Operating Indirect Medical	PIF: IME Adjustment	PIF: IME Adjustment	PIF: IME Adjustment	PIF: IME Adjustment
Education Adjustment	Factor for Operating	Factor for Operating	Factor for Operating	Factor for Operating
	PPS location (TCHOP)	PPS location (TCHOP)	PPS location (TCHOP)	PPS location (TCHOP)
				
Sole Community Hospital --	PIF: 82/87/96 Hospital 	PIF: 82/87/96 Hospital	PIF: 82/87/96 /06 Hospital 	PIF: 82/87/96/06 Hospital
Hospital Specific Rate	Specific Rate Updated to	Specific Payment (HSP)	Specific Payment (HSP)	Specific Payment (HSP)
	FY 2008 for SCH Providers	Rate Updated to FY 2009	Rate Updated to	Rate Updated to FY2011
	location (HSP Rate)	for SCH Providers	FY 2010 for SCH	for SCH Providers 
		location (HSP Rate)	Providers location 	location (FY11 HSP Rate)
			(FY10HSP Rate)	
				
Cost-to-Charge Ratio	PIF: Operating 	PIF: Operating 	PIF: Operating 	PIF: Operating 
	Cost-to-Charge Ratio 	Cost-to-Charge Ratio	Cost-to-Charge Ratio	Cost-to-Charge Ratio
	location (OPCCR) and	location (Operating CCR)	location (Operating CCR)	location (Operating CCR)
	Capital Cost-to-Charge	and Capital Cost-to-Charge	and Capital Cost-to-Charge	and Capital Cost-to-Charge
	location (CPCCR)	location (Capital CCR)	location (Capital CCR)	location (Capital CCR)

	Discharges Occurring On			
	or After 12/01/2011			

Applicable Payment	FY 2012 Final 			
Impact File (PIF)	Rule-IPPS Impact File			
				
Capital Geographic 	FY 2012 GAF			
Adjustment Factor				
				
Capital Disproportionate	PIF: Capital Disproportionate			
Share Adjustment Factor	Share (DSH) adjustment			
	location (DSHCPG)			
				
Capital Indirect Medical	PIF: IME adjustment factor			
Education Adjustment Factor	for capital PPS location (TCHCP)			
				
Operating Wage Index	Tables 4A-C at 			
	https://www.cms.gov/ 			
	AcuteInpatientPPS/01			
	_overview.asp; PIF: 			
	FY  2012 Wage Index Location			
				
Operating Disproportionate	PIF: Operating Disproportionate			
Share Adjustment Factor	Share (DSH) Adjustment 			
	Factor location (DSHOPG)			
				
Operating Indirect Medical	PIF: IME Adjustment 			
Education Adjustment	Factor for Operating PPS 			
	location (TCHOP)			
				
Sole Community Hospital --	PIF: 82/87/96/06 Hospital			
Hospital Specific Rate	Specific Payment (HSP)			
	Rate Updated to FY2012 for 			
	SCH Providers location			
	(FY12 HSP Rate)			
				
Cost-to-Charge Ratio	PIF: Operating Cost-to-Charge			
	Ratio location (Operating CCR)			
	and Capital Cost-to-Charge			
	location (Capital CCR)			

NOTE

Authority cited: Sections 133, 4603.5, 5307.1, 5307.3 and 5318, Labor Code. Reference: Sections 4600, 4603.2, 5307.1 and 5318, Labor Code.
HISTORY

1. New section filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.30. Hospital Outpatient Departments and Ambulatory Surgical Centers - Definitions.
Note     •     History

(a) “Adjusted Conversion Factor” is determined as follows: unadjusted conversion factor x (1-labor-related share + (labor-related share x wage index)). For each update, the unadjusted conversion factor for the preceding period is adjusted by the rate of change in the market basket inflation factor. The market basket inflation factor and labor-related share are specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the unadjusted conversion factor, market basket inflation factor, and labor-related share by date of service.
For services rendered on or after February 15, 2006, in accordance with Section 411 of Pub. L. 108-173 and the final rule published in the Federal Register of November 10, 2005 (CMS-1501-FC, 70 FR 68516) at page 68556, the “Adjusted Conversion Factor” for a rural Sole Community Hospital (SCH) includes an adjustment factor of 1.071, which document is incorporated by reference and will be made available upon request to the Administrative Director.
(b) “Ambulatory Payment Classifications (APC)” means the Centers for Medicare & Medicaid Services' (CMS) list of ambulatory payment classifications of hospital outpatient services. 
(c) “Ambulatory Surgical Center (ASC)” means any surgical clinic as defined in the California Health and Safety Code Section 1204, subdivision (b)(1), any ambulatory surgical center that is certified to participate in the Medicare program under Title XVIII (42 U.S.C. SEC. 1395 et seq.) of the federal Social Security Act, or any surgical clinic accredited by an accrediting agency as approved by the Licensing Division of the Medical Board of California pursuant to Health and Safety Code Sections 1248.15 and 1248.4 to use anesthesia, except local anesthesia or peripheral nerve blocks, or both, in compliance with the community standard of practice, in doses that, when administered have the probability of placing a patient at risk for loss of the patient's life-preserving protective reflexes.
(d) “Annual Utilization Report of Specialty Clinics” means the Annual Utilization Report of Clinics that is filed by February 15 of each year with the Office of Statewide Health Planning and Development by the ASCs as required by Section 127285 and Section 1216 of the Health and Safety Code. 
(e) “APC Payment Rate” means CMS' hospital outpatient prospective payment system rate. The APC payment rate is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference to the APC payment rate by date of service. 
(f) “APC Relative Weight” means CMS' APC relative weight as set forth in CMS' hospital outpatient prospective payment system. The APC relative weight is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference to the APC relative weight by date of service. 
(g) “CMS” means the Centers for Medicare & Medicaid Services of the United States Department of Health and Human Services. 
(h) “Cost to Charge Ratio for ASC” means the ratio of the facility's total operating costs to total gross charges during the preceding calendar year. 
(i) “Cost to Charge Ratio for Hospital Outpatient Department” means the hospital cost-to-charge used by the Medicare fiscal intermediary to determine high cost outlier payments. 
(j) “HCPCS” means CMS' Healthcare Common Procedure Coding System, which describes products, supplies, procedures and health professional services and includes, the American Medical Associations (AMA's) Physician “Current Procedural Terminology”, Fourth Edition (CPT-4) codes, alphanumeric codes, and related modifiers. 
(k) “HCPCS Level I Codes” are the AMA's CPT-4 codes and modifiers for professional services and procedures. 
(l) “HCPCS Level II Codes” are national alphanumeric codes and modifiers maintained by CMS for health care products and supplies, as well as some codes for professional services not included in the AMA's CPT-4. 
(m) “Health facility” means any facility as defined in Section 1250 of the Health and Safety Code. 
(n) “Hospital Outpatient Department” means any hospital outpatient department of a health facility as defined in the California Health and Safety Code Section 1250 and any hospital outpatient department that is certified to participate in the Medicare program under Title XVIII (42 U.S.C. SEC. 1395 et seq.) of the federal Social Security Act. 
(o) “Hospital Outpatient Department Services” means services furnished by any health facility as defined in the California Health and Safety Code Section 1250 and any hospital that is certified to participate in the Medicare program under Title XVIII (42 U.S.C. SEC. 1395 et seq.) of the federal Social Security Act to a patient who has not been admitted as an inpatient but who is registered as an outpatient in the records of the hospital. 
(p) “Labor-related Share” means the portion of the payment rate that is attributable to labor and labor-related cost determined by CMS, pursuant to Section 1833(t)(2)(D) of the Social Security Act and as specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference that reference the labor-related share by date of service.
(q) “Market Basket Inflation Factor” means the market basket percentage change determined by CMS as set forth in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference to the market basket inflation factor by date of service.
(r) “Outlier Threshold” means the Medicare outlier threshold used in determining high cost outlier payments.
(s) “Outpatient Prospective Payment System (OPPS)” means Medicare's payment system for outpatient services at hospitals. These outpatient services are classified according to a list of ambulatory payment classifications (APCs). 
(t) “Price adjustment” means any and all price reductions, offsets, discounts, rebates, adjustments, and or refunds which accrue to or are factored into the final net cost to the hospital outpatient department or ambulatory surgical center.
(u) “Total Gross Charges” means the facility's total usual and customary charges to patients and third-party payers before reductions for contractual allowances, bad debts, courtesy allowances and charity care. 
(v) “Total Operating Costs” means the direct cost incurred in providing care to patients. Included in operating cost are: salaries and wages, rent or mortgage, employee benefits, supplies, equipment purchase and maintenance, professional fees, advertising, overhead, etc. It does not include start up costs. 
(w) “Wage Index” means CMS' wage index for urban, rural and hospitals that are reclassified as described in CMS' Hospital Outpatient Prospective Payment System (HOPPS) and wage index values as specified in the Hospital Inpatient Prospective Payment Systems set forth in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference that contains description of the wage index and wage index values by date of service.
(x) For services rendered before January 1, 2013, “Workers' Compensation Multiplier” means the 120% Medicare multiplier required by Labor Code Section 5307.1, or the 122% multiplier that includes an extra 2% reimbursement for high cost outlier cases. 
For services rendered in hospital outpatient departments on or after January 1, 2013, Workers' Compensation Multiplier means the 120% Medicare multiplier, or the 122% multiplier that includes an extra 2% reimbursement for high cost outlier cases. For services rendered in ambulatory surgical centers on or after January 1, 2013, the Workers' Compensation Multiplier will be the 80% Medicare multiplier, or the 82% multiplier that includes an extra 2% reimbursement for high cost outlier cases.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of subsections (d)-(f), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.31. Hospital Outpatient Departments and Ambulatory Surgical Centers - Adoption of Standards.
Note     •     History

(a) The Administrative Director incorporates by reference, the Centers for Medicare and Medicaid Services' (CMS) Hospital Outpatient Prospective Payment System (HOPPS) certain addenda published in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the adopted payment system addenda by date of service. 
(b) For services rendered on or after July 15, 2005, the Administrative Director incorporates by reference, the Centers for Medicare and Medicaid Services' (CMS) Hospital Inpatient Prospective Payment Systems (IPPS) certain tables published in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the adopted payment system tables by date of service.
(c) For services rendered on or after July 15, 2005, the Administrative Director incorporates by reference, the Hospital Inpatient Prospective Payment Systems (IPPS) “Payment Impact File” published by the federal Centers for Medicare & Medicaid Services (CMS) in effect for the year that includes the date of service, which document is found at http://www.cms.hhs.gov/AcuteInpatientPPS/.
(d) The Administrative Director incorporates by reference the American Medical Associations' “Current Procedural Terminology,” 4th Edition, annual revision in effect for the year that includes the date of service. Copies of the Current Procedural Terminology may be purchased from the American Medical Association:

ORDER DEPARTMENT
AMERICAN MEDICAL ASSOCIATION
P.O. BOX 930876
ATLANTA, GA 31193-0876
Or over the internet at: 

WWW.AMAPRESS.COM
Or through the American Medical Association's toll free order line: 

(800) 621-8335.
(e) The Administrative Director incorporates by reference CMS' Alphanumeric “Healthcare Common Procedure Coding System (HCPCS)” annual revision in effect for the year that includes the date of service. Copies of the Healthcare Common Procedure Coding System (HCPCS) may be purchased from the American Medical Association: 

ORDER DEPARTMENT
AMERICAN MEDICAL ASSOCIATION
P.O. BOX 930876
ATLANTA, GA 31193-0876
Or over the internet at: 

WWW.AMAPRESS.COM
Or through the American Medical Association's toll free order line: 

(800) 621-8335.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of subsection (a), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.32. Outpatient Hospital Department and Ambulatory Surgical Center Fee Schedule - Applicability.
Note     •     History

(a) Sections 9789.30 through 9789.39 shall be applicable to the maximum allowable fees for emergency room visits and surgical procedures rendered on or after July 1, 2004. For purposes of this section, emergency room visits shall be defined by CPT codes 99281-99285 and surgical procedures shall be defined by CPT codes 10021-69990. A facility fee is payable only for the specified emergency room and surgical codes and for supplies, drugs, devices, blood products and biologicals that are an integral part of the emergency room visit or surgical procedure. A supply, drug, device, blood product and biological is considered an integral part of an emergency room visit or surgical procedure if: 
(1) the item has a status code N and is packaged into the APC payment for the emergency room visit or surgical procedure (in which case no additional fee is allowable) or, 
(2) the item is furnished in conjunction with an emergency room visit or surgical procedure and has been assigned Status Code G, H or K. 
Payment for other services furnished in conjunction with a surgical procedure or emergency room visit shall be in accordance with subdivision (c) of this Section.
(b) Sections 9789.30 through 9789.39 apply to any hospital outpatient department as defined in Section 9789.30(n). 
(c) The maximum allowable fees for services, drugs and supplies furnished by hospitals and ambulatory surgical centers that do not meet the requirements in (a) for a facility fee payment and are not bundled in the APC payment rate for a surgical service or emergency room visit will be determined as follows: 
(1) The maximum allowable fees for professional medical services which are performed by physicians and other licensed health care providers shall be paid according to Section 9789.10 and Section 9789.11. 
(2) The maximum allowable fees for organ acquisition costs and corneal tissue acquisition costs shall be based on the documented paid cost of procuring the organ or tissue. 
(3) The maximum allowable fee for drugs not otherwise covered by a Medicare fee schedule payment for facility services shall be determined pursuant to Labor Code Section 5307.1, or, where applicable, Section 9789.40. 
(4) The maximum allowable fee for clinical diagnostic tests shall be determined according to Section 9789.50. 
(5) The maximum allowable fees for non-surgical ancillary services with a status code indicator “X” shall be determined according to Section 9789.10 and Section 9789.11.
(6) The maximum allowable fee for durable medical equipment, prosthetics and orthotics shall be determined according to Section 9789.60. 
(7) The maximum allowable fee for ambulance service shall be determined according to Section 9789.70. 
(d) Only hospitals may charge or collect a facility fee for emergency room visits. Only hospital outpatient departments and ambulatory surgical centers as defined in Section 9789.30(n) and Section 9789.30(c) may charge or collect a facility fee for surgical services provided on an outpatient basis. 
(e) Hospital outpatient departments and ambulatory surgical centers shall not be reimbursed for procedures on the inpatient only list, referenced in Section 9789.31(a), Addendum E, except that pre-authorized services rendered are payable at the pre-negotiated fee arrangement. The pre-authorization must be provided by an authorized agent of the claims administrator to the provider. The fee agreement and pre-authorization must be memorialized in writing prior to performing the medical services. 
(f) Critical access hospitals and hospitals that are excluded from acute PPS are exempt from this fee schedule. 
(g) Out of state hospital outpatient departments and ambulatory surgical centers are exempt from this fee schedule.
(h) Hospital outpatient departments and ambulatory surgical centers billing for facility fees and other services under this Section shall be submitted in accordance with the e-billing regulations beginning with Section 9792.5.0 or the standardized paper billing regulations beginning with Section 9792.5.2.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment of subsections (a), (b), (c)(3), (e) and (h) filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.33. Hospital Outpatient Departments and Ambulatory Surgical Facilities Fee Schedule - Determination of Maximum Reasonable Fee.
Note     •     History

(a) For Services rendered on or after July 1, 2004, the maximum allowable payment for outpatient facility fees for hospital emergency room services or for surgical services performed at a hospital outpatient department or at an ambulatory surgical center shall be determined based on the following. In accordance with Section 9789.30(x), an extra 2% reimbursement shall be used in lieu of an additional payment for high cost outlier cases. 
(1) For services rendered before March 1, 2008, use: CTP codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X” or “V”: 
For services rendered on or after March 1, 2008, use: CPT codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X”, “V”, or “Q”. Status code indicator “Q” must qualify for separate payment.
For services rendered on or after March 1, 2009, use: CPT codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X”, “V”, “Q1”, “Q2”, or “Q3”. Status code indicators “Q1”,”Q2”, and “Q3” must qualify for separate payment.
For services rendered before January 1, 2013: APC relative weight x adjusted conversion factor x 1.22 workers' compensation multiplier, pursuant to Section 9789.30(x). See Section 9789.39(b) for the APC relative weight by date of service.
For services rendered on or after January 1, 2013: APC relative weight x adjusted conversion factor x 1.22 workers' compensation multiplier for hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(A) Table A in Section 9789.34 contains an “adjusted conversion factor” which incorporates the standard conversion factor, wage index and inflation factor. The maximum payment rate for ASCs and non-listed hospitals can be determined as follows: 
For services rendered before January 1, 2013: APC relative weight x adjusted conversion factor x 1.22 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC relative weight x adjusted conversion factor x 1.22 workers' compensation multiplier for non-listed hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(B) For services rendered before February 15, 2006, Table B in Section 9789.35 contains an “adjusted conversion factor” which incorporates the standard conversion factor, wage index and inflation factor. 
For services rendered on or after February 15, 2006, table B in Section 9789.35 contains an “adjusted conversion factor” which incorporates the standard conversion factor, wage index, rural SCH adjustment factor, and inflation factor, as described in CMS' 2006 Hospital Outpatient Prospective Payment System final rule of November 10, 2005, published in the Federal Register (CMS-1501-FC, 70 FR 68516), at page 68556.
The maximum payment rate for the listed hospital outpatient departments can be determined as follows: 
APC relative weight x adjusted conversion factor x 1.22  workers' compensation multiplier pursuant to Section 9789.30(x)
(2) Procedure codes for drugs and biologicals with status code indicator “G”: 
For services rendered before January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier pursuant to Section 9789.30(x)
For services rendered on or after January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier for hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(3) Procedure codes for devices with status code indicator “H”: 
Documented paid cost, plus an additional 10% of the hospital outpatient department's or ASC's documented paid cost, net of immediate and anticipated price adjustments based upon the hospital outpatient department's or ASC's prior calendar year's usage for comparable devices, not to exceed a maximum of $ 250.00, plus any sales tax and/or shipping and handling charges actually paid.
(4) Procedure codes for drugs and biologicals with status code indicator “K”: 
For services rendered before January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier for hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(5) For services rendered on or after March 1, 2009: Procedure codes for blood and blood products with status code indicator “R”:
For services rendered before January 1, 2013: APC payment x 1.22 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier for hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(6) For services rendered on or after March 1, 2009: Procedure codes for brachytherapy services with status code indicator “U”:
Documented paid cost, plus an additional 10% of the hospital outpatient department's or ASC's documented paid cost, net of immediate and anticipated price adjustments based upon the hospital outpatient department's or ASC's prior calendar year's usage for comparable devices, not to exceed a maximum of $ 250.00, plus any sales tax and/or shipping and handling charges actually paid.
For services rendered on or after April 15, 2010 and before January 1, 2013: Procedure codes for brachytherapy services with status code indicator “U”:
APC payment x 1.22 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.22 workers' compensation multiplier for hospital outpatient departments and 0.82 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(b) Alternative payment methodology. In lieu of the maximum allowable fees set forth under (a), the maximum allowable fees for a facility meeting the requirements in subdivisions (c)(1) through (c)(5) will be determined as follows: 
(1) Standard payment: 
(A) For services rendered before March 1, 2008, CTP codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X” or “V”:
For services rendered on or after March 1, 2008, use: CPT codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X”, “V”, or “Q”. Status code indicator “Q” must qualify for separate payment.
For services rendered on or after March 1, 2009, use: CPT codes 99281-99285 and CPT codes 10021-69990 with status code indicators “S”, “T”, “X”, “V”, “Q1”, “Q2”, or “Q3”. Status code indicators “Q1”, “Q2”, and “Q3” must qualify for separate payment.
For services rendered before January 1, 2013: APC relative weight x adjusted conversion factor x 1.20 workers' compensation multiplier, pursuant to Section 9789.30(x). See Section 9789.39(b) for the APC relative weight by date of service. 
For services rendered on or after January 1, 2013: APC relative weight x adjusted conversion factor x 1.20 workers' compensation multiplier for hospital outpatient departments and 0.80 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
For services rendered on or after February 15, 2006, by rural SCH hospitals, use: APC relative weight x adjusted conversion factor x 1.071 x 1.20 workers' compensation multiplier, pursuant to Section 9789.30(x). See Section 9789.39(b) for the APC relative weight by date of service.
(B) Procedure codes for drugs and biologicals with status code indicator “G”: 
For services rendered before January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier for hospital outpatient departments and 0.80 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(C) Procedure codes for devices with status code indicator “H”: 
Documented paid cost, plus an additional 10% of the hospital outpatient department's or ASC's documented paid cost, net of immediate and anticipated price adjustments based upon the hospital outpatient department's or ASC's prior calendar year's usage for comparable devices, not to exceed a maximum of $ 250.00, plus any sales tax and/or shipping and handling charges actually paid.
(D) Procedure codes for drugs and biologicals with status code indicator “K” 
For services rendered before January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier for hospital outpatient departments and 0.80 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(E) For services rendered on or after March 1, 2009: Procedure codes for blood and blood products with status code indicator “R”:
For services rendered before January 1, 2013: APC payment x 1.20 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier for hospital outpatient departments and 0.80 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(F) For services rendered on or after March 1, 2009: Procedure codes for brachytherapy services with status code indicator “U”:
Documented paid cost, plus an additional 10% of the hospital outpatient department's or ASC's documented paid cost, net of immediate and anticipated price adjustments based upon the hospital outpatient department's or ASC's prior calendar year's usage for comparable devices, not to exceed a maximum of $ 250.00, plus any sales tax and/or shipping and handling charges actually paid.
For services rendered on or after April 15, 2010 and before January 1, 2013: Procedure codes for brachytherapy services with status code indicator “U”:
APC payment x 1.20 workers' compensation multiplier pursuant to Section 9789.30(x).
For services rendered on or after January 1, 2013: APC payment rate x 1.20 workers' compensation multiplier for hospital outpatient departments and 0.80 workers' compensation multiplier for ambulatory surgical centers, pursuant to Section 9789.30(x).
(2) Additional payment for high cost outlier case: 
[(Facility charges x cost-to-charge ratio) - (standard payment x 2.6)] x .50 
For services rendered on or after July 15, 2005, if (Facility charges x cost-to-charge ratio) > (standard payment + outlier threshold), additional payment = [(Facility charges x cost-to-charge ratio) - (standard payment x 1.75)] x .50 
For services rendered on or after July 15, 2005, the outlier threshold is specified in the Federal Register notices announcing revisions in the Medicare payment rates. See Section 9789.39(b) for the Federal Register reference that defines the outlier threshold by date of service. 
(3) For services rendered before March 1, 2009: In determining the additional payment, the facility's charges and payment for devices with status code indicator “H” shall be excluded from the computation. 
For services rendered on or after March 1, 2009: In determining the additional payment, the facility's charges and payment for devices with status code indicator “H” and for brachytherapy services with status code indicator “U” shall be excluded from the computation.
For services rendered on or after April 15, 2010: In determining the additional payment, the facility's charges and payment for devices with status code indicator “H” shall be excluded from the computation.
(c) The following requirements shall be met for election of the alternative payment methodology: 
(1) A facility seeking to be paid for high cost outlier cases under subdivision 9789.33(b) must file a written election using DWC Form 15 “Election for High Cost Outlier,” contained in Section 9789.37 with the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient). P.O. Box 71010, Oakland, CA 94612. The form must be post-marked by March 1 of each year and shall be effective for one year commencing with services furnished on or after April 1 of the year in which the election is made. 
(2) The maximum allowable fees applicable to a facility that does not file a timely election satisfying the requirements set forth in this subdivision and Section 9789.37 shall be determined under subdivision (a). 
(3) The maximum allowable fees applicable to a hospital that does not participate under the Medicare program shall be determined under subdivision (a). 
(4) The cost-to-charge ratio applicable to a hospital participating in the Medicare program shall be the hospital's cost-to-charge ratio used by the Medicare fiscal intermediary to determine high cost outlier payments under 42 C.F.R. § 419.43(d), which is incorporated by reference, as contained in Section 9789.38 Appendix X. The cost-to-charge ratio being used by the intermediary for services furnished on February 15 of the year the election is filed shall be included on the hospital's election form. 
(5) The cost-to-charge ratio applicable to an ambulatory surgery center shall be the ratio of the facility's total operating costs to total gross charges during the preceding calendar year. Total Operating Costs are the direct costs incurred in providing care to patients. Included in operating cost are: salaries and wages, rent or mortgage, employee benefits, supplies, equipment purchase and maintenance, professional fees, advertising, overhead, etc. It does not include start up costs. Total gross charges are defined as the facility's total usual and customary charges to all patients and third-party party payers before reductions for contractual allowances, bad debts, courtesy allowances and charity care. The facility's election form, as contained in Section 9789.37 shall include a completed Annual Utilization Report of Specialty Clinics filed with Office of Statewide Health Planning and Development (OSHPD) for the preceding calendar year, which is incorporated by reference. The facility's election form shall further include the facility's total operating costs during the preceding calendar year, the facility's total gross charges during the preceding calendar year, and a certification under penalty of perjury signed by the Chief Executive Officer and a Certified Public Accountant, as to the accuracy of the information. Upon request from the Administrative Director, an independent audit may be conducted at the expense of the ASC. (Note: While ASCs may not typically file Annual Utilization Report of Specialty Clinics with OSHPD, any ASC applying for the alternative payment methodology must file the equivalent, subject to the Division of Workers' Compensation's audit.) A copy of the Annual Utilization Report of Specialty Clinics may be obtained at OSHPD's website at http://www.oshpd.ca.gov/HID/HID/clinic/util/index.htm#Forms or upon request to the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient), P.O. Box 71010, Oakland, CA 94612.
(6) Before April 1 of each year the AD shall post a list of those facilities that have elected to be paid under this paragraph and the facility-specific cost-to-charge ratio that shall be used to determine additional fees allowable for high cost outlier cases. The list shall be posted on the Division of Workers' Compensation website: http://www.dir.ca.gov/dwc/dwc_home_page.htm or is available upon request to the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient), P.O. Box 71010, Oakland, CA 94612.
(d) Any ambulatory surgical center that believes its cost-to-charge ratio in connection with its election to participate in the alternative payment methodology for high cost outlier cases under Section 9789.33(b) was erroneously determined because of error in tabulating data may request the Administrative Director for a re-determination of its cost-to-charge ratio. Such requests shall be in writing, shall state the alleged error, and shall be supported by written documentation. Within 30 days after receiving a complete written request, the Administrative Director shall make a redetermination of the cost-to-charge ratio or reaffirm the published cost-to-charge ratio.
(e) The OPPS rules in 42 C.F.R § 419.44 regarding reimbursement for multiple procedures are incorporated by reference as contained in Section 9789.38 Appendix X. 
(f) The OPPS rules in 42 C.F.R. §§ 419.62, 419.64, and 419.66 regarding transitional pass-through payments for innovative medical devices, drugs and biologicals shall be incorporated by reference, as contained in Section 9789.38 Appendix X, except that payment for these items shall be in accordance with subdivisions (a) or (b) as applicable. 
(g) The payment determined under subdivisions (a) and (b) include reimbursement for all of the included cost items specified in 42 CFR §419.2(b)(1)-(12), which is incorporated by reference, as contained in Section 9789.38 Appendix X.
(h) The maximum allowable fee shall be determined without regard to the cost items specified in 42 C.F.R. § 419.2(c)(1), (2), (3), (4), and (6), as contained in Section 9789.38 Appendix X. Cost item set forth at 42 C.F.R. § 419.2(c)(5), as contained in Section 9789.38 Appendix X, is payable pursuant to Section 9789.32(c)(1). Cost items set forth at 42 C.F.R. § 419.2(c)(7) and (8), as contained in Section 9789.38 Appendix X, are payable pursuant to Section 9789.32(c)(2).
(i) The maximum allowable fees shall be determined without regard to the provisions in 42 C.F.R. § 419.70. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1, and 5307.3, Labor Code. Reference: Sections 4600, 4603.2, and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Change without regulatory effect amending subsections (c)(1), (c)(5) and (c)(6) filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
4. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.33. Hospital Outpatient Departments and Ambulatory Surgical Facilities Fee Schedule - Determination of Maximum Reasonable Fee.
Note     •     History

(a) For Services rendered on or after July 1, 2004, the maximum allowable payment for outpatient facility fees for hospital emergency room services or for surgical services performed at a hospital outpatient department or at an ambulatory surgical center shall be determined based on the following. The 1.22 factor shall be used in lieu of an additional payment for high cost outlier cases. 
(1) CTP codes 99281-99285 and CPT codes 10040-69990 with status code indicators “S”, “T”, “X” or “V”: 
(APC relative weight x $52.151) x (.40 + .60 x applicable wage index) x inflation factor of 1.034 x 1.22 
(A) Table A in Section 9789.34 contains an “adjusted conversion factor” which incorporates the standard conversion factor, wage index and inflation factor. The maximum payment rate for ASCs and non-listed hospitals can be determined as follows: 
APC relative weight x adjusted conversion factor x 1.22 
(B) Table B in Section 9789.35 contains an “adjusted conversion factor” which incorporates the standard conversion factor, wage index and inflation factor. The maximum payment rate for the listed hospitals can be determined as follows: 
APC relative weight x adjusted conversion factor x 1.22 
(2) Procedure codes for drugs and biologicals with status code indicator “G”: 
APC payment rate x 1.22 
(3) Procedure codes for devices with status code indicator “H”: 
Documented paid costs, net of discounts and rebates, plus 10% not to exceed $250.00, plus any sales tax and/or shipping and handling charges actually paid. 
(4) Procedure codes for drugs and biologicals with status code indicator “K”: 
APC payment rate x 1.22 
(b) Alternative payment methodology. In lieu of the maximum allowable fees set forth under (a), the maximum allowable fees for a facility meeting the requirements in subdivisions (c)(1) through (c)(5) will be determined as follows: 
(1) Standard payment: 
(A) CTP codes 99281-99285 and CPT codes 10040-69990 with status code indicators “S”, “T”, “X” or “V”: 
(APC relative weight x $52.151) x (.40 + .60 x applicable wage index) x inflation factor of 1.034 x 1.20 
(B) Procedure codes for drugs and biologicals with status code indicator “G”: 
APC payment rate x 1.20 
(C) Procedure codes for devices with status code indicator “H”: 
Documented paid costs, net of discounts and rebates, plus 10% not to exceed $250.00, plus any sales tax and/or shipping and handling charges actually paid.
(D) Procedure codes for drugs and biologicals with status code indicator “K” 
APC payment rate x 1.20 
(2) Additional payment for high cost outlier case: 
[(Facility charges x cost-to-charge ratio) - (standard payment x 2.6)] x .50 
(3) In determining the additional payment, the facility's charges and payment for devices with status code indicator “H” shall be excluded from the computation. 
(c) The following requirements shall be met for election of the alternative payment methodology: 
(1) A facility seeking to be paid for high cost outlier cases under subdivision 9789.33(b) must file a written election using DWC Form 15 “Election for High Cost Outlier,” contained in Section 9789.37 with the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient). P.O. Box 420603, San Francisco, CA 94142-0603. The form must be post-marked by March 1 of each year and shall be effective for one year commencing with services furnished on or after April 1 of the year in which the election is made. 
(2) The maximum allowable fees applicable to a facility that does not file a timely election satisfying the requirements set forth in this subdivision and Section 9789.37 shall be determined under subdivision (a). 
(3) The maximum allowable fees applicable to a hospital that does not participate under the Medicare program shall be determined under subdivision (a). 
(4) The cost-to-charge ratio applicable to a hospital participating in the Medicare program shall be the hospital's cost-to-charge ratio used by the Medicare fiscal intermediary to determine high cost outlier payments under 42 C.F.R. § 419.43(d), which is incorporated by reference, as contained in Section 9789.38 Appendix X. The cost-to-charge ratio being used by the intermediary for services furnished on February 15 of the year the election is filed shall be included on the hospital's election form. 
(5) The cost-to-charge ratio applicable to an ambulatory surgery center shall be the ratio of the facility's total operating costs to total gross charges during the preceding calendar year. Total Operating Costs are the direct costs incurred in providing care to patients. Included in operating cost are: salaries and wages, rent or mortgage, employee benefits, supplies, equipment purchase and maintenance, professional fees, advertising, overhead, etc. It does not include start up costs. Total gross charges are defined as the facility's total usual and customary charges to all patients and third-party party payers before reductions for contractual allowances, bad debts, courtesy allowances and charity care. The facility's election form, as contained in Section 9789.37 shall include a completed Annual Utilization Report of Specialty Clinics filed with Office of Statewide Health Planning and Development (OSHPD) for the preceding calendar year, which is incorporated by reference. The facility's election form shall further include the facility's total operating costs during the preceding calendar year, the facility's total gross charges during the preceding calendar year, and a certification under penalty of perjury signed by the Chief Executive Officer and a Certified Public Accountant, as to the accuracy of the information. Upon request from the Administrative Director, an independent audit may be conducted at the expense of the ASC. (Note: While ASCs may not typically file Annual Utilization Report of Specialty Clinics with OSHPD, any ASC applying for the alternative payment methodology must file the equivalent, subject to the Division of Workers' Compensation's audit.) A copy of the Annual Utilization Report of Specialty Clinics may be obtained at OSHPD's website at http://www.oshpd.ca.gov/HID/HID/clinic/util/index.htm#Forms or upon request to the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient), P.O. Box 420603, San Francisco, CA 94142-0603.
(6) Before April 1 of each year the AD shall post a list of those facilities that have elected to be paid under this paragraph and the facility-specific cost-to-charge ratio that shall be used to determine additional fees allowable for high cost outlier cases. The list shall be posted on the Division of Workers' Compensation website: http://www.dir.ca.gov/DWC/dwc_home_page.htm or is available upon request to the Division of Workers' Compensation, Medical Unit (Attention: OMFS-Outpatient), P.O. Box 420603, San Francisco, CA 94142-0603. 
(d) Any ambulatory surgical center that believes its cost-to-charge ratio in connection with its election to participate in the alternative payment methodology for high cost outlier cases under Section 9789.33(b) was erroneously determined because of error in tabulating data may request the Administrative Director for a re-determination of its cost-to-charge ratio. Such requests shall be in writing, shall state the alleged error, and shall be supported by written documentation. Within 30 days after receiving a complete written request, the Administrative Director shall make a redetermination of the cost-to-charge ratio or reaffirm the published cost-to-charge ratio.
(e) The OPPS rules in 42 C.F.R § 419.44 regarding reimbursement for multiple procedures are incorporated by reference as contained in Section 9789.38 Appendix X. 
(f) The OPPS rules in 42 C.F.R. §§ 419.62, 419.64, and 419.66 regarding transitional pass-through payments for innovative medical devices, drugs and biologicals shall be incorporated by reference, as contained in Section 9789.38 Appendix X, except that payment for these items shall be in accordance with subdivisions (a) or (b) as applicable. 
(g) The payment determined under subdivisions (a) and (b) include reimbursement for all of the included cost items specified in 42 CFR §419.2(b)(1)-(12), which is incorporated by reference, as contained in Section 9789.38 Appendix X.
(h) The maximum allowable fee shall be determined without regard to the cost items specified in 42 C.F.R. § 419.2(c)(1), (2), (3), (4), and (6), as contained in Section 9789.38 Appendix X. Cost item set forth at 42 C.F.R. § 419.2(c)(5), as contained in Section 9789.38 Appendix X, is payable pursuant to Section 9789.32(c)(1). Cost items set forth at 42 C.F.R. § 419.2(c)(7) and (8), as contained in Section 9789.38 Appendix X, are payable pursuant to Section 9789.32(c)(2).
(i) The maximum allowable fees shall be determined without regard to the provisions in 42 C.F.R. § 419.70. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1, and 5307.3, Labor Code. Reference: Sections 4600, 4603.2, and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Change without regulatory effect amending subsections (c)(1), (c)(5) and (c)(6) filed 10-18-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
§9789.34. Table A.
Note     •     History

(See Addenda H and I set forth in Section 9789.31) 

				Adjusted
MSA		Constituent	Wage	Conversion
Code	Urban/Rural Area	Counties 	Index	Factor*
					
680	Bakersfield, CA	Kern	0.9967	53.82
1620	Chico-Paradise, CA	Butte	1.0193	54.55
2840	Fresno, CA	Fresno	1.0142	54.38
		Madera
4480	Los Angeles-Long	Los Angeles	1.1832	59.85
	Beach, CA 
4940	Merced, CA	Merced	0.9967	53.82
5170	Modesto, CA	Stanislaus	1.1275	58.05
5775	Oakland, CA	Alameda	1.5119	70.49
		Contra Costa

5945	Orange County, CA	Orange	1.1492	58.75
6690	Redding, CA	Shasta	1.1352	58.30
6780	Riverside-San	Riverside 	1.1348	58.29
	Bernardino, CA	San 
		Bernardino
6920	Sacramento, CA	El Dorado	1.1845	59.89
		Placer
		Sacramento
7120	Salinas, CA	Monterey	1.4339	67.96
7320	San Diego, CA	San Diego	1.1147	57.64
7360	San Francisco, CA	Marin	1.4514	68.53
		San Francisco
		San Mateo
7400	San Jose, CA	Santa Clara	1.4626	68.89
7460	San Luis Obispo-	 San Luis	1.1429	58.55
	Atascadero-	Obispo
	Paso Robles, CA
7480	Santa Barbara-	Santa Barbara	1.0441	55.35 
	Santa Maria-
	Lompoc, CA
7485	Santa Cruz-	Santa Cruz	1.2942	63.44
	Watsonville, CA
7500	Santa Rosa, CA	Sonoma	1.2877	63.23
8120	Stockton-Lodi, CA	San Joaquin	1.0404	55.23
8720	Vallejo-Fairfield-	Napa	1.3425	65.01
	Napa, CA	Solano
8735	Ventura, CA	Ventura	1.1064	57.37
8780	Visalia-	Tulare	0.9967	53.82
	Tulare-
	Porterville, CA
9270	Yolo, CA	Yolo	0.9967	53.82
9340	Yuba City, CA	Sutter	1.0196	54.56
		Yuba
Non-
MSA 			0.9967	53.82 
Areas of 
State
* $52.151 y (.40 + .60 y applicable wage index) y inflation factor of 1.034 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.35. Table B.
Note     •     History

(See Addenda H, I and J set forth in Section 9789.31) 

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NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.36. Update of Rules to Reflect Changes in the Medicare Payment System.
Note     •     History

Sections 9789.30 through 9789.39 shall be adjusted to conform to any relevant changes in the Medicare payment schedule, including mid-year changes, no later than 60 days after the effective date of those changes. Updates shall be posted on the Division of Workers' Compensation webpage at http://www.dir.ca.gov/dwc/dwc_home_page.htm. The annual updates to the Hospital Outpatient Departments and Ambulatory Surgical Centers Fee Schedule shall be effective every year on March 1.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.37. DWC Form 15 Election for High Cost Outlier.
Note     •     History

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NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.38. Appendix X.
Note     •     History

The federal regulations as incorporated by reference and/or referred to in Sections 9789.30 through 9789.37 are set forth below in numerical order. See Section 9789.39(a), for the Code of Federal Regulations reference for effective date, revisions, and amendments by date of service.
42 C.F.R. § 419.2 
Basis of payment. 
(a) Unit of payment. Under the hospital outpatient prospective payment system, predetermined amounts are paid for designated services furnished to Medicare beneficiaries. These services are identified by codes established under the Centers for Medicare & Medicaid Services Common Procedure Coding System (HCPCS). The prospective payment rate for each service or procedure for which payment is allowed under the hospital outpatient prospective payment system is determined according to the methodology described in subpart C of this part. The manner in which the Medicare payment amount and the beneficiary copayment amount for each service or procedure are determined is described in subpart D of this part. 
(b) Determination of hospital outpatient prospective payment rates: Included costs. The prospective payment system establishes a national payment rate, standardized for geographic wage differences, that includes operating and capital-related costs that are directly related and integral to performing a procedure or furnishing a service on an outpatient basis. In general, these costs include, but are not limited to 
(1) Use of an operating suite, procedure room, or treatment room; 
(2) Use of recovery room; 
(3) Use of an observation bed; 
(4) Anesthesia, certain drugs, biologicals, and other pharmaceuticals; medical and surgical supplies and equipment; surgical dressings; and devices used for external reduction of fractures and dislocations; 
(5) Supplies and equipment for administering and monitoring anesthesia or sedation; 
(6) Intraocular lenses (IOLs); 
(7) Incidental services such a venipuncture; 
(8) Capital-related costs; 
(9) Implantable items used in connection with diagnostic x-ray tests, diagnostic laboratory tests, and other diagnostic tests; 
(10) Durable medical equipment that is implantable; 
(11) Implantable prosthetic devices (other than dental) which replace all or part of an internal body organ (including colostomy bags and supplies directly related to colostomy care), including replacement of these devices; and; 
(12) Costs incurred to procure donor tissue other than corneal tissue. 
(c) Determination of hospital outpatient prospective payment rates: Excluded costs. The following costs are excluded from the hospital outpatient prospective payment system. 
(1) The costs of direct graduate medical education activities as described in §413.86 of this chapter. 
(2) The costs of nursing and allied health programs as described in §413.86 of this chapter. 
(3) The costs associated with interns and residents not in approved teaching programs as described in §415.202 of this chapter. 
(4) The costs of teaching physicians attributable to Part B services for hospitals that elect cost-based reimbursement for teaching physicians under §415.160. 
(5) The reasonable costs of anesthesia services furnished to hospital outpatients by qualified nonphysician anesthetists (certified registered nurse anesthetists and anesthesiologists' assistants) employed by the hospital or obtained under arrangements, for hospitals that meet the requirements under §412.113(c) of this chapter. 
(6) Bad debts for uncollectible deductibles and coinsurances as described in §413.80(b) of this chapter. 
(7) Organ acquisition costs paid under Part B. 
(8) Corneal tissue acquisition costs. 
42 C.F.R. § 419.32 
Calculation of prospective payment rates for hospital outpatient services. 
(a) Conversion factor for 1999. CMS calculates a conversion factor in such a manner that payment for hospital outpatient services furnished in 1999 would have equaled the base expenditure target calculated in § 419.30, taking into account APC group weights and estimated service frequencies and reduced by the amounts that would be payable in 1999 as outlier payments under § 419.43(d) and transitional pass-through payments under § 419.43(e). 
(b) Conversion factor for calendar year 2000 and subsequent years. (1) Subject to paragraph (b)(2) of this section, the conversion factor for a calendar year is equal to the conversion factor calculated for the previous year adjusted as follows: 
(i) For calendar year 2000, by the hospital inpatient market basket percentage increase applicable under section 1886(b)(3)(B)(iii) of the Act reduced by one percentage point. 
(ii) For calendar year 2001 --
(A) For services furnished on or after January 1, 2001 and before April 1, 2001, by the hospital inpatient market basket percentage increase applicable under section 1886(b)(3)(B)(iii) of the Act reduced by one percentage point; and 
(B) For services furnished on or after April 1, 2001 and before January 1, 2002, by the hospital inpatient market basket percentage increase applicable under section 1886(b)(3)(B)(iii) of the Act, and increased by a transitional percentage allowance equal to 0.32 percent. 
(iii) For the portion of calendar year 2002 that is affected by these rules, by the hospital inpatient market basket percentage increase applicable under section 1886(b)(3)(B)(iii) of the Act reduced by one percentage point, without taking into account the transitional percentage allowance referenced in § 419.32(b)(ii)(B). 
(iv) For calendar year 2003 and subsequent years, by the hospital inpatient market basket percentage increase applicable under section 1886(b)(3)(B)(iii) of the Act. 
(2) Beginning in calendar year 2000, CMS may substitute for the hospital inpatient market basket percentage in paragraph (b) of this section a market basket percentage increase that is determined and applied to hospital outpatient services in the same manner that the hospital inpatient market basket percentage increase is determined and applied to inpatient hospital services. 
(c) Payment rates. The payment rate for services and procedures for which payment is made under the hospital outpatient prospective payment system is the product of the conversion factor calculated under paragraph (a) or paragraph (b) of this section and the relative weight determined under § 419.31(b). 
(d) Budget neutrality. 
(1) CMS adjusts the conversion factor as needed to ensure that updates and adjustments under § 419.50(a) are budget neutral. 
(2) In determining adjustments for 2004 and 2005, CMS will not take into account any additional expenditures per section 1833(t)(14) of the Act that would not have been made but for enactment of section 621 of the Medicare Prescription Drug, Improvement, and Mordernization Act of 2003.
42 C.F.R. § 419.43 
Adjustments to national program payment and beneficiary copayment amounts. 
(a) General rule. CMS determines national prospective payment rates for hospital outpatient department services and determines a wage adjustment factor to adjust the portion of the APC payment and national beneficiary copayment amount attributable to labor-related costs for relative differences in labor and labor-related costs across geographic regions in a budget neutral manner. 
(b) Labor-related portion of payment and copayment rates for hospital outpatient services. CMS determines the portion of hospital outpatient costs attributable to labor and labor-related costs (known as the “labor-related portion” of hospital outpatient costs) in accordance with § 419.31(c)(1). 
(c) Wage index factor. CMS uses the hospital inpatient prospective payment system wage index established in accordance with part 412 of this chapter to make the adjustment referred to in paragraph (a) of this section. 
(d) Outlier adjustment -- (1) General rule. Subject to paragraph (d)(4) of this section, CMS provides for an additional payment for a hospital outpatient service (or group of services) not excluded under paragraph (f) of this section for which a hospital's charges, adjusted to cost, exceed the following: 
(i) A fixed multiple of the sum of --
(A) The applicable Medicare hospital outpatient payment amount determined under § 419.32(c), as adjusted under § 419.43 (other than for adjustments under this paragraph (d) or paragraph (e) of this section); and 
(B) Any transitional pass-through payment under paragraph (e) of this section. 
(ii) At the option of CMS, a fixed dollar amount. 
(2) Amount of adjustment. The amount of the additional payment under paragraph (d)(1) of this section is determined by CMS and approximates the marginal cost of care beyond the applicable cutoff point under paragraph (d)(1) of this section. 
(3) Limit on aggregate outlier adjustments -- (i) In general. The total of the additional payments made under this paragraph (d) for covered hospital outpatient department services furnished in a year (as estimated by CMS before the beginning of the year) may not exceed the applicable percentage specified in paragraph (d)(3)(ii) of this section of the total program payments (sum of both the Medicare and beneficiary payments to the hospital) estimated to be made under this part for all hospital outpatient services furnished in that year. If this paragraph is first applied to less than a full year, the limit applies only to the portion of the year. 
(ii) Applicable percentage. For purposes of paragraph (d)(3)(i) of this section, the term “applicable percentage” means a percentage specified by CMS up to (but not to exceed) --
(A) For a year (or portion of a year) before 2004, 2.5 percent; and 
(B) For 2004 and thereafter, 3.0 percent. 
(4) Transitional authority. In applying paragraph (d)(1) of this section for hospital outpatient services furnished before January 1, 2002, CMS may --
(i) Apply paragraph (d)(1) of this section to a bill for these services related to an outpatient encounter (rather than for a specific service or group of services) using hospital outpatient payment amounts and transitional pass-through payments covered under the bill; and 
(ii) Use an appropriate cost-to-charge ratio for the hospital or CMHC (as determined by CMS), rather than for specific departments within the hospital. 
(e) Budget neutrality. CMS establishes payment under paragraph (d) of this section in a budget-neutral manner excluding services and groups specified in paragraph (f) of this section. 
(f) Excluded services and groups. Drugs and biologicals that are paid under a separate APC and devices of branchytherapy, consisting of a seed or seeds (including radioactive source) are excluded from qualification for outlier payments.
42 C.F.R. § 419.44 
(a) Multiple surgical procedures. When more than one surgical procedure for which payment is made under the hospital outpatient prospective payment system is performed during a single surgical encounter, the Medicare program payment amount and the beneficiary copayment amount are based on --
(1) The full amounts for the procedure with the highest APC payment rate; and 
(2) One-half of the full program and the beneficiary payment amounts for all other covered procedures. 
(b) Terminated procedures. When a surgical procedure is terminated prior to completion due to extenuating circumstances or circumstances that threaten the well-being of the patient, the Medicare program payment amount and the beneficiary copayment amount are based on --
(1) The full amounts if the procedure is discontinued after the induction of anesthesia or after the procedure is started; or 
(2) One-half of the full program and the beneficiary coinsurance amounts if the procedure is discontinued after the patient is prepared for surgery and taken to the room where the procedure is to be performed but before anesthesia is induced.] 
42 C.F.R. § 419.62 
Transitional pass-through payments: General rules. 
(a) General. CMS provides for additional payments under §§ 419.64 and 419.66 for certain innovative medical devices, drugs, and biologicals. 
(b) Budget neutrality. CMS establishes the additional payments under §§ 419.64 and 419.66 in a budget neutral manner. 
(c) Uniform prospective reduction of pass-through payments. (1) If CMS estimates before the beginning of a calendar year that the total amount of pass-through payments under §§ 419.64 and 419.66 for the year would exceed the applicable percentage (as described in paragraph (c)(2) of this section) of the total amount of Medicare payments under the outpatient prospective payment system. CMS will reduce, pro rata, the amount of each of the additional payments under §§ 419.64 and 419.66 for that year to ensure that the applicable percentage is not exceeded. 
(2) The applicable percentages are as follows: 
(i) For a year before CY 2004, the applicable percentage is 2.5 percent. 
(ii) For 2004 and subsequent years, the applicable percentage is a percentage specified by CMS up to (but not to exceed) 2.0 percent. 
(d) CY 2002 incorporated amount. For the portion of CY 2002 affected by these rules, CMS incorporated 75 percent of the estimated pass-through costs (before the incorporation and any pro rata reduction) for devices into the procedure APCs associated with these devices. 
42 C.F.R. § 419.64 
Transitional pass-through payments: drugs and biologicals. 
(a) Eligibility for pass-through payment. CMS makes a transitional pass-through payment for the following drugs and biologicals that are furnished as part of an outpatient hospital service: 
(1) Orphan drugs. A drug or biological that is used for a rare disease or condition and has been designated as an orphan drug under section 526 of the Federal Food, Drug and Cosmetic Act if payment for the drug or biological as an outpatient hospital service was being made on August 1, 2000. 
(2) Cancer therapy drugs and biologicals. A drug or biological that is used in cancer therapy, including, but not limited to, a chemotherapeutic agent, an antiemetic, a hematopoietic growth factor, a colony stimulating factor, a biological response modifier, and a bisphosphonate if payment for the drug or biological as an outpatient hospital service was being made on August 1, 2000. 
(3) Radiopharmaceutical drugs and biological products. A radiopharmaceutical drug or biological product used in diagnostic, monitoring, and therapeutic nuclear medicine services if payment for the drug or biological as an outpatient hospital service was being made on August 1, 2000. 
(4) Other drugs and biologicals. A drug or biological that meets the following conditions: 
(i) It was first payable as an outpatient hospital service after December 31, 1996. 
(ii) CMS has determined the cost of the drug or biological is not insignificant in relation to the amount payable for the applicable APC (as calculated under § 419.32(c)) as defined in paragraph (b) of this section. 
(b) Cost. CMS determines the cost of a drug or biological to be not insignificant if it meets the following requirements: 
(1) Services furnished before January 1, 2003. The expected reasonable cost of a drug or biological must exceed 10 percent of the applicable APC payment amount for the service related to the drug or biological. 
(2) Services furnished after December 31, 2002. CMS considers the average cost of a new drug or biological to be not insignificant if it meets the following conditions: 
(i) The estimated average reasonable cost of the drug or biological in the category exceeds 10 percent of the applicable APC payment amount for the service related to the drug or biological. 
(ii) The estimated average reasonable cost of the drug or biological exceeds the cost of the drug or biological portion of the APC payment amount for the related service by at least 25 percent. 
(iii) The difference between the estimated reasonable cost of the drug or biological and the estimated portion of the APC payment amount for the drug or biological exceeds 10 percent of the APC payment amount for the related service. 
(c) Limited period of payment. CMS limits the eligibility for a pass-through payment under this section to a period of at least 2 years, but not more than 3 years, that begins as follows: 
(1) For a drug or biological described in paragraphs (a)(1) through (a)(3) of this section -- August 1, 2000. 
(2) For a drug or biological described in paragraph (a)(4) of this section -- the date that CMS makes its first pass-through payment for the drug or biological. 
(d) Amount of pass-through payment. (1) Subject to any reduction determined under § 419.62(b), the pass-through payment for a drug or biological as specified in section 1842(o)(1)(A) and (o)(1)(D)(i) of the Act is 95 percent of the average wholesale price of the drug or biological  minus the portion of the APC payment CMS determines is associated with the drug or biological. 
(2) Subject to any reduction determined under § 419.62(b), the pass-through payment for a drug or biological as specified in section 1842(o)(1)(B) and (o)(1)(E)(i) of the act is 85 percent of the average wholesale price, determined as of April 1, 2003, of the drug or biological minus the portion of the APC payment CMS determines is associated with the drug or biological.
42 C.F.R. § 419.66 
Transitional pass-through payments: medical devices. 
(a) General rule. CMS makes a pass-through payment for a medical device that meets the requirements in paragraph (b) of this section and that is described by a category of devices established by CMS under the criteria in paragraph (c) of this section. 
(b) Eligibility. A medical device must meet the following requirements: 
(1) If required by the FDA, the device must have received FDA approval or clearance (except for a device that has received an FDA investigational device exemption (IDE) and has been classified as a Category B device by the FDA in accordance with §§ 405.203 through 405.207 and 405.211 through 405.215 of this chapter) or another appropriate FDA exemption. 
(2) The device is determined to be reasonable and necessary for the diagnosis or treatment of an illness or injury or to improve the functioning of a malformed body part (as required by section 1862(a)(1)(A) of the Act). 
(3) The device is an integral and subordinate part of the service furnished, is used for one patient only, comes in contact with human tissue, and is surgically implanted or inserted whether or not it remains with the patient when the patient is released from the hospital. 
(4) The device is not any of the following: 
(i) Equipment, an instrument, apparatus, implement, or item of this type for which depreciation and financing expenses are recovered as depreciable assets as defined in Chapter 1 of the Medicare Provider Reimbursement Manual (CMS Pub. 15-1). 
(ii) A material or supply furnished incident to a service (for example, a suture, customized surgical kit, or clip, other than radiological site marker). 
(iii) A material that may be used to replace human skin (for example, a biological or synthetic material). 
(c) Criteria for establishing device categories. CMS uses the following criteria to establish a category of devices under this section: 
(1) CMS determines that a device to be included in the category is not described by any of the existing categories or by any category previously in effect, and was not being paid for as an outpatient service as of December 31, 1996. 
(2) CMS determines that a device to be included in the category has demonstrated that it will substantially improve the diagnosis or treatment of an illness or injury or improve the functioning of a malformed body part compared to the benefits of a device or devices in a previously established category or other available treatment. 
(3) Except for medical devices identified in paragraph (e) of this section, CMS determines the cost of the device is not insignificant as described in paragraph (d) of this section. 
(d) Cost criteria. CMS considers the average cost of a category of devices to be not insignificant if it meets the following conditions: 
(1) The estimated average reasonable cost of devices in the category exceeds 25 percent of the applicable APC payment amount for the service related to the category of devices. 
(2) The estimated average reasonable cost of the devices in the category exceeds the cost of the device-related portion of the APC payment amount for the related service by at least 25 percent. 
(3) The difference between the estimated average reasonable cost of the devices in the category and the portion of the APC payment amount for the device exceeds 10 percent of the APC payment amount for the related service. 
(e) Devices exempt from cost criteria. The following medical devices are not subject to the cost requirements described in paragraph (d) of this section, if payment for the device was being made as an outpatient service on August 1, 2000: 
(1) A device of brachytherapy. 
(2) A device of temperature-monitored cryoablation. 
(f) Identifying a category for a device. A device is described by a category, if it meets the following conditions: 
(1) Matches the long descriptor of the category code established by CMS. 
(2) Conforms to guidance issued by CMS relating to the definition of terms and other information in conjunction with the category descriptors and codes. 
(g) Limited period of payment for devices. CMS limits the eligibility for a pass-through payment established under this section to a period of at least 2 years, but not more than 3 years beginning on the date that CMS establishes a category of devices. 
(h) Amount of pass-through payment. Subject to any reduction determined under § 419.62(b), the pass-through payment for a device is the hospital's charge for the device, adjusted to the actual cost for the device, minus the amount included in the APC payment amount for the device. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment of first paragraph filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.39. Federal Regulations and Federal Register Notices by Date of Service.
Note     •     History

(a) Federal Regulations by Date of Service
The Federal Regulations can be accessed at: http://www.cms.gov/HospitalOutpatientPPS/ and the referenced sections are incorporated by reference and will be made available upon request to the Administrative Director.

	Services Occurring On	Services Occurring On	Services Occurring On	Services Occurring On
	or After 7/15/2005	or After 2/15/2006	or After 3/1/2007	or After 3/1/2008

Title 42, Code of Federal				
Regulations, §419.2				
				
Title 42, Code of Federal				
Regulations, §419.32				
				
Title 42, Code of Federal 		As amended; effective	As amended; effective 	As amended; effective 
Regulations, §419.43		January 1, 2006	January 1, 2007	 January 1, 2008
				
Title 42, Code of Federal 				Amended; effective 
Regulations, §419.44				January 1, 2008
				
Title 42, Code of Federal 				
Regulations, §419.62				
				
Title 42, Code of Federal 	As amended; effective 			
Regulations, §419.64	January 1, 2005			
				
Title 42, Code of Federal 		As amended; effective 		
Regulations, §419.66		January 1, 2006		

	Services Occurring On	Services Occurring On	Services Occurring On	Services Occurring On
	or After 3/1/2009	or After 4/15/2010	or After 9/15/2011	or After 3/1/2012

Title 42, Code of Federal 				
Regulations, §419.2				
				
Title 42, Code of Federal 			As amended; effective 	As amended; effective 
Regulations, §419.32			January 1, 2011	January 1, 2012
				
Title 42, Code of Federal 	As amended; effective 		As amended; effective 	As amended; effective 
Regulations, §419.43	January 1, 2009		January 1, 2011	January 1, 2012
				
Title 42, Code of Federal 				
Regulations, §419.44				
				
Title 42, Code of Federal 				
Regulations, §419.62				
				
Title 42, Code of Federal 		As amended; effective 		
Regulations, §419.64		January 1, 2010		
				
Title 42, Code of Federal 		As amended; effective 		
Regulations, §419.66		January 1, 2010		

(b) Federal Register Notices by Date of Service
The Federal Register Notices can be accessed at: http://www.cms.gov/HospitalOutpatientPPS/ and the referenced sections are incorporated by reference and will be made available upon request to the Administrative Director.

	Services Occurring On	Services Occurring On	Services Occurring On	Services Occurring On
	or After 1/1/2004	or After 7/15/2005	or After 2/15/2006	or After 3/1/2007

Applicable FR Notices	(A) November 7, 2003 	(A) November 15, 2004 	(A) November 10, 2005	(A) November 24, 2006 
	(CMS-1471-FC; 	(CMS-1427-FC; ;	(CMS-1501-FC; 	(CMS-1506-FC; 
	68 RE 63398);	69 FR 65681)	70 FR 68515); 	71 FR 67960); 
	(B) December 31, 2003	(B) December 30, 2004 	(B) December 23, 2005 	(B) August 18, 2006
	(CMS-1471-CN; 	(CMS-1427-CN; 	(CMS-1501-CN2; 	(CMS-1488-F; 
	68 FR 75442);	69 FR 78315; 	70 FR 76176); 	71 FR 47870) 
	(C) January 6, 2004 	(C) August 11, 2004	(C) August 12, 2005 	(C) October 11, 2006 
	(CMS-1371-IFC; 	(CMS-1428-F; 	(CMS-1500-F; 	(CMS-CMS-1488-N; 
	69 FR 820);	69 FR 48916); 	70 FR 47278); 	71 FR 59886)
	(D) August 1, 2003 	(D) December 30, 2004 	(D) September 30, 2005 	
	(CMS-1470-F; 	(CMS-1482-F2; 	(CMS-1500-CN; 	
	68 FR 45346);	69 FR 78526	70 FR 57161)	
	(E) August 11, 2003 			
	(CMS-1470-F; 			
	68 FR 47637)			
				
APC Payment Rate	Addendum B 	Addendum B 	Addendum B 	Addendum B 
	(A) beginning on page 63488 	(A)beginning on 	(A) beginning on 	(A) beginning on 
	conformed to comply with 	page 65887	page 68752	page 68283
	(B) beginning on page 75442			
	and (C) beginning on page 820			
				
APC Relative Weight	Addendum B 	Addendum B 	Addendum B 	Addendum B 
	(A) beginning on page 63488 	(A) beginning on 	(A) beginning on 	(A) beginning on 
	conformed to comply with 	page 65887	page 68752	page 68283
	(B) beginning on page 75442 			
	and (C) beginning on page 820			
				
HOPPS Addenda	Addenda A, B, D1, D2, E,	Addenda A, B, D1, D2, 	Addenda A, B, D1, D2, 	Addenda A, B, D1, D2, 
	H, I, and J (A) beginning at	and E (A) beginning at 	E and L (A) beginning at 	E, and L (A) beginning
	page 63478; as changed by 	page 65864	page 68729; and correction	at page 68231
	(B) beginning at page 75442; 		(B) beginning at page 76176	
	and (C) beginning at page 820			
				
IPPS Tables		Tables 4A1, 4A2, 4B1, 4B2,	Tables 4A, 4B, 4C, 	Tables 4A-1, 4A-2, 4B-1, 
		4C1 4C2 and 4J (D) 	and 4J (D) beginning at 	4B-2, 4C-1, 4C-2, and 4J 
		beginning at page 78619 	page 57163; and Tables 4A,	(C) beginning at page 59975
			4B, 4C, and 4J (C) 	
			beginning on page 47580	
				
Labor-related Share	60% ((A) page 63458)	60% ((A) beginning at 	60% ((A) beginning at 	60% ((A) beginning at 
		page 65842)	page 68551)	page 68003)
				
Market Basket 	3.4% (D) page 45346	3.3% (C) page 49274	3.7% (C) page 47492	3.4% (B) page 48146
Inflation Factor				
				
Outlier Threshold		$1,175 (A) at page 65846	$1,250 (A) at page 68565	$1,825(A) at page 68012
				
Unadjusted Conversion 	$53.924 (2003 unadjusted	$55.703 (2004 unadjusted 	$57.764 (2005 unadjusted 	$59.728 (2006 unadjusted 
Factor	conversion factor of 	conversion factor of 	conversion factor of 	conversion factor of 
	52.151 x estimated inflation 	$53.924 x estimated 	$55.703 x estimated 	$57.764 x estimated 
	factor of 1.034)	inflation factor of 1.033)	inflation factor of 1.037)	inflation factor of 1.034)
				
Wage Index	Addenda H through J 	Referenced in Addenda H 	Referenced in (A) 	Referenced in (A) 
	(A) beginning at page 63682	through J (B) beginning	beginning at page 68551; 	beginning at page 68003;
		at page 78316; wage index	wage index values are 	wage index values are 
		values are specified in 	specified in Tables 4A 	specified in Tables 4A-1
		Tables 4A1 through 4C2	through 4C (D) beginning	through 4C-2 (C) beginning
		(D) beginning at 	at page 57163; and as 	at page 59975
		page 78619	specified in Tables 4A	
			through 4C (C) beginning	
			at page 47580	

	Services Occurring On	Services Occurring On	Services Occurring On	Services Occurring On
	or After 3/1/2008	or After 3/1/2009	or After 4/15/2010	or After 9/15/2011

Applicable FR Notices	(A) November 27, 2007 	(A) November 18, 2008 	(A) November 20, 2009 	(A) November 24, 2010
	(CMS-1392-FC; 	(CMS-1404-FC; 	(CMS-1414-FC; 	(CMS-1504-FC; 
	CMS-1533-F2; 	73 FR 68502); 	74 FR 60316); 	75 FR 71800); 
	72 FR 66580); 	(B) August 19, 2008 	(B)December 31, 2009 	(B) March 11, 2011 
	(B) August 22, 2007 	(CMS-1390-F; 	(CMS-1414-CN; 	(CMS-1504-CN; 
	(CMS-1533-FC;	73 FR 48434); 	74 FR 69502); 	76 FR 13292); 
	72 FR 47130); 	(C) October 3, 2008 	(C) August 27, 2009 	(C) August 16, 2010 
	(C) October 10, 2007 	(CMS-1390-CN; 	(CMS-1406-F; 	(CMS-1498-F; 
	(CMS-1533-CN2; 	73 FR 57541); 	74 FR 43754); 	75 FR 50042); 
	72 FR 57634); 	(D) October 3, 2008 	(D) October 7, 2009 	(D) October 1, 2010 
	 (D) November 6, 2007 	(CMS-1390-N; 	(CMS-1406-CN; 	(CMS-1498-F; 
	(CMS-1533-CN3; 	73 FR 57888); 	74 FR 51496)	75 FR 60640)
	72 FR 62585); 	(E) December 3, 2008 		
	(E) November 27, 2007 	(CMS-1390-N2; 		
	(CMS-1392-FC; 	73 FR 73656); 		
	CMS-1533-F2; 	(F) January 26, 2009 		
	72 FR 66580); 	(CMS-1404-CN; 		
	(F) February 22, 2008 	74 FR 4343)		
	(CMS-1392-CN; 			
	CMS-1533-CN)			

APC Payment Rate	Addendum B 	Addendum B	Addendum B	Addendum B
	(A) beginning on 	(A) beginning on 	(A) beginning on 	(A) beginning on 
	page 66993 conformed to 	page 68934 	page 60752	page 72331
	comply with correction 	conformed to comply with 	conformed to comply with	conformed to comply with
	published in 	correction published in 	correction published in 	correction published in 
	(F) beginning on page 9863	(F) beginning on page 4344	(B) page 69503	(B) page 13295
				
APC Relative Weight	Addendum B 	Addendum B 	Addendum B 	Addendum B 
	(A) beginning on 	(A) beginning on 	(A) beginning on 	(A) beginning on 
	page 66993 conformed to 	page 68934 conformed to 	page 60752 conformed to 	page 72331 conformed to
	comply with correction 	comply with correction 	comply with correction 	comply with correction 
	published in 	published in 	published in 	published in 
	(F) beginning on page 9863	(F) beginning on page 4344	(B) page 69503	(B) page 13295
				
HOPPS Addenda	Addenda A, B, D1, D2,	Addenda A, B, D1, D2, 	Addenda A, B, D1, D2, 	Addenda A, B, D1, D2, 
	E, L, and M (A) beginning	E, L, and M (A) beginning	E, L, and M (A) beginning	E, L, and M (A) beginning
	at page 66934; and corrections	at page 68816; and 	at page 60682; and 	at page 72268; and
	to addenda A, B, D2, and M	corrections to addenda 	corrections to addenda B 	corrections to addendum B
	(F) beginning at page 9862	A and B (F) beginning 	and E (B) beginning	(B) on page 13295
		at page 4343	at page 69503	
				
IPPS Tables	Tables 4A, 4B, and 4C 	Tables 4A, 4B, 4C, and 4J	Tables 2, 4A, 4B, 4C, and 4J	Tables 2, 4A, 4B, 4C, and 4J
	(C) beginning at page 57698	(C) beginning at page 57956;	(C) beginning at page 44032;	(C) beginning at page 50451
	and Table 4J (B) beginning	and Tables 2 and 4J 	as changed by correction to 	
	at page 47531 and correction	(E) beginning at page 73657	Tables 2, 4A, 4B, 4C, and 4J	
	(C) beginning at page 57726		(D) beginning at page 51499	
				
Labor-related Share	60% ((A) beginning at 	60% ((A) beginning at 	60% ((A) beginning at 	60% ((A) beginning at 
	page 66678)	page 68585)	page 60419)	page 71877)
				
Market Basket Inflation Factor	3.3% (B) page 47415	3.6% (B) page 48759	2.1% (C) page 44002	2.6% (C) page 50422
				
Outlier Threshold	$1,575 (A) at page 66686	$1,800 (A) at page 68594	$2,175 (A) at page 60428	$2,025 (A) at page 71889
				
Unadjusted Conversion Factor	$61.699 (2007 unadjusted	$63.920 (2008 unadjusted	$65.262 (2009 unadjusted 	$66.959 (2010 unadjusted
	conversion factor of 	conversion factor of 	conversion factor of 	conversion factor of 
	$59.728 x estimated 	$61.699 x estimated 	$63.920 x estimated 	$65.262 x estimated 
	inflation factor of 1.033)	inflation factor of 1.036)	inflation factor of 1.021)	inflation factor of 1.026)
				
Wage Index	Referenced in (A) beginning	Referenced in (A beginning 	Referenced in (A) beginning	Referenced in (A) beginning
	at page 66678; wage index	at page 68585; wage index	at page 60419; wage index	at page 71877; wage index
	values are specified in 	values are specified in 	values are specified in	values are specified in 
	Tables 4A through 4C 	Tables 4A through 4C 	Tables 4A through 4C	Tables 4A through 4C 
	(C) beginning at page 57698	(D) beginning at page 57956	(D) beginning at page 51505;	(C) beginning at page 50511
			and as specified in 	
			Tables 4A through 4C 	
			(C) beginning at page 44085	

	Services Occurring On	Services Occurring On		
	or After 3/1/2012	or After 9/1/2012		

Applicable FR Notices	(A) November 30, 2011 	(A) November 30, 2011 		
	(CMS-1525-FC; 	(CMS-1525-FC; 		
	76 FR 74122);	76 FR 74122); 		
	(B) January 4, 2012	(B) January 4, 2012 		
	(CMS-1525-CN; 	(CMS-1525-CN; 		
	77 FR 217); 	77 FR 217); 		
	(C) August 18, 2011 	(C) August 18, 2011 		
	(CMS-1518-F; 	(CMS-1518-F; 		
	76 FR 51476); 	76 FR 51476); 		
	(D) September 26, 2011 	(D) September 26, 2011 		
	(CMS-1518-CN3; 	(CMS-1518-CN3; 		
	76 FR 59263)	76 FR 59263); 		
		(E) April 24, 2012 		
		(CMS-1525-CN2; 		
		77 FR 24409)		
				
APC Payment Rate	Addendum B (A) conformed	Addendum B (A) conformed		
	to comply with correction 	to comply with corrections		
	published in (B) found on 	published in (B) and (E)		
	CMS website at: 	found on CMS website at:		
	http://www.cms.gov/	http://www.cms.gov/		
	HospitalOutpatientPPS	HospitalOutpatientPPS		
				
APC Relative Weight	Addendum B (A) conformed	Addendum B (A) conformed		
	to comply with correction	to comply with corrections		
	published in (B) found on	published in (B) and (E)		
	CMS website at: 	found on CMS website at:		
	http://www.cms.gov/	http://www.cms.gov/		
	HospitalOutpatientPPS	HospitalOutpatientPPS		
				
HOPPS Addenda	Addenda A, B, D1, D2, E, L, 	Addenda A, B, D1, D2, E,		
	and M (A) and corrections to 	L, and M (A and E) and 		
	addenda (B) found on	corrections to addenda (A) 		
	CMS website at: 	and (B) found on CMS 		
	http://www.cms.gov/	website at: 		
	HospitalOutpatientPPS	http://www.cms.gov/		
		HospitalOutpatientPPS		
				
IPPS Tables	Tables 2, 4A, 4B, 4C, and 4J			
	(C) and correction (D) found			
	on CMS website at: 			
	http://www.cms.hhs.gov/			
	AcuteInpatientPPS/.			
				
Labor-related Share	60% ((A) beginning at page 74191)			
				
Market Basket Inflation Factor	3.0% (A) page 74189			
				
Outlier Threshold	$2,025 (B) at page 222			
				
Unadjusted Conversion Factor	$68.968 (2011 unadjusted 			
	conversion factor of 			
	$66.959 x estimated inflation			
	factor of 1.03)			
				
Wage Index	Referenced in (A) beginning			
	at page 74191; wage index 			
	values are specified in 			
	Tables 4A through 4C 			
	(C) found on the CMS web site 			
	at: http://www.cms.gov/			
	AcuteInpatientPPS/			
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 12-27-2012; operative 1-1-2013 as a file and print only pursuant to Government Code section 11340.9(g) (Register 2012, No. 52).
§9789.40. Pharmacy.
Note     •     History

(a) The maximum reasonable fee for pharmaceuticals and pharmacy services rendered after January 1, 2004 is 100% of the reimbursement prescribed in the relevant Medi-Cal payment system, including the Medi-Cal professional fee for dispensing. Medi-Cal rates will be made available on the Division of Workers' Compensation's Internet Website (http://www.dir.ca.gov/DWC/dwc_home_page.htm) or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION 
(ATTENTION: OMFS -- PHARMACY)
P.O. BOX 420603 
SAN FRANCISCO, CA 94142.
(b) For a pharmacy service or drug that is not covered by a Medi-Cal payment system, the maximum reasonable fee paid shall not exceed the drug cost portion of the fee determined in accordance with this subdivision, plus $7.25 professional fee for dispensing or $8.00 if the patient is in a skilled nursing facility or in an intermediate care facility. The maximum fee shall include only a single professional dispensing fee for dispensing for each dispensing of a drug.
(1) If the National Drug Code for the drug product as dispensed is not in the Medi-Cal database, and the National Drug Code for the underlying drug product from the original labeler appears in the Medi-Cal database, then the maximum fee shall be the drug cost portion of the reimbursement allowed pursuant to section 14105.45 of the Welfare and Institutions Code using the National Drug Code for the underlying drug product from the original labeler as it appears in the Medi-Cal database, calculated on a per unit basis, plus the professional fee allowed by subdivision (b) of this section.
(2) If the National Drug Code for the drug product as dispensed is not in the Medi-Cal database and the National Drug Code for the underlying drug product from the original labeler is not in the Medi-Cal database, then the maximum fee shall be 83 percent of the average wholesale price of the lowest priced therapeutically equivalent drug, calculated on a per unit basis, plus the professional fee allowed by subdivision (b) of this section.
(c) For purposes of this section:
(1) “therapeutically equivalent drugs” means drugs that have been assigned the same Therapeutic Equivalent Code starting with the letter “A” in the Food and Drug Administration's publication “Approved Drug Products with Therapeutic Equivalence Evaluations” (“Orange Book”.) The Orange Book any be accessed through the Food and Drug Administration's website: http://www.fda.gov/cder/orange/default.htm.;
(2) “National Drug Code for the underlying drug product from the original labeler” means the National Drug Code of the drug product actually utilized by the repackager in producing the repackaged product.
(d) The changes made to this Section in February, 2007, shall be applicable to all pharmaceuticals dispensed or provided on or after March 1, 2007.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including redesignation of existing section as subsection (a) and new subsection (b), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. Amendment of subsections (a) and (b) and new subsections (b)(1)-(d) filed 2-28-2007; operative 2-28-2007. Submitted to OAL for printing purposes only pursuant to Government Code section 11343.8, as exempt from the APA and OAL review pursuant to Government Code section 11340.9(g) (Register 2007, No. 9).
§9789.50. Pathology and Laboratory.
Note     •     History

(a) Effective for services after January 1, 2004, the maximum reasonable fees for pathology and laboratory services shall not exceed one hundred twenty (120) percent of the rate for the same procedure code in the CMS' Clinical Diagnostic Laboratory Fee Schedule, as established by Sections 1833 and 1834 of the Social Security Act (42 U.S.C. §§ 1395l and 1395m) and applicable to California. The Clinical Diagnostic Laboratory Fee Schedule, which can be found on the CMS Internet Website (http://www.cms.hhs.gov/paymentsystems) is incorporated by reference and will be made available on the Division of Workers' Compensation's Internet Website (http://www.dir.ca.gov/DWC/dwc_home_page.htm) or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS)
P.O. BOX 420603
SAN FRANCISCO, CA 94142. 
(b) The following procedures in the Special Services and Reports section of the OMFS 2003 will not be valid for services rendered after January 1, 2004: CPT Codes 99000, 99001, 99017, 99019, 99020, 99021, 99026, and 99027.
(c) For any pathology and laboratory service not covered by a Medicare payment system, the maximum reasonable fee paid shall not exceed the fee specified in the OMFS 2003.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including new subsection (c), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.60. Durable Medical Equipment, Prosthetics, Orthotics, Supplies.
Note     •     History

(a) For services, equipment, or goods provided after January 1, 2004, the maximum reasonable reimbursement for durable medical equipment, supplies and materials, orthotics, prosthetics, and miscellaneous supplies and services shall not exceed one hundred twenty (120) percent of the rate set forth in the CMS' Durable Medical Equipment, Prosthetics/Orthotics, and Supplies (DMEPOS) Fee Schedule, as established by Section 1834 of the Social Security Act (42 U.S.C. § 1395m) and applicable to California. The DMEPOS Fee Schedule, which can be found on the CMS Internet Website (http://www.cms.hhs.gov/paymentsystems) is incorporated by reference and will be made available on the Division of Workers' Compensation's Internet Website (http://www.dir.ca.gov/DWC/dwc_home_page.htm) or upon request to the Administrative Director at: 

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS)
P.O. BOX 420603
SAN FRANCISCO, CA 94142. 
(b) The following procedures in the Special Services and Reports section of the OMFS 2003 will not be valid for services rendered after January 1, 2004: CPT Code 99002.
(c) For durable medical equipment, supplies and materials, orthotics, prosthetics, and miscellaneous supplies and services not covered by a Medicare payment system, the maximum reasonable fee paid shall not exceed the fee specified in the OMFS 2003.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of subsection (b) and new subsection (c), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.70. Ambulance Services.
Note     •     History

(a) The maximum reasonable fee for ambulance services rendered after January 1, 2004 shall not exceed 120% of the applicable fee for the Calendar Year 2004 set forth in CMS's Ambulance Fee Schedule, which is established pursuant to Section 1834 of the Social Security Act (42 U.S.C. § 1395m) and applicable to California. The Ambulance Fee Schedule, which can be found at the CMS Internet Website http://www.cms.hhs.gov/suppliers/ambulance is incorporated by reference and will be made available on the Division of Workers' Compensation's Internet Website (http://www.dir.ca.gov/DWC/dwc_home_page.htm) or upon request to the Administrative Director at:

DIVISION OF WORKERS' COMPENSATION (ATTENTION: OMFS)
P.O. BOX 420603
SAN FRANCISCO, CA 94142. 
(b) For any ambulance service not covered by a Medicare payment system, the maximum reasonable fee paid shall not exceed the fee specified in the OMFS 2003.
(c) This section is not applicable to services provided by any air ambulance provider which at the time of service is an “air carrier” as defined in Title 49 U.S.C.A. Section 40102, a part of the Airline Deregulation Act of 1978 as amended.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including designation and amendment of first paragraph as subsection (a) and new subsection (b), transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
3. New subsection (c) filed 7-13-2010; operative 7-13-2010. Exempt from the Administrative Procedure Act and OAL review and submitted to OAL for printing only pursuant to Government Code section 11340.9(g) (Register 2010, No. 29).
§9789.80. Skilled Nursing Facility. [Reserved]

§9789.90. Home Health Care. [Reserved]

§9789.100. Outpatient Renal Dialysis. [Reserved]

§9789.110. Update of Rules to Reflect Changes in the Medicare Payment System.
Note     •     History

The OMFS shall be adjusted within 60 days to conform to any relevant changes in the Medicare and Medi-Cal payment systems as required by law. The Administrative Director shall determine the effective date of the change and issue an order informing the public of the change and the effective date. Such order shall be posted on the Division's Internet Website: http://www.dir.ca.gov/DWC/dwc_home_page.htm. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 1-2-2004 as an emergency; operative 1-2-2004 (Register 2004, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-3-2004 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 1-2-2004 order, including amendment of section, transmitted to OAL 4-30-2004 and filed 6-15-2004 (Register 2004, No. 25).
§9789.111. Effective Date of Fee Schedule Provisions.
Note     •     History

(a) The OMFS regulations for Physician Services (Sections 9789.10-9789.11) are effective for services rendered on or after July 1, 2004. Services rendered after January 1, 2004, but before July 1, 2004 are governed by the “emergency” regulations that were effective on January 2, 2004.
(b) The OMFS regulations for Inpatient Services (Sections 9789.20-9789.24) are effective for inpatient hospital admissions with dates of discharge on or after July 1, 2004. Services for discharges after January 1, 2004, but before July 1, 2004 are governed by the “emergency” regulations that were effective on January 2, 2004. Bills for services with date of admission on or before December 31, 2003 will be reimbursed in accordance with Section 9792.1.
(c) The OMFS regulations for Outpatient Services (Sections 9789.30-9789.38) are effective for services rendered on or after July 1, 2004. Services rendered after January 1, 2004, but before July 1, 2004 are governed by the “emergency” regulations that were effective on January 2, 2004.
(d) The OMFS regulation for pharmacy (Section 9789.40) is effective for services rendered after January 1, 2004.
(e) The OMFS regulation for Pathology and Laboratory (Section 9789.50) is effective for services rendered after January 1, 2004.
(f) The OMFS regulation for Durable Medical Equipment, Prosthetics, Orthotics, Supplies (Section 9789.60) is effective for services rendered after January 1, 2004.
(g) The OMFS regulation for Ambulance Services is effective for services rendered after January 1, 2004.
NOTE

Authority cited: Sections 133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 6-15-2004; operative 7-1-2004 (Register 2004, No. 25).
Article 5.5. Application of the Official Medical Fee Schedule (Treatment)
§9790. Authority.
Note     •     History

The rules and regulations contained in this Article are adopted pursuant to the authority contained in Sections 133, 4603.5, 307.1 and 5307.3 of the California Labor Code.
NOTE

Authority cited: Sections  133, 4603.5, 5307.1 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New article 5.5 (sections 9790-9792) filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Amendment of section and Note filed 10-7-93; operative 1-1-94 (Register 93, No. 41). This filing is exempt from much of the APA (including OAL review) pursuant to Government Code section 11351.
3. Editorial correction (Register 95, No. 15).
§9790.1. Definitions.
Note     •     History

(a) “Capital outlier factor” means (California fixed loss cost outlier threshold x geographic adjustment factor x large urban add-on x (capital cost-to-charge ratio to total cost-to-charge ratio)). The geographic adjustment factor is specified in the Federal Register of August 1, 2000 at Vol. 65, page 47126, Table 1a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. The “large urban add-on” is indicated by the post-reclassification urban/rural location published in the Payment Impact File at positions 229-235. As stated in Title 42, Code of Federal Regulations, Section 412.316(b), as it is in effect on September 29, 2000, the “large urban add-on” is an additional 3% of what would otherwise be payable to the health facility. 
(b) “California fixed loss cost outlier threshold” means the factor calculated by adjusting the Medicare fixed loss cost outlier threshold for California workers' compensation inpatient admissions. The California fixed loss cost outlier threshold is $14,500. 
(c) “Composite factor” means the factor calculated by the administrative director for a health facility by adding the prospective operating costs and the prospective capital costs for the health facility, excluding the DRG weight and any applicable outlier payment, as determined by the federal Health Care Financing Administration for the purpose of determining reimbursement under Medicare.
(1) Prospective capital costs are determined by the following formula:
Capital standard federal payment rate x capital wage index x large urban add-on x [1 + capital disproportionate share adjustment factor + capital indirect medical education adjustment factor]
The “capital standard federal payment rate” is $382.03 as published by HCFA in the Federal Register of August 1, 2000, at Vol. 65, page 47127, Table 1d, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director.
The “capital wage index” was published in the Payment Impact File at positions 243-252.
The “large urban add-on” is indicated by the post-reclassification urban/rural location published in the Payment Impact File at positions 229-235. As stated in Title 42, Code of Federal Regulations, Section 412.316(b), as it is in effect on September 29, 2000, the “large urban add-on” is an additional 3% of what would otherwise be payable to the health facility.
The “capital disproportionate share adjustment factor” was published in the Payment Impact File at positions 117-126.
The “capital indirect medical education adjustment factor” (capital IME adjustment) was published in Payment Impact File at positions 202-211.
(2) Prospective operating costs are determined by the following formula:
[(Labor-related national standardized amount x operating wage index) + nonlabor-related national standardized amount] x [1 + operating disproportionate share adjustment factor + operating indirect medical education adjustment]
The “labor-related national standardized amount” is $2,864.19 for large urban areas and $2,818.85 for other areas, as published by the federal Health Care Financing Administration [HCFA] in the Federal Register of August 1, 2000, at Vol. 65, page 47126, Table 1a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. The “labor-related national standardized amount” is $2,894.99 for large urban area sole community hospitals and $2,849.16 for other areas sole community hospitals, as published by the federal Health Care Financing Administration [HCFA] in the Federal Register of August 1, 2000, at Vol. 65, page 47127, Table 1e, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director.
The “operating wage index” was published in the Payment Impact File at positions 253-262.
The “nonlabor-related national standardized amount” is $1,164.21 for large urban areas and $1,145.78 for other areas, as published by HCFA in the  Federal Register of August 1, 2000, at Vol. 65, page 47126, Table 1a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. The “nonlabor-related national standardized amount” is $1,176.73 for large urban area sole community hospitals and $1,158.10 for other areas sole community hospitals as published by the federal Health Care Financing Administration [HCFA] in the Federal Register of August 1, 2000, at Vol. 65, page 47127, Table 1e, which document is hereby incorporated by reference and will be made available upon request to the administrative director. 
The “operating disproportionate share adjustment factor” was published in the Payment Impact File at positions 127-136.
The “operating indirect medical education adjustment” was published in the Payment Impact File at positions 212-221.
(3) A table of composite factors for each health facility in California is contained in Appendix A to Section 9792.1.
(d) “Costs” means the total billed charges for an admission, excluding non-medical charges such as television and telephone charges, multiplied by the hospital's total cost-to-charge ratio. For DRGs 496 through 500, for purposes of determining whether an admission is a cost outlier, “costs” exclude implantable hardware and/or instrumentation reimbursed under subsection (7) of Section 9792.1. 
(e) “Cost-to-charge ratio” means the sum of the hospital specific operating cost-to-charge ratio and the hospital specific capital cost-to-charge ratio. The operating cost-to-charge ratio for each hospital was published in the Payment Impact File at positions 161-168. The capital cost-to-charge ratio for each hospital was published in the Payment Impact File at positions 99-106. A table of hospital specific capital cost-to-charge, operating cost-to-charge and total cost-to-charge ratios for each health facility in California is contained in Appendix A to Section 9792.1. 
(f) “Cost outlier case” means a hospitalization for which the hospital's costs, as defined in subdivision (d) above, exceed the Inpatient Hospital Fee Schedule payment amount by the hospital's outlier factor. If costs exceed the cost outlier threshold, the case is a cost outlier case. 
(g) “Cost outlier threshold” means the sum of the Inpatient Hospital Fee Schedule payment amount plus the hospital specific outlier factor. 
(h) “DRG weight” means the weighting factor for a diagnosis-related group assigned by the Health Care Financing Administration for the purpose of determining reimbursement under Medicare. A table is contained in Appendix B to Section 9792.1. Appendix B shows DRG weights as assigned by HCFA and, where applicable, “Revised DRG weights” in italics.
(i)(1) “Revised DRG weight” means the product of the DRG weight multiplied by the ratio set forth in subsection (i)(2) for 48 specified DRGs to reflect the different resource usage between the workers' compensation population and the Medicare population.
(2) The ratios that were applied to the DRG weights are contained in the column identified as “DWC Revised Ratio” in Appendix B of Section 9792.1.
(j) “Health facility” means any facility as defined in Section 1250 of the Health and Safety Code.
(k) “Inpatient” means a person who has been admitted to a health facility for the purpose of receiving inpatient services. A person is considered an inpatient when he or she is formally admitted as an inpatient with the expectation that he or she will remain at least overnight and occupy a bed, even if it later develops that such person can be discharged or is transferred to another facility and does not actually remain overnight.
(l) “Inpatient Hospital Fee Schedule payment amount” is that amount determined by multiplying the DRG weight x hospital composite factor x 1.2. 
(m) “Labor-related portion” is that portion of operating costs attributable to labor costs, as specified in the Federal Register of August 1, 2000 at Vol. 65, page 47126, Table 1a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. 
(n) “Medical services” means those goods and services provided pursuant to Article 2 (commencing with Section 4600) of Chapter 2 of Part 2 of Division 4 of the Labor Code.
(o) “Average length of stay” means the geometric mean length of stay for a diagnosis-related group assigned by the Health Care Financing Administration.
(p) “Operating outlier factor” means ((California fixed loss cost outlier threshold x ((labor-related portion x MSA wage index) + nonlabor-related portion)) x (operating cost-to-charge ratio to total cost-to-charge ratio)). The MSA wage index is specified at Federal Register of August 1, 2000 at Vol. 65, page 47149, Table 4a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. The nonlabor-related portion is that portion of operating costs as defined in the Federal Register of August 1, 2000 at Vol. 65, page 47126, Table 1a, which document is hereby incorporated by reference and will be made available upon request to the Administrative Director. 
(q) “Outlier factor” means the sum of the capital outlier factor and the operating outlier factor. A table of hospital specific outlier factors for each health facility in California is contained in Appendix A to Section 9792.1. 
(r) “Payment Impact File” means the FY 2001 Prospective Payment System Payment Impact File (August 2000 Update) (IMPCTF01.EXE) published by the federal Health Care Financing Administration, which document is hereby incorporated by reference. The description of the file is found at http://www.hcfa.gov/stats/impctf01.doc. The file is accessible through http://www.hcfa.gov/stats/pufiles.htm#ppfexmtp. A paper copy of the Payment Impact File, with explanatory material, is available from the Administrative Director upon request. An electronic copy is available from the Administrative Director at http://www.dir.ca.gov.
NOTE

Authority cited: Sections  133, 4603.5, 5307.1 and 5307.3,  Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 10-7-93; operative 1-1-94 (Register 93, No. 41). This filing is exempt from much of the APA (including OAL review) pursuant to Government Code section 11351.
2. New subsections (a)-(c)(2), subsection relettering, and new subsection (g) filed 12-31-96; operative 12-31-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
3. New subsections (a)(1)-(3), amendment of subsections (b) and (c)(2) and new subsection (h) filed 2-23-99; operative 4-1-99 (Register 99, No. 9).
4. Amendment filed 5-30-2001; operative 6-29-2001. Submitted to OAL for printing only pursuant to Government Code section 11340.9(g) (Register 2001, No. 23). 
§9791. Services Covered.
Note     •     History

Except as provided in this article, the Official Medical Fee Schedule applies to all covered medical services provided, referred or prescribed by physicians (as defined in Section 3209.3 of the Labor Code), regardless of the type of facility in which the medical services are performed, including clinic and hospital-based physicians working on a contract basis. The Schedule shall not apply to inpatient medical services provided by employees of a health facility, medical-legal expenses authorized under Section 4621 of the Labor Code, and medical expenses payable pursuant to Section 9795. Nothing contained in this schedule shall preclude any hospital as defined in subdivisions (a), (b), or (f) of Section 1250 of the Health and Safety Code, or any surgical facility which is licensed under subdivision (b) of Section 1204 of the Health and Safety Code, or any ambulatory surgical center that is certified to participate in the Medicare program under Title XVIII (42 U.S.C. Sec. 1395 et seq.) of the federal Social Security Act, or any surgical clinic accredited by the Accreditation Association for Ambulatory Health Care (AAAHC), from charging and collecting a facility fee for the use of the emergency room or operating room of the facility.
NOTE

Authority cited: Sections  133, 4603.5, 5307.1 and 5307.3,  Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. Amendment of  section and new Note filed 10-7-93; operative 1-1-94 (Register 93, No. 41). This filing is exempt from much of the APA (including OAL review) pursuant to Government Code section 11351.
2. Amendment filed 10-11-95; operative 10-11-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 41).
§9791.1. Medical Fee Schedule.
Note     •     History

The Official Medical Fee Schedule shall include the procedures, procedure numbers, descriptions, instructions, and unit values adopted by the Administrative Director, effective January 1, 1994; as revised for services on or after January 1, 1996; and as thereafter revised and adopted. The Official California Workers' Compensation Medical Fee Schedule (Revised April 1, 1999, and as amended for dates of service on or after 7/12/02) is hereby incorporated by reference. An order form for purchasing a copy of the Schedule can be obtained by contacting the Division of Workers' Compensation at the following address:

DIVISION OF WORKERS' COMPENSATION
(ATTENTION: OMFS ORDER)
P.O. BOX 420603
SAN FRANCISCO, CALIFORNIA 94142
The amendments of the OMFS for dates of service on or after 7/12/02 may be obtained either by purchasing them from the Division or they may be downloaded at no charge from the Division's website at (http://www.dir.ca.gov/workers'_comp.html).
NOTE

Authority cited: Sections  133, 4603.5, 5307.1 and 5307.3,  Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. New section filed 8-14-81; effective thirtieth day thereafter (Register 81, No. 33).
2. Amendment filed 8-29-84; effective thirtieth day thereafter (Register 84, No. 35).
3. Change without regulatory effect filed 7-11-86; effective upon filing (Register 86, No. 28).
4. Amendment filed 5-18-87; operative 5-18-87 (Register 87, No. 21).
5. Amendment of  section and  Note filed 10-7-93; operative 1-1-94 (Register 93, No. 41). This filing is exempt from much of the APA (including OAL review) pursuant to Government Code section 11351.
6. Amendment filed 10-11-95; operative 10-11-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 41).
7. Amendment of section incorporating by reference “The Official California Workers' Compensation Medical Fee Schedule” (revised April 1, 1999) filed 2-19-99; operative 4-1-99 (Register 99, No. 8).
8. Change without regulatory effect amending section filed 6-12-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 24).
§9792. Determination of the Fee.
Note     •     History

(a) The fee is determined by the use of the Official Medical Fee Schedule as defined in Section 9791.1 of these rules. For services provided on and after January 1, 1994, the conversion factors to be applied to unit values in the schedule are as follows:
Determination of the Fee

Evaluation and Management Services Section	$7.15
Medicine Section	 $6.15
Surgery Section	 $153.00
Radiology Section	$12.50
Pathology Section	 $1.50
Anesthesia Section	 $34.50
(b) For services in the Evaluation and Management Services Section provided on and after April 1, 1999, the conversion factor to be applied to unit values in the schedule is $8.50.
(c) The conversion factor shall be multiplied by the listed unit value (also known as relative value) of the procedure as set forth in the Official Medical Fee Schedule to establish the reasonable maximum fee.  A medical provider or a licensed health care facility may be paid a fee in excess of the reasonable maximum fees if the fee is reasonable, accompanied by itemization, and justified by an explanation of extraordinary circumstances related to the unusual nature of the services rendered; however,  in no event shall a physician charge  in excess of his or her usual fee.
NOTE

Authority cited: Sections  133, 4603.5, 5307.1 and 5307.3,  Labor Code. Reference: Sections 4600, 4603.2 and 5307.1, Labor Code.
HISTORY

1. Amendment filed 4-11-79; designated effective 7-1-79 (Register 79, No. 15).
2. Amendment filed 8-14-81; effective thirtieth day thereafter (Register 81, No. 33).
3. Amendment filed 11-5-82; designated effective 1-1-83 (Register 82, No. 45).
4. Amendment filed 11-23-83; effective thirtieth day thereafter (Register 83, No. 48).
5. Amendment filed 8-29-84; effective thirtieth day thereafter (Register 84, No. 35).
6. Editorial correction (Register 84, No. 48).
7. Amendment filed 1-10-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 2).
8. Amendment filed 7-1-87; operative 7-1-87 (Register 87, No. 28).
9. Amendment of  section and  Note filed 10-7-93; operative 1-1-94 (Register 93, No. 41). This filing is exempt from much of the APA (including OAL review) pursuant to Government Code section 11351.
10. New subsection (a) designator, new subsection (b), and amendment of newly designated subsection (c) filed 2-19-99; operative 4-1-99 (Register 99, No. 8).
§9792.1. Payment of Inpatient Services of Health Facilities.
Note     •     History

(a) Maximum reimbursement for inpatient medical services shall be determined by multiplying 1.20 by the product of the health facility's composite factor and the applicable DRG weight or revised DRG weight if a revised weight has been adopted by the administrative director. The fee determined under this subdivision shall be a global fee, constituting the maximum reimbursement to a health facility for inpatient medical services not exempted under this section. However, preadmission services rendered by a health facility more than 24 hours before admission are separately reimbursable.
(b) Health facilities billing for fees under this section shall present with their bill the name and address of the facility, the facility's Medicare ID number, and the applicable DRG codes.
(c) The following are exempt from the maximum reimbursement formula set forth in subdivision (a):
(1) Inpatient services for the following diagnoses: Psychiatry (DRGs 424-432), Substance Abuse (DRGs 433-437), Organ Transplants (DRGs 103, 302, 480, 481, 495), Rehabilitation (DRG 462 and inpatient rehabilitation services provided in any rehabilitation center that is authorized by the Department of Health Services in accordance with Title 22, §§70301, 70595 - 70603 of the California Code of Regulations to provide rehabilitation services), Tracheostomies (DRGs 482, 483), and Burns (DRGs 475 and 504-511).
(2) Inpatient services provided by a Level I or Level II trauma center, as defined in Title 22, California Code of Regulations sections 100260, 100261, to a patient with an immediately life threatening or urgent injury.
(3) Inpatient services provided by a health facility for which there is no composite factor.
(4) Inpatient services provided by a health facility located outside the State of California.
(5) The cost of durable medical equipment provided for use at home.
(6) Inpatient services provided by a health facility transferring an inpatient to another hospital. Maximum reimbursement for inpatient medical services of a health facility transferring an inpatient to another hospital shall be a per diem rate for each day of the patient's stay in that hospital, not to exceed the amount that would have been paid under Title 8, California Code of Regulations §9792.1(a). However, the first day of the stay in the transferring hospital shall be reimbursed at twice the per diem amount. The per diem rate is determined by dividing the maximum reimbursement as determined under Title 8, California Code of Regulations §9792.1(a) by the average length of stay for that specific DRG. However, if an admission to a health facility transferring a patient is exempt from the maximum reimbursement formula set forth in subdivision (a) because it satisfies one or more of the requirements of Title 8, California Code of Regulations §9792.1(c)(1) through (c)(4), subdivision (c)(6) shall not apply. Inpatient services provided by the hospital receiving the patient shall be reimbursed under the provisions of Title 8, California Code of Regulations §9792.1(a).
(7) Implantable hardware and/or instrumentation for DRGs 496 through 500, where the admission occurs on or after April 13, 2001. Implantable hardware and/or instrumentation for DRGs 496 through 500, where the admission occurs on or after April 13, 2001, shall be separately reimbursed at the provider's documented paid cost, plus an additional 10% of the provider's documented paid cost not to exceed a maximum of $250.00, plus any sales tax and/or shipping and handling charges actually paid.
(8) Cost Outlier cases. Inpatient services for cost outlier cases where the admission occurs on or after June 29, 2001, shall be reimbursed as follows: 
Step 1: Determine the Inpatient Hospital Fee Schedule payment amount (DRG relative weight x 1.2 x hospital specific composite factor). 
Step 2: Determine costs. Costs = (total billed charges x total cost-to-charge ratio). 
Step 3: Determine outlier threshold. Outlier threshold = (Inpatient Hospital Fee Schedule payment amount + hospital specific outlier factor). 
If costs exceed the outlier threshold, the case is a cost outlier case and the admission is reimbursed at the Inpatient Hospital Fee Schedule payment amount + (0.8 x (costs - cost outlier threshold)). 
NOTE: For purposes of determining whether a case qualifies as a cost outlier case under this subsection, implantable hardware and/or instrumentation reimbursed under subsection (8) below is excluded from the calculation of costs. Once an admission for DRGs 496 through 500 qualifies as a cost outlier case, any implantable hardware and/or instrumentation shall be separately reimbursed under subsection (8) below. 
(d) Any health care facility that believes its composite factor or hospital specific outlier factor was erroneously determined because of an error in tabulating data may request the Administrative Director for a re-determination of its composite factor or hospital specific outlier factor. Such requests shall be in writing, shall state the alleged error, and shall be supported by written documentation. Within 30 days after receiving a complete written request, the Administrative Director shall make a redetermination of the composite factor or hospital specific outlier factor or reaffirm the published factor.
(e) This section, except as provided in subsections (c)(7) and (c)(8), shall apply to covered inpatient hospital stays for which the day of admittance is on or after April 1, 1999.
(f) Subsections (c)(7) and (c)(8) shall remain in effect only through December 31, 2001, and shall not apply to admissions occurring on or after January 1, 2002.
AN IMPORTANT NOTE CONCERNING SUBSECTIONS (c)(7) AND (c)(8):
Labor Code Section 5318, (as added by Statutes of 2001, chapter 252, effective January 1, 2002,) provides that: “Notwithstanding any other provision of law, the termination date of December 31, 2001, provided in Section 9792.1(f) of Title 8 of the California Code of Regulations shall be extended until the effective date of new regulations adopted by the administrative director, as required by Section 5307.1, providing for the biennial review of the fee schedule for health care facilities.” Sections 9792.1(c)(7) and (c)(8) will therefore remain in effect for admissions on or after January 1, 2002, and will not sunset.
NOTE

Authority cited: Sections  133, 4603.5, 5307.1, 5307.3 and 5318,  Labor Code. Reference: Sections 4600, 4603.2, 5307.1 and 5318, Labor Code.
HISTORY

1. New section filed 12-31-96; operative 12-31-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
2. Amendment of section and new appendices A-C filed 2-23-99; operative 4-1-99 (Register 99, No. 9).
3. New subsection (c)(8), amendment of subsection (e) and new subsection (f) filed 3-14-2001; operative 4-13-2001. Submitted to OAL for printing only pursuant to Government Code section 11343(a)(1) (Register 2001, No. 22).
4. Amendment of section and repealer and new Appendices A and B filed 5-30-2001; operative 6-29-2001. Submitted to OAL for printing only pursuant to Government Code section 11340.9(g) (Register 2001, No. 23). 
5. Change without regulatory effect adding final two paragraphs and amending Note filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).

Appendix A. Hospital Composite Factors and Cost to Charge Rations

		Composite Factor 	Capital  	Operating 	Total 	Hospital 		 (2001 Payment 	Cost-to-	Cost-to- 	Cost-to- 	Specific 
 Provider		Impact 	Charge 	Charge 	Charge 	Outlier
 Number	Hospital Name 	File Data) 	Ratio 	Ratio	Ratio	Factor 

 50002 	ST. ROSE HOSPITAL	 7626.1 	0.018 	0.372 	0.390 	$ 19,640 

 50006 	ST. JOSEPH HOSPITAL, EUREKA 	4303.8 	0.036 	0.359 	0.395 	$ 14,357 

 50007 	MILLS PENINSULA MEDICAL CENTER 	5732.9 	0.035 	0.364 	0.399 	$ 18,837 

 50008 	DAVIES MEDICAL CENTER 	6366.3 	0.039 	0.317 	0.356 	$ 18,840 

 50009 	QUEEN OF THE VALLEY 	5214.8 	0.041 	0.357 	0.398 	$ 16,820 

 50013 	ST. HELENA HOSPITAL 	5286.9 	0.024 	0.430 	0.454 	$ 16,828 

 50014 	SUTTER AMADOR HOSPITAL 	4303.8 	0.020 	0.353 	0.373 	$ 14,357 

 50015 	NORTHERN INYO HOSPITAL 	4346.0 	0.028 	0.701 	0.729 	$ 14,357 

 50016 	ARROYO GRANDE COMMUNITY HOSPITAL 	4553.8 	0.108 	0.394 	0.502 	$ 15,187 

 50017 	MERCY GENERAL HOSPITAL 	5765.8 	0.022 	0.241 	0.263 	$ 16,548 

 50018 	PACIFIC ALLIANCE MEDICAL CNTR. 	8999.4 	0.043 	0.393 	0.436 	$ 16,631 

 50022 	RIVERSIDE COMMUNITY 	5171.4 	0.044 	0.337 	0.381 	$ 15,697 

 50024 	PARADISE VALLEY HOSPITAL 	7440.0 	0.024 	0.360 	0.384 	$ 16,363 

 50025 	UCSD MEDICAL CENTER 	8430.0 	0.057 	0.321 	0.378 	$ 16,395 

 50026 	GROSSMONT HOSPITAL 	5834.5 	0.043 	0.318 	0.361 	$ 16,384 

 50028 	MAD RIVER COMMUNITY HOSPITAL 	4303.8 	0.026 	0.418 	0.444 	$ 14,357 

 50029 	ST.LUKE MEDICAL CENTER 	6514.7 	0.031 	0.238 	0.269	$ 16,637 

 50030 	OROVILLE HOSPITAL 	5185.6 	0.048 	0.495 	0.543 	$ 14,416 

 50032 	WARRACK HOSPITAL 	5159.2 	0.033 	0.500 	0.533 	$ 17,216 

 50033 	MOUNT ZION MEDICAL CENTER OF UCSF 	8623.8 	0.042 	0.407 	0.449 	$ 18,838 

 50036 	MEMORIAL HOSPITAL 	4314.7 	0.055 	0.358 	0.413 	$ 14,357 

 50038 	SANTA CLARA VALLEY MEDICAL CENTER 	9378.9 	0.045 	0.538 	0.583 	$ 18,192 

 50039 	ENLOE MEDICAL CENTER 	4630.0 	0.026 	0.434 	0.460 	$ 14,416 

 50040 	LAC OLIVE VIEW/UCLA MEDICAL CENTER 	10003.1 	0.033 	0.329 	0.362 	$ 16,628 

 50042	ST. ELIZABETH COMMUNITY HOSPITAL 	4346.0 	0.030 	0.413 	0.443 	$ 14,357 

 50043 	SUMMIT MEDICAL CENTER 	7556.7 	0.016 	0.340 	0.356 	$ 19,640 

 50045 	EL CENTRO REGIONAL MED. CTR. 	5940.4 	0.021 	0.357 	0.378 	$ 14,381 

 50046 	OJAI VALLEY COMMUNITY HOSPITAL 	4494.1 	0.059 	0.675 	0.734 	$ 14,992 

 50047 	CALIFORNIA PACIFIC MEDICAL CENTER 	7124.8 	0.029 	0.373 	0.402 	$ 18,834 

 50051 	ALTA DISTRICT HOSPITAL 	4303.8 	0.036 	0.586 	0.622 	$ 14,357 

 50054 	SAN GORGONIO MEMORIAL HOSPITAL 	4981.7 	0.024 	0.330 	0.354 	$ 15,677 

 50055 	ST. LUKES HOSPITAL 	8503.5 	0.026 	0.360 	0.386 	$ 18,834 

 50056 	ANTELOPE VALLEY HOSPITAL 	6281.4 	0.043 	0.313 	0.356 	$ 16,639 

 50057 	KAWEAH DELTA HEALTH CARE DISTRICT 	5269.1 	0.031 	0.430 	0.461 	$ 14,357 

 50058 	GLENDALE MEMORIAL HOSPITAL & HLTH CT 	7144.1 	0.031 	0.278 	0.309 	$ 16,632 

 50060 	FRESNO COMMUNITY HOSP & MED CENTER 	5731.0 	0.029 	0.337	 0.366 	$ 14,607 

 50061	ST. FRANCIS MEDICAL CENTER 	4530.4 	0.057 	0.356 	0.413 	$ 15,112 

 50063 	QUEEN OF ANGELS - HLLYWD PRES MC 	8430.2 	0.033 	0.296 	0.329 	$ 16,632 

 50065 	WMC SANTA ANA	7039.7 	0.057 	0.314 	0.371 	$ 16,015 

 50066 	BAY HARBOR HOSPITAL 	5818.7 	0.016 	0.302 	0.318 	$ 16,614 

 50067 	OAK VALLEY DISTRICT HOSPITAL 	4468.6 	0.029 	0.359 	0.388 	$ 14,907 

 50068 	LINDSAY DISTRICT HOSPITAL 	4494.2 	0.014 	0.487 	0.501 	$ 14,357 

 50069 	ST. JOSEPH HOSPITAL 	5069.0 	0.029 	0.284 	0.313 	$ 16,629 

 50070	KFH - SSF 	5729.5 	0.039 	0.361 	0.400 	$ 18,838 

 50071 	KFH - SANTA CLARA 	7040.9 	0.039 	0.361 	0.400 	$ 19,643 

 50072 	KFH - WALNUT CREEK 	6149.7 	0.039 	0.361 	0.400 	$ 19,643 

 50073 	KFH - VALLEJO 	5946.2 	0.039 	0.361 	0.400 	$ 19,587 

 50075 	KFH - OAKLAND 	7131.2 	0.039 	0.361 	0.400 	$ 19,643 

 50076 	KFH - SAN FRANCISCO 	7132.4 	0.039 	0.361 	0.400 	$ 19,643 

 50077 	MERCY HOSPITAL	 6346.8 	0.034 	0.300 	0.334 	$ 16,377 

 50078 	SAN PEDRO PENINSULA 	5498.4 	0.028 	0.268 	0.296 	$ 16,630 

 50079 	DOCTORS MEDICAL CENTER-SAN PABLO 	7288.6 	0.021 	0.289 	0.310 	$ 19,641 

 50082 	ST. JOHN'S REGIONAL MEDICAL CENTER 	5247.3 	0.074 	0.343 	0.417	$ 14,990 

 50084 	ST. JOSEPH'S MEDICAL CENTER 	5020.2 	0.022 	0.260 	0.282 	$ 15,146 

 50088 	SAN LUIS OBISPO GENERAL HOSPITAL 	4755.3 	0.025 	0.735 	0.760 	$ 15,193 

 50089 	COMMUNITY HOSPITAL OF SAN BERNARDINO 	7291.2 	0.046 	0.315 	0.361 	$ 15,701 

 50090 	SONOMA VALLEY HEALTH CARE DIST. 	5159.2 	0.055 	0.437	 0.492 	$ 17,206 

 50091 	COMMUNITY HOSPITALS OF HUNTINGTON PK 	9079.1 	0.032 	0.277 	0.309 	$ 16,633 

 50092 	GLENN MEDICAL CENTER 	4730.9 	0.050 	0.747 	0.797 	$ 14,357 

 50093 	SAINT AGNES MEDICAL CENTER 	4603.7 	0.043 	0.353 	0.396 	$ 14,607 

 50096 	DR'S HOSPITAL OF WEST COVINA 	5406.7 	0.039 	0.304 	0.343 	$ 16,636 

 50097 	GENERAL HOSPITAL 	4303.8 	0.033 	0.367 	0.400 	$ 14,357 

 50099 	SAN ANTONIO COMMUNITY HOSPITAL 	5661.2 	0.031 	0.293 	0.324 	$ 15,688 

 50100 	SHARP MEMORIAL HOSPITAL 	5783.9 	0.041	 0.359 	0.400	$ 16,377 

 50101 	SUTTER SOLANO MEDICAL CENTER 	6430.3 	0.025 	0.290 	0.315 	$ 16,823 

 50102 	PARKVIEW COMMUNITY HOSPITAL 	5928.8 	0.024 	0.340 	0.364 	$ 15,676 

 50103 	WHITE MEMORIAL MEDICAL CENTER 	8308.7 	0.044 	0.335 	0.379 	$ 16,637 

 50104 	ST. FRANCIS MEDICAL CENTER 	7922.8 	0.022 	0.271 	0.293 	$ 16,623 

 50107 	MARIAN MEDICAL CENTER 	5215.2 	0.058 	0.378 	0.436 	$ 15,112 

 50108 	SUTTER COMMUNITY HOSPITAL 	5789.3 	0.036 	0.278 	0.314 	$ 16,559 

 50110 	LOMPOC DISTRICT HOSPITAL 	4530.4 	0.042 	0.436 	0.478 	$ 15,113 

 50111 	TEMPLE COMMUNITY HOSPITAL 	7509.1 	0.016 	0.285 	0.301 	$ 16,615 

 50112 	SANTA MONICA HOSPITAL 	5570.3 	0.039 	0.355 	0.394 	$ 16,631 

 50113 	SAN MATEO COUNTY GENERAL HOSPITAL 	6178.8 	0.028 	0.886 	0.914 	$ 18,828 

 50114 	SHERMAN OAKS HOSP AND HLTH CENTER 	5268.7 	0.047	 0.430	 0.477 	$ 16,631 

 50115 	PALOMAR MEDICAL CENTER 	5573.1 	0.044 	0.342 	0.386 	$ 16,382 

 50116 	NORTHRIDGE HOSPITAL MEDICAL CENTER 	5974.7 	0.029 	0.275 	0.304 	$ 16,630 

 50117 	MERCY HOSPITAL & HEALTH SYSTEM 	4954.2 	0.021 	0.308 	0.329 	$ 14,357 

 50118 	DOCTORS HOSPITAL OF MANTECA 	4540.3 	0.029 	0.225 	0.254 	$ 15,145 

 50121 	HANFORD COMMUNITY MEDICAL CENTER 	4303.8 	0.021 	0.391 	0.412 	$ 14,357 

 50122 	DAMERON HOSPITAL 	5554.0 	0.015 	0.280 	0.295 	$ 15,147 

 50124 	VERDUGO HILLS HOSPITAL 	5057.3 	0.053 	0.310 	0.363 	$ 16,648 

 50125 	ALEXIAN BROS. HOSPITAL 	7865.2 	0.032 	0.280 	0.312 	$ 18,198 

 50126 	VALLEY PRESBYTERIAN HOSPITAL 	6606.0 	0.047 	0.312 	0.359 	$ 16,643 

 50127 	WOODLAND MEMORIAL HOSPITAL 	4896.1 	0.046 	0.476 	0.522 	$ 14,704 

 50128 	TRI-CITY MEDICAL CENTER 	5188.6 	0.043 	0.309 	0.352 	$ 16,385 

 50129 	ST. BERNARDINE MEDICAL CENTER 	6071.7 	0.072 	0.392 	0.464 	$ 15,713 

 50131 	NOVATO COMMUNITY HOSPITAL 	5729.5 	0.026 	0.464 	0.490 	$ 18,831 

 50132 	SAN GABRIEL VALLEY MEDICAL CENTER 	5928.3 	0.038 	0.251 	0.289 	$ 16,643 

 50133 	RIDEOUT MEMORIAL HOSPITAL 	5334.9 	0.044 	0.443 	0.487 	$ 15,225 

 50135 	HOLLYWOOD COMM. HOSP OF HOLLYWOOD 	6497.7 	0.027 	0.377 	0.404 	$ 16,620 

 50136 	PETALUMA VALLEY HOSPITAL 	5159.2 	0.036 	0.489 	0.525 	$ 17,214 

 50137 	KAISER FOUNDATION HOSPITALS-PANORAMA 	5088.3 	0.039 	0.361 	0.400 	$ 16,631 

 50138 	KAISER FOUNDATION HOSPITALS - SUNSET 	5938.5 	0.039 	0.361 	0.400 	$ 16,631 

 50139 	KAISER FOUND. HOSPITALS - BELLFLOWER 	5118.5 	0.039 	0.361 	0.400 	$ 16,631 

 50140 	KAISER FOUND. HOSPITALS - FONTANA 	5082.3 	0.039 	0.361 	0.400 	$ 15,689 

 50144 	BROTMAN MEDICAL CENTER 	6207.8 	0.050 	0.318 	0.368 	$ 16,644 

 50145 	COMMUNITY HOSP. MONTEREY PENINSULA 	5869.7 	0.032 	0.463 	0.495 	$ 19,113 

 50148 	PLUMAS DISTRICT HOSPITAL MCARE RPT 	4346.0 	0.034 	0.466 	0.500 	$ 14,357 

 50149 	CALIFORNIA HOSPITAL MEDICAL CENTER 	8562.6 	0.035 	0.353 	0.388 	$ 16,628 

 50150 	SIERRA NEVADA MEMORIAL HOSPITAL 	4948.0 	0.073 	0.459 	0.532 	$ 16,500 

 50152 	SAINT FRANCIS MEMORIAL HOSPITAL 	7135.7 	0.032 	0.292 	0.324 	$ 18,839 

 50153 	O'CONNOR HOSPITAL 	5991.8 	0.036 	0.363 	0.399 	$ 18,195 

 50155 	MONROVIA COMMUNITY HOSPITAL 	5408.9 	0.039 	0.314 	0.353 	$ 16,635 

 50158 	ENCINO-TARZANA REG MED CENTER 	5071.9 	0.038 	0.361 	0.399 	$ 16,630 

 50159 	VENTURA COUNTY MEDICAL CENTER 	7638.6 	0.024 	0.504 	0.528 	$ 14,993 

 50167 	SAN JOAQUIN GENERAL HOSPITAL 	7581.0 	0.048 	0.451 	0.499 	$ 15,146 

 50168 	ST. JUDE MEDICAL CENTER 	4875.0 	0.022 	0.282 	0.304 	$ 15,983 

 50169 	PRESBYTERIAN INTERCOMMUNITY 	5662.7 	0.041 	0.290 	0.331 	$ 16,640 

 50170 	LONG BEACH COMMUNITY MEDICAL CENTER 	5651.6 	0.032 	0.333 	0.365 	$ 16,627 

 50172 	REDWOOD MEMORIAL HOSPITAL 	4303.8 	0.036 	0.428 	0.464 	$ 14,357 

 50173 	ANAHEIM GENERAL HOSPITAL 	6486.4 	0.013 	0.275 	0.288 	$ 15,972 

 50174 	SANTA ROSA MEMORIAL HOSPITAL 	5179.2 	0.039 	0.462 	0.501 	$ 17,212 

 50175 	WHITTIER HOSPITAL MEDICAL CENTER 	6697.3 	0.039 	0.291 	0.330 	$ 16,638 

 50177 	SANTA PAULA MEMORIAL HOSPITAL 	4693.0 	0.028 	0.546 	0.574 	$ 14,993 

 50179 	EMANUEL MEDICAL CENTER 	5133.3 	0.038 	0.353 	0.391 	$ 14,907 

 50180 	JOHN MUIR MEDICAL CENTER 	5985.2 	0.036 	0.305 	0.341 	$ 19,644 

 50186 	SCRIPPS HOSPITAL - EAST COUNTY 	5747.0 	0.051 	0.370 	0.421 	$ 16,384 

 50188 	COMM HOSP.& REHAB- LOS GATOS 	5534.0 	0.045 	0.253 	0.298 	$ 18,209 

 50189 	GEORGE L. MEE MEMORIAL HOSPITAL 	6039.3 	0.036 	0.493 	0.529 	$ 19,112 

 50191 	ST MARY MEDICAL CENTER 	7071.6 	0.039 	0.255 	0.294 	$ 16,643 

 50192 	SIERRA KINGS DISTRICT HOSPITAL 	4572.4 	0.038 	0.520 	0.558 	$ 14,607 

 50193 	SOUTH COAST MEDICAL CENTER 	4867.8 	0.027 	0.268 	0.295 	$ 15,991 

 50194 	WATSONVILLE COMMUNITY HOSPITAL 	6816.0 	0.030 	0.387 	0.417 	$ 18,694 

 50195 	WASHINGTON HOSPITAL DISTRICT 	6805.6 	0.024 	0.336 	0.360 	$ 19,641 

 50196 	CENTRAL VALLEY GENERAL HOSP 	4456.1 	0.021 	0.382 	0.403 	$ 14,357 

 50197 	SEQUOIA HEALTH SERVICES 	5739.1 	0.030 	0.449 	0.479 	$ 18,833 

 50204 	LANCASTER HOSPITAL 	5201.4 	0.022 	0.251 	0.273 	$ 16,625 

 50205 	HUNTINGTON EAST VALLEY HOSPITAL 	7228.2 	0.044 	0.419 	0.463 	$ 16,630 

 50207 	FREMONT MEDICAL CENTER 	5423.3 	0.030 	0.494 	0.524 	$ 15,226 

 50211 	ALAMEDA HOSPITAL 	6385.2 	0.014 	0.250 	0.264 	$ 19,641 

 50213 	UNIVERSITY MEDICAL CENTER 	7604.5 	0.021 	0.439 	0.460 	$ 14,607 

 50214 	GRANADA HILLS COMMUNITY HOSPITAL 	6473.8 	0.022 	0.303 	0.325 	$ 16,620 

 50215 	SAN JOSE MEDICAL CENTER 	7139.9 	0.130 	0.425 	0.555 	$ 18,227 

 50217 	FAIRCHILD MEDICAL CENTER 	4346.0 	0.045 	0.616 	0.661 	$ 14,357 

 50219 	COAST PLAZA DOCTORS HOSPITAL 	6698.9 	0.023 	0.288 	0.311 	$ 16,622 

 50222 	SHARP CHULA VISTA MEDICAL CTR 	6376.7 	0.044 	0.326 	0.370 	$ 16,384 

 50224 	HOAG MEMORIAL HOSPITAL PRESBYTERIAN 	4869.0 	0.036 	0.380 	0.416 	$ 15,989 

 50225 	FEATHER RIVER HOSPITAL 	4510.5 	0.047 	0.450 	0.497 	$ 14,416 

 50226 	ANAHEIM MEMORIAL MEDICAL CENTER 	5034.2 	0.052 	0.299 	0.351 	$ 16,013 

 50228 	SAN FRANCISCO GENERAL HOSPITAL 	10776.1 	0.016 	0.535 	0.551 	$ 18,827 

 50230 	GARDEN GROVE MEDICAL CENTER 	6972.4 	0.029 	0.262 	0.291 	$ 15,994 

 50231 	POMONA VALLEY HOSPITAL MED CTR 	6615.4 	0.024 	0.264 	0.288 	$ 16,626 

 50232 	FRENCH HOSPITAL MEDICAL CENTER 	4562.2 	0.033 	0.262 	0.295 	$ 15,190 

 50234 	SHARP CORONADO HOSPITAL 	4979.7 	0.035 	0.464 	0.499 	$ 16,365 

 50235 	PROVIDENCE SAINT JOSEPH MED CTR 	5361.5 	0.046 	0.403 	0.449 	$ 16,632 

 50236 	SIMI VALLEY HOSPITAL 	5177.0 	0.036 	0.326 	0.362 	$ 16,582 

 50238 	METHODIST HOSPITAL OF SOUTHERN CA 	5065.0 	0.042 	0.353 	0.395 	$ 16,634 

 50239 	GLENDALE ADVENTIST MEDICAL CENTER 	7355.8 	0.052 	0.607 	0.659 	$ 16,624 

 50240 	CENTINELA HOSPITAL MEDICAL CENTER 	6795.9 	0.049 	0.298 	0.347 	$ 16,646 

 50242 	DOMINICAN SANTA CRUZ HOSPITAL 	6176.1 	0.034 	0.331 	0.365 	$ 18,686 

 50243 	DESERT HOSPITAL 	5437.4 	0.044 	0.260 	0.304 	$ 15,708 

 50245 	ARROWHEAD REGIONAL MEDICAL CENTER 	8153.0 	0.015 	0.476 	0.491 	$ 15,662 

 50248 	NATIVIDAD MEDICAL CENTER 	8830.3 	0.016 	0.393 	0.409 	$ 19,124 

 50251 	LASSEN COMMUNITY HOSPITAL 	4730.9 	0.039 	0.476 	0.515 	$ 14,357 

 50253 	LINCOLN LLC 	6066.4 	0.028 	0.301 	0.329 	$ 15,988 

 50254 	MARSHALL HOSPITAL 	5033.6 	0.085 	0.431 	0.516 	$ 16,577 

 50256 	ORTHOPAEDIC HOSPITAL 	6853.0 	0.046 	0.447 	0.493 	$ 16,629 

 50257 	GOOD SAMARITAN HOSPITAL 	4494.2 	0.080 	0.320 	0.400 	$ 14,358 

 50260 	MOUNTAINS COMMUNITY HOSPITAL 	4770.8 	0.042 	0.460 	0.502 	$ 15,684 

 50261 	SIERRA VIEW DISTRICT HOSPITAL 	5092.2 	0.064 	0.390 	0.454 	$ 14,357 

 50262 	UCLA MEDICAL CENTER 	7975.2 	0.039 	0.387 	0.426 	$ 16,629 

 50264 	SAN LEANDRO HOSPITAL 	5974.6 	0.039 	0.337 	0.376 	$ 19,644 

 50267 	DANIEL FREEMAN MEMORIAL HOSP 	6571.3 	0.023 	0.248 	0.271 	$ 16,626 

 50270 	SMH - CHULA VISTA 	6795.5 	0.036 	0.305 	0.341 	$ 16,379 

 50272 	REDLANDS COMMUNITY HOSPITAL 	4783.7 	0.035 	0.292 	0.327 	$ 15,693 

 50276 	CONTRA COSTA REGIONAL MEDICAL CNTR 	9454.0 	0.017 	0.666 	0.683 	$ 19,639 

 50277 	PACIFIC HOSPITAL OF LONG BEACH 	7263.8 	0.024 	0.387 	0.411 	$ 16,617 

 50278 	PROVIDENCE HOLY CROSS MEDICAL CENTER 	5769.4 	0.039 	0.282 	0.321 	$ 16,639 

 50279 	HI - DESERT MEDICAL CENTER 	4817.5 	0.054 	0.491 	0.545 	$ 15,690 

 50280 	MERCY MEDICAL CENTER 	5635.0 	0.029 	0.296 	0.325 	$ 16,206 

 50281 	ALHAMBRA HOSPITAL 	7401.6 	0.039 	0.320 	0.359 	$ 16,635 

 50282 	MARTIN LUTHER HOSPITAL 	5945.2 	0.038 	0.321 	0.359 	$ 15,996 

 50283 	VALLEY MEMORIAL HOSPITAL 	5974.6 	0.035 	0.269 	0.304 	$ 19,644 

 50289 	SETON MEDICAL CENTER 	6749.3 	0.036 	0.357 	0.393 	$ 18,837 

 50290 	SAINT JOHN'S HOSPITAL 	5063.8 	0.027 	0.307 	0.334 	$ 16,625 

 50291 	SUTTER COMMUNITY HOSPITAL SANTA ROSA 	8312.9 	0.039 	0.499 	0.538 	$ 17,213 

 50292 	RIVERSIDE COUNTY REGIONAL MED CENTER 	7310.5 	0.018 	0.480 	0.498 	$ 15,664 

 50293 	PACIFIC COAST HOSPITAL 	7084.4 	0.112 	0.835 	0.947 	$ 18,842 

 50295 	MERCY HOSPITAL 	4464.2 	0.055 	0.314 	0.369 	$ 14,358 

 50296 	HAZEL HAWKINS MEM. HOSPITAL 	5541.7 	0.036 	0.442 	0.478 	$ 18,491 

 50298 	BARSTOW COMMUNITY HOSPITAL 	4770.8 	0.036 	0.282 	0.318 	$ 15,696 

 50299 	NHMC-SHERMAN WAY CAMPUS 	7150.0 	0.042 	0.351 	0.393 	$ 16,634 

 50300 	ST. MARY REGIONAL 	5606.9 	0.040 	0.325 	0.365 	$ 15,694 

 50301 	UKIAH VALLEY MEDICAL CENTER 	5263.3 	0.034 	0.486 	0.520 	$ 16,961 

 50305 	ALTA BATES MEDICAL CENTER 	7233.9 	0.028 	0.278 	0.306 	$ 19,643 

 50308 	EL CAMINO HOSPITAL 	5542.8 	0.031 	0.335 	0.366 	$ 18,194 

 50309 	SUTTER ROSEVILLE MEDICAL CENTER 	5237.1 	0.035 	0.287 	0.322 	$ 16,557 

 50312 	REDDING MEDICAL CENTER 	5071.6 	0.015 	0.361 	0.376 	$ 16,211 

 50313 	SUTTER TRACY COMMUNITY HOSPITAL 	4540.3 	0.058 	0.301 	0.359 	$ 15,144 

 50315 	KERN MEDICAL CENTER 	7908.4 	0.030 	0.574 	0.604 	$ 14,357 

 50320 	ALAMEDA COUNTY MEDICAL CENTER 	10196.1 	0.017 	0.608 	0.625 	$ 19,639 

 50324 	SCRIPPS MEMORIAL HOSPITAL - LA JOLLA 	4990.5 	0.034 	0.280 	0.314 	$ 16,380 

 50325 	TUOLUMNE GENERAL HOSPITAL 	4303.8 	0.022 	0.419 	0.441 	$ 14,357 

 50327 	LOMA LINDA UNIVERSITY MEDICAL CTR. 	7076.6 	0.036 	0.289 	0.325 	$ 15,695 

 50329 	CORONA REGIONAL MEDICAL CENTER 	5574.6 	0.028 	0.274 	0.302 	$ 15,687 

 50331 	HEALDSBURG GENERAL HOSPITAL 	5159.2 	0.024 	0.459 	0.483 	$ 17,218 

 50333 	SENECA DISTRICT HOSPITAL 	4346.0 	0.021 	0.532 	0.553 	$ 14,357 

 50334 	SALINAS VALLEY MEMORIAL HOSPITAL 	6197.3 	0.023 	0.442 	0.465 	$ 19,120 

 50335 	SONORA COMMUNITY HOSPITAL 	4303.8 	0.039 	0.460 	0.499 	$ 14,357 

 50336 	LODI MEMORIAL HOSPITAL 	4748.4 	0.030 	0.312 	0.342 	$ 15,146 

 50337 	DESERT PALMS COMMUNITY HOSPITAL 	5057.3 	0.042 	0.394 	0.436 	$ 16,630 

 50342 	PIONEERS MEM. HOSPITAL 	4456.1 	0.033 	0.426 	0.459 	$ 14,357 

 50345 	HOSPITAL NAME NOT AVAILABLE 	4781.9 	0.051 	0.497 	0.548 	$ 15,687 

 50348 	UCI MEDICAL CENTER 	8187.6 	0.027 	0.322 	0.349 	$ 15,985 

 50349 	CORCORAN DISTRICT HOSPITAL 	4456.1 	0.030 	0.429 	0.459 	$ 14,357 

 50350 	BEVERLY COMMUNITY HOSPITAL 	6431.8 	0.023 	0.305 	0.328 	$ 16,621 

 50351 	TORRANCE MEMORIAL MEDICAL CENTER 	5063.4 	0.031 	0.323 	0.354 	$ 16,627 

 50352 	BARTON MEMORIAL HOSPITAL 	5083.0 	0.070 	0.516 	0.586 	$ 16,561 

 50353 	LITTLE COMPANY OF MARY HOSPITAL 	5067.1 	0.033 	0.295 	0.328 	$ 16,632 

 50355 	SIERRA VALLEY DISTRICT HOSPITAL 	4346.0 	0.111 	0.640 	0.751 	$ 14,358 

 50357 	GOLETA VALLEY COTTAGE HOSPITAL 	4540.5 	0.036 	0.351 	0.387 	$ 15,113 

 50359 	TULARE DISTRICT HOSPITAL 	5249.7 	0.041 	0.430 	0.471 	$ 14,357 

 50360 	MARIN GENERAL HOSPITAL 	5875.4 	0.050 	0.425 	0.475 	$ 18,840 

 50366 	MARK TWAIN ST. JOSEPH'S HOSPITAL 	4346.0 	0.022 	0.346 	0.368 	$ 14,357 

 50367 	NORTHBAY MEDICAL CENTER 	6561.2 	0.034 	0.233 	0.267 	$ 16,816 

 50369 	QUEEN OF THE VALLEY HOSPITAL 	6821.2 	0.023 	0.356 	0.379 	$ 16,618 

 50373 	LAC+USC MEDICAL CENTER 	9863.6 	0.016 	0.347 	0.363 	$ 16,612 

 50376 	HARBOR-UCLA MEDICAL CENTER 	10439.6 	0.039 	0.296 	0.335 	$ 16,637 

 50377 	CHOWCHILLA DISTRICT MEMORIAL HOSP 	4378.7 	0.032 	0.642 	0.674 	$ 14,607 

 50378 	PACIFICA OF THE VALLEY 	8053.4 	0.059 	0.476 	0.535 	$ 16,635 

 50379 	WEST SIDE DISTRICT HOSPITAL 	4346.0 	0.127 	0.832 	0.959 	$ 14,357 

 50380 	GOOD SAMARITAN HOSPITAL 	5539.0 	0.106 	0.556 	0.662 	$ 18,211 

 50382 	INTER-COMMUNITY MEDICAL CENTER 	6123.9 	0.026 	0.340 	0.366 	$ 16,621 

 50385 	PALM DRIVE HOSPITAL	5159.2 	0.030 	0.494 	0.524 	$ 17,216 

 50388 	SOUTHERN INYO HOSPITAL 	4346.0 	0.055 	0.753 	0.808 	$ 14,357 

 50390 	HEMET VALLEY MEDICAL CENTER 	5342.1 	0.029 	0.308 	0.337 	$ 15,685 

 50391 	SANTA TERESITA HOSPITAL 	5281.0 	0.026 	0.410 	0.436 	$ 16,617 

 50392 	TRINITY HOSPITAL 	4730.9 	0.015 	0.610 	0.625 	$ 14,357 

 50393 	DOWNEY COMMUNITY HOSPITAL 	5960.7 	0.087 	0.716 	0.803 	$ 16,635 

 50394 	COMM MEM HOSP OF SAN BUENAVENTURA 	4498.9 	0.026 	0.406 	0.432 	$ 14,993 

 50396 	SANTA BARBARA COTTAGE HOSPITAL 	5094.9 	0.022 	0.245 	0.267 	$ 15,113 

 50397 	COALINGA REGIONAL MEDICAL CENTER 	4421.6 	0.085 	0.483 	0.568 	$ 14,607 

 50401 	WASHINGTON MEDICAL CENTER 	5057.3 	0.042 	0.290 	0.332 	$ 16,641 

 50404 	BIGGS-GRIDLEY MEMORIAL HOSP.-CARE 	4321.4 	0.015 	0.424 	0.439 	$ 14,416 

 50406 	MAYERS MEMORIAL HOSPITAL MCARE RPT 	4905.9 	0.040 	0.524 	0.564 	$ 16,208 

 50407 	CHINESE HOSPITAL 	5983.1 	0.034 	0.513 	0.547 	$ 18,833 

 50410 	SANGER GENERAL HOSPITAL 	4572.4 	0.032 	0.443 	0.475 	$ 14,607 

 50411 	KAISER FOUNDATION HOSPITALS -HARBOR 	5104.8 	0.039 	0.361 	0.400 	$ 16,631 

 50414 	MERCY HOSPITAL OF FOLSOM 	5033.6 	0.072 	0.326 	0.398 	$ 16,583 

 50417 	SUTTER COAST HOSPITAL 	4346.0 	0.068 	0.439 	0.507 	$ 14,357 

 50419 	MERCY MEDICAL CENTER MT. SHASTA 	4905.9 	0.053 	0.517 	0.570 	$ 16,206 

 50420 	ROBERT F. KENNEDY MEDICAL CENTER 	7318.8 	0.036 	0.392 	0.428 	$ 16,626 

 50423 	PALO VERDE HOSPITAL 	5030.7 	0.053 	0.390 	0.443 	$ 15,698 

 50424 	GREEN HOSPITAL OF SCRIPPS CLINIC 	5539.0 	0.042 	0.408 	0.450 	$ 16,374 

 50425 	KFH - SACRAMENTO 	5398.6 	0.039 	0.361 	0.400 	$ 16,553 

 50426 	WEST ANAHEIM MEDICAL CENTER 	5079.2 	0.024 	0.242 	0.266 	$ 15,990 

 50427 	AVALON MUNICIPAL HOSPITAL 	5106.9 	0.039 	0.610 	0.649 	$ 16,617 

 50430 	MODOC MEDICAL CENTER 	4730.9 	0.019 	0.557 	0.576 	$ 14,357 

 50432 	GARFIELD MEDICAL CTR. 	8463.2 	0.016 	0.361 	0.377 	$ 16,611 

 50433 	INDIAN VALLEY HOSPITAL 	4346.0 	0.020 	0.563 	0.583 	$ 14,357 

 50434 	COLUSA COMMUNITY HOSPITAL 	4730.9 	0.039 	0.596 	0.635 	$ 14,357 

 50435 	FALLBROOK DISTRICT HOSPITAL 	5028.5 	0.024 	0.374 	0.398 	$ 16,362 

 50438 	HUNTINGTON MEMORIAL HOSPITAL 	6155.8 	0.028 	0.332 	0.360 	$ 16,624 

 50440 	HOWARD MEMORIAL HOSPITAL 	4303.8 	0.049 	0.433 	0.482 	$ 14,357 

 50441 	STANFORD UNIVERSITY HOSPITAL 	8212.0 	0.032 	0.327 	0.359 	$ 18,195 

 50443 	JOHN C. FREMONT HOSPITAL 	4346.0 	0.027 	0.518 	0.545 	$ 14,357 

 50444 	SUTTER MERCED MEDICAL CENTER 	6086.4 	0.033 	0.340 	0.373 	$ 14,357 

 50446 	TEHACHAPI VALLEY HOSP. DIST. 	4346.0 	0.051 	0.974 	1.025 	$ 14,357 

 50447 	VILLA VIEW COMMUNITY HOSPITAL 	7531.8 	0.068 	0.374 	0.442 	$ 16,397 

 50448 	RIDGECREST REGIONAL HOSPITAL 	4346.0 	0.045 	0.442 	0.487 	$ 14,357 

 50449 	VALLEY COMMUNITY HOSPITAL 	4530.4 	0.059 	0.240 	0.299 	$ 15,110 

 50454 	UC SAN FRANCISCO MEDICAL CENTER 	9962.8 	0.033 	0.324 	0.357 	$ 18,838 

 50455 	SAN JOAQUIN COMMUNITY HOSPITAL 	5021.5 	0.022 	0.352 	0.374 	$ 14,357 

 50456 	GARDENA PHYSICIANS HOSP. INC. 	5057.3 	0.048 	0.694 	0.742 	$ 16,619 

 50457 	ST. MARY MEDICAL CENTER 	6681.9 	0.033 	0.272 	0.305 	$ 18,840 

 50464 	DOCTORS MEDICAL CENTER OF MODESTO 	5775.5 	0.018 	0.361 	0.379 	$ 14,907 

 50468 	MEMORIAL HOSPITAL OF GARDENA 	6576.1 	0.022 	0.310 	0.332 	$ 16,620 

 50469 	COLORADO RIVER MEDICAL CENTER 	4817.5 	0.022 	0.777 	0.799 	$ 15,661 

 50470 	SELMA DISTRICT HOSPITAL 	4618.3 	0.022 	0.615 	0.637 	$ 14,607 

 50471 	GOOD SAMARITAN HOSPITAL 	6314.2 	0.016 	0.293 	0.309 	$ 16,614 

 50476 	SUTTER LAKESIDE HOSPITAL 	4346.0 	0.040 	0.418 	0.458 	$ 14,357 

 50477 	MIDWAY HOSPITAL MEDICAL CENTER 	5687.7 	0.052 	0.234 	0.286 	$ 16,661 

 50478 	SANTA YNEZ VALLEY COTTAGE HOSPITAL 	4574.9 	0.053 	0.424 	0.477 	$ 15,112 

 50481 	WEST HILLS REG MEDICAL CENTER 	5065.2 	0.025 	0.249 	0.274 	$ 16,628 

 50482 	JEROLD PHELPS COMMUNITY HOSPITAL 	4730.9 	0.029 	0.661 	0.690 	$ 14,357 

 50485 	LONG BEACH MEMORIAL MEDICAL CENTER 	6475.2 	0.038 	0.401 	0.439 	$ 16,627 

 50488 	EDEN MEDICAL CENTER 	6177.8 	0.026 	0.327 	0.353 	$ 19,642 

 50491 	SANTA ANA HOSPITAL MEDICAL CENTER 	5078.2 	0.129 	0.371 	0.500 	$ 16,056 

 50492 	CLOVIS COMMUNITY HOSPITAL 	4663.9 	0.087 	0.400 	0.487 	$ 14,606 

 50494 	TAHOE FOREST HOSPITAL 	4996.6 	0.050 	0.539 	0.589 	$ 16,507 

 50496 	MT. DIABLO MEDICAL CENTER 	6186.0 	0.032 	0.265 	0.297 	$ 19,644 

 50497 	DOS PALOS MEMORIAL HOSPITAL 	4303.8 	0.039 	0.365 	0.404 	$ 14,357 

 50498 	SUTTER AUBURN FAITH HOSPITAL 	5033.6 	0.026 	0.320 	0.346 	$ 16,545 

 50502 	ST. VINCENT MEDICAL CENTER 	6665.5 	0.031 	0.297 	0.328 	$ 16,630 

 50503 	SCRIPPS MEMORIAL HOSPITAL-ENCINITAS 	4979.7 	0.031 	0.302 	0.333 	$ 16,374 

 50506 	SIERRA VISTA REGIONAL MED CTR 	4935.5 	0.027 	0.253 	0.280 	$ 15,191 

 50510 	KFH - SAN RAFAEL 	5977.4 	0.039 	0.361 	0.400 	$ 19,643 

 50512 	KFH - HAYWARD 	6050.0 	0.039 	0.361 	0.400 	$ 19,643 

 50515 	KAISER FOUND. HOSPITALS -SAN DIEGO 	5093.3 	0.039 	0.361 	0.400 	$ 16,376 

 50516 	MERCY SAN JUAN HOSPITAL 	5633.1 	0.025 	0.243 	0.268 	$ 16,551 

 50517 	VICTOR VALLEY COMMUNITY HOSPITAL 	5987.7 	0.030 	0.281 	0.311 	$ 15,689 

 50522 	DOCTORS HOSPITAL OF PINOLE 	5974.6 	0.023 	0.261 	0.284 	$ 19,642 

 50523 	SUTTER DELTA MEDICAL CENTER 	7027.7 	0.029 	0.303 	0.332 	$ 19,643 

 50526 	HUNTINGTON BEACH MEDICAL CENTER 	5932.9 	0.033 	0.248 	0.281 	$ 16,001 

 50528 	MEMORIAL HOSPITAL-LOS BANOS 	4538.5 	0.031 	0.292 	0.323 	$ 14,357 

 50531 	BELLFLOWER MEDICAL CENTER 	7475.7 	0.015 	0.258 	0.273 	$ 16,616 

 50534 	JOHN F. KENNEDY MEMORIAL HOSP. 	6752.0 	0.025 	0.212 	0.237 	$ 15,692 

 50535 	COASTAL COMMUNITIES HOSPITAL 	7877.0 	0.038 	0.320 	0.358 	$ 15,996 

 50537 	SUTTER DAVIS HOSPITAL 	4407.9 	0.080 	0.284 	0.364 	$ 14,703 

 50539 	REDBUD COMMUNITY HOSPITAL 	4346.0 	0.036 	0.359	 0.395 	$ 14,357 

 50541 	KFH - REDWOOD CITY 	5976.1 	0.039 	0.361 	0.400 	$ 19,643 

 50542 	KERN VALLEY HOSPITAL DISTRICT 	4346.0 	0.083 	0.447 	0.530 	$ 14,358 

 50543 	COLLEGE HOSPITAL COSTA MESA 	7210.1 	0.026 	0.260 	0.286 	$ 15,990 

 50545 	LANTERMAN DEVELOPMENTAL CENTER 	5281.0 	0.039 	0.687 	0.726 	$ 16,615 

 50546 	PORTERVILLE DEVELOPMENTAL CENTER 	4303.8 	0.014 	0.365 	0.379 	$ 14,357 

 50547 	SONOMA DEVELOPMENTAL CENTER 	5387.6 	0.039 	0.782 	0.821 	$ 17,218 

 50549 	LOS ROBLES MEDICAL CENTER 	4977.9 	0.029 	0.389 	0.418 	$ 16,586 

 50550 	CHAPMAN MEDICAL CENTER 	5626.9 	0.040 	0.315 	0.355 	$ 15,999 

 50551 	LOS ALAMITOS MEDICAL CTR. 	4875.4 	0.027 	0.255 	0.282 	$ 15,992 

 50552 	MOTION PICTURE AND TELEVISION FUND  	5057.3 	0.082 	0.946 	1.028 	$ 16,624 

 50557 	MEMORIAL HOSPITAL MODESTO 	5018.9 	0.017 	0.211 	0.228 	$ 14,907 

 50559 	DANIEL FREEMAN MARINA HOSPITAL 	5069.8 	0.035 	0.291 	0.326 	$ 16,634 

 50561 	KAISER FOUND. HOSPITAL - WEST LA 	5088.7 	0.039 	0.361 	0.400 	$ 16,631 

 50564 	PACIFICA HOSPITAL 	4863.3 	0.064 	0.446 	0.510 	$ 16,004 

 50566 	EASTERN PLUMAS DISTRICT HOSP 	4346.0 	0.032 	0.387 	0.419 	$ 14,357 

 50567 	MISSION HOSP REGIONAL MEDICAL CTR 	4873.4 	0.035 	0.274 	0.309 	$ 15,999 

 50568 	MADERA COMMUNITY HOSPITAL 	5863.2 	0.020 	0.470 	0.490 	$ 14,607 

 50569 	MENDOCINO COAST DISTRICT HOSPITAL 	5133.1 	0.053 	0.598 	0.651 	$ 16,958 

 50570 	FOUNTAIN VALLEY REG MEDICAL CENTER 	6380.7 	0.013 	0.273 	0.286 	$ 15,973 

 50571 	SUBURBAN MEDICAL CENTER 	8142.0 	0.038 	0.230 	0.268 	$ 16,647 

 50573 	EISENHOWER MEMORIAL HOSPITAL 	4779.7 	0.064 	0.328 	0.392 	$ 15,716 

 50575 	TRI-CITY REGIONAL MEDICAL CENTER 	6475.1 	0.039 	0.365 	0.404 	$ 16,630 

 50577 	SANTA MARTA HOSPITAL 	7722.8 	0.023 	0.458 	0.481 	$ 16,613 

 50578 	MARTIN LUTHER KING, JR./DREW MEDICAL 	10471.7 	0.019 	0.338 	0.357 	$ 16,615 

 50579 	CENTURY CITY HOSP 	5317.2 	0.055 	0.235 	0.290 	$ 16,664 

 50580 	LAPALMA INTERCOMMUNITY HOSPITAL 	5889.6 	0.033 	0.257 	0.290 	$ 15,999 

 50581 	LAKEWOOD REGIONAL MED. CTR. 	5585.0 	0.031 	0.250 	0.281 	$ 16,635 

 50583 	ALVARADO COMMUNITY HOSPITAL 	5628.4 	0.035 	0.245 	0.280 	$ 16,386 

 50584 	US FAMILYCARE MEDICAL CENTER 	5954.8 	0.043 	0.239 	0.282 	$ 15,712 

 50585 	SAN CLEMENTE HOSPITAL 	4863.3 	0.094 	0.510 	0.604 	$ 16,016 

 50586 	CHINO VALLEY MEDICAL CENTER 	5966.5 	0.035 	0.329 	0.364 	$ 15,689 

 50588 	SAN DIMAS COMMUNITY HOSPITAL 	5057.3 	0.028 	0.235 	0.263 	$ 16,634 

 50589 	PLACENTIA LINDA COMMUNITY HOSPITAL 	4872.5 	0.041 	0.311 	0.352 	$ 16,000 

 50590 	METHODIST HOSPITAL OF SACRAMENTO 	6464.5 	0.028 	0.356 	0.384 	$ 16,544 

 50591 	MONTEREY PARK HOSPITAL 	7802.9 	0.036 	0.222 	0.258 	$ 16,646 

 50592 	BREA COMMUNITY HOSPITAL 	4876.0 	0.029 	0.285 	0.314 	$ 15,991 

 50594 	WESTERN MEDICAL CENTER ANAHEIM 	6282.6 	0.062 	0.302 	0.364 	$ 16,022 

 50597 	FOOTHILL PRESBYTERIAN HOSPITAL 	5389.1 	0.031 	0.398 	0.429 	$ 16,622 

 50598 	MISSION BAY MEMORIAL HOSPITAL 	4979.7 	0.027 	0.352 	0.379 	$ 16,366 

 50599 	UC DAVIS MEDICAL CENTER 	9301.9 	0.039 	0.361 	0.400 	$ 16,553 

 50601 	TARZANA ENCINO REGIONAL MED CTR 	5670.2 	0.028 	0.361 	0.389 	$ 16,622 

 50603 	SADDLEBACK MEMORIAL MEDICAL CENTER 	4871.2 	0.026 	0.387 	0.413 	$ 15,979 

 50604 	KFH - SANTA TERESA 	5536.5 	0.039 	0.361 	0.400 	$ 18,196 

 50608 	DELANO REGIONAL MEDICAL CNT. 	6006.5 	0.029 	0.266 	0.295 	$ 14,357 

 50609 	KAISER FOUNDATION HOSPITALS -ANAHEIM 	5468.5 	0.039 	0.361 	0.400 	$ 16,631 

 50613 	SETON COASTSIDE HOSPITAL 	5729.5 	0.039 	0.365 	0.404 	$ 18,838 

 50615 	GREATER EL MONTE COMMUNITY HOSPITAL 	8024.6 	0.048 	0.244 	0.292 	$ 16,655 

 50616 	ST. JOHN'S PLEASANT VALLEY HOSPITAL 	4494.1 	0.027 	0.347 	0.374 	$ 14,992 

 50618 	BEAR VALLEY COMMUNITY HOSPITAL 	4817.5 	0.042 	0.645 	0.687 	$ 15,674 

 50623 	HIGH DESERT HOSPITAL 	5281.0 	0.027 	0.486 	0.513 	$ 16,615 

 50624 	HENRY MAYO NEWHALL MEMORIAL HOSPITAL 	5067.0 	0.051 	0.302 	0.353 	$ 16,647 

 50625 	CEDARS-SINAI MEDICAL CENTER 	6622.9 	0.025 	0.275 	0.300 	$ 16,626 

 50630 	INLAND VALLEY REGIONAL MEDICAL CENTER 	4770.8 	0.047 	0.358 	0.405 	$ 15,697 

 50633 	TWIN CITIES COMMUNITY HOSPITAL 	4553.8 	0.024 	0.235 	0.259 	$ 15,191 

 50636 	POMERADO HOSPITAL 	4979.7 	0.043 	0.347 	0.390 	$ 16,380 

 50638 	SOUTHERN MONO HEALTH CARE DISTRICT 	4346.0 	0.098 	0.863 	0.961 	$ 14,357 

 50641 	EAST LA DOCTOR'S HOSPITAL 	7814.3 	0.041 	0.389 	0.430 	$ 16,630 

 50643 	HOSPITAL NAME NOT AVAILABLE 	5710.0 	0.036 	0.606 	0.642 	$  3,953 

 50644 	LOS ANGELES METROPOLITAN MED CNTR 	8106.8 	0.039 	0.234 	0.273 	$ 16,647 

 50662 	AGNEWS DEVELOPMENTAL CENTER 	5778.9 	0.039 	0.906 	0.945 	$ 18,184 

 50663 	LOS ANGELES COMMUNITY HOSPITAL 	8162.8 	0.018 	0.327 	0.345 	$ 16,615 

 50667 	NELSON M. HOLDERMAN 	5042.8 	0.024 	1.182 	1.206 	$ 16,833 

 50668 	LAGUNA HONDA HOSPITAL 	5729.5 	0.022 	0.998 	1.020 	$ 18,826 

 50670 	NORTH COAST HEALTH CARE CENTERS 	5159.2 	0.058 	0.371 	0.429 	$ 17,201 

 50674 	KFH - SOUTH SACRAMENTO 	5474.7 	0.039 	0.361 	0.400 	$ 16,553 

 50676 	SURPRISE VALLEY COMM HOSPITAL 	4346.0 	0.062 	0.804 	0.866 	$ 14,357 

 50677 	KAISER FOUND. HOSP. - WOODLAND HILLS 	5392.0 	0.039 	0.361 	0.400 	$ 16,631 

 50678 	ORANGE COAST MEMORIAL MEDICAL CENTER 	4867.4 	0.033 	0.452 	0.485 	$ 15,981 

 50680 	VACAVALLEY HOSPITAL 	5042.8 	0.034 	0.218 	0.252 	$ 16,815 

 50682 	KINGSBURG MEDICAL CENTER 	4572.4 	0.086 	0.361 	0.447 	$ 14,606 

 50684 	MENIFEE VALLEY MEDICAL CENTER 	4770.8 	0.048 	0.265 	0.313 	$ 15,712 

 50685 	SOUTH VALLEY HOSPITAL 	5534.0 	0.027 	0.427 	0.454 	$ 18,188 

 50686 	KAISER FOUND. HOSPITALS - RIVERSIDE 	5140.1 	0.039 	0.361 	0.400 	$ 15,993 

 50688 	SAINT LOUISE HOSPITAL 	5534.0 	0.089 	0.417 	0.506 	$ 18,214 

 50689 	SAN RAMON REG. MEDICAL CENTER 	5981.9 	0.087 	0.308 	0.395 	$ 19,651 

 50690 	KFH - SANTA ROSA 	5161.2 	0.039 	0.361 	0.400 	$ 17,208 

 50693 	IRVINE MEDICAL CENTER 	5021.5 	0.129 	0.300 	0.429 	$ 16,073 

 50694 	MORENO VALLEY COMMUNITY HOSPITAL 	4981.7 	0.063 	0.278 	0.341 	$ 15,725 

 50695 	ST. DOMINIC'S HOSPITAL 	4540.3 	0.072 	0.380 	0.452 	$ 15,144 

 50696 	USC UNIVERSITY HOSPITAL	 6232.7 	0.071 	0.278 	0.349 	$ 16,669 

 50697 	PATIENT'S HOSPITAL OF REDDING 	4858.2 	0.076 	0.486 	0.562 	$ 16,202 

 50699 	REDDING SPECIALTY HOSPITAL 	4858.2 	0.060 	0.533 	0.593 	$ 16,205 

 50701 	SHARP HEALTHCARE MURRIETA 	4979.7 	0.045 	0.370 	0.415 	$ 16,380 

 50704 	MISSION COMMUNITY HOSPITAL 	7949.1 	0.030 	0.369 	0.399 	$ 16,623 

 50707 	RECOVERY INN OF MENLO PARK 	5729.5 	0.113 	0.749 	0.862 	$ 18,844 

 50708 	FRESNO SURGERY CENTER 	4378.7 	0.100 	0.498 	0.598 	$ 14,607 

 50709 	DESERT VALLEY HOSPITAL 	4770.8 	0.057 	0.312 	0.369 	$ 15,712 

 50710 	KFH - FRESNO 	4379.7 	0.036 	0.361 	0.397 	$ 14,607 

 50713 	LINCOLN HOSPITAL MEDICAL CENTER 	5281.0 	0.036 	0.491 	0.527 	$ 16,621 

 50714 	SUTTER MATERNITY & SURGERY CENTER 	5726.4 	0.039 	0.776 	0.815 	$ 19,120 

 50717 	RANCHO LOS AMIGOS NATL. REHAB. CTR. 	7608.2 	0.040 	0.405 	0.445 	$ 16,628 

 50718 	VALLEY PLAZA DOCTORS HOSPITAL 	4981.7 	0.036 	0.361 	0.397 	$ 15,687 

 50719 	THE HEART HOSPITAL 	4770.8 	0.039 	0.365 	0.404 	$ 15,689 

 50720 	TUSTIN HOSPITAL & MEDICAL CENTER 	5078.2 	0.039 	0.361 	0.400 	$ 15,993 

 50721 	HOSPITAL NAME NOT AVAILABLE 	5057.3 	0.036 	0.382 	0.418 	$ 16,627 

 50722 	HOSPITAL NAME NOT AVAILABLE 	4979.7 	0.036 	0.365 	0.401 	$ 16,373 

 50723 	HOSPITAL NAME NOT AVAILABLE 	5057.3 	0.036 	0.365 	0.401 	$ 16,628 

Appendix B.  DRG Weights and Revised Drg Weights 2001 Rates (California revisions shown in italics incorporate the DWC Revised Ratios)

 		HCFA 2001 DRG	DWC Revised 	DWC Revised 	Geometric Mean 
DRG Number 	Description	Weights 	Ratio 	Weight 	LOS 

	1	CRANIOTOMY AGE >17 EXCEPT FOR 
		TRAUMA 	3.097 	1.000 	3.097 	6.3 
	2	CRANIOTOMY FOR TRAUMA AGE >17 	3.1142 	1.000 	3.1142 	7.3 
	3	CRANIOTOMY AGE 0-17 	1.9629 	1.000 	1.9629 	12.7 
	4	SPINAL PROCEDURES 	2.2918 	0.628 	1.4399 	4.8 
	5	EXTRACRANIAL VASCULAR 
		PROCEDURES	1.4321 	1.000 	1.4321 	2.3 
	6	CARPAL TUNNEL RELEASE 	0.8246 	1.000 	0.8246 	2.2 
	7	PERIPH & CRANIAL NERVE & OTHER 
		NERV SYST PROC W CC 	2.5919 	1.000 	2.5919 	6.9 
	8	PERIPH & CRANIAL NERVE & OTHER NERV 
		SYST PROC W/O CC 	1.3948 	0.808 	1.1273 	2.1 
	9	SPINAL DISORDERS & INJURIES 	1.3134 	1.000 	1.3134 	4.7 

	10	NERVOUS SYSTEM NEOPLASMS W CC 	1.2273 	1.000 	1.2273 	4.9 
	11	NERVOUS SYSTEM NEOPLASMS W/O CC	0.8345 	1.000 	0.8345 	3.1 
	12	DEGENERATIVE NERVOUS SYSTEM 
		DISORDERS 	0.8925 	1.000 	0.8925 	4.5 
	13	MULTIPLE SCLEROSIS & CEREBELLAR 
		ATAXIA 	0.7644 	1.000 	0.7644 	4.1 
	14	SPECIFIC CEREBROVASCULAR DISORDERS 
		EXCEPT TIA 	1.207 	1.000 	1.2070 	4.7

	15	TRANSIENT ISCHEMIC ATTACK & 
		PRECEREBRAL OCCLUSIONS 	0.748 	1.000 	0.7480 	2.9 
	16	NONSPECIFIC CEREBROVASCULAR 
		DISORDERS W CC 	1.1652 	1.000 	1.1652 	4.7 
	17	NONSPECIFIC CEREBROVASCULAR 
		DISORDERS W/O CC 	0.6539 	1.000 	0.6539 	2.6 
	18	CRANIAL & PERIPHERAL NERVE 
		DISORDERS W CC 	0.96 	1.000 	0.9600 	4.3 

	19	CRANIAL & PERIPHERAL NERVE 
		DISORDERS W/O CC 	0.6963 	1.000 	0.6963 	2.9 
	20	NERVOUS SYSTEM INFECTION EXCEPT 
		VIRAL MENINGITIS 	2.7744 	1.000 	2.7744 	7.9 
	21	VIRAL MENINGITIS 	1.4966 	1.000 	1.4966 	5.2 
	22	HYPERTENSIVE ENCEPHALOPATHY 	1.0082 	1.000 	1.0082 	3.8 
	23	NONTRAUMATIC STUPOR & COMA 	0.8027 	1.000 	0.8027 	3.2 
	24	SEIZURE & HEADACHE AGE >17 W CC 	0.9914 	1.000 	0.9914 	3.7 

	25	SEIZURE & HEADACHE AGE >17 W/O CC 	0.6043 	0.749 	0.4523 	2.6 
	26	SEIZURE & HEADACHE AGE 0-17 	0.6441 	1.000 	0.6441 	2.4 
	27	TRAUMATIC STUPOR & COMA, 
		COMA >1 HR 	1.2912 	1.000 	1.2912 	3.2 
	28	TRAUMATIC STUPOR & COMA, COMA 
		< 1 HR AGE >17 W CC 	1.3102 	1.000 	1.3102 	4.5 
	29	TRAUMATIC STUPOR & COMA, COMA 
		< 1 HR AGE >17 W/O CC 	0.7015 	1.003 	0.7033 	2.8 
	30	TRAUMATIC STUPOR & COMA, COMA 
		< 1HR AGE 0-17	0.332	1.000	0.3320 	2 
	31	CONCUSSION AGE >17 W CC 	0.8715 	1.000 	0.8715 	3.1 

	32	CONCUSSION AGE >17 W/O CC 	0.5422 	0.875 	0.4744 	2.1 
	33	CONCUSSION AGE 0-17 	0.2086 	1.000 	0.2086 	1.6 
	34	OTHER DISORDERS OF NERVOUS SYSTEM 
		W CC 	1.0099 	1.000 	1.0099 	3.8 
	35	OTHER DISORDERS OF NERVOUS SYSTEM 
		W/O CC 	0.6027 	1.000 	0.6027 	2.7 
	36	RETINAL PROCEDURES 	0.6639 	1.000 	0.6639 	1.2 
	37	ORBITAL PROCEDURES 	1.0016 	1.000 	1.0016 	2.6 
	38	PRIMARY IRIS PROCEDURES 	0.4833 	1.000 	0.4833 	1.8 
	39	LENS PROCEDURES WITH OR WITHOUT 
		VITRECTOMY 	0.5778 	1.000 	0.5778 	1.5 

	40	EXTRAOCULAR PROCEDURES EXCEPT ORBIT 
		AGE >17 	0.8635 	1.000 	0.8635 	2.3 
	41	EXTRAOCULAR PROCEDURES EXCEPT ORBIT 
		AGE 0-17 	0.338 	1.000 	0.3380 	1.6 
	42	INTRAOCULAR PROCEDURES EXCEPT RETINA, 
		IRIS & LENS 	0.6478 	1.066 	0.6906 	1.6 
	43	HYPHEMA 	0.4977 	1.000 	0.4977 	2.6 
	44	ACUTE MAJOR EYE INFECTIONS 	0.6337 	1.000 	0.6337 	4.1 

	45	NEUROLOGICAL EYE DISORDERS 	0.7022 	1.000 	0.7022 	2.7 
	46	OTHER DISORDERS OF THE EYE AGE >17 W CC 	0.7749 	1.000 	0.7749 	3.5 

	47	OTHER DISORDERS OF THE EYE AGE >17 W/O CC 	0.5085 	1.000 	0.5085 	2.5 
	48	OTHER DISORDERS OF THE EYE AGE 0-17 	0.2977 	1.000 	0.2977 	2.9 
	49	MAJOR HEAD & NECK PROCEDURES 	1.8301 	1.000 	1.8301 	3.5 

	50	SIALOADENECTOMY 	0.8537 	1.000 	0.8537 	1.6 
	51	SALIVARY GLAND PROCEDURES EXCEPT 
		SIALOADENECTOMY 	0.7934 	1.000 	0.7934 	1.8 

	52	CLEFT LIP & PALATE REPAIR 	0.841 	1.000 	0.8410 	1.6 
	53	SINUS & MASTOID PROCEDURES AGE >17 	1.2118 	1.000 	1.2118 	2.3 
	54	SINUS & MASTOID PROCEDURES AGE 0-17 	0.4826 	1.000 	0.4826 	3.2 

	55	MISCELLANEOUS EAR, NOSE, MOUTH & 
		THROAT PROCEDURES 	0.9039 	1.000 	0.9039 	1.9 
	56	RHINOPLASTY 	0.9451 	1.000 	0.9451 	2.1 
	57	T&A PROC, EXCEPT TONSILLECTOMY &/OR 
		ADENOIDECTOMY ONLY, AGE >17 	1.0704 	1.000 	1.0704 	2.5 

	58	T&A PROC, EXCEPT TONSILLECTOMY &/OR 
		ADENOIDECTOMY ONLY, AGE 0-17 	0.274 	1.000 	0.2740 	1.5 
	59	TONSILLECTOMY &/OR ADENOIDECTOMY 
		ONLY, AGE >17 	0.6943 	1.000 	0.6943 	1.8 
	60	TONSILLECTOMY &/OR ADENOIDECTOMY ONLY, 
		AGE 0-17 	0.2087 	1.000 	0.2087 	1.5 
	61	MYRINGOTOMY W TUBE INSERTION AGE >17 	1.266 	1.000 	1.2660 	2.8 

	62	MYRINGOTOMY W TUBE INSERTION AGE 0-17 	0.2955 	1.000 	0.2955 	1.3 
	63	OTHER EAR, NOSE, MOUTH & THROAT O.R. 
		PROCEDURES 	1.3402 	0.875 	1.1731 	3
	64	EAR, NOSE, MOUTH & THROAT MALIGNANCY 	1.2288 	1.000 	1.2288 	4.3 

	65	DYSEQUILIBRIUM 	0.5385 	1.000 	0.5385 	2.3 
	66	EPISTAXIS 	0.559 	1.000 	0.5590 	2.5 
	67	EPIGLOTTITIS 	0.8105 	1.000 	0.8105 	2.8 
	68	OTITIS MEDIA & URI AGE >17 W CC 	0.675 	1.000 	0.6750 	3.4 
	69	OTITIS MEDIA & URI AGE >17 W/O CC 	0.5152 	1.000 	0.5152 	2.7 

	70	OTITIS MEDIA & URI AGE 0-17 	0.4628 	1.000 	0.4628 	2.4 
	71	LARYNGOTRACHEITIS 	0.7712 	1.000 	0.7712 	3
	72	NASAL TRAUMA & DEFORMITY 	0.6428 	1.000 	0.6428 	2.6 
	73	OTHER EAR, NOSE, MOUTH & THROAT 
		DIAGNOSES AGE >17 	0.7777 	1.000 	0.7777 	3.3 
	74	OTHER EAR, NOSE, MOUTH & THROAT
		DIAGNOSES AGE 0-17 	0.3358 	1.000 	0.3358 	2.1 
	75	MAJOR CHEST PROCEDURES 	3.1331 	1.000 	3.1331 	7.8 
	76	OTHER RESP SYSTEM O.R. PROCEDURES W CC 	2.7908 	1.000 	2.7908 	8.4 
	77	OTHER RESP SYSTEM O.R. PROCEDURES 
		W/O CC 	1.1887 	1.000 	1.1887 	3.5 

	78	PULMONARY EMBOLISM 	1.3698 	1.000 	1.3698 	6
	79	RESPIRATORY INFECTIONS & INFLAMMATIONS 
		AGE >17 W CC 	1.6501 	1.000 	1.6501 	6.6 
	80	RESPIRATORY INFECTIONS & INFLAMMATIONS 
		AGE >17 W/O CC 	0.9373 	1.000 	0.9373 	4.7 
	81	RESPIRATORY INFECTIONS & INFLAMMATIONS 
		AGE 0-17 	1.5204 	1.000 	1.5204 	6.1 
	82	RESPIRATORY NEOPLASMS 	1.3799 	1.000 	1.3799 	5.2 
	83	MAJOR CHEST TRAUMA W CC 	0.9808 	1.000 	0.9808 	4.4 
	84	MAJOR CHEST TRAUMA W/O CC 	0.5539 	1.000 	0.5539 	2.8 

	85	PLEURAL EFFUSION W CC 	1.2198 	1.000 	1.2198 	4.9 
	86	PLEURAL EFFUSION W/O CC 	0.6984 	1.000 	0.6984 	2.9 
	87	PULMONARY EDEMA & RESPIRATORY 
		FAILURE 	1.3781 	1.000 	1.3781 	4.8 
	88	CHRONIC OBSTRUCTIVE PULMONARY 
		DISEASE 	0.9317 	1.000 	0.9317 	4.2 
	89	SIMPLE PNEUMONIA & PLEURISY AGE >17 
		W CC 	1.0647 	1.000 	1.0647 	5
	90	SIMPLE PNEUMONIA & PLEURISY AGE >17 
		W/O CC 	0.659 	1.000 	0.6590 	3.6 
	91	SIMPLE PNEUMONIA & PLEURISY AGE 0-17 	0.689 	1.000 	0.6890	2.8 
	92	INTERSTITIAL LUNG DISEASE W CC 	1.1863 	1.000 	1.1863 	5 

	93	INTERSTITIAL LUNG DISEASE W/O CC 	0.7309 	1.000 	0.7309 	3.3 
	94	PNEUMOTHORAX W CC 	1.1704 	1.000 	1.1704 	4.8 
	95	PNEUMOTHORAX W/O CC 	0.6098 	1.000 	0.6098 	3 
	96	BRONCHITIS & ASTHMA AGE >17 W CC 	0.7871 	1.000 	0.7871 	3.9 
	97	BRONCHITIS & ASTHMA AGE >17 W/O CC 	0.5873 	1.000 	0.5873 	3.1 
	98	BRONCHITIS & ASTHMA AGE 0-17 	0.8768 	1.000 	0.8768 	3.2 
	99	RESPIRATORY SIGNS & SYMPTOMS W CC 	0.7117	1.000 	0.7117 	2.5 
	100	RESPIRATORY SIGNS & SYMPTOMS W/O CC 	0.5437 	1.000 	0.5437 	1.8 
	101	OTHER RESPIRATORY SYSTEM DIAGNOSES 
		W CC 	0.8563 	1.000 	0.8563 	3.3 
	102	OTHER RESPIRATORY SYSTEM DIAGNOSES 
		W/O CC 	0.555 	1.000 	0.5550 	2.1 

	103	HEART TRANSPLANT 	excluded 	excluded 	excluded 	excluded 

	104	CARDIAC VALVE PROCEDURES W CARDIAC 
		CATH 	7.1843 	1.000 	7.1843 	8.9 

	105	CARDIAC VALVE PROCEDURES W/O CARDIAC 
		CATH 	5.6567 	1.000 	5.6567 	7.4 

	106	CORONARY BYPASS W CARDIAC CATH 	7.5203 	1.000 	7.5203 	9.3 
	107	CORONARY BYPASS W/O CARDIAC CATH 	5.3762 	1.000 	5.3762 	9.2 

	108	OTHER CARDIOTHORACIC PROCEDURES 	5.6525 	1.000 	5.6525 	8 
	109	CORONARY BYPASS W/O PTCA OR CARDIAC 
		CATH 	4.0198 	1.000 	4.0198 	6.8 
	110	MAJOR CARDIOVASCULAR PROCEDURES 
		W CC 	4.1358 	1.000 	4.1358 	7.1 

	111	MAJOR CARDIOVASCULAR PROCEDURES 
		W/O CC 	2.241 	1.000 	2.2410 	4.7 
	112	PERCUTANEOUS CARDIOVASCULAR 
		PROCEDURES 	1.8677 	0.841 	1.5705 	2.6 

	113	AMPUTATION FOR CIRC SYSTEM DISORDERS 
		EXCEPT UPPER LIMB & TOE 	2.7806 	1.000 	2.7806 	9.8 

	114	UPPER LIMB & TOE AMPUTATION FOR CIRC 
		SYSTEM DISORDERS 	1.5656 	1.000 	1.5656 	6
	115	PERM PACE IMPLNT W AMI,HRT FAIL OR SHOCK 
		OR AICD LEAD OR GEN PROC 	3.4711 	1.000 	3.4711 	6

	116	OTH PERM CARDIAC PACEMAKER IMPLANT OR 
		PTCA W CORONARY ART STENT 	2.419 	1.000 	2.4190 	2.6 
	117	CARDIAC PACEMAKER REVISION EXCEPT 
		DEVICE REPLACEMENT 	1.2966 	1.000 	1.2966 	2.6 
	118	CARDIAC PACEMAKER DEVICE REPLACEMENT 	1.4939 	1.000 	1.4939 	1.9 

	119	VEIN LIGATION & STRIPPING 	1.26 	1.000 	1.2600 	2.9 

	120	OTHER CIRCULATORY SYSTEM O.R. 
		PROCEDURES 	2.0352 	1.000 	2.0352 	4.9 
	121	CIRCULATORY DISORDERS W AMI & MAJOR 
		COMP DISCH ALIVE 	1.6194 	1.000 	1.6194 	5.5 
	122	CIRCULATORY DISORDERS W AMI W/O MAJOR 
		COMP DISCH ALIVE 	1.0884 	1.000 	1.0884 	3.3 
	123	CIRCULATORY DISORDERS W AMI, EXPIRED 	1.5528 	1.000 	1.5528 	2.8 
	124	CIRCULATORY DISORDERS EXCEPT AMI, W 
		CARD CATH & COMPLEX DIAG 	1.4134 	1.000 	1.4134 	3.3 

	125	CIRCULATORY DISORDERS EXCEPT AMI, W CARD 
		CATH W/O COMPLEX DIAG 	1.0606 	1.000 	1.0606 	2.2 
	126	ACUTE & SUBACUTE ENDOCARDITIS 	2.5379 	1.000 	2.5379 	9.3 
	127	HEART FAILURE & SHOCK 	1.013 	1.000 	1.0130	 4.2 
	128	DEEP VEIN THROMBOPHLEBITIS 	0.7651 	1.000 	0.7651 	5
	129	CARDIAC ARREST, UNEXPLAINED 	1.0968 	1.000 	1.0968	1.8 

	130	PERIPHERAL VASCULAR DISORDERS W CC 	0.9471 	1.000 	0.9471	4.7 

	131	PERIPHERAL VASCULAR DISORDERS W/O CC 	0.5898 	1.000 	0.5898 	3.6 
	132	ATHEROSCLEROSIS W CC 	0.6707 	1.000 	0.6707 	2.4 
	133	ATHEROSCLEROSIS W/O CC	0.5663 	1.000 	0.5663 	1.9 
	134	HYPERTENSION 	0.5917 	1.000 	0.5917 	2.6 
	135	CARDIAC CONGENITAL & VALVULAR 
		DISORDERS AGE >17 W CC 	0.9083 	1.000 	0.9083 	3.3 
	136	CARDIAC CONGENITAL & VALVULAR 
		DISORDERS AGE >17 W/O CC 	0.6065 	1.000 	0.6065 	2.2 

	137	CARDIAC CONGENITAL & VALVULAR 
		DISORDERS AGE 0-17 	0.8192 	1.000 	0.8192 	3.3 
	138	CARDIAC ARRHYTHMIA & CONDUCTION 
		DISORDERS W CC 	0.8291 	1.000 	0.8291 	3.1 
	139	CARDIAC ARRHYTHMIA & CONDUCTION 
		DISORDERS W/O CC 	0.5141 	1.000 	0.5141	 2
	140	ANGINA PECTORIS 	0.574 	0.783 	0.4497 	2.2 

	141	SYNCOPE & COLLAPSE W CC 	0.7219 	1.000 	0.7219 	2.9 
	142	SYNCOPE & COLLAPSE W/O CC 	0.5552 	1.000 	0.5552 	2.2 
	143	CHEST PAIN 	0.5402 	0.842 	0.4547 	1.8 
	144	OTHER CIRCULATORY SYSTEM DIAGNOSES 
		W CC 	1.1668 	1.000 	1.1668 	3.8 
	145	OTHER CIRCULATORY SYSTEM DIAGNOSES 
		W/O CC 	0.6322 	1.000 	0.6322 	2.2 
	146	RECTAL RESECTION W CC 	2.743 	1.000 	2.7430 	8.9 
	147	RECTAL RESECTION W/O CC 	1.6221 	1.000 	1.6221 	6

	148	MAJOR SMALL & LARGE BOWEL PROCEDURES 
		W CC 	3.4347 	1.000 	3.4347 	10.1 
	149	MAJOR SMALL & LARGE BOWEL PROCEDURES 
		W/O CC 	1.5667 	1.000 	1.5667 	6.1 
	150	PERITONEAL ADHESIOLYSIS W CC 	2.8523 	1.000 	2.8523 	9.1 
	151	PERITONEAL ADHESIOLYSIS W/O CC 	1.3427 	1.000 	1.3427 	4.8 
	152	MINOR SMALL & LARGE BOWEL PROCEDURES 
		W CC 	1.9462 	1.000 	1.9462 	6.8 
	153	MINOR SMALL & LARGE BOWEL PROCEDURES 
		W/O CC 	1.208 	1.000 	1.2080 	4.9 
	154	STOMACH, ESOPHAGEAL & DUODENAL 
		PROCEDURES AGE >17 W CC 	4.1475 	1.000 	4.1475 	10.1 
	155	STOMACH, ESOPHAGEAL & DUODENAL 
		PROCEDURES AGE >17 W/O CC 	1.3751 	1.000 	1.3751 	3.3 
	156	STOMACH, ESOPHAGEAL & DUODENAL 
		PROCEDURES AGE 0-17 	0.8436 	1.000 	0.8436 	6
	157	ANAL & STOMAL PROCEDURES W CC 	1.2388 	1.000 	1.2388 	3.9 

	158	ANAL & STOMAL PROCEDURES W/O CC 	0.6638 	1.000 	0.6638 	2.1 
	159	HERNIA PROCEDURES EXCEPT INGUINAL & 
		FEMORAL AGE >17 W CC 	1.3347 	1.000 	1.3347 	3.8 

	160	HERNIA PROCEDURES EXCEPT INGUINAL & 
		FEMORAL AGE >17 W/O CC 	0.7837 	0.902 	0.7066 	2.2 
	161	INGUINAL & FEMORAL HERNIA PROCEDURES 
		AGE >17 W CC 	1.1017 	1.000 	1.1017 	2.9 
	162	INGUINAL & FEMORAL HERNIA PROCEDURES 
		AGE >17 W/O CC 	0.6229 	0.867 	0.5402 	1.6 
	163	HERNIA PROCEDURES AGE 0-17 	0.6921 	1.000 	0.6921 	2.4 

	164	APPENDECTOMY W COMPLICATED PRINCIPAL 
		DIAG W CC 	2.376 	1.000 	2.3760 	7.1 
	165	APPENDECTOMY W COMPLICATED PRINCIPAL 
		DIAG W/O CC 	1.2838 	1.000 	1.2838 	4.3 
	166	APPENDECTOMY W/O COMPLICATED PRINCIPAL 
		DIAG W CC 	1.4802 	1.000 	1.4802 	4
	167	APPENDECTOMY W/O COMPLICATED PRINCIPAL 
		DIAG W/O CC 	0.8937 	1.000 	0.8937 	2.3 
	168	MOUTH PROCEDURES W CC 	1.2141 	1.000 	1.2141 	3.2 
	169	MOUTH PROCEDURES W/O CC 	0.7455 	1.000 	0.7455 	1.9 

	170	OTHER DIGESTIVE SYSTEM O.R. PROCEDURES 
		W CC 	2.8686 	1.000 	2.8686 	7.7 
	171	OTHER DIGESTIVE SYSTEM O.R. PROCEDURES 
		W/O CC 	1.1975 	1.000 	1.1975 	3.6 
	172	DIGESTIVE MALIGNANCY W CC 	1.3485 	1.000 	1.3485 	5.1 
	173	DIGESTIVE MALIGNANCY W/O CC 	0.77 	1.000 	0.7700 	2.8 
	174	G.I. HEMORRHAGE W CC 	0.9985 	1.000 	0.9985 	3.9 

	175	G.I. HEMORRHAGE W/O CC 	0.5501 	1.000 	0.5501 	2.5 
	176	COMPLICATED PEPTIC ULCER 	1.1052 	1.000 	1.1052 	4.1 
	177	UNCOMPLICATED PEPTIC ULCER W CC 	0.8998 	1.000 	0.8998 	3.7 
	178	UNCOMPLICATED PEPTIC ULCER W/O CC 	0.6604 	1.000 	0.6604 	2.6 
	179	INFLAMMATORY BOWEL DISEASE 	1.0576 	1.000 	1.0576 	4.7 

	180	G.I. OBSTRUCTION W CC 	0.9423 	1.000 	0.9423 	4.2 
	181	G.I. OBSTRUCTION W/O CC 	0.5304 	1.000 	0.5304 	2.8 
	182	ESOPHAGITIS, GASTROENT & MISC DIGEST 
		DISORDERS AGE >17 W CC 	0.7922 	1.000 	0.7922 	3.4 
	183	ESOPHAGITIS, GASTROENT & MISC DIGEST 
		DISORDERS AGE >17 W/O CC 	0.5717 	1.000 	0.5717 	2.4 
	184	ESOPHAGITIS, GASTROENT & MISC DIGEST 
		DISORDERS AGE 0-17 	0.5119 	1.000 	0.5119 	2.5 

	185	DENTAL & ORAL DIS EXCEPT EXTRACTIONS 
		& RESTORATIONS, AGE >17 	0.8621 	1.000 	0.8621 	3.3 
	186	DENTAL & ORAL DIS EXCEPT EXTRACTIONS & 
		RESTORATIONS, AGE 0-17 	0.3216 	1.000 	0.3216 	2.9 
	187	DENTAL EXTRACTIONS & RESTORATIONS 	0.7649 	1.000 	0.7649 	2.9 
	188	OTHER DIGESTIVE SYSTEM DIAGNOSES AGE >17 
		W CC 	1.1005 	1.000 	1.1005 	4.1 

	189	OTHER DIGESTIVE SYSTEM DIAGNOSES AGE >17 
		W/O CC 	0.5796 	1.000 	0.5796 	2.4 
	190	OTHER DIGESTIVE SYSTEM DIAGNOSES 
		AGE 0-17 	0.9884 	1.000 	0.9884 	4.1 
	191	PANCREAS, LIVER & SHUNT PROCEDURES W CC 	4.3914 	1.000 	4.3914 	10.5 

	192	PANCREAS, LIVER & SHUNT PROCEDURES 
		W/O CC 	1.7916 	1.000 	1.7916 	5.3 
	193	BILIARY TRACT PROC EXCEPT ONLY CHOLECYST 
		W OR W/O C.D.E. W CC 	3.3861 	1.000 	3.3861 	10.3 
	194	BILIARY TRACT PROC EXCEPT ONLY CHOLECYST 
		W OR W/O C.D.E. W/O CC 	1.6191 	1.000 	1.6191 	5.6 
	195	CHOLECYSTECTOMY W C.D.E. W CC 	2.9062 	1.000 	2.9062 	8.3 
	196	CHOLECYSTECTOMY W C.D.E. W/O CC 	1.6593 	1.000 	1.6593 	4.9 

	197	CHOLECYSTECTOMY EXCEPT BY LAPAROSCOPE 
		W/O C.D.E. W CC 	2.4544 	1.000 	2.4544 	7.2 
	198	CHOLECYSTECTOMY EXCEPT BY LAPAROSCOPE 
		W/O C.D.E. W/O CC 	1.2339 	1.000 	1.2339 	3.9 
	199	HEPATOBILIARY DIAGNOSTIC PROCEDURE FOR 
		MALIGNANCY 	2.3584 	1.000 	2.3584 	7.2 
	200	HEPATOBILIARY DIAGNOSTIC PROCEDURE FOR 
		NON-MALIGNANCY 	3.2262 	1.000 	3.2262 	7 

	201	OTHER HEPATOBILIARY OR PANCREAS O.R. 
		PROCEDURES 	3.4035 	1.000 	3.4035 	10.2 
	202	CIRRHOSIS & ALCOHOLIC HEPATITIS 	1.3001 	1.000 	1.3001 	4.9 
	203	MALIGNANCY OF HEPATOBILIARY SYSTEM OR 
		PANCREAS 	1.325 	1.000 	1.3250 	5 

	204	DISORDERS OF PANCREAS EXCEPT 
		MALIGNANCY 	1.2018 	1.000 	1.2018 	4.5 

	205	DISORDERS OF LIVER EXCEPT MALIG,CIRR,ALC 
		HEPA W CC 	1.2048 	1.000 	1.2048 	4.7 
	206	DISORDERS OF LIVER EXCEPT MALIG,CIRR,ALC 
		HEPA W/O CC 	0.6751 	1.000 	0.6751 	3
	207	DISORDERS OF THE BILIARY TRACT W CC 	1.1032 	1.000 	1.1032 	4
	208	DISORDERS OF THE BILIARY TRACT W/O CC 	0.6538 	1.000 	0.6538 	2.3 
	209	MAJOR JOINT & LIMB REATTACHMENT 
		PROCEDURES OF LOWER EXTREMITY 	2.0912 	0.950 	1.9866 	4.6 

	210	HIP & FEMUR PROCEDURES EXCEPT MAJOR 
		JOINT AGE >17 W CC 	1.8152 	1.180 	2.1419 	6
	211	HIP & FEMUR PROCEDURES EXCEPT MAJOR 
		JOINT AGE >17 W/O CC 	1.2647 	0.973 	1.2300 	4.5 
	212	HIP & FEMUR PROCEDURES EXCEPT MAJOR 
		JOINT AGE 0-17 	0.8472 	1.000 	0.8472 	11.1 
	213	AMPUTATION FOR MUSCULOSKELETAL SYSTEM 
		& CONN TISSUE DISORDERS 	1.7726 	1.000 	1.7726 	6.4 
	214	NO LONGER VALID 	0	0.967 	0.0000 	0 

	215	NO LONGER VALID 	0	0.956 	0.0000 	0
	216	BIOPSIES OF MUSCULOSKELETAL SYSTEM 
		& CONNECTIVE TISSUE 	2.2042 	1.000 	2.2042 	7.1 
	217	WND DEBRID & SKN GRFT EXCEPT HAND,
		FOR MUSCSKELET & CONN TISS DIS 	2.923 	0.572 	1.6711 	8.9 
	218	LOWER EXTREM & HUMER PROC EXCEPT HIP,
		FOOT,FEMUR AGE >17 W CC 	1.5337 	1.030 	1.5794 	4.2 
	219	LOWER EXTREM & HUMER PROC EXCEPT HIP,
		FOOT,FEMUR AGE >17 W/O CC 	1.0255 	0.968 	0.9928 	2.7 
	220	LOWER EXTREM & HUMER PROC EXCEPT HIP,
		FOOT,FEMUR AGE 0-17 	0.5844 	1.000 	0.5844 	5.3 

	221	NO LONGER VALID 	0	0.818 	0.0000 	0
	222	NO LONGER VALID 	0	1.038 	0.0000 	0
	223	MAJOR SHOULDER/ELBOW PROC, OR OTHER 
		UPPER EXTREMITY PROC W CC 	0.9585 	0.885 	0.8483 	2
	224	SHOULDER,ELBOW OR FOREARM PROC,EXC 
		MAJOR JOINT PROC, W/O CC 	0.7997 	1.012 	0.8095 	1.7 
	225	FOOT PROCEDURES 	1.0851 	1.001 	1.0860 	3.3 
	226	SOFT TISSUE PROCEDURES W CC 	1.477 	1.000 	1.4770 	4.3 

	227	SOFT TISSUE PROCEDURES W/O CC 	0.8036 	0.944 	0.7588 	2.1 
	228	MAJOR THUMB OR JOINT PROC,OR OTH HAND 
		OR WRIST PROC W CC 	1.0664 	0.906 	0.9665 	2.4 
	229	HAND OR WRIST PROC, EXCEPT MAJOR JOINT 
		PROC, W/O CC 	0.7169 	1.037 	0.7432 	1.8 

	230	LOCAL EXCISION & REMOVAL OF INT FIX 
		DEVICES OF HIP & FEMUR 	1.249 	1.000 	1.2490 	3.4 
	231	LOCAL EXCISION & REMOVAL OF INT FIX 
		DEVICES EXCEPT HIP & FEMUR 	1.3825 	0.734 	1.0149 	3.2 
	232	ARTHROSCOPY 	1.0828 	0.817 	0.8842 	2.3 

	233	OTHER MUSCULOSKELET SYS & CONN TISS O.R. 
		PROC W CC 	2.089 	1.000 	2.0890 	5.3 
	234	OTHER MUSCULOSKELET SYS & CONN TISS O.R. 
		PROC W/O CC 	1.2661 	0.813 	1.0297 	2.7 
	235	FRACTURES OF FEMUR 	0.7582 	1.000 	0.7582 	3.8 
	236	FRACTURES OF HIP & PELVIS 	0.7218 	0.979 	0.7066 	4
	237	SPRAINS, STRAINS, & DISLOCATIONS OF HIP, 
		PELVIS & THIGH 	0.5681 	1.000 	0.5681 	3
	238	OSTEOMYELITIS 	1.3496 	1.000 	1.3496	 6.4 

	239	PATHOLOGICAL FRACTURES & 
		MUSCULOSKELETAL & CONN TISS 
		MALIGNANCY 	0.9745 	1.000 	0.9745 	4.9 
	240	CONNECTIVE TISSUE DISORDERS W CC 	1.2712 	1.000 	1.2712 	4.9 
	241	CONNECTIVE TISSUE DISORDERS W/O CC 	0.6177 	1.000 	0.6177 	3.1 

	242	SEPTIC ARTHRITIS 	1.0724 	1.000 	1.0724 	5.1 
	243	MEDICAL BACK PROBLEMS 	0.7262 	0.761 	0.5526 	3.7 
	244	BONE DISEASES & SPECIFIC ARTHROPATHIES 
		W CC 	0.7155 	1.000 	0.7155 	3.7 
	245	BONE DISEASES & SPECIFIC ARTHROPATHIES 
		W/O CC 	0.4832 	1.000 	0.4832 	2.8 
	246	NON-SPECIFIC ARTHROPATHIES 	0.557 	1.000 	0.5570 	2.9 
	247	SIGNS & SYMPTOMS OF MUSCULOSKELETAL 
		SYSTEM & CONN TISSUE 	0.5696 	1.000 	0.5696	2.6 

	248	TENDONITIS, MYOSITIS & BURSITIS 	0.7864 	1.000 	0.7864 	3.7 
	249	AFTERCARE, MUSCULOSKELETAL SYSTEM & 
		CONNECTIVE TISSUE 	0.6913 	1.000 	0.6913 	2.6 
	250	FX, SPRN, STRN & DISL OF FOREARM, HAND, 
		FOOT AGE >17 W CC 	0.6929 	1.000 	0.6929 	3.3 
	251	FX, SPRN, STRN & DISL OF FOREARM, HAND, 
		FOOT AGE >17 W/O CC 	0.4995 	0.901 	0.4501 	2.4 
	252	FX, SPRN, STRN & DISL OF FOREARM, HAND, 
		FOOT AGE 0-17 	0.2538 	1.000 	0.2538 	1.8 
	253	FX, SPRN, STRN & DISL OF UPARM,LOWLEG 
		EX FOOT AGE >17 W CC 	0.7253 	1.000 	0.7253 	3.7 

	254	FX, SPRN, STRN & DISL OF UPARM,LOWLEG 
		EX FOOT AGE >17 W/O CC 	0.4413 	1.003 	0.4427 	2.6 
	255	FX, SPRN, STRN & DISL OF UPARM,LOWLEG 
		EX FOOT AGE 0-17 	0.2956 	1.000 	0.2956 	2.9 
	256	OTHER MUSCULOSKELETAL SYSTEM & 
		CONNECTIVE TISSUE DIAGNOSES 	0.7959 	1.000 	0.7959 	3.8 
	257	TOTAL MASTECTOMY FOR MALIGNANCY 
		W CC 	0.9107 	1.000 	0.9107	 2.3 

	258	TOTAL MASTECTOMY FOR MALIGNANCY 
		W/O CC 	0.7232 	1.000 	0.7232 	1.8 
	259	SUBTOTAL MASTECTOMY FOR MALIGNANCY 
		W CC 	0.9068 	1.000 	0.9068 	1.8 
	260	SUBTOTAL MASTECTOMY FOR MALIGNANCY 
		W/O CC 	0.6532 	1.000 	0.6532 	1.3 

	261	BREAST PROC FOR NON-MALIGNANCY EXCEPT 
		BIOPSY & LOCAL EXCISION 	0.9362 	1.000 	0.9362 	1.7 
	262	BREAST BIOPSY & LOCAL EXCISION FOR 
		NON-MALIGNANCY 	0.8754 	1.000 	0.8754 	2.7 
	263	SKIN GRAFT &/OR DEBRID FOR SKN ULCER OR 
		CELLULITIS W CC 	2.1219 	1.000 	2.1219	8.9 
	264	SKIN GRAFT &/OR DEBRID FOR SKN ULCER OR 
		CELLULITIS W/O CC 	1.1479 	1.000 	1.1479 	5.4 

	265	SKIN GRAFT &/OR DEBRID EXCEPT FOR SKIN 
		ULCER OR CELLULITIS W CC 	1.5309 	1.000 	1.5309 	4.3 
	266	SKIN GRAFT &/OR DEBRID EXCEPT FOR SKIN 
		ULCER OR CELLULITIS W/O CC 	0.8707 	1.131 	0.9844 	2.4 
	267	PERIANAL & PILONIDAL PROCEDURES 	1.0792 	1.000 	1.0792 	3.1 
	268	SKIN, SUBCUTANEOUS TISSUE & BREAST 
		PLASTIC PROCEDURES 	1.1405 	1.000 	1.1405 	2.4 

	269	OTHER SKIN, SUBCUT TISS & BREAST PROC 
		W CC 	1.7004 	1.000 	1.7004 	5.8 
	270	OTHER SKIN, SUBCUT TISS & BREAST PROC 
		W/O CC 	0.767 	1.000 	0.7670 	2.3 
	271	SKIN ULCERS 	1.0104 	1.000 	1.0104 	5.5 
	272	MAJOR SKIN DISORDERS W CC 	0.9994 	1.000 	0.9994 	4.8 

	273	MAJOR SKIN DISORDERS W/O CC 	0.6179 	1.000 	0.6179 	3.2 
	274	MALIGNANT BREAST DISORDERS W CC 	1.2061 	1.000 	1.2061 	4.9 
	275	MALIGNANT BREAST DISORDERS W/O CC 	0.5301 	1.000 	0.5301 	2.4 
	276	NON-MALIGANT BREAST DISORDERS 	0.6899 	1.000 	0.6899 	3.6 
	277	CELLULITIS AGE >17 W CC 	0.8396 	0.791 	0.6641 	4.7 
	278	CELLULITIS AGE >17 W/O CC 	0.5522 	0.865 	0.4779 	3.6 

	279	CELLULITIS AGE 0-17 	0.6644 	1.000 	0.6644 	4.2 
	280	TRAUMA TO THE SKIN, SUBCUT TISS & 
		BREAST AGE >17 W CC 	0.6788 	1.000 	0.6788 	3.2 
	281	TRAUMA TO THE SKIN, SUBCUT TISS & 
		BREAST AGE >17 W/O CC 	0.4729 	0.971 	0.4591 	2.4 
	282	TRAUMA TO THE SKIN, SUBCUT TISS & 
		BREAST AGE 0-17 	0.257 	1.000 	0.2570 	2.2 
	283	MINOR SKIN DISORDERS W CC 	0.6917 	1.000 	0.6917 	3.5 

	284	MINOR SKIN DISORDERS W/O CC 	0.4336 	1.000 	0.4336 	2.5
	285	AMPUTAT OF LOWER LIMB FOR ENDOCRINE,
		NUTRIT,& METABOL DISORDERS 	1.9961 	1.000 	1.9961 	7.7 
	286	ADRENAL & PITUITARY PROCEDURES 	2.1299 	1.000 	2.1299 	4.9 
	287	SKIN GRAFTS & WOUND DEBRID FOR ENDOC, 
		NUTRIT & METAB DISORDERS 	1.8283 	1.000 	1.8283 	7.8
	 288	O.R. PROCEDURES FOR OBESITY 	2.1607 	1.000 	2.1607 	4.5 

	289	PARATHYROID PROCEDURES 	0.9914 	1.000 	0.9914 	2
	290	THYROID PROCEDURES 	0.9193 	1.000 	0.9193 	1.8 
	291	THYROGLOSSAL PROCEDURES 	0.5487 	1.000 	0.5487 	1.4 
	292	OTHER ENDOCRINE, NUTRIT & METAB O.R. 
		PROC W CC 	2.4538 	1.000 	2.4538 	6.9 
	293	OTHER ENDOCRINE, NUTRIT & METAB O.R. 
		PROC W/O CC 	1.2289 	1.000 	1.2289 	3.6 
	294	DIABETES AGE >35 	0.7589 	1.000 	0.7589 	3.6 
	295	DIABETES AGE 0-35 	0.7587 	1.000 	0.7587 	2.9 

	296	NUTRITIONAL & MISC METABOLIC DISORDERS 
		AGE >17 W CC 	0.8594 	1.000 	0.8594 	4
	297	NUTRITIONAL & MISC METABOLIC DISORDERS 
		AGE >17 W/O CC 	0.5179 	1.000 	0.5179 	2.8 
	298	NUTRITIONAL & MISC METABOLIC DISORDERS 
		AGE 0-17 	0.5269 	1.000 	0.5269 	2.5 
	299	INBORN ERRORS OF METABOLISM 	0.9632 	1.000 	0.9632 	4
	300	ENDOCRINE DISORDERS W CC 	1.0829 	1.000 	1.0829 	4.7 

	301	ENDOCRINE DISORDERS W/O CC 	0.6133 	1.000 	0.6133 	2.9 
	302	KIDNEY TRANSPLANT 	excluded 	excluded 	excluded 	excluded 

	303	KIDNEY,URETER & MAJOR BLADDER 
		PROCEDURES FOR NEOPLASM 	2.4602 	1.000 	2.4602  	7
	304	KIDNEY,URETER & MAJOR BLADDER PROC FOR 
		NON-NEOPL W CC 	2.3407 	1.000 	2.3407 	6.4 
	305	KIDNEY,URETER & MAJOR BLADDER PROC FOR 
		NON-NEOPL W/O CC 	1.1825 	1.000 	1.1825 	3.1 

	306	PROSTATECTOMY W CC 	1.2489 	1.000 	1.2489 	3.7 
	307	PROSTATECTOMY W/O CC 	0.646 	1.000 	0.6460 	1.9 
	308	MINOR BLADDER PROCEDURES W CC 	1.6449 	1.000 	1.6449 	4.2 
	309	MINOR BLADDER PROCEDURES W/O CC 	0.9339 	1.000 	0.9339 	2 

	310	TRANSURETHRAL PROCEDURES W CC 	1.1172 	1.000 	1.1172 	3
	311	TRANSURETHRAL PROCEDURES W/O CC 	0.6174 	1.000 	0.6174 	1.6 
	312	URETHRAL PROCEDURES, AGE >17 W CC 	1.0173 	1.000 	1.0173 	3

	313	URETHRAL PROCEDURES, AGE >17 W/O CC 	0.6444 	1.000 	0.6444 	1.7 
	314	URETHRAL PROCEDURES, AGE 0-17 	0.4953 	1.000 	0.4953 	2.3 
	315	OTHER KIDNEY & URINARY TRACT O.R. 
		PROCEDURES 	2.0474 	1.000 	2.0474 	4.2 
	316	RENAL FAILURE 	1.3424 	1.000 	1.3424 	4.9 
	317	ADMIT FOR RENAL DIALYSIS 	0.7395 	1.000 	0.7395 	2.1 

	318	KIDNEY & URINARY TRACT NEOPLASMS W CC 	1.1313 	1.000 	1.1313 	4.3 
	319	KIDNEY & URINARY TRACT NEOPLASMS 
		W/O CC 	0.604 	1.000 	0.6040 	2.2 
	320	KIDNEY & URINARY TRACT INFECTIONS 
		AGE >17 W CC 	0.8621 	1.000 	0.8621 	4.3 
	321	KIDNEY & URINARY TRACT INFECTIONS 
		AGE >17 W/O CC 	0.5686 	1.000 	0.5686 	3.2 
	322	KIDNEY & URINARY TRACT INFECTIONS 
		AGE 0-17 	0.4939 	1.000 	0.4939 	3.3 
	323	URINARY STONES W CC, &/OR ESW 
		LITHOTRIPSY 	0.7996 	1.000 	0.7996 	2.4 
	324	URINARY STONES W/O CC 	0.4509 	1.000 	0.4509 	1.6 

	325	KIDNEY & URINARY TRACT SIGNS & SYMPTOMS 
		AGE >17 W CC 	0.646 	1.000 	0.6460 	3
	326	KIDNEY & URINARY TRACT SIGNS & SYMPTOMS 
		AGE >17 W/O CC 	0.4297 	1.000 	0.4297 	2.1 
	327	KIDNEY & URINARY TRACT SIGNS & SYMPTOMS 
		AGE 0-17 	0.3543 	1.000 	0.3543 	3.1 

	328	URETHRAL STRICTURE AGE >17 W CC 	0.7455 	1.000 	0.7455 	2.8 
	329	URETHRAL STRICTURE AGE >17 W/O CC 	0.5253 	1.000 	0.5253 	1.7 
	330	URETHRAL STRICTURE AGE 0-17 	0.3191 	1.000 	0.3191 	1.6 
	331	OTHER KIDNEY & URINARY TRACT 
		DIAGNOSES AGE >17 W CC 	1.0221 	1.000 	1.0221 	4.1 
	332	OTHER KIDNEY & URINARY TRACT 
		DIAGNOSES AGE >17 W/O CC 	0.5997 	1.000 	0.5997 	2.5 
	333	OTHER KIDNEY & URINARY TRACT 
		DIAGNOSES AGE 0-17 	0.8247 	1.000 	0.8247 	3.5 
	334	MAJOR MALE PELVIC PROCEDURES W CC 	1.5591 	1.000 	1.5591 	4.2 

	335	MAJOR MALE PELVIC PROCEDURES W/O CC 	1.1697 	1.000 	1.1697 	3.2 
	336	TRANSURETHRAL PROSTATECTOMY W CC 	0.888 	1.000 	0.8880 	2.7 
	337	TRANSURETHRAL PROSTATECTOMY W/O CC 	0.6152 	1.000 	0.6152 	1.9 
	338	TESTES PROCEDURES, FOR MALIGNANCY 	1.19 	1.000 	1.1900 	3.5 
	339	TESTES PROCEDURES, NON-MALIGNANCY 
		AGE >17 	1.0769 	1.000 	1.0769 	3

	340	TESTES PROCEDURES, NON-MALIGNANCY 
		AGE 0-17 	0.2835 	1.000 	0.2835 	2.4 
	341	PENIS PROCEDURES 	1.1709 	1.000 	1.1709 	2.1 
	342	CIRCUMCISION AGE >17 	0.824 	1.000 	0.8240 	2.5 
	343	CIRCUMCISION AGE 0-17 	0.1541 	1.000 	0.1541 	1.7 
	344	OTHER MALE REPRODUCTIVE SYSTEM O.R. 
		PROCEDURES FOR MALIGNANCY 	1.1519 	1.000 	1.1519 	1.6 
	345	OTHER MALE REPRODUCTIVE SYSTEM O.R. 
		PROC EXCEPT FOR MALIGNANCY 	0.88 	1.000 	0.8800 	2.6 
	346	MALIGNANCY, MALE REPRODUCTIVE SYSTEM, 
		W CC 	0.9756 	1.000 	0.9756 	4.3 

	347	MALIGNANCY, MALE REPRODUCTIVE SYSTEM, 
		W/O CC 	0.5922 	1.000 	0.5922 	2.4 
	348	BENIGN PROSTATIC HYPERTROPHY W CC 	0.7142 	1.000 	0.7142 	3.2 
	349	BENIGN PROSTATIC HYPERTROPHY W/O CC 	0.438 	1.000 	0.4380 	2
	350	INFLAMMATION OF THE MALE REPRODUCTIVE 
		SYSTEM 	0.6992 	1.000 	0.6992 	3.6 
	351	STERILIZATION, MALE 	0.2364 	1.000 	0.2364 	1.3 

	352	OTHER MALE REPRODUCTIVE SYSTEM 
		DIAGNOSES 	0.6858 	1.000 	0.6858 	2.8 
	353	PELVIC EVISCERATION, RADICAL HYSTERECTOMY 
		& RADICAL VULVECTOMY 	1.9292 	1.000 	1.9292 	5.3 

	354	UTERINE,ADNEXA PROC FOR NON-OVARIAN/
		ADNEXAL MALIG W CC 	1.5284 	1.000 	1.5284 	4.9 
	355	UTERINE,ADNEXA PROC FOR NON-OVARIAN/
		ADNEXAL MALIG W/O CC 	0.9278 	1.000 	0.9278 	3.1 
	356	FEMALE REPRODUCTIVE SYSTEM 
		RECONSTRUCTIVE PROCEDURES 	0.7846 	1.000 	0.7846 	2.1 
	357	UTERINE & ADNEXA PROC FOR OVARIAN OR 
		ADNEXAL MALIGNANCY 	2.3628 	1.000 	2.3628 	6.9 

	358	UTERINE & ADNEXA PROC FOR 
		NON-MALIGNANCY W CC 	1.2263 	1.000 	1.2263 	3.7 
	359	UTERINE & ADNEXA PROC FOR 
		NON-MALIGNANCY W/O CC 	0.8593 	1.000 	0.8593 	2.6 
	360	VAGINA, CERVIX & VULVA PROCEDURES 	0.886 	1.000 	0.8860 	2.4 
	361	LAPAROSCOPY & INCISIONAL TUBAL 
		INTERRUPTION 	1.2318 	1.000 	1.2318 	2.2 
	362	ENDOSCOPIC TUBAL INTERRUPTION 	0.3022 	1.000 	0.3022 	1.4 

	363	D&C, CONIZATION & RADIO-IMPLANT, FOR 
		MALIGNANCY 	0.8136 	1.000 	0.8136 	2.5 
	364	D&C, CONIZATION EXCEPT FOR MALIGNANCY 	0.753 	1.000 	0.7530 	2.6 
	365	OTHER FEMALE REPRODUCTIVE SYSTEM O.R. 
		PROCEDURES 	1.8425 	1.000 	1.8425	4.9 

	366	MALIGNANCY, FEMALE REPRODUCTIVE 
		SYSTEM W CC 	1.2467 	1.000 	1.2467 	4.8 
	367	MALIGNANCY, FEMALE REPRODUCTIVE 
		SYSTEM W/O CC 	0.5676 	1.000 	0.5676 	2.4 
	368	INFECTIONS, FEMALE REPRODUCTIVE SYSTEM 	1.1205 	1.000 	1.1205 	5
	369	MENSTRUAL & OTHER FEMALE REPRODUCTIVE 
		SYSTEM DISORDERS 	0.5704 	1.000 	0.5704 	2.4 
	370	CESAREAN SECTION W CC 	1.0631 	1.000 	1.0631 	4.4 
	371	CESAREAN SECTION W/O CC 	0.7157 	1.000 	0.7157 	3.3 
	372	VAGINAL DELIVERY W COMPLICATING 
		DIAGNOSES 	0.6077 	1.000 	0.6077 	2.7 

	373	VAGINAL DELIVERY W/O COMPLICATING 
		DIAGNOSES 	0.4169 	1.000 	0.4169 	2
	374	VAGINAL DELIVERY W STERILIZATION &/OR 
		D&C 	0.7565 	1.000 	0.7565 	2.6 
	375	VAGINAL DELIVERY W O.R. PROC EXCEPT 
		STERIL &/OR D&C 	0.686 	1.000 	0.6860 	4.4 

	376	POSTPARTUM & POST ABORTION DIAGNOSES 
		W/O O.R. PROCEDURE 	0.5224 	1.000 	0.5224 	2.6 
	377	POSTPARTUM & POST ABORTION DIAGNOSES 
		W O.R. PROCEDURE 	0.8899 	1.000 	0.8899 	2.6 
	378	ECTOPIC PREGNANCY 	0.7664 	1.000 	0.7664 	2
	379	THREATENED ABORTION 	0.3959 	1.000 	0.3959 	2
	380	ABORTION W/O D&C 	0.4843 	1.000 	0.4843 	1.8 
	381	ABORTION W D&C, ASPIRATION CURETTAGE 
		OR HYSTEROTOMY 	0.5331 	1.000 	0.5331 	1.5 
	382	FALSE LABOR 	0.2127 	1.000 	0.2127	1.3 
	383	OTHER ANTEPARTUM DIAGNOSES W MEDICAL 
		COMPLICATIONS 	0.5137 	1.000 	0.5137	2.7 

	384	OTHER ANTEPARTUM DIAGNOSES W/O MEDICAL 
		COMPLICATIONS 	0.3161 	1.000 	0.3161 	1.6 
	385	NEONATES, DIED OR TRANSFERRED TO 
		ANOTHER ACUTE CARE FACILITY 	1.3767 	1.000 	1.3767 	1.8 
	386	EXTREME IMMATURITY OR RESPIRATORY 
		DISTRESS SYNDROME, NEONATE 	4.54 	1.000 	4.5400 	17.9 
	387	PREMATURITY W MAJOR PROBLEMS 	3.1007 	1.000 	3.1007 	13.3 
	388	PREMATURITY W/O MAJOR PROBLEMS 	1.8709 	1.000 	1.8709 	8.6 
	389	FULL TERM NEONATE W MAJOR PROBLEMS 	1.8408 	1.000 	1.8408 	4.7 
	390	NEONATE W OTHER SIGNIFICANT PROBLEMS 	0.9471 	1.000 	0.9471 	3
	391	NORMAL NEWBORN 	0.1527 	1.000 	0.1527 	3.1 
	392	SPLENECTOMY AGE >17 	3.1739 	1.000 	3.1739 	7.1 

	393	SPLENECTOMY AGE 0-17 	1.3486 	1.000 	1.3486 	9.1 
	394	OTHER O.R. PROCEDURES OF THE BLOOD AND 
		BLOOD FORMING ORGANS 	1.5969 	1.000 	1.5969 	4.1 
	395	RED BLOOD CELL DISORDERS AGE >17	0.8257 	1.000 	0.8257 	3.3 
	396	RED BLOOD CELL DISORDERS AGE 0-17 	1.1573 	1.000 	1.1573 	2.5 
	397	COAGULATION DISORDERS 	1.2278 	1.000 	1.2278 	3.8 
	398	RETICULOENDOTHELIAL & IMMUNITY 
		DISORDERS W CC 	1.275 	1.000 	1.2750 	4.7 
	399	RETICULOENDOTHELIAL & IMMUNITY 
		DISORDERS W/O CC 	0.6881 	1.000 	0.6881 	2.8 
	400	LYMPHOMA & LEUKEMIA W MAJOR O.R. 
		PROCEDURE 	2.6309 	1.000 	2.6309 	5.8 
	401	LYMPHOMA & NON-ACUTE LEUKEMIA W 
		OTHER O.R. PROC W CC 	2.7198 	1.000 	2.7198 	7.8 

	402	LYMPHOMA & NON-ACUTE LEUKEMIA W 
		OTHER O.R. PROC W/O CC 	1.0985 	1.000 	1.0985 	2.8 
	403	LYMPHOMA & NON-ACUTE LEUKEMIA W CC 	1.7594 	1.000 	1.7594 	5.7 
	404	LYMPHOMA & NON-ACUTE LEUKEMIA 
		W/O CC 	0.848 	1.000 	0.8480 	3.1 
	405	ACUTE LEUKEMIA W/O MAJOR O.R. 
		PROCEDURE AGE 0-17 	1.912 	1.000 	1.9120 	4.9 
	406	MYELOPROLIF DISORD OR POORLY DIFF 
		NEOPL W MAJ O.R.PROC W CC 	2.8275 	1.000 	2.8275 	7.6 
	407	MYELOPROLIF DISORD OR POORLY DIFF 
		NEOPL W MAJ O.R.PROC W/O CC 	1.3179 	1.000 	1.3179 	3.6 

	408	MYELOPROLIF DISORD OR POORLY DIFF 
		NEOPL W OTHER O.R.PROC 	2.0008 	1.000 	2.0008 	4.8 
	409	RADIOTHERAPY 	1.1215 	1.000 	1.1215 	4.4 
	410	CHEMOTHERAPY W/O ACUTE LEUKEMIA AS 
		SECONDARY DIAGNOSIS 	0.9468 	1.000 	0.9468 	2.9 
	411	HISTORY OF MALIGNANCY W/O ENDOSCOPY 	0.3305 	1.000 	0.3305 	2
	412	HISTORY OF MALIGNANCY W ENDOSCOPY 	0.4841 	1.000 	0.4841 	2
	413	OTHER MYELOPROLIF DIS OR POORLY DIFF 
		NEOPL DIAG W CC 	1.3645 	1.000 	1.3645 	5.3 

	414	OTHER MYELOPROLIF DIS OR POORLY DIFF 
		NEOPL DIAG W/O CC 	0.7548 	1.000 	0.7548 	3
	415	O.R. PROCEDURE FOR INFECTIOUS & 

		PARASITIC DISEASES 	3.5925 	0.491 	1.7628 	10.4 

	416	SEPTICEMIA AGE >17 	1.5278 	1.000 	1.5278 	5.5 
	417	SEPTICEMIA AGE 0-17 	1.1717 	1.000 	1.1717 	3.7 
	418	POSTOPERATIVE & POST-TRAUMATIC 
		INFECTIONS 	1.0074 	0.680 	0.6851 	4.8 
	419	FEVER OF UNKNOWN ORIGIN AGE >17 W CC 	0.8709 	1.000 	0.8709 	3.7 
	420	FEVER OF UNKNOWN ORIGIN AGE >17 W/O CC 	0.6057 	1.000 	0.6057 	3

	421	VIRAL ILLNESS AGE >17 	0.6796 	1.000 	0.6796 	3.1 
	422	VIRAL ILLNESS & FEVER OF UNKNOWN ORIGIN 
		AGE 0-17 	0.7854 	1.000 	0.7854 	2.8 
	423	OTHER INFECTIOUS & PARASITIC DISEASES 
		DIAGNOSES 	1.725 	1.000 	1.7250 	5.9 

	424	O.R. PROCEDURE W PRINCIPAL DIAGNOSES 
		OF MENTAL ILLNESS	excluded 	excluded 	excluded 	excluded 

	425	ACUTE ADJUST REACT & DISTURBANCES OF 
		PSYCHOSOCIAL DYSFUNCTION 	excluded 	excluded 	excluded 	excluded 

	426	DEPRESSIVE NEUROSES 	excluded 	excluded 	excluded 	excluded 

	427	NEUROSES EXCEPT DEPRESSIVE 	excluded 	excluded 	excluded 	excluded 

	428	DISORDERS OF PERSONALITY & IMPULSE 
		CONTROL 	excluded 	excluded 	excluded 	excluded 

	429	ORGANIC DISTURBANCES & MENTAL 
		RETARDATION 	excluded 	excluded 	excluded 	excluded 

	430	PSYCHOSES 	excluded 	excluded 	excluded 	excluded 

	431	CHILDHOOD MENTAL DISORDERS 	excluded 	excluded 	excluded 	excluded 

	432	OTHER MENTAL DISORDER DIAGNOSES 	excluded 	excluded 	excluded 	excluded 

	433	ALCOHOL/DRUG ABUSE OR DEPENDENCE, 
		LEFT AMA 	excluded 	excluded 	excluded 	excluded 

	434	ALC/DRUG ABUSE OR DEPEND, DETOX OR 
		OTH SYMPT TREAT W CC 	excluded 	excluded 	excluded 	excluded 

	435	ALC/DRUG ABUSE OR DEPEND, DETOX OR 
		OTH SYMPT TREAT W/O CC 	excluded 	excluded 	excluded 	excluded 

	436	ALC/DRUG DEPENDENCE W REHABILITATION 
		THERAPY 	excluded 	excluded 	excluded 	excluded 

	437	ALC/DRUG DEPENDENCE, COMBINED REHAB 
		& DETOX THERAPY 	excluded 	excluded 	excluded 	excluded 

	438	NO LONGER VALID 	0	1.000 	0.0000 	0
	439	SKIN GRAFTS FOR INJURIES 	1.7092 	1.000 	1.7092 	5.3 
	440	WOUND DEBRIDEMENTS FOR INJURIES 	1.9096 	0.774 	1.4776 	5.8 
	441	HAND PROCEDURES FOR INJURIES 	0.9463 	0.991 	0.9382 	2.2 
	442	OTHER O.R. PROCEDURES FOR INJURIES W CC 	2.3403 	1.000 	2.3403 	5.4 
	443	OTHER O.R. PROCEDURES FOR INJURIES 
		W/O CC 	0.9978 	1.002 	1.0002 	2.5 

	444	TRAUMATIC INJURY AGE >17 W CC 	0.7243 	1.000 	0.7243 	3.2 
	445	TRAUMATIC INJURY AGE >17 W/O CC 	0.5076 	0.811 	0.4118 	2.4 
	446	TRAUMATIC INJURY AGE 0-17 	0.2964 	1.000 	0.2964 	2.4 
	447	ALLERGIC REACTIONS AGE >17 	0.5166 	1.000 	0.5166 	1.9 
	448	ALLERGIC REACTIONS AGE 0-17 	0.0975 	1.000 	0.0975 	2.9 
	449	POISONING & TOXIC EFFECTS OF DRUGS 
		AGE >17 W CC 	0.8076 	1.000 	0.8076 	2.6 
	450	POISONING & TOXIC EFFECTS OF DRUGS 
		AGE >17 W/O CC 	0.4406 	0.666 	0.2933 	1.6 
	451	POISONING & TOXIC EFFECTS OF DRUGS 
		AGE 0-17 	0.2632 	1.000 	0.2632 	2.1 
	452	COMPLICATIONS OF TREATMENT W CC 	1.0152 	1.000 	1.0152 	3.5 
	453	COMPLICATIONS OF TREATMENT W/O CC 	0.4987 	1.000 	0.4987 	2.2 

	454	OTHER INJURY, POISONING & TOXIC EFFECT 
		DIAG W CC 	0.8593 	1.000 	0.8593 	3.2 
	455	OTHER INJURY, POISONING & TOXIC EFFECT 
		DIAG W/O CC 	0.4672 	0.748 	0.3496 	2

	456	NO LONGER VALID  	0	0	0	0

	457	NO LONGER VALID 	0	0	0	0

	458	NO LONGER VALID 	0	0	0	0

	459	NO LONGER VALID 	0	0	0	0

	460	NO LONGER VALID 	0	0	0	0

	461	O.R. PROC W DIAGNOSES OF OTHER CONTACT 
		W HEALTH SERVICES 	1.2101 	0.921 	1.1141 	2.4 

	462	REHABILITATION	 excluded 	excluded 	excluded 	excluded 

	463	SIGNS & SYMPTOMS W CC 	0.6936 	1.000 	0.6936 	3.3 
	464	SIGNS & SYMPTOMS W/O CC 	0.4775 	1.000 	0.4775 	2.4 
	465	AFTERCARE W HISTORY OF MALIGNANCY AS 
		SECONDARY DIAGNOSIS 	0.5756 	1.000 	0.5756 	2.1 
	466	AFTERCARE W/O HISTORY OF MALIGNANCY AS 
		SECONDARY DIAGNOSIS 	0.684 	1.000 	0.6840 	2.3 
	467	OTHER FACTORS INFLUENCING HEALTH 
		STATUS 	0.5112 	1.000 	0.5112 	2.3 

	468	EXTENSIVE O.R. PROCEDURE UNRELATED TO 
		PRINCIPAL DIAGNOSIS 	3.6399 	1.000 	3.6399	 9.2 
	469	PRINCIPAL DIAGNOSIS INVALID AS DISCHARGE 
		DIAGNOSIS 	0	1.000 	0.0000 	0

	470	UNGROUPABLE 	0	1.000 	0.0000 	0
	471	BILATERAL OR MULTIPLE MAJOR JOINT PROCS 
		OF LOWER EXTREMITY 	3.1957 	1.000 	3.1957 	5
	472	NO LONGER VALID	0	0	0	0
	473	ACUTE LEUKEMIA W/O MAJOR O.R.
		PROCEDURE AGE >17 	3.5822 	1.000 	3.5822 	7.6 
	474	NO LONGER VALID 	0	1.000 	0.0000 	0

	475	RESPIRATORY SYSTEM DIAGNOSIS WITH 
		VENTILATOR SUPPORT 	excluded 	excluded 	excluded 	excluded 

	476	PROSTATIC O.R. PROCEDURE UNRELATED TO 
		PRINCIPAL DIAGNOSIS 	2.2547 	1.000 	2.2547 	8.4 
	477	NON-EXTENSIVE O.R. PROCEDURE UNRELATED 
		TO PRINCIPAL DIAGNOSIS 	1.8204 	1.000 	1.8204 	5.4 
	478	OTHER VASCULAR PROCEDURES W CC 	2.3333 	1.000 	2.3333 	4.9 
	479	OTHER VASCULAR PROCEDURES W/O CC 	1.4326 	1.000 	1.4326 	2.8 

	480	LIVER TRANSPLANT 	excluded 	excluded 	excluded 	excluded
	481	BONE MARROW TRANSPLANT 	excluded 	excluded 	excluded 	excluded 

	482	TRACHEOSTOMY FOR FACE,MOUTH & NECK 
		DIAGNOSES 	excluded 	excluded 	excluded 	excluded 

	483	TRACHEOSTOMY EXCEPT FOR FACE,
		MOUTH & NECK DIAGNOSES 	excluded 	excluded 	excluded 	excluded 

	484	CRANIOTOMY FOR MULTIPLE SIGNIFICANT 
		TRAUMA 	5.5606 	1.000 	5.5606 	8.8 
	485	LIMB REATTACHMENT, HIP AND FEMUR PROC 
		FOR MULTIPLE SIGNIFICANT TR 	3.0998 	1.000 	3.0998 	7.7 
	486	OTHER O.R. PROCEDURES FOR MULTIPLE 
		SIGNIFICANT TRAUMA 	4.9048 	1.000 	4.9048 	8.1 

	487	OTHER MULTIPLE SIGNIFICANT TRAUMA 	2.0604 	1.000 	2.0604 	5.6 
	488	HIV W EXTENSIVE O.R. PROCEDURE 	4.5574 	1.000 	4.5574 	11.5 
	489	HIV W MAJOR RELATED CONDITION 	1.7414 	1.000 	1.7414 	6
	490	HIV W OR W/O OTHER RELATED CONDITION 	0.968 	1.000 	0.9680 	3.7 
	491	MAJOR JOINT & LIMB REATTACHMENT 
		PROCEDURES OF UPPER EXTREMITY 	1.6685 	1.000 	1.6685 	2.9 

	492	CHEMOTHERAPY W ACUTE LEUKEMIA AS 
		SECONDARY DIAGNOSIS 	4.2467 	1.000 	4.2467 	10.9 
	493	LAPAROSCOPIC CHOLECYSTECTOMY W/O C.D.E. 
		W CC 	1.818 	1.000 	1.8180 	4.3 

	494	LAPAROSCOPIC CHOLECYSTECTOMY W/O C.D.E. 
		W/O CC 	1.0388 	1.000 	1.0388 	2

	495	LUNG TRANSPLANT 	excluded 	excluded 	excluded 	excluded 

	496	COMBINED ANTERIOR/POSTERIOR SPINAL 
		FUSION Note -- For admissions on or after June 27, 
		2001, the cost of implantable hardware and
 		instrumentation for this DRG is excluded from the 
		DRG computed fee 
		and reimbursed separately pursuant to § 9792.1(c)(9). 	5.5532 	1.000 	5.5532 	7.8 
	497	SPINAL FUSION W CC Note -- For admissions on 
		or after June 29, 2001, the cost of implantable 
		hardware and instrumentation for this DRG is 
		excluded from the DRG computed fee and 
		reimbursed separately pursuant to § 9792.1(c)(9). 	2.9441 	1.000 	2.9441 	4.9

	498	SPINAL FUSION W/O CC Note -- For admissions 
		on or after June 29, 2001, the cost of implantable 
		hardware and instrumentation for this DRG is 
		excluded from the DRG computed fee and reimbursed 
		separately pursuant to § 9792.1(c)(9). 	1.9057 	1.000 	1.9057 	2.8 
	499	BACK & NECK PROCS EXCEPT SPINAL 
		FUSION W CC Note -- For admissions on or 
		after June 29, 2001, the cost of implantable hardware 
		and instrumentation for this DRG is excluded from 
		the DRG computed fee and reimbursed separately 
		pursuant to § 9792.1(c)(9). 	1.4572 	1.000 	1.4572 	3.6

	500	BACK & NECK PROCS EXCEPT SPINAL FUSION 
		W/O CC Note -- For admissions on or after 
		June 29, 2001, the cost of implantable hardware and 
		instrumentation for this DRG is excluded from the 
		DRG computed fee and reimbursed separately 
		pursuant to § 9792.1(c)(9). 	0.9805 	1.000 	0.9805 	2.2 
	501	KNEE PROC W PDX OF INFECTION W CC 	2.6283 	1.000 	2.6283 	8.4 
	502	KNEE PROC W PDX OF INFECTION W/O CC 	1.4434 	1.000 	1.4434 	4.9 

	503	KNEE PROCEDURES W/O PDX OF INFECTION 	1.2156 	1.000 	1.2156 	3.1 

	504	EXTENSIVE 3RD DEGREE BURNS W SKIN 
		GRAFT 	excluded 	excluded 	excluded 	excluded
	505	EXTENSIVE 3RD DEGREE BURNS W/O SKIN 
		GRAFT. 	excluded 	excluded 	excluded 	excluded
	506	FULL THICKNESS BURN W SKIN GRAFT OR 

		INHAL INJ W CC OR SIG TRAUMA. 	excluded 	excluded 	excluded 	excluded
	507	FULL THICKNESS BURN W SKIN GRAFT OR 

		INHAL INJ W/O CC OR SIG TRAUMA. 	excluded 	excluded 	excluded 	excluded
	508	FULL THICKNESS BURN W/O SKIN GRAFT OR 
		INHAL INJ W CC OR SIG TRAUMA. 	excluded 	excluded 	excluded 	excluded

	509	FULL THICKNESS BURN W/O SKIN GRAFT OR 
		INHAL INJ W/O CC OR SIG TRAUMA. 	excluded 	excluded 	excluded 	excluded
	510	NON-EXTENSIVE BURNS W CC OR 

		SIGNIFICANT TRAUMA 	excluded 	excluded 	excluded 	excluded
	511	NON-EXTENSIVE BURNS W/O CC OR 
		SIGNIFICANT TRAUMA. 	excluded 	excluded 	excluded 	excluded

Appendix C: Ratios Applied to Revise Certain DRG Weights in California

Number	DRG	Ratio

	004	Spinal Procs	0.6283
	008	Peripheral/Cranial Nerve & Orth OR Nervous Sys. Procs	0.8082
	025	Seizures and Headaches: AD WO CC	0.7485
	029	Traumatic Stupor and Coma: AD WO CC	1.0025
	032	Concussion: AD WO CC	0.8749
	042	Intraocular Proc Exc. Retina, Iris and Lens	1.0661
	063	Other Ear, Nose, Mouth and Throat OR Procs	0.8753
	112	Percutaneous Cardiovascular Procs	0.8409
	140	Angina Pectoris	0.7834
	143	Chest Pain	0.8417
	160	Hernia Proc: AD Exc. Inguinal or Femoral, WO CC	0.9016
	162	Hernia Proc: AD Inguinal or Femoral, WO CC	0.8672
	209	Major Joints and Limb Reattachment, Lower Extremity	0.9500
	210	Hip and Femur, Exc Major joint Proc: AD W CC	1.1800
	211	Hip and Femur, Exc Major joint Proc: AD WO CC	0.9726
	214	Back and Neck Proc W CC	0.9674
	215	Back and Neck Procs WO CC	0.9556
	217	Wound Debridement and Skin Graft Exc. Hand	0.5717
	218	Lower Extr/Humerous Exc. Hip, Foot and Femur: 
		 AD W CC	1.0298
	219	Lower Extr/Humer. Exc. Hip, Foot and Femur: 
		 AD WO CC	0.9681
	221	Knee Proc W CC	0.8177
	222	Knee Proc WO CC	1.0382
	223	Maj. Shoulder/Elbow Proc/Other Upper Extrem. 
		 Proc W CC	0.8850
	224	Shoulder/Elbow/Forearm Proc exc. Major Joint 
		 Proc WO CC	1.0122
	225 	Foot Proc	1.0008
	227	Soft Tissue Proc WO CC	0.9443
	228	Major Thumb/Joint Proc, or Other Hand or Wrist 
		 Proc W CC	0.9063
	229	Hand and Wrist Proc, Exc. Major joint Proc WO CC	1.0367
	231	Local Excision/Removal Int. Fix. Devices Exc. 
		 Hip & Femur	0.7341
	232	Arthroscopy	0.8166
	234	Oth. Musculoskel. Sys/Connective Tissue OR Procs 
		 WO CC	0.8133
	236	Fracture of Hip and Pelvis	0.9790
	243	Medical Back	0.7609
	251	Frac, Sprain, Strain, Disloc Forearm, Hand/Foot: 
		 AD WO CC	0.9012
	254	Frac, Sprain, Strain, Disloc Up Arm/Low Leg ex Foot: 
		 AD W CC	1.0031
	266	Skin Graft/Debridement Exc. Skin Ulcer or Cellulitis 
		 WO CC	1.1306
	277	Cellulitis: AD W CC	0.7910
	278	Cellulitis: AD WO CC	0.8654
	281	Trauma to Skin, Subcutaneous Tiss and Breast: 
		 AD WO CC	0.9709
	415	Infectious and Parasitic Disease OR Proc	0.4907
	418	Postoperative and Post traumatic Infection	0.6801
	440	Wound Debridement for Injury	0.7738
	441	Hand Proc for Injury	0.9914
	443	Other Proc for Injury WO CC	1.0024
	445	Traumatic Injury: AD WO CC	0.8112
	450	Injury/Poison/Drug: AD WO CC	0.6657
	455	Other Injury/Poisoning and Toxic Effect Diagnosis 
		 WO CC	0.7483
	461	OR Proc with Diagnosis of Other Contact with 
		 Health Services	0.9207
§9792.5. Payment for Medical Treatment.
Note     •     History

This section is applicable to medical treatment rendered before October 15, 2011.
(a) As used in this section:
(1) “Claims Administrator” has the same meaning specified in  Section 9785(a)(3).
(2) “Medical treatment” means the treatment to which an employee is entitled under Labor Code Section 4600.
(3) “Physician” has the same meaning specified in Labor Code Section 3209.3.
(4) “Required report” means a report which must be submitted pursuant to Section 9785.
(5) “Treating physician” means the “primary treating physician” as that term is defined by Section 9785(a)(1).
(b) Any properly documented bill for medical treatment within the planned course, scope and duration of treatment reported under Section 9785 which is provided or authorized by the treating physician shall be paid by the claims administrator within forty five working days from receipt of each separate itemized bill and any required reports, or within sixty working days if the employer is a governmental entity, unless the bill is contested, as specified in subdivisions (d), and (e), within thirty working days of receipt of the bill. Any amount not contested within the thirty working days or not paid within the forty five working day period, or within sixty working days if the employer is a governmental entity, shall be increased 15%, and shall carry interest at the same rate as judgments in civil actions retroactive to the date of receipt of the bill.
For purposes of this Section, treatment which is provided or authorized by the treating physician includes but is not limited to treatment provided by a “secondary physician” as that term is defined by Section 9785(a)(2).
(c) A claims administrator who objects to all or any part of a bill for medical treatment shall notify the physician or other authorized provider of the objection within thirty working days after receipt of the bill and any required report and shall pay any uncontested amount within forty five working days, or within sixty working days if the employer is a governmental entity, after receipt of the bill. If a required report is not received with the bill, the periods to object or pay shall commence on the date of receipt of the bill or report, whichever is received later. If the claims administrator receives a bill and believes that it has not received a required report to support the bill, the claims administrator shall so inform the medical provider within thirty working days of receipt of the bill. An objection will be deemed timely if sent by first class mail and postmarked on or before the thirtieth working day after receipt, or if personally delivered or sent by electronic facsimile on or before the thirtieth working day after receipt. Any notice of objection shall include or be accompanied by all of the following:
(1) An explanation of the basis for the objection to each contested procedure and charge. The original procedure codes used by the physician or authorized provider shall not be altered. If the objection is based on appropriate coding of a procedure, the explanation shall include both the code reported by the provider and the code believed reasonable by the claims administrator.
(2) If additional information is necessary as a prerequisite to payment of the contested bill or portions thereof, a clear description of the information required.
(3) The name, address, and telephone number of the person or office to contact for additional information concerning the objection.
(4) A statement that the treating physician or authorized provider may adjudicate the issue of the contested charges before the Workers' Compensation Appeals Board.
(d) An objection to charges from a hospital, outpatient surgery center, or independent diagnostic facility shall be deemed sufficient if the provider is advised, within the thirty working day period specified in subdivision (d), that a request has been made for an audit of the billing, when the results of the audit are expected, and contains the name, address, and telephone number of the person or office to contact for additional information concerning the audit.
(e) The above provisions are altered for services rendered prior to January 1, 2004, as follows:
(1) Claims administrators shall pay any uncontested amount within sixty days after receipt of the bill, and
(2) Any amount not contested within the thirty working days or not paid within the sixty day period shall be increased 10% and shall carry interest at the same rate as judgments in civil actions retroactive to the date of receipt of the bill.
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4603.2 and 5307.1, Labor Code. 
HISTORY

1. New section filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16).
2. Amendment of subsections (b), (d), (d)(1), (f) and (g) filed 9-25-95; operative 9-25-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 39).
3. Change without regulatory effect amending section and Note filed 6-12-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 24).
4. New first paragraph, amendment of subsection (b), repealer of subsection (c), subsection relettering, amendment of newly designated subsection (c) and new subsections (e)-(e)(2) filed 4-18-2011; operative 4-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 16).
Article 5.5.0. Rules for Medical Treatment Billing and Payment on or After October 15, 2011
§9792.5.0. Definitions.
Note     •     History

As used in this article:
(a) “Assignee” means a person or entity that has purchased the right to payments for medical goods or services from the health care provider or health care facility and is authorized by law to collect payment from the responsible payer.
(b) “Billing Agent” means a person or entity that has contracted with a health care provider or health care facility to process bills for services provided by the health care provider or health care facility. 
(c) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(d) “Health Care Facility” means any facility as defined in Section 1250 of the Health and Safety Code, any surgical facility which is licensed under subdivision (b) of Section 1204 of the Health and Safety Code, any outpatient setting as defined in Section 1248 of the Health and Safety Code, any surgical facility accredited by an accrediting agency approved by the Licensing Division of the Medical Board of California pursuant to Health and Safety Code Sections 1248.15 and 1248.4, or any ambulatory surgical center or hospital outpatient department that is certified to participate in the Medicare program under Title XVIII (42 U.S.C. Sec. 1395 et seq.) of the federal Social Security Act.
(e) “Health Care Provider” means a provider of medical treatment, goods and services provided pursuant to Labor Code section 4600, including but not limited to a physician, a non-physician or any other person or entity who furnishes medical treatment, goods or services in the normal course of business.
(f) “Physician” includes physicians and surgeons holding an M.D. or D.O. degree, psychologists, acupuncturists, optometrists, dentists, podiatrists, and chiropractic practitioners licensed by California state law and within the scope of their practice as defined by California state law. 
(1) “Psychologist” means a licensed psychologist with a doctoral degree in psychology, or a doctoral degree deemed equivalent for licensure by the Board of Psychology pursuant to Section 2914 of the Business and Professions Code, and who either has at least two years of clinical experience in a recognized health setting or has met the standards of the National Register of the Health Service Providers in Psychology. 
(2) “Acupuncturist” means a person who holds an acupuncturist's certificate issued pursuant to Chapter 12 (commencing with Section 4925) of Division 2 of the Business and Professions Code. 
NOTE

Authority cited: Sections 133, 4603.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 3209.3, 4603.2, 4603.4 and 5307.1, Labor Code. 
HISTORY

1. New article 5.5.0 (sections 9792.5.0-9792.5.3) and section filed 4-18-2011; operative 4-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 16).
§9792.5.1. Medical Billing and Payment Guide; Electronic Medical Billing and Payment Companion Guide; Various Implementation Guides.
Note     •     History

(a) The California Division of Workers' Compensation Medical Billing and Payment Guide, version 1.1, which sets forth billing, payment and coding rules for paper and electronic medical treatment bill submissions, is incorporated by reference. It may be downloaded from the Division of Workers' Compensation through the Department of Industrial Relations' website at www.dir.ca.gov or may be obtained by writing to:

DIVISION OF WORKERS' COMPENSATION
MEDICAL UNIT
ATTN: MEDICAL BILLING AND PAYMENT GUIDE
P.O. BOX 71010
OAKLAND, CA 94612
(b) The California Division of Workers' Compensation Electronic Medical Billing and Payment Companion Guide, version 1.1, which sets forth billing, payment and coding rules and technical information for electronic medical treatment bill submissions, is incorporated by reference. It may be downloaded from the Division of Workers' Compensation website at www.dir.ca.gov or may be obtained by writing to:

DIVISION OF WORKERS' COMPENSATION
MEDICAL UNIT
ATTN: MEDICAL BILLING AND PAYMENT COMPANION GUIDE
P.O. BOX 71010
OAKLAND, CA 94612
(c) The HIPAA-approved Technical Reports Type 3 for billing listed in subdivision (c)(1) through (3) are incorporated by reference. They may be obtained for a fee from the ASC X12's Secretariat, the Data Interchange Standards Association (DISA):
Data Interchange Standards Association (DISA) at http://store. x12.org
(1)(A) ASC X12N/005010X222 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Professional (837)
  MAY 2006
(B) ASC X12N/005010X222E1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Professional (837)
  Errata
  January 2009
(C) ASC X12N/005010X222A1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Professional (837)
  Errata
  June 2010
(2)(A) ASC X12N/005010X223 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Institutional (837)
  MAY 2006
(B) ASC X12N/005010X223A1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Institutional (837)
  Errata Type 1
  OCTOBER 2007
(C) ASC X12N/005010X223E1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Institutional (837)
  Errata
  JANUARY 2009
(D) ASC X12N/005010X223A2 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Institutional (837)
  Type 1 Errata
  June 2010
(3)(A) ASC X12N/005010X224 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Dental (837)
  MAY 2006
(B) ASC X12N/005010X224A1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Dental (837)
  Errata Type 1
  OCTOBER 2007
(C) ASC X12N/005010X224E1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Dental (837)
  Errata
  JANUARY 2009
(D) ASC X12N/005010X224A2 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim: Dental (837)
  Errata
  June 2010
(d) The HIPAA-approved implementation guides for pharmacy billing listed in subdivision (d)(1) and (2) are incorporated by reference. They may be obtained for a fee from the National Council for Prescription Drug Programs (NCPDP), 9240 E. Raintree Drive, Scottsdale, AZ 85260; Telephone (480) 477-1000; and FAX (480) 767-1042. They may also be obtained through the Internet at http://www.ncpdp.org. 
(1) Telecommunication Standard Implementation Guide Version D.0, August 2007, National Council for Prescription Drug Programs.
(2) The Batch Standard Implementation Guide, Version 1.2, 2006, National Council for Prescription Drug Programs.
(e) The following HIPAA-approved Technical Report Type 3 and errata, for acknowledgment and remittance are incorporated by reference:
(1)(A) ASC X12C/005010X231
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Implementation Acknowledgment for Health Care Insurance (999)
  June 2007
(B) ASC X12C/005010X231A1
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Implementation Acknowledgment for Health Care Insurance (999)
  June 2010
(2)(A) ASC X12N/005010X214
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Acknowledgment (277)
  January 2007
(B) ASC X12N/005010X214E1
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Acknowledgment (277)
  April 2008
(C) ASC X12N/005010X214E2
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Acknowledgment (277)
  January 2009
(3)(A) ASC X12N/005010X221 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Payment/Advice (835)
  APRIL 2006
(B) ASC X12N/005010X221E1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Payment/Advice (835)
  Errata
  JANUARY 2009
(C) ASC X12N/005010X221A1 
  Based on Version 5, Release 1
  ASC X12 Standards for Electronic Data Interchange
  Technical Report Type 3
  Health Care Claim Payment/Advice (835)
  Errata
  June 2010
They may be obtained for a fee from the Data Interchange Standards Association (DISA) at: http://store.x12.org 
(f) The National Uniform Claim Committee 1500 Health Insurance Claim Form Reference Instruction Manual for 08/05 Version, Version 6.0 07/10, and the 1500 Form (revised 08-05) are incorporated by reference. The manual can be obtained directly from the National Uniform Claim Committee at:
http://www.nucc.org/index.php?option=com_content&task= view&id=33&Itemid=42 .
(g) The National Uniform Billing Committee Official UB-04 Data Specifications Manual 2011, Version 5.0, July 2010, including the UB-04 form, is incorporated by reference. The manual can be obtained from the National Uniform Billing Committee at http://www.nubc.org/become.html by becoming a UB-04 committee paid subscriber. 
(h) The Manual Claim Forms Reference Implementation Guide Version 1.0, October 2008, National Council of Prescription Drug Programs (NCPDP) Data Specifications Manual including the NCPDP paper WC/PC Universal Claim Form Version 1.1 -- 05/2009, except pages 13-36, is incorporated by reference. The manual can be obtained from the NCPCP's vendor at: www.communiform.com/ncpdp.
(i) The CDT 2011-2012: ADA Practical Guide to Dental Procedure Codes, including the ADA 2006 Dental Claim Form, is incorporated by reference. The manual can be obtained from the American Dental Association at:

AMERICAN DENTAL ASSOCIATION
HTTP://WWW.ADA.ORG/
211 EAST CHICAGO AVE.
CHICAGO, IL 60611-2678
Or on the web at:

HTTP://WWW.ADA.ORG/ 
NOTE

Authority cited: Sections 133, 4603.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 4603.4, Labor Code.
HISTORY

1. New section filed 4-18-2011; operative 4-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 16).
2. Amendment of subsections (a), (b) and (h) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.2. Standardized Medical Treatment Billing Forms/Formats, Billing Rules, Requirements for Completing and Submitting Form CMS 1500, Form CMS 1450 (or UB-04), American Dental Association Form, Version 2006, NCPDP Workers' Compensation / Property & Casualty Universal Claim Form, Payment Requirements.
Note     •     History

(a) On and after October 15, 2011, all paper bills for medical treatment provided by health care providers and health care facilities shall be submitted on billing forms set forth in the California Division of Workers' Compensation Medical Billing and Payment Guide.
(b) On and after October 15, 2011, all medical bills shall conform to the provisions of the California Division of Workers' Compensation Medical Billing and Payment Guide which includes coding, billing standards, timeframes and other rules.
(c) On and after October 18, 2012, all bills for medical treatment provided by health care providers and health care facilities may be electronically submitted to the claims administrator for payment. Electronic bills submitted on or after that date shall conform to the applicable provisions of the California Division of Workers' Compensation Medical Billing and Payment Guide and the California Division of Workers' Compensation Electronic Medical Billing and Payment Companion Guide.
(d) Except as otherwise specifically provided, legally authorized billing agents and assignees shall submit bills in the same manner as the original rendering provider or facility would be required to do had the bills been submitted by the provider or facility directly and shall conform to applicable provisions of the California Division of Workers' Compensation Medical Billing and Payment Guide and the California Division of Workers' Compensation Medical Billing and Payment Companion Guide. 
NOTE

Authority cited: Sections 133, 4603.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2 and 4603.4, Labor Code.
HISTORY

1. New section filed 4-18-2011; operative 4-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 16).
§9792.5.3. Medical Treatment Bill Payment Rules.
Note     •     History

(a) On and after October 15, 2011, claims administrators shall conform to the payment, communication, penalty, and other provisions contained in the California Division of Workers' Compensation Medical Billing and Payment Guide, except that the provisions relating to the payment of electronic medical bills shall become effective on October 18, 2012. This subdivision does not apply to processing or payment of bills submitted before October 15, 2011.
(b) On and after October 18, 2012 claims administrators shall conform to the payment, communication, penalty, and other provisions contained in the California Division of Workers' Compensation Electronic Medical Billing and Payment Companion Guide.
NOTE

Authority cited: Sections 133, 4603.3, 4603.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4603.2, 4603.3 and 4603.4, Labor Code.
HISTORY

1. New section filed 4-18-2011; operative 4-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 16).
2. Amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.4. Second Review and Independent Bill Review -- Definitions.
Note     •     History

This section is applicable to medical treatment rendered, or medical-legal expenses incurred, on or after January 1, 2013.
(a) “Amount of payment” means the amount of money paid by the claims administrator for either:
(1) Medical treatment services rendered by a provider or goods supplied in accordance with Labor Code section 4600 that was authorized by Labor Code section 4610, and for which there exists an applicable fee schedule located at sections 9789.10 to 9789.111, or for which a contract for reimbursement rates exists under Labor Code section 5307.11.
(2) Medical-legal expenses, as defined by Labor Code section 4620, where the payment for the services are determined by sections 9793-9795 and 9795.1-9795.4.
(b) “Billing Code” means those codes adopted by the Administrative Director for use in the Official Medical Fee Schedule, located at sections 9789.10 to 9789.111, or in the Medical-Legal Fee Schedule, located at sections 9795(c) and 9795(d). 
(c) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(d) “Contested liability” means the existence of a good-faith issue which, if resolved against the injured worker, would defeat the right to any workers' compensation benefits or the existence a good-faith issue that would defeat a provider's right to receive compensation for medical treatment services provided in accordance with Labor Code section 4600 or for medical-legal expenses defined in Labor Code section 4620. 
(e) “Consolidation” means combining two or more requests for independent bill review together for the purpose of having the payment reductions contested in each request resolved in a single determination.
(f) “Explanation of review” means the document described in Labor Code section 4603.3 provided by a claims administrator to a provider upon the payment, adjustment, or denial of a complete or incomplete itemization of medical services. 
(g) “Independent bill review organization” or “IBRO” means the organization or the organizations designated by the Administrative Director pursuant to Labor Code section 139.5 to perform independent bill review under Labor Code section 4603.6.
(h) “Independent bill reviewer” means an individual retained by the IBRO and subject to the provisions of Labor Code section 139.5 to review a request for independent bill review, with supporting documentation, and issue a determination under the Article.
(i) “Provider” means a provider of medical treatment services or goods whose billing processes are governed by Labor Code section 4603.2 or 4603.4, or a provider of medical-legal services whose billing processes are governed by Labor Code sections 4620 and 4622, that has requested a second bill review and, if applicable, independent bill review to resolve a dispute over the amount of payment for services according to either a fee schedule established by the Administrative Director or a contract for reimbursement rates under Labor Code section 5307.11. 
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.5. Second Review of Medical Treatment Bill or Medical--Legal Bill.
Note     •     History

(a) If the provider disputes the amount of payment made by the claims administrator on a bill for medical treatment services rendered on or after January 1, 2013, submitted pursuant to Labor Code section 4603.2, or Labor Code section 4603.4, or bill for medical-legal expenses incurred on or after January 1, 2013, submitted pursuant to Labor Code section 4622, the provider may request the claims administrator to conduct a second review of the bill. 
(b) The second review must be requested within 90 days of:
(1) The date of service of the explanation of review provided by a claims administrator in conjunction with the payment, adjustment, or denial of the initially submitted bill, if a proof of service accompanies the explanation of review.
(A) The date of receipt of the explanation of review by the provider is deemed the date of service, if a proof of service does not accompany the explanation of review and the claims administrator has documentation of receipt. 
(B) If the explanation of review is sent by mail and if in the absence of a proof of service or documentation of receipt, the date of service is deemed to be five (5) calendar days after the date of the United States postmark stamped on the envelope in which the explanation of review was mailed.
(2) The date of service of an order of the Workers' Compensation Appeal Board resolving any threshold issue that would preclude a provider's right to receive compensation for the submitted bill. 
(c) The request for second review shall be made as follows:
(1) For a non-electronic medical treatment bills, the second review shall be on either:
(A) The initially reviewed bill submitted on a CMS 1500 or UB04, as modified by this subdivision. The bill shall be marked using the National Uniform Billing Committee (NUBC) Condition Code Qualifier “BG” followed by NUBC Condition Code “W3” in the field designated for that information to indicate a request for second review, or, for the ADA 2006 form, the words “Request for Second Review” will be marked in Field 1, or for the NCPDP WC/PC Claim Form, the words “Request for Second Review” may be written on the form.
(B) Requested on the Request for Second Bill Review form, DWC Form SBR-1, set forth at section 9792.5.6. 
(2) For electronic medical treatment bills for professional, institutional or dental services, the request for second review shall be submitted on the correct electronic standard format, utilizing the National Uniform Billing Committee (NUBC) Condition Code Qualifier “BG” followed by NUBC Condition Code “W3” as specified in the Division of Workers' Compensation Electronic Medical Billing and Payment Companion Guide. 
(3) For an electronic pharmacy bill that used either the NCPDP Telecommunications D.0 or the NCPDP Batch Standard Implementation Guide 1.2, the method for identifying a request for second review may be addressed in the trading partner agreement, or the second review may be requested on the DWC Form SBR-1. 
(4) For medical-legal bills, the second review shall be requested on the Request for Second Bill Review form, DWC Form SBR-1, set forth at section 9792.5.6. 
(d) The request for second review shall include:
(1) The original dates of service and the same itemized services rendered as the original bill. No new dates of service may be included.
(2) In addition to the bill as modified in this subdivision, the second review request shall include, as applicable, the following:
(A) The date of the explanation of review and the claim number or other unique identifying number provided on the explanation of review.
(B) The item and amount in dispute.
(C) The additional payment requested and the reason therefor.
(D) The additional information provided in response to a request in the first explanation of review or any other additional information provided in support of the additional payment requested.
(e) If the only dispute is the amount of payment and the provider does not request a second review within the timeframes set forth in subdivision (b), the bill shall be deemed satisfied and neither the claims administrator nor the employee shall be liable for any further payment.
(f) Within 14 days of receipt of a request for second review, the claims administrator shall respond to the provider with a final written determination on each of the items or amounts in dispute by issuing an explanation of review. The determination shall contain all the information that is required to be set forth in an explanation of review under Labor Code section 4603.3, including an explanation of the time limit to raise any further objection regarding the amount paid for services and how to obtain independent bill review under Labor Code section 4603.6.
(1) The 14-day time limit for responding to a request for second review may be extended by mutual written agreement between the provider and the claims administrator. 
(2) Any properly documented itemized service provided and not paid within the timeframes described in Labor Code section 4603.2(b)(2) and (3) shall be paid at the rates then in effect and increased by fifteen (15) percent, together with interest at the same rate as judgments in civil actions retroactive to the date of receipt of the provider's initial itemized billing, if the claims administrator untimely communicates the final written determination under this section. 
(g) Payment of any balance not in dispute shall be made within 21 days of receipt of the request for second review. 
(h) If the provider further contests the amount paid after receipt of the final written determination following a second review, the provider shall request an independent bill review pursuant to this Article. 
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3, 4603.4, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.6. Provider's Request for Second Bill Review -- Form.
History

Provider's Request for Second Bill Review. DWC Form SBR-1. 

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HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.7. Requesting Independent Bill Review.
Note     •     History

(a) If the provider further contests the amount of payment made by the claims administrator on a bill for medical treatment services rendered on or after January 1, 2013, submitted pursuant to Labor Code sections 4603.2 or 4603.4, or bill for medical-legal expenses incurred on or after January 1, 2013, submitted pursuant to Labor Code section 4622, following the second review conducted under section 9792.5.5, the provider shall request an independent bill review. Unless consolidated under section 9792.5.12, a request for independent bill review shall only resolve:
(1) For a bill for medical treatment services, a dispute over the amount of payment for services billed by a single provider involving one injured employee, one claims administrator, one date of service, and one billing code under the applicable fee schedule adopted by the Administrative Director or, if applicable, under a contract for reimbursement rates under Labor Code section 5307.11 covering one range of effective dates.
(2) For a bill for medical-legal expenses, a dispute over the amount of payment for services billed by a single provider involving one injured employee, one claims administrator, and one medical-legal evaluation including supplemental reports based on that same evaluation, if any. 
(b) Unless as permitted by section 9792.5.12, independent bill review shall only be conducted if the only dispute between the provider and the claims administrator is the amount of payment owed to the provider. Any other issue, including issues of contested liability or the applicability of a contract for reimbursement rates under Labor Code section 5307.11 shall be resolved before seeking independent bill review. Issues that are not eligible for independent bill review shall include: 
(1) The determination of a reasonable fee for services where that category of services is not covered by a fee schedule adopted by the Administrative Director or a contract for reimbursement rates under Labor Code section 5307.11.
(2) The proper selection of an analogous code or formula based on a fee schedule adopted by the Administrative Director, or, if applicable, a contract for reimbursement rates under Labor Code section 5307.11, unless the fee schedule or contract allows for such analogous coding.
(c) The request for independent bill review must be made within 30 days of:
(1) The date of service of the final written determination issued by the claims administrator under section 9792.5.5(f), if a proof of service accompanies the final written determination.
(2) The date of receipt of the final written determination by the provider, if a proof of service does not accompany the final written determination and the claims administrator has documentation of receipt. 
(3) The date that is five (5) calendar days after the date of the United States postmark stamped on the envelope in which the final written determination was mailed if the final written determination is sent by mail and there is no proof of service or documentation of receipt.
(4) The date of resolution in favor of the provider of any issue of contested liability. 
(5) The date of service of an order of the Workers' Compensation Appeal Board resolving in favor of the provider any threshold issue that would have precluded a provider's right to receive compensation for medical treatment services provided in accordance with Labor Code section 4600 or for medical-legal expenses defined in Labor Code section 4620. 
(d)(1) The request for independent bill review shall be made in one of the following manners: 
(A) Completing and electronically submitting the online Request for Independent Bill Review form, which can be accessed on the Internet at the Division of Workers' Compensation's website. The website link for the online form can be found at https://ibr.dir.ca.gov. Electronic payment of the required fee of $335.00 shall be made at the time the request is submitted. 
(B) Mailing the Request for Independent Bill Review form, DWC Form IBR-1, set forth in section 9792.5.8, and simultaneously paying the required fee of $335.00 as instructed on the form. 
(2) The provider will include with the request form submitted under this subdivision, either by electronic upload or by mail, a copy of the following documents:
(A) The original billing itemization;
(B) Any supporting documents that were furnished with the original billing;
(C) If applicable, the relevant contract provisions for reimbursement rates under Labor Code section 5307.11;
(D) The explanation of review that accompanied the claims administrator's response to the original billing;
(E) The provider's request for second review of the claims administrator's original response to the billing;
(F) Any supporting documentation submitted to the claims administrator with that request for second review;
(G) The final written determination of the second review (explanation of review) issued by the claims administrator to the provider.
(e) The provider may request that two or more disputes that would each constitute a separate request for independent bill review be consolidated for a single determination under section 9792.5.12. 
(f) The provider shall concurrently serve a copy of the request for independent bill review upon the claims administrator with a copy of the supporting documents submitted under subdivision (d). Any document that was previously provided to the claims administrator or originated from the claims administrator need not be served if a written description of the document and its date is served.
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.8. Request for Independent Bill Review Form.
History

Request for Independent Bill Review. DWC Form IBR-1.

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HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.9. Initial Review and Assignment of Request for Independent Bill Review to IBRO.
Note     •     History

(a) Upon receipt of the Request for Independent Bill Review under section 9792.5.7, the Administrative Director, or his or her designee, shall conduct a preliminary review to determine whether the request is ineligible for review. In making this determination, the Administrative Director shall consider: 
(1) The timeliness and completeness of the request;
(2) If a second request for review of the bill was completed;
(3) Whether, for a bill for medical treatment services, the medical treatment was authorized by the claims administrator under Labor Code section 4610. 
(4) If the required fee for the review was not paid; 
(5) Any previous or duplicate requests for independent bill review of the same bill for medical treatment services or bill for medical-legal expenses. 
(6) If the dispute between the provider and the claims administrator is ineligible under section 9792.5.7(b) or contains any other issue than the amount of payment of the bill. 
(7) Other reasons, if any, that the application may be ineligible for independent bill review.
(b) If the request appears eligible for review, the Administrative Director, or his or her designee, shall notify the provider and the claims administrator by the most efficient means available that request for independent bill review has been submitted and appears eligible for assignment to an IBRO. The notification shall contain:
(1) A independent bill review case or identification number;
(2) The date the Request for Independent Bill Review, DWC Form IBR-1, was received by the Administrative Director
(3) A statement that the claims administrator may dispute eligibility for independent bill review under subdivision (a) by submitting a statement with supporting documents, and that the Administrative Director or his or her designee must receive the statement and supporting documents within fifteen (15) calendar days of the date designated on the notification, if the notification was provided by mail, or within twelve (12) calendar days of the date designated on the notification if the notification was provided electronically. 
(c) Any document filed with the Administrative Director, or his or her designee, under subdivision (b)(3) must be served on the other party. Any document that was previously provided to the other party or originated from the other party need not be served if a written description of the document and its date is served.
(d) Upon receipt of the documents requested in subdivision (b)(3), or, if no documents have been received, upon the expiration of fifteen (15) days of the date designated on the notification, if the notification was provided by mail, or within twelve (12) days of the date designated on the notification if the notification was provided electronically, the Administrative Director, or his or her designee, shall conduct a further review in order to make a determination as to whether the request is ineligible for independent bill review under subdivision (a). 
(e) If the review conducted under either subdivision (a) or subdivision (d) finds that the request is ineligible for independent bill review, the Administrative Director shall, within fifteen (15) days following receipt of the documents requested in subdivision (b)(3) or, if no documents are received, the expiration of the time period indicated above, issue a written determination informing the provider and claims administrator that the request is not eligible for independent bill review and the reasons therefor. 
(1) If a request is deemed ineligible under this section, the provider shall be reimbursed the amount of $270.00. 
(2) The provider or the claims administrator may appeal an eligibility determination by the Administrative Director by filing a petition with the Workers' Compensation Appeals Board and serving a copy on all interested parties, including the Administrative Director, within 30 days of receipt of the determination. 
(f) If the Administrative Director or his or her designee determines from the review conducted under subdivision (a) or (d), whichever applies, that the request is eligible for independent bill review, the Administrative Director shall assign the request to an IBRO for an independent bill review. Upon assignment of the request, the IBRO shall notify the parties in writing that the request has been assigned to that organization for review. The notification shall contain:
(1) The name and address of the IBRO;
(2) A independent bill review case or identification number;
(3) Identification of the disputed amount of payment made by the claims administrator on a bill for medical treatment services submitted pursuant to Labor Code sections 4603.2 or 4603.4, or bill for medical-legal expenses submitted pursuant to Labor Code section 4622,
(g) After the assignment to the IBRO, the request shall immediately be assigned to an independent bill reviewer who does not have any material professional, familial, or financial affiliation with any of the individuals, institutions, facilities, services or products as described in Labor Code section 139.5 (c) (2) to review and resolve the dispute.
(h) If in the course of conducting an independent bill review it is determined that the bill reviewer assigned to the dispute has a prohibited interest as described in in Labor Code Section 139.5 (c) (2), the IBRO shall reassign the matter to a different independent bill reviewer.
(i) Upon reassignment under subdivision (h), the IBRO shall immediately notify the Administrative Director, the provider, and claims administrator of the reassignment of the dispute to a different independent bill reviewer.
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.10. Independent Bill Review -- Document Filing.
Note     •     History

(a) The independent bill reviewer assigned the request shall review all information provided by the parties to determine if any additional information is necessary to resolve the dispute. If the independent bill reviewer determines that additional information is necessary, the independent bill reviewer shall contact the claims administrator and the provider in writing to request the information. 
(b) If the independent bill reviewer requests information from either the claims administrator or the provider, or both, the party shall file the documents with the independent bill reviewer at the address listed in the correspondence in Section 9792.5.9(f) within 35 days of the request, if the request is made by mail, or 32 days of the request, if the request is made electronically. The filing party shall serve the non-filing party with the documents requested by the independent bill reviewer. 
(C) Except for the documents submitted under this section, and those requested under section 9792.5.12, neither the provider nor the claims administrator shall file any additional documents with the independent bill reviewer.
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.11. Withdrawal of Independent Bill Review.
Note     •     History

(a) Following the submission of all required documents under section 9792.5.10 or 9792.5.12, the provider may withdraw his or her request for independent bill review, before a determination on the amount of payment owed, if the provider and claims administrator settle their dispute regarding the amount of payment of the medical bill. If the provider and claims administrator settle their dispute, they shall make a written joint request for withdrawal and serve it on the independent bill reviewer. 
(b) If a request for independent bill review is withdrawn under this section, the provider shall not be reimbursed the fee provided with the request under section 9792.5.7(d). 
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.12. Independent Bill Review -- Consolidation or Separation of Requests.
Note     •     History

(a) With a request for independent bill review submitted under section 9792.5.7, a provider may request combining two or more requests for independent bill review together for the purpose of having the payment reductions contested in each request resolved in a single determination issued under section 9792.5.14. 
(b) In applying this section, the following definitions shall be used:
(1) “Common issues of law and fact” means the denial or reduction of the amount of payment in each request was made for similar reasons and arose from a similar fact pattern material to the reason for the denial or reduction. 
(2) “Delivery of similar or related services” means like or coordinated medical treatment services or items provided to one or more injured employees.
(c) Two or more requests for independent bill review by a single provider may be consolidated if the Administrative Director or the IBRO determines that the requests involve common issues of law and fact or the delivery of similar or related services.
(1) Requests for independent bill review by a single provider involving multiple dates of medical treatment services may be consolidated and treated as one single independent bill review request if the requests involve one injured employee, one claims administrator, and one billing code under an applicable fee schedule adopted by the Administrative Director, or, if applicable, under a contract for reimbursement rates under Labor Code section 5307.11, and the total amount in dispute does not exceed $4,000.00. 
(2) Requests for independent bill review by a single provider involving multiple billing codes under applicable fee schedules adopted by the Administrative Director or, if applicable, under a contract for reimbursement rates under Labor Code section 5307.11, may be consolidated with no limit on the total dollar amount in dispute and treated as one request if the request involves one injured employee, one claims administrator, and one date of medical treatment service.
(3) Upon a showing of good cause and after consultation with the Administrative Director, the IBRO may allow the consolidation of requests or independent bill review by a single provider showing a possible pattern and practice of underpayment by a claims administrator for specific billing codes. Requests to be consolidated under the subdivision shall involve multiple injured employees, one claim administrator, one billing code, one or multiple dates of service, and aggregated amounts in dispute up to $4,000.00 or individual amounts in dispute less than $50.00 each.
(d) Upon filing a request for independent bill review under section 9792.5.7, the provider, if requesting the consolidation of separate requests, shall, in addition to providing the filing fee of $335.00, specify all of the requests for independent bill review sought to be consolidated with a description of how the requests involve common issues of law and fact or delivery of similar or related services. Once consolidation has been granted no other disputes shall be added to the consolidated disputes.
(e) The IBRO may disaggregate into separate independent bill review requests a single request that does not meet the standards set forth in subdivision (c) of this section. For any independent bill review request that must be disaggregated, the same fee shall be charged for each additional independent bill review request as charged for one independent bill review request. 
(1) If an independent bill review request must be separated, the IBRO shall immediately provide notice in writing to the provider and claims administrator stating the reasons for disaggregation, and shall inform the provider of the additional fee or fees required to perform the independent bill review.
(2) Within ten (10) days following receipt of the notification informing the provider of the separation of requests, the provider shall submit to the IBRO any additional fee or fees necessary to conduct independent bill review. The failure to provide the additional fee or fees shall subject the request to a determination of ineligibility under section 9792.5.9.
(f) Nothing in this section shall extend the time for issuing a determination required by Labor Code section 4603.6 (e).
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.13. Independent Bill Review -- Review.
Note     •     History

(a) If the request for independent bill review involves the application of the Official Medical Fee Schedule (OMFS) for the payment of medical treatment services or goods as defined in Labor Code section 4600, the independent bill reviewer shall apply the provisions of sections 9789.10 to 9789.111 to determine the additional amounts, if any, that are to be paid to the provider.
(b) If the request for independent bill review involves the application of a contract for reimbursement rates under Labor Code section 5307.11 for the payment of medical treatment services as defined in Labor Code section 4600, the independent bill reviewer shall apply the contract to determine the additional amounts, if any, that are to be paid to the provider.
(c) If the request for independent bill review involves the application of the Medical-Legal Fee Schedule (M/L Fee Schedule) for services defined in Labor Code section 4620, the independent bill reviewer shall apply the provisions of sections 9793-9795 and 9795.1 to 9795.4 to determine the additional amounts, if any, that are to be paid to the provider.
(d) In applying this section, the independent bill reviewer shall apply the provisions of the OMFS, the M/L Fee Schedule, and, if applicable, the contract for reimbursement rates under Labor Code section 5307.11, as if the bill is being reviewed for the first time.
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.14. Independent Bill Review -- Determination.
Note     •     History

(a) Within sixty (60) days of the assignment of a dispute to an independent bill reviewer under section 9792.5.9(g), the reviewer shall issue a written determination, in plain language, if any additional amount of money is owed the provider under the request for independent bill review. The determination shall state the reasons for the determination and the information received and relied upon by the independent bill reviewer in rendering the determination.
(b) If the independent bill reviewer finds any additional amount of money is owed to the provider, the determination shall also order the claims administrator to reimburse the provider the amount of the filing fee in addition to any additional payments for services found owing.
(c) The independent bill reviewer shall serve the determination on the provider, the claims administrator and the Administrative Director.
(d) The determination issued by the independent bill reviewer shall be deemed to be the determination of the Administrative Director and shall be binding on all parties.
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.5.15. Independent Bill Review -- Implementation of Determination and Appeal.
Note     •     History

(a) Upon receiving the determination of the Administrative Director that an additional amount of money is owed to the provider on a bill for medical treatment services submitted pursuant to Labor Code sections 4603.2 or 4603.4, or bill for medical-legal expenses submitted pursuant to Labor Code section 4622, the claims administrator shall, unless appealed under subdivision (b), pay the additional amounts set forth in the determination per the timely payment requirements set forth in Labor Code sections 4603.2 and 4603.4.
(b) The provider or the claims administrator may appeal a determination of the Administrative Director under section 9792.5.14 by filing a verified petition with the Workers' Compensation Appeals Board and serving a copy on all interested parties, including the Administrative Director, within 20 days of mailing of the determination. 
(c) The determination of the Administrative Director shall be presumed to be correct and shall be set aside by the Workers' Compensation Appeals Board only upon proof by clear and convincing evidence of one or more of the following grounds for appeal:
(1) The Administrative Director acted without or in excess of his or her powers.
(2) The determination of the Administrative Director was procured by fraud.
(3) The independent bill reviewer was subject to a material conflict of interest that is in violation of Labor Code section 139.5.
(4) The determination was the result of bias on the basis of race, national origin, ethnic group identification, religion, age, sex, sexual orientation, color, or disability.
(5) The determination was the result of a plainly erroneous express or implied finding of fact, provided that the mistake of fact is a matter of ordinary knowledge based on the information submitted for review and not a matter that is subject to expert opinion.
(e) If the final determination of the Administrative Director is reversed on the basis of the criteria set forth in subdivision (c), the dispute shall be remanded to the Administrative Director. The Administrative Director shall:
(1) Submit the dispute to independent medical review by a different IBRO, if available;
(2) If a different IBRO is not available after remand, the Administrative Director shall submit the dispute to the original IBRO for review by a different reviewer in the organization. 
NOTE

Authority cited: Sections 133, 4603.6, 5307.3 and 5307.6, Labor Code. Reference: Sections 4060, 4061, 4061.5, 4062, 4600, 4603.2, 4603.3. 4603.4, 4603.6, 4620, 4621, 4622, 4625, 4628 and 5307.6, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 5.5.1. Utilization Review Standards
§9792.6. Utilization Review Standards--Definitions -- For Utilization Review Decisions Issued Prior to July 1, 2013 for Injuries Occurring Prior to January 1, 2013.
Note     •     History

The following definitions apply to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for an occupational injury or illness occurring prior to January 1, 2013 if the decision on the request is communicated to the requesting physician prior to July 1, 2013. 
(a) “ACOEM Practice Guidelines” means the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines, Second Edition. 
(b) “Authorization” means assurance that appropriate reimbursement will be made for an approved specific course of proposed medical treatment to cure or relieve the effects of the industrial injury pursuant to section 4600 of the Labor Code, subject to the provisions of section 5402 of the Labor Code, based on the Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021, or on the “Primary Treating Physician's Progress Report,” DWC Form PR-2, as contained in section 9785.2, or in narrative form containing the same information required in the DWC Form PR-2.
(c) “Claims Administrator” is a self-administered workers' compensation insurer, an insured employer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, a third-party claims administrator or other entity subject to Labor Code section 4610. The claims administrator may utilize an entity contracted to conduct its utilization review responsibilities.
(d) “Concurrent review” means utilization review conducted during an inpatient stay. 
(e) “Course of treatment” means the course of medical treatment set forth in the treatment plan contained on the “Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021, or on the “Primary Treating Physician's Progress Report,” DWC Form PR-2, as contained in section 9785.2 or in narrative form containing the same information required in the DWC Form PR-2. 
(f) “Emergency health care services” means health care services for a medical condition manifesting itself by acute symptoms of sufficient severity such that the absence of immediate medical attention could reasonably be expected to place the patient's health in serious jeopardy. 
(g) “Expedited review” means utilization review conducted when the injured worker's condition is such that the injured worker faces an imminent and serious threat to his or her health, including, but not limited to, the potential loss of life, limb, or other major bodily function, or the normal timeframe for the decision-making process would be detrimental to the injured worker's life or health or could jeopardize the injured worker's permanent ability to regain maximum function. 
(h) “Expert reviewer” means a medical doctor, doctor of osteopathy, psychologist, acupuncturist, optometrist, dentist, podiatrist, or chiropractic practitioner licensed by any state or the District of Columbia, competent to evaluate the specific clinical issues involved in the medical treatment services and where these services are within the individual's scope of practice, who has been consulted by the reviewer or the utilization review medical director to provide specialized review of medical information. 
(i) “Health care provider” means a provider of medical services, as well as related services or goods, including but not limited to an individual provider or facility, a health care service plan, a health care organization, a member of a preferred provider organization or medical provider network as provided in Labor Code section 4616. 
(j) “Immediately” means within 24 hours after learning the circumstances that would require an extension of the timeframe for decisions specified in subdivisions (b)(1), (b)(2) or (c) and (g)(1) of section 9792.9.
(k) “Material modification” is when the claims administrator changes utilization review vendor or makes a change to the utilization review standards as specified in section 9792.7.
(l) “Medical Director” is the physician and surgeon licensed by the Medical Board of California or the Osteopathic Board of California who holds an unrestricted license to practice medicine in the State of California. The Medical Director is responsible for all decisions made in the utilization review process.
(m) “Medical services” means those goods and services provided pursuant to Article 2 (commencing with Labor Code section 4600) of Chapter 2 of Part 2 of Division 4 of the Labor Code. 
(n) “Prospective review” means any utilization review conducted, except for utilization review conducted during an inpatient stay, prior to the delivery of the requested medical services. 
(o) “Request for authorization” means a written confirmation of an oral request for a specific course of proposed medical treatment pursuant to Labor Code section 4610(h) or a written request for a specific course of proposed medical treatment. An oral request for authorization must be followed by a written confirmation of the request within seventy-two (72) hours. Both the written confirmation of an oral request and the written request must be set forth on the “Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021, section 14006, or on the Primary Treating Physician Progress Report, DWC Form PR-2, as contained in section 9785.2, or in narrative form containing the same information required in the PR-2 form. If a narrative format is used, the document shall be clearly marked at the top that it is a request for authorization.
(p) “Retrospective review” means utilization review conducted after medical services have been provided and for which approval has not already been given. 
(q) “Reviewer” means a medical doctor, doctor of osteopathy, psychologist, acupuncturist, optometrist, dentist, podiatrist, or chiropractic practitioner licensed by any state or the District of Columbia, competent to evaluate the specific clinical issues involved in medical treatment services, where these services are within the scope of the reviewer's practice.
(r) “Utilization review plan” means the written plan filed with the Administrative Director pursuant to Labor Code section 4610, setting forth the policies and procedures, and a description of the utilization review process. 
(s) “Utilization review process” means utilization management functions that prospectively, retrospectively, or concurrently review and approve, modify, delay, or deny, based in whole or in part on medical necessity to cure or relieve, treatment recommendations by physicians, as defined in Labor Code section 3209.3, prior to, retrospectively, or concurrent with the provision of medical treatment services pursuant to Labor Code section 4600. Utilization review does not include determinations of the work-relatedness of injury or disease, or bill review for the purpose of determining whether the medical services were accurately billed. 
(t) “Written” includes a facsimile as well as communications in paper form. 
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 3209.3, 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code. 
HISTORY

1. New section filed 7-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 29).
2. Amendment of subsections (a)(4), (c)(1), (c)(3)(iii)-(iv) and (c)(4)(i)-(iii) filed 11-9-98; operative 1-1-99 (Register 98, No. 46).
3. New article 5.5.1 (sections 9792.6-9792.11) and repealer and new section filed 12-9-2004 as an emergency; operative 12-13-2004 (Register 2004, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 5.5.1 (sections 9792.6-9792.11) and repealer and new section refiled 4-6-2005 as an emergency; operative 4-12-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-10-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-6-2005 order, including amendment of section and Note, transmitted to OAL 8-10-2005 and filed 9-22-2005 (Register 2005, No. 38).
6. Amendment of section heading, repealer and new first paragraph and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.6.1. Utilization Review Standards--Definitions -- On or After January 1, 2013.
Note     •     History

The following definitions apply to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for either: (1) an occupational injury or illness occurring on or after January 1, 2013; or (2) where the decision on the request is communicated to the requesting physician on or after July 1, 2013, regardless of the date of injury. 
(a) “Approval” means a decision that the requested treatment or service is medically appropriate to cure or relieve.
(b) “Authorization” means assurance that appropriate reimbursement will be made for an approved specific course of proposed medical treatment to cure or relieve the effects of the industrial injury pursuant to section 4600 of the Labor Code, subject to the provisions of section 5402 of the Labor Code, based on a completed “Request for Authorization for Medical Treatment,” DWC Form RFA, as contained in California Code of Regulations, title 8, section 9785.5, that has been transmitted by the treating physician to the claims administrator. Authorization shall be given pursuant to the timeframe, procedure, and notice requirements of California Code of Regulations, title 8, section 9792.9.1, and may be provided by utilizing the indicated response section of the “Request for Authorization for Medical Treatment,” DWC Form RFA. 
(c)(1) “Claims Administrator” is a self-administered workers' compensation insurer of an insured employer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, a third-party claims administrator or other entity subject to Labor Code section 4610, the California Insurance Guarantee Association, and the director of the Department of Industrial Relations as administrator for the Uninsured Employers Benefits Trust Fund (UEBTF). “Claims Administrator” includes any utilization review organization under contract to provide or conduct the claims administrator's utilization review responsibilities. Unless otherwise indicated by context, “claims administrator” also means the employer.
(d) “Concurrent review” means utilization review conducted during an inpatient stay.
(e) “Course of treatment” means the course of medical treatment set forth in the treatment plan contained on the “Doctor's First Report of Occupational Injury or Illness,” Form DLSR 5021, found at California Code of Regulations, title 8, section 14006, or on the “Primary Treating Physician's Progress Report,” DWC Form PR-2, as contained in section 9785.2 or in narrative form containing the same information required in the DWC Form PR-2.
(f) “Delay” means a decision by a reviewer that no determination based on medical necessity may be made within the 14-day time limit for the reasons listed in 9792.9.1(f).
(g) “Denial” means a decision by a physician reviewer that the requested treatment or service is not medically necessary.
(h) “Dispute liability” means an assertion by the claims administrator that a factual or legal basis exists that precludes compensability on the part of the claims administrator for an occupational injury, a claimed injury to any part or parts of the body, or a requested medical treatment. 
(i) “Emergency health care services” means health care services for a medical condition manifesting itself by acute symptoms of sufficient severity such that the absence of immediate medical attention could reasonably be expected to place the patient's health in serious jeopardy.
(j) “Expedited review” means utilization review conducted when the injured worker's condition is such that the injured worker faces an imminent and serious threat to his or her health, including, but not limited to, the potential loss of life, limb, or other major bodily function, or the normal timeframe for the decision-making process would be detrimental to the injured worker's life or health or could jeopardize the injured worker's permanent ability to regain maximum function.
(k) “Expert reviewer” means a medical doctor, doctor of osteopathy, psychologist, acupuncturist, optometrist, dentist, podiatrist, or chiropractic practitioner licensed by any state or the District of Columbia, competent to evaluate the specific clinical issues involved in the medical treatment services and where these services are within the individual's scope of practice, who has been consulted by the reviewer or the utilization review medical director to provide specialized review of medical information.
(l) “Health care provider” means a provider of medical services, as well as related services or goods, including but not limited to an individual provider or facility, a health care service plan, a health care organization, a member of a preferred provider organization or medical provider network as provided in Labor Code section 4616.
(m) “Immediately” means within 24 hours after learning the circumstances that would require an extension of the timeframe for decisions specified, in subdivision (c) and (f)(1) of section 9792.9.1
(n) “Material modification” is when the claims administrator changes utilization review vendor or makes a change to the utilization review standards as specified in section 9792.7.
(o) “Medical Director” is the physician and surgeon licensed by the Medical Board of California or the Osteopathic Board of California who holds an unrestricted license to practice medicine in the State of California. The Medical Director is responsible for all decisions made in the utilization review process.
(p) “Medical services” means those goods and services provided pursuant to Article 2 (commencing with Labor Code section 4600) of Chapter 2 of Part 2 of Division 4 of the Labor Code.
(q) “Medical Treatment Utilization Schedule” means the standards of care adopted by the Administrative Director pursuant to Labor Code section 5307.27 and set forth in Article 5.5.2 of this Subchapter, beginning with section 9792.20.
(r) “Modification” means a decision by a physician reviewer that part of the requested treatment or service is not medically necessary.
(s) “Prospective review” means any utilization review conducted, except for utilization review conducted during an inpatient stay, prior to the delivery of the requested medical services
(t) “Request for authorization” means a written request for a specific course of proposed medical treatment. A request for authorization must be set forth on a “Request for Authorization for Medical Treatment (DWC Form RFA),” completed by a treating physician, as contained in California Code of Regulations, title 8, section 9785.5. “Completed,” for the purpose of this section and for purposes of investigations and penalties, means that information specific to the request has been provided by the requesting treating physician for all fields indicated on the DWC Form RFA. The form must be signed by the physician and may be mailed, faxed or e-mailed.
(u) “Retrospective review” means utilization review conducted after medical services have been provided and for which approval has not already been given.
(w) “Reviewer” means a medical doctor, doctor of osteopathy, psychologist, acupuncturist, optometrist, dentist, podiatrist, or chiropractic practitioner licensed by any state or the District of Columbia, competent to evaluate the specific clinical issues involved in medical treatment services, where these services are within the scope of the reviewer's practice.
(x) “Utilization review plan” means the written plan filed with the Administrative Director pursuant to Labor Code section 4610, setting forth the policies and procedures, and a description of the utilization review process.
(y) “Utilization review process” means utilization management functions that prospectively, retrospectively, or concurrently review and approve, modify, delay, or deny, based in whole or in part on medical necessity to cure or relieve, treatment recommendations by physicians, as defined in Labor Code section 3209.3, prior to, retrospectively, or concurrent with the provision of medical treatment services pursuant to Labor Code section 4600. Utilization review does not include determinations of the work-relatedness of injury or disease, or bill review for the purpose of determining whether the medical services were accurately billed. The utilization review process begins when the completed DWC Form RFA is first received by the claims administrator, or in the case of prior authorization, when the treating physician satisfies the conditions described in the utilization review plan for prior authorization.
(z) “Written” includes a communication transmitted by facsimile or in paper form. Electronic mail may be used by agreement of the parties.
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code.  Reference: Sections 3209.3, 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.7. Utilization Review Standards--Applicability.
Note     •     History

(a) Effective January 1, 2004, every claims administrator shall establish and maintain a utilization review process for treatment rendered on or after January 1, 2004, regardless of date of injury, in compliance with Labor Code section 4610. Each utilization review process shall be set forth in a utilization review plan which shall contain: 
(1) The name, address, phone number, and medical license number of the employed or designated medical director, who holds an unrestricted license to practice medicine in the state of California issued pursuant to section 2050 or section 2450 of the Business and Professions Code. 
(2) A description of the process whereby requests for authorization are reviewed, and decisions on such requests are made, and a description of the process for handling expedited reviews. 
(3) A description of the specific criteria utilized routinely in the review and throughout the decision-making process, including treatment protocols or standards used in the process. A description of the personnel and other sources used in the development and review of the criteria, and methods for updating the criteria. Prior to and until the Administrative Director adopts a medical treatment utilization schedule pursuant to Labor Code section 5307.27, the written policies and procedures governing the utilization review process shall be consistent with the recommended standards set forth in the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines, Second Edition. The Administrative Director incorporates by reference the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines (ACOEM), Second Edition (2004), published by OEM Press. A copy may be obtained from OEM Press, 8 West Street, Beverly Farms, Massachusetts 01915 (www.oempress.com). After the Administrative Director adopts a medical treatment utilization schedule pursuant to Labor Code section 5307.27, the written policies and procedures governing the utilization review process shall be consistent with the recommended standards set forth in that schedule.
(4) A description of the qualifications and functions of the personnel involved in decision-making and implementation of the utilization review plan. 
(5) A description of the claims administrator's practice, if applicable, of any prior authorization process, including but not limited to, where authorization is provided without the submission of the request for authorization.
(b)(1) The medical director shall ensure that the process by which the claims administrator reviews and approves, modifies, delays, or denies requests by physicians prior to, retrospectively, or concurrent with the provision of medical services, complies with Labor Code section 4610 and these implementing regulations. 
(2) A reviewer who is competent to evaluate the specific clinical issues involved in the medical treatment services, and where these services are within the reviewer's scope of practice, may, except as indicated below, delay, modify or deny, requests for authorization of medical treatment for reasons of medical necessity to cure or relieve the effects of the industrial injury. 
(3) A non-physician reviewer may be used to initially apply specified criteria to requests for authorization for medical services. A non-physician reviewer may approve requests for authorization of medical services. A non-physician reviewer may discuss applicable criteria with the requesting physician, should the treatment for which authorization is sought appear to be inconsistent with the criteria. In such instances, the requesting physician may voluntarily withdraw a portion or all of the treatment in question and submit an amended request for treatment authorization, and the non-physician reviewer may approve the amended request for treatment authorization. Additionally, a non-physician reviewer may reasonably request appropriate additional information that is necessary to render a decision but in no event shall this exceed the time limitations imposed in section 9792.9 subdivisions (b)(1), (b)(2) or (c). Any time beyond the time specified in these paragraphs is subject to the provisions of subdivision (g)(1)(A) through (g)(1)(C) of section 9792.9. 
(c) The complete utilization review plan, consisting of the policies and procedures, and a description of the utilization review process, shall be filed by the claims administrator, or by the external utilization review organization contracted by the claims administrator to perform the utilization review, with the Administrative Director. In lieu of filing the utilization review plan, the claims administrator may submit a letter identifying the external utilization review organization which has been contracted to perform the utilization review functions, provided that the utilization review organization has filed a complete utilization review plan with the Administrative Director. A modified utilization review plan shall be filed with the Administrative Director within 30 calendar days after the claims administrator makes a material modification to the plan.
(d) Upon request by the public, the claims administrator shall make available the complete utilization review plan, consisting of the policies and procedures, and a description of the utilization review process. 
(1) The claims administrator may make available the complete utilization review plan, consisting of the policies and procedures and a description of the utilization review process, through electronic means. If a member of the public requests a hard copy of the utilization review plan, the claims administrator may charge reasonable copying and postage expenses related to disclosing the complete utilization review plan. Such charge shall not exceed $0.25 per page plus actual postage costs. 
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5 and 4610, Labor Code. 
HISTORY

1. New section filed 12-9-2004 as an emergency; operative 12-13-2004 (Register 2004, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-6-2005 as an emergency; operative 4-12-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-10-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-6-2005 order, including amendment of section, transmitted to OAL 8-10-2005 and filed 9-22-2005 (Register 2005, No. 38).
§9792.8. Utilization Review Standards--Medically-Based Criteria.
Note     •     History

(a)(1) The criteria shall be consistent with the schedule for medical treatment utilization adopted pursuant to Labor Code section 5307.27. Prior to adoption of the schedule, the criteria or guidelines used in the utilization review process shall be consistent with the American College of Occupational and Environmental Medicine's (ACOEM) Practice Guidelines, Second Edition. The guidelines set forth in the ACOEM Practice Guidelines shall be presumptively correct on the issue of extent and scope of medical treatment until the effective date of the utilization schedule adopted pursuant to Labor Code section 5307.27. The presumption is rebuttable and may be controverted by a preponderance of the scientific medical evidence establishing that a variance from the guidelines is reasonably required to cure or relieve the injured worker from the effects of his or her injury. 
(2) For all conditions or injuries not addressed by the ACOEM Practice Guidelines or by the official utilization schedule after adoption pursuant to Labor Code section 5307.27, authorized treatment shall be in accordance with other evidence-based medical treatment guidelines that are generally recognized by the national medical community and are scientifically based. Treatment may not be denied on the sole basis that the treatment is not addressed by the ACOEM Practice Guidelines until adoption of the medical treatment utilization schedule pursuant to Labor Code section 5307.27. After the Administrative Director adopts a medical treatment utilization schedule pursuant to Labor Code section 5307.27, treatment may not be denied on the sole basis that the treatment is not addressed by that schedule.
(3) The relevant portion of the criteria or guidelines used shall be disclosed in written form to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney, if used as the basis of a decision to modify, delay, or deny services in a specific case under review. The claims administrator may not charge an injured worker, the injured worker's attorney or the requesting physician for a copy of the relevant portion of the criteria or guidelines used to modify, delay or deny the treatment request. 
(4) Nothing in this section precludes authorization of medical treatment not included in the specific criteria under section 9792.8(a)(3). 
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5 and 4610, Labor Code. 
HISTORY

1. New section filed 12-9-2004 as an emergency; operative 12-13-2004 (Register 2004, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-6-2005 as an emergency; operative 4-12-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-10-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-6-2005 order, including amendment of section, transmitted to OAL 8-10-2005 and filed 9-22-2005 (Register 2005, No. 38).
§9792.9. Utilization Review Standards--Timeframe, Procedures and Notice Content -- For Utilization Review Decisions Issued Prior to July 1, 2013 for Injuries Occurring Prior to January 1, 2013.
Note     •     History

This section applies to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for an occupational injury or illness occurring prior to January 1, 2013 if the decision on the request is communicated to the requesting physician prior to July 1, 2013. 
(a) The request for authorization for a course of treatment as defined in section 9792.6(e) must be in written form. 
(1) For purposes of this section, the written request for authorization shall be deemed to have been received by the claims administrator by facsimile on the date the request was received if the receiving facsimile electronically date stamps the transmission. If there is no electronically stamped date recorded, then the date the request was transmitted. A request for authorization transmitted by facsimile after 5:30 PM Pacific Time shall be deemed to have been received by the claims administrator on the following business day as defined in Labor Code section 4600.4 and in section 9 of the Civil Code. The copy of the request for authorization received by a facsimile transmission shall bear a notation of the date, time and place of transmission and the facsimile telephone number to which the request was transmitted or be accompanied by an unsigned copy of the affidavit or certificate of transmission which shall contain the facsimile telephone number to which the request was transmitted. The requesting physician must indicate the need for an expedited review upon submission of the request.
(2) Where the request for authorization is made by mail, and a proof of service by mail exists, the request shall be deemed to have been received by the claims administrator five (5) days after the deposit in the mail at a facility regularly maintained by the United States Postal Service. Where the request for authorization is delivered via certified mail, return receipt mail, the request shall be deemed to have been received by the claims administrator on the receipt date entered on the return receipt. In the absence of a proof of service by mail or a dated return receipt, the request shall be deemed to have been received by the claims administrator on the date stamped as received on the document. 
(b) Utilization review of a request for authorization of medical treatment may be deferred if the claims administrator disputes liability for either the occupational injury for which the treatment is recommended or the recommended treatment itself on grounds other than medical necessity.
(1) If the claims administrator disputes its liability for the requested medical treatment under this subdivision, it may, no later than five (5) business days from receipt of the request for authorization, issue a written decision deferring utilization review of the requested treatment. The written decision must be sent to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney. The written decision shall only contain the following information specific to the request:
(A) The date on which the request for authorization was first received.
(B) A description of the specific course of proposed medical treatment for which authorization was requested.
(C) A clear, concise, and appropriate explanation of the reason for the claims administrator's dispute of liability for either the injury, claimed body part or parts, or the recommended treatment. 
(D) A plain language statement advising the injured employee that any dispute under this subdivision shall be resolved either by agreement of the parties or through the dispute resolution process of the Workers' Compensation Appeals Board. 
(E) The following mandatory language advising the injured employee:
“You have a right to disagree with decisions affecting your claim. If you have questions about the information in this notice, please call me (insert claims adjuster's name in parentheses) at (insert telephone number). However, if you are represented by an attorney, please contact your attorney instead of me.
and
“For information about the workers' compensation claims process and your rights and obligations, go to www.dwc.ca.gov or contact an information and assistance (I&A) officer of the state Division of Workers' Compensation. For recorded information and a list of offices, call toll-free 1-800-736-7401.”
(2) If utilization review is deferred pursuant to this subdivision, and it is finally determined that the claims administrator is liable for treatment of the condition for which treatment is recommended, the time for the claims administrator to conduct retrospective utilization review in accordance with this section shall begin on the date the determination of the claims administrator's liability becomes final. The time for the claims administrator to conduct prospective utilization review shall commence from the date of the claims administrator's receipt of a request for authorization after the final determination of liability.
(c) The utilization review process shall meet the following timeframe requirements: 
(1) Prospective or concurrent decisions shall be made in a timely fashion that is appropriate for the nature of the injured worker's condition, not to exceed five (5) working days from the date of receipt of the written request for authorization. 
(2) If appropriate information which is necessary to render a decision is not provided with the original request for authorization, such information may be requested by a reviewer or non-physician reviewer within five (5) working days from the date of receipt of the written request for authorization to make the proper determination. In no event shall the determination be made more than 14 days from the date of receipt of the original request for authorization by the health care provider. 
(A) If the reasonable information requested by the claims administrator is not received within 14 days of the date of the original written request by the requesting physician, a reviewer may deny the request with the stated condition that the request will be reconsidered upon receipt of the information requested. 
(3) Decisions to approve a physician's request for authorization prior to, or concurrent with, the provision of medical services to the injured worker shall be communicated to the requesting physician within 24 hours of the decision. Any decision to approve a request shall be communicated to the requesting physician initially by telephone or facsimile. The communication by telephone shall be followed by written notice to the requesting physician within 24 hours of the decision for concurrent review and within two business days for prospective review.
(4) Decisions to modify, delay or deny a physician's request for authorization prior to, or concurrent with the provision of medical services to the injured worker shall be communicated to the requesting physician initially by telephone or facsimile. The communication by telephone shall be followed by written notice to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney within 24 hours of the decision for concurrent review and within two business days of the decision for prospective review. In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision modifying, delaying, or denying a request for authorization that shall not include the rationale, criteria or guidelines used for the decision.
(5) For purposes of this section “normal business day” means a business day as defined in Labor Code section 4600.4 and Civil Code section 9.
(d) When review is retrospective, decisions shall be communicated to the requesting physician who provided the medical services and to the individual who received the medical services, and his or her attorney/designee, if applicable, within 30 days of receipt of the medical information that is reasonably necessary to make this determination. In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision modifying, delaying, or denying a request for authorization that shall not include the rationale, criteria or guidelines used for the decision.
(e) Failure to obtain prior authorization for emergency health care services shall not be an acceptable basis for refusal to cover medical services provided to treat and stabilize an injured worker presenting for emergency health care services. Emergency health care services, however, may be subjected to retrospective review. Documentation for emergency health care services shall be made available to the claims administrator upon request.
(f) Prospective or concurrent decisions related to an expedited review shall be made in a timely fashion appropriate to the injured worker's condition, not to exceed 72 hours after the receipt of the written information reasonably necessary to make the determination. The requesting physician must indicate the need for an expedited review upon submission of the request. Decisions related to expedited review refer to the following situations: 
(1) When the injured worker's condition is such that the injured worker faces an imminent and serious threat to his or her health, including, but not limited to, the potential loss of life, limb, or other major bodily function, or 
(2) The normal timeframe for the decision-making process, as described in subdivision (b), would be detrimental to the injured worker's life or health or could jeopardize the injured worker's permanent ability to regain maximum function. 
(g) The review and decision to deny, delay or modify a request for medical treatment must be conducted by a reviewer, who is competent to evaluate the specific clinical issues involved in the medical treatment services, and where these services are within the scope of the individual's practice. 
(h)(1) The timeframe for decisions specified in subdivisions (b)(1), (b)(2) or (c) may only be extended by the claims administrator under the following circumstances: 
(A) The claims administrator is not in receipt of all of the necessary medical information reasonably requested. 
(B) The reviewer has asked that an additional examination or test be performed upon the injured worker that is reasonable and consistent with professionally recognized standards of medical practice. 
(C) The claims administrator needs a specialized consultation and review of medical information by an expert reviewer. 
(2) If subdivisions (A), (B) or (C) above apply, the claims administrator shall immediately notify the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney in writing, that the claims administrator cannot make a decision within the required timeframe, and specify the information requested but not received, the additional examinations or tests required, or the specialty of the expert reviewer to be consulted. The claims administrator shall also notify the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney of the anticipated date on which a decision will be rendered. This notice shall include a statement that if the injured worker believes that a bona fide dispute exists relating to his or her entitlement to medical treatment, the injured worker or the injured worker's attorney may file an Application for Adjudication of Claim, Form WCAB 1, and a Declaration of Readiness to Proceed (expedited trial), DWC-CA form 10252.1. In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision to extend the timeframe and the anticipated date on which the decision will be rendered in accordance with this subdivision. The written notification shall not include the rationale, criteria or guidelines used for the decision.
(3) Upon receipt of information pursuant to subdivisions (A), (B), or (C) above, and (b)(2)(A), the claims administrator shall make the decision to approve, and the reviewer shall make a decision to modify or deny the request for authorization within five (5) working days of receipt of the information for prospective or concurrent review. The decision shall be communicated pursuant to subdivisions (b)(3) or (b)(4). 
(4) Upon receipt of information pursuant to subdivisions (A), (B), or (C) above, the claims administrator shall make the decision to approve, and the reviewer shall make a decision to modify or deny the request for authorization within thirty (30) days of receipt of the information for retrospective review. 
(i) Every claims administrator shall maintain telephone access from 9:00 AM to 5:30 PM Pacific Time, on normal business days, for health care providers to request authorization for medical services. Every claims administrator shall have a facsimile number available for physicians to request authorization for medical services. Every claims administrator shall maintain a process to receive communications from health care providers requesting authorization for medical services after business hours. For purposes of this section “normal business day” means a business day as defined in Labor Code section 4600.4 and Civil Code section 9. In addition, for purposes of this section the requirement that the claims administrator maintain a process to receive communications from requesting physicians after business hours shall be satisfied by maintaining a voice mail system or a facsimile number for after business hours requests. 
(j) A written decision approving a request for treatment authorization under this section shall specify the specific medical treatment service approved. 
(k) A written decision modifying, delaying or denying treatment authorization under this section, sent prior to July 1, 2013, shall be provided to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney and shall contain the following information: 
(1) The date on which the decision is made. 
(2) A description of the specific course of proposed medical treatment for which authorization was requested. 
(3) A specific description of the medical treatment service approved, if any. 
(4) A clear and concise explanation of the reasons for the claims administrator's decision. 
(5) A description of the medical criteria or guidelines used pursuant to section 9792.8, subdivision (a)(3). 
(6) The clinical reasons regarding medical necessity. 
(7) A clear statement that any dispute shall be resolved in accordance with the provisions of Labor Code section 4062, and that an objection to the utilization review decision must be communicated by the injured worker or the injured worker's attorney on behalf of the injured worker to the claims administrator in writing within 20 days of receipt of the decision. It shall further state that the 20-day time limit may be extended for good cause or by mutual agreement of the parties. The letter shall further state that the injured worker may file an Application for Adjudication of Claim, Form WCAB 1, and a Declaration of Readiness to Proceed (expedited trial), DWC-CA form 10252.1.
(8)(A) Include the following mandatory language: 

Either
“If you want further information, you may contact the local state Information and Assistance office by calling [enter district I & A office telephone number closest to the injured worker] or you may receive recorded information by calling 1-800-736-7401. 

or
“If you want further information, you may contact the local state Information and Assistance office closest to you. Please see attached listing (attach a listing of I&A offices and telephone numbers) or you may receive recorded information by calling 1-800-736-7401.”

and
“You may also consult an attorney of your choice. Should you decide to be represented by an attorney, you may or may not receive a larger award, but, unless you are determined to be ineligible for an award, the attorney's fee will be deducted from any award you might receive for disability benefits. The decision to be represented by an attorney is yours to make, but it is voluntary and may not be necessary for you to receive your benefits.” 
(B) Instead of the mandatory language stated in subdivision (k)(8)(A), the following language may be used:
“You have a right to disagree with decisions affecting your claim. If you have questions about the information in this notice, please call me (insert claims adjuster's name in parentheses) at (insert telephone number). However, if you are represented by an attorney, please contact your attorney instead of me.
and
“For information about the workers' compensation claims process and your rights and obligations, go to www.dwc.ca.gov or contact an information and assistance (I&A) officer of the state Division of Workers' Compensation. For recorded information and a list of offices, call toll-free 1-800-736-7401.”
In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision modifying, delaying, or denying a request for authorization that shall not include the rationale, criteria or guidelines used for the decision.
(9) Details about the claims administrator's internal utilization review appeals process, if any, and a clear statement that the appeals process is on a voluntary basis, including the following mandatory statement: 
“If you disagree with the utilization review decision and wish to dispute it, you must send written notice of your objection to the claims administrator within 20 days of receipt of the utilization review decision in accordance with Labor Code section 4062. You must meet this deadline even if you are participating in the claims administrator's internal utilization review appeals process.” 
(l) A written decision modifying, delaying or denying treatment authorization under this section, sent on or after July 1, 2013, shall be provided to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney and shall contain the following information:
(1) The date on which the decision is made.
(2) A description of the specific course of proposed medical treatment for which authorization was requested.
(3) A list of all medical records reviewed. 
(4) A specific description of the medical treatment service approved, if any.
(5) A clear, concise, and appropriate explanation of the reasons for the claims administrator's decision, including the clinical reasons regarding medical necessity and a description of the relevant medical criteria or guidelines used to reach the decision pursuant to section 9792.8. If a utilization review decision to modify, deny or delay a medical service is due to incomplete or insufficient information, the decision shall specify the reason for the decision and specify the information that is needed.
(6) The Application for Independent Medical Review, DWC Form IMR, with all fields, except for the signature of the employee, to be completed by the claims administrator. The application, set forth at section 9792.10.1, shall include an addressed envelope, which may be postage-paid for mailing to the Administrative Director or his or her designee.
(7) A clear statement advising the injured employee that any dispute shall be resolved in accordance with the independent medical review provisions of Labor Code section 4610.5 and 4610.6, and that an objection to the utilization review decision must be communicated by the injured worker, the injured worker's representative, or the injured worker's attorney on behalf of the injured worker on the enclosed Application for Independent Medical Review, DWC Form IMR, within 30 calendar days of receipt of the decision. 
(8) Include the following mandatory language advising the injured employee:
“You have a right to disagree with decisions affecting your claim. If you have questions about the information in this notice, please call me (insert claims adjuster's name in parentheses) at (insert telephone number). However, if you are represented by an attorney, please contact your attorney instead of me.
and
“For information about the workers' compensation claims process and your rights and obligations, go to www.dwc.ca.gov or contact an information and assistance (I&A) officer of the state Division of Workers' Compensation. For recorded information and a list of offices, call toll-free 1-800-736-7401.”
(9) Details about the claims administrator's internal utilization review appeals process for the requesting physician, if any, and a clear statement that the internal appeals process is a voluntary process that neither triggers nor bars use of the dispute resolution procedures of Labor Code section 4610.5 and 4610.6, but may be pursued on an optional basis. 
(m) The written decision modifying, delaying or denying treatment authorization provided to the requesting physician shall also contain the name and specialty of the reviewer or expert reviewer, and the telephone number in the United States of the reviewer or expert reviewer. The written decision shall also disclose the hours of availability of either the review, the expert reviewer or the medical director for the treating physician to discuss the decision which shall be, at a minimum, four (4) hours per week during normal business hours, 9:00 AM to 5:30 PM., Pacific Time or an agreed upon scheduled time to discuss the decision with the requesting physician. In the vent the reviewer is unavailable, the requesting physician may discuss the written decision with another reviewer who is competent to evaluate the specific clinical issues involved in the medical treatment services.
(n) Authorization may not be denied on the basis of lack of information without documentation reflecting an attempt to obtain the necessary information from the physician or from the provider of goods or services identified in the request for authorization either by facsimile or mail. 
(o) A utilization review decision to modify, delay, or deny a request for authorization of medical treatment shall remain effective for 12 months from the date of the decision without further action by the claims administrator with regard to any further recommendation by the same physician for the same treatment unless the further recommendation is supported by a documented change in the facts material to the basis of the utilization review decision.
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code. 
HISTORY

1. New section filed 12-9-2004 as an emergency; operative 12-13-2004 (Register 2004, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-6-2005 as an emergency; operative 4-12-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-10-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-6-2005 order, including amendment of section, transmitted to OAL 8-10-2005 and filed 9-22-2005 (Register 2005, No. 38).
4. Amendment of section heading, new first paragraph and new subsections (b)-(b)(2), subsection relettering, amendment of newly designated subsections (h)(2), (k) and (k)(7), new subsections (k)(8)(A)-(B) and (l)-(l)(9), subsection relettering, new subsection (o) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.9.1. Utilization Review Standards--Timeframe, Procedures and Notice -- On or After January 1, 2013.
Note     •     History

This section applies to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for either: (1) an occupational injury or illness occurring on or after January 1, 2013; or (2) where the decision on the request is communicated to the requesting physician on or after July 1, 2013, regardless of the date of injury. 
(a) The request for authorization for a course of treatment as defined in section 9792.6.1(e) must be in written form set forth on the “Request for Authorization for Medical Treatment (DWC Form RFA),” as contained in California Code of Regulations, title 8, section 9785.5.
(1) For purposes of this section, the DWC Form RFA shall be deemed to have been received by the claims administrator or its utilization review organization by facsimile or by electronic mail on the date the form was received if the receiving facsimile or electronic mail address electronically date stamps the transmission when received. If there is no electronically stamped date recorded, then the date the form was transmitted shall be deemed to be the date the form was received by the claims administrator or the claims administrator's utilization review organization. A DWC Form RFA transmitted by facsimile after 5:30 PM Pacific Time shall be deemed to have been received by the claims administrator on the following business day, except in the case of an expedited or concurrent review. The copy of the DWC Form RFA or the cover sheet accompanying the form transmitted by a facsimile transmission or by electronic mail shall bear a notation of the date, time and place of transmission and the facsimile telephone number or the electronic mail address to which the form was transmitted or the form shall be accompanied by an unsigned copy of the affidavit or certificate of transmission, or by a fax or electronic mail transmission report, which shall display either the facsimile telephone number to which the form was transmitted. The requesting physician must indicate if there is the need for an expedited review on the DWC Form RFA.
(2)(A) Where the DWC Form RFA is sent by mail, the form, absent documentation of receipt, shall be deemed to have been received by the claims administrator five (5) business days after the deposit in the mail at a facility regularly maintained by the United States Postal Service. 
(B) Where the DWC Form RFA is delivered via certified mail, with return receipt mail, the form, absent documentation of receipt, shall be deemed to have been received by the claims administrator on the receipt date entered on the return receipt. 
(C) In the absence of documentation of receipt, evidence of mailing, or a dated return receipt, the DWC Form RFA shall be deemed to have been received by the claims administrator five days after the latest date the sender wrote on the document.
(3) Every claims administrator shall maintain telephone access and have a representative personally available by telephone from 9:00 AM to 5:30 PM Pacific Time, on business days for health care providers to request authorization for medical services. Every claims administrator shall have a facsimile number available for physicians to request authorization for medical services. Every claims administrator shall maintain a process to receive communications from health care providers requesting authorization for medical services after business hours. For purposes of this section the requirement that the claims administrator maintain a process to receive communications from requesting physicians after business hours shall be satisfied by maintaining a voice mail system or a facsimile number or a designated email address for after business hours requests.
(b) Utilization review of a medical treatment request made on the DWC Form RFA may be deferred if the claims administrator disputes liability for either the occupational injury for which the treatment is recommended or the recommended treatment itself on grounds other than medical necessity.
(1) If the claims administrator disputes liability under this subdivision, it may, no later than five (5) business days from receipt of the DWC Form RFA, issue a written decision deferring utilization review of the requested treatment. The written decision must be sent to the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney. The written decision shall only contain the following information specific to the request:
(A) The date on which the DWC Form RFA was first received.
(B) A description of the specific course of proposed medical treatment for which authorization was requested.
(C) A clear, concise, and appropriate explanation of the reason for the claims administrator's dispute of liability for either the injury, claimed body part or parts, or the recommended treatment. 
(D) A plain language statement advising the injured employee that any dispute under this subdivision shall be resolved either by agreement of the parties or through the dispute resolution process of the Workers' Compensation Appeals Board. 
(E) The following mandatory language advising the injured employee:
“You have a right to disagree with decisions affecting your claim. If you have questions about the information in this notice, please call me (insert claims adjuster's name in parentheses) at (insert telephone number). However, if you are represented by an attorney, please contact your attorney instead of me.
and
“For information about the workers' compensation claims process and your rights and obligations, go to www.dwc.ca.gov or contact an information and assistance (I&A) officer of the state Division of Workers' Compensation. For recorded information and a list of offices, call toll-free 1-800-736-7401.”
(2) If utilization review is deferred pursuant to this subdivision, and it is finally determined that the claims administrator is liable for treatment of the condition for which treatment is recommended, the time for the claims administrator to conduct retrospective utilization review in accordance with this section shall begin on the date the determination of the claims administrator's liability becomes final. The time for the claims administrator to conduct prospective utilization review shall commence from the date of the claims administrator's receipt of a DWC Form RFA after the final determination of liability.
(c) The utilization review process shall meet the following timeframe requirements:
(1) The first day in counting any timeframe requirement is the day after the receipt of the DWC Form RFA, except when the timeline is measured in hours. Whenever the timeframe requirement is stated in hours, the time for compliance is counted in hours from the time of receipt of the DWC Form RFA.
(2) If the DWC Form RFA is not completed as defined in section 9792.6.1(t), a non-physician reviewer or reviewer may either treat the form as complete and comply with the timeframes for decision set forth in this section or return it to the requesting physician marked “not complete” no later than five (5) business days from receipt. The timeframe for a decision on that returned request for authorization shall begin anew upon receipt of a completed DWC Form RFA.
(3) Prospective or concurrent decisions to approve, modify, delay, or deny a request for authorization shall be made in a timely fashion that is appropriate for the nature of the injured worker's condition, not to exceed five (5) business days from the date of receipt of the completed DWC Form RFA, but in no event more than 14 calendar days from initial receipt of the complete DWC Form RFA. 
(A) Prospective or concurrent decisions to approve, modify, delay, or deny a request for authorization related to an expedited review shall be made in a timely fashion appropriate to the injured worker's condition, not to exceed 72 hours after the receipt of the written information reasonably necessary to make the determination. The requesting physician must certify the need for an expedited review upon submission of the request. 
(B) If appropriate information which is necessary to render a decision is not provided with the original request for authorization, such information may be requested by a reviewer or non-physician reviewer within five (5) business days from the date of receipt of the DWC Form RFA to make the proper determination.
(C) If the reasonable information requested by a reviewer or non-physician reviewer within five (5) business days from the date of receipt of the completed DWC Form RFA is not received within 14 days from receipt of the completed DWC Form RFA, the reviewer may deny the request with the stated condition that the request will be reconsidered upon receipt of the information requested, or the reviewer may issue a decision to delay as provided in subdivision (f)(1)(A). 
(4) Retrospective decisions to approve modify, delay, or deny a request for authorization shall be made within 30 days of receipt of the medical information that is reasonably necessary to make this determination. 
(d) Decisions to approve a request for authorization. 
(1) All decisions to approve a request for authorization set forth in a DWC Form RFA shall specify the specific medical treatment service requested, the specific medical treatment service approved, and the date of the decision.
(2) For prospective, concurrent, or expedited review, approvals shall be communicated to the requesting physician within 24 hours of the decision, and shall be communicated to the requesting physician initially by telephone, facsimile, or electronic mail. The communication by telephone shall be followed by written notice to the requesting physician within 24 hours of the decision for concurrent review and within two (2) business days for prospective review.
(3)(A) For retrospective review, a written decision to approve shall be communicated to the requesting physician who provided the medical services and to the individual who received the medical services, and his or her attorney/designee, if applicable. 
(B) Payment, or partial payment consistent with the provisions of California Code of Regulations, title 8, section 9792.5, of a medical bill for services requested on the DWC Form RFA, within the 30-day timeframe set forth in subdivision (c)(4), shall be deemed a retrospective approval, even if a portion of the medical bill for the requested services is contested, denied, or considered incomplete. A document indicating that a payment has been made for the requested services, such as an explanation of review, may be provided to the injured employee who received the medical services, and his or her attorney/designee, if applicable, in lieu of a communication expressly acknowledging the retrospective approval.
(e) Decisions to modify, delay, or deny a request for authorization.
(1) The review and decision to deny, delay, or modify a request for medical treatment must be conducted by a reviewer, who is competent to evaluate the specific clinical issues involved in the medical treatment services, and where these services are within the scope of the individual's practice.
(2) Failure to obtain authorization prior to providing emergency health care services shall not be an acceptable basis for refusal to cover medical services provided to treat and stabilize an injured worker presenting for emergency health care services. Emergency health care services may be subjected to retrospective review. Documentation for emergency health care services shall be made available to the claims administrator upon request.
(3) For prospective, concurrent, or expedited review, a decision to modify, delay, or deny shall be communicated to the requesting physician within 24 hours of the decision, and shall be communicated to the requesting physician initially by telephone, facsimile, or electronic mail. The communication by telephone shall be followed by written notice to the requesting physician within 24 hours of the decision for concurrent review and within two (2) business days for prospective review and for expedited review within 72 hours of receipt of the request.
(4) For retrospective review, a written decision to deny part or all of the requested medical treatment shall be communicated to the requesting physician who provided the medical services and to the individual who received the medical services, and his or her attorney/designee, if applicable, within 30 days of receipt of information that is reasonably necessary to make this determination.
(5) The written decision modifying, delaying or denying treatment authorization shall be provided to the requesting physician, the injured worker, the injured worker's representative, and if the injured worker is represented by counsel, the injured worker's attorney and shall only contain the following information specific to the request:
(A) The date on which the DWC Form RFA was first received.
(B) The date on which the decision is made.
(C) A description of the specific course of proposed medical treatment for which authorization was requested.
(D) A list of all medical records reviewed. 
(E) A specific description of the medical treatment service approved, if any.
(F) A clear, concise, and appropriate explanation of the reasons for the reviewing physician's decision, including the clinical reasons regarding medical necessity and a description of the relevant medical criteria or guidelines used to reach the decision pursuant to section 9792.8. If a utilization review decision to modify, deny or delay a medical service is due to incomplete or insufficient information, the decision shall specify the reason for the decision and specify the information that is needed.
(G) The Application for Independent Medical Review, DWC Form IMR, with all fields, except for the signature of the employee, to be completed by the claims administrator. The application, set forth at section 9792.10.1, shall include an addressed envelope, which may be postage-paid for mailing to the Administrative Director or his or her designee.
(H) A clear statement advising the injured employee that any dispute shall be resolved in accordance with the independent medical review provisions of Labor Code section 4610.5 and 4610.6, and that an objection to the utilization review decision must be communicated by the injured worker, the injured worker's representative, or the injured worker's attorney on behalf of the injured worker on the enclosed Application for Independent Medical Review, DWC Form IMR, within 30 calendar days of receipt of the decision. 
(I) Include the following mandatory language advising the injured employee:
“You have a right to disagree with decisions affecting your claim. If you have questions about the information in this notice, please call me (insert claims adjuster's name in parentheses) at (insert telephone number). However, if you are represented by an attorney, please contact your attorney instead of me.
and
“For information about the workers' compensation claims process and your rights and obligations, go to www.dwc.ca.gov or contact an information and assistance (I&A) officer of the state Division of Workers' Compensation. For recorded information and a list of offices, call toll-free 1-800-736-7401.”
(J) Details about the claims administrator's internal utilization review appeals process for the requesting physician, if any, and a clear statement that the internal appeals process is voluntary process that neither triggers nor bars use of the dispute resolution procedures of Labor Code section 4610.5 and 4610.6, but may be pursued on an optional basis.
(K) The written decision modifying, delaying or denying treatment authorization provided to the requesting physician shall also contain the name and specialty of the reviewer or expert reviewer, and the telephone number in the United States of the reviewer or expert reviewer. The written decision shall also disclose the hours of availability of either the reviewer, the expert reviewer or the medical director for the treating physician to discuss the decision which shall be, at a minimum, four (4) hours per week during normal business hours, 9:00 AM to 5:30 PM., Pacific Time or an agreed upon scheduled time to discuss the decision with the requesting physician. In the event the reviewer is unavailable, the requesting physician may discuss the written decision with another reviewer who is competent to evaluate the specific clinical issues involved in the medical treatment services.
(f)(1) The timeframe for decisions specified in subdivision (c) may only be extended with a written notice of delay by the reviewer under one or more of the following circumstances:
(A) The reviewer is not in receipt of all of the necessary medical information reasonably requested.
(B) The reviewer has asked that an additional examination or test be performed upon the injured worker that is reasonable and consistent with professionally recognized standards of medical practice.
(C) The reviewer needs a specialized consultation and review of medical information by an expert reviewer.
(2) If subdivisions (f)(1)(A), (B) or (C) above apply, the reviewer shall immediately notify the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney in writing, that the reviewer cannot make a decision within the required timeframe, and specify the information requested but not received, the additional examinations or tests required, or the specialty of the expert reviewer to be consulted. The reviewer shall also notify the requesting physician, the injured worker, and if the injured worker is represented by counsel, the injured worker's attorney of the anticipated date on which a decision will be rendered
(3) Upon receipt of the information requested pursuant to subdivisions (f)(1)(A), (B), or (C), the claims administrator or reviewer, for prospective or concurrent review, shall make the decision to approve, modify, or deny the request for authorization within five (5) business days of receipt of the information. The requesting physician shall be notified by telephone, facsimile or electronic mail within 24 hours of making the decision The written decision shall include the date the information was received and the decision shall be communicated in the manner set out in section 9792.9.1(d) or (e), whichever is applicable.
(4) Upon receipt of the information requested pursuant to subdivisions (f)(1)(A), (B), or (C), the claims administrator or reviewer, for prospective or concurrent decisions related to an expedited review, shall make the decision to approve, modify, or deny the request for authorization within 72 hours of receipt of the information. The requesting physician shall be notified by telephone, facsimile or electronic mail within 24 hours of making the decision. The written notice of decision shall include the date the requested information was received and be communicated pursuant to subdivisions (d)(2) or (e)(3), whichever is applicable.
(5) Upon receipt of the information requested pursuant to subdivisions (f)(1)(A), (B), or (C), the claims administrator or reviewer, for retrospective review, shall make the decision to approve, modify, delay, or deny the request for authorization within thirty (30) calendar days of receipt of the information requested. The decision shall include the date it was made and be communicated pursuant to subdivisions (d)(3) or (e)(4), whichever is applicable. 
(g) Whenever a reviewer issues a decision to deny a request for authorization based on the lack of medical information necessary to make a determination, the claims administrator's file must document the attempt by the claims administrator or reviewer to obtain the necessary medical information from the physician either by facsimile, mail, or e-mail. 
(h) A utilization review decision to modify, delay, or deny a request for authorization of medical treatment shall remain effective for 12 months from the date of the decision without further action by the claims administrator with regard to any further recommendation by the same physician for the same treatment unless the further recommendation is supported by a documented change in the facts material to the basis of the utilization review decision.
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10. Utilization Review Standards--Dispute Resolution -- For Utilization Review Decisions Issued Prior to July 1, 2013 for Injuries Occurring Prior to January 1, 2013.
Note     •     History

This section applies to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for an occupational injury or illness occurring prior to January 1, 2013 if the decision on the request is communicated to the requesting physician prior to July 1, 2013. 
(a)(1) If the request for authorization of medical treatment is not approved, or if the request for authorization for medical treatment is approved in part, any dispute shall be resolved in accordance with Labor Code section 4062. 
(2) An objection to a decision disapproving in whole or in part a request for authorization of medical treatment, must be communicated to the claims administrator by the injured worker or the injured worker's attorney in writing within 20 days of receipt of the utilization review decision. The 20-day time limit may be extended for good cause or by mutual agreement of the parties. 
(3) Nothing in this paragraph precludes the parties from participating in an internal utilization review appeal process on a voluntary basis provided the injured worker and if the injured worker is represented by counsel, the injured worker's attorney have been notified of the 20-day time limit to file an objection to the utilization review decision in accordance with Labor Code section 4062. 
(4) Additionally, the injured worker or the injured worker's attorney may file an Application for Adjudication of Claim, Form WCAB 1, and a Declaration of Readiness to Proceed (expedited trial), DWC-CA form 10252.1, and request an expedited hearing and decision on his or her entitlement to medical treatment if the request for medical treatment is not authorized within the time limitations set forth in section 9792.9, or when there exists a bona fide dispute as to entitlement to medical treatment. 
(b) The following requirements shall be met prior to a concurrent review decision to deny authorization for medical treatment and to resolve disputes: 
(1) In the case of concurrent review, medical care shall not be discontinued until the requesting physician has been notified of the decision and a care plan has been agreed upon by the requesting physician that is appropriate for the medical needs of the injured worker. In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision modifying, delaying, or denying a request for authorization that shall not include the rationale, criteria or guidelines used for the decision.
(2) Medical care provided during a concurrent review shall be medical treatment that is reasonably required to cure or relieve from the effects of the industrial injury. 
NOTE

Authority cited: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code. 
HISTORY

1. New section filed 12-9-2004 as an emergency; operative 12-13-2004 (Register 2004, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-6-2005 as an emergency; operative 4-12-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-10-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-6-2005 order, including amendment of subsection (b)(1), transmitted to OAL 8-10-2005 and filed 9-22-2005 (Register 2005, No. 38).
4. Amendment of section heading, new first paragraph and amendment of subsection (a)(4) and Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.1. Utilization Review Standards--Dispute Resolution -- On or After January 1, 2013.
Note     •     History

This section applies to any request for authorization of medical treatment, made under Article 5.5.1 of this Subchapter, for either: (1) an occupational injury or illness occurring on or after January 1, 2013; or (2) where the decision on the request is communicated to the requesting physician on or after July 1, 2013, regardless of the date of injury.
(a) For the purpose of independent medical review under sections 9792.10.1 through 9792.10.9 of this Article, the following definitions apply:
(1) “Claims Administrator” is a self-administered workers' compensation insurer of an insured employer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, a third-party claims administrator or other entity subject to Labor Code section 4610, the California Insurance Guarantee Association, and the director of the Department of Industrial Relations as administrator for the Uninsured Employers Benefits Trust Fund (UEBTF). “Claims Administrator” includes any utilization review organization under contract to provide or conduct the claims administrator's utilization review responsibilities. Unless otherwise indicated by context, “claims administrator” also means the employer.
(2) “Disputed medical treatment” means medical treatment that has been modified, delayed, or denied by a utilization review decision.
(3) “Expedited review” means independent medical review conducted when the employee's condition is such that the employee faces an imminent and serious threat to his or her health, including, but not limited to, serious pain, the potential loss of life, limb, or other major bodily function, the immediate and serious deterioration of the health of the employee, or the normal timeframe for the decision-making process would be detrimental to the employee's life or health or could jeopardize the injured worker's permanent ability to regain maximum function.
(4) “Medically necessary” and “medical necessity” mean medical treatment that is reasonably required to cure or relieve the employee of the effects of their injury and based on the following standards, which shall be applied in the order listed, allowing reliance on a lower ranked standard only if every higher ranked standard is inapplicable to the employee's medical condition:
(A) The Medical Treatment Utilization Schedule adopted by the Administrative Director pursuant to Labor Code section 5307.27 and set forth in Article 5.5.2 of this Subchapter, beginning with section 9792.20.
(B) Peer-reviewed scientific and medical evidence regarding the effectiveness of the disputed service.
(C) Nationally recognized professional standards.
(D) Expert opinion.
(E) Generally accepted standards of medical practice.
(F) Treatments that are likely to provide a benefit to a patient for conditions for which other treatments are not clinically efficacious.
(5) “Utilization review decision” means a decision pursuant to Labor Code section 4610 to modify, delay, or deny, based in whole or in part on medical necessity to cure or relieve, a treatment recommendation or recommendations by a physician prior to, retrospectively, or concurrent with the provision of medical treatment services pursuant to Labor Code sections 4600 or 5402(c).
(b)(1) If the request for authorization of medical treatment is not approved, or if the request for authorization for medical treatment is approved in part, any dispute shall be resolved in accordance with Labor Code sections 4610.5 and 4610.6. Neither the employee nor the claims administrator shall have any liability for medical treatment furnished without the authorization of the claims administrator if the treatment is delayed, modified, or denied by a utilization review decision unless the utilization review decision is overturned by independent medical review or the Workers' Compensation Appeals Board under this Article.
(2) A request for independent medical review must be communicated by the employee, the employee's representative, or the employee's attorney by mail, facsimile, or electronic transmission to the Administrative Director, or the Administrative Director's designee, within 30 days of service of the utilization review decision. The request must be made on the Application for Independent Medical Review, DWC Form IMR, and submitted with a copy of the written decision delaying, denying, or modifying the request for authorization of medical treatment. 
(A) An unrepresented employee may designate a parent, guardian, conservator, relative, or other designee of the employee as an agent to act on his or her behalf in filing an application for independent medical review under this subdivision. A designation of an agent executed prior to the utilization review decision shall not be valid. 
(B) The physician whose request for authorization of medical treatment was delayed, denied, or modified may join with or otherwise assist the employee in seeking an independent medical review. The physician may submit documents on the employee's behalf pursuant to section 9792.10.5 (b) and may respond to any inquiry by the independent review organization.
(C) A provider of emergency medical treatment when the employee faced an imminent and serious threat to his or her health, including, but not limited to, the potential loss of life, limb, or other major bodily function, may submit an application for independent medical review under subdivision (b)(2) on its own behalf within 30 days of receipt of the utilization review decision that either delays, denies, or modifies the provider's retrospective request for authorization of the emergency medical treatment. 
(3) If expedited review is requested for a decision eligible for independent medical review, the Application for Independent Medical Review, DWC Form IMR, shall include, unless the initial utilization review decision was made on an expedited basis, a certification from the employee's treating physician indicating that the employee faces an imminent and serious threat to his or her health as described in section 9792.10.1(a)(3). 
(c)(1) If at the time of a utilization review decision the claims administrator is also disputing liability for the treatment for any reason besides medical necessity, the time for the employee to submit an application for independent medical review under subdivision (b)(2) is extended to 30 days after service of a notice to the employee showing that the other dispute of liability has been resolved.
(2) If the claims administrator fails to comply with any provision of section 9792.9(l) or section 9792.9.1(e) at the time of notification of its utilization review decision, the time limitations for the employee to submit an application for independent medical review under subdivision (b)(2) shall not begin to run until the claims administrator provides the written decision, with all required elements, to the employee.
(d) Nothing in this section precludes the parties from participating in an internal utilization review appeal process on a voluntary basis provided the employee and, if the employee is represented by counsel, the employee's attorney, have been notified of the 30-day time limit to file an objection to the utilization review decision in accordance with Labor Code sections 4610.5 and 4610.6. Any internal utilization review appeal process conducted under this subdivision must be completed within 15 days of the date of utilization review decision.
(e) The following requirements shall be met prior to a concurrent review decision to deny authorization for medical treatment and to resolve disputes:
(1) In the case of concurrent review, medical care shall not be discontinued until the requesting physician has been notified of the decision and a care plan has been agreed upon by the requesting physician that is appropriate for the medical needs of the employee. In addition, the non-physician provider of goods or services identified in the request for authorization, and for whom contact information has been included, shall be notified in writing of the decision modifying, delaying, or denying a request for authorization that shall not include the rationale, criteria or guidelines used for the decision.
(2) Medical care provided during a concurrent review shall be medical treatment that is reasonably required to cure or relieve from the effects of the industrial injury.
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.2. Application for Independent Medical Review, DWC Form IMR.
Note     •     History

View Graphic

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NOTE

Authority: Sections 133, 4603.5, 4610.5 and 5307.3, Labor Code. Reference: Sections 4600, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.3. Independent Medical Review -- Initial Review of Application.
Note     •     History

(a) Following receipt of the Application for Independent Medical Review, DWC Form IMR, pursuant to section 9792.10.1(b), the Administrative Director shall determine whether the disputed medical treatment identified in the application is eligible for independent medical review. For the purpose of this Article, “disputed medical treatment” means recommended medical treatment that has been modified, delayed, or denied by a utilization review decision issued pursuant to section 9792.9 or section 9792.9.1. In making this determination, the Administrative Director shall consider:
(1) The timeliness and completeness of the Application;
(2) Any previous application or request for independent medical review of the disputed medical treatment; 
(3) Any assertion by the claims administrator that a factual or legal basis exists that precludes liability on the part of the claims administrator for an occupational injury or a claimed injury to any part or parts of the body. 
(4) Other reasons, if any, that the application may be ineligible for independent medical review.
(b) The Administrative Director may reasonably request additional appropriate information from the parties in order to make a determination that a disputed medical treatment is eligible for independent medical review. The Administrative Director shall advise the claims administrator, the employee, and the employee's provider, as appropriate, by the most efficient means available.
(c) The parties shall respond to any reasonable request made pursuant to subdivision (b) within fifteen (15) days following receipt of the request. Following receipt of all information necessary to make a determination, the Administrative Director shall either immediately inform the parties in writing that a disputed medical treatment is not eligible for independent medical review and the reasons therefor, or assign the request to independent medical review under section 9792.10.4. 
(d) If there appears to be any medical necessity issue, the dispute shall be resolved pursuant to an independent medical review, except that, unless the claims administrator agrees that the case is eligible for independent medical review, a request for independent medical review shall be deferred if at the time of a utilization review decision the claims administrator is also disputing liability for the treatment for any reason besides medical necessity.
(e) The parties may appeal an eligibility determination by the Administrative Director that a disputed medical treatment is not eligible for independent medical review by filing a petition with the Workers' Compensation Appeals Board. 
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.4. Independent Medical Review -- Assignment and Notification.
Note     •     History

Within one business day following a finding that the disputed medical treatment is eligible for independent medical review, the independent review organization delegated the responsibility by the Administrative Director to conduct independent medical review pursuant to Labor Code section 139.5 shall notify the parties in writing that the dispute has been assigned to that organization for review. The notification shall contain:
(a) The name and address of the independent review organization;
(b) Identification of the disputed medical treatment, including the date of the request for authorization, the name of the requesting physician, and the date of the claims administrator's utilization review decision.
(c) The date the Application for Independent Medical Review, DWC Form IMR, was received by the Independent Review Organization.
(d) A statement whether the independent medical review will be conducted on a regular or expedited basis.
(e) For regular review, a statement that within fifteen (15) calendar days of the date designated on the notification, if the notification was provided by mail, or within twelve (12) calendar days of the date designated on the notification if the notification was provided electronically, the independent review organization must receive the documents indicated in section 9792.10.5. For the notification provided to the claims administrator, the statement shall provide that, pursuant to Labor Code section 4610.5(i), in addition to any other fines, penalties, and other remedies available to the Administrative Director, the failure to comply with section 9792.10.5 could result in the assessment of administrative penalties up to $5,000.00.
(f) For expedited review, a statement that within twenty-four (24) hours following receipt of the notification the independent review organization must receive the documents indicated in section 9792.10.5. For the notification provided to the claims administrator, the statement shall provide that, pursuant to Labor Code section 4610.5(i), in addition to any other fines, penalties, and other remedies available to the Administrative Director, the failure to comply with section 9792.10.5 could result in the assessment of administrative penalties up to $5,000.00.
(g) Review conducted on a regular basis shall be converted into an expedited review if, subsequent to the receipt of the Application for Independent Medical Review, DWC Form IMR, the independent review organization receives from the employee's treating physician a certification that the employee faces an imminent and serious threat to his or her health as described in section 9792.10.1(a)(3). The independent review organization shall immediately notify the parties by the most efficient means available that the review has been converted from a regular review to an expedited review.
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.5. Independent Medical Review -- Medical Records.
Note     •     History

(a)(1) Within fifteen (15) days following receipt of the mailed notification from the independent review organization that the disputed medical treatment has been assigned for independent medical review, or within twelve (12) days if the notification was sent electronically, or for expedited review within twenty-four (24) hours following receipt of the notification, the claims administrator shall provide to the independent medical review organization all of the following documents:
(A) A copy of all reports of the employee's treating physician relevant to the employee's current medical condition produced within one year prior to the date of the request for authorization, including those that are specifically identified in the request for authorization or in the utilization review determination.
(B) A copy of the adverse determination by the claims administrator notifying the employee and the employee's treating physician that the disputed medical treatment was denied, delayed or modified.
(C) A copy of all information, including correspondence, provided to the employee by the claims administrator concerning the utilization review decision regarding the disputed treatment.
(D) A copy of any materials the employee or the employee's provider submitted to the claims administrator in support of the request for the disputed medical treatment.
(E) A copy of any other relevant documents or information used by the claims administrator in determining whether the disputed treatment should have been provided, and any statements by the claims administrator explaining the reasons for the decision to deny, modify, or delay the recommended treatment on the basis of medical necessity. 
(F) The claims administrator's response to any additional issues raised in the employee's application for independent medical review. 
(2) The claims administrator shall, concurrent with the provision of documents under subdivision (a), serve on the employee or the employee's representative a notification that lists all of the documents submitted to the independent review organization under subdivision (a). The claims administrator shall provide with the notification a copy of all documents that was not previously provided to the employee or the employee's representative. 
(3) Any newly developed or discovered relevant medical records in the possession of the claims administrator after the documents identified in subdivision (a) are provided to the independent review organization shall be forwarded immediately to the independent review organization. The claims administrator shall concurrently provide a copy of medical records required by this subdivision to the employee, or the employee's representative, or the employee's treating physician, unless the offer of medical records is declined or otherwise prohibited by law. 
(b)(1) Within fifteen (15) days following receipt of the notification from the independent review organization that the disputed medical treatment has been assigned for independent medical review, or for expedited review, within twenty-four (24) hours following receipt of the notification, the employee, or any party identified in section 9792.10.1(b)(2), may provide to the independent medical review organization any of the following documents:
(i) The treating physician's recommendation indicating that the disputed medical treatment is medically necessary for the employee's medical condition.
(ii) Medical information or justification that a disputed medical treatment, on an urgent care or emergency basis, was medically necessary for the employee's medical condition.
(iii) Reasonable information supporting the position that the disputed medical treatment is or was medically necessary, including all information provided by the employee's treating physician, or any additional material that the employee believes is relevant.
(2) The employee or any party identified in section 9792.10.1(b)(2) shall, concurrent with the provision of documents under subdivision (b), serve the documents provided under subdivision (b) on the claims administrator, except that documents previously provided to the claims administrator need not be provided again if a list of those documents is served. 
(3) Any newly developed or discovered relevant medical records in the possession of the employee, or any party identified in section 9792.10.1(b)(2), after the documents identified in subdivision (b) are provided to the independent review organization shall be forwarded immediately to the independent review organization. The employee, or any party identified in section 9792.10.1(b)(2), shall concurrently provide a copy of medical records required by this subdivision to the claims administrator, unless the offer of medical records is declined or otherwise prohibited by law. 
(c) At any time following the submission of documents under subdivision (a) and (b), the independent review organization may reasonably request appropriate additional documentation or information necessary to make a determination that the disputed medical treatment is medically necessary. Additional documentation or other information requested under this section shall be sent by the party to whom the request was made, with service on all other parties, within five (5) business days after the request is received in routine cases or one (1) calendar day after the request is received in expedited cases. 
(d) The confidentiality of medical records shall be maintained pursuant to applicable state and federal laws. 
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.6. Independent Medical Review -- Standards and Timeframes.
Note     •     History

(a) The independent medical review process may be terminated at any time upon the claims administrator's written authorization of all disputed medical treatment. 
(b) Upon assignment of the disputed medical treatment dispute for independent medical review, the independent review organization shall designate a medical reviewer to conduct an examination of the documents submitted pursuant to section 9792.10.5 and issue a determination, using plain language where possible, as to whether the disputed medical treatment is medically necessary based on the specific medical needs of the employee and the standards of medical necessity as defined in section 9792.10.1(a)(4). 
(c) The independent review organization, upon written approval by the Administrative Director, may utilize more than one medical reviewer to reach a determination regarding the medical necessity of a disputed medical treatment if it is found that the employee's condition and the disputed medical treatment is sufficiently complex such that a single reviewer could not reasonably address all disputed issues.
(d) The determination issued by the medical reviewer shall state whether the disputed medical treatment is medically necessary. The determination shall include the employee's medical condition, a statement of the disputed medical treatment, references to the specific medical and scientific evidence utilized pursuant to section 9792.10.1(a)(4), and the clinical reasons regarding medical necessity. 
(e) The independent review organization shall provide the Administrative Director, the claims administrator, the employee, and the employee's provider with a final determination regarding the medical necessity of the disputed medical treatment. With the final determination, the independent review organization shall provide a description of the qualifications of the medical reviewer or reviewers and the determination issued by the medical reviewer. 
(1) If more than one medical reviewer reviewed the case, the independent review organization shall provide each reviewer's determination. 
(2) The recommendation of the majority of medical reviewers shall prevail. If the reviewers are evenly split as to whether the disputed medical treatment should be provided, the decision shall be in favor of providing the treatment.
(f) The independent review organization shall keep the names of the reviewer, or reviewers if applicable, confidential in all communications with entities or individuals outside the independent review organization.
(g) Timeframes for final determinations:
(1) For regular review, the independent review organization shall complete its review and make its final determination within thirty (30) days of the receipt of the Application for Independent Medical Review, DWC Form IMR, and the supporting documentation and information provided under section 9792.10.5. 
(2) For expedited review where the disputed medical treatment has not been provided, the independent review organization shall complete its review and make its final determination within three (3) days of the receipt of the Application for Independent Medical Review, DWC Form IMR, and the supporting documentation and information provided under section 9792.10.5. 
(3) Subject to the approval of the Administrative Director, the deadlines for final determinations from the independent review organization, involving both regular and expedited reviews, may be extended for up to three days in extraordinary circumstances or for good cause. 
(h) The final determination issued by the independent review organization shall be deemed to be the determination of the Administrative Director and shall be binding on all parties.
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.7. Independent Medical Review -- Implementation of Determination and Appeal.
Note     •     History

(a) Upon receiving the final determination of the Administrative Director that a disputed medical treatment is medically necessary, the claims administrator shall, unless an appeal is filed under subdivision (c), promptly implement the decision unless the claims administrator has also disputed liability for any reason besides medical necessity. 
(1) In the case of reimbursement for services already rendered, the claims administrator shall reimburse the provider or employee, whichever applies, within twenty (20) days after receipt of the final determination, subject to resolution of any remaining issue of the amount of payment pursuant to Labor Code sections 4603.2 to 4603.6, inclusive. 
(2) In the case of services not yet rendered, the claims administrator shall authorize the services within five (5) working days of receipt of the final determination, or sooner if appropriate for the nature of the employee's medical condition, and shall inform the employee and provider of the authorization.
(b) The failure to pay for services already provided or to authorize services not yet rendered within the time prescribed by this section is subject to, in addition to any other fines, penalties, and other remedies available to the Administrative Director, an administrative penalty as set forth in section 9792.12(a) for each day the decision is not implemented. 
(c) The parties may appeal a final determination of the Administrative Director by filing a petition with the Workers' Compensation Appeals Board. 
(d) If the final determination of the Administrative Director is reversed by the Workers' Compensation Appeals Board, the dispute shall be remanded to the Administrative Director. The Administrative Director shall:
(1) Submit the dispute to independent medical review by a different independent review organization, if available;
(2) If a different independent medical review organization is not available after remand, the Administrative Director shall submit the dispute to the original independent review organization for review by a different reviewer in the organization. 
NOTE

Authority: Sections 133, 4603.5 and 5307.3, Labor Code. Reference: Sections 4062, 4600, 4600.4, 4604.5, 4610 and 4610.5, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.8. Independent Medical Review -- Payment for Review.
Note     •     History

(a) The costs of independent medical review and the administration of the independent medical review system shall be borne by claims administrators. For each Application for Independent Medical Review, DWC Form IMR, assigned to an independent review organization for an independent medical review of a disputed medical treatment, the fee for the claims administrator shall be:
(1) For calendar year 2013:
(A) For regular review:
(i) $560.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $760.00 
(ii) $495.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a degree other than an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $655.00 
(B) For expedited review:
(i) $685.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $850.00. 
(ii) $595.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a degree other than an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $760.00. 
(C) For withdrawn reviews:
(i) $215.00 for each application where review is terminated by the independent review organization prior to the receipt of the documentation and information provided under section 9792.10.5 by a medical reviewer.
(ii) If the review of an application and documentation and information provided under section 9792.10.5 is terminated by the independent review organization during or subsequent to the review of by a medical reviewer, the cost will be the same as if a determination under section 9792.10.6(b) had been issued by the medical reviewer.
(2) For calendar year 2014:
(A) For regular review:
(i) $550.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $740.00. 
(ii) $475.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a degree other than an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $635.00. 
(B) For expedited review:
(i) $645.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $830.00. 
(ii) $575.00 for each application where a determination is issued under section 9792.10.6(b) by a medical reviewer who: (1) is a physician as defined by Labor Code section 3209.3; and (2) holds a degree other than an M.D. or D.O. degree. If the review is conducted and a determination, or determinations if applicable, is issued by two medical reviewers as defined in this provision, the cost is $740.00. 
(C) For withdrawn reviews:
(i) $215.00 for each application where review is terminated by the independent review organization prior to the receipt of the documentation and information provided under section 9792.10.5 by a medical reviewer.
(ii) If the review of an application and documentation and information provided under section 9792.10.5 is terminated by the independent review organization subsequent to the receipt of the documentation and information provided under section 9792.10.5 by a medical reviewer, the cost will be the same as if a determination under section 9792.10.6(b) had been issued by the medical reviewer.
(b) The independent medical review organization shall bill each claims administrator for payment in arrears for every independent medical review initiated under this Article that was completed or terminated prior to completion. Invoices shall identify each independent medical review, the fees assessed for each review, and the aggregate total fee owed by the claims administrator.
(c) The aggregate total fee owed by the claims administrator for the prior calendar month shall be paid to the independent medical review organization within thirty (30) days of the billing. If the aggregate total fee is not paid within ten (10) days after it becomes due, there shall be added an additional amount equal to 10 percent, plus interest at the legal rate, which shall be paid at the same time but in addition to the total aggregate fee. 
(d) The fees paid by claims administrators for independent medical review under this section are non-refundable and not subject to discount or rebate. Any questions or disputes over the aggregate total fee and additional payments owed by the claims administrator under subdivision (c), late payments, and untimely determinations shall be submitted to the Administrative Director for informal resolution. Any request to resolve a dispute must be accompanied by a written statement setting forth the amount in dispute and the nature of the dispute. 
NOTE

Authority: Sections 133, 4603.5, 5307.3 and 4610.6, Labor Code. Reference: Sections 4610, 4610.5 and 4610.6, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.10.9. Independent Medical Review -- Publishing of Determinations.
Note     •     History

The Administrative Director may publish the results of independent medical review determinations after removing all individually identifiable information as defined in Labor Code section 138.7, including, but not limited to, the employee, all medical providers, the claims administrator, any of the claims administrator's employees or contractors, or any utilization review organization. 
NOTE

Authority: Sections 133, 4603.5, 5307.3 and 4610.6, Labor Code. Reference: Sections 4610, 4610.5 and 4610.6, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.11. Investigation Procedures: Labor Code §4610 Utilization Review Violations.
Note     •     History

(a) To carry out the responsibilities mandated by Labor Code Section 4610(i), the Administrative Director, or his or her designee, shall investigate the utilization review process of any employer, insurer or other entity subject to the provisions of section 4610. The investigation shall include, but not be limited to, review of the practices, files, documents and other records, whether electronic or paper, of the claims administrator, and any other person responsible for utilization review processes for an employer. As used in sections 9792.11 through 9792.15, the phrase `utilization review organization' includes any person or entity with which the employer, or an insurer, or third party administrator, contracts to fulfill part or all of the employer's utilization review responsibilities under Labor Code section 4610 and Title 8 of the California Code of Regulations, sections 9792.6 through 9792.15.
(b) Notwithstanding Labor Code section 129(a) through (d) and section 129.5 subdivisions (a) through (d), the Administrative Director, or his or her designee, may conduct a utilization review investigation pursuant to Labor Code section 4610, which may include, but is not limited to, an audit of files and other records. 
(c) The Administrative Director, or his or her designee, may conduct a utilization review investigation at any location where Labor Code Section 4610 utilization review processes occur, as follows: 
(1) For utilization review organizations:
(A) A Routine Investigation shall be initiated at each known utilization review organization at least once every three (3) years. The investigation shall include a review of a random sample of requests for authorization, as defined by section 9792.6(o), received by the utilization review organization during the three most recent full calendar months preceding the date of the issuance of the Notice of Utilization Review Investigation. The investigation may also include a review of any credible complaints received by the Administrative Director since the time of the previous investigation. If there has not been a previous investigation, the investigation may include a review of any credible complaints received by the Administrative Director since the effective date of sections 9792.11 through 9792.15.
(B) Target Investigations:
1. A Return Target Investigation of the same investigation subject shall be conducted within 18 months of the date of the previous investigation if the performance rating was less than eighty-five percent. 
2. A Special Target Investigation may be conducted at any time based on credible information indicating the possible existence of a violation of Labor Code section 4610 or sections 9792.6 through 9792.12.
3. The Return Target Investigation and the Special Target Investigation may include: (i) a review of the requests for authorization previously investigated which contained violations; (ii) a review of the file or files pertaining to the complaint or possible violation; (iii) a random sample of requests for authorization received by the utilization review organization during the three most recent full calendar months preceding the date of the issuance of the Notice of Utilization Review Investigation; (iv) a sample of a specific type of request for authorization; and (v) any credible complaints received by the Administrative Director since the time of any prior investigation. If there has not been a previous investigation, the investigation may include a review of any credible complaints received by the Administrative Director since the effective date of sections 9792.11 through 9792.15.
(2) For a claims administrator:
(A) A Routine Investigation shall be initiated at each claims adjusting location at least once every five (5) years concurrent with the profile audit review done pursuant to Labor Code sections 129 and 129.5. The investigation shall include a review of a random sample of requests for authorization, as defined by section 9792.6(o), received by the claims administrator during the three most recent full calendar months preceding the date of the issuance of the Notice of Utilization Review Investigation. The investigation may also include a review of any credible complaints received by the Administrative Director since the time of the previous investigation. If there has not been a previous investigation, the investigation may include a review of any credible complaints received by the Administrative Director since the effective date of sections 9792.11 through 9792.15.
(B) Target Investigations:
1. A Return Target Investigation of the same investigation subject shall be conducted within 18 months of the date of any previous investigation if the performance rating was less than eighty-five percent. 
2. A Special Target Investigation may be conducted at any time based on credible information indicating the possible existence of a violation of Labor Code section 4610 or sections 9792.6 through 9792.12. 
3. The Return Target Investigation and the Special Target Investigation may include: (i) a review of the requests for authorization previously investigated which contained violations; (ii) a review of the file or files pertaining to the complaint or possible violation; (iii) a random sample of requests for authorization received by the claims administrator during the three most recent full calendar months preceding the date of the issuance of the Notice of Utilization Review Investigation; (iv) a sample of a specific type of request for authorization; and (v) any credible complaints received by the Administrative Director since the time of any prior investigation. If there has not been a previous investigation, the investigation may include a review of any credible complaints received by the Administrative Director since the effective date of sections 9792.11 through 9792.15.
(d) The number of requests for authorization randomly selected for investigation shall be determined based on the following table: 

	Population of requests for
	authorization received
	during a three month
	calendar period	Sample Size

	5 or less	all
	6-10	1 less than total
	11-13	2 less than total
	14-16	3 less than total
	17-18	4 less than total
	19-20	5 less than total
	21-23	6 less than total
	24	17
	25-26	18
	27-29	19
	30-31	20
	32-33	21
	34-36	22
	37-39	23
	40-41	24
	42-44	25
	45-48	26
	49-51	27
	52-55	28
	56-58	29
	59-62	30
	63-67	31
	68-72	32
	73-77	33
	78-82	34
	83-88	35
	89-95	36
	96-102	37
	103-110	38
	111-119	39
	120-128	40
	129-139	41
	140-151	42
	152-164	43
	165-179	44
	180-197	45
	198-217	46
	218-241	47
	242-269	48
	270-304	49
	305-346	50
	347-399	51
	400-468	52
	469-562	53
	563-696	54
	697-905	55
	906-1,272	56
	1,273-2,091	57
	2,092-5,530	58
	5,531 +	59
(e) Complaints concerning utilization review procedures may be submitted with any supporting documentation to the Division of Workers' Compensation using the sample complaint form that is posted on the Division's website at:
http://www.dir.ca.gov/dwc/FORMS/UtilizationReviewcomplaintform.pdf
Complaints should be mailed to DWC Medical Unit-UR, P.O. Box 71010, Oakland, CA 94612, attention UR Complaints or emailed to DWCManagedCare@dir.ca.gov. Complaints received by the Division of Workers' Compensation will be reviewed and investigated, if necessary, to determine if the complaints are credible and indicate the possible existence of a violation of Labor Code section 4610 or sections 9792.6 through 9792.12.
(f) Administrative penalties may be assessed for any failure to comply with Labor Code section 4610, or sections 9792.6 through 9792.12 of Title 8, California Code of Regulations, except that the penalties listed in section 9792.12(a)(6) through (14) and (b) shall only be imposed if the request was subject to the Labor Code section 4610 utilization review process.
(g) In the event an investigation of utilization review processes is done at the claims administrator's adjusting location, concurrent with a profile audit review done pursuant to Labor Code section 129 or 129.5, the administrative penalty amounts for each violation of Labor Code section 4610 or sections 9792.6 through 9792.12 of Title 8, California Code of Regulations, shall be governed by sections 9792.11 through 9792.15. Any such administrative penalty for utilization review process violations shall apply in lieu of the administrative penalty amount allowed under the audit regulations at section 10111.2(b)(8)[vi] of Title 8, California Code of Regulations. In addition, any report of findings from the investigation and any Order to Show Cause re: Assessment of Administrative Penalties prepared by the Administrative Director, or his or her designee, based on violations of Labor Code section 4610 or sections 9792.6 through 9792.12 of Title 8, California Code of Regulations, shall be prepared separately from any audit report or assessment of administrative penalties made pursuant to Labor Code section 129 and 129.5. The Order to Show Cause re: Assessment of Administrative Penalties for violations of sections 9792.6 et seq of Title 8 of the California Code of Regulations shall be governed by sections 9792.11 through 9792.15. 
(h) The Administrative Director, or his or her designee, may also utilize the provisions of Government Code sections 11180 through 11191 to determine whether any violations of the requirements in Labor Code section 4610 or sections 9792.6 through 9792.12 of Title 8, California Code of Regulations, have occurred.
(i) Sections 9792.11 through 9792.15 of Title 8 of the California Code of Regulations shall apply to any Labor Code section 4610 utilization review investigation conducted on or after the effective date of sections 9792.11 through 9792.15 and for conduct which occurred on or after the effective date of sections 9792.11 through 9792.15.
(j) Unless the Administrative Director in his or her discretion determines that advance notice will render a Special Target or Return Target Investigation less useful, the claims administrator or utilization review organization shall be notified of its selection for an Investigation. Claims administrators and utilization review organizations shall be sent a Notice of Utilization Review Investigation. The Notice of Utilization Review Investigation shall require the investigation subject to provide the following:
(1) A description of the system used to identify each request for authorization (if applicable). To the extent the system identifies any of the following information in an electronic format, the claims administrator or utilization review organization shall provide in an electronic format a list of each and every request for authorization received at the investigation site during a three month calendar period specified by the Administrative Director, or his or her designee, and the following data elements: i) a unique identifying number for each request for authorization if one has been assigned; ii) the name of the injured worker; iii) the claim number used by the claims adjuster; iv) the initial date of receipt of the request for authorization; v) the type of review (expedited prospective, prospective, expedited concurrent, concurrent, retrospective, appeal); vi) the disposition (approve, deny, delay, modify, withdrawal); and, vii) if applicable, the type of person who withdrew the request (requesting physician, claims adjuster, injured employee or his or her attorney, or other person). In the event the claims administrator or utilization review organization is not able to provide the list in an electronic format, the list shall be provided in such a form that the listed requests for authorization are sorted in the following order: by type of utilization review, type of disposition, and date of receipt of the initial request;
(2) A description of all media used to transmit, share, record or store information received and transmitted in reference to each request, whether printed copy, electronic, fax, diskette, computer drive or other media;
(3) A legend of any and all numbers, letters and other symbols used to identify the disposition (e.g. approve, deny, modify, delay or withdraw), type of review (expedited prospective, prospective, expedited concurrent, concurrent, retrospective, appeal), and other abbreviations used to document individual requests for authorization and a data dictionary for all data elements provided;
(4) A description of the methods by which the medical director for utilization review ensures that the process by which requests for authorization are reviewed and approved, modified, delayed, or denied is in compliance with Labor Code section 4610 and sections 9792.6 through 9792.10, as required by sections 9792.6(l) and 9792.7(b) of Title 8 of the California Code of Regulations; and 
(5) The following additional information, may be requested by the Administrative Director or his or her designee, as applicable to the type of entity investigated: i) whether utilization review services are provided externally; ii) the name(s) of the utilization review organization(s); iii) the name and address of the employer; and iv) the name and address of the insurer.
(k) The utilization review organization or claims administrator shall provide the requested information listed in subdivision (j) within fourteen (14) calendar days of receipt of the Notice of Utilization Review Investigation. Based on the information provided, the Administrative Director, or his or her designee, shall provide the claims administrator or utilization review organization with a Notice of Investigation Commencement, which shall include a list of randomly selected requests for authorization from a three month calendar period designated by the Administrative Director and complaint files (if applicable) for investigation.
(l) For utilization review organizations: Within fourteen (14) calendar days of receipt from the Administrative Director, or his or her designee, of the Notice of Investigation Commencement, the utilization review organization shall deliver to the Administrative Director, or his or her designee, a true and complete copy of all records, whether electronic or paper, for each request for authorization listed. Copies of the records shall be delivered with a statement signed under penalty of perjury by the custodian of records for the location at which the records are held, attesting that all of the records produced are true, correct and complete copies of the originals, in his or her possession. After reviewing the records, the Administrative Director, or his or her designee, shall determine if an onsite investigation is required. If an onsite investigation is required, fourteen (14) calendar days notice shall be provided to the utilization review organization.
(m) For claims administrators: The Notice of Investigation Commencement shall be provided to the claims administrator at least fourteen (14) calendar days prior to the commencement of the onsite investigation. The claims administrator shall produce for the Administrative Director, or his or her designee, on the first day of commencement of the onsite investigation, the true, correct and complete copies, whether electronic or paper, whether located onsite or offsite, of each request for authorization identified by the Administrative Director or his or her designee, together with a statement signed under penalty of perjury by the custodian of records for the location at which the records are held, attesting that all of the records produced are true, correct and complete copies of the originals.
(n) In the event the Administrative Director, or his or her designee, determines additional records or files are needed for review during the course of an onsite investigation, the claims administrator or utilization review organization shall produce the requested records in the manner described by subdivision 9792.11(k), within one (1) working day when the records are located at the site of investigation, and within five (5) working days when the records are located at any other site. Any such request by the Administrative Director or his or her designee also may include records or files pertaining to any complaint alleging violations of Labor Code sections 4610 or sections 9792.6 through 9792.12 of Title 8 of the California Code of Regulations. The Administrative Director or his or her designee may extend the time for production of the requested records for good cause. 
(o) If the date or deadline in sections 9792.9(b) and 9792.9(c) of Title 8 of the California Code of Regulations to perform any act related to utilization review practices falls on a weekend or holiday, for the purposes of assessing penalties, the act may be performed on the next normal business day, as defined by Labor Code section 4600.4 and Civil Code section 9. This subdivision shall not apply in cases involving concurrent or expedited review. The timelines in sections 9792.9(b) of Title 8 of the California Code of Regulations shall only be extended as provided under section 9792.9(g) of that title.
(p) If the claims administrator or utilization review organization does not record the date a document is received, it shall be deemed received by using the method set out in section 9792.9(a)(2), except that:
(1) where the request for authorization is made by mail through the U.S. postal service and no proof of service by mail exists, the request shall be deemed to have been received by the claims administrator, or utilization review organization on whichever date is earlier, either the receipt date stamped by the addressee or within five (5) calendar days of the date stated in the request for authorization or where the addressee can show a delay in mailing by the postmark date on the mailing envelope then: (A) within five (5) calendar days of the postmark date, if the place of mailing and place of address are both within California; (B) within ten (10) calendar days if the place of address is within the United States but outside of California; or (C) within twenty (20) calendar days if the place of address is outside of the United States; and
(2) where the request for authorization is made by express mail, overnight mail or courier without any proof of service, the request shall be deemed received by the addressee on the date specified in any written confirmation of delivery.
(q) Upon initiating a Special Target Investigation, the Administrative Director, or his or her designee, shall provide to the claims administrator or the utilization review organization a written description of the factual information or of the complaint containing factual information or a copy of the complaint that triggered the utilization review investigation, unless the Administrative Director or his or her designee determines that providing the information would make the investigation less useful. The claims administrator or utilization review organization shall have ten (10) business days upon receipt of the written description or copy of the complaint to provide a written response to the Administrative Director or his or her designee. After reviewing the written response, the Administrative Director, or his or her designee, shall either close the investigation without the assessment of administrative penalties or conduct further investigation to determine whether a violation exists and whether to impose penalty assessments.
(r) For utilization review organizations: The files and other records, whether electronic or paper, that pertain to the utilization review process shall be retained for at least three (3) years following either: (1) the most recent utilization review decision for each injured employee, or (2) the date on which any appeal from the assessment of penalties for violations of Labor Code section 4610 or sections 9792.6 through 9792.12 is final, whichever date is later. Claims administrators shall retain their claim files as set forth in section 10102 of Title 8 of the California Code of Regulations.
(s) Upon receipt of a notice of Routine or Target Investigation or any other request from the Administrative Director, or his or her designee, to review all files and other records pertaining to the employer's utilization review process, whether electronic or paper, that are created or held outside of California, the claims administrator or utilization review organization shall either deliver all such requested files and other records to an address in California specified by the Administrative Director, or his or her designee, or reimburse the Administrative Director for the actual expenses of each investigator who travels outside of California to the place where the records are held, including the per diem expenses, travel expenses and compensated overtime of the investigators.
(t) A preliminary investigation report will be provided to the claims administrator or utilization review organization. The preliminary investigation report shall consist of the preliminary notice of utilization review penalty assessments, the performance rating, and may include one or more requests for additional documentation or compliance. A conference to discuss the preliminary investigation report shall be scheduled, if necessary, within twenty-one calendar days from the issuance of the preliminary findings. Following the conference, the Administrative Director or his or her designee shall issue an Order to Show Cause Re: Assessment of Administrative Penalty (which shall include the final investigation report), as set forth in section 9792.15.
(u) The claims administrator or utilization review organization may stipulate to the allegations and final report set forth in the Order to Show Cause.
(v) Within forty-five (45) calendar days of the service of the Order to Show Cause Re: Assessment of Administrative Penalties, if no answer has been filed, or within 15 calendar days after any and all appeals have become final, the claims administrator or utilization review organization shall provide the following:
(1) A notice, which shall include a copy of the final investigation report, the measures actually implemented to abate such conditions, and the website address for the Division where the performance rating and summary of violations is posted. If a hearing was conducted under section 9792.15, the notice shall include the Final Determination in lieu of the final investigation report.
(2) For utilization review organizations: the notice must be served on any employer or third party claims administrator that contracted with the utilization review organization and whose utilization review process was assessed with a penalty pursuant to section 9792.12, and any insurer whose utilization review process was assessed with a penalty pursuant to section 9792.12.
(3) For claims administrators: the notice must be served on any self-insured employer and any insurer whose utilization review process was assessed with a penalty pursuant to section 9792.12.
(4) The notice shall be served by certified mail.
(5) Documentation of compliance with this section shall be served on the Administrative Director within thirty calendar days from the date the notice was served.
NOTE

Authority cited: Sections 11180-11191, Government Code; and Sections 133, 4610 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 4062, 4600, 4600.4, 4604.5, 4610 and 4614, Labor Code.
HISTORY

1. New section filed 6-7-2007; operative 6-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23). For prior history, see Register 2005, No. 38.
§9792.12. Administrative Penalty Schedule for Utilization Review and Independent Medical Review Violations.
Note     •     History

(a) Mandatory Administrative Penalties. Notwithstanding Labor Code section 129.5(c)(1) through (c)(3), the penalty amount that shall be assessed for each failure to comply with the utilization review process required by Labor Code section 4610, the independent medical review process required by Labor Code sections 4610.5 and 4610.6, and sections 9792.6 through 9792.12 of Title 8 of the California Code of Regulations, is: 
(1) For failure to establish a Labor Code section 4610 utilization review plan: $50,000;
(2) For failure to include all of the requirements of section 9792.7(a) in the utilization review plan: $5,000;
(3) For failure to file the utilization review plan or a letter in lieu of a utilization review plan with the Administrative Director as required by section 9792.7(c): $10,000;
(4) For failure to file a modified utilization review plan with the Administrative Director within 30 calendar days after the claims administrator makes a material modification to the plan as required by section 9792.7(c): $5,000;
(5) For failure to employ or designate a physician as a medical director, as defined in section 9792.6(l), of the utilization review process, as required by section 9792.7(b): $50,000;
(6) For issuance of a decision to modify or deny a request for authorization regarding a medical treatment, procedure, service or product where the requested treatment, procedure or service is not within the reviewer's scope of practice (as set forth by the reviewer's licensing board): $25,000;
(7) For failure to comply with the requirement that only a licensed physician may modify, delay, or deny requests for authorization of medical treatment for reasons of medical necessity to cure or relieve, except as provided for in Labor Code section 4604.5(c): $25,000;
(8) For failure of a non-physician reviewer (person other than a reviewer, expert reviewer or medical director as defined in section 9792.6 of Title 8 of the California Code of Regulations), who approves an amended request to possess an amended written request for treatment authorization as provided under section 9792.7(b)(3) when a physician has voluntarily withdrawn a request in order to submit an amended request: $1,000; 
(9) For failure to communicate the decision in response to a request for an expedited review, as defined in section 9792.6(g), in a timely fashion, as required by section 9792.9 and section 9792.9.1: $15,000;
(10) For failure to approve the request for authorization solely on the basis that the condition for which treatment was requested is not addressed by the medical treatment utilization schedule adopted pursuant to section 5307.27 of the Labor Code: $5,000;
(11) For failure to discuss or document attempts to discuss reasonable options for a care plan with the requesting physician as required by Labor Code section 4610(g)(3)(B), prior to denying authorization of or discontinuing medical care, in the case of concurrent review: $10,000;
(12) For failure to respond to the request for authorization by the injured employee's requesting treating physician, in the case of a non-expedited concurrent review: $2,000;
(13) For failure to respond to the request for authorization by the injured employee's requesting treating physician, in the case of a non-expedited prospective review: $1,000;
(14) For failure to respond to the request for authorization by the injured employee's requesting treating physician, in the case of a retrospective review: $500;
(15) For failure to disclose or otherwise to make available, if requested, the Utilization Review criteria or guidelines to the public, as required by Labor Code section 4610, subdivision (f)(5) and section 9792.7(d) of Title 8 of the California Code of Regulations: $100.
(16) For failure to timely serve the Administrative Director with documentation of compliance pursuant to section 9792.11(v)(5): $500.
(17) For failure to timely comply with any compliance requirement listed in the Final Report if no timely answer was filed or any compliance requirement listed in the Determination and Order after any and all appeals have become final: $500.
(18) For the failure to timely communicate a written decision modifying, delaying, or denying a treatment authorization under sections 9792.9(l) or 9792.9.1(e)(3): $250 per day, up to a maximum of $5,000. 
(19) For the failure to provide an Application for Independent Medical Review, DWC Form IMR, set forth at section 9792.10.2, with all applicable fields completed by the claims administrator, with a written decision modifying, delaying, or denying a treatment authorization under sections 9792.9(l) or 9792.9.1: $2,000.
(20) For the failure to include in a written decision modifying, delaying, or denying a treatment authorization under sections 9792.9(l) or 9792.9.1 a clear statement that advising the injured employee that any dispute shall be resolved in accordance with the independent medical review provisions of Labor Code section 4610.5 and 4610.6, and that an objection to the utilization review decision must be communicated by the injured worker, the injured worker's representative, or the injured worker's attorney on behalf of the injured worker on the Application for Independent Medical Review, DWC Form IMR, set forth at section 9792.10.2, within 30 calendar days of receipt of the decision: $2,000.
(21) For the failure to include in a written decision modifying, delaying, or denying a treatment authorization under sections 9792.9(l) or 9792.9.1 a statement detailing the claims administrator's internal utilization review appeals process for the requesting physician, if any, and a statement that the internal appeals process is a voluntary process that neither triggers nor bars use of the dispute resolution procedures of Labor Code section 4610.5 and 4610.6, but may be pursued on an optional basis: $2,000.
(22) For the failure to timely provide information requested by the Administrative Director under section 9792.10.3(b): $100.00 for each day the response is untimely under section 9792.10.3(c), up to a maximum of $5,000.00.
(23) For the failure to timely provide all information required by section 9792.10.5(a) and (c): $250.00 for each day the response is untimely under section 9792.10.3(c), up to a maximum of $5,000.00.
(24) For the failure to timely implement a final determination of the Administrative Director under section 9792.10.7: $500.00 for each day up to a maximum of $5,000.00.
(25) For the failure to timely pay an invoice sent from the designated independent medical review organization under section 9792.10.8(c): $250. 
(b) Additional Penalties and Remediation. 
(1) After conducting a Routine or Return Target Investigation, the Administrative Director, or his or her designee, shall calculate the investigation subject's performance rating based on its review of the randomly selected requests. The investigation subject's performance rating may also be calculated after conducting a Special Target Investigation. The performance rating will be calculated as follows:
(A) The factor for failure to make and/or provide a timely response to a request for authorization shall be determined by dividing the number of randomly selected requests with violations involving failure to make or provide a timely response to a request for authorization by the total number of randomly selected requests.
(B) The factor for notice(s) with faulty content shall be determined by dividing the number of requests involving notice(s) with faulty content by the total number of randomly selected requests.
(C) The factor for failure to issue notice(s) to all appropriate parties shall be determined by the number of requests involving the failure to issue notice(s) to all appropriate parties by the total number of randomly selected requests. 
(D) The investigation subject's investigation performance rating will be determined by adding the factors calculated pursuant to subsections (b)(1)(A) through (b)(1)(C), dividing the total by three, subtracting from one, and multiplying by one-hundred.
(E) If the investigation subject's performance rating meets or exceeds eighty-five percent, the Administrative Director, or his or her designee, shall assess no penalties for the violations listed in this subdivision. If the performance rating is less than eighty-five percent, the violations shall be assessed as set forth below in (b)(2) through (b)(5):
(2) For the types of violations listed below in (b)(4) and (b)(5), each violation shall have a penalty amount, as specified of $100 in (b)(4) or $50 in (b)(5). The penalty amount specified in (b)(4) and (b)(5) shall be waived if the investigation subject's performance rating meets or exceeds eighty-five percent, or if following a Routine Investigation the claims administrator or utilization review organization agrees in writing to:
(A) Deliver to the Administrative Director, or his or her designee, within no more than thirty (30) calendar days from the date of the agreement or the number of days otherwise specified, written evidence, tendered with a declaration made under penalty of perjury, that explains or demonstrates how the violation has been abated in compliance with the applicable statute or regulations and the terms of abatement specified by the Administrative Director; and
(B) Grant the Administrative Director, or his or her designee, entry, upon request and within the time frame specified in the agreement, to the site at which the violation was found for a Return Target Investigation for the purpose of verifying compliance with the abatement measures reported in subdivision 9792.12(b)(1)(A) above and agree to a review of randomly selected requests for authorization; and
(C) Reinstatement of the penalty amount previously waived for each such instance, in the event the violative condition is not abated within the time period specified by the Administrative Director, or his or her designee, or in the event that such abatement measures are not consistent with abatement terms specified by the Administrative Director, or his or her designee.
(3) In the event the Administrative Director, or his or her designee, returns for a Return Target Investigation, after the initial violation has become final, and the subject fails to meet the performance standard of 85%, the amount of penalty shall be calculated as described below and in no event shall the penalty amount be waived:
(A) The penalty amount for each violation shall be multiplied by two for a second investigation, but in no event shall the total penalties for the violations exceed $100,000;
(B) The penalty amount for each violation shall be multiplied by five for a third investigation, but in no event shall the total penalties for the violations exceed $200,000;
(C) The penalty amount for each violation shall be multiplied by ten for a fourth investigation, but in no event shall the total penalties for the violations exceed $400,000.
(4) For each of the violations listed below, the penalty amount shall be $100.00 for each instance found by the Administrative Director, or his or her designee:
(A) For failure to immediately notify all parties in the manner described in section 9792.9(h)(2) and section 9792.9.1(f)(2) of the basis for extending the decision date for a request for medical treatment;
(B) For failure to document efforts to obtain information from the requesting party prior to issuing a denial of a request for authorization on the basis of lack of reasonable and necessary information;
(C) For failure to make a decision to approve the request for authorization, within five (5) working days of receipt of the requested information for prospective or concurrent review, and to communicate the decision as required by section 9792.9(h)(3) and section 9792.9.1(f)(3);
(D) For failure to make and communicate a retrospective decision to approve, modify, or deny the request, within thirty (30) working days of receipt of the information, as required by section 9792.9(h)(4) and section 9792.9.1(f)(5);
(E) Except as provided in subdivision (a), for failure to include in the written decision that modifies, delays or denies authorization, all of the items required by section 9792.9(k) and(l), and section 9792.9.1(e);
(F) For failure to disclose or otherwise to make available, if requested, the Utilization Review criteria or guidelines, to the injured employee whose case is under review, as required by Labor Code section 4610(f)(5) and section 9792.8(a)(3) Title 8 of the California Code of Regulations.
(5) For each of the violations listed below, the penalty amount shall be $50.00 for each instance found by the Administrative Director, or his or her designee:
(A) For failure by a non-physician or physician reviewer to timely notify the requesting physician, as required by section 9792.9(c)(2) or section 9792.9.1(c)(3)(B), that additional information is needed in order to make a decision in compliance with the timeframes contained in section 9792.9(c) or section 9792.9.1(c); 
(B) For failure to communicate the decision to approve to the requesting physician in the case of prospective or concurrent review, by phone or fax within 24 hours of the decision, as required by Labor Code section 4610(g)(3)(A) and in accordance with section 9792.9(c)(3) or section 9792.9.1(d)(2);
(C) For failure to send a written notice of the decision to modify, delay or deny to the requesting party, and to the injured employee and to his or her attorney if any, within twenty four (24) hours of making the decision for concurrent review, or within two business days for prospective review, as required by Labor Code section 4610(g)(3)(A) and section 9792.9(c)(4) of Title 8 of the California Code of Regulations;
(D) For failure to communicate a decision in the case of retrospective review as required by section 9792.9(d) or section 9792.9.1(d)(3) and (e)(4) within thirty (30) days of receipt of the medical information that was reasonably necessary to make the determination;
(E) For failure to document that one of the following events occurred prior to the claims administrator providing written notice for delay under Labor Code section 4610(g)(5):
(1) the claims administrator had not received all of the information reasonably necessary and requested;
(2) the employer or claims administrator has requested a consultation by an expert reviewer;
(3) the physician reviewer has requested an additional examination or test be performed;
(G) For failure to explain in writing the reason for delay as required by section 9792.9(h)(2) or section 9792.9.1(f)(2) of Title 8 of the California Code of Regulations when the decision to delay was made under one of the circumstances listed in section 9792.9(h)(1) or section 9792.9.1(f)(1).
(6) After the time to file an answer to the Order to Show Cause Re: Assessment of Administrative Penalties has elapsed and no answer has been filed or after any and all appeals have become final, the Administrative Director, or his or her designee, shall post on the website for the Division of Workers' Compensation the performance rating and summary of violations for each utilization review investigation.
(c) The penalty amounts specified for violations under subsection 9792.12(a) and (b) above may, in the discretion of the Administrative Director, be reduced after consideration of the factors set out in section 9792.13 of Title 8 of the California Code of Regulations. Failure to abate a violation found under section 9792.12(b)(4) and (b)(5), in the time period or in a manner consistent with that specified by the Administrative Director, or his or her designee, shall result in the assessment of the full original penalty amount proposed by the Administrative Director for that violation.
NOTE

Authority cited: Sections 133, 4610 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 4062, 4600, 4600.4, 4604.5, 4610, 4610.5, 4610.6 and 4614, Labor Code.
HISTORY

1. New section filed 6-7-2007; operative 6-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23).
2. Amendment of section heading and subsections (a), (a)(7) and (a)(9), new subsections (a)-(18)-(25), amendment of subsections (b)(4)(A), (b)(4)(C)-(E), (b)(5)(A)-(B) and (b)(5)(D), repealer of subsection (b)(5)(E), subsection relettering, amendment of subsection (b)(5)(G) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9792.13. Assessment of Administrative Penalties -- Penalty Adjustment Factors.
Note     •     History

(a) In any investigation that the Administrative Director deems appropriate, the Administrative Director, or his or her designee, may mitigate a penalty amount imposed under section 9792.12 after considering each of these factors:
(1) The medical consequences or gravity of the violation(s);
(2) The good faith of the claims administrator or utilization review organization. Mitigation for good faith shall be determined based on documentation of attempts to comply with the Labor Code and regulations and shall result in a reduction of 20% for each applicable penalty; 
(3) The history of previous penalties; 
(4) The frequency of violations found during the investigation giving rise to a penalty; 
(5) Penalties may be mitigated outside the above mitigation guidelines in extraordinary circumstances, when strict application of the mitigation guidelines would be clearly inequitable; and
(6) In the event an objection or appeal is filed pursuant to subsection 9792.15 of these regulations, whether the claims administrator or utilization review organization abated the alleged violation within the time period specified by the Administrative Director or his or her designee.
(b) The Administrative Director, or his or her designee, may assess both an administrative penalty under Labor Code section 4610 and a civil penalty under subdivision (e) of Labor Code section 129.5 based on the same violation(s).
(c) The Administrative Director, or his or her designee, shall not collect payment for an administrative penalty under Labor Code section 4610 from both the utilization review organization and the claims administrator for an assessment based on the same violation(s).
(d) Where an injured worker's or a requesting provider's refusal to cooperate in the utilization review process has prevented the claims administrator or utilization review organization from determining whether there is a legal obligation to perform an act, the Administrative Director, or his or her designee, may forego a penalty assessment for any related act or omission. The claims administrator or utilization review organization shall have the burden of proof in establishing both the refusal to cooperate and that such refusal prevented compliance with the relevant applicable statute or regulation.
NOTE

Authority cited: Sections 133, 4610 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 4062, 4600, 4600.4, 4604.5, 4610 and 4614, Labor Code.
HISTORY

1. New section filed 6-7-2007; operative 6-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23).
§9792.14. Liability for Penalty Assessments.
Note     •     History

(a) If more than one claims administrator or utilization review organization has been responsible for a claim file, utilization review file or other file that is being investigated, penalties may be assessed against each such entity for the violation(s) that occurred during the time each such entity had responsibility for the file or for the utilization review process.
(b) The claims administrator or utilization review organization is liable for all penalty assessments made against it, except that if the subject of the investigation is acting as an agent, the agent and the principal are jointly and severally liable for all penalty assessments resulting from a given investigation. This paragraph does not prohibit an agent and its principal from allocating the administrative penalty liability between them. Liability for civil penalties assessed pursuant to Labor Code section 129.5(e) for violations under Labor Code section 4610 or sections 9792.6 through 9792.10 of Title 8 of the California Code of Regulations shall not be allocated. 
(c) Successor liability may be imposed on a claims administrator or utilization review organization that has merged with, consolidated, or otherwise continued the business of a corporation, other business entity or other person that was cited by the Administrative Director for violations of Labor Code section 4610 or sections 9792.6 through 9792.12. The surviving entity or person responsible for administering the utilization review process for an employer, shall assume and be liable for all the liabilities, obligations and penalties of the prior corporation or business entity. Successor liability will be imposed if there has been a substantial continuity of business operations and/or the new business uses the same or substantially the same work force.
NOTE

Authority: Sections 133, 4610 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 4062, 4600, 4600.4, 4604.5, 4610 and 4614, Labor Code.
HISTORY

1. New section filed 6-7-2007; operative 6-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23).
§9792.15. Administrative Penalties Pursuant to Labor Code §4610 -- Order to Show Cause, Notice of Hearing, Determination and Order, and Review Procedure.
Note     •     History

(a) Pursuant to Labor Code section 4610(i), the Administrative Director shall issue an Order to Show Cause Re: Assessment of Administrative Penalty when the Administrative Director, or his or her designee (the investigating unit of the Division of Workers' Compensation), has reason to believe that an employer, insurer or other entity subject to Labor Code section 4610 has failed to meet any of the requirements of this section or of any regulation adopted by the Administrative Director pursuant to the authority of section 4610.
(b) The order shall be in writing and shall include all of the following: 
(1) Notice that an administrative penalty may be assessed; 
(2) The final investigation report, which shall consist of the notice of utilization review penalty assessment, the performance rating, and may include one or more requests for documentation or compliance; 
(c) The order shall be served personally or by registered or certified mail. 
(d) Within thirty (30) calendar days after the date of service of the Order to Show Cause Re: Assessment of Administrative Penalties, the claims administrator or utilization review organization may pay the assessed administrative penalties or file an answer as the respondent with the Administrative Director, in which the respondent may:
(1) Admit or deny in whole or in part any of the allegations set forth in the Order to Show Cause;
(2) Contest the amount of any or all proposed administrative penalties;
(3) Contest the existence of any or all of the violations; 
(4) Set forth any affirmative and other defenses;
(5) Set forth the legal and factual bases for each defense.
(e) Any allegation and proposed penalty stated in the Order to Show Cause that is not contested shall be paid within thirty (30) calendar days after the date of service of the Order to Show Cause.
(f) Failure to timely file an answer shall constitute a waiver of the respondent's right to an evidentiary hearing. Unless set forth in the answer, all defenses to the Order to Show Cause shall be deemed waived. If the answer is not timely filed, within ten (10) days of the date for filing the answer, the respondent may file a written request for leave to file an answer. The respondent may also file a written request for leave to assert additional defenses, which the Administrative Director may grant upon a showing of good cause. 
(g) The answer shall be in writing and signed by, or on behalf of, the claims administrator or utilization review organization and shall state the respondent's mailing address. It need not be verified or follow any particular form.
(1) The respondent must file the original and one copy of the answer on the Administrative Director and concurrently serve one copy of the answer on the investigating unit of the Division of Workers' Compensation (designated by the Administrative Director). The original and all copies of any filings required by this section shall have a proof of service attached.
(h) Within sixty (60) calendar days of the issuance of the Order to Show Cause Re: Assessment of Administrative Penalty, the Administrative Director shall issue the Notice of the date, time and place of a hearing. The date of the hearing shall be at least ninety calendar days from the date of service of the Notice. The Notice shall be served personally or by registered or certified mail. Continuances will not be allowed without a showing of good cause.
(i) At any time before the hearing, the Administrative Director may file or permit the filing of an amended complaint or supplemental Order to Show Cause. All parties shall be notified thereof. If the amended complaint or supplemental Order to Show Cause presents new charges, the Administrative Director shall afford the respondent a reasonable opportunity to prepare its defense, and the respondent shall be entitled to file an amended answer. 
(j) At the Administrative Director's discretion, the Administrative Director may proceed with an informal pre-hearing conference with the respondent in an effort to resolve the contested matters. If any or all of the violations or proposed penalties in the Order to Show Cause, the amended Order or the supplemental Order remain contested, those contested matters shall proceed to an evidentiary hearing.
(k) Whenever the Administrative Director's Order to Show Cause has been contested, the Administrative Director may designate a hearing officer to preside over the hearing. The authority of the Administrative Director or the designated hearing officer shall include, but is not limited to: conducting a pre-hearing settlement conference; setting the date for an evidentiary hearing and any continuances; issuing subpoenas for the attendance of any person residing anywhere within the state as a witness or party at any pre-hearing conference and hearing; issuing subpoenas duces tecum for the production of documents and things at the hearing; presiding at the hearings; administering oaths or affirmations and certifying official acts; ruling on objections and motions; issuing pre-hearing orders; and preparing a Recommended Determination and Opinion based on the hearing.
(l) The Administrative Director or the designated hearing officer shall set the time and place for any pre-hearing conference on the contested matters in the Order to Show Cause, and shall give sixty (60) calendar days written notice to all parties. 
(m) The pre-hearing conference may address one or more of the following matters: 
(1) Exploration of settlement possibilities; 
(2) Preparation of stipulations;
(3) Clarification of issues; 
(4) Rulings on the identity of witnesses and limitation of the number of witnesses; 
(5) Objections to proffers of evidence; 
(6) Order of presentation of evidence and cross-examination;
(7) Rulings regarding issuance of subpoenas and protective orders;
(8) Schedules for the submission of written briefs and schedules for the commencement and conduct of the hearing;
(9) Any other matters as shall promote the orderly and prompt conduct of the hearing.
(n) The Administrative Director or the designated hearing officer shall issue a pre-hearing order incorporating the matters determined at the pre-hearing conference. The Administrative Director or the designated hearing officer may direct one or more of the parties to prepare the pre-hearing order. 
(o) Not less than thirty (30) calendar days prior to the date of the evidentiary hearing, the respondent shall file and serve the original and one copy of a written statement with the Administrative Director or the designated hearing officer specifying the legal and factual bases for its answer and each defense, listing all witnesses the respondent intends to call to testify at the hearing, and appending copies of all documents and other evidence the respondent intends to introduce into evidence at the hearing. A copy of the written statement and its attachments shall also concurrently be served on the investigating unit of the Division of Workers' Compensation. If the written statement and supporting evidence are not timely filed and served, the Administrative Director or the designated hearing officer shall dismiss the answer and issue a written Determination based on the evidence provided by the investigating unit of the Division of Workers' Compensation. Within ten (10) calendar days of the date for filing the written statement and supporting evidence, the respondent may file a written request for leave to file a written statement and supporting evidence. The Administrative Director or the designated hearing officer may grant the request, upon a showing of good cause. If leave is granted, the written statement and supporting evidence must be filed and served no later than ten (10) calendar days prior to the date of the hearing. 
(p) Oral testimony shall be taken only on oath or affirmation. 
(q)(1) Each party shall have these rights: to call and examine witnesses, to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him or her to testify; and to rebut the evidence. 
(2) In the absence of a contrary order by the Administrative Director or the designated hearing officer, the investigating unit of the Division of Workers' Compensation shall present evidence first. 
(3) The hearing need not be conducted according to the technical rules relating to evidence and witnesses, except as hereinafter provided. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make the admission of the evidence improper over objection in civil actions. 
(4) Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but upon timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. An objection is timely if made before submission of the case to the Administrative Director or to the designated hearing officer. 
(r) The written affidavit or declaration of any witness may be offered and shall be received into evidence provided that (i) the witness was listed in the written statement pursuant to section 9792.15(n); (ii) the statement is made by affidavit or by declaration under penalty of perjury; (iii) copies of the statement have been delivered to all opposing parties at least twenty (20) days prior to the hearing; and (iv) no opposing party has, at least ten (10) days before the hearing, delivered to the proponent of the evidence a written demand that the witness be produced in person to testify at the hearing. The Administrative Director or the designated hearing officer shall disregard any portion of the statement received pursuant to this regulation that would be inadmissible if the witness were testifying in person, but the inclusion of inadmissible matter does not render the entire statement inadmissible. Upon timely demand for production of a witness in lieu of admission of an affidavit or declaration, the proponent of that witness shall ensure the witness appears at the scheduled hearing and the proffered declaration or affidavit from that witness shall not be admitted. If the Administrative Director or the designated hearing officer determines that good cause exists that prevents the witness from appearing at the hearing, the declaration may be introduced in evidence, but it shall be given only the same effect as other hearsay evidence.
(s) The Administrative Director or the designated hearing officer shall issue a written Determination and Order Assessing Penalty, if any, including a statement of the basis for the Determination and each penalty assessed, within sixty (60) days of the date the case was submitted for decision, which shall be served on all parties. This requirement is directory and not jurisdictional. 
(t) The Administrative Director shall have sixty (60) calendar days to adopt or modify the Determination and Order Assessing Penalty issued by the Administrative Director or the designated hearing officer. In the event the recommended Determination and Order of the designated hearing officer is modified, the Administrative Director shall include a statement of the basis for the Determination and Order Assessing Penalty signed and served by the Administrative Director, or his or her designee. If the Administrative Director does not act within sixty (60) calendar days, then the recommended Determination and Order shall become the Determination and Order on the sixty-first calendar day.
(u) The Determination and Order Assessing Penalty shall be served on all parties personally or by registered or certified mail by the Administrative Director. 
(v) The Determination and Order Assessing Penalty, if any, shall become final on the day it is served, unless the aggrieved party files a timely Petition Appealing the Determination of the Administrative Director. All findings and assessments in the Determination and Order Assessing Penalty not contested in the Petition Appealing the Determination of the Administrative Director shall become final as though no petition were filed. 
(w) At any time prior to the date the Determination and Order Assessing Penalty becomes final, the Administrative Director or designated hearing officer may correct the Determination and Order Assessing Penalty for clerical, mathematical or procedural error(s).
(x) Penalties assessed in a Determination and Order Assessing Penalty shall be paid within thirty (30) calendar days of the date the Determination and Order became final. A timely filed Petition Appealing the Determination of the Administrative Director shall toll the period for paying the penalty assessed for the item appealed. 
(y) All appeals from any part or the entire Determination and Order Assessing Penalty shall be made in the form of a Petition Appealing the Determination of the Administrative Director, in conformance with the requirements of chapter 7, part 4 of Division 4 of the Labor Code. Any such Petition Appealing the Determination of the Administrative Director shall be filed at the Appeals Board in San Francisco (and not with any district office of the Workers' Compensation Appeals Board), in the same manner specified for petitions for reconsideration.
NOTE

Authority cited: Sections 133, 4610 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 4062, 4600, 4600.4, 4604.5, 4610, 4614 and 5300, Labor Code.
HISTORY

1. New section filed 6-7-2007; operative 6-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23).
Article 5.5.2. Medical Treatment Utilization Schedule
§9792.20. Medical Treatment Utilization Schedule--Definitions.
Note     •     History

As used in this Article:
(a) “American College of Occupational and Environmental Medicine (ACOEM)” is a medical society of physicians and other health care professionals specializing in the field of occupational and environmental medicine, dedicated to promoting the health of workers through preventive medicine, clinical care, research, and education. 
(b) “ACOEM Practice Guidelines” means the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines, 2nd Edition (2004). A copy may be obtained from the American College of Occupational and Environmental Medicine, 25 Northwest Point Blvd., Suite 700, Elk Grove Village, Illinois, 60007-1030 (www.acoem.org).
(c) “Chronic pain” means any pain that persists beyond the anticipated time of healing.
(d) “Claims administrator” is a self-administered workers' compensation insurer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, a third-party claims administrator, or the California Insurance Guarantee Association.
(e) “Evidence-based “ means based, at a minimum, on a systematic review of literature published in medical journals included in MEDLINE.
(f) “Functional improvement” means either a clinically significant improvement in activities of daily living or a reduction in work restrictions as measured during the history and physical exam, performed and documented as part of the evaluation and management visit billed under the Official Medical Fee Schedule (OMFS) pursuant to Sections 9789.10-9789.111; and a reduction in the dependency on continued medical treatment.
(g) “Medical treatment” is care which is reasonably required to cure or relieve the employee from the effects of the industrial injury consistent with the requirements of sections 9792.20-9792.26.
(h) “Medical treatment guidelines” means the most current version of written recommendations revised within the last five years which are systematically developed by a multidisciplinary process through a comprehensive literature search to assist in decision-making about the appropriate medical treatment for specific clinical circumstances.
(i) “MEDLINE” is the largest component of PubMed, the U.S. National Library of Medicine's database of biomedical citations and abstracts that is searchable on the Web. Its website address is www.pubmed.gov.
(j) “Nationally recognized” means published in a peer-reviewed medical journal; or developed, endorsed and disseminated by a national organization with affiliates based in two or more U.S. states; or currently adopted for use by one or more U.S. state governments or by the U.S. federal government; and is the most current version.
(k) “Peer reviewed” means that a medical study's content, methodology and results have been evaluated and approved prior to publication by an editorial board of qualified experts.
(l) “Scientifically based” means based on scientific literature, wherein the body of literature is identified through performance of a literature search in MEDLINE, the identified literature is evaluated, and then used as the basis for the guideline. 
(m) “Strength of Evidence” establishes the relative weight that shall be given to scientifically based evidence.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code.  Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New article 5.5.2 (sections 9792.20-9792.23) and section filed 6-15-2007; operative 6-15-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 24). 
2. Amendment of subsection (b), new subsection (c), subsection relettering and amendment of newly designated subsection (g) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
3. Editorial correction of operative date in History 2 (Register 2009, No. 30). 
§9792.21. Medical Treatment Utilization Schedule.
Note     •     History

(a) The Administrative Director adopts the Medical Treatment Utilization Schedule (MTUS) consisting of section 9792.20 through section 9792.26.
(b) The MTUS is intended to assist in the provision of medical treatment by offering an analytical framework for the evaluation and treatment of injured workers and to help those who make decisions regarding the medical treatment of injured workers understand what treatment has been proven effective in providing the best medical outcomes to those workers, in accordance with section 4600 of the Labor Code. 
(c) Treatment shall not be denied on the sole basis that the condition or injury is not addressed by the MTUS. In this situation, the claims administrator shall authorize treatment if such treatment is in accordance with other scientifically and evidence-based, peer-reviewed, medical treatment guidelines that are nationally recognized by the medical community, in accordance with subdivisions (b) and (c) of section 9792.25, and pursuant to the Utilization Review Standards found in section 9792.6 through section 9792.10.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code.  Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-15-2007; operative 6-15-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 24). 
2. Amendment of subsection (a), renumbering of former subsection (a)(1) to section 9792.22, subsection (a), renumbering of former subsections (a)(2)-(a)(2)(E) to new section 9792.24.1 and amendment of subsections (b) and (c) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
3. Editorial correction of operative date in History 2 (Register 2009, No. 30). 
§9792.22. General Approaches.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference into the MTUS specific guidelines set forth below from the American College of Occupational and Environmental Medicine's Occupational Medicine Practice Guidelines (ACOEM Practice Guidelines) for the following chapters. A copy may be obtained from the American College of Occupational and Environmental Medicine, 25 Northwest Point Blvd., Suite 700, Elk Grove Village, Illinois, 60007-1030 (www.acoem.org).
(1) Prevention (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 1).
(2) General Approach to Initial Assessment and Documentation (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 2).
(3) Initial Approaches to Treatment (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 3).
(4) Cornerstones of Disability Prevention and Management (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 5).
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code.  Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-15-2007; operative 6-15-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 24). 
2. Amendment of section heading, renumbering of former section 9792.22 to section 9792.25, renumbering and amendment of former section 9792.21, subsection (a)(1) to section 9792.22, subsection (a) and new subsections (a)(1)-(4) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
3. Editorial correction of operative date in History 2 (Register 2009, No. 30). 
§9792.23. Clinical Topics.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference into the MTUS specific clinical topic medical treatment guidelines in the series of sections commencing with 9792.23.1 et seq. Clinical topics apply to the initial management and subsequent treatment of presenting complaints specific to the body part. 
(b) For all conditions or injuries not addressed in the MTUS, the authorized treatment and diagnostic services in the initial management and subsequent treatment for presenting complaints shall be in accordance with other scientifically and evidence-based medical treatment guidelines that are nationally recognized by the medical community pursuant to section 9792.25(b). 
(1) In providing treatment using other guidelines pursuant to subdivision (b) above and in the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply and supersede any applicable chronic pain guideline in accordance with section 9792.23(b). 
(2) In providing treatment using other guidelines pursuant to subdivision (b) above and if surgery is performed, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS or in accordance with section 9792.23(b). The postsurgical treatment guidelines supersede any applicable postsurgical treatment guideline in accordance with section 9792.23(b). 
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code.  Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-15-2007; operative 6-15-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 24). 
2. Renumbering of former section 9792.23 to section 9792.26 and new section 9792.23 filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
3. Editorial correction of operative date in History 2 (Register 2009, No. 30). 
§9792.23.1. Neck and Upper Back Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Neck and Upper Back Complaints Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 8) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for neck and upper back complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of algorithm 8-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(d) If surgery is performed in the course of treatment for neck and upper back complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.2. Shoulder Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Shoulder Complaints Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 9) into the MTUS from the ACOEM Practice Guidelines.
(b) If recovery has not taken place with respect to pain by the end of algorithm 9-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(c) If surgery is performed in the course of treatment for shoulder complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.3. Elbow Disorders.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Elbow Disorders Chapter (ACOEM Practice Guidelines, 2nd Edition (Revised 2007), Chapter 10) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for elbow complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of the Elbow Algorithm 10-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to chronic pain.
(d) If surgery is performed in the course of treatment for elbow complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.4.  Forearm, Wrist, and Hand Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Forearm, Wrist, and Hand Complaints Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 11) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for forearm, wrist, and hand complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of algorithm 11-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(d) If surgery is performed in the course of treatment for forearm, wrist, and hand complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.5.  Low Back Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Low Back Complaints (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 12) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for low back complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of algorithm 12-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(d) If surgery is performed in the course of treatment for low back complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.6.  Knee Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Knee Complaints Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 13) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for knee complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of algorithm 13-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(d) If surgery is performed in the course of treatment for knee complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.7.  Ankle and Foot Complaints.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Ankle and Foot Complaints Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 14) into the MTUS from the ACOEM Practice Guidelines.
(b) In the course of treatment for ankle and foot complaints where acupuncture or acupuncture with electrical stimulation is being considered, the acupuncture medical treatment guidelines in section 9792.24.1 shall apply and supersede the text in the ACOEM chapter referenced in subdivision (a) above relating to acupuncture.
(c) If recovery has not taken place with respect to pain by the end of algorithm 14-5, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
(d) If surgery is performed in the course of treatment for ankle and foot complaints, the postsurgical treatment guidelines in section 9792.24.3 for postsurgical physical medicine shall apply together with any other applicable treatment guidelines found in the MTUS. In the absence of any cure for the patient who continues to have pain that persists beyond the anticipated time of healing, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.8.  Stress Related Conditions.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Stress Related Conditions Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 15) into the MTUS from the ACOEM Practice Guidelines.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.23.9.  Eye.
Note     •     History

(a) The Administrative Director adopts and incorporates by reference the Eye Chapter (ACOEM Practice Guidelines, 2nd Edition (2004), Chapter 16) into the MTUS from the ACOEM Practice Guidelines.
(b) If recovery has not taken place with respect to pain by the end of algorithm 16-6, the chronic pain medical treatment guidelines in section 9792.24.2 shall apply.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.24. Special Topics.
Note     •     History

(a) Special topics refer to clinical topic areas where the Administrative Director has determined that the clinical topic sections of the MTUS require further supplementation. 
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.24.1. Acupuncture Medical Treatment Guidelines.
Note     •     History

(a) As used in this section, the following definitions apply:
(1) “Acupuncture” is used as an option when pain medication is reduced or not tolerated, it may be used as an adjunct to physical rehabilitation and/or surgical intervention to hasten functional recovery. It is the insertion and removal of filiform needles to stimulate acupoints (acupuncture points). Needles may be inserted, manipulated, and retained for a period of time. Acupuncture can be used to reduce pain, reduce inflammation, increase blood flow, increase range of motion, decrease the side effect of medication-induced nausea, promote relaxation in an anxious patient, and reduce muscle spasm.
(2) “Acupuncture with electrical stimulation” is the use of electrical current (micro-amperage or milli-amperage) on the needles at the acupuncture site. It is used to increase effectiveness of the needles by continuous stimulation of the acupoint. Physiological effects (depending on location and settings) can include endorphin release for pain relief, reduction of inflammation, increased blood circulation, analgesia through interruption of pain stimulus, and muscle relaxation. It is indicated to treat chronic pain conditions, radiating pain along a nerve pathway, muscle spasm, inflammation, scar tissue pain, and pain located in multiple sites.
(3) “Chronic pain for purposes of acupuncture” means chronic pain as defined in section 9792.20(c). 
(b) Application
(1) These guidelines apply to acupuncture or acupuncture with electrical stimulation when referenced in the clinical topic medical treatment guidelines in the series of sections commencing with 9792.23.1 et seq., or in the chronic pain medical treatment guidelines contained in section 9792.24.2. 
(c) Frequency and duration of acupuncture or acupuncture with electrical stimulation may be performed as follows:
(1) Time to produce functional improvement: 3 to 6 treatments.
(2) Frequency: 1 to 3 times per week
(3) Optimum duration: 1 to 2 months
(d) Acupuncture treatments may be extended if functional improvement is documented as defined in Section 9792.20(f). 
(e) It is beyond the scope of the Acupuncture Medical Treatment Guidelines to state the precautions, limitations, contraindications or adverse events resulting from acupuncture or acupuncture with electrical stimulations. These decisions are left up to the acupuncturist.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. Renumbering and amendment of former section 9792.21, subsections (a)(2)-(a)(2)(E) to new section 9792.24.1 filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.24.2. Chronic Pain Medical Treatment Guidelines.
Note     •     History

(a) The Chronic Pain Medical Treatment Guidelines (May, 2009), consisting of two parts, are adopted and incorporated by reference into the MTUS. Part 1 is entitled Introduction. Part 2 is entitled Pain Interventions and Treatments. These guidelines replace Chapter 6 of the ACOEM Practice Guidelines, 2nd Edition (2004). Where the clinical topic sections of the MTUS in the series of sections commencing with 9792.23.1 et seq., make reference to Chapter 6 or when there is a reference to the “pain chapter,” or “pain assessment,” the chronic pain medical treatment guidelines will apply instead of Chapter 6. A copy of the chronic pain medical treatment guidelines may be obtained from the Medical Unit, Division of Workers' Compensation, P.O. Box 71010, Oakland, CA 94612-1486, or from the DWC web site at http://www.dwc.ca.gov. 
(b) The chronic pain medical treatment guidelines apply when the patient has chronic pain as determined by following the clinical topics.
(c) When a patient is diagnosed with chronic pain and the treatment for the condition is covered in the clinical topics sections but is not addressed in the chronic pain medical treatment guidelines, the clinical topics section applies to that treatment.
(d) When the treatment is addressed in both the chronic pain medical treatment guidelines and the specific guideline found in the clinical topics section of the MTUS, the chronic pain medical treatment guideline shall apply. 
(e) Appendix D--Chronic Pain Medical Treatment Guidelines-Division of Workers' Compensation and Official Disability Guidelines References (May, 2009)--is incorporated by reference into the MTUS as supplemental part of the Chronic Pain Medical Treatment Guidelines. A copy of Appendix D may be obtained from the Medical Unit, Division of Workers' Compensation, P.O. Box 71010, Oakland, CA 94612-1486, or from the DWC web site at http://www.dwc.ca.gov.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.24.3. Postsurgical Treatment Guidelines.
Note     •     History

(a) As used in this section, the following definitions apply:
(1) “General course of therapy” means the number of visits and/or time interval which shall be indicated for postsurgical treatment for the specific surgery in the postsurgical physical medicine treatment recommendations set forth in subdivision (d)(1) of this section.
(2) “Initial course of therapy” means one half of the number of visits specified in the general course of therapy for the specific surgery in the postsurgical physical medicine treatment recommendations set forth in subdivision (d)(1) of this section.
(3) “Postsurgical physical medicine period” means the time frame that is needed for postsurgical treatment and rehabilitation services beginning with the date of the procedure and ending at the time specified for the specific surgery in the postsurgical physical medicine treatment recommendations set forth in subdivision (d)(1) of this section. For all surgeries not covered by these guidelines the postsurgical physical medicine period is six (6) months.
(4) “Surgery” means a procedure listed in the surgery chapter of the Official Medical Fee Schedule with follow-up days of 90 days.
(5) “Visit” means a date of service to provide postsurgical treatment billed using the physical medicine section of the Official Medical Fee Schedule.
(b) Application
(1) The postsurgical treatment guidelines apply to visits during the postsurgical physical medicine period only and to surgeries as defined in these guidelines. At the conclusion of the postsurgical physical medicine period, treatment reverts back to the applicable 24-visit limitation for chiropractic, occupational and physical therapy pursuant to Labor Code section 4604.5(d)(1).
(c) Postsurgical Patient Management
(1) Only the surgeon who performed the operation, a nurse practitioner or physician assistant working with the surgeon, or a physician designated by that surgeon can make a determination of medical necessity and prescribe postsurgical treatment under this guideline. 
(2) The medical necessity for postsurgical physical medicine treatment for any given patient is dependent on, but not limited to, such factors as the comorbid medical conditions; prior pathology and/or surgery involving same body part; nature, number and complexities of surgical procedure(s) undertaken; presence of surgical complications; and the patient's essential work functions.
(3) If postsurgical physical medicine is medically necessary, an initial course of therapy may be prescribed. With documentation of functional improvement, a subsequent course of therapy shall be prescribed within the parameters of the general course of therapy applicable to the specific surgery. If it is determined that additional functional improvement can be accomplished after completion of the general course of therapy, physical medicine treatment may be continued up to the end of the postsurgical physical medicine period.
(4) Patients shall be reevaluated following continuation of therapy when necessary or no later than every forty-five days from the last evaluation to document functional improvement to continue physical medicine treatment. Frequency of visits shall be gradually reduced or discontinued as the patient gains independence in management of symptoms and with achievement of functional goals. 
(A) In the event the patient sustains an exacerbation related to the procedure performed after treatment has been discontinued and it is determined that more visits are medically necessary, physical medicine treatment shall be provided within the postsurgical physical medicine period.
(B) In cases where no functional improvement is demonstrated, postsurgical treatment shall be discontinued at any time during the postsurgical physical medicine period. 
(5) Treatment is provided to patients to facilitate postsurgical functional improvement. 
(A) The surgeon who performed the operation, a nurse practitioner or physician assistant working with the surgeon, or physician designated by that surgeon, the therapist, and the patient should establish functional goals achievable within a specified timeframe. 
(B) Patient education regarding postsurgical precautions, home exercises, and self-management of symptoms should be ongoing components of treatment starting with the first visit. Intervention should include a home exercise program to supplement therapy visits. 
(C) Modalities (CPT [as defined in section 9789.10(d)] codes 97010 through 97039) should only be performed in conjunction with other active treatments. Although these modalities are occasionally useful in the post surgical physical medicine period, their use should be minimized in favor of active physical rehabilitation and independent self-management.
(d) Postsurgical Physical Medicine Treatment Recommendations
(1) The postsurgical physical medicine treatment recommendations, as listed below, indicate frequency and duration of postsurgical treatment for specific surgeries. The specified surgeries in these guidelines are not all inclusive. Requests for postsurgical physical medicine treatment not included in these guidelines shall be considered pursuant to section 9792.21(c). The physical medicine treatment recommendations (listed alphabetically) are adapted from the Official Disability Guidelines (ODG) except where developed by the Division of Workers' Compensation and indicated as “[DWC].” The postsurgical physical medicine period is identified by an asterisk [*] as developed by DWC.

Postsurgical Treatment Guidelines

Ankle & Foot 
Exercise program goals should include strength, flexibility, endurance, coordination, and education. Patients can be advised to do early passive range-of-motion exercises at home by a therapist. (Colorado, 2001) (Aldridge, 2004) This RCT (randomized controlled trial) supports early motion (progressing to full weight-bearing at 8 weeks from treatment) as an acceptable form of rehabilitation in surgically treated patients with Achilles tendon ruptures. (Twaddle, 2007)
Achilles tendon rupture (ICD9 727.67):

	Postsurgical treatment: 48 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Ankle Sprain (ICD9 845.0):

	Postsurgical treatment: 34 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Anterior tibial tendon [DWC]:

	Postsurgical treatment: 8 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Amputation of foot (ICD9 896):

	Post-replantation surgery: 48 visits over 26 weeks
	*Postsurgical physical medicine treatment period: 12 months

	Post-amputation treatment [DWC]: 48 visits over 26 weeks 
	*Postsurgical physical medicine treatment period: 12 months
Amputation of toe (ICD9 895):

	Post-replantation surgery: 20 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Dislocation of the peroneal tendons [DWC]:

	Postsurgical treatment: 8 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Enthesopathy of ankle and tarsus (ICD9 726.7):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of ankle (ICD9 824):

	Postsurgical treatment: 21 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of ankle, Bimalleolar (ICD9 824.4):

	Postsurgical treatment (ORIF): 21 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Postsurgical treatment (arthrodesis): 21 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of ankle, Trimalleolar (ICD9 824.6):

	Postsurgical treatment: 21 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of one or more phalanges of foot (ICD9 826):

	Postsurgical treatment: 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Special Consideration [DWC]: Postsurgical physical medicine is rarely needed for ganglionectomy.
Fracture of tibia and fibula (ICD9 823):

	Postsurgical treatment (ORIF): 30 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Hallux rigidus (ICD9 735.2):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Hallux valgus (ICD9 735.0):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Hallux varus (ICD9 735.1):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Metatarsal stress fracture (ICD9 825):

	Postsurgical treatment: 21 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Other hammer toe (ICD9 735.4):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Peroneal tendon repair [DWC]:

	Postsurgical treatment: 8 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Posterior tibial tendonitis [DWC]:

	Postsurgical treatment: 8 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Posterior tibial tenosynovitis (partial or complete rupture) [DWC]:

	Postsurgical treatment: 8 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months

Burns 
Recommended. Occupational therapy and physical therapy for the patient with burns may include respiratory management, edema management, splinting and positioning, physical function (mobility, function, exercise), scar management, and psychosocial elements. (Simons, 2003) As with any treatment, if there is no improvement after 2-3 weeks the protocol may be modified or re-evaluated.
Burns (ICD9 949):

	Postsurgical treatment: 16 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 6 months

Cardiopulmonary [DWC]:
Coronary Stenting [DWC]:

	Postsurgical treatment: 36 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months
Heart Valve repair/replacement [DWC]:

	Postsurgical treatment: 36 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months
Percutaneous transluminal coronary angioplasty (PTCA) [DWC]:

	Postsurgical treatment: 36 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months

Carpal Tunnel Syndrome
Recommended as indicated below. There is limited evidence demonstrating the effectiveness of PT (physical therapy) or OT (occupational therapy) for CTS (carpal tunnel syndrome). The evidence may justify 3 to 5 visits over 4 weeks after surgery, up to the maximums shown below. Benefits need to be documented after the first week, and prolonged therapy visits are not supported. Carpal tunnel syndrome should not result in extended time off work while undergoing multiple therapy visits, when other options (including surgery for carefully selected patients) could result in faster return to work. Furthermore, carpal tunnel release surgery is a relatively simple operation that also should not require extended multiple therapy office visits for recovery. Of course, these statements do not apply to cases of failed surgery and/or misdiagnosis (e.g., CRPS (complex regional pain syndrome) I instead of CTS). (Feuerstein, 1999) (O'Conner-Cochrane, 2003) (Verhagen-Cochrane, 2004) (APTA, 2006) (Bilic, 2006) Post surgery, a home therapy program is superior to extended splinting. (Cook, 1995) Continued visits should be contingent on documentation of objective improvement, i.e., VAS (visual analog scale) improvement greater than four, and long-term resolution of symptoms. Therapy should include education in a home program, work discussion and suggestions for modifications, lifestyle changes, and setting realistic expectations. Passive modalities, such as heat, iontophoresis, phonophoresis, ultrasound and electrical stimulation, should be minimized in favor of active treatments. 
Carpal tunnel syndrome (ICD9 354.0):

	Postsurgical treatment (endoscopic): 3-8 visits over 3-5 weeks
	*Postsurgical physical medicine treatment period: 3 months

	Postsurgical treatment (open): 3-8 visits over 3-5 weeks
	*Postsurgical physical medicine treatment period: 3 months

Elbow & Upper Arm
Arthropathy, unspecified (ICD9 716.9):

	Postsurgical treatment, arthroplasty, elbow: 24 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Cubital tunnel release [DWC]:

	Postsurgical treatment: 20 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Dislocation of elbow (ICD9 832):

	Unstable dislocation, postsurgical treatment: 10 visits over 9 weeks
	*Postsurgical physical medicine treatment period: 4 months
ECRB/ ECRL debridement [DWC]:

	Postsurgical treatment: 10 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
ECRB/ ECCRL tenotomy [DWC]:

	Postsurgical treatment: 10 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Elbow diagnostic arthroscopy and arthroscopic debridement [DWC]:

	Postsurgical treatment: 20 visits over 2 months
	*Postsurgical physical medicine treatment period: 4 months
Elbow collateral ligament repair [DWC]:

	Postsurgical treatment: 14 visits over 6 months
	*Postsurgical physical medicine treatment period: 8 months
Enthesopathy of elbow region (ICD9 726.3):

	Postsurgical treatment: 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of humerus (ICD9 812):

	Postsurgical treatment: 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of radius/ulna (ICD9 813):

	Postsurgical treatment: 16 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Lateral epicondylitis/Tennis elbow (ICD9 726.32):

	Postsurgical treatment: 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Medial epicondylitis/Golfers' elbow (ICD9 726.31):

	Postsurgical treatment: 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Muscle or tendon transfers for elbow flexion [DWC]:

	Postsurgical treatment: 30 visits over 5 months
	*Postsurgical physical medicine treatment period: 8 months
Rupture of biceps tendon (ICD9 727.62):

	Postsurgical treatment: 24 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Sprains and strains of elbow and forearm (ICD9 841):

	Postsurgical treatment/ligament repair: 24 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Traumatic amputation of arm (ICD9 887):

	Post-amputation treatment: without complications, no prosthesis [DWC]:
	18 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months

	Post-amputation treatment: without complications, with prosthesis [DWC]:
	30 visits over 6 months
	*Postsurgical physical medicine treatment period: 9 months

	Post-amputation treatment: with complications, no prosthesis [DWC]:
	30 visits over 5 months
	*Postsurgical physical medicine treatment period: 7 months

	Post-amputation treatment: with complications and prosthesis [DWC]:
	40 visits over 8 months
	*Postsurgical physical medicine treatment period: 12 months

	Post-replantation surgery: 48 visits over 26 weeks
	*Postsurgical physical medicine treatment period: 12 months
Triceps repair [DWC]:

	Postsurgical treatment: 24 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Ulnar nerve entrapment/Cubital tunnel syndrome (ICD9 354.2):

	Postsurgical treatment: 20 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 6 months

Forearm, Wrist, & Hand 
(Not including Carpal Tunnel Syndrome -- see separate post surgical guideline.)
Used after surgery and amputation. During immobilization, there was weak evidence of improved hand function in the short term, but not in the longer term, for early occupational therapy, and of a lack of differences in outcome between supervised and unsupervised exercises. Post-immobilization, there was weak evidence of a lack of clinically significant differences in outcome in patients receiving formal rehabilitation therapy, passive mobilization or whirlpool immersion compared with no intervention. There was weak evidence of a short-term benefit of continuous passive motion (post external fixation), intermittent pneumatic compression and ultrasound. There was weak evidence of better short-term hand function in patients given therapy than in those given instructions for home exercises by a surgeon. (Handoll-Cochrane, 2002) (Handoll-Cochrane, 2006)
Amputation of arm, below the elbow [DWC]:

	Post-amputation treatment: without complications, no prosthesis: 18 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months

	Post-amputation: without complications, with prosthesis: 30 visits over 6 months
	*Postsurgical physical medicine treatment period: 9 months

	Post-amputation: with complications, no prosthesis: 30 visits over 5 months
	*Postsurgical physical medicine treatment period: 7 months

	Post-amputation: with complications and prosthesis: 40 visits over 8 months
	*Postsurgical physical medicine treatment period: 12 months
Amputation of hand (ICD9 887):

	Post-amputation treatment: without complications, no prosthesis [DWC]: 18 visits over 4 months 
	*Postsurgical physical medicine treatment period: 6 months

	Post-amputation treatment: with complications, no prosthesis [DWC]: 24 visits over 5 months 
	*Postsurgical physical medicine treatment period: 7 months

	Post-replantation surgery: 48 visits over 26 weeks
	*Postsurgical physical medicine treatment period: 12 months 
Amputation of thumb; finger (ICD9 885; 886):

	Post-replantation surgery: 36 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Post-amputation: Amputation of fingers without replantation [DWC]: 14 visits over 3 months 
	*Postsurgical physical medicine treatment period: 6 months

	Post-amputation: Amputation of thumb without replantation [DWC]: 16 visits over 3 months 
	*Postsurgical physical medicine treatment period: 6 months
Arthropathy, unspecified (ICD9 716.9):

	Postsurgical treatment, arthroplasty/fusion, wrist/finger: 24 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Contracture of palmar fascia (Dupuytren's) (ICD9 728.6):

	Postsurgical treatment: 12 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Digital nerve repair [DWC]:

	Postsurgical treatment: 8 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
DIP joint intraarticular fracture at middle or distal phalanx [DWC]:

	Postsurgical treatment: 14 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Dislocation of finger (ICD9 834):

	Postsurgical treatment: 16 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Dislocation of wrist (ICD9 833):

	Postsurgical treatment (TFCC reconstruction): 16 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Extensor tendon repair or tenolysis [DWC]:

	Postsurgical treatment: 18 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Extensor tenosynovectomy [DWC]:

	Postsurgical treatment: 14 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Flexor tendon repair or tenolysis Zone 2 and other than Zone 2 [DWC]:

	Postsurgical treatment: Flexor tendon repair or tenolysis Zone 2: 30 visits over 6 months
	*Postsurgical physical medicine treatment period: 8 months

	Postsurgical treatment: Other than Zone 2: 20 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Flexor tenosynovectomy [DWC]:

	Postsurgical treatment: 14 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Flexor tendon repair (forearm) [DWC]:

	Postsurgical treatment: 12 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Fracture of carpal bone (wrist) (ICD9 814):

	Postsurgical treatment: 16 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of metacarpal bone (hand) (ICD9 815):

	Postsurgical treatment: 16 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of one or more phalanges of hand (fingers) (ICD9 816):

	Postsurgical treatment: Complicated, 16 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of radius/ulna (forearm) (ICD9 813):

	Postsurgical treatment: 16 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Ganglion and cyst of synovium, tendon, and bursa (ICD9 727.4):

	Postsurgical treatment: 18 visits over 6 weeks
	*Special Consideration: Postsurgical physical medicine is rarely needed for ganglionectomy.
Intersection syndrome [DWC]:

	Postsurgical treatment: 9 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Median Nerve Repair: Forearm -- Wrist [DWC]:

	Postsurgical treatment: 20 visits over 6 weeks 
	*Postsurgical physical medicine treatment period: 6 months
PIP and MCP capsulotomy/capsulectomy [DWC]:

	Postsurgical treatment: 24 visits over 2 months
	*Postsurgical physical medicine treatment period: 4 months
PIP and MCP collateral ligament reconstruction [DWC]:

	Postsurgical treatment: 18 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
PIP and MCP collateral ligament repairs [DWC]:

	Postsurgical treatment: 12 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
PIP joint intraarticular fracture and or dislocation at proximal or middle phalanx [DWC]:

	Postsurgical treatment: Postsurgical treatment: 20 visits over 6 months
	*Postsurgical physical medicine treatment period: 8 months
Proximal row carpectomy [DWC]:

	Postsurgical treatment:20 visits over 6 months
	*Postsurgical physical medicine treatment period: 8 months
Nerve Repair: Elbow -- Wrist [DWC]

	Postsurgical treatment: 20 visits over 6 weeks 
	*Postsurgical physical medicine treatment period: 8 months
Radial styloid tenosynovitis (de Quervain's) (ICD9 727.04):

	Postsurgical treatment: 14 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Sprains and strains of elbow and forearm (ICD9 841):

	Post-surgical treatment/ligament repair: 24 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Synovitis and tenosynovitis (ICD9 727.0):

	Postsurgical treatment: 14 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Tendon transfer forearm, wrist or hand [DWC]:

	Postsurgical treatment: 14 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Tendon transfers -- thumb or finger [DWC]:

	Postsurgical treatment: 26 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
TFCC injuries-debridement (arthroscopic) [DWC]:

	Postsurgical treatment:10 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Trigger finger (ICD9 727.03):

	Postsurgical treatment: 9 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Ulnar nerve entrapment/Cubital tunnel syndrome (ICD9 354.2):

	Postsurgical treatment: 20 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 6 months
Wrist -- intercarpal ligament reconstruction or repair [DWC]:

	Postsurgical treatment 20 visits over 6 months
	*Postsurgical physical medicine treatment period: 8 months

Head
Patient rehabilitation after traumatic brain injury is divided into two periods: acute and subacute. In the beginning of rehabilitation therapist evaluates patient's functional status, later he uses methods and means of treatment, and evaluates effectiveness of rehabilitation. Early ambulation is very important for patients with coma. Therapy consists of prevention of complications, improvement of muscle force, and range of motions, balance, movement coordination, endurance and cognitive functions. Early rehabilitation is necessary for traumatic brain injury patients and use of therapy methods can help to regain lost functions and to come back to the society. (Colorado, 2005) (Brown, 2005) (Franckeviciute, 2005) (Driver, 2004) (Shiel, 2001)
Fracture of skull (ICD9 801):

	Postsurgical treatment: 34 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months

Hernia 
Not recommended. No evidence of successful outcomes compared to surgery.

Hip, Pelvis and Thigh (femur)
A therapy program that starts immediately following hip surgery allows for greater improvement in muscle strength, walking speed and functional score. (Jan, 2004) (Jain, 2002) (Penrod, 2004) (Tsauo, 2005) (Brigham, 2003) (White, 2005) (National, 2003) A weight-bearing exercise program can improve balance and functional ability to a greater extent than a non-weight-bearing program. (Expert, 2004) (Binder, 2004) (Bolgla, 2005) (Handoll, 2004) (Kuisma, 2002) (Lauridsen, 2002) (Mangione, 2005) (Sherrington, 2004) Patients with hip fracture should be offered a coordinated multidisciplinary rehabilitation program with the specific aim of regaining sufficient function to return to their pre-fracture living arrangements. (Cameron, 2005) Accelerated perioperative care and rehabilitation intervention after hip and knee arthroplasty (including intense therapy and exercise) reduced mean hospital length of stay (LOS) from 8.8 days before implementation to 4.3 days after implementation. (Larsen, 2008)
Arthrodesis [DWC]:

	Postsurgical treatment: 22 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months
Arthropathy, unspecified (ICD9 716.9):

	Postsurgical treatment, arthroplasty/fusion, hip: 24 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of neck of femur (ICD9 820):

	Postsurgical treatment: 24 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of pelvis (ICD9 808):

	Postsurgical treatment: 24 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Osteoarthrosis and allied disorders (ICD9 715):

	Post-surgical treatment: 18 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Synovectomy [DWC]:

	Postsurgical treatment: 14 visits over 3 months
	*Postsurgical physical medicine treatment period: 6 months

Knee 
Controversy exists about the effectiveness of therapy after arthroscopic partial meniscectomy. (Goodwin, 2003) Functional exercises after hospital discharge for total knee arthroplasty result in a small to moderate short-term, but not long-term, benefit. In the short term therapy interventions with exercises based on functional activities may be more effective after total knee arthroplasty than traditional exercise programs, which concentrate on isometric muscle exercises and exercises to increase range of motion in the joint. (Minns Lowe, 2007) Accelerated perioperative care and rehabilitation intervention after hip and knee arthroplasty (including intense therapy and exercise) reduced mean hospital length of stay (LOS) from 8.8 days before implementation to 4.3 days after implementation. (Larsen, 2008) 
Amputation of leg (ICD9 897):

	Post-replantation surgery: 48 visits over 26 weeks
	*Postsurgical physical medicine treatment period: 12 months
	Post-amputation [DWC]: 48 visits over 6 months 
	*Postsurgical physical medicine treatment period: 8 months
Arthritis (Arthropathy, unspecified) (ICD9 716.9):

	Postsurgical treatment, arthroplasty, knee: 24 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 4 months
Dislocation of knee; Tear of medial/lateral cartilage/meniscus of knee; Dislocation of patella (ICD9 836; 836.0; 836.1; 836.2; 836.3; 836.5):

	Postsurgical treatment: (Meniscectomy): 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of neck of femur (ICD9 820):

	Postsurgical treatment: 18 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of other and unspecified parts of femur (ICD9 821):

	Postsurgical treatment: 30 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of patella (ICD9 822):

	Postsurgical treatment: 10 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 4 months
Fracture of tibia and fibula (ICD9 823):

	Postsurgical treatment (ORIF): 30 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 6 months
Manipulation under Anesthesia (knee) [DWC]:

	Postsurgical treatment: 20 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Old bucket handle tear; Derangement of meniscus; Loose body in knee; Chondromalacia of patella; Tibialis tendonitis (ICD9 717.0; 717.5; 717.6; 717.7; 726.72):

	Postsurgical treatment: 12 visits over 12 weeks
	*Postsurgical physical medicine treatment period: 4 months
Sprains and strains of knee and leg; Cruciate ligament of knee (ACL tear) (ICD9 844; 844.2):

	Postsurgical treatment: (ACL repair): 24 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months

Low Back 
As compared with no therapy, therapy (up to 20 sessions over 12 weeks) following disc herniation surgery was effective. Because of the limited benefits of therapy relative to massage, it is open to question whether this treatment acts primarily physiologically, but psychological factors may contribute substantially to the benefits observed. (Erdogmus, 2007) 
Artificial Disc [DWC]:

	Postsurgical treatment: 18 visits over 4 months
	*Postsurgical physical medicine treatment period: 6 months
Fracture of vertebral column with spinal cord injury (ICD9 806):

	Postsurgical treatment: 48 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of vertebral column without spinal cord injury (ICD9 805):

	Postsurgical treatment: 34 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Intervertebral disc disorder with myelopathy (ICD9 722.7):

	Postsurgical treatment: 48 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months
Intervertebral disc disorders without myelopathy (ICD9 722.1; 722.2; 722.5; 722.6; 722.8):

	Postsurgical treatment (discectomy/laminectomy): 16 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Postsurgical treatment (arthroplasty): 26 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Postsurgical treatment (fusion): 34 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Spinal stenosis (ICD9 724.0):

	See 722.1 for postsurgical visits
	*Postsurgical physical medicine treatment period: 6 months

Neck & Upper Back
Displacement of cervical intervertebral disc (ICD9 722.0):

	Postsurgical treatment (discectomy/laminectomy): 16 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Postsurgical treatment (fusion, after graft maturity): 24 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Degeneration of cervical intervertebral disc (ICD9 722.4):

	See 722.0 for postsurgical visits
	*Postsurgical physical medicine treatment period: 6 months
Fracture of vertebral column without spinal cord injury (ICD9 805):

	Postsurgical treatment: 34 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of vertebral column with spinal cord injury (ICD9 806):

	Postsurgical treatment: 48 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months

Shoulder 
Acromioclavicular joint dislocation (ICD9 831.04):

	AC separation, type III+: 8 visits over 8 weeks
	*Postsurgical physical medicine treatment period: 6 months
Adhesive capsulitis (ICD9 726.0):

	Postsurgical treatment: 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months
Arthritis (Osteoarthrosis; Rheumatoid arthritis; Arthropathy, unspecified) (ICD9 714.0; 715; 715.9; 716.9):

	Postsurgical treatment, arthroplasty, shoulder: 24 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 6 months
Brachial plexus lesions (Thoracic outlet syndrome) (ICD9 353.0):

	Postsurgical treatment: 20 visits over 10 weeks
	*Postsurgical physical medicine treatment period: 6 months
Complete rupture of rotator cuff (ICD9 727.61; 727.6):

	Postsurgical treatment: 40 visits over 16 weeks
	*Postsurgical physical medicine treatment period: 6 months
Dislocation of shoulder (ICD9 831):

	Postsurgical treatment (Bankart): 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months
Fracture of humerus (ICD9 812):

	Postsurgical treatment: 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months
Rotator cuff syndrome/Impingement syndrome (ICD9 726.1; 726.12): 

	Postsurgical treatment, arthroscopic: 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months

	Postsurgical treatment, open: 30 visits over 18 weeks
	*Postsurgical physical medicine treatment period: 6 months
Sprained shoulder; rotator cuff (ICD9 840; 840.4):

	Postsurgical treatment (RC repair/acromioplasty): 24 visits over 14 weeks
	*Postsurgical physical medicine treatment period: 6 months
(2) Appendix C--Postsurgical Treatment Guidelines Evidence-Based Reviews (May, 2009)--is incorporated by reference into the MTUS as supplemental part of the Postsurgical Treatment Guidelines. A copy of Appendix C may be obtained from the Medical Unit, Division of Workers' Compensation, P.O. Box 71010, Oakland, CA 94612-1486, or from the DWC web site at http://www.dwc.ca.gov.
(3) Appendix E--Postsurgical Treatment Guidelines Work Loss Data Institute-Official Disability Guidelines References (May, 2009)--is incorporated by reference into the MTUS as supplemental part of the Postsurgical Treatment Guidelines. A copy of Appendix E may be obtained from the Medical Unit, Division of Workers' Compensation, P.O. Box 71010, Oakland, CA 94612-1486, or from the DWC web site at http://www.dwc.ca.gov.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. New section filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.25. Presumption of Correctness, Burden of Proof and Strength of Evidence.
Note     •     History

(a) The MTUS is presumptively correct on the issue of extent and scope of medical treatment and diagnostic services addressed in the MTUS for the duration of the medical condition. The presumption is rebuttable and may be controverted by a preponderance of scientific medical evidence establishing that a variance from the schedule is reasonably required to cure or relieve the injured worker from the effects of his or her injury. The presumption created is one affecting the burden of proof. 
(b) For all conditions or injuries not addressed by the MTUS, authorized treatment and diagnostic services shall be in accordance with other scientifically and evidence-based medical treatment guidelines that are nationally recognized by the medical community.
(c)(1) For conditions or injuries not addressed by either subdivisions (a) or (b) above; for medical treatment and diagnostic services at variance with both subdivisions (a) and (b) above; or where a recommended medical treatment or diagnostic service covered under subdivision (b) is at variance with another treatment guideline also covered under subdivision (b), the following ACOEM's strength of evidence rating methodology is adopted and incorporated as set forth below, and shall be used to evaluate scientifically based evidence published in peer-reviewed, nationally recognized journals to recommend specific medical treatment or diagnostic services:
(A) Table A -- Criteria Used to Rate Randomized Controlled Trials
Studies shall be rated using the following 11 criteria. Each criterion shall be rated 0, 0.5, or 1.0, thus the overall ratings range from 0-11. A study is considered low quality if the composite rating was 3.5 or less, intermediate quality if rated 4-7.5, and high quality if rated 8-11.

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(B) Table B -- Strength of Evidence Ratings
Levels of evidence shall be used to rate the quality of the body of evidence. The body of evidence shall consist of all studies on a given topic that are used to develop evidence-based recommendations. Levels of evidence shall be applied when studies are relevant to the topic and study working populations. Study outcomes shall be consistent and study data shall be homogeneous.

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(2) Evidence shall be given the highest weight in the order of the strength of evidence.
NOTE

Authority: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code.  Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. Renumbering and amendment of former section 9792.22 to new section 9792.25 filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
§9792.26. Medical Evidence Evaluation Advisory Committee.
Note     •     History

(a)(1) The Medical Director shall create a medical evidence evaluation advisory committee to provide recommendations to the Medical Director on matters concerning the MTUS. The recommendations are advisory only and shall not constitute scientifically based evidence.
(A) If the Medical Director position becomes vacant, the Administrative Director shall appoint a competent person to temporarily assume the authority and duties of the Medical Director as set forth in this section, until such time that the Medical Director position is filled.
(2) The members of the medical evidence evaluation advisory committee shall be appointed by the Medical Director, or his or her designee, and shall consist of 17 members of the medical community holding the following licenses: Medical Doctor (M.D.) board certified by an American Board of Medical Specialties (ABMS) approved specialty board; Doctor of Osteopathy (D.O.) board certified by an ABMS or American Osteopathic Association (AOA) approved specialty board; M.D. board certified by a Medical Board of California (MBC) approved specialty board; Doctor of Chiropractic (D.C.); Physical Therapy (P.T.); Occupational Therapy (O.T.); Acupuncture (L.Ac.); Psychology (PhD.); or Doctor of Podiatric Medicine (DPM), and representing the following specialty fields:
(A) One member shall be from the orthopedic field;
(B) One member shall be from the chiropractic field;
(C) One member shall be from the occupational medicine field;
(D) One member shall be from the acupuncture medicine field;
(E) One member shall be from the physical therapy field;
(F) One member shall be from the psychology field;
(G) One member shall be from the pain specialty field;
(H) One member shall be from the occupational therapy field;
(I) One member shall be from the psychiatry field;
(J) One member shall be from the neurosurgery field;
(K) One member shall be from the family physician field;
(L) One member shall be from the neurology field;
(M) One member shall be from the internal medicine field;
(N) One member shall be from the physical medicine and rehabilitation field;
(O) One member shall be from the podiatrist field;
(P) Two additional members shall be appointed at the discretion of the Medical Director or his or her designee.
(3) In addition to the seventeen members of the medical evidence evaluation advisory committee appointed under subdivision (a)(2) above, the Medical Director, or his or her designee, may appoint an additional three members to the medical evidence evaluation advisory committee as subject matter experts for any given topic.
(b) The Medical Director, or his or her designee, shall serve as the chairperson of the medical evidence evaluation advisory committee.
(c) To evaluate evidence when making recommendations to revise, update or supplement the MTUS, the members of the medical evidence evaluation advisory committee shall:
(1) Apply the requirements of subdivision (b) of section 9792.25 in reviewing medical treatment guidelines to insure that the guidelines are scientifically and evidence-based, and nationally recognized by the medical community;
(2) Apply the ACOEM's strength of evidence rating methodology to the scientific evidence as set forth in subdivision (c) of section 9792.25 after identifying areas in the guidelines which do not meet the requirements set forth in subdivision (b) of section 9792.25;
(3) Apply in reviewing the scientific evidence, the ACOEM's strength of evidence rating methodology for treatments where there are no medical treatment guidelines or where a guideline is developed by the Administrative Director, as set forth in subdivision (c) of section 9792.25.
(d) The members of the medical evidence evaluation advisory committee, except for the three subject matter experts, shall serve a term of two year period, but shall remain in that position until a successor is selected. The subject matter experts shall serve as members of the medical evidence evaluation advisory committee until the evaluation of the subject matter guideline is completed. The members of the committee shall meet as necessary, but no less than four (4) times a year.
(e) The Administrative Director, in consultation with the Medical Director, may revise, update, and supplement the MTUS as necessary.
NOTE

Authority cited: Sections 133, 4603.5, 5307.3 and 5307.27, Labor Code. Reference: Sections 77.5, 4600, 4604.5 and 5307.27, Labor Code.
HISTORY

1. Renumbering and amendment of former section 9792.23 to new section 9792.26 filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25). 
2. Editorial correction of operative date in History 1 (Register 2009, No. 30). 
Article 5.6. Medical-Legal Expenses and Comprehensive Medical-Legal Evaluations
§9793. Definitions.
Note     •     History

As used in this article:
(a) “Claim” means a claim for compensation as evidenced by either the filing of a claim form pursuant to Section 5401 of the Labor Code or notice or knowledge of an injury under Section 5400 or 5402 of the Labor Code.
(b) “Contested claim” means any of the following:
(1) Where the claims administrator has rejected liability for a claimed benefit.
(2) Where the claims administrator has failed to accept liability for a claim and the claim has become presumptively compensable under Section 5402 of the Labor Code.
(3) Where the claims administrator has failed to respond to a demand for the payment of compensation after the expiration of any time period fixed by statute for the payment of indemnity benefits, including where the claims administrator has failed to either commence the payment of temporary disability indemnity or issue a notice of delay within 14 days after knowledge of an employee's injury and disability as provided in Section 4650 of the Labor Code.
(4) Where  the claims administrator has accepted liability for a claim  and a disputed medical fact exists.
(c) “Comprehensive medical-legal evaluation” means an evaluation of an employee which (A) results in the preparation of a narrative medical report prepared and attested to in accordance with Section 4628 of the Labor Code, any applicable procedures promulgated under Section 139.2 of the Labor Code, and the requirements of Section 10606 and (B) is either:
(1) performed by a Qualified Medical Evaluator pursuant to subdivision (h) of Section 139.2 of the Labor Code, or
(2) performed by a Qualified Medical Evaluator, Agreed Medical Evaluator, or the primary treating physician for the purpose of proving or disproving a contested claim, and which meets the requirements of paragraphs (1) through (5), inclusive, of subdivision (g).
(d) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a group self-insurer, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, group self-insurer, or joint powers authority.
(e) “Disputed medical fact” means an issue in dispute, including an objection to a medical determination made by a treating physician under Section 4062 of the Labor Code, concerning (1) the employee's medical condition, (2) the cause of the employee's medical condition, (3) For dates of injury before December 31, 2012, where the evaluation occurs on or before June 30, 2013, treatment for the employee's medical condition, (4) the existence, nature, duration or extent of temporary or permanent disability caused by the employee's medical condition, or (5) the employee's medical eligibility for rehabilitation services.
(f) “Explanation of review” means the document described in Labor Code sections 4603.3(a) and 4622 that is provided to a Qualified Medical Evaluator, Agreed Medical Evaluator, or the primary treating physician when the claims administrator has objected to the cost of a medical-legal expense
(g) “Follow-up medical-legal evaluation” means an evaluation which includes an examination of an employee which (A) results in the preparation of a narrative medical report prepared and attested to in accordance with Section 4628 of the Labor Code, any applicable procedures promulgated under Section 139.2 of the Labor Code, and the requirements of Section 10606, (B) is performed by a qualified medical evaluator, agreed medical evaluator, or primary treating physician within nine months following the evaluator's examination of the employee in a comprehensive medical-legal evaluation and (C) involves an evaluation of the same injury or injuries evaluated in the comprehensive medical- legal evaluation.
(h) “Medical-legal expense” means any costs or expenses incurred by or on behalf of any party or parties, the administrative director, or the appeals board for X-rays, laboratory fees, other diagnostic tests, medical reports, medical records, medical testimony, and as needed, interpreter's fees, for the purpose of proving or disproving a contested claim. The cost of medical evaluations, diagnostic tests, and interpreters is not a medical-legal expense unless it is incidental to the production of a comprehensive medical-legal evaluation report, follow-up medical-legal evaluation report, or a supplemental medical-legal evaluation report and all of the following conditions exist:
(1) The report is prepared by a physician, as defined in Section 3209.3 of the Labor Code.
(2) The report is obtained at the request of a party or parties, the administrative director, or the appeals board for the purpose of proving or disproving a contested claim and addresses the disputed medical fact or facts specified by the party, or parties or other person who requested the comprehensive medical-legal evaluation report. Nothing in this paragraph shall be construed to prohibit a physician from addressing additional related medical issues.
(3) The report is capable of proving or disproving a disputed medical fact essential to the resolution of a contested claim, considering the substance as well as the form of the report, as required by applicable statutes, regulations, and case law.
(4) The medical-legal examination is performed prior to receipt of notice by the physician, the employee, or the employee's attorney, that the disputed medical fact or facts for which the report was requested have been resolved.
(5) In the event the comprehensive medical-legal evaluation is served on the claims administrator after the disputed medical fact or facts for which the report was requested have been resolved, the report is served within the time frame specified in Section 139.2(j)(1) of the Labor Code.
(i) “Medical-legal testimony” means expert testimony provided by a physician at a deposition or workers' compensation appeals board hearing, regarding the medical opinion submitted by the physician.
(j) “Medical research” is the investigation of medical issues. It includes investigating and reading medical and scientific journals and texts. “Medical research” does not include reading or reading about the Guides for the Evaluation of Permanent Impairment (any edition), treatment guidelines (including guidelines of the American College of Occupational and Environmental Medicine), the Labor Code, regulations or publications of the Division of Workers' Compensation (including the Physicians' Guide), or other legal materials. 
(k) “Primary treating physician” is the treating physician primarily responsible for managing the care of the injured worker in accordance with subdivision (a) of Section 9785.
(l) “Reports and documents required by the administrative director” means an itemized billing, a copy of the medical-legal evaluation report, and any verification required under Section 9795(c).
(m) “Supplemental medical-legal evaluation” means an evaluation which (A) does not involve an examination of the patient, (B) is based on the physician's review of records, test results or other medically relevant information which was not available to the physician at the time of the initial examination, or a request for factual correction pursuant to Labor Code section 4061(d), (C) results in the preparation of a narrative medical report prepared and attested to in accordance with Section 4628 of the Labor Code, any applicable procedures promulgated under Section 139.2 of the Labor Code, and the requirements of Section 10606 and (D) is performed by a qualified medical evaluator, agreed medical evaluator, or primary treating physician following the evaluator's completion of a comprehensive medical-legal evaluation.
NOTE

Authority cited: Sections 133, 4622, 4627, 5307.3 and 5307.6, Labor Code. Reference: Sections 4061, 4061.5, 4062, 4610.5, 4620, 4621, 4622, 4625, 4628, 4650, 5307.6 and 5402, Labor Code.
HISTORY

1. New article 5.6 (sections 9793-9795) filed 1-10-85; designated effective 3-1-85 (Register 85, No. 2).
2. Change without regulatory effect filed 7-11-86; effective upon filing (Register 86, No. 28).
3. Repealer and new section filed 8-3-93; operative 8-3-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 32).
4. Amendment of article heading, section and Note filed 12-31-93; operative 1-1-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
5. Change without regulatory effect amending subsections (f) and (i) filed 6-12-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 24).
6. Amendment of subsections (a) and (b)(3), new subsection (i), subsection relettering and amendment of newly designated subsection (j) filed 6-30-2006; operative 7-1-2006. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Government Code section 11340.9(g) (Register 2006, No. 26).
7. Amendment of subsection (e), new subsection (f), subsection relettering, amendment of newly designated subsection (m) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9794. Reimbursement of Medical-Legal Expenses.
Note     •     History

(a) The cost of comprehensive, follow-up and supplemental medical-legal evaluation reports, diagnostic tests, and medical-legal testimony, regardless of whether incurred on behalf of the employee or claims administrator, shall be billed and reimbursed as follows:
(1) X-rays, laboratory services and other diagnostic tests shall be billed and reimbursed in accordance with the official medical fee schedule adopted pursuant to Labor Code Section 5307.1. In no event shall the claims administrator be liable for the cost of any diagnostic test provided in connection with a comprehensive medical-legal evaluation report unless the subjective complaints and physical findings that warrant the necessity for the test are included in the medical-legal evaluation report. Additionally, the claims administrator shall not be liable for the cost of diagnostic tests, absent prior authorization by the claims administrator, if adequate medical information is already in the medical record provided to the physician.
(2) The cost of comprehensive, follow-up and supplemental medical-legal evaluations, and medical-legal testimony shall be billed and reimbursed in accordance with the schedule set forth in Section 9795.
(b) All medical-legal expenses shall be paid within 60 days after receipt by the employer of the reports and documents required by the administrative director unless the claims administrator, within this period, contests its liability for such payment.
(c) A claims administrator who contests all or any part of a bill for medical-legal expense, or who contests a bill on the basis that the expense does not constitute a medical-legal expense, shall pay any uncontested amount and notify the physician or other provider of the objection within sixty days after receipt of the reports and documents required by the administrative director using an explanation of review. Any notice of objection shall include or be accompanied by all of the following:
(1) An explanation of review shall indicate the basis for the objection to each contested procedure and charge. The original procedure codes used by the physician or other provider shall not be altered. If the objection is based on appropriate coding of a procedure, the explanation of review shall include both the code reported by the provider and the code believed reasonable by the claims administrator, and shall include the claim's administrator's rationale as to why its code more accurately reflects the service provided. 
(2) If additional information is necessary as a prerequisite to payment of the contested bill or portions thereof, a clear description of the information required.
(3) The name, address, and telephone number of the person or office to contact for additional information concerning the objection.
(4) A statement pursuant to Labor Code section 4622(b)(1) that the physician may seek a second review by the claims administrator of the reduction of billing of the medical-legal expense. The statement shall also state the request for second review by the physician and completion of the second review process of the medical-legal expense by the claims administrator is a prerequisite to seeking independent bill review provided in Labor Code section 4603.6. If the provider does not seek a second review and the only issue in dispute is the amount of payment, the bill shall be deemed satisfied and neither the employer nor the employee shall be liable for any additional payment. 
(5) If after completion of the second review process under Labor Code section 4622 (b)(1) the physician still contests the amount paid for the medical-legal expense, the physician shall only contest the amount to be paid by requesting independent bill review as provided in Labor Code section 4603.6. 
A form objection which does not identify the specific deficiencies of the report in question shall not satisfy the requirements of this subdivision.
(d) If the claims administrator denies liability for the medical-legal expense in whole or in part, for any reasons other than the amount to be paid pursuant to the fee schedule set forth in section 9795, the denial shall set forth the legal, medical, or factual basis for the decision in the explanation of review which shall also contain the following statements: 
(1) The physician may object to the denial of the medical-legal expense issued under this subdivision by notifying the claims administrator in writing of their objection within ninety (90) days of the service of the explanation of review; and
(2) If the physician does not file a written objection with the claims administrator challenging the denial of the medical-legal expense issued under this subdivision, neither the employer nor the employee shall be liable for the amount of the expense that was denied. 
(e) If the claims administrator receives a written objection to the denial of the medical-legal expense under subdivision (d) within ninety (90) days of the service of the explanation of review, the claims administrator shall file a petition to review of the denial of medical-legal expense and a declaration of readiness to proceed pursuant to section 10228 et. seq., of title 8 of the California Code of Regulation. 
(f) All reports and documents required by the administrative director shall be included in or attached to the medical-legal report when it is filed and served on the parties pursuant to Section 10608 or served on the parties pursuant to Section 4061 or 4062 of the Labor Code.
(g) Physicians shall keep and maintain for three years, and shall make available to the administrative director by date of examination upon request, copies of all billings for medical-legal expense.
(h) A physician may not charge, nor be paid, any fees for services in violation of Section 139.3 of the Labor Code or subdivision (d) of Section 5307.6 of the Labor Code;
(i) Claims administrator shall retain, for three years, the following information for each comprehensive medical evaluation for which the claims administrator is billed:
(1) name and specialty of medical evaluator;
(2) name of the employee evaluated;
(3) date of examination;
(4) the amount billed for the evaluation;
(5) the date of the bill;
(6) the amount paid for the evaluation, including any penalties and interest;
(7) the date payment was made.
This information may be stored in paper or electronic form and shall be made available to the administrative director upon request. This information shall also be made available, upon request, to any party to a case, where the requested information pertains to an evaluation obtained in the case.
NOTE

Authority cited: Sections 133, 4622, 4627, 5307.3 and 5307.6, Labor Code. Reference: Sections 4620, 4621, 4622, 4625, 4626, 4628 and 5307.6, Labor Code.
HISTORY

1. Repealer and new section filed 8-3-93; operative 8-3-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 32).
2. Amendment of subsections (a)-(c)(1) and (e), and new subsections (f)-(h) filed 12-31-93; operative 1-1-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
3. Repealer of subsection (h) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
4. Editorial correction of subsection (a) (Register 2001, No. 22).
5. Amendment of subsections (c) and (c)(1), repealer and new subsection (c)(4), new subsections (c)(5) and (d)-(e), subsection relettering and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9795. Reasonable Level of Fees for Medical-Legal Expenses, Follow-up, Supplemental and Comprehensive Medical-Legal Evaluations and Medical-Legal Testimony.
Note     •     History

(a) The schedule of fees set forth in this section shall be prima facie evidence of the reasonableness of fees charged for medical-legal evaluation reports, and fees for medical-legal testimony. 
Reports by treating or consulting physicians, other than comprehensive, follow-up or supplemental medical-legal evaluations, regardless of whether liability for the injury has been accepted at the time the treatment was provided or the report was prepared, shall be subject to the Official Medical Fee Schedule adopted pursuant to Labor Code Section 5307.1 rather than to the fee schedule set forth in this section.
(b) The fee for each evaluation is calculated by multiplying the relative value by $12.50, and adding any amount applicable because of the modifiers permitted under subdivision (d). The fee for each medical-legal evaluation procedure includes reimbursement for the history and physical examination, review of records, preparation of a medical-legal report, including typing and transcription services, and overhead expenses. The complexity of the evaluation is the dominant factor determining the appropriate level of service under this section; the times to perform procedures is expected to vary due to clinical circumstances, and is therefore not the controlling factor in determining the appropriate level of service.
(c) Medical-legal evaluation reports and medical-legal testimony shall be reimbursed as follows:

CODE	B.R.	PROCEDURE DESCRIPTION

ML100		Missed Appointment for a Comprehensive or Follow-Up Medical-Legal Evaluation. This code is designed for communication purposes only. It does not imply that compensation is necessarily owed.

CODE	RV	PROCEDURE DESCRIPTION

ML101	5	Follow-up Medical-Legal Evaluation. Limited to a  follow-up medical-legal evaluation by a physician which occurs within nine months of the date on which the prior medical-legal evaluation was performed. The physician shall include in his or her report verification, under penalty of perjury, of time spent in each of the following activities: review of records, face-to-face time with the injured worker, and preparation of the report. Time spent shall be tabulated in increments of 15 minutes or portions thereof, rounded to the nearest quarter hour. The physician shall be reimbursed at the rate of RV 5, or his or her usual and customary fee, whichever is less, for each quarter hour.

CODE	RV	PROCEDURE DESCRIPTION

ML102	50	Basic Comprehensive Medical-Legal Evaluation. Includes all comprehensive medical-legal evaluations other than those included under ML 103 or ML 104.

CODE	RV	PROCEDURE DESCRIPTION

ML103	75	Complex Comprehensive Medical-Legal Evaluation. Includes evaluations which require three of the complexity factors set forth below.
In a separate section at the beginning of the report, the physician shall clearly and concisely specify which of the following complexity factors were required for the evaluation, and the circumstances which made these complexity factors applicable to the evaluation. An evaluator who specifies complexity factor (3) must also provide a list of citations to the sources reviewed, and excerpt or include copies of medical evidence relied upon:

		(1) Two or more hours of face-to-face time by the physician with the injured worker;
(2) Two or more hours of record review by the physician;
(3) Two or more hours of medical research by the physician;
(4) Four or more hours spent on any combination of two of the complexity factors (1)-(3), which shall count as two complexity factors. Any complexity factor in (1), (2), or (3) used to make this combination shall not also be used as the third required complexity factor;

		(5) Six or more hours spent on any combination of three complexity factors (1)-(3), which shall count as three complexity factors;
(6) Addressing the issue of medical causation, upon written request of the party or parties requesting the report, or if a bona fide issue of medical causation is discovered in the evaluation;
(7) Addressing the issue of apportionment, when determination of this issue requires the physician to evaluate the claimant's employment by three or more employers, three or more injuries to the same body system or body region as delineated in the Table of Contents of Guides to the Evaluation of Permanent Impairment (Fifth Edition), or two or more or more injuries involving two or more body systems or body regions as delineated in that Table of Contents. The Table of Contents of Guides to the Evaluation of Permanent Impairment (Fifth Edition), published by the American Medical Association, 2000, is incorporated by reference.
(8) For dates of injury before December 31, 2012 where the evaluation occurs on or before June 30, 2013, addressing the issue of medical monitoring of an employee following a toxic exposure to chemical, mineral or biologic substances;
(9) A psychiatric or psychological evaluation which is the primary focus of the medical-legal evaluation.
(10) For dates of injury before December 31, 2012 where the evaluation that occurs on or before June 30, 2013, addressing the issue of denial or modification of treatment by the claims administrator following utilization review under Labor Code section 4610.

CODE	RV	PROCEDURE DESCRIPTION

ML104	5	Comprehensive Medical-legal Evaluation Involving Extraordinary Circumstances. The physician shall be reimbursed at the rate of RV 5, or his or  her usual and customary hourly fee, whichever is less, for each quarter hour or portion thereof, rounded to the nearest quarter hour, spent by the physician for any of the following:

		(1) An evaluation which requires four or more of the complexity factors listed under ML 103; In a separate section at the beginning of the report, the physician shall clearly and concisely specify which four or more of the complexity factors were required for the evaluation, and the circumstances which made these complexity factors applicable to the evaluation. An evaluator who specifies complexity factor (3) must also provide a list of citations to the sources reviewed, and excerpt or include copies of medical evidence relied upon.
(2) An evaluation involving prior multiple injuries to the same body part or parts being evaluated, and which requires three or more of the complexity factors listed under ML 103, including three or more hours of record review by the physician;
(3) A comprehensive medical-legal evaluation for which the physician and the parties agree, prior to the evaluation, that the evaluation involves extraordinary circumstances. When billing under this code for extraordinary circumstances, the physician shall include in his or her report  (i) a clear, concise explanation of the extraordinary circumstances related to the medical condition being evaluated which justifies the use of this procedure code, and (ii) verification under penalty of perjury of the total time spent by the physician in each of these activities: reviewing the records, face-to-face time with the injured worker, preparing the report and, if applicable, any other activities.

CODE	RV	PROCEDURE DESCRIPTION

ML105	5	Fees for medical-legal testimony. The physician shall be reimbursed at the rate of RV 5, or his or her usual and customary fee, whichever is less, for each quarter hour or portion thereof, rounded to the nearest quarter hour, spent by the physician. The physician shall be entitled to fees for all itemized reasonable and necessary time spent related to the testimony, including reasonable preparation and travel time. The physician shall be paid a minimum of one hour for a scheduled deposition.

CODE	RV	PROCEDURE DESCRIPTION

ML106	5	Fees for supplemental medical-legal evaluations. The physician shall be reimbursed at the rate of RV 5, or his or her usual and customary fee, whichever is less, for each quarter hour or portion thereof, rounded to the nearest quarter hour, spent by the physician. Fees will not be allowed under this section for supplemental reports following the physician's review of (A) information which was available in the physician's office for review or was included in the medical record provided to the physician prior to preparing the initial report or (B) the results of laboratory or diagnostic tests which were ordered by the physician as part of the initial evaluation.
(d) The services described by Procedure Codes ML101 through ML106 may be modified under the circumstances described in this subdivision. The modifying circumstances shall be identified by the addition of the appropriate modifier code, which is reported by a two-digit number placed after the usual procedure number separated by a hyphen. The modifiers available are the following:
-92 Performed by a primary treating physician. This modifier is added solely for identification purposes, and does not change the normal value of the service.
-93 Interpreter needed at time of examination, or other circumstances which impair communication between the physician and the injured worker and significantly increase the time needed to conduct the examination. Requires a description of the circumstance and the increased time required for the examination as a result. Where this modifier is applicable, the value for the procedure is modified by multiplying the normal value by 1.1. This modifier shall only be applicable to ML 102 and ML 103.
-94 Evaluation and medical-legal testimony performed by an Agreed Medical Evaluator. Where this modifier is applicable, the value of the procedure is modified by multiplying the normal value by 1.25. If modifier -93 is also applicable for an ML-102 or ML-103, then the value of the procedure is modified by multiplying the normal value by 1.35.
-95 Evaluation performed by a panel selected Qualified Medical Evaluator. This modifier is added solely for identification purposes, and does not change the normal value of any procedure.
(e) Requests for duplicate reports shall be in writing. Duplicate reports shall be separately reimbursable and shall be reimbursed in the same manner as set forth in the Official Medical Fee Schedule adopted pursuant to Labor Code Section 5307.1.
(f) This section shall apply to medical-legal evaluation reports where the examination occurs on or after the effective date of this section. The 2006 amendments to this section shall apply to: (1) medical-legal evaluation reports where the medical examination to which the report refers occurs on or after the effective date of the 2006 amendments; (2) medical-legal testimony provided on or after the effective date of the 2006 amendments; and (3) supplemental medical legal reports that are requested on or after the effective date of the 2006 amendments regardless of the date of the original examination.
NOTE

Authority cited: Sections 133, 4627, 5307.3 and 5307.6, Labor Code. Reference: Sections 139.2, 4061, 4061.5, 4062, 4610.5, 4620, 4621, 4622, 4625, 4626, 4628, 5307.6 and 5402, Labor Code.
HISTORY

1. Repealer and new section filed 8-3-93; operative 8-3-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 32).
2. Change without regulatory effect amending subsection (a) and subsection (c) medical-legal evaluation procedure code ML104 filed 8-27-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 35).
3. Amendment of section heading, section and Note filed 12-31-93; operative 1-1-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
4. Amendment filed 2-24-99; operative 4-1-99 (Register 99, No. 9).
5. Change without regulatory effect amending subsections (b) and (d) filed 6-12-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 24).
6. Amendment of section and Note filed 6-30-2006; operative 7-1-2006. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Government Code section 11340.9(g) (Register 2006, No. 26).
7. Amendment of subsection (c) (medical-legal evaluation procedure code ML103) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 5.7 Fees for Interpreter Services
§9795.1. Definitions.
Note     •     History

As used in this article:
(a) “Certified” means an interpreter who is certified in accordance with Sections 11435.30 and 11435.35 of the Government Code or Section 68562 of the Government Code.
(b) “Qualified interpreter for purposes of medical treatment appointments” means an interpreter who has a documented and demonstrated proficiency in both English and the other language; a fundamental knowledge in both languages of health care terminology and concepts relevant to health care delivery systems; and education and training in interpreting ethics, conduct and confidentiality, which may include the standards promulgated by the California Healthcare Interpreters Association or the National Council on Interpreting in Healthcare. Evidence of these criteria shall be established by a certificate of completion of a Medical or Healthcare Interpreter Certification Program issued by a California educational or vocational institution. 
(c) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(d) “Full day” means services performed which exceed one-half day, up to 8 hours.
(e) “One-half day” means:
(1) When appearing at any Workers' Compensation Appeals Board hearing or daytime arbitration, all or any part of a morning or afternoon session.
(2) When appearing at a deposition, all or any part of 3.5 hours.
(3) When appearing at an evening arbitration, all or any part of 3 hours.
(e) “Provisionally certified” means an interpreter who is deemed to be qualified to perform services under this article, when a certified interpreter cannot be present, by agreement of the parties for any services provided under this article other than at an appeals board hearing or arbitration.
(f) “Qualified interpreter” means an interpreter who is certified.
(g) “Travel time” means the time an interpreter actually travels to and from the place where service is to be rendered and his or her place of business.
(h) “Market rate” means that amount an interpreter has actually been paid for recent interpreter services provided in connection with the preparation and resolution of an employee's claim.
NOTE

Authority cited: Sections 133, 5307.3, 5710 and 5811, Labor Code. Reference: Sections 4600, 4620, 4621, 5710 and 5811, Labor Code; and Sections 11435.30, 11435.35 and 68562, Government Code.
HISTORY

1. New article 5.7 (sections 9795.1-9795.4) and section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Repealer of subsection (g), subsection relettering, and new Note filed 12-30-96; operative 12-30-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
3. Amendment of section and Note filed 12-27-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11340.9(d) (Register 2012, No. 52). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9795.2. Notice of Right to Interpreter.
Note     •     History

The notice of hearing, deposition, or other setting shall include a statement explaining the right to have an interpreter present if they do not proficiently speak or understand the English language. Where a party is designated to serve a notice, it shall be the responsibility of that party to include this statement in the notice.
NOTE

Authority cited: Sections 133, 5307.3, 5710 and 5811, Labor Code. Reference: Sections 4600, 4620, 4621, 5710 and 5811, Labor Code; and Sections 11513 and 68562, Government Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. New Note filed 12-30-96; operative 12-30-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
§9795.3. Fees for Interpreter Services.
Note     •     History

(a) Fees for services performed by a qualified interpreter, where the employee does not proficiently speak or understand the English language, shall be paid by the claims administrator for any of the following events:
(1) An examination by a physician to which an injured employee submits at the requests of the claims administrator, the administrative director, or the appeals board;
(2) Medical treatment appointments;
(3) A comprehensive medical-legal evaluation as defined in subdivision (c) of Section 9793, a follow-up medical-legal evaluation as defined in subdivision (f) of Section 9793, or a supplemental medical-legal evaluation as defined in subdivision (k) of Section 9793; provided, however, that payment for interpreter's fees by the claims administrator shall not be required under this paragraph unless the medical report to which the services apply is compensable in accordance with Article 5.6. Nothing in this paragraph, however, shall be construed to relieve the party who retains an interpreter from liability to pay the interpreter's fees in the event the claims administrator is not liable.
(4) A deposition of an injured employee or any person claiming benefits as a dependent of an injured employee, at the request of the claims administrator, including the following related events:
(i) Preparation of the deponent immediately prior to the deposition,
(ii) Reading of a deposition to a deponent prior to signing, and,
(iii) Reading of prior volumes to a deponent in preparation for continuation of a deposition.
(5) An appeals board hearing, or arbitration.
(6) A conference held by an information and assistance officer pursuant to Chapter 2.5 (commencing with Section 5450) of Part 4 of Division 4 of the Labor Code to assist in resolving a dispute between an injured employee and a claims administrator.
(7) Other similar settings determined by the Workers' Compensation Appeals Board to be reasonable and necessary to determine the validity and extent of injury to an employee.
(b) The following fees for interpreter services provided by a certified interpreter shall be presumed to be reasonable:
(1) For an appeal board hearing, arbitration, or deposition: interpreter fees shall be billed and paid at the greater of the following (i) at the rate for one-half day or one full day as set forth in the Superior Court fee schedule for interpreters in the county where the service was provided, or (ii) at the market rate. The interpreter shall establish the market rate for the interpreter's services by submitting documentation to the claims administrator, including a list of recent similar services performed and the amounts paid for those services. Services over 8 hours shall be paid at the rate of one-eighth the full day rate for each hour of service over 8 hours.
(2) For all other events listed under subdivision (a), interpreter fees shall be billed and paid at the rate of $11.25 per quarter hour or portion thereof, with a minimum payment of two hours, or the market rate, whichever is greater. The interpreter shall establish the market rate for the interpreter's services by submitting documentation to the claims administrator, including a list of recent similar services performed and the amounts paid for those services.
(3) The fee in paragraph (1) or (2) shall include, when requested and adequately documented by the interpreter, payment for mileage and travel time where reasonable and necessary to provide the service, and where the distance between the interpreter's place of business and the place where the service was rendered is over 25 miles. Travel time is not deemed reasonable and necessary where a qualified interpreter listed in the master listing for the county where the service is to be provided can be present to provide the service without the necessity of excessive travel.
(i) Mileage shall be paid at the minimum rate adopted by the Director of the Department of Personnel Administration pursuant to Section 19820 of the  Government Code for non-represented (excluded) employees at Title 2, CCR § 599.631(a).
(ii) Travel time shall be paid at the rate of $5.00 per quarter hour or portion thereof.
(c) Unless notified of a cancellation at least 24 hours prior to the time the service is to be provided, the interpreter shall be paid no less than the minimum fee.
(d) Nothing in this section shall preclude payment to an interpreter or agency for interpreting services based on an agreement made in advance of services between the interpreter or agency and the claims administrator, regardless of whether or not such payment is less than, or exceeds, the fees set forth in this section.
(e) The fees set forth in subdivision (b) shall be presumed reasonable for services provided by provisionally certified interpreters only if efforts to obtain a certified interpreter are documented and submitted to the claims administrator with the bill for services. Efforts to obtain a certified interpreter shall also be disclosed in any document based in whole or in part on information obtained through a provisionally certified interpreter.
NOTE

Authority cited: Sections 133, 5307.3, 5710 and 5811, Labor Code. Reference: Sections 4600, 4620, 4621, 5710 and 5811, Labor Code; and Sections 11435.30, 11435.35 and 68562, Government Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsections (b)(1) and (b)(2), repealer of subsection (b)(3), subsection renumbering, amendment of newly designated subsection (b)(4) and subsection (d), and new Note filed 12-30-96; operative 12-30-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
3. New subsection (a)(2), subsection renumbering, repealer of former subsection (a)(5), amendment of newly designated subsection (a)(5) and subsection (b)(1) and amendment of Note filed 12-27-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11340.9(d) (Register 2012, No. 52). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9795.4. Time for Payment; Effective Date.
Note     •     History

(a) All expenses for interpreter services shall be paid within 60 days after receipt by the claims administrator of the bill for services unless the claims administrator, within this period, contests its liability for such payment, or the reasonableness or the necessity of incurring such expenses. A claims administrator who contests all or any part of a bill for interpreter services shall pay the uncontested amount and notify the interpreter of the objection within 60 days after receipt of the bill. Any notice of objection shall include all of the following:
(1) An explanation of the basis of the objection.
(2) If additional information is needed as a prerequisite to payment of a contested bill or portions thereof, a clear description of the information required.
(3) The name, address and telephone number of the person or office to contact for additional information concerning the objection.
(4) A statement that the interpreter may adjudicate the issue of the contested charge before the Workers' Compensation Appeals Board.
(b) Any bill for interpreter's services which constitutes a medical-legal expense as defined in subdivision (g) of Section 9793 and which is neither paid nor contested within the time limits set forth herein shall be subject to the penalties and interest set forth in Section 4622 of the Labor Code.
(c) This article shall be effective for services provided on and after the effective date of this article which pertain to injuries occurring on or after January 1, 1994. Amendments to this article which became effective in 1996 shall apply to interpreting services provided on or after April 1, 1997.
NOTE

Authority cited: Sections 133, 5307.3, 5710 and 5811, Labor Code. Reference: Sections 4600, 4620, 4621, 5710 and 5811, Labor Code;  and Sections 68562 and 11513, Government Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (c) and Note filed 12-30-96; operative 12-30-96 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 97, No. 1).
Article 6. Consulting Physician, Certification of
§9796. Certification of Consulting Physician, How Initiated.
Note     •     History

When an injured employee requests an employer to secure certification of a consulting physician under Labor Code Section 4602, the employer shall direct a letter in triplicate to the Division of Industrial Accidents, attention Medical Director, 525 Golden Gate Avenue, Room 201, San Francisco, California 94102, containing the following information:
(a) The name and address of the injured employee;
(b) The name and address of the consulting physician chosen;
(c) The field of practice of the consulting physician.
NOTE

Authority cited: Sections 124, 127, 133, 138.2, 138.3, 138.4, 139, 139.5, 139.6, 4600, 4601, 4602, 4603, 4603.2, 4603.5, 5307.3, 5450, 5451, 5452, 5453, 5454, and 5455, Labor Code. Reference: Chapters 442, 709, and 1172, Statutes of 1977; Chapter 1017, Statutes of 1976.
HISTORY

1. Amendment filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45).
2. Change without regulatory effect filed 7-11-86; effective upon filing (Register 86, No. 28).
§9799. Criterion for Certifying Competence.

The criterion to be followed by the Administrative Director in certifying the competence of the consulting physician chosen by the injured employee is that the field of practice is related to the injury or the problem for which consultation was requested.
§9802. Notification by Administrative Director.

The Administrative Director will notify the employer and employee as to the competence of a consulting physician within twelve (12) days of the date of the receipt of the request for such certification.
Article 7. Schedule for Rating Permanent Disabilities
§9805. Schedule for Rating Permanent Disabilities, Adoption, Amendment.
Note     •     History

The method for the determination of percentages of permanent disability is set forth in the Schedule for Rating Permanent Disabilities, which has been adopted by the Administrative Director effective January 1, 2005, and which is hereby incorporated by reference in its entirety as though it were set forth below. The schedule adopts and incorporates the American Medical Association (AMA) Guides to the Evaluation of Permanent Impairment 5th Edition. The schedule shall be effective for dates of injury on or after January 1, 2005 and for dates of injury prior to January 1, 2005, in accordance with subdivision (d) of Labor Code section 4660, and it shall be amended at least once every five years. 
The schedule may be downloaded from the Division of Workers' Compensation website at http://www.dir.ca.gov/dwc/dwcrep.htm. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. Amendment filed 12-8-69; designated effective 1-1-70 (Register 69, No. 50).
2. Amendment filed 12-14-72; designated effective 1-1-73 (Register 72, No. 51).
3. Editorial correction (Register 81, No. 31).
4. Amendment filed 7-15-83; effective thirtieth day thereafter (Register 83, No. 30).
5. Editorial correction of 7-15-83 order redesignating effective date to 8-1-83 pursuant to Government Code Section 11346.2(d) filed 7-19-83 (Register 83, No. 30).
6. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-31-2004 order, including further amendment of section, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§9805.1. Data Collection, Evaluation, and Revision of Schedule.
Note     •     History

The Administrative Director shall: (1) collect for 18 months permanent disability ratings under the 2005 Permanent Disability Rating Schedule (PDRS) effective for injuries occurring on or after 1/1/05 and effective for injuries occurring on or after 4/19/04 and before 1/1/05 where there has been either no comprehensive medical-legal report or no report by a treating physician indicating the existence of permanent disability, or when the employer is not required to provide the notice required by Labor Code Section 4601 to the injured employee; (2) evaluate the data to determine the aggregate effect of the diminished future earning capacity adjustment on the permanent partial disability ratings under the 2005 PDRS; and (3) revise, if necessary, the diminished future earning capacity adjustment to reflect consideration of an employee's diminished future earning capacity for injuries based on the data collected. If the Administrative Director determines that there is not a sufficient amount of data to perform a statistically valid evaluation, the Administrative Director shall continue to collect data until a valid statistical sample is obtained. If there is a statistically valid sample of data that the Administrative Director determines supports a revision to the diminished future earning capacity adjustment, the Administrative Director shall revise the PDRS before the mandatory five year statutory revision contained in Labor Code section 4660(c).
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 6-10-2005; operative 6-10-2005 (Register 2005, No. 23).
Article 8. Benefit Notices; Claims Administrator's Duties and Responsibilities; Claim Form and Notice of Potential Eligibility for Benefits; Regulatory Authority of the Administrative Director
§9810. General Provisions.
Note     •     History

(a) This Article applies to benefit notices prepared on or after its effective date. Amendments to this Article filed with the Secretary of State on December 11, 2007 shall become effective for notices required to be sent on or after April 9, 2008.
(b) The Administrative Director may issue and revise from time to time a Benefit Notice Instruction Manual as a guide for completing and serving the notices required by this Article.
(c) Benefit notice letters, excepting those notices whose language or format are set forth in statute or where a specific notice form has been adopted as a regulation, may be produced on the claims administrator's letterhead. Unless sent on the claims administrator's letterhead, all notice letters shall identify the claims administrator's name, mailing address and telephone number, the employee's name, employer's name, the claim number, the date the notice was sent to the employee, and the date of injury. All notices shall clearly identify the name and telephone number and mailing address of the individual claims examiner responsible for the payment and adjusting of the claim, and shall include a notation if one or more attachments are being sent with the notice and shall clearly state that additional information may be obtained from an Information and Assistance officer with the Division of Workers' Compensation. If the employer offers additional disability benefits in addition to those provided by law under workers' compensation, the claims administrator may incorporate the information within the notices required by these regulations. A single benefit notice may encompass multiple events.
(d) Benefit notices, excepting those notices whose language or format are set forth in statute or specific notice forms adopted by regulation, may be produced in any format developed by the claims administrator. Each such benefit notice shall contain all relevant notice elements required by either statute or regulation. The Administrative Director shall make sample notices that comply with these requirements available on the DWC website.
(e) The claims administrator shall provide copies to the employee, upon request, of all medical reports, relevant to any benefit notice issued, or which are not required to be provided along with a notice and have not yet been provided to the employee other than psychiatric reports which the physician has recommended not be provided to the employee.
(f) The claims administrator shall send a copy of each benefit notice, and any enclosures not previously served on the attorney, concurrently to the attorney of any represented employee.
(g) Any deadline for reply which is measured from the date a notice is sent, and all rights protected within the deadline, are extended if the notice is sent by mail, as follows: by 5 days if the place of mailing and the place of address are in the same state of the United States; by 10 days if the place of mailing and the place of address are in different states of the United States; by 20 days if the place of mailing is in and the place of address is outside the United States. All notices shall be mailed from the United States.
(h) Copies of all benefit notices sent to injured workers shall be maintained by the claims administrator in the claims file. In lieu of retaining a copy of any attachments to the notice, the claims administrator may identify the attachments by name and revision date on the notice. These copies may be maintained in paper or electronic form.
(i) All benefit notices shall be made available in English and Spanish, as appropriate.
NOTE

Authority cited: Sections 59, 124, 133, 138.3, 138.4, 139.5(a)(2), 4061(a), (b), (d) and 5307.3, Labor Code. Reference: Sections 138.4, 139.5(a)(3), 4061 and 4650(a)-(d), Labor Code.
HISTORY

1. Repealer of article 8 (sections 9810-9878, not consecutive) and new article 8 (sections 9810-9817) filed 7-15-83; effective thirtieth day thereafter (Register 83, No. 30). For prior history, see Registers 81, No. 42; 79, No. 30; 78, No. 45; 73, Nos. 51 and 38; 72, No. 51; and 66, No. 20.
2. Editorial correction of 7-15-83 order redesignating effective date to 8-1-83 pursuant to Government Code section 11346.2(d) filed 7-19-83 (Register 83, No. 30).
3. Editorial correction of 7-15-83 order filed 8-11-83 (Register 83, No. 33).
4. Amendment of article heading, section and Note filed 1-7-94; operative 1-7-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1). 
5. Repealer of subsection (d) and subsection relettering filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
6. Repealer and new article heading and amendment of section and Note filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
§9811. Definitions.
Note     •     History

As used in this Article:
(a) “Claims Administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a self-administered joint powers authority, a self-administered legally uninsured, a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority, or an administrator for an alternative dispute resolution (ADR) program established under Labor Code section 3201.5 or 3201.7.
(b) “Date of knowledge of injury” means the date the employer had knowledge of a worker's injury or claim of injury.
(c) “Date of knowledge of injury and disability” means the date the employer had knowledge of (1) a worker's injury or claim of injury, and (2) the worker's inability or claimed inability to work because of the injury.
(d) “Duration” means any known period of time for which benefits are to be paid, or, where benefits will continue for an unknown period of time the event that will occur which will determine when benefits will terminate.
(e) “Employee” includes dependent(s) in the event of any injury which results in death.
(f) “Employee's (or claimant's) remedies”, means a statement of the employee's rights of which an employee or claimant shall be informed in benefit notices when specified in these regulations.
Every benefit notice, excepting those mandatory notices set forth in statute or where a specific notice form has been adopted as a regulation, shall include a mandatory statement of employee's (or claimant's) remedies:
For claims not falling under an alternative dispute resolution program (ADR) program under Labor Code sections 3201.5 or 3201.7, the following language shall be used:
You have a right to disagree with decisions affecting your claim. If you have any questions regarding the information provided to you in this notice, please call: (insert adjuster's name and telephone number). However, if you are represented by an attorney, you should call your attorney, not the claims adjuster. If you want further information on your rights to benefits or disagree with our decision, you may contact your local state Information & Assistance Office of the Division of Workers' Compensation by calling (insert local I&A number).
For recorded information and a list of offices, call (800)736-7401. You may also visit the DWC website at:
http://www.dir.ca.gov/DWC/dwc_home_page.htm
You also have a right to consult with an attorney of your choice. Should you decide to be represented by an attorney, you may or may not receive a larger award, but, unless you are determined to be ineligible for an award, the attorney's fee will be deducted from any award you might receive for disability benefits. The decision to be represented by an attorney is yours to make, but it is voluntary and may not be necessary for you to receive your benefits.
To resolve a dispute, you may apply to [choose appropriate option(s)] the Workers' Compensation Appeals Board, the Vocational Rehabilitation Unit, or the Administrative Director.
For employees subject to an ADR program under Labor Code sections 3201.5 or 3201.7, the claims administrator may substitute the following language where appropriate:
You have a right to disagree with decisions affecting your claim. If you have any questions regarding the information provided to you in this notice, please call: (insert adjuster's name and telephone number) or, (insert name of ombudsperson or mediator if employee is subject to an ADR agreement). However, if you are represented by an attorney, you should call your attorney, not the claims adjuster, ombudsperson or mediator. If you want further information on your rights to benefits or disagree with our decision, you may also contact your local state Information & Assistance Office of the Division of Workers' Compensation by calling (insert local I&A number). Please be sure to inform the Information and Assistance Officer that you are subject to an alternative dispute resolution program.
For recorded information and a list of offices, call (800)736-7401. You may also visit the DWC website at:
http://www.dir.ca.gov/DWC/dwc_home_page.htm
NOTE: For employees subject to an ADR program under Labor Code section 3201.5, the claims administrator may include the following language if appropriate under the provisions of the ADR program:
In accordance with the (insert union name) agreement, active participation by an attorney is not allowed in the Ombudsman and Mediation stages of the ADR workers' compensation process. Your right to obtain legal advice is not limited and you may obtain such at your own expense at anytime. If the Ombudsman and Mediation stages of dispute resolution are unsuccessful and a written request for Arbitration has been timely filed, attorney participation is allowed.
(g) “Employer” means any person or entity defined as an employer by Labor Code Section 3300.
(h) “Injury” means any injury as defined in Labor Code Section 3208 which results in medical treatment beyond first aid, lost time beyond the date of injury, or death.
(i) “Permanent and stationary status,” means the point when the employee has reached maximal medical improvement his or her condition is well stabilized and unlikely to change substantially in the next year with or without medical treatment.
NOTE

Authority cited: Sections 59, 133, 138.3, 138.4 and 5307.3, Labor Code. Reference: Sections 138.4, 139.5(c), (d), 3201.5, 3201.7, 3208, 3300, 3351, 3351.5, 3700, 3753, 4635(a), 4650(a)-(d), 4653, 4654, 4700 and 4701, Labor Code; Sections 11651 and 11652, Insurance Code; Sections 2330 and 2332, Civil Code.
HISTORY

1. Amendment of section and Note filed 1-7-94; operative 1-7-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1). 
2. Amendment of section and Note filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
§9812. Benefit Payment and Notice.
Note     •     History

(a) Temporary Disability Notices. When an injury causes or is claimed to cause temporary disability:
(1) Notice of First Temporary Disability Indemnity Payment. The first time the claims administrator pays temporary disability indemnity, the claims administrator shall advise the employee of the amount of temporary disability indemnity due, how it was calculated, and the duration and schedule of indemnity payments. The notice shall be sent no later than the 14th day after the employer's date of knowledge of injury and disability. A copy of the most recent version of the DWC informative pamphlet “Temporary Disability Fact Sheet' shall be provided with the notice.
(2) Notice of Delay in Any Temporary Disability Indemnity Payment. If the employee's entitlement to any period of temporary disability indemnity cannot be determined within 14 days of the date of knowledge of injury and disability, the claims administrator shall advise the employee within the 14-day period of the delay, the reasons for it, the need, if any, for additional information required to make a determination, and when a determination is likely to be made. If the claims administrator cannot make a determination by the date specified in a notice to the injured worker, the claims administrator shall send a subsequent delay notice to the injured worker, not later than the determination date specified in the previous delay notice, notifying the injured worker of the revised date by which the claims administrator now expects the determination to be made. 
(A) Where the delay is related to a medical issue, the notice shall advise an unrepresented employee of one of the following options:
1. If the injured worker has already received a comprehensive medical evaluation and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
2. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's temporary disability status and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) Where the delay is related to a medical issue, the notice shall advise a represented employee of one of the following options:
1. For dates of injury from January 1, 1994 through December 31, 2004, if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
2. For dates of injury on or after January 1, 2005, if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.2 and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
A copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet” shall be provided with the notice.
The additional delay notices shall comply with all requirements for an original delay notice, except that no copy of the DWC informative pamphlet “QME/AME Fact Sheet” need be provided with the notice unless it has been revised since it was last provided.
(3) Notice of Denial of Any Temporary Disability Indemnity Payment. If the claims administrator denies liability for the payment of any period for which an employee claims temporary disability indemnity, the notice shall advise the employee of the denial and the reasons for it. The notice shall be sent within 14 days after the determination to deny was made. 
(A) Where the denial is related to a medical issue, the notice shall advise an unrepresented employee of one of the following options:
1. If the denial is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
3. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's temporary disability status and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) Where the denial is related to a medical issue, the notice shall advise a represented employee of one of the following options:
1. If the denial is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. For dates of injury from January 1, 1994 through December 31, 2004, if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
3. For dates of injury on or after January 1, 2005 if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.2 and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
A copy of the relevant DWC informative pamphlet(s) “TD Fact Sheet,” “QME/AME Fact Sheet” and/or “Permanent Disability Fact Sheet” shall be provided at this time.
(b) Notice of Resumed Benefit Payments (TD, SC, PD, VRTD/VRMA). If the payment of temporary disability indemnity, salary continuation, permanent disability indemnity, or vocational rehabilitation temporary disability indemnity or maintenance allowance is resumed after terminating any of these benefits, the claims administrator shall advise the employee of the amount of indemnity due and the duration and schedule of payments. Notice shall be sent within 14 days after the employer's date of knowledge of the entitlement to additional benefits.
(c) Notice of Changed Benefit Rate, Payment Amount or Schedule (TD, SC, PD, VRTD/VRMA). When the claims administrator changes the benefit rate, payment amount or benefit payment schedule for temporary disability indemnity, salary continuation, permanent disability indemnity, or vocational rehabilitation temporary disability indemnity or maintenance allowance, the claims administrator shall advise the employee, as applicable, of the amount of the new benefit rate and the reason the rate is being changed, or of the new benefit payment schedule. Notice shall be given before or with the new payment.
(d) Notice that Benefits Are Ending (TD, SC, PD, VRTD/VRMA). With the last payment of temporary disability indemnity, permanent disability indemnity, salary continuation, or vocational rehabilitation temporary disability indemnity or maintenance allowance, the claims administrator shall advise the employee of the ending of indemnity payments and the reason, and shall make an accounting of all compensation paid to or on behalf of the employee in the species of benefit to which the notice refers, including the dates and amounts paid and any related penalties. If the decision to end payment of indemnity was made after the last payment, the claims administrator shall send the notice and accounting within 14 days of the last payment.
(1) The notice, except a notice that VRMA is ending, shall advise an unrepresented employee one of the following options:
(A) If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
(B) If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's temporary disability status or permanent impairment and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(2) The notice, except a notice that VRMA is ending, shall advise a represented employee:
(A) If the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation.
(B) If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.2 and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
A copy of the relevant DWC informative fact sheet pamphlet(s) “TD Fact Sheet,” “QME/AME Fact Sheet” and/or “Permanent Disability Fact Sheet” shall be provided at this time.
(e) Permanent Disability Notices For Injuries That Occurred Prior To 1991:
(1) Existence and Extent of Permanent Disability is Known. Within 14 days after the claims administrator knows that the injury has caused permanent disability and knows the extent of that disability, the claims administrator shall advise the employee of the amount of the weekly permanent disability indemnity payment, how it was calculated, the duration and frequency of payments, the date payments can be expected to begin and the total amount to be paid. 
(2) Existence of Permanent Disability is Known, Extent is Uncertain. If the claims administrator knows that the injury has caused permanent disability but cannot determine its extent within the 14 days after the last payment of temporary disability indemnity, or within 14 days after knowledge that the employee's injury has resulted in permanent disability if there was no compensable temporary disability, the claims administrator nevertheless shall make timely payment of permanent disability indemnity and shall advise the employee of the amount of the weekly permanent disability indemnity payment, how it was calculated, the duration and schedule of payments, and the claims administrator's reasonable estimate of the amount of permanent disability indemnity to be paid. 
The claims administrator shall notify the employee that his or her medical condition will be monitored until the extent of permanent disability can be determined and that the disability payments will be revised at that time if appropriate. Within 14 days after the claims administrator determines the extent of permanent disability indemnity benefits, the claims administrator shall notify the employee as provided by paragraph (1).
(3) Existence of Permanent Disability is Uncertain. If the existence of permanent disability is uncertain, the claims administrator shall advise the employee within 14 days after the last payment of temporary disability indemnity, or within 14 days of receiving a claim or medical report alleging the existence of permanent disability if the claims administrator paid no temporary disability, that the claims administrator cannot yet determine whether the injury will cause permanent disability. The notice shall specify the reasons for the delay in determination, the need, if any, for additional information required to make a determination, and when the determination is likely to be made. If the claims administrator cannot make a determination by the date it specified in a notice to the injured worker, the claims administrator shall send a subsequent notice to the injured worker, not later than the determination date specified in the previous notice, notifying the injured worker of the date by which the claims administrator now expects the determination to be made. The additional delay notices shall comply with all requirements for an original delay notice. If the reason for the delay is that the employee's medical condition is not permanent and stationary, the claims administrator shall advise the employee that his or her medical condition will be monitored until it is permanent and stationary, at which time an evaluation will be performed to determine the amount of permanent disability indemnity, if any, due the employee. Within 14 days after the claims administrator determines that permanent disability exists, the claims administrator shall notify the employee of the commencement of permanent disability indemnity payments as provided by paragraph (1) or (2).
(4) Notice That No Permanent Disability Exists. If the claims administrator alleges that the injury has caused no permanent disability, the claims administrator shall advise the employee within 14 days after the claims administrator determines that the injury has caused no permanent disability.
(f) Permanent Disability Notices for Injuries Occurring in 1991, 1992, 1993.
(1) Condition Not Permanent and Stationary (P & S), May Cause Permanent Disability--Notice of Monitoring Until P&S Date. If the injury has resulted or may result in permanent disability but the employee's medical condition is not permanent and stationary, the claims administrator shall advise the employee, together with the last payment of temporary disability indemnity, that permanent disability indemnity is or may be payable but that the amount cannot be determined because the employee's medical condition has not yet reached a stationary status. The notice shall advise the employee that his or her medical condition will be monitored until it is permanent and stationary, at which time a medical evaluation will be performed to determine the existence and extent of permanent impairment or limitations and the need for continuing medical care. The notice shall advise the employee of the estimated date when a determination is likely to be made, and the claimant's remedies. If the claims administrator cannot make a determination of A) permanent and stationary status, B) the existence and extent of permanent impairment or limitations, and C) the need for continuing medical care by the date it specified in a monitoring notice to the injured worker, the claims administrator shall send a subsequent notice to the injured worker, not later than the determination date specified in the previous notice, notifying the injured worker of the date by which the claims administrator now expects the determination to be made. The additional notice shall comply with all requirements of the original delay notice.
(2) Condition Becomes Permanent and Stationary, May Cause Permanent Disability--Notice of Qualified Medical Evaluator (QME) Procedures. Within 5 working days after receiving information indicating that the employee's condition is permanent and stationary and has caused or may have caused permanent disability, the claims administrator shall advise the employee that his or her medical condition is permanent and stationary and of the procedures for evaluating permanent disability and need for continuing medical care.
(A) The notice shall advise an unrepresented employee of one of the following options:
1. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
2. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's permanent and stationary status and/or need for future medical care and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) The notice shall advise a represented employee:
If the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
A copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet” shall be provided with the notice.
(3) Notice of Permanent Disability Indemnity Payment When Injury Causes Permanent Disability. If the claims administrator knows that the employee has sustained permanent disability, whether or not its extent is known and whether or not the employee's medical condition is permanent and stationary, the claims administrator shall advise the employee of the weekly permanent disability indemnity payment, how it was calculated, the duration and schedule of payments, and the claims administrator's reasonable estimate of permanent disability indemnity to be paid, within 14 days after knowledge that the employee's injury has resulted in permanent disability, whichever is later.
(A) The notice shall advise an unrepresented employee of one of the following options:
1. If the estimate is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
3. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's permanent impairment and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) The notice shall advise a represented employee of one of the following options:
1. If the determination is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation.
3. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
(4) Notice That No Permanent Disability Exists. If the claims administrator alleges that the injury has caused no permanent disability, the claims administrator shall advise the employee that no permanent disability indemnity is payable. This notice shall be sent within 14 days after the claims administrator determines that the injury has caused no permanent disability. The notice shall advise the employee of the process to obtain a formal medical evaluation to contest the determination that the employee has no permanent disability. If the basis for the claims administrator's determination is a medical report, a copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet,” shall be provided with the notice.
(A) The notice shall advise an unrepresented employee of one of the following options:
1. If the determination is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
3. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's permanent impairment and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) The notice shall advise a represented employee of one of the following options:
1. If the determination is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
(g) Permanent Disability Notices For Injuries Occurring on or after 1/1/94. For injuries occurring on or after January 1, 1994:
(1) Condition Not Permanent and Stationary, May Cause Permanent Disability--Notice of Monitoring Until P&S Date. If the injury has resulted or may result in permanent disability but the employee's medical condition is not permanent and stationary, the claims administrator shall advise the employee together with the last payment of temporary disability indemnity, that permanent disability indemnity is or may be payable but that the amount cannot be determined because the employee's medical condition has not yet reached a stationary status. The notice shall advise the employee that his or her medical condition will be monitored until it is permanent and stationary, at which time a medical evaluation will be performed to determine the existence and extent of permanent impairment or limitations and the need for continuing medical care. The notice shall advise the employee of the estimated date when a determination is likely to be made. If the claims administrator cannot make a determination of A) permanent and stationary status, B) the existence and extent of permanent impairment or limitations, and C) the need for continuing medical care by the date it specified in a monitoring notice to the injured worker, the claims administrator shall send a subsequent notice to the injured worker, not later than the determination date specified in the previous notice, notifying the injured worker of the date by which the claims administrator now expects the determination to be made. The additional notice shall comply with all requirements of the original notice.
(2) Condition Becomes Permanent and Stationary, Causes Permanent Disability--Notice of QME/AME Procedures. Together with the last payment of temporary disability or within 14 days of knowledge that the injury is permanent and stationary or has caused permanent disability, the claims administrator shall provide notice of the procedures available to obtain a QME or AME evaluation. The claims administrator shall advise the employee of the claims administrator's  estimate of the amount of permanent disability indemnity payable, the basis for the estimate, and whether there is need for continuing medical care. A copy of the medical report on which the estimate of permanent disability was based, and a copy of the most recent version of the DWC informative pamphlets, QME/AME Fact Sheet and/or Permanent Disability Fact Sheet, shall be provided with the notice.
(A) The notice shall advise an unrepresented employee of one of the following options:
1. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
2. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1.
The notice shall include the claims administrator's decision on whether the claims administrator accepts or refutes the treating physician's evaluation of the employee's permanent impairment and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font at the top of the first page: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) If the claims administrator is not requesting a rating from the Disability Evaluation Unit, the notice shall also advise the worker that he or she may contact an Information and Assistance Officer to have the treating physician's evaluation reviewed and rated by the Disability Evaluation Unit.
(C) If the claims administrator has or will be requesting a rating from the Disability Evaluation Unit on the treating physician's evaluation, the notice shall advise the employee that he or she will be receiving a rating based on the treating physician's evaluation from the Disability Evaluation Unit.
(D) The notice shall advise a represented employee of one of the following options:
1. For dates of injury from January 1, 1994 through December 31, 2004, if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
2. For dates of injury on or after January 1, 2005 if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.2 and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
(3) Notice That No Permanent Disability Exists. If the claims administrator alleges that the injury has caused no permanent disability, the claims administrator shall advise the employee that no permanent disability indemnity is payable. This notice shall be sent together with the last payment of temporary disability indemnity or within 14 days after the claims administrator determines that the injury has caused no permanent disability. A copy of the medical report on which the determination of no permanent disability was based, and a copy of the most recent version of the DWC informative pamphlets, QME/AME Fact Sheet and Permanent Disability Fact Sheet shall be provided with the notice. A copy of the DWC form prescribed by the Administrative Director for requesting assignment of a panel of Qualified Medical Evaluators shall be provided with the notice unless the employee is represented by an attorney.
(A) The notice shall advise an unrepresented employee of one of the following options:
1. If the determination is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. If the injured worker has already received a comprehensive medical evaluation, and either party disputes the results of that evaluation, the injured worker may be asked to return to that physician for a new evaluation.
3. If no comprehensive medical evaluation has taken place, the injured worker may obtain an evaluation by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.1. The notice shall also advise of the procedure for requesting the panel and shall be accompanied by the form prescribed by the DWC Medical Unit with which to request assignment of a panel of Qualified Medical Evaluators. The notice shall advise the injured worker of the 10 day time limit in which a panel may be requested and in which an appointment must be made following receipt of the panel.
The notice shall contain the following warning in not less than 12 point font: You may lose important rights if you do not take certain actions within 10 days. Read this letter and any enclosed fact sheets very carefully.
(B) If the denial is based upon the treating physician's report, the notice shall also advise the worker that he or she may contact an Information and Assistance office to have the treating physician's evaluation review and rated by the Disability Evaluation Unit.
(C) If the claims administrator requests a rating from the Disability Evaluation Unit on the treating physician's report, the notice shall advise the employee that he or she will be receiving a rating based on the treating physician's evaluation from the Disability Evaluation Unit.
(D) The notice shall advise a represented employee of one of the following options:
1. If the determination is based on a comprehensive medical evaluation, the injured worker may file an Application for Adjudication of Claim with the WCAB.
2. For dates of injury from January 1, 1994 through December 31, 2004, if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
3. For dates of injury on or after January 1, 2005 if the injured worker has already received a comprehensive medical evaluation, he or she may be asked to return to that physician for a new evaluation. If no comprehensive medical evaluation has taken place, an evaluation may be obtained from an Agreed Medical Evaluator if the parties agree or, if no agreement on an Agreed Medical Evaluator can be reached, the injured worker may be evaluated by a Qualified Medical Evaluator obtained from a panel issued by the DWC Medical Unit pursuant to Labor Code section 4062.2 and that arrangements for obtaining this evaluation should be discussed with the injured worker's attorney.
(4) Notice of Permanent Disability Indemnity Payment When Injury Causes Permanent Disability. If the claims administrator knows that the employee has sustained permanent disability, whether or not its extent is known and whether or not the employee's medical condition is permanent and stationary, the claims administrator shall advise the employee of the weekly permanent disability indemnity payment, how it was calculated, the duration and schedule of payments, and the claims administrator's reasonable estimate of permanent disability indemnity to be paid, within 14 days after the last payment of temporary disability indemnity, or within 14 days after knowledge that the employee's injury has resulted in permanent disability, whichever is later. A copy of the most recent version of the DWC informative pamphlet “Permanent Disability Fact Sheet,” shall be provided with the notice.
For injuries occurring on or after January 1, 2005, the claims administrator shall, concurrently with any increased or decreased payment, notify the injured worker of any increase or decrease in the amount of the injured worker's permanent disability payments, pursuant to Labor Code section 4658, subdivision (d) resulting from the employer's offer of regular, modified or alternative work or resulting from the employer's failure to offer, or the employer's early termination of, regular, modified or alternative work. The information required by this subdivision shall be given in the appropriate PD payment start notice, PD payment resumption notice or notice of change in rate, payment amount or payment schedule.
(h) Notices to Dependents in Death Cases. In a case of fatal injury which is or is claimed to be compensable under the workers' compensation laws of this state, or involving accrued compensation which was not paid to an injured employee before the employee's death, the claims administrator shall advise the dependent(s) of the status of any benefits to which they may be entitled or which they have claimed as a result of the employee's death. As used in this subsection, “dependent” includes any person who may be or has claimed to be entitled to workers' compensation benefits as the result of an employee's death (including compensation which was accrued and unpaid to an injured worker before his or her death), and also includes the parent or legal guardian of minor dependent children. The claims administrator shall send each dependent a copy of all notices concerning benefits claimed by, or which may be payable to, that dependent, including notices sent to a different dependent if the benefits paid to the different dependent affect the amount payable to the other claimant. If the claims administrator discovers a new dependent after having sent a notice, the claims administrator shall send copies of each prior notice which concerned benefits to which the newly-discovered dependent might be entitled, to that dependent.
(1) Benefit Payment Schedule. If the claims administrator pays death benefits (including compensation which was accrued and unpaid to an injured worker before his or her death), the claims administrator shall advise each affected dependent of the amount of the death benefit payable to the dependent, how it was calculated, the duration and schedule of payments and other pertinent information. Notice is required within 14 days after the claims administrator's date of knowledge both of the death and of the identity and address of the dependent.
(2) Notice of Changed Benefit Rate, Amount or Schedule or that Benefits are Ending. If the claims administrator changes the benefit rate, amount or payment schedule, or ends payment, of a death benefit to a dependent, the claims administrator shall advise the affected dependent of the change and the reason for it, or of the new payment schedule. A notice that benefits are ending shall include an accounting of all compensation paid to the claimant. A notice that payment is ending shall be sent with the last payment unless the decision to end payment was made after that payment; in that case it shall be sent within 14 days of the last payment. Other notices concerning changed payments shall be sent before or with the changed payment, but not later than 14 days after the last payment which was made before the change.
(3) Delay in Determining Benefits. If the claims administrator cannot determine entitlement to some or all death benefits, the claims administrator shall advise each affected dependent of the delay, the reasons for it, the need, if any, for additional information required to make a determination, and when a determination is likely to be made. Notice is required within 14 days after the claims administrator's date of knowledge of the death, the identity and address of the affected dependent, and the nature of the benefit claimed or which might be due. If the claims administrator cannot make a determination by the date it specified in a notice to the affected dependent(s), the claims administrator shall send a subsequent notice to the affected dependent(s), not later than the determination date specified in the previous notice, notifying the affected dependent(s) of the date by which the claims administrator now expects the determination to be made. The additional delay notices shall include the employee's remedies and shall comply with all requirements for an original delay notice. 
(4) Notices Denying Death Benefits. If the claims administrator denies liability for the payment of any or all death benefits, the claims administrator shall advise the affected dependent(s) of the denial and the reasons for it. The notice shall be sent within 14 days after the determination to deny was made.
(i) Notice Denying Liability for All Compensation Benefits. If the claims administrator denies liability for the payment of all workers' compensation benefits for any claim except a claim for death benefits, including medical-only claims, the claims administrator shall advise the employee of the denial and the reasons for it. The notice shall be sent no later than 14 days after the determination to deny was made. A copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet” shall be provided with the notice.
For claims reported on or after April 19, 2004, if an injured worker has filed a completed claim form with the employer, the claims administrator shall advise the injured worker to send for consideration of payment, all bills for medical services provided between the date the completed claim form was given to the employer and the date that liability for the claim is rejected, unless he or she has done so already. The claims administrator shall also advise the employee that the maximum payment for medical services that were provided consistent with the applicable treatment guidelines is $10,000.
A copy of the Notice Denying Liability for All Compensation Benefits shall be served on all lien claimants or all persons or entities who can reasonably be identified by the claims administrator from information in the claims file to be potential lien claimants on account of their having furnished benefits, goods or services for which a lien may be filed under Labor Code sections 4903 through 4906, inclusive.
(j) Notice of Delay in Determining All Liability. If the claims administrator cannot determine whether the employer has any liability for an injury, other than an injury causing death, within 14 days of the date of knowledge of injury, the claims administrator shall advise the employee within the 14-day period of the delay, the reasons for it, the need, if any, for additional information required to make a determination, and when a determination is likely to be made. If the claims administrator cannot make a determination by the date it specified in a notice to the injured worker, the claims administrator shall send a subsequent notice to the injured worker, not later than the determination date specified in the previous notice, notifying the injured worker of the date by which the claims administrator now expects the determination to be made. The additional delay notices shall comply with all requirements for an original delay notice. Where the delay is related to a medical issue, a copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet” shall be provided with the notice.
(1) For injuries on or after January 1, 1990, if the claims administrator sends a notice of a delay in its decision whether to accept or deny liability for the claim, the notice shall include an explanation that the claim is presumed to be compensable if not denied within 90 days from the filing of the claim form, and that this presumption can be rebutted only with evidence discovered after the 90-day period.
(2) For claims reported on or after April 19, 2004, regardless of the date of injury, if the claims administrator sends a notice of delay in its decision whether to accept or deny liability for the claim, the notice shall include an explanation that Labor Code section 5402(c), provides that within one working day after an employee files a claim form, the employer shall authorize the provision of all treatment, consistent with the applicable treatment guidelines, for the alleged injury and shall continue to provide treatment until the date that liability is rejected. The notice shall advise the injured worker that the employer's liability for medical treatment under this Labor Code section is limited to ten thousand dollars ($10,000).
NOTE

Authority cited: Sections 59, 133, 138.3, 138.4, 139.5(a)(2), 4636(d), 4637 and 5307.3, Labor Code. Reference: Sections 138.4, 139.5, 4061(a), (b), 4061(d), 4061(e), 4061(f), 4062.1, 4650(a)-(d), 4658(d), 4661.5, 4700, 4701, 4702, 4703, 4703.5, 4903-4906 and 5402, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-89; operative 10-1-89 (Register 89 No. 28).
2. Amendment of section and Note filed 1-7-94; operative 1-7-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1). 
3. Amendment of section and Note filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
4. Change without regulatory effect amending subsection (g)(2) filed 12-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 50).
§9813. Vocational Rehabilitation Notices.
Note     •     History

(a) The following notices are applicable to dates of injury through December 31, 2003. This section shall not apply to dates of injury on or after January 1, 2004.
(1) Notice of First Payment. The first time the claims administrator pays vocational rehabilitation temporary disability or maintenance allowance, the claims administrator shall advise the employee of the amount of indemnity due, how it was calculated, and the duration and schedule of indemnity payments. The notice is due by the 14th day after the employee requested vocational rehabilitation services. The notice shall include, if applicable, the employee's option to add an amount from permanent disability benefits to increase the maintenance allowance payments to the temporary disability rate.
(2) Delay in Providing Vocational Rehabilitation. If upon receipt of a medical report which indicates that an employee is likely to be precluded from his or her usual and customary occupation, or upon receipt of a request for vocational rehabilitation services the claims administrator cannot determine the employee's entitlement to vocational rehabilitation services, a notice of delay shall be sent. The notice shall be sent no later than 10 days from the date of receipt of the medical report or no later than 10 days from receipt of the employee's request for services.
The delay notice shall explain the reason for delay, the need, if any, for additional information required to make a determination and the date by which a determination is likely to be made. If the claims administrator cannot make a determination by the date it specified in a notice to the injured worker, the claims administrator shall send a subsequent notice to the injured worker, not later than the determination date specified in the previous notice, notifying the injured worker of the date by which the claims administrator now expects the determination to be made. The additional delay notices shall include the employee's remedies and shall comply with all requirements for an original delay notice.
(3) Denial of Vocational Rehabilitation Benefits. The claims administrator shall advise the employee of its determination that an employee is not a qualified injured worker, the reasons for it, enclosed a copy of the document in which the determination is based and the employee's remedies. The notice shall include a DWC Form RU 103 Request for Dispute Resolution. The notice is due within 10 days of either:
(A) A request for vocational rehabilitation services; or
(B) Receipt of a treating physician's final report determining medical eligibility subsequent to 90 days of aggregate total temporary disability; or
(c) Receipt of the document upon which the claims administrator relied for its determination.
If the claims administrator denies liability for rehabilitation services but remains liable for paying VRTD or VRMA benefits, the notice shall explain the distinction between the terminated and continuing rehabilitation benefits.
If the denial is on the basis that the employee is not medically eligible, a copy of the most recent version of the DWC informative pamphlet “QME/AME Fact Sheet” shall be provided to the employee.
(4) Interruption or Deferral of Vocational Rehabilitation Services. Within 10 days after agreeing to interrupt or defer vocational rehabilitation services, the claims administrator shall advise the employee of the interruption and the dates it will be in effect. The claims administrator shall send a like notice within 10 days after agreeing to a new or extended period of interruption. The notice shall include an explanation of the specific steps he or she must take to notify the claims administrator that he or she is ready to resume participation (e.g., written or telephonic communication to the claims administrator, the agreed Qualified Rehabilitation Representative or the employee's representative), and information regarding the likely termination of the employee's rights to vocational rehabilitation should the employee fail to request services within 5 years from the date of injury.
If the parties agree to an interruption or deferral which extends beyond the statutory period, the notice shall advise the employee that failure to request services within the agreed upon time frame is likely to terminate the employee's rights to rehabilitation services. 
For injuries occurring on or after 1/1/94 where an interruption occurs during a vocational rehabilitation plan, the notice shall explain that the plan must by law be completed within 18 months of approval.
(b) Vocational Rehabilitation Notices for Injuries Occurring Prior to 1990.
(1) Potential Eligibility for Rehabilitation. Within 10 days of receipt of a physician's report or knowledge of a physician's opinion indicating that an employee may be permanently precluded from his or her usual and customary occupation or the position in which he or she was engaged at the time of injury, or if the employee has been totally temporarily disabled for an aggregate of 180 days, the claims administrator shall notify the employee within 10 days of the 180th day of his or her potential eligibility for vocational rehabilitation services. The notice shall include all of the following information:
(A) An explanation of the vocational rehabilitation services and rehabilitation temporary disability benefits available to the employee;
(B) Instructions how the employee may apply for vocational rehabilitation (e.g., by written or telephonic communication to the claims administrator, the agreed Qualified Rehabilitation Representative or the employee's representative);
(C) Notice of the employee's right to participate in selecting an agreed rehabilitation counselor; 
(D) Notice that vocational rehabilitation benefits may not be settled or otherwise converted to cash payments;
(E) Either an offer of vocational rehabilitation services, or notice of delay or denial notice in accordance with Section 9813(a)(2) or (3).
(c) Vocational Rehabilitation Notices for Injuries Occurring in 1990, 1991, 1992 or 1993.
(1) At 90 days of Aggregate Temporary Disability Benefits. The claims administrator shall notify the worker no later than 10 days after an employee has accrued 90 days of aggregate temporary total disability benefits of the assignment of the Qualified Rehabilitation Representative (QRR) for the purpose of explaining the employee's potential entitlement to vocational rehabilitation services. The notice shall include a statement that the QRR will be assisting the employee in the development of a job description to submit to the treating physician for an opinion regarding whether the employee may be released to his or her usual and customary occupation. The notice shall further state that the employee will be notified of the physician's opinion when available.
(2) Potential Eligibility for Rehabilitation. Within 10 days of receipt of a physician's report or knowledge of a physician's opinion indicating that an employee is medically eligible for vocational rehabilitation, or if prior notice has not been sent, within 10 days after the employee has been totally temporarily disabled for an aggregate of more than 365 days, the claims administrator shall notify the employee of his or her potential eligibility for vocational rehabilitation services. The notice shall include the following information:
(A) The “Help in Returning to Work” pamphlet published by the Division of Workers' Compensation;
(B) If the notice contains an offer of services, the notice shall include instructions on how to apply for vocational rehabilitation services (e.g., by written or telephonic communication to the claims administrator, the agreed Qualified Rehabilitation Representative or the employee's representative);
(C) If the notice contains an offer of services, the notice shall state that failure to apply within 90 days of receipt of this notice may terminate the employee's entitlement to vocational rehabilitation services;
(D) If the notice contains an offer of services, information on the employee's right to assist in the selection of an agreed upon Qualified Rehabilitation Representative;
(E) If the notice contains an offer of services, advice that the employee may request an evaluation of his or her ability to benefit from the provision of services prior to accepting or rejecting vocational rehabilitation services;
(F) The notice may include a statement from the claims administrator that every effort will be made to identify a modified or alternate job with the same employer to speed the employee's return to the labor market.
(G) Either an offer of vocational rehabilitation services, or a delay or denial notice in accordance with Section 9813(a)(2) or (3) of these regulations.
(3) Reminder of Potential Eligibility. If the employee has not requested vocational rehabilitation services after notification of medical eligibility, the claims administrator shall remind the employee of his or her right to vocational rehabilitation services. The notice shall be made not earlier than 45 nor later than 70 days after the employee's receipt of the Notice of Potential Eligibility.
(4) Intention to Withhold Maintenance Allowance for Failure to Cooperate. If the employee unreasonably fails to cooperate in the provision of vocational rehabilitation services, the claims administrator shall give the employee written notice of any intention to withhold payment of vocational rehabilitation maintenance allowance, the reasons, and the employee's right to object within 10 days of receiving the notice. The notice shall be made at least 15 days before ending payment of vocational rehabilitation maintenance allowance. The notice shall include a DWC Form RU 103 “Request for Dispute Resolution”.
(d) Vocational Rehabilitation Notices for Injuries Occurring on or after January 1, 1994 and before January 1, 2004.
(1) At 90 days of Aggregate Temporary Disability Benefits. The claims administrator shall notify the employee no later than 10 days after the employee accrues 90 days of aggregate temporary total disability benefits of the employee's potential rights to vocational rehabilitation. The notice shall include the “Help in Returning to Work” pamphlet as set forth in section 10133.2 of these regulations;
(2) Potential Eligibility for Rehabilitation. Within 10 days of receipt of a physician's report or knowledge of a physician's opinion indicating that an employee is medically eligible for vocational rehabilitation, or if prior notice has not been sent within 10 days after the employee has been totally temporarily disabled for an aggregate of 365 days, the claims administrator shall notify the employee of his or her potential eligibility for vocational rehabilitation services. The notice shall indicate the following information:
(A) The “Help in Returning to Work” pamphlet as set forth in section 10133.2 of these regulations;
(B) If the notice contains an offer of services, the notice shall include instructions on how to apply for vocational rehabilitation services (e.g., by written or telephonic communication to the claims administrator, the agreed Qualified Rehabilitation Representative or the employee's representative);
(C) If the notice contains an offer of services, the notice shall state that failure to apply within 90 days of receipt of this notice may terminate the employee's entitlement to vocational rehabilitation services;
(D) If the notice contains an offer of services, information on the employee's right to assist in the selection of an agreed upon Qualified Rehabilitation Representative;
(E) If the notice contains an offer of services, advice that the employee may request an evaluation of their ability to benefit from the provision of services prior to accepting or rejecting vocational rehabilitation services. The employee must further be advised that fees for such an evaluation are included within the forty-five hundred dollars ($4,500) maximum fees available for counseling services.
(F) The notice shall include a statement from the claims administrator whether a modified or alternate job with the employer is available. In the event that additional investigation into the availability of alternate or modified work is required, a final notice regarding the availability of modified or alternate work shall be sent within 30 days. This time limit may be extended by agreement of the parties.
(G) Either an offer of vocational rehabilitation services, or delay or denial notice in accordance with paragraph (2) or (3) of subdivision (a).
(3) Reminder of Potential Eligibility. If the employee has not requested vocational rehabilitation services after notification of medical eligibility, the claims administrator shall remind the employee of his or her right to vocational rehabilitation services. The notice shall be made not earlier than 45 nor later than 70 days after the employee's receipt of the Notice of Potential Eligibility.
(4) Intention to Withhold Maintenance Allowance for Failure to Cooperate.  If the employee unreasonably fails to cooperate in the provision of vocational rehabilitation services, the claims administrator shall give the employee written notice of any intention to withhold payment of vocational rehabilitation maintenance allowance, the reasons, and the employee's right to object within 10 days of receiving the notice. The notice shall be made at least 15 days before ending payment of vocational rehabilitation maintenance allowance. The Notice shall include a DWC Form RU 103 “Request for Dispute Resolution”.
NOTE

Authority cited: Sections 59, 133, 138.3, 138.4, 139.5(a)(2), 4636(d), 4637 and 5307.3, Labor Code. Reference: Sections 138.4, 139.5, 4061(a), (b), (d), 4636, 4637, 4641, 4643, 4644, 4650(a)-(d), 4661.5, 4700, 4701, 4702, 4703, 4703.5, 4903(a) and 5402, Labor Code.
HISTORY

1. Repealer filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
2. New section filed 1-7-94; operative 1-7-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1). For prior history, see Register 89, No. 28.
3. Amendment of subsections (a)(2)-(a)(3)(C), (c)(2), (c)(2)(B)-(E), (d)(2) and (d)(2)(B)-(E) filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
4. Amendment of subsections (a), (a)(2)-(3), (a)(3)(C), (c)(4)-(d)(1), (d)(2)(A) and (d)(4) filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
§9813.1. Notice of Offer of Modified or Alternative Work. For Injuries Between January 1, 2004 and December 31, 2012.
Note     •     History

Notice of Offer of Modified or Alternative Work. Within 30 days of the termination of temporary disability indemnity payments, the employer may offer, in the form and manner prescribed by section 10133.53 of these regulations, modified or alternative work accommodating the employee's work restrictions, lasting at least 12 months.
NOTE

Authority cited: Sections 59, 133, 138.3, 138.4, 4658.5 and 5307.3, Labor Code. Reference: Sections 124, 4658.1, 4658.5 and 4658.6, Labor Code.
HISTORY

1. New section filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
2. Amendment of section heading and repealer of subsection (a) and subsection (b) designator filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§9813.2. Return to Work Notices. For Injuries Occurring on or After January 1, 2005.
Note     •     History

Notice of Offer of Regular Work, Notice of Offer of Modified or Alternative Work. Within 60 calendar days from the date that the condition of an injured employee with permanent partial disability becomes permanent and stationary:
(a) If an employer does not serve the employee with a notice of offer of regular work, modified work or alternative work as set forth in section 10002, each payment of permanent partial disability remaining to be paid to the employee from the date of the end of the 60 day period shall be paid in accordance with Labor Code section 4658 (d)(1) and increased by 15 percent.
(b) If an employer serves the employee with a notice of offer of regular work, modified work or alternative work as set forth in section 10002(b)(3) and (4), each payment of permanent partial disability remaining to be paid from the date the offer was served on the employee shall be paid in accordance with Labor Code section 4658 (d)(1) and decreased by 15 percent, regardless of whether the employee accepts or rejects the offer.
(c) The employer shall use Form DWC-AD 10133.53 (Section 10133.53) to offer modified or alternative work, or Form DWC-AD 10003 (Section 10003) to offer regular work. The claims administrator may serve the offer of work on behalf of the employer.
NOTE

Authority cited: Sections 59, 133, 138.3, 138.4, 4658 and 5307.3, Labor Code. Reference: Sections 124, 4658 and 4658.1, Labor Code.
HISTORY

1. New section filed 12-11-2007; operative 4-9-2008 (Register 2007, No. 50).
§9814. Salary Continuation.
Note     •     History

In relation to periods of temporary disability, where an employer provides salary or other payments in lieu of or in excess of temporary disability indemnity, the claims administrator or employer shall comply with the notice requirements of this article which apply to temporary disability.  In addition, the claims administrator or employer shall include a full explanation of the salary continuation plan with the initial notice.
NOTE

Authority cited: Sections 59, 133, 138.4, 139.5(a)(2), 4637 and 5307.3, Labor Code. Reference: Sections 4650(a), (c), (d), (g), 4800, 4804.1, 4806, 4850-4850.7, Labor Code.
HISTORY

1. Amendment filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
2. Amendment of section and Note filed 1-7-94; operative 1-7-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1).
§9815. Corrected Notice.
Note     •     History

If information in any notice, or the action taken as reflected in the notice, was incorrect or incomplete, the claims administrator shall provide the employee with a corrected notice within 14 days of knowledge of the error or omission.  The notice shall be identified as a “Corrected Notice” and explain the nature and reason for the correction.  Any additional benefits due as a result of the error or omission shall be paid or provided with the notice, if not previously provided.
NOTE

Authority cited: Sections 59, 133, 138.4, 139.5(a)(2), 4637 and 5307.3, Labor Code. Reference: Sections 138.4, 139.5, 4061(a), (b), (d), 4636, 4637, 4641, 4643, 4644, 4650(a) through (d), 4661.5, 4700, 4701, 4702, 4703, 4703.5, 4903(a) and 5402, Labor Code.
HISTORY

1. Amendment of section and Note filed 1-7-94; operative 1-7-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1).
§9816. Enforcement of Reporting Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 138.3 and 138.4, Labor Code. Reference: Sections 138.3, 138.4 and 5453, Labor Code.
HISTORY

1. Repealer filed 1-7-94; operative 1-7-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1).
§9817. Destruction of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 138.3 and 138.4, Labor Code. Reference: Sections 138.4, 4650, 4651, 4700-4703 and 5402, Labor Code.
HISTORY

1. Repealer filed 1-7-94; operative 1-7-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 1).
Article 8.1. Workers' Compensation Advertising by Non-Attorneys and Non-Physicians; Prohibition of False or Misleading Advertising
§9820. Definitions.
Note     •     History

As used in this article:
(a) Administrative Director.  The Administrative Director of the Division of Workers' Compensation or the Director's duly authorized representative designee, or delegee.
(b) Advertisement.  Any form of communication, in writing, photograph or picture, electronic broadcasting or transmission, that solicits any person to:
(1) file a workers' compensation claim, or,
(2) use any workers' compensation services as defined in subsection (k), or, 
(3) engage or consult counsel or a medical care provider or clinic to consider a workers' compensation claim.
The form of advertisement may include, but is not limited to, advertising by newspaper, magazine, circular, form letter, publication, billboard, card, label, placard, transit advertisement, business card, envelope, book, list, directory, radio, motion picture, video, television, or electronic mail.
(c) Advertiser.  Any person who sends, publishes, broadcasts, transmits or communicates an advertisement as defined in subsection (b); or who causes or pays in whole or in part for the sending, publishing, broadcasting, transmission or communication of such an advertisement either for himself or on behalf of another person.  However, advertiser does not include the following persons if the person's principal business is other than providing workers' compensation services:
(1) a publisher, printer, distributor or circulator of a newspaper, magazine, book, or other writing;
(2) an operator of a broadcasting station, movie or video production company;
(3) an operator of premises where advertisements are displayed;
(4) a person while working as an employee of any persons exempted in paragraphs 1 through 3 of this subsection.
(d) Attorney.  A person who holds a valid, active license to practice law in California at the time the advertisement governed by these regulations is published.
(e) False or misleading advertisement.  An advertisement that:
(1) Is false or misleading pursuant to Labor Code Section 139.43(a) or 139.45(b).
(2) Violates any provision of Labor Code Section 5433.
(3) Offers or implies that the advertiser can or will dissuade, delay or impede a claimant from pursuing a legitimate work injury claim; or can or will provide false or inaccurate evidence or opinion in support of or in opposition to a work injury claim.
(4) Fails to include the notice as specified in Labor Code Section 5432 or Title 8 CCR Section 9823(b).
(5) Fails to comply with any requirement of this article.
(6) Is placed in furtherance of business operations conducted in violation of law, or when the advertiser has not complied with any requirement of this article.
(f) Him, Himself or His.  These terms include “her”, “herself” or “hers” when the person is female, and “it”, “itself” or “its” when referring to an artificial person.
(g) Owner.  A person who has a direct or indirect ownership interest in a business which provides workers' compensation services, or a person who has a direct or indirect claim to all or a portion of the income of a business which provides workers' compensation services.
(h) Person.  Any natural or artificial person or combination of persons, including without limitation a corporation, partnership, trust, or unincorporated association.
(i) Physician.  A person who holds a valid, active license to practice in California at the time the advertisement governed by these regulations is published, as any of the following medical practitioners: a medical or osteopathic physician and surgeon; a psychologist; a chiropractor; a podiatrist; a dentist; or an optometrist.
(j) Referral panelist.  A person who will receive or has agreed to receive referrals of clients from a workers' compensation referral service.
(k) Workers' compensation services means services provided by any of the following:
(1) A workers' compensation medical or medical-legal provider, which means any person who provides medical treatment or evaluation of injuries or alleged injuries, including work injuries.
(2) A workers' compensation non-attorney advisor or representative, which means any person who is not an attorney who advises  or represents persons in connection with injuries or alleged injuries, including work injuries.
(3) A workers' compensation referral service, which means any person who refers persons to medical or medical-legal providers, non-attorney advisors or representatives, or attorneys who advise or represent persons in connection with injuries or alleged injuries, including work injuries.
(4) A workers' compensation advertiser, which means any person who advertises or solicits for any or all of the preceding three categories of persons.
This definition includes persons who provide services for several types of injuries, as long as work injuries are included.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New Article 8.1 and section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Amendment of article 8.1 heading filed 8-7-95; operative 8-7-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
§9821. Coverage and Exclusions.
Note     •     History

(a) This article does not apply to attorneys, as defined in Section 9820(d), or physicians, as defined in Section 9820(i).  Nothing in this article shall be construed to obviate or lessen the obligations of attorneys or physicians under Labor Code Sections 5430 through 5434, or under other provisions of law. A person who was not licensed to practice in California at the time of the act or omission is not considered an attorney or physician under this article, and these regulations apply to such a person.
(b) This article does not apply to government agencies, labor organizations as defined in Labor Code Section 1117, charitable organizations, or non-profit tax-exempt bar associations whose primary business or purpose is other than providing workers' compensation services as defined in Section 9820(k), or to agents or employees of any of these exempt entities while acting for them.
(c) This article does apply to all other advertisers, as defined in Section 9820(c), even though an advertiser who is subject to this article may also be subject to attorney or physician workers' compensation advertising laws because the person advertises with or for an attorney or physician.
(d) The provisions of this article are not exclusive.  The Administrative Director may use the remedies in this article and any other remedies provided by law.
(e) Any waiver of this article is void as against public policy.
(f) This article shall not be construed to authorize the unlawful practice of law or medicine by any person.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Amendment of subsection (a) filed 8-7-95; operative 8-7-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
§9822. Severability.
Note     •     History

If any portion of this article, or the application of any part of it to any person or circumstance, is held to be invalid, the rest of the article and its application to any other person or circumstance remain valid.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9823. General Workers' Compensation Advertising Rules.
Note     •     History

All advertisements shall comply with the following rules:
(a) No advertisement shall be false or misleading.
(b) All advertisements shall include the written or spoken fraud notices, in the manner set forth in Labor Code Section 5432(a), (b).
(c) If an advertisement includes a testimonial, it must not overstate or distort the facts or results of the person's case, and must qualify the testimonial by stating immediately before or after it: (1) that each person's case is different and that the reader's or viewer's results will not necessarily be the same as the example; (2) in the case of a spoken or pictorial testimonial when the speaker is not relating his or her own experience, that the reader, model or performer is an actor and not the actual person involved in the case.  The advertisement must give the qualifying information in a similar manner and with similar emphasis as the testimonial.
(d) The advertiser must identify himself either by his true legal name or by a fictitious business name that was duly filed under Division 7, Part 3, Chapter 5 of the Business & Professions Code before using the fictitious name in an advertisement, and which fictitious name filing had not expired at the time of the advertisement.  However, no such advertised name shall violate subsection (e).  Notwithstanding the general provisions of the fictitious business name law, an advertiser must file its fictitious business statement before using it in an advertisement.
(e) An advertisement for a person who is not a physician (as defined in Section 9820(i)) may not use the terms “medical”, “physician”, or “doctor”; nor a term describing a specific area of medical practice such as “surgeon”, ”osteopath”, “psychologist”, “chiropractor”, “podiatrist”, “dentist”, “optometrist”, etc.; nor their linguistic variants; nor any similar designation implying that the person is a physician; in  the advertiser's name or to describe the advertiser's services.  In addition, an advertisement for a person who is not licensed as a physician in the specific area of medical practice named in the advertisement may not include a term describing a specific area of medical practice.  However, an advertisement for a medical referral service may use the terms as provided in Section 9828(a).
(f) An advertisement for a person who is not an attorney (as defined in Section 9820(d)) may not use the terms “legal”, “attorney”, “law firm”, “law office”, “law center”, “counselor at law”, “specialist in workers' compensation law”; nor their linguistic variants; nor any similar designation implying that the person is an attorney; in the advertiser's name nor to describe the advertiser's services.  However, an advertisement for a legal referral service may use the terms as provided in Section 9828(b).
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9824. Identification as Representative.
Note     •     History

An advertisement for a workers' compensation non-attorney advisor or representative shall identify the advertiser as a non-attorney as follows: “The advertiser is a representative [or an advisor] who is not an attorney.”  This notice shall be advertised in the same manner (size, typeface, display, etc.) required for the notice specified in Section 9823(b).
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9825. Representative's WCAB Qualification.
Note     •     History

No person shall advertise as or on behalf of a non-attorney advisor or representative whose right to practice before the Workers' Compensation Appeals Board is suspended or revoked when the advertisement is published.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9826. Advertisement by Unlicensed Attorney.
Note     •     History

No person shall advertise as or on behalf of a non-attorney advisor or representative whose California license to practice law is suspended or revoked when the advertisement is published, without stating in the advertisement: “The advertiser is a representative [or an advisor] whose license to practice law has been suspended [or revoked].”  This notice shall be advertised in the same manner (size, typeface, display, etc.) required for the notice specified in Section 9823(b).  This section does not permit advertising by a person whose right to practice before the WCAB, as well as his license to practice law, is suspended or revoked.
NOTE

Authority cited: Sections 59, 13, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9827. Advertisement by Unlicensed Medical Provider.
Note     •     History

No person shall advertise medical goods or services whose provision requires a license, by or on behalf of a person who does not hold a valid, active license to provide the goods or services when the advertisement is published.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9828. Use of Terms “Medical”, “Legal”, or Comparable Terms.
Note     •     History

An advertisement for workers' compensation referral services shall not use any of the following terms or their linguistic variants, nor any similar designation, in its name or to describe its services: (1) “medical”, “physician”, or “doctor”; (2) a term describing a specific area of medical practice such as “surgeon”, “osteopath”, “psychologist”, “chiropractor”, “podiatrist”, “dentist”, “surgeon”, “optometrist”, or the like; (3) “legal”, “attorney”, “law firm”, “law office”, “law center”, “counselor at law”, “specialist in workers' compensation law”, except:
(a) An advertisement for a medical referral service may use the terms “medical referral” or “physician referral” if the service refers persons who respond to the advertisement only to physicians (as defined in Subsection 9820(i)).  It may also use the term “medical referral” if it refers for goods or services by medical providers outside the fields of practice listed in subsection 9820(i), only to persons licensed to provide those other goods or services.  It may use the term “referral” preceded by the name of a specific type of physician, such as “chiropractic referral”, “podiatric referral”, etc., if it restricts its referrals to physicians of the type named.
(b) An advertisement for a legal referral service may use the terms “legal referral” or “attorney referral” if the service refers persons who respond to the advertisement only to attorneys (as defined in Subsection 9820(d)).
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9829. Information Required from Referral Panelists.
Note     •     History

Each advertiser of workers' compensation referral services shall require each medical, legal or non-attorney advisor or representative who will receive referrals from the referral service to supply the following information in writing, before receiving any referrals:
(a) In the case of all referral panelists, the information required by Section 9831.
(b) In the case of all referral panelists, an agreement that the panelist will inform the referral service in writing of any change in the information supplied, within 10 days of the change.
(c) In the case of an attorney, physician or other medical care referral panelist, the date the panelist was licensed to practice in California (if a license is required for that field of practice); that the license is then active and in good standing; and the panelist's specialty area of practice, if any, including the name of any specialty board or certification and date of that certification which the panelist holds.
(d) In the case of a non-attorney advisor or representative, a statement that the panelist is then entitled to appear before the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9830. Information Supplied to Referral Panelists.
Note     •     History

Each advertiser of workers' compensation referral services shall give each referral panelist a copy of each advertisement it will use to refer clients to the panelist, on or before the date the advertisement is published.  The advertiser shall notify the panelist in writing, with the copy of the advertisement, that the panelist may object to the advertiser's using that advertisement to attract or refer clients to the panelist.  If a panelist notifies the service that (s)he objects to the advertisement, the service shall not refer any clients who respond to that advertisement to a panelist who objected to it.
The advertiser shall maintain written records of each objection to an advertisement, containing a copy of the advertisement, the identity of the panelist who objected to it, and the date of the objection.  During the period any objection is in force to an advertisement then being published, the advertiser shall ask each respondent to identify the advertisement to which the person is responding, and shall not refer the respondent to any panelist who objected to that advertisement.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9831. Registration Statement.
Note     •     History

Every advertiser shall prepare, retain, and make available to the administrative director upon request a written registration statement.  The information in the statement shall be verified by a declaration under penalty of perjury signed by the advertiser (if an individual), or by each owner of the advertiser (if a business entity).  Whenever a material change occurs in the information in the statement, the advertiser shall within 10 days of the change revise the statement.
The statement shall contain the following information:
(a) The full legal name of the advertiser, and any other name(s) under which the person will advertise or do business.
(b) The advertiser's business form and place of organization; if the advertiser is a corporation, a copy of its articles of incorporation and bylaws and any amendments to them; if the advertiser is a partnership, a copy of the partnership agreement and any amendments to it; if the advertiser is an unincorporated organization a copy of its written organizational documents and any amendments to them; if the advertiser has filed or uses a fictitious business name, a copy of each fictitious business name statement showing the place(s) of filing.
(c) The complete street address or addresses of all locations at which the advertiser does or proposes to do business, and a designation of one such location in California as its principal place of business in the state.
(d) A listing of all telephone numbers to be used by the advertiser and the address where each telephone using each of these telephone numbers is located.
(e) The name of, and the office held by, the advertiser's officers, directors, trustees, general and limited partners, sole proprietor, and owners, as the case may be, and the names of those persons who have management responsibilities in connection with the advertiser's business activities.
(f) For each person whose name is disclosed under subdivision (e): the complete address of his principal residence; his driver's license number and state of issuance; and the number, licensing agency, and status of each professional license (s)he holds.
(g) A statement identifying any person disclosed under subdivision (e) who:
(1) has been convicted of or has pleaded guilty or no contest to a felony or misdemeanor violation of any offense related to workers' compensation, or of fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property; or
(2) is or has been the subject of any civil or administrative action alleging acts in violation of any workers' compensation law, or of fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property, or of the use of unfair, unlawful, or deceptive business practices.
The statement shall identify the person, court or administrative agency in which the case was filed, the case number, title of the case, and the result of the case.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9832. Maintenance of and Access to Records.
Note     •     History

Every advertiser shall maintain the following records, at its principal place of business in California, of its business of providing workers' compensation services:
(a) Complete financial records using generally accepted accounting principles, as defined by the American Institute of Certified Public Accountants and the Financial Standards Board.
(b) A copy of all of its workers' compensation advertisements (whether in print, video or audio media) published within the preceding two years.  The records shall include a copy of the advertisement and the dates and places of each publication, including as applicable the name and city of publication of a periodical, or the station call letters and city location of any radio or television station.
(c) Its registration statement required by Section 9831.
(d) For workers' compensation referral services, a record of all objections to advertisements as required by Section 9830.
(e) For workers' compensation referral services, a single record listing all referral panelists, including each panelist's: (1) name; (2) address(es) at which (s)he will consult with clients; (3) profession, professional license number and state of issuance; (4) if the panelist works for a business, the name of the business and his status with it (owner, employee or independent contractor); (5) date (s)he became a panelist; and (6) the date (s)he ended the status as a panelist if applicable.
The service shall update the record to show any change in a panelist's status within 10 days of knowledge of the change.  The record shall continue to list each panelist who ends his status as such, for two years after the person's status as a panelist ended.
(f) The advertiser shall maintain all records required by this section for at least two years after: (1) for advertisements, the date of its last publication; (2) for financial records, the end of the calendar year to which the records refer in whole or in part; (3) for registration statements or statement changes, the end of the calendar year to which the statement or change relates; (4) for objections to advertisements, the later of the date of the objection or the date the advertisement was last published; (5) for the combined listing of referral panelists required by Subsection (e) (in its current updated form), the date the service publishes its last advertisement.
(g) The advertiser shall make all records required by this section available for inspection and copying by any representative of the Department of Industrial Relations, the Department of Justice, or district or city attorney, during the advertiser's normal business hours but at least between 9:00 a.m. and 5:00 p.m. Monday through Friday (excepting holidays).  In addition, if necessary in the judgment of the inspector to protect the integrity of an investigation, the advertiser shall allow, and an inspector may conduct or continue inspection and copying during other hours or days.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code; Sections 11180-11191, Government Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9833. Right to Conduct Investigation.
Note     •     History

The Administrative Director may investigate any violation of this article, of the Workers' Compensation Truth in Advertising Act of 1992 (Labor Code §§5430 et seq.), of Section 139.43 of the Labor Code, or of any other provision of law now or hereafter enacted concerning workers' compensation advertising by persons other than attorneys or physicians.  For this purpose (s)he may employ all rights and remedies possessed or delegated under Government Code §§11180 et seq.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code; Sections 11180-11191, Government Code.  
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9834. Order to Produce Documents or Provide Information.
Note     •     History

The Administrative Director may issue and serve on any advertiser, or the advertiser's employees or agents, an order requiring the advertiser, employee or agent to provide information, copies and access to any information related to workers' compensation advertising subject to regulation under this article.  The advertiser, employee or agent shall comply with the order within the time specified in it.  The Administrative Director may serve the order by any method reasonably calculated to give notice to the person served. 
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 133.49(a), (b), (d), 139.45 and 5430-5434, Labor Code; Sections 11180-11191, Government Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
2. Editorial correction of Note (Register 98, No. 46).
§9835. Compliance Orders.
Note     •     History

(a) The Administrative Director may issue and serve on any advertiser, or the advertiser's employees or agents, a compliance order requiring the advertiser, employee or agent to cease and desist from committing any violation, or to comply with any requirement, of this article.  The Administrative Director may serve the order by any method reasonably calculated to give notice to the person served.
(b) The Administrative Director's order may include, but is not limited to, the following provisions: (1) an order to stop using an advertisement or to use it only with specified modifications; (2) an order to advertise or otherwise disseminate corrective information, either by the advertiser at its expense, or by the Administrative Director at the advertiser's expense; (3) an order to pay the Administrative Director's investigation and enforcement costs.
(c) The advertiser, employee or agent shall comply with the order within the time specified in it.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9836. Other Remedies; Cumulative Remedies.
Note     •     History

The Administrative Director may institute civil proceedings against any person for violation of this article or of the statutes which may be investigated under this article, or may refer any violation for civil, criminal or professional disciplinary proceedings to the Attorney General, a district or city attorney, or other authorities having jurisdiction of the matter.
The Administrative Director's remedies in this article are cumulative and not exclusive, and the exercise of any or all of them is discretionary.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
§9837. Hearing.
Note     •     History

(a) Any person aggrieved by an order issued under Sections 9834 or 9835 may request a hearing before the administrative director or an administrative law judge which shall be shall be held in accordance with the Administrative Procedure Act {Chapter 5, (commencing with Section 11500), of Part 1 of Division 3 of Title 2 of the Government Code}, and the administrative director shall have all of the powers granted under that act.
NOTE

Authority cited: Sections 59, 133, 139.43(b) and 5307.3, Labor Code.  Reference: Sections 7, 139.43(a), (b), (d), 139.45 and 5430-5434, Labor Code.
HISTORY

1. New section filed 12-31-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 53).
Article 8.5. Employee Information
§9880. Written Notice to New Employees.
Note     •     History

(a) Every employer shall provide to every new employee, either at the time of hire or by the end of the first pay period, the Written Notice to New Employees concerning the rights, benefits and obligations under worker's compensation law. The content of the notice must be approved by the Administrative Director.
(b) The notice shall be easily understandable. It shall be available in both English and Spanish where there are Spanish-speaking employees.
(c) The notice provided shall be in writing, in non-technical terms and shall include the following information:
(1) The name of the current compensation insurance carrier of the employer at the time of distribution, or when such is the fact, that the employer is self-insured, and who is responsible for claims adjustment;
(2) How to get emergency medical treatment, if needed;
(3) The kind of events, injuries and illnesses covered by workers' compensation;
(4) The injured employee's right to receive medical care;
(5) How to obtain appropriate medical care for a job injury;
(6) The role and function of the primary treating physician;
(7) The rights of the employee to select and change the treating physician pursuant to the provisions of Labor Code Sections 4600 to 4601, including the right to predesignate a personal physician or medical group;
(8) A form that the employee may use as an optional method for notifying the employer of the name of the employee's “personal physician,” as defined by Labor Code Section 4600, or “personal chiropractor,” as defined by Labor Code Section 4601;
(9) The rights of the employee to receive temporary disability indemnity, permanent disability indemnity, supplemental job displacement benefits, and death benefits, as appropriate;
(10) To whom the injuries should be reported;
(11) The existence of time limits for the employer to be notified of an occupational injury;
(12) The protections against discrimination provided pursuant to Section 132a; 
(13) The location and telephone number of the nearest information and assistance officer, including an explanation of services available; and
(14) A description about Medical Provider Networks (“MPN”) which includes that the employer may be using a MPN, what a MPN is, the predesignation exemption from the MPN, when an employee must begin to use a physician from the MPN, and how to request information about using a MPN.  
NOTE

Authority cited: Sections 133, 138.3, 138.4, 3550, 3551, 4603.5 and 5307.3, Labor Code. Reference: Sections 132(a), 139.6, 3550, 3551, 3600, 4600, 4601, 4603, 4650, 4651, 4656, 4658.5, 4658.6, 4700, 4702, 4703, 5400 and 5401, Labor Code.
HISTORY

1. New Article 8.5 (Sections 9880-9882) filed 1-28-76 as an emergency; effective upon filing (Register 76, No. 5).
2. Certificate of Compliance filed 1-29-76 (Register 76, No. 5).
3. Repealer and new section filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
4. Amendment filed 10-16-81; effective thirtieth day thereafter (Register 81, No. 42).
5. Editorial correction restoring Article 8.5 (Sections 9880-9883), which was inadvertently repealed by a 7-15-83 order (Register 83, No. 33).
6. Repealer and new section filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
7. Amendment of section and Note filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
8. Amendment of subsections (c)(7), (c)(9) and (c)(12)-(13), new subsection (c)(14) and amendment of Note filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9881. Posting of Notice to Employees.
Note     •     History

(a) Every employer shall post and keep posted in a conspicuous location frequented by employees during the hours of the workday a Notice to Employees.
(b) The Notice to Employees poster shall be easily understandable. It shall be posted in both English and Spanish where there are Spanish-speaking employees.
(c) The Notice to Employees poster shall include the following information:
(1) The name of the current compensation insurance carrier of the employer, or when such is the fact, that the employer is self-insured, and who is responsible for claims adjustment.
(2) How to get emergency medical treatment, if needed.
(3) Emergency telephone number(s), for hospital, ambulance, police and firefighting services.
(4) The kinds of events, injuries and illnesses covered by workers' compensation. 
(5) Advice that the employer may not be responsible for compensation because of an injury due to the employee's voluntary participation in any off-duty recreational, social, or athletic activity that is not a part of the employee's work-related duties.
(6) The injured employee's right to receive medical care.
(7) The rights of the employee to select and change the treating physician pursuant to the provisions of Labor Code Section 4600, including the right to predesignate a personal physician or medical group.
(8) The rights of the employee to receive temporary disability indemnity, permanent disability indemnity, supplemental job displacement benefits, and death benefits, as appropriate.
(9) To whom the injuries should be reported.
(10) The existence of time limits for the employer to be notified of an occupational injury.
(11) The protections against discrimination provided pursuant to Labor Code Section 132a.
(12) The location and telephone number of the nearest information and assistance officer.
(13) A description about Medical Provider Networks (“MPN”) which includes what a MPN is, the predesignation exemption from the MPN, when an employee must begin to use a physician from the MPN, and how to request information about using a MPN. The MPN Contact telephone number, address and, if available, the MPN website address/URL shall be included. The effective date of MPN coverage for the MPN being used by the employer to cover current injuries shall also be stated if the employer is using an MPN.
(d) The employer may post the Administrative Director's approved Notice to Employee Poster provided in Section 9881.1. If the employer chooses not to use the Notice to Employee Poster provided in Section 9881.1, the employer may use a poster which meets the posting requirements of Labor Code Section 3550, includes the information required by this regulation, and has been approved by the Administrative Director.
NOTE

Authority cited: Sections 133, 138.3, 139.6, 3550, 4603.5 and 5307.3, Labor Code. Reference: Sections 132(a), 139.6, 3550, 3600, 4600, 4601, 4603, 4616, 4656, 4658.5, 4658.6, 5400 and 5401, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
2. Amendment of section heading, section and Note filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
3. Amendment of subsections (c)(3) and (c)(7)-(8), new subsection (c)(13), redesignation of second subsection (c) as new subsection (d) and amendment of Note filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9881.1. Notice to Employees Poster.
Note     •     History

View Graphic

View Graphic
NOTE

Authority cited: Sections 133, 138.3, 139.6, 3550, 4603.5 and 5307.3, Labor Code. Reference: Sections 132(a), 139.6, 3550, 4600, 4600.3, 4601, 4603, 4604.5, 4616, 4656, 4658.5, 4658.6, 5400, 5401 and 5402, Labor Code.
HISTORY

1. New section filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
2. Amendment of section and Note filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§9882. Written Notice to Injured Employees; Pamphlet Contents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.3, 138.4, 139.6, and 5402, Labor Code. Reference: Sections 132(a), 139.5, 3600, 4600, 4601, 4650, 4658, 4700, 4701, 4702, 4703, 4401-4411 and 5400-5412, Labor Code.
HISTORY

1. Repealer and new section filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
2. Repealer filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
§9883. Publication of Information, Approval, Spanish Translation.
Note     •     History

(a) Insurers, employers or private enterprises may prepare and publish for their use or sale the Notice to Employees poster and/or the Written Notice to New Employees required by this Article upon prior approval of the form and content by the Administrative Director. The Notice to Employees poster and/or Written Notice to New Employees may include a logotype. The addition only of a logotype to a previously approved Notice to Employees poster or Written Notice to New Employees does not require additional approval.
(1) Any published Written Notice to New Employees shall be available in English and Spanish and shall include the information specified in Section 9880.
(2) Any published Notice to Employees poster shall be available in English and Spanish, where there are Spanish-speaking employees, and shall include the information specified in Section 9881.
(b) All matter published subsequent to the effective date of this regulation shall indicate that the written informational material has been approved by the Administrative Director.
(c) Publications other than those of the Administrative Director or the Workers' Compensation Appeals Board may reflect the employer, private publisher or insurance carrier identifier or logotype.
NOTE

Authority cited: Sections 133, 139.6, 3550, 3551 and 5307, Labor Code. Reference: Sections 139.6, 3550 and 3551, Labor Code.
HISTORY

1. New section filed 7-27-79; effective thirtieth day thereafter (Register 79, No. 30).
2. Change without regulatory effect of NOTE filed 7-11-86; effective upon filing (Register 86, No. 28).
3. Repealer and new section filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
4. Amendment of section and Note filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
§9884. Exceptions.
Note     •     History

The requirements of this article shall not apply to injuries where the employee files an application for adjudication of claim with the appeals board.
NOTE

Authority cited: Sections 138.4, Labor Code. Reference: Section 5402, Labor Code.
HISTORY

1. New section filed 7-11-89; operative 10-1-89 (Register 89, No. 28).
2. Editorial correction to History 1 (Register 96, No. 52).
Article 9. Computation of Life Pensions, Tables for [Repealed]
HISTORY

1. Repealer of article 9 (section 9885) and section filed 1-17-2001; operative 1-17-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 3). 
Article 10. Employee Death, Notice of
§9900. Employer.
Note     •     History

(a) Each employer shall notify the Administrative Director of the death of every employee, regardless of the cause of death, except where the employer has actual knowledge or notice that the deceased employee left a surviving minor child.
(b) Notification shall be made on the Division of Industrial Accidents Form 510, “Notice of Employee Death” (See Section 9910).
(c) The Notice of Employee Death shall be filed within 60 days of the employer's notice or knowledge of the employee death.
(d) The employer may forward the “Notice of Employee Death” to his workmen's compensation insurer for subsequent submission to the Administrative Director.
NOTE

Authority cited: Sections 133, 138.2, 138.3, 139.5, 139.6, 4603.2, 4603.5, 5307.1, 5307.3, 5450-5455, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46). For prior history, see Register 73, No. 28.
§9905. Notice.

If the Notice required in Section 9900 is incomplete or otherwise deficient, the Administrative Director may require a further explanation or additional information from the employer, or his insurance carrier.
§9910. DIA Form 510: Notice of Employee Death.
History

View Graphic
HISTORY

1. Amendment filed 7-11-73 as an emergency; effective upon filing. Certificate of Compliance included (Register 73, No. 28).
2. Amendment filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
3. Repealer and new section filed 8-29-84; effective thirtieth day thereafter (Register 84, No. 35).
§9914. Reproduction of Form 510, Notice of Employee Death.
History

(a) Employers and insurers may reproduce DIA Form 510, in which the heading may be rearranged to permit printing of:
(1) The insurance carrier's or employer's name, address and telephone number.
(2) Instructions for forwarding the form and number of copies required.
(b) The spacing, arrangement, sequence or language shall not otherwise be altered.
HISTORY

1. Amendment filed 7-11-73 as an emergency; effective upon filing. Certificate of Compliance included (Register 73, No. 28).
§9918. Service on Administrative Director.

The Notice of Employee Death, DIA Form 510, shall be mailed to the Administrative Director, Division of Industrial Accidents, P. O. Box 42400, San Francisco, California 94142.
This P. O. Box is to be used only for the notices required in Section 9900 and not for any other functions of the Administrative Director or Division of Industrial Accidents.
Article 10.5. Operation of the Information and Assistance Program of the Division of Workers' Compensation
§9920. Authority. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 127, 133, 138.2, 138.3, 139.5, 139.6, 4603.2, 4603.5, 5307.1, 5307.3, 5451-5454, Labor Code.
HISTORY

1. New Article 10.5 (Sections 9920-9929) filed 11-9-77; effective thirtieth day thereafter (Register 77, No. 46).
2. Repealer filed 10-16-81; effective thirtieth day thereafter (Register 81, No. 42).
3. Amendment of Article 10.5 heading filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9921. Operative Date.

The provisions of this Article are effective immediately upon adoption.
§9922. Purpose.
Note     •     History

This Article is being adopted to implement Section 139.6 and Article 2.5 of Part 4 of Division 4 of the Labor Code by providing that the State, through the Division of Workers' Compensation, establish an affirmative impartial service to employees, employers, claims administrators, labor unions, medical providers, and all others subject to or interested in the workers' compensation laws of the State of California. This service shall be provided so that all such parties are informed of the provisions of the workers' compensation laws, that benefits due are paid promptly, that disputes and misunderstandings are resolved informally insofar as possible, and that premature and unnecessary litigation be minimized.
NOTE

Authority cited: Sections 133, 139.6, 5307.3 and 5450, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9923. Designation.
Note     •     History

(a) Pursuant to Labor Code Section 139.6, the Administrative Director shall appoint a person or persons thoroughly familiar with the Workers' Compensation Program in California to be responsible for informing the general public, labor unions, employees, employers, claims administrators, medical providers and all other interested parties of the rights, benefits and obligations of the workers' compensation law, including the creation and existence of the Information and Assistance Program.
(b) In each district office of the Division of Workers' Compensation (Workers' Compensation Appeals Board) and at the Division headquarters the Administrative Director shall appoint an Information and Assistance Officer, and such Deputy Information and Assistance Officers as the work of the district office and headquarters may require. The Administrative Director shall provide office facilities and clerical support appropriate to the functions of such Information and Assistance Officer.
NOTE

Authority cited: Sections 133, 139.6, 5307.3 and 5450, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9924. Scope of Duties.
Note     •     History

Each Information and Assistance Officer shall be responsible for the performance of the following duties:
(a) Provide continuing information concerning the rights, benefits and obligations under the workers' compensation laws of the State of California to employees, employers, medical providers, claims administrators and other interested parties.
(b) Assist in the prompt resolution of misunderstandings, disputes, and controversies arising out of claims for compensation, without formal proceedings, to the end that full and timely compensation benefits are furnished.
(c) Distribute such information pamphlets in English, Spanish and other languages as needed that have been prepared and approved by the Administrative Director to all inquiring employees and to such other parties that may request copies of the same.
(d) Establish and maintain liaison with the persons located in the geographic area served by the district office, with other affected State agencies, with organizations representing employees, employers, claims administrators and the medical community.
(e) Discharge such other duties consistent with the purposes of this Article as from time to time may be delegated by the Administrative Director.
NOTE

Authority cited: Sections 133, 139.6, 5307.3 and 5451, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment of subsections (a), (c) and (d) filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9925. Use of Other Division Facilities.
Note     •     History

In undertaking his or her duties, the Information and Assistance Officer may use the services of the Industrial Medical Council, the Disability Evaluation Unit, the Rehabilitation Unit, the Audit Unit and any other unit or units of the Division of Workers' Compensation available to aid in the resolution of disputes.
Copies of medical reports, permanent disability rating evaluations, earnings data and other pertinent information obtained by the Information and Assistance Officer shall be furnished to all parties involved in a dispute.
NOTE

Authority cited: Sections 133, 136.6, 5307.3 and 5451, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9926. Referrals to a Qualified Medical Evaluator.
Note     •     History

Upon the submission of a matter to an Information and Assistance Officer, the Officer, with the agreement of a party to pay the cost and with the consent of an unrepresented employee, may request that the Administrative Director direct the injured employee to be examined by a Qualified Medical Evaluator selected by the Medical Director, within the scope of the qualified medical evaluator's professional training, for the purpose of addressing any pertinent clinical question other than those issues specified in Labor Code Section 4061.
NOTE

Authority cited: Sections 133, 139.6, 5307.3, 5451 and 5703.5(b), Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment of section heading and section filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9927. Jurisdiction.
Note     •     History

(a) Any party to a claim may consult with an Information and Assistance Officer at any time to seek advice and assistance in the resolution of any misunderstanding, dispute, or controversy. The request for assistance need not be in writing, or be in any particular form, but it shall apprise the Information and Assistance Officer of the nature of the dispute and any other pertinent information to facilitate an appropriate inquiry by the Information and Assistance Officer. The Information and Assistance Officer shall communicate with the parties and provide information and assistance in resolving disputes.
(b) If an Application for Adjudication of Claim has been filed with the Workers' Compensation Appeals Board, any party may consult with an Information and Assistance Officer to seek assistance in resolving controverted issues or misunderstandings at any time prior to the filing of a Declaration of Readiness to Proceed. If the employee is not represented or by consent of the parties, the Information and Assistance Officer may continue to provide assistance after a filing of a Declaration of Readiness to Proceed.
(c) The Information and Assistance Officer shall provide assistance to asbestos workers in obtaining benefits from the Asbestos Workers' Account and/or the responsible employer pursuant to Section 4410 of the Labor Code.
(d) When the injured worker is not represented by an attorney or other representative, and either a Compromise and Release agreement or Stipulations with Request for Award, other than those presented at or subsequent to a regularly scheduled hearing, has been filed with the Workers' Compensation Appeals Board, the information and assistance officer shall: review the documents; contact the parties when indicated; coordinate with other units within the Division of Workers' Compensation; seek to determine that the employee is aware of the significance of the agreement; and make recommendations to the parties and the workers` compensation judge. The Manager of the Information and Assistance Unit shall notify the Presiding Workers' Compensation Judge when this service cannot be provided timely.
NOTE

Authority cited: Sections 133, 139.6, 5307.3 and 5451, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment filed 10-16-81; effective thirtieth day thereafter (Register 81, No. 42).
2. Amendment filed 7-15-83; effective thirtieth day thereafter (Register 83, No. 30).
3. Editorial correction of 7-15-83 order redesignating effective date to 8-1-83 pursuant to Government Code Section 11346.2(d) filed 7-19-83 (Register 83, No. 30).
4. Repealer of subsection (d), subsection relettering and amendment of newly designated subsection (d) filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9928. Procedures for Mediation and Recommendations.
Note     •     History

(a) The Information and Assistance Officer is not bound by technical or formal rules of procedure but may make inquiries into any matter referred to him or her in a manner best suited to protect the rights of all parties and to achieve substantial justice.
(b) When there is a dispute regarding the provision of workers' compensation benefits, the employee, claims administrator or any party may request the Information and Assistance Officer to mediate the dispute. The Information and Assistance Officer will attempt to resolve the dispute by mediation, which may include a conference. The officer shall make appropriate inquiries to determine the contentions of the parties, identify the matters which may prevent amicable resolution, and afford all parties an opportunity to present their positions.
(c) In the event a dispute is not resolved through mediation, the Information and Assistance Officer shall issue a recommendation as soon as possible.
(d) In order to toll the statutes of limitations pursuant to Section 5454 of the Labor Code, the Information and Assistance Officer must notify in writing all parties to any misunderstanding, dispute or controversy of the fact that said Information and Assistance Officer has taken under consideration the misunderstanding, dispute or controversy submitted to him or her for a recommendation.
(e) Upon issuing a recommendation, the Officer shall advise the parties of his or her recommendation in a written communication which describes in non-technical terms the nature of the differences, the proposed resolution and the rationale used in arriving at that resolution. The communication shall also advise the parties that the tolling of any applicable statute of limitations will cease 60 days after the issuance of the recommendation, and shall further advise the parties of their right to obtain a decision from the appeals board if the recommendation is not accepted by the parties. In the event a party does not accept the recommendation of the Information and Assistance Officer, the party must notify all other parties in writing within 30 days of receipt of the recommendation. Where the Information and Assistance Officer feels that further mediation may resolve the dispute, he or she will notify the parties of the availability of the Information and Assistance Officer to provide such further mediation.
NOTE

Authority cited: Sections 133, 139.6, 5307.3, 5451 and 5453, Labor Code. Reference: Sections 5450-5455, Labor Code.
HISTORY

1. Amendment of section heading and subsections (b), (c) and (e) filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 7).
§9928.1. Procedures for Asbestos Workers.
Note     •     History

When consulted by an asbestos worker or his/her representative, the Information and Assistance Officer shall aid the worker in procuring those records, reports and other information which are necessary for the identification to responsible employers and insurance carriers, and in obtaining information required by the Asbestos Workers' Account before payments may be made pursuant to Section 4406.
NOTE

Authority cited: Sections 5307.3 and 5451, Labor Code. Reference: Sections 139.6, 4410 and 5451, Labor Code.
HISTORY

1. New section filed 10-16-81; effective thirtieth day thereafter (Register 81, No. 42).
§9929. Costs.

(a) Except as otherwise provided by this Section or by Section 5452 of the Labor Code, no fees or costs shall be charged to any party for services provided by the Division of Industrial Accidents under this Article.
(b) If the employee is represented, such representative may request that the Information and Assistance Officer refer the matter to a Workers' Compensation Judge for the determination of the value of the services of such representative. The Information and Assistance Officer shall, thereafter, refer such request to the Presiding Judge of the office which has jurisdiction over the claim.
Article 11. Document Copy and Electronic Transaction Fees
§9990. Fees for Transcripts; Copies of Documents; Certifications; Case File Inspection; Electronic Transactions
Note     •     History

The Division will charge and collect fees for copies of records or documents. For the purposes of this section, “records” includes any writing containing information relating to the conduct of the public's business which is prepared, owned, or used by the Division, regardless of the physical form or characteristics. “Writing” means handwriting, typewriting, printing, photostatting, photographing and every other means of recording any form of communication thereof, and all papers, maps, magnetic tapes, photographic films and prints, electronic facsimiles, any form of stored computer data, magnetic cards or disks, drums, and other documents.
Fees will be charged and collected by the Division as follows:
(a) For copies of papers, records or documents, not certified or otherwise authenticated, one dollar ($1.00) for the first copy and twenty cents ($0.20)  for each additional copy of the same page, except to the injured worker to whom the fee will be ten cents ($.10) per page.
(1) State sales tax and postage will be added to this fee.
(b) For certification of copies of official records or documents and orders of evidence taken or proceedings had, ten dollars ($10.00) for each certification.
(1) Where the Division is requested to both copy and certify a document, the fee is the sum of the fees prescribed in (a) and (b) above.
(c) For paper transcripts of any testimony,  three dollars ($3.00) for each page of the first copy of transcripts; thereafter, one dollar and fifty cents ($1.50) for each page of additional copies of the transcript.
(1) Sales tax and postage will be added to this fee.
(2) Transcripts delivered on a medium other than paper shall be compensated at the same rate set for paper transcripts, except an additional fee shall be charged to cover the cost of the medium and any copies thereof.
(d) For inspection of a case file not stored in the place where the inspection is requested, ten dollars ($10.00) plus any postage or other delivery costs, except when requested by an injured employee or his or her attorney or his or her representative of record.
(e) For electronic records maintained by the Division:
(1) Listing of WCAB new case filings:
(A) $305.00 per transmission for WCAB new case opening records transmitted to the requester on tape.
(B) $85.00 per download for WCAB new case opening records transmitted to the requester by direct electronic download.
Paper copies of the WCAB new case opening records provided in addition to the electronic data will be subject to a separate charge of $0.10 per page, plus postage.
(2) Electronic response  to an electronic inquiry concerning a case's status, a lien's status, or other case specific information available in electronic form, through EDEX (the Division's Electronic Data Exchange program), twenty cents ($0.20) per transaction.
(3) The Division will provide electronic copies of WCAB new case opening records or EDEX access only pursuant to a written agreement with the administrative director.
(4) Copies of existing electronic records, other than those electronic records set forth in subsections (e)(1) or (e)(2), that constitute disclosable public records, will be provided as required by law, for the Division's actual costs of retrieving and transmitting the data, including programming and processing time, storage media, postage or shipping costs and sales tax. All programming and processing time required to create new data sorts of existing electronically maintained records will be charged at the Division's standard rate of $40.00 per hour, billed in fifteen (15) minute increments.
(f) Copies of Division records containing information that is privileged or otherwise non-disclosable will be redacted before release.
NOTE

Authority cited: Sections  127, 133, 138.7 and 5307.3, Labor Code. Reference: Sections 127 and 138.7, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 11-7-78; effective thirtieth day thereafter (Register 78, No. 45). For former history, see Registers 77, No. 46; 75, No. 32; and 73, No. 51.
2. Amendment filed 8-29-84; effective thirtieth day thereafter (Register 84, No. 35).
3. Amendment of article and section headings and text filed 1-28-94; operative 1-28-94 (Register 94, No. 4). Submitted to OAL for printing only pursuant to Government Code section 11351.
4. Amendment of section and Note filed 8-22-2000; operative 9-21-2000 (Register 2000, No. 34).
§9992. Payment of Fees in Advance.
Note     •     History

Payment of fees in Section 9990 must accompany the request, either in cash or by check or money order made payable to the Division of Workers' Compensation, except as otherwise provided in the establishment of payment accounts.
NOTE

Authority cited: Sections  127, 133 and 5307.3, Labor Code. Reference: Section 127, Labor Code.
HISTORY

1. Amendment filed 1-28-94; operative 1-28-94 (Register 94, No. 4). Submitted to OAL for printing only pursuant to Government Code section 11351.
§9994. Payment for Transcripts.
Note     •     History

For transcripts of testimony or other proceeding of record, a deposit fee based on the number of paper pages, as estimated by the division, shall be paid by the requesting party in advance. If the actual fee exceeds the deposit, the purchaser will be notified of the balance to be paid prior to release of the transcripts or any copies. Any excess deposit will be returned to the purchaser.
NOTE

Authority cited: Sections  127, 133 and 5307.3, Labor Code. Reference: Section 127, Labor Code.
HISTORY

1. Amendment of section heading and text filed 1-28-94; operative 1-28-94 (Register 94, No. 4). Submitted to OAL for printing only pursuant to Government Code section 11351.
Article 12. Return to Work
§10001. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 139.48 and 4658.1, Labor Code; Henry v. WCAB (1998) 68 Cal.App.4th 981.
HISTORY

1. New section filed 6-30-2006; operative 7-1-2006. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Government Code section 11340.9(g) (Register 2006, No. 38). For prior history, see Register 96, No. 52.
2. Renumbering of former section 10001 to section 10116.9 filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10002. Offer of Work; Adjustment of Permanent Disability Payments. [Renumbered]
Note     •     History

(4) The offer meets the conditions set forth in this section.
NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 139.48 and 4658, Labor Code; Del Taco v. WCAB (2000) 79 Cal.App.4th 1437; Anzelde v. WCAB (1996) 61 Cal. Comp. Cases 1458 (Writ denied);  and Henry v. WCAB (1998) 68 Cal.App.4th 981.
HISTORY

1. New section filed 6-30-2006; operative 7-1-2006. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Government Code section 11340.9(g) (Register 2006, No. 38). For prior history, see Register 96, No. 52.
2. Renumbering of former section 10002 to section 10117 filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10003. Form [DWC AD 10003  Notice of Offer of Work]. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 139.48 and 4658, Labor Code. 
HISTORY

1. New section filed 6-30-2006; operative 7-1-2006. Submitted to OAL for filing with the Secretary of State and printing only pursuant to Government Code section 11340.9(g) (Register 2006, No. 38). For prior history, see Register 96, No. 52.
2. Renumbering of former section 10003 to section 10118 filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10004. Return to Work Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 62.5, 139.48 and 5814.6, Labor Code.
HISTORY

1. New article 12 (sections 10004-10005) and section filed 7-19-2006; operative 8-18-2006 (Register 2006, No. 29). For prior history of article 12 (sections 10001-10021), see Register 88, No. 21; Register 95, No. 7 and Register 96, No. 52.
2. Renumbering of former section 10004 to section 10119 filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10005. Form [DWC AD 10005 Request for Reimbursement of Accommodation Expenses]. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 62.5, 139.48 and 5814.6, Labor Code.
HISTORY

1. New section filed 7-19-2006; operative 8-18-2006 (Register 2006, No. 29). For prior history, see Register 96, No. 52.
2. Renumbering of former section 10005 to section 10120 filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10006. Notice to Employee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10007. Reports to Bureau. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10007.1. Entitlement Issues. [Repealed]
Note     •     History

NOTE

Authority cited: Section 139.5, Labor Code. Reference: Section 133, Labor Code.
HISTORY

1. New section filed 6-15-81; effective thirtieth day thereafter (Register 81, No. 25).
2. Repealer filed 5-17-88; operative 7-1-88 (Register 88, No. 21).
§10008. Identification of Need for Vocational Rehabilitation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10009. Initiation of Vocational Rehabilitation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 79, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10010. Independent Vocational Evaluators. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 75, No. 1.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10011. Vocational Rehabilitation Plans. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10012. Plan Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 79, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10013. Entitlement Issues. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10014. Bureau Resolution of Disputes. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 79, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10015. Interruption of Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10016. Conclusion of Vocational Rehabilitation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10017. Reinstatement of Vocational Rehabilitation Benefits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. Repealer and new section filed 5-17-88; operative 7-1-88 (Register 88, No. 21). For prior history, see Register 83, No. 30.
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10018. Vocational Rehabilitation Temporary Disability Indemnity. [Repealed]
Note     •     History

NOTE

Authority cited Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. New section filed 5-17-88; operative 7-1-88 (Register 88, No. 21).
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10019. Bureau File Retention. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. New section filed 5-17-88; operative 7-1-88 (Register 88, No. 21).
2. Renumbering and amendment of former section 10019 to section 10134 filed 2-16-95; operative 2-16-95. Submitted to OAL for printing only pursuant to Government Code §11351 (Register 95, No. 7).
§10020. Enforcement of Notice and Reporting Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. New section filed 5-17-88; operative 7-1-88 (Register 88, No. 21).
2. Repealer of section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
§10021. Rehabilitation of Industrially Injured Inmates. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Chapter 1435, 1974 Stats.
HISTORY

1. New section filed 5-17-88; operative 7-1-88 (Register 88, No. 21).
2. Renumbering of former section 10021 to new section 10133.4 filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
Subchapter 1.5. Injuries on or After January 1, 1990
Article 1. Audit, General Definitions
§10100. Definitions--Prior to January 1, 1994.
Note     •     History

The following definitions apply in Articles 1 through 7 of this Subchapter for injuries occurring on or after January 1, 1990 and before January 1, 1994. 
(a) Adjusting Location. The office where claims are administered.
(b) Administrative Director. The Administrative Director of the Division of Workers' Compensation or his/her duly authorized representative. 
(c) Audit. Any audit performed by the Audit Unit of the Division of Workers' Compensation pursuant to Labor Code Sections 129 and 129.5.
(d) Claims Administrator. A self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority. 
(e) Claim File. A record, either in legible paper or electronic form which can be produced into legible paper, containing all of the information specified in Section 10101 and related documents pertaining to a given work-injury claim. 
(f) Claim Log. A handwritten or printed ledger maintained by the claims administrator listing each work injury case by the date the injury was reported to the claims administrator and listing the date of injury. The claim log contents are specified in Section 10103. 
(g) Compensation. Compensation as defined in Labor Code Section 3207. 
(h) Duly Authorized Representative. A designated employee or unit of the Department of Industrial Relations. 
(i) DWC. The Division of Workers' Compensation of the Department of Industrial Relations. 
(j) Employee. An employee, his or her dependents or his agent. 
(k) Indemnity Case. A work-injury claim which has or may result in any of the following benefits: 
(1) Temporary Disability 
(2) Permanent Disability 
(3) Life Pension 
(4) Death Benefits 
(5) Vocational Rehabilitation 
(l) Insurer. Any company, group or entity in, or which has been in, the business of transacting workers' compensation insurance for employers subject to the workers' compensation laws of this state.  The term insurer includes the State Compensation Insurance Fund. 
(m) Investigation.  The process of examining and evaluating a claim to determine the nature and extent of all legally required benefits, if any, which are due under the claim.  Investigation may include formal or informal methods of gathering information relevant to evaluating the claim such as: obtaining employment records, obtaining earnings records, informal or formal interviews of the employee, employer, or witnesses, deposition of parties or witnesses, obtaining expert opinion where an issue requires an expert opinion for its resolution, such as obtaining a medical-legal evaluation.
(n) Issue Date. The date upon which a notice of penalty assessment or an order of the Administrative Director is served. 
(o) Joint Powers Authority.  Any county, city, city and county, municipal corporation, public district, public agency, or political subdivision of the state, but not the state itself, including in a pooling arrangement under a joint exercise of powers agreement for the purpose of securing a certificate of consent to self-insure workers' compensation claims under Labor Code Section 3700(c).
(p) Medical-Only Claim. A work-injury case which requires compensation only for medical treatment by a physician. 
(q) Medical Fee Schedule. Official schedule promulgated by the Administrative Director pursuant to Labor Code Section 5307.1. Refer to Title 8 of existing CCR Section 9791.1 through Section 9792. 
(r) Non-Random.  Any method of selecting an audit subject which is specific to that audit subject, based on any or all of the factors provided in Labor Code Section 129(b). 
(s) Notice of Compensation Due.  The Notice of Assessment issued pursuant to Labor Code Section 129(c).
(t) Open Claim.  A work-injury claim in which future payment of compensation may be due or for which reserves for the future payment of compensation are  maintained. 
(u) Payment Schedule.  The two-week cycle of indemnity payments due on the day designated with the first payment as required by Labor Code Section 4650(c) or 4702(b).
(v) Random.  Any method of selecting an audit subject which is not based on factors specific to that audit subject, but instead which chooses subjects from a broad cross-section of possible subjects.  Random selection methods may stratify by general groups and need not be statistically precise.
(w) Self-insured Employer. An employer that has been issued a certificate of consent to self-insure as provided by Labor Code Section 3700(b) or (c), including a joint powers authority or the State of California as a legally uninsured employer.
(x) Third-Party Administrator.  An agent under contract to administer the workers' compensation claims of an insurer, self-insured employer, or joint powers authority.
(y) VRMA.  Vocational rehabilitation maintenance allowance.
(z) Work-Injury Claim. A claim for an injury that is reported or reportable to the Division of Labor Statistics and Research pursuant to Sections 6409, 6409.1 and 6413 of the Labor Code. 
NOTE

Authority cited: Sections 59, 133, 129.5, 138.4 and 5307.3, Labor Code. Reference: Sections 7, 124, 129, 129.5, 3700, 3702.1, 4636, 4650(c), 5307.1 and 5402, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Amendment of section heading, text and Note filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
§10100.1. Definitions--On or After January 1, 1994.
Note     •     History

The following definitions apply in Articles 1 through 7 of this Subchapter for injuries occurring on or after January 1, 1994.
(a) Adjusting Location.  The office where claims are administered.
(b) Administrative Director.  The Administrative Director of the Division of Workers' Compensation or the Director's duly authorized representative, designee, or delegee.
(c) Audit.  An audit performed under Labor Code Sections 129 and 129.5.
(d) Audit Subject.  A single adjusting location of a claims administrator which has been selected for audit.  If a claims administrator has more than one adjusting location, other locations may be selected as separate audit subjects.  In its discretion, the Audit Unit may combine more than one adjusting location of a claims administrator as a single non-random audit subject.
(e) Audit Unit.  The organizational unit within the Division of Workers' Compensation which audits insurers, self-insured employers and third-party administrators pursuant to Labor Code Sections 129 and 129.5.
(f) Claim.  A request for compensation for an injury arising out of and in the course of employment, whether disputed or not, or notice or knowledge that such an injury has occurred or is alleged to have occurred.
(g) Claim File.  A record in paper or electronic form, or a combination, containing all of the information specified in Section 10101.1 of these Regulations and all documents or entries related to the provision or denial of benefits.
(h) Claim Log.  A handwritten or printed ledger maintained by the claims administrator listing each work-injury claim as specified in Section 10103.1 of these Regulations.
(i) Claims Administrator or Administrator.  A self-administered workers' compensation insurer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, or a third-party claims administrator for an insurer, a self-insured employer, a legally-uninsured employer or a joint powers authority.
(j) Closed Claim.  A work-injury claim in which future payment of compensation cannot be reasonably expected to be due.
(k) Compensation.  Every benefit or payment, including vocational rehabilitation, medical, and medical-legal expenses, conferred by Divisions 1 and 4 of the Labor Code on an injured employee or the employee's dependents.
(l) Date of Knowledge of Injury and Disability.  The date the employer had knowledge or reasonably can be expected to have had knowledge of (1) a worker's injury or claim for injury, and (2) the worker's inability or claimed inability to work because of the injury.
(m) Denied Claim.  A claim for which all liability has been denied at any time, even if the claim was accepted before or after the denial. A claim which otherwise meets this definition is a denied claim even if medical-legal expenses were paid.
(n) Employee.  An employee, or in the case of the employee's death, his or her dependent, as each is defined in Division 4 of the Labor Code, or the employee's or dependent's agent.
(o) First Payment of Temporary Disability Indemnity.  (1) The first payment of temporary disability indemnity made to an injured worker for a work injury; or (2) the first resumed payment of temporary disability indemnity following any period of one or more days for which no temporary disability indemnity was payable for that work injury; or (3) the first resumed payment of temporary disability indemnity following issuance of a lawful notice that temporary disability benefits were ending.
(p) Indemnity Claim.  A work-injury claim which has resulted or may result in entitlement to any of the following benefits: temporary disability indemnity or salary continuation in lieu of temporary disability indemnity, permanent disability indemnity, death benefits, or vocational rehabilitation.
(q) Insurer.  Any company, group, or entity in, or which has been in, the business of transacting workers' compensation insurance for employers subject to the workers' compensation laws of this state.  The term insurer includes the State Compensation Insurance Fund.
(r) Investigation.  The process of examining and evaluating a claim to determine the nature and extent of all legally required benefits, if any, which are due under the claim.  Investigation may include formal or informal methods of gathering information relevant to evaluating the claim such as: obtaining employment records; obtaining earnings records; informal or formal interviews of the employee, employer, or witnesses; deposition of parties or witnesses; obtaining expert opinion where an issue requires an expert opinion for its resolution, such as obtaining a medical-legal evaluation.
(s) Joint Powers Authority.  Any county, city, city and county, municipal corporation, public district, public agency, or political subdivision of the state, but not the state itself, included in a pooling arrangement under a joint exercise of powers agreement for the purpose of securing a certificate of consent to self-insure workers' compensation claims under Labor Code Section 3700(c).
(t) Medical-Only Claim.  A work-injury claim in which no indemnity benefits are payable.
(u) Non-Random.  Any method of selecting an audit subject which is specific to that audit subject, based on any or all of the factors provided in Labor Code Section 129(b).
(v) Notice of Compensation Due.  The Notice of Assessment issued pursuant to Labor Code Section 129(c).
(w) Open Claim.  A work-injury claim in which future payment of compensation may be due or for which reserves for the future payment of compensation are maintained.
(x) Payment Schedule. Either:
(1) The two-week cycle of indemnity payments due on the day designated with the first payment as required by Labor Code Section 4650(c) or 4702(b), including any lawfully changed payment schedule; or
(2) The two-week cycle of payments of vocational rehabilitation maintenance allowance (VRMA) required by Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1.5, Article 7, Section 10125.1.
(y) Random.  Any method of selecting an audit subject which is not based on factors specific to that audit subject, but instead which chooses subjects from a broad cross-section of possible subjects.  Random selection methods may stratify by general groups and need not be statistically precise.
(z) Record of Payment. An accurate written or electronic record of all compensation payments in a claim file, including but not limited to:
(1) The check number, date the check was issued, name of the payee, amount, and for indemnity payments the time period(s) covered by the payment;
(2) All dates for which salary continuation as defined by Labor Code Section 4650(g) was provided instead of direct indemnity payments; the dates for which salary continuation was authorized; and documentation when applicable that sick leave or other leave credits were restored for any periods for which salary continuation was payable;
(3) A copy of each bill received which included a medical progress or work status report; and either a copy of each other bill received or documentation of the contents of that bill showing the date and description of the service provided, provider's name, amount billed, date the claims administrator received the bill, and date and amount paid.
(aa) Self-insured Employer.  An employer, either as an individual employer or as a group of employers, that has been issued a certificate of consent to self-insure as provided by Labor Code Section 3700(b) or (c), including a joint powers authority or the State of California as a legally uninsured employer.  
(bb) Third-Party Administrator.  An agent under contract to administer the workers' compensation claims of an insurer, self-insured employer, or joint powers authority.
(cc) VRMA.  Vocational rehabilitation maintenance allowance.
NOTE

Authority cited: Sections 59, 133, 129.5, 138.4, 5307.3, Labor Code.  Reference: Sections 7, 124(a), 129(a), (b), (c), 129.5(a), (b), 3700, 3702.1, 4636, 4650(c), 5307.1, 5402, Labor Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (i) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Editorial correction of subsection (d) (Register 2000, No. 45).
§10100.2. Definitions.
Note     •     History

The following definitions apply in Articles 1 through 7 of this Subchapter for audits conducted on or after January 1, 2003. 
(a) Adjusting Location. The office where claims are administered. Separate underwriting companies, self-administered, self-insured employers, and/or third-party administrators operating at one location shall be combined as one audit subject for the purposes of audits conducted pursuant to Labor Code section 129(b) only if claims are administered under the same local management at that location. 
For auditing purposes, any separate office or location whose staff includes local management may be considered a single adjusting location. 
(b) Additional claim file. A claim selected for audit in addition to the random sample of claims selected. An additional claim file may include a companion claim file, a file selected for audit because it was incorrectly designated on the claim log, or a claim chosen based on criteria relevant to a target audit but for which no specific complaint has been received.
(c) Administrative Director. The Administrative Director of the Division of Workers' Compensation or the Director's duly authorized representative, designee, or delegee. 
(d) Audit. An audit performed under Labor Code sections 129 and 129.5. 
(e) Audit Subject. A single adjusting location of a claims administrator which has been selected for audit. If a claims administrator has more than one adjusting location, other locations shall be considered as separate audit subjects for the purposes of implementing Labor Code sections 129(a) and 129(b). However, the Audit Unit at its discretion may combine more than one adjusting location of a claims administrator as a single targeted audit subject, or may designate one insurer, insurer group, or self-insured employer at one or more third-party administrator adjusting locations as a single targeted audit subject. 
(f) Audit Unit. The organizational unit within the Division of Workers' Compensation which audits and/or investigates insurers, self-insured employers and third-party administrators pursuant to Labor Code sections 129 and 129.5. 
(g) Carve-Out Program. 
(1) An alternative dispute resolution (ADR) system for employees and employers engaged in construction (or other enumerated activities), established pursuant to Labor Code section 3201.5. 
(2) An alternative dispute resolution (ADR) system for any industry (other than construction), established pursuant to Labor Code section 3201.7. 
(h) Claim. A request for compensation, or record of an occurrence in which compensation reasonably would be expected to be payable for an injury arising out of and in the course of employment. 
(i) Claim File. A record in paper or electronic form, or a combination, containing all of the information specified in California Code of Regulations, title 8, section 10101.1 and all documents or entries related to the provision, delay, or denial of benefits. 
(j) Claim Log. A handwritten, printed, or electronically maintained listing maintained by the claims administrator listing each work-injury claim as specified in California Code of Regulations, title 8, section 10103.2. 
(k) Claims Administrator or Administrator. A self-administered workers' compensation insurer, a self-administered self-insured employer, a self-administered legally uninsured employer, a self-administered joint powers authority, or a third-party claims administrator for an insurer, a self-insured employer, a legally-uninsured employer or a joint powers authority. 
(l) Closed Claim. A work-injury claim in which future payment of compensation cannot be reasonably expected to be due. 
(m) Companion claim file. A claim file that is related to a claim file selected for random or targeted audit, in that claims were filed by the same injured worker, and the Audit Unit cannot ascertain the extent to which benefits have been paid on the initial claim selected for audit without auditing the related claim file.
(n) Compensation. Every benefit or payment, including vocational rehabilitation, supplemental job displacement benefits, medical treatment, and medical-legal expenses, conferred by Divisions 1 and 4 of the Labor Code on an injured employee or the employee's dependents. 
(o) Complaint claim file. A claim file that is selected for audit because the Audit Unit has received information indicating the existence of possible claims handling violations of the kind which, if found, would be subject to the assessment of an administrative penalty, the issuance of a notice of compensation due, or the assessment of a civil penalty. 
(p) Date of Knowledge of Injury and Disability. The date the employer had knowledge or reasonably can be expected to have had knowledge, pursuant to Labor Code section 5402, of (1) a worker's injury or claim for injury, and (2) the worker's inability or claimed inability to work because of the injury. 
(q) Denied Claim. A claim for which all liability has been denied at any time, even if the claim was accepted before or after the denial. A claim which otherwise meets this definition is a denied claim even if medical treatment is provided and paid pursuant to Labor Code section 5402(c) or medical-legal expenses were paid. 
(r) Employee. An employee, or in the case of the employee's death, his or her dependent, as each is defined in Division 4 of the Labor Code, or the employee's or dependent's agent. 
(s) First Payment of Permanent Disability Indemnity. (1) The first payment of permanent disability indemnity made to an injured worker for a work injury; or (2) the resumed payment of permanent disability indemnity following any period of one or more days for which no permanent disability indemnity was payable for that work injury; or (3) the resumed payment of permanent disability indemnity following issuance of a lawful notice that permanent disability benefits were ending.
(t) First Payment of Temporary Disability Indemnity. (1) The first payment of temporary disability indemnity made to an injured worker for a work injury; or (2) the resumed payment of temporary disability indemnity following any period of one or more days for which no temporary disability indemnity was payable for that work injury; or (3) the resumed payment of temporary disability indemnity following issuance of a lawful notice that temporary disability benefits were ending. 
(u) First Payment of Vocational Rehabilitation Maintenance Allowance. (1) The first payment of Vocational Rehabilitation Maintenance Allowance made to an injured worker for a work injury; or (2) the resumed payment of Vocational Rehabilitation Maintenance Allowance following any period of one or more days for which no Vocational Rehabilitation Maintenance Allowance was payable for that work injury; or (3) the resumed payment of Vocational Rehabilitation Maintenance Allowance following issuance of a lawful notice that Vocational Rehabilitation Maintenance Allowance benefits were ending.
(v) Frequency. The ratio of the number of claim files with one or more of a specific type of violation divided by the number of claim files with exposure for the same specific type of violation selected for audit at the adjusting location. 
(w) General Business Practice. For the purposes of Labor Code section 129.5(e), conduct that can be distinguished by a reasonable person from an isolated event. The conduct can include a single practice and/or separate, discrete acts or omissions in the handling of several claims. 
(x) Indemnity Claim. A work-injury claim that has resulted in the payment of any of the following benefits: temporary disability indemnity, including temporary partial disability indemity, or salary continuation in lieu of temporary disability indemnity, permanent disability indemnity, death benefits, or vocational rehabilitation maintenance allowance. 
(y) Indemnity Payment. Compensation for any of the following benefits: temporary disability indemnity, including temporary partial disability indemnity, or salary continuation in lieu of temporary disability indemnity, permanent disability indemnity, death benefits, or vocational rehabilitation maintenance allowance. An indemnity payment includes any increase made pursuant to Labor Code section 4650(d), and any interest pursuant to Labor Code section 5800.
(z) Insurer. Any company, group, or entity in, or which has been in, the business of transacting workers' compensation insurance for employers subject to the workers' compensation laws of this state. The term insurer includes the State Compensation Insurance Fund. 
(aa) Investigation. 
(1) As conducted by a claims administrator, an investigation is the process of examining and evaluating a claim to determine the nature and extent of all legally required benefits, if any, which are due under the claim. Investigation may include formal or informal methods of gathering information relevant to evaluating the claim such as: obtaining employment records; obtaining earnings records; informal or formal interviews of the employee, employer, or witnesses; deposition of parties or witnesses; and, obtaining expert opinion where an issue requires an expert opinion for its resolution, such as obtaining a medical-legal evaluation. 
(2) As conducted by the Audit Unit, an investigation is the process of reviewing and evaluating, pursuant to California Code of Regulations, title 8, section 10106.5 and/or Government Code sections 11180 through 11191, the extent to which a claims administrator meets its compensation obligations under the California Labor Code or Administrative Director's regulations. An investigation may be conducted concurrently as part of an on-going audit without separate notice issued by the Audit Unit, or may be conducted independently from a specific audit in order to determine if an audit will be conducted, or to determine the nature and extent of business practices for which one or more civil penalties may be assessed pursuant to Labor Code section 129.5(e). 
(bb) Joint Powers Authority. Any county, city, city and county, municipal corporation, public district, public agency, or political subdivision of the state, but not the state itself, included in a pooling arrangement under a joint exercise of powers agreement for the purpose of securing a certificate of consent to self-insure workers' compensation claims under Labor Code section 3700(c). 
(cc) Knowingly committed. Acting with knowledge of the facts of the conduct subject to an investigation and/or audit under Labor Code sections 129 and 129.5. A corporation has knowledge of facts any employee receives while acting within the scope of his or her authority. A corporation has knowledge of information contained in its records and of the actions of its employees performed in the course of employment. An employer or insurer has knowledge of information contained in the records of its third party administrator and of the actions of the employees of the third party administrator performed in the scope and course of employment. 
(dd) Lawful delay. A delay permitted by law or regulation, and for which the claims administrator has given a proper and timely notice of delay when such a notice is required. Any other delay is an unlawful delay.
(ee) Local Management. Claims personnel, regardless of their job titles, who have supervisory authority at an adjusting location over claims administration.
(ff) Medical-Only Claim. A work-injury claim in which no indemnity benefits have been paid or would reasonably be anticipated or expected to be paid.
(gg) Nontransferable Training Voucher. A document provided to an employee that allows the employee to enroll in education-related training or skills enhancement. The document shall include identifying information for the employee and claims administrator, and specific information regarding the value of the voucher pursuant to Labor Code section 4658.5 and California Code of Regulations, title 8, section 10133.50 et seq.
(hh) Notice of Compensation Due. The Notice of Assessment issued pursuant to Labor Code section 129(c). 
(ii) Open Claim. A work-injury claim in which future payment of compensation may be due or for which reserves for the future payment of compensation are maintained. 
(jj) Payment Schedule. Either: 
(1) The two-week cycle of indemnity payments due on the day designated with the first payment as required by Labor Code sections 4650(c) or 4702(b), including any lawfully changed payment schedule; or 
(2) The two-week cycle of payments of vocational rehabilitation maintenance allowance (VRMA) required by California Code of Regulations, title 8, section 10125.1. 
(kk) Performance Standard. Criteria developed from historical audit findings data and used as a basis for judgment of quality, quantity, level, and grade to measure claim adjusting performance in the handling of the workers' compensation benefit areas set forth in California Code of Regulations, title 8, section 10107.1, subdivision (c)(3)(A). The standard rating factors will be calculated annually and based on all final audit findings as published in the Annual DWC Audit Reports over the three calendar years before the year preceding the current audit. The Administrative Director shall determine and publish the performance standards for profile audit reviews and full compliance audits for the following calendar year.
(ll) Random sample. For the purpose of audit or investigation, a random sample is a selection of claim files selected pursuant to California Code of Regulations, title 8, section 10107.1, subdivisions (c)(1), (d)(1) or (e)(1). 
(mm) Record of Payment. An accurate written or electronic record of all compensation payments in a claim file, including but not limited to: 
(1) The check number, date the check was issued, name of the payee, amount, and for indemnity payments, including self-imposed increases, penalties, and/or interest, the time period(s) covered by the payment; 
(2) All dates for which salary continuation as defined by Labor Code section 4650(g) was provided instead of direct indemnity payments; the dates for which salary continuation was authorized; and documentation when applicable that sick leave or other leave credits were restored for any periods for which salary continuation was payable; 
(3) A copy of each bill received which included as part of the bill a medical progress or work status report; and either a copy of each other bill received or documentation of the contents of that bill showing the date and description of the service provided, provider's name, amount billed, date the claims administrator received the bill, the number of the check providing payment for each bill, including the check number, the date of the check, and the amount paid. 
(nn) Self-insured Employer. An employer, either as an individual employer or as a group of employers, that has been issued a certificate of consent to self-insure as provided by Labor Code section 3700(b) or (c), including a joint powers authority or the State of California as a legally uninsured employer. 
(oo) Supplemental Job Displacement Benefit. An educational retraining or skills enhancement allowance for injured employees, with dates of injury on or after January 1, 2004, whose employers are unable to provide work consistent with the requirements of Labor Code sections 4658.5 and California Code of Regulations, title 8, section 10133.50 et seq.
(pp) Third-Party Administrator. An agent under contract to administer the workers' compensation claims of an insurer, a self-insured employer, a legally uninsured employer. or a self-insured joint powers authority. The term third-party administrator includes the State Compensation Insurance Fund for locations that administer claims for legally uninsured and self-insured employers, and also includes Managing General Agents. 
(qq) VRMA. Vocational rehabilitation maintenance allowance. 
(rr) Workers' Compensation Information System (WCIS). The workers' compensation information system established pursuant to Labor Code sections 138.6 and 138.7.
NOTE

Authority cited: Sections 59, 129, 129.5, 133, 138.4 and 5307.3, Labor Code. Reference: Sections 7, 124(a), 129(a), 129(b), 129(c), 129.5(a), 129.5(b), 138.6, 138.7, 139.5, 3700, 3702.1, 4636, 4650(c), 4658.5, 4658.6, 5307.1 and 5402, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
Article 2. Claims Administration and Recordkeeping
§10101. Claim File--Contents.
Note     •     History

This section applies to maintenance of claims files for injuries occurring before January 1, 1994.
Every claims administrator shall maintain a claim file of each work-injury claim including claims which were denied. All open claim files shall be kept at the adjusting location for the file.  The file shall contain but not be limited to: 
(a) An employer date stamped copy of the Employee's Claim for Workers' Compensation Benefits, DWC Form 1, or documentation of reasonable attempts to obtain the form. 
(b) Employers Report of Occupational Injury or Illness, DLSR Form 5020, or documentation of reasonable attempts to obtain it. 
(c) Every notice or report sent to the Division of Workers' Compensation. 
(d) A copy of every Doctor's First Report of Occupational Injury or Illness, DLSR Form 5021, or documentation of reasonable attempts to obtain them. 
(e) The original or a copy of every medical report pertaining to the claim, or documentation of reasonable attempts to obtain them. 
(f) All orders or awards of the Workers' Compensation Appeals Board pertaining to the claim. 
(g) A record of payment of compensation. 
(h) A copy of the application(s) for adjudication of claim filed with the Workers' Compensation Appeals Board, if any.
(i) Copies of all notices sent to the employee pursuant to the requirements of the Benefit Notice Program established by Labor Code Section 138.4 and the notices required by Article 2.6 of Chapter 2 of Part 2 of the Labor Code, commencing with Section 4635. 
NOTE

Authority cited: Sections 59, 129.5, 133, 138.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5,  138.3, 138.4, 139.5,  4061, 4453, 4454, 4600, 4603.2, 4621, 4622, 4636, 4637, 4641, 4643, 4644, 4650, 4701 through 4703.5, 5401, 6409 and 6409.1, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Amendment of article heading, section heading, text and Note filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
§10101.1. Claim File--Contents.
Note     •     History

This section applies to maintenance of claim files for injuries occurring on or after January 1, 1994.
Every claims administrator shall maintain a claim file of each work-injury claim including claims which were denied. For injuries reported on or after June 19, 2009 each claims administrator shall maintain a claim file for each indemnity and medical-only claim, including denied claims, and shall ensure that each file is complete and current for each claim. Contents of claim files may be in hard copy, in electronic form, or some combination of hard copy and electronic form. Files maintained in hard copy shall be in chronological order with the most recently dated documents on top, or subdivided into sections such as medical reports, benefit notices, correspondence, claim notes, and vocational rehabilitation. Files or portions of files maintained in electronic form shall be easily retrievable. All open claim files shall be maintained at the adjusting location responsible for administering the claim. The file shall contain but not be limited to:
(a) Either (1) a copy of the Employee's Claim for Workers' Compensation Benefits, DWC Form 1, showing the employer's date of knowledge of injury, the date the employer provided the form to the employee and the date the employer received the completed form from the employee; or (2) if the employee did not return the claim form, documentation of the date the employer provided a claim form to the employee. If the administrator cannot obtain the form or determine that the form was provided to the employee by the employer, the file shall contain documentation that the administrator has provided the claim form to the employee as required by Title 8, California Code of Regulations section 10119.
(b) A copy of the Employer's Report of Occupational Injury or Illness, DLSR Form 5020, or documentation of reasonable attempts to obtain it;
(c) A copy of every notice, correspondence either initiated or received by the claims administrator, or report sent to the Division of Workers' Compensation.
(d) A copy of every Doctor's First Report of Occupational Injury or Illness, DLSR Form 5021, or documentation of reasonable attempts to obtain them.
(e) The original or a copy of every medical report pertaining to the claim, or documentation of reasonable attempts to obtain them.
(f) All orders or awards of the Workers' Compensation Appeals Board or the Rehabilitation Unit pertaining to the claim.
(g) A record of payment of compensation.
(h) A copy of the application(s) for adjudication of claim filed with the Workers' Compensation Appeals Board, if any.
(i) Copies of the following notices sent to the employee:
(1) Benefit notices, including vocational rehabilitation notices and supplemental job displacement benefit notices, required by California Code of Regulations, title 8, section 9810, or by California Code of Regulations, title 8, section 10122 through section 10133.60;
(2) Notices and forms related to the Qualified Medical Evaluation or Agreed Medical Evaluator process required by Labor Code sections 4060 et seq.;
(j) Documentation sufficient to determine the injured worker's average weekly earnings in accordance with Labor Code sections 4453 through 4459. Unless the claims administrator accepts liability to pay the maximum temporary disability rate, including any increased maximum due under Labor Code section 4661.5, the information shall include:
(1) Documentation whether the employee received the following earnings, and if so, the amount or fair market value of each: tips, commissions, bonuses, overtime, and the market value of board, lodging, fuel, or other advantages as part of the worker's remuneration, which can be estimated in money, said documentation to include the period of time, not exceeding one year, as may conveniently be taken to determine an average weekly rate of pay;
(2) Documentation of concurrent earnings from employment other than that in which the injury occurred, or that there were no concurrent earnings, or of reasonable attempts to determine this information;
(3) If earnings at the time of injury were irregular, documentation of earnings from all sources of employment for one year prior to the injury, or of reasonable attempts to determine this information.
(4) If the foregoing information results in less than maximum earnings, documentation of the worker's earning capacity, including documentation of any increase in earnings likely to have occurred but for the injury (such as periodic salary increases or increased earnings upon completion of training status), or of reasonable attempts to determine this information.
(k) Notes, correspondence, and documentation, including correspondence to or from any individual or entity, related to the provision, delay, or denial of benefits.
(l) Notes, correspondence, and documentation, including correspondence to or from any individual or entity, related to any utilization review process conducted under Labor Code section 4610. 
(m) Notes, correspondence, and documentation, including correspondence to or from any individual or entity, related to a return to regular, modified, or alternative work as defined by Labor Code section 4658.1
(n) Notes, correspondence, and documentation, including correspondence to or from any individual or entity, evidencing the legal, factual, or medical basis for non-payment or delay in payment of compensation benefits or expenses.
(o) Notes, correspondence, and documentation, including correspondence to or from any individual or entity, describing telephone conversations relating to the claim which are of significance to claims handling, including the dates of calls, substance of calls, and identification of parties to the calls.
NOTE

Authority cited: Sections 59, 129.5, 133, 138.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.3, 138.4, 139.48, 139.5, 4060, 4061, 4062, 4453, 4454, 4600, 4603.2, 4616, 4621, 4622, 4636, 4637, 4641, 4643, 4644, 4650, 4658.5, 4658.6, 4701-4703.5, 5401, 6409 and 6409.1, Labor Code. 
HISTORY

1. New section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10102. Retention of Claim Files.
Note     •     History

(a) All claim files shall be maintained at least until the latest of the following dates:
(1) five years from the date of injury; 
(2) one year from the date compensation was last provided;
(3) all compensation due or which may be due has been paid;
(4) if an audit has been conducted within the time specified in (a)(1), until the findings of an audit of the file have become final.
(b) Open and closed claim files may be maintained in whole or in part in an electronic or other non-paper storage medium.
NOTE

Authority cited: Sections 59, 129.5(b), 133, 138.4, 4603.5 and 5307.3, Labor Code. Reference: Sections 124(a), 129(a) through (c), 129.5(a), (b), (d), 138.3, 4061, 4453, 4454, 4600, 4603.2(b), 4621, 4622, 4636, 4637, 4641, 4643, 4644, 4650, 4701 through 4703.5, 5401(a), 5401.6, 5405 and 5804, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Renumbering of former section 10103 to section 10102, and renumbering and amendment of former section 10102 to section 10103 filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
§10103. Claim Log--Contents and Maintenance.
Note     •     History

This section shall govern claim log maintenance prior to January 1, 1994.
(a) Every claims administrator shall produce a claim log of all work-injury claims maintained at each adjusting location, prepared chronologically in alphanumeric or numeric ascending order, or in a combination thereof. 
(b) The claim log shall contain at least the following information: 
(1) Name of injured. 
(2) The claims administrator's claim number. 
(3) Date of injury. 
(4) An indication as to whether the work-injury claim is an indemnity or medical-only case. 
(5) An entry if all liability for a claim has been denied. 
(6) For self-insurer, when a Certificate of Consent to Self-Insure has been issued, an entry identifying the corporation employing the injured.
(c) The claim log of a former self-insurer shall be maintained and made available to the audit unit within 5 days of request. 
(d) A claims administrator shall provide a copy of a claim log within 14 days of receiving a written request from the Administrative Director.
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.4, 3702.8 and 5401, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Renumbering of former section 10102 to section 10103, and renumbering and amendment of former section 10103 to section 10102 filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
3. Amendment of subsection (b)(6) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
§10103.1. Claim Log--Contents and Maintenance.
Note     •     History

This section shall govern claim log maintenance on or after January 1, 1994.
(a) The claims administrator shall maintain annual claim logs listing all work-injury claims, open and closed.  Each year's log shall be maintained for at least five years from the end of the year covered.  Separate claim logs shall be maintained for each self-insured employer and each insurer for each adjusting location.
(b) Each entry in the claim log shall contain at least the following information:
(1) Name of injured worker.
(2) Claims administrator's claim number.
(3) Date of injury.
(4) An indication whether the claim is an indemnity or medical-only claim.
(5) An entry if all liability for a claim has been denied at any time.  All liability is considered to have been denied even if the administrator accepted liability for medical-legal expense.
(6) If the claim log is for a self-insured employer and a Certificate of Consent to Self-Insure has been issued, the name of the corporation employing the injured worker.  If the claim log consists of claims for two or more members of an insurer group, each entry on the log shall identify the insurer.
(c) The entries on a log provided to the Administrative Director shall reflect current information, to show at least any changes in status of a claim which occurred 45 days or more before the claim log was provided.  However, once all liability for a claim has been denied the log shall designate the claim as a denial, even if the claim was later accepted.
(d) The claim log of each former self-insured employer and each self-insured employer which changes or terminates the use of a third-party administrator shall be maintained by that self-insured employer as required by subsection (a).
(e) A claims administrator shall provide a copy of a claim log within 14 days of receiving a written request from the Administrative Director.
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.4, 3702.8 and 5401, Labor Code. 
HISTORY

1. New section filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (b)(6) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
§10103.2. Claim Log--Contents and Maintenance.
Note     •     History

This section shall govern claim log maintenance on or after January 1, 2003. 
(a) The claims administrator shall maintain annual claim logs listing all work-injury claims, open and closed. Each year's log shall be maintained for at least five years from the end of the year covered. Separate claim logs shall be maintained for each self-insured employer and each insurer for each adjusting location. 
(b) Each entry in the claim log shall contain at least the following information: 
(1) Name of injured worker. 
(2) Claims administrator's claim number. 
(3) Date of injury. 
(4) An indication whether the claim is an indemnity or medical-only claim. Indemnity claims shall be differentiated from medical-only claims or any other claim where no indemnity payment(s) has been made. Claims that only require the provision of first aid, as defined by California Code of Regulations, title 8, section 9780(d), should not be included in the claim log. 
(5) An entry if all liability for a claim has been denied at any time. All liability is considered to have been denied even if the administrator accepted liability for medical-legal expense. 
(6) If the claim log is for a self-insured employer and a Certificate of Consent to Self-Insure has been issued, the name of the corporation employing the injured worker. If the claim log consists of claims for two or more members of an insurer group, the log shall identify the insurer for each claim. 
(7) If the claim has been transferred from one adjusting location to another:
(A) The address of the new location shall be identified on the initial adjusting location's log along with the date of transfer. 
(B) Claims that are transferred from one adjusting location to another shall be listed on the claim log of the new adjusting location for the year in which the claim was initially reported, not for the year in which the claim was transferred. The claim log shall also indicate the address of the old adjusting location along with the date of transfer. 
(c) The entries on a log provided to the Administrative Director shall reflect current information, to show at least any changes in status of a claim which occurred 45 days or more before the claim log was provided. However, once all liability for a claim has been denied the log shall designate the claim as a denial, even if the claim was later accepted. 
(d) The claim log of each former self-insured employer and each self-insured employer that changes or terminates the use of a third-party administrator shall be maintained by that self-insured employer as required by subsection (a). 
(e) A claims administrator shall provide a copy of a claim log within 14 days of receiving a written request from the Administrative Director. 
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.4, 3702.8 and 5401, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Amendment of subsections (b)(4) and (b)(7), including redesignation and amendment of portions of subsection (b)(7) as new subsections (b)(7)(A)-(B), filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10104. Annual Report of Inventory.
Note     •     History

(a) Each claims administrator shall maintain, and shall file with the Administrative Director, an Annual Report of Inventory for each of its adjusting locations. The report shall be filed annually by April 1. It shall include the name, address, and telephone number of the adjusting location and the name and title of the person responsible for audit coordination. Claims administrators shall report, as of the preceding January 1, the numbers of indemnity, denied, and medical-only claims reported to each of its adjusting locations during the preceding calendar year for insurers and private self-insured employers, or public self-insured employers. If the administrator adjusts for more than one entity at that location, the report shall give the total numbers of claims at that location and shall also identify the numbers of claims for each self-insured employer or insurer liable for the payment of compensation. Indemnity claims shall be differentiated on the Annual Report of Inventory from medical-only claims or any other claim where no indemnity payment(s) has been made. 
(b) If a claims administrator relocates, opens a new adjusting location, closes an adjusting location, changes contact persons, changes the e-mail address, changes from third-party administered to self-administered or from self-administered to third-party administered, or changes from self-insured to insured, the claims administrator shall advise the Administrative Director by mailing written notice to the manager of the Audit Unit within 45 calendar days of the event.
(c) Adjusting locations that have no indemnity, denied, or medical-only claims reported during the preceding calendar year must file with the Administrative Director a statement indicating whether the location is actively adjusting workers' compensation claims. The statement, which shall be filed annually by April 1, shall contain the name, address, and telephone number of the adjusting location and the name and title of the person responsible for audit coordination.
(d)(1) A claims administrator's obligation to submit an Annual Report of Inventory under subdivision (a) of this section is waived upon a determination by the Administrative Director that the claims administrator is in compliance with the electronic data reporting requirements of the Workers' Compensation Information System, as set forth in California Code of Regulations, title 8, section 9702. 
(2) Each claims administrator whose obligation to submit an Annual Report of Inventory is satisfied under subdivision (d)(1) of this section shall maintain and file with the Administrative Director an Annual Report of Adjusting Locations. This report shall be filed annually by April 1 of each calendar year and shall report, as of the preceding December 31, each of the claims administrator's adjusting locations. The report shall include the name, street and mailing address, physical zip code, e-mail address, fax number, and telephone number for each adjusting location and the name, title, e-mail address, fax number and telephone number of the person responsible for audit coordination. 
(3) The claims administrator shall notify the Administrative Director, by mailing written notice to the manager of the Audit Unit, of any change in the information provided in the Annual Report of Adjusting Locations. A reportable change shall include the relocation of the claims administrator or the opening or closing of an adjusting location. The notification shall be made within 45 calendar days after the effective date of the change. 
(4) The waiver granted to a claims administrator under subdivision (d)(1) of this section shall be rescinded if the total number of claims reported by the claims administrator to the Audit Unit in a claim log submitted pursuant to California Code of Regulations, title 8, section 10107.1(a) is not within one percent of the total number of claims electronically reported by the claims administrator to the Workers' Compensation Information System for the same period of time as covered in the submitted claim log. 
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129, 129.5 and 138.6, Labor Code. 
HISTORY

1. Renumbering of former section 10104 to section 10105 and new section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
3. Amendment filed 10-6-2003; operative 12-1-2003 (Register 2003, No. 41).
4. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
Article 3. Auditing
§10105. Auditing, Discretion of the Administrative Director.
Note     •     History

To carry out the responsibility pursuant to Labor Code sections 129 or 129.5, the Administrative Director or his/her representative shall audit claims administrators' claim files and claim logs at such reasonable times as he/she deems necessary. The Administrative Director or his/her representative may also utilize the provisions of Government Code sections 11180 through 11191.
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code. 
HISTORY

1. New article 3 heading, repealer of former section 10105 and renumbering and amendment of former section 10104 to section 10105 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4). For prior history, see Register 90, No. 4.
2. Amendment filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
3. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10106. Random and Non-Random Audit Subject Selection; Complaint/Information Investigation.
Note     •     History

(a) In its discretion, the Audit Unit may treat an affiliated group of insurers at a single adjusting location as individual insurers, or may combine all or any of them as a single insurer audit subject.  In its discretion, the Audit Unit may treat parent and subsidiary self-insured employers at a single adjusting location as individual self-insureds, or may combine all or any of them as a single self-insured audit subject.
(b) The final selection of audit subjects shall be within the discretion of the Audit Unit.  The Audit Unit may investigate information or complaints instead of, or in addition to, conducting an audit. Investigations and/or audits may be conducted if complaints or information indicate the possible existence of claims handling practices which would be assessed as a civil penalty under Labor Code Section 129.5(d).
(c) The Audit Unit shall select at least half of its audit subjects at random from any available listing of adjusting locations of workers' compensation insurers, self-insured employers, self-insured joint powers authorities, legally uninsured employers, and third-party administrators. If, after the results of an audit become final, none of the criteria qualifying an audit subject for a return non-random audit pursuant to subsection (f) of this section exist, the audit subject shall be removed from the pool of potential random audit subject selection for three years. However, eligibility under this subsection for removal from the pool for random audit subject selection shall not bar the non-random selection of the audit subject pursuant to this section or Labor Code Section 129(b).
(d) In order to establish priorities for audits pursuant to Labor Code §129(b), the Audit Unit shall review and compile complaints and information that indicate a claims administrator is failing to meet its obligations under Divisions 1 or 4 of the Labor Code or regulations of the administrative director.
(1) The information and complaints shall be tracked and compiled into a list of Claims Administrators Identified for Potential Non-Random Investigation as follows:
(i) Complaints or information available to the Audit Unit which indicate possible violations of the kind which, if found on audit, would be subject to the assessment of administrative penalties or issuance of notices of compensation due shall be retained in potential audit subject files by claims adjusting locations.  Factual information and complaints shall be weighted on the basis of apparent severity of the alleged violation, using the assessment categories set forth in the subsections (a) through (d) of §10111 and §10111.1 to set a point value.
An alleged violation that would fall within subsection (a) is given one point, an alleged violation that would fall within subsection (b) is given five points, an alleged violation that would fall within subsection (c) is given ten points, and an alleged violation that would fall within subsection (d) is given fifty points.  When multiple violations are alleged in one complaint, each potential violation is given the appropriate point(s).
Points assigned for violations which are evidenced by decisions or findings rendered by the WCAB or Rehabilitation Unit shall be multiplied by ten.
(ii) Periodically, the audit unit shall review and analyze the complaint and information data in order to establish a list of Claims Administrators Identified for Potential Non-Random Investigation.  The total number of points assigned to a claims administrator at an adjusting location shall be compared to the total number of claims reported at that claims adjusting location as indicated on the Annual Report of Inventory or the Self Insurer's Annual Report. The claims administrators shall be ranked on the list of Claims Administrators Identified for Potential Non-Random Investigation on the basis of the ratio of weighted complaints to case load size at each adjusting location.  It is within the discretion of the Audit Unit to determine when new lists shall be established.
(2) The audit unit shall select any number of the highest ranking claims adjusting locations for investigation from the list of Claims Administrators Identified for Potential Non-Random Investigation.
(i) The Audit Unit shall notify the claims administrator that it will conduct an investigation, and shall specify the files it will review by providing the names of the injured workers.  The Audit Unit shall give the claims administrator a minimum of three working days notice of the date of commencement of the investigation.  Notice may be given by telephone.  The claim files shall be made available to the Audit Unit at the time of the commencement of the investigation.  The Audit Unit may examine claim files and require a claims administrator to provide documents and information.  
(ii) The Audit Unit shall examine the selected files and shall assign points for each violation found in the files in accordance with the point system set forth in subsection (d)(1)(i), except that there shall be no multiplier for violations evidenced by decisions or findings of the WCAB or Rehabilitation Unit.  Points shall be assigned for every violation found in the file, both violations that were alleged in the complaints and additional violations found by the audit unit.
(iii) The Audit Unit shall send a notice to the claims administrator which outlines the violations found in the files investigated.  The claims administrator may request copies of the complaints relating to the files investigated.  The complaints may be kept confidential by the audit unit if confidentiality is requested by the complainant.
(iv) The claims administrator may present documentation and/or argument to the Audit Unit to disprove any or all of the violations found by the audit unit in the investigated files.  The documentation and argument must be post-marked or personally delivered to the Audit Unit within fourteen days of receipt of the letter outlining the violations.
(v) The Audit Unit shall consider documents and argument submitted by the claims administrator to disprove the violations found in the investigated files and determine whether there is a basis to alter any of the points previously assigned.
(vi) The adjusting locations shall then be ranked on a list of Claims Administrators Identified for Potential Non-Random Audit on the basis of the ratio of violation points to the number of claims investigated at each adjusting location.
(e) The Audit Unit shall select non-random audit subjects from the list of Claims Administrators Identified for Potential Non-Random Audit, and shall endeavor to give priority in scheduling audits to those administrators that have been assigned the most points.  However, the audit unit may also consider the results and recency of prior audits at the adjusting location, the resources of the audit unit, and the need to conduct random audits, in scheduling investigations and audits.  The Audit Unit is not required to investigate or audit every claims administrator on the list, nor is it required to investigate or audit in the order in which claims administrators appear on the list.
If the Audit Unit is able to conduct more non-random audits than the number appearing on the list of Claims Administrators Identified for Potential Non-Random Audit, it may select any number of the next highest ranking adjusting locations appearing on the list of Claims Administrators Identified for Potential Non-Random Investigation.  The adjusting locations shall then be investigated and ranked according to subsection (d)(2).
(f) Prior audit results shall be used independently as factual information to support selection of a claims administrator for non-random audit.
(1) The Audit Unit shall return for a repeat non-random audit of denied files of the audit subject within one to three years of the results of an audit becoming final if there is more than one unsupported denial and the number of unsupported denials exceeds 5% of the audited denied claims.
(2) The Audit Unit shall return for a repeat non-random audit of indemnity files of the audit subject within one to three years of the results of an audit becoming final if:
(i) The number of randomly selected audited files with violations involving the failure to pay indemnity exceeds 20% of the audited files in which indemnity is accrued and payable and the average amount of unpaid indemnity exceeds $200.00 per file in which indemnity is accrued and payable, or
(ii) The numbers of randomly selected files with violations involving the late first payments of temporary disability indemnity, permanent disability indemnity, vocational rehabilitation maintenance allowance, late subsequent indemnity payments, and late payments of death benefits, as mitigated for frequency under Section 10111.1(e)(3)(i) through (v), exceeds 30% of the audited files in which those indemnity payments have been made, and the number of audited files with violations involving the failure to issue benefit notices, as assessed under Section 10111.1(a)(7)(ii) of these regulations, exceeds 30% of the files in which there is a requirement to issue those notices.
(g) The Audit Unit shall send a claims administrator selected for non-random audit a Notice of Audit in accordance with §10107.  The Notice of Audit for a non-random audit may be appealed as follows:
(i) Within 7 days after receiving a Notice of Audit the claims administrator may appeal its selection for audit by filing and serving a request for an appeals conference or a request for a written decision by the Administrative Director without a conference.
(ii) Within 21 days after the request for a written decision or an appeals conference is filed, the appellant shall file with the Administrative Director and serve a written statement setting forth the legal and factual basis of the appeal, and including documentation or other evidence which supports the appellant's position.
(iii) If a request for an appeals conference or a request for a written decision without conference or if the written statement and documentation are not timely filed and served under Subsections (g)(i) and (g)(ii), the claims administrator shall be deemed to have finally waived the issue of the propriety of its selection for audit.  The claims administrator will be precluded from raising the issue at any subsequent appeals of Notices of Penalty Assessment or Notices of Compensation Due.
(iv) Service and filing are timely if the documents are placed in the United States mail, first class postage prepaid, or personally delivered between the hours of 8:00 a.m. and 5:00 p.m., within the periods specified in Subsections (g)(i) and (g)(ii).  The original and all copies of any filing shall attach proof of service as provided in Section 10514.
(v) The appeal process shall be governed by Section 10115.2.
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code.  Reference: Sections 7, 53, 111, 124, 129 and 129.5,  Labor Code; and Sections 11180, 11180.5, 11181 and 11182, Government Code.
HISTORY

1. Relocation of article 3 heading to article 5 and repealer and new section filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).   For prior history, see Register 90, No. 4.
2. Amendment of subsection (b), (d)(2), and (e) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Amendment of section and Note filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
§10106.1. Routine and Targeted Audit Subject Selection; Complaint Tracking; Appeal of Targeted Audit Selection.
Note     •     History

For audits conducted on or after January 1, 2003: 
(a) The Division of Workers' Compensation shall maintain and update annually a list of known adjusting locations of California workers' compensation claims. The list will be based on information provided to the Division in Annual Reports of Inventory submitted pursuant to California Code of Regulations, title 8, section 10104, data submitted to the Division's Workers' Compensation Information System pursuant to Labor Code section 138.6, and any other sources of information available. The list shall include all known adjusting locations, located in or out of California, of insurers, self-administered self-insured employers, and third-party administrators that administer California workers' compensation claims. 
(b) The Audit Unit shall select each adjusting location from the list of adjusting locations for routine profile audit review pursuant to Labor Code section 129(b)(1) at least once every five years. Audit subjects may be selected in any order, and routine audits may be scheduled by the Audit Unit in a manner to best minimize travel expenses and utilize audit personnel efficiently. 
(1) For routine audit subject selection pursuant to Labor Code section 129(b)(1), if the adjusting location includes claims of more than one insurance underwriting company, self-insured employer, or third-party administrator at the location and all claims at that location share the same local management, the location will be considered as one audit subject. 
(2) Eligibility under this subsection for removal from the pool for routine audit subject selection shall not bar the targeted selection of the audit subject pursuant to subdivisions (c)(2), (c)(3), (c)(4) of this section, Labor Code section 129(b)(3), or for investigation and/or audit pursuant to California Code of Regulations, title 8, section 10106.5. 
(c) Pursuant to Labor Code section 129(b), the Audit Unit may conduct a targeted profile audit review or full compliance audit of targeted audit subjects. An audit subject shall be selected for a targeted audit based on the following target audit criteria:
(1) Prior audit results pursuant to Labor Code section 129(b)(2) shall be used independently as factual information to support selection of a claims administrator for a return, targeted audit as follows: 
(A) When a final audit report is issued, the report will include a final performance rating. The final performance rating will be calculated in the same manner as the performance audit review performance rating as set forth in California Code of Regulations, title 8, section 10107.1(c)(3), except that the rating shall be determined based on audit findings from all claim files randomly selected pursuant to section 10107(c)(1), (d)(1), and (e)(1), and selected additional claim files. 
(B) If the audit subject's performance rating calculated pursuant to section 10107.1(c)(3) or (d)(3) fails to meet or exceed the worst 10% of performance ratings for all audits conducted in the three calendar years before the year preceding the year in which the current audit was commenced, the Audit Unit will return for a targeted audit of the audit subject within two years of the date the audit findings become final. 
(C) In the final audit report, the Audit Unit shall notify the audit subject that a return, targeted audit will be conducted based upon its performance rating. 
(D) Any appeal of the audit subject's selection for a targeted audit based upon the audit findings must be made in the same manner as an appeal of the Notice of Penalty Assessment as set forth in California Code of Regulations, title 8, section 10115.1, and must be made within seven days of receipt of the audit findings upon which the selection for targeted audit is based. 
(2) Audit subjects may be selected for targeted audit based on final decisions or findings of the WCAB issued pursuant to Labor Code section 5814 as follows: 
(A) The Division of Workers' Compensation will regularly submit to the Audit Unit copies of WCAB decisions, findings, and/or awards issued pursuant to Labor Code section 5814, and reports of WCAB cases involving section 5814 violations. 
(B) The Audit Unit will establish a list of claims administrators identified for potential targeted audit based on the documentation provided pursuant to subdivision (c)(2)(A). For each adjusting location, the total number of decisions, findings, and/or awards issued pursuant to Labor Code section 5814 shall be compared to the total number of claims reported at that claims adjusting location for the last year for that potential audit subject, as indicated on the Annual Report of Inventory or the Self Insurer's Annual Report, or as indicated in the data reported by the claims administrator to the Division of Workers' Compensation as part of the Workers' Compensation Information System pursuant to Labor Code section 138.6. The Audit Unit may obtain data runs or claim logs from the claims administrator to verify the accuracy of the claims reported. 
(C) The Audit Unit may select for target audit the highest-ranking subjects, based on the ratios of decisions, findings, and/or awards issued pursuant to Labor Code section 5814 compared to the number of claims reported at the adjusting location, from the list. The Audit Unit may consider the results and recency of prior audits at the adjusting location, the resources of the Audit Unit, and the need to conduct routine audits in scheduling targeted audits. The Audit Unit is not required to audit every claims administrator on the list, nor is it required to audit in the order in which claims administrators appear on the list. 
(3) The Audit Unit may also target audit subjects based on credible complaints and/or information received by the Division of Workers' Compensation that indicate possible claims handling violations, except that the Audit Unit will not target audit subjects based only on anonymous complaints unless the complaint(s) is supported by credible documentation. Complaints received by the Division of Workers' Compensation may be kept confidential if confidentiality is requested by the complaining party. In order to establish priorities for audits pursuant to this subsection, the Audit Unit shall review and compile complaints and information that indicate claims administrator adjusting locations are failing to meet their obligations under Divisions 1 or 4 of the Labor Code or regulations of the Administrative Director. The Audit Unit may contact a claims administrator and request information necessary to determine the validity of a complaint. Complaints and information alleging improper claims handling shall be tracked and compiled into a list of claims administrators identified for potential target audits in two manners: 
(A) On the basis of overall gravity and frequency of potential violations as measured by assigned points: 
1. Complaints or information indicating possible violations of the kind which, if found on audit, would be subject to the assessment of administrative penalties or issuance of notices of compensation due shall be weighted on the basis of apparent severity of the alleged violation. One point shall be assigned for each $100.00 in penalties assessable under the corresponding violations in California Code of Regulations, title 8, sections 10111 through 10111.2 of these regulations. 
2. The Audit Unit may select for target audit the highest-ranking subjects, based on points assigned compared to the number of claims reported at the adjusting location. The Audit Unit may consider the results and recency of prior audits at the adjusting location, the resources of the Audit Unit, and the need to conduct routine audits in scheduling targeted audits. The Audit Unit is not required to audit every claims administrator on the list, nor is it required to audit in the order in which claims administrators appear on the list. 
(B) On the basis of credible complaints or information indicating claims handling for which a civil penalty may be assessed pursuant to Labor Code section 129.5(e).
The Audit Unit may select for target audit the highest-ranking subjects based on the ratios of complaints or information regarding specific claims practices compared to the number of claims. In considering the potential for specific poor claims practices, the Audit Unit may consider the results and recency of prior audits at the adjusting location, the resources of the Audit Unit, and the need to conduct routine audits in scheduling targeted audits. The Audit Unit is not required to audit every claims administrator on the list, nor is it required to audit in the order in which claims administrators appear on the list. 
(4) The Audit Unit may also select targeted audit subjects based on data from the Workers' Compensation Information System which indicates the claims administrator is failing to meet its obligations, including, but not limited to, high percentages of possible violations compared to other claims administrators. Possible violations include high percentages of apparent late first and/or subsequent indemnity payments, either overall or by class of indemnity, and/or high ratios of denied claims to indemnity claims.
(5) The Audit Unit may also target an audit subject for any of the following: 
(A) Failure to produce a claim for the Audit Unit within 30 days of receipt of a written request in a profile audit review conducted pursuant to Labor Code section 129(b). 
(B) Failure to pay or appeal pursuant to California Code of Regulations, title 8, section 10115.1 any Notice of Compensation Due issued by the Audit Unit. 
(C) Failure to comply with the Workers' Compensation Information System (WCIS) requirements and timelines set forth in Labor Code section 138.6 or California Code of Regulations, title 8,, sections 9700 et seq. 
(D) The assessment of or a stipulation to a civil penalty pursuant to Labor Code section 129.5(e). 
(d) For targeted audits conducted in accordance with the target audit criteria set forth in subdivision (c) of this section:
(1) The Audit Unit shall send the audit subject selected for targeted audit a Notice of Audit in accordance with section 10107.1(a). 
(2) For target audits, the Audit Unit may randomly select claims pursuant to section 10107.1 of these regulations and/or target claims on the basis that the Audit Unit has received information alleging the existence of an improper claim handling practice, and for the purpose of determining whether that practice occurred in those files. Companion claim files or additional claim files as defined by these regulations may be included for audit with the selected files. 
(3) For all types of target audits and/or for targeted claims in any audit, the Audit Unit is not required to audit an entire claim file, but may audit only those parts of the claim file that pertain to the complaint or to a specific type of possible violation(s). 
(4) The Notice of Audit for a targeted audit selected pursuant to subdivisions (c)(2) through (c)(5) of this section may be appealed as follows: 
(A) Within 7 days after receiving a Notice of Audit the claims administrator may appeal its selection for audit by filing with the Administrative Director and serving on the Audit Unit a request for an appeals conference or a request for a written decision without a conference. 
(B) Within 21 days after the request for a written decision or an appeals conference is filed, the appellant shall file with the Administrative Director and serve the Audit Unit with a written statement setting forth the legal and factual basis of the appeal, and including documentation or other evidence which supports the appellant's position. 
(C) If a request for an appeals conference or a request for a written decision without conference or if the written statement and documentation are not timely filed and served under California Code of Regulations, title 8, section 10115.1(g)(1) and (g)(2), the claims administrator shall be deemed to have waived any issue concerning its selection for audit. The claims administrator will be precluded from raising the issue at any subsequent appeals of Notices of Penalty Assessment or Notices of Compensation Due. 
(D) Service and filing are timely if the documents are placed in the United States mail, first class postage prepaid, or personally delivered between the hours of 8:00 a.m. and 5:00 p.m., within the periods specified in section 10115.1(g). The original and all copies of any filing shall attach proof of service as provided in California Code of Regulations, title 8, section 10975. 
(E) The appeal process shall be governed by California Code of Regulations, title 8, section 10115.2. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133, 138.6, 138.7 and 5307.3, Labor Code. Reference: Sections 7, 53, 111, 124, 129, 129.5, 138.6 and 138.7, Labor Code; and Sections 11180, 11181 and 11182, Government Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Change without regulatory effect redesignating and amending former subsections (c)(8)(i)-(v) to subsections (c)(8)(A)-(E) filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
3. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10106.5. Civil Penalty Investigation.
Note     •     History

Notwithstanding California Code of Regulations, title 8, sections 10106.1 and 10107.1, if the Audit Unit has information indicating the possible existence of claims handling practices which would be assessable as a civil penalty under Labor Code section 129.5(e), it may conduct an investigation and/or audit pursuant to Labor Code sections 129 and 129.5. The Audit Unit may also utilize the provisions of Government Code sections 11180 through 11191 as the delagee of the Administrative Director's powers as a department head.
The Audit Unit shall report any suspected fraudulent activity uncovered during an audit and/or investigation to the appropriate law enforcement agencies, including but not limited to the Department of Insurance Fraud Bureau and the appropriate District Attorney having jurisdiction over the audit subject.
NOTE

Authority cited: Sections 129.5, 133 and 5307.3, Labor Code. Reference: Sections 11180 through 11191, Government Code; and Sections 59, 60, 111, 124, 129 and 129.5, Labor Code.
HISTORY

1. New section filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
2. Amendment filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
3. Amendment of first paragraph filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10107. Notice of Audit; Claim File Selection; Production of Claim Files; Auditing Procedure.
Note     •     History

(a) Once a subject has been selected for an audit, the Audit Unit shall serve a Notice of Audit on the claims administrator.  The Notice shall inform the administrator of its selection for audit, and shall include a request to provide the Audit Unit with a claim log or logs.  The audit subject shall provide two copies of the specified claim log(s) within fourteen days of the date of the receipt of the Notice.  The Audit Unit may select any or all claim files for audit.
(b) The Audit Unit shall send the audit subject a Notice of Audit Commencement identifying the files to be audited, except that no notice need be given to audit claim files which are the subject of inquiries or complaints.  The audit shall commence no less than fourteen days from the date the Notice was sent, unless the audit subject agrees to earlier commencement.
(c) The Audit Unit shall randomly select separate samples of indemnity, denied, and medical-only files from two years' of the audit subject's claim logs, except that if the earliest of the last two completed years has already been the subject of an audit, claims will be randomly selected from only the last completed year.
(1) The total number of indemnity files randomly selected for audit will be determined based on the following table:

Population	Sample Size
8 or less	all
9-15	1 less than total
16-19	2 less than total
20-23	3 less than total
24-27	4 less than total
28-30	5 less than total
31-33	6 less than total
34-36	7 less than total
37-38	8 less than total
39-41	9 less than total
42	32
43-44	33
45	34
46-47	35
48-49	36
50-51	37
52-53	38
54-55	39
56-57	40
58-59	41
60-61	42
62-63	43
64-65	44
66-67	45
68-70	46
71-72	47
73-74	48
75-77	49
78-79	50
80-82	51
83-84	52
85-87	53
88-89	54
90-92	55
93-95	56
96-98	57
99-101	58
102-104	59
105-107	60
108-110	61
111-114	62
115-117	63
118-120	64
121-124	65
125-128	66
129-131	67
132-135	68
136-139	69
140-143	70
144-148	71
149-152	72
153-156	73
157-161	74
162-166	75
167-171	76
172-176	77
177-181	78
182-187	79
188-192	80
193-198	81
199-204	82
205-210	83
211-217	84
218-223	85
224-230	86
231-238	87
239-245	88
246-253	89
254-261	90
262-270	91
271-279	92
280-288	93
289-298	94
299-308	95
309-319	96
320-330	97
331-342	98
343-354	99
355-367	100
368-381	101
382-396	102
397-411	103
412-427	104
428-444	105
445-463	106
464-482	107
483-503	108
504-525	109
526-549	110
550-575	111
576-603	112
604-633	113
634-665	114
666-700	115
701-739	116
740-781	117
782-827	118
828-879	119
880-936	120
937-1,000	121
1,001-1,072	122
1,073-1,154	123
1,155-1,248	124
1,249-1,356	125
1,357-1,483	126
1,484-1,633	127
1,634-1,814	128
1,815-2,036	129
2,037-2,315	130
2,316-2,677	131
2,678-3,163	132
3,164-3,852	133
3,853-4,904	134
4,905-6,710	135
6,711-10,530	136
10,531-23,993	137
23,994 +	138
(2) In conducting the audit, the Audit Unit shall calculate the frequency of files with violations as percentages of the files with exposure for violations after the following number of randomly selected indemnity files are audited:

Population	Sample Size
5 or less	all
6-10	1 less than total
11-13	2 less than total
14-16	3 less than total
17-18	4 less than total
19-20	5 less than total
21-23	6 less than total
24	17
25-26	18
27-29	19
30-31	20
32-33	21
34-36	22
37-39	23
40-41	24
42-44	25
45-48	26
49-51	27
52-55	28
56-58	29
59-62	30
63-67	31
68-72	32
73-77	33
78-82	34
83-88	35
89-95	36
96-102	37
103-110	38
111-119	39
120-128	40
129-139	41
140-151	42
152-164	43
165-179	44
180-197	45
198-217	46
218-241	47
242-269	48
270-304	49
305-346	50
347-399	51
400-468	52
469-562	53
563-696	54
697-905	55
906-1,272	56
1,273-2,091	57
2.092-5,530	58
5,531 +	59
If any of the following criteria are met after auditing the sample size as set forth in this subsection (c)(2), the Audit Unit will proceed to audit the remaining number of randomly selected indemnity files selected for audit pursuant to subsection (c)(1):
(i) The number of randomly selected audited files with violations involving the failure to pay indemnity exceeds 20% of those files in which indemnity is accrued and payable and the average amount of unpaid indemnity exceeds $200.00 per file in which indemnity is accrued and payable;
(ii) The numbers of randomly selected files with violations involving the late first payments of temporary disability indemnity, permanent disability indemnity, vocational rehabilitation maintenance allowance, late subsequent indemnity payments, and late payments of death benefits, as mitigated for frequency under Section 10111.1(e)(3)(i) through (v), exceeds 30% of the files in which those indemnity payments have been made;
(iii) The number of randomly selected audited files with violations involving the failure to issue benefit notices, as assessed under Section 10111.1(a)(7)(ii) of these regulations, exceeds 30% of those files in which there is a requirement to issue those notices.
The determination of whether or not to audit the number of files selected pursuant to subsection (c)(1) of this section shall not be the subject of appeal, and no preliminary report of findings will be issued to the audit subject before the determination is made.
(d) The total numbers of denied files and medical-only files randomly selected for audit will be determined based on the following table:

Population	Sample Size
6 or less	all
7-10	1 less than total
11-14	2 less than total
15-17	3 less than total
18	14
19-20	15
21	16
22-23	17
24-25	18
26-27	19
28-29	20
30-31	21
32-33	22
34-36	23
37-38	24
39-41	25
42-43	26
44-46	27
47-49	28
50-52	29
53-55	30
56-59	31
60-63	32
64-67	33
68-71	34
72-75	35
76-80	36
81-85	37
86-90	38
91-96	39
97-102	40
103-109	41
110-116	42
117-124	43
125-132	44
133-141	45
142-151	46
152-163	47
164-175	48
176-189	49
190-205	50
206-222	51
223-242	52
243-265	53
266-292	54
293-323	55
324-360	56
361-405	57
406-461	58
462-531	59
532-623	60
624-749	61
750-931	62
932-1,217	63
1,218-1,731	64
1,732-2,934	65
2,935-8,990	66
8,991 +	67
(e) In addition to randomly selected indemnity, denied, and medical-only files, the Audit Unit may also select for audit any or all files for which the Division of Workers' Compensation has received complaints within the past three years.
(f) The audit subject shall pay all expenses of an audit of an adjusting location outside the State of California, including per diem, travel expense, and compensated overtime of audit personnel.
(g) The audit subject shall make each of the claim files selected for audit available at the audit site at the time of audit commencement.  If claim files are maintained in an electronic or other non-paper storage medium, the claims administrator shall, upon request, provide to the Audit Unit direct computer access to electronic claim files and/or legible printed paper copies of the claim files, including all records of compensation payments.
(h) The Audit Unit shall have discretion to audit files in addition to those identified with the Notice of Audit Commencement.  The audit subject shall make each of the additional files selected for audit available at the audit site within 14 days of receipt of written notice identifying the additional files.
(i) The audit subject shall provide the auditor(s) an adequate, safe, and healthful work space during the audit, which allows the auditors a reasonable degree of privacy.  If this work space is not provided, the Audit Unit may require the audit subject to deliver the files to the nearest Audit Unit office for completion of the audit.
(j) The Audit Unit may obtain and retain copies of documentation or information from claim files to support the assessment of penalties.
(k) The audit subject shall have the opportunity to discuss preliminary findings and provide additional information at a post-audit conference.
(l) The Audit Unit may at any time request additional information or documentation in order to complete its audit.  Such information may include documentation that, as specified by Labor Code Sections 3751(a) and 3752, compensation has not been reduced or affected by any insurance, contribution, or other benefit due to or received by or from the employee.  The audit subject shall provide any requested documentation or other information within thirty days from the Audit Unit's request, unless the Audit Unit extends the time for good cause.
(m) The Audit Unit shall issue a report of audit findings which may include, but is not limited to, the following: one or more requests for additional documentation or compliance, Notices of Intention to Issue Notice of Compensation Due, Preliminary Notices of Penalty Assessments, Notices of Compensation Due, or Notices of Penalty Assessments.  If any additional requested documentation is not provided within thirty days of receipt of the report, additional audit penalties may be assessed under Section 10111.1(d)(2) of these Regulations.
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 11180, 11180.5, 11181 and 11182, Government Code; and Sections 111, 124, 129, 129.5, 3751 and 3752, Labor Code. 
HISTORY

1. Repealer and new section filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).  For prior history, see Register 90, No. 4.
2. New subsections (c)-(e), subsection relettering, amendment of newly designated subsection (g) and amendment of Note filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
§10107.1. Notice of Audit; Claim File Selection; Production of Claim Files; Auditing Procedure.
Note     •     History

For audits conducted on or after January 1, 2003: 
(a) Once a subject has been selected for an audit, the Audit Unit shall serve a Notice of Audit on the claims administrator. The Notice of Audit shall inform the claims administrator of its selection for audit, and may include a request to provide the Audit Unit with a claim log or logs. If the Audit Unit has requested claim logs, the audit subject shall provide two copies of each requested claim log within 14 days of the date of the receipt of the Notice of Audit. Only one copy of the requested claim log or logs shall be provided within 14 days of the date of the receipt of the Notice of Audit by the claims administrator if the copy is provided via electronic submission to the Audit Unit mailbox at DWCAuditUnit@ dir.ca.gov. 
(b) At least 14 days before the audit is scheduled, the Audit Unit shall send the audit subject a Notice of Audit Commencement identifying the claims to be audited. The audit shall commence no less than 14 days from the date the Notice of Audit Commencement was sent, unless the audit subject and Audit Unit agrees to earlier commencement. Claims selected for audit that are administered at the home of a telecommuting adjuster must be presented for audit at a California office location of the administrator, at a California location of the self insured employer, an Audit Unit office, or a Workers' Compensation Appeals Board district office. Other arrangements may be made as agreed between the audit subject and the Audit Unit. 
(c) For profile audit reviews conducted pursuant to Labor Code section 129(b)(1), the Audit Unit shall randomly select samples of indemnity claims from the most recent three years of the audit subject's claim logs or from the list of claims for those years as reported to the Division of Workers' Compensation pursuant to Labor Code section 138.6 as part of the Workers' Compensation Information System. Claim samples randomly selected under this subdivision shall not include claims with a single indemnity payment that cannot be classified under the profile audit review performance standards set forth in subdivision (c)(3)(A) through (C)(3)(E). If any of the years have been the subject of a previous audit, claims will be randomly selected from the most recent unaudited year(s). 
(1) The initial number of indemnity claims randomly selected for audit will be determined based on the following table: 

Population 	Sample Size 
5 or less 	all 
6-10 	1 less than total 
11-13 	2 less than total 
14-16 	3 less than total
17-18 	4 less than total
19-20 	5 less than total 
21-23 	6 less than total 
24 	17 
25-26 	18 
27-29 	19 
30-31 	20 
32-33 	21 
34-36 	22 
37-39 	23 
40-41 	24 
42-44 	25 
45-48 	26 
49-51 	27 
52-55 	28 
56-58 	29 
59-62 	30 
63-67 	31 
68-72 	32 
73-77 	33 
78-82 	34 
83-88 	35 
89-95 	36 
96-102 	37 
103-110 	38 
111-119 	39 
120-128 	40 
129-139 	41 
140-151 	42 
152-164 	43 
165-179 	44 
180-197 	45 
198-217 	46 
218-241 	47 
242-269 	48 
270-304 	49 
305-346 	50 
347-399 	51 
400-468 	52 
469-562 	53 
563-696 	54 
697-905 	55 
906-1,272 	56 
1,273-2,091 	57 
2,092-5,530 	58 
5,531 + 	59 
(2) In addition to the randomly selected indemnity claims, the Audit Unit may audit any claims for which it has received a complaint or information over the past three years that indicate a failure to pay indemnity, including any companion claim needed to ascertain the extent to which benefits have been provided. Claims with complaints that are randomly selected will be audited as part of the random sample and included in the performance rating.
Complaints not involving a failure to pay indemnity will be provided to the audit subject, if confidentiality has not been requested, for review and corrective action, if warranted. Within 30 days of receipt of the report of audit findings issued pursuant to subdivision (f) of this section, the audit subject shall provide a written response to the Audit Unit, stating its review findings and corrective actions, if any.
(3) After reviewing the claims selected pursuant to subdivision (c)(1), the Audit Unit shall calculate the audit subject's profile audit review performance rating based on its review of the randomly selected claims. The profile audit review performance rating will be calculated as follows: 
(A) The factor for the failure to pay accrued and undisputed indemnity shall be determined by:
1. Dividing the number of randomly selected claims with violations involving the failure to pay indemnity [pursuant to California Code of Regulations, title 8, section 10111.2, subdivisions (a)(1), (a)(2), (a)(3), (a)(4), and (a)(10)] by the number of randomly selected claims with accrued and payable indemnity, to produce a frequency rate. 
2. Dividing the total amount of unpaid indemnity in randomly selected claims by the number of randomly selected claims with accrued and payable indemnity, to produce an average amount of unpaid indemnity per file with the obligation to pay indemnity. 
3. Dividing the average amount of unpaid indemnity per randomly selected audited claim with the obligation to pay indemnity for the audit subject by the average amount of unpaid indemnity per randomly selected audited claim for all audit subjects for the three calendar years before the year preceding the year in which the current audit was commenced, to produce a severity rate. 
4. Multiplying the frequency rate by the severity rate by a modifier of 2 to determine the factor for the failure to pay accrued and undisputed indemnity. 
(B) The factor for the late first payment of temporary disability indemnity shall be determined by dividing the number of randomly selected claims with violations involving the late first payment of temporary disability indemnity [pursuant to section 10111.2, subdivisions (a)(5), (a)(8), and (a)(10)], or in claims that involve salary continuation, failure to comply with the requirements for first notices advising the injured employee of the provision of salary continuation in lieu of first temporary disability payments [pursuant to section 10111.2, subdivisions (b)(8)(B) and (b)(8)(C)], by the number of randomly selected claims in which temporary disability payments or first notices advising the injured employee of the provision of salary continuation in lieu of first temporary disability notices were required. In any claim that involves the payment of both salary continuation in lieu of first temporary disability payments and temporary disability payments, each benefit type paid will be considered in calculating this factor. 
(C) The factor for the late first payment of permanent disability indemnity, vocational rehabilitation maintenance allowance, and death benefits [pursuant to section 10111.2, subdivisions (a)(6), (a)(7), (a)(8), and (a)(10)] shall be determined by dividing the numbers of randomly selected claims with violations involving late first payments of those benefits by the numbers of randomly selected claims with payments for those benefits. In calculation of this factor, claims shall be counted for each type of exposure and late first payment. 
(D) The factor for late subsequent indemnity payments [pursuant to section 10111.2, subdivisions (a)(8), (a)(9), and (a)(10)] shall be determined by dividing the number of randomly selected claims with violations involving late indemnity payments subsequent to first payment by the number of randomly selected claims with subsequent indemnity payments. 
(E) The factor for failure to comply with requirements for notices advising injured employees of the process for selecting Agreed Medical Examiners and/or Qualified Medical Examiners, and for injured workers with injuries prior to January 1, 2004, failure to comply with the requirements for notices advising injured workers of potential eligibility for vocational rehabilitation, or for injured workers with injuries on or after January 1, 2004, failure to comply with the requirements for notices advising injured workers of the right to the supplemental job displacement benefit, shall be determined by dividing the numbers of randomly selected claims with violations involving the failure to comply with the applicable requirement to issue the notices by the numbers of randomly selected claims with the requirement to issue the notices. In calculation of this factor, claims shall be counted for each type of exposure and violation. 
(F) The audit subject's profile audit review performance rating will be determined by adding the factors calculated pursuant to subdivisions (c)(3)(A) through (c)(3)(E). 
(4) If the audit subject's profile audit review performance rating meets or exceeds the worst 20% of performance ratings for all final audit reports issued for audits commenced the three calendar years before the year preceding the year in which the current audit was commenced, the Audit Unit will issue Notices of Compensation Due pursuant to California Code of Regulations, title 8, section 10110 but will assess no administrative penalties for violations found in the profile audit review. 
(5) If the audit subject's profile audit review performance rating fails to meet or exceed the rating of the worst 20% of performance ratings as calculated based on all final audit findings as published in the Annual DWC Audit Reports over the three calendar years before the year preceding the year in which the current audit was commenced, the Audit Unit will conduct a full compliance audit by randomly selecting and auditing an additional sample of indemnity claims pursuant to subdivision (d). Written notification of the Audit Unit's findings from the profile audit review, the calculation of the profile audit review performance rating, and intent to proceed to a full compliance audit, will be provided to the audit subject in time for the timely filing of an objection. The audit subject may dispute whether or not a full compliance audit is merited under this subdivision at a post-profile audit review conference. Unless the audit subject demonstrates that the factual basis for the Audit Unit's calculation of the profile audit review performance rating is incorrect within two working days of the receipt of the rating or at the post profile audit review conference, the Audit Unit may complete the full compliance audit. The audit subject may appeal the issues pursuant to California Code of Regulations, title 8, section 10115.1 following the issuance of the final audit report. Failure of the audit subject to raise factual issues related to failing to meet or exceed the profile audit review performance standard within two working days of the receipt of the profile audit review performance rating or during the post-profile audit review conference shall constitute a waiver of appeal on those issues. 
(d) If the audit subjects fails to meet or exceed the profile audit review performance standard, the Audit Unit shall conduct a full compliance audit by selecting and auditing an additional sample of indemnity claims. 
(1) The total number of indemnity claims randomly selected for audit, including the number audited pursuant to subdivision (c)(1), will be determined based on the following table: 

Population 	Sample Size 

8 or less 	all 
9-15 	1 less than total 
16-19 	2 less than total 
20-23 	3 less than total 
24-27 	4 less than total 
28-30 	5 less than total 
31-33 	6 less than total 
34-36 	7 less than total 
37-38 	8 less than total 
39-41 	9 less than total 
42 	32 
43-44 	33 
45 	34 
46-47 	35 
48-49 	36 
50-51 	37 
52-53 	38 
54-55 	39 
56-57 	40 
58-59 	41 
60-61 	42 
62-63 	43 
64-65 	44 
66-67 	45 
68-70 	46 
71-72 	47 
73-74 	48 
75-77 	49 
78-79 	50 
80-82 	51 
83-84 	52 
85-87 	53 
88-89 	54 
90-92 	55 
93-95 	56 
96-98 	57 
99-101 	58 
102-104 	59 
105-107 	60 
108-110 	61 
111-114 	62 
115-117 	63 
118-120 	64 
121-124 	65 
125-128 	66 
129-131 	67 
132-135 	68 
136-139 	69 
140-143 	70 
144-148 	71 
149-152 	72 
153-156 	73 
157-161 	74 
162-166 	75 
167-171 	76 
172-176 	77 
177-181 	78 
182-187 	79 
188-192 	80 
193-198 	81 
199-204 	82 
205-210 	83 
211-217 	84 
218-223 	85 
224-230 	86 
231-238 	87 
239-245 	88 
246-253 	89 
254-261 	90 
262-270 	91 
271-279 	92 
280-288 	93 
289-298 	94 
299-308 	95 
309-319 	96 
320-330 	97 
331-342 	98 
343-354 	99 
355-367 	100 
368-381 	101 
382-396 	102 
397-411 	103 
412-427 	104 
428-444 	105 
445-463 	106 
464-482 	107 
483-503 	108 
504-525 	109 
526-549 	110 
550-575 	111 
576-603 	112 
604-633 	113 
634-665 	114 
666-700 	115 
701-739 	116 
740-781 	117 
782-827 	118 
828-879 	119 
880-936 	120 
937-1,000 	121 
1,001-1,072 	122 
1,073-1,154 	123 
1,155-1,248 	124 
1,249-1,356 	125 
1,357-1,483 	126 
1,484-1,633 	127 
1,634-1,814 	128 
1,815-2,036 	129 
2,037-2,315 	130 
2,316-2,677 	131 
2,678-3,163 	132 
3,164-3,852 	133 
3,853-4,904 	134 
4,905-6,710 	135 
6,711-10,530 	136 
10,531-23,993 	137 
23,994 + 	138 
(2) In addition to the randomly selected indemnity claims, the Audit Unit may audit any claims for which it has received a complaint or information over the past three years that indicate a failure to pay indemnity or late-paid indemnity, including any companion claim needed to ascertain the extent to which benefits have been provided. 
Complaints not involving a failure to pay indemnity or late paid indemnity will be provided to the audit subject, if confidentiality has not been requested, for self-review and corrective action, if warranted. Within 30 days of receipt of the report of audit findings issued pursuant to subdivision (f) of this section, the audit subject shall provide a written response to the Audit Unit stating its review findings and corrective actions, if any. 
(3) After reviewing the claims selected pursuant to subdivision (d)(1), the Audit Unit shall calculate the audit subject's full compliance audit performance rating. 
(A) The audit subject's full compliance audit performance rating will be calculated pursuant to subdivision (c)(3), except that it shall be based on the review of all claims selected pursuant to subdivision (d)(1). 
(B) If the audit subject's full compliance audit performance rating meets or exceeds the worst 10% of performance ratings for all final audit reports issued for audits commenced in the three calendar years before the year preceding the year in which the current audit was commenced, the Audit Unit will issue Notices of Compensation Due pursuant to section 10110 and will assess administrative penalties only for violations involving unpaid and late paid compensation, pursuant to Labor Code section 129.5(c)(2). 
(e) If the audit subject's full compliance audit performance rating fails to meet or exceed the rating of the worst 10% of performance ratings for all final audit reports issued for audits commenced in the three calendar years before the year preceding the year in which the current audit was commenced, the Audit Unit will audit all claims selected for audit for all violations, and also randomly select a sample of denied claims. Written notification of the Audit Unit's findings from the full compliance audit, the calculation of the full compliance audit performance rating, and intent to audit a sample of denied claims and assess penalties pursuant to Labor Code section 129.5(c)(3), will be provided to the audit subject in time for the timely filing of an objection. The audit subject may dispute whether or not it met or exceeded the full compliance audit performance standard at a meet and confer audit review conference. Unless the audit subject demonstrates that the factual basis for the Audit Unit's calculation of the full compliance audit performance rating is incorrect within two working days of the receipt of the rating or at the meet and confer audit review conference, the Audit Unit may complete the full compliance audit. The audit subject may appeal pursuant to section 10115.1 following the issuance of the final audit report. Failure of the audit subject to raise factual issues related to failing to meet or exceed the full compliance audit performance standard within two working days of the receipt of the full compliance audit performance rating or during the meet and confer audit review conference shall constitute a waiver of appeal on those issues. 
(1) The number of denied claims randomly selected for audit will be based on the following table: 

Population 	Sample Size 
6 or less 	all 
7-10 	1 less than total 
11-14 	2 less than total 
15-17 	3 less than total 
18 	14 
19-20 	15 
21 	16 
22-23 	17 
24-25 	18 
26-27 	19 
28-29 	20 
30-31 	21 
32-33 	22 
34-36 	23 
37-38 	24 
39-41 	25 
42-43 	26 
44-46 	27 
47-49 	28 
50-52 	29 
53-55 	30 
56-59 	31 
60-63 	32 
64-67 	33 
68-71 	34 
72-75 	35 
76-80 	36 
81-85 	37 
86-90 	38 
91-96 	39 
97-102 	40 
103-109 	41 
110-116 	42 
117-124 	43 
125-132 	44 
133-141 	45 
142-151 	46 
152-163 	47 
164-175 	48 
176-189 	49 
190-205 	50 
206-222 	51 
223-242 	52 
243-265 	53 
266-292 	54 
293-323 	55 
324-360 	56 
361-405 	57 
406-461 	58 
462-531 	59 
532-623 	60 
624-749 	61 
750-931 	62 
932-1,217 	63 
1,218-1,731 	64 
1,732-2,934 	65 
2,935-8,990 	66 
8,991 + 	67 
(2) In addition to the random samples of indemnity and denied claims, the Audit Unit may select for audit all claims for which the Division received complaints or information over the past three years that indicate the possible existence of any claims handling violations, including any companion claim(s) needed to ascertain the extent to which benefits have been provided. 
(f) Following the conclusion of the audit, the Audit Unit shall issue a report of audit findings which may include, but is not limited to, the following: one or more requests for additional documentation or compliance, Notices of Intention to Issue Notice of Compensation Due, Preliminary Notices of Penalty Assessments, Notices of Compensation Due, or Notices of Penalty Assessments. If any additional requested documentation is not provided within thirty days of receipt of the report, additional audit penalties may be assessed under California Code of Regulations, title 8, section 10111.2(b)(23) of these Regulations. 
(g) The audit subject shall pay all expenses of an audit of an adjusting location outside the State of California, including per diem, travel expense, and compensated overtime of audit personnel. 
(h) The audit subject shall make each of the claim files selected for audit available at the audit site at the time of audit commencement. Claims will include but not be limited to the required contents of California Code of Regulations, title 8, section 10101.1. If claim files are maintained in an electronic or other non-paper storage medium, the claims administrator shall, upon request, provide to the Audit Unit, at the Audit Unit's discretion, direct computer access to electronic claim files and/or legible printed paper copies of the claim files, including all records of compensation payments. If a randomly selected indemnity, medical-only, or denied claim has been incorrectly classified as to type by the audit subject, the Audit Unit may randomly select an additional correctly designated claim file for audit, and may also assess penalties as appropriate in the misdesignated claim initially selected. If the audit subject fails to produce a claim selected for audit, the Audit Unit may assess a penalty for failure to produce the claim pursuant to section 10111.2(b)(3) and may also select for audit another claim of the same type to complete the random sample. If, after the issuance of the Notice of Audit Commencement that notified the audit subject that the claim was selected for audit, the audit subject has transferred a claim to a different adjusting location of the company being audited, the audit subject shall nonetheless produce the claim for audit within five working days of request, unless additional time is agreed upon by both the Audit Unit and the audit subject. 
(i) The Audit Unit shall have discretion to audit claims in addition to those identified with the Notice of Audit Commencement. The audit subject shall make each of the additional claims selected for audit available at the audit site as follows: 
(1) Open claims and closed claims stored on site within one working day of request; 
(2) Closed claims stored off site within five working days of request, unless additional time is agreed upon by both the Audit Unit and the audit subject. 
(j) The audit subject shall provide the auditor(s) an adequate, safe, and healthful workspace during the audit, which allows the auditors a reasonable degree of privacy. If the Audit Unit determines that this workspace is not provided, the Audit Unit may require the audit subject to deliver the files to another California office location of the audit subject, an Audit Unit office, or a Workers' Compensation Appeals Board district office, for completion of the audit. Other arrangements may be made as agreed between the audit subject and the Audit Unit.
(k) The Audit Unit may obtain and retain copies of documentation or information from claim files to support the assessment of penalties. 
(l) The audit subject shall have the opportunity to discuss preliminary findings and provide additional information at a post-audit conference. 
(m) The Audit Unit may at any time request additional information or documentation related to the claims being audited in order to complete its audit. Such information may include documentation demonstrating that, as specified by Labor Code sections 3751 and 3752, compensation has not been reduced or affected by any insurance, contribution, or other benefit due to or received by or from the employee. The audit subject shall provide any requested documentation or other information within ten working days from the Audit Unit's request, unless the Audit Unit extends the time for good cause. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 11180, 11180.5, 11181 and 11182, Government Code; and Sections 111, 124, 129, 129.5, 139.5, 3751, 3752, 4658.5 and 4658.6, Labor Code. 
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Change without regulatory effect amending subsections (c)(3)(A)(i-a) and (c)(3)(A)(i-c) filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
3. Amendment of subsection (c)(3)(A)v. filed 10-6-2003; operative 12-1-2003 (Register 2003, No. 41).
4. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10108. Audit Violations--General Rules.
Note     •     History

The following general rules apply to audits and audit processes under Labor Code sections 129 and 129.5:
(a) If the date or deadline (including any applicable extension) to perform any act falls on a weekend or holiday, the act may be performed on the last business day before or the first business day after the weekend or holiday. A payment date which is changed under this provision shall not change the normal dates for later payments in an existing two-week payment schedule.
(b) For the purpose of imposing audit penalties, if the claims administrator does not record the date it received a document, it shall be deemed received five days after the latest date the sender wrote on the document.
(c) Audit penalties will be based on each claim's status when the claim is audited. 
(1) If, at the time of the audit, the claims administrator has failed to perform a required act, but remedies the failure prior to the receipt of the Notice of Audit Commencement, when the claims administrator was notified that the claim was selected for audit, the claims administrator will be accountable for the violation. The penalty for an unlawful delay of more than 30 days in performing an act is the same as the penalty for not performing the act unless these regulations specifically provide otherwise. However the penalty will be mitigated for good faith because the act, though late, was eventually performed. 
(2) If the claims administrator remedies a failure to perform a required act only after receipt of the Notice of Audit Commencement, the claims administrator will nonetheless be accountable for the violation as a failure to act and audit findings related to the violation will be based on the failure to perform the act. In cases where there is an unlawful delay of more than 30 days in performing an act and the act was performed only after the audit subject was notified that the claim was selected for audit, penalties will be assessed as though there was a failure to perform the act rather than late performance of the act. There will be no mitigation for good faith if the act was performed after notification to the audit subject that the claim was selected for audit. 
(d) Penalties will not be assessed during the period a claims administrator is actively investigating its liability for provision of benefits or payment of compensation, provided that a Notice of Delay has been timely and properly issued in accordance with California Code of Regulations, title 8, sections 9812 or 9813. However, penalties shall still be issued for violations during the period of delay for: the failure to timely pay or object to medical bills for treatment authorized under Labor Code section 5402(c); the failure to timely pay or object to medical treatment bills in accordance with Labor Code section 4603.2, or the failure to timely pay or object to medical legal expenses in accordance with Labor Code section 4620, et seq.
(e) Penalties will not be assessed for an act or omission where an injured worker's unreasonable refusal to cooperate in the investigation has prevented the claims administrator from determining its legal obligation to perform the act.
(f) Where a penalty is provided for failure to pay mileage fees related to medical treatment or evaluation, a penalty will be imposed if payment is not made at a rate that is at least the minimum rate adopted by the Director of the Department of Personnel Administration pursuant to Section 19820 of the Government Code for non-represented (excluded) employees at California Code of Regulations, title 2, section 599.631(a).
(g) Failure, delay, or refusal to pay compensation benefits or expenses shall be subject to the applicable penalties under California Code of Regulations, title 8, sections 10111, 10111.1, 10111.2 unless the legal, factual, or medical basis for the failure, refusal, or delay is documented in the claim file.
(h) The Audit Unit will not assess penalties for violations of failure to make payment of indemnity due if the total indemnity is less than twenty-five dollars ($25.00) aggregate per claim. Although penalties may not be assessed, the audit subject shall pay all indemnity owed.
(i) Nothing in these regulations will bar the assessment of a civil penalty under Labor Code section 129.5(e), whether or not the audit subject meets or exceeds performance rating standards calculated pursuant to California Code of Regulations, title 8, section 10107.1(c)(3) or (d)(3). 
(j) Claims that are randomly selected for audit pursuant to California Code of Regulations, title 8, sections 10107.1(c)(1) and (d)(1) will be considered as randomly selected claims for purposes of determining whether or not an audit subject meets or exceeds performance standards pursuant to sections 10107.1(c)(3) or (d)(3), whether or not complaints or information indicating claims handling violations in those claims have been received by the Audit Unit. If the Audit Unit cannot ascertain the extent to which benefits have been paid on a claim randomly selected for audit without auditing a companion or master claim to that claim, the Audit Unit may add the companion or master claim to the random sample. The companion or master claims will be considered as randomly selected claims for purposes of determining whether or not the audit subject meets or exceeds performance standards pursuant to sections 10107.1(c)(3) and/or (d)(3). 
(k) Notwithstanding section 10111.2(a) and (b), penalties may be assessed for failure to timely submit an accurate Annual Report of Inventory regardless of whether or not an audit has been conducted, or, if an audit was conducted, whether or not the audit subject's performance rating in the key performance areas calculated pursuant to section 10107(c) warrants the audit of a full sample of indemnity claims pursuant to section 10107(c)(4), or a return, targeted audit based on performance in those areas pursuant to California Code of Regulations, title 8, section 10106(c)(2). 
(l) Notwithstanding penalty amounts established pursuant to section 10111.2, penalties for late performance of an act may not exceed penalty amounts for the failure to perform an act. 
(m) If more than one claims administrator has adjusted a claim file that is being audited or investigated, penalties will be assessed against the audit subject only for violations that occurred subsequent to the date the audit subject began adjusting the claim file, except that the audit subject will be assessed penalties for the failure to pay compensation due if the claim was open when transferred to the audit subject or re-opened subsequent to its transfer and the compensation remained unpaid. The audit subject is required to correct any failures to issue notices which are still pertinent, to recalculate and correct any improperly calculated payments due to the worker, and to pay any interest and increase due for late paid medical payments. 
(n) Successor liability may be imposed on a claims administrator or insurer that has merged with, consolidated, or otherwise continued the business of a corporation or other business entity that is a responsible party and failed to meet its obligations under Divisions 1 and 4 of the Labor Code or regulations of the administrative director. The surviving claims administrator shall assume and be liable for all the liabilities, obligations and penalties of the prior corporation or business entity. Successor liability will be imposed if there has been a substantial continuity of business operations; and/or the new business uses the same or substantially the same work force. In such circumstances, due consideration of the appropriateness of penalties with respect to the history of previous violations pursuant to Labor Code section 129.5(b)(3) will encompass findings related to the last audit of the predecessor claims administrator applied in conjunction with audit results of the successor claims administrator pursuant to California Code of Regulations, title 8, section 10111.2(c)(4). 
NOTE

Authority cited: Sections 59, 129.5, 133, 138.3, 138.4, 138.6 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.6, 4600, 4603.2, 4621 and 5402, Labor Code; and Sections 7, 9, 10 and 11, Civil Code. 
HISTORY

1. Renumbering of former section 10108 to section 10111 and new section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (e) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Amendment of subsection (c) filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
4. Amendment of subsections (c) and (f) and new subsections (h)-(n) filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
5. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10109. Duty to Conduct Investigation; Duty of Good Faith.
Note     •     History

(a) To comply with the time requirements of the Labor Code and the Administrative Director's regulations, a claims administrator must conduct a reasonable and timely investigation upon receiving notice or knowledge of an injury or claim for a workers' compensation benefit.
(b) A reasonable investigation must attempt to obtain the information needed to determine and timely provide each benefit, if any, which may be due the employee.
(1) The administrator may not restrict its investigation to preparing objections or defenses to a claim, but must fully and fairly gather the pertinent information, whether that information requires or excuses benefit payment. The investigation must supply the information needed to provide timely benefits and to document for audit the administrator's basis for its claims decisions. The claimant's burden of proof before the Appeal Board does not excuse the administrator's duty to investigate the claim.
(2) The claims administrator may not restrict its investigation to the specific benefit claimed if the nature of the claim suggests that other benefits might also be due.
(c) The duty to investigate requires further investigation if the claims administrator receives later information, not covered in an earlier investigation, which might affect benefits due.
(d) The claims administrator must document in its claim file the investigatory acts undertaken and the information obtained as a result of the investigation. This documentation shall be retained in the claim file and available for audit review. 
(e) Insurers, self-insured employers and third-party administrators shall deal fairly and in good faith with all claimants, including lien claimants.
NOTE

Authority cited: Sections 59, 129.5, 133, 5307.3, Labor Code. Reference: Article 14, Section 4, California Constitution; Sections 124, 129, 133, 4061, 4550, 4600, 4636 through 4638, 4650, 4701 through 4703.5, 5402 and 5814, Labor Code; Ramirez v. WCAB, 10 Cal.App.3d 227, 88 CR 865, 35 CCC 383 (1970); and Section 790.03(h)(3), (5), (13), Insurance Code.
HISTORY

1. Relocation of article 4 heading to article 6, renumbering of former section 10109 to section 10113 and new section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (d) filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
Article 4. Notices of Compensation Due
§10110. Notice of Intention to Issue a Notice of Compensation Due; Notice of Compensation Due; Review by Workers' Compensation Appeals Board.
Note     •     History

(a) If as the result of an audit, the Administrative Director determines that compensation is due and unpaid to an employee, (s)he shall serve on the audit subject, personally or by first class mail, a Notice of Intention to Issue a Notice of Compensation Due specifying the amount, reason and period for which compensation is due.  If liability for compensation is clear but the amount cannot be determined from information in the claim file, the Administrative Director may direct the claims administrator to gather the necessary additional information.
(b) The audit subject may file an Objection to the Notice of Intention within 14 days of receipt.  The Objection shall state in detail the reasons the compensation found due is disputed and may include supporting documentation and legal argument.
(c) The Administrative Director will review any Objection, and may set the matter for an administrative meeting, which may be included as part of a post audit conference.  The administrative meeting or the post audit conference may be set on the Administrative Director's own initiative or at the request of the audit subject.  After review, the Administrative Director shall either dismiss the Notice of Intention to Issue a Notice of Compensation Due or issue a Notice of Compensation Due.
(d) If no timely Objection is submitted, the Administration Director may issue a Notice of Compensation Due.  A Notice of Compensation Due which was issued without a timely Objection shall be final without right of further review unless the Workers' Compensation Appeals Board agrees to hear an appeal after a late Objection.
(e) A Notice of Compensation Due shall specify the amount, reason and period for which compensation is due and shall order payment of the compensation to the employee or dependent.  The Notice of Compensation Due shall be served on the insurer, self-insured employer or third-party administrator personally or by certified or registered mail, and a copy shall be sent by first class mail to the affected employee or dependent.  The compensation due must be paid within 15 days of receipt of the Notice of Compensation Due unless appealed to the Workers Compensation Appeals Board in accordance with Section 10115 of these Rules and the applicable rules of the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 59, 129.5, 133, 4603.5, 5307.3, Labor Code.  Reference: Sections 129, 139.5, 3207, 4453, 4550, 4600, 4621, 4636-4638, 4639, 4653, 4658, 4659, 4660, 4661.5, 4701-4703.5, 4900 and 4902, Labor Code; and Section 10952, Title 8, California Code of Regulations.
HISTORY

1. New article 4 heading, renumbering of  former section 10110 to section 10114 and new section filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
Article 5. Administrative Penalties
§10111. Schedule of Administrative Penalties for Injuries on or After January 1, 1990, but Before January 1, 1994.
Note     •     History

The administrative penalties set forth in subsections (a) through (d) of this section will be imposed for injuries occurring on or after January 1, 1990, but before January 1, 1994, subject to any applicable mitigation or exacerbation under subsection (e) of this section.
(a) A penalty of up to $100 for each violation shall be assessed when there is: 
(1) Failure to make full payment of 10% self-imposed increase when temporary disability indemnity or permanent disability indemnity is overdue.  The penalty for this violation is: 
If the self-imposed increase was not paid or was only partially paid, the audit penalty is based on the amount of the underlying indemnity and is as follows:
$25 if the late-paid indemnity totals not more than 3 days;
$50 if the late-paid indemnity totals more than 3 but not more than 7 days;
$75 if the late-paid indemnity totals more than 7 but not more than 14 days; 
$100 if the late paid indemnity totals more than 14 days.
(2) Failure to provide first permanent disability payment when due and/or within 14 days after temporary disability payments are terminated.  The penalty for this violation is: 
$25 if the first payment was made 1 to 2 days late;
$50 if the first payment was made 3 to 7 days late;
$75 if the first payment was made 8 to 14 days late;
$100 if the first payment was made more than 14 days late.
(3) Failure to respond to a written request for medical treatment of injured worker within 20 days of the date of request.  The penalty for this violation is: 
$25 for a response made from 1 to 7 days late;
$50 for a response made from 8 to 15 days late;
$75 for a response made from 16 to 34 days late;
$100 for failure to respond for more than 35 days.
(4) Failure to provide, upon request, any transportation costs when due to injured worker for medical care.  The penalty for this violation is: 
$25 for $10 or less in expense;
$50 for more than $10, to $20, in expense;
$75 for more than $20, to $40, in expense;
$100 for more than $40 in expense.
(5) Failure to document average weekly earnings if  temporary disability indemnity is being paid at less than the maximum rate.  The penalty for this violation is $100.
(6) Failure to make the first payment of temporary disability indemnity not later than 14 days after the date of the employer's knowledge of injury and disability pursuant to Labor Code Section 4650(a).  The penalty for this violation is:
$25 if the first payment was made 1 to 2 days late;
$50 if the first payment was made 3 to 7 days late;
$75 if the first payment was made 8 to 14 days late, and/or if all indemnity then due was not paid but was paid with a subsequent payment;
$100 if the first payment was made more than 14 days late, and/or if all indemnity then due was not paid with the first payment and remains unpaid at the time of audit.
(7) Failure to follow the Rules and Regulations established by the Administrative Director for the purpose of carrying out the workers' compensation provisions in Labor Code Section 3200 through Section 6002.  The penalty for this violation is:
[i] For each failure to include in a claim file a copy of the Employee's Claim for Worker's Compensation Benefits, DWC Form 1, showing the date the form was provided to and received from the employee, or documentation of the date the claim form was provided to the employee if the employee did not return the form, the penalty is:
$100 if there were any late indemnity payments, or if notice of acceptance of the claim was not issued within 90 days after the employer's date of knowledge of injury and disability, or if the claim was denied.
[ii] For each failure to issue a notice of benefits as required by Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1, Article 8, beginning with Section 9810, or by Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1.5, Article 7, beginning with Section 10122, unless penalties apply and are assessed under Section 10111(b)(2) of these regulations, the penalty is $100.
[iii] For each notice of benefits which was not issued timely as provided in Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1, Article 8, beginning with Section 9810, or as provided in Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1.5, Article 7, beginning with Section 10122, the penalty is:
$25 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA which was issued from 1 to 7 days late;
$50 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA which was issued more than 7 days late, and for each delay in decision notice or denial notice which was issued from 1 to 7 days late;
$75 for each delay in decision notice or denial notice which was issued more than 7 days late.
[iv] For each Notice of Benefits required by Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1, Article 8, beginning with Section 9810, or by Title 8, California Code of Regulations, Division 1, Chapter 4.5, Subchapter 1.5, Article 7, beginning with Section 10122, which was materially inaccurate or incomplete, except an inaccurate or incomplete denial notice, the penalty is $25.  For a materially inaccurate or incomplete denial notice the penalty is $100.
[v] For each failure to include in a claim file, or document attempts to obtain, any of the required contents specified in Section 10101, the penalty is $100.
[vi] For each failure to comply with any regulation of the Administrative Director, not otherwise assessed in these Regulations, the penalty is $100.
(8) Failure to pay or object to all documented Medical-Legal expenses within 60 days of receipt of billing and any required reports as provided for in Labor Code 4622.  The penalty for this violation is:
$50 for each bill which was paid more than 60 days from receipt with interest and a 10% increase;
$75 for each bill which was paid more than 60 days from receipt where either interest or a 10% increase was not included;
$100 for each bill which was paid more than 60 days from receipt where neither interest nor a 10% increase was paid;
$100 for each bill which was not paid where no timely objection was sent.
(9) Failure to pay or object to expenses for medical treatment within 60 days of receipt of the bill and any required reports.  The penalty for this violation is:
$25 for each bill of $100 or less, excluding interest and penalty;
$50 for each bill of more than $100, but no more than $200, excluding interest and penalty;
$75 for each bill of more than $200, but no more than $300, excluding interest and penalty;
$100 for each bill of more than $300, excluding interest and penalty.
(10) Failure to pay within ten days any indemnity due, which is not specified in subsections (a)(1) through (a)(9).  The penalty for this violation is: 
$25 for late payment of 3 days of indemnity or less;
$50 for late payment of more than 3 but no more than 7 days of indemnity;
$75 for late payment of more than 7 days of indemnity, or failure to pay 3 days of indemnity or less;
$100 for failure to pay more than 3 days of indemnity.
(b) A penalty of up to $500 for each violation shall be assessed when there is: 
(1) Failure to maintain and provide a written claim log as defined in Section 10100(g) to the audit unit commencing July 1, 1990, and thereafter. The claim log shall contain all claims received, whether liability has been accepted, and distinguish between Indemnity and Medical-only claims.  The penalty for this violation is: 
$25 for each failure to list on a claim log one or more of the following: employee's name; claim number; date of injury;
$25 for each misdesignation of an indemnity file as a medical-only file on the claim log;
$100 for each failure to identify subsidiary self-insured employers on the log;
$100 for each failure to identify the underwriting insurance company of an insurance group;
$100 for each failure to designate a denied claim on the log;
$100 for each claim not listed on the log;
$250 for each failure to provide the claim log to the Audit Unit within 14 days of receipt of a written request if the claim log was provided more than 14 but no more than 30 days from receipt of the request;
$500 for each failure for more than 30 days from receipt of a written request, to provide the claim log to the Audit Unit.
(2) Failure to comply with Labor Code Sections 4636, 4637 and 4644.  The penalty for this violation is:
[i] The penalty for each failure to assign a qualified rehabilitation representative immediately after 90 days of aggregate temporary disability indemnity is $100 if the assignment was made or the employee returned to his or her usual and customary occupation more than 10 but not more than 20 days after 90 days of aggregate total disability, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $500.
[ii] The penalty for each failure to issue notice of medical eligibility for vocational rehabilitation services (if not previously issued) within 10 days after knowledge of a physician's opinion that the employee is medically eligible, or for failure to issue notice within 10 days after 366 days of aggregate total temporary disability, is $100 if the notice was issued not more than 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $500.
[iii] The penalty for each failure to notify an injured employee of the reasons he or she is not entitled to any, or to any further, vocational rehabilitation services, and the procedure for contesting the determination of non-eligibility, is $100 if notification was issued more than 10 but not more than 20 days after the determination, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $500.
(c) A penalty of up to $1,000 for each violation shall be assessed when there is: 
(1) Failure to pay or appeal penalties provided for in the Notice of Compensation Due within 15 days of the  date of receipt of the Notice.  The penalty for this violation is: 
$250 for each assessment paid more than 15 but not more than 30 days after receipt;
$500 for each assessment paid more than 30 but not more than 45 days after receipt;
$1,000 for each assessment not paid within 45 days after receipt.
(2) Failure to comply with or appeal any final order of the Workers' Compensation Appeals Board within 30 days of service.   The penalty for this violation is:
$250 for full compliance in more than 30 but not more than 45 days from the date of service, or for any late payment or failure to pay interest due;
$500 for full compliance (other than a late interest payment) in more than 45 but not more than 60 days from the date of service;
$750 for full compliance (other than a late interest payment) in more than 60 but not more than 75 days from the date of service;
$1,000 if there was not full compliance (other than failure to pay interest) within 75 days of the date of service.
(d) A penalty of up to $5,000 for each violation shall be assessed when there is: 
(1) Failure to produce, on a second request, a legible paper copy of a claim files within 5 days of written notice by the Administrative Director or his representatives.  The penalty for this violation is: 
$100 if the file was produced not more than 3 days late;
$250 if the file was produced more than 3 but not more than 14 days late;
$500 if the file was produced more than 14 but not more than 29 days late;
$1,000 if the file was produced more than 29 but not more than 40 days late;
$2500 if the file was produced more than 40 days late but not more than 90 days late.
$5000 if the was produced more than 90 days late or was not produced.
(2) Denial of liability for a claim without supporting documentation.
The total penalty shall be determined by applying the penalty assessment amount listed in [i] for gravity, subtracting the amount listed in [ii] for good faith if applicable, and increasing or decreasing the penalty as applicable for history and frequency as set forth in [iii] and [iv]:
[i] For a claim involving potential for medical treatment only the penalty is $3,500;
For a claim involving potential for medical treatment and either temporary or permanent disability the penalty is $4,000;
For a claim involving potential for medical treatment and both temporary and permanent disability the penalty is $4,500;
For a claim involving potential for medical treatment, temporary disability, permanent disability and vocational rehabilitation the penalty is $5,000;
For a claim involving potential for death benefits the penalty is $5,000.
[ii] The penalty will be reduced by $1,000 for good faith if there was a reasonable attempt to investigate the claim.
[iii] Reduction or increase of the penalty for history shall be based on the following:
An audit subject having no prior Audit Unit history will receive a $500 reduction;
An audit subject having a prior Audit Unit history of no more than one audited unsupported denial will receive a $500 reduction;
An audit subject having a prior Audit Unit history of more than one audited unsupported denial but no more than 5% of audited denials as unsupported will receive no reduction or increase for history;
An audit subject having a prior Audit Unit history of more than one audited unsupported denial and more than 5% of audited denials as unsupported will receive a $500 increase.
[iv] Reduction or increase of the penalty for frequency shall be based on the following:
An audit subject having no more than one audited unsupported denial will receive a $500 reduction;
An audit subject having more than one audited unsupported denial but no more than 5% of audited denials which are unsupported will receive no reduction or increase for frequency;
An audit subject having more than one audited unsupported denial and more than 5% of audited denials which are unsupported will receive an increase of $500.
[v] The total amount assessed for a denial shall be reduced by 50% if the claim was accepted after the denial without evidence that the acceptance was the result of litigation or of the claim's selection for audit.
(3) Except as provided in subsection (d)(1) of this section, failure to comply with or appeal any lawful written request or order of the Administrative Director regarding a claim filed within 30 days.  The penalty for this violation is: 
$500 if there was compliance in more than 30 but not more than 40 days from receipt or order;
$1,000 if there was compliance in more than 40 but not more than 60 days from receipt of the request or order;
$2,500 if there was compliance in more than 60 but not more than 90 days of receipt fo the request or order;
$5,000 for failure to comply within 90 days of receipt of the request or order.
(4) Failure by a claims administrator to provide a claim form within 24 hours upon request of an injured worker or his/her agent.  The penalty for this violation is: 
$500 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were being provided to the employee at the time of the request;
$1,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were being provided to the employee at the time of the request;
$3,000 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were not being provided to the employee at the time of the request;
$5,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were not being provided to the employee at the time of the request.
(e) The penalties otherwise applicable under subsections (a) through (d) of this section shall be modified, if warranted, for good faith, history, and frequency in the same manner as penalties are modified for acts or omissions occurring on or after January 1, 1994 by Section 10111.1(e) of this Article.
NOTE

Authority cited: Sections 59, 129.5, 133, 138.3, 138.4, 139.5, 4603.5, 4627 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 4061, 4453, 4454, 4550, 4600, 4603.2, 4621, 4622, 4625, 4636 through 4638, 4639, 4641, 4642, 4650, 4651, 4701 through 4703.5, 4706, 4706.5, 5401, 5401.6, 5402, 5800 and 5814, Labor Code; and Section 2629.1(e), (f), Unemployment Insurance Code.
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Relocation and amendment of article heading, renumbering of former section 10111 to section 10114 subsections (g)-(h) and renumbering and amendment of former section 10108 to section 10111 filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
3. Editorial correction of subsection (a)(2) (Register 95, No. 32).
4. Amendment of subsections (a), (a)(6), (a)(7)[ii], (a)(7)[iv] and (b)(1) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
5. Amendment of subsection (b)(1) filed 7-30-96; operative 7-30-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 31).
§10111.1. Schedule of Administrative Penalties for Injuries On or After January 1, 1994.
Note     •     History

The administrative penalties set forth in subdivisions (a) through (d) of this section will be imposed for injuries occurring on or after January 1, 1994, subject to any applicable mitigation or exacerbation under subdivision (e) of this section. Penalties will not be assessed for violations occurring during the period January 1, 1994 through March 31, 1994 for acts or omissions for which there previously existed no audit penalties. 
(a) The following Group A violations carry penalties of up to $100:
(1) The penalty for each failure to pay the 10% self-imposed increase with a late indemnity payment in accordance with Labor Code section 4650(d) is:
$25 if the self-imposed increase was paid after the late indemnity payment;
If the self-imposed increase was not paid or was only partially paid, the audit penalty is based on the amount of the underlying indemnity and is as follows:
$25 if the late-paid indemnity totals not more than 3 days;
$50 if the late-paid indemnity totals more than 3 but not more than 7 days;
$75 if the late-paid indemnity totals more than 7 but not more than 14 days;
$100 if the late paid indemnity totals more than 14 days.
(2) The penalty for each failure to make the first payment of permanent disability indemnity within 14 days after the last payment of temporary disability indemnity, or within 14 days of knowledge of the existence of permanent disability when there is no temporary disability, is:
$25 if the first payment was made 1 to 2 days late;
$50 if the first payment was made 3 to 7 days late;
$75 if the first payment was made 8 to 14 days late;
$100 if the first payment was made more than 14 days late;
(3) The penalty for each failure to object or pay to the injured worker, within 60 days of receiving a request, reimbursement for the reasonable expense incurred for self-procured medical treatment in accordance with Labor Code section 4600, is:
$25 for $100 or less in expense;
$50 for more than $100, to $200, in expense;
$75 for more than $200, to $400, in expense;
$100 for more than $400 in expense.
(4) The penalty for each failure to pay mileage fees and bridge tolls when notifying the employee of a medical evaluation scheduled by the claims administrator, in accordance with Labor Code sections 4600 through 4621; or to pay mileage fees and bridge tolls within 14 days of receiving notice of a medical evaluation scheduled by the administrative director or the appeals board; or to object or pay the injured worker for any other transportation, temporary disability, meal or lodging expense incurred to obtain medical treatment or evaluation, within 60 days of receiving a request, is:
$25 for $10 or less in expense;
$50 for more than $10, to $50, in expense;
$75 for more than $50, to $100, in expense;
$100 for more than $100 in expense.
(5) The penalty for each failure to document a factual basis for paying less than the maximum indemnity rate is $100.
(6) The penalty for each failure to make temporary disability, permanent disability, death benefits or VRMA payments according to the payment schedule defined by California Code of Regulations, title 8, section 10100.1(x) of these regulations is:
$25 for each payment made 1 to 2 days late;
$50 for each payment made 3 to 7 days late;
$75 for each payment made 8 to 14 days late;
$100 for each payment made more than 14 days late.
(7) The penalty for each failure to comply with any regulation of the Administrative Director specified in this subdivision is:
[i] For each failure to include in a claim file a copy of the Employee's Claim for Worker's Compensation Benefits, DWC Form 1, showing the date the form was provided to and received from the employee, or documentation of the date the claim form was provided to the employee if the employee did not return the form, the penalty is:
$100 if there was any late indemnity payments, or if notice of acceptance of the claim was not issued within 90 days after the employer's date of knowledge of injury and disability, or if the claim was denied.
[ii] For each failure to issue a notice of benefits as required by California Code of Regulations, title 8, beginning with section 9810, or by California Code of Regulations, title 8, beginning with section 10122, unless penalties apply and are assessed under section 10111.1 subdivisions (b)(2), (b)(3), (b)(4), (b)(5), (b)(6), (b)(7) or (b)(8), the penalty is $100.
[iii] For each Notice of Benefits which was not issued timely as provided in California Code of Regulations, title 8, beginning with section 9810, or as provided in California Code of Regulations, title 8, beginning with section 10122, unless penalties apply and are assessed under section 10111.1 subdivisions (b)(2), (b)(3), (b)(4), (b)(5), (b)(6), (b)(7) or (b)(8), the penalty is:
$25 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA which was issued from 1 to 7 days late;
$50 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA which was issued more than 7 days late, and for each delay in decision notice which was issued from 1 to 7 days late;
$75 for each delay in decision notice which was issued more than 7 days late.
[iv] For each notice of benefits required by California Code of Regulations, title 8, beginning with section 9810, (except a materially misleading denial notice assessed under section 10111.1(b)(9)), or by California Code of Regulations, title 8, beginning with section 10122, which is materially inaccurate or incomplete, the penalty is $25.
[v] For each failure to include in a claim file, or document attempts to obtain, any of the required contents specified in section 10101.1 subdivisions (b), (c), (d), (e), (f), (g), (h), (i), (j), the penalty is $100.
[vi] For each failure to comply with any regulation of the Administrative Director, not otherwise assessed in this subchapter, the penalty is $100. 
(8) The penalty for each failure to pay or object to a billing for a medical-legal expense, in the manner required by section 9794, within 60 days of receiving the bill and all reports and documents required by the Administrative Director incident to the services, is:
$25 for each bill which was paid more than 60 days from receipt with interest and a 10% increase;
$50 for each bill which was paid more than 60 days from receipt where either interest or a 10% increase was not included;
$75 for each bill which was paid more than 60 days from receipt where neither interest nor a 10% increase was paid.
$100 for each bill which was not paid at the time the audit subject was notified the claim was selected for audit where no timely objection was sent.
(9) The penalty for each failure to pay or object to, in the manner required by Labor Code section 4603.2, a bill for medical treatment provided or authorized by the treating physician, is as follows when the bill remains unpaid at the time the audit subject is notified that the claim was selected for audit. For the purpose of this penalty the treating physician will be presumed chosen by the employee unless the claims administrator demonstrates otherwise:
$25 for each bill of $100 or less, excluding interest and penalty;
$50 for each bill of more than $100, but no more than $200 excluding interest and penalty;
$75 for each bill of more than $200, but no more than $300, excluding interest and penalty;
$100 for each bill of more than $300, excluding interest and penalty.
(10) The penalty for each failure to pay or object to, in the manner required by Labor Code section 4603.2, a bill for medical treatment provided or authorized by the treating physician, is as follows when the bill was paid before the audit subject was notified that the claim was selected for audit:
$25 for each bill which included an increase and interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code Section 4603.2;
$50 for each bill which included either the increase or interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code Section 4603.2;
$75 for any bill which included neither the increase nor interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code Section 4603.2.
(11) The penalty for each failure to pay or object to a vocational rehabilitation bill within 60 days of receipt, as required by California Code of Regulations, title 8, sections 10132 and 10132.1, is:
$25 for each bill of $100 or less;
$50 for each bill of more than $100, but no more than $200;
$75 for each bill of more than $200, but no more than $300;
$100 for each bill of more than $300.
(12) The penalty for each failure to make a required first payment of temporary disability indemnity within 14 days after the employer's date of knowledge of injury and disability is:
$25 if the first payment was made 1 to 7 days late;
$50 if the first payment was made 8 to 14 days late;
$75 if the first payment was made 15 to 21 days late;
$100 if the first payment was made more than 21 days late.
(13) The penalty for each underpayment of an indemnity payment (including death benefits and VRMA), when the balance of the indemnity was paid late, is:
$25 for late payment of the equivalent of 3 days of indemnity or less;
$50 for late payment of the equivalent of more than 3 but no more than 7 days of indemnity;
$75 for late payment of the equivalent of more than 7 but no more than 14 days of indemnity;
$100 for the late payment of the equivalent of more than 14 days of indemnity.
(14) The penalty for each failure to make a first payment of VRMA or death benefit when due is:
$25 if the first payment was made 1 to 7 days late;
$50 if the first payment was made 8 to 14 days late;
$75 if the first payment was made 15 to 21 days late;
$100 if the first payment was made more than 21 days late.
(b) The following Group B violations carry penalties of up to $500:
(1) The penalty for each failure to maintain or provide to the Audit Unit a claim log which complies with these Regulations is:
$25 for each failure to list on a claim log one or more of the following: employee's name; claim number; date of injury;
$25 for each misdesignation of an indemnity file as a medical-only file on the claim log;
$100 for each failure to identify self-insured employers on the log as required by California Code of Regulations, title 8, section 10103.1(b)(6);
$100 for each failure to identify the underwriting insurance company of an insurance group;
$100 for each failure to designate a denied claim on the log;
$100 for each claim not listed on the log;
$250 for each failure to provide the claim log to the Audit Unit within 14 days of receipt of a written request if the claim log was provided more than 14 but no more than 30 days from receipt of the request;
$500 for each failure for more than 30 days from receipt of a written request, to provide the claim log to the Audit Unit.
(2) The penalty for each failure to provide information regarding the Americans with Disabilities Act, the Fair Employment and Housing Act, and workers' compensation vocational rehabilitation as required by Labor Code section 4636(a) immediately after 90 days of aggregate temporary disability indemnity is $100 if the information was provided or the employee returned to his or her usual and customary occupation more than 10 but not more than 20 days after 90 days of aggregate total disability, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(3) The penalty for each failure to issue notice of medical eligibility for vocational rehabilitation services (if not previously issued) within 10 days after knowledge of a physician's opinion that the employee is medically eligible, or for failure to issue notice within 10 days after 366 days of aggregate total temporary disability, is $100 if the notice was issued not more than 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. Where the injured worker is represented by an attorney and documentation in the claim file indicates that the injured worker's attorney has received a copy of the physician's report indicating the employee is medically eligible for vocational rehabilitation, and if the knowledge is of a physician's opinion other than the injured worker's treating physician, a physician selected from a panel provided by the DWC Medical Unit, or an agreed medical examiner, the penalty shall be assessed at 20% of the amount otherwise assessed under this subdivision and shall not exceed $100.
(4) The penalty for each failure to provide the employee with a copy of the treating physician's final report together with notice of the procedure to contest the treating physician's determination, in accordance with Labor Code section 4636(d), immediately upon receipt of that report, is $100 for compliance more than 10 but not more than 20 days after receipt of the treating physician's final report, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(5) The penalty for each failure to notify an injured employee of the reasons he or she is not entitled to any, or to any further, vocational rehabilitation services, and the procedure for contesting the determination of non-eligibility, as required by California Code of Regulations, title 8, sections 9813(a)(3) and 10131, is $100 if notification was issued more than 10 but not more than 20 days after the determination, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(6) The penalty for each failure to notify an injured employee that his or her injury may have caused permanent disability and the procedures for evaluating the permanent disability, or of the employer's position that the injury has caused no permanent disability and the employee's remedies, in the manner provided by California Code of Regulations, title 8, beginning with section 9810; is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(7) The penalty for each failure to notify a claimant of the denial of all death benefits claimed by that person (except a denial limited to all or any of: burial expense, benefits which were due to the injured worker before his or her death, or medical-legal expense), in the manner provided by California Code of Regulations, title 8, beginning with section 9810, is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(8) The penalty for each failure to send a notice denying liability for all workers' compensation benefits, in accordance with California Code of Regulations, title 8, beginning with section 9810, is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit.
(9) The penalty for each notice denying liability for all workers' compensation benefits, which was materially misleading, is $500. The penalty for each materially incomplete denial notice is $100.
(10) The penalty for each failure to pay any uncontested penalty assessment in a Notice of Penalty Assessments within 15 days of receipt of the Notice of Penalty Assessments is:
$100 for each assessment paid more than 15 but not more than 30 days after receipt;
$300 for each assessment paid more than 30 but not more than 45 days after receipt;
$500 for each assessment not paid within 45 days after receipt.
(11) The penalty for each failure to comply with California Code of Regulations, title 8, section 10104 is:
$100 for each period of 1 to 14 days' delay in filing the Annual Report of Inventory, to a maximum penalty of $500 for each Annual Report of Inventory;
$500 for each Annual Report of Inventory that overstates or understates the number of claims by 10% or more.
(c) The following Group C violations carry penalties of up to $1,000:
(1) The penalty for each failure to pay compensation as ordered in a Notice of Compensation Due within 15 days of receipt, if no timely Request for Review of Notice of Compensation Due was filed, is:
$250 if the compensation was paid more than 15 but not more than 30 days from receipt of notice;
$500 if the compensation was paid more than 30 but not more than 45 days from receipt of notice;
$1,000 for failure to pay the compensation within 45 days of receipt of notice.
(2) The penalty for each termination, interruption or deferral of vocational rehabilitation services other than as provided by Labor Code sections 4637(b), 4644(b) is $1,000. 
(3) The penalty for each failure to pay or denial of rehabilitation maintenance allowance, temporary disability indemnity, or salary continuation in lieu of temporary disability indemnity, without a factual, medical or legal basis for the failure or denial, is:
$100 for the equivalent of 3 days or less of unpaid indemnity;
$200 for the equivalent of more than 3 but not more than 7 days of unpaid indemnity;
$300 for the equivalent of more than 7 but not more than 14 days of unpaid indemnity;
$500 for the equivalent of more than 14 but not more than 21 days of unpaid indemnity;
$750 for the equivalent of more than 21 but not more than 28 days of unpaid indemnity;
$1,000 for the equivalent of more than 28 days of unpaid indemnity.
(4) The penalty for each failure to pay permanent disability indemnity based on a reasonable estimate of permanent disability, or denial of permanent disability indemnity, without a factual, medical or legal basis, is:
$200 for up to 6 weeks of unpaid indemnity;
$400 for more than 6 but not more than 15 weeks of unpaid indemnity;
$750 for more than 15 but not more than 30 weeks of unpaid indemnity;
$1,000 for more than 30 weeks of unpaid indemnity.
(5) The penalty for each failure to pay or denial of death benefits to any claimant without a factual, medical or legal basis for the failure or denial, is:
$100 for the equivalent of 3 days or less of unpaid indemnity under Labor Code section 4701(b), or for up to $300 of unpaid burial expenses;
$200 for the equivalent of more than 3 but not more than 7 days of unpaid indemnity under Labor Code section 4701(b), or for more than $300, up to $600, of unpaid burial expenses;
$300 for the equivalent of more than 7 but not more than 14 days of unpaid indemnity under Labor Code section 4701(b), or for more than $600, up to $900, of unpaid burial expenses;
$500 for the equivalent of more than 14 but not more than 21 days of unpaid indemnity under Labor Code section 4701(b), or for more than $900, up to $1,500, of unpaid burial expenses;
$750 for the equivalent of more than 21 but not more than 28 days of unpaid indemnity under Labor Code section 4701(b), or for more than $1,500, up to $2,250, of unpaid burial expenses;
$1,000 for the equivalent of more than 28 days of unpaid indemnity under Labor Code section 4701(b), or for more than $2,250 of unpaid burial expenses.
The penalty for each failure to pay or denial of payment to any claimant of compensation which was accrued and unpaid to the injured worker at the time of the worker's death is the same penalty which would apply for failure to pay or denial of payment of that compensation to the injured worker.
The penalty under this subdivision does not supersede the penalty under subdivision 10111.1(d)(1).
(6) The penalty for each failure to investigate a claim as provided by California Code of Regulations, title 8, section 10109 of these regulations is:
$250 if the failure to investigate involved a claim for medical treatment only, with no reasonable expectation of liability for indemnity payments;
$500 if the failure to investigate involved a claim or reasonable expectation of liability for temporary or permanent disability indemnity or vocational rehabilitation benefits;
$1,000 if the failure to investigate involved a claim or reasonable expectation of liability for death benefits, or a combination of two or more of the following classes of benefits temporary or permanent disability indemnity or vocational rehabilitation.
This penalty does not supersede a penalty for denial of claim without an investigation and documentation supporting a factual, medical, or legal basis for denial as set forth in section 10111.1(d)(1).
(d) The following Group D violations carry penalties of up to $5,000:
(1) The penalty for each denial of all liability for a claim without documentation supporting a factual, medical, or legal basis for the denial is specified in this subdivision.
In order to avoid a penalty, the denial must state a legal, factual or medical basis recognized by applicable law and documented by information in the claim file. An employee's purported waiver of benefits in a compensable case is not a ground to deny liability.
The gravity portion of the penalty is based on the class or classes of benefits potentially payable if benefits were provided. The total penalty shall be determined by the applying the penalty assessment amount listed in [i] for gravity, subtracting the amount listed in [ii] for good faith if applicable, and increasing or decreasing the penalty as applicable for history and frequency as set forth in [iii] and [iv]:
[i] For a claim involving potential for medical treatment only the penalty is $3,500;
For a claim involving potential for medical treatment and either temporary or permanent disability the penalty is $4,000;
For a claim involving potential for medical treatment and both temporary and permanent disability the penalty is $4,500;
For a claim involving potential for medical treatment, temporary disability, permanent disability and vocational rehabilitation the penalty is $5,000;
For a claim involving potential for death benefits the penalty is $5,000.
[ii] The penalty will be reduced by $1,000 for good faith if there was a reasonable attempt to investigate the claim.
[iii] Reduction or increase of the penalty for history shall be based on the following:
An audit subject having no prior Audit Unit history will receive a $500 reduction;
An audit subject having a prior Audit Unit history of no more than one audited unsupported denial will receive a $500 reduction;
An audit subject having a prior Audit Unit history of more than one audited unsupported denial but no more than 5% of audited denials as unsupported will receive no reduction or increase for history;
An audit subject having a prior Audit Unit history of more than one audited unsupported denial and more than 5% of audited denials as unsupported will receive a $500 increase. 
[iv] Reduction of the penalty for frequency shall be based on the following:
An audit subject having no more than one audited unsupported denial will receive a $500 reduction;
An audit subject having more than one audited unsupported denial but no more than 5% of audited denials which are unsupported will receive no reduction or increase for frequency;
An audit subject having more than one audited denial and more than 5% of audited denials which are unsupported will receive an increase of $500.
[v] The total amount assessed for a denial shall be reduced by 50% if the claim was accepted after the denial without evidence that the acceptance was the result of litigation or of the claim's selection for audit.
(2) The penalty for each failure to comply with, show good cause for non-compliance with, or contest, within 30 days of receipt, any written request or order of the Administrative Director or Audit Unit which is not specified in subdivisions (b)(1), (c)(1), or (d)(5) of this section is:
$500 if there was compliance in more than 30 but not more than 40 days from receipt of the request or order;
$1,000 if there was compliance in more than 40 but not more than 60 days from receipt of the request or order;
$2,500 if there was compliance in more than 60 but not more than 90 days of receipt of the request or order;
$5,000 for failure to comply within 90 days of receipt of the request or order.
(3) The penalty for each failure by a claims administrator to provide a claim form within one working day of receipt of a request from an injured worker or the worker's agent is:
$500 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were being provided to the employee at the time of the request;
$1,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were being provided to the employee at the time of the request;
$3,000 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were not being provided to the employee at the time of the request;
$5,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were not being provided to the employee at the time of the request.
(4) The penalty for each failure to comply in full with any final award or order of the Workers' Compensation Appeals Board or the Rehabilitation Unit within 20 days of service, allowing an additional five days for service by mail, is:
For any failure to pay all amounts payable as awarded or ordered, including interest, when partial nonpayment is due to a miscalculation or oversight and all other amounts have been paid, the penalty amount shall be determined based on the equivalent amount of unpaid indemnity as assessed under subdivision (c)(3) of this section.
For late payment of an award or order, the penalty is:
$500 for compliance in more than 20 but not more than 35 days from the date of service;
$1,000 for compliance (other than a late interest payment) in more than 35 but not more than 60 days from the date of service;
$2,500 for compliance (other than a late interest payment) in more than 60 but not more than 90 days from the date of service;
$5,000 if there was not compliance (other than failure to pay interest) within 90 days of the date of service.
Penalties will be assessed separately for both late payment and the failure to pay a portion of an award or order.
(5) The penalty for each failure to produce a legible paper copy of a claim file as required by California Code of Regulations, title 8, section 10107 or at the time specified by the Administrative Director is:
$100 if the file was produced not more than 3 days late;
$250 if the file was produced more than 3 but not more than 14 days late;
$500 if the file was produced more than 14 but not more than 29 days late;
$1,000 if the file was produced more than 29 days late but not more than 40 days late;
$2,500 if the file was produced more than 40 days late but not more than 90 days late;
$5000 if the was produced more than 90 days late or was not produced.
(6) The penalty for providing a backdated or otherwise altered or fraudulent document to the Audit Unit, or intentionally withholding a document from the Audit Unit, which would have the effect of avoiding liability for the payment of compensation or an audit penalty is:
$5,000 for each backdated, altered, or withheld document. The amount of the penalty is not subject to reduction based on frequency, history, or good faith as set forth in subdivision (e) of this section.
The claims administrator shall not be subjected to penalty under this subdivision if it demonstrates by clear and convincing evidence that the backdating, alteration, or withholding of the document was due solely to unintentional clerical error.
(e) The penalties otherwise applicable under subdivisions (a) through (d) of this section shall be modified by any applicable provision of this subdivision (e). However, the method of modifying penalties for unsupported denials is set forth in section 10111(d)(2) and section 10111.1(d)(1) and is not governed by this subdivision (e).
(1) Modification for the gravity of each violation is included within the penalty assessment amounts listed in subdivisions (a) through (d);
(2) Modification for the good faith of the audit subject shall be determined based on documentation of attempts to comply with requirements of the Labor Code and the Administrative Director's regulations, and may result in a reduction of 20% for each applicable violation.
(3) Modification for frequency shall be considered for each type of violation. Frequency shall be determined by comparing the number of audited files which were randomly selected pursuant to section 10107(c) and (d) of these regulations in which there is an assessment for a specific type of violation to the total number of those randomly selected audited files in which the possibility of that type of violation exists. The frequency of violations in the complaint files selected for audit pursuant to section 10107(e) shall not be used to determine penalty amounts for these categories, except the mitigation or exacerbation of penalty amounts based on frequency of violations in the randomly selected files shall be applied to the audited complaint files.
[i] If there are assessments for late first payments of temporary disability indemnity in 10% or less of the audited files in which payments of temporary disability indemnity are made, the penalty amounts of these assessments will be reduced by 20%. If there are assessments for late first payments of temporary disability indemnity in more than 30% of the audited files in which payments of temporary disability indemnity are made, the penalty amounts of these assessments will be increased by 20%,
[ii] If there are assessments for late first payments of permanent disability indemnity in 10% or less of the audited files in which payments of permanent disability indemnity are made, the penalty amounts of these assessments will be reduced by 20%. If there are assessments for late first payments of permanent disability indemnity in more than 30% of the audited files in which payments of permanent disability indemnity are made, the penalty amounts of these assessments will be increased by 20%.
[iii] If there are assessments for late first payments of vocational rehabilitation maintenance allowance in 10% or less of the audited files in which payments of maintenance allowance in 10% or less of the audited files in which payments of maintenance allowance are made, the penalty amounts of these assessments will be reduced by 20%. If there are assessments for late first payments of vocational rehabilitation maintenance allowance in more than 30% of the audited files in which payments of maintenance allowance are made, the penalty amounts of these assessments will be increased by 20%.
[iv] If there are assessments involving late subsequent payments, including any payment in which all indemnity then due is not paid with that payment but is paid with a subsequent payment as assessed under subdivision (a)(13) of this section, of temporary disability indemnity, permanent disability indemnity, or vocational rehabilitation maintenance allowance in 10% or less of the audited files in which these subsequent payments were made, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for late subsequent payments of temporary disability indemnity, permanent disability indemnity, or vocational rehabilitation maintenance allowance exceeds 30% of the total number of audited files with subsequent payments of these benefits, the penalty amounts of these assessments will be increased by 20%.
[v] If there are assessments involving late payments of death benefits in 10% or less of the audited files in which these payments were made, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for late payments of death benefits exceeds 30% of the total number of audited files with payments of death benefits, the penalty amounts of these assessments will be increased by 20%.
[vi] If there are assessments involving failure to issue benefit notices (other than notices specifically mentioned elsewhere in this subdivision (3)) in 10% or less of the audited files in which these benefit notices are required, no penalties will be assessed for those violations. If the number of audited files with assessments for failure to issue these notices exceeds 10%, but does not exceed 20%, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for failure to issue these notices exceeds 30% of the total number of audited files in which these notices are required, the penalty amounts of these assessments will be increased by 20%.
[vii] If there are assessments involving late provision of benefit notices (other than notices specifically mentioned elsewhere in this subdivision (3)) in 10% or less of the audited files in which these benefit notices are required, no penalties will be assessed for those violations. If the number of audited files with assessments for late issuance of these notices exceeds 10%, but does not exceed 20%, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for late issuance of these notices exceeds 30% of the total number of audited files in which these notices were required and issued, the penalty amounts of these assessments will be increased by 20%.
[viii] If there are assessments involving the failure to pay or object to medical expenses within 60 days of receipt of the billing in 10% or less of the audited files with a requirement to pay or object to medical bills within 60 days of receipt of billing, the penalty amounts of these assessments will be reduced by 20%. if the number of audited files with assessments for failure to pay or object to medical expenses within 60 days of receipt of the billing exceeds 30% of the total number of audited files in which there was a requirement to pay or object to medical bills within 60 days of receipt of billing, the penalty amounts of these assessments will be increased by 20%.
[ix] If there are assessments involving the failure to pay or object to medical-legal expenses within 60 days of receipt of the billing in 10% or less of the audited files containing medical-legal expenses, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for failure to pay or object to medical-legal expenses within 60 days of receipt of the billing exceeds 30% of the total number of audited files in which there was a requirement to pay or object to medical-legal expenses within 60 days of receipt of billing, the penalty amounts of these assessments will be increased by 20%.
[x] If there are assessments involving the failure to pay or object to vocational rehabilitation expenses within 60 days of receipt of the billing in 10% or less of the audited files containing vocational rehabilitation expenses, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for failure to pay or object to vocational rehabilitation expenses within 60 days of receipt of the billing exceeds 30% of the total number of audited files in which there was a requirement to pay or object to vocational rehabilitation expenses within 60 days of receipt of billing, the penalty amounts of these assessments will be increased by 20%.
[xi] For injuries before January 1, 1994, if there are assessments involving the failure to assign a qualified rehabilitation representative within 10 days after 90 days of aggregate total disability in 10% or less of the audited files with 90 or more days of aggregate total disability, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments involving the failure to assign a qualified rehabilitation representative within 10 days after 90 days of aggregate total disability exceeds 30% of the total number of audited files in which there was a requirement to assign a qualified rehabilitation representative within 10 days after 90 days of aggregate total disability, the penalty amounts of these assessments will be increased by 20%. 
[xii] For injuries on or after January 1, 1994, if there are assessments involving the failure to provide information to the employee required by Labor Code section 4636(a) within 10 days after 90 days of aggregate total disability in 10% or less of the audited files with 90 or more days of aggregate total disability, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments involving the failure to provide the information specified in section 4636(a) within 10 days after 90 days of aggregate total disability exceeds 30% of the total number of audited files in which there was a requirement to provide the information specified in section 4636(a) within 10 days after 90 days of aggregate total disability, the penalty amounts of these assessments will be increased by 20%. 
[xiii] If there are assessments involving the failure to notify an employee in a timely manner of potential eligibility for vocational rehabilitation in 10% or less of the audited files in which these notices are required, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments involving the failure to notify an employee in a timely manner of potential eligibility for vocational rehabilitation exceeds 30% of the total number of audited files in which these notices are required, the penalty amounts of these assessments will be increased by 20%.
[xiv] If there are assessments involving the failure to notify an employee in a timely manner of non-eligibility for vocational rehabilitation in 10% or less of the audited files in which these notices are required, the penalty amounts of these assessments will be reduced 20%. If the number of audited files with assessments involving the failure to notify an employee in a timely manner of non-eligibility for vocational rehabilitation exceeds 30% of the total number of audited files in which these notices are required, the penalty amounts of these assessments will be increased by 20%. 
[xv] If there are assessments involving the failure to notify an employee in a timely manner of the procedure for evaluating the employee's permanent disability, as required by California Code of Regulations, title 8, section 9812(f)(2), (f)(4), (g)(2), and (g)(3), in 10% or less of the audited files in which these notices are required, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for failure to issue these notices exceeds 30% of the total number of audited files in which these notices are required, the penalty amounts of these assessments will be increased by 20%.
[xvi] If there are assessments involving the failure to notify an employee or claimant in a timely manner of the denial of all liability for a claim, or of all liability for death benefits, in 10% or less of the audited files in which these notices are required, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for failure to issue these notices exceeds 30% of the total number of audited files in which these notices are required, the penalty amounts of these assessments will be increased by 20%.
[xvii] If there is an assessment for the failure to timely respond to a request to provide or authorize medical treatment in no more than one audited file, the penalty amount of that assessment will be reduced by 20%. If the number of audited files with assessments for the failure to timely respond to a request to provide or authorize medical treatment, the penalty amounts for these assessments will be increased by 20%.
[xviii] If there are assessments involving the failure to pay temporary disability indemnity, permanent disability indemnity, death benefits, vocational rehabilitation maintenance allowance, self-imposed increase for late indemnity payment, interest, or penalty in 5% or less of the audited files in which any of these forms of compensation are accrued and payable, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments for the failure to pay any of these forms of compensation is more than 20% of the audited files in which any of these forms of compensation is accrued and payable, the penalty amounts of these assessments will be increased by 20%.
[xix] If there are assessments for failure to include items or properly designate entries on a claim log, and if no more than ten, or no more than 1%, of the entries on the log are affected, whichever is smaller, the penalty amounts of these assessments will be reduced by 20%. If more than fifty, or more than 5% of the entries on the log are affected, whichever is smaller, the penalty amounts of these assessments will be increased by 20%.
[xx] If there are other violations assessed which are not specified in [i] through [xix] above in 5% or less of the audited files, the penalty amounts of these assessments will be reduced by 20%. If the number of audited files with assessments exceeds 20% of the audited files, the penalty amounts of these assessments will be increased by 20%.
(4) Modification of the history of previous violations, if any, shall be based on prior audits of the audit subject at the current adjusting location. However, no modification for history shall apply if a valid comparison cannot be made between the current and prior audit(s). The penalty shall be modified for history as follows:
[i] There will be a reduction of 20% of any penalty for which there was no increase in the penalty amount based on frequency as described in subdivisions (e)(3)[i] through (3)[xx] above in the previous audit, and for which there was a reduction in the penalty amount based on frequency in the present audit at the audited adjusting location.
[ii] There will be an increase of 20% of any penalty for which there was an increase in the penalty amount based on frequency as described in subdivisions (3)[i] through (3)[xx] above in the previous audit, and for which there was no decrease in the penalty amount based on frequency of violations in the present audit at the audited adjusting location, provided that any increased penalty is limited to the maximum provided by statute and regulation for the violation.
(5) No administrative penalties shall be assessed if the only violations found in an audit are violations which do not involve the denial of a claim without supporting documentation, or failure to pay or late payment of compensation, and the violations are found in 20% or less of the indemnity files audited.
(6) Penalties may be mitigated outside the above mitigation guidelines in extraordinary circumstances, when strict application of the mitigation guidelines would be clearly inequitable.
NOTE

Authority cited: Sections 59, 129.5, 133, 138.3, 138.4, 139.5, 4603.5, 4627 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 4061, 4453, 4454, 4550, 4600, 4603.2, 4621, 4622, 4625, 4636 through 4638, 4639, 4641, 4642, 4650, 4651, 4701 through 4703.5, 4706, 4706.5, 5401, 5401.6, 5402, 5800 and 5814, Labor Code; and Section 2629.1(e), (f), Unemployment Insurance Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Editorial correction inserting omitted text in subsection (e)(3)[xviii] (Register 95, No. 32).
3. Amendment of subsections (a)(7)[ii]-(a)(7)[iv], (b)(1), (b)(9), (d)(1) and (e)(3)[xv] filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
4. Amendment filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
5. Amendment filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10111.2. Full Compliance Audit Penalty Schedules; Target Audit Penalty Schedule.
Note     •     History

(a) For full compliance audits conducted on or after January 1, 2003, administrative penalties will be assessed pursuant to subdivision (a) for audit subjects that fail to meet or exceed the profile audit review performance standards calculated pursuant to California Code of Regulations, title 8, section 10107.1(c)(3) but meet or exceed the full compliance audit performance standards calculated pursuant to section 10107.1(d)(3). However, for violations in claims with dates of injury from January 1, 1990 through December 31, 1993, penalty amounts may not exceed the amounts that would be assessed pursuant to California Code of Regulations, title 8, section 10111, and for violations in claims with dates of injury from January 1, 1994 through December 31, 2002, penalty amounts may not exceed the amounts that would be assessed pursuant to Section 10111.1: 
(1) The penalty for each failure to pay the 10% self-imposed increase due because of a late indemnity payment is: 
If the self-imposed increase was not paid or was only partially paid, the audit penalty is based on the amount of the underlying indemnity and is as follows: 
$50 if the late-paid indemnity totals not more than 3 days; 
$100 if the late-paid indemnity totals more than 3 but not more than 7 days; 
$150 if the late-paid indemnity totals more than 7 but not more than 14 days; 
$200 if the late paid indemnity totals more than 14 but not more than 21 days; 
$300 if the late paid indemnity totals more than 21 but not more than 28 days; 
$500 if the late paid indemnity totals more than 28 days. 
(2) The penalty for each failure to pay or denial of rehabilitation maintenance allowance, temporary disability indemnity, or salary continuation in lieu of temporary disability indemnity, without a factual, medical or legal basis for the failure or denial, is: 
$200 for the equivalent of 3 days or less of unpaid indemnity; 
$400 for the equivalent of more than 3 but not more than 7 days of unpaid indemnity; 
$600 for the equivalent of more than 7 but not more than 14 days of unpaid indemnity; 
$1,000 for the equivalent of more than 14 but not more than 21 days of unpaid indemnity; 
$1,500 for the equivalent of more than 21 but not more than 28 days of unpaid indemnity; 
$2,000 for the equivalent of more than 28 but not more than 35 days of unpaid indemnity; 
$3,000 for the equivalent of more than 35 but not more than 42 days of unpaid indemnity; 
$5,000 for the equivalent of more than 42 days of unpaid indemnity. 
(3) The penalty for each failure to pay permanent disability indemnity based on a reasonable estimate of permanent disability, or denial of permanent disability indemnity, without a factual, medical or legal basis, is: 
$400 for up to 6 weeks of unpaid indemnity; 
$800 for more than 6 but not more than 15 weeks of unpaid indemnity; 
$1,500 for more than 15 but not more than 30 weeks of unpaid indemnity; 
$2,000 for more than 30 but not more than 50 weeks of unpaid indemnity; 
$3,000 for more than 50 but not more than 95 weeks of unpaid indemnity; 
$5,000 for more than 95 weeks of unpaid indemnity. 
(4) The penalty for each failure to pay death benefits pursuant to Labor Code section 4701 to any claimant without a factual, medical or legal basis for the failure, is: 
$200 for the equivalent of 3 days or less of unpaid indemnity or for no more than $300 of unpaid burial expenses; 
$400 for the equivalent of more than 3 but not more than 7 days of unpaid indemnity or for more than $300, but not more than $600, of unpaid burial expenses; 
$600 for the equivalent of more than 7 but not more than 14 days of unpaid indemnity or for more than $600, but no more than $900, of unpaid burial expenses; 
$1,000 for the equivalent of more than 14 but not more than 21 days of unpaid indemnity or for more than $900, but no more than$1,500, of unpaid burial expenses; 
$1,500 for the equivalent of more than 21 but not more than 28 days of unpaid indemnity or for more than $1,500, but no more than $2,000, of unpaid burial expenses; 
$3,000 for the equivalent of more than 28 but not more than 42 days of unpaid indemnity or for more than $2,250 of unpaid burial expenses; 
$5,000 for the equivalent of more than 42 days of unpaid indemnity. 
The penalty for each failure to pay to any claimant compensation which was accrued and unpaid to the injured worker at the time of the worker's death is the same penalty which would apply for failure to pay that compensation to the injured worker. 
(5) The penalty for each late first payment of temporary disability indemnity is: 
$100 if the first payment was made 1 to 3 days late 
$200 if the first payment was made 4 to 7 days late 
$250 if the first payment was made 8 to 14 days late; 
$300 if the first payment was made 15 to 21 days late; 
$400 if the first payment was made 22 to 30 days late. 
Penalty amounts for payments made over 30 days late are assessed pursuant to California Code of Regulations, title 8, section 10108(c) and subdivision (a)(2) of this section. 
(6) The penalty for each late first payment of permanent disability is: 
$100 if the first payment was made 1 to 3 days late; 
$200 if the first payment was made 4 to 7 days late 
$250 if the first payment was made 8 to 14 days late; 
$300 if the first payment was made 15 to 21 days late; 
$400 if the first payment was made 22 to 30 days late. 
Penalty amounts for payments made over 30 days late are assessed pursuant to section 10108(c) and subdivision (a)(3) of this section. 
For purposes of this subdivision, the first payment of permanent disability indemnity shall be considered late if not made within 14 days after the last payment of temporary disability indemnity, or within 14 days of knowledge of the existence of permanent disability, whichever last occurs. 
(7) The penalty for each late first payment of VRMA or death benefit is: 
$100 if the first payment was made 1 to 3 days late; 
$200 if the first payment was made 4 to 7 days late 
$250 if the first payment was made 8 to 14 days late; 
$300 if the first payment was made 15 to 21 days late; 
$400 if the first payment was made 22 to 30 days late. 
Penalty amounts for payments made over 30 days late are assessed pursuant to section 10108(c) and subdivision (a)(2) of this section. 
(8) The penalty for each underpayment of temporary disability, permanent disability, death benefits, or VRMA, when the balance of the indemnity was paid late, or late paid self-imposed increases, not paid together with the late indemnity payment is: 
$100 for late payment of the equivalent of 3 days of indemnity or less, except it is $25 for late paid self-imposed increases; 
$200 for late payment of the equivalent of more than 3 but no more than 7 days of indemnity, except it is $50 for late paid self-imposed increases; 
$250 for late payment of the equivalent of more than 7 but no more than 14 days of indemnity, except it is $75 for late paid self-imposed increases; 
$300 for late payment of the equivalent of more than 14 but no more than 21 days of indemnity, except it is $100 for late paid self-imposed increases; 
$400 for the late payment of the equivalent of more than 21 days of indemnity, except it is $125 for late paid self-imposed increases.
Penalty amounts for underpayments made more than 30 days late are governed by section 10108(c). 
(9) The penalty for each failure to make temporary disability, permanent disability, death benefits or VRMA payments according to the payment schedule defined by section 10100.2(jj) is:
$100 for each payment made 1 to 3 days late
$200 for each payment made 4 to 7 days late
$250 for each payment made 8 to 14 days late;
$300 for each payment made 15 to 21 days late;
$400 for each payment made 22 to 30 days late.
Penalty amounts for payments made more than 30 days late are governed by section 10108(c).
(10) Penalty amounts assessed pursuant to subdivisions (a)(1) through (a)(9) will be increased by 100%, but will not exceed $5000 except as provided by Labor Code section 129.5(c)(3), if the failure to pay or late payment was in violation of an award or order of the Workers' Compensation Appeals Board, the Rehabilitation Unit, or the Administrative Director. When the award or order is not specific to, but only stated as a lump sum, of any benefit pursuant to subdivisions (a)(1) through (a)(9) above, the increased penalty amount of 100% as specified above shall be determined based on the equivalent amount of unpaid indemnity as assessed under subdivision (a)(2), (a)(3), or (a)(4) of this section. Increased penalties under this subdivision will be separately assessed for late compliance and/or the failure to pay any portion of an award or order. 
(11) Notwithstanding Labor Code section 129.5(c)(1) and whether or not the audit subject has met or exceeded performance standards calculated pursuant to California Code of Regulations, title 8, section 10107.1(c)(3), penalties will be assessed for failure to pay, or late or partial payment of, a Notice of Compensation Due issued as a result of an audit conducted pursuant to Labor Code section 129(b). Penalties will be assessed as follows: 
A penalty in the same amount as the total of the penalties applicable under subdivisions (a)(1) through (a)(4) and (a)(10) will be assessed for any compensation paid more than 15 but not more than 30 days after receipt of the Notice of Compensation Due; 
A penalty in the amount of 200% of the total of the penalties applicable under subdivisions (a)(1) through (a)(4) and (a)(10) will be assessed for any compensation paid more than 30 but not more than 60 days late; 
A penalty in the amount of 300% of the total of the penalties applicable under subdivisions (a)(1) through (a)(4) and (a)(10) will be assessed for any compensation not paid within 60 days. 
(12) Notwithstanding Labor Code section 129.5(c)(2) and whether or not the audit subject has met or exceeded performance standards calculated pursuant to section 10107.1(d)(3), additional penalties will be assessed for late payment or failure of the audit subject to pay any administrative penalties assessed pursuant to this section that are not timely appealed pursuant to California Code of Regulations, title 8, section 10115.1. Penalties will be assessed as follows: 
An additional penalty of 50% of the amount of each late paid penalty will be assessed for each penalty paid more than 30 but not more than 60 days from receipt of the Notice of Penalty Assessments; 
An additional penalty of 100% of the amount of each applicable penalty will be assessed for each penalty not paid within 60 days of receipt of the Notice of Penalty Assessments. 
(b) For full compliance audits conducted on or after January 1, 2003, administrative penalties will be assessed pursuant to subdivision (a) and this subdivision (b) for audit subjects that fail to meet or exceed the full compliance audit performance standards calculated pursuant to section 10107.1(d)(3). However, for violations in claims with dates of injury from January 1, 1990 through December 31, 1993, penalty amounts may not exceed the amounts that would be assessed pursuant to section 10111, and for violations in claims with dates of injury from January 1, 1994 through December 31, 2002, penalty amounts may not exceed the amounts that would be assessed pursuant to section 10111.1: 
(1) The penalty for each failure to investigate a claim as provided by California Code of Regulations, title 8, section 10109 is: 
$500 if the failure to investigate involved a claim for medical treatment only, with no reasonable expectation of liability for indemnity payments, or if the failure to investigate involved the need for medical treatment or testing, but did not involve uncompensated lost time or permanent disability; 
$1,000 if the failure to investigate involved a claim or reasonable expectation of liability for only one of the following classes of benefits: temporary disability; permanent disability indemnity; or, vocational rehabilitation; 
$2,500 if the failure to investigate involved a claim or reasonable expectation of liability for any combination two of the following classes of benefits: temporary disability; permanent disability indemnity; or, vocational rehabilitation; 
$5,000 if the failure to investigate involved a claim or reasonable expectation of liability for death benefits, or for all of the following classes of benefits: temporary disability; permanent disability indemnity; and, vocational rehabilitation. 
(2) The penalty for each denial of all liability for a claim without documentation supporting a factual, medical, or legal basis for the denial is specified in this subdivision. 
In order to avoid a penalty, the denial must state a legal, factual or medical basis recognized by applicable law and documented by information in the claim file. An employee's waiver of benefits in an otherwise clearly compensable case is not a ground to deny liability. 
The penalty is $2,500 for a claim involving the potential for medical treatment only, with no potential for liability for indemnity payments; 
The penalty is $4,000 for a claim involving the potential liability for medical treatment and for only one of the following classes of benefits: temporary disability; permanent disability indemnity; or, vocational rehabilitation; 
The penalty is $4,500 for a claim involving the potential liability for medical treatment and for any combination of two of the following classes of benefits: temporary disability; permanent disability indemnity; or, vocational rehabilitation; 
The penalty is $5,000 for a claim involving the potential liability for death benefits, or for all of the following classes of benefits: medical treatment, temporary disability; permanent disability indemnity; and, vocational rehabilitation. 
The penalty will be reduced by 20% for good faith if there was a reasonable attempt to investigate the claim. 
The total amount assessed for a denial shall be reduced by 50% if the claim was accepted after the denial without evidence that the acceptance was the result of litigation or of the claim's selection for audit. 
(3) The penalty for each failure to produce a legible paper copy of a claim file as required by California Code of Regulations, title 8, section 10107.1(h) or at the time specified by the Administrative Director is: 
$100 if the file was produced not more than 2 days late; 
$250 if the file was produced more than 2 but not more than 4 days late; 
$500 if the file was produced more than 4 but not more than 7 days late; 
$1,000 if the file was produced more than 7 days late but not more than 15 days late; 
$2,500 if the file was produced more than 15 days late but not more than 30 days late; 
$5000 if the was produced more than 30 days late or was not produced. 
(4) The penalty for providing a backdated or otherwise altered or fraudulent document to the Audit Unit, or intentionally withholding a document from the Audit Unit, which would have the effect of avoiding liability for the payment of compensation or an audit penalty is: $5,000 for each backdated, altered, or withheld document. 
(5) The penalty for each failure to object to or pay reimbursement to an injured worker for the reasonable expense incurred for self-procured medical treatment, in accordance with the timeframes set forth for the payment of a medical bill in Labor Code section 4603.2(b)(1), is: 
$100 for $100 or less in expense; 
$200 for more than $100, to $500, in expense; 
$300 for more than $500, to $1,000, in expense; 
$500 for more than $1,000 in expense. 
(6) The penalty for each failure to pay reasonable expenses of transportation, meals, and lodging incident to reporting to an examination, together with one day of temporary disability indemnity for each day of wages lost when submitting to the examination, when notifying the employee of a medical evaluation scheduled by the claims administrator in accordance with Labor Code sections 4600 through 4621; or to pay these expenses within 14 days of receiving notice of a medical evaluation scheduled by the Administrative Director or the appeals board; or to object or pay the injured worker for any reasonable transportation expenses incurred to obtain medical treatment or evaluation, within 60 days of receiving a request, is: 
$100 for more than $10, to $100, in expense; 
$200 for more than $100, to $300, in expense; 
$300 for more than $300, to $500, in expense. 
$500 for more than $500 in expense. 
(7) The penalty for each failure to document a factual basis for paying less than the maximum indemnity rate is: 
$50 if the total indemnity, paid and unpaid, totals not more than 3 days; 
$100 if the total indemnity totals more than 3 but not more than 7 days; 
$150 if the total indemnity totals more than 7 but not more than 14 days; 
$200 if the total indemnity totals more than 14 but not more than 21 days; 
$300 if the total indemnity totals more than 21 but not more than 28 days; 
$500 if the total indemnity totals more than 28 days. 
(8) The penalty for each failure to comply with any regulation of the Administrative Director specified in this subdivision is: 
[A] For each failure to include in a claim file a copy of the Employee's Claim for Worker's Compensation Benefits, DWC Form 1, showing the date the form was provided to and received from the employee, or documentation of the date the claim form was provided to the employee if the employee did not return the form, the penalty is: 
$100 if there was any late indemnity payments, or if notice of acceptance of the claim was not issued within 90 days after the employer's date of knowledge of injury and disability, or if the claim was denied. 
[B] For each failure to issue a notice of benefits as required by California Code of Regulations, title 8, section 9810, or by California Code of Regulations, title 8, beginning with section 10122, unless penalties are assessed pursuant to subdivisions (b)(14) through (b)(20), the penalty is $100. 
[C] For each Notice of Benefits that was not issued timely as provided in California Code of Regulations, title 8, beginning with section 9810, or as provided in California Code of Regulations, title 8, beginning with section 10122, unless penalties are assessed pursuant to subdivisions (b)(14) through (b)(20), the penalty is: 
$25 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA that was issued from 1 to 7 days late; 
$50 for each notice of first, resumed, changed or final payment of temporary disability indemnity, wage continuation, death benefits, permanent disability indemnity, or VRMA that was issued more than 7 days late, and for each delay in decision notice which was issued from 1 to 7 days late; 
$75 for each delay in decision notice that was issued more than 7 days late. 
[D] For each notice of benefits required by California Code of Regulations, title 8, beginning with section 9810, [except a materially misleading or materially incomplete denial notice assessed under subdivision (b)(21)] or by California Code of Regulations, title 8, beginning with section 10117, or by California Code of Regulations, title 8, beginning with section 10122, or by California Code of Regulations, title 8, beginning with section 10133.50, [unless penalties are assessed pursuant to subdivision (b)(27)] that is materially inaccurate or incomplete, the penalty is $25. 
[E] For each failure to include in a claim file, or document attempts to obtain, any of the required contents specified in section 10101.1(b), (c), (d), (e), (f), (g), (h), (i), (j) of these Regulations, the penalty is $100. 
[F] For each failure to comply with any regulation of the Administrative Director, not otherwise assessed in this Subchapter, the penalty is $100. 
(9) The penalty for each failure to pay or object to a billing for a medical-legal expense in the manner required by Labor Code section 4622, is: 
$100 for each bill that was paid late with interest and increase; 
$200 for each bill that was paid late where either interest or increase was not included; 
$300 for each bill that was paid late where neither interest nor increase was paid. 
$500 for each bill that was not paid at the time the audit subject was notified the claim was selected for audit where no timely objection was sent. 
(10) The penalty for each failure to pay or object, in the manner required by law or regulation, to a bill for medical treatment provided or authorized by the treating physician, including medical treatment provided pursuant to Labor Code section 5402(c), is as follows when the bill remains unpaid at the time the audit subject is notified that the claim was selected for audit: 
$100 for each bill of $100 or less, excluding interest and penalty; 
$200 for each bill of more than $100, but no more than $500 excluding interest and penalty; 
$300 for each bill of more than $500, but no more than $1,000, excluding interest and penalty; 
$500 for each bill of more than $1,000, excluding interest and penalty. 
Any penaly assessed under this subdivision shall be doubled if the medical treatment provided by the physician was authorized by a reviewer, as defined by California Code of Regulations, title 8, section 9792.6(q), through a utilization review process established pursuant to Labor Code section 4610 and California Code of Regulations, title 8, section 9792.7.
(11) The penalty for each failure to pay or object, in the manner required by law or regulation, to a bill for medical treatment provided or authorized by the treating physician, including medical treatment provided pursuant to Labor Code section 5402(c), is as follows when the bill was paid before the audit subject was notified that the claim was selected for audit: 
$100 for each bill that included an increase and interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code section 4603.2; 
$200 for each bill that included either an increase or interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code section 4603.2; 
$300 for each bill that included neither an increase nor interest with the late payment of any uncontested amount of the bill, in accordance with Labor Code section 4603.2. 
Any penalty assessed under this subdivision will be no greater than the penalty that would have issued under subdivision (b)(10) of this section had the bill been unpaid at the time the audit subject was notified that the claim was selected for audit. 
(12) The penalty for each failure to pay or object to a vocational rehabilitation bill within 60 days of receipt, as required by California Code of Regulations, title 8, sections 10132 and 10132.1, is: 
$25 for each bill of $100 or less; 
$50 for each bill of more than $100, but no more than $200; 
$75 for each bill of more than $200, but no more than $300; 
$100 for each bill of more than $300. 
(13) The penalty for each failure to maintain or provide to the Audit Unit a claim log that complies with these Regulations is: 
$25 for each failure to list on a claim log one or more of the following: employee's name; claim number; date of injury; 
$50 for each misdesignation of an indemnity claim as a medical-only claim on the claim log; 
$50 for each failure to distinguish on the claim log an indemnity claim that has no payment of indemnity from one that has indemnity payment(s).
$100 for each failure to identify self-insured employers on the log as required by section 10103.1(b)(6) of these Regulations; 
$100 for each failure to identify the underwriting insurance company of an insurance group; 
$100 for each failure to designate a denied claim on the log; 
$100 for each claim not listed on the log; 
$250 for each failure to provide the claim log to the Audit Unit within 14 days of receipt of a written request if the claim log was provided more than 14 but no more than 30 days from receipt of the request; 
$500 for each failure for more than 30 days from receipt of a written request, to provide the claim log to the Audit Unit. 
(14) The penalty for each failure to provide information regarding the Americans with Disabilities Act, the Fair Employment and Housing Act, and workers' compensation vocational rehabilitation as required by Labor Code section 4636(a) immediately after 90 days of aggregate temporary disability indemnity is $100 if the information was provided or the employee returned to his or her usual and customary occupation more than 10 but not more than 20 days after 90 days of aggregate total disability, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. 
(15) The penalty for each failure to issue notice of medical eligibility for vocational rehabilitation services (if not previously issued) within 10 days after knowledge of a physician's opinion that the employee is medically eligible, or for failure to issue notice within 10 days after 366 days of aggregate total temporary disability, is $100 if the notice was issued not more than 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. Where the injured worker is represented by an attorney and documentation in the claim file indicates that the injured worker's attorney has received a copy of the physician's report indicating the employee is medically eligible for vocational rehabilitation, and if the knowledge is of a physician's opinion other than the injured worker's treating physician, a physician selected from a panel provided by the DWC Medical Unit, or an agreed medical examiner, the penalty shall be assessed at 20% of the amount otherwise assessed under this subdivision and shall not exceed $100. 
(16) The penalty for each failure to provide the employee with a copy of the treating physician's final report together with notice of the procedure to contest the treating physician's determination, in accordance with Labor Code section 4636(d), immediately upon receipt of that report, is $100 for compliance more than 10 but not more than 20 days after receipt of the treating physician's final report, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. However, if a separate penalty is assessed under subdivision (b)(17) for the violation, no penalty will be assessed under this subdivision. If the injured worker was notified of the procedure to contest the treating physician's determination, but no copy of the treating physician's final report was provided with the notice, the maximum penalty shall be $100 under this subdivision. 
(17) The penalty for each failure to notify an injured employee of the reasons he or she is not entitled to any, or to any further, vocational rehabilitation services, and the procedure for contesting the determination of non-eligibility, as required by California Code of Regulations, title 8, sections 9813(a)(3) and 10131, is $100 if notification was issued more than 10 but not more than 20 days after the determination, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. 
(18) The penalty for each failure to notify an injured employee that his or her injury may have caused permanent disability and the procedures for evaluating the permanent disability, or of the employer's position that the injury has caused no permanent disability and the employee's remedies, in the manner provided by California Code of Regulations, title 8, beginning with section 9810; is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. 
(19) The penalty for each failure to notify a claimant of the denial of all death benefits claimed by that person (except a denial limited to all or any of: burial expense, benefits which were due to the injured worker before his or her death, or medical-legal expense), in the manner provided by California Code of Regulations, title 8, beginning with section 9810, is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. 
(20) The penalty for each failure to send a notice denying liability for all workers' compensation benefits, in accordance with California Code of Regulations, title 8, beginning with section 9810, is $100 if the notice was issued up to 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $400 if the notice was issued more than 30 days late, and $500 if the notice was overdue more than 40 days and was not issued at the time the audit subject was notified that the claim was selected for audit. 
(21) The penalty for each notice denying liability for all workers' compensation benefits, which was materially misleading, is $500. 
The penalty for each materially incomplete denial notice is $100. 
(22) The penalty for each termination, interruption or deferral of vocational rehabilitation services other than as provided by Labor Code sections 4637(b) and 4644(b) is $1,000. 
(23) The penalty for each failure to comply with, show good cause for non-compliance with, or contest, within 30 days of receipt, any written request or order of the Administrative Director or Audit Unit which is not specified in subdivisions (a)(10), (a)(12), (b)(3), (b)(13), or (b)(24) of this section is: 
$500 if there was compliance in more than 30 but not more than 40 days from receipt of the request or order; 
$1,000 if there was compliance in more than 40 but not more than 60 days from receipt of the request or order; 
$2,500 if there was compliance in more than 60 but not more than 90 days of receipt of the request or order; 
$5,000 for failure to comply within 90 days of receipt of the request or order. 
(24) The penalty for each failure to fully and/or timely comply with any final award or order of the Workers' Compensation Appeals Board, or the Rehabilitation Unit, or the Administrative Director which is not assessed pursuant to subdivision (a)(10), is:
$100 for each late payment of interest required pursuant to Labor Code section 5800.
$250 for each failure to pay interest required pursuant to Labor Code section 5800.
$500 for compliance (other than a late interest payment) in more than 20 but not more than 35 days from the date of service
$1,000 for compliance (other than a late interest payment) in more than 35 but not more than 60 days from the date of service;
$2,500 for compliance (other than a late interest payment) in more than 60 but not more than 90 days from the date of service;
$5,000 if there was not compliance (other than failure to pay interest) within 90 days of the date of service.
Penalties will be assessed separately for both late compliance and the failure to pay a portion of an award or order. Compliance with an award or order must be within 20 days of service of the award or order, unless the award or order expressly allows additional time, plus an additional five days for service by mail. If additional time for payment is allowed in the award or order, the penalties set forth under this subdivision will be assessed based on the date the payment is ordered due instead of the date of service.
(25) The penalty for each failure by a claims administrator to provide a claim form within one working day of receipt of a request from an injured worker or the worker's agent is: 
$100 in addition to those shown below, if the claim form provided to the injured worker is not the current form required by existing regulation;
$500 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were being provided to the employee at the time of the request; 
$1,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were being provided to the employee at the time of the request; 
$3,000 if the claim form was provided in more than 1 but not more than 5 working days from receipt of the request, if benefits were not being provided to the employee at the time of the request; 
$5,000 if the claim form was not provided within 5 working days of receipt of the request, if benefits were not being provided to the employee at the time of the request. 
(26) The penalty for each failure to comply with California Code of Regulations, title 8, section 10104 is: 
$100 if the Annual Report of Inventory or Annual Report of Adjusting Locations was filed not more than 10 days late, and an additional $100 for each additional delay of not more than 10 days, to a maximum penalty of $500 if the Annual Report of Inventory or Annual Report of Adjusting Locations was filed more than 40 days late, and $1,000 if the Annual Report of Inventory or Annual Report of Adjusting Locations was overdue more than 40 days and was not filed at the time the audit subject was notified that the claim was selected for audit.
$500 for each Annual Report of Inventory that overstates or understates the number of claims by 10% or more. 
(27) The penalty for each failure to comply with the supplemental job displacement benefit notice requirements of California Code of Regulations, title 8, section 10133.51 is:
(A) $100 for each materially incomplete or inaccurate notice relating to the supplemental job disability benefit;
(B) $100 for each failure to send the notice of supplemental job displacement benefits by certified mail.
(C) For each failure to issue the notice of supplemental job displacement benefits (if not previously issued) within 10 days of the last payment of temporary disability is:
$100 for each failure to issue the notice of supplemental job displacement benefits within 10 days of the last payment of temporary disability if the notice was issued not more than 10 days late.
$200 for each failure to issue the notice of supplemental job displacement benefits if the notice was issued more than ten but not more than 20 days late;
$300 for each failure to issue the notice of supplemental job displacement benefits if the notice was issued more than 20 but no more than 30 days late;
$400 for each failure to issue the notice of supplemental job displacement benefits if the notice was issued more than 30 but no more than 40 days late;
$500 for each failure to issue the notice of supplemental job displacement if the notice was issued more than 40 days late or was not issued;
(28) For each failure to issue the voucher for education-related retraining/skill enhancement in compliance with California Code of Regulations, title 8, section 10133.56(c), unless the employer meets the conditions set forth in Labor Code section 4658.6, is:
$100 for each failure to issue the voucher, in the manner required by law and regulations, not more than 10 days late;
$200 for each failure to issue the voucher, in the manner required by law and regulations, more than ten but not more than 20 days late;
$300 for each failure to issue the voucher, in the manner required by law and regulations, more than 20 but not more than 30 days late;
$400 for each failure to issue the voucher, in the manner required by the law and regulations, more than 30 but not more than 40 days late;
$500 for each failure to issue the voucher, in the manner required by the law and regulations, more than 40 but not more than 50 days late;
$1000 for each failure to issue the voucher, in the manner required by the law and regulations, within 51 days.
(29) For failure to pay any properly documented supplemental job displacement benefit voucher billing within the time frames required by California Code of Regulations, title 8, section 10133.56(h) is:
$100 for each bill of $1000 or less; 
$200 for each bill of more than $1000, but no more than $2000; 
$300 for each bill of more than $2000, but no more than $3000; 
$500 for each bill of more than $3000, but no more than $5000;
$1000 for each bill of more than $5000.
(30) For claims reported on or after April 19, 2004, regardless of the date of injury, the penalty for each failure to authorize medical treatment for which the employer is responsible under Labor Code section 5402(c) is $2,500.
(c) Mitigation of penalty amounts pursuant to Labor Code section 129.5(b)(1) through (b)(7) will be applied as follows: 
(1) Mitigation for gravity of the violation is included within the penalty amounts set forth in subdivisions (a) and (b). 
(2) Mitigation for good faith of the insurer, self-insured employer, or third-party administrator will be determined based on documentation of attempts to comply with requirements of the Labor Code and the Administrative Director's regulations, and will result in a reduction of 20% for each applicable violation. Penalties may be mitigated for good faith in an amount greater than 20% in extraordinary circumstances, when strict application of this mitigation guideline would be clearly inequitable.
(3) Mitigation for frequency is considered as included within the numbers of penalties and their amounts established by this section and in conjunction with the frequency of violations that determines whether or not the audit subject meets or exceeds the profile audit review performance standards and/or full compliance audit performance standards pursuant to sections 10107.1(c)(3) and (d)(3). 
(4) Mitigation for history shall be determined as follows: 
(A) For audits that meet or exceed the full compliance audit performance standard, penalty amounts will be reduced by 20%, after modification for good faith, if any, in instances in which the audit subject met or exceeded the profile audit review performance standards in the audit preceding the current audit. No reduction shall apply if the preceding audit occurred before January 1, 2003. 
(B) For audits that fail to meet or exceed the full compliance audit performance standards, mitigation for history shall be determined pursuant to Labor Code section 129.5(e). 
(5) Mitigation based on whether or not the audit subject has met or exceeded the profile audit review performance standard is determined pursuant to Labor Code section 129.5(c) (1) and (c)(2). 
(6) Mitigation based on whether or not the audit subject has met or exceeded the full compliance audit performance standard is determined pursuant to Labor Code section 129.5(c)(3). 
(7) Consideration of penalty amounts based on the size of the audit subject location pursuant to Labor Code section 129.5(c)(3) shall be based on the number of indemnity claims reported at the audit subject's location for the most recent complete calendar year. For an audit subject location that is handling only run-off claims, the penalty amount shall be based on the number of open run-off claims and claims that were closed at the audit subject location in the most recent complete calendar year. For audit subjects that fail to meet or exceed the full compliance audit performance standards calculated pursuant to section 10107.1(d)(3), after penalty amounts are calculated pursuant to subdivisions (a)(1) through (c)(6) of this section, penalty amounts will be modified based on the size of the adjusting location as follows:

	Multiply the penalty amount 
Number of indemnity claims reported	calculated pursuant to subdivisions 
at the audit subject location in most	(a)(1) through (c)(6) of this section
recent complete calendar year: 	by the following factor: 

Less than 65: 	1.0 
65-99 	1.2 
100-249 	1.4 
250-499 	1.6 
500-749 	1.8 
750-999 	2.0 
1,000-1,499 	2.4 
1,500-1,999 	2.8 
2,000-3,499 	3.6 
3,500 or more 	7.2 
(8) The Audit Unit may assess penalties pursuant to subdivisions (a), (b), and (c) in target audits in which the claims were audited to evaluate specific practices but in which full compliance audit samples of claims were not randomly selected pursuant to Section 10107.1(c) through (e). 
NOTE

Authority cited: Sections 59, 129, 129.5, 133, 138.3, 138.4, 138.6, 138.7, 139.5, 4603.5, 4610, 4627, 4658.5, 4658.6 and 5307.3, Labor Code. Reference: Sections 124, 129, 129.5, 138.6, 138.7, 4061, 4453, 4454, 4550, 4600, 4603.2, 4610,  4621, 4622, 4625, 4636-4638, 4639, 4641, 4642, 4650, 4658.5, 4658.6, 4701-4703.5, 4706, 4706.5, 4951, 5401, 5401.6, 5402, 5800 and 5814, Labor Code; and Section 2629.1(e) and (f), Unemployment Insurance Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Change without regulatory effect amending subsection (b)(8)[iv] filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
3. Amendment of subsections (a)(1) and (a)(8), new subsection (a)(9), subsection renumbering, amendment of newly designated subsections (a)(10)-(11) and subsection (b)(23), new subsection (b)(24) and subsection renumbering filed 10-6-2003; operative 12-1-2003 (Register 2003, No. 41).
4. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
5. Change without regulatory effect amending subsection (a)(9) filed 12-9-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 50).
§10112. Liability for Penalty Assessments.
Note     •     History

The audit subject is liable for all penalty assessments, except that if the audit subject is acting as a third-party administrator, the client of that third-party administrator which secures the payment of compensation is jointly and severally liable with the administrator for all penalty assessments except civil penalties imposed under Labor Code section 129.5(e). Without affecting DWC's rights, a third-party administrator and its client may agree how to allocate the audit penalty expense between them.
NOTE

Authority cited: Sections 59, 129.5, 133. 5307.3, Labor Code. Reference: Section 129, 129.5, 3200-6002, Labor Code.
HISTORY

1. Renumbering of former section 10112 to section 10115 and new section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
Article 5.5. Administrative Penalties Pursuant to Labor Code Section 5814.6
§10112.1. Definitions.
Note     •     History

As used in this article:
(a) “Adjusting location” means the office where claims are administered. Separate underwriting companies, employers that are both self-administered and self-insured, and/or third-party administrators operating at one location shall be combined as one adjusting location only if claims are administered under the same management at that location. Where claims are administered from an office that includes a satellite office at another location, claims administered at the satellite office(s) will be considered as part of the single adjusting location for investigation and auditing purposes under this article when it is demonstrated that the claims are under the same immediate management. 
(b) “Administrative Director” means the Administrative Director of the Division of Workers Compensation, including his or her designee.
(c) “Claim” means a request for compensation, or record of an occurrence in which compensation reasonably would be expected to be payable for an injury arising out of and in the course of employment.
(d) “Claim file” means a record in paper or electronic form, or any combination, containing all of the information specified in section 10101.1 of Title 8 of the California Code of Regulations and all documents or entries related to the provision, payment, delay, or denial of benefits or compensation under Divisions 1, 4 or 4.5 of the Labor Code.
(e) “Claims administrator” means a self-administered workers' compensation insurer; a self-administered self-insured employer; a self-administered legally uninsured employer; a self-administered joint powers authority; or a third-party claims administrator for an insurer, a self-insured employer, a legally uninsured employer or a joint powers authority.
(f) “Compensation” means every benefit or payment, including vocational rehabilitation, supplemental job displacement benefits, medical treatment, medical and medical-legal expenses, conferred by Divisions 1 and 4 of the Labor Code on an injured employee or the employee's dependents. 
(g) “Compensation order” means any award, order or decision issued by the Workers' Compensation Appeals Board or the Division of Workers' Compensation vocational rehabilitation unit by which a party is entitled to payment of compensation.
(h) “Concurrent medical treatment authorization” means authorization requested or provided during an inpatient stay.
(i) “ Determination and Order” means Determination and Order in re Labor Code §5814.6 Administrative Penalties.
(j) “Employee” means every person in the service of another, as defined under Article 2 of Chapter 2 of Part 1 of Division 4 of the Labor Code (Sections 3350 et seq.), or in the case of the employee's death, his or her dependent, as each is defined in Division 4 of the Labor Code, or the employee's or dependent's agent or attorney.
(k) “Employer” shall have the same meaning as the word `employer' as defined in Division 4 of the Labor Code (sections 3300 et seq.). 
(l) “General business practice” means a pattern of violations of Labor Code section 5814 at a single adjusting location that can be distinguished by a reasonable person from an isolated event. The pattern of violations must occur in the handling of more than one claim. The pattern of violations may consist of one type of act or omission, or separate, discrete acts or omissions in the handling of more than one claim. However, where a claim file with a violation of Labor Code section 5814 has been adjusted at multiple adjusting locations, that claim file may be considered when determining the general business practice of any of the adjusting locations where the conduct that caused the violation occurred even if the file has been transferred to a different adjusting location. 
(m) “Indemnity” means payments made directly to an eligible person as a result of a work injury and as required under Division 4 of the Labor Code, including but not limited to temporary disability indemnity, salary continuation in lieu of temporary disability indemnity, permanent disability indemnity, vocational rehabilitation temporary disability indemnity, vocational rehabilitation maintenance allowance, life pension and death benefits.
(n) “Insurer” means any company, group, or entity in, or which has been in, the business of transacting workers' compensation insurance for one or more employers subject to the workers' compensation laws of this state. The term insurer includes the State Compensation Insurance Fund.
(o) “Investigation” means the process used by the Administrative Director, or his or her designee, pursuant to Section 10112.2 and/or Government Code sections 11180 through 11191, to determine whether a violation of Labor Code section 5814.6 has occurred, including but not limited to reviewing, evaluating, copying and preserving electronic and paper records, files, accounts and other things, and interviewing potential witnesses.
(p) “Joint powers authority” means any county, city, city and county, municipal corporation, public district, public agency, or political subdivision of the state, but not the state itself, included in a pooling arrangement under a joint exercise of powers agreement for the purpose of securing a certificate of consent to self-insure workers' compensation claims under Labor Code Section 3700(c).
(q) “Knowingly” means acting with knowledge of the facts of the conduct at issue. For the purposes of this article, a corporation has knowledge of the facts an employee receives while acting within the scope of his or her authority. A corporation has knowledge of information contained in its records and of the actions of its employees performed in the scope and course of employment. An employer or insurer has knowledge of information contained in the records of its third-party administrator and of the actions of the employees of the third-party administrator performed in the scope and course of employment. 
(r) “Notice of Assessment” means Notice of Labor Code §5814.6 Administrative Penalty Assessment.
(s) “Penalty award” means a final order or final award by the Workers' Compensation Appeals Board to pay penalties due to a violation of section 5814 of the Labor Code.
(t) “Petition Appealing Determination and Order” means Petition Appealing Determination and Order of the Administrative Director in re Labor Code §5814.6 Administrative Penalties.
(u) “Proof of service” means an affidavit or declaration made under penalty of perjury and filed with one or more documents required to be filed, setting out a description of the document(s) being served, the names and addresses of all persons served, whether service was made personally or by mail, the date of service, and the place of service or the address to which mailing was made.
(v) “Prospective medical treatment authorization” means authorization requested or provided prior to the delivery of the medical services. 
(w) “Recommended Determination and Order” means Recommended Determination and Order in re Labor Code §5814.6 Administrative Penalties.
(x) “Retrospective medical treatment authorization” means authorization requested or provided after medical services have been provided and for which services approval has not already been given.
(y) “Salary continuation” means payment made to an injured employee as provided under Division 4 of the Labor Code.
(z) “Serve” means to file or deliver a document or to cause it to be delivered to the Administrative Director or his or her designee, or to such other person as is required under this article.
(aa) “Stipulated Order” means a Notice of Assessment that was timely paid. 
(bb) “Supplemental job displacement benefits” means benefits as described under Labor Code section 4658.5 and sections 10133.50-10133.59 of Title 8 of the California Code of Regulations.
(cc) “Third-party administrator” means an agent under contract to administer the workers' compensation claims of an insurer, a self-insured employer, a legally uninsured employer, a self-insured joint powers authority or on behalf of the California Insurance Guarantee Association. The term third-party administrator includes the State Compensation Insurance Fund for locations that administer claims for legally uninsured and self-insured employers, and also includes managing general agents. 
(dd) “Utilization review files” means those files, documents or records, whether paper or electronic, containing information that documents an employer or insurer utilization review process required under Division 4 of the Labor Code.
(ee) “Workers' Compensation Appeals Board” means the Appeals Board, commissioners, deputy commissioners, presiding workers' compensation judges and workers' compensation administrative law judges.
NOTE

Authority cited: Sections 133, 5307.3 and 5814.6, Labor Code. Reference: Sections 129.5, 139.48, 5814 and 5814.6, Labor Code.
HISTORY

1. Change without regulatory effect renumbering former subchapter 1.8, article 1 (sections 10225-10225.2) to subchapter 1.5, article 5.5 (sections 10112.1-10112.3) and renumbering former section 10225 to section 10112.1  filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10112.2. Schedule of Administrative Penalties Pursuant to Labor Code §5814.6.
Note     •     History

(a) Administrative penalties shall only be imposed under this section based on violations of Labor Code section 5814, after more than one penalty award has been issued by the Workers' Compensation Appeals Board on or after June 1, 2004 based on conduct occurring on or after April 19, 2004 for unreasonable delay or refusal to pay compensation within a five year time period. The five year period of time shall begin on the date of issuance of any penalty award not previously subject to an administrative penalty assessment pursuant to Labor Code section 5814.6.
(b) The Division of Workers' Compensation shall at least monthly submit copies of WCAB decisions, findings, and/or awards issued pursuant to Labor Code section 5814 to the Audit Unit.
(c) The Audit Unit shall obtain monthly Labor Code section 5814 activity reports and shall determine if the decisions, findings, and/or awards are final. If more than one final penalty award has been issued on or after June 1, 2004 against a claims administrator at a single adjusting location, the Audit Unit may proceed with an investigation.
(d) To determine whether a violation described in Labor Code section 5814.6 has occurred, and notwithstanding Labor Code section 129(a) through (d) and section 129.5 subdivisions (a) through (c) and sections 10106, 10106.1, 10107 and 10107.1 of Title 8 of the California Code of Regulations, the Administrative Director, or his or her designee, may conduct an investigation, which may include but is not limited to an audit of claims and/or utilization review files. The investigation may be independent of, or may be conducted concurrently with, an audit conducted pursuant to Labor Code section 129 and 129.5. 
(e) The Administrative Director, or his or her designee, may also utilize the provisions of Government Code sections 11180 through 11191 to carry out the responsibilities mandated by Labor Code section 5814.6.
(f) The Administrative Director may issue a Notice of Assessment under this article in conjunction with an order to show cause pursuant to section 10113 of Title 8 of the California Code of Regulations, charging both an administrative penalty under this section and a civil penalty under subdivision (e) of Labor Code section 129.5 in the same pleading, however only one penalty may be imposed by the Administrative Director following the hearing on such charges.
(g) Pursuant to Labor Code section 5814.6, the Administrative Director, or his or her designee, shall issue a Notice of Assessment for administrative penalties against an employer and/or insurer as follows:
(1) $ 100,000 for when the Administrative Director, or his or her designee, has evidence to support a finding that an employer or insurer knowingly violated Labor Code section 5814 with a frequency that indicates a general business practice, and additionally for each applicable penalty award, the following;
(2) $ 30,000 for each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to comply with an existing compensation order;
(3) For each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to make a payment of temporary disability benefits or salary continuation payments in lieu of temporary disability; vocational rehabilitation maintenance allowance, life pension, or death benefits:
(A) $ 5,000 for 14 days or less of indemnity benefits; 
(B) $ 10,000 for 15 days through 42 days of indemnity benefits; 
(C) $ 15,000 for more than 42 days of indemnity benefits. 
(4) For each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to provide authorization for medical treatment:
(A) $ 1,000 for retrospective medical treatment authorization;
(B) $ 5,000 for prospective or concurrent medical treatment authorization;
(C) $15,000 for prospective or concurrent medical treatment authorization when the employee's condition is such that the employee faces an imminent and serious threat to his or her health.
(5) For each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to reimburse an employee for self-procured medical treatment costs:
(A) $ 1,000 for medical treatment costs of $100 or less, excluding interest and penalty;
(B) $ 2,000 for medical treatment costs of more than $100 to $300, excluding interest and penalty;
(C) $ 3,000 for medical treatment costs of more than $300 to $500, excluding interest and penalty;
(D) $ 5,000 for medical treatment costs of more than $500, excluding interest and penalty.
(6) $ 2,500 for each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to provide the the supplemental job displacement benefit, as required by section 10133.51(b) and section 10133.56(c), respectively, of Title 8 of the California Code of Regulations.
(7) $ 2,500 for each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to make payment to an injured worker as reimbursement for payment for services provided for a supplemental job displacement benefit voucher, or where the unreasonable delay or refusal to pay the training provider causes an interruption in the employee's retraining.
(8) For each penalty award by the Workers' Compensation Appeals Board for a violation of Labor Code section 5814 for an unreasonable delay or refusal to make a payment of permanent disability indemnity benefits:
(A) $ 1,000 for 15 weeks or less of indemnity benefits; 
(B) $ 5,000 for more than 15 but not more than 50 weeks of indemnity benefits; 
(C) $ 7,500 for more than 50 but not more than 95 weeks of indemnity benefits; 
(D) $ 15,000 for more than 95 weeks of indemnity benefits. 
(9) $ 2,500 for any other penalty award by the Workers' Compensation Appeals Board pursuant to Labor Code section 5814 not otherwise specified in this section.
(h) In cases that the Administrative Director deems appropriate, the Administrative Director, or his or her designee, may mitigate a penalty imposed under this section after considering each of these factors:
(1) The consequences and gravity of the violation(s).
(2) The good faith of the claims administrator.
(3) The history of previous penalty awards under Labor Code section 5814.
(4) The number and type of the violations.
(5) The time period in which the violations occurred.
(6) The size of the claims adjusting location. 
(i) Each administrative penalty assessed under this section shall be doubled upon a second Order (which may be a Stipulated Order or a final Determination and Order) by the Administrative Director under Labor Code §5814.6 against the same employer or insurer within a five (5) year period. Each administrative penalty under this section shall be tripled upon a third Order (which may be a Stipulated Order or a final Determination and Order) by the Administrative Director under Labor Code §5814.6 against the same employer or insurer within the same five (5) year period. 
(j) In no event shall the administrative penalties assessed against a single employer or insurer in a single Stipulated Order or final Determination and Order after doubling or tripling exceed $400,000. 
NOTE

Authority cited: Sections 133, 5307.3 and 5814.6, Labor Code. Reference: Sections 129.5, 139.48, 5814 and 5814.6, Labor Code; and Sections 11180-11191, Government Code.
HISTORY

1. Change without regulatory effect former section 10225.1 to section 10112.2 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10112.3. Notice of Administrative Penalty Assessment, Appeal Hearing Procedures and Review.
Note     •     History

(a) Pursuant to Labor Code section 5814.6, the Administrative Director shall issue a Notice of Assessment when the Administrative Director, or his or her designee (the investigating unit of the Division of Workers Compensation), has evidence to support a finding that an employer or insurer has knowingly violated section 5814 with a frequency that indicates a general business practice.
(b) Successor liability may be imposed on a corporation or other business entity that has merged with, consolidated with, or otherwise continued the business of an employer or insurer that is subject to penalties under Labor Code section 5814.6. The surviving entity shall assume and be liable for all the liabilities, obligations and penalties of the prior employer or insurer. Successor liability will be imposed if there has been a substantial continuity of business operations and/or the new business uses the same or substantially the same work force.
(c) The Notice of Assessment shall be in writing and shall contain all of the following: 
(1) The basis for the penalty assessment, including a statement of the alleged violations and the amount of each proposed penalty; 
(2) A description of the methods for paying or appealing the penalty assessment. 
(d) The Notice of Assessment shall be served personally or by registered or certified mail. 
(e) Within thirty (30) calendar days after the date of service of the Notice of Assessment, the employer or insurer may pay the penalties as assessed or file an appeal with the Administrative Director. 
(f) If the employer or insurer pays the penalties within thirty (30) calendar days, the Notice of Assessment shall be deemed a Stipulated Order.
(g) If the employer or insurer files an appeal of the Notice of Assessment with the Administrative Director, the appeal shall:
(1) Admit or deny, in whole or in part any of the allegations set forth in the Notice;
(2) Appeal the existence of any or all of the alleged violations;
(3) Appeal the amount of any or all the penalties assessed; 
(4) Set forth any affirmative and other defenses;
(5) Set forth the legal and factual bases for each defense and each ground for appeal. Any item listed in the Notice of Assessment but not appealed shall be paid within thirty (30) calendar days after the date of service of the Notice of Assessment.
(h) Failure to timely file an appeal shall constitute a waiver of the appellant's right to an evidentiary hearing. Unless set forth in the appeal, all defenses to the Notice of Assessment shall be deemed waived. The appellant may also file a written request for leave to assert additional defenses which the Administrative Director may grant upon a showing of good cause. 
(i) The appeal shall be in writing signed by, or on behalf of, the employer or insurer, and shall state the appellant's mailing address. The appeal shall be verified, under penalty of perjury, by the employer or insurer. If the appellant is a corporation, the verification may be signed by an officer of the corporation. In the event the appellant is not the employer, the employer's address shall be provided and the employer shall be included on the proof of service.
(1) The appellant shall file the original and one copy of the appeal on the Administrative Director and concurrently serve one copy of the appeal on the investigating unit of the Division of Workers Compensation designated by the Administrative Director. The original and all copies of any filings required by this section shall have a proof of service attached.
(j) At any time before the hearing, the Administrative Director may file or permit the filing of an amended Notice of Assessment. All parties shall be notified thereof. If the amended Notice of Assessment presents new allegations or new penalties, the Administrative Director shall afford the Appellant a reasonable opportunity to prepare its defense, and the Appellant shall be entitled to file an amended appeal. 
(k) At the Administrative Director's discretion, the Administrative Director may proceed with an informal pre-hearing conference with the appellant in an effort to resolve the contested matters. If any or all of the proposed penalties in Notice of Assessment or the amended Notice of Assessment remain contested, those contested matters shall proceed to an evidentiary hearing.
(l) Whenever the Administrative Director's Notice of Assessment has been contested, the Administrative Director may designate a hearing officer to preside over the hearing. The authority of the Administrative Director or any designated hearing officer includes, but is not limited to: conducting a prehearing settlement conference; setting the date for an evidentiary hearing and any continuances; issuing subpoenas for the attendance of any person residing anywhere within the state as a witness or party at any pre-hearing conference and hearing; issuing subpoenas duces tecum for the production of documents and things at the hearing; presiding at hearings; administering oaths or affirmations and certifying official acts; ruling on objections and motions; issuing prehearing orders; and preparing a Recommended Determination and Order based on the hearing.
(m) The Administrative Director, or the designated hearing officer, shall set the time and place for any prehearing conference on the contested matters in a Notice of Hearing and shall give sixty (60) calendar days written notice to all parties. 
(n) The prehearing conference may address one or more of the following matters: 
(1) Exploration of settlement possibilities. 
(2) Preparation of stipulations. 
(3) Clarification of issues. 
(4) Rulings on identity and limitation of the number of witnesses. 
(5) Objections to proffers of evidence. 
(6) Order of presentation of evidence and cross-examination. 
(7) Rulings regarding issuance of subpoenas and protective orders. 
(8) Schedules for the submission of written briefs and schedules for the commencement and conduct of the hearing. 
(9) Any other matters as shall promote the orderly and prompt conduct of the hearing.
(o) The Administrative Director, or the designated hearing officer, shall issue a prehearing conference order incorporating the matters determined at the prehearing conference. The Administrative Director, or the designated hearing officer, may direct one or more of the parties to prepare the prehearing conference order. 
(p) Not less than 30 calendar days prior to the date of the pre-hearing conference, or if no pre-hearing conference is set, not less than 30 calendar days prior to the date of the evidentiary hearing, the Appellant shall file and serve the original and one copy of a written statement with the Administrative Director, or the designated hearing officer, specifying the legal and factual bases for its appeal and each defense, listing all witnesses the Appellant intends to call to testify at the hearing, and appending copies of all documents and other evidence the Appellant intends to introduce into evidence at the hearing. A copy of the written statement and its attachments shall also concurrently be served on the investigating unit of the Division of Workers' Compensation. If the Appellant's written statement and supporting evidence are not timely filed and served, the Administrative Director, or the designated hearing officer , shall dismiss the appeal and the violations and penalties as stated in the Notice of Assessment shall be final, due and payable. Within ten (10) calendar days of the date for filing the written statement and supporting evidence, the Appellant may file a written request for leave to file a written statement and supporting evidence. The Administrative Director, or the designated hearing officer, may grant the request, upon a showing of good cause. If leave is granted, the written statement and supporting evidence must be filed and served no later than ten (10) calendar days prior to the date of the hearing. 
(q) Oral testimony shall be taken only on oath or affirmation. 
(r)(1) Each party shall have these rights: to call and examine witnesses, to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him or her to testify; and to rebut the evidence. 
(2) In the absence of a contrary order by the Administrative Director, or the designated hearing officer, the investigating unit of the Division of Worker's Compensation shall present evidence first. 
(3) The hearing need not be conducted according to the technical rules relating to evidence and witnesses, except as hereinafter provided. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of the evidence over objection in civil actions. 
(4) Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but over timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. An objection is timely if made before submission of the case to the Administrative Director, or to the designated hearing officer.
(s) The written affidavit or declaration of any witness may be offered and shall be received into evidence provided that (i) the witness was listed in the written statement pursuant to section 10112.3(p), (ii) the statement is made by affidavit or by declaration under penalty of perjury, (iii) copies of the statement have been delivered to all opposing parties at least 20 calendar days prior to the hearing, and (iv) no opposing party has, at least 10 calendar days before the hearing, delivered to the proponent of the evidence a written demand that the witness be produced in person to testify at the hearing. The Administrative Director, or the designated hearing officer, shall disregard any portion of the statement received pursuant to this regulation that would be inadmissible if the witness were testifying in person, but the inclusion of inadmissible matter does not render the entire statement inadmissible. Upon timely demand for production of a witness in lieu of admission of an affidavit or declaration, the proponent of that witness shall ensure the witness appears at the scheduled hearing and the proffered declaration or affidavit from that witness shall not be admitted. If the Administrative Director, or the designated hearing officer, determines that good cause exists that prevents the witness from appearing at the hearing, the declaration may be introduced in evidence, but it shall be given only the same effect as other hearsay evidence.
(t) The Administrative Director, or the designated hearing officer, shall issue a written Recommended Determination and Order, granting or denying the appeal, in whole or part, and affirming or amending the penalty assessment(s). The Recommended Determination and Order shall include a statement of the basis for the decision and each penalty assessed. It shall be served on all parties within sixty (60) calendar days of the date the case was submitted for determination. This requirement is directory and not jurisdictional. 
(u) The Administrative Director shall have up to sixty (60) calendar days to adopt or modify the Recommended Determination and Order issued by the Administrative Director or the designated hearing officer. In the event the Recommended Determination and Order is modified, the Administrative Director shall include a statement of the basis for the Determination and Order. If the Administrative Director does not act within sixty (60) calendar days, then the Recommended Determination and Order shall become the Determination and Order on the sixty-first calendar day. 
(v) The Determination and Order shall be served on all parties personally or by registered or certified mail by the Administrative Director. 
(w) The Determination and Order, if any, shall become final on the date it was served, unless the aggrieved party files a timely Petition Appealing Determination and Order within twenty (20) days. A timely filed Petition Appealing the Determination and Order tolls the period for paying any disputed penalty. All findings and assessments in the Determination and Order that are not contested in the Petition Appealing Determination and Order shall become final as though no such petition was filed. 
(x) At any time prior to the date the Determination and Order becomes final, the Administrative Director may correct the Determination and Order for clerical, mathematical or procedural error.
(y) Penalties assessed in a Determination and Order shall be paid within thirty (30) calendar days of the date the Determination and Order has been served, if no Petition Appealing Determination and Order has been filed. The penalties shall be deposited into the Return-to-Work-Fund.
(z) All appeals from any part or the entire Determination and Order shall be made in the form of a Petition Appealing the Determination and Order, in conformance with the requirements of chapter 7, part 4 of Division 4 of the Labor Code. Any such Petition Appealing the Determination and Order shall be filed at the Workers' Compensation Appeals Board in San Francisco (and not with any district office of the Workers' Compensation Appeals Board), in the same manner specified for petitions for reconsideration. 
NOTE

Authority cited: Sections 133, 5307.3 and 5814.6, Labor Code. Reference: Sections 129.5, 139.48, 5300, 5814, 5814.6 and 5900 et seq., Labor Code.
HISTORY

1. Change without regulatory effect former section 10225.2 to section 10112.3, including amendment of subsection (s), filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
Article 6. Civil Penalty
§10113. Order to Show Cause Re: Assessment of Civil Penalty and Notice of Hearing.
Note     •     History

(a) If an audit subject fails to meet the full compliance audit performance standards in two consecutive full compliance audits, the Audit Unit shall refer the audit subject to the Administrative Director for the possible assessment of a civil penalty pursuant to Labor Code Section 129.5(e). Nothing in these regulations shall prohibit the Audit Unit from referring any audit subject to the Administrative Director for the possible assessment of a civil penalty under Labor Code Section 129.5(e) for any other reason. If the Administrative Director has reason to believe that an employer, insurer, or third-party administrator has knowingly committed or performed any of the practices set forth in Labor Code Section 129.5(e), (s)he shall issue an Order to Show Cause Re: Assessment of Civil Penalty and Notice of Hearing. 
(b) The order shall be in writing and shall contain all of the following:
(1) Notice that a civil penalty not to exceed $100,000 per audit subject named in the order may be assessed;
(2) The basis for the assessment, including a statement of the alleged violations;
(3) Notice of the date, time and place of hearing. Continuances will not be allowed without a showing of good cause. 
(c) The order shall be served personally or by registered or certified mail. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124, 129 and 129.5, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Relocation and amendment of article heading, renumbering of former section 10113 to section 10115.1 and renumbering and amendment of former section 10109 to section 10113 filed 1-28-94; operative 1-28-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
3. Amendment of subsections (a), (b)(2) and Note filed 10-26-98; operative 11-25-98 (Register 98, No. 44).
4. Amendment of section and Note filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10113.1. Answer to Order to Show Cause.
Note     •     History

(a) Within 30 days after service of the Order to Show Cause Re Assessment of Civil Penalties the claims administrator may file with the Administrative Director an Answer to the Order to Show Cause in which the claims administrator may: 
(1) Admit or deny in whole or in part any of the allegations of set forth in the Order to Show Cause; 
(2) Set forth any affirmative defenses. 
(b) Failure to timely file an Answer shall constitute a waiver of the claims administrator's right to a hearing. Unless set forth in the Answer, all defenses to the Order to Show cause shall be deemed waived. If the Answer is not timely filed, the claims administrator may file a written request for leave to file an Answer. The claims administrator may also file a written request for leave to assert additional defenses. The Administrative Director may grant relief upon a showing of good cause. 
(c) The Answer shall be in writing signed by or on behalf of the claims administrator and shall state the claims administrator's mailing address. It need not be verified or follow any particular form. 
(d) The claims administrator must file the original and one copy of the Answer on the Administrative Director and concurrently serve one copy of the Answer on the Audit Unit. The original and all copies of any filings shall have a proof of service. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10113.2. Amended Complaint or Supplemental Order to Show Cause Before Submission of Case.
Note     •     History

At any time before the hearing, the Administrative Director may file or permit the filing of an amended complaint or supplemental Order to Show Cause. All parties shall be notified thereof. If the amended or supplemental Order to Show Cause presents new charges, the Administrative Director shall afford the claims administrator a reasonable opportunity to prepare its defense thereto, and it shall be entitled to file an amended Answer. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10113.3. Administrative Director's Designation of Hearing Officer.
Note     •     History

The Administrative Director may delegate authority to a Workers' Compensation Administrative Law Judge to act as the Hearing Officer. The delegation may include the following authority: to conduct a prehearing conference; to conduct the civil penalty hearing; to issue subpoenas for the attendance of witnesses at the conference; to issue subpoena duces tecum for the production of documents; and to prepare a Recommended Determination. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10113.4. Written Statement and Supporting Evidence.
Note     •     History

(a) Not less than 30 calendar days prior to the date of hearing, the claims administrator shall file and serve a written statement with the Administrative Director specifying its legal and factual bases for its Answer. The written statement shall also include copies of all documents and all other evidence the claims administrator intends on introducing into evidence at the hearing. If the written statement and supporting evidence are not timely filed and served, the Administrative Director shall dismiss the Answer and issue a written Determination. If the written statement and supporting evidence are not timely filed and served, the claims administrator may file a written request for leave to file a written statement and supporting evidence. The written request for leave must be filed and served no later than the date of the hearing. The Administrative Director may grant the request for leave to file the written statement and supporting evidence and continue the hearing, upon a showing of good cause. 
(b) The claims administrator must file the original and one copy of the written statement and all supporting evidence on the Administrative Director and concurrently serve one copy of the written statement and all supporting evidence on the Audit Unit. The original and all copies of any filings shall have a proof of service. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Amendment of subsection (a) filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10113.5. Prehearing Conference; Subject Matter; Prehearing Order.
Note     •     History

(a) The Administrative Director or designee shall set the time and place for the prehearing conference, and shall give reasonable written notice to all parties. 
(b) The prehearing conference may deal with one or more of the following matters: 
(1) Exploration of settlement possibilities. 
(2) Preparation of stipulations. 
(3) Clarification of issues. 
(4) Rulings on identity and limitation of the number of witnesses. 
(5) Objections to proffers of evidence. 
(6) Order of presentation of evidence and cross-examination. 
(7) Rulings regarding issuance of subpoenas and protective orders. 
(8) Exchange of witness lists and of exhibits or documents to be offered in evidence at the hearing.
(9) Schedules for the submission of written briefs and schedules for the commencement and conduct of the hearing. 
(10) Any other matters as shall promote the orderly and prompt conduct of the hearing. 
(c) The Administrative Director or designee shall issue a prehearing order incorporating the matters determined at the prehearing conference. The Administrative Director or designee may direct one or more of the parties to prepare a prehearing order. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. New subsection (b)(8) and subsection renumbering filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10113.6. Subpoenas.
Note     •     History

The Administrative Director or designee may issue subpoenas for the attendance of persons and the production of documents or other things, to compel the attendance of persons residing anywhere within the State. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code.
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10114. Hearing.
Note     •     History

(a) The hearing shall be held at the place, time and date noticed, unless a continuance has been granted for good cause. 
(b) A record of the hearing shall be made. 
(c) Any claims administrator that fails to meet the full compliance audit performance standards in two consecutive full compliance audits shall be rebuttably presumed to have engaged in a general business practice of discharging and administering its compensation obligations in a manner causing injury to those dealing with it. With regard to any other bases for the assessment of a civil penalty, the Audit Unit will have the burden to prove a prima facie case that a violation of 129.5(e) occurred. The claims administrator may cross-examine the witnesses. The claims administrator may then present any testimony to rebut the Audit Unit's testimony, and the Audit Unit may cross-examine. The Designated Hearing Officer may choose to ask questions for clarification of the record. 
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Renumbering of former section 10114 to section 10115.2 and renumbering and amendment  of former sections 10110 and 10111 to section 10114 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
3. Amendment of section heading, repealer of subsections (a), (b), (d), (e), (g) and (h), subsection relettering and new subsection (c) filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10114.1. Evidence; Examination of Witnesses.
Note     •     History

(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses, to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him or her to testify; and to rebut the evidence.
(c) In the absence of a contrary order by the Hearing Officer, the Audit Unit shall present its evidence first.
(d) The hearing need not be conducted according to technical rules relating to evidence and witnesses, except as hereinafter provided. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of the evidence over objection in civil actions.
(e) Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but over timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. An objection is timely if made before submission of the case or on reconsideration.
(f) The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing.
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10114.2. Affidavits.
Note     •     History

The written affidavit or declaration of any witness may be offered and shall be received into evidence provided that (i) the witness was named in a witness list exchanged either through agreement of the parties or pursuant to an order issued under section 10113.5(c), (ii) the statement is made by affidavit or by declaration under penalty of perjury, (iii) copies of the statement have been delivered to all opposing parties at least 20 days prior to the hearing, and (iv) no opposing party has, at least 10 days before the hearing, delivered to the proponent of the evidence a written demand that the witness be produced in person to testify at the hearing. The Hearing Officer shall disregard any portion of the statement received pursuant to this regulation that would be inadmissible if the witness were testifying in person, but the inclusion of inadmissible matter does not render the entire statement inadmissible. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
2. Amendment filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10114.3. Oaths.
Note     •     History

In any proceedings under this chapter the Administrative Director or his designated hearing officer, has power to administer oaths and affirmations and to certify to official acts. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
§10114.4. Determination.
Note     •     History

(a) The Administrative Director shall issue a written Determination, including a statement of the basis for the Determination, within 60 days of the date the case was submitted for decision. This requirement is directory and not jurisdictional. 
(b) The Determination shall be served on the audit subject personally or by registered or certified mail. If the Determination assesses a civil penalty, the Determination shall become final 7 days after the audit subject receives it, and the audit subject shall pay the amount assessed within 30 days after receiving the Determination, but the 30-day period shall be tolled if the audit subject files a timely appeal pursuant to Section 10953. 
NOTE

Authority cited: Sections 59, 129, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. New section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
Article 7. Appeals
§10115. Appeal of Notice of Compensation Due.
Note     •     History

An audit subject which has filed a timely Objection under California Code of Regulations, title 8, section 10110 may seek further review of a Notice of Compensation Due by filing an appeal with the Workers Compensation Appeals Board pursuant to California Code of Regulations, title 8, section 10952, and serving copies of the appeal on the injured worker, any other person to whom the payment is due as specified in the Notice of Compensation Due, and the Administrative Director, within 15 days of receiving the Notice.
NOTE

Authority cited: Sections 59, 129.5, 133, 4603.5, 5300 and 5307.3, Labor Code. Reference: Sections 129, 129.5, 3207, 4550, 4600, 4621, 4636-4638, 4639, 4701-4703.5, 4900 and 4902, Labor Code; and California Code of Regulations, title 8, section 10952.
HISTORY

1. Relocation and amendment of article heading, renumbering of former section 10115 to 10115.2 subsections (i)-(l) and new section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4). For prior history, see Register 90, No. 4.
2. Amendment of section and Note filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10115.1. Appeal of Notice of Penalty Assessment--Filing and Contents.
Note     •     History

(a) Within 7 days after receiving a Notice of Penalty Assessment issued under Labor Code section 129.5(a) and (c), the claims administrator may appeal all or a portion of the penalty assessments in the Notice by filing with the Administrative Director and serving the Audit Unit with a request for an appeals conference or a request for a written decision without a conference. 
(b) If a request for a written decision or request for appeals conference is not timely filed and served, the Notice of Penalty Assessment will become final 7 days after the claims administrator received it, and must be paid in accordance with Labor Code §129.5(d) within 15 days of receipt.
(c) The request shall be in writing in a form specified by the Administrative Director and shall include at least the following information: 
(1) The name and address of the person filing the request; 
(2) A copy of the Notice of Penalty Assessment which is disputed. 
(d) Within 21 days after the request for a written decision or appeals conference is filed, the appellant shall file with the Administrative Director and serve the Audit Unit with a written statement listing the assessments appealed, specifying the legal or factual basis of the appeal, and including documentation or other evidence, if any, which supports the appellant's position. If the written statement and supporting documentation are not timely filed and served, the the Administrative Director shall dismiss the request for written decision or appeals conference. The Notice of Penalty Assessment becomes final on the date of the Administrative Director's notice of dismissal. Penalties shall be paid within 15 days of receipt of the notice of dismissal. 
(e) The appellant is deemed to have finally waived any legal or factual basis for appeal which is not stated in a timely filed appeal or timely filed supporting statement. However, the appellant may move the Administrative Director, upon a written showing of good cause filed and served not later than thirty days after its written statement was timely filed, for leave to amend its appeal or statement to add a legal or factual basis for appeal not previously stated. The motion shall attach a copy of the proposed amendment. The motion may include a request to file additional supporting documentation, which shall also be attached. If leave to amend is granted, the proposed amendment shall be deemed filed on the date the Administrative Director's order is served.
(f) Documentation which the appellant did not file with its appeal or supporting statement (including an amended appeal and statement allowed under subdivision (e)) will not be admitted into evidence in support of the appeal without a showing of good cause. Good cause requires the appellant to show that the additional documentation was not reasonably available to accompany its appeal statement, and also requires that the appellant serve a copy of the proposed additional documentation on the Audit Unit before the hearing, as soon as the document becomes available.
(g) The appellant shall mail or deliver an original and one copy of its request under subdivision (a) and its statement, documentation and any motion under subdivisions (d) or (e) to the office of the Administrative Director at the address shown in the report of audit findings. Requests, statements, documentation and motions are timely if they were:
(1) Placed in the United States mail in a fully prepaid, sealed envelope postmarked within the times specified in subdivisions (a), (d) and (e); or,
(2) Delivered to the office of the Administrative Director between the hours of 8:00 a.m. and 5:00 p.m. within the periods specified in subdivisions (a), (d) and (e).
If a date to submit a request under subdivision (a) or to submit a filing under subdivisions (d) or (e) falls on a weekend or holiday, that date is extended to the next business day.
(h) The appellant shall serve two copies of any request, statement, document or motion filed with the Administrative Director concurrently on the Audit Unit, by the same means of delivery as the original which was filed with the Administrative Director. The original and all copies of any filing shall attach proof of service, which may be made as provided in California Code of Regulations, title 8, section 10975.
(i) If a request for a written decision or an appeals conference, or a written statement in support of the appeal, contests only a portion of a Notice of Penalty Assessment, the portions of which are not appealed (or not included in the supporting statement(s)) shall become final on the same date an entire Notice of Penalty Assessment would become final if not timely appealed or supported, and appellant shall pay the uncontested assessments by the date payment would be due under subdivision (b) if an entire Notice of Penalty Assessment were involved.
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 129 and 129.5, Labor Code. 
HISTORY

1. Renumbering and amendment of former section 10113 to section 10115.1 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsection (i) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Amendment of subsections (a) and (d) filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
4. Amendment filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10115.2. Appeal of Notice of Penalty Assessment; Conference Process and Delegation of Authority; Notice of Findings, Service.
Note     •     History

(a) The Administrative Director may appoint a designee to conduct the appeal conference. 
(b) The conference shall be held at the place, time, and date scheduled unless, upon a showing of good cause, a continuance has been granted. Notice of the conference date will be provided to the parties no late than thirty days before the conference.
(c) The appeals conference is an informal hearing in which the parties are given an opportunity to explain their positions and to present evidence in support of their positions. The conference need not be conducted in accordance with the formal rules of evidence, and legal representation is not required. 
(d) The conference will be tape recorded, unless a party chooses to have it recorded by a court reporter. Should a party choose to use a court reporter, the party shall: (1) notify the Administrative Director and the opposing party no later than five days before the conference that a court reporter will be provided; and (2) make the arrangements for the reporter and pay the costs of the reporter and transcription, including the cost of a copy of the transcript for the Administrative Director.
(e) Either party may present live testimony or documentary evidence at the conference. The Administrative Director may issue subpoenas for the attendance of witnesses at the conference, or subpoenas duces tecum for the production of documents, if requested by a party in writing within a reasonable time before the conference. Any person who is subpoenaed to appear may, instead of appearing at the time specified in the subpoena, agree with the party at whose request the subpoena was issued to appear at another time or upon agreed notice. Any failure to appear according to that agreement may be treated in all respects as a failure to appear in response to the original subpoena. The facts establishing or disproving the agreement and failure to appear may be proved by an affidavit of any person having personal knowledge of the facts.
(f) All testimony shall be made on oath or affirmation administered by the Administrative Director or designee.
(g) The Administrative Director or the Director's designee shall preside over the conference and shall have authority to admit any relevant testimony or documentary evidence into the record, and to decide any issues which arise during the conference including objections to evidence, privileges, claims and defenses.
(h) If the appellant fails to appear at the conference, the Administrative Director shall dismiss the request for conference and issue an order affirming the notice of penalty assessment.
(i) Within 15 days of the date the appeal is submitted for decision, the Administrative Director shall issue a Notice of Findings. When a written decision without a conference was requested, the date of submission is the date the Administrative Director receives the Audit Unit's written response to the appeal unless that date is extended by the Administrative Director for good cause. The time limits for action by the Administrative Director are directory and not jurisdictional. 
(j) The Notice of Findings shall be served on the appellant by registered or certified mail, and is final for purposes of judicial review upon receipt.
(k) The appellant must pay any amount found due by the Administrative Director within 30 days after receiving the Notice of Findings, but the 30-day period shall be tolled if the appellant files a timely petition for writ of mandate, as to any assessment included for review in the petition proceeding, until that proceeding has become final. 
(l) The appellant may file a petition for a writ of mandate from the Administrative Director's Notice of Findings in accordance with Labor Code section 129.5(f). The deadline for filing the petition for writ is 30 days after receipt of the Notice of Findings. 
NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 129 and 129.5, Labor Code. 
HISTORY

1. Renumbering and amendment of former sections 10114 and 10115 to section 10115.2 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Amendment of subsections (d), (g) and (l) filed 4-20-2009; operative 5-20-2009 (Register 2009, No. 17).
§10115.3. Appeal of Civil Penalty. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 59, 129.5, 133 and 5307.3, Labor Code. Reference: Sections 7, 124 and 129.5, Labor Code. 
HISTORY

1. Renumbering and amendment of former section 10112 to section 10115.3 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
2. Repealer filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1). 
Article 6. Retraining and Return to Work--Definitions and General Provisions
§10116. Applicability of Article.
Note     •     History

The provisions of this article are applicable to Articles 6.5, 7, and 7.5 of these regulations, except for the definitions in section 10116.9. The definitions in section 10116.9 only apply to the provisions of Articles 6.5 and 7.5.
NOTE

Authority cited: Sections 111, 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 139.5, 4658, 4658.1, 4658.5 and 4658.6, Labor Code.
HISTORY

1. New article 6 (sections 10116-10116.9) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47). For prior history of article 6, see Register 2008, No. 15, renumbering article 6, sections 10116-10121 to article 9, sections 10136-10142.
§10116.1. Filing and Reporting Requirements.
Note     •     History

(a) “Electronic Adjudication Management System” or “EAMS” means the computer case management system used by the Division of Workers' Compensation to electronically store and maintain the Division of Workers' Compensation or appeals board's case files and to perform other case management functions.
(b) All forms, documents or correspondence submitted to the Retraining and Return to Work Unit shall be signed by the filing party and stored in the EAMS: 
(1) Except for documents or forms which open a Retraining and Return to Work Unit file, all documents and forms shall contain a case number assigned by the Division of Workers' Compensation. 
(2) Case opening documents shall be assigned a case number by the Division of Workers' Compensation after filing where no case number has been previously assigned for the date of injury alleged by the injured worker. The case number shall be preceded by the prefix “VOC” for cases governed by Article 7 of these rules and “RSU” for cases governed by Article 6.5 and 7.5 of these rules. If a case number has been previously assigned by the Division of Workers' Compensation, the prefix “VOC” or “RSU” shall precede the assigned case number on a form or document filed with the Retraining and Return to Work Unit. Documents or forms filed in existing cases without a case number will be returned to the sender with instructions for proper filing. 
(3) All documents presented for filing shall conform to the requirements of sections 10217, 10228 and 10232 of title 8 of the California Code of Regulations.
(4) The Division of Workers' Compensation shall scan all documents and forms filed into the EAMS case file and then the paper document or form will be destroyed not less than 30 business days after filing. A properly filed form or document shall be deemed a legal filing for all purposes.
(5) The service of all documents and forms shall conform to the methods of service described in section of 10218 of title 8 of the California Code of Regulation. 
(c) All required notices, any documents or forms shall be sent to the employee and his or her attorney, if any, on a timely basis by the claims administrator in the form and manner prescribed in section 10218 of title 8 of the California Code of Regulation. Failure to provide notices timely shall subject the insurer, third party administrator or self-insured employer to administrative or civil penalties. The notices are timely when sent according to the requirements of sections 9813, 9813.1 and 9813.2 of title 8 of the California Code of Regulation. 
NOTE

Authority cited: Sections 133, 139.48, 139.5, 4658, 4658.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code; Godinez v. Buffets, Inc. (2004, Significant Panel Decision) 69 Cal. Comp. Cases 1311; and Vulean Materials Co. v. WCAB (2006, Writ Denied) 71 Cal. Comp. Cases 1346. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.2. Electronic Filing Exemption.
Note     •     History

If a document is filed with EAMS as part of the electronic filing trial, that document does not need to be filed in compliance with sections 10228 and 10232 of title 8 of the California Code of Regulation.
NOTE

Authority cited: Sections 111, 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 126, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.3. Incomplete Filings.
Note     •     History

(a) A form filed without the attachments or enclosures required by these rules is deemed incomplete and shall not be deemed filed for any purpose. All incomplete requests will be date stamped by the Division of Workers' Compensation. 
(b) The Retraining and Return to Work Unit shall notify the filer and the other parties when a form or document is deemed not filed. 
(c) Forms including filing instructions and venue lists shall be provided upon request by the Retraining and Return to Work Unit. Requests shall be submitted to: 

RETRAINING AND RETURN TO WORK UNIT HEADQUARTERS 
P. O. BOX 420603 
SAN FRANCISCO, CA 94142 

Or may be found at http://www.dir.ca.gov/dwc/forms.html
NOTE

Authority cited: Sections 133, 139.48, 139.5, 4658, 4658.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code; Godinez v. Buffets, Inc. (2004, Significant Panel Decision) 69 Cal. Comp. Cases 1311; and Vulean Materials Co. v. WCAB (2006, Writ Denied) 71 Cal. Comp. Cases 1346. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.4. Reproduction of Forms, Notices. [Repealed]
History

HISTORY

1. Renumbering of former section 10123.1 to new section 10116.4, including amendment of section and new Note, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect repealing section filed 2-25-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 9).
§10116.5. Technical Problems and Unavailability of EAMS.
Note     •     History

Technical problems with filing documents shall be governed by sections 10223 and 10225 of title 8 of the California Code of Regulation. 
NOTE

Authority cited: Sections 133, 139.48, 139.5, 4658, 4658.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code; Godinez v. Buffets, Inc. (2004, Significant Panel Decision) 69 Cal. Comp. Cases 1311; and Vulean Materials Co. v. WCAB (2006, Writ Denied) 71 Cal. Comp. Cases 1346. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.6. Retraining and Return to Work File Retention.
Note     •     History

(a) Following a period of fifty (50) years after the filing of a document used to open a case or file, the Division of Workers' Compensation may destroy the electronic and/or paper file in each case maintained by the Retraining and Return to Work Unit.
(b) The Division of Workers' Compensation, at any time, may convert a paper file to an electronic file. The Division of Workers' Compensation shall inform the parties when a paper file is converted. If a paper case file has been converted to electronic form, the paper case file may be destroyed no less than 30 business days after the parties have been informed of the conversion.
NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.7. Misfiled or Misdirected Documents.
Note     •     History

(a) A request to move, substitute, or correct a document shall be made in conformity with section 10223 of title 8 of the California Code of Regulation, except that a request to substitute shall be made in lieu of a petition to substitute as allowed under section 10223(b). The authority to approve moving a document from one file to another file shall reside with the Manager of the Retraining and Return to Work Unit or his or her designee.
(b) If a document is not filed in compliance with sections 10217, 10228 and 10232 of title 8 of the California Code of Regulations and these regulations, the administrative director may in his or her discretion take the actions set forth in section 10222 of title 8 of the California Code of Regulations.
NOTE

Authority cited: Sections 133, 138.4, 139.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.8. Jurisdiction Where the Issue of Injury Has Not Been Resolved.
Note     •     History

(a) No forms, notices or reports shall be filed with the Retraining and Return to Work Unit until the claims administrator has accepted liability for the injury or there has been a finding of compensable injury by the appeals board. 
(b) Any requests for provision of retraining or return to work services and for intervention/dispute resolution require confirmation on the appropriate form by the employee or his/her representative that liability for the injury has been accepted. 
(c) Forms sent to the Retraining and Return to Work Unit when a good faith issue of injury exists or where there has been no confirmation of acceptance of liability for the injury shall be returned to the sender. 
NOTE

Authority cited: Sections 133, 139.48, 139.5, 4658, 4658.5 and 5307.3, Labor Code. Reference: Section 139.5, Labor Code; Godinez v. Buffets, Inc. (2004, Significant Panel Decision) 69 Cal. Comp. Cases 1311; and Vulean Materials Co. v. WCAB (2006, Writ Denied) 71 Cal. Comp. Cases 1346. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10116.9. Definitions for Articles 6.5 and 7.5.
Note     •     History

The following definitions apply to the provisions of Articles 6.5 and 7.5 governing injuries occurring on or after January 1, 2004: 
(a) “Alternative work” means work (1) offered either by the employer who employed the injured worker at the time of injury, or by another employer where the previous employment was seasonal work, (2) that the employee has the ability to perform, (3) that offers wages and compensation that are at least 85 percent of those paid to the employee at the time of injury, and (4) that is located within a reasonable commuting distance of the employee's residence at the time of injury.  
(b) “Approved training facility” means a training or skills enhancement facility or institution that meets the requirements of section 10133.58.
(c) “Claims administrator” means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a self-administered joint powers authority, a self-administered legally uninsured, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, or joint powers authority.
(d) “Employer” means the person or entity that employed the injured employee at the time of injury.
(e) “Essential functions” means job duties considered crucial to the employment position held or desired by the employee. Functions may be considered essential because the position exists to perform the function, the function requires specialized expertise, serious results may occur if the function is not performed, other employees are not available to perform the function or the function occurs at peak periods and the employer cannot reorganize the work flow.
(f) “Furnished” means five days after the date of deposit in the United States mail or the date of personal service.
(g) “Insurer” has the same meaning as in Labor Code section 3211.
(h) “Modified work” means regular work modified so that the employee has the ability to perform all the functions of the job and that offers wages and compensation that are at least 85 percent of those paid to the employee at the time of injury, and located within a reasonable commuting distance of the employee's residence at the time of injury.
(i) “Nontransferable voucher” means a document provided to an employee that allows the employee to enroll in education-related training or skills enhancement. The document shall include identifying information for the employee and claims administrator.
(j) “Notice” means a required letter or form generated by the claims administrator and directed to the injured employee.
(k) “Offer of modified or alternative work” means an offer to the injured employee of medically appropriate employment with the date-of-injury employer through the use of Form DWC-AD 10133.53, Notice of Offer of Modified or Alternative Work for Injuries Occurring Between 1/1/04 - 12/31/12 or Form 10133.35 Notice of Offer of Regular, Modified, or Alternative Work for Injuries Occurring on or after 1/1/13.
(l) “Parties” means the employee, the claims administrator and their designated representatives, if any.
(m) “Permanent and stationary” means the point in time when the employee has reached maximal medical improvement, meaning his or her condition is well stabilized, and unlikely to change substantially in the next year with or without medical treatment, based on (1) an opinion from a treating physician, AME, or QME;  (2) a judicial finding by a Workers' Compensation Administrative Law Judge, the Workers' Compensation Appeals Board, or a court; or (3) a stipulation that is approved by a Workers' Compensation Administrative Law Judge or the Workers' Compensation Appeals Board. 
(n) “Permanent partial disability award” means a final award of permanent partial disability determined by a workers' compensation administrative law judge or the appeals board.
(o) “Receipt” means the date of actual receipt by electronic delivery, personal service, or five days after the date of deposit in the United States mail. 
(p) “Regular work” means the employee's usual occupation or the position in which the employee was engaged at the time of injury and that offers wages and compensation equivalent to those paid to the employee at the time of injury, and located within a reasonable commuting distance of the employee's residence at the time of injury.  
(q) “Seasonal work” means employment as a daily hire, a project hire, or an annual season hire.   
(r) “Supplemental job displacement benefit” means an educational retraining or skills enhancement allowance for injured employees whose employers are unable to provide work consistent with the requirements of Labor Code sections 4658.5, 4658.6 and 4658.7.
(s) “Vocational & return to work counselor (VRTWC)” means a person or entity capable of assisting a person with a disability with development of a return to work strategy and whose regular duties involve the evaluation, counseling and placement of disabled persons. A VRTWC must have at least an undergraduate degree in any field and three or more years full time experience in conducting vocational evaluations, counseling and placement of disabled adults.
(t) “Work restrictions means permanent medical limitations on employment activity established by the treating physician, qualified medical examiner or agreed medical examiner.
NOTE

Authority cited: Sections 133, 4658.5, 4658.7 and 5307.3, Labor Code. Reference: Sections 124, 4658.1, 4658.5, 4658.6 and 4658.7, Labor Code; and Henry v. WCAB (1998) 68 Cal.App.4th 981.
HISTORY

1. Renumbering of former section 10001 to new section 10116.9, including amendment of section heading, section and Note, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Amendment of section heading and first paragraph, new subsections (f) and (o), subsection relettering, amendment of newly designated subsections (i), (k) and (r) and amendment of Note filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 6.5. Return to Work
§10117. Offer of Work; Adjustment of Permanent Disability Payments.
Note     •     History

(a) This section shall apply to all injuries occurring between January 1, 2005 and December 31, 2012, and to the following employers:
(1) Insured employers who employed 50 or more employees at the time of the most recent policy inception or renewal date for the insurance policy that was in effect at the time of the employee's injury; 
(2) Self-insured employers who employed 50 or more employees at the time of the most recent filing by the employer of the  Self-Insurer's Annual Report that was in effect at the time of the employee's injury; and 
(3) Legally uninsured employers who employed 50 or more employees at the time of injury.  
(b) Within 60 calendar days from the date that the condition of an injured employee with permanent partial disability becomes permanent and stationary: 
(1) If an employer does not serve the employee with a notice of offer of regular work, modified work or alternative work for a period of at least 12 months, each payment of permanent partial disability remaining to be paid to the employee from the date of the end of the 60 day period shall be paid in accordance with Labor Code section 4658(d)(1) and increased by 15 percent. 
(2) If an employer serves the employee with a notice of offer of regular work, modified work or alternative work for a period of at least 12 months, and in accordance with the requirements set forth in paragraphs (3) and (4), each payment of permanent partial disability remaining to be paid from the date the offer was served on the employee shall be paid in accordance with Labor Code section 4658(d)(1) and decreased by 15 percent, regardless of whether the employee accepts or rejects the offer. 
(3) The employer shall use form DWC-AD 10133.53 (Section 10133.53) to offer modified or alternative work, or form DWC-AD 10118 (Section 10118) to offer regular work.  The claims administrator may serve the offer of work on behalf of the employer.
(4) The regular, alternative, or modified work that is offered by the employer pursuant to paragraph (2) shall be located within a reasonable commuting distance of the employee's residence at the time of the injury, unless the employee waives this condition. This condition shall be deemed to be waived if the employee accepts the regular, modified, or alternative work, and does not object to the location within 20 calendar days of being informed of the right to object.  The condition shall be conclusively deemed to be satisfied if the offered work is at the same location and the same shift as the employment at the time of injury. 
(c) If the claims administrator relies upon a permanent and stationary date contained in a medical report prepared by the employee's treating physician, QME, or AME, but there is subsequently a dispute as to an employee's permanent and stationary status, and there has been a notice of offer of work served on the employee in accordance with subdivision (b), the claims administrator may withhold 15% from each payment of permanent partial disability remaining to be paid from the date the notice of offer was served on the employee until there has been a final judicial determination of the date that the employee is permanent and stationary pursuant to Labor Code section 4062. 
(1) Where there is a final judicial determination that the employee is permanent and stationary on a date later than the date relied on by the employer in making its offer of work, the employee shall be reimbursed any amount withheld up to the date a new notice of offer of work is served on the employee pursuant to subdivision (b).   
(2) Where there is a final judicial determination that the employee is not permanent and stationary, the employee shall be reimbursed any amount withheld up to the date of the determination.   
(3) The claims administrator is not required to reimburse permanent partial disability benefit payments that have been withheld pursuant to this subdivision during any period for which the employee is entitled to temporary disability benefit payments.
(d) If the employee's regular work, modified work, or alternative work that has been offered by the employer pursuant to paragraph (1) of subdivision (b) and has been accepted by the employee, is terminated prior to the end of the period for which permanent partial disability benefits are due, the amount of each remaining permanent partial disability payment from the date of the termination shall be paid in accordance with Labor Code section 4658 (d) (1), as though no decrease in payments had been imposed, and increased by 15 percent. An employee who voluntarily terminates his or her regular work, modified work, or alternative work shall not be eligible for the 15 percent increase in permanent partial disability payments pursuant to this subdivision. 
(e) Nothing in this section shall prevent the parties from settling or agreeing to commute the permanent disability benefits to which an employee may be entitled.  However, if the permanent disability benefits are commuted by a workers' compensation administrative law judge or the appeals board pursuant to Labor Code section 5100, the commuted sum shall account for any adjustment that would have been required by this section if payment had been made pursuant to Labor Code section 4658.
(f) When the employer offers regular, modified or alternative work to the employee that meets the conditions of this section and subsequently learns that the employee cannot lawfully perform regular, modified or alternative work, the employer is not required to provide the regular, modified or alternative work.  
(g) If the employer offers regular, modified, or alternative seasonal work to the employee, the offer shall meet the following requirements: 
(1) the employee was hired for seasonal work prior to injury; 
(2) the offer of regular, modified or alternative seasonal work is of reasonably similar hours and working conditions to the employee's previous employment, and the one year requirement may be satisfied by cumulative periods of seasonal work; 
(3) the work must commence within 12 months of the date of the offer; and
(4) The offer meets the conditions set forth in this section.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 4658, Labor Code; Del Taco v. WCAB (2000) 79 Cal.App.4th 1437; Anzelde v. WCAB (1996) 61 Cal. Comp. Cases 1458 (writ denied);  and Henry v. WCAB (1998) 68 Cal.App.4th 981.
HISTORY

1. New article 6.5 (sections 10117-10120) and renumbering of former section 10002 to new section 10117, including amendment of section, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Amendment of subsection (a) and amendment of Note filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10118. Form [DWC AD 10118  “Notice of Offer of Work for Injuries Occurring Between 1/1/04-12/31/12.”].
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 4658, Labor Code. 
HISTORY

1. Renumbering of former section 10003 to new section 10118, including amendment of section heading and repealer and new form, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Amendment of section heading, form and Note filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10118.1. Workers' Compensation Claim Form (DWC 1) and Notice of Potential Eligibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 139.5, 4600, 4604.5, 4616, 4658.5, 4658.6, 5401, 5401.7 and 5402, Labor Code.
HISTORY

1. New section filed 7-7-2004; operative 8-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 28).
2. Change without regulatory effect renumbering former section 10118.1 to section 10139 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10119. Return to Work Program. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 62.5, 139.48 and 5814.6, Labor Code.
HISTORY

1. Renumbering of former section 10004 to new section 10119, including amendment of section, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect repealing section filed 6-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 26).
§10120. Form [DWC AD 10120 Request for Reimbursement of Accommodation Expenses]. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 62.5, 139.48 and 5814.6, Labor Code.
HISTORY

1. Renumbering of former section 10005 to new section 10120, including amendment of section heading and repealer and new form, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect repealing section filed 6-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 26).
Article 7. Vocational Rehabilitation [Repealed]
HISTORY

1. Change without regulatory effect repealing article 7 (sections 10122-10133.22) filed 2-25-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 9).
Article 7.5. Supplemental Job Displacement Benefit
§10133.31. Requirement to Issue Supplemental Job Displacement Nontransferable Voucher for Injuries Occurring on or After January 1, 2013.
Note     •     History

(a) This section shall apply to all injuries occurring on or after January 1, 2013. 
(b) If the injury causes partial permanent disability, the employee shall be entitled to a Supplemental Job Displacement Benefit unless the employer makes an offer of regular, modified, or alternative work that meets both the following criteria:
(1) The offer is made within 60 days after receipt by the claims administrator of the Physician's Return-to-Work & Voucher Report (Form DWC-AD 10133.36). 
(A) Upon receipt of the Physician's Return-to-Work & Voucher Report (Form DWC-AD 10133.36), the claims administrator shall forward the form to the employer. 
(B) If the claims administrator provides the physician with a job description of the employee's regular work, proposed modified work, or proposed alternative work, the physician shall complete the bottom portion of the Physician's Return-to-Work & Voucher Report (Form DWC-AD10133.36.)
(2) The offer is for regular work, modified work, or alternative work lasting at least 12 months. 
(c) If no offer for regular, modified, or alternative work is made, pursuant to subdivision (b), the claims administrator shall furnish a “Supplemental Job Displacement Nontransferable Voucher For Injuries Occurring on or After 1/1/13” (Form DWC-AD 10133.32) within 20 calendar days from expiration of time for making an offer of regular, modified, or alternative work pursuant to paragraph (1) of subdivision (b). 
(d) The voucher shall be redeemable up to an aggregate of six thousand dollars ($6,000) 
(e) The voucher may be applied to any of the following expenses at the choice of the injured worker:
(1) Payment for education-related training or skill enhancement, or both, at a California public school or with a provider that is certified on the state's Eligible Training Provider List at http://etpl.edd.ca.gov, including payment of tuition, fees, books, and other expenses required by the school for retraining and skill enhancement.
(2) Payment for occupational licensing or professional certification fees, related examination fees, and examination preparation course fees.
(3) Payment for services of licensed placement agencies, vocational or return-to-work counseling, and resume preparation, all up to a combined limit of six hundred dollars ($600).
(4) Purchase of tools required by a training or educational program in which the employee is enrolled.
(5) Purchase of computer equipment including, but not limited to monitors, software, networking devices, input devices (such as keyboard and mouse), peripherals (such as printers), and tablet computers of up to one thousand dollars ($1,000) reimbursable after cost is incurred and submitted with appropriate documentation. The employee shall not be entitled to reimbursement for purchase of games or any entertainment media. 
(6) Up to five hundred dollars ($500) as a miscellaneous expense reimbursement or advance, payable upon written request with a copy of the voucher and without need for itemized documentation or accounting. The claims examiner may provide an email address on Form [DWC-AD 10133.32 “Supplemental Job Displacement Nontransferable Voucher for Injuries Occurring on or After 1/1/13]; if an email address is provided, the employee can submit the request via email or regular mail. The employee shall not be entitled to any other voucher payment for transportation, travel expenses, telephone or internet access, clothing or uniforms or incidental expenses. 
(f) The voucher will expire two years after the date it is furnished to the employee, or five years after the date of injury, whichever is later. The employee shall not be entitled to payment or reimbursement of any expenses that have not been incurred and submitted with appropriate documentation to the claims administrator prior to the expiration date.
(g) Settlement or commutation of a claim for the supplemental job displacement voucher is not permitted. 
(h) An employer shall not be liable for compensation for injuries incurred by the employee while utilizing the voucher.
(i) The claims administrator shall issue the reimbursement payments to the employee or direct payments to the VRTWC and the training providers within 45 calendar days from receipt of the completed voucher, receipts, and documentation.
NOTE

Authority: Sections 133, 4658.1, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658.6 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.32. Form [DWC-AD 10133.32 “Supplemental Job Displacement Nontransferable Voucher For Injuries Occurring on or After 1/1/13.”]
Note     •     History

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NOTE

Authority: Sections 133, 4658.1, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658.6 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.33. Form [DWC-AD 10133.33 “Description of Employee's Job Duties Form.”]
Note     •     History

Prior to any medical evaluation declaring the employee permanent and stationary, the physician may be sent Form [DWC- AD 10133.33, “Description of Employee's Job Duties.”] 

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NOTE

Authority cited: Sections 133 and 4658.7, Labor Code. Reference: Sections 4658.6 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.34. Offer of Work for Injuries Occurring on or After January 1, 2013.
Note     •     History

(a) This section shall apply to all injuries occurring on or after January 1, 2013.
(b) The injured employee shall be entitled to a supplemental job displacement benefit unless the employer makes an offer of regular, modified, or alternative work on Form [DWC-AD10133.35 “Notice of Offer of Regular, Modified, or Alternative Work For injuries occurring on or after 1/1/13” within 60 days after receipt of Form [DWC-AD 10133.36 “Physician's Return-to-Work & Voucher Report.”]
(1) The claims administrator may serve the offer of work on behalf of the employer.
(2) The regular, alternative, or modified work that is offered by the employer pursuant to paragraph (1) shall be located within a reasonable commuting distance of the employee's residence at the time of the injury, unless the employee waives this condition. This condition shall be deemed to be waived if the employee accepts the regular, modified, or alternative work, and does not object to the location within 20 calendar days of being informed of the right to object. The condition shall be conclusively deemed to be satisfied if the offered work is at the same location and the same shift as the employment at the time of injury.
(3) The offer of regular, modified, or alternative work must be for work lasting at least 12 months. 
(4) When the employer offers regular, modified or alternative work to the employee that meets the conditions of this section and subsequently learns that the employee cannot lawfully perform regular, modified or alternative work, the employer is not required to provide the regular, modified or alternative work.
(5) If the employer offers regular, modified, or alternative seasonal work to the employee, the offer shall meet the following requirements:
(A) the employee was hired for seasonal work prior to injury;
(B) the offer of regular, modified or alternative seasonal work is of reasonably similar hours and working conditions to the employee's previous employment, and the one year requirement may be satisfied by cumulative periods of seasonal work;
(C) the work must commence within 12 months of the date of the offer; and
(D) The offer meets the conditions set forth in this section.
NOTE

Authority: Sections 133, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.35. Form [DWC-AD 10133.35 “Notice of Offer of Regular, Modified, or Alternative Work For injuries occurring on or after 1/1/13.”]
Note     •     History

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NOTE

Authority: Sections 133, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.36. Form [DWC-AD 10133.36 “Physician's Return-to-Work & Voucher Report.”]
Note     •     History

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NOTE

Authority: Sections 133, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658 and 4658.7, Labor Code.
HISTORY

1. New section filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.50. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Sections 124, 4658.1, 4658.5 and 4658.6, Labor Code. 
HISTORY

1. New article 7.5 (sections 10133.50-10133.60) and section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Repealer filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10133.51. Notice of Potential Right to Supplemental Job Displacement Benefit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Section 4658.5, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Repealer filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.52. “Notice of Potential Right to Supplemental Job Displacement Benefit Form.” [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Section 4658.5, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Repealer filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.53. Form DWC-AD 10133.53 “Notice of Offer of Modified or Alternative Work for Injuries Occurring Between 1/1/04 - 12/31/12.”
Note     •     History

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NOTE

Authority cited: Sections 133, 4658 and 5307.3, Labor Code. Reference: Sections 4658, 4658.1, 4658.5 and 4658.6, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment filed 7-19-2006; operative 8-18-2006 (Register 2006, No. 29). For prior history, see Register 96, No. 52.
3. Repealer and new form filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
4. Amendment of section heading and form filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.54. Dispute Resolution.
Note     •     History

(a) This section and section 10133.55 shall only apply to injuries occurring on or after January 1, 2004. 
(b) When there is a dispute regarding the Supplemental Job Displacement Benefit, the employee, or claims administrator may request the administrative director to resolve the dispute. 
(c) The party requesting the administrative director to resolve the dispute shall: 
(1) Complete Form DWC-AD 10133.55 “Request for Dispute Resolution before the Administrative Director;”
(2) Clearly state the issue(s) and identify supporting information for each issue and position; 
(3) Attach all pertinent documents; 
(4) Submit a copy of the request and all attached documents to the administrative director and serve a copy of the request and all attached documents on all parties; and 
(5) Attach a signed and dated proof of service to the Form DWC-AD 10133.55 “Request for Dispute Resolution before the Administrative Director.”
(d) The opposing party shall have twenty (20) calendar days from the date of the proof of service of the Request to submit the original response and all attached documents to the administrative director and serve a copy of the response and all attached documents on all parties. 
(e) The administrative director or his or her designee may request additional information from the parties. 
(f) The administrative director or his or her designee shall issue a written determination and order based solely on the request, response, and any attached documents within thirty (30) calendar days of the date the opposing party's response and supporting information is due. If the administrative director or his or her designee requests additional information, the written determination shall be issued within thirty (30) calendar days from the receipt of the additional information. In the event no decision is issued within sixty (60) calendar days of the date the opposing party's response is due or within sixty (60) calendar days of the administrative director's receipt of the requested additional information, whichever is later, the request shall be deemed to be denied. 
(g) Either party may appeal the determination and order of the administrative director by filing a written petition together with a declaration of readiness to proceed pursuant to section 10250 within twenty calendar days of the issuance of the decision or within twenty days after a request is deemed denied pursuant to subdivision (f). The petition shall set forth the specific factual and/or legal reason(s) for the appeal as set forth in section 10294.5 of title 8 of the California Code of Regulations.
NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Sections 4658.5 and 4658.6, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10133.55. Form DWC-AD 10133.55 “Request for Dispute Resolution Before the Administrative Director.”
Note     •     History

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NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Section 4658.5, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment filed 7-19-2006; operative 8-18-2006 (Register 2006, No. 29). For prior history, see Register 96, No. 52.
3. Repealer and new form filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
4. Amendment of section heading and form filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.56. Requirement to Issue Supplemental Job Displacement Nontransferable Training Voucher.
Note     •     History

(a) This section and section 10133.57 shall only apply to injuries occurring on or after January 1, 2004. 
(b) The employee shall be eligible for the Supplemental Job Displacement Benefit when: 
(1) the injury causes permanent partial disability; and 
(2) within 30 days of the termination of temporary disability indemnity payments, the claims administrator does not offer modified or alternative work in accordance with Labor Code section 4658.6; and 
(3) either the injured employee does not return to work for the employer within 60 days of the termination of temporary disability benefits; or 
(4) in the case of a seasonal employee, where the employee is unable to return to work within 60 days of the termination of temporary disability benefits because the work season has ended, the injured employee does not return to work on the next available work date of the next work season. 
(c) When the requirements under subdivision (b) have been met, the claims administrator shall provide a nontransferable voucher for education-related retraining or skill enhancement or both to the employee within 25 calendar days from the issuance of the permanent partial disability award by the workers' compensation administrative law judge or the appeals board. 
(d) The voucher shall be issued to the employee allowing direct reimbursement to the employee upon the employee's presentation to the claims administrator of documentation and receipts or as a direct payment to the provider of the education related training or skill enhancement and/or to the VRTWC. 
(e) The voucher must indicate the appropriate level of money available to the employee in compliance with Labor Code section 4658.5. 
(f) The mandatory voucher form is set forth in Section 10133.57. 
(g) The voucher shall certify that the school is approved by one of the Regional Associations of Schools and Colleges authorized by the United States Department of Education or has approval from a California State agency that has an agreement with the United States Department of Education or Regional Associations of School and Colleges for the regulation and oversight of non-degree granting private post secondary providers.
(h) The claims administrator shall issue the reimbursement payments to the employee or direct payments to the VRTWC and the training providers within 45 calendar days from receipt of the completed voucher, receipts and documentation. 
NOTE

Authority cited: Sections 133, 4658.5, 4658.6 and 5307.3, Labor Code. Reference: Sections 4658.5 and 4658.6, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment of subsections (c) and (g) filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10133.57. Form DWC-AD 10133.57 “Supplemental Job Displacement Nontransferable Training Voucher Form for Injuries Occurring Between 1/1/04 - 12/31/12.”
Note     •     History

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NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Section 4658.5, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Repealer and new form filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
3. Amendment of section heading and form filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.58. State Approved or Accredited Schools.
Note     •     History

(a) This section shall apply to all injuries occurring on or after January 1, 2004. 
(b) For injuries between January 1, 2004 and December 31, 2012, private providers of education-related retraining or skill enhancement selected to provide training as part of a supplemental job displacement benefit shall be: 
(1) approved by the Bureau for Private Postsecondary and Education (www.bppe.ca.gov), or a California state agency that has an agreement with the Bureau for the regulation and oversight of non-degree-granting private postsecondary institutions; or
(2) accredited by one of the Regional Associations of Schools and Colleges authorized by the United States Department of Education; or 
(3) by a California State agency that has an agreement with the United States Department of Education or Regional Associations of School and Colleges for the regulation and oversight of non-degree granting private post secondary providers; or
(4) certified by the Federal Aviation Administration. 
(c) For injuries on or after January 1, 2013, private providers of education-related retraining or skill enhancement selected to provide training as part of a supplement job displacement benefit shall be certified and on the state's Eligible Training Provider List at http://etpl.edd.ca.gov/wiaetplind.htm.
NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Sections 4658.5 and 4658.7, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
3. Amendment of section and Note filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10133.59. The Administrative Director's List of Vocational Return to Work Counselors.
Note     •     History

(a) This section shall only apply to injuries occurring on or after January 1, 2004. 
(b) The Administrative Director shall maintain a list of Vocational & Return to Work Counselors (VRTWC) who perform the work of assisting injured employees. A VRTWC who meets the qualifications specified in Section 10133.50(a)(15) must apply to the Administrative Director to be included on the list throughout the year. The list shall be reviewed and revised on a yearly basis, and shall be made available on the website www.dir.ca.gov or upon request. 
(c) The injured employee may select a Vocational & Return to Work Counselor whenever the assistance of a Vocational & Return to Work Counselor is needed to facilitate an employee's vocational training or return to work in connection with the Supplemental Job Displacement Benefit set forth in this Article. 
(d) The injured employee shall be responsible for providing the VRTWC with any necessary medical reports. However, a claims administrator shall provide a VRTWC with any medical reports, including permanent and stationary medical reports, upon an employee's written request and a signed release waiver. 
(e) The VRTWC shall communicate with the injured employee regarding the evaluation. 
NOTE

Authority cited: Sections 133, 4658.5 and 5307.3, Labor Code. Reference: Section 4658.5, Labor Code. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
§10133.60. Termination of Claims Administrator's Liability for the Supplemental Job Displacement Benefit.
Note     •     History

(a) For injuries occurring on or after January 1, 2004, the claims administrator's liability to provide a supplemental job displacement voucher shall end if either (a)(1), (a)(2), or (a)(3) occur: 
(1) the employer offers regular, modified or alternative work to the employee, meeting the requirements as set forth in subdivision (b) of section 10133.31.
(A) If the employer offers regular, modified, or alternative work to the employee for 12 months of seasonal work, the offer shall meet the following requirements: 
1. the employee was hired on a seasonal basis prior to injury; and 
2. the offer of regular, modified or alternative work is on a similar seasonal basis to the employee's previous employment; 
(2) the maximum funds of the voucher have been exhausted. Vouchers issued on or after January 1, 2013, shall expire two years after the date the voucher is furnished to the employee or five years after the date of injury, whichever is later.
(3) Settlement or commutation of a claim for the supplemental job displacement voucher has been approved for dates of injury prior to 1/1/2013.
NOTE

Authority cited: Sections 133, 4658.7 and 5307.3, Labor Code. Reference: Sections 4658.1, 4658.5, 4658.6, 4658.7 and 5410, Labor Code; and Henry v. WCAB (1998) 68 Cal.App.4th 981. 
HISTORY

1. New section filed 6-6-2005; operative 8-1-2005 (Register 2005, No. 23).
2. Amendment of section and Note filed 12-20-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2012, No. 51). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 8. Attorney Fee Disclosure Statement
§10134. Attorney Fee Disclosure Statement Form.
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 4906(e), Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Repealer and new section filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16)
§10135. Required Use of Form.
Note     •     History

Every attorney or his/her agent who consults with an injured worker or dependent is required to furnish the attorney fee disclosure statement form set forth in Section 10134 of this Article to the injured worker or dependent at the initial consultation. 
NOTE

Authority cited: Section 133 and 5307.3, Labor Code. Reference: Section 4906(e), Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351.
2. Amendment filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16)
§10135.1. Service of Form.
Note     •     History

Within 15 days of the employee's and attorney's execution of the disclosure form, a copy of the disclosure form shall be mailed to the employer or, if known, to the employer's insurer or third-party administrator.
NOTE

Authority cited: Section 133 and 5307.3, Labor Code. Reference: Section 4906(e), Labor Code. 
HISTORY

1. New section filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16).
Article 9. Claim Form: Availability, Filing, Acknowledgement of Receipt, Dismissal
§10136. General: Definitions.
Note     •     History

As used in this Article, the following definitions apply: 
(a) Claims Administrator. A self-administered workers' compensation insurer, a self-administered self-insured employer, a self-administered joint powers authority, or a third-party claims administrator for an insurer, a self-insured employer, a legally-uninsured employer or a joint powers authority; or an attorney or agent of any of those entities.
(b) Claim Form. The official Division of Workers' Compensation DWC Form 1 Employee's Claim for Workers' Compensation Benefits, as set forth in Section 10139 of this Article. 
(c) Employee. An employee, a person claiming to be an employee, his or her dependents, or agent. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 5401, 5401.7, 5402 and 5404.5, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351.
2. Amendment of subsections (b), (b)(3), (b)(4) and (c), repealer of subsections (b)(5), (d), (e) and (f), and new subsection (d) filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16)
3. Change without regulatory effect repealing article 9 heading, renumbering former article 6 to new article 9, renumbering former section 10136 to section 10252 and renumbering former section 10116 to section 10136, including amendment of subsection (b), filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10137. General: Employer Obligation.
Note     •     History

Nothing in this article shall abrogate the duty of an employer to provide timely compensation to an injured worker, even if the employee has not completed and filed the form required by Labor Code Section 5401 and this article. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 5401 and 3200-6208, Labor Code. 
HISTORY

1. New section filed 1-18-90; operative 1-18-90 (Register 90, No. 4). New section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Repealer and new section filed 4-13-93; operative 4-13-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 16)
3. Change without regulatory effect renumbering former section 10137 to section 10252.1 and renumbering former section 10116.1 to section 10137 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10138. Claim Form and Notice of Potential Eligibility for Benefits.
Note     •     History

The employee's form for filing a workers' compensation claim (DWC 1) and the Notice of Potential Eligibility for Benefits is a mandatory form set forth in Section 10139 of this Article. The employer portion of the form may also include other information pertinent to the claim, including a logo or other employer-identifying information, but such information shall in no way impose additional duties or prohibitions on the employee or delay the processing of the claim. The claim form consists of an original and three (3) copies.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 5401, 5401.7 and 5402, Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10117.1 to section 10138, including amendment of section, filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10139. Workers' Compensation Claim Form (DWC 1) and Notice of Potential Eligibility.
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 132(a), 139.48, 139.6, 4600, 4600.3, 4601, 4604.5, 4616, 4650, 4656, 4658.5, 4658.6, 4700, 4701, 4702, 4703, 5400, 5401, 5401.7 and 5402, Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10118.1 to section 10139 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
2. Amendment of section and Note filed 8-9-2010; operative 10-8-2010 (Register 2010, No. 33).
§10140. Employer's Responsibility to Process Claim Form, Claims Administrator's Duty to Provide Claim Form.
Note     •     History

(a) Within one working day of receipt of a claim form, the employer shall date the claim form and provide a dated copy of the form to the employee and the employer's claims administrator. 
(b) If the claims administrator obtains knowledge that the employer has not provided a claim form, it shall provide one to the employee within three working days of its knowledge that the form was not provided.
(c) If the claims administrator cannot determine if the employer has provided a claim form to the employee, the claims administrator shall provide one to the employee within 30 days of the administrator's date of knowledge of the claim.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 5401 and 5402, Labor Code. 
HISTORY

1. Change without regulatory effect renumbering former section 10119 to section 10140 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10141. Dismissal of Inactive Claim by Operation of Law After Notice.
Note     •     History

(a) Where a claim form has been filed for an injury that occurred prior to January 1, 1994, the claim has been denied, and there has been no activity for 180 days, the claims administrator may issue a notice of dismissal of the claim as follows:
(1) The notice shall include the following:

NOTICE REGARDING WORKERS' COMPENSATION CLAIM 
You applied for workers' compensation benefits. A copy of your claim form is attached. We have not heard from you since we sent you a letter denying your claim on        [Date]. Your case has been inactive for at least 180 days. If you are still claiming benefits, you must file an Application for Adjudication of Claim with the Workers' Compensation Appeal Board within 180 days of the date this notice is served on you. The date of service is listed at the bottom of this form. IF YOU DO NOT FILE THE APPLICATION BY THE DEADLINE, THE CLAIM WILL AUTOMATICALLY BE DISMISSED “BY OPERATION OF LAW”. This means you will not be able to claim benefits for the injury or illness listed on the claim form unless you file the Application for Adjudication of Claim by the deadline. Please call me at         [phone number] if you want more information or help figuring out the deadline for filing an Application.
You can get the Application form, help figuring out the deadline for filing an Application, and information about your claim by calling the State of California Division of Workers' Compensation Information and Assistance Office. [Enter telephone number of district Information and Assistance Office closest to injured workers' residence.] You may hear recorded information by calling 1-800-736-7401. You may also consult an attorney.

		 [Claims Administrator Representative]

Date Notice Is Served:        
(2) The blank(s) in the prescribed notice language shall be completed by the claims administrator to specify the information described in brackets. The date of service of the Notice shall be inserted on the Notice by the claims administrator or process server to accurately reflect the date service is effected in accordance with the Code of Civil Procedure as specified in subsection (d).
(b) Where a claim form has been filed for an injury that occurred prior to January 1, 1994, benefits have been furnished, and there has been no activity for 180 days, the claims administrator may issue a notice of dismissal of the claim as follows:
(1) The notice shall include the following:

NOTICE REGARDING WORKERS' COMPENSATION CLAIM
You applied for workers' compensation benefits. A copy of your claim form is attached. Your case has been inactive for at least 180 days.
Your right to workers' compensation benefits will end on       [Insert date - either five years from the date of injury or one year from the last furnishing of benefits, whichever is later], unless you file an Application for Adjudication of Claim by that date. That date is          [insert either “five years from the date of your injury”, or “one year from the date of the last benefit provided to you.”]
IF  YOU DO NOT FILE THE APPLICATION BY THE DEADLINE, THE CLAIM WILL AUTOMATICALLY BE DISMISSED “BY OPERATION OF LAW”. This means you will not be able to claim further benefits for the injury or illness listed on the claim form unless you file the Application for Adjudication of Claim by the deadline. Please call me at          [phone number] if you want more information.
You can get the application form and information about your claim by calling the State of California Division of Workers' Compensation Information and Assistance Office at         [Enter telephone number of district Information and Assistance Office closest to injured worker's residence.] You may hear recorded information by calling 1-800-736-7401. You may also consult an attorney.

		 [Claims Administrator Representative]
(2) The date of last furnishing of benefits shall be the latter of: the latest date of receipt by the employee of medical or rehabilitation services, or the latest date that payment of any compensation benefit was mailed or personally delivered to the employee or any service provider.
(3) The blanks in the prescribed notice language shall be completed by the claims administrator to specify the information described in brackets.
(c) The Notice under (a)(2) and (b)(2) shall further contain the date(s) of injury, name of the employee, the name of the employer, identification of the claims administrator, including address and telephone number, and claim number, if any. A copy of the claim form(s) shall be attached to the notice prior to service.
(d) The claims administrator shall serve notice on the employee in the manner prescribed for a summons in a civil action in accordance with Article 3 (commencing with Section 415.10) of Chapter 4 of Title 5 of the Code of Civil Procedure.
If the employee is represented by an attorney, the claims administrator shall in addition serve a copy of the notice on the attorney by personal delivery or first class mail. Where no Application for Adjudication of Claim has been filed, but the Workers' Compensation Appeals Board has assigned a case number to the matter because of a pre-Application filing, the claims administrator shall also serve a copy of the notice on the appeals board. Proof of service shall be made in accordance with Title 8, CCR section 10975.
(e) The occurrence of any of the following during the 180 days prior to service of the notice is evidence that the claim is not inactive and there can be no dismissal under (a)(1) or (a)(2): the employee has made demand for payment or provision of benefits (whether indemnity, medical, or other), the claims administrator has knowledge that there are benefits due and unpaid, there has been treatment rendered for the industrial injury, there has been a medical-legal evaluation of the employee, there has been a deposition in regard to the claim, the claims administrator has other knowledge that the employee is actively pursuing his or her claim.
NOTE

Authority cited: Sections 133, 5307.3 and 5404.5, Labor Code. Reference: Sections 5401, 5402 and 5404.5, Labor Code. 
HISTORY

1. Change without regulatory effect renumbering former section 10120 to section 10141 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
§10142. Date of Denial for Purposes of End of Tolling of Limitations Period.
Note     •     History

For purposes of Labor Code Section 5401(c), the date “the claim is denied” for determining when the claim form ceases to toll the specified limitations periods is:
(a) the date the written denial notice is personally served, or
(b) five days after the written denial notice is placed in the mail if the address is within the State of California, ten days if the address is outside the State of California, but within the United States and twenty days if the address is outside of the United States.
The written denial notice must be issued in accordance with the notice regulations in Title 8, CCR, Subchapter 1, Article 8, Sections 9810 et seq. in order to cease the claim form's tolling of the limitations periods.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 5401, Labor Code. 
HISTORY

1. Change without regulatory effect renumbering former section 10121 to section 10142 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
Subchapter 1.6. Permanent Disability Rating Determination
§10150. Disability Evaluation Unit.
Note     •     History

The Disability Evaluation Unit, under the direction and authority of the administrative director, will issue permanent disability ratings as required under this subchapter utilizing the Schedule for Rating Permanent Disabilities adopted by the administrative director. The Disability Evaluation Unit will prepare the following kinds of rating determinations:
(a) Formal rating determinations 
(b) Summary rating determinations 
(c) Consultative rating determinations 
(d) Informal rating determinations. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of subchapter 1.6 heading filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
3. Amendment of section heading, section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
5. Amendment of first paragraph filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10150.1. Signature Disputes and the Signatures of Consultants.
Note     •     History

(a) Anyone who disputes the authenticity of any signature must file with the Manager of the Disability Evaluation Unit an objection to the pleading or other document within ten (10) days of the filing of that document. The objection shall contain a complete explanation of the basis for the objection.
(b) The filing of a document, signed with a “/s/ name” or an electronic image of the signature filed with the login and password of the Division of Workers' Compensation consultant assigned to the case shall constitute an original signature for all purposes. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10150.2. Technical Unavailability of EAMS.
Note     •     History

Technical problems with filing documents shall be governed by section 10225 of title 8 of the California Code of Regulation. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 5502 and 5700, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10150.3. Disability Evaluation Unit File Retention.
Note     •     History

(a) Following a period of fifty (50) years after the filing of a document used to open a case or file, the Division of Workers' Compensation may destroy the electronic and/or paper file in each case maintained by the Disability Evaluation Unit.
(b) The Division of Workers' Compensation, at any time, may convert a paper file to an electronic file. The Division of Workers' Compensation shall inform the parties when a paper file is converted. If a paper case file has been converted to electronic form, the paper case file may be destroyed no less than 30 business days after the parties have been informed of the conversion.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10150.4. Misfiled or Misdirected Documents.
Note     •     History

(a) A request to move or substitute a corrected document shall be made in conformity with section 10223 of title 8 of the California Code of Regulation, except that a written request to substitute with the proposed document for substitution appended shall be made in lieu of a petition to substitute as allowed under section 10223(b). The authority to approve moving a document from one file to another file shall reside with the Manager of the Disability Evaluation Unit or his or her designee.
(b) If a document is not filed in compliance with sections 10217, 10228 and 10232 of title 8 of the California Code of Regulations and these regulations, the administrative director may in his or her discretion take the actions set forth in section 10222 of title 8 of the California Code of Regulations.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10151. Filing Requirements.
Note     •     History

(a) “Electronic Adjudication Management System” or “EAMS” means the computer case management system used by the Division of Workers' Compensation to electronically store and maintain the Division of Workers' Compensation or the appeals board's case files and to perform other case management functions.
(b) All forms or correspondence submitted to the Disability Evaluation Unit shall be stored in the EAMS: 
(1) Except for documents or forms which open a Disability Evaluation Unit file, all documents and forms shall contain a case number assigned by the Division of Workers' Compensation. The case number shall be preceded by the prefix “DEU”. Case opening document shall be assigned a case number by the Division of Workers' Compensation after filing. Documents or forms filed without a case number will be returned to the sender with instructions for proper filing. 
(2) All documents presented for filing shall conform to the requirements of sections 10217, 10228 and 10232 of title 8 of the California Code of Regulations. 
(3) All filed paper documents and forms shall be scanned into the EAMS and then will be destroyed. A properly filed paper document or form shall be deemed a legal filing for all purposes.
(4) The service of all documents and forms shall conform to the receiving party's designated preferred method of service described in section of 10218 of title 8 of the California Code of Regulation. 
NOTE

Authority cited: Sections 133, 4061, 4660, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47). For prior history, see Register 2005, No. 23.
§10151.1. Electronic Filing Exemption.
Note     •     History

If a document is filed with EAMS as part of the electronic filing trial, that document does not need to be filed in compliance with sections 10228 and 10232 of title 8 of the California Code of Regulation.
NOTE

Authority cited: Sections 111, 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10152. Disability, When Considered Permanent.
Note     •     History

A disability is considered permanent when the employee has reached maximal medical improvement, meaning his or her condition is well stabilized, and unlikely to change substantially in the next year with or without medical treatment.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10154. Permanent Disability Rating Determinations, Kinds.
Note     •     History

NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124. 4061, 5452, 5701 and 5703.5, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. New subsection (d) filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
3. Repealer filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10156. Formal Rating Determinations.
Note     •     History

A formal rating determination will be prepared by the Disability Evaluation Unit when requested by the Appeals Board or a Workers' Compensation Judge on a form specified for that purpose by the Administrative Director. The form will provide for a description of the disability to be rated, the occupation of the injured employee, the employee's age at the time of injury, the date of injury, the formula used, and a notice of submission in accordance with Appeals Board Rules of Practice and Procedure.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4660, 4662, 4663, 4664 and 5701, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10158. Formal Rating Determinations As Evidence.
Note     •     History

Formal rating determinations prepared by disability evaluators shall be deemed to constitute evidence only as to the relation between the disability or impairment standard(s) described and the percentage of permanent disability.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-31-2004 order transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10159. Time Period for Issuing a Summary Rating Determination Pursuant to Labor Code §4061(e).
Note     •     History

(a) Following the receipt of a comprehensive medical-legal evaluation from a Qualified Medical Evaluator that is eligible for rating under section 10160, the Disability Evaluation Unit shall issue a summary rating determination pursuant to Labor Code section 4061(e) within 20 days of either the date the time has passed for the filing of a request for factual correction under Labor Code section 4061(d)(1), or the date of receipt of a supplemental report submitted to the Disability Evaluation Unit in response to a request for factual correction under section 37 of title 8 of the California Code of Regulations, whichever is later.
NOTE

Authority cited: Sections 111, 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10160. Summary Rating Determinations, Comprehensive Medical Evaluation of Unrepresented Employee.
Note     •     History

(a) The Disability Evaluation Unit will prepare a summary rating determination upon receipt of a properly prepared request. A properly prepared request shall consist of:
(1) A completed Request for Summary Rating Determination, DWC AD Form 101 (DEU);
(2) A completed Employee's Disability Questionnaire, DWC AD Form 100 (DEU);
(3) A comprehensive medical evaluation of an unrepresented employee from a Qualified Medical Evaluator.
(b) The insurance carrier or self-insured employer shall provide the employee with an Employee's Disability Questionnaire prior to the appointment scheduled with the Qualified Medical Evaluator. The employee will be instructed in the form and manner prescribed by the administrative director to complete the questionnaire and provide it to the Qualified Evaluator at the time of the examination.
(c) The insurance carrier, self-insured employer or injured worker shall complete a Request for Summary Rating Determination of Qualified Medical Evaluator's Report, a copy of which shall be served on the opposing party. The  requesting party shall send the request, including proof of service of the request on the opposing party, to the Qualified Medical Evaluator together with all medical reports and medical records relating to the case prior to the scheduled examination with the Qualified Medical Evaluator. The request shall include the appropriate address of the Disability Evaluation Unit. A listing of all of the offices of the Disability Evaluation Unit, with each office's area of jurisdiction, will be provided, upon request, by any office of the Disability Evaluation Unit or any Information and Assistance Office.
(d) When a summary rating determination has been requested, the Qualified Medical Evaluator shall submit all of the following documents to the Disability Evaluation Unit at the location indicated on the DWC AD Form 101 (DEU) and shall concurrently serve copies on the employee and claims administrator:
(1) Request for Summary Rating Determination of Qualified Medical Evaluator's Report as a cover sheet to the evaluation report;
(2) Employee's Disability Questionnaire;
(3) Comprehensive medical evaluation by the Qualified Medical Evaluator, including the Qualified Medical Evaluator's Findings Summary Form (QME Form 111).
(4) A document cover sheet and separator sheet pursuant to section 10232 (b) of title 8 of the California Code of Regulation, which shall only be served on the Disability Evaluation Unit.
(e) No request for a summary rating determination shall be considered to be received until the Employee's Disability Questionnaire, the Request for Summary Rating Determination of Qualified Medical Evaluator's Report, and the comprehensive medical evaluation have been received by the office of the Disability Evaluation Unit having jurisdiction over the employee's area of residence. In the event an employee does not have a completed Employee's Disability Questionnaire at the time of his or her appointment with a Qualified Medical Evaluator, the medical evaluator shall provide this form to the employee for completion prior to the evaluation. Any requests received on or after April 1, 1994 without all the required documents will be returned to the sender. 
(f) Except when a request for factual correction is filed in compliance with section 37 of title 8 of the California Code of Regulations, any request for the rating of a supplemental comprehensive medical evaluation report shall be made no later than twenty days from the receipt of the report and shall be accompanied by a copy of the correspondence to the evaluator soliciting the supplemental evaluation, together with proof of service of the correspondence on the opposing party. 
(g) If a Qualified Medical Evaluator files a correction to the comprehensive medical evaluation previously filed pursuant to section 37(d) of title 8 of the California Code of Regulations, the Disability Evaluation Unit shall consider in its summary rating the corrections indicated by the Qualified Medical Evaluator in the supplemental report.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351  (Register 94, No. 4).
3. Amendment of section heading and text filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
4. Amendment of subsections (c)-(d) and (f) and amendment of Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-31-2004 order, including amendment of subsections (a)(2), (b), (d) and (e), transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
6. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
7. Amendment of subsection (f) and new subsection (g) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10160.1. Summary Rating Determinations, Report of Primary Treating Physician for Unrepresented Employee.
Note     •     History

(a) For injuries on or after January 1, 1994, the insurance carrier, self-insured employer or the employee may request a summary rating of the primary treating physician's report prepared in accordance with Section 9785. 
(b) The request may be made by completing a Request for Summary Rating Determination of Primary Treating Physician's Report (DWC AD Form 102 (DEU)) and filing the request with the Disability Evaluation Unit together with a copy of the primary treating physician's report, if the report has not already been filed in EAMS. 
(c) A filed copy of the request form and a copy of the primary treating physician's report shall be served immediately after filing on the non-requesting party, with a proof of service on the non-requesting party.
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124, 4061, 4061.5, 4062, 4062.1, 4062.2, 4062.5, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10160.5. Summary Rating Determinations, Represented Employees.
Note     •     History

(a) For injuries on or after January 1, 1991 and before January 1, 1994, the Disability Evaluation Unit will prepare a summary rating determination in cases where the injured worker is represented only if requested by a party. A summary rating determination will be prepared only upon receipt of a properly prepared request. A properly prepared request shall consist of:
(1) A completed Request for Summary Rating Determination DWC AD Form 101 (DEU);
(2) An evaluation by a Qualified Medical Evaluator or Agreed Medical Evaluator.
(b) The requesting party shall complete a Request for Summary Rating Determination of Qualified Medical Evaluator's Report and submit it together with all medical reports and medical records concerning the case to the medical evaluator. The medical evaluator shall send the completed medical evaluation report together with the Request for Summary Rating Determination to the office of the Disability Evaluation Unit designated by the administrative director and specific on the Request for Summary Rating Determination of Qualified Medical Evaluator's Report and shall simultaneously serve the party or parties requesting the evaluation. 
(c) Notwithstanding the provisions of subdivision (b), a party may request a summary rating determination following receipt of a medical report prepared by a Qualified Medical Evaluator or Agreed Medical Evaluator on a represented case. The party shall file the Request for Summary Rating Determination of Qualified Medical Evaluator's Report and the medical report with the DEU office designated by the administrative director and shall immediately serve a filed copy of the Summary Rating Determination on the other party. 
(d) If a case is settled prior to receipt of a summary rating which has been requested, the requesting party shall notify the DEU office of the settlement. 
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124, 4061, 4062, 4062.1, 4062.2, 4062.5, 4064 and 4067, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351  (Register 94, No. 4).
3. Amendment of section heading and subsections (a)-(c), repealer of subsection (d), subsection relettering, and amendment of redesignated subsection (d) filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
4. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10161. Forms.
Note     •     History

(a) Employee's Disability Questionnaire (DWC AD Form 100 (DEU)).
(b) Request for Summary Determination of Qualified Medical Evaluator's Report (DWC AD Form 101 (DEU)).
(c) Request for Summary Determination of Primary Treating Physician's Report (DWC AD Form 102 (DEU)).

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Repealer and new DEU Form 100 filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 4).
3. Editorial correction restoring inadvertently omitted subsection (b) (Register 95, No. 8).
4. Amendment of subsections (a), (b) and forms 100 and 101; and new subsection (c) and form 102 filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
5. Certificate of Compliance as to 12-31-2004 order, including further amendment of section and forms and amendment of Note, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
6. Amendment of section, including repealer and new DEU Form 100, DEU Form 101 and DEU Form 102, filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10161.1. Reproduction of Forms.
Note     •     History

The Request for Summary Rating Determination of Qualified Medical Evaluator's Report, the Employee's Disability Questionnaire, and the Request for Summary Rating Determination of the Primary Treating Physician's Report may be reproduced by automated office equipment or other means as long as the printed content and layout of the form are identical to the specified form.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
2. Amendment of section number filed 8-8-95; operative 8-8-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
3. Amendment of section and new Note filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10162. Summary Rating Determinations, Apportionment.
Note     •     History

(a) In cases where the injured worker is not represented and a Qualified Medical Evaluator's formal medical evaluation indicates apportionment of the permanent disability, a summary rating determination will not be made until a workers' compensation administrative law judge has reviewed the medical evaluation to determine if the apportionment is inconsistent with the law. The determination of the workers' compensation administrative law judge will not be admissible in any judicial proceeding.
(b) Upon receipt of a formal medical evaluation which apportions the disability, the Disability Evaluation Unit will transmit the medical evaluation to the presiding workers' compensation administrative law judge of the office of the appeals board designated by the Disability Evaluation Unit, with a request to review the apportionment to determine whether it is inconsistent with the law. The workers' compensation administrative law judge shall make the determination and respond to the Disability Evaluation Unit within 45 days.
(c) If the workers' compensation administrative law judge refers the medical report back to the Qualified Medical Evaluator for correction or clarification, the Qualified Medical Evaluator shall provide a response to the workers' compensation administrative law judge within 30 days of the referral. If no response is received, the workers' compensation administrative law judge shall make a determination whether the apportionment is inconsistent with the law, and a summary rating determination will be made.
(d) In cases where the injured worker is represented and an Agreed Medical Evaluator or Qualified Medical Evaluator apportions the permanent disability, the Disability Evaluation Unit will issue a summary rating determination “Before Apportionment.”
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10163. Apportionment Referral.
Note     •     History

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DEU Form 105 (Rev 12-04)
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-31-2004 order, including further amendment of Note, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10164. Summary Rating Determinations, Reconsideration if Employee is Unrepresented.
Note     •     History

(a) Requests for reconsideration of the summary rating determination  shall be filed with the administrative director in writing within 30 days of receipt of the summary rating determination. The request shall clearly specify the reasons the summary rating determination should be reconsidered and shall include a proof of service on the other party and any other information necessary to support the request. Reconsideration of a summary rating may be granted by the administrative director for one or more of the following reasons:
(1) the summary rating was incorrectly calculated;
(2) the comprehensive medical evaluation failed to address one or more issues;
(3) the comprehensive medical evaluation failed to completely address one or more issues;
(4) the comprehensive medical evaluation was not prepared in accordance with required procedures, including the procedures of the administrative director promulgated under paragraph (2) or (3) of subdivision (j) of Section 139.2.
Requests for reconsideration which are not based on one of the above reasons will be denied.
(b) The administrative director shall not accept or consider, as a basis for a request for reconsideration, a supplemental or follow-up evaluation which was requested by a party after a summary rating determination has already been issued to the parties.
(c) If the administrative director determines that an additional evaluation from another Qualified Medical Evaluator is necessary, the matter shall be referred to the Medical Director of the Medical Unit for the provision of another Qualified Medical Evaluator.
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351  (Register 94, No. 4).
3. Amendment of section heading, repealer of subsection (a), subsection relettering, amendment of redesignated subsection (a), new subsections (a)(1)-(4) and  (b) and amendment of subsection (c) filed 2-21-95; operative 2-21-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 8).
4. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10165. Service of Summary Rating Determination and Notice of Options Following Permanent Disability Rating.
Note     •     History

Within the time specified in Labor Code section 4061(e), the Disability Evaluation Unit shall serve the permanent disability rating determination and the Notice of Options Following Permanent Disability Rating on the employee and employer by the method of service described in section of 10218 of title 8 of the California Code of Regulation.
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 124 and 4061, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10165.5. Notice of Options Following Disability Rating (DEU Form 110).
Note     •     History

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DEU FORM 110 (Rev 12/04)
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 124, 4061, 4062, 4062.01, 4062.1, 4062.2, 4062.5, 4064, 4067, 4660, 4662, 4663 and 4664, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351  (Register 94, No. 4).
3. Amendment of section and Note filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-31-2004 order, including further amendment of section and Note, transmitted to OAL 4-29-2005 and filed 6-10-2005 (Register 2005, No. 23).
§10166. Consultative Ratings Determinations.
Note     •     History

(a) The Disability Evaluation Unit will prepare consultative rating determinations upon request of the appeals board, workers' compensation administrative law judges, settlement conference referees, arbitrators, workers' compensation judges pro tempore and information & assistance officers.
(b) Consultative rating determinations may be requested for the purpose of determining the ratable significance of factors, reviewing proposed compromise and release agreements for adequacy, determining commuted values, resolving occupational questions or any other matters within the expertise of the disability evaluators. Consultative Rating Determinations will not be admissible in judicial proceedings.
(c) The Disability Evaluation Unit may also prepare consultative rating determinations upon receipt of reasonable requests from employers, injured workers or their respective representatives. A request is not considered reasonable where an insurance carrier or self-insurer seeks a consultative rating determination for the purpose of terminating its liability or for negotiating a compromise and release settlement where the injured worker has no representative. Consultative rating determinations shall not to be used as a substitute for summary rating determinations.
(d) In all cases the person making a request for a consultative rating determination will provide the Disability Evaluation Unit with the occupation and age of the injured worker at the time of injury.
(e) No consultative rating determination will be provided on cases in which an application for adjudication of claim has been filed with the appeals board without prior written authorization of the Appeals Board, a workers' compensation administrative law judge, settlement conference referee, arbitrator, workers' compensation judge pro tempore, or information & assistance officer. In cases where an application has been filed, the disability evaluator may require that any request for consultative rating determination be accompanied by the appeals board file.
NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 123.6, 123.7, 124, 5275, 5451, 5502, 5701 and 5703.5, Labor Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment of section filed 1-28-94; operative 1-28-94. Submitted to OAL for printing only pursuant to Government Code section 11351  (Register 94, No. 4).
3. Amendment of section heading and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10166.1. Form (Request for Consultative Rating).
Note     •     History

DWC-AD Form 104 (DEU) 

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NOTE

Authority cited: Sections 133, 5307.3 and 5307.4, Labor Code. Reference: Sections 123.6, 123.7, 124, 5275, 5451, 5502, 5701 and 5703.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10167. Informal Ratings.
Note     •     History

(a) An informal rating will be prepared by the Disability Evaluation Unit upon the request of the employee and/or his/her representative and the employer, or at the request of an Information and Assistance Officer providing the necessary information. Such requests shall be submitted on forms and in a manner prescribed by the administrative director. Informal ratings shall be issued only in those instances where an Application for Adjudication of Claim has not been filed with the appeals board. All medical reports pertaining to the case must be submitted with the request.
(b) The Disability Evaluation Unit will issue the informal rating, which will contain a statement that the informal rating is not: a) a finding, award, order or decision of the appeals board, and b) evidence as to the existence of the factors of disability.
(c) Where the informal rating indicates a life pension, or provision for future medical treatment appears indicated, the Disability Evaluation Unit will forward a copy of the rating to an Information and Assistance Officer for the purpose of obtaining a stipulated award, or other action as may be appropriate.
(d) Self-ratings prepared by the employer are not acceptable substitutes for informal ratings prepared by the Disability Evaluation Unit.
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 4061, Labor Code.
HISTORY

1. New section filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
2. Amendment filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10168. Records, Destruction of. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133, 135 and 5307.3, Labor Code. Reference: Sections 135 and 4061, Labor Code; and Section 14755, Government Code.
HISTORY

1. New section filed 4-25-91; operative 4-25-91 (Register 91, No. 26). New section is exempt from review by OAL pursuant to Government Code section 11351.
2. Amendment filed 3-27-95; operative 3-27-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 13).
3. Amendment of section and Note filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
4. Repealer filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10169. Commutation Tables and Instructions.
Note     •     History

Table 1 (“Present Value of Permanent Disability at 3% Interest”) as issued in January 2001, Table 2 (“Present Value of Life Pension at 3% Interest for a Male”) as issued in July 2001, Table 3 (“Present Value of Life Pension at 3% Interest for a Female”) as issued in July 2001, and “Commutation Instructions” as issued in January 2001, are hereby incorporated by reference in their entirety as though they were set forth below. The tables and instructions are available from any office of the Division of Workers' Compensation and may be accessed and printed from the Division's homepage at www.dir.ca.gov.
NOTE

Authority cited: Sections 133, 5100, 5101, 5307.3 and 5307.4, Labor Code. Reference: Sections 5100 and 5101, Labor Code.
HISTORY

1. New section filed 1-17-2001; operative 1-17-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 3). 
2. Change without regulatory effect amending section filed 7-18-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 29).
§10169.1. Commutation of Life Pension and Permanent Disability Benefits.
Note     •     History

(a) Determinations of the present value of a life pension under Labor Code Section 5101(b) shall be made in accordance with the Commutation Instructions contained in Section 10169, and shall be based on the actuarial data contained in Section 10169, Table 2 (“Present Value of Life Pension at 3% Interest for a Male”) or Table 3 (“Present Value of Life Pension at 3% Interest for a Female”).
(b) Determinations of the present value of permanent disability indemnity under Labor Code Section 5101(b) shall be made in accordance with the Commutation Instructions contained in Section 10169, and shall be based on the actuarial data contained in Section 10169, Table 1 (“Present Value of Permanent Disability at 3% Interest”).
(c) The Administrative Director shall periodically revise Tables 2 and 3 of Section 10169 to incorporate revisions to the “U.S. Life Tables” and “Actuarial Tables Based On The U.S Life Tables” issued by the United States government following each decennial census.
NOTE

Authority cited: Sections 133, 5100, 5101, 5307.3 and 5307.4, Labor Code. Reference: Sections 5100, 5100.5, 5100.6 and 5101, Labor Code.
HISTORY

1. New section filed 1-17-2001; operative 1-17-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 3). 
Subchapter 1.7 
§10175. Definitions.
Note     •     History

As used in this subchapter:
(a) “Employer” means any person defined as an employer in Section 3300 of the Labor Code who has secured the payment of workers' compensation benefits as required by Section 3700 of the Labor Code.
(b) “Exclusive provider of care option” means an option chosen by an employee under Section 10180 under which medical, surgical, and hospital treatment for both occupational and non occupational injuries and illness are provided to the employee through one health care service plan.
(c) “Health care service plan” means any of the following which offer a managed care product:
(1) A health care service plan licensed under Section 1353 of the Health and Safety Code (Knox-Keene Health Care Service Plan Act);
(2) A disability insurer authorized to transact health insurance or disability income insurance pursuant to Part 2 of Division 2 of the Insurance Code.
(3) An insurer authorized to transact workers' compensation insurance in California, including the State Compensation Insurance Fund.
(4) The state or an employer who has secured a certificate of consent to self-insure from the Director of Industrial Relations pursuant to Labor Code Section 3700.
(5) Multi-employer collectively bargained employee welfare benefit plans or an employee welfare benefit plan sponsored by a recognized exclusive bargaining agent for State employees.
(d) “Managed care product” means a system of medical care which provides for all of the following:
(1) All medical and health care services required under Section 4600 of the Labor Code in a manner that is timely, effective, and accessible to the employee. This shall include making available to an employee, within 5 days of a request, the services of any type of physician, as defined in Section 3209.3 of the Labor Code, including a chiropractor, following an initial visit with the employee's primary care physician, when treatment for an occupational injury or illness falls within the scope of practice of the requested type of physician.
(2) Appropriate case management, including direction of injured employees to appropriate medical service providers within a network for all non emergency services.
(3) Appropriate financial incentives to reduce service costs and utilization without sacrificing the quality of service, and mechanisms to identify and correct quality deficiencies.
(4) Adequate methods of quality assurance, peer review and service utilization review to prevent inappropriate or excessive treatment, and exclusion from participation those providers who violate treatment standards.
(5) Expertise in providing medical reports necessary for the prompt, proper administration of compensation, including those required under Sections 9785 and 10978.
(6) A procedure for resolving disputes concerning the provision of health care services under the plan, which shall be equivalent to that specified in Section 1368 of the Health and Safety Code.
(7) A program involving cooperative efforts by the employees, the employer, physicians, and other participants to promote employee wellness, workplace health and safety, and early return to work.
(8) Adequate mechanisms to assure coordinated case management goals and incentives among all providers of workers' compensation for employees with occupational injuries and diseases.
(e) “Principal place of business” means the location at which the majority of the employer's employees are employed.
(f) “Small employer” means an employer who on at least 50 percent of its working days during the calendar quarter preceding submission of the proposal under which the employer participates in the pilot project employed not more than fifty (50) employees.
(g) “Traditional health benefit plan” means a plan of medical coverage for non occupational injuries and illness provided by the employer, through a contract between the employer and a health care provider, or through a purchasing cooperative specifically authorized by state law.
(h) “Traditional workers' compensation  provider” means a health care provider chosen pursuant to Labor Code Section 4600 or 4601.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New subchapter 1.7 and section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
§10176. Eligible Employers and Employees.
Note     •     History

(a) Employers whose principal place of business is in any of the following counties may participate in the pilot project:
(1) Los Angeles;
(2) San Diego;
(3) Santa Clara;
(4) Sacramento.
(b) Employees of employers eligible to participate in the pilot project who are employed in counties other than those enumerated in subdivision (a) are not precluded from participation in the project.
(c) Nothing in this section shall be construed to prohibit participation by employers whose principal place of business is not within one of the four counties listed in subdivision (a) above if the employer is specifically authorized to do so by statute.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
§10177. Eligible Applicants.
Note     •     History

(a) Pilot project plan proposals may be submitted to the administrative director by any one or combination of the following entities or authorized agents thereof:
(1) Employers
(2) Heath care service plans
(3) Health insurance purchasing cooperatives specifically authorized under state law.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
§10178. Pilot Project Proposal Requirements.
Note     •     History

(a) Proposals submitted to the administrative director for final approval shall include all of the following:
(1) A description of the manner in which health care services are to be provided, including the administrative and organizational structure, how each component of the managed care product will be provided, and the standards and procedures under which an employee who selects the exclusive provider of care option will be permitted to change health care service plans.
(2) The business name and tax identification number of the employer or employee, the approximate number and occupations of participating employees, the health care service plan or provider of health care services, and any other parties required in the operation of the proposal. The proposal shall include signed authorization from all necessary parties, other than the employees, confirming their commitment to the plan. In the case of a proposal under which only small employers will participate, the proposal may specify the method by which employers will be selected to participate in lieu of identifying and obtaining commitments from participating employers and identifying the approximate number and occupations of participating employees.
(3) The method whereby employees will be informed of their rights and options under the proposal, including the right to obtain a decision from the Workers' Compensation Appeals Board in the case of disputes over compensation for injuries compensable under Division 4 (commencing with Section 3200) of the Labor Code. Materials to be used for this purpose shall be submitted with the proposal. Materials shall include a description of the dispute resolution process, a description of dependent coverage, a description of the method and frequency of employee choice of health care provider and a description of any other incentives offered to employees by employers to participate in the plan.
(4) The dispute resolution process under the exclusive provider of care option, including the process made available to employees to voluntarily resolve issues subject to the jurisdiction of the appeals board, as well as the process for resolving disputes which are not subject to the jurisdiction of the appeals board.
(5) A description of how dependents will be covered under the proposal, and if co-payments, premium shares, deductibles, or other charges are to be assessed against employers or dependents for non occupational injuries and illness, the amount of such charges and how these charges will be determined and segregated in a manner to assure compliance with subdivision (a) of Section 3751 of the Labor Code.
(6) The method and frequency of employee choice as to whether the employee will receive medical care under an exclusive provider of care option.
(7) A description of any incentives offered by an employer to employees to encourage participation in the exclusive provider of care option.
(8) Verification of agreement to participate executed by an authorized representative of each exclusive or certified bargaining agent which represents employees of the employer.
(9) The method by which any workers' compensation liability of the employer incurred during the pilot project will be paid after an employee's or employer's participation in the pilot project terminates.
(10) An agreement to provide the administrative director, in the form and manner prescribed by the Administrative Director, with information necessary to evaluate the plan and compliance with this subchapter.
(11) An agreement by the participating employers, or by another participating entity on the behalf of these employers, to pay a proportionate share of the cost of the evaluation of the pilot projects approved under this subchapter, based on the number of participating employees. Nothing in this paragraph shall be construed to require participating employers to pay a share of the evaluation cost if other funding sources are authorized by statute and alternative funding is obtained for this purpose.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
§10179. Selection of Proposals; Priorities; Pilot Termination.
Note     •     History

(a) Initial applications will be accepted from the date the Request for Applications is issued until March 31, 1994.
(b) The following will be given priority in selecting participants in the pilot project:
(1) Joint labor-management proposals.
(2) Proposals targeting employers who have previously not offered health benefits for non occupational injuries and illness to their employees.
(3) Proposals which include appropriate control groups to assist the evaluation process.
(4) Proposals which provide for coordinated administration of indemnity benefits, as well as medical benefits, including workers' compensation temporary disability benefits, state disability insurance benefits, and private disability benefits, while retaining separate administration of the compensation required under Division 4 (commencing with Section 3200) of the Labor Code.
(5) Proposals which will operate in more than one pilot project county.
(6) Proposals which provide parity in coverage between occupational and non occupational injuries and illness.
(7) Proposals which will commence on January 1, 1994.
(c) Proposals approved for participation in the pilot project shall commence no earlier than January 1, 1994 and shall terminate no later than December 31, 1997.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
2. Amendment of section heading and subsection (c) filed 10-11-94; operative 10-11-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 94, No. 41).
§10180. Employee Choice of Plans.
Note     •     History

(a) An employee participating in a proposal approved by the administrative director must be offered a choice between the following:
(1) Receiving medical benefits under an exclusive provider of care option for both occupational and non occupational injuries and illness;
(2) Receiving medical benefits for non occupational injuries and illness from a traditional health benefit plan and receiving medical treatment for occupational injuries and illness from a traditional workers' compensation provider.
(b) Employees may be permitted to choose between the two options specified in subdivision (a) in the following ways:
(1) The employee selects an option only once, either (i) before the plan begins in the case of current employees, or (ii) at the time of employment in the case of persons employed after the initial selection period for current employees.
(2) After the initial election, the employee is permitted to change options annually, during an open enrollment period made available to all participating employees.
(c) Nothing in this section shall be construed to preclude an employee from changing plans at any time for good cause, as specified in the approved pilot project proposal or in the rules of the health care service plan.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Section 4612, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
§10181. Records, Claims Administration, Auditing, and Termination.
Note     •     History

(a) Nothing in this subchapter shall relieve any employer, health care provider or their agents from any of the requirements or obligations contained in Division 1 (commencing with Section 1) of this Title, except for the requirements of Sections 9780.1, 9781, and 9782 to the extent an approved pilot project proposal conflicts with the requirements of these sections.
(b) Administration and accounting of the payment of workers' compensation benefits under this pilot project shall be solely for the purpose of complying with the workers' compensation laws of the State of California and shall be separate from the administration of other employee welfare benefits within the meaning of 29 U.S.C. Section 1002(1). However, any benefit provided by a government plan, church plan, or benefits plan maintained solely for the purpose of compliance with unemployment compensation or disability insurance laws, within the meaning of 29 U.S.C. 1003, may be combined with the administration of workers' compensation under an exclusive provider of care option.
(c) Nothing in this subchapter or a pilot project plan shall be construed to relieve any person, including an employer or physician, from any reporting requirements concerning occupational injuries or illness, or to preclude or in any way inhibit the adjudication of issues involving occupational injuries, including whether an injury or illness is compensable under Division 4 (commencing with Section 3200) of the Labor Code, before the Workers' Compensation Appeals Board.
(d) An employer's participation in this pilot project shall terminate automatically, without any action by the administrative director, when an employer fails to secure the payment of workers' compensation in the manner prescribed by Section 3700 of the Labor Code.
NOTE

Authority cited: Sections 133, 4612, and 5307.3, Labor Code. Reference: Sections 3700, 4612, 5300, 6409 and 6409.1, Labor Code.
HISTORY

1. New  section filed 8-31-93; operative 8-31-93. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 36).
Subchapter 1.8. Collective Bargaining Agreements Under Labor Code Sections 3201.5 and 3201.7
§10200. Definitions.
Note     •     History

As used in this subchapter:
(a) “Employee” means an employee covered under either:
(1) A provision of a collective bargaining agreement recognized by the Administrative Director pursuant to Labor Code section 3201.5; or 
(2) A labor-management agreement recognized by the Administrative Director pursuant to Labor Code section 3201.7. 
(b) “Employer” means either:
(1) For the purpose of Labor Code section 3201.5, a private employer or group of employers actually engaged in construction, construction maintenance, or activities limited to rock, sand, gravel, cement and asphalt operations, heavy-duty mechanics, surveying, and construction inspection in California. A public entity may be a member of a group of employers.
(2) For the purpose of Labor Code section 3201.7, a private employer, group of employers, or a city or county that is self-insured in compliance with Labor Code section 3700. 
(c) “Labor-management agreement” under Labor Code section 3201.7 (or 3201.7 provision) means a provision, clause, addendum, or other section of a collective bargaining agreement that establishes or would establish any program permitted under Labor Code section 3201.7(a). Such a program shall be maintained solely for the purpose of complying with the requirements of Division 4 the Labor Code and shall be administered separately from any other employee benefit plan. 
(d) “Provision of a collective bargaining agreement” under Labor Code section 3201.5 (or “3201.5 provision”) means a provision, clause, addendum, or other section of a collective bargaining agreement that establishes or would establish any program permitted under Labor Code section 3201.5(a). Such a program shall be maintained solely for the purpose of complying with the requirements of Division 4 the Labor Code and shall be administered separately from any other employee benefit plan.
(e) “Union” means a bona fide labor organization that is the recognized or certified exclusive bargaining representative of the employees of an employer. A labor organization is bona fide under this regulation if:
(1) it actually represents employees in California as to wages, hours and working conditions,
(2) its officers have been elected by secret ballot or otherwise in a manner consistent with federal law, and
(3) it is free of domination or interference by any employer and has received no improper assistance or support from any employer.
NOTE

Authority cited: Sections 133, 3201.5 and 5307.3, Labor Code. Reference: Sections 3201.5 and 3201.7, Labor Code.
HISTORY

1. New subchapter 1.8 and section filed 8-8-95; operative 8-8-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
2. Amendment of section and Note filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10201. Procedure for Determining Eligibility Under Labor Code Section 3201.5.
Note     •     History

(a) Every employer and union proposing to establish any program permitted by Labor Code section 3201.5 shall jointly request the Administrative Director to determine eligibility, as follows:
(1) Employers shall submit the following documents:
(A) Upon its original application and whenever it is renegotiated thereafter, a copy of the underlying collective bargaining agreement and the approximate number of employees who will be covered thereby. The collective bargaining agreement shall be complete, including side letters and all appendices and other documents referred to in the agreement that relate to the program permitted by Labor Code section 3201.5, including but not limited to trust agreements and agreements concerning providers. If the application is on behalf of a group of employers, the application shall clearly define the group and shall state whether all the members of the group are bound by the 3201.5 provision, or whether each member must individually agree to be bound.
(B) Upon its original application and annually thereafter, evidence of a valid and active license where that license is required by law as a condition of doing business in the state within the industries set forth in subdivision (a) of Section 3201.5.
(C) Upon its original application and annually thereafter, a statement signed under penalty of perjury, that no action has been taken by any administrative agency or court of the United States to invalidate the collective bargaining agreement.
(D) Upon its original application and annually thereafter, the name, address, and telephone number of the contact person of the employer.
(E) Upon its original application and annually thereafter, evidence that the employer is actually engaged in construction, construction maintenance, or activities limited to rock, sand, gravel, cement and asphalt operations, heavy-duty mechanics, surveying, or construction inspection in California, or has a plan for immediate engagement in one of those businesses.
(F) Upon its original application and annually thereafter, evidence that the employer:
(i) is developing or projecting an annual workers' compensation insurance premium, in California, of two hundred fifty thousand dollars ($250,000) or more, or has paid an annual workers' compensation insurance premium, in California, of two hundred fifty thousand dollars ($250,000) in at least one of the previous three years; or
(ii) is a group of employers engaged in a workers' compensation safety group complying with Sections 11656.6 and 11656.7 of the Insurance Code, and established pursuant to a joint labor management safety committee or committees, which develops or projects annual workers' compensation insurance premiums of two million dollars ($2,000,000) or more; or
(iii) is an employer or group of employers that is self-insured in compliance with Section 3700 that has projected annual workers' compensation costs that meet the requirements of, and that meet the other requirements of, paragraph (i) in the case of employers, or paragraph (ii) in the case of groups of employers; or
(iv) is an employer, who is properly signatory to a project agreement, and is covered by an owner or general contractor provided wrap-up insurance policy applicable to a single construction site that develops workers' compensation insurance premiums of two million dollars ($2,000,000) or more with respect to those employees covered by that wrap-up insurance policy.
Every member of a group of employers must maintain separately administered workers' compensation insurance or a self-insurance program distinct from all other types of insurance. Every member must maintain this insurance or self-insurance in one of the ways enumerated in Labor Code section 3700; but it is not necessary that all members maintain insurance or a self-insurance program in the same way. Every member must meet one of the minimum premium or cost requirements listed in paragraphs (i) through (iv) above.
(G) Upon its original application and annually thereafter a statement that it is able and willing to supply the data required by Labor Code section 3201.5(i).
(H) If the application is on behalf of a group of employers, evidence that:
(i) membership in the group is limited to employers that meet all the criteria of Labor Code section 3201.5 and these regulations;
(ii) the group shall, on behalf of its individual members, provide the data required by Labor Code section 3201.5(i);
(iii) the group shall maintain records of its membership satisfactory to the Administrative Director for the purpose of readily ascertaining the facts required by Section 10201(e)(3). Membership records shall include evidence of security for the payment of compensation for each member, including the insurance policy number, or a copy of the certificate of self-insurance issued pursuant to Labor Code section 3700. Membership records shall also include the approximate number of employees for each individual member of the group who is bound by the collective bargaining agreement. Copies of membership records shall be delivered to the Administrative Director on request.
(2) Unions shall submit the following documents:
(A) Upon its original application and annually thereafter, a copy of its most recent LM-2 or LM-3 filing with the United States Department of Labor, along with a statement, signed under penalty of perjury, that the document is a true and correct copy.
(B) Upon its original application and annually thereafter, the name, address, and telephone number of the contact person or persons of the collective bargaining representative or representatives.
(C) Upon its original application and annually thereafter evidence that the union is a bona fide labor organization in that:
(i) it actually represents employees engaged in construction, construction maintenance, or activities limited to rock, sand, gravel, cement and asphalt operations, heavy-duty mechanics, surveying, and construction inspection in California as to wages, hours and working conditions,
(ii) its officers have been elected by secret ballot or otherwise in a manner consistent with federal law, and
(iii) it is free of domination or interference of any employer and has received no improper assistance or support from any employer.
It will be presumed that a union is bona fide if for a period of five years it has actually entered into collective bargaining agreements with employers in California and has filed all appropriate reports with the United States Department of Labor in that period. If a union is not presumed to be bona fide, it shall present evidence satisfactory to the Administrative Director that it meets the criteria of a bona fide labor organization.
(3) Any person may submit documents to the Administrative Director that bear on the eligibility of an applicant. Copies of all such documents received shall be sent to the applicants for comment.
(b) [Reserved for regulation relating to confidentiality]
(c) Issuance of a Letter of Eligibility
Within 30 days after receiving an application, the Administrative Director shall notify the applicants that the application is complete or shall specify what further information is needed to complete the application. Within 30 days after the time an application is completed, the Administrative Director shall either (1) issue a letter of eligibility, or (2) deny eligibility. If eligibility is denied, the Administrative Director shall inform the parties of the reasons therefor. For good cause and upon written notice to the applicants, the Administrative Director may extend the periods of notification for an additional 30 days.
(d) Period of Eligibility
The letter of eligibility shall state the beginning date of eligibility, which shall be no earlier than 15 days before the parties submitted their request to the Administrative Director under this section. A letter of eligibility shall remain valid for the same period as the 3201.5 provision of the collective bargaining agreement, but no longer then three years from the date of issuance of the letter. Upon the effective date of this regulation, the Administrative Director shall re-issue letters of eligibility to parties which have already received them.
(e) Effect of a Letter of Eligibility 
(1) A letter of eligibility is a determination by the Administrative Director that the parties meet the eligibility requirements of Labor Code section 3201.5. A letter of eligibility is not a determination by the Administrative Director that the collective bargaining agreement or any part of it is in compliance with Labor Code section 3201.5. 
(2) A 3201.5 provision is valid and binding only if there was a letter of eligibility in effect at the time of injury. 
(3) A letter of eligibility issued to a group of employers shall be valid as to an individual member of the group if all the following facts are established as of the time the provision is alleged to be in effect and at the time of injury: 
(A) the group of employers possessed a current letter of eligibility; 
(B) the individual employer was a member of the group; 
(C) the individual employer had signed the 3201.5 provision; 
(D) the individual employer was actually engaged in construction, construction maintenance, or activities limited to rock, sand, gravel, cement and asphalt operations, heavy-duty mechanics, surveying, or construction inspection in California and possesses a valid and active license as required by Labor Code section 3201.5(a); and 
(E) the individual employer was is compliance with Labor Code section 3201.5(c). 
(f) Renewal of Eligibility 
(1) At least 30 days prior to the expiration of the letter of eligibility, the parties shall submit to the Administrative Director updated copies of the documents and other evidence required by subdivision (a) of this Section. However, if certain documents and other evidence are completely unchanged since the submission of the previous annual report required by Section 10204, the party responsible for submitting the updates may instead submit a statement under penalty of perjury that there has been no change in the document or evidence since the previous annual report. The Administrative Director may nonetheless require any party to submit the actual documents or evidence. 
(2) Within 30 days after receiving the information required under subdivision (f)(1), the Administrative Director shall either: (1) renew the letter of eligibility for the same period of time set forth in subdivision (d); or (2) deny eligibility. If eligibility is denied, the Administrative Director shall inform the parties of the reasons therefor. 
(g) All insurers, self-insured employers, and third party administrators who adjust claims subject to a Section 3201.5 provision shall comply with the applicable provisions of Section 138.4 of the Labor Code and shall comply with the administrative regulations contained in Title 8, Cal. Code Regs., Division 1, Chapter 4.5: 
(1) Subchapter 1: Article 1.1, commencing with Section 9700; Article 5, commencing with Section 9780; Article 6, commencing with Section 9796; Article 8, commencing with Section 9810; Article 8.5, commencing with Section 9880; Article 10, commencing with Section 9900; 
(2) Subchapter 1.5: Article 1, commencing with Section 10100; Article 2, commencing with Section 10101; Article 3, commencing with Section 10105; Article 4, commencing with Section 10110; Article 5, commencing with Section 10111; Article 6, commencing with Section 10113; Article 7, commencing with Section 10115; Article 6, commencing with Section 10116; Article 7, commencing with Section 10122; and, 
(3) Subchapter 1.6, commencing with Section 10150. 
NOTE

Authority cited: Sections 133, 3201.5 and 5307.3, Labor Code. Reference: Section 3201.5, Labor Code.
HISTORY

1. New section filed 8-8-95; operative 8-8-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
2. Amendment filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10202. Procedure for Recognizing Labor-Management Agreements Under Labor Code Section 3201.7.
Note     •     History

(a) Any union in an industry not covered by Labor Code section 3201.5 who seeks to negotiate a 3201.7 provision with an employer shall file a petition with the Administrative Director, verified under penalty of perjury, on the “Petition for Permission to Negotiate a Section 3201.7 Labor-Management Agreement” form (DWC Form RGS-1), contained in Section 10202.1. A proof of service by mail declaration shall be attached to the petition indicating that the complete petition, including all attachments, was served on the employer, or group of employers. 
(b) Within 10 days after receiving a petition, the Administrative Director shall notify the union that the petition is complete or shall specify what further information is needed to complete the petition. Within 30 days after the time the petition is completed, the Administrative Director shall either (1) issue to the union and employer, or group of employers, a letter of eligibility to negotiate a 3201.7 provision, or (2) deny the petition. If the petition is denied, the Administrative Director shall inform the union of the reasons therefor. For good cause and upon written notice to the union, the Administrative Director may extend the periods of notification for an additional 30 days. 
(c) The letter of eligibility to negotiate shall remain valid for a period not to exceed one year from the date of issuance. Upon joint request by the union and the employer, or group of employers, an additional one year period to negotiate a 3201.7 agreement shall be granted. 
(d) Upon receipt of the letter of eligibility to negotiate, the union and employer, or group of employers, may negotiate a 3201.7 provision. A negotiated and signed 3201.7 provision between a union and employer, or group of employers, will be recognized by the Department of Industrial Relations as valid and binding upon application by the parties to the Administrative Director. 
(1) The employer, or group of employers, shall submit the following documents with the application: 
(A) Upon its original application and whenever it is renegotiated thereafter, a copy of the 3201.7 provision, and the approximate number of employees who will be covered thereby. If the application is on behalf of a group of employers, the application shall clearly define the group and shall state whether all the members of the group are bound by the 3201.7 provision, or whether each member must individually agree to be bound. 
(B) Upon its original application and annually thereafter, a statement signed under penalty of perjury, that no action has been taken by any administrative agency or court of the United States to invalidate the collective bargaining agreement. 
(C) Upon its original application and annually thereafter, the name, address, and telephone number of the contact person of the employer, or group of employers. 
(D) Upon its original application and annually thereafter, evidence of a valid and active license where that license is required by law as a condition of doing business in the state. 
(E) Upon its original application and annually thereafter, evidence that the employer: 
(i) is developing or projecting an annual workers' compensation insurance premium, in California, of fifty thousand dollars ($50,000) or more, and employing at least fifty (50) employees, or has paid an annual workers' compensation insurance premium, in California, of fifty thousand dollars ($50,000), and employing at least fifty (50) employees in at least one of the previous three years; or 
(ii) is a group of employers engaged in a workers' compensation safety group complying with Sections 11656.6 and 11656.7 of the Insurance Code, and established pursuant to a joint labor management safety committee or committees, that develops or projects annual workers' compensation insurance premiums of five hundred thousand dollars ($500,000) or more; or 
(iii) is an employer or group of employers, including cities and counties, that is self-insured in compliance with Labor Code section 3700 that has projected annual workers' compensation costs that meet the requirements of, and that meet the other requirements of, paragraph (i) in the case of employers, or paragraph (ii) in the case of groups of employers. 
(F) Upon its original application and annually thereafter a statement that it is able and willing to supply the data required by Labor Code section 3201.7(h). 
(G) If the application is on behalf of a group of employers, evidence that: 
(i) membership in the group is limited to employers that meet all the criteria of Labor Code section 3201.7 and these regulations; 
(ii) the group shall, on behalf of its individual members, provide the data required by Labor Code section 3201.7(h); 
(iii) the group shall maintain records of its membership satisfactory to the Administrative Director for the purpose of readily ascertaining the facts required by subdivision (h) of the section. Membership records shall include evidence of security for the payment of compensation for each member, including the insurance policy number, or a copy of the certificate of self-insurance issued pursuant to Labor Code section 3700. Membership records shall also include the approximate number of employees for each individual member of the group who is bound by the collective bargaining agreement. Copies of membership records shall be delivered to the Administrative Director on request. 
(2) Unions shall submit the following documents with the application: 
(A) Upon its original application and annually thereafter, a copy of its most recent LM-2 or LM-3 filing with the United States Department of Labor, along with a statement, signed under penalty of perjury, that the document is a true and correct copy. 
(B) Upon its original application and annually thereafter, the name, address, and telephone number of the contact person or persons of the collective bargaining representative or representatives. 
(C) Upon its original application and annually thereafter evidence that the union is a bona fide labor organization in that:
(i) its officers have been elected by secret ballot or otherwise in a manner consistent with federal law, and
(ii) it is free of domination or interference of any employer and has received no improper assistance or support from any employer.
It will be presumed that a union is bona fide if for a period of five years it has actually entered into collective bargaining agreements with employers in California and has filed all appropriate reports with the United States Department of Labor in that period. If a union is not presumed to be bona fide, it shall present evidence satisfactory to the Administrative Director that it meets the criteria of a bona fide labor organization.
(e) Every member of a group of employers must maintain separately administered workers' compensation insurance or a self-insurance program distinct from all other types of insurance. Every member must maintain this insurance or self-insurance in one of the ways enumerated in Labor Code section 3700; but it is not necessary that all members maintain insurance or a self-insurance program in the same way. Every member must meet one of the minimum premium or cost requirements listed above in subdivision (d)(1)(E), paragraphs (i) through (iii). 
(f) Any person may submit documents to the Administrative Director that bear on the application of the union and employer, or group of employers. Copies of all such documents received shall be sent to the union and employer, or group of employers, for comment. 
(g) Within 30 days after receiving the application, the Administrative Director shall notify the union and employer, or group of employers, that the application is complete or shall specify what further information is needed to complete the application. Within 30 days after the time the application is completed, the Administrative Director shall either (1) issue to the union and employer, or group of employers, a letter recognizing the 3201.7 provision, or (2) deny the application. If the application is denied, the Administrative Director shall inform the union and employer, or group of employers, of the reasons therefor. For good cause and upon written notice to the union and employer, or group of employers, the Administrative Director may extend the periods of notification for an additional 30 days. 
(h) The recognition of the Section 3201.7 provision is a determination by the Administrative Director that the parties meet the eligibility requirements of Labor Code section 3201.7. Recognition is not a determination by the Administrative Director that the 3201.7 agreement, or any part of it, is in compliance with Labor Code section 3201.7. 
(1) A 3201.7 provision is valid and binding only if there was a complete application filed with the Administrative Director at the time of injury. 
(2) A 3201.7 provision negotiated and signed by a group of employers shall be valid as to an individual member of the group if all the following facts are established as of the time the provision is alleged to be in effect and at the time of injury: 
(A) the group of employers has a complete application filed with the Administrative Director; 
(B) the individual employer was a member of the group; 
(C) the individual employer had signed the 3201.7 provision; 
(D) the individual employer was is compliance with Labor Code section 3201.7(c). 
(i) All insurers, self-insured employers, and third party administrators who adjust claims subject to a Section 3201.7 provision shall comply with the applicable provisions of Section 138.4 of the Labor Code and the administrative regulations contained in Title 8, Cal. Code Regs., Division 1, Chapter 4.5: 
(1) Subchapter 1: Article 1.1, commencing with Section 9700; Article 5, commencing with Section 9780; Article 6, commencing with Section 9796; Article 8, commencing with Section 9810; Article 8.5, commencing with Section 9880; Article 10, commencing with Section 9900; 
(2) Subchapter 1.5: Article 1, commencing with Section 10100; Article 2, commencing with Section 10101; Article 3, commencing with Section 10105; Article 4, commencing with Section 10110; Article 5, commencing with Section 10111; Article 6, commencing with Section 10113; Article 7, commencing with Section 10115; Article 6, commencing with Section 10116; Article 7, commencing with Section 10122; and, 
(3) Subchapter 1.6, commencing with Section 10150. 
NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 3201.7, Labor Code.
HISTORY

1. New section filed 8-8-95; operative 8-8-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
2. Amendment of section heading, repealer and new section and amendment of Note filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10202.1. Petition for Permission to Negotiate a Section 3201.7 Labor-Management Agreement (DWC Form RGS-1).
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Section 3201.7, Labor Code. 
HISTORY

1. New section filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10203. Reporting Data.
Note     •     History

(a)(1) On or before March 31 of every year, every employer subject to either a 3201.5 or 3201.7 provision shall provide the information specified in subdivision (b) for the previous calendar year. For each claim with a date of injury on or after January 1, 2004, the information reported under subdivision (b)(8) through (16) in the first mandatory reporting year under subdivision (b)(8), shall also be updated annually thereafter for the following three calendar years. 
(2) To provide the information required in subdivision (b), the employer shall either: 
(A) Provide the information on a form prescribed by the administrative director, either DWC Form GV-1, as set forth in Section 10203.1, or DWC Form GV-2, as set forth in Section 10203.2; or 
(B) Provide the administrative director with written authorization to collect the information from the appropriate claims administrator. If the administrative director is unable to obtain the information with the written authorization, the employer shall remain responsible for obtaining and submitting the information. 
(3) Groups of employers shall report the information required by this section on behalf of its members. The information shall be reported as to every individual employer covered by the 3201.5 or 3201.7 provision. Groups shall also report aggregated figures for all employers in the group covered by the 3201.5 or 3201.7 provision.
(b) The report shall contain the following information:
(1) The name of the individual employer and the union.
(2) The principal business of the employer.
(3) The dates the 3201.5 or 3201.7 provision were in effect during the previous calendar year.
(4) The name of the insurer, if any, and the insurance policy number. If self-insured, the name and certificate number of the self-insured employer. 
(5) The name, address and telephone number of any administrator, ombudsperson, mediator or arbitrator employed in an alternative dispute resolution system.
(6) Hours worked by covered employees, reported by trade or craft.
(7) Payroll in accordance with the rules of the Workers' Compensation Insurance Rating Bureau [WCIRB]. Payroll shall be reported by class code as set by the WCIRB.
(8) The number of claims filed in the previous calendar year pursuant to Labor Code section 5401. The claims shall be reported in the following categories:
A. The number of claims that were medical only. As to those claims, there shall also be a report on the total amount of paid costs and the total amount of incurred costs.
B. The number of claims that included a claim for indemnity. As to those claims, there shall also be a report on total amount of paid costs and total amount of incurred costs in each of the following categories: temporary disability, permanent disability, life pensions, death benefits, vocational rehabilitation, medical services, and medical-legal expenses.
(9) The number of claims filed pursuant to Labor Code section 5401 in the previous calendar year that were resolved and the number that remained unresolved on December 31 of the previous calendar year. These numbers together should equal the total number reported in subdivision (b)(8). For the purpose of this section, “resolved” means one in which ultimate liability has been determined, even though payments may be made beyond the reporting period.
(10) Of the claims that were filed and/or resolved in the previous calendar year, the number that were resolved with a denial of compensability.
(11) Of the claims that were filed and/or resolved in the previous calendar year, the number that were resolved at each of the following stages: before mediation, at or after mediation, at or after arbitration, at or after the appeals board, or at or after the court of appeals. If the 3201.5 or 3201.7 provision contains another dispute resolution procedure, whether instead of or in addition to arbitration or mediation, the report must identify the type of procedure, its stage in the overall alternate dispute resolution process, and the same respective information regarding the resolution of claims. 
(12) The title and case number of every application filed with the appeals board in the previous calendar year concerning a claim alleged by any party to fall within the 3201.5 or 3201.7 provision, regardless of whether the employee had the right to file such an application.
(13) The title and court number of every civil action, including petitions for writs and injunctions in any court, state or federal, filed in the previous calendar year, that concerned a claim alleged by any party to fall within the 3201.5 or 3201.7 provision.
(14) The number of injuries and illnesses reported on the United States Department of Labor OSHA Form No. 300 for those employees covered by the 3201.5 or 3201.7 provision. The same number multiplied by 200,000 and divided by hours worked (as reported in subdivision (b)(6)).
(15) The number of employees covered by the 3201.5 or 3201.7 provision who participated in vocational rehabilitation.
(16) If the 3201.5 or 3201.7 provision established a light-duty or return to work program, the number of employees who participated in that program.
(17) For employers covered by a 3201.7 provision, an employee survey that measures worker satisfaction with the 3201.7 alternative dispute resolution procedures. The survey shall be designed and administered by agreement between the employer and the union. 
(c) In addition to the data above, the employer may include in its report any explanatory material, narrative account, or comment that the employer believes is necessary to understand the data.
(d) Notwithstanding this section, all employers shall be subject to the reporting requirements of the Workers' Compensation Information System, Title 8, Cal. Code Regs., Section 9700 et seq. 
(e) The data obtained by the Administrative Director pursuant to Section 10203 shall be confidential and not subject to public disclosure under any law of this state. However, the Division of Workers' Compensation may create derivative works based on the collective bargaining agreements and data. Those derivative works shall not be confidential, but shall be public.
NOTE

Authority: Sections 133, 3201.5 and 5307.3, Labor Code. Reference: Sections 3201.5, 3201.7 and 3201.9, Labor Code.
HISTORY

1. New section filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
2. Amendment of subsections (a)(1), (b)3., (b)8., (b)9.-11. and (b)13.-15. filed 12-27-96; operative 12-27-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 52).
3. Amendment of section and Note filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10203.1. Aggregate Employer Annual Report (DWC Form GV-1).
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 3201.5, 3201.7 and 3201.9, Labor Code. 
HISTORY

1. New section filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10203.2. Individual Employer Annual Report (DWC Form GV-2).
Note     •     History

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NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 3201.5, 3201.7 and 3201.9, Labor Code. 
HISTORY

1. New section filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-22-2004 order, including further amendment of section, transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
§10204. Annual Reports.
Note     •     History

(a) On or before March 31 of every year, the parties covered by the 3201.5 or 3201.7 provision shall submit updated copies of the documents and other evidence required by Section 10201 or Section 10202. However, if certain documents and other evidence are completely unchanged since the previous submission, the party responsible for submitting the annual update may instead submit a statement under penalty of perjury that there has been no change in the document or evidence since the previous submission. The Administrative Director may nonetheless require any party to submit the actual documents or evidence.
(b) If the parties have not submitted the updated documents required by this section, or if the employer has not timely submitted the data required by Section 10203 the Administrative Director may, after notice and an opportunity to respond, either: (1)  revoke a letter of eligibility issued pursuant to Labor Code section 3201.5; (2) revoke the recognition given to the labor-management agreement negotiated pursuant to Labor Code section 3201.7; or (3) take such other steps as he or she deems necessary to secure the parties' compliance with reporting requirements.
NOTE

Authority cited: Sections 133, 3201.5 and 5307.3, Labor Code. Reference: Sections 3201.5, 3201.7 and 3201.9, Labor Code.
HISTORY

1. New section filed 8-8-95; operative 8-8-95. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 95, No. 32).
2. Amendment of subsection (a) filed 2-14-96; operative 2-14-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 7).
3. Amendment of section and Note filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-22-2004 order transmitted to OAL 8-20-2004 and filed 10-4-2004 (Register 2004, No. 41).
Subchapter 1.8.1. Administrative Director -- Other Administrative Penalties [Renumbered]
Article 1. Administrative Penalties Pursuant to Labor Code Section 5814.6 [Renumbered]
HISTORY

1. Change without regulatory effect renumbering former subchapter 1.8.1, article 1 (sections 10225-10225.2) to subchapter 1.5, article 5.5 (sections 10112.1-10112.3) filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
Subchapter 1.8.5. Electronic Adjudication Management System Rules
Article 1. Definitions and General Provisions
§10205. Definitions.
Note     •     History

(a) “Adjudication file” or “ADJ file” means a case file in which the jurisdiction of the Workers' Compensation Appeals Board has been invoked and which is maintained by the Division of Workers' Compensation in paper format, or electronic format, or both, including a temporary paper case file.
(b) “Administrative director” means the administrative director of the Division of Workers' Compensation or his or her designee. 
(c) “Appeals board” means the commissioners and deputy commissioners of the Workers' Compensation Appeals Board acting en banc, in panels, or individually. 
(d) “Applicant” means any person asserting a right to relief under the provisions of Labor Code section 5300.
(e) “Application for adjudication” or “application” means the initial pleading that asserts a right to relief under the provisions of Labor Code section 5300.
(f) “Central Registration Unit” is a unit within the Division of Workers' Compensation which maintains the website list of uniform names and addresses of claims administrators' offices and representatives' offices.
(g) “Claims administrator's office” means any office location that administers workers' compensation claims. 
(h) “Cost” means any sum that is not included as an allowable lien under Labor Code section 4903 at the time of filing, but may be allowable under another section of the Labor Code. “Costs” include, but are not limited to: (1) deposition attorneys' and interpreters' fees under section 5710; (2) medical-legal expenses, including interpreters' fees, under section 4620 on or after January 1, 2013; (3) fees related to copy service or subpoena under section 5710; and (4) costs claimed under section 5811. 
(i) “Declaration of readiness to proceed” or “declaration of readiness” means a request for a proceeding before the district office.
(j) “Declaration of readiness to proceed to expedited hearing” means a request for a proceeding before the district office pursuant to Labor Code section 5502(b).
(k) “Defendant” means any person against whom a right to relief is claimed.
(l) “District office” means a trial level workers' compensation court.
(m) “Document” is a pleading, petition, medical report, record, declaration, exhibit, or another filing submitted by a party or lien claimant, including an electronically scanned version of a document that was filed in paper form. Each medical report or other record having a different author and/or a different date of service is a separate “document.”
(n) “Document cover sheet” means Form 10232.1, which is placed on top of a document or set of documents filed at one time in a specific case.
(o) “Document separator sheet” means Form 10232.2, which is placed on top of each individual document, when one or more documents are being filed at the same time in the same case and placed on top of each individual attachment to each document being filed, when a document has one or more attachments.
(p) “Electronic Adjudication Management System” or “EAMS” means the computerized case management system used by the Division of Workers' Compensation to store and maintain adjudication files and to perform other case management functions. 
(q) “Electronic filing” means electronic transmission of a document into EAMS in accordance with the provision of these regulations.
(r) “Electronic signature” means a signature electronically affixed by a workers' compensation administrative law judge or by the appeals board to any decision, findings, award, order or other document.
(s) “Fax” means a document that has been electronically served by a fax machine.
(t) To “file” a document means to either deliver a document or cause it to be delivered to the district office with venue or to the appeals board for the purpose of having it included in the adjudication file or to electronically file a document via EAMS in accordance with these regulations.
(u) “Hearing” means any trial, mandatory settlement conference, rating mandatory settlement conference, status conference, lien conference, or priority conference.
(v) “Initial lien” means any Labor Code section 4903(b) lien filed in a case on or after the effective date of these regulations by a lien claimant who has not previously filed a lien in the same case.
(w) “Lien claimant” means any person claiming payment under the provisions of Labor Code section 4903 or 4903.1.
(x) “Lien conference” means a proceeding for the purpose of assisting the parties in resolving disputed lien claims pursuant to Labor Code section 4903 or 4903.1 or, if the dispute cannot be resolved, to frame the issues and stipulations in preparation for a lien trial.
(y) “Mandatory settlement conference” means a proceeding to assist the parties in resolving their dispute or, if the dispute cannot be resolved, to frame the issues and stipulations in preparation for a trial.
(z) “Optical character recognition form” or “OCR form” means a paper form designed to be scanned so that its information is automatically extracted and stored in EAMS.
(aa) “Party” means: (1) a person claiming to be an injured employee or the dependent of an injured employee; (2) a defendant; or (3) a lien claimant or a petitioner for costs where either (A) the underlying case of the injured employee or the dependent of an injured employee has been resolved or (B) the injured employee or the dependent of an injured employee chooses not to proceed with his, her, or their case.
(bb) “Petition” means any document filed containing a request for action other than an application for adjudication, an answer or a declaration of readiness to proceed. 
(cc) “Priority conference” means a proceeding in which the applicant is represented by an attorney and the issues in dispute at the time of the proceeding include employment and/or injury arising out of and in the course of employment.
(dd) “Product delivery unit” means the unit within the Division of Workers' Compensation. The units are abbreviated as follows: Adjudication Unit “ADJ”; Disability Evaluation Unit “DEU”; Subsequent Injuries Benefits Trust Fund “SIF”; Uninsured Employers' Benefits Trust Fund “UEF”; Vocational Rehabilitation “VOC; and Retraining and Return to Work Unit “RSU”. For each product delivery unit there is an area in EAMS in which the case management information related to that product delivery unit is stored. That area is called the “product delivery case.” “INT” is the integrated case, which is the umbrella for the individual product delivery cases for each unit residing in EAMS.
(ee) “Rating mandatory settlement conference” means a mandatory settlement conference conducted to facilitate the determination of the existence and extent of permanent disability through the use of informal ratings issued by the Disability Evaluation Unit, where the only unresolved issues are permanent disability and the need for future medical treatment.
(ff) “Representative's office” means any office location for a law firm, lawyer or representative of a party or lien claimant in a workers' compensation case.
(gg) “Regular hearing” means a trial. 
(hh) “Section 4903(b) lien” means the medical treatment costs incurred by or on behalf of the injured employee, as provided by Article 2 (commencing with section 4600), consistent with Labor Code section 4903(b). A section 4903(b) lien includes, but is not limited to:
(1) A medical treatment lien, which includes every benefit required to be provided under section 4600, including claims for reimbursement when treatment for an occupational injury or illness has been paid by a health insurer or health care service plan (Labor Code section 4600).
(2) Transportation services expense incurred in connection with medical treatment (Labor Code section 4600).
(3) Interpreters' fees incurred in connection with medical treatment (Labor Code section 4600).
(ii) To “serve” a document means to personally deliver a copy of the document, or to send it in a manner permitted by these rules and the rules of the appeals board, to a party, lien claimant, or attorney who is entitled to a copy of the document.
(jj) “Status conference” means a proceeding set for the purpose of ascertaining if there are genuine disputes requiring resolution, of providing assistance to the parties in resolving disputes, of narrowing the issues, and of facilitating preparation for trial if a trial is necessary.
(kk) “Submission” means the closing of the record to the receipt of further evidence or argument.
(ll) “Trial” means a proceeding set for the purpose of receiving evidence.
(mm) “Venue” means the district office, as established by Labor Code section 5501.5 or 5501.6, at which any proceedings will be conducted and from which any district office orders, decisions, or awards will be issued.
(nn) “Workers' compensation administrative law judge” as defined in Labor Code section 123.7 includes pro tempore judges appointed pursuant to California Code of Regulations, title 8, section 10350.
NOTE

Authority cited: Sections 111, 133, 138.2(b), 4903.05, 4903.06 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 110, 4903, 4903.05, 4903.06, 4903.1, 5300, 5404.5, 5500.3, 5501.5, 5501.6, 5502(b) and 5502(c), Labor Code.
HISTORY

1. New subchapter 1.8.5 (articles 1-8, sections 10205-10208.12) and article 1 (sections 10205-10205.2) and renumbering of former section 10210 to new section 10205, including amendment of section and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. New subsections (h), (q), (v) and (hh)-(hh)(3), subsection relettering, amendment of newly designated subsections (t) and (aa) and amendment of Note filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10205.1. District Office Records Not Subject to Subpoena.
Note     •     History

(a) The records, files and proceedings of the district office shall not be taken from its offices either on informal request or in response to a subpoena duces tecum or any order issued out of any other court or tribunal. The records, files and proceedings of the district office shall not be produced pursuant a subpoena issued under Labor Code section 130. 
(b) Certified copies of portions of the records shall be delivered upon payment of fees as provided in California Code of Regulations, title 8, section 9990. 
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 130, 138.7 and 5955, Labor Code. 
HISTORY

1. Renumbering of former section 10212 to new section 10205.1, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.2. Compromise and Release Forms and Stipulations with Request for Award Forms.
Note     •     History

The following optical character recognition forms shall be used to settle case by either a compromise and release or stipulation with request for award.
(a) DWC-CA form 10214(a) (Stipulations with request for award) revision dated 11/2008 is incorporated by reference;
(b) DWC-CA form 10214(b) (Stipulations with request for award, death case) dated 11/2008 is incorporated by reference;
(c) DWC-CA form 10214(c) (Compromise and release) revision dated 11/2008 is incorporated by reference;
(d) DWC-CA form 10214(d) (Compromise and release, dependency claim) revision dated 11/2008 is incorporated by reference;
(e) DWC-CA form 10214(e) (Compromise and release, third party settlement) revision dated 11/2008 is incorporated by reference. 
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 5002, 5003, 5004 and 5005, Labor Code.
HISTORY

1. Renumbering of former section 10214 to new section 10205.2, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 1.2. Electronic Filing
§10205.3. Case Names and Case Index.
Note     •     History

An index of all cases filed with a district office shall be maintained in EAMS under the name of the person claimed to have been injured or the identification assigned to that person, whether or not that person is an applicant. Reference to the case shall be by the name of the injured person and the case number. 
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code. 
HISTORY

1. New article 2 (sections 10205.3-10205.9) and renumbering of former section 10215 to new section 10205.3, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 2 to article 1.2 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10205.4. Adjudication Files.
Note     •     History

(a) All cases filed on and after the effective date of these regulations shall be maintained by the Division of Workers' Compensation in an electronic format in EAMS. All paper documents properly filed in such cases shall be scanned into the EAMS adjudication file and then destroyed no less than 30 business days after filing.
(b) All case opening documents shall be given a case number by the district office where no case number has been previously assigned for the injured worker for the alleged date of injury. The parties shall be notified of the case number by their preferred method of service.
(c) If a case number has been previously assigned by the Division of Workers' Compensation, a new case number will be assigned when a document is filed as follows: the prefix “ADJ” shall replace the previously assigned three letter prefix (i.e. “OAK”) and precede the assigned case number. 
(d) Except as provided in section 10208.7, the Division of Workers' Compensation shall maintain a paper adjudication file until it is converted to an electronic adjudication file. If, however, a paper adjudication file is maintained on or after the effective date of these regulations, an electronic adjudication file shall also be created and any documents filed thereafter shall be maintained electronically in EAMS, in accordance with subdivision (c).
(e) A paper adjudication file or a portion of a paper adjudication file may be converted to an electronic adjudication file by the Division of Workers' Compensation at any time. If a paper adjudication file is completely scanned into EAMS the Division of Workers' Compensation shall notify the parties to the case of the change in how the file is maintained; and the paper adjudication file may be destroyed no less than 30 business days after the issuance of the notification.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code. 
HISTORY

1. Renumbering of former section 10216 to new section 10205.4, including amendment of subsection (d) and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.5. Official Participant Record and Duty to Furnish Correct Address.
Note     •     History

(a) The Division of Workers' Compensation shall maintain an official participant record for each adjudication file, which shall contain the names of all parties and lien claimants, and their attorneys or hearing representatives. 
(b) In order to ensure case parties and documents are accurately associated to the correct electronic adjudication file, uniform names for claims administrators' offices and representatives' offices shall be used when filing documents in EAMS. The names will be assigned by the Division of Workers' Compensation. 
(1) The Division of Workers' Compensation will maintain a list on its website (www.dwc.ca.gov/EAMS) of uniform names and mailing addresses and preferred method of service for the following entities: claims administrators' offices, and representatives' offices.
(2) Additions for new claims administrators' offices and representatives' offices and changes of name, location or address, telephone number, fax number, e-mail address or preferred method of service shall be registered by the entity requesting the change with the Central Registration Unit.
(A) The entity requesting the change must fax or e-mail a letter on letterhead with a signature from an authorized individual requesting the change to the Division of Workers' Compensation's Central Registration Unit within five business days of any change. The entity shall also advise all parties of any change of name, mailing address, or telephone number by furnishing the current information within five business days of any change.
(B) The fax number for the Central Registration Unit is: 1 (888) 822-9309. The e-mail address for the Central Registration Unit is: cru@dir.ca.gov.
(C) The new uniform name or address and preferred method of service will be posted by the Central Registration Unit within ten business days of receipt of the request. 
(c) Except as required by subdivision (b), every party and every lien claimant having an interest in an active case pending before the district office or appeals board shall advise the district office and all parties of any change of mailing address and telephone numbers by furnishing the current information within five business days of any change
(d) Every lien claimant that has filed a lien in a case pending in a district office shall advise all parties within five business days of any change in the identity and/or telephone number of the person with authority to resolve the lien by furnishing the correct name and daytime telephone number of that person to the interested parties; and shall advise the Division of Workers' Compensation of any such change after a declaration of readiness is filed.
(e) Every party and lien claimant having an interest in an inactive case: (1) shall advise all other known parties, lien claimants, attorneys, and hearing representative within five business days of any change of address (which shall include any change of mailing address and telephone numbers) by furnishing the correct and current address and/or number; and (2) shall advise the Division of Workers' Compensation of any such change within five business days if there is an outstanding award of further medical treatment or if there is continuing jurisdiction pursuant to Labor Code sections 5410, 5803 and 5804.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 5316, 5410, 5504, 5803 and 5804, Labor Code.
HISTORY

1. Renumbering of former section 10217 to new section 10205.5, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.6. Designated Preferred Method of Service.
Note     •     History

(a) Claims administrators' offices and representatives' offices may designate first class mail, electronic mail or fax as their preferred method of service for receiving documents from the district office and the appeals board. The designated method of service shall be the same for all active cases for that claims administrator's office or representative's office. A party, a lien claimant, or an attorney or other representative for a party or lien claimant who does not or cannot designate a preferred method of service shall be served by first class mail.
(b) A represented party, a lien claimant, or an attorney or other representative for a party or lien claimant may agree with any other represented party, lien claimant, or attorney or other representative for a party or lien claimant that any method of service may be utilized for receiving documents between the parties to the agreement. If such an agreement is made, service pursuant to the agreement shall constitute valid service. Absent such an agreement, service between these parties or entities shall be made by first class mail.
(c) If the service is being made by or on an unrepresented injured worker, unrepresented dependent or unrepresented uninsured employer, then the service shall be made by first class mail.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code. 
HISTORY

1. Renumbering of former section 10218 to new section 10205.6, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.7. Failure to Comply with the Electronic Adjudication Management System Rules.
Note     •     History

(a) If a document is not filed in compliance with the Administrative Director's rules, either because it does not comply with the procedural requirements or with the place of filing requirements, the Administrative Director may in his or her discretion take the following actions:
(1) Correct the defect and file the document; or
(2) Notify the filer that the document is not accepted for filing by service of a Notice of Document Discrepancy. The Notice shall state the discrepancy, the date of the attempted filing, and provide the filer with 15 business days from service to cure the discrepancy. If the document is corrected within 15 business days, or at a later date upon a showing of good cause, it shall be deemed filed on the original date the document was submitted.
(b) Notwithstanding the provisions of subdivision (a), the following documents shall not be filed with the district office or the appeals board, except as a non duplicative supporting exhibit or upon the order of a workers' compensation administrative law judge or the appeals board. Documents improperly submitted pursuant to this subdivision shall not be accepted for filing or deemed filed and shall not be acknowledged and may be discarded. 
(1) letters to opposing parties or counsel; 
(2) subpoenas; 
(3) notices of taking deposition; 
(4) medical appointment letters; 
(5) proofs of service ordered pursuant to California Code of Regulations, title 8, section 10500; 
(6) medical reports, except as required by section 10233; 
(7) copies of any decision of any federal or state court opinion otherwise available. 
(8) copies of any decision of the appeals board or a workers' compensation administrative law judge that is otherwise available. 
(9) duplicate medical and medical-legal reports.
(10) no diagnostic imaging as defined in Labor Code section 139.3, subd. (b)(1), shall be transmitted to the district office or the appeals board unless it is ordered. 
(c) No document shall be sent by electronic mail or by fax directly to the district office or the appeals board. If a document is sent by electronic mail or fax directly to the district office, it shall not be accepted for filing or deemed filed, shall not be acknowledged, and may be discarded unless otherwise ordered by the workers' compensation administrative law judge or the appeals board.
NOTE

Authority cited: Sections 111, 127, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 139.3, Labor Code.
HISTORY

1. Renumbering of former section 10222 to new section 10205.7, including amendment of section heading, subsection (a) and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.8. Corrective Measures for Misfiled or Misdirected Documents into the Case Management System.
Note     •     History

(a) The Division of Workers' Compensation may perform document substitution on filed documents; repair scanned documents; and move documents to other adjudication files. 
(b) A document substitution may occur where a technical problem of readability and/or legibility exists with a filed document. The filer may seek a substitution of the document by filing a petition to substitute. The proposed document for substitution must be appended to a petition to substitute. If the petition to substitute is granted, the proposed document for substitution will replace the document that was unreadable or illegible.
(c) A document repair may occur where a document scanned into an electronic adjudication file by the Division of Workers' Compensation fails to reflect the original paper document. The Division of Workers' Compensation may repair the document so that the scanned image accurately reflects the original paper document. The Division of Workers' Compensation may repair a document at any time or a party may request a document be repaired. EAMS will retain as viewable the original document for those who have access to the electronic file.
(d) A document may be moved when a document originally scanned by the Division of Workers' Compensation is filed into the wrong electronic file.
(e) Documents that are in the process of being substituted or repaired shall not be moved.
(f) The Division of Workers' Compensation will provide notice to all parties of moved, substituted, or repaired documents within 15 business days.
NOTE

Authority cited: Sections 111, 127, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code. 
HISTORY

1. Renumbering of former section 10223 to new section 10205.8, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.9. Extended System Unavailability.
Note     •     History

(a) If, for any reason, there is a technical failure of EAMS for longer than 24 hours, the court administrator, in his or her discretion, may declare that EAMS is unavailable for an extended period of time.
(b) After issuing a declaration of extended system unavailability, the Administrative Director shall issue an order that includes, but is not limited to:
(1) requiring that the district office or the appeals board shall serve all documents by first class mail;
(2) providing that filed documents shall be maintained in temporary paper adjudication files;
(3) providing that the time for performing any action, whether by the parties or by the district office, shall be extended by a specified period or until EAMS is declared to be operational; or
(4) requiring or allowing any other actions or remedies, as deemed appropriate under the circumstances.
(c) The Administrative Director shall post the declaration of extended system unavailability on the website of the Division of Workers' Compensation, if the website remains operational, and shall post it at every district office and at the office of the appeals board.
(d) Any declaration of extended unavailability shall remain in effect until the Administrative Director issues a subsequent declaration that EAMS is operational. 
(e) The Division of Workers' Compensation will maintain a list of any and all technical failures of EAMS that last longer than 24 hours on its website.
(f) EAMS shall be backed up daily pursuant to the State of California's information technology standards.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 5700, Labor Code. 
HISTORY

1. Renumbering of former section 10225 to new section 10205.9, including amendment of section and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 1.3. Filing of Documents by Parties or Lien Claimants
§10205.10. Manner of Filing Documents.
Note     •     History

(a) Except as provided by section 10603, subd. (a), all documents shall be filed in paper form.
(b) All paper documents shall be scanned into the electronic adjudication file and then destroyed no less than 30 business days after filing, unless otherwise provided by these rules or ordered by a workers' compensation administrative law judge or the appeals board. A scanned document shall have the same legal effect as a document filed in paper form.
(c) Each of the following persons or entities shall file optical character recognition forms completed by using a computer or typewriter with the exception of OCR forms that are prepared at a hearing or that, for good cause, are filed at trial:
(1) any attorneys representing any party or any lien claimant;
(2) any insurance carrier or any representative of any insurance carrier (including any claims adjustor);
(3) any self-insured employer or any representative of a self-insured employer (including any claims adjustor);
(4) any third-party administrator or any representative of a third-party administrator (including any claims adjustor); and
(5) any lien claimant or any representative of any lien claimant, with the exception of: (A) a lien claimant (or a non-attorney representative of a lien claimant) asserting a living expenses lien under Labor Code section 4903(c); (B) a lien claimant (or a non-attorney representative of a lien claimant) asserting a burial expenses lien under Labor Code section 4903(d); or (C) a non-governmental lien claimant (or a non-attorney representative of a lien claimant) asserting a spousal or child support expenses lien under Labor Code section 4903(e). 
(d) OCR forms will be posted in fillable format on the Division of Workers' Compensation website (http://www.dir.ca.gov/dwc/forms. html).
(e) All unrepresented employees, unrepresented dependents, unrepresented uninsured employers, or lien claimants listed in subdivision (c)(5)(A), (B) or (C) shall utilize optical character recognition forms, where such forms are required, but if they do not have ready access to a computer or typewriter, printed OCR forms will be available at the district offices and the information added to the form may be hand-printed in black ink. 
(f) Whenever any party or lien claimant files any document utilizing an optical character recognition form, the party or lien claimant shall use the appropriate OCR form required by these rules.
(g) Except as set forth in subdivision (e), any OCR form that was not obtained from the Division of Workers' Compensation's website must function with EAMS in an equivalent manner as the Division's form. 
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c.559, §17 (A.B. 1426). Reference: Sections 126 and 4903, Labor Code.
HISTORY

1. New article 3 (sections 10205.10-10205.14) and renumbering of former section 10228 to new section 10205.10, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 3 to article 1.3 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 1 (Register 2013, No. 3).
§10205.11. Electronic Filing Exemption.
Note     •     History

If a document is filed with EAMS as part of the electronic filing trial, that document does not need to be filed in compliance with regulation sections 10205.10 and 10205.12.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. Renumbering of former section 10229 to new section 10205.11, including amendment of section and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.12. Form and Size Requirements for Filed Documents.
Note     •     History

(a) All documents except the medical reports of treating physicians, secondary physicians, qualified or agreed medical evaluators and proposed exhibits, shall be filed in accordance with the following standards:
(1) Only one side of each paper shall be used;
(2) All documents shall be printed with black ink on white paper that is 8 1/2 x11 inches and at least twelve pound weight. All margins shall be at least 1 inch and shall be without typed or handwritten text in any margin;
(3) The first page shall include a case caption that shall include the name of the injured worker or dependent claiming benefits, the name of the employer and the employer's insurer or indicating the employer is self-insured and a case number if one has been assigned by the district office. If a case number has been assigned the number shall be preceded by the abbreviation “ADJ”;
(4) All non-form legal pleadings shall contain a heading above the case caption containing the name of the filing attorney and their state bar membership number and the attorney's law firm name and address;
(5) Except as otherwise provided in this section or section 10205.10, all OCR forms and documents shall be printed in Times New Roman, Times, Courier, Palatino, Century Schoolbook or similar serif font of at least 12 points in size;
(6) Except as otherwise provided in section 10205.10, all text added to the OCR forms shall be in capital letters.
(7) Response to the request on the OCR forms for social security numbers is optional, not mandatory.
(8) A list of body part codes is provided with the document cover sheet form and posted on the Division of Workers' Compensation website (http://www.dir.ca.gov/forms.html). The codes shall be used on OCR forms to describe the part of the body injured.
(9) A list of district office codes for place of venue is provided with the document cover sheet form and posted on the Division of Workers' Compensation website (http://www.dir.ca.gov/forms.html). The codes shall be used on OCR forms to describe the district office venue.
(10) No single document shall exceed 25 pages in length without the prior permission of the appeals board or the presiding workers' compensation administrative law judge of the district office with venue over the case;
(11) The text of a document shall be double spaced or one and one half spaces; however, captions, headings, headers, footnotes, footers and block quotations shall be single spaced.
(12) The documents shall be flat, without folds and without staples.
(13) OCR forms have bar codes at the top of the document. No other documents shall have bar codes on the top of the document.
(b) All documents shall be filed with document cover sheets and document separator sheets as follows: 
(1) A completed document cover sheet shall be the first page of each individual document or set of documents filed at one time in the same case. The cover sheet provides space for information regarding 15 companion cases. Only the pages filled out need to be filed. A document separator sheet shall precede each document within a set of documents. 
(2) If an individual document includes an attachment, a completed document separator sheet shall precede the attachment and if an individual document includes multiple attachments, a document separator sheet shall precede each individual attachment. A document separator sheet shall not be placed between a document and the proof of service for that document. Where one proof of service is used for multiple documents, a document separator sheet shall precede the proof of service.
(3) A list of document titles is provided with the document separator sheet form and posted on the Division of Workers' Compensation website (http://www.dir.ca.gov/forms.html). The document titles shall be used on document separator sheet to describe the attached document.
(4) The document separator sheet requires the filer to list the product delivery units, as defined in section 10205(dd), the date of the attached document, and the author of the attached document.
(5) This subdivision shall not apply to any unrepresented employees, unrepresented dependents or unrepresented uninsured employers who do not have ready access to document cover sheets and document separator sheets.
(c) Oversized documents shall be filed only at the time of trial in accordance with the provisions of section 10603.
(d) If an unrepresented worker, an unrepresented uninsured employer, or an unrepresented dependent does not have ready access to a computer or typewriter and compliance with subdivisions (a)(3) and (a)(5) is not feasible, a hand-printed document may be submitted. Any hand-printed document shall be legible and shall otherwise comply with subdivision (a), including the requirements of subdivision (a)(3) regarding margins and text in the margins.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. Renumbering of former section 10232 to new section 10205.12, including amendment of subsections (a)(5)-(6) and (b)(4) and amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Amendment of subsection (b)(4) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10205.13. Document Cover Sheet Form.
Note     •     History

DWC-CA form 10232.1 (Document cover sheet) revision dated 7/2010 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. Renumbering of former section 10232.1 to new section 10205.13, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10205.14. Document Separator Sheet Form.
Note     •     History

DWC-CA form 10232.2 (Document separator sheet) revision dated 9/2010 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. Renumbering of former section 10232.2 to new section 10205.14, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 2. Electronic Filing System Rules
§10206. Electronic Document Filing; Electronic Adjudication Management System (EAMS) Reference Guide and Instructional Manual for E-Form Filers; Incorporation.
Note     •     History

Electronic documents (E-forms) shall be filed upon a form approved by the appeals board. E-form filing shall follow the procedures set forth in the Electronic Adjudication Management System (EAMS) Reference Guide and Instructional Manual for E-Form Filers (EAMS E-Form Filing Reference Guide), dated January 1, 2013, which is incorporated by reference. It may be downloaded from the Division of Workers' Compensation through the Department of Industrial Relations' website at www.dir.ca.gov or may be obtained by writing to:

DIVISION OF WORKERS' COMPENSATION
ATTN: EAMS E-FORM FILING REFERENCE GUIDE
P.O. BOX 71010 
OAKLAND, CA 94612
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code; Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code. 
HISTORY

1. New article 2 (sections 10206-10206.2) and section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10206.1. Electronic Document Filing; Electronic Adjudication Management System Business Rules for JET Filers; Incorporation.
Note     •     History

JET filing shall follow the procedures set forth in the Electronic Adjudication Management System JET File Business Rules and Technical Specifications, Version 4.0, dated January 1, 2013, which is incorporated by reference. This document may be downloaded from the Division of Workers' Compensation through the Department of Industrial Relations' website at www.dir.ca.gov or may be obtained by writing to:

DIVISION OF WORKERS' COMPENSATION
ATTN: EAMS JET FILING BUSINESS RULES
P.O. BOX 71010 
OAKLAND, CA 94612
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.2, Labor Code. Reference: Section 126, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10206.2. Electronic Filing Exemption
Note     •     History

All electronic documents must be filed in compliance with the Electronic Adjudication Management System regulations set forth in sections 10205, et seq., except that electronic documents do not need to be filed in compliance with sections 10205.10 and 10205.12. Documents submitted for filing by any unrepresented injured employee, any unrepresented dependent of an injured employee, or any unrepresented uninsured employer may be in paper form.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 3. Manner of Filing of Electronic Documents
§10206.3. Time of Filing of Documents.
Note     •     History

(a) An electronically transmitted document shall be deemed to have been received by EAMS when the electronic transmission of the document into EAMS is complete. A document received electronically after 5:00 pm of a court day (i.e., Monday through Friday, except designated State holidays) shall be deemed filed as of the next court day.
(b) When an e-form is filed electronically, the party filing the document shall verify completion of filing pursuant to the procedures set forth in the EAMS E-Form Filing Reference Guide, Version 2.0. In the absence of following the procedures set forth in the EAMS E-Form Filing Reference Guide, there is no presumption that EAMS received the document.
(c) When a document is filed using jet filing, the party filing the document shall verify completion of filing pursuant to the EAMS JET File Business Rules and Technical Specifications, Version 4.0. In the absence of a confirmation of successful filing, there is no presumption that EAMS received the document.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code. Reference: Section 126, Labor Code. 
HISTORY

1. New article 3 (sections 10206.3-10206.5) and section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10206.4. Uniform Assigned Names.
Note     •     History

Uniform assigned names (UAN) shall be created and assigned for claims administrators, representatives and lien claimant organizations by the DWC Central Registration Unit. The Central Registration Unit shall maintain the website list of uniform names and addresses of claims administrators' offices, representatives' offices, and lien claimant organization.
NOTE

Authority cited: Sections 111, 133, 138.2(b) and 5307.3, Labor Code. Reference: Section 126, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10206.5. Form and Size Requirements for Electronic Filed Documents.
Note     •     History

(a) Electronic document filing shall be filed in accordance with the following standards:
(1) All electronically filed documents shall be submitted by using the appropriate e-form or XML file.
(2) Any document that is required to accompany an electronic form shall be filed as an attachment to the electronic form and shall be submitted in one of the following four file formats: “PDF/A1-a (Portable Document Format),” “DOC (“.doc” Microsoft Word document),” “XLS” (“.xls” Microsoft Excel worksheet sheet),” or “TIFF (“.tif or .tiff” Tagged Image File Format).” Filing using the “PDF/A1-a” is preferred. 
(3) With the exception of electronic forms and required attachments, no embedded data shall be allowed in electronically filed documents. 
(4) The filing party shall take all reasonable steps to ensure that the filing does not contain computer code, including viruses that might be harmful to EAMS or to other users of EAMS. Any electronically submitted document that is determined to contain a virus or other potentially harmful computer code may not be processed and may be deleted.
(5) If it is necessary to attach a document to an e-form, the filing party shall verify the readability of the scanned document before submitting it to EAMS.
(b) Service of any document that has been filed electronically shall include a copy of the entire e-form, all attachments and EAMS cover sheet. The proof of service for any electronically filed document shall identify the serving office's EAMS administrator and provide that individual's contact information.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 4. DWC E-Forms, DWC Unstructured Forms, and DWC JET Forms
§10206.14. DWC E-Forms and DWC Unstructured Forms.
Note     •     History

Authorized e-form filers shall use the e-forms from the external user home page. E-forms filing may be obtained from the DWC website at http://www.dir.ca.gov/dwc/forms.html#EAMSForms. 
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New article 4 (sections 10206.14-10206.15) and section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10206.15. DWC JET Forms.
Note     •     History

Authorized JET filers shall file forms using the EAMS JET File Business Rules and Technical Specifications, Version 4.0. JET filing forms may be obtained from the DWC website at http://www.dir.ca.gov/dwc/forms.html. 
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 5. The Form of Minutes of Hearing and Electronically Filed Decisions, Findings, Awards, and Orders
§10206.20. Minutes of Hearing Form.
Note     •     History

DWC-CA form 10245 (Minutes of Hearing form) revision dated 11/2008 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 5313, 5502(b) and 5502(c), Labor Code.
HISTORY

1. New article 4 (section 10208.1) and renumbering of former section 10245 to new section 10208.1, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of former article 4 to article 5 and renumbering of former section 10208.1 to new section 10206.20 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 6. Initial Lien Filing and Lien Activation Fees
§10207. Initial Lien Filing Fees.
Note     •     History

(a) Lien claims enumerated below shall be filed with the appeals board in writing or electronically upon a form approved by the appeals board. The lien shall be accompanied by a proof of service and any other documents required by the appeals board. 
(1) Reasonable attorney's fees (Labor Code section 4903(a)). 
(2) Living expense liens (Labor Code 4903(c)).
(3) Burial expense liens (Labor Code 4903(d)). 
(4) Spousal and child support liens (Labor Code 4903(e)). 
(5) Employment Development Department liens (Labor Code sections 4903, subdivisions (f), (g), and (h). 
(6) Victims of Crime liens (Labor Code section 4903(i)).
(b) On or after January 1, 2013, any initial lien filed pursuant to Labor Code section 4903(b) or claim of costs filed as a lien shall be filed electronically using a form approved by the appeals board. The lien shall be accompanied by a proof of service and any other documents required by the appeals board.
(c) Every lien claimant, except those lien claimants listed in paragraph (1), which files an initial lien for medical costs pursuant to Labor Code section 4903(b), shall be responsible for payment of the initial lien filing fee required of providers by Labor Code section 4903.05 and as set forth in subdivision (d). 
(1) The following lien claimants are exempted from the payment of the initial lien filing fee requirements under this section:
(A) A health care service plan licensed pursuant to section 1349 of the Health and Safety Code.
(B) A group disability insurer under a policy issued in this state pursuant to the provisions of Section 10270.5 of the Insurance Code.
(C) A self-insured employee welfare benefit plan, as defined in section 10121 of the Insurance Code issued in this state.
(D) A Taft-Hartley health and welfare fund.
(E) A publicly funded program providing medical benefits on a nonindustrial basis. 
(2) The following lien claimants or parties are not required to pay the initial lien filing fee under this section as their liens are not liens for medical costs pursuant to Labor Code section 4903(b). 
(A) Reasonable attorney's fees (Labor Code section 4903(a)).
(B) Living expense liens (Labor Code 4903(c)).
(C) Burial expense liens (Labor Code 4903(d)).
(D) Spousal and child support liens (Labor Code 4903(e)). 
(E) Employment Development Department liens (Labor Code section 4903, subdivisions (f), (g), and (h)).
(F) Victims of Crime liens (Labor Code section 4903(i)).
(G) A defendant filing a Declaration of Readiness to Proceed on a lien claim.
(H) A party who is not a lien claimant.
(I) Companion case pursuant to subdivision (d) of this section.
(d) Unless exempt pursuant to Labor Code section 4903.06(b), prior to or at the filing of an initial lien pursuant to Labor Code section 4903(b), the lien claimant shall submit a filing fee in the amount of one hundred fifty dollars ($150) to the Division of Workers' Compensation, using a form approved by the appeals board. The $150 fee is payment for the filing of a lien. A filing fee is required for each case in which the lien is filed; however, where one or more liens or one or more costs filed as a lien is filed in more than one case involving the same injured worker and same service or services by the same lien claimant, only one filing fee needs to be paid.
(1) The filing fee shall be collected by the Administrative Director and made electronically consistent with the following filing procedures: 
(A) E-Forms filers shall pay the initial lien filing fee following the procedures set forth in the EAMS E-Form Filing Reference Guide.
(B) JET Filers shall pay the initial lien filing fee following the procedures set forth in the EAMS JET File Business Rules and Technical Specifications, Version 4.0.
(e) If the initial section 4903(b) lien filing fee has been previously paid, the lien claimant shall submit written documentation of confirmation of payment when filing the Declaration of Readiness to Proceed for a lien conference. 
(f) When filing an initial lien, a lien claimant that claims that a filing fee is not required or that a lien filed under Labor Code section 4903(b) is exempt from the filing fee shall so indicate that status on the lien form.
(g) If no application exists for the employee at the time of the initial section 4903(b) lien filing, the lien claimant shall file any necessary application(s) and duty to investigate verification pursuant to section 10770.5. In such cases, the ADJ case number shall be assigned by the appeals board. The lien claimant will receive a Notice of Application assigning a case number. The lien claimant may thereafter file the initial lien claim or claim of cost filed as a lien accompanied with the filing fee required by Labor Code section 4903.05 or confirmation of payment.
(h) For an initial lien pursuant to Labor Code section 4903(b) that is not exempt pursuant to Labor Code section 4903.06(b) confirmation of payment shall be filed with the Declaration of Readiness to Proceed for a lien conference. 
(i) The claims of two or more providers of goods or services shall not be merged into a single section 4903(b) lien. 
(j) When a lien claimant files liens or claims of costs filed as a lien in more than one case at the same time, the filing fee or fees may be paid in a single transaction following the instructions set forth in the EAMS E-Form Filing Reference Guide or the EAMS JET File Business Rules and Technical Specifications, Version 4.0.
(k) A section 4903(b) lien or claims of costs filed as a lien submitted for filing on or after January 1, 2013 that does not comply with the requirements of this section shall be invalid, even if lodged with the appeals board, and shall not operate to preserve or toll any time limit for filing of the lien.
(l) Any section 4903(b) lien or claims of costs filed as a lien filed for goods or services that are not the proper subject of a lien may be dismissed upon request of a party by verified petition or on the appeals board's own motion. If the section 4903(b) lien or claim of costs filed as a lien is dismissed, the lien claimant will not be entitled to reimbursement of the filing fee.
(m) Unless exempt pursuant to Labor Code section 4903.06(b), no initial section 4903(b) lien or claim of costs filed as a lien shall be accepted for filing on or after the effective date of these regulations unless accompanied by full payment for the filing fee required by Labor Code section 4903.05. Until receipt of proper payment or confirmation of payment, the lien shall not be deemed to have been received or filed for any purpose.
(n) When the attorney for the employee or dependent or any assignee of the lien claimant files the initial lien for medical costs, that filing shall be deemed to have been made by an agent for the medical provider and payment of the filing fee required by Labor Code section 4903.05 shall be required of the filing party as if the lien had been filed directly by the lien claimant.
NOTE

Authority cited: Sections 111, 133, 4903.05 and 5307.3, Labor Code. Reference: Sections 126, 4903 and 4903.05, Labor Code; Section 1349, Health and Safety Code; and Sections 10121 and 10270.5, Insurance Code.
HISTORY

1. New article 6 (sections 10207-10208) and section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10208. Lien Activation Fees.
Note     •     History

(a) Any lien filed pursuant to Labor Code section 4903(b) filed prior to January 1, 2013, and any cost filed as a lien prior to January 1, 2013, shall be subject to a lien activation fee in the sum of one hundred dollars ($100.00), payable to the Division of Workers' Compensation prior to filing a Declaration of Readiness to Proceed for a lien conference by that party, prior to appearing at a lien conference for a case, or on or before January 1, 2014, whichever occurs first. The $100 fee is payment for the activation of a lien. A lien activation fee is required for each lien filed prior to January 1, 2013, and for each cost filed as a lien prior to January 1, 2013; however, where one or more liens or one or more costs filed as lien is filed in one or more cases involving the same injured worker and same service or services by the same lien claimant, only one lien activation fee is required.
(1) The following lien claimants are exempt from the payment of the lien activation fee requirements under this section:
(A) A health care service plan licensed pursuant to section 1349 of the Health and Safety Code.
(B) A group disability insurer under a policy issued in this state pursuant to the provisions of section 10270.5 of the Insurance Code.
(C) A self-insured employee welfare benefit plan, as defined in section 10121 of the Insurance Code issued in this state.
(D) A Taft-Hartley health and welfare fund.
(E) A publicly funded program providing medical benefits on a nonindustrial basis.
(2) The following lien claimants or parties are not required to pay the lien activation fee pursuant to Labor Code section 4903(b): 
(A) Reasonable attorney's fees (Labor Code section 4903(a)).
(B) Living expense liens (Labor Code 4903(c)).
(C) Burial expense liens (Labor Code 4903(d)).
(D) Spousal and child support liens (Labor Code 4903(e)). 
(E) Employment Development Department liens (Labor Code section 4903, subdivisions (f), (g), and (h)).
(F) Victims of Crime liens (Labor Code section 4903(i)).
(G) A defendant filing a Declaration of Readiness to Proceed on a lien claim.
(H) A party who is not a lien claimant.
(I) The lien claimant provides proof of having paid a filing fee as previously required by former section 4903.05, which required the filing of a payment fee in the amount of $100 when filing an initial medical costs or medical-legal expense lien pursuant to then Labor Code section 4903(b). (Chapter 639 of the Statutes of 2003), and the filing fee has not been reimbursed to the lien claimant. 
(J) Companion case pursuant to subdivision (a) of this section.
(b) Lien claimants of previously consolidated cases of liens pursuant to Labor Code section 4903(b) prior to January 1, 2013, and consolidated cases of any costs that were filed as a lien prior to January 1, 2013, shall be subject to a lien activation fee in the sum of one hundred dollars ($100.00) for each injured worker. Payment shall be made at or before the lien conference, but no later than January 1, 2014.
(c) The lien activation fee shall be collected by the Administrative Director and made electronically consistent with the following filing procedures. All fees shall be deposited in the Workers' Compensation Administration Revolving Fund and applied for the purposes of that fund.
(1) E-Forms filers shall pay the lien activation fee following the procedures set forth in the EAMS E-Form Filing Reference Guide, Version 1.0.
(2) JET filers shall pay the lien activation fee following the procedures set forth in the EAMS JET File Business Rules and Technical Specifications, Version 4.0. 
(d) If the activation fee for a section 4903(b) lien filed prior to January 1, 2013 or the cost filed as a lien prior to January 1, 2013 has been previously paid, the lien claimant shall submit confirmation of payment with the Declaration of Readiness to Proceed for a lien conference.
(e) All lien claimants that are required to pay an activation fee pursuant to this article that did not file the Declaration of Readiness to Proceed for a lien conference and remain a lien claimant of record at the time of a lien conference or consolidated lien conference shall submit confirmation of payment of the lien activation fee at the lien conference.
NOTE

Authority cited: Sections 111, 133, 4903.06 and 5307.3, Labor Code. Reference: Sections 126, 4903 and 4903.06, Labor Code; Section 1349, Health and Safety Code; and Sections 10270.5 and 10121, Insurance Code.
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10208.1. Minutes of Hearing Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 5313, 5502(b) and 5502(c), Labor Code.
HISTORY

1. New article 4 (section 10208.1) and renumbering of former section 10245 to new section 10208.1, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of former section 10208.1 to new section 10206.20 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Article 7. Declarations of Readiness to Proceed, Expedited Hearing and Pre-Trial Conference Statement Forms
§10208.2. Declaration of Readiness to Proceed Form.
Note     •     History

DWC-CA form 10250.1 (Declaration of Readiness to Proceed form) revision dated 6/2011 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133, 5502(a) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426).  Reference: Sections 126 and 5502, Labor Code.
HISTORY

1. New article 5 (sections 10208.2-10208.4) and renumbering of former section 10250.1 to new section 10208.2, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 5 to article 7 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10208.3. Expedited Hearing Form.
Note     •     History

DWC-CA form 10252.1 (Expedited Hearing form) revision dated 11/2008 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133, 5502(b) and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 5502(b), Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10252.1 to new section 10208.3, including amendment of Note, filed 12-10-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 50).
§10208.4. Pre-Trial Conference Statement Form.
Note     •     History

DWC-CA form 10253.1 (Pre-trial Conference Statement form) revision dated 9/2010 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133, 5307.3 and 5502, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 5502, Labor Code.
HISTORY

1. Renumbering of former section 10253.1 to new section 10208.4, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 8. Access to Records and Retention of Records
§10208.5. Access to and Viewing Adjudication Files.
Note     •     History

(a) A party, a lien claimant, or an attorney or other representative for a party or lien claimant may access and view specific adjudication files in which the party, lien claimant, attorney, or representative is a case participant except as provided for in section 10208.6.
(b) Except as otherwise prohibited by law or sections 10208.6 and 10272, any person may inspect the contents of any electronic adjudication file at any district office, whether or not the district office has venue over the case.
(c) Except as otherwise prohibited by law or sections 10208.6 and 10272, any person may inspect the contents of any paper adjudication file at the district office or office of the appeals board where the file is located during regular office hours.
(d) The paper adjudication file and the records and documents contained therein may not be removed from the district office or the office of the appeals board for copying or for any other purpose.
(e) Copying operators must operate their equipment in the room assigned to them and any person copying a paper adjudication file must put papers back in the file in their original order and any person viewing or copying a file must return the file in the same order and condition in which it was received.
(f) A paper adjudication file shall not be sent from one office to another for inspection except for good cause by order of a workers' compensation administrative law judge or the appeals board and upon the payment of a fee required by California Code of Regulations, title 8, section 9990. At the request of a party to the case, or his or her attorney, a paper adjudication file that has been transferred to a record storage center for storage will be made available for inspection through the office from which the file was transferred. Paper adjudication files that have been transferred to a record storage center will be made available for inspection by any other person upon payment of the fee required by California Code of Regulations, title 8, section 9990.
NOTE

Authority cited: Sections 111, 133, 138.7 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 127 and 5502, Labor Code.
HISTORY

1. New article 6 (sections 10208.5-10208.7) and renumbering of former section 10270 to new section 10208.5, including amendment of subsections (a)-(c) and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 6 to article 8 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10208.6. Prohibitions on Document Inspection.
Note     •     History

The following documents shall not be made available for inspection by any person: 
(a) Decisions, reports, opinions, orders, recommendations and other documents that are in the process of preparation, or, although fully prepared, have not yet been signed and filed. 
(b) Ratings that have not yet been served. 
(c) The working papers, personal notes, deliberation records, and other private notations made by a workers' compensation administrative law judge, commissioner, deputy commissioner or appeals board attorney or legal assistant in the course of hearing or deliberation relating to the case. 
(d) Any legal memorandum or analysis prepared by a workers' compensation administrative law judge, commissioner, deputy commissioner, appeals board attorney or legal assistant to assist a workers' compensation administrative law judge, deputy commissioner or commissioner in his or her deliberations concerning a case. 
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; Section 6253.4, Government Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 127 and 138.7, Labor Code.
HISTORY

1. Renumbering of former section 10271 to new section 10208.6, including amendment of section and Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10208.7. Retention, Return and Destruction of Records and Exhibits.
Note     •     History

(a) The Division of Workers' Compensation shall retain for at least fifty years after the filing of case opening documents (i.e., the initial application for adjudication of claim or, where an application has not previously been filed, either a stipulations with request for award or a compromise and release) the following records in a adjudication file, in either electronic or paper form: 
(1) the application for adjudication of claim and any amended application; 
(2) all settlement documents; 
(3) all orders, decisions, or awards;
(4) all minutes of hearing;
(5) all minutes of hearing and summary of evidence;
(6) all medical-legal reports; 
(7) all permanent and stationary medical reports of treating physicians;
(8) all rating instructions; 
(9) all formal ratings, summary rating determinations, and consultative ratings; and 
(10) any other documents as determined by the appeals board or the administrative director.
(b) After five years from the date of filing of the initial application, the Division of Workers' Compensation may eliminate from the adjudication file and destroy paper or electronic correspondence and other miscellaneous material or records, including non-permanent and stationary medical reports of treating physicians, not listed in subdivision (a), above.
(c) At any time, the Division of Workers' Compensation may eliminate from the adjudication file and destroy any of the following paper or electronic documents:
(1) extra copies of pleadings, notices, findings, orders, decisions, awards and other documents; and
(2) any documents filed in violation of section 10205.7, subd. (b).
(d) Following a period of fifty (50) years after the filing of the application or other case opening document, the Division of Workers' Compensation may destroy the electronic and/or paper file in each case.
(e) Any party filing an original document or other pieces of evidence pursuant to California Code of Regulations, title 8, section 10603, subd. (a), shall, at the time of filing, either (1) arrange for the return of the document or evidence, at the filing party's sole expense, at the conclusion of all proceedings and appeals thereof; or (2) be deemed by not making such arrangements, to have consented to destruction, without notice, of the document or other evidence at the conclusion of all proceedings and appeals thereof. 
(f) Stenographic reporters' notes or electronic sound recording of testimony shall be retained for a period of six (6) years after the taking of them and thereafter may be destroyed or otherwise disposed of.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126 and 135, Labor Code.
HISTORY

1. Renumbering of former section 10273 to new section 10208.7, including amendment of subsections (a)(10) and (c)(2) and amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 9. Review of Administrative Orders Issued by the Administrative Director
§10208.8. Petition Appealing Order Granting or Denying Petition for Order Requiring Employee to Select Employer-Designated Physician.
Note     •     History

(a) Upon receipt of a timely petition appealing a decision granting or denying a change of primary treating petition, pursuant to California Code of Regulations, title 8, section 9786, subd. (e) (2) or (e) (3), the matter shall be referred to a workers' compensation administrative law judge for hearing and determination of the issues raised. The petition shall be accompanied by a copy of the administrative director's order, a declaration of readiness, an application for adjudication if one has not been previously filed, and any other documents deemed relevant that have not been previously filed. A party aggrieved by the determination of the workers' compensation administrative law judge may seek relief therefrom within the same time and in the same manner specified for petitions for reconsideration.
(b) Any party aggrieved by an order issued by a workers' compensation administrative law judge pursuant to a referral under California Code of Regulations, title 8, section 9786, subd. (e)(4), of the rules of the administrative director may petition the appeals board for relief therefrom within twenty (20) days from the date of the issuance of the order in the same manner specified for petitions for reconsideration.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 4600, 4603 and 4603.5, Labor Code.
HISTORY

1. New article 7 (sections 10208.8-10208.11) and renumbering of former section 10290 to new section 10208.8, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 7 to article 9 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of article 7 to article 9 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§10208.9. Petition Appealing Notice of Compensation Due.
Note     •     History

(a) The petition appealing notice of compensation due shall be served on the injured worker or dependent and on the audit unit, concurrently with its filing. 
(b) The petition appealing notice of compensation due shall specify the factual and legal basis for the petition and shall include the audit unit's file number. The petition appealing notice of compensation due shall be accompanied by a copy of the notice of compensation due, a declaration of readiness, an application for adjudication if one has not been previously filed, and any other documents deemed relevant.
(c) If an application for adjudication has not been previously filed, venue shall be designated and determined in accordance with Labor Code section 5501.5 and California Code of Regulations, title 8, section 10409. If an application for adjudication has been previously filed, the petition appealing notice of compensation due shall be filed at the district office having venue and the case number assigned to the application for adjudication shall be assigned to the petition.
(d) An appeal of notice of compensation due shall be set for a hearing before a workers' compensation administrative law judge within forty-five (45) days of filing unless the employee's claim is already before a workers' compensation administrative law judge on other substantive issues in which case the appeal may be considered with these other issues. The audit unit, insurer, self-insured employer or third party administrator and the injured worker shall receive notice of the hearing and copies of subsequent notices of orders issued in the case. Following the hearing, the workers' compensation administrative law judge shall issue findings of fact and an order affirming, modifying or rescinding the notice of compensation due, which complies with Labor Code section 5313.
(e) The copy of the appeal of notice of compensation due sent to the injured worker shall inform the injured worker of the right to consult an attorney. If the injured worker is represented by an attorney, the workers' compensation administrative law judge may determine the amount of attorney fees reasonably incurred in resisting the appeal of notice of compensation due and may assess reasonable attorney fees as a cost upon the employer filing the appeal of notice of compensation due in accordance with Labor Code section 129(c).
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 129, 129.5, 5300, 5313 and 5501.5, Labor Code.
HISTORY

1. Renumbering of former section 10291 to new section 10208.9, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10208.10. Petition Appealing Order of the Rehabilitation Unit.
Note     •     History

(a) Appeals from decisions of the rehabilitation unit of the Division of Workers' Compensation shall be commenced as follows: 
(1) if an application for adjudication is already on file, by filing and serving a declaration of readiness and a petition setting forth the reason for the appeal; 
(2) if no application for adjudication is on file, by filing and serving an application for adjudication, a declaration of readiness, and a petition setting forth the reason for the appeal. 
(b) The party appealing the rehabilitation unit decision and the party opposing the appeal shall file and serve any documents that the parties deem relevant that have not already been filed in the rehabilitation unit case file.
(c) If an application for adjudication has not been previously filed, venue shall be designated and determined in accordance with Labor Code section 5501.5 and California Code of Regulations, title 8, section 10409. If an application for adjudication has been previously filed, the petition appealing a decision of the rehabilitation unit shall be filed at the district office having venue and the case number assigned to the application for adjudication shall be assigned to the petition.
(d) A petition appealing a decision of the rehabilitation unit shall be filed within twenty (20) days from the date of the issuance of the rehabilitation unit decision.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 5500 and 5501.5, Labor Code.
HISTORY

1. Renumbering of former section 10293 to new section 10208.10, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10208.11. Petition Appealing Determination Regarding Supplemental Job Displacement Benefits.
Note     •     History

(a) Either party may appeal the determination and order of the administrative director issued under California Code of Regulations, title 8, section 10133.54 by filing a petition together with a declaration of readiness to proceed pursuant to section 10250 within twenty calendar days of the issuance of the decision or within twenty days after a request is deemed denied pursuant to California Code of Regulations, title 8, section 10133.54, subd. (f), except that the time for filing shall be extended in accordance with California Code of Regulations, title 8, sections 10507 and 10508. The petition shall set forth the specific factual and legal basis for the appeal.
(b) If an application for adjudication has been previously filed, the petition appealing the administrative director's notice shall be filed at the district office having venue and the case number assigned to the application for adjudication shall be assigned to the petition. If an application for adjudication has not been previously filed, an application shall be filed together with the petition, and venue shall be designated and determined in accordance with Labor Code section 5501.5 and California Code of Regulations, title 8, section 10409.
(c) A copy of the petition shall be concurrently served on the administrative director.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Sections 126, 4658.5, 4658.6 and 4658.7, Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10294.5 to new section 10208.11, including amendment of Note, filed 12-10-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 50).
Article 10. Arbitration Submittal Form
§10208.12. Arbitration Submittal Form.
Note     •     History

DWC-CA form 10297 (Arbitration Submittal form) revision dated 11/2008 is incorporated by reference.
NOTE

Authority cited: Sections 111, 133 and 5307.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 126, Labor Code.
HISTORY

1. New article 8 (section 10208.12) and renumbering of former section 10297 to new section 10208.12, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
2. Renumbering of article 8 to article 10 filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
Subchapter 1.9. Rules of the Court Administrator
Article 1. Definitions and General Provisions
§10210. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Sections 110, 4903, 4903.1, 5300, 5500.3, 5501.5, 5501.6 and 5502, Labor Code.
HISTORY

1. Relocation of subchapter 1.9 from preceding section 10250 to precede section 10210, new article 1 (sections 10210-10214) and new section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10210 to new section 10205 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10211. Compliance with Rules of the Court Administrator. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code. Reference: Section 5813, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10211 to new section 10561.5 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10212. District Office Records Not Subject to Subpoena. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Sections 130, 138.7 and 5955, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10212 to new section 10205.1 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10213. Ex Parte and Prohibited Communications.
Note     •     History

(a) No document, including letters or other writings, shall be filed by a party or lien claimant with the district office unless service of a copy is made on all parties together with the filing of a proof of service. When a workers' compensation administrative law judge receives an ex parte letter or other document from any party or lien claimant in a case pending before the workers' compensation administrative law judge, he or she shall serve copies of the letter or document on all other parties to the case with a cover letter explaining that the letter or document was received ex parte in violation of this rule.
(b) No party or lien claimant shall discuss with a workers' compensation administrative law judge the merits of any pending case without the presence of all necessary parties to the proceeding, except as provided by these rules.
(c) All correspondence concerning the examination and reports of a physician appointed pursuant to Labor Code section 5701 or 5703.5 shall be made through the workers' compensation administrative law judge, and no party, attorney or representative shall communicate with that physician with respect to the merits of the case unless ordered to do so.
NOTE

Authority cited: Sections 123.6, 133, 5307(c) and 5500.3, Labor Code. Reference: Sections 123.6, 5502, 5701 and 5703.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10214. Compromise and Release Forms and Stipulations with Request for Award Forms. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code. Reference: Sections 5002, 5003, 5004 and 5005, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10214 to new section 10205.2 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 2. The Electronic Adjudication Management System
§10215. Case Names and Case Index. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5500.3, Labor Code. Reference: Section 126, Labor Code. 
HISTORY

1. New article 2 (sections 10215-10225) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10215 to new section 10205.3 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10216. Adjudication Files. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307 and 5500.3, Labor Code. Reference: Section 126, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10216 to new section 10205.4 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10217. Official Participant Record and Duty to Furnish Correct Address. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5500.3, Labor Code. Reference: Section 126, 127, 5316, 5410, 5502, 5504, 5803 and 5804, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10217 to new section 10205.5 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10218. Designated Preferred Method of Service. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307 and 5500.3, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10218 to new section 10205.6 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10222. Failure to Comply with the Court Administrator's Rules. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127, 133, 5307(c) and 5500.3, Labor Code. Reference: Section 126, 5500.3 and 5502, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10222 to new section 10205.7 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10223. Corrective Measures for Misfiled or Misdirected Documents into the Case Management System. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127, 133, 5307(c) and 5500.3, Labor Code. Reference: Section 126, 5500.3 and 5502, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10223 to new section 10205.8 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10225. Extended System Unavailability. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5500.3, Labor Code. Reference: Sections 5502 and 5700, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10225 to new section 10205.9 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Article 3. Filing of Documents by Parties or Lien Claimants
§10227. Place of Filing Documents After Initial Application or Case Opening Document.
Note     •     History

(a) After the filing and processing of an initial application for adjudication of claim or other case opening document, all documents required or permitted to be filed under these regulations or under the rules of the appeals board shall be filed only with the district office having venue, except as provided by the rules of the appeals board, unless otherwise ordered by a workers' compensation administrative law judge or the appeals board.
NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Sections 126 and 5502 Labor Code.
HISTORY

1. New article 3 (sections 10227-10236) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10228. Manner of Filing Documents. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10228 to new section 10205.10 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10229. Electronic Filing Exemption. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10229 to new section 10205.11 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10230. Time of Filing Documents.
Note     •     History

(a) A paper document, including one filed by mail (regardless of when posted), is deemed filed on the date it is received, if received prior to 5 p.m. of a court day (i.e., Monday through Friday, except designated State holidays). A paper document received after 5 p.m. of a court day shall be deemed filed as of the next court day.
(b) When a document is filed by mail or by personal service, the appeals board or the district office that received the document for filing shall affix on it an appropriate endorsement as evidence of receipt. The endorsement may be made by handwriting, hand-stamp, electronic date stamp, or by other means.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10232. Form and Size Requirements for Filed Documents. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5500.3, Labor Code. Reference: Sections 126 and 5500.3, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10232 to new section 10205.12 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10232.1. Document Cover Sheet Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5500.3, Labor Code. Reference: Sections 126 and 5500.3, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect amending DWC-CA form 10232.1 (incorporated by reference) and amending section filed 6-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 27).
3. Renumbering of former section 10232.1 to new section 10205.13 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10232.2. Document Separator Sheet Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5500.3, Labor Code. Reference: Sections 126 and 5500.3, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect amending DWC-CA form 10232.2 (incorporated by reference) and amending section filed 6-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 27).
3. Change without regulatory effect amending DWC-CA form 10232.2 (incorporated by reference) and amending section filed 9-27-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
4. Renumbering of former section 10232.2 to new section 10205.14 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10233. Filing of Medical Reports, Medical-Legal Reports, and Various Records.
Note     •     History

(a) Except as provided by section 10603, medical reports, medical-legal reports, and medical records, and other records and documents shall be filed only in accordance with the following provisions. 
(b) This subsection shall apply where a declaration of readiness (other than a declaration of readiness for an expedited hearing) is being filed, including a walk-through declaration of readiness.
(1) When filing a declaration of readiness, the filing party or lien claimant shall file the report of any agreed medical evaluator, any qualified medical evaluator, and any treating physician that: (A) are then in its possession or control, (B) are relevant to the issue being raised by the declaration of readiness, and (C) have not been filed previously. No other medical reports, medical-legal reports, medical records, or other documents shall be filed at that time, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
(2) When filing an objection to a declaration of readiness, or within ten days of the filing of the declaration of readiness if no objection is timely filed, each opposing party or lien claimant shall file the report of any agreed medical evaluator, any qualified medical evaluator, and any treating physician that: (A) are then in its possession or control, (B) are relevant to the issue being raised by the declaration of readiness, and (C) have not been filed previously. No other medical reports, medical-legal reports, medical records, or other documents shall be filed at that time, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
(c) This subsection shall apply where a declaration of readiness for an expedited hearing is being filed.
(1) When filing a declaration of readiness for an expedited hearing, the filing party or lien claimant shall file the report of any agreed medical evaluator, any qualified medical evaluator, and any treating physician that: (A) are then in its possession or control, (B) are relevant to the issue being raised by the declaration of readiness, and (C) have not been filed previously. No other medical reports, medical-legal reports, medical records, or other documents shall be filed at that time.
(2) When filing an objection to a declaration of readiness for an expedited hearing, or within ten days of the filing of the declaration of readiness if no objection is timely filed, each opposing party or lien claimant shall file the report of any agreed medical evaluator, any qualified medical evaluator, and any treating physician that: (A) are then in its possession or control, (B) are relevant to the issue being raised by the declaration of readiness, and (C) have not been filed previously. No other medical reports, medical-legal reports, medical records, or other documents shall be filed at that time.
(3) All other medical reports, medical-legal reports, medical records, or other documents that are being proposed as exhibits with respect to the issue being raised by the declaration of readiness, and that have not been filed previously, shall be filed at the time of trial, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
(d) This subsection shall apply where a compromise and release or a stipulations with request for award is being filed, with the exception that this subsection shall not apply when the compromise and release or the stipulations with request for award is being filed on a walk-through basis in accordance with section 10280.
(1) When filing a compromise and release or a stipulations with request for award, the filing party shall file all agreed medical evaluator reports, qualified medical evaluator reports, treating physician reports, and any other medical records or other records (e.g., wage statements) that: (A) are relevant to a determination of the adequacy of the compromise and release or stipulations with request for award; and (B) have not been filed previously.
(2) If the compromise and release or the stipulations with request for award is not approved, and the matter is set for a hearing on the adequacy of the proposed settlement, any additional reports, records, or other documents not previously filed that are being proposed as exhibits shall be filed at the time of the adequacy hearing, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
(3) If the compromise and release or the stipulations with request for award is not approved at or after the adequacy hearing, and the matter is set for a mandatory settlement conference or trial, then any additional medical reports, medical-legal reports, medical records, or other documents that are being proposed as exhibits shall be filed in the same manner as set forth in subsections (g) and (h).
(e) Excerpted portions of relevant physician, hospital or dispensary records shall be filed in accordance with section 10232. 
(f) Excerpted portions of relevant personnel records, wage records and statements, job descriptions, and other business records shall be filed in accordance with section 10232. 
(g) At a mandatory settlement conference, rating mandatory settlement conference, priority conference or lien conference, all other medical reports, medical-legal reports, medical records, or other documents that are being proposed as exhibits with respect to the issue being raised by the declaration of readiness, and that have not been filed previously, shall be filed, but only if the matter is being set for trial, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
(h) At trial, any additional medical reports, medical-legal reports, medical records, or other documents that are being proposed as exhibits with respect to the issue being raised by the declaration of readiness shall be filed, unless otherwise ordered by the appeals board or a workers' compensation administrative law judge.
NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code. Reference: Section 126, 4600, 5500.3 and 5502, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10236. Filing of Copies of Documents.
Note     •     History

(a) Except as provided by section 10603, subd. (a), no “original” business, medical, or other documents shall be filed with a district office.
(b) Only a photocopy or other reproduction of an original document shall be filed, and it is presumed the filed document is an accurate representation of the original document. 
(c) If a party or lien claimant alleges that a filed document is an inaccurate or unreliable, the party alleging the document is inaccurate or unreliable shall state the basis for the objection. The filing party must establish that the document is an accurate representation of the original document. 
(d) A party or lien claimant that elects to retain the original of an exhibit or proposed exhibit need not retain the original after either (1) the exhibit has been authenticated at trial or (2) a settlement that resolves all pending issues has been approved and all appeals have been exhausted or the time for seeking appellate review has expired.
NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code. Reference: Sections 126 and 5500.3, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Article 4. Appearances, the Form of Minutes of Hearings and Minute Orders
§10240. Appearances Required.
Note     •     History

(a) All parties and lien claimants shall appear at all hearings, except as provided below:
(1) Where injury arising out of and in the course of employment is at issue, lien claimants not defined as a party under subdivision 10210(y)(3) shall not be required to appear at the mandatory settlement conference or trial, unless otherwise ordered by the workers' compensation administrative law judge.
(2) Where liability for the claim has been accepted, lien claimants not defined as a party under subdivision 10210(y)(3), with a lien claim of $25,000 or more, shall appear or have a representative appear at the mandatory settlement conference or lien conference, unless the appearance is excused by the workers' compensation administrative law judge.
(3) Lien claimants not defined as a party under subdivision 10210(y)(3) with liens of less than $25,000 shall be available by telephone with settlement authority and shall notify defendant(s) of the telephone number at which the defendant may reach the lien claimants during the mandatory settlement conference or lien conference. The workers' compensation administrative law judge may order the appearance of lien claimants not defined as a party under subdivision 10210(y)(3), with liens of less than $25,000 at a mandatory settlement conference or lien conference. 
(4) All lien claimants shall appear at trial at which their lien(s) is an issue to be decided.
(b) All parties shall have a person available with settlement authority at the mandatory settlement conference or lien conference. The person with settlement authority need not be present if an attorney or representative who is present at these proceedings can obtain immediate authority by telephone. 
(c) Unless the notice otherwise provides, the applicant shall be present at a mandatory settlement conference as provided in Labor Code section 5502, subd. (e).
(d) Appearance at a hearing not covered under this section shall be at the discretion of the workers' compensation administrative law judge.
NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5500.3, Labor Code. Reference: Sections 5502 and 5700, Labor Code.
HISTORY

1. New article 4 (sections 10240-10246) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10241. Failure to Appear.
Note     •     History

(a) Where a party or a lien claimant is served with notice of trial pursuant to section 10240 and fails to appear either in person or by attorney or representative, the workers' compensation administrative law judge may: 
(1) dismiss the application after issuing a notice of intention to dismiss pursuant to California Code of Regulations, title 8, section 10562; 
(2) dismiss the lien claim after issuing a notice of intention to dismiss pursuant to California Code of Regulations, title 8, section 10562; 
(3) hear the evidence and, after service of the minutes of hearing and summary of evidence that shall include notice of intention to submit the case for decision pursuant to California Code of Regulations, title 8, section 10562. 
(b) Where a party or a lien claimant is served with notice of a conference or mandatory settlement conference pursuant to section 10240 and fails to appear at the conference, the workers' compensation administrative law judge may: 
(1) dismiss the application after issuing a notice of intention to dismiss pursuant to California Code of Regulations, title 8, section 10562; 
(2) dismiss the lien claim after issuing a notice of intention to dismiss with or without prejudice pursuant to California Code of Regulations, title 8, section 10562; 
(3) close discovery and forward the case to the presiding workers' compensation administrative law judge to set for trial. 
(c) Where a party, after notice, fails to appear at either a trial or a conference and good cause is shown for failure to appear, the workers' compensation administrative law judge may take the case off calendar or may continue the case to a date certain. 
NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Sections 5502(e) and 5700, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10243. Continuances.
Note     •     History

Requests for continuances are inconsistent with the requirement that workers' compensation proceedings be expeditious and are not favored. Continuances will be granted only upon a clear showing of good cause. Where possible, reassignment pursuant to section 10346 shall be used to avoid continuances.
NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Article XIV, Section 4, California Constitution; and Sections 5502 and 5502.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10244. Appearances in Settled Cases.
Note     •     History

When the parties represent to the workers' compensation administrative law judge assigned to the case that a case has been settled, the case shall be taken off calendar and no appearances shall be required.
NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Article XIV, Section 4, California Constitution; and Sections 5502 and 5502.5, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10245. Minutes of Hearing Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 126, 127.5, 133 and 5307(c), Labor Code. Reference: Sections 5307 (c), 5307.5(b), 5313, 5500.3 and 5502, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10245 to new section 10208.1 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10246. Electronically Filed Decisions, Findings, Awards, and Orders.
Note     •     History

The district office may electronically file any decision, findings, award, order or other document issued by a workers' compensation administrative law judge. Any document that is electronically filed shall have the same legal effect as a document in paper form.
NOTE

Authority cited: Sections 127.5, 133 and 5307(c), Labor Code. Reference: Section 5307(c), 5307.5(b) and 5313, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Subchapter 1.9. Rules of the Court Administrator
Article 5. Declarations of Readiness to Proceed and Objections and Hearing Calendars
§10250. Declaration of Readiness to Proceed.
Note     •     History

(a) Applications or petitions shall not be placed on calendar for mandatory settlement conferences, status conferences, priority conferences, expedited hearing or any other hearing unless one of the parties has filed and served a declaration of readiness to proceed in the form prescribed by the court administrator. The declaration of readiness shall be served on all other parties and lien claimants.
(b) All declarations of readiness to proceed shall state under penalty of perjury the moving party has made a genuine, good faith effort to resolve the dispute before filing the declarations of readiness to proceed, and shall state with specificity the same on the declarations of readiness to proceed.
(c) A false declaration or certification by any party, lien claimant, attorney or representative may give rise to proceedings under Labor Code section 134 for contempt or Labor Code section 5813 for sanctions.
(d) If a party or lien claimant is represented by an attorney or representative any declaration of readiness filed on behalf of the party shall be executed by the attorney or representative. 
NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5502(a), Labor Code. Reference: Sections 134, 5500.3, 5502 and 5813, Labor Code.
HISTORY

1. New subchapter 1.9 (section 10250) and section filed 12-31-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-1-2004 order transmitted to OAL 4-30-2004; disapproved by OAL and order of repeal filed 6-15-2004 (Register 2004, No. 27).
3. New subchapter 1.9 (section 10250) and section filed 6-30-2004; operative 6-30-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 27).
4. Relocation of subchapter 1.9 heading from preceding section 10250 to preceding 10210, new article 5 (sections 10250-10256) and repealer and new section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10250.1. Declaration of Readiness to Proceed Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5502(a), Labor Code.  Reference: Sections 5500.3, 5502 and 5813, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect amending DWC-CA form 10250.1 (incorporated by reference) and amending section filed 6-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 27).
3. Editorial correction repealing History 2 and renumbering Histories (Register 2011, No. 25).
4. Change without regulatory effect amending DWC-CA form 10250.1 (incorporated by reference) and amending section filed 6-20-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
5. Renumbering of former section 10250.1 to new section 10208.2 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10251. Objection to Declaration of Readiness to Proceed.
Note     •     History

(a) Any objection to a declaration of readiness to proceed shall be filed and served within ten (10) calendar days after service of the declaration. The objection shall set forth, under penalty of perjury, specific reason why the case should not be set or why the requested proceedings are inappropriate. 
(b) A false declaration or certification filed under this section by any party, lien claimant, attorney or representative may give rise to proceedings under Labor Code section 134 for contempt or Labor Code section 5813 for sanctions.
(c) If a party or lien claimant is represented, the attorney or representative shall execute any objection to the declaration of readiness to proceed on behalf of the party. Declarations of readiness to proceed shall be reviewed by the presiding workers' compensation administrative law judge or any workers' compensation administrative law judge designated by the presiding workers' compensation administrative law judge, who will determine on the basis of the facts stated in the declaration whether the objection should be sustained. 
(d) If a party has received a copy of the declaration of readiness to proceed and has not filed an objection under this section, that party shall be deemed to have waived any and all objections to proceeding on the issues specified in the declaration, absent extraordinary circumstances.
NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5502(a), Labor Code. Reference: Sections 134, 5502 and 5813, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10252. Expedited Hearing Calendar.
Note     •     History

(a) Where injury to any part or parts of the body is accepted as compensable by the employer, a party is entitled to an expedited priority hearing and decision upon the filing of an application for adjudication of claim and a declaration of readiness to proceed pursuant to section 10250 establishing a bona fide, good faith dispute as to: 
(1) the employee's entitlement to medical treatment pursuant to Labor Code section 4600;
(2) the employee's entitlement to, or the amount of, temporary disability indemnity payments; 
(3) the employee's entitlement to vocational rehabilitation services, or the termination of an employer's liability to provide these services to an employee; or 
(4) the employee's entitlement to compensation from one or more responsible employers when two or more employers dispute liability as among themselves. 
(b) An expedited hearing may be set upon request where injury to any part or parts of the body is accepted as compensable by the employer and the issues include medical treatment or temporary disability for a disputed body part or parts. 
(c) A workers' compensation administrative law judge assigned to a case involving a disputed body part or parts may redesignate the expedited hearing as a mandatory settlement conference, receive a pretrial conference statement pursuant to Labor Code section 5502, subd. (e) (3), close discovery, and schedule the case for trial on the issues presented, if the workers' compensation administrative law judge determines, in consultation with the presiding workers' compensation administrative law judge, that the case is not appropriate for expedited determination.
(d) Grounds for the redesignation of an expedited hearing includes, but is not limited to, cases where the direct and cross-examination of the applicant will be prolonged, or where there are multiple witnesses who will offer extensive testimony. 
(e) The parties are expected to submit for decision all matters properly in issue at a single trial and to produce all necessary evidence, including witnesses, documents, medical reports, payroll statements and all other matters considered essential in the proof of a party's claim or defense.
NOTE

Authority cited: Sections 127.5, 133 and 5502(b), Labor Code. Reference: Section 5502(b), Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10136 to section 10252, including amendment of subsection (c), filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
2. Repealer and new section heading and amendment of section and Note filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10252.1. Expedited Hearing Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133 and 5502(b), Labor Code. Reference: Section 5502(b), Labor Code.
HISTORY

1. Change without regulatory effect renumbering former section 10137 to section 10252.1 filed 4-7-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 15).
2. Repealer and new section and amendment of Note filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
3. Change without regulatory effect renumbering former section 10252.1 to new section 10208.3 filed 12-10-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 50).
§10253. Settlement Conference Calendar.
Note     •     History

(a) In accordance with Labor Code section 5502, subd. (e) (2), the workers' compensation administrative law judge shall have authority to inquire into the adequacy and completeness, including provision for lien claims, of compromise and release agreements or stipulations with request for award or orders, and to issue orders approving compromise and release agreements or awards or orders based upon approved stipulations, to make orders and rulings regarding admission of evidence and discovery matters, including admission of offers of proof and stipulations of testimony where appropriate and necessary for resolution of the dispute by the workers' compensation administrative law judge, and may submit and decide the dispute on the record pursuant to the agreement of the parties. The workers' compensation administrative law judge shall not hear sworn testimony at any conference. 
(b) The workers' compensation administrative law judge may continue a conference to a time certain to facilitate a specific resolution of the dispute subject to Labor Code section 5502, subd. (e)(1). 
(c) Subject to the provisions of Labor Code section 5502.5, upon a showing of good cause, the workers' compensation administrative law judge may continue a mandatory settlement conference to a date certain, may continue it to a status conference on a date certain, or may take the case off calendar. In such a case, the workers' compensation administrative law judge shall note the reasons for the continuance or order taking off calendar in the minutes. The minutes shall be served on all parties and lien claimants, and their representatives. 
(d) Absent resolution of the dispute, the parties shall file at the mandatory settlement conference a joint pre-trial conference statement setting forth the issues and stipulations for trial, witnesses, and exhibits. 
(e) A summary of conference proceedings including the joint pre-trial conference statement and the disposition shall be filed by the workers' compensation administrative law judge in the adjudication file and shall be served on the parties and lien claimants.
NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5502, Labor Code. Reference: Sections 5502 and 5502.5, Labor Code
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10253.1. Pre-Trial Conference Statement Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307, 5500.3 and 5502, Labor Code. Reference: Section 5502, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect amending DWC-CA form 10253.1 (incorporated by reference) and section filed 9-14-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 38).
3. Renumbering of former section 10253.1 to new section 10208.4 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10254. Priority Conference Calendar.
Note     •     History

(a) A priority conference shall be set upon the filing of a declaration of readiness requesting a priority conference that shows that the applicant is represented by an attorney and that the issues in dispute include employment and /or injury arising out of and in the course of employment.
(b) Upon a showing of good cause, a workers' compensation administrative law judge may continue the matter to a status conference. At each priority or status conference, the parties shall be prepared to set the matter for trial or to provide a plan to complete discovery.
(c) To the extent possible, all priority and status conferences in a case shall be conducted by the same workers' compensation administrative law judge. When discovery is complete, or when the workers' compensation administrative law judge determines that the parties have had sufficient time to complete reasonable discovery, the case shall be set for trial as expeditiously as possible. 
NOTE

Authority cited: Sections 127.5, 133, 5307 and 5502(c), Labor Code. Reference: Section 5502(c), Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10256. Setting the Case.
Note     •     History

(a) A presiding workers' compensation administrative law judge or a workers' compensation administrative law judge, using sound discretion, may on his or her own motion set any case for hearing.
(b) The parties are expected to submit for decision all matters properly in issue at a single trial and to produce all necessary evidence, including witnesses, documents, medical reports, payroll statements and all other matters considered essential in the proof of a party's claim or defense. However, a workers' compensation administrative law judge may order that the issues in a case be bifurcated and tried separately upon a showing of good cause. 
NOTE

Authority cited: Sections 127.5, 133, 5307(c) and 5502(a), Labor Code. Reference: Sections 5307(c) and 5502(a), Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Article 6. Consolidation Procedures
§10260. Assignment of Consolidated Cases.
Note     •     History

(a) Any request or petition to consolidate cases that are assigned to different workers' compensation administrative law judges in the same district office, or that have not been assigned but are venued at the same district office, shall be referred to the presiding workers' compensation administrative law judge of that office, whether the cases involve the same injured worker or multiple injured workers.
(b) Any request or petition to consolidate cases involving the same injured worker that are assigned to workers' compensation administrative law judges at different district offices, or that have not been assigned but are venued at different district offices, shall first be referred to the presiding workers' compensation administrative law judges of the district offices to which the cases are assigned. If the presiding workers' compensation administrative law judges are unable to agree on where the cases will be assigned for hearing, the conflict shall be resolved by the court administrator upon referral by one of the presiding judges.
(c) Any request or petition to consolidate cases involving multiple injured workers that are assigned to workers' compensation administrative law judges at different district offices, or that have not been assigned but are venued at different district offices, shall be referred to the court administrator.
(d) In resolving any request or petition to consolidate cases that are assigned to workers' compensation administrative law judges at different district offices, or that have not been assigned but are venued at different district offices, the court administrator shall set the request or petition for a conference regarding the place of hearing. At or after the conference, the court administrator shall determine the place of hearing and may determine the workers' compensation administrative law judge to whom the cases will be assigned, giving consideration to the factors set forth in California Code of Regulations, title 8, section 10589. In reaching any determination, the court administrator may assign a workers' compensation administrative law judge to hear any discovery motions and disputes relevant to discovery in the action and to report their findings and recommendations to the court administrator.
(e) Any party aggrieved by the determination of the court administrator may request proceedings pursuant to Labor Code section 5310, except that an assignment to a particular workers' compensation administrative law judge shall be challenged only in accordance with the provisions of California Code of Regulations, title 8, sections 10452 and 10453.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5303 and 5708, Labor Code.
HISTORY

1. New article 6 (section 10260) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Article 7. Access to Records and Retention of Records
§10270. Access to and Viewing Adjudication Files. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133, 138.7, 5307(c) and 5500.3, Labor Code. Reference: Sections 5502 and 5700, Labor Code.
HISTORY

1. New article 7 (sections 10270-10275) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10270 to new section 10208.5 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10271. Prohibitions on Document Inspection. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code; and Section 6253.4, Government Code. Reference: Sections 126, 127 and 138.7, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10271 to new section 10208.6 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10272. Sealing Documents.
Note     •     History

(a) The presiding workers' compensation administrative law judge or the appeals board may order sealed medical reports, medical records or other documents filed in a case containing references to or discussions of mental or emotional health of any person, sexual habits or practice, use of or addiction to alcohol or other drugs, or other matters of similar character. In a case involving an unrepresented injured employee, the presiding workers' compensation administrative law judge or appeals board may on his, her, or its own motion seal a document or documents after compliance with subdivision (d). Within twenty court days after the order sealing documents, the presiding workers' compensation administrative law judge or the appeals board shall allow the injured worker an opportunity to object to the order.
(b)(1) A party requesting that a document or documents be sealed shall file a petition for an order sealing the requested records. The petition must be accompanied by a memorandum of points and authorities and a declaration containing facts sufficient to justify the sealing.
(2) The party requesting that a record or records be filed under seal must lodge it with the district office under (d) when the petition is filed or with the appeals board if the matter is pending on petition for reconsideration, removal or disqualification, unless good cause exists for not lodging it. Pending the determination of the petition, the lodged records will be conditionally under seal. 
(3) If necessary to prevent disclosure, the petition, any opposition, and any supporting documents must be filed in a public redacted version and lodged in a complete version conditionally under seal.
(4) If the presiding workers' compensation administrative law judge or appeals board denies the petition to seal, the clerk must return the lodged record to the submitting party and must not place it in the adjudication file.
(5) A document filed with the district office or appeals board shall not disclose material contained in a previously filed document that is sealed, conditionally under seal, or subject to a pending petition to seal.
(c)(1) The party requesting that a record be filed under seal shall put it in a manila envelope or other appropriate container, seal the envelope or container, and lodge it with the district office or with the appeals board if the matter is pending on petition for reconsideration, removal or disqualification.
(2) The envelope or container lodged with the court must be labeled “CONDITIONALLY UNDER SEAL.”
(3) The party submitting the lodged record shall affix to the envelope or container a cover sheet that:
(A) Contains a case number and
(B) States that the enclosed record is subject to a petition to file the record under seal.
(4) Upon receipt of a record lodged under this rule, the district office or the appeals board shall endorse the affixed cover sheet with the date of its receipt and must retain but not file the record unless ordered to do so.
(d) The presiding workers' compensation administrative law judge or the appeals board may order that a document be filed under seal or sealed only if he, she, or it expressly finds facts that establish:
(1) There exists an overriding public interest that overcomes the right of public access to the record;
(2) The overriding public interests supports sealing the record;
(3) A substantial probability exists that the overriding public interest will be prejudiced if the record is not sealed;
(4) The proposed sealing is narrowly tailored; and
(5) No less restrictive means exists to achieve the overriding public interest.
(e)(1) If an order is made that a document or documents be sealed, the order shall be filed in the record of the proceedings. The order shall set forth the facts that support the findings and direct the sealing of only those documents and pages, or if practicable, portions of those documents and pages, that contain the material that needs to be placed under seal.
(2) If the order directs that an entire document shall be sealed, and if the sealed document is contained in a paper adjudication file, the sealed document shall be placed in a sealed envelope, which shall be removed from the file before the file is made available for public inspection. If the sealed document is in an electronic adjudication file, the document shall be marked as sealed. No entirely sealed document in a paper file or an electronic file shall be available for public inspection.
(3) If the order directs that a portion or portions of a document be sealed, and if the partially sealed document is contained in a paper adjudication file, the partially sealed document shall be placed in a sealed envelope, however, a version of the document with the sealed portion redacted shall be made available for public inspection. If the sealed document is in an electronic adjudication file, a version of the document with the sealed portion redacted also shall be electronically maintained and shall be made available for public inspection.
(f) Sealed documents shall be made available for inspection by any party to the case or by his representative, subject to any reasonable conditions and limitations as the presiding workers' compensation administrative law judge or the appeals board may impose. 
(g) Sealed documents shall not otherwise be made available for public inspection except by order of a workers' compensation administrative law judge or the appeals board which shall be made only on a showing that good cause exists to permit the inspection.
NOTE

Authority cited: Sections 127, 133 and 5307, Labor Code. Reference: Section 5307(c), Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10273. Retention, Return and Destruction of Records and Exhibits. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5500.3, Labor Code. Reference: Section 136, 135 and 5708, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10273 to new section 10208.7 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10275. Recording of Trial Level Proceedings.
Note     •     History

(a) For the purposes of this section, “recording” means any photographing, recording, or broadcasting of trial level proceedings using video, film, audio, any digital media or other equipment.
(b) Except as provided in this rule, trial level proceedings shall not be photographed, recorded, or broadcast. This rule does not prohibit the Division of Workers' Compensation from photographing or videotaping sessions for judicial education or publications and is not intended to apply to closed-circuit television broadcasts solely within the Division of Workers' Compensation or between Division of Workers' Compensation facilities if the broadcasts are controlled by the Division of Workers' Compensation and Division of Workers' Compensation personnel. 
(c) Recording shall be permitted only on written order of the workers' compensation administrative law judge assigned to the case as provided in this subdivision. The workers' compensation administrative law judge in his or her discretion may permit, refuse, limit, or terminate recording. 
(1) Any person who wishes to record a trial level proceeding shall make a written request to the presiding workers' compensation administrative law judge for permission to record the proceeding at least five business days before the proceeding commences unless good cause to shorten time is shown. The workers' compensation administrative law judge assigned to the proceeding shall rule upon the request. The district office shall promptly notify the parties that a request has been filed.
(2) The workers' compensation administrative law judge may hold a hearing on the request or rule on the request without a hearing.
(3) In ruling on the request, the workers' compensation administrative law judge shall consider the following factors:
(A) Importance of maintaining public trust and confidence in the workers' compensation system;
(B) Importance of promoting public access to the workers' compensation system;
(C) Parties' support of or opposition to the request;
(D) Nature of the case;
(E) Privacy rights of all participants in the proceeding, including witnesses;
(F) Effect on any minor who is a party, prospective witness, or other participant in the proceeding;
(G) Effect on any ongoing law enforcement activity in the case;
(H) Effect on any subsequent proceedings in the case;
(I) Effect of coverage on the willingness of witnesses to cooperate, including the risk that coverage will engender threats to the health or safety of any witness;
(J) Effect on excluded witnesses who would have access to the televised testimony of prior witnesses;
(K) Security and dignity of the trial level proceeding;
(L) Undue administrative or financial burden to the Division of Workers' Compensation or participants;
(M) Interference with neighboring hearing rooms;
(N) Maintaining orderly conduct of the proceeding;
(O) Any other factor the workers' compensation administrative law judge deems relevant.
(4) The workers' compensation administrative law judge's ruling on the request to permit recording is not required to make findings or a statement of decision. The workers' compensation administrative law judge may condition the order permitting recording of the proceedings on the requestor's agreement to pay any increased costs incurred by the Division of Workers' Compensation resulting from recording the proceeding (for example, for additional security). The requestor shall be responsible for ensuring that any person who records the trial level proceedings on their behalf know and follow the provisions of the order and this rule. 
(5) The order permitting recordation may be modified or terminated on the workers' compensation administrative law judge's own motion or upon application to the workers' compensation administrative law judge without the necessity of a prior hearing or written findings. Notice of the application and any modification or termination ordered pursuant to the application shall be given to the parties and each person permitted by the previous order to record the proceeding.
(6) The workers' compensation administrative law judge shall not permit recording of the following: 
(A) Proceedings held in chambers which are not transcribed by a hearing reporter;
(B) Proceedings closed to the public; and
(C) Conferences between an attorney and a client, witness, or aide, between attorneys, or between counsel and the workers' compensation administrative law judge at the bench, unless transcribed by a hearing reporter.
(7) The workers' compensation administrative law judge may require a demonstration that people and equipment comply with this rule. The workers' compensation administrative law judge may specify the placement of equipment to minimize disruption of the proceedings.
(8) The following rules shall apply to all recording:
(A) One video recording device and one still photographer shall be permitted.
(B) The equipment used shall not produce distracting sound or light. Signal lights or devices to show when equipment is operating shall not be visible.
(C) Microphones and wiring shall be unobtrusively located in places approved by the workers' compensation administrative law judge and shall be operated by one person.
(D) Operators shall not move equipment or enter or leave the courtroom while the proceeding is in session, or otherwise cause a distraction.
(E) Equipment or clothing shall not bear the insignia or marking of a media agency.
(9) If two or more people request recordation of a proceeding, they shall file a statement of agreed arrangements. If they are unable to agree, the workers' compensation administrative law judge may deny a request to record the proceeding.
(d) Any violation of this rule or an order made under this rule is an unlawful interference with the proceedings may be the basis for an order terminating recording, a citation for contempt, or an order imposing monetary or other sanctions as provided by law. 
(e) Notwithstanding (a) through (d), a workers' compensation administrative law judge may permit inconspicuous personal recording devices to be used by parties in a courtroom to make sound recordings as personal notes of the proceedings. A person proposing to use a recording device shall obtain advance permission from the workers' compensation administrative law judge before recording the proceeding. The recording shall not be used for any purpose other than as personal notes, and shall not constitute evidence as to any matter recorded. The right on any individual to use a personal recording device shall be suspended if, in the workers' compensation administrative law judge's sole discretion, it appears that (1) the continued recording of the proceedings will inhibit any party or witness from participation in the proceeding; or (2) the recording is done in a manner that threatens to disrupt the proceeding.
NOTE

Authority cited: Sections 127, 5307(c) and 5500.3, Labor Code. Reference: Section 5307(c), Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Article 8. Procedures for Requesting Immediate Action by a Judge
§10280. Walk-Through Documents.
Note     •     History

(a) A “walk-through” document is a document that is presented to a workers' compensation administrative law judge for immediate action. Notwithstanding the provisions of section 10250 (relating to the filing of declarations of readiness) and section 10544 (relating to notices of hearing), the following provisions shall govern walk-through documents.
(b) Each district office will have a designee of the presiding workers' compensation administrative law judge available to assign walk-through cases from 8:00 a.m. to 11:00 a.m. and 1:00 p.m. to 4:00 p.m. on court days. 
(c) The following documents may be submitted on a walk-through basis: 
(1) Compromise and releases; 
(2) Stipulations with request for award; 
(3) Petitions for attorney's fees for representation of the applicant in vocational rehabilitation; 
(4) Petitions for attorney's fees for representation of the applicant at a deposition; and 
(5) Petitions to compel attendance at a medical examination or deposition. 
(d) The following procedures shall be followed for filing walk-through documents:
(1) A walk-through settlement document (i.e., a compromise and release or a stipulations with request for award), and all supporting medical reports and other supporting documents not previously filed, shall be filed directly with the workers' compensation administrative law judge at the date and time of the walk-through. The party presenting the walk-through settlement shall use the appropriate form, document cover sheet, and document separator sheet. Permanent and stationary medical or medical-legal reports shall be indicated as such. In addition, each walk-through settlement document (i.e., a compromise and release or a stipulations with request for award) shall be accompanied by a proof of service showing that the settlement document was served on all other parties to the settlement, on any defendant not executing the settlement who may be liable for the payment of additional compensation, and on all lien claimants whose liens have not been resolved.
(A) A case opening settlement document being submitted for a walk-through shall be submitted no later than noon (12:00 p.m.) of the court day before any action on the walk-through, and shall be designated as a walk-through document. All documents in support of the settlement document shall be submitted at the walk-through with the assigned judge.
(2) A walk-through petition (i.e., a petition for vocational rehabilitation attorney's fees, a petition for deposition attorney's fees, or a petition to compel attendance at a medical examination or deposition) and all other documents relating to the walk-through petition, including any supporting documentation shall be filed directly with the workers' compensation administrative law judge at the date and time of the walk-through. The party presenting the walk-through petition shall use the appropriate form, document cover sheet, and document separator. In addition, at the date and time of the walk-through, the party filing the walk-through petition shall file a proof of service directly to the workers' compensation administrative law judge, as follows:
(A) For a petition for attorney's fees for representation of the applicant in vocational rehabilitation, a proof of service showing service on the injured worker and the defendant alleged to be liable for paying the fees.
(B) For a petition for attorney's fees for representation of the applicant at a deposition, a proof of service showing service on the injured worker and the defendant alleged to be liable for paying the fees.
(C) For a petition to compel attendance at a medical examination or deposition, a proof of service showing service on the injured worker, the injured worker's attorney, and all defendants.
(e) When appearing for the walk-through proceeding, the party filing the walk-through document shall appear before the district office staff person designated by the presiding workers' compensation administrative law judge to assign the walk-through document to a workers' compensation administrative law judge. The filing party shall then appear before the assigned judge. If the assigned judge is unavailable for any reason, the filing party shall then proceed to the presiding workers' compensation administrative law judge for possible reassignment to another judge.
(f) A workers' compensation administrative law judge who is presented with a walk-through settlement document shall approve it, disapprove it, suspend action on it, or accept it for later review and action. If a workers' compensation administrative law judge is presented with so many walk-through settlement documents that review of them will interfere with the cases scheduled before him or her for hearing, the judge may refer the walk-through settlement to the presiding judge for possible reassignment to another judge. 
(g) A walk-through document may be acted on only by a workers' compensation administrative law judge at the district office that has venue. If an injured worker has existing cases at two or more district offices that have venue, a walk-through document may be filed at any office having venue over an existing case that is a subject of the walk-through document. An existing case is a case that has been filed and assigned a case number prior to the filing of the walk-through document. 
(h) A walk-through document may be acted on by any workers' compensation administrative law judge except as follows: 
(1) If a judge has taken testimony, any walk-through document in that case must be acted on by the judge who took testimony if that judge works at the district office to which the case is assigned, unless the presiding judge allows it to be acted on by another judge. 
(2) If a judge has reviewed a document and declined to approve it, a walk-through document in that case must be acted on by the same judge, if that judge works at the district office to which the case is assigned, unless the presiding judge allows it to be acted on by another judge. 
(i) A workers' compensation judge who is presented with a walk-through petition for attorney's fees or petition to compel attendance shall issue an order in compliance with section 10349.
NOTE

Authority cited: Sections 127.5, 133 and 5307(c), Labor Code. Reference: Sections 4053, 4054, 5001, 5002, 5702 and 5710, Labor Code. 
HISTORY

1. New article 8 (sections 10280-10281) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10281. Emergency Petitions for Stay.
Note     •     History

(a) A party may present to the presiding workers' compensation administrative law judge of the district office having venue a petition to stay an action by another party pending a hearing.
(b) Each district office will have a designee of the presiding workers' compensation administrative law judge available to assign petitions for stay from 8:00 a.m. to 11:00 a.m. and 1:00 p.m. to 4:00 p.m. on court days. 
(c) A party who walks through a petition to stay an action shall provide notice to the opposing party or parties no later than 10:00 a.m. of the immediately preceding court day. This notice shall: (1) state with specificity the nature of the relief to be requested by the petition to stay; and (2) state the date, time, and place that the petition to stay will be presented. A copy of the petition to stay shall be attached to the notice. The notice shall be given by either fax or e-mail. If notice by fax or e-mail fails, or if an opposing party's fax number or e-mail address are unknown, notice shall be given in the manner best calculated to expeditiously and timely advise the opposing party of the information set forth in subdivisions (c)(1) and (c)(2), including notice by phone or by overnight mail or delivery service. First-class mail shall not be utilized for notice of a petition to stay an action.
(d) A petition to stay an action shall be accompanied by a declaration regarding notice stating under penalty of perjury: (1) the notice given, including the date, time, manner, and name of the party informed; (2) the relief sought; and (3) whether opposition is expected. In addition, if the petitioner was unable to give timely notice to the opposing party, the declaration under penalty of perjury also shall state that the petitioner in good faith attempted to inform the opposing party but was unable to do so, specifying the efforts made to inform the opposing party.
(e) Upon the receipt of a proper petition to stay an action, the presiding workers' compensation or his or her designee shall, in his or her discretion, either: (1) deny the petition; (2) grant a temporary stay and set the petition for a formal hearing; or (3) set the petition for a formal hearing, without either denying the petition or granting a temporary stay. 
NOTE

Authority cited: Sections 127.5, 133 and 5307(c), Labor Code. Reference: Sections 4053, 4054, 4902, 5001, 5002, 5702 and 5710, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
Article 9. Review of Administrative Orders Issued by the Administrative Director
§10290. Petition Appealing Order Granting or Denying Petition for Order Requiring Employee to Select Employer-Designated Physician. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133 and 5307(c), Labor Code. Reference: Sections 4603 and 4604, Labor Code.
HISTORY

1. New article 9 (sections 10290-10294.5) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10290 to new section 10208.8 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10291. Petition Appealing Notice of Compensation Due. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127.5, 133 and 5307(c), Labor Code. Reference: Sections 129, 5300 and 5301, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10291 to new section 10208.9 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10293. Petition Appealing Order of the Rehabilitation Unit. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 127, 133 and 5307(c), Labor Code. Reference: Sections 139.5, 4603, 4604 and 5500, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10293 to new section 10208.10 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10294. Petition Appealing Determination of a Return to Work Reimbursement.
Note     •     History

(a) An eligible employer may appeal the administrative director's notice under section 10119, subd. (i)(1) and (2), by filing a “Petition Appealing Administrative Director's Reimbursement Allowance,” setting forth the basis of the appeal. The petition shall be filed within twenty (20) days from the date of the issuance of the administrative director's notice.
(b) If an application for adjudication has been previously filed, the petition appealing the administrative director's notice shall be filed at the district office having venue and the case number assigned to the application for adjudication shall be assigned to the petition. If an application for adjudication has not been previously filed, an application shall be filed together with the petition, and venue shall be designated and determined in accordance with Labor Code section 5501.5 and California Code of Regulations, title 8, section 10409.
(c) A “Petition Appealing Administrative Director's Reimbursement Allowance” shall be accompanied by a declaration of readiness.
(d) A copy of the petition shall be concurrently served on the administrative director.
NOTE

Authority cited: Sections 133, 139.48 and 5307.3, Labor Code. Reference: Sections 62.5, 139.48 and 5814.6, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10294.5. Petition Appealing Determination Regarding Supplemental Job Displacement Benefits. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307.3, Labor Code. Reference: Sections 4658.5 and 4658.6, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Change without regulatory effect renumbering former section 10294.5 to new section 10208.11 filed 12-10-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 50).
Article 10. Arbitration
§10295. Mandatory Arbitration.
Note     •     History

(a) This rule applies to injuries occurring on or after January 1, 1990. 
(b) Any application for adjudication that lists one or more disputes involving an issue set forth in Labor Code section 5275, subd. (a), shall be accompanied by an arbitration submittal form. The arbitration submittal form shall indicate that either: 
(1) an arbitrator has been selected pursuant to Labor Code section 5271, subd. (a), or 
(2) an unsuccessful attempt has been made to select an arbitrator and the presiding workers' compensation administrative law judge is requested pursuant to Labor Code section 5271, subd. (b), to assign a panel of five arbitrators. 
(c) If the parties have agreed to an arbitrator pursuant to Labor Code section 5271, subd. (c), the presiding workers' compensation administrative law judge shall, within six (6) days of receipt of the arbitration submittal form, order the issue or issues in dispute submitted for arbitration pursuant to Labor Code sections 5272, 5273, 5276 and 5277. 
(d) If the arbitration submittal form requests a panel pursuant to Labor Code section 5271, subd. (b), the presiding workers' compensation administrative law judge shall, within six (6) days of receipt of the arbitration submittal form, serve on each of the parties an identical list of five arbitrators selected at random pursuant to Labor Code 5271, subd. (b). For each party in excess of one party in the capacity of employer and one party in the capacity of injured employee or lien claimant, the presiding workers' compensation administrative law judge shall randomly select two additional arbitrators to add to the panel in accordance with the selection process set forth in Labor Code section 5721, subd. (c). Each of the parties shall strike two arbitrators from the list and return it to the presiding workers' compensation administrative law judge within six (6) days after service. Failure to timely return the list shall constitute a waiver of a party's right to participate in the selection process. If one arbitrator remains, the presiding workers' compensation administrative law judge shall, within six (6) days of return of the lists from the parties, order the issue or issues submitted for arbitration before the selected arbitrator pursuant to Labor Code sections 5272, 5273, 5276 and 5277. If more than one arbitrator remains on the panel, the presiding workers' compensation administrative law judge shall randomly select an arbitrator from the remaining panelists. 
(e) If the parties to the dispute have stricken all the arbitrators from the panel, the presiding workers' compensation administrative law judge shall, within six (6) days of receipt of the last of the returned lists, serve on each of the parties to the dispute a new list of five arbitrators and any additional arbitrators required by Labor Code section 5271, subd. (c), selected at random but excluding the names of the arbitrators on the prior list. Each of the parties to the dispute shall again strike two arbitrators from the list and return it to the presiding workers' compensation administrative law judge within six (6) days after service. This procedure shall continue until one or more arbitrators remain on the lists returned to the presiding workers' compensation administrative law judge.
(f) The parties shall provide all necessary materials to the arbitrator. Any paper file shall remain in the custody of the district office.
(g) A copy of any final decision, order or award from the arbitrator, together with a copy of the record developed as set forth in Labor Code sections 5276 and 5277, shall be filed with the presiding workers' compensation administrative law judge of the district office having venue. The district office shall scan the copies of the arbitrator's the decision, order or award and record into the EAMS adjudication file and, after scanning, shall destroy the copies.
NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Sections 5270-5277, Labor Code. 
HISTORY

1. New article 10 (sections 10295-10297) and section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10296. Voluntary Arbitration.
Note     •     History

(a) At any time, the parties may agree to submit any issue for arbitration pursuant to Labor Code section 5275, subdivision (b), by submitting an arbitration submittal form that indicates that the parties have selected an arbitrator pursuant to Labor Code section 5271, subdivision (a), and by filing an application for adjudication if one has not been previously filed.
(b) Within six (6) days of receipt of the arbitration submittal form, the presiding workers' compensation administrative law judge shall order the issues in dispute submitted for arbitration pursuant to Labor Code sections 5272, 5273, 5276 and 5277. 
(c) If the parties are unable to agree to an arbitrator under Labor Code section 5271, subdivision (a), the parties may agree to follow the procedures for selecting an arbitrator under Labor Code section 5271, subdivisions (b) and (c), as set forth in section 10295. 
(d) The parties shall provide all necessary materials to the arbitrator. 
(e) A copy of any final decision, order or award from the arbitrator, together with a copy of the record developed as set forth in Labor Code sections 5276 and 5277, shall be filed with the presiding workers' compensation administrative law judge of the district office having venue. The district office shall scan the copies of the arbitrator's decision, order or award and the record into the EAMS adjudication file and, after scanning, shall destroy the copies.
NOTE

Authority cited: Sections 133 and 5307(c), Labor Code. Reference: Sections 5270-5277, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
§10297. Arbitration Submittal Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5500.3, Labor Code. Reference: Section 5275, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 47).
2. Renumbering of former section 10297 to new section 10208.12 filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
Subchapter 2. Workers' Compensation Appeals Board--Rules and Practice Procedure
Article 1. General
§10300. Adoption, Amendment or Rescission of Rules.
Note     •     History

Notices required by Labor Code Sections 5307 and 5307.4 shall be served by the Appeals Board by regular mail, fax, electronic mail or any similar technology, not less than thirty (30) days prior to the date of hearing on those who have on file with the Secretary of the Workers' Compensation Appeals Board in San Francisco a written request for notification. Notice of action taken shall be served on the same persons by regular mail within thirty (30) days following the filing of any order pertaining to the rules with the Secretary of State.
NOTE

Authority cited: Section 5307, Labor Code. Reference: Section 5307.4, Labor Code.
HISTORY

1. Repeal of chap. 4.5 (Industrial Accident Commission--Rules of Practice and Procedure) and new chap. 4.5 filed by Industrial Accident Commission 12-27-65; effective thirtieth day thereafter (Register 65, No. 25). For former chap. 4.5, see Registers 58, No. 14; 59, No. 21; 61, No. 9; 61, No. 12; 62, No. 7; 62, No. 21; 63, No. 2; 65, Nos. 5, 13 and 22.
2. Ratification and adoption by Workmen's Compensation Appeals Board, of regulations filed by Industrial Accident Commission on 12-27-65, filed 1-26-66 (Register 66, No. 3).
3. Repealer of subchapter 2 (articles 1-19, sections 10300- 10957, not consecutive and Appendix) and new subchapter 2 (articles 1-20, sections 10300-10958, not consecutive) filed 6- 1-81; designated effective 7-1-81 (Register 81, No. 23). For prior history, see Registers 79, No. 1; 78, No. 3; 77, No. 49; 76, No. 3; 75, No. 35; 75, No. 15; 75, No. 11; 74, No. 6; 73, No. 51; 73, No. 36; 73, No. 6; 68, No. 29; 66, No. 8; 66, No. 7; and 65, No. 25.
4. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10301. Definitions.
Note     •     History

As used in this subchapter:
(a) “Administrative Director” means the Administrative Director of the Division of Workers' Compensation or his or her designee.
(b) “Adjudication file” or “ADJ file” means a case file in which the jurisdiction of the Workers' Compensation Appeals Board has been invoked and which is maintained by the Division of Workers' Compensation in paper format, electronic format, or both, including a temporary paper case file.
(c) “Appeals Board” means the commissioners and deputy commissioners of the Workers' Compensation Appeals Board acting en banc or in panels.
(d) “Applicant” means any person asserting a right to relief under the provisions of Labor Code Section 5300.
(e) “Application for Adjudication” or “application” means the initial pleading that asserts a right to relief under the provisions of Labor Code Section 5300.
(f) “Carve-out case” means a workers' compensation case that, in accordance with the criteria specified in Labor Code sections 3201.5 through 3201.9, is subject to an alternative dispute resolution (ADR) system that supplements or replaces all or part of the dispute resolution processes contained in Division 4 of the Labor Code.
(g) “Case opening document” means any document that creates an adjudication case and invokes the jurisdiction of the Workers' Compensation Appeals Board for the first time.
(h) “Court Administrator” means the administrator of the workers' compensation adjudicatory process at the trial level, or his or her designee.
(i) “Declaration of Readiness to Proceed” or “Declaration of Readiness” means a request for a proceeding at a district office.
(j) “Declaration of Readiness to Proceed to Expedited Hearing” means a request for a proceeding at a district office pursuant to Labor Code section 5502(b).
(k) “Defendant” means any person against whom a right to relief is claimed.
(l) “District office” means a location of a trial court of the Workers' Compensation Appeals Board.
(m) “Document” is a pleading, petition, medical report, record, declaration, exhibit, or another filing submitted by a party or lien claimant, including an electronically filed document or a scanned version of a document that was filed in paper form. Each medical report or other record having a different author and/or a different date is a separate “document.”
(n) “Document cover sheet” means the form adopted by the Court Administrator under section 10232.1, which is placed on top of a document or set of documents being filed at one time in a specific case.
(o) “Document separator sheet” means the form adopted by the Court Administrator under section 10232.2, which is placed on top of each individual document, when one or more documents are being filed at the same time in the same case, and which is placed on top of each individual attachment to each document being filed, when a document has one or more attachments.
(p) “Electronic Adjudication Management System” or “EAMS” means the computerized case management system used by the Division of Workers' Compensation to electronically store and maintain adjudication files and to perform other case management functions.
(q) “Fax” means a document that has been electronically served by a facsimile (fax) machine or other fax technology.
(r) To “file” a document means to deliver a document or cause it to be delivered to the district office with venue or to the Appeals Board for the purpose of having it included in the adjudication file.
(s) “Hearing” means any trial, mandatory settlement conference, rating mandatory settlement conference, status conference, lien conference, or priority conference at a district office or before the Appeals Board.
(t) “Lien claimant” means any person or entity claiming payment under the provisions of Labor Code section 4903 or 4903.1.
(u) “Lien conference” means a proceeding held for the purpose of assisting the parties in resolving disputed lien claims pursuant to Labor Code section 4903 or 4903.1 or, if the dispute cannot be resolved, to frame the issues and stipulations in preparation for a lien trial.
(v) “Mandatory settlement conference” means a proceeding to assist the parties in resolving their dispute or, if the dispute cannot be resolved, to frame the issues and stipulations in preparation for a trial.
(w) “Optical character recognition form” or “OCR form” means a paper form designed to be scanned so that its information is automatically extracted and stored in EAMS.
(x) “Party” means: (1) a person claiming to be an injured employee or the dependent of a deceased employee; (2) a defendant; or (3) a lien claimant where either (A) the underlying case of the injured employee or the dependent(s) of an injured employee has been resolved or (B) the injured employee or the dependent(s) of a deceased employee choose(s) not to proceed with his, her, or their case.
(y) “Petition” means any request for action by the Workers' Compensation Appeals Board other than an Application for Adjudication, an Answer or a Declaration of Readiness to Proceed.
(z) “Priority conference” means a proceeding in which the applicant is represented by an attorney and the issues in dispute at the time of the proceeding include employment and/or injury arising out of and in the course of employment.
(aa) “Rating mandatory settlement conference” means a mandatory settlement conference conducted to facilitate determination of the existence and extent of permanent disability through the use of informal ratings issued by the Disability Evaluation Unit, where the only unresolved issues are permanent disability and the need for future medical treatment.
(bb) “Regular hearing” means a trial.
(cc) To “serve” a document means to personally deliver a copy of the document, or to send it in a manner permitted by these rules or the rules of the Court Administrator, to a party, lien claimant, or attorney who is entitled to a copy of the document.
(dd) “Status conference” means a proceeding set for the purpose of ascertaining if there are genuine disputes requiring resolution, of providing assistance to the parties in resolving disputes, of narrowing the issues, and of facilitating preparation for trial if a trial is necessary. 
(ee) “Submission” means the closing of the record to the receipt of further evidence or argument.
(ff) “Trial” means a proceeding set for the purpose of receiving evidence.
(gg) “Venue” means the district office, as established by Labor Code section 5501.5 or 5501.6, at which any trial level proceedings will be conducted and from which any trial level orders, decisions, or awards will be issued.
(hh) “Workers' Compensation Appeals Board” means the Appeals Board, commissioners, deputy commissioners, presiding workers' compensation judges and workers' compensation judges.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 110, 130, 131, 134, 3201.5 et seq., 4903 et seq., 5300, 5307, 5309, 5310, 5500, 5500.3, 5501, 5501.5, 5501.6, 5502, 5700, 5701 and 5808, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10302. Working Titles of Workers' Compensation Administrative Law Judges and Presiding Workers' Compensation Administrative Law Judges.
Note     •     History

The working titles of “workers' compensation administrative law judge” (formerly, “referee”) and “presiding workers' compensation administrative law judge” (formerly, “referee in charge”) shall be respectively “workers' compensation judge” and “presiding workers' compensation judge.” The term “workers' compensation judge” shall include pro tempore judges appointed pursuant to section 10350.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 27, 123.5, 123.7, 5309, 5310 and 5312, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10304. Article and Section Headings.
Note

Article and section headings shall not be deemed to limit or modify the meaning or intent of the provisions of any section hereof.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 133, 5307, Labor Code.
§10306. Case Names. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment of section heading and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10308. Official Address Record. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10322. Workers' Compensation Appeals Board Records Not Subject to Subpoena.
Note     •     History

The records, files and proceedings of the Workers' Compensation Appeals Board shall not be taken from its offices either on informal request or in response to a subpoena duces tecum or any order issued out of any other court or tribunal. Except as precluded by Civil Code Section 1798.24, or Government Code Section 6254, certified copies of portions of the records desired by litigants shall be delivered upon payment of fees as provided in the Rules of the Administrative Director.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 127, 5811, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10324. Ex Parte Communications.
Note     •     History

(a) No document, including letters or other writings, shall be filed by a party or lien claimant with the Workers' Compensation Appeals Board unless service of a copy thereof is made on all parties together with the filing of a proof of service as provided for in Rule 10505. 
(b) When the Appeals Board or a workers' compensation judge receives an ex parte letter or other document from any party or lien claimant in a case pending before the Appeals Board or the workers' compensation judge, he, she, or it shall serve copies of the letter or document on all other parties to the case with a cover letter explaining that the letter or document was received ex parte in violation of this rule.
(c) No party or lien claimant shall discuss with the Appeals Board or a workers' compensation judge the merits of any case pending before the Appeals Board or that judge without the presence of all necessary parties to the proceeding, except as provided by these rules.
(d) All correspondence concerning the examination by and the reports of a physician appointed by a workers' compensation judge or the Appeals Board pursuant to Labor Code section 5701, 5703.5, 5706, or 5906 shall be made, respectively, through the workers' compensation judge or the Appeals Board, and no party, attorney or representative shall communicate with that physician regarding the merits of the case unless ordered to do so.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5701, 5703.5, 5706, 5708 and 5906, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 2. Powers, Duties and Responsibilities
§10340. Appeals Board Decisions and Orders.
Note     •     History

In accordance with Labor Code Section 115, the following orders, decisions and awards shall be issued only by the Appeals Board:
(a) All orders dismissing, denying and granting petitions for reconsideration and decisions thereon.
(b) All decisions that terminate proceedings on reconsideration, including, but not limited to, findings, orders, awards, orders approving or disapproving compromise and release, orders allowing or disallowing liens, and orders for dismissal.
(c) All orders, including interim and interlocutory orders, made after reconsideration has been granted and while proceedings are pending on reconsideration, including but not limited to, orders taking off calendar, orders joining or dismissing parties, and orders allowing or disallowing liens. Unless otherwise instructed by the Appeals Board, the authority of the workers' compensation judge to whom a case has been referred for proceedings on reconsideration is as set out in Section 10862 of these Rules.
(d) Except for sanctions and contempt, orders in disciplinary proceedings against attorneys or other agents.
(e) Decisions on remittitur.
(f) Orders disqualifying a workers' compensation judge under Labor Code Section 5311.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 115, 5311, Labor Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10341. En Banc Decisions.
Note     •     History

En banc decisions of the Appeals Board are binding on panels of the Appeals Board and workers' compensation judges as legal precedent under the principle of stare decisis.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 115, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10342. Appeals Board, Member Orders.
Note     •     History

The following orders may be issued only by the Appeals Board or a member thereof:
(a) approving undertakings on stays of proceedings on reconsideration and petitions for writ of review; and
(b) directing exhumation or autopsy.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 115, 5706, 5707 and 6002, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10344. Appeals Board, Commissioner, Deputy Commissioner and Presiding Workers' Compensation Judge Orders.
Note

The following may be issued only by the Appeals Board, a commissioner, a deputy commissioner or a presiding workers' compensation judge:
(a) orders issuing certified copies of orders, decisions or awards except that a certified copy may be issued by a presiding workers' compensation judge only if the time for seeking reconsideration and judicial review has expired, and no proceedings are pending on reconsideration or judicial review;
(b) orders staying, quashing and recalling writs of execution and fixing and approving undertaking thereon;
(c) orders directing entry of satisfaction of judgment; and
(d) orders issuing, recalling, quashing, discharging and staying writs of attachment and fixing and approving undertakings thereon.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 6000, 6001 and 6002, Labor Code.
§10346. Assignment or Transfer of Cases.
Note     •     History

(a) The presiding workers' compensation judge has full responsibility for the assignment of cases to the workers' compensation judges of each office. The presiding workers' compensation judge may utilize EAMS to assign cases. The presiding workers' compensation judge shall transfer to another workers' compensation judge the proceedings on any case in the event of the death, extended absence, unavailability, or disqualification of the workers' compensation judge to whom it has been assigned, and may otherwise reassign those cases if no oral testimony has been received therein, or if the requirements of Labor Code Section 5700 have been waived. To the extent practicable and fair, supplemental proceedings shall be assigned to the workers' compensation judge who heard the original proceedings.
(b) Any conflict that may arise between presiding workers' compensation judges of different offices respecting assignment of a case, venue, or priority of hearing where there is conflict in calendar settings will be resolved by a deputy commissioner of the Appeals Board.
(c) If a compromise and release or stipulations with request for award have not been approved, disapproved, or noticed for trial on the issue of adequacy and other disputed issues within 45 days after filing, the file shall be transferred to the presiding judge for review.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5309 and 5310, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10347. Assignment of Judges. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5309 and 5310, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51). For prior history, see Register 96, No. 43.
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10348. Authority of Workers' Compensation Judges.
Note     •     History

In any case that has been regularly assigned to a workers' compensation judge, the judge shall have full power, jurisdiction and authority to hear and determine all issues of fact and law presented and to issue any interim, interlocutory and final orders, findings, decisions and awards as may be necessary to the full adjudication of the case, including the fixing of the amount of the bond required in Labor Code section 3715. Orders, findings, decisions and awards issued by a workers' compensation judge shall be the orders, findings, decisions and awards of the Workers' Compensation Appeals Board unless reconsideration is granted.
A workers' compensation judge or a deputy commissioner may issue writs or summons, warrants of attachment, warrants of commitment and all necessary process in proceedings for direct and hybrid contempt in a like manner and to the same extent as courts of record.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 121, 134, 5309 and 5310, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of first paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10349. Orders Equivalent to Notices of Intention.
Note     •     History

An order with a clause rendering the order null and void if an objection showing good cause is filed within ten (10) days shall be deemed equivalent to a ten (10) day notice of intention.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section !, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51). For prior history, see Register 96, No. 43.
§10350. Trials: Appointment and Authority of Pro Tempore Workers' Compensation Judges.
Note     •     History

A presiding workers' compensation judge may appoint and assign a pro tempore workers' compensation judge to conduct a trial on any issue in any proceeding before the Workers' Compensation Appeals Board and to make and file a finding, opinion, order, decision or award based thereon. Before assignment of a particular pro tempore workers' compensation judge, the parties or their representatives shall submit a request and written stipulation to the presiding workers' compensation judge. The request and written stipulation shall set out in full the name and the office address of the attorney agreed upon to conduct the trial as a pro tempore workers' compensation judge.
If a case is off calendar or has not before been set on the trial calendar, the request and written stipulation must be filed with a Declaration of Readiness to Proceed pursuant to Section 10414. The presiding workers' compensation judge, upon approval of the request for trial by a pro tempore workers' compensation judge, will assign the case to the trial calendar making appropriate arrangements to provide the pro tempore workers' compensation judge with facilities and staff at a time and place convenient to the Workers' Compensation Appeals Board and the pro tempore workers' compensation judge.
At the time of any conference hearing, the parties or their representatives may file the same request and written stipulation which will be submitted to the presiding workers' compensation judge who will assign the case to the trial calendar in the same manner as set forth above.
Pro tempore workers' compensation judges will have all the authority and powers of workers' compensation judges as set forth in the Labor Code and Rules of Practice and Procedure of the Workers' Compensation Appeals Board including inquiry into adequacy of and approval of compromise and release agreements and stipulated findings including the authority to issue appropriate findings, awards and orders. Pro tempore workers' compensation judges shall be bound by the Rules of Practice and Procedure of the Workers' Compensation Appeals Board (including Articles 6, 7 and 8).
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 123.7, 5309 and 5310, Labor Code.
HISTORY

1. New section filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10351. Conference Hearings: Appointment and Authority of Pro Tempore Workers' Compensation Judges.
Note     •     History

A pro tempore workers' compensation judge shall in any case filed have the same power as a workers' compensation judge to conduct conference hearings, including mandatory settlement conferences, rating mandatory settlement conferences and status conferences; to inquire into the adequacy of and to approve compromise and release agreements; to approve stipulated findings and to issue appropriate awards based on the stipulations; to frame stipulations and issues and make interim and interlocutory orders at the conference hearing.
The presiding workers' compensation judge may assign a pro tempore workers' compensation judge to any conference hearing calendar including rating mandatory settlement conferences or status conferences. The name of the pro tempore workers' compensation judge shall appear on the notice of hearing. Failure to object to the assignment within five days of service of notice of conference hearing shall constitute a waiver of any objection to proceeding before the pro tempore workers' compensation judge assigned to the mandatory settlement conference hearing, rating mandatory settlement conference or status conference.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 123.7, 5309 and 5310, Labor Code.
HISTORY

1. New section filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10352. Reconsideration of Pro Tempore Workers' Compensation Judge's Orders, Decisions or Awards.
Note     •     History

Any final order, decision or award filed by a pro tempore workers' compensation judge shall be subject to the reconsideration process as set forth in Labor Code Sections 5900 through 5911.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 121, 123.7, 5309, 5310 and 5900-5911, Labor Code.
HISTORY

1. New section filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Editorial correction of NOTE filed 2-2-83 (Register 83, No. 6).
§10353. Settlement Conference Authority.
Note     •     History

(a) In accordance with Labor Code section 5502, subdivision (e)(2), the workers' compensation judge shall have authority to inquire into the adequacy and completeness, including provision for lien claims, of compromise and release agreements or stipulations with request for award or orders, and to issue orders approving compromise and release agreements or awards or orders based upon approved stipulations. The workers' compensation judge may make orders and rulings regarding admission of evidence and discovery matters, including admission of offers of proof and stipulations of testimony where appropriate and necessary for resolution of the dispute(s) by the workers' compensation judge, and may submit and decide the dispute(s) on the record pursuant to the agreement of the parties. The workers' compensation judge shall not hear sworn testimony at any conference.
(b) The workers' compensation judge may temporarily adjourn a conference to a time certain to facilitate a specific resolution of the dispute(s) subject to Labor Code section 5502, subdivision (e)(1).
Subject to the provisions of Labor Code Section 5502.5 and Rule 10416, upon a showing of good cause, the workers' compensation judge may continue a mandatory settlement conference to a date certain, may continue it to a status conference on a date certain, or may take the case off calendar. In such a case, the workers' compensation judge shall note the reasons for the continuance or order taking off calendar in the minutes. The minutes shall be served on all parties and lien claimants, and their representatives.
(c) Absent resolution of the dispute(s), the parties shall file at the mandatory settlement conference a joint pre-trial statement setting forth the issues and stipulations for trial, witnesses, exhibits, and the proposed permanent disability rating as provided by Labor Code Section 4065.  The parties may modify their proposed ratings only when evidence, relevant to the proposed ratings, and disclosed or obtained after the mandatory settlement conference, becomes admissible pursuant to Labor Code Section 5502, subdivision (e)(3).
A summary of conference proceedings including the joint pre-trial conference statement and the disposition shall be filed by the workers' compensation judge in the record of the proceedings on a form prescribed and approved by the Appeals Board and shall be served on the parties.
NOTE

Authority cited: Sections 133, 5307 and 5502, Labor Code. Reference: Sections 5502 and 5502.5, Labor Code.
HISTORY

1. New section exempt from OAL review pursuant to Government Code section 11351, filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section heading and text filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 3. Parties and Joinder
§10360. Necessary Parties.
Note     •     History

Any applicant other than the injured employee shall join the injured employee as a party. In such instances the Application for Adjudication shall include the injured employee's address if known or, if not known, a statement of that fact.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 126, 5307.5 and 5503, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10364. Parties Applicant.
Note     •     History

(a) Any person in whom any right to relief is alleged to exist may appear, or be joined, as an applicant in any case or controversy before the Workers' Compensation Appeals Board. A lien claimant may become a party where the applicant's case has been settled by way of a compromise and release, or where the applicant chooses not to proceed with his or her case.
(b) Any person against whom any right to relief is alleged to exist may be joined as a defendant.
(c) In death cases, all persons who may be dependents shall either join or be joined as applicants so that the entire liability of the employer or the insurer may be determined in one proceeding.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5300, 5303, 5307.5, 5500 and 5503, Labor Code.
HISTORY

1. New subsection (a) designator and new subsections (b) and (c)  filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
2. Amendment of subsection (a) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10368. Parties Defendant.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5300, 5303, 5307.5, 5500 and 5503, Labor Code.
HISTORY

1. Repealer filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
§10372. Parties in Death Cases.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5300, 5303, 5307.5, 5500 and 5503, Labor Code.
HISTORY

1. Repealer filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
§10380. Joinder of Parties.
Note     •     History

After filing of an Application for Adjudication, the Appeals Board, a workers' compensation judge may order the joinder of additional parties necessary for the full adjudication of the case. A party not present or represented at the time of joinder shall be served with copies of the order of joinder, the application, minutes of hearing and summary of evidence, medical reports and other documents, as directed in the order of joinder. The Workers' Compensation Appeals Board may designate the party or parties who are to make service.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5307.5 and 5316, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351, filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 4. Filing of Documents
§10390. Place and Time of Filing Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10391. Filing of Copies of Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10392. Form and Size Requirements for Filed Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10395. Improper Filing of Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
3. New subsections (e)-(f), subsection relettering and amendment of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10396. Duty to Furnish Correct Address. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 126, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10397. Restrictions on the Rejection for Filing of Documents Subject to a Statute of Limitations or a Jurisdictional Time Limitation.
Note     •     History

(a) An application for adjudication of claim, a petition for reconsideration, a petition to reopen, or any other petition or other document that is subject to a statute of limitations or a jurisdictional time limitation shall not be rejected for filing solely on the basis that:
(1) the document is not filed in the proper office of the Workers' Compensation Appeals Board;
(2) the document has been submitted without the proper form, or it has been submitted with a form that is either incomplete or contains inaccurate information; or
(3) the document has not been submitted with the required document cover sheet and/or document separator sheet(s), or it has been submitted with a document cover sheet and/or document separator sheet(s) not containing all of the required information.
(b) A document that is subject to a statute of limitations or a jurisdictional time limitation may be rejected for filing if it does not contain a combination of information sufficient to establish the case or cases to which the document relates or, if it is a case opening document, sufficient information to open an adjudication file. If a document is rejected in accordance with this subdivision, the Court Administrator shall return the document to the filer and shall notify the filer, through the service of a Notice of Document Discrepancy, that the document has not been accepted for filing. The Notice of Document Discrepancy shall specify the nature of the discrepancy(ies) and the date of the attempted filing, and it shall state that the filer shall have 15 days from the service of the Notice within which to correct the discrepancy(ies) and resubmit the document for filing. If the document is corrected and resubmitted for filing within 15 days, or at a later date upon a showing of good cause, it shall be deemed filed as of the original date the document was submitted.
(d) Nothing in this section shall preclude the discretionary or conditional acceptance for filing of a document that is subject to a statute of limitations or a jurisdictional time limitation, even if it does not contain a combination of information sufficient to establish the case or cases to which the document relates or, if it is a case opening document, sufficient information to open an adjudication file.
(e) Where document that it is subject to a statute of limitations or a jurisdictional time limitation has been accepted for filing in accordance with this rule, but the document nevertheless cannot be processed by EAMS, the Court Administrator may serve a copy of the filed document on the filing party or lien claimant, together with a Notice of Document Discrepancy. The notice may specify the nature of the discrepancy(ies) and request that the party correct the discrepancy(ies) within 15 days after service of the Notice, however, a failure to timely correct the discrepancy(ies) shall not nullify the acceptance of the document for filing.
(f) Nothing in this section shall be deemed to excuse non-compliance with any of other provisions of the rules of the Workers' Compensation Appeals Board or non-compliance with the rules the Court Administrator. Any such non-compliance may still be a basis for the imposition of sanctions under Labor Code section 5813 and Rule 10561.
NOTE

Authority cited: Article XIV, Section 4, California Constitution; Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126, 5316, 5500 and 5501, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 5. Pleadings
§10400. Filing and Service of Applications.
Note     •     History

(a) Except as provided by sections 10865 and 10953, proceedings for the adjudication of rights and liabilities before the Workers' Compensation Appeals Board shall be initiated by the filing of an Application for Adjudication, a case opening Compromise and Release Agreement, a case opening Stipulations with Request for Award, or a Request for Findings of Fact under section 10405.
(b) A case opening Compromise and Release Agreement, a case opening Stipulations with Request for Award, and a Request for Findings of Fact under section 10405 are each an “application” for purposes of invoking the jurisdiction of the Workers' Compensation Appeals Board, but none of these documents shall be deemed an application for purposes of Labor Code section 4064(c).
(c) Upon the filing of an initial application, the application shall be assigned an adjudication case number and a venue.
(d) When filing an amended application, the applicant shall indicate on the box set forth on the application form that it is an “amended” application.
(e) Upon filing an Application for Adjudication, the filing party or lien claimant shall concurrently serve a copy of the application and any accompanying documents on all other parties and lien claimants.
(f) If the party filing the application is an unrepresented injured employee, an unrepresented dependent of a deceased employee, or a lien claimant or non-attorney representative of a lien claimant who falls within one of the exceptions of section 10228, subdivisions (c)(5)(A) through (c)(5)(C), the Workers' Compensation Appeals Board:
(1) shall serve a conformed copy of the application on all parties and lien claimants, including the filing applicant, who are listed on either on the application, on the proof of service to the application, or on the address record (if an address record was previously created for an earlier application); and
(2) if it is an initial application, shall concurrently give notification of the assigned adjudication case number and venue.
Such service shall be deemed service of a conformed copy of the application for purposes of Labor Code section 5501.
(g) For all other parties and lien claimants, the Workers' Compensation Appeals Board:
(1) shall serve a conformed copy of the application on the filing party or lien claimant (or, if represented, on the filing party or lien claimant's attorney or other representative); and
(2) if it is an initial application, shall concurrently give notification of the assigned adjudication case number and venue.
Upon receipt of the conformed copy of the application, the filing party or lien claimant (or, if represented, the filing party or lien claimant's attorney or other representative) shall forthwith serve a copy of the conformed application on all other parties and lien claimants who are listed on the application or on the proof of service to the application, and, if it is an initial application, shall concurrently notify all other parties and lien claimants of the assigned adjudication case number and venue.
Such service shall be deemed service of a conformed copy of the application for purposes of Labor Code section 5501.
(h) Disclosure of the applicant's Social Security number is voluntary, not mandatory. A failure to provide a Social Security number will not have any adverse consequences. Nevertheless, although an applicant is not required by law to provide a Social Security number, he or she is encouraged to do so. Social Security numbers are used solely for identification and verification purposes in order to administer the workers' compensation system. A Social Security number will not be disclosed, made available, or otherwise used for purposes other than those specified, except with the consent of the applicant, or as permitted or required by statute, regulation, or judicial order.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126, 5316, 5500 and 5501, Labor Code.
HISTORY

1. Repealer and new section exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
3. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Editorial correction of article heading (Register 93, No. 53).
5. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
6. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10401. Separate Application for Each Injury.
Note

A separate Application for Adjudication shall be filed for each separate injury for which benefits are claimed even though the employer is the same in each case. Separate pleadings shall be filed in each case.
All claims of all persons arising out of the same injury to the same employee shall be filed in the same proceeding.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 3208.2 and 5500, Labor Code.
§10402. Minors, Incompetents as Applicants.
Note     •     History

If the Applicant is a minor or incompetent, the Application for Adjudication shall be accompanied by a Petition for Appointment of a Guardian ad Litem and Trustee. In those instances where the minor has the right of nomination, the nomination shall be included in the petition.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5307.5 and 5500, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Repealer of second paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10403. Application Required Before Jurisdiction Invoked and Before Compelled Discovery May Be Commenced.
Note     •     History

The jurisdiction of the Workers' Compensation Appeals Board is invoked only by the filing of an initial Application for Adjudication of Claim or other case opening document. The pre-application assignment of a non-adjudication EAMS case number by any ancillary unit of the Division of Workers' Compensation (e.g., the Disability Evaluation Unit, the Information and Assistance Office, the Rehabilitation Unit, or the Retraining and Return to Work Unit):
(a) does not establish the jurisdiction of the Workers' Compensation Appeals Board and, therefore, does not permit it to conduct any hearings or to issue any orders;
(b) does not toll the statute of limitations (except as provided in Labor Code section 5454 for submissions to the Information and Assistance Unit); and
(c) does not authorize the commencement of formal, compelled discovery.
Nothing in this section shall be construed to preclude any non-compelled pre-application medical evaluations or investigations.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5300, 5301 and 5500, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47). For prior history, see Register 92, No. 24.
§10404. Labor Code Section 4906(g) Statement.
Note     •     History

The employee, insurer, employer and the attorneys for each party shall comply with Labor Code Section 4906(g) by filing a statement under penalty of perjury wherein it is declared that the party on whose behalf the declaration is made has not violated Labor Code Section 139.3, has not offered, delivered, received, or accepted any unlawful rebate, refund, commission, preference, patronage dividend, discount or other consideration, whether in the form of money or otherwise, as compensation or inducement for any referred examination or evaluation by a physician.  Except as otherwise provided herein, failure to comply with this rule shall result in refusal to file or process that party's application for adjudication or answer.  If any of the above parties are not available, cannot be located or are unwilling to sign a declaration under penalty of perjury setting forth in specific detail the reasons that the party is not available, cannot be located or is unwilling to sign as well as good faith efforts to locate the party may be filed with the application or answer.  If the presiding workers' compensation judge or designee determines from the facts set forth in the declaration that good cause has been established, he or she may accept the application or answer for filing.  For the purpose of this rule, a compromise and release agreement or stipulations with request for award shall not be treated as an application for adjudication. 
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4906(g), Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).  For prior history, see Register 91, No. 7.
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10405. Request for Findings of Fact.
Note     •     History

A request for findings of fact under Government Code Sections 21164, 21166, 21537, 21538, 21540, or 21540.5 or under Labor Code Sections 4800.5(d), 4801, 4804.2, 4807 or 4851 is a proceeding separate from a claim for workers' compensation benefits even though it arises out of the same incident, injury or exposure. The request for findings of fact shall be filed separately and a separate file folder and record of the proceeding will be maintained, but the request for findings of fact may be consolidated for hearing with a claim for workers' compensation benefits under the provisions of Section 10590 of these Rules.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections  21164, 21166, 21537, 21538, 21540 and 21540.5, Government Code; Sections 4800.5(d), 4801, 4804.2, 4807 and 4851, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10406. Pre-Application and Miscellaneous Proceedings.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 132a, 4553, 4751 and 5401, Labor Code.
HISTORY

1. New section exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
3. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10407. Dismissal of Claim Form--Labor Code Section 5404.5.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 5404.5, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Renumbering of former section 10407 to new section 10583 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10408. Forms of Application.
Note     •     History

The Application for Adjudication for compensation benefits and death benefits shall be on forms prescribed and approved by the Appeals Board.
Venue shall be at the district office where the Application for Adjudication is filed pursuant to Labor Code Section 5501.5.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5500 and 5501.5, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10409. Venue.
Note     •     History

(a) The person or entity filing an initial Application for Adjudication (or other case opening document) shall designate venue and shall specify whether venue is based upon: (1) the place of the employee or dependent's residence at the time of filing (Lab. Code, §5501.5(a)(1) or (d)); (2) the place where the injury allegedly occurred or, for cumulative trauma or industrial disease claims, where the last alleged injurious exposure occurred (Lab. Code, §5501.5(a)(2) or (d)); or (3) the place where the employee's attorney maintains his or her principal place of business (Lab. Code, §5501.5(a)(3)).
(b) When a Division of Workers' Compensation employee files his or her own Application for Adjudication of Claim or other case opening document, the following provisions shall apply: 
(1) Regardless of the venue designated by the employee, venue shall be determined as follows:
(A) The parties may agree on a venue, subject to the approval of the presiding workers' compensation judge of the agreed-upon venue;.
(B) If the parties are unable to agree on a suitable venue, or for any other good cause shown, the presiding workers' compensation judge of the district office designated on the application or other case opening document shall consult with the Secretary or other Deputy Commissioner of the Appeals Board to determine the appropriate venue, with the Secretary or other Deputy Commissioner issuing the appropriate venue order.
(2) The Secretary or other Deputy Commissioner of the Appeals Board shall assign the case to a workers' compensation judge unfamiliar with the employee. When appropriate, a workers' compensation judge from a region other than the employee's region shall be assigned.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5500 and 5501.5, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10410. Objection to Venue Under Labor Code Section 5501.5(c).
Note     •     History

Pursuant to Labor Code section 5501.5(c), any employer or insurance carrier listed on an initial Application for Adjudication may file an objection to a venue selection, based on the employee's attorney's principal place of business under Labor Code section 5501.5(a)(3), within 30 days after notice of the adjudication case number and venue is received by the employer or insurance carrier. The objecting employer or insurance carrier shall state under penalty of perjury the date when the notice of the adjudication case number and venue was received.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code.  Reference: Section 5501.5, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10411. Petition for Change of Venue Under Labor Code Section 5501.6.
Note     •     History

A petition for change of venue pursuant to Labor Code section 5501.6 shall be filed at the district office with venue. Any objection to a petition for a change of venue shall be filed within 10 days of the filing of the petition. The presiding judge of the district office having venue, or his or her designee, shall grant or deny the petition for change of venue, or serve notice of a status conference concerning the petition, within 30 days of the filing of the petition.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5501.6, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10412. Proceedings and Decisions After Venue Change.
Note     •     History

When an order changing venue is issued, all further trial level proceedings shall be conducted at, and all further trial level orders, decisions, and awards shall be issued by, the district office to which venue was changed until another order changing venue is issued.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126 and 5501.6, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51). For prior history, see Register 93, No. 52.
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10414. Declaration of Readiness to Proceed. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 134, 5502 and 5813, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
3. Amendment of first paragraph filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
5. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10415. Declaration of Readiness to Proceed to Expedited Hearing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections  133 and 5307, Labor Code. Reference: Section 5502(b), Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10416. Objection to Declaration of Readiness to Proceed. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 134 and 5813, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of first paragraph filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10417. Walk-Through Calendar Setting. [Repealed]
Note     •     History

NOTE

Authority cited: Sections  133 and 5307, Labor Code. Reference: Section 5316 and 5502, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Renumbering of former section 10417 to section 10420 and new section 10417 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10418. Letters of Appointment for Medical Examinations.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5401 and 5703, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Renumbering of former section 10418 to section 10430 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10420. Setting the Case.
Note     •     History

The Workers' Compensation Appeals Board, upon the receipt of a Declaration of Readiness to Proceed, may, in its discretion, set the case for a type of proceeding other than that requested. The Workers' Compensation Appeals Board may on its own motion set any case for conference or trial.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5310, Labor Code.
HISTORY

1. Renumbering and amendment of former section 10417 to new section 10420 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10430. Letters of Appointment for Medical Examinations.
Note     •     History

After the filing of an Application for Adjudication, each party will notify all other parties, and their attorneys or representatives, of any medical appointment scheduled for the purposes of medical-legal evaluation. That notice shall be given at the same time the injured worker is advised of the appointment.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5401 and 5703, Labor Code.
HISTORY

1. Renumbering and amendment of former section 10418 to new section 10430 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
SERIOUS WILLFUL MISCONDUCT
§10440. Pleadings--Serious and Willful Misconduct.
Note     •     History

All allegations that an injury was caused by either the serious and willful misconduct of the employee or of the employer must be separately pleaded and must set out in sufficient detail the specific basis upon which the charge is founded so that the adverse parties and the Workers' Compensation Appeals Board may be fully advised.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4550, 4551, 4552, 4553, 4553.1, Labor Code.
HISTORY

1. Amendment of section heading filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10445. Allegations.
Note     •     History

All allegations that an injury was caused by serious and willful misconduct shall:
(a) When the charge of serious and willful misconduct is based on more than one theory, set forth each theory separately.
(b) Whenever the charge of serious and willful misconduct is predicated upon the violation of a particular safety order, set forth the correct citation or reference and all of the particulars required by Labor Code Section 4553.1.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4550, 4551, 4552, 4553, 4553.1, Labor Code.
HISTORY

1. Repealer of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
PROCEEDINGS UNDER LABOR CODE SECTION 132A
§10447. Pleadings--Discrimination.
Note     •     History

Any person seeking to initiate proceedings under Labor Code Section 132a other than prosecution for misdemeanor must file a petition therefor setting forth specifically and in detail the nature of each violation alleged and facts relied on to show the same, and the relief sought. Each alleged violation must be separately pleaded so that the adverse party or parties and the Workers' Compensation Appeals Board may be fully advised of the specific basis upon which the charge is founded.
The Workers' Compensation Appeals Board may refer, or any worker may complain of, suspected violations of the criminal misdemeanor provisions of Labor Code Section 132a to the Division of Labor Standards Enforcement or directly to the Office of the Public Prosecutor.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 132a, Labor Code.
HISTORY

1. Editorial correction filed 2-2-83 (Register 83, No. 6).
2. Amendment of section heading and repealer of second paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
PETITIONS
§10450. Petitions.
Note     •     History

(a) A request for action by the Workers' Compensation Appeals Board, other than an Application for Adjudication, an Answer, or a Declaration of Readiness, shall be made by petition. The caption of each petition shall contain the case title and adjudication case number and shall indicate the type of relief sought.
(b) Any previously filed document shall not be attached to a petition; any such document that is attached to a petition may be discarded.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10452. Petition for Disqualification of Judge.
Note

Proceedings to disqualify a workers' compensation judge under Labor Code Section 5311 shall be initiated by the filing of a petition for disqualification supported by an affidavit or declaration under penalty of perjury stating in detail facts establishing grounds for disqualification of the workers' compensation judge to whom a case or proceeding has been assigned.
If the workers' compensation judge assigned to hear the matter and the grounds for disqualification are known, the petition for disqualification shall be filed not more than 10 days after service of notice of hearing. In no event shall any such petition be allowed after the swearing of the first witness.
A petition for disqualification shall be referred to and determined by a panel of three commissioners of the Appeals Board in the same manner as a petition for reconsideration.
NOTE

Authority cited: Section 5307, Labor Code. Reference: Sections 5310, 5311, Labor Code.
§10453. Petition for Automatic Reassignment of Trial or Expedited Hearing to Another Workers' Compensation Judge.
Note     •     History

A party shall be entitled to automatic reassignment of a trial or expedited hearing to another workers' compensation judge in accordance with the provisions of this section. An injured worker shall be entitled to one reassignment of a judge for trial or expedited hearing. If the injured worker has not exercised the right to automatic reassignment and one or more lien claimants have become parties and no testimony has been taken, the lien claimants shall be entitled to one reassignment of judge for a trial, which may be exercised by any of them. The defendants shall be entitled to one reassignment of judge for a trial or expedited hearing, which may be exercised by any of them.
If the parties are first notified of the identity of the workers' compensation judge assigned for trial or expedited hearing by a notice of trial served by mail, to exercise the right to automatic reassignment a party must file a petition requesting reassignment not more than five (5) days after the service of the notice of trial or expedited hearing. The presiding judge or a person designated by the presiding judge shall rule on any petition for automatic reassignment. If a petition for automatic reassignment is granted, a new notice of trial or expedited hearing shall be served.
If the parties are first notified of the identity of the workers' compensation judge assigned for trial at a mandatory settlement conference, at a status conference, at a lien conference, at a priority conference, or upon reassignment at the time of trial, to exercise the right to automatic reassignment a party must make an oral motion immediately upon learning the name of the judge to whom the case has been assigned for trial. The motion shall be acted upon immediately by the presiding workers' compensation judge or a person designated by the presiding judge.
In no event shall any motion or petition for reassignment be entertained after the swearing of the first witness at a trial or expedited hearing.
If a party files a petition or makes a motion for automatic reassignment and no other workers' compensation judge is available in the office, the assignment shall be made by a deputy commissioner of the Appeals Board.
Unless required for the convenience of the Workers' Compensation Appeals Board, no continuance shall be granted by reason of a petition or motion under this section. If a continuance is granted, another trial or expedited hearing shall be scheduled as early as possible.
Consolidated cases are to be considered as one case within the meaning of this section. This section is not applicable to conference hearings.
NOTE

Authority cited: Section 5307, Labor Code. Reference: Section 5310, Labor Code.
HISTORY

1. Editorial correction filed 2-2-83 (Register 83, No. 6).
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10454. Automatic Reassignment After Reversal.
Note     •     History

Notwithstanding Rule 10453, where the Appeals Board reverses a decision of a workers' compensation judge on an issue of the statute of limitations, jurisdiction, employment, or injury arising out of and in the course of employment, and remands the case for further proceedings, the party who filed the petition for reconsideration that resulted in the reversal shall be entitled to automatic reassignment of the case to another workers' compensation judge upon a motion or petition requesting reassignment filed at the district office within 30 days after the decision of the Appeals Board becomes final.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5310, Labor Code.
HISTORY

1. Renumbering of former section 10454 to new section 10455 and new section 10454 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10455. Petition to Reopen.
Note     •     History

Petitions invoking the continuing jurisdiction of the Workers' Compensation Appeals Board under Labor Code Section 5803 shall set forth specifically and in detail the facts relied upon to establish good cause for reopening.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5803, Labor Code.
HISTORY

1. Renumbering of former section 10454 to new section 10455 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10458. Petition for New and Further Disability.
Note

The jurisdiction of the Workers' Compensation Appeals Board under Labor Code Section 5410 shall be invoked by a petition setting forth specifically and in detail the facts relied upon to establish new and further disability.
If no prior Application for Adjudication has been filed, jurisdiction shall be invoked by the filing of an original Application for Adjudication.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5803, Labor Code.
§10462. Petition to Terminate Liability; Filing.
Note     •     History

A petition to terminate liability for continuing temporary disability indemnity under a findings and award, decision or order of the Appeals Board or a workers' compensation judge shall be filed within 10 days of the termination of the payments or other compensation. Failure to file such a petition within 10 days may affect the right to credit for an overpayment of temporary disability indemnity.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4650, 4651.1, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10464. Contents of Petition to Terminate Liability.
Note     •     History

A petition to terminate liability for temporary total disability indemnity shall conform substantially to the form provided by the Appeals Board and shall include:
(a) the correct title and date of filing of the prior order or decision, liability under which is sought to be terminated;
(b) the date upon which it is claimed that liability terminated;
(c) the grounds upon which it is claimed liability should be terminated;
(d) whether permanent disability is being advanced and, if so, the approximate date to which such indemnity will be paid;
(e) whether the employee is presently working, according to information available to the petitioner;
(f) a computer printout showing the dates and the amounts of disability indemnity that have been paid, and the periods covered shall be attached; and
(g) proof of service upon the opposing parties.
All medical reports in the possession of the petitioner that have not previously been served and filed shall accompany the petition. The petition also shall contain a statement, in underlined capital letters, that an order terminating liability for temporary total disability indemnity may issue unless objection thereto is made on behalf of the employee within 14 days after service of the petition.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4650, 4651.1, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10466. Objections to Petition, Hearing, Interim Order.
Note     •     History

If written objection to the petition to terminate is not received within fourteen (14) days of its proper filing and service, the Workers' Compensation Appeals Board may order temporary disability compensation terminated, in accordance with the facts as stated in the petition or in such other manner as may appear appropriate on the record. If the petition to terminate is not properly completed or executed in accordance with Section 10464, the Workers' Compensation Appeals Board may summarily deny or dismiss the petition.
Objection to the petition by the employee shall be filed in writing within fourteen (14) days of service of the petition, and shall state the facts in support of the employee's contention that the petition should be denied, and shall be accompanied by a Declaration of Readiness to Proceed to Expedited Hearing. All supporting medical reports shall be attached to the objection. The objection shall also show that service of the objection and the reports attached thereto has been made upon petitioner or counsel.
Upon the filing of a timely objection, where it appears that the employee is not or may not be working and is not or may not be receiving disability indemnity, the petition to terminate shall be set for expedited hearing not less than ten (10) nor more than thirty (30) days from the date of the receipt of the objection.
If complete disposition of the petition to terminate cannot be made at the hearing, the workers' compensation judge assigned thereto, based on the record, including the allegations of the petition, the objection thereto, and the evidence (if any) at said hearing, shall forthwith issue an interim order directing whether temporary disability indemnity shall or shall not continue during the pendency of proceedings on the petition to terminate. Said interim order shall not be considered a final order, and will not preclude a complete adjudication of the petition to terminate or the issue of temporary disability or any other issue after full hearing of the issues.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4650 and 4651.1, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10470. Medical Reports.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5703, 5401, 5270 and 5277, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
ANSWERS
§10480. Answers.
Note     •     History

An Answer to each Application for Adjudication shall be filed and served ten (10) days after service of the Declaration of Readiness to Proceed required by rule 10414 or 10415.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5500, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10484. Procedural Requirement.
Note     •     History

The Answer used by the parties shall conform to a form prescribed and approved by the Appeals Board.  Additional matters may be pleaded as deemed necessary by the answering party.
A general denial is not an answer within this rule. The Answer shall be accompanied by a proof of service upon the opposing parties.
Evidence upon matters and affirmative defenses not pleaded by Answer will be allowed only upon such terms and conditions as the Appeals Board or workers' compensation judge may impose in the exercise of sound discretion.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5500, 5505, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment of second paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10488. Form of Answer.
Note     •     History

NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 5500, 5505, Labor Code.
HISTORY

1. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
GENERAL
§10490. Demurrer, Judgment on the Pleadings, and Summary Judgment Not Permitted; Unintelligible Pleadings.
Note     •     History

Demurrers, petitions for judgment on the pleadings, and petitions for summary judgment are not permitted. A continuance may be granted upon timely request and upon such terms as may be reasonable under the circumstances or may be ordered by the Workers' Compensation Appeals Board on its own motion if:
(a) a pleading is so uncertain, unintelligible or ambiguous as to render it impossible for the Workers' Compensation Appeals Board to understand or act upon it; or
(b) any party is prejudiced by omission or ambiguity of necessary allegations sufficient to prevent that party from adequately presenting a cause of action or defense.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5500 and 5708, Labor Code.
HISTORY

1. Amendment of section heading and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10492. When Pleadings Deemed Amended.
Note

The pleadings shall be deemed amended to conform to the stipulations and statement of issues agreed to by the parties on the record. Pleadings may be amended by the Workers' Compensation Appeals Board to conform to proof.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 5702, Labor Code.
§10496. Awards and Orders Without Hearing.
Note

Awards and orders may be based upon stipulations of parties in open court or upon written stipulation signed by the parties.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 5702, Labor Code.
§10497. Rejection of Stipulations.
Note

No finding shall be made contrary to a stipulation of the parties on an issue without giving the parties notice and an opportunity to present evidence thereon.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 5702, Labor Code.
Article 6. Service
§10500. Service by the Workers' Compensation Appeals Board.
Note     •     History

(a) Except as provided in subdivision (b) below, the Workers' Compensation Appeals Board may, in its discretion, designate a party or lien claimant, or their attorney or agent of record, to make service of notices of the time and place of hearing, orders approving compromise and release, awards based upon stipulations with request for award and any interim or procedural orders. In deciding whether to exercise this discretion, the Workers' Compensation Appeals Board may consider whether service by it would be more efficient and cost-effective because most or all of the parties, lien claimants, attorneys, or agents of record to be served have specified e-mail or fax as their preferred method of service. If discretion is exercised so as to require designated service, the party, lien claimant, or attorney or agent of record designated to make service shall retain the proof of service and shall not file it unless ordered to do so by the Workers' Compensation Appeals Board.
(b) The Workers' Compensation Appeals Board shall serve all parties and lien claimants of record notice of any final order, decision, or award issued by it on a disputed issue after submission. The Workers' Compensation Appeals Board shall not designate a party or lien claimant, or their attorney or agent of record, to serve any final order, decision, or award relating to a submitted disputed issue.
(c) If the Workers' Compensation Appeals Board effects personal service of a document at a hearing or at a walk-through proceeding, the proof of personal service shall be made by endorsement on the document, setting forth the fact of personal service, the name(s) of the person(s) served and the date of service. The endorsement shall bear the signature of the person making the service.
(d) If the Workers' Compensation Appeals Board serves a document by mail, the proof of mail service shall be made by endorsement on the document, setting forth the fact of mail service on the persons or entities listed on the official address record who have not designated e-mail or fax as their preferred method of service. The endorsement shall state the date of mail service and it shall bear the signature of the person making the service.
(e) If the Workers' Compensation Appeals Board electronically serves a document through EAMS on persons or entities listed on the official address record who have designated e-mail or fax as their preferred method of service, the record of electronic service maintained in EAMS shall constitute proof of service on such persons or entities by the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5316 and 5504, Labor Code.
HISTORY

1. Repealer and new section exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-16-92; operative 2-1-93 and exempt from OAL review pursuant to Government Code section 11351 (Register 92, No. 51).
3. Amendment of section and Note filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
5. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10501. Service in Death Cases.
Note     •     History

When an Application for Adjudication, stipulations with request for award or compromise and release is filed in a death case in which there is a bona fide issue as to partial or total dependency, the filing party shall serve copies of the documents on the Department of Industrial Relations, Death Without Dependents Unit.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 4706.5, Labor Code.
HISTORY

1. Amendment of section heading and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10505. Service by the Parties or Lien Claimants.
Note     •     History

(a) This section shall apply when a document is served by a party, a lien claimant, or their attorney or other agent of record.
(b) Except when a document is personally served, service of any document shall be made by first-class mail or by an alternative method that will effect service that is equivalent to or more expeditious than first-class mail, unless:
(1) the party, lien claimant, attorney, or agent being served has previously specified that a designated preferred method of service other than first-class mail may be used for any service, consistent with section 10218; or 
(2) the serving party, lien claimant, attorney, or agent and the receiving party, lien claimant, attorney, or agent previously agreed to some other method of service.
For purposes of this subsection, “an alternative method that will effect service that is equivalent to or more expeditious than first-class mail” shall be limited to either: (i) use of express (overnight) or priority mail; or (ii) use of a bona fide commercial delivery service or attorney service promising delivery within two business days, as shown on the service's invoice or receipt.
(c) If a document is personally served by a party or lien claimant, the proof of personal service shall be made by endorsement on the document, setting forth the fact of personal service, the name(s) of the person(s) served and the date of service. The endorsement shall bear the signature of the person making the service.
(d) If a document is served by a party or lien claimant by mail on persons listed on the official address record who have designated mail as their preferred method of service, who have failed to make any designation, or who have previously agreed to accept mail service in accordance with subdivision (g), the proof of mail service may be made by: (1) affidavit or declaration of service; (2) written statement endorsed upon the document served and signed by the party making the statement; or (3) letter of transmittal. The proof of service shall set forth the names and addresses of persons served, the fact of service by mail, the date of service, and the address(es) to which mailing was made.
(e) If a document is served by a party or lien claimant by e-mail on persons listed on the official address record who have designated e-mail as their preferred method of service, or who have previously agreed to accept e-mail service in accordance with subdivision (g), the proof of e-mail service must state:
(1) the e-mail address of the person making the e-mail service;
(2) the date of the e-mail service;
(3) the name(s) and e-mail address(es) of the person(s) served; and
(4) that the document was served by e-mail and that there was no report of any error or delay in the transmission of the e-mail.
Absent evidence to the contrary, service by e-mail shall be deemed complete at the time of transmission, unless a document is re-served in accordance with subdivision (h).
(f) If a document is served by a party or lien claimant by fax on persons listed on the official address record who have designated fax as their preferred method of service, or who have previously agreed to accept fax service in accordance with subdivision (g), the proof of fax service must state:
(1) the sending fax machine telephone number of the person making the fax service;
(2) the date and time of the fax service;
(3) the name and the fax machine telephone number of the person served; and
(4) that the document was served fax transmission and the transmission was reported as complete and without error.
Absent evidence to the contrary, service by fax shall be deemed complete at the time of transmission, unless a document is re-served in accordance with subdivision (h).
(g) By prior agreement of the parties or lien claimants, or where authorized or requested by the receiving party or lien claimant, service of any document may be made by methods other than the designated preferred method of service.
(h) This subdivision shall apply where, after serving a document in accordance with subdivisions (d), (e), (f), and/or (g), the serving party or lien claimant (or their attorney or agent of record) subsequently receives notification that the service to one or more parties or lien claimants (or to their attorneys or agents of record) failed.
(1) When the serving party or lien claimant (or their attorney or agent of record) receives notification of failed service to any intended recipient(s), the server shall promptly re-serve the document on the intended recipient(s) using the method of service (i.e., mail, e-mail, fax) best calculated to result in valid service on the intended recipient(s), even if the intended recipient(s) did not previously designate that method as their preferred method of service.
(2) The server need not re-serve the document on intended recipients for whom the server did not receive notification of failed service.
(3) On re-service, the server shall execute a new proof of service in accordance with subdivisions (c), (d), (e), and/or (f), showing re-service on the intended recipient(s).
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. Amendment of section heading and text filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10506. Service: Mailbox.
Note     •     History

Where a district office of the Workers' Compensation Appeals Board maintains mailboxes for outgoing documents and allows consenting parties, lien claimants, and attorneys to obtain their documents from their mailboxes, documents so obtained shall be deemed to have been served on the party, lien claimant, or attorney by mail on the date of service specified on the document.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10507. Time Within Which to Act When a Document is Served by Mail, Fax, or E-Mail.
Note     •     History

(a) If a document is served by mail, fax, e-mail, or any method other than personal service, the period of time for exercising or performing any right or duty to act or respond shall be extended by:
(1) five calendar days from the date of service, if the physical address of the party, lien claimant, attorney, or other agent of record being served is within California;
(2) ten calendar days from the date of service, if the physical address of the party, lien claimant, attorney, or other agent of record being served is outside of California but within the United States; and
(3) twenty calendar days from the date of service, if the physical address of the party, lien claimant, attorney, or other agent of record being served is outside the United States.
(b) For purposes of this section, “physical address” means the street address or Post Office Box of the party, lien claimant, attorney, or other agent of record being served, as reflected in the Official Address Record at the time of service, even if the method of service actually used was fax, e-mail, or other agreed-upon method of service.
(c) This rule applies whether service is made by the Workers' Compensation Appeals Board, a party, a lien claimant, or an attorney or other agent of record.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. Amendment of section heading and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10508. Extension of Time for Weekends and Holidays.
Note     •     History

If the last day for exercising or performing any right or duty to act or respond falls on a weekend, or on a holiday for which the offices of the Workers' Compensation Appeals Board are closed, the act or response may be performed or exercised upon the next business day.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5316, Labor Code; Sections 6700, 6701 and 6707, Government Code; and Sections 10, 12, 12a, 12b, 13 and 135, Code of Civil Procedure.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10510. Service on Represented Employees or Dependents and on Attorneys or Agents.
Note     •     History

(a) All orders, decisions, findings, awards, minutes of hearing, notices of hearing, correspondence, and any other documents issued by the Workers' Compensation Appeals Board, including those being served by designated service in accordance with section 10500, shall be served on:
(1) the injured employee or any dependent(s) of a deceased employee, whether or not the employee or dependent is represented by an attorney or other agent of record;
(2) each attorney or other agent of record of the injured employee or any dependent(s) of a deceased employee; and
(3) each attorney or other agent of record for any other affected party or affected lien claimant, unless that party or lien claimant is unrepresented, in which event service shall be made directly on the party or lien claimant.
(b) Except for designated service under section 10500 or as otherwise provided by these rules, service by any party or lien claimant shall be made on the attorney(s) or agent(s) of record of each other affected party or affected lien claimant, unless that party or lien claimant is unrepresented, in which event service shall be made directly on the party or lien claimant. Except as provided in section 10500, or as otherwise ordered by a workers' compensation judge or the Appeals Board, no party or lien claimant shall be required to serve any document on the injured employee or any dependent(s) of a deceased employee, if the employee or dependent is represented by an attorney or other agent of record.
(c) Nothing in this rule shall preclude more comprehensive service, either as ordered by the Workers' Compensation Appeals Board or in the discretion of the Workers' Compensation Appeals Board or the parties.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10514. Proof of Service by Parties and Lien Claimants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. Amendment of section heading and text filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10520. Proof of Service by Workers' Compensation Appeals Board. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 7. Subpoenas
§10530. Subpoenas.
Note     •     History

The Workers' Compensation Appeals Board shall issue subpoenas and subpoenas duces tecum upon request in accordance with the provisions of Code of Civil Procedure sections 1985 and 1987.5 and Government Code section 68097.1. Subpoenas and subpoenas duces tecum shall be on forms prescribed and approved by the Appeals Board, and for injuries occurring on or after January 1, 1990, shall contain, in addition to the requirements of Code of Civil Procedure 1985, an affidavit that a claim form has been duly filed pursuant to Labor Code section 5401, subdivision (c). 
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 130 and 5401, Labor Code; Sections 1085, 1087.5, Code of Civil Procedure; and Section 68097.1, Government Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
§10532. Notice to Appear or Produce.
Note

A notice to appear or produce in accordance with Code of Civil Procedure Section 1987 is permissible in proceedings before the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 132, Labor Code.
§10534. Microfilm.
Note     •     History

Where records or other documentary evidence have been recorded or reproduced using the methods described in Section 1551 of the Evidence Code and the original records destroyed, the film, legible print thereof or electronic recording shall be produced in response to a subpoena duces tecum. A party offering a film or electronic recording in evidence may be required to provide legible prints thereof or reproductions from the electronic recording.
The expense of:
(a) inspecting reproductions shall be paid by the party making the inspection; and
(b) obtaining microfilm prints shall be borne by the party requiring the same.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 130, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10536. Witness Fees and Subpoenas.
Note     •     History

Medical examiners appointed by the Workers' Compensation Appeals Board or agreed to by the parties when subpoenaed for cross-examination at the Workers' Compensation Appeals Board or deposition shall be paid by the party requiring the attendance of the witness in accordance with the Rules of the Administrative Director.
Failure to serve the subpoena and tender the fee in advance based on the estimated time of the trial or deposition may be treated by the Workers' Compensation Appeals Board as a waiver of the right to examine the witness. Service and payment of the fee may be made by mail if the witness so agrees.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 130, 131, 4621 and 5710, Labor Code; and Section 2034(i)(2), Code of Civil Procedure.
HISTORY

1. Repealer and new section exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10537. Subpoena for Medical Witness.
Note

A subpoena requiring the appearance of a medical witness before the Workers' Compensation Appeals Board must be served not less than ten (10) days before the time the witness is required to appear and testify.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 132, Labor Code.
Article 8. Hearings
§10541. Submission at Conference.
Note     •     History

(a) A workers' compensation judge may receive evidence and submit an issue or issues for decision at a conference hearing if the parties so agree.
(b) If documentary evidence is required to determine the issue or issues being submitted, the parties shall comply with the provisions of Rule 10629 regarding the listing and filing of exhibits.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5708 and 5709, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10544. Notice of Hearing.
Note     •     History

The Workers' Compensation Appeals Board shall serve or cause to be served notice of the time and place of hearings on all parties and lien claimants, and their attorneys or other agents of record, as provided in Rule 10500.
Notice of hearing shall be given at least ten (10) days before the date of hearing, except where:
(a) notice is waived;
(b) a different time is expressly agreed to by all parties and concurred in by the Workers' Compensation Appeals Board; or
(c) the proceedings are governed by Article 19 pertaining to claims against the Subsequent Injuries Fund.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5504, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10548. Continuances; Appearances in Settled Cases. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Section 5502.5, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10550. Proper Identification of the Parties and Lien Claimants.
Note     •     History

Whenever any party or lien claimant (or any attorney or other representative for a party or lien claimant) either (i) files any Application for Adjudication, Answer, stipulated Findings and Award, Compromise and Release, lien claim, petition or other pleading with the Workers' Compensation Appeals Board or (ii) states its appearance on the record at any hearing before the Workers' Compensation Appeals Board (including but not limited to stating its appearance on any pretrial conference statement, appearance sheet, or minutes of hearing), the party or lien claimant, or its attorney or other representative, shall comply with the following requirements:
(a) each party or lien claimant shall set forth its full legal name, and each attorney or other representative shall set forth the full legal name(s) of the party or parties he, she, or it is representing;
(b) if an adjusting agent or third-party claims administrator is appearing, it shall disclose: (1) whether it is appearing on behalf of an employer, an insurance carrier, or both; (2) the identity or identities of the party or parties it is representing; and (3) if it is representing an insurance carrier, whether the policy includes a high self-insured retention, a large deductible, or any other provision that affects the identity of the entity or entities actually liable for the payment of compensation;
(c) if an insurance carrier is appearing, it shall disclose: (1) whether it is appearing solely on its behalf, or also on behalf the insured employer; and (2) whether its policy includes a high self-insured retention, a large deductible, or any other provision that affects the identity of the entity actually liable for the payment of compensation; and
(d) if a lien claim is being filed or amended, or if a lien claimant is appearing, the lien claimant shall state whether it is the original owner of the alleged debt or whether it has purchased the alleged debt from the original owner or some subsequent purchaser.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 3755-3759, 4903.1(c), 5001, 5002, 5003, 5004, 5500, 5502, 5503, 5505, 5702 and 5709, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10555. Priority Conference Calendar. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5502(c), Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10560. Submission at Single Trial.
Note     •     History

The parties are expected to submit for decision all matters properly in issue at a single trial and to produce at the trial all necessary evidence, including witnesses, documents, medical reports, payroll statements and all other matters considered essential in the proof of a party's claim or defense. However, a workers' compensation judge may order that the issues in a case be bifurcated and tried separately upon a showing of good cause.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Section 5708, Labor Code.
HISTORY

1. Repealer and new section heading and section and amendment of Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10561. Sanctions.
Note     •     History

(a) On its own motion or upon the filing of a petition pursuant to Rule 10450, the Workers' Compensation Appeals Board may order payment of reasonable expenses, including attorney's fees and costs and, in addition, sanctions as provided in Labor Code section 5813.  Before issuing such an order, the alleged offending party or attorney must be given notice and an opportunity to be heard.  In no event shall the Workers' Compensation Appeals Board impose a monetary sanction pursuant to Labor Code section 5813 where the one subject to the sanction acted with reasonable justification or other circumstances make imposition of the sanction unjust.
(b) Bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay include actions or tactics that result from a willful failure to comply with a statutory or regulatory obligation, that result from a willful intent to disrupt or delay the proceedings of the Workers' Compensation Appeals Board, or that are done for an improper motive or are indisputably without merit. Violations subject to the provisions of Labor Code Section 5813 shall include but are not limited to the following:
(1) Failure to appear or appearing late at a conference or trial where a reasonable excuse is not offered or the offending party has demonstrated a pattern of such conduct.
(2) Filing a pleading, petition or legal document unless there is some reasonable justification for filing the document.
(3) Failure to timely serve documents (including but not limited to medical reports and medical-legal reports) as required by the rules of the Appeals Board, the Court Administrator, or the Administrative Director, where the documents are within the party or lien claimant's possession or control, unless that failure resulted from mistake, inadvertence, or excusable neglect.
(4) Failing to comply with the Workers' Compensation Appeals Board's Rules of Practice and Procedure, with the regulations of the Administrative Director or the Court Administrator, or with any award or order of the Workers' Compensation Appeals Board, including an order of discovery, which is not pending on reconsideration, removal or appellate review and which is not subject to a timely petition for reconsideration, removal, or appellate review, unless that failure results from mistake, inadvertence, surprise, or excusable neglect.
(5) Executing a declaration or verification to any petition, pleading, or other document filed with the Workers' Compensation Appeals Board:
(A) that: (i) contains false or substantially false statements of fact; (ii) contains statements of fact that are substantially misleading; (iii) contains substantial misrepresentations of fact; (iv) contains statements of fact that are made without any reasonable basis or with reckless indifference as to their truth or falsity; (v) contains statements of fact that are literally true, but are intentionally presented in a manner reasonably calculated to deceive; and/or (vi) conceals or substantially conceals material facts; and
(B) where a reasonable excuse is not offered or where the offending party has demonstrated a pattern of such conduct.
(6) Bringing a claim, conducting a defense, or asserting a position:
(A) that is: (i) indisputably without merit, (ii) done solely or primarily for the purpose of harassing or maliciously injuring any person, and/or (iii) done solely or primarily for the purpose of causing unnecessary delay or a needless increase in the cost of litigation; and
(B) where a reasonable excuse is not offered or where the offending party has demonstrated a pattern of such conduct.
(7) Presenting a claim or a defense, or raising an issue or argument, that is not warranted under existing law -- unless it can be supported by a nonfrivolous argument for an extension, modification, or reversal of the existing law or for the establishment of new law -- and where a reasonable excuse is not offered or where the offending party has demonstrated a pattern of such conduct. In determining whether a claim, defense, issue, or argument is warranted under existing law, or if there is a reasonable excuse for it, consideration shall be given to:
(A) whether there are reasonable ambiguities or conflicts in the existing statutory, regulatory, or case law, taking into consideration the extent to which a litigant has researched the issues and found some support for its theories; and
(B) whether the claim, defense, issue, or argument is reasonably being asserted to preserve it for reconsideration or appellate review.
This subdivision is specifically intended not to have a “chilling effect” on a party or lien claimant's ability to raise and pursue legal arguments that reasonably can be regarded as not settled.
(8) Asserting a position that misstates or substantially misstates the law, and where a reasonable excuse is not offered or where the offending party has demonstrated a pattern of such conduct.
(9) Using any language or gesture at or in connection with any hearing, or using any language in any pleading or other document:
(A) where the language or gesture (i) is directed to the Workers' Compensation Appeals Board, to any of its officials or staff, or to any party or lien claimant (or the attorney or other representative for a party or lien claimant) and (ii) is patently insulting, offensive, insolent, intemperate, foul, vulgar, obscene, abusive, or disrespectful; or
(B) where the language or gesture impugns the integrity of the Workers' Compensation Appeals Board or its Commissioners, judges, or staff.
(e) Notwithstanding any other provision of these rules, for purposes of this rule and Labor Code section 5813: (1) a lien claimant may be deemed a “party” at any stage of the proceedings before the Workers' Compensation Appeals Board; and (2) an “attorney” includes a lay representative of a party or lien claimant.
(f) This rule shall apply only to applications filed on or after January 1, 1994.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code.  Reference: Sections 4903.6(c) and 5813, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10561.5. Compliance with Rules of the Court Administrator.
Note     •     History

The failure to comply with the rules of the court administrator shall be deemed a bad faith action or tactic that is frivolous or solely intended to cause unnecessary delay unless that failure results from mistake, inadvertence, surprise, or excusable neglect.
NOTE

Authority cited: Sections 133, 5307(c) and 5500.3, Labor Code; and Stats. 2011, c. 559, §17 (A.B. 1426). Reference: Section 5813, Labor Code.
HISTORY

1. Renumbering of former section 10211 to new section 10561.5, including amendment of Note, filed 12-10-2012 as a change without regulatory effect pursuant to section 100, title 1, California Code of Regulations by the Division of Workers' Compensation and as a file and print by the Workers' Compensation Appeals Board pursuant to Government Code section 11351 (Register 2012, No. 50).
§10562. Failure to Appear.
Note     •     History

(a) Where a party served with notice of trial fails to appear either in person or by attorney or representative, the workers' compensation judge may 
(1) dismiss the application after issuing a ten (10) day notice of intention to dismiss, or 
(2) hear the evidence and, after service of the minutes of hearing and summary of evidence that shall include a ten (10) day notice of intention to submit, make such decision as is just and proper.
(b) Where a party served with notice of a mandatory settlement conference fails to appear at the conference, the workers' compensation judge may 
(1) dismiss the application after issuing a ten (10) day notice of intention to dismiss, or
(2) close discovery and forward the case to the presiding workers' compensation judge to set for trial.
(c) Where a party, after notice, fails to appear at either a trial or a conference and good cause is shown for failure to appear, the workers' compensation judge may take the case off calendar or may continue the case to a date certain.
(d) Where a lien claimant served with notice of a conference fails to appear at the conference either in person or by attorney or representative, and fails to have a person with settlement authority available by telephone, the workers' compensation judge may
(1) dismiss the lien claim after issuing a ten (10) day notice of intention to dismiss with or without prejudice, or 
(2) close discovery and forward the case to the presiding workers' compensation judge to set for trial.
(e) Where a lien claimant served with notice of a trial fails to appear, the workers' compensation judge may
(1) dismiss the lien claim after issuing a ten (10) day notice of intention to dismiss with or without prejudice, or 
(2) hear the evidence and, after service of the minutes of hearing and summary of evidence that shall include a ten (10) day notice of intention to submit, make such decision as is just and proper, or
(3) defer the issue to the lien and submit the case on the remaining issues.
(f) If the workers' compensation judge defers a lien issue, upon the issuance of his or her decision on the remaining issues, the workers' compensation judge shall
(1) issue a ten (10) day notice of intention to order payment of the lien in full or in part, or
(2) issue a ten (10) day notice of intention to disallow the lien, or
(3) continue the lien issue to a lien conference.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Sections 5502(e) and 5708, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).   For prior history, see Register 91, No. 7.
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10563. Appearances Required. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5502(e) and 5708, Labor Code.
HISTORY

1. Amendment filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
3. Editorial correction of History 1 (Register 96, No. 52).
4. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
5. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10564. Interpreters.
Note     •     History

Subject to the Rules of the Administrative Director, the Workers' Compensation Appeals Board may in any case appoint an interpreter and fix the interpreter's compensation. It shall be the responsibility of any party producing a witness requiring an interpreter to arrange for the presence of a qualified interpreter.
For injuries before January 1, 1994, interpreter's  fees that are reasonably, actually and necessarily incurred and that are not allowed under Labor Code Section 4600 shall be allowed as costs under Labor Code Section 5811. Recovery shall be allowed in the amount charged by the interpreter unless:
(1) proof of unreasonableness is entered by the party contesting the reasonableness of the charge, or
(2) the charge is manifestly unreasonable.
For injuries on or after January 1, 1994, interpreter's fees that are reasonably, actually and necessarily incurred shall be allowed as provided by Labor Code Sections 4600, 5710 and 5811 as amended July 16, 1993.  Interpreter's fees as defined in Labor Code section 4620, that are reasonably, actually and necessarily incurred as provided in Labor Code section 4621, shall be allowed in accordance with the fee schedule set by the Administrative Director.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4600, 4621, 5710 and 5811, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10566. Minutes of Hearing and Summary of Evidence.
Note     •     History

Minutes of hearing and summary of evidence shall be prepared at the conclusion of each hearing and filed in the record of proceedings. They shall include:
(a) The names of the commissioners, deputy commissioner or workers' compensation judge, reporter, the parties present, attorneys or other agents appearing therefor and witnesses sworn;
(b) The place and date of said hearing;
(c) All interlocutory orders, admissions and stipulations, the issues and matters in controversy, a descriptive listing of all exhibits received for identification or in evidence (with the identity of the party offering the same) and the disposition, which shall include the time and action, if any, required for submission;
(d) A summary of the evidence required by Labor Code Section 5313 that shall include a fair and unbiased summary of the testimony given by each witness;
(e) If motion pictures are shown, a brief summary of their contents;
(f) A fair statement of any offers of proof.
If the disposition is an order taking off calendar or a continuance, the reason therefor shall be given.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5313, Labor Code.
HISTORY

1. Amendment of subsection (d) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10570. Minute Orders.
Note

Interlocutory or interim orders, including dismissal of improper or unnecessary parties, may be entered upon the minutes of hearing and will become the order of the Workers' Compensation Appeals Board upon the filing thereof.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Section 5307.5, Labor Code.
§10578. Waiver of Summary of Evidence.
Note     •     History

The summary of evidence need not be filed upon waiver by the parties or upon issuance of a stipulated order, decision or award.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5702, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10580. Evidence Taken Without Notice.
Note     •     History

Transcripts or summaries of testimony taken without notice and copies of all reports and other matters added to the record, otherwise than during the course of an open hearing, shall be served upon the parties to the proceeding. Unless it is otherwise expressly provided, the parties shall be allowed 10 days after service of the testimony and reports within which to produce evidence in explanation or rebuttal or to request further proceedings before the case shall be deemed submitted for decision.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5704, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10582. Inactive Cases, Procedure, Subsequent Action.
Note     •     History

This rule applies to injuries occurring before January 1, 1990 and on or after January 1, 1994.
An Application for Adjudication filed without an accompanying Declaration of Readiness to Proceed will be placed in inactive status.
Cases set for hearing may be removed from the active calendar by an order taking off calendar.
Cases in off calendar status may be restored to the active calendar upon the filing and serving of a properly executed Declaration of Readiness to Proceed.
Unless a case is activated for hearing within one year after the filing of the Application for Adjudication or the entry of an order taking off calendar, the case may be dismissed after notice and opportunity to be heard. Such dismissals may be entered at the request of an interested party or upon the Workers' Compensation Appeals Board's own motion for lack of prosecution. A case may be dismissed after issuance of a ten (10) day notice of intention to dismiss and an opportunity to be heard, but not by an order with a clause rendering the order null and void if an objection showing good cause is filed.
A petition by a defendant to dismiss the case must be accompanied by a copy of a letter mailed to the applicant and, if represented, to the applicant's attorney or representative, more than thirty (30) days before the filing of the petition to dismiss. This letter must state that it is the intention of the persons signing the letter to file a petition for dismissal thirty (30) days after the date of that letter unless the applicant or his attorney or representative shows in writing some good reason for not dismissing the case. A copy of the reply, if any, must be attached to the petition to dismiss. A copy of the petition must be served on all parties and all lien claimants.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5405 and 5406, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of first paragraph filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Amendment of second and third paragraphs and amendment of Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10582.5. Dismissal of Inactive Lien Claims for Lack of Prosecution.
Note     •     History

(a) A lien claim may be dismissed for lack of prosecution on a petition filed by a party or on the Workers' Compensation Appeals Board's own motion if the lien claimant fails to file a declaration of readiness to proceed by the earlier of: 
(1) 180 days after the lien claimant becomes a “party” within the meaning of section 10301(x)(3); or
(2) 180 days after a lien conference or lien trial at which the lien claim was at issue is ordered off calendar. 
The 180-day period of subdivision (a)(1) is computed from the date that the original owner of the lien claim became a party or would have become a party if it still owned the lien claim. 
(b) At least 30 days prior to filing a petition to dismiss a lien claim for lack of prosecution, the petitioner shall send a letter to the lien claimant and, if represented, to the lien claimant's attorney or representative of record, stating petitioner's intention to file such a petition. 
(c) A petition to dismiss a lien claim for lack of prosecution shall be accompanied by all of the following: 
(1) A copy of the 30-day letter referenced in subdivision (b).
(2) A declaration under penalty of perjury stating whether: 
(A) the lien claimant has served the petitioner with a declaration of readiness and, if so, the date of such service. 
(B) the petitioner has received any billing(s) from the lien claimant and, if so, stating either: 
(i) the petitioner made a reasonable and good faith payment on each billing consistent with all existing law(s), where applicable, including but not limited to the following: (I) Lab. Code, §4603.2(b)(1) and Cal. Code Regs., tit. 8, §9792.5(c) for medical treatment liens; (II) Lab. Code, §4622(c) and Cal. Code Regs., tit. 8, §9794(b) & (c) for medical-legal liens; and (III) Cal. Code Regs., tit. 8, §9795.4(a) for interpreter liens; or
(ii) the reason(s) why no such payment or tender of payment was made. 
(C) the petitioner has timely served all medical reports and medical-legal reports on the lien claimant, to the extent required by section 10608(f). 
(d) In addition to the requirements of subdivision (c), a petition to dismiss a lien claim for lack of prosecution shall be accompanied by the following, as applicable:
(1) If the petition seeks dismissal under section 10582.5(a)(1) based on the lien claimant's failure to file a declaration of readiness to proceed within 180 days after the underlying case has resolved within the meaning of section 10301(x)(3)(A), the petition shall be accompanied by: 
(A) a copy of an order approving a compromise and release agreement, a stipulated Findings and Award, an adjudicated Findings and Award, or any other decision or order resolving the underlying case; and 
(B) if this decision or order was served by designated service under section 10500(a), proof that it was served on the lien claimant. 
(2) If the petition seeks dismissal under section 10582.5(a)(1) based on the lien claimant's failure to file a declaration of readiness to proceed within 180 days after the injured employee or the dependent(s) of a deceased employee “choose(s) not to proceed with his, her, or their case” within the meaning of section 10301(x)(3)(B), the petition shall be accompanied by a declaration concisely stating facts to support the “choose(s) not to proceed” allegation. This declaration, at a minimum, shall specify based on the petitioner's knowledge and belief: 
(A) the nature and date of the last activity by the injured employee or the dependent(s) of a deceased employee relating to the case; and 
(B) the nature and date of the last payment of disability indemnity. 
(3) If the petition seeks dismissal under section 10582.5(a)(2), the petition shall be accompanied by a copy of the order taking the lien conference or lien trial at which the lien claim was at issue off calendar. 
(e) A copy of the petition to dismiss a lien claim for lack of prosecution shall be served on each of the following, together with a proof of service: 
(1) the lien claimant and, if represented, the lien claimant's attorney or representative of record;
(2) any defendant(s) in any case(s) listed on the lien claim or, if represented, the attorney or representative of record of any such defendant(s); and 
(3) the injured employee and, if represented, the injured employee's attorney or representative of record. 
(f) A lien claim shall not be dismissed for lack of prosecution unless:
(1) the Workers' Compensation Appeals Board has issued a notice of intention to dismiss with or without prejudice, giving the lien claimant at least 30 days to file written objection showing good cause to the contrary; and
(2) the lien claimant fails to timely object or the written objection, on its face, fails to show good cause. 
Any objection to the notice of intention shall be filed with the Workers' Compensation Appeals Board and served on the defendant(s). 
(g) If a defendant is designated to serve the notice of intention to dismiss under section 10500(a), the defendant shall serve the notice of intention within 10 business days. If the defendant does not receive a timely objection (taking into consideration the time extension provisions of sections 10507 and 10508), the defendant shall file and serve a proposed order dismissing the lien and copies of the notice of intention and the notice's proof of service. 
(h) An order dismissing a lien claim for lack of prosecution shall be served only by the Workers' Compensation Appeals Board and not by designated service. 
(i) All pleadings and declarations filed under this section shall be verified under penalty of perjury in the manner required for verified pleadings in courts of record. 
(j) This section shall become operative on August 1, 2012 and, except as provided in subdivision (k), shall apply to all lien claims, regardless of the date of filing of the lien claim, the injured employee's date(s) of injury, or the date(s) on which the lien claimant provided the service(s) that are the subject of the lien claim. 
(k) This section shall not apply to the lien claim(s) of any of the following: (1) the Employment Development Department; (2) the California Victims of Crime Program; (3) any lien claimant listed as being excepted under parts (A) through (C) of section 10228(c)(5); and (4) any governmental entity pursuing a lien claim for child support or spousal support. 
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4903, 4903.5, 4903.6 and 5404.5, Labor Code. 
HISTORY

1. New section filed 5-21-2012; operative 5-21-2012 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Government Code 11351 (Register 2012, No. 21).
§10583. Dismissal of Claim Form--Labor Code Section 5404.5.
Note     •     History

Where an application for adjudication for an injury on or after January 1, 1990 and before January 1, 1994, has not been filed by any of the parties, an employer or insurer seeking dismissal of a claim form for lack of prosecution shall solely utilize the procedures set forth in Labor Code Section 5404.5 and shall not seek an order of dismissal from the Appeals Board by the filing of an application for adjudication, a request for pre-application determination or any other petition or request.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 5404.5, Labor Code.
HISTORY

1. Renumbering of former section 10407 to new section 10583 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10589. Consolidation of Cases.
Note     •     History

(a) Consolidation of two or more related cases, involving either the same injured employee or multiple injured employees, rests in the sound discretion of the Workers' Compensation Appeals Board. In exercising that discretion, the Workers' Compensation Appeals Board shall take into consideration any relevant factors, including but not limited to the following:
(1) whether there are common issues of fact or law;
(2) the complexity of the issues involved; 
(3) the potential prejudice to any party, including but not limited to whether granting consolidation would significantly delay the trial of any of the cases involved;
(4) the avoidance of duplicate or inconsistent orders; and
(5) the efficient utilization of judicial resources.
Consolidation may be ordered for limited purposes or for all purposes.
(b) Consolidation may be ordered by the Workers' Compensation Appeals Board on its own motion, or may be ordered based upon a petition filed by one of the parties. A petition to consolidate shall:
(1) List all named parties in each case;
(2) Contain the adjudication case numbers of all the cases sought to be consolidated, with the lowest numbered case shown first;
(3) Be filed in each case sought to be consolidated; and
(4) Be served on all attorneys or other representatives of record and on all non-represented parties in each case sought to be consolidated.
(c) Any order regarding consolidation shall be filed in each case to which the order relates.
(d) If consolidation is ordered, the Workers' Compensation Appeals Board, in its discretion, may designate one case as the master file for exhibits and pleadings. If a master file is designated, any subsequent exhibits and pleadings filed by the parties and lien claimants during the period of consolidation shall be filed only in the master case, however, all pleadings and exhibit cover sheets filed shall include the caption and case number of the master file case, followed by the case numbers of all of the other consolidated cases.
(e) If a master file has been designated and the consolidated cases are tried, all relevant documentary evidence previously received in an individual case shall be deemed admitted in evidence in the consolidated proceedings under the master file and shall be deemed part of the record of each of the several consolidated cases. Evidence received subsequent to the designation of the master file shall be similarly received with like force and effect.
(f) When cases are consolidated, joint minutes of hearing, summaries of evidence, opinions, decisions, orders, findings, or awards may be used, however, copies shall be filed in the record of proceedings of each case.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5300, 5301, 5303 and 5708, Labor Code.
HISTORY

1. Renumbering of former section 10590 to new section 10589,  including amendment of section and Note, filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10590. Consolidated Cases--Same Injured Worker. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5303, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Renumbering of former section 10590 to new section 10589 and new section 10590 filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10591. Consolidating Cases--Multiple Injured Workers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5303, 5310 and 5708, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10592. Pleadings in Consolidated Cases. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5303 and 5313, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10593. Testimony of Judicial or Quasi-Judicial Officers of the Workers' Compensation Appeals Board or of the Division of Workers' Compensation.
Note     •     History

(a) No judicial or quasi-judicial officer of the Workers' Compensation Appeals Board or of the Division of Workers' Compensation may be subpoenaed or ordered to testify regarding either (1) the reasons for or basis of any decision or ruling he or she has made or (2) his or her opinion regarding any statements, conduct, or events occurring in proceedings before him or her, except as follows:
(A) The judicial or quasi-judicial officer may be ordered to testify where his or her testimony is necessary on an issue of disqualification under Labor Code section 5311 and Code of Civil Procedure section 641.
(B) The judicial or quasi-judicial officer may be ordered to testify where his or her testimony is necessary on an issue of an alleged ex parte communication.
The judicial or quasi-judicial officer may be subpoenaed or ordered to testify as a percipient witness to statements, conduct, or events that occurred in the proceedings before him or her, to the same extent as any other percipient witness.
(b) The testimony of a judicial or quasi-judicial offer shall be given only on the terms and conditions ordered by the presiding workers' compensation judge of the district office having venue, or by the Appeals Board, after the filing of a “Petition to Compel the Testimony of a Judicial or Quasi-Judicial Officer.”
(1) The petition to compel shall set forth with specificity the facts (or alleged facts) and law that support the petition.
(2) The petition to compel shall be verified under penalty of perjury.
(3) The petition to compel shall be served on all other parties, on all lien claimants whose liens are presently pending in issue in the underlying claim to which the petition relates, and on the Legal Unit of the Division of Workers' Compensation (DWC-Legal Unit), together with a proof of service. [As of the effective date of this rule, the street address of the DWC-Legal Unit is 1515 Clay Street, 18th Floor, Oakland, CA 94612-1402 and the Post Office Box of the DWC-Legal Unit is P.O. Box 420603, San Francisco, CA 94142. However, current information regarding the street address and Post Office Box of the DWC-Legal Unit may be obtained by calling the Headquarters of the Division of Workers' Compensation, whose number, as of the effective date of this rule, is (510) 286-7100.]
(4) A petition to compel that does not meet all of the foregoing requirements may be summarily dismissed or denied.
(c) The other parties, lien claimants, and the DWC-Legal Unit shall have 15 days within which to file any objection to the petition to compel.
(d) The petition to compel shall be determined: (1) by the presiding workers' compensation judge of the district office having venue; (2) by a Deputy Commissioner of the Appeals Board, if the petition to compel relates to the presiding workers' compensation judge of the district office having venue; or (3) by the Appeals Board, if the petition to compel relates to a pending or impending petition for reconsideration, removal or disqualification,. The petition may be determined on the pleadings submitted or, in the discretion of the presiding workers' compensation judge or the Appeals Board, the petition may be set for a hearing.
(e) In determining whether to grant the petition to compel (and, if granted, in determining the terms and conditions upon which the testimony of the judicial or quasi-judicial officer may be given), the presiding workers' compensation judge or the Appeals Board may consider, among other things:
(1) Whether the testimony of the judicial or quasi-judicial officer is reasonably necessary, taking into consideration (A) whether statements in the judicial or quasi-judicial officer's opinion on decision, report on reconsideration, removal, or disqualification, or other similar statements are sufficient to resolve any allegation by a party or lien claimant; and (B) if not, whether the judicial or quasi-judicial officer's factual statements may be fairly provided by an affidavit or declaration under penalty of perjury.
(2) Whether the testimony of the judicial or quasi-judicial officer under the “percipient witness” exception would be cumulative to the testimony of other percipient witnesses.
(f) For purposes of this section, the term “judicial or quasi-judicial officer of the Workers' Compensation Appeals Board or of the Division of Workers' Compensation” shall include, but shall not be limited to: (1) any Commissioner; (2) any Deputy Commissioner; (3) any presiding workers' compensation judge or workers' compensation judge; (4) any pro tempore workers' compensation judge; (5) any special master appointed by the Workers' Compensation Appeals Board; (6) the Administrative Director and his or her designee; (7) the Court Administrator and his or her designee; (8) any workers' compensation consultant of the Rehabilitation Unit or of the Retraining and Return to Work Unit; and (9) any arbitrator or mediator.
(g) For purposes of this section, the term “testify” shall include testimony in either oral or written form (e.g., affidavits, declarations, interrogatories) and shall include all testimony, whether given at a deposition or a hearing.
(h) This section shall apply solely to testimony sought in connection with a matter within the jurisdiction of the Workers' Compensation Appeals Board, and it shall not apply to testimony sought pursuant to the authority of any other forum.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5300, 5301, 5309, 5700, 5701 and 5708, Labor Code; and Section 703.5, Evidence Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 9. Evidence and Reports
§10600. Evidence and Reports.
Note     •     History

The filing of a document does not signify its receipt in evidence, and, except for the documents listed in section 10750 of these Rules, only those documents that have been received in evidence shall be included in the record of proceedings on the case.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section  5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10601. Copies of Reports and Records.
Note     •     History

Where documents, including videotapes, are to be offered into evidence, copies shall be served on all adverse parties no later than the mandatory settlement conference, unless a satisfactory showing is made that the documents were not available for service by that time.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5502(e), Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10602. Formal Permanent Disability Rating Determinations.
Note     •     History

The Workers' Compensation Appeals Board may request the Disability Evaluation Unit to prepare a formal rating determination on a form prescribed for that purpose by the Administrative Director. The request may refer to an accompanying medical report or chart for the sole purpose of describing measurable physical elements of the condition that are clearly and exactly identifiable. In every instance the request shall describe the factors of disability in full.
The report of the Disability Evaluation Unit in response to the request shall constitute evidence only as to the percentage of the permanent disability based on the factors described, and the report shall not constitute evidence as to the existence of the permanent disability described.
The report of the Disability Evaluation Unit shall be filed and served on the parties and shall include or be accompanied by a notice that the case shall be submitted for decision seven (7) days after service unless written objection is made within that time.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4660 and 5708, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10603. Oversized Exhibits, Diagnostic Imaging, Physical Exhibits, and Exhibits on Media.
Note     •     History

(a) The following exhibits shall be filed only at the time of trial:
(1) Oversized documents, other than medical reports, that are: (A) larger than 11 x 17 inches (e.g., maps, diagrams, and schematic drawings) or (B) over 25 pages in length;
(2) Diagnostic imaging, including but not limited to any X-ray, computed axial tomography (CAT) scan, magnetic resonance imaging (MRI), nuclear medicine, positron emission tomography (PET) scan, mammography, ultrasound, or other similar medical imaging that is stored on digital, film, or other non-paper media;
(3) Original business or office records;
(4) Physical objects or other tangible things;
(5) Any CD-ROM, DVD, or other digital media, including but not limited to: (A) digital photographs; (B) digital video recordings; and (C) digital audio recordings; 
(6) Videotapes, audiotapes, films and other non-digital video and/or audio recordings or images; and
(7) Photographs printed on paper.
(b) Unless otherwise ordered by the Workers' Compensation Appeals Board, any exhibit listed in subdivision (a) that is offered into evidence (whether or not admitted into evidence) shall be retained by the filing party (or an agent of the filing party) until the later of either: (1) five years after the filing of the initial application for adjudication (or other case opening document) or (2) at least six months after all appeals have been exhausted or the time for seeking appellate review has expired with respect to the decision on the issue(s) for which the exhibit was offered in evidence. After expiration of the later of these two time periods, the party may destroy the exhibit, unless the Workers' Compensation Appeals Board has ordered that the exhibit be preserved for a longer period.
(c) Before and during the period of retention, the filing party shall:
(1) Maintain the exhibit under conditions that will protect it against loss, destruction, or tampering, and that will preserve its quality and integrity as far as practicable;
(2) At the request of any other party to the action, promptly permit the party to inspect or view the exhibit; and
(3) At the request of any other party to the action, and if practicable, promptly furnish the party a copy of the exhibit or promptly permit the party to make a copy.
For purposes of subsection (c), the term “exhibit” shall include any item listed in subsection (a), whether or not the party or lien claimant in possession or control of that item intends to offer it in evidence.
(d) Any disputes regarding subdivision (c), including but not limited to issues of timing and costs, may be submitted for determination to the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5309, 5701, 5703, 5704 and 5708, Labor Code
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10604. Certified Copies.
Note     •     History

Certified copies of the reports or records of any governmental agency, division or bureau shall be admissible in evidence in lieu of the original reports or records.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5703 and 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10605. Reproductions of Documents.
Note     •     History

A nonerasable optical image reproduction provided that additions, deletions, or changes to the original document are not permitted by the technology, a photostatic, microfilm, microcard, miniature photographic, or other photographic copy or reproduction, or an enlargement thereof, of a writing is admissible as the writing itself if the copy or reproduction was made and preserved as a part of the records of a business (as defined by Evidence Code Section 1270) in the regular course of that business. The introduction of the copy, reproduction, or enlargement does not preclude admission of the original writing if it is still in existence. The Workers' Compensation Appeals Board may require the introduction of a hard copy printout of the document.
A printed representation of images stored on a video or digital medium is presumed to be an accurate representation of the images it purports to represent. This presumption is a presumption affecting the burden of producing evidence. If a party to an action introduces evidence that a printed representation of images stored on a video or digital medium is inaccurate or unreliable, the party introducing the printed representation into evidence has the burden of proving by a preponderance of the evidence, that the printed representation is an accurate representation of the existence and content of the images that it purports to represent.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5708, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10606. Physicians' Reports as Evidence.
Note     •     History

The Workers' Compensation Appeals Board favors the production of medical evidence in the form of written reports. Direct examination of a medical witness will not be received at a trial except upon a showing of good cause.  A continuance may be granted for rebuttal testimony subject to Labor Code Section 5502.5.
These reports should include where applicable:
(a) the date of the examination;
(b) the history of the injury;
(c) the patient's complaints;
(d) a listing of all information received from the parties reviewed in preparation of the report or relied upon for the formulation of the physician's opinion;
(e) the patient's medical history, including injuries and conditions, and residuals thereof, if any;
(f) findings on examination;
(g) a diagnosis;
(h) opinion as to the nature, extent, and duration of disability and work limitations, if any;
(i) cause of the disability;
(j) treatment indicated;
(k) opinion as to whether or not permanent disability has resulted from the injury and whether or not it is stationary.  If stationary, a description of the disability with a complete evaluation;
(l) apportionment of disability, if any;
(m) a determination of the percent of the total causation resulting from actual events of employment, if the injury is alleged to be a psychiatric injury;
(n) the reasons for the opinion; and,
(o) the signature of the physician.
Failure to comply with (a) through (o) will be considered in weighing the evidence.
In death cases, the reports of non-examining physicians may be admitted into evidence in lieu of oral testimony.
All medical-legal reports shall comply with the provisions of Labor Code Section 4628.  Except as otherwise provided by the Labor Code, including Labor Code Sections 4628 and 5703, and the rules of practice and procedure of the Appeals Board, failure to comply with the requirements of this section will not make the report inadmissible but will be considered in weighing the evidence.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4603.2, 4628, 5703, 5708 and 5709, Labor Code.
HISTORY

1. New subsections (i), (j) and (k) filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Editorial correction of subsection (h) filed 2-2-83 (Register 83, No. 6).
3. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10607. Computer Printouts of Benefits Paid.
Note     •     History

If a party requests that a defendant provide a computer printout of benefits paid, within twenty (20) days the defendant shall provide the requesting party with a current computer printout of benefits paid. The printout shall include the date and amount of each payment of temporary disability indemnity, permanent disability indemnity, and vocational rehabilitation maintenance allowance, and the period covered by each payment, and the date, payee, and amount of each payment for medical treatment. This request may not be made more frequently than once in a one-hundred-twenty (120) day period unless there is a change in indemnity payments.
A defendant that has paid benefits shall have a current computer printout of benefits paid available for inspection at every mandatory settlement conference.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5502(e) and 5708, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10608. Filing and Service of Medical Reports and Medical-Legal Reports.
Note     •     History

(a) All medical reports and medical-legal reports filed with the Workers' Compensation Appeals Board shall be filed in accordance with the regulations of the Court Administrator, or as otherwise provided by these rules. Service of all medical reports and medical-legal reports on other parties and lien claimants shall be made in accordance with the provisions of this section.
(b) After the filing of an Application for Adjudication, if a party or lien claimant is requested by another party or lien claimant to serve copies of medical reports and medical-legal reports relating to the claim, the party or lien claimant receiving the request shall serve copies of the reports that are in its possession or under its control on the requesting party or lien claimant within six (6) days of the request, if the reports have not been previously served. The party or lien claimant receiving the request shall serve a copy of any subsequently-received medical report or medical-legal report within six (6) days of receipt of the report.
(c) At the time of the filing of any Declaration of Readiness to Proceed or Declaration of Readiness to Proceed to Expedited Hearing, the filing declarant shall concurrently serve copies of all medical reports and medical-legal reports relating to the claim that have not been previously served and that are in the possession or under the control of the filing declarant on: (1) all other parties, whether or not they have previously requested service; and (2) all lien claimants that have previously requested service. The filing declarant also shall serve a copy of any subsequently-received medical report or medical-legal report relating to the claim within six (6) days of receipt of the report.
(d) Within six (6) days after service of any Declaration of Readiness to Proceed or Declaration of Readiness to Proceed to Expedited Hearing, all other parties and lien claimants shall serve copies of all medical reports and medical-legal reports relating to the claim that are in their possession or under their control, and that have not been previously served, on: (1) all other parties, whether or not they have previously requested service; and (2) all lien claimants that have previously requested service. The other parties and lien claimants also shall serve a copy of any subsequently-received medical report or medical-legal report relating to the claim within six (6) days of receipt of the report, consistent with subsections (d)(1) and (d)(2).
(e) If, at any time after the periods specified in subsections (b), (c) and (d), a lien claimant initiates a request for service of medical reports and medical-legal reports, all parties and other lien claimants shall serve the requesting lien claimant with copies of all medical reports and medical-legal reports relating to the claim that are in their possession or under their control, and that have not been previously served, within six (6) days of receipt of the request. The parties and other lien claimants also shall serve a copy of any subsequently-received medical report or medical-legal report relating to the claim within six (6) days of receipt of the report. 
(f) All medical reports or medical-legal reports relating to the claim that have not been previously served shall be served on all other parties and lien claimants upon the filing of a compromise and release or stipulations with request for award, unless the rights and/or liabilities of those parties or lien claimants were previously fully resolved. 
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5001, 5502, 5703 and 5708, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10609. Service on Lien Claimants.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903.1, 5708 and 5709, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10610. Cross-Examination of Physicians.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; Sections 4621 and 5709, Labor Code.
HISTORY

1. Amendment of Note filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10615. Continuing Duty to Serve.
Note     •     History

During the continuing jurisdiction of the Workers' Compensation Appeals Board, the parties have a continuing duty to serve on each other and any lien claimant requesting service any physicians' reports received.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
2. Editorial correction of first sentence (Register 96, No. 5).
3. Amendment of section heading, repealer and new section and new Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10616. Employer-Maintained Medical Records.
Note     •     History

A written communication from a physician containing any information listed in Section 10606 that is contained in any record maintained by the employer in the employer's capacity as employer will be deemed to be a physician's report and shall be served as required in Sections 10608 and 10615. Records from an employee assistance program are not required to be filed or served unless ordered by the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4600, 5703 and 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10618. X-Rays.
Note     •     History

On order of the Appeals Board or workers' compensation judge, a party shall forthwith transmit all X-rays to the person designated in the order.
X-rays shall be subpoenaed only when they are relevant to pending issues and there is a present and bona fide intent to offer them in evidence. X-rays produced in violation of this rule will be ordered returned to their original custodian at the expense of the party causing them to be produced.
Upon reasonable request of a party, X-rays in the possession of, or subject to the control of, an adverse party or lien claimant shall be made available for examination by the requesting party or persons designated by that party at a time or place convenient to the persons to make the examination.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4600 and 5708, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10619. Subpoena of X-Rays.
Note     •     History

NOTE

Authority cited: Sections 133, 5307, 5708 and 5709, Labor Code. Reference: Sections 4600, 5708 and 5709, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10620. Examination of X-Rays.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4600, 5708 and 5709, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10622. Failure to Comply.
Note     •     History

Disclosure, service and filing of all medical reports in the possession and control of every party to a proceeding, except as otherwise expressly provided, is essential to and required in the expeditious determination of controversies.
The Workers' Compensation Appeals Board may decline to receive in evidence, either at or subsequent to hearing, any report offered under the provisions of Labor Code Section 5703 by a party who has failed to comply with the provisions of Rules 10600, 10608, 10615, 10616 or 10618. A medical report shall not be refused admission into evidence at a hearing, solely upon the ground of a late filing, where examination was diligently sought and said report came into possession or control of the party offering it within the preceding seven (7) days.
Where a willful suppression of a medical report is shown to exist in violation of these rules, it shall be presumed that the findings, conclusions and opinions therein contained would be adverse, if produced.
The remedies in this section are cumulative to all others authorized by law.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10626. Examining and Copying Hospital and Physicians' Records.
Note     •     History

Subject to Labor Code section 3762, and except as otherwise provided by law, all parties, their attorneys, agents and physicians shall be entitled to examine and make copies of all or any part of physician, hospital, or dispensary records that are relevant to the claims made and the issues pending in a proceeding before the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 4600, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10629. Filing and Listing of Exhibits.
Note     •     History

(a) Proposed exhibits shall be filed in accordance with the provisions of section 10233 and 10603.
(b) At every mandatory settlement conference, regular hearing, expedited hearing, and conference at which any issue will be submitted for decision, each party or lien claimant shall submit, and shall personally serve on each other appearing party or appearing lien claimant, a list of the exhibits that the party or lien claimant proposes to offer in evidence.
(1) If any such hearing is continued, a new list identifying all of the party or lien claimant's proposed exhibits (including all previously listed exhibits that the party or lien claimant still intends to offer, and any new exhibits) shall be prepared and served, with the exceptions that: (A) any exhibit already admitted in evidence, or marked in evidence but not admitted, need not be re-listed; (B) if the previous list was accepted for filing and scanned into EAMS, and no changes have been made to the previous list, a new list need not be prepared and served; and (C) if the previous list was served (but not accepted for filing and scanned into EAMS), and no changes have been made to the previous list, a new list need not be served, but the list still must be filed.
(2) If a list of exhibits is being submitted after an initial mandatory settlement conference, the list shall separately identify:
(A) the exhibits that the party listed at the time of the initial mandatory settlement conference; and
(B) the exhibits that the party did not list at the time of the initial mandatory settlement conference.
(c) If a party or lien claimant with a currently pending issue fails to appear after proper notice at any hearing described in subdivision (b), even if the party or lien claimant was excused from appearing, then:
(1) the non-appearing party or lien claimant with a currently pending issue shall forthwith file and serve its exhibit list, but consideration of its exhibits shall be subject to the limitations or evidentiary sanctions set forth in section 10562; and
(2) the appearing party(ies) or lien claimant(s) shall forthwith serve their exhibit list(s) on the non-appearing party or lien claimant.
For purposes of this subdivision, a party or lien claimant will be deemed to have a “currently pending issue” if an issue directly related to that party or lien claimant has been raised in a declaration of readiness and that issue has not been resolved by a stipulation or adjudication, it has not been withdrawn (including by failure to raise the issue at the mandatory settlement conference or trial), and it has not been judicially deferred.
(d) Each exhibit listed must be clearly identified by author/provider, date, and title or type (e.g., “the July 1, 2008 medical report of John Doe, M.D. (3 pages)”). Each medical report, medical-legal report, medical record, or other paper or record having a different author/provider and/or a different date is a separate “document” and must be listed as a separate exhibit, with the exception that the following documents may be listed as a single exhibit, unless otherwise ordered by the Workers' Compensation Appeals Board:
(1) excerpted portions of physician, hospital or dispensary records, provided that the party offering the exhibit designates each excerpted portion by the title of the record or document, by the date or dates of treatment or other service(s) covered by the record or document, by the author or authors of the record or document, and by any available page number(s) (e.g., Bates-numbered pages of records or documents photocopied and numbered by a legal copy service). Only the relevant excerpts of physician, hospital or dispensary records shall be admitted in evidence;
(2) excerpted portions of personnel records, wage records and statements, job descriptions, and other business records provided that the party offering the exhibit designates each excerpted portion by the title of the record or document, by the date or dates covered by the record or document, by the author or authors of the record or document, and by any available page number(s) (e.g., Bates-numbered pages of records or documents photocopied and numbered by a legal copy service). Only the relevant excerpts of personnel records, wage records and statements, job descriptions, and other business records shall be admitted in evidence; and
(3) Explanation of Benefits (EOB) letters.
(e) Each exhibit listed must specify an exhibit number or initial that identifies it and the party, parties, or lien claimant offering it (e.g., Applicant's Exhibit 1, 2, 3, etc.; Defendant's Exhibit A, B, C, etc.; Lien Claimant's AA, BB, CC, etc.; Joint Exhibit XX, YY, etc.).
(f) Nothing in this section shall prevent a workers' compensation judge from referring an unrepresented injured employee, dependent or uninsured employer to the Information and Assistance Office to prepare an exhibit list in accordance with the provisions of subdivisions (a), (b), (c), (d) and (e).
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5309 and 5708, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10630. Return of Exhibits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10631. Specific Finding of Fact--Labor Code Section 139.2(d)(2).
Note     •     History

Where a qualified medical evaluator's report has been considered and rejected pursuant to Labor Code section 139.2, subdivision (d)(2), the workers' compensation judge or Appeals Board shall make and serve a specific finding on the qualified medical evaluator and the Industrial Medical Council at the time of decision on the regular workers' compensation issues. The specific finding may be included in the decision.
If the Appeals Board, on reconsideration, affirms or sets aside the specific finding of fact filed by a workers' compensation judge, it shall advise the qualified medical evaluator and the Industrial Medical Council at the time of service of its decision on the petition for reconsideration.  If the workers' compensation judge does not make a specific finding and the Appeals Board, on reconsideration, makes a specific finding of rejection pursuant to Labor Code Section 139.2, subdivision (d)(2), it shall serve its specific finding on the qualified medical evaluator and the Industrial Medical Council at the time it serves its decision after reconsideration.
Rejection of a qualified medical evaluator's report pursuant to Labor Code section 139.2, subdivision (d)(2) shall occur where the qualified medical evaluator's report does not meet the minimum standards prescribed by the provisions of Rule 10606 and the regulations of the Industrial Medical Council.
This rule shall apply to injuries on or after January 1, 1994.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 139.2(d)(2), Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of first paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10632. Labor Code Section 4065--Evidence.
Note     •     History

Where the provisions of Labor Code Section 4065 apply, the workers' compensation judge shall receive into evidence the “proposed ratings” submitted by the parties.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 4065, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10633. Proposed Rating--Labor Code Section 4065.
Note     •     History

A “proposed rating” pursuant to Labor Code Section 4065 shall include the appropriate disability numbers for each part of the body resulting in permanent disability and a standard rating of the factors of disability.
Where the provisions of Labor Code Section 4065 have been used to determine permanent disability, the workers' compensation judge shall comply with Labor Code Section 5313 and state the evidence relied upon and the reasons or grounds on which selection of the proposed rating is based.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 4065, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of first paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10634. Labor Code Section 4628(k) Requests.
Note     •     History

Failure to comply with Labor Code Section 4628, subdivision (k) shall not make the medical report inadmissible as evidence and eliminate liability for medical-legal costs where good cause has been shown for the failure to comply and, after notice of non-compliance, compliance takes place within a reasonable period of time or within a time prescribed by the workers' compensation judge.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 4628(k), Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10635. Reasonable Value of Medical Service.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4600, 4624 and 4625, Labor Code.
HISTORY

1. Repealer exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
Article 10. Medical Examiners
§10700. Impartial Medical Examiners.
Note     •     History

NOTE

Authority cited: Sections 133 and 5703, Labor Code. Reference: Sections 139.1 and 5703.5, Labor Code.
HISTORY

1. Repealer and new section exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10705. Policy.
Note     •     History

NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution.
HISTORY

1. Repealer filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
§10715. Orders Directing Applicants to Report for Medical Examination.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 139, Labor Code.
HISTORY

1. Editorial correction filed 2-2-83 (Register 83, No. 6).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10718. Prohibited Communication.
Note     •     History

All correspondence concerning the examination and reports of a physician appointed pursuant to Labor Code Section 5701 or 5703.5 shall be made through the Workers' Compensation Appeals Board, and no party, attorney or representative shall communicate with that physician with respect to the merits of the case unless ordered to do so by the Workers' Compensation Appeals Board.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5701 and 5703.5, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10722. Filing and Service of Medical Reports.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 139, 5703.5, 5708, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10727. Cross-Examination by Deposition.
Note     •     History

The Workers' Compensation Appeals Board favors cross-examination of medical witnesses by way of deposition. Reasonable costs in connection with such deposition shall be allowed under Labor Code Section 4621.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Section 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 11. Transcript of Testimony
§10740. Transcripts.
Note     •     History

Unless otherwise ordered by a commissioner, a deputy commissioner, or a presiding workers' compensation judge, testimony taken at hearings in compensation proceedings will not be transcribed except upon the request of a party accompanied by the fee prescribed in the Rules of the Administrative Director.
Requests for transcription of testimony shall be in writing, served on all other parties, directed to the transcript clerk and accompanied by a deposit fee based on the transcript clerk's estimate of the number of pages to be transcribed. If the actual fee exceeds the deposit, the purchaser shall pay the balance of the fee before the transcript is released. Any excess deposit will be returned to the purchaser.
No person shall make a photographic copy of a transcript from the Board file except upon payment prescribed by law for a copy of the transcript.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 127 and 5708, Labor Code.
HISTORY

1. Amendment of first paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 12. Record of Proceedings
§10750. Record of Proceedings.
Note     •     History

(a) The Workers' Compensation Appeals Board's record of proceedings consists of: the pleadings, declarations of readiness to proceed, minutes of hearing and summary of evidence, transcripts, if prepared and filed, proofs of service, evidence received in the course of a hearing, exhibits marked but not received in evidence, notices, petitions, briefs, findings, orders, decisions and awards, and the arbitrator's file, if any. Each of these documents are part of the record of proceedings, whether maintained in paper or electronic form. Documents that are in the adjudication file but have not been received or offered in evidence are not part of the record of proceedings.
(b) Upon approval of a compromise and release or stipulations with request for award, all medical reports that have been filed as of the date of approval shall be deemed to have been admitted in evidence and shall be deemed to have been transferred to the record of proceedings.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126 and 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10751. Adjudication File.
Note     •     History

(a) The Workers' Compensation Appeals Board's adjudication file shall consist of:
(1) all findings, orders, decisions, awards and correspondence issued by the Workers' Compensation Appeals Board, but not including documents that, under the rules of the Court Administrator, shall not be made available for inspection by any person (see current Rule 10271); and
(2) all documents filed by any party, lien claimant, attorney or other agent of record, but not including documents that, under the rules of the Court Administrator, shall not be filed (see current Rule 10222(b)), unless the Workers' Compensation Appeals Board has ordered that the document be filed.
(b) The adjudication file includes the record of proceedings.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10753. Inspection of Files.
Note     •     History

Except as provided by sections 10754, 10271, and 10272, or as ordered by a workers' compensation judge or the Appeals Board, the adjudication case files of the Workers' Compensation Appeals Board may be inspected in accordance with the provisions of section 10270.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 126, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10754. Sealed Documents.
Note     •     History

Medical reports and other records contained in the adjudication case files of the Workers' Compensation Appeals Board shall be sealed only in accordance with the provisions of section 10272.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5708, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10755. Destruction of Records.
Note     •     History

Except as otherwise provided by these rules, or as ordered by a workers' compensation judge or the Appeals Board, the adjudication case files of the Workers' Compensation Appeals Board shall be retained, returned, and destroyed in accordance with the provisions of section 10273.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 135, Labor Code.
HISTORY

1. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10758. Destruction of Case Files. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 135, Labor Code.
HISTORY

1. Amendment filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10762. Reporters' Notes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 133 and 5307, Labor Code. Reference: Section 14755, Government Code; and Section 5708, Labor Code.
HISTORY

1. Amendment of first paragraph and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 13. Liens
§10770. Filing and Service of Lien Claims.
Note     •     History

(a) Format of Lien Claims: 
(1) Unless the lien claimant is excepted by parts (A) through (C) of section 10228(c)(5), a lien claimant under Labor Code sections 4903 or 4903.1 shall file its lien claim: (A) utilizing an optical character recognition lien claim form approved by the Appeals Board completed in compliance with section 10228(c); or (B) electronically utilizing an e-form approved by the Appeals Board. 
(2) Lien claimants set forth in parts (A) through (C) of section 10228(c)(5) may file a lien claim utilizing an optical character recognition form completed in compliance with section 10228(e).
(b) Filing of Lien Claims with the Workers' Compensation Appeals Board: 
(1) Only original (i.e., initial or opening) lien claims accompanied by a proof of service shall be accepted for filing. Except as provided in subdivisions (g) or (h) of section 10233 or as ordered by the Workers' Compensation Appeals Board, no amended liens and no documentation in support of any lien (original or amended) will be accepted. If an original lien is filed with supporting documentation, the original lien shall be filed but not the supporting documentation. 
Unless the lien claimant is concurrently filing an initial (case opening) application in accordance with section 10770.5, a lien claim that does not bear an adjudication case number previously assigned by the Workers' Compensation Appeals Board for the injury will not be accepted. 
Any lien claim or supporting documentation submitted in violation of this subdivision shall not be deemed filed for any purpose, shall not be acknowledged or returned to the lien claimant, and may be destroyed at any time without notice. 
(2) Any amended lien or documentation supporting any lien (original or amended) previously filed or lodged for filing may be destroyed without notice. 
(3) The service of a lien claim on a defendant, or the service of notice of any claim that would be allowable as a lien, shall not constitute the filing of a lien claim with the Workers' Compensation Appeals Board within the meaning of its rules of practice and procedure or within the meaning of Labor Code section 4903.1 et seq., including but not limited to section 4903.5. 
(4) Where a lien has been served on any party under Labor Code section 4903.1(b), no party shall have an obligation to file that lien with the Workers' Compensation Appeals Board if: 
(A) the lien has been paid in full; or
(B) a good faith partial payment has been made and: 
(i) the lien claimant has been concurrently provided with a clear written explanation that both justifies the amount paid and specifies all additional information the lien claimant must submit as a prerequisite to additional or full payment, in conformity with the following, as applicable: (I) Lab. Code, §4603.2(b)(1) and Cal. Code Regs., tit. 8, §9792.5(c) for medical treatment liens; (II) Lab. Code, §4622 and Cal. Code Regs., tit. 8, §9794(b) & (c) for medical-legal liens; and (III) Cal. Code Regs., tit. 8, §9795.4(a) for interpreter liens; and
(ii) no additional written demand for payment is made by the lien claimant within 90 calendar days after the partial payment. 
(c) Service of Lien Claims and Supporting Documentation on the Parties
(1) All original and amended lien claims, together with a full statement or itemized voucher supporting the lien and a proof of service, shall be served on: 
(A) the injured worker (or, if deceased, the worker's dependent(s)), unless: 
(i) the worker or dependent is represented by an attorney or other agent of record, in which event service may be made solely upon the attorney or agent of record; or 
(ii) the underlying case of the worker or dependent(s) has been resolved. For purposes of this subdivision, the underlying case will be deemed to have been resolved if: 
(I) in a stipulated findings and award or in a compromise and release agreement, a defendant has agreed to hold the worker or dependent(s) harmless from the specific lien claim being filed and has agreed to pay, adjust, or litigate that lien claim;
(II) a defendant had written notice of the lien claim before the lien was filed and, in a stipulated findings and award or in a compromise and release agreement, that defendant has agreed to pay, adjust, or litigate all lien claims;
(III) the application for adjudication of claim filed by the worker or the dependent(s) has been dismissed, and the lien claimant is filing or has filed a new application; or
(IV) the worker or the dependent(s) choose(s) not to proceed with his, her, or their case.
(B) any employer(s) or insurance carrier(s) that are parties to the case and, if represented, their attorney(s) or other agent(s) of record.
(2) The full statement or itemized voucher supporting the lien claim or amended lien claim shall include: (A) any amount(s) previously paid by any source for each itemized service; (B) a statement that clearly and specifically sets forth the basis for the claim for additional payment; (C) proof that the lien claimant is the service provider or owner of the alleged debt; and (D) a declaration under penalty of perjury under the laws of the State of California that all of the information provided is true and correct. 
The requirement of proof that the lien claimant is the owner of the alleged debt may be satisfied if, as part of the declaration under penalty of perjury, the declarant states that the lien claimant possesses documents either establishing original ownership of the lien claim or establishing that the right to payment for the claimed services was transferred to the lien claimant by the original owner and any intermediate owners. The lien claimant shall furnish a copy of such documentation to any party or to the Workers' Compensation Appeals Board upon demand and shall have a copy available for immediate production at any lien conference or lien trial. 
(3) When serving an amended lien claim, the lien claimant shall indicate in the box set forth on the lien form that it is an “amended” lien claim. 
(d) The lien claimant shall provide the name, mailing address, and telephone number of a person with authority to resolve the lien claim on behalf of the lien claimant.
(e) For purposes of this subdivision, an “amended” lien includes: (1) a lien that is for or includes additional services or charges for the same injured employee for the same date or dates of injury; (2) a lien that reflects a change in the amount of the lien based on payments made by the defendant; and/or (3) a lien that has been corrected for clerical or mathematical error. A subsequent lien claim that adds an additional adjudication case number or numbers is an “amended” lien with respect to the adjudication case number(s) originally listed.
(f) Within five business days after a lien has been resolved or withdrawn, the lien claimant shall provide written notification to:  
(1) the Workers' Compensation Appeals Board;
(2) the party defendant(s) or, if represented, their attorney(s); and 
(3) the worker or dependent(s) or, if represented, the attorney(s) for the worker or dependent(s), except that no such notification is required if the underlying case has been resolved as provided in subdivision (c)(1)(A)(ii)(I) through (IV).
(g) The Workers' Compensation Appeals Board shall either serve or, under sections 10500(a) and 10544, cause to be served notice on all lien claimants of each hearing scheduled, whether or not the hearing directly involves that lien claimant's lien claim.
(h) Inclusion of the injured employee's Social Security number on a lien form is voluntary, not mandatory. A failure to provide a Social Security number will not have any adverse consequences. Nevertheless, although a lien claimant is not required by law to include the employee's Social Security number, lien claimants are encouraged to do so because this will facilitate the processing and filing of the lien claim. Social Security numbers are used solely for identification and verification purposes in order to administer the workers' compensation system. A Social Security number will not be disclosed, made available, or otherwise used for purposes other than those specified, except with the consent of the applicant, or as permitted or required by statute, regulation, or judicial order.
(i) Any violation of the provisions of this section may give rise to monetary sanctions, attorney's fees, and costs under Labor Code section 5813 and Rule 10561. 
(j) The provisions of subdivisions (b)(3), (b)(4), and (c)(2) shall not apply to any notice of claim or lien claim of: (1) the Employment Development Department; (2) the California Victims of Crime Program; (3) any lien claimant listed as being excepted under parts (A) through (C) of section 10228(c)(5); and (4) any governmental entity pursuing a lien claim for child support or spousal support. 
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4603.2, 4622, 4903, 4903.1, 4903.4, 4903.5, 4903.6, 4904 and 5813, Labor Code; Sections 9792.5, 9794, 9795.4, 10561, title 8, California Code of Regulations.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
3. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
5. Amendment of section heading, section and Note filed 5-21-2012; operative 5-21-2012 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Government Code 11351 (Register 2012, No. 21).
§10770.1. Lien Conferences and Lien Trials.
Note     •     History

(a) A lien conference shall be set (1) when any party, including a lien claimant who is a “party” as defined by section 10301(x)(3), files a declaration of readiness on any issue(s) directly relating to any lien claim(s); or (2) by the Workers' Compensation Appeals Board on its own motion at any time. 
Unless otherwise expressly stated in the notice of hearing, all unresolved lien claims and lien issues shall be heard at the lien conference, whether or not listed in any declaration of readiness. An agreement to “pay, adjust or litigate” a lien claim or its equivalent, or an award leaving a lien claim to be adjusted, is not a resolution of the lien claim or lien issue. 
To the extent feasible, the date of the lien conference shall be no sooner than 60 days after the date the notice of hearing for it is served. 
(b) Nothing in this section shall preclude the Workers' Compensation Appeals Board, in its discretion, from: (1) setting a type of hearing other than that requested in the declaration of readiness, in accordance with section 10420; (2) issuing a ten-day notice of intention to order payment of the lien claim, in full or in part, in accordance with section 10888; or (3) issuing a ten-day notice of intention to disallow the lien claim, in accordance with section 10888. 
(c) When a party, including a lien claimant who is a “party” as defined by section 10301(x)(3), files a declaration of readiness on an issue directly relating to a lien claim, including any preliminary or intermediate procedural or evidentiary issue, the party shall designate on the declaration of readiness form that it is requesting a “lien conference” and shall not designate any other kind of conference or hearing. If a status conference or any other type of hearing is requested or is set on the calendar, that status conference or other type of hearing shall be deemed a “lien conference” and shall be governed by any and all rules applying to a “lien conference.” 
(d) Notwithstanding section 10240, all defendants and lien claimants shall appear at all lien conferences and lien trials, either in person or by attorney or representative. Each defendant, lien claimant, attorney, and hearing representative appearing at any lien conference or lien trial: (1) shall have sufficient knowledge of the lien dispute(s) to inform the Workers' Compensation Appeals Board as to all relevant factual and/or legal issues in dispute; (2) shall have authority to enter into binding factual stipulations; and (3) shall either have full settlement authority or have full settlement authority immediately available by telephone. 
(e) For any lien claim(s) or lien issue(s) not fully resolved at the lien conference by an order signed by a workers' compensation judge, the defendant(s) and lien claimant(s) shall prepare, sign, and file with the workers' compensation judge a pretrial conference statement, which shall include: (1) all stipulations; (2) the specific issues in dispute; (3) all documentary evidence that might be offered at the lien trial; and (4) all witnesses who might testify at the lien trial. The right to present any issue, documentary evidence, or witness not listed in the pretrial conference statement shall be deemed waived, absent a showing of good cause. This subdivision shall apply regardless of which action the Workers' Compensation Appeals Board takes under subdivision (f). 
(f) If any lien claim(s) or lien issue(s) cannot be fully resolved at the lien conference, the Workers' Compensation Appeals Board shall take one of the following actions: 
(1) set a lien trial;
(2) upon a showing of good cause, allow a one-time continuance of the lien conference to another lien conference, after which a lien trial shall be set; or
(3) upon a showing of good cause, order the lien conference off calendar. 
The action taken shall apply to all unresolved lien claim(s) or lien issue(s). 
(g) Discovery shall close on the date of the lien conference. Evidence not disclosed or obtained thereafter shall not be admissible unless the proponent of the evidence can demonstrate that it was not available or could not have been discovered by the exercise of due diligence prior to the lien conference. 
(h) If a lien claimant fails to appear at a lien conference, the Workers' Compensation Appeals Board may issue a notice of intention to dismiss the lien claim with or without prejudice in accordance with section 10562(d)(1) and/or section 10241(b)(2). 
If a defendant is designated to serve the notice of intention to dismiss under section 10500(a), the defendant shall serve the notice of intention within 10 business days. If the defendant does not receive a timely objection (taking into consideration the time extension provisions of sections 10507 and 10508), the defendant shall file and serve a proposed order dismissing the lien and copies of the notice of intention and the notice's proof of service. 
An order dismissing a lien claim for failure to appear shall be served only by the Workers' Compensation Appeals Board and not by designated service. 
(i) The Workers' Compensation Appeals Board may order that any unresolved lien claim(s) or lien issue(s) be submitted for decision solely on the exhibits listed in the pretrial conference statement if: (1) no witnesses are listed in the pretrial conference statement; or (2) witnesses are listed but no good cause is shown for any witness to testify at trial. Good cause may be established by offers of proof made at the lien conference. 
If the disputed lien claim(s) or lien issue(s) are submitted for decision at the lien conference, the workers' compensation judge shall prepare minutes of hearing and a summary of evidence listing: (1) all exhibits offered in evidence; (2) the identity of the party or lien claimant offering each exhibit; and (3) whether or not each exhibit is admitted in evidence. This descriptive listing shall be filed and served no later than the date of the decision on the submitted issues. 
(j) After a lien conference or lien trial has been ordered off calendar, no party or lien claimant shall file a new declaration of readiness for at least 90 days. The declaration of readiness shall designate that a “lien conference” is requested and shall state under penalty of perjury that there has been no hearing on the lien claim(s) or lien issue(s) within the preceding 90 calendar days. 
Nothing in this subdivision shall preclude the Workers' Compensation Appeals Board from (1) restoring the lien claim(s) or lien issue(s) to the lien conference or lien trial calendar on its own motion or (2) restoring the lien claim(s) or lien issue(s) to the lien conference or lien trial calendar less than 90 calendar days after the most recent hearing. 
(k) If a defendant was designated to serve a lien claimant with notice of a lien conference or lien trial under sections 10500(a) and 10544, the defendant shall bring a copy of its proof of service to the lien conference or lien trial and, if the lien claimant fails to appear, the defendant shall file that proof of service with the Workers' Compensation Appeals Board. 
(l) Any violation of the provisions of this section may give rise to monetary sanctions, attorney's fees, and costs under Labor Code section 5813 and Rule 10561. 
(m) The provisions of subdivisions (e), (g), and (h) shall not apply to the lien claim(s) of any of the following: (1) the Employment Development Department; (2) the California Victims of Crime Program; (3) any lien claimant listed as being excepted under section 10228(c)(5); and (4) any governmental entity pursuing a lien claim for child support or spousal support. 
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4903, 4903.1, 4903.4, 4903.5, 4903.6, 4904, 5502 and 5502.5, Labor Code; Sections 351 and 352, Evidence Code; and Sections 10250, 10250.1, 10301(u), 10364(a), 10561, 10629 and 10770-10772, title 8, California Code of Regulations. 
HISTORY

1. New section filed 5-21-2012; operative 5-21-2012 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Government Code 11351 (Register 2012, No. 21).
§10770.5. Verification to Filing of Lien Claim or Application by Lien Claimant.
Note     •     History

(a) Any lien claim or application for adjudication filed under Labor Code section 4903(b) shall have attached to it a verification under penalty of perjury which shall contain a statement specifying in detail the facts establishing that one of the following has occurred:
(1) Sixty days have elapsed since the date of acceptance or rejection of liability for the claim, or the time provided for investigation of liability pursuant to Labor Code section 5402(b) has elapsed, whichever is earlier.
(2) The time provided for payment of medical treatment bills pursuant to Labor Code section 4603.2 has elapsed.
(3) The time provided for payment of medical-legal expenses pursuant to Labor Code section 4622 has elapsed.
(b) In addition, if an application for adjudication is being filed, the verification under penalty of perjury also shall contain:
(1) A statement specifying in detail the facts establishing that venue in the district office being designated is proper pursuant to Labor Code section 5501.5(a)(1) or Labor Code section 5501.5(a)(2); and
(2) A statement specifying in detail the facts establishing that the filing lien claimant has made a diligent search and has determined that no adjudication case number exists for the same injured worker and same date of injury at any district office. A diligent search shall include contacting the injured worker, contacting the employer or carrier, or inquiring at the district office with appropriate venue pursuant to Labor Code section 5501.5(a)(1) or Labor Code section 5501.5(a)(2).
(c) The verification shall be in the following form:

I declare under penalty of perjury under the laws of the State of California that one of the time periods set forth in Rule 10770.5(a) has elapsed and, if an application for adjudication is being filed, that venue is proper as set forth in Rule 10770.5(b) and that I have made a diligent search and have determined that no adjudication case number exists for the same injured worker and the same date of injury. In determining that no adjudication case number exists for the same injured worker and the same date of injury, I have made a diligent search consisting of the following efforts (specify):

		
s/s 	on	
Failure to attach the verification or an incorrect verification may be a basis for sanctions.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4903 and 4903.6, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10770.6. Verification to Filing of Declaration of Readiness By or on Behalf of Lien Claimant.
Note     •     History

No Declaration of Readiness to Proceed shall be filed for a lien under Labor Code section 4903(b) without an attached verification certifying under penalty of perjury either (1) that the underlying case has been resolved or (2) that at least six months have elapsed from the date of injury and the injured worker has chosen not to proceed with his or her case. The declarant shall make a diligent search to determine that the injured worker has chosen not to proceed with his or her case and the verification shall specify the efforts made in conducting the diligent search. A diligent search shall include contacting the injured worker, contacting the employer or carrier, or inquiring at the district office with appropriate venue pursuant to Labor Code section 5501.5(a)(1) or Labor Code section 5501.5(a)(2).
The verification shall be in the following form:
I declare under penalty of perjury under the laws of the State of California: (Check at least one box)
¨ that the underlying case has been resolved.
¨ that at least six months have elapsed from the date of injury and the injured worker has chosen not to proceed with his or her case. In determining that the injured worker has chosen not to proceed with his or her case, I have made a diligent search consisting of the following efforts (specify):
Failure to attach the verification or an incorrect verification may be a basis for sanctions.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 4903 and 4903.6, Labor Code.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10771. Medical-Legal Expense. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903 and 4903.1, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10772. Unemployment Compensation Disability Liens.
Note     •     History

When an unemployment compensation disability lien is filed by the Employment Development Department, there shall be a rebuttable presumption that the amounts stated therein have been paid to the injured worker by the Employment Development Department.
In any case involving a lien claim for unemployment compensation disability benefits or unemployment compensation benefits and extended duration benefits where it appears that further benefits may have been paid subsequent to the filing of the claim of lien, the workers' compensation judge shall notify the lien claimant when the case is ready for decision or for order approving compromise and release and the lien claimant shall have five (5) days thereafter in which to file and serve an amended lien reflecting all payments made to and including the date of filing of the amended lien.
In cases where a compromise and release is filed and continuing unemployment compensation disability benefits or unemployment compensation benefits and extended duration benefits are being paid, the workers' compensation judge will ascertain the full amount of the lien claim as of the time of the approval of the compromise and release so that the allocation made under the authority of Labor Code Section 4904 may be changed to reflect unemployment compensation disability or unemployment compensation and extended duration payments to the date of decision.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903 and 4904, Labor Code.
HISTORY

1. Amendment of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10773. Law Firm Employees.
Note     •     History

(a) Law firm employees not holding current active membership in the State Bar may appear on behalf of the law firm if:
(1) the client has been fully informed of the involvement of the law firm employee and that the person is not a current active member of the State Bar of California;
(2) in all proceedings where the law firm employee appears and in all documents the person has prepared, the person appearing or preparing the documents is identified and it is fully disclosed that the person is not licensed to practice law in the State of California; and
(3) the attorney directly responsible for supervising the law firm employee appearing in any proceedings is identified.
(b) A workers' compensation judge shall not approve any compromise and release agreement or stipulations with request for award signed by a law firm employee who is not currently an active member of the State Bar of California without the specific written authorization of the attorney directly responsible for supervising the law firm employee.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 4907, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51). For prior history, see Register 96, No. 43.
Article 14. Attorneys and Representatives
§10774. Substitution or Dismissal of Attorneys.
Note

Substitution or dismissal of attorneys must be made in the manner provided by Code of Civil Procedure Sections 284, 285 and 286. Dismissal of agents may be made by serving and filing a statement of dismissal.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 4903, 4906, Labor Code.
§10775. Reasonable Attorney's Fee.
Note     •     History

In establishing a reasonable attorney's fee, the workers' compensation judge or arbitrator shall consider the
(a) responsibility assumed by the attorney,
(b) care exercised in representing the applicant,
(c) time involved,
(d) results obtained.
Reference will be made to guidelines contained in the Policy and Procedural Manual and workers' compensation judges and arbitrators shall at all times comply with Labor Code section 5313 by setting forth the reasons or grounds for applying the guidelines in any fee determination.
Through its power to grant reconsideration on its own motion, the Appeals Board shall exercise authority to ascertain the extent to which these guidelines are followed.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903 and 4906, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of first and penultimate paragraphs filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10776. Approval of Attorney's Fee.
Note     •     History

(a) No request for payment or demand for payment of a fee shall be made by any attorney for, or agent of, a worker or dependent of a worker until the fee has been approved or set by the Workers' Compensation Appeals Board.
(b) No attorney or agent shall accept any money from a worker or dependent of a worker for the purpose of representing the worker or dependent of a worker before the Workers' Compensation Appeals Board or in any appellate procedure related thereto until the fee has been approved or set by the Workers' Compensation Appeals Board or an appellate court.
(c) Any agreement between any attorney or agent and a worker or dependent of a worker for payment of a fee shall be submitted to the Workers' Compensation Appeals Board for approval within ten (10) days after the agreement is made.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903 and 4906, Labor Code.
HISTORY

1. Amendment of subsections (a)-(b) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10778. Request for Increase of Attorney's Fee.
Note

All requests for an increase in attorney's fee shall be accompanied by proof of service on the applicant of written notice of the attorney's adverse interest and of the applicant's right to seek independent counsel. Failure to so notify the applicant may constitute grounds for dismissal of the request for increase in fee.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 4903, 4906, Labor Code.
§10779. Disbarred and Suspended Attorneys.
Note     •     History

An attorney who has been disbarred or suspended by the Supreme Court for reasons other than nonpayment of State Bar fees, or who has been placed on involuntary inactive enrollment status by the State Bar, or who has resigned while disciplinary action is pending shall be deemed unfit to appear as a representative of any party before the Workers' Compensation Appeals Board during the time that the attorney is precluded from practicing law in this state. 
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 4907, Labor Code; and Section 6126, Business and Professions Code.
HISTORY

1. Amendment of first paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 15. Findings, Awards and Orders
§10780. Dismissal Orders.
Note     •     History

Except as provided in Rule 10562 and 10582 and unless good cause to the contrary appears, orders of dismissal of claim forms for injuries on or after January 1, 1990 and before January 1, 1994, and orders of dismissal of applications for adjudication for injuries before January 1, 1990 and on or after January 1, 1994, shall issue forthwith when requested by the employee.  All other orders of dismissal of claim forms for injuries occurring on or after January 1, 1990 and before January 1, 1994, or orders of dismissal of applications for adjudication for injuries occurring before January 1, 1990 and on or after January 1, 1994, shall issue only after service of a notice of intention allowing at least fifteen (15) days for the adverse parties to show good cause to the contrary, and not by an order with a clause rendering the order null and void if an objection showing good cause is filed.
NOTE

Authority cited: Sections 133 and 5307, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10782. Vexatious Litigants.
Note     •     History

(a) For purposes of this rule, “vexatious litigant” means:
(1) A party or lien claimant who, while acting in propria persona (i.e., while representing himself or herself) in proceedings before the Workers' Compensation Appeals Board, repeatedly relitigates, or attempts to relitigate, an issue of law or fact that has been finally determined against that party or lien claimant by the Workers' Compensation Appeals Board or by an appellate court;
(2) A party or lien claimant who, while acting in propria persona in proceedings before the Workers' Compensation Appeals Board, repeatedly files unmeritorious motions, pleadings, or other papers, repeatedly conducts or attempts to conduct unnecessary discovery, or repeatedly engages in other tactics that are in bad faith, are frivolous, or are solely intended to cause harassment or unnecessary delay; or
(3) A party or lien claimant who has previously been declared to be a vexatious litigant by any state or federal court of record in any action or proceeding based upon the same or substantially similar facts, transaction(s), or occurrence(s) that are the subject, in whole or in substantial part, of the party or lien claimant's workers' compensation case.
For purposes of this rule, the phrase “finally determined” shall mean: (i) that all appeals have been exhausted or the time for seeking appellate review has expired; and (ii) the time for reopening under Labor Code sections 5410 or 5803 and 5804 has passed or, although the time for reopening under those sections has not passed, there is no good faith and non-frivolous basis for reopening.
(b) Upon the petition of a party or lien claimant, or upon the motion of any workers' compensation judge or the Appeals Board, a presiding workers' compensation judge of any district office having venue or the Appeals Board may declare a party or lien claimant as a vexatious litigant.
(c) No party or lien claimant shall be declared a vexatious litigant without being given notice and an opportunity to be heard. If a hearing is requested, the presiding workers' compensation judge or the Appeals Board, in his, her or its discretion, either may take and consider both oral and documentary evidence or may take and consider solely documentary evidence, including affidavits or other written declarations of fact made under penalty of perjury.
(d) If a party or lien claimant is declared to be a vexatious litigant, a presiding workers' compensation judge or the Appeals Board may enter a “prefiling order,” i.e., an order which prohibits the vexatious litigant from filing, in propria persona, any Application for Adjudication of Claim, Declaration of Readiness, petition, or other request for action by the Workers' Compensation Appeals Board without first obtaining leave of the presiding workers' compensation judge of the district office where the request for action is proposed to be filed or, if the matter is pending before the Appeals Board on a petition for reconsideration, removal, or disqualification, without first obtaining leave from the Appeals Board. For purposes of this rule, a “petition” shall include, but not be limited to, a petition to reopen under Labor Code sections 5410, 5803, and 5804, a petition to enforce a medical treatment award, a penalty petition, or any other petition seeking to enforce or expand the vexatious litigant's previously determined rights.
(e) If a vexatious litigant proposes to file, in propria persona, any Application for Adjudication of Claim, Declaration of Readiness, petition, or other request for action by the Workers' Compensation Appeals Board, the request for action shall be conditionally filed. Thereafter, the presiding workers' compensation judge, or the Appeals Board if the petition is for reconsideration, removal, or disqualification, shall deem the request for action to have been properly filed only if it appears that the request for action has not been filed in violation of subdivision (a). In determining whether the vexatious litigant's request for action has not been filed in violation of subdivision (a), the presiding workers' compensation judge, or the Appeals Board, shall consider the contents of the request for action and the Workers' Compensation Appeals Board's existing record of proceedings, as well as any other documentation that, in its discretion, the presiding workers' compensation judge or the Appeals Board asks to be submitted. Among the factors that the presiding workers' compensation judge or the Appeals Board may consider is whether there has been a significant change in circumstances (such as new or newly discovered evidence or a change in the law) that might materially affect an issue of fact or law that was previously finally determined against the vexatious litigant.
(f) If any in propria persona Application for Adjudication of Claim, Declaration of Readiness, petition, or other request for action by the Workers' Compensation Appeals Board from a vexatious litigant subject to a prefiling order is inadvertently accepted for filing (other than conditional filing in accordance with subdivision (e), above), then any other party or lien claimant may file (and shall concurrently serve on the vexatious litigant and any other affected parties or lien claimants) a notice stating that the request for action is being submitted by a vexatious litigant subject to a prefiling order as set forth in subdivision (d). The filing of the notice shall automatically stay the request for action until it is determined, in accordance with subdivision (e), whether the request for action should be deemed to have been properly filed.
(g) A copy of any prefiling order issued by a presiding workers' compensation judge or by the Appeals Board shall be submitted to the Secretary of the Appeals Board, who shall maintain a record of vexatious litigants subject to those prefiling orders and who shall annually disseminate a list of those persons to all presiding workers' compensation judges.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Article XIV, section 4, California Constitution; and Sections 391, 391.2, and 391.7, Code of Civil Procedure.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10785. Electronically Filed Decisions, Findings, Awards, and Orders.
Note     •     History

The Appeals Board or a workers' compensation judge may electronically file any decision, findings, award, order or other document within EAMS, either by preparing the document in paper form and then scanning it into EAMS or by preparing the document directly within EAMS. Any such electronically filed document shall have the same legal effect as a document filed in paper form.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126, 5313 and 5908.5.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 16. Executions and Certified Copies
§10820. When Certified Copies Will Issue.
Note     •     History

Certified copies of findings and awards or other final orders for the purpose of having judgment entered and execution issued by the clerk of a superior court shall be issued only upon written request of a person entitled to benefits thereunder or by the attorney or authorized representative, and upon payment of the fees prescribed by the Rules of the Administrative Director.
Certified copies of such orders and awards against authorized insurance carriers, authorized self-insured employers, the State of California and all political subdivisions thereof shall be issued only upon receipt of a written request showing good cause therefor.
Every request for a certified copy of any final order must state whether proceedings are pending on reconsideration or judicial review, whether a petition for reconsideration or a writ of review has been filed, and whether the decision, a certified copy of which is requested has become final.
Nothing in these rules, however, shall limit the power of the Workers' Compensation Appeals Board to issue a certified copy at any time upon its own motion without charge.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5806, 5807 and 5808, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10825. Withholding Certified Copies.
Note

As an alternative to the issuance of an order staying execution, the Workers' Compensation Appeals Board may direct by order that no certified copy be issued. Such an order shall have the same effect as an order staying execution issued under similar circumstances. 
(a) Before staying execution or issuing order withholding issuance of a certified copy of an order, decision or award, the Workers' Compensation Appeals Board in its discretion may require the filing of a bond from an approved surety equivalent to twice the probable amount of liability in the case.
(b) The bond shall be filed in the record of the case.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 130, 134, 5105, 5806, 5807, 5808, 5809, 6000, 6001 and 6002, Labor Code.
§10828. Necessity for Bond.
Note     •     History

Where a party intending to file for writ of review requests a stay of execution or withholding issuance of a certified copy of the order, decision or award that is the subject of the party's complaint, the request will ordinarily be granted, conditioned upon the filing of a bond from an approved surety equivalent to twice the probable amount of liability in the case.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5808, 5956, 6000, 6001 and 6002, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10832. Proceedings to Enforce Awards.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 134 and 5300, Labor Code.
HISTORY

1. Repealer filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
Article 17. Reconsideration, Removal, and Disqualification
§10840. Filing Petitions for Reconsideration, Removal, and Disqualification and Answers.
Note     •     History

(a) Except as provided in sections 10865 and 10953, petitions for reconsideration, removal, or disqualification and answers thereto may be filed with any district office of the Workers' Compensation Appeals Board  or with the office of the Appeals Board in San Francisco. Duplicate copies of petitions filed with a district office shall not also be filed with any other district office or with the Appeals Board in San Francisco.
(b) Except as provided in sections 10865 and 10953, the following persons and entities may file petitions for reconsideration, removal, or disqualification (and answers thereto) electronically within EAMS:
(a) a party, lien claimant, attorney, or other representative who has been assigned an individual EAMS login and password by the Division of Workers' Compensation as part of an electronic filing trial group; and
(b) a law firm, an insurance company, a self-insured employer, a third party administrator, or lien claimant who has been assigned an organizational EAMS login and password by the Division of Workers' Compensation as part of an electronic filing trial group.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5900, 5902 and 5905, Labor Code.
HISTORY

1. Repealer and new section filed 12-16-92; operative 2-1-93 and exempt from OAL review pursuant to Government Code section 11351 (Register 92, No. 51).
2. Amendment of section heading and text filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
3. Amendment of article heading, section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10842. Contents of Petitions for Reconsideration, Removal, and Disqualification and Answers.
Note     •     History

(a) Every petition for reconsideration, removal, or disqualification  shall fairly state all of the material evidence relative to the point or points at issue. Each contention contained in a petition for reconsideration, removal, or disqualification  shall be separately stated and clearly set forth. A failure to fairly state all of the material evidence may be a basis for denying the petition.
(b) Each petition for reconsideration, removal, or disqualification, and each answer thereto, shall support its evidentiary statements by specific references to the record.
(1) References to any stipulations, issues, or testimony contained in any Minutes of Hearing, Summary of Evidence, or hearing transcript shall specify: (A) the date and time of the hearing; and (B) if available, the page(s) and line number(s) of the Minutes, Summary, or transcript to which the evidentiary statement relates (e.g., “Summary of Evidence, 5/1/08 trial, 1:30pm session, at 6:11-6:15”).
(2) References to any documentary evidence shall specify: (A) the exhibit number or letter of the document; (B) the date and time of the hearing at which the document was admitted or offered into evidence; (C) where applicable, the author(s) of the document; (D) where applicable, the date(s) of the document; and (E) the relevant page number(s) and, if available, at least one other relevant identifier (e.g., line number(s), paragraph number(s), section heading(s)) that helps pinpoint the reference within the document (e.g., “the 6/16/08 report of John A. Jones, M.D., at p. 7, Apportionment Discussion, 3rd full W [Defendant's Exh. B, admitted at 8/1/08 trial, 1:30pm session]”).
(3) References to any deposition transcript shall specify: (A) the exhibit number or letter of the document; (B) the date and time of the hearing at which the deposition transcript was admitted or offered into evidence; (C) the name of the person deposed; (D) the date and time of the deposition; and (E) the relevant page number(s) and line(s) (e.g., “the 6/20/08 depo of William A. Smith, M.D., at 21:20-22:5 [Applicant's Exh. 3, admitted at 12/1/08 trial, 8:30am session]”).
(c) Copies of documents that have already been received in evidence or that have already been made part of the adjudication file shall not be attached as exhibits to petitions for reconsideration, removal, or disqualification or answers thereto.  Except as provided by section 10856, documents attached in violation of this rule may be detached from the petition or answer and discarded.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 126, 5310, 5311, 5900, 5902 and 5904, Labor Code.
HISTORY

1. New section filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment of section heading and text filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
3. Amendment of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10843. Petitions for Removal and Answers.
Note     •     History

(a) At any time within twenty (20) days after the service of the order or decision, or of the occurrence of the action in issue, any party may petition for removal based upon one or more of the following grounds:
(1) The order, decision or action will result in significant prejudice.
(2) The order, decision or action will result in irreparable harm.
The petitioner must also demonstrate that reconsideration will not be an adequate remedy after the issuance of a final order, decision or award. Failure to file the petition to remove timely shall constitute valid ground for dismissing the petition for removal.
(b) The petition for removal and any answer thereto shall be verified upon oath in the manner required for verified pleadings in courts of record.
(c) A copy of the petition for removal shall be served forthwith upon all parties by the petitioner. Any adverse party may file an answer within ten (10) days after service. No supplemental petitions, pleadings or responses shall be considered unless requested or approved by the Appeals Board.
(d) The workers' compensation judge may, within fifteen (15) days of the filing of the petition for removal, rescind the order or decision in issue, or take action to resolve the issue raised in the petition. If the judge so acts, or if the petitioner withdraws the petition at any time, the petition for removal will be deemed automatically dismissed, requiring no further action by the Appeals Board. The issuance of a new order or decision, or the occurrence of a new action, will recommence the time period for filing a petition for removal as described above.
(e) The filing of a petition for removal does not terminate the judge's authority to proceed in a case or require the judge to continue or cancel a previously scheduled hearing absent direction from the Appeals Board. After a petition for removal has been filed, the workers' compensation judge shall consult with the presiding workers' compensation judge prior to proceeding in the case or continuing or canceling a scheduled hearing.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5310, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-12-2000; operative 1-1-2001. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2000, No. 50).  
3. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
4. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10844. Petitions for Disqualification and Answers.
Note     •     History

In addition to the requirements of section 10452, the petition for disqualification and any answer thereto shall be verified upon oath in the manner required for verified pleadings in courts of record.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 5311, Labor Code; and Section 641, Code of Civil Procedure.
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10845. General Requirements for Petitions for Reconsideration, Removal, and Disqualification, and for Answers and Other Documents.
Note     •     History

(a) Except as otherwise provided by sections 10840 or 10865, all documents filed in connection with any petition for reconsideration, petition for removal, petition for disqualification or any other matter pending before the Appeals Board shall comply with the requirements of sections 10227, 10228, 10230, 10232, 10235, and 10236, including but not limited to the 25-page limitation of section 10232(a)(10), except that any supplemental petition or answer allowed by the Appeals Board under section 10848 shall not exceed ten pages. Any verification, proof of service, exhibit, or document cover sheet filed with the petition or answer shall not be counted in determining the page limitation.
(b) Upon its own motion, or upon a clear and convincing showing of good cause, the Appeals Board may allow the filing of a petition, answer, or supplemental petition or answer that does not comply with the provisions of subdivision (a), including but not limited to the page limitations. A request to exceed the page limitations shall be made by a separate petition, made under penalty of perjury, that specifically sets forth the facts or other reasons why the request should be granted.
(c) A document that has been sent directly to the Appeals Board by fax or e-mail will not be accepted for filing, unless otherwise ordered by the Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5310, 5311, 5900 and 5905, Labor Code. 
HISTORY

1. New section filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10846. Skeletal Petitions.
Note     •     History

A petition for reconsideration, removal, or disqualification may be denied or dismissed if it is unsupported by specific references to the record and to the principles of law involved.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5310, 5311, 5902, 5903 and 5904, Labor Code.
HISTORY

1. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10848. Supplemental Petitions.
Note     •     History

When a petition for reconsideration, removal or disqualification has been timely filed, supplemental petitions or pleadings or responses other than the answer shall be considered only when specifically requested or approved by the Appeals Board.  Supplemental petitions or pleadings or responses other than the answer, except as provided by this rule, shall neither be accepted nor deemed filed for any purpose and shall not be acknowledged or returned to the filing party.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5310, 5311 and 5900, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10850. Proof of Service.
Note     •     History

Service of copies of any petition for reconsideration, removal, or disqualification or any answer thereto shall be made, in accordance with Rule 10505, on all parties to the case and on any lien claimant, the validity of whose lien is specifically questioned by the petition, and to any case that has been consolidated therewith pursuant to Section 10590. Failure to file proof of service shall constitute valid ground for dismissing the petition.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5310, 5311, 5902 and 5903, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10852. Insufficiency of Evidence.
Note     •     History

Where reconsideration is sought on the ground that findings are not justified by the evidence, the petition shall set out specifically and in detail how the evidence fails to justify the findings.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5902 and 5903, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10856. Allegations of Newly Discovered Evidence and Fraud.
Note     •     History

Where reconsideration is sought on the ground of newly discovered evidence that could not with reasonable diligence have been produced before submission of the case or on the ground that the decision had been procured by fraud, the petition must contain an offer of proof, specific and detailed, providing:
(a) the names of witnesses to be produced;
(b) a summary of the testimony to be elicited from the witnesses;
(c) a description of any documentary evidence to be offered;
(d) the effect that the evidence will have on the record and on the prior decision; and
(e) as to newly discovered evidence, a full and accurate statement of the reasons why the testimony or exhibits could not reasonably have been discovered or produced before submission of the case.
A petition for reconsideration sought upon these grounds may be denied if it fails to meet the requirements of this rule, or if it is based upon cumulative evidence.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5902 and 5903, Labor Code.
HISTORY

1. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10858. Correction of Errors.
Note

Before a petition for reconsideration is filed, a workers' compensation judge may correct the decision for clerical, mathematical or procedural error or amend the decision for good cause under the authority and subject to the limitations set out in Sections 5803 and 5804 of the Labor Code.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5309, Labor Code.
§10859. Orders After Filing of Petition for Reconsideration.
Note     •     History

After a petition for reconsideration has been timely filed, a workers' compensation judge may, within the period of fifteen (15) days following the date of filing of that petition for reconsideration, amend or modify the order, decision or award or rescind the order, decision or award and conduct further proceedings. Further proceedings shall be initiated within 30 days from the order of recession. The time for filing a petition for reconsideration pursuant to Labor Code section 5903 will run from the filing date of the new, amended or modified decision. After this period of fifteen (15) days has elapsed, a workers' compensation judge shall not make any order in the case nor correct any error until the Appeals Board has denied or dismissed the petition for reconsideration or issued a decision after reconsideration.
NOTE

Authority cited: Section 5307, Labor Code. Reference: Sections 5906, 5907 and 5908.5, Labor Code.
HISTORY

1. Repealer and new section filed 12-16-92; operative 2-1-93 and exempt from OAL review pursuant to Government Code section 11351 (Register 92, No. 51).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10860. Report of Workers' Compensation Judge.
Note     •     History

Petitions for reconsideration, petitions for removal and petitions for disqualification shall be referred to the workers' compensation judge from whose decisions or actions relief is sought. The workers' compensation judge shall prepare a report that shall contain:
(a) a statement of the contentions raised by the petition;
(b) a discussion of the support in the record for the findings of fact and the conclusions of law that serve as a basis for the decision or order as to each contention raised by the petition, or, in the case of a petition for disqualification, a specific response to the allegations and, if appropriate, a discussion of any failure by the petitioner to comply with the procedures set forth in Rule 10452, and
(c) the action recommended on the petition.
The workers' compensation judge shall submit the report to the Appeals Board within 15 days after the petition is filed unless the Appeals Board grants an extension of time. The workers' compensation judge shall serve a copy of the report on the parties and any lien claimant, the validity of whose lien is specifically questioned by the petition, at the time the report is submitted to the Appeals Board.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 5900 and 5906, Labor Code.
HISTORY

1. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10862. Hearing After Reconsideration Granted.
Note     •     History

Where reconsideration has been granted and the case referred to a workers' compensation judge for proceedings on reconsideration, the workers' compensation judge shall, upon the conclusion thereof, prepare and serve upon the parties a summary of evidence received in the proceedings after reconsideration granted.
Unless otherwise instructed by the panel before which a case is pending, the workers' compensation judge to whom the case has been assigned for further proceedings may rule on requests for postponement, continuance of further hearing, join additional parties, dismiss unnecessary parties where such dismissal is not opposed by any other party to the case, make all interlocutory or procedural orders that are agreed to by all parties, issue subpoenas, rule on motions for discovery, rule on all evidentiary motions and objections, and make all other rulings necessary to expedite and facilitate the trial and disposition of the case. The workers' compensation judge shall not order a medical examination, obtain a recommended disability evaluation, make an order taking the case off calendar, nor make an order approving or disapproving compromise and release.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5309 and 5313, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10864. Authority of Workers' Compensation Judge After Decision After Reconsideration.
Note     •     History

After a decision after reconsideration has become final, subsequent orders and decisions in a case may be made by any workers' compensation judge to whom the case is assigned pursuant to Section 10348, including orders approving or disapproving compromise and release, orders allowing or disallowing liens, orders for enforcement of the decision of the Appeals Board, orders granting or denying petitions to reopen, orders rescinding, altering or amending the decision of the Appeals Board for good cause under Labor Code Section 5803, orders for increased compensation under Labor Code Section 5814, orders terminating liability, orders for commutation and orders resolving issues that the Board in its decision has left for determination by a workers' compensation judge.
A workers' compensation judge may not make an order correcting a decision after reconsideration for clerical, mathematical, or procedural error. Requests for such correction shall be acted on by the panel that made the decision or if the composition of the Board has changed, by the successor panel.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5900, 5910 and 5911, Labor Code.
HISTORY

1. Amendment filed 5-25-82; designated effective 7-1-82 (Register 82, No. 22).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10865. Reconsideration of Arbitration Decisions Made Pursuant To--Labor Code Sections 3201.5 and 3201.7.
Note     •     History

(a) A petition for reconsideration from an arbitration decision made pursuant to Labor Code Section 3201.5(a)(1) or Section 3201.7(a)(1) (known as “carve-out” cases) shall be filed directly with the office of the Appeals Board in San Francisco within twenty (20) days of the service of the final order, decision, or award made and filed by the arbitrator or board of arbitrators.  A copy of the petition for reconsideration shall be served on the arbitrator or arbitration board.
(b) Notwithstanding any other provision of these rules, a petition for reconsideration in a carve-out case shall be filed directly with the office of the Appeals Board in San Francisco, and not with any district office, including the San Francisco district office. The street address and the post office box address of the Appeals Board may be found at the website of the Department of Industrial Relations, Workers' Compensation Appeals Board (currently, at http://www.dir.ca.gov/wcab/WCAB_PetitionforReconsideration.htm) or by telephoning the Appeals Board in San Francisco (currently, (415) 703-4550). Any petition for reconsideration in a carve-out case that is received by any district office shall neither be accepted for filing nor deemed filed for any purpose. If a carve-out petition for reconsideration is submitted to a district office in violation of this rule, the petition shall be returned to the petitioner with a letter referencing this rule, noting that the petition was improperly submitted to a district office and has been rejected, and indicating that the petition should be filed directly with the Appeals Board in San Francisco consistent with this rule.
(c) The petition for reconsideration in a carve-out case, which shall be submitted with a document cover sheet, shall also comply with each of the following requirements:
(1) it shall be captioned so as to identify it as a “Petition for Reconsideration from Arbitrator's Decision Under Labor Code section 3201.5 or 3201.7” and it shall caption: (A) the injured employee's first and last names; (B) the name(s) of the defendant(s); (C) the alternative dispute resolution (ADR) case number (i.e., the carve-out arbitration case number); and (D) the Workers' Compensation Appeals Board adjudication case number, if previously assigned; 
(2) it shall set forth the date on which the arbitrator or board of arbitrators served the arbitration decision.  Proof of service of the arbitration decision on the parties shall be either by a verified statement of the arbitrator or the board of arbitrators indicating the date of service and listing the names and addresses of the persons served or by written acknowledgment of receipt by the parties at the time of the arbitration proceedings;
(3) it shall append, under a document separator sheet a copy of that portion of the collective bargaining agreement relating to the workers' compensation arbitration and reconsideration processes;
(4) it shall append, under a document separator sheet, a completed application for adjudication of claim (but without any venue designation), which is required solely for the purpose of obtaining the information set forth therein (e.g., the injured employee's date(s) of injury and date of birth; the names and mailing addresses of the parties); therefore, it shall not be deemed an application for purposes of Labor Code section 4064(c); and
(5) it shall contain a proof of service of the petition, including service on the arbitrator or board of arbitrators.
(d) After the filing of the carve-out petition for reconsideration, an adjudication file will be created and an adjudication case number will be assigned, if there is no existing adjudication case number. Any new adjudication case number will be served by the Appeals Board on the parties and attorneys, and on the arbitrator or board of arbitrators, at the addresses listed in the proof of service to the petition.
(e) Following the Appeals Board's service of the adjudication case number (or, if there is an existing case, following the filing of the carve-out petition for reconsideration), and until the Appeals Board issues a decision disposing of all issues raised in the petition, all further documents shall be filed directly with the office of the Appeals Board in San Francisco, and not with any district office.
(f) Within 15 days after receiving the petition for reconsideration, the arbitrator or board of arbitrators shall submit to the Appeals Board in San Francisco a photocopy of the complete record of proceedings, including: (1) the transcript of proceedings, if any; (2) a summary of testimony if the proceedings were not transcribed; (3) the documentary evidence submitted by each of the parties; (4) an opinion that sets forth the rationale for the decision; and (5) a report on the petition for reconsideration, consistent with the provisions of section 10860. The original arbitration record shall not be filed.
(g) The Appeals Board may scan the petition for reconsideration, any answer, and the photocopied record of the arbitration proceedings into the adjudication file within EAMS. Upon scanning, the paper documents shall be destroyed.
(h) The petition for reconsideration, any answer, and the arbitration record shall be deemed part of the Workers' Compensation Appeals Board's record of proceedings under section 10750.
(i) After an arbitration decision has been made, the arbitrator or board of arbitrators shall maintain possession of the original record of the arbitration proceedings until the time for filing a petition for reconsideration has passed.  Thereafter one of the parties may be designated custodian of the arbitration record as provided for in the collective bargaining agreement.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code.  Reference: Sections 3201.5 and 3201.7, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10866. Reconsideration of Arbitrator's Decisions or Awards Made Pursuant to the Mandatory or Voluntary Arbitration Provisions of Labor Code Sections 5270 through 5275.
Note     •     History

(a) Any final order, decision or award filed by an arbitrator under the mandatory or voluntary arbitration provisions of Labor Code Sections 5270 through 5275 shall be subject to the reconsideration process as set forth in Labor Code Sections 5900 through 5911 and Rules 10842 through 10850. The parties, respectively, shall serve the arbitrator with the petition for reconsideration and the answer.
(b) A petition for reconsideration from any final order, decision or award filed by an arbitrator under the mandatory or voluntary arbitration provisions of Labor Code sections 5270 through 5275, and any answer to such a petition, may be filed with any district office or with the office of the Appeals Board in San Francisco. Duplicate copies of petitions filed with a district office shall not also be filed with any other district office or with the Appeals Board in San Francisco.
(c) When a petition for reconsideration is filed from any final order, decision or award made by an arbitrator under Labor Code Sections 5270 through 5275, the arbitrator shall prepare and serve a report on reconsideration as provided in Rule 10860. Upon completion of the report on reconsideration, the arbitrator shall concurrently forward the arbitrator's original report and a photocopy of the complete arbitration file directly to the presiding workers' compensation judge of the district office having venue over the matter. Upon receipt of the arbitrator's original report and the photocopy of the arbitration file, the district office shall scan the report and the photocopied file into the EAMS adjudication file and, after scanning, shall destroy these documents. Thereafter, the adjudication file shall be electronically transferred to the Appeals Board for action on the petition for reconsideration or, to the extent that the adjudication file is in paper form, the file shall be delivered to the Appeals Board.
(d) The petition for reconsideration, any answer, and the arbitration record shall be deemed part of the Workers' Compensation Appeals Board's record of proceedings under section 10750.
(e) The costs of photocopying the arbitrator's file shall be reimbursed to the arbitrator in accordance with the provisions of Labor Code section 5273, within 30 days after the liable party or parties receives the arbitrator's billing for those costs.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code.  Reference: Sections 5273, 5275, 5277(c) and 5900-5911, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10867. Report of Arbitrator. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Sections 5275, 5277(c) and 5900-5911, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10868. Reconsideration of Settlement Conference Referees' Decisions or Awards. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Sections 111, 5502 and 5900, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10869. Report of Settlement Conference Referee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Sections 111, 5502 and 5307, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 18. Settlements
§10870. Approval of Compromise and Release.
Note     •     History

Agreements that provide for the payment of less than the full amount of compensation due or to become due and undertake to release the employer from all future liability will be approved only where it appears that a reasonable doubt exists as to the rights of the parties or that approval is in the best interest of the parties. No agreement shall relieve an employer of liability for vocational rehabilitation benefits unless the Workers' Compensation Appeals Board makes a finding that there is a good faith issue which, if resolved against the injured employee, would defeat the employee's right to all workers' compensation benefits.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4646, 5001, 5002 and 5100.6, Labor Code.
HISTORY

1. Amendment of article 18 heading and amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10874. Form.
Note

Every compromise and release agreement shall comply with the provisions of Labor Code Sections 5003-5004 and conform to a form provided by the Appeals Board.
NOTE

Authority cited: Sections 133, 5307, Labor Code. Reference: Sections 5001, 5002, 5003, 5004, Labor Code.
§10875. Procedures--Labor Code Section 3761.
Note     •     History

Where the insurer has attached a declaration to the compromise and release agreement or stipulations with request for award that it has complied with the provisions of Labor Code Sections 3761, subdivision (a), and 3761, subdivision (b), the Workers' Compensation Appeals Board may approve the compromise and release or stipulations with request for award without hearing or further proceedings.  
Where a workers' compensation judge or the Appeals Board has approved a compromise and release or stipulations with request for award and the insurer has failed to show proof of service pursuant to Labor Code Section 3761, subdivision (b), the workers' compensation judge or the Appeals Board, after giving notice and an opportunity to be heard to the insurer, shall award expenses as provided in Labor Code Section 5813 upon request by the employer.
Any request for relief under Labor Code Section 3761, subdivision (b), or Labor Code Section 3761, subdivision (d), shall be made by the filing of a petition pursuant to Rule 10450, together with a Declaration of Readiness to Proceed.
This rule shall apply to injuries on or after January 1, 1994.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 3761, Labor Code.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment of penultimate paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10878. Settlement Document as an Application.
Note     •     History

The filing of a compromise and release agreement or stipulations with request for award shall constitute the filing of an application which may, in the Workers' Compensation Appeals Board's discretion, be set for hearing, reserving to the parties the right to put in issue facts that might otherwise have been admitted in the compromise and release agreement or stipulations with request for award. If a hearing is held with this document used as an application, the defendants shall have available to them all defenses that were available as of the date of filing of this document. The Workers' Compensation Appeals Board may thereafter either approve the settlement agreement or disapprove it and issue findings and award after hearing has been held and the matter submitted for decision.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5001, 5002, 5500 and 5702, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10882. Action on Settlement Agreement.
Note     •     History

The Workers' Compensation Appeals Board shall inquire into the adequacy of all compromise and release agreements and stipulations with request for award, and may set the matter for hearing to take evidence when necessary to determine whether the agreement should be approved or disapproved, or issue findings and awards.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5001, 5002 and 5702, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10886. Service on Lien Claimants.
Note     •     History

Where a lien claim is on file with the Workers' Compensation Appeals Board or where a party has been served with a lien, and a compromise and release agreement or stipulations with request for award or order is filed, a copy of the compromise and release agreement or stipulations shall be served on the lien claimant.
No lien claim shall be disallowed or reduced unless the lien claimant has been given notice and an opportunity to be heard.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903, 4903.1, 4903.4, 4904, 4904.1, 4905 and 4906, Labor Code.
HISTORY

1. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10888. Resolution of Liens.
Note     •     History

Before issuance of an order approving compromise and release that resolves a case or an award that resolves a case based upon the stipulations of the parties, if there remain any liens that have not been resolved or withdrawn, the parties shall make a good-faith attempt to contact the lien claimants and resolve their liens. A good-faith attempt requires at least one contact of each lien claimant by telephone or letter.
After issuing an order approving compromise and release that resolves a case or an award that resolves a case based upon the stipulations of the parties, if there remain any liens that have not been resolved or withdrawn, the workers' compensation judge shall
(1) set the case for a lien conference, or
(2) issue a ten (10) day notice of intention to order payment of any such lien in full or in part, or
(3) issue a ten (10) day notice of intention to disallow any such lien. Upon a showing of good cause, the workers' compensation judge may once continue a lien conference to another lien conference. If a lien cannot be resolved at a lien conference, the workers' compensation judge shall set the case for trial.
An agreement to “pay, adjust or litigate” a lien, or its equivalent, or an award leaving a lien to be adjusted, is not a resolution of the lien.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903, 4903.1, 4904, 5001, 5002 and 5702, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10890. Walk-Through Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4053, 4054, 5001, 5002, 5702 and 5710, Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 19. Subsequent Injuries Fund
§10940. Application.
Note     •     History

All claims against the Subsequent Injuries Fund shall be by an application in writing setting forth the date and nature of the industrial injury, together with all factors of disability alleged to have pre-existed said injury. Allegations of additional factors must be by amended application.
All applications against the Subsequent Injuries Fund shall be filed with the Appeals Board and a copy shall be served by mail on the Division of Workers' Compensation, Subsequent Injuries Fund, in accordance with Sections 10505 and 10507. Where joinder of the Subsequent Injuries Fund has been ordered by the workers' compensation judge or the Appeals Board, the applicant shall forthwith file and serve an application as provided herein.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4750, 4751, 4753, 4753.5 and 4754.5, Labor Code.
HISTORY

1. Amendment filed 6-28-83; designated effective 7-1-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 27).
2. Amendment of last paragraph filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10942. Service.
Note     •     History

Service of all documents directed to the Subsequent Injuries Fund shall be made on the Division of Workers' Compensation, Subsequent Injuries Fund.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4750, 4751, 4753, 4753.5 and 4754.5, Labor Code.
HISTORY

1. Amendment filed 6-28-83; designated effective 7-1-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 27).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10944. Notice of Hearing.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5502, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10946. Medical Reports in Subsequent Injuries Benefits Trust Fund Cases.
Note     •     History

When an application is filed against the Subsequent Injuries Benefits Trust Fund, any party who has previously filed medical reports shall forthwith serve copies on the Division of Workers' Compensation, Subsequent Injuries Benefits Trust Fund, and in no case later than thirty (30) days prior to the mandatory settlement conference or other hearing, unless service is waived by the Division of Workers' Compensation, Subsequent Injuries Benefits Trust Fund.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code.
HISTORY

1. Amendment filed 6-28-83; designated effective 7-1-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 27).
2. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
Article 20. Review of Administrative Orders
§10950. Petitions Appealing Orders Issued by the Administrative Director.
Note     •     History

Except as provided in Rule 10953, petitions appealing orders issued by the Administrative Director shall be filed in accordance with the provisions of Article 9 (section 10290 et seq.) of the Rules of the Court Administrator. Where a workers' compensation judge has determined such an appeal, any aggrieved party may file a petition for reconsideration in accordance with the provisions of Labor Code section 5900 et seq. and Appeals Board Rules 10840 et seq.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Sections 129, 4603, 4604, 5300, 5301 and 5302, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section heading, section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10952. Appeal of Notice of Compensation Due. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 129, 5300 and 5301, Labor Code.
HISTORY

1. New section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10953. Petition Appealing Audit Penalty Assessment-- Labor Code Section 129.5(g).
Note     •     History

(a) An insurer, self-insured employer, or third-party administrator may appeal a civil penalty assessment issued pursuant to subdivision (g) of Labor Code section 129.5 by filing a petition with any district office or with the Appeals Board in San Francisco, in the same time and manner as provided by the Labor Code and Rule 10840 et seq. for the filing of a petition for reconsideration, except that a copy of the petition also shall be served on the Administrative Director. The petition shall be accompanied by a completed document cover sheet.
(b) The Administrative Director may answer the petition in the same time and manner provided for the filing of an answer to a petition for reconsideration.
(c) After the filing of a petition appealing a civil penalty assessment issued pursuant to Labor Code section 129.5(g), an adjudication case will be created and an adjudication case number will be assigned. The adjudication case number will be served by the Appeals Board on the Administrative Director and on the parties and attorneys listed on the proof of service to the petition.
(d) Within 15 days after the Administrative Director receives a copy of petition appealing a civil penalty assessment issued pursuant to Labor Code section 129.5(g), the Administrative Director shall submit to the Appeals Board in San Francisco a certified copy of the complete record of proceedings created by the Administrative Director in accordance with Article 6 of the Administrative Director's rules (Cal. Code Regs., tit. 8, §10113 et seq.) The certified copy of the record shall include, but shall not necessarily be limited to: (1) the Order to Show Cause Re: Assessment of Civil Penalty and Notice of Hearing; (2) the Answer to the Order to Show Cause; (3) any amended complaint or supplemental Order to Show Cause that may have been issued, and any Amended Answer filed in response thereto; (4) any pre-hearing written statement filed by the claims administrator; (5) any pre-hearing Minutes and pre-hearing Orders; (6) the Minutes of any Hearing, a transcript or summary of any oral testimony offered at the hearing, any documentary evidence or affidavits offered at the hearing; and (7) the Administrative Director's written Determination and statement of the basis for the Determination. The original record of the proceedings conducted pursuant to Labor Code section 129.5(g) shall not be filed.
(e) The Appeals Board may scan the appeal, any answer, and the photocopied record of the Administrative Director's proceedings into the adjudication file within EAMS. Upon scanning, the paper documents may be destroyed.
(f) The Appeals Board shall determine the appeal using the record created by the Administrative Director in accordance with Article 6 of the Administrative Director's rules (Cal. Code Regs., tit. 8, §10113 et seq.) The Administrative Director's record shall be deemed part of the Workers' Compensation Appeals Board's record of proceedings under section 10750.
NOTE

Authority cited: Sections 133, 5307, 5309 and 5708, Labor Code. Reference: Section 129.5(g), Labor Code.
HISTORY

1. New section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Amendment of section and Note filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10955. Rehabilitation Appeals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 139.5, 4645 and 5500, Labor Code.
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
3. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10956. Rehabilitation Records.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 139.5, 5708 and 5709, Labor Code.
HISTORY

1. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10957. Deposition of Rehabilitation Consultants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
2. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10958. Hearing and Burden of Proof.
Note     •     History

Proceedings instituted under Section 10955 shall be assigned, heard and determined in the same manner as proceedings instituted for the collection of other compensation except that the burden of proof shall be on the person disputing the finding or determination of the Rehabilitation Unit.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5708, Labor Code.
HISTORY

1. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Article 21. General
§10960. Operative Effect of Rules 10300 through 10958.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Statutes of 1989, Chapters 892 and 893; and Statutes of 1993, Chapter 121. 
HISTORY

1. Repealer and new section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).  For prior history, see Register 90, No. 5.
2. Repealer of article 21 (sections 10960-10964) and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10961. Operative Effect of Rules 10960 through 10999.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Statutes of 1989, Chapters 892 and 893; and Statutes of 1993, Chapter 121. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5).  This section is exempt from review by OAL pursuant to Government Code Section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10962. Referees.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5502, subdivision (d), Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 10-21-96; operative 11-1-96. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 96, No. 43).
§10963. Administrative Director of the Division of Workers' Compensation.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 110 and 111, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10964. Office of Benefit Determination.
Note     •     History

NOTE

Authority cited: Sections 133 and 5309, Labor Code. Reference: Section 124, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10965. Application for Adjudication.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5500, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Repealer of article 22 (sections 10965-10980) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10966. Declaration of Readiness to Proceed.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 134, 5500 and 5502, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment of section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
5. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
6. Repealer of article 22 (sections 10966-10967) and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10967. Objection to Declaration of Readiness to Proceed.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 134, 5500 and 5502, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
5. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10968. Answers.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5500, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10969. Procedural Requirements.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5500, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10973. Service by the Parties and Lien Claimants.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer of article heading and section  filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10974. Service on Attorney or Agent.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10975. Proof of Service by Parties and Lien Claimants.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5316, Labor Code. 
HISTORY

1. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10976. Hearing.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5502 and 5709, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10977. Notice of Hearing.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5504, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10978. Physicians' Reports as Evidence.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4620, 4628, 5703, 5708 and 5709, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10979. Physicians' Reports.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4620, 5500, 5703, 5708 and 5709, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10980. Cross-Examination of Physicians.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Article XIV, Section 4, California Constitution; and Sections 4600 through 5709, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10984. Impartial Medical Examiners.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 122 and 139, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Amendment of article heading filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
4. Repealer of article 23 (section 10984) filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10985. Disputes Regarding Labor Code Section 4600 Liens.
Note     •     History

NOTE

Authority, Sections 133 and 5307, Labor Code. Reference: Section 4903.4, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10986. Binding Arbitration for Lien Claim Disputes.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 4903.4, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10987. Pre-Application Attorney Fees.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 4903 and 4906, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52). 
4. Repealer of article 24 (sections 10987-10987.3) and section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10987.1. Information Request Form.
Note     •     History

NOTE

Authority cited: Sections 133, 5307, 5407 and 5401.7, Labor Code. Reference: Section 5401.5, Labor Code.
HISTORY

1. New section exempt from OAL review pursuant to Government Code section 11351, filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
3. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10987.2. Information Response Form.
Note     •     History

NOTE

Authority cited: Sections 133, 5307 and 5401.6, Labor Code. Reference: Section 5401.6, Labor Code.
HISTORY

1. New section exempt from OAL review pursuant to Government Code section 11351, filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
2. Amendment of section filed 6-11-92 with Secretary of State by Workers' Compensation Appeals Board; operative 6-11-92. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 92, No. 24).
3. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10987.3. Operative Effect of Rules 10987.1 and 10987.2.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code.  Reference: Section 4903 and 4906, Labor Code;  and Statutes of 1993, Chapter 121.
HISTORY

1. New section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
2. Repealer filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10988. Reconsideration of Arbitrators' Decisions or Awards.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5277(c), 5275(d), and 5900 through 5911, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10989. Report of Arbitrator.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5275(c), 5275(d), and 5900 through 5911, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10990. Reconsideration of Settlement Conference Referees' Decisions or Awards.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 111 and 5502, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10991. Report of Settlement Conference Referee.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 111 and 5502, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Repealer filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
§10992. Rehabilitation Appeals.
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 139.5, 4645(d) and 5500, Labor Code. 
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code Section 11351. 
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5). 
3. Repealer of article heading and section filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
Article 22. Arbitration
§10995. Mandatory Arbitration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5270 through 5277, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment of article heading filed 12-23-93; operative 1-1-94.  Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 93, No. 52).
5. Renumbering of former article 25 to article 22 and amendment of section filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
6. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10996. Voluntary Arbitration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5270 through 5277, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
5. Repealer filed 11-17-2008; operative 11-17-2008. Submitted to OAL for printing only (Register 2008, No. 47).
§10997. Request for Arbitration.
Note     •     History

In no event will arbitration be permitted after the taking of testimony in any proceeding.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Sections 5270 through 5277, Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10998. Disqualification of Arbitrator.
Note     •     History

This rule applies to injuries occurring on or after January 1, 1990, except that this rule applies regardless of the date of injury for voluntary arbitration pursuant to Labor Code section 5275, subdivision (b).
After service of a list of panel members pursuant to rule 10995, any party may, within six (6) days, petition the workers' compensation judge to remove any member from the panel pursuant to section 170.1 of the Code of Civil Procedure. In event the presiding workers' compensation judge finds cause under section 170.1 of the Code of Civil Procedure, the presiding workers' compensation judge shall remove the member or members of the panel challenged and add to the original list the appropriate number of arbitrators at random to make a full panel and, within six (6) days, serve the list on the parties.
In event the presiding workers' compensation judge selects an arbitrator pursuant to rule 10995, the parties will have six (6) days after service of the name of the arbitrator to petition to disqualify that arbitrator pursuant to section 170.1 of the Code of Civil Procedure. If the presiding workers' compensation judge finds cause, the presiding workers' compensation judge shall assign another arbitrator pursuant to Labor Code section 5271, subdivision (d) and order the issue or issues in dispute submitted to that arbitrator.
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5271(d), Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment of first paragraph and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
§10999. Arbitrator Fee and Cost Disputes.
Note     •     History

Any dispute involving an arbitrator's fee or cost shall be resolved by the presiding workers' compensation judge of the appropriate local office or, in his or her absence, the acting presiding workers' compensation judge.
Any request to resolve a dispute about arbitrator fees or costs must be accompanied by any written agreement pertaining to arbitrator fees or costs and a statement that shall include the nature of the dispute and an itemization of the hours spent in actual arbitration hearing, in preparation for arbitration, and in preparation of the decision. The statement shall also include an itemization of the verifiable costs including use of facility, reporters and transcript preparation.
An arbitrator fee shall not exceed a reasonable amount. In establishing a reasonable fee, the Presiding Workers' Compensation Judge shall consider:
(a) responsibility assumed by the arbitrator;
(b) experience of the arbitrator;
(c) number and complexity of the issues being arbitrated;
(d) time involved; and
(e) expeditiousness and completeness of issue resolution.
The presiding workers' compensation judge of each local office shall maintain statistics on all arbitration fees awarded pursuant to Labor Code section 5273(c) including the amount thereof and rationale or basis for the award pursuant to (a) through (e) herein above.
Arbitration costs will be allowed in a reasonable amount pursuant to Labor Code section 5273, subdivision (a).
NOTE

Authority cited: Sections 133 and 5307, Labor Code. Reference: Section 5273(c), Labor Code.
HISTORY

1. New section filed 1-12-90; operative 1-12-90 (Register 90, No. 5). This section is exempt from review by OAL pursuant to Government Code section 11351.
2. Change without regulatory effect filed 1-26-90 (Register 90, No. 5).
3. Amendment exempt from OAL review pursuant to Government Code section 11351 filed 12-19-90; operative 1-1-91 (Register 91, No. 7).
4. Amendment of section and Note filed 12-19-2002; operative 1-1-2003. Submitted to OAL for printing only pursuant to Government Code section 11351 (Register 2002, No. 51).
Chapter 5. Industrial Welfare Commission

(Originally Printed 4-20-45)
Group 1. General Minimum Wage Order
Article 1. Minimum Wage Order

(Order No. MW-2001, Effective 1-1-2001)
§11000. Order Regulating the Minimum Wage.
Note     •     History

1. Applicability--The provisions of this Order shall not apply to outside salespersons and individuals who are the parent, spouse, or children  of the employer previously contained in this Order and the IWC's industry and occupation orders. The IWC has eliminated other exemptions from the minimum wage previously contained in this Order and in sections of the IWC's industry and occupation orders. (See Section 5, Amended Provisions, below.) Exceptions and modifications provided by statute or in Section 1, Applicability, and other sections of the IWC's industry and occupation orders may be used where any such provisions are enforceable and applicable to the employer.
2. Minimum Wages--Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002.
3. Meals and Lodging--Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following:

	Effective	Effective
Lodging--	January 1, 2001	January 1, 2002

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than:
	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than:
	$522.10 per month	$563.90 per month

Meals--

Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
4. Separability--If the application of any provision of this Order, or any section, subsection, subdivision, sentence, clause, phrase, word or portion of this Order should be held invalid, unconstitutional, unauthorized, or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein.
5. Amended Provisions--This order amends the minimum wage and meals and lodging credits in MW-98, as well as in the IWC's industry and occupation orders. (See Orders 1-15, Secs. 4 and 10; and Order 16, Secs. 4 and 9.) This Order also amends the following other provisions of the IWC's industry and occupations orders to be consistent with the IWC's actions regarding the elimination of certain exemptions from the minimum wage: Order 1, Secs. 1(B) and 4(A)(1) and (2); Order 2, Secs. 1(B) and 4(A)(1) and (2); Order 3, Secs. 1(B) and 4(A)(1) and (2); Order 4, Secs. 1(B) and 4(A)(1) and (2); Order 5, Secs. 1(A) and (C), and 4(A)(1) and (2); Order 6, Secs. 1(B) and 4(A)(1) and (2); Order 7, Secs. 1(B) and 4(A)(1) and (2); Order 8, Secs. 1(B) and 4(A)(1) and (2); Order 9, Secs. 1(B) and 4(A)(1) and (2); Order 10, Secs. 1(B) and (D), and 4(A)(1) and (2); Order 11, Secs. 1(B) and (C) and 4(A)(1) and (2); Order 12, Secs. 1(B) and (C) and 4(A)(1) and (2); Order 13, Secs. 1(B) and 4(A)(1) and (2); Order 14, Secs. 1(B) and 4(A)(1) and (2); Order 15, Secs. 1(B) and 4(A)(1) and (2); and, Order 16, Sec. 1(B). These amendments were adopted on October 23, 2000 in Sacramento.
These Amendments to the Wage Orders shall be in effect as of January 1, 2001
NOTE

Authority cited: Sections 517 and 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 517, 1182 and 1184, Labor Code.
HISTORY

1. Repeal of Wage Order MW-98 (section 11000) and adoption of Wage Order MW-2001 (section 11000) filed 2-14-2001; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code section 517(f) (Register 2001, No. 7). For prior history of section 11000, see Register 97, No. 32.
Group 2. Industry and Occupation Orders
Article 1. Manufacturing Industry

(Wage Order 1-2001, Effective 1-1-2001)
§11010. Order Regulating Wages, Hours, and Working Conditions in the Manufacturing Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the manufacturing industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees herein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the work week must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his employer or his employer's customers, or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who are primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, and 541.210, 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the work week must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in paragraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above, shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(i) The employee is primarily engaged in duties that consist of one or more of the following: 
— The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
— The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
— The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(j) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(V) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) Provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending California Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Manufacturing Industry” means any industry, business, or establishment operated for the purpose of preparing, producing, making, altering, repairing, finishing, processing, inspecting, handling, assembling, wrapping, bottling, or packaging goods, articles, or commodities, in whole or in part; EXCEPT when such activities are covered by Orders in the: Canning, Preserving, and Freezing Industry; Industries Handling Products After Harvest; Industries Preparing Agricultural Products for Market, on the Farm; or Motion Picture Industry. 
(I) “Minor” means, for the purpose of this Order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” means any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” means any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 in a workweek unless the employee receives one and one half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including twelve (12) hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one fortieth (1/40) of the employee's weekly salary. 
(2) The provisions of this section are not applicable to employees whose hours of service: 
(a) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(b) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(B) Alternative Workweeks 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two (2) consecutive days off within a workweek. 
(3) If an employer, whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1000, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his or her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection is met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the Labor Commissioner, the Labor Commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) Except as provided in subsections (D) and (F), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(I) Notwithstanding subsection (H) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see section (F) above) shall apply, unless the agreement expressly provides otherwise. 
(J) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he or she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the make up work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6. 25) per hour for all hours worked effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85% percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day, and year and shall be kept on file by the employer for at least three (3) years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee.
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsection (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to subsections (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. The employee upon completion of the job shall return all items furnished by the employer. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy, which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated, as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. 
However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The Labor Commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Renumbering and amendment of former sections 11040-11500 and 11550, not consecutive to chapter 5, group 2 (sections 11010-11150, not consecutive) filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11). For prior history, see Registers 83, No. 20; 83, No. 19; 80, No. 24 and 80, No. 1.
2. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
3. Editorial correction of subsection 15(D) printing error (Register 88, No. 52).
4. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
5. Amendment of subsections 1 and 3 filed 2-28-89; operative 7-1-89 (Register 89, No. 10).
6. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
7. Editorial correction of printing error in subsection 2.(F) (Register 91, No. 32).
8. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
9. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
10. Amendment of parenthetical information below article heading and amendment of section filed 7-31-97; operative 1-1-98. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 97, No. 31).
11. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
12. Editorial correction of subsection 3.(A)(1)(b) (Register 2004, No. 20).
Article 2. Personal Service Industry

(Wage Order 2-2001, Effective 1-1-2001)
§11020. Order Regulating Wages, Hours, and Working Conditions in the Personal Service Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the personal service industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clause (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer, and includes any lessee who is charged rent, or who pays rent for a chair, booth, or space and 
(1) Who does not use his/her own funds to purchase requisite supplies; and 
(2) Who does not maintain an appointment book separate and distinct from that of the establishment in which the space is located; and 
(3) Who does not have a business license where applicable. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(I) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(J) “Personal Service Industry” means any industry, business, or establishment operated for the purpose of rendering, directly or indirectly, any service, operation, or process used or useful in the care, cleansing, or beautification of the body, skin, nails, or hair, or in the enhancement of personal appearance or health, including but not limited to beauty salons, schools of beauty culture offering beauty care to the public for a fee, barber shops, bath and massage parlors, physical conditioning, weight control salons, health clubs, and mortuaries. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and ending time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime -- General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of 8 hours on the seventh (7th) consecutive day of work in a workweek. 
(2) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than 4 hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed 8 hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed 8hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) The provisions of Labor Code Sections 551 and 552 regarding 1 day's rest in 7 shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work 7 or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in 7. 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) Except as provided in subsections (D) and (F), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(I) Notwithstanding subsection (H) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of 1 day's rest in 7 (see subsection (F) above) shall apply, unless the agreement expressly provides otherwise. 
(J) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(K) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS. Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one hour's (1) pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(C) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) An Act of God or other cause not within the employer's control causes the interruption of work. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(1) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. The employer shall maintain an accurate production record. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. The employee upon completion of the job shall return all items furnished by the employer. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2001

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o.
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(2) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting Of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors in subsections 3.(B) and (G), 4.(D), 10.(D) and 15.(B) (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 3. Canning, Freezing, and Preserving Industry

(Wage Order 3-2001, Effective 1-1-2001)
§11030. Order Regulating Wages, Hours, and Working Conditions in the Canning, Freezing, and Preserving Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the canning, freezing, and preserving industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this wage order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, Chap. 365, amending California Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Canning, Freezing, and Preserving Industry” means any industry, business, or establishment operated for the purpose of canning soups, or of cooking, canning, curing, freezing, pickling, salting, bottling, preserving, or otherwise processing any fruits or vegetables, seafood, meat, poultry or rabbit product, when the purpose of such processing is the preservation of the product and includes all operations incidental thereto. 
(C) “Commission” means the Industrial Welfare Commission of the State of California. 
(D) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer. 
(G) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(H) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(I) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and ending time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible under the following conditions: 
(2) An employee may work up to a maximum of 72 in seven (7) consecutive days after which the employee shall have a 24 hour period off duty. Overtime hours shall be compensated at: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(3) The overtime rate of compensation required to be paid to a non-exempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to California Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If during any workday, an employer declares a work recess of one-half (1/2) hour or more, other than a meal period, and the employer notifies the employees of the time to report back for work and permits them to leave the premises, such recess need not be treated as hours worked provided that there shall not be more than two (2) such recess periods within one shift and the total duration does not exceed two (2) hours. Work stoppages of less than one-half (1/2) hour may not be deducted from hours worked. 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(J) Except as provided in subsections (D) and (H), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(K) Notwithstanding subsection (J) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(L) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 15).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial corrections of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 4. Professional, Technical, Clerical, Mechanical, and Similar Occupations

(Wage Order 4-2001, Effective 1-1-2001)
§11040. Order Regulating Wages, Hours, and Working Conditions in Professional, Technical, Clerical, Mechanical, and Similar Occupations.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in professional, technical, clerical, mechanical, and similar occupations whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of sections 3 through 12 shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-16. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(I) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his employer's customers; or 
(II) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Emergency” means an unpredictable or unavoidable occurrence at unscheduled intervals requiring immediate action. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer. 
(G) “Employees in the health care industry” means any of the following: 
(1) Employees in the health care industry providing patient care; or 
(2) Employees in the health care industry working in a clinical or medical department, including pharmacists dispensing prescriptions in any practice setting; or 
(3) Employees in the health care industry working primarily or regularly as a member of a patient care delivery team; or 
(4) Licensed veterinarians, registered veterinary technicians and unregistered animal health technicians providing patient care. 
(H) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(I) “Health care emergency” consists of an unpredictable or unavoidable occurrence at unscheduled intervals relating to healthcare delivery, requiring immediate action. 
(J) “Health care industry” is defined as hospitals, skilled nursing facilities, intermediate care and residential care facilities, convalescent care institutions, home health agencies, clinics operating 24 hours per day, and clinics performing surgery, urgent care, radiology, anesthesiology, pathology, neurology or dialysis. 
(K) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. Within the health care industry, the term “hours worked” means the time during which an employee is suffered or permitted to work for the employer, whether or not required to do so, as interpreted in accordance with the provisions of the Fair Labor Standards Act. 
(L) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(M) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(N) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(O) “Professional, Technical, Clerical, Mechanical, and Similar Occupations” includes professional, semiprofessional, managerial, supervisorial, laboratory, research, technical, clerical, office work, and mechanical occupations. Said occupations shall include, but not be limited to, the following: accountants; agents; appraisers; artists; attendants; audio-visual technicians; bookkeepers; bundlers; billposters; canvassers; carriers; cashiers; checkers; clerks; collectors; communications and sound technicians; compilers; copy holders; copy readers; copy writers; computer programmers and operators; demonstrators and display representatives; dispatchers; distributors; door-keepers; drafters; elevator operators; estimators; editors; graphic arts technicians; guards; guides; hosts; inspectors; installers; instructors; interviewers; investigators; librarians; laboratory workers; machine operators; mechanics; mailers; messengers; medical and dental technicians and technologists; models; nurses; packagers; photographers; porters and cleaners; process servers; printers; proof readers; salespersons and sales agents; secretaries; sign erectors; sign painters; social workers; solicitors; statisticians; stenographers; teachers; telephone, radio-telephone, telegraph and call-out operators; tellers; ticket agents; tracers; typists; vehicle operators; x-ray technicians; their assistants and other related occupations listed as professional, semiprofessional, technical, clerical, mechanical, and kindred occupations. 
(P) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(Q) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(R) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(S) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(T) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(U) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) If an employer, whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(3) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(4) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(5) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(6) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(7) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of section (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. Notwithstanding the foregoing, if a health care industry employer implemented a reduced rate for 12-hour shift employees in the last quarter of 1999 and desires to re-implement a flexible work arrangement that includes 12-hour shifts at straight time for the same work unit, the employer must pay a base rate to each affected employee in the work unit that is no less than that employee's base rate in 1999 immediately prior to the date of the rate reduction. 
(8) Notwithstanding the above provisions regarding alternative workweek schedules, no employer of employees in the health care industry shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order a regularly scheduled alternative workweek schedule that includes work days exceeding ten (10) hours but not more than 12 hours within a 40 hour workweek without the payment of overtime compensation, provided that: 
(a) An employee who works beyond 12 hours in a workday shall be compensated at double the employee's regular rate of pay for all hours in excess of 12; 
(b) An employee who works in excess of 40 hours in a workweek shall be compensated at one and one-half (1 1/2) times the employee's regular rate of pay for all hours over 40 hours in the workweek; 
(c) Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift; 
(d) The same overtime standards shall apply to employees who are temporarily assigned to a work unit covered by this subsection; 
(e) Any employer who instituted an alternative workweek schedule pursuant to this subsection shall make a reasonable effort to find another work assignment for any employee who participated in a valid election prior to 1998 pursuant to the provisions of Wage Orders 4 and 5 and who is unable to work the alternative workweek schedule established; 
(f) An employer engaged in the operation of a licensed hospital or in providing personnel for the operation of a licensed hospital who institutes, pursuant to a valid order of the Commission, a regularly scheduled alternative workweek that includes no more than three (3) 12-hour workdays, shall make a reasonable effort to find another work assignment for any employee who participated in the vote which authorized the schedule and is unable to work the 12-hour shifts. An employer shall not be required to offer a different work assignment to an employee if such a work assignment is not available or if the employee was hired after the adoption of the 12 hour, three (3) day alternative workweek schedule. 
(9) No employee assigned to work a 12-hour shift established pursuant to this order shall be required to work more than 12-hours in any 24-hour period unless the Chief Nursing Officer or authorized executive declares that: 
(a) A “health care emergency”, as defined above, exists in this order; and 
(b) All reasonable steps have been taken to provide required staffing; and 
(c) Considering overall operational status needs, continued overtime is necessary to provide required staffing. 
(10) Provided further that no employee shall be required to work more than 16 hours in a 24 hour period unless by voluntary mutual agreement of the employee and the employer, and no employee shall work more than 24 consecutive hours until said employee receives not less than eight (8) consecutive hours off duty immediately following the twenty-four consecutive hours of work. 
(11) Notwithstanding subsection (B)(9) above, an employee may be required to work up to 13 hours in any 24 hour period if the employee scheduled to relieve the subject employee does not report for duty as scheduled and does not inform the employer more than two (2) hours in advance of that scheduled shift that he/she will not be appearing for duty as scheduled. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. However, where an alternative workweek schedule was adopted between October 1, 1999 and October 1, 2000, a new secret ballot election to repeal the alternative workweek schedule shall not be subject to the 12 month interval between elections. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) The provisions of subsections (A), (B) and (C) above shall not apply to any employee whose earnings exceed one and one-half (1 1/2) times the minimum wage if more than half of that employee's compensation represents commissions. 
(E) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(F) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) Except as provided in subsections (E), (H) and (L), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(J) Notwithstanding subsection (I) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(K) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and following sections, regulating hours of drivers. 
(L) No employee shall be terminated or otherwise disciplined for refusing to work more than 72 hours in any workweek, except in an emergency as defined in Section 2(D). 
(M) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first one 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. (See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.10 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.90 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(B) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(C) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
(D) Notwithstanding any other provision of this order, employees in the health care industry who work shifts in excess of eight (8) total hours in a workday may voluntarily waive their right to one of their two meal periods. In order to be valid, any such waiver must be documented in a written agreement that is voluntarily signed by both the employee and the employer. The employee may revoke the waiver at any time by providing the employer at least one (1) day's written notice. The employee shall be fully compensated for all working time, including any on-the-job meal period, while such a waiver is in effect. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19.)
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Amendment of subsections 1 and 3 filed 2-28-89; operative 7-1-89 (Register 89, No. 10).
4. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
5. Editorial correction of printing errors (Register 91, No. 32).
6. Amendment of subsections 2.(H) and 2.(K), new subsections 3.(J)-(K) and 11.(C) filed 8-5-93; operative 8-21-93. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 93, No. 32).
7. Change without regulatory effect amending subsection 3(J) filed 9-21-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
8. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
9. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
10. Amendment of parenthetical information below article heading and amendment of section filed 7-31-97; operative 1-1-98. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 97, No. 31).
11. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 5. Public Housekeeping Industry

(Wage Order 5-2001, Effective 1-1-2001)
§11050. Order Regulating Wages, Hours, and Working Conditions in the Public Housekeeping Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the public housekeeping industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to student nurses in a school accredited by the California Board of Registered Nursing or by the Board of Vocational Nurse and Psychiatric Technician Examiners or exempted by the provisions of Sections 2789 or 2884 of the Business and Professions Code; 
(B) Provisions of Sections 3 through 12 shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement; and 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraph (a). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this Wage Order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(B)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(I) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(II) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(C) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(D) The provisions of this order shall not apply to outside salespersons. 
(E) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(F) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code § 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Emergency” means an unpredictable or unavoidable occurrence at unscheduled intervals requiring immediate action. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer, and includes any lessee who is charged rent, or who pays rent for a chair, booth, or space; and 
(1) Who does not use his or her own funds to purchase requisite supplies; and 
(2) Who does not maintain an appointment book separate and distinct from that of the establishment in which the space is located; and 
(3) Who does not have a business license where applicable. 
(G) “Employees in the health care industry” means any of the following: 
(1) Employees in the health care industry providing patient care; or 
(2) Employees in the health care industry working in a clinical or medical department, including pharmacists dispensing prescriptions in any practice setting; or 
(3) Employees in the health care industry working primarily or regularly as a member of a patient care delivery team; or 
(4) Licensed veterinarians, registered veterinary technicians and unregistered animal health technicians providing patient care. 
(H) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(I) “Health care emergency” consists of an unpredictable or unavoidable occurrence at unscheduled intervals relating to healthcare delivery, requiring immediate action. 
(J) “Health care industry” is defined as hospitals, skilled nursing facilities, intermediate care and residential care facilities, convalescent care institutions, home health agencies, clinics operating 24 hours per day, and clinics performing surgery, urgent care, radiology, anesthesiology, pathology, neurology or dialysis. 
(K) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so, and in the case of an employee who is required to reside on the employment premises, that time spent carrying out assigned duties shall be counted as hours worked. Within the health care industry, the term “hours worked” means the time during which an employee is suffered or permitted to work for the employer, whether or not required to do so, as interpreted in accordance with the provisions of the Fair Labor Standards Act. 
(L) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(M) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(N) “Personal attendant” includes baby sitters and means any person employed by a non-profit organization covered by this order to supervise, feed or dress a child or person who by reason of advanced age, physical disability or mental deficiency needs supervision. The status of “personal attendant” shall apply when no significant amount of work other than the foregoing is required. 
(O) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(P) “Public Housekeeping Industry” means any industry, business, or establishment which provides meals, housing, or maintenance services whether operated as a primary business or when incidental to other operations in an establishment not covered by an industry order of the Commission, and includes, but is not limited to the following: 
(1) Restaurants, night clubs, taverns, bars, cocktail lounges, lunch counters, cafeterias, boarding houses, clubs, and all similar establishments where food in either solid or liquid form is prepared and served to be consumed on the premises; 
(2) Catering, banquet, box lunch service, and similar establishments which prepare food for consumption on or off the premises; 
(3) Hotels, motels, apartment houses, rooming houses, camps, clubs, trailer parks, office or loft buildings, and similar establishments offering rental of living, business, or commercial quarters; 
(4) Hospitals, sanitariums, rest homes, child nurseries, child care institutions, homes for the aged, and similar establishments offering board or lodging in addition to medical, surgical, nursing, convalescent, aged, or child care; 
(5) Private schools, colleges, or universities, and similar establishments which provide board or lodging in addition to educational facilities; 
(6) Establishments contracting for development, maintenance or cleaning of grounds; maintenance or cleaning of facilities and/or quarters of commercial units and living units; and 
(7) Establishments providing veterinary or other animal care services. 
(Q) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(R) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(S) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(T) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(U) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(V) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(3) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(4) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(5) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(6) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(7) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. Notwithstanding the foregoing, if a health care industry employer implemented a reduced rate for 12-hour shift employees in the last quarter of 1999 and desires to re-implement a flexible work arrangement that includes 12-hour shifts at straight time for the same work unit, the employer must pay a base rate to each affected employee in the work unit that is no less than that employee's base rate in 1999 immediately prior to the date of the rate reduction. 
(8) Notwithstanding the above provisions regarding alternative workweek schedules, no employer of employees in the health care industry shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order a regularly scheduled alternative workweek schedule that includes work days exceeding ten (10) hours but not more than 12 hours within a 40 hour workweek without the payment of overtime compensation, provided that: 
(a) An employee who works beyond 12 hours in a workday shall be compensated at double the employee's regular rate of pay for all hours in excess of (12); 
(b) An employee who works in excess of 40 hours in a workweek shall be compensated at one and one-half (11/2) times the employee's regular rate of pay for all hours over 40 hours in the workweek; 
(c) Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift; 
(d) The same overtime standards shall apply to employees who are temporarily assigned to a work unit covered by this subsection; 
(e) Any employer who instituted an alternative workweek schedule pursuant to this subsection shall make a reasonable effort to find another work assignment for any employee who participated in a valid election prior to 1998 pursuant to the provisions of Wage Orders 4 and 5 and who is unable to work the alternative workweek schedule established; 
(f) An employer engaged in the operation of a licensed hospital or in providing personnel for the operation of a licensed hospital who institutes, pursuant to a valid order of the Commission, a regularly scheduled alternative workweek that includes no more than three (3) 12-hour workdays, shall make a reasonable effort to find another work assignment for any employee who participated in the vote which authorized the schedule and is unable to work the 12-hour shifts. An employer shall not be required to offer a different work assignment to an employee if such a work assignment is not available or if the employee was hired after the adoption of the 12 hour, three (3) day alternative workweek schedule. 
(9) No employee assigned to work a 12-hour shift established pursuant to this order shall be required to work more than 12 hours in any 24-hour period unless the Chief Nursing Officer or authorized executive declares that: 
(a) A “healthcare emergency”, as defined above exists in this order; and 
(b) All reasonable steps have been taken to provide required staffing; and 
(c) Considering overall operational status needs, continued overtime is necessary to provide required staffing. 
(10) Provided further that no employee shall be required to work more than 16 hours in a 24-hour period unless by voluntary mutual agreement of the employee and the employer, and no employee shall work more than 24 consecutive hours until said employee receives not less than eight (8) consecutive hours off duty immediately following the 24 consecutive hours of work. 
(11) Notwithstanding subsection (B)(9) above, an employee may be required to work up to 13 hours in any 24-hour period if the employee scheduled to relieve the subject employee does not report for duty as scheduled and does not inform the employer more than two (2) hours in advance of that scheduled shift that he/she will not be appearing for duty as scheduled. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of workdays and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. However, where an alternative workweek schedule was adopted between October 1, 1999 and October 1, 2000, a new secret ballot election to repeal the alternative workweek schedule shall not be subject to the 12-month interval between elections. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this subparagraph shall be subject to Labor Code Section 98 et seq. 
(D) No employer engaged in the operation of a hospital or an establishment which is an institution primarily engaged in the care of the sick, the aged, or the mentally ill or defective who reside on the premises shall be deemed to have violated any provision of this section if, pursuant to an agreement or understanding arrived at between the employer and employee before performance of work, a work period of 14 consecutive days is accepted in lieu of the workweek of seven (7) consecutive days for purposes of overtime computation and if, for any employment in excess of 80 hours in such 14 day period, the employee receives compensation at a rate not less than one and one-half (1 1/2) times the regular rate at which the employee is employed. 
(E)(1) This section does not apply to organized camp counselors who are not employed more than 54 hours and not more than six (6) days in any workweek except under the conditions set forth below. This section shall also not apply to personal attendants as defined in Section 2 (N), nor to resident managers of homes for the aged having less than eight (8) beds; provided that persons employed in such occupations shall not be employed more than 40 hours nor more than six (6) days in any workweek, except under the following conditions: 
In the case of emergency, employees may be employed in excess of 40 hours or six (6) days in any workweek provided the employee is compensated for all hours in excess of 40 hours and days in excess of six (6) days in the workweek at not less than one and one-half (1 1/2) times the employee's regular rate of pay. However, regarding organized camp counselors, in case of emergency they may be employed in excess of 54 hours or six (6) days, provided that they are compensated at not less than one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of 54 hours and six (6) days in the workweek. 
(2) Employees with direct responsibility for children who are under 18 years of age or who are not emancipated from the foster care system and who, in either case, are receiving 24 hour residential care, may, without violating any provision of this section, be compensated as follows: 
(a) An employee who works in excess of 40 hours in a workweek shall be compensated at one and one-half (1 1/2) times the employee's regular rate of pay for all hours over 40 hours in the workweek. 
(b) An employee shall be compensated at two (2) times the employee's regular rate of pay for all hours in excess of 48 hours in the workweek. 
(c) An employee shall be compensated at two (2) times the employee's regular rate of pay for all hours in excess of 16 in a workday. 
(d) No employee shall work more than 24 consecutive hours until said employee receives not less than eight (8) consecutive hours off-duty immediately following the 24 consecutive hours of work. Time spent sleeping shall not be included as hours worked. 
(F) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors sixteen (16) or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A), (B), (C), or (D) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(G) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(H) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(I) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and following sections, regulating hours of drivers. 
(J) The daily overtime provisions of subsection (A) above shall not apply to ambulance drivers and attendants scheduled for 24-hours shifts of duty who have agreed in writing to exclude from daily time worked not more than three (3) meal periods of not more than one (1) hour each and a regularly scheduled uninterrupted sleeping period of not more than eight (8) hours. The employer shall provide adequate dormitory and kitchen facilities for employees on such a schedule. 
(K) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(L) Except as provided in subsections (F) and (K), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(M) Notwithstanding subsection (L) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (K) above) shall apply, unless the agreement expressly provides otherwise. 
(N) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 per cent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. (See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(B) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(C) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
(D) Notwithstanding any other provision of this order, employees in the health care industry who work shifts in excess of eight (8) total hours in a workday may voluntarily waive their right to one of their two meal periods. In order to be valid, any such waiver must be documented in a written agreement that is voluntarily signed by both the employee and the employer. The employee may revoke the waiver at any time by providing the employer at least one (1) day's written notice. The employee shall be fully compensated for all working time, including any on-the-job meal period, while such a waiver is in effect. 
(E) Employees with direct responsibility for children who are under 18 years of age or who are not emancipated from the foster care system and who, in either case, are receiving 24 hour residential care, and employees of 24 hour residential care facilities for the elderly, blind or developmentally disabled individuals may be required to work on-duty meal periods without penalty when necessary to meet regulatory or approved program standards and one of the following two conditions is met: 
(1)(a) The residential care employees eats with residents during residents' meals and the employer provides the same meal at no charge to the employee; or 
(b) The employee is in sole charge of the resident(s) and , on the day shift, the employer provides a meal at no charge to the employee. 
(2) An employee, except for the night shift, may exercise the right to have an off-duty meal period upon 30 days' notice to the employer for each instance where an off-duty meal is desired, provided that, there shall be no more than one off-duty meal period every two weeks. 
12.  Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted, as hours worked, for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
(C) However, employees with direct responsibility for children who are under 18 years of age or who are not emancipated from the foster care system and who, in either case, are receiving 24 hour residential care and employees of 24 hour residential care facilities for elderly, blind or developmentally disabled individuals may, without penalty, require an employee to remain on the premises and maintain general supervision of residents during rest periods if the employee is in sole charge of residents. Another rest period shall be authorized and permitted by the employer when an employee is affirmatively required to interrupt his/her break to respond to the needs of residents. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(C) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Sections 1173 and 1182.7, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment of Article 5 heading and new subsection 3(K) filed 3-21-86; designated effective 4-2-86 (Register 86, No. 12).
2. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
3. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
4. Amendment of subsections 1 and 3 filed 2-28-89; operative 7-1-89 (Register 89, No. 10).
5. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
6. Editorial correction of printing errors (Register 91, No. 32).
7. Amendment of subsection 2.(H) and 2.(L), repealer and new subsection 3.(C), repealer of subsections 3.(K)-3.(K)(3) and new subsections 3.(K)-(L) and 11.(C) filed 8-5-93; operative 8-21-93. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 93, No. 32).
8. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
9. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
10. Amendment of parenthetical information below article heading and amendment of section filed 7-31-97; operative 1-1-98. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 97, No. 31).
11. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 6. Laundry, Linen Supply, Dry Cleaning, and Dyeing Industry

(Wage Order 6-2001, Effective 1-1-2001)
§11060. Order Regulating Wages, Hours, and Working Conditions in the Laundry, Linen Supply, Dry Cleaning, and Dyeing Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the laundry, linen supply, dry cleaning and dyeing industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption. A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption. A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption. A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in California Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending California Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Laundry, Linen Supply, Dry Cleaning and Dyeing Industry” means any industry, business, or establishment operated for the purpose of washing, ironing, cleaning, refreshing, restoring, pressing, dyeing, storing, fumigating, mothproofing, waterproofing, or other processes incidental thereto, on articles or fabrics of any kind, including but not limited to clothing, hats, drapery, rugs, curtains, linens, household furnishings, textiles, furs, or leather goods; and includes self-service laundries, self-service dry cleaning establishments, and the collection, distribution, storage, sale, or resale at retail or wholesale of the foregoing services. 
(I) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except that minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) The provisions of California Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) Except as provided in subsections (D) and (F), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(I) Notwithstanding subsection (H) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (F) above) shall apply, unless the agreement expressly provides otherwise. 
(J) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(K) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subparagraph. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30-minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Sections 1173 Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 7. Mercantile Industry

(Wage Order 7-2001, Effective 1-1-2001)
§11070. Order Regulating Wages, Hours, and Working Conditions in the Mercantile Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the mercantile industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or their employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraph (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment as defined in Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Section 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clause (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer, and includes any lessee who is charged rent, or who pays rent for a chair, booth, or space; and 
(1) Who does not use his/her own funds to purchase requisite supplies; and 
(2) Who does not maintain an appointment book separate and distinct from that of the establishment in which the space is located; and 
(3) Who does not have a business license where applicable. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Mercantile Industry” means any industry, business, or establishment operated for the purpose of purchasing, selling, or distributing goods or commodities at wholesale or retail; or for the purpose of renting goods or commodities. 
(I) “Minor” means, for the purpose of this Order, any person under the age of eighteen (18) years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(M) “Split shift” means a work schedule which, is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) Provisions of subsections (A), (B), and (C) above shall not apply to any employee whose earnings exceed one and one-half (1 1/2) times the minimum wage if more than half of that employee's compensation represents commissions. 
(E) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(F) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) Except as provided in subsections (E) and (H), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(J) Notwithstanding subsection (I) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(K) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(L) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this section. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first one 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses For Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee.
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(C) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Repealer of subsection 8 (last sentence only) filed 6-16-87 (Register 87, No. 30).
2. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
3. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of parenthetical information below article heading and amendment of section filed 7-31-97; operative 1-1-98. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 97, No. 31).
8. Editorial correction of subsection 1.(m) (Register 97, No. 32).
9. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading and subsections 7.(A)(3) through 22. filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 8. Industries Handling Products After Harvest

(Wage Order 8-2001, Effective 1-1-2001)
§11080. Order Regulating Wages, Hours, and Working Conditions in the Industries Handling Products After Harvest.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the industries handling products after harvest whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt from the daily overtime pay provisions of Labor Code Section 510, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
-- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
-- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
-- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-two dollars and sixty four cents ($42.64). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child or the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Industries Handling Products After Harvest” means any industry, business, or establishment operated for the purpose of grading, sorting, cleaning, drying, cooling, icing, packing, dehydrating, cracking, shelling, candling, separating, slaughtering, picking, plucking, shucking, pasteurizing, fermenting, ripening, molding, or otherwise preparing any agricultural, horticultural, egg, poultry, meat, seafood, rabbit, or dairy product for distribution, and includes all the operations incidental thereto. 
(I) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime -- General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible under the following conditions: 
(2) MANDATORY DAY OFF REQUIREMENT: An employee may work up to a maximum of 72 hours in any workweek after which the employee shall have a 24-hour period off duty, except that: 
(a) In the grape and tree fruit industry the following key personnel: receivers, loaders, fork lift operators, shipping clerks, and maintenance workers, may be exempt from the mandatory day off requirement; and 
(b) In the cotton ginning industry and in the tree nut hulling and shelling industry, all employees shall have the voluntary right to be exempt from the mandatory day off provision in this order. Any employee desiring to exempt himself/herself from the mandatory day off provision may exercise that exemption by notifying the employee's employer in writing. Any employee who wishes to withdraw that exemption may do so by notifying the employer in writing at least five (5) days in advance of the desired day off. (This notice provision is not intended to be applicable to instances of illness or emergencies); and 
(c) In the exercise of any exemption from the mandatory day off provided above or by action of the state labor commissioner, (administrative exemptions from the mandatory day off are permitted by Labor Code Section 1198.3 under certain conditions) no employer shall discriminate against any employee who desires to take 24 hours off after 72 hours worked in a workweek; and 
(d) All employers who permit any employees to work more than 72 hours in a workweek must give each employee a copy of the applicable provision for exemption, including subparagraph (c) above in English and in Spanish, and post it at all times in a prominently visible place; and 
(3) Overtime hours shall be compensated at: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of workdays and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this paragraph shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If during any workday an employer declares a work recess of one-half (1/2) hour or more, other than a meal period, and the employer notifies the employees of the time to report back for work and permits them to leave the premises, such recess need not be treated as hours worked provided that there shall not be more than two (2) such recess periods within one shift and the total duration does not exceed two (2) hours. Work stoppages of less than one-half (1/2) hour may not be deducted from hours worked. 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) Except as provided in subsection (A)(1) and subsections (D) and (H), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(J) Notwithstanding subsection (I) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(K) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(L) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Room occupied alone 	$29.40 per week 	$31.75 per week 

Room shared 	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than 

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than  

Meals: 
Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 

NOTE: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(4) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 3.(A)(1)(b) filed 5-16-96; operative 7-1-96. Submitted to OAL for printing only (Register 96, No. 20).
6. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
7. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
8. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
9. Repealer and new section filed 2-22-2002; operative 1-1-2001. Supplemental filing providing parenthetical information below article heading filed 4-15-2002. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 16).
Article 9. Transportation Industry

(Order No. 9-2001, Effective 1-1-2001) 
§11090. Order Regulating Wages, Hours, and Working Conditions in the Transportation Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the transportation industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) Except as provided in Sections 4, 10, 11, 12, and 20 through 22, this order shall not be deemed to cover those employees who have entered into a collective bargaining agreement under and in accordance with the provisions of the Railway Labor Act, 45 U.S.C. Sections 151 et seq. 
(F) The provisions of this Order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code § 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(I) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(J) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(K) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(L) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(M) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(N) “Transportation Industry” means any industry, business, or establishment operated for the purpose of conveying persons or property from one place to another whether by rail, highway, air, or water, and all operations and services in connection therewith; and also includes storing or warehousing of goods or property, and the repairing, parking, rental, maintenance, or cleaning of vehicles. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(3) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(4) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(5) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(6) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(7) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(v) Any type of alternative workweek schedule that is authorized by the California Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to California Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore by employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(G) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(H) Except as provided in subsections (E) and (G), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(I) Notwithstanding subsection (H) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (G) above) shall apply, unless the agreement expressly provides otherwise. 
(J) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
(K) The daily overtime provision of subsection (A) above shall not apply to ambulance drivers and attendants scheduled for 24-hour shifts of duty who have agreed in writing to exclude from daily time worked not more than three (3) meal periods of not more than one (1) hour each and a regularly scheduled uninterrupted sleeping period of not more than eight (8) hours. The employer shall provide adequate dormitory and kitchen facilities for employees on such a schedule. 
(L) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers, or; 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(M) The provisions of this section shall not apply to taxicab drivers. 
(N) The provisions of this section shall not apply where any employee of an airline certified by the federal or state government works over 40 hours but not more than 60 hours in a workweek due to a temporary modification in the employee's normal work schedule not required by the employer but arranged at the request of the employee, including but not limited to situations where the employee requests a change in days off or trades days off with another employee. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within a reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates:	January 1, 2001	January 1, 2002

Lodging:

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds (2/3) 
of the ordinary rental value,
and in no event more than	$352.95 per month	$381.20 per week

Where a couple are both 
employed by the employer,
two-thirds (2/3) of the 
ordinary rental value, and in 
no event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50

(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Amendment of subsections 1 and 3 filed 3-16-90; operative 7-1-90 (Register 90, No. 13).
5. Editorial correction of printing errors (Register 91, No. 32).
6. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
7. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
8. Amendment of parenthetical information below article heading and amendment of section filed 7-31-97; operative 1-1-98. Submitted to OAL for printing only pursuant to Labor Code section 1185 (Register 97, No. 31).
9. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 10. Amusement and Recreation Industry

(Order No. 10-2001, Effective 1-1-2001) 
§11100. Order Regulating Wages, Hours, and Working Conditions in the Amusement and Recreation Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the amusement and recreation industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) The provisions of this order shall apply to all employees employed by any employer operating a business at a horse racing facility, including stable employees. Stable employees include but are not limited to grooms, hot walkers, exercise workers, and any other employees engaged in the raising, feeding, or management of racehorses, employed by a trainer at a racetrack or other non-farm training facility. 
(C) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(D) The provisions of this order shall not apply to outside salespersons. 
(E) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(F) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to full-time carnival ride operators employed by traveling carnivals. 
(G) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
(H) The provisions of this section are not applicable to any crew member employed on a commercial passenger fishing boat licensed pursuant to Article 5 (commencing with Section 7920) of Chapter 1 of Part 3 of Division 6 of the Fish and Game Code. 
(I) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to professional actors. 
2. Definitions 
(A) “Amusement and Recreation Industry” means any industry, business, or establishment operated for the purpose of furnishing entertainment or recreation to the public, including but not limited to theaters, dance halls, bowling alleys, billiard parlors, skating rinks, riding academies, racetracks, amusement parks, athletic fields, swimming pools, gymnasiums, golf courses, tennis courts, carnivals, and wired music studios. 
(B) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(C) “Commission” means the Industrial Welfare Commission of the State of California. 
(D) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer. 
(G) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(H) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(I) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime - General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(3) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(4) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(5) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(6) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(7) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 or 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(G) The provisions of this section shall not apply to employees whose duties are exclusively those of a motion picture projectionist. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) Except as provided in subsections (D) and (H), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(J) Notwithstanding subsection (I) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(K) No employer who operates a ski establishment shall be in violation of this order by instituting a regularly scheduled workweek of not more than 48 hours during any month of the year when Alpine or Nordic skiing activities, including snowmaking and grooming activities, are actually being conducted by the ski establishment; provided, however, that any employee shall be compensated at a rate of not less than one and one-half (1 1/2) times the employee's regular rate of pay for any hours worked in excess of ten (10) hours work in a day or 48 hours in a workweek. For purposes of this section, “ski establishment” means an integrated, geographically limited recreational industry which is comprised of basic skiing facilities, together with all operations and facilities related thereto. 
(L) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(M) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this make up time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
(N) The provisions of this section are not applicable to any crew member employed on a commercial passenger fishing boat licensed pursuant to Article 5 (commencing with Section 7920) of Chapter 1 of Part 3 of Division 6 of the Fish and Game Code. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
(E) If the employee is a crew member employed on a commercial passenger fishing boat licensed pursuant to Article 5 (commencing with Section 7920) of Chapter 1 of Part 3 of Division 6 of the Fish and Game Code, the minimum wage obligation of this section may, at the employer's option, be satisfied by paying employees according to the following formula: 
(1) A “one-half day trip” shall be comprised of a maximum of six (6) hours of work compensated at a rate of no less than six (6) times the hourly minimum wage. 
(2) A “three-quarter day trip” shall be comprised of a maximum of ten (10) hours of work compensated at a rate of no less than ten (10) times the hourly minimum wage. 
(3) A “full-day trip” shall be comprised of a maximum of 12 hours of work compensated at a rate of no less than 12 times the hourly minimum wage. 
(4) An “overnight trip” shall be comprised of a maximum of 12 hours worked within a period of no less than 24 hours compensated at a rate of no less than 12 times the hourly minimum wage. 
Nothing in this subsection relieves the employer of the obligation to pay employees no less than the minimum wage for all hours worked. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. License for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employees wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employees social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
(E) If the employee is a crew member employed on a commercial passenger fishing boat licensed pursuant to Article 5 (commencing with Section 7920) of Chapter 1 of Part 3 of Division 6 of the Fish and Game Code, the provisions of Sections 3, Hours and Days of Work, and 5, Reporting Time Pay may, at the employer's option, be satisfied by expressing the hours worked in terms of the formula established pursuant to Section 4(E). Hours worked in excess of the formula in Section 4(E) shall be recorded on the employee's pay record as additional hours worked. 
8. Cash Shortage And Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms And Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following:

Effective Dates:	January 1, 2001	January 1, 2002

Lodging:

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
(C) A crew member employed on a commercial passenger fishing boat who is on an overnight trip within the meaning of Section 4(E) shall receive no less than eight (8) hours off-duty time during each 24-hour period. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Amendment of subsections 1 and 3 filed 2-28-89; operative 7-1-89 (Register 89, No. 10).
4. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
5. Editorial correction of printing errors (Register 91, No. 32).
6. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
7. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
8. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
9. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 11. Broadcasting Industry

(Order No. 11-2001, Effective 1-1-2001) 
§11110. Order Regulating Wages, Hours, and Working Conditions in the Broadcasting Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the broadcasting industry whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to professional actors. 
(D) The provisions of this order shall not apply to outside salespersons. 
(E) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(F) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending California Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Broadcasting Industry” means any industry, business, or establishment operated for the purpose of broadcasting or taping and broadcasting programs through the medium of radio or television. 
(C) “Commission” means the Industrial Welfare Commission of the State of California. 
(D) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer. 
(G) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(H) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(I) “Location” means any place other than the studio premises of the employer, at which the employer broadcasts or tapes for broadcast all or a portion of a radio or television program. 
(J) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(K) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(L) “Primarily” as used in Section 1, “Applicability”, means more than one-half the employee's work time. 
(M) “Shift” means designated hours of work by an employee, with a designated beginning time and ending time. 
(N) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(O) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(P) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(Q) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(R) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed for seven (7) days in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(G) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(H) Except as provided in subsections (D) and (G), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(I) Notwithstanding subsection (H) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (G) above) shall apply, unless the agreement expressly provides otherwise. 
(J) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
(K) The provisions of this section shall not apply to any person employed as an announcer, news editor, or chief engineer, by a radio or television station in a city or town which has a population of 25,000 or less. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002 except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following:

Effective Dates:	January 1, 2001	January 1, 2002

Lodging:

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30-minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 12. Motion Picture Industry

(Order No. 12-2001, Effective 1-1-2001) 
§11120. Order Regulating Wages, Hours, and Working Conditions in the Motion Picture Industry.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in the motion picture industry, including extra players, teachers, and welfare workers, whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116). Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties that meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Notwithstanding subparagraph (f), the following advanced practice nurses shall be exempt from provisions of this subsection: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above. 
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to, user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to professional actors. 
(D) The provisions of this order shall not apply to outside salespersons. 
(E) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(F) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending California Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Extra player” means any person employed by an employer in the production of motion pictures to perform any work, including but not limited to that of a general extra, stand-in, photographic double, sports player, silent bit, or dress extra; or as extras employed in dancing, skating, swimming, diving, riding, driving, or singing; or as extras employed to perform any other actions, gestures, facial expressions, or pantomime. 
(H) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(I) “Location” means any place other than the studio premises of the employer, at which the employer shoots all or a portion of a motion picture. 
(J) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(K) “Motion Picture Industry” means any industry, business, or establishment operated for the purpose of motion picture or television film production, or primarily allied with theatrical or television, motion picture productions, including but not limited to motion pictures for entertainment, commercial, religious, or educational purposes, whether made by film, tape, or otherwise. 
(L) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(M) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(N) “Shift” means designated hours of work by an employee, with a designated beginning time and ending time. 
(O) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(P) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(Q) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(R) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime - General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the work week. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime as follows: 
(a) Employees may be employed up to a maximum of 16 hours including meal periods in any one day from the time they are required and do report until dismissed, provided the employee is compensated for such overtime at not less than: 
(i) For daily employees and weekly employees, excluding weekly employees guaranteed more than 40 hours a workweek and “on call” employees, one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any one workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(ii) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(iii) Overtime payments shall not be compounded and all payments made by the employer for daily overtime on the basis herein above specified shall be applied toward any sum for weekly overtime. 
(iv) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to California Labor Code Section 98 et seq. 
(D) Extra players employed in excess of eight (8) hours in any workday from the time the extra player is required and does report until dismissed, shall be paid daily overtime compensation as follows: 
(1) One and one-half (1 1/2) times the extra player's rate of pay for the ninth (9th) and tenth (10th) work hours of employment and not less than double the extra player's rate of pay for all hours worked thereafter, computed in units of one-tenth (1/10) hours. 
(2) Weekly overtime. The total sum paid to an extra player who works more than 40 hours in such workweek for a particular employer shall be the extra player's regular hourly rate of pay times 40, plus one and one-half (1 1/2) times such regular hourly rate of pay for all hours worked in excess of 40 during such workweek. The regular hourly rate shall be determined by dividing the amount of the weekly salary by the number of regular hours in a workweek. 
(3) An extra player employed by the week shall receive payment of daily overtime for all hours or fractions thereof worked beyond eight (8) hours in any workday on which such daily overtime occurs as provided above, provided that overtime payments shall not be compounded and all payments made by the employer for daily overtime on the basis herein above specified shall be applied toward any sum due for weekly overtime. 
(E) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all hours worked on the sixth (6th) consecutive workday except that minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsections (A), (B), (C) or (D) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(F) No employee shall be required to report to work unless ten (10) hours have elapsed since the termination of the previous day's employment. 
(G) Hot meals and hot drinks shall be provided for employees who are required to work after 12 o'clock midnight, except off-production employees regularly scheduled to work after midnight. 
(H) When employees are required to work at night and are not dismissed in time to permit their return to their homes by public service transportation, transportation shall be provided by the employer. 
(I) The provisions of California Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(J) Except as provided in subsections (E) and (I), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(K) Notwithstanding subsection (J) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (I) above) shall apply, unless the agreement expressly provides otherwise. 
(L) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees, during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates	January 1, 2001	January 1, 2002

Lodging:
Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than six (6) hours without a meal period of not less than 30 minutes, nor more than one (1) hour. Subsequent meal period for all employees shall be called not later than six (6) hours after the termination of the preceding meal period. 
(B) Unless the employee is relieved of all duty during a 30-minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(C) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(D) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
(C) Swimmers, dancers, skaters, and other performers engaged in strenuous physical activities shall have additional interim rest periods during periods of actual rehearsal or shooting. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 13. Industries Preparing Agricultural Products for Market, on the Farm

(Order No. 13-2001, Effective 1-1-2001) 
§11130. Order Regulating Wages, Hours, and Working Conditions in the Industries Preparing Agricultural Products for Market, on the Farm.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in industries preparing agricultural products for market, on the farm, whether paid on a time, piece rate, commission, or other basis, except that: 
(A) Provisions of Sections 3 through 12 of this order shall not apply to persons employed in administrative, executive, or professional capacities. The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he/she is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.102, 541.104-111, and 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(i) The performance of office or non-manual work directly related to management policies or general business operations of his/her employer or his/her employer's customers; or 
(ii) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department or subdivision thereof, in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section); or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge; or 
(e) Who executes under only general supervision special assignments and tasks; and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order: 29 C.F.R. Sections 541.201-205, 541.207-208, 541.210, and 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the workweek must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(g) Such employee must also earn a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two (2) times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code Section 515 (c) as 40 hours per week. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this wage order: 29 C.F.R. Sections 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d) above.  
(h) Except, as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagrah (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in Sections 1, 2, 4, 10, and 20, the provisions of this order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this order shall not apply to outside salespersons. 
(D) The provisions of this order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Employ” means to engage, suffer, or permit to work. 
(E) “Employee” means any person employed by an employer. 
(F) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Industries Preparing Agricultural Products for Market, on the Farm” means any operation performed in a permanently fixed structure or establishment on the farm or on a moving packing plant on the farm for the purpose of preparing agricultural, horticultural, egg, poultry, meat, seafood, rabbit, or dairy products for market when such operations are done on the premises owned or operated by the same employer who produced the products referred to herein and includes all operations incidental thereto. 
(I) “Minor” means, for the purpose of this order, any person under the age of 18 years. 
(J) “Outside salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(K) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(L) “Shift” means designated hours of work by an employee, with a designated beginning time and ending time. 
(M) “Split shift” means a work schedule, which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(N) “Teaching” means, for the purpose of Section 1 of this order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(O) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(P) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(Q) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) Daily Overtime - General Provisions 
(1) The following overtime provisions are applicable to employees 18 years of age or over and to employees 16 or 17 years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible under the following conditions: 
(a) Any work by an employee in excess of 72 hours in any one workweek shall be on a voluntary basis. No employee shall be discharged or in any other manner discriminated against for refusing to work in excess of 72 hours in any one workweek; and 
(2) Overtime hours shall be compensated at: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(c) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
(B) Alternative Workweek Schedules 
(1) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (1 1/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (1 1/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(2) Any agreement adopted pursuant to this section shall provide not less than two consecutive days off within a workweek. 
(3) If an employer whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(4) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(5) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(6) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(7) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(8) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000 provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of subsection (C) below (Election Procedures). If an employee was voluntarily working an alternative workweek schedule of not more than ten (10) hours a day as of July 1, 1999, that alternative workweek schedule was based on an individual agreement made after January 1, 1998 between the employee and employer, and the employee submitted, and the employer approved, a written request on or before May 30, 2000 to continue the agreement, the employee may continue to work that alternative workweek schedule without payment of an overtime rate of compensation for the hours provided in the agreement. The employee may revoke his/her voluntary authorization to continue such a schedule with 30 days written notice to the employer. New arrangements can only be entered into pursuant to the provisions of this section. 
(C) Election Procedures 
Election procedures for the adoption and repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of workdays and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection are met. 
(3) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least 14 days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less than 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(6) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(7) Employees affected by a change in the work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(8) Employers shall not intimidate or coerce employees to vote either in support of or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of this paragraph shall be subject to Labor Code Section 98 et seq. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over 40 hours in any workweek except minors 16 and 17 years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsection (A) or (B) and (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) If, during any workday an employer declares a work recess of one-half (1/2) hour or more, other than a meal period, and the employer notifies the employees of the time to report back for work and permits them to leave the premises, such recess need not be treated as hours worked provided that there shall not be more than two (2) such recess periods within one shift and the total duration does not exceed two (2) hours. Work stoppages of less than one-half (1/2) hour may not be deducted from hours worked. 
(G) If a meal period occurs on a shift beginning or ending at or between the hours of 10 p.m. and 6 a.m., facilities shall be available for securing hot food and drink or for heating food or drink, and a suitable sheltered place shall be provided in which to consume such food or drink. 
(H) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(I) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, Section 1200 and the following sections, regulating hours of drivers. 
(J) Except as provided in subsection (A)(1) and subsections (D) and (H), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(K) Notwithstanding subsection (J) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see subsection (H) above) shall apply, unless the agreement expressly provides otherwise. 
(L) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one (1) day or 40 hours of work in one (1) workweek. If an employee knows in advance that he/she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this subsection. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 percent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one (1) hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following:

Effective Dates:	January 1, 2001	January 1, 2002
Lodging:

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and the employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a 30 minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the meal period is not provided. 
(E) In all places of employment where employees are required to eat on the premises, a suitable place for that purpose shall be designated. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each workday that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Temperature 
(A) The temperature maintained in each work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. 
(B) If excessive heat or humidity is created by the work process, the employer shall take all feasible means to reduce such excessive heat or humidity to a degree providing reasonable comfort. Where the nature of the employment requires a temperature of less than 60o F., a heated room shall be provided to which employees may retire for warmth, and such room shall be maintained at not less than 68o. 
(C) A temperature of not less than 68o shall be maintained in the toilet rooms, resting rooms, and change rooms during hours of use. 
(D) Federal and State energy guidelines shall prevail over any conflicting provision of this section. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a)) 
19. Inspection (See California Labor Code, Section 1174) 
20. Penalties (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50. 00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The labor commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
21. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(4) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 14. Agricultural Occupations

(Order No. 14-80, Updated 1-1-98)
§11140. Order Regulating Wages, Hours, and Working Conditions in Agricultural Occupations.
Note     •     History

1. Applicability of Order. This order shall apply to all persons employed in an agricultural occupation whether paid on a time, piece rate, commission, or other basis, except that: 
(A) No provision of this order shall apply to any employee who is engaged in work which is primarily intellectual, managerial, or creative, and which requires exercise of discretion and independent judgment, and for which the remuneration is not less than two times the monthly State minimum wage for full-time employment. 
(B) No provision of this order shall apply to any individual who is the parent, spouse, child, or legally adopted child of the employer; 
(C) Section 5 of this order shall not apply to any employer who employs fewer than five (5) persons covered by this order. If at any one time during a calendar year an employer has five (5) or more employees covered by this Order, every provision of this Order, including Section 5, Reporting Time Pay, shall apply to that employer throughout that calendar year. 
(D) No provision of this order shall apply to any employee covered by order No. 8-80 or Order No. 13-80, relating to industries handling products after harvest. 
(E) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, chap. 365, amending Labor Code §1171.) 
(F) Sections 3, 4(A)-(D), 5, 6, 9, 11, 12, and 13 of this Order shall not apply to an employee engaged to work as a “sheepherder”, as that occupation is defined in Section 2(N). Otherwise, this order, including Section 4(A), shall apply to any workweek during which a sheepherder employee is engaged in any non-sheepherding agricultural or other work. 
(G) Section 3 of this order shall not apply to an employee licensed pursuant to Article 3 (commencing with §7850) of Chapter 1 of Part 3 of Division 6 of the Fish and Game Code who serves as a crew member on a commercial fishing vessel. 
2. Definitions. 
(A) “Commission” means the Industrial Welfare Commission of the State of California. 
(B) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(C) “Employ” means to engage, suffer, or permit to work. 
(D) “Employed in an agricultural occupation,” means any of the following described occupations: 
(1) The preparation, care, and treatment of farm land, pipeline, or ditches, including leveling for agricultural purposes, plowing, discing, and fertilizing the soil; 
(2) The sowing and planting of any agricultural or horticultural commodity; 
(3) The care of any agricultural or horticultural commodity, as used in this subdivision, “care” includes, but is not limited to, cultivation, irrigation, weed control, thinning, heating, pruning, or tying, fumigating, spraying, and dusting; 
(4) The harvesting of any agricultural or horticultural commodity, including but not limited to, picking, cutting, threshing, mowing, knocking off, field chopping, bunching, baling, balling, field packing, and placing in field containers or in the vehicle in which the commodity will be hauled, and transportation on the farm or to a place of first processing or distribution; 
(5) The assembly and storage of any agricultural or horticultural commodity, including but not limited to, loading, road siding, banking, stacking, binding, and piling; 
(6) The raising, feeding and management of livestock, fur bearing animals, poultry, fish, mollusks, and insects, including but not limited to herding, housing, hatching, milking, shearing, handling eggs, and extracting honey; 
(7) The harvesting of fish, as defined by Section 45 of the Fish and Game Code, for commercial sale; 
(8) The conservation, improvement or maintenance of such farm and its tools and equipment. 
(F) “Employee” means any person employed by an employer.  
(G) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(G) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(H) “Minor” means, for the purpose of this Order, any person under the age of eighteen (18) years. 
(I) “Non-sheepherding work” means any work except the work defined in section 2(N) below. 
(J) “Open range sheepherding” means, generally, sheepherding on land that is not cultivated, but produces native forage (“browse” or herbaceous food that is available to livestock or game animals) for animal consumption, and includes land that is re-vegetated naturally or artificially to provide forage cover that is managed like range vegetation. The range may be on private, federal, or state land. Typically, the land is not only non-cultivated, but not suitable for cultivation because it is rocky, thin, semiarid, or otherwise poor. Also, many acres of range land are required to graze one animal unit (five sheep) for one month. By its very nature, open range sheepherding is conducted over wide expanses of land, such as thousands of acres. 
(K) “Outside Salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items or obtaining orders or contracts for products, services or use of facilities. 
(L) “Piece rate basis” is a method of payment based on units of production or a fraction thereof. 
(M) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(N) “Sheepherder” means any individual, who is employed to do any of the following: tend flocks of sheep grazing on range or pasture; move sheep to and about an area assigned for grazing; prevent sheep from wandering or becoming lost, or using trained dogs to round up strays and protect sheep against predators and the eating of poisonous plants; assist in the lambing, docking, and shearing of sheep; provide water or feed supplementary rations to sheep; or perform the work of a sheepherder pursuant to an approved job order filed under the provisions of Section 101(a)(15)(H)(ii)(a) of the federal Immigration and Nationality Act (commonly referred to as the “H-2A” program (see 8 U.S.C. Section 1101 et seq.), or any successor provisions. 
(O) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(P) “Split shift” means a work schedule which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(Q) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(R) “Workday” means any consecutive 24 hours beginning at the same time each calendar day. 
(S) “Workweek” means any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work. 
(A) The following overtime provisions are applicable to employees eighteen (18) years of age or over and to employees sixteen (16) or seventeen (17) years of age who are not required by law to attend school: such employees shall not be employed more than ten (10) hours in any one workday or more than six (6) days in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over ten (10) hours in any workday and for the first eight (8) hours on the seventh (7th) day of work and double the employee's regular rate of pay for all hours worked over eight (8) on the seventh (7th) day of work in the workweek. 
(See California Labor Code, sections 1391 and 1394) 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $100 to $5,000 as well as to criminal penalties provided herein. Refer to California Labor Code Sections 1285 to 1311 and 1390 to 1398 for additional restrictions on the employment of minors. Employers should ask school districts about required work permits.) 
(B) An employee may be employed on seven (7) workdays in one workweek with no overtime pay required when the total hours of employment during such workweek do not exceed 30 and the total hours of employment in any one workday thereof do not exceed six (6).  
(C) The provisions of subsection (A) above shall not apply to an employee covered by this order during any week in which more than half of such employee's working time is devoted to performing the duties of an irrigator. 
(D) The provisions of this section are not applicable to employees whose hours of service are regulated by: 
(1) The United States Department of Transportation Code of Federal Regulations, title 49, Sections 395.1 to 395.13, Hours of Service of Drivers; or 
(2) Title 13 of the California Code of Regulations, subchapter 6.5, sec. 1200 and following sections, regulating hours of drivers. 
(E) This section shall not apply to any employee covered by a collective bargaining agreement if said agreement provides premium wage rates for overtime work and a cash wage rate for such employee of not less than one dollar ($1.00) per hour more than the minimum wage 
4. Minimum Wages. 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked effective January 1, 2002, except: 
LEARNERS: Employees during their first 160 hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than 85 per cent of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
(E) Effective July 1, 2001, the minimum wage for all sheepherders shall be $1,050.00 per month; effective July 1, 2002 the minimum wage for all sheepherders shall be $1,200.00 per month. Wages paid to sheepherders shall not be offset by meals or lodging provided by the employer. 
5. Reporting Time Pay. 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two (2) hours of work on the second reporting, said employee shall be paid for two (2) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers. 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(C) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(D) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division.   
(See California Labor Code, Sections 1191 and 1191.5.) 
7. Records. 
(A) Every employer shall keep accurate information with respect to each employee I including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which, operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Employers of sheepherders shall keep accurate information with respect to sheepherder employees, including an itemized statement showing applicable rates of pay for sheepherding and any applicable non-sheepherding agricultural or other work, all deductions, dates of period for which paid, name and social security number (if any) of employee, and name of employer. 
(C) Every employer shall semi-monthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(D) Every employer of a sheepherder shall annually notify the sheepherder of his or hers rights and obligations under state and federal law. 
(E) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be  kept on file by the employer for at least three years (3) at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
8. Cash Shortage and Breakage. 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment. 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 

NOTE: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 

NOTE: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging.  
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy, which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 
Rooms occupied alone:	$29.40 per week 	$31.75 per week 

Room shared:	$24.25 per week 	$26.20 per week 

Apartment-two thirds (2/3) 	$352.95 per month 	$381.20 per month 
of the ordinary rental value, 
and in no event more than:

Where a couple are both 	$522.10 per month 	$563.90 per month
employed by the employer, 
two-thirds (2/3) of the 
ordinary rental value, and 
in no event more than:

Meals: 
Breakfast:	$2.25 	$2.45 

Lunch:	$3.10 	$3.35 

Dinner: 	$4.15 	$4.50 
(D) Meals, evaluated as part of the minimum wage, must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received nor lodging not used.  
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
(F) Paragraphs (C), (D), and (E) above shall not apply to sheepherders. Every employer shall provide to each sheepherder not less than the minimum monthly meal and lodging benefits required to be provided by employers of sheepherders employed under the provisions of the H-2A program of the federal Immigration and Nationality Act [8 U.S.C Section 1101 et seq.], or any successor provisions. 
(G) Fixed Site Housing: A sheepherder not engaged in open range sheepherding, shall be provided with fixed site housing that complies with all the following standards and requirements 
(1) Toilets (which may include portable toilets) and bathing facilities (which may include a portable facility). 
(2) Heating (which may include a camp stove or other sources of heat). 
(3) In-door Lighting. 
(4) Potable hot and cold water. 
(5) Cooking facilities and utensils. 
(6) Refrigeration for perishable foodstuffs (which may include ice chests, provided that ice is delivered to the sheepherder, as needed, to maintain a continuous temperature required to retard spoilage and assure food safety). 
(7) Fixed Site Housing Inspections: housing that is erected for sheepherders at fixed locations shall be annually inspected by the State of California Employment Development Department for compliance with Paragraph (F) of this section, unless the employer receives a statement in writing from the Employment Development Department that there are no such inspectors available. 
(H) Mobile Housing: When a sheepherder is engaged in open range sheepherding, the employer shall provide mobile housing that complies with all standards and inspection requirements prescribed for mobile sheepherder housing by the United States Department of Labor then in effect. Such housing shall be inspected and approved annually by an inspector from the Employment Development Department unless the employer receives a statement in writing from the Employment Development Department that there are no such inspectors available. 
11. Meal Periods. 
Every employer shall authorize and permit all employees after a work period of not more than five (5) hours to take a meal period of not less than thirty (30) minutes, except that when a work period of not more than six (6) hours will complete the day's work, the meal period may be waived by mutual consent of employer and employee. Unless the employee is relieved of all duty during a thirty (30) minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on- the-job paid meal period is agreed to. 
12. Rest Periods. 
Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted, as hours worked for which there shall be no deduction from wages. 
13. Seats. 
When the nature of the work reasonably permits the use of seats, suitable seats shall be provided for employees working on or at a machine. 
14. Other Working Conditions Applicable To Sheepherders 
Sheepherders shall be provided with all of the following at each work site: 
(A) Regular mail service, which, in the case of open range locations, shall mean mail delivery not less frequently than once every seven days. 
(B) An appropriate form of communication, including but not limited to a radio and/or telephone, which will allow sheepherders to communicate with employers, health care providers, and government regulators. Employers may charge sheepherders for all others uses. 
(C) Visitor access to fixed site housing and, when practicable, to mobile housing. 
15. Exemptions. 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provisions in Section 7, Records; Section 11, Meal Periods; Section 12, Rest Periods; or Section 13, Seats, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective any may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application is filed with the Division. 
16. Filing Reports. (See California Labor Code, Section 1174(a)) 
17. Inspection. (See California Labor Code, Section 1174) 
18. Penalties. (See California Labor Code, Section 1199) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(B) Any employer or any other person acting on behalf of the employer who employs sheepherders and who requires them to engage in non-sheepherding duties shall be subject to the following penalties: 
(1) Initial violations--a civil penalty of one week's pay computed on a basis of a 60-hour workweek and a wage of no less than the current minimum wage in effect. 
(2) Second violation--a civil penalty of one month's pay computed on a basis of a 252-hour month and a wage of no less than the current minimum wage in effect. 
(3) Third and subsequent violation--a civil penalty equal to the cost of the contract of the approved “H-2A” job order. 
(C) The affected employee shall receive payment of all wages recovered. 
(D) The Labor Commissioner may also issue citations pursuant to Labor Code Section 1197.1 for payment of wages for overtime work in violation of this order. 
19. Separability. 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
20. Posting of Order. 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
2. Repealer of subsection 4(4) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
4. Editorial correction of printing errors (Register 91, No. 32).
5. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
6. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
7. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
8. Repealer and new section filed 5-1-2002; operative 7-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 18).
Article 15. Household Occupations

(Order No. 15-2001, Effective 1-1-2001) 
§11150. Order Regulating Wages, Hours, and Working Conditions in Household Occupations.
Note     •     History

1. Applicability of Order This order shall apply to all persons employed in household occupations, whether paid on a time, piece rate, commission, or other basis unless such occupation is performed for an industry covered by an industry Order of this Commission, except that: 
(A) Provisions of Sections 3 through 12 of this Order shall not apply to persons employed in administrative, executive, or professional capacities The following requirements shall apply in determining whether an employee's duties meet the test to qualify for an exemption from those sections: 
(1) Executive Exemption A person employed in an executive capacity means any employee: 
(a) Whose duties and responsibilities involve the management of the enterprise in which he is employed or of a customarily recognized department or subdivision thereof; and 
(b) Who customarily and regularly directs the work of two or more other employees therein; and 
(c) Who has the authority to hire or fire other employees or whose suggestions and recommendations as to the hiring or firing and as to the advancement and promotion or any other change of status of other employees will be given particular weight; and 
(d) Who customarily and regularly exercises discretion and independent judgment; and 
(e) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such items are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order 29 C.F.R. §§ 541.102, 541.104-111, 541.115-116. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the work week must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(f) Such an employee must also earn a monthly salary equivalent to no less than two times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code § 515(c) as 40 hours per week. 
(2) Administrative Exemption A person employed in an administrative capacity means any employee: 
(a) Whose duties and responsibilities involve either: 
(1) The performance of office or non-manual work directly related to management policies or general business operations of his employer or his employer's customers, or 
(2) The performance of functions in the administration of a school system, or educational establishment or institution, or of a department of subdivision thereof; in work directly related to the academic instruction or training carried on therein; and 
(b) Who customarily and regularly exercises discretion and independent judgment; and 
(c) Who regularly and directly assists a proprietor, or an employee employed in a bona fide executive or administrative capacity (as such terms are defined for purposes of this section), or 
(d) Who performs under only general supervision work along specialized or technical lines requiring special training, experience, or knowledge, or 
(e) Who executes under only general supervision special assignments and tasks, and 
(f) Who is primarily engaged in duties which meet the test of the exemption. The activities constituting exempt work and non-exempt work shall be construed in the same manner as such terms are construed in the following regulations under the Fair Labor Standards Act effective as of the date of this order 29 C.F.R. §§ 541.201-205, 541.207-208, 541.210, 541.215. Exempt work shall include, for example, all work that is directly and closely related to exempt work and work which is properly viewed as a means for carrying out exempt functions. The work actually performed by the employee during the course of the work week must, first and foremost, be examined and the amount of time the employee spends on such work, together with the employer's realistic expectations and the realistic requirements of the job, shall be considered in determining whether the employee satisfies this requirement. 
(e) Such employee must also earn a monthly salary equivalent to no less than two times the state minimum wage for full-time employment. Full-time employment is defined in Labor Code § 515(c) as 40 hours per week. 
(3) Professional Exemption A person employed in a professional capacity means any employee who meets all of the following requirements: 
(a) Who is licensed or certified by the State of California and is primarily engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting; or 
(b) Who is primarily engaged in an occupation commonly recognized as a learned or artistic profession. For the purposes of this subsection, “learned or artistic profession” means an employee who is primarily engaged in the performance of: 
(i) Work requiring knowledge of an advanced type in a field or science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study, as distinguished from a general academic education and from an apprenticeship, and from training in the performance of routine mental, manual, or physical processes, or work that is an essential part of or necessarily incident to any of the above work; or 
(ii) Work that is original and creative in character in a recognized field of artistic endeavor (as opposed to work which can be produced by a person endowed with general manual or intellectual ability and training), and the result of which depends primarily on the invention, imagination, or talent of the employee, or work that is an essential part of or necessarily incident to any of the above work; and 
(iii) Whose work is predominantly intellectual and varied in character (as opposed to routine mental, manual, mechanical, or physical work) and is of such character that the output produced or the result accomplished cannot be standardized in relation to a given period of time. 
(c) Who customarily and regularly exercises discretion and independent judgment in the performance of duties set forth in subparagraphs (a) and (b). 
(d) Who earns a monthly salary equivalent to no less than two times the state minimum wage for full-time employment. 
(e) Subparagraph (b) above is intended to be construed in accordance with the following provisions of federal law as they existed as of the date of this Order: 29 C.F.R. §§ 541.207, 541.301(a)-(d), 541.302, 541.306, 541.307, 541.308, and 541.310. 
(f) Notwithstanding the provisions of this subparagraph, pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subparagraph unless they individually meet the criteria established for exemption as executive or administrative employees. 
(g) Subparagraph (f) above, shall not apply to the following advanced practice nurses: 
(i) Certified nurse midwives who are primarily engaged in performing duties for which certification is required pursuant to Article 2.5 (commencing with Section 2746) of Chapter 6 of Division 2 of the Business and Professions Code. 
(ii) Certified nurse anesthetists who are primarily engaged in performing duties for which certification is required pursuant to Article 7 (commencing with Section 2825) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iii) Certified nurse practitioners who are primarily engaged in performing duties for which certification is required pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code. 
(iv) Nothing in this subparagraph shall exempt the occupations set forth in clauses (i), (ii), and (iii) from meeting the requirements of subsection 1(A)(3)(a)-(d), above. 
(h) Except as provided in subparagraph (i), an employee in the computer software field who is paid on an hourly basis shall be exempt, if all of the following apply: 
(i) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment. 
(ii) The employee is primarily engaged in duties that consist of one or more of the following: 
- The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
- The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to, user or system design specifications. 
- The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(iii) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(iv) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(i) The exemption provided in subparagraph (h) does not apply to an employee if any of the following apply: 
(i) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(ii) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(iii) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(iv) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(v) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMs. 
(vi) The employee is engaged in any of the activities set forth in subparagraph (h) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(B) Except as provided in sections 1, 2, 4, 10, and 15, the provisions of this Order shall not apply to personal attendants. The provisions of the Order shall not apply to any person under the age of eighteen who is employed as a baby sitter for a minor child of the employer in the employer's home. 
(C) Provisions of this Order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(D) The provisions of this Order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code § 1171.) 
2. Definitions 
(A) An “alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight (8) hours in a 24-hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(D) “Emergency” means an unpredictable or unavoidable occurrence at unscheduled intervals requiring immediate action. 
(E) “Employ” means to engage, suffer, or permit to work. 
(F) “Employee” means any person employed by an employer. 
(G) “Employer” means any person as defined in Section 18 of the Labor Code, who directly or indirectly, or through an agent or any other person, employs or exercises control over the wages, hours, or working conditions of any person. 
(H) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(I) “Household Occupations” means all services related to the care of persons or maintenance of a private household or its premises by an employee of a private householder. Said occupations shall include, but not be limited to, the following: butlers, chauffeurs, companions, cooks, day workers, gardeners, graduate nurses, grooms, house cleaners, housekeepers, maids, practical nurses, tutors, valets, and other similar occupations. 
(J) “Personal attendant” includes baby sitters and means any person employed by a private householder or by any third party employer recognized in the health care industry to work in a private household, to supervise, feed, or dress a child or person who by reason of advanced age, physical disability, or mental deficiency needs supervision. The status of “personal attendant” shall apply when no significant amount of work other than the foregoing is required. 
(K) “Minor” means, for the purpose of this Order, any person under the age of eighteen (18) years. 
(L) “Primarily” as used in Section 1, Applicability, means more than one-half the employee's work time. 
(M) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(N) “Split shift” means a work schedule which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(O) “Teaching” means, for the purpose of Section 1 of this Order, the profession of teaching under a certificate from the Commission for Teacher Preparation and Licensing or teaching in an accredited college or university. 
(P) “Wages” includes all amounts for labor performed by employees of every description, whether the amount is fixed or ascertained by the standard of time, task, piece, commission basis, or other method of calculation. 
(Q) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(R) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Hours and Days of Work 
(A) A LIVE-IN employee shall have at least twelve (12) consecutive hours free of duty during each workday of twenty-four (24) hours, and the total span of hours for a day of work shall be no more than twelve (12) hours, except under the following conditions: 
(1) The employee shall have at least three (3) hours free of duty during the twelve (12) hours span of work. Such off-duty hours need not be consecutive, and the schedule for same shall be set by mutual agreement of employer and employee, provided that 
(2) An employee who is required or permitted to work during scheduled off-duty hours or during the twelve (12) consecutive off-duty hours shall be compensated at the rate of one and one-half (1 1/2) times the employee's regular rate of pay for all such hours worked. 
(B) No LIVE-IN employee shall be required to work more than five (5) days in any one workweek without a day off of not less than twenty-four (24) consecutive hours except in an emergency as defined in subsection 2(D), provided that the employee is compensated for time worked in excess of five (5) workdays in any workweek at one and one-half (1 1/2) times the employee's regular rate of pay for hours worked up to and including nine (9) hours. Time worked in excess of nine (9) hours on the sixth (6th) and seventh (7th) workdays shall compensated at double the employee's regular rate of pay. 
(C) The following overtime provisions are applicable to non-LIVE-IN employees eighteen (18) years of age or over and to employees sixteen (16) or seventeen (17) years of age who are not required by law to attend school and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than forty (40) hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over forty (40) hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(1) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including twelve (12) hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(2) Double the employee's regular rate of pay for all hours worked in excess of twelve (12) hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(3) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as 1/40th of the employee's weekly salary. 
(D) One and one-half (1 1/2) times a minor's regular rate of pay shall be paid for all work over forty (40) hours in any workweek except that minors sixteen (16) and seventeen (17) years old who are not required by law to attend school and may therefore be employed for the same hours as an adult are subject to subsections (A) and (B), or (C) above. 
(VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits.) 
(E) An employee may be employed on seven (7) workdays in one workweek with no overtime pay required when the total hours of employment during such workweek do not exceed thirty (30) and the total hours of employment in any one workday thereof do not exceed six (6). 
(F) The provisions of Labor Code §§ 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(G) Except, as provided in subsection (D) and (F), this section shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than thirty (30) percent more than the state minimum wage. 
(H) Notwithstanding subsection (G) above, where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one (1) day's rest in seven (7) (see section (F) above) shall apply, unless the agreement expressly provides otherwise. 
(I) If an employer approves a written request of an employee to make-up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that make-up work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of eleven (11) hours of work in one (1) day or forty (40) hours of work in one (1) workweek. If an employee knows in advance that he or she will be requesting make-up time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make-up work time for up to four (4) weeks in advance; provided, however, that the make-up work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make-up work time pursuant to this subsection. While an employer may inform an employee of this make-up time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make-up the work hours within the same workweek pursuant to this subsection. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy five cents ($6.75) per hour for all hours worked effective January 1, 2002, except: 
LEARNERS. Employees during their first one hundred and sixty (160) hours of employment in occupations in which they have no previous similar or related experience, may be paid not less than eighty-five percent (85%) of the minimum wage rounded to the nearest nickel. 
(B) Every employer shall pay to each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
(C) When an employee works a split shift, one hour's pay at the minimum wage shall be paid in addition to the minimum wage for that workday, except when the employee resides at the place of employment. 
(D) The provisions of this section shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
5. Reporting Time Pay 
(A) Each workday an employee is required to report for work and does report, but is not put to work or is furnished less than half said employee's usual or scheduled day's work, the employee shall be paid for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours, at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(B) If an employee is required to report for work a second time in any one workday and is furnished less than two hours of work on the second reporting, said employee shall be paid for two hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property; or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(C) This section shall not apply to an employee on paid standby status who is called to perform assigned work at a time other than the employee's scheduled reporting time. 
6. Licenses for Disabled Workers 
(A) A license may be issued by the Division authorizing employment of a person whose earning capacity is impaired by physical disability or mental deficiency at less than the minimum wage. Such licenses shall be granted only upon joint application of employer and employee and employee's representative if any. 
(B) A special license may be issued to a nonprofit organization such as a sheltered workshop or rehabilitation facility fixing special minimum rates to enable the employment of such persons without requiring individual licenses of such employees. 
(C) All such licenses and special licenses shall be renewed on a yearly basis or more frequently at the discretion of the Division. 
(See California Labor Code, Sections 1191 and 1191.5.) 
7. Records 
(A) Every employer shall keep accurate information with respect to each employee including the following: 
(1) Full name, home address, occupation and social security number. 
(2) Birth date, if under 18 years, and designation as a minor. 
(3) Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(4) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(5) Total hours worked in the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. 
(6) When a piece rate or incentive plan is in operation, piece rates or an explanation of the incentive plan formula shall be provided to employees. An accurate production record shall be maintained by the employer. 
(B) Every employer shall semimonthly or at the time of each payment of wages furnish each employee, either as a detachable part of the check, draft, or voucher paying the employee's wages, or separately, an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. 
(C) All required records shall be in the English language and in ink or other indelible form, properly dated, showing month, day and year, and shall be kept on file by the employer for at least three years at the place of employment or at a central location within the State of California. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Clocks shall be provided in all major work areas or within reasonable distance thereto insofar as practicable. 
8. Cash Shortage and Breakage 
No employer shall make any deduction from the wage or require any reimbursement from an employee for any cash shortage, breakage, or loss of equipment, unless it can be shown that the shortage, breakage, or loss is caused by a dishonest or willful act, or by the gross negligence of the employee. 
9. Uniforms and Equipment 
(A) When uniforms are required by the employer to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
Note: This section shall not apply to protective apparel regulated by the Occupational Safety and Health Standards Board. 
(B) When tools or equipment are required by the employer or are necessary to the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage provided herein may be required to provide and maintain hand tools and equipment customarily required by the trade or craft. This subsection (B) shall not apply to apprentices regularly indentured under the State Division of Apprenticeship Standards. 
Note: This section shall not apply to protective equipment and safety devices on tools regulated by the Occupational Safety and Health Standards Board. 
(C) A reasonable deposit may be required as security for the return of the items furnished by the employer under provisions of subsections (A) and (B) of this section upon issuance of a receipt to the employee for such deposit. Such deposits shall be made pursuant to Section 400 and following of the Labor Code or an employer with the prior written authorization of the employee may deduct from the employee's last check the cost of an item furnished pursuant to (A) and (B) above in the event said item is not returned. No deduction shall be made at any time for normal wear and tear. All items furnished by the employer shall be returned by the employee upon completion of the job. 
10. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following:

Effective Dates:	January 1, 2001	January 1, 2001

Lodging:

Room occupied alone	$29.40 per week	$31.75 per week

Room shared	$24.25 per week	$26.20 per week

Apartment--two-thirds 
(2/3) of the ordinary 
rental value, and in no 
event more than	$352.95 per month	$381.20 per month

Where a couple are 
both employed by the 
employer, two-thirds 
(2/3) of the ordinary 
rental value, and in no
event more than	$522.10 per month	$563.90 per month

Meals:
Breakfast	$2.25	$2.45

Lunch	$3.10	$3.35

Dinner	$4.15	$4.50
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received nor lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 
11. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than thirty (30) minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of the employer and employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than thirty (30) minutes, except that if the total hours worked is no more than twelve (12) hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(C) Unless the employee is relieved of all duty during a thirty (30) minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents an employee from being relieved of all duty and when by written agreement between the parties an on-the-job paid meal period is agreed to. The written agreement shall state that the employee may, in writing, revoke the agreement at any time. 
(D) If an employer fails to provide an employee with a meal period in accordance with the applicable provisions of this Order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the meal period is not provided. 
12. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable shall be in the middle of each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours or major fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted, as hours worked for which there shall be no deduction from wages. 
(B) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this Order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the rest period is not provided. 
13. Change Rooms and Resting Facilities 
(A) Employers shall provide suitable lockers, closets, or equivalent for the safekeeping of employees' outer clothing during working hours, and when required, for their work clothing during non-working hours. When the occupation requires a change of clothing, change rooms or equivalent space shall be provided in order that employees may change their clothing in reasonable privacy and comfort. These rooms or spaces may be adjacent to but shall be separate from toilet rooms and shall be kept clean. 
Note: This section shall not apply to change rooms and storage facilities regulated by the Occupational Safety and Health Standards Board. 
(B) Suitable resting facilities shall be provided in an area separate from the toilet rooms and shall be available to employees during work hours. 
14. Seats 
(A) All working employees shall be provided with suitable seats when the nature of the work reasonably permits the use of seats. 
(B) When employees are not engaged in the active duties of their employment and the nature of the work requires standing, an adequate number of suitable seats shall be placed in reasonable proximity to the work area and employees shall be permitted to use such seats when it does not interfere with the performance of their duties. 
15. Penalties (See Labor Code, section 1199.) 
(A) In addition to any other civil penalties provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to the civil penalty of: 
(1) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to the amount which is sufficient to recover unpaid wages. 
(2) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover unpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. 
(B) The Labor Commissioner may also issue citations pursuant to Labor Code § 1197.1 for payment of wages for overtime work in violation of this order. 
16. Elevators 
Adequate elevator, escalator or similar service consistent with industry-wide standards for the nature of the process and the work performed shall be provided when employees are employed four floors or more above or below ground level. 
17. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 7, Records; Section 12, Rest Periods; Section 13, Change Rooms and Resting Facilities; Section 14, Seats; Section 15, Temperature; or Section 16, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, exemption may be made at the discretion of the Division. Such exemptions shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
18. Filing Reports (See California Labor Code, Section 1174(a).) 
19. Inspection (See California Labor Code, Section 1174.) 
20. Penalties (See California Labor Code, Section 1199.) 
21. Separability 
If the application of any provision of this Order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this Order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
22. Posting of Order 
Every employer shall keep a copy of this Order posted in an area frequented by employees where it may be easily read during the work day. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this Order and make it available to every employee upon request. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution, Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code.
HISTORY

1. Amendment of article 15 heading and subsection 2.(I) filed 3-21-86; designated effective 4-2-86 (Register 86, No. 12).
2. Amendment filed 4-22-88; operative 7-1-88 (Register 88, No. 19).
3. Repealer of subsection 4(3) filed 1-11-89; operative 1-11-89 (Register 89, No. 4).
4. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations repealing subsection 8 (last sentence only) filed 4-24-89 (Register 89, No. 17).
5. Editorial correction of printing errors (Register 91, No. 32).
6. Amendment of subsection 4.(A) filed 9-19-96; operative 10-1-96. Submitted to OAL for printing only (Register 96, No. 38).
7. Amendment of subsection 4.(A) filed 1-14-97; operative 3-1-97. Submitted to OAL for printing only (Register 97, No. 3).
8. Amendment of order number and subsection 10.(B) filed 8-5-97; operative 1-1-98. Submitted to OAL for printing only (Register 97, No. 32).
9. Repealer and new filed 5-7-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code sections 517 and 1185 (Register 2002, No. 19).
Article 16. On-Site Occupations
§11160. Wages, Hours and Working Conditions for Certain On-Site Occupations in the Construction, Drilling, Logging and Mining Industries.
History

1. Applicability of Order This order shall apply to all persons employed in the on-site occupations of construction, including, but not limited to, work involving alteration, demolition, building, excavating, renovation, remodeling, maintenance, improvement, and repair work, and work for which a contractor's license is required by the California Business and Professions Code Division 3, Chapter 9, §§7025 et seq.; drilling, including but not limited to, all work required to drill, establish, repair, and rework wells for the exploration or extraction of oil, gas, or water resources; logging work for which a timber operator's license is required pursuant to California Public Resources Code §§4571 through 4586; and, mining (not covered by Labor Code §750 et seq.), including all work required to mine and/or establish pits, quarries, and surface or underground mines for the purposes of exploration, or extraction of nonmetallic minerals and ores, coal, and building materials such as stone and gravel, whether paid on a time, piece rate, commission, or the basis, except that: 
(A) The provisions of Sections 3 through 12 shall not apply to persons employed in administrative, executive, or professional capacities. No person shall be considered to be employed in an administrative, executive, or professional capacity unless the person is primarily engaged in the duties which meet the test of the exemption, and earns a monthly salary equivalent to not less than two times the state minimum wage for full-time employment. The duties that meet the test of the exemption are one of the following set of conditions: 
(1) The employee is engaged in work which is primarily intellectual, managerial, or creative, and which requires exercise of discretion and independent judgment, or 
(2) The employee is licensed, or certified by the State of California, and is engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting, or the employee is engaged in an occupation that is commonly recognized as a learned, or artistic profession; provided, however, that pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this section unless they individually meet the criteria established for exemption as executive, or administrative employees. 
(3) To the extent that there is no conflict with California law1, the duties that meet the test of the administrative, and executive exemptions are defined as set forth in the following sections of the Code of Federal Regulations as they existed as of the date of this Wage Order: 29 C.F.R. §§541.1(a)-(c), 541.102, 541.104, 541.105, 541.106, 541.108, 541.109, 541.111, 541.115, and 541.116 (defining executive duties); 29 C.F.R. §§541.2(a)-(c), 541.201, 541.205, 541.208, and 541.210 (defining administrative duties). 
(4) For the purposes of this section, “full-time employment” means employment in which an employee is employed for forty (40) hours per week. 
(B) Except as provided in Sections 1, Applicability, 2, Definitions, 4, Minimum Wages, 9, Meals and Lodging, and 18, Penalties, the provisions of this Order shall not apply to any employees directly employed by the State or any political subdivision thereof, including any city, county, or special district. 
(C) The provisions of this Order shall not apply to outside salespersons. 
(D) The provisions of this Order shall not apply to any individual who is the parent, spouse, child, or legally adopted child of the employer. 
(E) The provisions of this Order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code §1171.) 
(F) This Order supersedes any industry or occupational order for those employees employed in occupations covered by this Order. 
2. Definitions 
(A) “Alternative Workweek Schedule” means any regularly scheduled workweek proposed by an employer who has control over the wages, hours, and working conditions of the employees, and ratified by an employee work unit in a neutral secret ballot election, that requires an employee to work more than eight (8) hours in a twenty-four (24) hour period. 
(B) “Commission” means the Industrial Welfare Commission of the State of California. 
(C) “Construction Occupations” mean all job classifications associated with construction, including but not limited to, work involving alteration, demolition, building, excavation, renovation, remodeling, maintenance, improvement, and repair work by the California Business and Professions Code, Division 3, Chapter 9, §§7025 et seq., and any other similar, or related occupations, or trades. 
(D) “Division” means the Division of Labor Standards Enforcement of the State of California. 
(E) “Drilling Occupations” mean all job classifications associated with the exploration, or extraction of oil, gas, or water resources work including, but not limited to, the installation, establishment, reworking, maintenance or repair of wells and pumps by boring, drilling, excavating, casting, cementing and cleaning for the extraction or conveyance of fluids such as water, steam, gases, or petroleum. 
(F) “Emergency” means an unpredictable or unavoidable occurrence at unscheduled intervals requiring immediate action. 
(G) “Employ” means to engage, suffer, or permit to work. 
(H) “Employee” means any person employed by an employer. 
(I) “Employer” means any person as defined in §18 of the Labor Code, who directly or indirectly, or through an agent, or any other person, employs, or exercises control over the wages, hours, and/or working conditions of any person. 
(J) “Hours worked” means the time during which an employee is subject to the control of an employer, and includes all the time the employee is suffered or permitted to work, whether or not required to do so. 
(K) “Logging Occupations” mean any work for which a timber operator's license is required pursuant to California Public Resources Code §§4571-4586, including the cutting, or removal, or both of timber, or other solid wood forest products, including Christmas trees, from timberlands for commercial purposes, together with all the work that is incidental thereto, including, but not limited to, construction and maintenance of roads, fuel breaks, firebreaks, stream crossings, landings, skid trails, beds for the falling of trees, and fire hazard abatement. 
(L) “Mining Occupations” mean miners, and other associated and related occupations (not covered by Labor Code §§750 et seq.) required to engage in excavation or operations above or below ground including work in mines, quarries, or open pits, used for the purposes of exploration or extraction of nonmetallic minerals and ores, coal, and building materials, such as stone, gravel, and rock, or other materials intended for manufacture or sale, whether paid on a time, piece rate, commission, or other basis.
(M) “Minor” means, for the purposes of this Order, any person under the age of eighteen (18) years as defined by Labor Code §§1285 to 1312 and 1390-1399. 
(N) “Outside Salesperson” means any person, 18 years of age or over, who customarily and regularly works more than half the working time away from the employer's place of business selling tangible or intangible items, or obtaining orders or contracts for products, services or use of facilities. An “outside salesperson” does not include an employee who makes deliveries or service calls for the purpose of installing, replacing, repairing, removing, or servicing a product. 
(O) “Primarily” means more than one-half the employee's work time. 
(P) “Regularly Scheduled Workweek” means a schedule where the length of the shift and the number of days of work are predesignated pursuant to an alternative workweek schedule. 
(Q) “Split shift” means a work schedule which is interrupted by non-paid non-working periods established by the employer, other than bona fide rest or meal periods. 
(R) “Wages” are as defined by California Labor Code §200. 
(S) “Workday or day” means any consecutive twenty-four (24) hours beginning at the same time each calendar day. 
(T) “Workweek or week” means any seven (7) consecutive day, starting with the same calendar day each week. “Workweek” is a fixed, and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
(U) “Work Unit” means all nonexempt employees of a single employer within a given craft who share a common work site. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection is met. 
3. Hours and Days of Work 
(A) Daily Overtime-General Provisions 
(1) The following overtime provisions are applicable to employees eighteen (18) years of age or over, and to employees sixteen (16) or seventeen (17) years of age who are not required by law to attend school, and who are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday, or more than forty (40) hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours in the workweek. Employment beyond eight (8) hours in any workday, or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(a) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including twelve (12) hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(b) Double the employee's regular rate of pay for all hours worked in excess of twelve (12) hours in any workday, and for all hours worked in an excess of eight (8) hours on the seventh (7th) consecutive day of work in any workweek. 
(c) The overtime rate of compensation to be paid to a nonexempt full-time salaried employee shall be computed by using one-fortieth (1/40) of the employee's weekly salary as the employee's regular hourly rate of pay. 
(B) Alternative Workweek Schedules 
(1) No employer, who has control over the wages, hours, and working conditions of employee's, shall be deemed to have violated the provisions of Section 3, Hours and Days of Work, by instituting, pursuant to the election procedures set forth in this Order, a regularly scheduled alternative workweek pursuant to the following conditions: 
(a) The alternative workweek schedule shall provide for work by the affected employees of no longer than ten (10) hours per day within a 40-hour workweek without the payment to the affected employees of an overtime rate of compensation pursuant to this section. 
(b) An affected employee working longer than eight hours but no more than ten (10) hours in a day pursuant to an alternative workweek schedule adopted pursuant to this section shall be paid an overtime rate of compensation of not less than one and one-half (1 1/2) times the regular rate of pay of the employee for any work in excess of the regularly scheduled hours established by the alternative workweek agreement and for any work in excess of forty (40) hours per week. 
(c) An overtime rate of compensation of not less than double the employee's regular rate of pay shall be paid for any work in excess of twelve (12) hours per day and for any work in excess of eight hours on those days worked beyond the regularly scheduled workdays established by the alternative workweek agreement. 
(d) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(e) An employer shall make a reasonable effort to find a work schedule not to exceed eight hours in a workday to accommodate any effected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative schedule established as the result of that election. Employees affected by a change in work hours resulting from the adoption of an alternative workweek schedule shall not be required to work those new work hours for at least thirty (30) days after the announcement of the final results of the election. 
(f) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight hours in a workday to accommodate any employee who was hired after the date of the election and who is unable to work the alternative schedule established as the result of that election. 
(g) An employer shall explore any available reasonable alternative means of accommodating the religious beliefs or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by Government Code §12940(j). 
(h) Notwithstanding paragraph (B)(1), subparagraphs (a)-(c), for employees working in offshore oil and gas production, drilling, and servicing occupations, as well as for employees working in onshore oil and gas separation occupations directly servicing offshore operations, an alternative workweek schedule may authorize work by the affected employees of no longer than twelve (12) hours per day within a 40-hour workweek without the payment to the affected employees of an overtime rate of compensation. Employees working pursuant to an alternative workweek schedule adopted pursuant to this section shall be paid an overtime rate of compensation of no less than two (2) times their regular rate of pay in excess of the regularly scheduled hours established by the alternative workweek agreement, and for one and one-half (1 1/2) times their regular rate of pay for any work in excess of forty (40) hours per week. The other provisions of this section, including those governing elections, shall apply to these occupations. 
(i) In no case shall an alternative workweek requiring more than eight (8) hours of work in a day be utilized on a public works contract in violation of Labor Code §§1810-1815. 
(C) Election Procedures 
Election procedures for the adoption or repeal of alternative workweek schedules require the following: 
(1) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer who has control over wages, hours and working conditions of the affected employees, and adopted in a secret ballot election, held before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of workdays and work hours are regularly recurring. The employer may propose a single work schedule that would become the standard schedule for workers in the unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(2) The election shall be held during regular working hours at the employees' work site. Ballots shall be mailed to the last known address of all employees in the work unit that are not present at the work site on the day of the election but have been employed by the employer within the last 30 calendar days immediately preceding the day of the election. 
(3) Prior to the secret ballot vote, any employer who proposes to institute an alternative workweek schedule shall make a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least fourteen (14) days prior to voting, for the specific purpose of discussing the effects, of the alternative workweek schedule. An employer shall provide the disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. Notices shall be mailed to the last known address of all employees in the work unit in accordance with provision (2) above. Failure to comply with this paragraph shall make the election null and void. 
(4) Any election to establish or repeal an alternative workweek schedule shall be held during regular working hours at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the Labor Commissioner, the Labor Commissioner may require the employer to select a neutral third party to conduct the election. 
(5) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held, provided six (6) months have passed since the election authorizing the alternative workweek. A two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer. 
(6) If the number of employees that are employed for at least 30 days in the work unit that adopted an alternative workweek schedule increases by 50% above the number who voted to ratify the employer proposed alternative workweek schedule, the employer must conduct a new ratification election pursuant to the rules contained in subsection (C). 
(7) The results of any election conducted pursuant to this Order shall be a public document and shall be reported by the employer to the Division of Labor Statistics and Research within thirty (30) days after the results are final. The report of the election results shall also be posted at the job site in a area frequented by employees where it may easily be read during the workday. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. Employees participating in the election shall be free from intimidation and coercion. However, nothing in this section shall prohibit an employer from expressing its position concerning that alternative workweek to the affected employees. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. The Labor Commissioner shall investigate any alleged violation of this section and shall upon finding a serious violation render the alternative workweek schedule null and void. 
(D) Combination of Overtime Rates. Nothing in this section requires an employer to combine more than one rate of overtime compensation in order to calculate the amount to be paid to an employee for any hour of overtime work. 
(E) Nondiscrimination. No employee shall be terminated, disciplined or otherwise discriminated against for refusing to work more than seventy-two (72) hours in any workweek, except in an emergency as defined in Section 2(H), above. 
(F) Make-up Time. If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that make-up work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of eleven (11) hours of work in one day or forty (40) hours of work in one workweek. If an employee knows in advance that he or she will be requesting make up time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four weeks in advance; provided, however, that the make up work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this section. While an employer may inform an employee of this make up time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this section. (See Labor Code §513.) 
(G) One Day's Rest in Seven. The provisions of Labor Code §§551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(H) Collective Bargaining Agreements. 
(1) Subsections A, B, C, D, and E of Section 3, Hours and Days of Work, shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than thirty (30) percent more than the state minimum wage. (See Labor Code §514) 
(2) Subsection F, of Section 3, Hours and Days of Work, shall apply to any employee covered by a valid collective bargaining agreement unless the collective bargaining agreement expressly provides otherwise. 
4. Minimum Wages 
(A) Every employer shall pay to each employee wages not less than six dollars and twenty-five cents ($6.25) per hour for all hours worked, effective January 1, 2001, and not less than six dollars and seventy-five cents ($6.75) per hour for all hours worked, effective January 1, 2002. 
(B) Every employer shall pay each employee, on the established payday for the period involved, not less than the applicable minimum wage for all hours worked in the payroll period, whether the remuneration is measured by time, piece, commission, or otherwise. 
5. Reporting Time Pay 
(A) All employer-mandated travel that occurs after the first location where the employee's presence is required by the employer shall be compensated at the employee's regular rate of pay or, if applicable, the premium rate that may be required by the provisions of Labor Code §510 and Section 3, Hours and Days of Work, above. 
(B) Each workday that an employee is required to report to the work site and does report, but is not put to work, or is furnished less than half of his or her usual or scheduled day's work, the employer shall pay him or her for half the usual or scheduled day's work, but in no event for less than two (2) hours nor more than four (4) hours at the employee's regular rate of pay, which shall not be less than the minimum wage. 
(C) The foregoing reporting time pay provisions are not applicable when: 
(1) Operations cannot commence or continue due to threats to employees or property, or when recommended by civil authorities; or 
(2) Public utilities fail to supply electricity, water, or gas, or there is a failure in the public utilities, or sewer system; or 
(3) The interruption of work is caused by an Act of God or other cause not within the employer's control. 
(D) Collective Bargaining Agreements. This section shall apply to any employees covered by a valid collective bargaining agreement unless the collective bargaining agreement expressly provides otherwise. 
6. Records 
(A) Every employer who has control over wages, hours, or working conditions shall keep accurate information with respect to each employee, including the following: 
(1) The employee's full name, home address, occupation, and social security number. The employee's date of birth, if under 18 years of age, and designation as a minor. Time records showing when the employee begins and ends each work period. Meal periods, split shift intervals, and total daily hours worked shall also be recorded. Meal periods during which operations cease and authorized rest periods need not be recorded. 
(2) Total wages paid each payroll period, including value of board, lodging, or other compensation actually furnished to the employee. 
(3) Total hours worked during the payroll period and applicable rates of pay. This information shall be made readily available to the employee upon reasonable request. When a piece rate or incentive plan is in operation, piece rates, or an explanation of the incentive plan formula, shall be provided to employees. An accurate production record shall be maintained by the employer 
(B) Every employer who has control over wages, hours, or working conditions shall semimonthly, or at the time of each payment of wages, furnish each employee an itemized statement in writing showing: (1) all deductions; (2) the inclusive dates of the period for which the employee is paid; (3) the name of the employee or the employee's social security number; and, (4) the name of the employer, provided all deductions made on written orders of the employee may be aggregated and shown as one item. (See Labor Code §226.) This information shall be furnished either separately, or as a detachable part of the check, draft, or voucher paying the employee's wages. 
(C) All required records shall be in the English language, in ink or other indelible form, and dated properly, showing month, day, and year. The employer who has control over wages, hours, or working conditions, shall also keep said records on file at the place of employment or at a central location for at least three years. An employee's records shall be available for inspection by the employee upon reasonable request. 
(D) Employers performing work on public works projects should refer to Labor Code §1776 for additional payroll reporting requirements. 
7. Deductions from Pay 
No employer shall collect or deduct from any employee any part of the wages that are paid unless such deductions are allowed by law. (See Labor Code §§220-226.) No fee shall be charged by the employer or agent of the employer for cashing a payroll check. 
8. Uniforms and Equipment 
(A) When the employer requires uniforms to be worn by the employee as a condition of employment, such uniforms shall be provided and maintained by the employer. The term “uniform” includes wearing apparel and accessories of distinctive design or color. 
(B) When the employer requires the use of tools or equipment or they are necessary for the performance of a job, such tools and equipment shall be provided and maintained by the employer, except that an employee whose wages are at least two (2) times the minimum wage may provide and maintain hand tools and equipment customarily required by the particular trade or craft in conformity with Labor Code §2802.
9. Meals and Lodging 
(A) “Meal” means an adequate, well-balanced serving of a variety of wholesome, nutritious foods. 
(B) “Lodging” means living accommodations available to the employee for full-time occupancy which are adequate, decent, and sanitary according to the usual and customary standards. Employees shall not be required to share a bed. 
(C) Meals or lodging may not be credited against the minimum wage without a voluntary written agreement between the employer and the employee. When credit for meals, or lodging is used to meet part of the employer's minimum wage obligation, the amounts so credited may not be more than the following: 
(D) Meals evaluated as part of the minimum wage must be bona fide meals consistent with the employee's work shift. Deductions shall not be made for meals not received or lodging not used. 
(E) If, as a condition of employment, the employee must live at the place of employment or occupy quarters owned or under the control of the employer, then the employer may not charge rent in excess of the values listed herein. 

Effective Dates: 	January 1, 2001 	January 1, 2002 

Lodging: 

Room occupied alone: 	$29.40 per week 	$31.75 per week 

Room shared: 	$24.25 per week 	$26.20 per week 

Apartment two-thirds (2/3) of 	$352.95 per month 	281.20 per month 
the ordinary rental value, and 
in no event more than: 

Where a couple are both 	$522.10 per month 	$563.90 per month 
employed by the employer, 
two-thirds (2/3) of the ordinary 
rental value, and in no event 
more than: 

Meals: 

Breakfast 	$2.25 	$2.45 

Lunch 	$3.10 	$3.35 

Dinner 	$4.15 	$4.50 
10. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than thirty (30) minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of employer and employee. (See Labor Code §512.) 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than thirty (30) minutes, except that if the total hours worked is no more than twelve (12) hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. (See Labor Code §512.) 
(C) In all places of employment the employer shall provide an adequate supply of potable water, soap, or other suitable cleansing agent and single use towels for hand washing. 
(D) Unless the employee is relieved of all duty during a thirty (30) minute meal period, the meal period shall be considered an “on duty” meal period and counted as time worked. An “on duty” meal period shall be permitted only when the nature of the work prevents the employee from being relieved of all duty and when, by written agreement between the parties, an on-the-job paid meal period is agreed to and complies with Labor Code §512. 
(E) Collective Bargaining Agreements. Paragraphs A, B, and D of Section 10, Meal Periods, shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than thirty (30) percent more than the state minimum wage. 
(F) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this Order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the meal period was not provided. In cases where a valid collective bargaining agreement provides final and binding mechanism for resolving disputes regarding enforcement of the meal period provisions, the collective bargaining agreement will prevail. 
11. Rest Periods 
(A) Every employer shall authorize and permit all employees to take rest periods, which insofar as practicable, shall be in the middle of each work period. Nothing in this provision shall prevent an employer from staggering rest periods to avoid interruption in the flow of work and to maintain continuous operations, or from scheduling rest periods to coincide with breaks in the flow of work that occur in the course of the workday. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time for every four (4) hours worked, or major fraction thereof. Rest periods shall take place at employer designated areas, which may include or be limited to the employees immediate work area. 
(B) Rest periods need not be authorized in limited circumstances when the disruption of continuous operations would jeopardize the product or process of the work. However, the employer shall make-up the missed rest period within the same work day or compensate the employee for the missed ten (10) minutes of rest time at his or her regular rate of pay within the same pay period. 
(C) A rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for which there shall be no deduction from wages. 
(D) If an employer fails to provide an employee a rest period in accordance with the applicable provisions of this Order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the rest period was not provided. In cases where a valid collective bargaining agreement provides final and binding mechanism for resolving disputes regarding enforcement of the rest period provisions, the collective bargaining agreement will prevail. 
(E) This section shall not apply to any employee covered by a valid collective bargaining agreement if the collective bargaining agreement provides equivalent protection. 
12. Seats 
Where practicable and consistent with applicable industry-wide standards, all working employees shall be provided with suitable seats when the nature of the process and the work performed reasonably permits the use of seats. This section shall not exceed regulations promulgated by the Occupational Safety and Health Standards Board. 
13. Temperature 
The temperature maintained in each interior work area shall provide reasonable comfort consistent with industry-wide standards for the nature of the process and the work performed. This section shall not exceed regulations promulgated by the Occupational Safety and Health Standards Board. 
14. Elevators 
Where practicable and consistent with applicable industry-wide standards, adequate elevators, escalators, or similar service consistent with industry-wide standards for the nature of the process and the work performed, shall be provided, when employees are employed sixty (60) feet or more above or below ground level. This section shall not exceed regulations promulgated by the Occupational Safety and Health Board. 
15. Exemptions 
If, in the opinion of the Division after due investigation, it is found that the enforcement of any provision contained in Section 6, Records, Section 11, Rest Periods, Section 12, Seats, Section 13, Temperature, or Section 14, Elevators, would not materially affect the welfare or comfort of employees and would work an undue hardship on the employer, an exemption may be made at the discretion of the Division. Such exemption shall be in writing to be effective and may be revoked after reasonable notice is given in writing. Application for an exemption shall be made by the employer or by the employee and/or the employee's representative to the Division in writing. A copy of the application shall be posted at the place of employment at the time the application is filed with the Division. 
16. Filing Reports (See Labor Code, Section 1174(a)). 
17. Inspection (See Labor Code, Section 1174.) 
18. Penalties 
(A) Penalties for Violations of the Provisions of this Order. Any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to civil and criminal penalties as provided by law. In addition, violation of any provision of this order shall be subject to a civil penalty as follows: 
(1) Initial Violation--$50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover underpaid wages. 
(2) Subsequent Violations--$100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover underpaid wages. 
(3) The affected employee shall receive payment of all wages recovered. The Labor Commissioner may also issue citations pursuant to Cal. Labor Code §1197.1 for non-payment of wages for overtime work in violation of this order. 
(B) Penalties for Violations Of Child Labor Laws. Any employer or other person acting on behalf of the employer is subject to civil penalties from $500 to $10,000 as well as to criminal penalties for violation of Child Labor Laws. (See Labor Code §§1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws.) Employers should inquire at local school districts about any required work permits required for minors attending school. 
(In addition, see Labor Code, Section 1199.) 
19. Separability 
If the application of any provision of this Order, or any section, subsection, subdivision, sentence, clause, phase, word, or portion of this Order should be held invalid, or unconstitutional, or unauthorized, or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part is held to be invalid or unconstitutional had not been included herein. 
20. Posting of Order 
Every employer shall keep a copy of this Order posted in an area frequented by employees where it may be easily read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this Order, and make it available to every employee upon request. 

________

1. Labor Code Section 515(e) requires that an employee be “primarily” engaged in exempt work, which means “more than one-half of the employee's work time. Thus the “primary duty” test set forth in federal regulations does not apply. 
HISTORY

1. New section filed 2-8-2001; operative 1-1-2001 pursuant to Government Code section 11343.4. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2001, No. 6). 
2. New article 16 heading filed 1-4-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 1). 
Article 17. Miscellaneous Employees
§11170. Miscellaneous Employees.
Note     •     History

1. Applicability of Order 
This wage order implements changes in the law as a result of the Legislature's enactment of the “Eight-Hour-Day Restoration and Workplace Flexibility Act,” Stats. 1999, ch. 134 (commonly referred to as AB 60). 
(A) Any industry or occupation not previously covered by, and all employees not specifically exempted in, the Commission's wage orders in effect in 1997, or otherwise exempted by law, are covered by this order. 
(B) Except as provided in subsection (C), an employee in the computer software field who is paid on an hourly basis shall be exempt from the daily overtime pay provisions of California Labor Code Section 510, if all of the following apply: 
(1) The employee is primarily engaged in work that is intellectual or creative and that requires the exercise of discretion and independent judgment, and the employee is primarily engaged in duties that consist of one or more of the following: 
(a) The application of systems analysis techniques and procedures, including consulting with users, to determine hardware, software, or system functional specifications. 
(b) The design, development, documentation, analysis, creation, testing, or modification of computer systems or programs, including prototypes, based on and related to, user or system design specifications. 
(c) The documentation, testing, creation, or modification of computer programs related to the design of software or hardware for computer operating systems. 
(2) The employee is highly skilled and is proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. A job title shall not be determinative of the applicability of this exemption. 
(3) The employee's hourly rate of pay is not less than forty-one dollars ($41.00). The Division of Labor Statistics and Research shall adjust this pay rate on October 1 of each year to be effective on January 1 of the following year by an amount equal to the percentage increase in the California Consumer Price Index for Urban Wage Earners and Clerical Workers. 
(C) The exemption provided in subsection (B) does not apply to an employee if any of the following apply: 
(1) The employee is a trainee or employee in an entry-level position who is learning to become proficient in the theoretical and practical application of highly specialized information to computer systems analysis, programming, and software engineering. 
(2) The employee is in a computer-related occupation but has not attained the level of skill and expertise necessary to work independently and without close supervision. 
(3) The employee is engaged in the operation of computers or in the manufacture, repair, or maintenance of computer hardware and related equipment. 
(4) The employee is an engineer, drafter, machinist, or other professional whose work is highly dependent upon or facilitated by the use of computers and computer software programs and who is skilled in computer-aided design software, including CAD/CAM, but who is not in a computer systems analysis or programming occupation. 
(5) The employee is a writer engaged in writing material, including box labels, product descriptions, documentation, promotional material, setup and installation instructions, and other similar written information, either for print or for on screen media or who writes or provides content material intended to be read by customers, subscribers, or visitors to computer-related media such as the World Wide Web or CD-ROMS. 
(6) The employee is engaged in any of the activities set forth in subsection (B) for the purpose of creating imagery for effects used in the motion picture, television, or theatrical industry. 
(D) The provisions of this order shall not apply to any individual participating in a national service program, such as AmeriCorps, carried out using assistance provided under Section 12571 of Title 42 of the United States Code. (See Stats. 2000, ch. 365, amending Labor Code Section 1171.) 
2. Definitions 
(A) An “Alternative workweek schedule” means any regularly scheduled workweek requiring an employee to work more than eight hours in a 24-hour period. 
(B) “Shift” means designated hours of work by an employee, with a designated beginning time and quitting time. 
(C) “Workday” and “day” mean any consecutive 24-hour period beginning at the same time each calendar day. 
(D) “Workweek” and “week” mean any seven (7) consecutive days, starting with the same calendar day each week. “Workweek” is a fixed and regularly recurring period of 168 hours, seven (7) consecutive 24-hour periods. 
3. Administrative, Executive, and Professional Employees 
The following provisions shall not apply to persons employed in administrative, executive, or professional capacities. No person shall be considered to be employed in an administrative, executive, or professional capacity unless the person is primarily engaged in the duties which meet the test of the exemption and earns a monthly salary equivalent to no less than two times the state minimum wage for full time employment. The duties that meet the tests of the exemption are one of the following set of conditions: 
(A) The employee is engaged in work which is primarily intellectual, managerial, or creative, and which requires exercise of discretion and independent judgment, or 
(B) The employee is licensed or certified by the State of California and is engaged in the practice of one of the following recognized professions: law, medicine, dentistry, optometry, architecture, engineering, teaching, or accounting, or is engaged in an occupation commonly recognized as a learned or artistic profession; provided, however, that pharmacists employed to engage in the practice of pharmacy, and registered nurses employed to engage in the practice of nursing, shall not be considered exempt professional employees, nor shall they be considered exempt from coverage for the purposes of this subsection unless they individually meet the criteria established for exemption as executive or administrative employees. 
(C) For the purposes of this section, “Full-time employment” means employment in which an employee is employed for 40 hours per week. 
(D) For the purposes of this section, “primarily” means more than one-half (1/2) of the employee's work time. 
4. Daily Overtime -- General Provisions 
The following overtime provisions are applicable to employees eighteen (18) years of age or over and to employees 16 or 17 years of age who are not required by law to attend school, and are not otherwise prohibited by law from engaging in the subject work. Such employees shall not be employed more than eight (8) hours in any workday or more than 40 hours in any workweek unless the employee receives one and one-half (1 1/2) times such employee's regular rate of pay for all hours worked over 40 hours in the workweek. Eight (8) hours of labor constitutes a day's work. Employment beyond eight (8) hours in any workday or more than six (6) days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 
(A) One and one-half (1 1/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours up to and including 12 hours in any workday, and for the first eight (8) hours worked on the seventh (7th) consecutive day of work in a workweek; and 
(B) Double the employee's regular rate of pay for all hours worked in excess of 12 hours in any workday and for all hours worked in excess of eight (8) hours on the seventh (7th) consecutive day of work in a workweek. 
(C) The overtime rate of compensation required to be paid to a nonexempt full-time salaried employee shall be computed by using the employee's regular hourly salary as one-fortieth (1/40) of the employee's weekly salary. 
5. Alternative Workweek 
(A) No employer shall be deemed to have violated the daily overtime provisions by instituting, pursuant to the election procedures set forth in this wage order, a regularly scheduled alternative workweek schedule of not more than ten (10) hours per day within a 40 hour workweek without the payment of an overtime rate of compensation. All work performed in any workday beyond the schedule established by the agreement up to 12 hours a day or beyond 40 hours per week shall be paid at one and one-half (11/2) times the employee's regular rate of pay. All work performed in excess of 12 hours per day and any work in excess of eight (8) hours on those days worked beyond the regularly scheduled number of workdays established by the alternative workweek agreement shall be paid at double the employee's regular rate of pay. Any alternative workweek agreement adopted pursuant to this section shall provide for not less than four (4) hours of work in any shift. Nothing in this section shall prohibit an employer, at the request of the employee, to substitute one (1) day of work for another day of the same length in the shift provided by the alternative workweek agreement on an occasional basis to meet the personal needs of the employee without the payment of overtime. No hours paid at either one and one-half (11/2) or double the regular rate of pay shall be included in determining when 40 hours have been worked for the purpose of computing overtime compensation. 
(B) If an employer, whose employees have adopted an alternative workweek agreement permitted by this order requires an employee to work fewer hours than those that are regularly scheduled by the agreement, the employer shall pay the employee overtime compensation at a rate of one and one-half (11/2) times the employee's regular rate of pay for all hours worked in excess of eight (8) hours, and double the employee's regular rate of pay for all hours worked in excess of 12 hours for the day the employee is required to work the reduced hours. 
(C) An employer shall not reduce an employee's regular rate of hourly pay as a result of the adoption, repeal or nullification of an alternative workweek schedule. 
(D) An employer shall explore any available reasonable alternative means of accommodating the religious belief or observance of an affected employee that conflicts with an adopted alternative workweek schedule, in the manner provided by subdivision (j) of Section 12940 of the Government Code. 
(E) An employer shall make a reasonable effort to find a work schedule not to exceed eight (8) hours in a workday, in order to accommodate any affected employee who was eligible to vote in an election authorized by this section and who is unable to work the alternative workweek schedule established as the result of that election. 
(F) An employer shall be permitted, but not required, to provide a work schedule not to exceed eight (8) hours in a workday to accommodate any employee who is hired after the date of the election and who is unable to work the alternative workweek schedule established by the election. 
(G) The provisions of Labor Code Sections 551 and 552 regarding one (1) day's rest in seven (7) shall not be construed to prevent an accumulation of days of rest when the nature of the employment reasonably requires the employee to work seven (7) or more consecutive days; provided, however, that in each calendar month, the employee shall receive the equivalent of one (1) day's rest in seven (7). 
(H) Arrangements adopted in a secret ballot election held pursuant to this order prior to 1998, or under the rules in effect prior to 1998, and before the performance of the work, shall remain valid after July 1, 2000, provided that the results of the election are reported by the employer to the Division of Labor Statistics and Research by January 1, 2001, in accordance with the requirements of Election Procedures Section F. New arrangements can be entered into pursuant to the provisions of this section. 
Election Procedures 
(A) Each proposal for an alternative workweek schedule shall be in the form of a written agreement proposed by the employer. The proposed agreement must designate a regularly scheduled alternative workweek in which the specified number of work days and work hours are regularly recurring. The actual days worked within that alternative workweek schedule need not be specified. The employer may propose a single work schedule that would become the standard schedule for workers in the work unit, or a menu of work schedule options, from which each employee in the unit would be entitled to choose. If the employer proposes a menu of work schedule options, the employee may, with the approval of the employer, move from one menu option to another. 
(B) In order to be valid, the proposed alternative workweek schedule must be adopted in a secret ballot election, before the performance of work, by at least a two-thirds (2/3) vote of the affected employees in the work unit. The election shall be held during regular working hours at the employees' work site. For purposes of this subsection, “affected employees in the work unit” may include all employees in a readily identifiable work unit, such as a division, a department, a job classification, a shift, a separate physical location, or a recognized subdivision of any such work unit. A work unit may consist of an individual employee as long as the criteria for an identifiable work unit in this subsection is met. 
(C) Prior to the secret ballot vote, any employer who proposed to institute an alternative workweek schedule shall have made a disclosure in writing to the affected employees, including the effects of the proposed arrangement on the employees' wages, hours, and benefits. Such a disclosure shall include meeting(s), duly noticed, held at least fourteen (14) days prior to voting, for the specific purpose of discussing the effects of the alternative workweek schedule. An employer shall provide that disclosure in a non-English language, as well as in English, if at least five (5) percent of the affected employees primarily speak that non-English language. The employer shall mail the written disclosure to employees who do not attend the meeting. Failure to comply with this section shall make the election null and void; 
(D) Any election to establish or repeal an alternative workweek schedule shall be held during regular working hours at the work site of the affected employees. The employer shall bear the costs of conducting any election held pursuant to this section. Upon a complaint by an affected employee, and after an investigation by the labor commissioner, the labor commissioner may require the employer to select a neutral third party to conduct the election. 
(E) Any type of alternative workweek schedule that is authorized by the Labor Code may be repealed by the affected employees. Upon a petition of one-third (1/3) of the affected employees, a new secret ballot election shall be held and a two-thirds (2/3) vote of the affected employees shall be required to reverse the alternative workweek schedule. The election to repeal the alternative workweek schedule shall be held not more than 30 days after the petition is submitted to the employer, except that the election shall be held not less that 12 months after the date that the same group of employees voted in an election held to adopt or repeal an alternative workweek schedule. The election shall take place during regular working hours at the employees' work site. If the alternative workweek schedule is revoked, the employer shall comply within 60 days. Upon proper showing of undue hardship, the Division of Labor Standards Enforcement may grant an extension of time for compliance. 
(F) Only secret ballots may be cast by affected employees in the work unit at any election held pursuant to this section. The results of any election conducted pursuant to this section shall be reported by the employer to the Division of Labor Statistics and Research within 30 days after the results are final, and the report of election results shall be a public document. The report shall include the final tally of the vote, the size of the unit, and the nature of the business of the employer. 
(G) Employees affected by a change in work hours resulting from the adoption of an alternative workweek schedule may not be required to work those new work hours for at least 30 days after the announcement of the final results of the election. 
(H) Employers shall not intimidate or coerce employees to vote either in support or in opposition to a proposed alternative workweek. No employees shall be discharged or discriminated against for expressing opinions concerning the alternative workweek election or for opposing or supporting its adoption or repeal. However, nothing in this section shall prohibit an employer from expressing his/her position concerning that alternative workweek to the affected employees. A violation of subsection shall be subject to Labor Code Section 98 et seq. 
6. Minors 
VIOLATIONS OF CHILD LABOR LAWS are subject to civil penalties of from $500 to $10,000 as well as to criminal penalties. Refer to California Labor Code Sections 1285 to 1312 and 1390 to 1399 for additional restrictions on the employment of minors and for descriptions of criminal and civil penalties for violation of the child labor laws. Employers should ask school districts about any required work permits. 
7. Collective Bargaining Agreements 
(A) Sections 4 and 5, of this order shall not apply to any employee covered by a valid collective bargaining agreement if the agreement expressly provides for the wages, hours of work, and working conditions of the employees, and if the agreement provides premium wage rates for all overtime hours worked and a regular hourly rate of pay for those employees of not less than 30 percent more than the state minimum wage. 
(B) Notwithstanding Section 7(A), where the employer and a labor organization representing employees of the employer have entered into a valid collective bargaining agreement pertaining to the hours of work of the employees, the requirement regarding the equivalent of one day's rest in seven (7) (see Section 5(I) above) shall apply, unless the agreement expressly provides otherwise. 
8. Make Up Time 
(A) If an employer approves a written request of an employee to make up work time that is or would be lost as a result of a personal obligation of the employee, the hours of that makeup work time, if performed in the same workweek in which the work time was lost, may not be counted toward computing the total number of hours worked in a day for purposes of the overtime requirements, except for hours in excess of 11 hours of work in one day or 40 hours of work in one workweek. If an employee knows in advance that he or she will be requesting makeup time for a personal obligation that will recur at a fixed time over a succession of weeks, the employee may request to make up work time for up to four (4) weeks in advance; provided, however, that the makeup work must be performed in the same week that the work time was lost. An employee shall provide a signed written request for each occasion that the employee makes a request to make up work time pursuant to this section. While an employer may inform an employee of this makeup time option, the employer is prohibited from encouraging or otherwise soliciting an employee to request the employer's approval to take personal time off and make up the work hours within the same workweek pursuant to this section. 
9. Meal Periods 
(A) No employer shall employ any person for a work period of more than five (5) hours without a meal period of not less than 30 minutes, except that when a work period of not more than six (6) hours will complete the day's work the meal period may be waived by mutual consent of employer and employee. 
(B) An employer may not employ an employee for a work period of more than ten (10) hours per day without providing the employee with a second meal period of not less than 30 minutes, except that if the total hours worked is no more than 12 hours, the second meal period may be waived by mutual consent of the employer and the employee only if the first meal period was not waived. 
(B) If an employer fails to provide an employee a meal period in accordance with the applicable provisions of this order, the employer shall pay the employee one (1) hour of pay at the employee's regular rate of compensation for each work day that the meal period is not provided. 
10. Penalties 
In addition to any other civil or criminal penalty provided by law, any employer or any other person acting on behalf of the employer who violates, or causes to be violated, the provisions of this order, shall be subject to a civil penalty of: 
(A) Initial Violation -- $50.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient to recover underpaid wages. 
(B) Subsequent Violations -- $100.00 for each underpaid employee for each pay period during which the employee was underpaid in addition to an amount which is sufficient recover underpaid wages. 
(C) The affected employee shall receive payment of all wages recovered. 
The Labor Commissioner may also issue citations pursuant to California Labor Code Section 1197.1 for non-payment of wages for overtime work in violation of this order. 
11. Separability 
If the application of any provision of this order, or any section, subsection, subdivision, sentence, clause, phrase, word, or portion of this order should be held invalid or unconstitutional or unauthorized or prohibited by statute, the remaining provisions thereof shall not be affected thereby, but shall continue to be given full force and effect as if the part so held invalid or unconstitutional had not been included herein. 
12. Posting of Order 
Every employer shall keep a copy of this order posted in an area frequented by employees where it may easily be read during the workday. Where the location of work or other conditions make this impractical, every employer shall keep a copy of this order and make it available to every employee upon request. 
This Order, as revised becomes effective on January 1, 2001. 
NOTE

Authority cited: Section 1173, Labor Code; and California Constitution Article XIV, Section 1. Reference: Sections 1182 and 1184, Labor Code
HISTORY

1. New article 17 (section 11170) and section filed 1-4-2002; operative 1-1-2001. Submitted to OAL for printing only pursuant to Labor Code section 517 (Register 2002, No. 1). 
Group 3. Regulations Governing Wage Boards
Article 1. Regulations Governing Wage Boards
§11530. Definitions.
Note     •     History

As used in these rules:
(a) “Commission” means the Industrial Welfare Commission of the State of California.
(b) “Wage board” means a wage board appointed by the Industrial Welfare Commission pursuant to Sections 1178 and 1178.5 of the California Labor Code and these rules. Such wage board may consider labor standards other than wages, as directed by the Commission.
(c) “Member” means any chairperson or employer or employee representative on a wage board.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 70, 1178, 1178.5 and 1179, Labor Code.
HISTORY

1. Redesignation of former Article 17 (Sections 11530-11538) to Chapter 5, Group 3 (Article 1, Sections 11530-11538) filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11). For prior history, see Registers 84, No. 6; 75, No. 26; 73, No. 18; 66, No. 29; and 56, No. 5.
§11531. Selection and Appointment of Members.
Note

(a) Any interested person may submit to the Commission the names of individuals whom that person believes to be qualified to serve as wage board members.
(b) The Commission shall appoint alternates to serve in the event that a vacancy is created by any member's inability to serve, from any cause. Such alternate may be called upon for active service by any Commissioner or staff member designated by the chairperson of the Commission. An alternate member so appointed shall function as if originally appointed.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 1178, 1178.5, and 1179, Labor Code.
§11532. Convening of Wage Board.
Note     •     History

(a) The wage board shall meet at the time and place designated by the commission.
(b) At least 30 days prior to the date the wage board first meets, the commission shall publish a notice of the date, time, and place of the first meeting of a wage board in the California Regulatory Notice Register and shall send such notice to each person and organization on its regular mailing list.
(c) The chairperson shall be present at all meetings of the wage board to which he or she is appointed. An alternate chairperson may be designated by the Commission to serve in the event that the chairperson originally appointed is unable to serve.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 1178, 1178.5, and 1179, Labor Code.
HISTORY

1. Editorial correction of printing errors (Register 91, No. 32).
§11533. Quorum and Vote.
Note

(a) Each employer representative and employee representative on the wage board shall have one vote. The chairperson shall not vote but may participate in discussion.
(b) Fifty percent of the appointed voting members on each wage board shall constitute a quorum.
(c) Any recommendation reported by the wage board to the Commission as having been supported by two-thirds of the members of the wage board shall be accompanied by the record of a roll call vote and shall be computed as whole votes totalling not less than 66 2/3 percent of the total number voting members appointed to the wage board.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 1178.5, 1179 and 1182, Labor Code.
§11534. Evidence and Argument to Be Submitted to Wage Board.
Note     •     History

(a) Each wage board shall consider such data as is submitted to it by the Commission. Additional information necessary to the deliberations of the wage board shall be furnished by the Commission upon request of the chairperson of the wage board, insofar as feasible. Any documentary material used by the wage board shall become a part of the record and shall be delivered to the Commission with the report of recommendations.
(b) Any interested person may file information or argument in writing with the commission for presentation to the wage board. Any person submitting written materials shall supply copies for each member of the pertinent wage board and ten (10) additional copies for the Commission and staff. Such written material must be received at the Commission office, P.O. Box 603, San Francisco, California, 94101, at least fifteen (15) days prior to the first meeting of the wage board as designated in the public notice.
(c) Immediately upon its receipt the Commission shall deliver to the wage board for its consideration all written materials received in accordance with section 11534(b).
(d) Oral presentations shall not be accepted from members of the public during wage board conferences. If any wage board, by unanimous vote, determines that oral testimony is necessary to its deliberations, the chairperson may ask the Commission to subpoena a witness, in accordance with Labor Code section 1176.
NOTE

Authority cited: Sections 1173 and 1179, Labor Code. Reference: Sections 1173, 1176, 1178, 1178.5 and 1179, Labor Code.
HISTORY

1. Editorial correction of printing errors (Register 91, No. 32).
§11535. Scope of Wage Board's Deliberations.
Note

(a) The Commission shall define the scope of the industry, trade, or occupation to be considered by each wage board. Any person may, at any time, recommend to the Commission that the scope and definition of the industry, trade, or occupation designated by the Commission be enlarged, modified, or restricted.
(b) The wage board shall limit its deliberations to those matters specified by the Commission in its charge to the wage board.
NOTE

Authority cited: Sections 1173 and 1179, Labor Code. Reference: Sections 1173, 1178.5 and 1179, Labor Code.
§11536. Progress Report to Commission.
Note

When called upon by the commission, the wage board shall furnish reports relating to its activities, and such other information as is requested.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 1178.5, 1180 and 1182, Labor Code.
§11537. Record and Report of Wage Board.
Note     •     History

(a) The chairperson of each wage board shall submit a written report to the Commission, which shall be the official record of the wage board's proceedings. This record shall include the time and place of all meetings, the members present and participating, the motions, votes and other significant proceedings.
(b) The chairperson's report shall contain recommendations of the wage board on matters referred to the wage board by the Commission, together with statements of the reasons for such recommendations, or alternatively shall include a statement explaining why no recommendation could be made. Any recommendation reported to have been supported by two-thirds of the members shall be recorded as provided in section 11533(c) of these rules.
(c) The chairperson shall submit such report to the Commission within 45 days after the wage board's last meeting, and copies of the report shall then be sent by the Commission's office to all members of the wage board.
(d) Members dissenting from the report submitted by the chairperson may collectively or individually submit signed reports stating the reasons for their dissent.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Sections 1178.5, 1180 and 1182, Labor Code.
HISTORY

1. Editorial correction of printing errors (Register 91, No. 32).
§11538. Amending Rules and Interpretation of Rules.
Note

Any question concerning the interpretation of these rules and any question of jurisdiction shall, in the event of dispute, be referred to the Commission for decision. The Commission may amend, modify, or suspend any of the foregoing rules and regulations.
NOTE

Authority cited: Section 1179, Labor Code. Reference: Section 1179, Labor Code. 
Chapter 6. Division of Labor Standards Enforcement*

(Originally Printed 9-14-45)

* Formerly Division of Labor Law Enforcement
Subchapter 1. Child Labor Orders-- Prohibited Occupations
Article 1. Prohibited Occupations
§11701. Prohibited Occupations.
Note

The following occupations are sufficiently dangerous to the lives and limbs and injurious to the health and morals of children under 16 years of age to justify their exclusion therefrom:
(a) All occupations where such children come in close proximity to moving machinery.
(b) All building or construction work of any kind.
(c) Delivering goods, merchandise, commodities, papers or packages from motor vehicles.
NOTE

Sections 11701 to 11705, inclusive, issued under the authority contained in Section 1296, Labor Code. Source of Sections 11701 to 11705, inclusive, is the Rules and Regulations issued by the Division of Labor Law Enforcement.
§11702. No Child Under 16 Years of Age Shall Work in Prohibited Occupations.

No child under 16 years of age shall be employed, permitted or suffered to work in any of said occupations.
(Child Labor Order No. 1, Effective May 8, 1928.)
§11703. Further Prohibited Occupations.

The following occupations are sufficiently dangerous to the lives or limbs or injurious to the health or morals of minors under 16 years of age to justify their exclusion therefrom:
All occupations in or about any plant manufacturing explosives or articles containing explosive components, and all occupations in the transportation and sale of explosives or articles containing explosive components.
§11704. No Child Under 16 Years of Age Shall Work in Prohibited Occupations.

No child under 16 years of age shall be employed, permitted or suffered to work in any of said occupations.
§11705. Scope of Regulations and Definitions.
Note     •     History

For the purpose of these regulations the term “minors” shall be defined in accordance with Section 1286(c) of the Labor Code; except that, with respect to the number of hours a minor may be allowed to work, “minor” shall include those minors under six (6) years of age.
NOTE

Authority cited: Sections 55, 59, 1296 and 1398, Labor Code. Reference: Sections 1286(c) and 1391.2, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11706. Dangerous Activities and Occupations for Minors Under the Age of Sixteen (16) Years.
Note     •     History

Dangerous activities and occupations for minors under the age of sixteen (16) years are determined to be as follows:
(a) Door-to-door selling of newspaper or magazine subscriptions, or of candy, cookies, flowers or other merchandise or commodities, unless the following conditions are met:
(1) Minors so engaged work in pairs, as a team, on the same or opposite side of the street;
(2) Minors so engaged shall be supervised by an adult supervisor for each crew of ten (10) or fewer minors;
(3) Such minors shall be within the sight or sound of the adult supervisor at least once every fifteen (15) minutes;
(4) Such minors shall be returned to their respective homes or places of rendezvous daily after each day's work.
(b) Selling to passing motorists of newspapers, candy, flowers, or other merchandise or commodities from a fixed location on a street, highway or freeway island or divider, or freeway on or off ramp, or the side of a freeway or highway entrance or exit shoulder.
NOTE

Authority cited: Sections 55, 59, 1296 and 1311, Labor Code. Reference: Section 1308(a)(4), Labor Code.
HISTORY

1. New section filed 33-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11706.1. Definition of “Door-to-Door” Selling.
Note     •     History

“Door-to-door” selling within the meaning of Section 11706 shall include selling by such minors, either alone or in pairs or teams, in parking lots, or malls.
NOTE

Authority cited: Sections 55, 59, 1296 and 1311, Labor Code. Reference: Sections 1296 and 1308(a)(4), Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11706.2. Non-Abridgement of Rights of Regular News Carrier of Newspapers.
Note     •     History

Nothing in Section 11706 shall prohibit or abridge the right of a minor to solicit subscriptions to, or to sell newspapers door-to-door, or prohibit or abridge the right of any person to so engage or employ a minor when such minor is a regular news carrier of such newspaper and delivers such newspaper on a regular basis to an established readership for a requested consideration.
NOTE

Authority cited: Sections 55, 59, 1296 and 1311, Labor Code. Reference: Section 1298, Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11707. Further Dangerous Activities for Minors Under the Age of 16.
Note     •     History

Further dangerous activities for minors under the age of 16 are determined to be as follows:
Working in close proximity to explosives or the functioning parts of unguarded and dangerous moving equipment, aircraft or vessels, or of functioning blades or propellers.
NOTE

Authority cited: Sections 55, 59, 1296 and 1311, Labor Code. Reference: Sections 1293 and 1296, Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
Subchapter 2. Employment of Minors in the Entertainment Industry

(Effective 4-2-45)
Article 1. Motion Picture Industries
§11750. Scope of Regulations and Definitions.
Note     •     History

(a) For the purpose of these regulations the term “minors” shall be defined in accordance with Section 1286(c) of the Labor Code; except that, with respect to the number of hours a minor may be allowed to work, “minor” shall include those minors under six (6) years of age.
NOTE

Authority cited: Sections 55, 59 and 1311, Labor Code. Reference: Sections 1286(c) and 1391.2, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11751. Entertainment Industry Defined; Employment of Minors in the Entertainment Industry.
Note     •     History

(a) The Entertainment Industry, hereinafter referred to as the employer, shall be defined as any organization, or individual, using the services of any minor in: Motion pictures of any type (e.g. film, videotape, etc.), using any format (theatrical film, commercial, documentary, television program, etc.) by any medium (e.g. theater, television, videocassette, etc.); photography; recording; modeling; theatrical productions; publicity; rodeos; circuses; musical performances; and any other performances where minors perform to entertain the public.
(b) Any employer in the Entertainment Industry desiring to employ minors in any such work or activity which is not hazardous or detrimental to the health, safety, morals or education of such minors shall make an application to the Division for a Permit to Employ Minors in such work or activity. In determining what is hazardous or detrimental to “morals” within the meaning of these regulations, due regard shall be given to the acts proscribed by Sections 311 through 314 of the California Penal Code.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Sections 1396 and 1397, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11752. Issuance of Permit to Employ Minor.
Note     •     History

The Division of Labor Standards Enforcement (hereinafter called “Division”) shall issue a “Permit to Employ Minors” if the conditions as to permissible work or activity, as prescribed by Sections 11701, 11703, 11705, and 11707 of this Article, are satisfied.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Sections 1396, 1397 and 1398, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11753. Procedure for Obtaining Entertainment Work Permit by Minor.
Note     •     History

(a) A minor desiring to be employed in the entertainment industry must obtain an Entertainment Work Permit. The application for permit can be obtained at any of the Division's District offices. The minor must provide the information called for on the application, to-wit: his/her name, age, birth date, address, sex, height, weight and color of hair and eyes. In addition, such minor must obtain verification in writing from the appropriate school district of the minor's school record and attendance, and must satisfactorily meet the requirements of that school district with respect to age, school record, attendance and health. Such verification of school record and attendance and proof that the school district's requirements with respect to age, school record, attendance and health have been met must be filed with the Division, concurrently with the filing of the application. Such verification and proof may be in any form as provided by the school district if reasonably demonstrative of the information required to be furnished by this subsection. The Division may require in appropriate cases a physical examination of the minor to ensure that the minor's physical condition permits the minor to perform the work or activity called for by the Permit to Employ Minor and Entertainment Work Permit.
(b) Upon the filing by a minor with the Division of a completed Application for Entertainment Work Permit satisfying the requirements of this Section, the Division shall issue an Entertainment Work Permit to such minor. Such permit shall permit the minor to work only under the conditions prescribed by these regulations and in conformity with all provisions of law governing the working hours, health, safety, morals and other conditions of employment of minors. The permit shall be for a period not to exceed six (6) months, and application for renewal must be made in the same manner and under the same conditions as the original permit.
NOTE

Authority cited: Sections 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1308.5, 1396 and 1397, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11754. Blanket Permits.
Note     •     History

Blanket permits may be secured by the employer under the following conditions and/or limitations:
(a) Groups and organizations of minors may be granted blanket rather than individual permits.
(b) Blanket permits shall be valid only for the particular production for which issued and only for the periods of time limited therein.
(c) Application for a blanket permit must be supported by satisfactory evidence that appropriate services of studio teachers will be provided. Special arrangements may be made for the number of studio teachers required with groups of minors numbering one hundred (100) or more.
(d) An application for a blanket permit must be supported by proof that the minors covered by such permits are covered by workers' compensation insurance.
(e) There must be a parent or guardian for every twenty (20) minors, or fraction thereof.
NOTE

Authority cited: 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1308.5, 1396, 1397 and 3600, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11755. Studio Teacher; Definition and Certification.
Note     •     History

(a) A studio teacher within the meaning of these regulations must be a certificated teacher who holds one California teaching credential listed in paragraphs (1) through (4) of subsection (d) of this section and one California teaching credential listed in paragraphs (5) through (7) of subsection (d) of this section which are valid and current, and who has been certified by the Labor Commissioner. The teaching credential listed in (5) or (6) of subsection (d) of this section must be in one of the following subject areas: English, Math, Social Science, Science or Foreign Language.
(b) Certification by the Labor Commissioner shall be for a maximum three-year period, not to exceed the earliest expiration date of any one of the qualifying teaching credentials submitted in support of certification. A written examination will be required of the studio teacher by the Labor Commissioner at the time of certification or renewal. Such examination shall be designed to ascertain the studio teacher's knowledge of the labor laws and regulations of the State of California as they apply to the employment of minors in the entertainment industry. In addition, each studio teacher applicant will be required to successfully complete a twelve-hour course of instruction designed by the Labor Commissioner to instruct the applicant in the duties and responsibilities of the studio teacher. Every studio teacher, as a condition of renewal of certification by the Labor Commissioner, must complete three hours of instruction in a class designed by the Labor Commissioner to ensure that the studio teacher remains abreast of any changes in the laws and regulations and duties and responsibilities of the studio teacher.
(c) For the purpose of this section:
(1) “English” means composition, creative writing, debate, forensics, humanities, journalism, language arts, literature, public speaking, speech (oral communication), writing, and other subjects with content related to English.
(2) “Math” means algebra, calculus, geometry, mathematical analysis, number systems, probability and statistics, trigonometry, and other subjects with content related to mathematics.
(3) “Social Science” means American government and politics, anthropology, comparative government, economics, ethnic studies, European history, geography, government, history, humanities/cultural studies, international politics, psychology, sociology, United States history, world history, and other subjects with content related to social science.
(4) “Science” means astronomy, biology, botany, chemistry, conservation, general science, geology, physics, physiology, zoology and other subjects with content related to science.
(5) “Foreign Language” means any language other than English.
(d) The California teaching credentials which satisfy subsection (a) are as follows:
(1) A Multiple Subject credential issued under the provisions of the Teacher Credentialing Law of 1988, Education Code Sections 44200, et seq., as amended (commonly known as the Bergeson Act), or issued under the provisions of the Teacher Preparation and Licensing Act of 1970, Education Code Sections 44200 et seq., (commonly known as the Ryan Act) as amended;
(2) An Elementary credential issued under the provisions of the Education Code in effect prior to the enactment of the Ryan Act, (former Education Code Sections 13101 et seq., commonly known as the Fisher Act; a so-called “Standard Credential”);
(3) An Early Childhood Education credential issued under the provisions of the Education Code in effect prior to the enactment of the Ryan Act, (former Education Code Sections 13101 et seq., commonly known as the Fisher Act; a so-called “Standard Credential”);
(4) An Elementary credential issued under the provisions of the Education Code in effect prior to the enactment of the Fisher Act (former Education Code Sections 12025 et seq., as amended; a so-called “General Credential”);
(5) A Single Subject credential issued under the provisions of the Teacher Credentialing Law of 1988, Education Code Section 44200, et seq., as amended (commonly known as the Bergeson Act), or issued under the provisions of the Teacher Preparation and Licensing Act of 1970, Education Code Sections 44200 et seq., (commonly known as the Ryan Act) as amended, in one of the following subject areas: English, Math, Social Science, Science or Foreign Language;
(6) A Secondary credential issued under the provisions of the Education Code in effect prior to the enactment of the Ryan Act, (former Education Code Sections 13101 et seq., commonly known as the Fisher Act; a so-called “Standard Credential”), in one of the following subject areas: English, Math, Social Science, Science or Foreign Language;
(7) A General Secondary Teaching credential or a Special Secondary Teaching credential in Speech Arts issued under the provisions of the Education Code in effect prior to the enactment of the Fisher Act (former Education Code Sections 12025 et seq., as amended; a so-called “General Credential”).
(e) A studio teacher who already possesses a certification by the Labor Commissioner and who possesses only one of the credentials listed in subsections (1) through (7) of subsection (d) above may continue to be certified by the Labor Commissioner, provided that the applicant provides sufficient evidence to the Labor Commissioner that the applicant is currently in the process of obtaining a second credential to meet the requirements of subsection (a) above and such credential is obtained by the applicant no later than December 31, 2000. After December 31, 2000, no person shall be permitted to continue to be certified as a studio teacher who has not obtained two credentials of a type provided for in subsections (d)(1), (2), (3), or (4) and subsection (d)(5), (6), or (7) of this section.
(f) The Labor Commissioner may issue a special certificate as a studio teacher for a limited purpose where is it shown that a particular child actor may benefit from a particular applicant who may hold credentials of a special nature in order to meet the particular needs of that child actor. Studio teachers holding special certificates do not count toward satisfying the studio teacher to minor ratios specified in Section 11755.2.
NOTE

Authority cited: Sections 54, 55, 59, 1308.5, 1308.6 and 1398, Labor Code. Reference: Sections 1308.6 and 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
2. Amendment of newly designated subsection (a), new subsections (b)-(b)(3), and amendment of Note filed 2-27-97 as an emergency; operative 2-27-97 (Register 97, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of newly designated subsection (a) and new subsections (b)-(b)(3) refiled 6-23-97 as an emergency; operative 6-23-97 (Register 97, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-21-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-23-97 order, including amendment of section, transmitted to OAL 10-20-97 and filed 12-2-97 (Register 97, No. 49).
5. Change without regulatory effect amending subsections (b), (d)(1)-(7) and (e) filed 4-13-98 pursuant to Section 100, title 1, California Code of Regulations (Register 98, No. 16).
§11755.1. Filing Schedule.
Note     •     History

(a) Within sixty (60) calendar days of receiving an application, the Labor Commissioner shall inform the applicant in writing that either:
(1) the application is complete and accepted for filing, or
(2) the application is incomplete, specifying the information required to correct the deficiency.
(b) Within forty-five (45) calendar days of accepting a complete application, the Labor Commissioner shall inform the applicant in writing of the decision on the application.
(c) The following information is provided pursuant to Government Code Section 15376. During the past two years, the Division's time periods for processing an application from the receipt of the initial application to the final issuance or denial of certification were as follows:
(1) The median time was fifty (50) calendar days;
(2) The minimum time was thirty (30) calendar days;
(3) The maximum time was one hundred thirty-five (135) calendar days.
NOTE

Authority cited: Section 15376, Government Code Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
2. Renumbering of former section 11755.1 to new section 11755.2 and new section 11755.1 filed 12-2-97; operative 12-2-97 (Register 97, No. 49).
§11755.2. Use of Studio Teachers.
Note     •     History

Employers shall provide a studio teacher on each call for minors from age fifteen (15) days to their sixteenth (16th) birthday (age sixteen (16)), and for minors from age sixteen (16) to age eighteen (18) when required for the education of the minor. One (1) studio teacher must be provided for each group of ten (10) minors or fraction thereof. With respect to minors age fifteen (15) days to age sixteen (16), one (1) studio teacher must be provided for each group of twenty (20) minors or fraction thereof on Saturdays, Sundays, holidays, or during school vacation periods.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
2. Renumbering of former section 11755.2 to new section 11755.3 and renumbering of former section 11755.1 to new section 11755.2 filed 12-2-97; operative 12-2-97 (Register 97, No. 49).
§11755.3. Studio Teacher's Authority.
Note     •     History

The studio teacher, in addition to teaching, shall also have responsibility for caring and attending to the health, safety and morals of minors under sixteen (16) years of age for whom they have been provided by the employer, while such minors are engaged or employed in any activity pertaining to the entertainment industry and subject to these regulations. In the discharge of these responsibilities, the studio teacher shall take cognizance of such factors as working conditions, physical surroundings, signs of the minor's mental and physical fatigue, and the demands placed upon the minor in relation to the minor's age, agility, strength and stamina. The studio teacher may refuse to allow the engagement of a minor on a set or location and may remove the minor therefrom, if in the judgment of the studio teacher, conditions are such as to present a danger to the health, safety or morals of the minor. Any such action by the studio teacher may be immediately appealed to the Labor Commissioner who may affirm or countermand such action.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
2. Renumbering of former section 11755.3 to new section 11755.4 and renumbering of former section 11755.2 to new section 11755.3 filed 12-2-97; operative 12-2-97 (Register 97, No. 49).
§11755.4. Studio Teacher's Remuneration.
Note     •     History

The remuneration of the studio teacher shall be paid by the employer.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. Renumbering of former section 11755.3 to new section 11755.4 filed 12-2-97; operative 12-2-97 (Register 97, No. 49).
§11756. Employers Taking Minors of Compulsory School Age from California to Work on Location in Another State.
Note     •     History

When minors resident in the State of California and employed by an employer in the entertainment industry located in the State of California, are taken from the State of California to work on location in another state, as part of, and pursuant to, contractual arrangements made in the State of California for their employment in the entertainment industry, the child labor laws of California and the regulations based thereon shall be applicable, including, but not limited to, the requirement that a studio teacher must be provided for such minor in accordance with Section 11755.1.
NOTE

Authority cited: Sections 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1311 and 1398, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11757. Presence of Parents or Guardians of Minors Under Sixteen (16) Years of Age.
Note     •     History

A parent or guardian of a minor under sixteen (16) years of age must be present with, and accompany, such minor on the set or location and be within sight or sound of said minor at all times.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11758. Sanctions for Violation of the Labor Code or Regulations.
Note     •     History

Any misdemeanor violation of any Labor Code provision respecting child labor, or any violation of these regulations may constitute grounds for denying a Permit to Employ Minors in the entertainment industry, or for suspending or revoking any such permit.
NOTE

Authority cited: Sections 55, 59 and 1311, Labor Code. Reference: Sections 1303, 1308 and 1309, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11758.1. Other Grounds for Denial, Suspension or Revocation of Permit.
Note     •     History

(a) It shall also constitute grounds for denial of the issuance or renewal, or suspension or revocation of a Permit to Employ Minors in the Entertainment Industry for any permit holder or authorized agent or representative of such holder to discharge or in any manner discriminate against any studio teacher because such studio teacher either:
(1) made any oral or written complaint to the Division or the permit holder, its agents, representatives or employees, that conditions on the set or location were dangerous to the health, safety or morals of minors employed on said set or location; or
(2) took any action to preclude, suspend or terminate the employment of minors on a set or location for reasons of health, safety, or morals of the minors.
NOTE

Authority cited: Sections 55, 59, 1311 and 1398, Labor Code. Reference: Section 1308, Labor Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11758.2. Appeal Rights of Permit Holder or Applicant upon Denial, Suspension or Revocation of Permit.
Note     •     History

(a) Any applicant for the issuance or renewal of a Permit to Employ Minors in the Entertainment Industry who has been denied the issuance or renewal thereof, or any permit holder whose permit has been suspended or revoked by a duly authorized representative of the Labor Commissioner may appeal any such action directly to the Labor Commissioner.
(b) Before denying, suspending or revoking any such permit hereunder, the Labor Commissioner shall afford the applicant or holder thereof an opportunity to request a hearing. Any such hearing on appeal of a denial of permit or on the proposed suspension or revocation of such permit, shall be conducted in accordance with Chapter 5 of Part I of Division 3 of Title 2 of the Government Code (Sections 11500 et seq.) and the Labor Commissioner shall have all the powers granted therein.
NOTE

Authority cited: Sections 55, 59, 1311 and 1398, Labor Code. Reference: Sections 11501, 11503 and 11504, Government Code.
HISTORY

1. New section filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11759. Travel Time for Minors Employed in the Entertainment Industry.
Note     •     History

(a) Except as provided in subsection (b) of this section, all time spent in traveling from a studio to a location or from a location to a studio shall count as part of the working day of a minor.
(b) When a minor with a company on a location which is sufficiently distant to require an overnight stay is required to travel daily between living quarters and the place where the company is actually working, the time spent by the minor in such traveling will not count as work time, provided the company does not spend more than forty-five (45) minutes traveling each way and furnishes the necessary transportation. This is a general rule and subject to reasonable changes by the studio teacher. Factors such as working and transportation conditions, and ages of minors shall be considered by the studio teacher in making any such decision.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11760. Working Hours of Minors.
Note     •     History

The amount of time minors are permitted at the place of employment within a twenty-four (24) hour period is limited according to age, as follows:
(a) Babies who have reached the age of fifteen (15) days but have not reached the age of six (6) months may be permitted to remain at the place of employment for a maximum of two (2) hours.
(1) The day's work shall not exceed twenty (20) minutes and under no conditions shall the baby be exposed to light of greater than one hundred (100) foot candlelight intensity for more than thirty (30) seconds at a time.
(2) When babies between the age of fifteen (15) days and six (6) weeks of age are employed, a nurse and a studio teacher must be provided for each three (3) or fewer babies. When infants from age six (6) weeks to six (6) months are employed, one (1) nurse and one (1) studio teacher must be provided for each ten (10) or fewer infants.
(b) Minors who have reached the age of six (6) months but who have not attained the age of two (2) years may be permitted at the place of employment for a maximum of four (4) hours. Such four (4)-hour period shall consist of not more than two (2) hours of work; the balance of the four (4)-hour period shall be rest and recreation.
(c) Minors who have reached the age of two (2) years but who have not attained the age of six (6) years may be permitted at the place of employment for a maximum of six (6) hours. Such six (6)-hour period shall consist of not more than three (3) hours of work; the balance of the six (6)-hour period shall be rest and recreation and/or education.
(d) Minors who have reached the age of six (6) years but have not attained the age of nine (9) years may be permitted at the place of employment for a maximum of eight (8) hours. Such eight (8)-hour period shall consist of not more than four (4) hours of work and at least three (3) hours of schooling when the minor's school is in session. The studio teacher shall assure that the minor receives up to one (1) hour of rest and recreation. On days when the minor's school is not in session, working hours may be increased to six (6) hours, with one (1) hour of rest and recreation.
(e) Minors who have reached the age of nine (9) years but who have not attained the age of sixteen (16) years may be permitted at the place of employment for a maximum of nine (9) hours. Such nine (9)-hour period shall consist of not more than five (5) hours of work and at least three (3) hours of schooling when the minor's school is in session. The studio teacher shall assure that the minor receives at least one (1) hour of rest and recreation. On days when the minor's school is not in session, working hours may be increased to seven (7) hours, with one (1) hour of rest and recreation.
(f) Minors who have reached the age of sixteen (16) years but who have not attained the age of eighteen (18) years may be permitted at the place of employment for a maximum of ten (10) hours. Such ten (10)-hour period shall consist of not more than six (6) hours of work and at least three (3) hours of schooling when the minor's school is in session, and one (1) hour of rest and recreation. On days when school is not in session, working hours may be increased to not more than eight (8) hours, with one (1) hour of rest and recreation.
(g) If emergency situations arise, for example, early morning or night exteriors shot as exteriors, live television or theatrical productions presented after the hours beyond which a minor may not work as prescribed by law, a request may be made to the Labor Commissioner for permission for the minor to work earlier or later than such hours. Each request shall be considered individually by the Division and must be submitted in writing at least forty-eight (48) hours prior to the time needed.
(h) When any minor between ages fourteen (14) and eighteen (18) obtains permission from school authorities to work during school hours for a period not to exceed two (2) consecutive days, the working hours for such minor during either or both of such days may be extended to but shall not exceed eight (8) hours in twenty-four (24) hours.
(i) Twelve (12) hours must elapse between the minor's time of dismissal and time of call on the following day. If the minor's regular school starts less than twelve (12) hours after his or her dismissal time, the minor must be schooled the following day at the employer's place of business.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Sections 1391 and 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11761. Meal Period for Minors.
Note     •     History

All hours for the minor at the place of employment are exclusive of the meal period. The working day may not be extended by a meal period longer than one half (1/2) hour.
NOTE

Authority cited: Sections 55, 59 and 1398, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11762. Minor's General Supervision by Studio Teacher; Minor's Accompaniment by Parent or Guardian Required for Certain Purposes Under Specified Conditions.
Note     •     History

No minor under the age of sixteen (16) may be sent to wardrobe, make-up, hairdressing or employed in any manner unless under the general supervision of a studio teacher. If any such minor is not called to the set but is called for a period up to one (1) hour into wardrobe, make-up, hairdressing, promotional publicity, personal appearances, or for audio recording, when such minor's school is not in session, a studio teacher need not be present but the minor must be accompanied by a parent or guardian.
NOTE

Authority cited: Sections 55, 59 and 1311, Labor Code. Reference: Section 1396, Labor Code.
HISTORY

1. Amendment filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11763. Work Time.

All time spent in make-up or hairdressing in the homes of minors with the assistance of other persons employed in connection therewith, shall be counted as work time. No make-up person or hairdresser shall be permitted to work on minors at home before 8:30 a.m. In every case, 12 hours must elapse between the time the minor is dismissed on one day and the time make-up or hairdressing begins on the following day.
§11764. Work Time for Infants--Medical Examination.

Infants under six months of age shall not be given medical examinations except between the hours of 9:30 a.m. and 11:30 a.m. or between 2:30 p.m. and 4:30 p.m. Work time for said infants shall be limited to one period of two consecutive hours in any one day, and such period must be either between 9:30 a.m. and 11:30 a.m. or between 2:30 p.m. and 4:30 p.m.
§11765. Care of Children.

If children are dismissed early and are not to be picked up for several hours, they shall be under the supervision of a teacher-welfare worker until picked up or until such time as they may be placed under the care of some other responsible adult.
§11766. Studios Having Minor Emergency War Employment Permits. [Repealed]
History

HISTORY

1. Repealer filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
§11767. Report re 17-year-old Minors. [Repealed]
History

HISTORY

1. Repealer filed 3-4-86; effective thirtieth day thereafter (Register 86, No. 10).
Subchapter 2.5. Child Labor Law Violations
Article 1. Regulations Regarding Citation and Penalty Procedure for Violation of Child Labor Provisions
§11775. Designation of Labor Commissioner.
Note     •     History

The Labor Commissioner is the designee of the Director of Industrial Relations for the purpose of issuing citations, assessing penalties, determining types of violations after public hearing, other than those enumerated in Labor Code Sections 1288, 1293.1, and to determine, after public hearing, other hazards that constitute an agricultural zone of danger.
NOTE

Authority cited: Section 54, Labor Code. Reference: Sections 1285, 1286, 1287, 1288 and 1289, Labor Code.
HISTORY

1. New Group 2.5 (Article 1, Sections 11775-11779, 11779.1, 11780, 11781, 11781.1, 11782-11785) filed 12-23-75 as an emergency; designated effective 1-1-76 (Register 75, No. 52).
2. Certificate of Compliance filed 4-28-76 (Register 76, No. 18).
§11776. Applicability to Previously Determined Findings.

Citation and penalty provisions are applicable to previously determined findings of prohibited occupations, as set forth in Sections 11701 through 11705, of Group 1, of this Chapter 6.
§11777. Form of Citation, Method of Payment of Penalty and Service.

The Labor Commissioner, for use of his deputies and agents, shall provide citation forms designed to include:
(a) The name and title of the alleged violator, whether sole proprietor, corporate entity or partnership, with space for listing partners;
(b) Designated space for indicating the nature of the violation and reference to statutory provisions, rule, or regulation, alleged to have been violated;
(c) Designated space for indication of proposed penalty assessment, indicating thereon whether assessment is for original, repeated or willful violation;
(d) Bold face type advising the alleged violator of rights to an informal hearing, time of application therefor, place where request may be filed and also where amount of penalty may be paid.
(1) Payment shall be made by cash, certified check, or money order payable to the Labor Commissioner.
(e) Service of a citation and proposed assessment may be made personally, or, by registered mail if the respondent (alleged violator) is otherwise required by the Labor Commissioner to file his address with the Labor Commissioner, and to notify the Labor Commissioner of any change, and such registered mail is sent to the latest address on file with the Labor Commissioner.
§11778. Labor Commissioner Records of Violations.

The Labor Commission shall keep on file, by name of employer, or responsible entity, records of violations of child labor laws, for use of deputies and agents in determining the range of proposed penalty assessments to be made.
§11779. Penalties for Class “A” Violations.

An original violation of a child labor law, rule or regulation designated as a class “A” violation shall subject the employer, or responsible entity, to a penalty assessment of $1,000.00. The second citation for a class “A” violation shall subject the employer, or responsible entity, to a penalty assessment of $2,000.00. The third, and each succeeding violation, shall subject the employer, or responsible entity, to a penalty assessment of $5,000.00 for the latter violation. Prior violations are such that have not been contested, or that have been upheld on proceedings thereon. In determining penalty assessments, a citation will be considered as referring to a single violation in the class affected at the time the violation cited, regardless of the number of minors in said group at such time.
§11779.1. Definition and Penalty for Willful Violation of Class “A” Type.
History

A willful violation cited, of the class “A” type shall be subject to a penalty assessment of $5,000.00. “Willful,” as defined therein, implies a purpose or willingness to engage, employ, or assign minors to activities proscribed by Labor Code Section 1228(a) and regulations relating thereto.
HISTORY

1. Amendment filed 4-30-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 18).
§11780. Definition of Class “A” Violation.

A class “A” violation is a violation of Section 1292, or 1293, or 1294, or 1308, or 1391, or 1392 of the Labor Code, or, such other violations which the director, by his designee the Labor Commissioner, determines to present an imminent danger to minor employees or substantial probability that death or serious physical harm would result from exposure of a minor to particular working environments.
§11780.1. Agricultural Zone of Danger Violations.
Note     •     History

A violation of Labor Code Section 1293.1 shall be considered and acted upon consistent with provisions respecting class “A” violations.
NOTE

Authority cited: Section 54, Labor Code. Reference: Sections 1285-1289, Labor Code.
HISTORY

1. New section filed 4-30-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 18).
§11781. Penalties for Class “B” Violations.

An original violation of a child labor law, rule or regulation, designated as a class “B” violation, shall subject the employer, or responsible entity, to a penalty assessment of $100.00. The second citation for a class “B” violation shall subject the employer, or responsible entity, to a penalty assessment of $200.00. The third, or more instances of citations for class “B” violations shall subject the employer, or responsible entity, to a penalty assessment of $500.00 for such further violations. Prior violations are such that have not been contested, or that have been upheld on proceedings thereon. In determining penalty assessments a citation will be considered as referring to a single violation in the class affected at the time the violation is cited, regardless of the number of minors in the group at such time.
§11781.1. Definition and Penalty for Willful Violation of Class “B” Type.

A willful violation, cited, of the class “B” type, shall be subject to a penalty assessment of $500.00. “Willful,” as defined herein, implies a purpose or willingness to engage, employ, or assign minors to activities proscribed by Labor Code Section 1288(b) and regulations related thereto.
§11782. Definition of Class “B” Violation.

A class “B” violation is a violation of Section 1299 or 1308.5 of the Labor Code, or such other violations which the director, by his designee the Labor Commissioner, determines have a direct or immediate relationship to the health, safety, or security of minor employees, other than class “A” violations.
§11782.1. Violations for Minor Employment in Manufacturing Establishments or Other Places Not Excepted.
Note     •     History

A violation of Labor Code Section 1290 shall be considered and acted upon consistent with provisions respecting class “B” violations.
Section 30.5 of Chapter 144, 1975 Laws, to which chaptered law these regulations apply, states:
Notwithstanding Section 2231 of the Revenue and Taxation Code, there shall be no reimbursement pursuant to this section nor shall there be an appropriation made by this act because the Legislature recognizes that during any legislative session a variety of changes to laws relating to crimes and infractions may cause increased and decreased costs to local government entities and school districts which in the aggregate, do not result in significant identifiable cost changes.
NOTE

Authority cited: Section 54, Labor Code. Reference: Sections 1285-1289, Labor Code.
HISTORY

1. New section filed 4-30-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 18).
§11783. Request, Notice, and Time of Hearing.

When a person requests an informal hearing by oral or written communication, on a citation, said person should be given, at least, 3 days notice of the time and place of hearing. Such notice may be given by oral communication, with confirming letter, or, by mail to the address set forth in the citation or by the address designated by the person requesting the hearing.
§11784. Conduct of Hearing.
History

Testimony shall be given under oath.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 41).
§11785. Procedure Where Hearing Not Requested. [Repealed]
History

HISTORY

1. Change without regulatory effect repealing Section 11785 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 41).
Subchapter 3. Employment Agencies
Article 1. General Rules and Regulations [Repealed]
HISTORY

1. Repealer of Article 1 (Sections 11875 through 11886) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see Registers 16, No. 4, and 59, No. 2.
Article 2. Rules and Regulations Governing General Employment Agencies [Repealed]
HISTORY

1. Repealer of Article 2 (Sections 11896 through 11903) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see Registers 16, No. 4, and 59, No. 2.
Article 3. Rules and Regulations Governing Theatrical Employment Agencies [Repealed]
HISTORY

1. Repealer of Article 3 (Sections 11926 and 11927) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see Register 59, No. 2.
Article 4. Rules and Regulations Governing Labor Contractors [Repealed]
HISTORY

1. Repealer of Article 4 (Section 11951) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see original Title 8.
Article 5. Controversies and Requests for Certification That No Controversy Exists, Submitted Under Section 1647 of the Labor Code As to Employment Agencies [Repealed]
HISTORY

1. Repealer of Article 5 (Sections 11975 through 11984) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see Registers 54, No. 11, and 59, No. 2.
Article 1. General Rules and Regulations for Artists' Managers
§12000. Application.
Note     •     History

Application for the original license shall be made upon the form prescribed by the Labor Commissioner and shall contain the following information:
(a) The proposed business name of the talent agency, which may not be identical or similar to that of another licensed talent agency.
(b) The proposed places of business and the main office address of the talent agency in California, which address shall also be its mailing address for purposes of notice required by these regulations and provisions of the Labor Code or any other applicable statute.
(c) If applicant is not a corporation, names and addresses of all persons who are financially interested either as partners, associates, profit sharers, or employees or other persons receiving as compensation a share of the net profits from the operation of the talent agency; said application shall also show the share of said net profit each person is to receive.
(d) If the applicant is a corporation, the following information must be shown: name, address and title of the persons acting as executive officers of the corporation who have managing responsibility in California.
(e) If applicant is not a corporation, questions must be answered as to each person or profit sharer listed in the application as having a financial interest in or the right to share in the net profits of the talent agency (1) regarding his business or occupation for the preceding five (5) years; (2) whether or not such person or profit sharer has ever been associated in any capacity in the operation or business of a talent agency; (3) whether or not such person has had a talent agency license or any license or permit issued by any agency of the State of California revoked, suspended, or refused, or any disciplinary action taken with respect to any such license or permit; (4) whether or not such person has been convicted of a crime except for minor traffic violations.
(f) In the case of an application by a corporation, the foregoing information must be submitted by the executive officers acting in a managerial capacity for or on behalf of the corporation within the State of California.
(g) Application, if by an individual, must be signed, giving full name; if by partnership, must be signed by all partners; if by a corporation, must be signed by an officer of the corporation, affixing the seal of the corporation thereto.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.6, Labor Code.
HISTORY

1. Renumbering of former Article 6 to Article 1, repealer of former Section 12000, and renumbering and amendment of former Section 12000.1 to Section 12000 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.1. Required Documents.
Note     •     History

The following documents, in addition to those required by Labor Code Section 1700.6, must be filed with the application for license:
(a) Surety bond as required by Labor Code Section 1700.15, issued by a corporate surety company authorized to write surety bonds in California, and on the form prescribed by the Labor Commissioner. The name of the talent agency and principal on the bond must correspond to the name of the talent agency and principal on the application.
(b) Contract forms in triplicate which are proposed to be used in the conduct of the business of the talent agency in accordance with the requirements of Labor Code Section 1700.23. If any of said proposed contract forms is a standard form of union contract previously approved by, and on file with the Labor Commissioner, that form need not be submitted by the applicant if it is identified on the application.
(c) Fee schedules in triplicate in the form required by Labor Code Section 1700.24, and California Code of Regulations, Title 8, Section 12003.4.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 1700.6, 1700.15, 1700.23 and 1700.24, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.1 to Section 12000, and renumbering and amendment of former Section 12000.2 to Section 12000.1 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.2. Application and Documents in Proper Form.
Note     •     History

If the application and/or the required documents are not in proper form or contain any provisions contrary to law when submitted and are not corrected and resubmitted in proper form within 30 days after written notice from the Labor Commissioner, the license applied for will be denied without prejudice to either the submission of a new application or the required documents in proper form.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.6, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.2 to Section 12000.1, and renumbering of former Section 12000.3 to Section 12000.2 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.3. Renewal Applications.
Note     •     History

Renewal applications shall be filed with the Labor Commissioner by each licensee at least 30 days before the commencement of the new license year. If mailed, the postmark will be considered the date of filing. If the renewal application is not filed on or before the expiration date of the license as set forth in Labor Code Section 1700.10, the license expires and cannot be renewed. Such licensee, having failed to renew his, her, its license, must submit a new application and comply with the provisions of Labor Code Section 1700.12 in the same manner as a new applicant.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.10, Labor Code.
HISTORY

1. Renumbering of former Section 12000.3 to Section 12000.2, and renumbering and amendment of former Section 12000.4 to Section 12000.3 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.4. Fees for License.
Note     •     History

The license fee, together with the filing fee as required by Labor Code Section 1700.12, shall be submitted in the form of cashier's check, certified check, or money order and must accompany the application for a license or for a renewal thereof.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.12, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.4 to Section 12000.3, and renumbering and amendment of former Section 12000.5 to Section 12000.4 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.5. Transfer of License.
Note     •     History

Consent for the transfer of a license, as required by Labor Code Section 1700.20, shall be given only after the filing of a transfer application executed by the licensee and the proposed transferee in the form prescribed by the Labor Commissioner, which must be accompanied by the required filing fee, a surety bond as required in the case of a new application, together with the information required by Labor Code Section 1700.6(d) and California Code of Regulations, Title 8, Section 12000(e) regarding the proposed transferee. The proposed transferee must also submit, for approval or certification, any contract forms, or fee schedules in their proposed new form should changes in substance from previously approved or certified forms be intended.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 1700.6, 1700.13 and 1700.20, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.5 to Section 12000.4, and renumbering and amendment of former Section 12000.7 to Section 12000.5 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.6. Transfer of Interest in the Business or Right to Participate in Profits.
Note     •     History

Before the issuance of written consent for the transfer of interest in the talent agency or in the right to participate in the profits as required by Labor Code Section 1700.30, notification shall be made to the Labor Commissioner in writing within 10 days of the transfer. The Labor Commissioner may require, pursuant to his or her discretion, that the person or persons to whom such interest in the business of the talent agency or right to share in the profits thereof is to be sold, transferred or given, complete the transfer application required by California Code of Regulations, Title 8, Section 12000.5 and supply the information required by Labor Code Section 1700.6(d) and California Code of Regulations, Title 8, Section 12000(e).
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 1700.6, 1700.13, 1700.20 and 1700.30, Labor Code
HISTORY

1. Repealer of former Section 12000.6, and renumbering and amendment of former Section 12000.8 to Section 12000.6 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Registers 84, No. 11 and 70, No. 8.
§12000.7. Change in Location of Main or Branch Office.
Note     •     History

A talent agency shall notify the Labor Commissioner of a proposed change of address of its main or branch office at least 20 days before such change.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 1700.6, 1700.13, 1700.20 and 1700.30, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.7 to Section 12000.5, and renumbering and amendment of former Section 12000.9 to Section 12000.7 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12000.8. Transfer of Interest in the Business or Right to Participate in Profits. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 1700.6, 1700.13, 1700.20 and 1700.30, Labor Code
HISTORY

1. Renumbering and amendment of former Section 12000.8 to Section 12000.6 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12000.9. Change in Location of Main or Branch Office. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.6, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 12000.9 to Section 12000.7 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12001. Form of Talent Agency Contracts--General Provisions.
Note     •     History

Any contract in writing to be entered into between a talent agency and an artist wherein the talent agency agrees to act or function as such for, or on behalf of the artist, shall contain in words or substance in addition to any other provisions set forth therein, each of the following provisions:
(a) A provision stating the term of employment of the talent agency by the artist or a blank space for the insertion of said term.
(b) A provision containing a blank space for the insertion of the compensation or rate of compensation to be paid by the artist to the talent agency which compensation shall not exceed the maximum compensation or maximum rate of compensation set forth in the schedule of fees filed with the Labor Commissioner by the talent agency. Said talent agency contract may provide for the payment of compensation after the termination thereof with respect to any employment contracts entered into or negotiated for or to any employment accepted by the artist during the term of the talent agency contract, or any extensions, options or renewals of said employment contracts or employment.
To be entitled to the payment of compensation after termination of the contract between the artist and the talent agency, the talent agency shall be obligated to serve the artist and perform obligations with respect to any employment contract or to extensions or renewals of said employment contract or to any employment requiring the services of the artist on which such compensation is based.
(c) A provision that the talent agency may advise, counsel or direct the artist in the development or advancement of his professional career.
(d) A provision that the talent agency shall, subject to the availability of the artist, use all reasonable efforts to procure employment for the artist in the field or fields of endeavor specified in the contract in which the talent agency is representing the artist.
(e) A provision that, in the event of the failure of the artist to obtain employment or a bona fide offer therefor from a responsible employer, in the field or fields of endeavor specified in the contract in which the talent agency is representing the artist, for a period of time in excess of four consecutive months, such failure shall be deemed cause for the termination of the contract by either party; provided, however, that the artist shall at all times during such period of four consecutive months be ready, willing, able and available to accept employment and to render the services required in connection therewith. Notices of intention of either party to such a contract to terminate same must be given in writing to the other party to such a contract directed to the last known address of said party. In the event the artist accepts employment prior to any written notice of termination, said right of termination is deemed waived as to all past periods of unemployment but not as to future four consecutive months of employment.
(f) A provision that in all cases of controversy between a talent agency and an artist arising under the Labor Code, or under these Rules and Regulations, relating to the terms of the contract, the parties involved therein shall refer the matters in dispute to the Labor Commissioner or one of his duly authorized agents to be determined, as provided in Section 1700.44 of the Labor Code. However, such a provision need not be inserted in contracts governed by the provisions of Section 1700.45 of the Labor Code.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12001.1. Copy of Contract to Artist.
Note     •     History

The talent agency shall deliver to the artist a copy of the contract required by California Code of Regulations, Title 8, Section 12001 which has been executed by the talent agency and the artist.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12002. Oral Contracts.
Note     •     History

A talent agency shall be entitled to recover a fee, commission or compensation under an oral contract between a talent agency and an artist as long as the particular employment for which such fee, commission or compensation is sought to be charged shall have been procured directly through the efforts or services of such talent agency and shall have been confirmed in writing within 72 hours thereafter. Said confirmation may be denied within a reasonable time by the other party. However, the fact that no written confirmation was ever sent shall not be, in and of itself, sufficient to invalidate the oral contract.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003. Form of Contracts Must Be Approved.
Note     •     History

Approval of the form of contract as required by Labor Code Section 1700.23 will be indicated by an endorsement thereon by the Labor Commissioner which must be retained by the talent agency, or by a letter from the Labor Commissioner that the contract adopted by the talent agency has been endorsed by the Labor Commissioner.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.1. Required Statements on Contract Forms Indicating Approval of Labor Commissioner.
Note     •     History

After approval of the form of contract by the Labor Commissioner, the same may be legibly reproduced, which reproduction must bear thereon the following statement: 

“THIS TALENT AGENCY IS LICENSED BY THE LABOR
COMMISSIONER OF THE STATE OF CALIFORNIA
The form of this contract has been approved by the State Labor Commissioner on the ____ day of ________ 19____.”
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.2. Approval of the Labor Commissioner for Reproduction of Approved Contract Forms.
Note     •     History

No form of contract which incorporates substantial changes in the form of contract previously approved shall be reproduced again unless the same shall be submitted to the Labor Commissioner for approval and shall not be reproduced again prior to the granting of approval and written consent by the Labor Commissioner.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.3. Modifications of Contract Forms Which Do Not Require Approval of the Labor Commissioner.
Note     •     History

Modifications of contract forms previously approved by the Labor Commissioner which do not substantially change the substance and which, therefore, do not require further approval by the Labor Commissioner pursuant to California Code of Regulations, Title 8, Section 12003.2 include, but are not limited to the following:
1. A provision for the commencement of the term of the contract at some specified date in the future, which date may be fixed by the occurrence of an event or contingency.
2. The deletion of certain fields of endeavor, such as motion pictures, television, etc., from the scope of the talent agency's representation, or a designation of specific engagements.
3. A reduction in the compensation to be paid by the artist to the talent agency.
4. Any waiver by the talent agency of commission or compensation to be received from the artist.
5. A reduction in the four month termination period required by California Code of Regulations, Title 8, Section 12001(e).
6. Any provision for additional or special services, facilities or benefits to be rendered by the talent agency on behalf of the artist.
7. Any other modification which operates to the advantage of the artist.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.4. Fee Schedule.
Note     •     History

Fee schedules posted, as required by Labor Code Section 1700.24, shall be printed or lettered in a size no less than Twelve-Point Cheltenham Roman Type or its equivalent. The printing or lettering shall be in a legible style and there shall be adequate separation between the various classifications. Each fee schedule, when submitted to the Labor Commissioner, must have a clear space of at least 2 1/2 inches at the bottom to permit certification.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.24, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.5. Contents--Fee Schedule.
Note     •     History

(a) Each fee schedule shall be headed by the words, SCHEDULE OF FEES.
(b) Additionally, in each fee schedule the following paragraphs shall appear at the end of said fee schedule:
1. “If any controversy arises between the parties, including one as to liability for the payment of fees, the parties involved shall refer the matter in dispute to the Labor Commissioner for hearing and determination as provided in Labor Code Section 1700.44, unless such controversy can be handled in accordance with the provisions of Labor Code Section 1700.45.”
2. “In the event that a talent agency shall collect from an artist a fee or expenses for obtaining employment for the artist, and the artist shall fail to procure such employment, or the artist shall fail to be paid for such employment, such talent agency shall, upon demand therefor, repay to the artist the fee and expenses so collected. Unless repayment thereof is made within forty-eight (48) hours after demand therefor, the talent agency shall pay to the artist an additional sum equal to the amount of the fee.” (Section 1700.40, California Labor Code).
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.24, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12003.6. Regulations Do Not Affect Prior Contracts.
Note     •     History

These rules and regulations shall not apply to contracts heretofore entered into between talent agencies and artists, if the same have been approved by the Labor Commissioner and said contracts do not contain any provisions contrary to law.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12004. Termination of Contract.
Note     •     History

Any incapacity which shall prevent a talent agency from performing the services to be rendered by such talent agency to an artist for a period of three consecutive months or the failure of the talent agency to maintain a regular office for the transaction of business in the State of California for a period of one month shall be sufficient grounds for cancellation or termination of the contract by the artist.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.23, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12005. Revocation or Suspension of License.
Note     •     History

The failure of any talent agency to comply with these Rules and Regulations or with any order made by the Labor Commissioner in pursuance thereof shall be cause for the suspension or revocation of the license of such talent agency pursuant to Labor Code Section 1700.21.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.21, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12006. Amendment or Revision of Rules and Regulations. [Repealed]
History

HISTORY

1. Repealer filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
Article 2. Controversies Submitted Under Section 1700.44, Labor Code
§12022. Filing of Application for Hearing to Determine Controversy.
Note     •     History

Proceedings shall be commenced by filing at the office of the Labor Commissioner, Licensing Division, P.O. Box 420603, San Francisco, CA 94142-0603, a petition to determine controversy between the artist and talent agency, which shall set forth the claim or demand of the petitioner and shall be signed by the petitioner or a person duly authorized to act for him and shall set forth:
(a) A statement as to the nature of the controversy, including submission of such pertinent information as is within the knowledge of the petitioner.
(b) The claim or demand of the petitioner.
(c) A copy of any contract pertaining to the controversy.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Repealer and new Article 7 (Sections 12022, 12022.1, 12023, 12024, 12024.1, 12025, 12025.1, 12026-12033) filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8). For prior history, see Register 16, No. 4.
2. Renumbering of former Article 7 to Article 2, and amendment of Section 12022 filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11. 
3. Change without regulatory effect amending first paragraph filed 6-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
§12022.1. Form of Petition.
Note     •     History

The following form represents the minimum requirements for Petition to Determine Controversy.

	NAME OF REPRESENTATIVE
	or of PROPRIA PERSONA	
	Street Address	
	City and State	
	Telephone Number	
	Representative for Petitioner	
	or
	In Propria Persona	

View Graphic
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12023. Requirements As to Documents for Filing.
Note     •     History

All pleadings, petitions and papers, before being filed or served, shall be printed or written on white paper of standard quality not less than 13-pound weight, 8 1/2 by 11 inches in size with numbered lines, connected at the top and paged at the bottom, and shall be written or printed upon only one side of the paper. All copies served shall be true and legible copies of the original. The office address and telephone number of the representative appearing for a party filing any petition, answer or notice, or the office or residence address and telephone number of a party appearing in his own behalf must be endorsed upon such petition, answer or notice, in the upper left hand corner of the first page.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12024. Service of Copy of Petition on Other Party to the Controversy.
Note     •     History

An exact copy of the petition to determine controversy shall be served upon the opposing party after filing of the original petition, and declaration of service thereof shall be filed with the Labor Commissioner within 10 days of the date service is made. Service of the petition shall be made in the manner prescribed by the Code of Civil Procedure for service of summons in a civil action.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12024.1. Dismissal of Petition.
Note     •     History

No petition to determine controversy heretofore or hereafter commenced shall be further prosecuted, and no further proceedings shall be had therein, and all petitions to determine controversies heretofore or hereafter commenced must be dismissed by the Labor Commissioner on his own motion, or on the motion of any party interested therein, whether named in the petition as party or not, unless petition be served and return thereon made within one year after the filing of said petition. But all such petitions may be prosecuted if general appearance has been made in said proceedings by the respondent within said one year in the same manner as if said petition had been served; provided that no dismissal shall be had under this section as to any respondent because of the failure to serve the petition on him during his absence from the State, or while he has secreted himself within the State to prevent the service of said petition on him.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12025. Answer to Petition.
Note     •     History

Written notice to the respondent, requiring him to answer said petition within 20 days from service thereof, shall be served upon the respondent at the time of service of said petition to determine controversy.
Within 20 days from, and after service of the petition to determine controversy, the respondent in said proceeding shall serve and file an answer thereto, setting forth the defense and any claims of said respondent. Said answer shall be signed by the respondent or a person duly authorized to act for said respondent.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12025.1. Forms for Notice to Answer.
Note     •     History

Notice to Answer as set forth in Section 12025 above, shall be in the following form:
TO THE ABOVE NAMED                                             , respondent.

YOU ARE DIRECTED to file at the office of the State Labor Commissioner,	,
                                     insert address
a written pleading in response to the Petition to Determine Controversy within 20 days after the service on you of this notice. You are notified that unless you so file a written responsive pleading, the petitioner may apply to the Labor Commissioner for any relief demanded in the petition.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12026. Setting and Notice of Hearing.
Note     •     History

In a proceeding for the determination of a controversy, either party, after service of petition and filing of the answer, or, if no answer has been filed after the 20 day period set forth in California Code of Regulations, Title 8, Section 12025, may file with the Labor Commissioner a Request for Setting of Hearing; said request for hearing shall include a certificate of service by mail on the opposing party. Thereafter, the Labor Commissioner shall give notice of the time and place of hearing to each of the parties, using first-class mail.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12027. Right to Subpoena.
Note     •     History

(a) Subpoena. Upon request of either party to the controversy, the Labor Commissioner may issue a subpoena for the attendance of witnesses before the Labor Commissioner at the time and place of the hearing of the controversy. Said subpoena shall be served in the manner provided for serving subpoenas in civil actions.
(b) Subpoena Duces Tecum. Upon request of either party to the controversy, accompanied by a declaration showing good cause for the production thereof and showing the relevance thereof, and upon the determination of the Labor Commissioner, he or she may issue a subpoena duces tecum requiring the production of books, documents or other things under the control of the party subpoenaed, which the party is bound to produce at the time and place of the hearing. Said subpoena duces tecum shall be served in the manner provided for serving subpoenas in civil actions.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Sections 92 and 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12028. Depositions.
Note     •     History

On application of a party to the controversy, the Labor Commissioner may order the deposition of a witness to be taken for use as evidence, and not for discovery, if the witness cannot be compelled to attend the hearing or if such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally at the hearing, to allow the deposition to be taken. The deposition shall be taken in the manner prescribed by law for the taking of depositions in civil actions.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12029. Proceedings to Be Had Under Oath.
Note     •     History

All testimony adduced at the hearing of the controversy shall be under oath.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12030. Proceedings May Be Reported.
Note     •     History

Any proceedings held before the Labor Commissioner may be reported. The person desiring the reporting shall bear the expense thereof, and if the testimony is transcribed, a copy of this transcript shall be furnished without cost to the Labor Commissioner.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12031. Conduct of Hearing.
Note     •     History

The hearing may be reported or phonographically recorded. The parties to the controversy are entitled to be heard, to present evidence and to cross-examine witnesses appearing at the hearing, but the Labor Commissioner is not bound by the rules of evidence or judicial procedure.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. New NOTE filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12032. Decision of Labor Commissioner.
Note     •     History

The decision of the Labor Commissioner shall be in writing and shall be served upon the parties to the controversy by first-class mail. Either party to the controversy, at the commencement of the hearing, may request that findings of fact be made by the Labor Commissioner, but the making of such findings of fact shall be discretionary with the Labor Commissioner.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11.
§12033. Custody of Papers Filed with the Labor Commissioner.
Note     •     History

All papers on file in the office of the Labor Commissioner shall remain in his or her custody, and no paper on file therein shall be taken from the Labor Commissioner's office, unless the same is subpoenaed in an action pending before a court of competent jurisdiction; except that documents introduced by the parties into evidence may be withdrawn upon stipulation of the parties or by their respective representatives.
NOTE

Authority cited: Section 1700.29, Labor Code. Reference: Section 1700.44, Labor Code.
HISTORY

1. Amendment filed 7-20-89; operative 8-19-89 (Register 89, No. 30). For prior history, see Register 84, No. 11. 
Subchapter 4. Rules and Regulations Governing Nonprofit Organizations Exempt from Licensing As Employment Agencies
HISTORY

1. Repealer of Sections 13001 through 13008 filed 2-18-70; effective thirtieth day thereafter (Register 70, No. 8).
Subchapter 5. Registration of Persons Who Unload Farm Products
Article 1. Registration of Unloaders
§13200. Registration of Unloaders.
Note     •     History

Unloaders of farm produce who unload in markets in which five or more dealers operate shall register in person at the nearest office of the Labor Commissioner. Unloaders shall present the following at time of registration:
(a) Social Security Card
(b) Union Card, if a member
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56891, Food and Agricultural Code.
HISTORY

1. New Sections 13200-13236 filed 9-22-47 as an emergency (Register 10, No.1).
2. Amendment of NOTE filed 3-27-87: effective thirtieth day thereafter (Register 87, No. 14).
§13201. Contents of Registration.
Note     •     History

Registration shall show:
(a) Name and address of registrant.
(b) Social Security number.
(c) Union affiliation, if any.
(d) Age.
(e) Height.
(f) Weight.
(g) Color hair.
(h) Color eyes.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56891, Food and Agricultural Code.
HISTORY

. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13202. Period of Registration.
Note     •     History

Registration shall be valid for a period of 12 months.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56891, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13203. Change of Address.
Note     •     History

Registrants shall report any change of address in person to the nearest office of the Labor Commissioner within 10 days of such change.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56891, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
Article 2. Registration of Producers
§13220. Registration of Producers.
Note     •     History

Producers who transport and unload their own farm products, in markets in which five or more dealers operate, shall register in person at the nearest office of the Labor Commissioner.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56891, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13221. Contents of Registration.
Note     •     History

Registration shall show:
(a) Name and address of producer.
(b) Age.
(c) Height.
(d) Weight.
(e) Color hair.
(f) Color eyes.
(g) Vehicle or vehicles used by producer to transport his (her) produce to market.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13222. Period of Registration.
Note     •     History

Registration shall be valid for a period of 12 months.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13223. Change of Address.
Note     •     History

Registrant shall report any change of address in person to the nearest office of the Labor Commissioner within 10 days of such change.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13224. Change of Vehicle or License Number. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
Article 3. Registration of Producer's Unloaders
§13230. Registration of Producer's Unloaders.
Note     •     History

Any registered producer who desires to use the services of his (her) father, mother, son(s), daughter(s) or regular employee(s) in unloading his (her) produce shall register the following information with respect to each such person:
(a) Name
(b) Relationship to producer--i.e., father, mother, son, daughter or regular employee.
(c) If an employee, capacity in which employed.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13231. Registration in Person.
Note     •     History

Each person so registered by a producer shall complete his (her) registration in person. 
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13232. Contents of Registration.
Note     •     History

Registration shall show:
(a) Name and address.
(b) Age.
(c) Height.
(d) Weight.
(e) Color hair.
(f) Color eyes.
(g) Relationship to producer--i.e., father, mother, son, daughter, or regular employee.
(h) If an employee:
(1) Capacity in which employed; and
(2) Date employment commenced.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

. 1.Amendment of subsections (a) and (h) and repealer of subsection (i) filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13233. Period of Registration.
Note     •     History

Registration shall be valid for a period of 12 months.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14)
§13234. Registration Void, When.
Note     •     History

Registration of any employee shall become void upon termination of his (her) employment with the producer to whom he (she) is registered, and shall be surrendered to the Labor Commissioner.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. Amendment filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13235. Change of Address.
Note     •     History

Registrant shall report any change of address in person to the nearest office of the Labor Commissioner within 10 days of such change.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13236. Change of Vehicle or License Number.
Note     •     History

Registrant shall report any change of vehicle or vehicle license number to the nearest office of the Labor Commissioner within 10 days of such change.
NOTE

Authority cited: section 56832, Food and Agricultural Code. Reference: Section 56892, Food and Agricultural Code.
HISTORY

1. New NOTE filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
Subchapter 5.5. Unloading of Farm Products in the Markets of San Mateo, Alameda, and San Francisco
Article 1. Unloading of Farm Products in the Markets of San Mateo, Alameda, and San Francisco
§13260. Commissioner.
Note     •     History

Whenever used herein, “Commissioner” shall be defined as stated in California Food and Agricultural Code section 57004.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57004, Food and Agricultural Code.
HISTORY

1. Renumbering of former Chapter 5 (Article 20, Sections 11570-11590, Exhibits A and B) to Chapter 6 (Group 5.5, Article 1, Sections 13260-13280, Exhibits A and B) filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11). For prior history, see Registers 82, No. 13; 80, No. 1; 79, No. 43; 79, No. 29; 79, No. 28; 79, No. 14; 57, No. 9; 18, No. 3 and 13, No. 8.
2. Repealer of former Section 13260, and renumbering and amendment of Section 13262 to Section 13260 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13261. Drivers Unloading.
Note     •     History

Drivers of a vehicle transporting produce to a particular market subject to these regulations, and co-drivers of the same vehicle accompanying such driver, where the distance of transport to market involves out-of-state travel, or travel involving such distance as would ordinarily require two drivers, shall not be prohibited from unloading said trucks and shall be exempt from the registration provisions of these regulations; and such drivers shall not be subject to charge or fee for unloading their truck nor shall such drivers be required to employ any person for unloading said vehicle.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57018, Food and Agricultural Code.
HISTORY

1. Repealer of former Section 13261, and renumbering and amendment of Section 13266 to Section 13261 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13262. Limitation of Registrations.
Note     •     History

Upon application, the Commissioner shall issue registrations up to the time at which the produce dealers of a particular market subject to these regulations shall certify in writing that no further unloaders are needed, at which time, the Commissioner may after investigation (which shall include consultation with interested labor and employer organizations) cease to issue further registrations, all in the interest of the orderly marketing of farm products, and such a cessation of issuance shall continue until such time as the particular market, subject to these regulations, certifies in writing, or until truckers or unloaders file a petition certifying, that there is again need for registered unloaders; and after investigation, the Commissioner determines that there is such a need.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57016, Food and Agricultural Code.
HISTORY

1. Renumbering and amendment of former Section 13262 to Section 13260, and renumbering and amendment of Section 13267 to Section 13262 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13263. Receipt Required.
Note     •     History

(a) The produce dealer shall have on hand at his place of business a responsible person to distribute a form receipt to drivers for each drop and to execute a receipt for any farm product which is unloaded at his place of business during posted receiving hours.
(b) A registered unloader who is paid an unloading fee is required to sign A form receipt which shall include at least the following information:
(1) name of the market;
(2) date;
(3) name of the hauler;
(4) quantity, unit price and amount of charges for each type of farm product unload;
(5) number of pallets, unit price and amount of charges for pallets unloaded;
(6) miscellaneous charges;
(7) total charges for load;
(8) the following acknowledgement, “undersigned registered unloader acknowledges receipt of above charges”; and
(9) badge number and signature of registered unloader.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57033, Food and Agricultural Code
HISTORY

1. Repealer of former Section 13263, and renumbering and amendment of Section 13270 to Section 13263 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13264. Dealers' Association.
Note     •     History

Produce dealers who operate in a market may organize an association to facilitate the carrying out of responsibilities under these regulations.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57041, Food and Agricultural Code.
HISTORY

1. Repealer of former Section 13264, and renumbering and amendment of Section 13271 to Section 13264 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13265. Registration, Revocation or Denial.
Note     •     History

The Commissioner may deny or revoke a registration issued to any unloader on the following grounds for the following time periods:
(a) conviction of any criminal offense or adverse judgment for activity involving the market shall be grounds for revocation or denial for a period of three (3) years;
(b) conviction of any felony shall be grounds for revocation or denial for a period of two (2) years;
(c) Failure of a registered unloader to report such conviction or adverse judgments shall be grounds for an additional denial or revocation period of two (2) years.
NOTE

Authority cited: section 57016, Food and Agricultural Code. Reference: Section 57041, Food and Agricultural Code.
HISTORY

1. Repealer of former Section 13265, and renumbering and amendment of Section 13276 to Section 13265 filed 3-27-87; effective thirtieth day thereafter (Register 87, No.14).
§13266. Inspection.
Note     •     History

All books and records of produce dealers shall be open for investigation and audit by duly authorized agents and representatives of the Department of Industrial Relations and the Division of Labor Standards Enforcement during normal business hours.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57035, Food and Agricultural Code.
HISTORY

1. Renumbering and amendment of former Section 13266 to Section 13261, and renumbering and amendment of Section 13278 to Section 13266 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13267. Fee.
Note     •     History

The fee is set by the Director of the Department of Industrial Relations pursuant to Section 57042 of the Food and Agricultural Code at $400; and the fee is payable by produce dealers and shall be for the exclusive use in administering the provisions of Chapter 8.5 of Division 20 of the Food and Agricultural Code.
(a) Fees shall be due and payable on or before January 1 of each year, to the Fiscal Officer, Division of Labor Standards Enforcement, P.O. Box 420603, San Francisco, California 94142-0603.
(b) Checks should be made payable as follows: PRODUCE UNLOADING FUND.
NOTE

Authority cited: Section 57016, Food and Agricultural Code. Reference: Section 57042, Food and Agricultural Code.
HISTORY

. 1.Renumbering and amendment of former Section 13267 to Section 13262, and renumbering and amendment of Section 13280 to Section 13267 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
2. Change without regulatory effect amending section filed 6-3-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 23).
§13268. Dealers' Provision. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13269. Timely Unloading. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13270. Receipt Required. [Renumbered]
History

HISTORY

1. Renumbering and amendment of Section 13270 to Section 13263 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13271. Dealers' Association. [Renumbered]
History

HISTORY

1. Renumbering and amendment of Section 13271 to Section 13264 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13272. Off-Hours Receiving. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13273. Director's Review. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13274. Scale of Charges. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13275. Complaint Investigation. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13276. Registration, Revocation or Denial. [Renumbered]
History

HISTORY

1. Renumbering and amendment of section 13276 to Section 13265 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13277. Revocation Due Process. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13278. Inspection. [Renumbered]
History

HISTORY

1. Renumbering and amendment of Section 13278 to Section 13266 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14).
§13279. Violation Is Misdemeanor. [Repealed]
History

HISTORY

1. Repealer filed 3-27-87; effective thirtieth day thereafter (Register 87, No.14).
§13280. Fee. [Renumbered]
History

HISTORY

1. Renumbering and amendment of Section 13280 to Section 13267 filed 3-27-87; effective thirtieth day thereafter (Register 87, No. 14). 
Subchapter 6. Security for Wages
Article 1. Logging and Sawmill Industry
§13300. Amount of Bond to Be Deposited with Labor Commissioner.
Note     •     History

The bond to be deposited with the Labor Commissioner pursuant to the provisions of Labor Code Section 270.5(a)(2) shall be in an amount equal to the highest contemplated payroll of the employer for any period for which a single payment of wages is made, or for four calendar weeks, whichever is the longer.
NOTE

Authority cited: Sections 55 and 95, Labor Code. Reference: Section 270.5, Labor Code.
HISTORY

1. New Article 1 (Sections 13300 through 13302) filed 4-14-58; effective thirtieth day thereafter (Register 58, No. 7).
2. Change without regulatory effect of NOTE (Register 86, No. 26).
3. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations filed 8-18-88 (Register 88, No. 35).
§13301. Application for Determination of Amount.
Note     •     History

Every employer seeking determination of the amount of the bond required by Labor Code Section 270.5(a)(2) shall file a written application with the Labor Commissioner under oath upon a form prescribed by the Labor Commissioner, setting forth his (her) contemplated payroll as specified in Section 13300.
NOTE

Authority cited: Sections 55 and 95, Labor Code. Reference: Section 270.5, Labor Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 26).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations filed 8-18-88 (Register 88, No. 35).
§13302. Period for Which Determination Effective.
Note     •     History

Any determination of the amount of the bond made by the Labor Commissioner shall remain effective only so long as no payroll of the employer exceeds the amount of the highest contemplated payroll reported in the application made pursuant to Section 13301, and when any payroll exceeds such amount, the determination shall become void two weeks thereafter unless a new application is made by the employer during said period. This section shall not operate to affect the validity of or liability under any bond then outstanding.
NOTE

Authority cited: Sections 55 and 95, Labor Code. Reference: Section 270.5, Labor Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 26).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations filed 8-18-88 (Register 88, No. 35).
Subchapter 6.5. Hearings on Actions to Recover Wages, Penalties, and Other Demands for Compensation and on Claims from Holders of Dishonored Payroll Checks or Drafts
Article 1. Rules of Practice and Procedure
§13500. Definition of “DIVISION.”
Note     •     History

As used herein, the term “DIVISION” hall mean the DIVISION OF LABOR STANDARDS ENFORCEMENT of the Department of Industrial Relations of the State of California, formerly called DIVISION OF LABOR LAW ENFORCEMENT.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 82, Labor Code.
HISTORY

1. New Group 6.5 (Article 1, Sections 13500-13510, not consecutive) filed 1-4-77 as an emergency; effective upon filing (Register 77, No. 2).
2. Certificate of Compliance filed 5-2-77 (Register 77, No. 19).
3. Amendment of NOTE filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13501. Filing of Complaint.
Note     •     History

An employee complaint or claim for wages, penalties or other demand for compensation properly before the DIVISION or the Labor Commissioner, including Orders of the Industrial Welfare Commission, under Labor Code Section 98(a) shall be initiated by the filing of a complaint on the form prescribed herein in any District Office of the DIVISION. If the District Office is not the proper office serving the county in which compensation claimed was earned or in which any of the acts complained of was performed, the complaint hall be referred to the proper office of the DIVISION serving said county, for investigation and hearing.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. New NOTE filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13501.5. Form of Complaint.
Note     •     History

The complaint contemplated by Labor Code Section 98 and filed with the DIVISION shall be in writing and substantially in the following form:

View Graphic
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13501.6. Form of Complaint on Claim from Holder of Dishonored Payroll Check or Draft.
Note     •     History

A complaint on a claim from a holder of a dishonored payroll check or draft, contemplated by Labor Code Section 98 and filed with the DIVISION shall be in writing and substantially in the following form:

View Graphic
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13501.7. Form of Answer.
Note     •     History

The answer which may be filed by the defendant or defendants pursuant to Labor Code Section 98(c) shall be in writing and substantially in the following form:

View Graphic
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13502. Conduct of Hearings.
Note     •     History

Hearings by the Labor Commissioner under Sections 98 et seq., of the Labor Code shall be presided over by a Deputy Labor Commissioner. The hearing shall be reported or phonographically recorded. Either party may request a copy of the transcript or recording, and shall bear all costs incidental to the preparation of same. If the record of the hearing is transcribed by any party, a copy thereof shall be provided to the Labor Commissioner free of any charge or cost within five (5) days of such transcription. Proceedings need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35). 
§13505. Taking of Evidence.
Note     •     History

Oral evidence shall be taken only on oath or affirmation. Each party shall have the right to call and examine witnesses; to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him (her) to testify; and to rebut the evidence against him (her).
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13506. Deputy Labor Commissioner's Authority.
Note     •     History

In presiding over a hearing conducted hereunder, the Deputy Labor Commissioner shall control the order of presentation of evidence at the hearing, and direct and rule on matters concerning the conduct of the hearing and of the parties appearing. Prior to a hearing, upon the application of any party to the proceedings, the Deputy Labor Commissioner may issue subpoenas to compel the attendance of necessary witnesses and the production of books and documents. In the exercise of his (her) sound discretion, the Deputy Labor Commissioner may limit the number of witnesses subpoenaed either for the purpose of corroboration or establishing a single material fact in issue, or where the party requesting the subpoena has not furnished satisfactory evidence that the witness will be able to give necessary and competent testimony, material to the issues, at the hearing.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13507. Right to Counsel.
Note     •     History

Any party to a proceedings conducted hereunder may, but need not, be represented by counsel.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. New NOTE filed 8-21-87, operative 9-20-87 (Register 87, No. 35).
§13508. Continuances.
Note     •     History

Continuance of hearing ordinarily will not be granted. The Deputy Labor Commissioner, in the exercise of his (her) sound discretion, may grant a continuance of hearing upon a showing of extraordinary circumstances and good cause for continuance by the party requesting same.
NOTE

Authority cited: Section 98.8, Labor Code. Reference: Section 98, Labor Code.
HISTORY

1. Amendment filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13510. Order, Decision or Award. [Repealed]
History

HISTORY

1. Repealer filed 8-21-87; operative 9-20-87 (Register 87, No. 35).
§13520. Definition of “Willful.”
Note     •     History

A willful failure to pay wages within the meaning of Labor Code Section 203 occurs when an employer intentionally fails to pay wages to an employee when those wages are due. However, a good faith dispute that any wages are due will preclude imposition of waiting time penalties under Section 203.
(a) Good Faith Dispute. A “good faith dispute” that any wages are due occurs when an employer presents a defense, based in law or fact which, if successful, would preclude any recover on the part of the employee. The fact that a defense is ultimately unsuccessful will not preclude a finding that a good faith dispute did exist. Defenses presented which, under all the circumstances, are unsupported by any evidence, are unreasonable, or are presented in bad faith, will preclude a finding of a “good faith dispute.”
NOTE

Authority cited: Sections 55 and 98.8, Labor Code. Reference: Section 203, Labor Code.
HISTORY

1. New section filed 7-8-88; operative 8-7-88 (Register 88, No. 29). 
Subchapter 7. Industrial Homework
Article 1. Enforcement of Industrial Homework Act
§13600. Definitions.
Note     •     History

Employee means anyone engaged, suffered, or permitted to do industrial homework. It shall be the presumption that persons working in their homes for remuneration on articles to be delivered to another person not for his (her) personal or his (her) family's use are employees and not independent contractors.
NOTE

Authority cited: Section 2666, Labor Code. Reference: Section 2650, Labor Code.
HISTORY

1. Renumbering of former Chapter 5 (Articles 1.5 and 2, Sections 11008-11024, not consecutive) to Chapter 6 (Articles 1 and 2, Sections 13600-13624, not consecutive) filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11). For prior history, see Register 54, No. 17 and Register 9.
2. Editorial reprinting of Group 7 inadvertently omitted during Register 84, No. 11 printing process (Register 84, No. 23).
3. Amendment filed 5-27-87; operative 6-26-87 (Register 87, No. 24).
§13601. Records.
Note     •     History

(a) Industrial homeworkers shall keep an accurate count of the hours they work daily, and shall record said hours required in the handbook furnished by the Division of Labor Standards Enforcement. The homeworker shall submit regularly to the employer all information regarding hours worked which are required for his (her) records.
(b) The record keeping required of an employer of industrial homeworkers shall include an accurate recording of the hours worked during the pay roll period as reported by each industrial homeworker, and these hours shall be posted to the same record as wages. Industrial homeworkers shall be designated as such on the pay roll records.
NOTE

Authority cited: Section 2666, Labor Code. Reference: Section 2665, Labor Code.
HISTORY

1. Repealer of former Section 13601, and renumbering and amendment of Section 13602 to Section 13601 filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
§13602. Preliminary Information Required by Employer.
Note     •     History

Prior to obtaining an industrial homework license, the employer shall submit an application in accordance with Labor Code Section 2665, to the Division of Labor Standards Enforcement on a form supplied by the Division of Labor Standards Enforcement (see Exhibit A).
(b) Within 30 calendar days of receipt of an application for a license to employ industrial homeworkers the Division of Labor Standards Enforcement shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(c) Within 60 calendar days from the date of filing of a completed application, the Division of Labor Standards Enforcement shall inform the applicant in writing of its decision regarding the application.
NOTE

Authority cited: Section 2666, Labor Code. Reference: Section 2665, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 13602 to Section 13601, and renumbering and amendment of Section 13603 to Section 13602 filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
§13603. Inspections.
Note     •     History

(a) Every employer possessing an industrial homework license shall allow any duly authorized representative of the Division of Labor Standards Enforcement free access to his (her) place of business for the purpose of making inspections of, or excerpts from, all books, reports, contracts, pay rolls, documents or papers relating to the employment of homeworkers; or for the purpose of inspecting any articles sent out for industrial homework or samples thereof; or in order to make time studies of work performed in a factory to determine whether the piece rates paid for industrial homework are sufficient to yield the legal minimum wage.
(b) Industrial homeworkers shall permit entry into their homes by duly authorized representatives of the Division of Labor Standards Enforcement possessing a search warrant as defined in Labor Code Section 2656, for the purpose of making investigations as to the homeworker's compliance with Sections 2651 and 2661 of the State Labor Code; to inspect articles on which industrial homework is being performed; to check homeworker's observance of record keeping requirements; or to make on the homeworker's premises, or elsewhere, such time studies of work performance as may be required to determine compliance with legal wage requirements.
NOTE

Authority cited: Section 2666, Labor Code. Reference: Sections 2651, 2652, 2656, 2661 and 2666, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 13603 to Section 13602, and renumbering and amendment of Section 13604 to Section 13603 filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
§13604. Revocations of Licenses or Permits.
Note     •     History

If, after investigation the Division of Labor Standards Enforcement, believes that an employer possessing an industrial homework license, or an industrial homeworker possessing an industrial homework permit has failed to comply with provisions of the Industrial Homework Act or its rules and regulations, a hearing may be held by the Division of Labor Standards Enforcement to determine whether there has been a violation. Before denying, suspending or revoking any license or permit, the Labor Commissioner shall afford the applicant or holder an opportunity to request a hearing in accordance with Chapter 5 Part I of Division 3 of Title 2 of the Government Code Sections 11500 et. seq. Any such hearing on appeal of a denial of a license or permit or on the proposed suspension or revocation of such license or permit, shall be conducted in accordance with Chapter 5 of Part I of Division 3 of Title 2 of the Government Code (Section 11500 et seq.) and the Labor Commissioner shall have all the powers granted therein. Written notices of such hearing will be sent to the employer or industrial homeworker in question and the license or permit may be revoked upon a finding that there has been such violation.
NOTE

Authority cited: Section 2666, Labor Code. Reference: Sections 2652, 2653, Labor Code.
HISTORY

1. Renumbering and amendment of former Section 13604 to Section 13603, and renumbering and amendment of Section 13606 to Section 13604 filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
§13605. Homework Certificates. [Repealed]
History

HISTORY

1. Repealer filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
§13606. Revocation of Permits or Certificates. [Renumbered]
History

HISTORY

1. Renumbering and amendment of former Section 13606 to Section 13604 filed 5-27-87; operative 6-26-87 (Register 87, No. 24). For prior history, see Register 84, No. 23.
2. Editorial reprinting of HISTORY NOTE No. 1 to correct printing error of prior history to Register 84, No. 23 (Register 87, No. 47).
Article 2. Prohibiting Industrial Homework in the Garment Manufacturing Industry

(Prohibitory Order No. 1 in the Garment Manufacturing Industry)
§13620. Prohibiting Industrial Homework in the Garment Manufacturing Industry.
Note

Industrial homework and the distribution of articles for industrial homework by any employer in the garment manufacturing industry is prohibited.
NOTE

Authority cited: Section 2654, Labor Code. Issuing agency: Industrial Welfare Commission.
§13621. Definitions.

The garment manufacturing industry is defined as follows: All persons engaged in the business of manufacturing garments for wear upon the human body.
For the purpose of this order the term garment manufacturing means and includes every process, either hand or machine, involved in the manufacture of any or all garments for wear upon the human body, whether such process be applied to fabric, textile, fur, leather, or leather substitute, or other material of a similar nature, and also means to prepare, alter, repair, or finish in whole or in part.
Hand knitting is hereby specifically excepted from the operation of this order.
“Employer” means any person who, directly or indirectly or through an employee, agent, independent contractor, or any other person, delivers to another person any materials or articles to be manufactured in a home and thereafter to be returned to him, not for the personal use of himself or of a member of his family.
“Industrial homework” means any manufacture in a home of materials or articles for an employer.
“Industrial homeworker” means any person who does industrial homework.
All outstanding permits to employers and all outstanding certificates to industrial homeworkers in the garment manufacturing industry, as defined above, shall be null and void after September 1, 1941, and no permits shall hereafter be issued to employers for the distribution of articles for industrial homework and no certificates shall hereafter be issued to homeworkers on such articles, except in accordance with the provisions of Sections 11022 and 11023.
§13622. Special Authorization for Aged and Disabled Homeworkers.

(a) Terms of Issuance. If not inconsistent with the purposes of Part 10, Labor Code, employers and homeworkers in the garment manufacturing industry may be granted special homework permits and certificates on condition that the Chief of the Division of Industrial Welfare, after investigation, finds:
(1) That the industrial homeworker was working for an employer as an industrial homeworker in the garment manufacturing industry on or prior to September 1, 1941, and is:
(A) Unable to adjust to factory work because of advanced age; or
(B) Physically or mentally disabled or suffering from an injury and an examination by a physician, designated by the Chief of the Division of Industrial Welfare, reveals that such disability would prevent the worker from adjusting to factory employment; or
(C) Unable to leave home because such worker's services are essential to care for an invalid in the home.
(2) That the industrial homeworker is covered by workmen's compensation insurance;
(3) That the employer maintains a factory in which one or more employees are employed on operations which are similar to the homework operations.
§13623. Conditions of Employment.

(a) Work for One Employer Only. An industrial homeworker shall be permitted to work for one employer only.
(b) Factory Work Prohibited to Homeworker. The industrial homeworker shall not be employed as a factory worker while he or she holds a homework certificate.
(c) Work Distributed Directly to the Homeworker. The employer shall distribute and collect all materials and articles free of charge to the homeworker.
(d) Labels. The employer shall conspicuously affix to each article or material or, if this is impossible, to the package or other container in which such goods are delivered or are to be kept, a label or other mark of identification bearing the employer's name and address, printed or written legibly in English.
(e) Limitation of Work. The maximum amount of work which may be given to any industrial homeworker in any week shall not exceed the average weekly amount produced by workers working legal hours on similar operations in the shop.
(f) Rates Paid to Homeworkers. On any operation, a female or minor homeworker shall be paid a piece-rate sufficient to yield to workers on similar operations in the factory the legally established minimum wage established by the Industrial Welfare Commission.
(g) Employer's Record:
(1) The employer shall keep a record of the name and address of the industrial homeworker, of all articles or materials which such homeworker has manufactured, the date on which articles or materials are issued to the homeworker, a list of articles or materials given out, the kind of work performed on such articles or materials, and the operations to be performed, the piece rates per dozen or per unit paid to the homeworker, the date and amount of finished articles or materials returned, the wages paid for each lot of articles or materials returned, and the total weekly payment made to the homeworker.
Each employer shall, on demand, submit to the Chief of the Division of Industrial Welfare or to her representative a sworn copy of such records, together with such information as the Chief of the Division of Industrial Welfare may in her discretion deem necessary.
(2) Any person who does not deliver articles or materials directly to an industrial homeworker shall keep the name and address of each agent, distributor, or contractor through whom industrial homework is distributed and of all persons from whom he has received materials or articles to be so manufactured.
(h) Homeworker's Record. The homeworker shall keep a record on a form issued by the Division of Industrial Welfare on which the homeworker shall enter the date on which articles or materials are received by the homeworker; a list of all articles or materials received; the kind of work performed on such articles or materials; the piece rates paid per dozen or per unit; the date and amount of finished articles or materials returned; an accurate record of the number of hours worked per day and the total hours worked per week; the total amount received for the work performed during each week; and the date payment was received. All of the above required information shall be certified to by the homeworker. Such records shall be the property of the Division of Industrial Welfare and shall be returned to the division not later than the 10th of the month succeeding the month in which the work was performed; or at any time upon demand by the division.
(i) Revocation of Certificates and Permits. Industrial homework certificates and permits may be revoked or suspended at any time after the holder has been given reasonable notice and an opportunity to be heard, if, upon investigation, the Chief of the Division of Industrial Welfare finds that the industrial homeworker is performing industrial homework contrary to the above conditions or has permitted any person not holding a valid homeworker's certificate to assist him or her in performing industrial homework, or that the employer has not complied with the above regulations or any applicable provision of the Labor Code or the orders or regulations of the Industrial Welfare Division.
§13624. Effect of Invalid Sections.

Every section or part of this order is declared to be separate and independent of every other section or part and if any section or part of this order is declared invalid, said construction shall not invalidate any of the remaining sections or parts of said order, but the same shall remain in full force and effect as if the invalid portion had never been enacted.
(This is Prohibitory Order No. 1 in the Garment Manufacturing Industry. Effective September 1, 1941.)
Subchapter 8. Garment Manufacturers
§13630. Registration of Manufacturers and Contractors.
Note     •     History

All persons, within the meaning of Labor Code Section 2671(a), engaged in “garment manufacturing,” as defined in Labor Code Section 2671(b), must register with the Labor Commissioner as either a “contractor”(defined at Labor Code Section 2671(d)), or a “manufacturer,” according to that person's bona fide business practices. A person's designation on a registration as a “contractor” or “manufacturer” shall not preclude the introduction of evidence in any proceeding before the Labor Commissioner on the actual business practices of such person. 
NOTE

Authority cited: Sections 2671(b) and 2672, Labor Code. Reference: Sections 2671 and 2675, Labor Code.
HISTORY

1. Renumbering of former Chapter 5 (Article 2.5, Sections 11030-11035.4) to Chapter 6 (Group 8, Sections 13630-13654) filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11). For prior history, see Register 81, No. 37.
2. Repealer and new section heading and section and amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13631. Recordkeeping.
Note     •     History

Every employer engaged in the business of garment manufacturing shall keep accurate records as required by Labor Code Sections 226 and 2673, any applicable order of the Industrial Welfare Commission, and section 13659 of this subchapter. These records shall be maintained for a period of no less than four years, unless otherwise specified, at the place of employment or at a central location within the State of California, and shall be made available to the Labor Commissioner, or his or her agents, upon request for inspection and/or copying. Failure to provide these records to the Labor Commissioner within ten days of the date of request, or providing records that have been falsified, shall constitute grounds for revocation of registration or denial of an application for registration. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 226, 1185, 2672, 2673 and 2675, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13632. Advisory Committee.
Note     •     History

The Labor Commissioner shall appoint a 15 member advisory committee on issues related to employment and the enforcement of wage and hour laws in the garment industry, which shall meet, at least semi-annually, alternately in Los Angeles and San Francisco. Members shall serve without compensation or reimbursement for expenses. At each meeting the Committee may authorize distribution of a publication to be prepared by the Division of Labor Standards Enforcement, focusing on industry practices and patterns of violations. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2674.1, Labor Code.
HISTORY

1. Amendment filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13633. Registration of Employee Leasing Companies and Temporary Agencies.
Note     •     History

(a) Every employee leasing company or temporary agency that leases or otherwise provides garment manufacturers or contractors with the services of employees engaged in sewing, cutting, making, processing, repairing, finishing, assembling, or otherwise preparing any garment or article of wearing apparel or accessories designed or intended to be worn by any individual is itself engaged in garment manufacturing, and must register with and obtain a valid registration certificate from the Labor Commissioner as a contractor. 
(b) Every employee leasing company or temporary agency shall provide the Labor Commissioner with written notice whenever it enters into, or terminates, an arrangement to lease or otherwise provide employees engaged in any of the above enumerated garment manufacturing operations to a garment manufacturer or contractor. This notice shall include the name and address of the garment manufacturer or contractor that was or will be a party to the arrangement, the dates from beginning to end that employees were or will be leased or otherwise provided under the arrangement, the address(es) where the employees performed or will perform the garment manufacturing operations, and the number of employees that have been or will be leased or otherwise provided to the garment manufacturer or contractor under the arrangement. This notice shall be mailed to: Division of Labor Standards Enforcement, Licensing & Registration Unit, PO Box 420603, San Francisco, CA 94142. Failure to provide this notice within ten days of the date of entering into or terminating the arrangement will constitute grounds for revocation of registration or denial of an application for registration. 
NOTE

Authority cited: Sections 2671(b) and 2672, Labor Code. Reference: Sections 2671 and 2675, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13634. Requirements for Registration.
Note     •     History

(a) Applicants for registration shall complete the application form provided by the Labor Commissioner entitled, “Application for Registration Garment Manufacturing Industry” [DLSE 810 (REV. 03/02)], which is hereby incorporated by reference. The form includes the following information which the applicant shall certify under penalty of perjury: 
(1) Name and business address of applicant, and the address of each location where employees will be engaged in garment manufacturing; 
(2) Form of business entity; 
(3) Name, social security number, California driver's license number, and residence address of owner, if sole proprietorship; 
(4) Name(s), social security number(s), California driver's license number(s), and residence address(es) of co-owners, if any; 
(5) Fictitious name, if any, under which the business is operated; 
(6) Names, social security number(s), California driver's license number(s), and residence addresses of all partners, if a partnership; 
(7) Names, social security numbers, California driver's license numbers, and residence addresses of all officers and directors, and their respective titles, if a corporation; 
(8) Number of employees, and a copy of the most recently filed quarterly report to the Employment Development Department reflecting the number of employees employed; 
(9) Type of business, and whether the business primarily operates as a garment manufacturer or a garment contractor; 
(10) Proof of current workers' compensation insurance coverage; 
(11) The name(s), address(es), and form(s) of business entities of persons and entities engaged in the business of garment manufacturing with whom the applicant has entered into contracts for the performance of garment manufacturing services during the past three years; 
(12) The applicant's employer tax identification number; 
(13) Name(s), social security number(s), California driver's license number(s), and residence address(es) of all managers and supervisors who directly or indirectly control the wages, hours, or working conditions of the applicant's employees. 
(14) Name(s), social security number(s), California driver's license number(s), and residence addresses of all substantial shareholders, and the percentage of their ownership in the business, if a corporation. For the purpose of this section, the term “substantial shareholder” shall mean any shareholder who owns at least 20% of the total value of all classes of stock, or, if no stock has been issued, who owns at least 20% of the beneficial interests in the corporation. 
(15) Names, social security number(s), California driver's license number(s), and residence addresses of all members, if a limited liability corporation. 
(16) Name and business address of the agent for service of process, if a corporation or limited liability company. 
(17) The amount of gross sales receipts, as defined in section 13635(d), for the 12-month period immediately preceding the filing of the application. 
(18) A list of all assessments of wages due and all penalty citations for violations of provisions of the Fair Labor Standards Act or the California Labor Code that were issued by the United States Department of Labor or the California Department of Industrial Relations within the past three years to the applicant or the applicant's owner(s), partners (if the applicant is a partnership), corporate officers, directors and substantial shareholders (if the applicant is a corporation), members (if the applicant is a limited liability company), or managers and supervisors; the names of the persons and businesses that were cited or assessed; the date and amount of each citation or assessment; the disposition of any appeal on the citation or assessment; and whether or not the citation or assessment has been paid, and if so, the date it was paid. 
(19) A list of all judgments and settlement agreements for unpaid wages that were entered within the past five years against the applicant or the applicant's owner(s), partners (if the applicant is a partnership), corporate officers, directors and substantial shareholders (if the applicant is a corporation), members (if the applicant is a limited liability company), or managers and supervisors; the names of the persons and businesses against whom judgments or settlement agreements for unpaid wages were entered; the date of entry of judgment or the date of execution of the settlement agreement; the court that entered the judgment, the case number, and the amount found due in each judgment or settlement agreement; and whether or not the judgment or settlement agreement has been paid, and if so, the date it was paid. 
(20) Whether the applicant or the applicant's owner(s), partners (if the applicant is a partnership), corporate officers, directors and substantial shareholders (if the applicant is a corporation), members (if the applicant is a limited liability company), or managers and supervisors have had a garment registration certificate revoked or an application for registration denied, and if so, the name and address of the business whose registration or application for registration was revoked or denied, the period of revocation or date of denial, and the reasons for the revocation or denial. 
(21) For any applicant that had an application for registration denied, or a registration revoked or suspended, pursuant to proceedings under section 13646 at any time during the past three years, whether the applicant has had any gross sales receipts, as defined in section 13635(d), at any time during the three years prior to the filing of the application. 
(22) For new applicants, whether the applicant or the applicant's owner(s), partners (if the applicant is a partnership), corporate officers, directors and substantial shareholders (if the applicant is a corporation), members (if the applicant is a limited liability company), managers and supervisors, or immediate family members of any of the above persons have ever previously operated as a garment manufacturer, contractor, or in any other capacity in garment manufacturing, including but not limited to exercising direct or indirect control over garment workers' wages, hours and working conditions, and if so, the name(s) and address(es) of the business(es), dates of operation, garment registration number(s), and dates of registration. 
(b) Every person applying for registration as a manufacturer shall certify in writing that he or she is aware of the wage guarantee provision of Labor Code Section 2673.1, under which every garment manufacturer guarantees payment of his or her proportionate share of any unpaid minimum wages and overtime wages owing to any employees of the contractors with whom the manufacturer contracts, for work performed by the contractor's employees on behalf of the manufacturer. 
(c) The residence addresses, social security numbers, and California driver's license numbers listed in the application for registration pursuant to subsections (a)(3),(4), (6), (7), (13), (14) and (15), above, are for the Labor Commissioner's use for licensing and law enforcement purposes, and are confidential and shall not be disclosed to any person other than an employee of a law enforcement agency, except if required by court order or if necessary for the prosecution, by the Labor Commissioner, of any judicial or administrative proceeding. 
NOTE

Authority cited: Sections 2672 and 2675, Labor Code. Reference: Sections 2673.1, 2675, 2678 and 2684, Labor Code; and Section 6254(f), Government Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13635. Registration and Examination Fees.
Note     •     History

(a) The Labor Commissioner shall collect the following amounts in fees for initial registration and annual renewal of registration from contractors who have not had an application for registration denied or a registration revoked or suspended pursuant to proceedings under section 13646 during any portion of the three year period prior to the submission of the application for registration: 
(1) A $250 fee for contractors with gross sales receipts of $100,000 or less during the 12-month period prior to application. 
(2) A $350 fee for contractors with gross sales receipts from $100,001 to $500,000 during the 12-month period prior to application. 
(3) A $500 fee for contractors with gross sales receipts from $500,001 to $1,000,000 during the 12-month period prior to application. 
(4) A $1,000 fee for contractors with gross sales receipts of $1,000,001 or more during the 12-month period prior to application. 
(b) The Labor Commissioner shall collect the following amounts in fees for initial registration and annual renewal of registration from manufacturers who have not had an application for registration denied or a registration revoked or suspended pursuant to proceedings under section 13646 during any portion of the three year period prior to the submission of the application for registration: 
(1) A $750 fee for manufacturers with gross sales receipts of $500,000 or less during the 12-month period prior to application. 
(2) A $1,000 fee for manufacturers with gross sales receipts from $500,001 to $3,000,000 during the 12-month period prior to application. 
(3) A $1,500 fee for manufacturers with gross sales receipts from $3,000,001 to $7,000,000 during the 12-month period prior to application. 
(4) A $2,500 fee for manufacturers with gross sales receipts of $7,000,001 or more during the 12-month period prior to application. 
(c) The Labor Commissioner shall collect the following amounts in fees for initial registration and annual renewal of registration from any manufacturer or contractor who has had an application for registration denied or a registration revoked or suspended, pursuant to proceedings under section 13646, at any time during the three year period prior to the submission of the application for registration: 
(1) A $500 fee for contractors with no gross sales receipts during the three-year period prior to application. 
(2) A $1,000 fee for contractors with any gross sales receipts during the three-year period prior to application. 
(3) A $1,500 fee for manufacturers with no gross sales receipts during the three-year period prior to application. 
(4) A $2,500 fee for manufacturers with any gross sales receipts during the three-year period prior to application. 
(d) For the purpose of this section, gross sales receipts means all amounts received by the applicant, in the form of money, promissory notes, credit, or any other items of value, for the sale or transfer of goods, or for services provided by the applicant or its employees. In determining gross sales receipts, the applicant shall not deduct from sales receipts or adjust sales receipts for any expenses, including but not limited to the cost of material, labor, services, storage, transportation, rent, utilities, interest on loans, insurance, taxes, and any business losses. 
(e) An applicant or registrant shall, within a reasonable time and in no event more than 15 days from the date of a request, provide the Labor Commissioner any documents deemed necessary by the Labor Commissioner for verifying gross receipts. Failure to provide the requested documentation or providing any false and misleading information concerning gross receipts shall constitute grounds for denial of the application or revocation of registration. 
(f) Every applicant required to take the examination(s) provided by Labor Code Section 2675(c) or (f) shall pay an examination fee of $25 to the Labor Commissioner prior to taking the examination(s). An individual will not be permitted to take the examination(s) on behalf of an applicant unless the individual has at least a 20% ownership interest in the applicant's business, or will function as the applicant's director of labor relations, and in that capacity will exercise direct or indirect control over employees' wages, hours and working conditions. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2675 and 2675.5, Labor Code.
HISTORY

1. Amendment of section heading, repealer and new section and amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13635.1. Filing Schedule for Applications.
Note     •     History

(a) Within 30 calendar days of receiving an application, the Labor Commissioner shall inform the applicant in writing that either: 
(1) the application is complete and has been accepted for processing, or 
(2) the application is incomplete, and specify the information or items needed to correct the deficiency. 
(b) Within 60 days from the date on the written notice of an incomplete application, the applicant must correct the application by providing the required information or items, and return the application to the Labor Commissioner. If the applicant fails to meet this deadline, the application will be rejected, and the applicant shall forfeit the application fee. Following a rejection pursuant to this subsection, the applicant may submit a subsequent application which must be accompanied by the required fee. 
(c) Within 60 calendar days after accepting a completed application, the Labor Commissioner shall inform the applicant in writing of the decision on the application. 
(d) In the event that the Labor Commissioner fails to reach an application decision within 60 days of accepting a completed application, the applicant may appeal to the Secretary of the Labor and Workforce Development Agency in accordance with the following procedure: 
(1) The appeal shall be in writing and shall be delivered in person or postmarked within 15 calendar days after the maximum time period specified in subsection (c) has elapsed. 
(2) After receiving the appeal, the Secretary of the Labor and Workforce Development Agency shall determine whether or not the maximum time period of subsection (c) was exceeded, and if so, whether there was good cause for the failure to comply. Good cause as set forth in this section means, in accordance with Government Code Section 15376, that either: 
(A) the Labor Commissioner processed 15% more applications than in the same calendar quarter of the proceeding year, or; 
(B) the Labor Commissioner was required to rely on another public or private entity to process any part of the application, and that other entity was responsible for the delay, or; 
(C) the delay was caused by a natural disaster or other catastrophe that substantially impeded the Labor Commissioner's ability to process the application in a timely manner. 
(3) If the Secretary of the Labor and Workforce Development Agency finds no good cause for the failure to reach a decision on the completed application within the time set forth in subsection(c), the Labor Commissioner shall refund any applicable filing fee in full, and shall ensure that the application is expeditiously processed without any additional fee. 
(4) If the Secretary of the Labor and Workforce Development Agency finds good cause for the failure to reach a decision on the completed application within the time set forth in subsection (c), the Labor Commissioner shall not refund the applicable filing fee or any portion thereof. 
(5) A finding of untimely processing by the Labor Commissioner shall have no bearing on the merits of the application or the decision on whether to issue a Registration Certificate. Any such application shall be subject to denial under the criteria set out at Labor Code Section 2675, and in accordance with the procedures set out under section 13646, below. 
(e) The following information is provided pursuant to Government Code Section 15376: During the past two years, the Labor Commissioner's time periods for processing an application for registration from receipt of the application to the final issuance or denial of registration were as follows: 
(1) The median time was 45 calendar days. 
(2) The minimum time was 7 calendar days. 
(3) The maximum time was 365 calendar days. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2675, Labor Code; and Sections 15374, 15375, 15376, 15377 and 15378, Government Code. 
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13636. Registration Certificate.
Note

The Registration Certificate shall be valid for a period of one year from the date of issuance, unless revoked. The Certificate is non-transferrable and is valid only for the address(es) shown on its face.
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2675, Labor Code.
§13637. Amended Certificate.
Note     •     History

The registrant shall notify the Labor Commissioner in writing at least two weeks prior to any change(s) of address. Such notification is required as to each location not already listed on the Registration Certificate where employees will be engaged in garment manufacturing. Following receipt of written notice from a garment contractor or manufacturer in possession of a current Registration Certificate, the Labor Commissioner shall, without additional cost, issue an amended certificate listing the new address(es), unless the business of garment manufacturing cannot legally or safely be carried on at the proposed address(es). 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2651 and 2675, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13638. Duplicate Certificate.
Note     •     History

If the original certificate is lost, the Labor Commissioner shall, on written request and without additional cost, issue a duplicate certificate. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2675, Labor Code.
HISTORY

1. Amendment filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13639. Penalty Assessment.
Note     •     History

Penalties assessed under Labor Code Section 2678(a) shall be computed by using any of the following: 
(a) The number of affected employees present at the time of the inspection; 
(b) The number of affected employees present when the violations occurred, as determined from the employers' records; 
(c) The number of affected employees present when the violations occurred, as established from other information available to the Division of Labor Standards Enforcement. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2678, Labor Code.
HISTORY

1. Amendment of first paragraph and subsection (c) filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13640. Notice of Penalty Assessment and Right to Hearing.
Note     •     History

If penalties are assessed under Labor Code Section 2678(a), the Division of Labor Standards Enforcement shall serve written notice as required by Labor Code Section 2678(b) on all persons liable as well as those who may assume liability for the violations. Notice shall include information on hearing and appeal rights under Labor Code Section 2681. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2677, 2678 and 2681, Labor Code.
HISTORY

1. Amendment filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13641. Bonds for Continued Registration.
Note     •     History

(a) The amount of the registration bond to be deposited with the Labor Commissioner under the provisions of Labor Code Sections 2675(a)(3), 2679(a) and 2679(b) shall be sufficient to insure payment of wages and benefits to all employees up to a maximum of four calendar weeks. In no event shall the number of employees used for such computations be less than the highest number of employees employed during any one pay period during the preceding 12-month period. The registration bond shall be issued by a surety licensed to do business in the State of California. 
(b) An undertaking in the form of a cashier's check or money order made payable to the Labor Commissioner may be provided to the Labor Commissioner in lieu of depositing a surety bond as a condition for continued registration under Labor Code Sections 2675(a)(3), 2679(a) and 2679(b). The Labor Commissioner shall deposit the undertaking in a bank account in which the Labor Commissioner is named as a trustee. Any earned interest, along with the principal, shall be used to satisfy claims against the undertaking. Upon return of the undertaking, any remaining amount, including interest, shall be transmitted to the employer. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2675 and 2679, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13642. Return of Registration Bond.
Note     •     History

If an employer that has posted a bond or undertaking pursuant to section 13641 of this subchapter does not commit additional violations as set forth in Labor Code Sections 2673, 2675 and 2678 within any three-year period, the bond or undertaking shall be returned to the employer. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673, 2675(a), 2678 and 2679, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13643. Action Against Registration Bond.
Note     •     History

If an employer that has posted a bond or undertaking pursuant to section 13641 of this subchapter fails to pay wages and benefits to employees, as set forth in Labor Code Section 2675, the Labor Commissioner may proceed against the bond or undertaking by written notice to the employer and the surety; and shall take appropriate action to recover the unpaid wages and benefits from the bond or undertaking. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2675 and 2679, Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13644. Bonds for Filing an Appeal from an Order, Decision or Award.
Note     •     History

(a) The bond that is required pursuant to Labor Code Section 2673.1(g), as a condition precedent to filing an appeal from an order, decision or award of the Labor Commissioner, shall be issued by a surety licensed to do business in the State of California, in an amount equal to one and one-half times the award, and shall be made payable to and posted with the Labor Commissioner. An undertaking in the form of a cashier's check or money order made payable to the Labor Commissioner may be provided to the Labor Commissioner in lieu of posting this surety bond. The surety bond or undertaking shall be delivered to the office of the Labor Commissioner where the hearing that resulted in the order, decision or award was held. The bond or undertaking shall be conditioned that if any judgment is entered in favor of the employee, the contractor or guarantor shall pay the amount owed pursuant to the judgment, and if the appeal is withdrawn or dismissed without entry of judgment, the contractor or guarantor shall pay the amount owed pursuant to the order, decision or award of the Labor Commissioner unless the parties have executed a settlement agreement for payment of some other amount, in which case the contractor or guarantor shall pay the amount that it is obligated to pay under the terms of the settlement agreement. If the contractor or guarantor fails to pay the amount owed within 10 days of the entry of judgment, dismissal or withdrawal of the appeal, or the execution of a settlement agreement, a portion of the bond or undertaking equal to the amount owed, or the entire bond or undertaking if the amount owed exceeds the bond or undertaking, shall be forfeited to the employee. 
(b) Upon receipt of this appeal bond or undertaking, the Labor Commissioner shall provide the contractor or guarantor posting the bond or undertaking with a notice of posting of the bond with the Labor Commissioner pursuant to Labor Code Section 2673.1, stating the name and case number of the order, decision or award, the amount posted with the Labor Commissioner, the date this amount was posted, and that no additional appeal bond need be posted with the court because this case involves minimum wages or overtime compensation owed to garment workers, and thus, the appeal bond provisions of Labor Code Section 2673.1(g), rather than the appeal bond provisions of Labor Code Section 98.2(b), apply to the filing of a de novo appeal from the Labor Commissioner's order, decision or award. The contractor or guarantor filing an appeal from the order, decision or award shall advise the court with which it is filing this appeal that it has posted the required bond with the Labor Commissioner by attaching to its notice of appeal a copy of the notice of posting of the bond with the Labor Commissioner. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 98.2(b) and 2673, Labor Code.
HISTORY

1. Repealer and new section heading and section and amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13645. Periods of Revocation.
Note     •     History

(a) Revocation periods under Labor Code Section 2679(b) shall be 30-90 days if one of the violations relates to minimum wage, overtime, or child labor; 3-6 months if two of the violations relate to minimum wage, overtime, or child labor; and 6 months-1 year if three or more of the violations relate to minimum wage, overtime, or child labor. 
(b) A garment manufacturer or contractor whose registration is revoked under this section may apply for a new registration upon expiration of the revocation. An application for new registration will be denied unless all judgments and settlement agreements for the payment of wages have been satisfied. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2675(a)(2) and 2679(b), Labor Code.
HISTORY

1. Repealer and new section and amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13646. Hearings to Deny an Application and to Revoke or Suspend Registration.
Note     •     History

(a) Denial of an application for registration and revocation or suspension of registration shall be upon proper notice and upon hearing, if appealed. The appeal shall be directed to the Labor Commissioner who shall assign the matter to a hearing officer for hearing. The hearing shall be conducted according to the rules set forth below, and except as specifically provided herein, the provisions of Title 2, Division 3, Part 1, Chapter 5 of the Government Code (commencing with Government Code Section 11500) shall not apply to these proceedings. 
(b) Proceedings to determine whether a registration shall be revoked, suspended or conditioned shall be initiated by filing an accusation. The accusation shall be a written statement of charges which set forth in ordinary and concise language the acts or omissions with which the registrant is charged, and shall specify the statutes or rules which the registrant is alleged to have violated. The accusation shall be verified unless made by a public officer acting in his or her official capacity or by an employee of the Division of Labor Standards Enforcement. 
(c) Proceedings to determine whether a registration certificate shall be issued or renewed shall be initiated by filing a statement of issues. The statement of issues shall be a written statement specifying the statutes and rules with which the applicant must show compliance by producing proof at the hearing and, in addition, any particular matters that have come to the attention of the initiating party that would authorize a denial of the application for registration. The statement of issues shall be verified unless made by a public officer acting in his or her official capacity or by an employee of the Division of Labor Standards Enforcement. 
(d) Upon the filing of an accusation or statement of issues, the Division of Labor Standards Enforcement shall serve a copy thereof on the registrant or applicant in a manner provided by Government Code Section 11505(c). The copy of the accusation or statement of issues shall include or be accompanied by: 
(1) a statement that the respondent may request a hearing by filing a notice of defense within 15 days after service upon the respondent of the accusation or statement of issues, and that failure to do so will constitute a waiver of the respondent's right to a hearing, and 
(2) a form entitled notice of defense which, when signed by or on behalf of the respondent and returned to the Division, will constitute a request for a hearing. 
(e) Within 15 days after service of the accusation or statement of issues, the respondent may file with the Division a notice of defense in which the respondent may: 
(1) Request a hearing; 
(2) Object to the accusation or statement of issues on the ground that it does not state acts or omissions upon which the Division may proceed; 
(3) Object to the form of the accusation or statement of issues on the ground that it is so indefinite or uncertain that the respondent cannot prepare a defense; 
(4) Admit the accusation or statement of issues in whole or in part; or 
(5) Present new matter by way of a defense. 
The respondent shall be entitled to a hearing on the merits if the respondent files a timely notice of defense, and the notice shall be deemed a specific denial of all parts of the accusation or statement of issues not expressly admitted. Failure to file a notice of defense shall constitute a waiver of respondent's right to a hearing, but the Division, in its discretion, may nevertheless grant a hearing. 
(f) If the respondent either fails to file a notice of defense or to appear at the hearing, the Division may take action based upon the respondent's express admissions or upon other evidence, and declarations may be used as evidence without any notice to respondent; and where the burden of proof is on the respondent to establish that the respondent is entitled to the issuance or renewal of a registration, the Division may proceed by default without scheduling a hearing or taking evidence. 
(g) Declarations may be admitted into evidence at a contested hearing in accordance with the procedure for admitting affidavits set forth at Government Code Section 11514. 
(h) At any time before the matter is submitted for decision, the Division may file or permit the filing of an amended or supplemental accusation or statement of issues. If the amended or supplemental accusation or statement of issues presents new charges, the Division shall afford the respondent a reasonable opportunity to prepare a defense thereto. Any new charges shall be deemed controverted, and any objections to the amended or supplemental accusation or statement of issues may be made orally during the hearing. 
(i) The provisions of Government Code Section 11507.6 provide the exclusive right to and method of discovery as to any proceeding to deny an application for registration or to revoke or suspend a registration. A party shall have 20 days from the date of the mailing of the request for discovery to provide the requested discovery to the requesting party. Any party claiming non-compliance with a discovery request made under this section may file with the hearing officer a motion to compel discovery. Any such motion shall be served upon the party from whom discovery is sought within 15 days of that party's failure or refusal to provide the discovery. The party against whom discovery is sought may file a written response to the motion by filing such response within 10 days of service of the motion. The motion may be decided with or without a hearing, at the discretion of the hearing officer. The order denying the motion, or granting the motion in whole or in part, shall be in writing. 
(j) The Division shall deliver or mail a notice of hearing to all parties at least 10 days prior to the hearing. The notice of hearing shall be in substantially the same form as set forth at Government Code Section 11509, and shall include notice of the right to request an interpreter for a party or witness who cannot proficiently speak or understand English. 
(k) The hearing shall be presided over by a hearing officer appointed by the Labor Commissioner. A contested hearing shall be conducted in accordance with the procedures set forth at sections 13651 to 13654 of this subchapter. 
(l) The hearing officer's proposed decision shall be in writing, be based on the record, and include a statement of the factual and legal basis of the decision, as provided in Government Code Section 11425.50. Within 45 days of the conclusion of the hearing, the hearing officer shall transmit the proposed decision to the Labor Commissioner, who may either: 
(1) Adopt the proposed decision in its entirety, or 
(2) Modify any part of the proposed decision, including the order, or 
(3) Remand the case to the hearing officer for further proceedings. Within 60 days of the conclusion of the hearing, copies of the Labor Commissioner's decision, and the hearing officer's proposed decision which shall be attached thereto, shall be delivered to the parties personally or sent to them by certified mail. The decision shall become effective 30 days after it is delivered or mailed to the respondent, unless the decision provides for an earlier date, or a stay of execution has been granted by the Division. A stay of execution may be included in the decision or granted by the Division at any time before the decision becomes effective, and may be accompanied by an express condition that the respondent comply with specified conditions or terms of probation. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1(m), 2675(a)(2) and 2679(b), Labor Code.
HISTORY

1. Amendment of section heading, section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13647. Registration After Revocation.
Note     •     History

After the revocation period expires, and liabilities set forth in Labor Code Sections 2673.1, 2677, 2678, and 2679(b) have been assumed and satisfied, the garment manufacturer or contractor may file a new application for registration with the Labor Commissioner. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1, 2675, 2677, 2678 and 2679(b), Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13648. Confiscation.
Note     •     History

(a) If garments are confiscated pursuant to Labor Code Section 2679(b), or 2680(a), a notice of confiscation and hearing and appeal rights, as provided by Labor Code Section 2681, shall be served on all persons liable or who may assume liability for violations. 
(b) If the contractor's means of production, including manufacturing equipment or property, are confiscated pursuant to Labor Code Section 2680(b), notice of confiscation and hearing and appeal rights shall be served on the contractor and on any other person or entity known to have an ownership interest in the equipment or property. Hearing and appeal rights shall be according to the same provisions for the appeal and hearing of garment confiscations, as set forth in Labor Code Section 2681, and section 13650 of this subchapter. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2679, 2680 and 2681, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13649. Disposition of Confiscated Goods.
Note     •     History

(a) Garments or wearing apparel confiscated pursuant to Labor Code Section 2658.7, 2664, 2679(b), or 2680(a), and not otherwise returned, shall be disposed of as follows: 
(1) The confiscated goods may be released to nonprofit organizations whose articles of association or incorporation include religious, charitable, social, and educational purposes, provided that the organizations agree, in writing, that these goods will be made available at no cost to impoverished or needy persons, that these goods will not be offered for sale to any person, and that these goods will not be given to any for-profit business; or 
(2) The confiscated goods may be released to public agencies, including, but not limited to, State agencies, political subdivisions, municipal corporations, or school districts, which conduct power machine sewing classes, for instructional use in such classes; or 
(3) The confiscated goods may be destroyed by shredding, by burning, or by otherwise rendering them useless as items of wearing apparel. 
(b) Confiscated manufacturing equipment or property (other than garments or wearing apparel) may be disposed of by destruction, donation to a non-profit charitable organization or educational institution, or by sale to any purchaser. If such equipment or property is sold by the Labor Commissioner, the proceeds of the sale shall be deposited as provided by Labor Code Section 2680(c). 
NOTE

Authority cited: Sections 2666 and 2672, Labor Code. Reference: Sections 2658.7, 2664, 2679, 2680 and 2681, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13650. Hearings on Appeals of Penalty Assessments or Confiscations.
Note     •     History

A hearing held pursuant to Labor Code Section 2681 on an appeal of a garment penalty assessment or a confiscation of garments, wearing apparel or other property shall be conducted in accordance with the procedures set forth at sections 13651 to 13654 of this subchapter. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2678, 2680 and 2681, Labor Code.
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37). For prior history, see Register 89, No. 40.
§13651. Conduct of Hearing; Rules of Evidence.
Note     •     History

(a) The hearing need not be conducted according to the technical rules of evidence relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, except that the rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing. 
(b) Hearsay evidence may be used to supplement or explain other evidence, but shall not of itself be sufficient to support a finding. An objection is timely if made before submission of the case. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1(m), 2675(a)(2), 2679(b) and 2681, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13652. Rights of Parties at Hearing; Taking of Evidence; and Rules of Procedure.
Note     •     History

(a) Each party to a hearing shall have the right to appear in person and by counsel; to call and examine witnesses and cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called the witness to testify; to rebut evidence; and to introduce documentary exhibits and other evidence. 
(b) Oral evidence shall be taken only on oath or affirmation. 
(c) The hearing proceedings shall be electronically recorded. In lieu of or supplemental to an electronic recording, the hearing officer shall allow a party to have the proceedings transcribed by a court reporter, provided that the court reporter furnish the Labor Commissioner with a certified copy of the transcript as soon as it is prepared, and that the party requesting that the proceedings be transcribed pay the cost of all transcripts. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1(m), 2675(a)(2), 2679(b) and 2681, Labor Code.
HISTORY

1. Amendment of section and Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13653. Role of Hearing Officer.
Note     •     History

The hearing officer who presides over the hearing, in exercising sound discretion, may control the order of presentation of evidence at the hearing; keep out repetitive and cumulative evidence; and otherwise rule on the evidence. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1(m), 2675(a)(2), 2679(b) and 2681, Labor Code.
HISTORY

1. Amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13654. Issuance of Subpoenas.
Note     •     History

Subpoenas and subpoenas duces tecum may be issued for the attendance of witnesses at the hearing, and for the production of documents at any reasonable place and time or at a hearing, in accordance with the procedures set forth at Government Code Sections 11450.05 to 11450.50. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 2673.1(m), 2675(a)(2), 2679(b) and 2681, Labor Code.
HISTORY

1. Repealer and new section and amendment of Note filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13655. Determination of Guarantor's Proportionate Share of Liability.
Note     •     History

The Labor Commissioner may determine the proportionate share of liability of a wage guarantor under Labor Code Section 2673.1 by using any one of the following methods, at the discretion of the Labor Commissioner. Records maintained by the contractor and guarantor(s) may be used to establish proportionate share, but in the event that any necessary records are not produced, incomplete, or inaccurate, the Labor Commissioner may rely on any other available evidence, including the testimony of claimants, with respect to these issues: 
(a) Contractor's Gross Sales -- The amount earned by the contractor as a result of work performed by the contractor's employees on behalf of the wage guarantor during a pay period as a percentage of the total amount earned by the contractor as a result of work performed by its employees during that pay period. 
(b) Employees' Hours Worked -- The amount of time that the contractor's employees spent performing work on behalf of the wage guarantor during a pay period as a percentage of the total hours worked by the contractor's employees during that pay period. 
(c) Garments Produced -- The number of garments or articles of wearing apparel finished, assembled, produced or otherwise prepared by the contractor's employees on behalf of the wage guarantor during a pay period as a percentage of the total number of garments or articles of wearing apparel finished, assembled, produced or otherwise prepared by the contractor's employees during that pay period. 
(d) Presumption in the Absence of Records -- In the absence of records, the Labor Commissioner will make just and reasonable inferences about a guarantor's proportionate share based on the competent testimony of the claimant(s). If such testimony is insufficient to allow the Labor Commissioner to determine proportionality based on subsections (a), (b), or (c) above, the full amount of the claim for unpaid minimum wages and overtime will be apportioned equally amongst the known guarantors. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Section 2673.1(b), Labor Code.
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13656. Amounts Included in Assessment of Wages Owed and Order, Decision or Award.
Note     •     History

The Labor Commissioner's assessment of wages owed issued pursuant to Labor Code Section 2673.1, and any subsequently issued order, decision or award, shall set out the amounts owed by the contractor and wage guarantor(s) as follows: 
(a) The amounts owed by the contractor for: 
(1) Unpaid minimum wages; 
(2) Unpaid overtime wages; 
(3) Other unpaid wages; 
(4) Other compensation owed, including unreimbursed business expenses, pursuant to the Labor Code or applicable Industrial Welfare Commission order; 
(5) Liquidated damages in an amount equal to the unpaid minimum wages; 
(6) Liquidated damages in an amount equal to the unpaid overtime wages, 
(7) Interest on all unpaid wages and on the liquidated damages from the date such wages became due, pursuant to Labor Code Section 98.1(c); 
(8) Penalties pursuant to Labor Code Section 203; and, 
(9) Any other penalties or damages arising under the Labor Code or applicable Industrial Welfare Commission order. 
(b) The amounts owed by each wage guarantor for the guarantor's proportionate share of liability for: 
(1) Unpaid minimum wages; 
(2) Unpaid overtime wages; 
(3) Interest on all unpaid minimum wages and overtime wages from the date such wages became due, pursuant to Labor Code Section 98.1(c); and, 
(4) If it is found that the guarantor acted in bad faith within the meaning of Labor Code Section 2673.1(e), liquidated damages in an amount equal to the unpaid minimum wages and overtime wages, plus interest thereon. 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 98, 98.1(c), 203, 226.7, 1194.2, 1195.5, 2673.1(e) and 2802, Labor Code. 
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13657. Attorney's Fees and Costs.
Note     •     History

(a) For the purpose of Labor Code Section 2673.1(f), the failure by the contractor or guarantor to pay the full amount of the assessment at the meet- and-confer conference shall be deemed to constitute a refusal to pay the full amount of the assessment, and the employee will subsequently be deemed to have prevailed at the hearing held pursuant to Labor Code Section 2673.1(d)(4), if the Labor Commissioner issues an order, decision or award in any amount in favor of the employee. 
(b) For the purpose of Labor Code Section 2673.1(f), if the employee rejects the assessment at the meet-and-confer conference, the employee will subsequently be deemed to have prevailed at the hearing held pursuant to Labor Code Section 2673.1(d)(4), if the Labor Commissioner issues an order, decision or award in favor of the employee for a total amount (excluding attorney's fees and costs) greater than the amount deposited with the Labor Commissioner by the contractor or guarantor for payment to the employee of the amount assessed against the contractor or guarantor. To be considered for this purpose, the full amount of the assessment must be deposited with the Labor Commissioner at the meet-and-confer conference held pursuant to Labor Code Section 2673.1(f), for immediate and unconditional payment to the employee, regardless of the outcome of the hearing. Any such amounts deposited with the Labor Commissioner shall be transmitted to the employee forthwith, and a form shall be transmitted by a deputy labor commissioner to the hearing officer stating (without specifying the amount) that prior to the conclusion of the meet-and-confer conference, the contractor and/or guarantors unconditionally paid the full amount of the assessment to the employee. In the event that the full amount of the assessment is not so paid, attorney's fees shall be awarded to the claimant on the basis of any net recovery at the adjudicative hearing. 
(c) Attorney's fees recoverable under Labor Code Section 2673.1(f) shall be based on the reasonable hours expended on the case multiplied by a reasonable hourly rate for the legal work performed. A reasonable hourly rate is the prevailing hourly rate charged by private attorneys in the geographic area with similar experience to that of the attorney(s) making the application for fees. 
(d) Costs recoverable under Labor Code Section 2673.1(f) shall mean the costs of preparing for and proceeding with the hearing, including but not limited to witness fees, mileage fees, and cost of service of process. 
(e) At the hearing held pursuant to Labor Code Section 2673.1(d)(4), the employee, or his or her attorney(s), shall submit evidence of reasonable attorneys' fees and costs sought to be recovered under Labor Code Section 2673.1(f). Such evidence may be in the form of a declaration signed by the attorney(s) under penalty of perjury, setting forth an itemization of hours worked on the case, the basis of the hourly rate(s) claimed, and costs incurred. The other parties at the hearing shall have the right to present any contrary evidence, and to cross-examine the employee, or his or her attorney(s), on these matters. 
(f) Reasonable attorneys' fees and costs, if any, shall be included in the order, decision or award of the Labor Commissioner as follows: 
(1) Reasonable fees and costs are awarded against the contractor if the contractor refused to pay the assessment and the claimant prevails at the hearing, as provided in subsection (a) herein; 
(2) Reasonable fees and costs are awarded against the contractor if the claimant rejects the assessment and prevails at the hearing, as provided in subsection (b) herein; 
(3) Reasonable fees and costs are awarded against the guarantor(s) if the guarantor(s) refuse(s) to pay the assessment, and the claimant prevails at the hearing, as provided in subsection (a) herein; 
(4) Reasonable fees and costs are awarded jointly and severally against the guarantor(s) for the contractor's share of the attorney's fees and costs if the guarantor(s) acted in bad faith, within the meaning of Labor Code Section 2673.1(f). 
NOTE

Authority cited: Section 2672, Labor Code. Reference: Sections 98 and 2673.1, Labor Code. 
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13658. Labor Commissioner's Enforcement of Wage Guarantee.
Note     •     History

(a) The Labor Commissioner may, during the course of an investigation pursuant to Labor Code Section 2673.1(j), serve a subpoena duces tecum on any contractor or manufacturer subject to the investigation in order to examine any books and records as may be necessary to determine the amount of wages or other compensation that may be owed to any employees and the identity of any potential guarantors for payment of the unpaid wages. The failure to comply with such a request for books and records, within 10 days of service of the notice, shall constitute grounds for revocation of registration or denial of an application for registration. 
(b) The Labor Commissioner may perform a payroll audit based on the relevant documentation and information received during the course of the investigation. If the Labor Commissioner decides to proceed against any wage guarantors, he or she shall issue findings and an assessment of the amount of wages due, which shall include a determination of each wage guarantor's proportionate share of liability. The Labor Commissioner shall schedule a meet-and-confer conference with the guarantors, contractors, and affected employees to attempt to resolve the matter, and shall provide written notice to each contractor, wage guarantor and affected employee, to the extent that the identities and whereabouts of such persons are known, of the assessment and the date, time, location and purpose of the meet-and-confer conference. 
(c) During the meet-and-confer conference, the Labor Commissioner's investigator shall present his or her findings and assessment of wages owed and each guarantor's proportionate share, and shall make a demand for payment of the amount of the assessment. In the event that the amounts found due are not paid within 10 days of the conclusion of the meet-and-confer conference, the Labor Commissioner shall set the matter for an investigative hearing. The contractor, wage guarantors and affected employees, to the extent that the identities and whereabouts of such persons are known, shall be provided with written notice of the date, time, location, and purpose of the investigative hearing. 
(d) The hearing conducted under this section shall be investigative in nature, and the purpose of the hearing is to assist the Labor Commissioner in deciding whether to initiate a civil action pursuant to Labor Code Section 2673.1(j). The provisions of Government Code Sections 11400, et seq. are not applicable to this hearing. The Labor Commissioner may subpoena the attendance of witnesses and the production of records to the hearing as provided by Labor Code Section 92. The hearing officer shall inquire fully into all matters at issue. The hearing may be electronically recorded, and testimony shall be given under oath or affirmation. In the hearing officer's discretion, the parties may be permitted to call, examine, and cross-examine witnesses, and to introduce documentary evidence. The hearing shall be informal, and shall not be conducted in accordance with technical and formal rules of evidence. Evidence shall be admitted if it is the sort of evidence upon which responsible persons are accustomed to rely upon in the conduct of serious affairs. The investigator's findings and assessment shall be admitted into evidence, provided the investigator is available to testify thereto. Within thirty days after the close of the hearing, the hearing officer shall issue a written recommended disposition of the case, stating the amounts, if any, that the hearing officer believes are owed by the contractor and wage guarantors. The hearing officer's recommended disposition shall have no res judicata or collateral estoppel effect, and shall be entitled to no weight in any subsequently filed civil action. 
(e) If the matter is not resolved to the Labor Commissioner's satisfaction within 10 days of the issuance of the hearing officer's recommended disposition, the Labor Commissioner may thereupon file a civil action to enforce the wage guarantee, and for any other appropriate relief. Any guarantors whose identity or existence was unknown at the time of the investigative hearing may be sued in the civil action without the necessity of further administrative proceedings. 
(f) The time limits set forth in Labor Code Section 2673.1(d) shall not apply to any proceedings under this section. 
(g) All notices under this section may be served by regular first class mail to the last known address of the affected employees, and to the last address of record for the contractor and wage guarantors, as set forth on the most recent application for registration as required under this subchapter. 
NOTE

Authority cited: Sections 2672 and 2673.1(j), Labor Code. Reference: Sections 92, 98.3, 1193.6, 1194.5 and 2673.1, Labor Code. 
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
§13659. Information To Be Contained in Contracts Between Manufacturers and Contractors, and on Itemized Wage Statements Provided to Employees.
Note     •     History

(a) Every applicant for registration shall certify, in writing and under oath, that the applicant will maintain for inspection and copying, and will make available upon request to the Labor Commissioner or any agent thereof, for a period of no less than four years from the date of execution, a written contract with each party with whom it contracts for the manufacture, sewing, cutting, making, processing, repairing, finishing, assembling, or otherwise preparing any garment or any article of wearing apparel or accessories. Each such contract shall contain the following: 
(1) The garment manufacturer's correct legal entity, any fictitious business names, and if a corporation or limited liability company, the name and address of the designated agent for service of process; 
(2) The garment manufacturer's business address, telephone and facsimile numbers; 
(3) The garment manufacturer's garment registration certificate number, and its date of expiration; 
(4) The garment manufacturer's workers' compensation carrier, policy number, and its date of expiration; 
(5) The contractor's correct legal entity, any fictitious business names, and if a corporation or limited liability company, the name and address of the designated agent for service of process; 
(6) The contractor's business address, telephone and facsimile numbers; 
(7) The contractor's garment registration certificate number, and its date of expiration; 
(8) The contractor's workers' compensation carrier, policy number, and its date of expiration; 
(9) The date the contract was entered into; 
(10) The date the contracted garments or articles of wearing apparel are due for completion; 
(11) The unit price, number of garments or articles of wearing apparel covered by the contract, and a description of the garment or apparel type, style, and color; 
(12) The style numbers, cut or lot numbers; 
(13) The total price of the contract; and, 
(14) The date that payment is due from the manufacturer. 
(15) Any changes from the original contract, including but not limited to changes in completion dates, unit price, number of units, and total price. 
(b) Every contract between persons engaged in garment manufacturing for the manufacture, sewing, cutting, making, processing, repairing, finishing, assembling, or preparation of any garment or article of wearing apparel or accessories for sale or resale shall be in writing, shall be maintained for no less than four years from the date of its execution, shall be made available upon request to the Labor Commissioner or any agent thereof for inspection and copying, and shall contain the information set out in subsection (a)(1)-(15), above. The failure to maintain such written contracts, or to make them available to the Labor Commissioner for inspection and copying, shall constitute grounds for revocation of registration or denial of an application for registration. 
(c) Every garment contractor shall include, in the written itemized wage earnings and deduction statements it is required, pursuant to Labor Code Section 226, to provide to its employees whenever wages are paid, the name(s) of any manufacturer(s) for whom the contractor performed any garment manufacturing operations at the location at which such employees were employed during the pay period covered by the itemized wage statements. The failure to include this information on employees' itemized wage statements shall constitute grounds for revocation of registration or denial of an application for registration. 
NOTE

Authority cited: Sections 2672 and 2675, Labor Code. Reference: Sections 2673.1 and 2675, Labor Code. 
HISTORY

1. New section filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
Subchapter 9. Labor Commissioner's Farm Labor Contractor Fund
§13660. Definition of “Damages.”
Note     •     History

Damages under Section 1684(c) and (d) of the Labor Code are defined as the following:
(a) Wages including interest;
(b) Damages including interest according to proof of actual damages incurred by an employee of a farm labor contractor, by a person who has been recruited, solicited, supplied, hired, furnished or transported by the contractor on behalf of an employer engaged in the growing or producing of farm products or pursuant to a loss suffered by an employee of a farm labor contractor, or person described above, for any violation of Division 2, Part 6, Chapter 3 of the Labor Code;
(c) Damages shall not include penalties assessed pursuant to Section 203 of the Labor Code or penalties assessed pursuant to any other provision of law.
NOTE

Authority cited: Section 1699, Labor Code. Reference: Section 1684, Labor Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 9).
§13661. Procedure for Obtaining Damages from the Fund.
Note     •     History

A claim for recovery from the fund must be made in writing by an employee(s), or other claimant(s), or his or her (their) representative. The claim need not be in any particular form but must contain the following:
(a) A list naming each employee or claimant for whom recovery is sought. The list shall include the name and address of each employee or claimant, the amount of the recovery sought under each of the items listed in Section 13660 above, including the particular provision of Division 2, Part 6, Chapter 3 of the Labor Code allegedly violated, and the name and address of the farm labor contractor(s) whose conduct has allegedly damaged the employee(s) or claimant(s).
(b) A copy of the written assignment of the claim(s) to the representative, if applicable.
(c) A declaration or affidavit under penalty of perjury which complies with the provisions of Code of Civil Procedure Section 2015.5 containing information regarding attempts made to satisfy the claim by demand against the surety bond provided in Labor Code Section 1684(c) and the results of that demand. The declaration or affidavit must also disclose what attempts, if any, were made to collect the recovery sought directly from the farm labor contractor and the results of those attempts. If no attempts have been made to collect either from the surety bond or the farm labor contractor, the declaration must explain the reasons for such inaction. The fact that no attempts have been made will not of itself defeat recovery from the fund, if the failure to make any attempts is reasonable. The declaration or affidavit required herein may be signed by the representative of the employee(s) or claimant(s), if the information submitted does not require the personal knowledge of the employee(s) or claimant(s).
(d) A copy of any judgment or award issued by a court or the Labor Commissioner, which relates to or supports the recovery sought by the employee(s) or claimant(s). If the judgment was uncontested or obtained by default or other summary procedure, the employee(s), claimant(s) or representative seeking recovery shall submit declarations under penalty of perjury signed by each employee or claimant seeking recovery setting forth the actual losses that were suffered by the employee(s) or claimant(s) including the information set forth below in subsections (1)-(6). If the judgment or award was contested, it must contain the information set forth below in subdivisions (1) to (6); if the judgment or award does not contain such information, additional declarations under penalty of perjury signed by the employee or claimant providing the missing information must be submitted. The representative of the employee(s) or claimant(s) may sign declarations submitting information to comply with this subsection, if the information submitted does not require the personal knowledge of the employee(s) or claimant(s).
(1) The name and address (if known) of the contractor;
(2) The period of time during which the wages were earned;
(3) The number of hours worked or the pieces picked or completed;
(4) The promised rate of pay;
(5) The total amount of wages owed less any amount recovered from the farm labor contractor or the surety bond and/or employer of the farm labor contractor;
(6) Proof of any actual damages suffered pursuant to the particular provision of Division 2, Part 6, Chapter 3 of the Labor Code allegedly violated.
(e) If no judgment or award has been obtained from a court or the Labor Commissioner, the employee(s), claimant(s) or his or her (their) representative seeking recovery shall submit declarations under penalty of perjury signed by each employee or claimant providing the information set forth in subdivisions (1)-(6) in (d), above. The representative of the employee(s) or claimant(s) may sign declarations submitting information to comply with subsection (d), if the information submitted does not require the personal knowledge of the employee(s) or claimant(s).
(f) If the declarations are insufficient to sustain a recovery from the fund, either due to lack of information or due to a belief that the information submitted is potentially inaccurate, the Labor Commissioner may order an investigatory hearing pursuant to the provisions of Section 13662.
(g) A claimant who contracts with a farm labor contractor may also seek recovery from the fund if he or she has been damaged by a farm labor contractor within the meaning of Section 13660. When such a claim is submitted, besides documenting the claimant's own loss, the claimant must also satisfy the requirements of subsections 13661(a)-(e) regarding the loss of the employees or other claimants.
NOTE

Authority cited: Section 1699, Labor Code. Reference: Section 1684, Labor Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 9).
§13662. Hearing.
Note     •     History

The Labor Commissioner shall have the authority to order an investigatory hearing to determine the amount of damages, if any, actually suffered by the employee(s) or other claimant(s) seeking recovery from the fund. Notice of the hearing shall be served on the defendant farm labor contractor and the employee(s) or other claimant(s) seeking recovery from the fund either personally or by registered mail in accordance with the provisions of subdivision (c) of Section 11505 of the Government Code. The hearing shall be conducted by a Deputy Labor Commissioner and shall be held in the District Office having jurisdiction over the area where the nonpayment of wages allegedly occurred or any other appropriate venue.
NOTE

Authority cited: Section 1699, Labor Code. Reference: Section 1684, Labor Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 9).
Subchapter 10. Registration of Employers, Transporters, and Supervisors of Minors Engaged in Door-to-Door Sales
§13670. Definitions.
Note     •     History

For the purposes of this Subchapter:
(a) Any location more than ten miles from the minor's residence, means any point beyond a straight-line radius of ten miles in any direction from the minor's residence. The radius shall be drawn upon a commonly available city or regional road map by placing the point of a compass on the approximate site of the minor's residence and adjusting the compass according to the scale of miles provided on the map. In the event of a dispute over which commonly available city or regional road map should be used for the measurement, the Labor Commissioner shall select the map that will be used as the basis for the measurement.
(b) “Applicant” is a person who applies for a new registration or renewal of a registration pursuant to this Subchapter.
(c) “Division” and “Labor Commissioner” mean the Division of Labor Standards Enforcement. “Labor Commissioner” also means the chief of the Division of Labor Standards Enforcement and his or her agents.
(d) “Door-to-door sales” is defined in accordance with Labor Code Section 1286(e) and Section 11706.1 of this Chapter 6.
(e) “Door-to-door sales operation” is broadly construed to mean any activity directly or indirectly associated with the door-to-door sales activity including, but not limited to, the person's business activities, recruitment, or any activity directly or indirectly involving a minor employed or used in door-to-door sales.
(f) “Employer” means a person subject to Labor Code Section 1308.3 and this Subchapter who exercises control, direction or supervision, either directly or indirectly, of minors engaged in door-to-door sales operations.
(g) “Person” means an individual, corporation, partnership, limited liability company, association, or other legal entity.
(h) “Registrant” is a person who has a valid and current registration issued pursuant to this Subchapter.
(i) “Registration” means a registration issued pursuant to Labor Code Section 1308.2 or 1308.3, and/or this Subchapter.
(j) “Transporter” and/or “Supervisor” means an individual subject to Labor Code Section 1308.2 and this Subchapter. A “Transporter” and/or “Supervisor” must be at least eighteen (18) years of age. A “Transporter” and/or “Supervisor” includes a person who: (1) recruits, (2) solicits, (3) hires, (4) directs, or (5) controls, directly or indirectly, any activity that facilitates the minor's participation in door-to-door sales operations. A “Transporter” and/or “Supervisor” also includes any employer who: (1) recruits, (2) solicits, (3) hires, (4) directs, or (5) controls, directly or indirectly, any activity that facilitates the minor's participation in door-to-door sales operations.
NOTE

Authority cited: Sections 18, 54, 55, 59, 350, 1311 and 1398, Labor Code. Reference: Sections 1286, 1290, 1294.1, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code; and Section 12515, Vehicle Code.
HISTORY

1. New subchapter 10 (sections 13670-13677) and section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13670.1. Applicability of Subchapter 10.
Note     •     History

(a) This Subchapter requires any person who employs, transports, or supervises a minor under sixteen (16) years of age in door-to-door sales more than ten (10) miles from the minor's residence to register as either an employer and/or a transporter and/or supervisor with the Labor Commissioner pursuant to Section 1308.2 or 1308.3 of the Labor Code or this Subchapter.
(b) Any employer who plans to be a transporter and/or supervisor must have a transporter/supervisor registration in addition to the employer registration.
(c) Registration is not required by those exempted by Labor Code Sections 1308.2(f) and 1308.3(g):
(1) a person, group of individuals, corporation, or other legal entity acting on behalf of a bona fide trustee of charitable assets or on behalf of a charitable organization;
(2) a government agency (including a public school);
(3) a bona fide cemetery corporation;
(4) a bona fide political committee;
(5) or a bona fide charitable corporation organized and operated primarily as a religious organization, educational institution, hospital, or a licensed health care service plan.
(d) Labor Code Section 1308.2 excludes from registration a minor's parent or guardian or any person who provides only transportation for hire and is not otherwise involved in the door-to-door sales operation.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13671. Form of Application.
Note     •     History

The following form shall be submitted to the Division of Labor Standards Enforcement, Licensing Unit by each employer and/or transporter/supervisor of minors engaged in any door-to-door sales operation:

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PRIVACY ACT NOTICE

	We ask for the information on the “Minor's Door-to-Door Sales: Employer, Transporter & Supervisor Application for Registration” [form DLSE 453 (New 12/96)] for the review of licensing qualifications and to determine fitness for licensing. The disclosure of your security number (SSN) is mandated by Labor Code Sections 1308.2 and 1308.3. The only purpose of this disclosure is to enable us to properly identify individual applicants when accessing law enforcement records.

DLSE 453 (New 12/96)	Minors' Door-to-Door Sales: Application for Registration	Page 5 of  5

NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code; and Section 20, Title 1, California Code of Regulations. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13671.1. Application for Registration.
Note     •     History

(a) A person who employs or uses, transports or supervises a minor under sixteen (16) years of age at any location more than ten (10) miles from the minor's residence in door-to-door sales shall complete the application form provided by the Labor Commissioner entitled ”Minors' Door-to-Door Sales: Employer, Transporter and Supervisor Application for Registration” [form DLSE 453 (New 12/96)]. The applicant shall comply with each applicable requirement contained in the application. The application shall be returned with the Department of Justice fingerprint card form BID-7 (5/90), all required accompanying documents and an indication that the applicant has authorized the release of required tax information.
(b) The applicant shall sign and submit to the Labor Commissioner a complete application in the original accompanied by the required fee and each additional document required in the application, duly executed.
(c) If an applicant fails to comply with any requirement of this Section, the Labor Commissioner shall refuse the application and return it to the applicant in accordance with Section 13672 of this Subchapter.
(d) A new application is required if the form of the legal entity changes.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13672. Filing Schedule for Applications.
Note     •     History

(a) Within sixty (60) calendar days of receiving an application, the Labor Commissioner shall inform the applicant in writing that either:
(1) The application is complete and accepted for filing, or
(2) The application is incomplete, specifying the information required to correct the deficiency.
(A) Within thirty (30) calendar days from the date on the written notice of an incomplete application, the applicant must correct and return the application to the Labor Commissioner.
(B) If the applicant fails to meet this deadline, the application will be rejected, and the applicant shall forfeit the application fee. Following a rejection pursuant to this subdivision, the applicant may submit a subsequent application, which must be accompanied by the required fee.
(b) Within forty-five (45) calendar days after accepting a complete application, the Labor Commissioner shall inform the applicant in writing of the decision on the application.
(c) In the event that the Labor Commissioner fails to reach a permit decision within forty-five (45) calendar days of accepting a complete application, the applicant may appeal to the Labor Commissioner as the chief of the Division of Labor Standards Enforcement in accordance with the following procedure:
(1) The appeal shall be in writing and shall be delivered in person or postmarked within fifteen (15) calendar days after the maximum time period specified in subdivision (b) has elapsed.
(2) After receiving the appeal, the Labor Commissioner shall determine whether or not the Division exceeded the maximum time limit provided in subdivision (c) with good cause. “Good cause” pursuant to subdivision (h) of Government Code Section 15376 means that:
(A) The Division processed 15% more registrations than in the same calendar quarter of the preceding year, or
(B) The Division was required to reply on another public or private entity to process any part of the application and that entity was responsible for the delay.
(3) If the Labor Commissioner finds no good cause for the Division's failure to reach a permit decision after no more than forty-five (45) calendar days of accepting a complete application, the Labor Commissioner shall refund the appellant's application fee in full and the Commissioner shall ensure that the appellant's application is expedited without additional delay or any additional fee.
(4) If the Labor Commissioner finds good cause for the untimely processing, the Labor Commissioner shall not refund the appellant's application fee or any portion of the fee.
(5) A finding on timely processing by the Labor Commissioner shall have no bearing on the sufficiency or the validity of the application, which shall be determined in the same manner as any other application.
(d) The following information is provided pursuant to Government Code Section 15376. During the past two years, the Division's time periods for processing an application from the receipt of the initial application to the final issuance or denial of certification were as follows:
(1) The median time was fifty (50) calendar days;
(2) The minimum time was thirty (30) calendar days;
(3) The maximum time was one hundred thirty-five (135) calendar days.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 15374, 15375, 15376, 15377 and 15378, Government Code; and Sections 1286, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13673. Registration Renewal Dates.
Note     •     History

(a) The registration of an employer is valid for a period of one year from the date of issuance unless revoked or suspended. Registration must be renewed annually. An application for renewal of a registration must be submitted at least thirty (30) calendar days prior to expiration of the current registration.
(b) The registration of a transporter or supervisor is valid for a period of one year from the date of issuance unless revoked or suspended. Registration must be renewed annually. An application for renewal of a registration must be submitted at least thirty (30) calendar days prior to expiration of the current registration.
(c) The registration of an employer with a Transporter/Supervisor authorization is valid for a period of one year from the date of issuance unless revoked or suspended. An application for renewal of a registration must be submitted at least thirty (30) calendar days prior to expiration of the current registration.
NOTE

Authority cited: Sections 54, 55, 59, 1308.2, 1308.3, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13673.1. Change of Address or Doing Business as (“DBA”) Name, Vehicle, or Vehicle License Number.
Note     •     History

(a) Registrants shall report any proposed change of address at least twenty (20) days before such change to the Division of Labor Standards Enforcement, Licensing Unit. Failure to notify the Division of an address change voids the registration.
(b) Registrants shall report any proposed change of a doing business as (“dba”) name at least twenty (20) days before such change to the Division of Labor Standards Enforcement, Licensing Unit. Failure to notify the Division of a doing business as (“dba”) name change voids the registration.
(c) Registrants shall report any change of vehicle or vehicle license number within twenty (20) days of such change to the Division of Labor Standards Enforcement, Licensing Unit. Failure to notify the Division of a change of vehicle or vehicle license number voids the registration.
NOTE

Authority cited: Section 1311, Labor Code. Reference: Sections 1308.2 and 1308.3, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13673.2. Registration Void, When.
Note     •     History

(a) Registration of any transporter/supervisor shall become void upon termination of his (her) employment with the employer to whom he (she) is registered, and shall be surrendered to the Labor Commissioner.
(b) Registration of any employer shall become void when there is a change of the form of the legal entity or when the employer ceases operations, and shall be surrendered to the Labor Commissioner.
NOTE

Authority cited: Section 1311, Labor Code. Reference: Sections 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13674. Fees.
Note     •     History

(a) The Labor Commissioner shall collect:
(1) A $350 fee for an initial application for an employer's registration.
(2) A $200 fee for an application for renewal of an employer's registration.
(3) A $100 fee for an initial application for a transporter's or supervisor's registration.
(4) A $50 fee for an application for renewal of a transporter's or supervisor's registration.
(b) An employer registering as a transporter/supervisor shall pay the applicable initial or renewal fees required for both the employer and the transporter/supervisor registrations.
(c)  A fee paid pursuant to this subdivision may not be prorated.
(d) A fee or portion of a fee may not be refunded except in the event of demonstratable error by the Labor Commissioner or pursuant to Section 13672 of this Subchapter.
(e) If an applicant attempts to renew his or her registration after the expiration date for filing, the Labor Commissioner shall charge the initial application fee.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13675. Transfer of a Registration.
Note     •     History

A registrant may not transfer his or her registration to any other person.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3, 1308.4, 1391 and 1391.2, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13676. Suspension and Revocation of Registration and Denial of an Application.
Note     •     History

(a) The Labor Commissioner may revoke or suspend a registration or deny an application for a registration if the registrant or applicant has:
(1) Falsified or directed the falsification of any statement in an application or in any document that accompanies the application.
(2) Misrepresented or directed another person to misrepresent a significant fact orally or in writing to the minor, the minor's parent or guardian, a  member of the public, a school official, a labor investigator, or a law enforcement officer related to:
(A) The minor's activity or prospective activity in the door-to-door sales operation, including, but not limited to, the nature of the minor's work activity, its purpose, location, or duration; or
(B) The nature or purpose of the door-to-door sales operation. The misrepresentation may be contained in, but not limited to, an advertisement, brochure, circular, or written or oral agreement, or written or oral statement; or
(C) Any other significant fact concerning the door-to-door sales operation.
(3) Violated or willfully aided or abetted a person in the violation of any law or regulation related to door-to-door sales, employment, the payment of wages, health and safety, or the health and morals of a minor, including any law or regulation that prohibits contributing to the delinquency of a minor.
(4) Failed to comply with any provision of this Subchapter.
(5) Failed to notify the Labor Commissioner in writing of any change in the promotional materials or any work agreement with the minor.
(b) If after investigation, the Labor Commissioner determines that the applicant does not possess the requisite character, competency, or responsibility, a registration may be suspended, revoked, or the application denied.
NOTE

Authority cited: Sections 54, 55, 59, 1308.2, 1308.3, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13676.1. Hearings to Revoke or Suspend a Registration or Deny an Application.
Note     •     History

Before revoking or suspending a registration or denying an application for registration, the Labor Commissioner shall notify the registrant in writing and shall provide an opportunity for hearing in accordance with the following procedures:
(a) Revocation or suspension proceedings shall be initiated by the Labor Commissioner by filing an accusation. Denial proceedings shall be initiated by the Labor Commissioner by filing a statement of issues. The accusation or statement of issues, along with a blank notice of request for hearing and a copy of this Section 13676.1, shall be served on the registrant or applicant either personally or by certified mail.
(b) The registrant or applicant may request a hearing by filing a notice of request for hearing with the Labor Commissioner within fifteen (15) calendar days after service of the accusation or statement of issues. If service of the accusation or statement of issues was by certified mail, the period for filing a notice of request for hearing shall be extended in accordance with the provision of Section 1013 of the Code of Civil Procedure. Failure to file a notice of request for hearing within said time shall constitute a waiver of the right to a hearing.
(c) A hearing shall be held within sixty (60) calendar days of the filing of a timely notice of request for hearing. The Labor Commissioner shall assign a hearing officer to conduct the hearing and shall deliver or mail to all parties a notice of hearing at least ten (10) calendar days prior to the hearing.
(d) Prior to a hearing, upon the application of any party to the proceedings, the hearing officer may issue subpoenas to compel the attendance of necessary witnesses and the production of books, papers, and documents. In the exercise of sound discretion, the hearing officer may decline to issue a subpoena absent satisfactory evidence that the witness will be able to give necessary and competent testimony that is material to the issues or in order to limit the introduction of unduly repetitive evidence.
(e) Each party to a hearing shall have the right to appear in person or by counsel; to call and examine witnesses and cross-examine opposing witnesses on any matter relevant to the issues, even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called the witness to testify; to rebut the evidence against him or her; and to introduce documentary exhibits and other evidence. Oral evidence shall be taken only on oath or affirmation.
(f) The Labor Commissioner shall record the hearing on audio tape. A party may have the hearing transcribed by a court reporter if a copy of the transcription is provided to the Labor Commissioner at no charge.
(g) The hearing need not be conducted according to the technical rules of evidence. Any relevant evidence shall be admitted if it is the sort of evidence on which a responsible person is accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in a civil action. Hearsay evidence may be used to supplement or explain other evidence, but shall not of itself be sufficient to support a finding.
(h) The hearing officer in exercising sound discretion, may control the order of presentation of evidence at the hearing, keep out repetitive and cumulative evidence, and otherwise rule on the evidence.
(i) Within forty-five (45) calendar days of closing the hearing record, the hearing officer shall issue a written proposed decision and transmit that proposed decision to the Labor Commissioner for review. The proposed decision shall set forth the findings of fact and legal grounds upon which the proposed decision is based. Within fifteen (15) calendar days of the issuance of the proposed decision, the Labor Commissioner shall issue, and serve upon all parties along with a copy of the proposed decision, a final decision, either adopting, modifying or rejecting the hearing officer's proposed decision. A final decision modifying or rejecting the proposed decision shall set forth the grounds therefor.
(j) A registrant or applicant may seek review of the Labor Commissioner's final decision by filing a petition for a writ of mandate with the appropriate court pursuant to Section 1094.5 of the Code of Civil Procedure.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 1286, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§13677. Inspections.
Note     •     History

(a) Every employer, transporter, or supervisor applying for or possessing an Employer or Transporter/Supervisor registration shall allow the Labor Commissioner free access to his or her place of business, vehicle, or place of operation for the purpose of making an inspection of all books, records, and other papers pertaining to the door-to-door sales operation, including:
(1) Informing the Labor Commissioner, upon his or her request, of any sales, planning, organizational, motivational, or similar meeting involving a minor and permitting the Labor Commissioner to attend any such meeting in order to ascertain the character, competency, and responsibility of an applicant or registrant; or
(2) Providing proof that the applicant or registrant has filed all applicable state and federal income and employment tax forms and owes no outstanding taxes upon the request of the Labor Commissioner in order to ascertain the character, competency, and responsibility of an applicant or registrant; or
(3) Providing any other information deemed relevant by the Labor Commissioner upon his or her request in order to ascertain the character, competency, and responsibility of an applicant or registrant.
NOTE

Authority cited: Sections 54, 55, 59, 1311 and 1398, Labor Code. Reference: Sections 59, 1286, 1299, 1300, 1302, 1304, 1308.1, 1308.2, 1308.3 and 1308.4, Labor Code; and Sections 11706, 11706.1 and 11706.2, California Code of Regulations, Title 8, Division 1, Chapter 6.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
Subchapter 11. Car Washing and Polishing
§13680. Definitions.
Note     •     History

The following definitions shall apply to the provisions contained in this subchapter 11: 
(a) “Business days” has the same meaning as defined in Section 9 of the California Civil Code. 
(b) “Branch” means a separate location of the employer's business where employees carry out car washing and polishing operations as specified in subdivision (a) of Labor Code Section 2051, including the employer's main or central location. 
(c) “Damaged” means the suffering of a loss or diminution of what is the employee's own by reason of the employer's failure to pay wages and penalties. 
(d) “Other related damages” means a loss suffered by an employee or diminution of what is the employee's own by reason of some action or inaction on the part of the employer other than the employer's failure to pay wages and penalties, and includes interest on wages, fringe benefits, gratuities, reporting time pay, reimbursable business expenses, and the one hour of pay an employer is required to pay an employee if the employer fails to provide the employee with a meal period or rest period in accordance with an applicable order of the Industrial Welfare Commission. “Other related damages” includes only those damages or losses for which recovery can be sought pursuant to laws enforced by the Labor Commissioner, and excludes all others. 
(e) “Registration packet” means the “Car Washing and Polishing Registration Application [DLSE 666 (9/05)] which is hereby incorporated by reference and the group of documents and items listed below in (e)(1) through (14) as applicable. The registration packet shall be delivered to the Labor Commissioner in order for the application to be processed by the Labor Commissioner. 
(1) A surety bond as specified in subdivisions (b)(1), (2) and (3) of section 13682 of this subchapter 11; 
(2) Proof of compliance with the local government's business licensing or regional regulatory requirements; 
(3) Annual registration fee as set forth in subdivision (a) of section 13683 of this subchapter 11; 
(4) Annual assessment as set forth in subdivision (c) of section 13683 of this subchapter 11; 
(5) A valid workers'compensation insurance certificate or a copy of the certificate from the Director of the Department of Industrial Relations consenting to the applicant being self insured; 
(6) A copy of the signed contract between applicant and the employee leasing company, if the applicant intends to contract with an employee leasing company as the employer; 
(7) A current workers' compensation insurance certificate provided by the employee leasing company, if the applicant intends to contract with an employee leasing company as the employer; 
(8) A copy of the fictitious business name statement(s) applicant uses or intends to use; 
(9) A copy of applicant's state employer identification number (SEIN) or a copy of applicant's application for a SEIN; 
(10) A copy of applicant's federal employer identification number (FEIN) or a copy of applicant's application for a FEIN; 
(11) A copy of the articles of incorporation, if a corporation; 
(12) A copy of the statement of information by a domestic stock corporation, if a corporation; 
(13) A copy of the articles of organization, if a limited liability company; and 
(14) A sample form of the contract and the 24-hour cancellation notice applicant uses or intends to use, if an employee leasing company.
NOTE

Authority cited: Section 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2055(b)(1), 2059(a) and (b), 2061(a)(4) and 2065(a)(2), Labor Code. 
HISTORY

1. New subchapter 11 (sections 13680-13694) and section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13681. Recordkeeping.
Note     •     History

(a) An employer engaged in the business of car washing and polishing shall keep accurate records as required by Labor Code Sections 226, 1174, and 2052, and any applicable order of the Industrial Welfare Commission. These records shall be maintained for at least three years, except for the records required under Section 1174 which must be kept for not less than two years, at the place of employment or at a central location within the State of California, and upon written or oral request from the Labor Commissioner, or his or her agents, shall be made available for inspection or copying, or both. 
(b) Failure to provide the Labor Commissioner with all of the requested records within ten calendar days after the date of a request, or providing records that are falsified, constitutes grounds for suspension or revocation of an employer's registration, or denial of an employer's application for registration.
NOTE

Authority cited: Sections 55, 59, 90.5, 95, 98.8 and 2053, Labor Code. Reference: Sections 226, 1174 and 2052, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13682. Conditions for Registration, Initial and Renewal.
Note     •     History

The Labor Commissioner may not register an employer, either initially or as a renewal, until the employer fully satisfies all conditions of registration, including the following: 
(a) The employer completes, signs, and submits the application form provided by the Labor Commissioner, “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)], which is hereby incorporated by reference. The employer shall sign the application and certify, under penalty of perjury, that the information he, she, or it has provided on the application form and in any supplementary documents or information submitted by the employer in support of the application is true and correct. Information required on the application includes the following: 
(1) Whether the applicant is permissively self-insured against liability to pay workers' compensation insurance claims as described in subdivision (d)(1) of this section; 
(2) An indication as to whether the employer's form of legal entity is one of the following: 
(A) Sole proprietorship; 
(B) General partnership; 
(C) Limited partnership; 
(D) Limited liability company; or, 
(E) Corporation; 
(3) The residential address and home telephone number of every person listed on the form, “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] as having any one of the following positions, titles, responsibilities, or interests: 
(A) Sole proprietor; 
(B) General partner; 
(C) Limited partner; 
(D) Limited liability company member; 
(E) Corporate officer; 
(F) A person who exercises management responsibility in the employer's business, regardless of the form of legal entity; or, 
(G) A person, except bona fide employees, who has a financial interest of 10 percent or more in the employer's business, regardless of the form of legal entity. 
(4) If a corporation or limited liability company, the name and business address of the agent for service of process; 
(5) Whether the employer or any person having a position, title, responsibility, or interest identified in subparagraphs (A) through (G) of paragraph (3) of subdivision (a) of this section and who is so identified on the form “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] owes an employee any unpaid wages, and if so, the employee's name, residential address, residential telephone number, amount of wages owed, and a description of any existing payment arrangements; 
(6) Whether the employer or any person having a position, title, responsibility, or interest identified in subparagraphs (A) through (G) of paragraph (3) of subdivision (a) of this section and who is so identified on the form “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] has any unpaid judgments outstanding, and if so, the name, address and telephone number of the judgment creditor, the amount owed, and a description of any existing payment arrangements; 
(7) Whether the employer or any person having a position, title, responsibility, or interest identified in subparagraphs (A) through (G) of paragraph (3) of subdivision (a) of this section and who is so identified on the form “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] has an outstanding lien or lawsuit pending in court against him, her, or it, and if so, the name, address and telephone number of the lienholder or opposing party, the type of lien or nature of the lawsuit, the location of the court where the case is pending, and the current status of the lien or lawsuit; 
(8) Whether the employer or any person having a position, title, responsibility, or interest identified in subparagraphs (A) through (G) of paragraph (3) of subdivision (a) of this section and who is so identified on the form “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] owes any payroll taxes, personal, partnership, or corporate income taxes, social security taxes, or disability insurance contributions, and if so, the type of tax or contribution owed, the agency to whom the tax or contribution is owed, the amount owed, and a description of any payment arrangements; 
(9) Whether the employer or any person having a position, title, responsibility or interest identified in subparagraphs (A) through (G) of paragraph (3) of subdivision (a) of this section and who is so identified on the form “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] has ever been cited or assessed a penalty for violating any provision of the California Labor Code or an order of the Industrial Welfare Commission regulating wages, hours and working conditions, and if so, the name of the person or business, or both, that was cited or assessed, the date, nature, and amount of the citation or assessment, the disposition of the citation or assessment, if any, whether or not an appeal challenging the citation or assessment was filed, and if so, whether the citation or assessment was upheld on appeal, and if upheld, whether the citation or assessment has been paid, and if paid, the date on which it was paid; 
(b) The employer obtains a surety bond ensuring the payment of wages, interest on wages, gratuities, and fringe benefits of its employees. 
(1) Except as provided in paragraph (3) of subdivision (b) of this section, the bond shall be in the principal sum equal to fifteen thousand dollars ($15,000.00). 
(2) The bond must be issued by a surety company licensed to do business in the State of California, and the original bond must be filed with the Labor Commissioner along with the application for registration. The bond must be in favor of, and payable to the “People of the State of California,” and be for the benefit of any employee damaged by his or her employer's failure to pay wages, interest on wages, or fringe benefits, or damaged by a violation of Labor Code Section 351(gratuities) or 353 (accurate record keeping of gratuities), or both. The bond shall be on a form provided by the Labor Commissioner, “Car Wash Bond” [DLSE 668 (09/05)], which is hereby incorporated by reference. 
(3) The Labor Commissioner may determine that the principal sum of the surety bond be an amount greater than that described in paragraph (1) of subdivision (b) of this section. If the Labor Commissioner makes such a determination, he or she will serve written notice of the increased amount on the employer at least 30 calendar days prior to the date. Service of the notice may be by regular first-class mail. Factors the Labor Commissioner may consider in determining that a surety bond be in an amount greater than that described in paragraph (1) of subdivision (b) of this section include, history of violations including matters such as wage claims, orders, decisions, or awards of the Labor Commissioner, final determinations of the Labor Commissioner in retaliation or discrimination complaints, and final judgments of any type against the employer, and the size of the employer's business, including number of employees and/or branch locations. 
(c) The employer presents the Labor Commissioner, along with the application for registration, with proof of compliance with the local government's business licensing or regional regulatory requirements. For purposes of this subdivision, “proof of compliance with the local government's business licensing or regional regulatory requirements” includes a copy of the employer's business license issued by the local government's business licensing or regional regulatory authority, or both, and such other licenses or permits required by those authorities in order for the employer to operate a car washing and polishing business in that jurisdiction. 
(d) The employer presents the Labor Commissioner along with the application for registration with either of the following: 
(1) A copy of the certificate from the Director of the Department of Industrial Relations consenting to the employer being self-insured against liability to pay compensation under the State's workers' compensation laws either as an individual employer, or as one employer in a group of employers; or, 
(2) A certificate of insurance evidencing that a current workers' compensation insurance policy issued by an insurance company licensed to do business in the State of California is in effect for its employees. 
(e) The employer completes and submits to the Internal Revenue Service, the form entitled, “Tax Information Authorization.” Form 8821 (4/04), Department of Treasury, Internal Revenue Service. The applicant must submit the completed form to the address of the Internal Revenue Service specified on that form. The Labor Commissioner will provide this form to all persons who are sent the “Car Washing and Polishing Registration Application” [DLSE 666 (09/05)] or to any person who makes a written or oral request to the office of the Labor Commissioner for a copy of Form 8821 (4/04). 
(f) The employer presents the Labor Commissioner, along with the application for registration, with payment of the annual registration fee and annual assessment established pursuant to Labor Code subsections 2059(a) and (b), respectively. 
(g) The employer has fully complied with any citation issued by the Labor Commissioner after the citation is final and has been served on the employer. 
(h) The employer presents the Labor Commissioner, along with the application for registration, with a complete registration packet.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2055, 2059, 2060, 2061 and 2062, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13683. Annual Registration Fee and Assessment; Proof of Registration.
Note     •     History

(a) An employer shall pay to the Labor Commissioner an annual registration fee of two hundred and fifty ($250.00) for each branch the employer operates. 
(b) The Labor Commissioner may periodically adjust the registration fee, pursuant to the Administrative Procedure Act, for inflation to ensure that the fee is sufficient to fund all costs to administer and enforce the provisions of part 8.5 of Division 2 of the Labor Code, Section 2050, et seq. 
(c) In addition to the annual registration fee specified in subdivision (a) of this section, the employer shall pay to the Labor Commissioner an annual assessment of fifty dollars ($50.00) for each branch the employer operates. 
(d) For employers who operate multiple branches, the Labor Commissioner will issue an official Division of Labor Standards Enforcement certificate of registration for each branch registered.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2055(d), 2059(a) and (b), 2057 and 2061(b), Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13684. Registration, Initial and Renewal.
Note     •     History

(a) Except as may be provided in subsection (d) of this section with respect to the first renewal of a registration, an employer shall register with the Labor Commissioner annually. 
(b) To register, an employer must submit a completed and signed application and registration packet (one application and packet for all branches) to the Labor Commissioner. Commencing with the effective date of this subchapter 11 and including the 209 calendar days that follow that date (for a total of 210 days), applications for registration shall be submitted according to the following schedule: 
(1) For a branch located in the County of Los Angeles, the employer shall submit its application and registration packet to the Labor Commissioner no later than 30 calendar days after the effective date of this section. 
(2) Except as provided in subdivision (c) of this section, for a branch located in the County of Orange, the employer shall submit its application and registration packet to the Labor Commissioner no earlier than 61 calendar days, and no later than 90 calendar days after the effective date of this section. 
(3) Except as provided in subdivision (c) of this section, for a branch located in the County of San Diego, the employer shall submit its application and registration packet to the Labor Commissioner no earlier than 91 calendar days, and no later than 120 calendar days after the effective date of this section. 
(4) Except as provided in subdivision (c) of this section, for a branch located in the County of Riverside or San Bernardino, the employer shall submit its application and registration packet to the Labor Commissioner no earlier than 121 calendar days, and no later than 150 calendar days after the effective date of this section. 
(5) Except as provided in subdivision (c) of this section, for a branch located in the County of Santa Clara, Alameda, Sacramento, Ventura, Fresno, or Contra Costa, the employer shall submit its application and registration packet to the Labor Commissioner no earlier than 151 calendar days, and no later than 180 calendar days after the effective date of this section. 
(6) Except as provided in subdivision (c) of this section, for a branch located in a county other than those specified in (1) through (5) above of this subdivision (b), the employer shall submit its application and registration packet to the Labor Commissioner no earlier than 181 calendar days, and no later than 210 calendar days after the effective date of this section. 
(c) If an employer operates multiple branches and any of them are located in different counties, the employer shall submit its application and registration packet to the Labor Commissioner during the time period specified for the branch requiring the earliest submission as set forth in paragraphs (1) through (6) of subdivision (b) of this section. 
(d) Except as otherwise provided by paragraph (1) of this subdivision (d), the registration issued by the Labor Commissioner will be valid for a period of one year. 
(1) In order to distribute registration dates evenly over the year, the Labor Commissioner may, with respect to the time period for the first renewal of a registration only, shorten to less than 12 months or lengthen to not more than 18 months the period of the registration, and prorate the annual fees accordingly. 
(2) If the period of the registration for the first renewal is either shortened or lengthened, the Labor Commissioner shall set subsequent renewals at yearly intervals.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2054, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13685. Transfer of a Registration Prohibited.
Note     •     History

(a) An employer may not transfer its registration to any other person. 
(b) For purposes of this section, “person” includes an individual, association, organization, partnership, joint venture, business trust, limited liability company, corporation, or private entity of any character.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2055(d), 2059(a) and (b) and 2061(b), Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13686. Registration Void, When.
Note     •     History

(a) An employer's registration is void when: 
(1) The employer ceases engaging in the business of car washing and polishing. 
(2) The employer changes its form of legal entity. 
(3) The employer transfers its registration. 
(4) The Labor Commissioner revokes an employer's registration. 
(b) Upon the voidance of a registration, the employer shall immediately surrender and return to the Labor Commissioner the certificate of registration for each branch location. 
(c) If voidance of an employer's registration is due to a change of legal entity, the new legal entity (employer) must submit a complete registration packet to the Labor Commissioner and meet all of the conditions of registration set forth in Section 13682 of this subchapter 11, including payment of the annual registration fee and assessment, in order for a new certificate of registration to be issued.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2055(d), 2059(a) and (b) and 2061(b), Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13687. Failure to Obtain Tax Clearance.
Note     •     History

An employer's failure to obtain a tax clearance from the Internal Revenue Service constitutes a ground for the Labor Commissioner to deny an application for registration, including a renewal.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2054, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13688. Temporary Registration.
Note     •     History

(a) If in submitting an application for registration, including a renewal, the Labor Commissioner determines that the Internal Revenue Service has issued the employer a temporary tax clearance instead of a full tax clearance, the Labor Commissioner may issue the employer a temporary registration that runs concurrently with the temporary tax clearance. The temporary registration shall expire at the same time the temporary tax clearance expires. 
(b) If, following the issuance of a temporary registration the Labor Commissioner issues the employer a regular registration, the period of time during which the temporary registration was in effect shall be applied to and counted against the time period for the regular registration.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2054, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13689. Citation for Failure to Register.
Note     •     History

The Labor Commissioner may cite an employer and impose a civil fine if, upon inspection or investigation he or she determines that the employer has failed to register pursuant to Labor Code Section 2054. The citation may be served personally or by registered mail in accordance with subdivision (c) of Government Code Section 11505. A citation must be in writing and describe the nature of the violation, including reference to the statutory provision allegedly violated.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2060 and 2064, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13690. Failure to Comply with Citation for Failure to Register.
Note     •     History

An employer's failure to comply with a citation containing an assessment issued pursuant to Labor Code Section 2064 after the citation is final and has been served on the employer, constitutes a ground for the Labor Commissioner to deny an application for registration, including a renewal.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2064, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13691. Appeal of Citation for Failure to Register.
Note     •     History

(a) If an employer served with a citation pursuant to Labor Code Section 2064 desires to contest the citation or the proposed assessment of the civil fine therefore, he, she, or it must, within 15 business days after issuance of the citation, notify in writing the office of the Labor Commissioner that appears on the citation of his, her, or its request for an informal hearing. The proceeding under this section is an informal hearing conducted in accordance with the adjudication provisions of the Administrative Procedure Act, Chapters 4.5 and 5 (commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code. Except as provided in subdivision (b) of this section, the Labor Commissioner, or the deputy or agent he or she appoints as the presiding officer, shall, within 30 calendar days after the Labor Commissioner's receipt of the employer's request for an informal hearing, hold a hearing at the conclusion of which a decision is made and the citation or proposed assessment of a civil fine is either affirmed, modified, or dismissed. The decision of the Labor Commissioner consists of a notice of findings, findings, and order, which shall be served on all parties to the hearing within 15 calendar days after the hearing by regular first-class mail at the last known address of the party on file with the Labor Commissioner. Service shall be completed pursuant to Section 1013 of the California Code of Civil Procedure. Any amount found due by the Labor Commissioner as a result of a hearing is due and payable 45 calendar days after notice of the findings and written findings and order have been mailed to the party assessed. A party who is assessed a fine may take a writ of mandate from the findings to the appropriate superior court, as long as he, she, or it agrees to pay any judgment and costs ultimately rendered by the court against him, her, or it for the assessment. To take a writ of mandate, an aggrieved party shall file the writ within 45 calendar days after service of the notice of findings, findings, and order thereon. 
(b) The Labor Commissioner or presiding officer for good cause may extend the 30-calendar day period for holding a hearing described in subdivision (a) of this section. “Good cause” is determined by the Labor Commissioner or presiding deputy. 
(c) If findings and the order thereon affirm or modify a citation or the proposed assessment of a civil fine after hearing, a certified copy of the findings and the order may be entered by the Labor Commissioner in the office of the clerk of the superior court in any county in which the employer has property, or in which he, she, or it has or had a place of business. The clerk, immediately upon the filing, shall enter judgment for the state against the employer in the amount shown on the certified order. 
(d) A judgment entered pursuant to the procedure described in either subdivision (c) or (i) of this section bears the same rate of interest and has the same effect as other judgments, and is given the same preference allowed by the law on other judgments rendered for claims for taxes. 
(e) A cited employer who appeals his, her, or its citation to the Labor Commissioner and fails to appear at the time and place of the hearing is deemed to have withdrawn his, her, or its appeal, and the citation constitutes a final order of the Labor Commissioner and is not subject to administrative review. 
(f) Submittal of a written request by an employer for an informal hearing as provided in subdivision (a) of this section stays the time period in which to pay the fine. 
(g) If the written request for an informal hearing as provided in subdivision (a) of this section is not submitted in writing to the Labor Commissioner within 15 business days after issuance of a citation, the cited employer is deemed to have waived his, her, or its right to a hearing. 
(h) In lieu of contesting a citation, a cited employer may, within 15 business days after issuance of a citation, transmit to the office of the Labor Commissioner designated on the citation, the amount specified for the violation. 
(i) If a cited employer does not request a hearing in accordance with subdivision (a) of this section, the Labor Commissioner may file a certified copy of the citation or proposed assessment of civil fine in the office of the clerk of the superior court in any county in which the employer has property, or in which he, she, or it has or had a place of business. The clerk, immediately upon the filing shall enter judgment for the state against the employer in the amount shown on the citation or proposed assessment of civil fine.
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code; and Sections 11400.20, 11410.10, 11410.40, 11415.10(a), 11445.10(a) and 11445.20(c) and (d), Government Code. Reference: Sections 226.5 and 2064, Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13692. Immediate Family Member Defined.
Note     •     History

For purposes of subdivision (d) of Labor Code Section 2066, “immediate family member” means spouse, domestic partner, cohabitant, child, stepchild, grandchild, parent, stepparent, mother-in-law, father-in-law, son-in-law, daughter-in-law, grandparent, great grandparent, brother, sister, half-brother, half-sister, stepsibling, brother-in-law, sister-in-law, aunt, uncle, niece, nephew, or first cousin (that is, a child of an aunt or uncle).
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2066(d), Labor Code. 
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13693. Action Against Bond, Inadequacy of Bond, Cancellation of Bond.
Note     •     History

(a) If an employer fails to pay wages, interest on wages, fringe benefits, or violates Section 351 or 353 of the Labor Code and an employee is damaged thereby, the Labor Commissioner or the employee, who is damaged because of the employer's failure to pay wages, interest on wages, gratuities or fringe benefits, may proceed against the employer's surety bond by taking whatever action he or she deems appropriate to obtain the unpaid wages, interest on wages, fringe benefits, or gratuities from the bond. 
(b) If the Labor Commissioner or an employee who is damaged because of the employer's failure to pay wages, interest on wages, gratuities, or fringe benefits proceeds against the surety bond and payment is made therefrom to the Labor Commissioner or the employee, the employer shall take all steps and actions necessary to ensure that a surety bond which meets all of the requirements set forth in paragraphs (1) and (2) of subdivision (b) of Section 13682) of this subchapter 11, including the required principal sum, is continuously in place so that there is not a break at anytime in the continuity of the protection afforded by the bond. If the employer at any time fails to provide a surety bond that meets all of the requirements of paragraphs (1) and (2) of subdivision (b) of Section 13682 of this subchapter 11, the Labor Commissioner may suspend or revoke the employer's registration, or deny his, her or its application for a registration. 
(c) If the surety bond required by Labor Code Section 2055 is cancelled or terminated, the employer may not conduct any business until he, she, or it obtains a new surety bond that meets all of the requirements of paragraphs (1) and (2) of subdivision (b) of Section 13682 of this subchapter 11, and files a copy with the Labor Commissioner. 
NOTE

Authority cited: Sections 55, 59, 95 and 98.8, Labor Code; and Section 11415.50(a), Government Code. Reference: Section 2055, Labor Code.
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
§13694. Procedure for Obtaining Damages from the Car Wash Worker Restitution Fund, Disbursement of Moneys from the Car Wash Worker Restitution Fund, Hearing.
Note     •     History

The Labor Commissioner shall determine which claims are accepted, and the amount of money, if any, to be disbursed from the Car Wash Worker Restitution Fund on an accepted claim. The Commissioner shall make these determinations based on a consideration of the information requested in subsection (b) of this section. 
(a) An employee who has been damaged by an employer's failure to pay wages, penalties, or other related damages, or a combination of them, must, before making a claim for payment from the Car Wash Worker Restitution Fund, attempt to collect the wages, penalties, or other related damages directly from the employer and the employer's surety bond. 
(b) An employee or his or her authorized representative seeking recovery of unpaid wages, penalties or other related damages, or a combination of them, from the Car Wash Worker Restitution Fund must submit a claim in writing to the Labor Commissioner. The claim itself need not be in any particular form, but must include the following information and documents: 
(1) Name, street mailing address, and home telephone number of employee for whom recovery is sought; 
(2) Employee's social security number or individual taxpayer identification number; 
(3) Name, street address, and telephone number (if known) of the employer that failed to pay the employee his or her wages, penalties, or other related damages; 
(4) The period of time during which the wages were earned, giving both the beginning and ending dates specified as month, day, year; 
(5) The number of hours worked or other basis for being paid wages; 
(6) The promised rate of pay; 
(7) The actual rate of pay; 
(8) Amount of wages sought; 
(9) Amount of penalty sought, if any, and Labor Code section pursuant to which the penalty is imposed; 
(10) Amount of other related damages sought, if any, described and itemized; 
(11) Amount of recovery sought less any amount recovered from the employer or the employer's surety bond, or both; 
(12) Net amount of total recovery sought, if different from the amount in subsection (11); 
(13) Proof of actual damages suffered; 
(14) A copy of the employee's written assignment of the claim to the representative, if applicable; 
(15) A declaration or affidavit under penalty of perjury that complies with the provisions of Section 2015.5 of the California Code of Civil Procedure containing information regarding attempts made by the employee or his or her representative to satisfy the claim by demand against the surety bond required by Labor Code Section 2055(b), and the results of the demand. The declaration or affidavit must also disclose the attempt(s) made to collect the recovery sought directly from the employer, and the results of the attempt(s). The employee's representative may sign the declaration or affidavit required by this subdivision if the information submitted does not require the personal knowledge of the employee. 
(c) The Information required in paragraphs (3) through (13) must be provided in one of the following ways: 
(1) Submission of a copy of a judgment obtained from a court or an award from the Labor Commissioner which was issued after a contested proceeding which contains all of the information required in paragraphs (3) through (13) inclusive. If the judgment or award omits any of the required information, it shall be supplemented by a declaration under penalty of perjury which provides the missing information. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee. 
(2) Submission of a copy of a judgment obtained from the court or an award from the Labor Commissioner which was issued after an uncontested or default proceeding and a declaration under penalty of perjury that provides the information required by paragraphs (3) through (13) inclusive. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee. 
(3) If no judgment has been obtained from a court or an award from the Labor Commissioner, submission of a declaration under penalty of perjury which contains all of the information required in paragraphs (3) through (13), inclusive. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee. 
(d) If the Labor Commissioner determines that a declaration required under this section is insufficient to sustain a recovery from the Car Wash Worker Restitution Fund because of lack of information, or reason to believe that the information submitted is inaccurate, incomplete or false, the Labor Commissioner may order an investigatory hearing pursuant to subdivision (d) of this section. 
(e) The Labor Commissioner shall have the authority to order an investigatory hearing to determine the validity of a claim seeking recovery from the Car Wash Worker Restitution Fund, including the amount of any damages actually suffered by the employee, if any. Notice of a hearing shall be served on the employer and employee either personally or by registered mail in accordance with the provisions of subdivision (c) of Section 11505 of the Government Code. The hearing shall be conducted by a Deputy Labor Commissioner, and may be held in the Division of Labor Standards Enforcement's district office having jurisdiction over the geographical location of where the nonpayment of wages allegedly occurred, or the Labor Commissioner may designate any other venue he or she deems appropriate. In the hearing, the employer and the employee shall have the opportunity to present evidence. The Labor Commissioner shall issue, serve, and enforce any necessary subpoenas.
NOTE

Authority cited: Section 2065(c), Labor Code. Reference: Section 2065, Labor Code.
HISTORY

1. New section filed 11-22-2005; operative 12-22-2005 (Register 2005, No. 47).
Subchapter 12. Collections
§13800. Collection Cost Fees: Referrals to the Franchise Tax Board.
Note     •     History

For cases referred by the Department of Industrial Relations and its component divisions to the Franchise Tax Board (FTB) for collection of judgments and delinquent debts pursuant to Section 19290 of the Revenue and Taxation Code, a fee shall be imposed and collected from the judgment debtor to cover collection costs incurred as a result of the referral to FTB for collection. The collection cost fee for each referred case shall be one-hundred and fifteen dollars ($115). This fee of $115 is the reasonable fee for actual collection costs, and is exclusive of court costs and attorney's fees which may be collected upon FTB becoming a judgment creditor under Labor Code section 98.2(j). 
NOTE

Authority cited: Section 19290, Revenue and Taxation Code. Reference: Section 19290, Revenue and Taxation Code.
HISTORY

1. New subchapter 12 (section 13800) and section filed 12-10-2007; operative 1-9-2008 (Register 2007, No. 50).
Chapter 7. Division of Labor Statistics and Research

(Originally Printed 4-15-47)
Subchapter 1. Occupational Injury or Illness Reports and Records
Article 1. Reporting of Occupational Injury or Illness
§14000. Definitions.
Note     •     History

As used in this Article:
Computer input media. Techniques and means by which information or data can be entered into a computer system. Examples include magnetic tape, diskette, and telecommunications.
Division. The Division of Labor Statistics and Research of the Department of Industrial Relations.
Occupational illness. Any abnormal condition or disorder caused by exposure to environmental factors associated with employment, including acute and chronic illnesses or diseases which may be caused by inhalation, absorption, ingestion, or direct contact.
Self-insured employer. An employer who has secured from the Director of Industrial Relations a certificate of consent to self-insure against workers' compensation claims pursuant to Labor Code Section 3700.
NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 3700, 6409(b) and 6410, Labor Code.
HISTORY

1. New §§ 14000 to 14504, inclusive, filed 3-3-47; effective thirtieth day thereafter (Register 7).
2. Amendment filed 5-16-73; designated effective 7-1-73 (Register 73, No. 20).
3. Amendment filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
4. Repealer and new section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
5. Amendment filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
6. Amendment 6-14-89; operative 7-14-89 (Register 89, No. 25).
7. Amendment of section and Note filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
§14001. Employer.
Note     •     History

(a) Every employer shall file a complete report of every occupational injury or occupational illness to each employee which results in lost time beyond the date of such injury or illness or which requires medical treatment beyond first aid, as defined in Labor Code Section 5401(a). As used in this subdivision, “lost time” means absence from work for a full day or shift beyond the date of the injury or illness. 
(b) In the event an employer has filed a report of injury or illness pursuant to subdivision 14001(a), and the employee subsequently dies as a result of the reported injury or illness, the employer shall file an amended report indicating such death, within five days after the employer is notified or learns of the death.
(c) The report(s) required by subdivisions 14001(a) and (b) shall be made on Form 5020, Rev. 6, Employer's Report of Occupational Injury or Illness, reproduced in accordance with Section 14005, or by use of computer input media, prescribed by the Division and compatible with the Division's computer equipment. However, reports may be submitted on Form 5020, Rev. 5 until June 30, 1993. 
(d) In the case of a self-insured employer, the reports required by subdivision 14001(a) and (b) shall be filed directly with the Division within five days after the employer obtains knowledge of the injury, illness  or death. In addition, the self-insured employer shall transmit the doctor's report filed in accordance with Section 14003 to the Division within five days of receipt.
(e) In the case of an insured employer, the report required by subdivisions 14001(a) and (b) shall be filed with the insurer within five days after  such insured employer obtains knowledge of the injury, illness or death.
(f) To assure timely filing of the doctor's first report, the employer, upon request by the physician, shall immediately disclose the name and address of the employer's workers' compensation insurance provider.
NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 5401(a), 6409(a) and 6409.1(a), Labor Code. 
HISTORY

1. New section filed 3-3-47; effective thirtieth day thereafter (Register 7). 
2. Amendment filed 11-26-51; effective thirtieth day thereafter (Register 26, No. 5). 
3. Repealer filed 5-16-73; designated effective 7-1-73 (Register 73, No. 20). 
4. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
5. Amendment of subsection (b) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3). 
6. Amendment of subsections (b)-(d) filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12). 
7. Amendment filed 6-14-89; operative 7-14-89 (Register 89, No. 25). 
8. Editorial correction of printing error in subsections (a) and (b) (Register 90, No. 6).
9. Amendment of subsection (a), new subsection (b), subsection relettering, amendment of newly designated subsections (c)-(e), new subsection (f), and amendments of Note filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
§14002. Insurer.
Note     •     History

(a) Immediately upon receipt, the insurer shall transmit to the Division the reports filed by the insured employer, as required by subdivisions 14001(a) and (b). The report(s) filed shall be on either  Form 5020, Rev. 6, or the computer input media prescribed by the Division.
(b) In addition, the insurer shall transmit the doctor's report filed in accordance with Section 14003 to the Division within five days of receipt.
NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a) and 6409.1(a), Labor Code. 
HISTORY

1. New section filed 5-16-73; designated effective 7-1-73 (Register 73, No. 20).
2. Amendment filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
3. Repealer and new section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6). 
4. Amendment of subsection (a) filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12). 
5. Amendment filed 6-14-89; operative 7-14-89 (Register 89, No. 25). 
6. Editorial correction of printing error in subsection (b) (Register 90, No. 6). 
7. Amendment of subsection (a) filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
§14003. Physician.
Note     •     History

(a) Every physician, as defined in Labor Code Section 3209.3, who attends an injured employee shall file, within five days after initial examination, a complete report of every occupational injury or occupational illness to such employee, with the employer's insurer, or with the employer, if self-insured. The injured or ill employee, if able to do so, shall complete a portion of such report describing how the injury or illness occurred. Unless the report is transmitted on computer input media, the physician shall file the original signed report with the insurer or self-insured employer. 
(b) If treatment is for pesticide poisoning or for a condition suspected to be pesticide poisoning, the physician shall also file a complete report directly with the Division within five days after initial treatment. In no case shall treatment administered for pesticide poisoning or suspected pesticide poisoning be deemed to be first aid treatment. 
(c) The reports required by this Section shall be made on Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness (sample forms  may be secured from the Division), upon a form reproduced in accordance with Section 14007, or by use of computer input media prescribed by the Division and compatible with the Division's computer equipment. However, reports may be submitted on Revision 3 of Form 5021 until June 30, 1993. 
(d) Physicians who use computerized data collection and reporting systems shall keep the injured worker's statement with the patient's medical records. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.3, and 6410, Labor Code. 
HISTORY

1. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
2. Amendment of subsection (c) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3). 
3. Amendment filed 6-14-89; operative 7-14-89 (Register 89, No. 25). 
4. Editorial correction of printing error in subsection (a) (Register 90, No. 6). 
5. Amendment of subsections (a) and (c) filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
6. Editional correct of printing error in subsection (c) (Register 93, No. 44).
§14004. Employer's Report of Occupational Injury or Illness, Form 5020, Rev. 7.
Note     •     History

View Graphic
NOTE

Authority cited: Sections 6409.1(a), 6410, and 6410.5, Labor Code. Reference: Sections 6409.1(a) and 6410, Labor Code.
HISTORY

1. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
2. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
3. Repealer and new section filed 3-18-7; effective thirtieth day thereafter (Register 87, No. 12).
4. Repealer and new section filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
5. Amendment of section heading and new revision of Form 5020 filed 9-19-2002; operative 10-19-2002 (Register 2002, No. 38).
§14005. Reproduction of the Employer's Report.
Note     •     History

(a) Insurers and self-insured employers shall reproduce Form 5020, Rev. 7, Employer's Report of Occupational Injury or Illness. In reproducing the form, all of the following conditions shall be met:
(1) The title of the reproduced form shall read: State of California Employer's Report of Occupational Injury or Illness. The size of type may be reduced to meet space requirements, but the words “Employer's Report of Occupational Injury or Illness” shall be in bold face type.
(2) The form shall prominently contain filing instructions and the following statements: 
(A) “Any person who makes or causes to be made any knowingly false or fraudulent material statement or material representation for the purpose of obtaining or denying workers' compensation benefits or payments is guilty of a felony.”
(B) “ATTENTION: This form contains information relating to employee health and must be used in a manner that protects the confidentiality of employees to the extent possible while the information is being used for occupational safety and health purposes.” Reference: Section 14300.29(b)(6)-(10)
(C) Shaded boxes indicate confidential employee information as listed in CCR Title 8 14300.35(b)(2)(E)2.
(D) Confidential information may be disclosed to the employee, former employee, or their personal representative (8 CCR 14300.35), to others for the purpose of processing a workers' compensation or other insurance claim; and under certain circumstances to a public health or law enforcement agency or to a consultant hired by the employer (8 CCR 14300.30). 8 CCR 14300.40 requires provision upon request to certain state and federal workplace safety agencies.
(3) The notice block, coding column in the right hand margin, subheadings, spacing, numbering, arrangement, sequence and text of Questions 1 through 39 shall not be altered. However, self-insured employers may eliminate Questions 1A, 2A, 3A, and 37b from reproduced forms and  utilize the space to collect other information. 
Except as otherwise specified in this Section, any other modification to the content or layout of Form 5020, Rev. 7 may be made only with prior approval of a written request to:

DEPARTMENT OF INDUSTRIAL RELATIONS
CHIEF, DIVISION OF LABOR STATISTICS AND RESEARCH
P. O. BOX 420603
SAN FRANCISCO, CA 94142-0603
(4) Reproduced forms shall be printed on 8 1/2, by 11, paper stock.
(b) Insurers, self-insured employers or other persons reproducing Form 5020, Rev. 7 may rearrange the header block  to permit imprinting the following:
(1) Name and address of the insurer, self-insured employer or claims administrator;
(2) Instructions for completing and filing the form;
(3) Coding lines or boxes for special use by the insurer,  self-insured employer or claims administrator.
(c) The size of the header block may be altered to gain space for additional questions, which may be included at the bottom of the form, following Question 39, provided the proposed form has been reviewed and approved by the Division. The reverse of the form may be used for additional information or questions.
NOTE

Authority cited: Sections 6410 and 6410.5, Labor Code. Reference: Sections 5401.7, 6409.1(a) and 6410, Labor Code.
HISTORY

1. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
2. Amendment of subsections (a) and (c) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
3. Amendment filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
4. Amendment of subsection (a) filed 6-14-89; operative 7-14-89 (Register 89, No. 25).
5. Amendment of section and Note filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
6. Amendment filed 9-19-2002; operative 10-19-2002 (Register 2002, No. 38).
§14006. Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness.
Note     •     History

View Graphic
NOTE

Authority cited: Sections 6409(a), 6410, 6410.5 and 6413.5, Labor Code; and Section 2950, Health and Safety Code.  Reference: Sections 5401.7 and 6410, Labor Code.
HISTORY

1. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
2. Repealer and new section filed 6-14-89; operative 7-14-89 (Register 89,No. 25).
3. Repealer and new section filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
§14007. Reproduction of the Doctor's Report.
Note     •     History

(a) Insurers, self-insured employers, doctors, clinics, hospitals and other persons may reproduce Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness, if all of the following conditions are met: 
(1) The title of the reproduced form shall read: Doctor's First Report of Occupational Injury or Illness State of California. The size of type may be reduced to meet space requirements, but the words “Doctor's First Report of Occupational Injury or Illness” shall be in bold face type. 
(2) Filing instructions in the heading shall include the requirement for the physician to file a copy of the report directly with the Division of Labor Statistics and Research in the case of pesticide poisoning or suspected pesticide poisoning, and the statement “Failure to file a timely doctor's report may result in assessment of a civil penalty.” 
(3) The form shall prominently contain the following statement: “Any person who makes or causes to be made any knowingly false or fraudulent material statement or material representation for the purpose of obtaining or denying workers' compensation benefits or payments is guilty of a felony.”
(4) Reproduced forms shall be printed on 8 1/2" by 11" paper stock.
(5) The subheadings, arrangement, sequence and text of Questions 1 through 25, the coding column and the signature section shall not be altered, except that Question 1 may be eliminated on forms printed with the insurer's or self-insured employer's name at the top. 
(b) Insurers, self-insured employers, doctors, clinics, hospitals and other persons reproducing Form 5021, Rev. 4, may rearrange the heading to permit imprinting: 
(1) The name and address of such insurer, self-insured employer, doctor, clinic, hospital or other persons; 
(2) Coding lines or boxes for special use by the person reproducing the form; 
(3) Instructions for forwarding the form and the number of copies required. 
(c) Insurers, self-insured employers and other persons reproducing Form 5021, Rev. 4, may use the back of the form for additional information, questions, or skeleton diagrams. 
(d) Except as otherwise specified in subdivision 14007(b), any other modification to the content or layout of Form 5021, Rev. 4 may be made only with prior approval of a written request to the Division at the address shown in subdivision 14005(a)(3). 
NOTE

Authority cited: Sections 6410 and 6410.5, Labor Code. Reference: Sections 5401.7 and 6410, Labor Code. 
HISTORY

1. New section filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
2. Amendment of subsection (a) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3). 
3. Amendment filed 6-14-89; operative 7-14-89 (Register 89, No. 25). 
4. Editorial correction of printing error in subsection (a)(2) (Register 90, No. 6).
5. Amendment of section and Note filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
§14100. Insurer.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.
HISTORY

1. Amendment filed 5-16-73, designated effective 7-1-73 (Register 73, No. 20).
2. Amendment filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
3. Repealer filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
§14200. Physician or Surgeon.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.
HISTORY

1. Amendment filed 12-16-49 (Register 18, No. 7).
2. Amendment filed 12-4-51; effective thirtieth day thereafter (Register 26, No. 6).
3. Amendment of subsection (b) filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
4. Repealer filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
§14201. Form 5021, Rev. 1, Doctor's First Report of Occupational Injury or Illness.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.
HISTORY

1. Amendment filed 12-16-49 (Register 18, No. 7).
2. Amendment filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
3. Repealer filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
Article 2. Employer Records of Occupational Injury or Illness
§14300. Purpose.
Note     •     History

The purpose of this rule (Article 2) is to require employers to record work-related fatalities, injuries and illnesses.

Note 1: Recording a work-related injury, illness, or fatality does not mean that the employer or employee was at fault, that a Cal/OSHA regulation has been violated, or that the employee is eligible for workers' compensation or other benefits. 

Note 2: All employers covered by the California Occupational Safety and Health Act are covered by the provisions of Article 2. However, because of the partial exemptions provided by Sections 14300.1 and 14300.2, most employers do not have to keep OSHA injury and illness records unless they are asked in writing to do so by OSHA, the Bureau of Labor Statistics (BLS), or a state agency operating under the authority of OSHA or the BLS. For example, employers with 10 or fewer employees and establishments in certain industry classifications listed in Section 14300.2, Appendix A, are partially exempt from keeping Cal/OSHA injury and illness records. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. Repealer of former article 2 (sections 14300-14400), and new article 2 (sections 14300-14300.48) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). For prior history of article 2, see Register 83, No. 3. 
§14300.1. Partial Exemption for Employers with 10 or Fewer Employees.
Note     •     History

(a) Basic requirement. 
(1) If your company had ten (10) or fewer employees at all times during the last calendar year, you do not need to keep Cal/OSHA injury and illness records unless OSHA or the BLS informs you in writing that you must keep records under the provisions of Section 14300.41 or Section 14300.42. However, all employers must continue to file reports of occupational injuries and illnesses with the Division of Labor Statistics and Research as required by Article 1 of this subchapter, and to immediately report to the Division of Occupational Safety and Health any workplace incident that results in serious injury or illness, or death, as required by Title 8 Section 342. 
(2) If your company had more than ten (10) employees at any time during the last calendar year, you must keep Cal/OSHA injury and illness records unless your establishment is classified as a partially exempt industry under Section 14300.2. 
(b) Implementation. 
(1) Is the partial exemption for size based on the size of my entire company or on the size of an individual establishment? 
The partial exemption for size is based on the number of employees in the entire company. 
(2) How do I determine the size of my company to find out if I qualify for the partial exemption for size?
To determine if you are exempt because of size, you need to determine your company's peak employment during the last calendar year. If you had 10 or fewer employees at all times in the last calendar year, your company qualifies for the partial exemption for size. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.2. Partial Exemption for Establishments in Certain Industries.

(a) Basic requirement. 
(1) If you are a public or private sector employer and all of your establishments are classified in the retail, service, finance, insurance or real estate industries listed in Table 1 in Appendix A of this section, you do not need to keep Cal/OSHA injury and illness records required by Article 2 unless the government asks you to keep the records under Section 14300.41 or Section 14300.42. However, all employers must report to the Division of Occupational Safety and Health any workplace incident that results in a serious injury or illness, or death, as required at Title 8 Section 342. 
(2) If one or more of your establishments are classified in a non-exempt industry, you must keep Cal/OSHA injury and illness records required by Article 2 for all such establishments except those partially exempted because of size under Section 14300.1. 
(b) Implementation. 
(1) Does the partial industry classification exemption apply only to the types of establishments in the retail, service, finance, insurance or real estate industries listed in Table 1?
Yes. Establishments classified in agriculture; mining; construction; manufacturing; transportation; communication, electric, gas and sanitary services; or wholesale trade, and those establishments in the retail, service, finance, insurance and real estate industries not specifically listed in Table 1 in Appendix A are not eligible for the partial industry classification exemption. 
(2) Is the partial industry classification exemption based on the industry classification of my entire company or on the classification of individual establishments operated by my company?
The partial industry classification exemption applies to individual establishments. If a company has several establishments engaged in different classes of activities, some of the company's establishments may be required to keep records, while others may be exempt. 
(3) How do I determine the Standard Industrial Classification code for my company or for individual establishments?
You determine your Standard Industrial Classification (SIC) code by using the Standard Industrial Classification Manual, Executive Office of the President, Office of Management and Budget. You may contact the nearest office of the Division of Occupational Safety and Health for help in determining your SIC code. The SIC Manual can also be viewed at the Internet site for OSHA, www.osha.gov. 

Appendix A to Section 14300.2
Public and private sector employers are not required to keep Cal/OSHA injury and illness records for any establishment classified in the following Standard Industrial Classification (SIC) codes, unless they are asked in writing to do so by OSHA, the Bureau of Labor Statistics (BLS), or a state agency operating under the authority of OSHA or the BLS. All employers, including those partially exempted by reason of size or industry classification, must report to the Division of Occupational Safety and Health any workplace incident that results in a serious injury or illness, or death, as required at Title 8 Section 342. 

Table 1 
Partially Exempt Industries in California 

SIC Code 	Industry Description 	SIC Code 	Industry Description 

525 	Hardware Stores 	731 	Advertising Services 
542 	Meat and Fish Markets 	732 	Credit Reporting and Collection Services 
544 	Candy, Nut, and Confectionery Stores 	733 	Mailing, Reproduction and Stenographic 
545 	Dairy Products Stores 		 Services
546 	Retail Bakeries 	737 	Computer and Data Processing Services
549 	Miscellaneous Food stores 	738 	Miscellaneous Business Services 
551 	New and Used car Dealers 	764 	Reupholstery and Furniture Repair 
552 	Used Car Dealers 	782 	Motion Picture Distribution and Allied 
554 	Gasoline Service Stations 		Services  
557 	Motorcycle Dealers 	783 	Motion Picture Theaters 
56 	Apparel and Accessory Stores 	784 	Video Tape Rental 
573 	Radio, Television, and Computer Stores 	791 	Dance Studios, Schools, and Halls 
58 	Eating and Drinking Places 	792 	Producers, Orchestras, Entertainers 
591 	Drug Stores and Proprietary Stores 	793 	Bowling Centers 
592 	Liquor Stores 	801 	Offices and Clinics of Medical Doctors 
594 	Miscellaneous Shopping Goods Stores 	802 	Offices and Clinics of Dentists 
599 	Retail Stores, Not Elsewhere Classified 	803 	Offices of Osteopathic 
60 	Depository Institutions (banks and savings 	804 	Offices of Other Health Practitioners 
	 institutions) 	807 	Medical and Dental Laboratories 
61 	Nondepository 	809 	Health and Allied Services, Not Elsewhere 
62 	Security and Commodity Brokers 		 Classified 
63 	Insurance Carriers 	81 	Legal Services 
64 	Insurance Agents, Brokers and Services 	82 	Educational Services (schools, colleges, universities and
653 	Real Estate Agents and Managers 		 libraries) 
654 	Title Abstract Offices 	832 	Individual and Family Services 
67 	Holding and Other Investment Offices 	835 	Child Day Care Services 
722 	Photographic Studios, Portrait 	839 	Social Services, Not Elsewhere Classified 
723 	Beauty Shops 	841 	Museums and Art Galleries 
724 	Barber Shops 	86 	Membership Organizations 
725 	Shoe Repair and Shoeshine Parlors 	87 	Engineering, Accounting, Research, Management,
726 	Funeral Service and Crematories 		 and Related Services 
729 	Miscellaneous Personal Services 	899 	Services, Not Elsewhere Classified

NOTE: In California, establishments in SIC Code 781 (Motion Picture Production and Allied Services) are required to record. Federal law does not require these establishments to record. This is the only difference between the list of establishments shown in Table 1 above and the list shown in the equivalent federal rule at 29 CFR 1904.2. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section and Appendix A filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.3. Keeping Records for More than One Agency.
Note     •     History

If you create records to comply with another government agency's injury and illness recordkeeping requirements, OSHA will consider those records as meeting OSHA's recordkeeping requirements if OSHA accepts the other agency's records under a memorandum of understanding with that agency, or if the other agency's records contain the same information as this article requires you to record. You may contact the nearest office of the Division of Occupational Safety and Health for help in determining whether your records meet the requirements of this article. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.4. Recording Criteria.
Note     •     History

(a) Basic requirement. Each employer required by this article to keep records of fatalities, injuries, and illnesses must record each fatality, injury and illness that: 
(1) Is work-related; and 
(2) Is a new case; and 
(3) Meets one or more of the general recording criteria of Section 14300.7 or the application to specific cases of Section 14300.8 through Section 14300.12. 
(b) Implementation. 
What sections of this rule describe recording criteria for recording work-related injuries and illnesses? 
The list below indicates which sections of the rule address each topic 
(1) Determination of work-relatedness. See Section 14300.5; 
(2) Determination of a new case. See Section 14300.6; 
(3) General recording criteria. See Section 14300.7; and 
(4) Additional criteria. (Needlestick and sharps injury cases, medical removal cases, hearing loss cases, tuberculosis cases, and musculoskeletal disorder cases.) See Section 14300.8 though Section 14300.12. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.5. Determination of Work-Relatedness.
Note     •     History

(a) Basic requirement. You must consider an injury or illness to be work-related if an event or exposure in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing injury or illness. Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment, unless an exception in Section 14300.5(b)(2) specifically applies. 
(b) Implementation. 
(1) What is the “work environment”? 
Work environment is defined as “the establishment and other locations where one or more employees are working or are present as a condition of their employment. The work environment includes not only physical locations, but also the equipment or materials used by the employee during the course of his or her work.” 
(2) Are there situations where an injury or illness occurs in the work environment and is not considered work-related? 
Yes. An injury or illness occurring in the work environment that falls under one of the following exceptions is not work-related, and therefore is not recordable: 
(A) At the time of the injury or illness, the employee was present in the work environment as a member of the general public rather than as an employee. 
(B) The injury or illness involves signs or symptoms that surface at work but result solely from a non-work-related event or exposure that occurs outside the work environment. 
(C) The injury or illness results solely from voluntary participation in a wellness program or in a medical, fitness, or recreational activity such as blood donation, physical examination, flu shot, exercise class, racquetball, or baseball. 
(D) The injury or illness is solely the result of an employee eating, drinking, or preparing food or drink for personal consumption (whether bought on the employer's premises or brought in). For example, if the employee is injured by choking on a sandwich while in the employer's establishment, the case would not be considered work-related. 
Note: If the employee is made ill by ingesting food contaminated by workplace contaminants (such as lead), or gets food poisoning from food supplied by the employer, the case would be considered work-related. 
(E) The injury or illness is solely the result of an employee doing personal tasks (unrelated to their employment) at the establishment outside of the employee's assigned working hours. 
(F) The injury or illness is solely the result of personal grooming, self-medication for a non-work-related condition, or is intentionally self-inflicted. 
(G) The injury or illness is caused by a motor vehicle accident and occurs on a company parking lot or company access road while the employee is commuting to or from work. 
(H) The illness is the common cold or flu (Note: contagious diseases such as tuberculosis, brucellosis, hepatitis A, or plague are considered work-related if the employee is infected at work). 
(I) The illness is a mental illness. Mental illness will not be considered work-related unless the employee voluntarily provides the employer with an opinion from a physician or other licensed health care professional with appropriate training and experience (psychiatrist, psychologist, psychiatric nurse practitioner, etc.) stating that the employee has a mental illness that is work-related. 
(3) How do I handle a case if it is not obvious whether the precipitating event or exposure occurred in the work environment or occurred away from work? 
In these situations, you must evaluate the employee's work duties and environment to decide whether or not one or more events or exposures in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing condition. 
(4) How do I know if an event or exposure in the work environment “significantly aggravated” a pre-existing injury or illness? 
A pre-existing injury or illness has been significantly aggravated, for purposes of Cal/OSHA injury and illness recordkeeping required by this Article, when an event or exposure in the work environment results in any of the following: 
(A) Death, provided that the pre-existing injury or illness would likely not have resulted in death but for the occupational event or exposure. 
(B) Loss of consciousness, provided that the pre-existing injury or illness would likely not have resulted in loss of consciousness but for the occupational event or exposure. 
(C) One or more days away from work, or days of restricted work, or days of job transfer that otherwise would not have occurred but for the occupational event or exposure. 
(D) Medical treatment in a case where no medical treatment was needed for the injury or illness before the workplace event or exposure, or a change in medical treatment was necessitated by the workplace event or exposure. 
(5) Which injuries and illnesses are considered pre-existing conditions? 
An injury or illness is a pre-existing condition if it resulted solely from a non-work-related event or exposure that occurred outside the work environment. 
(6) How do I decide whether an injury or illness is work-related if the employee is on travel status at the time the injury or illness occurs? 
Injuries and illnesses that occur while an employee is on travel status are work-related if, at the time of the injury or illness, the employee was engaged in work activities “in the interest of the employer.” Examples of such activities include travel to and from customer contacts, conducting job tasks, and entertaining or being entertained to transact, discuss, or promote business (work-related entertainment includes only entertainment activities being engaged in at the direction of the employer). 
Injuries or illnesses that occur when the employee is on travel status do not have to be recorded if they meet one of the following exceptions: 

EXCEPTION 1: When a traveling employee checks into a hotel, motel, or other temporary residence, he or she establishes a “home away from home.” You must evaluate the employee's activities after he or she checks into the hotel, motel, or other temporary residence for their work-relatedness in the same manner as you evaluate the activities of a non-traveling employee. When the employee checks into the temporary residence, he or she is considered to have left the work environment. When the employee begins work each day, he or she re-enters the work environment. If the employee has established a “home away from home” and is reporting to a fixed worksite each day, you also do not consider injuries or illnesses work-related if they occur while the employee is commuting between the temporary residence and the job location. 

EXCEPTION 2: Injuries or illnesses are not considered work-related if they occur while the employee is on a personal detour from a reasonably direct route of travel (e.g., has taken a side trip for personal reasons). 
(7) How do I decide if a case is work-related when the employee is working at home? 
Injuries and illnesses that occur while an employee is working at home, including work in a home office, will be considered work-related if the injury or illness occurs while the employee is performing work for pay or compensation in the home, and the injury or illness is directly related to the performance of work rather than to the general home environment or setting. For example, if an employee drops a box of work documents and injures his or her foot, the case is considered work-related. If an employee's fingernail is punctured by a needle from a sewing machine used to perform garment work at home, becomes infected and requires medical treatment, the injury is considered work-related. If an employee is injured because he or she trips on the family dog while rushing to answer a work phone call, the case is not considered work-related. If an employee working at home is electrocuted because of faulty home wiring, the injury is not considered work-related. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.6. Determination of New Cases.
Note     •     History

(a) Basic requirement. You must consider an injury or illness to be a “new case” if: 
(1) The employee has not previously experienced a recorded injury or illness of the same type that affects the same part of the body, or 
(2) The employee previously experienced a recorded injury or illness of the same type that affected the same part of the body but had recovered completely (all signs and symptoms had disappeared) from the previous injury or illness and an event or exposure in the work environment caused the signs or symptoms to reappear. 
(b) Implementation. 
(1) When an employee experiences the signs or symptoms of a chronic work-related illness, do I need to consider each recurrence of signs or symptoms to be a new case? 
No. For occupational illnesses where the signs or symptoms may recur or continue in the absence of an exposure in the workplace, the case must only be recorded once. Examples may include occupational cancer, asbestosis, byssinosis and silicosis. 
(2) When an employee experiences the signs or symptoms of an injury or illness as a result of an event or exposure in the workplace, such as an episode of occupational asthma, must I treat the episode as a new case?
Yes. Because the episode or recurrence was caused by an event or exposure in the workplace, the incident must be treated as a new case. 
(3) May I rely on a physician or other licensed health care professional to determine whether a case is a new case or a recurrence of an old case? 
You are not required to seek the advice of a physician or other licensed health care professional. However, if you do seek such advice, you must follow the physician or other licensed health care professional's recommendation about whether the case is a new case or a recurrence. If you receive recommendations from two or more physicians or other licensed health care professionals, you must make a decision as to which recommendation is the most authoritative (best documented, best reasoned, or most authoritative), and record the case based upon that recommendation. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.7. General Recording Criteria.
Note     •     History

(a) Basic requirement. You must consider an injury or illness to meet the general recording criteria, and therefore to be recordable, if it results in any of the following as detailed in subsections (b)(2) through (b)(6) of this section: death, days away from work, restricted work or transfer to another job, medical treatment beyond first aid, or loss of consciousness. You must also consider a case to meet the general recording criteria if it involves a significant injury or illness diagnosed by a physician or other licensed health care professional as detailed in subsection (b)(7) of this section, even if it does not result in death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness. 
(b) Implementation. 
(1) How do I decide if a case meets one or more of the general recording criteria? 
A work-related injury or illness must be recorded if it results in one or more of the following: 
(A) Death, See Section 14300.7(b)(2) 
(B) Days away from work, See Section 14300.7(b)(3) 
(C) Restricted work or transfer to another job, See Section 14300.7(b)(4) 
(D) Medical treatment beyond first aid, See Section 14300.7(b)(5) 
(E) Loss of consciousness, See Section 14300.7(b)(6) 
(F) A significant injury or illness diagnosed by a physician or other licensed health care professional. See Section 14300.7(b)(7) 
(2) How do I record a work-related injury or illness that results in a fatality? 
You must record an injury or illness that results in a fatality, as defined in Section 14300.46 of this Article, by entering a mark on the Cal/OSHA Form 300 in the column labeled for cases resulting in death. You must also report any work-related fatality or serious injury or illness to the Division of Occupational Safety and Health within eight (8) hours, as required by Title 8 Section 342. 
(3) How do I record a work-related injury or illness that results in days away from work? 
When an injury or illness involves one or more days away from work, you must record the injury or illness on the Cal/OSHA Form 300 with a mark in the space for cases involving days away and an entry of the number of calendar days away from work in the number of days column. If the employee is out for an extended period of time, you must enter an estimate of the days that the employee will be away, and update the day count when the actual number of days is known. 
(A) Do I count the day on which the injury occurred or the illness began? 
No. You begin counting days away on the day after the injury occurred or the illness began. 
(B) How do I record an injury or illness when a physician or other licensed health care professional recommends that the worker stay at home but the employee comes to work anyway? 
You must record these injuries and illnesses on the Cal/OSHA Form 300 using the check box for cases with days away from work and enter the number of calendar days away recommended by the physician or other licensed health care professional. If a physician or other licensed health care professional recommends days away, you should encourage your employee to follow that recommendation. However, the days away must be recorded whether the injured or ill employee follows the physician or licensed health care professional's recommendation or not. If you receive recommendations from two or more physicians or other licensed health care professionals, you may make a decision as to which recommendation is the most authoritative, and record the case based upon that recommendation. 
(C) How do I handle a case when a physician or other licensed health care professional recommends that the worker return to work but the employee stays at home anyway? 
In this situation, you must end the count of days away from work on the date the physician or other licensed health care professional recommends that the employee return to work. 
(D) How do I count weekends, holidays, or other days the employee would not have worked anyway? 
You must count the number of calendar days the employee was unable to work as a result of the injury or illness, regardless of whether or not the employee was scheduled to work on those day(s). Weekend days, holidays, vacation days or other days off are included in the total number of days recorded if the employee would not have been able to work on those days because of a work-related injury or illness. 
(E) How do I record a case in which a worker is injured or becomes ill on a Friday and reports to work on a Monday, and was not scheduled to work on the weekend? 
You need to record this case only if you receive information from a physician or other licensed health care professional indicating that the employee should not have worked, or should have performed only restricted work, during the weekend. If so, you must record the injury or illness as a case with days away from work or restricted work, and enter the day counts, as appropriate. 
(F) How do I record a case in which a worker is injured or becomes ill on the day before scheduled time off such as a holiday, a planned vacation, or a temporary plant closing? 
You need to record a case of this type only if you receive information from a physician or other licensed health care professional indicating that the employee should not have worked, or should have performed only restricted work, during the scheduled time off. If so, you must record the injury or illness as a case with days away from work or restricted work, and enter the day counts, as appropriate. 
(G) Is there a limit to the number of days away from work I must count? 
Yes. You may “cap” the total days away at 180 calendar days. You are not required to keep track of the number of calendar days away from work if the injury or illness resulted in more than 180 calendar days away from work and/or days of job transfer or restriction. In such a case, entering 180 in the total days away column will be considered adequate. 
(H) May I stop counting days if an employee who is away from work because of an injury or illness retires or leaves my company? 
Yes. If the employee leaves your company for some reason unrelated to the injury or illness, such as retirement, a plant closing, or to take another job, you may stop counting days away from work or days of restriction/job transfer. If the employee leaves your company because of the injury or illness, you must estimate the total number of days away or days of restriction/job transfer and enter the day count on the Cal/OSHA Form 300. 
(I) If a case occurs in one year but results in days away during the next calendar year, do I record the case in both years? 
No. You only record the injury or illness once. You must enter the number of calendar days away for the injury or illness on the Cal/OSHA Form 300 for the year in which the injury or illness occurred. If the employee is still away from work because of the injury or illness when you prepare the annual summary, estimate the total number of calendar days you expect the employee to be away from work, use this number to calculate the total for the annual summary, and then update the initial log entry later when the day count is known or reaches the 180-day cap. 
(4) How do I record a work-related injury or illness that results in restricted work or job transfer? 
When an injury or illness involves restricted work or job transfer but does not involve death or days away from work, you must record the injury or illness on the Cal/OSHA Form 300 by placing a mark in the space for job transfer or restriction and an entry of the number of restricted or transferred days in the restricted workdays column. 
(A) How do I decide if the injury or illness resulted in restricted work? 
Restricted work occurs when, as the result of a work-related injury or illness: 
1. You keep the employee from performing one or more of the routine functions of his or her job, or from working the full workday that he or she would otherwise have been scheduled to work; or 
2. A physician or other licensed health care professional recommends that the employee not perform one or more of the routine functions of his or her job, or not work the full workday that he or she would otherwise have been scheduled to work. 
(B) What is meant by “routine functions”? 
For recordkeeping purposes, an employee's routine functions are those work activities the employee regularly performs at least once per week. 
(C) Do I have to record restricted work or job transfer if it applies only to the day on which the injury occurred or the illness began? 
No. You do not have to record restricted work or job transfers if you, or the physician or other licensed health care professional, impose the restriction or transfer only for the day on which the injury occurred or the illness began. 
(D) If you or a physician or other licensed health care professional recommends a work restriction, is the injury or illness automatically recordable as a “restricted work” case? 
No. A recommended work restriction is recordable only if it affects one or more of the employee's routine job functions. To determine whether this is the case, you must evaluate the restriction in light of the routine functions of the injured or ill employee's job. If the restriction from you or the physician or other licensed health care professional keeps the employee from performing one or more of his or her routine job functions, or from working the full workday the injured or ill employee would otherwise have worked, the employee's work has been restricted and you must record the case. 
(E) How do I record a case where the worker works only for a partial work shift because of a work-related injury or illness? 
A partial day of work is recorded as a day of job transfer or restriction for recordkeeping purposes, except for the day on which the injury occurred or the illness began. 
(F) If the injured or ill worker produces fewer goods or services than he or she would have produced prior to the injury or illness but otherwise performs all of the routine functions of his or her work, is the case considered a restricted work case? 
No. The case is considered restricted work only if the worker does not perform all of the routine functions of his or her job or does not work the full shift that he or she would otherwise have worked. 
(G) How do I handle vague restrictions from a physician or other licensed health care professional, such as that the employee engage only in “light duty” or “take it easy for a week”? 
If you are not clear about the physician or other licensed health care professional's recommendation, you may ask that person whether the employee can do all of his or her routine job functions and work all of his or her normally assigned work shift. If the answer to both of these questions is “Yes,” then the case does not involve a work restriction and does not have to be recorded as such. If the answer to one or both of these questions is “No,” the case involves restricted work and must be recorded as a restricted work case. If you are unable to obtain this additional information from the physician or other licensed health care professional who recommended the restriction, record the injury or illness as a case involving restricted work. 
(H) What do I do if a physician or other licensed health care professional recommends a job restriction meeting the definition in Section 14300.7(b)(4)(A), but the employee does all of his or her routine job functions anyway? 
You must record the injury or illness on the Cal/OSHA Form 300 as a restricted work case. If a physician or other licensed health care professional recommends a job restriction, you should ensure that the employee complies with that restriction. If you receive recommendations from two or more physicians or other licensed health care professionals, you may make a decision as to which recommendation is the most authoritative, and record the case based upon that recommendation. 
(I) How do I decide if an injury or illness involved a transfer to another job? 
If you assign an injured or ill employee to a job other than his or her regular job for part of the day, the case involves transfer to another job. 
Note: This does not include the day on which the injury or illness occurred. 
(J) Are transfers to another job recorded in the same way as restricted work cases? 
Yes. Both job transfer and restricted work cases are recorded in the same box on the Cal/OSHA Form 300. For example, if you assign, or a physician or other licensed health care professional recommends that you assign, an injured or ill worker to his or her routine job duties for part of the day and to another job for the rest of the day, the injury or illness involves a job transfer. You must record an injury or illness that involves a job transfer by placing a check in the box for job transfer. 
(K) How do I count days of job transfer or restriction? 
You count days of job transfer or restriction in the same way you count days away from work, using Sections 14300.7(b)(3)(A) to (H), above. The only difference is that, if you permanently assign the injured or ill employee to a job that has been modified or permanently changed in a manner that eliminates the routine functions the employee was restricted from performing, you may stop the day count when the modification or change is made permanent. You must count at least one day of restricted work or job transfer for such cases. 
(5) How do I record an injury or illness that involves medical treatment beyond first aid? 
If a work-related injury or illness results in medical treatment beyond first aid, you must record it on the Cal/OSHA Form 300. If the injury or illness did not involve death, one or more days away from work, one or more days of restricted work, or one or more days of job transfer, you enter a mark in the box for cases where the employee received medical treatment but remained at work and was not transferred or restricted. 
(A) What is the definition of medical treatment? 
“Medical treatment” means the management and care of a patient to combat disease or disorder. For the purposes of Article 2, medical treatment does not include: 
1. Visits to a physician or other licensed health care professional solely for observation or counseling; 
2. The conduct of diagnostic procedures, such as x-rays and blood tests, including the administration of prescription medications used solely for diagnostic purposes (e.g., eye drops to dilate pupils); or 
3. “First aid” as defined in subsection (b)(5)(B) of this section. 
(B) What is “first aid”? 
For the purposes of Article 2, “first aid” means the following: 
1. Using a nonprescription medication at nonprescription strength (for medications available in both prescription and non-prescription form, a recommendation by a physician or other licensed health care professional to use a non-prescription medication at prescription strength is considered medical treatment for recordkeeping purposes); 
2. Administering tetanus immunizations (other immunizations, such as Hepatitis B vaccine or rabies vaccine, are considered medical treatment); 
3. Cleaning, flushing or soaking wounds on the surface of the skin; 
4. Using wound coverings such as bandages, Band-AidsE, gauze pads, etc.; or using butterfly bandages or Steri-StripsE (other wound closing devices such as sutures, staples, etc. are considered medical treatment); 
5. Using hot or cold therapy; 
6. Using any non-rigid means of support, such as elastic bandages, wraps, non-rigid back belts, etc. (devices with rigid stays or other systems designed to immobilize parts of the body are considered medical treatment for recordkeeping purposes); 
7. Using temporary immobilization devices while transporting an accident victim (e.g., splints, slings, neck collars, backboards, etc.); 
8. Drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister; 
9. Using eye patches; 
10. Removing foreign bodies from the eye using only irrigation or a cotton swab; 
11. Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means; 
12. Using finger guards; 
13. Using massages (physical therapy or chiropractic treatment are considered medical treatment for recordkeeping purposes); or 
14. Drinking fluids for relief of heat stress. 
(C) Are any other procedures included in first aid? 
No. This is a complete list of all treatments considered first aid for purposes of Article 2. 
(D) Does the professional status of the person providing the treatment have any effect on what is considered first aid or medical treatment? 
No. The treatments listed in Section 14300.7(b)(5)(B) of this Article are considered to be first aid regardless of the professional status of the person providing the treatment. Even when these treatments are provided by a physician or other licensed health care professional, they are considered first aid for the purposes of Article 2. Similarly, treatment beyond first aid is considered to be medical treatment even when it is provided by someone other than a physician or other licensed health care professional. 
(E) What if a physician or other licensed health care professional recommends medical treatment but the employee does not follow the recommendation? 
If a physician or other licensed health care professional recommends medical treatment, you should encourage the injured or ill employee to follow that recommendation. However, you must record the case even if the injured or ill employee does not follow the physician or other licensed health care professional's recommendation. 
(6) Is every work-related injury or illness case involving a loss of consciousness recordable? 
Yes. You must record a work-related injury or illness if the worker becomes unconscious, regardless of the length of time the employee remains unconscious. 
(7) What is a “significant” diagnosed injury or illness that is recordable under the general criteria even if it does not result in death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness? 
Work-related cases involving cancer, chronic irreversible disease, a fractured or cracked bone, or a punctured eardrum must always be recorded under the general criteria at the time of diagnosis by a physician or other licensed health care professional. 

Note to Section 14300.7: Most significant injuries and illnesses will result in one of the criteria listed in Section 14300.7(a): death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness. However, there are some significant injuries, such as a punctured eardrum or a fractured toe or rib, for which neither medical treatment nor work restrictions may be recommended. In addition, there are some significant progressive diseases, such as byssinosis, silicosis, and some types of cancer, for which medical treatment or work restrictions may not be recommended at the time of diagnosis but are likely to be recommended as the disease progresses. Cancer, chronic irreversible diseases, fractured or cracked bones, and punctured eardrums are generally considered significant injuries and illnesses, and must be recorded at the initial diagnosis even if medical treatment or work restrictions are not recommended, or are postponed, in a particular case. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.8. Recording Criteria for Needlestick and Sharps Injuries.
Note     •     History

(a) Basic requirement. You must record all work-related needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or other potentially infectious material (as defined by Title 8, Section 5193). You must enter the case on the Cal/OSHA Form 300 as an injury. To protect the employee's privacy, you may not enter the employee's name on the Cal/OSHA Form 300 (see the requirements for privacy cases in Subsections 14300.29(b)(6) through 14300.29(b)(9)). 
Note: The requirements of this section are not limited to health care and related establishments. 
(b) Implementation. 
(1) What does “other potentially infectious material” mean? 
The term “other potentially infectious materials” is defined in the standard for Bloodborne Pathogens at Title 8 Section 5193(b) and includes the following materials: 
(A) Human bodily fluids, tissues and organs, and 
(B) Other materials infected with the HIV, hepatitis B virus (HBV) or hepatitis C virus (HCV) such as laboratory cultures or tissues from experimental animals. 
(2) Does this mean that I must record all cuts, lacerations, punctures, and scratches? 
No. You need to record cuts, lacerations, punctures, and scratches only if they are work-related and involve contamination with another person's blood or other potentially infectious material. If the cut, laceration, or scratch involves a clean object, or a contaminant other than blood or other potentially infectious material, you need to record the case only if it meets one or more of the recording criteria in Section 14300.7. 
(3) If I record an injury and the employee is later diagnosed with an infectious bloodborne disease, do I need to update the Cal/OSHA Form 300? 
Yes. You must update the classification of the case on the Cal/OSHA Form 300 if the case results in death, days away from work, restricted work, or job transfer. You must also update the description to identify the infectious disease and change the classification of the case from an injury to an illness. 
(4) What if one of my employees is splashed or exposed to blood or other potentially infectious material without being cut or scratched? Do I need to record this incident? 
You need to record such an incident on the Cal/OSHA Form 300 as an illness if: 
(A) It results in the diagnosis of a bloodborne illness, such as HIV, hepatitis B, or hepatitis C; or 
(B) It meets one or more of the recording criteria in Section 14300.7. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.9. Recording Criteria for Cases Involving Medical Removal Under Cal/OSHA Standards.
Note     •     History

(a) Basic requirement. If an employee is medically removed under the medical surveillance requirements of a Title 8 standard, you must record the case on the Cal/OSHA Form 300. 
(b) Implementation. 
(1) How do I classify medical removal cases on the Cal/OSHA Form 300? 
You must enter each medical removal case on the Cal/OSHA Form 300 as either a case involving days away from work or a case involving restricted work activity, depending on how you decide to comply with the medical removal requirement. If the medical removal is the result of a chemical exposure, you must enter the case on the Cal/OSHA Form 300 by checking the “poisoning” column. 
(2) Do all of Cal/OSHA's standards have medical removal provisions? 
No. Some Title 8 standards, such as the standards covering bloodborne pathogens and noise, do not have medical removal provisions. Many Title 8 standards that cover specific chemical substances have medical removal provisions. These standards include, but are not limited to, lead, cadmium, methylene chloride, formaldehyde, and benzene. 
(3) Do I have to record a case where I voluntarily removed the employee from exposure before the medical removal criteria in a Cal/OSHA standard are met? 
No. If the case involves voluntary medical removal before the medical removal levels required by a Cal/OSHA standard, you do not need to record the case on the Cal/OSHA Form 300. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.10. Recording Criteria for Cases Involving Occupational Hearing Loss.
Note     •     History

(a) Basic requirement. If an employee's hearing test (audiogram) reveals that the employee has experienced a work-related Standard Threshold Shift (STS) in hearing in one or both ears, and the employee's total hearing level is 25 decibels (dB) or more above audiometric zero (averaged at 2000, 3000, and 4000 Hz) in the same ear(s) as the STS, you must record the case on the Cal/OSHA Form 300.
(b) Implementation.
(1) What is a Standard Threshold Shift? A Standard Threshold Shift, or STS, is defined in the occupational noise exposure standard at section 5097(d)(8) as a change in hearing threshold, relative to the baseline audiogram for that employee, of an average of 10 decibels (dB) or more at 2000, 3000, and 4000 hertz (Hz) in one or both ears.
(2) How do I evaluate the current audiogram to determine whether an employee has an STS and a 25-dB hearing level?
(i) STS. If the employee has never previously experienced a recordable hearing loss, you must compare the employee's current audiogram with that employee's baseline audiogram. If the employee has previously experienced a recordable hearing loss, you must compare the employee's current audiogram with the employee's revised baseline audiogram (the audiogram reflecting the employee's previous recordable hearing loss case).
(ii) 25-dB loss. Audiometric test results reflect the employee's overall hearing ability in comparison to audiometric zero. Therefore, using the employee's current audiogram, you must use the average hearing level at 2000, 3000, and 4000 Hz to determine whether or not the employee's total hearing level is 25 dB or more.
(3) May I adjust the current audiogram to reflect the effects of aging on hearing?
Yes. When you are determining whether an STS has occurred, you may age adjust the employee's current audiogram results by using Tables F as appropriate, in Appendix F of Title 8 General Industry Safety Orders, Article 105, section 5095 to 5100. You may not use an age adjustment when determining whether the employee's total hearing level is 25 dB or more above audiometric zero.
(4) Do I have to record the hearing loss if I am going to retest the employee's hearing?
No, if you retest the employee's hearing within 30 days of the first test, and the retest does not confirm the recordable STS, you are not required to record the hearing loss case on the Cal/OSHA 300 Log. If the retest confirms the recordable STS, you must record the hearing loss illness within seven (7) calendar days of the retest. If subsequent audiometric testing performed under the testing requirements of the noise standard at section 5097 indicates that an STS is not persistent, you may erase or line-out the recorded entry.
(5) Are there any special rules for determining whether a hearing loss case is work-related?
No. You must use the rules in section 14300.5 to determine if the hearing loss is work-related. If an event or exposure in the work environment either caused or contributed to the hearing loss, or significantly aggravated a pre-existing hearing loss, you must consider the case to be work related.
(6) If a physician or other licensed health care professional determines the hearing loss is not work-related, do I still need to record the case?
If a physician or other licensed health care professional determines that the hearing loss is not work-related or has not been significantly aggravated by occupational noise exposure, you are not required to consider the case work-related or to record the case on the Cal/OSHA Form 300.
(7) How do I complete the Form 300 for a hearing loss case?
When you enter a recordable hearing loss case on the Cal/OSHA Form 300, you must check the 300 Log column for hearing loss.
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code; and 29 Code of Federal Regulations Section 1904.10.
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
2. Repealer and new section filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1).
3. Amendment of subsections (a) and (a)(7) and amendment of Note filed 4-23-2004; operative 4-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 17). 
4. Change without regulatory effect amending subsections (a) and (b)(7) filed 8-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 34).
§14300.11. Recording Criteria for Work-Related Tuberculosis Cases.
Note     •     History

(a) Basic requirement. If any of your employees has been occupationally exposed to anyone with a known case of active tuberculosis (TB), and that employee subsequently develops a tuberculosis infection, as evidenced by a positive skin test or diagnosis by a physician or other licensed health care professional, you must record the case on the Cal/OSHA Form 300 by checking the “respiratory condition” column. 
(b) Implementation. 
(1) Do I have to record, on the Cal/OSHA Form 300, a positive TB skin test result obtained at a pre-employment physical? 
No. You do not have to record it because the employee was not occupationally exposed to a known case of active tuberculosis in your workplace. 
(2) May I line-out or erase a recorded TB case if I obtain evidence that the case was not caused by occupational exposure? 
Yes. You may line-out or erase the case from the Cal/OSHA Form 300 under the following circumstances: 
(A) The worker is living in a household with a person who has been diagnosed with active TB; 
(B) The Public Health Department has identified the worker as a contact of an individual with a case of active TB unrelated to the workplace; or 
(C) A medical investigation shows that the employee's infection was caused by exposure to TB away from work, or proves that the case was not related to the workplace TB exposure. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.12. Recording Criteria for Cases Involving Work-Related Musculoskeletal Disorders.
Note     •     History

Record work-related injuries and illnesses involving muscles, nerves, tendons, ligaments, joints, cartilage and spinal discs in accordance with the requirements applicable to any injury or illness under Sections 14300.5, 14300.6, 14300.7, and 14300.29. For entry (M) on the Cal/OSHA Form 300, you must check either the entry for “injury” or for “all other illnesses.” 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code; and 29 Code of Federal Regulations Section 1904.12.
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
2. Amendment of section and new Note filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1).
3. Amendment of section and Note filed 4-23-2004; operative 4-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 17). 
4. Change without regulatory effect amending section filed 8-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 34).
§14300.13-14300.28. [Reserved]

§14300.29. Forms.
Note     •     History

(a) Basic requirement. You must use Cal/OSHA 300, 300A, and 301 forms, or equivalent forms, for recordable injuries and illnesses. The Cal/OSHA Form 300 is called the Log of Work-Related Injuries and Illnesses, the Cal/OSHA Form 300A is called the Summary of Work-Related Injuries and Illnesses, and the Cal/OSHA Form 301 is called the Injury and Illness Incident Report. Appendices A through C give samples of the Cal/OSHA forms. Appendices D through F provide elements for development of equivalent forms consistent with Section 14300.29(b)(4) requirements. Appendix G is a worksheet to assist in completing the Cal/OSHA Form 300A. 
(b) Implementation. 
(1) What do I need to do to complete the Cal/OSHA Form 300? 
You must enter information about your establishment at the top of the Cal/OSHA Form 300 by entering a one or two line description for each recordable injury or illness, and summarizing this information on the Cal/OSHA Form 300A at the end of the year. 
(2) What do I need to do to complete the Cal/OSHA Form 301 Incident Report? 
You must complete a Cal/OSHA 301 Incident Report form, or an equivalent form, for each injury or illness required to be entered on the Cal/OSHA Form 300. 
(3) How quickly must each injury or illness be recorded? 
You must enter each recordable injury or illness on the Cal/OSHA Form 300 and Cal/OSHA Form 301 Incident Report within seven (7) calendar days of receiving information that a recordable injury or illness has occurred. 
(4) What is an equivalent form? 
An equivalent form is one that has the same information, is as readable and understandable to a person not familiar with it, and is completed using the same instructions as the Cal/OSHA form it replaces. 
(5) May I keep my records on a computer? 
Yes. If the computer can produce equivalent forms when they are needed, as described under Sections 14300.35 and 14300.40, you may keep your records using a computer system. 
(6) Are there situations where I do not put the employee's name on the forms for privacy reasons? 
Yes. If you have a “privacy concern case,” as described in subsection (b)(7) of this section, you may not enter the employee's name on the Cal/OSHA Form 300. Instead, enter “privacy case” in the space normally used for the employee's name. This will protect the privacy of the injured or ill employee when another employee, a former employee, or an authorized employee representative is provided access to the Cal/OSHA Form 300 under Section 14300.35(b)(2). You must keep a separate, confidential list of the case numbers and employee names for your privacy concern cases so you can update the cases and provide the information to the government if asked to do so. 
(7) How do I determine if an injury or illness is a privacy concern case?
You must consider the following injuries or illnesses to be privacy concern cases: 
(A) An injury or illness to an intimate body part or the reproductive system; 
(B) An injury or illness resulting from a sexual assault; 
(C) Mental illnesses; 
(D) HIV infection, hepatitis, or tuberculosis; 
(E) Needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or other potentially infectious material (see Section 14300.8 for definitions); and 
(F) Other illnesses, if the employee independently and voluntarily requests that his or her name not be entered on the log.
(8) May I classify any other types of injuries and illnesses as privacy concern cases? 
No. This is a complete list of all injuries and illnesses considered privacy concern cases for purposes of Article 2. 
(9) If I have removed the employee's name, but still believe that the employee may be identified from the information on the forms, is there anything else that I can do to further protect the employee's privacy? 
Yes. If you have a reasonable basis to believe that information describing the privacy concern case may be personally identifiable even though the employee's name has been omitted, you may use discretion in describing the injury or illness on both the Cal/OSHA forms 300 and 301. You must enter enough information to identify the cause of the incident and the general severity of the injury or illness, but you do not need to include details of an intimate or private nature. For example, a sexual assault case could be described as “injury from assault,” or an injury to a reproductive organ could be described as “lower abdominal injury.” 
(10) What must I do to protect employee privacy if I wish to provide access to the Cal/OSHA forms 300 and 301 to persons other than government representatives, employees, former employees or authorized representatives? 
If you decide to voluntarily disclose the forms to persons other than government representatives, employees, former employees or authorized representatives (as required by Sections 14300.35 and 14300.40), you must remove or hide the employees' names and other personally identifying information, except for the following cases. You may disclose the forms with personally identifying information only: 
(A) to an auditor or consultant hired by the employer to evaluate the safety and health program; 
(B) to the extent necessary for processing a claim for workers' compensation or other insurance benefits; or 
(C) to a public health authority or law enforcement agency for uses and disclosures for which consent, an authorization, or opportunity to agree or object is not required under Department of Health and Human Services Standards for Privacy of Individually Identifiable Health Information, 45 CFR.164.512. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code; and 29 Code of Federal Regulations Section 1904.29. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
2. Amendment of subsection (b)(7)(F) filed 12-30-2002; operative 1-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 1).
3. Amendment of subsections (a), (b)(1)-(3), (b)(6) and (b)(7)(F) and amendment of Note filed 4-23-2004; operative 4-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 17). 
4. Change without regulatory effect amending subsections (a), (b)(1)-(3) and (b)(6) filed 8-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 34).
§14300.30. Multiple Establishments.
Note     •     History

(a) Basic requirement. You must keep a separate Cal/OSHA Form 300 for each establishment that is expected to be in operation for one year or longer. 
(b) Implementation. 
(1) Do I need to keep injury and illness records for short-term establishments (i.e., establishments that will exist for less than a year)? 
Yes. However, you do not have to keep a separate Cal/OSHA Form 300 for each such establishment. You may keep one Cal/OSHA Form 300 that covers all of your short-term establishments. You may also include the short-term establishments' recordable injuries and illnesses on a Cal/OSHA Form 300 that covers short-term establishments for individual company divisions or geographic regions. 
(2) May I keep the records for all of my establishments at my headquarters location or at some other central location? 
Yes. You may keep the records for an establishment at your headquarters or other central location if you: 
(A) Transmit information about the injuries and illnesses from the establishment to the central location within seven (7) calendar days of receiving information that a recordable injury or illness has occurred. 

Exception: If you have an establishment in SIC Code 781 and it is operated at a location that is remote from your central location, you must transmit the information to the central location within the lesser of 30 calendar days of learning of the injury or illness, or 7 calendar days of termination of operations at the remote location; 
(B) Produce and send the records from the central location to the establishment within the time frames required by Section 14300.35 and Section 14300.40 when you are required to provide records to a government representative, employee, former employee or employee representative; 
(C) Have the address and telephone number of the central location or headquarters where records are kept available at each worksite; and 
(D) Have personnel available at the central location or headquarters where records are kept during normal business hours to transmit information from the records maintained there as required by Section 14300.35 and Section 14300.40. 
(3) Some of my employees work at several different locations or do not work at any of my establishments at all. How do I record cases for these employees? 
You must link each of your employees with one of your establishments, for recordkeeping purposes. You must record each injury and illness on the Cal/OSHA Form 300 of the injured or ill employee's establishment, or on a Cal/OSHA Form 300 that covers that employee's short-term establishment. 
(4) How do I record an injury or illness when an employee of one of my establishments is injured or becomes ill while visiting or working at another of my establishments, or while working away from any of my establishments? 
If the injury or illness occurs at one of your establishments, you must record the injury or illness on the Cal/OSHA Form 300 of the establishment at which the injury or illness occurred. If the employee is injured or becomes ill and is not at one of your establishments, you must record the case on the Cal/OSHA Form 300 for the establishment at which the employee normally works. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.31. Covered Employees.
Note     •     History

(a) Basic requirement. You must record on the Cal/OSHA Form 300 the recordable injuries and illnesses of all employees on your payroll, whether they are labor, executive, hourly, salary, part-time, seasonal, or migrant workers. You also must record the recordable injuries and illnesses that occur to employees who are not on your payroll if you supervise these employees on a day-to-day basis. If your establishment is organized as a sole proprietorship or partnership, the owner or partners are not considered employees for recordkeeping purposes. 
(b) Implementation. 
(1) If a self-employed person is injured or becomes ill while doing work at my establishment, do I need to record the injury or illness?
No. Self-employed individuals are not covered by the Cal/OSHA Act or this regulation. 
(2) If I obtain employees from a temporary help service, employee leasing service, or personnel supply service, do I have to record an injury or illness occurring to one of those employees? 
You must record these injuries and illnesses if you supervise these employees on a day-to-day basis. 
(3) If an employee in my establishment is a contractor's employee, must I record an injury or illness occurring to that employee? 
If the contractor's employee is under the day-to-day supervision of the contractor, the contractor is responsible for recording the injury or illness. If you supervise the contractor employee's work on a day-to-day basis, you must record the injury or illness. 
(4) Must the personnel supply service, temporary help service, employee leasing service, or contractor also record the injuries or illnesses occurring to temporary, leased or contract employees that I supervise on a day-to-day basis? 
No. You and the temporary help service, employee leasing service, personnel supply service, or contractor should coordinate your efforts to make sure that each injury and illness is recorded only once: either on your Cal/OSHA Form 300 (if you provide day-to-day supervision) or on the other employer's Cal/OSHA Form 300 (if that company provides day-to-day supervision). 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.32. Annual Summary.
Note     •     History

(a) Basic requirement. At the end of each calendar year, you must: 
(1) Review the Cal/OSHA Form 300 to verify that the entries are complete and accurate, and correct any deficiencies identified; 
(2) Create an annual summary of injuries and illnesses recorded on the Cal/OSHA Form 300 using the Cal/OSHA Form 300A Annual Summary of Work-related Injuries and Illnesses; 
(3) Certify the annual summary; and 
(4) Post the annual summary. 
(b) Implementation. 
(1) How extensively do I have to review the Cal/OSHA Form 300 entries at the end of the year? 
You must review the entries as extensively as necessary to make sure that they are complete and correct. 
(2) How do I complete the annual summary? 
You must: 
(A) Total the columns on the Cal/OSHA Form 300 (if you had no recordable cases, enter zeros for each column total); and 
(B) Enter the calendar year covered, the company's name, establishment name, establishment address, annual average number of employees covered by the Cal/OSHA Form 300, and the total hours worked by all employees covered by the Cal/OSHA Form 300. 
(C) If you are using an equivalent form other than the Cal/OSHA 300A, as permitted under Section 14300.29(b)(4), the annual summary you use must also include the employee access and employer penalty statements found on the Cal/OSHA Form 300A. 
(3) How do I certify the annual summary? 
A company executive must certify that he or she has examined the Cal/OSHA Form 300 and that he or she reasonably believes, based on his or her knowledge of the process by which the information was recorded, that the annual summary is correct and complete. 
(4) Who is considered a company executive? 
The company executive who certifies the log must be one of the following persons: 
(A) An owner of the company (this is required only if the company is a sole proprietorship or partnership); 
(B) An officer of the corporation; 
(C) The highest ranking company official working at the establishment; or 
(D) The immediate supervisor of the highest ranking company official working at the establishment. 
(5) How do I post the annual summary?
You must post a copy of the annual summary in each establishment in a conspicuous place or places where notices to employees are customarily posted. You must ensure that the posted annual summary is not altered, defaced or covered by other material. 
(6) When do I have to post the annual summary? 
You must post the annual summary no later than February 1 of the year following the year covered by the records and keep the posting in place until April 30. 
(7) What must be done for employees who do not normally report at least weekly to a location where the annual summary is posted for the establishment at which they work? Employers are required to present or mail the annual summary to each employee who receives pay during the February through April posting period who does not normally report at least weekly to a location where the annual summary is posted for the establishment to which they are linked for recordkeeping purposes as described at Section 14300.30(b)(3). 
(8) Do I have to post the annual summary at locations where I no longer have operations or employees? 
For multi-establishment employers where operations have closed down in some establishments during the calendar year, it will not be necessary to post summaries for those establishments. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.33. Retention and Updating.
Note     •     History

(a) Basic requirement. You must save the Cal/OSHA Form 300, the privacy case list (if one exists), the Cal/OSHA Form 300A, and the Cal/OSHA Form 301 Incident Reports for five (5) years following the end of the calendar year that these records cover. 
(b) Implementation. 
(1) Do I have to update the Cal/OSHA 300 Form during the five-year storage period? 
Yes. During the storage period, you must update your stored Cal/OSHA 300 forms to include newly discovered recordable injuries or illnesses and to show any changes that have occurred in the classification of previously recorded injuries and illnesses. If the description or outcome of a case changes, you must remove or line out the original entry and enter the new information. 
(2) Do I have to update the Cal/OSHA 300A Annual Summary of Work-related Injuries and Illnesses? 
No. You are not required to update the annual summary, but you may do so if you wish. 
(3) Do I have to update the Cal/OSHA 301 Incident Reports? 
No. You are not required to update the Cal/OSHA 301 Incident Reports, but you may do so if you wish. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.34. Change in Establishment Ownership.
Note     •     History

If your establishment changes ownership, you are responsible for recording and reporting work-related injuries and illnesses only for that period of the year during which you owned the establishment. You must transfer the records required by this article to the new owner. The new owner must save all records of the establishment kept by the prior owner, as required by Section 14300.33 of this Article, but need not update or correct the records of the prior owner. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.35. Employee Involvement.
Note     •     History

(a) Basic requirement. Your employees and their representatives must be involved in the recordkeeping system in several ways. 
(1) You must inform each employee of how he or she is to report an injury or illness to you. 
(2) You must provide limited access to your injury and illness records for your employees and their representatives. 
(b) Implementation. 
(1) What must I do to make sure that employees report work-related injuries and illnesses to me?
(A) You must set up a way for employees to report work-related injuries and illnesses promptly; and 
(B) You must tell each employee how to report work-related injuries and illnesses to you. 
(2) Do I have to give my employees and their representatives access to the injury and illness records required by this article? 
Yes. Your employees, former employees, their personal representatives, and their authorized employee representatives have the right to access the injury and illness records required by this article, with some limitations, as discussed below. 
(A) Who is an authorized employee representative? 
An authorized employee representative is an authorized collective bargaining agent of employees. 
(B) Who is a “personal representative” of an employee or former employee? 
A personal representative is: 
1. Any person that the employee or former employee designates as such, in writing; or 
2. The legal representative of a deceased or legally incapacitated employee or former employee. 
(C) If an employee or his or her representative asks for access to the Cal/OSHA Form 300 and annual summary when do I have to provide it? 
When an employee, former employee, personal representative, or authorized employee representative asks for copies of your current or stored Cal/OSHA 300 forms or a current or stored annual summary for an establishment the employee or former employee has worked in, you must give the requester a copy of the relevant Cal/OSHA 300 forms and annual summaries by the end of the next business day. 

Exception: If your establishment is in SIC Code 781, you must give the requester the information within 7 calendar days. 
(D) May I remove the names of the employees or any other information from the Cal/OSHA Form 300 before I give copies to an employee, former employee, or employee representative? 
No. You must leave the names on the Cal/OSHA Form 300. However, to protect the privacy of injured and ill employees, you may not record the employee's name on the Cal/OSHA Form 300 for certain “privacy concern cases,” as specified in Sections 14300.29(b)(6) through 14300.29(b)(9). 
(E) If an employee or representative asks for access to the Cal/OSHA 301 Incident Report, when do I have to provide it? 
1. When an employee, former employee, or personal representative asks for a copy of the Cal/OSHA Form 301 Incident Report describing an injury or illness to that employee or former employee, you must give the requester a copy of the Cal/OSHA 301 Incident Report containing that information by the end of the next business day. 

Exception: If your establishment is in SIC Code 781, you must give the requester the information within 7 calendar days. 
2. When an authorized employee representative asks for copies of the Cal/OSHA 301 Incident Reports or equivalent forms for an establishment where the agent represents employees under a collective bargaining agreement, you must give copies of those forms to the authorized employee representative within seven (7) calendar days but with the following personally identifying information deleted: 
1. Name; 
2. Address; 
3. Date of birth; 
4. Date of hire; 
5. Gender; 
6. Name of physician; 
7. Location where treatment was provided; 
8. Whether the employee was treated in an emergency room; and 
9. Whether the employee was hospitalized overnight as an in-patient. 
(F) May I charge for the copies? 
No. You may not charge for these copies the first time they are provided. However, if one of the designated persons asks for additional copies, you may assess a reasonable charge for retrieving and copying the records. 
(c) With the exception of provisions to protect the privacy of employees in subsections (b)(2)(D) and (b)(2)(E) of this section and in subsections (b)(6) through (b)(10) in Section 14300.29, nothing in this section shall be deemed to preclude employees and employee representatives from collectively bargaining to obtain access to information relating to occupational injuries and illnesses in addition to the information made available under this section. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.36. Prohibition Against Discrimination.
Note     •     History

Section 11(c) of the Act and Sections 6310 and 6311 of the Labor Code prohibit you from discriminating against an employee for reporting a work-related fatality, injury, or illness. These provisions of the Labor Code also protect the employee who files a safety and health complaint, asks for access to records required by this article, or otherwise exercises any rights afforded by the Act or Sections 6310 and 6311 of the Labor Code. 
NOTE

Authority cited: Sections 50.7 and 6410, Labor Code. Reference: Sections 50.7, 98.7, 6310, 6311 and 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.38. Variances from the Recordkeeping Rule.
Note     •     History

(a) Basic requirement for private employers. If you are a private employer and wish to keep records in a different manner from the manner prescribed by the provisions of this article, you may submit a variance petition to the Assistant Secretary of Labor for Occupational Safety and Health (Assistant Secretary), U. S. Department of Labor, Washington, DC 20210. You can obtain a variance only if you can show that your alternative recordkeeping system: 
(1) Collects the same information as this article requires; 
(2) Meets the purposes of the Act; and 
(3) Does not interfere with the administration of the Act. 
(b) Implementation of the basic requirement for private employers. 
(1) What do I need to include in my variance petition? 
You must include the following items in your petition: 
(A) Your name and address; 
(B) A list of the State(s) where the variance would be used; 
(C) The address(es) of the establishment(s) involved; 
(D) A description of why you are seeking a variance; 
(E) A description of the different recordkeeping procedures you propose to use; 
(F) A description of how your proposed procedures will collect the same information as would be collected by the provisions of this article and achieve the purpose of the Act; and 
(G) A statement that you have informed your employees of the petition by giving them or their authorized representative a copy of the petition and by posting a statement summarizing the petition in the same way as notices are posted under Title 8 Section 340. 
(2) How will the Assistant Secretary handle my variance petition? 
The Assistant Secretary will take the following steps to process your variance petition. 
(A) The Assistant Secretary will offer your employees and their authorized representatives an opportunity to submit written data, views, and arguments about your variance petition. 
(B) The Assistant Secretary may allow the public to comment on your variance petition by publishing the petition in the Federal Register. If the petition is published, the notice will establish a public comment period and may include a schedule for a public meeting on the petition. 
(C) After reviewing your variance petition and any comments from your employees and the public, the Assistant Secretary will decide whether or not your proposed recordkeeping procedures will meet the purposes of the Act, will not otherwise interfere with the Act, and will provide the same information as required by the provisions of this article provide. If your procedures meet these criteria, the Assistant Secretary may grant the variance subject to such conditions as he or she finds appropriate. 
(D) If the Assistant Secretary grants your variance petition, OSHA will publish a notice in the Federal Register to announce the variance. The notice will include the practices the variance allows you to use, any conditions that apply, and the reasons for allowing the variance. 
(3) If I apply for a variance, may I use my proposed recordkeeping procedures while the Assistant Secretary is processing the variance petition? 
No. Alternative recordkeeping practices are only allowed after the variance is approved. You must comply with the provisions of this article while the Assistant Secretary is reviewing your variance petition. 
(4) If I have already been cited by the Division of Occupational Safety and Health for not following the provisions of this article, will my variance petition have any effect on the citation and penalty? 
No. In addition, the Assistant Secretary may elect not to review your variance petition if it includes an element for which you have been cited and the citation is still under review by a court, an Administrative Law Judge (ALJ), or the California Occupational Safety and Health Appeals Board. 
(5) If I receive a variance, may the Assistant Secretary revoke the variance at a later date?
Yes. The Assistant Secretary may revoke your variance if he or she has good cause. The procedures revoking a variance will follow the same process as are used for reviewing variance petitions, as outlined in Section 14300.38(b)(2). Except in cases of willfulness or where necessary for public safety, the Assistant Secretary will: 
(A) Notify you in writing of the facts or conduct that may warrant revocation of your variance; and 
(B) Provide you, your employees, and authorized employee representatives with an opportunity to participate in the revocation procedures. 
(c) Variances from the recordkeeping rule for public employers. A public agency employer wishing to keep records in a different manner from the manner prescribed in this article may write a letter to the Chief of the Division of Labor Statistics and Research stating his or her request. Such requests should include the information described in subsection (b)(1) of this section for private employer requests for variances from requirements of this article. The provisions of subsections (b)(2) through (b)(5) of this section will also apply to variance requests from public agency employers except that the determining authority will be the Chief of the Division of Labor Statistics and Research. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.40. Providing Records to Government Representatives.
Note     •     History

(a) Basic requirement. When an authorized government representative asks for the records you keep under the provisions of this article, you must provide within four (4) business hours, access to the original recordkeeping documents requested as well as, if requested, one set of copies free of charge. 

Exception: If your establishment is in SIC Code 781, you must make a reasonable effort to comply as required by this section within 4 business hours of receiving the request. If it is not possible to comply with that deadline with reasonable effort, you must comply no later than by the end of the next business day. 
(b) Implementation. 
(1) What government representatives have the right to get copies of the records I keep as required by Article 2? 
The government representatives authorized to receive the records are: 
(A) A representative of the Chief of the Division of Occupational Safety and Health, or of the Director of the Department of Health Services; 
(B) A representative of the Secretary of the U.S. Department of Labor conducting an inspection or investigation under the Act; and 
(C) A representative of the Secretary of the U.S. Department of Health and Human Services (including the National Institute for Occupational Safety and Health - NIOSH) conducting an investigation under Section 20(b) of the Act; 
(2) Do I have to produce the records within four (4) hours if my records are kept at a location in a different time zone? 
Your response will be considered to be timely if you give the records to the government representative within four (4) business hours of the request. If you maintain the records at a location in a different time zone, you may use the business hours of the establishment at which the records are located when calculating the deadline. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.41. Annual OSHA Injury and Illness Survey.
Note     •     History

(a) Basic requirement. If you receive OSHA's annual survey form, you must fill it out and send it to OSHA or OSHA's designee, as stated on the survey form. You must report the following information for the year described on the form: 
(1) the number of workers you employed; 
(2) the number of hours worked by your employees; and 
(3) the requested information from the records that you keep under the provisions of this article. 
(b) Implementation. 
(1) Does every employer have to send data to OSHA or its designee? 
No. Each year, OSHA or its designee sends injury and illness survey forms to employers in certain industries. In any year, some employers will receive an OSHA survey form and others will not. You do not have to send injury and illness data to OSHA or its designee unless you receive a survey form. 
(2) How quickly do I need to respond to an OSHA survey form? 
You must send the survey reports to OSHA or its designee by mail or other means described in the survey form, within 30 calendar days, or by the date stated in the survey form, whichever is later. 
(3) Do I have to respond to an OSHA survey form if I am normally exempt from keeping OSHA injury and illness records? 
Yes. Even if you are exempt from keeping injury and illness records under Section 14300.1 to Section 14300.3, OSHA or its designee may inform you in writing that it will be collecting injury and illness information from you in the following year. If you receive such a letter, you must keep the injury and illness records required by this article and make a survey report for the year covered by the survey. 
(4) Do I have to answer the OSHA survey form if I am located in a State-Plan State? 
Yes. All employers who receive survey forms must respond to the survey, even those in State-Plan States. 
(5) Does this section affect the Division of Occupational Safety and Health's authority to inspect my workplace? 
No. Nothing in this section affects the Division of Occupational Safety and Health's statutory authority to investigate conditions related to occupational safety and health. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.42. Requests from the Bureau of Labor Statistics for Data.
Note     •     History

(a) Basic requirement. If you receive a Survey of Occupational Injuries and Illnesses Form from the Bureau of Labor Statistics (BLS), or a BLS designee, you must promptly complete the form and return it following the instructions contained on the survey form. 
(b) Implementation. 
(1) Does every employer have to send data to the BLS? 
No. Each year, the BLS sends injury and illness survey forms to randomly selected employers and uses the information to create the Nation's occupational injury and illness statistics. In any year, some employers will receive a BLS survey form and others will not. You do not have to send injury and illness data to the BLS unless you receive a survey form. 
(2) If I get a survey form from the BLS, what do I have to do? 
If you receive a Survey of Occupational Injuries and Illnesses Form from the Bureau of Labor Statistics (BLS), or a BLS designee, you must promptly complete the form and return it, following the instructions contained on the survey form. 
(3) Do I have to respond to a BLS survey form if I am normally exempt from keeping injury and illness records as required by this article? 
Yes. Even if you are exempt from keeping injury and illness records under one or more of the provisions of Section 14300.1 to Section 14300.3, the BLS may inform you in writing that it will be collecting injury and illness information from you in the coming year. If you receive such a letter, you must keep the injury and illness records required by this article and make a survey report for the year covered by the survey. 
(4) Do I have to answer the BLS survey form if I am located in a State-Plan State? 
Yes. All employers who receive a survey form must respond to the survey, even those in State-Plan States. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.43. Annual Summary and Posting of the 2001 Data.
Note     •     History

(a) Basic requirement. If you were required to keep Cal/OSHA Form 200 in 2001, you must post a 2001 annual summary from the Cal/OSHA Form 200 of occupational injuries and illnesses for each establishment. 
(b) Implementation. 
(1) What do I have to include in the annual summary?
(A) You must include a copy of the totals from the 2001 Cal/OSHA Form 200 Log and Summary and the following information from that form: 
1. The calendar year covered; 
2. Your company name; 
3. The name and address of the establishment; and 
4. The certification signature, title and date. 
(B) If no injuries or illnesses occurred at your establishment in 2001, you must enter zeros on the totals line and post the 2001 annual summary. 
(2) When am I required to summarize and post the 2001 information?
(A) You must complete the annual summary by February 1, 2002; and 
(B) You must post a copy of the annual summary in each establishment in a conspicuous place or places where notices to employees are customarily posted. You must ensure that the annual summary is not altered, defaced or covered by other material. 
(3) You must post the 2001 annual summary from February 1, 2002 to March 1, 2002. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.44. Retention and Updating of Old Forms.
Note     •     History

You must save your copies of the Cal/OSHA 200 forms and supplementary records for each occupational injury or illness for five years following the year to which they relate and continue to provide access to the data as though these forms were the Cal/OSHA 300 and 301 forms, as provided for in Section 14300.35 and Section 14300.40. You are not required to update your old Cal/OSHA 200 forms and supplementary records. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.46. Definitions.
Note     •     History

The Act. The Act means the federal Occupational Safety and Health Act of 1970 (29 U.S.C. 651 et seq.). The definitions contained in Section 3 of the Act (29 U.S.C. 652) and related interpretations apply to such terms when used in this article. 
Authorized representative. See subsection 14300.35(b)(2)(A). 
BLS. The Bureau of Labor Statistics in the U. S. Department of Labor. 
Cal/OSHA. The California Occupational Safety and Health Program within the California Department of Industrial Relations. 
Cal/OSHA Form 300 means the Cal/OSHA Form 300 Log of Work-Related Injuries and Illnesses (Rev. 7/2007)
Cal/OSHA Form 300A means the Cal/OSHA Form 300A Annual Summary of Work-Related Injuries and Illnesses (Rev. 7/2007)
Company. A public or private employer. 
Covered employees. See Section 14300.31. 
Equivalent form. See subsection 14300.29(b)(4). 
Establishment. An establishment is a single physical location where business is conducted or where services or industrial operations are performed. For activities where employees do not work at a single physical location, such as construction; transportation; communications, electric, gas and sanitary services; and similar operations, the establishment is represented by main or branch offices, terminals, stations, etc. that either supervise such activities or are the base from which personnel carry out these activities. 
(A) Can one business location include two or more establishments?  Normally, one business location has only one establishment. Under limited conditions, the employer may consider two or more separate establishments that share a single location to be separate establishments. An employer may divide one location into two or more establishments only when: 
1. Each of the establishments represents a distinctly separate business; 
2. Each establishment is engaged in a different economic activity; 
3. No one industry description in the Standard Industrial Classification Manual (1987) applies to the joint activities of the establishments; and 
4. Separate reports are routinely prepared for each establishment on the number of employees, their wages and salaries, sales or receipts, and other business information. For example, if an employer operates a construction company at the same location as a lumberyard, the employer may consider each business to be a separate establishment. 
(B) Can an establishment include more than one physical location? 
Yes, but only under certain conditions. An employer may combine two or more physical locations into a single establishment only when: 
1. The employer operates the locations as a single business operation under common management; 
2. The locations are all located in close proximity to each other; and 
3. The employer keeps one set of business records for the locations, such as records on the number of employees, their wages and salaries, sales or receipts, and other kinds of business information. For example, one manufacturing establishment might include the main plant, a warehouse a few blocks away, and an administrative services building across the street. 
(C) If an employee telecommutes from home, is his or her home considered a separate establishment? 
No. For employees who telecommute from home, the employee's home is not an establishment and a separate Cal/OSHA Form 300 is not required. Employees who telecommute must be linked to one of your establishments under Section 14300.30(b)(3). 
Fatality. Any occupational injury or illness which results in death, regardless of the time between injury and death, or the length of the illness. 
First aid. See subsection 14300.7(b)(5)(B). 
General recording criteria. See Section 14300.7. 
Injury or illness. An injury or illness is an abnormal condition or disorder. Injuries include cases such as, but not limited to, a cut, fracture, sprain, or amputation. Illnesses include both acute and chronic illnesses, such as, but not limited to, a skin disease, respiratory disorder, or poisoning. (Note: Injuries and illnesses are recordable only if they are new, work-related cases that meet one or more of recording criteria provisions in this article.) 
Job transfer. See subsection 14300.7(b)(4). 
Medical treatment. See subsection 14300.7(b)(5)(A). 
New case. See Section 14300.6. 
OSHA. The Occupational Safety and Health Administration in the U.S. Department of Labor. 
Personal representative. See subsection 14300.35(b)(2)(B). 
Physician or other licensed health care professional. A physician or other licensed health care professional is an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently perform, or be delegated the responsibility to perform, the activities described by this regulation. 
Pre-existing condition. See subsection 14300.5(b)(5). 
Privacy concern case. See subsection 14300.29(b)(6. 
Recordable. An injury or illness is “recordable” for the purposes of this article if it satisfies the conditions requiring recording found in subsection (a) of Section 14300.4. 
Routine functions. See subsection 14300.7(b)(4)(B). 
Restricted work. See subsection 14300.7(b)(4)(A). 
Significant injury or illness. See subsection 14300.7(b)(7). 
Work environment. See subsection 14300.5(b)(1). 
You. “You” means an employer as defined by Sections 3300 and 3301 of the Labor Code. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
2. Change without regulatory effect adding definitions of “Cal/OSHA Form 300” and “Cal/OSHA Form 300A,” filed 8-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 34).
§14300.47. Recordkeeping Requirements for Employers Covered by the Federal Mine Safety and Health Act.
Note     •     History

Employers whose employees' occupational injuries and illnesses are required to be recorded under the Federal Mine Safety and Health Act of 1977 are not required to comply with the recordkeeping requirements of this article to the extent that so complying would result in duplicating information, provided access to the records required by Code of Federal Regulations, Title 30, Chapter 1, Subchapter I, commencing with Section 50.20 is granted to authorized representatives of the official mine safety agency of the State. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14300.48. Effective Date.
Note     •     History

The provisions of this article take effect on January 1, 2002 or on the effective date of the regulation, whichever is later. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code. 
HISTORY

1. New section and Appendices A-G filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
2. Amendment of appendices A, B, D and E and amendment of Notes for appendices D and E filed 4-23-2004; operative 4-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 17). 
3. Change without regulatory effect amending appendices A, B, D and E filed 8-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 34).`

Appendix A Cal/Osha Form 300 (Rev. 4/2004)  Log of Work-Related Injuries and Illnesses

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Appendix B Cal/Osha Form 300A (Rev. 4/2004)  Annual Summary of Work-Related Injuries and Illnesses

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Appendix C Injury and Illness Incident Report

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Appendix D -- Required Elements for the Cal/OSHA 300 Equivalent Form
I. California employers who are required to record work-related injuries and illnesses on the Cal/OSHA Form 300 may use an equivalent form that includes all of the following instructions and information.
Log of Work-Related Injuries and Illnesses 
Instruction: You must record information about every work-related death and about every work-related injury or illness that involves loss of consciousness, restricted work activity or job transfer, days away from work, or medical treatment beyond first aid. You must also record significant work-related injuries and illnesses that are diagnosed by a physician or licensed health care professional. You must also record work-related injuries and illnesses that meet any of the specific recording criteria listed in 8 CCR 14300.8 through 14300.12. Feel free to use two lines for a single case if you need to. You must complete an Injury and Illness Incident Report (Cal/OSHA Form 301) or equivalent form for each injury or illness recorded on this form. If you're not sure whether a case is recordable, contact the nearest office of the Division of Occupational Safety and Health for assistance. 
Establishment Name & Address 
Identify the Person (A)-(C) 
A. Case Number 
B. Employee's Name 
C. Job Title 
Describe the Case (D)-(F): 
D. Date of Injury or illness 
E. Where the event occurred 
F. Describe the injury or illness, part(s) of the body affected, and object/substance that directly injured or made the person ill
Classify the Case (G)-(M) 
Using these four categories (G)-(J), indicate only the most serious result for each case: 
G. “Death” 
H. “Days away from work” 
I. Remained at work as “Other recordable cases” 
J. Remained at work with “Job transfer or restriction”  
K. Number of days the injured or ill worker was “Away from work” 
L. Number of days the injured or ill worker was “On job transfer or restrictions” 
M. Indicate an injury or, one type of illness: 
(1) Injury column 
(2) Skin disorder column 
(3) Respiratory condition column 
(4) Poisoning column 
(5) Occupational hearing loss
(6) All other illnesses column 
Page Totals {for columns (G)-(M)} 
Instruction: Transfer these totals to the Summary page (Cal/OSHA Form 300A) before you post it. 
Instructions for privacy concerns: 
“ATTENTION: This form contains information relating to employee health and must be used in a manner that protects the confidentiality of employees to the extent possible while the information is being used for occupational safety and health purposes.” 
Note: Privacy Concern Cases: employers using forms equivalent to the Cal/OSHA 300 are required to follow the privacy concern disclosure restrictions specified in Section 14300.29(b)(6)-(10). 
Note: Additional Criteria. Beginning January 1, 2002, employers are required to record the following as specific injury and illness conditions. These are: 
 1. Injury from a needle or other sharp object that is contaminated with blood or OPIM (Reference: Section 14300.8) 
 2. Cases of medical removal under the requirements of a Cal/OSHA standard. (Reference: Section 14300.9) 
 3. Tuberculosis infection as evidenced by a positive skin test or diagnosis by a physician. (Reference: Section 14300.11) 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code; and 29 Code of Federal Regulations Section 1904.10.

Appendix E -- Required Elements for the Cal/OSHA Form 300A, Annual Summary of Work-Related Injuries and  Illnesses Equivalent Form.
A. Employers who are required to complete the Cal/OSHA Form 300A may use an equivalent form that provides all of the following information: 
1. The number of cases: 
 (G) The total number of deaths 
 (H) The total number of cases with days away from work 
 (I) The total number of cases with job transfers or restriction 
 (J) The total number of other recordable cases 
2. The number of days: 
 (K) The total number of days away from work  
 (L) The total number of days of job transfer or restriction
 (M) Injury and Illness Types, the total numbers of: 
 1. Injuries 
 2. Skin disorders 
 3. Respiratory conditions 
 4. Poisonings 
 5. Hearing loss
 6. All other illnesses 
3. Posting requirement statement: “Post this Annual Summary from February 1 to April 30 of the year following the year covered by the form.”
4. Establishment information: 
 · The establishment name 
 · Street address 
 · City, State, Zip 
 · Industry description 
 · The Standard Industry Classification Code, if known. 
5. Employment information 
 · The annual average number of employees. 
 · The total hours worked by all employees last year.
(For assistance in calculating the annual average number of employees, and total hours worked, refer to Appendix G.) 
6. Sign Here:
 · Admonition: “Knowingly falsifying this statement may result in a fine.” 
 · Certification statement: “I certify that I have examined this document and that to the best of my knowledge the entries are true, accurate, and complete.” 
 · Space for the signature of the company executive, and title. 
 · Phone number of signatory.
 · Date of the certification. 
NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code; and 29 Code of Federal Regulations Section 1904.29.  

Appendix F -- Required Elements for the Cal/OSHA 301 Injury and Illness Incident Report Equivalent Form

I.	An employer that is required to fill out a Cal/OSHA Form 301 may use an equivalent form that provides the following items of information:

A.	Information about the employee: 

	1.	Full name 

	2.	Home street address, city, state and Zip code 

	3.	Date of birth 

	4.	Date hired 

	5.	Employee gender 

B.	Information about the physician or other health care professional: 

	6.	Name of the physician or other health care professional who treated the employee 

	7.	Name and complete address of the facility where the employee received treatment (if applicable) 

	8.	If the employee was treated in an emergency room (yes or no) 

	9.	If the employee was hospitalized overnight as an in-patient (yes or no) 

C.	Information about the case: 

	10.	The case number matching the Cal/OSHA Log 300 (or equivalent) entry 

	11.	The date of the injury or illness 

	12.	Time of employee began work AM/PM 

	13.	Time of the event AM/PM; or indication that the time cannot be determined 

	14.	Description of what the employee was doing just before the incident occurred 

	15.	Description of what happened; how the injury/illness occurred 

	16.	The specific injury/illness, part(s) of the body affected, and medical diagnosis if available 

	17.	Identify the object or substance that directly harmed the employee 

	18.	If the employee died, the date of death 

D.	The name of the person the form was completed by 

E.	The title of the person who completed the form 

F.	The phone number of the person who completed the form 

Appendix G Worksheet to Help You Fill Out the Annual Summary

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§14301. Log and Summary of Occupational Injuries and Illnesses.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. New sections (14301-14315) filed 5-22-75; designated effective 7-1-75 (Register 75, No. 21).
2. Amendment of subsection (b) filed 11-29-77; effective thirtieth day thereafter (Register 77, No. 49).
3. Amendment of subsections (a) and (b) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
4. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14303. Period Covered.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3). For prior history, see Register 75, No. 21.
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14304. Supplementary Record.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6). For prior history, see Register 75, No. 21.
2. Amendment of subsection (b)(1) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
3. Amendment of subsection (b)(1) filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
4. Amendment of subsection (b)(1) filed 1-14-93; operative 2-16-93 (Register 93, No. 3).
5. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14305. Annual Summary.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 5-6-76 as procedural and organizational; effective upon filing (Register 76, No. 19).
2. Amendment of subsection (a) and (c) filed 11-29-77; effective thirtieth day thereafter (Register 77, No. 49).
3. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
4. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14307. Retention of Records.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 1-3-79; effective thirtieth day thereafter (Register 79, No. 1).
2. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
3. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14308. Access to Records.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
3. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14309. Falsification, or Failure to Keep Records.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Sections 6410, 6426 and 6431, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14310. Change of Ownership.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. New NOTE filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14311. Definitions.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment of subsection (e) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. New subsection (f) filed 7-19-84; designated effective 8-1-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 29).
3. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14312. Petitions for Recordkeeping Exceptions.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14313. Employees Not in Fixed Establishments.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. New NOTE filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14314. Small Employers.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 11-29-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
3. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
4. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14315. Employers Covered by the Federal Mine Safety and Health Act.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. Amendment filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14316. Private Sector Establishments Classified in Standard Industrial Classification Codes (SIC) 52-89, (except 52-55, 57, 70, 75, 76, 781, 79 and 80), in Accordance with the 1972 Edition of the “Standard Industrial Classification Manual,” Incorporating the 1977 Supplement, Published by the Office of Management and Budget, Executive Office of the President.
Note     •     History

NOTE

Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. New section filed 7-19-84; designated effective 8-1-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 29).
2. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
§14400. Statistical Surveys.
Note     •     History

NOTE

Authority cited: Sections 6410 and 6411, Labor Code. Reference: Section 6411, Labor Code.
HISTORY

1. New section filed 5-22-75; designated effective 7-1-75 (Register 75, No. 21).
2. Amendment filed 11-29-77; effective thirtieth day thereafter (Register 77, No. 49).
3. New NOTE filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
4. Repealer filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3).
Article 3. Public Agency Records of Occupational Injury or Illness
NOTE

Authority cited for Article 4 (Sections 14700-14710): Sections 6409 and 6410, Labor Code. Reference: Section 6410, Labor Code.
HISTORY

1. New Article 4 (Sections 14700-14710) filed 4-15-74; designated effective 6-1-74 (Register 74, No. 16).
2. Amendment of subsection (b) filed 11-29-77; effective thirtieth day thereafter (Register 77, No. 49).
3. Repealer of Article 3 (Sections 4600-14604) and renumbering of Article 4 (Sections 14700-14710) filed 2-8-80; designated effective 5-1-80 (Register 80, No. 6).
4. Editorial correction of HISTORY NOTE No. 3 (Register 83, No. 3).
5. Repealer of Article 3 (Sections 14700-14710, not consecutive) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3). For prior history, see Registers 79, No. 1 and 78, No. 40.
Subchapter 2. Reports of Injury to Be Filed by the California Department of Corrections
Article 1. Prison Labor
§14900. Prison Labor.
Note     •     History

Section 6413 (a) of the Labor Code requires that, except for the injuries specifically exempted by the section itself, injury reports shall be filed for every injury to any state prisoner (inmate) resulting from any labor performed by the prisoner (inmate). No reports need be filed if “disability resulting from such injury does not last through the day or does not require medical service other than ordinary first aid treatment.”
NOTE

Authority cited: Section 6413, Labor Code.
HISTORY

1. New Group 2 (Sections 14900-14920, not consecutive) filed 9-23-74; designated effective 11-1-74 (Register 74, No. 39).
Article 2. Reports to Be Filed by Department of Corrections
§14901. Department of Corrections' Report of Injury (Form 5030).

The report shall be submitted in duplicate (Form 5030), to the Division of Labor Statistics and Research on a standard form (Form 5030) approved by the Department of Corrections and the Division of Labor Statistics and Research, Department of Industrial Relations. The following information shall be included on the standard form:
Name, address and phone number of correctional institution;
Name, inmate number, sex, and date of birth of injured inmate;
Date of incarceration;
Type of labor (work) when injured and extent of total experience at that type of labor, and extent of prison training and safety training in that type of labor;
Extent of supervision over work methods used;
Where did the injury occur;
What was the object or substance that directly injured inmate;
Nature of injury and part of body affected;
What was the primary correctable cause of this accident;
What arrangements could be made to eliminate hazard;
Name of physician;
Date of injury;
Was injured unable to work on any day after injury;
Actual or estimated date of injured's recovery;
Date of death if injured died.
§14902. Agreement Between Parties.

By agreement between the parties concerned Form 5030 may be modified as needs for pertinent information arise.
§14903. Color of Form 5030.

The copy of the form to be used for transmission to the Division of Labor Statistics and Research must be printed on light blue stock.
§14904. Time of Filing.

The report shall be filed within five days after the injury.
§14910. Physician or Surgeon (Report Form 5031).

(a) Every physician or surgeon who attends, within a Department of Corrections institution, any injured inmate shall file with the Division of Labor Statistics and Research a complete report of such injury unless disability resulting from such injury does not last through the day or does not require medical service other than ordinary first aid treatment.
(b) The report shall be submitted in duplicate to the Division of Labor Statistics and Research on a standard form (Form 5031) approved by the Department of Corrections and the Division of Labor Statistics and Research, Department of Industrial Relations. Pertinent data required will include a statement as to the cause of the injury and the nature and extent of injury.
§14911. Agreement Between Parties.

By agreement between the parties concerned Form 5031 may be modified as needs for pertinent information arise.
§14912. Color of Form 5031.

The copy of the form to be used for transmission to the Division of Labor Statistics and Research must be printed on light blue stock.
§14913. Time of Filing Form 5031.

The report shall be filed within five days after first treatment.
§14920. Effective Date.

The California Department of Corrections shall commence submitting said reports on all injuries occurring January 1, 1975, and thereafter.
Chapter 8. Office of the Director
Subchapter 1. Unloading of Farm Products
Article 1. Approval of Charges
§15000. Application.
Note     •     History

Application for approval of charges shall be made in the form and manner prescribed by the Director of Industrial Relations, and shall be made not less than 30 days prior to the desired effective date. The application shall contain the following information:
(a) Date of transmittal to the director.
(b) A statement as to whether application is made by an association on behalf of its members, or by individual dealers.
(c) If made by individual dealers, their names and addresses.
(d) If made by an association:
(1) Name and address of association.
(2) Names and addresses of members of association.
(3) Names and addresses of any dealers operating in the market who are not association members.
(4) Function of association.
(e) Manner in which proposed charges have been established, i.e., by collective bargaining agreement or by dealers alone.
(1) If by collective bargaining agreement:
(A) A statement as to whether agreement is with association or with individual dealers.
(B) Whether or not all dealers in the market are parties to the agreement. If not, number of dealers who are covered.
(C) Name of union or unions, party to the agreement or agreements. (f) Period for which proposed charges are to be effective.
NOTE

Authority cited: Section 56832, Food and Agricultural Code. Reference: Sections 56956 and 56957, Food and Agricultural Code.
HISTORY

1. New Sections 15000 t 15004 filed Sept. 22, 1947 as an emergency (Register 10,No. 1).
2. Change without regulatory effect of NOTE (Register 86, No. 26). 
§15001. Required Documents.
Note     •     History

The following documents shall be transmitted with application:
(a) If application is made by an association, two copies of articles or agreement of association.
(b) If charges are established by collective bargaining agreement, two copies of such collective bargaining agreement.
(c) Schedule of proposed charges shall be submitted separately with application. Such schedule shall be in quadruplicate and in form for posting in accordance with Section 2 of the act. If more than one copy is required for posting, additional copies in sufficient number shall be submitted. Schedule must contain the following data:
(1) Heading which shall show:
(A) Name and location of market at which charges are applicable.
(B) Name of dealer association, or if no association, names of individual dealers on whose behalf schedule of charges is filed.
(C) Manner in which charges are established, that is, if by union agreement or if fixed by dealers alone.
1. If by union agreement, union or unions party to the agreement or agreements.
(2) Scale of proposed charges.
(3) The following statement shall appear at the foot of the schedule of charges: “The charges designated herein, when approved by the Director of Industrial Relations, shall be the standard rates to be charged for the unloading of farm produce at ________________________. It shall be

Name of locality

unlawful to charge or receive any rates in excess of the charges established herein.”
NOTE

Authority cited: Section 56832, Food and Agricultural Code. Reference: Sections 56956 and 56957, Food and Agricultural Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 26). 
§15002. Approval.
Note     •     History

(a) Any interested party may file with the director in formation relative to charges for similar work under similar conditions in or near the city in which the market is being operated, to be considered by the director in determining reasonableness of proposed charges.
(b) Upon approval, the director shall affix his approval stamp upon the schedule of charges and shall endorse such schedule with his signature.
(c) Two copies of said schedule shall be transmitted to the dealer or dealer association, one copy to be posted in a conspicuous place in the market where such charges are applicable, and one copy to be retained in the files of the dealer or the dealer association.
NOTE

Authority cited: Section 56832, Food and Agricultural Code. Reference: Section 56957, Food and Agricultural Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 26). 
§15003. Hearings.
Note     •     History

(a) If the director finds any scale of charges or any item thereon to be unreasonable, he shall fix a time and place for a hearing on the matter.
(b) The director shall give notice by mail of such hearing to each produce dealer operating in the market for which such scale of charges has been filed, and to the officials of the union, if a union is involved. Notice shall also be given by mail to any producer of farm products delivered to the market who has made written request that he be so notified.
(c) Notice shall be mailed at least ten days in advance of the scheduled date of the hearing.
(d) At the conclusion of the hearing the director shall adjust the scale of any item thereof in accordance with Section 6 of the act.
(e) In the event the scale of charges is adjusted by the director in accordance with the provisions of this section, notice of such change shall be given by mail to all interested parties by the director.
NOTE

Authority cited: Section 56832, Food and Agricultural Code. Reference: Sections 56958 and 56959, Food and Agricultural Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 26). 
§15004. Proceedings After Adjustment of Scale of Charges.
Note     •     History

In the event the scale of charges is adjusted by the director as provided for by Section 15003 of this article, new schedules of proposed charges as adjusted shall be filed with the director by the applicant as provided for in Section 15001(c) of this article.
NOTE

Authority cited: Section 56832, Food and Agricultural Code. Reference: Section 56952, Food and Agricultural Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 26). 
Subchapter 2. Administration of Self-Insurance Plans
Article 1. Definitions
§15200. Authority. [Repealed]
Note     •     History

NOTE

Authority cited; Sections 54, 55, and 3702.10, Labor Code. Reference: Sections 54, 55 and 3702.10, Labor Code.
HISTORY

1. New group 2 (sections 15200-15203, 15210-15213, 15220-15221, 15230, 15250-15253, 15300-15303, 15350-15352, 15360-15363, 15400-15403 and 15420-15423) filed 4-23-56; effective thirtieth day thereafter (Register 56, No. 8).
2. Repealer of group 2, and new group 2 (sections 15200-15203, 15210-15213, 15220, 15221, 15230, 15250-15252, 15300-15303, 15350-15352, 15360-15362, 15400-15405, 15420-15423) filed 6-17-66; effective thirtieth day thereafter (Register 66, No. 18). For prior amendments, see Registers 56, No. 19; 58, No. 7; 61, No. 7; 61, No. 10.
3. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
4. Amendment of article heading, repealer of section, and amendment of Note filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
§15201. Definitions.
Note     •     History

The following definitions apply in Articles 1 through 13 of these regulations:
(a) Adjusting Location. The office address designated in accordance with Section 15402 of these regulations where:
(1) The named administrator of the self insurer fulfills his/her function; and
(2) The original records called for in Article 9 of these regulations are maintained.
In the event that claims are administered at the home of a telecommuting adjuster, the location shall be considered as a separate adjusting location for reporting and audit purposes unless the telecommuting adjuster reports to a California location of the administrator no less than weekly.
(b) Administrative Director. The Administrative Director of the Division of Workers' Compensation within the Department of Industrial Relations.
(c) Administrative Agency. The person or firm that performs the day-to-day claims administration functions of a workers' compensation self insurance program. The administrative agency may be:
(1) An independent contractor possessing a certificate to administer and designated by a self-insurer to be the administrative agency for all or a portion of its claims; or
(2) A partnership or corporation possessing a master certificate to self insure, which administers its own claims and the claims of other affiliate or subsidiary self insurers issued affiliate or subsidiary certificates to self insure under the same master certificate number;
(3) A joint powers authority possessing a master certificate to self insure, which self administers in whole or part the claims of its affiliate public self insurers issued affiliate certificates to self insure under the same master certificate number of the joint powers authority; or
(4) The claims department of an insurance carrier admitted to transact workers' compensation insurance in California, which is exempt from the requirement to possess a certificate to administer under Labor Code Section 3702.1(a).
(d) Administrator. A competent person pursuant to Section 15452 of these regulations, at an adjusting location, who is responsible for day-to-day management of an employer's self-insurance workers' compensation program. The responsibility includes but is not limited to, the making and reviewing of decisions relating to the furnishing of all workers' compensation benefits in accordance with law and the maintenance of the self insurer's claim records.
(e) Affiliate Certificate. 
(1) A type of certificate to self insure issued to a private self insurer that has common ownership to another private self insurer holding a master certificate to self insure, but the affiliated certificate holder is not a subsidiary to the master certificate holder; or
(2) A type of certificate to self insure issued to a public self insurer that is a member of a joint powers authority for pooling of workers' compensation liabilities with the master certificate number issued to the joint powers authority.
(3) A type of certificate to self insure issued to a private self insurer that is a member of a group self insurer for pooling of workers' compensation liabilities under the master certificate number issued to the group self insurer.
(f) Alternative Composite Deposit. A security deposit system pursuant to Labor Code Section 3701.8 whereby all eligible private self insurers collectively secure, in whole or in part, aggregate self insured worker's compensation liabilities through the Self Insurer's Security Fund. 
(g) Audit. Any examination of self insured workers' compensation claim files performed by or at the request of the Office of Self Insurance Plans pursuant to Labor Code Section 3702.6.
(h) Board of Trustees. In group self insurance, the representative body in a group self insurer selected by the group members to be responsible for managing the assets and directing the affairs of the group self insurer corporation and assuring the group self insurer, through the group members, is financially sound and able to meet the workers' compensation liabilities under the statutes and regulations applicable in California.
(i) Cancellation of Surety Bond. An act whereby the surety gives written notice to the Chief, as beneficiary of the workers' compensation self insurance surety bond, that the surety is terminating its contractual obligations under the named bond pursuant to Sections 996.320 and 996.330 of the California Code of Civil Procedure and the liability of the surety bond after the effective date of the cancellation is set forth in Section 996.360 of the California Code of Civil Procedure.
(j) Certificate to Self Insure. A Certificate of Consent to Self-Insure issued to an employer pursuant to Section 3700(b) of the Labor Code. 
(k) Certificate to Administer. A Certificate of Consent to Administer self insured workers' compensation claims issued to an administrative agency, except exempt insurance carriers, pursuant to Labor Code Section 3702.1.
(l) Claim File. A separate case file containing all pertinent documents and matters relating to a specific or companion work-injury claim. The claim file contents are specified in Section 15400 of these regulations.
(m) Claim Log. A manual or electronic listing of workers' compensation claims maintained by the self insurer or administrative agency for the self insurer. The claim log for private self insurers shall list each work injury claim by the calendar year in which the claim was reported to the employer or the claims administrator, whichever first occurred. The log for public self insurers shall list each work injury claim by the fiscal year in which the claim was reported. The claim log contents are specified in Section 15400.1 of these regulations.
(n) Compensation. Compensation as defined in Labor Code Section 3207.
(o) Contribution. The amount of payments required of each group member in order to fund the compensation and deposit obligations of the group self insurer.
(p) Core Group Member. Is an affiliate member of a group self insurer as defined by subsection (v) of this section that together with other specific members meet the aggregate financial requirements pursuant to Section 15472 of these regulations. Core group members of an existing group self insurer need not be the same Affiliate Group Certificate holders from year to year.
(q) Director. The Director of the Department of Industrial Relations.
(r) Exoneration of Surety Bond. The discharge of a surety from all past, present and future liability under its workers' compensation self insurance surety bond by the execution of a “Release of Surety”, Form A4-24 (Rev. 11/92) by the Chief.
(s) First Aid. First Aid as defined in Labor Code Section 5401(a).
(t) Group Administrator. The individual or business entity authorized to serve as the representative of a group self insurer and its group members to execute the policies of the Board of Trustees of the group self insurer and manage the activities of the group self insurer corporation.
(u) Group Member. A private employer issued an Affiliate Certificate as a member in a group self-insurance program that has, in turn, been issued a Certificate to Self Insure as a group self insurer.
(v) Group Self Insurer. A private, non-profit, mutual benefit corporation, a private, non-profit charitable corporation, a private, non-profit public benefit corporation, or a private, non-profit religious corporation created as set forth in Section 15470 of these regulations and pursuant to Part 3 of Division 2 of Title 1 of the California Corporation Code. Said corporation shall be established for the sole purpose of operating a group workers' compensation self-insurance program to pool the California workers' compensation liabilities of two or more private employers in the same homogeneous grouping pursuant to Section 15473. A group self insurer issued a Certificate of Consent to Self Insure pursuant to Labor Code Section 3700(b) and these regulations are not intended to deem such a group self insurer to be an insurance company subject to regulations governing insurers contained in Title 10, California Code of Regulations, except as otherwise provided by statute and by Title 8, California Code of Regulations.
(w) Indemnity Agreement and Power of Attorney. The written agreement executed by each group member or proposed group member of a group self insurer pursuant to Section 15479 of these regulations.
(x) Indemnity Claim. A work-injury case which has or may result in any of the following benefits:
(1) Temporary Disability or salary in lieu thereof
(2) Permanent Disability
(3) Life Pension
(4) Death Benefits
(5) Vocational Rehabilitation
(6) Supplemental Job Displacement Benefit Voucher
(y) Industry. Employer classification as determined using the first three digits of the North American Industry Classification System Code (NAICS Code), provided by the Department of Commerce, Bureau of Management and Budget.
(z) Joint Powers Authority. A public entity created by agreement of two or more public agencies pursuant to Division 7, Chapter 5, Article 1, Sections 6500 et seq. of the California Government Code. These regulations apply only to Joint Powers Authorities who have among their purposes for existence, the forming of workers' compensation liability pooling arrangements.
(aa) Labor Code. The Labor Code of the State of California.
(bb) Manager. The Manager, Office of Self-Insurance Plans, in the Department of Industrial Relations. (Synonymous with Chief. See subdivision (oo), below.)
(cc) Medical-Only Claim. A work-injury case which does not result in compensable lost time but results in medical treatment beyond first aid.

Note: Payment of medical examinations pursuant to Labor Code Section 4600 will be considered a medical payment.
(dd) Open Claim. A work-injury case in which it appears that one or more future payments of workers' compensation benefits may be due.
(ee) Release of Surety Bond. Action of Chief of Self Insurance Plans by which a surety is exonerated. A released surety bond does not constitute part of the security deposit of a self insured entity.
(ff) Security Fund. The Self Insurer's Security Fund as established by Labor Code section 3742. 
(gg) Self-Insurer. An individual public or private sector employer or joint powers authority or private group of employers that has been issued and lawfully holds a valid Certificate to Self-Insure its workers' compensation liabilities pursuant to:
(1) The provisions of Section 29(a), Chapter 586, Laws of 1917 and amendments thereto; and/or
(2) Labor Code, Section 3700(b) for private sector employers or 3700(c) for public sector employers.
(hh) Special Audit. Any audit performed other than that in accordance with Labor Code Section 3702.6. 
(ii) Subsidiary Certificate. A type of certificate to self insure issued to a subsidiary of a self-insurer, where the self insurer holds the master certificate to self insure. 
(jj) Termination of Surety Bond. See definition of “Cancellation of Surety Bond”.
(kk) Work-Injury Claim. An injury that is reported or reportable to the Division of Labor Statistics and Research pursuant to Labor Code Sections 6409, 6409.1 and 6413.
(ll) Qualified Actuary. A qualified actuary is any actuary that meets the minimum standards of experience, certification, licensure, insurance, and qualifications set forth in section 15209, subdivisions (a)(2) and (3), for private self-insurers or section 15481, subdivisions (a)(3) & (4), for self-insured groups.
(mm) Actuarial Study. Also referred to as a `study.' This is a complete actuarial study prepared by a qualified actuary presenting the full and complete results of the actuarial analysis and study performed by the actuary including, but not limited to, the requirements specified in section 15209 for private self-insurers or section 15481, for self-insured groups. The study will also serve as the basis for the completion of the actuarial summary and be attached to the actuarial summary.
(nn) Actuarial Summary. Also referred to as a `summary.' This is a summary of the study prepared by the same qualified actuary that prepared the study. The summary is electronically filed with the Office of Self-Insurance Plans and shall include the data specified in sections 15209 for private self-insurers or section 15481, for self-insured groups taken directly from the actuarial study.
(oo) Chief. The Chief, Office of Self-Insurance Plans, in the Department of Industrial Relations.
(pp) Public Self Insurer or Public Self Insured Employer.
(1) Any county, city, school district, special purpose district, joint powers authority or other municipal corporation which has applied and received approval to be self insured by the Office of Self Insurance Plans.
(2) Any sub-agency of a public agency which is created by or pursuant to statute, ordinance, or other legislative act, including but not limited to planning commissions, library or park boards, commissions, and agencies which has applied and received approval to be self insured by the Office of Self Insurance Plans.
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.5, 3702.6, 3702.10, 3703, 3705, 3740-3747 and 3850, Labor Code; Section 6500, Government Code; and Sections 995.430, 996.320 and 996.330, Code of Civil Procedure; and 5002, 5003, 5059, 5060, 5061 and 5080, Corporations Code.
HISTORY

1. Repealer and new section filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49).
2. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
3. Repealer and new section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
4. Amendment placing the defined terms in alphabetical order, removal of letter designators, amendment of existing terms, addition of terms “Administrative Director,” “Affiliate Certificate,” “Certificate to Administer,” and “Joint Powers Authority” and addition of Note filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
5. New definitions “Cancellation of Surety Bond,” “Exoneration of Surety Bond,” “Release of Surety Bond,” and “Termination of Surety Bond” and amendment of Note filed 8-12-93; operative 9-13-93 (Register 93, No. 33).
6. Amendment filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
7. Amendment of section and Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day. 
8. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
9. Amendment of subsections (a)(2) and (m) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
10. Amendment of subsections (e)(3), (h)-(i), and (m); new subsection (p), subsection relettering, amendment of newly designated subsections (t), (v), (y)-(z)and (gg)(2) and amendment of Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
11. New subsection (x)(6) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
12. Amendment of subsections (i), (bb) and (ee) and new subsections (ll)-(pp)(2) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15202. Advisory Committee.
Note     •     History

The Manager shall appoint an ad hoc committee to advise the Manager on proposed regulations relating to self-insurance.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 3702.10 and 6160, Labor Code.
HISTORY

1. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment of section and addition of Note filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
Article 2. Certificate of Consent to Self Insure
§15203. Applications and Required Forms.
Note     •     History

(a) Application forms for individual Certificates of Consent to Self Insure and other required self insurance forms are available on the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. Every employer desiring to procure an initial, individual private or public certificate to self insure its workers' compensation liabilities shall make application on:
(1) Form A4-1 (Rev. 2/92) for private individual employer applicants seeking an individual Certificate to Self Insure;
(2) Form A4-2 (Rev. 2/92) for public employer applicants;
(3) Form A4-5 (Rev. 11/97) for an interim self insurer seeking a permanent Certificate to Self Insure.
(b) A new application may be required when an existing, individual self insurer reincorporates, merges, changes ownership, or adds a new or separate subsidiary or affiliate to its existing workers' compensation self insurance program. In some cases, it may be possible to amend and transfer an existing certificate without a new application.
(c) A complete application to self insure by an individual, private employer (Form A4-1 (Rev. 2/92)) shall include all attachments requested on the application form itself, and, as applicable, the following:
(1) A current, certified, independently audited financial statement complete with all schedules and notes for the past three years.
The application of a private sector subsidiary or affiliate may include the consolidated financial statement of its parent in lieu of the subsidiary's financial statement;
(2) An unaudited financial statement or published quarterly report, or a consolidated financial statement for the current year or portion thereof;
(3) An Agreement of Assumption and Guarantee of Liabilities for each self insurer and subsidiary or affiliate applicant executed by the parent employer or majority owner, or partners;
(4) A Resolution authorizing the application to self insure and empowering employees or officers of the applicant employer to sign the application form and any other necessary documents on behalf of the applicant employer;
(5) A Resolution by the general partners, or parent corporation authorizing the execution of the Agreement of Assumption and Guarantee of Liabilities on behalf of a subsidiary or affiliate applicant employer;
(6) Original Certificates of Status or other appropriate registration documents showing that the applicant employer is licensed or registered to do business in California;
(7) A written evaluation of the applicant's injury and illness prevention program or proof of a DOSH inspection pursuant to Section 15353 of these regulations; and
(8) Payment of any required application filing fee.
(d) A complete application to self insure by a public employer (Form A4-2) (Rev. 2/92) shall include all attachments requested on the public sector application form and, as applicable, the following:
(1) An Agreement of Assumption and Guarantee of Liabilities for the predecessor agency due to a unification, merger, realignment of the boundaries of an existing self insured public agency, or name change by the successor or surviving public agency;
(2) A Resolution authorizing the application to self insure and empowering employees or officers of the applicant employer or joint powers authority to sign the application form and any other necessary documents on behalf of the applicant.
(3) Each public applicant shall indicate the proposed start up date of its self insurance program as part of its application.
(e) A complete application to self insure on a Form A4-3 by a private group of employers shall include all information and documents as indicated in Section 15482 of these regulations.
(f) A complete application to self insure on a Form A4-3M (Rev. 1/94) by each member of a group shall include all information as indicated in Section 15482.1 of these regulations.
(g) The Manager shall issue a Certificate of Consent to Self Insure to an approved joint powers authority that pools the workers' compensation liabilities of its public agency members and the master certificate number shall be assigned to the joint powers authority. Each approved member of the joint powers authority shall be issued an affiliate certificate numbers under the certificate number issued to the joint powers authority.
(h) Upon receipt of a complete private individual employer application, the applicant will be notified within 45 days of the Director's decision to allow or deny self insurance or to advise that the application is deficient. A notice indicating that the application is deficient will include a list of items required to be included or completed.
(i) Upon receipt of a complete public entity application, the applicant will be notified within 30 days of approval or denial of application. 
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5 and 6401.7(a), Labor Code.
HISTORY

1. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
4. New article 2 heading, newly designated subsections (a) and (b)-(b)(1), new subsections (b)(2)-(g)(1), amendment of Note, and repealer of form filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
5. Amendment filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
6. Amendment of subsection (a)(4), new subsection (a)(5), amendment of Note 1 and amendment of subsections (g) and (h) filed 6-4-98; operative 7-4-98 (Register 98, No. 23).
7. Amendment of article heading, section heading, section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.1. Agreement of Assumption and Guarantee of Subsidiary's or Affiliate's Liabilities.
Note     •     History

Each private subsidiary or affiliate applicant for a Certificate to Self Insure of an individual private self insurer shall provide an Agreement of Assumption and Guarantee of Liabilities executed by the holding company, ultimate parent corporation, controlling partners, owners, or other controlling entity in accordance with Section 15211.2 of these regulations. If the holding company, ultimate parent corporation, controlling partners, owners, or other controlling entity will not execute the Assumption and Guarantee agreement, the Director may:
(a) Require a deposit level of 200% of the master certificate holder's, subsidiary's or affiliate's estimated future liabilities for the payment of compensation, or higher, in lieu of the Agreement of Assumption and Guarantee of Liabilities; or
(b) Deny the application to self insure by the private applicant.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3550, 3700, 3701, 3701.5, 3702, 3702.10 and 3705, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
2. Amendment of section heading and text filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Amendment filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
4. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.2. Continuing Financial Capacity for Individual Private Self Insurers.
Note     •     History

(a) Each individual private self insurer holding an active or revoked Certificate of Consent to Self Insure shall submit annually to the Manager two copies of the employer's current, certified, independently audited financial statement complete with all notes and schedules. If the individual private self insurer or former self insurer did not prepare a current, certified, independently audited financial statement of its financial condition, or of a parent or holding company's financial condition if an Agreement of Assumption and Guarantee of Workers' Compensation Liabilities (Form A4-6 (Rev.11/97)) has been executed on its behalf by that parent or holding company pursuant to Section 15211.2 of these regulations, the self insurer or former self insurer shall advise the Manager in writing and submit a financial statement prepared by an independent certified public accountant. Failure to submit a qualifying financial statement pursuant to this section may result in an increased security deposit requirement pursuant to subsection (c) and/or revocation of the Certificate of Consent to Self Insure for good cause pursuant to Labor Code Section 3702.
(b) Any joint powers authority which is solely responsible for the self insurance claims of its public members shall submit annually to the Manager a consolidated report of its financial condition and/or, if available, a current, certified, independently audited financial statement complete with all notes and schedules.
(c) Impairment of solvency of a current or former private individual self insured employer, indicated by a marked reduction in financial strength or the lack of the minimum net worth requirement set forth in subsection (e) of this section, or the lack of an independently prepared, audited financial statement, is good cause for an increased security deposit pursuant to Section 15210.1 of these regulations and/or involuntary revocation of a Certificate of Consent to Self Insure, an Affiliate Certificate, or a Subsidiary Certificate pursuant to Labor Code Section 3702.
(d) After July 1, 1994, all private individual employer applicants for a master Certificate of Consent to Self Insure shall demonstrate and maintain a current net worth of at least $5,000,000 and average net income for the preceding 5 years of at least $500,000.
(e) Any private self insurer granted a Certificate to Self Insure prior to the July 1, 1994 that has continued as a self insurer shall demonstrate and maintain a net worth of at least $2,200,000 and an average net income for the preceding 5 years of at least $300,000.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of section and Note filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
3. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.3. Resolution To Authorize Self Insurance for an Individual Private Employer.
Note     •     History

(a) The resolution to authorize self insurance of workers' compensation required pursuant to Section 15203(c) of these regulations as part of the application for a certificate to self insure by any individual private employer shall be adopted by the private employer's Board of Directors or the general partners of an applicant partnership or joint venture, or owner of an applicant sole proprietorship. The resolution to authorize self insurance shall include the following:
(1) A statement identifying the applicant by corporate or other legal name, the state of registration, and the date that the resolution was adopted;
(2) Identification by title of appointed officers or other company employees authorized to sign the application, execute any and all documents required for the application, and do subsequent acts required to maintain self insurance approval.
(b) If an individual private self insurer reincorporates, merges, or changes its identity, a new resolution shall be submitted to the Manager within 30 days of the change. The resolution shall confirm and authorize  the maintenance of the self insurer's responsibility under the successor's identity. The Manager may extend the period of time to submit the resolution for good cause.
(c) The Manager shall provide a model corporate resolution as part of the application form and will provide a model resolution for a non-corporate entity upon request.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Amendment filed 1-19-79; effective thirtieth day thereafter (Register 79, No. 3).
3. Amendment of section heading and text filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
4. Amendment of section heading and text filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
5. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.4. Resolution to Self Insure for Public Entities.
Note     •     History

(a) The resolution of the governing body of a public entity or joint powers authority seeking approval for a Certificate of Consent to Self Insure shall be executed by the governing board and attached  to the application form. The resolution shall be sealed with the seal of the adopting agency or the resolution's signatures shall be notarized.
(b) The officers of the joint powers authority which is the holder of the master Certificate to Self Insure may sign documents, including the Self Insurer's Annual Report, on behalf of the affiliated members of the JPA for self insurance purposes.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.5. Agreement and Undertaking for Security Deposit.
Note     •     History

(a) Each private individual employer applicant for self insurance shall execute an Agreement and Undertaking For Security Deposit as part of the application process.
(b) Each security deposit shall be posted in accordance with the provisions of the Agreement and Undertaking.
(c) The form of such Agreement and Undertaking shall be supplied by the Manager as part of the application (Form A4-1 (Rev. 2/92) for an individual private employer).
(d) The Agreement and Undertaking for Security Deposit (Form A 4-32 (Rev. 12/92)), included as part of the application) shall confirm the applicant employer's agreement to secure incurred liability for the payment of compensation as a condition to issuance of a Certificate of Consent to Self Insure by posting a security deposit with the State of California to be held by the Department of Industrial Relations in trust for the applicant employer, with power to the Director of Industrial Relations to order the sale or use of said security deposit to pay any compensation that may become due and of which said employer may be in default.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Renumbering and amendment of former section 15203.5 to section 15203.6 and renumbering and amendment of former section 15213 to section 15203.5 filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Amendment of subsection (c) and following Note filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
4. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.6. Delayed Start-up of a Self Insurance Program.
Note     •     History

(a) The Certificate of Consent to Self Insure for a public or individual private employer shall be initially valid for six months after the date of approval by the Director. If the self insurer has not initiated its self insurance program within the initial six month period, the approval of the certificate to self insure shall be void and a new application shall be filed for approval. 
(b) An individual private employer applicant that fails to initiate a self insurance program within three months of notification of approval by the Director may be required to establish current good standing with the Secretary of State and to provide current financial information before issuance of a Certificate of Consent to Self Insure.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700 and 3702.10, Labor Code.
HISTORY

1. Renumbering and amendment of former section 15203.5 to section 15203.6 filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.7. Documentation of Consent to Self Insure and Notice to Employees of Self Insured Status.
Note     •     History

(a) The original Certificate of Consent to Self Insure or a copy of the original Certificate of Consent to Self Insure issued to each private individual self insured employer or public self insured employer shall be prominently displayed at the self insurer's principal place of business in California.
(b) Notice to employees of workers' compensation coverage as required by Labor Code Section 3550 shall be accomplished by display of a copy of the self insurer's Certificate of Consent to Self Insure accompanied by a notice stating the name of the person(s) or administrative agency responsible for claims adjustment.
(c) If a self insurer is required to provide evidence of its approved self insured status to prove compliance with Labor Code Section 3700, the Manager shall provide a Certification of Self Insurance upon request from the certificate holder. Whether or not an employer is self insured can be determined electronically at the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. Beginning April 1, 2009, there is a ten dollar ($10) fee for signed certification of self insured status requested by third parties.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3550, 3602, 3700, 3701, 3702 and 3702.10, Labor Code.
HISTORY

1. Renumbering and amendment of former section 15203.7 to section 15203.8 and new section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of section heading, section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.8. Change in Status.
Note     •     History

(a) A public or individual private self insured employer shall notify the Manager in writing within 30 days of any of the following actions:
(1) Any amendment to the self insurer's articles, charter, or agreement of incorporation, association, or co-partnership which changes its identity or business structure or ownership in a material manner from the status as it existed at the time of issuance of its Certificate of Consent to Self Insure; or
(2) If the self insurer proposes to cease doing business entirely, proposes to cease doing business in California, or proposes to dispose of, by sale or otherwise, the controlling interest of the business for which the Certificate of Consent to Self Insure was issued.
(b) If any self insurer desires to retain its self insured status following any amendment to the articles, charter, or agreement of incorporation, association, or copartnership which changes its identity or business structure or ownership, the self insurer shall provide to the Manager the following information:
(1) A written description of the change and of the date the event(s) occurred;
(2) Copies of Certificates of Status or other appropriate registration documents filed with the Secretary of State in which the self insurer is incorporated concerning the change of the self insurer's status; and
(3) Written notice indicating that the certificate holder will continue to provide an annual financial statement or that a financial statement will be issued by a parent corporation.
(c) If a self insured corporation reincorporates, merges, or changes its identity, a new resolution shall be submitted to the Manager in accordance with Section 15203.3 of these regulations.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.3, 3702.10 and 3703, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Renumbering and amendment of former section 15203.7 to section 15203.8 filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Amendment of subsection (a) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
4. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.9. Validity of Certificate of Consent to Self Insure.
Note     •     History

(a) A Certificate of Consent to Self Insure shall be valid only to the individual private corporation, partnership, limited liability corporation, limited liability partnership, company, subsidiary, sole proprietorship, individual or affiliate public entity, or joint powers authority, to which the Certificate of Consent to Self Insure, Affiliate Certificate, Interim Certificate, or Subsidiary Certificate was issued. Each subsidiary or affiliate shall be issued its own Certificate of Consent to Self Insure.
(b) Except as provided in Labor Code Section 3701.7, the Manager may not issue a Certificate of Consent to Self Insure with an effective date earlier than the date the application and all other documents or information required by these regulations were submitted and deemed a complete application.
(c) Other than for an employer issued an Interim Certificate pursuant to Section 15205, once the self insurance program has been initiated by the employer, the Certificate of Consent to Self Insure shall be valid until revoked by order of the Director.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of subsection (a) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
3. Amendment of section heading, section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15203.10. Reinstatement of a Certificate of Consent to Self Insure.
Note     •     History

(a) The Certificate of Consent to Self Insure of an individual private or public self insurer, that has had its self insurance privilege terminated because of a legal change in business or corporate structure may be reinstated without lapse, providing the employer can re-qualify for self insurance.
(b) To request reinstatement of a Certificate of Consent to Self Insure, the applicant shall submit to the Manager a complete application and a statement that the applicant assumes and guarantees all workers' compensation liabilities incurred during its prior period of self insurance and will be responsible for any additional self insured liabilities incurred after termination of its Certificate of Consent to Self Insure. The Manager shall accept the statement of the employer's assumption of all past liabilities if signed by a corporate officer, attested to by the corporate secretary, and sealed with the corporate seal. If the statement is approved by the Manager, the applicant must submit within 90 days of the approval as part of the application an Agreement of Assumption and Guarantee of Workers' Liabilities fully executed pursuant to Section 15211.2 of these regulations. The Agreement of Assumption and Guarantee of Workers' Liabilities must be submitted before the Certificate to Self Insure may be reinstated. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15204. Application Filing Fee.
Note     •     History

(a) Each private employer making application for an individual Certificate of Consent to Self Insure shall at the time of filing the application, pay a non-refundable filing fee as follows:
(1) A filing fee of $500;
(2) For each application submitted to replace an Interim Certificate that has previously been issued to the applicant and is in effect at the time the application is submitted, the filing fee shall be $400;
(3) There shall be a $100 filing fee for each Request for an Interim Certificate submitted pursuant to Section 15205 of these regulations.
(b) Any subsequent filing of an application by an existing private individual self insurer to add a new subsidiary or affiliate, or required due to merger, acquisition, or reincorporation shall be considered a new application and shall be subject to the payment of the fees set forth in subsection (a).
(c) No application filing fee shall be required from a public entity making application for a Certificate to Self Insure.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
2. Amendment of section heading and text and adoption of Plates A-1 through C and Plate H filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Change without regulatory effect relocating Appendix Plates to section 15463 filed 9-14-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 38).
4. Designation of subsection (a) and new subsections (d)-(d)(4) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
5. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15205. Interim Certificates.
Note     •     History

(a) The Manager may issue an Interim Certificate of Consent to Self Insure to a subsidiary or affiliate of an existing private individual self insurer or an existing public agency self insurer. The Interim Certificate of Consent to Self Insure will be issued for a period not to exceed 180 days. A Certificate of Consent to Self Insure to replace the Interim Certificate shall not be issued unless a completed application and accompanying documents required by Section 15203 and the application fee required by Section 15204 are submitted to the Manager within 180 days of the effective date of the Interim Certificate. However, the Manager may extend the Interim Certificate for an additional period of up to 90 days upon a showing of cause by the Interim Self Insurer. 
(b) To qualify for an Interim Certificate, the existing private individual self insurer must demonstrate the following:
(1) Net worth on the last financial report filed with the Manager of Self Insurance Plans, pursuant to Section 15203.2, that shows at least $10 million in net worth,
(2) The private self insurer holding the Master Certificate of Consent to Self Insure has furnished proof satisfactory to the Manager of financial responsibility and ability to guarantee the payment of any compensation due.
(3) The subsidiary or affiliate being added to the self insurance program does not represent more than 50% of the annual payroll of the existing self insured as reported on the most recent Self Insurers' Annual Report.
(c) A request for an Interim Certificate shall be made by the existing public agency or individual private self insurer in writing to the Manager and provide the following information on each subsidiary or affiliate new to the self insurance program:
(1) The full legal name, state of incorporation, and Federal Tax Identification Number;
(2) The requested effective date of the Interim Certificate;
(3) Documentation of the total annual payroll of the subsidiary or affiliate during the last 12 months and of the dates for which the payroll information represents or for the latest 12-month period for which payroll figures are available.
(4) A statement that the Master Certificate holder shall be financially responsible for payment of all workers' compensation claims arising out of the period of time its subsidiary or affiliate is granted an Interim Certificate.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 2-26-97; operative 3-28-97 (Register 97, No. 9).
2. Amendment of subsection (e) filed 6-4-98; operative 7-4-98 (Register 98, No. 23).
3. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
Article 3. Security Deposit Requirements
§15209. Actuarial Studies and Summaries.
Note     •     History

(a) Current and former self-insurers, other than public self-insured employers, that are required to file a Self-Insurer's Annual Report, shall cause a qualified actuary to submit on their behalf to the Office of Self Insurance Plans (OSIP) an actuarial study and summary not later than May 1 of each calendar year with a valuation date of December 31 of the immediately prior calendar year. The summary shall be prepared and submitted via an online platform provided by OSIP with a copy of the complete actuarial study attached.
(1) In the absence of an actuarial study or summary for any private self-insurer that fully satisfies the criteria of this section received by the deadline set forth above, the Chief shall establish a security deposit amount on behalf of the self-insurer as the Chief determines appropriate based on consideration of all financial and loss information available to the Chief at the time. 
(2) The actuarial study and summary shall be prepared and submitted by an independent actuary with current experience making California workers' compensation actuarial projections, and who shall have a designation of Fellow of the Casualty Actuarial Society (FCAS), or be a member of the American Academy of Actuaries (MAAA), or a member of the Society of Actuaries who is qualified to sign a statement of actuarial opinion on loss reserves.
(3) The qualified actuary or his/her employing actuarial firm shall maintain a minimum of $1 million of professional liability and errors and omissions insurance coverage. Evidence of this coverage and limits must be submitted as a part of the actuarial study. 
(b) The actuarial study shall identify the self insurer's losses at the undiscounted `expected level' also commonly referred to as the undiscounted `actuarial central estimate', including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) and case reserves. The actuarial central estimate shall be reported at both the gross and net amounts of excess insurance values.
(c) The actuarial study shall identify the estimated future liabilities reported in the Private Self Insurer Annual Report filed by the self insurer's Third Party Administrator(s).
(d) The actuarial study and summary shall clearly identify any excess coverage by carrier, policy year and self-insured retentions, by year.
(e) The actuary shall declare in the study and the summary that the study and report may be used by the State of California and the Self-Insurers' Security Fund to set appropriate collateral and deposit amounts, and for any other regulatory purpose under these regulations.
(f) The actuarial study and summary shall specify that it is prepared for use by the Department of Industrial Relations, Office of Self Insurance Plans and the Self Insurers' Security Fund. The Office of Self Insurance Plans and the Self Insurers' Security Fund may share the study and report with consultants retained by the Department of Industrial Relations or the Self Insurers' Security Fund for official purposes in accomplishing the purposes of these regulations.
(g) The actuarial study shall be prepared covering a one year calendar period from January 1 through December 31 of each year.
(h) The actuarial study must include all of and only the self insured employer's California self-insured liabilities for the master certificate holder and all affiliate or subsidiary certificate holders related to the master certificate.
(i) Failure by a self insurer to submit a timely actuarial study and summary shall constitute good cause grounds for revocation of the self insurer's self-insurance Certificate.
(j) The Chief may accept or reject any actuarial study or summary that does not fully satisfy the criteria of this section and require a second study and summary by another qualified actuary that that does fully satisfy the criteria of this section be completed and submitted to OSIP at the self-insurer's expense. 
NOTE

Authority cited: Sections 54, 55, 3701, 3701.8 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 3700, 3701, 3701.5, 3701.8, 3702, 3702.2, 3702.8, 3702.9 and 3702.10, Labor Code. 
HISTORY

1. New section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15210. Security Deposit.
Note     •     History

(a) Public self insurers are not required to post or maintain a security deposit with the Director for workers' compensation liabilities.
(b) Individual Private self insurers shall post and maintain a security deposit, in accordance with the provisions of Labor Code Section 3701 and the requirements of Article 3 of this subchapter 2 and/or in accordance with Labor Code Section 3701.8 and Article 3.1 of this subchapter 2. 
(c) The minimum required security deposit pursuant to Labor Code Section 3701 for existing, private self insurers shall be equal to the self insurer's losses at the undiscounted `expected level' also commonly referred to as the undiscounted `actuarial central estimate', including each of the following components: incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), and Unallocated loss adjusted expense (ULAE), net of specific excess insurance coverage.
The required deposit may be increased at the Director's discretion as set forth in Article 3 of these regulations. 
(d) New individual private self insurers shall initially post a security deposit pursuant to Labor Code Section 3701 in an amount equal to the greater of the following:
(1) The prior three (3) years' incurred liability; or
(2) The statutory minimum required by Labor Code Section 3701(b); or
(3) A higher amount approved by the Director.
(e) The addition of a new subsidiary or affiliate private self insurer to the holder of an existing individual private Certificate to Self Insure shall initially post a security deposit pursuant to Labor Code Section 3701 in an amount equal to the greater of the following:
(1) The average one year incurred liability for the new subsidiary or affiliate self insurer based upon the prior three years' incurred liability; or
(2) A higher amount approved by the Director.
(f) Security deposit shall be posted in the form of:
(1) A surety bond executed on State issued bond and rider forms pursuant to Section 15212 of these regulations;
(2) An irrevocable letter of credit issued by a bank or savings institution or other financial institution pursuant to Section 15215 of these regulations;
(3) Approved securities in the form of government issued or corporate issued securities, meeting the requirements of Section 15213 of these regulations;
(4) Cash in trust deposited pursuant to requirements of Section 15214 of these regulations; or
(5) Any combination of one or more of the above four types of security deposit.
(g) Failure of an individual private self insured employer to maintain the required amount of deposit or to post an acceptable form of deposit as set forth in this Article shall be good cause for assessment of civil penalties pursuant to Labor Code Section 3702.9(a) by the Chief and/or, in the Director's discretion, revocation of the Certificate to Self Insure.
(h) Failure of an individual private self insured employer to post and maintain the required amount of security deposit for a period of 60 days shall be good cause for the Chief to summarily revoke a Certificate of Consent to Self-Insure. The summary revocation of the Self Insurer's Certificate of Consent will provide for a 15-day notice of termination, without a hearing. 
(1) Notwithstanding subsection (h) above, the individual private self insured employer may still request a hearing on the Chief's Revocation Order before the Director as provided in Article 11 of this subchapter 2. 
(2) An individual private self insurer requesting a hearing pursuant to subsection (h)(1) shall be required to provide proof of workers' compensation coverage under a policy from an admitted carrier for the period of time without security deposit or proof of compliance with the Chief's request to post security. 
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.6, 3702.10 and 3740-3745, Labor Code.
HISTORY

1. Amendment of article heading, section heading and text and adoption of Note filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (f)(3) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Change without regulatory effect amending subsections (c)(1) and (c)(3) filed 4-9-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 15).
4. Amendment of section and Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day. 
5. Certificate of Compliance as to 5-30-2003 order, including amendment of subsection (h)(1), transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
6. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
7. Amendment of subsection (c), repealer of subsections (c)(1)-(3) and amendment of subsections (g)-(h)(2) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15210.1. Adjustments in the Amount of Security Deposit.
Note     •     History

(a) Pursuant to Labor Code Section 3701, the security deposit requirement of each individual private self insured employer shall be reviewed by the Chief at least annually following receipt of the private Self-Insurer's Annual Report. 
(b) The individual private self insurer shall post any annual increase or decrease in security deposit required pursuant to Labor Code Section 3701 indicated in the annual actuarial study and summary as specified by these regulations or as determined by the Chief due to an audit, change in the self-insured employer's program or based on a change in required deposit made by the Chief under these regulations. This deposit posting is due no later than 30 days from the date the written notice of security deposit demand is made.
(c) No reduction or decrease in security deposit shall be made without prior written authorization of the Chief. The Chief shall review each individual private certificate holder's annual report and the certificate holder's file no less frequently than annually to determine the extent to which a decrease in deposit, if any, may be authorized.
(d) For good cause, the Chief may require the individual private self insurer to post and maintain additional security deposit or adjust the required security deposit for a specific private self insurer above the actuarially determined expected losses also commonly known as the actuarial central estimate, including incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), and Unallocated loss adjustment expense (ULAE) as set forth in Labor Code Sections 3701, 3701.7, and 3701.8. Good cause includes, but is not limited to, understated future liability of claims on the Self-Insurer's Annual Report; the lack of, or an inadequate or unacceptable, actuarial study or summary; a pattern of understated liabilities in claim files audited in an audit; failure to report all claims; poor administration of claims or payment of benefits due injured workers found in the audit results of the Office of Benefits Audits and Enforcement in the Division of Workers' Compensation or audits by the Office of Self Insurance Plans; lack of an effective safety and health program as indicated by final citations issued by the Division of Occupational Safety and Health showing repeat or willful violation of safety and health regulations; impairment of financial condition of the self insurer as determined by the Chief; failure to provide and maintain current and complete parental assumption and guarantees or board of director's resolutions; the result of evaluation of an application to self-insure; or to cover a period of unlawful self insurance; or being required to post security deposit in whole or part pursuant to Section 3701.8 of the Labor Code and Article 3.1 (commencing with Section 15220) of this subchapter 2.
(e) Whenever the Chief determines that a deposit increase is required, the Chief shall send written notice to the individual private self insurer pursuant to Labor Code Section 3701(b) and (j). Notice of the amount of deposit due shall create a perfected security interest for the Self Insurer's Security Fund.
(f) Any increase in the security deposit requirement for an individual private self insurer following the Chief's determination that estimated future liabilities had been understated on the private employer's Self Insurer's Annual Report, shall be reported to the Security Fund. The Security Fund shall be authorized to adjust the deposit assessment for the alternative composite deposit. 
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3701.7, 3701.8, 3702, 3702.3, 3702.6, 3702.10, 3740, 3741, 3742, 6319(f), 6401.7, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (e) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Amendment of section and Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
5. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
6. Amendment filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15210.2. Deposit Adjustment Upon Revocation of Certificate to Self Insure.
Note     •     History

(a) As part of the revocation of a Certificate to Self Insure pursuant to Sections 15422 and 15423 of these regulations, the Manager shall determine the need for a special revocation audit of the claims of any individual private self insurer and the need for a deposit adjustment to secure future liabilities of the revoked private self insurer pursuant to Labor Code Section 3701 and/or Section 3701.8.
(b) The amount of deposit or deposit rate required by the Manager on a revocation of a private self insurer's certificate to self insure may be at an amount or rate above the minimum required by Labor Code Section 3701 and/or Section 3701.8. The Manager in his/her discretion shall adjust the rate of deposit or the amount of deposit down to the statutory minimum required to secure the remaining workers' compensation liabilities for a revoked self insurer as necessary over time as the liabilities of the remaining claims inventory are run off by the administrator.
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.6, 3702.8, 3740-3745, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of section heading, section and Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day. 
3. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
4. Amendment of subsection (a) filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15210.3. Insurance Coverage.
Note     •     History

(a) Any public self insurer or individual private self insurer shall be permitted to insure any part of its liability to secure the payment of compensation pursuant to Labor Code Section 3700 with a standard workers' compensation insurance policy issued by a carrier. Full coverage of a self insurer's workers' compensation liability under a standard workers' compensation insurance policy shall be good cause for revocation of the certificate to self insure.
(b) All public self insurers and individual private self insurers shall provide the Manager with information on any standard workers' compensation insurance policies, specific excess workers' compensation insurance coverage, and any aggregate excess (stop loss) workers' compensation insurance coverage carried, as part of the Self Insurer's Annual Report or upon the request of the Manager. Evidence of any of these three types of insurance coverage shall also be provided to the Manager in the form of a Certificate of Insurance from the carrier, along with any changes, cancellations, revisions, or new policies.
(c) Upon the request of the Manager, any public self insurer or individual private self insurer shall provide a Certificate of Insurance or a copy of the workers' compensation insurance policy or policies maintained by the self insurer for any year or partial year in which claims have been reported.
(d) Specific excess workers' compensation insurance policies are not required to be purchased or maintained by any public self insurer or individual private self insurer. 
(e) Any individual private self insurer who elects to purchase an aggregate workers' compensation excess policy shall not be given any credit by the Manager toward the security deposit to be posted due to aggregate excess insurance coverage.
NOTE

Authority cited:  Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3702, 3740, 3743 and 3744, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of subsections (c)-(e) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
3. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15211. Allocation of the Security Deposit for Private Individual Self-Insurers.
Note     •     History

(a) The security deposit of each private individual self insurer shall apply to all subsidiaries and affiliates included under the Master Certificate of Consent to Self Insure issued to that self insurer during its respective period of self insurance, and no portion of the overall security deposit for that self insured plan may be limited to any specific affiliate or subsidiary under the Master Certificate. In the event that a subsidiary or affiliate certificate holder seeks to post a separate security covering its self insured liabilities only, a separate individual Certificate of Consent to Self Insure covering its period of self insurance shall be issued to that self insured employer and liabilities shall be transferred to a separate Certificate of Consent to Self Insure through an Order Amending and Transferring Liabilities.
(b) For purposes of these regulations, Section 189 of the California Corporations Code shall be used to define “subsidiary corporation” and “holding corporation.”
(c) For purposes of these regulations, legal entities with common ownership are sufficient to qualify for a common security deposit and may be included as co-principals on the same surety bond, or as named entities on a letter of credit, or as co-trustors on securities or a cash deposit.
(d) The Manager may require certification or other proof of stock ownership of the self-insured subsidiary corporation or corporations before allowing a self insurer to be included in the deposit of another self insurer.
(e) If the private holding corporation loses its power to elect a majority of the directors of a subsidiary self-insured corporation or corporations, the holding corporation and subsidiary corporation or corporations shall notify the Manager within 30 days of the event.
NOTE

Authority cited:  Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704, 3705 and 3740-3745, Labor Code; and Section 189, Corporations Code.
HISTORY

1. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
4. Editorial correction to remove duplicate history note (Register 78, No. 50). 
5. Amendment filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
6. Amendment of subsection (a) and new subsection (e) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
7. Editorial correction of History 6 (Register 96, No. 52).
8. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15211.1. Appeals to Increase in Security Deposit Due to Impaired Financial Condition of Self Insurer.
Note     •     History

(a) Where the Manager has required an increase in security deposit due to the impaired financial status of an individual private self insurer and the self insurer wishes to appeal the Manager's decision, upon receipt of the written appeal, the Manager shall order a detailed, third-party financial evaluation of the self insurer in order to determine the employer's financial strength. Such a third party financial evaluation shall include, but not be limited to, a Dun & Bradstreet Risk Assessment Report. The cost of the third party financial evaluation report shall be paid by the self insurer. 
(b) Upon receipt of the evaluation report, the appeal will be considered by the Manager, and if not resolved between the Manager and the self insurer, addressed pursuant to Article 11 of these regulations and Labor Code Section 3701.5(g). 
NOTE

Authority cited:  Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3701 and 3701.5(g), Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Repealer and new section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Repealer and new section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
4. Amendment of section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15211.2. Agreement of Assumption and Guarantee of Liabilities.
Note     •     History

(a) At the discretion of the Manager, the workers' compensation liabilities of a public, a private individual, subsidiary, or affiliate self-insurer may be assumed and guaranteed in whole or part by any other legal entity or person.
(b) The Agreement of Assumption and Guarantee of Liabilities shall be written upon a form provided by the Manager (Form A4-6 (Rev. 11/97)). The form is available on the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. 
(c) Regardless of whether an individual private affiliate or subsidiary or the self insurer's parent company's financial condition is relied upon to qualify the subsidiary or affiliate for self insurance, the holding company, ultimate parent corporation, controlling partners, owner, or other controlling entity acceptable to the Manager shall execute an agreement of assumption and guarantee of liabilities on behalf of the affiliate or subsidiary. In the event that the holding company, ultimate parent corporation, controlling partners, owner, or other controlling entity declines to execute an Agreement of Assumption and Guarantee of Liabilities, the Manager may require an increase in the self insurer's security deposit requirement pursuant to Section 15203.1 of these regulations. 
(d) A corporate guarantor shall provide a Board of Directors resolution which authorizes the assumption and guarantee of the liabilities of the affiliated or subsidiary company or public agency. The board resolution shall grant signature authority to the person or position title of the person signing the Agreement of Assumption and Guarantee of Liabilities. 

Note 1: The assumption resolution may be worded in such a manner as to be applicable to only the specific applicants to self insure or the assumption resolution may list all present subsidiaries or affiliates and authorize the addition of future, unnamed additions to the assumption resolution as an attachment without execution of a new resolution.

Note 2: The Manager shall provide an acceptable model resolution to any party upon request. The current model assumption resolutions are contained in Plate E of the Appendix following the last Article of these Subchapter 2 regulations.
(e) In the event that a public self insurer or individual private self insurer reincorporates, merges, or changes its identity, the surviving entity shall execute a new Agreement of Assumption and Guarantee of Liabilities and a new assumption resolution to cover the liabilities of the prior self insurer as part of the reapplication process to continue self insurance of workers' compensation liabilities.
(f) A foreign entity (i.e. outside the United States) may execute a parental Agreement of Assumption and Guarantee of Liabilities for a subsidiary or affiliate self insurer provided such foreign entity:
(1) executes in the English language the Agreement of Assumption and Guarantee of Liabilities and the assumption resolution; and
(2) includes a statement in the Agreement of Assumption and Guarantee of Liabilities that, in the event of the Director's need to enforce the Agreement of Assumption and Guarantee of Liabilities executed by the foreign entity on behalf of a self-insured subsidiary or subsidiaries, the foreign entity will:
(A) become subject to the jurisdiction of California courts and administrative agencies; and
(B) become controlled by California law in the resolution of any dispute under the assumption and guarantee agreement.
(g) Execution of an agreement of Agreement of Assumption and Guarantee of Liabilities shall not reduce the amount of security deposit required to be posted by any self insurer as set forth in Section 15210 and 15210.1.
(h) An Agreement of Assumption and Guarantee of Liabilities executed pursuant to this section may be terminated upon receipt of a written notice of such termination, but except as provided in subsection (i), the termination shall not take effect sooner than 30 days after receipt of the written termination notice. 
(i) The Director may approve an earlier termination date than provided in subsection (h) in the event that a self-insurer is sold  to a new owner and workers' compensation liabilities are either covered by an insurance policy or the new owner executes an Agreement of Assumption and Guarantee of Liabilities effective on or before the date of the sale.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3702, 3702.5, 3702.6, 3702.10, 3703, 3705 and 3740-3744, Labor Code.
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
3. Amendment filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
4. Editorial correction of subsection (f)(2)(A) (Register 98, No. 8).
5. Change without regulatory effect amending subsection (b) filed 2-17-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
6. Amendment of subsection (c) filed 6-25-98; operative 7-25-98 (Register 98, No. 26).
7. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15211.3. Agreement and Undertaking For Security Deposit.
Note     •     History

(a) All security deposits shall be posted in accordance with the provisions of the Agreement and Undertaking, as required in Section 15203.5 of these regulations.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3701, 3701.5, 3702, 3702.6, 3702.10, 3703, 3705 and 3740-3745, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
§15212. Surety Bonds.
Note     •     History

(a) Surety bonds shall be accepted by the Manager only if written by an “admitted surety insurer” as defined by California Code of Civil Procedure, Chapter 2, Bonds and Undertaking, Section 995.120(a).
(b) A surety bond underwritten by an organization owned and/or controlled by the self insurer, who is also the principal on the surety bond, shall be rejected by the Manager unless the surety company is financially independent of its parent.
(c) The Manager shall make available, upon request of any self insurer, an appropriate quantity of surety bond forms (Form A4-20 (Rev. 11/92)), increase riders (Form A4-21b (Rev. 4/92)) decrease riders (Form A4-21a (Rev. 4/92)), name change riders (Form A4-22 (Rev. 4/92)), and special form change riders (Form A4-23 (Rev. 4/92)), and Release of Surety (Form A4-24 (11/92)), California Code of Regulations, Title 11, Chapter 2, Section 25, which are hereby incorporated by reference.
Note: The current surety bond forms and rider forms are contained in Plates F-1 through F-6 of the Appendix immediately following the last Article in these Subchapter 2 regulations.
(d) A surety bond accepted by the Manager as security deposit shall be continuous in form. Surety bonds shall be exonerated only by their terms and cancelled only according to the specific language in the bond form. Exoneration of a surety bond by the Manager shall only be done when the bond language includes a release provision and the self insurer has substituted another acceptable security deposit or combination of acceptable deposits that totals to the amount determined by the Director to be required as a security deposit.
Note: Bond forms previously accepted as security deposit have differing terms and conditions from the current surety bond forms and some of the prior bond forms may not include a release provision in the bond language. Such bonds cannot be exonerated by the Manager unless the prior bond form is changed to the current terms and conditions by means of reinstatement of the surety bond, if cancelled, and execution of a Special Form Change Rider.
(e) The surety company shall submit a Notice of Cancellation in writing to the Manager on any surety bond according to the terms of the bond. The surety shall give the Manager written notice at least (thirty) 30 days in advance of the effective date of cancellation of an existing surety bond. After receipt of the written cancellation notice and receipt of a replacement security deposit, as set forth in subsection (d) and (g), in the amount required by the Director, the Manager may issue a Release of Surety to the surety company for the cancelled bond.
(f) Surety bonds and all riders to the surety bonds shall be executed by the surety company's Attorney-In-Fact and the Attorney-In-Fact's appointment or power of attorney must accompany all copies of the bond or rider being submitted.
Note: The Attorney-In-Fact does not need to be a California Attorney- In-Fact.
(g) The self insurer shall substitute the deposit represented by the penal sum of the cancelled surety bond with another acceptable form of security deposit, in the full amount required by the Director, within thirty (30) days of the receipt of bond cancellation notice to the Manager.

Exceptions: (1) A surety bond issued prior to the effective date of these regulations where the bond secures liabilities of a former self insurer.(2) An active self insurer in the process of revocation on the effective date of this regulation of its self insurance authority and which has fully insured its workers' compensation liabilities with a standard workers' compensation policy from an admitted carrier prior to the effective date of this regulation.
(h) The surety company or its parent company shall have and maintain an acceptable credit rating as set forth below:
(1) Standard and Poors Insurer Financial Strength Rating of A or better rating, or
(2) A.M. Best Company, Financial Strength Rating of B+ or better rating.
(i) A surety bond shall be replaced by the self insurer in the event the surety is placed in conservatorship, or is seized, or declares insolvency, or the current credit rating is below the ratings required in subsection (h).
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3701.5, 3702.10, 3703, 3705 and 3740-3744, Labor Code;  and  Sections 995.120(a) and 995.430, Code of Civil Procedure.
HISTORY

1. Repealer and new section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment filed 8-12-93; operative 9-13-93 (Register 93, No. 33).
3. New subsections (h)-(i) and amendment of Note filed 11-2-2001; operative 12-2-2001 (Register 2001, No. 44).
§15213. Approved Securities.
Note     •     History

(a) Approved securities shall be only those securities which meet the following:
(1) Securities are corporate or Federal, State or municipal government bonds or notes in book entry form, having a rating of AA or better by Standard and Poor's Rating Service or a rating of Aa or better by Moody's Investors Service Guide or a rating of AA or better by Fitch Investors Service Guide;

Exception 1. Securities issued by the State of California shall have a rating of B or better.

Exception 2. Securities in registered, physical form that meet all requirements of this section are acceptable until January 1, 1997 for posting by a self insurer. After that date, all securities shall be in book entry form.
(2) Securities shall be delivered in the name of the “Treasurer, State of California in trust for (insert the legal name of the self insurer)” or similar legible abbreviation to a custodian account designated by the State Treasurer.*
(3) Securities previously accepted and registered in the name of “Treasurer State of California” or “Treasurer of State of California in trust for [legal name of self insurer(s)] liabilities pursuant to Labor Code Sections 3700 and 3701” shall not have to be reregistered, but will be held until maturity or released by order of the Manager or Director.
(4) Mortgage backed securities shall not be acceptable and zero-coupon securities shall not be accepted.
(5) Securities issued by the self insurer or its subsidiaries, or its affiliated companies or parent companies, shall not be accepted for that particular self insurer's security deposit.
(b) Any private self insurer desiring to post or have released approved securities shall provide the Manager with a complete description of the security or securities, including the following:
(1) Whether the security is registered or book entry type;
(2) Complete name of security;
(3) Interest rate of security;
(4) Original issue date of security;
(5) Date of maturity of security;
(6) Par value of security;
(7) Current market value of security;
(8) Name of delivery agent and the telephone number of delivery agent who will actually deliver the security to the State on behalf of the self insured employer.

[Note: This is usually a bank or brokerage firm.]; and
(9) The name and address where interest checks are to be sent for registered securities or a bank name and bank account number for wire transfer of interest payments for book entry securities.
(10) The self insurer's Federal Taxpayer Identification Number for interest payments on the securities.
(c) Approval by the Manager or Director, or other person authorized in writing by the Director, to the State Treasurer shall be required on all securities to be posted or released and the Manager shall transmit the approval order to the State Treasurer.

The current model letter to request approval of securities is contained in Plate G of the Appendix following the last Article in these Subchapter 2 regulations.
(d) The Manager shall value approved securities at par value or market value, whichever is less, when computing the security deposit represented by the securities for any private self insurer. Each self insurer posting securities shall provide a statement of the current market value of the security or securities annually to the Manager on their Self Insurer's Annual Report as required by Section 15251(b)(6).
(e) No approved security shall be accepted for deposit at above its par value. Additional deposits of approved securities shall be required at any time when the market value of an approved security falls below its par value.
(f) The Manager may order called or matured securities to be redeemed by the State Treasurer and the resulting cash returned to or deposited in trust on behalf of the self-insured.
(g) Any self insurer with securities on deposit may request the release of the securities upon the posting of replacement security or upon the determination of the Manager that the securities represent surplus deposit above that required by Labor Code Section 3701 and these regulations.

*Note: The usual practice of the State Treasurer is to contact the delivery agent for the specific wire instructions for processing the securities transaction into or out of the State Treasurer's custodian account.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.6, 3702.10, 3703, 3705 and 3740-3745, Labor Code.
HISTORY

1. Editorial correction to Form Nos. A4-30 and A4-31 (Register 74, No. 47).
2. Repealer and new section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Amendment of subsections (a)(1) and (a)(2), repealer and new subsection (a)(3), and addition of footnote to subsection (a)(2) filed 12-23-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 52).
§15214. Cash in Trust.
Note     •     History

(a) Cash shall be presented to the Manager in the form of a corporate check, cashier's check, certified check or money order and shall be made payable to “The Department of Industrial Relations In Trust For [the legal name of the self insurer].” A wire transfer of funds to a bank, or financial institution if approved in advance by the Manager may be used.

Note 1: Cash deposits shall be deposited by the Office of Self-Insurance Plans on the same day received or on the following business day with a bank or financial institution meeting the credit standards contained in Section 15215(e) into an interest bearing savings account or into a callable or brokered certificate of deposit not exceeding one year in duration with an automatic rollover upon maturity. A savings account or certificate of deposit shall be set up in such a manner to show the deposit is held in trust for the private self insurer by the Department of Industrial Relations, as the depositor, and the private self insurer has no ability to control any part of the savings account or certificate of deposit. The savings account, original certificate or other evidence of the deposit or account shall be held by the bank or financial institution who shall be the custodian of the deposit, pending written instruction from Self-Insurance Plans signed by the Manager to deliver documentary evidence of the deposit or account, to the Office of Self Insurance Plans.

Note 2: A private self insurer desiring to deposit cash to be held in trust as part of its security deposit should contact the Manager in advance of sending a cash deposit to the Office of Self-Insurance Plans. The private self insurer may advise the Manager in writing of any preference for a bank or financial institution into which the cash is to be deposited by the Department and length of the deposit term. However, the selection of the bank or financial institution and length of term of the deposit is at the discretion of the Manager.
(b) Certificates of deposit may be deposited with prior arrangements made with the Manager and subject to approval of the Manager as with any other registered securities pursuant to Section 15213 of these regulations.
(c) By order of the Manager, documentary evidence of the savings account or certificate of deposit shall be provided by the bank or financial institution to the Office of Self Insurance Plans. The savings account or certificate of deposit shall be released only upon written order of the Director and the Manager or other person designated by the Director.
(d) The Manager shall provide the private self insurer depositing cash with a written receipt for the deposit.
(e) The private self insurer may request and the Manager shall authorize the payment of any interest on the cash deposit to be sent to the self insurer from the bank or financial institution.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.6, 3702.10, 3703, 3705 and 3740-3745, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
3. Editorial correction of Note 1 (Register 2011, No. 44).
§15215. Letters of Credit.
Note     •     History

(a) An irrevocable standby letter of credit may be accepted by the Manager as all or part of the security deposit for a private self insurer. The Manager shall determine whether the letter of credit submitted is acceptable and if its language and format meets the requirements of this Section.
(b) Irrevocable letters of credit shall be issued by and payable at a branch in the continental United States, Alaska or Hawaii. The issuing bank or financial institution shall meet the requirements of this section and may be: 
(1) A State of California chartered bank or savings institution; or
(2) A federally chartered bank or savings institution; or
(3) Any other foreign or domestic bank or savings institution; or
(4) A group (syndication) of domestic or foreign banks or savings institutions.
(5) A federally chartered or State of California chartered credit union 
(c) The Manager shall provide a model letter of credit format and language that will meet the requirements for acceptance. The letter of credit shall include, but not be limited to, the following provisions:
(1) The letter of credit will be automatically extended without amendment for an additional one year from the expiry date or any subsequent expiry date unless, at least 45 days before the expiry date, the Manager is notified in writing by the bank or financial institution that the letter of credit will not be renewed;
(2) The letter of credit can be called if the self insurer fails to pay its workers' compensation liabilities; or the self insurer files bankruptcy; or the self insurer fails to renew or substitute acceptable security by ten days prior to the expiry date of the letter of credit; or any combination of these events;
(3) The letter of credit is not subject to any qualification or condition by the issuing or confirming bank or financial institution and is the bank or financial institution's individual obligation which is in no way contingent upon reimbursement;
(4) Payment of any amount under the letter of credit shall be made only by wire transfer in the name of “The Department of Industrial Relations In Trust For [the legal name of the self insurer]” to an account of the State Controller, State of California, at a designated bank;
(5) All letters of credit shall include a statement that if legal proceedings are initiated by any party with respect to the payment of any letter of credit, it is agreed that such proceedings shall be subject to the jurisdiction of California courts and administrative agencies and subject to California law; and
(6) Letters of credit shall be subject to the Uniform Customs and Practices for Documentary Credits, UCP600, 2007 Revision, ICC Publication No. 600, which is hereby incorporated by reference, and a reference to this publication shall be included within the text of the letter of credit.
(7) Discrepancy fees, if any, shall be payable by the self insurer.

Note: A model single bank letter of credit (Revised 7/94) is contained in Plate I of the Appendix following the last Article in these Subchapter 2 regulations.
(d) A syndicated letter of credit shall include all the language of the single bank or financial institution issued letter of credit and in addition:
(1) Authorize all demands for payment to be presented at a designated branch (“agent bank” or “agent”) of one of the participating banks or financial institutions;
(2) Include a draft to be presented for payment of all or part of the credit available under the letter of credit;
(3) Permit any participating bank's or financial institution's portion of the total credit available to be drawn upon if the participating bank's or financial institution's credit rating falls below the acceptable credit rating level specified in subsection (e) of this Section; and
(4) State that the obligations of the banks or financial institutions issuing a syndicated letter of credit are several and not joint, and neither the agent bank or financial institution or any other participating bank or financial institution shall be responsible for or otherwise liable for the failure of any other participating bank or financial institution to perform its obligations under the syndicated letter of credit. The failure of any participating bank or financial institution to perform its obligations under the syndicated letter of credit shall also not relieve any other participating bank or financial institution of its obligations under the syndicated letter of credit.
(e) The issuing bank(s) or financial institution(s) or the parent holding corporation of an unrated bank or financial institution issuing a letter of credit shall have at the time of issuance of the letter of credit an acceptable credit rating as set forth below:
(1) An “Aaa”, “Aa”, “A” long term certificate of deposit (CD) rating for the bank or financial institution in the current monthly edition of “Moody's Statistical Handbook” prepared by Moody's Investors Service, Inc., New York; or
(2) An “AAA”, “AA” or “A” long term certificate of deposit (CD)  rating for the bank or financial institution in the current quarterly edition or monthly supplement of “Financial Institutions Ratings” prepared by Standard & Poor's Corporation, New York; or
(3) An “AAA”, “AA+” or “AA” credit quality rating for the issuing financial institution along with a CD/Debt Credit Limit Code above the dollar amount of the letter of credit as well as a Credit Limit Maturity Code of “a, b, c or d” in the current annual edition of “GFI Credit Ratings”, or the latest monthly “GFI Bank Letter” supplement thereto; or
(4) If applicable, be backed by federally chartered instrumentalities of the United States operating under authority of the Farm Credit Act of 1971, as amended, or be a state or federally chartered credit union whose shares are insured by the National Credit Union Share Insurance Fund.
(f) A letter of credit issued by a bank or financial institution or syndication of banks or financial institutions that does not meet the credit rating set forth in subsection (e) at the time of issuance shall be accepted by the Manager with a confirming letter of credit issued by a bank or financial institution meeting the criteria of subsection (e). The confirming letter of credit shall state that the confirming bank or financial institution is primarily obligated to pay on demand the full amount of the letter of credit regardless of reimbursement from the bank or financial institution whose letter of credit is being confirmed.

Note: Advising letters of credit shall not be accepted in lieu of the confirmation requirement for the letter of credit bank with a unacceptable credit rating.
(g) If a bank or financial institution's rating subsequent to the issuance of the letter of credit falls below the acceptable rating level as set forth in subsection (e), the Manager shall, within 60 days of the publication of the lower credit rating, require the self insurer to:
(1) Replace the letter of credit with a new letter of credit issued by a bank or financial institution with an acceptable credit rating; or
(2) Confirm the letter of credit by a bank or financial institution with an acceptable rating.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor  Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3740, 3741 and 3742, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. New subsection (e)(3) and subsection redesignation, and amendment of subsections (e)(1) and (2) filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
3. Amendment of subsection (c)(6) and (c)(7) Note filed 12-1-94; operative 1-2-95 (Register 94, No. 48).
4. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15216. Administration of Defaulted Self-Insurer's Claims.
Note     •     History

(a) In the event the self insurer fails to pay workers' compensation benefits due, the cost of administration and legal expenses of existing and new claims shall be made from the security deposit set aside for this purpose pursuant to Labor Code Section 3701.5.
(b) If claims have been administered from out of state, the Director may order all remaining and future claims to be administered from California or may turn them over to the Self-Insurer's Security Fund.
(c) The Manager shall determine the adequacy of the existing security deposit to pay the defaulting self insurer's workers' compensation liabilities within 90 days of the Manager's determination that the self-insured has defaulted, and shall report his/her findings to the Director and the Self Insurer's Security Fund.
(d) If it is necessary for the Director to call or cash any security deposit, a trust shall be established by the Manager to receive the funds from the deposit, except in the following situations:
(1) Where the surety company elects, and the Director approves, handling of the claims directly by the provider of the surety bond; or
(2) Where the funds and responsibility for the claims are turned over to the Self-Insurer's Security Fund pursuant to Labor Code Section 3701.5.
(e) In the event of a default, all security deposits, regardless of form that is posted by the self insured employer, shall be the first in order to be called upon to pay benefits due. If any portion of the defaulting self insurer's liabilities are secured in whole or part by an alternative composite deposit posted by the Security Fund, the alternative composite deposit shall be next in order to be called upon to pay benefits due. The Director may at his/her discretion call any portion of the entire security deposit posted at any time without waiting for the exhaustion of all funds in the prior level or call order contained in this subsection. 
(f) The Manager shall advise the Self-Insurers' Security Fund of the receipt of any verified information indicating a self-insurer's failure to pay benefits due, the filing of bankruptcy, or inability to post and maintain required security deposit.
(g) The Director, at his/her discretion, may order the Security Fund to assume full liability for any self insurer's insolvency or failure to pay benefits regardless of whether or not there is a shortfall in the deposit to pay benefits due.
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 129, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.6, 3703, 3705 and 3740-3745, Labor Code.
HISTORY

1. New section filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
2. Amendment of section and Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
Article 3.1. Alternative Composite Deposits
§15220. Participation in Alternative Composite Deposits.
Note     •     History

(a) All private self insured employers, active or revoked, shall be annually determined by the Manager to be either eligible or non-eligible for participation in the alternative composite deposit program. Participation shall be as a fully participating self insured employer or as a partially participating self insured employer as provided in subsection (c)(1). 
(b) All non-eligible self insurers shall be deemed “excluded”. The following self insured employers shall be excluded from the alternative composite deposit program: 
(1) Any new private sector self insured employer during their first three full years of self insurance. An employer shall be considered a new self insured employer if, when it applied to become self insured, it did not possess an active Certificate of Consent to Self Insure issued pursuant to Labor Code Section 3700(b) for itself or for its parent, a subsidiary, or an affiliate employer. 
(2) Any former private self insured employer that possesses a revoked Certificate of Consent to Self-Insure and is no longer required to submit a Self-Insurer's Annual Report pursuant to Section 15251 of this subchapter 2 because all known claims costs have been reported and all known claims are closed. 
(3) Any former private self insured employer that possesses a revoked Certificate of Consent to Self Insure and is required to post no more than the minimum security deposit amount pursuant to Labor Code Section 3701(b). 
(4) Any current or former private self insured employer to the extent it has sold off all or any portion of its workers' compensation liabilities under a special excess workers compensation insurance policy to an admitted carrier and has continued to post security deposit to secure such sold off liabilities for 3 years from the policy issuance date. 
(5) All private group self insurers of workers' compensation liabilities as provided for in Article 13 of this subchapter 2. 
(6) Any private self insured employer to the extent that it transfers any or all of its existing self insured workers' compensation liabilities to either: (A) a fully insured employer, such as in the merger, reorganization, sale or spin off of a division or subsidiary; or, (B) a carrier through a contractual sell off that is not a special excess workers' compensation insurance policy pursuant to Labor Code Section 3702.8(c) and (d). 
(7) Any current or former private self insured employer that has defaulted on the payment of its self insured workers' compensation liabilities and whose liabilities have been turned over to the Security Fund by the Director. 
(8) Any current or former private self insured employer that has failed to post the full amount of security deposit required by Section 15210 for more than 60 consecutive days. 
(9) Any former private self insured employer that has posted a surety bond that contains no provision to release the carrier's liabilities under the surety bond. 
(10) Any private self insured employer that does not meet the minimum credit rating criteria for participation in the alternative composite deposit contained in subsection (d)(3). 
(11) Any current or former private legally self insured employer that is a member of a public sector healthcare joint powers authority pursuant to Government Code Section 6527. 
(12) Any self insured employer that has been specifically excluded by written request of the Security Fund. Notwithstanding other requirements of this section, the Security Fund may submit a written request to the Manager that any private self-insured employer otherwise excluded from participation in the alternative composite deposit program be included, and the Manager, upon such written request, may grant the request; the written request shall identify the private self-insured employer and shall state the reasons that such private self-insured employer should be included in the alternative composite deposit. 
(c) All private self insured employers determined by the Manager to be eligible shall be required to participate in the alternative composite deposit program. 
(1) The Manager shall identify each eligible participant as one of the following: 
(A) Fully participating employer, or 
(B) Partially participating employer. 
(d) To qualify as a fully participating private self insured employer, the employer shall meet all the following requirements: 
(1) The employer is not excluded by subsection (b) of this regulation; 
(2) The self insured employer meets the minimum financial requirements in its last published annual financial report as provided in Section 15203.2; 
(3) The employer possesses an acceptable credit rating on the date of the Security Fund's written alternative composite deposit proposal. An acceptable credit rating shall be any “A” or any “B” rating or equivalent as determined by section 15220.1, in either of the following publications: 
(A) Moody's Investor Service Corporate Finance monthly subscription rating guide entitled “Moody's Global Rating Guide”, or 
(B) Standard & Poor's Credit Market Services monthly subscription rating guide entitled “Global Ratings Handbook”. 
In the event that ratings have been determined pursuant to both subsection (d)(3)(A) and (B), and the ratings differ, the most recently published rating shall be utilized. 
(e) The following self insured employers shall qualify as partially participating members of the alternative composite deposit program: 
(1) The employer is not excluded by subsection (b) of this regulation; 
(2) The employer meets the qualifications of subsection (d) but has been identified as a partially participating self insured employer by action of the Manager for cause. Cause may include, but is not limited to, failure to provide a parental agreement of assumption and guarantee; failure to file a complete and timely Self Insurer's Annual Report; failure to post the required security deposit by the required date; failure to report all claim liabilities or to estimate claims liabilities pursuant to Section 15300 of these regulations as determined in a routine audit or special audit; and/or, failure to post alternate deposit for new subsidiaries or affiliates of the self insurer after the end of the cycle for the previous year's alternate composite deposit. 
(f) Excluded self insured employers shall not be eligible for any portion of their security deposit to be covered by the alternative composite deposit. The excluded private self insurer shall continue to secure its workers' compensation liabilities as required in Article 3 and to pay assessments as provided in Article 4 of this subchapter 2. 
(g) Any private self insured employer that is eligible only as a partially participating member or is excluded to participate in the alternative composite deposit shall post the balance of the amount of required security deposit with the Director pursuant to Labor Code Section 3701 and Article 3 of this subchapter 2. 
(h) For cause, the Manager may downgrade an eligible private self insured employer from: 
(1) fully participating employer to partially participating employer as provided in subsection (e)(2); or 
(2) from partially participating employer to excluded. 
Cause may include, but is not limited to, failure to submit the Self Insurers' Annual Report and/or failure to estimate future claim liabilities on the Self Insurers' Annual Report fully pursuant to Section 15300 as determined in an audit; inclusion of claim liabilities of subsidiaries or affiliates in their self insurance program that have not been granted a Certificate to Self Insure by the Director; failure to post a security deposit pursuant to Labor Code Section 3701 and these regulations; failure to meet the financial requirements for self insurance pursuant to Section 15203.1; failure to submit an Assumption and Guarantee Agreement pursuant to Section 15203.1; and/or, failure to pay any assessments, fees, and/or penalties pursuant to Labor Code Section 3702.9, this article, and/or Articles 4 or 9 of this subchapter 2. 
NOTE

Authority cited: Sections 3701, 3701.8 and 3702.10, Labor Code. Reference: Sections 3701 and 3701.8, Labor Code; and Section 6527, Government Code. 
HISTORY

1. New article 3.1 (sections 15220-15220.8) and section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day. For prior history of sections 15220-15221, see Register 93, No. 2.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
3. Amendment of subsections (b)(12) and (d)(3)(B) and amendment of Note filed 7-6-2004 as an emergency; operative 7-6-2004 (Register 2004, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-3-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(12) and (d)(3)(B) and amendment of Note refiled 11-3-2004 as an emergency; operative 11-3-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-3-2004 order transmitted to OAL 1-26-2005 and filed 3-8-2005 (Register 2005, No. 10).
§15220.1. Financial Information.
Note     •     History

(a) In addition to the existing requirements to provide the current financial statement to the Manager contained in Section 15203.2 of these regulations, the Manager shall require financial information that includes designated general information and key financial items from such financial statement required by Section 15203.2, in a format approved by the Director pursuant to subsection (c)(3), from any private self insured employer that: 
(1) does not have public financial statements (such as closely held or privately held employers) or has no published credit rating; and 
(2) has a required security deposit equal to or greater than $2,000,000 or fails to meet the financial requirements to be self insured as contained in Section 15203.2. 
(b) Financial information shall include the following designated general information and key financial items: 
(1) General Information Items: 
(A) Name of Employer 
(B) Date of Last Annual Financial Statement 
(2) Key Financial Information: 
(A) Cash and Marketable Securities 
(B) Inventory 
(C) Total Current Assets 
(D) Total Intangible Assets 
(E) Total Assets 
(F) Total Short Term Debt 
(G) Total Current Liabilities 
(H) Total Long Term Debt 
(I) Long Term Pension Obligations 
(J) Total Liabilities 
(K) Total Shareholders' Equity 
(L) Total Preferred Stock 
(M) Retained Earnings 
(N) Net Sales 
(O) Cost of Goods Sold 
(P) Selling, General & Administrative Expenses 
(Q) Operating Profit/ (Loss) 
(R) Earnings before Interest and Taxes 
(S) Total Interest Expenses 
(T) Rental Expense 
(U) Net Income 
(V) Depreciation & Amortization 
(W) Extraordinary Items 
(c) A private self insured employer that fails to file the financial information as determined by this section shall be ineligible to participate as a fully participating member in the current alternative composite deposit. 
(1) The Manager shall utilize available financial information to assign a non-investment grade rating to any self insured employer that fails to submit financial information for eligibility as a partial participating member. 
(2) The Manager shall be authorized to determine that a private self insurer that fails to submit financial information be ineligible for partial participation in the current alternative composite deposit program. 
(3) After December 31, 2004, the financial information required by subsection (b) shall be submitted to the Manager electronically in a format provided by the Manager.
(d) Pursuant to Labor Code Section 3701.8(b)(5), the Manager may provide to the Security Fund any financial information needed to set the deposit assessments for self-insured employers participating in the alternative composite deposit program and to secure the composite deposit.
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Sections 3701.8 and 3702.10, Labor Code.
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order, including amendment of subsection (a), subsection relettering and new subsection (d) -- form A4-7, transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
3. Amendment of section heading and subsections (a), (b) and (c)-(c)(2), new subsection (c)(3) and repealer and new subsection (d) filed 7-6-2004 as an emergency; operative 7-6-2004 (Register 2004, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-3-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and subsections (a), (a)(2) and (c)-(c)(2), new subsection (c)(3) and repealer and new subsection (d) refiled 11-3-2004 as an emergency; operative 11-3-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-3-2004 order transmitted to OAL 1-26-2005 and filed 3-8-2005 (Register 2005, No. 10).
§15220.2. Listing of Security Deposit Amount Required.
Note     •     History

(a) The Manager shall annually prepare a listing of the security deposit amount required to secure workers' compensation liabilities for each private self insured employer pursuant to Labor Code Section 3701 and Article 3 of this subchapter 2. This listing of required security deposits shall be calculated by using the total amount of liability reported on the private self insured employer's year-end Self Insurer's Annual Report, and shall reflect deposit adjustments from audit results, additions of subsidiaries or affiliates, each applicable rate of deposit, and/or other deposit adjustments as determined by the Manager for all private self insured employers. This list shall be submitted to the Director annually. 
(b) Any private self insured employer that fails to file its Self Insurer's Annual Report as required by Section 15251 of this subchapter 2 by April 1 of each year shall be deemed by the Manager to have twice the liabilities indicated on the prior year's Annual Report for the purpose of determining and recording the required security deposit in the above listing. 
(c) The Manager shall provide the listing of required security deposits to the Security Fund. The Manager may submit the listing in a series of partially complete lists as the Self Insurers' Annual Reports are processed each year.
NOTE

Authority cited: Section 3701.8 and 3701.10, Labor Code. Reference: Sections 3701.8 and 3702.10, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
§15220.3. Alternative Composite Deposits.
Note     •     History

(a) The Security Fund shall secure the aggregate security deposit amount required, in whole or part, for all eligible private self insured employers in the alternative composite deposit program, utilizing any one or combination of security instruments listed in Labor Code Section 3701 and/or Section 3701.8 and as provided for in subsection (b) of this section. 
(b) These security instruments may include, but not be limited to, letters of credit, surety bonds, approved securities, and cash subject to the regulatory requirements for each contained in Article 3 (commencing with Section 15210) of this subchapter 2. It may also include, but not be limited to, insurance coverage, such as specific or aggregate excess policies, or special excess workers' compensation policies; or other financial instruments, such as commercial paper or reinsurance contracts; or the Security Fund's own secured or unsecured indebtedness; or financial guarantees, including the Security Fund's own guarantee backed by cash or securities. 
(c) The Security Fund shall submit a written proposal as required in subsection (d) each year that the Security Fund proposes to replace individual security deposits with an aggregate composite deposit. 
(d) Each formal written proposal for an alternative composite deposit to the Manager shall include: 
(1) A complete description of the proposed composite deposit including what portions are cash and non-cash; any retentions, deductibles, or co-payments that are contemplated in each layer, if any; and any insurance or reinsurance being utilized as part of the proposal; 
(2) A list of all proposed self insured employers to be covered; their amount of coverage; their applicable credit rating or equivalent credit rating as determined by Section 15220.1 of this subchapter 2; and the credit rating agency utilized to determine the credit rating; 
(3) Specification of the call order, if any, of the instruments proposed to be posted as part of the alternative composite deposit. 
(4) A proposed starting date for the proposed alternative composite deposit that is at least 30 days after the date of the official written proposal to the Manager. 
(e) The Manager shall advise the Director of all written proposals submitted by the Security Fund for an alternative composite deposit and the details of the proposal. 
(f) The Manager shall review and approve or reject the alternative composite deposit proposal in whole or part and shall advise the Security Fund of the decision within 30 days. If approved, the Security Fund shall have 30 days to post the alternative composite deposit instruments(s) with the Director, unless the Security Fund's approved proposal sets forth some other acceptable timetable for delivery of the instrument(s). 
(g) The Manager shall not release security deposits posted by individual self insured employers pursuant to Labor Code Section 3701 until after the alternative composite deposit permitted by Labor Code Section 3701.8 is fully posted. 
(h) The Security Fund may subsequently propose additions, extensions, replacements, substitutions, or other changes to the initial alternative composite deposit posted with the Manager, in whole or part, in the same manner as set forth in this section. Approval and posting of any changes in the alternative composite deposit shall comply with the provisions of this section. 
(i) The Security Fund may provide its own guarantee for any portion of the alternative composite deposit in the form of a retention, a deductible, or its own guarantee, provided the guaranteed amount is secured by segregated cash or securities posted with the Director as set forth in Section 15220.8. 
(j) At the time the Security Fund submits the written proposal each year as required by subsection (d), it shall list the self-insurers that it proposes to include in whole or in part in the composite deposit. Notwithstanding Section 15210.1(b) of these regulations, each self-insurer listed for inclusion shall have 60 days from the date of notification of the increase or until July 1 of that year, whichever is sooner, to post any indicated increase in security deposit, and that increase shall be either included in the composite deposit proposed by the Security Fund or separately posted, as required.
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Section 3701.8, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
3. Amendment of subsection (b) and new subsection (j) filed 7-6-2004 as an emergency; operative 7-6-2004 (Register 2004, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-3-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) and new subsection (j) refiled 11-3-2004 as an emergency; operative 11-3-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-3-2004 order transmitted to OAL 1-26-2005 and filed 3-8-2005 (Register 2005, No. 10).
§15220.4. Deposit Assessments by the Security Fund for Participants of the Alternative Composite Deposit.
Note     •     History

(a) The Security Fund shall collect an annual deposit assessment from all private self insurers participating in the alternative composite deposit as follows: 
(1) A pro-rata cash contribution to build the net worth of the Security Fund to pay existing or future defaults on covered workers' compensation liabilities of eligible private self insured employers under an alternative composite deposit. This portion of the deposit assessment shall be called the Default Loss Fund Fee. 
(2) A pro-rata cash contribution to pay the cost of any aggregate loss protection in excess of the level of liability provided through the Default Loss Fund. This portion of the deposit assessment shall be called the Excess Liability Protection Fee. 
(3) A pro-rata cash contribution to fund security deposit shortfalls from existing private self insurer insolvencies and defaults formerly funded exclusively by the Security Fund's Insolvency Assessment pursuant to Labor Code Section 3745. This portion of the deposit assessment shall be called the Pre-Existing Deposit Shortfall Fee. 

Exception: Private self insurers whose Certificate of Consent to Self Insure was revoked before January 1, 2003, shall remain subject to the assessments as provided by Labor Code Section 3745. 
(b) Each private self insured employer participating in an alternative composite deposit with the Security Fund shall be required to annually pay the Security Fund deposit assessment. 
(c) The Security Fund shall determine the pro-rata amount of the deposit assessment for each fully participating and partially participating private self insured employer based on all the following: 
(1) Labor Code Section 3701.8(b) requirements; 
(2) the cost of the security instruments permitted in Section 15220.2 including any cash holdings that will make up the Default Loss Fund and/or the Excess Liability Protection Fee portions of any alternative composite deposit proposed to the Director; 
(3) the amount of the security deposit required by the Manager for each participating private self insured employer to secure its self insured workers' compensation liabilities; 
(4) the participating private self insured employer's credit ratings or equivalent credit ratings as determined by Sections 15220, 15220.1, or Section 15220.3; 
(5) an amount, if needed, for the pro-rata share of incurred but not fully reported liabilities aggregated across all private self insurers; 
(6) an amount for the pro-rata share of pre-existing, unfunded defaulted liabilities of the Self Insurers' Security Fund to be collected for funding cash flow needs by the Pre-Existing Deposit Shortfall Fee; 
(7) other measures of each private self insured employer's contribution to the cost of the alternative composite deposit proposed to the Director; and 
(8) the amount, if any, of the security deposit required to be separately posted with the Director pursuant to Labor Code Section 3701 to secure that portion of the employer's self insured workers' compensation liabilities that is not secured in the alternative composite deposit. 
(d) Where the participating self insurer has more than one credit rating from the credit rating agencies and the ratings are not in agreement, the most recently published credit rating shall be used to calculate the deposit assessment.
(e) Excluded private self insured employers shall be required to participate in the assessments. The Manager shall determine the amount of each deposit assessment due from private self insured employers excluded from participation in any alternative composite deposit and submit it to the Security Fund. The Security Fund shall collect the deposit assessments from excluded employers. 
(f) The Security Fund may repay any indebtedness incurred as contemplated by Section 15220.3 from the annual deposit assessment. At the time the annual deposit assessment is determined, it may not be known whether any such indebtedness will be incurred, or the amount or repayment terms thereof. Accordingly, a portion of the annual deposit assessment may be contingent upon the actual incurrence of such indebtedness and delayed until the amount and repayment terms are known.
(g) If the Manager increases the security deposit requirement of a participating self-insured employer after the Security Fund has issued the annual assessment for the alternative composite deposit, the amount of the increase may be addressed through a supplemental assessment or by the posting of additional deposit separately as a partially participating self-insurer.
NOTE

Authority cited: Sections 3701, 3701.8, 3702.10 and 3745, Labor Code. Reference: Sections 3701, 3701.8, 3701.8(b), 3702.10 and 3745, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order, including amendment of Note, transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
3. Amendment of subsection (c)(4), new subsections (d), (f) and (g) and subsection relettering filed 7-6-2004 as an emergency; operative 7-6-2004 (Register 2004, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-3-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c)(4), new subsections (d), (f) and (g) and subsection relettering refiled 11-3-2004 as an emergency; operative 11-3-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-3-2004 order transmitted to OAL 1-26-2005 and filed 3-8-2005 (Register 2005, No. 10).
§15220.5. Deposit Assessments; Failure to Pay; Assessment Liability.
Note     •     History

(a) Each alternative composite deposit posted with the Director by the Security Fund shall be a binding agreement for all private self insured employers, fully participating and non-fully participating. 
(b) Individual deposit assessment determinations, billings, and collection of these individual deposit assessments from participating private self insured employers shall be the responsibility of the Security Fund. The Security Fund shall advise the Manager in writing of any employer that fails to pay the assessment within the time period allocated by the Security Fund. 
(c) The Manager shall assess a civil penalty pursuant to Labor Code Section 3701.8(d) against each private self insured employer who fails to pay the deposit assessment in the time allocated by the Security Fund. In addition to the civil penalty, the private self insured employer shall post a separate security deposit pursuant to Labor Code Section 3701 within 30 days of notice by the Manager. 
(d) Failure by any participating private self insured employer to pay the deposit assessment in the time specified by the Security Fund, and/or failure to post and maintain the full amount of required security deposit pursuant to Labor Code Section 3701 for 60 days shall be good cause for the Manager to summarily revoke the private self insured employer's Certificate to Self Insure without a hearing as set forth in Section 15210.1. 
(e) Any civil penalty assessed by the Manager pursuant to Labor Code Section 3701.8 shall not be discharged by the employer subsequently posting a security deposit. Any civil penalty or unpaid portion of the deposit assessment shall not be discharged by revocation of the employers' Certificate of Consent to Self Insure. 
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Section 3701.8, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
§15220.6. New Self Insurers Fair Share Contribution Surcharge Fee.
Note     •     History

(a) The Security Fund shall develop and track an annual historical schedule of cash contributions covering the initial ten years of the alternative security deposit program to build the net worth of the Default Loss Fund. A private self insured employer issued a Certificate to Self Insure after January 1, 2004, shall be surcharged a fair share contribution for the portion of the initial ten years that they did not contribute to the Default Loss Fund. This initial ten-year contribution for new self insurers shall be called the “New Self Insurer Fair Share Contribution Surcharge Fee” and shall be assessed and collected as a surcharge in addition to any other payment required of that new private self insurer into the Default Loss Fund. The Self Insurers Fair Share Contribution may be calculated as an average over a period of up to ten years. 
(b) All funds collected from the New Self Insurer Fair Share Contribution Surcharge Fee shall be subject to the requirements of Section 15220.8. 
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Section 3701.8, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
§15220.7. Appeals of Deposit Assessments and Appeals of Deposit Assessment Penalties.
Note     •     History

(a) Any private self insured employer assessed a deposit assessment by the Security Fund may object or appeal the calculation or any other aspect of its deposit assessment to the Director as set forth in Article 11 (commencing with Section 15430). However, it shall be a condition precedent of such appeal that the full amount of the deposit assessment must first be paid to the Security Fund. 
(b) Any private self insured employer assessed a civil penalty by the Manager for non-payment of the deposit assessment may appeal any civil penalties resulting from non-payment of the deposit assessment to the Director as set forth in Article 11 (commencing with Section 15430). 
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Section 3701.8, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
§15220.8. Requirements for Use and Investment of Cash Generated from Deposit Assessments.
Note     •     History

(a) The Security Fund shall provide the Director with a detailed accounting report of the monies collected for each deposit assessment within 90 days of the payment due date of the assessment. 
(b) The accounting report shall include a summary of all funds collected, costs of each instrument posted as alternative composite deposit, all commissions and costs due or paid related to the alternative deposit system for that cycle, and any remaining excess funds. 
(c) Following the purchase of any non-cash financial instruments to secure the liabilities of the alternative composite deposit, excess funds collected by the Security Fund in any deposit assessment and any additional funds subsequently collected shall be posted with the Director. 
(d) All remaining cash collected from the assessments shall be deposited with the Director or as provided in subsection (f). 
(e) All Security Fund cash deposits posted with the Director shall be held in the name of “Director of Industrial Relations in Trust for Self Insurers' Security Fund”. 
(f) The Director shall deposit and invest the Security Fund's cash in the Surplus Money Investment Fund pursuant to Labor Code Section 3702.5(b) and subject to the restrictions of use contained in Labor Code Section 3701.8, or the Director may permit the Security Fund to hire its own funds manager and invest the deposited cash on behalf of the Security Fund outside of the State Treasury subject to the following: 
(1) As a condition precedent to the Security Fund managing such funds, the Security Fund shall adopt a cash investment policy outlining the types of investments in which such cash may be invested to preserve and protect the principal. 
(2) The Security Fund shall insure that the Investment Fund manager submit a quarterly report to the Manager covering any of the Director's cash managed by the Security Fund. 
(3) None of the Director's cash may be commingled with Security Fund cash, nor may any specific investments made with the Director's cash be commingled in the same instrument with Security Fund cash. 
(4) Regardless of whether the Director or the Security Fund manages the cash posted, the funds shall remain in the name of the Director as set forth in subsection (e) of this section until such time as the Director may order any or all of the funds released to the Security Fund or refunded to the private self insured employers. 
(g) Whenever the Director initially turns over the compensation liabilities of a private self insured employer to the Security Fund pursuant to Labor Code Section 3701.5 and such liabilities are covered in whole or part by the cash portion of an alternative composite deposit, the Director shall order the Manager to release enough cash to fund the payment of expected workers' compensation benefits for the remainder of the calendar year. If the amount released is inadequate, the Manager in consultation with the Security Fund shall advise the Director and request the Director to authorize the release of an additional amount to fund the payment of benefits and expenses for the period. 
(h) The Security Fund shall annually notify the Manager and the Director in writing of the amount of funds that it will need to operate for the next calendar year for payment of benefits due, legal and administrative expenses, and other expenses of the Security Fund that will be funded from alternative composite deposits. The Manager shall be authorized to release the cash portion of the funds to the Self Insurers' Security Fund's possession. 
NOTE

Authority cited: Sections 3701.8 and 3702.10, Labor Code. Reference: Section 3701.8, Labor Code. 
HISTORY

1. New section filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
Article 4. Assessments
§15230. Private Sector License Fee Assessment.
Note     •     History

(a) After July 1, 2001, an annual license fee shall be assessed by the Manager against each private self-insurer and paid by each private self-insurer on the following basis:

Number of Employees	Single Adjusting				Location*	
0-2999 	$4000
3000-6999	$6000
7000 and over	$8000

* An additional $300 per adjusting location for every location over 1.
The fees shall apply against the last full year Self-Insurer's Annual Report submitted. If two or more annual reports are prepared from separate records at the same address, they shall be counted as separate adjusting locations.
(b) If the above table fails to produce sufficient funds to meet the total anticipated costs for the administration of the self-insurance program by the Director, an additional charge per employee covered by each self- insurance plan shall be made to cover these costs.
(c) The Manager shall invoice each private self-insurer on or before October 1 of each year an assessment for the total cost of administration of the private Self-Insurance Plans program for the current fiscal year. Payment is due 30 days after the date of the invoice.
(d) Each private self insured certificate holder whose certificate is revoked after June 30, 2001 shall pay the full license fee assessment for the next five full calendar years after the date of revocation order or until its security deposit no longer exceeds the statutory minimum.
NOTE

Authority cited: Sections 54, 55, 3702.5 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. Repealer of article 4 (section 15230) and new article 4 (sections 15230-15233) filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23). 
2. Amendment filed 1-21-92; operative 2-20-92 (Register 92, No. 13).
3. New subsection (e) filed 7-27-93; operative 8-26-93 (Register 93, No. 31).
4. Amendment of article heading filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
5. Amendment of subsections (a), (c) and (e) filed 4-19-2001; operative 5-19-2001 (Register 2001, No. 16).
6. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15231. Public Sector License Fee.
Note     •     History

A public sector self-insurer shall not be subject to the payment of the annual license fee assessment.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
3. Repealer and new section filed 1-21-92; operative 2-20-92 (Register 92, No. 13).
§15232. User Funding Assessment.
Note     •     History

The Manager shall collect the user funding assessment from all self-insurers and the State of California as set forth in Sections 15600-15610 of these regulations.
NOTE

Authority cited: Sections 54, 55, 62.5 and 3702.10, Labor Code. Reference: Sections 59, 62.5, 3700, 3702.9 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Repealer and new section filed 1-21-92; operative 2-20-92 (Register 92, No. 13).
3. Editorial correction of section heading (Register 96, No. 36).
§15233. Fraud Investigation and Prosecution Assessment.
Note     •     History

The Manager shall collect the state fraud investigation and prosecution surcharge from all self insurers and the State of California as set forth in Sections 15600-15610 of these regulations.
NOTE

Authority cited: Sections 54, 55, 62.5, 62.6 and 3702.10, Labor Code.  Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26). For prior history, see Register 75, No. 47.
§15234. Cal/OSHA Targeted Inspection and Consultation Assessment.
Note     •     History

The Manager shall collect the Cal/OSHA Targeted Inspection and Consultation Assessment from all affected self insurers as set forth in Sections 15600 and 15601.7 of these regulations.
NOTE

Authority cited: Sections 54, 55, 62.7, 62.9 and 3702.10, Labor Code. Reference: Sections 59, 62.7, 62.9, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 9-6-96; operative 10-6-96 (Register 96, No. 36).
Article 5. Self Insurer's Annual Report
§15250. Required Deposit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 55 and 3702.10, Labor Code.
HISTORY

1. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
4. Amendment of article heading filed 10-16-92; operative 11-16-92 (Register 92, No. 42).
5. Repealer of section and amendment of Note filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
§15250.1. Maintenance of Deposit. [Repealed]
Note     •     History

NOTE

Authority cited; Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Repealer of text and new Note filed 10-16-92; operative 11-16-92 (Register 92, No. 42).
§15251. Self Insurer's Annual Report.
Note     •     History

(a) Each self insurer shall file a Self Insurer's Annual Report every year as required by subsections (b) through (g) of this section and shall continue to file a Self Insurer's Annual Report annually after revocation of the Certificate of Consent to Self Insure until a final Self Insurer's Annual Report has been filed showing all claims have been closed and there are no remaining claims with the expectation of future liabilities. Each year no later than 60 days before the deadline for filing the Self Insurer's Annual Report pursuant to subsection (b) or subsection (c) of this section, whichever applies, the Manager shall post the Annual Report form, along with instructions for completing the form and showing the years to be reported, on the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. Each self-insurer shall file a Self-Insurer's Annual Report on forms supplied by the Manager as follows: 
(1) Form A4-40a (Rev. 6/2001) for individual private and private group self insurers; 
(2) Form A4-40b (Rev. 4/92) for all public self insurers, including those that are members of a Joint Powers Authority;
(b) For private self insurers, individual or with a group, the report shall be filed on or before March 1 of each year and shall include the following information:
(1) General Information.
(A) Certificate to Self Insure number, status of certificate, and period of report.
(B) Name and address of master certificate holder, state of incorporation, federal tax identification number, and first four digits of North American Industry Classification System (NAICS).
(C) List of all subsidiaries or affiliate companies that are covered by the master certificate to self insure, their state of incorporation, and their subsidiary/affiliate certificate number.
(D) Notification of any reincorporation, merger, change in name or identity or any additions to the self insurance program by the master certificate holder or any subsidiary/affiliate company during the reporting period.
(E) Name and address of person to whom all correspondence related to self insurance should be addressed.
(F) Employment and wages paid in that calendar year as reported to Employment Development Department on the employer's Form DE-6 Quarterly Report or other similar Employment Development form used to report employment and wages in that calendar year.

Exception: A Certificate to Self Insure that is revoked for three full years is not required to submit this employment and wage information.
(2) Claims Liability and Administrator Information.
A Liabilities by Reporting Location report shall be submitted by each claims administrator administering claims for the said self insurer and shall include:
(A) All claims reported on or before December 31 of each of the five prior calendar years (January 1 through December 31), showing indemnity and medical payments grouped as incurred liability, paid to date and future liability.
(B) All open claims reported prior to the five years shall also be reported as in subsection (b)(2)(A), but in a single line entry;
(C) For the reporting year of the annual report the total of indemnity and medical future liability, the total estimated future liability of claims, the total benefits paid, number of medical only cases reported, number of indemnity cases reported; number of fatality cases, number of claims for which the employer or administrator was notified of representation by an attorney or legal representative in the reporting year, and number of new applications for adjudication received for any claims that year.
(D) Total number of open indemnity cases in all years.
(E) Name, address and Certificate to Administer number of the self insurer's claims administrator.
(F) Notification of any change in administrator during the period covered by the report and, if applicable, the name and address of the prior administrator.
(G) A certification by the qualified claims administrator that the report is true, correct and complete with respect to the workers' compensation liabilities incurred and paid, signed and dated with the name and address of the said administrator completing the Liabilities by Reporting Location page.
(3) Location of Claims Records Information. The name and address of any location other than the current administrator where self insurance claims records are stored.
(4) Insurance Information. Name and policy number of any standard workers' compensation insurance policy, specific excess workers' compensation insurance policy, or aggregate worker's compensation insurance policy held by the self insurer along with policy issue date and retention levels of liability of the policies.
(5) Open Indemnity Claims Information. A list of all open indemnity claims by reporting location by year, and alphabetically within each year. The list shall:
(A) Show the name of each claimant, date of injury, description of injury, amount of benefits paid-to-date in indemnity and medical payments and estimated future liability of claim for indemnity and medical benefits.

Note: Computer Loss Runs showing the information requested and organized as set forth in this subsection will be acceptable in lieu of the List of Open Indemnity Claims, a section of Form A4-40a (Rev. 6/2001) or Form A4-40b (Rev. 4/92) provided by the Manager. 
(B) Show any open claim reported to the carrier of a specific excess insurance policy, and for which the carrier has not denied in writing the claim liability in whole or part above the retention level of the policy. The list shall include the name of the claimant, claim number, date of injury, description of injury, carrier name and policy number, policy coverage period, retention level of policy and paid to date in indemnity or medical benefits, and the estimated future liability of the claim minus the total unpaid employer retention, which equals the total unpaid carrier liability. The list shall also indicate whether the claim has been reported to a carrier, if the claim has been accepted by the carrier, if the carrier has denied any part of the liability of the claim.
(6) Specific Excess Coverage Calculation. A calculation which includes a total of all unpaid carrier liability times the applicable deposit rate for the self insurer. This number will be included in the deposit calculation as provided for in Section 15251(b)(7).
(7) Deposit Calculation Information. A Deposit Calculation which includes the estimated future liability from the Liabilities Report multiplied by the deposit rate factor to determine a minimum deposit required for known liabilities; plus a deposit in advance for the current new year based on the average estimated future liability of claims for the past five years to secure average unpaid liability in the current year's new claims; less any credit for claims exceeding the retention level of any specific excess insurance policy for which the carrier has accepted liability in writing to arrive at the deposit required calculation. The specific excess credit shall be not exceed $500,000 per occurrence unless the excess carrier or its parent company has as of December 31 of the last year covered by the Self Insurer's Annual Report an acceptable credit rating as set forth below: 
(A) Standard and Poors Insurer Financial Strength Rating of A or better rating, or 
(B) A.M. Best Company, Financial Strength Rating of B+ or better rating.
The total of the current security deposit is then subtracted from the minimum deposit required to determine if a deposit increase is due or a deposit decrease is indicated.
(8) Company Officer Certification Information. The name, title, address, phone number and original signature of the company officer authorized by Board Resolution to certify that the report is true, correct and complete and acknowledging the company's responsibility to post and maintain the required security deposit that is due as a result of this report.
(c)  For all public self insurers, whether or not a member of a joint powers authority, the report shall be filed by October 1 of each year to cover liabilities during the July 1-June 30 fiscal year and shall include:
(1) General Information.
(A) Name and address of master certificate holder (individual agency or joint powers authority as applicable), federal tax identification number, and type of public agency.
(B) Agency name and certificate numbers of all of the joint powers authority's members.
(C) A certification by the individual public agency or joint powers authority official that the report is true, correct and complete.
(D) Notification of any reincorporation, merger, change in name or identity or any additions to the self insurance program by the master certificate holder or any subsidiary/affiliate company during the reporting period, and identification of any employees not included in the self insurance program.
(E) Name and address of person to whom all correspondence related to self insurance should be addressed.
(F) Employment and wages paid in that fiscal year as reported to Employment Development Department on the employer's Form DE-6 Quarterly Report or other similar Employment Development form used to report employment and wages in that fiscal year.

Exception: A public employer whose Certificate of Consent to Self Insure has been revoked is not required to submit employment and wage information.
(2) Liability Report and Administrator Information.
A Liabilities Report which shall include:
(A) All claims reported shall be on a fiscal year basis (starting July 1 and ending June 30 of the reporting years), with all claims reported on or before June 30 of each of the five prior fiscal years, showing indemnity and medical payments grouped as incurred liability, paid to date and future liability.
(B) All open claims reported prior to the five years shall also be reported as required in (b)(2)(A), but in a single line entry.
(C) Each Joint Powers Authorities (JPA) shall report the consolidated liabilities of all members of the JPA on one Liabilities Report.
(D) A Liabilities by Reporting Location Report shall be completed in full for each claims adjusting location in addition to the consolidated report totaling liabilities from all locations. 
(E) For any Joint Powers Authority, one list of all open indemnity claims may be consolidated into a single listing for the entire JPA, as long as the individual JPA member is identified for each claim.
(3) Claims Information for each year shall meet the requirements of subsection (b), except that no deposit calculation page shall be submitted as required for private self insurers pursuant to subsection (b)(7). 
(d) The Manager may, for good cause, require any self insurer to submit a Self Insurer's Annual Report covering a six-month interim period, in addition to the annual report specified in subsection (b) and (c) of this section.
(1) For private self insurers, such interim reports, when required, shall cover the period starting January 1 and ending June 30 of each year and shall be due on September 1 of each year.
(2) Public self insurer's interim reports shall cover July 1 through December 31 and shall be due on March 1 of each year.
(e) The Manager shall assess the civil penalty set forth in Labor Code Section 3702.9(a) against any self insurer for failure to file a complete and timely Self Insurer's Annual Report. Continued failure to file an Annual Report sixty days after assessment of civil penalties pursuant to Section 3702.9(a) shall be good cause for revocation of a certificate to self insure.
(f) For good cause shown by the self insurer or its administrative agency, the Manager may grant additional time to a self insurer to file the report without penalty.
(g) Unless otherwise approved by the Manager, the consolidated liabilities report (page 2 of the annual report) and reporting location reports (page 3 of the annual report) shall be signed by a competent person, as demonstrated pursuant to Section 15452(b) of these regulations, in the employment of the self insurer or administrative agency for the self-insurance plan.
(h) The employer's certification on the Self Insurer's report shall be signed by:
(1) an officer or employee of the self insurer authorized by the Board of Director's Resolution to sign documents for self insurance matters; or
(2) an authorized public self insurer officer or employee; or
(3) an authorized officer or employee of the joint powers authority to which the public agency is a member; or
(4) an authorized officer or employee of the Self Insurer's Security Fund where the Director has turned over responsibility for an insolvent private self insurer's claim liability to the Fund pursuant to Labor Code Section 3701.5(c).
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701.5, 3702.2, 3702.3, 3702.9 and 3702.10, Labor Code; and Sections 1063.1 and 1063.3, Insurance Code. 
HISTORY

1. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23). 
2. Amendment of section heading and text filed 10-16-92; operative 11-16-92 (Register 92, No. 42).
3. Amendment of subsections (a) and (b)(5)(B) and new subsection (b)(5)(B)1 filed 8-10-93; operative 8-10-93 (Register 93, No. 33).
4. Amendment of subsections (a)-(b), (b)(1)(F) Exception and (b)(5)(B) filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
5. Change without regulatory effect amending subsections (b)(1)(F) and (c)(1)(F) filed 10-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 42).
6. Amendment filed 5-7-2001; operative 6-6-2001 (Register 2001, No. 19).
7. Change without regulatory effect amending subsection (a)(1) and form A4-40a (incorporated by reference) filed 8-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 31).
8. Change without regulatory effect amending subsection (b)(2)(A)(7.) filed 4-7-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 15).
9. Amendment of section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
10. Amendment of subsections (b)(1)(F) and (c)(1)(F) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15252. Annual Report Form. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 59, Labor Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. Amendment filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49).
2. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
3. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
4. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
5. Repealer filed 10-16-92; operative 11-16-92 (Register 92, No. 42).
§15253. Late Annual Report Penalty. [Repealed]
Note     •     History

NOTE

Authority cited:  Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
3. Repealer of text and amendment of Note filed 10-16-92; operative 11-16-92 (Register 92, No. 42).
Article 6. Estimating Work Injury Claims and Medical Reports
§15300. Estimating and Reporting Work Injury Claims.
Note     •     History

(a) A list of open indemnity claims shall be submitted with each self insurer's annual report as required by Section 15251(b)(5)(A)-(B) and (c)(2)(A)-(B).
(b) The administrator shall set a realistic estimate of future liability for each indemnity claim listed on the self insurer's annual report based on computations which reflect the probable total future cost of compensation and medical benefits due or that can reasonably be expected to be due over the life of the claim. Each estimate listed on the self insurer's annual report shall be based on information in possession of the administrator at the-ending date of the period of time covered by the annual report. Estimated future liabilities listed on the annual report must represent the probable total future cost of compensation for the injury or disease based on information documented as in possession of the administrator at the ending date of the period of time covered by the annual report. In setting estimates of future liability, the administrator shall adhere to the following principles:
(1) Each estimate of future liability shall separately reflect an indemnity component and a medical component. The indemnity component shall include the estimated future cost of all temporary disability, permanent disability, death benefits including burial costs, supplemental job displacement benefit voucher and vocational rehabilitation including vendor costs. The medical component shall include the estimated future cost of all medical treatment, including costs of medical cost containment programs if those costs are allocated to the particular claim, and the estimated future cost of medical evaluations. On or after July 1, 2012 for public self insurers and on or after January 1, 2012 for private self insurers, the medical component shall not include the cost of medical cost containment programs incurred with respect to a particular claim or which can be allocated to a particular claim whether done by an outside vendor or by the self insurer. These costs shall be included as allocated loss adjustment expense amount. Any medical cost containment program costs that cannot be allocated to a particular claim shall be considered unallocated loss adjustment expenses. 
Medical cost containment program costs include but are not limited to: 
(A) Bill audit expenses for any medical service rendered, such as hospital bills, nursing home bills, physician bills, chiropractic bills, medical equipment charges, pharmacy charges, physical therapy bills, and medical vendor bills;
(B) Hospital and other treatment utilization reviews including precertification/preadmission, and concurrent or retrospective reviews; and
(C) Access fees and other expenses incurred with respect to managed care organizations, such as, preferred provider networks/organizations (PPOs), medical provider networks (MPNs), pharmacy benefit networks, and Health Care Organizations (HCOs). 
Estimates of future liability shall include any increases in compensation in either the indemnity or medical component reasonably expected to be payable pursuant to Labor Code Sections 132a, 4553, and/or 5814.
(2) In estimating future permanent disability costs, where there are conflicting permanent disability ratings, the estimate shall be based on the higher rating unless there is sufficient evidence in the claim file to support a lower estimate.
(3) In estimating future medical costs where the injured worker's injury has not reached maximum medical improvement or permanent and stationary status, the estimate shall be based on projected costs for the total anticipated period of treatment throughout the life of the claim.
(4) In estimating future medical costs where the injured worker's injury has reached maximum medical improvement or permanent and stationary status, the estimate shall be based on average annual costs over the past three years since the injury reached maximum medical improvement or permanent and stationary status, or a lesser period if three years have not passed since the injury reached maximum medical improvement or permanent and stationary status, projected over the life expectancy of the injured worker. Estimates shall include any additional costs such as medical procedures or surgeries that can reasonably be expected over the life of the claim.
(5) Estimates based on average past costs shall be increased to include any costs that can reasonably be expected to occur that are not included within the averages. Estimates based on average past costs may be reduced to account for any treatment not reasonably expected to occur in the future based on medical documentation in possession of the administrator.
(6) Estimates of future medical costs based on average past costs shall not be reduced based on undocumented anticipated reductions in frequency of treatment or to reflect the substitution of treatments with a lower cost than utilized by the injured worker that may be available but that the injured worker is not utilizing. Estimates based on average past costs may be reduced based on reductions in the approved medical fee schedule and based on utilization review, except that reductions in estimates based on utilization review may not be reduced if the reductions are reasonably disputed. Estimates of future liability may be reduced based on the expectation of a third party recovery only in instances where an Order allowing credit has been issued pursuant to Labor Code Section 3861.
(7) Estimates of lifetime medical care and life pension benefits shall be determined based on the injured worker's life expectancy according to the most recent U.S. Life Expectancy Tables as reported by the U.S. Department of Health and Human Services, Centers for Disease Control and Prevention. Note: the most recent life expectancy tables can be found at http://www.dir.ca.gov/SIP/pubandforms.htm.
(8) Estimates of permanent disability shall not be reduced based on apportionment unless the claim file includes documentation supporting apportionment.
(9) Estimates shall not be reduced to reflect present value of future benefits.
(c) All medical-only claims reported on the self insurer's annual report shall be estimated on the basis of computations which will develop the total future cost of medical benefits due or that can reasonably expected to be due based on information documented as in possession of the administrator at the ending date of the period of time covered by the annual report.
(d) Estimates of future liability shall not be decreased based on projected third party recoveries or projected reimbursements from aggregate excess insurance, nor shall reported paid costs be decreased based on third party recoveries or aggregate excess insurance reimbursements.
(e) The incurred liability estimate on known claims may be capped at the retention level of any specific excess workers' compensation insurance policy to the extent that each claim has not been denied in writing by the carrier. The self insurer's claims administrator shall list each claim covered by a specific excess insurance policy on Part VI-B of the Self Insurer's Annual Report. An adjustment to the total deposit required to be posted shall be made for claims covered by specific excess insurance policy on the annual report to the extent that they meet the requirements in Section 15251(b)(5)(B) of these regulations.
(f) Estimates of incurred liability, payments-made-to-date and estimated future liability of all compensation benefits shall be made immediately available at the time of audit if not already documented in the claim file, or when requested by the Manager.
(g) The administrator shall adjust the estimate immediately upon receipt of medical reports, orders of the Appeals Board, or other relevant information that affects the valuation of the claim. Each estimate shall be reviewed no less than annually. Estimates set by a prior administrator shall be reviewed by the current administrator before filing the Self Insurer's Annual Report.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 129, 132a, 3700, 3702.3, 3702.6, 3702.10, 3703, 3740-3745, 3861, 4553 and 5814,  Labor Code.
HISTORY

1. Amendment filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49). 
2. Amendment of article heading, section heading, section and new Note filed 8-10-93; operative 9-9-93 (Register 93, No. 33).
3. Repealer and new subsection (b), new subsections (b)(1)-(4), amendment of subsection (c), repealer and new subsection (d), new subsection (g) and amendment of Note filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
4. Amendment of subsections (a)-(b)(1), new subsections (b)(1)(A)-(C) and amendment of subsection (b)(7) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15301. Revision of Estimates.
Note     •     History

The Manager shall have authority to revise private sector self insurer's estimates when information from any relevant source in the Manager's possession indicates the estimates are inaccurate or inadequate. Deposit recalculations shall be made at the same time or after the self-insurer has been notified of the Manager's revisions and given an opportunity to object to the increases in deposit or revision to liability estimates. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 129, 3700, 3701.5, 3702.3, 3702.6, 3702.10 and 3740-3745, Labor Code.
HISTORY

1. Amendment of section and new Note filed 8-10-93; operative 9-9-93 (Register 93, No. 33).
§15302. Medical Reports.
Note     •     History

The Manager, when deemed necessary for proper administration of self-insurance, may require a self-insurer to provide a true copy of any relevant medical report in the possession of the self-insurer, its agent, or representative.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10 and 3740-3745, Labor Code.
HISTORY

1. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Amendment of section and new Note filed 8-10-93; operative 9-9-93 (Register 93, No. 33).
§15303. Medical, Surgical, Hospital Contract.
Note     •     History

No contract for medical, surgical, or hospital services shall relieve the self-insurer from reporting the total future determined and estimated cost of said services in accordance with Section 15300 of these regulations. For purposes of this section, a valid and effective policy of workers' compensation insurance providing for full payment of medical, surgical, or hospital services shall not be construed as a contract for medical, surgical, or hospital services.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702.3, 3702.6, 3703 and 3740-3745, Labor Code.
HISTORY

1. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
2. Amendment of section and new Note filed 8-10-93; operative 9-9-93 (Register 93, No. 33)
Article 7. Injury and Illness  Prevention Program
§15350. Validity of Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. Amendment filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment of article heading, repealer of section, and adoption of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15350.1. Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Repealer of section and amendment of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15350.2. Notice to Employees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Repealer of section and amendment of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15350.5. Non-Permitted Use. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Repealer of section and amendment of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15351. Extent of Coverage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Repealer of section  and adoption of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15352. Permitted Insurance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. Repealer and new section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Repealer of section and adoption of Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
§15353. Injury and Illness Prevention Program.
Note     •     History

(a) As part of the application process, an individual private sector applicant for a Certificate to Self-Insure shall provide one of the following:
(1) an independent evaluation of the applicant employer's injury and illness prevention program as set forth in Labor Code Section 6314.5 and 6401.7 and Section 3203 of Title 8, California Code of Regulations prepared by an independent, licensed, California professional engineer, a Certified Safety Professional certified by the Board of Certified Safety Professionals, and/or a Certified Industrial Hygienist.
(A) The evaluation preparer shall be considered independent if: (i) the preparer or the preparer's firm has had no business dealings with the applicant employer or its owner for the prior two years; (ii) the preparer is not or has not been employed by the applicant employer's present or prior insurance carrier or insurance broker during the past five years; and (iii) the preparer or preparer's firm has not been employed by the applicant employer or its parent in a safety and health or accident prevention capacity during the past five years.
(B) The evaluation report preparer shall disclose any such business relationships noted in subsection (a)(1)(A) of this Section in the evaluation report. The Manager shall reject a submitted evaluation report where a conflict of interest may exist between the evaluation preparer and the applicant employer as set forth in Subsection (1)(1)(A); or
(2) Written report or citation of a Division of Occupational Safety and Health (DOSH) inspection of the applicant employer's injury and illness prevention program pursuant to Labor Code Sections 6314.5 and 6401.7 and Section 3203 of Title 8, California Code of Regulations. The Division of Occupational Safety and Health (DOSH) inspection shall have been conducted within 120 days of the date of application to become self insured.
(b) An evaluation report pursuant to subsection (a) that shows the applicant for a Certificate to Self Insure to be without an effective injury prevention program shall be good cause for denial of the application for self insurance by the Director without prejudice to reapplication at a later date.
(c) The applicant employer must abate all serious violations found in the safety and health evaluation report. Written verification of abatement must be sent from the evaluation preparer to Self Insurance Plans.

Note: The pamphlet “A sample of an Injury and Illness Prevention Program” can be obtained from the Cal/OSHA Consultation Services.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702, 3702.10, 6314.5, 6319 and 6401.7, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
2. Amendment of section heading, section and Note filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
3. Amendment of subsections (a)-(a)(1)(A) filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15354. Willful or Repeat Violation of Injury Prevention Program by a Self Insurer.
Note     •     History

Any private employer self insurer identified to the Director by the Division of Occupational Safety and Health pursuant to Labor Code Section 6319(f) shall provide proof of abatement of the repeat or willful violation of Section 3203 of Title 8, California Code of Regulations to the Manager. Failure to abate shall be good cause to revoke the Certificate to Self Insure issued to that self insurer after the opportunity for a hearing before the Director.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55, 59, 3700, 3702, 3702.10, 6314.5, 6319 and 6401.7, Labor Code.
HISTORY

1. New section filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
Article 8. Transfer of Liabilities
§15360. Transfer of Claim Liabilities.
Note     •     History

A current or former self insurer may transfer claim liabilities to a third party as set forth in subsections (a) through (e) of this section.
(a) Self-insured workers' compensation claim liabilities cannot be transferred to another entity without first applying for and receiving permission from the Director. Except as provided in Labor Code Section 3702.8(c), the claim liabilities being transferred shall be assumed and guaranteed with the standard Agreement of Assumption and Guarantee of Liabilities as provided for in Section 15211.2 of these regulations, with an assumption resolution executed by the Board of Directors if a corporation, by the general partners if a partnership, or by the owners if a sole proprietorship of the entity taking over the liabilities.
(1) The new holder of claim liabilities shall post the security deposit determined necessary by the Manager pursuant to Article 3 or Article 13 of these regulations, whichever is applicable.
(2) The Manager shall be provided with copies of the necessary documents involved in a sale or transfer of claim liabilities from a self-insurer to another party.
(3) All other duties of a self insured employer in Labor Code Section 3702.8(a) shall be complied with by the self insured employer.
(b) The Manager may authorize the contractual transfer of claim liabilities, other than through a special excess worker's compensation insurance policy, from a self-insurer to an admitted worker's compensation insurance carrier provided:
(1) A copy of the signed contract between the self-insurer and carrier is provided to the Manager;
(2) The self-insurer continues to post the amount of deposit required by the Manager pursuant to Article 3 of these regulations;
(3) The claims contractually transferred to the carrier are administered in California by an admitted carrier or by an administrative agency holding a Certificate to Administer;
(4) Self Insurer's Annual Reports are submitted by the self-insurer as required by these regulations until all claims are resolved; and
(5) All other duties of a self insurer in Labor Code Section 3702.8(a) are complied with by the self insured employer.
(c) Where a former self-insurer transfers liabilities to a carrier via a special excess workers' compensation insurance policy as provided in Labor Code Section 3702.8(c), but no carrier performance bond is posted, the self-insurer's security deposit shall be held for three years before release. Whether a performance bond is posted or not, the director shall not accept the special excess policy as meeting the requirements of Labor Code Section 3702.8(c)(3) unless the excess carrier or its parent company has an acceptable credit rating as set forth below: 
(1) Standard and Poors Insurer Financial Strength Rating of A or better rating, or 
(2) A.M. Best Company, Financial Strength Rating of B+ or better rating. 
(d) Claim liabilities of a member public agency of a pooling workers' compensation joint powers authority may be transferred if:
(1) The joint powers authority agreement permits a member public agency to take their claim liabilities out of the joint powers authority pool if the public agency elects to do so;
(2) The public agency member elects to transfer its claim liability; and
(3) The claims are transferred to another workers' compensation joint authority, or to a self administered or administrative agency administered or carrier administered self insurance program.
(e) Private group self insurers and/or their group members or former group members shall not transfer their claim liabilities except as provided by Labor Code Section 3702.8(c) and subsection (c) of this section, or as provided by either subsection (f) or subsection (g) of this section. 
(f) A current or former group member's claims may be transferred to another private self insured group if the Bylaws of the two groups permit the transfer, and if the transfer is approved by the Manager.
(g) A current or former group member's claims may be transferred entirely to the individual member under its individual Certificate of Consent to Self Insure if all of the following apply:
(1) If the Bylaws of the group self insurer permit the transfer; 
(2) If a valid individual Certificate of Consent to Self Insure is issued to the former group member by the Director; and 
(3) If the transfer is approved by the Manager.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor  Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3702.8, 3703, 3705 and 3740-3745,  Labor Code.
HISTORY

1. Amendment of article heading, repealer of section 15360, and renumbering and amendment of former section 15361.5 to section 15360 filed 10-27-93; operative 11-26-93 (Register 93, No. 44).
2. Amendment filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
3. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15361. Cessation of Business, Etc. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor  Code. Reference: Sections  54, 55 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Repealer filed 10-27-93; operative 11-26-93 (Register 93, No. 44).
§15361.5. Workers' Compensation Liabilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3702.8, 3703, 3705and 3740-3745, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Renumbering and amendment of former section 15361.5 to section 15360 filed 10-27-93; operative 11-26-93 (Register 93, No. 44).
§15362. Termination of Surety Bond. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 54, 55 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
2. Repealer filed 10-27-93; operative 11-26-93 (Register 93, No. 44).
Article 9. Recordkeeping and Audits
§15400. Claim File.
Note     •     History

(a) Every self-insurer or its administrative agency shall keep a claim file of each indemnity and medical-only work-injury occurring on or after January 1, 1990, in accordance with Title 8, Section 10101 and Section 10101.1.
(b) For work injuries occurring prior to January 1, 1990, every self insurer shall keep a claim file including those claims which were denied. Said claim file shall contain, but not be limited to, a copy of:
(1) Employers Report of Occupational Injury or Illness, Form No. 5020;
(2) Every report made to the Administrative Director of the Division of Industrial Accidents; including but not limited to the letter of denial to the employee;
(3) Doctor's First Report of Occupational Injury or Illness, Form No. 5021;
(4) Every subsequent relevant medical report;
(5) All applicable orders of the Workers' Compensation Appeals Board and reports relating thereto;
(6) A record of payment of compensation benefits as compensation is defined in Section 3207 of the Labor Code, together with a record of the periods covered by disability payments, including a copy of DIA Form 500, Notice of Termination of Benefits;
(c) For injuries reported on or after January 1, 2006, each self administering self insurer and claims administrative agency shall maintain a claim file for each indemnity and medical-only claim, including denied claims, and shall ensure that each file is complete and current for each claim. Contents of claim files may be in hard copy, in electronic form, or some combination of hard copy and electronic form. Files maintained in hard copy shall be in chronological order with the most recently dated documents on top, or subdivided into sections such as medical reports, benefit notices, correspondence, claim notes, and vocational rehabilitation. In addition to the contents specified in Title 8, California Code of Regulations, Section 10101.1, each indemnity file shall contain itemized written documentation showing the basis for the calculation of estimated future liability and for each change in estimated future liability for the claim. Files or portions of files maintained in electronic form shall be easily retrievable.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3700(b), 3701, 3702, 3702.1, 3702.5, 3702.6, 3703, 3704 and 3705, Labor Code.
HISTORY

1. Amendment filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. New subsection (g) filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
4. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
5. Change without regulatory effect amending subsection (a) filed 11-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 46).
6. Repealer and new subsection (c) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15400.1. Claim Log.
Note     •     History

(a) After January 1, 1993, every self-insurer or its administrative agency shall maintain:
(1) a manually prepared log of all work injury claims for each self-insurer at each adjusting location in accordance with Title 8, Section 10103 and 10103.1; or
(2) a computerized log of claims for each self-insurer at each adjusting location in accordance with Title 8, Section 10103 and 10103.1.
(b) The claim log shall be maintained at each of the self-insurer's or its administrative agency's claims adjusting locations. The claim log at each location shall be kept current and shall include all claims reported to the adjusting location.
(c) A claim log shall be found to be materially deficient if it fails to contain the elements of Title 8, Section 10103 and 10103.1; or fails to include all reported claims; or is not provided to the Manager or any subsequent administrator in readable form.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702.1 and 3702.10, Labor Code. 
HISTORY

1. New sections 15400.1, 15400.2, and 15400.3 filed 12-3-69; effective thirtieth day thereafter (Register 69, No. 49). 
2. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
3. Change without regulatory effect amending subsections (a)(1)-(2) and (c) filed 10-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 42).
4. Change without regulatory effect amending subsections (a)(1)-(2) and (c) filed 1-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
§15400.2. Maintenance of Records.
Note     •     History

(a) All claim files shall be kept and maintained for a period of five years from the date of injury or from the date on which the last provision of compensation benefits occurred as defined in Labor Code Section 3207, whichever is later. Claim files with awards for future benefits shall not be destroyed, but two years after the date of the last provision of workers' compensation benefits as defined in Labor Code Section 3207, they may be converted to an inactive or closed status by the administrator, but only if there is no reasonable expectation that future benefits will be claimed or provided.
(b) Inactive and closed claim files may be microfilmed or electronically stored for storage. However, if the file is not microfilmed or electronically stored the original paper files shall be maintained for at least two years after the claim has been closed or become inactive. Such microfilmed or electronically stored files must be readily reproducible into legible paper form if requested by the Manager for an audit.
(c) All claim files and the claim logs shall be kept and maintained in California unless the Manager has given written approval to a self insurer or former self insurer to administer its workers' compensation self-insurance plan from a location outside of California.
(d) All claim files and claim logs, together with records of all compensation benefit payments, shall be readily available for inspection by the Manager or his representative.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702.1 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. Amendment of subsection (a) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
3. Amendment of subsection (b) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15400.3. Maintenance of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 55 and 3702.10, Labor Code.
HISTORY

1. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15401. Self-Insurance Plan Administration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 55 and 3702.10, Labor Code.
HISTORY

1. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15401.1. Competence. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 55 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
3. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15401.2. Competency at Adjusting Location. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
2. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15402. Notice of Change of Administrator and Location of Records.
Note     •     History

(a) Each self-insurer or administrative agency shall annually report on the Self Insurer's Annual Report form to the Manager the name, title, and office address of the person or persons appointed to administer the employer's self-insurance plan and of the location or locations of records required to be kept and maintained pursuant to Section 15400 of these regulations. 
(b) The new administrator shall report any changes of the administrative agency administering the employer's self-insurance plan or any change of location or locations of records in writing to the Manager no later than the date of such change.
NOTE: Reporting required by subsection (b) may be done by submitting a “Report of Changes” on the appropriate Division of Workers' Compensation AE Form 101 or AE Form 102 (see Plate L-1 and L-2 of the Appendix.)
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702.1 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15402.1. Self Insurer's Interim Report.
Note     •     History

(a) A self-insurer and its administrative agency shall jointly submit to the Manager a self-insurer's annual report, covering any interim period between regularly scheduled reporting periods whenever any of the following changes occur in the administration of the employer's self insurance plan:
(1) A change from an agency-administered plan to another agency-administered plan, (i.e. from one third party administrator to another third party administrator);
(2) A change from an agency-administered plan to a self-administered plan;
(3) A change from a self-administered plan to an agency-administered plan; or
(b) The interim Self Insurers Annual Report shall be made by the former administrator on the applicable form as required by Section 15251 of these regulations, showing the self-insurer's claims experience as of the date of the change of administrative agencies. 
(c) The interim self insurer's annual report shall be due within thirty (30) days of the change of administrators. The self insurer shall provide a copy to the new administrator and three (3) copies to the Manager. The Manager may supply the new administrator with a copy of the interim report.
(d) The new administrator shall submit the year end self insurer's annual report for the self insurer which includes the total loss experience of all open and closed claims from all administrative agencies handling the self insurer's claims during the reporting period.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
3. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
4. Change without regulatory effect amending subsection (b) filed 12-24-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 52).
5. Repealer of subsection (a)(4) filed 5-10-2001; operative 6-9-2001 (Register 2001, No. 19).
§15402.2. Report of Transfer of Records.
Note     •     History

(a) After July 1, 1992, at the time of a change of administration of a self insurance plan, as set forth in Section 15402.1(a) of these regulations, the former administrative agency or previously self administering self insurer shall submit to the Manager and to the new administrative agency a written report containing the following:
(1) A list of all open and closed claims for the self insurer in the possession of the former administrative agency as of the date of the transfer; and
(2) A written description of the physical location of all claim files, the required claim logs, and any computer data files of the self insurer's plan. Physical location shall include claim files sent to storage and where stored; files sent to the self insurer; and files sent to the new administrator.
(b) Except where specified in a contractual agreement between the self insurer and the former administrative agency, all claim files, claim logs and computerized data files shall be the property of the self insurer and shall be returned to the self insurer or delivered to the new administrator or administrative agency designated by the self insurer.
(c) Failure of an administrative agency or self insurer to provide a Report of Transfer of Records as set forth in this section may be good cause for revocation of a certificate to administer.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3700(b), 3701, 3702, 3702.1, 3702.2, 3702.5,  3702.6, 3702.7, 3702.10, 3703, 3704 and 3705, Labor Code.
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Repealer and new section filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15402.3. Notice of Change of Membership in a Joint Powers Authority or in a Private Group Self Insurer.
Note     •     History

(a) The joint powers authority shall notify the Manager when a Public entity with an affiliate certificate to self insure changes its membership from the existing joint powers authority to
(1) another joint powers authority;
(2) a carrier insured plan or;
(3) an independent self insured plan.
(b) The group administrator of each private group self insurer shall notify the Manager when any group member holding an Affiliate Certificate changes its membership from the existing group self insurer to:
(1) another private group self insurer;
(2) a carrier insured plan; or
(3) an independent self insured plan.
(c) The Manager shall be notified no later than the date of such change.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. Amendment of section heading, new subsections (b)-(b)(3) and subsection redesignation filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
§15402.4. Transfer of Claim Files and Computerized Claim File Data Information.
Note     •     History

(a) Upon change of an administrative agency, all open claims shall be transferred immediately to the new administrative agency, unless otherwise provided by agreement between the self insurer, former administrator and new administrator.
(b) All closed claim files in the possession of the former administrator shall be transferred to the new administrator within 30 days, unless otherwise provided by agreement between the self insurer, former administrator and new administrator.
(c) All computerized claim file data showing all historical claim information, including payments and reserve data as of the date of the transfer of the open claim files shall be provided by the former administrator on the date that all open claim files are transferred, unless otherwise provided for by written agreement between the self insurer, former administrator and the new administrator. In the event that an agreement precludes the transfer of electronic claim contents of claims being transferred to the new administrator, the former administrator will provide hard copies of any required contents to the new administrator at its own expense. The closing date of the transactions on the computerized data shall coincide with the date of the physical transfer of the claim files to the new administrator. In the event that computerized data pertaining to the specific administration is changed by the former administrator after the physical claims have been transferred and the data provided to the new administrator, the former administrator shall provide reported computerized information to the new administrator within 14 days of any such changes.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702.1 and 3702.10, Labor Code.
HISTORY

1. New section filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. Amendment of subsection (c) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15403. Audits.
Note     •     History

(a) Pursuant to Labor Code Sections 129 and 3702.6, the Manager may order an audit of any self insurer or individual claim file at such reasonable times as is deemed necessary.  Such audits shall include, but not be limited to, an audit of the files and records required by Section 15400 of these regulations. Such files and records shall be made readily available by the self insured employer or its administrative agency.
(b) In the event of an audit, the Manager may require that claims administered at the home of a telecommuting adjuster be presented for audit at a California office location of the administrator, or at a California location of the self insured employer.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3702 and 3702.6, Labor Code.
HISTORY

1. Amendment filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23). 
2. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
3. Amendment designating first paragraph as subsection (a) and new subsection (b) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15403.1. Notice of Special Audit.
Note     •     History

When in the discretion of the Manager, a special audit as defined in Section 15201 of these regulations is necessary, the Manager shall notify the self-insurer of the requirement in writing fourteen (14) calendar days prior to the special audit and give the reasons therefor.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3702.10, 3703, 3704 and 3705, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Repealer and new section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47). 
3. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15403.2. Financial Information. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10 Labor Code. Reference: Sections 59, 129, 3700, 3701 and 3702.10, Labor Code .
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Amendment filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
3. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15404. Expense of Out-of-State Audit.
Note     •     History

The audit of any self insurer, pursuant to Section 15403 of these regulations, at locations outside of the State of California, shall be at the expense of the self-insurer. The Manager shall bill the self insurer for the expense incurred in making such out-of-state audit.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3702.6 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15404.1. Expense of Revoked Certificate Audit.
Note     •     History

A self-insurer whose certificate to self insure has been revoked shall pay expenses incurred by the Director or his representative in conducting an audit pursuant to Section 15425 of these regulations. The Manager shall bill the self insurer for expenses incurred.
NOTE

Authority cited: Sections 54, 55 and 3702.10 Labor Code. Reference: Sections 59, 129, 3702.6 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23).
2. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15404.2. Expense of Special Audit.
Note     •     History

A self-insurer shall pay the expenses incurred whenever a special audit as defined in Section 15201, of these regulations, is ordered by the Manager pursuant to Sections 15403, 15404 and 15404.1 of these regulations. The Manager shall bill the self insurer for expenses incurred.
NOTE

Authority cited: Sections 54, 55 and 59, Labor Code. Reference: Sections 59, 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703, 3704 and 3705, 3702.6 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).
2. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
3. Change without regulatory effect amending section filed 10-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 42).
§15405. Confidentiality.
Note     •     History

(a) Financial information submitted to the Director or Manager to establish the solvency and worth of any self insurer, applicant to be self insured, third party administrator, or of a guarantor of a self insurer or applicant to be self insured shall be considered confidential in accordance with California Government Code Sections 6254 and 6255, and California Labor Code Section 3701.8(b)(5). Except as otherwise provided by law, such information shall not be disclosed to any other entity or person without an order from an appropriate court or administrative subpoena from an agency of the State, with the following exceptions:
(1) The Manager shall disclose any financial information to the Self Insurers' Security Fund on any private self insurer whose liabilities have been turned over to the Fund pursuant to Labor Code Section 3701.5, or that has filed bankruptcy, failed to pay its liabilities, or failed to post an increase in deposit due that would potentially put the Fund in jeopardy for the self insurer's liabilities.
(2) Pursuant to Labor Code Section 3701.8(b)(5) and Section 15220.1(d) of these regulations, the Manager may provide to the Self Insurers' Security Fund any financial information for any self insurer needed to determine and set deposit assessments for self insured employers participating in the alternative composite deposit program. 
(3) Notwithstanding this section, the Board of Trustees of any private group self insurer currently or previously self insured pursuant to Labor Code Section 3700(b) and sections 15470 through 15500 of these regulations shall upon written request provide a copy of the group's most recent certified, independently audited financial statement to any affiliate employer self insured through the group. The Manager also may provide to the Self Insurers' Security Fund financial information, including actuarial reports, of any group self insurer, so that the Security Fund may determine the financial risk and stability of the group.
(b) Self Insurers' Annual Reports filed with the Office of Self Insurance Plans pursuant to Labor Code Section 3702.2 and Section 15251 of these regulations shall be considered confidential in accordance with Government Code Sections 6254 and 6255 and Labor Code Section 3701.8(b)(5). Except as otherwise provided by law, information from the annual reports showing the extent of liabilities of self insured employers shall not be disclosed to any other entity or person without an order from an appropriate court or administrative subpoena from an agency of the State, with the following exceptions:
(1) The Manager shall provide copies of any Self Insurer's Annual Reports and/or lists of open indemnity claims to the Self Insurers' Security Fund for any private self insurer whose liabilities have been turned over to the Fund pursuant to Labor Code Section 3701.5 or that has filed bankruptcy, failed to pay its liabilities, or failed to post an increase in deposit due that would potentially put the Fund in jeopardy for the self insurer's liabilities.
(2) Pursuant to Labor Code Section 3701.8(b)(5) and Section 15220.1(d) of these regulations, the Manager may provide to the Self Insurers' Security Fund copies of any and all Self Insurer's Annual Reports needed to determine and set deposit assessments for self insured employers participating in the alternative composite deposit program, except that lists of open indemnity claims shall not be provided to the Security Fund for the sole purpose of setting deposit assessments.
(3) For public self insured employers and/or Joint Powers Authorities only, copies of and/or data from Self Insurers' Annual Reports may be provided to parties pursuant to Labor Code Section 3702.2(c) and Government Code Section 6253 upon written request to the Manager, except that no information identifying injured workers or dependents or related to specific claims may be provided.
(c) Except as otherwise provided by law, information obtained from any audit regarding the nature, extent or financial liability of any self insurer's workers' compensation claims, together with any and all specific information regarding any claims, shall not be disclosed to any other entity or person without an order from an appropriate court or administrative subpoena from an agency of the State, with the following exceptions:
(1) The Manager may provide copies of audit reports to the Self Insurers' Security Fund for any private self insurer whose liabilities have been turned over to the Fund pursuant to Labor Code Section 3742, et seq. or that has filed bankruptcy, failed to pay its liabilities, or failed to post an increase in deposit due that would potentially put the Fund in jeopardy for the self insurer's liabilities.
(2) The Manager may provide copies of any audit reports and/or Self Insurer's Annual Reports to the Division of Workers' Compensation in conjunction with any requests for audit and/or investigation by the Division of Workers' Compensation or Office of Self Insurance Plans.
(d) Except as otherwise provided by law, information obtained from actuarial reports filed by group self insurers shall not be disclosed to any other entity or person without an order from an appropriate court or administrative subpoena from an agency of the State, with the following exception: the Manager may provide copies of actuarial reports to the Self Insurers' Security Fund. 
NOTE

Authority cited: Sections 54, 55, 3701.8(b)(5), 3702.2 and 3702.10, Labor Code; and Sections 6253, 6254 and 6255, Government Code. Reference: Sections 59, 129, 3700, 3701.5, 3702.2, 3702.6, 3702.10, 3740, 3741, 3742, 3743, 3744, 3745 and 3746, Labor Code; and Sections 6253, 6254 and 6255, Government Code.
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. Amendment of section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
3. Amendment of subsection (a)(3), new subsection (d) and amendment of Note filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15406. Confidentiality. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55, and 3702, Labor Code. Reference: Sections 159, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
2. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
Article 10. Revocation of a Certificate to Self Insure or Certificate to Administer and Continuing Jurisdiction
§15420. Compliance with Statutes and Regulatory Requirements.
Note     •     History

Self-insured employers and their administrative agencies shall comply with applicable regulations governing the administration of self-insurance pursuant to Labor Code Sections 129, and 3700-3709.5, which are adopted in accordance with the provisions of the California Administrative Procedure Act (Government Code, Title 2, Division 3, Part 1, Chapters 3.5 [commencing with Section 11340]). Failure to comply with these statutes governing administration of self insurance or with these regulations may be good cause for revocation of a Certificate to Self Insure or Certificate to Administer or other action by the Director.
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.5, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Repealer of Article 10 (§§ 15420-15423) and new Article 10 (§§ 15420-15427) filed 6-1-72; effective thirtieth day thereafter (Register 72, No. 23). For prior history, see Register 69, No. 49. 
2. Amendment of article heading, section heading and section and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15421. Safety Violations. [Repealed]
Note     •     History

NOTE

Authority Cited: Sections 55 and 3702.10, Labor Code.  Reference: Sections 54, 55 and 3702.10, Labor Code.
HISTORY

1. Repealer filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15422. Voluntary Revocation.
Note     •     History

Any self-insurer or administrative agency may voluntarily request that its Certificate to Self Insure or Certificate to Administer be revoked at any time by informing the Manager in writing. The Director shall revoke the Certificate to Self Insure or Certificate to Administer after the self-insurer or administrative agency has:
(a) Shown to the satisfaction of the Director that the self-insurer or administrative agency has established a program to discharge all liabilities and all responsibilities incurred by the self-insurer or administrator during the period the Certificate to Self Insure or Certificate to Administer was in force; and
(b) Surrendered the Certificate to Self Insure or Certificate to Administer. 
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.5. 3702.6, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Amendment of section and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15423. Revocation.
Note     •     History

Revocation for Cause.  Proceedings to revoke a Certificate to Self Insure or Certificate to Administer for good cause as defined in Labor Code Section 3702 and in these regulations shall be after Notice of Intent and opportunity for a hearing in accordance with Article 11 of these regulations. The Notice of Intention to Revoke a Certificate to Self Insure or Certificate to Administer shall include a clear description of cause for revocation.
NOTE

Authority Cited: Sections 54, 55, 59, 129, 3700, 3700(b), 3701, 3701.5, 3702, 3702.5, 3702.6, 3703, 3705, 3740-3745, Labor Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3703 and 3705, Labor Code.
HISTORY

1. Repealer and new section filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47). 
2. Amendment of section heading and section and Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15424. Revoked Certificate Report.
Note     •     History

The Director shall require a former self-insurer whose certificate to self insure has been revoked to continue to submit self-insurer's annual reports pursuant to Section 15251 of these regulations, setting forth the status of all open work-injury claims until all claims are resolved. 
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Amendment of section and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15425. Revoked Certificate Audit.
Note     •     History

Pursuant to Sections 15403 and 15427 of these regulations, the Manager shall continue to audit the work-injury cases of any former self-insurer whose certificate to self insure has been revoked. 
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Amendment of section and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15426. Release of Security Deposit.
Note     •     History

(a) Upon any revocation of a private employer's certificate to self-insure, a new deposit level shall be determined by the Manager to be sufficient to secure all actual and potential liabilities. The former self insurer shall continue to be responsible to increase the deposit at the written request of the Manager as required in Section 15210 of these regulations.
(b) Except as provided in Labor Code Section 3702.8(c), the deposit shall not be reduced below the statutory minimum pursuant to Labor Code Section 3701.
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Amendment of  section heading and newly designated subsection (a), and new subsection (b) and Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15427. Continuing Jurisdiction.
Note     •     History

After revocation of a certificate to self insure, the Director's jurisdiction over work injuries sustained during the period of self-insurance shall continue until all liabilities and all responsibilities have been terminated in accordance with law. 
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. Amendment of section and new Note filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
§15428. Administration of Claims After Revocation.
Note     •     History

(a) A private sector self insurer whose certificate to self insure has been revoked shall continue to provide competent administration of workers' compensation claims incurred during the period of self insurance in accordance with Sections 15450-15463 of these regulations, and the claims shall be administered from within the State of California.
(b) If it is determined by the Manager that the claims are not being competently administered, the Manager shall arrange for the claims administration.  The cost of administration shall be borne by the former self insurer.
NOTE

Authority Cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 54, 55, 59, 129, 3700, 3701, 3701.5, 3702, 3702.3, 3702.6, 3702.10, 3703, 3705, 3740-3745, Labor Code.
HISTORY

1. New section filed 11-24-93; operative 12-24-93 (Register 93, No. 48).
Article 11. Hearing and Appeal Procedures
§15430. Hearing.
Note     •     History

The Director may initiate an investigation or hold a hearing to implement the law and regulations with respect to the following self insurance matters:
(a) Disputes specified in Labor Code section 3701.5(g) arising between or among a surety, the issuer of an agreement of assumption and guarantee of workers' compensation liabilities, the issuer of a letter of credit, any custodian of the security deposit, a self-insured employer, or the Self-Insurers' Security Fund;
(b) Disputes between any self-insurer and the Manager involving action by the Manager to involuntarily revoke an existing certificate for cause pursuant to Labor Code section 3702;
(c) Disputes involving action by the Manager to revoke or deny issuance of a certificate to administer pursuant to Labor Code sections 3702.1 and 3702.7; 
(d) An appeal by a private sector self-insurer concerning the amount of the security deposit to be posted pursuant to Labor Code section 3701(b) or section 15210 of these regulations;
(e) An appeal by any self-insurer concerning any civil penalty assessment made pursuant to Labor Code section 3702.9;
(f) The appeal of an employer alleging its application for a certificate or by an administrator that its application for a certificate to administer has not been processed in a timely manner;
(g) To determine whether good cause exists to revoke any self-insurers' certificate for willful or repeat serious violations of occupational safety and health regulations as noted in Cal/OSHA citations issued by the Division of Occupational Safety and Health;
(h) An appeal by a private self insurer concerning the calculation, posting, or any other aspect of its deposit assessment after payment of the deposit assessment in the time provided to the Security Fund, and; 
(i) An appeal by a private self insurer of any civil penalty assessed for failure to pay a deposit assessment to the Security Fund. 
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3701.8, 3702, 3702.1, 3702.5, 3702.6, 3702.7. 3702.9, 3705, and 3740-3747, Labor Code. Sections 11181-11188, 15378, Government Code.
HISTORY

1. New article 11 (sections 15430-15437) filed 11-21-78; effective thirtieth day thereafter (Register 78, No. 47).
2. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
3. Change without regulatory effect amending subsection (d) filed 6-13-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 24).
4. Amendment of subsections (c) and (g), new subsections (h)-(i) and amendment of Note filed 5-30-2003 as an emergency; operative 5-30-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-29-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-30-2003 order transmitted to OAL 9-29-2003 and filed 11-12-2003 (Register 2003, No. 46).
§15430.1. Definitions.
Note     •     History

As used in article 11, the following definitions shall apply. 
Aggrieved Party. Any person aggrieved as a result of failure to pass a Self Insurance Administrator examination pursuant to Labor Code section 3702.1(b) or the revocation of a certificate to administer pursuant to Labor Code sections 3702.1(a) or 3702.7 and as prescribed in article 12 of these regulations.
Appeals Board. A California Workers' Compensation Appeals Board.
Certificate. See section 15201 for definition.
Certificate to Administer. A Certificate of Consent to Administer issued to an administrative agency, except exempt insurance carrier, pursuant to section 3702.1 of the Labor Code.
Custodian of a Security Deposit. The Office of the State Treasurer for approved securities; the Manager of Self-Insurance Plans for surety bonds and letters of credit; a bank or financial institution for savings accounts and certificates of deposit.
Employer. Any private corporation or other private business entity or public agency as defined in Labor Code section 3300 that has or did have a Certificate of Consent to Self-Insure or any such private entity or public agency seeking a Certificate of Consent to Self Insure pursuant to Labor Code sections 3700 and 3701.
Letter of Credit, Maker of. Any financial institution providing an irrevocable letter of credit to a self-insured employer pursuant to Labor Code section 3701.
SISF. Self-Insurers' Security Fund (SISF), a nonprofit entity created pursuant to Labor Code section 3740 et seq.
Surety. Any corporation authorized to provide surety in the State of California and providing a surety bond to a self-insured employer pursuant to Labor Code section 3701.
NOTE

Authority cited: Sections 54, 55, and 3702.10, Labor Code. Reference: Sections 3300, 3700, 3701, 3701.5, 3702.1, 3702.7, 3740-3747, Labor Code; Sections 11181-11188, Government Code.
HISTORY

1. New section filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
2. Amendment of definitions of “Aggrieved Party,” “Appeals Board” and “Custodian of a Security Deposit” filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15431. Delegation of Authority.
Note     •     History

(a) The Manager of Self-Insurance Plans is the authorized representative of the Director. The Manager is authorized to:
(1) Issue notice of intention to revoke a certificate and to deny a request for a certificate or a certificate to administer;.
(2) Receive requests for a hearing by parties enumerated in section 15430 of these regulations;
(3) Schedule hearings;
(4) Perform all administrative duties as required to conduct a hearing, including granting of extensions of time requested in writing upon a showing of good cause;
(5) Hear and determine an appeal by any party aggrieved by the result of the self-insurance administrator examination; and
(6) Hear and determine an appeal regarding the revocation of a certificate to administer prescribed in article 12 of these regulations.
(b) In all other hearings and appeals the Director or hearing officer shall perform all functions necessary to conduct a hearing.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.7, 3702.10, and 3740-3747, Labor Code; Sections 11181-11188, 15378, Government Code. 
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15431.1. Appeals and/or Requests for Hearings.
Note     •     History

(a) Appeals and/or requests for hearing under this article, by an employer or aggrieved party shall be in writing and shall include the following information:
(1) Name and address of the person making the appeal or requesting the hearing (i.e. the requesting party):
(2) The specific nature of the request (for example, “This request is to review action denying revoking a certificate to administer”; or “This request is to appeal the failure to pass the self-insurance administrator's examination”);
(3) A statement of the requesting party's rationale, basis, evidence, facts, reasoning, arguments, documentation, or other supporting material which establishes's and supports the position of the requesting party:
(4) A statement of whether the requesting party wishes a formal hearing or a written decision only on the matter;
(5) When a formal hearing is requested, an additional statement estimating the number of witnesses, if any, to be called by the requesting party at the hearing and the amount of time the requesting party will require to present its case at the hearing.
(b) Requests for a hearing or appeal pursuant to Section 15430 of these regulations shall be mailed or delivered to: Manager, Self-Insurance Plans, 2265 Watt Avenue, Suite 1, Sacramento, CA 95825.
(c) An appeal or request for a hearing from an employer or aggrieved party must be served upon the Director in writing within twenty-one (21) calendar days after receipt of:
(1) Notice of intention to revoke or deny a certificate to self-insure;
(2) Notice of the default of a self-insured employer or surety;
(3) Notice of a failing score on the self-insurance administrator's examination;
(4) Notice of intent to revoke a certificate to administer; or
(5) The decision by the Manager not to renew or grant a certificate to administer.
(d) A hearing on a claim that Self-Insurance Plans has not timely processed an application as required by Government Code section 15378 may be requested at any time.
(e) An appeal or request for hearing shall be deemed timely received if the request is postmarked or delivered to the Director or the Manager by the end of business on the twenty second (22nd) calendar day, after receipt of the notice or decision being appealed, as set forth in subsection (c) of this section.
(f) The written appeal or hearing request shall be:
(1) Placed in the United States mail in a fully prepaid, postmarked and sealed envelope;
(2) Delivery to an overnight mail delivery service for delivery the following day; or
(3) Delivery by messenger or in person to the Office of Self-Insurance Plans.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.7, 3702.9, 3702.10 and 3740-3747, Labor Code; Sections 11181-11188 and 15378, Government Code.
HISTORY

1. New section filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
2. Editorial correction of NOTE (Register 91, No. 46).
3. Change without regulatory effect amending subsection (b) filed 10-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 42).
§15431.2. Complaints.
Note     •     History

(a) Any self-insured employer, administrator, the Self-Insurers' Security Fund, or injured employee of a self-insured employer may file a complaint to the manager in writing concerning the failure of any self-insured employer or administrator to provide timely payment of benefits due or to fund the payment of such benefits.
(b) The Manager shall review any complaints received and may investigate the complaint, determine what benefits may be due and order payment thereof, audit the claim records of the self-insurer or administrator, and take action to revoke the certificate or certificate to administer for cause.
(c) The Manager shall not seek to substitute his/her judgement for that of the Workers' Compensation Appeals Board on any adjudicated claim and may refuse to consider the complaint of any injured worker's entitlement to benefit or self-insurer where the matter involved in the complaint is waiting the decision of the Appeals Board.
(d) Any written complaint shall include the following information:
(1) The basis of jurisdiction of the Director;
(2) The relief or action requested;
(3) The grounds for the requested relief or action;
(4) The facts involved in the complaint;
(5) A statement of whether or not the specific claim or claims is being adjudicated before the Workers' Compensation Appeals Board and the Appeal number of the claim before the Appeals Board; and
(6) The name of the parties known to the complainant against which any relief is sought or who have an interest in the proceeding. The complaint shall be served on these other persons who may have interest in the proceedings by the person submitting the complaint.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.7, 3702.9, 3702.10 and 3740-3747, Labor Code; Sections 11181-11188 and 15378, Government Code.
HISTORY

1. New section filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
2. Editorial correction of printing error of NOTE (Register 91, No. 46).
§15432. Hearings; Special Requirements: Failure to Appear.
Note     •     History

(a) Before seeking reconsideration by the Director an appeal shall be first made to the Manager in matters of:
(1) A failing score on any self-insurance administrator's examination; or
(2) The revocation of a certificate to administer or denial of a renewal of a certificate to administer.
(b) A written waiver of review by the manager shall constitute satisfaction of section 15432(a) and allow immediate reconsideration by the Director in the matter.
(c) The SISF shall have thirty (30) days to contest a decision by the Director to require it to assume administration on behalf of a defaulting self-insured employer. The SISF shall not be required to bring a complaint action under section 15431.2 of these regulations within any specific time against a defaulting self-insurer, surety, custodian of securities or maker of a letter of credit after assuming the liabilities of responsible parties under Labor Code sections 3743-3744. Nothing in this subsection shall be construed as to allow SISF to withhold or delay payments in any event.
(d) Failure to Appear.
(1) If after service of notice of hearing or continuance, a party fails to appear at the hearing either in person or by representative, the Director or the designated hearing officer may:
(A) Continue the proceeding; or
(B) After notice, dismiss the proceeding as a default and uphold the action appealed from, if the non-appearing party is the party requesting the hearing; 
(C) Receive evidence, including admission, affidavit, or declarations of the party, establish a prima facie case and render a decision
(2) A party who has defaulted, and against whom a decision or determination is upheld, nevertheless has the right to make a showing by way of mitigation as to any remedy. The Director may consider documentary evidence or hold a hearing, and may decide to alter the remedy, both in the discretion of the Director.
NOTE

Authority cited: Sections 54, 55 and 3702.10 Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1. 3702.5, 3702.6, 3702.7. 3702.9, 3702.10. 3705, 3740-3747, Labor Code; Sections 11181-11188 and 15378, Government Code. 
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15433. Hearing Officer: Appointment and Delegation of Authority.
Note     •     History

(a) The Director may appoint a hearing officer. The appointed hearing officer shall have full power, jurisdiction and authority to: 
(1) Hold a hearing and ascertain facts for the information of the Director;
(2) Hold a pre-hearing conference and/or to a certify official acts; 
(3) Regulate the course of the hearing; 
(4) Join and dismiss parties in a complaint proceeding pursuant to section 15431.2 of these regulations;
(5) Grant a withdrawal, disposition or amendment;
(6) Order a continuance or to extend the submittal date of the proceeding;
(7) Approve a stipulation voluntarily entered into by the parties;
(8) Administer oaths and affirmations;
(9) Rule on objections, privileges, defenses, and the receipt of relevant and material evidence;
(10) Request a party at any time to state his theory concerning any fact or issue in the proceeding.
(11) Hear and determine all issues of fact and law presented; and
(12) Issue interlocutory and final orders, findings and decisions as may be necessary for full adjudication of the matter.
(b) The hearing officer may issue subpoenas and subpoenas duces tecum in the name of the Director for the attendance of persons and the production of testimony, books, documents, or other things, to compel attendance of persons residing anywhere within the state, subject to the provisions of Government Code section 11185.
(c) For purposes of an appeal or hearing to be heard by the Manager, the Manager shall exercise the power of a designated hearing officer.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.9, 3702.10, 3705, and 3740-3747, Labor Code; Sections 11181-11188, 15378, Government Code; Sections 1985-2031, 2033-2036, Code of Civil Procedure.
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15434. Hearing Procedures.
Note     •     History

(a) The affected employer, surety, any custodian of a surety deposit, maker of a letter of credit, the SISF, an aggrieved party, and any other affected parties or persons shall be notified of the time and place of the hearing by a notice issued by the Director, designated hearing officer or the Manager and such notice to be served on all parties.
(b) Notification shall be placed in the U.S. mail in a fully prepaid, postmarked and sealed envelope at least twenty-one (21) calendar days in advance of the hearing. Without good cause being shown and a written request for extended time to respond, the time to respond shall not be extended beyond the twenty-one (21) days by California Code of Civil Procedure section 1013.
(c) The employer, surety, custodian of a security deposit, maker of a letter of credit, the SISF, an aggrieved party, and any other party, shall be given an opportunity to present evidence and/or written or oral arguments in support of its position.
(d) The hearing need not be conducted according to the technical rules of evidence. In the interest of expeditious and inexpensive adjudication, evidence by way of affidavit or declaration shall be allowed under the following conditions:
(1) At any time fifteen (15) days or more prior to the hearing date or continued hearing date, a party may mail or deliver to the opposing party or parties, a copy of any affidavit or declaration which is proposed to be introduced in evidence, together with a notice as provided in subsection (2). Unless an opposing party, within ten (10) days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant, his right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced into evidence, shall be given the same effect as if the affiant or declarant has testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefore is made as herein provided, the affidavit or declaration may be introduced into evidence, but shall be given only the same effect as other hearsay evidence.
(2) The notice referred to in subsection (1) shall be substantially in the following form:
“The accompanying affidavit or declaration of (here insert name of affiant or declarant) will be introduced as evidence at the hearing in (here insert title and docket number of proceeding). (Here insert name) will not be called to testify orally and you will not be entitled to question him unless you notify (name of the proponent, representative, agent or attorney) at (here insert address) that you wish to cross-examine him. To be effective, your request must be mailed or delivered to (here insert name of proponent, representative, agent or attorney) on or before (here insert date ten (10) days after the date of mailing or delivering the affidavit or declaration to the opposing party).”
(e) All witnesses testifying before the hearing officer shall testify under oath, affirmation or penalty of perjury.
(f) Upon written request to the Director and for good cause shown, an aggrieved party may request the production of his or her own test and application records from Self-Insurance Plans. At the time of hearing or, upon written request to the Director and for good cause, an aggrieved party may request inspection of his/her own test records prior to the time of hearing.
(g) Discovery. The parties shall have the right to take depositions and to obtain discovery and to that end may exercise all of the same rights, remedies, and procedures, and shall be subject to all of the same duties, liabilities and obligations as provided in part 4, Title 3, chapter 3, of the Code of Civil Procedure, except that applications to the court or requests for relief from the court shall be considered as applications or requests of the hearing officer. All discovery shall be completed not less than fifteen (15) days prior to the date set for hearing, unless the Director, upon a showing of good cause, makes an order granting an extension of the time within which discovery must be completed. The hearing officer shall not have authority to impose monetary sanctions.
(h) Subpoena of Witnesses: Subpoena Duces Tecum.
Subject to the provisions of Title 2, division 2, part 1, chapter 2, of the Government Code and before the hearing has commenced, the Director shall issue a subpoena and subpoena duces tecum at the request of a party for attendance of a person or production of a document, object or thing determined to be reasonably relevant, to the issues to be decided at the hearing. 
After the hearing has commenced, the Director may issue a subpoena and subpoena duces tecum as follows: 
(1) The subpoenaing party shall prepare the affidavit of good cause required by section 1985 of the Code of Civil Procedure before a subpoena duces tecum will be issued. 
(2) A subpoenaing party shall comply with section 1985.3 of the Code of Civil Procedure. A person not a party to the matter, is not obliged to attend as a witness in any matter under this article at a place out of the county in which he resides, unless the distance is less than fifty (50) miles from his place of residence. A party or party-identified witness may be obliged to attend a deposition in like manner as in Code of Civil Procedures section 2025.
(i) The hearing shall be recorded by audio recorder. Parties wishing a written transcript shall pay the cost of a transcription or may provide a certified reporter at the time of hearing. A copy of the recorded proceedings shall be provided to the Director if reconsideration is requested.
(j) The Director may appoint an interpreter and fix the interpreter's compensation in any matter where an interpreter is requested by the parties or determined to be needed by the Director or his/her designee. It shall be the responsibility of any party producing a witness requiring an interpreter to arrange for the presence of a qualified interpreter. Interpreter fees are to be paid by the party requesting the use of the interpreter. It shall be the responsibility of the party seeking to use an interpreter to show that the interpreter is proficient in the appropriate language and has sufficient knowledge relating to the terminology and procedures generally used in hearings before the Director to function satisfactorily. The Director may disqualify an interpreter due to conflict of interest, bias, prejudice, partiality or for disclosure of confidential or privileged information.
(k) A request for intervention may be allowed by the Director or designated hearing officer in like matter as in California Code of Civil Procedure section 387.
(l) In the interests of the expeditious resolution of al disputes, the Director may allow time for settlement of disputes. The Director shall approve settlement of any dispute regarding a third-party administrator examination, a revocation of a third-party certificate or certificate of consent to self-insure. The Director, in his discretion, may approve resolution of disputes involving the Self-Insurers' Security Fund. Approval by the Director of disputes, involving SISF is necessary only after a formal hearing on the merits has begun.
(m) An official address record shall be maintained by the Director or the designated hearing officer. Each party shall furnish one address and one telephone number, for itself or it's representative, to which all communications by the Director and other parties shall be directed. If the address is a Post Office Box, a physical address shall also be provided for use when physical delivery other than by mail is intended. All communications by the Director or hearing officer, including all notices and decisions and determinations, shall be made to the addresses on the official address record. Service of anything required to be served shall be acceptable if mailed by registered or certified mail, with return receipt, if mailed to the official address. Legal service may also be made by personal delivery to the official address.
(n) No party or representative of a party shall communicate with a hearing officer on the merits of a matter except in the presence of the other parties or their representatives. No written communication shall be directed to a hearing officer or the Director unless it shows on the face of it or on an attached proof of service that the communication has been simultaneously served on other parties. No written communications in violation of this rule shall be received by the hearing officer or Director. The Director, after a hearing officer has been designated and while the hearing officer is continuing to act on the case, shall not communicate with the hearing officer about the merits of the matter before the hearing officer.
(o) Foundation Evidence. Evidence of the genuineness of any document, and of the authenticity of records, shall be by affidavit or declaration only, unless good cause is shown by a party for the necessity for testi-mony in the presence of the hearing officer. At the discretion of the hearing officer, any other evidence of a foundational nature shall also be by declaration or affidavit, except where good cause is shown why it should be otherwise.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.9, 3702.10, 3705, 3740-3747; Labor Code; Sections 11181-11188, 15378, Government Code; Sections 1985-2031, 2033-2036, Code of Civil Procedure.
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15435. Decision.
Note     •     History

(a) The hearing officer shall conduct the hearing and provide a written recommendation to the Director and make available the entire record of the hearing. A matter is deemed submitted to the Director either at the close of the hearing, or, at the discretion of the hearing officer, upon the submission of any post-hearing briefs or arguments requested or allowed by the hearing officer. 
(b) The decision of the Director shall reflect a summary of evidence, findings of fact and conclusions of law, together with citations to the controlling statutes applied in rendering the decision, and any determinations made by the Director.
(c) The decision shall be mailed within ninety (90) days of the date of submission, with copies of all parties of record. Issuance of a decision may be delayed to allow settlement, or as the interests of justice may require, in which case the Director shall give all parties of record written notice of such delay.
(d) The Director shall make determinations, as required, as to whether there was at the time of the notice of intention or at the time of the decision, good cause to revoke or deny a certificate or certificate to administer.
(e) If the Director determines that an appellant's application was not processed within the time limits which the Director has adopted in these Regulations pursuant to Government Code section 15378, the decision shall include a refund of the fees paid by that appellant for that application.
(f) The decision of the Director shall be final, unless reconsideration pursuant to section 15436 of these regulations is requested. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.9, 3702.10, 3705, 3740-3747, Labor Code; Sections 11181-11188, 15378, Government Code; Sections 1985-2031, 2033-2036, Code of Civil Procedures.
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15436. Reconsideration.
Note     •     History

(a) The Director has the discretion to reconsider and take whatever action is appropriate and necessary to support and facilitate a decision or determination. The Director, in his/her discretion, may grant a stay of enforcement in any proceeding where reconsideration or appeal is initiated.
(b) The employer, surety, custodian of a security deposit, the SISF, or an aggrieved party, upon receipt of the decision, shall have ten (10) calendar days to request reconsideration of the decision by the Director. The request must be in writing and shall be limited to the grounds specified in Labor Code section 5903.
(c) Upon receipt of a request for reconsideration, the Director may:
(1) Decline reconsideration;
(2) Grant reconsideration and issue an amended decision or determination after reconsideration based only upon the record and additional argument and evidence offered in the request for reconsideration and any response thereto; or,
(3) If the Director deems that, based upon the request for reconsideration and any response, further hearing is merited, grant reconsideration and hold further hearing pursuant to these regulations, and issue a decision or determination after reconsideration.
(d) A decision or determination of the Director, where reconsideration by the Director has been requested but not granted, becomes final upon service of the notice that reconsideration is declined. A decision or determination of the Director where reconsideration by the Director has been granted, becomes final upon service of the decision or determination after reconsideration.
(e) All requests for reconsideration by the Director shall be served on all other parties of record by the requesting party at the time of service on the Director. The Director shall not accept requests for reconsideration without a declaration of service attached indicating that all other parties to the matter, as reflected on the official address record, have been served with the request for reconsideration.
(f) If a party to a proceeding is adversely affected for the first time by the decision or determination after reconsideration, that party may then request further reconsideration of the original decision or determination after reconsideration.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.9, 3702.10, 3705, 3740-3747, Labor Code; Sections 11181-11188, 15378, Government Code; Sections 1985-2031, 2033-2036, Code of Civil Procedure.
HISTORY

1. Amendment filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
§15437. Appellate Review.
Note     •     History

(a) Appeal from an adverse decision of the Director with regard to failure to pass the Self-Insurance Administrator examination or revocation of a Certificate to Administer, or with regard to the Office of Self Insurance Plans' timeliness of processing an application, shall be made to the Superior Court of California by writ as provided in the Code of Civil Procedure. A condition precedent to such appeal shall be exhaustion of all appeal requirements specified in this article.
(b) Appeal from a decision or determination of the Director after hearing arising from a dispute between or among a surety, the issuer of an agreement of assumption and guarantee of workers' compensation liabilities, the issuer of a letter of credit, a custodian of a security deposit, an employer, or the SISF, concerning the posting, renewal, termination, exoneration, or return of all or any portion of the security deposit, or any liability arising out of the posting or failure to post security, or adequacy of the security or reasonableness of administrative costs, including legal fees, may be taken to the Superior Court, as provided in Labor Code section 3701.5(g).
(c) Appeal from a determination of the Director after hearing in a proceeding under Labor Code section 3702.8 involving private employers who have ceased to be self-insured employers may be taken to the Appeals Board. After January 1, 1991 such appeals shall be taken to the appropriate Superior Court by petition for writ of mandate.
(d) Appeal from a decision or determination of the Director after hearing which denies an application for a certificate or which revokes a certificate pursuant to Labor Code section 3702(b), may be taken to the Appeals Board. It shall be a condition precedent to the filing of such an appeal that the appealing employer shall have first obtained workers' compensation insurance. A Certificate of Insurance showing the current existence of such insurance, issued by the insurer, shall be filed as part of the appeal.
(e) Appeal of any other determination of the Director may be taken to the Appeals Board.
(f) All appeals to the Appeals Board under this section shall be governed by article 1 of chapter 7 of part 4 of division 4 of the Labor Code, Reconsideration. Appeals shall be filed with the Appeals Board within twenty (20) days after service of the final decision or determination of the Director. Where service is by mail, the time to file shall be extended as provided in Code of Civil Procedure section 1013.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.8, 3702.9, 3702.10, 3705, 3740-3747, Labor Code; Sections 11181-11188, 15378, Government Code; Sections 1985-2031, 2033-2036, Code of Civil Procedure.
HISTORY

1. Renumbering and amendment of former section 15437 to section 15438 and new section 15437 filed 12-17-90; operative 1-16-91 (Register 91, No. 6). For prior history, see Register 78, No. 47.
§15438. Severability.
Note     •     History

If any provisions of these regulations or the application thereof to any party or circumstances is held invalid, such invalidity shall not affect other provisions or applications of these regulations which can be given effect without the invalid provision or applications and to this end the provisions of the regulations are severable.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.1, 3702.5, 3702.6, 3702.7, 3702.9, 3702.10, 3705 and 3740-3747, Labor Code; Sections 11181-11188 and 15378, Government Code; Sections 1985-2031 and 2033-2036, Code of Civil Procedure.
HISTORY

1. Renumbering and amendment of former section 15437 to section 15438 filed 12-17-90; operative 1-16-91 (Register 91, No. 6).
2. Editorial correction of NOTE (Register 91, No. 46). 
Article 12. Claims Administration
§15450. Certificate to Administer.
Note     •     History

(a) A valid Certificate to Administer issued by the Manager shall be in the possession of each claims administrator, whether a person, firm, corporation, joint powers authority or self insured employer, to administer or adjust workers' compensation self insurance claims.
EXCEPTION 1: An insurer admitted to transact workers' compensation insurance in California is exempt from this requirement pursuant to Labor Code Section 3702.1(a);
NOTE: An insurance company subsidiary not admitted to transact workers' compensation insurance in California and engaged in the administration or adjustment of claims for a self insured employer is not exempt.
EXCEPTION 2: A private self insurer that administers its own claims and/or the claims of other private self insurers with common ownership or which are in the same Master Certificate file is exempt from this requirement.
EXCEPTION 3: A joint powers authority that holds a Master Certificate of Consent to Self Insure and administers its own claims; and/or the claims of other public self insurers which have an affiliate Certificate under the same Master Certificate file number held by the joint powers authority; and/or the claims of a former member of the joint powers authority is exempt from this requirement.
EXCEPTION 4: A public self insurer that administers its own agency's claims is exempt from this requirement.
(b) Application for a Certificate to Administer shall be made on forms provided by Self-Insurance Plans (Form A4-50 (Rev. 4/91)). A complete application shall include the application form, and fees in accordance with Section 15454.
NOTE: The current application form is contained in Plate L of the Appendix following the last Article of these Group 2 regulations.
(1) The applicant will be notified in writing within 14 days of receipt if the application is deficient.
(2) A certificate to administer will be issued within 30 days of receipt of a complete application. 
(c) The Certificate to Administer expires June 30 and reapplication must be made prior to June 1 for the subsequent renewal period. The applicant may request the Certificate to Administer to be issued for a period of 1, 2 or 3 years.
(d) Failure to comply with Articles 6 and 9 of these regulations or engaging in improper practices as described in Labor Code Section 3702(a) is good cause for revocation or non-renewal of the Certificate to Administer.
NOTE

Authority cited: Sections 54, 55, 59, and 3702.10, Labor Code. Reference: Sections 59, 3702 and 3702.1, Labor Code. Government Code Sections 15375, 15376.
HISTORY

1. New article 12 (sections 15450-15463, not consecutive) filed 1-27-86; effective thirtieth day thereafter (Register 86, No. 5). 
2. Amendment of article and section headings filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
3. Amendment of subsections (a), (b)(2) and (d) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15450.1. Third Party Claims Administration for New Private Self Insurers.
Note     •     History

(a) Each private self insurer granted an initial, individual Certificate to Self Insure workers' compensation liabilities that has not been self insured or previously self insured for a total of three full years shall contract with a third party claims administrator for the first three (3) full calendar years of self insurance. The self insured employer's third party claims administrator shall hold a Certificate to Administer pursuant to Section 15450 of these regulations.
(b) Each private group self insurer  granted its initial Certificate to Self Insure workers' compensation liabilities shall contract with a third party administrator for the first five (5) full calendar years of self insurance.  The group self insurer's third party claims administrator shall hold a Certificate to Administer pursuant to Section 15450 of these regulations.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5, 3702, 3702.1, 3702.2 and 3702.3, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26). For prior history, see Register 92, No. 13.
2. Amendment of subsections (a) and (b) and repealer of subsection (c) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15452. Administrator Competence.
Note     •     History

(a) Each self insurer or third party administrative agency shall conduct the administration of each self insurance program through the services of a competent person or persons located in California.
EXCEPTION 1: Upon a showing of good cause, the Manager may authorize administration from locations outside California by an administrator with staff who has demonstrated individual competence. The desire to consolidate claims from other states in one location or the desire to reduce expenses related to utilizing a third party administer are not good cause for out-of-state administration. The demonstration of individual competence of an out-of-state administrator is not in itself good cause for out-of-state administration.
Exception 2: The Manager shall not authorize claims administration outside of the State of California for any private group self insurer.
(b) Any person may demonstrate individual competence as an administrator for a self-administered self insurer or an agency administered self insurance program by successfully passing the written examination designed to test technical knowledge of workers' compensation law and claims administration. The Manager shall ensure that the test shall be administered at least twice a fiscal year (July 1 to June 30).
(c) Application for the administrator's examination shall be made on forms provided by the Manager (Form A4-100, Rev. 9/91). A complete application shall include the application form and fees in accordance with subsection (d) of this section. The applicant will be notified in writing within 14 days if the application is deficient. Confirmation of the test date will be sent two weeks before the scheduled test date.
(d) The fee to take the Self Insurance Administrator's examination shall be $150. The fee shall not be refundable after confirmation of entrance to the exam has been issued by the Office of Self Insurance Plans.
Exception 1: Upon a written showing of good cause, the Manager may authorize a refund of the application fee.
(e) Upon passing the written examination a Certificate of Achievement will be issued within eight weeks of the test date.
(f) Each adjusting location of a third party administrative agency or a self-administered self insurer shall have at least one person who has passed the self insurance administrator's examination. All workers' compensation self insurance claims at such reporting locations shall be administered and adjusted under the direct supervision of a person who has passed the self insurance administrator's examination. Supervision of claims decisions, setting of estimates of future liability of claims, and proper payment of benefits to injured workers shall be made or reviewed by a person who has passed the self insurance administrator's examination.
(g) Lack of competent administrators at any adjusting location shall be good cause for revocation of the certificate to administer for that location and may be grounds to revoke the certificate to self insure.
NOTE

Authority cited: Sections 54, 55, 59, and 3702.10, Labor Code. Reference: Sections 59, 3702, 3702.1 and 3702.10, Labor Code; and Sections 15375 and 15376, Government Code.
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. New (a) Exception 2 and amendment of Note filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
3. Amendment of subsections (a)-(f) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15454. Certificate to Administer: Fees.
Note     •     History

(a) The certificate fee shall be paid no later than June 1 in the year of application and shall be sufficient to cover the 1 to 3 year period of the application submitted, and shall accompany the application form. The fee is not prorated in the initial year of each application cycle and is not refundable for any portion of the current fiscal year.
(b) The minimum fee for each private certificate to administer the first adjusting location is $1,000 per year. There is an additional charge of $200 per year for each additional claims adjusting location.
(c) Public applicants are exempt from the payment of a fee for the Certificate to Administer provided all claims administered are for public self insurers. A public administrator for private sector self insurers shall pay the certificate fees due for a private Certificate to Administer.
NOTE

Authority cited: Sections 54, 55, 59, and 3702.10, Labor Code. Reference: Sections 59, 3702.1, 3702.5 and 3702.10, Labor Code.
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. Amendment of subsection (b) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§15456. Exempt. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code Reference:  Sections 59, 3702.1 and 3702.10, Labor Code. 
HISTORY

1. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15458. Claims Administration and Recordkeeping.
Note     •     History

Workers' compensation claims and claim files shall be administered and maintained in accordance with the provisions of Articles 6 and 9 of these regulations.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.7, Labor Code. Reference: Sections 129, 3700, 3701, 3702, 3702.1 and 3702.7, Labor Code. 
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15459. Notification of Willful Failure to Pay Benefits.
Note     •     History

The claims administrator shall notify the Manager in writing within three days of a self insured employer's willful failure to provide adequate funding for the timely payment of workers' compensation benefits in accordance with provisions of the Labor Code.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3702 and 3702.1, Labor Code. 
HISTORY

1. Amendment filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15461. Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3702, 3702.1 and 3702.10, Labor Code. 
HISTORY

1. Repealer filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
§15463. Revocation of Certificate.
Note     •     History

(a) The Manager may issue a Notice of Intent to Revoke to any holder of a Certificate to Administer. The notice shall indicate the cause for the revocation action and advise the holder of the Certificate of the right to a hearing.
(b) The procedure for revocation of a Certificate of Consent to Administer shall be in accordance with Article 11 of these regulations.
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 3702.1, 3702.7 and 3702.10, Labor Code.
HISTORY

1. Amendment and new forms filed 2-19-92; operative 3-20-92 (Register 92, No. 13).
2. New Appendix plates D, E, F1-F6, G and I filed 12-22-92; operative 1-21-93 (Register 93, No. 2).
3. Amendment of Plate F-6 filed 8-12-93; operative 9-13-93 (Register 93, No. 33).
4. Change without regulatory effect relocating Appendix Plates A-1, A-2, B, C, and H from section 15204 to section 15463 filed 9-14-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 38).
5. Amendment of forms filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
6. Amendment of Appendix Plate I filed 12-1-94; operative 1-2-95 (Register 94, No. 48).
7. Change without regulatory effect renumbering a portion of Form A4-3 (Agreement of Assumption and Guarantee of Workers' Compensation Liabilities) to new Form A4-6, including amendments, filed 2-17-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
8. Amendment adding new form A4-5 filed 6-4-98; operative 7-4-98 (Register 98, No. 23).
9. Amendment filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
10. Amendment adding new forms A4-7, A4-40a and A4-40b filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 

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Article 13. Group Self Insurance
§15470. General.
Note     •     History

(a) In order to form and operate a group self insurer for private, for-profit employers, a mutual benefit corporation shall be formed pursuant to Part 3 (commencing with Section 7110) of Division 2 of Title 1 of the California Corporations Code. The mutual benefit corporation shall be the group self insurer and shall be formed for the sole purpose of operating a group workers' compensation self insurance fund to pool compensation liabilities of two or more for-profit private employers. 
(b) In order to form and operate a group self insurer for private, non-profit employers, a non-profit corporation shall be formed pursuant to Division 2 of Title 1 of the Corporations Code. The non-profit corporation shall be a non-profit charitable corporation, a non-profit public benefit corporation, a non-profit mutual benefit corporation, or a non-profit religious or apostolic corporation, as is appropriate based on the nature and purpose of the non-profit employer. The non-profit corporation shall be the group self insurer and shall be formed for the sole purpose of operating a group workers' compensation self insurance fund to pool compensation liabilities of two or more non-profit private employers. 
(c) The group self insurer will make application to the Manager for a Certificate of Consent to Self Insure as provided in Section 15482 of these regulations and, if granted approval by the Director, shall be the holder of the Certificate of Consent to Self Insure.
(d) Each initial proposed group member shall make application to the Manager for an Affiliate Certificate of Consent to Self Insure as one of the qualifying group applicants pursuant to Section 15482.1 of these regulations. Once a Certificate of Consent to Self Insure has been approved and issued, each subsequent proposed member shall make application to the Manager for an Affiliate Certificate of Consent to Self Insure pursuant to Section 15482.2 of these regulations. If granted by the Director, each approved member of a group self insurer shall be the holder of an Affiliate Certificate of Consent to Self Insure under the Certificate of Consent to Self Insure granted to the group self insurer.
(e) The group self insurer shall post and maintain a security deposit with the Manager as set forth in Sections 15210 and 15496 of these regulations to secure the expected workers' compensation liabilities of the group self insurer.
(f) The group self insurer shall file a Self Insurer's Annual Report as set forth in Article 5 of these regulations and shall estimate compensation liabilities as set forth in Article 6 of these regulations.
(g) The group self insurer shall not transfer liabilities to a third party except to a carrier meeting the requirements of Section 15360(c) under a special excess workers' compensation policy as provided by Labor Code Section 3702.8(c) and/or as provided by Article 8, Section 15360 of these regulations. 
(h) The group self insurer shall fall under the continuing jurisdiction of the Director and any Certificates or Affiliate Certificates of Consent to Self Insure issued to a group self insurer or a group member may be revoked as set forth in Article 10 of these regulations.
(i) Hearing and appeal procedures set forth in Article 11 shall be applicable to self insurance matters set forth in Section 15430 involving group self insurers or group members.
(j) Each group self insurer shall comply with recordkeeping and audit requirements in Article 9 and the claims administration requirements of Article 12 of these regulations.
(k) Each private group self insurer shall be subject to assessments as set forth in Article 4 of these regulations.
(l) A group self insurer issued a Certificate of Consent to Self Insure pursuant to Labor Code Section 3700 and these regulations are not intended to deem such a group self insurer to be an insurance company and be subject to regulations governing insurers contained in Title 10, California Code of Regulations, except as otherwise provided by statute and by Title 8, California Code of Regulations.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.2, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New article 13 and section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15471. Initial Feasibility Study.
Note     •     History

Included with each group self insurer's initial application for a Certificate To Self Insure required by Section 15482 of these regulations shall be a feasibility study report prepared by the prospective Group Administrator or an independent risk management individual or firm, consisting of the following:
(a) An analysis of the advantages and disadvantages of group self insurance for the proposed group members as compared to the options of individual self insurance or coverage under a policy issued by a carrier(s);
(b) Identification of all of the initial proposed group members and the combined total payroll for the proposed group self insurer;
(c) A consolidated summary of the historical workers' compensation claims loss experience and the allocated loss expenses of the proposed group members for a minimum of the three most recent, full policy years, as well as the current policy year through the last completed quarter under the current policy at the time the application is submitted;
(d) An evaluation of the historical workers' compensation claims costs for the anticipated initial group members, including an actuarial projection of the expected claims costs for each of the first five years of the group self insurer's operation.  The actuarial projection shall be prepared by an independent person with current experience in making California workers' compensation actuarial projections for self insured employers or group insurance, and who shall have a designation of Fellow of the Casualty Actuarial Society (FCAS) or be a member of the American Academy of Actuaries (MAAA).
(e) A five year pro forma financial statement including, but not limited to, an income statement, balance sheet, projected cash flows, and claims payout projections.  The pro forma financial statement must include a detailed separation of assets, liabilities, retained earnings, taxes, and accrual and distribution of excess contributions.  If any claims costs are discounted, the interest rate assumptions and payout patterns must be described and must be based on reasonable assumptions.  The claims payout schedule shall be calculated using the 80th percent actuarial confidence level figures from the actuarial study.
(f) A summary of the specific details of the group self insurer's operating plan or the plan itself, including, but not limited to, descriptions of:
(1) The group self insurer's legal and organizational structure;
(2) Method of governance;
(3) General management of the group self insurer, including underwriting policies, insurance coverage, billing, commissions, fees, and all other expenses.
(4) Rating or contribution plans, or other means by which group funding during the first five years of operation will generated and the amounts to be generated by the methods proposed for each of the first 5 years of operation.
(g) The first 12 month budget of the group self insurer;
(h) The names and credit ratings of any anticipated excess insurance coverage carriers, including estimated cost, levels of retention for specific excess insurance, aggregate excess insurance if obtained, and maximum liability levels of each excess policy;
(i) The company name and name of the person designated as the independent Group Administrator and the company name of the independent third party claims administrator chosen by the Board of Trustees;
(j) A description of safety and loss control services available from the group self insurer to group members;
(k) A description of the underwriting requirements for member selection for the group self insurer, including a description of any underwriting requirements or restrictions imposed by the specific excess insurance carrier;
(l) The name of the certified public accountant that will prepare annual financial reports for the group self insurer;
(m) The name and professional actuarial designation of the actuary who will prepare actuarial reports for the group self insurer, as well as an indication of how frequently actuarial reports will be completed;
(n) A statement indicating the means by which the group self insurer will post the required security deposit; and
(o) A statement describing any fidelity insurance coverage and errors and omissions insurance coverage to be maintained by the group self insurer, and/or by vendors with the group self insurer named as beneficiary.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference:  Sections 3700, 3701 and 3702.1, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15472. Minimum Financial Requirements for a Group Self Insurer.
Note     •     History

(a) In addition to other requirements specified in this Article 13, no private group shall be approved as a group self insurer, nor continue as a group self insurer, unless it demonstrates aggregate net worth and net earnings of the initial qualifying employer members and continuing qualifying core group members, as evidenced from the financial statements of those group members, as follows:
(1) No less than $5,000,000 in current consolidated net worth and a consolidated annual net income of the group core members of no less than $500,000, as documented in certified and independently audited financial statements; or
(2) No less than $10,000,000 in current consolidated net worth of core group members if the core group members do not demonstrate an consolidated net income of $500,000, as documented in certified and independently audited financial statements; or
(3) No less than $15,000,000 in current consolidated net worth of core group members, as documented in certified and independent CPA reviewed financial statements with the reviewer's report attached, or if the qualifying core group members consist, in whole or in part, of IRS Subchapter S-corporations as documented by certified and independent CPA reviewed financial statements with the reviewer's reports included with each statement.
(b) The Group Administrator shall provide to the Manager within 30 days of request documentation showing that the core members of the group self insurer continue to meet the requirements of subsection (a). The core members of the group self insurer need not be the same affiliate group members from year to year. 
(c) The Group Administrator shall immediately advise the Manager in writing if at any time the consolidated net worth of the core group members of the group self insurer falls below the minimum amount set forth in subsection (a) of this section.
(d) Financial statements submitted to qualify group members pursuant to subsection (a) must be prepared according to Generally Accepted Accounting Principles (GAAP). If approved by the Manager and documented in the financial statement or schedules and notes accompanying the financial statement, the following may be accepted as meeting requirements:
(1) If documented in a written report from an independent real estate appraiser acceptable to the Manager and valued no more than 60 days before submission to the Manager, up to 75% of the fair market value of real property of the audit subject, as opposed to the purchase price of the real property when acquired, may be counted as a part of the audit subject's net worth;
(2) If documented in the financial statement, up to 50% of a corporate owner/officer's payroll may be considered as earnings rather than liabilities.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5, 3702, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15473. Homogeneity of Group Members.
Note     •     History

(a) Each private group self insurer shall demonstrate and maintain homogeneity of its group members by one of the following methods:
(1) Each group member shall share the same, predominant three-digit North American Industry Classification System (NAICS) Code; or
(2) Each group member shall share the same governing class code as established by the Workers' Compensation Insurance Rating Bureau (WCIRB) definition. 
(b) In addition to the methods for demonstrating homogeneity indicated in subsections (a)(1) and (a)(2), applicants may demonstrate homogeneity for the purposes of eligibility for group self insurance if one of the following occurs:
(1) The group self insurer demonstrates to the Manager's satisfaction that the risk exposures of an affiliate group member or applicant affiliate group member are comparable to those contemplated in the feasibility study of the group self insurer. 
(2) A group member shall be deemed as meeting homogeneity requirements if it is a wholly owned or majority owned subsidiary of a current group member that meets homogeneity requirements, its total payroll does not exceed the total payroll of that current member, and no more than 25% of the combined payroll of the existing member and the proposed group members' payroll fails to meet homogeneity requirements as set forth in subsection (a).
(3) The group self insurer demonstrates to the Manager's satisfaction that no less than 75% of payroll for each affiliate group self insurer or applicant affiliate group self insure is distributed among two shared industry-specific workers' compensation payroll classifications as established by the California Workers' Compensation Insurance Rating Bureau, and WCIRB insurance rates for those classifications are within 10% of each other. 
(c) The Manager may require the group applicant or group self insurer to present additional information or documentation to verify that any or all group members or prospective group members meet the requirements of subsections (a) or (b).
(d) A group self insurer shall not modify its homogeneity underwriting requirements in any way unless it first obtains written approval from the Manager. In order to obtain approval from the Manager, the group self insurer must submit a written feasibility study and a draft of amended group self insurer's bylaws to the Manager no less than 30 days before the date of the change requested, addressing the following:
(1) The feasibility study must include:

(A) 	The reasons for the group self insurer's proposed modification of its homogeneity requirements;
(B) The proposed underwriting requirements for group self insurer membership; 
(C) A demonstration that the risk exposures contemplated in the proposed modification are comparable, can reasonably be expected to develop comparable loss experience, and meet the requirements of subsections (a) or (b) of this section;
(D) A statement that the excess insurance carrier or carriers for the group self insurer approve of the modification;
(E) A statement by the Board of Trustees of the group self insurer in support of the modification;
(F) A plan for communication to all group members of the group self insurer describing the proposed modification of homogeneity requirements.
(2) The group self insurer's amended bylaws shall ensure that:

(A) 	No member of the group self insurer shall be penalized in any way for terminating membership in the group self insurer because of the change in homogeneity requirements;
(B) The modification to homogeneity requirements shall not disqualify any existing group member of the group self insurer that qualifies for membership before the modification of homogeneity requirements.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15474. Reporting Periods.
Note     •     History

Regardless of the date that self insurance begins or the term of the program year of a group self insurer, the group self insurer shall file a Self Insurer's Annual Report by March 1 of each year as required by Section 15251. While the filing of the group self insurer's first Self Insurer's Annual Report may be for a period shorter than a year, the duration of the initial program year of the group self insurer, may be shorter or longer than twelve months.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15475. Board of Trustees.
Note     •     History

(a) Each group self insurer shall have a Board of Trustees that is responsible for all operations of the group self insurer.
(b) Each trustee on the Board of Trustees shall be elected by the group members or, if each group member has a seat on the Board of Trustees, the trustee may be appointed by the group members. At least two-thirds of the trustees shall be employees or officers of the group members. No service provider, director, officer, or employee of a service provider, or person with a direct or indirect management or financial interest in a service provider of the group self insurer shall serve as a voting member of the Board of Trustees of the group self insurer. The Group Administrator may be a non-voting member of the Board of Trustees but shall not vote on any matters before the Board. Service providers of the group self insurer include, but are not limited to, all service providers described in Section 15475.1 of these regulations.
(c) The duties of the Board of Trustees shall include the responsibility to approve or deny the request of any proposed member to join the group self insurer, subject to subsequent application and approval of the proposed group self insurer member by the Director of Industrial Relations.
(d) The Board of Trustees shall take all necessary precautions to protect the assets of the group self insurer, including all of the following:
(1) Designate a “Group Administrator” to administer the financial affairs and normal day-to-day operations of the group self insurer and ensure that there are no conflicts of interest or potential conflicts of interest involving the Board of Trustees, the Group Administrator, or any service providers utilized by the group self insurer, as provided by Section 15475.1;
The group administrator shall not be an owner, operator or employee of any member of the group self insurer or of the third party administrator handling the claims of the group self insurer.
(2) Obtain fidelity coverage in an amount determined by the Board of Trustees to be sufficient to ensure the integrity of affiliate group member or group funds handled by the Trustees and employees of the group self insurer, and obtain errors and omissions insurance coverage sufficient to protect its interests. Evidence of such bond shall be provided to the Chief upon request. The Group Administrator shall obtain and maintain fidelity insurance sufficient to cover funds handled for the group self insurer and errors and omissions insurance coverage sufficient to protect the group self insurer's and its members' interests.
(3) Contract with a third party claims administrator to work directly for the Board of Trustees to administer in California the workers' compensation claims of the group self insurer and require the third party claims administrator to carry fidelity insurance naming the group self insurer as beneficiary that is sufficient to protect the funds handled, and to carry errors and omissions insurance naming the group self insurer as beneficiary that is sufficient to protect against errors and omissions made in the claims handled.
(4) Manage disbursements for the payment of expenses of handling claims, administrative expenses, posting of security deposit, and other expenses necessary for operating the group self insurer;
(5) Appoint a financial institution and establish necessary accounts in California to handle the fiscal needs of the group self insurer and adopt a board resolution authorizing signature authority for each account;
(6) Immediately after the December 31 close of each reporting year, obtain an annual audit of the financial accounts and records of the each group self insurer by an independent, certified public accountant. The Group Administrator may not serve as the independent certified public accountant for the private group self insurer.
(7) Contract with an actuary that meets the requirements of Section 15481, subdivisions (a)(3) and (4) to conduct an annual actuarial review of the group self insurer's claims and produce a written actuarial study that projects ultimate liabilities of the group self insurer by program year at the undiscounted expected actuarial confidence level also commonly known as the undiscounted `actuarial central estimate', inclusive of incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), and unallocated loss adjustment expense (ULAE) to ensure that all claims and associated costs are recognized; 
(8) Ensure that contributions are collected for each program year based upon projected losses calculated at the undiscounted expected actuarial confidence level, inclusive of incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), and unallocated loss adjustment expense (ULAE), that all group members pay their requisite shares of the group self insurer's expenses, and that all group self insurer funds, including funds not immediately needed for the payment of current liabilities of the group self insurer, are handled pursuant to Section 15475.2 and/or invested pursuant to Section 15475.3. If factors reflecting loss histories such as experience modification calculations are utilized to modify group self insurer or individual member contributions, the contributions for the funding of group self insurer claims for the program year shall nonetheless be calculated at the undiscounted expected actuarial confidence level, inclusive of incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), and unallocated loss adjustment expense (ULAE) net of specific excess insurance coverage. The Board shall ensure that credit for contributions due to the group self insurer shall not be extended to any group member nor applied toward the delinquent contributions of another member. 
(9) Ensure that funds collected from group members shall not be used for any purpose not directly related to the payment of compensation liabilities of the group self insurer, posting of security deposit, payment of assessments and penalties as a group self insurer or the reasonable expenses of operation of the group self insurer.  Excess moneys not needed for current operation of the group self insurer may be invested by the Board of Trustees, at its discretion, only as provided by Section 15475.3 of these regulations. 
(10) Hold meetings no less frequently than annually to adopt a budget for the upcoming year, approve contribution rates, and review the investment portfolio for compliance with these regulations;
(11) Ensure that the Group Administrator immediately reports to the Chief, in writing, any information that indicates the private group self insurer is no longer in compliance with statutory or regulatory requirements of the workers' compensation self insurance program or of any instance wherein the group self insurer terminates an affiliate group self insurer's group membership for cause. 
(e) If specifically authorized in the group self insurer's bylaws, the Board of Trustees may delegate specific functions to the Group Administrator of the private group self insurer, including, but not limited to:
(1) Contracting with one or more third party claims administrators for handling of claims;
(2) Calculating the annual contribution rates to or other means of cost sharing to be charged each group member;
(3) Investing funds subject to Section 15475.3 of these regulations and any restrictions adopted by the Board of Trustees in addition to those contained in subsection (d);
(4) Reviewing and accepting applications from prospective members to the group self insurer and advising the Board if the prospective members do not fully meet the underwriting criteria for group membership; 
(5) Executing the Agreements of Assumption and Guarantee For Group Members and the Indemnity Agreement on behalf of the group self insurer;
(6) Establishing accounts in California financial institutions and accounting procedures for controlling funds and ensuring accurate financial reporting with the financial institutions selected by the Board of Trustees.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3700.1, 3701, 3701.5, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
3. Amendment of subsections (d)(2), (d)(7)-(8) and (d)(11) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15475.1. Separation Among Service Providers.
Note     •     History

(a) No claims administrator or employee, officer, or director of a claims administrator shall be an employee, officer or director of, or have a direct or indirect management or financial interest in either the Group Administrator or an affiliate member of the private group self insurer, nor shall any owner or employee of the Group Administrator or affiliate member of the private group self insurer be an owner, employee, officer or director of, or have a direct or indirect management or financial interest in the claims administrator.
(b) No Group Administrator, claims administrator, or insurance broker or employee, officer, or director thereof, shall serve as the certified public accountant for any group self insurer for which it provides services as a Group Administrator, claims administrator or insurance broker, respectively, nor shall any owner or employee of an affiliate group member of group self insurer serve as the certified public accountant for the group self insurer.
(c) No insurance broker of a group self insurer, or employee, officer, or director of such insurance broker with a direct or indirect management or financial interest in the group self insurer's claims administrator shall be an employee, officer or director of, or have a direct or indirect management or financial interest in the Group Administrator of the same group self insurer unless the Group Administrator notifies the group self insurer in writing of its relationship, and in no event shall the group self insurer be required by the Group Administrator to utilize the Group Administrator as broker.
(d) No actuary of a private self insured group preparing a written actuarial report pursuant to Section 15475(d)(7) shall be an employee, officer or director of, or have a direct or indirect management or financial interest in the Group Administrator of the same private self insured group unless the Group Administrator notifies the group self insurer and the Manager in writing of its relationship; notwithstanding this subsection, the Manager at his or her discretion may require that a written actuarial report pursuant to Section 15475(d)(7) be prepared at the expense of the group self insurer by an independent actuary with no relationship to the group administrator.
(e) No claims bill reviewer of a group self insurer shall be an employee, officer, or director of, or have a direct or indirect management or financial interest in, the Group Administrator of the group self insurer unless the Group Administrator notifies the group self insurer and the Manager in writing of its relationship. In no event shall the group self insurer be required by the Group Administrator to utilize services of the claims bill reviewer in which the Group Administrator has a direct or indirect interest.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3700, 3700.1, 3701, 3701.5, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15475.2. Restriction on Use of Funds.
Note     •     History

(a) The group self insurer, its trustees, group members, Group Administrator, claims administrator, or other agents or vendors of the group self insurer shall not utilize funds collected from group members or from other parties conducting business with the group self insurer, and/or funds earned by the group through investments for any purpose not directly related to the payment of claims, the payment of fees related to funding the group, including the posting of a security deposit, penalties, excess insurance premiums, or for any other reasonable obligations or costs of operation of the group self insurer as determined and authorized by the Board, including the refunding of surplus funds authorized pursuant to Section 15477.
(b) The group self insurer shall not lend any money to any trustee, core member or affiliate member of the private group self insurer, or to the Group Administrator, the claims administrator, and/or any other agent, vendor, or service provider. The group self insurer shall not lend or issue any debt instruments incur other encumbrances or obligations, or extend credit to any group member for the payment of contributions or assessments. Notwithstanding this section, the group self insurer may:
(1) permit fixed installment plans not to exceed ten (10) months to collect contributions for the payment of current group members;
(2) permit fixed installment plans approved by the Manager for the payment of special assessments to make up a funding insufficiency pursuant to Section 15477.
(c) Funds of the private group self insurer shall not be commingled with the funds or assets of any group member or any other group self insurer.
(d) Once surplus funds have been declared, such surplus funds of the private group self insurer shall not be commingled in the checking account(s) established for the payment of and administration of current liabilities of group member claims, assessments, and other expenses of the group self insurer's operation.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3700, 3701, 3701.5, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15475.3. Investment of Funds.
Note     •     History

(a) Subject to the limitations set forth in Section 15475.2, the Board of Trustees of a group self insurer may invest excess funds not immediately needed for the payment of the group insurer's liabilities in any of the following:
(1) United States Treasury Bills, Notes, and Bonds for which the full faith and credit of the United States are pledged for the payment of interest and principal. 
(2) Federal agency or United States government-sponsored enterprise obligations, participations, or other instruments, including those issued by or fully guaranteed as to principal and interest by federal agencies or United States government sponsored enterprises.
(3) Certificates of Deposit that are FDIC or NCUA insured or collateralized by the issuing institution. Investments in eligible certificates of deposit shall have a maximum maturity of two years, and shall not exceed 15% of the total portfolio as measured at the date of purchase.
(4) Money market accounts and savings accounts offered by financial institutions whose deposits are insured by a federal agency. Such deposit accounts in financial institutions shall be limited to offices or branches of the financial institutions located in the State of California. Should the amount deposited in any single account exceed the federally insured amount for any one account, the financial institution shall also meet the credit rating requirements as set forth in Section 15215(e).
(5) Bonds, notes, warrants, or other evidence of indebtedness of any local agency or State agency within the United States of America, including bonds payable solely out of the revenues from a revenue-producing property owned, controlled, or operated by the State or local agency, or by the department, board, agency, or authority of the State or local agency, provided the credit worthiness of the security meets the same requirements of securities posted with the Director as security deposit in Section 15213(a)(1). 
(b) In addition to investments made pursuant to subsections (a)(1) through (a)(2) of this section, but only if invested through the services of a registered investment advisor, the Board of Trustees of a private group self insurer may invest excess funds not immediately needed for the payment of group liabilities in any of the following:
(1) Prime Bankers' Acceptances of the 50 largest global banks.
(2) Commercial Paper rated A1/P1/F1 by a nationally recognized statistical rating organization. Investments in eligible commercial paper shall have a maximum maturity of 270 days or less, and shall not exceed 25% of the total portfolio as measured at the date of purchase.
(3) Medium-term notes, defined as all corporate and depository institution debt securities with a maximum remaining maturity of five years or less, issued by corporations organized and operating within the United States or by depository institutions licensed by the United States or any state and operating within the United States. Investments in eligible medium-term notes shall be rated “A” or better by a nationally recognized statistical rating organization, shall not exceed 30% of the total portfolio as measured at the date of purchase, and shall have a maximum remaining maturity not to exceed 10 years. 
(4) Preferred stock issued by any solvent American institution registered as provided by the Securities and Exchange Act of 1934 (15 U.S.C. 78a-78kk); preferred stock shall not exceed 10% of the total portfolio as measured at the date of purchase.
(5) Bond Funds regulated by the Securities and Exchange Commission, and rated AA or better by a nationally recognized statistical rating organization.
(6) The maximum percentage of a self insured group's portfolio that may be invested in equities securities is thirty percent (30%). In the event the investment in equity securities exceeds 30% of the group self insurer's portfolio, the group shall re-balance the portfolio in order to comply with this section.
(c) The Board of Trustees, whether through its registered investment advisor or not, shall not participate in “short selling” (a sale of a security not owned by the seller; a technique used to take advantage of an anticipated decline in price or to protect a profit), or “margin transactions” (purchase of a security on credit after a margin has been deposited).
(d) The Board of Trustees shall not invest in any of the following assets:
(1) Commodities or Futures Contracts;
(2) Investment in stock not listed on an exchange or sold to the public;
(3) Stock options;
(4) Limited partnerships.
(e) With the exception of United States Treasury Bills, Notes and Bonds, and United States government agency or government sponsored enterprise obligations, the maximum percentage of the group self-insurer's portfolio that may be invested in a single issuer or single mortgage-related security is 5%.
(f) The weighted average portfolio maturity may not exceed five years.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3700, 3701, 3701.5, 3702.1, 3702.2 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15476. Advance Contribution Discounts.
Note     •     History

The Board of Trustees of a group self insurer using a contribution plan shall not authorize discounts to any member.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15477. Surplus or Insufficient Funding.
Note     •     History

(a) The Board of Trustees of a group self insurer shall not declare that surplus contributions collected in excess of the amount necessary to fund all obligations for any given program year will be refunded to group members unless the group self insurer's most recent annual certified, independently audited financial statement indicates that the group self insurer's assets exceed its liabilities and unless the group self insurer's current actuarial report indicates a surplus of group funds for each program year as indicated in subsections (a)(1) and (a)(2) below. 
(1) The group self insurer may transfer excess funds to an escrow account at any time, but shall not declare surplus fund amounts or distribute any surplus funds to group members for any given program year sooner than 23 months after the close of the program year without express written consent from the Chief. Any such disbursements made without written consent from the Chief, including any subsequent disbursements from the same program year or disbursements from a subsequent program year, shall only be from a program year that remains funded at the undiscounted expected actuarial confidence level including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) net of specific excess insurance coverage for the remaining claims in that program year as stated in the most recent annual actuarial report calculated pursuant to Section 15481 of these regulations. Approval from the Chief is not required as long as the group self insurer's current actuarial report and current financial statement support the determination of the surplus amount, and as long as claim funding for each program year meets or exceeds the undiscounted expected actuarial confidence level amounts including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) net of specific excess insurance coverage. 
(2) Notwithstanding subsection (a)(1) of this section, the group self insurer may request the Chief to allow that funds be released sooner than 23 months after the end of a program year and/or that the determination of a program year's surplus be based upon the actuarial study conducted with a confidence factor of less than at the undiscounted expected level including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) net of specific excess insurance coverage, and the Chief may allow such a release of surplus funds upon a showing of good cause by the group self insurer. The Chief may require that a special audit be conducted, an independent actuarial study be completed at the group self insurer's expense, and/or other documentation be submitted to support the request from the group self insurer. In no event shall surplus funds be distributed sooner than 23 months after the completion of a program year without express written consent of the Chief. 
(3) No reduction in contribution rates for group members shall be authorized unless supported by an actuarial study less than one year old conducted pursuant to Section 15481 of these regulations.
(b) If at the end of any program year member funds collected and investment income associated with any program year are insufficient to completely fund all estimated future claim liabilities and expenses at the required confidence level for any program year, unfunded amounts by program year shall be immediately reported to the Chief, along with a proposed plan to achieve correction of the deficiency. Any plan to correct the deficiency shall be subject to approval by the Chief.  The plan may include, but is not limited to, any or all of the following:
(1) Reallocation of surplus group self insurer funds collected in other program years that are unnecessary for the payment of claims or expenses for the program year collected;
(2) Reallocation of investment earnings associated with other program years that are not necessary for the payment of claims or expenses in the program year in which the earnings are associated;
(3) One or more special assessments of all group self insurer members participating in the program year or years in which the deficiency exists to make up the funding insufficiency;
(4) Re-evaluation of past group member contribution rates and the projected plan for future contributions from members to properly collect past rating shortfalls, and/or a revised current and future contribution rating plan for group members for any period of time necessary to correct past and present rate inequities.
(5) Prohibition of the addition of new members into the group; suspension of any distribution of over-collected contributions or assessments and any earnings on investments; or, the immediate collection of all assessments or any portion of such assessments until the group self insurer is deemed by the Chief to be adequately capitalized in accordance with this section;
(6) An examination and restructuring of the group self insurer's operations, contracts with vendors, and finances by an outside qualified professional acceptable to the Chief;
(7) Any other action the Chief may determine appropriate to promptly correct the group's funding deficiency.
(c) If the plan to achieve prompt correction of the funding deficiency for all claims is not approved by the Chief, the Chief may order the Board of Trustees of the group self insurer to show good cause before the Director why it should not be ordered by the Director to (1) immediately assess the group members for the full amount of the funding deficiency and/or (2) order that any surplus funds distributed to group members during the previous twelve calendar months from the date of discovery of the funding deficiency by the group self insurer be immediately returned to the group self insurer; and/or (3) why the Director should not order the appointment of a conservator or liquidator for the group self insurer.
(d) If the Director determines that actions specified in subsections (b) and (c) of this section will not achieve full funding of all claim liabilities for the group self insurer, the Director may in his or her discretion order that an outside conservator or liquidator, including the Self Insurer's Security Fund, be appointed at the expense of the group self insurer to manage the financial affairs of the group self insurer and to take whatever steps may be necessary in order to return a financially troubled group self insurer to full financial solvency or to liquidate the group's liabilities.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
3. Amendment of subsections (a)(1)-(2), (b) and (b)(5)-(c) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15478. Excess Insurance.
Note     •     History

(a) Each group self insurer shall have and maintain in full force one or more specific excess workers' compensation insurance policies issued by an admitted casualty insurance carrier or carriers authorized to transact such business in the State of California by the California Department of Insurance.  The specific excess policy shall not have a retention level above $500,000 nor an upper limit of less than twenty-five million dollars ($25,000,000) without express written consent of the Manager pursuant to subsection (b). The policy may not lapse, be canceled or otherwise terminated without prior written notice to the Manager and the group self insurer no later than 30 days prior to the date of cancellation or termination by the carrier. On the policy issuance date and on any subsequent renewal date of the policy, the excess carrier or its parent company shall have an adjusted policyholders' surplus of no less than twenty-five million dollars ($25,000,000) and an acceptable credit rating as set forth below: 
(1) Standard and Poor's Insurer Financial Strength Rating of A or better rating, or 
(2) A.M. Best Company, Financial Strength Rating of B+ or better rating.
If the group self insurer's specific excess carrier's credit rating falls below a B rating as rated by either rating agency specified in subsections (a)(1) or (a)(2), the group self insurer shall replace the policy or obtain new coverage for the remainder of the unused prior policy period and for future coverage through a specific excess carrier that meets the requirements of this section.
(b) Each private group self insurer seeking to maintain a specific excess policy with a retention level above $500,000 or an upper limit of less than twenty-five million dollars ($25,000,000) shall first demonstrate in writing to the satisfaction of the Manager through its audited financial statement(s) and a current written actuarial report or portion thereof specifically demonstrating that the group self insurer has the financial strength to assume a retention level above $500,000 per occurrence and/or an upper limit of the policy of less than twenty-five million dollars ($25,000,000). The Manager may consider the group self insurer's financial reports, actuarial reports, spread of risk, its level of contributions and/or assessments, current membership size, loss prevention program, any aggregate stop loss insurance policy in place, and/or other factors the requesting group wishes to have the Manager consider in making his or her determination on the request to grant the group self insurer permission to carry specific excess insurance above the $500,000 per occurrence level. The group self insurer shall maintain specific excess coverage with a minimum $500,000 self insurer's retention and an upper limit of the policy of no less than twenty-five million dollars ($25,000,000), unless written consent from the Manager for a higher retention level and/or upper limit of less than twenty-five million dollars ($25,000,000) is obtained. In no event shall the group self insurer's retention level be greater than $1,000,000 per occurrence.
(c) Any private group self insurer may have and maintain in full force an aggregate excess workers' compensation insurance policy. As set forth in Section 15210.3 of these regulations, no security deposit credit will be allowed for aggregate excess coverage.
(d) If the Director orders the Self Insurer's Security Fund to assume the liabilities of the group self insurer pursuant to Labor Code Section 3701.5, the specific excess carrier or aggregate excess carrier shall make all payments due directly to the Security Fund as would have been made by the excess carrier to the group self insurer after the retention level of the policy had been reached. 
(e) The group self insurer or any affiliate member of the group self insurer shall not own or have controlling ownership in the specific excess carrier that issues the specific excess policy. Any known direct ownership in the specific excess carrier or carriers by any current or proposed service providers, including the Group Administrator, shall be disclosed in writing to the group's Board of Trustees along with the price quoted for the policy or policies. No group self insurer or member of a group self insurer shall function as a re-insurer of any specific excess insurance policy or policies issued to a group self insurer or renewed by a group self insurer. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5, 3702.10 and 3744, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section and Note filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
3. Amendment of subsection (b) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§15479. Indemnity Agreement and Power of Attorney.
Note     •     History

(a) Each member of a group self insurer shall execute an indemnity agreement and power of attorney that shall be on either a Form A4-8 (Rev 1/94), Indemnity Agreement and Power of Attorney or another form of an Indemnity Agreement and Power of Attorney which shall be subject to the approval of the Manager.
(b) The Indemnity Agreement and Power of Attorney shall contain, in substance, the following provisions:
(1) An agreement under which each member of a group self insurer agrees to assume and discharge, jointly and severally, any compensation liability under Labor Code Section 3700-3705 of any and all other employers that are parties to the group self insurer indemnity agreement; 
(2) The agreement provides that, in addition to the rights of the group self insurer to enforce the indemnity agreement in the event of a failure of the group self insurer to enforce such rights after reasonable notice to the group self insurer, the Director of Industrial Relations independently shall have the right to enforce the indemnity agreement on behalf of the group self insurer including the joint and several liability of group members for payment of all compensation liabilities under the indemnity agreement and the liability of group members for any unpaid contributions and assessments;
(3) Provisions requiring that the Board of Trustees of the group self insurer designate and appoint a Group Administrator empowered to accept the service of process on behalf of the group members and authorized to act for and bind the group self insurer and all group members in all transactions relating to or arising out of the operation of the group self insurer;
(4) Provisions for the right of the Director of Industrial Relations to substitute an outside Conservator for the Group Administrator; 
(5) A provision granting full power of attorney and signature authority to the Group Administrator of the group self insurer to execute documents, enter contracts, accept service of process on behalf of the group self insurer, and conduct the general business of the group self insurer, and, that said signature of the Group Administrator shall bind each and every group member jointly and severally.

Note: A copy of Form A4-8 (Rev 1/94), Indemnity Agreement and Power of Attorney is available from the Manager and is available at http://sip.dir.ca.gov/ and is contained in the Appendix following Article 12 of Chapter 8, Subchapter 2.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5, 3702, 3702.1, 3702.2, 3702.3, 3702.5, 3702.7 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15480. Termination of Membership in a Group Self Insurer.
Note     •     History

(a) No member of a group self insurer may be involuntarily canceled or terminated from group membership by the group self insurer unless at least 60 days advance written notice has been provided to the group member and to the Manager. Notice to a broker or other third party shall not be deemed as notice to the group member.
(b) In the case of cancellation or termination of coverage of a group member, whether voluntary or involuntary, the group self insurer shall remain liable for all compensation liabilities of the group member resulting from any claim with a date of injury during the period of membership in the group self insurer up to the effective date of the termination and revocation of the group member's Affiliate Certificate of Consent to Self Insure, including the 60 day notice period in the event of involuntary termination. The group member shall remain responsible for all contributions and assessments for the period of membership in the private group self insurer, including the 60 day notice period and/or any period during which the termination and revocation of the group member's Affiliate Certificate of Consent to Self Insure was under appeal.
(c) Notwithstanding subsection (b), the following provisions apply in the case of the cancellation or termination of membership of a member in a group self insured group, whether voluntary or involuntary:
(1) The group self insurer shall not incur liability for any claim of a member incurred on or after the date a member obtains coverage through a standard workers' compensation policy issued by an admitted carrier.
(2) Liabilities of a group member may be transferred pursuant to Labor Code Section 3702.8 and/or Article 8, Section 15360 of these regulations.
(d) Notice to the Manager of involuntary cancellation or termination of a group member from a group self insurer as set forth in subsection (a) shall be good cause for revocation of the Affiliate Certificate issued to the group member on the applicable effective date of the involuntary cancellation or termination date without issuance of further notice from the Manager.
(e) Any group member leaving a group self insurer shall provide proof of workers' compensation coverage to the Manager and to the group self insurer within 45 days after the notice of cancellation or termination. Notice to the Manager may be provided by the group self insurer, the Group Administrator, or the group member. However, if the group member no longer has employees in California, the group member or group self insurer shall notify the Manager and no proof of insurance need be provided. Unless the group member no longer has employees in California, the Manager shall notify the Labor Commissioner of any group member that voluntarily or involuntarily leaves a private group self insurer and has failed to provide proof of coverage for workers' compensation liabilities in the form of a binder or certificate of insurance within 45 days after the notice of cancellation or termination.
(f) Any member of a group self insurer may voluntarily withdraw from the group self insurer at the end of a program year after obtaining alternate coverage and providing written notice to the Group Administrator of its intent to voluntarily end its participation in the group self insurer. Notwithstanding this section, the group self insurer's bylaws may require periods of membership longer than one year and, except as specified by Section 15473(d)(2), may specify penalties, loss of any return of surplus funds, or other sanctions for early termination of group membership.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code.  Reference: Sections 3700, 3701, 3701.5, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15481. Actuarial Studies and Summaries.
Note     •     History

(a) The administrator for current and former Self-Insured Groups that are required to file a Self-Insurer's Annual Report shall cause a qualified actuary to submit on the group's behalf to the Office of Self Insurance Plans (OSIP) a complete actuarial study by program year of its historical loss development and actuarial summary not later than April 15 of each calendar year with a valuation date of December 31 of the immediately prior calendar year. The summary shall be prepared and submitted via an online platform provided by OSIP with a copy of the complete actuarial study attached.
(1) The analysis and results of the actuarial study shall be presented to the group self-insurer's Board of Trustees and made available in written form to the Board of Trustees and to any present or former group member requesting a copy. The study shall be presented to the Group Administrator and the Board of Trustees not later than March 31 following the end of the group self insurer's program year.
(2) In the absence of an actuarial study or summary for any Self-Insured Group that fully satisfies the criteria of this section received by the deadline set forth above, the Chief shall establish a security deposit amount on behalf of the group as the Chief determines appropriate based on consideration of all financial and loss information available to the Chief at the time. 
(3) The actuary performing and submitting the study and summary shall be an independent actuary with current experience in performing actuarial projections involving California workers' compensation claims, and shall be a member in good standing of the American Academy of Actuaries (MAAA), a Fellow of the Casualty Actuarial Society (FCAS), or a member of the Society of Actuaries who is qualified to sign a statement of actuarial opinion on loss reserves.
(4) The qualified actuary or his/her employing actuarial firm shall maintain a minimum of $1 million of professional liability and errors and omissions insurance coverage. Evidence of this coverage and limits must be submitted as a part of the actuarial study. 
(b) The actuarial study shall identify the group self insurer's losses at the undiscounted `expected level' also commonly known as the undiscounted `actuarial central estimate' including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) and case reserves. The expected losses shall be reported at both the gross and net amounts of excess insurance values. Included with the actuarial study shall be a separate page or pages with the following information for each program year reported on the Self Insurer's Annual Report:
(1) The amount of ultimate losses projected at the expected actuarial confidence level, inclusive of incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) in calculations for each of the program years covered by the annual report. The expected losses shall be reported at both the gross and net amounts of excess insurance values; 
(2) The amount of contributions collected from affiliate group members for each of the program years covered by the annual report; 
(3) The amount of any surplus funds distributed to affiliate group members for the program years covered by the annual report; and 
(4) The Board of Trustees shall ensure that contribution rates for the initial funding of claims for each program year shall be based on the actuarial projection at the expected level, including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) as provided by Section 15475(d)(8).
(c) The actuarial study shall reference and be based on the estimated future liabilities reported in the Private Self Insurer Annual Report filed by the group self insurer's Third Party Administrator(s).
(d) The actuarial study and summary shall clearly identify any excess coverage by carrier, policy year and self-insured retentions, by year.
(e) The actuary shall declare in the study and the summary that the study and report may be used by the State of California and the Self-Insurers' Security Fund to set appropriate collateral and deposit amounts, and for any other regulatory purpose under these regulations.
(f) The actuarial study and summary shall specify that it is prepared for use by the Department of Industrial Relations, Office of Self Insurance Plans and the Self Insurers' Security Fund. The Office of Self Insurance Plans and the Self Insurers' Security Fund may share the study and report with consultants retained by the Department of Industrial Relations or the Self Insurers' Security Fund for official purposes in accomplishing the purposes of these regulations.
(g) The actuarial study shall be prepared covering a one year calendar period from January 1 through December 31 of each year.
(h) The actuarial study must include all of and only the group self insurer's California self-insured liabilities for the master certificate holder and all affiliate or subsidiary certificate holders related to the master certificate.
(i) Failure by a group administrator to cause a timely actuarial study and summary to be submitted on the group's behalf shall constitute good cause grounds for revocation of the group self insurer's self-insurance Certificate.
(j) The Chief may accept or reject any actuarial study or summary that does not fully satisfy the criteria of this section and require a second study and summary by another qualified actuary that does fully satisfy the criteria of this section to the Chief be completed and submitted to OSIP at the self-insurer's expense. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3700, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 6-30-94; operative 6-30-94 (Register 94, No. 26).
2. Amendment of section heading and section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
3. Amendment of subsection (c) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
4. Amendment of section heading and repealer and new section filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15482. Private Group Application.
Note     •     History

(a) Each private group of employers desiring to procure a private group Certificate of Consent to Self Insure as provided in Section 15470 of these regulations shall submit to the Manager a complete Application For A Certificate Of Consent To Self Insure By A Group Of Employers for the group and a complete Application For An Affiliate Certificate Of Consent To Self Insure As A Member Of A Group Self Insurer for each of the initial core members of the group no less than 60 days before the requested effective date of self insurance. Applications shall be made on:
(1) Form A4-3 (Rev. 1/94) for a private group seeking a group Certificate of Consent to Self Insure;
(2) Form A4-3M (Rev. 1/94) for each member of a group seeking an Affiliate Certificate of Consent to Self Insure. The Application for an Affiliate Certificate of Consent to Self Insure shall be completed as provided in Section 15482.1 of these regulations.
(b) A complete application to self insure for a private group of employers shall be submitted with complete applications for each initial proposed core members of the group and shall include the attachments requested in the application form itself, and, as applicable, the following:
(1) A current financial statement, together with all schedules and notes, for each proposed initial core member. Qualifying financial information for a private group member or applicant may be included in the consolidated financial statement of its parent company or owner if the parent or owner executes an Agreement of Assumption and Guarantee of Workers' Compensation Liabilities pursuant to Section 15211.2 of these regulations. 
(2) A duly executed Resolution by the Board of Trustees of the group applicant authorizing execution of the application to become a group self insurer and empowering the Group Administrator and other employees, officers, or Trustees of the group self insurer applicant to sign the application form and other necessary documents on behalf of the group self insurer applicant;
(3) A duly executed Resolution by the Board of Trustees of the group self insurer applicant authorizing the execution of an Agreement of Assumption and Guarantee For Workers' Compensation Liabilities on behalf of the proposed group members and any future members of the group self insurer granted an Affiliate Certificate;
(4) An Agreement of Assumption and Guarantee of Workers' Compensation Liabilities For Group Members ((Form A4-3G (Rev. 1/94)) listing each initial proposed group member and executed by the applicant group self insurer as required in Section 15483 of these regulations;
(5) An original Certificate of Status from the California Secretary of State or other appropriate registration documents showing that the group applicant is appropriately licensed or registered to do business in California, with such documents dated within 90 days of the date of receipt of the application by the Manager;
(6) A written evaluation of the proposed qualifying core group members' injury and illness prevention programs or copy of a DOSH evaluation report as specified in Section 15486.1 of these regulations;
(7) An original, duly executed Indemnity Agreement and Power of Attorney of Joint and Several Liability between the group self insurer applicant and each proposed member pursuant to Section 15479 of these regulations.
(8) Payment of the required application fee(s) as required by Section 15491 of these regulations.
(9) A copy of the Initial Feasibility Study Report as required in Section 15471 of these regulations.
(10) A duly executed Agreement and Undertaking for Security Deposit as required by Section 15486.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.2, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15482.1. Private Group Member Application.
Note     •     History

(a) A complete group member application to self insure on a (Form A4-3M (Rev. 1/94)) by each member of a group self insurer shall include all the attachments requested in the application form itself, and, as applicable, the following:
(1) A current financial statement together with all schedules and notes if the applicant group member will be considered a core group member as defined in Section 15201(p) of these regulations. For applications for non-core members of a group self insurer that has qualified financially to self insure pursuant to Section 15472, no financial statement need be submitted with the application. However, the Board of Trustees, or the Group Administrator if authorized by the group bylaws, shall evaluate potential new members by reviewing their financial statements, tax returns, credit reports, or other appropriate documentation as specified in the bylaws of the group self insurer.
(2) A duly executed Resolution authorizing completion of the application to become self insured as a member of the group self insurer;
(3) A duly executed Indemnity Agreement and Power of Attorney (Form A4-8 (Rev. 1/94)), as required by Section 15479 of these regulations; 
(b) Notwithstanding subsection (a)(1), at the discretion of the Manager, an employer with projected contributions of 25% or more of the group self insurer's projected total contributions for the coming program year shall be required to submit a financial statement to the Manager. 
(c) A separate application shall be submitted for any new or separate subsidiary or affiliate of an affiliate group self insurer in order for it to be considered for consent to self insure.
(d) A new application may be required whenever an existing affiliate group self insurer reincorporates, merges, or otherwise changes ownership. 
NOTE

Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 3700, 3700(b), 3701, 3702, 3702.5 and 6401.7(a), Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15482.2. Interim Certificates to Group Members.
Note     •     History

(a) The Manager may issue an Interim Certificate of Consent to Self Insure to a new member of an existing private group self insurer upon receipt of a qualifying Request for Interim Certificate and the filing fee as provided in Section 15491(a)(3). The Interim Certificate of Consent to Self Insure will be issued for a period not to exceed 180 days. A Certificate of Consent to Self Insure to replace the Interim Certificate shall not be issued unless a completed application and accompanying documents required by Section 15482.1 and the application fee required by Section 15491 are submitted to the Manager within 180 days of the effective date of the Interim Certificate. However, the Manager may extend the Interim Certificate for an additional period of up to 90 days upon a showing of good cause by the Interim Self Insurer.
(b) To qualify for issuance of an Interim Certificate to its group members, the existing private group self insurer must demonstrate the following:
(1) The core members of the group self insurer must document that they meet the financial requirements as set forth in Section 15472(a); 
(2) The private group self insurer holding the Master Certificate of Consent to Self Insure must be a group self insurer in good standing, and shall not be prohibited from adding new members pursuant to Section 15477(b)(5).
(c) A Request for an Interim Certificate for Group Member (Form A 4-7 (11-08)) on behalf of the new group member shall be submitted by the Group Administrator to the Manager. The request shall be in writing and shall include the following information regarding the proposed new group member:
(1) The proposed group member's full legal name, state of incorporation, and Federal Tax Identification Number;
(2) The requested effective date of the Interim Certificate;
(3) The annual payroll of the proposed group member during the last 12-months through at least the last quarter, an estimate of the payroll for the next 12 month period, and an estimate of the proposed group member's annual group contributions to the group self insurer; 
(4) The proposed member's NAICS code, experience modification, and a description of the type of business it conducts.
(5) A signed statement from the Group Administrator certifying that the proposed group member meets the homogeneity and underwriting requirements of the group self insurer and that the group self insurer shall be financially responsible to pay all workers' compensation claims arising out of the period of time of the Interim Certificate. 
(d) Upon receipt of a written request for an Interim Certificate from a private group self insurer that meets the requirements of this section, the Manager shall issue the Interim Certificate within 14 days. If the request is incomplete or does not comply with this section, the Group Administrator for the group self insurer will be notified within 14 days of receipt of the request.
(e) Before an Interim Certificate may be replaced with a Certificate of Consent to Self Insure with no expiration date, the Interim Self Insurer must submit within 180 days of the effective date of the Interim Certificate of Consent a complete and accurate Application Form as provided in Section 15482.1.
(f) Each group member issued an Interim Certificate of Consent to Self Insure shall subject to the following provisions:
(1) If an Interim Certificate is revoked before the expiration date or allowed to expire without issuance of a permanent Affiliate Certificate of Consent to Self Insure pursuant to subsection (e), the Interim Certificate holder shall provide proof of workers' compensation insurance to the Manager and to the group self insurer no later than 60 days after the date of revocation by the department. The group self insurer shall remain liable for all compensation liabilities of the employer until the effective date of the insurance coverage, the expiration date of the Interim Certificate, or the 60th day any Notice of Intent to Revoke the Certificate issued by the Manager, whichever comes first. The employer shall remain liable for payment of contributions and assessments as required by the group self insurer for the employer's period of coverage as a member of the group self insurer.
(2) The Manager shall notify the Labor Commissioner if any employer granted membership in a private group self insurer under an Interim Certificate of Consent to Self Insure is subsequently denied an Affiliate Certificate of Consent to Self Insure by the Manager and after 45 days from such denial has not produced proof of coverage for workers' compensation liabilities to the Manager in the form of a binder, certificate of insurance or policy.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15483. Agreement of Assumption and Guarantee of Group Member's Liabilities.
Note     •     History

(a) Each group self insurer shall provide an Agreement of Assumption and Guarantee of Liabilities of Workers' Compensation Liabilities For Group Members for each group member, or a single Agreement of Assumption and Guarantee of Liabilities of Workers' Compensation Liabilities For Group Members listing all group members, executed by the group self insurer or Group Administrator on its behalf if authorized in the group self insurer's bylaws. If the group self insurer does not execute an Agreement of Assumption and Guarantee of Liabilities of Workers' Compensation Liabilities For Group Members for any proposed group member, the Director shall deny the application to self insure of the proposed group member, or, if an Interim Certificate of Consent to Self Insure has been issued to a group member and the group self insurer declines to execute an Agreement of Assumption and Guarantee of Liabilities of Workers' Compensation Liabilities For Group Members for that group member, it shall be cause for revocation of the Affiliate Certificate of Consent to Self Insure of the group member.
(b) In addition, each group member that is a subsidiary or affiliate or is otherwise controlled or owned by another entity shall provide an Agreement of Assumption and Guarantee of Liabilities executed by the holding company, ultimate parent company, controlling general partners, owner, or owners having controlling ownership as required for subsidiaries and affiliates of individual private self insurers by Section 15211.2 of these regulations. If the holding company, ultimate parent company, controlling general partnership, or owner having controlling ownership of the group member declines to execute an Agreement of Assumption and Guarantee of Liabilities, the Director may deny the application of the proposed group member. If a group member is acquired by another entity while the group member is self insured and that new holding company, ultimate parent company, controlling general partnership, or owner having controlling ownership declines to execute an Agreement of Assumption and Guarantee of Liabilities, it shall be deemed cause for revocation of the group member's Affiliate Certificate of Consent to Self Insure. 
(c) The Agreement of Assumption and Guarantee of Liabilities shall be written upon a form provided by the Manager (Form A4-3G (Rev. 1/94)). The form is available on the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3550, 3700, 3701, 3701.5, 3702, 3702.10 and 3705, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15484. Continuing Financial Capacity of Group Self Insurers.
Note     •     History

(a) Each group self insurer shall submit annually the group's un-audited financial statement to the Chief by March 1. The group self insurer shall obtain a current certified, independently audited financial statement complete with all notes and schedules. The financial statement shall be prepared according to Generally Accepted Auditing Principles (GAAP) and shall be submitted to the Chief by July 1 following the end of the program year. 
(b) The group self insurer's financial statement for each year shall include exhibits indicating specific amounts collected as group member contributions and earned from investments, as well as specific amounts for the year reported for the following administrative costs:
(1) Fees and commissions paid to the Group Administrator
(2) Commissions paid to brokers
(3) Fees paid to the third party administrator
(4) Premium paid for excess insurance
(5) Premium paid for fidelity and errors and omissions coverage
(6) Fees paid for surety bonds, letters of credit, or any other security deposit related cost
(7) Fees paid to actuaries
(8) Fees paid to accountants
(9) Regulatory costs
(10) Taxes
(11) Other expenses
(c) Each group self insurer shall ensure that group members maintain their suitability for group self insurer membership as follows:
(1) Annually obtaining current certified, independently audited financial statements or reviewed financial statements together with all schedules and notes showing that the core members of the group self insurer meet in aggregate the financial requirements provided in Section 15472(a) of these regulations;
(2) For each other group member, the group self insurer may annually determine the group member's suitability for membership in the group self insurer by review of a tax return, credit report, or other appropriate documentation as specified in the bylaws of the group self insurer.
(d) The Group Administrator shall submit to the Chief on request any financial documentation received pursuant to subsection (c), and shall advise the Chief of any group member not submitting its financial documentation to the group self insurer. 
(e) Each group self insurer shall demonstrate sufficient income from annual member contributions and/or assessments to fund:
(1) The group self insurer's medical and indemnity expenditures for the current year;
(2) The expected administrative expenses needed to meet the group self insurer's day to day obligations; and
(3) The continued posting of the required security deposit.
(f) The Group Administrator shall immediately advise the Chief in writing if the group self insurer's core members do not meet in aggregate the financial requirements set forth in Section 15472(a) of these regulations. 
(g) A group self insurer's solvency is presumed impaired if any of the following occurs: 
(1) There is a marked reduction in financial strength as evidenced by the findings in the annual audit by the independent certified public accountant;
(2) The group self insurer fails to submit a financial statement pursuant to subsection (a) of this section;
(3) The Group Administrator fails to submit documentation as provided by subsection (d) to substantiate that core members meet financial requirements as set forth in subsection (c)(1) and Section 15472(a);
(4) The contribution rates, rating plan, or contribution fails to generate enough funds to cover the costs of projected claims and administrative costs for the group self insurer as required by subsection (e) of this Section.
(h) Demonstration of impaired solvency of the group self insurer as described in subsection (g) of this section is good cause for increased security deposit or involuntary revocation of a Certificate of Consent to Self Insure, Interim Certificate of Consent to Self Insure, and/or Affiliate Certificate of Consent to Self Insure.
(i) The Group Administrator shall, on or before March 1st of each year, file with the Office of Self Insurance Plans the budget for the group's current year together with: 
(1) The rates of contribution from members in effect for the current year,
(2) Any deviation from these rates,
(3) All actuarial reports and other documents supporting the rates of contribution,
(4) All minutes of board of trustees meetings or other evidence of board of trustees action where rates of contributions from members were discussed or approved. 
(j) The Group Administrator shall file any changes in the rates of contribution from members with documents listed in subsection (i), (1) through (4) within 30 days of such change. 
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702 and 3702.10, Labor Code. 
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
2. Amendment of subsections (a), (e) and (g)(3), new subsections (i)-(j) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
3. Amendment of subsections (a), (d), (e)(1) and (f) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15485. Resolution to Authorize Self Insurance for a Group Self Insurer or Group Member.
Note     •     History

(a) The resolution to authorize self insurance of workers' compensation required as part of the application for a Certificate of Consent to Self Insure by any group member applicant shall be adopted by the board of directors of each corporation, the general partners of an applicant partnership or joint venture, the managing member of a limited liability corporation, the owner of an applicant sole proprietorship, or the Board of Trustees of an applicant group self insurer. The resolution to authorize self insurance shall include the following:
(1) A statement identifying the applicant by corporate or other legal name, the state of registration, and the date that the resolution was adopted;
(2) Identification by title of appointed officers or other authorized employees who have the authority to sign the application, execute any and all documents required for the application and do subsequent acts as required to maintain self insurance approval.
(b) A group self insurer resolution shall be executed by the group self insurer applicant's Board of Trustees and included as part of the application. A model group self insurer resolution, is available at http://sip.dir.ca.gov/. 
(c) If a group member or group self insurer reincorporates, merges, or changes its identity, a new resolution shall be submitted to the Manager within 30 days to ratify the maintenance of the self insured's responsibility under the successor's identity. The Manager may extend the period of time for good cause. Good cause is determined within the sole discretion of the Manager.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.2, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15486. Agreement and Undertaking for Director to Utilize Security Deposit to Pay Benefits Due.
Note     •     History

(a) Each group self insurer applicant shall execute an Agreement and Undertaking For Security Deposit (Form A4-GAU (Rev. 1-94))as part of the application process.
(b) All security deposits shall be posted in accordance with the provisions of the Agreement and Undertaking, and shall permit the Director of Industrial Relations to order the security deposit to be utilized to pay benefits due pursuant to Labor Code Section 3701.5.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15486.1. Group Self Insurer Injury and Illness Prevention Program.
Note     •     History

(a) As part of the application process, a group self insurer applicant for a Certificate of Consent to Self Insure shall provide one of the following:
(1) A written independent evaluation of each core applicant employer's injury and illness prevention program as set forth in Labor Code Section 6401.7. The evaluation shall be completed by an independent, licensed, California Professional Engineer, a Certified Safety Professional certified by the Board of Certified Safety Professionals, and/or a Certified Industrial Hygienist. The evaluation preparer shall disclose to the Manager in the evaluation report if any of the following are true:
(A) The preparer or the preparer's firm has had any business dealings with the applicant group self insurer, any of the applicant members being evaluated, or any applicant member's owner over the two years preceding the evaluation;
(B) The preparer is or has been employed by the present or prior insurance carrier or insurance broker of any applicant member being evaluated at any time during the five years preceding the evaluation; or 
(C) The preparer or preparer's firm has been employed by the applicant or its parent in a safety and health or accident prevention capacity at any time during the two years preceding the evaluation.
(2) A copy of a written report of inspection and evaluation of the core applicant employer's injury and illness prevention program conducted by the Division of Occupational Safety and Health (DOSH) pursuant to Labor Code Sections 6314.5. The Division of Occupational Safety and Health inspection shall have been conducted within 120 days of the date of the application to become self insured.
(b) An evaluation report conducted pursuant to subsection (a) that shows the applicant member for a Certificate of Consent to Self Insure to be without an effective injury and illness prevention program shall be good cause for denial of the group member application for self insurance without prejudice to reapplication at a later date when the employer has submitted an evaluation report showing the applicant member to have an effective injury and illness prevention program.
(c) The applicant core group member must abate all serious violations found in any report prepared as provided by this section. Written verification of abatement must be provided to the Office of Self Insurance Plans by the report preparer to document such abatement. Failure to document abatement of any serious violations shall be good cause for denial of the application.
(d) Each private group self insurer shall institute an effective injury and illness prevention program among its membership. Each new and existing member of the group self insurer shall adopt and maintain an effective injury and illness prevention program.
(e) The Board of Trustees shall direct the Group Administrator to ensure ongoing risk control and safety support to group members. Ongoing risk control and safety support shall be under the general direction of a California Professional Engineer, a Certified Safety Professional, and/or a Certified Industrial Hygienist. The California Professional Engineer, Certified Safety Professional, or Certified Industrial Hygienist shall report the impact of safety and risk control activities to the Board of Trustees no less frequently than annually, and shall solicit continuing support and direction from the Board of Trustees.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702, 3702.10, 6314.5, 6319 and 6401.7, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15487. Delayed Start-Up of a Group Self Insurer or Group Member Participation in Group Self Insurance.
Note     •     History

(a) The approval by the Director to grant a Certificate of Consent to Self Insure to a group self insurer and to any group member shall be initially valid for six months after the date of approval by the Director. If the group self insurer or any group member has not initiated its self insurance program within the initial six month period, the approval to grant the Certificate of Consent to Self Insure shall be void. If so, the group self insurer or group member shall not be issued a Certificate of Consent to Self Insure unless the applicant files a new application. 
(b) Notwithstanding subsection (a), the Manager may extend the approval for a new group self insurer or group member for an additional three months upon a showing of good cause.
(c) If a group self insurer applicant or group member applicant fails to initiate a self insurance program within three months of notification of approval by the Director, the Manager may require the applicant to provide updated loss information and may recalculate the required security deposit amount.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15488. Initial Issuance of the Certificate of Consent to Self Insure and Notice to Employees of Self Insured Status.
Note     •     History

(a) No group self insurer applicant or affiliate group self insure applicant may commence self insurance until the applicant has posted the required security deposit with the Department of Industrial Relations through the Office of Self Insurance Plans and has submitted proof of specific excess insurance pursuant to Section 15478 of these regulations.
(b) The group member shall prominently display the original or a copy of the Certificate of Consent to Self Insure at the group member's place of business in California.
(c) Notice to employees of workers' compensation coverage as required by Labor Code Section 3550 shall be accomplished by display of a copy of the group member's Affiliate Certificate of Consent to Self Insure accompanied by a notice stating the name of the person(s) or administrative agency responsible for claims adjustment.
(d) If a private group self insurer or affiliate group member is required to provide evidence of its approved self insured status to prove compliance with Labor Code Section 3700, the Manager shall provide to the Group Administrator certification of self insurance to be distributed by the Group Administrator for this purpose One can determine whether an employer is self insured or not electronically at the website of the Office of Self Insurance Plans at http://sip.dir.ca.gov/. Beginning April 1, 2009, there is a ten dollar ($10) fee for signed certification of self insured status.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702, 3702.10 and 3550, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15489. Reporting Group Charter Amendments.
Note     •     History

The Group Administrator and/or Board of Trustees of any group self insurer shall notify the Manager in writing and provide copies of any amendment, change, or update to the group self insurer's charter, Articles of Incorporation, or bylaws, including changes to the group self insurer's underwriting criteria, or group operating agreement. Notification shall be made within 30 days of the change.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702, 3702.10 and 3550, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15489.1. Change in Status.
Note     •     History

(a) The group self insurer and/or group member shall notify the Manager in writing within 30 days of any of the following:
(1) Any amendment to an affiliate group member employer's charter, articles or agreement of incorporation, association, or co-partnership which changes its identity, business structure, or ownership in a material manner from the status as it existed at the time of issuance of its Certificate of Consent to Self Insure; 
(2) If the group self insurer or any group member proposes to cease doing business entirely, proposes to cease doing business in California, or proposes to dispose of, by sale or otherwise, the controlling interest of the business for which the Certificate of Consent to Self Insure or Affiliate Certificate of Consent to Self Insure was issued.
(b) If any group self insurer or group member desires to retain its self insured status following any amendment to the articles, charter, or agreement of incorporation, association, or co-partnership which changes its identity or business structure or ownership, the group self insurer or Group Administrator shall provide to the Manager the following information:
(1) A written description of the event(s) and the date it occurred;
(2) Copies of Certificates of Status or other appropriate registration documents filed with the Secretary of State in which the self insurer is incorporated concerning the change of the self insurer's status; and
(3) Written notice indicating that the group self insurer and/or group member will continue to provide financial statements or other financial documentation pursuant to Section 15484; 
(c) If a group self insurer or group member reincorporates, merges, or changes its identity, a new resolution shall be submitted to the Manager in accordance with Section 15485 of these regulations.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3702, 3702.3, 3702.10 and 3703, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15490. Validity of Certificate to Group Self Insurer or Group Member.
Note     •     History

(a) A Certificate of Consent to Self Insure shall be valid only to the private corporation, partnership, company, subsidiary, affiliate entity, limited liability corporation, group self insurer, or other group member to which the Certificate of Consent to Self Insure, Interim Certificate, or Affiliate Certificate of Consent to Self Insure was issued. No subsidiary or affiliate of an affiliate group self insurer shall be deemed self insured as a member of the group self insurer unless it has been issued an Interim Certificate of Consent to Self Insure pursuant to Section 15482.2 or has applied for and been approved for an Affiliate Certificate of Consent to Self Insure as a member of the group.
(b) Except as provided in Labor Code Section 3701.7, the Manager shall not issue a group member Interim or Affiliate Certificate of Consent to Self Insure with an effective date earlier than the date the approval of the group member by the Board of Directors of the group self insurer.
(c) Once the self insurance program of a group self insurer or a member of a group self insurer has been initiated after approval by the Director, the certificate issued shall be valid until revoked by order of the Director.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3701, 3701.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15490.1. Reinstatement of a Certificate or Affiliate Certificate of Consent to Self Insure.
Note     •     History

(a) A group self insurer or group member that because of a legal change in business or corporate structure or in its legal name has had its self insurance privilege terminated may have its Certificate of Consent to Self Insure reinstated without lapse, provided that the group self insurer or group member can re-qualify for self insurance.
(b) To request reinstatement of a Certificate or of an Affiliate Certificate of Consent to Self Insure following a change in status by the group self insurer or a group member, the group self insurer or Group Administrator shall submit to the Manager a written statement describing the nature of the change. The Manager may request any documents necessary to verify the change in status which the group self insurer or Group Administrator shall provide. The group self insurer also shall provide to the Manager a statement signed by the Group Administrator that the group self insurer's Assumption and Guarantee of all workers' compensation liabilities will include any additional self insured liabilities incurred after a group member's change in status, or, if indicated, a new Assumption and Guarantee Agreement regarding the affected group member. 
(c) Upon satisfactory compliance with subsection (b) the Manager may prepare and issue an order reflecting the change in status of the group self insurer and/or group members and reinstating its Certificate of Consent to Self Insure.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3702 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15491. Group Self Insurer and Group Member Application Filing Fees.
Note     •     History

(a) Each group self insurer and/or group member making application for a Certificate of Consent to Self Insure or requesting an Interim Certificate of Consent to Self Insure shall pay a non-refundable filing fee at the time of filing the application or requesting the Interim Certificate on the following basis:
(1) A filing fee to accompany a new group self insurer application shall be $1,000 for the group application and an additional $500 for each group member application submitted with the group self insurer's application;
(2) For each additional group member's application, the filing fee shall be $500 if no Interim Certificate has previously been issued to the applicant or $400 if an Interim Certificate has been issued and is in effect at the time the application is submitted;
(3) For each Request for an Interim Certificate submitted pursuant to Section 15482.1 of these regulations, the filing fee shall be $100.
(b) Any subsequent re-filing of an application by an existing group self insurer or group member following a merger, acquisition, or reincorporation shall be considered a new group self insurer or group member application and each such new filing shall be subject to a filing fee pursuant to subsections (a)(1) through (a)(3) of this section.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3702.5 and 3702.10, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15496. Group Self Insurer's Security Deposit.
Note     •     History

(a) Each group self insurer shall post and maintain a security deposit with the Director upon approval of its Certificate of Consent to Self Insure. The security deposit amount shall be in accordance with the provisions of this section, and, once a Self Insurer's Actuarial Study and Summary has been filed, no less than as determined pursuant to Labor Code Section 3701, calculated as the undiscounted expected actuarial confidence level including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) net of specific excess insurance coverage.
The required deposit may be increased at the Director's discretion as set forth in Article 3 of these regulations.
(b) Upon approval for a Certificate of Consent to Self Insure, the group self insurer, in the manner provided in subsection (e), shall post an initial security deposit in an amount no less than the greater of the following:
(1) The statutory minimum amount pursuant to Labor Code Section 3701(b);
(2) No less than 60% of one year ultimate losses based on the actuarial report submitted with the application for the group self insurer;
(3) A higher amount approved by the Director.
(c) If the group self insurer initially posts a security deposit of 60% of one year's projected ultimate losses in accordance with subsection (b)(2), the group self insurer shall ensure that the amount posted is no less than the undiscounted expected actuarial confidence level including each of the following components; incurred but not reported (IBNR) liabilities, Allocated loss adjustment expense (ALAE), Unallocated loss adjusted expense (ULAE) net of specific excess insurance coverage after one year of self insurance by increasing its security deposit by an amount no less than 25% of one year's projected ultimate losses in three equal installments. The installments shall be at intervals of 120 days or less, with the first installment being posted no later than 120 days after the effective date of self insurance.
(d) Notwithstanding subsection (c), each new affiliate member of the group self insurer issued an Interim Certificate or an Affiliate Certificate of Consent to Self Insure whose exposure was not contemplated in the calculation of the initial security deposit shall post an additional amount equal to an average year's incurred losses over the past three years as documented by the applicant's prior insurance carrier or, if the applicant is a new employer with no loss history, calculated based on one year's projected contributions. The increase in security deposit for the new affiliate group member shall be posted within 30 days of issuance of the Interim Certificate or Affiliate Certificate of Consent to Self Insure.
(e) The group self insurer's security deposit shall be posted in one of the following manners:
(1) A surety bond executed on State issued bond and rider forms pursuant to Section 15212 of these regulations;
(2) An irrevocable letter of credit issued by a bank, credit union, savings institution or other financial institution pursuant to Section 15215 of these regulations;
(3) Approved securities in the form of government issued or corporate issued securities, meeting the requirements of Section 15213 of these regulations;
(4) Cash in trust deposited pursuant to requirements of Section 15214 of these regulations; or
(5) Any combination of one or more of the methods described in subsections (g)(1) through (g)(4) of this section.
(f) Failure to maintain the required amount of security deposit or to post an acceptable form of deposit as set forth in this Article shall be good cause for assessment of civil penalties pursuant to Labor Code Section 3702.9(a) and/or revocation of the Certificate of Consent to Self Insure pursuant to Labor Code Section 3702, and Section 15423 of these regulations. 
(g) A group self insurer or group member requesting a hearing pursuant to Article 11 shall provide proof of workers' compensation coverage under a policy from an admitted carrier for the period of time without the required security deposit or deposit increase, or proof of compliance with the Chief's request to post security.
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.6, 3702.10, 3740, 3741, 3742, 3743, 3744 and 3745, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
2. Amendment of subsection (a), repealer of subsections (a)(1)-(3) and amendment of subsections (c) and (g) filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15497. Adjustments in the Amount of a Group Self Insurer's Security Deposit.
Note     •     History

(a) Each group self insurer's security deposit requirement pursuant to Labor Code Section 3701 shall be reviewed by the Chief at least annually following receipt of the private group's Self Insurer's actuarial study and summary. If following the receipt of the group self insurer's actuarial study and summary an increase in security deposit is required, the increase shall be calculated pursuant to Labor Code Section 3701 and Section 15496(a) of these regulations and shall be posted no later than 30 days from the date the written notice of security deposit demand is made.
(b) In addition to any increase in the security deposit pursuant to subsection (a), the Chief may require the group self insurer to post additional amounts pursuant to Section 15496 in the event that new affiliate members have been added to the group self insurer but have not yet reported a full year of losses, in the event of audit increases pursuant to Section 15301, or in the event of a change in the deposit rate pursuant to Sections 15497 or 15497.1.
(c) No group self insurer shall reduce its security deposit based on calculations pursuant to Section 15496(a) without prior written authorization from the Chief.
(d) For good cause, the Chief may require a group self insurer to increase its security deposit at any time. Good cause includes, but is not limited to, impairment of financial condition of the self insurer as determined by the Chief, increases in group membership, increases in losses as indicated in Self Insurer's Annual Report, increases in losses as indicated in the actuarial study and summary or by audit over losses projected in actuarial reports, or failure of the group self insurer to maintain total assets greater than its total liabilities.
(e) In the event that a security deposit increase is required and upon sending by the Chief to the group self insurer a letter demanding the increase, a perfected security interest in the group self insurer's assets to the extent of any unsecured portion of the group self insurer's incurred liabilities shall be created in favor of the Director pursuant to Labor Code Section 3701(j).
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 3700, 3701, 3701.5, 3701.7, 3701.8, 3702, 3702.3, 3702.6, 3702.10, 3740, 3741, 3742, 6319(f) and 6401.7, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
2. Amendment filed 12-31-2012 as an emergency; operative 1-1-2013 pursuant to Government Code section 11346.1(d) (Register 2013, No. 1). A Certificate of Compliance must be transmitted to OAL by 7-1-2013 or emergency language will be repealed by operation of law on the following day.
§15497.1. Security Deposit Adjustment upon Revocation of Group Self Insurer or Group Member Certificates.
Note     •     History

(a) In the event of the revocation of a Certificate of Consent to Self Insure of a group self insurer or Affiliate Certificate of Consent to Self Insure of a group member, whether voluntarily or involuntarily, the Manager shall determine the need for a special revocation audit of the claims of the group self insurer and/or group member and the need for a deposit adjustment to secure future liabilities of the revoked group self insurer pursuant to Labor Code Section 3701 and Sections 15301 and 15497 of these regulations.
(b) The amount of security deposit and/or the deposit rate required by the Manager in conjunction with the revocation of the group self insurer's Certificate of Consent to Self Insure may be at an amount or rate above the minimum required by Labor Code Section 3701. 
NOTE

Authority cited: Sections 54, 55, 3701.8 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3701.8, 3702, 3702.3, 3702.6, 3702.8 and 3744, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15498. Insurance Coverage.
Note     •     History

(a) Any group self insurer or group member shall be permitted to insure all or part of its liability to secure the payment of compensation pursuant to Labor Code Section 3700 by obtaining a standard workers' compensation insurance policy issued by an admitted carrier. Complete insurance coverage of a group member's workers' compensation liabilities under a standard workers' compensation insurance policy shall be good cause for revocation of the group member's Affiliate Certificate of Consent to Self Insure. Complete insurance coverage for all members of a group self insurer or a number of group members sufficient to reduce the size of the group self insurer to the extent that it no longer meets net worth and/or financial requirements to operate as a group self insurer shall be good cause for revocation of the group self insurer's Certificate of Consent to Self Insure.
(b) Each group self insurer shall provide the Manager with information regarding any standard workers' compensation insurance policies, specific excess workers' compensation insurance coverage, and/or any aggregate excess (stop loss) workers' compensation insurance coverage obtained for the group self insurer or any group.
(c) The Group Administrator of the group self insurer shall provide a Certificate of Insurance, a copy of the workers' compensation insurance policy or policies maintained by the group self insurer or its group members, including any binders or endorsements, and copies of insurer loss runs related to the group self insurer or any group member upon request of the Manager.
(d) A group self insurer that elects to purchase an aggregate excess policy shall not be given any credit or reductions in its security deposit requirement based on its aggregate excess coverage.
(e) A group self insurer or group member may sell off any or all of its workers' compensation liabilities through the purchase of a special excess workers' compensation insurance policy or policies pursuant to Labor Code Section 3702.8(c).
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3701, 3701.5, 3702, 3702.8, 3740, 3743 and 3744, Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15499. Allocation of the Security Deposit for a Group Self Insurer.
Note     •     History

(a) The liabilities of each member of a group self insurer for its period of self insurance shall be included within the security deposit of the group self insurer.
(b) Each security deposit posted by a group self insurer, regardless of type of deposit, shall be applicable to the liabilities of all members of the group self insurer and shall be amended, if necessary, to include all new members added to the group self insurer.
(c) No portion of the overall security deposit for a group self insurer may be allocated or limited to any specific affiliate or subsidiary under the Master Certificate of the group self insurer.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 129, 3700, 3700(b), 3701, 3702, 3702.5, 3702.6, 3702.8, 3703, 3704, 3705 and 3744, Labor Code; and Section 189, Corporations Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15499.5. Appeals of Increases in Security Deposits Based on Impaired Group Self Insurer Financial Condition.
Note     •     History

(a) In the event the Manager has required an increase in security deposit based upon the impaired financial status of the group self insurer, and if the group self insurer seeks to appeal the Manager's decision, upon receipt of the written appeal the Manager shall order a detailed, independent third party financial and/or actuarial evaluation of the group self insurer by a group self insurance risk and/or actuarial consultant in order to evaluate the group self insurer's financial status. The cost of the third party financial evaluation report shall be paid by the group self insurer. 
(b) Upon receipt of the evaluation report, the appeal will be considered by the Manager, and if not resolved between the Manager and the group self insurer, addressed pursuant to Labor Code Section 3701.5(g) and Article 11 of these regulations.
NOTE

Authority cited: Sections 54, 55 and 3702.10, Labor Code. Reference: Sections 3701 and 3701.5(g), Labor Code.
HISTORY

1. New section filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
Subchapter 2.05. Enforcement of Workers' Compensation Coverage, Penalty Assessment Orders, Stop Orders and Posting and Notice Requirements
Article 1. Delegation of Enforcement Authority
§15550. Delegation of Enforcement Authority.
Note     •     History

The Director of Industrial Relations delegates concurrent authority to enforce Labor Code Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727 to the Division of Labor Standards Enforcement.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code.
HISTORY

1. New Group 2.05 (Articles 1-15, Sections 15550-15596) filed 6-27-79; effective thirtieth day thereafter (Register 79, No. 26).
Article 2. Definitions
§15551. Direction to File Verified Statement.
Note

“Direction to File Verified Statement” means the notice sent pursuant to Labor Code Section 3722 to employers found by the Workers' Compensation Appeals Board not to have secured the payment of compensation.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15552. Director.
Note

“Director” means the Director of Industrial Relations or his designated agents or delegees.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15553. Division.
Note

“Division” means Division of Labor Standards Enforcement unless otherwise specified.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15554. Findings.
Note

“Findings” means Findings issued by the Division after a hearing on the objection to a Penalty Assessment Order or a Stop Order.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15555. Issue.
Note

“Issue” means to issue and serve a Stop Order, a Penalty Assessment Order or a Notice on the employer.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15556. Notice of Findings on Penalty Assessment Order or Stop Order.
Note

“Notice of Findings on Penalty Assessment Order or Stop Order” means the notice issued by the Division to an employer after a hearing on the objection to a Penalty Assessment Order or a Stop Order.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15557. Penalty Assessment Order.
Note

“Penalty Assessment Order” means an order issued by the Division to an employer requiring the payment of penalties as set forth in Labor Code Sections 3710.1, 3711 or 3722. 
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15558. Special Judgment.
Note

“Special Judgment” means the judgment entered by the clerk of the Superior Court pursuant to Labor Code Section 3726.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15559. Stop Order.
Note

“Stop Order” means an order issued by the Director pursuant to Labor Code Section 3710.1 to an employer prohibiting the use of employees' labor until the employer secures the payment of compensation as required by Labor Code Section 3700.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15560. Uninsured Employer.
Note

“Uninsured Employer” means any employer who has failed to secure the payment of compensation as required by Labor Code Section 3700.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 371, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15561. Verified Statement.
Note

“Verified Statement” means a written form sent by the Workers' Compensation Appeals Board to an employer upon which such employer is directed to indicate (under penalty of perjury) the number of employees in his employ on the date of injury and submit this statement to the Division.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15562. Verified Petition.
Note

“Verified Petition” means a written statement made and signed by an employer either (1) under oath taken before a notary public or other officer authorized to take affidavits and to administer oaths or (2) under a declaration stating in substance “I declare under penalty of perjury that the foregoing is true and correct” and further stating the date and place of execution. This petition is to be used by an employer who wishes to object to a Penalty Assessment Order and thereby request an administrative appeals.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 3. Investigation of Employer's Workers' Compensation Status
§15563. Access to Places of Labor.
Note

The Division, its deputies and agents shall have free access to information about workers' compensation coverage in all places of labor. The Division shall investigate any employer to determine whether he has secured the payment of workers' compensation as required by law.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15564. Inquiry into Workers' Compensation Status.
Note

The Division shall inquire of any employer the status of such employer's workers' compensation coverage pursuant to Section 3711 of the Labor Code.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15565. Posting Notice of Workers' Compensation Carrier.
Note

Each employer is required to post a notice of his workers' compensation carrier at his headquarters or branch office together with the date of the expiration of his policy and the telephone number of the nearest office of the Labor Commissioner so that employees may call to report expiration of such coverage (as required by Labor Code Section 3713). Failure to post such notice is a misdemeanor.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 4. Penalties
§15566. Assessment of Penalty.
Note

Insured employers shall be assessed penalties for the failure or refusal to furnish information concerning the status of their workers' compensation coverage. Uninsured employers shall be assessed penalties for the failure to secure the payment of workers' compensation coverage for their employees.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15567. Penalty Assessment Orders.
Note

Penalties shall be assessed by the issuance of Penalty Assessment Orders and shall be served as prescribed in these regulations.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15568. Types of Penalty Assessment.
Note

(a) Penalties in Non-Injury Cases. 
(1) A fifty ($50) dollar penalty shall be assessed against an insured employer who fails or refuses to make a written response as to the status of his workers' compensation insurance when directed to do so by the Division. 
(2) A one hundred ($100) dollar penalty shall be assessed an uninsured employer for each employee in his employ and not necessarily actually working at the time, a Stop Order is served upon him for failing to carry workers' compensation coverage on his employees. 
(b) Penalties in Injury Cases. 
(1) A one hundred ($100) dollar penalty per employee employed on the date of a claimed injury shall be assessed the employer where the Workers' Compensation Appeals Board finds (a) the employer was uninsured and (b) the injury was not compensable. 
(2) A five hundred ($500) dollar penalty per employee employed on the date of injury shall be assessed an employer where the Workers' Compensation Appeals Board finds (a) the employer was uninsured and (b) the injury was compensable.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15569. Maximum Penalties.
Note

The maximum penalties that may be assessed under Section 15568(a)(2) and Section 15568(b)(1) and (b)(2) shall not exceed ten thousand ($10,000) dollars.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15570. Number of Employees.
Note

(a) Uninsured Employers in Non-Injury Cases. When issuing a one hundred ($100) dollar Penalty Assessment Order against an uninsured employer, the number of employees employed by such employer, and not necessarily those actually working at the time, in non-injury cases shall be ascertained by the Division at the time the Stop Order is served. 
(b) Uninsured Employers in Injury Cases. 
(1) After the issuance of a final decision of the Workers' Compensation Appeals Board, the Appeals Board shall mail to the uninsured employer and the Division a copy of the final decision and notice of the provisions of Labor Code Sections 3710.1 and 3722 which require such employer to pay penalties of one hundred ($100) dollars per employee and five hundred ($500) dollars per employee in non-compensable and compensable cases, respectively. 
(2) In order to establish the number o employees, such employer shall submit to the Division within ten (10) days after service of the aforementioned documents by the Workers' Compensation Appeals Board, a verified statement of the number of employees in his employ on the date of injury. 
(3) If such employer fails to submit to the Division a verified statement indicating the number of employees employed or if the Division disputes the accuracy of such verified statement, on the date of injury the Division shall issue a Penalty Assessment Order using such information regarding the number of such employees as the Division may have or otherwise obtain. 
(4) Notice of the Penalty Assessment Order shall be mailed to the employer at his residence or usual place of business by registered or certified mail. 
(5) The employer to whom the assessment is directed may file within twenty (20) days after receipt thereof a verified petition in writing, objecting to the assessment and setting forth the grounds for his objection.
(6) If such employer does not file a petition with the Division within said twenty (20) days, such assessment shall become conclusive and the amount thereof shall be due and payable from the employer so assessed to the Division for deposit in the State Treasury to the credit of the Uninsured Employers Fund.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 5. Stop Order
§15571. When Issued.
Note

Where an employer is found to be without workers' compensation insurance as required by law, the Division shall issue and serve a Stop Order on such employer (1) prohibiting his use of employee labor until he acquires coverage and (2) requiring him to pay lost wages to his employees affected by the work stoppage, not exceeding ten (10) days' pay, pending compliance by such employer.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15571.5. When Effective.
Note

A Stop Order shall be effective immediately upon service and shall remain in effect during any appeal proceedings, unless and until the employer acquires workers' compensation coverage. 
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15572. Failure to Observe Stop Order Constitutes Misdemeanor.
Note

Such Stop Order shall inform the employer that failure to observe same constitutes a misdemeanor, and if the employer is convicted thereof, the court is required to impose a mandatory jail sentence in the county jail of not less than ten (10) days and a fine of not less than three hundred ($300) dollars.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15573. Injunctive Relief.
Note

Where an uninsured employer fails to comply with a Stop Order, the Division may seek injunctive relief from the courts.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 6. Contents of Orders, of Direction to File Verified Statement and of Verified Statement
§15574. Stop Order.
Note

The Stop Order issued and served on the uninsured employer pursuant to Labor Code Section 3710.1 shall contain the following information:
(a) The uninsured employer shall cease and desist the use of employee labor until he obtains the required workers' compensation coverage. 
(b) Such employer shall be assessed a penalty of one hundred ($100) dollars per employee employed at the time the Stop Order is issued and served for failure to have obtained workers' compensation. 
(c) The correct name and legal entity of the employer, the employer's address, the date, the time, the place of issuance, the signature and the name of the official who issues the Stop Order. 
(d) The appeal procedure for objecting to a Stop Order.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code.
§15575. Penalty Assessment Orders.
Note

(a) $50 Penalty Assessment Order. This order, issued pursuant to Labor Code Section 3711 shall contain the following information:
(1) The employer has failed to furnish a written statement to the Division stating the name of his workers' compensation insurance carrier.
(2) Failure to furnish such statement within ten (10) days constitutes prima facie evidence of the employer's neglect or failure to comply with the coverage requirements of the law.
(3) The employer, by virtue of the Order, is assessed a penalty of fifty ($50) dollars for such failure.
(4) The correct name and legal entity of the employer, the employer's address, the date, the place of issuance, the signature and the name of the official who issues the order.
(5) The appeal procedure for objecting to this penalty assessment order.
(6) The procedure used by the Division to obtain a judgment against the employer, should he fail to pay the assessment.
(b) $100 Non-Injury Penalty Assessment Order. The order, issued pursuant to Labor Code Section 3710.1 shall contain the following information:
(1) The employer has been found to be without the required workers' compensation insurance.
(2) The employer, by virtue of the Order, is assessed a penalty of one hundred ($100) dollars per employee employed at the time the Order is issued for failure to have workers' compensation coverage.
(3) The correct name and legal entity of the employer, the employer's address, the date, the time, the place of issuance, the signature and the name of the official who issued the Order.
(4) The appeal procedure for objecting to the Penalty Assessment Order.
(5) The procedure used by the Division to obtain a judgment against the employer, should he fail to pay the assessment.
(c) $100 Injury-related Penalty Assessment Order. The order, issued pursuant to Labor Code Section 3710.1 shall contain the following information:
(1) The Workers' Compensation Appeals Board has found the employer to be uninsured in a claimed injury and that such injury is noncompensable.
(2) The employer, by virtue of the Order, is assessed a penalty of one hundred ($100) dollars employee employed on the date of such claimed injury.
(3) The correct name and legal entity of the employer, the employer's address, the date, the place of issuance, the signature and the name of the official who issued the Order.
(4) The appeal procedure for objecting to the Order.
(5) The procedure used by the Division to obtain a judgment against the employer, should he fail to pay the assessment.
(d) $500 Injury-related Penalty Assessment Order. The Order issued pursuant to Labor Code Section 3722 shall contain the following information:
(1) The Workers' Compensation Appeals Board has found the employer to be uninsured and the claimed injury compensable.
(2) The employer, by virtue of the Order, is assessed a penalty of five hundred ($500) dollars per employee employed on the date of injury.
(3) The correct name and legal entity of the employer, the employer's address, the date, the place of issuance, the signature and the name of the official who issued the Order.
(4) The appeal procedure for objecting to the Order.
(5) The procedure used by the Division to obtain a judgment against the employer, should he fail to pay the assessment.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15576. Direction to File Verified Statement.
Note

The statement, which shall be mailed to the employer by the Workers' Compensation Appeals Board simultaneously with the issuance and service of Findings of Fact, Findings and Order or Findings and Award, shall contain the following information:
(a) The Workers' Compensation Appeals Board has found the employer to be without the required workers' compensation coverage.
(b) The Division shall assess the employer a penalty of one hundred ($100) dollars or five hundred ($500) dollars per employee at the time of the injury pursuant to Labor Code Sections 3710.1 and 3722, respectively.
(c) The employer is requested to complete and submit to the Division within ten (10) days the verified statement on the reverse side of the Direction to File Verified Statement indicating the number of employees employed on the date of injury.
(d) The Division may dispute the accuracy of such verified statement.
(e) The Appeal procedure for objecting to the one hundred ($100) dollar injury-related Penalty Assessment Order (Labor Code Section 3710.1) and to the five hundred ($500) dollar injury-related Penalty Assessment Order (Labor Code Section 3722).
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15577. Verified Statement.

The verified statement, which shall be mailed to the employer by the Workers' Compensation Appeals Board simultaneously with the issuance of Findings of Fact, Findings and Order or Findings and Award, shall be found on the reverse side of the Direction to File Verified Statement and shall contain the following information:
(a) That the employer must complete the verified statement and submit the requested information to the Division.
(b) The number of employees in the employer's employ on the date of injury.
(c) A certification under penalty of perjury by the employer that such number is true and correct.
(d) The employer's signature, address and the date and place of execution thereof. 
Article 7. Service of Stop Order and Penalty Assessment Order
§15578. Service.
Note

Any Stop Order or Penalty Assessment Order under the law and pursuant to these regulations issued to and served upon an employer may be served as follows:
(a) By delivering a copy of same to the employer if the employers is an individual;
(b) By delivering a copy of same to any general partner of the employer if the employer is a partnership;
(c) By delivering a copy of same to any person specified in Section 416.10 of the Code of Civil Procedure (specified corporate officers or designated agent) if the employer is a corporation;
(d) By any other manner authorized under the Code of Civil Procedure for the service of process in a civil action.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 8. Review of Proceedings and Withdrawal Proceedings
§15579. Review of Proceedings to Correct Designation of Legal Entity or Clerical Error.
Note

(a) During an appeal hearing, a hearing officer may establish the correct legal entity of the employer and may amend any necessary documents to reflect said true legal entity.
(b) The Division may correct a clerical error where such error has been made in an order, or decision until it becomes final to conform with the facts and the intended wording.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15580. Withdrawal of Orders.
Note

The Division may withdraw a Stop Order or a Penalty Assessment Order:
(a) Where investigation indicates the employer had secured the payment of compensation as required by Section 3700 of the Labor Code at the time of service of such Orders; or 
(b) Where an insured employer responded in writing within the prescribed time to a request to furnish the status of his workers' compensation coverage; or
(c) Where investigation indicates the employer had no employees.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 9. Appeal Procedures
§15581. Stop Order.
Note

Where an employer objects to a Stop Order and desires a hearing thereon, such employer may make an oral or written request for a hearing. Upon receipt of such request, the Division shall set the matter for a hearing within five (5) days from the date of receipt thereof.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15582. Penalty Assessment Orders.
Note

An employer may object to a Penalty Assessment Order within twenty (20) days after the service of the Order by filing a verified petition objecting to said Penalty Assessment Order and setting forth the ground(s) for such objections which are as set forth in Section 15584 of this Article. Upon the filing of such petition within the time prescribed, the Division shall set the matter for hearing within thirty (30) days thereafter.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15583. Grounds of Objection.
Note

The grounds of objection are as follows:
(a) The Division acted without or in excess of its jurisdiction;
(b) The Stop Order, Penalty Assessment Orders, or Notice were not properly served;
(c) The correct legal entity is not set forth in the Order or Notice.
(d) The employer was legally insured for workers' compensation;
(e) No employment relationship exists between the worker and the person assessed or enjoined;
(f) The Division committed mistake, error or omission; or
(g) The Division acted arbitrarily, capriciously and in abuse of its discretion.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15584. Matters Not Grounds for Objection.
Note

The following reasons which may be asserted are not sufficient or valid grounds for objection:
(a) Ignorance of the law;
(b) The employer's assertion that the workers' compensation insurance premiums are excessive; or
(c) The employer's mistaken belief that he had such insurance.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 10. Hearing
§15585. Proceedings Under Oath.
Note

All testimony adduced at the hearing shall be taken under oath. The hearing officer shall administer such oath.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15586. Proceedings Shall Be Recorded.
Note

Any proceedings heard before the Division shall be recorded.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15587. Conduct of Hearing.
Note

Any Party to the hearing is entitled to be heard, to present evidence and to cross examine witnesses appearing at the hearing, but the Division is not bound by common law or statutory rules of evidence or procedure.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15588. Right to Subpoenas and Subpoenas Duces Tecum
Note

(a) Subpoenas.
Upon request of any party to a hearing on a Penalty Assessment Order or Stop Order, the Division may issue subpoenas for the attendance of witnesses before the Division at the time and place of hearing. Said subpoenas shall be served in the manner provided for serving subpoenas in civil actions. The Division shall not issue subpoenas in blank.
(b) Subpoenas Duces Tecum.
Upon the request of any party to a hearing on a Penalty Assessment Order or Stop Order, accompanied by a declaration of materiality thereof in the manner provided for in Section 1985 of the Code of Civil Procedure, the Division may issue subpoenas duces tecum requiring witnesses or parties to produce any books, documents or other materials under their control which they are bound by law to produce at the time and place of hearing. Subpoenas duces tecum served hereunder shall be served as provided therefor in civil actions.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15589. Custody of Papers Filed with the Division.
Note

Books, documents and other materials admitted into evidence may be withdrawn only on condition that an exact copy of any such books, documents or other materials sought to be removed, be offered in evidence in lieu thereof. In such event, there shall be made on the face of any such copy so admitted, a notation that the same is identical to the original withdrawn, and such notation shall be dated and signed by both the employer and the hearing officer.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15590. Decision of the Division.
Note

(a) Stop Order. At the conclusion of a hearing on a Stop Order, the Division shall immediately affirm or dismiss said Stop Order. In addition, the Division shall issue and serve on any party to the hearing by registered or certified mail a written Notice of Findings and Findings within twenty-four (24) hours after the conclusion of such hearing.
(b) Penalty Assessment Order. The decision of the Division on any Penalty Assessment Order shall consist of Notice of Findings and written Findings which shall be served on any party to the hearing by registered or certified mail within fifteen (15) days after said hearing.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 11. Writ of Review
§15591. Employer's Right to Writ of Review.
Note

An employer, upon receipt of Findings affirming or modifying any Penalty Assessment Order may file a Writ of Review from any such Findings to the appropriate superior court upon the execution by such employer of a bond to the State in double the amount so found due and ordered paid by such employer conditioned that such employer will pay any judgment and costs rendered against him for such assessment.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 12. Special Judgment Procedure As to Penalty Assessment Orders
§15592. Procedures After Hearing or in the Absence of a Hearing.
Note

(a) Where a hearing has been held and Notice of Findings and Findings have been issued and served on the uninsured employer, and after ten (10) days have expired since the issuance and service thereof, certified copies of the Penalty Assessment Order and the Findings shall be filed with the Judgment (Special) for the Uninsured Employers Fund with the clerk of the superior court who shall enter a judgment in favor of the Director of Industrial Relations as Administrator of the Uninsured Employers Fund, and against the uninsured employer in the amount shown on the Findings unless a Writ of Review has been filed within the said ten (10)-day period.
(b) Where a petition objecting to a Penalty Assessment Order has not been filed, a hearing has not been held and twenty (20) days have expired since the issuance and service of the Penalty Assessment Order, a certified copy of the Penalty Assessment Order may be filed with the Judgment (Special) for the Uninsured Employers Fund with the clerk of the superior court who shall enter a judgment in favor of the Director of Industrial Relations, as Administrator of the Uninsured Employers Fund, and against the uninsured employer in the amount shown on the assessment order.
(c) Upon the entry of a Special Judgment by the clerk of the superior court under Section 15592 (a) and (b) a Notice of Entry of Judgment (Special) for the Uninsured Employers Fund shall be filed and served upon the employer by regular first-class mail.
(d) After full payment has been made of a Judgment (Special) for the Uninsured Employers Fund, an Acknowledgment of Full Satisfaction of Judgment may be filed with the clerk of the superior court.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15593. Procedures Subsequent to Entry of Judgment.
Note

After a Judgment (Special) has been entered and Notice of Entry of such Judgment has been mailed to the employer and he has failed or refused to pay such judgment, the Division may obtain a writ of execution thereon.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 14. Penalty Liens
§15594. Recording of Penalty Lien.
Note

Where the employer has failed to secure the payment of compensation, the Division shall file with the county recorder of any county in which such employer's property may be located, a certificate of the amount of penalty due from such employer and such amount shall be a lien in favor of the Division from the date of such filing against the real property and personal property of the employer within the county in which such certificate is filed in accordance with Labor Code Section 3727.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
§15595. Cancellation of Penalty Lien.
Note

Upon payment of the penalty assessment and upon the employer's request, the Division shall issue a certificate of cancellation of penalty assessment which may be recorded by the employer at his expense.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Article 15. Notice of Right to Benefits
§15596. Notice of Employee's Right to Workers' Compensation Benefits.
Note

(a) Employers shall notify, orally or in writing, every new employee, either at the time the employee is hired or by the end of his first pay period, of the employee's right to receive workers' compensation benefits should he be injured on the job at any time while in such employer's employ.
(b) Employers who need not give such notice are owners or occupants of residential dwellings whose employees perform duties which are incidental to the ownership, maintenance or use of the dwelling, including the care and supervision of children or whose duties are personal and not in the course of the trade, business, profession or occupation of such owner or occupant if such employees are employed for less than fifty-two (52) hours during a ninety (90)-day period and earn less than one hundred ($100) dollars.
NOTE

Authority cited: Sections 55 and 3710, Labor Code. Reference: Sections 3700, 3710, 3710.1, 3710.2, 3711, 3712, 3713, 3714, 3718, 3722, 3723, 3725, 3726 and 3727, Labor Code. 
Subchapter 2.06. Workers' Compensation-Administration Revolving Fund Assessment, Uninsured Employers Benefits Trust Fund Assessment, Subsequent Injuries Benefits Trust Fund Assessments, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Fraud Surcharge and Cal-OSHA Targeted Inspection Assessment
Article 1. Definitions
§15600. Definitions.
Note     •     History

(a) Assessable Premium. The premium to which the assessment and/or surcharge is to be applied is the premium the insured is charged after all rating adjustments (experience rating, schedule rating, premium discounts, expense constants, retrospective rating, etc.) except for adjustments resulting from the application of deductible plans or the return of policyholder dividends.
(b) Assessment. Includes those assessments levied upon insured and self-insured employers to establish and maintain the Workers' Compensation Administration Revolving Fund, the Uninsured Employers Benefits Trust Fund, the Labor Enforcement and Compliance Fund, the Occupational Safety and Health Fund, and the Subsequent Injuries Benefits Employers Trust Fund.
(c) Base Year. For purposes of calculating the self-insured employer assessment factors, that time period as provided by the Office of Self-Insurance Plans pursuant to section 15602. For public self-insured employers, the base year is a fiscal year basis. For private self-insured employers, the base year is a calendar year basis.
(d) Director. The Director of the Department of Industrial Relations.
(e) Expected total current year premium. Total direct workers' compensation premium of all insurers as reported to the Department of Insurance's designated licensed rating organization for the period of January 1 through June 30 of the year immediately preceding the assessment, and adjusted by the Department of Insurance's designated licensed rating organization, to a full year basis.
(f) Indemnity. The payments made by a self-insured employer directly to injured employees or their dependents as compensation pursuant to Labor Code divisions 4 and 4.5 including vocational rehabilitation maintenance and salary continuation payments pursuant to Labor Code sections 4800 and 4850.
(g) Inception date. The inception date of a workers' compensation insurance policy is the normal anniversary rating date of a workers' compensation insurance policy as defined in the California Workers' Compensation Insurance Manual published by the Workers' Compensation Insurance Rating Bureau.
(h) Insured employer. Any employer, including any agency or division of the State of California,  who secures workers' compensation insurance coverage under provisions of subdivision (a) of Labor Code section 3700.
(i) Insurer. Any person, including the State Compensation Insurance Fund,  authorized to transact workers' compensation insurance in California.
(j) Labor Enforcement and Compliance Fund. The Labor Enforcement and Compliance Fund established pursuant to the provisions of Labor Code section 62.5.
(k) Labor Enforcement and Compliance Fund Assessment. The user fee assessment levied upon insured and self-insured employers to establish and maintain the Labor Enforcement and Compliance Fund.
(l) Occupational Safety and Health Fund. The Occupational Safety and Health Fund established pursuant to the provisions of Labor Code section 62.5.
(m) Occupational Safety and Health Fund Assessment. The user fee assessment levied upon insured and self-insured employers to establish and maintain the Occupational Safety and Health Fund.
(n) Payroll. Remuneration subject to workers' compensation insurance premium for insured employers and that remuneration to employees of a self-insured employer which would be subject to premium charges if the employer were an insured employer.
(o) Revolving Fund. The Workers' Compensation Administration Revolving Fund established pursuant to the provisions of Labor Code section 62.5.
(p) Revolving Fund Assessment. The user fee assessment levied upon insured and self-insured employers to establish and maintain the Workers' Compensation Administration Revolving Fund.
(q) Self-insured employer. Any employer who is authorized by the Director to self-insure its workers' compensation liability under subdivisions (b) or (c) of Labor Code section 3700. A self-insured employer shall include the State of California. For the limited purposes of the Targeted Inspection Assessment, the term “self-insured employer” shall not include the State of California or a public agency employer.
(r) Subsequent Injuries Fund. The Subsequent Injuries Benefits Trust Fund established pursuant to the provisions of Labor Code section 62.5.
(s) Subsequent Injuries Fund Assessment. The user fee assessment levied upon insured and self-insured employers to establish and maintain the Subsequent Injuries Benefits Trust Fund.
(t) Surcharge. Surcharge means the “State Fraud Investigation and Prosecution Surcharge” assessed under authority of Labor Code Section 62.6.
(u) Targeted Inspection Assessment. The user fee assessment levied upon self-insured employers to establish and maintain the Cal-OSHA Targeted Inspection and Consultation Fund established pursuant to the provisions of Labor Code section 62.7.
(v) Uninsured Employers Fund. The Uninsured Employers Benefits Trust Fund established pursuant to the provisions of Labor Code section 62.5.
(w) Uninsured Employers Fund Assessment. The user fee assessment levied upon insured and self-insured employers to establish and maintain the Uninsured Employers Benefits Trust Fund.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 51, 62.5, 62.6, 3700 and 3701, Labor Code; Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment adding subsections (c) and (k) and renumbering existing subsections transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Amendment of article heading, amendment of subsections (a), (b) and (g), new subsection (l), and amendment of Note filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order including repealer of subsection (b), subsection relettering, and amendment of newly designated subsection (f) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of subchapter heading and subsection (b), new subsection (e) and subsection redesignation, amendment of subsections (f) and (l), new subsection (m) and amendment of Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of subsection (a), new subsection (j), subsection relettering and amendment of subsection (k) transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment of subsection (a), new subsection (d), repealer of subsection (n), subsection relettering and amendment of Note filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
9. New subsection (a), repealer of subsection (m), and subsection relettering filed 11-10-97; operative 11-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 46).
10. Change without regulatory effect amending subchapter heading and subsections (a) and (b), repealing subsections (k) and (l), relettering subsections and amending Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
11. Amendment of subchapter heading, amendment of subsections (a) and (b), new subsections (k) and (l), subsection relettering, and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
13. Amendment of subchapter heading and subsections (b), (c) and (k), new subsections (n), (o) and (q)-(s) and subsection relettering filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
14. Amendment of subchapter heading and subsection (b), new subsections (j)-(k) and subsection relettering filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
15. Amendment of subchapter heading and subsection (b), new subsections (j)-(k) and subsection relettering filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
Article 2. Determination of Assessments and/or Surcharge
§15601. Determination of Revolving Fund, Subsequent Injuries Fund, Labor Enforcement and Compliance Fund, Occupational Safety and Health Fund, and Uninsured Employers Fund Total Assessment.
Note     •     History

On or before November 1 of each year, the Director shall, in accordance with Labor Code Section 62.5:
(a) Determine the total amount of funds appropriated for the Division of Workers' Compensation;
(b) Determine the aggregate amount of the assessment for the Subsequent Injuries Fund;
(c) Determine the aggregate amount of the assessment for the Labor Enforcement and Compliance Fund;
(d) Determine the aggregate amount of the assessment for the Occupational Safety and Health Fund; and
(e) Determine the aggregate amount of the assessment for the Uninsured Employers Fund.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code. Reference: Section 62.5, Labor Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. New article 2 heading, amendment of section heading, amendment of subsection (a) and repealer of subsection (b) filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3).  A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of article heading, section and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of Note transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Change without regulatory effect repealing section filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
8. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
10. Amendment of section heading and section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
11. Amendment of section heading and subsection (b), new subsection (c) and subsection relettering filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
12. Amendment of section heading, new subsection (c) and subsection relettering filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15601.5. Ascertainment of State Fraud Investigation and Prosecution Surcharge.
Note     •     History

On or before September 1 of each year, the Director shall ascertain from the Fraud Assessment Commission the aggregate amount of the surcharge to be assessed.
The aggregate amount of the surcharge shall be allocated between insured and self-insured employers by applying the same proportional allocation and collection methodology as used to collect the Workers' Compensation Administration Revolving Fund Assessment.
NOTE

Authority cited: Sections 54 and 55, Labor Code. Reference: Section 62.6, Labor Code.
HISTORY

1. New section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3).  A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
2. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
3. Amendment of Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-6-94 order including amendment of Note transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
§15601.6. Determination of Targeted Inspection Assessment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55, 62.5, 62.6 and 62.7, Labor Code. Reference: Section 62.7, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including amendment of subsections (b)-(c) and repealer of subsection (d) transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
3. Repealer filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
§15601.7. Determination of Self Insured Employers Subject to the Targeted Inspection Assessment.
Note     •     History

On or before September 1 of each year, the Manager of Self-Insurance Plans shall identify for the Director each Private Self Insurer subject to the Targeted Inspection Assessment as determined below.
(a) The Targeted Inspection Assessment shall apply to each Self Insurer in each grouping set forth in subsection (b) that has a current 1-year average number of indemnity claims per 100 employees as calculated in subsection (e) below, that is equal to or in excess of 125 percent of the 3 year base figure determined for each grouping in subsection (d) of this section.
(b) The Manager shall categorize all private self insurers into groups for the purpose of calculating the Targeted Inspection Assessment. All private self insurers shall be categorized into groups by the first two digits of their North American Industry Classification System Code (NAICS Code) as reported on Page 1 of the Self Insurer's Annual Report for the reporting period immediately prior to the current budget year. For purposes of such categorization, each private group self insurer shall be considered as a single entity. The Manager may correct the NAICS Code reported for cause or where the Manager believes an error was made by the self insurer in designating their NAICS Code on the Annual Report. The Manager may also substitute the proper NAICS Code for the Standard Industrial Classification Code (SIC Code) if the SIC Code was reported rather than the NAICS Code.
(c) For each NAICS Code grouping set forth in subsection (a), the Manager shall calculate the historical average number of indemnity claims per 100 employees from the Consolidated Liabilities page of the full year Self Insurer's Annual Reports submitted by the members in each NAICS Code group for the 3 year reporting period immediately prior to the current 1-year period used to calculate the individual self insurer's indemnity claims per 100 employees.
(d) The Manager shall calculate a figure that will be 125 percent of each NAICS Code grouping's 3 year historical average number of indemnity claims per 100 employees.
(e) For each private self insurer, the Manager shall calculate an individual 1-year number of indemnity claims per 100 employees, using information reported by each self insurer on its last full year Self Insurer's Annual Report submitted for the reporting period immediately prior to the current budget year. In this calculation, the manager shall divide the total number of indemnity claims reported in the most recent claim year by the total number of California employees reported, with the result multiplied by 100. Any self insurer with less than 100 total employees shall be considered to have 100 employees for purposes of this calculation.
NOTE

Authority cited: Sections 54, 55, 62.7 and 62.9, Labor Code. Reference: Section 62.7 and 62.9, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including amendment of first paragraph and subsections (a), (d), and (e), repealer of subsections (b)-(b)(3), and new subsection (b) transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
3. Amendment of section and Note filed 11-10-97; operative 11-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 46).
4. Amendment of subsection (b) filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
5. Amendment of subsections (a)-(c) filed 3-2-2009; operative 3-2-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 10). 
§15601.8. Determination of Insured Employers' Payroll and Premium Data.
Note     •     History

On or before September 1 of each year, the Director shall request that the Department of Insurance direct the designated licensed rating organization to provide the Director with a statement for each insurer authorized to transact workers' compensation insurance in the state of California showing the total payroll and premium generated by that insurer on policies subject to an experience modification of 1.25 or more for the most recent policy year available.
NOTE

Authority cited: Sections 54, 55 and 62.7, Labor Code. Reference: Section 62.7, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including amendment of section transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
§15602. Allocation of Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge Among Insured and Self-Insured Employers.
Note     •     History

(a) Not later than November 1 of each year, the Director shall determine the proportional payroll allocation factors to use to determine the total insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge, and the total self-insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge as follows:
(1) The aggregate payroll of all insured employers shall be determined from payroll information provided by the Department of Insurance's designated licensed rating organization for the most recent period available.
(2) The aggregate payroll of all self-insured employers shall be determined from payroll information provided by the Office of Self-Insurance Plans of the Department of Industrial Relations excluding payroll of insured employees of the State of California for the most recent base year available. 
(3) The total payroll information shall then be determined by combining the most recent insured employer payroll with the most recent self-insured employer payroll.
(4) The insured employer proportional payroll allocation factor shall be determined by dividing the insured employer payroll by the total combined payroll. 
(5) The self-insured employer proportional payroll allocation factor shall be determined by dividing the self-insured employer payroll by the total combined payroll. The self-insured employer payroll shall not include that portion of the State of California's payroll which was covered by a policy of insurance.
(b) The total insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge shall be determined by multiplying each respective assessment and/or surcharge by the insured employer proportional payroll allocation factor.
(c) The total self-insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge shall be determined by multiplying each respective assessment and/or surcharge by the self-insured employer proportional payroll allocation factor.
NOTE

Authority cited: Sections 54, 55, 62.5 and 62.6, Labor Code. Reference: Sections 62.5 and 62.6, Labor Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment to subsection (a) transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Amendment of section heading, section and Note filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day. 
4. Certificate of Compliance as to 1-15-93 order including amendment of subsection (a)(2) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of subsections (a)(1) and (3) and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of section heading, subsections (a)-(a)(2), (b), (c) and Note transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Change without regulatory effect amending section heading, section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
8. Amendment of section heading, section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
10. Amendment of section heading and section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
11. Amendment of section heading and subsections (a), (b) and (c) filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
12. Amendment of section heading and subsections (a), (b) and (c) filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15603. Determination of Insured and Self-Insured Employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge Factors.
Note     •     History

(a) The insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge factors shall be determined by dividing the total amount of each respective insured employer assessment and the total amount of the insured employer surcharge, as the case may be, by the expected total current year premium, as determined by the Department of Insurance's designated licensed rating organization.
(b) The self-insured employer Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge factors shall be determined by dividing the total amount of each respective self-insured employer assessment or surcharge, as the case may be, by the total amount of workers' compensation indemnity paid under California law by all self-insured employers during the most recent base year available, as determined by the Office of Self-Insurance Plans.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code. Reference: Sections 62.5 and 62.6, Labor Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment to subsection (b) transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Amendment of section and Note filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order including amendment of section (a)(2) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of  section heading and text filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment of subsection (a) filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
9. Change without regulatory effect amending section heading, section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
10. Amendment of section heading, section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
12. Amendment of section heading and section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
13. Amendment of section heading and section filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
14. Amendment of section heading and section filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15603.5. Determination of Targeted Inspection and Consultation Assessment Factors. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 62.7, Labor Code. Reference: Section  62.7, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including amendment of section and Note transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
3. Repealer filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
§15604. Surplus in Funding.
Note     •     History

(a) In the event of an unexpended surplus in the Workers' Compensation Administration Revolving Fund balance for a fiscal year, the balance shall be carried forward and credited to the subsequent year's Revolving Fund assessment.
(b) In the event of an unexpended surplus in the Subsequent Injuries Fund balance for a fiscal year, the balance shall be carried forward and credited to the subsequent year's Subsequent Injuries Fund Assessment.
(c) In the event of an unexpended surplus in the Labor Enforcement and Compliance Fund balance for a fiscal year, the balance shall be carried forward and credited to the subsequent year's Labor Enforcement and Compliance Fund Assessment.
(d) In the event of an unexpended surplus in the Occupational Safety and Health Fund balance for a fiscal year, the balance shall be carried forward and credited to the subsequent year's Occupational Safety and Health Assessment.
(e) In the event of an unexpended surplus in the Uninsured Employers Fund balance for a fiscal year, the balance shall be carried forward and credited to the subsequent year's Uninsured Employers Fund Assessment.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code. Reference: Section 62.5, Labor Code.
HISTORY

1. Renumbering of former section 15604 to section 15605 and new section 15604 filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
2. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
3. Change without regulatory effect repealing section filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
4. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
6. Amendment filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
7. New subsection (c) and subsection relettering filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
8. New subsection (c) and subsection relettering filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
Article 3. Collection of Assessments  and/or Surcharges
§15605. Collection of the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge from Self-Insured Employers.
Note     •     History

(a) The Director designates the Manager of Self-Insurance Plans to collect the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge from self-insured employers on the Director's behalf.
(b) No later than December 1 of each year, the Manager of Self-Insurance Plans shall bill each self-insured employer for the amount of the individual self-insured employer's Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and/or Fraud Surcharge. The billing shall identify each assessment and/or surcharge separately and shall include the calculations utilized to determine each assessment factor. Each individual assessment and/or surcharge shall be determined by multiplying the self-insured employer assessment factor by the total amount of worker's compensation indemnity paid and reported by each self-insured employer on its Self-Insurer's Annual Report during the base year, as determined by the Office of Self-Insurance Plans. The Self-Insurer's Annual Report shall include all indemnity payments as defined in section 15600 (e).
(c) The amount of any assessment and/or surcharge shall be paid to the Office of Self-Insurance Plans within 30 days of the billing. Upon the request of any Joint Powers Authority, the Manager may agree to bill the Joint Powers Authority directly for the total amount of each assessment and/or surcharge owed by its public agency members.
(d) In the event the Manager collects funds in excess of the total self-insured employer assessment in the (1) Revolving Fund Assessment; (2) Subsequent Injuries Fund Assessment; (3) Labor Enforcement and Compliance Fund Assessment, (4) Occupational Safety and Health Fund Assessment; (5) Uninsured Employers Fund Assessment; and/or (6) Fraud Surcharge, such excess funds shall be paid over to the Director to be held in a trust account and credited to the next year's respective assessments and/or surcharge on self-insured employers.
(e) Should the Manager determine that any self-insured employer has understated or overstated its total payroll or indemnity paid on the self-insured employer's annual report, the Manager may issue a corrected billing.
(f) If an employer has paid the assessments and/or surcharge as an insured employer, and during the year of such assessments and/or surcharge is granted a certificate of consent to self-insure, the newly self-insured employer is not required to pay an additional assessments and/or surcharge as a self-insured employer for the current assessments and/or surcharge year. Such an employer shall submit to the Manager a copy of the assessments and/or surcharge billing paid as insured employer in lieu of payment as a self-insured employer.
(g) A self-insured employer that does not have a self-insurers' annual report on file with the Office of Self-Insurance Plans which covers the base year of the assessments and/or surcharge, and that did not pay the assessments and/or surcharge for the base year as an insured employer, shall pay the assessments and/or surcharge through the Office of Self-Insurance Plans. 
(1) To enable the Manager to determine such self-insured employer's liability for the assessments and/or surcharge, each such self-insured employer shall file a report prescribed by the Manager, setting forth such self-insured employer's total annual payroll for the base year, and the total workers' compensation premium paid for each calendar quarter of the preceding year.
(2) The Manager shall bill the self-insured employer by applying the self-insured employer assessment factors to the last annual premium paid by the self-insured employer until the self-insured employer's experience  as a self-insured employer exceeds two complete calendar years for private self-insured employers or two complete fiscal years for public self-insured employers.
(h) A self-insured employer that ceases to be self-insured and ceases to operate as a functioning employer with no legal requirement to secure the payment of compensation, but continues to have open workers' compensation claims arising from the period of self-insurance, shall continue to be liable for assessments and/or surcharge  for a period of 3 calendar years following the termination, revocation, or surrender of the employer's certificate of consent to self-insure. The Manager shall bill the former self-insured employer in accordance with this Section. 
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 62.5 and 62.6, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment to subsections (b), (c) and (e) and adding subsection (f), (g) and (h) transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Renumbering of former section 15605 to section 15606 and renumbering of former section 15604 to section 15605 and amendment  of  section heading, section, and Note  filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Editorial correction restoring inadvertently omitted article heading (Register 93, No. 25).
5. Certificate of Compliance as to 1-15-93 order including amendment of subsection (F) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
6. Amendment of article heading, section heading, subsections (a), (e), (f) and (h) and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-6-94 order including amendment of subsections (a)-(c) transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
8. Amendment of subsection (f) filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
10. Change without regulatory effect amending section heading, section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
11. Amendment of section heading, section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
13. Amendment of section heading and section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
14. Amendment of section heading and subsections (a), (b) and (d) filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
15. Amendment of section heading and subsections (a), (b) and (d) filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15605.5. Collection of Targeted Inspection Assessment from Self-Insured Employers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 62.7, Labor Code. Reference: Section 62.7, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including amendment of section transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
3. Repealer filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
§15606. Collection of Advances Against Insured Employers.
Note     •     History

(a) Not later than December 1 of each year, the Director shall notify each workers' compensation insurer, of the amounts due from the insurer on behalf of its policyholders for, respectively, the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Uninsured Employers Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, and the Fraud Surcharge levied pursuant to the authority of Labor Code Sections 62.5 and 62.6 and these regulations. The notice shall include a bill that sets forth separately the total amounts of the assessments and the surcharge.
(b) The Insurer advances against the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge amounts shall be calculated by multiplying the insurer's California direct written workers' compensation premium as reported in the most recent year's financial statement on file with the Insurance Commissioner, multiplied by the ratio of the expected total current year premium to the total direct written workers' compensation premium of all insurers as reported in the latest year's annual financial statements on file with the Insurance Commissioner by the respective factors determined pursuant to subsection (a) of Section 15603 of these regulations.
(c) Where the amount of the assessments or surcharge owed is less than $5.00 the Director may elect not to bill the insurer therefor.
(d) Each insurer shall pay to the Director one half of the amounts billed under subsection (a) on behalf of its insured employers on or before the following January 1. Each insurer shall pay the balance of the assessments and surcharge to the Director on the following April 1.
(e) Upon agreement of the affected insurers, the Director may elect to consolidate in one billing the assessments and surcharge of all insured employers that are insured by insurers under the same management, direction and control.
(f) In the event the Director collects advances from insurers in excess of the total assessments and surcharge due from insured employers in the (1) Revolving Fund Assessment; (2) Subsequent Injuries Fund Assessment; (3) Labor Enforcement and Compliance Fund Assessment; (4) Occupational Safety and Health Fund Assessment; (5) Uninsured Employers Fund Assessment; and/or (6) Fraud Surcharge, the excess funds shall be held by the Director in a trust account and credited to the subsequent year's total respective assessments and surcharge on insured employers.
(g) Commencing with the assessment payment due April 1, 1993, the insurer shall submit a summary report on a form provided by the Director, which includes the following information: (1) the total amount of assessments and surcharges billed insured employers by the insurer; (2) the respective factors used by the insurer in assessing and surcharging insured employers.
(h) The summary report due April 1, 1993 shall include the information specified in this subsection for all workers' compensation insurance policies with an inception date between August 1, 1990 and December 31, 1991. Commencing April 1, 1994, the summary report shall include the information specified in this subsection for all workers' compensation insurance policies with an inception date in the next preceding calendar years.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 62.5 and 62.6, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment to subsection (a), (d) and (e) transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Renumbering of former section 15606 to 15607 and renumbering of former section 15605 to section  15606   and amendment  of  section and Note  filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order including amendment of subsection (a) and repealer of subsection (e)(3) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of subsections (a)-(d) and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of section heading, repealer of subsections (a)-(e) and new subsections (a)-(i) transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment of subsections (a)-(b), repealer of subsection (c), subsection relettering and amendment of Note filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
9. Change without regulatory effect amending section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
10. Amendment of section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
12. Amendment of subsections (a), (b) and (f) filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
13. Amendment of section heading and subsections (a), (b) and (f) filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
14. Amendment of subsections (a), (b) and (f) filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15607. Collection of Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge from Insured Employers.
Note     •     History

(a) Every insurer shall collect the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud Surcharge required by this article and Labor Code Sections 62.5 and 62.6, respectively, from each employer insured by it by applying a separate charge to all workers' compensation insurance policies issued by such insurer with an inception date in the year beginning January 1 after the determinations required by Sections 15601 and 15601.5 of these regulations. The amount of the assessment and surcharge shall be determined by multiplying the insured employer's estimated annual assessable premium by the assessment factors determined by the Director pursuant to subsection (a) of section 15603. The assessment factors in effect on the inception date of the policy shall be used to calculate the separate charges  relative to that policy, including any additional or return premium.
(b) The respective amounts of the Revolving Fund Assessment, Subsequent Injuries Fund Assessment, Labor Enforcement and Compliance Fund Assessment, Occupational Safety and Health Fund Assessment, Uninsured Employers Fund Assessment, and Fraud surcharge shall each be rounded to the nearest whole dollar, and be respectively shown in the policy as “Workers' Compensation Administration Revolving Fund Assessment (amount),” “Subsequent Injuries Benefits Trust Fund Assessment (amount),” “Labor Enforcement and Compliance Fund Assessment (amount),” “Occupational Safety and Health Fund Assessment (amount),” “Uninsured Employers Benefits Trust Fund Assessment (amount),” and “State Fraud Surcharge (amount)”.
(c) Commencing with policies effective on and after January 1, 1993, the insured employer's separate charges calculated under subsection (a) above shall be collected in full with the initial payment of assessable premium. If additional premium becomes due under the policy, the final amount of the separate charges shall be adjusted with the final premium bill for the policy. In the case of a retrospective rated policy, the respective assessment and/or surcharge should be applied to the policy premium at issuance, with recalculation at audit, and application of the factors to any retrospective adjustment premium.
(d) Notwithstanding the requirements of this Section, an insurer may elect not to bill an insured employer for the assessments and surcharge for the additional premium due under the policy if the amount of the additional assessments or surcharge does not exceed $10.00. In the event a return premium is due the employer, the insurer shall return a pro rata share of assessments and surcharge previously paid by the employer unless the assessments and surcharge overpayment does not exceed $10.00.
(e) A self-insurer whose certificate has been revoked during the base year or during the calendar year prior to the current assessments and/or surcharge billing by the Manager shall be exempt from payment of the assessments and/or surcharge as a self-insurer.
(f) If an employer has paid the assessments and/or surcharge as a self-insured employer, and during the year of such assessment and/or surcharge obtains a policy of workers' compensation insurance, the newly insured employer is not required to make assessments and/or surcharge payments as an insured employer for that year's assessments and/or surcharge. Such an employer shall submit to the insurer a copy of the assessments and/or surcharge billing paid as a self-insured employer, in lieu of payment as an insured employer.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 62.5 and 62.6, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment to subsections (a), (b), and (c) and adding subsection (d) transmitted to OAL 8--14-90 and filed 9-13-90 (Register 90, No. 43).
3. Renumbering of former section 15607 to 15608 and renumbering of former section 15606 to section  15607  and amendment  of  section heading, section, and Note  filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order including amendment of subsections (b) and (d) transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of subsections (a), (b), (d)  and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of section heading, subsections (a), (b), and (d), and Note transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment of subsections (a) and (d), and new subsections (e)-(f) filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
9. Amendment of subsections (a), (c) and (d) filed 11-10-97; operative 11-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 46).
10. Change without regulatory effect amending section heading, section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
11. Amendment of section heading, section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
13. Amendment of section heading and section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
14. Amendment of section heading and subsections (a) and (b) filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
15. Amendment of section heading and subsections (a) and (b) filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
§15607.5. Collection of Targeted Inspection Assessment from Insured Employers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 62.7, Labor Code. Reference: Section 62.7, Labor Code.
HISTORY

1. New section filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-6-94 order including designation of subsections (a)-(e), amendment of subsections (b) and (d), and new subsections (f)-(g)  transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
3. Repealer filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
§15608. Assessment and/or Surcharge Collection in Excess of Insured Employer Assessment Advance.
Note     •     History

If the summary report required by subsections (g) and (h) of Section 15606 of these regulations shows that the insurer has collected assessments and surcharges from employers in excess of the advances paid to the Director for policies incepting in the calendar year covered by the summary report, the insurer shall pay the excess amount to the Director upon submission of the summary report. The Director shall hold any excess amounts in a trust account and either credit the respective amounts to any deficiency in the current assessments and surcharge, or, if there is no deficiency, to the subsequent year's respective assessments and/or surcharges on insured employers.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 62.5 and 62.6, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Renumbering of former section 15608 to 15609 and renumbering of former section 15607 to section  15608  and amendment  of  section heading, section, and Note  filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of  Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of section transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment of section and Note filed 11-14-95 as an emergency; operative 12-1-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-30-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-14-95 order transmitted to OAL 3-29-96 and filed 5-8-96 (Register 96, No. 19).
9. Change without regulatory effect amending section heading, section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
10. Amendment of section heading, section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
12. Amendment filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
§15609. Credit for Undercollection.
Note     •     History

(a) When an insurer demonstrates to the Director, within one year of the final audit conducted for premium adjustments for the policies with inception dates in the year subject to assessment, that the total assessments and/or surcharges, respectively, collected from its insured employers is less than the respective assessment and surcharge amounts advanced by the insurer under Section 15606 for that assessment year, the Director shall credit the amount of the difference against the subsequent  year's respective advances due from the insurer on behalf of its insured employers.
(b) No insurer shall receive any credit for any portion of an undercollection against advances paid by that insurer that is due to the insurer's failure to properly bill a policyholder for the appropriate assessments and/or surcharges applicable to the premium for that policyholder's policy.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code; and Section 1872.83, Insurance Code. Reference: Sections 62.5 and 62.6, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order including amendment transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Repealer of former section 15609 and renumbering and amendment of former section 15608  to section  15609 filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. Amendment of section and Note filed 9-6-94 as an emergency; operative 9-6-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-94 order including amendment of section transmitted to OAL 12-30-94 and filed 2-15-95 (Register 95, No. 7).
7. Amendment filed 5-8-96; operative 5-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 19).
8. New subsection (a) designator and new subsection (b) filed 11-10-97; operative 11-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 46).
9. Change without regulatory effect amending section and Note filed 12-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 51).
10. Amendment of section and Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-2000 order transmitted to OAL 5-9-2000 and filed 6-15-2000 (Register 2000, No. 24).
§15610. Collections of 1995 Interim Targeted Inspection Assessment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 54, 55 and 62.7, Labor Code;  and Section 1872.83, Insurance Code. Reference: Section 62.5, Labor Code; and Section 1872.83, Insurance Code.
HISTORY

1. New section filed 4-18-90 as an emergency; operative 4-18-90 (Register 90, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-16-90.
2. Certificate of Compliance as to 4-18-90 order transmitted to OAL 8-14-90 and filed 9-13-90 (Register 90, No. 43).
3. Repealer  filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 1-15-93 order transmitted to OAL 5-10-93 and filed 6-16-93 (Register 93, No. 25).
5. New section filed 2-15-95; operative 3-17-95 (Register 95, No. 7).
6. Repealer filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
§15611. Collection of Interim Assessments.
Note     •     History

(a) Notwithstanding the provisions of this subchapter, if the Director determines that there are insufficient funds to support the Workers' Compensation Administration Revolving Fund, the Subsequent Injuries Fund, the Labor Enforcement and Compliance Fund, the Occupational Safety and Health Fund, or the Uninsured Employers Fund for fiscal year 2003-2004, or any fiscal year thereafter, the Director may collect a single interim assessment for these respective funds, in an amount determined by the Director, to provide sufficient funding for these funds.
(b) Any assessment collected under this Section shall not reduce the amount to be collected in the subsequent year's assessments, except as provided by Section 15608 of these regulations.
(c) Any assessment collected under this Section shall be included on the next annual report required under Section 15606(g) of these regulations.
NOTE

Authority cited: Sections 54, 55 and 62.5, Labor Code. Reference: Section 62.5, Labor Code.
HISTORY

1. New section filed 12-18-2003; operative 12-18-2003. Submitted to OAL for printing only (Register 2003, No. 51).
2. Amendment of subsection (a) filed 11-12-2008; operative 11-12-2008. Submitted to OAL for printing only (Register 2008, No. 46).
3. Amendment of subsection (a) filed 11-19-2009; operative 11-19-2009. Submitted to OAL for printing only (Register 2009, No. 47).
Subchapter 2.1. Illegally Uninsured Employers. Determinations by the Director: Prima Facie Illegally Uninsured, Corporate Parent and Substantial Shareholder; Notice; Hearings; Appeals
Article 1. General
§15710. Definitions.
Note     •     History

The following definitions are applicable to this group. Terms not defined here but used in the Labor Code shall have their meaning as so used. All references to the code or to code sections refer to the California Labor Code unless otherwise stated.
(a) Prima facie illegally uninsured. In addition to examples provided in the code, an employer against which there is any evidence from which, after considering any contradicting evidence except any testimony or statements by the employer or related persons, a reasonable person could conclude that the employer, as of the time of the injury, had not secured the payment of compensation as provided by code Section 3700.
(b) Prima facie a parent. A corporation against which there is any evidence from which, after considering any contradictory evidence except testimony or statements of shareholders, officers or beneficial owners of the parent or its subsidiary, a reasonable person could conclude that the corporation had been at the time of the injury or has been at any subsequent time the parent of a corporation which, as of the time of the injury, had not secured the payment of compensation as provided by code Section 3700.
(c) Prima facie a substantial shareholder. A person against which there is any evidence from which, after considering any contradictory evidence except testimony or statements of that person or of related persons or other shareholders, a reasonable person could conclude that the person had been at the time of the injury or has been at any subsequent time a substantial shareholder in a corporation or the parent of a corporation, which corporation, as of the time of the injury, had not secured the payment of compensation as provided by code Section 3700.
(d) Prima facie case. A case for which there is any evidence from which, after considering any contradictory evidence, a reasonable person could conclude that the case were established as likely to be true.
(e) Director. The Director of Industrial Relations or his designated agents or delegates.
(f) Illegally uninsured. The status of having employees, one of whom was injured arising out of and in the course of the employee's employment at a time when the employer had not secured the payment of compensation as required by code Section 3800.
(g) Appeals board. The California Workers Compensation Appeals Board.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670 and Sections 15700-15780, not consecutive), see Register 83, No. 31.
§15711. Delegation of Authority.
Note     •     History

The director delegates authority to the Chief of the Claims Bureau of the Uninsured Employers Fund to make the determination under Labor Code Sections 3715(c), 3720(c), and 3720.1(a), to reconsider determinations made pursuant to code Sections 3715(c) and 3720.1(a), to file liens, to remove liens erroneously filed, to remove liens pursuant to code Section 3720(c), to collect funds on liens, refund funds erroneously collected, issue the notices pursuant to code Section 3715(d), and otherwise to administer the program relating to liens issued prior to the issuance of findings and awards of the appeals board, in appeals board cases involving illegally uninsured employers. The Chief of the Claims Bureau may, as he or she deems necessary, delegate all or any part of the authority granted herein to the area supervisors within the Claims Bureau.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670 and Sections 15700-15780, not consecutive), see Register 83, No. 31.
Article 2. Determinations by Director
§15720. Determinations.
Note

The director shall make all determinations under code Section 3715(c) of whether a person involved in a claim before the Appeals Board is prima facie illegally insured. The director may make determinations pursuant to code Section 3715(c) in any case in which the director, as administrator of the Uninsured Employers Fund, has been joined or otherwise made a party. In all cases where the employer or alleged employer is a corporation and where the director has not petitioned the appeals board to make a determination under code Section 3717.2 or, pending a determination in such cases, the director may make determinations pursuant to code Section 3720.1 of status of prima facie a parent or prima facie a substantial shareholder. The director shall record written reasons for his determinations. These reasons shall be included with the notice of determination.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
§15721. Negative Inferences.
Note     •     History

If information or documentary proof has been requested by the director from the alleged uninsured employer, and the alleged uninsured employer has not supplied such information or documents, and if the information, documents or copies thereof can reasonably be assumed to be in the possession or control of the alleged uninsured employer, the director shall infer from the failure to comply with the request that the documents do not exist, or that the information or the contents of the documents establish that the alleged uninsured employer was illegally uninsured, or that there was substantial shareholder or parent status, whichever is applicable.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670, not consecutive), see Register 83, No. 31.
§15722. Reconsideration of Section 3715 (c) Determinations; Finality.
Note     •     History

Upon receipt of written protest or application for reconsideration from an aggrieved person, of a determination that an employer was prima facie illegally uninsured, the Chief of the Claims Bureau, Uninsured Employers Fund, on the director's behalf, shall informally reconsider the determination. The aggrieved person shall furnish a statement of reasons why the determination was in error, and any evidence in support of the position of the aggrieved person. The Chief of the Claims Bureau may uphold, rescind, or alter the original determination. The decision after reconsideration shall be mailed to the aggrieved person and to other persons to whom the original notice was sent, within five working days after receipt of the protest or application for reconsideration. A request of the reconsideration under this section shall be a prerequisite to filing of a petition with the appeals board pursuant to code Section 3715(d). For purposes of the time within which the petition must be filed with appeals board, the determination shall not be considered to be final until after the decision after reconsideration is mailed.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of Group 2.1 (Sections 15600-15670 and Sections 15700-15780, not consecutive), see Register 83, No. 31.
§15723. Reconsideration of Section 3720.1(a) Determinations; Finality.
Note     •     History

Upon receipt of written protest or application for reconsideration from an aggrieved person of a determination that a person was prima facie, a parent or a substantial shareholder, the Chief of the Claims Bureau, Uninsured Employers Fund, on the director's behalf, shall informally reconsider the determination. The aggrieved person shall furnish a statement of reasons why the determination was in error, and any evidence in support of the position of the aggrieved person. The Chief of the Claims Bureau may uphold, rescind, or alter the original determination. The decision after reconsideration shall be mailed to the aggrieved person, and to other persons to whom the original notice was sent, within five working days after receipt of the protest or application for reconsideration. A request for reconsideration under this section shall be a prerequisite to a filing of a request for a hearing pursuant to code Section 3720.1.
(b). A request for hearing filed prior to a protest or application for reconsideration shall be deemed a request for reconsideration. The time for filing a request shall not begin to run until the notice of decision after reconsideration is issued.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670, not consecutive), see Register 83, No. 31.
Article 3. Hearings Under Code Section 3720.1
§15730. Administrative Hearing.
Note     •     History

Upon the petition of an aggrieved person, if the petition is not treated as a request for informal reconsideration pursuant to Section 15723, the director shall hold a hearing to review prima facie substantial shareholder or parent status.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670, not consecutive), see Register 83, No. 31.
§15731. Delegation of Authority.
Note

The director delegates authority to the Chief Counsel of the Department of Industrial Relations to appoint hearing officers and to issue the notices for hearings being held pursuant to code section 3720.1(b). The hearing officer appointed shall not have been involved in the representation of the director before the appeals board in that particular case.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
§15732. Conduct of Hearing.
Note     •     History

(a) Hearing Officer. The hearing officer shall have full authority as the director would to make all decisions necessary for the proper conduct of the hearing and for the making of a decision thereon. Not limiting the foregoing, the hearing officer may administer oaths, take testimony, admit or exclude evidence, schedule the hearing, continue or adjourn the hearing, require a statement of contentions, issue a subpoena and subpoena duces tecum for the attendance of a person and the production of testimony, books, or documents, and to decide when the case is submitted for decision.
(b) Admissible Evidence. The California Evidence Code and the common law rules of evidence shall not apply in the hearing, and the hearing officer may admit, consider, and rely upon evidence which would not be admissible if such rules of evidence governed.
(c) Testimony under Oath. All witnesses testifying before the hearing officer shall testify under oath, affirmation or penalty of perjury.
(d) Transcripts. The hearings shall be recorded by audio tape recording. A party desiring a transcript must pay for the transcription or provide and pay for a court reporter. In either case, a copy of the transcript must be provided to the director.
(e) Witness fees. Costs of subpoenaing witnesses are to be borne by the party requesting the subpoena.
(f) Documents. If a person seeking to establish that the person is not a parent or substantial shareholder does not produce corporate documents which relate the ownership of the applicable corporation, and there is evidence that the person was a shareholder or owner of a beneficial interest 
in the corporation, the hearing officer may presume that the corporate documents not produced would contain evidence establishing the opposite of the contention asserted by the person not offering them.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3710 and 3715, Labor Code. Reference: Sections 3715, 3717.2, 3720, 3720.1 and 3721, Labor Code.
HISTORY

1. New section filed 6-19-89; operative 7-19-89 (Register 89, No. 27). For history of former Group 2.1 (Sections 15600-15670, not consecutive), see Register 83, No. 31.
Subchapter 2.1.1. Uninsured Employers Fund and Subsequent Injuries Fund Benefits to Aliens
Article 1. Limitations on Benefits
§15740. Limitations on Uninsured Employers Fund and Subsequent Injuries Fund Benefits for Aliens.
Note     •     History

(a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for the public benefit. 
(b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, (Pub. L. No. 104-193 (PRWORA)), (8 U.S.C. § 1621), and notwithstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 U.S.C. § 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182 (d)(5)), for less than one year, are not eligible to receive benefits, including death benefits as the dependent of a deceased employee, from the UEF or SIF as set forth in Labor Code Sections 3716, 3716.2 and 4750-4755.
(c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive benefits from the UEF or SIF, including death benefits as the dependent of a deceased employee, is, under Section 431(b) of the PRWORA (8 U.S.C. § 1641(b) and (c)), any of the following:
(1) An alien lawfully admitted for permanent residence under the INA (8 U.S.C. § 1101 et seq.).
(2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. § 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. § 1157).
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA (8 U.S.C. § 1253(h)) (as in effect immediately before the effective date of Section 307 of division C of Public Law 104-208) or Section 241(b)(2) of such Act (8 U.S.C. § 1251(b)(3)) (as amended by Section 305(a) of division C of Public Law 104-208). 
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980 (8 U.S.C. § 1153(a)(7)) (See editorial note under 8 U.S.C. § 1101, “Effective Date of 1980 Amendment”).
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 (8 U.S.C. § 1522 note)).
(8) An alien who, under Section 431(c)(1) of the PRWORA (8 U.S.C. § 1641(c)(1), meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence. 
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the UEF or SIF. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
(i) The benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
(ii) The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
(iii) The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
(iv) The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
(v) The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
(vi) The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser).
(vii) The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
(viii) The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
(ix) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has been approved or has a petition pending which sets forth a prima facie case for:
(i) status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(ii), (iii) or (iv)),
(ii) classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1254(a)(1)(B)(ii) or (iii)), 
(iii) cancellation of removal under 8 U.S.C. § 1229b as in effect prior to April 1, 1997,
(iv) status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)) or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1154(a)(1)(B)(i)).
(v) cancellation of removal pursuant to Section 204A(b)(2) of the INA (8 U.S.C. § 1229b(b)(2)).
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided-in the opinion of the UEF or SIF. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
(i) The benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser.
(ii) The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
(iii) The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
(iv) The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
(v) The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
(vi) The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser).
(vii) The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
(viii) The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children.
(ix) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser.
(D) The alien meets the requirements of subsection (c)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the UEF or SIF. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
(i) The benefits are needed to enable the alien child's parent to become self-sufficient following separation from the abuser.
(ii) The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser.
(iii) The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser.
(iv) The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his or her job for safety reasons.
(v) The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
(vi) The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser).
(vii) The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
(viii) The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien child's parent and/or to care for any resulting children.
(ix) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser.
(c) The alien child meets the requirements of subsection (c)(8)(C) above.
(d) For purposes of this section, “nonimmigrant” is defined the same as in Section 101(a)(15) of the INA (8 U.S.C. § 1101(a)(15)).
(e) For purposes of establishing eligibility for Uninsured Employers Fund (UEF) and Subsequent Injuries Fund (SIF) benefits, all of the following must be met:
(1) The applicant must declare himself or herself to be a citizen of the United States or a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)). The applicant shall declare that status through use of the “Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits,” Form UEF-1.
(2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Services (INS) which serve as reasonable evidence of the applicant's declared status. 
(3) The applicant must complete and sign Form UEF-1.
(4) Where authorized by the INS, the documentation presented by an alien as reasonable evidence of the alien's declared immigration status must be submitted to the INS for verification through the Systematic Alien Verification for Entitlements (SAVE) system procedures as follows:
(A) Unless the primary SAVE system is unavailable for use, the primary SAVE system verification must be used to access the biographical/immigration status computer record contained in the Alien Status Verification Index maintained by the INS. Subject to subparagraph (B), this procedure must be used to verify the status of all aliens who claim to be qualified aliens and who present an INS-issued document that contains an alien registration or alien admission number.
(B) In any of the following cases, the secondary SAVE system verification procedure must be used to forward copies of original INS documents evidencing an alien's status as a qualified alien, as a nonimmigrant alien under the INA, or as an alien paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)), for less than one year:
(i) The primary SAVE system is unavailable for verification.
(ii) A primary check of the Alien Status Verification Index instructs the Uninsured Employers Fund or Subsequent Injuries Fund to “institute secondary verification.”
(iii) The document presented indicates immigration status but does not include an alien registration or alien admission number.
(iv) The Alien Status Verification Index record includes the alien registration or admission number on the document presented by the alien but does not match other information contained in the document.
(v) The document is suspected to be counterfeit or to have been altered.
(vi) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series.
(vii) The document is a fee receipt from INS for replacement of a lost, stolen, or unreadable INS document.
(viii) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for benefits from the UEF or SIF.
(5) Where verification through the SAVE system is not available, if the documents presented do not on their face reasonably appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the document should be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The UEF or SIF should request verification by the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his her original documents, or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant should be referred to the local INS office to obtain documentation.
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien under the PRWORA, the INS verification should be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, benefits shall be denied and the applicant notified of his or her rights to appeal the denial of benefits.
(7) Provided that the alien has completed and signed Form UEF-1 under penalty of perjury, eligibility for UEF or SIF benefits shall not be delayed, denied, reduced or terminated while the status of the alien is verified.
(f) Pursuant to Section 432(d) of the PRWORA (8 U.S.C. § 1642(d)), the UEF or SIF shall assure that a nonprofit charitable organization that provides federal, state, or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status or alienage.
(g) Pursuant to Section 434 of the PRWORA (8 U.S.C. § 1644), where the UEF or SIF reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service.
(h) Nothing in this section shall be construed to withdraw eligibility for medical treatment required for an emergency medical condition under Section 411(b) of the PRWORA (8 U.S.C. § 1621(b(1)). 
(i) Any applicant who is denied benefits, or whose benefits are terminated, pursuant to subsections (b) and (e), may file a Request for Administrative Review of benefit determination with the UEF Manager within 20 days of service of the notice of denial or termination of benefits from the UEF or SIF. The Request for Administrative Review shall be verified under penalty of perjury with proof of service on all parties, and shall provide a statement of reasons, as well as any relevant evidence, explaining why the determination of the UEF or SIF was in error.
(j) Upon receipt of the Request for Administrative Review, the UEF Manager shall informally reconsider the determination and shall issue a decision granting or denying the request within 45 days. A Request for Administrative Review as provided in subsection (i) shall be a prerequisite to the filing of a petition before the Workers' Compensation Appeals Board pursuant to subsection (k).
(k) Any applicant aggrieved by a decision of the UEF Manager on a Request for Administrative Review of benefit determination may file, within 20 days of service of the decision, a petition for relief before the Workers' Compensation Appeals Board. The petition shall be filed at the appeals board office that is designated for applications for adjudication of claim pursuant to Labor Code Section 5501.5., and shall be assigned to a workers' compensation judge for hearing and determination of the issues raised. A party aggrieved by the determination of the workers' compensation judge may seek relief from the determination in the same manner as specified for petitions for reconsideration pursuant to Labor Code Section 5900.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3716, 3716.1, 3716.2 and 4751, Labor Code. Reference: Sections 1621, 1641 and 1642, Title 8, United States Code; and Sections 3716, 3716.1, 3716.2, 4750-4755 and 5501.5, Labor Code.
HISTORY

1. New subchapter 2.1.1, article 1 (sections 15740-15741) and section filed 10-28-98; operative 11-27-98 (Register 98, No. 44).
§15741. Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits, Form UEF-1.
Note     •     History

View Graphic

	STATE PUBLIC BENEFITS TO CITIZENS AND ALIENS

	Citizens and nationals of the United States who meet all eligibility requirements may receive Uninsured Employers Fund or Subsequent Injuries Fund benefits and must fill out Sections A and D.

	Aliens who meet all eligibility requirements may also receive Uninsured Employers Fund or Subsequent Injuries Fund benefits and must complete SECTIONS A, B, C and D of this form.

	SECTION A: CITIZENSHIP/IMMIGRATION STATUS DECLARATION

	1. Is the applicant a citizen or national of the United States? 	Yes 	No 

	If the answer to the above question is yes, where was he/she born? 		

		   (State or Country) 

	2. To establish citizenship or nationality, please submit one of the documents on List A (attached to this form) which is legible and unaltered to establish proof.

	IF YOU ARE A CITIZEN OR NATIONAL OF THE UNITED STATES, GO DIRECTLY TO SECTION D. IF YOU ARE AN ALIEN, PLEASE COMPLETE SECTION B, AND, IF NECESSARY, SECTION C.

	SECTION B: ALIEN STATUS DECLARATION

	IMPORTANT: Please indicate the applicant's alien status below, and submit documents evidencing such status. The alien status documents listed for each category are the most commonly used documents that the United States Immigration and Naturalization Service (INS) provides to aliens in those categories. You can provide other acceptable evidence of your alien status even if not listed below. Where authorized by the INS, the documents you provide will be submitted to the INS for verification through the Systematic Alien Verification for Entitlements (“SAVE”) system. Should verification through the “SAVE” system be unavailable, the validity of the documents you provide may be verified directly with the issuing government agency.

	1.	An alien lawfully admitted for permanent residence 	
under the Immigration and Naturalization Act (INA). (Evidence includes: 

	· INS Form I-1551 (Alien Registration Receipt Card,commonly known as a “green card”); or

	· Unexpired Temporary I-551 stamp in foreign passport or on INS Form I-94). 

	2.	An alien who is granted asylum under section 208 of the INA. 	
(Evidence includes:

	· INS Form I-94 annotated with stamp showing grant of asylum under section 208 of the INA;

	· INS Form I-688B (Employment Authorization Card) annotated “274a.12(a)(5)”;

	· INS Form I-766 (Employment Authorization Document) annotated “A5”;
· Grant letter from the Asylum Office of INS; or
· Order of an immigration judge granting asylum.)

	3.	A refugee admitted to the United States under section 207 of the INA. 	
(Evidence includes: 

	· INS Form I-94 annotated with stamp showing admission under s207 of the INA;

	· INS Form I-688B (Employment Authorization Card) annotated “274a.12(a)(3)”;

	· INS Form I-766 (Employment Authorization Document) annotated “A3”; or
· INS Form I-571 (Refugee Travel Document).

	4.	An alien paroled into the United States for at least one year under section 	
212(d)(5) of the INA. (Evidence includes:

	· INS Form I-94 with stamp showing admission for at least one year under section 212(d)(5) of the INA. (Applicant cannot aggregate periods of admission for less than one year to meet the one-year requirement.)

	5.	An alien whose deportation is being withheld under section 243(h) of the INA 	
(as in effect immediately prior to September 30, 1996) or Section 241(b)(3) of such Act (as amended by section 305(a) of division C of Public Law 104-208). (Evidence includes:

	· INS Form I-688B (Employment Authorization Card) annotated “274a.12(a)(10)”;

	· INS Form I-766 (Employment Authorization Document) annotated “A10”; or

	· Order from an immigration judge showing deportation withheld under s243(h) of the INA as in effect prior to April 1, 1997, or removal withheld under s241(b)(3) of the INA.)

	6.	An alien who is granted conditional entry under section 203(a)(7) of the	
INA as in effect prior to April 1, 1980. (Evidence includes:

	· INS Form I-94 with stamp showing admission under s203(a)(7) of the INA;

	· INS Form I-688B (Employment Authorization Card) annotated “274a.12(a)(3)”; or

	· INS Form I-766 (Employment Authorization Document) annotated “A3”).

	7.	An alien who is a Cuban or Haitian entrant (as defined in section 501(e) of the 	
Refugee Education Assistance Act of 1980). (Evidence includes:

	· INS Form I-551 (Alien Registration Receipt Card, commonly known as a “green card”) with the code CU6, CU7, or CH6;

	· Unexpired temporary I-551 stamp in foreign passport or on INS Form I-94 with the code CU6 or CU7; or

	· INS Form I-94 with stamp showing parole as “Cuba/Haitian Entrant” under Section 212(d)(5) of the INA.)

	8.	An alien paroled into the United States for less than one year under section 	
212(d)(5) of the INA. (Evidence includes INS Form I-94 showing this status.)

	9.	An alien not in categories 1 through 8 who has been admitted to the United States 	
for a limited period of time (a non-immigrant). Non-immigrants are persons who have temporary status for a specific purpose. (Evidence includes INS Form I-94 showing this status.)

	SECTION C: DECLARATION FOR BATTERED ALIENS

	IMPORTANT: Complete this section if the applicant, the applicant's child or the applicant child's parent has been battered or subjected to extreme cruelty in the United States.

	1.	Has the INS or the EOIR granted a petition or application filed by or on behalf 	
of the applicant, the applicant's child, or the applicant's child's parent under the INA or found that a pending petition sets forth a prima facie case? Evidence includes one of the documents on List B (attached hereto)

	2.	Has the applicant, the applicant's child, or the applicant child's parent been	
battered or subjected to extreme cruelty in the United States by a spouse or parent, or by a spouse's or parent's family member living in the same house (where the spouse or parent consented to, or acquiesced in the battery or cruelty)?

	SECTION D:

	I DECLARE UNDER PENALTY OF PERJURY UNDER THE LAWS OF THE STATE OF CALIFORNIA THAT THE ANSWERS I HAVE GIVEN ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE.

	Applicant's Signature: 		Date:	

	Signature of Person Acting for Applicant:		Date:	
LIST “A”
(For Applicants for Uninsured Employers Fund or Subsequent Injuries Fund benefits who are citizens or nationals of the United States.)
A. Primary Evidence
· A birth certificate showing birth in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands, unless the person was born to foreign diplomats residing in the U.S.
Note: If the document shows that the individual was born in Puerto Rico, the U.S. Virgin Islands or the Northern Mariana Islands before these areas became part of the U.S., the individual may be a collectively naturalized citizen-(see Paragraph C below).
· United States passport (except limited passports, which are issued for periods of less than five years);
· Report of birth abroad of a U.S. citizen (FS-240) (issued by the Department of State to U.S. citizens);
· Certificate of birth (FS-545) (issued by a foreign service post) or Certification of Report of Birth (DS-1350) (issued by the Department of State), copies of which are available from the Department of State;
· Certificate of Naturalization (N-550 or N-570) (issued by the INS through a Federal or State court, or through administrative naturalization after December 1990 to individuals who are individually naturalized; the N-570 is a replacement certificate issued when the N-550 has been lost or mutilated or the individual's name has been changed);
· Certificate of Citizenship (N-560 or N-561) (issued by the INS to individuals who derive U.S. citizenship through a parent; the N-561 is a replacement certificate issued when the N-560 has been lost or mutilated or the individual's name has been changed);
· United States Citizen Identification Card (I-197) (issued by the INS until April 7, 1983 to U.S. citizens living near the Canadian or Mexican border who needed it for frequent border crossings) (formerly Form I-179, last issued in February 1974);
· Northern Mariana Identification Card (issued by the INS to a collectively naturalized citizen of the U.S. who was born in the Northern Mariana Islands before November 3, 1986);
· Statement provided by a U.S. consular officer certifying that the individual is a U.S. citizen (this is given to an individual born outside the U.S. who derives citizenship through a parent but does not have an FS-240, FS-545 or DS-1350); or
· American Indian Card with a classification code “KIC” and a statement on the back (identifying U.S. citizen members of the Texas Band of Kickapoos living near the U.S./Mexican border).
B. Secondary Evidence
If the applicant cannot present one of the documents listed in A above, the following may be relied upon to establish U.S. citizenship or nationality:
· Religious record recorded in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917)), American Samoa, Swain's Island or the Northern Mariana Islands (unless the person was born to foreign diplomats residing in such a jurisdiction) within three months after birth showing that the birth occurred in such jurisdiction and the date of birth or the individual's age at the time the record was made;
· Evidence of civil service employment by the U.S. government before June 1, 1976;
· Early school records (preferably from the first school) showing the date of admission to the school, the child's date and place of birth, and the name(s) and place(s) of birth of the parent(s);
· Census record showing name, U.S. citizenship or a U.S. place of birth, and date of birth or age of applicant;
· Adoption Finalization Papers showing the child's name and place of birth in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands (unless the person was born to foreign diplomats residing in such a jurisdiction) or, where or adoption is not finalized and the State or other jurisdiction listed above in which the child was born will not release a birth certificate prior to final adoption, a statement from a state-approved adoption agency showing the child's name and place of birth in one of such jurisdictions (NOTE: the source of the information must be an original birth certificate and must be indicated in the statement); or
· Any other document that establishes a U.S. place of birth or in some way indicates U.S. citizenship (e.g., a contemporaneous hospital record of birth in that hospital in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands (unless the person was born to foreign diplomats residing in such a jurisdiction). 
C. Collective Naturalization 
If the applicant cannot present one of the documents listed in A or B above, the following will establish U.S. citizenship for collectively naturalized individuals:
Puerto Rico:
· Evidence of birth in Puerto Rico on or after April 11, 1899 and the applicant's statement that he or she was residing in the U.S., a U.S. possession or Puerto Rico on January 13, 1941; or
· Evidence that the applicant was a Puerto Rican citizen and the applicant's statement that he or she was residing in Puerto Rico on March 1, 1917 and that he or she did not take an oath of allegiance to Spain.
U.S. Virgin Islands:
· Evidence of birth in the Virgin Islands, and the applicant's statement of residence in the U.S., a U.S. possession or the U.S. Virgin Islands on February 25, 1927;
· The applicant's statement indicating resident in the U.S. Virgin Islands as a Danish citizen on January 17, 1917 and residence in the U.S., a U.S. possession or the U.S. Virgin Islands on February 25, 1927, and that he or she did not make a declaration to maintain Danish citizenship; or
· Evidence of birth in the U.S. Virgin Islands and the applicant's statement indicating residence in the U.S., a U.S. possession or territory or the Canal Zone on June 28, 1932.
Northern Mariana Islands (NMI) (formerly part of the Trust Territory of the Pacific Islands (TTPI)):
· Evidence of birth in the NMI, TTPI citizenship and residence in the NMI, the U.S., or a U.S. territory or possession on November 3, 1986 (NMI local time) and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time);
· Evidence of TTPI citizenship, continuous residence in the NMI since before November 3, 1981 (NMI local time), voter registration prior to January 1, 1975 and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time); or
· Evidence of continuous domicile in the NMI since before January 1, 1974 and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time). Note: If a person entered the NMI as a nonimmigrant and lived in the NMI since January 1, 1974, this does not constitute continuous domicile and the individual is not a U.S. citizen.
D. Derivative Citizenship
If the applicant cannot present one of the documents listed in A or B above, you should make a determination of derivative U.S. citizenship in the following situations:
Applicant born abroad to two U.S. citizen parents:
· Evidence of the U.S. citizenship of the parents and the relationship of the applicant to the parents, and evidence that at least one parent resided in the U.S. or an outlying possession prior to the applicant's birth.
Applicant born abroad to a U.S. citizen parent and a U.S. non-citizen national parent:
· Evidence that one parent is a U.S. citizen and that the other is a U.S. non-citizen national, evidence of the relationship of the applicant to the U.S. citizen parent, and evidence that the U.S. citizen parent resided in the U.S., a U.S. possession, American Samoa or Swain's Island for a period of at least one year prior to the applicant's birth.
Applicant born out of wedlock abroad to a U.S. citizen mother:
· Evidence of the U.S. citizenship of the mother, evidence of the relationship to the applicant and, for births on or before December 24, 1952, evidence that the mother resided in the U.S. prior to the applicant's birth or, for births after December 24, 1952, evidence that the mother had resided, prior to the child's birth, in the U.S. or a U.S. possession for a period of one year.
Applicant born in the Canal Zone or the Republic of Panama:
· A birth certificate showing birth in the Canal Zone on or after February 26, 1904 and before October 1, 1979 and evidence that one parent was a U.S. citizen at the time of the applicant's birth; or
· A birth certificate showing birth in the Republic of Panama on or after February 26, 1904 and before October 1, 1979 and evidence that at least one parent was a U.S. citizen and employed by the U.S. government or the Panama Railroad Company or its successor in title.
All other situations where an applicant claims to have a U.S. citizen parent and an alien parent, or claims to fall within one of the above categories but is unable to present the listed documentation:
· If the applicant is in the U.S., refer him or her to the local INS office for determination of U.S. citizenship;
· If the applicant is outside the U.S., refer him or her to the State Department for a U.S. citizenship determination.
E. Adoption of Foreign-Born Child by U.S. Citizen
· If the birth certificate shows a foreign place of birth and the applicant cannot be determined to be a naturalized citizen under any of the above criteria, obtain other evidence of U.S. citizenship;
· Since foreign-born adopted children do not automatically acquire U.S. citizenship by virtue of adoption by U.S. citizens, refer the applicant to the local INS district office for a determination of U.S. citizenship if the applicant provides no evidence of U.S. citizenship.
F. U.S. Citizenship by Marriage
A women acquired U.S. citizenship through marriage to a U.S. citizen before September 22, 1922. Ask for: Evidence of U.S. citizenship of the husband, and evidence showing the marriage occurred before September 22, 1922.
Note: If the husband was an alien at the time of the marriage, and became naturalized before September 22, 1922, the wife also acquired naturalized citizenship. If the marriage terminated, the wife maintained her U.S. citizenship if she was residing in the U.S. at that time and continued to reside in the U.S.
LIST “B”
(For Applicants for Uninsured Employers Fund or Subsequent Injuries Fund benefits who are citizens or nationals of the United States.)
A. Documentation Evidencing an Appproved Petition or Application
· INS Form I-551 (“Resident Alien Card” or “Alien Registration Receipt Card”, commonly known as a “green card”) with one of the following INS class of admission (“COA”) codes printed on the front of a white card or the back of a pink card: AR1, AR6, C20 through C29, CF1, CF2, CR1, CR2, CR6, CR7, CX1 through CX3, CX6 through CX8, F20 through F29, FX1 through FX3, FX6 through FX8, IF1, IF2, IR1 through IR4, IR6 through IR9, IW1, IW2, IW6, IW7, MR6, MR7, P21 through P23, or P26 through P28.
If an alien claiming approved status presents a code different than those enumerated, or if you cannot determine the class of admission from the I-551 stamp, you should file INS Form G-845, and the G-845 Supplement (mark item six on the Supplement) (attached hereto) along with a copy of the document(s) presented, with the local INS office in order to determine whether the applicant gained his or her status because he or she was the spouse, widow, or child of a U.S. citizen or the spouse, child, or unmarried son or daughter of an lawful permanent resident.
· INS Form I-551 with one of the following COA codes stamped on the lower left side of the back of a pink card: IB1 through IB3, IB6 through IB8, B11, B12, B16, B17, B20 through B29, B31 through B33, B36 through B38, BX1 through BX3, or BX6 through BX8.
· INS Form I-551 with COA code Z13.
· Unexpired Temporary I-551 stamp in foreign passport or on INS Form I-94 with one of the COA codes specified in the Subsections (1)-(3), above.
· INS Form I-797 indicating approval of an INS I-130 petition (only I-130 petitions describing the following relationships may be accepted: husbands or wives of U.S. citizens or LPRs, unmarried children under 21 years old of U.S. citizens or LPRs, or unmarried children 21 or older of LPRs), or approval of an I-360 petition (only I-360 approvals based on status as a widow/widower of a U.S. citizen or as a self-petitioning spouse or child of an abusive U.S. citizen or LPR may be accepted).
· A final order of an Immigration Judge or the Board of Immigration Appeals granting suspension of deportation under section 244(a)(3) of the INA as in effect prior to April 1, 1997, or cancellation of removal under section 240A(b)(2) of the INA.
B. Documentation Demonstrating that the Applicant has Established a Prima Facie Case
· INS Form I-797 indicating that the applicant has established a prima facie case; or
· An immigration court or Board of Immigration Appeals order indicating that the applicant has established a prima facie case for suspension of deportation under INA section 244(a)(3) as in effect prior to April 1, 1997, or cancellation of removal under section 240A(b)(2) of the INA.
C. Documentation Indicating that the Applicant has Filed a Petition or that a Petition has been Filed on the Applicant's Behalf, as Applicable, but with no Evidence of Approval of the Petition or Establishment of a Prima Facie Case
The benefit provider shall determine from the documentation when the petition was filed and take the actions set forth below:
· Applicants with petitions filed before June 7, 1997 should have an INS Form I-797 indicating filing of the I-360 petition by “self-petitioning spouse [or child] of abusive U.S.C. or LPR,” a file-stamped copy of the petition, or another document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-360).
· Applicants with petitions filed after June 7, 1997 should have an INS Form I-797 indicating filing of the I-360 petition.
D. Documentation Indicating that the Applicant has filed a Petition or that a Petition was filed on His or Her Behalf, as Applicable
The following must indicate that the applicant is the widow/widower of a U.S. citizen, the husband or wife of a U.S. Citizen or LPR, the unmarried child under age 21 of a U.S. citizen or LPR, or the unmarried child age 21 or older of an LPR):
· For aliens on whose behalf a petition has been filed: INS Form I-797 indicating filing of an INS I-130 petition, a file-stamped copy of the petition, or another document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-130) (a sample copy of Form I-130 is attached to this Exhibit).
· For self-petitioning widows or widowers: a file-stamped copy of the INS I-360 petition, or another document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-360).
E. Documentation Indicating that the INS has Initiated Deportation or Removal Proceedings in which Relief may be Available
· an “Order to Show Cause”;
· a “Notice to Appear”; or
· a “Notice of Hearing in Deportation Proceedings.”
F. Minimal or no Documentation Regarding the Claimed Filing
If the applicant has some documentation, but it is insufficient to demonstrate filing, establishment of prima facie case or approval of a petition, you should fax the INS Request Form on your agency letterhead, as well as a copy of any document(s) provided by the applicant, to the INS Vermont Service Center in order to determine the applicant's status. If the applicant has no documentation, but is certain that a petition has been filed by his or her spouse or parent, you should fax the INS Request Form to the INS Vermont Service Center.
NOTE

Authority cited: Sections 54, 55, 59, 3702.10, 3716, 3716.1, 3716.2 and 4751, Labor Code. Reference: Sections 1621, 1641 and 1642, Title 8, United States Code; and Sections 3716, 3716.1, 3716.2 and 4750-4755, Labor Code.
HISTORY

1. New section filed 10-28-98; operative 11-27-98 (Register 98, No. 44).
Subchapter 2.2. Procedure Under the Laws Pertaining to the Alameda-Contra Costa Transit District, the Fresno Metropolitan Transit District, the Greater Bakersfield Metropolitan Transit District, the Marin County Transit District, the North San Diego County Transit Development Board, the Orange County Transit District, the Sacramento Regional Transit District, the San Diego County Transit District, the San Diego Metropolitan Transit Development Board, the San Francisco Bay Area Transit District, the San Mateo County Transit District, the Santa Barbara Metropolitan Transit District, the Santa Clara County Transit District, the So. California Rapid Transit District, the Stockton Metropolitan Transit District, and the West Bay Rapid Transit Authority
§15800. Definitions.
Note     •     History

(a) “Director” means Director of the Department of Industrial Relations.
(b) “Service” means the State Conciliation Service of the Department of Industrial Relations.
(c) “District” means the Alameda-Contra Costa Transit District, the Fresno Metropolitan Transit District, the Greater Bakersfield Metropolitan Transit District, the Marin County Transit District, the North San Diego County Transit Development Board, the Orange County Transit District, the Sacramento Regional Transit District, the San Diego County Transit District, the San Diego Metropolitan Transit Development Board, the San Francisco Bay Area Transit District, the San Mateo County Transit District, the Santa Barbara Metropolitan Transit District, the Santa Clara County Transit District, the So. California Rapid Transit District, the Stockton Metropolitan Transit District, and the West Bay Rapid Transit Authority, as the case may be.
(d) “Law” means the Alameda-Contra Costa “Transit District Law” of 1955, Part I, Division 10, Public Utilities Code Original Act, Chapter 1936, Stats. 1955, as amended; Fresno Metropolitan Transit District Act of 1961, Stats. 1975, Chapter 1335; Greater Bakersfield Metropolitan Transit District Act, Stats. 1971, Chapter 1161; Marin County Transit District Act, Stats. 1964, Chapter 92; North San Diego County Transit Development Board Act, Stats. 1975, Chapter 1188; Orange County Transit District Act of 1965, Stats. 1965, Chapter 1899, as amended; Sacramento Regional Transit District Act, Stats. 1971, Chapter 1374, as amended; San Diego County Transit District Act, Stats. 1965, Chapter 2039; San Diego Metropolitan Transit Development Act, Stats. 1975, Chapter 294, as amended; San Francisco Bay Area Transit District Act, Stats. 1957, Chapter 1056; San Mateo County Transit District Act, Stats. 1974, Chapter 502; Santa Barbara Metropolitan Transit District Act of 1965, Stats. 1965, Chapter 1835; Santa Clara County Transit District Act, Stats. 1969, Chapter 180, as amended; So. California Rapid Transit District Law, Stats. 1964, Chapter 62; Stockton Metropolitan Transit District Act of 1963, Stats 1963, Chapter 839; and West Bay Rapid Transit Authority Act, Stats. 1964, Chapter 104.
(e) “Hearing officer” means a hearing officer appointed by the Director of the Department of Industrial Relations.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor-Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment of subsections (c) and (d) filed 7-20-76 as an emergency; effective upon filing (Register 76, No. 30). For prior history, see Register 76, No. 25.
2. Certificate of Compliance filed 11-12-76 (Register 76, No. 46).
3. Amendment of subsections (c) and (d) refiled 11-23-76 as an emergency; effective upon filing (Register 76, No. 48).
4. Certificate of Compliance filed 3-22-77 (Register 77, No. 13).
5. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
§15805. Petition for Certification.
Note     •     History

(a) The investigation of a question concerning representation of employees shall be initiated by the filing of a petition with the service at the nearest office of the service. The service presently maintains offices in San Francisco, Los Angeles, Fresno and San Diego. Such petition shall be called a petition for certification and is a petition which would arise under paragraph (1)(A)(i) and (1)(B) of Section 9C of the Labor-Management Relations Act. It may be filed by any employee or group of employees or any individual or labor organization acting on their behalf and claiming to represent a majority of the employees in an appropriate unit or by a district.
In the event any petition seeks to include employees covered in whole or in part by an existing collective bargaining agreement between the district and any labor organization, such petition in order to be considered timely must be filed within the period 120 to 90 days, inclusive, prior to the date such collective bargaining agreement is subject to termination, amendment or modification.
(b) Petition fo Decertification. The investigation of a question concerning representation, alleging an individual or labor organization which has been certified or is being currently recognized as the bargaining representative is no longer such representative shall be called a petition for decertification and is one of the type which would arise under paragraph (1)(A)(ii) of Section 9(c) of the Labor-Management Relations Act. It may be filed by any employee or group of employees or any individual or labor organization acting on their behalf and shall be filed with the service as set forth in (a).
(c) Petition for clarification of an existing bargaining unit or petition for amendment of certification. A petition for clarification of an existing bargaining unit or a petition for amendment of certification, in the absence of a question concerning representation, is a petition which would arise under Section 9(b) of the Labor-Management Relations Act. It may be filed by a labor organization or by a district and shall be filed with the service as set forth in (a).
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 102505, and 125521, Public Utilities Code. Additional reference: Labor-Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Section 102.60-102.72.
HISTORY

1. Amendment of subsection (a) filed 10-25-73 as an emergency; effective upon filing. Certificate of Compliance included (Register 73, No. 43).
2. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
§15810. Form of Petition.
Note     •     History

(a) Petitions shall be in writing and signed, and shall be sworn to before a notary public or other person duly authorized by law to administer oaths and take acknowledgements. Five copies shall be filed.
(b) A petition shall contain the following:
(1) The name and address of the district, of responsible members, and of the establishments involved.
(2) The general nature of the district's business.
(3) A description of the bargaining unit which the petitioner claims to be appropriate.
(4) The names and addresses of any other labor organization which claims to represent any employees in the alleged or the certified appropriate unit, and brief descriptions of the contract or contracts, if any, covering the employees in such unit and the expiration date of such contract(s).
(5) The number of employees in the alleged appropriate unit.
(6) The name, affiliation (if any), and address of the petitioner (state if petitioner is the district).
(7) Any other relevant facts.
(c) In addition, a petition for certification, when filed by an employee or group of employees or an individual or labor organization acting in their behalf, shall also contain:
(1) A statement that the district declines to recognize the petitioner as the representative within the meaning of Section 9(a) of the Labor-Management Relations Act or that the labor organization is currently recognized but desires certification.
(2) Whether a strike or picketing is in progress at the establishment involved, and if so, the approximate number of employees participating, and the date such strike or picketing commenced.
(d) In addition, a petition for certification, when filed by a district, shall also contain:
(1) A brief statement setting forth that one or more individuals or labor organizations have presented to the petitioner a claim to be recognized as the exclusive representative of all employees in the unit claimed to be appropriate; a description of such unit; and the number of employees in the unit (if different from (b)(3) or (b)(4)).
(2) The name or names, affiliation if any, and addresses of the individuals or labor organizations making such claim for recognition (if different from (b)(4)).
(3) A statement whether the petitioner has contracts with any labor organization or other representatives of employees and if so, their expiration date.
(4) Whether a strike or picketing is in progress at the establishment involved and, if so, the approximate number of employees participating, and the date such strike or picketing commenced.
(e) In addition, a petition for decertification shall also contain:
(1) Name or names of the individuals or labor organizations who have been certified or are being currently recognized by the district and who claim to represent any employees in the unit involved, and the expiration date of any contracts covering such employees (if different from (b)(4)).
(2) An allegation that the individuals or labor organizations who have been certified or are currently recognized by the employer are no longer the representative in the appropriate unit as defined in Section 9(a) of the Labor Management Relations Act.
(3) Whether a strike or picketing is in progress at the establishment involved, and, if so, the approximate number of employees participating, and the date such strike or picketing commenced.
(f) In addition, a petition for clarification shall also contain:
(1) The name of the recognized or certified bargaining representative (if different from (b)(4)).
(2) If the bargaining unit is certified, an identification of the existing certification.
(3) A description of the proposed clarification.
(4) The number of employees in the unit as proposed under the clarification.
(5) The job classifications of employees as to whom the issue is raised, and the number of employees in each classification.
(6) A statement by petitioner setting forth reasons why petitioner desires clarification of unit.
(g) In addition, a petition for amendment of certification shall also contain:
(1) The name of the certified union involved.
(2) Identification and description of the existing certification.
(3) A statement by petitioner setting forth the details of the desired amendment and reasons therefor.
(h) Immediately upon filing, a copy of said petition shall be served by the service upon the district and upon any known labor organization purporting to act as representative of any employee directly affected by such petition.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Section 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15815. Percentage of Valid Authorizations Required to Determine Existence of a Representation Dispute.
Note     •     History

(a) No question concerning representation shall be deemed to exist unless the labor organization raising such question by petition shall make a showing of proved authorizations or membership of at least 30 percent of the employees in the proposed unit. Authorization must be signed and dated in the employees' own handwriting or witnessed mark. No authorizations will be accepted which bear a date more than six months before the date of the petition for investigation.
(b) In lieu of the submission of signed authorization or membership applications, an adequate showing of interest may be demonstrated by submission of proof satisfactory to the service that
(1) The petitioner held a contract covering employees in a utility or facility at the time of its acquisition by the district;
(2) And the district assumed such collective bargaining agreement pursuant to the provisions of any contract of acquisition or the terms of the act;
(3) And the proposed unit is identical with the unit established in such collective bargaining agreement.
(c) In the event a petition seeks to add a group of employees not covered by an existing service-certification, it shall be necessary to submit authorization or membership applications only for that portion of the proposed unit attributable to such accretion.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 102505, and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Section 102.60-102.72.
HISTORY

1. New NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15820. Consent Election Agreements.
Note     •     History

Where a petition has been duly filed, the district and any individuals or labor organization representing a substantial number of employees involved may, with the approval of the service, enter into a consent election agreement leading to a determination by the Director of facts ascertained after such consent election or may enter into an agreement providing for a waiver of hearing and a consent election leading to a determination by the facts ascertained after such consent election, if such a determination is necessary. Such agreement shall include a description of the appropriate unit, the time and place of holding the election, and the payroll to be used in determining what employees within the appropriate unit shall be eligible to vote. Such consent election shall be conducted under the direction and supervision of the service and in accordance with Sections 15870 and 15875 below. The service shall issue to the parties a certification of the results of the election, including a certification of representatives where appropriate.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15825. Investigation of Petition by Service.
Note     •     History

(a) After a petition has been filed under Section 15805(a) or (b), if no agreement for a consent election is entered into and if it appears to be service that there is reasonable cause to believe that a question of representation exists, that the policies of the act will be effectuated, and that an election will reflect the free choice of the employees on the appropriate unit, the service shall serve upon the petitioner, the district, any known individuals or labor organizations purporting to act as the representative of any employees directly affected by such investigation and any other parties a notice of hearing before a hearing officer at a time and place fixed therein, which notice shall be given at least 10 days in advance of the date specified for the hearing. A copy of the petition shall be served with such notice of hearing. Any such notice of hearing may be amended or withdrawn by the service at any time prior to the close of the hearing. When more than one petition has been filed involving all or part of the same group of employees, or otherwise raising common issues, the service may, on the motion of any of the parties, or on its own motion, order that said petitions be consolidated for the purpose of hearing and decision.
(b) After a petition has been filed under Section 15805(c), the service shall conduct an investigation and, as appropriate, may issue a decision with the approval of the Director without a hearing; or prepare and cause to be served upon the petitioner, the district, any known individuals or labor organizations purporting to act as representatives of any employees directly affected by such an investigation and any other parties, a notice of hearing before a hearing officer at a time and place fixed or take other appropriate action. A copy of the petition shall be served with such notice of hearing. Any such notice of hearing may be amended or withdrawn by the service at any time prior to the commencement of the hearing and by the hearing officer after commencement and prior to the close of the hearing. The decision of the Director shall be final.
(c) If after investigation of the petition it appears to the service that there is no reasonable cause to believe that there exists a question whether a labor organization represents a majority of employees of the district in an appropriate unit, or if the service determines that the petition has not been filed in accordance with these regulations, it shall have the power with the approval of the Director to dismiss the petition without a hearing or approve the withdrawal of the petition.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344 102403, 103401, 120505 and 125521, Public Utilities Code.Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15830. Conduct of Hearings.
Note     •     History

(a) Hearings shall be conducted by a hearing officer appointed by the Director and shall be open to the public unless otherwise ordered by the hearing officer. It shall be the duty of the hearing officer to inquire fully into all matters in issue and necessary to obtain a full and complete record upon which the service or the Director may discharge their duties under Section 25052 of the Public Utilities Code with respect to the Alameda-Contra Costa Transit District. Section 4.4 of the Public Utilities Code with respect to the Fresno Metropolitan Transit District, Section 101344 of the Public Utilities Code with respect to the Greater Bakersfield Metropolitan Transit District, Section 70122 of the Public Utilities Code with respect to the Marin County Transit District, Section 125521 with respect to the North San Diego County Transit Development Board, Section 40122 of the Public Utilities Code with respect to the Orange County Transit District, Section 102403 of the Public Utilities Code with respect to the Sacramento Regional Transit District, Section 90300(b) of the Public Utilities Code with respect to the San Diego County Transit District, Section 120505 of the Public Utilities Code with respect to the San Diego Metropolitan Development Board, Section 28851 of the Public Utilities Code with respect to the San Francisco Bay Area Transit District, Section 103401 with respect to the San Mateo County Transit District, Section 95651 of the Public Utilities Code with respect to the Santa Barbara Metropolitan Transit District, Section 100301 of the Public Utilities Code with respect to the Santa Clara County Transit District, Section 30751 of the Public Utilities Code with respect to the Southern California Rapid Transit District, Section 50121 of the Public Utilities Code with respect to the Stockton Metropolitan Transit District, and Section 13.91 of the Public Utilities Code with respect to the West Bay Rapid Transit Company. At any time a hearing officer may be substituted by the Director for a hearing officer previously presiding.
(b) The hearing officer may, in his discretion, continue the hearing from day to day, or adjourn it to a later date or to a different place, by announcement thereof at a hearing or by other appropriate notice.
(c) All motions, including motions for intervention pursuant to Section 15835 below, shall be in writing, or if made at the hearing may be stated orally on the record, and all briefly state the action or relief sought and the grounds for such motion. An original and one copy of written motions shall be filed and a copy thereof shall immediately be served by the moving party upon each of the other parties to the proceeding. Motions made prior to the hearing shall be filed with the service, and written motions made during the hearing shall be filed with the hearing officer. After the close of the hearing all motions shall be filed with the service. The director may rule upon all motions filed with the service, causing a copy of his ruling to be served upon each of the parties, or in the case of motions filed prior to the hearing he may refer the motion to the hearing officer. The hearing officer shall rule either orally on the record or in writing upon all motions filed at the hearing or referred to him as above provided, except that he shall refer to the director for appropriate action, at such time as the director considers the entire record, all motions to dismiss a petition.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment of subsection (a) filed 7-20-76 as an emergency; effective upon filing (Register 76, No. 30). For prior history, see Register 76, No. 25.
2. Certificate of Compliance filed 11-12-76 (Register 76, No. 46).
3. Amendment of subsection (a) filed 11-23-76 as an emergency; effective upon filing (Register 76, No. 48).
4. Certificate of Compliance filed 3-22-77 (Register 77, No. 13).
5. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15835. Intervention.
Note     •     History

Any labor organization or other person desiring to intervene in any hearing shall make a motion for intervention stating the grounds upon which such labor organization or other person claims to have an interest in the proceeding. The hearing officer or the service, as the case may be, may by order in writing or on the record permit intervention to such extent and upon such terms as he may deem proper, and such intervenor shall thereupon become a party to the proceeding; provided, however, that (1) no labor organization which is a party to a contract covering employees in the alleged appropriate unit shall be denied the right to intervene as a party in such proceeding, and (2) no labor organization which makes a showing of proved authorizations or membership of at least 10 percent of the employees in the unit claimed to be appropriate by the petitioner shall be denied the right to intervene as a party in such proceedings. Any labor organization desiring to intervene for the purpose of seeking an election in a unit different from that claimed to be appropriate by the petitioner shall be required to make a showing of proved authorizations or membership of a least 30 percent of the employees in the unit claimed to be appropriate by the organization seeking intervention. The district shall be deemed a party to each proceeding hereunder without the necessity of intervening therein.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15840. Rights and Duties of Parties at Hearing.
Note     •     History

(a) Any party shall have the right to appear at any hearing in person, by counsel, or by other representative, and any party and the hearing officer shall have power to call, examine and cross-examine witnesses and to introduce into the record documentary and other evidence. Witnesses shall be examined orally under oath. The rules of evidence prevailing in courts of law or equity shall not be controlling. Stipulations of fact may be introduced in evidence with respect to any issue.
(b) Any objection with respect to the conduct of the hearing, including any objection to the introduction of evidence, may be stated orally or in writing, accompanied by a short statement of the grounds of such objection and included in the record. No such objection shall be deemed waived by further participation in the hearing.
(c) All motions, rulings and orders shall become a part of the record. Rulings by the hearing officer shall not be appealable to the director but shall be considered--and may be affirmed, modified or reversed--by the director when he reviews the entire record.
(d) Any party shall be entitled, upon request, to a reasonable period at the close of the hearing for oral argument, which shall be included in the stenographic report of the hearing.
(e) Misconduct at any hearing shall be grounds for summary exclusion by the hearing officer from further participation in such hearing.
(f) The refusal of a witness at a hearing to answer any question which has been ruled to be proper shall in the discretion of the hearing officer be ground for striking all testimony previously given by such witness on related matters.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. New NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15845. Subpoenas.
Note     •     History

(a) Application for subpoenas may be filed in writing by any party with the service if made prior to the hearing, and with the hearing officer if made at the hearing. The service or the hearing officer, as the case may be, shall forthwith cause the subpoenas to be issued. Applications for subpoenas may be made ex parte. Any person served with a subpoena, whether ad testificandum or duces tecum, who does not intend to comply therewith shall within five days after the date of service file with the service a petition to revoke the subpoena. The service may rule upon said petition or refer it for ruling to the hearing officer; provided that if the hearing at which the subpoenaed evidence is to be produced has opened, the petition to revoke shall be filed with and ruled upon by the hearing officer. Notice of the filing of a petition to revoke shall be promptly given by the service or the hearing officer, as the case may be, to the party at whose request the subpoena was issued. The service or the hearing officer, as the case may be, shall revoke a subpoena if in their opinion the evidence sought does not relate to any matter under investigation or in question in the proceedings, is not relevant, or the subpoena does not describe with sufficient particularity the evidence the production of which is required, or if for any other reason sufficient in law the subpoena is otherwise invalid. The service or hearing officer, as the case may be, shall make a simple statement in writing or on the record of the procedural or other grounds for this ruling. Filing with reference to the revocation of a subpoena shall not become part of the record except upon the request of the party aggrieved by the ruling on the petition. Persons compelled to produce written evidence are entitled to retain the same, but the party compelling its production may pay the cost of procuring a copy thereof to be submitted in evidence in lieu of the original.
(b) Witnesses summoned before the hearing officer shall be paid by the party at whose instance the witness appears.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15850. Briefs.
Note     •     History

The hearing officer shall upon request allow parties to file briefs following the completion of the hearing. Copies of such briefs shall be concurrently served upon all parties.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. New NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15855. Duties of Hearing Officer Following Hearing.
Note     •     History

Upon the close of a hearing, the hearing officer shall as expeditiously as possible prepare a proposed decision and order which shall include a written analysis of the record and of the arguments of the parties, his findings of fact and his determination upon the issues submitted to him. If he shall determine that an election is to be held, he shall set forth the appropriate unit or units within which such election shall be held and the categories of employees who shall be eligible to vote in such unit or units. The original of such proposed decision and order--together with the petition or petitions, notices of hearing, written motions, rulings or orders, the stenographic report of the hearing, stipulations, exhibits and documentary evidence, affidavits of service, depositions, and briefs or other legal memoranda submitted by the parties--shall constitute the record in the proceedings and shall promptly be forwarded to the director by the hearing officer. The Director shall review the hearing record and proposed order and decision. The decision of the Director shall be final pending any review set forth in Section 15860. A copy of the proposed decision and order shall immediately be served upon each of the parties.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15860. Exceptions.
Note     •     History

Within twenty (20) days from the date of service of the proposed decision and order, any party may file with the service two copies of a statement in writing setting forth exceptions or newly discovered evidence, (evidence which has become available only since the close of the hearing), to the proposed decision and order, or to any other part of the record or proceedings (including rulings upon all motions or objections), together with two copies of a brief in support of said exceptions. Any party may within seven additional days from the time the exceptions were filed or within 20 days from the date of service of the proposed decision and order, whichever is longer, file a brief in support of the proposed decision and order and in opposition to the review. Copies of such exceptions and briefs shall immediately be served on each of the other parties and proof thereof shall be promptly filed with the service.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15865. Determination.
Note     •     History

After the period for the filing of such exception has expired, the Director may deny the request for review without waiting for a statement in opposition to review and in support of the proposed decision or, the director may await a statement in opposition to review and in support of the proposed decision, and then shall promptly decide the matter upon the record, and shall issue his decision and order, which shall include a written analysis of the record and of the arguments of the parties, his findings of fact and his determination upon the issues submitted to him. The Director may adopt the proposed decision and order of the hearing officer as his own. The granting of a review may stay the Director's decision if he so directs. The Director shall grant review only where compelling reasons exist therefor. The Director may, as he determines, accept additional evidence or hold hearings. If he shall determine that an election is to be held he shall order such election within such unit or units as he shall have found appropriate, and shall determine the categories of employees who shall be eligible to vote in such unit or units. A copy of the decision and order of the Director shall be served upon each of the parties.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15870. Election Procedures.
Note     •     History

(a) All elections shall be conducted by the service and shall be by secret ballot. Whenever two or more labor organizations are included as choices in an election, any participant, upon its prompt request to and approval thereof by the director, whose decision shall be final, may have its name removed from the ballot. Provided, however, that in a proceeding involving a district-filed petition or a petition for decertification, the labor organization certified, currently recognized or found to be seeking recognition may not have its name removed from the ballot without timely notice in writing to all parties and to the service disclaiming any representation interest among the employees in the unit.
Any party may be represented by observers of its own selection, subject to such limitations as the service may prescribe. Any party and any agent or representative of the service may challenge for good cause the eligibility of any person to participate in the election. Each challenged ballot shall be impounded. Upon the conclusion of the election the service shall cause a tally of the ballots to be furnished to each party. Within five days thereafter any party may file with the service two copies of objections to the conduct of the election or conduct affecting the results of the election, which shall contain a short statement of the reasons for the objections. The objecting party shall immediately serve a copy of such objections upon each other party and file with the service proof of service and shall, upon request, promptly furnish evidence available to it to support the objections.
(b) If (1) no objections are filed within the time specified in subsection (a) above, and (2) any challenged ballots are insufficient in number to affect the results of the election, and (3) no runoff election is to be held pursuant to Section 15875 below, the service shall forthwith issue to the parties a certification of the results of the election, including certification of representatives where appropriate; and the proceeding will thereupon be closed.
(c) If objections are filed to the conduct of the election or conduct affecting the results of the election, or if the challenged ballots are sufficient in number to affect the results of the election, the service or Director shall investigate such objections or challenges, or both, and shall prepare and cause to be served upon the parties a report on such objections or challenged ballots, or both. If a consent election has been held where a hearing was waived and a consent election leading to a determination by the Director of the facts ascertained after such consent election, the service or Director shall prepare and cause to be served on the parties a report on challenged ballots or objections or both. Within 10 days from the date of issuance of the report on such objections or challenged ballots, or within such additional period as the service may allow upon written application for extension made within such 10-day period, any party may file with the service two copies of exceptions to such report. Immediately upon the filing of such exceptions, the filing party shall cause a copy thereof to be served upon each of the other parties, and proof thereof shall be promptly filed with the service. If no exceptions are filed to such report within the time permitted, the Director may issue his written decision in conformity with such report, as to the validity of such objections or challenges or may make other disposition of the case based on an administrative investigation or in the exercise of his reasonable discretion, and the service shall thereupon promptly act to close the proceeding in accordance with such decision.
(d) If exceptions are filed, either to the report or challenged ballots or objections, or both if it be a consolidated report, the director shall appoint a hearing officer to examine the exceptions and make recommendations. If it appears to the hearing officer that such exceptions do not raise substantial and material factual issues with respect to the conduct of the election or conduct affecting the results of the elections, he may make his written recommendations to the director forthwith, and shall immediately serve copies of said recommendations upon the parties. Within 10 days from the date of issuance of the aforesaid recommendations, or within such additional period as the director may allow upon written application for extension made within the 10-day period, any party may file with the director two copies of exceptions to the hearing officer's recommendations. Immediately upon the filing of such exceptions, the filing party shall cause a copy to be served upon each of the other parties and proof thereof shall be promptly filed with the director.
(e) If it appears to the hearing officer that any exceptions filed to the report of the service on challenged ballots or objections raise substantial and material factual issues, he shall cause to be served upon the parties a notice of hearing on said exceptions, which notice shall be given at least 10 days in advance of the date specified for the hearing. The hearing shall be conducted by the hearing officer in accordance with the provisions of Sections 15830, 15840, 15845, and 15850 insofar as applicable. Upon the close of the hearing, the hearing officer shall prepare and deliver to the director a written report resolving questions of credibility and containing findings of fact and recommendations to the director as to the disposition of the challenges or objections, or both if it be a consolidated report. Said report--together with (1) the notice of hearing, (2) motions, (3) rulings, (4) orders, (5) stenographic report of the hearing, (6) stipulations, (7) exceptions, (8) documentary evidence and briefs, (9) objections to the conduct of the election or conduct affecting the results of the election, (10) the report of the service on such objections, (11) the report of the service on challenged ballots, (12) exceptions to the report of the service on objections or to the report on challenged ballots, and (13) the record previously made--shall constitute the record in the case. A copy of the hearing officer's report shall immediately be served upon each of the parties, where-upon any of the parties may file exceptions to said report within the same time limitations and requirements as to service, and proof thereof, as are provided for in the case of exceptions filed under subsection (d) of this section.
(f) After the period for the filing of exceptions under subsection (d) or (e), as the case may be, has expired the director shall issue his written decision and cause copies thereof to be served upon the parties. If the hearing officer has issued recommendations under subsection (d), finding that the exceptions to the report of the service do not raise substantial and material factual issues, and exceptions to such recommendations have been filed, and after consideration of such exceptions the director shall decide that the exceptions to the report of the service do raise substantial and material factual issues, he shall direct the hearing officer to issue a notice of hearing, whereupon the procedures for a hearing and the issuance of the hearing officer's report provided for in subsection (e) of this section (including the provision for filing exceptions to the hearing officer's report) shall be followed. The director may adopt the recommendations of the hearing officer issued under subsection (d) or the report of the hearing officer issued under subsection (e) as his own. The service shall thereafter promptly proceed to take such action as may be called for by the decision of the director, after which the proceedings will be closed.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15875. Runoff Elections.
Note     •     History

(a) The service shall conduct a runoff election, without further order of the director, when an election in which a ballot providing for not less than three choices (i.e. at least two representatives and “neither” or “none”) results in no choice receiving a majority of the valid ballots cast, which runoff election shall be held promptly following final disposition of any challenges, objections or exceptions which followed the prior election as provided in Section 15870. Only one runoff election shall be held pursuant to this section.
(b) Employees who were eligible to vote in the election and who are employed in an eligible category on the date of the runoff election shall be the only employees eligible to vote in the runoff election.
(c) The ballot in the runoff election shall provide for a selection between the two choices receiving the largest and second largest number of votes.
(d) In the event the number of votes cast in an inconclusive election in which the ballot provided for a choice among two or more representatives and “neither” or “none” is equally divided among the several choices, or in the event the number of ballots cast for one choice in such election is equal to the number cast for another of the choices but less than the number cast for the third choice, the director shall declare the first election a nullity and shall conduct another election among the three choices which received the greatest number of ballots in the original election; provided that in the event there was a tie in the original election between the third and fourth choices or among the third, fourth and other choices, the director shall in the runoff election include on the ballot all such tied choices. In the event two or more choices receive the same number of ballots, and if either (1) there are no challenged ballots which would affect the results of the election, or (2) after all challenges have been disposed of it is found that all eligible voters have cast valid ballots, there shall be no runoff election and the petition shall be dismissed. Only one such further election pursuant to this subsection (d) may be held.
(e) The provisions of Section 15870 above shall be applicable to a runoff election.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31). 
§15875.1. Relevant Federal Law.
Note     •     History

In resolving questions of representation, the Director shall apply the relevant federal law and administrative practice developed under the Labor Management Relations Act, 1947, as amended.
NOTE

Authority and reference cited: Section 54, Labor Code; and Sections 4.4, 13.91, 25052, 28851, 30751, 40122, 50121, 70122, 90300b, 95651, 100301, 101344, 102403, 103401, 120505 and 125521, Public Utilities Code. Additional reference: Labor Management Relations Act, 1947, Section 9, 29 USC Section 159; 29 CFR Sections 102.60-102.72.
HISTORY

1. New section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
Subchapter 2.3. Election Procedure Under San Francisco Bay Area Rapid Transit District Law
NOTE

Authority cited for Group 2.3: Section 54, Labor Code and Section 28851, Public Utilities Code.
HISTORY

1. New Group 2.3 ( §§ 15900-15926) filed 1-5-73; effective thirtieth day thereafter (Register 73, No. 1).
2. Repealer of Group 2.3 (Sections 15900-15926) filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
Subchapter 3. Payment of Prevailing Wages upon Public Works
Article 1. Definitions
§16000. Definitions.
Note     •     History

The following terms are defined for general use in these regulations within Group 3, Payment of Prevailing Wages Upon Public Works and Group 4, Awarding Body Labor Compliance Programs:
Area of Determination. The area of determining the prevailing wage is the “locality” and/or the “nearest labor market area” as determined by the Director. In determining the area, the mobility of each craft, classification and type of work will be considered.
Awarding body. Any state or local government agency, department, board, commission, bureau, district, office, authority, political subdivision, regional district officer, employee, or agent awarding/letting a contract/purchase order for public works.
Bid. Any proposal submitted to an awarding body in competitive bidding for the construction, alteration, demolition, repair, maintenance, or improvement of any structure, building, road, property, or other improvement of any kind.
Certified. The affirmation of a person with the authority to so affirm, under the penalty of perjury that the records are originals or are full, true and correct copies of the original and depict truly, fully and correctly the craft or type of work performed, hours and days worked, and the amounts by category listed, disbursed by way of cash, check, or in whatever form or manner to each person by job classification and/or skill pursuant to a public works contract.
Chief of DAS. Chief of Division of Apprenticeship Standards or a duly authorized representative.
Chief of DLSE/Labor Commissioner. Chief of the Division of Labor Standards Enforcement or a duly authorized representative.
Chief of DLSR. Chief of the Division of Labor Statistics and Research or a duly authorized representative.
Coverage. This means being subject to the requirements of Part 7, Chapter 1 of the Labor Code as a “public work.” This includes all formal coverage determinations issued by the Director of Industrial Relations.
DAS. Division of Apprenticeship Standards.
Date of Notice or Call for Bids. The date the first notice inviting bids was published in a newspaper of general circulation or promulgated in a legally sufficient manner which results in a contract being awarded with or without competitive bidding. This may also be referred to as the Bid Advertisement Date.
Days. Unless otherwise specified means calendar days.
DLSE. The Division of Labor Standards Enforcement.
DLSR. The Division of Labor Statistics and Research.
Director. The Director of the Department of Industrial Relations or his/her duly authorized representative.
Duly Authorized Representative. An employee of the Department of Industrial Relations.
Effective Date. The date upon which the determinations of the Director go into effect. This date is ten days after the issue date of the determination.
Employer Payments. Includes:
(1) The rate of contribution irrevocably made by a contractor or subcontractor to a trustee or to a third person pursuant to a fund, plan, or program for the benefit of employees, their families and dependents, or retirees;
(2) The rate of costs to the contractor or subcontractor which may be reasonably anticipated in providing benefits to employees, their families and dependents or to retirees pursuant to an enforceable commitment or agreement to carry out a financially responsible plan or program which was communicated in writing to the workers affected; and
(3) The rate of contribution irrevocably made by the contractor or subcontractor for apprenticeship or other training programs authorized by Section 3071 and/or 3093 of the Labor Code.
Expiration Date. The date upon which the determinations of the Director are subject to change.
General Prevailing Rate of Per Diem Wages. Includes:
(1) The prevailing basic straight-time hourly rate of pay; and
(2) The prevailing rate for holiday and overtime work; and
(3) The prevailing rate of employer payments for any or all programs or benefits for employees, their families and dependents, and retirees which are of the types enumerated below:
(A) medical and hospital care, prescription drugs, dental care, vision care, diagnostic services, and other health and welfare benefits;
(B) retirement plan benefits;
(C) vacations and holidays with pay, or cash payments in lieu thereof;
(D) compensation for injuries or illnesses resulting from occupational activity;
(E) life, accidental death and dismemberment, and disability or sickness and accident insurance;
(F) supplemental unemployment benefits;
(G) thrift, security savings, supplemental trust, and beneficial trust funds otherwise designated, provided all of the money except that used for reasonable administrative expenses is returned to the employees;
(H) occupational health and safety research, safety training, monitoring job hazards, and the like, as specified in the applicable collective bargaining agreement;
(I) See definition of “Employer Payments,” (3).
(J) other bonafide benefits for employees, their families and dependents, or retirees as the Director may determine; and
(4) travel time and subsistence pay as provided for in Labor Code Section 1773.8.
(b) The term “general prevailing rate of per diem wages” does not include any employer payments for:
(1) Job related expenses other than travel time and subsistence pay;
(2) Contract administration, operation of hiring halls, grievance processing, or similar purposes except for those amounts specifically earmarked and actually used for administration of those types of employee or retiree benefit plans enumerated above;
(3) Union, organizational, professional or other dues except as they may be included in and withheld from the basic taxable hourly wage rate;
(4) Industry or trade promotion;
(5) Political contributions or activities;
(6) Any benefit for employees, their families and dependents, or retirees including any benefit enumerated above where the contractor or subcontractor is required by Federal, State, or local law to provide such benefit; or
(7) Such other payments as the Director may determine to exclude. Interested Party. When used with reference to a particular prevailing wage determination made by the Director, includes:
(1) Any contractor or subcontractor, or any organization, association, or other representative of any contractor or subcontractor likely to bid on or to perform a contract for public work which is subject to the particular prevailing wage determinations, and/or
(2) Any worker in the particular craft, classification, or type of work, who may be employed on a public work project subject to the particular prevailing wage determination, or any labor organization or other representative of such a person, including the recognized collective bargaining representative for the particular craft, classification, or type of work; and/or
(3) Any awarding body or association or other representative of awarding bodies concerned with the administration of a pubic works contract or proposed contract, which is subject to the particular prevailing wage determination.
Helper. Any subjourneyman classification traditionally used to assist a journeyman. Under no circumstance may the Helper classification be used to replace statutorily required Apprentices.
Identify or Give Notice of Identity. This means to state the name, job title, address and current telephone number of a person or entity.
Interim Determination. Those determinations of the Director issued between the quarterly updates.
Issue Date-Issuance. The date upon which copies of the determination of the Director are deposited in the mail.
LCP. A labor compliance program initiated and enforced by an awarding body in accordance with these regulations.
Locality. See Labor Code Section 1724.
Maintenance. Includes:
(1) Routine, recurring and usual work for the preservation, protection and keeping of any publicly owned or publicly operated facility (plant, building, structure, ground facility, utility system or any real property) for its intended purposes in a safe and continually usable condition for which it has been designed, improved, constructed, altered or repaired.
(2) Carpentry, electrical, plumbing, glazing, [touchup painting,] and other craft work designed to preserve the publicly owned or publicly operated facility in a safe, efficient and continuously usable condition for which it was intended, including repairs, cleaning and other operations on machinery and other equipment permanently attached to the building or realty as fixtures.

Exception: 1: Janitorial or custodial services of a routine, recurring or usual nature is excluded.

Exception: 2: Protection of the sort provided by guards, watchmen,  or other security forces is excluded.
(3) Landscape maintenance. See Public Contract Code Section 21002.

Exception: Landscape maintenance work by “sheltered workshops” is excluded.
Mistake, Inadvertence, or Neglect. Mistake, inadvertence, or neglect in failing to pay the correct general rate of per diem wages means the lack of knowledge that any reasonable person would also be expected to have under the same or similar circumstances.
Nearest labor market Area. The nearest geographical area from which workers of the crafts, classifications, and types to be used in the performance and execution of the public work can be drawn for employment upon such public work.
Payroll Records. All time cards, cancelled checks, cash receipts, trust fund forms, books, documents, schedules, forms, reports, receipts or other evidences which reflect job assignments, work schedules by days and hours, and the disbursement by way of cash, check, or in whatever form or manner, of funds to a person(s) by job classification and/or skill pursuant to a public works project.
Person. Any individual [or legal entity, including a] partnership, corporation, association, or any local, state, regional, national or international organization, public or private, or any awarding body, or any agent or officer thereof, authorized to act for or on behalf of any of the foregoing.
Political Subdivision. See Labor Code Section 1721.
Predetermined Changes. Definite changes to the basic hourly wage rate, overtime, holiday pay rates, and employer payments which are known and enumerated in the applicable collective bargaining agreement at the time of the bid advertisement date and which are referenced in the general prevailing rate of per diem wages as defined in Section 16000 of these regulations. Contractors are obligated to pay up to the amount that was predetermined if these changes are modified prior to their effective date. Predetermined changes which are rescinded prior to their effective date shall not be enforced.
Prevailing Rate. Includes:
(1) The basic hourly rate being paid to a majority of workers engaged in the particular craft, classification or type of work within the locality and in the nearest labor market area, if a majority of such workers is paid at a single rate; if there is no single rate being paid to a majority, then the single rate (modal rate) being paid to the greater number of workers is prevailing. If there is no modal rate, then an alternate rate will be established by considering the appropriate collective bargaining agreements, Federal rates or other data such as wage survey data, including the nearest labor market area, or expanded survey as provided in Article 4 of these regulations;
(2) Other employer payments as defined in Section 16000 of these regulations and as included as part of the total hourly wage rate, from which the prevailing basic hourly wage rate was derived. In the event the total hourly wage rate does not include any employer payments, then the Director may establish a prevailing employer payment rate by the same procedure outlined in subsection (1) above.
(3) The rate for holiday or overtime work shall be those rates specified in the collective bargaining agreement when the basic hourly rate is based on a collective bargaining agreement rate. In the event the basic hourly rate is not based on a collective bargaining agreement, holidays and overtime (if any) included with the prevailing basic hourly rate of pay shall be prevailing.
Public Entity. For the purpose of processing requests for inspection of payroll records or furnishing certified copies thereof, “public entity” includes: the body awarding the contracts; the Division of Apprenticeship Standards (DAS), or the Division of Labor Standards Enforcement (DLSE).
Public Funds. Includes state, local and/or federal monies.
Note: Public funds do not include money loaned to a private entity where work is to be performed under private contract, and where no portion of the work is supervised, owned, utilized, or managed by an awarding body.
Public Works. See Sections 1720, 1720.2, 1720.3, and 1771 of the Labor Code.
Service upon a Contractor or Subcontractor. This is the process defined in Title 8, California Code of Regulations, (CCR) Section 16801(a)(2)(A).
Serve upon the Labor Commissioner. Delivery of all documents including legal process to the Headquarters of the Labor Commissioner.
Sheltered workshop. A nonprofit organization licensed by the Chief of DLSE employing mentally and/or physically handicapped workers.
Wage Survey. An investigation conducted pursuant to Labor Code Sections 1773 and/or 1773.4 to determine the general prevailing rate of per diem wages for the crafts/classifications in the county(ies) for which the survey questionnaire was designed.
Willful. See Labor Code Section 1777.1(d).
Worker. See Labor Code Sections 1723 and 1772.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1191.5, 1720, 1720.2, 1720.3, 1721, 1722, 1722.1, 1723, 1724, 1770, 1771, 1772, 1773.5, 1776, 2750.5, 3071 and 3093, Labor Code; and Section 21002, Public Contract Code.
HISTORY

1. Repealer of group 3 (articles 1-3, sections 16000-16004, 16100-16101 and 16200-16205) and new group 3 (articles 1-4, sections 16000-16013, 16100-16109, 16200-16206 and 16300-16305) filed 1-3-77 as an emergency; effective upon filing (Register 77, No 2). For prior history, see Register 56, No. 8.
2. New group 3 (sections 16000-16014, 16100-16109, 16200-16207.9) filed 2-8-78; effective thirtieth day thereafter (Register 78, No. 6).
3. Renumbering and amendment of former sections 16000-16006 and 16008-16019 to section 16000; renumbering and amendment of former section 16100 to section 16002; renumbering and amendment of former section 16101 to section 16203; renumbering and amendment of former sections 16102-16105 to section 16200; renumbering and amendment of former section 16106 to section 16206; renumbering and amendment of former sections 16107(a), (b) and (c) to sections 16201, 16202 and 16205; renumbering and amendment of former section 16108 to section 16204; renumbering and amendment of former section 16200 to section 16300; renumbering and amendment of former sections 16007, 16201, 16202, 16204 and 16206 to section 16302; renumbering and amendment of former section 16207 to section 16303; renumbering and amendment of former sections 16207.2 and 16207.3 to section 16304; renumbering and amendment of former section 16207.5 to section 16100; renumbering and amendment of former section 16207.7 to section 16301; renumbering and amendment of former sections 16207.10-16207.14 to section 16400; renumbering and amendment of former sections 16207.15 and 16207.16 to section 16401; renumbering and amendment of former section 16207.17 to section 16402; renumbering and amendment of former section 16207.18 to section 16403; renumbering and amendment of former section 16207.19 to section 16500; repealer of former sections 16100.1, 16109, 16203, 16205, 16207.1, 16207.4, 16207.6 and 16207.8; and new sections 16001, 16101 and 16102 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7). For prior history, see Registers 82, No. 51; 80, No. 6; 79, No. 19; 72, No. 23 and 72, No. 13. 
4. Amendment filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
5. Repealer of definition of “Predetermined Changes” filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
6. Amendment of definition of “Prevailing Rate” filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
7. Change without regulatory effect restoring definition of “Predetermined Changes” and repealing amendments to definition of “Prevailing Rate” filed 2-19-99 (Register 99, No. 8). Pursuant to Sacramento Superior Court Order Issued 6-4-97 in Case 97CS 00471 the amendments filed 12-27-96 and effective 1-27-97 were invalidated and the prior regulations were reinstated.
Article 2. Work Subject to  Prevailing Wages
§16001. Public Works Subject to Prevailing Wage Law.
Note     •     History

(a) General Coverage. State prevailing wage rates apply to all public works contracts as set forth in Labor Code Sections 1720, 1720.2, 1720.3, 1720.4, and 1771.
(1) Any interested party enumerated in Section 16000 of these regulations may file with the Director of Industrial Relations or the Director's duly authorized representative, as set forth in Section 16301 of these regulations, a request to determine coverage under the prevailing wage laws regarding either a specific project or type of work to be performed which that interested party believes may be subject to or excluded from coverage as public works under the Labor Code. If such a request is filed by any party other than the awarding body, a copy of the request must be served upon the awarding body, in accordance with the filing procedures set forth in Section 16302(d) of these regulations, when it is filed with the Director.
(2) Within 15 days of receipt of a copy of the request for a coverage determination, the awarding body shall forward to the Director or his/her duly authorized representative as provided for in Section 16301 of these regulations, any documents, arguments, or authorities it wishes to have considered in the coverage determination process.
(3) All parties to the coverage determination request shall have a continuing duty to provide the Director or his/her duly authorized representative as provided for in Section 16301 of these regulations, with relevant documents in their possession or control, until a determination is made. Where any party or parties' agent has a document in their possession, but refuses to release a copy, the Department shall consider that the documents, if released, would contain information adverse to the withholding party's position and may close the record and render a decision on the basis of that inference and the information received.
(b) Federally Funded or Assisted Projects. The application of state prevailing wage rates when higher is required whenever federally funded or assisted projects are controlled or carried out by California awarding bodies of any sort.
(c) Field Surveying Projects. Field survey work traditionally covered by collective bargaining agreements is subject to prevailing wage rates when it is integral to the specific public works project in the design, preconstruction, or construction phase.
(d) Residential Projects. Residential projects consisting of single family homes and apartments up to and including four stories are subject to payment of prevailing wages when paid for in whole or in part out of public funds, including federally-funded or assisted residential projects controlled or carried out by an awarding body.
Note: Such projects may require a special determination by the Director which should be requested by the awarding body at least 45 days before the commencement of advertising of the call for bids by the awarding body.
(e) Commercial Projects. All non-residential construction projects including new work, additions, alterations, reconstruction and repairs. Includes residential projects over four stories.
(f) Maintenance. Public works contracts for maintenance are subject to prevailing wage rate payment as set forth in Section 1771 of the Labor Code.
Note: See Article 1 for definition of term “maintenance.”
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1720, 1720.2, 1720.3, 1720.4 and 1771, Labor Code.
HISTORY

1. Amendment of subsection (a) and NOTE and adoption of subsections (a)(1)-(3) and (e) and relettering former subsection (e) to (f) filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
2. Amendment of subsection (b) and (d) and Note filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
3. Change without regulatory effect repealing amendments to subsections (b) and (d) and Note filed 2-19-99 (Register 99, No. 8). Pursuant to Sacramento Superior Court Order Issued 6-4-97 in Case 97CS 00471 the amendments filed 12-27-96 and effective 1-27-97 were invalidated and the prior regulations were reinstated.
§16002. Coverage of Worker.
Note

The determinations of the Director will cover those crafts, classifications or types of workers employed in public works as set forth in Sections 1720, 1720.2, 1720.3, and 1771 of the Labor Code.
NOTE

Authority cited: Sections 1723 and 1773.5, Labor Code. Reference: Sections 1720, 1720.2, 1720.3 and 1771, Labor Code. 
§16002.5. Appeal of Public Work Coverage Determination.
Note     •     History

(a) Those interested parties enumerated in Section 16000 of these regulations may appeal to the Director of Industrial Relations or the Director's duly authorized representative as set forth in Section 16301 of these regulations a determination of coverage under the public works laws (Labor Code Section 1720 et seq.) regarding either a specific project or type of work under Section 16001(a) of these regulations. Such notice of appeal must be served within 30 days of the issuance of the coverage determination. The party appealing the determination must, in accordance with the filing procedures set forth in Section 16302(d) of these regulations, give written notification to the awarding body and any other identifiable parties.
(b) The notice of appeal shall state the full factual and legal grounds upon which the determination is appealed, and whether a hearing is desired. The decision to hold a hearing is within the Director's sole discretion. The Director may appoint a hearing officer to conduct the hearing and propose a decision on the appeal. The Director shall make the final decision on the appeal.
(c) The authority of the Director to determine coverage of projects under the prevailing wage laws is quasi-legislative, and a final determination on any appeal is subject to judicial review pursuant to the Code of Civil Procedure, Section 1085.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1720, 1720.2, 1720.3, 1720.4 and 1771, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
§16003. Requests for Approval of Volunteer Labor.
Note     •     History

NOTE

Authority cited: Sections 54 and 1773.5, Labor Code. Reference: Section 1720.4, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
2. Change without regulatory effect repealing section filed 4-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 16).
Article 3. Duties, Responsibilities, and Rights of Parties
§16100. Duties, Responsibilities and Rights.
Note     •     History

The parties listed in this section must comply with the provisions of the Labor Code applicable to the payment of prevailing wages on public works contracts.
(a) Department and Division Authority in Prevailing Wage Issues. The Director shall establish and coordinate the administration of the State's prevailing wage law, including the determination of coverage issues. The lead agency for the determination of prevailing wage rates shall be the Division of Labor Statistics and Research. The lead agency for the enforcement of the payment of prevailing wages is the Division of Labor Standards Enforcement. The lead agency for the coordination on apprenticeship is the Division of Apprenticeship Standards. This section shall not be construed to preclude any filing requirements with DLSR of appropriate agreements or petitions regarding determinations or any other documents, papers, books, etc. otherwise required by the law or these regulations.
(b) The Awarding Body shall:
(1) Obtain the prevailing wage rate from the Director in accordance with Labor Code Sections 1771 and 1773.
(2) Specify the appropriate prevailing wage rates, in accordance with Labor Code Sections 1773.2 and 1777.5.
(A) The posting requirement is applicable for each job site.

Exception: If more than one worksite exists on any project, then the applicable rates may be posted at a single location which is readily available to all workers.
(B) If a wage rate for a craft, classification or type of worker is not published in the Director's general prevailing wage determinations, a request for a special determination should be made by the awarding body to Chief, Division of Labor Statistics and Research, P.O. Box 420603, San Francisco, CA 94142, at least 45 days prior to the project bid advertisement date.
(3) Notify DAS. See Labor Code Section 1773.3.
(4) Inform prime contractors, to the extent feasible, of relevant public work requirements:
Note: Requirement information may be disseminated at a preacceptance of bid conference or in a call for bids or at an award of bid conference.
The public works requirements are:
(A) the appropriate number of apprentices are on the job site, as set forth in Labor Code Section 1777.5.
(B) worker's compensation coverage, as set forth in Labor Code Sections 1860 and 1861.
(C) keep accurate records of the work performed on the public works project, as set forth in Labor Code Section 1812.
(D) inspection of payroll records pursuant to Labor Code Section 1776, and as set forth in Section 16400 (e) of these regulations.
(E) and other requirements imposed by law.
(5) Withhold monies. See Labor Code Section 1727.
(6) Ensure that public works projects are not split or separated into smaller work orders or projects for the purpose of evading the applicable provisions of Labor Code Section 1771.
(7) Deny the right to bid on public work contracts to contractors or subcontractors who have violated public work laws, as set forth in Labor Code Section 1777.7.
(8) Not permit workers on public works to work more than eight hours a day or 40 hours in any one calendar week, unless compensated at not less than time and a half as set forth in Labor Code Section 1815.

Exception: If the prevailing wage determination requires a higher rate of pay for overtime work than is required under Labor Code Section 1815, then that higher overtime rate must be paid [, as specified in subsection 16200(a)(3)(F) of these regulations.]
(9) Not take or receive any portion of the workers' wages or accept a fee in connection with a public works project, as set forth in Labor Code Sections 1778 and 1779.
(10) Comply with those requirements as specified in Labor Code Sections 1776(g), 1777.5, 1810, 1813, and 1860.
(c) Contractor-subcontractor.
The contractor and subcontractor shall:
(1) Pay not less than the prevailing wage to all workers, as defined in Section 16000(a) of these regulations, and as set forth in Labor Code Sections 1771 and 1774;
(2) Comply with the provisions of Labor Code Sections 1773.5, 1775, and 1777.5 regarding public works jobsites;
(3) Provide workers' compensation coverage as set forth in Labor Code Section 1861;
(4) Comply with Labor Code Sections 1778 and 1779 regarding receiving a portion of wages or acceptance of a fee;
(5) Maintain and make available for inspection payroll records, as set forth in Labor Code Section 1776;
(6) Pay workers overtime pay, as set forth in Labor Code Section 1815 or as provided in the collective bargaining agreement adopted by the Director as set forth in Section 16200 (a) (3) of these regulations; and
(7) Comply with Section 16101 of these regulations regarding discrimination.
(8) Be subject to provisions of Labor Code Section 1777.7 which specifies the penalties imposed on a contractor who willfully fails to comply with provisions of Section 1777.5.
(9) Comply with those requirements as specified in Labor Code Sections 1810 and 1813.
(10) Comply with other requirements imposed by law.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1720, 1720.2, 1720.3, 1726, 1727, 1728, 1729, 1770, 1771, 1773, 1773.2, 1773.3, 1773.4, 1773.5, 1774, 1775, 1776, 1777.5, 1777.7, 1778, 1779, 1810, 1811, 1812, 1813, 1815, 1860 and 1861, Labor Code.
HISTORY

1. Amendment of subsection (b)(2)(B) filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
§16101. Discrimination.
Note

See Labor Code Sections 1735, 1777.5, 1777.6, and 3077.5.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1735, 1777.5, 1777.6 and 3077.5, Labor Code.
§16102. Interested Party.
Note

An interested party, as defined in Section 16000 of these regulations, may be a source of wage data information, as provided in Section 16200(e) of these regulations.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1773.4, Labor Code. 
Article 4. Wage Determinations
§16200. General; Basis for Determining Prevailing Wage Rate.
Note     •     History

The Director shall follow those procedures specified in Sections 1773 and 1777.5 of the Labor Code and in these regulations when making a prevailing wage determination.
(a) Collective Bargaining Agreements or Wage Surveys.
(1) Filing of collective bargaining agreements.
(A) To enable the Director to ascertain and consider the applicable wage rates established by collective bargaining agreements when making prevailing wage determinations, the representatives of any crafts, classifications, or types of workers needed to execute any public works contracts shall file with the Department of Industrial Relations fully executed copies of all their collective bargaining agreements, including any and all addenda which modify the agreements, within 10 days of their execution and shall be considered as the basis for a prevailing wage determination whenever on file 30 days before the call for bids on a project.
(B) Copies of collective bargaining agreements filed with the Department of Industrial Relations pursuant to Sections 1773.1 and 1773.8 of the Labor Code, and Section 16200(a)(1)(A) of these regulations shall be addressed to: Chief, Division of Labor Statistics and Research, P.O. Box 420603, San Francisco, CA 94142.
(C) Collective bargaining agreements filed with the Division of Labor Statistics and Research must be accompanied by a signed statement which is certified as true and correct to the best of the knowledge and belief of the person preparing the statement, under penalty of perjury, and which:
1. certifies that the agreement filed is fully executed and in effect, unless it is a signed original agreement or photocopy thereof, or a printed copy of a fully executed agreement showing the names of the signatory parties, except in the case of a printed agreement the Director may require certification;
2. names or otherwise identifies all California counties within the jurisdiction of the local union or unions signatory to the agreement;
3. names and provides the address of the signatory employer association or, if there be no signatory employer association, provides the names and addresses of all contractors signatory to the agreement, unless such information is contained in the agreement;
4. provides the number of workers currently employed under the terms of the agreement and, if practicable, the number of workers in each county within the jurisdiction of the signatory local union or unions;
5. provides any other information not contained in the agreement that the Director may need to give proper consideration to applicable wage rates established by collective bargaining.
(D) Copies of collective bargaining agreements which are not bona fide shall not be deemed filed. The party filing a contract may be asked to substantiate the assertion that such collective bargaining agreement is bona fide.
(2) Criteria for using collective bargaining agreement wage rates as basis of prevailing wage determinations. Before accepting the collective bargaining agreement wage rate for the applicable craft and locality, DLSR shall take the following factors into consideration:
(A) The geographical area(s) specified in the agreement;
(B) The number of workers covered by the agreement;
(C) If signatory parties to the agreement have workers in the geographical area(s);
(D) If work has been performed in the geographical area(s) specified in the agreement in the past 12 months;
(E) The wage rates determined by the federal government as set forth in Section 16200(b).
(3) Adoption of Collective Bargaining Agreements.
(A) If the Director determines pursuant to Section 1773 of the Labor Code that the rate established by a collective bargaining agreement is the general prevailing rate of per diem wages for each craft, classification or type of worker and the Director adopts such rate by referral, the Director will publish such rate. Only those rates and employer payments specifically enumerated in the definition of “general prevailing rate of per diem wages” in Section 16000 shall be included in the rate adopted.
(B) When such rate is adopted, and in the case where the collective bargaining agreement contains definite and predetermined changes during its term which will affect the rate adopted, the Director shall incorporate such changes in the determination.
Note: A statement must be filed with the Director for any adjustments made to a contract which are not contained in the agreement currently on file with DLSR.
(C) When such rate is adopted, and in the case where the collective bargaining agreement contains changes during its term which will affect the rate adopted, which are not definite or predetermined, the changes shall not be adopted. The prior determination will remain in effect until a new determination is issued. Any interested party may request that the Director make a new determination when contract changes become definite and determined by filing a statement as set forth in Section 16200(a)(1). The statement must summarize the amounts and effective dates of any cost-of-living adjustments, allocations of interim wage increases to wages and employer payments, and other relevant changes which will affect the rate adopted by the Director. The statement must be signed by an officer or agent of the bargaining representative and certified, under penalty of perjury, as true and correct to the best of his or her knowledge and belief.
(D) When such agreement is adopted as the basis of the prevailing wage determination, all wage classifications may be considered.
(E) Holidays. Holidays specifically named in the collective bargaining agreement or determined by wage surveys shall be included in the wage determination. Overtime pay may be required as provided in Section 16200(a)(3)(F) of these regulations.
(F) Overtime. Overtime will be paid as indicated in the wage determination.

Exception 1: If a workweek other than Monday through Friday is a fixed business practice or is required by the awarding body, no overtime payment is required for the first eight hours on Saturday or Sunday.

Exception 2: If the collective bargaining agreement provides for Saturday and Sunday work at straight-time, no overtime payment is required for the first eight hours on Saturday or Sunday.

Exception 3: If the awarding body determines that work cannot be performed during normal business hours or work is necessary at off hours to avoid danger to life or property, no overtime is required for the first eight hours in any one calendar day, and 40 hours during any one calendar week.

Exception 4: No overtime payment is required for less than 40 hours in a standard work week or for less than eight hours in a calendar workday unless specified in the collective bargaining agreement used as the basis for the prevailing wage determination.
(G) Wage rates, training contributions and apprenticeship contributions. Apprenticeship rates shall be determined by the Director of Industrial Relations using apprentice wage standards set forth in the collective bargaining agreement and/or approved by the California Apprenticeship Council. A contractor or subcontractor on a public works contract must pay training fund contributions or apprenticeship contributions in one of the following manners:
1. into the appropriate craft apprenticeship program in the area of the site of the public work; or
2. (if the trust fund is unable to accept such contributions) an equivalent amount shall be paid to the California Apprenticeship Council (CAC) administered by DAS.
3. If neither of the above will accept the funds, cash pay shall be as provided for in Section 16200(a)(3)(I) of these regulations.
(H) Rates for helpers. Rates for helpers will be published when the information available to the Director indicates that a practice of using such a subclassification prevails in a particular area, such as contained in a collective bargaining agreement, and within the parameters of the applicable collective bargaining agreement. In the absence of such determination, the helper classification may not be used as a substitute for a journeyman or apprentice. This section does not exempt the contractor from the 1-5 apprentice-journeyman ratio requirements set forth in Labor Code Section 1777.5.
(I) Credit Available For Actual Payment of Fringe Benefit Costs up to the Prevailing Amount. The contractor obligated to pay the full prevailing rate of per diem wages may take credit for amounts up to the total of all fringe benefit amounts listed as prevailing in the appropriate wage determination. This credit may be taken only as to amounts which are actual payments under Employer Payments Section 16000(1)-(3). In the event the total of Employer Payments by a contractor for the fringe benefits listed as prevailing is less than the aggregate amount set out as prevailing in the wage determination, the contractor must pay the difference directly to the employee. No amount of credit for payments over the aggregate amount of employer payments shall be taken nor shall any credit decrease the amount of direct payment of hourly wages of those amounts found to be prevailing for straight time or overtime wages.
(b) Federal Rates. In reviewing rates predetermined for federal public works, the Director will consider those rates published pursuant to the Davis-Bacon Act.
(c) Data collection shall be in accordance with Labor Code Section 1773.
(d) Wage rate factors.
Note: Wage surveys are conducted by DLSR.
(1) The following factors shall be considered:
(A) Type of work to be performed;
(B) Classification(s) of worker(s) needed;
(C) Geographical area of project;
(D) Nearest labor market area;
(E) If work has been performed in the geographical area in the past 12 months.
(F) Mobility of craft, classification, or type of worker needed for project;
(G) Number of workers in craft or job classification;
(H) Normal industry practice in selection of craft and classification of worker;
(I) Size (dollar amount) of project;
(J) Degree of project's remoteness from survey area.
(2) Time period used in determining prevailing wage by survey. The time period reference for establishing the prevailing wage in the area of determination shall be the 12-month period prior to the request for a wage determination unless another time period is necessary. In such cases, the Director shall establish the appropriate time period.
(e) Other information. Pursuant to Section 1773 of the Labor Code, the Director may also obtain and consider other data from interested parties, and shall give consideration to data submitted by any interested party, concerning rates actually paid on public or private projects under construction or recently completed in the locality and in the nearest labor market area. Such data may be obtained by holding a hearing, instituting an investigation, or by such other means as the Director determines will best serve the purposes of the law. Information submitted by interested parties for the Director's consideration shall include, but not be limited to the following for each project:
(1) the name, address, job title, and telephone number of the interested party submitting the information and the basis for qualification as an interested party under Section 16102;
(2) the basic hourly wage rate, overtime and holiday pay rates, and employer payments as enumerated in Section 16000 of these regulations for each classification in question as effective for the last payroll period, or most recent payroll period, for which payments based on such rates were actually made;
(3) the number of workers employed on the project in each classification in question during the payroll period for which data is submitted;
(4) the location of the project;
(5) the name and address of the contractor or subcontractor making the payments, and of all other contractors or subcontractors on the project;
(6) the type of construction (e.g. residential, commercial building, etc.);
(7) the approximate cost of construction;
(8) the beginning date and completion date, or estimated completion date of the project;
(9) the source of data (e.g. “payroll records”);
(10) the method of selection of the projects for which data is submitted, when data is not submitted for all projects recently completed or in progress in the locality or in the nearest labor market area.
NOTE

Authority cited: Sections 1773 and 1773.5, Labor Code. Reference: Sections 1770, 1771, 1773, 1773.1, 1773.5, 1773.8, 1777.5, 1810 and 1815, Labor Code.
HISTORY

1. Order of Repeal of subsection (a)(3)(E) filed 8-24-88 by OAL pursuant to Government Code section 11340.15 (Register 88, No. 35). 
2. Amendment of subsections (a)(1), (a)(3) and (b) filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
3. Repealer of subsection (a)(3)(B), subsection relettering, and amendment of newly designated subsections (a)(3)(B), (a)(3)(D), and (a)(3)(F)(3) filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
4. Amendment of subsection (b) filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
5. Change without regulatory effect repealing 12-27-96 amendments filed 2-19-99 (Register 99, No. 8). Pursuant to Sacramento Superior Court Order Issued 6-4-97 in Case 97CS 00471 the amendments filed 12-27-96 and effective 1-27-97 were invalidated and the prior regulations were reinstated.
§16201. General Area Determinations.
Note

When the Director determines that the general prevailing rate of per diem wages for a particular craft, classification, or type of worker is uniform throughout an area, the Director shall issue a determination enumerated county by county, but covering the entire area. Such determinations will ordinarily be made for an entire county or group of counties and shall constitute the Director's determination for all localities in which public work is performed within that county or counties except as the geographic application of the determination may be specifically limited by the determination itself.
Note: General determinations are usually issued on a quarterly basis. However, the Director may issue an interim wage determination following the procedures set forth in Section 1773 of the Labor Code, and in these regulations. See Section 16000 as to issue date, and Section 16204 as to effective date of determination. The general determination usually applies where a collective bargaining agreement has been filed and adopted as the prevailing wage rate.
NOTE

Authority cited: Sections 1773.5 and 1773.6, Labor Code. Reference: Section 1773, Labor Code. 
§16202. Special Determinations.
Note

(a) Awarding body request. The awarding body shall request the Director to make a determination for a particular craft, classification or type of worker not covered by a general determination. Any such request shall be submitted at least 45 days prior to the bid advertisement date.
(b) Department of Industrial Relations initiated determination. Where an awarding body does not specify the prevailing wage rate as set forth in Labor Code Section 1773.2, any interested party (as defined in Section 16000 of these regulations) may petition the Director as set forth in Labor Code Section 1773.4 and Section 16302 of these regulations. The Labor Commissioner may, prior to the letting of the bid, request such a determination of the Director.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1770, 1773 and 1773.4, Labor Code.
§16203. Format.
Note

(a) All determinations made by the Director of the general prevailing rate of per diem wages for a particular craft, classification, or type of worker will separately specify each of the following components:
(1) The prevailing basic straight-time hourly wage rate.
(2) The following statement when applicable: “In accordance with Labor Code Section 1773, holidays upon which the prevailing hourly wage rate for holiday work shall be paid shall be all holidays recognized in the collective bargaining agreement applicable to the particular craft, classification or type of workers employed on the project, which is on file with the Director of Industrial Relations.”
(3) The prevailing employer payments for benefits included in the general prevailing rate of per diem wages pursuant to Section 1773.1 of the Labor Code and enumerated in Section 16000 of these regulations.
(4) The following statement when applicable. “The contractor shall make travel and subsistence payments to each worker needed to execute the work, as such travel and subsistence payments are defined in the applicable collective bargaining agreements filed with the Director of Industrial Relations in accordance with Labor Code Section 1773.8.”
(b) Where the prevailing employer payment for any benefit is expressed in a formula or method of payment other than an hourly rate the Director may convert the rate to an hourly rate whenever such action would facilitate the administration of the law.
(c) The applicability of the apprentice rate of per diem wages shall be indicated and furnished upon request.
(d) The dates between which the applicable rate shall be paid for work performed in those periods shall be indicated.
(e) As a supplement to each determination the Director shall make available to any awarding body upon request, a list of all holidays recognized and the provision for travel and subsistence payments, taken from the applicable collective bargaining agreement.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1773.5, Labor Code. 
§16204. Effective Dates of Determination and of Rates Within Determination.
Note     •     History

(a) Effective Date of Determination.
(1) All determinations issued will be effective ten (10) days after issuance, provided that requests for copies, reprints or reissuance of prior determinations shall not affect the original effective date unless a new effective date is reflected upon the determination (see subdivision (3) below). Any call for bids put out on or after the effective date of the determination must reflect that determination unless the Director determines that subdivision (4) of this section is applicable, after notification and request by an awarding body.
(2) Determinations issued by the Director will show an issue date and will ordinarily show an expiration date.
(3) All determinations will remain in effect until their expiration date or until modified, corrected, rescinded or superseded by the Director. 
(4) Determinations modified, corrected, rescinded or superseded on the basis of information contained in copies of collective bargaining agreements filed with the Department shall not be effective as to any project in which a call for bids takes place less than 30 days after the filing of the agreement.
Note: See Section 1773.1 of the Labor Code.
(5) It shall be the responsibility of the awarding body to ensure that the correct determination is used.
(b) Modification of Effective Date of Determination by Asterisks. Meaning of single and double asterisks. Prevailing wage determinations with a single asterisk (*) after the expiration date which are in effect on the date of advertisement for bids remain in effect for the life of the project. Prevailing wage determinations with double asterisks (**) after the expiration date indicate that the basic hourly wage rate, overtime and holiday pay rates, and employer payments to be paid for work performed after this date have been predetermined. If work is to extend past this date, the new rate must be paid and should be incorporated in contracts entered into now. The contractor should contact the Prevailing Wage Unit, DLSR, or the awarding body to obtain predetermined wage changes. All determinations that do not have double asterisks (**) after the expiration date remain in effect for the life of the project.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1770, 1773 and 1773.1, Labor Code.
HISTORY

1. Amendment of subsections (a)(3) and (b) filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
2. Amendment of subsection (a)(3), repealer and new subsection (b) and amendment of Note filed 12-27-96; operative 1-26-97 (Register 96, No. 52).
3. Change without regulatory effect repealing 12-27-96 amendments to section and Note filed 2-19-99 (Register 99, No. 8). Pursuant to Sacramento Superior Court Order Issued 6-4-97 in Case 97CS 00471 the amendments filed 12-27-96 and effective 1-27-97 were invalidated and the prior regulations were reinstated.
§16205. Procedures for Obtaining Prevailing Wage Determinations.
Note     •     History

An awarding body may request to be put on a mailing list for all area wage determinations for a specific county or counties or may request that a special or general prevailing wage determination be furnished when needed, by writing to Chief, Division of Labor Statistics and Research, P.O. Box 420603, San Francisco, CA 94142. All requests for special prevailing wage determinations must be confirmed in writing and must specify the location where the public work is to be performed, including the county and the particular crafts, classifications, or types of workers for which a determination is needed.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1770 and 1773, Labor Code.
HISTORY

1. Amendment filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
§16206. Corrections.
Note

Upon his or her own initiative or at the request of any interested party, the Director shall correct any error in a published determination that is the result of clerical error, such as a typographical error or a transposition of letters or digits, by issuing a corrected determination or a modification of the determination. The Director may correct any error issued in a determination by reissuing such determination.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1770 and 1773, Labor Code.
Article 5. Petitions to Review Prevailing Wage Determinations
§16300. Delegation of Authority.
Note

(a) The Chief of DLSR is the authorized representative of the Director for the purpose of:
(1) Receiving collective bargaining agreements and other documents and papers pertaining to making prevailing wage determinations under Part 7, Chapter 1, Article 2 of the Labor Code and these regulations;
(2) Gathering information needed to make prevailing wage determinations under Part , Chapter 1, Article 2 of the Labor Code and these regulations, and may for that purpose institute investigations, conduct hearings, or employ such other means as shall best serve the purpose of the law;
(3) Issuing prevailing wage determinations under Part 7, Chapter 1, Article 2 of the Labor Code and these regulations; and
(4) Responding to petitions regarding determinations.
(b) The Director reserves the right to make all final determinations.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1770, 1771, 1772, 1773 et seq., 1774, 1775, 1776, 1777, 1777.5 et seq., 1778, 1779 and 1780, Labor Code. 
§16301. Referral of Prevailing Wage Issues to Director's Office.
Note

Any new or unresolved issue other than of a routine nature as to coverage of or amount of the prevailing wage raised by an awarding body or other interested party may be referred to the Chief of DLSR as the Director's duly authorized representative for final determination, including appeals of any determination relating either to coverage or to the rate of the prevailing wage rate, subject only to Section 16300(b) of these regulations.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1773.4, Labor Code. 
§16302. Petition to Review Prevailing Wage Determinations.
Note     •     History

Those interested parties enumerated in Section 1773.4 of the Labor Code, and defined in Section 16000 of these regulations, may file with the Director or the Chief of DLSR, within 20 days after commencement of advertising of a call for bids by any awarding body, a petition to review a determination of any rate or rates made by the Director, pursuant to Section 1773 of the Labor Code, which is specified in or referred to in the call for bids.
(a) Manner of Filing. Every petition filed pursuant to Section 1773.4 of the Labor Code shall be filed with the Director by mail to the Chief, Division of Labor Statistics and Research, P.O. Box 420603, San Francisco, CA 94142, or may be filed in person at 455 Golden Gate Avenue, 5th Floor, San Francisco, CA 94102.
(b) Filing. Where any paper, letter, petition, or document is required or permitted to be filed pursuant to these regulations or pursuant to the prevailing wage provisions of the Labor Code, it shall be deemed filed with any person, awarding body or division upon actual delivery to and receipt by such person, awarding body, or division.
(c) Content of Petition. Every petition filed pursuant to Section 1773.4 of the Labor Code shall contain and separately state the following:
(1) The name, address, telephone number and job title of:
(A) the person filing the petition;
(B) the person verifying the petition, if different from the person filing;
(C) if applicable, petitioner's attorney or authorized representative.
(2) Whether the petitioner is an awarding body, a prospective bidder, or the representative of one or more crafts, classifications or types of workers involved in the public works contract;
(3) The nature of petitioner's business, if a prospective bidder, and a designation of each craft, classification, or type of worker represented, or types of workers involved in the public works project.
(4) (A) the official name of the awarding body;
(B) the date on which the call for bids was first published;
(C) the name and location of the newspaper in which such publication was made. An accurate copy of the call for bids as published shall be attached to the petition.
(5) If petitioner is an awarding body which is a department, board, authority or political subdivision other than a county, city and county, city, township, or regional district, the awarding body shall describe the parent or principal organization of which it is a part, and shall specify the statutory authority for undertaking public works.
(6) If the petitioner is a prospective bidder, then the parent or subsidiary corporations or associations related to such craft, classification or type of work, if any, shall be specified.
(7) The manner in which the wage rate determined by the Director fails to comply with the provisions of Labor Code Section 1773.
(A) Every petition asserting that the applicable prevailing rate for one or more crafts, classifications or types of workers needed to execute a contract is different from that ascertained by the Director shall set forth the rate the petitioner claims to be correct for each disputed rate, together with specific reference to particular facts providing the basis for such claim.
1. Whenever such facts relate to a particular employer of such crafts, classifications, or types of workers, the facts stated must identify the employer by name and address and give the number of workers involved.
2. Whenever such facts relate to an applicable collective bargaining agreement which the petitioner alleges was not considered by the Director pursuant to Section 1773 of the Labor Code, a copy of the agreement, if not already filed with the Director, should be filed concurrently with the petition in the manner provided in Section 16200(a)(1) of these regulations.
3. Whenever such facts relate to rates actually paid on public or private projects under construction or recently completed in the locality and in the nearest labor market area, the facts stated should include all of the items of information enumerated in Section 16200(e) of these regulations.
(B) Every petition asserting that the Director has failed to ascertain and consider all applicable rates required to be considered by it shall specifically state in the petition which rates have not been considered by the Director.
(C) Where rates ascertained by the Director are the same as the applicable rates established by the collective bargaining agreement and rates of pay determined for federal public works within the locality and the nearest labor market area where the public work is performed, the petition shall specifically describe the manner and extent to which such rates do not constitute the rates actually prevailing in the locality where the public work is to be performed, and shall set forth and fully identify the existence of any rates asserted by petitioner to be prevailing in the locality and relied upon in support of the petition.
(d) Filing Copy With Awarding Body. If the petitioner is not an awarding body, the petitioner may concurrently with the filing of the original petition, or otherwise shall within two days thereafter, excluding Saturdays, Sundays and holidays, file a copy of the petition with the awarding body and not later than five days, excluding Saturdays, Sundays and holidays, after the filing of the original petition, the petitioner shall file with the Chief of DLSR an affidavit of the filing with the awarding body. The Director may waive this requirement upon receipt of written confirmation, including a copy of such notification by the petitioner.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1773, 1773.1, 1773.4, 1773.5, 1773.8 and 1776, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
§16303. Quasi-Legislative Nature of Authority.
Note

(a) The authority of the Director to establish the prevailing wage for any craft, classification, or type of worker is quasi-legislative. The Director has the discretion to establish these prevailing wages in a quasi-legislative manner which may include an investigation, hearing, or other action. Any hearing under this process is quasi-legislative and is subject to review pursuant to the Code of Civil Procedure Section 1085.
(b) The Director may in his or her discretion initiate an investigation or hold a hearing or take such other action as is reasonably necessary which would best effectuate the purposes of the law and of these regulations, except as such action may be expressly prohibited by law.
NOTE

Authority cited: Section 1773.5, Labor Code; and Winzler & Kelly (1981) 121 C.A. 3d 120; Western Assn. of Engineers & Land Surveyors v. DIR, Judicial Council Coord. Proceeding No. 449, Sac. Superior Court No. 285433. Reference: Sections 1770, 1773 and 1773.4, Labor Code; and Section 1085, Code of Civil Procedure.
§16304. Hearings.
Note

When a hearing is held, including a petition to review under Labor Code Section 1773.4, it shall be in accordance with the following procedures:
(a) Hearing Procedures.
(1) A time and place of the hearing shall be fixed.
(2) All interested parties made known to the Director shall be notified by registered or certified mail, return receipt requested, of the time and place of the hearing except that, in the event of numerous interested parties or in the event that mailing notices by registered or certified mail could cause an undue delay adverse to the interest of the parties or a timely hearing, the Director may send certified or registered notices to the petitioner and other directly interested parties that have been made known to the Director and mail notices to the other parties, and publish such notices in newspapers.
(3) Notification of the time and place of the hearing shall be at least one week in advance.
(4) The interested parties shall be given an opportunity to present evidence and oral or written arguments in support of their positions. The hearing officer may fairly allocate time for such witnesses' testimony in the interest of introducing relevant evidence. Cross examination will be permitted at the discretion of the hearing officer.
(5) The hearing need not be conducted according to technical rules relating to evidence and witnesses.
(6) All witnesses testifying before the hearing officer shall testify under oath.
(7) A full transcript of the hearing shall be recorded.
(b) Hearing Officer. The Director may appoint a hearing officer(s). The appointed hearing officer(s) shall conduct the hearing and submit to the Director the entire record of the hearing together with written recommendations. Either the appointed hearing officer(s) or the Director may request documentation subsequent to the hearing to complete the record, and shall send copies of such additional information to the petitioner, awarding body or other designated interested party or parties.
(c) Subject Matter. The subject matter of a hearing may be initiated by a petition to review, as set forth in Labor Code Section 1773.4.
(d) Decision. The decision of the Director shall reflect a summary of the evidence, findings, or matters of fact and/or law.
The decision shall be sent to all parties no later than 20 days after the hearing, except earlier or later as special circumstances warrant. The decision of the Director shall be final, for the purposes of judicial review, except that the Director upon his or her initiative only, may consider and take whatever action is appropriate or necessary to facilitate a decision on reconsideration. Notice of reconsideration shall be given to all parties in the same manner as the notice of hearings as specified in Sections 16304(a)(2) and (a)(3) above and the decision upon reconsideration shall be as specified in subdivisions (a)(2) and (a)(3) of this section.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1773.4 and 1773.5, Labor Code. 
Article 6. Certified Payroll Records: Requests, Content, and Cost
§16400. Request for Payroll Records.
Note

(a) Requests may be made by any person for certified copies of payroll records. Requests shall be made to any of the following:
(1) the body awarding the contract, or
(2) any office of the Division of Labor Standards Enforcement, or the Division of Apprenticeship Standards.
(b) Requests for certified copies of payroll records pursuant to Section 1776 of the Labor Code may be made by any person. However, any such request shall be in writing and contain at least the following information:
(1) The body awarding the contract;
(2) The contract number and/or description;
(3) The particular job location if more than one;
(4) The name of the contractor;
(5) The regular business address, if known.
Note: Requests for records of more than one contractor of subcontractor must list the information regarding that contractor individually, even if all requests pertain to the same particular public works project. Blanket requests covering an entire public works project will not be accepted; unless contractor and subcontractor responsibilities regarding the project are not clearly defined.
(c) Acknowledgment of Request. The public entity receiving a request for payroll records shall acknowledge receipt of such, and indicate the cost of providing the payroll records based on an estimate by the contractor, subcontractor or public entity. The acknowledgment of the receipt of said request for payroll records may be accomplished by the public entity's furnishing a copy of its written correspondence requesting certified copies of the payroll records sent to the specific contractor pursuant to Section 16400(d) below, to the person who requested said records. 
(d) Request to Contractor. The request for copies of payroll records by the requesting public entity shall be in any form and/or method which will assure and evidence receipt thereof. The request shall include the following:
(1) Specify the records to be provided and the form upon which the information is to be provided;
(2) Conspicuous notice of the following:
(A) that the person certifying the copies of the payroll records is, if not the contractor, considered as an agent acting on behalf of the contractor; and
(B) that failure to provide certified copies of the records to the requesting public entity within 10 working days of the receipt of the request will subject the contractor to a penalty of twenty-five ($25.00) dollars per calendar day or portion thereof for each worker until strict compliance is effectuated;
(3) Cost of preparation as provided in Section 16402; and
(4) Provide for inspection.
(e) Inspection of Payroll Records. Inspection of the original payroll records at the office of the contractor(s) pursuant to subdivision (b) of Section 1776 of the Labor Code shall be limited to the public entities upon reasonable written or oral notice.
NOTE

Authority cited: Sections 54, 1773.5 and 1776, Labor Code. Reference: Sections 1773.5 and 1776, Labor Code.
§16401. Reporting of Payroll Requests.
Note

(a) Reporting Format. The format for reporting of payroll records requested pursuant to Labor Code Section 1776 shall be on a form provided by the public entity. Copies of the forms may be procured at any office of the Division of Labor Standards Enforcement (DLSE) throughout the state and/or:

Division of Labor Statistics & Research P.O. Box 603 San Francisco, CA 94101

ATTENTION: Prevailing Wage Unit
Acceptance of any other format shall be conditioned upon the requirement that the alternate format contain all of the information required pursuant to Labor Code Section 1776. If, however, the contractor does not comply with the provisions of Labor Code Section 1776, the Labor Commissioner may require the use of DIR's suggested format, “Public Works Payroll Reporting Form” (Form A-1-131).
(b) Words of Certification. The form of certification shall be as follows: I, ________________ (Name-print) the undersigned, am ________________ (position in business) with the authority to act for and on behalf of ________________, (name of business and/or contractor) certify under penalty of perjury that the records or copies thereof submitted and consisting of ________________ (description, no. of pages) are the originals or true, full and correct copies of the originals which depict the payroll record(s) of the actual disbursements by way of cash, check, or whatever form to the individual or individuals named. Date:____________   _____Signature:__________    _____________

A public entity may require a more strict and/or more extensive form of certification.
NOTE

Authority cited: Sections 54 and 1773.5, Labor Code. Reference: Section 1776, Labor Code.
§16402. Cost.
Note

The cost of preparation to each contractor, subcontractor, or public entity when the request was made shall be provided in advance by the person seeking the payroll record. Such cost shall be $1 for the first page of the payroll record and 25 cents for each page thereafter, plus $10 to the contractor or subcontractor for handling costs. Payment in the form of cash, check or certified money order shall be made prior to release of the documents to cover the actual costs of preparation.
NOTE

Authority cited: Section 1776, Labor Code. Reference: Section 1776(h), Labor Code.
§16403. Privacy Considerations.
Note

(a) Records received from the employing contractor shall be kept on file in the office or entity that processed the request for at least 6 months following completion and acceptance of the project. Thereafter, they may be destroyed unless administrative, judicial or other pending litigation, including arbitration, mediation or other methods of dispute resolution, are in process. Copies on file shall not be obliterated in the manner prescribed in subdivision (b) below;
(b) copies provided to the public upon written request shall be marked, obliterated or provided in such a manner that the name, address and Social Security number, and other private information pertaining to each employee cannot be identified. All other information including identification of the contractor shall not be obliterated;
(c) the public entity may affirm or deny that a person(s) was or is employed on a public works contract (by a specific contractor) when asked, so long as the entity requires such information of an identifying nature which will reasonably preclude release of private or confidential information.
NOTE

Authority cited: Sections 54, 1773.5 and 1776, Labor Code. Reference: Section 1776, Labor Code. 
§16404. Use of Electronic Reporting Forms.
Note     •     History

The certified payroll records required by Labor Code Section 1776 may be maintained and submitted electronically subject to all of the following conditions:
(a) The reports must contain all of the information required by Labor Code Section 1776, with the information organized in a manner that is similar or identical to how the information is reported on the Department of Industrial Relations' suggested “Public Works Payroll Reporting Form” (Form A-1-131);
(b) The reports shall be in a format and use software that is readily accessible and available to contractors, awarding bodies, Labor Compliance Programs, and the Department of Industrial Relations;
(c) Reports submitted to an awarding body, a Labor Compliance Program, the Division of Labor Standards Enforcement, or other entity within the Department of Industrial Relations must be either (1) in the form of a non-modifiable image or record that bears an electronic signature or includes a copy of any original certification made on paper, or alternatively (2) printed out and submitted on paper with an original signature;
(d) The requirements for redacting certain information shall be followed when certified payroll records are disclosed to the public pursuant to Labor Code Section 1776(e), whether the records are provided electronically or as hard copies; and 
(e) No contractor or subcontractor shall be mandated to submit or receive electronic reports when it otherwise lacks the resources or capacity to do so, nor shall any contractor or subcontractor be required to purchase or use proprietary software that is not generally available to the public.
NOTE

Authority cited: Sections 54, 55, 1773.5 and 1776, Labor Code. Reference: Section 1776, Labor Code.
HISTORY

1. New section filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
Article 7. Withholding of Funds from Contractor--Hearing Procedure
§16410. Definitions.
Note     •     History

As used in these regulations, the terms “awarding body,” “contractor,” and “subcontractor” shall have the same meaning as in Part 7 of Division 2 of the Labor Code. The term “affected subcontractor” shall mean a subcontractor whose alleged failure to pay the prevailing wage or to otherwise comply with the provisions of Labor Code §§ 1720-1815 resulted in the withholding of funds pursuant to Labor Code § 1727.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1727, 1730, 1731, 1732, 1733, 1775, 1776(g) and 1813, Labor Code.
HISTORY

1. New article 7 (sections 16410-16414) and section filed 2-16-99 as an emergency; operative 2-16-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-16-99 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 16410-16414) and section refiled 6-14-99 as an emergency; operative 6-14-99 (Register 99, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-99 or emergency language will be repealed by operation of law on the following day.
3. New article 7 (sections 16410-16414) and section refiled 10-4-99 as an emergency; operative 10-4-99 (Register 99, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-1-2000 or emergency language will be repealed by operation of law on the following day.
4. New article 7 (sections 16410-16414) and section refiled 1-20-2000 as an emergency; operative 2-2-2000 (Register 2000, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-1-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-2000 order transmitted to OAL 3-29-2000 and filed 5-4-2000 (Register 2000, No. 18).
§16411. Notice to Contractor and Affected Subcontractor.
Note     •     History

(a) Upon the decision to withhold, retain or forfeit any sum from a payment due to a contractor as permitted by Labor Code § 1727, the Division of Labor Standards Enforcement shall give written notice to the awarding body, the contractor, and to any affected subcontractor, of the withholding, retention, or forfeiture.
(b) Said notice shall include the following information:
(1) The amount to be withheld, retained or forfeited.
(2) A short statement of the factual basis upon which said amount is to be withheld, retained, or forfeited, including, but not limited to, the computation of any wages found to be due, and the computation of any penalties assessed under Labor Code § 1775.
(3) Notice of the right to request a hearing under these regulations, and of the manner in which, and the time within which a hearing must be requested.
(c) Said notice shall be sent by certified mail to the last known address of the contractor, and to the last known address of any affected subcontractor. The records of the State Contractors' License Board may be used to determine the address of a contractor or affected subcontractor.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1727, 1730, 1731, 1732, 1733, 1775, 1776(g) and 1813, Labor Code.
HISTORY

1. New section filed 2-16-99 as an emergency; operative 2-16-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-16-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-14-99 as an emergency; operative 6-14-99 (Register 99, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-4-99 as an emergency; operative 10-4-99 (Register 99, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-1-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-20-2000 as an emergency; operative 2-2-2000 (Register 2000, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-1-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-2000 order transmitted to OAL 3-29-2000 and filed 5-4-2000 (Register 2000, No. 18).
§16412. Withholding, Retention, or Forfeiture.
Note     •     History

(a) When notice has been sent as provided in section 16411, above, the awarding body shall proceed to withhold, retain, or forfeit the amount stated in the notice, pursuant to Labor Code § 1727. Such withholding, retention, or forfeiture shall be subject to the right of a contractor or affected subcontractor to request a hearing, as provided in section 16413, below, and further subject to the right of a contractor or a contractor's assignee to bring suit against the awarding body as provided by Labor Code §§ 1731-1733.
(b) Nothing in these regulations shall extend, or affect in any way, the statutory time limits provided by Labor Code §§ 1731-1733.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1727, 1730, 1731, 1732, 1733, 1775, 1776(g) and 1813, Labor Code.
HISTORY

1. New section filed 2-16-99 as an emergency; operative 2-16-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-16-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-14-99 as an emergency; operative 6-14-99 (Register 99, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-4-99 as an emergency; operative 10-4-99 (Register 99, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-1-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-20-2000 as an emergency; operative 2-2-2000 (Register 2000, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-1-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-2000 order transmitted to OAL 3-29-2000 and filed 5-4-2000 (Register 2000, No. 18).
§16413. Request for Hearing.
Note     •     History

(a) A contractor or subcontractor desiring a hearing regarding the withholding, retention, or forfeiture of an amount may request such a hearing by letter postmarked within 30 days of the date of the mailing of the notice provided by section 16411, above, mailed to the awarding body, and to:

DIVISION OF LABOR STANDARDS ENFORCEMENT
LEGAL SECTION
455 GOLDEN GATE AVENUE, 9TH FLOOR
SAN FRANCISCO, CALIFORNIA 94102
(b) A request for hearing shall contain a statement of all factual and legal grounds upon which the withholding is contested, identifying the specific element or elements, issue or issues, being contested, including, but not limited to:
(1) the classification of workers included in the computation of wages found to be due;
(2) the hours worked by such workers;
(3) the prevailing wage requirements applicable to such classifications;
(4) the amounts paid to such workers;
(5) the assessment and computation of statutory penalties;
(6) any erroneous mathematical calculations.
Assertions of fact included in the statement shall be supported by documentary evidence, e.g., time cards, canceled checks, cash receipts, trust fund forms, books, documents, schedules, forms, reports, receipts or other evidence which reflect job assignments, work schedules by days and hours, and evidence of the disbursement by way of cash, check, or in whatever form or manner, of funds to a person or persons by job classification and/or skill, and, if appropriate, declarations under penalty of perjury.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1727, 1730, 1731, 1732, 1733, 1775, 1776(g) and 1813, Labor Code.
HISTORY

1. New section filed 2-16-99 as an emergency; operative 2-16-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-16-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-14-99 as an emergency; operative 6-14-99 (Register 99, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-4-99 as an emergency; operative 10-4-99 (Register 99, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-1-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-20-2000 as an emergency; operative 2-2-2000 (Register 2000, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-1-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-2000 order transmitted to OAL 3-29-2000 and filed 5-4-2000 (Register 2000, No. 18).
§16414. Hearing.
Note     •     History

(a) Upon receipt of a timely request for a hearing, the Labor Commissioner, or his or her deputy or agent shall, within 30 days, hold a hearing to determine whether reasonable cause exists to withhold and retain the funds identified in the notice provided under section 16411, above.
(b) The hearing date may be continued at the request of the party seeking the hearing upon a showing of good cause.
(c) The burden of proof at such hearing shall be as provided in Labor Code § 1733.
(d) Within 15 days after the conclusion of the Hearing the Hearing Officer shall issue a decision which affirms, modifies or dismisses the Notice to Withhold. This decision shall consist of a notice of findings, findings, and an order which shall be served on the awarding body and on all parties to the hearing by first class mail at the last known address of the parties on file with the Labor Commissioner. The awarding body shall promptly abide by any decision of the Labor Commissioner with respect to the notice to withhold.
(e) The hearing pursuant to this section shall only determine whether reasonable cause exists for the withholding, retention, or forfeiture of funds pursuant to Labor Code § 1727. A hearing pursuant to this section shall not be deemed to be dispositive as to the contractor's (or affected subcontractor's) compliance with prevailing wage laws. Any decision rendered shall have no res judicata or collateral estoppel effect, and will not preclude the Labor Commissioner from pursuing any action provided by Labor Code § 1775 or any other statutory or common law remedy against any party. Neither the failure of a party to request a hearing nor the Labor Commissioner's decision after a hearing shall preclude the contractor or affected subcontractor from pursuing any other remedy provided by existing law.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1727, 1730, 1731, 1732, 1733, 1775, 1776(g) and 1813, Labor Code.
HISTORY

1. New section filed 2-16-99 as an emergency; operative 2-16-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-16-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-14-99 as an emergency; operative 6-14-99 (Register 99, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-4-99 as an emergency, including amendment of subsection (d); operative 10-4-99 (Register 99, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-1-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-20-2000 as an emergency; operative 2-2-2000 (Register 2000, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-1-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-2000 order, including amendment of subsection (d), transmitted to OAL 3-29-2000 and filed 5-4-2000 (Register 2000, No. 18).
Subchapter 4. Labor Compliance Programs
Article 1. Operation of Labor Compliance Program and Contracts Subject to Labor Compliance Program Jurisdiction
§16421. Composition and Components of Labor Compliance Program.
Note     •     History

(a) In accordance with Labor Code Section 1771.5(b), a Labor Compliance Program shall include, but not be limited to, the following requirements: 
(1) The Call for Bids, Design-Build Request, and the contract or purchase order shall contain appropriate language concerning the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code. 
(2) A prejob conference shall be conducted before commencement of the work with contractors and subcontractors listed in the bid or who are required to be identified or prequalified in a Design-Build Contract. At the prejob conference applicable federal and state labor law requirements shall be discussed, and copies of suggested reporting forms furnished. A checklist, showing which federal and state labor law requirements were discussed, shall be kept for each conference. A checklist in the format of Appendix A presumptively meets this requirement. 
(3) A requirement that certified payroll records be kept by the contractor in accordance with Labor Code Section 1776 and furnished to the Labor Compliance Program at times designated in the contract, which shall be at least monthly, or within 10 days of any request by the Awarding Body. Use of the current version of DIR's “Public Works Payroll Reporting Form” (A-1-131) and Statement of Employer Payments (PW26) constitute presumptive compliance with the requirement for certified payroll records kept in accordance with Labor Code Section 1776, provided the forms are filled out accurately and completely. These suggested forms are available from the Department of Industrial Relations. 
(4) A program for orderly review of payroll records and, if necessary, for audits to verify compliance with the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code. 
(5) A prescribed routine for withholding penalties, forfeitures, and underpayment of wages for violations of the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code. 
(6) All contracts to which prevailing wage requirements apply shall include a provision that contract payments shall not be made when payroll records are delinquent or inadequate. 
(b) To the extent otherwise authorized by law, an Awarding Body or a Joint Powers Authority consisting of two or more Awarding Bodies may contract with a third party to initiate and enforce all or part of its Labor Compliance Program, provided that the third party has been approved by the Director to operate a Labor Compliance Program in accordance with these regulations. However, this subpart (b) shall not be construed as limiting an Awarding Body's or Joint Powers Authority's authority to contract for services for the operation of its own approved Labor Compliance Program, including services by persons licensed or certified by the State of California to practice one of the following recognized professions: law, architecture, engineering, or accounting. 
(c) [reserved]
(d) Nothing in this section or these regulations shall be construed as limiting the responsibility and authority of an Awarding Body to take cognizance of prevailing wage violations under Section 1726 of the Labor Code and take any appropriate action pursuant to and in accordance with that responsibility and authority. 
(e) It is the responsibility of a Labor Compliance Program to enforce prevailing wage requirements, consistent with the policy of the state as expressed in Labor Code Section 90.5(a). A Labor Compliance Program shall take reasonable, vigorous, and prompt action to (1) determine whether violations exist, and (2) enforce compliance, including through imposition of appropriate penalties and formal enforcement action, when violations are found. A Labor Compliance Program shall neither avoid use of its enforcement authority based on cost considerations nor shall it use that authority in an unreasonable manner to gain leverage over a contractor or subcontractor. Unreasonable use of enforcement authority includes, but is not necessarily limited to, prolonged or excessive withholdings of contract payments without making a determination that a violation has occurred.
(f) The failure of an Awarding Body or Labor Compliance Program to comply with any requirement imposed by this subchapter shall not of itself constitute a defense to the failure to pay prevailing wages or to comply with any other obligation imposed by Chapter 1 (commencing with Section 1720), Part 7, Division 2 of the Labor Code. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 90.5, 1726, 1771.5(b), 1771.55 and 1776, Labor Code. 
HISTORY

1. New group 4 (sections 16209-16209.6) filed 3-24-72 as an emergency; effective upon filing (Register 72, No. 13).
2. Certificate of Compliance filed 6-2-72 (Register 72, No. 23).
3. Repealer of group 4 (article 1, sections 16209-16209.6) filed 12-15-82 by OAL pursuant to Government Code section 11349.7(j) (Register 82, No. 51).
4. Amendment of article heading and renumbering of former section 16430 and Appendix A to new section 16421, including amendment of section heading, section and Appendix, filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
5. Amendment of subsections (a)(3), (b) and (c), new subsections (e)-(f) and amendment of Appendix A and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
6. Editorial correction restoring History 1 through History 3 and renumbering Histories (Register 2010, No. 27). For prior history of Subchapter 4, see Register 82, No. 51 and Register 92, No. 13. 
7. Amendment of subchapter 4 heading, repealer and reservation of subsection (c) and amendment of Note filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27).

Appendix A

Suggested Checklist of Labor Law Requirements to Review at Prejob Conference, Section 16421, with suggested Certification by subcontractor. 
The federal and state labor law requirements applicable to the contract are composed of but not limited to the following items:
(1) The contractor's duty to pay prevailing wages under Labor Code Section 1770 et seq., should the project exceed the exemption amounts;
(2) The contractor's duty to employ registered apprentices on the public works project under Labor Code Section 1777.5;
(3) The penalties for failure to pay prevailing wages (for non-exempt projects) and employ apprentices including forfeitures and debarment under Labor Code Sections 1775 and 1777.7;
(4) The requirement to keep and submit copies upon request of certified payroll records under Labor Code Section 1776, and penalties for failure to do so under Labor Code Section 1776(g);
(5) The prohibition against employment discrimination under Labor Code Section 1777.6; the Government Code, and Title VII of the Civil Rights Act of 1964;
(6) The prohibition against accepting or extracting kickback from employee wages under Labor Code Section 1778;
(7) The prohibition against accepting fees for registering any person for public work under Labor Code Section 1779; or for filling work orders on public works under Labor Code Section 1780;
(8) The requirement to list all subcontractors under Public Contracts Code Section 4104;
(9) The requirement to be properly licensed and to require all subcontractors to be properly licensed and the penalty for employing workers while unlicensed under Labor Code Section 1021 and under the California Contractors License Law, found at Business and Professions Code Section 7000 et seq;
(10) The prohibition against unfair competition under Business and Professions Code Sections 17200-17208;
(11) The requirement that the contractor be properly insured for Workers Compensation under Labor Code Section 1861;
(12) The requirement that the contractor abide by the Occupational, Safety and Health laws and regulations that apply to the particular construction project;
(13) The federal prohibition against hiring undocumented workers, and the requirement to secure proof of eligibility/citizenship from all workers.
(14) The requirement to provide itemized wage statements to employees under Labor Code Section 226. 
Certification: 

I acknowledge that I have been informed and am aware of the foregoing requirements and that I am authorized to make this certification on behalf of [name of subcontractor]. 
				
Date 		Name of person signing and company 
§16422. Applicable Dates for Enforcement of Labor Compliance Program.
Note     •     History

(a) No contracts shall be subject to Labor Compliance Program jurisdiction nor shall the limited exemption from payment of prevailing wages pursuant to Labor Code Section 1771.5(a) apply to any contract of an Awarding Body unless and until the Labor Compliance Program has been approved by the Director pursuant to this subchapter.
(b) Contracts for which the Date of Notice or the Call for Bids is subsequent to the date of approval of a Labor Compliance Program are subject to Labor Code Section 1771.5. In the case of a contract for which there is no Call for Bids, the applicable date shall be the date of the award of the contract.
(c) Revocation of approval of a Labor Compliance Program by the Director shall not affect the limited exemption from payment of prevailing wages provided by Labor Code Section 1771.5(a) if the date of such revocation is subsequent to the Date of Notice or Call for Bids or, in the case of a contract for which there is no Call for Bids, subsequent to the date of the award of the contract.
(d) If the Director revokes approval of an awarding body's Labor Compliance Program that was approved pursuant to section 16425 below, the Director shall give notice to the Awarding Body specifying enforcement responsibilities, including with respect to cases pending hearing, as of the date of revocation.
(e) An Awarding Body may voluntarily terminate its Labor Compliance Program. With respect to each contract pending on the date of termination, the Awarding Body shall:
(1) Notify the Director of its intention and the effective date of the termination;
(2) Notify the contractor(s) and the Labor Commissioner of the identity of the agent who will carry out the compliance enforcement obligations of Labor Code Section 1771.5 on the remaining contracts; and
(3) Specify the fund into which penalties or forfeitures withheld from any contract payments shall be deposited.
(f) The Labor Commissioner may, in writing, agree to assume enforcement obligations on pending contracts of an Awarding Body which has voluntarily terminated its Labor Compliance Program. In such case, penalties and forfeitures shall be deposited in the general fund of the state.
(g) Upon receipt of a notice of revocation, a Labor Compliance Program that was approved pursuant to section 16426 below shall (1) enter into no new contracts to provide labor compliance program services for the purpose of meeting an awarding body's statutory obligation to have a labor compliance program that contains or meets the requirements of Labor Code Section 1771.5; (2) provide immediate written notice to all awarding bodies for which the Program has an existing contract to provide labor compliance program services that the Program has received a revocation notice; and (3) provide all reasonable assistance to those awarding bodies in transferring labor compliance program responsibilities to another approved Program in order to avoid any forfeiture of funds by those awarding bodies and any forfeiture of rights by workers on the projects for which the Program had monitoring and enforcement responsibilities. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1771.5 and 1771.6, Labor Code.
HISTORY

1. Renumbering and amendment of former section 16425 to new section 16422 filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
2. Amendment of section heading and subsections (b) and (d) and new subsection (g) filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16423. Approved Labor Compliance Program Required by Statute.
Note     •     History

(a) Whenever an Awarding Body either is required by statute to enforce or contract to enforce a Labor Compliance Program that contains or meets the requirements of Labor Code section 1771.5, or has electd to enforce such a program, the Awarding Body must have its own program that has been approved by the Director pursuant to these regulations. 
(b) The governing board of any Awarding Body that is required to enforce a Labor Compliance Program under subpart (a) above shall make a written finding that the Awarding Body has established its own Labor Compliance Program in accordance with the requirements of Labor Code Section 1771.5(b) and this subchapter. Copies of this finding together with notice of whether or not the Awarding Body intends to initiate and enforce its Labor Compliance Program for (1) all public works projects under the authority of the Awarding Body, or (2) only those public works projects under the authority of the Awarding Body that are subject to the provisions of Article 1 of Subchapter 4.5 (beginning with section 16450) below shall be provided promptly to the Director and prior to certifying to any other entity that the Awarding Body has complied with the statutory requirement to have a Labor Compliance Program.
(c) For purposes of these regulations, an approved program refers to the entity that has applied for and received approval by the Director pursuant to these regulations and not to that entity's manual or methodology for conducting labor compliance enforcement. 
(d) Unless otherwise required by statute, an Awarding Body is not required to have separate Labor Compliance Programs or separate approvals from the Director for different types of projects or funding sources, provided that (1) the Awarding Body has provided all notices required by subpart (b) above, (2) the Labor Compliance Program has timely filed all reports required by this subchapter, and (3) the Director has not otherwise limited the approved scope of operation for the Labor Compliance Program.
(e) The limited exemption from payment of prevailing wages provided by Labor Code Section 1771.5(a) and section 16433 below shall not apply unless the Awarding Body either (1) elects to initiate and enforces a Labor Compliance Program for every public works project under the authority of the Awarding Body; or (2) elects to reimburse the Department of Industrial Relations for compliance monitoring and enforcement and complies with the requirements of Labor Code Section 1771.5(f) for every public works project under its authority. 
(f) A list of statutes that require Awarding Bodies to have a Labor Compliance Program as a condition of project authorization, project funding, or use of specified contracting authority shall be maintained on the Department of Industrial Relations' website.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1771.5, Labor Code. 
HISTORY

1. New section filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
2. Amendment of section heading, section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
3. Amendment of subsections (a) and (b)(1)-(2) and new subsection (b)(3) filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
4. Amendment of subsections (a) and (b)(1)-(2) and repealer of subsection (b)(3) filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (b)(1)-(2) and repealer of subsection (b)(3) refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a) and (b)(1)-(2) refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
7. Certificate of Compliance as to 8-1-2011 order, including further amendment of section, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
Article 2. Approval and Revocation of Approval of Labor Compliance Programs by Director
§16424. Application for Approval.
Note     •     History

An application for Approval of an Awarding Body's Labor Compliance Program or for Approval of a Third Party Labor Compliance Program shall include the information specified either in section 16425(a) or in section 16426(a) respectively, and shall be sent to the following address: 

OFFICE OF THE DIRECTOR 
DEPARTMENT OF INDUSTRIAL RELATIONS 
455 GOLDEN GATE AVENUE, 10TH FLOOR 
SAN FRANCISCO, CA 94102 
ATTENTION: EXECUTIVE ASSISTANT TO THE DIRECTOR 
Suggested application forms are available on the Department of Industrial Relations' website. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1771.5, Labor Code. 
HISTORY

1. New section filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
2. Amendment of section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16425. Approval of Awarding Body's Labor Compliance Program.
Note     •     History

(a) An Awarding Body seeking approval of its own Labor Compliance Program shall submit evidence of its capacity and ability to operate an effective Labor Compliance Program consistent with applicable legal requirements, based on the following factors: 
(1) Experience and training of the Awarding Body's personnel on public works labor compliance issues, including private sector experience on behalf of unions or contractors or on a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code) and participation in any public works enforcement training provided by the Division of Labor Standards Enforcement; 
(2) The average number of public works contracts the Awarding Body annually administers;
(3) Whether the Labor Compliance Program is a joint or cooperative venture among Awarding Bodies, and how the resources and expanded responsibilities of the Labor Compliance Program compare to the Awarding Bodies involved;
(4) The Awarding Body's record of taking cognizance of Labor Code violations and of withholding in the preceding five years;
(5) The availability of competent legal support for the Labor Compliance Program;
(6) The availability and quality of a manual outlining the responsibilities and procedures of the Labor Compliance Program to the Awarding Body; and
(7) The method by which the Awarding Body will transmit notice to the Labor Commissioner of violations which may lead to debarment under Labor Code Section 1777.1.
(b) The Director shall notify the Awarding Body within 60 days of receipt of the request for approval that approval is granted and the effective date of approval, or that the request is incomplete and of the materials necessary to complete the request or that the request is disapproved for other reasons.
(c) The Director may grant approval on an interim or temporary basis and may impose specific restrictions on a Program's approval based on factors limiting its capacity and ability to operate an effective Labor Compliance Program or conflict of interest concerns, subject to reasonable conditions for removing an interim or temporary designation or other specified restrictions. 
(d) The Director will maintain a list of all approved Labor Compliance Programs, including programs approved on an interim, temporary or restricted basis, for distribution to interested parties upon request.
(e) An Awarding Body that intends to operate a Labor Compliance Program on behalf of other Awarding Bodies or Joint Powers Authorities must obtain approval pursuant to section 16426 below.
(f) A Labor Compliance Program with an initial approval or extended initial approval that is set to expire on or after January 30, 2009, shall be entitled to convert to approved status without a prescribed expiration date and subject to revocation only in accordance with section 16428 below, upon providing satisfactory evidence to the Director of all of the following:
(1) the program has submitted timely, accurate, and complete annual reports in accordance with section 16431 below;
(2) the program continues to employ personnel with experience and training on public works labor compliance issues;
(3) competent legal support remains available to the program;
(4) the program's manual of policies and procedures has been updated to accurately reflect any amendments to the public works laws and regulations (including the laws and regulations governing Labor Compliance Programs) between the time of the program's approval and the effective date of this subpart (f); and
(5) the program is in compliance with any specific conditions placed by the Director on its approval, and there is no written decision, order, or directive that requires the program either to cease or limit its operations as of a specified date. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1771.5 and 1777.1, Labor Code; and Section 175a, Title 29, United States Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). For prior history of subchapter 4 (sections 16209-16209.6), see Register 82, No. 51.
2. Renumbering of former section 16425 to new section 16422 and renumbering of former section 16426 to section 16425, including amendment of section heading, section and Note, filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading and subsections (a) and (b)-(d), new subsections (e)-(f)(5) and amendment of Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16426. Approval of Third Party Labor Compliance Program.
Note     •     History

(a) Any entity seeking approval to operate a Labor Compliance Program pursuant to a contract with one or more Awarding Bodies or Joint Powers Authorities shall submit evidence of its capacity and ability to operate an effective Labor Compliance Program consistent with applicable legal requirements, based on the following factors: 
(1) Experience and training of the entity's personnel on public works labor compliance issues, including private sector experience on behalf of unions or contractors or on a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code) and participation in any public works enforcement training provided by the Division of Labor Standards Enforcement; 
(2) The geographical area in which the entity intends to operate its Labor Compliance Program and the identity of the Awarding Bodies and Joint Powers Authorities, if any, with whom the entity intends to contract for operation of a Labor Compliance Program; 
(3) Whether the entity shares personnel, management, ownership or other close affiliation with (A) any contractor or subcontractor that within the preceding five years has been awarded a public works contract within the geographical area with any Awarding Body or Joint Powers Authority identified in subpart (2) above, (B) any person or entity who has been the surety on such a contract, (C) any joint labor-management committee established pursuant to the Federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code), or (D) any person or entity who has represented workers employed in the same or similar classifications as those employed for such a contract and who has been engaged in (i) an organizational campaign under the National Labor Relations Act with contractors competing for such contracts or (ii) a jurisdictional dispute with another collective bargaining representative of workers utilized for such contracts; 
(4) The record of any contractor, subcontractor, surety, or worker representative referred to in subpart (3) above with respect to compliance and enforcement or aiding in the compliance and enforcement of prevailing wage requirements under the Labor Code in the preceding five years; 
(5) The availability of competent legal support for the Labor Compliance Program and whether the persons or firms providing that support also represent any contractor, subcontractor, surety, or worker representative referred to in subpart (3) above; 
(6) The availability and quality of a manual outlining the responsibilities and procedures of the Labor Compliance Program to any Awarding Body or Joint Powers Authority with which it contracts; 
(7) The method by which the Labor Compliance Program will transmit notice to the Labor Commissioner of violations which may lead to debarment under Labor Code Section 1777.1; 
(8) Awareness of the rights and responsibilities imposed on the Labor Compliance Program as an agent of a governmental agency under section 16421(c) above and the existence of procedures designed to inform personnel of the Labor Compliance Program of these rights and responsibilities and to insure the compliance of employees and consultants who participate in making governmental decisions with conflict of interest reporting requirements, such as through participation in internet-based or live training programs provided by the Fair Political Practices Commission; and
(9) The identity by job title and number of program employees who will participate in making governmental decisions within the meaning of Title 2 California Code of Regulations sections 18700 through 18702.4 or any successor regulations, and whether required statements of economic interest (FPPC Form 700) will be filed with local awarding bodies with which the program contracts, with the Director, or with some other specified entity.
(b) The Director shall notify the applicant within 60 days of receipt of the request for approval that approval is granted and the effective date of approval, or that the request is incomplete and of the materials necessary to complete the request or that the request is disapproved for other reasons. 
(c) The Director may grant approval on an interim or temporary basis and may impose specific restrictions on a Program's approval based on factors limiting its capacity and ability to operate an effective Labor Compliance Program or conflict of interest concerns, subject to reasonable conditions for removing an interim or temporary designation or other specified restrictions. 
(d) The Director will maintain a list of all approved third party Labor Compliance Programs, including programs approved on an interim, temporary or restricted basis, for distribution to interested parties upon request. 
(e) When the Director has approved a third party entity to operate a Labor Compliance Program pursuant to Article 2 of this subchapter, that approval shall extend to any Awarding Body or Joint Powers Authority that has contracted with the approved entity for operation of its Labor Compliance Program, subject to the following: 
(1) No such approval shall apply unless the Awarding Body or Joint Powers Authority has first provided written notice to the Director of its contractual relationship with the approved entity together with such further information as the Director may reasonably require to document that relationship, as well as notice of whether or not the Awarding Body intends to initiate and enforce its Labor Compliance Program for all public works projects in which the Awarding Body participates; 
(2) The parties shall provide immediate written notice to the Director and the Labor Commissioner upon the termination or proposed termination of such contractual relationship; and 
(3) For good cause, the Director may disallow or withdraw approval for the operation of a Labor Compliance Program as to any particular Awarding Body or Joint Powers Authority, whether or not the third party entity remains approved to operate a Labor Compliance Program on behalf of one or more other Awarding Bodies or Joint Powers Authorities. 
(f) A third party Labor Compliance Program with an initial approval or extended initial approval that is set to expire on or after January 30, 2009, shall be entitled to convert to approved status without a prescribed expiration date and subject to revocation only in accordance with section 16428 below, upon providing satisfactory evidence to the Director of all of the following:
(1) the program has submitted timely, accurate, and complete annual reports in accordance with section 16431 below;
(2) the program continues to employ personnel with experience and training on public works labor compliance issues;
(3) competent legal support remains available to the program;
(4) the program's manual of policies and procedures has been updated to accurately reflect any amendments to the public works laws and regulations (including the laws and regulations governing Labor Compliance Programs) between the time of the program's approval and the effective date of this subpart (f); and
(5) the program is in compliance with any specific conditions placed by the Director on its approval, and there is no written decision, order, or directive that requires the program to cease or limit its operations as of a specified date. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1771.5 and 1777.1, Labor Code; and Section 175a, Title 29, United States Code. 
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Renumbering of former section 16426 to section 16425 and new section 16426 filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading, section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16427. Extended Authority.
Note     •     History

(a) An Awarding Body or third party entity which has operated a Labor Compliance Program with active enforcement responsibilities for at least three consecutive years after initial approval may apply to the Director for extended authority. The applicant must have a record of submitting and obtaining approvals of forfeitures pursuant to section 16437 of these regulations and bears the burden of producing evidence that it meets the criteria in subpart (b) below.
(b) The Director may grant extended authority to an applicant that has satisfactorily demonstrated its understanding of and ability to monitor and enforce compliance with the requirements of the Labor Code and these regulations, and that has filed timely, complete, and accurate reports as required by these regulations.
(c) The Director shall notify the applicant within 90 days of the receipt of a request for extended authority that the request is granted and the effective date of and extent of any extended authority that is granted, or that the request is denied and the reason for the denial.
(d) A Labor Compliance Program with extended authority may enter into an agreement with the Labor Commissioner providing for different procedures for securing approval of forfeitures than those set forth in section 16437 below.
(e) Any Labor Compliance Program with final approval on the effective date of the amendments changing “final approval” to “extended authority” shall automatically be converted to the status of having “extended authority.” The Director will maintain a list of Labor Compliance Programs with extended authority, for distribution to interested parties upon request. The Director may agree to alternative reporting formats under section 16431 of these regulations for such programs, and shall maintain a list of interested parties who wish notification of alternative reporting formats before adoption.
(f) For good cause, which shall include but not be limited to the failure within a three year period to request and obtain any approvals of forfeitures pursuant to section 16437 of these regulations, the Director may withdraw a program's Extended Authority.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1771.5, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading, section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
4. Amendment of subsections (a) and (b) and new subsection (f) filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
§16428. Revocation of Approval.
Note     •     History

(a) The Director may revoke approval of a Labor Compliance Program after giving due notice, conducting a hearing, and finding cause for revocation. Cause for revocation of approval includes, but is not limited to:
(1) Failure of the Labor Compliance Program to monitor compliance with the requirements of the Labor Code and these regulations or to take appropriate enforcement action for violations of which it becomes or should have become cognizant, provided that the failure is (A) serious or sustained, (B) harmful to the interests of workers employed on a project for which the Labor Compliance Program has monitoring and enforcement responsibilities, and (C) not based on a good faith interpretation of legal requirements or the current enforcement practices of the Labor Commissioner;
(2) Failure of the Labor Compliance Program to file timely, complete, and accurate reports to the Director as required by section 16431 or elsewhere in these regulations;
(3) A pattern of failures in hearings conducted pursuant to Labor Code Section 1742(b) either (A) to establish violations under Labor Code Sections 1775(a) and 1776(g) for which contract payments have been withheld or (B) to comply with the requirements imposed on enforcing agencies or their representatives in the prevailing wage hearing regulations at sections 17201-17270 of Title 8 of the California Code of Regulations; 
(4) Failure to comply with applicable laws and reporting requirements pertaining to conflicts of interest and the handling of personnel and payroll records and information. 
(5) Failure to comply with requirements imposed on Labor Compliance Programs by statute or these regulations or with any terms, conditions, or restrictions imposed by the Director on the Labor Compliance Program's approval. 
(b) Interested parties may request the Director to revoke approval of a Labor Compliance Program. A request for revocation shall include evidence of failure of the Labor Compliance Program to monitor compliance with the requirements of the Labor Code and these regulations or to take enforcement action after becoming cognizant of a violation of the Labor Code or these regulations. A request for revocation shall also include any other relevant evidence. When submitting a request for revocation pursuant to this subpart, an interested party shall also provide a complete copy of the request and all supporting evidence to the Labor Compliance Program. 
(1) Approval of a Labor Compliance Program may be revoked by the Director based on a request by an interested party after a proceeding conducted as provided in subpart (a) above. A copy of the request for revocation shall be provided to the Awarding Body as part of the notice required under subpart (a) above.
(2) As part of a proceeding for revocation of approval based on a request by an interested party, the Director may require the Labor Compliance Program to furnish a supplemental report for the period between the ending date of the last annual report filed by the Labor Compliance Program pursuant to section 16431 and the date of notice by the Director, and containing the information listed in subpart (a) of said section 16431.
(3) Revocation of approval of a Labor Compliance Program based on a request by an interested party is solely within the discretion of the Director. The duty to operate a Labor Compliance Program in accordance with the requirements of this subchapter runs solely to the Director and not to any worker, contractor, or interested party. The sole remedy for failure to comply with this duty is revocation of approval by the Director.
(c) Upon determining that the request for revocation will be denied without hearing, the Director shall give notice of the decision and of the reasons therefore by mail to the Labor Compliance Program, any Awarding Body or Joint Powers Authority that has contracted with the Labor Compliance Program pursuant to section 16421(b) above, and any interested party that requested revocation.
(d) Upon determining that a hearing is necessary, the parties will be notified and a hearing on cause for revocation of Labor Compliance Program approval will be held in accordance with the procedures for notice and hearing proceedings set forth in section 16304 of Title 8 of the California Code of Regulations.
(e) The Labor Commissioner is authorized to conduct investigations into whether a Labor Compliance Program has operated in accordance with the requirements of this subchapter and to participate in the role of prosecutor in any revocation proceedings. The Director shall make all final determinations.
(f) Nothing in this section shall be construed as (1) requiring the Director to extend any approval granted on a temporary or interim basis pursuant to sections 16425 or 16426 above or (2) restricting the Director's authority to impose conditions or restrictions on a Labor Compliance Program's approval in lieu of revocation.
NOTE

Authority cited: Sections 55 and 1773.5, Labor Code. Reference: Sections 55, 1742(b), 1771.5, 1775(a) and 1776(g), Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section heading, section and Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of subsections (a)(2)-(3), new subsection (a)(5), amendment of subsections (b)(1)-(2) and (d), new subsection (e), subsection relettering and amendment of newly designated subsection (f) and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
4. Amendment of subsections (a)(1) and (b) filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
§16429. Notice of Labor Compliance Program Approval.
Note     •     History

(a) Notice of approval of an Awarding Body's Labor Compliance Program shall be given in the Call for Bids and in the contract or purchase order and shall also be posted at the job site. If more than one job site exists or where such posting would endanger public safety, the notice may be posted in the manner prescribed by section 16100(b) of Title 8 of the California Code of Regulations. 
(b) Notice of an approved Labor Compliance Program shall contain, at the minimum, the effective date of the Director's approval, a statement whether the limited exemption from prevailing wages pursuant to Labor Code Section 1771.5(a) applies to contracts under the jurisdiction of the Labor Compliance Program, a telephone number to call for inquiries, questions, or assistance with regard to the Labor Compliance Program, and the name of the agent or office administering the Labor Compliance Program.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1771.5, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment relocating article 3 heading that formerly preceded section 16429 to new placement preceding section 16431 and amendment of section heading and section filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
Article 3. Reports and Audits
§16430. Filing of Statements of Economic Interest (FPPC Form 700) by Designated Employees and Consultants of Labor Compliance Program.
Note     •     History

(a) An Awarding Body that operates either its own labor compliance program or that contracts with a third party to operate all or part of its labor compliance program shall determine and designate those employees and consultants of the program who participate in making governmental decisions for the Awarding Body within the meaning of Title 2, California Code of Regulations, sections 18700 - 18702.4. Those designated employees and consultants shall be required to file Statements of Economic Interest (FPPC Form 700) and to comply with other applicable requirements of the Political Reform Act (commencing with Section 87100 of the Government Code) in connection with work performed on behalf of the Awarding Body.
(b) Designated employees and consultants who operate or are employed by a third party labor compliance program shall file their Statements of Economic Interest (FPPC Form 700) with the filing officer of each Awarding Body with which the third party program contracts, unless the Department of Industrial Relations or the Fair Political Practices Commission specifies a different or alternative filing location.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 87100, et seq., Government Code; and Section 1771.5, Labor Code.
HISTORY

1. Relocation of article 3 heading from preceding section 16431 to preceding section 16430 and new section filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52). For prior history of section 16430, see Register 2004, No. 43.
§16431. Annual Report.
Note     •     History

(a) The Labor Compliance Program shall submit to the Director an annual report on its operation by no later than August 31 of each year. The annual report shall cover the twelve month period commencing on July 1 of the preceding calendar year and ending on June 30 of the year in which the report is due. For good cause, the Director may authorize a Labor Compliance Program to use a different reporting period and provide for the annual report to be due no later than 60 days following the close of that reporting period. For a Labor Compliance Program approved prior to July 1, 2009, the Director may require the filing of an interim or supplmental report to cover any gap between the reporting period prescribed under former subpart (d) of this section prior to August 1, 2010 and subpart (a).
(b) The annual report shall be made on the appropriate form [LCP-AR1, LCP-AR2, or LCP-AR3], for the type of Labor Compliance Program that is submitting the report, unless the Director has agreed to a different reporting format for a Program that has been granted extended authority under section 16427 above. A third party Labor Compliance Program that contracted with more than one Awarding Body or Joint Powers Authority during the annual reporting period shall separately report on Labor Code Section 1771.5(b) enforcement activities for each Awarding Body or Joint Powers Authority covered by the report. 
(c) The Annual Report for a person or entity operating a third party Labor Compliance Program shall also include (1) a certification of compliance with conflict of interest disclosure requirements by employees and consultants who participate in making governmental decisions, as defined under Title 2, California Code of Regulations, section 18701, and (2) a current statement disclosing the information required under section 16426(a)(2), (3) and (5) above. 
(d) Information in the Annual Report shall be reported in sufficient detail to afford a basis for evaluating the scope and level of enforcement activity of the Labor Compliance Program. An annual report shall also include such additional information as the Labor Compliance Program may be required to report as a condition of its approval. 
(e) A Labor Compliance Program that has ceased operating, either due to the voluntary termination of its program or the revocation of its approval by the Director, shall file a closing annual report within sixty (days) following its last day of operation as an approved program. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Section 1771.5,  Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment relocating and amending article 3 heading that formerly preceded section 16429 to new placement preceding section 16431 and amendment of section filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Relocation of article 3 heading from preceding section 16431 to preceding section 16430, amendment of section and new forms LCP-AR1, LCP-AR2 and LCP-AR3 filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
4. Amendment of section and Note filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27).

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§16432. Investigation Methods for Labor Compliance Program -- Definitions and Minimum Requirements, Including Review, Confirmation and Audits of Payroll Records; On-Site Visits; and Early Resolution of Audits.
Note     •     History

(a) The primary function of the Labor Compliance Program is to ensure that public works contractors comply with the prevailing wage requirements found in the Public Works Chapter of the Labor Code. This regulation is intended to establish minimum requirements which all Labor Compliance Programs shall meet or exceed in carrying out that function. Definitions found throughout this regulation are intended to provide Labor Compliance Programs and representatives of the Department of Industrial Relations and the Division of Labor Standards Enforcement with common terminology as they each perform their respective roles in prevailing wage enforcement in furtherance of the Labor Code provisions establishing Labor Compliance Programs. This regulation is also intended to confirm that the proactive investigation methods, as described in detail herein, only comprise the minimum obligations required of Labor Compliance Programs to satisfy their duty to the Director to operate a Labor Compliance Program as specified in sections 16428 and 16434. 
(b) Payroll records furnished by contractors and subcontractors in accordance with section 16421(a)(3) above, and in a format prescribed at section 16401 of Title 8 of the California Code of Regulations, shall be reviewed by the Labor Compliance Program as promptly as practicable after receipt thereof, but in no event more than 30 days after such receipt. “Review” for this purpose shall be defined as inspection of the records furnished to determine if (1) all appropriate data elements identified in Labor Code Section 1776(a) have been reported; (2) certification forms have been completed and signed in compliance with Labor Code Section 1776(b); and (3) the correct prevailing wage rates have been reported as paid for each classification of labor listed thereon, with confirmation of payment in the manner and to the extent described in subpart (c) below.
(c) “Confirmation” of payroll records furnished by contractors and subcontractors shall be defined as an independent corroboration of reported prevailing wage payments. Confirmation may be accomplished through worker interviews, examination of paychecks or paycheck stubs, direct confirmation of payments from third party recipients of “Employer Payments” (as defined at section 16000 of Title 8 of the California Code of Regulations), or any other reasonable method of corroboration. For each month in which a contractor or subcontractor reports having workers employed on the public work, confirmation of furnished payroll records shall be undertaken randomly for at least one worker for at least one weekly period within that month. Confirmation shall also be undertaken whenever complaints from workers or other interested persons or other circumstances or information reasonably suggest to the Labor Compliance Program that payroll records furnished by a contractor or subcontractor are inaccurate.
(d) Representatives of the Labor Compliance Program shall conduct in-person inspections at the site or sites at which the contract for public work is being performed (“On-Site Visits”). On-Site Visits may be undertaken randomly or as deemed necessary by the Labor Compliance Program, but shall be undertaken during each week that workers are present at sites at which the contract for public work is being performed. All On-Site Visits shall include visual inspection of (1) the copy of the determination(s) of the Director of Industrial Relations of the prevailing wage rate of per diem wages required to be posted at each job site in compliance with Labor Code Section 1773.2, and (2) the Notice of Labor Compliance Program Approval required to be posted at the job site in accordance with section 16429 above, listing a telephone number to call for inquiries, questions, or assistance with regard to the Labor Compliance Program. On-Site Visits may include other activities deemed necessary by the Labor Compliance Program to independently corroborate prevailing wage payments reported on payroll records furnished by contractors and subcontractors. 
(e) An Audit, as defined herein, shall be prepared by the Labor Compliance Program whenever the Labor Compliance Program has determined that there has been a violation of the Public Works Chapter of the Labor Code resulting in the underpayment of wages. An “Audit” for this purpose shall be defined as a written summary reflecting prevailing wage deficiencies for each underpaid worker, and including any penalties to be assessed under Labor Code Sections 1775 and 1813, as determined by the Labor Compliance Program after consideration of the best information available as to actual hours worked, amounts paid, and classifications of workers employed in connection with the public work. Such available information may include, but is not limited to, worker interviews, complaints from workers or other interested persons, all time cards, cancelled checks, cash receipts, trust fund forms, books, documents, schedules, forms, reports, receipts or other evidences which reflect job assignments, work schedules by days and hours, and the disbursement by way of cash, check, or in whatever form or manner, of funds to a person(s) by job classification and/or skill pursuant to a public works project. An Audit is sufficiently detailed when it enables the Labor Commissioner, if requested to determine the amount of forfeiture under section 16437, to draw reasonable conclusions as to compliance with the requirements of the Public Works Chapter of the Labor Code, and to enable accurate computation of underpayments of wages to workers and of applicable penalties and forfeitures. An Audit using the forms in Appendix B, when accompanied by a brief narrative identifying the Bid Advertisement Date of the contract for public work and summarizing the nature of the violation and the basis upon which the determination of underpayment was made, presumptively demonstrates sufficiency. Records supporting an Audit shall be maintained by the Labor Compliance Program to satisfy its burden of coming forward with evidence in administrative review proceedings under Labor Code Section 1742 and the Prevailing Wage Hearing Regulations found at sections 17201-17270 of Title 8 of the California Code of Regulations.
(f) After the Labor Compliance Program has determined that violations of the prevailing wage laws have resulted in the underpayment of wages and an audit has been prepared, notification shall be provided to the contractor and affected subcontractor of an opportunity to resolve the wage deficiency prior to a determination of the amount of forfeiture by the Labor Commissioner pursuant to these regulations. The contractor and affected subcontractor shall be provided at least 10 days following such notification to submit exculpatory information consistent with the “good faith mistake” factors set forth in Labor Code Section 1775(a)(2)(A)(i) and (ii). If, based upon the contractor's submission, the Labor Compliance Program reasonably concludes that the failure to pay the correct wages was a good faith mistake, and has no knowledge that the contractor and affected subcontractor have a prior record of failing to meet their prevailing wage obligations, the Labor Compliance Program shall not be required to request the Labor Commissioner for a determination of the amount of penalties to be assessed under Labor Code Section 1775 if the underpayment of wages to workers is promptly corrected and proof of such payment is submitted to the Labor Compliance Program. For each instance in which a wage deficiency is resolved in accordance with this regulation, the Labor Compliance Program shall maintain a written record of the failure of the contractor or subcontractor to meet its prevailing wage obligation. The record shall identify the public works project, the contractor or affected subcontractor involved, and the gross amount of wages paid to workers to resolve the prevailing wage deficiency; and the record shall also include a copy of the Audit prepared pursuant to subpart (e) above along with any exculpatory information submitted to the Labor Compliance Program by the affected contractor or subcontractor.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1742, 1771.5, 1773.1, 1773.2, 1775, 1776 and 1813, Labor Code.
HISTORY

1. New section and Appendix filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
2. Amendment of section, Note and Appendix B filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Repealer and new section heading, section and Appendix B and amendment of Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).

Appendix B -- Labor Compliance Program Regulations

Audit Record Worksheet Forms 
· Public Works Investigation Worksheet
· Public Works Audit Worksheet
· Prevailing Wage Determination Summary

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Article 4. Limited Exemption from the Requirement to Pay Prevailing Wages
§16433. Limited Exemption.
Note     •     History

(a) As provided in Labor Code Section 1771.5(a), an Awarding Body which operates an approved Labor Compliance Program for every public works project under its authority may choose not to require payment of the general rate of per diem wages or the general rate of per diem wages for holiday and overtime work for any public works project of $25,000 or less when the project is for construction or installation work, or of $15,000 or less when the project is for alteration, demolition, repair, or maintenance work.
(b) A project for construction, installation, alteration, demolition, repair, or maintenance work shall be identified as such in the call for bids, and in the contract or purchase order.
(c) If the amount of a contract subject to subpart (a) above is changed and, as a result, exceeds the applicable limit under which the payment of the general rate of per diem wages is not required, workers employed on the contract after the amount due the contractor has reached the applicable limit shall be paid the general rate of per diem wages for regular, holiday or overtime work, as the case may be.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1720(a)(1) and 1771.5, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section and Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of subsection (a) and Note filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
4. Certificate of Compliance as to 8-1-2011 order, including further amendment of section and Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
Article 5. Enforcement
§16434. Duties of Labor Compliance Program.
Note     •     History

(a) A Labor Compliance Program shall have a duty to the Director to enforce the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code and these regulations in a manner consistent with the practice of the Labor Commissioner. It is the practice of the Labor Commissioner to refer to the Director's ongoing advisory service of web-posted public works coverage determinations as a source of information and guidance in making enforcement decisions. It is also the practice of the Labor Commissioner to be represented by an attorney in prevailing wage hearings conducted pursuant to Labor Code Section 1742(b) and sections 17201-17270 of Title 8 of the California Code of Regulations.
(b) Upon receipt of a written complaint alleging that a contractor or subcontractor has failed to pay prevailing wages as required by the Labor Code, the Labor Compliance Program shall do all of the following:
(1) Within 15 days after receipt of the complaint, send a written acknowledgment to the complaining party that the complaint has been received and identifying the name, address, and telephone number of the investigator assigned to the complaint;
(2) Within 15 days after receipt of the complaint, provide the affected contractor with the notice required under Labor Code section 1775(c) if the complaint is against a subcontractor;
(3) Notify the complaining party in writing of the resolution of the complaint within ten days after the complaint has been resolved by the Labor Compliance Program; 
(4) Notify the complaining party in writing at least once every 30 days of the status of a complaint that has not been resolved by the Labor Compliance Program; and 
(5) Notify the complaining party in writing at least once every 90 days of the status of a complaint that has been resolved by the Labor Compliance Program but remains under review or in litigation before another entity.
(c) The duties of a Labor Compliance Program with respect to apprenticeship standards are as follows:
(1) Either the Awarding Body or the Labor Compliance Program acting on its behalf shall (A) inform contractors and subcontractors bidding public works about apprenticeship requirements, (B) send copies of awards and notices of discrepancies to the Division of Apprenticeship Standards as required under Section 1773.3 of the Labor Code, and (C) refer complaints and promptly report suspected violations of apprenticeship requirements to the Division of Apprenticeship Standards.
(2) The Labor Compliance Program shall be responsible for enforcing prevailing wage pay requirements for apprentices consistent with the practice of the Labor Commissioner, including (A) that any contributions required pursuant to Labor Code Section 1777.5(m) are paid to the appropriate entity, (B) that apprentices are paid no less than the prevailing apprentice rate, (C) that workers listed and paid as apprentices on the certified payroll records are duly registered as apprentices with the Division of Apprenticeship Standards, and (D) requiring that the regular prevailing wage rate be paid (i) to any worker who is not a duly registered apprentice and (ii) for all hours in excess of the maximum ratio permitted under Labor Code Section 1777.5(g), as determined at the conclusion of the employing contractor or subcontractor's work on the public works contract.
(d) For each public work project subject to a Labor Compliance Program's enforcement of prevailing wage requirements, a separate, written summary of labor compliance activities and relevant facts pertaining to that particular project shall be maintained. That summary shall demonstrate that reasonable and sufficient efforts have been made to enforce prevailing wage requirements consistent with the practice of the Labor Commissioner. Appendix C following this section provides a suggested format for tracking and monitoring enforcement activities. Compliance records for a project shall be retained until the later of (1) at least one year after the acceptance of the public work or five years after the cessation of all labor on a public work that has not been accepted, or (2) one year after a final decision or judgment in any litigation under Labor Code Section 1742. For purposes of this section, a written summary or report includes information maintained electronically, provided that the summary or report can be printed out in hard copy form or is in an electronic format that (1) can be transmitted by e-mail or compact disk and (2) would be acceptable for the filing of documents in a federal or state court of record within this state. 
(e) The Labor Commissioner may provide, sponsor, or endorse training on how to enforce prevailing wage requirements, including but not necessarily limited to the subjects of (1) ascertaining prevailing wage requirements and rates from the Division of Labor Statistics and Research, (2) monitoring and investigation under section 16432 above, (3) enforcement responsibilities under this section and sections 16435-16439 below, and (4) procedural requirements and responsibilities as an enforcing agency under Labor Code sections 1741-1743 and 1771.6 and sections 17201-17270 of Title 8 of the California Code of Regulations.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1741-1743, 1771.5, 1771.6, 1773.3 and 1777.5-1777.7, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section heading and section filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading and section, new Appendix C and amendment of Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).

Appendix C

Suggested Single Project Labor Compliance Review and 
Enforcement Report Form

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§16435. Withholding Contract Payments When Payroll Records are Delinquent or Inadequate.
Note     •     History

(a) “Withhold” means to cease payments by the Awarding Body, or others who pay on its behalf, or agents, to the general contractor. Where the violation is by a subcontractor, the general contractor shall be notified of the nature of the violation and reference made to its rights under Labor Code Section 1729.
(b) “Contracts.” Except as otherwise provided by agreement, only contracts under a single master contract, including a Design-Build contract, or contracts entered into as stages of a single project, may be the subject of withholding.
(c) “Delinquent payroll records” means those not submitted on the date set in the contract.
(d) “Inadequate payroll records” are any one of the following:
(1) A record lacking any of the information required by Labor Code Section 1776;
(2) A record which contains all of the required information but is not certified, or is certified by someone who is not an agent of the contractor or subcontractor;
(3) A record remaining uncorrected for one payroll period, after the Labor Compliance Program has given the contractor or subcontractor notice of inaccuracies detected by audit or record review. However prompt correction will stop any duty to withhold if such inaccuracies do not amount to 1 percent of the entire Certified Weekly Payroll in dollar value and do not affect more than half the persons listed as workers employed on that Certified Weekly Payroll, as defined in Labor Code Section 1776 and section 16401 of Title 8 of the California Code of Regulations.
(e) The withholding of contract payments when payroll records are delinquent or inadequate is required by Labor Code Section 1771.5(b)(5), and it does not require the prior approval of the Labor Commissioner. The Awarding Body shall only withhold those payments due or estimated to be due to the contractor or subcontractor whose payroll records are delinquent or inadequate, plus any additional amount that the Labor Compliance Program has reasonable cause to believe may be needed to cover a back wage and penalty assessment against the contractor or subcontractor whose payroll records are delinquent or inadequate; provided that a contractor shall be required in turn to cease all payments to a subcontractor whose payroll records are delinquent or inadequate until the Labor Compliance Program provides notice that the subcontractor has cured the delinquency or deficiency.
(f) When contract payments are withheld under this section, the Labor Compliance Program shall provide the contractor and subcontractor, if applicable, with immediate written notice that includes all of the following: (1) a statement that payments are being withheld due to delinquent or inadequate payroll records, and that identifies what records are missing or states why records that have been submitted are deemed inadequate; (2) specifies the amount being withheld; and (3) informs the contractor or subcontractor of the right to request an expedited hearing to review the withholding of contract payments under Labor Code Section 1742, limited to the issue of whether the records are delinquent or inadequate or the Labor Compliance Program has exceeded its authority under this section.
(g) No contract payments shall be withheld solely on the basis of delinquent or inadequate payroll records after the required records have been produced.
(h) In addition to withholding contract payments based on delinquent or inadequate payroll records, penalties shall be assessed under Labor Code Section 1776(g) for failure to timely comply with a written request for certified payroll records. The assessment of penalties under Labor Code Section 1776(g) does require the prior approval of the Labor Commissioner under section 16436 of these regulations. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1729, 1771.5 and 1776, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section heading, section and Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading, section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16435.5. Withholding Contract Payments When, After Investigation, It Is Established That Underpayment  or Other Violation Has Occurred.
Note     •     History

(a) “Withhold” and “contracts” have the same meaning set forth in sections 16435(a) and 16435(b) of these regulations.
(b) Where the violation is by a subcontractor, the general contractor shall be notified of the nature of the violation and reference made to its rights under Labor Code Section 1729.
(c) “Amount equal to the underpayment” is the total of the following determined by payroll review, audit, or admission of contractor or subcontractor: 
(1) The difference between amounts paid workers and the correct General Prevailing Rate of Per Diem Wages, as defined in Labor Code Section 1773, and determined to be the prevailing rate due workers in such craft, classification or trade in which they were employed and the amounts paid; 
(2) The difference between amounts paid on behalf of workers and the correct amounts of Employer Payments, as defined in Labor Code Section 1773.1 and determined to be part of the prevailing rate costs of contractors due for employment of workers in such craft, classification or trade in which they were employed and the amounts paid; 
(3) Estimated amounts of “illegal taking of wages”; 
(4) Amounts of apprenticeship training contributions paid to neither the program sponsor's training trust nor the California Apprenticeship Council; 
(5) Estimated penalties under Labor Code Sections 1775, 1776, and 1813. 
(d) The withholding of contract payments when, after investigation, it is established that underpayment or other violations have occurred requires the prior approval of the Labor Commissioner under sections 16436 and 16437 of these regulations.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1729, 1771.5, 1773, 1773.1, 1775, 1776, 1777.5, 1778, 1813 and 1815, Labor Code.
HISTORY

1. New section filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52). For prior history of section 16435.5, see Register 2004, No. 43.
§16436. Forfeitures Requiring Approval by the Labor Commissioner.
Note     •     History

(a) For purposes of this section and section 16437 below, “forfeitures” means the amount of wages, penalties, and forfeitures assessed by the Labor Compliance Program and proposed to be withheld pursuant to Labor Code section 1771.6(a), and includes the following: (1) the difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than the prevailing wage rate by the contractor or subcontractor; and (2) penalties assessed under Labor Code Sections 1775, 1776 and 1813.
(b) If the aggregate amount of forfeitures assessed as to a contractor or subcontractor is less than $1000.00, the forfeitures shall be deemed approved by the Labor Commissioner upon service and the Labor Commissioner's receipt of copies of the following: (1) the Notice of Withholding of Contract Payments authorized by Labor Code Section 1771.6(a); (2) an Audit as defined in section 16432(e) of these regulations, and (3) a brief narrative identifying the Bid Advertisement Date of the contract for public work and summarizing the nature of the violation, the basis of the underpayment, and the factors considered in determining the assessment of penalties, if any, under Labor Code Section 1775. 
(c) For all other forfeitures, approval by the Labor Commissioner shall be requested and obtained in accordance with section 16437 below. 
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1771.6, 1775, 1776 and 1813, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of subsections (a)-(b)(1) and amendment of Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section and Note filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
§16437. Determination of Amount of Forfeiture by the Labor Commissioner.
Note     •     History

(a) Where the Labor Compliance Program requests a determination of the amount of forfeiture, the request shall include a file or report to the Labor Commissioner which contains at least the information specified in subparts (1) through (9) below. Appendix D is a suggested format for a Request for Approval of Forfeiture under this section.
(1) Whether the public work has been accepted by the awarding body and whether a valid notice of completion has been filed, the dates if any when those events occurred, and the amount of funds being held in retention by the Awarding Body;
(2) Any other deadline which if missed would impede collection;
(3) Evidence of violation, in narrative form;
(4) Evidence of violation obtained under section 16432 of these regulations and a copy of the Audit prepared in accordance with section 16432(e) setting forth the amounts of unpaid wages and applicable penalties;
(5) Evidence that before the forfeiture was sent to the Labor Commissioner (A) the contractor and subcontractor were given the opportunity to explain why there was no violation, or that any violation was caused by good faith mistake and promptly corrected when brought to the contractor or subcontractor's attention, and (B) the contractor and subcontractor either did not do so or failed to convince the Labor Compliance Program of its position; 
(6) Where the Labor Compliance Program seeks not only wages but also a penalty as part of the forfeiture, and the contractor or subcontractor has unsuccessfully contended that the cause of violation was a good faith mistake that was promptly corrected when brought to the contractor or subcontractor's attention, a short statement should accompany the proposal for a forfeiture, with a recommended penalty amount pursuant to Labor Code Section 1775(a); 
(7) Where the Labor Compliance Program seeks only wages or a penalty less than $50 per day as part of the forfeiture because the contractor or subcontractor has successfully contended that the cause of the violation was a good faith mistake that was promptly corrected when brought to the contractor or subcontractor's attention, the file should include the evidence as to the contractor or subcontractor's knowledge of his or her obligation, including the program's communication to the contractor or subcontractor of the obligation in the bid invitations, at the prejob conference agenda and records, and any other notice given as part of the contracting process. With the file should be a statement, similar to that described in (6), and recommended penalty amounts, pursuant to Labor Code Section 1775(a); 
(8) The previous record of the contractor and subcontractor in meeting their prevailing wage obligations; and 
(9) Whether the Labor Compliance Program has been granted approval on only an interim or temporary basis under sections 16425 or 16426 above or whether it has been granted extended approval under section 16427 above. 
(b) The file or report shall be served on the Labor Commissioner as soon as practicable after the violation has been discovered, and not less than 30 days before the final payment, but in no event not less than 30 days before the expiration of the limitations period set forth in Labor Code Section 1741. 
(c) A copy of the recommended forfeiture and the file or report shall be served on the contractor and subcontractor at the same time as it is sent to the Labor Commissioner. The Labor Compliance Program may exclude from the documents served on the contractor and subcontractor copies of documents secured from the contractor or subcontractor during an audit, investigation, or meeting if those are clearly referenced in the file or report. 
(d) The Labor Commissioner shall affirm, reject, or modify the forfeiture in whole or in part as to the wages and penalties due. 
(e) The Labor Commissioner's determination of the forfeiture is effective on one of the two following dates: 
(1) For all programs other than those having extended authority under section 16427 of these regulations, on the date the Labor Commissioner serves by first class mail, on the Labor Compliance Program, on the Awarding Body if different, on the contractor and on the subcontractor, if any, an endorsed copy of the proposed forfeiture, or a newly drafted forfeiture statement which sets out the amount of forfeiture approved. Service on the contractor or subcontractor is effective if made on the last address supplied by the contractor or subcontractor in the record. The Labor Commissioner's approval, modification or disapproval of the proposed forfeiture shall be served within 30 days of receipt of the proposed forfeiture. 
(2) For programs with extended authority under section 16427 above, approval is effective 20 days after the requested forfeitures are served upon the Labor Commissioner, unless the Labor Commissioner serves a notice upon the parties, within that time period, that this forfeiture request is subject to further review. For such programs, a notice that approval will follow such a procedure will be included in the transmittal of the forfeiture request to the contractor. If the Labor Commissioner notifies the parties of a decision to undertake further review, the Labor Commissioner's final approval, modification or disapproval of the proposed forfeiture shall be served within 30 days of the date of notice of further review.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 1771.5 and 1775, Labor Code.
HISTORY

1. New section and Appendix filed 2-20-92; operative 3-23-92 (Register 92, No. 13).
2. Amendment of section and repealer of Appendix C filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section and new Appendix D filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).

Appendix D --Request for Approval of Forfeiture -- Suggested format

View Graphic

View Graphic
§16438. Deposits of Penalties and Forfeitures Withheld.
Note     •     History

(a) Where the involvement of the Labor Commissioner has been limited to a determination of the actual amount of penalty, forfeiture or underpayment of wages, and the matter has been resolved without litigation by or against the Labor Commissioner, the Labor Compliance Program shall deposit penalties and forfeitures with the Awarding Body.
(b) Where collection of fines, penalties or forfeitures results from administrative proceedings or court action to which the Labor Commissioner and Awarding Body or its Labor Compliance Program are both parties, the fines, penalties or forfeitures shall be divided between the general funds of the state and the Awarding Body, as the Hearing Officer or court may decide.
(c) All penalties recovered in administrative proceedings or court action brought by or against the Labor Commissioner and to which the Awarding Body or its Labor Compliance Program is not a party, shall be deposited in the general fund of the state.
(d) All wages and benefits which belong to an employee and are withheld or collected from a contractor or subcontractor, either by withholding or as a result of administrative proceedings or any court action, and which have not been paid to the employee or irrevocably committed on the employee's behalf to a benefit fund, shall be deposited with the Labor Commissioner, who shall handle such wages and benefits in accordance with Labor Code Section 96.7.
NOTE

Authority cited: Section 1773.5, Labor Code. Reference: Sections 96.7, 1771.6 and 1775, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section and Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
§16439. Request for Review of a Labor Compliance Program Enforcement Action; Settlement Authority.
Note     •     History

(a) A contractor or subcontractor may request a settlement meeting pursuant to Labor Code Section 1742.1(b) and may request review of a Labor Compliance Program enforcement action in accordance with Labor Code Sections 1771.6(b) and 1742 and the regulations found at sections 17201-17270 of Title 8 of the California Code of Regulations. The Labor Compliance Program shall have the rights and responsibilities of the Enforcing Agency (as defined in section 17202(f) of Title 8 of the California Code of Regulations), in responding to such a request for review, including but not limited to the obligations to serve notices, transmit the Request for Review to the hearing office, and provide an opportunity to review evidence in a timely manner, to participate through counsel in all hearing proceedings, and to meet the burden of establishing prima facie support for the Notice of Withholding of Contract Payments.
(b) If a contractor or subcontractor seeks review of a Labor Compliance Program enforcement action, the Labor Commissioner may intervene to represent the Awarding Body, or to enforce relevant provisions of the Labor Code consistent with the practice of the Labor Commissioner, or both. 
(c) Except in cases where the Labor Commissioner has intervened pursuant to subpart (b) above, the Labor Compliance Program shall have the authority to prosecute, settle, or seek the dismissal of any Notice of Withholding of Contract Payments issued pursuant to Labor Code Section 1771.6 and any review proceeding under Labor Code Section 1742, without any further need for approval by the Labor Commissioner. Whenever a Labor Compliance Program settles in whole or in part or seeks and obtains the dismissal of a Notice of Withholding of Contract Payments or a review proceeding under Labor Code Section 1742, the Labor Compliance Program shall document the reasons for the settlement or request for dismissal and shall make that documentation available to the Labor Commissioner upon request.
NOTE

Authority cited: Sections 54, 55, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742, 1742.1(b) and 1771.6, Labor Code.
HISTORY

1. New section filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment of section heading, section and Note filed 10-19-2004; operative 11-18-2004 (Register 2004, No. 43).
3. Amendment of section heading and section filed 12-22-2008; operative 1-21-2009 (Register 2008, No. 52).
Subchapter 4.5. Compliance Monitoring and Enforcement by Department of Industrial Relations [Repealed]
Article 1. Notices, Fees, and Fee Waivers [Repealed]
§16450. Applicability. [Text effective January 1, 2012]
Note     •     History

(a) Except as provided in subparts (b) and (c) of this section, the regulations in this subchapter shall apply to contracts for public works projects awarded on or after January 1, 2012, if (1) the project is funded in whole or in part from any bond issued by the state to fund public works projects; (2) the project is subject to a statutory requirement to pay a fee to the Department of Industrial Relations for the monitoring and enforcement of prevailing wage requirements on that project; or (3) the project is undertaken by an Awarding Body that has elected to comply with the requirements of Labor Code Section 1771.5(f).
(b) Notwithstanding subpart (a) of this section, the regulations in this subchapter shall not apply to any public works project that is subject to the requirements of Public Resources Code Section 75075.
(c) With the exception of the notice requirements in section 16451(a), the regulations in this subchapter shall not apply to a project that is exempt from the requirement to pay a fee to the Department for monitoring and enforcement activities on the project on the basis that the Awarding Body has entered into a collective bargaining agreement that (1) binds all contractors and subcontractors performing work on the project and (2) includes a mechanism for resolving disputes about the payment of wages.
NOTE

Authority cited: Sections 54, 55, 1771.3, 1771.5 and 1773.5, Labor Code. Reference: Sections 17250.30 and 81704, Education Code; Section 6531, Government Code; Sections 1771.3, 1771.5 and 1771.7, Labor Code; Sections 6804, 20133, 20175.2, 20193, 20209.7, 20688.6 and 20919.3, Public Contract Code; and Section 75075, Public Resources Code.
HISTORY

1. New subchapter 4.5 (articles 1-2, sections 16450-16464), article 1 (sections 16450-16455) and section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer of subchapter 4.5 (articles 1-2, sections 16450-16464), article 1 (sections 16450-16455) and section filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subchapter 4.5 (articles 1-2, sections 16450-16464), article 1 (sections 16450-16455) and section refiled 5-2-2011 as an emergency, including amendment of Note; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subchapter 4.5 (articles 1-2, sections 16450-16464), article 1 (sections 16450-16455) and section refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, adoption of new section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
§16451. Notice of Projects Subject to Requirements of Subchapter. [Text effective January 1, 2012]
Note     •     History

(a) The Awarding Body shall provide the Director with notice of any project that is subject to the requirements of this subchapter, including projects that are subject only to the notice requirement in this subpart as specified in section 16450(c) above, as follows:
(1) For any project paid for in whole or in part out of public funds, within the meaning of Labor Code Section 1720(b), that are derived from a bond issued by the state, the Awarding Body shall provide notice at the time it receives notice that the funding agency has awarded or released the funds, whichever is later.
(2) For any other project that is not subject to subpart (1) above, the Awarding Body shall provide notice at the time it awards the design-build contract, if using design-build contracting authority, or at the time it awards the initial prime contract, if using any other contracting authority.
(3) The notice required by this section shall be sent to the Office of the Director of Industrial Relations, Attention: Special Assistant, 455 Golden Gate Avenue, 10th Floor, San Francisco, CA 94102, and shall include the following information:
(A) The date of the contract;
(B) The names and contact information for the parties to the contract;
(C) A brief description of the work to be performed;
(D) The precise location or locations where the work will be performed;
(E) The estimated starting date of work on the project;
(F) The source or sources of any state-issued public works bond funding for the project, and the amounts paid or estimated to be paid by each source of that funding;
(G) The estimated total project costs, including the gross amount of every contract for “public works” within the meaning of sections 1720 and following of the Labor Code, but not including amounts paid for land acquisition or for internal costs or contracts that are not for public works within the meaning of sections 1720 and following of the Labor Code;
(H) The name, title, and contact information for the Awarding Body representative who will be responsible for carrying out the Awarding Body's obligations under this subchapter; and 
(I) Whether the Awarding Body had entered into a collective bargaining agreement that binds all contractors and subcontractors performing work on the project and includes a mechanism for resolving disputes about the payment of wages.
(4) In lieu of submitting a written notice as specified in subpart (a)(3), the Awarding Body may complete and transmit the notice on line using the format and instructions for completing and transmitting the form specified on the Department's website.
(b) The Director may provide for the submission of a single notice to comply with the requirements of subpart (a) above and the notification requirements of Section 1773.3 of the Labor Code. 
(c) The Call for Bids, Design-Build Request, and the contract or purchase order shall contain appropriate language concerning the requirements of Division 2, Part 7, Chapter 1 of the Labor Code and shall also state that the project is subject to the requirements of this subchapter, including the obligation to furnish certified payroll records directly to the Labor Commissioner in accordance with section 16461 below.
(d) On each job site that is subject to compliance monitoring and enforcement by the Department of Industrial Relations under this subchapter, the Awarding Body shall post or require the prime contractor to post a Notice containing the following language:
“This public works project is subject to monitoring and investigative activities by the Compliance Monitoring Unit (CMU) of the Division of Labor Standards Enforcement, Department of Industrial Relations, State of California. This Notice is intended to provide information to all workers employed in the execution of the contract for public work and to all contractors and other persons having access to the job site to enable the CMU to ensure compliance with and enforcement of prevailing wage laws on public works projects. 
“The prevailing wage laws require that all workers be paid at least the minimum hourly wage as determined by the Director of Industrial Relations for the specific classification (or type of work) performed by workers on the project. These rates are listed on a separate job site posting of minimum prevailing rates required to be maintained by the public entity which awarded the public works contract. Complaints concerning nonpayment of the required minimum wage rates to workers on this project may be filed with the CMU at any office of the Division of Labor Standards Enforcement (DLSE).
Local Office Telephone Number: _______________
“Complaints should be filed in writing immediately upon discovery of any violations of the prevailing wage laws due to the short period of time following the completion of the project that the CMU may take legal action against those responsible.
“Complaints should contain details about the violations alleged (for example, wrong rate paid, not all hours paid, overtime rate not paid for hours worked in excess of 8 per day or 40 per week, etc) as well as the name of the employer, the public entity which awarded the public works contract, and the location and name of the project.
“For general information concerning the prevailing wage laws and how to file a complaint concerning any violation of these prevailing wage laws, you may contact any DLSE office. Complaint forms are also available at the Department of Industrial Relations website found at www.dir.ca.gov/dlse/PublicWorks.html.”
NOTE

Authority cited: Sections 1771.3, 1771.5 and 1773.5, Labor Code. Reference: Sections 17250.30 and 81704, Education Code; Section 6531, Government Code; Sections 1771.3, 1771.5, 1771.7, 1773.2 and 1773.3, Labor Code; and Sections 6804, 20133, 20175.2, 20193, 20209.7, 20688.6 and 20919.3, Public Contract Code.
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency, including amendment of Note; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, adoption of new section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
§16452. Fees for Compliance Monitoring and Enforcement by Department of Industrial Relations. [Text effective January 1, 2012]
Note     •     History

(a) The Department shall charge a fee for purposes of recovering its reasonable and necessary costs that are directly related to the monitoring and enforcement of prevailing wage requirements on each project that is subject to the fee. 
(b) For projects that are paid for in whole or in part out of public funds derived from any bond issued by the state, the Department shall determine the rate or rates to charge in accordance with the requirements and subject to the limitations set forth in Labor Code Section 1771.3(a)(3).
(c) Subject to any further limitation on state bond-funded projects established in accordance with subpart (b) above, the maximum fee assessed for any project shall not exceed one-quarter of one percent of the total amount of the total project costs, including the gross amount of every contract for “public works” within the meaning of sections 1720 and following of the Labor Code, but not including amounts paid for land acquisition or for internal costs or contracts that are not for public works within the meaning of sections 1720 and following of the Labor Code.
(d) Fees collected pursuant to this section shall be deposited in the State Public Works Enforcement Fund and shall be used only for the monitoring and enforcement of prevailing wage requirements on projects subject to the fee.
NOTE

Authority cited: Sections 1771.3, 1771.5 and 1773.5, Labor Code. Reference: Sections 17250.30 and 81704, Education Code; Section 6531, Government Code; Sections 1771.3, 1771.5, 1771.7, 1773.2 and 1773.3, Labor Code; and Sections 6804, 20133, 20175.2, 20193, 20209.7, 20688.6 and 20919.3, Public Contract Code.
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency, including amendment of Note; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, adoption of new section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
§16453. [Reserved]
Note     •     History

NOTE

Authority cited: Section 1771.3, 1771.5 and 1773.5, Labor Code.
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency, including amendment of Note; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, reservation of section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
§16454. Payment of Fees for Compliance Monitoring and Enforcement by Department of Industrial Relations by an Awarding Body that Elects to Comply with the Requirements of Labor Code Section 1771.5(f). [Text effective January 1, 2012]
Note     •     History

An Awarding Body that elects to comply with the requirements of Labor Code Section 1771.5 (f) for all public works projects that it undertakes shall do all of the following:
(a) Provide the notices required under section 16451 above.
(b) Conduct a prejob conference before commencement of the work with contractors and subcontractors listed in the bid or who are required to be identified or prequalified in a Design-Build Contract. At the prejob conference applicable federal and state labor law requirements shall be discussed, and copies of suggested reporting forms furnished. A checklist, showing which federal and state labor law requirements were discussed, shall be kept for each conference. A checklist in the format of Appendix A (following section 16421 in subchapter 4 of these regulations) presumptively meets this requirement. 
(c) Pay the fees prescribed by section 16452 above.
NOTE

Authority cited: Sections 1771.3, 1771.5 and 1773.5, Labor Code. Reference: Sections 1771.3 and 1771.5, Labor Code.
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, adoption of new section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
§16455. Fee Waivers; Exemption from Requirements of this Subchapter. [Text effective January 1, 2012]
Note     •     History

(a) An Awarding Body that requests and receives approval from the Director to continue operating a previously approved Labor Compliance Program for every public works project under its authority shall not be subject to the fees, notices, or compliance monitoring provisions of this subchapter, provided that it remains in compliance with the requirements of subchapter 4 (sections 16421 through 16439) and continues to monitor and enforce compliance on all of its projects, including projects that otherwise would be subject to this subchapter.
(b) An Awarding Body that requests and receives approval from the Director to continue operating a previously approved Labor Compliance Program only for those public works projects under its authority that are subject to the requirements of this subchapter pursuant to subparts (a)(1) and (a)(2) of section 16450 above, shall be exempt from the fees due under section 16452 above and shall not be subject to the compliance monitoring provisions of Article 2 of this subchapter (commencing with section 16460), provided that (1) it has provided the notices required by sections 16423(b) and 16451 above; (2) it remains in compliance with the requirements of subchapter 4 (sections 16421 through 16439); and (3) it continues to monitor and enforce compliance on all projects subject to this subchapter.
(c) Notwithstanding subparts (a) and (b), an Awarding Body shall lose its exemption and be subject to the fees and other requirements of this subchapter if the Director determines that the Awarding Body does not meet the conditions for a fee waiver under subpart (a) or (b) above, or is contracting with a third party to conduct its labor compliance program on its projects. However, this subpart shall not be construed as precluding the use of consultants under the following circumstances:
(1) for legal representation or other licensed professional services that are directly related to the operation of the labor compliance program and that require special expertise that is not available among the Awarding Body's own employed staff;
(2) to augment employed staff in the performance of tasks required under section 16432 above, provided that the consultants exercise no discretionary authority on behalf of the Awarding Body and are under the direct day-to-day control and supervision of Awarding Body employees who are principally and primarily engaged in performing duties on behalf of the labor compliance program;
(3) for the purpose of reviewing program operations or providing other assistance on a purely advisory basis in which the consultant has no authority to act or withhold action on behalf of the Awarding Body nor the authority to compel, withhold, or delay any action by the Awarding Body; or
(4) for any project or purpose that would not be subject to a fee under this subchapter or require the use of an approved labor compliance program under section 16423 above.
(d) An Awarding Body that is entitled to a waiver of the Department's fees for compliance monitoring and enforcement, as specified in this section, may retain, request, or seek reimbursement of any fees or funding provided for the support of labor compliance monitoring and enforcement activities, to the extent authorized by any funding agency and any other applicable law.
(e) The fee waiver provided by this section shall apply to any Awarding Body Labor Compliance Program that has been approved pursuant to sections 16425, 16426, or 16427 above and that has requested and received approval for continued operation under subpart (a) or subpart (b) above. The Director shall maintain a list of Awarding Body Labor Compliance Programs that are exempt from fees under either subpart (a) or subpart (b) of this section and may post this list on the Department of Industrial Relations' website. 
NOTE

Authority cited: Sections 1771.3, 1771.5 and 1773.5, Labor Code. Reference: Sections 17250.30 and 81704, Education Code; Section 6531, Government Code; Sections 1771.3, 1771.5, 1771.7, 1773.2 and 1773.3, Labor Code; and Sections 6804, 20133, 20175.2, 20193, 20209.7, 20688.6 and 20919.3, Public Contract Code.
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency, including amendment of Note; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Certificate of Compliance as to 8-1-2011 order, including amendment of section heading, adoption of new section and amendment of Note, transmitted to OAL 10-28-2011 and filed 12-7-2011; operative 1-1-2012 (Register 2011, No. 49).
Article 2. Compliance Monitoring by Labor Commissioner
§16460. Establishment of Compliance Monitoring Unit.
Note     •     History

(a) For the purposes of carrying out the specific labor compliance monitoring and enforcement responsibilities prescribed by Labor Code Section 1771.55 and the regulations in this Article, the Labor Commissioner shall establish a Compliance Monitoring Unit within the Division of Labor Standards Enforcement. The functions carried out by the Compliance Monitoring Unit shall be in addition to and shall not limit or supplant the other public works investigation and enforcement responsibilities and authority of the Labor Commissioner and the Division of Labor Standards Enforcement under any other statute or regulation. 
(b) Nothing in this subchapter shall be construed as (1) limiting the responsibility and authority of an Awarding Body to take cognizance of prevailing wage violations under Labor Code Section 1726 and take any appropriate action pursuant to and in accordance with that responsibility and authority, or (2) precluding any other remedies otherwise authorized by law to remedy violations of Division 2, Part 7, Chapter 1 of the Labor Code. 
(c) The failure of the Compliance Monitoring Unit, the Division of Labor Standards Enforcement, or any other part of the Department of Industrial Relations to comply with any requirement imposed by this subchapter shall not of itself constitute a defense to the failure to pay prevailing wages or to comply with any other obligation imposed by Division 2, Part 7, Chapter 1 of the Labor Code. 
NOTE

Authority cited: Sections 54, 55, 1771.55 and 1773.5, Labor Code. Reference: Sections 1726, 1741, 1771.2, 1771.5, 1771.55 and 1781, Labor Code. 
HISTORY

1. New article 2 (sections 16460-16464) and section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer of article 2 (sections 16460-16464) and section filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 2 (sections 16460-16464) and section refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer of article 2 (sections 16460-16464) and section refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Reinstatement of article 2 (sections 16460-16464) and section as they existed prior to 11-4-2010 emergency repeal by operation of Government Code section 11346.1(f) (Register 2011, No. 49).
§16461. Review of Payroll Records and Other Monitoring and Investigative Activities of Compliance Monitoring Unit.
Note     •     History

(a) The function of the Compliance Monitoring Unit is to ensure that public works contractors performing work in the execution of a contract, on projects for which a fee is paid to the Department of Industrial Relations, comply with the prevailing wage requirements found in the Division 2, Part 7, Chapter 1 of the Labor Code. Among other things, this section is intended to (1) provide the Compliance Monitoring Unit, Awarding Bodies, public works contractors, and representatives of the Department of Industrial Relations and the Division of Labor Standards Enforcement with common terminology as they perform their respective roles in prevailing wage compliance, and (2) set forth the manner in which the Compliance Monitoring Unit will ensure compliance with and enforcement of prevailing wage laws on public works projects. 
(b) Contractors and subcontractors shall keep accurate payroll records in accordance with Labor Code Section 1776, and such records shall be furnished to the Compliance Monitoring Unit at times designated by the Awarding Body in the contract, which shall be at least monthly, or within 10 days of any separate request by the Compliance Monitoring Unit. Payroll records shall be furnished in a format prescribed by section 16401 of Title 8 of the California Code of Regulations, with use of the current version of DIR's “Public Works Payroll Reporting Form” (A-1-131) and “Statement of Employer Payments” (DLSE Form PW26) constituting presumptive compliance with this requirement, provided the forms are filled out accurately and completely. In lieu of paper forms, the Compliance Monitoring Unit may provide for and require the electronic submission of certified payroll reports. 
(c) Payroll records timely furnished by contractors and subcontractors in accordance with this section shall be reviewed by the Compliance Monitoring Unit as promptly as practicable after receipt thereof, but in no event more than 30 days after such receipt. “Review” for this purpose means the inspection of the records furnished to determine whether (1) all appropriate data elements identified in Labor Code Section 1776(a) have been reported; (2) certification forms have been completed and signed in compliance with Labor Code Section 1776(b); and (3) no less than the correct prevailing wage rates have been reported as paid for each classification of labor listed thereon. 
(d) On a random basis and at such other times as it deems appropriate, the Compliance Monitoring Unit may also confirm the accuracy of payroll reports. “Confirmation” for this purpose means the corroboration of information in payroll reports through independent sources, including without limitation worker interviews, examination of any time and pay records found within the definition of “Payroll Records” in section 16000 of Title 8 of the California Code of Regulations, direct verification of “Employer Payments” (as defined at section 16000 of Title 8 of the California Code of Regulations) through third-party recipients of those payments, or any other legal and reasonable method of corroboration. As part of its confirmation process, the Compliance Monitoring Unit may require contractors and subcontractors to furnish for inspection itemized statements prepared in accordance with Labor Code Section 226. The Compliance Monitoring Unit may conduct random confirmation based on a recognized statistical sampling of the records submitted. 
(e) Representatives of the Compliance Monitoring Unit may conduct in-person inspection(s) at the site or sites at which the contract for public work is being performed (“On-Site Visits”). On-Site Visits may be undertaken randomly or as deemed necessary by the Compliance Monitoring Unit. On-Site Visits may include visual inspection of required job site notices, including but not limited to (1) the determination(s) of the Director of Industrial Relations of the prevailing wage rate of per diem wages required to be posted at each job site in compliance with Labor Code Section 1773.2; (2) the Notice of pay days and time and place of payment required by Labor Code Section 207; and (3) the form prescribed by section 16451(d) above. On-Site Visits may also include inspections of records, inspections of the work site and observation of work activities, interviews of workers and others involved with the project, and any other activities deemed necessary by the Compliance Monitoring Unit to ensure compliance with prevailing wage requirements. In accordance with Labor Code Section 90, the Compliance Monitoring Unit shall have free access to any construction site or other place of labor and may obtain any information or statistics pertaining to the lawful duties of the Labor Commissioner, including but not limited to evidence of compliance with Labor Code Section 226 [itemized wage statements for employees] and any other laws enforced by the Labor Commissioner. 
(f) An Audit shall be prepared by the Compliance Monitoring Unit upon determining that there has been a violation of Division 2, Part 7, Chapter 1 of the Labor Code resulting in the underpayment of wages. An “Audit” for this purpose means as a written summary reflecting prevailing wage deficiencies for each underpaid worker, and including any penalties to be assessed under Labor Code Sections 1775 and 1813. 
NOTE

Authority cited: Sections 54, 55, 1771.55 and 1773.5, Labor Code. Reference: Sections 90, 207, 226, 1771.5, 1771.55, 1773.2, 1775, 1776 and 1813, Labor Code. 
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by a8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Reinstatement of section as it existed prior to 11-4-2010 emergency repeal by operation of Government Code section 11346.1(f) (Register 2011, No. 49).
§16462. Complaints.
Note     •     History

(a) The Compliance Monitoring Unit shall accept complaints from workers or members of the public alleging nonpayment of the required minimum rates of pay to workers or other violations of the prevailing wage laws on projects that are subject to this subchapter. Complaints shall be filed in writing with the Division of Labor Standards Enforcement as soon as the alleged violation is known, and the Division may provide for complaints to be filed electronically. A complaint need not conform to any technical requirements as long as it contains sufficient information to identify the project, affected parties and dates, and describes the subject matter of the complaint in enough detail to enable the Division to commence an investigation into whether a violation occurred. 
(b) The Compliance Monitoring Unit shall notify the contractor and subcontractor of any noncompliance as soon as practicable where such notice may enable the contractor or subcontractor to correct the non-compliance. This early notice may describe the nature of the violation only, and it is not necessary that the notice include a full summary of any unpaid wages due. 
NOTE

Authority cited: Sections 54, 55, 1771.55 and 1773.5, Labor Code. Reference: Sections 1741, 1771.55 and 1775, Labor Code. 
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Reinstatement of section as it existed prior to 11-4-2010 emergency repeal by operation of Government Code section 11346.1(f) (Register 2011, No. 49).
§16463. Withholding of Contract Payments When Payroll Records are Delinquent or Inadequate.
Note     •     History

(a) “Withhold” means to cease payments by the Awarding Body, or others who pay on its behalf, or agents, to the general contractor. Where the violation is by a subcontractor, the general contractor shall be notified of the nature of the violation and reference made to its rights under Labor Code Section 1729. 
(b) “Contracts.” Except as otherwise provided by agreement, only contracts under a single master contract, including a Design-Build contract, or contracts entered into as stages of a single project, may be the subject of withholding.
(c) “Delinquent payroll records” means those not submitted on the date set in the contract. 
(d) “Inadequate payroll records” are any one of the following: 
(1) A record lacking any of the information required by Labor Code Section 1776;
(2) A record which contains all of the required information but is not certified, or is certified by someone who is not an agent of the contractor or subcontractor;
(3) A record remaining uncorrected for one payroll period after the Labor Commissioner has given the contractor or subcontractor notice of inaccuracies detected by audit or record review. However, prompt correction will stop any duty to withhold if such inaccuracies do not amount to one (1) percent of the entire Certified Weekly Payroll in dollar value and do not affect more than half the persons listed as workers employed on that Certified Weekly Payroll, as defined in Labor Code Section 1776 and section 16401 of Title 8 of the California Code of Regulations. 
(e) The Labor Commissioner may require the Awarding Body to withhold contract payments when payroll records are delinquent or inadequate. The amount withheld shall be limited to those payments due or estimated to be due to the contractor or subcontractor whose payroll records are delinquent or inadequate, plus any additional amount that the Labor Commissioner has reasonable cause to believe may be needed to cover a back wage and penalty assessment against the contractor or subcontractor whose payroll records are delinquent or inadequate; provided that a contractor shall be required in turn to cease all payments to a subcontractor whose payroll records are delinquent or inadequate until the Labor Commissioner provides notice that the subcontractor has cured the delinquency or deficiency. 
(f) When contract payments are withheld under this section, the Labor Commissioner shall provide the contractor and subcontractor, if applicable, with immediate written notice that includes all of the following: (1) a statement that payments are being withheld due to delinquent or inadequate payroll records, and that identifies what records are missing or states why records that have been submitted are deemed inadequate; (2) specifies what amounts the Awarding Body has been directed to withhold; and (3) informs the contractor or subcontractor of the right to request an expedited hearing to review the withholding of contract payments under Labor Code Section 1742, limited to the issue of whether the records are delinquent or inadequate or the Labor Commissioner has exceeded his or her authority under this section. 
(g) No contract payments shall be withheld solely on the basis of delinquent or inadequate payroll records after the required records have been produced. 
(h) In addition to withholding contract payments based on delinquent or inadequate payroll records, penalties may be assessed under Labor Code Section 1776(g) for failure to timely comply with a written request for certified payroll records. 
(i) This section does not apply to the withholding of contract payments based upon the issuance of a civil wage and penalty assessment which finds a contractor liable for unpaid wages or penalties under Sections 1775, 1776(g), or 1813 of the Labor Code. 
NOTE

Authority cited: Sections 1771.55 and 1773.5, Labor Code. Reference: Sections 1729, 1771.5, 1771.55, 1742, 1775, 1776 and 1813, Labor Code. 
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Reinstatement of section as it existed prior to 11-4-2010 emergency repeal by operation of Government Code section 11346.1(f) (Register 2011, No. 49).
§16464. Issuance of Civil Wage and Penalty Assessment upon Determination that Contractor or Subcontractor has Violated Prevailing Wage Requirements.
Note     •     History

If the Compliance Monitoring Unit determines that there has been any violation of Division 2, Part 7, Chapter 1 of the Labor Code, the Labor Commissioner shall issue and serve a Civil Wage and Penalty Assessment to the contractor or subcontractor or both, in accordance with the requirements of Labor Code Section 1741. 
NOTE

Authority cited: Sections 1771.55 and 1773.5, Labor Code. Reference: Section 1741, Labor Code. 
HISTORY

1. New section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
2. Repealer filed 11-4-2010 as an emergency; operative 11-4-2010 (Register 2010, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-3-2011 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-2-2011 as an emergency; operative 5-2-2011 (Register 2011, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-1-2011 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-1-2011 as an emergency; operative 8-1-2011. A Certificate of Compliance must be transmitted to OAL by 10-31-2011 or emergency language will be repealed by operation of law on the following day (Register 2011, No. 31).
5. Reinstatement of section as it existed prior to 11-4-2010 emergency repeal by operation of Government Code section 11346.1(f) (Register 2011, No. 49).
Subchapter 4.6.  Severability
§16500. Severability.
Note     •     History

If any provision of the regulations in Subchapter 3 or Subchapter 4 or the application thereof to any person, party or circumstances is held invalid, such invalidity shall not affect other provisions or applications of these regulations which can be given effect without the invalid provisions or applications, and to this end the provisions of these regulations are severable.
NOTE

Authority cited: Sections 54 and 1773.5, Labor Code. Reference: Section 1773.5, Labor Code.
HISTORY

1. Amendment filed 2-20-92; operative 3-23-92 (Register 92, No. 13). 
2. Amendment redesignating former subchapter 4, article 6 (section 16500) as subchapter 4.6 (section 16500) and amending section filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
Subchapter 4.8. Debarment
§16800. Definitions.
Note     •     History

In addition to the definitions of “Contractor,” “Subcontractor,” “Awarding Body,” “Political Subdivision,” “Public Works,” and any other applicable terms, found in Group 3. Payment of Prevailing Wages upon Public Works, article 17 section 16000, the following terms are defined for general use in this article.
“Substantial Interest” means an interest of twenty percent (20%) of a corporation, limited partnership or similar entity and includes an individual holding the position of responsible managing employee, qualifying responsible managing officer or general partner regardless of the percentage interest in the entity.
“Fraud” means a suggestion, as a fact, of that which is not true, by one who does not believe it to be true; or the assertion, as a fact, of that which is not true, by one who has no reasonable ground for believing it to be true; or the suppression of a fact, by one who is bound to disclose it, or who gives information of other facts which are likely to mislead for want of communication of that fact; or a promise, made without any intention of performing it.
“Person” means an individual or legal entity, including, but not limited to, any firm, corporation, partnership, limited partnership, agency, association, organization or trust, and includes, where applicable, the public agencies, awarding bodies and any agent or officer thereof authorized to act for or on behalf of any of the foregoing.
“Firm” means, but is not limited to, any individual, corporation, partnership, limited partnership, agency, association, organization or trust operating a business in the State of California whether or not licensed or permitted to do so.
“Intent to Defraud” means the intent to deceive another person or entity, as defined in this article, and to induce such other person or entity, in reliance upon such deception, to assume, create, transfer, alter or terminate a right, obligation or power with reference to property of any kind.
“Deliberately” means premeditated and intentional and does not include inadvertent error.
“Respondent” means any person or entity subject to the proceedings set forth in this article.
NOTE

Authority cited: Section 1777.1(e), Labor Code. Reference: Section 1777.1, Labor Code.
HISTORY

1. New section filed 4-5-90 as an emergency; operative 4-5-90 (Register 90, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-3-90.
2. New section filed 9-4-90 as an emergency readoption effective 9-4-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 1-2-91 or emergency language will be repealed on the following day.
3. Repealed on January 3, 1991 by operation of Government Code section 11346.1(g) (Register 91, No. 12).
4. New section filed 2-13-91; operative 2-13-91 (Register 91, No. 12).
5. Amendment redesignating former subchapter 4, article 8 (sections 16800-16802) as subchapter 4.8 (sections 16800-16802) filed 6-29-2010; operative 8-1-2010 pursuant to Government Code section 11343.4(b) (Register 2010, No. 27). 
§16801. Investigations: Duties, Responsibilities and Rights of the Parties.
Note     •     History

(a) Division of Labor Standards Enforcement. The Division of Labor Standards Enforcement (hereinafter “DLSE”) may investigate any alleged violation of the provisions of chapter 1, part 7 of the California Labor Code for purposes of enforcing Labor Code section 1777.1. Investigations pursuant to section 1777.1 are for the purpose of determining a Respondent's willful violation, or violation with the intent to defraud, of the provisions of chapter 1, part 7 of the California Labor Code, with the exception of section 1777.5.
(1) Where a preliminary investigation reveals that there is insufficient evidence to continue the investigation, DLSE may close the investigation and shall notify the Respondent and awarding body in writing.
(2) In the event an investigation of any Respondent reveals a violation of Labor Code section 1777.1, DLSE shall notify the awarding body in writing and shall serve upon the Respondent a Notice of Hearing together with a Statement of Alleged Violations, which shall specifically set forth DLSE's allegations against the Respondent.
(A) Service of both the Notice of Hearing and Statement of Alleged Violations shall be complete when mailed, by first class postage, to the last address of record for the Respondent listed with the State Contractors License Board or, in the event the Respondent is not licensed by the State Contractors License Board, the last known address of the Respondent available to the awarding body or, in the case of a subcontractor, the last known address available to the general contractor with whom the subcontractor contracted in the performance of the public works project under investigation. In the event there is neither an address of record with the State Contractors License Board or the awarding body or general contractor, the Notice of Hearing and Statement of Alleged Violations shall be served pursuant to the provisions of the Code of Civil Procedure, sections 415.10 - 415.50. concerning the service of civil summons.
(B) The Notice of Hearing shall list the date, time and place of the hearing which shall not be scheduled sooner than forty-five days after the date of the mailing of the Notice of Hearing and Statement of Alleged Violations.
(C) The Respondent shall have the opportunity to review and copy such records from the investigative file of DLSE which are not subject to either attorney-client or work product privileges. The Respondent shall be entitled to a reasonable number of subpoenas but shall be liable for any costs of service of the subpoenas, or any other witness or mileage fees incurred.
Mileage and Witness fees shall be set as specified in Government Code section 68093. In the exercise of his or her discretion, the Hearing Officer may limit the number of witnesses subpoenaed either for the purpose of corroboration or for establishing a single material fact in issue, or where the Respondent has not furnished satisfactory evidence that the witness will be able to give necessary and competent testimony material to the issues at the hearing.
(D) In presiding over a hearing conducted pursuant to section 1777.1(c), the Hearing Officer shall control the order of presentation of evidence, and shall direct and rule on matters concerning the conduct of the hearing and of those persons appearing. The hearing shall be conducted in an informal setting preserving the rights of the Respondent. The formal rules of evidence shall not apply and any relevant evidence may be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. However, no determination shall be made based solely upon any evidence which would not be admissible, over objection, in a court of law in this state.
(E) The hearing shall be phonographically recorded. The Respondent may request a copy of the recording, and shall bear all costs incidental to the preparation of same. The Respondent may arrange to have the hearing reported by a certified court reporter and shall bear all cost incidental thereto. If the record of the hearing is transcribed by the Respondent, a copy thereof shall be provided to the Labor Commissioner free of any cost within five (5) days of such transcription.
(F) Oral evidence at the hearing shall be taken only upon oath or affirmation. The Respondent shall have the right to call and examine witnesses, to introduce exhibits and to rebut the evidence against him or her.
(G) Any Respondent to a proceeding hereunder may, but need not, be represented by legal counsel during the entire course of the investigation, including the hearing.
(H) Continuances of hearings scheduled pursuant to Labor Code section 1777.1(c) ordinarily will not be granted. The Hearing Officer, in the exercise of his or her sound discretion, may grant a continuance of the hearing only upon a showing of extraordinary circumstances and good cause.
(I) At the conclusion of the hearing the Hearing Officer may take the matter under submission or allow the introduction of post hearing briefs. The Hearing Officer shall prepare a Findings of Fact and Conclusions and a proposed Determination which shall contain the recommended penalty, if applicable. The Labor Commissioner or his designee shall have the right to modify, change or adopt the proposed Findings of Fact and Conclusions, the proposed Determination and any recommended penalty. No Determination or penalty shall be final until adopted by the State Labor Commissioner.
(J) The Determination of the Labor Commissioner after the hearing shall be served on the Respondent as provided in subdivision (A), above.
(K) In the event that the Determination of the Labor Commissioner results in an order to debar the Respondent, DLSE shall notify through the Division of Labor Statistics and Research all awarding bodies of such Determination immediately upon service of the Determination on the Respondent. In addition, DLSE shall maintain a record of each and every debarment under the provisions of Labor Code section 1777.1 for a period of 5 years from the date of the debarment, and shall list the name and last known address of the debarred contractor or subcontractor, the date of the debarment and the term of the debarment, and shall make that information available to the public, upon written request, which encloses a self-addressed and stamped envelope.
(b) Awarding Bodies. Any awarding body which has awarded or let a contract or purchase order to be paid for in whole or in part from public funds calling for the construction, alteration, demolition, repair, maintenance, or improvement of any structure, building, road, property, or other improvement of any kind (including the laying of carpet and the hauling of refuse from a public works site to an outside disposal location with respect to contracts involving any state agency, including the California State University and University of California) shall, in accordance with Labor Code section 1776(g), inform prime contractors of the requirements of Labor Code section 1776, and any other requirements imposed by law, in order to assist DLSE with an investigation pursuant to Labor Code 1777.1. The awarding body shall have the right to review the records from the investigative file of DLSE which are not covered by attorney- client or work product privileges, and which are not being utilized in the ongoing investigation of a criminal offense.
(c) Contractors and Subcontractors. All contractors and subcontractors, including Respondents, who have contracted to perform services on a public works project shall comply with Labor Code 1776, and any other requirements imposed by law, in order to assist DLSE with an investigation pursuant to Labor Code section 1777.1.
NOTE

Authority cited: Section 1777.1(e), Labor Code. Reference: Section 1777.1, and Section 92, Labor Code.
HISTORY

1. New section filed 4-5-90 as an emergency; operative 4-5-90 (Register 90, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-3-90.
2. New section filed 9-4-90 as an emergency readoption effective 9-4-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 1-2-91 or emergency language will be repealed on the following day.
3. Repealed on January 3, 1991 by operation of Government Code section 11346.1(g) (Register 91, No. 12).
4. New section filed 2-13-91; operative 2-13-91 (Register 91, No. 12).
§16802. Penalties.
Note     •     History

In the event that the Labor Commissioner determines that a violation of chapter 1 of part 7 of the Labor Code has occurred, the Hearing Officer may recommend the penalty to be imposed on the Respondent.
(a) In setting a penalty, due consideration shall be given to the nature of the offense; the amount of underpayment of wages per worker; the experience of the Respondent in the area of public works; and the Respondent's compliance with Labor Code section 1776. The above considerations shall be based upon evidence presented at the hearing and made a part of the record.
NOTE

Authority cited: Section 1777.1(e), Labor Code. Reference: Section 1777.1, Labor Code.
HISTORY

1. New section filed 4-5-90 as an emergency; operative 4-5-90 (Register 90, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-3-90.
2. New section filed 9-4-90 as an emergency readoption effective 9-4-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 1-2-91 or emergency language will be repealed on the following day.
3. Repealed on January 3, 1991 by operation of Government Code section 11346.1(g) (Register 91, No. 12).
4. New section filed 2-13-91; operative 2-13-91 (Register 91, No. 12).
Subchapter 5. Department of Industrial Relations--Conflict of Interest Code
§17000. General Provisions.
Note     •     History

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation, 2 Cal. Code Regs. Section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 Cal. Code Regs. Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the Department of Industrial Relations.
Pursuant to Section 4(A) of the standard Code, designated employees shall file statements of economic interests with the agency. Upon receipt of the statement of the Director, the agency shall make and retain a copy and forward the original of this statement to the Fair Political Practices Commission.
NOTE

Authority cited: Section 87306, Government Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. New Group 5 (Articles 1-7, Sections 17000-17800, not consecutive) filed 12-2-77; effective thirtieth day thereafter. Approved by the Fair Political Practices Commission 1-19-77 (Register 77, No. 49).
2. Repealer of Group 5 (Articles 1-7, Sections 17000-17800, not consecutive) and new Group 5 (Section 17000 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Repealer of section and Appendix and new section and Appendix filed 3-3-2003; operative 4-2-2003. Approved by Fair Political Practices Commission 12-19-2002 (Register 2003, No. 10). 
4. Amendment of Appendix B filed 11-20-2003; operative 12-20-2003. Approved by Fair Political Practices Commission 9-17-2003 (Register 2003, No. 47).
5. Amendment of appendices A and B filed 11-8-2006; operative 12-8-2006. Approved by Fair Political Practices Commission 8-31-2006 (Register 2006, No. 45).

Appendix

Department of Industrial Relations
Disclosure Categories
Category 1:
Designated employees assigned to Category 1 shall report as follows:
Investments, interests in real property, business positions and income from any source that: (1) is subject to the authority of the Department of Industrial Relations or any of its organizational components; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Department of Industrial Relations or any of its organizational components; or (3) engages in or derives any of its income from providing consulting services or education seminars on matters subject to the authority of the Department of Industrial Relations or any of its organizational components.
Category 2:
Designated employees assigned to Category 2 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the Department of Industrial Relations or any of its organizational components; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Department of Industrial Relations or any of its organizational components; or (3) engages in or derives any of its income from providing consulting services or educational seminars on matters subject to the authority of the Department of Industrial Relations or any of its organizational components.
Category 3:
Designated employees assigned to Category 3 shall report as follows:
Investments, interests in real property, business positions and income from any source which has sold, rented, or leased goods, facilities, supplies or equipment to the Department of Industrial Relations, or any of its organizational components, within a two year period preceding the filing date of the designated employee's disclosure statement.
Category 4:
Designated employees assigned to Category 4 shall report as follows:
Investments, business positions and income from any source which sells, rents, or leases computer or information technology equipment, supplies, facilities, software, training or consulting services.
Category 5:
Designated employees assigned to Category 5 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the Division of Workers' Compensation or the Workers' Compensation Appeals Board, including but not limited to physicians (as defined in Labor Code §3209.3), medical facilities, language interpreters, vocational rehabilitation practitioners, investigators, medical billing and lien collection agencies, workers' compensation insurance carriers and claims administrators, and self-insured employers; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Division of Workers' Compensation or the Workers' Compensation Appeals Board; or (3) engages in or derives any of its income from providing consulting services or educational seminars on workers' compensation issues. Workers' Compensation Judges shall also comply with the California Code of Judicial Ethics.
Category 6:
Designated employees assigned to Category 6 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the Division of Labor Standards Enforcement; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Division of Labor Standards Enforcement; or (3) engages in or derives any of its income from providing consulting services or educational seminars concerning labor or prevailing wage law.
Category 7:
Designated employees assigned to Category 7 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the Division of Workers' Compensation or the Office of Self Insurance Plans, including but not limited to physicians (as defined in Labor Code §3209.3), medical facilities, language interpreters, vocational rehabilitation practitioners, investigators, medical billing and lien collection agencies, workers' compensation insurance carriers and claims administrators, and self-insured employers; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Division of Workers' Compensation or the Office of Self Insurance Plans; or (3) engages in or derives any of its income from providing consulting services or educational seminars on workers' compensation issues.
Category 8:
Designated employees assigned to Category 8 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of either the Division of Occupational Safety and Health, the Occupational Safety and Heath Standards Board, or the Occupational Safety and Health Appeals Board; (2) is an organization or association composed primarily of persons or entities subject to the authority of either the Division of Occupational Safety and Health, the Occupational Safety and Heath Standards Board, or the Occupational Safety and Health Appeals Board; or (3) engages in or derives any of its income from providing consulting services or educational seminars concerning occupational safety and health, industrial hygiene, or safety engineering.
Category 9:
Designated employees assigned to Category 9 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the State Mediation & Conciliation Service (2) is an organization or association composed primarily of persons or entities subject to the authority of the State Mediation & Conciliation Service; (3) engages in or derives any of its income from providing mediation, conciliation and arbitration services; (4) engages in or derives any of its income from providing consulting services or educational seminars concerning mediation, conciliation and arbitration issues; or (5) is received from providing labor relations consulting, mediation, arbitration, or election services to any employer or employee organization located in the State of California.
Category 10:
Designated employees assigned to Category 10 shall report as follows:
Investments, business positions and income from any source that: (1) is subject to the authority of the Division of Apprenticeship Standards or the California Apprenticeship Council; (2) is an organization or association composed primarily of persons or entities subject to the authority of the Division of Apprenticeship Standards or the California Apprenticeship Council; or (3) engages in or derives any of its income from providing consulting services or educational seminars concerning matters subject to the authority of the Division of Apprenticeship Standards or the California Apprenticeship Council.

Appendix B

	Division/Unit	Classification	Category

	** All Divisions:
		Consultant*	1
	
	California Apprenticeship Council:
		Member	10
	
	Commission on Health and Safety and Workers' Compensation [CHSWC]:
		Executive Officer	2
		Member	1
		Research Program Specialist (all levels)	2
		Industrial Relations Counsel (all levels)	2
	
	Division of Administration:
		Accounting Administrator (all levels)	3
		Associate Governmental Program Analyst	2
		Chief, Division of Administration, CEA	1
	 -- Business Managements	Staff Services Manager (all levels)	2
	 -- Return to Work	Staff Services Manager (all levels)	3
		Staff Services Manager II	2
		Staff Services Manager III	2
	
	Division of Apprenticeship Standards:
		Area Administrator	10
		CEA (all levels)	10
		Chief	1
		Deputy Chief	10
		Senior Apprenticeship Consultant	10
		Staff Services Manager (all levels)	2
	
	Division of Labor Standards Enforcement:
		Assistant Chief	1
		Assistant Chief Counsel	1
		Chief Counsel -- CEA	1
		Chief (State Labor Commissioner)	1
		Deputy Chief Labor Commissioner, CEA	1
		Deputy Labor Commissioner (all levels)	6
		Industrial Relations Counsel (all levels)	6
		Labor Standards Investigator	6
		Legal Counsel	6
		Special Assistant to the Labor Commissioner	6
		Special Investigator (all levels)	6
		Staff Services Manager (all levels)	6
	
	Div. of Labor Statistics & Research:
		Chief	1
		Deputy Chief, CEA	1
		Research Manager (all levels)	1
		Research Program Specialist (all levels)	2
	
	Division of Occupational Safety & Health:
		Ares Manager Cal/OSHA Consultation	8
		CEA (all levels)	8
		CEA (all levels) Program Manager -- Consultation	8
		Chief	1
		Deputy Chief, Health	8
		Deputy Chief, Safety	8
		Deputy Director of Management Relations	8
		District Manager	8
		Industrial Relations Counsel (all levels)	8
		Nurse Consultant III	8
		Principal Safety Engineer	8
		Program Manager, Consultation, CEA	8
		Program Manager, Engineering Services, CEA	8
		Public Health Medical Officer III	8
		Regional Manager	8
		Research Manager	8
		Senior Industrial Hygienist	8
		Senior Safety Engineer	8
		Senior Special Investigator	8
		Special Investigator	8
		Staff Services Manager (all levels)	8
		Supervising Industrial Hygienist	8
		Supervising Special Investigator	8

	Division of Workers' Compensation:
		Administrative Director	1
		Area Supervisor Rehabilitation Unit	5
		Associate Government Program Analyst	3
		Associate Medical Director	5
		Chief, Rehabilitation Bureau	5
		CEA (all levels)	5
		Chief Counsel	5
		Chief, Legislation and Policy	5

		Chief, Programmatic Services, CEA (all levels)	5
		Court Administrator	5
		Deputy Administrative Director	5
		Executive Medical Director	5
		Health Education Consultant III	5
		Industrial Relations Counsel (all levels)	5
		Legal Counsel	5
		Presiding Workers' Compensation Judge	5
		Regional Manager, Claims Adjudication	5
		Research Manager (all levels)	5
		Research Program Specialist (all levels)	5
		Research Scientist	5
		Special Assistant to the Administrative Director	5
		Special Investigator (all levels)	5
		Senior Workers' Comp. Compliance Officer	5
		Staff Services Manager (all levels)	5
		Supervising Workers' Compensation Compliance Officer	5
		Supervising Workers' Compensation Consultant	5
		Workers' Compensation Compliance Manager	5
		Workers' Compensation Compliance Officer (all levels)	5
		Workers' Compensation Consultant--Collection Unit	5
		Workers' Compensation Rehabilitation Consultant	5
		Workers' Compensation Judge	5
		Workers' Compensation Manager	5
	
	Industrial Welfare Commission:
		Chairperson & Members	1
		Executive Officer	1
	
	Information Systems:
		Associate Governmental Program Analyst	4
		Data Processing Manager I, II and III	4
		Data Processing Manager IV	1
	
	Occupational Safety & Health Appeals Board:
		Chairperson	1
		Executive Officer	1
		Hearing Officer (all levels)	8
		Industrial Relations Counsel (all levels)	8
		Member	1
	
	Occupational Safety & Health Standards Board:
		Chairperson	1
		Executive Officer	1
		Industrial Relations Counsel (all levels)	8
		Member	1
		Principal Safety Engineer	8
		Senior Industrial Hygienist	8
		Staff Services Manager I	8
	
	Office of the Director:
		Associate Governmental Program Analyst	2
		Chief Deputy Director	1
		Deputy Director	1
		Director	1
		Director of Communications	1
		Special Assistant to the Director	1
	
	Officer of the Director -- Legal Unit:
		Assistant Chief Counsel	1
		Chief Counsel -- CEA	1
		Industrial Relations Counsel (all levels)	2
		Legal Counsel	2
		Special Investigator (all levels)	2
		Supervising Special Investigator	2
	
	State Mediation & Conciliation Service:
		Conciliator	9
		Presiding Conciliator	9
		Supervisor of Conciliation, CEA [Chief]	1
		
	Self Insurance Plans:
		Special Assistant to the Director	7
		Supervising Workers' Compensation Compliance Officer	7
		Workers' Compensation Compliance Manager	7
		Workers' Compensation Compliance Officer (all levels)	7

	Workers' Compensation Appeals Board:
		Associate Governmental Program Analyst	3
		Chairperson	1
		Deputy CEA (all levels)	5
		Industrial Relations Counsel (all levels)	5
		Member	1
___________________
*Consultants are included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitations: The director may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to comply fully with the disclosure requirements described in this section. Such determination shall include a description of the consultant's duties and based upon that description, a statement of the extent of disclosure requirements. The director's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Subchapter 6. Prevailing Wage Hearings
Article 1. General
§17201. Scope and Application of Rules.
Note     •     History

(a) These Rules govern proceedings for review of civil wage and penalty assessments and the withholding of contract payments under Articles 1 and 2 of Division 2, Part 7, Chapter 1 (commencing with section 1720) of the Labor Code, as well as any notice assessing penalties for noncompliance with payroll record obligations under Labor Code section 1776. The provisions of Labor Code section 1742 and these Rules apply to all such assessments and notices served on a contractor or subcontractor on or after July 1, 2001 and provide the exclusive method for an Affected Contractor or Subcontractor to obtain review of any such notice or assessment. These Rules also apply to transitional cases in which notices were served but no court action was filed under Labor Code sections 1731-1733 prior to July 1, 2001, in accordance with Section 17270 (Rule 70) below. 
(b) These Rules do not govern debarment proceedings under Labor Code section 1777.1, nor proceedings to review determinations with respect to the violation of apprenticeship obligations under Labor Code sections 1777.5 and 1777.7, nor any criminal prosecution. 
(c) These Rules do not preclude any remedies otherwise authorized by law to remedy violations of Division 2, Part 7, Chapter 1 of the Labor Code. 
(d) For easier reference, individual sections within these prevailing wage hearing regulations are referred to as “Rules” using only their last two digits. For example, this Section 17201 may be referred to as Rule 01. 
NOTE

Authority cited: sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742, 1771.5, 1771.6(b), 1773.5, 1776 and 1777.1-1777.7, Labor Code; and Stats. 2000, Chapter 954, §1. 
HISTORY

1. New subchapter 6 (articles 1-7, sections 17201-17270), article 1 (sections 17201-17212) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17202. Definitions.
Note     •     History

For the purpose of these Rules: 
(a) “Affected Contractor or Subcontractor” means a contractor or subcontractor (as defined under Labor Code section 1722.1) to whom the Labor Commissioner has issued a civil wage and penalty assessment pursuant to Labor Code section 1741, or to whom an Awarding Body has issued a notice of the withholding of contract payments pursuant to Labor Code section 1771.6, or to whom the Labor Commissioner or the Division of Apprentice Standards has issued a notice assessing penalties for noncompliance with payroll record obligations under Labor Code section 1776; 
(b) “Assessment” means a civil wage and penalty assessment issued by the Labor Commissioner or his or her designee pursuant to Labor Code section 1741, and it also includes a notice issued by either the Labor Commissioner or the Division of Apprenticeship Standards pursuant to Labor Code section 1776; 
(c) “Awarding Body” means an awarding body or body awarding the contract (as defined in Labor Code section 1722) that exercises enforcement authority under Labor Code section 1726 or 1771.5; 
(d) “Department” means the Department of Industrial Relations; 
(e) “Director” means the Director of the Department of Industrial Relations; 
(f) “Enforcing Agency” means the entity which has issued an Assessment or Notice of Withholding of Contract Payments and with which a Request for Review has been filed; i.e., it refers to the Labor Commissioner when review is sought from an Assessment, the Awarding Body when review is sought from a Notice of Withholding of Contract Payments, and the Division of Apprenticeship Standards when review is sought from a notice issued by that agency that assesses penalties under Labor Code section 1776; 
(g) “Hearing Officer” means any person appointed by the Director pursuant to Labor Code section 1742(b) to conduct hearings and other proceedings under Labor Code section 1742 and these Rules; 
(h) “Joint Labor-Management Committee” means a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code). 
(i) “Labor Commissioner” means the Chief of the Division of Labor Standards Enforcement and includes his or her designee who has been authorized to carry out the Labor Commissioner's functions under Chapter 1, Part 7 of Division 2 (commencing with section 1720) of the Labor Code; 
(j) “Party” means an Affected Contractor or Subcontractor who has requested review of either an Assessment or a Notice of Withholding of Contract Payments, the Enforcing Agency that issued the Assessment or the Notice of Withholding of Contract Payments from which review is sought, and any other Person who has intervened under subparts (a), (b), or (c) of Rule 08 [Section 17208]; 
(k) “Person” means an individual, partnership, limited liability company, corporation, governmental subdivision or unit of a governmental subdivision, or public or private organization or entity of any character; 
(l) “Representative” means a person authorized by a Party to represent that Party in a proceeding before a Hearing Officer or the Director, and includes the Labor Commissioner when the Labor Commissioner has intervened to represent the Awarding Body in a review proceeding pursuant to Labor Code section 1771.6(b). 
(m) “Rule” refers to a section within this subchapter 6. The Rule number corresponds to the last two digits of the full section number. (For example, Rule 08 is the same as section 17208.) 
(n) “Surety” has the meaning set forth in Civil Code section 2787 and refers to the entity that issues the public works bond provided for in Civil Code sections 3247 and 3248 or any other surety bond that guarantees the payment of wages for labor. 
(o) “Working Day” means any day that is not a Saturday, Sunday, or State holiday, as determined with reference to Code of Civil Procedure sections 12(a) and 12(b) and Government Code sections 6700 and 6701. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 2787, 3247 and 3248, Civil Code; Sections 12a and 12b, Code of Civil Procedure; Sections 6700, 6701, 11405.60 and 11405.70, Government Code; Sections 1720 et seq., 1722, 1722.1, 1726, 1741, 1742, 1742(b), 1771.5, 1771.6, 1771.6(b) and 1776, Labor Code; and 29 U.S.C. §175a. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17203. Computation of Time and Extensions of Time to Respond or Act.
Note     •     History

(a) In computing the time within which a right may be exercised or an act is to be performed, the first day shall be excluded and the last day shall be included. If the last day is not a Working Day, the time shall be extended to the next Working Day. 
(b) Unless otherwise indicated by proof of service, if the envelope was properly addressed, the mailing date shall be presumed to be: a postmark date imprinted on the envelope by the U.S. Postal Service if first-class postage was prepaid; or the date of delivery to a common carrier promising overnight delivery as shown on the carrier's receipt. 
(c) Where service of any notice, decision, pleading or other document is by first class mail, and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed is extended five days if the place of address is within the State of California, and 10 days if the place of address is outside the State of California but within the United States. However, this Rule shall not extend the time within which the Director may reconsider or modify a decision to correct an error (other than a clerical error) under Labor Code section 1742(b). 
(d) Where service of any notice, pleading, or other document is made by an authorized method other than first class mailing, extensions of time to respond or act shall be calculated in the same manner as provided under section 1013 of the Code of Civil Procedure, unless a different requirement has been specified by the appointed Hearing Officer or by another provision of these Rules. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1010-1013, Code of Civil Procedure; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17204. Appointment of Hearing Officers; Delegation of Appointment Authority to Chief Counsel.
Note     •     History

(a) Upon receipt of a Request for Review of an Assessment or of a Notice of Withholding of Contract Payments, the Director, acting through the Chief Counsel (see subpart (c) below), shall appoint an impartial Hearing Officer to conduct the review proceeding. 
(b) The appointed Hearing Officer shall be an attorney employed by the Office of the Director -- Legal Unit. However, if no attorney employed by the Office of the Director -- Legal Unit is available or qualified to serve in a particular matter, the appointed Hearing Officer may be any attorney or administrative law judge employed by the Department, other than an employee of the Division of Labor Standards Enforcement. 
(c) Any person appointed to serve as a Hearing Officer in any matter shall possess at least the minimum qualifications for service as an administrative law judge pursuant to Government Code section 11502(b) and shall be someone who is not precluded from serving under Government Code section 11425.30. 
(d) The Director's authority under Labor Code section 1742(b) to appoint an impartial Hearing Officer, is delegated in all cases to the Chief Counsel of the Office of the Director or to the Chief Counsel's designated Assistant or Acting Chief Counsel when the Chief Counsel is unavailable or disqualified from participating in a particular matter. This delegation includes all related authority under Rule 40 [Section 17240] below to appoint a different Hearing Officer to conduct all or any part of a review proceeding as well as the authority to consider and decide or to assign to another Hearing Officer for consideration and decision any motion to disqualify an appointed Hearing Officer. 
NOTE

Authority cited: Sections 7, 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 11425.30 and 11502(b), Government Code; and Sections 7, 55, 59 and 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17205. Authority of Hearing Officers.
Note     •     History

(a) In any proceeding assigned for hearing and decision under the provisions of Labor Code section 1742, the appointed Hearing Officer shall have full power, jurisdiction and authority to hold a hearing and ascertain facts for the information of the Director, to hold a prehearing conference, to issue a subpoena and subpoena duces tecum for the attendance of a Person and the production of testimony, books, documents, or other things, to compel the attendance of a Person residing anywhere in the state, to certify official acts, to regulate the course of a hearing, to grant a withdrawal, disposition or amendment, to order a continuance, to approve a stipulation voluntarily entered into by the Parties, to administer oaths and affirmations, to rule on objections, privileges, defenses, and the receipt of relevant and material evidence, to call and examine a Party or witness and introduce into the hearing record documentary or other evidence, to request a Party at any time to state the respective position or supporting theory concerning any fact or issue in the proceeding, to extend the submittal date of any proceeding, to exercise such other and additional authority as is delegated to Hearing Officers under these Rules or by an express written delegation by the Director, and to prepare a recommended decision, including a notice of findings, findings, and an order for approval by the Director. 
(b) There shall be no right of appeal to or review by the Director of any decision, order, act, or refusal to act by an appointed Hearing Officer other than through the Director's review of the record in issuing or reconsidering a written decision under Rules 60 [Section 17260] and 61 [Section 17261] below. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11512, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17206. Access to Hearing Records.
Note     •     History

(a) Hearing case records shall be available for inspection and copying by the public, to the same extent and subject to the same policies and procedures governing other records maintained by the Department. Hearing case records normally will be available for review in the office of the appointed Hearing Officer; provided however, that a case file may be temporarily unavailable when in use by the appointed Hearing Officer or by the Director or his or her designee. 
(b) Nothing in this Rule shall authorize the disclosure of any record or exhibit that is required to be kept confidential or is otherwise exempt from disclosure by law or that has been ordered to be kept confidential by an appointed Hearing Officer. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 6250 et seq. Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17207. Ex Parte Communications.
Note     •     History

(a) Except as provided in this Rule, once a Request for Review is filed, and while the proceeding is pending, there shall be no direct or indirect communication regarding any issue in the proceeding to the appointed Hearing Officer or the Director, from the Enforcing Agency or any other Party or other interested Person, without notice and the opportunity for all Parties to participate in the communication. 
(b) A communication made on the record in the hearing is permissible. 
(c) A communication concerning a matter of procedure or practice is presumed to be permissible, unless the topic of the communication appears to the Hearing Officer to be controversial in the context of the specific case. If so, the Hearing Officer shall so inform the other participant and may terminate the communication or continue it until after giving all Parties notice and an opportunity to participate. Any written communication concerning a matter of procedure or practice, and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, shall be added to the case file so that all Parties have a reasonable opportunity to review it. Unless otherwise provided by statute or these Rules, the appointed Hearing Officer may determine a matter of procedure or practice based upon a permissible ex-parte communication. The term “matters of procedure or practice” shall be liberally construed. 
(d) A communication from the Labor Commissioner to the Hearing Officer or the Director which is deemed permissible under Government Code section 11430.30 is permitted only if any such written communication and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, is added to the case file so that all Parties have a reasonable opportunity to review it. 
(e) If the Hearing Officer or the Director receives a communication in violation of this Rule, he or she shall comply with the requirements of Government Code section 11430.50. 
(f) To the extent not inconsistent with Labor Code section 1742, the provisions of Article 7 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11430.10) of the Government Code governing ex parte communications in administrative adjudication proceedings shall apply to review proceedings conducted under these Rules. 
(g) This Rule shall not be construed as prohibiting communications between the Director and the Labor Commissioner or between the Director and any other interested Person on issues or policies of general interest that coincide with issues involved in a pending review proceeding; provided that (1) the communication does not directly or indirectly seek to influence the outcome of any pending proceeding; (2) the communication does not directly or indirectly identify or otherwise refer to any pending proceeding; and (3) the communication does not occur at a time when the Director or the other party to the communication knows that a proceeding in which the other party to the communication is interested is under active consideration by the Director. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 11430.10-11430.80, Government Code, and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17208. Intervention and Participation by Other Interested Persons.
Note     •     History

(a) The Labor Commissioner may intervene as a matter of right in any review from a Notice of Withholding of Contract Payments, either as the Representative of the Awarding Body or as an interested third Party. 
(b) A bonding company and any Surety on a bond that secures the payment of wages covered by the Assessment or Notice of Withholding of Contract Payments shall be permitted to intervene as a matter of right in any pending review filed by the contractor or subcontractor from the Assessment or Withholding of Contract Payments in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 17231] below and within either 30 days after the bonding company or Surety was served with a copy of the Assessment or Notice of Withholding of Contract Payments or 30 days after the filing of the Request for Review, whichever is later. Thereafter, any request to intervene by such a bonding company or Surety shall be treated as a motion for permissive participation under subpart (d) of this Rule. A bonding company or Surety shall have the burden of proof with respect to any claim that it did not receive notice of the Assessment or Notice of Withholding of Contract Payments until after the filing of the Request for Review. 
(c) The employee(s), labor union, or Joint Labor-Management Committee who filed the formal complaint which led the Enforcing Agency to issue the Assessment or Notice of Withholding of Contract payments shall be permitted to intervene in a pending review filed by the contractor or subcontractor from the Assessment or Withholding of Contract Payments in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 17231] below and there is no good cause to deny the request. Thereafter, any request to intervene by such employee(s), labor union, or Joint Labor-Management Committee shall be treated as a motion for permissive participation as an interested Person under subpart (d) of this Rule. 
(d) Any other Person may move to participate as an interested Person in a proceeding in which that Person claims a substantial interest in the issues or underlying controversy and in which that Person's participation is likely to assist and not hinder or protract the hearing and determination of the case by the Hearing Officer and the Director. Interested Persons who are permitted to participate under this Rule shall not be regarded as Parties to the proceeding for any purpose, but may be provided notices and the opportunity to present arguments under such terms as the Hearing Officer deems appropriate. 
(e) Rights to intervene or participate as an interested party are only in accordance with this Rule. Intervention or permissive participation under this Rule shall not expand the scope of issues under review nor shall it extend any rights or interests which have been forfeited as a result of an Affected Contractor or Subcontractor's own failure to file a timely Request for Review. The Hearing Officer may impose conditions on an intervener's or other interested Person's participation in the proceeding, including but not limited to those conditions specified in Government Code §11440.50(c). 
(f) No Person shall be required to seek intervention in a review proceeding as a condition for pursuing any other remedy available to that Person for the enforcement of the prevailing wage requirements of Division 2, Part 7, Chapter 1 (starting with section 1720) of the Labor Code. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11440.50(c), Government Code; and Sections 1720 et seq., 1741, 1742 and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17209. Representation at Hearing.
Note     •     History

(a) A Party may appear in person or through an authorized Representative, who need not be an attorney at law; however, a Party shall use the form Authorization for Representation by Non-Attorney [8 CCR 17209(b) (New 1/15/02)] to authorize representation by any non-attorney who is not an owner, officer, or managing agent of that Party. 
(b) Upon formal notification that a Party is being represented by a particular individual or firm, service of subsequent notices in the matter shall be made on the Representative, either in addition to or instead of the Party, unless and until such authorization is terminated or withdrawn by further written notice. Service upon an authorized Representative shall be effective for all purposes and shall control the determination of any notice period or the running of any time limit for the performance of any acts, regardless of whether or when such notice may also have been served directly on the represented Party. 
(c) An authorized Representative shall be deemed to control all matters respecting the interests of the represented Party in the proceedings. 
(d) Parties and their Representatives shall have a continuing duty to keep the appointed Hearing Officer and all other Parties to the proceeding informed of their current address and telephone number. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section and new form 17209(b) filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 

View Graphic
§17210. Proper Method of Service.
Note     •     History

(a) Unless a particular method of service is specifically prescribed by statute or these Rules, service may be made by: (1) personal delivery; (2) priority or first class mailing postage prepaid through the U. S. Postal Service; (3) any other means authorized under Code of Civil Procedure section 1013; or (4) if authorized by the Hearing Officer pursuant to Rule 11 [Section 17211] below, by facsimile or other electronic means. 
(b) Service is complete at the time of personal delivery or mailing, or at the time of transmission as determined under Rule 11 [Section 17211] below. 
(c) Proof of service shall be filed with the document and may be made by: (1) affidavit or declaration of service; (2) written statement endorsed upon the document served and signed by the party making the statement; or (3) copy of letter of transmittal. 
(d) Service on a Party who has appeared through an attorney or other Representative shall be made upon such attorney or Representative. 
(e) In each proceeding, the Hearing Officer shall maintain an official address record which shall contain the names and addresses of all Parties and their Representatives, agents, or attorneys of record. Any change or substitution in such information must be communicated promptly in writing to the Hearing Officer. The official address record may also include the names and addresses of interested Persons who have been permitted to participate under Rule 08(d) [Section 17208]. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1013, Code of Civil Procedure; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17211. Filing and Service of Documents by Facsimile or Other Electronic Means.
Note     •     History

(a) In individual cases the Hearing Officer may authorize the filing and service of documents by facsimile or by other electronic means, subject to reasonable restrictions on the time of transmission and the page length of any document or group of documents that may be transmitted by facsimile or other electronic means, and subject to any further requirements on the use of cover sheets or the subsequent filing and service of originals or hard copies of documents as the Hearing Officer deems appropriate. Filing and service by facsimile or other electronic means shall not be authorized under terms that substantially disadvantage any Party appearing or participating in the proceeding as a matter of right. A document transmitted by facsimile or other electronic means shall not be considered received until the next Working Day following transmission unless it is transmitted on a Working Day and the entire transmission is completed by no later than 4:00 p.m. Pacific Time. 
(b) Filings and service by facsimile or other electronic means shall not authorized or accepted as a substitute for another method of service that is required by statute or these Rules, unless the Party served has expressly waived its right to be served in the required manner. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17212. Administrative Adjudication Bill of Rights.
Note     •     History

(a) The provisions of the Administrative Adjudication Bill of Rights found in Article 6 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11425.10) of the Government Code shall apply to these review proceedings to the extent not inconsistent with a state or federal statute, a federal regulation, or a court decision which applies specifically to the Department. The enumeration of certain rights in these Rules may expand but shall not be construed as limiting the same or similar provision of the Administrative Adjudication Bill of Rights; nor shall the enumeration of certain rights in these Rules be construed as negating other statutory rights not stated. 
(b) Ex parte communications shall be permitted between the appointed Hearing Officer and the Director in accordance with Government Code section 11430.80(b). 
(c) The presentation or submission of any written communication by a Party or other interested Person during the course of a review proceeding shall be governed by the requirements of Government Code §11440.60(b) and (c). 
(d) Unless otherwise indicated by express reference within the body of one of these Rules, the provisions of Chapter 5 of Title 2, Division 3, Part 1 (commencing with section 11500) of the Government Code shall not apply to these review proceedings. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 11415.20, 11425.10 et seq. and 11430.80(b), Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Article 2. Assessment or Notice and Request for Review
§17220. Service and Contents of Assessment or Notice of Withholding of Contract Payments.
Note     •     History

(a) An Assessment, a Notice of Withholding of Contract Payments, or a notice assessing penalties under Labor Code section 1776 shall be served on the contractor and subcontractor, if applicable, by first class and certified mail pursuant to the requirements of Code of Civil Procedure section 1013. A copy of the notice shall also be served by certified mail on any bonding company issuing a bond that secures the payment of the wages covered by the Assessment or Notice and to any Surety on a bond, if the identities of such companies are known or reasonably ascertainable. The identity of any Surety issuing a bond for the benefit of an Awarding Body as designated obligee, shall be deemed “known or reasonably ascertainable,” and the Surety shall be deemed to have received the notice required under this subpart if sent to the address appearing on the face of the bond. 
(b) An Assessment or Notice of Withholding of Contract Payments shall be in writing and shall include the following information: 
(1) a description of the nature of the violation and basis for the Assessment or Notice; and 
(2) the amount of wages, penalties, and forfeitures due, including a specification of amounts that have been or will be withheld from available contract payments, as well as all additional amounts that the Enforcing Agency has determined are due, including the amount of any liquidated damages that potentially may be awarded under Labor Code section 1742.1. 
(c) An Assessment or Notice of Withholding of Contract Payments shall also include the following information: 
(1) the name and address of the office to whom a Request for Review may be sent; 
(2) information on the procedures for obtaining review of the Assessment or Withholding of Contract Payments; 
(3) notice of the Opportunity to Request a Settlement Meeting under Rule 21 [Section 17221] below; and 
(4) the following statement which shall appear in bold or another type face that makes it stand out from the other text: 
Failure by a contractor or subcontractor to submit a timely Request for Review will result in a final order which shall be binding on the contractor and subcontractor, and which shall also be binding, with respect to the amount due, on a bonding company issuing a bond that secures the payment of wages and a surety on a bond. Labor Code section 1743. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1013, Code of Civil Procedure; and Sections 1741, 1742, 1743, 1771.6 and 1776, Labor Code. 
HISTORY

1. New article 2 (sections 17220-17229) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17221. Opportunity for Early Settlement.
Note     •     History

(a) The Affected Contractor or Subcontractor may, within 30 days following the service of an Assessment or Notice of Withholding of Contract Payments, request a meeting with the Enforcing Agency for the purpose of attempting to settle the dispute regarding the Assessment or Notice. 
(b) Upon receipt of a timely written request for a settlement meeting, the Enforcing Agency shall afford the Affected Contractor or Subcontractor a reasonable opportunity to meet for such purpose. The settlement meeting may be held in person or by telephone and shall take place before expiration of the 60-day limit for filing a Request for Review under Rule 22 [Section 17222]. 
(c) Nothing herein shall preclude the Parties from meeting or attempting to settle a dispute after expiration of the time for making a request or after the filing of a Request for Review. 
(d) Neither the making or pendency of a request for a settlement meeting, nor the fact that the Parties have met or have failed or refused to meet as required by this Rule shall serve to extend the time for filing a Request for Review under Rule 22 [Section 17222] below. 
(e) No evidence of anything said or any admission made for the purpose of, in the course of, or pursuant to, such a settlement meeting shall be admissible or subject to discovery in any administrative or civil proceeding. No writing prepared for the purpose of, in the course of, or pursuant to, such a settlement meeting, other than a final settlement agreement, shall be admissible or subject to discovery in any administrative or civil proceeding. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742, 1742.1 and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17222. Filing of Request for Review.
Note     •     History

(a) Any Request for Review of an Assessment or of a Notice of Withholding of Contract Wages shall be transmitted in writing to the Enforcing Agency within 60 days after service of the Assessment or Notice. Failure to request review within 60 days shall result in the Assessment or the Withholding of Contract Wages becoming final and not subject to further review under these Rules. 
(b) A Request for Review shall be transmitted to the office of the Enforcing Agency designated on the Assessment or Notice of Withholding of Contract Payments from which review is sought. 
(c) A Request for Review shall be deemed filed on the date of mailing, as determined by the U.S. Postal Service postmark date on the envelope or the overnight carrier's receipt in accordance with Rule 03(b) [Section 17203(b)] above, or on the date of receipt by the designated office of the Enforcing Agency, whichever is earlier. 
(d) An additional courtesy copy of the Request for Review may be served on the Department by mailing to the address specified in Rule 23 [Section 17223] below at any time on or after the filing of the Request for Review with the Enforcing Agency. The service of a courtesy copy on the Department shall not be effective for invoking the Director's review authority under Labor Code section 1742; however, it may determine the time within which the hearing shall be commenced under Rule 41(a) [Section 17241(a)] below. 
(e) A Request for Review either shall clearly identify the Assessment or Notice from which review is sought, including the date of the Assessment or Notice, or it shall include a copy of the Assessment or Notice as an attachment. A Request for Review shall also set forth the basis upon which the Assessment or Notice is being contested. A Request for Review shall be liberally construed in favor of its sufficiency; however, the Hearing Officer may require the Party seeking review to provide a further specification of the issues or claims being contested and a specification of the basis for contesting those matters. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742 and 1771.6(a), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17223. Transmittal of Request for Review to Department.
Note     •     History

Within ten (10) days followings its receipt of a Request for Review, the Enforcing Agency shall transmit to the Office of the Director - Legal Unit, the Request for Review and copies of the Assessment or Notice of Withholding of Contract Wages, any Audit Summary that accompanied the Assessment or Notice, and a Proof of Service or other document showing the name and address of any bonding company or Surety entitled to notice under Rule 20(a) [Section 17220(a)] above. The Enforcing Agency shall transmit these items to the following address. 

DEPARTMENT OF INDUSTRIAL RELATIONS 
OFFICE OF THE DIRECTOR - LEGAL UNIT 
ATTENTION: LEAD HEARING OFFICER 
P.O. BOX 420603 
SAN FRANCISCO, CA 94142-0603 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742(a) and 1771.6(a), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17224. Disclosure of Evidence.
Note     •     History

(a) Within ten (10) days following its receipt of a Request for Review, the Enforcing Agency shall also notify the Affected Contractor or Subcontractor of its opportunity and the procedures for reviewing evidence to be utilized by the Enforcing Agency at the hearing on the Request for Review. 
(b) An Enforcing Agency shall be deemed to have provided the opportunity to review evidence required by this Rule if it (1) gives the Affected Contractor or Subcontractor the option, at the Affected Contractor or Subcontractor's own expense, to either (A) obtain copies of all such evidence through a commercial copying service or (B) inspect and copy such evidence at the office of the Enforcing Agency during normal business hours; or if (2) the Enforcing Agency at its own expense forwards copies of all such evidence to the Affected Contractor or Subcontractor. 
(c) The evidence required to be provided under this Rule shall include the identity of witnesses whose testimony the Enforcing Agency intends to present, either in person at the hearing or by declaration or affidavit. This provision shall not be construed as requiring the Enforcing Agency to prepare or provide any separate listing of witnesses whose identities are disclosed within the written materials made available under subpart (a). 
(d) The Enforcing Agency shall make evidence available for review as specified in subparts (a) through (c) within 20 days of its receipt of the Request for Review; provided that, this deadline may be extended by written request or agreement of the Affected Contractor or Subcontractor. The Enforcing Agency's failure to make evidence available for review as required by Labor Code section 1742(b) and this Rule, shall preclude the Enforcing Agency from introducing such evidence in proceedings before the Hearing Officer or the Director. 
(e) This Rule shall not preclude the Enforcing Agency from relying upon or presenting any evidence first obtained after the initial disclosure of evidence under subparts (a) through (d), provided that, such evidence is promptly disclosed to the Affected Contractor or Subcontractor. This Rule also shall not preclude the Enforcing Agency from presenting previously undisclosed evidence to rebut new or collateral claims raised by another Party in the proceeding. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742(b) and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17225. Withdrawal of Request for Review; Reinstatement.
Note     •     History

(a) An Affected Contractor or Subcontractor may withdraw a Request for Review by written notification at any time before a decision is issued or by oral motion on the hearing record. The Hearing Officer may grant such withdrawal by letter, order or decision served on the Parties. 
(b) For good cause, a Request for Review so dismissed may be reinstated by the Hearing Officer or the Director upon a showing that the withdrawal resulted from misinformation given by the Enforcing Agency or otherwise from fraud or coercion. A motion for reinstatement must be filed within 60 days of service of the letter, order or decision granting withdrawal of the Request for Review or, in the event of fraud which could not have been suspected or discovered with the exercise of reasonable diligence, within 60 days of discovery of such fraud. The motion shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant. 
(c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Director may reinstate any Request for Review where the underlying Assessment or Withholding of Contract Payments has become final and entered as a court judgment. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742 and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17226. Dismissal or Amendment of Assessment or of Notice of Withholding of Contract Payments.
Note     •     History

(a) Upon motion to the appointed Hearing Officer, an Enforcing Agency may dismiss or amend an Assessment or Notice of Withholding of Contract Payments as follows: 
(1) An Assessment or Notice of Withholding may be dismissed or amended to eliminate or reduce all or part of any claim for wages, damages, or penalties that has been satisfied or that is not warranted under the facts and circumstances of the case or to conform to an order of the Hearing Officer or the Director. 
(2) An Assessment or Notice of Withholding may be amended to eliminate a claim for penalties as to the affected contractor upon a determination that the affected contractor is not liable for same under either Labor Code section 1775(b) [subcontractor's failure to pay prevailing rate] or Labor Code section 1776 (g) [failure to comply with request for certified payroll records]. 
(3) For good cause, an Assessment or Notice of Withholding of Contract Payments may be amended to revise or increase any claim for wages, damages, or penalties based upon a recomputation or the discovery of new evidence subsequent to the issuance of the original Assessment or Notice. 
(b) The Hearing Officer shall grant any motion to dismiss or amend an Assessment or Notice of Withholding downward under subparts (a)(1) or (a)(2) absent a showing that such dismissal or amendment will result in the forfeiture of substantial substantive rights of another Party to the proceeding. The Hearing Officer may grant a motion to amend an Assessment or Notice of Withholding upward under subpart (a)(3) under such terms as are just, including where appropriate the extension of an additional opportunity for early settlement under Rule 21 [Section 17221]. Unless the Hearing Officer determines otherwise, an amended Assessment or Notice of Withholding shall be deemed fully controverted without need for filing an additional or amended Request for Review. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742, 1771.6, 1775(b) and 1776(g), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17227. Early Disposition of Untimely Assessment, Withholding, or Request for Review.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may issue an Order to Show Cause why an Assessment, a Withholding of Contract Payments, or a Request for Review should not be dismissed as untimely under the relevant statute. 
(b) An Order to Show Cause issued under subpart (a) of this Rule shall be served on all Parties who have appeared or been served with any prior notice in the matter and shall provide the Parties with at least 10 days to respond in writing to the Order to Show Cause and an additional 5 days following the service of such responses to reply to any submission by any other Party. Evidence submitted in support or opposition to an Order to Show Cause shall be by affidavit or declaration under penalty of perjury. There shall be no oral hearing on an Order to Show Cause issued under this Rule unless requested by a Party or by the Hearing Officer. 
(c) After the time for submitting responses and replies to the Order to Show Cause has passed or after the oral hearing, if any, the Hearing Officer may do one of the following: (1) recommend that the Director issue a decision setting aside the Assessment or Withholding of Contract Payments or dismissing the Request for Review as untimely under the statute; (2) find the Assessment, Withholding, or Request for Review timely and direct that the matter proceed to hearing on the merits; or (3) reserve the timeliness issue for further consideration and determination in connection with the hearing on the merits. 
(d) A decision by the Director which sets asides an Assessment or Withholding of Contract Payments or which dismisses a Request for Review as untimely shall be subject to reconsideration and to judicial review in the same manner as any other Final Order or Decision of the Director. A determination by the Hearing Officer that the Assessment, Withholding, or Request for Review was timely or that the timeliness issue should be reserved for further consideration and determination in connection with the hearing on the merits shall not be subject to appeal or review except as part of any reconsideration or appeal from the Decision of the Director made after the hearing on the merits. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1741, 1742, 1771.5 and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17228. Finality of Assessment or of Withholding of Contract Payments When No Timely Request for Review is Filed; Authority of Awarding Body to Disburse Withheld Funds.
Note     •     History

(a) Upon the failure of an Affected Contractor or Subcontractor to file a timely Request for Review under Labor Code section 1742(a) and Rule 22(a) [Section 17222(a)] above, the Assessment or Notice of Withholding of Contract Payments shall become a “final order” as to the Affected Contractor or Subcontractor that the Labor Commissioner may certify and file with the superior court in accordance with Labor Code section 1742(d). 
(b) Where an Assessment or Notice of Withholding of Contract Payments has become final as to at least one but not as to every Affected Contractor or Subcontractor, the Awarding Body shall continue to withhold and retain the amounts required to satisfy any wages and penalties at stake in a review proceeding initiated by any other Affected Contractor or Subcontractor until there is a final order in that proceeding that is no longer subject to judicial review. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1727, 1742 and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17229. Finality of Notice of Withholding of Contract Payments; Authority of Awarding Body to Recover Additional Funds.
Note     •     History

Where a Notice of Withholding of Contract Payments seeks to recover wages, penalties, or damages in excess of the amounts withheld from available contract payments (see Rule 20(b)(2) [Section 17220(b)(2)] above), an Awarding Body may recover any excess amounts that become or remain due when the Notice of Withholding of Contract Payments has become final under Labor Code section 1771.6. To recover the excess amounts, the Awarding Body shall transmit to the Labor Commissioner the Notice together with any decision of the Director or court that has become final and not subject to further review. The Labor Commissioner in turn shall certify and file the final order with the superior court in accordance with Labor Code section 1742(d). 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742(d) and 1771.6, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Article 3. Prehearing Procedures
§17230. Scheduling of Hearing; Continuances and Tolling.
Note     •     History

(a) The appointed Hearing Officer shall establish the place and time of the hearing on the merits, giving due consideration to the needs of all Parties and the statutory time limits for hearing and deciding the matter. Parties are encouraged to communicate scheduling needs to the Hearing Officer and all other Parties at the earliest opportunity. It shall not be a violation of Rule 07 [Section 17207]'s prohibition on ex parte communications for the Hearing Officer or his or her designee to communicate with Parties individually for purposes of clearing dates and times and proposing locations for the hearing. The Hearing Officer may also conduct a prehearing conference by telephone or any other expeditious means for purposes of establishing the time and place of the hearing. 
(b) Once a hearing date is set, a request for a continuance that is not joined in by all other Parties or that is for more than 30 days will not be granted absent a showing of extraordinary circumstances, giving due regard to the potential prejudice to other Parties in the case and other Persons affected by the matter under review. Absent an enforceable waiver (see subpart (d) below), no continuance will be granted nor any proceeding otherwise delayed if doing so is likely to prevent the Hearing Officer from commencing the hearing on the matter within the statutory time limit. 
(c) A request for a continuance that is for 30 days or less and is joined by all Parties shall be granted upon a showing of good cause. Notwithstanding subpart (b) above, a unilateral request for a continuance made by the Party who filed the Request for Review shall be granted upon a showing of good cause if the new date for commencing the hearing is no more than 150 days after the date of service of the Assessment or Notice of Withholding of Contract Payments. 
(d) If a Party makes or joins in any request that would delay or otherwise extend the time for hearing or deciding a review proceeding beyond any prescribed time limit, such request shall also be deemed a waiver by that Party of that time limit. 
(e) The time limits for hearing and deciding a review proceeding shall also be deemed tolled (1) when proceedings are suspended to seek judicial enforcement of a subpoena or other order to compel the attendance, testimony, or production of evidence by a necessary witness; (2) when the proceedings are stayed or enjoined by any court order; (3) between the time that a proceeding is dismissed and then ordered reinstated under Rule 25 [Section 17225] above; (4) upon the order of a court reinstating or requiring rehearing of the merits of a proceeding; or (5) during the pendency of any other cause beyond the Director's direct control (including but not limited to natural disasters, temporary unavailability of a suitable hearing facility, or absence of budget authority) that prevents the Director or any appointed Hearing Officer from carrying out his or her responsibilities under these Rules. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New article 3 (sections 17230-17237) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17231. Prehearing Conference.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may conduct a prehearing conference for any purpose that may expedite or assist the preparation of the matter for hearing or the disposition of the Request for Review. The prehearing conference may be conducted by telephone or other means that is convenient to the Hearing Officer and the Parties. 
(b) The Hearing Officer shall provide reasonable advance notice of any prehearing conference conducted pursuant to this Rule. The Notice shall advise the Parties of the matters which the Hearing Officer intends to cover in the prehearing conference, but the failure of the Notice to enumerate some matter shall not preclude its discussion or consideration at the conference. 
(c) With or without a prehearing conference, the Hearing Officer may issue such procedural Orders as are appropriate for the submission of evidence or briefs and conduct of the hearing, consistent with the substantial rights of the affected Parties. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11511.5, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17232. Consolidation and Severance.
Note     •     History

(a) The Hearing Officer may consolidate for hearing and decision any number of proceedings where the facts and circumstances are similar and consolidation will result in conservation of time and expense. Where the Hearing Officer proposes to consolidate proceedings on his or her own motion, the Parties shall be given reasonable notice and an opportunity to object before consolidation is ordered. 
(b) The Hearing Officer may sever consolidated proceedings for good cause. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11507.3, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17233. Prehearing Motions; Cut Off Date.
Note     •     History

(a) Any motion made in advance of the hearing on the merits, any opposition thereto, and any further reply shall be in writing and directed to the appointed Hearing Officer. No particular format shall be required; however, the following information shall appear prominently on the first page: (1) the case name (i.e., names of the Parties); (2) any assigned case number; (3) the name of the Hearing Officer to whom the paper is being submitted; (4) the identity of the Party submitting the paper; (5) the nature of the relief sought; and (6) the scheduled date, if any, for the hearing on the merits of the Request for Review. The motion shall also include a Proof of Service, as defined in Rule 10 [Section 17210] above, showing that copies have been served on all other Parties to the proceeding. 
(b) Prehearing motions shall be served and filed no later than 20 days prior to the hearing on the merits of the Request for Review. Any opposition shall be served and filed no later than 10 days after service of the motion or at least 7 days prior to the hearing on the merits, whichever is earlier. The Hearing Officer may in his or her discretion decide the motion in writing in advance of the hearing on the merits or reserve the matter for further consideration and determination at the hearing on the merits. 
(c) There shall be no right to a separate oral hearing on any prehearing motion, except in those instances in which an oral hearing has been specially requested by a Party or the Hearing Officer and in which the enforcement or forfeiture of a fundamental right is at stake. When the Hearing Officer determines that such an oral hearing is necessary or appropriate, it may be conducted by telephone or other manner that is convenient to the Parties. 
(d) With the exception of timeliness challenges under Rule 27 [Section 17227], prehearing motions which seek to dispose of a Request for Review or any related claim or defense are disfavored and ordinarily will not be considered prior to the hearing on the merits. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17234. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 20 or more days prior to commencement of a hearing, a Party may serve upon all other Parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subpart (b). Unless another Party, within 10 days after service of such notice, delivers to the proponent a request to cross-examine the affiant or declarant, the right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified in person. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefor is made as herein provided, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence. 
(b) The notice referred to in subpart (a) shall be substantially in the following form with the appropriate information inserted in the places enclosed by brackets: 
“The accompanying affidavit or declaration of [name of affiant or declarant] will be introduced as evidence at the hearing in [title and other information identifying the proceeding]. [Name of affiant or declarant] will not be called to testify orally, and you will not be entitled to question the affiant or declarant unless you notify [name of the proponent, Representative, agent or attorney] at [address] that you wish to cross-examine the affiant or declarant. Your request must be mailed or delivered to [name of proponent, Representative, agent or attorney] on or before [specify date at least 10 days after anticipated date of service of this notice on the other Parties].” 
(c) If a timely request is made to cross-examine an affiant or declarant under this Rule, the burden of producing that witness at the hearing shall be upon the proponent of the witness. If the proponent fails to produce the witness, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence under Rule 44 [Section 17244]. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Rule 1613, California Rules of Court; Section 11514, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17235. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for the production of documents at any reasonable time and place or at a hearing. 
(b) Subpoenas and subpoenas duces tecum shall be issued by the Hearing Officer at the request of a Party, or by the attorney of record for a Party, in accordance with sections 1985 to 1985.6, inclusive, of the Code of Civil Procedure. The burden of serving a subpoena that has been issued by the Hearing Officer shall be upon the Party who requested the subpoena. 
(c) Service of subpoenas and subpoenas duces tecum, objections thereto, and mileage and witness fees shall be governed by the provisions of Government Code sections 11450.20 through 11450.40. 
(d) Subpoenas and subpoenas duces tecum shall be enforceable through the Contempt and Monetary Sanctions provision set forth in Rule 47 [Section 17247] below. A Party aggrieved by the failure or refusal of any witness to obey a subpoena or subpoena duces tecum shall have the burden of showing to the satisfaction of the Hearing Officer that the subpoena or subpoena duces tecum was properly issued and served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1985-1988, Code of Civil Procedure; Section 1563, Evidence Code; Sections 11450.20-11455.30, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17236. Written Notice to Party in Lieu of Subpoena.
Note     •     History

(a) In the case of the production of a Party of record in the proceeding or of a Person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena upon any such witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the attorney of the Party or Person. For purposes of this Rule, a Party of record in the proceeding or Person for whose benefit a proceeding is prosecuted or defended includes an officer, director, or managing agent of any such Party or Person. 
(b) Service of written notice to attend under this Rule shall be made in the same manner and subject to the same conditions provided in section 1987 of the Code of Civil Procedure for service of written notice to attend in a civil action or proceeding. 
(c) The Hearing Officer shall have authority under Rule 47 [Section 17247] below to sanction a Party who fails or refuses to comply with a written notice to attend that meets the requirements of this Rule and has been timely served in accordance with section 1987 of the Code of Civil Procedure. However, the Hearing Officer may not initiate contempt proceedings against the witness for failing to appear based solely on non-compliance with a written notice to attend served on the Party's attorney. A Party seeking sanctions for another Party's failure or refusal to comply with a written notice to attend shall have the burden of showing to the satisfaction of the Hearing Officer that the written notice to attend was properly issued and timely served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1987, Code of Civil Procedure; Sections 11450.50-11455.30, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17237. Depositions and Other Discovery.
Note     •     History

(a) There shall be no right to take oral depositions or obtain any other form of discovery that is not expressly authorized under these Rules. 
(b) Oral depositions may be conducted only by stipulation of all Parties to the proceedings or by order of the appointed Hearing Officer upon a showing of substantial good cause. Oral depositions will be permitted only for purposes of obtaining the testimony of witnesses who are likely to be unavailable to testify at the hearing. 
(c) Nothing in this Rule shall preclude the use of deposition testimony or other evidence obtained in separate proceedings, if such evidence is otherwise relevant and admissible. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1987, Code of Civil Procedure; Sections 11450.50-11455.30, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Article 4. Hearings
§17240. Notice of Appointment of Hearing Officer; Objections.
Note     •     History

(a) Notice of the Appointment of a Hearing Officer under Rule 04 [Section 17204] above shall be provided to the Parties as soon as practicable and no later than when the matter is noticed for a prehearing conference or hearing. 
(b) The Director may appoint a different Hearing Officer to conduct and hear the review or to conduct and dispose of any preliminary or procedural matter in a given case. 
(c) A Party wishing to object to the appointment of a particular Hearing Officer, including for any one or more of the grounds specified in sections 11425.30 and 11425.40 of the Government Code or section 1742(b) of the Labor Code, shall within 10 days after receiving notice of the appointment and no later than the start of any hearing on the merits, whichever is earlier, file a motion to disqualify the appointed Hearing Officer together with a supporting affidavit or declaration. The motion shall be filed with the Chief Counsel of the Office of the Director at the address indicated in Rule 23 [Section 17223] above. Notwithstanding the foregoing time limits, if a Party subsequently discovers facts constituting grounds for the disqualification of the appointed Hearing Officer, including but not limited to that the Hearing Officer has received a prohibited ex parte communication in the pending case, the motion shall be filed as soon as practicable after the facts constituting grounds for disqualification are discovered. 
(d) Upon receipt of a motion to disqualify the appointed Hearing Officer, the Director may: (1) consider and decide the motion or appoint another Hearing Officer to consider and decide the motion, in which case the challenged Hearing Officer shall first be given an opportunity to respond to the motion, but no proceedings shall be conducted by the challenged Hearing Officer until the motion is determined; or (2) appoint another Hearing Officer to hear the Request for Review, in which case the motion shall be deemed moot. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 170.3(c)(1), Code of Civil Procedure; Sections 11425.30 and 11425.40, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New article 4 (sections 17240-17249) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17241. Time and Place of Hearing.
Note     •     History

(a) A hearing on the merits of a timely Request for Review shall be commenced within 90 days after the date it is received by the Office of the Director. The hearing shall be conducted at a suitable location within the county where the appointed Hearing Officer maintains his or her regular office, unless the hearing is moved to a different county in accordance with subpart (b) below. 
(b) Upon the agreement of the Parties or upon a showing of good cause by either the Party who filed the Request for Review or the Enforcing Agency, the hearing shall be conducted at a suitable location within either (1) the county where a majority of the subject public works employment was performed, or (2) any other county that is proximate to or convenient for the Parties and necessary witnesses. 
(c) A suitable location under this section means one that is open and accessible to members of the public and which includes appropriate facilities for the recording of testimony. Any facility that is regularly used by any state agency or by the Awarding Body for public hearings and that will reasonably accommodate the anticipated number of Parties and witnesses involved in the proceeding, is presumed suitable in the absence of a contrary showing. Parties seeking to change the location of a hearing under subpart (b) shall make reasonable efforts to identify, agree upon, and arrange for the availability of a suitable location within a county specified in subpart (b)(1) or (b)(2). 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11425.20, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17242. Open Hearing; Confidential Evidence and Proceedings; and Exclusion of Witnesses.
Note     •     History

(a) Subject to the qualifications set forth below, the hearing shall be open to the public. If all or part of the hearing is conducted by telephone, television, or other electronic means, the Hearing Officer shall conduct the hearing from a location where members of the public may be physically present, and members of the public shall also have a reasonable right of access to the hearing record and any transcript of the proceedings. 
(b) Notwithstanding the provisions of subpart (a), the Hearing Officer may order closure of a hearing or make other protective orders to the extent necessary to: (1) preserve the confidentiality of information that is privileged, confidential, or otherwise protected by law; (2) ensure a fair hearing in the circumstances of the particular case; or (3) protect a minor witness or a witness with a developmental disability from intimidation or other harm, taking into account the rights of all persons. 
(c) Upon motion of any Party or upon his or her own motion, the Hearing Officer may exclude from the hearing room any witnesses not at the time under examination. However, a Party to the proceeding and the Party's Representative shall not be excluded. 
(d) This section does not apply to any prehearing or settlement conference. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 777, Evidence Code, Section 11425.20, Government Code, and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17243. Conduct of Hearing.
Note     •     History

(a) Testimony shall be taken only on oath or affirmation under penalty of perjury. 
(b) Every Party shall have the right to call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which Party first called the witness to testify; and to rebut any opposing evidence. A Party may be called by an opposing Party and examined as if under cross-examination, whether or not the Party called has testified or intends to testify on his or her own behalf. 
(c) The Hearing Officer may call and examine any Party or witness and may on his or her own motion introduce exhibits. 
(d) The Hearing Officer shall control the taking of evidence and other course of proceedings in a hearing and shall exercise that control in a manner best suited to ascertain the facts and safeguard the rights of the Parties. Prior to taking evidence, the Hearing Officer shall define the issues and explain the order in which evidence will be presented; provided that, for good cause the Hearing Officer later may vary the order of presentation as circumstances warrant. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11513, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17244. Evidence Rules; Hearsay.
Note     •     History

(a) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. 
(b) The rules of privilege shall be recognized to the same extent and applied in the same manner as in the courts of this state. 
(c) The Hearing Officer may exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time. 
(d) Hearsay evidence is admissible but shall not be sufficient in itself to support a finding unless it either would be admissible over objection in a civil action or no Party raises an objection to such use. Unless previously waived, an objection or argument that evidence is insufficient in itself to support a finding because of its hearsay character shall be timely if presented at any time before submission of the case for decision. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 11513, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17245. Official Notice.
Note     •     History

(a) A Hearing Officer may take official notice of (1) the Director's General Prevailing Wage Determinations, the Director's Precedential Coverage Decisions, and wage data, studies, and reports issued by the Division of Labor Statistics and Research; (2) any other generally accepted technical fact within the fields of labor and employment that are regulated by the Director under Divisions 1, 2, and 3 of the Labor Code; and (3) any fact which either must or may be judicially noticed by the courts of this state under Evidence Code sections 451 and 452. 
(b) The Parties participating in a hearing shall be informed of those matters as to which official notice is proposed to be taken and given a reasonable opportunity to show why and the extent to which official notice should or should not be taken. 
(c) The Hearing Officer or the Director shall state in a decision, order, or on the record the matters as to which official notice has been taken. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 451, 452 and 455, Evidence Code; Section 11515, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17246. Failure to Appear; Relief from Default.
Note     •     History

(a) Upon the failure of any Party to appear at a duly noticed hearing, the Hearing Officer may proceed in that Party's absence and may recommend whatever decision is warranted by the available evidence, including any lawful inferences that can be drawn from an absence of proof by the non-appearing Party. 
(b) For good cause and under such terms as are just, the appointed Hearing Officer or the Director may relieve a Party from the effects of any failure to appear and order that a review proceeding be reinstated or reheard. A Party seeking relief from non-appearance shall file a written motion at the earliest opportunity and no later than 10 days following a proceeding of which the Party had actual notice. Such application shall be supported by an affidavit or declaration based on the personal knowledge of the declarant, and copies of the application and any supporting materials shall be served on all other Parties to the proceeding. No application shall be granted unless and until the other Parties have been afforded a reasonable opportunity to make a showing in opposition. An Order reinstating a proceeding or granting a rehearing under this section may be conditioned upon providing reimbursement to the Department and the other Parties for the costs associated with the prior non-appearance. 
(c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Director may reinstate any Request for Review where the underlying Assessment or Withholding of Contract Payments has become final and entered as a court judgment. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 473, Code of Civil Procedure; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17247. Contempt and Monetary Sanctions.
Note     •     History

(a) If any Person in proceedings before an appointed Hearing Officer disobeys or resists any lawful order or refuses, without substantial justification, to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined or is guilty of misconduct during a hearing or so near the place thereof as to obstruct the proceedings, or violates the prohibition against ex parte communications under Rule 07 [Section 17207] above, the Hearing Officer may do any one or more of the following: (1) certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code section 11455.20; (2) exclude the Person from the hearing room; (3) prohibit the Person from testifying or introducing certain matters in evidence; and/or (4) establish certain facts, claims, or defenses if the Person in contempt is a Party. 
(b) Either the appointed Hearing Officer by separate order or the Director in his or her decision may order a Party, the Party's authorized Representative, or both, to pay reasonable expenses, including attorney's fees, incurred by another Party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay as defined in section 128.5 of the Code of Civil Procedure. Such order or the denial of such an order shall be subject to judicial review in the same manner as a decision of the Director on the merits. The order shall be enforceable in the same manner as a money judgment or by the contempt sanction. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 128.5, Code of Civil Procedure; Sections 11455.10-11455.30, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17248. Interpreters.
Note     •     History

(a) Proceedings shall be conducted in the English language. The notice advising a Party of the hearing date shall also include notice of the Party's right to request an interpreter for a Party or witness who cannot speak or understand English, or who can do so only with difficulty, or who is deaf or hearing impaired as defined under Evidence Code section 754. 
(b) A request for an interpreter for a Party or witness shall be submitted as soon as possible after the requesting Party becomes aware of the need for an interpreter and prior to the commencement of the hearing. The request should include information that (1) will enable the Hearing Officer and Department to obtain an interpreter with appropriate skills; and (2) will assist the Hearing Officer in determining whether the Department or the requesting Party should pay for the cost of the interpreter. 
(c) Upon receipt of a timely request, the Hearing Officer shall direct the Department to provide an interpreter and shall also decide whether the Department or the requesting Party shall pay the cost of the interpreter, based upon an equitable consideration of all the circumstances, including the requesting Party's ability to pay. 
(d) A person is qualified to serve as an interpreter if he or she (1) is on the current State Personnel Board List of Certified Administrative Hearing Interpreters maintained pursuant to Government Code section 11435.25; and (2) has also been examined and determined by the Department to be sufficiently knowledgeable of the terminology and procedures generally used in these proceedings. 
(e) In the event that a qualified interpreter under subpart (d) is unavailable or if there are no certified interpreters for the language in which assistance is needed, the Hearing Officer may qualify and appoint another interpreter to serve as needed in a single hearing or case. 
(f) Before appointment of an interpreter, the Hearing Officer or a Party may conduct a brief supplemental examination of the prospective interpreter to see if that person has the qualifications necessary to serve as an interpreter, including whether he or she understands terms and procedures generally used in these proceedings, can explain those terms and procedures in English and the other language being used, and can interpret those terms and procedures into the other language. An interpreter shall not have had any prior substantive involvement in the matter under review, and shall disclose to the Hearing Officer and the Parties any actual conflict of interest or appearance of conflict. Any condition that interferes with the objectivity of an interpreter constitutes a conflict of interest. A conflict may exist if an interpreter is an employee of, acquainted with, or related to a Party or witness to the proceeding, or if an interpreter has an interest in the outcome of the proceeding. 
(g) The Hearing Officer shall disqualify an interpreter if the interpreter cannot understand and interpret the terms and procedures used in the hearing or prehearing conference, has disclosed privileged or confidential communications, or has engaged in conduct which, in the judgment of the Hearing Officer, creates an appearance of bias, prejudice, or partiality. 
(h) Nothing in this section limits any further rights extended by Evidence Code section 754 to a Party or witness who is deaf or hard of hearing. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 754, Evidence Code; Sections 11435.05-11435.65 and 68560-68566, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17249. Hearing Record; Recording of Testimony and Other Proceedings.
Note     •     History

(a) The Hearing Officer and the Director shall maintain an official record of all proceedings conducted under these Rules. In the absence of a determination under subpart (b) below, all testimony and other proceedings at any hearing shall be recorded by audiotape. Recorded testimony or other proceedings need not be transcribed unless requested for purposes of further court review of a decision or order in the same case. 
(b) Upon the application of any Party or upon his or her own motion, the Hearing Officer may authorize the use of a certified court reporter, videotape, or other appropriate means to record the testimony and other proceedings. Any application by a Party under this subpart shall be made at a prehearing conference or by prehearing motion filed no later than 10 days prior to the scheduled date of hearing. Upon the granting of any such application, it shall be the responsibility of the Party or Parties who made the application to procure and pay for the services of a qualified person and any additional equipment needed to record the testimony and proceedings by the requested means. Ordinarily the granting of such application will be conditioned on the applicant's paying for certified copies of the transcript for the official record and for the other Parties. The failure of a requesting Party to comply with this requirement shall not be cause for delaying the hearing on the merits, but instead shall result in the proceedings being tape recorded in accordance with subpart (a). 
(c) The Parties may, at their own expense, arrange for the recording of testimony and other proceedings through a different means other than the one authorized by the Hearing Officer, provided that it does not in any way interfere with the Hearing Officer's control and conduct of the proceedings, and further provided that, it shall not be regarded as an official record for any purpose absent a stipulation by all of the Parties or order of the Hearing Officer. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17250. Burdens of Proof on Wages and Penalties.
Note     •     History

(a) The Enforcing Agency has the burden of coming forward with evidence that the Affected Contractor or Subcontractor (1) was served with an Assessment or Notice of Withholding of Contract Payments in accordance with Rule 20 [Section 17220]; (2) was provided a reasonable opportunity to review evidence to be utilized at the hearing in accordance with Rule 24 [Section 17224]; and (3) that such evidence provides prima facie support for the Assessment or Withholding of Contract Payments. 
(b) If the Enforcing Agency meets its initial burden under (a), the Affected Contractor or Subcontractor has the burden of proving that the basis for the Civil Wage and Penalty Assessment or for the Withholding of Contract Payments is incorrect. 
(c) With respect to any civil penalty established under Labor Code section 1775, the Affected Contractor or Subcontractor shall have the burden of proving that the Labor Commissioner abused his or her discretion in determining that a penalty was due or in determining the amount of the penalty. 
(d) All burdens of proof and burdens of producing evidence shall be construed in a manner consistent with relevant sections of the Evidence Code, and the quantum of proof required to establish the existence or non-existence of any fact shall be by a preponderance of the evidence, unless a higher standard is prescribed by law. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 500, 502 and 550, Evidence Code; and Sections 1742(b) and 1775, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17251. Liquidated Damages.
Note     •     History

(a) With respect to any liquidated damages for which an Affected Contractor, Subcontractor, or Surety on a bond becomes liable under Labor Code section 1742.1, the Enforcing Agency shall have a further burden of coming forward with evidence to show the amount of wages that remained unpaid as of 60 days following the service of the Assessment or Notice of Withholding of Contract Payments. The Affected Contractor or Subcontractor shall have the burden of demonstrating that he or she had substantial grounds for believing the Assessment or Notice to be in error. 
(b) To demonstrate “substantial grounds for believing the Assessment or Notice to be in error,” the Affected Contractor or Subcontractor must establish (1) that it had a reasonable subjective belief that the Assessment or Notice was in error; (2) that there is an objective basis in law and fact for the claimed error; and (3) that the claimed error is one that would have substantially reduced or eliminated any duty to pay additional wages under the Assessment or Notice. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Sections 1742(b), 1742.1 and 1773.5, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17252. Oral Argument and Briefs.
Note     •     History

(a) Parties may submit prehearing briefs of reasonable length under such conditions as the appointed Hearing Officer shall prescribe. Parties shall also be permitted to present a closing oral argument of reasonable length at or following the conclusion of the hearing. 
(b) There shall be no automatic right to file a post-hearing brief. However, the Hearing Officer may permit the Parties to submit written post-hearing briefs, under such terms as are just. The Hearing Officer shall have discretion to determine, among other things, the length and format of such briefs and whether they will be filed simultaneously or on a staggered (opening, response, and reply) basis. 
(c) In addition to or as an alternative to post-hearing briefs, the Hearing Officer may also prepare proposed findings or a tentative decision or may designate a Party to prepare proposed findings and thereafter give the Parties a reasonable opportunity to present arguments in support of or opposition to any proposed findings or tentative decision prior to the issuance of a decision by the Director under Rule 60 [Section 17260] below. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17253. Conclusion of Hearing; Time for Decision.
Note     •     History

(a) The hearing shall be deemed concluded and the matter submitted either upon the completion of all testimony and post-hearing arguments or upon the expiration of the last day for filing any post-hearing brief or other authorized submission, whichever is later. Thereafter, the Director shall have 45 days within which to issue a written decision affirming, modifying, or dismissing the Assessment or the Withholding of Contract Wages. 
(b) For good cause, the Hearing Officer may vacate the submission and reopen the hearing for the purpose of receiving additional evidence or argument, in which case the time for the Director to issue a written decision shall run from the date of resubmission. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Article 6. Decision of the Director
§17260. Decision.
Note     •     History

(a) The appointed Hearing Officer shall prepare a recommended decision for the Director's review and approval. The decision shall consist of a notice of findings, findings, and an order, and shall be in writing and include a statement of the factual and legal basis for the decision, consistent with the requirements of Labor Code section 1742 and Government Code section 11425.50. 
(b) A recommended decision shall have no status or effect unless and until approved by the Director and issued in accordance with subpart (c) below. 
(c) A copy of the decision shall be served by first class mail on all Parties in accordance with the requirements of Code of Civil Procedure section 1013. If a Party has appeared through an authorized Representative, service shall be made on that Party at the last known address on file with the Enforcing Agency in addition to service on the authorized Representative. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1013, Code of Civil Procedure; Section 11425.50, Government Code; and Section 1742(b), Labor Code. 
HISTORY

1. New article 6 (sections 17260-17264) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17261. Reconsideration.
Note     •     History

(a) Upon the application of any Party or upon his or her own motion, the Director may reconsider or modify a decision issued under Rule 60 [Section 17260] above for the purpose of correcting any error therein. 
(b) The decision must be reconsidered or modified within 15 days after its date of issuance pursuant to Rule 60(c) [Section 17260(c)]. Thereafter, the decision may not be reconsidered or modified, except that a clerical error may be corrected at any time. 
(c) The modified or reconsidered decision shall be served on the Parties in the same manner as a decision issued under Rule 60 [Section 17260]. 
(d) A Party is not required to apply for reconsideration before seeking judicial review of a decision of the Director. An application for reconsideration made by any Party shall not extend the time for seeking judicial review pursuant to Labor Code section 1742(c) unless the Director issues a modified or reconsidered decision within the 15-day time limit prescribed in subpart (b) of this section. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17262. Final Decision; Time for Seeking Review.
Note     •     History

(a) The decision of the Director issued pursuant to Section Rule 60 [Section 17260] above shall be the final decision of the Director from which any Party may seek judicial review pursuant to the provisions of Labor Code section 1742(c) and Code of Civil Procedure section 1094.5; provided however, that if the Director has issued a modified decision pursuant to and within the 15-day limit of the Director's reconsideration authority under Section Rule 61 [Section 17261] above and Labor Code section 1742(b), the right of review and time for seeking such review shall extend from the date of service of the modified decision rather than from the original decision. 
(b) The modification of a decision to correct a clerical error after expiration of the 15-day time limit on the Director's reconsideration authority shall not extend the time for seeking judicial review. 
(c) The time for seeking judicial review shall be determined from the date of service of the decision of the Director under Code of Civil Procedure section 1013, including any applicable extension of time provided in that statute. 
(d) Any petition seeking judicial review of a decision under these Rules may be served (1) upon the Director by serving the Office of the Director -- Legal Unit where the appointed Hearing Officer who conducted the hearing on the merits regularly maintains his or her office; and (2) upon the Labor Commissioner (in cases in which the Labor Commissioner was the Enforcing Agency) by the serving the regular office of the attorney who represented the Labor Commission at the hearing on the merits. The intent of this subpart is to authorize and designate a preferred method for giving the Director and the Labor Commissioner formal notice of a court action seeking review of a decision of the Director under these Rules; it does not preclude the use any other service method authorized by law. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5. Reference: Sections 1013 and 1094.5, Code of Civil Procedure; and Section 1742, Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17263. Preparation of Record for Review.
Note     •     History

(a) Upon notice that a Party intends to seek judicial review of a decision of the Director and the payment of any required deposit, the Department, under the direction of the appointed Hearing Officer, shall immediately prepare a hearing record consisting of all exhibits and other papers and a transcript of all testimony which the Party has designated for the inclusion in the record on review. 
(b) The Party who has requested the record or any part thereof shall bear the cost of its preparation, including but not necessarily limited to any court reporter transcription fees and reasonable charges for the copying, binding, certification, and mailing of documents. Absent good cause, no record will be released to a Party or filed with a court until adequate funds to cover the cost of preparing the record have been paid by the requesting Party to the Department or to any third party designated to prepare the record. However, upon notice that a Party seeking judicial review has been granted in forma pauperis status under California Rule of Court 985, the Department shall bear the cost of preparing and filing the record where necessary for a proper review of the proceedings. 
(c) The pendency of any request for the Department to prepare a hearing record shall not extend the time limits for filing a petition for review under Labor Code section 1742(c) and Code of Civil Procedure section 1094.5. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1094.5, Code of Civil Procedure; California Rule of Court 985; Section 68511.3, Government Code; and Section 1742(c), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
§17264. Request for Participation by Director in Judicial Review Proceeding.
Note     •     History

Although the Director should be named as the Respondent in any action seeking judicial review of a final decision, the Director ordinarily will rely upon the Parties to the hearing (as Petitioner and Real Party in Interest) to litigate the correctness of the final decision in the writ proceeding and on any appeal. The Director may participate actively in proceedings raising issues that specifically concern the Director's authority under the statutes and regulations governing the payment of prevailing wages on public work contracts, or the validity of related laws, regulations, or the Director's decisions as to public works coverage or generally applicable prevailing wage rates. Any Party may request the Director to file a response in the action by including a separate written request with any court pleading being served on the Director in accordance with Rule 62(d) [Section 17262(d)]. Any such separate written request should specify briefly what issues are raised by the petition that extend beyond the facts of the case and warrant the Director's participation. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1094.5, Code of Civil Procedure; and Section 1742(c), Labor Code. 
HISTORY

1. New section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Article 7. Transitional Rule
§17270. Applicability of These Rules to Notices Issued Between April 1, 2001 and June 30, 2001.
Note     •     History

(a) These Rules shall apply to any notice issued by the Labor Commissioner or an Awarding Body with respect to the withholding or forfeiture of contract payments for unpaid wages or penalties under the prevailing wage laws in effect prior to July 1, 2001; provided that, the party seeking review has not commenced a civil action with respect to such notice under the provisions of Labor Code sections 1731-1733 [repealed effective July 1, 2001]. 
(b) An Affected Contractor or Subcontractor may appeal any such notice served between April 1, 2001 and June 30, 2001 by filing a Request for Review with the Enforcing Agency that issued the notice, in the manner and form specified in Rule 22 [Section 17222] above. Any such Request for Review shall be in writing and shall include a statement indicating the date upon which the contractor or subcontractor was served with the notice of withholding or forfeiture. 
(c) This Rule shall not extend the time available to appeal the notice under the former law. A Request for Review of a notice issued prior to July 1, 2001 must be filed with the Enforcing Agency within ninety (90) days after service of the notice. 
(d) A contractor or subcontractor who has sought review of a notice issued prior to July 1, 2001 by filing a court action under the repealed provisions of Labor Code sections 1731-1733 on or after July 1, 2001, shall, if said action would have been timely under those sections, be afforded the opportunity to dismiss the action without prejudice, after entering into a stipulation that the proceeding be transferred to the Director for hearing in accordance with these Rules. The stipulation shall also provide that the time for commencing a hearing under Rule 41 [Section 17241] shall not begin to run until the case has been formally transferred to and received by the Office of the Director. 
(e) Any hearing request made pursuant to Labor Code section 1771.7 [repealed effective July 1, 2001] that has not been heard and decided by a Hearing Officer prior to July 1, 2001 shall be handled in accordance with these Rules. 
NOTE

Authority cited: Sections 55, 59, 1742(b) and 1773.5, Labor Code. Reference: Section 1742(b), Labor Code. 
HISTORY

1. New article 7 (section 17270) and section filed 1-15-2002; operative 1-15-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). 
Subchapter 7. Regulations of the California State Mediation and Conciliation Service
Article 1. General
§17300. Reimbursement for Services.
Note     •     History

(a) Beginning July 1, 2010, training and facilitation services provided by the State Mediation and Conciliation Service (SMCS) pursuant to Section 65 of the Labor Code and representation services, other than election services, relating to public transit labor relations pursuant to the Public Utilities Code shall be reimbursed at the rate of one hundred and fifteen dollars ($115.00) per hour, prorated for each quarter hour of work that is less than a full hour. The actual time charged shall begin when a mediator commences providing such services, shall include travel time and time spent with the parties to determine the content of the training and goals for the facilitation, and shall continue until the services are completed. 
(1) Facilitation services include facilitation of collective bargaining prior to impasse, facilitation of labor-management processes such as labor-management committees, and facilitation of workplace dispute resolution processes. Facilitation services do not include mediation services resulting from certification of impasse by the Public Employees Relations Board (PERB), mediation under Labor Code 1137.1, mediation of collective bargaining disputes in which the parties have bargained to impasse and have requested mediation, or mediation of grievances arising under a collective bargaining agreement or memorandum of understanding. 
(2) Representation services shall include all services related to the investigation and resolution of questions concerning representation of transit district employees other than election services. 
(3) Hearing officer services related to representation services provided under the Public Utilities Code shall be reimbursed at cost and divided equally between or among the parties to the hearing. 
(4) SMCS shall bill the parties for training, facilitation and representation services after completion of the work. The matter of which party or parties will be responsible for reimbursement of SMCS will be determined between or among the parties and will be recorded in a memorandum of agreement signed by all parties. The cost of representation services shall be split equally between or among the parties unless otherwise agreed to by the parties as permitted by law. 
(b) Beginning July 1, 2010, election services provided by SMCS shall be reimbursed at a flat rate depending upon the size of the bargaining unit. Election services covered by this regulation include but are not limited to representation elections (certification, decertification and unit clarification), agency shop elections, and card and petition checks. 
(1) When elections are held, election services shall be reimbursed as  follows:

(A) Bargaining units of 1 to 49 employees:	$1,000.00;

(B) Bargaining units of 50 to 199 employees:	$1,250.00; 

(C) Bargaining units of 200 to 999 employees:	$2,000.00;

(D) Bargaining units of 1000 or more employees:	$4,000.00.
(2) When questions of representation are determined from card and/or petition checks, such services shall be reimbursed as follows:

(A) Bargaining units of 1 to 49 employees:	$200.00;

(B) Bargaining units of 50 to 199 employees:	$300.00;

(C) Bargaining units of 200 to 999 employees:	$750.00;

(D) Bargaining units of 1000 or more employees:	$1,000.00. 
(3) The cost of election services shall be split equally between or among the parties unless otherwise specified in local rules or agreed to by the parties. Which party or parties shall be responsible for reimbursement of SMCS, and in what amount, shall be determined at the initial set up meeting and will be recorded in the memorandum of election agreement. 
(c) Beginning July 1, 2010, each arbitrator shall pay one hundred and fifty dollars ($150.00) per fiscal year (July 1 to June 30) to join and to remain listed on SMCS's statewide panel of private arbitrators. An arbitrator shall be removed from the panel if payment of the annual fee is not made within thirty (30) days of notice that it is past due. 
(1) A party requesting a list of arbitrators shall pay fifty dollars ($50.00) for each list of arbitrators requested. Payment for a list of arbitrators must be made at the time each list is requested. There will be no charge for substitute lists for the same case. 
NOTE

Authority cited: Sections 55 and 67, Labor Code. Reference: Sections 65, 66, and 67, Labor Code; Sections 25051, 25052, 28850, 28852, 30750, 30751, 30756, 40120, 40122, 50120, 50121, 70120, 70121, 95650, 95651, 98162.5, 100301, 100304, 100305, 100306, 101341, 101342, 101344, 102401, 102403, 103401, 103404, 103405, 103406, 120502, 120503, 120505, 125521, 125524, 125525 and 125526; Appendix 1, Section 4.1 and Appendix 2, Section 13.90, Public Utilities Code; Section 11010, Government Code; and Sections 8740 and 8752, State Administrative Manual. 
HISTORY

1. New subchapter 7, article 1 (section 17300) and section filed 6-30-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 27). 
Division 2. Agricultural Labor Relations Board
Chapter 1. Definitions
§20100. Terms Defined in Labor Code Section 1140.4.*
Note     •     History

The terms “agriculture,” “agricultural employee,” or “employee,” “agricultural employer,” “person,” “representative,” “labor organization,” “unfair labor practice,” “labor dispute,” and “supervisor” as used herein shall have the meanings set forth in Labor Code Section 1140.4.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. New Part II (Chapters 1-8, Sections 20100-20800, not consecutive) filed 8-28-75 as an emergency; effective upon filing (Register 75, No. 35).
2. Certificate of Compliance filed 12-10-75 (Register 75, No. 50).
3. Repealer of Chapter 1 (Sections 20100-20130, not consecutive) and new Chapter 1 (Sections 20100-20130, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
4. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
5. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).

*Labor Code Sec. 1140.4 is contained in Part 3.5 (commencing with Sec. 1140) of Division 2 of the Labor Code, also known as the Agricultural Labor Relations Act, or the Act.
§20105. Act; Board; Board Agent.
Note     •     History

The term “Act” as used herein shall mean the Agricultural Labor Relations Act. The term “Board” shall mean the Agricultural Labor Relations Board and shall include any group of three or more members designated pursuant to Labor Code Sec. 1146. The term “Board agent” shall mean any member, agent, or agency of the Board, including its general counsel.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20106. Contents of Authorization Cards.
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3(a) and 1156.7(d), Labor Code.
HISTORY

1. New section filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
2. Repealer filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20107. Executive Secretary.
Note     •     History

The term “executive secretary” shall mean the executive secretary appointed pursuant to Labor Code Section 1145.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20110. General Counsel.
Note     •     History

The term “general counsel” as used herein shall mean the general counsel under Labor Code Section 1149.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20115. Region.
Note     •     History

The term “region” as used herein shall mean that part of the State of California fixed by the Board as a particular region. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1142(b), Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section heading, section and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20120. Regional Director.
Note     •     History

The term “regional director” as used herein shall mean the agent designated as the regional director in charge of a particular region, and shall also include any person designated as acting regional director.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1142(b), Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section heading, section and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20125. Administrative Law Judge; Investigative Hearing Examiner.
Note     •     History

(a) When used herein, the term “administrative law judge” shall refer to the agent of the Board conducting hearings pursuant to Chapters 4 and 6 of the Act or under Chapter 5 of the Act when consolidated with a hearing under Chapter 4 or 6. The term shall include the Board or a member of the Board when conducting a hearing pursuant to Chapters 4 and 6 of the Act or under Chapter 5 of the Act when consolidated with a hearing under Chapter 4 or 6.
(b) When used herein, the term “investigative hearing examiner” shall refer to the agent of the Board appointed by the executive secretary to conduct hearings pursuant to Chapter 5 of the Act.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20130. Party.
Note     •     History

The term “party” as used herein shall mean any person named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in any Board proceeding, including, without limitation, any person filing a charge or petition under the Act, any person named as respondent, as employer, or as party to a contract in any proceeding under the Act, and any labor organization alleged to be dominated, assisted, or supported in violation of Labor Code Section 1153(a) or (b); but nothing herein shall be construed to prevent the Board or its designated agent from limiting any party's participation in the proceedings to the extent of its interest only.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140-1166.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
Chapter 1.5. General Rules of Pleading and Practice
§20150. Format of Pleadings and Papers.
Note     •     History

All papers filed with the Board shall be on white paper, 8 1/2 inches wide by 11 inches long, which shall be of at least 18 pound bond weight. Matter shall be presented by typewriting, not less than 12 point or at least as large as pica type printing or other clearly legible reproduction process, and shall appear on one side of each sheet only. All documents filed with the Board shall identify and be signed by the party or representative filing the document, contain the sender's address and telephone number, and designate the title of the case, including any case number assigned by the Board. All documents filed with the Board shall be prepared with space and a half or double specing, except for the identification of party or representative, the title of case, footnotes, and quotations. ALRB forms and petitions may be completed by hand, provided the handwriting is legible. Handwritten declarations will be accepted where it would be unduly difficult to provide typewritten ones. Whenever declarations which are not in English are presented for filing and service, they shall, whenever possible, be accompanied by a proposed English translation.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20155. Signing of Petitions, Pleadings, Motions, Applications, Requests, Responses, Briefs and Other Papers.
Note     •     History

Every pleading, petition, motion, application, request, response, brief, or other paper filed with the Board and every request for discovery or particulars and any responses thereto, shall be signed by the attorney or other representative of the party, or, if the party is not represented, it shall be signed by the party or by one of its officers or partners. The signature of the attorney, other representative, party, officer or partner constitutes a certification by the signer that he or she has read the petition, pleading, motion, application, request, response, brief, or other paper, that to the best of the signer's knowledge, information, and belief, formed after reasonable inquiry, it is well-grounded in fact and is warranted by existing law or a good faith argument for the extension, modification or reversal of existing law, and that it is not interposed for any improper purposes, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20160. Place of Filing and Number of Copies to be Filed.
Note     •     History

(a) Papers presented for consideration by the executive secretary, an administrative law judge, an investigative hearing examiner or the Board itself shall be filed in the offices of the Agricultural Labor Relations Board in Sacramento. A party shall submit an original and six (6) copies of all papers, other than hearing exhibits.
(b) Papers presented for consideration by the general counsel shall be filed in the office of the general counsel in Sacramento. A party shall submit an original and two (2) copies.
(c) Papers which these regulations require to be filed at a regional office shall be filed in the regional office having jurisdiction of the matter. A party shall submit an original and two (2) copies.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20162. Appearance Before the Board.
Note     •     History

To facilitate the service of papers upon the parties and their attorneys or representatives, the executive secretary shall maintain an appearance list containing the name, address and telephone number for each attorney or representative of a party and for each unrepresented party, and shall make this information available upon request. Accordingly, each party, attorney, or representative of record, shall either (i) include his or her address and telephone number on the initial pleading he or she files with the Board or the executive secretary and serves on the other parties and the appropriate regional office or (ii) file with the executive secretary and serve on the other parties and the appropriate regional office a notice of appearance containing his or her address and telephone number. The attorney or representative of a party or any unrepresented party shall immediately notify the executive secretary and the other parties of any change of address or telephone number.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20164. Service of Papers by the Board or on the Board.
Note     •     History

All papers filed by the Board or any of its agents shall be served, together with a copy of a proof of service, on the attorney or representative of each party and on each unrepresented party either (i) personally, by leaving a copy at the principal office, place of business, or, if none, at the residence of the person(s) required to be served, or (ii) by registered or certified mail, with return receipt requested, addressed to the principal office, place of business or, if none, to the residence of the person(s) required to be served, together with an appropriate proof of service. All papers filed by a party with the Board, the executive secretary, an administrative law judge, an investigative hearing examiner, any regional office of the Board, or the general counsel, may be filed in accordance with any of the methods prescribed above, with a certificate of mailing, or by deposit with a common carrier promising overnight delivery.
Service need only be made at one address of a party, or attorney or representative of a party and only to one attorney or representative of each party. Service shall be established by a written declaration under penalty of perjury, setting forth the name and address of each party, attorney or representative served and the date and manner of their service. The Board or the party shall retain the original proof of service.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of section heading and section filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
3. Amendment of first paragraph filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20166. Service on Others of Papers Filed with the Board.
Note     •     History

Whenever a party files papers with the Board, the executive secretary, an administrative law judge, an investigative hearing examiner, any regional office of the Board, or the general counsel, it shall serve the same, together with a copy of a proof of service, on the attorney or representative of each party and on each unrepresented party in the same manner as set forth in section 20164, with the exception of an unfair labor practice charge, which, in accordance with section 20206, must be served personally or by a method that includes a return receipt. Service need only be made at one address of an unrepresented party or an attorney or representative of a party and to only one attorney or representative of each party.
(a) Service on other parties shall be made prior to, or simultaneously with, the filing with the Board, and proof of such service shall be attached to the papers when filed with the Board. Service shall be proven by means of written declaration signed under penalty of perjury, setting forth the name and address of each unrepresented party, attorney or representative of a party served and the date and manner of service.
(b) No proof of service will be required when papers are served by one party on another at the hearing when the fact of such service is stated on the record and in the presence of the party being served, or his or her attorney or representative of record.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of first paragraph filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20168. Provisions for Use of Facsimile Machines and Expedited Service.
Note     •     History

(a) In lieu of the methods of service provided for above, the Board or any of its agents may serve papers on parties and parties may file papers with the Board or any of its agents and serve them upon other parties by means of facsimile [“FAX”] machine under the following conditions:
(1) The total length of the document(s) to be filed and/or served at any one time is no more than fifteen (15) pages. This means multiple documents concerned with the same matter--for example, a motion, supporting declarations, points and authorities, and proof of service--are to be considered together in computing the fifteen (15) page limit.
(2) The format and content of the document transmitted shall comply with section 20150 and the specific requirements of any other section of these regulations applicable to the particular matter involved.
(3) Each document so transmitted shall contain the FAX number of the sender and the sender's telephone number.
(4) For a document to be considered received on the day in question, transmission must have begun prior to 4:00 p.m. on that date.
(5) As soon as possible after transmission, but no later than 5:00 p.m. on the next business day, the sending party shall file the original and the required number of copies with the Board and serve copies on each party in the manner provided for in section 20166, and shall provide a proof of service to that effect. Where service is effected by the Board, copies shall be served on each party in the manner provided in section 20164 along with proof of service to that effect.
(b) To the extent possible, all other parties will be served by FAX with any document filed by FAX, and the FAX transmission shall include a proof of service indicating the method of service on each party. For those parties who cannot be served by FAX, some other expedited form--mailgram, telegraph, overnight mail--may be utilized and the FAX proof of service shall so indicate. Parties filing papers who do not have an available FAX machine may file with Board and serve copies on the other parties by one of the expedited methods described above, and shall so indicate on their proof of service.
(c) The unexcused failure to comply with the above conditions shall be grounds for striking or refusing to consider the FAXed document(s) involved.
(d) In order to facilitate prompt processing and consideration of filings, the Executive Secretary may require that certain filings be by facsimile transmission.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Repealer of subsection (a)(1), subsection renumbering, amendment of newly designated subsection (a)(5), and new subsection (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20170. Computation of Time Periods.
Note     •     History

(a) The date of service shall be the day when the matter served is deposited in the mail, delivered in person, or transmitted pursuant to section 20168 of these regulations.
(b) In computing time periods prescribed by these rules, the day of the mailing or other event which starts the time period running is not counted. The last day of the time period is included unless it falls on a Saturday, Sunday or a State or Federal legal holiday as defined in Government Code section 6700, in which case the time period expires on the next business day. Where a time period prescribed is less than seven days, intermediate Saturdays, Sundays and legal holidays are excluded from the computation. Whenever a time period begins to run from the time of service of a document on a party and such service is made by mail, three days shall be added to the prescribed period for response.
(c) Except as provided in section 20168(a)(5), documents required to be filed with the Board must be received by the Board by 5:00 p.m. on the last day of the time period unless mailed by registered or certified mail postmarked by that last day, or deposited by the last day with a common carrier promising overnight delivery.
(d) In case of fax transmission, the time period shall begin to run upon service of the document in the manner provided for in section 20168(a)(5).
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsections (c) and (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20180. Exceptions to General Provisions Regarding Format, Service, Copies and Time Periods Prevail.
Note     •     History

(a) Whenever provisions of this Chapter 1.5 conflict with provisions regarding format, service, copies, or computation of time periods which appear elsewhere in these regulations, the other provisions shall prevail.
(b) When application of the provisions of Chapter 1.5 would work an injustice or hardship on the parties, deviations from this Chapter 1.5 may be permitted by the executive secretary.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.3, 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20190. Continuance of Hearing Dates.
Note     •     History

(a) An initial hearing date will be scheduled as soon as a case is ready for presentation. Once that hearing date has been finalized as provided below, the case should proceed to hearing as scheduled. Hearing dates will be assigned so that all cases set for a particular date can proceed on that date. Finalized hearing dates should therefore be regarded by counsel as firm dates.
(b) When a notice of hearing issues for an unfair labor practice or representation case, the dates indicated in the notice of hearing and any scheduled prehearing conference will be finalized unless the executive secretary receives a written communication within ten (10) days of the issuance of the notice of hearing, indicating that the parties have mutually agreed to a new hearing and/or prehearing date. It is the responsibility of the party objecting to the initial date(s) to contact the other parties and obtain their agreement for a modification. The objecting party is also responsible for communicating the new, agreed upon date(s) to the executive secretary.
(1) If a new date for the hearing and/or prehearing is mutually agreed to and communicated to the executive secretary within the ten day period, that date will be finalized by the issuance of a confirming notice of hearing.
(2) If the parties are unable to agree on a new date for the hearing and/or prehearing, the objecting party may submit a written request to the executive secretary within the ten day period, with copies to the other parties, indicating the reasons the initial date(s) are objected to and requesting date(s) which are more convenient. The request will be treated as a motion to continue, and all parties will be contacted by telephone and given an opportunity to respond. No further pleading in support of or in opposition to the continuance shall be filed unless requested by the executive secretary. In ruling on the request, the executive secretary may grant the continuance to the date(s) requested, select other date(s), or retain the initial date(s). The executive secretary's ruling will be finalized by issuance of a confirming notice of hearing.
(3) If the dates set for the hearing and/or prehearing in the initial notice of hearing are not objected to within the ten day period, they will be finalized by the issuance of a confirming notice of hearing.
(4) In unusual situations where it is urgent that the hearing be held as soon as possible, (e.g., related court proceedings involving interlocutory relief), or when the agreed to dates would create scheduling conflicts, the executive secretary may decline to accept the dates mutually agreed to by the parties and instead select other dates.
(5) In computing the ten day period, section 20170(b) allowing three additional days to respond to papers served by mail, shall not apply. The date(s) mutually agreed to must be communicated to the executive secretary within the ten day period.
(c) Once the dates for the hearing and any scheduled prehearing conference have been finalized as provided in (b) above, the scheduled dates will not be subject to change unless extraordinary circumstances are established.
(1) The party seeking a continuance for extraordinary circumstances shall do so by written motion directed to the executive secretary with proof of service on all parties.
(2) The motion shall contain: (i) the dates presently assigned for hearing and prehearing and the dates to which continuance is sought; (ii) the facts on which the moving party relies, stated in sufficient detail to permit the executive secretary to determine whether the conditions set forth in the applicable guidelines have been met; and (iii) the positions of all other parties or an explanation of any unsuccessful attempt made to contact a party or the circumstances excusing such attempt.
(3) Where required by this regulation or where appropriate under the circumstances, supporting declarations shall accompany the motion.
(4) Motions for continuance shall be made as soon as possible after the moving party learns the facts necessitating the motion. Except in emergencies, motions shall be received no less than five (5) calendar days prior to the scheduled hearing.
(5) Once a motion for continuance has been ruled on by the executive secretary, a motion based on the same grounds shall not again be requested at the hearing.
(6) Any party opposing a motion for continuance shall notify the executive secretary as soon as possible. Depending on the proximity to the hearing, the opposing party will be allowed to respond in writing or orally as the executive secretary may determine. Written responses shall be served on the other parties.
(7) Where there is agreement on the terms of a settlement but there is insufficient time to file a written continuance motion, the moving party may present it orally by telephone to the executive secretary. The moving party shall thereafter promptly reduce the motion to writing and serve it on the executive secretary and the other parties.
(d) After the opening of hearing, continuances of up to two working days may be granted by the assigned administrative law judge or investigative hearing examiner upon oral motion for good cause. The record of the hearing shall reflect the reasons given for the request, the agreement or absence of agreement of the other parties to the hearing, the reasons given for the granting or denial of the motion, and the date, time and location to which the hearing is continued. Requests for continuances for periods longer than two working days shall be in writing directed to the executive secretary with proof of service on all parties. The procedures set forth in subsection (c) above shall be followed and the guidelines set forth in subsection (e), (f) and (g) below, shall apply.
(e) In ruling on a motion for continuance, all matters relevant to a proper determination of the motions will be taken into consideration, including:
(1) The official case file and any supporting declaration submitted with the motion.
(2) The diligence of counsel in bringing the extraordinary circumstances to the attention of the executive secretary and opposing counsel at the first available opportunity and in attempting otherwise to meet those circumstances.
(3) The extent of and reasons for any previous continuances, extensions of time or other delay attributable to any party.
(4) The proximity of the hearing date.
(5) The condition of the hearing calendar.
(6) Whether the continuance may properly be avoided by the substitution of attorneys or witnesses, or by some other method.
(7) Whether the interests of justice are best served by a continuance, by proceeding to hearing, or by imposing conditions on the continuance.
(8) Any other facts or circumstances relevant to a fair determination of the motion.
(f) The following circumstances shall not constitute extraordinary circumstances warranting a continuance:
(1) The fact that all parties have agreed to continue a hearing which has already been set pursuant to a notice of hearing.
(2) Scheduling conflicts which could have been avoided by prompt action either during or after the ten day period, or which can still be avoided by rescheduling.
(3) Circumstances which would normally constitute good cause, as described below, but which were known or should have been known to the requesting party prior to the expiration of the ten day period or prior to the granting of any previous continuance.
(4) The willingness of the parties to enter into settlement negotiations. Continuances for settlement will only be granted to consummate a settlement, the basic terms of which have already been agreed to.
(g) The following circumstances will normally be considered extraordinary circumstances warranting the granting of a continuance; provided, however, that the conditions specified for each have been met:
(1) Unavailability of a witness only where: (i) the witness has been subpoenaed and will be absent due to an unavoidable emergency of which that counsel did not know, and could not reasonably have known, when the hearing date was finalized or any previous continuance was granted; (ii) the witness will present testimony essential to the case, and (iii) it is not possible to obtain a substitute witness.
(2) Illness that is supported by an appropriate declaration of a medical doctor, or by bona fide representations of parties or their counsel or representative, stating the nature of the illness and the anticipated period of any incapacity under the following circumstances: (i) the illness of a party or of a witness who will present testimony essential to the case except that, when it is anticipated that the incapacity of such party or witness will continue for an extended period, the continuance should be granted on condition of taking the deposition of the party or witness in order that the hearing may proceed on the date set; with respect to such an essential witness, it must also be established that there is insufficient time to obtain a substitute witness; (ii) the illness of the hearing attorney or representative, except that the substitution of another attorney should be considered in lieu of a continuance depending on the proximity of the illness to the date of hearing, the anticipated duration of the incapacity, the complexity of the case, and the availability of a substitute attorney.
(3) Death of the hearing attorney or representative where, because of the proximity of such death to the date of hearing, it is not feasible to substitute another attorney or representative. The death of a witness only where the witness will present testimony essential to the case and where, because of the proximity of death to the date of hearing, there has been no reasonable opportunity to obtain a substitute witness.
(4) Unavailability of administrative law judge or investigative hearing examiner where there is no other available administrative law judge or investigative hearing examiner or where there is insufficient time for an otherwise available administrative law judge or investigative hearing examiner to become familiar with the case in time for the hearing. The executive secretary may act sua sponte in continuing a hearing pursuant to this subparagraph.
(5) Substitution of trial counsel or representative only where there is an affirmative showing that the substitution is required in the interests of justice, and there is insufficient time for the new counsel or representative to become familiar with the case prior to the scheduled hearing date.
(6) A significant change in the status of the case where, because of the addition of a named party or the need to amend the pleadings to add a new issue or allegation, a continuance is required in the interests of justice. The executive secretary may act sua sponte in continuing a hearing pursuant to this paragraph.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1156.3(c), 1160.2 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsection (b)(2) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
3. Amendment of subsections (c)(3) and (f)(1) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20192. Extensions of Time.
Note     •     History

(a) Extraordinary circumstances do at times occur which prevent parties or their counsel or representative from complying with the time limits contained in the regulations or orders of the Board for the filing and service of papers. In those situations, parties, or their counsel or representatives, may apply for extensions of time by written motion directed to the executive secretary or assigned administrative law judge, as appropriate in accordance with sections 20240 and 20241, with service on all other parties.
(b) Requests for extensions of time shall be filed or presented in the same manner as motions for continuances, except that, absent good cause shown, they are to be received at least three (3) calendar days before the due date of the papers to be filed. The request shall include the due date, the length of extension sought, the grounds for the extension, and the position of the other parties, in the same manner as required for continuances in subsection 20190(c)(2) above.
(c) Requests for extensions of time will be processed and ruled on by the executive secretary or assigned administrative law judge, as appropriate in accordance with sections 20240 and 20241, based on considerations similar to those described in subsections 20190(e), (f), and (g).
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20194. Requests to Shorten Time.
Note     •     History

(a) Circumstances occur from time to time when parties desire to shorten the time for complying with the time limits contained in these regulations or in orders of the Board, the executive secretary, an administrative law judge, or an investigative hearing examiner for the filing and service of papers or for the commencement of hearings and prehearings. For good cause shown, parties or counsel may apply for an order shortening time to the executive secretary or the assigned administrative law judge, as appropriate in accordance with sections 20240 and 20241, by written motion, with service on all other parties.
(b) Requests to shorten time shall be filed or presented in the same manner as motions for continuances. The request shall include the time limit then in effect, the change sought in that time limit, the grounds for shortening time, and the position of the other parties, in the same manner as required for continuances in subsection 20190(c)(2).
(c) Requests to shorten time will be processed in the same manner as continuances, and they will be ruled upon utilizing considerations similar to those described in the guidelines for continuances found in subsections 20190(e), (f) & (g).
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsections (a) and (c) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20196. General Provisions Applicable to Continuances and Extensions of Time.
Note     •     History

(a) The executive secretary may designate member(s) of the Board staff to assist in performing the executive secretary's functions with respect to continuances, extensions and shortening of time.
(b) The failure of a moving party to cooperate with the executive secretary or a representative of the executive secretary or the assigned administrative law judge in determining whether circumstances exist warranting a continuance or extension of time will be grounds for denial of the motion.
(c) False or misleading statements in motions or in contacts with the executive secretary, or a representative of the executive secretary, or the assigned administrative law judge, in connection with a continuance, extension, or a request to shorten time may subject a party to adverse action under section 20800.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1151.4(a), 1156.3(a), (c), 1156.7(c), (d), 1160.2, 1160.3 and 1160.5, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsections (a) and (c) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
Chapter 2. Unfair Labor Practice Regulations
§20200. Non-Prejudicial Error.
Note     •     History

The Board may disregard any error or defect in the original or amended charge, complaint, answer or other pleading which does not substantially affect the rights of the parties.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1140.4(d) and 1160.2, Labor Code.
HISTORY

1. Repealer of Chapter 2 (Sections 20205-20255.4, not consecutive) and new Chapter 2 (Sections 20200-20286, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 4).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
3. Renumbering of Section 20200 to Section 20201 and new Section 20200 filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
4. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
§20201. Charge.
Note     •     History

Any person may file a charge that any person has engaged in or is engaging in an unfair labor practice.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Renumbering of former Section 20200 to Section 20201 filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20202. Form and Contents of Charge.
Note     •     History

The charge must be in writing and contain the following:
(a) The name, address, and telephone number of the person or organization making the charge.
(b) The name, address, and telephone number (if available) of the person, organization, or company against whom the charge is made.
(c) A short statement of the facts allegedly constituting an unfair labor practice.
(d) The charging party may submit declarations, signed under penalty of perjury, in support of the charge. Such declarations shall remain confidential, except as provided in section 20274(a).
(e) Proof of service of the charge on the charged party pursuant to the provisions of Section 20206.
(f) The charge shall be signed by the Charging Party below the following statement: “I declare that I have read the above charge and the statements contained therein are true to the best of my knowledge and belief.”
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of subsection (c), repealer and new subsection (d) and new subsection (f) filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20204. Forms.
History

HISTORY

1. Repealer filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20205. Number of Copies.
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Repealer filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20206. Service of Charge on Charged Party.
Note     •     History

An unfair labor practice charge must be served on the charged party as provided in sections 20160 and 20166. As a courtesy, the regional director shall offer to serve the charge or amendment, on the charged party. In making such an offer or in serving the charge or amendment upon the charged party, the regional director shall not be deemed to have assumed the legal responsibility for timely and proper service. If the charging party elects to serve the charge or amendment, it shall, in addition to filing a proof of service with the charge, file the return receipt with the regional director no later than the date of the issuance of the complaint.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Change without regulatory effect amending section filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
3. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
4. Amendment of section heading and section filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20208. Where Filed.
Note     •     History

A charge shall be filed in the regional office in the region where the alleged unfair labor practice occurred or is occurring, unless otherwise directed by the general counsel.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20210. Amendment of Charge.
Note     •     History

An amendment to a charge must be in writing and contain the same information as a charge. An amended charge must refer, by original case number, to the charge to which it is related, and must be filed and served in accordance with the provisions of sections 20160, 20166, and 20208.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20212. Withdrawal of Charge.
Note     •     History

The charging party may withdraw a charge with the written consent of the regional director who shall serve written notice of said withdrawal upon all other parties pursuant to section 20164.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20213. Investigation of Charge; Declarations by Charging Party.
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Repealer filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20216. Investigation by Regional Director.
Note     •     History

The regional director shall investigate to determine whether or not there is reasonable cause to believe that an unfair labor practice has been committed.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a) and 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20217. Investigative Subpoenas.
Note     •     History

(a) For purposes of investigation, the general counsel or his or her agents may issue and serve subpoenas requiring the production by persons at the respondent's place of business, or such other location as mutually agreed to by the respondent and the regional director, of any materials, including but not limited to books, records, correspondence or documents in their possession or under their control.
(b) The subpoena shall show on its face the name, address, and telephone number of the general counsel or his or her agent who has issued the subpoena. A copy of a declaration under penalty of perjury shall be served with a subpoena duces tecum, showing good cause for the production of the matters and things described in such subpoena. The declaration shall show specific facts justifying discovery and that the materials are relevant to the subject matter of the investigation or reasonably calculated to lead to the discovery of admissible evidence.
(c) Service of subpoenas shall be made pursuant to Labor Code Section 1151.4(a) or by certified mail. The service must be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance.
(d) Any person on whom an investigative subpoena is served who does not intend to comply shall, within five days after the date of service, petition in writing to revoke the subpoena. Such petition shall explain with particularity the grounds for objecting to each item covered by the petition. The petition to revoke shall be served upon the general counsel or his or her agent who issued the subpoena. The petition to revoke shall be filed with the executive secretary.
(e) The executive secretary shall revoke the subpoena if the materials required to be produced do not relate to any matter under investigation, or the subpoena does not describe with sufficient particularity the materials whose production is required, or the testimony or records sought are privileged or confidential or deal with a matter not subject to review, or the subpoena is otherwise invalid. A simple statement of the grounds for the ruling on the petition shall accompany the ruling. Adverse rulings may be appealed to the Board through the procedures outlined in Section 20242.
(f) When a person under subpoena refuses to produce the requested information on the basis of his or her privilege against self-incrimination, the general counsel or his or her agents may file a written request that the Board grant immunity and compel that person to produce the requested materials. Said request shall otherwise conform and be processed according to Section 20251; however, the Board shall rule directly on said request.
(g) Upon any other failure of any person to comply with an investigative subpoena, the general counsel may request that the Board apply to an appropriate superior court for an order requiring compliance in accord with Section 20250(k).
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a) and 1160.2, Labor Code.
HISTORY

1. New section filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsection (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20218. Dismissal of Charge.
Note     •     History

If the regional director concludes that there is no reasonable cause to believe that an unfair labor practice has been committed or there is insufficient evidence to support the charge, the charge shall be dismissed in whole or in part. The regional director shall issue a written notice of dismissal stating the reasons for the dismissal and shall serve a copy pursuant to section 20164 on the charging party and on the respondent.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a) and 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20219. Review of Dismissals.
Note     •     History

Within 10 days of the date of service of a dismissal, the charging party may file a request with the general counsel for review of the decision dismissing the charge. The request for review shall specifically state all reasons why the decision should be reviewed. If the charge was dismissed for lack of evidence, the charging party may provide additional evidence in support of the charge accompanied by a showing of the reasons why such evidence was not previously presented to the regional director. If the charge was dismissed for failure to legally constitute an unfair labor practice, the charging party shall provide legal authority in support of its position that the evidence constitutes an unfair labor practice. The request for review and all supporting documents shall be served upon the charged party and the regional director as provided in section 20166. Within 10 days from the filing of such request, the charged party may file a statement in opposition with service on the charging party as provided in Section 20166. Extensions of time to file a request for review or a statement in opposition may be requested in accordance with section 20192, except that such requests shall be directed to and ruled upon by the General Counsel.
The general counsel may request an oral presentation from the parties. The general counsel may affirm the decision of the regional director, remand for further consideration or evidence, or issue a complaint.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1149, 1151.4(a), 1160.2 and 1160.5, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of first paragraph and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20220. Complaint.
Note     •     History

(a) If, after investigation, the general counsel has reason to believe that an unfair labor practice has been committed, he or she shall issue a formal complaint in the name of the Board. The complaint shall contain a statement of the specific facts upon which jurisdiction of the Board is based, including the identity of the respondent, and shall state with particularity the conduct which is alleged to constitute an unfair labor practice. The statement must include, where known, the dates and places of the conduct and the names of the persons who allegedly committed the acts being charged. The Board may disregard any error or defect in the complaint which does not substantially affect the rights of the parties.
(b) The complaint shall be accompanied by a statement explaining: (1) the requirements for an answer, (2) the right of respondent to a hearing, and (3) the manner in which hearings are scheduled; and it shall also include a copy of sections 20190 and 20192 dealing with continuances and extensions of time and a copy of sections 20235 through 20238 concerning discovery.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a), 1160.2, 1160.5 and 1160.6, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. New subsection (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20221. Filing and Service of Complaint.
Note     •     History

The complaint shall be filed and served as required by Chapter 1.5.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a) and 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20222. Amendment of Complaint; Withdrawal of Complaint.
Note     •     History

(a) The general counsel, or his or her agents, may amend any complaint without leave, no later than 10 days prior to the commencement of the hearing. Where there are less than 10 days remaining prior to the opening of the hearing, the complaint may be amended on such terms as may be just upon motion by the general counsel to the assigned administrative law judge. An amendment to a complaint shall be in writing, except that a complaint may be amended orally at hearing or prehearing if the amendment is reduced to writing, filed with the executive secretary and served on the assigned administrative law judge and on all parties no later than 10 days after the close of the prehearing conference or hearing, as the case may be.
(b) The general counsel or his or her agents may withdraw any complaint, without leave, prior to the commencement of the hearing. Thereafter, the complaint may be withdrawn on such terms as may be just upon motion by the general counsel to the assigned administrative law judge.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151.4(a), 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of subsection (a) and new subsection (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20224. Notice of Hearing.
Note     •     History

(a) When a case is ready to proceed to hearing, the general counsel will notify the chief administrative law judge, who will cause a notice of hearing to issue, specifying the time and place of hearing. In the alternative, the general counsel may arrange with the chief administrative law judge to include the time and place of hearing in the complaint.
(b) Except where circumstances warrant an expedited hearing, no hearing shall be scheduled to commence less than fifteen (15) days after the issuance of the complaint, and no prehearing conference shall be scheduled to commence less than ten (10) days after the issuance of the complaint.
NOTE

Authority cited: Section 1144, Labor Code; Reference: Section 1160.2, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsection (b) filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20225. Withdrawal, Substitution or Discharge of Attorney or Representative.
Note     •     History

An attorney or representative who has made a general appearance for a party in a proceeding governed by this Chapter may withdraw as follows: (a) upon a written consent executed by both the attorney or representative and by the client or the attorney or representative who will substitute into the proceedings which shall be filed with the executive secretary; or (b) by the order of the executive secretary or the Board, if the matter is then pending before it, upon the application of the attorney or representative, or of the client, or of the new attorney or representative, after notice from one to the other. Withdrawal or substitution shall be permitted unless to do so would result in serious prejudice to the other parties to the proceeding. Any application or consent filed pursuant to (a) or (b) above shall contain the address of the client or new attorney or representative for the service of subsequent pleadings and papers. Any application filed pursuant to (b) above shall, without compromising the confidentiality of the attorney-client relationship, if any, state in general terms the reason for the application.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1151.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20230. Answer; Time for Filing.
Note     •     History

The respondent shall file an answer within 10 days of the service of the complaint or any amendment to the complaint. If a hearing is set sooner than 10 days after the service of the complaint, the answer shall be filed no later than the day of the hearing. All allegations in amended complaints served after an answer is filed are deemed denied except for those matters which were admitted in the answer and which have not been changed in the amended complaint.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20232. Contents of Answer.
Note     •     History

The answer shall state which facts in the complaint are admitted, which are denied, and which are outside the knowledge of the respondent or any of its agents. The answer may make any appropriate explanation of the circumstances surrounding the facts set forth in the complaint.
Any allegation not denied shall be considered admitted.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20234. Filing.
Note     •     History

The answer shall be filed with the Executive Secretary and the regional office that issued the complaint. The answer shall be filed and served as required by sections 20160 and 20166. Any requests to extend the time for filing an answer shall be filed with the Executive Secretary pursuant to section 20240.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20235. Request for Particulars.
Note     •     History

Where a complaint lacks specificity as to the time, place or nature of the alleged conduct, or the identity of the persons who engaged in it, or fails sufficiently to identify the individual or group against whom the conduct was specifically directed, a written request for particulars may be made by the respondent in accordance with section 20237 to obtain such information; provided, however, that in responding the general counsel need not disclose the identity of any potential witness whose primary source of income is non-supervisory employment in agriculture.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20236. Matters Discoverable.
Note     •     History

(a) Upon written request, a party to a hearing is entitled to obtain from any other party to the hearing the names, addresses and any statements (as defined in section 20274(b)) of all witnesses, other than those whose primary source of income is non-supervisory employment in agriculture; provided, however, that any portion of a statement likely to identify a potential witness whose primary source of income is non-supervisory employment in agriculture shall be excised.
(b) Upon written request, a party to a hearing is entitled to obtain from any other party to the hearing the name, address, field of expertise, qualifications, and a brief description of expected testimony of any expert whom it intends to call as a witness. The responding party shall also make available any report prepared for it by such expert concerning the subject matter of the testimony to be given. The failure, without good cause, to comply with the requirements of this subsection shall be grounds for excluding such expert testimony.
(c) Upon written request, a party to a hearing shall be afforded a reasonable opportunity to examine, inspect and copy, and, where appropriate, to photograph and/or test, any writing or physical evidence in the possession or control of the party to the hearing to whom the request is directed which that party intends to introduce into evidence at hearing; provided, however, that any portion of a writing which identifies a potential witness whose primary source of income is non-supervisory employment in agriculture shall be excised, except that this proviso shall not apply to otherwise unprotected or unprivileged business records. Where the writing or physical evidence to be introduced is not yet in the possession or control of the responding party, it shall be identified with reasonable specificity.
(d) Upon written request, general counsel shall disclose to respondent any evidence which is purely and clearly exculpatory.
(e) In compliance proceedings, the general counsel shall, upon written request, make available to the requesting party to the hearing all information in its files, which tends to verify, clarify or contradict the items and amounts alleged in the backpay or bargaining makewhole specification unless the information is absolutely privileged, e.g., income tax returns, form W-2 (wage and tax statement), . . . etc.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20237. Requests for Discovery.
Note     •     History

(a) Requests pursuant to sections 20235 and 20236 shall be in writing and directed to the party from whom the information is sought. Copies need not be served on the Board.
(b) Requests shall be made no later than 15 days following service of the answer, and responses shall be due 15 days after receipt of the request; except that, for good cause shown, the chief administrative law judge or the executive secretary, as appropriate in accordance with sections 20240 and 20241, may extend or shorten the time to request or respond.
(c) Requests shall be deemed continuing. Any requested information which becomes available or is discovered after the initial response is to be provided as soon as reasonably possible.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a), 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of subsection (b) and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20238. Orders Compelling Discovery; Sanctions.
Note     •     History

(a) A requesting party who believes that the responding party has failed, in whole or part, to comply with a proper request pursuant to sections 20235, 20236, or 20237 may apply in writing to the chief administrative law judge for an order requiring compliance. No application will be entertained unless the applying party establishes that it first made a reasonable effort to resolve the matter by contacting or attempting to contact the responding party. The application shall include copies of the request and any response received, and shall be served on the responding party. If the responding party desires to oppose the application, he or she shall immediately notify the office of the chief administrative law judge. Depending on the proximity to hearing, the chief administrative law judge shall determine whether the opposition will be written or oral, when it will be due, and whether to assign the matter to an administrative law judge. When the dispute concerns the propriety of excising or failing to turn over a statement containing the name of a potential witness whose primary income is from non-supervisory agricultural employment, the privilege created by Evidence Code section 1040(b)(2) is waived to the extent of allowing the chief administrative law judge or the assigned administrative law judge to examine the entire unexcised document in camera to determine what, if any, portions should be disclosed.
(b) If a party or its representative fails to comply with an order requiring compliance or otherwise fails to comply with the requirements of section 20235, 20236, or 20237, appropriate sanctions may be imposed either by the chief administrative law judge or, if the matter has been assigned for hearing, by the assigned administrative law judge. Sanctions may include refusing to receive testimony or exhibits, striking evidence received, dismissing claims or defenses, or such other action as may be appropriate, but shall not include imposition of financial penalties.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20240. Motions Before Prehearing and After Hearing.
Note     •     History

(a) With the exception of motions to correct the transcript, all motions made before the prehearing conference or after the close of hearing shall be filed with the executive secretary in accordance with sections 20160 and 20166. Responses shall be filed within seven (7) days after the filing of the motion, or within such time as the executive secretary may direct, as provided in sections 20160 and 20168. No further pleadings shall be filed in support of or in opposition to the motion unless requested by the executive secretary or assigned administrative law judge.
(b) The executive secretary may rule on motions or forward them for ruling to the assigned administrative law judge. The ruling shall be in writing with reasons stated, and shall be served on all parties or, at the discretion of the administrative law judge, it may be incorporated into his or her decision.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (d) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
3. Amendment of subsection (a), repealer and renumbering of former subsection (b) and amendment of new subsection (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of subsection (a) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
5. Amendment of subsection (a) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20241. Motions During or After Prehearing Conference and Before Close of Hearing.
Note     •     History

(a) With the exception of requests for continuances made prior to the opening of hearing and requests for continuances in excess of two days made during the hearing, motions and applications made at or after prehearing conference and prior to close of the hearing shall be directed to the assigned administrative law judge, and may be made orally on the record or in writing. If written, the motion, shall be filed and served in accordance with sections 20160 and 20166; provided, however, that a duplicate original shall be filed with the administrative law judge, and, if the hearing is in progress, copies shall be personally served on each party or its representative.
(b) Any party may respond to a written motion orally, at the prehearing conference or hearing, or in writing so long as a response is made within five (5) days after filing of the motion, or such time as the administrative law judge may direct. Written responses shall be served on each party or its representative. No further pleadings shall be filed in support of or in opposition to the motion unless requested by the administrative law judge.
(c) The administrative law judge shall rule on all motions either orally on the record or in writing, as may be appropriate. Rulings shall state the reasons therefor and, if in writing, shall be incorporated in the decision or separately served on all parties or their representatives and on the executive secretary.
(d) The administrative law judge may conduct a telephone conference call among the parties to hear argument or to rule on any motion before him/her. When the conference call method is utilized, upon request of any party, or at the direction of the administrative law judge, the conference call shall be reported or recorded by appropriate means as determined by the administrative law judge, and shall become part of the official record of the proceeding. As an alternative to a telephone conference call, the administrative law judge may utilize any other means of electronic communication which the Board has designated as appropriate.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Renumbering and amendment of former section 20242 to section 20241 filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsections (a) , (b) and (d) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment of subsection (b) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
4. Amendment of subsection (a) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20242. Appeals of Executive Secretary and Administrative Law Judge Rulings.
Note     •     History

(a) All rulings and orders of every kind, by the executive secretary or by an administrative law judge, shall be a part of the record without the necessity of their being introduced into evidence, except that rulings on motions to revoke subpoenas shall become a part of the record only upon the request of the party aggrieved thereby, as provided in section 20250.
(b) No ruling or order shall be appealable, except upon special permission from the Board; except that a ruling which dismisses a complaint in its entirety shall be reviewable as a matter of right. A party applying for special permission for an interim appeal from any ruling by the executive secretary or an administrative law judge shall, within five (5) days from the ruling, file with the executive secretary, to be forwarded to the Board for review, its application for permission to appeal, setting forth its position on the necessity for interim relief and on the merits of the appeal. The application shall be supported by declarations if the facts are in dispute and by such authorities as the party deems appropriate. Applications and supporting papers shall be filed and served in accordance with sections 20160 and 20166. Any party may file a statement opposing such application, with proof of service on the other parties as provided in sections 20160 and 20166, within such time as the executive secretary may direct. No further pleadings shall be filed in support of or in opposition to the appeal unless requested by the Board through the executive secretary.
(c) Parties intending to apply for special permission to appeal an oral ruling by an administrative law judge shall immediately notify the administrative law judge and arrange with the reporter for an expedited copy of the relevant portion of the hearing transcript which shall be lodged with the Board at the moving party's expense.
(d) Unless the executive secretary so directs, no hearing shall be delayed because an application was filed; nor shall the appeal or attempt to appeal a ruling or order delay the hearing unless the Board so directs.
(e) This section does not apply to decisions of administrative law judges as defined in sections 20279-86.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Renumbering and amendment of former section 20242 to section 20241 and new section 20242 filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsections (a), (b), (c) and (d) and new subsection (e) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment of subsection (b) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
4. Amendment of section heading filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20243. Motion for Decision for Lack of Evidence.
Note     •     History

(a) After the general counsel or the respondent has completed its presentation of evidence, the opposing party, without waiving its right to offer evidence in support of its defense or in rebuttal in the event the motion is not granted, may move for decision in its favor in whole or in part. The motion shall be granted if the administrative law judge finds that there is no evidence in the record of sufficient substance to support a decision on the merits in favor of the party against whom the motion is directed; provided, that, in making this finding, the administrative law judge shall give to the evidence of said party all value to which it is legally entitled, making every favorable, legitimate inference which may be drawn from that evidence; provided further, that, with respect to the credibility of that party's witnesses, the administrative law judge may disregard such testimony as he or she finds to be manifestly unworthy of belief.
(b) Any ruling granting a motion for decision as to all issues involved in the action shall be in writing with reasons stated and shall be served on all parties and the executive secretary. Any such ruling shall include a recommended order. Such ruling and recommended order is tantamount to an administrative law judge's decision and is reviewable as provided in sections 20279 et seq. or, in the alternative, a party may elect to seek review as provided in section 20242(b).
(c) If the evidence supports the granting of the motion as to some but not all of the issues, the administrative law judge shall grant the motion as to those issues; the administrative law judge's ruling may be made orally or in writing as provided in section 20241(c) and shall be noted in the judge's decision. Such ruling is subject to review under section 20242(b), but special permission is required; such a ruling is also reviewable by way of exception to the administrative law judge's decision pursuant to sections 20279 et seq.
(d) As to any ruling pursuant to this section which is based in whole or in part on a finding that testimony is manifestly unworthy of belief, the administrative law judge shall state, orally or in writing as provided above, the reason(s) for the finding.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20244. Severance and Consolidation.
Note     •     History

(a) Up to ten days prior to the commencement of the hearing, the general counsel may order that several charges be consolidated into one complaint or that several complaints be consolidated for hearing.
(b) Up to ten days prior to the commencement of the hearing, any other party may request the general counsel to consolidate or sever unfair labor practice proceedings.
(c) During the period from less than ten days prior to the commencement of the hearing until the close of hearing, any party, including the general counsel, may file a motion with the administrative law judge to consolidate or sever matters in unfair labor practice proceedings.
(d) After the close of the hearing, consolidation and severance shall be by motion to the Board.
(e) Consolidation of unfair labor practice proceedings with objections proceedings arising under Labor Code section 1156.3(c) shall be governed by section 20335(c) of these regulations.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1149, 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of subsections (a) and (b) and new subsections (c), (d) and (e) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of subsections (a)-(c) and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20245. Transfer of Proceedings and Change of Hearing Location.
Note     •     History

(a) The general counsel may at any time order that proceedings be transferred from one region to another subject only to the terms of paragraph (b) below.
(b) Once a case has been noticed for hearing at a specified location, any subsequent change in hearing location shall be by written motion to the executive secretary or, if the hearing has commenced, to the assigned administrative law judge.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20246. Witnesses and Depositions.
Note     •     History

Witnesses shall be examined orally under oath, except that after the issuance of a complaint, testimony may be taken by deposition, if the witness will be unavailable for the hearing within the meaning of Evidence Code Section 240, or where the existence of special circumstances makes it desirable in the interest of justice. 
(a) Applications to take depositions shall be in writing, and shall set forth the reasons why such depositions should be taken, the name of the witness, the matters about which the witness is expected to testify, and the time and place proposed for the taking of the deposition. Such application shall be served on the opposing party not less than 10 days prior to the time when it is desired that the deposition be taken.
(b) If the parties so stipulate in writing, depositions may be taken before any person, at any time or place, upon any notice, and in any manner. Depositions so taken may be used to the same extent as depositions taken pursuant to the requirements of this section.
(c) The application shall be made to the executive secretary in triplicate and served pursuant to section 20166 upon the other parties.
(d) The executive secretary may order the deposition taken in the exercise of his or her discretion.
(e) The deposition shall be taken at a time and place and before a person designated by the executive secretary.
(f) The rules governing the manner of taking of depositions shall be the same as those set forth in the Code of Civil Procedure Sections 2016 and following. Where these regulations conflict with the Code of Civil Procedure, these regulations shall govern.
(g) The administrative law judge assigned to preside at the hearing on the complaint shall rule upon the admissibility of the deposition or any part of it. All rulings on objections to the taking of the deposition or any part of it shall be reserved to the administrative law judge at the hearing on the complaint.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Change without regulatory effect amending subsection (c) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
3. Amendment of subsection (g) and Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20247. Witness Fees.
History

HISTORY

1. Repealer filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20248. Settlement Conference.
Note     •     History

(a) At any time after a complaint has issued, either on his or her own motion or upon written request by any party, the chief administrative law judge may schedule a settlement conference to be held before an administrative law judge other than the one assigned to hear the matter and shall notify the parties, including the charging party, of its time and place. Each party attending such a conference shall be represented by a person fully authorized to engage in negotiations for settlement. Clients or principals shall either attend or be available by telephone.
(b) After assignment of a case to an administrative law judge, he/she may direct that a settlement conference be held in conjunction with any prehearing conference or independently thereof. Upon request by any party, the executive secretary shall assign another administrative law judge to conduct the settlement discussions.
(c) Independently of (a) and (b) above, at any stage of a proceeding prior to hearing, if time, the nature of the proceeding, and the public interest permit, all interested parties shall have the opportunity to submit for consideration by the regional director with whom the charge was filed, facts, arguments, offers of settlement, or proposals of adjustment.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of subsection (a) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20249. Prehearing Conference.
Note     •     History

(a) Prior to any hearing held pursuant to Section 20260, a pre-hearing conference shall be held. The conference shall be conducted by an administrative law judge and shall be attended by the parties or their representatives, who shall be familiar with the case and shall have authority with respect to all matters on the agenda, including settlement.
(b) Prior to the pre-hearing conference the parties shall confer in person or by telephone in an attempt to resolve or define any issues relating to compliance with the provisions of Giumarra Vineyards, 3 ALRB No. 21, or with outstanding subpoenas. Where full agreement cannot be reached, they shall agree on such matters as are reasonably susceptible to agreement, and on the time, place and manner of their compliance with such understandings and agreements. In addition, they shall also discuss and attempt to reach agreement on:
(1) Those facts which are not reasonably disputable;
(2) The identification, authentication and/or admissibility of all documents which are to be offered in evidence;
(3) Additional evidence to be subpoenaed if no agreement can be reached for its voluntary exchange;
(4) Anticipated evidentiary issues, including issues of privilege and work product;
(5) A firm estimate of hearing time; and
(6) Amendments, dismissals, consolidations, severences, and transfer.
(c) The agenda for the pre-hearing conference shall include:
(1) A thorough discussion of the issues and positions of the parties, including a careful explanation of the factual and legal theories relied upon. For any theory which is novel or unusual, parties should be prepared, or may be required, to provide the administrative law judge with offers of proof and/or appropriate legal authorities.
(2) Resolution by agreement or ruling on any remaining disputes concerning compliance with the provisions of Giumarra Vineyards, 3 ALRB No. 21, and any outstanding subpoenas.
(3) Agreement for the handling of facts not reasonably subject to dispute by stipulation or otherwise.
(4) Discussion and, where possible, resolution of anticipated evidentiary issues, including, insofar as possible, the resolution of issues involving the authentication, admissibility and relevance of documentary and physical evidence. As provided in Section 20250(i), witnesses appearing pursuant to subpoenas duces tecum or notices to produce may be sworn and examined for the limited purpose of identifying, authenticating or marking for identification and lodging with the administrative law judge documentary or physical evidence. The parties shall also address themselves to the handling and resolution of anticipated future subpoenas or discovery.
(5) Consideration of issues involving consolidation, severance, transfer, amendment and dismissal.
(6) A firm and mutual estimate of the length of hearing, including any specific scheduling problems and the need for interpreters.
(7) Consideration of utilizing the settlement procedures of Section 20248.
(8) Any other matters as may aid in expediting the hearing or contribute to the just, efficient and economical disposition of the case.
(d) The failure to fully and adequately prepare for pre-hearing conference, including the failure to attempt in good faith to confer beforehand, and resolve problems and issues, as provided in (b) above, or failure to comply with a prehearing conference order, shall be grounds for the imposition of such sanctions, inferences or other orders, then or during the hearing, as the administrative law judge may deem appropriate.
(e) The pre-hearing conference may be continued or recessed as may be necessary. At any time after assignment to the case, the administrative law judge may, either on his/her own motion or upon request by a party, conduct a conference  among the parties preparatory to the pre-hearing conference by telephone conference call or by any other electronic means which the Board has designated as appropriate; likewise, the administrative law judge may, where appropriate, conduct the initial pre-hearing conference or a continued or recessed pre-hearing conference by telephone conference call or by any other electronic means which the Board has designated as appropriate. When the conference call method is utilized, upon request of any party, or at the direction of the administrative law judge, the conference shall be reported or recorded by appropriate means as determined by the administrative law judge, and shall become part of the official record of the proceeding.
(f) At or after any prehearing conference held pursuant to this section, an order shall be entered reciting the action taken. Absent a showing of good cause for modifying or deviating from the terms of the order, it shall control the subsequent course of the proceeding. It may be served on the parties by FAX, expedited mail or other means as the administrative law judge may determine. Should any party believe the order to be inaccurate or incomplete, that party shall promptly file a motion to correct the order with the administrative law judge as provided in section 20241.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Repealer and new section filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Amendment of subsections (c)(1) and (e) and new subsection (f) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment of subsection (d) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20250. Issuance of Subpoenas and Notices to Appear or Produce; Petitions to Revoke; Right to Inspect or Copy Data.
Note     •     History

(a) Any member of the Board, or the executive secretary, regional director, or any person authorized by the Board, executive secretary or regional director shall upon the ex parte request of any party, prior to hearing, issue subpoenas as provided for in this section requiring the attendance and testimony of witnesses and/or the production of any materials including, but not limited to, books, records, correspondence or documents in their possession or under their control. Requests for subpoenas during the hearing shall be made to the administrative law judge.
(b) The subpoena shall show on its face the name, address, and telephone number of the party at whose request the subpoena was issued. A copy of a declaration under penalty of perjury shall be served with a subpoena duces tecum issued before hearing, showing good cause for the production of the matters and things described in such subpoena, specifying the exact matters or things desired to be produced, setting forth in full detail the materiality thereof to the issues involved in the case, and stating that the witness or party has the desired matters or things in his or her possession or under his or her control.
(c) Service of subpoenas shall be made pursuant to sections 20164, 20166, and 20168. The service must be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance.
(d) In order to obtain the attendance of a party to the matter, or of anyone who is an officer, director, supervisor, or managing agent of any such party, the service of a subpoena upon any such witness is not required following issuance of a complaint if written notice requesting such witness to attend the hearing of the matter, with the time and place thereof, is served upon the attorney for such party. Such notice shall be served at least 10 days before the time required for attendance unless the Board prescribes a shorter time. The giving of such notice shall have the same effect as service of a subpoena on the witness, and the parties shall have such rights and the Board may make and seek such orders, including the imposition of sanctions, as in the case of a subpoena for attendance before the Board. The witness shall be entitled to fees as if served pursuant to Labor Code Section 1151.4(a).
(e) If the notice specified in subdivision (d) is served at least 10 days before the time required for attendance, or within such shorter time as the Board may order, it may include a request that such party or person bring books, documents or other things. The notice shall be accompanied by a copy of a declaration under penalty of perjury showing good cause for the production of the matters and things described in such notice, specifying the exact matters or things desired to be produced, setting forth in full detail the materiality thereof to the issues involved in the case, and stating that the witness or party has the desired matters or things in his or her possession or under his or her control.
(f) Any person on whom a subpoena or a notice to appear (described in subsections (d) and (e)) is served who does not intend to comply shall, within five days after the date of service, petition in writing to revoke the subpoena or notice. Such petition shall explain with particularity the grounds for objecting to each item covered by the petition and shall have attached a copy of the subpoena or notice. The petition to revoke shall be served as provided in sections 20160, 20164, and 20166 by or on behalf of the person seeking revocation upon the party at whose request the subpoena was issued or who issued the notice. If the petition to revoke is filed after the issuance of a complaint but prior to the prehearing conference, the petition shall be filed with the executive secretary. A copy shall be served on the party issuing the subpoena or notice in compliance with sections 20160, 20164, and 20166. A petition to revoke filed at or after the prehearing conference or during the hearing shall be filed with the administrative law judge who may rule on the matter. If the subpoena has been served less than five days before the hearing, the petition to revoke is due on the first day of the hearing except that the administrative law judge, upon a showing of good cause, may grant up to five days for filing a petition to revoke. For a subpoena issued during the hearing, any petition to revoke shall be due at the time specified in the subpoena for compliance unless further time, up to five days, is granted by the administrative law judge. Responses to petitions to revoke shall be allowed only upon leave of the Executive Secretary or assigned administrative law judge, and on such terms as he or she deems appropriate.
(g) When a party serves a subpoena for the production of records of the Board or for the testimony of a Board agent, the general counsel may represent the Board or the Board agent and may, if appropriate, move to revoke the subpoena on the grounds stated in subsection (h) below.
(h) The Board or administrative law judge, as the case may be, shall revoke the subpoena or notice in whole or in part if the evidence required to be produced does not relate to any matter in question in the proceedings, or the subpoena or notice does not describe with sufficient particularity the evidence whose production is required, or the testimony or records sought are privileged or otherwise protected or deal with a matter not subject to review, or the subpoena is otherwise invalid. The scope of a subpoena or notice may be limited if the Board or administrative law judge determines that the material sought is: (i) unreasonably cumulative or duplicative, or (ii) obtainable from some other source that is more convenient, less burdensome, or less expensive; or (iii) unduly burdensome or expensive to provide, taking into account the needs of the case, the limitation of the resources of the parties, and the importance of the issues upon which it bears. A simple statement of the grounds for the ruling on the petition shall accompany the ruling. The petition to revoke, any answer filed thereto, and any ruling thereon shall become part of the official record upon the request of the party aggrieved by the ruling.
(i) Subpoenas duces tecum (as described in subsections (a) and (b), above) and notices to produce (as described in subsection (d), above) may be served by all parties with return dates for prehearing conferences. Witnesses may be examined orally under oath at such prehearing conferences, subject to the discretion of the administrative law judge, for the limited purpose of identifying and/or authenticating the matters and things produced pursuant to the subpoenas or notices. Such oral examination shall not be for the purpose of generally deposing the witnesses unless the same has previously been ordered by the executive secretary pursuant to the procedures in Section 20246.
(j) Nothing in section 20250 shall compel the disclosure of information which identifies a potential witness whose primary source of income is non-supervisory employment in agriculture unless that individual is a charging party; provided, however, that when a dispute arises concerning the propriety of turning over a writing which would make such identification likely, the privilege created by Evidence Code section 1040(b)(2) is waived to the extent of allowing the administrative law judge to examine the entire document in camera to determine which, if any, portions should be disclosed and which portions should be excised before being turned over; provided further, that this subsection shall not apply to otherwise unprotected or unprivileged business records.
(k) Upon any other failure of any person to comply with a subpoena or notice, the Board may apply to an appropriate superior court for an order requiring such person to appear and produce evidence and give testimony regarding the matter under investigation or in question. A request that the Board apply for an order may be made by the general counsel during investigatory stages of the proceedings or by any party following issuance of a complaint. The administrative law judge will review any requests made in the course of a hearing. If the administrative law judge deems the request appropriate, he or she shall promptly recommend that the Board seek enforcement of the subpoena or notice. The Board shall seek enforcement on relation of the general counsel or a party unless in the judgment of the Board the enforcement of such subpoena or notice would be inconsistent with law or the policies of the Act. If the request is granted, the record will remain open in the matter until the Board determines that the court order will not be forthcoming, or that further delay would frustrate the policies of the Act, or until the testimony sought is included in the record
(l) By causing the issuance of a subpoena or a notice, the attorney or representative or the party, if not represented, certifies that to his or her knowledge, information and belief, and after reasonable inquiry: (i) the testimony or material sought is relevant and material to the issues in the proceeding; (ii) the subpoena or notice is not interposed for any improper purpose, such as to harass or to cause unnecessary delay, or to needlessly increase the cost of litigation; and (iii) the subpoena or notice is not unreasonably or unduly burdensome or expensive, given the needs of the case, given the materials already in the hands of the party seeking the testimony or material, and given the importance of the issues upon which it bears.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Repealer of subsection (e) and renumbering of subsection (f) to (e) filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
4. Amendment of subsections (f), (h) and (j) and new subsection (l) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
5. Amendment of subsections (c)-(f) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20251. Immunity.
Note     •     History

(a) A party intending to call a witness who it believes will, pursuant to a claim of privilege against self-incrimination, refuse to testify or to produce evidence, and for whom the party intends to request, pursuant to section 1151.2(b) of the Act, immunity from prosecution, shall file with the executive secretary a request that the Board grant immunity and direct the witness to testify.
(1) The request shall be filed with the executive secretary no later than 15 days prior to the time specified for compliance with the subpoena, or, if the witness is scheduled to appear at hearing, 15 days prior to the scheduled commencement of the hearing.
(2) A request for a grant of immunity shall contain the following information: the case name and number; the name of the witness; the details of any criminal prosecution currently pending against that witness; the name and address of the district attorney and United States Attorney of each county or district who may have reasonable grounds for objecting to a grant of immunity, including, but not limited to, the district attorney or United States Attorney for any county or district in which a criminal prosecution is currently pending against the witness and the district attorney or United States Attorney for the county or district in which the events to which the witness will testify occurred; why the grant of immunity to the witness will further the purposes and policies of the Act; and any other argument in support of its request that it wishes to make. A copy of the subpoena and any accompanying declaration shall be attached to the request.
(3) Immediately upon receipt of a request for a grant of immunity the executive secretary shall forward a copy of it by certified or registered mail to the California Attorney General and to the district attorney and United States Attonrey of each county or district who may have grounds for objecting to the grant of immunity. The request shall otherwise remain confidential unless and until the witness is called to testify.
Within 10 days of the date on which the executive secretary serves the request, the California Attorney General, a district attorney or a United States Attorney who wishes to oppose the granting of immunity to the witness shall do so by filing a statement in opposition to the grant of immunity with the executive secretary. The statement shall contain a declaration that the prosecuting authority is familiar with the substance of the request and shall set forth the grounds for opposing the grant of immunity.
(b) Immunity may be granted only if no appropriate prosecuting authority has presented reasonable grounds for denying immunity and the testimony sought appears likely to contribute materially to resolution of the issues in the case. A ruling on a request for immunity may be immediately appealed to the Board pursuant to section 20242.
(c) After commencement of a hearing, if a witness refuses to testify, claiming the privilege against self-incrimination, a party may request that the witness be granted immunity from prosecution and compelled to testify, if that party establishes that it could not, with due diligence, have known prior to the hearing that the witness was likely to claim the privilege against self-incrimination.
A request for a grant of immunity made for the first time during a hearing must be submitted in writing to the administrative law judge or investigative hearing examiner conducting the hearing and must contain the information specified in subsection (a)(2), above. The administrative law judge shall immediately forward such a request to the executive secretary for disposition by the Board and shall proceed with the hearing by taking the testimony of other witnesses if to do so appears feasible. The administrative law judge or investigative hearing examiner may order a continuance of the hearing pending disposition by the Board of a request for a grant of immunity.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1151.2, Labor Code.
HISTORY

1. New section filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Editorial correction of subsection (c) (Register 81, No. 46).
3. Amendment of subsection (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of subsections (a)(2), (a)(3), (b) and (c) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20255. Refusal of a Witness to Answer.
Note     •     History

The refusal of a witness at any hearing to answer any question which has been ruled proper shall, in the discretion of the administrative law judge, be grounds for striking all testimony previously given by such witness on related matters and/or for making such inferences as may be appropriate under the circumstances, unless the refusal to answer is privileged.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20260. Hearings.
Note     •     History

If there is a conflict in the evidence upon which an unfair labor practice is based, an evidentiary hearing shall be held. The hearing shall be public. If there is no conflict in the evidence, the parties may, where appropriate, file with the Board a stipulated set of facts and briefs and request permission to make oral arguments concerning matters of law.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20261. Time of Hearings.
Note     •     History

Hearings may be held at any time that the administrative law judge considers appropriate. Hearings shall continue from day to day until completed or recessed. Once a hearing has commenced, continuances or recesses will not be granted except in extraordinary circumstances, and then only by order of the executive secretary or, for recesses of two (2) working days or less, by order of the assigned administrative law judge.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20262. Administrative Law Judges; Powers.
Note     •     History

The hearing shall be conducted by an administrative law judge designated by the Board, unless the Board or any member of the Board presides. The duty of the administrative law judge is to inquire fully into the facts as to whether the respondent has engaged in or is engaging in an unfair labor practice as set forth in the complaint or amended complaint. Between the time he or she is designated and the time the case is transferred to the Board the administrative law judge shall, subject to the limitations specified elsewhere in these regulations, have authority, with respect to cases assigned to him or her:
(a) To administer oaths and affirmations;
(b) To grant applications for subpoenas;
(c) To rule upon petitions to revoke subpoenas or notices to appear or produce, and to impose sanctions for failure to comply with appropriate subpoenas or notices to appear or produce;
(d) To require and/or rule upon offers of proof;
(e)(1) To regulate the course of the hearing, including the power, consistent with section 20800, to exclude from the hearing any person who engages in disruptive or abusive conduct.
(2) In excluding any person from a hearing, the administrative law judge shall state on the record the specific facts upon which the order of exclusion is based and submit to the Board a written statement of the specific facts which constitute the misconduct. The statement of facts with original and six copies shall be filed with the executive secretary and served on all parties to the hearing. The person excluded from a hearing may file a written response to the administrative law judge's written statement submitted to the Board. A ruling whereby any person is ejected from a hearing may be immediately appealed to the Board pursuant to section 20242.
(f) To conduct and regulate the course of pre-hearing conferences, settlement conferences, and hearings, to inquire fully into the basis for settlement submitted to them for recommendation, and to approve settlements as provided in section 20298.
(g) To dispose of procedural requests, motions, or similar matters; to dismiss complaints or portions thereof;
(h) To approve a stipulation voluntarily entered into by the parties;
(i) To make and file decisions in conformity with the Act and these regulations;
(j) To call, examine, and cross-examine witnesses and to require the production of and introduce into the record documentary or other evidence;
(k) To request the parties at any time during the hearing or pre-hearing conference to state their respective positions concerning any issue in the case or theory in support thereof either orally or in writing;
(l) To request that the Board seek a court order to compel compliance with a subpoena;
(m) To issue protective orders as may be appropriate and necessary; and
(n) To carry out the duties of administrative law judge as provided or otherwise authorized by these regulations or by the Act.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1145, 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment of subsections (d) and (k) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
3. Amendment of subsections (d), (e)(2) and (f) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of subsections (c) and (e)(1) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20263. Disqualification of Administrative Law Judge.
Note     •     History

(a) No administrative law judge shall try any motion, hearing, or other proceeding which involves a contested issue of law or fact when it shall be established as hereinafter provided that such administrative law judge is prejudiced against any party or attorney or the interest of any party or attorney appearing in such action or proceeding.
(b) Whenever an administrative law judge shall have knowledge of any fact, which by reason of bias or prejudice makes it appear probable that a fair and impartial hearing cannot be held before him or her, it shall be his or her duty to immediately notify the executive secretary, setting forth all reasons for his or her belief.
(c) Any party may request the administrative law judge to disqualify himself or herself whenever it appears that it is probable that a fair and impartial hearing cannot be held by the administrative law judge to whom the matter is assigned. Such request shall be written, or if oral, reduced to writing within 24 hours of the request. The request shall be under oath and shall specifically set forth all facts constituting the ground for the disqualification of such administrative law judge. The request must be made prior to the taking of any evidence in an evidentiary hearing or the actual commencement of any other proceeding.
If such administrative law judge admits his or her disqualification, such admission shall be immediately communicated to the executive secretary who shall designate another administrative law judge to hear the matter.
Notwithstanding his or her disqualification, an administrative law judge who is disqualified may request another administrative law judge who has been agreed upon by all parties to conduct the hearing.
(d) If the administrative law judge does not disqualify himself or herself and withdraw from the proceeding, he or she shall so rule on the record, state the grounds for the ruling, and proceed with the hearing and the issuance of the decision. The party requesting the disqualification may file exceptions to the hearing on the ground of the personal bias or disqualification of the administrative law judge along with exceptions to the decision.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section heading and section filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20266. Unavailability of Administrative Law Judge.
Note     •     History

If the administrative law judge assigned to a hearing becomes unavailable for any reason, at any time between the beginning of the hearing and the issuance of the decision, the Board may transfer the case to itself for purposes of completing the hearing and decision, or the chief administrative law judge may designate another administrative law judge for such purpose.
NOTE

Authority cited: Section 1144, Labor Code, Reference: Sections 1145, 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment of section heading and section filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20268. Parties, Intervention.
Note     •     History

The necessary parties to an unfair labor practice hearing are the general counsel and the respondent. The charging party may become a party to the hearing as a matter of right by notifying the Board or the assigned administrative law judge, orally or in writing, of its desire to intervene, provided that such notice is given prior to or at the prehearing conference. Thereafter, intervention shall be by motion to the assigned administrative law judge who shall grant the motion upon good cause shown for the failure to intervene earlier and upon such terms as he or she deems proper. Other persons may intervene and thereby become party to the hearing at the discretion of the executive secretary or the assigned administrative law judge by filing an appropriate motion.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20269. Rights of Parties to a Hearing.
Note     •     History

Any necessary party and any person granted party status pursuant to section 20268 shall have the right to appear at the hearing in person, or by counsel or other representative; to call, examine, and cross-examine witnesses; to introduce all relevant and material evidence, except that the participation of any intervening party may be limited by the administrative law judge.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
2. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Amendment filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20270. Exclusion from Hearing.
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Repealer filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20272. Evidence.
History

HISTORY

1. Repealer filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
§20274. Production of Statements of Witnesses After Direct Testimony.
Note     •     History

(a) After direct examination of a witness, and upon motion of any party, the administrative law judge shall order the production of any statements of the witness in the possession of any other party that relate to the subject matter of the testimony. Should the statements produced be in a language other than English, a translation of the statement shall be made by the official interpreter retained for the proceeding.
(b) A statement includes a written declaration by the witness, signed or otherwise adopted or approved by him or her, or a recording or transcription of a recording which is a verbatim recital of an oral statement that was recorded at the time the statement was made.
(c) If the party sponsoring the testimony claims that a statement ordered to be produced under this section contains matter which does not relate to the subject matter of the testimony or matter which is privileged, the party shall deliver the statement to the administrative law judge for his or her private inspection. The administrative law judge may excise those portions of the statements which do not relate to the subject matter of the testimony or the subject matter of the hearing, or which are privileged. The remainder of the statement shall be delivered to the moving party.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a) and 1160.2, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Editorial correction of Note filed 2-16-83 (Register 83, No. 8).
3. Amendment of subsections (a) and (c) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20276. Reporting of Hearings.
Note     •     History

The hearing and the prehearing conference shall be reported or recorded by any appropriate means designated by the Board. The transcript of the reporter or the recorded tapes shall constitute the official record of the hearing or prehearing conference. In case of material inaccuracies, corrections may be made by motion presented to the administrative law judge or, after the case has been transferred, to the Board.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20277. Close of Hearing; Argument.
Note     •     History

Any party may present an oral argument on the record at the close of the taking of testimony.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
§20278. Briefs to the Administrative Law Judge.
Note     •     History

(a) Except as provided in subsection (e) below, following the close of the hearing, any party may file a post-hearing brief.
(b) Where no party orders transcripts prior to the close of the hearing, any brief shall be filed within 20 days of the close of the hearing or within such other period as the assigned administrative law judge may direct.
(c) Where any party orders a transcript prior to the close of the hearing, any brief shall be filed within 20 days of the postmark date of mailing of the last volume of the transcript or within such other period as the assigned administrative law judge may direct.
(d) Briefs shall be filed with the executive secretary and served on the parties as defined in section 20130 and in the manner provided in sections 20160 and 20166 and, in addition, a copy shall be served on the assigned administrative law judge. Briefs filed by parties shall, so far as possible, cite to those portions of the transcript which support their position. No brief shall exceed 50 pages in length except that, upon prior request, the administrative law judge may permit longer briefs when necessary. Any brief which exceeds 20 pages shall contain a table of contents and a table of authorities cited. Any table of contents or table of authorities shall not be counted as part of the 50 pages.
(e) The administrative law judge may order briefs dispensed with and the case submitted upon oral argument on the record at the close of the taking of testimony where: (1) the administrative law judge assigned to the hearing determines: (i) that counsel will be able to effectively present their positions orally and (ii) determines that the legal and factual issues are not sufficiently novel or complex so as to necessitate briefing; and (2) the parties are given sufficient time after issuance of the order to prepare the oral argument. In addition, in all cases the administrative law judge assigned to the hearing shall have the discretion to limit briefing to specified topics or issues, or to direct limited briefing on an expedited schedule either before or after receipt of transcripts.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
4. Amendment of subsections (a), (b), (c) and (d) and new subsection (e) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
5. Amendment of subsection (e) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20279. Administrative Law Judge's Decision.
Note     •     History

The administrative law judge shall file a decision with the executive secretary within 30 days of the administrative law judge's receipt of all transcripts or records of the proceedings, exhibits, and briefs from those parties who submit briefs, or within such other period as the executive secretary may direct in extraordinary circumstances. The decision shall contain findings of fact, conclusions of law, and the reasons for the conclusions. If the administrative law judge finds that an unfair labor practice has been committed, the decision shall contain an order for such affirmative action by the respondent as will effectuate the policies of the Act.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
4. Amendment of section heading and section filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20280. Transfer of Case to Board; Contents of Record.
Note     •     History

(a) Upon the filing of the decision of the administrative law judge, the case shall be deemed transferred to the Board, and the executive secretary shall serve copies of the decision of the administrative law judge on all the parties pursuant to section 20164.
(b) The charge upon which the complaint was issued and any amendments thereto, the complaint and any amendments thereto, notice of hearing, answer and any amendments thereto, motions, responses, rulings, orders, the official record of the prehearing conference and of the hearing, stipulations, exhibits, documentary evidence, depositions, post-hearing briefs, the administrative law judge's decision and exceptions thereto, supporting briefs, and any answering briefs as provided in section 20282 shall constitute the record in the case.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. Amendment filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Amendment of subsection (a) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20282. Exceptions to the Administrative Law Judge's Decision.
Note     •     History

(a) Within 20 days after the service of the decision of the administrative law judge, or within such other period as the executive secretary may direct, any party may file with the executive secretary for submission to the Board the original and seven copies of exceptions to the decision or any other part of the proceedings, with an original and seven copies of a brief in support of the exceptions, accompanied by proof of service, as provided in section 20160 and 20166.
(1) The exceptions shall state the ground for each exception, identify by page number that part of the administrative law judge's decision to which exception is taken, and cite to those portions of the record which support the exception.
(2) A brief in support of exceptions which exceeds 20 pages shall contain a table of contents and a table of authorities cited. No brief shall exceed 50 pages in length, except that upon prior request the executive secretary may permit longer briefs when necessary. The table of contents and the table of authorities cited shall not be counted as part of the 50 pages. If a post-hearing brief is incorporated by reference, the portions incorporated shall be identified by page number and shall count as part of the 50-page limitation on the brief in support of exceptions.
(b) Within ten (10) days following the filing of exceptions or within such other period as the executive secretary may direct, a party opposing the exceptions may file with the executive secretary for submission to the Board, an original and (7) seven copies of a brief answering the exceptions. An answering brief that exceeds 20 pages shall contain a table of contents and a table of authorities cited. This brief shall not exceed 50 pages in length, except that upon prior request the executive secretary may permit longer briefs when necessary. The table of contents and the table of authorities cited shall not be counted as part of the 50 pages. The answering brief shall be filed and served in accordance with sections 20160 and 20166.
(c) No further brief shall be filed except as requested by the Board. No extensions of time will be given to file exceptions or briefs except in extraordinary circumstances. Unless permission to file a brief exceeding the page limitations specified in subsection (a)(2) and (b) above has been obtained from the executive secretary in advance, only the first 50 pages of exceptions briefs and answering briefs shall be accepted and filed. Anything in excess of 50 pages will be returned to the party and will not be considered by the Board.
(d) No matter not included in the exceptions filed with the board may thereafter be raised by any party before the Board.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. Amendment of subsection (a) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
4. Amendment of subsections (a) and (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
5. Amendment of subsections (a) and (a)(1) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20284. Transcriptions.
History

HISTORY

1. Repealer filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
§20286. Board Action on Unfair Labor Practice Cases.
Note     •     History

(a) If no exceptions are filed, the decision of the administrative law judge shall automatically become final 20 days after the date on which the decision of the administrative law judge is served on the parties. Unless expressly adopted by the Board, the statement of reasons in support of the decision shall be without precedent for future cases.
(b) Where one or more parties take exception to the decision of the administrative law judge, the Board shall review the applicable law and the evidence and determine whether the factual findings are supported by a preponderance of the evidence taken.
(c) A party to an unfair labor practice proceeding before the Board may, because of extraordinary circumstances, move for reconsideration or reopening of the record after issuance of the Board's final decision and order, in accordance with the provisions set forth in section 20160(a)(1), and served on the parties, in accordance with the provisions set forth in sections 20166 and 20168. The motion may alternatively request reconsideration and reopening. Such motions shall be in writing and state with particularity the grounds for reconsideration or reopening. Any motion pursuant to this section shall be filed within 10 days after the service of the Board's final decision and order. A motion filed under this section shall not operate to stay the decision and order of the Board.
(d) A party to an unfair labor practice proceeding may, because of extraordinary circumstances, move for reconsideration of the record after issuance of any Board action other than a final decision and order, in accordance with the provisions set forth in section 20286(c), except that the motion and supporting documents must be filed within five days after service of the non-final Board action.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2, and 1160.3, Labor Code.
HISTORY

1. Amendment of subsection (c) and new subsection (d) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Editorial correction adding NOTE filed 2-16-83 (Register 83, No. 8).
3. Amendment of subsections (c)-(d) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
4. Amendment of subsections (a) and (b) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20287. Precedential Nature of Board Decisions.
Note     •     History

All Board decisions published in the format bearing a volume and decision number (example: 1 ALRB No. 1) shall constitute precedent for future cases. Numbered administrative orders shall be precedential only if expressly so designated by the Board.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20290. Initiation of Compliance Proceedings.
Note     •     History

(a) If it appears that a controversy exists with respect to the compliance with a Board order, a court decree enforcing a Board order, or an administrative law judge's decision which has become final, and such controversy cannot be resolved without a  formal proceeding, the regional director shall issue in the name of the Board and serve on all parties a compliance specification as provided in subsections (a), (b), (c) or (d) of section 20291. The specification shall be consistent with precedent under the Act and shall contain, or be accompanied by, a notice of hearing. In the alternative and in appropriate circumstances, the regional director shall issue and serve on the parties a notice of hearing without a specification as provided in section 20291(e). The notice of hearing with or without specification may provide for a hearing to be held before an administrative law judge not less than fifteen (15) days after the service of the notice; it shall be filed with the executive secretary and served on each party as provided in sections 20160 and 20164.
(b) Whenever the regional director deems it appropriate in order to effectuate the purposes and policies of the Act or to avoid unnecessary costs and delay, he or she may consolidate with a complaint and notice of hearing issued pursuant to section 20220, a compliance specification based on that complaint. After the opening of the pre-hearing conference, consolidation shall be subject to approval of the administrative law judge or the Board as provided in section 20244. Issuance of a compliance specification shall not be a prerequisite or bar to Board initiation of proceedings in an administrative or judicial forum which the Board or regional director determines to be appropriate for obtaining compliance with a Board order.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. New section filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
3. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
4. Repealer and new section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20291. Contents of Compliance Specification or Notice of Hearing without Specification.
Note     •     History

(a) Contents of specification with respect to allegations concerning the amount of backpay due. With respect to allegations concerning the amount of backpay due, the specification shall specifically and in detail show, for each employee:
(1) The backpay period;
(2) The amount of gross backpay owed, the method of its computation, the data used in making the computation, and the reasons for selecting the method and data utilized;
(3) The amount and source of interim earnings, the method of allocation, e.g., weekly average, and the reasons for selecting that method;
(4) Amount and type of expenses claimed;
(5) Net backpay, including the method of calculation and the reasons for selecting that method.
(6) Missing or deceased discriminatees and the requested method for handling their claims;
(7) The interest due to the date of the specification and a demand for appropriate interest thereafter;
(8) Any other pertinent information.
(b) Contents of specification with respect to allegations concerning the amount of bargaining makewhole due. The bargaining makewhole specification shall specifically and in detail show for all employees entitled to bargaining makewhole, including employees entitled to a makewhole supplement to backpay:
(1) The bargaining makewhole period;
(2) Actual gross earnings, or gross backpay for discriminatees not working during the bargaining makewhole period;
(3) The bargaining makewhole wage rate; the comparable contract(s) or other economic measures upon which it is based, together with the reasons for their selection; and the manner in which the makewhole rate was derived from the comparable contract(s) or other economic measures;
(4) Fringe benefits owed, the contract(s) or other economic data from which they were derived, the reasons for utilizing the contract(s) or other data, and the method by which fringe benefits were derived from the contract(s) or other data;
(5) Net bargaining makewhole and/or bargaining makewhole supplement due;
(6) The interest due to the date of the specification and a demand for appropriate interest thereafter;
(7) Any other pertinent information;
(c) Contents of specification with respect to allegations other than the amount of backpay or makewhole due. With respect to allegations other than the amount of backpay or makewhole due, the specification shall contain a detailed description of the respects in which the person(s) named as respondent(s) have failed to comply with the Board order, court decree, or final administrative law judge's decision, including the remedial acts claimed to be necessary for compliance by the respondent(s).
(d) Use of Partial Specifications. Where, for good cause alleged and established at hearing, the regional director is unable to prepare a full specification as described in subsection (a), (b) or (c) above, he or she may issue a partial specification alleging in detail all information which is reasonably ascertainable, and the matter shall proceed on that basis.
(e) Use of Notice of Hearing without Specification. In appropriate circumstances, the regional director may issue a notice of hearing without a specification, containing a clear and detailed statement of the matter(s) in controversy and any relief sought. The regional director shall include in the notice of hearing the reason or reasons for dispensing with a specification and must substantiate such reason(s) if they are called into question during the course of the proceedings.
(f) Issues Involving Derivative Liability. Where the regional director believes that a person or persons not named in a Board order, court decree, or final administrative law judge's decision, is jointly or derivatively liable to comply with such order, decree, or decision, that liability may be determined in a compliance proceeding initiated under subsection (a), (b), (c), (d), or (e) above, in which the regional director has named the person or persons as respondent(s) and has alleged the legal and factual basis for their joint or derivative liability.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20292. Answer to Compliance Specification.
Note     •     History

(a) Filing and Service of Answer; Form. Each person alleged as a respondent in the specification or notice of hearing without specification shall, within fifteen (15) days from the service of the specification or notice of hearing without specification, file and serve an answer thereto as provided in sections 20160 and 20166.
(b) Contents of Answer. The answer shall state which facts alleged in the specification or notice of hearing without specification are admitted, which are denied, and which are outside the knowledge of the respondent or any of its agents. Any allegation not denied shall be considered admitted. Except for matters not reasonably ascertainable by a respondent, a general denial or a denial on information and belief shall not suffice. As to such reasonably ascertainable matters, including, but not limited to, gross backpay, actual wages, comparable contract(s), and fringe benefits, if respondent disputes either the accuracy of the facts or figures in the specification or the premises on which they are based, it shall specifically state the basis for its disagreement, setting forth in detail its position as to the applicable premises and furnishing the appropriate supporting facts and figures, including a specific alternative methodology for computing amounts owed should the respondent dispute the validity of the methodology used in the specification.
(c) Effect of Failure to Answer or to Plead Specifically and in Detail to Backpay and Makewhole Specification. If a respondent fails to file an answer within the time prescribed by this section, the administrative law judge may, either with or without taking evidence in support of the allegations and without notice to the respondent, find the allegations of the specification or the notice of hearing without specification to be true and issue an appropriate recommended order. If a respondent files an answer, but fails to deny any allegation of the specification or notice of hearing without specification in the manner required by subsection (b) of this section, and the failure to deny is not adequately explained, such allegation shall be deemed admitted, and may be so found without the taking of evidence supporting such allegation, and the respondent shall be precluded from introducing any evidence controverting said allegation.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Editorial correction of subsection (c) (Register 96, No. 52).
3. Amendment of subsection (b) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20293. Processing of Compliance Proceedings.
Note     •     History

(a) Specifications, notices of hearings without specification, and answers to them may be amended in the same manner as complaints and answers to complaint.
(b) Specifications and notices of hearing without specification may be withdrawn in the same manner as complaints.
(c) After the issuance of a specification or notice of hearing without specification, the procedures provided for in sections 20235 through 20298 shall be followed so far as applicable.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1160.3, Labor Code.
HISTORY

1. New section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20298. Settlement Agreements; Review of Objections to Settlement Agreements.
Note     •     History

(a) Matters settled: Settlement agreements of all types settle only the allegations contained in the cases, designated by number, which appear in the captions of the agreements and do not constitute settlement of any other cases or allegations, regardless of whether such matters are known to, or readily discoverable by, the General Counsel at the time the agreement is reached.
(b) Difference between formal settlement agreements and informal settlement agreements:
(1) A formal settlement agreement is a written agreement that must be approved by the Regional Director and the Board or the assigned Administrative Law Judge.
(2) An informal settlement agreement is a written agreement that must be approved by the Regional Director, but does not require approval by the Board or assigned Administration Law Judge.
(c) Difference between bilateral and unilateral agreements:
(1) A unilateral settlement agreement is one signed by the Regional Director and the charged party(ies.)
(2) A bilateral settlement agreement is one signed by the Regional Director and both the charging party(ies) and respondent(s) in the case.
(d) Circumstances in which informal and formal settlement agreements are appropriate:
(1) An informal settlement agreement may be used only to adjust a charge or a complaint. It may not be used to adjust a specification, notice of hearing without specification, or previous Board order. It may not be used after the taking of testimony.
(2) A formal settlement agreement may be used to adjust a charge, complaint, specification, notice of hearing without specification, or previous Board order. Any agreement reached after the taking of testimony must be a formal agreement.
(e) Review of informal settlement agreements:
(1) There shall be no review of informal bilateral settlement agreements.
(2) Within 5 days after the Regional Director and the charged party(ies) sign an informal unilateral settlement agreement, the Regional Director shall serve on the charging party(ies) a copy of the agreement and a brief statement of reasons for his/her approval.
(3) Within 10 days after service of the informal unilateral settlement agreement and statement of reasons, the charging party(ies) may file an appeal of the agreement with the General Counsel. A statement of objections to the agreement shall accompany an appeal. A charged party(ies) may file a response within 5 days of service of the appeal.
(f) Review of formal settlement agreements:
(1) Review of formal settlement agreements entered into prior to the taking of testimony or after the issuance of an Administrative Law Judge's decision:
(A) Formal settlement agreements executed before the taking of testimony or after the issuance of an Administrative Law Judge's decision, no matter whether unilateral or bilateral, shall be submitted directly to the Board together with a full statement submitted on behalf of the General Counsel in support of the agreement. If the agreement is unilateral, at the same time as the settlement and the reasons in support thereof are submitted to the Board, they shall also be served upon the charging party(ies). Within 5 days of service of the settlement and statement of reasons, the charging party(ies) may file with the Board a statement of objections to the settlement.
(2) Review of formal settlement agreements entered into after taking of testimony but prior to the issuance of an Administrative Law Judge's decision:
(A) A bilateral formal settlement agreement entered into after the taking of testimony and prior to the issuance of the administrative law judge's decision shall be submitted, together with a full statement in support of the settlement made on behalf of the General Counsel, to the assigned administrative law judge who shall thereupon determine whether the settlement serves the purpose of the Act.
(1) If the assigned administrative law judge recommends approval of the settlement, he/she shall issue an appropriate order, which shall be served upon the parties and shall thereupon become the order of the Board.
(2) If the assigned administrative law judge recommends rejection of the settlement, within 5 days of the rejection, any party may file with the Board a request for review of the administrative law judge's decision.
(B) A unilateral formal settlement agreement entered into after the taking of testimony and prior to the issuance of the administrative law judge's decision shall be submitted, together with a full statement in support of the settlement made on behalf of the General Counsel, to the assigned administrative law judge and served upon the charging party(ies.) If the hearing is in session, the charging party(ies) may make any objection to the settlement upon the record. If the hearing is not in session at the time of submission of the proposed unilateral formal settlement agreement, charging party(ies) shall serve any objections to the settlement upon the administrative law judge, the Regional Director, and the Respondent(s) within 5 days after service of the agreement on the charging party(ies.)
(1) The administrative law judge shall issue an appropriate order recommending approval or rejection of the proposed unilateral formal settlement agreement, which order shall be served upon the parties.
(2) If the administrative law judge recommends approval of the unilateral formal agreement, charging party(ies) shall have five days from service of the order approving the settlements to file a request for review with the Board. If no request for review is filed, the order issued by the administrative law judge shall thereupon become the order of the Board.
(3) If the administrative law judge recommends rejection of the unilateral formal settlement agreement, within five days after service of the order rejecting the proposed settlement, any party may file a request for review of the order rejecting the proposed settlement.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.2 and 1160.3, Labor Code.
HISTORY

1. New section filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of subsection (c) (Register 81, No. 46).
4. Editorial correction of NOTE filed 2-16-83 (Register 83, No. 8).
5. Amendment of subsections (a), (b)(1), (c)(1) and (d)(1) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
6. Amendment of subsections (d)(2) and (d)(3) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
7. Amendment of section heading and repealer and new section filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20299. Agricultural Employee Relief Fund.
Note     •     History

(a) This subsection shall apply to all cases in which the Board has ordered monetary relief for agricultural employees or has issued an order approving a settlement agreement providing for payment of monies to agricultural employees, where the collection of monies pursuant to such orders or settlement agreements occurred on or after January 1, 2002. In addition, this subsection shall apply where the collection of monies occurred prior to January 1, 2002 if the monies were not subject to an enforceable promise to return them to the employer and had not escheated to the State by operation of law as of January 1, 2002.
(1) Where, despite diligent efforts, the Board has been unable to locate employees or any person(s) legally entitled to collect money on their behalf for a period of two years after the date the Board collected monies on behalf of such employees, those monies shall be deposited in a special fund in the State Treasury that shall be named the Agricultural Employee Relief Fund (Fund).
(2) Provisions requiring that monies collected on behalf of employees who are not located within two years after the date of collection be deposited in the Fund may be included, pursuant to the mutual agreement of the Regional Director and the employer, in informal settlement agreements reached in accordance with section 20298.
(b) When a regional director has good cause to believe that the collection of the full amount of monetary relief previously ordered by the Board is not possible after reasonable efforts have been made to collect the balance from the employer, the regional director shall file a motion seeking a finding by the Board that the case is eligible for pay out from the Fund. In the case of formal settlement agreements, as defined in section 20298, where there has been a prior adjudication by the Board of the amounts owing, such adjudication shall define the full amount of monetary relief owing to employees. Where there has not been a prior adjudication of the amount owing to employees, the full amount owing to employees shall be the amount specified in the formal settlement agreement. The motion shall be filed with the Board and served on the parties to the case in accordance with sections 20160 and 20166, and shall be accompanied by a statement describing the collection efforts made to date and the basis for the regional director's belief that collection of the full amount owing is not possible. Any party to the case may file a response within ten (10) days of service of the motion. If the Board grants the motion, the case shall become eligible for pay out from the Fund, in accordance with the provisions below.
(1) Within ninety days after the end of each fiscal year, the Board shall determine the amounts to be paid to eligible employees and shall begin distribution of those amounts.
(2) Employees eligible for pay out from the Fund shall be those entitled to monetary relief pursuant to orders in cases in which the Board has made the Fund eligibility finding specified in subsection (b) above. Such employees shall be included in the next annual determination referred to in subsection (b)(1). Eligibility shall continue for two successive annual determinations. Thereafter, eligibility for pay out from the Fund shall expire. In no event shall an employee be paid an amount from the Fund exceeding the amount owed but not collected from his or her employer.
(3) The amount to be distributed to each employee eligible for pay out shall be calculated as follows. The total amount of unallocated money in the Fund shall be divided by the aggregated total of the amounts owing to eligible employees. The resulting ratio shall be multiplied by the amount owing to each eligible employee to determine the amount to be distributed to each eligible employee. However, if the ratio is greater than one, it shall be deemed to be one for the purpose of calculating the amounts to be distributed and any monies in excess of the amounts necessary for distribution shall remain in the Fund for future distributions. For the purpose of the above calculation, the “amount owing to each eligible employee” shall not include any amounts allocated to the employee in previous fiscal years.
(4) Notwithstanding subsection (3) above, no amount less than ten dollars shall be allocated or distributed to any employee.
(5) Where money from the Fund cannot be distributed because the employee to whom it is assigned cannot be located and/or does not claim the money, the money shall be held in the Fund for distribution to that employee until one year has elapsed from the expiration of eligibility for distribution from the Fund, at which time the claim shall be extinguished and the money shall revert to the Fund for use in making payments to other eligible employees. Eligibility for distribution shall be deemed to have expired after all allocations for which an employee is eligible or upon an employee being allocated 100% of the amount owed, whichever comes first. However, where a claimant can demonstrate that extraordinary circumstances prevented distribution or receipt of monies owing prior to the time that the claim was extinguished, the Board may approve payment of the claim.
(c) The provisions of subsection (b) shall be applied to every distribution from the Fund, unless the Board, within ten (10) days of the determination referred to in subsection (b)(1), finds that application of those provisions will result in manifest injustice. In the event of such a finding, the Board may alter the distribution in order to avoid such injustice.
(d) A motion to make a case eligible for pay out from the Fund pursuant to subsection (b) of this section shall be deemed to include a simultaneous motion to close pursuant to John V. Borchard, et al. (2001) 27 ALRB No. 1. In such event, the filing requirements set forth in this section shall be controlling. In the event that a closed case is later reopened pursuant to the criteria set forth in John V. Borchard, et al. (2001) 27 ALRB No. 1 and further collection of monies from the employer is effectuated, the Fund shall be reimbursed to the extent that the combination of the amount collected from the employer and the amount paid from the Fund exceeds the full amount owed to employees in that case
NOTE

Authority cited: Section 1144, Labor Code.  Reference: Section 1161, Labor Code.
HISTORY

1. New section filed 9-3-2002; operative 10-3-2002 (Register 2002, No. 36).
2. Amendment of subsection (a) filed 4-19-2004; operative 5-19-2004 (Register 2004, No. 17).
3. Amendment of subsections (b)(2) and (b)(5) filed 12-13-2005; operative 1-12-2006 (Register 2005, No. 50).
4. Amendment of subsection (b)(4) filed 4-18-2007; operative 5-18-2007 (Register 2007, No. 16).
Chapter 3. Procedure Under Chapter 5 of the Act for the Determination of Questions Concerning Representation of Employees
§20300. Petition for Certification Under Labor Code Section 1156.3.
Note     •     History

(a) Procedure. A petition for investigation of a question concerning representation under Labor Code Section 1156.3(a), hereinafter called a petition for certification, may be filed as provided for in this part and in the Act. 
(b) Form of the Petition. A petition for certification shall be in writing and signed. Printed forms for such petitions will be supplied by the regional offices of the Board upon request. Such petition shall contain a declaration, signed under penalty of perjury, that the petition's contents are true and correct to the best of the declarant's knowledge and belief.
(c) Amendments. A petition for certification may be amended by the petitioner, upon approval of the regional director, for good cause shown. Any amended petition shall be served upon the employer in accordance with the provisions of subsection (f) below for service of the initial petition. 
(d) Number of Copies of Petition. An original and two copies of the petition for certification shall be filed in the regional office. 
(e) Where Filed. A petition for certification shall be filed in the regional office having jurisdiction over the geographical area in which all or part of the unit encompassed by the petition is located. 
(f) Service of the Petition. A petition for certification shall be served upon the employer in the manner set out herein. In order to be filed, a petition must be accompanied by proof of service of the petition on the employer, either by verified return of the person making personal service or by the return receipt from the post office. Service on the employer may be accomplished by service upon any owner, officer, or director of the employer, or by leaving a copy at an office of the employer with a person apparently in charge of the office or other responsible person, or by personal service upon a supervisor of employees covered by the petition for certification. If service is made by delivering a copy of the petition to anyone other than an owner, officer, or director of the employer, the petitioner shall immediately send a telegram or facsimile transmission to the owner, officer, or director of the employer declaring that a certification petition is being filed and stating the name and location of the person actually served, and shall file with the regional office proof that the telegram or facsimile transmission was sent and received.
(g) Filing of Petition. A petition for certification shall be deemed filed upon its receipt in the appropriate regional office accompanied by proof of service of the petition upon the employer. As soon as possible upon the filing of a petition for certification, the regional office in which the petition is filed shall telephone the employer and give the employer the following information: (1) the date and time of the filing of the petition and (2) the case number assigned to the petition. Notification by telegraph or facsimile transmission shall be permissible in the event that notification by telephone is unavailable or unsuccessful.
(h) Withdrawal of Petition. A petition for certification may be withdrawn only with the consent of the regional director. Whenever the regional director approves the withdrawal of any petition, the matter shall be closed and the parties shall be notified of the withdrawal. 
(i) Dismissal of Petition.
(1) The petition for certification shall be dismissed by the regional director whenever the contents of the petition or the administrative investigation of the petition disclose the absence of reasonable cause to believe that a bona fide question concerning representation exists, or the unit petitioned for is not appropriate, or there is not an adequate showing of employee support pursuant to Section 20300(j).
(2) When the regional director has determined that the petition shall be dismissed, he or she shall issue a dismissal letter to the filing party and the employer setting forth the reasons therefor.
(3) The dismissal of a petition may be reviewed by the Board pursuant to the provisions of Labor Code Section 1142(b) and Section 20393. 
(j) Evidence of Employee Support.
(1) Pursuant to Labor Code Section 1156.3(a), evidence that a majority of the currently employed employees in the bargaining unit sought in the election petition support the petitioner shall be submitted with the petition. Such evidence shall consist of either: (a) authorization cards, signed by employees, dated, and providing that the signer authorizes the union to be his or her collective bargaining representative, or (b) a petition to the same effect signed by employees, each signature dated. No employee authorization dated more than one year prior to the date of filing of the election petition shall be counted to determine majority showing of interest. An authorization card or authorization petition signed by an employee at a time when the employee was not working for the employer named in the election petition shall, if otherwise valid, be counted in determining majority showing of interest.
(2) The regional director shall conduct an administrative investigation to determine whether there exists an adequate showing of employee support, as required by Labor Code Section 1156.3(a), to warrant the conduct of an election.
The administrative investigation may include solicitation from the petitioner and intervenor of their positions with respect to the accuracy and completeness of the employee list submitted pursuant to Section 20310(a)(2). If the regional director determines that there is insufficient showing of interest, he or she may grant the petitioner an additional 24-hour period, from the time the regional director notifies the petitioner that its showing of interest is insufficient, to submit additional showing of interest. Authorization cards or other showing of interest shall be held confidential.
(3) In determining the number of currently employed employees for the purposes of Labor Code Section 1156.3(a) or these regulations, when the number of employees on the employer's list conflicts with the number alleged in the petition, the regional director may independently ascertain by administrative investigation the number of persons actually working in the appropriate payroll period.
(4) Any party which contends that the showing of interest was obtained by fraud, coercion, or employer assistance, or that the signatures on the authorization cards were not genuine, shall submit evidence in the form of declarations under penalty of perjury supporting such contention to the regional director within 72 hours of the filing of the petition. The regional director shall refuse to consider any evidence not timely submitted, absent a showing of good cause for late submission. When evidence submitted to the regional director gives him or her reasonable cause to believe that the showing of interest may have been tainted by such misconduct, he or she shall conduct an administrative investigation. If, as a result of such investigation, the regional director determines that the showing of interest is inadequate because of such misconduct, he or she shall dismiss the petition. Nothing in this subsection shall diminish the applicability of Labor Code Section 1151.6 to instances of forgery of authorization cards.
(5) The regional director's determination of the adequacy of the showing of interest to warrant the conduct of an election shall not be reviewable.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1156.2, 1156.3, 1156.4, 1156.5, 1156.6 and 1156.7, Labor Code.
HISTORY

1. Repealer of Chapter 3 (Sections 20300-20390, not consecutive) and new Chapter 3 (Sections 20300-20393, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
2. Amendment of subsections (j)(1) and (j)(2) filed 12-1-76 as an emergency; effective upon filing (Register 76, No. 49).
3. Certificate of Compliance as to filings of 10-19-76 and 12-1-76 filed 1-12-77 (Register 77, No. 3).
4. Amendment of subsections (d), (f), (g) and (j)(2) and amendment of Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20305. Contents of Petition for Certification; Construction.
Note     •     History

(a) Contents--A petition for certification shall contain the following, in addition to those requirements set forth in Labor Code Section 1156.3(a):
(1) The name and address of the petitioner and its affiliation, if any.
(2) The name, location, and mailing address of the employer.
(3) The nature of the employer's agricultural commodity or commodities encompassed by the unit.
(4) A description of the bargaining unit which the petitioner claims is appropriate. If the unit sought encompasses less than all the agricultural employees of the employer, the petition shall include a specific and complete description of the unit, including its geographical limits, and a statement of inclusion or exclusion of processing or packing sheds or cooling facilities and the location of such sheds or facilities.
(5) The approximate number of employees currently employed in the alleged unit.
(6) Whether a strike is in progress for the unit involved, and if so, the approximate number of employees participating and the date such strike commenced.
(7) A statement of which languages, if any, other than Spanish and English, the petitioner requests be included on the ballots in any election conducted pursuant to said petition and the approximate number of employees who can effectively read the requested language and no other language in which the ballot would otherwise be printed. 
(8) Name and telephone number of one representative of the filing party authorized to make agreements with the Board and the parties and to accept service of papers.
(b) A petition shall be liberally construed to avoid dismissal. In the event that petitioner fails to provide the information required by this section, thereby preventing the regional director from determining the existence of reasonable cause to believe that a bona fide question of representation exists, the regional director may, after consultation with the parties, dismiss the petition and notify the parties of the reasons thereof.
NOTE

Authority cited: Section 1144, Labor Code; Reference: Section 1157, Labor Code.
HISTORY

1. Repealer of subsection (a)(7) and subsection renumbering filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20310. Employer Obligations.
Note     •     History

(a) Employer's Written Response to the Petition. Upon service and filing of a petition, as set forth above, the employer so served shall provide to the regional director or his or her designated agent, within the time limits set forth in subsection (d), the following information accompanied by a declaration, signed under penalty of perjury, that the information provided is true and correct:
(1) The employer's full and correct legal name, a description of the nature of its legal entity, a full and correct address, and the name, address, telephone number, location and title of a person within the employer's organization who is authorized to accept service of papers. Such person shall also be one who is authorized to make agreements with the Board and the parties regarding the petition unless the employer has notified the regional office that it has a designated outside attorney or other outside representative who is to be contacted regarding the petition.
(2) A complete and accurate list of the complete and full names, current street addresses, and job classifications of all agricultural employees, including employees hired through a labor contractor, in the bargaining unit sought by the petitioner in the payroll period immediately preceding the filing of the petition. “Current street addresses” means the address where the employees reside while working for the employer. The employee list shall also include the names, current street addresses, and job classifications of persons working for the employer as part of a family or other group for which the name of only one group member appears on the payroll. If the employer contends that the unit sought by the petition is inappropriate, the employer shall additionally, and within the time limits set forth in subsection (d), provide a complete and accurate list of the names and addresses of the employees in the unit the employer contends to be appropriate, together with a written description of that unit. If an employer chooses to submit, in addition to the information required, W-4 forms, social security numbers, employee signature facsimiles, or similar information, the regional director shall use such information to confirm the validity of the union's showing of interest only to the extent he or she deems appropriate in his or her discretion. Such information may also be used by the regional director to the extent he or she deems appropriate in his or her discretion in order to resolve allegations of fraud in the showing of interest pursuant to Section 20300(j)(4) of these regulations.
(3) The names of employees employed each day during the payroll period immediately preceding the filing of the petition. This information may be submitted in the form of a copy of the employer's original payroll records or in some other form acceptable to the Board agent assigned to the case. The regional offices shall not disclose these records to any party.
(4) The duration and timing of payroll periods for the unit sought, for example, weekly, Sunday-Saturday payroll, or bimonthly payroll commencing on the 1st and 15th of each month. If employees in the unit sought are paid on more than one payroll period, the employer shall give the duration and timing of each payroll period and lists of which employees are covered by each payroll period.
(5) The names, addresses, and telephone numbers of all labor contractors supplying labor during the pertinent payroll period(s).
(6) A statement of the peak employment (payroll period dates and number of employees) for the current calendar year in the unit sought by the petition. If the employer contends that the petition was filed at a time when the number of employees employed constituted less than 50% of its peak agricultural employment for the current calendar year, the employer shall provide evidence sufficient to support that contention.
If it is contended that the peak employment period has already passed, such evidence shall include payroll records which show both the names and actual number of (agricultural) employees employed each day and the number of hours each employee worked during the peak payroll period. If it is contended that the peak payroll period will occur later in the calendar year, such evidence shall include payroll records which show both the names and actual number of (agricultural) employees employed each day and the number of hours each employee worked during the peak payroll period from the previous year(s), as well as any other information in the employer's possession which would be relevant to the determination of peak employment requirements.
(7) If the employer challenges the accuracy of any of the other allegations of the petition required by Labor Code Section 1156.3(a), in particular subsections (a)(2), (3), and (4), the employer shall provide information to support these contentions.
(8) A statement of which languages, if any, other than Spanish and English, the employer requests be included on the ballots in any election conducted pursuant to the petition, and the approximate number of employees who can effectively read the requested language and no other in which the ballot would otherwise be printed.
(b) Form of List. The list included in the employer's written response to the petition for certification should be in the following form:
(1) Typewritten or otherwise legibly prepared.
(2) Alphabetical. However, if the payroll is prepared according to crew or work group, the list should be provided alphabetically within each crew or work group.
(c) Where Provided. The employer's written response to the petition under subsection (a) above shall be presented at the regional office of the Board noted as the place of filing on the face of the petition, unless the employer is notified by an agent of the Board that the case has been transferred to another region, or unless, in any particular case, some other arrangement for making the information available at a different location is agreed to by the regional director or Board agent assigned to the case.
(d) Timing for Filing Employer's Written Response. The requirements set forth above in subsections (a) through (c) shall be satisfied by making such information available in the place specified in subsection (c) above not more than 48 hours after filing of a petition with proof of service. However, when said 48-hour period expires on a Sunday or legal holiday, the time to provide such information shall be extended to the corresponding hour on the next business day following.
(e) Effect of failure to comply with subsections (a) through (d) above:
(1) If an employer fails to comply with the requirements of subsections (a) through (d) above, and such failure frustrates the determination of particular facts, the regional director may invoke any or all of the following presumptions:
(A) That there is adequate employee support for the petition and for any intervention.
(B) That the petition is timely filed with respect to the employer's peak of season.
(C) That all persons who appear to vote, who are not challenged by the board agent or by a party other than the employer, and who provide adequate identification, are eligible voters. This presumption shall be invoked only when no employee list is submitted or when the regional director determines that the list as submitted is substantially inadequate for the purpose of determining employee eligibility. Invocation of this presumption does not prevent the employer's observers from recommending challenges to the Board agent on the grounds listed in Section 20355.
(2) The determination of whether or not an employee list complies with the requirements of these regulations or is timely filed will be made by the regional director. If the regional director determines that a list is not complete or accurate, he or she shall state the reasons therefor in writing and serve pursuant to section 20164 a copy of such written reasons on all parties.
(3) The failure of an employer to provide the information required by subsection (a) within the time period specified shall not be excused by the employer's desire to consult with its attorney or by the failure of the person served pursuant to Section 20300(f) to inform it of the service of a petition for certification on it.
(4) The failure of an employer to provide a complete or accurate employee list shall not be excused by the fact that the employer based its information on information supplied to it by a labor contractor.
NOTE

Authority cited: Section 1144, Labor Code; Reference: Sections 1156.3 and 1156.4, Labor Code.
HISTORY

1. Amendment of subsection (e)(1)(C) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11.)
2. Amendment of subsection (a)(6) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Change without regulatory effect amending subsection (e)(2) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
4. Editorial correction of Reference cite (Register 96, No. 52).
5. Amendment of subsections (a)(2) and (a)(3) filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
6. Amendment of subsection (a)(6) and repealer of subsections (a)(6)(A)-(B) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
§20313. Availability of Employer's Payroll List.

The regional director will make available a copy of the employer's payroll list referred to in Section 20310(a)(2) to the petitioner upon the determination that it has submitted a majority showing of interest and to any intervenor upon the determination that it has submitted a 20% showing of interest.
§20320. Foreign Language Ballots.

Requests pursuant to Labor Code Section 1156.3(a) that the Board make available ballots in a language or languages other than English and Spanish shall be made by any petitioner by completing the appropriate section of the petition for certification form, by any intervenor as part of its written motion to intervene, and by any employer as provided in Section 20310(a)(8). Any supplemental request by a petitioner, intervenor, or employer or any request by an agricultural employee eligible to vote in the election shall be in writing and shall state the languages required and the approximate number of employees who can effectively read the requested language and no other language in which the ballot would otherwise be printed. Such request shall be filed with a regional office of the Board which is processing the petition no later than 24 hours prior to the scheduled time of the election. Where practicable, requests for additional foreign languages on the ballot will be granted.
§20325. Intervention.
History

(a) Subject to the provisions of Labor Code Section 1156.3(b), any labor organization which seeks to intervene in an election proceeding based on a petition filed under Labor Code Section 1156.3(a) must file with the regional office of the Board in which the petition is being processed a written petition for intervention. In order to be filed, an intervention petition must be accompanied by proof of service of the intervention petition on the employer and on the original petitioner. Service of an intervention petition shall be in accordance with the provisions of Section 20300(f) of these regulations. Upon the filing of an intervention petition, the regional director shall notify the employer and petitioner that an intervention petition has been filed.
(b) A petition for intervention shall include: (1) the name and address of the intervening union and its affiliation, if any; (2) the name and telephone number of a representative of the intervenor authorized to make agreements with the Board and the parties and to accept service of papers; and (3) a statement of what language or languages other than English or Spanish are required for the election, if any.
(c) If the intervenor contends that the geographical scope of the unit sought in the election petition is incorrect or challenges any of the allegations in the petition made pursuant to Labor Code Section 1156.3(a), the intervenor shall raise these contentions in the petition for intervention.
(d) The petition shall also be accompanied by evidence of employee support for the intervention by at least 20 percent of the employees in the bargaining unit. The regional director shall determine administratively whether there exists an adequate showing of employee support to permit intervention. If the regional director determines that the showing of interest is inadequate, the deficiency may be corrected up to 24 hours prior to the time of the election. Sections 20300(j)(4) and (5) with respect to challenges to showing of interest and reviewability of the regional director's determination on showing of interest shall be applicable also to showing of interest by an intervenor.
(e) In computing the 24-hour period for intervention provided for in Labor Code Section 1156.3(b) and the 24-hour period permitted for correcting deficiencies in showing of interest as provided by subsection (d) above, Sundays and legal holidays shall be excluded. If the time for filing an intervention petition elapses at a time when the regional office is closed, such petition may be timely filed during the first hour of business on the next business day. When any election is scheduled prior to the opening of business on a Monday or on the day following a legal holiday, a potential intervenor shall notify the regional director of its intention to intervene during regular business hours, and the regional director shall make arrangements to receive the petition at a reasonable hour no later than 24 hours prior to the opening of the polls.
(f) Any labor organization which, prior to the pre-election conference, files with the appropriate regional office a written statement of intention to intervene in a particular election but has not yet filed its intervention petition accompanied by an adequate showing of interest, may send one representative to a pre-election conference which may take place before the period for intervention expires.
HISTORY

1. Amendment of subsection (e) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
§20330. Cross-Petitions.
Note     •     History

(a) Whenever a petition is filed which encompasses a unit for which a valid petition is currently on file, and no election has yet been directed, the Board or the regional director will determine which of the petitions seeks the appropriate unit, in the event the petitions do not seek the same unit. When the petitions seek the same unit an election will be directed in that unit if the regional director determines it to be appropriate. Both petitions shall be deemed to be cross-petitions. As soon as possible after a cross-petition is filed, the regional director or Board agent assigned to the case shall notify the employer and the original petitioner by telephone that a cross-petition has been filed.
(b) When a cross-petition is filed after the Notice and Direction of Election has been distributed but prior to the 24-hour intervention period set forth in Labor Code Section 1156.3(b), the later petition or petitions will be treated as a motion to intervene. A cross-petition which is not accompanied by a majority showing of interest shall be treated as a petition for intervention if it is accompanied by at least a 20 percent showing of interest. Nothing contained in these rules shall preclude an intervenor or cross-petitioner from challenging the appropriateness of the unit in which an election was conducted by filing a petition pursuant to Labor Code Section 1156.3(c).
(c) A cross-petitioner shall be subject to the same obligations with respect to service of the cross-petition as apply to service of the petition by the petitioner pursuant to Section 20300(f). If the cross-petitioner contends that the allegations with respect to peak employment in the original petition are incorrect, it shall raise that contention in writing to the regional director within 48 hours of the filing of the cross-petition.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1156.3, Labor Code.
HISTORY

1. Amendment of subsection (b) and new Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20335. Transfer, Consolidation, and Severance.

(a) Whenever it appears necessary in order to effectuate the purposes of the Act or to avoid unnecessary costs or delay, the Board or the regional director after consultation with the parties, may order that any petition and any proceedings that may have been instituted with respect thereto:
(1) Be consolidated with any other proceedings which may have been instituted in the same region;
(2) Be transferred and continued before the Board for the purpose of investigation or consolidation with any other proceeding which may have been instituted in any regional office;
(3) Be severed from any other proceeding with which it may have been consolidated pursuant to this section; or
(4) Be transferred to and continued in another regional office for the purpose of investigation or consolidation with any proceeding which may have been instituted in or transferred to such regional office.
(b) Whenever a petition under Labor Code Section 1156.3(c) is properly filed, the Board may, at its discretion, sever issues relating to the appropriateness of the bargaining unit, employment peak, or the accuracy of the allegations in the petition made pursuant to Labor Code Section 1156.3(a)(2), (3), or (4).
(c) Whenever a petition under Labor Code Section 1156.3(c), objecting to the conduct of the election or conduct affecting the results of the election is on file, and there is concurrently on file a charge under Chapter 4 of the Act alleging the same or some of the same matter which form the basis of said petition, the Board may request that the unfair labor practice charge receive expedited investigation and processing and, in appropriate circumstances after issuance of a complaint, order that the concurrent unfair labor practice charge and the petition under Labor Code Section 1156.3(c) be consolidated. Any resulting hearing will be governed by the procedures set forth in Chapters 4 and 6 of the Act. The general counsel or his or her representative may participate as a party in any such proceeding.
§20345. Service.
History

Chapter 1.5, section 20150, and following, governing service, shall be applicable to proceedings under this chapter except as otherwise provided herein.
HISTORY

1. Change without regulatory effect amending section filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§20348. Time.
History

Chapter 1.5, section 20170, governing computation of time periods, shall be applicable to proceedings under this chapter except as otherwise provided herein.
HISTORY

1. Change without regulatory effect amending section filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§20350. Election Procedure.
Note     •     History

(a) All elections shall be conducted under the supervision of the appropriate regional director. All elections shall be by secret ballot and shall be conducted at such times and places as may be ordered by the regional director. Reasonable discretion shall be allowed to the agent supervising the election to set the exact times and places to permit the maximum participation of the employees eligible to vote.
(b) Each party may be represented at the election by observers of its own choosing who should be designated at the pre-election conference, but in no event less than 24 hours before the start of the election. Such observers must be non-supervisory employees of the employer, except the petitioner, if an employee, also may not be an observer. Other persons, with the exception of supervisors or the petitioner, may be observers if agreed to by all parties in writing. Observers so designated should not wear or display any written or printed campaign material or otherwise engage in any campaign activities on behalf of any party while acting as observers. The Board agent has the discretion to determine the number of observers which each party may have. Any party objecting to the observers designated by another party must register the objection and the reasons therefore with the Board agent supervising the election by the close of business the day immediately preceding the election. Failure to so register such objections will be construed as a waiver of the right to object to the conduct of the election on such ground. The regional director shall have the discretion to modify the time limits contained in this regulation where a strike election makes such limits impracticable or in other extraordinary circumstances.
(c) All parties shall be required, upon request by the regional director or his or her agent, to cooperate fully in the dissemination to potential voters of official Board notices of the filing of a petition and official Board notices of direction of an election and any other notices which, in the discretion of the regional director or his or her agent, are required to fully apprise potential voters of the time and location of an election.
(d) Unless otherwise directed by the regional director after consideration of the particular circumstances of a case, a pre-election conference shall be held in each case no later than 24 hours before the commencement of the election. Subject to the above limitation, the Board agent assigned to the election shall have discretion to set the time and place of the pre-election conference after consultation with the parties.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3, 1156.7 and 1157.2, Labor Code.
HISTORY

1. Amendment of subsection (b) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment of subsection (b) and new Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
3. Amendment of subsection (b) filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20352. Eligibility.

(a) Those persons eligible to vote shall include:
(1) Those agricultural employees of the employer who were employed at any time during the employer's last payroll period which ended prior to the filing of the petition, except that if the employer's payroll as determined above is for fewer than five working days, eligible employees shall be all those employees who were employed at any time during the five working days immediately prior to the filing of the petition;
(2) Employees who are absent from work during the applicable payroll period but who are receiving pay for that period from the employer, as in the case of employees on paid sick leave or paid vacation;
(3) Employees who would have been on the payroll during the applicable payroll period but for the employer's unfair labor practices; and
(4) Eligible economic strikers.
(b) The following are ineligible to vote:
(1) Supervisors as defined in Labor Code Section 1140.4(j);
(2) Guards employed to enforce against employees and other persons rules to protect property of the employer or to protect the safety of persons on the employer's premises;
(3) Managerial employees;
(4) Confidential employees; and
(5) The parent, child, or spouse of the employer or of a substantial stockholder in a closely held corporation which is the employer.
§20355. Challenges.
History

(a) Any party or the Board agent may challenge, for good cause shown, the eligibility of any person to cast a ballot. Good cause shown shall consist of a statement of the grounds for the challenge, which shall be supported by evidence submitted subsequent to the closing of the polls. Any challenge must be asserted prior to the time that the prospective voter receives a ballot and be limited to one or more of the following grounds:
(1) The prospective voter is a supervisor as defined by Labor Code Section 1140.4(j);
(2) The prospective voter was not employed in the appropriate unit during the applicable payroll period;
(3) The prospective voter is employed by his or her parent, child, or spouse, or is the parent, child, or spouse of a substantial stockholder in a closely held corporation which is the employer;
(4) The prospective voter was employed or his or her employment was willfully arranged for the primary purpose of voting in the election in violation of Labor Code Section 1154.6;
(5) The prospective voter is a guard employed primarily to enforce against employees and other persons rules to protect property of the employer or to protect the safety of persons on the employer's property;
(6) The prospective voter is a managerial or confidential employee;
(7) The prospective voter is not an agricultural employee of the employer as defined in Labor Code Section 1140.4(b); or
(8) The prospective voter's name does not appear on the eligibility list.
(b) Failure to challenge the eligibility of a person to vote prior to his receiving a ballot shall constitute a waiver of the right to challenge that person's vote and any post-election objection raising the issue of the eligibility to vote of a person whose ballot was not challenged at the election shall be dismissed.
(c) Prospective voters, including those whose names appear on the eligibility list, must present identification in order to vote. Identification may be in the form of an employer-provided identification card, a payroll check stub of that employer, driver's license, “green card,” social security card, or any other identification which the Board agent, in his or her discretion, deems adequate. The Board agent will challenge any prospective voter who fails to supply identification as required above, or any prospective voter concerning whom the Board agent concludes there is a substantial question of identity.
(d) Subsequent to the balloting but prior to the tally of ballots, the Board agent supervising the election shall have discretion to rule upon challenged ballots on which all parties agree that there is no factual or legal dispute, or to accept withdrawal of any challenge by the party making the challenge.
HISTORY

1. Amendment of subsection (a) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
§20360. Tally of Ballots.

(a) As soon as possible after completion of the balloting, a Board agent shall count the ballots and shall prepare both a tally of ballots and a list of the names of each person whose ballot was challenged, along with the basis for the challenge and the name of the party making the challenge, and shall furnish both the tally and the list to representatives of all parties who are present. If the ballots are not to be counted immediately after the conclusion of the election, the Board agent shall give advance notice to representatives of all parties of the time and place at which the ballots will be counted. It is the obligation of all parties who are notified of the time and place of the ballot count to have a representative present at the time ballots are counted who is authorized to receive a copy of the tally. The time for filing objections under Labor Code Section 1156.3(c) shall begin to run as soon as the count is completed and the tally prepared, regardless of whether or not all parties are present to receive a copy of the tally.
(b) Notwithstanding any other provision of these rules, the Board shall have the authority acting pursuant to a petition under Labor Code Section 1156.3(c), or on its own motion, without hearing, to issue an amended tally of ballots and appropriate certification in any election in which the Board has acted to resolve issues with respect to challenged voters or to correct mathematical errors in the previous tally of ballots. Except as provided in Section 20375(d), nothing in this rule shall be deemed to extend the period of time for filing a petition under Labor Code Section 1156.3(c).
(c) Whenever it appears necessary, in order to effectuate the purposes and policies of the Act, the Board or the regional director may direct that the ballots cast in an election be impounded. When the ballots are so impounded, the election will not be deemed complete until a ballot count has been conducted and the Board agent has furnished representatives of the parties who are present with a tally and a list of challenged ballots in accord with subsection (a) above.
§20363. Post-Election Determination of Challenges.
Note     •     History

(a) If the tally of ballots discloses that the unresolved challenged ballots are sufficient in number to affect the outcome of the election, the regional director shall, within two (2) working days, forward to the Board all challenged ballot declarations and all other evidence in his or her possession relevant to the eligibility of the challenged voters and shall serve the same on all parties to the election. However, should the evidence include any declarations or statements of non-supervisory agricultural employees other than those of the challenged voters, the regional director shall serve on the parties only a summary of such declarations, prepared in a manner that does not reveal the identity of the declarants. Within ten (10) days of service of the challenged ballot declarations and other evidence, the parties may file with the executive secretary, as agent of the Board, and serve on all other parties to the election, declarations and/or documentary evidence in support of their positions as to the eligibility of the challenged voters, accompanied by argument explaining their positions and the relevance of the proffered evidence. The 21-day period set forth in Labor Code section 1156.3, subdivision (i)(1)(A)(i) shall run from receipt by the Board of the evidence submitted by all parties, or the expiration of the 10-day period to submit evidence, whichever occurs first. Within five (5) days of service of the other parties' evidence and argument, any party may file argument in response. Filing and service shall be in accordance with sections 20160, 20164, 20166, and 20168. At any time after the tally of ballots and prior to the issuance of its decision resolving challenges and/or setting them for hearing, the Board may request that the appropriate regional director conduct such investigation as the Board deems necessary. Any evidence obtained as a result of such investigation shall be submitted to the Board and served on the parties in the same manner as specified above.
(b) The Board shall, after considering the evidence and the parties' arguments, determine which challenges may be resolved thereon and which require the resolution of material factual disputes, and thus must be set for an evidentiary hearing in accordance with section 20370.
(c) In serving declarations and supporting documents on other parties pursuant to subdivision (a) above, the parties shall have the option of serving a detailed statement of facts in lieu of the declarations. This detailed statement of facts shall describe the contents of declarations in sufficient detail to allow an opposing party to secure its own witnesses and otherwise prepare itself to counter the evidence at an evidentiary hearing. A party electing to serve a detailed statement of facts on other parties shall also file the original and six copies of this statement with the executive secretary together with the declarations.
(d) The record before the Board shall consist of: the election petition, the notice and direction of election, the tally of ballots, the evidence and argument submitted by the parties, and the declarations and other evidence forwarded by the regional director.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3 and 1157, Labor Code.
HISTORY

1. New subsection (c) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Change without regulatory effect amending subsection (b) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
3. New subsection (c), subsection relettering and amendment of Note filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
4. Amendment of subsections (a), (b) and (d) filed 4-18-2007; operative 5-18-2007 (Register 2007, No. 16).
5. Amendment of section and Note filed 5-2-2012; operative 5-2-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 18). 
§20365. Post-Election Objections Procedure.
Note     •     History

(a) Time for filing. Within five days after an election, any person may, pursuant to Labor Code Section 1156.3(e), file with the Board a signed petition asserting that allegations made in the election petition filed pursuant to Labor Code Section 1156.3(a) were incorrect, or asserting that the Board or regional director improperly determined the geographical scope of the bargaining unit, or objecting to the conduct of the election or conduct affecting the results of the election. Except as provided in subsections (1), (2) and (3) below, the five-day period begins to run when the election ends. The election ends when the ballots have been counted and a final tally of ballots issues.
(1) If challenged ballots are outcome-determinative or the ballots are impounded, the election ends when the polls close, and the five-day period for filing election objections begins to run at that time. Neither the existence of a determinative number of challenged ballots nor the impoundment of ballots shall extend the period for filing objections, and the subsequent issuance of a revised tally or delayed tally shall not reopen the period for filing objections.
(2) The time for filing objections after a rerun election is governed by Section 20372(c).
(3) The time for filing objections after a run-off election is governed by Section 20375(d).
(b) An objections petition shall be filed by personal service on the executive secretary, as agent of the Board, or by registered or certified mail postmarked within the five-day period. No extensions of time for filing objections shall be permitted, and no amendments to objections petitions shall be permitted for any reason after the five-day filing period has elapsed.
(c) An objections petition filed with the Board shall consist of the original and six copies of the following: the petition pursuant to Labor Code Section 1156.3(e); a detailed statement of facts and law relied upon, as required by subsection (1) below, or declarations in support of the petition, as required by subsection (2) below; a declaration of service upon all other parties, including the regional director, as provided in section 20166, of the objections petition and any detailed statement of facts and law supporting declarations, and seven copies of the following: petition for certification, the notice and direction of election, and the tally of ballots. A party exercising the option provided by subsection (2)(D) below to serve on other parties a detailed statement of facts in lieu of declarations shall file with the executive secretary the original and six copies of said statement and a declaration of service of the statement upon all other parties, as provided in section 20166.
(1) A party objecting to an election on the grounds that the Board or the regional director improperly determined the geographical scope of the bargaining unit, or that the allegations made in the petition filed pursuant to Labor Code Section 1156.3(a) were incorrect, shall include in its petition a detailed statement of the facts and law relied upon.
(2) A party objecting to an election on the grounds that the election was not conducted properly, or that misconduct occurred affecting the results of the election shall attach to the original and each copy of the petition a declaration or declarations setting forth facts which, if uncontroverted or unexplained, would constitute sufficient grounds for the Board to refuse to certify the election.
(A) If more than five declarations are submitted with a petition, each objection therein shall contain a reference, by number, to the declaration or declarations offered in support of that objection.
(B) The facts stated in each declaration shall be within the personal knowledge of the declarant. The details of each occurrence and the manner in which it is alleged to have affected or could have affected the outcome of the election shall be set forth with particularity.
(C) Allegations of misconduct shall include identification of the person or persons alleged to have engaged in the misconduct and their relationship to any of the parties, a statement of when and where the misconduct occurred; and a detailed description of the misconduct including, if speech is complained of, the contents of what was said.
(D) Copies of the declarations and supporting documents or exhibits shall be served upon all other parties with the objections petition, provided that, at the option of the objecting party, a detailed statement of facts may be substituted for the declarations. This detailed statement of facts shall describe the contents of declarations in sufficient detail to allow an opposing party to secure its own witnesses and otherwise prepare itself to counter the objections at an evidentiary hearing. An objecting party electing to serve a detailed statement of facts on other parties shall also file the original and six copies of this statement with the executive secretary together with the declarations.
(3) Documents and exhibits offered in support of the objections petition shall be identified and authenticated.
(4) All declarations shall state the date and place of execution, and shall be signed and certified by the declarant to be true and under penalty of perjury, which certification shall be substantially in the following form: “I certify (declare) under penalty of perjury that the foregoing is true and correct.”
(5) No party may allege as grounds for setting aside an election its own conduct or the conduct of its agents.
(d) Disposition of objections petitions. The Board shall dismiss any objections petition or any portion of such petition which does not satisfy the requirements of subsections (a), (b), and (c). 
(e) With respect to any portion of the petition not dismissed pursuant to subsection (d) above, the Board may:
(1) Direct any party to submit evidence through declarations or documents;
(2) Order the inspection of documents by Board agents or by the parties;
(3) Direct any party to submit an offer of proof;
(4) Obtain declarations from Board agents or other persons;
(5)Conduct investigatory conferences with the parties for the purpose of exploring and resolving factual or legal issues;
(6) Dismiss any portion of the petition which, after investigation and on the basis of applicable precedent, is determined not to be a basis for setting the election aside;
(7) Set aside the election if, after an investigation, it appears on the basis of applicable precedent it would be appropriate to do so, and there are no material factual issues in dispute. 
(f) Where the objections satisfy the requirements of subsections (a), (b), and (c) and there are material factual issues in dispute, the Board shall direct an investigatory hearing pursuant to Section 20370. The hearing shall be strictly limited to the issues set forth in the notice of hearing. Hearings of more than one day's duration shall continue on the next business day and each day following until completed. Requests for continuance shall be granted only in extraordinary circumstances.
(g) Prior to the Board certifying a labor organization as the exclusive bargaining representative as authorized by Labor Code section 1156.3, subdivision (f), or an Investigative Hearing Examiner (IHE) recommending such action, the parties to the election shall be afforded the opportunity to submit written argument addressing whether certification is warranted under the standard set forth in Labor Code section 1156.3, subdivision (f). 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1156.3, Labor Code.
HISTORY

1. Amendment of subsection (c) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of subsection headings and numbers (Register 81, No. 46).
4. Change without regulatory effect amending subsections (c), (e)(7) and (f) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
5. Amendment of subsections (a), (a)(3)-(c), (d)-(e) and (e)(7), repealer of subsections (e)(8) and (f), subsection relettering, amendment of newly designated subsection (f), new subsection (g) and amendment of Note filed 5-2-2012; operative 5-2-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 18). 
§20370. Investigative Hearings--Types of Hearings and Disqualification of IHE's.
Note     •     History

(a) The executive secretary shall appoint an investigative hearing examiner to conduct an investigative hearing on objections filed pursuant to section 20365, on challenges pursuant to section 20363, on extensions of certifications pursuant to section 20382, on petitions seeking clarification of a bargaining unit or amendment of a certification pursuant to section 20385, on petitions to revoke certifications on alleged violations of access rights pursuant to section 20900, or on any other representation matter. No person who is an official or an employee of a regional office shall be appointed to act as an investigative hearing examiner. An investigative hearing examiner is subject to disqualification on the same basis and in the same manner as provided in section 20263 for administrative law judges in unfair labor practice proceedings. If the investigative hearing examiner assigned to a hearing becomes unavailable for any reason at any time between the beginning of the hearing and the issuance of the decision, the executive secretary may designate another investigative hearing examiner for such purpose.
Investigative Hearings--Powers of IHE's
(b) The parties shall have the right to participate in such investigative hearing as set forth in Labor Code sections 1151, 1151.2, and 1151.3. Any party shall have the right to appear at such investigative hearing in person, by counsel, or by other representative, to call, examine, and cross-examine witnesses and to introduce into the record documentary evidence, except that participation of any party shall be limited to the extent permitted by the investigative hearing examiner, and provided further, that documentary evidence shall be submitted in duplicate. The investigative hearing examiner shall have the duty to inquire fully into all matters in issue and to obtain a full and complete record. In furtherance of this obligation, the investigative hearing examiner shall have all of the powers that an administrative law judge has in an unfair labor practice proceeding as enumerated in section 20262, where applicable.
Investigative Hearings--Necessary Parties
(c) The necessary parties to an investigative hearing are the petitioner, the employer, and any other labor organization which has intervened pursuant to section 20325. The regional director or a designated representative of the regional director may participate in an investigative hearing to the extent necessary to ensure that the evidentiary record is fully developed and that the basis for the Board's action is fully substantiated.
Investigative Hearings--Adverse Inference
(d) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted, if it is the sort of evidence upon which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence, but shall not be sufficient in itself to support a finding unless it would be admissible in civil actions. The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing. Irrelevant and unduly repetitious evidence shall be excluded. The refusal of a witness at a hearing to answer any question which has been ruled to be proper may be grounds for striking the portions of the testimony of such witness on related matters and/or for making such inferences as may be proper under the circumstances, unless the refusal to answer is privileged.
Investigative Hearings--Time of Hearings and Continuance During Hearing
(e) Hearings may be held any time that the investigative hearing examiner considers appropriate. Hearings shall continue from day to day until completed or recessed. Once a hearing has commenced, continuances or recesses will not be granted except in extraordinary circumstances, and then only by order of the executive secretary or, for recesses of two (2) working days or less, by order of the investigative hearing examiner.
(f) The hearing shall be recorded by an appropriate means to be designated by the executive secretary. In any case where the investigative hearing examiner is directed to make a tape recording of the hearing, copies of the tape recording shall be made available to any party at cost. Unless otherwise directed by the executive secretary, the tape recording will not be transcribed.
(g) After any party to a representation hearing has completed the presentation of its evidence, any other party, without waiving its right to offer evidence not yet produced in support of its own position, may move for decision in its favor in whole or in part in the same manner and subject to the same inferences, standard, and review as provided in section 20243 for motions for decision in unfair labor practice cases.
(h) At the close of the taking of testimony, any party may request a reasonable period for closing oral argument on the record. Post-hearing briefs shall not be filed unless the investigative hearing examiner determines that, because of the complexity of the issues, he or she requires further briefs as an aid to decision, and then only upon such terms as the investigative hearing examiner shall direct, but shall, in any event, conform to the limitations contained in Section 20370(j)(2).
(i) Within a reasonable time after the close of taking of testimony or within a specific time as may be determined by the executive secretary, the investigative hearing examiner shall issue an initial decision including findings of fact, conclusions of law, a statement of reasons in support of the conclusions, and a recommended disposition of the case. In the absence of timely exceptions, as set forth in subsection (j) below, such decision shall become the decision of the Board. Unless expressly adopted by the Board, the statement of reasons in support of the decision shall have no effect as precedent.
(j) Within 10 days after service of the investigative hearing examiner's decision, or within such other period as the executive secretary may direct, a party may file with the executive secretary the original and six copies of the exceptions and a brief in support of the exceptions to the investigative hearing examiner's decision accompanied by proof of service on all parties pursuant to section 20166.
(1) The brief in support of the exceptions shall state the grounds for each exception, shall identify by page number that part of the investigative hearing examiner's decision to which exception is taken, and shall cite to the portions of the record which support the exception. If the record of the hearing consists of a tape recording made by the investigative hearing examiner, exceptions to findings of fact shall be accompanied by a transcription of those portions of the tape recording relied upon in addition to the references to the location number on the tape where the cited portions occur.
(2) A brief in support of exceptions which exceeds 20 pages shall contain a table of authorities cited. This brief shall not exceed 50 pages in length, except that upon prior request the executive secretary may permit longer briefs where necessary to address factual or legal issues. Each page shall be 8 1/2 inches wide by 11 inches long and shall contain 28 double-spaced lines of pica type. If post-hearing briefs are incorporated by reference, the portions incorporated shall be identified by page number and shall count as part of the 50-page limitation on the exceptions brief. Unless permission to file a brief exceeding the page limitations specified above has been obtained from the executive secretary in advance, only the first 50 pages of briefs in support of the exceptions shall be accepted and filed. Anything in excess of 50 pages will be returned to the party and will not be considered by the Board.
(3) Within seven days following the filing of exceptions, or within such other period as the executive secretary may direct, a party opposing the exceptions may file an original and six copies of a brief in answer to the exceptions, not to exceed 50 pages in length. Each page shall be 8 1/2 inches wide by 11 inches long and shall contain 28 double-spaced lines of pica type. If post-hearing briefs are incorporated by reference, the portions incorporated shall be identified by page number and shall count as part of the 50-page limitation on the answering brief. The answering brief shall be accompanied by a proof of service on all other parties as required by section 20166. Unless permission to file a brief exceeding the page limitations specified above has been obtained from the executive secretary in advance, only the first 50 pages of briefs in answer to the exceptions shall be accepted and filed. Anything in excess of 50 pages will be returned to the party and will not be considered by the Board.
(k) In any case the Board may direct that the record, which shall include the hearing transcript or recorded tapes and all exhibits, be transferred directly to the Board for decision, accompanied by the report from the investigative hearing examiner, if any, and by such briefs from the parties as the Board may direct. If there is no conflict in the evidence to be offered at the hearing scheduled before the investigative hearing examiner, the parties may, where appropriate, file with the Board a stipulated set of facts and their briefs, and request permission to make oral argument concerning matters of law.
(l) Nothing contained in this section shall be construed as controlling a proceeding in which concurrent unfair labor practice charges under Chapters 4 and 6 of the Act have been consolidated with a representation proceeding under Chapter 5 of this Act. The procedures and rights of the parties in such a consolidated proceeding are set forth in Chapter 2 of these regulations covering unfair labor practice proceedings.
(m) The provisions of section 20250 with respect to issuance, service, revocation, and enforcement of subpoenas and notices to appear or produce shall apply to hearings conducted under this section, except that applications for subpoenas made prior to the hearing pursuant to section 20250(a) shall be filed with the appropriate regional director, and petitions to revoke subpoenas or notices which are made prior to the hearing pursuant to section 20250(b) should be filed with the executive secretary who shall refer them to the investigative hearing examiner. References in section 20250 to action by the administrative law judge or by the general counsel shall, for purposes of application of that section to proceedings under this section, be deemed to refer to actions of an investigative hearing examiner or the executive secretary respectively.
(n) The procedures for grants of immunity to witnesses set forth in section 20251 shall apply in representation cases, except that references in that section to action by the administrative law judge shall, for purposes of application of that section to proceedings in representation cases, be deemed a reference to actions of an investigative hearing examiner.
(o) The procedures set forth in section 20246 of these regulations shall apply to the taking of depositions of witnesses in representation cases, except that references in that section to action by the administrative law judge shall, for purposes of application of that section to proceedings in representation cases, be deemed to refer to actions of an investigative hearing examiner and references to the issuance of a complaint shall be deemed to refer to proceedings covered by this section.
(p) The procedures set forth in section 20274 of these regulations shall apply to the disclosure of statements of witnesses in representation cases, except that references in that section to action by the administrative law judge shall, for purposes of application of that section to proceedings in representation cases, be deemed to refer to actions of an investigative hearing examiner.
(q) In any case in which a hearing is conducted pursuant to this section, the record on review by the Board shall consist of: the petition or petitions pursuant to Labor Code sections 1156.3(a) or 1156.7(c) or (d), or the petition or petitions filed pursuant to sections 20363, 20365, 20382, or 20385 of these regulations, any petitions for intervention pursuant to Labor Code section 1156.3(b), the notice and direction of election, the tally of ballots, the order setting the matter for hearing, motions, responses, rulings, the official record of the hearing, exhibits, stipulations, depositions, post-hearing briefs, the decision of the investigative hearing examiner, and the exceptions, cross-exceptions or opposition to exceptions, along with supporting briefs as provided in section 20370(l).
(r) An attorney or representative who has made a general appearance for a party in a proceeding governed by this Chapter may withdraw as follows: (i) upon a written consent executed by both the attorney or representative and by the client or the attorney or representative who will substitute into the proceedings, which shall be filed with the executive secretary; or (ii) by the order of the executive secretary or the Board, if the matter is then pending before it, upon the application of the attorney or representative, after notice from one to the other. Withdrawal or substitution shall be permitted unless to do so would result in serious prejudice to the other parties to the proceeding. Any application or consent filed pursuant to (i) or (ii) above shall contain the address of the client or new attorney or representative for the service of subsequent pleadings and papers. Any application filed pursuant to (ii) above shall, without compromising the confidentiality of the attorney-client relationship, if any, state in general terms the reason for the application.
(s) The provisions of sections 20240 and 20241 with respect to motions, rulings and orders, and section 20242 with respect to appeals therefrom shall apply to all motions filed with the executive secretary prior to or after the close of hearing, and the procedure set forth in section 20241 shall apply to all motions filed with the investigative hearing examiner from the opening to the close of the hearing.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1145, 1151, 1151.3, 1156.3(a), (c) and 1156.7(c), (d), Labor Code.
HISTORY

1. Amendment of subsection (g) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. New subsection (n) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
3. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
4. Editorial correction of lettering of subsections (l), (m), (n) and (o) (Register 81, No. 46).
5. New subsections (c), (e), (g) and (r) and repeal of former subsection (i) and renumbering; amendment of subsections (a), (b), (d), (h), (i), (k), (m), (n), (o), (p) and (q) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
6. Change without regulatory effect amending subsections (j) and (j)(3) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
7. Amendment of subsection (a) and new subsection (s) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
8. Editorial correction of subsection (e) (Register 96, No. 52).
§20372. Rerun Elections.
Note     •     History

(a) The Board may direct a rerun election where circumstances make it physically impossible to determine the outcome of the first election. A rerun election shall be conducted, if possible, within three days of the initial election and the original eligibility list shall be used unless the regional director otherwise directs.
(b) If an objection or objections to an election are filed by a party or parties and if the regional director determines that it will further the purpose of the Act to nullify the first election and conduct a rerun election, then a rerun election may be conducted upon the written consent of all the parties.
(c) In any rerun election held under this section, the time for filing objections to the rerun election shall be measured in accordance with section 20365 from the time of the rerun election.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3(c), and 1157.2, Labor Code.
HISTORY

1. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§20375. Runoff Elections.
Note     •     History

(a) Except as provided below, in any election where no party receives a majority of the valid votes cast, a runoff election between the two parties receiving the greatest number of votes shall be held within seven days from the date of the initial election. All persons eligible to vote in the initial election shall be eligible in the runoff election.
(b) Whenever challenged ballots determine whether or not a runoff will be necessary, or determine who will be parties to the runoff election, the regional director may proceed as follows if it appears that an expedited procedure will enable the Board to conduct a runoff election during the same period of peak employment:
(1) The regional director may conduct an investigation and issue a report on challenged ballots within 48 hours or such additional time as extraordinary circumstances necessitate, file the report with the executive secretary, and contact the parties by telephone or telegram to inform them that the report is available to them.
(2) Any party wishing to except to recommendations in the regional director's report shall file such exceptions with the executive secretary and serve a copy in the appropriate regional office within 48 hours from issuance of the report. Exceptions need not be accompanied by a brief but whether or not a brief is submitted the basis for each exception must be stated in detail.
(3) Upon the expiration of the 48-hour period for filing exceptions, the regional director shall consider any exceptions which have been filed and may reconsider his or her recommendations and prepare and issue a brief supplemental report setting forth any changes in the original resolution. The regional director shall then open and count the challenged ballots in accordance with his or her recommendations, prepare and issue an amended tally and notify the parties whether a runoff election is required, and if so, which parties will appear on the ballot. The runoff election shall be conducted as soon as practicable after issuance of the amended tally, at a time and place designated by the regional director.
(c) If the ballot in the initial election provided for three or more choices, and, after determinative challenged ballots are resolved, none of the choices receives a majority of the votes cast, and
(1) the number of votes cast is equally divided among the several choices, or
(2) the same number of votes was cast for two choices, but that number is less than the number cast for the third choice, the regional director shall declare the initial election a nullity and set it aside. The regional director shall conduct another election within two days, and the ballot in that election shall contain the same choices as appeared on the ballot in the initial election. Only one such additional election may be held.
(d) In cases in which a runoff election is held, election objections filed pursuant to Labor Code Section 1156.3(c) and Section 20365 shall be filed within five days of the runoff election. If the regional director declares after the initial election that a runoff election appears necessary, but after resolution of challenged ballots finds that no runoff election should be held, objections to the initial election shall be due within five days from the determination that no runoff will be held. Any exceptions to the regional director's resolution of challenges under subsection (b) above may be filed as objections under section 20365. Any such objections shall be accompanied by the regional director's report or reports and any exceptions filed thereto, supplemented by a brief and evidence in support of the exceptions.
(e) Only one runoff election shall be held in any case. If a runoff election results in a second tie vote, the election shall be deemed void, and no certification of results shall issue. The provisions of Labor Code Section 1156.5 shall not apply to bar the direction of a new election pursuant to a new petition after an election has been voided under this subsection.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3(c) and 1157.2, Labor Code.
HISTORY

1. Amendment of subsection (a), (b) and (d) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§20377. Elections Under Strike Circumstances.
Note     •     History

(a) Where a petition for certification alleges that a majority of employees are engaged in a strike at the time of the filing, the regional director shall conduct an administrative investigation to determine whether such a majority exists, and shall notify the parties of his or her determination. Where the regional director determines that a majority of employees in the bargaining unit were on strike at the time of filing, he or she shall exercise all due diligence in attempting to hold an election within 48 hours of the filing; however, this shall not be construed to require that an election be held in 48 hours. The holding of elections under strike circumstances takes precedence over the holding of other elections.
(b) The procedures set forth in Chapter 3 of these Regulations shall apply to the conduct of elections under this section insofar as is practicable under strike circumstances. The regional director shall have authority to establish reasonable procedures for the conduct of expedited elections under strike circumstances. In particular, upon notice to and consultation with the parties, he or she may establish procedures for expediting the receipt of information necessary to evaluate showing of interest and timeliness of the petition pursuant to Labor Code Section 1156.4; and may reasonably shorten deadlines specified in Sections 20300(j)(2) and (4), 20310(d), 20325(e), and 20350(d) of these Regulations.
(c) Any party who contends that a 48-hour election is improper shall notify the regional director of its contention and shall submit evidence in the form of written declarations under penalty of perjury supporting the contention and the manner in which the party would be prejudiced. The notification and submission of evidence must be made prior to the pre-election conference. Absent such notice, the regional director's determination shall not be reviewable in post-election objections under Section 20365.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Part 3.5, Division II (commencing with Section 1140), Labor Code.
HISTORY

1. New section filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
§20380. Certification.

The executive secretary shall issue certification of the election after a secret ballot election conducted pursuant to this part:
(a) Upon expiration of five days after service of the tally of ballots in an election, if no petition objecting to the election has been filed pursuant to Section 20365 and if any challenged ballots are not sufficient in number to be determinative of the outcome of the election;
(b) If objections to the conduct of the election are filed or if challenged ballots are sufficient in number to affect the outcome of the election, upon resolution of objections pursuant to Sections 20365 and 20370, unless the Board determines that the election shall be set aside, and upon resolution of determinative challenges, if any, pursuant to Sections 20363 and 20370, and in either case, after expiration of the period for requests for review under Section 20393, or, if such a request for review is filed, after ruling by the Board on such request.
§20382. Extension of Certification, Labor Code Section 1155.2(b).
History

(a) A labor organization certified under Section 20380 may file a petition for extension of the certification not earlier than the 90th day nor later than the 60th day preceding the expiration of a 12-month period following the date of certification. The sole ground for the petition is that the labor organization has requested the employer to bargain, and the employer has failed to bargain in good faith.
(b) The petition for extension of certification shall be submitted under oath and contain the following:
(1) The date of certification;
(2) A description of the progress of negotiations between the labor organization and the employer, including, but not limited to, the requests made by the union to bargain, the dates of meetings between the labor organization and the employer, and the conduct that the labor organization claims constitutes a failure to bargain in good faith; 
(3) Copies of documents and correspondence that support the description of the progress of the negotiations, if relevant; and
(4) The amount of time for which the labor organization requests the certification be extended.
(c) An original and six copies of the petition for extension of certification shall be filed with the executive secretary accompanied by proof of service on the employer pursuant to section 20166.
(d) An employer shall file a response to the petition for extension of certification within 10 days of service of the labor organization's petition. The petition shall be submitted under oath and contain a statement of the following:
(1) Whether the employer agrees with the labor organization's description of the progress of the negotiations;
(2) If not, the employer's description of the progress of the negotiations, along with any relevant documentation; and
(3) Whether the employer objects to an extension of the certification.
(e) An original and six copies of the response to the petition for extension of certification shall be filed with the executive secretary, along with proof of service on the labor organization. If the response is not filed within 10 days, the Board will rule on the petition alone.
(f) The Board shall either grant an extension of certification for a specified time following the end of the first twelve months after the original certification, deny the petition, or notice a hearing. Hearings noticed under this section shall be conducted according to the provisions of Section 20370.
(g) The granting of a petition for extension of certification shall not constitute evidence that an unfair labor practice has been committed. A Board order extending a certification shall not be admissible in an action on an unfair labor practice proceeding under Labor Code Section 1153(e).
HISTORY

1. Change without regulatory effect amending subsection (c) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§20385. Clarification of Bargaining Unit; Amendment of Certification.
Note     •     History

(a) A petition seeking clarification of an existing bargaining unit in order to resolve questions of unit composition which were left unresolved at the time of certification or were raised by changed circumstances since certification may be filed by a labor organization or by an employer where no question concerning representation exists. A petition seeking amendment of a certification to reflect changed circumstances, such as changes in the name or affiliation of the labor organization or in the site or location of the employer, may be filed by a labor organization or by an employer where no question concerning representation exists.
(b) A petition for clarification of an existing bargaining unit or for amendment of a certification shall contain:
(1) the name and address of the petitioner;
(2) the name and address of the employer, the certified bargaining representative, and any other labor organization which claims to represent any employees affected by the proposed clarification or amendment;
(3) a description of the existing certification, including job classifications of employees and location of property covered by the certification;
(4) a description of the proposed clarification or amendment and a statement of reasons why petitioner seeks clarification or amendment; and
(5) any other relevant facts.
(c) A petition under this section shall be filed in the regional office which conducted the election leading to certification, and petitioner shall serve, in the manner provided in sections 20160 and 20166, the executive secretary, all other parties, and any organization named in subsection (b)(2) above. The regional director shall conduct such investigation of the issues raised by the petition as he or she deems necessary. Thereafter the regional director shall issue to the Board a report containing his or her conclusions and recommendations and a detailed summary of the facts underlying them. A copy of the regional director's report shall be served on all parties and any organization named in subsection (b)(2) above. Where, after investigation, the regional director deems it appropriate, he or she may, rather than issuing an investigative report, request permission from the executive secretary to issue a notice of hearing on the question of whether the unit clarification petition or the amendment of certification should be granted or denied. A copy of the notice of hearing shall be served on all parties. Such hearings will be in good accord with section 20370.
(d) The conclusions and recommendations of the regional director in the report provided for in subsection (c) above shall be final unless exceptions to the conclusions and recommendations are filed with the executive secretary by personal service within five days, or by deposit in registered mail postmarked within five days following service upon the parties of the regional director's report. An original and six copies of the exceptions shall be filed and shall be accompanied by seven copies of declarations and other documentary evidence in support of the exceptions. Copies of any exceptions and supporting documents shall be served pursuant to section 20166 on all other parties to the proceeding and on the regional director, and proof of service shall be filed with the executive secretary along with the exceptions.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1156 and 1156.2, Labor Code.
HISTORY

1. Amendment of subsections (b) and (c) and new subsection (d) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment of subsection (c) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
3. Change without regulatory effect amending subsection (d) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
4. Amendment of subsection (b)(3) and amendment of Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20390. Decertification and Rival Union Petitions.
Note     •     History

(a) Where the incumbent union presently has a collective bargaining agreement with the employer, the petition shall contain an allegation that the agreement will expire within the next twelve months or has been in existence for more than three years, and shall be accompanied by evidence of support by 30% or more of the employees currently employed in the bargaining unit.
(b) Where the incumbent union presently does not have a collective bargaining agreement with the employer, the petition shall contain an allegation to that effect, and shall be accompanied by evidence of support by a majority of the employees currently employed in the bargaining unit.
(c) The evidence of support for the petition may be in the form of signatures on a petition or, in the case of a rival union petition, on authorization cards or on a petition. In either case, each signature must be dated.
(d) All petitions for decertification and rival union petitions shall contain the following:
(1) The name, address, and phone number of the petitioner and its affiliation, if any.
(2) The name, address, and phone number of a representative of the petitioner authorized to make agreements with the Board and the parties and to accept service of papers.
(3) The name and address of the incumbent union.
(4) The name, location, and mailing address of the employer.
(5) The nature of the employer's agricultural commodity or commodities encompassed by the unit.
(6) A description of the existing bargaining unit.
(7) The approximate number of employees currently employed in the bargaining unit.
(8) A statement whether a strike is in progress in the unit involved and, if so, the approximate number of employees participating and the date the strike began.
(9) A statement of which languages, other than English and Spanish, the petitioner requests be included on the ballots, and the approximate number of employees requiring such ballots.
(10) An allegation that the number of agricultural employees currently employed by the employer named in the petition, as determined from his payroll immediately preceding the filing of the petition, is not less than 50 percent of his peak agricultural employment for the current calendar year.
(11) An allegation that no valid election has been conducted among the agricultural employees of the employer named in the petition within the 12 months immediately preceding the filing of the petition. 
(12) An allegation that the Board did not certify the incumbent union within the 12 months immediately preceding the filing of the petition.
(e) The procedures set forth in Chapter 3 of these regulations for the service and processing of petitions for certification, election procedures, and post-election procedures shall be applicable to decertification and rival union petitions, except that service of the petition also shall be made upon an officer or director of the incumbent union, or upon an agent of the union authorized to receive service of papers. If service is made by delivering a copy of the petition to anyone other than an officer, director, or agent of the union authorized to receive service of papers of the employer, the petitioner shall immediately send a telegram or facsimile transmission to the officer, director, or agent of the union declaring that a certification petition is being filed and stating the name and location of the person actually served and shall file with the regional office proof that the telegram or facsimile transmission was sent and received.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3 and 1156.7(c) and (d), Labor Code; Montebello Rose Co. (1981) 119 Cal.App.3d 1; and Cattle Valley Farms (1982) 8 ALRB No. 24.
HISTORY

1. Amendment of subsection (b) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
2. Amendment of section heading, section and Note filed 4-19-2004; operative 5-19-2004 (Register 2004, No. 17).
§20393. Requests for Review; Requests for Reconsideration of Board Action; Requests to Reopen the Record.
Note     •     History

(a) Dismissal of a representation petition, cross-petition, or intervention petition by a regional director pursuant to section 20300(i) may be reviewed by the Board pursuant to Labor Code section 1142(b), upon a written request for review filed by the party whose petition was dismissed. The request for review shall be filed with the Board within five days of service of the dismissal upon the party making the request. Requests for review of other delegated action reviewable under Labor Code section 1142(b), except those specifically provided for in subsection (b), infra, shall also be filed with the board within five days of service of notice of the action for which review is requested.  Such requests shall be filed in accordance with the provisions set forth in section 20160(a)(2), and served in accordance with the provisions set forth in sections 20166 and 20168. The request shall set forth with particularity the basis for the request and shall be accompanied by six copies of the following:
(1) the evidence and legal arguments which the party seeking review contends support the request;
(2) the representation petition if the action to be reviewed concerns the dismissal of a representation, intervention, or cross-petition;
(3) the regional director's notice of dismissal of the representation petition, or notice of other action reviewable under Labor Code section 1142(b), and statement of reasons therefor, where applicable; and
(4) evidence that the aforementioned material has been served upon all parties pursuant to sections 20166 and 20168.
(b) Review of any other actions of a regional director or his or her agent pursuant to the powers which may be delegated to him or her under Labor Code Section 1142(b) to determine the unit appropriate for the purpose of collective bargaining, to determine whether a question of representation exists, and to direct an election shall be by means of a petition filed pursuant to Labor Code Section 1156.3(e) and Sections 20363, 20365 and 20370.
(c) A party to a representation proceeding may, because of extraordinary circumstances, move for reconsideration or reopening of the record, after the Board issues a decision or order in the case. A motion under this section must be filed with the Board within five days of service of the decision or order upon the party making the request, in accordance with the provisions set forth in section 20160(a)(2), and served on the parties, in accordance with the provisions set forth in sections 20166 and 20168. A motion for reconsideration or reopening of the record shall set forth with particularity the basis for the motion and legal argument in support thereof and shall be accompanied by proof of service of the motion and accompanying documents upon all parties as provided in sections 20166 and 20168. Only one request for reconsideration of or to reopen the record for any decision or order will be entertained. A motion filed after the issuance of a decision of the Board may alternatively request reconsideration and reopening. A motion filed under this section shall not operate to stay the decision and order of the Board.
(d) The Board, in its discretion, may request a response from the opposing party or parties prior to granting or denying a request for review under subsection (a) above or a request for reconsideration under subsection (c) above. Where an opportunity for response is to be provided, the Board shall serve notice thereof upon all parties as provided in section 20164, and shall set a reasonable period within which the opposing party or parties may file a response. Unless the Board requests it to do so, the party initially requesting review or reconsideration may not submit any material in addition to the petition for review or for reconsideration and its supporting documents.
(e) In any case in which a request for review is filed pursuant to this section of a dismissal of a representation petition, cross-petition or intervention petition by a regional director, the record on review by the Board shall consist of: the petition pursuant to Labor Code Section 1156.3(a), the cross-petition or intervention petition where applicable, the regional director's dismissal letter, and the request for review and supporting evidence and briefs.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1156.3 and 1156.7, Labor Code.
HISTORY

1. Amendment of subsections (a) and (d), and new subsections (e) and (f) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Amendment of subsection (d) filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Editorial correction of subsection (d) (Register 81, No. 46).
4. Amendment of subsections (a) and (f) filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
5. Change without regulatory effect amending subsections (a)(5), (c) and (d) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
6. Amendment of section heading, subsections (a), (a)(5) and (c) filed 10-19-95; operative 11-18-95 (Register 95, No. 42).
7. Amendment of subsections (a) and (a)(2), repealer of subsection (a)(3), subsection renumbering, amendment of subsections (b) and (d), repealer of subsection (f) and amendment of Note filed 5-2-2012; operative 5-2-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 18). 
Chapter 4. Mandatory Mediation and Conciliation
§20400. Filing of Declaration Requesting Mandatory Mediation and Conciliation.
Note     •     History

(a) Where the certification issued prior to January 1, 2003: 
A declaration pursuant to Labor Code section 1164, subdivision (a)(1) may be filed with the Board by either the agricultural employer or the certified labor organization at any time at least 90 days after a renewed demand to bargain, as defined in subdivision (2) below. The declaration shall be served and filed in accordance with sections 20160, 20164, 20166, and 20168. The declaration shall be signed under penalty of perjury by an authorized representative of the filing party, shall state that the parties are subject to an existing certification and have failed to reach a collective bargaining agreement, and shall state that (A) the parties have failed to reach agreement for at least one year after the date on which the labor organization made its initial request to bargain, (B) the employer has committed an unfair labor practice, describing the nature of the violation, and providing the corresponding Board decision number or case number, (C) the parties have not previously had a binding contract between them, and (D) the employer has employed or engaged 25 or more agricultural employees during a calendar week in the year preceding the filing of the declaration. In addition, the declaration shall be accompanied by any documentary or other evidence that supports the above statements and establishes the date of the renewed demand to bargain. 
(1) The unfair labor practice referred to above is one where a final Board decision has issued or where there is a settlement agreement that includes an admission of liability. 
(2) The renewed demand to bargain referred to above is one that occurred on or after January 1, 2003. 
(b) Where the certification issued after January 1, 2003: 
A declaration pursuant to Labor Code section 1164, subdivision (a)(2) may be filed with the Board by the agricultural employer or the certified labor organization at any time at least 90 days after the initial request to bargain by either party following the certification. The declaration shall be served and filed in accordance with sections 20160, 20164, 20166, and 20168. The declaration shall be signed under penalty of perjury, shall state that the parties are subject to an existing certification and have failed to reach a collective bargaining agreement, shall provide the date of the initial request to bargain, and shall state that the employer has employed or engaged 25 or more agricultural employees during a calendar week in the year preceding the filing of the declaration. In addition, the declaration shall be accompanied by any documentary or other evidence that supports the above statements. 
(c) Where the request for mandatory mediation and conciliation is based on certification of a labor organization pursuant to Labor Code section 1156.3, subdivision (f), or the dismissal of a decertification petition pursuant to Labor Code section 1164, subdivision (a)(4): 
A declaration pursuant to Labor Code section 1164, subdivision (a)(3) or (a)(4) may be filed with the Board by the agricultural employer or the certified labor organization at any time at least 60 days after the date the certification was issued or the decertification petition was dismissed, as appropriate. The declaration shall be served and filed in accordance with sections 20160, 20164, 20166, and 20168. The declaration shall be signed under penalty of perjury, shall state that the parties are subject to an existing certification and have no collective bargaining agreement currently in effect, shall provide a citation to the Board order qualifying the request pursuant to Labor Code section 1164, subdivision (a)(3) or (a)(4), and shall state that the employer has employed or engaged 25 or more agricultural employees during a calendar week in the year preceding the filing of the declaration. In addition, the declaration shall be accompanied by any documentary or other evidence that supports the above statements. 
(d) For the purpose of determining the number of declarations permitted to be filed by a labor organization, the term “party” as used in Labor Code section 1164.12 shall refer to the labor organization named in the Board's certifications. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156.3, 1164, 1164.11 and 1164.12, Labor Code.
HISTORY

1. New chapter 4 (sections 20400-20408) and section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19). For prior history of sections 20400, 20430, 20460, 20480 and 20490, see Register 92, No. 4.
2. Amendment of subsection (b), new subsection (c), subsection relettering and amendment of Note filed 5-2-2012; operative 5-2-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 18). 
§20401. Answer to Declaration.
Note     •     History

(a) Within three (3) days of service of a declaration, the other party to the collective bargaining relationship (or alleged bargaining relationship) may file an answer to the declaration. The answer shall be served and filed in accordance with sections 20160, 20164, 20166, and 20168. The answer shall be signed under penalty of perjury by an authorized representative of the filing party, and shall identify any statements in the declaration that are disputed. In addition, the answer shall be accompanied by any documentary or other supporting evidence. If it is claimed that the employer has not engaged 25 or more agricultural employees during any calendar week in the year preceding the filing of the declaration seeking referral to mandatory mediation, payroll records sufficient to support the claim shall be submitted with the answer. Payroll records shall be submitted in electronic form if kept in that form in the normal course of business. 
(b) All statements in a declaration that are not expressly denied in the answer shall be deemed admitted. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1164, 1164.11 and 1164.12, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
§20402. Evaluation of the Declaration and Answer.
Note     •     History

(a) The Board shall dismiss any declaration that fails to include all of the requirements of section 20400, subdivision (a), (b), or (c), as applicable. 
(b) If no answer to the declaration is timely filed, or if the answer admits the truth of all factual prerequisites to the validity of the declaration, the Board shall immediately issue an order directing the parties to mandatory mediation and conciliation and request a list of mediators from the California State Mediation and Conciliation Service, in accordance with Labor Code section 1164, subdivision (b). 
(c) Where a timely filed answer disputes the existence of any of the prerequisites for referral to mediation, the Board shall attempt to resolve the dispute on the basis of the parties' filing and/or upon investigation. The Board shall issue a decision within 5 days of receipt of the answer either (1) dismissing the petition, or (2) referring the matter to mediation, or (3) scheduling an expedited evidentiary hearing to resolve any factual issues material to the question of the existence of any of the prerequisites. 
(d) Where an evidentiary hearing is ordered by the Board pursuant to subdivision (c) above, the hearing shall be in accordance with the following procedures: 
(1) Notice of hearing shall be served in the manner required by Section 20164. 
(2) Parties shall have the right to appear in person at the hearing, or by counsel or other representative, to call, examine and cross-examine witnesses, and to introduce all relevant and material evidence. All testimony shall be given under oath. 
(3) The hearings shall be reported by any appropriate means designated by the Board. 
(4) The hearing shall be conducted by a member(s) of the Board, or by an assigned Administrative Law Judge, under the rules of evidence, so far as practicable; while conducting a hearing the Board member(s) or Administrative Law Judges shall have all pertinent powers specified in Section 20262. 
(5) Requests for discovery and the issuance and enforcement of subpoenas shall be governed by the provisions of section 20406 of these regulations, with the exception that references to “notice of mediation” shall mean notice of hearing, “mediator” shall mean the Board member(s) or assigned Administrative Law Judges who will conduct the hearing, references to “mediation” shall mean the expedited evidentiary hearing provided for in this section. 
(6) The assigned Administrative Law Judge or member(s) of Board who conducted the hearing shall file a decision with the Executive Secretary within ten (10) days from receipt of all the transcripts or records of the proceedings. The decision shall contain findings of fact adequate to support any conclusions of law necessary to decide the matter. If the hearing was conducted by the full Board, the decision shall constitute that of the Board. 
(A) Upon the filing of the decision, the Executive Secretary shall serve copies of the decision on all parties pursuant to section 20164. 
(B) Within ten (10) days after the service of the decision of the Administrative Law Judge, or of less than the full Board, any party may file with the Executive Secretary for submission to the Board the original and six (6) copies of exceptions to the decision or any part of the proceedings, with an original and six (6) copies of a brief in support of the exceptions, accompanied by proof of service, as provided in sections 20160 and 20168. The exceptions shall state the ground of each exception, identify by page number that part of the decision to which exception is taken, and cite to those portions of the record that support the exception. Briefs in support of exceptions shall conform in all ways to the requirements of sections 20282(a)(2). The Board shall issue its decision within 10 days of receipt of the exceptions. 
(7) Upon its resolution of the disputed facts, the Board either shall issue an order dismissing the declaration or an order directing the parties to mandatory mediation and conciliation and request a list of mediators from the California State Mediation and Conciliation Service, in accordance with Labor Code section 1164, subdivision (b). 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1164, 1164.11 and and 1164.12, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
2. Amendment of subsection (a) filed 5-2-2012; operative 5-2-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 18). 
§20403. Selection of Mediator.
Note     •     History

Within seven (7) days of the receipt of the list of nine mediators, the parties shall either select a mediator from the list in accordance with Labor Code section 1164, subdivision (b), or mutually designate a mediator from a list of all qualified mediators maintained by the State Mediation and Conciliation Service. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1164, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
§20404. Disqualification of Mediator.
Note     •     History

(a) Any mediator selected pursuant to Labor Code section 1164, subdivision (b), shall be subject to disqualification for bias, prejudice, or interest in the outcome of the proceeding. 
(b) Whenever a mediator shall have knowledge of any fact, which by reason of bias or prejudice makes it appear probable that a fair and impartial mediation, within the meaning of Labor Code section 1164, et seq., cannot be held before him or her, it shall be his or her duty to immediately notify the Executive Secretary, setting forth all reasons for his or her belief. 
(c) Prior to the first mediation session, any party may request the mediator disqualify himself or herself whenever it appears probable that a fair and impartial mediation cannot be held by the selected mediator. The request shall be under oath and shall specifically set forth all facts constituting the grounds for the disqualification of the mediator. 
(1) If the mediator admits his or her disqualification, such admission shall be immediately communicated to the Executive Secretary, who shall refer the matter to the State Mediation and Conciliation Service for selection of another mediator in accordance with section 20403. 
(2) If the mediator does not disqualify himself or herself and withdraw from the proceeding, he or she shall so rule in writing or on the record, state the grounds for the ruling, and proceed with the mediation. The party requesting the disqualification may, upon issuance of the mediator's report, file for review of the mediator's report on the grounds set forth in Labor Code section 1164.3, subdivision (e), and in accordance with section 20408 of these regulations. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1164 and 1164.3, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
§20405. Notice of Mediation.
Note     •     History

The mediator shall appoint a time and place for the mediation and cause notice thereof to be served personally or by registered or certified mail on the parties to the mediation not less than fifteen (15) days before the mediation. The mediation shall commence within thirty (30) days of the selection of the mediator, or as soon as practical. Appearance at the mediation shall waive the right to notice. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1164, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
§20406. Discovery.
Note     •     History

(a) Witness and Document Lists. Either party shall within fifteen (15) days of receipt of a Board order directing the parties to mandatory mediation and conciliation have the right to demand in writing, served personally or by registered or certified mail, that the other party provide a list of witnesses it intends to call designating which witnesses will be called as expert witnesses and a list of documents it intends to introduce on the record at the mediation. A copy of the demand shall be served on the mediator. 
(1) Witness and document lists shall be served personally or by registered or certified mail on the requesting party within ten (10) days of service of the request. Copies of the lists shall be served on the mediator. 
(2) Listed documents shall be made available for inspection and copying at reasonable times prior to the hearing. 
(3) Time limits provided herein may be waived by mutual agreement of the parties if approved by the mediator. 
(4) The failure to list a witness or a document shall not bar the testimony of an unlisted witness or the introduction of an undesignated document at the mediation, provided that good cause is shown, as determined by the mediator. The introduction of bona fide rebuttal evidence shall constitute good cause. 
(b) Subpoenas. After the appointment of a mediator, and prior to the commencement of mediation, any member of the Board, or the Executive Secretary, or any person authorized by the Board, shall upon the ex parte request of a party to a mediation, issue subpoenas requiring the attendance and testimony of witnesses and or the production of any materials, including, but not limited to, books, records, correspondence or documents in their possession or under their control. Requests for subpoenas at or after the first mediation session shall be made to the mediator. 
(1) The subpoena shall show on its face the name, address, and telephone number of the party at whose request the subpoena was issued. A copy of a declaration under penalty of perjury shall be served with a subpoena duces tecum showing good cause for the production of the matters or things described in the subpoena, specifying the exact matters or things desired to be produced, setting forth in full detail the materiality thereof to the issues tendered by the party and stating that the party or witness has the desired matters or materials in his or her possession or under his or her control. Information concerning the financial condition of the employer and its ability to meet the costs of the contract shall not be discoverable except where the employer makes a plea of inability to meet the union's wage and benefit demands; however, other financial information may be discoverable if necessary to verify or evaluate a party's claims or proposals. 
(2) Service of subpoenas shall be made personally or by registered or certified mail. The service shall be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance. 
(3) Any person on whom a subpoena is served who does not intend to comply shall, within 5 days, after the date of service, petition the mediator in writing to revoke the subpoena. The petition shall be sent to the mediator by registered or certified mail and served by the same means upon the party requesting the subpoena. The petition to revoke shall explain with particularity the grounds for objecting to each item covered by the petition, which shall include a copy of the subpoena. The mediator shall have the discretion, where good cause is shown, to modify the time requirements regarding subpoenas and subpoena compliance. 
(4) The mediator shall revoke the subpoena in whole or in part if the evidence required to be produced does not relate to any matter in question or does not describe with sufficient particularity the evidence required to be produced or the testimony or records sought are privileged or otherwise protected or if the subpoena is otherwise invalid. 
(5) The mediator shall rule on all petitions to revoke. Upon the failure of any person to comply with a ruling by the mediator enforcing a subpoena, the mediator may request the Board apply for a court order enforcing the subpoena. 
(c) In addition to the limitations set forth above, discovery requests shall be considered untimely if submitted prior to the identification of issues required by section 20407, subdivision (a)(1). 
(d) Enforcement of Discovery. For the purpose of enforcing the duty to make discovery, to produce evidence or information, including books and records, and to produce persons to testify, the mediator may draw adverse inferences or impose terms, conditions, or sanctions upon a party. For the purposes of this section, “party” shall be deemed to include the officers, directors, agents, and employees of such party. The files, books, and records of each officer, director, agent, or employee shall be deemed to be in the possession and control of, and capable of production by, such party. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151 and 1164, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
§20407. The Mediation and Conciliation Process.
Note     •     History

(a) Mediation shall proceed in accordance with Labor Code section 1164, subdivisions (b), (c), and (d). The 30-day periods referred to in Labor Code section 1164, subdivision (c) shall commence on the date of the first scheduled mediation session, shall proceed for consecutive calendar days, and shall not include any pre-mediation conference. The 30-day timelines may be waived by mutual agreement of the parties and with the approval of the mediator. Premediation conferences may be scheduled at the discretion of the mediator. 
(1) No later than seven (7) days after receipt of a Board order directing the parties to mandatory mediation and conciliation, and prior to their first discovery requests pursuant to section 20406 above, each party shall identify for the mediator those issues that are in dispute and those that are not in dispute, identify the standards which they propose to resolve the disputed issues, and provide agreed upon contract language for those issues not in dispute. This information shall be served on the other party immediately and on the mediator upon his or her selection. During the mediation, the parties shall provide the mediator with a detailed rationale for each of its contract proposals on issues that are in dispute, and shall provide on the record supporting evidence to justify those proposals. The failure of any party to participate or cooperate in the mediation and conciliation process shall not prevent the mediator from filing a report with the Board that resolves all issues and establishes the final terms of a collective bargaining agreement, based on the presentation of the other party. 
(2) The mediator shall preside at the mediation, shall rule on the admission and exclusion of evidence and on questions of procedure and shall exercise all powers relating to the conduct of the mediation. All evidence upon which the mediator relies in writing the report required by section 1164, subdivision (d) shall be preserved in an official record through the use of a court reporting service or, with the consent of both parties and the approval of the mediator, by a stipulated record. The mediator shall cite evidence in the record that supports his or her findings and conclusions. The mediator shall retain the discretion to go off the record at any time to clarify or resolve issues informally. All communications taking place off the record shall be subject to the limitations on admissibility and disclosure provided by Evidence Code section 1119, subdivisions (a) and (c), and shall not be the basis for any findings and conclusions in the mediator's report. 
(3) The parties shall have the right to be represented by counsel or other representative. 
(4) The parties to the mediation are entitled to be heard, to present evidence and to cross-examine witnesses appearing at the hearing, but rules of evidence and rules of judicial procedure need not be observed. The testimony of witnesses shall be given under oath. 
(b) In determining the issues in dispute, the mediator may consider those factors commonly applied in similar proceedings, such as, but not limited to: 
(1) The stipulations of the parties. 
(2) The financial condition of the employer and its ability to meet the costs of the contract in those instances where the employer makes a plea of inability to meet the union's wage and benefit demands. 
(3) Comparison of corresponding wages, benefits, and terms and conditions of employment in collective bargaining agreements covering similar agricultural operations with similar labor requirements. 
(4) Comparison of corresponding wages, benefits, and terms and conditions of employment in comparable firms or industries in geographical areas with similar economic conditions, considering the size of the employer, the skills, experience, and training required of the employees, as well as the difficulty and nature of the work. 
(5) The average consumer prices for goods and services, commonly known as the Consumer Price Index, and the overall cost of living in the area where the work is performed. 
(c) The mediator shall issue his or her report within twenty-one (21) days of the last mediation session. Upon completion of the mediator's report, the report shall be served on the parties and filed with the Board in accordance with sections 20164 and 20168. Upon the filing of the report, the mediator also shall transfer the official record of the proceeding to the Board. 
(d) The issuance of any document signed by the mediator which reflects the determination of the issues in dispute and fixes the terms of a collective bargaining agreement shall be deemed a “report” pursuant to Labor Code sections 1164 through 1164.13, and these regulations.
(e) Where the parties agree to a collective bargaining agreement without the issuance of a mediator's report, as defined in subdivision (d), the parties shall notify the Board and submit a copy of the signed agreement pursuant to Regulation 20450.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1164, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
2. New subsections (d) and (e) filed 4-18-2007; operative 5-18-2007 (Register 2007, No. 16).
§20408. Board Review of the Mediator's Report.
Note     •     History

(a) Within seven (7) days of the filing of first or second report by the mediator, either party may file a petition for review of the report. The petition shall be served and filed in accordance with sections 20160, 20164, 20166, and 20168. The petition shall be based on any one or more of the grounds set forth in Labor Code section 1164.3, subdivision (a) or subdivision (e). The petitioning party shall specify the particular provisions of the mediator's report for which it is seeking review, shall specify the specific grounds authorizing review, and shall cite the portions of the record that support the petition. In the event the petition is based on the grounds set forth in Labor Code section 1164.3, subdivision (e), the petitioning party may attach declarations that describe pertinent events that took place off the record, if necessary to establish the grounds for review stated in the petition. 
(b) The Board shall issue a decision on the petition in accordance with Labor Code section 1164.3. Where the petition is based on the grounds specified in Labor Code section 1164.3, subdivision (e), and the Board determines that there are material facts in dispute that are outside the official record of the mediation, the Board may order an expedited evidentiary hearing to resolve the dispute, to be conducted in accordance with the procedures set forth in section 20402 of these regulations. 
(c) Where the Board orders additional mediation pursuant to Labor Code section 1164.3, subdivision (c), the mediation shall commence within thirty (30) days of the issuance of the Board's order, or as soon as practical. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1164.3, Labor Code.
HISTORY

1. New section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
Chapter 4.5. Submission of Collective Bargaining Agreements
§20450. Submission of Copies of Collective Bargaining Agreements to the Board.
Note     •     History

In order to facilitate the calculation of bargaining makewhole awards pursuant to Labor Code section 1160.3 and the administration of the Mandatory Mediation and Conciliation process provided in Labor Code sections 1164 through 1164.14, certified labor organizations and agricultural employers shall submit to the Board a copy of the full text of any collective bargaining agreements to which they have agreed, where the effective date of the agreement is on or after the effective date of this regulation. 
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1160.3 and 1164-1164.14, Labor Code.
HISTORY

1. New chapter 4.5 (section 20450) and section filed 5-7-2003; operative 5-7-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 19).
Chapter 5. Certification and Signature of Documents
§20500. Certification of Papers and Documents.
Note     •     History

The executive secretary of the Board or, in the event of his or her absence or disability, whosoever may be designated by the Board in his or her place and stead shall certify as may be necessary or desirable from time to time copies of all papers and documents which are a part of any of the files or records of the Board.
NOTE

Authority cited: Sections 1141, 1142, 1144, 1145, 1146 and 1149, Labor Code. Reference: Part 3.5, Division II (commencing with Section 1140), Labor Code.
HISTORY

1. Repealer of Chapter 5 (Sections 20500.1-20500.2, inclusive) and new Chapter 5 (Sections 20500-20510, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
§20510. Signature of Orders.

The executive secretary or an associate executive secretary or, in the event of their absence or disability, whosoever may be designated by the Board in their place and stead, is hereby authorized to sign all orders of the Board.
Chapter 6. Availability of Board Materials and Documents
§20600. Board Materials and Formal Documents Available for Public Inspection and Copying; Requests for Identifiable Records; Files and Records Not Subject to Inspection; Fees for Copying and Production.
Note     •     History

(a) The following materials are available to the public for inspection and copying during normal business hours at the Board's offices in Sacramento, California:
(1) All final opinions and orders made by the Board in the adjudication of cases;
(2) A record of the final votes of each member of the Board in every agency proceeding;
(3) Opinions and orders made by regional directors in the adjudication of representation cases pursuant to the delegation of authority from the Board under Chapter 5 of the Act;
(4) Copies of forms prescribed by the Board for the filing of charges under Chapter 6 of the Act or petitions under Chapter 5 of the Act;
(5) The formal documents constituting the record in a case or proceeding which are matters of official record, until destroyed pursuant to applicable statutory authority.
(b) A copy of a specific and identified final opinion and order of the Board in the adjudication of a case which has not as yet been included in a published volume offered for sale, may be obtained upon request made to the executive secretary in Sacramento, California. A copy of a specific and identified opinion and order of a regional director in the adjudication of a representation case may be obtained upon request made to the regional office where the opinion and order were issued.
(c) Requests for the inspection and copying of identifiable records other than those specified in subsections (a) and (b) above, which constitute public records under the California Public Records Act (Gov. Code Section 6250 and following) shall be made to the Board through its executive secretary or to the general counsel, as may be appropriate, in Sacramento, California. Such a request must be in writing and must provide a sufficiently specific description of the record to permit its identification and location.
The applicant shall be informed of the time and place at which the record will be made available. Should the Board or the general counsel determine that the request not be granted, prompt notice of the determination shall be given the applicant, accompanied by a written statement of the reasons for the denial.
(d) Subject to the provisions of Section 20250, all files, documents, reports, memoranda, and records of the agency falling within the exemptions specified in Gov. Code Section 6250, and following shall not be made available for inspection or copying, unless specifically permitted by the Board, its chairman, or its general counsel.
(e) Copies of materials available under subsections (a) and (b) of this section or specifically made available under subsection (c) of this section, except for those materials otherwise published and offered for sale, shall be supplied upon request and the payment of reasonable fees for copying as set by the chief administrative officer of the Agricultural Labor Relations Board.
(f) In the event that the location and production of materials requested by an applicant for his inspection and copying, or for copying by the agency, involve significant cost to the agency, the applicant shall be informed in advance that he will be required to provide reimbursement for the reasonable direct and indirect costs incurred by the agency in such location and production.
NOTE

Authority cited: Sections 1141, 1142, 1144, 1145, 1146 and 1149, Labor Code. Reference: Part 3.5, Division II (commencing with Section 1140), Labor Code.
HISTORY

1. Repealer of Chapter 6 (Sections 20600-20600.2, not consecutive) and new Chapter 6 (Section 20600) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
Chapter 7. Prohibited Communications
§20700. Prohibited Communications.
Note     •     History

Parties to an action before the Board may not communicate with employees of the Board about the disposition of the action while the action is pending before the Board. No person, even though not a party, may volunteer a communication which may be expected to affect the interest of a party in a case, whether or not the person acts with the knowledge or consent of a party. No person shall solicit another person to make a communication prohibited by these rules. While an action is pending, there shall be no communications regarding the disposition of the action between Board members or Board counsel and the investigative hearing examiner or administrative law judge assigned to the matter.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1142(b), 1145 and 1160.2, Labor Code.
HISTORY

1. Repealer of Chapter 7 (Sections 20700.1-20700.9, inclusive) and new Chapter 7 (Sections 20700-20760, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
3. Amendment of section and Note filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
§20720. Definitions.
Note     •     History

(a) Parties. Parties include the participants in elections and the parties of record in an unfair labor practice case, including the general counsel.
(b) Board employees. Board employees include, in all actions, members of the Board and their staffs and the executive secretary and his or her staff, including investigative hearing examiners and administrative law judges.
(c) Action. An action is 
(1) objections to an election under Labor Code Section 1156.3(c); 
(2) post-election challenge ballot proceedings; 
(3) unfair labor practice proceedings, including injunctive proceedings; 
(4) a proceeding under Section 20382; or 
(5) a petition under Section 20385.
(d) Pending. Actions are pending as follows: 
(1) any proceeding relating to an election petition is pending from the time the election petition is filed until the election is certified and not subject to review via a related unfair practice charge or until the petition is dismissed or withdrawn or until the election is overturned; 
(2) an unfair labor practice case is pending from the time the charge is filed until the time the charge is dismissed without right to further review, the charge is withdrawn or settled, or the Board makes a final order on a complaint arising from such charge; 
(3) a proceeding under Section 20382 is pending from the time the petition is filed until it is granted or denied by the Board, or it is withdrawn; and 
(4) a petition under Section 20385 is pending from the time the petition is filed until the regional director's report becomes final, the petition is withdrawn, or the Board makes a final determination.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1156.3 and 1160.2, Labor Code.
HISTORY

1. Amendment of subsection (b) and new Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
2. Amendment of subsection (d)(1), repealer of subsection (d)(2), subsection renumbering, and amendment of newly designated subsections (d)(2)-(d)(4) filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
§20740. Communications Not Prohibited.
Note     •     History

Prohibited communications under Section 20700 shall not include:
(a) Written communications of the type described in section 20700 if copies of them are contemporaneously served by the communicator on all parties to the proceeding in accordance with the provisions of section 20166 and following;
(b) Oral communications of the type described in Section 20700 if advance notice of them is given by the communicator to all parties in the proceeding and adequate opportunity is afforded to all parties to be present;
(c) Oral or written communications which relate solely to matters which the investigative hearing examiner, regional director, administrative law judge, or member of the Board is authorized by law or Board rules to entertain or dispose of on an ex parte basis;
(d) Oral or written requests for information solely with respect to the status of a proceeding;
(e) Oral or written communications which all the parties to the proceeding agree, or which the responsible official formally rules, may be made on an ex parte basis;
(f) Oral or written communications proposing settlement, or an agreement for disposition of any or all issues in the proceeding;
(g) Oral or written communications which concern matters of general significance to the field of labor management relations or administrative practice and which are not specifically related to pending proceedings; or
(h) Communications by or with the executive secretary and his or her staff pursuant to the executive secretary's investigation of election objections under Section 20365(f) of these regulations.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1156.3 and 1160.2, Labor Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 11-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
2. Amendment of subsection (c) and new Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20750. Receipt of Prohibited Communications; Reporting Requirements.
Note     •     History

(a) Any Board employee of the categories defined in Section 20720(b) to whom a prohibited oral communication is attempted to be made shall refuse to listen to the communication, inform the communicator of this rule, and advise him or her that if he or she has anything to say it should be said in writing with copies to the parties. Any such Board employee who receives a written communication which he or she has reason to believe is prohibited by this chapter shall promptly forward such communication to the office of the executive secretary if the proceeding is then pending before the Board or before an administrative law judge, or to the regional director involved if the proceeding is then pending before him or her. If the circumstances in which the prohibited communication was made are not apparent from the communication itself, a statement describing those circumstances shall also be submitted. The executive secretary or the regional director to whom such a communication is forwarded shall then place the communication in the public file maintained by the agency and shall serve copies of the communication on all other parties to the proceeding and attorneys of record for the parties. Within 10 days after the mailing of such copies, any party may file with the executive secretary or regional director serving the communication, and serve on all other parties, a statement setting forth facts or contentions to rebut those contained in the prohibited communication.
(b) Upon appropriate motion to the regional director, or the administrative law judge, or the Board, before whom the proceeding is pending, under circumstances in which such presiding authority shall determine that the dictates of fairness so require, the prohibited communication and response thereto may be made part of the record of the proceeding, and provision made for any further action including reopening of the record, which may be required under the circumstances. No action taken pursuant to this provision shall constitute a waiver of the power of the Board to impose an appropriate penalty under Section 20760.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1156.3 and 1160.2, Labor Code.
HISTORY

1. Amendment of subsections (a) and (b) and new Note filed 7-8-99; operative 8-7-99 (Register 99, No. 28).
§20760. Penalties and Enforcement.
Note     •     History

(a) Upon notice and hearing, the Board may censure, suspend, or revoke the privilege of practice before the agency of any non-attorney who knowingly and willfully makes or solicits the making of a prohibited communication. However, before the Board institutes formal proceedings under this section, it shall first advise the person or persons concerned in writing that it proposes to take such action and that they may show cause, within a period to be stated in such written advice, but not less than seven days from the date thereof, why it should not take such action. Attorneys who knowingly and willfully engage in conduct prohibited by this chapter shall be reported to the State Bar for disciplinary action.
(b) To the extent permitted by law, the Board may, under appropriate circumstances, deny or limit remedial measures otherwise available under the Act to any party who shall, directly or indirectly, knowingly and willfully make or solicit the making of a prohibited communication.
(c) The Board may censure, or, to the extent permitted by law, suspend, dismiss, or institute proceedings for the dismissal of any Board employee who knowingly and willfully violates the prohibitions and requirements of this chapter.
(d) A Board employee, as defined in section 20720, subdivision (b), who initiates a communication prohibited by this chapter, in addition to adhering to the reporting requirements of section 20750, shall disqualify himself or herself from participation in the action to which the prohibited communication relates.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151, 1156.3 and 1160.2, Labor Code.
HISTORY

1. Amendment filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. New subsection (d) and amendment of Note filed 11-1-99; operative 12-1-99 (Register 99, No. 45).  
Chapter 8. Practice Before the Board
§20800. Practice Before the Board.
Note     •     History

(a) Attorneys and other representatives of parties appearing before the Board or engaged in any hearing or proceeding institute pursuant to the Act shall not engage in disruptive or abusive conduct with respect to persons operating under authority delegated by this Board or any hearings convened pursuant to the authority conferred upon this Board. Such conduct during the course of any official proceedings including, but not limited to, pre-election conferences, conduct of elections, and any hearings under the Board's auspices shall be grounds for summary exclusion from the proceeding by the agent of the Board in charge of such proceeding.
(b) Aggravated misconduct, when engaged in by a non-attorney representative of a party during the course of any official proceedings including, but not limited to, pre-election conferences, conduct of elections, or any investigations or hearings conducted under the Board's auspices, shall be grounds for suspension or disbarment from practice before the Board after due notice is given and a hearing is held. Attorneys who engage in aggravated misconduct during any Board proceeding shall be reported to the State Bar for disciplinary action.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1151.3, Labor Code.
HISTORY

1. Repealer of chapter 8 (section 20800) and new chapter 8 (sections 20800-20820, not consecutive) filed 10-19-76 as an emergency; effective upon filing (Register 76, No. 43).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
3. Repealer of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
4. Renumbering of former section 20820 to section 20800 filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
§20820. Practice Before the Board.
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1156-1159 and 1160-1160.9, Labor Code (Division 2 of the Labor Code, Part 3.5, Chapters 5 and 6).
HISTORY

1. Amendment of subsection (b) filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 1).
2. Renumbering of former section 20820 to section 20800 filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
Chapter 9. Solicitation by Non-Employee Organizers
§20900. Solicitation by Non-Employee Organizers.
Note     •     History

Labor Code Section 1140.2 declares it to be the policy of the State of California to encourage and protect the right of agricultural employees to full freedom of association, self-organization, and designation of representatives of their own choosing.
(a) Agricultural employees have the right under Labor Code Section 1152 to self-organization, to form, join, or assist labor organizations, to bargain collectively through representatives of their own choosing, and to engage in other concerted activities for the purpose of collective bargaining or other mutual aid or protection, as well as the right to refrain from any or all of such activities except to the extent that such right may be affected by a lawful agreement requiring membership in a labor organization as a condition of continued employment. Labor Code Section 1153(a) makes it an unfair labor practice for an agricultural employer to interfere with, restrain, or coerce agricultural employees in the exercise of these rights.
(b) The United States Supreme Court has found that organizational rights are not viable in a vacuum. Their effectiveness depends in some measure on the ability of employees to learn the advantages and disadvantages of organization from others. When alternative channels of effective communication are not available to a union, organizational rights must include a limited right to approach employees on the property of the employer. Under such circumstances, both statutory and constitutional principles require that a reasonable and just accommodation be made between the right of unions to access and the legitimate property and business interests of the employer.
(c) Generally, unions seeking to organize agricultural employees do not have available alternative channels of effective communication. Alternative channels of effective communication which have been found adequate in industrial settings do not exist or are insufficient in the context of agricultural labor.
(d) The legislatively declared purpose of bringing certainty and a sense of fair play to a presently unstable and potentially volatile condition in the agricultural fields of California can best be served by the adoption of rules on access which provide clarity and predictability to all parties. Relegation of the issues to case-by-case adjudication or the adoption of an overly general rule would cause further uncertainty and instability and create delay in the final determination of elections. 
(e) Accordingly the Board will consider the rights of employees under Labor Code Section 1152 to include the right of access by union organizers to the premises of an agricultural employer for the purpose of meeting and talking with employees and soliciting their support, subject to the following regulations:
(1) When Available.
(A) Access under this section onto an agricultural employer's property shall be available to any one labor organization for no more than four (4) thirty-day periods in any calendar year.
(B) Each thirty-day period shall commence when the labor organization files in the appropriate regional office two (2) copies of a written notice of intention to take access onto the described property of an agricultural employer, together with proof of service of a copy of the written notice upon the employer in the manner set forth in Section 20300(f).
If a petition for election is filed, the right of access shall continue until after the election as provided by Section 20900(e)(1)(C). If a run-off or rerun election is directed, the right of access shall continue until after said election as provided in Section 20900(e)(1)(C).
(C) The right to take access under this section terminates as to any labor organization after the fifth day following completion of the ballot count pursuant to Section 20360(a) in an election conducted under Chapter 5 of the Act, except that where objections to the election are filed pursuant to Labor Code Section 1156.3(c), the right of access shall continue for ten days following service of and the filing of such objections. The right to take access under this Section recommences 30 days prior to the expiration of the bars to the direction of an election set forth in Labor Code Sections 1156.5 and 1156.6, and 13 months prior to the expiration of a valid collective bargaining agreement that would otherwise bar the holding of an election but for the provisions of Labor Code Section 1156.7(d). Where the right to take access is recommenced during the pendency of a valid collective-bargaining agreement pursuant to this paragraph, no more than four thirty-day periods of access shall be permitted to any one labor organization in the 13 months preceding the expiration of said collective bargaining agreement.
Nothing herein shall be interpreted or applied to restrict or diminish whatever rights of access may accrue to a labor organization certified as a bargaining representative.
(2) Voluntary Agreements on Access. This regulation establishes the terms upon which a labor organization may take access. However, it does  not preclude agreements by the parties to permit access on terms other than as set forth in this part, provided that any such agreement shall permit access on equal terms to any labor organization which agrees to abide by its terms. For the purpose of facilitating voluntary resolution by the parties of problems which may arise with access, the notice of intent to take access shall specify a person or persons who may reach agreements on behalf of the union with the employer concerning access to his/her property. The parties are encouraged to reach such agreements and may request the aid of the regional director and board agents in negotiating such agreements; however, no such attempts to reach an agreement, be they among the parties themselves or with the aid of this agency, shall be deemed grounds for delay in th taking of immediate access once a labor organization has filed its notice of intent to take access.
(3) Time and Place of Access.
(A) Organizers may enter the property of an employer for a total period of one hour before the start of work and one hour after the completion of work to meet and talk with employees in areas in which employees congregate before and after working. Such areas shall include buses provided by an employer or by a labor contractor in which employees ride to and from work, while such buses are parked at sites at which employees are picked up or delivered to work. Where employees board such buses more than one hour before the start of work, organizers may have access to such buses from the time when employees begin to board until such time as the bus departs.
(B) In addition, organizers may enter the employer's property for a single period not to exceed one hour during the working day for the purpose of meeting and talking with employees during their lunch period, at such location or locations as the employees eat their lunch. If there is an established lunch break, the one-hour period shall encompass such lunch break. If there is no established lunch break, the one-hour period shall encompass the time when employees are actually taking their lunch break, whenever that occurs during the day.
(4) Numbers of Organizers; Identification; Prohibited Conduct.
(A) Access shall be limited to two organizers for each work crew on the property, provided that if there are more than 30 workers in a crew, there may be one additional organizer for every 15 additional workers.
(B) Upon request, organizers shall identify themselves by name and labor organization to the employer or his agent. Organizers shall also wear a badge which clearly states his or her name, and the name of the organization which the organizer represents.
(C) The right of access shall not include conduct disruptive of the employer's property or agricultural operations, including injury to crops or machinery or interference with the process of boarding buses. Speech by itself shall not be considered disruptive conduct. Disruptive conduct by particular organizers shall not be grounds for expelling organizers not engaged in such conduct, nor for preventing future access.
(5) Violations of Section 20900.
(A) Any organizer who violates the provisions of this part may be barred from exercising the right of access under this part in any one or more of the four geographical areas currently designated by the Board as regions, for an appropriate period of time to be determined by the Board after due notice and hearing.
Any labor organization or division thereof whose organizers repeatedly violate the provisions of this part may be barred from exercising the right of access under this part in any one or more of the four geographical areas currently designated by the Board as regions, for an appropriate period of time to be determined by the Board after due notice and hearing.
(B) Violation by a labor organizer or organization of the access regulation may constitute an unfair labor practice in violation of Labor Code Section 1154(a)(1) if it independently constitutes restraint and coercion of employees in the exercise of their rights under Labor Code Section 1152.
Violations by a labor organizer or organization of this part may constitute grounds for setting aside an election where the Board determines in objections proceedings under Section 1156.3(c) of the Act that such conduct affected the results of the election.
(C) Interference by an employer with a labor organization's right of access under this part may constitute grounds for setting aside an election where the Board determines in proceedings under Section 1156.3(c) of the Act that such conduct affected the results of the election. Furthermore, such interference may constitute an unfair labor practice in violation of Labor Code Section 1153(a) if it independently constitutes interference with, restraint, or coercion of employees in the exercise of their rights under Labor Code Section 1152.
(6) Citrus Industry.
(A) For purposes of this subsection the term “employer” refers to any “agricultural employer” involved in the growing, harvesting or packing of citrus.
(B) The service of a Notice of Intent to Take Access or Notice of Intent to Organize upon such an employer and the proper filing of such Notice upon the appropriate regional office by a labor organization shall be deemed sufficient under Section 20900(e)(1) to permit the labor organization to take access, as provided in this section, to the employees employed at groves and orchards of citrus fruit which the employer grows, harvests or packs.
(C) Any labor organization which has duly filed a Notice of Intent to Take Access or Notice of Intent to Organize concerning the employer may request, in writing, from the regional director a copy of the following information required to be made available pursuant to Section 20915(b): the written list of the name(s) of the owner(s)/lessee(s) and the location of each citrus grove or orchard of citrus fruit which the employer grows, harvests, or packs. If, after investigation, the regional director determines that some or all of the owner(s)/lessee(s) of the citrus groves or orchards of citrus fruit which the employer grows, harvests, or packs, are part of the bargaining unit, then, pursuant to the labor organization's request, the regional director shall provide to the labor organization(s) a list containing the names of the owner(s)/lessee(s) and the location of each grove or orchard that is included within the bargaining unit. The regional director will immediately notify the owner(s)/lessee(s) of said citrus groves or orchards in writing of the fact that a Notice of Intent to Take Access or Notice of Intent to Organize has been filed and that union organizers may take access to the grove or orchard.
(D) Upon the proper filing and service of a Notice of Intent to Take Access or Notice of Intent to Organize, the employer and the union, with the assistance of the regional director, shall establish the means whereby the employer will keep the union informed of the places and times at which the employer's crews may be found during the relevant access taking or organizing period. For purposes of this provision, crews consisting of three (3) or fewer workers may be excluded, if the employer has no knowledge of the specific locations in which such crews will be working during the day. As to such crews, the employer will provide the union with as specific a description as possible of the area in which such employees will be working. Should the employer and the union fail to establish a mutually agreeable plan for providing the union with the aforesaid information, the following procedures shall be observed:
(1) The employer shall on a day-by-day basis during the access period prepare a schedule showing the place and time where each crew will be working, including the time each crew will begin work, take its lunch break, and end work each day and directions to the location(s) where each crew will be working. Said schedule shall be posted at least two hours in advance of the start of work on each day during the access period. Posting shall occur at the location from which the employer dispatches its crews, and the employer will advise the union of that location. The union's representatives shall be afforded reasonable access to the place where the employer posts the schedules. 
(2) Should the union desire to take access on any given day during the access period, it shall so notify the employer in advance of the taking of access and provide a phone number at which it may be contacted pursuant to subsection (3) below.
(3) Once posting has occurred, the employer may find it necessary to change the time or place at which a crew will be working. In that event, the employer shall make reasonable efforts to notify the union of the new time or location.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1152, Labor Code; and ALRB v. Superior Court (1976) 16 Cal. 3d 392.
HISTORY

1. Amendment filed 11-29-76 as an emergency; designated effective 12-1-76 (Register 76, No. 49). For prior history, see Register 75, No. 50.
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
3. Amendment of Section 20900(e)(1)(C) filed 6-19-80 as an emergency; effective upon filing (Register 80, No. 25). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 10-18-80.
4. Certificate of Compliance including amendment transmitted to OAL 10-15-80 and filed 11-13-80 (Register 80, No. 46).
5. Amendment filed 5-16-83 as an emergency; effective upon filing (Register 83, No. 22).
6. Order of Repeal of 5-16-83 order filed 5-23-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 22).
7. New subsections (e)(6)(A), (B) and (C) filed 1-3-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 1).
§20901. Limitation for Special Segments of Agriculture.
History

(a) Dairy, Poultry and Egg Segments of Agriculture: We find that certain conditions exist in the dairy, poultry and egg segments of agriculture which set them apart from all other elements of the industry. These conditions include: (1) the possible transmission of animal disease, (2) possible product contamination,and (3) possible animal stress. Because of these combined conditions, we deem non-employee access into the following limited areas to be prohibited:
(1) Dairy Industry: The milk barn and the milk house.
(2) Poultry and Egg Industry:
(A) Hatcheries: Those covered and enclosed areas of the farm in which the eggs are handled and incubated, and in which the chicks and poults are maintained.
(B) Poultry Production: Those covered or enclosed areas of the farm in which the poultry is housed or otherwise maintained.
(C) Egg Production: Those covered or enclosed areas of the farm in which the hens are housed or otherwise maintained.
The employer shall clearly mark and post areas of prohibited access, consistent with the above prohibitions.
To the extent that employees are permitted to remain in the prohibited areas established herein during their lunch period or during the period of one hour before the start of work and one hour after the completion of work as provided in Section 20900(e)(3), the employer shall be deemed to have waived the special limitations of this section and shall not prohibit access thereto.
(b) Nursery and Floral Segments of Agriculture: We find that certain conditions exist in that segment of the nursery industry that uses predominantly covered growing areas that set it apart from all other forms of agriculture. These conditions include: (1) the covering of the growing area itself, (2) the constant danger of spread of disease, (3) the need for temperature control, (4) the costly and complicated mechanism needed to supply the temperature control, (5) the high degree of vulnerability of this mechanism, (6) the sophisticated and equally vulnerable fertilizer and watering systems and (7) the frequent indoor spraying of lethal insecticides. Because of these combined conditions, we deem non-employee access into all covered growing areas (be they covered by glass, plastic or wooden lath), and entry into any propagation areas housed in any other permanent structures, as well as entry into those structures that house nursery fertilizer and watering systems and temperature control systems to be prohibited.
The employer shall clearly mark and post areas of prohibited access, consistent with the above prohibitions. To the extent that employees are permitted to remain in the prohibited areas during their lunch break, or during the hour before or after work, the employer shall be deemed to have waived the special limitations in this section and shall permit access thereto pursuant to the provisions of Section 20900(e)(3).
Because the combined conditions set forth above are not applicable to the so-called bare root industry, which includes the growing of roses, deciduous fruit, nut and shade trees, we deem it unnecessary to make any modifications with respect to it.
In those nurseries that grow products in covered areas as well as in open fields, e.g., the bare root industry, the limits set forth above will apply only to the covered growing areas.
HISTORY

1. Repealer and new section filed 11-29-76 as an emergency; designated effective 12-1-76 (Register 76, No. 49).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
§20910. Pre-Petition Employee Lists.
Note     •     History

(a) Any labor organization that has filed within the past 30 days a valid notice of intent to take access as provided in Section 20900(e)(1)(B) on a designated employer may file with the appropriate regional office of the Board two (2) copies of a written notice of intention to organize the agricultural employees of the same employer, accompanied by proof of service of the notice upon the employer in the manner set forth in Section 20300(f). The notice must be signed by or accompanied by authorization cards signed by at least ten percent (10%) of the current employees of the designated employer. The signatures and authorization cards must comply with the requirements set forth in section 20300, subdivision (j)(1).
(b) A notice of intention to organize shall be deemed filed upon its receipt in the appropriate regional office accompanied by proof of service of the notice upon the employer. As soon as possible upon the filing of the notice of intention to organize, the regional office in which the petition is filed shall telephone or telegraph the employer to inform him or her of the date and time of the filing of the notice.
(c) Within five days from the date of filing of the notice of intention to organize, the employer shall submit to the regional office an employee list as defined in Section 20310(a)(2). If the employer contends that the unit named in the notice is inappropriate, it shall submit its arguments to the regional director in writing. A contention that the unit named is inappropriate shall not excuse the timely submission of the pre-petition employee list in the unit named in the notice.
(d) Upon receipt of the list, the regional director shall determine if the ten percent showing of interest requirement has been satisfied, and, if so, shall make available a copy of the employee list to the filing labor organization. The same list shall be made available to any other labor organization which within 30 days of the original filing date files a notice of intention to organize the agricultural employees of the same employer.
(e) No employer shall be required to provide more than one employee list pursuant to this section within any 30 day period.
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1152 and 1157.3, Labor Code.
HISTORY

1. New section filed 11-29-76 as an emergency; designated effective 12-1-76 (Register 76, No. 49).
2. Certificate of Compliance filed 1-12-77 (Register 77, No. 3).
3. Amendment of subsection (c) and new subsections (d) and (e) filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
4. Amendment of subsection (a) and amendment of Note filed 5-9-2002; operative 6-8-2002 (Register 2002, No. 19).
§20915. Pre-Petition Investigation of Election Related Issues.
Note     •     History

(a) The regional director may cause an investigation of any issues raised in connection with a Notice of Intention to Take Access or a Notice of Intention to Organize which might affect any subsequent election at the employer, including, but not limited to, questions of appropriate unit, identity of the employer, supervisorial or other non-employee status of persons included in or excluded from a pre-petition list, the appropriate designation of the immediately preceding payroll period, and employer compliance with Labor Code Section 1157.3.
(b) If a Notice of Intent to Take Access or Notice of Intent to Organize is served upon a packer, custom harvester, harvesting association, cooperative, hiring association, any person, or association of persons or cooperatives involved in the growing, harvesting or packing of citrus, that entity or person shall, within 72 hours following service of the Notice of Intent to Take Access or Notice of Intent to Organize, make available for inspection and copying by the regional director a written list showing the name(s) of the owner(s)/lessee(s) and the location of each citrus grove or orchard of citrus fruit which the entity or person grows, harvests, or packs. Additionally, if the appropriate bargaining unit and/or the identity of the employer remain unresolved, and the regional director so requests, the entity or person shall, at the same time, make available for inspection and copying by the regional director a copy of those portions of the following documents which are relevant to the resolution by the regional director of bargaining unit and employer identity issues: articles of incorporation and by-laws, if the entity is a corporation; association agreements, partnership agreements, and membership agreements, if any, which it has entered into with citrus growers who are members or providers of citrus fruit; and contracts and harvesting agreements which it has entered into with customers, clients, or other providers of citrus fruit. In cases where a Notice of Intent to Take Access and/or Notice of Intent to Organize is accompanied by a Petition for Certification, the above documents and information shall be made available to the regional director within 24 hours. Except for that information authorized to be disclosed pursuant to Section 20900(e)(6)(C), all other information provided to the regional director as herein required, shall be kept by the regional director in confidence, and shall not be disclosed to any party without prior written approval of the entity or person.
(c) Should an entity or person engaged in the growing, harvesting, or packing of citrus, upon whom a Notice of Intent to Take Access or Notice of Intent to Organize has been duly served and from whom the regional director has requested the information described in (b) of this section, refuse to provide all or a portion of such information, the Board may, at the request of the regional director, issue an investigative subpoena. The Board shall enforce the subpoena pursuant to the requirements of Section 20217(b)-(g). However, for purposes of this regulation, the term “regional director” shall be substituted for the terms “general counsel” or “general counsel or his or her agent(s) who has issued the subpoena,” and the term “entity or person” shall be substituted for the term “respondent,” wherever they appear in Section 20217(b)-(g).
NOTE

Authority cited: Section 1144, Labor Code. Reference: Sections 1151(a) and 1156.3, Labor Code.
HISTORY

1. New section filed 3-14-78; effective thirtieth day thereafter (Register 78, No. 11).
2. Amendment filed 5-16-83 as an emergency; effective upon filing (Register 83, No. 22).
3. Order of Repeal of 5-16-83 order filed 5-23-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 22).
4. New subsections (b) and (c) filed 1-3-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 1).
Chapter 10. Symbols or Emblems
§21000. Symbols or Emblems.
Note     •     History

If any labor organization has a distinctive symbol or emblem which it desires to have appear on ballots during elections as a supplement to its name identification, it may record such symbol or emblem by filing appropriate copies with the Executive Secretary in Sacramento.
The symbol or emblem designating a choice of “No Labor Organization” should be a circle with a diagonal slash from upper left to lower right through it, with the word “No” centered in the circle, as a supplement to the words “No Union” on the ballot. The reproduction of the symbol or emblem on the ballot shall not be in excess of one inch square.
If for mechanical reasons, the Board cannot place the symbol or emblem on he ballot, it will attempt to trace the outline of the symbol or emblem on the ballot.
Each labor organization will be permitted to register only one such symbol or emblem for all its constituent locals, divisions, or subdivisions.
NOTE

Authority cited: Sections 1141, 1142, 1144, 1145, 1146, and 1149, Labor Code. Reference: Part 3.5 (commencing with Section 1140), Division II, Labor Code.
HISTORY

1. New Chapter 10 (Section 21000) filed 9-4-75 as an emergency; effective upon filing (Register 75, No. 36).
2. Certificate of Compliance filed 12-10-75 (Register 75, No. 50).
§21100. Definition of Unforeseen Emergency Condition Pursuant to Government Code Section 11125(a).
Note     •     History

NOTE

Authority cited: Section 1144, Labor Code. Reference: Section 1125.5, Government Code.
HISTORY

1. New chapter 11 (section 21100) filed 9-12-75 as an emergency; effective upon filing (Register 75, No. 37).
2. Certificate of Compliance filed 12-10-75 (Register 75, No. 50).
3. Repealer of section filed 9-20-91; operative 10-21-91 (Register 92, No. 4).
Chapter 12. Conflict of Interest Code
§21200. General Provisions.
Note     •     History

The Political Reform Act, Government Code sections 81000, et seq., requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission has adopted a regulation, Title 2, California Code of Regulations, section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of Title 2, California  Code of Regulations section 18730, and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the Agricultural Labor Relations Board.
Designated employees shall file statements of economic interests with the Agricultural Labor Relations Board. Upon receipt of the statements of Board Members and the Executive Secretary, the agency shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission. Statements of all other designated employees shall be retained at the offices of the Agricultural Labor Relations Board which shall make the statements available for public inspection and reproduction. (Gov. Code § 81008.)
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY

1. New chapter 12 (sections 21200-211255, not consecutive) filed 9-27-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 7-7-77 (Register 77, No. 40).
2. Repealer of chapter 12 (sections 21200-21255, not consecutive) and new chapter 12 (section 21200 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 80, No. 9).
3. Amendment filed 5-6-92; operative 6-5-92 (Register 92, No. 19).
4. Amendment of Appendix A filed 10-16-2003; operative 11-15-2003. Approved by Fair Political Practices Commission 8-27-2003 (Register 2003, No. 42). 

Appendix A

	Disclosure
Designated Employees	Categories

The Chairman and All Board Members	 1,2,3
Board Counsel	1,2,3
Senior Board Counsel	1,2,3
The Executive Secretary	1,2,3
The Deputy Executive Secretary	 1,2,3
Chief Administrative Law Judge	1,2,3
Administrative Law Judges	 1
Hearing Site Clerk	 3
The General Counsel	1,2,3
The Deputy General Counsel	 1,2,3
Assistant General Counsel	 1
Legal Counsel	 1
Staff Counsel III	1

Field Examiners	 1
Regional Directors	 1,2,3
Chief of Administration 	 2,3
Fiscal Officer	2,3
Staff Services Manager	 2
Business Services Officer	 2,3
Accounting Officer	 2,3
Consultants	*   
Disclosure Categories
1. Designated employees in Category 1 must report:
(a) All investments and business positions in, and income, including gifts, loans and travel payments, from any business entity which does business in agriculture or is an agricultural employer, farm labor contractor, labor organization or representative;
(b) Interests in real property which, during the past two years, have been used in agriculture or agricultural activity, or which foreseeably may be so used.
2. Designated employees in Category 2 must report:
(a) Investments and business positions in, and income, including gifts, loans and travel payments, from any business entity of the type that has contracted, within the last two (2) years, with the Agricultural Labor Relations Board to provide services, supplies, materials, machinery or equipment to the Board.
3. Designated employees in Category 3 must report:
(a) Investments and business positions in, and income, including gifts, loans and travel payments, from any business entity which is of the type that has arranged within the last two (2) years to provide premises for lease, rental, or sale to the Agricultural Labor Relations Board or the State of California on behalf of the Board;
(b) Interests in real property located in California which have been arranged for by the Agricultural Labor Relations Board or the State of California on behalf of the Board as premises, such as office or storage space, hearing rooms, etc. The designated employee is required to report such interest in real property if it is foreseeable that said property may be the subject of such an arrangement, lease, rental, or sale.
* Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitations:
The Executive Secretary may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that are limited in scope and thus is not required to fully comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant's duties and, based on that description, a statement of the extent of the disclosure requirements. The Executive Secretary's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Definitions
“Agricultural employer” as defined by Labor Code Section 1140.4 (c) means any person acting directly or indirectly in the interest of an employer in relation to an agricultural employee, any individual grower, corporate grower, cooperative grower, harvesting association, hiring association, land management group, any association of persons or cooperatives engaged in agriculture, and shall include any person who owns or leases or manages land used for agricultural purposes.
“Agriculture” or “In agriculture” as defined by Labor Code Section 1140.4 (a) means farming in all its branches, and among other things, includes the cultivation and tillage of the soil, dairying, the production, cultivation, growing, and harvesting of any agricultural or horticultural commodities (including commodities defined in any agricultural commodities in Section 1141j (g) of Title 12 of the United States Code), the raising of livestock, bees, furbearing animals, or poultry, and any practices (including any forestry or lumbering operations) performed by a farmer or on a farm as an incident to or in conjunction with such farming operations, including preparation for market and delivery to storage or to market or to carriers for transportation to market. The definition of Section 1140.4 (a) of the Labor Code is hereby incorporated by reference into this Code.
“Doing Business in Agriculture.” Any business or source of income that engages in the processing and/or distribution of agricultural or food products, or the manufacture or sale of farm equipment or farm supplies; or whose primary course of activity is the transportation of agricultural products is deemed to be doing business in agriculture.
“Farm Labor Contractor” as defined by Labor Code Section 1682 (b) means any person who, for a fee, employs workers to render personal services in connection with the production of any farm products to, for, or under the direction of a third person, or who recruits, solicits, supplies, or hires workers on behalf of any employer engaged in the growing or producing of farm products, and who, for a fee, provides in connection therewith one or more of the following services: furnishes board, lodging, or transportation for such workers; supervises, times, checks, counts, weighs, or otherwise directs or measures their work; or disburses wage payments to such persons, whether licensed or unlicensed.
“Labor Organization” as defined by Labor Code Section 1140.4(f).1 means any organization of any kind, or any agency or employee representation committee or plan, in which employees participate and which exists, in whole or in part, for the purpose of dealing with concerning grievances, labor disputes, wages, rates of pay, hours of employment, or conditions of work for agricultural employees.
“Representative” is any individual, group or organization which stands in the place of or represents the interests of any person or entity in agriculture, agricultural employer, farm labor contractor or labor organization. “Representative” shall include, but not be limited to business agents, labor relations personnel, legal representatives, or trade associations.
Division 3. Public Employment Relations Board
Chapter 1. Public Employment Relations Board
Subchapter 1. Internal Procedures
Article 1. Public Meetings
§31001. Meetings.
Note     •     History

Except as permitted by law, the Public Employment Relations Board itself shall deliberate and take all actions only at public meetings. The Board's policy on public meetings shall be available to the public.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3, 3563, 71639.1 and 71825, Government Code; and Section 99561, Public Utilities Code.
HISTORY

1. New Article 1 (Sections 31000-31090, not consecutive) filed 11-9-78; effective thirtieth day thereafter (Register 78, No. 45). For prior history of Chapter 1, see Register 77, No. 30. 
2. Repealer of Article 1 (Sections 31000-31090, not consecutive) and new Article 1 (Section 31001) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 38). For prior history, see Registers 80, No. 25; 80, No. 7; 79, No. 21; and 79, No. 7.
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 2. Conflict of Interest Code
§31100. General Provisions.
Note     •     History

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission has adopted a regulation, 2 California Code of Regulations Section 18730, which contains the terms of a standard conflict of interest code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the conflict of interest code of the Public Employment Relations Board (PERB), except as provided below. 
Designated employees shall file statements of economic interests with PERB who will make the statements available for public inspection and reproduction. (Gov. Code section 81008). Upon receipt of the statements of Board Members, PERB shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission. Statements for all other designated employees will be maintained by PERB.
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY

1. New chapter 1, article 2 (sections 31100-31190, not consecutive) filed 7-19-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77. (Register 77, No. 30). For prior history of chapters 1 and 1.5, see Registers 76, No. 13; 76, No. 26; and 76, No. 31.
2. Redesignation of sections 31100-32690, not consecutive, as division 1 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
3. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
4. Certificate of Compliance as to filings of 7-6-78 filed 10-19-78 (Register 78, No. 42).
5. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
6. Repealer of article 2 (sections 31100-31190, not consecutive) and new article 2 (section 31100 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
7. Amendment of Appendix filed 10-27-82; effective upon filing pursuant to Government Code section 11346.2(d). Approved by Fair Political Practices Commission 8-30-82 (Register 82, No. 44).
8. Amendment of Appendix filed 10-10-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 4-16-85 (Register 85, No. 41).
9. Amendment filed 12-11-91; operative 1-10-92. Approved by Fair Political Practices Commission 10-18-91 (Register 92, No. 9).
10. Amendment of section and Appendix filed 5-10-95; operative 6-9-95. Submitted to OAL for printing only pursuant to Government Code section 87303 (Register 95, No. 19).
11. Amendment of Appendix (amended disclosure category (a) and addition of footnote 2) filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of section as it existed prior to 6-11-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 49).
13. Amendment of Appendix filed 12-24-2001; operative 12-24-2001. Approved by Fair Political Practices Commission 12-13-2001 (Register 2001, No. 52).
14. Amendment of section and Appendix filed 2-14-2006; operative 3-16-2006. Approved by Fair Political Practices Commission 12-22-2005  (Register 2006, No. 7). 

Appendix

Designated Positions	Disclosure Category
Board Members	 (a) and (b)
Executive Director	 (a) and (b)
Administrative Officer	 (a) and (b)
General Counsel	 (a) and (b)
Chief Administrative Law Judge	 (a) and (b)
All attorneys employed in the Office of the General Counsel	 (a)
All attorneys employed in the Division of Administrative Law 	(a)
All persons employed as a Legal Adviser to a Board Member	 (a)
Regional Directors	 (a)
Administrative Assistant to the Chair 	(a)
Legal Documents Examiner 	(a)
All Public Employment Relations Representatives and Specialists	 (a)
Business Services Officer	(b)
Consultant1	(a)

Disclosure Categories
(a) Designated employees assigned to this disclosure category shall disclose: Investments held in, income derived from, including gifts, loans, salary and reimbursements for expenses, travel or per diem, and any business positions held by a designated employee to the extent that they know or have reason to know that the entity or source is an organization of employers, employee organization, individual, law firm, labor negotiations firm or consulting firm, which is subject to the jurisdiction of the Public Employment Relations Board or has appeared within the last 12 months in a dispute before the board as a party, a representative for a party, or has provided assistance to a party in preparation for an appearance in a dispute before the board.
(b) Designated employees assigned to this disclosure category shall disclose: Investments held in, income derived from, including gifts, loans, salary and reimbursements for expenses, travel or per diem, and any business positions held in any entity or source of the type which provides services, supplies, materials, machinery, leased space or equipment to the Public Employment Relations Board.

---------
1Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation:
The Executive Director or Administrative Officer may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Executive Director's or Administrative Officer's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Subchapter 2. Definitions and General Provisions
Article 1. Definitions
§32000. EERA.
Note     •     History

“EERA” means the Educational Employment Relations Act as contained in Chapter 10.7 of Division 4 of Title 1 of the Government Code (commencing with Section 3540).
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3540 et seq., Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 76, No. 13; 76, No. 31; 78, No. 27; and 78, No. 42. 
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 38).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32001. Definition of Terms Under EERA.
Note     •     History

As applied to matters arising under EERA: 
(a) Employee Organization. “Employee Organization” as defined in Government Code Section 3540.1(d) shall include any two or more employee organizations as defined therein who join together to become “joint requestor,” “joint intervenor” or “joint petitioner.” 
(b) Intervening Organization. “Intervening Organization” or “Intervenor” means either of the following: 
(1) An employee organization filing a competing claim of representation or a challenge to the appropriateness of the unit pursuant to Government Code Section 3544.1(b); or 
(2) An employee organization filing a request to appear on the ballot following the filing of an employee petition for a representation election pursuant to Government Code Section 3544.3. 
(c) School District. “School District” as used in the EERA means a school district of any kind or class, including any public community college district, within the state.
(d) As used in Chapter 2, Subchapter 2 of these regulations, “academic year” means the period of time including, and limited to, July 1 of any year through June 30 of the succeeding year.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3540, et seq., Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.3(d) (Register 82, No. 39).
2. New subsection (d) filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§32005. Ralph C. Dills Act.
Note     •     History

“Ralph C. Dills Act” or “Dills Act” means the State Employer-Employee Relations Act as contained in Chapter 10.3 of Division 4 of Title 1 of the Government Code (commencing with Section 3512).
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Section 3524, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending section and Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32006. Definition of Terms Under Ralph C. Dills.
Note     •     History

As applied to matters arising under Ralph C. Dills Act:
(a) Employee Organization. “Employee organization” as defined in Government Code Section 3513(a) shall include any two or more employee organizations as defined therein who join together to become “joint petitioner,” or “joint election intervenor.”
(b) Election Intervenor. “Election Intervenor” means any employee organization, whether or not a party to a unit determination hearing, which files an intervention to appear on the ballot for an election in an appropriate Ralph C. Dills Act unit.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Section 3512, et seq., Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32010. HEERA.
Note     •     History

“HEERA” means the Higher Education Employer-Employee Relations Act as contained in Chapter 12 of Division 4 of Title 1 of the Government Code (commencing with Section 3560).
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3560 et seq., Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 78, No. 27 and 78, No. 42.
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32011. Definition of Terms Under HEERA.
Note     •     History

As applied to matters arising under HEERA: 
(a) “Employee organization” as defined in Government Code Section 3562(f) shall include any two or more employee organizations defined therein who join together to become a “joint requestor,” “joint intervenor” or “joint petitioner.” 
(b) In Chapter 4 of these regulations: 
(1) Requester. “Requester” means an employee organization which has filed a HEERA request for recognition. 
(2) Intervenor. “Intervenor” means an employee organization filing a competing claim of representation or a challenge to the appropriateness of the unit pursuant to HEERA. 
(3) Petitioner. “Petitioner” means an employee organization which has filed a HEERA petition for certification. 
(4) Election Intervenor. “Election Intervenor” means an employee organization, whether or not a party to the unit determination hearing, which files an intervention to appear on the ballot for an election in an appropriate unit pursuant to HEERA.
(c) As used in Chapter 4, Subchapter 2 of these regulations, “academic year” means the period of time including, and limited to, July 1 of any year through June 30 of the succeeding year.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3560, et seq., Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Amendment of subsection (a) and new subsection (c) filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
5. Amendment of subsection (a) and new subsection (c) filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
§32015. MMBA.
Note     •     History

“MMBA” means the Meyers-Milias-Brown Act as contained in Chapter 10 of Division 4 of Title 1 of the Government Code (commencing with Section 3500). 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Section 3500.5, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§32016. Definition of Terms Under MMBA.
Note     •     History

As applied to matters arising under MMBA: 
(a) Public agency. “Public agency” means every governmental subdivision, every district, every public and quasi-public corporation, every public agency and public service corporation, every town, city, county, city and county and municipal corporation, whether incorporated and whether chartered or not. For purposes of these regulations, the term “public agency” shall exclude the City of Los Angeles, County of Los Angeles, and superior and municipal courts, and does not mean a school district or a county board of education or a county superintendent of schools or a personnel commission in a school district having a merit system as provided in Chapter 5 (commencing with Section 45100) of Part 25 and Chapter 4 (commencing with Section 88000) of Part 51 of the Education Code or the State of California. The term “public agency,” as used herein, also excludes any transit agency not subject to the MMBA. 
(b) Exclusive representative. References in these regulations to an “exclusive representative” means an employee organization that has been recognized or certified as an exclusive or majority bargaining agent pursuant to MMBA. 
(c) Local rules. “Local rules” means the rules and regulations of a public agency adopted pursuant to the MMBA. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3501(a), (b) and (c), 3501.5, 3507, 3507.1, 3507.3, 3507.5 and 3508, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order, including amendment of subsection (a), transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§32017. TEERA.
Note     •     History

“TEERA” means the Los Angeles County Metropolitan Transportation Authority Transit Employer-Employee Relations Act as contained in Chapter 7 of Part 11 of Division 10 of the Public Utilities Code (commencing with Section 99560). 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99560 et seq., Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32018. Definition of Terms Under TEERA.
Note     •     History

As applied to matters arising under TEERA: 
(a) “Employee organization” as defined in Public Utilities Code Section 99560.1(f) shall include any two or more employee organizations defined therein who join together to become a “joint requester,” “joint intervenor” or “joint petitioner.” 
(b) “Exclusive representative” as defined in Public Utilities Code Section 99560.1(i) shall include any employee organization that, prior to January 1, 2004, was certified or recognized for a unit of supervisory employees, in accordance with Public Utilities Code Section 30750 et seq. 
(c) “Established bargaining unit” shall include any unit of supervisory employees established prior to January 1, 2004, in accordance with Public Utilities Code Section 30750 et seq. 
(d) In Chapter 6 of these regulations: 
(l) Requester. “Requester” means an employee organization which has filed a TEERA request for recognition. 
(2) Intervenor. “Intervenor” means an employee organization filing a competing claim of representation or a challenge to the appropriateness of the unit pursuant to TEERA. 
(3) Petitioner. “Petitioner” means an employee organization which has filed a TEERA petition for certification. 
(4) Election Intervenor. “Election Intervenor” means an employee organization, whether or not a party to the unit determination hearing, which files an intervention to appear on the ballot for an election in an appropriate unit pursuant to TEERA. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99560 et seq., Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32020. Board.
Note     •     History

“Board” means the five-member Public Employment Relations Board, any individual Board member or any Board agent.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3501(f), 3509, 3513(h), 3540.1(a), 3541, 3562(b), 71639.1(a) and 71825(a), Government Code; and Section 99560.1(b), Public Utilities Code. 
HISTORY

1. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32030. Board Itself.
Note     •     History

“Board itself” means only the five-member Public Employment Relations Board, or members thereof authorized by law to act on behalf of the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3501(f), 3509, 3513(h), 3540.1(a), 3541, 3562(b), 71639.1(a) and 71825(a), Government Code; and Section 99560.1(b), Public Utilities Code. 
HISTORY

1. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32032. Trial Court Act.
Note     •     History

“Trial Court Act” means the Trial Court Employment Protection and Governance Act as contained in Chapter 7 of Title 8 of the Government Code (commencing with Section 71600). 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Section 71600, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32033. Definition of Terms Under Trial Court Act.
Note     •     History

As applied to matters arising under the Trial Court Act: 
(a) Trial court. “Trial court” means a superior court.
(b) Exclusive representative. References in these regulations to an “exclusive representative” means an employee organization that has been recognized or certified as an exclusive or majority bargaining agent pursuant to the Trial Court Act. 
(c) Local rules. “Local rules” means the rules and regulations of a trial court adopted pursuant to Section 71636 of the Trial Court Act. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 71601(h), (k) and 71636, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of subsection (a), transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32034. Court Interpreter Act.
Note     •     History

“Court Interpreter Act” means the Trial Court Interpreter Employment and Labor Relations Act as contained in Chapter 7.5 of Title 8 of the Government Code (commencing with Section 71800). 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Section 71800, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32035. Definition of Terms Under Court Interpreter Act.
Note     •     History

As applied to matters arising under the Court Interpreter Act: 
(a) “Regional committee” means a regional court interpreter employment relations committee established under Government Code section 71807.
(b) Trial court. “Trial court” means a superior court.
(c) Exclusive representative. References in these regulations to an “exclusive representative” means an employee organization that has been recognized or certified as an exclusive or majority bargaining agent pursuant to the Court Interpreter Act. 
(d) Local rules. “Local rules” means the rules and regulations of a regional committee adopted pursuant to Section 71823 of the Court Interpreter Act. 
(e) Employer. As used in these regulations, the term “employer” includes a regional court interpreter employment relations committee established under Government Code section 71807.
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 71801(g), (h), 71807 and 71823, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 82, No. 39.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including new subsections (b) and (e) and subsection relettering, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32040. Executive Director.
Note     •     History

“Executive Director” means the officer of that title appointed by the Board pursuant to Government Code Section 3541(f).
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Section 3541(f), Government Code. 
HISTORY

1. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Editorial correction filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32050. General Counsel.
Note     •     History

“General Counsel” means the officer of that title appointed pursuant to Government Code Section 3541(f).
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Section 3541(f), Government Code. 
HISTORY

1. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Editorial correction filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32055. Chief Administrative Law Judge.
Note     •     History

“Chief Administrative Law Judge” means the officer of that title designated by the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), 3563(j), 71639.1 and 71825, Government Code; and Section 99561(j), Public Utilities Code. 
HISTORY

1. New section filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80.
2. Certificate of Compliance filed 6-18-80 (Register 80, No. 25). 
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending section and Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32060. Headquarters Office.
Note     •     History

“The headquarters office” means the main office of the Board itself, the General Counsel, the Chief Administrative Law Judge, and the Executive Director. The headquarters office shall be located in Sacramento, CA.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. Amendment filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80.
2. Certificate of Compliance filed 6-18-80 (Register 80, No. 25). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32070. Regional Director.
Note     •     History

NOTE

Authority cited: Sections 3513(g); 3541.3(g), (n); 3563(f), (m), Government Code. Reference: Sections 3513(g), 3541.3(g), 3563(f), Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 78, No. 27 and 78, No. 42).
2. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32075. Regional Office.
Note     •     History

“The regional office” means the office established by the Board which serves the county in which the principal office of an employer is located according to the following schedule: 
Counties included in the Sacramento Regional Office jurisdiction: Alpine, Amador, Butte, Calaveras, Colusa, El Dorado, Fresno, Glenn, Inyo, Kings, Lassen, Madera, Mariposa, Merced, Modoc, Mono, Nevada, Placer, Plumas, Sacramento, San Joaquin, Shasta, Sierra, Siskiyou, Stanislaus, Sutter, Tehama, Trinity, Tulare, Tuolumne, Yolo, Yuba. 
Counties included in San Francisco Regional Office jurisdiction: Alameda, Contra Costa, Del Norte, Humboldt, Lake, Marin, Mendocino, Monterey, Napa, San Benito, San Francisco, San Mateo, Santa Clara, Santa Cruz, Solano, Sonoma. 
Counties included in Los Angeles Regional Office jurisdiction: Imperial, Kern, Los Angeles, Orange, Riverside, San Bernardino, San Diego, San Luis Obispo, Santa Barbara, Ventura.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32080. Day.
Note     •     History

“Day” means calendar day unless otherwise specified.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(f), Public Utilities Code. 
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32085. Workday.
Note     •     History

(a) EERA--“Workday,” as utilized in matters arising under EERA, means a day when schools in a district are in session, excluding Saturdays and Sundays, except that a day(s) may be included or excluded as a workday when the Board determines that a substantial number of affected employees would or would not be at work on that day(s). 
(b) HEERA--“Workday,” as utilized in matters arising under HEERA, means Monday through Friday, from September 20 through May 20, excluding Thanksgiving Day, and the Friday following Thanksgiving Day, and also excluding December 20 through January 2, except that a day(s) may be included or excluded as a workday when the Board determines that a substantial number of affected employees would or would not be at work on that day(s).
(c) Ralph C. Dills Act--“Workday,” as utilized in matters arising under Ralph C. Dills Act, means Monday through Friday, excluding a holiday as defined under Government Code Section 6700 or 6701.
(d) MMBA--“Workday,” as utilized in matters arising under MMBA, means Monday through Friday, excluding any holiday defined under the applicable local rules or collective bargaining agreement. 
(e) TEERA--“Workday,” as utilized in matters arising under TEERA, means Monday through Friday, excluding the following holidays: New Year's Day, Martin Luther King Jr. Day, President's Day, Memorial Day, Fourth of July (Independence Day), Labor Day, Thanksgiving and Christmas. 
(f) Trial Court Act--“Workday,” as utilized in matters arising under the Trial Court Act, means Monday through Friday, excluding a holiday as defined under Government Code Section 6700 or 6701. 
(g) Court Interpreter Act--“Workday,” as utilized in matters arising under the Court Interpreter Act, means Monday through Friday, excluding a holiday as defined under Government Code Section 6700 or 6701. 
NOTE

Authority cited: Sections 3509(a), 3541.3(g), 3563(f), 3513(h), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3541.3(n), 3563(m), 3513(h), 3541.3(g), 3563(f), 71639.1 and 71825, Government Code; and Section 99561(f), Public Utilities Code. 
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment of section and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. New subsection (d) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. New subsection (e) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. New subsections (f)-(g) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. New subsections (f)-(g) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32090. Fax Filing.
Note     •     History

(a) “Facsimile transmission” is the transmission of a document by a system that encodes a document into electrical signals, transmits these electrical signals over a telephone line, and reconstructs the signals to print a duplicate of the original document at the receiving end.
(b) “Facsimile machine” means a machine that can send a facsimile transmission using the international standard for scanning, coding, and transmission established for Group 3 machines by the Consultative Committee of International Telegraphy and Telephone of the International Telecommunications Union, in regular resolution. Any facsimile machine used to send documents must send at an initial transmission speed of no less than 4800 baud and be able to generate a transmission record. Facsimile machine includes, but is not limited to, a facsimile modem that is connected to a personal computer.
(c) “Facsimile filing” or “filing by fax” means the facsimile transmission of a document to PERB.
(d) “Fax” is an abbreviation for “facsimile,” and refers, as indicated by the context, to facsimile transmission or to a document so transmitted.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513, 3514.5, 3541.3, 3541.5, 3563, 3563.2, 71639.1 and 71825, Government Code; and Sections 99561 and 99561.2, Public Utilities Code. 
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2). For prior history see Register 80, No. 25.
2. New Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 2. General Provisions
§32100. Application of Regulations.
Note     •     History

(a) All rules and regulations within this Chapter shall apply to proceedings conducted under EERA, Ralph C. Dills Act, and HEERA and to Chapters 2, 3 and 4 within this Division.
(b) All rules and regulations within this Chapter, except for Subchapter 6, shall apply to proceedings conducted under MMBA and to Chapter 5 within this Division. 
(c) All rules and regulations within this Chapter, except for Article 6 of Subchapter 6, shall apply to proceedings conducted under TEERA and to Chapter 6 within this Division. 
(d) All rules and regulations within this Chapter, except for Subchapter 6, shall apply to proceedings conducted under the Trial Court Act and to Chapter 7 within this Division. 
(e) All rules and regulations within this Chapter, except for Subchapter 6, shall apply to proceedings conducted under the Court Interpreter Act and to Chapter 8 within this Division. 
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3507, 3507.1, 3507.5, 3508, 3509, 3513(h), 3541.3, 3563, 71636, 71636.3, 71637.1, 71639.1, 71823 and 71825, Government Code; and Section 99561, Public Utilities Code. 
HISTORY

1. Renumbering of Section 32100 to Section 32830 and new Section 32100 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. New subsection (c) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. New subsections (d)-(e) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. New subsections (d)-(e) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32105. Severability.
Note     •     History

If any section, subsection, clause or provision of these regulations is found to be invalid, the same shall not affect the remaining portion of the regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3, 3563, 71639.1 and 71825, Government Code; and Section 99561, Public Utilities Code. 
HISTORY

1. New section filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32110. Delegation to Executive Director.
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(a), (c), (g), (h), (k), (n) and 3563(f), Government Code. Reference: Sections 3541.3, 3541.5, 3542, 3563(f) and Chapter 10.3 beginning with Section 3512, Division 4, Title 1, Government Code.
HISTORY

1. Renumbering to Section 32840 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. New section filed 12-4-78; effective thirtieth day thereafter (Register 78, No. 49). 
4. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
5. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32115. Delegation to General Counsel.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), (n), (k); 3513(g) and 3563(f), (j), (m), Government Code. Reference: Sections 3541(e); 3541.3(g), (k), (n); 3513(g) and 3563(f), (j), (m), Government Code.
HISTORY

1. New section filed 12-4-78; effective thirtieth day thereafter (Register 78, No. 49). 
2. Amendment filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80. 
3. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25). 
4. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32118. Delegation to Chief Administrative Law Judge.
Note     •     History

NOTE

Authority cited: Sections 3513(g); 3541.3(g), (n), (k), and 3563(f), (j), (m), Government Code. Reference: Sections 3513(g); 3541(e); 3541.3(g), (k), (n); and 3563(f), (j), (m), Government Code.
HISTORY

1. New section filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80. 
2. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32120. Filing Contracts with Board.
Note     •     History

Each employer entering into a written agreement or memorandum of understanding with an exclusive representative pursuant to the Trial Court Act, Court Interpreter Act, TEERA, MMBA, EERA, Ralph C. Dills or HEERA, if requested by the Board, shall file one copy of the agreement and any amendments thereto with the Board within 15 days of the request.
NOTE

Authority cited: Sections 3509(a), 3524, 3541.3(g), 3563(f), 3513(h), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3524, 3541.3(n), 3563(m), 3541.3(f), (g), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Amendment of section and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of section and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
7. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of section and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32122. Place to File Representation Matters.
Note     •     History

(a) Except as provided for in subsection (b) and Sections 32123 and 32124, the appropriate location for filing documents in representation matters shall be the regional office which serves the county in which the principal office of an employer is located, as described in Section 32075 of these regulations.
(b) The appropriate location for filing documents in representation matters under the Court Interpreter Act shall be as follows: in the case of Regions 1 and 4, the Los Angeles Regional Office; for Region 2, the San Francisco Regional Office; and for Region 3, the Sacramento Regional Office.
NOTE

Authority cited: Sections 3509, 3541.3(g), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3541.3(n), 71639.1, 71807 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
3. Amendment of section heading, section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-27-2004 order, including amendment of section, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32123. Place to File HEERA Representation Matters.
Note     •     History

(a) The San Francisco Regional Office shall be the appropriate location for filing documents in representation matters relating to the University of California or Hastings College of the Law. 
(b) The Los Angeles Regional Office shall be the appropriate location for filing documents in representation matters relating to the California State University.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3563(m), Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32124. Place to File Ralph C. Dills Act Representation Matters.
Note     •     History

The Sacramento Regional Office shall be the appropriate location for filing all documents in representation matters relating to the State of California.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3524 and 3541.3(n), Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment of Section heading and NOTE filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Amendment filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32125. Financial Reports.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(n) and 3563(m), Government Code; and Sections 99561(m) and 99566.3, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Register 80, No. 5.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment of subsection (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
5. Change without regulatory effect amending subsection (g)(2) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
6. Amendment of subsection (a) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
7. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
8. Change without regulatory effect amending subsection (g)(2) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
9. Amendment filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
10. Amendment of subsection (a) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Repealer of section and amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32126. Obligations of Regional Director.
History

HISTORY

1. New section filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3). 
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Renumbering to Section 32910 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
4. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
§32130. Computation of Time.
Note     •     History

(a) In computing any period of time under these regulations, except under Section 32776(c), (d), (e) and (f), the period of time begins to run the day after the act or occurrence referred to.
(b) Whenever the last date to file a document falls on Saturday, Sunday, or a holiday, as defined in Government Code Sections 6700 and 6701, or PERB offices are closed, the time period for filing shall be extended to and include the next regular PERB business day. The extension of time provided herein shall be applied subsequent to the application of any other extension of time provided by these regulations or by other applicable law.
(c) A five day extension of time shall apply to any filing made in response to documents served by mail if the place of address is within the State of California, ten days if the place of address is outside the State of California but within the United States, and twenty days if the place of address is outside the United States. No extension of time applies in the case of documents served in person, or by facsimile transmission as defined in Section 32090.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3, 3544.7(b), 3563, 3577(b), 71639.1 and 71825, Government Code; and Sections 99561 and 99564.4(b), Public Utilities Code. 
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (b) and new subsection (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Amendment of subsection (c) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of subsection (b) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Change without regulatory effect amending subsection (a) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
9. Amendment of subsections (a) and (b) amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of subsection (b) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (b) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of subsections (b) and (c) and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32132. Extension of Time.
Note     •     History

(a) A request for an extension of time within which to file any document with the Board itself shall be in writing and shall be filed at the headquarters office at least three days before the expiration of the time required for filing. The request shall indicate the reason for the request and, if known, the position of each other party regarding the extension. Service and proof of service pursuant to Section 32140 are required. Extensions of time may be granted by the Board itself or an agent designated by the Board itself for good cause only. 
(b) A request for an extension of time within which to file any document with a Board agent shall be in writing and shall be filed with the Board agent at least three days before the expiration of the time required for filing. The request shall indicate the reason for the request and, if known, the position of each other party regarding the extension and shall be accompanied by proof of service of the request upon each party. Extensions of time may be granted by the Board agent for good cause only.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. New section filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11). 
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending subsection (a) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32133. Late Filing.
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3513(g), 3541.3(n) and 3563(m), Government Code.
HISTORY

1. New section filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11). 
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27). 
3. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32135. Filing.
Note     •     History

(a) All documents shall be considered “filed” when the originals, and the required number of copies, if any, are actually received by the appropriate PERB office during a regular PERB business day.
(b) All documents, except proof of support as described in sections 32700, 61020, 81020 and 91020, shall also be considered “filed” when received during a regular PERB business day by facsimile transmission at the appropriate PERB office together with a Facsimile Transmission Cover Sheet, or when received by on-line filing as defined in Section 32613.
(c)  A party filing documents by facsimile transmission or by on-line filing must also deposit the original, together with the required proof of service and the required number of copies, in the U.S. mail or with a delivery service for delivery to the appropriate PERB office.
(d) A facsimile filing shall be accompanied by a Facsimile Transmission Cover Sheet which includes the following:
(1) The name of the party serving or filing papers by fax and the name and telephone number of the agent transmitting the document by facsimile transmission;
(2) The name or title of the document being transmitted and the number of pages;
(3) The date and time of the transmission;
(4) The PERB case number, if any.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. New section filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11). 
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27). 
3. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). 
4. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
5. Amendment of section and designation as subsection (a) and new subsections (b)-(d)(4) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of subsection (b) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of subsection (a) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
10. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of subsection (b) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (b) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. Amendment of subsections (a)-(c) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
16. Amendment of subsection (c) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§32136. Late Filing.
Note     •     History

A late filing may be excused in the discretion of the Board for good cause only. A late filing which has been excused becomes a timely filing under these regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Sections 12, 12(a) and 1013, Code of Civil Procedure; and Section 99561(m), Public Utilities Code. 
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For history of former section, see Registers 80, No. 25; and 79, No. 38.
2. Amendment filed 12-29-88, operative 1-28-89 (Register 89, No. 4).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32140. Service.
Note     •     History

(a) All documents referred to in these regulations requiring “service,” except subpoenas, shall be considered “served” by the Board or a party when personally delivered, deposited in the mail or with a delivery service properly addressed, or when sent by facsimile transmission in accordance with the requirements of Sections 32090 and 32135(d). All documents required to be served shall include a “proof of service” declaration signed under penalty of perjury which contains the following information: (1) The name of the declarant; (2) the county and state in which the declarant is employed or resides; (3) a statement that the declarant is over the age of 18 years and not a party to the case; (4) the address of the declarant; (5) a description of the documents served; (6) the method of service and a statement that any postage or other costs were prepaid; (7) the name(s), address(es) and, if applicable, fax number(s) used for service on the party(ies); and (8) the date of service.
(b) Whenever “service” is required by these regulations, service shall be on all parties to the proceeding and shall be concurrent with the filing in question.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code. 
HISTORY

1. Repealer of former subsection (b) and relettering of subsection (c) to subsection (b) filed 5-27-86 as an emergency; effective upon filing (Register 86, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-24-86. For prior history, see Register 82, No. 39. 
2. Certificate of Compliance filed 9-23-86 (Register 86, No. 39).
3. Editorial correction of History 1 (Register 96, No. 52).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Change without regulatory effect amending subsection (a) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
13. Amendment of subsection (a) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32142. Proper Recipient for Filing or Service.
Note     •     History

Whenever a document is required to be “filed” or “served” with any of the below listed entities, the proper recipient shall be: 
(a) The Board: the appropriate or designated regional office  (see, e.g.  Sections 32075, 32122, or 32612) unless the headquarters office is specified;
(b) The Board itself: only at the headquarters office; 
(c) An employer 
(1) in the case of a public school employer: the superintendent, deputy superintendent, or a designated representative of a school district; or to the school board at a regular or extraordinary meeting; 
(2) in case of a state employer: the Governor or his designated representative on behalf of the State of California; 
(3) in the case of a higher education employer: 
(A) If the employer is the Regents of the University of California, the Office of the General Counsel of the University; 
(B) If the employer is the Directors of Hastings College of the Law, the Office of the General Counsel of Hastings; 
(C) If the employer is the Trustees of the California State University for unfair practice proceedings, service shall be on the Office of the General Counsel of the California State University; for representation proceedings, filing or service shall be on the Office of the Director of Employee Relations. 
(4) in the case of a public agency employer as defined in Government Code section 3501(c): the individual designated to receive service or the chief executive officer. 
(5) in the case of a transit district employer as defined in Public Utilities Code section 99560.1(g), any person authorized to act on behalf of the employer. 
(6) in the case of a trial court employer as defined in Government Code section 71601(k) or 71801(k): the individual designated to receive service or the executive officer. 
(7) in the case of a regional committee employer as defined in Government Code section 71801(h) and 71807: the individual designated to receive service or the chair of the regional committee. 
(d) An employee organization: the individual designated to receive service or to the president or if there is no president, an officer of the organization.
(e) An individual: to the named person or to their representative of record.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3501(c), 3513(j), 3541.3(n), 3563(m), 71601(k), 71639.1, 71801(h), 71807 and 71825, Government Code; and Section 99560.1(g) and (h), Public Utilities Code. 
HISTORY

1. New section filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11). 
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27). 
3. Amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
4. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Amendment of subsection (a) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
8. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
9. New subsection (c)(4) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
11. New subsection (c)(5) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
13. New subsections (c)(6)-(7) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
14. New subsections (c)(6)-(7) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-27-2004 order, including further amendment of subsections (c)(6) and (c)(7), transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32145. Waiver of Time Periods.
Note     •     History

The Board itself may waive or all parties to a proceeding, subject to the approval of the Board, may jointly waive any time period allowed for action by a party or the Board in order to expedite any pending matter.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code.
HISTORY

1. Renumbering from Section 32240 and amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32147. Expediting Matters Before the Board.
Note     •     History

The Board itself, the Chief Administrative Law Judge or the General Counsel may expedite any matter pending before the Board pursuant to policy established by the Board itself. For purposes of this Section, expediting matters in the case of the Board itself means the matter shall be given priority and decided on an expedited basis.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(n), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(m), Public Utilities Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32149. Investigative Subpoenas.
Note     •     History

The Board may issue investigative subpoenas and subpoenas duces tecum compelling the attendance of witnesses and production of records at investigative proceedings. The provisions in Section 32150 governing issuance of subpoenas and motions to quash subpoenas shall be applicable to investigative subpoenas issued by the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32150. Subpoenas.
Note     •     History

(a) Before the hearing has commenced, the Board shall issue subpoenas at the request of any party for attendance of witnesses or production of documents at the hearing. Compliance with the provisions of Section 1985 of the Code of Civil Procedure shall be a condition precedent to the issuance of a subpoena for production of documents. After the hearing has commenced the Board may issue subpoenas. 
(b) Any subpoenas issued pursuant to subdivision (a) shall be extended to all parts of the State and shall be served in accordance with the provisions of sections 1987 and 1988 of the Code of Civil Procedure.
(c) All witnesses appearing pursuant to subpoena, other than the parties, shall receive fees and mileage in the amount as prescribed by law for civil actions in a superior court. Fees, mileage and expenses of subsistence shall be paid by the party at whose request the witness is subpoenaed. 
(d) A written motion to revoke a subpoena may be filed prior to the proceeding or made by an oral motion at the commencement of the proceeding. The Board shall revoke the subpoena if the evidence requested to be produced is not relevant to any matter under consideration in the proceeding or the subpoena is otherwise invalid. 
(e) Upon a finding of the Board itself that a Board agent is essential to the resolution of a case and that no rational decision of the Board can be reached without such agent, the Board itself shall produce the agent if subpoenaed to do so by any party to the dispute. 
(f) Upon the failure of any person to comply with a subpoena, the Board may apply to an appropriate superior court for an order requiring such person to appear and produce evidence and give testimony regarding the matter under investigation or in question. Requests for compliance with a subpoena shall be made to the Board agent assigned the case. If the Board agent deems it appropriate, he or she shall promptly recommend to the General Counsel that the Board seek enforcement of the subpoena. A request that the Board apply for an order may be made by the General Counsel at any stage of the proceedings. The Board shall seek enforcement on recommendation of the General Counsel unless in the judgment of the Board the enforcement of such subpoena or notice would be inconsistent with law or the policies of the applicable Act. If the request is granted, the record will remain open in the matter until the Board determines that the court order will not be forthcoming, or that further delay would frustrate the policies of the applicable Act, or until the testimony sought is included in the record.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of subsection (b) and NOTE filed 2-27-92; operative 3-30-92 (Register 92, No. 12).
4. Amendment of subsection (c) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32155. Disqualification of Board Agent or Board Members.
Note     •     History

(a) No Board member, and no Board agent performing an adjudicatory function, shall decide or otherwise participate in any case or proceeding:
(1) In which he or she has a financial interest in the outcome.
(2) When he or she is related to any party or to an agent or officer of any party, or to an attorney or counsel of any party by consanguinity or affinity within the third degree computed according to the rules of law, or when he or she is indebted, through money borrowed as a loan, to any party or to an attorney or counsel of any party.
(3) When, in the case or proceeding, he or she has been attorney or counsel for any party; or when he or she has given advice to any party upon any matter involved in the proceeding before the Board; or when he or she has been retained or employed as attorney or counsel for any party within one year prior to the commencement of the case at the Board level.
(4) When it is made to appear probable that, by reason of prejudice of such Board member or Board agent, a fair and impartial consideration of the case cannot be had before him or her.
(b) Whenever such a Board agent shall have knowledge of any facts, which under the provisions of this rule disqualify him or her from presiding over any aspect of a hearing or investigation, it shall be his or her duty immediately to notify the General Counsel or the Chief Administrative Law Judge, as appropriate, setting forth all reasons for his or her belief.
(c) Any party may request the Board agent to disqualify himself or herself whenever it appears that it is probable that a fair and impartial hearing or investigation cannot be held by the Board agent to whom the matter is assigned. Such request shall be written, or if oral, reduced to writing within 24 hours of the request. The request shall be under oath and shall specifically set forth all facts supporting it. The request must be made prior to the taking of any evidence in an evidentiary hearing or the actual commencement of any other proceeding.
If such Board agent admits his or her disqualification, such admission shall be immediately communicated to the General Counsel or the Chief Administrative Law Judge, as appropriate, who shall designate another Board agent to hear the matter.
Notwithstanding his or her disqualification, a Board agent who is disqualified may request another Board agent who has been agreed upon by all parties to conduct the hearing or investigation.
(d) If the Board agent does not disqualify himself or herself and withdraw from the proceeding, he or she shall so rule on the record, state the grounds for the ruling, and proceed with the hearing or investigation and the issuance of the decision. The party requesting the disqualification may, within ten days, file with the Board itself a request for special permission to appeal the ruling of the Board agent. If permission is not granted, the party requesting disqualification may file an appeal, after hearing or investigation and issuance of the decision, setting forth the grounds of the alleged disqualification along with any other exceptions to the decision on its merits.
(e) Whenever a Board member shall have knowledge of any facts which, under the provisions of this rule, disqualify him or her to consider any case before the Board, it shall be his or her duty to declare the disqualification to the Board immediately upon learning of such facts. This declaration shall be made part of the official record of the Board. The Board member shall then refrain from participating and shall attempt in no way to influence any other person with respect to the matter.
(f) Any party to a case before the Board may file directly with the Board member a motion for his or her recusal from the case when exceptions are filed with the Board or within ten days of discovering a disqualifying interest provided that such facts were not available at the time exceptions were filed. The motion shall be supported by sworn affidavits stating the facts constituting the ground for disqualification of the Board member. Copies of the motion and supporting affidavits shall be served on all parties to the case.
(g) Within ten days after the filing of a motion for recusal, the Board member alleged to be disqualified shall render a decision stating the reasons therefore. If the Board member is not on the panel assigned to hear the case, he or she shall so inform the parties and indicate that he or she does not intend to participate in the case. In the event that the Board member decides to participate, he or she shall render a decision on the motion for recusal before doing so.
(h) Any party aggrieved by a determination made pursuant to subsections (d) or (g) of this rule may include the matter of claimed disqualification in a writ of extraordinary relief filed pursuant to Government Code Section 3509.5, 3520, 3542, 3564, 71639.4 or 71825.1 or Public Utilities Code section 99562 seeking judicial review of the Board's decision on the merits.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3509.5, 3513, 3520, 3541.3, 3542, 3563, 3564, 71639.1, 71639.4, 71825 and 71825.1, Government Code; and Sections 99561 and 99562, Public Utilities Code. 
HISTORY

1. New section filed 1-20-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Amendment of subsections (b)-(d) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of subsections (b) and (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Amendment of subsection (a)(3) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (d) and (h) and amendment of Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of subsection (h) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of subsection (h) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (h) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
13. Amendment of subsection (h) and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32160. Depositions.
Note     •     History

The Board may order the taking of testimony of a material witness within or outside the State by deposition in the manner prescribed for civil actions only upon the filing of an application by a party showing that: 
(a) The witness is unable to attend the hearing because of illness, infirmity or imprisonment; or 
(b) The witness cannot be compelled to attend the hearing by subpoena. The application shall state the case number, name and address of the witness, show the materiality of the testimony, and shall request an order requiring the witness to appear and testify before a named officer authorized by law to take depositions. Where the witness resides outside the State and the Board has authorized a deposition of the witness, the Board shall obtain an order of the Superior Court in Sacramento County for that purpose pursuant to Section 11189 of the Government Code.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32162. Confidentiality of Board Investigations.
Note     •     History

The Board shall not disclose any confidential statement submitted by a party, or the identity of any person who submits such a statement, unless the person submitting the statement agrees to disclosure or disclosure is required: 
(a) Pursuant to Section 32206, concerning production of statements of witnesses after direct testimony; 
(b) In a court proceeding upon a complaint for injunctive relief; 
(c) By order of the Board itself; 
(d) By final order of a court of competent jurisdiction.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32163. Board Assistance.
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3513(g), 3541.3(n) and 3563(g), Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Repealer filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
§32164. Application for Joinder of Parties.
Note     •     History

(a) Any employee, employee organization or employer may file with the Board agent an application for joinder as a party in a case. Service and proof of service of the application pursuant to Section 32140 are required.
(b) The application for joinder shall be in writing, signed by the representative filing it and contain a statement of the extent to which joinder is sought and a statement of all the facts upon which the application is based. The Board shall allow each party an opportunity to oppose the application. 
(c) The Board may allow joinder if it determines that the party has a substantial interest in the case or will contribute substantially to a just resolution of the case and will not unduly impede the proceeding. 
(d) The Board may order joinder of an employer, employee organization or individual, subject to its jurisdiction, on application of any party or its own motion if it determines that: 
(1) In the absence of the employer, employee organization or individual, as a party, complete relief cannot be accorded; or 
(2) The employer, employee organization or individual has an interest relating to the subject of the action and is so situated that the disposition of the action in their absence may:
(A)As a practical matter impair or impede their ability to protect that interest; or 
(B) Leave any of the parties subject to a substantial risk of incurring double, multiple, or otherwise inconsistent obligations by reason of said interest.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Subchapter 3. Hearings
§32165. Application to Join a Representation Hearing As a Limited Party.
Note     •     History

In a representation proceeding the Board agent may allow any person, employer, or employee organization which did not file a timely request for recognition, intervention or petition to join the hearing as a limited party provided: 
(a) The person, employer, or employee organization files a written application prior to the commencement of the hearing stating facts showing that it has an interest in the proceeding; and 
(b) The Board agent determines that the person, employee organization or employer has an interest in the case and will not unduly impede the proceeding. 
(c) The Board agent may grant participation in the hearing which shall be limited to the right to make an oral statement on the record and to file a written brief subject to such conditions as may be prescribed.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(a), (b), (h), (l), (m), (n), 3563(a), (c), (g), (k), (l), 71639.1 and 71825, Government Code; and Section 99561(a), (c), (g), (k), (l), Public Utilities Code. 
HISTORY

1. Redesignation of Sections 32165-32230, not consecutive, as Division 1, Chapter 3 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. New section filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
3. Certificate of Compliance as to filings of 7-6-78 filed 10-19-78 (Register 78, No. 42). 
4. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
5. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 82, No. 39).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32166. Application to Join a Representation Hearing As a Full Party.
Note     •     History

(a) An employee organization shall be allowed to participate fully in a representation hearing provided it has filed a written application with the regional office not less than 10 days prior to the commencement of the hearing, accompanied by either 10 percent support of any unit in dispute at the hearing, or 10 percent support of a proposed unit which overlaps another unit in dispute at the hearing. Proof of support is defined in Chapter 1, Section 32700, Chapter 5, Section 61020, Chapter 7, Section 81020, and Chapter 8, Section 91020. A copy of the written application, excluding the proof of support, shall be served on the parties. Proof of service pursuant to Section 32140 is required.
(b) The Board agent may waive the deadline for filing an application pursuant to this Section for good cause.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(a), (b), (h), (l), (m), (n), 3563(a), (c), (g), (k), (l), 71639.1 and 71825, Government Code; and Section 99561(a), (c), (g), (k), (l), Public Utilities Code. 
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 78, No. 27; 78, No. 42 and 79, No. 22.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 82, No. 39).
3. Change without regulatory effect amending subsection (a) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of subsection (a) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of subsection (a) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§32168. Conduct of Hearing.
Note     •     History

(a) Hearings shall be conducted by a Board agent designated by the Board, except that the Board itself or a Board member may act as a hearing officer.
(b) A Board agent may be substituted for another Board agent at any time during the proceeding at the discretion of the Chief Administrative Law Judge in unfair practice cases or the General Counsel in representation matters. Prior to ordering a substitution the parties shall be notified and provided an opportunity to state objections to the proposed substitution. Substitutions of Board agents shall be appealable only in accordance with Sections 32200 or 32300.
(c) Hearings shall be open to the public, except as provided in Section 32170.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), (k), 3563(g), (j), 71639.1 and 71825, Government Code; and Section 99561(g), (j), Public Utilities Code. 
HISTORY

1. New section filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment of subsection (b) filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80.
4. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Amendment of subsection (b) adding requirement for notification of parties and an opportunity to object prior to substitution of a Board agent filed 12-29-88; operative 1-28-89 (Register 89, No. 4). Ed. Note: This amendment codifies an interpretation made by the Public Employment Relations Board in Fremont Union High School District (1987) PERB Decision No. 651.
8. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
9. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
11. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
13. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
14. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32170. Powers and Duties of Board Agent Conducting a Hearing.
Note     •     History

The board agent conducting a hearing shall have the powers and duties to: 
(a) Inquire fully into all issues and obtain a complete record upon which the decision can be rendered; 
(b) Authorize the taking of depositions; 
(c) Issue subpoenas and rule upon petitions to revoke subpoenas; 
(d) Regulate the course and conduct of the hearing, including the power to exclude a witness from the hearing room; 
(e) Hold conferences for the settlement or simplification of issues; 
(f) Rule on objections, motions and questions of procedure; 
(g) Administer oaths and affirmations; 
(h) Take evidence and rule on the admissibility of evidence;
(i) Examine witnesses for the purpose of clarifying the facts and issues;
(j) Authorize the submission of briefs and set the time for the filing thereof; 
(k) Hear oral argument; 
(l) Render and serve the proposed decision on each party;
(m) Carry out the duties of administrative law judge as provided or otherwise authorized by these regulations or by the applicable Act.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), (k), 3563(g), (j), 71639.1 and 71825, Government Code; and Section 99561(g), (j), Public Utilities Code. 
HISTORY

1. Amendment of Subsection (d) and (l) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). 
3. New Subsection (m) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Editorial correction restoring inadvertently omitted subsection (i) (Register 95, No. 32).
5. Change without regulatory effect amending subsection (l) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32175. Rules of Evidence: Representation Cases.
Note     •     History

(a) Compliance with the technical rules of evidence applied in the courts shall not be required. Oral evidence shall be taken only on oath or affirmation. However, immaterial, irrelevant, or unduly repetitious evidence may be excluded. The rules of privilege shall apply. 
(b) A party seeking to offer a written document into evidence shall provide a copy of the document for each party to the hearing.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(a), (b), (h), (l), (m), 3563(a), (c), (g), (k), (l), 71639.1 and 71825, Government Code; and Section 99561(a), (c), (g), (k), (l), Public Utilities Code. 
HISTORY

1. Renumbering from Section 33350 and amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32176. Rules of Evidence: Unfair Practice Cases.
Note     •     History

Compliance with the technical rules of evidence applied in the courts shall not be required. Oral evidence shall be taken only on oath or affirmation. Hearsay evidence is admissible but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. Immaterial, irrelevant, or unduly repetitious evidence may be excluded. The rules of privilege shall apply. Evidence of any discussion of the case that occurs in an informal settlement conference shall be inadmissible in accordance with Evidence Code Section 1152.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), (i), 3563(g), (h), 71639.1 and 71825, Government Code; and Section 99561(g), (h), Public Utilities Code. 
HISTORY

1. Renumbering from Section 35026 and amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32178. Burden of Proof: Unfair Practice Cases.
Note     •     History

The charging party shall prove the complaint by a preponderance of the evidence in order to prevail.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), (i), 3563(g), (h), 71639.1 and 71825, Government Code; and Section 99561(g), (h), Public Utilities Code. 
HISTORY

1. Renumbering from Section 35027 and amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). 
4. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32180. Rights of Parties.
Note     •     History

Each party to the hearing shall have the right to appear in person, by counsel or by other representative, and to call, examine and cross-examine witnesses and introduce documentary and other evidence on the issues.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32185. Ex Parte Communications.
Note     •     History

(a) No party to a formal hearing before the Board on an unfair practice complaint shall, outside the hearing of the other parties, orally communicate about the merits of the matter at issue with the Board agent presiding. Nor shall any party to a formal hearing communicate in writing with the Board agent presiding without providing a copy of the writing to the other parties.
(b) A Board agent who receives such an ex parte communication shall state on the record that the communication was made, identify the person who made it and either summarize the contents of the communication, or provide all parties with a copy of such communication. The Board agent shall then afford the other parties to the hearing the opportunity to rebut the communication on the record.
NOTE

Authority cited: Sections 3509(a), 3541.3, 3513(h), 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), (i), (n), 3563(g), (h), (m), 71639.1 and 71825, Government Code; and Section 99561(g), (h) and (m), Public Utilities Code. 
HISTORY

1. New section filed 8-28-91; operative 9-27-91 (Register 91, No. 51).
2. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32190. Motions.
Note     •     History

(a) Written motions made before, during or after a hearing shall be filed with the Board agent assigned to the proceeding. Service and proof of service pursuant to Section 32140 are required.
(b) Responses to motions shall be filed with the Board agent within fourteen days of service of the motion, or within such time as is directed by the Board agent. Service and proof of service pursuant to Section 32140 are required.
(c) During the hearing, a motion or the response thereto may be made orally on the record.
(d) The Board may hear oral argument or take evidence on any motion.
(e) No hearing shall be delayed because a motion is filed unless the Board so directs.
(f) Rulings on motions shall not be appealable except as specified in Sections 32200 and 32360.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code. 
HISTORY

1. Amendment of subsection (a) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsections (b) and (f) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of subsections (b) and (f) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32200. Appeal of Rulings on Motions and Interlocutory Matters.
Note     •     History

A party may object to a Board agent's interlocutory order or ruling on a motion and request a ruling by the Board itself. The request shall be in writing to the Board agent and a copy shall be sent to the Board itself. Service and proof of service pursuant to Section 32140 are required. The Board agent may refuse the request, or may join in the request and certify the matter to the Board. The Board itself will not accept the request unless the Board agent joins in the request. The Board agent may join in the request only where all of the following apply: 
(a) The issue involved is one of law; 
(b) The issue involved is controlling in the case; 
(c) An immediate appeal will materially advance the resolution of the case.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32205. Continuances.
Note     •     History

A party may file a request for a continuance of the formal hearing no later than five days prior to such hearing. Such request shall be in writing, signed by the party or its agent, state the grounds for the request, and state the position of each party regarding the request. An oral request or a request for continuance submitted less than five days prior to the hearing may be made only under unusual circumstances. A request for a continuance shall be granted only under unusual circumstances and if the other party will not be prejudiced thereby.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Renumbering from Section 35020 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32206. Production of Statements of Witnesses After Direct Testimony.
Note     •     History

(a) After direct examination of a witness, and upon motion of any party, the hearing officer shall order the production of any statement made by the witness to a Board agent that relates to the subject matter of the testimony. 
(b) A statement includes a written declaration by the witness, signed or otherwise approved by the witness, or a recording or a transcription of a recording which is a verbatim recital of something said by the witness.
(c) If the party sponsoring the testimony claims that a statement ordered to be produced under this section contains matter which does not relate to the subject matter of the testimony, the party shall deliver the statement to the hearing officer for his or her private inspection. The hearing officer may excise those portions of the statements which do not relate to the subject matter of the testimony. The remainder of the statement shall be delivered to the moving party.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32207. Hearings.
Note     •     History

The parties may submit stipulated facts where appropriate to the Board agent. No hearing shall be required unless the parties dispute the facts in the case.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32209. Correction of Transcript.
Note     •     History

A motion to correct alleged errors in the transcript of a proceeding before a Board agent must be filed with the Board agent presiding at the proceeding within 20 days of the date of service of the transcript. The motion shall specify the alleged errors and provide a proposed corrected version. Within 10 days following the date of service of such a motion, any party may file with the Board agent a response to the motion. Service and proof of service of the motion and of any response to a motion pursuant to Section 32140 are required. Failure to file a timely motion to correct will be deemed a waiver of any objection to the accuracy of the transcript.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. New section filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32210. Informational Briefs and Arguments.
Note     •     History

(a) Any person may file a petition to submit an informational brief or to argue orally in any case at a hearing or before the Board itself. 
(b) The petition shall include the following information: 
(1) The case number; 
(2) The title of the case; 
(3) The name, address, telephone number and any affiliation of the petitioner; 
(4) The name, address and telephone number of any agent to be contacted; 
(5) A statement setting forth the nature of the petitioner's interest or involvement in the case; 
(6) A statement setting forth the specific issues of procedure, fact, law or policy which the petitioner wishes to address. 
(c) The petition may be granted or denied at the discretion of the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h); 3541.3(g), (n), 3563(f), (m), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(a), (b), (e), (g), (h), (i), (l), (m), (n), 3563(a), (b), (e), (f), (g), (h), (k), (l), (m), 71639.1 and 71825, Government Code; and Section 99561, Public Utilities Code.
HISTORY

1. New subsection (c) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32212. Briefs and Oral Argument.
Note     •     History

Prior to the close of the hearing, the board agent shall rule on any request to make oral argument or to file a written brief. The Board agent shall set the time required for the filing of briefs. Any party filing a brief shall file the original and one copy with the Board agent. Service and proof of service of the brief pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Renumbering from Section 33360 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). 
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32215. Proposed Decision.
Note     •     History

A Board agent shall issue a written proposed decision or submit the record of the case to the Board itself for decision pursuant to instructions from the Board itself. The Board shall serve the proposed decision on each party. Unless expressly adopted by the Board itself, a proposed or final Board agent decision, including supporting rationale, shall be without precedent for future cases.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Renumbering from Section 35028 and amendment filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Section 35028, see Register 78, No. 11. 
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80. 
4. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). 
6. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
7. Amendment of section and designation as subsection (a) and new subsection (b) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
8. Repealer of subsection (b) filed 11-4-99 as an emergency; operative 11-4-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-4-99 order, including repealer of subsection (a) designator, transmitted to OAL 2-28-2000 and filed 3-27-2000 (Register 2000, No. 13).
10. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
11. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
13. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
15. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
16. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32220. Contemptuous Conduct.
Note     •     History

Contemptuous conduct of a party or its agent shall be grounds for the exclusion of the party or agent from any proceeding related to the case.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32230. Refusal of Witness to Testify.
Note     •     History

The refusal of a witness at a hearing to answer any question which has been ruled proper by the board agent conducting the hearing may be grounds for striking the full testimony of such witness on the same matter and or such other action as deemed appropriate by the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(h), 3563(g), 71639.1 and 71825, Government Code; and Section 99561(g), Public Utilities Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32240. Waiver of Time Periods.
History

HISTORY

1. Renumbering to Section 32145 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
Subchapter 4. Decisions of the Board Itself
Article 1. Ex Parte Communications
§32295. Ex Parte Communications.
Note     •     History

No party shall communicate with the Board itself, any member of the Board itself or any legal adviser to a member of the Board, orally or in writing, about any matter pending before the Board except as provided for in these regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513, 3514.5, 3541.3, 3541.5, 3563, 3563.2, 71639.1 and 71825, Government Code; and Sections 99561 and 99561.2, Public Utilities Code. 
HISTORY

1. Renumbering of former article 1 to new article 2 and new article 1 (section 32295) and section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
2. New Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 2. Appeal of Board Agent Decision to the Board Itself
§32300. Exceptions to Board Agent Decision.
Note     •     History

(a) A party may file with the Board itself an original and five copies of a statement of exceptions to a Board agent's proposed decision issued pursuant to Section 32215, and supporting brief, within 20 days following the date of service of the decision or as provided in Section 32310. The statement of exceptions and briefs shall be filed with the Board itself in the headquarters office. Service and proof of service of the statement and brief pursuant to Section 32140 are required. The statement of exceptions or brief shall:
(1) State the specific issues of procedure, fact, law or rationale to which each exception is taken;
(2) Identify the page or part of the decision to which each exception is taken;
(3) Designate by page citation or exhibit number the portions of the record, if any, relied upon for each exception;
(4) State the grounds for each exception.
(b) Reference shall be made in the statement of exceptions only to matters contained in the record of the case.
(c) An exception not specifically urged shall be waived.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. New Article 3 (Sections 32300-32320, not consecutive) filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11).
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27).
3. Redesignation of Sections 32300-32599, not consecutive, as Division 1, Chapter 4 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
4. Amendment of subsection (a) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
5. Certificate of Compliance as to filings of 7-6-78 filed 10-19-78 (Register 78, No. 42).
6. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
7. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 82, No. 39).
8. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
9. Renumbering of former article 2 to article 3 and renumbering of former article 1 to new article 2 filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
10. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
11. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
13. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
15. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
16. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32305. Failure to File Exceptions.
Note     •     History

Unless a party files a timely statement of exceptions to the proposed decision, the decision shall become final on the date specified therein.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32310. Response to Exceptions.
Note     •     History

Within 20 days following the date of service of the statement of exceptions, any party may file with the Board itself an original and five copies of a response to the statement of exceptions and a supporting brief. The response shall be filed with the Board itself in the headquarters office. The response may contain a statement of any exceptions the responding party wishes to take to the recommended decision. Any such statement of exceptions shall comply in form with the requirements of Section 32300. A response to such exceptions may be filed within 20 days. Such response shall comply in form with the provisions of this Section. Service and proof of service of these documents pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32315. Oral Argument on Exceptions.
Note     •     History

A party desiring to argue orally before the Board itself regarding the exceptions to the proposed decision shall file with the statement of exceptions or the response to the statement of exceptions a written request stating the reasons for the request. Upon such request or its own motion the Board itself may direct oral argument.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32320. Decision of the Board Itself.
Note     •     History

(a) The Board itself may:
(1) Issue a decision based upon the record of hearing, or
(2) Affirm, modify or reverse the proposed decision, order the record re-opened for the taking of further evidence, or take such other action as it considers proper.
(b) The Board shall serve a copy of the decision on each party.
(c) All decisions and orders issued by the Board itself are precedential and may be cited in any matter pending before a Board agent or the Board itself. The precedential status of decisions issued by the Board itself includes decisions issued prior to July 1, 1997.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3514.5, 3541.3(k), (n), 3563(j), (m), 3563.2, 11425.60, 71639.1 and 71825, Government Code; and Sections 99561(j), (m) and 99561.2, Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. New subsection (c) and amendment of Note filed 8-6-97; operative 9-5-97 (Register 97, No. 32).
3. New subsection (b) and subsection relettering filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
4. Repealer of subsection (b) and subsection relettering filed 11-4-99 as an emergency; operative 11-4-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-4-99 order transmitted to OAL 2-28-2000 and filed 3-27-2000 (Register 2000, No. 13).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32325. Remedial Power of the Board.
Note     •     History

The Board shall have the power to issue a decision and order in an unfair practice case directing an offending party to cease and desist from the unfair practice and to take such affirmative action, including but not limited to the reinstatement of employees with or without back pay, as will effectuate the policies of the applicable statute. 
NOTE

Authority cited: Sections 3509(a), 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3509.5, 3514.5(c), 3520, 3541.5(c), 3542, 3563.3, 3564, 71639.1 71639.4, 71825 and 71825.1, Government Code; Section 99561(f), Public Utilities Code; and Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
8. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
Article 3. Administrative Appeals
§32350. Definition of Administrative Decision.
Note     •     History

(a) An administrative decision is any determination made by a Board agent other than:
(1) a refusal to issue a complaint in an unfair practice case pursuant to Section 32630,
(2) a dismissal of an unfair practice charge, or
(3) a decision which results from the conduct of a formal hearing or from an investigation which results in the submission of a stipulated record and a proposed decision written pursuant to Section 32215.
(b) An administrative decision shall contain a statement of the issues, fact, law and rationale used in reaching the determination.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. New Article 2 (Sections 32350-32380, not consecutive) filed 12-4-78; effective thirtieth day thereafter (Register 78, No. 49).
2. Amendment of subsection (a) filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80.
3. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25).
4. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
5. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
6. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
7. Renumbering of former article 3 to article 4 and renumbering of former article 2 to new article 3 filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
8. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
9. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
11. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
13. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
14. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
16. Amendment of subsection (a)(2), repealer of subsection (a)(3) and subsection renumbering filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32360. Appeal Requirements.
Note     •     History

(a) An appeal may be filed with the Board itself from any administrative decision, except as noted in Section 32380.
(b) An original and five copies of the appeal shall be filed with the Board itself in the headquarters office within 10 days following the date of service of the decision or letter of determination.
(c) The appeal must be in writing and must state the specific issue(s) of procedure, fact, law or rationale that is appealed and state the grounds for the appeal.
(d) Service and proof of service of the appeal pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32370. Request for Stay of Activity.
Note     •     History

An appeal will not automatically prevent the Board from proceeding in a case. Parties seeking a stay of any activity may file a request for a stay with the administrative appeal which shall include all pertinent facts and justification for the request. The Board may stay the matter, except as is otherwise provided in these regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32375. Response to the Administrative Appeal.
Note     •     History

Within 10 days following the date of service of the appeal, any party may file a response to the appeal. An original and five copies of the response shall be filed with the Board itself in the headquarters office. Service and proof of service of the response pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32380. Limitation of Appeals.
Note     •     History

The following administrative decisions shall not be appealable:
(a) A decision by a Board agent regarding the mechanics of an election provided the decision does not affect standing of a party to appear on a ballot;
(b) Except as provided in Section 32200, any interlocutory order or ruling on a motion.
(c) A decision by a Board agent pursuant to Section 32793 regarding the existence of an impasse.
(d) A decision by a Board agent pursuant to Section 32802 regarding the sufficiency of a request for factfinding under the MMBA.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3505.4, 3509, 3513(h), 3541.3(k), 3541.3(n), 3563(j), 3563(m), 71639.1 and 71825, Government Code; and Section 99561(j) and 99561(m), Public Utilities Code.
HISTORY

1. Amendment of subsection (b) (1) filed 2-11-80 as an emergency; effective upon filing (Register 80, No. 7). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-11-80.
2. Certificate of Compliance transmitted to OAH 6-11-80; filed 6-18-80 (Register 80, No. 25).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. New subsections (b)(3), (b)(4) and (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
6. Amendment of subsection (b) and repealer of subsections (b)(1)-(4) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
7. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
8. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. New subsection (d) and amendment of Note filed 12-29-2011 as an emergency; operative 1-1-2012 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-29-2012 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 12-29-2011 order transmitted to OAL 6-22-2012 and filed 7-30-2012 (Register 2012, No. 31).
Article 4. Reconsideration
§32400. Administrative Remedies.
Note     •     History

A motion for reconsideration need not be filed to exhaust administrative remedies.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3509.5, 3520, 3542, 3564, 71639.4 and 71825.1, Government Code; and Section 99562, Public Utilities Code.
HISTORY

1. New Article 3 (Sections 32400-32410) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Renumbering of former article 4 to article 5 and renumbering of former article 3 to new article 4 filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
13. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32410. Request for Reconsideration.
Note     •     History

(a) Any party to a decision of the Board itself may, because of extraordinary circumstances, file a request to reconsider the decision within 20 days following the date of service of the decision. An original and five copies of the request for reconsideration shall be filed with the Board itself in the headquarters office and shall state with specificity the grounds claimed and, where applicable, shall specify the page of the record relied on. Service and proof of service of the request pursuant to Section 32140 are required. The grounds for requesting reconsideration are limited to claims that: (1) the decision of the Board itself contains prejudicial errors of fact, or (2) the party has newly discovered evidence which was not previously available and could not have been discovered with the exercise of reasonable diligence. A request for reconsideration based upon the discovery of new evidence must be supported by a declaration under the penalty of perjury which establishes that the evidence: (1) was not previously available; (2) could not have been discovered prior to the hearing with the exercise of reasonable diligence; (3) was submitted within a reasonable time of its discovery; (4) is relevant to the issues sought to be reconsidered; and (5) impacts or alters the decision of the previously decided case.
(b) Any party shall have 20 days from service to file a response to the request for reconsideration. An original and five copies of the response shall be filed with the Board itself in the headquarters office. Service and proof of service of the response pursuant to Section 32140 are required.
(c) Unless otherwise ordered by the Board, the filing of a Request for Reconsideration shall not stay the effectiveness of a decision of the Board itself except that the Board's order in an unfair practice case shall automatically be stayed upon filing of a Request for Reconsideration.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(k), (n), 3563(j), (m), 71639.1 and 71825, Government Code; and Section 99561(j), (m), Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (c) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment of subsection (a) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 5. Request for Injunctive Relief
§32450. Request.
Note     •     History

(a) An original and six (6) copies of a request from a party that the Board seek injunctive relief shall be filed with the General Counsel at the headquarters office with a copy to the appropriate regional office as designated in sections 32075 and 32612 and shall include:
(1) The written request, accompanied by reasons stating why injunctive relief is appropriate;
(2) A copy of the charge or complaint; and
(3) Declarations, on personal knowledge, setting forth in detail all pertinent facts underlying the request for injunctive relief.
(b) Service and proof of service on the respondent is required of all documents filed with the General Counsel. Under this section service and proof of service shall be conducted pursuant to section 32140 except that service by mail must be done by express mail or by another common carrier promising overnight delivery thereof. If the request is made during a work stoppage or lockout, personal service on the respondent of all documents filed with the General Counsel is required.
(c) Notice that such a request is being made shall be provided no less than 24 hours prior to the filing to the General Counsel and the party against whom the relief is sought. Such notice may be by telephone or in person, or by any other means reasonably calculated to provide notice.
(d) An affidavit of notice shall be filed with the request. Such affidavit shall indicate to whom, at what time, and in what manner the notice required by subparagraph (c) above was accomplished.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(j), (n), 3563(i), 71639.1 and 71825, Government Code; and Section 99561(i), Public Utilities Code.
HISTORY

1. Repealer of article 4 (sections 32450 and 32455) and new article 4 (sections 32450-32470, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 80, No. 25; 79, No. 35; 79, No. 21, and 78, No. 42.
2. Amendment of subsections (a), (b) and (c) filed 8-28-91; operative 9-27-91 (Register 91, No. 51).
3. Renumbering of former article 5 to article 6, renumbering of former article 4 to new article 5 and amendment of subsections (a) and (b) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
4. Amendment of subsection (a) filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of subsection (b) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32455. Investigation.
Note     •     History

Upon filing of a request for the Board to seek injunctive relief, the General Counsel shall initiate an investigation. The General Counsel shall give notice reasonably calculated to inform the parties an investigation is proceeding. The respondent shall be apprised of the allegations against it, and may state its position in the course of the inquiries. The original and six (6) copies of any written position statements or other documents filed with the General Counsel must be filed at the headquarters office with a copy to the appropriate regional office as designated in section 32075, and service and proof of service on the opposite party. Any filing with the General Counsel in accordance with this section by mail, shall be done by express mail, or by another common carrier promising overnight delivery thereof. Service and proof of service on opposite party shall be pursuant to section 32140 except that service shall be by express mail instead of first class mail. The Board agent may contact and question such persons as necessary to effectuate the investigation.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(j), 3563(i), 71639.1 and 71825, Government Code; and Section 99561(i), Public Utilities Code.
HISTORY

1. Amendment of section filed 8-28-91; operative 9-27-91 (Register 91, No. 51).
2. Amendment filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32460. Recommendation.
Note     •     History

After investigation, the General Counsel shall make a recommendation to the Board within 120 hours after the receipt of a request, unless the request is made during a work stoppage or lockout, in which case the General Counsel shall make a recommendation to the Board within 24 hours after the request is received.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(j), (n), 3563(i), (m), 71639.1 and 71825, Government Code; and Section 99561(i), (m), Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32465. Decision of the Board Itself.
Note     •     History

Upon receipt of the General Counsel's report, the Board itself shall determine whether to seek injunctive relief.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541.3(j), (n), 3563(i), (m), 71639.1 and 71825, Government Code; and Section 99561(i), (m), Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32470. Lack of Board Quorum.
Note     •     History

In the event that a quorum of the Board itself is unavailable to act upon the request for injunctive relief within 24 hours after the time the General Counsel's recommendation is filed, the Board authorizes the General Counsel to seek injunctive relief in every case in which the General Counsel has reasonable cause to believe that such action is in accordance with Board policy and that legal grounds for injunctive relief are present.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3541(f), (g), 3541.3(j), (k), 3563(i), (j), 71639.1 and 71825, Government Code; and Section 99561(i), (j), Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 6. Request for Judicial Review
§32500. Review of Representation Case.
Note     •     History

(a) Any party to a decision in a representation case by the Board itself, except for decisions rendered pursuant to Chapter 5, Chapter 7 or Chapter 8 of these Regulations, may file a request to seek judicial review within 20 days following the date of service of the decision. An original and five copies of the request shall be filed with the Board itself in the headquarters office and shall include statements setting forth those factors upon which the party asserts that the case is one of special importance. Service and proof of service of the request pursuant to Section 32140 are required.
(b) Any party shall have 20 days following the date of service of the request to file a response. An original and five copies of the response shall be filed with the Board itself in the headquarters office. Service and proof of service of the request pursuant to Section 32140 are required.
(c) The Board may join in a request for judicial review or may decline to join, at its discretion.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3509.5, 3520, 3542, 3564, 71639.4 and 71825.1, Government Code; and Section 99562, Public Utilities Code.
HISTORY

1. New Article 5 (Section 32500) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Renumbering of former article 5 to new article 6 filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of subsection (a) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of subsection (a) and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (a) and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of subsection (a) and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
15. Amendment of subsection (b) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
Subchapter 5. Unfair Practice Proceedings
§32600. Policy. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3513(g), 3514.5, 3541.3(i), 3541.5, 3563(h) and 3563.2, Government Code.
HISTORY

1. Redesignation of Chapter 5 (Sections 35001-35012, 35015-35019) to Division 1, Chapter 5 (Sections 32600-32690, not consecutive) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Chapter 5, see Register 76, No. 44.
2. Renumbering from Section 35001 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Section 32600, see Register 76, No. 44.
3. Certificate of Compliance as to filings of 7-6-78 filed 10-19-78 (Register 78, No. 42).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Order or Repeal of the first sentence filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
6. Change without regulatory effect repealing Section 32600; operative 9-5-89 (Register 89, No. 37).
§32602. Processing Violations.
Note     •     History

(a) Alleged violations of the EERA, Ralph C. Dills Act, HEERA, MMBA, TEERA, Article 3 of the Trial Court Act, the Court Interpreter Act, and alleged violations of local rules adopted pursuant to the MMBA, Trial Court Act or Court Interpreter Act, shall be processed as unfair practice charges.
(b) Except as provided in subsections (c), (d) and (e), unfair practice charges may be filed by an employee, employee organization, or employer against an employee organization or employer. 
(c) A charge alleging that an employer or an exclusive representative has failed to comply with Government Code section 3523, 3547, 3547.5, or 3595, or Public Utilities Code section 99569, may be filed by any affected member of the public.
(d) A charge alleging that an exclusive representative has failed to comply with Government Code section 3515.7(e), 3546.5, 3584(b), or 3587, or Public Utilities Code Section 99566.3 may only be filed by an affected employee.
(e) A charge alleging that an exclusive representative has failed to comply with Government Code Section 3502.5(f), 71632.5(f), or 71814(f) may only be filed by the employer or an affected employee.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71636, 71636.3, 71637.1, 71639.1, 71814, 71823 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of section and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of section and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32603. Employer Unfair Practices Under MMBA.
Note     •     History

It shall be an unfair practice for a public agency to do any of the following: 
(a) Interfere with, intimidate, restrain, coerce or discriminate against public employees because of their exercise of rights guaranteed by Government Code section 3502 or by any local rule adopted pursuant to Government Code section 3507.
(b) Deny to employee organizations rights guaranteed to them by Government Code section 3503, 3504.5, 3505.1, 3505.3, 3507.1, 3508(d) or 3508.5 or by any local rule adopted pursuant to Government Code section 3507. 
(c) Refuse or fail to meet and confer in good faith with an exclusive representative as required by Government Code section 3505 or any local rule adopted pursuant to Government Code section 3507. 
(d) Dominate or interfere with the formation or administration of any employee organization, or contribute financial or other support to it, or in any way encourage employees to join any organization in preference to another in violation of rights guaranteed by Government Code section 3502 or 3508(d) or any local rule adopted pursuant to Government Code section 3507. 
(e) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant to Government Code section 3505 or 3505.2 or required by the MMBA or any local rule adopted pursuant to Government Code section 3507. 
(f) Adopt or enforce a local rule that is not in conformance with the MMBA. 
(g) In any other way violate MMBA or any local rule adopted pursuant to Government Code section 3507. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502, 3502.1, 3505, 3505.2, 3505.3, 3505.4, 3505.5, 3505.7, 3506, 3506.5, 3507, 3507(d), 3507.1, 3507.5, 3508, 3508.1, 3508.5 and 3509, Government Code; and Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order, including amendment of subsections (a)-(e) and (g), transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Change without regulatory effect amending Note filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
4. Amendment of subsection (b) and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
5. Amendment of subsection (f) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of subsection (e) and Note filed 12-29-2011 as an emergency; operative 1-1-2012 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-29-2012 or emergency language will be repealed by operation of law on the following day.
8. Change without regulatory effect amending subsection (d) and Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
9. Certificate of Compliance as to 12-29-2011 order transmitted to OAL 6-22-2012 and filed 7-30-2012 (Register 2012, No. 31).
§32604. Employee Organization Unfair Practices Under MMBA.
Note     •     History

It shall be an unfair practice for an employee organization to do any of the following: 
(a) Cause or attempt to cause a public agency to engage in conduct prohibited by the MMBA or by any local rule adopted pursuant to Government Code section 3507. 
(b) Interfere with, intimidate, restrain, coerce or discriminate against public employees because of their exercise of rights guaranteed by Government Code section 3502 or by any local rule adopted pursuant to Government Code section 3507. 
(c) Refuse or fail to meet and confer in good faith as required by Government Code section 3505 or by any local rule adopted pursuant to Government Code section 3507. 
(d) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant to Government Code section 3505 or 3505.2 or required by the MMBA or any local rule adopted pursuant to Government Code section 3507. 
(e) In any other way violate MMBA or any local rule adopted pursuant to Government Code section 3507. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502, 3502.1, 3502.5, 3505, 3505.2, 3505.4, 3505.5, 3505.7, 3506, 3507 and 3509, Government Code; and Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order, including amendment of section, transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Change without regulatory effect amending Note filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
4. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
5. Amendment of subsection (d) and Note filed 12-29-2011 as an emergency; operative 1-1-2012 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-29-2012 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-29-2011 order transmitted to OAL 6-22-2012 and filed 7-30-2012 (Register 2012, No. 31).
§32605. Copies of Unfair Practice Charges Required To Be Filed.
Note     •     History

Any party filing an unfair practice charge or amended charge must file the original and one copy with the appropriate regional office.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3509, 3513(h), 3514.5, 3515.7, 3523, 3541.3(i) and (n), 3541.5, 3546.5, 3547, 3547.5, 3563(h) and (m), 3563.2, 3584, 3587, 3595, 71632.5, 71636, 71636.3, 71637.1, 71639.1, 71814, 71823 and 71825, Government Code; and Sections 99561(h), 99561.2, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 78, No. 42.
2. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Repealer and new section filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32606. Employer Unfair Practices Under Trial Court Act.
Note     •     History

It shall be an unfair practice for a trial court to do any of the following:
(a) Interfere with, intimidate, restrain, coerce or discriminate against trial court employees because of their exercise of rights guaranteed by Government Code section 71631 or by any local rule adopted pursuant to Government Code section 71636.
(b) Deny to employee organizations rights guaranteed to them by the Trial Court Act or by any local rule adopted pursuant to Government Code section 71636.
(c) Refuse or fail to meet and confer in good faith with an exclusive representative as required by Government Code section 71634.2 or any local rule adopted pursuant to Government Code section 71636.
(d) Dominate or interfere with the formation or administration of any employee organization, or contribute financial or other support to it, or in any way encourage employees to join any organization in preference to another in violation of rights guaranteed by Government Code section 71631 or any local rule adopted pursuant to Government Code section 71636.
(e) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant to Government Code section 71634.4 or required by any local rule adopted pursuant to Government Code section 71636.
(f) Adopt or enforce a local rule that is not in conformance with the Trial Court Act.
(g) In any other way violate the Trial Court Act or any local rule adopted pursuant to Government Code section 71636.
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 71630, 71631, 71632, 71632.5, 71632.6, 71633, 71634, 71634.1, 71634.2, 71634.3, 71634.4, 71635, 71635.1, 71636, 71636.1, 71636.3, 71637, 71637.1, 71638, 71639, 71639.3 and 71639.5, Government Code.
HISTORY

1. New section filed 5-31-2005; operative 5-31-2005 (Register 2005, No. 22).
§32607. Employee Organization Unfair Practices Under Trial Court Act.
Note     •     History

It shall be an unfair practice for an employee organization to do any of the following:
(a) Cause or attempt to cause a trial court to engage in conduct prohibited by the Trial Court Act or by any local rule adopted pursuant to Government Code section 71636.
(b) Interfere with, intimidate, restrain, coerce or discriminate against trial court employees because of their exercise of rights guaranteed by Government Code section 71631 or by any local rule adopted pursuant to Government Code section 71636.
(c) Refuse or fail to meet and confer in good faith as required by Government Code section 71634.2 or by any local rule adopted pursuant to Government Code section 71636.
(d) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant Government Code section 71634.4 or required by any local rule adopted pursuant to Government Code section 71636.
(e) In any other way violate the Trial Court Act or any local rule adopted pursuant to Government Code section 71636.
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 71632.5, 71636, 71636.3, 71637.1, 71639.1 and 71639.3, Government Code.
HISTORY

1. New section filed 5-31-2005; operative 5-31-2005 (Register 2005, No. 22).
2. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32608. Employer Unfair Practices Under Court Interpreter Act.
Note     •     History

It shall be an unfair practice for a trial court or regional committee to do any of the following:
(a) Interfere with, intimidate, restrain, coerce or discriminate against court interpreters because of their exercise of rights guaranteed by Government Code section 71813 or by any local rule adopted pursuant to Government Code section 71823.
(b) Deny to employee organizations rights guaranteed to them by the Court Interpreter Act or by any local rule adopted pursuant to Government Code section 71823.
(c) Refuse or fail to meet and confer in good faith with an exclusive representative as required by Government Code section 71818 or any local rule adopted pursuant to Government Code section 71823.
(d) Dominate or interfere with the formation or administration of any employee organization, or contribute financial or other support to it, or in any way encourage employees to join any organization in preference to another in violation of rights guaranteed by Government Code section 71813 or any local rule adopted pursuant to Government Code section 71823.
(e) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant to Government Code section 71820 or required by any local rule adopted pursuant to Government Code section 71823.
(f) Adopt or enforce a local rule that is not in conformance with the Court Interpreter Act.
(g) In any other way violate the Court Interpreter Act or any local rule adopted pursuant to Government Code section 71823.
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 71801, 71802, 71803, 71804, 71804.5, 71805, 71806, 71807, 71808, 71809, 71810, 71811, 71812, 71812.5, 71813, 71814, 71815, 71816, 71817, 71818, 71819, 71820, 71821, 71822, 71823, 71824, 71825, 71825.2 and 71826, Government Code.
HISTORY

1. New section filed 5-31-2005; operative 5-31-2005 (Register 2005, No. 22).
§32609. Employee Organization Unfair Practices Under Court Interpreter Act.
Note     •     History

It shall be an unfair practice for an employee organization to do any of the following:
(a) Cause or attempt to cause a trial court or regional committee to engage in conduct prohibited by the Court Interpreter Act or by any local rule adopted pursuant to Government Code section 71823.
(b) Interfere with, intimidate, restrain, coerce or discriminate against court interpreters because of their exercise of rights guaranteed by Government Code section 71813 or by any local rule adopted pursuant to Government Code section 71823.
(c) Refuse or fail to meet and confer in good faith as required by Government Code section 71818 or by any local rule adopted pursuant to Government Code section 71823.
(d) Fail to exercise good faith while participating in any impasse procedure mutually agreed to pursuant to Government Code section 71820 or required by any local rule adopted pursuant to Government Code section 71823.
(e) In any other way violate the Court Interpreter Act or any local rule adopted pursuant to Government Code section 71823.
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 71814, 71823 and 71825, Government Code.
HISTORY

1. New section filed 5-31-2005; operative 5-31-2005 (Register 2005, No. 22).
2. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32610. Unfair Practice Charge. [Repealed]
History

HISTORY

1. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 78, No. 42.
§32612. Venue of Charge.
Note     •     History

(a) Except as otherwise provided in this section, a charge may be filed in any regional office described in Section 32075 which serves any county in which the conduct or act constituting the alleged unfair practice occurred or is occurring, the county in which any employee affected by the alleged unfair practice works, or the county in which the principal office of the employer is located. 
(b) Any charge involving a worksite located outside the State of California shall be filed with the regional office serving the county in which the principal office of the employer is located. The Board may transfer any case to a different regional office. 
(c) Any charge involving a regional committee established pursuant to Government Code section 71807 shall be filed with the Los Angeles Regional Office in the cases of Regions 1 and 4; with the San Francisco Regional Office in the case of Region 2; and with the Sacramento Regional Office in the case of Region 3.
(d) The Board may consolidate charges as it deems appropriate.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513(h), 3514.5, 3541.3(i), 3541.5, 3563(h), 3563.2, 71639.1, 71807 and 71825, Government Code; and Sections 99561(h) and 99561.2, Public Utilities Code.
HISTORY

1. New section filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Amendment filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order, including amendment of section and Note, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32613. On-Line Filing.
Note     •     History

(a) “On-line filing” and “electronic filing” refer to utilization of the web-based electronic filing service provided by the Board as an alternative means to file an unfair practice charge pursuant to this Subchapter.
(b) Utilization of on-line filing requires access by the user to the following:
(1) Personal computer with a Windows or Mac operating system;
(2) Internet web browser;
(3) Internet connection; and
(4) Digital copies of any attachments that are to be submitted with the charge.
(c) Utilization of on-line filing will require the user to provide an e-mail address, establish a user password, and agree to the terms of the following Disclaimer Statement found on the PERB website:
The application uses Javascript which will not work with some Ad Blocking Software. We suggest that you either turn off your Ad Blocking Software, or add our site URL (www.perb.ca.gov) to the trusted sites on your Ad Blocking Software. PERB is not responsible for difficulties encountered between your internet provider and PERB's network. An unfair practice charge (UPC) is considered “filed” when actually received before the close of business ( 5 p.m.) on a regular PERB business day. (PERB Regulation 32135.) The date and time a UPC is deemed filed will be determined by the date/time stamp applied by our server which points to Santa Cruz, CA: Scruz-net, inc. 165.227.1.1: ns.scruz.net Service area: Western U.S. If, after submitting your UPC, you do not receive an e-mail response containing a confirmation your charge has been successfully filed within a few minutes, there was a problem with your submission and your claim will not be considered filed. Using the PERB on-line filing application does not relieve the user of the responsibility for filing the signed original plus one copy of the charge along with the original signed proof of service in the appropriate PERB office (PERB Regulations 32605 and 32615). A copy of the completed unfair practice charge and proof of service form must also be served on the party being charged (respondent) by someone other than the charging party. A proof of service form must be attached to each copy of the charge to prove that a copy of the charge has been served on the respondent. If you have uploaded your attachments at the time of electronically filing your UPC, you DO NOT need to submit copies of the same attachments through the U.S. Mail to PERB. However, a copy of the charge and all attachments must be served on the responding party. Failure to provide the original signed UPC, signed Proof of Service and attachments (if necessary) to the appropriate PERB office within 5 business days from the date stamp provided by PERB's server in your confirmation e-mail will result in the UPC being dismissed except in cases where good cause is demonstrated.
(d) Upon successful submission of an unfair practice charge, including any attachments, and the proof of service, through utilization of on-line filing, PERB will provide confirmation of receipt via e-mail to the e-mail address provided by the user.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3513, 3514.5, 3541.3, 3541.5, 3563, 3563.2, 71639.1 and 71825, Government Code; and Sections 99561 and 99561.2, Public Utilities Code.
HISTORY

1. New section filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32615. Contents of Charge.
Note     •     History

(a) A charge may be filed alleging that an unfair practice or practices have been committed. The charge shall be in writing, signed under penalty of perjury by the party or its agent with the declaration that the charge is true, and complete to the best of the charging party's knowledge and belief, and contain the following information:
(1) The name and address of the party alleged to have engaged in an unfair practice. If the party is the State of California, the name and address of the “appointing power” as defined in Government Code Section 18524, and of the Governor shall be set forth;
(2) The name, address, and telephone number of the charging party;
(3) The name, address, and telephone number of an authorized agent of the charging party to be contacted;
(4) The sections of the Government Code and/or, under MMBA, Article 3 of the Trial Court Act, or the Court Interpreter Act, the applicable local rules, or the sections of the Public Utilities Code, alleged to have been violated; 
(5) A clear and concise statement of the facts and conduct alleged to constitute an unfair practice;
(6) A statement whether or not an agreement or memorandum of understanding exists between the parties, and the date and duration of such agreement or memorandum of understanding;
(7) A statement of the extent to which and the inclusive dates during which the parties have invoked any grievance machinery provided by an agreement, or, where applicable, have invoked procedures provided by the employer for resolving public notice complaints;
(8) A statement of the remedy sought by the charging party.
(b) A charge filed under MMBA, Article 3 of the Trial Court Act, or the Court Interpreter Act alleging a violation of local rules must also contain a copy of the applicable rule(s). 
(c) Service and proof of service on the respondent pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35004 and amendment of subsections (a)(1)-(a)(5) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 3. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. New subsection (a)(8) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Editorial correction renumbering History 3 (Register 95, No. 32).
5. Amendment of subsections (a)(4) and (a)(8), new subsection (b), subsection relettering and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of subsection (a)(4) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of subsections (a)(4) and (b) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (a)(4) and (b) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of subsection (a)(7) and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32620. Processing of Case.
Note     •     History

(a) When a charge is filed, it shall be assigned to a Board agent for processing.
(b) The powers and duties of such Board agent shall be to:
(1) Assist the charging party to state in proper form the information required by section 32615;
(2) Answer procedural questions of each party regarding the processing of the case;
(3) Facilitate communication and the exchange of information between the parties;
(4) Make inquiries and review the charge and any accompanying materials to determine whether an unfair practice has been, or is being, committed, and determine whether the charge is subject to deferral to arbitration, or to dismissal for lack of timeliness.
(5) Dismiss the charge or any part thereof as provided in Section 32630 if it is determined that the charge or the evidence is insufficient to establish a prima facie case; or if it is determined that a complaint may not be issued in light of Government Code Sections 3514.5, 3541.5, 3563.2, 71639.1(c) or 71825(c), or Public Utilities Code Section 99561.2; or if it is determined that a charge filed pursuant to Government Code section 3509(b) is based upon conduct occurring more than six months prior to the filing of the charge.
(6) Place the charge in abeyance if the dispute arises under MMBA,  HEERA, TEERA, Trial Court Act or Court Interpreter Act and is subject to final and binding arbitration pursuant to a collective bargaining agreement, and dismiss the charge at the conclusion of the arbitration process unless the charging party demonstrates that the settlement or arbitration award is repugnant to the purposes of MMBA, HEERA, TEERA, Trial Court Act or Court Interpreter Act, as provided in section 32661.
(7) Issue a complaint pursuant to Section 32640.
(c) The respondent shall be apprised of the allegations, and may state its position on the charge during the course of the inquiries. Any written response must be signed under penalty of perjury by the party or its agent with the declaration that the response is true and complete to the best of the respondent's knowledge and belief. Service and proof of service pursuant to Section 32140 are required.
(d) Facts obtained from oral responses that reveal potential deficiencies in the allegations must be communicated to the charging party before dismissal of a charge under Section 32630. The Board agent shall advise the charging party in writing of the deficiencies in the charge in a warning letter, unless otherwise agreed by the Board agent and the charging party. The warning letter shall identify the facts obtained from any response which reveal a deficiency in the charge. Responses which are obtained after the warning letter and which support dismissal of the charge must be communicated to the charging party before the dismissal is issued under Section 32630. The dismissal must identify the deficiencies in the charging party's allegations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1 and 71825, Government Code; Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code; Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608; and Coachella Valley Mosquito and Vector Control District v. Public Employment Relations Board (2005) 35 Cal.4th 1072 [29 Cal.Rptr.3d 234].
HISTORY

1. Renumbering from Section 35005 and amendment of subsections (b)(1) and (b)(3) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Amendment of subsection (b)(5), new subsection (b)(6), subsection renumbering and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
6. Amendment of subsection (b)(6) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of subsection (c) and new subsection (d) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
9. Amendment of subsection (b)(6) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of subsections (b)(5)-(6) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (b)(5)-(6) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of subsection (b)(5) and Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
15. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32621. Amendment of Charge.
Note     •     History

Before the Board agent issues or refuses to issue a complaint, the charging party may file an amended charge. The amended charge must contain all allegations on which the charging party relies and must meet all of the requirements of Section 32615. The amended charge shall be processed pursuant to Section 32620.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71636, 71636.3, 71637.1, 71639.1, 71814, 71823 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32625. Withdrawal of Charge.
Note     •     History

Any request for withdrawal of the charge shall be in writing, signed by the charging party or its agent, and state whether the party desires the withdrawal to be with or without prejudice. Request for withdrawal of the charge before complaint has issued shall be granted. Repeated withdrawal and refiling of charges alleging substantially identical conduct may result in refusal to issue a complaint. If the complaint has issued, the Board agent shall determine whether the withdrawal shall be with or without prejudice. If, during hearing, the respondent objects to withdrawal, the hearing officer may refuse to allow it. Service and proof of service of the withdrawal pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513, 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35006 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
13. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32630. Dismissal/Refusal to Issue a Complaint.
Note     •     History

If the Board agent concludes that the charge or the evidence is insufficient to establish a prima facie case, the Board agent shall refuse to issue a complaint, in whole or in part. The refusal shall constitute a dismissal of the charge. The refusal, including a statement of the grounds for refusal, shall be in writing and shall be served on the charging party and respondent.
NOTE

Authority cited: Sections 3509(a),3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i) and (n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35007 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Section 35007, see Register 78, No. 11.
2. Certificate of Compliance filed 10-1-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of subsections (b)(5)-(6) and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (b)(5)-(6) and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
13. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
14. Amendment filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
15. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32635. Review of Dismissals.
Note     •     History

(a) Within 20 days of the date of service of a dismissal, the charging party may appeal the dismissal to the Board itself. The original appeal and five copies shall be filed in writing with the Board itself in the headquarters office, and shall be signed by the charging party or its agent. Service and proof of service of the appeal on the respondent pursuant to Section 32140 are required.
The Appeal shall:
(1) State the specific issues of procedure, fact, law or rationale to which the appeal is taken;
(2) Identify the page or part of the dismissal to which each appeal is taken;
(3) State the grounds for each issue stated.
(b) Unless good cause is shown, a charging party may not present on appeal new charge allegations or new supporting evidence.
(c) If the charging party files a timely appeal of the dismissal, any other party may file a statement in opposition to the appeal within 20 days following the date of service of the appeal. The original opposition and five (5) copies shall be filed in writing with the Board itself in the headquarters office, and shall be signed by the filing party. Service and proof of service of the statement pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35008 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Section 35008, see Register 78, No. 11.
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment of subsection (a) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
6. Amendment of subsection (c) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
7. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
8. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. Amendment of subsection (a) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
11. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
13. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
14. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
16. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
17. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32640. Issuance of Complaint.
Note     •     History

(a) The Board agent shall issue a complaint if the charge or the evidence is sufficient to establish a prima facie case. The complaint shall contain a statement of the specific facts upon which Board jurisdiction is based, including the identity of the respondent, and shall state with particularity the conduct which is alleged to constitute an unfair practice. The complaint shall include, when known, when and where the conduct alleged to constitute an unfair practice occurred or is occurring, and the name(s) of the person(s) who allegedly committed the acts in question. The Board may disregard any error or defect in the complaint that does not substantially affect the rights of the parties.
(b) The Board shall serve the complaint on the charging party and respondent.
(c) The decision of a Board agent to issue a complaint is not appealable to the Board itself except in accordance with Section 32200.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1,  71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35009 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
13. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32642. Unfair Practice Charge Status Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Section  3541.5, Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
2. Repealer filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
3. Editorial correction of History 1 (Register 95, No. 32).
§32644. Answer.
Note     •     History

(a) The respondent shall file with the Board an answer to the complaint within 20 days or at a time set by the Board agent following the date of service of the complaint. Service and proof of service of the answer pursuant to Section 32140 are required. If a formal hearing is set less than 20 days after the complaint is served, the answer shall be filed no later than the date of hearing stated in the notice of hearing or as otherwise directed by the Board agent. Amended complaints served after the answer is filed shall be deemed denied, except for those matters which were admitted in the answer and which have not been changed in the amended complaint.
(b) The answer shall be in writing, signed by the party or its agent and contain the following information:
(1) The case number appearing on the complaint;
(2) The name of the charging party;
(3) The name, address, telephone number and any affiliation of the respondent;
(4) The name, address, telephone number and capacity of any agent of the respondent to be contacted;
(5) A specific admission or denial of each allegation contained in the complaint. If the respondent does not have knowledge of information sufficient to form a belief as to the truth of a particular allegation, the respondent shall so state and such statement shall operate as a denial of the allegation;
(6) A statement of any affirmative defense;
(7) Notwithstanding the Code of Civil Procedure Section 446, a declaration under penalty of perjury that the answer is true and complete to the best of the respondent's knowledge and belief.
(c) If the respondent fails to file an answer as provided in this section, the Board may find such failure constitutes an admission of the truth of the material facts alleged in the charge and a waiver of respondent's right to a hearing.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1,  71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32645. Non-Prejudicial Error.
Note     •     History

The Board may disregard any error or defect in the original or amended charge, complaint, answer or other pleading which does not affect the substantial rights of the parties.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3514.5(a), 3541.5(a), 3563.2, 71639.1 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7 and 99563.8, Public Utilities Code.
HISTORY

1. New section filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41). For history of former Section 32645, see Registers 82, No. 39; 78, No. 42; and 78, No. 27.
2. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§32646. Defenses to Complaint. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3514.5, 3519, 3519.5, 3541.5, 3543.5, 3543.6, 3563.2, 3571, 3571.1, 3571.3, 71639.1 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7 and 99563.8, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of subsection (a) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Repealer of subsection (a) designator, amendment of text and repealer of subsection (b) filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of section and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32647. Amendment of Complaint Before Hearing.
Note     •     History

After issuance of a complaint, the charging party may move to amend the complaint by filing with the Board agent:
(a) a request to amend the complaint, and
(b) an amended charge meeting the requirements of Section 32615.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1,  71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32648. Amendment of Complaint During Hearing.
Note     •     History

During hearing, the charging party may move to amend the complaint by amending the charge in writing, or by oral motion on the record. If the Board agent determines that amendment of the charge and complaint is appropriate, the Board agent shall permit an amendment. In determining the appropriateness of the amendment, the Board agent shall consider, among other factors, the possibility of prejudice to the respondent.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(g), (h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32649. Answer to Amendment.
Note     •     History

Within 20 days or a time set by the Board agent after service of an amendment to the complaint, the Board agent may require the respondent to file an amendment to its answer, which shall respond only to the new allegations in the amended complaint. The respondent shall file with the Board proof of service of its amended answer.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Section 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
11. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32650. Informal Conference.
Note     •     History

(a) A Board agent may conduct an informal conference or conferences to clarify the issues and explore the possibility of voluntary settlement. No record shall be made at such a conference.
(b) A Board agent shall give reasonable notice of such conference to each party directed to attend.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1,  71814 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35011 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27). For history of former Section 35011, see Register 78, No. 11.
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
13. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
14. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32652. Dismissal of Complaint/Request for Hearing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code. Reference: Sections 3514.5, 3519, 3519.5, 3541.5, 3543.5, 3543.6, 3563.2, 3571, 3571.1 and 3571.3, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Repealer and new section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Repealer filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
§32654. Board Deferral and the Question of Repugnancy. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g), (n); 3563(f), (m), Government Code, Reference: Sections 3513(g), 3514.5, 3519, 3519.5, 3541.3(i), 3541.5, 3543.5, 3543.6, 3563(h), 3563.2, 3571, 3571.1, 3571.3, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32655. Amendments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g), (n); 3563(f), (m), Government Code. Reference: Sections 3513(g), 3514.5, 3519, 3519.5, 3541.3(i), 3541.5, 3543.5, 3543.6, 3563(h), 3563.2, 3571, 3571.1, 3571.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 78, No. 11; 78, No. 27; and 78, No. 42. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 1346.2(d) (Register 82, No. 39).
2. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32657. SEERA: Proper Recipients for Service of Documents by Charging Party. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g), (n); 3563(f), (m), Government Code. Reference: Sections 3513(g), 3514.5, 3519, 3519.5, 3541.3(i), 3541.5, 3543.5, 3543.6, 3563(h), 3563.2, 3571, 3571.1, 3571.3, Government Code.
HISTORY

1. Repealer filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Registers 78, No. 27, and 78, No. 42.
§32658. HEERA--Proper Recipients for Service of Documents by Charging Party. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g), (n); 3563(f), (m), Government Code. Reference: Sections 3513(g), 3514.5, 3519, 3519.5, 3541.3(i), 3541.5, 3543.5, 3543.6, 3563(h), 3563.2, 3571, 3571.1, 3571.3, Government Code.
HISTORY

1. Repealer filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history see Register 79, No. 22.
§32660. Withdrawal of Charge. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g), (n); 3563(f), (m), Government Code. Reference: Sections 3513(g), 3514.5, 3519, 3519.5, 3541.3(i), 3541.5, 3543.5, 3543.6, 3563(h), 3563.2, 3571, 3571.1, 3571.3, Government Code.
HISTORY

1. Renumbering from Section 35015 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32661. Repugnancy Claims.
Note     •     History

(a) An unfair practice charge concerning conduct subject to Government Code Section 3514.5(a)(2) or 3541.5(a)(2), or subject to final and binding arbitration pursuant to a collective bargaining agreement for parties governed by the TEERA, MMBA, HEERA, Trial Court Act or Court Interpreter Act, may be filed based on a claim that the settlement or arbitration award is repugnant to the applicable Act.
(b) The charge shall comply with the requirements of Section 32615. It shall allege with specificity the facts underlying the charging party's claim that the arbitrator's award is repugnant to the purposes of the applicable Act.
(c) In reviewing the charge to determine whether a complaint shall issue, the Board agent shall have all of the powers and duties specified in Section 32620. A Board agent's issuance of a complaint under this section shall not be appealable to the Board itself except as provided in Section 32360.
(d) The Board itself may, at any time, direct that the record be submitted to the Board itself for decision.
NOTE

Authority cited: Sections 3509, 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3506.5, 3509, 3514.5, 3519, 3519.5, 3541.5, 3543.5, 3543.6, 3563.2, 3571, 3571.1, 3571.3, 3589, 71639.1 and 71825, Government Code; and Sections 99561(h), 99561.2, 99563.7, 99563.8 and 99567, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of subsection (a) and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
5. Amendment of subsection (a) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
7. Amendment of subsection (a) and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a) and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
10. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32665. Application for Joinder of Parties. [Repealed]
History

HISTORY

1. Renumbering from Section 35016 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32670. Informal Conference. [Repealed]
History

HISTORY

1. Renumbering from Section 35017 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§32680. Formal Hearing.
Note     •     History

(a) If the informal conference procedure fails to result in voluntary settlement, the Board may order a hearing. The hearing shall be conducted by the Board according to the provisions of Chapter 1, Subchapter 3 (commencing with Section 32165) of these regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1,  71814 and 71825, Government Code; and Sections 99561(g), 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35018 and amendment of subsection (a) filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
6. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
7. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
8. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
16. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§32690. Notice of Formal Hearing and Prehearing Memorandum.
Note     •     History

(a) The Board shall serve on each party a notice of the formal hearing which shall state the date, time and place of the hearing.
(b) The Board may also serve on each party a pre-hearing memorandum which shall set forth the following information:
(1) A summary of the proceedings to date, including but not limited to a statement of the charge, a summary of any negotiations excluding offers of settlement and a statement of the issues settled;
(2) A statement of the issues to be decided at the formal hearing.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3502.5, 3506.5, 3509, 3513(h), 3514.5, 3515.7, 3519, 3519.5, 3523, 3541.3(i), 3541.3(n), 3541.5, 3543.5, 3543.6, 3546.5, 3547, 3547.5, 3563(h), 3563(m), 3563.2, 3571, 3571.1, 3571.3, 3584, 3587, 3595, 71632.5, 71639.1, 71814 and 71825, Government Code; and Sections 99561(g), 99561(h), 99561.2, 99563.7, 99563.8, 99566.3 and 99569, Public Utilities Code.
HISTORY

1. Renumbering from Section 35019 filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
9. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
12. Amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
13. Change without regulatory effect amending Note filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
Subchapter 6. Representation Proceedings
Article 1. General Provisions
§32700. Proof of Support.
Note     •     History

(a)(1) Proof of employee support for representation petitions, including decertification petitions, petitions for certification, requests for recognition, severance requests or petitions, and unit modification petitions, shall clearly demonstrate that the employee desires to be represented by the petitioning employee organization for the purpose of meeting and negotiating or meeting and conferring on wages, hours and other terms and conditions of employment.
(2) Proof of employee support for a decertification petition filed pursuant to section 32770(b)(1) shall clearly demonstrate that the employee no longer desires to be represented by the exclusive representative.
(3) Proof of employee support for a rescission petition filed pursuant to section 34020(c), 40400(c), 51700 or 71700 shall clearly demonstrate that the employee desires a vote to rescind the existing organizational security arrangement.
(4) Proof of employee support for a reinstatement petition filed pursuant to section 34050, 51725 or 71725 shall clearly demonstrate that the employee desires to reinstate the organizational security provision.
(b) The proof of support shall indicate each employee's printed name, signature, job title or classification and the date on which each individual's signature was obtained. An undated signature or a signature dated more than one calendar year prior to the filing of the petition requiring employee support shall be invalid for the purpose of calculating proof of support. Any signature meeting the requirements of this section shall be considered valid even though the signatory has executed authorizations for more than one employee organization.
(c) Any proof of support validly obtained within one year immediately prior to the date the petition or amendment requiring employee support is filed shall remain valid and may be used as proof of support to qualify for appearance on the ballot in an election, provided the employee's job classification is included in the unit in which the election is to be conducted.
(d) For purposes of determining proof of support, a joint petitioner may meet the required percentage by combining the total of the proofs of support for each of the employee organizations which make up the joint petitioner.
(e) Subject to subsections (a), (b), (c) and (d) of this section, proof of support may consist of any one of the following original documents or a combination thereof:
(1) Current dues deduction authorization forms;
(2) Membership applications;
(3) Authorization cards or petitions signed by employees. The purpose of the petition shall be clearly stated on each page thereof;
(4) A notarized membership list, provided it is accompanied by the date of each member's signature on an enrollment form, membership application, or designation card or cards, supported by a declaration under penalty of perjury that the employee organization has on file the aforementioned documents which indicate the employee's desire to be represented by the employee organization. A sample of such signed forms shall accompany the list.
(5) Other evidence as determined by the Board.
(f) Documents submitted to the board as proof of employee support shall remain confidential and not be disclosed by the board to any party other than the petitioner, except to indicate whether the proof of support is sufficient.
(g) Any party which contends that proof of employee support was obtained by fraud or coercion, or that the signatures on such support documents are not genuine, shall file with the regional office evidence in the form of declarations under penalty of perjury supporting such contention within 20 days after the filing of the petition which the proof of support accompanied. The Board shall refuse to consider any evidence not timely submitted, absent a showing of good cause for late submission. When prima facie evidence is submitted to the Board supporting a claim that proof of support was tainted by such misconduct, the Board shall conduct further investigations. If, as a result of such investigation, the Board determines that the showing of support is inadequate because of such misconduct, the petition shall be dismissed.
NOTE

Authority cited: Sections 3513, 3513(h), 3541.3, 3541.3(g), 3563 and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3515.7(d), 3520.5, 3544, 3544.1, 3544.3, 3544.5, 3544.7, 3546, 3573, 3574, 3575, 3576, 3577 and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. New chapter 6 (sections 32700-32754, not consecutive) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of section 11422.1(c), Government Code (Register 80, No. 21).
3. New chapter 6 (sections 32700-32754, not consecutive) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9/19/80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
7. Amendment of subsection (b) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
8. Amendment of subsection (e) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
9. Amendment of subsection (a) and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
10. New subsections (f) and (g),  and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
11. Amendment of subsection (a) and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18).  
13. Amendment of subsection (a) and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
15. Amendment of subsections (a) and (b) and amendment of Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
17. Amendment of subsection (a) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
19. Amendment designating and amending former subsection (a) as subsection (a)(1), new subsections (a)(2)-(a)(4) and amendment of subsection (f) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§32705. Challenge to the Status of an Employee Organization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code. Reference: Sections 3520.5, 3544, 3544.1, 3544.3, 3544.5, 3544.7, 3573, 3574, 3575, 3576 and 3577, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (d) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Repealer filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
Article 2. Elections
§32720. Authority to Conduct Elections.
Note     •     History

An election shall be conducted when the Board issues a decision directing an election or approves an agreement for a consent election, pursuant to the provisions of Articles 3, 4 or 5 of this Subchapter; Chapter 2, Subchapters 1 and 2; Chapter 3, Subchapter 1; Chapter 4, Subchapter 1 or 2; or Chapter 6 of these regulations.
The Board shall determine the date, time, place and manner of the election absent an approved agreement of the parties.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3541.3(c), (e), (g), (l) and (m), 3513(h), 3520.5(b),  3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment of section and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
5. Amendment of section and Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
6. Change without regulatory effect amending Note filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
7. Amendment of first paragraph and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32721. Parties.
Note     •     History

“Parties” means the TEERA, EERA, HEERA or Ralph C. Dills Act employer, the employee organization which is the exclusive representative of employees in the voting unit, any employee organization eligible to appear on the ballot in a representation election, or any group of employees which has filed a valid petition pursuant to Section 32770(a), 34020(a), 40400(a), 51700, or 71700.
NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3520.5(b), 3544.1(a), 3544.3, 3544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. New section filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Amendment of section and Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
4. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32722. Ballot.
Note     •     History

(a) All elections shall be conducted by secret ballot under the supervision of the Board.
(b) Ballots shall be prepared under the supervision of the Board. The order of voting choices and the wording of each ballot entry shall be determined by the Board absent an approved agreement of the parties.
(c) Except in the case of a runoff election, in which the ballot entries are determined pursuant to Section 32736, or an election conducted pursuant to either Article 3 of this Chapter or section 32781(c), the ballot entry of “No representation” shall appear on each ballot in a representation election.
(d) At any time prior to issuance of the notice of election (pursuant to section 32724(b)), an employee organization may file a request with the regional office to have its name removed from the ballot. The request shall disclaim any interest in representing the employees in the described unit. Service and proof of service of the request pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3541.3(e) and (m), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of subsection (c)(d) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection  (c) and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Amendment of subsection (d) and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32724. Directed Election Order/Consent Election Agreement; Notice of Election.
Note     •     History

(a) When the Board has determined that an election is required, the Board shall serve on the employer and the parties a Directed Election Order maintaining specific instructions regarding the conduct of the election. The Board may approve a Consent Election Agreement of the parties regarding the conduct of an election.
(b) Thereafter, the Board shall serve a notice of election on the parties. The notice shall contain a sample ballot, a description of the voting unit, and information regarding the balloting process. Unless otherwise directed by the Board, the employer shall post such notice conspicuously on all employee bulletin boards in each facility of the employer in which members of the described unit are employed.
(c) The Board shall supply the employer with sufficient copies of the notice for posting. The posting shall be accomplished by the date specified in the Consent Election Agreement or the Directed Election Order. The notice shall remain posted through the final day for casting ballots.
NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3520.5(b), 3544.1(a), 3544.3, 3544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (a) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment of subsection (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
5. Change without regulatory effect amending subsection (b) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32726. List of Voters.
Note     •     History

(a) At a date established by the Board, the employer shall file with the regional office a list of names of all employees included in the voting unit as of the cutoff date for voter eligibility. Unless otherwise directed by the Board, the voter list for an on-site election shall be in alphabetical order by assigned polling site and shall include the job title or classification, work location and home address of each eligible voter. Unless otherwise directed by the Board, the voter list for a mailed ballot election shall be in alphabetical order and include the job title and home address of each eligible voter, and shall be accompanied by two sets of name and home address labels for each eligible voter.
(b) A list of eligible voters which meets the requirements of subsection (a) above but which contains in lieu of the home address a mailing address for each eligible voter shall be concurrently served by the employer on each other party to the election. Proof of service shall be filed with the regional office. For purposes of this subsection, mailing address means the home address of each eligible voter, except in the case where the release of the home address of the employee is prohibited by law, or if the Board shall determine that the release of home addresses is likely to be harmful to the employees.
(c) Any party which receives the mailing addresses of eligible voters pursuant to this section shall keep these addresses confidential and shall neither distribute them to any other organization or individual nor utilize them for any other purpose.
NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3520.5(b), 3544.1(a), 3544.3, 3544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32728. Voter Eligibility.
Note     •     History

Unless otherwise directed by the Board, to be eligible to vote in an election, employees must be employed in the voting unit as of the cutoff date for voter eligibility, and still employed on the date they cast their ballots in the election. Employees who are ill, on vacation, on leave of absence or sabbatical, temporarily laid off, and employees who are in the military service of the United States shall be eligible to vote. Mailed ballots may be utilized to maximize the opportunity of such voters to cast their ballots.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32730. Observers.
Note     •     History

Each party shall be allowed to station an authorized observer selected from the nonmanagement, nonsupervisory employees of the employer at each polling place during an on-site election to assist in the conduct of the election and to challenge the eligibility of voters. If the unit consists of supervisory employees the parties may designate supervisors as observers.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32732. Challenges.
Note     •     History

(a) In an on-site election, a Board agent or an authorized observer may challenge, for good cause, the eligibility of a voter. A person so challenged shall be permitted to cast a challenged ballot.
(b) In a mailed ballot election, a Board Agent or an authorized agent of any party to the election may challenge, for good cause, the eligibility of a voter. Such challenges shall be made prior to the tally of the ballots.
(c) When sufficient in number to affect the outcome of the election, unresolved challenges shall be resolved by the Board.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32734. Tally of Ballots.
Note     •     History

(a) Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots.
(b) At the conclusion of the counting of ballots, the Board shall serve a tally of the ballots on each party.
(c) Unless otherwise authorized by statute, a majority of the valid votes cast shall determine the outcome of the election.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. New subsection (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32735. Resolution of Challenges.
Note     •     History

When the tally of ballots discloses that the challenged ballots are sufficient in number to affect the outcome of the election, the Board agent shall conduct an investigation and, where appropriate, conduct a hearing or take such other action as deemed necessary to determine the eligibility of the challenged voters. Any determination made by a Board agent pursuant to this Section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 2 or 3 of these regulations, as appropriate.
NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3520.5(b), 3544.1(a), 3544.3, 3544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Change without regulatory effect amending section filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32736. Runoff Elections.
Note     •     History

In a representation election, the Board shall direct a runoff election when a valid election results in none of the choices receiving a majority of the valid votes cast. The ballot for the runoff election shall provide for a selection between the two ballot entries receiving the largest and second largest number of valid votes cast in the election.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32738. Objections.
Note     •     History

(a) Within 10 days following the service of the tally of ballots, any party to the election may file with the regional office objections to the conduct of the election. Any objections must be filed within the 10 day time period whether or not a runoff election is necessary or challenged ballots are sufficient in number to affect the results of the election.
(b) Service and proof of service of the objections pursuant to Section 32140 are required.
(c) Objections shall be entertained by the Board only on the following grounds:
(1) The conduct complained of interfered with the employees' right to freely choose a representative, or
(2) Serious irregularity in the conduct of the election.
(d) The statement of the objections must contain specific facts which, if true, would establish that the election result should be set aside, and must also describe with specificity how the alleged facts constitute objectionable conduct within the meaning of subsection (c) above.
(e) No party may allege as grounds for setting aside an election its own conduct or the conduct of its agents.
(f) At the direction of the Board, facts alleged as supportive of the election conduct objected to shall be supported by declarations. Such declarations must be within the personal knowledge of the declarant, or must otherwise be admissible in a PERB election objections hearing. The declarations shall specify the details of each occurrence; identify the person(s) alleged to have engaged in the allegedly objectionable conduct; state their relationship to the parties; state where and when the allegedly objectionable conduct occurred; and give a detailed description of the allegedly objectionable conduct. All declarations shall state the date and place of execution and shall be signed by the declarant and certified by him or her to be true under penalty of perjury.
(g) The Board agent shall dismiss objections that fail to satisfy the requirements of subsections (a) through (d). The objecting party may appeal the dismissal to the Board itself in accordance with Chapter 1, Subchapter 4, Article 3 of these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending subsection (g) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Change without regulatory effect amending subsection (g) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32739. Powers and Duties of Board Agent Concerning Objections.
Note     •     History

Concerning objections, the Board agent has the power to:
(a) Direct any party to submit evidence through declarations or documents;
(b) Order the inspection of documents by Board agents or the parties;
(c) Direct any party to submit an offer of proof;
(d) Obtain declarations from witnesses based on personal knowledge;
(e) Conduct investigatory conferences with the parties to explore and resolve factual or legal issues;
(f) Dismiss any objections which, after investigation, do not warrant setting aside the election. Any such dismissal is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations.
(g) Issue a written determination setting aside the election when, after investigation, it appears that such action is warranted, and that no material factual disputes exist. Such determination shall be in writing and served on the parties. Any such determination is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations.
(h) Schedule a hearing when substantial and material factual disputes exist. Any hearing shall be limited to the issues set forth in the notice of hearing.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h) 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (g), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending subsections (f)-(g) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Change without regulatory effect amending subsections (f) and (g) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32740. Withdrawal of Objections.
Note     •     History

Any party may withdraw its objections to an election prior to a final decision by the Board.
NOTE

Authority cited: Sections 3513(h), 3541.3(g)(n), 3563(f)(m), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32742. Hearings on Objections and Challenges.
Note     •     History

Objections to the conduct of an election which have not been dismissed pursuant to Section 32739(f) or unresolved challenged ballots sufficient in number to affect the outcome of the election may be resolved through the hearing procedures described in Chapter 1, Subchapter 3 (commencing with Section 32165) of these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), (h), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), (g), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (g), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32744. Exception to Decision on Objections or Challenges.
Note     •     History

Exceptions to a Board agent's proposed decision on objections to the conduct of the election or challenged ballots may be taken in accordance with the procedures set forth in Chapter 1, Subchapter 4, Article 2 (commencing with Section 32300) of these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), (h), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), (m), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Change without regulatory effect amending section filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32746. Revised Tally of Ballots.
Note     •     History

Should a ruling on challenged ballots direct that any such ballots be voided or opened and counted, the Board shall serve a revised tally of ballots on each party at the conclusion of the counting and/or voiding of such ballots. Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots.
NOTE

Authority cited: Sections 3513, 3541.3 and 3563, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3520.5(b), 3544.1(a), 3544.3, 544.7(a), 3546, 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32748. Objections to Revised Tally of Ballots.
Note     •     History

(a) Within 10 days following the service of a revised tally of ballots, any party may file with the regional office objection to the revised tally.
(b) Service and proof of service of the objections pursuant to Section 32140 are required.
(c) Objections to a revised tally of ballots shall be entertained by the Board only on the grounds of serious irregularity in the conduct of the challenged ballot count or issuance of the revised tally.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Editorial correction of Note (Register 99, No. 2).
4. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
5. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32750. Certification of Results of Election or Certification of Exclusive Representative.
Note     •     History

Except in the case of elections conducted pursuant to section 32763 or section 32786(a), the Board shall certify the results of the election or issue a certification of an exclusive representative if the results of the election are conclusive and no timely objections are filed.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment of NOTE filed 6-1-80 (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Amendment of section and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32752. Stay of Election.
Note     •     History

The Board may stay an election pending the resolution of an unfair practice charge relating to the voting unit upon an investigation and a finding that alleged unlawful conduct would so affect the election process as to prevent the employees from exercising free choice. Any determination to stay an election made by the Board pursuant to this section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 3 of these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (e), (k), (l), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
4. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
5. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Change without regulatory effect amending section filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
7. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32754. Bar to Conducting Election.
Note     •     History

The Board shall dismiss a petition requiring a representation election if it determines:
(a) Under the EERA, either that the conditions of Government Code Section 3544.7(b)(1) or (2) exist or that a representation election result has been certified affecting the described unit or a portion thereof within the 12 months immediately preceding the date of filing of the petition; or
(b) Under the Dills Act, (1) there is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by a petition requiring an election, unless the petition is filed less than 242 days but more than 212 days prior to the expiration date of such memorandum or the end of the third year of such memorandum, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) that a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition; or
(c) Under the HEERA, either of the conditions of Government Code Section 3577(b)(1) or (2) exist; or
(d) Under the TEERA, either of the conditions of Public Utilities Code Section 99564.4(b)(1) or (2) exist. 
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3520.5(b), 3541.3(c), 3544.1(a), 3544.3, 3544.7(a), 3546, 3563(c), 3574(a), 3577, 3579(e) and 3583.5, Government Code; and Sections 99561(c), (k), 99564, 99564.1, 99564.2, 99564.3, 99564.4 and 99566.1, Public Utilities Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (b) filed 12-13-88; operative 1-1-89 (Register 88, No. 53). 
4. Amendment of subsection (c) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
5. Change without regulatory effect amending subsections (a) and (b) and Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
6. Amendment of subsection (c), new subsection (d) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 3. Request for Amendment of Certification
§32760. Policy.
Note     •     History

NOTE

Authority cited: Sections 3513(g); 3541.3(g)(n); 3563(f)(m), Government Code. Reference: Sections 3513(g), 3541.3(m), 3563(l ), Government Code.
HISTORY

1. New Article 3 (Sections 32760-32763) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of article heading filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§32761. Request.
Note     •     History

(a) An employee organization may file with the regional office a request to amend its certification or recognition in the event of a merger, amalgamation, affiliation or transfer of jurisdiction, or in the event of a change in the name or jurisdiction of the employer.
(b) The request shall be in writing, signed by an authorized agent of the employee organization and shall contain the following information:
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted;
(2) The name, address and telephone number of the employer;
(3) A brief description and the PERB case number of the established unit;
(4) A clear and concise statement of the nature of the merger, amalgamation, affiliation or other change in jurisdiction and the new name of the employee organization and/or employer.
(c) Service and proof of service of the request pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(m) and 3563(l), Government Code; and Section 99561(l), Public Utilities Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment of subsections (a) and (b)(4) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32762. Employer Response.
Note     •     History

The employer may file a responding statement to the request filed pursuant to Section 32761. The statement shall be filed with the regional office within 15 days following the date of service of the request. Service and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(m) and 3563(l), Government Code; and Section 99561(l), Public Utilities Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32763. Board Investigation.
Note     •     History

(a) Upon receipt of a request filed pursuant to Section 32761, the Board shall conduct such inquiries and investigations or hold such hearings as deemed necessary, and/or conduct a representation election, in order to decide the questions raised by the request.
(b) The Board may dismiss the request if the requester has no standing to petition for the action requested or if the request is improperly filed. The Board may deny a request based on the investigation conducted pursuant to subsection (a) above.
(c) Upon approval of a request, the Board shall issue a certification reflecting the new identity of the exclusive representative and/or employer. Such certification shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 32754 of these regulations.
(d) Any determination made by the Board pursuant to this section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 2 or 3 of these regulations, as appropriate.
NOTE

Authority cited: Sections 3513(h), 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(h), (m) and 3563(g), (l), Government Code; and Section 99561(g), (l), Public Utilities Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of subsection  (a) and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Change without regulatory effect amending subsection (d) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
5. Amendment of subsection (c) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Change without regulatory effect amending subsection (d) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 4. Decertification Petition
§32770. Petition.
Note     •     History

(a) A petition for an election to decertify an existing exclusive representative in an established unit may be filed by a group of employees within the unit or an employee organization. The petition shall be filed with the regional office utilizing forms provided by the Board.
(b) The petition shall be accompanied by proof that at least 30 percent of the employees in the established unit either:
(1) No longer desire to be represented by the incumbent exclusive representative; or
(2) Wish to be represented by another employee organization. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(g) and 3563(k), Government Code; and Sections 99561(k) and 99564.3, Public Utilities Code.
HISTORY

1. New Article 4 (Sections 32770-32776, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending subsection (b)(2) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32772. Posting Notice of Decertification Petition.
Note     •     History

(a) The employer shall post a notice of the decertification petition as soon as possible but in no event later than 15 days following service of a copy of the petition.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the established unit are employed.
(c) For Ralph C. Dills Act and TEERA petitions, the notice shall remain posted for a minimum of 20 days. For EERA and HEERA petitions, the notice shall remain posted for at least 15 workdays.
(d) The notice shall consist of a copy of the decertification petition with the appropriate portion of the form completed by the employer prior to posting.
(e) The employer shall serve a copy of the notice on the regional office and the parties when the notice is posted.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3524, 3541.3(g) and 3563(k), Government Code; and Sections 99561(k) and 99564.3, Public Utilities Code.
HISTORY

1. Amendment of subsection (c) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of subsection (c) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32774. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of the date the decertification petition is filed with the regional office, the employer shall file with the regional office a description of the established unit and an alphabetical list, including job titles or classifications, of employees in the established unit as of the last date of the payroll period immediately preceding the date the decertification petition was filed, unless otherwise directed by the Board.
(b) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(g) and 3563(k), Government Code; and Sections 99561(k) and 99564.3, Public Utilities Code.
HISTORY

1. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32776. Board Investigation/Election.
Note     •     History

(a) Upon receipt of a petition for decertification, the Board shall investigate and, where appropriate, conduct a hearing and/or an election or take such other action as necessary.
(b) The petition shall be dismissed if the existing exclusive representative files a valid disclaimer of interest in representing employees in the unit within 20 days of the date the petition is filed with the regional office.
(c) Under EERA, the petition shall be dismissed whenever either of the conditions of Government Code Section 3544.7(b)(1) or (2) exist or a representation election result has been certified affecting the described unit or a portion thereof within the 12 months immediately preceding the date of filing of the petition.
(d) Under Ralph C. Dills Act, the petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by a petition requiring an election, unless the petition is filed during the window period defined in Section 40130 of these regulations, or the end of the third year of such memorandum, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition.
(e) Under HEERA, the petition shall be dismissed whenever either of the conditions of Government Code Sections 3577(b)(1) or (2) exist.
(f) Under TEERA, the petition shall be dismissed whenever either of the conditions of Public Utilities Code Section 99564.4(b)(1) or (2) exist. 
(g) The “window period” in the term of an existing memorandum of understanding for filing a decertification petition is defined for Ralph C. Dills Act in Section 40130, for HEERA in Section 51026, and for TEERA in Section 71026 of these regulations. The “window period” in the term of an existing lawful written agreement for filing a decertification petition is defined for EERA in Section 33020 of these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(g), 3520.5 and 3563(k), Government Code; and Sections 99561(k), 99564.3 and 99564.4, Public Utilities Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. New subsection (b), subsection relettering and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
3. Amendment of subsections (d) and (f) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
4. Amendment of subsections (c) and (d), new subsection (f), subsection relettering, amendment of newly designated subsection (g) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 5. Petition for Unit Modification
§32781. Petition.
Note     •     History

Absent agreement of the parties to modify a unit, an exclusive representative, an employer, or both must file a petition for unit modification in accordance with this section. Parties who wish to obtain Board approval of a unit modification may file a petition in accordance with the provisions of this section.
(a) A recognized or certified employee organization may file with the regional office a petition for modification of its units:
(1) To add to the unit unrepresented classifications or positions;
(2) To divide an existing unit into two or more appropriate units;
(3) To consolidate two or more established units into one appropriate unit.
(b) A recognized or certified employee organization, an employer, or both jointly may file with the regional office a petition for unit modification:
(1) To delete classifications or positions which by virtue of change in circumstances are no longer appropriate to the established unit because said classification(s) or position(s) are management, supervisory, confidential, not covered by TEERA, EERA, HEERA or Ralph C. Dills Act, or otherwise prohibited by statute from inclusion in the unit;
(2) To make technical changes to clarify or update the unit description.
(3) To resolve a dispute as to unit placement or designation of a new classification or position.
(4) To delete classification(s) or position(s) not subject to (1) above which are not appropriate to the unit because said classification(s) or positions(s) are management, supervisory, confidential, not covered by TEERA, EERA, HEERA or Ralph C. Dills Act, or otherwise prohibited by statute from inclusion in the unit, provided that:
(A) The petition is filed jointly by the employer and the recognized or certified employee organization, or
(B) There is not in effect a lawful written agreement or memorandum of understanding, or
(C) The petition is filed during the “window period” of a lawful written agreement or memorandum of understanding as defined in these regulations in Section 33020 for EERA, Section 40130 for Ralph C. Dills Act, Section 51026 for HEERA, or Section 71026 for TEERA.
(c) All affected recognized or certified employee organizations may jointly file with the regional office a petition to transfer classifications or positions from one represented established unit to another.
(d) The petition shall be signed by an authorized agent of each petitioning party and shall include the following information:
(1) The name, address and telephone number of the exclusive representative(s) of the unit(s) affected by the petition;
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted;
(3) A brief description and the title(s) of the established unit(s);
(4) The approximate number of employees in the established unit;
(5) The approximate number of employees covered by the petition;
(6) The effective and expiration dates of the current written agreement or memorandum of understanding, if any, covering employees in the established unit;
(7) A description of the modification(s) sought by the petition;
(8) The name and address of any other employee organization known to have an interest in representing employees covered by the petition;
(9) A statement of the reasons for the modification(s).
(e)(1) If the petition requests the addition of classifications or positions to an established unit, and the proposed addition would increase the size of the established unit by ten percent or more, the Board shall require proof of majority support of persons employed in the classifications or positions to be added. 
(2) If the petition requests the addition of classifications or positions to an established unit and the classifications or positions are also included in a proposed appropriate unit in a pending request for recognition or petition for certification, the Board shall require proof of at least thirty percent support of persons employed in the classifications or positions to be added.
(3) Proof of support is defined in Section 32700 of these regulations.
(f) A copy of a petition filed solely by an exclusive representative or an employer shall be concurrently served on the other party, and on any additional interested party. Proof of service pursuant to Section 32140 is required. Proof of support, if required, shall be filed only with the regional office.
NOTE

Authority cited: Sections 3513(h), 3541.3(e) and (g) and 3563(e) and (f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(a) and (e) and 3563(a), Government Code; and Section 99561(a), (e), Public Utilities Code.
HISTORY

1. New article 5 (sections 32781-32786, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
2. New subsection (b)(5) filed 2-14-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 8).
3. Amendment of subsections (b), (d) and (e) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment filed 12-13-88; operative 1-1-89 (Register 88, No. 53).
5. Amendment of subsection (b) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
6. Repealer of subsection  (g)  filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
7. Change without regulatory effect amending subsection (b)(4) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
8. Amendment of subsection (b)(1) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
9. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
10. Amendment of subsections (b)(1), (b)(4) and (b)(4)(C) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of subsection (d), new subsections (d)(1)-(9), redesignation and amendment of former subsection (e) as subsection (e)(1), new subsections (e)(2)-(3) and amendment of Note filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
13. Editorial correction designating a portion of subsection (e)(1) as subsection (e)(3) (Register 2007, No. 48).
14. Amendment of subsection (f) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§32783. Response to Petition.
Note     •     History

(a) Unless otherwise notified by the Board, a party or interested party may file a response to a petition filed solely by an exclusive representative or an employer. Such response shall be filed with the regional office within 20 days following the date of service of the petition. Service and proof of service of the response pursuant to Section 32140 are required.
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information:
(1) The name, address and telephone number of the petitioner(s);
(2) The name, address and telephone number of the respondent and the name, address and telephone number of the agent to be contacted;
(3) A statement confirming or refuting information contained in the petition regarding the size and description of the established unit(s), the date(s) of recognition or certification, the approximate number of employees involved in the modification request and the identity of any other employee organization known to claim to represent affected employees;
(4) A concise statement setting forth the reasons for support of or opposition to the unit modification proposed by the petitioner(s).
(5) The PERB unit modification case number.
NOTE

Authority cited: Sections 3513(h), 3541.3(e), (g) and 3563(e), (f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(a), (e) and 3563(a), Government Code; and Section 99561(a), (e), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 3-22-83 (Register 83, No. 13).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32784. Board Determination Regarding Proof of Support.
Note     •     History

(a) If proof of support has been filed pursuant to section 32781(e)(1) or (2), the employer shall, within 20 days of the date the support was filed, file with the regional office an alphabetical list, including job titles or classifications, of all employees proposed to be added to the unit as of the last date of the payroll period immediately preceding the date the petition was filed with PERB, unless otherwise directed by the Board.
(b) The Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency of the proof of support.
NOTE

Authority cited: Sections 3513(h), 3541.3(e), (g) and 3563(e), (f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(a), (e) and 3563(a), Government Code; and Section 99561(a), (e), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 3-22-83 (Register 83, No. 13).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Amendment of subsection (a) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§32786. Disposition of Petitions.
Note     •     History

(a) Upon receipt of a petition for unit modification, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary in order to decide the questions raised by the petition and to ensure full compliance with the provisions of the law.
(b) The Board shall dismiss a petition (1) if it is found to be improperly or not timely filed; or, (2) if proof of support submitted falls short of the required level of support; or, (3) if a representation election result has been certified within the 12 months immediately proceeding the date of filing of the petition which covers any employees proposed to be added to the unit; or, (4) if, within the previous 12 months, the employer has lawfully recognized, or the Board has certified, the exclusive representative in the described unit or a subdivision thereof.
(c) The Board may request proof of support or order an election among unrepresented employees to be added to a unit, if classifications found appropriate to be added to the unit do not include all classifications originally petitioned for.
(d) Board Order of Unit Modification.
(1) The Board shall issue an order of unit modification whenever the disposition of a petition filed under this Article results in the modification of a unit.
(2) The order shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 32754.
NOTE

Authority cited: Sections 3513(h), 3541.3(e), (g) and 3563(e), (f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(a), (e) and 3563(a), Government Code; and Section 99561(a), (e), (g), Public Utilities Code.
HISTORY

1. Editorial correction of NOTE filed 3-22-83 (Register 83, No. 13).
2. Amendment of subsection (b) filed 12-13-88; operative 1-1-89 (Register 88, No. 53).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Amendment of subsection (b) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
Article 6. Impasse Procedures
§32791. Parties' Selection of Mediator.
Note     •     History

At any time after a party declares impasse, the parties may mutually agree upon their own mediation procedures, including the right to arrange for a mediator of their choice, in lieu of the mediation procedure set forth in these regulations.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3518, 3548 and 3590, Government Code.
HISTORY

1. New Article 6 (Sections 32791-32800, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32792. Request That Board Determine Impasse and Appoint Mediator.
Note     •     History

(a) After declaring impasse orally or in writing to the other party or after jointly declaring impasse, either or both parties may request the Board to determine that an impasse exists and appoint a mediator. This request may initially be made by telephone, but a request in writing shall follow. The request shall be signed under penalty of perjury that the information alleged therein is true and complete to the best of the requesting party's/parties' knowledge and belief, and contain the following information:
(1) The name, address and telephone number of the employer and the exclusive representative;
(2) The name, title, address and telephone number of the agent to be contacted for each party;
(3) A description of the established unit, the approximate number of employees in the unit and the date the exclusive representative was recognized or certified;
(4) The type of dispute;
(5) The date(s) the parties' initial proposals were presented to the public;
(6) The date negotiations commenced, the number of negotiating sessions and the approximate total number of hours spent in negotiations to date;
(7) The status of negotiations, including the date impasse was declared by the party/parties pursuant to this section, the number and subject matter of issues on which the parties have reached tentative agreement, and the total number and subject matter of issues which remain in dispute;
(8) A clear and concise description of the negotiations which have occurred, including the extent to which the parties have made counter-proposals and have discussed the issues which remain in dispute, and any facts which indicate that future meetings without the assistance of a mediator would be futile.
(b) Unless the request is made jointly, the filing party shall concurrently serve a copy of the written request on the other party. Proof of service pursuant to Section 32140 shall be filed with the regional office.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3518, 3548 and 3590, Government Code.
HISTORY

1. Amendment of subsection (a), new subsections (a)(1)-(8) and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
§32793. Board Determination of Impasse.
Note     •     History

(a) The Board shall, within five working days following the receipt of the written request for appointment of a mediator, orally notify the parties that the Board has determined that:
(1) An impasse exists and a mediator has been appointed, or
(2) Impasse has not been reached.
(b) Thereafter, the Board shall serve the parties with written notice of the determination.
(c) In determining whether an impasse exists, the Board shall investigate and may consider the number and length of negotiating sessions between the parties, the time period over which the negotiations have occurred, the extent to which the parties have made and discussed counter-proposals to each other, the extent to which the parties have reached tentative agreement on issues during the negotiations, the extent to which unresolved issues remain, and other relevant data.
(d) “Working days,” for purposes of this Section only, shall be those days when the offices of the Public Employment Relations Board are officially open for business.
(e) The determination as to whether an impasse exists shall not be appealable to the Board itself.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3518, 3548 and 3590, Government Code.
HISTORY

1. New subsection (e) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32794. Appeal from Board's Determination.
Note     •     History

NOTE

Authority cited: Sections 3513(g), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3518, 3548 and 3590, Government Code.
HISTORY

1. Repealer filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
§32795. Subsequent Requests That Board Determine Impasse and Appoint Mediator.
Note     •     History

Following the Board's determination that an impasse does not exist, a party may subsequently request that the Board determine that an impasse exists and appoint a mediator whenever there is a change in the facts upon which the initial determination was based. Subsequent requests shall follow the procedures set forth in Section 32792.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3518, 3548 and 3590, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32797. Appointment of a Factfinder Under EERA and HEERA.
Note     •     History

Not sooner than 15 days after the appointment of a mediator by the Board, or not sooner than 15 days after the parties have attempted to resolve their dispute through a mediation procedure on which they have mutually agreed, the Board shall appoint a person to chair a factfinding panel, if:
(a) The mediator has filed a written declaration that factfinding is appropriate to the resolution of the dispute with the regional office, and
(b) Either party has requested by written notification to the other, that their differences be submitted to a factfinding panel. A copy of the written request shall be filed with the regional office.
NOTE

Authority cited: Sections 3541.3(g) and 3563(f), Government Code. Reference: Sections 3548.1 and 3591, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32798. Appointment of Person to Chair Factfinding Panel Under EERA and HEERA.
Note     •     History

(a) Under EERA, the Board shall select and appoint the chairperson unless notified by the parties that they have mutually agreed upon a person to chair the panel in lieu of a chairperson selected by the Board.
(b) Under HEERA, the Board shall select and appoint the chairperson.
NOTE

Authority cited: Sections 3541.3(g) and 3563(f), Government Code. Reference: Sections 3548.1 and 3591, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
§32799. Parties' Statement for Factfinder Under EERA and HEERA.
Note     •     History

In cases where the Board has appointed a person to chair the factfinding panel, the parties shall prepare a statement of the issues to be placed before the panel. The statement should be jointly filed, if possible, although the parties may file separate statements if they disagree about the issues to be placed before the panel.
NOTE

Authority cited: Sections 3541.3(g) and 3563(f), Government Code. Reference: Sections 3548.1 and 3591, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32800. Publication of Factfinder's Report Under EERA and HEERA.
Note     •     History

(a) Under EERA, the employer shall make public the entire, verbatim final report signed by the chairperson of the factfinding panel within 10 days of its receipt by the parties.
(b) Under HEERA, should the factfinding panel decide to publish the report pursuant to Government Code Section 3593, such publication shall be made by the employer in the manner described in subsection (c) below.
(c) Publication shall be made by posting a notice that the factfinder report has been issued and is available to the public. The notice shall be posted in the locations normally used for posting public notices regarding regular meetings of the employer and shall indicate the times and places where the public may inspect a copy of the report. The employer shall insure that a reasonable number of copies shall be made available to the public.
NOTE

Authority cited: Sections 3541.3(g) and 3563(f), Government Code. Reference: Sections3548.3(a) and 3593, Government Code.
HISTORY

1. Amendment of subsection (b) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§32802. Request for Factfinding Under the MMBA.
Note     •     History

(a) An exclusive representative may request that the parties' differences be submitted to a factfinding panel. The request shall be accompanied by a statement that the parties have been unable to effect a settlement. Such a request may be filed:
(1) Not sooner than 30 days, but not more than 45 days, following the appointment or selection of a mediator pursuant either to the parties' agreement to mediate or a mediation process required by a public agency's local rules; or
(2) If the dispute was not submitted to mediation, not later than 30 days following the date that either party provided the other with written notice of a declaration of impasse.
(b) A request for factfinding must be filed with the appropriate regional office; service and proof of service pursuant to Section 32140 are required.
(c) Within five working days from the date the request is filed, the Board shall notify the parties whether the request satisfies the requirements of this Section. If the request does not satisfy the requirements of subsection (a)(1) or (2), above, no further action shall be taken by the Board. If the request is determined to be sufficient, the Board shall request that each party provide notification of the name and contact information of its panel member within five working days.
(d) “Working days,”for purposes of this Section and Section 32804, shall be those days when the offices of the Public Employment Relations Board are officially open for business.
(e) The determination as to whether a request is sufficient shall not be appealable to the Board itself.
NOTE

Authority cited: Sections 3509(a), 3541.3(e) and 3541.3(g), Government Code. Reference: Sections 3505.4, 3505.5 and 3505.7, Government Code.
HISTORY

1. New section filed 12-29-2011 as an emergency; operative 1-1-2012 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-29-2012 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-29-2011 order transmitted to OAL 6-22-2012 and filed 7-30-2012 (Register 2012, No. 31).
§32804. Appointment of Person to Chair Factfinding Panel Under the MMBA.
Note     •     History

If a request is determined to be sufficient under Section 32802, the Board shall, within five working days following this determination, submit to the parties the names of seven persons, drawn from the list of neutral factfinders established pursuant to Government Code section 3541.3(d). The Board will thereafter designate one of the seven persons to serve as the chairperson unless notified by the parties within five working days that they have mutually agreed upon a person to chair the panel in lieu of a chairperson selected by the Board. In no case will the Board be responsible for the costs of the chairperson.
NOTE

Authority cited: Sections 3509(a), 3541.3(e) and 3541.3(g), Government Code. Reference: Sections 3505.4, 3505.5 and 3505.7, Government Code.
HISTORY

1. New section filed 12-29-2011 as an emergency; operative 1-1-2012 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL by 6-29-2012 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-29-2011 order transmitted to OAL 6-22-2012 and filed 7-30-2012 (Register 2012, No. 31).
Article 7. Arbitration Procedures
§32810. List of Arbitrators.
Note     •     History

A list of persons to serve as arbitrators in disputes shall be established by the Board and shall be maintained at all regional offices and shall be made available to the parties.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(d), 3548.5, 3548.6 and 3589(d), Government Code; and Sections 99561(d) and 99567, Public Utilities Code.
HISTORY

1. New Article 7 (Section 32810-32813, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32811. Selection of Arbitrators.
Note     •     History

The parties to a written agreement may at their own initiative select an arbitrator. If the parties choose not to or are unable to select an arbitrator, they may request assistance from the Board. The request shall be filed in the appropriate regional office.
If, pursuant to an agreement, the parties request Board assistance, the Board shall furnish the parties with:
(a) The complete list of arbitrators maintained by the Board; and/or
(b) A list containing an odd number of arbitrators from which the parties may select an arbitrator or, failing agreement, may alternately strike names from the list with the last name being the arbitrator selected. Either party may reject one list furnished and may request a new list.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(h), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(d), 3548.5, 3548.6 and 3589(d), Government Code; and Section 99567, Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32812. Notification of Selection.
Note     •     History

Upon selection of an arbitrator from the list provided pursuant to Section 32811, the parties shall promptly notify the Board of their selection. Once an arbitrator is selected, the parties shall make all arrangements for the arbitration directly with the arbitrator.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(d), 3548.5, 3548.6 and 3589(d), Government Code; and Section 99567, Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§32813. Cost of Arbitration.
Note     •     History

The cost of the arbitration shall be the responsibility of the parties.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3513(h), 3541.3(d), 3548.5, 3548.6 and 3589(d), Government Code; and Section 99567, Public Utilities Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
2. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 8. Public Notice Complaints
§32900. Public Notice.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code. Reference: Sections 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code.
HISTORY

1. New section filed 10-27-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 44). For prior history of Article 8, see Register 82, No. 39.
2. Amendment filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Amendment of section heading, section and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
4. Change without regulatory effect amending section filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
5. Repealer of article 8 (sections 32900-32950) and section filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32905. Public Inspection of EERA or HEERA Public Notice Complaints.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code. Reference: Sections 3541.3(h), 3547, 3563(g) and 3595, Government Code.
HISTORY

1. New Article 8 (Sections 32905-32965, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Repealer of section and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
§32910. Filing of Complaint.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code; and Section 99569, Public Utilities Code.
HISTORY

1. Editorial correction filed 2-14-83 (Register 83, No. 8).
2. Amendment of section heading, section and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
3. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32915. Content of Complaint.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(c), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3563(g) and 3595, Government Code; and Section 99569, Public Utilities Code.
HISTORY

1. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment of section heading filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32920. Processing of Complaint.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code; and Sections 99561(g) and 99569, Public Utilities Code.
HISTORY

1. New subsections (b)(5)-(7) filed 1-20-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4). 
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
3. Amendment of section heading, subsections (b)(2), (b)(7)-(9), (b)(11) and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
4. Amendment of subsections (b)(1)-(b)(9) and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32925. Review of Determinations and Dismissals.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code; and Section 99569, Public Utilities Code.
HISTORY

1. Repealer and new section filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment of section heading and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32930. EERA or HEERA Answer.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), 3547(e), 3563(f) and 3595(c), Government Code. Reference: Sections 3541.3, 3547, 3563(g) and 3595, Government Code.
HISTORY

1. Repealer filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
§32935. Informal Conference.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3, 3547, 3547.5, 3563(g) and 3595, Government Code; and Sections 99561(g) and 99569, Public Utilities Code.
HISTORY

1. Amendment of section heading and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
3. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
5. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32940. Withdrawal of Complaint.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595, Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code; and Section 99569, Public Utilities Code.
HISTORY

1. Amendment of section heading and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
2. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
4. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32945. EERA or HEERA Hearing.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code. Reference: Sections 3541.3(h), 3547, 3563(g) and 3595, Government Code.
HISTORY

1. Amendment filed 1-20-83; effective on filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Repealer filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
§32950. Filing Exceptions.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code; Section 99569, Public Utilities Code; and Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608..
HISTORY

1. Amendment of section heading, section and Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
2. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
4. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§32955. Notice of EERA or HEERA Hearing.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code.
HISTORY

1. Repealer of section and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
§32960. Posting Notice of EERA or HEERA Hearing.
Note     •     History

NOTE

Authority cited: Sections 3513(h), 3541.3(g), 3547(e), 3563(f) and 3595(e), Government Code. Reference: Sections 3523, 3541.3(h), 3547, 3547.5, 3563(g) and 3595, Government Code.
HISTORY

1. Repealer of section and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
§32965. Filing of Copies of Policy of EERA or HEERA Employers.
Note     •     History

NOTE

Authority cited: Sections 3541.3(g), 3547(e), 3563(f) and 3595(c), Government Code. Reference: Sections 3541.3(h), 3547, 3563(g) and 3595, Government Code.
HISTORY

1. Repealer filed 12-29-88; operative 1-28-89 (Register 89 No. 4).
Subchapter 7. Compliance
Article 1. Compliance
§32980. Compliance.
Note     •     History

(a) The General Counsel is responsible for determining that parties have complied with final Board orders. The General Counsel or his/her designate may conduct an inquiry, informal conference, investigation, or hearing, as appropriate, concerning any compliance matter. The Board itself may, based on a recommendation of the General Counsel, authorize the General Counsel to seek court enforcement of a final Board order.
(b) If an administrative decision based on an investigation is issued, the decision may be appealed to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations.
(c) If a proposed decision based on a hearing is issued, the decision may be appealed to the Board itself pursuant to Chapter 1, Subchapter 4, Article 2 of these regulations.
NOTE

Authority cited: Sections 3509(a), 3513, 3541.3, 3563, 71639.1(b) and 71825(b), Government Code; and Section 99561(f), Public Utilities Code. Reference: Sections 3509, 3509.5, 3514.5(c), 3520, 3541.5(c), 3542, 3563.3, 3564, 71639.1, 71639.4, 71825 and 71825.1, Government Code; Sections 99561.3 and 99562, Public Utilities Code; and Firefighters Union, Local 1186 v. City of Vallejo (1974) 12 Cal.3d 608.
HISTORY

1. New section filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Editorial correction designating new Chapter 7, Article 1 (Section 32980) heading only filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
3. Change without regulatory effect amending first paragraph and subsections (b)-(c) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
6. Change without regulatory effect amending subsections (b) and (c) filed 5-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 21).
7. Amendment of section and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
8. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
10. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Subchapter 8. Agency Fee Regulations
§32990. Agency Fee.
Note     •     History

“Fair share” and “agency shop” forms of organizational security shall be known herein as “agency fee.” All agency fee arrangements, agreements and provisions (hereinafter referred to as “provisions”) shall be subject to the following regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), (i) and (n), 3563(f), (h) and (m), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 3583.5, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of section heading, section and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of section heading, section and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Amendment of section and Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
7. New subsection (a), subsection relettering and amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. New subsection (e), subsection relettering and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. New subsections (f)-(g), subsection relettering and amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. New subsections (f)-(g), subsection relettering and amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. Repealer of subsections (a)-(g) and subsection (h) designator and amendment of former subsection (h) filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32991. Amount of Agency Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5(a), 3513(k), 3540.1(i), 3543, 3546, 3583.5(a), 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of section and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of section and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Amendment of section and Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of section and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of section and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. Repealer filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32992. Notification of Nonmember.
Note     •     History

(a) The exclusive representative shall provide annual written notice to each nonmember who will be required to pay an agency fee. The notice shall include:
(1) The amount of the exclusive representative's dues and the agency fee;
(2) The percentage of the agency fee amount that is attributable to chargeable expenditures and the basis for this calculation;
(3) The amount of the agency fee to be paid by a nonmember who objects to the payment of an agency fee amount that includes nonchargeable expenditures (hereinafter referred to as an “agency fee objector”); and
(4) Procedures for (A) objecting to the payment of an agency fee amount that includes nonchargeable expenditures and (B) challenging the calculation of the nonchargeable expenditures.
(b)(1) The calculation of the chargeable and nonchargeable expenditures will be based on an audited financial report, and the notice will include either a copy of the audited financial report used to calculate the chargeable and nonchargeable expenditures or a certification from the independent auditor that the summarized chargeable and nonchargeable expenditures contained in the notice have been audited and correctly reproduced from the audited report, or
(2) the calculation of the chargeable and nonchargeable expenditures may be based on an unaudited financial report if the exclusive representative's annual revenues are less than $50,000 and a nonmember is afforded a procedure sufficiently reliable to ensure that a nonmember can independently verify that the employee organization spent its money as stated in the notice.
(c) Such written notice shall be sent/distributed to the nonmember either:
(1) At least 30 days prior to collection of the agency fee; or
(2) Concurrent with the initial agency fee collection provided escrow requirements in Section 32995 are met; or
(3) In the case of public school employees, where the agency fee year covers the traditional school year, on or before October 15 of the school year, provided escrow requirements in Section 32995 are met.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 3583.5, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; Harik v. California Teachers Association (9th Cir. 2003) 326 F.3d 1042; Grunwald v. San Bernardino Unified School District (9th Cir. 1990) 994 F.2d 1370, cert. denied, 510 U.S. 964 (1993); Cummings v. Connell (9th Cir. 2003) 316 F.3d 886; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of section and Note filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32993. Exclusive Representative's Objection Procedure.
Note     •     History

Each exclusive representative that has an agency fee provision shall administer an Objection Procedure in accordance with the following:
(a) An agency fee objection shall be filed in writing with the designated representative of the exclusive representative.
(b) The procedure shall allow at least 30 days following distribution of the notice required under Section 32992 of these regulations for the filing of an agency fee objection.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of section and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of section and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of section and Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of section and Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Repealer and new section heading and section and amendment of Note filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32994. Exclusive Representative's Challenge Procedure.
Note     •     History

(a) An agency fee payer who disagrees with the exclusive representative's determination of the chargeable expenditures contained in the agency fee amount and who files a timely agency fee challenge with the exclusive representative shall be hereafter known as an “agency fee challenger.” An agency fee challenger may file an unfair practice charge that challenges the determination of the chargeable expenditures contained in the agency fee amount; however, no complaint shall issue until the agency fee challenger has first exhausted the Exclusive Representative's Challenge Procedure. No agency fee challenger shall be required to exhaust the Exclusive Representative's Challenge Procedure where it is insufficient on its face.
(b) Each exclusive representative that has an agency fee provision shall administer a Challenge Procedure in accordance with the following:
(1) An agency fee challenge shall be filed in writing with the official designated by the exclusive representative in the annual notice.
(2) The procedure shall allow at least 30 days following distribution of the notice required under Section 32992 of these regulations for the filing of an agency fee challenge.
(3) Upon receipt of an agency fee challenge, the exclusive representative shall within 45 days of the last day for filing a challenge request a prompt hearing regarding the agency fee before an impartial decisionmaker.
(4) The impartial decisionmaker shall be selected by the American Arbitration Association or the California State Mediation Service. The selection between these entities shall be made by the exclusive representative.
(5) Any party may make a request for a consolidated hearing of multiple agency fee challenges based on case similarities, including but not  limited to, hearing location. At any time prior to the start of the hearing, any party may make a motion to the impartial decisionmaker challenging any consolidation of the hearing.
(6) The exclusive representative bears the burden of establishing the reasonableness of the amount of the chargeable expenditures.
(7) Agency fee challenge hearings shall be fair, informal proceedings conducted in conformance with basic precepts of due process.
(8) All decisions of the impartial decisionmaker shall be in writing, and shall be rendered no later than 30 days after the close of the hearing.
(9) All hearing costs shall be borne by the exclusive representative, unless the exclusive representative and the agency fee challenger agree otherwise.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 3583.5, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of subsection (b)(4) and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of subsection (b)(4) and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of subsection (b)(4) and amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of section heading, section and Note filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32995. Escrow of Agency Fees.
Note     •     History

(a) If agency fee objectors are identified before fee collection begins for the agency fee year, there shall be an advance reduction in fees and/or advance rebate for those agency fee objectors.
(b) If agency fees are collected before agency fee objectors are identified, the exclusive representative shall place in escrow, in an independently controlled escrow account, in an independent financial institution, all agency fees collected until the exclusive representative provides appropriate rebates and/or fee reductions for agency fee objectors.
(c) If not otherwise escrowed, the exclusive representative shall place in escrow, in an independently controlled escrow account, in an independent financial institution, all agency fee amounts reasonably in dispute until all agency fee challengers are identified and, thereafter, continue to escrow the amounts in dispute for all agency fee challengers until the challenges are resolved by the impartial decision maker or mutual agreement between the agency fee challenger and the exclusive representative has been reached on the proper amount of the agency fee, whichever comes first.
(d) Interest at the prevailing rate shall be paid by the exclusive representative on all rebated fees.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 3583.5, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292; and Grunwald v. San Bernardino Unified School District (9th Cir. 1990) 994 F.2d 1370, cert. denied, 510 U.S. 964 (1993).
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of section heading, section and Note filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32996. Filing of Notice and Agency Fee Appeal Procedures.
Note     •     History

The Board may require an exclusive representative with an agency fee provision to file a copy of its annual notice, Objection Procedure and/or Challenge Procedure with the Board.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3540.1(i), 3543, 3546, 3583.5, 71632.5 and 71814, Government Code; Section 99566.1, Public Utilities Code; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Change without regulatory effect of section heading filed 3-20-89; operative 4-1-89 (Register 89, No. 12).
3. Amendment of section and Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
5. Amendment of section and Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
7. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
8. Amendment of section and Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
10. Amendment of section and Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
12. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
15. Amendment of section heading and section filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
§32997. Compliance.
Note     •     History

It shall be an unfair practice for an exclusive representative to collect agency fees in violation of these regulations.
NOTE

Authority cited: Sections 3509(a), 3513(h), 3541.3(g) and (i), 3563(f), 71639.1(b) and 71825(b), Government Code; and Section 99561(f), (h), (m), Public Utilities Code. Reference: Sections 3502.5, 3515.7, 3519.5, 3540.1(i), 3542(d), 3543, 3543.6, 3546, 3546.5, 3563.2, 3564(d), 3571.1, 3583.5, 71632.5 and 71814, Government Code; Sections 99563.8, 99566.1 and 99566.3, Public Utilities Code; Harik v. California Teachers Association (9th Cir. 2003) 326 F.3d 1042; Grunwald v. San Bernardino Unified School District (9th Cir. 1990) 994 F.2d 1370, cert. denied, 510 U.S. 964 (1993); Cummings v. Connell (9th Cir. 2003) 316 F.3d 886; and Chicago Teachers Union, Local No. 1 v. Hudson (1986) 475 U.S. 292.
HISTORY

1. New section filed 3-2-89; operative 4-1-89 (Register 89, No. 12).
2. Amendment of Note filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-3-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 18). 
4. Amendment of Note filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
6. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
7. Amendment of Note filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
9. Amendment of Note filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
11. Amendment of Note filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of Note refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
14. Amendment of Note filed 7-23-2007; operative 8-22-2007 (Register 2007, No. 30).
Chapter 2. Educational Employment Relations Act
Subchapter 1. Representation Proceedings
Article 1. General Provisions
§33000. Voluntary Resolution of Disputes.  [Repealed]
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3540, et seq., Government Code.
HISTORY

1. New Chapter 3 (Sections 33000-33660, not consecutive) filed 7-30-76 as an emergency; effective upon filing. Certificate of Compliance included. (Register 76, No. 31). For former history, see Register 76, No. 13.
2. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 8, No. 25).
3. Repealer of Chapter 1 (Sections 32800-32830, not consecutive) and renumbering and amendment of Chapter 3 (Articles 1-9, Sections 33000-33710, not consecutive) to Chapter 1 (Articles 1-7, Sections 33000-33710, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 80, No. 25; 80, No. 21; 80, No. 1; 78, No. 42; 78, No. 27; 78, No. 11; 78, No. 3; and 76, No. 31.
4. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§33015. Parties.
Note     •     History

“Parties” means the public school employer, the employee organization which is the exclusive representative of any employee covered by a request, intervention or petition, any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending request or intervention, or any group of employees which has filed a pending petition pursuant to Section 34020 of these regulations or Government Code Section 3544.3.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3540, et seq. , Government Code.
HISTORY

1. New section filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Amendment filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§33020. Window Period.
Note     •     History

“Window period” means the 29-day period established pursuant to Government Code Sections 3544.1(c) and 3544.7(b)(1) which is less than 120 days, but more than 90 days, prior to the expiration date of a lawful written agreement negotiated by the public school employer and the exclusive representative. The written agreement expiration date means the last effective date of the agreement. Notwithstanding the provisions of Section 32130, the date on which the written agreement expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3544.1(c) and 3544.7(b)(1), Government Code.
HISTORY

1. Repealer filed 3-15-78 as an emergency; designated effective 3-20-78 (Register 78, No. 11).
2. Certificate of Compliance transmitted to OAH 7-17-78; filed 7-19-78 (Register 78, No. 27).
3. New section filed 9-21-79; effective thirtieth day thereafter (Register 79, No. 38).
4. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
5. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
6. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
Article 2. Request for Recognition and Intervention
§33050. Request for Recognition.
Note     •     History

(a) A request for recognition by an employee organization seeking to become the exclusive representative of an appropriate unit shall be filed with the employer. A copy of the request shall be filed concurrently with the regional office. The request shall be signed by an authorized agent of the employee organization and shall be on a form provided by the Board.
(b) A copy of the request and proof of majority support in the unit claimed to be appropriate shall be filed with the regional office concurrently with the filing of the request upon the employer. Proof of support is defined in Chapter 1, Section 32700 of these Regulations.
(c) Concurrent with the filing of the request, the employee organization shall concurrently serve a copy of the request, excluding the proof of majority support, on the parties and the regional office. Proof of service pursuant to Section 32140 is required.
(d) A request to become the exclusive representative of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative shall be filed pursuant to this Article and in accordance with the provisions of Article 6 (commencing with Section 33700). A petition to become the exclusive representative of all of the employees in an established unit represented by an exclusive representative shall be filed pursuant to Chapter 1, Subchapter 6, Article 4 (commencing with Section 32770) of these regulations.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544, Government Code.
HISTORY

1. Amendment filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Amendment of subsection (b) and new subsection (d) filed 9-21-79; effective thirtieth day thereafter (Register 79, No. 38).
4. Amendment of subsection (b) filed 12-31-79 as an emergency; effective upon filing (Register80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
5. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
6. Amendment of subsection (b) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
7. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
8. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
9. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
10. Change without regulatory effect amending subsections (b) and (d) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
11. Editorial correction of Note (Register 96, No. 52).
12. Amendment of subsection (d) filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33060. Posting Notice of Request for Recognition.
Note     •     History

(a) The employer shall post a notice of the request for recognition as soon as possible but in no event later than 10 days following receipt of the request.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed.
(c) The notice shall remain posted for 15 workdays.
(d) The notice shall consist of a copy of the request for recognition with the appropriate portion of the form completed by the employer prior to posting.
(e) The employer shall serve a copy of the notice on the regional office and on the parties concurrent with the posting of the notice. 
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544, Government Code.
HISTORY

1. Amendment filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending subsection (d) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
6. Editorial correction of Note (Register 96, No. 52).
§33070. Intervention.
Note     •     History

(a) Except as provided in Section 33700, an intervention by an employee organization shall be filed with the employer within 15 workdays following posting of the request for recognition. A copy of the intervention shall be filed concurrently with the regional office. The intervention shall be signed by an authorized agent of the employee organization and be on a form provided by the Board.
(b) Proof of at least 30 percent support in the unit claimed to be appropriate shall be filed with the regional office concurrently with the filing of the intervention. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Concurrent with the filing of the intervention, the employee organization shall serve a copy of the intervention, excluding the proof of support, on the parties and the regional office. Proof of service pursuant to Section 32140 is required.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3544.1(b), Government Code.
HISTORY

1. Amendment filed 1-1-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Amendment of subsection (b) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
4. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
5. Amendment of subsection (b) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
6. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
7. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
8. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
9. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§33075. Determination of Showing of Support.
Note     •     History

(a) Within 20 calendar days of the date of receipt of the request, unless otherwise directed by the Regional Director, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of employees employed in the claimed unit on the date the request for recognition was filed with the employer.
(b) If, after initial determination, the showing is insufficient the Regional Director may allow up to 10 calendar days to perfect the showing of support.
(c) Upon completion of the review of the showing of support, the regional director shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the showing of support.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544, Government Code.
HISTORY

1. New section filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Editorial correction filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33080. Posting of Notice of Intervention.
Note     •     History

(a) The employer shall post a notice of the intervention as soon as possible but in no event later than 10 days following receipt of the intervention.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed.
(c) The notice shall remain posted for 15 workdays.
(d) The notice shall consist of a copy of the intervention with the appropriate portion of the form completed by the employer prior to posting.
(e) The employer shall serve a copy of the notice of intervention on the regional office and on the parties concurrent with the posting of the notice.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3544.1(b), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Register 78, No. 3 and 78, No. 20.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33085. Board Determination Regarding Proof of Support--Request for Recognition, Intervention.
Note     •     History

(a) Within 20 days of the date of receipt of the request or intervention, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the request or intervention was filed with the employer, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.1(b), Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33090. Withdrawal of Request or Intervention.
Note     •     History

Any request for recognition or intervention may be withdrawn by an authorized representative of the employee organization that filed it. Such withdrawal shall be filed with the employer and a copy served on the parties and the regional office. Proof of service pursuant to Section 32140 is required. A copy of the withdrawal shall be posted for 15 workdays on all employee bulletin boards in each facility of the employer in which members of the unit claimed to have been appropriate are employed.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544, and 3544.1(b), Government Code. 
HISTORY

1. Amendment filed 1-19-78 as an emergency; effective upon filing (Register 78, No. 3).
2. Certificate of Compliance filed 5-18-78 (Register 78, No. 20).
3. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33100. Amendment of Request or Intervention; Posting Amendments.
Note     •     History

(a) A request for recognition or intervention may be amended to correct technical errors or to delete job classifications or positions from the proposed unit at any time prior to the issuance of a PERB notice of representation hearing or, where no hearing has been held, issuance of a Directed Election Order or approval of a Consent Election Agreement. The amendment shall be filed with the employer and copies concurrently served on the parties and the regional office. Proof of service pursuant to Section 32140 is required. No posting shall be required.
(b) A request for recognition or intervention may be amended to add job classifications or positions to a proposed unit, subject to the following:
(1) Except as provided in Section 33700(c), an amendment to add job classifications or positions to a proposed unit may be filed at any time prior to the issuance of a PERB notice of representation hearing, or, where no hearing has been held, issuance of a Directed Election Order or approval of a Consent Election Agreement.
(2) The amendment shall be filed with the employer. The employee organization shall concurrently serve a copy of the amendment on the parties and the regional office. Proof of service pursuant to Section 32140 is required. Additional proof of support, if needed to maintain standing as a requester or intervenor, shall be concurrently filed with the regional office.
(3) The employer shall post a notice of the amended request or intervention as soon as possible but in no event later than 10 days following receipt of the amendment. The notice shall conform to the requirements for posting an original request for recognition or intervention and shall remain posted for 15 workdays, during which time interventions may be filed on an amended request for recognition.
(4) An employer response to the amended request or intervention shall be filed with the regional office within 15 days following the service of the Board's determination of adequacy of proof of support, unless otherwise directed by the Board. The response shall conform to the requirements for employer decisions as set forth in Section 33190.
(c) Amendments to correct technical errors, add or delete job classifications or positions from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the Board agent assigned to the hearing. The Board agent may grant the requested amendment, if it will not unduly impede the hearing, and if sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the Board agent.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.1(b), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Registers 78, No. 3 and 78, No. 20.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 3. Petition for Representation Election
§33110. Petition for Representation Election.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer of article 3 (sections 33110-33180) and repealer of section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33120. Posting Notice of Petition for Representation Election.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33130. Intervening Organization.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544.1(b) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending subsection (c) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33150. Posting Notice of Intervention.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544.1(b) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33160. Board Determination Regarding Proof of Support--Intervention.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544.1(b) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33170. Withdrawal of Petition or Intervention.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544.1(b) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33180. Amendment of Petition or Intervention; Posting Amendment.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544.1(b) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 4. Employer Decision; Request for Board Investigation
§33190. Employer Decision Regarding Request for Recognition and Intervention.
Note     •     History

(a) Unless otherwise directed by the Board, within 15 days following service of the Board's determination regarding the adequacy of proof of support, the employer shall file a decision with the regional office.
(b) Service and proof of service of the employer decision pursuant to section 32140 are required.
(c) The employer shall use “Format A” if it has granted recognition pursuant to Government Code sections 3544 and 3544.1. As soon as possible, but in no event later than 10 days from its issuance, the employer shall post a copy of the employer decision conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit affected are employed. The decision shall remain posted for at least 15 workdays. 

Format A: RECOGNITION
(1) The (name) School District has recognized (organization) as the exclusive representative for an appropriate unit of employees described below for purposes of meeting and negotiating with the district;
(2) No intervention has been filed during the posting period;
(3) The name, address, county and telephone number of the employer;
(4) The name, address and telephone number of the employee organization;
(5) A description of the grouping of jobs or positions which constitute the appropriate unit;
(6) The number of employees in the unit recognized;
(7) The date of recognition.
(d) The employer shall use “Format B” if it has not granted recognition.

Format B: DENIAL OF RECOGNITION
(1) The name, address, county and telephone number of the employer; and the name, address and telephone number of the employer agent to be contacted;
(2) Attach a copy of the request for recognition;
(3) Reasons for Denial of Recognition:
(A) Does the employer doubt the appropriateness of the proposed unit? If so, what classifications or positions remain in dispute? State the employer's position regarding the dispute.
(B) Was the request timely and appropriately filed? If not, fully explain any deficiencies.
(C) Is the employer unable to grant recognition because some or all of the employees in question are part of a negotiating unit that is already represented by an exclusive representative?
(D) Were any interventions filed within the 15 workday posting period? Attach a copy of each intervention. For each intervention, state the following:
1. Does the employer doubt the appropriateness of the unit proposed by the intervenor? If so, what classifications or positions remain in dispute? State the employer's position regarding the dispute.
2. Was the intervention timely and appropriately filed? If not, fully explain any deficiencies.
(4) If a unit dispute exists, does the employer request the Board to resolve the dispute pursuant to Government Code section 3544.5(a)?
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.1(b), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Registers 78, No. 3; and 78, No. 20.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment of subsection (d)(3) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
5. Amendment of subsection (d)(3)(C) and subsection renumbering filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
6. Change without regulatory effect amending subsections (c), (c)(2) and (d) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
7. Amendment filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
8. Amendment of subsections (c), (c)(1), (d) and (d)(4) and repealer of subsection (d)(5) filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33200. Employer Decision Re Employee Petition for Representation Election and Intervention.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l) and 3544.3, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Registers 78, No. 3; and 78, No. 20.
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Change without regulatory effect amending subsection (c) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
5. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33220. Employer Petition for Board Investigation.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(a), (l) and 3544.5(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Repealer filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33230. Employee Organization Petition for Board Investigation.
Note     •     History

(a) Not later than 90 days following the date an employer decision is filed or required to be filed with the regional office, whichever occurs first, an employee organization may file a petition pursuant to Government Code Section 3544.5(b) or (c) requesting the Board to investigate and decide whether employees have selected or wish to select an exclusive representative or to determine the appropriateness of a unit. The petition shall allege one of the following grounds:
(1) The employer has filed a decision not to recognize the employee organization, but did not request a Board investigation; or 
(2) The employer has failed to file an employer decision in response to a request for recognition or an intervention pursuant to Section 33190; or
(3) The employer has wrongfully denied a request for recognition or intervention.
(b) The petition shall be filed with the regional office. Service and proof of service of the petition pursuant to Section 32140 are required.
(c) The petition shall contain the following information:
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the employee organization agent to be contacted;
(2) The name, address, county and telephone number of the employer;
(3) A copy of the request for recognition or intervention filed with the employer;
(4) A statement of the issues in dispute.
(5) A statement indicating what specific action(s) is requested of the Board.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(a), (l) and 3544.5(b), (c), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (a)(2) filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33235. Failure to File Petition for Board Investigation.
Note     •     History

If no petition for Board investigation is timely filed pursuant to section 33190 or 33230, the request for recognition shall be deemed invalid and shall not bar a subsequent request for recognition.
NOTE

Authority cited: Sections 3513(h), 3541.3(g) and 3563(f), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.3, Government Code.
HISTORY

1. New section filed 11-9-78; effective thirtieth day thereafter (Register 78, No. 45).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment of section  and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Amendment filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33237. Board Investigation.
Note     •     History

(a) Whenever a petition regarding a representation matter is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election or take such other action as deemed necessary to decide the questions raised by the petition.
(b) A petition shall be dismissed in part or in whole whenever the Board determines that:
(1) The petitioner has no standing to petition for the action requested; or
(2) The conditions of Government Code Section 3544.1(c) or (d) or 3544.7(b) exist. A petition filed less than 120 days, but more than 90 days, prior to the expiration date of a lawful written agreement negotiated by the public school employer and another employee organization must actually be received in the manner set out in Section 32135 during the “window period” as defined by Section 33020; or
(3) A valid election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3544.7, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 5. Representation Hearings
§33280. Withdrawal of a Petition.
Note     •     History

Any petition requesting action to resolve a representation dispute may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board pursuant to a voluntary agreement among the parties.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Repealer of Article 5 (Sections 33240-33250, not consecutive) and renumbering of Article 7 (Sections 33280-33450, not consecutive) to Article 5 (Sections 33280-33450, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 80, No. 25; 78, No 42; and 78, No. 27.
§33290. Informal Conference.
Note     •     History

(a) A Board agent may conduct an informal conference to clarify the issues and explore settlement of the case. No record shall be made at such a conference.
(b) A Board agent shall give reasonable notice of such conference to each party directed to attend.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
§33300. Notice of Hearing.
Note     •     History

If the Board determines that a hearing is necessary, the Board shall serve a notice of hearing on each party. The notice shall state the date, time and place of the hearing.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33310. Posting Notice of Hearing.
Note     •     History

As soon as possible but in no event later than 10 days following issuance of the notice of hearing, the employer shall post a copy of the notice conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit described in the notice are employed. The notice shall remain posted through the date set for the hearing.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2 (Register 82, No. 39).
§33330. Conduct of Hearing.
Note     •     History

Hearings shall be conducted pursuant to procedures set forth in Chapter 1, Subchapter 3 (commencing with Section 32165 ) of these regulations.
NOTE

Authority cited: Sections 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Repealer and new section filed 7-6-78 as an emergency; effective upon filing (Register 78, No. 27).
2. Certificate of Compliance filed 10-19-78 (Register 78, No. 42). 
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§33430. Withdrawal of a Petition.
Note     •     History

Any petition requesting action to resolve a representation dispute may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board pursuant to a voluntary agreement among the parties. Service and proof of service of the withdrawal pursuant to Section 32140 are required. The employer shall post a copy of the withdrawal on all employee bulletin boards in each facility of the employer in which members of the unit described are employed.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(l), 3544 and 3544.7(a), Government Code.
HISTORY

1. New section filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For history of former section, see Registers 78, No. 27 and 78, No. 11.
§33440. Notice of Decision.
Note     •     History

When the Board itself issues a decision or when a hearing officer decision becomes final, the Board shall serve the decision and a notice of decision on the parties.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l), 3544 and 3544.7(a), Government Code.
HISTORY

1. Amendment of subsection (e) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment of subsection (e) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§33450. Posting Notice of Decision.
Note     •     History

As soon as possible but in no event later than 10 days following issuance of the notice of decision, the employer shall post a copy of the notice of decision conspicuously on all employee boards in each facility of the employer in which members of the unit described in the decision are employed. The notice of decision shall remain posted for a minimum of 15 workdays.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(h), (l ), 3544 and 3544.7(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 6. Representation Elections
§33460. Elections in Consent Units.
Note     •     History

At any time prior to a final decision of the Board regarding an appropriate unit, the parties may mutually agree upon an appropriate unit and request the Board to conduct a consent election. The conduct of any election in a consent unit should not be interpreted to mean that the Board would find the unit in question to be an appropriate unit in a disputed case.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(a), (c), (l), 3544.1 and 3544.3, Government Code.
HISTORY

1. Amendment filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Repealer of Article 6 (Sections 33260-33265, not consecutive) and renumbering and amendment of Article 8 (Sections 33460-33490, not consecutive) to Article 6 (Sections 33460-33490, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 79, No. 38; 79, No. 24; and 79, No. 3.
§33470. Eligibility to Appear on Ballot.
Note     •     History

(a) Any employee organization which filed a valid request for recognition or intervention or which became a party to a representation case may appear on the election ballot, provided that the organization has evidenced to the satisfaction of the Board at least 30 percent support in the appropriate unit. If an election is directed by a PERB decision, each eligible employee organization shall have 15 workdays from the date of service of the decision in which to demonstrate at least 30 percent support in the unit found to be appropriate by the Board.
(b) The Board shall determine the sufficiency of the proof of support in accordance with the provisions of Section 33085 of these regulations.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(c), (l), 3544.1, 3544.3 and 3544.7, Government Code.
HISTORY

1. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
2. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Registers 80, No. 1; 80, No. 21.
3. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
4. Amendment of subsection (a) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
§33480. Recognition.
Note     •     History

If only one employee organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the Board shall  cancel the election, and certify the organization as the exclusive representative unless the employer has granted recognition.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(c), (l), 3544, 3544.1, 3544.3 and 3544.7, Government Code.
HISTORY

1. Amendment filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
6. Amendment of section heading and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
8. Amendment filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§33485. Certification of Exclusive Representative.
Note     •     History

If the Board determines (1) the employee organization requesting recognition has demonstrated proof of support of more than 50 percent of the employees in an appropriate unit, (2) no other employee organization has demonstrated proof of support of at least 30 percent of the employees, and (3) the employer has not granted recognition, the Board shall certify the petitioner as the exclusive representative.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(c), 3541.3(l), 3544, 3544.1, 3544.3 and 3544.7, Government Code.
HISTORY

1. New section filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§33490. Conduct of Elections.
Note     •     History

All elections shall be conducted by the Board in accordance with election procedures described in Chapter 1, Subchapter 6, Article 2 of these Regulations.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(c), (l ), 3544.1, 3544.3 and 3544.7, Government Code.
HISTORY

1. Amendment filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
6. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
Article 7. Severance Request
§33700. Severance Request.
Note     •     History

(a) An employee organization may file a request to become the exclusive representative of an appropriate unit consisting of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a request for recognition in accordance with the provisions of Article 2 (commencing with Section 33050). All provisions of Articles 2 and 3 of this Subchapter shall be applicable to a severance request except as provided in this Article 6.
(b) Whenever the conditions of Government Code Section 3544.1(c) exist, a severance request for recognition or intervention must be filed in accordance with Section 32135 with the employer during the “window period” as defined by Section 33020.
(c) Any amendment to a request for recognition or intervention to add classifications or positions which are included in an established unit must be filed in the manner set out in Section 32135 during the “window period” defined by Section 33020.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(a), (l ), 3544 and 3544.1(b), Government Code.
HISTORY

1. New Article 9 (Sections 33700 and 33710) filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Renumbering and amendment of Article 7 (Sections 33280-33450, not consecutive) to Article 5 and renumbering and amendment of Article 9 (Sections 33700 and 33710) to Article 7 (Sections 33700 and 33710) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending subsection (a) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
4. Amendment of first paragraph filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§33710. Response to Severance Request.
Note     •     History

(a) The employer and the exclusive representative of the established unit may file a responding statement supporting or opposing the severance request. Such response shall be filed with the regional office within 20 days following the date of service of the severance request. Service and proof of service of the response pursuant to section 32140 are required.
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information:
(1) A copy of the severance request;
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted;
(3) A statement confirming or refuting the information contained in the severance request regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current agreement covering employees in the established unit:
(4) A concise statement setting forth support of or opposition to the unit proposed by the request.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3541.3(a), 3544 and 3544.1(b), Government Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
2. Amendment of subsection (a) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
3. Repealer of subsection (c) filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
Subchapter 2. Organizational Security Arrangements
§34000. Employer Request.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25). For prior history, see Registers 76, No. 13 and 76, No. 31.
2. Repealer of chapter 2 (section 32900) and renumbering and amendment of chapter 4 (articles 1-2, sections 34000-34040, not consecutive) to chapter 2 (articles 1-2, sections 34000-34040, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 78, No. 42; 78, No. 27; and 78, No. 11.
3. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
4. Amendment of subsection  (a) and Note and new subsection (c) filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
5. Repealer of former article 1 (sections 34000-34010), repealer of section and amendment of Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34010. Employee Vote.
Note     •     History

NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546(a), Government Code.
HISTORY

1. Amendment of subsection (b) filed 7-10-78 as an emergency; effective upon filing (Register 78, No. 28).
2. Reinstatement of subsection (b) as it existed prior to emergency amendment filed 7-10-78, by operation of Section 11422.1(b), Government Code (Register 79, No. 33).
3. Amendment filed 1-15-80 as an emergency; effective upon filing (Register 80, No. 3). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 5-15-80.
4. Certificate of Compliance transmitted to OAH 5-15-80 and filed 5-21-80 (Register 80, No. 21).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Repealer filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
Article 1. Rescission of Organizational Security Arrangement
§34020. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an existing organizational security arrangement pursuant to Government Code Section 3546(d).
(b) The petition shall be filed utilizing forms provided by the Board and shall be signed by an authorized representative of the group of employees.
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing organizational security arrangement shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g), and must have been obtained within one academic year as defined in Section 32001(d).
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546(d), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (c) filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
4. Renumbering of former article 2 to new article 1 (sections 34020-34040), amendment of subsections (a) and (c) and amendment of Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-3-2001 order, including further amendment of subsection (c), transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34030. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an organizational security arrangement, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546(d), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. New subsection (b), subsection relettering and amendment of Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34035. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article 2, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 34030, a rescission election among the employees in the established unit shall be conducted under procedures established by the Board, and in accordance with election procedures described in these regulations.
(b) The organizational security provision shall be rescinded if a majority of the employees in the negotiating unit covered by the provision vote to rescind the provision.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546(b), Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§34040. Bar to Rescission.
Note     •     History

The Board shall dismiss any petition to rescind the existing organizational security arrangement if the results of a prior election concerning an organizational security arrangement in the same unit were certified by the Board during the term of the written agreement in effect at the time the petition was filed.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Section 3546(d), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 39).
3. Amendment of  section  and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
4. Amendment of section and Note filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
Article 2. Reinstatement of Organizational Security Arrangement
§34050. Petition.
Note     •     History

(a) The recognized employee organization of an established unit may file with the regional office a petition to reinstate an organizational security provision that was rescinded by employee vote pursuant to Article 1 of this subchapter.
(b) The petition shall be filed utilizing the form titled EERA Fair Share Fee Reinstatement Petition (PERB-2320 (1/01)) and shall be signed by an authorized representative of the employee organization.
(c) Proof that at least 30 percent of the employees in the unit desire to reinstate the organizational security provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g).
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3543(a)(1) and 3546(d), Government Code.
HISTORY

1. New article 2 (sections 34050-34065) and section filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34055. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to reinstate an organizational security provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3543(a)(1) and 3546(d), Government Code.
HISTORY

1. New section filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34060. Employee Vote.
Note     •     History

(a) Provided the reinstatement petition is timely and properly filed pursuant to this Article 2, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 34055, an election among the employees in the established unit shall be conducted.
(b) The election shall be conducted in accordance with election procedures described in these regulations.
(c) The organizational security provision shall be reinstated if a majority of all the employees in the negotiating unit covered by the provision vote to reinstate the provision.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3543(a)(1) and 3546(d), Government Code.
HISTORY

1. New section filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
§34065. Bar to Reinstatement Petition.
Note     •     History

The Board shall dismiss any petition to reinstate an organizational security provision if the results of an election concerning the organizational security provision in the same unit were certified by the Board within the 12 months immediately preceding the filing of the petition.
NOTE

Authority cited: Section 3541.3(g), Government Code. Reference: Sections 3543(a)(1) and 3546(d), Government Code.
HISTORY

1. New section filed 1-3-2001 as an emergency; operative 1-1-2001 (Register 2001, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-3-2001 order transmitted to OAL 4-30-2001 and filed 6-13-2001 (Register 2001, No. 24).
Subchapter 6. Impasse Procedures
NOTE

Authority cited: Sections 3513(g); 3541.3(g) (n); 3563(f) (m), Government Code. Reference: Sections 3541.3(g), 3548, Government Code.
HISTORY

1. New Chapter 6 (Sections 36000-36100, not consecutive) filed 5-10-77 as an emergency; effective upon filing (Register 77, No. 20).
2. New Chapter 6 (Sections 36000-36100, not consecutive) refiled 9-19-77 as an emergency; effective upon filing. Certificate of Compliance included (Register 77, No. 39).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer of Chapter 6 (Sections 36000-36095, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 79, No. 39). 
Subchapter 7. Public Notice Proceedings
NOTE

Authority cited: Sections 3513(g); 3541.3(g)(n); 3563(f)(m), Government Code. Reference: Section 3547, Government Code.
HISTORY

1. New Chapter 7 (Sections 37000-37100) filed 7-1-77 as an emergency; effective upon filing (Register 77, No. 27).
2. Certificate of Compliance filed 9-19-77 (Register 77, No. 39).
3. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Repealer of Chapter 7 (Sections 37000-37100, not consecutive) filed 10-22-82 by OAL pursuant to Government Code Section 11349.7(j); effective thirtieth day thereafter (Register 82, No. 43). For prior history, see Registers 78, Nos. 45, 42 and 27. 
Subchapter 8. Arbitration Procedures
NOTE

Authority cited: Section 3541.3(d), (g), (k), Government Code. Reference: Sections 3548.5 and 3548.6, Government Code.
HISTORY

1. New Chapter 8 (Sections 38000-38050, not consecutive) filed 12-29-78; effective thirtieth day thereafter (Register 78, No. 52).
2. Repealer of Chapter 8 (Sections 38000-38050, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 80, No. 25. 
Subchapter 9. Request for Injunctive Relief in Cases of Work Stoppages or Lockouts
NOTE

Authority cited: Sections 3513(g); 3541.3(g)(n); 3563(f)(m), Government Code. Reference: Sections 3541.3(b), (g), (i), (j), (n), 3543.5(e), 3543.6(d), Government Code.
HISTORY

1. New Chapter 9 (Sections 38100-38120, not consecutive) filed 5-21-79 as an emergency; effective upon filing (Register 79, No. 21). Certificate of Compliance filed 8-28-79 (Register 79, No. 35).
2. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
3. Repealer of Chapter 9 (Sections 38100-38120, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Chapter 3. State Employer-Employee Relations Act
Subchapter 1. Representation Procedures
Article 1. General Provisions
§40130. Window Period.
Note     •     History

“Window period” means the 29-day period which is less than 242 days, but more than 212 days prior to the expiration date of a memorandum of understanding between the employer and the exclusive representative. The memorandum of understanding expiration date means the last effective date of the memorandum of understanding. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Repealer of Division 3 (Chapters 1-3, Sections 40000-41280, not consecutive) and new Division 3 (Chapter 1, Articles 1-3, Sections 40130-40330, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Registers 80, No. 25; 80, No. 21; 80, No. 1; 78, No. 42; and 78, No. 27).
2. Amendment filed 12-13-88; operative 1-1-89 (Register 88, No. 53).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
4. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§40145. Statement of Interest.
Note     •     History

Any employee organization which is not the exclusive representative of certain employees but which desires notice of filing of any certification, severance, decertification or unit modification petition or issuance of notice of hearing, decision or intent to conduct election affecting such employees may file a statement of interest with the regional office. Such statement shall be in writing and shall include a list of the employment classes which the employee organization has an interest in representing, including schematic codes and class codes as defined in “Pay Scales in California State Civil Service.” The filing shall remain valid for 12 months and may be renewed in writing thereafter.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c), (l), Government Code.
HISTORY

1. Amendment filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40160. Parties.
Note     •     History

“Parties” means the state employer, the employee organization which is the exclusive representative of any employee covered by a petition or intervention, any employee organization known to have an interest in representing any employees as demonstrated by having filed a current statement of interest pursuant to Section 40145 and any petitioner which has filed a valid petition pursuant to Section 40170 or 40400.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Section 3512, et seq. , Government Code.
HISTORY

1. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
3. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40165. List of State Employee Mailing Addresses.
Note     •     History

(a) Except as prohibited by law, the state employer shall release to an exclusive representative a mailing list of home addresses of state employees it represents pursuant to a written request by the exclusive representative. The mechanics of such release, including but not limited to (1) timing, frequency, and manner of disclosure, (2) maintenance of names or the mailing list, and (3) cost of production shall be subject to the collective bargaining process.
(b) Except as prohibited by law, the state employer shall not be precluded from releasing a mailing list of home addresses of state employees as defined in Government Code Section 3513(c) or Section 3513(g) who are not in units represented by an exclusive representative to an employee organization as defined in Government Code Section 3513(a). The mechanics of such release, including but not limited to (1) timing, frequency, and manner of disclosure, (2) maintenance of names or the mailing list, and (3) cost of production shall be determined by the state employer.
(c) As provided by Government Code Section 6254.3, and upon written request of a state employee, the state employer shall remove the state employee's home address from the mailing lists referenced in subsections (a) and (b) prior to the release of such lists.
NOTE

Authority cited: Sections 3513, 3541.3 and 6254.3, Government Code. Reference: Sections 3515, 3519 and 3519.5., Government Code.
HISTORY

1. New section filed 10-29-86; effective thirtieth day thereafter (Register 86, No. 44).
2. Amendment of subsections (b) and (c) filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
§40170. Petition for Certification.
History

(a) An employee organization may file a petition pursuant to Government Code Section 3520.5 to become the exclusive representative of an appropriate unit consisting of a group of employees who are not included in an established unit which is represented by an exclusive representative. The petition shall be filed with the Sacramento regional office; be signed by an authorized agent of the employee organization; provide the full name, address and telephone number of the employee organization; provide the name, title, address and phone number of the authorized representative of the employee organization; and identify the job titles or classifications of employees in the unit claimed to be appropriate.
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Section 32700 of these regulations.
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§40172. Posting Notice of Petition for Certification.
History

(a) The employer shall post a notice of the petition, using a form provided by the Board, as soon as possible but in no event later than 15 days following service of a copy of the petition.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed.
(c) The notice shall remain posted for 20 days.
(d) The notice shall include a copy of the petition with the appropriate portion of the form completed by the employer prior to posting.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§40174. Determination of Proof of Support.
History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the final determination as to sufficiency or lack thereof regarding the proof of support. The petition shall be dismissed if the Board determines that the petition lacks sufficient proof of support.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§40176. Withdrawal of Petition for Certification.
History

Any petition for certification may be withdrawn by an authorized representative of the employee organization that filed it at any time prior to a final decision by the Board. Such withdrawal shall be filed with the regional office. Service and proof of service of the withdrawal pursuant to Section 32140 are required.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§40178. Amendment of Petition for Certification.
History

(a) A petition for certification may be amended to correct technical errors or to add or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing, or notice of intent to conduct election. The amendment shall be filed with the regional office and provide the information required in Section 40170(a). Service and proof of service of the amendment pursuant to Section 32140 are required.
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following:
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment.
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses as set forth in Section 40180.
(c) Amendments to correct technical errors or to add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
2. Amendment of subsection (b)(2) filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§40180. Employer Response Regarding Petition for Certification.
History

(a) Within 15 days following service of a Board determination finding sufficient proof submitted in support of the petition, the employer shall file a written response with the regional office.
(b) Service and proof of service of the response pursuant to Section 32140 are required.
(c) The employer shall use the following format for its response regarding a petition for certification:
(1) Name, address and telephone number of the employer and name, address and telephone number of the employer's agent to be contacted;
(2) Attach a copy of the petition for certification;
(3) Employer position regarding the petition for certification:
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§40182. Board Investigation.
History

(a) Whenever a petition for certification is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition.
(b) A petition shall be dismissed in part or in whole whenever the Board determines that:
(1) The petitioner has no standing to petition for the action requested; or
(2) Any of the employees in the claimed unit are currently included in any established bargaining unit and are represented by an exclusive representative; or
(3) A valid election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition; or
(4) The petition for certification was filed either after a notice of hearing or, where no hearing has been held, notice of intent to conduct election covering any of the employees in the unit proposed by the petitioner has been issued by the Board.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
Article 2. Severance Petition
§40200. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative. The petition shall be filed with the regional office on forms provided by the Board.
(b) The petition shall be accompanied by proof of majority support in the unit claimed to be appropriate. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Service of the petition, excluding the proof of majority support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40210. Posting Notice of Severance Petition.
Note     •     History

(a) The employer shall post a notice of the severance petition as soon as possible but in no event later than 15 days following service of a copy of the petition.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed.
(c) The notice shall remain posted for 20 days.
(d) The notice shall consist of a copy of the severance petition with the appropriate portion of the form completed by the employer prior to posting.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40220. Board Determination Regarding Proof of Support--Severance Petition.
Note     •     History

(a) Within 20 days of the date of service of the petition, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed with the regional office, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient, the Board may allow up to 10 days or until the last day of the “window period” as defined by Section 40130, whichever occurs first, to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40230. Response to Severance Petition.
Note     •     History

(a) The employer or the exclusive representative of the established unit may file a responding statement supporting or opposing the severance petition. Unless otherwise notified by the Board, such response shall be filed with the regional office within 20 days following the date of service of the petition. Service and proof of service of the response pursuant to section 32140 are required.
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information:
(1) A copy of the severance petition;
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted;
(3) A statement confirming or refuting the information contained in the severance petition regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current agreement covering employees in the established unit;
(4) A concise statement setting forth support of or opposition to the unit proposed by the petition.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c) and 3541.3(l), Government Code.
HISTORY

1. Amendment of subsection (a) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Repealer of subsection (c) and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
§40240. Amendment of Severance Petition; Posting Amendments.
Note     •     History

(a) A severance petition may be amended to correct technical errors or to delete job classifications or positions from the proposed unit at any time prior to the issuance of a PERB notice of representation hearing or, where no hearing has been held, issuance of a Directed Election Order or approval of a Consent Election Agreement. The amendment shall be filed with the regional office on forms provided by the Board. Service and proof of service pursuant to Section 32140 are required.
(b) A severance petition may be amended to add job classifications or positions to the proposed unit, subject to the following:
(1) An amendment to add job classifications or positions to a proposed unit may be filed within the time frames listed in subsection (a) above, except that if there exists a memorandum of understanding between the employer and the exclusive representative covering any of the employees to be added to the proposed unit, the amendment must be filed in the manner set out in Section 32135 during the “window period” as defined by Section 40130.
(2) The amendment shall be filed with the regional office on forms provided by the Board. Service and proof of service pursuant to Section 32140 are required. Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office with the amendment.
(3) The employer shall post a notice of the amendment as soon as possible but in no event later than 15 days following service of the amendment. The notice shall conform to the requirements for posting an original petition and shall remain posted for 20 days.
(4) A response from any party to the amended petition may be filed with the regional office within 15 days following the service of the Board's determination of adequacy of proof of support, unless otherwise directed by the Board. The response shall conform to the requirements for responses as set forth in Section 40230.
(c) Amendments to correct technical errors, add or delete job classifications or positions from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing, and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the hearing officer.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Amendment filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40250. Withdrawal of Severance Petition.
Note     •     History

Any severance petition may be withdrawn by an authorized representative of the employee organization that filed it. Such withdrawal shall be filed with the regional office. Service and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (l), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40260. Board Investigation.
Note     •     History

(a) Whenever a severance petition is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election or take such other action as deemed necessary to decide the questions raised by the petition.
(b) A petition shall be dismissed in part or in whole whenever the Board determines that:
(1) The petitioner has no standing to petition for the action requested; or
(2) There is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by the severance petition, unless the petition is filed less than 242 days but more than 212 days prior to the expiration date of such memorandum or the end of the third year of such memorandum; provided that, if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or 
(3) A valid representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5 and 3541.3(c), (h), (l), Government  Code.
HISTORY

1. Amendment of subsection (b)(2) and Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
Article 3. Representation Elections
§40300. Notice of Intent to Conduct Election.
Note     •     History

Upon determination to conduct a representation election, other than an election directed by a Board decision, the Board shall issue a notice of intent to conduct election to all interested parties. A notice of decision which orders a representation election shall serve as a notice of intent to conduct election.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c), (l), 3544, 3544.1, 3544.3, 3544.5 and 3544.7, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40310. Intervention to Appear on Ballot.
Note     •     History

(a) Within 20 days following issuance of a notice of intent to conduct election in the appropriate unit, any employee organization may file an intervention to appear on ballot. The intervention shall be filed with the regional office on forms provided by the Board. The intervention shall be accompanied by proof of support of at least 30 percent of the employees in the appropriate unit. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(b) Service of the intervention, exclusive of the proof of support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c), (l) and 3544.1(b), Government Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40320. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of issuance of a notice of intent to conduct election, the employer shall file with the regional office an alphabetical list, including job titles or classifications of employees employed in the appropriate unit, as of the last date of the payroll period immediately preceding the date of issuance of the notice of intent to conduct election, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c), (l), 3544, 3544.1, 3544.3, 3544.5 and 3544.7, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
§40330. Conduct of Elections.
Note     •     History

All elections shall be conducted by the Board in accordance with election procedures described in Chapter 1, Subchapter 6, Article 2 of these regulations.
NOTE

Authority cited: Sections 3513(h) and 3541.3(g), Government Code. Reference: Sections 3520.5, 3541.3(c), (l), 3544, 3544.1, 3544.3, 3544.5 and 3544.7, Government Code.
HISTORY

1. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
2. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
Article 4. Rescission of Fair Share Fee Provision
§40400. Employee Petition.
Note     •     History

(a) A petitioner in an established unit may file with the regional office a petition to rescind an existing fair share fee provision pursuant to Government Code Section 3515.7(d).
(b) The petition shall be filed utilizing forms provided by the Board and shall be signed by an authorized representative.
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing fair share fee provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g), and must have been obtained within one calendar year.
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Sections 3513(h) and (k), 3515.7 and 3541.3(g), Government Code. Reference: Sections 3515.8 and 3541.3(c), Government Code.
HISTORY

1. New Article 4 (Sections 40400-40430, not consecutive) filed 10-10-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment of subsection (c) filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
3. Amendment of subsections (a) and (c) and amendment of Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§40410. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following service of the petition to rescind a fair share fee provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Sections 3513(h) and (k), 3515.7 and 3541.3(g), Government Code. Reference: Sections 3515.8 and 3541.3(c), Government Code.
HISTORY

1. New subsection (b), subsection relettering and amendment of Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§40420. Employee Vote.
Note     •     History

(a) The Board shall dismiss the rescission petition if a valid election has been conducted on the fair share fee provision during the term of the memorandum of understanding in effect at the time the petition was filed.
(b) Provided the rescission petition is timely and properly filed pursuant to this Article 4, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 40410, a rescission election among the employees in the established unit shall be conducted under procedures established by the Board, and in accordance with election procedures described in Chapter 1, Subchapter 6, Article 2 of these regulations.
(c) The fair share fee provision shall be rescinded if a majority of the employees in the negotiating unit covered by the provision vote to rescind the provision.
NOTE

Authority cited: Sections 3513(h), (i), and (k), 3515.7 and 3541.3(g), Government Code. Reference: Sections 3515.8, 3541.3(c) and 3515.7(d), Government Code.
HISTORY

1. New subsection (a), subsection redesignation and amendment of Note filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
2. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
3. Amendment of subsection (a) and amendment of Note filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§40430. Alternative Procedures For Vote.
Note     •     History

Notwithstanding the provisions of this Article, the employer and the exclusive representative may mutually agree upon alternative procedures regarding a vote on a fair share fee provision pursuant to Government Code Section 3515.7(d).
NOTE

Authority cited: Sections 3513(h) and (k), 3515.7 and 3541.3(g), Government Code. Reference: Sections 3515.8 and 3541.3(c), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 7).
Chapter 4. Higher Education Employer-Employee Relations Act
Subchapter 1. Representation Procedures
Article 1. General Provisions
§51000. Voluntary Resolution of Disputes.
Note     •     History

NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3560, et seq., Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Repealer of Chapter 1 (Article 1, Sections 50000-50055, not consecutive) and renumbering of Chapter 2 (Articles 1-9, Sections 51000-51685, not consecutive) to Chapter 1 (Articles 1-7, Sections 51000-51685, not consecutive) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 79, No. 22.
3. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§51010. Parties.
Note     •     History

“Parties” means the higher education employer, the employee organization which is the exclusive representative of any employee covered by a request, intervention or petition for certification, or any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending request, intervention, or petition for certification.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3560 et seq., Government Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51015. Place to File Representation Matters.
Note     •     History

NOTE

Authority cited: Sections 3513(g); 3541.3(g)(n); 3563(f)(m), Government Code. Reference: Section 3563.3(a), (f), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Repealer filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51020. Statement of Interest.
Note     •     History

(a) Any employee organization may receive copies of requests for recognition, interventions or petitions, for certification, amendments to requests, interventions or petitions, any notice of informal conference, notice of representation hearing, notice of decision, notice of intent to conduct election, election intervention, unit modification petition, decertification petition or severance petition by filing a statement of interest with the Regional Office.
(b) A statement of interest shall be in writing on a form provided by the Board.
(c) A statement of interest shall remain valid for 12 months, and may be renewed thereafter.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3563(a), (c), (e), (k), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51026. Window Period.
Note     •     History

“Window period” means the 31-day period established pursuant to Government Code Sections 3574(c) and 3577(b)(1), which is not more than 120 days and not less than 90 days prior to the expiration date of a memorandum of understanding negotiated by the higher education employer and the exclusive representative. The memorandum of understanding expiration date means the last effective date of the memorandum. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3574(c) and 3577(b)(1), Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§51027. List of Higher Education Employee Mailing Addresses.
Note     •     History

(a) Except as prohibited by law, the higher education employer shall release to an exclusive representative a mailing list of home addresses of higher education employees it represents pursuant to a written request by the exclusive representative. The mechanics of such release, including but not limited to (1) timing, frequency, and manner of disclosure, (2) maintenance of names or the mailing list, and (3) cost of production shall be subject to the collective bargaining process. 
(b) Except as prohibited by law, the higher education employer shall not be precluded from releasing a mailing list of home addresses of higher education employees as defined in Government Code Section 3562(e) or Section 3580.3 who are not in units represented by an exclusive representative to an employee organization as defined in Government Code Section 3562(f). The mechanics of such release, including but not limited to (1) timing, frequency, and manner of disclosure, (2) maintenance of names or the mailing list, and (3) cost of production, shall be determined by the higher education employer. 
(c) As provided by Government Code Section 6254.3, and upon written request of a higher education employee, the higher education employer shall remove the higher education employee's home address from the mailing lists referenced in subsections (a) and (b) prior to the release of such lists.
NOTE

Authority cited: Sections 3563 and 6254.3, Government Code. Reference: Section 3565, 3568, 3570 and 6254.3, Government Code.
HISTORY

1. New section filed 11-25-86; effective thirtieth day thereafter (Register 86, No. 48).
2. Amendment of subsections (b) and (c) filed 4-12-2000; operative 5-12-2000 (Register 2000, No. 15).
Article 2. Request for Recognition and Intervention
§51030. Request for Recognition.
Note     •     History

(a) A request for recognition by an employee organization seeking to become the exclusive representative of an appropriate unit shall be filed with the employer. A copy of the request shall be filed concurrently with the regional office. The request shall be signed by an authorized agent of the employee organization and be on a form provided by the Board.
(b) Proof of majority support in the unit claimed to be appropriate shall be filed with the regional office or with a mutually agreed upon third party concurrent with the filing of the request for recognition. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Concurrent with the filing of the request, the employee organization shall serve a copy of the request, excluding the proof of majority sup-port, on the parties. Proof of service pursuant to Section 32140 is required.
(d) A petition to become the exclusive representative of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative shall be filed pursuant to either Article 2 or Article 3 and in accordance with the provisions of Article 7 (commencing with Section 51680). A petition to become the exclusive representative of all of the employees in an established unit represented by an incumbent exclusive representative shall be filed pursuant to Chapter 1, Subchapter 6, Article 4 (commencing with Section 32770) of these regulations.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563 (l) and 3573, Government Code.
HISTORY

1. Amendment of subsection (b) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment of subsection (b) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). 
7. Change without regulatory effect amending subsections (b) and (d) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§51035. Posting Notice of Request for Recognition.
Note     •     History

(a) The employer shall post a notice of the request for recognition as soon as possible but in no event later than 10 days following receipt of the request.
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed.
(c) The notice shall remain posted for 15 workdays.
(d) The notice shall consist of a copy of the request for recognition with the appropriate portion of the form completed by the employer prior to posting.
(e) The employer shall serve a copy of the notice on the regional office and the parties concurrent with the posting of the notice. Proof of service pursuant to Section 32140 is required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(l) and 3573, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51040. Intervention.
Note     •     History

(a) Except as provided in Section 51680(c), an intervention by an employee organization shall be filed with the employer within 15 workdays following the posting of a notice of a request for recognition. A copy of the intervention shall be filed concurrently with the regional office. The intervention shall be signed by an authorized agent of the employee organization, and be on a form provided by the Board.
(b) Proof of at least 30 percent support of the employees in the unit claimed to be appropriate by the intervenor shall be filed with the regional office or with a mutually agreed upon third party concurrent with the filing of the intervention. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Concurrent with the filing of the intervention, the employee organization shall serve a copy of the intervention, excluding the proof of support, on the parties. Proof of service pursuant to Section 32140 is required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), (l) and 3574(b), Government Code.
HISTORY

1. Amendment of subsection (b) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment of subsection (b) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25). 5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
5. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
6. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
7. Editorial correction renumbering History Notes (Register 95, No. 32).
8. Change without regulatory effect amending subsection (a) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
9. Amendment of subsection (b) and repealer of subsections (b)(1) and (b)(2) filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§51050. Board Determination Regarding Proof of Support--Request for Recognition, Intervention.
Note     •     History

(a) Within 20 days of the date of receipt of the request or intervention, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the request or intervention was filed with the employer, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), (l), 3573 and 3574(b), Government Code.
HISTORY

1. Amendment of subsection (b) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 25).
3. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
4. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
5. Editorial correction of Note (Register 96, No. 52).
§51055. Determination Regarding Proof of Support by Third Party--Request for Recognition, Intervention.
Note     •     History

(a) An employee organization and an employer may mutually agree that the proof submitted in support of a request for recognition or intervention be filed with a third party rather than the Public Employment Relations Board. Such agreement must be reached prior to the filing of the request or intervention.
(b) Within 20 days of receipt of a request or intervention, the employer shall file with the mutually agreed upon third party an alphabetical list, including job titles and classification codes, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the request or intervention was filed with the employer.
(c) The mutually agreed upon third party shall complete the review of the proof of support and issue to the parties a written determination as to its sufficiency or lack thereof within 15 days of receipt of the list of employees from the employer.
(d) The third party shall concurrently serve a copy of the proof of support determination, accompanied by the proof of support submitted by the requester or intervenor, on the regional office.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3573 and 3574(b), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51060. Withdrawal of Request or Intervention.
Note     •     History

Any request for recognition or intervention may be withdrawn by an authorized representative of the employee organization that filed it. Such withdrawal shall be filed with the employer. Service and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), (l), 3573 and 3574(b), Government Code.
HISTORY

1. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51070. Amendment of Request or Intervention.
Note     •     History

(a) A request for recognition or intervention may be amended to correct technical errors or to delete job classifications from the proposed unit at any time prior to the issuance of the notice of representation hearing, or, where no hearing has been held, issuance of the notice of intent to conduct an election. The amendment shall be filed with the employer utilizing forms provided by the Board. A copy shall be concurrently served on each party and the regional office. Proof of service pursuant to Section 32140 is required. No posting shall be required.
(b) Amendments to add job classifications or positions to a proposed unit shall be subject to the following:
(1) Except as provided in Section 51680(c), a request for recognition or intervention may be amended to add new job classifications to a proposed unit at any time prior to the issuance of a notice of representation hearing, or if no hearing is held, the issuance of a notice of intent to conduct election.
(2) The amendment shall be filed with the employer utilizing forms provided by the Board. The employee organization shall concurrently serve a copy of the amendment on each party and the regional office. Proof of service pursuant to Section 32140 is required. Additional proof of support, if needed to maintain standing as a requester or intervenor, shall be concurrently filed with the regional office.
(3) The employer shall post a notice of any amended request for recognition as soon as possible but in no event later than 10 days following receipt of the amendment. The notice shall conform to the requirements for posting an original request for recognition as set forth in Section 51035, and shall remain posted for 15 workdays, during which time interventions may be filed.
(4) An employer response to the amended request or intervention shall be filed with the regional office within 15 days following service of the Board's determination regarding the adequacy of proof of support, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses as set forth in Section 51080.
(c) Amendments to correct technical errors, add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment so long as it will not serve to unduly impede the hearing, and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendment shall be at the discretion of the hearing officer.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3573 and 3574(b), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51080. Employer Response.
Note     •     History

(a) Within 15 days following the service of the determination of adequacy of proof submitted in support of the request for recognition and any interventions, the employer shall file a written response with the regional office.
(b) Service and proof of service of the response pursuant to section 32140 are required.
(c) The employer shall use “Format A” if it has granted recognition pursuant to Government Code sections 3573 and 3574. As soon as possible, but in no event later than 10 days from its issuance, the employer shall post a copy of the employer response conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit affected are employed. The response shall remain posted for at least 15 workdays.

Format  A: RECOGNITION
(1) The (employer) has recognized (organization) as the exclusive representative for an appropriate unit of employees described below for purposes of meeting and conferring with the employer;
(2) No intervention has been filed during the posting period;
(3) Name, address and telephone number of the employer;
(4) Name, address and telephone number of the employee organization;
(5) A description of the grouping of employment classes to be included in the claimed unit including class codes. Each employment class shall include the geographic locations if other than a statewide class is proposed.
(6) The number of employees in the unit recognized;
(7) The date of recognition.
(d) The employer shall use “Format B” if it has not granted recognition.

Format B: DENIAL OF RECOGNITION
(1) Name, address and telephone number of the employer, and name, address and telephone number of the employer agent to be contacted;
(2) Attach a copy of the request for recognition;
(3) Reasons for Denial of Recognition:
(A) Does the employer reasonably doubt the appropriateness of the proposed unit? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Was the request timely and appropriately filed? If not, fully explain any deficiencies.
(C) Is the employer unable to grant recognition because some or all of the employees in question are part of a negotiating unit that is already represented by an exclusive representative?
(D) Were any interventions filed within the 15 workday posting period? Attach a copy of each intervention. For each intervention, state:
1. Does the employer doubt the appropriateness of the unit proposed by the intervenor? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
2. Was the intervention timely and appropriately filed? If not, fully explain any deficiencies.
(E) If no interventions have been filed and no unit dispute exists, but the employer reasonably doubts that the employee organization has majority support, the employer shall set forth the reasons for its doubt of the majority support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), (l), 3573 and 3574, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of subsection (d)(3) filed 12-29-88; operative 1-28-89 (Register 89,No. 4).
4. Amendment of subsection (d)(3)(C) filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
5. Change without regulatory effect amending subsections (c)-(c)(2) and (d) filed 8-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 32).
6. Amendment of subsections (c), (c)(1), (d) and (d)(3)(E) filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§51090. Employee Organization Petition for Board Investigation.
Note     •     History

(a) Not later than 90 days following the date an employer response is filed or is due, whichever occurs first, a petition for Board investigation may be filed by:
(1) An employee organization alleging that it has filed a request for recognition, pursuant to Section 51030 which has been denied or not acted upon by the employer within 30 days after the filing of the request; or
(2) An employee organization alleging that it has filed an intervention pursuant to Section 51040.
(b) A petition for Board investigation may request the Board to decide the question of whether employees have selected or wish to select an exclusive representative or to determine the appropriateness of a unit.
(c) The petition shall be filed with the regional office. Service and proof of service of the petition pursuant to Section 32140 are required.
(d) The petition shall contain the following information:
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the employee organization agent to be contacted;
(2) The name, address and telephone number of the employer;
(3) A copy of the request for recognition or intervention filed with the employer;
(4) A statement of the issues in dispute;
(5) A statement indicating what specific action(s) is requested of the Board.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3575, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51095. Failure to File Petition for Board Investigation.
Note     •     History

If no petition for Board investigation is timely filed pursuant to Section 51090, the request for recognition and any interventions shall be deemed invalid and shall not bar a subsequent request for recognition.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), (l), 3573 and 3575, Government Code.
HISTORY

1. New section filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51096. Certification of Exclusive Representative.
Note     •     History

If the Board determines (1) the employee organization requesting recognition has demonstrated proof of support of more than 50 percent of the employees in an appropriate unit, (2) no other employee organization has demonstrated proof of support of at least 30 percent of the employees, and (3) the employer has not granted recognition, the Board shall certify the petitioner as the exclusive representative. 
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3577, Government Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 3. Petition for Certification
§51100. Petition for Certification.
Note     •     History

(a) Subject to the limitations expressed in Section 51140(b), a petition for certification pursuant to Government Code Section 3575(c) by an employee organization wishing to be certified by the Board as the exclusive representative in an appropriate unit shall be filed with the regional office, utilizing forms provided by the Board. The petition shall be signed by an authorized agent of the employee organization.
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3575(c), Government Code.
HISTORY

1. Amendment of subsection (b) filed 12-31-79 a an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment of subsection (b) filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Change without regulatory effect amending subsection (b) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§51110. Determination of Proof of Support.
Note     •     History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3575(c), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51115. Withdrawal of Petition for Certification.
Note     •     History

Any petition for certification may be withdrawn by an authorized representative of the employee organization that filed it at any time prior to a final decision by the Board. Such withdrawal shall be filed with the regional office. Service and proof of service of the withdrawal pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3575(c), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51120. Amendment of Petition for Certification.
Note     •     History

(a) A petition for certification may be amended to correct technical errors or to add (subject to the limitations set forth in Section 51680(c)) or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing, or notice of intent to conduct election. The amendment shall be filed with the regional office utilizing forms provided by the Board. Service and proof of service of the amendment pursuant to Section 32140 are required.
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following:
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment.
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses as set forth in Section 51130.
(c) Amendments to correct technical errors, add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3575(c), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51130. Employer Response Regarding Petition for Certification.
Note     •     History

(a) Within 15 days following service of the Board's determination regarding the adequacy of proof submitted in support of the petition, the employer shall file a written response with the regional office.
(b) Service and proof of service of the response pursuant to Section 32140 are required.
(c) The employer shall use the following format for its response regarding a petition for certification:
(1) Name, address and telephone number of the employer, and name, address and telephone number of the employer's agent to be contacted;
(2) Attach a copy of the petition for certification;
(3) Employer position regarding the petition for certification:
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3577(c), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 4. Board Investigation
§51140. Board Investigation.
Note     •     History

(a) Whenever a petition filed pursuant to Government Code Section 3575 regarding a representation matter is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition.
(b) A petition shall be dismissed in part or in whole whenever the Board determines that:
(1) The petitioner has no standing to petition for the action requested; or
(2) There is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees included in the unit described in the request for recognition, unless the request for recognition is filed not more than 120 days and not less than 90 days prior to the expiration date of such memorandum of understanding, provided that if such memorandum of understanding has been in effect for three years or more, there shall be no such restriction as to the time of filing the request. A petition filed not more than 120 days and not less than 90 days prior to the expiration date of a memorandum of understanding must actually be received in the manner set out in Section 32135 during the “window period” as defined by Section 51025; or
(3) The employer has, within the previous 12 months, lawfully recognized an employee organization other than the petitioner as the exclusive representative of any employees included in the unit described in the petition; or
(4) A valid election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition.
(5) The petition for Board investigation pursuant to this section or the petition for certification pursuant to Section 51100 was filed either after a notice of hearing or, where no hearing has been held, notice of intent to conduct election covering any of the employees in the unit proposed by the petitioner has been issued by the Board.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3577, Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 5. Representation Hearings
§51200. Informal Conference.
Note     •     History

The Board may conduct an informal conference for the purposes of clarifying the issues and exploring settlement of the case. No record shall be made at such a conference.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(a), (g), 3574(b) and 3577(a), Government Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51210. Notice of Representation Hearing.
Note     •     History

Upon determining that a hearing is necessary, the Board shall serve a notice of Representation Hearing on all interested parties pursuant to Section 51020. The notice shall state the date, time and place of the hearing. The notice shall also include information regarding how an employee organization may become a party to the hearing.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3563(g), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51225. Conduct of Hearing.
Note     •     History

Hearings shall be conducted pursuant to procedures set forth in Chapter 1, Subchapter 3 (commencing with Section 32165) of these regulations.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(a), (g), 3574(b) and 3577(a), Government Code.
HISTORY

1. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
2. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§51230. Withdrawal of a Petition.
Note     •     History

Any petition requesting action to resolve a representation dispute may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board pursuant to a voluntary agreement between or among the parties regarding an appropriate unit.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(a), (g), 3574(b) and 3577(a), Government Code.
HISTORY

1. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51235. Notice of Decision.
Note     •     History

The Board shall serve on all interested parties pursuant to Section 51020 a notice of decision with either the decision of the Board itself or a final hearing officer decision.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(a), (g), 3574(b) and 577(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
Article 6. Representation Elections
§51300. Notice of Intent to Conduct Election.
Note     •     History

(a) Upon determination to conduct a representation election, other than an election directed by a Board decision, the Board shall issue a notice of intent to conduct election to all interested parties pursuant to Section 51020. A notice of decision pursuant to Section 51235 which orders a representation election shall serve as a notice of intent to conduct election.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3574(b) and 3577(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51310. Intervention to Appear on Ballot.
Note     •     History

(a) Within 15 workdays following issuance of a notice of intent to conduct election in the appropriate unit, any employee organization, whether or not a party to the unit hearing, may file an intervention to appear on ballot. The intervention shall be filed with the regional office on forms provided by the Board. The intervention shall be accompanied by proof of support of at least 10 percent of the employees in the appropriate unit. Proof of support is defined in Chapter 1, Section 32700 of these regulations.
(b) Service of the intervention, exclusive of the proof of support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c) and 3574(b), Government Code.
HISTORY

1. Amendment of subsection (a) filed 12-31-79 as an emergency; effective upon filing (Register 80, No. 1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. Amendment filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
6. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Change without regulatory effect amending subsection (a) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§51320. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of issuance of a notice of intent to conduct election the employer shall file with the regional office an alphabetical list, including job titles or classifications of employees employed in the appropriate unit as of the last date of the payroll period immediately preceding the date of issuance of the notice of intent to conduct election, unless otherwise directed by the Board.
(b) If, after initial determination, the proof of support is insufficient, the Board may allow up to 10 days to perfect the showing of support.
(c) Upon completion of the review of the showing of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3574(b) and 3577(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
§51330. Recognition.
Note     •     History

If only one organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the Board shall certify the organization as the exclusive representative and cancel the election.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3574(b) and 3577(a), Government Code.
HISTORY

1. Amendment filed 6-18-80; effective thirtieth day thereafter (Register 80, No. 25).
2. Amendment filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
3. Amendment of section heading and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§51340. Conduct of Elections.
Note     •     History

All elections shall be conducted by the Board in accordance with election procedures described in Chapter 1, Subchapter 6, Article 2 of these regulations.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(c), 3574(b) and 3577(a), Government Code.
HISTORY

1. New section filed 12-31-79 as an emergency; effective upon filing (Register 80, No.1). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-30-80.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 80, No. 21).
3. New section filed 5-21-80 as an emergency; effective upon filing (Register 80, No. 21). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 9-19-80.
4. Certificate of Compliance filed 6-18-80 (Register 80, No. 25).
5. Amendment of NOTE filed 6-18-80 (Register 80, No. 25).
6. Editorial correction of NOTE filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39).
7. Change without regulatory effect amending section filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
Article 7. Severance Petition
§51680. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a request for recognition in accordance with the provisions of Article 2 (commencing with Section 51030) or by filing a petition for certification in accordance with the provisions of Article 3 (commencing with Section 51100). In the case of a request for recognition or intervention, all provisions of Article 2 and Article 4 of this Subchapter shall be applicable to a severance request except as provided in this Article 7. In the case of a petition for certification, all provisions of Article 3 and Article 4 of this Subchapter shall be applicable to a severance petition except as provided in this Article 7.
(b) Whenever the conditions of Government Code Sections 3574(c) or 3577(b)(1) exist, a severance request for recognition, an intervention or a petition for certification must be filed in the manner set out in Section 32135 during the “window period” as defined by Section 51026.
(c) Any amendment to add to a request for recognition, intervention or petition for certification classifications or positions which are included in an established unit must be filed in the manner set out in Section 32135 during the “window period” as defined by Section 51026.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(k), 3573 and 3574, Government Code.
HISTORY

1. Repealer of Article 7 (Sections 51600-51620, not consecutive) and renumbering and amendment of Article 9 (Sections 51680 and 51685) to Article 7 (Sections 51680 and 51685) filed 9-20-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 39). For prior history, see Register 80, No. 25.
2. Change without regulatory effect amending subsection (a) filed 3-22-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 12).
§51685. Response to Severance Petition.
Note     •     History

(a) The employer and the exclusive representative of the established unit may file a responding statement supporting or opposing the severance petition. Such response shall be filed with the regional office within 20 days following the date of service of the severance request. Service and proof of service of the response pursuant to Section 32140 are required.
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information:
(1) A copy of the severance petition;
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted;
(3) A statement confirming or refuting the information contained in the severance petition regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current memorandum of understanding covering employees in the established unit:
(4) A concise statement setting forth support of or opposition to the unit proposed by the petition.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Sections 3563(k), 3573 and 3574, Government Code.
HISTORY

1. Amendment of subsection (a) filed 12-29-88; operative 1-28-89 (Register 89, No. 4).
2. Repealer of subsection (c) filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
Article 8. Decertification Petition
HISTORY

1. Repealer of Article 8 (Sections 51650-51660, not consecutive) filed 9-20-82; effective upon filing (Register 82, No. 39).
Subchapter 2. Fair Share Service Fee Provisions
Article 1. Rescission Petition
§51700. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an organizational security provision established pursuant to Government Code Section 3583.5.
(b) The petition shall be filed utilizing the HEERA Fair Share Fee Rescission Petition, Form PERB-4480 (1/00), and shall be signed by an authorized representative of the group of employees.
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing organizational security provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g), and must have been obtained within one academic year as defined in Section 32011(c).
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(b) and (c), Government Code.
HISTORY

1. New subchapter 2 (articles 1-2, sections 51700-51740), article 1 (sections 51700-51720) and section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18). 
3. New subchapter 2 (articles 1-2, sections 51700-51740), article 1 (sections 51700-51720) and section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
5. Amendment of subsection (c) filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§51710. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an organizational security provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
5. New subsection (b) and subsection relettering filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§51715. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article 1, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 51710, a rescission election among the employees in the established unit shall be conducted.
(b) The election shall be conducted in accordance with election procedures described in these regulations.
(c) The organizational security provision shall be rescinded if a majority of all the employees in the negotiating unit covered by the provision vote to rescind the provision.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
§51720. Bar to Rescission Petition.
Note     •     History

The Board shall dismiss any petition to rescind the existing organizational security provision if the results of a previous election concerning the organizational security provision in the same unit were certified by the Board during the term of the memorandum of understanding in effect at the time the petition was filed.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 36).
5. New section filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
Article 2. Reinstatement Petition
§51725. Petition.
Note     •     History

(a) The recognized employee organization of an established unit may file with the regional office a petition to reinstate an organizational security provision that was rescinded by employee vote pursuant to Article 1 of this subchapter.
(b) The petition shall be filed utilizing the HEERA Fair Share Fee Reinstatement Petition, Form PERB-4490 (1/00), and shall be signed by an authorized representative of the employee organization.
(c) Proof that at least 30 percent of the employees in the unit desire to reinstate the organizational security provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g).
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New article 2 (sections 51725-51740) and section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New article 2 (sections 51725-51740) and section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
§51730. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to reinstate an organizational security provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board.
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support.
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
5. New subsection (b) and subsection relettering filed 6-13-2001; operative 6-13-2001 (Register 2001, No. 24).
§51735. Employee Vote.
Note     •     History

(a) Provided the reinstatement petition is timely and properly filed pursuant to this Article 2, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 51725, a rescission election among the employees in the established unit shall be conducted.
(b) The election shall be conducted in accordance with election procedures described in these regulations.
(c) The organizational security provision shall be reinstated if a majority of all the employees in the negotiating unit covered by the provision vote to reinstate the provision.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
§51740. Bar to Reinstatement Petition.
Note     •     History

The Board shall dismiss any petition to reinstate an organizational security provision if the results of an election concerning the organizational security provision in the same unit were certified by the Board within the 12 months immediately preceding the filing of the petition.
NOTE

Authority cited: Section 3563(f), Government Code. Reference: Section 3583.5(c), Government Code.
HISTORY

1. New section filed 1-3-2000 as an emergency; operative 1-3-2000 (Register 2000, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 18).  
3. New section filed 5-5-2000 as an emergency; operative 5-5-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-5-2000 order transmitted to OAL 7-26-2000 and filed 9-7-2000 (Register 2000, No. 36).
Chapter 5. Meyers-Milias-Brown Act
Subchapter 1. Enforcement and Application of Local Rules Concerning Unit Determinations, Recognition, Representation and Elections
§60000. Petition for Board Review.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New chapter 5 (subchapters 1-2, sections 60000-61630), subchapter 1 (sections 60000-60070) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer of subchapter 1 (sections 60000-60070) and section filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60010. Board Investigation.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order, including amendment of subsection (a), transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60020. Withdrawal of a Petition.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60030. Informal Conference.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60035. Administrative Decision.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60040. Notice of Hearing.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60050. Conduct of Hearing; Issuance of Proposed Decision.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§60060. Conduct of Elections.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 49).
§60070. Decisions of the Board Itself.
Note     •     History

NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Repealer filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
Article 1. General Provisions
§61000. Application of Regulations.
Note     •     History

Except as otherwise ordered pursuant to Chapter 1, or as provided for by Public Utilities Code, Division 10, Part 16, Chapter 5 (section 105140 et seq.), the Board will conduct representation proceedings and/or agency fee rescission elections under MMBA in accordance with the applicable provisions of this Chapter only where a public agency has not adopted local rules in accordance with MMBA section 3507. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code; and Sections 105140, 105152 and 105153, Public Utilities Code.
HISTORY

1. New subchapter 2 (articles 1-8), article 1 (sections 61000-61090) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order, including amendment of section, transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of section and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
4. Amendment filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
6. Repealer of subchapter 2 heading and amendment of section filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61005. Parties.
Note     •     History

“Parties” means the public agency, the employee organization that is the exclusive or majority representative of any employee covered by a petition, any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending petition, and/or any group of public employees which has filed a pending petition pursuant to Government Code Section 3502.5(d) or 3507. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3501(a), (b), (c) and (d), 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61010. Window Period.
Note     •     History

“Window period” means the 29-day period which is less than 120 days but more than 90 days prior to the expiration date of a lawful memorandum of understanding negotiated by the public agency and the exclusive representative. Expiration date means the last effective date of the memorandum. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61020. Proof of Support.
Note     •     History

(a)(1) Proof of employee support for representation petitions, including decertification petitions, petitions for certification, requests for recognition, severance requests or petitions, and unit modification petitions, shall clearly demonstrate that the employee desires to be represented by the petitioning employee organization for the purpose of meeting and conferring on wages, hours and other terms and conditions of employment. 
(2) Proof of employee support for a decertification petition filed pursuant to section 61350(b)(1) shall clearly demonstrate that the employee no longer desires to be represented by the exclusive representative.
(3) Proof of employee support for a rescission petition filed pursuant to section 61600 shall clearly demonstrate that the employee desires a vote to rescind the existing organizational security arrangement.
(b) The proof of support shall indicate each employee's printed name, signature, job title or classification and the date on which each individual's signature was obtained. An undated signature or a signature dated more than one calendar year prior to the filing of the petition requiring employee support shall be invalid for the purpose of calculating proof of support. Any signature meeting the requirements of this section shall be considered valid even though the signatory has executed authorizations for more than one employee organization. 
(c) Any proof of support validly obtained within one year immediately prior to the date the petition or amendment requiring employee support is filed shall remain valid and may be used as proof of support to qualify for appearance on the ballot in an election, provided the employee's job classification is included in the unit in which the election is to be conducted. 
(d) Subject to subsections (a), (b) and (c) of this section, proof of support may consist of any one of the following original documents or a combination thereof: 
(1) Current dues deduction authorization forms; 
(2) Membership applications; 
(3) Authorization cards or petitions signed by employees. The purpose of the petition shall be clearly stated on each page thereof; 
(4) A notarized membership list, provided it is accompanied by the date of each member's signature on an enrollment form, membership application, or designation card or cards, supported by a declaration under penalty of perjury that the employee organization has on file the aforementioned documents which indicate the employee's desire to be represented by the employee organization. A sample of such signed forms shall accompany the list. 
(5) Other evidence as determined by the Board. 
(e) Documents submitted to the board as proof of employee support shall remain confidential and not be disclosed by the board to any party other than the petitioner, except to indicate whether the proof of support is sufficient. 
(f) Any party which contends that proof of employee support was obtained by fraud or coercion, or that the signatures on such support documents are not genuine, shall file with the regional office evidence in the form of declarations under penalty of perjury supporting such contention within 20 days after the filing of the petition which the proof of support accompanied. The Board shall refuse to consider any evidence not timely submitted, absent a showing of good cause for late submission. When prima facie evidence is submitted to the Board supporting a claim that proof of support was tainted by such misconduct, the Board shall conduct further investigations. If, as a result of such investigation, the Board determines that the proof of support is inadequate because of such misconduct, the petition shall be dismissed. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code.
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment designating and amending former subsection (a) as subsection (a)(1), new subsections (a)(2)-(a)(3) and amendment of subsection (e) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§61030. Withdrawal of a Petition.
Note     •     History

Any petition may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board. Service and proof of service of the withdrawal pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61040. Informal Conference.
Note     •     History

(a) A Board agent may conduct an informal conference to clarify the issues and explore settlement of the case. No record shall be made at such a conference. 
(b) A Board agent shall give reasonable notice of such conference to each party directed to attend. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61050. Notice of Hearing.
Note     •     History

If the Board determines that a hearing is necessary, the Board shall serve a notice of hearing on each party. The notice shall state the date, time and place of the hearing. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61055. Conduct of Hearing; Issuance of Proposed Decision.
Note     •     History

Hearings shall be conducted and proposed decisions shall be issued pursuant to procedures set forth in Chapter 1, Subchapter 3 of these Regulations. 
NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61060. Administrative Decision.
Note     •     History

Any determination rendered without a hearing shall be issued in accordance with Section 32350 and may be appealed pursuant to Section 32360 of these Regulations. 
NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61065. Elections in Consent Units.
Note     •     History

At any time prior to a final decision of the Board regarding an appropriate unit, the parties may mutually agree upon an appropriate unit and request the Board to conduct a consent election. The conduct of an election in a consent unit should not be interpreted to mean that the Board would find the unit in question to be an appropriate unit in a disputed case. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1(a), 3509 and 3541.3(c) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61070. Decisions of the Board Itself.
Note     •     History

Procedures before the Board itself shall be in accordance with Chapter 1, Subchapter 4, Articles 1 through 4 of these Regulations. 
NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61072. Judicial Review.
Note     •     History

A request for judicial review of a decision by the Board itself may be filed pursuant to Section 32500 and shall be allowed: (1) when the board, in response to a petition from the employer or an employee organization, agrees that the case is one of special importance and joins in the request for such review; or (2) when the issue is raised as a defense to an unfair practice complaint. A board order directing an election shall not be stayed pending judicial review. 
NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code.
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61075. Notice of Decision.
Note     •     History

When the Board itself issues a decision or when a hearing officer decision becomes final, the Board shall serve the decision and a notice of decision on the parties. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61080. Conduct of Elections; Eligibility to Appear on Ballot.
Note     •     History

(a) If the Board determines that a Board-conducted election is necessary, the election shall be conducted in accordance with Article 2 of this Chapter. 
(b) Any employee organization which filed a valid petition or which became a party to a representation case may appear on the election ballot, provided that the organization has evidenced to the satisfaction of the Board at least 30 percent support in the appropriate unit. If an election is directed by a PERB decision, each eligible employee organization shall have 15 workdays from the date of service of the decision in which to demonstrate at least 30 percent support in the unit found to be appropriate by the Board. 
(c) The Board shall determine the sufficiency of the proof of support in accordance with the provisions of Section 61020 of these Regulations. 
NOTE

Authority cited: Sections 3509(a) and (c) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (a) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61090. Recognition.
Note     •     History

If only one employee organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the public agency shall grant recognition. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1(a), (c), 3509 and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of section heading, section and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
Article 2. Elections
§61100. Authority to Conduct Elections.
Note     •     History

An election shall be conducted when the Board issues a decision directing an election or approves an agreement for a consent election pursuant to the provisions of this Chapter. The Board shall determine the date, time, place and manner of the election absent an approved agreement of the parties. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New article 2 (sections 61100-61200) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61105. Ballot.
Note     •     History

(a) All elections shall be conducted by secret ballot under the supervision of the Board. 
(b) Ballots shall be prepared under the supervision of the Board. The order of voting choices and the wording of each ballot entry shall be determined by the Board absent an approved agreement of the parties. 
(c) Except in the case of a runoff election, in which the ballot entries are determined pursuant to Section 61145, or an election conducted pursuant to either Article 4 or 7 of this Chapter, the ballot entry of “No Representation” shall appear on each ballot in a representation election. 
(d) At any time prior to issuance of the notice of election (pursuant to Section 61110), an employee organization may file a request with the regional office to have its name removed from the ballot. The request shall disclaim any interest in representing the employees in the described unit. Service and proof of service of the request pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (c) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61110. Directed Election Order/Consent Election Agreement; Notice of Election.
Note     •     History

(a) When the Board has determined that an election is required, the Board shall serve on the employer and the parties a Directed Election Order containing specific instructions regarding the conduct of the election. The Board may approve a Consent Election Agreement of the parties regarding the conduct of an election. 
(b) Thereafter, the Board shall serve a notice of election on the parties. The notice shall contain a sample ballot, a description of the voting unit, and information regarding the balloting process. Unless otherwise directed by the Board, the employer shall post such notice conspicuously on all employee bulletin boards in each facility of the employer in which members of the described unit are employed. 
(c) The Board shall supply the employer with sufficient copies of the notice for posting. The posting shall be accomplished by the date specified in the Consent Election Agreement or the Directed Election Order. The notice shall remain posted through the final day for casting ballots. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61115. List of Voters.
Note     •     History

(a) At a date established by the Board, the employer shall file with the regional office a list of names of all employees included in the voting unit as of the cutoff date for voter eligibility. Unless otherwise directed by the Board, the voter list for an on-site election shall be in alphabetical order by assigned polling site and shall include the job title or classification, work location and home address of each eligible voter. Unless otherwise directed by the Board, the voter list for a mailed ballot election shall be in alphabetical order and include the job title and home address of each eligible voter, and shall be accompanied by two sets of name and home address labels for each eligible voter. 
(b) A list of eligible voters which meets the requirements of subsection (a) above but which contains in lieu of the home address a mailing address for each eligible voter shall be concurrently served by the employer on each other party to the election. Proof of service shall be filed with the regional office. For purposes of this subsection, mailing address means the home address of each eligible voter, except in the case where the release of the home address of the employee is prohibited by law, or if the Board shall determine that the release of home addresses is likely to be harmful to the employees. 
(c) Any party which receives the mailing addresses of eligible voters pursuant to this section shall keep these addresses confidential and shall neither distribute them to any other organization or individual nor utilize them for any other purpose. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1 and 3509, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61120. Voter Eligibility.
Note     •     History

Unless otherwise directed by the Board, to be eligible to vote in an election employees must be employed in the voting unit as of the cutoff date for voter eligibility and still employed on the date they cast their ballots in the election. Employees who are ill, on vacation, on leave of absence or sabbatical, or temporarily laid off, and employees who are in the military service of the United States shall be eligible to vote. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61125. Observers.
Note     •     History

Each party shall be allowed to station an authorized observer selected from the employees of the employer at each polling site during an on-site election to assist in the conduct of the election and to challenge the eligibility of voters. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61130. Challenges.
Note     •     History

(a) In an on-site election, a Board agent or an authorized observer may challenge, for good cause, the eligibility of a voter. A person so challenged shall be permitted to cast a challenged ballot. 
(b) In a mailed ballot election, a Board agent or an authorized agent of any party to the election may challenge, for good cause, the eligibility of a voter. Such challenges shall be made prior to the tally of the ballots. 
(c) When sufficient in number to affect the outcome of the election, unresolved challenges shall be resolved by the Board. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61135. Tally of Ballots.
Note     •     History

(a) Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
(b) At the conclusion of the counting of ballots, the Board shall serve a tally of the ballots on each party. 
(c) Unless otherwise authorized by statute, a majority of the valid votes cast shall determine the outcome of the election. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61140. Resolution of Challenges.
Note     •     History

When the tally of ballots discloses that the challenged ballots are sufficient in number to affect the outcome of the election, the Board agent shall conduct an investigation and, where appropriate, conduct a hearing or take such other action as deemed necessary to determine the eligibility of the challenged voters. Any determination made by a Board agent pursuant to this Section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 2 or 3 of these regulations, as appropriate. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61145. Runoff Elections.
Note     •     History

In a representation election, the Board shall direct a runoff election when a valid election results in none of the choices receiving a majority of the valid votes cast. The ballot for the runoff election shall provide for a selection between the two ballot entries receiving the largest and second largest number of valid votes cast in the election. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61150. Objections.
Note     •     History

(a) Within 10 days following the service of the tally of ballots, any party to the election may file with the regional office objections to the conduct of the election. Any objections must be filed within the 10 day time period whether or not a runoff election is necessary or challenged ballots are sufficient in number to affect the results of the election. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections shall be entertained by the Board only on the following grounds: 
(1) The conduct complained of interfered with the employees' right to freely choose a representative, or 
(2) Serious irregularity in the conduct of the election. 
(d) The statement of the objections must contain specific facts which, if true, would establish that the election result should be set aside, and must also describe with specificity how the alleged facts constitute objectionable conduct within the meaning of subsection (c) above. 
(e) No party may allege as grounds for setting aside an election its own conduct or the conduct of its agents. 
(f) At the direction of the Board, facts alleged as supportive of the election conduct objected to shall be supported by declarations. Such declarations must be within the personal knowledge of the declarant, or must otherwise be admissible in a PERB election objections hearing. The declarations shall specify the details of each occurrence; identify the person(s) alleged to have engaged in the allegedly objectionable conduct; state their relationship to the parties; state where and when the allegedly objectionable conduct occurred; and give a detailed description of the allegedly objectionable conduct. All declarations shall state the date and place of execution and shall be signed by the declarant and certified by him or her to be true under penalty of perjury. 
(g) The Board agent shall dismiss objections that fail to satisfy the requirements of subsections (a) through (d). The objecting party may appeal the dismissal to the Board itself in accordance with Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61155. Powers and Duties of Board Agent Concerning Objections.
Note     •     History

Concerning objections, the Board agent has the power to: 
(a) Direct any party to submit evidence through declarations or documents; 
(b) Order the inspection of documents by Board agents or the parties; 
(c) Direct any party to submit an offer of proof; 
(d) Obtain declarations from witnesses based on personal knowledge; 
(e) Conduct investigatory conferences with the parties to explore and resolve factual or legal issues; 
(f) Dismiss any objections which, after investigation, do not warrant setting aside the election. Any such dismissal is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(g) Issue a written determination setting aside the election when, after investigation, it appears that such action is warranted, and that no material factual disputes exist. Such determination shall be in writing and served on the parties. Any such determination is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(h) Schedule a hearing when substantial and material factual disputes exist. Any hearing shall be limited to the issues set forth in the notice of hearing. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61160. Withdrawal of Objections.
Note     •     History

Any party may withdraw its objections to an election prior to a final decision by the Board. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61165. Hearings on Objections and Challenges.
Note     •     History

Objections to the conduct of an election which have not been dismissed pursuant to Section 61155(f) or unresolved challenged ballots sufficient in number to affect the outcome of the election may be resolved through the hearing procedures described in Chapter 1, Subchapter 3. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61170. Exception to Decision on Objections or Challenges.
Note     •     History

Exceptions to a Board agent's proposed decision on objections to the conduct of the election or challenged ballots may be taken in accordance with the procedures set forth in Chapter 1, Subchapter 4, Article 2 of these regulations. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61175. Revised Tally of Ballots.
Note     •     History

Should a ruling on challenged ballots direct that any such ballots be voided or opened and counted, the Board shall serve a revised tally of ballots on each party at the conclusion of the counting and/or voiding of such ballots. Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61180. Objections to Revised Tally of Ballots.
Note     •     History

(a) Within 10 days following the service of a revised tally of ballots, any party may file with the regional office objections to the revised tally. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections to a revised tally of ballots shall be entertained by the Board only on the grounds of serious irregularity in the conduct of the challenged ballot count or issuance of the revised tally. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61185. Certification of Results of Election or Certification of Exclusive Representative.
Note     •     History

Except in the case of elections conducted pursuant to either Article 4 or 7 of this Chapter, the Board shall certify the results of the election or issue a certification of an exclusive representative if the results of the election are conclusive and no timely objections are filed. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61190. Stay of Election.
Note     •     History

The Board may stay an election pending the resolution of an unfair practice charge relating to the voting unit upon an investigation and a finding that alleged unlawful conduct would so affect the election process as to prevent the employees from exercising free choice. Any determination to stay an election made by the Board pursuant to this section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61200. Bar to Conducting Election.
Note     •     History

The Board shall dismiss a petition requiring a representation election if it determines (1) there is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by a petition requiring an election, unless the petition is filed less than 120 days but more than 90 days prior to the expiration of such memorandum, provided that if a memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) that a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3502.5, 3507, 3507.1, 3509 and 3541.3, Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
Article 3. Petition for Certification
§61210. Petition for Certification.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are not included in an established unit represented by an exclusive representative. The petition shall be filed with the appropriate regional office; be signed by an authorized agent of the employee organization; and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit. 
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Section 61020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(l), Government Code.
HISTORY

1. New article 3 (sections 61210-61270) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61220. Posting Notice of Petition for Certification.
Note     •     History

(a) The employer shall post a notice of the petition, as provided by the Board, as soon as possible but in no event later than 10 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed. 
(c) The notice shall remain posted for 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61240. Determination of Proof of Support.
Note     •     History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the final determination as to sufficiency or lack thereof regarding the proof of support. The Board's determination shall also indicate whether proof of majority support has been established. The petition shall be dismissed if the Board determines that the petition lacks at least 30 percent proof of support. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (c) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
§61250. Employer Response Regarding Petition for Certification.
Note     •     History

(a) Within 15 days following service of a Board determination finding sufficient proof submitted in support of the petition, the employer shall file a written response with the regional office. 
(b) Service and proof of service of the response pursuant to Section 32140 are required. 
(c) The employer shall use the following format for its response regarding a petition for certification: 
(1) Name, address and telephone number of the employer and name, address and telephone number of the employer's agent to be contacted; 
(2) Attach a copy of the petition for certification; 
(3) Employer position regarding the petition for certification: 
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61260. Amendment of Petition for Certification.
Note     •     History

(a) A petition for certification may be amended to correct technical errors or to add or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing. The amendment shall be filed with the regional office and provide the information required in Section 61210(a). Service and proof of service of the amendment pursuant to Section 32140 are required. 
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following: 
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment. 
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses set forth in Section 61250. 
(c) Amendments to correct technical errors or to add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the Board agent. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61270. Board Investigation.
Note     •     History

Whenever a petition for certification is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
Article 4. Petition for Amendment of Certification
§61300. Petition.
Note     •     History

(a) An employee organization may file with the regional office a petition to amend its certification or recognition in the event of a merger, amalgamation, affiliation or transfer of jurisdiction, or in the event of a change in the name or jurisdiction of the employer. 
(b) The petition shall be in writing, signed by an authorized agent of the employee organization and shall contain the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) A brief description and the title of the established unit; 
(4) A clear and concise statement of the nature of the merger, amalgamation, affiliation or other change in jurisdiction and the new name of the employee organization and/or employer. 
(c) Service and proof of service of the petition pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(m), Government Code. 
HISTORY

1. New article 4 (sections 61300-61320) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61310. Employer Response.
Note     •     History

The employer may file a responding statement to the petition filed pursuant to Section 61300. The statement shall be filed with the regional office within 15 days following the date of service of the petition. Service and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(m), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61320. Board Investigation.
Note     •     History

(a) Upon receipt of a petition filed pursuant to Section 61300, the Board shall conduct such inquiries and investigations or hold such hearings as deemed necessary and/or conduct a representation election in order to decide the questions raised by the petition. 
(b) The Board may dismiss the petition if the petitioner has no standing to petition for the action requested or if the petition is improperly filed. The Board may deny a petition based on the investigation conducted pursuant to subsection (a) above. 
(c) Upon approval of a petition, the Board shall issue a certification reflecting the new identity of the exclusive representative and/or employer. Such certification shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 61200 of these regulations. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(h) and (m), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
Article 5. Decertification Petition
§61350. Petition.
Note     •     History

(a) A petition for an election to decertify an existing exclusive representative in an established unit may be filed by a group of employees within the unit or an employee organization. The petition shall be filed with the regional office and include the following information: 
(1) The name, address and telephone number of the petitioning employee organization, if any, and/or the name, address and telephone number of the agent to be contacted on behalf of a petitioning employee organization or group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The date on which the exclusive representative was recognized or certified; 
(7) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(b) The petition shall be accompanied by proof that at least 30 percent of the employees in the established unit either: 
(1) No longer desire to be represented by the incumbent exclusive representative; or 
(2) Wish to be represented by another employee organization. Proof of support is defined in Section 61020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(c) and (l), Government Code. 
HISTORY

1. New article 5 (sections 61350-61380) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61360. Posting Notice of Decertification Petition.
Note     •     History

(a) The employer shall post a notice of the decertification petition, as provided by the Board as soon as possible but in no event later than 15 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the established unit are employed. 
(c) The notice shall remain posted for a minimum of 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(c) and 3541.3(l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Change without regulatory effect amending subsection (a) filed 3-14-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 11).
§61370. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of the date the decertification petition is filed with the regional office, the employer shall file with the regional office a description of the established unit and an alphabetical list, including job titles or classifications, of employees in the established unit as of the last date of the payroll period immediately preceding the date the decertification petition was filed, unless otherwise directed by the Board. 
(b) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(c) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61380. Board Investigation/Election.
Note     •     History

(a) Upon receipt of a petition for decertification, the Board shall investigate and, where appropriate, conduct a hearing and/or an election or take such other action as necessary. 
(b) The petition shall be dismissed if the existing exclusive representative files a valid disclaimer of interest in representing employees in the unit within 20 days of the date the petition is filed with the regional office. 
(c) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of the employees covered by a petition, unless the petition is filed during the window period defined in Section 61010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the unit. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(c), (h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (c) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
Article 6. Severance Petition
§61400. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a petition for certification in accordance with the provisions of Article 3 of this Chapter. Such a petition shall include the following information: 
(1) The name, address and telephone number of the petitioning employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(6) The approximate number of employees in the proposed appropriate unit; 
(7) The date on which the exclusive representative was recognized or certified; 
(8) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit. 
(b) Whenever a memorandum of understanding exists, a severance petition or an amendment to a severance petition must be filed during the “window period” defined by Section 61010. 
(c) Concurrent with the filing of a severance petition and any amendment to a severance petition, the employee organization shall serve a copy of the petition or amendment, excluding any proof of support, on the employer and the exclusive representative. Proof of service pursuant to Section 32140 is required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(a), (c), (e) and (l), Government Code. 
HISTORY

1. New article 6 (sections 61400-61420) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (a) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61410. Response to Severance Petition.
Note     •     History

(a) The public agency and the exclusive representative of the established unit may file responding statements supporting or opposing the severance petition. Such response shall be filed with the regional office within 20 days following the date of service of the severance petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) A copy of the severance petition; 
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted; 
(3) A statement confirming or refuting the information contained in the severance petition regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current memorandum of understanding covering employees in the established unit; and, 
(4) A concise statement setting forth the basis for support of or opposition to the unit proposed by the petition. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(a), (e) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61420. Board Investigation.
Note     •     History

(a) Whenever a severance petition is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
(b) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of any employees covered by a petition, unless the petition is filed during the window period defined in Section 61010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof.
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3507, 3507.1, 3509 and 3541.3(a), (e), (h) and (l), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (b) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
Article 7. Petition for Unit Modification
§61450. Petition.
Note     •     History

Absent agreement of the parties to modify a unit, an exclusive representative, an employer, or both must file a petition for unit modification in accordance with this section. Parties who wish to obtain Board certification of a unit modification may file a petition in accordance with the provisions of this section. 
(a) An exclusive representative may file with the regional office a petition for modification of its unit(s): 
(1) To add to the unit unrepresented classifications or positions; 
(2) To divide the existing unit into two or more appropriate units; 
(3) To consolidate two or more of its established units into one appropriate unit. 
(b) An exclusive representative, an employer, or both jointly may file with the regional office a petition for unit modification: 
(1) To delete classifications or positions which by virtue of change in circumstances are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by MMBA or otherwise prohibited by statute or local rule from inclusion in the unit; 
(2) To make technical changes to clarify or update the unit description; 
(3) To resolve a dispute as to unit placement or designation of a new classification or position; 
(4) To delete classifications or positions not subject to (1) above which are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by MMBA or otherwise prohibited by statute or local rule from inclusion in the unit, provided that: 
(A) The petition is filed jointly by the employer and the exclusive representative, or 
(B) There is not in effect a lawful written agreement or memorandum of understanding, or 
(C) The petition is filed during the “window period” of a lawful memorandum of understanding as defined in these regulations in Section 61010. 
(c) All affected exclusive representatives may jointly file with the regional office a petition to transfer classifications or positions from one represented established unit to another. 
(d) The petition shall be signed by an authorized agent of each petitioning party and include the following information: 
(1) The name, address and telephone number of the exclusive representative(s) of the unit(s) affected by the petition; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title(s) of the established unit(s); 
(4) The approximate number of employees in the established unit; 
(5) The approximate number of employees covered by the petition; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit; 
(7) A description of the modification(s) sought by the petition; 
(8) The name and address of any other employee organization known to have an interest in representing employees covered by the petition; 
(9) A statement of the reasons for the modification(s). 
(e)(1) If the petition requests the addition of classifications or positions to an established unit, and the proposed addition would increase the size of the established unit by ten percent or more, the Board shall require proof of majority support of persons employed in the classifications or positions to be added.
(2) If the petition requests the addition of classifications or positions to an established unit and the classifications or positions are also included in a proposed appropriate unit in a pending request for recognition or petition for certification, the Board shall require proof of at least thirty percent support of persons employed in the classifications or positions to be added.
(3) Proof of support is defined in Section 61020 of these regulations.
(f) A copy of a petition filed solely by an exclusive representative or an employer shall be concurrently served on the other party, and on any additional interested party. Proof of service pursuant to Section 32140 is required. Proof of support, if required, shall be filed only with the regional office. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(e) and (g), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(a) and (e), Government Code. 
HISTORY

1. New article 7 (sections 61450-61480) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (e)(1) and new subsections (e)(2)-(3) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
4. Amendment of subsection (f) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§61460. Response to Petition.
Note     •     History

(a) Unless otherwise notified by the Board, a party or interested party may file a response to a petition filed solely by an exclusive representative or an employer. Such response shall be filed with the regional office within 20 days following the date of service of the petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) The name, address and telephone number of the petitioner(s); 
(2) The name, address and telephone number of the respondent and the name, address and telephone number of the agent to be contacted; 
(3) A statement confirming or refuting information contained in the petition regarding the size and description of the established unit(s), the date(s) of recognition or certification, the approximate number of employees involved in the modification request and the identity of any other employee organization known to claim to represent affected employees; 
(4) A concise statement setting forth the reasons for support of or opposition to the unit modification proposed by the petitioner(s). 
NOTE

Authority cited: Sections 3509(a) and 3541.3(e) and (g), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(a) and (e), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61470. Board Determination Regarding Proof of Support.
Note     •     History

(a) If proof of support has been filed pursuant to section 61450(e)(1) or (2), the employer shall, within 20 days of the date the support was filed, file with the regional office an alphabetical list, including job titles or classifications, of all employees proposed to be added to the unit as of the last date of the payroll period immediately preceding the date the petition was filed with PERB, unless otherwise directed by the Board. 
(b) The Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency of the proof of support. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(e) and (g), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(a) and (e), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (a) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§61480. Disposition of Petitions.
Note     •     History

(a) Upon receipt of a petition for unit modification, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary in order to decide the questions raised by the petition and to ensure full compliance with the provisions of the law. 
(b) The Board shall dismiss a petition if (1) it is found to be improperly or not timely filed; or, (2) if proof of support submitted falls short of the required level of support; or, (3) if a representation election result has been certified within the 12 months immediately preceding the date of filing of the petition which covers any employees proposed to be added to the unit; or, (4) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof.
(c) Board Order of Unit Modification. 
(1) The Board shall issue an order of unit modification whenever the disposition of a petition filed under this Article results in the modification of a unit. 
(2) The order shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 61200. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(e) and (g), Government Code. Reference: Sections 3507, 3507.1, 3507.3, 3507.5, 3508, 3509 and 3541.3(a) and (e), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (b) filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
4. Amendment of subsection (b) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
5. Amendment of subsection (b) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
Article 8. Rescission of Agency Shop Agreement or Provision
§61600. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an existing agency shop agreement or provision pursuant to Government Code Section 3502.5(d). 
(b) The petition shall be signed by an authorized representative of the group of employees and shall include the following information: 
(1) The name, address and telephone number of the agent to be contacted on behalf of a petitioning group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing agency shop provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 61020(b), (c), (d)(3), (e) and (f). 
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5(d), 3507, 3509 and 3541.3(c), Government Code. 
HISTORY

1. New article 8 (sections 61600-61630) and section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61610. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an agency shop agreement or provision, the public agency shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5(d), 3507, 3509 and 3541.3(c), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
§61620. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 61600, a rescission election among the employees in the established unit shall be conducted under procedures established by the Board and in accordance with election procedures described in these regulations. 
(b) The agency shop agreement or provision shall be rescinded if a majority of the employees in the negotiating unit covered by the provision vote to rescind the agreement. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5(d), 3507, 3509 and 3541.3(c), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
3. Amendment of subsection (a) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§61630. Bar to Rescission.
Note     •     History

The Board shall dismiss any petition to rescind the existing agency shop agreement or provision if the results of a prior rescission election concerning the agreement or provision in the same unit were certified during the term of the same memorandum of understanding. 
NOTE

Authority cited: Sections 3509(a) and 3541.3(g) and (n), Government Code. Reference: Sections 3502.5(d), 3507, 3509 and 3541.3(c), Government Code. 
HISTORY

1. New section filed 6-11-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-11-2001 order transmitted to OAL 10-18-2001 and filed 12-4-2001 (Register 2001, No. 49).
Chapter 6. Transit Employer-Employee Relations Act
Subchapter 1. Representation Procedures
Article 1. General Provisions
§71010. Parties.
Note     •     History

“Parties” means the transit district employer, the employee organization which is the exclusive representative of any employee covered by a request, intervention or petition for certification, or any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending request, intervention, or petition for certification. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99560.1, 99564, 99564.1, 99564.2, 99564.3 and 99566.1, Public Utilities Code. 
HISTORY

1. New chapter 6 (subchapters 1-2, sections 71010-71740) subchapter 1 (articles 1-7, sections 71010-71680), article 1 (sections 71010-71027) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71026. Window Period.
Note     •     History

“Window period” means the 31-day period established pursuant to Public Utilities Code Sections 99564.1(c) and 99564.4(b)(1), which is not more than 120 days and not less than 90 days prior to the expiration date of a memorandum of understanding negotiated by the transit district employer and the exclusive representative. The memorandum of understanding expiration date means the last effective date of the memorandum. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99564.1(c) and 99564.4(b)(1), Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
3. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§71027. List of Transit District Employee Mailing Addresses.
Note     •     History

(a) Except as prohibited by law, the transit district employer shall release to an exclusive representative a mailing list of home addresses of transit district employees it represents pursuant to a written request by the exclusive representative. The mechanics of such release, including but not limited to (1) timing, frequency, and manner of disclosure, (2) maintenance of the mailing list, and (3) cost of production shall be subject to the collective bargaining process. 
(b) Except as prohibited by law, the transit district employer may, upon request, release a mailing list of home addresses of its unrepresented employees to an employee organization. The mechanics of such release, including but not limited to (l) timing, frequency, and manner of disclosure, (2) maintenance of the mailing list, and (3) cost of production shall be determined by the transit district employer. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99563, 99563.2, 99563.4 and 99566.1(f), Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 2. Request for Recognition and Intervention
§71030. Request for Recognition.
Note     •     History

(a) A request for recognition by an employee organization seeking to become the exclusive representative of an appropriate unit shall be filed with the employer. A copy of the request shall be filed concurrently with the regional office. The request shall be signed by an authorized agent of the employee organization and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit. 
(b) Proof of majority support in the unit claimed to be appropriate shall be filed with the regional office or with a mutually agreed upon third party concurrent with the filing of the request for recognition. Proof of support is defined in Chapter 1, Section 32700 of these regulations. 
(c) Concurrent with the filing of the request, the employee organization shall serve a copy of the request, excluding the proof of majority support, on the parties. Proof of service pursuant to Section 32140 is required. 
(d) A petition to become the exclusive representative of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative shall be filed pursuant to either Article 2 or Article 3 and in accordance with the provisions of Article 7 (commencing with Section 71680). A petition to become the exclusive representative of all of the employees in an established unit represented by an incumbent exclusive representative shall be filed pursuant to Chapter 1, Subchapter 6, Article 4 (commencing with Section 32770) of these regulations. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1, 99564.2 and 99564.3, Public Utilities Code. 
HISTORY

1. New article 2 (sections 71030-71095) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71035. Posting Notice of Request for Recognition.
Note     •     History

(a) The employer shall post a notice of the request for recognition as soon as possible but in no event later than 10 days following receipt of the request. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed. 
(c) The notice shall remain posted for 15 workdays. 
(d) The notice shall include a copy of the request for recognition and shall also include the PERB case number, the date the request was received, the date the notice is posted, the final date for posting, the final date for intervention on the request, and the signature of the employer's authorized agent. 
(e) The employer shall serve a copy of the notice on the regional office and the parties concurrent with the posting of the notice. Proof of service pursuant to Section 32140 is required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k) and 99564, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71040. Intervention.
Note     •     History

(a) Except as provided in Section 71680(c), an intervention by an employee organization shall be filed with the employer within 15 workdays following the posting of a notice of a request for recognition. A copy of the intervention shall be filed concurrently with the regional office. The intervention shall be signed by an authorized agent of the employee organization, and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit. 
(b) Proof of at least 30 percent or at least 10 percent support of the employees in the unit claimed to be appropriate by the intervenor shall be filed with the regional office or with a mutually agreed upon third party concurrent with the filing of the intervention. Proof of support is defined in Chapter 1, Section 32700 of these regulations. 
(1) If the intervention is evidenced by at least 30 percent support, a question of representation shall be deemed to exist. 
(2) If the intervention is evidenced by at least 10 percent support, the Board shall conduct such inquiries and investigations or hold such hearings as it shall deem necessary in order to decide the questions raised by the intervention. The Board shall notify all parties in writing of any determination made regarding such an intervention. 
(c) Concurrent with the filing of the intervention, the employee organization shall serve a copy of the intervention, excluding the proof of support, on the parties. Proof of service pursuant to Section 32140 is required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564 and 99564.2, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71050. Board Determination Regarding Proof of Support -- Request for Recognition, Intervention.
Note     •     History

(a) Within 20 days of the date of receipt of the request or intervention, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the request or intervention was filed with the employer, unless otherwise directed by the Board. 
(b) If, after initial determination, the proof of support is insufficient the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71055. Determination Regarding Proof of Support by Third Party -- Request for Recognition, Intervention.
Note     •     History

(a) An employee organization and an employer may mutually agree that the proof submitted in support of a request for recognition or intervention be filed with a third party rather than the Public Employment Relations Board. Such agreement must be reached prior to the filing of the request or intervention. 
(b) Within 20 days of receipt of a request or intervention, the employer shall file with the mutually agreed upon third party an alphabetical list, including job titles and classification codes, of employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the request or intervention was filed with the employer. 
(c) The mutually agreed upon third party shall complete the review of the proof of support and issue to the parties a written determination as to its sufficiency or lack thereof within 15 days of receipt of the list of employees from the employer. 
(d) The third party shall concurrently serve a copy of the proof of support determination, accompanied by the proof of support submitted by the requester or intervenor, on the regional office. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, and 99564.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71060. Withdrawal of Request or Intervention.
Note     •     History

Any request for recognition or intervention may be withdrawn by an authorized representative of the employee organization that filed it. Such withdrawal may be filed with the employer or the board. Service and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1 and 99564.2, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71070. Amendment of Request or Intervention.
Note     •     History

(a) A request for recognition or intervention may be amended to correct technical errors or to delete job classifications from the proposed unit at any time prior to the issuance of the notice of representation hearing, or, where no hearing has been held, issuance of the notice of intent to conduct an election. The amendment shall be filed with the employer and shall include the information described in Sections 71030(a) and 71040(a). A copy shall be concurrently served on each party and the regional office. Proof of service pursuant to Section 32140 is required. No posting shall be required. 
(b) Amendments to add job classifications or positions to a proposed unit shall be subject to the following: 
(1) Except as provided in Section 71680(c), a request for recognition or intervention may be amended to add new job classifications to a proposed unit at any time prior to the issuance of a notice of representation hearing, or if no hearing is held, the issuance of a notice of intent to conduct election. 
(2) The amendment shall be filed with the employer. The employee organization shall concurrently serve a copy of the amendment on each party and the regional office. Proof of service pursuant to Section 32140 is required. Additional proof of support, if needed to maintain standing as a requester or intervenor, shall be concurrently filed with the regional office. 
(3) The employer shall post a notice of any amended request for recognition as soon as possible but in no event later than 10 days following receipt of the amendment. The notice shall conform to the requirements for posting an original request for recognition as set forth in Section 71035, and shall remain posted for 15 workdays, during which time interventions may be filed. 
(4) An employer response to the amended request or intervention shall be filed with the regional office within 15 days following service of the Board's determination regarding the adequacy of proof of support, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses as set forth in Section 71080. 
(c) Amendments to correct technical errors, add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the hearing officer. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1 and 99564.2, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71080. Employer Response.
Note     •     History

(a) Within 15 days following the service of the determination of adequacy of proof submitted in support of the request for recognition and any interventions, the employer shall file a written response with the regional office. 
(b) Service and proof of service of the response pursuant to section 32140 are required. 
(c) The employer, if it has granted voluntary recognition pursuant to Public Utilities Code sections 99564 and 99564.1, shall include the following information in its response: 
(1) A statement that the employer has voluntarily recognized (organization) as the exclusive representative for an appropriate unit of employees described below for purposes of meeting and conferring with the employer; 
(2) Name, address and telephone number of the employer; 
(3) Name, address and telephone number of the employee organization; 
(4) A description of the grouping of employment classes to be included in the claimed unit. 
(5) The number of employees in the unit recognized; 
(6) The date of recognition. 
(d) The employer, if it has not granted voluntary recognition, shall provide the following information: 
(1) Name, address and telephone number of the employer, and name, address and telephone number of the employer agent to be contacted; 
(2) Reasons for Denial of Recognition: 
(A) Does the employer reasonably doubt the appropriateness of the proposed unit? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Was the request timely and appropriately filed? If not, fully explain any deficiencies. 
(C) Is the employer unable to grant recognition because some or all of the employees in question are part of a negotiating unit that is already represented by an exclusive representative?
(D) Were any interventions filed within the 15 workday posting period? Attach a copy of each intervention. For each intervention, state: 
1. Does the employer doubt the appropriateness of the unit proposed by the intervenor? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
2. Was the intervention timely and appropriately filed? If not, fully explain any deficiencies. 
(E) If no interventions have been filed and no unit dispute exists, but the employer reasonably doubts that the employee organization has majority support, the employer shall set forth the reasons for its doubt of the majority support and request PERB to conduct a representation election. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71090. Employee Organization Petition for Board Investigation.
Note     •     History

(a) Not later than 30 days following the date an employer response is filed or is due, whichever occurs first, a petition for Board investigation may be filed by: 
(1) An employee organization alleging that it has filed a request for recognition, pursuant to Section 71030 which has been denied or not acted upon by the employer within 30 days after the filing of the request; or 
(2) An employee organization alleging that it has filed an intervention pursuant to Section 71040. 
(b) A petition for Board investigation may request the Board to decide the question of whether employees have selected or wish to select an exclusive representative or to determine the appropriateness of a unit. 
(c) The petition shall be filed with the regional office. Service and proof of service of the petition pursuant to Section 32140 are required. 
(d) The petition shall contain the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the employee organization agent to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) A statement of the issues in dispute; 
(4) A statement indicating what specific action(s) is requested of the Board. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71095. Failure to File Petition for Board Investigation.
Note     •     History

If no petition for Board investigation is timely filed pursuant to Section 71080 or 71090, the request for recognition and any interventions shall be deemed invalid and shall not bar a subsequent request for recognition. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564, 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 3. Petition for Certification
§71100. Petition for Certification.
Note     •     History

(a) Subject to the limitations expressed in Section 71140(b), a petition for certification pursuant to Public Utilities Code Section 99564.2(c) by an employee organization wishing to be certified by the Board as the exclusive representative in an appropriate unit shall be filed with the regional office. The petition shall be signed by an authorized agent of the employee organization, and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit.
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Chapter 1, Section 32700 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k) and 99564.2, Public Utilities Code. 
HISTORY

1. New article 3 (sections 71100-71130) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71110. Determination of Proof of Support.
Note     •     History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination, the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71115. Withdrawal of Petition for Certification.
Note     •     History

Any petition for certification may be withdrawn by an authorized representative of the employee organization that filed it at any time prior to a final decision by the Board. Such withdrawal shall be filed with the regional office. Service and proof of service of the withdrawal pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71120. Amendment of Petition for Certification.
Note     •     History

(a) A petition for certification may be amended to correct technical errors or to add (subject to the limitations set forth in Section 71680(c)) or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing, or notice of intent to conduct election. The amendment shall be filed with the regional office and include the information described in Section 71100(a). Service and proof of service of the amendment pursuant to Section 32140 are required. 
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following: 
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment. 
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses as set forth in Section 71130. 
(c) Amendments to correct technical errors, add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(g), (k), 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71130. Employer Response Regarding Petition for Certification.
Note     •     History

(a) Within 15 days following service of the Board's determination regarding the adequacy of proof submitted in support of the petition, the employer shall file a written response with the regional office. 
(b) Service and proof of service of the response pursuant to Section 32140 are required. 
(c) The employer shall include the following information in its response regarding a petition for certification: 
(1) Name, address and telephone number of the employer and name, address and telephone number of the employer's agent to be contacted; 
(2) Employer position regarding the petition for certification: 
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute?
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(k), 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 4. Board Investigation
§71140. Board Investigation.
Note     •     History

(a) Whenever a petition regarding a representation matter is filed with the Board pursuant to Public Utilities Code section 99564.1 or 99564.2, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
(b) A petition shall be dismissed in part or in whole whenever the Board determines that: 
(1) The petitioner has no standing to petition for the action requested; or 
(2) There is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees included in the unit described in the request for recognition, unless the request for recognition is filed not more than 120 days and not less than 90 days prior to the expiration date of such memorandum of understanding, provided that if such memorandum of understanding has been in effect for three years or more, there shall be no such restriction as to the time of filing the request. A petition filed not more than 120 days and not less than 90 days prior to the expiration date of a memorandum of understanding must actually be received in the manner set out in Section 32135 during the “window period” as defined by Section 71025; or 
(3) The employer has, within the previous 12 months, lawfully recognized an employee organization other than the petitioner as the exclusive representative of any employees included in the unit described in the petition; or 
(4) A valid election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition; or 
(5) The petition for Board investigation was filed either after a notice of hearing or, where no hearing has been held, notice of intent to conduct election covering any of the employees in the unit proposed by the petitioner has been issued by the Board. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New article 4 (section 71140) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 5. Representation Hearings
§71200. Informal Conference.
Note     •     History

The Board may conduct an informal conference for the purposes of clarifying the issues and exploring settlement of the case. No record shall be made at such a conference. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New article 5 (sections 71200-71235) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71210. Notice of Representation Hearing.
Note     •     History

Upon determining that a hearing is necessary, the Board shall serve a notice on all interested parties pursuant to Section 71020. The notice shall state the date, time and place of the hearing. The notice shall also include information regarding how an employee organization may become a party to the hearing. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71225. Conduct of Hearing.
Note     •     History

Hearings shall be conducted pursuant to procedures set forth in Chapter 1, Subchapter 3 (commencing with Section 32165) of these regulations. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71230. Withdrawal of a Petition.
Note     •     History

Any petition requesting action to resolve a representation dispute may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board pursuant to a voluntary agreement between or among the parties regarding an appropriate unit. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71235. Notice of Decision.
Note     •     History

The Board shall serve on all interested parties pursuant to Section 71020 a notice of decision with either the decision of the Board itself or a final hearing officer decision. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (g), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 6. Representation Elections
§71300. Notice of Intent to Conduct Election.
Note     •     History

Upon determination to conduct a representation election, other than an election directed by a Board decision, the Board shall issue a notice of intent to conduct election to all interested parties pursuant to Section 71020. A notice of decision pursuant to Section 71235 which orders a representation election shall serve as a notice of intent to conduct election. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New article 6 (sections 71300-71340) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71310. Intervention to Appear on Ballot.
Note     •     History

(a) Within 15 workdays following issuance of a notice of intent to conduct election in the appropriate unit, any employee organization, whether or not a party to the unit hearing, may file an intervention to appear on ballot. The intervention shall be filed with the regional office and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the unit for which the intervention is filed. 
(b) The intervention shall be accompanied by proof of support of at least 10 percent of the employees in the appropriate unit. Proof of support is defined in Chapter 1, Section 32700 of these regulations. 
(c) Service of the intervention, exclusive of the proof of support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71320. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of issuance of a notice of intent to conduct election the employer shall file with the regional office an alphabetical list, including job titles or classifications of employees employed in the appropriate unit as of the last date of the payroll period immediately preceding the date of issuance of the notice of intent to conduct election, unless otherwise directed by the Board. 
(b) If, after initial determination, the proof of support is insufficient, the Board may allow up to 10 days to perfect the showing of support. 
(c) Upon completion of the review of the showing of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71330. Voluntary Recognition.
Note     •     History

If only one organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the employer may grant voluntary recognition and notify the Board to cancel the election. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(c), (k), 99564, 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71340. Conduct of Elections.
Note     •     History

All elections shall be conducted by the Board in accordance with election procedures described in Chapter 1, Subchapter 6, Article 2 of these regulations. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 7. Severance Petition
§71680. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a request for recognition in accordance with the provision of Article 2 (commencing with Section 71030) or by filing a petition for certification in accordance with the provisions of Article 3 (commencing with Section 71100). In the case of a request for recognition or intervention, all provisions of Article 2 and Article 4 of this Subchapter shall be applicable to a severance request except as provided in this Article 7. In the case of a petition for certification, all provisions of Article 3 and Article 4 of this Subchapter shall be applicable to a severance petition except as provided in this Article 7. 
(b) Whenever the conditions of Public Utilities Code Section 99564.1(c) or 99564.4(b)(1) exist, a severance petition, or any amendment to add classifications or positions to a severance petition, must be filed in the manner set out in Section 32135 during the “window period” as defined by Section 71026. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New article 7 (sections 71680-71685) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71685. Response to Severance Petition.
Note     •     History

(a) The employer and the exclusive representative of the established unit shall file a responding statement supporting or opposing the severance petition within 20 days following the date of service of the severance request. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(l) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted; 
(2) A statement regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current memorandum of understanding covering employees in the established unit: 
(3) A concise statement setting forth support of or opposition to the unit proposed by the petition. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Sections 99561(a), (c), (k), 99564.1, 99564.2 and 99564.4, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Subchapter 2. Fair Share Service Fee Provisions
Article 1. Rescission Petition
§71700. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an organizational security provision established pursuant to Public Utilities Code Section 99566.1. 
(b) The petition shall be signed by an authorized representative of the group of employees and shall include the following information: 
(1) The name, address and telephone number of the authorized representative to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) The name, address and telephone number of the exclusive representative; 
(4) A description of the bargaining unit covered by the organizational security provision; 
(5) The approximate number of employees in the unit. 
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing organizational security provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g), and must have been obtained within one year. 
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New subchapter 2 (articles 1-2, sections 71700-71740), article 1 (sections 71700-71720) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71710. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an organizational security provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71715. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article 1, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 71710, a rescission election among the employees in the established unit shall be conducted. 
(b) The election shall be conducted in accordance with election procedures described in these regulations. 
(c) The organizational security provision shall be rescinded if a majority of all the employees in the negotiating unit covered by the provision vote to rescind the provision. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71720. Bar to Rescission Petition.
Note     •     History

The Board shall dismiss any petition to rescind the existing organizational security provision if the results of a previous election concerning the organizational security provision in the same unit were certified by the Board during the term of the memorandum of understanding in effect at the time the petition was filed. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Article 2. Reinstatement Petition
§71725. Petition.
Note     •     History

(a) The recognized employee organization of an established unit may file with the regional office a petition to reinstate an organizational security provision that was rescinded by employee vote pursuant to Article 1 of this subchapter. 
(b) The petition shall be signed by an authorized representative of the employee organization and shall include the following information: 
(1) The name, address and telephone number of the exclusive representative, and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) A description of the bargaining unit covered by the organizational security provision; 
(4) The approximate number of employees in the unit. 
(c) Proof that at least 30 percent of the employees in the unit desire to reinstate the organizational security provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 32700(b), (c), (e)(3), (f) and (g). 
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New article 2 (sections 71725-71740) and section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71730. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to reinstate an organizational security provision, the employer shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71735. Employee Vote.
Note     •     History

(a) Provided the reinstatement petition is timely and properly filed pursuant to this Article 2, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 71725, an election among the employees in the established unit shall be conducted. 
(b) The election shall be conducted in accordance with election procedures described in these regulations. 
(c) The organizational security provision shall be reinstated if a majority of all the employees in the negotiating unit covered by the provision vote to reinstate the provision. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code. 
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
§71740. Bar to Reinstatement Petition.
Note     •     History

The Board shall dismiss any petition to reinstate an organizational security provision if the results of an election concerning the organizational security provision in the same unit were certified by the Board within the 12 months immediately preceding the filing of the petition. 
NOTE

Authority cited: Section 99561(f), Public Utilities Code. Reference: Section 99566.1, Public Utilities Code.
HISTORY

1. New section filed 2-2-2004 as an emergency; operative 2-2-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-2-2004 order transmitted to OAL 5-4-2004 and filed 6-8-2004 (Register 2004, No. 24).
Chapter 7. Trial Court Employment Protection and Governance Act
Article 1. General Provisions
§81000. Application of Regulations.
Note     •     History

Except as otherwise ordered pursuant to Chapter 1, the Board will conduct representation proceedings and/or agency fee rescission elections under the Trial Court Act in accordance with the applicable provisions of this Chapter only where a trial court has not adopted local rules in accordance with Government Code Section 71636, 71636.3 or 71637.1. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New chapter 7 (articles 1-8), article 1 (sections 81000-81090) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New chapter 7 (articles 1-8), article 1 (sections 81000-81090) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81005. Parties.
Note     •     History

“Parties” means the trial court, the employee organization that is the exclusive or majority representative of any employee covered by a petition, any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending petition, and/or any group of trial court employees which has filed a pending petition pursuant to Government Code Section 71632.5(b) or 71636. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81010. Window Period.
Note     •     History

“Window period” means the 29-day period which is less than 120 days but more than 90 days prior to the expiration date of a lawful memorandum of understanding negotiated by the public agency and the exclusive representative. Expiration date means the last effective date of the memorandum. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of Note, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§81020. Proof of Support.
Note     •     History

(a)(1) Proof of employee support for representation petitions, including decertification petitions, petitions for certification, requests for recognition, severance requests or petitions, and unit modification petitions, shall clearly demonstrate that the employee desires to be represented by the employee organization for the purpose of meeting and conferring on wages, hours and other terms and conditions of employment. 
(2) Proof of employee support for a decertification petition filed pursuant to section 81350(b)(1) shall clearly demonstrate that the employee no longer desires to be represented by the exclusive representative.
(3) Proof of employee support for a rescission petition filed pursuant to section 81600 shall clearly demonstrate that the employee desires a vote to rescind the existing organizational security arrangement.
(b) The proof of support shall indicate each employee's printed name, signature, job title or classification and the date on which each individual's signature was obtained. An undated signature or a signature dated more than one calendar year prior to the filing of the petition requiring employee support shall be invalid for the purpose of calculating proof of support. Any signature meeting the requirements of this section shall be considered valid even though the signatory has executed authorizations for more than one employee organization. 
(c) Any proof of support validly obtained within one year immediately prior to the date the petition or amendment requiring employee support is filed shall remain valid and may be used as proof of support to qualify for appearance on the ballot in an election, provided the employee's job classification is included in the unit in which the election is to be conducted. 
(d) Subject to subsections (a), (b) and (c) of this section, proof of support may consist of any one of the following original documents or a combination thereof: 
(1) Current dues deduction authorization forms; 
(2) Membership applications; 
(3) Authorization cards or petitions signed by employees. The purpose of the petition shall be clearly stated on each page thereof; 
(4) A notarized membership list, provided it is accompanied by the date of each member's signature on an enrollment form, membership application, or designation card or cards, supported by a declaration under penalty of perjury that the employee organization has on file the aforementioned documents which indicate the employee's desire to be represented by the employee organization. A sample of such signed forms shall accompany the list. 
(5) Other evidence as determined by the Board. 
(e) Documents submitted to the board as proof of employee support shall remain confidential and not be disclosed by the board to any party other than the petitioner, except to indicate whether the proof of support is sufficient. 
(f) Any party which contends that proof of employee support was obtained by fraud or coercion, or that the signatures on such support documents are not genuine, shall file with the regional office evidence in the form of declarations under penalty of perjury supporting such contention within 20 days after the filing of the petition which the proof of support accompanied. The Board shall refuse to consider any evidence not timely submitted, absent a showing of good cause for late submission. When prima facie evidence is submitted to the Board supporting a claim that proof of support was tainted by such misconduct, the Board shall conduct further investigations. If, as a result of such investigation, the Board determines that the proof of support is inadequate because of such misconduct, the petition shall be dismissed. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment designating and amending former subsection (a) as subsection (a)(1), new subsections (a)(2)-(a)(3) and amendment of subsection (e) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§81030. Withdrawal of a Petition.
Note     •     History

Any petition may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board. Service and proof of service of the withdrawal pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81040. Informal Conference.
Note     •     History

(a) A Board agent may conduct an informal conference to clarify the issues and explore settlement of the case. No record shall be made at such a conference. 
(b) A Board agent shall give reasonable notice of such conference to each party directed to attend. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81050. Notice of Hearing.
Note     •     History

If the Board determines that a hearing is necessary, the Board shall serve a notice of hearing on each party. The notice shall state the date, time and place of the hearing. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81055. Conduct of Hearing; Issuance of Proposed Decision.
Note     •     History

Hearings shall be conducted and proposed decisions shall be issued pursuant to procedures set forth in Chapter 1, Subchapter 3 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81060. Administrative Decision.
Note     •     History

Any determination rendered without a hearing shall be issued in accordance with Section 32350 and may be appealed pursuant to Section 32360 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81065. Elections in Consent Units.
Note     •     History

At any time prior to a final decision of the Board regarding an appropriate unit, the parties may mutually agree upon an appropriate unit and request the Board to conduct a consent election. The conduct of an election in a consent unit should not be interpreted to mean that the Board would find the unit in question to be an appropriate unit in a disputed case. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81070. Decisions of the Board Itself.
Note     •     History

Procedures before the Board itself shall be in accordance with Chapter 1, Subchapter 4, Articles 1 through 4 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81075. Notice of Decision.
Note     •     History

When the Board itself issues a decision or when a hearing officer decision becomes final, the Board shall serve the decision and a notice of decision on the parties. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81080. Conduct of Elections; Eligibility to Appear on Ballot.
Note     •     History

(a) If the Board determines that a Board-conducted election is necessary, the election shall be conducted in accordance with Article 2 of this Chapter. 
(b) Any employee organization which filed a valid petition or which became a party to a representation case may appear on the election ballot, provided that the organization has evidenced to the satisfaction of the Board at least 30 percent support in the appropriate unit. If an election is directed by a PERB decision, each eligible employee organization shall have 15 workdays from the date of service of the decision in which to demonstrate at least 30 percent support in the unit found to be appropriate by the Board. 
(c) The Board shall determine the sufficiency of the proof of support in accordance with the provisions of Section 81020 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81090. Recognition.
Note     •     History

If only one employee organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the trial court shall grant recognition. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 2. Elections
§81100. Authority to Conduct Elections.
Note     •     History

An election shall be conducted when the Board issues a decision directing an election or approves an agreement for a consent election pursuant to the provisions of this Chapter. The Board shall determine the date, time, place and manner of the election absent an approved agreement of the parties. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 2 (sections 81100-81200) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 81100-81200) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81105. Ballot.
Note     •     History

(a) All elections shall be conducted by secret ballot under the supervision of the Board. 
(b) Ballots shall be prepared under the supervision of the Board. The order of voting choices and the wording of each ballot entry shall be determined by the Board absent an approved agreement of the parties. 
(c) Except in the case of a runoff election, in which the ballot entries are determined pursuant to Section 81145, or an election conducted pursuant to either Article 4 or 7 of this Chapter, the ballot entry of “No Representation” shall appear on each ballot in a representation election. 
(d) At any time prior to issuance of the notice of election (pursuant to Section 81110), an employee organization may file a request with the regional office to have its name removed from the ballot. The request shall disclaim any interest in representing the employees in the described unit. Service and proof of service of the request pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81110. Directed Election Order/Consent Election Agreement; Notice of Election.
Note     •     History

(a) When the Board has determined that an election is required, the Board shall serve on the employer and the parties a Directed Election Order containing specific instructions regarding the conduct of the election. The Board may approve a Consent Election Agreement of the parties regarding the conduct of an election. 
(b) Thereafter, the Board shall serve a notice of election on the parties. The notice shall contain a sample ballot, a description of the voting unit, and information regarding the balloting process. Unless otherwise directed by the Board, the employer shall post such notice conspicuously on all employee bulletin boards in each facility of the employer in which members of the described unit are employed. 
(c) The Board shall supply the employer with sufficient copies of the notice for posting. The posting shall be accomplished by the date specified in the Consent Election Agreement or the Directed Election Order. The notice shall remain posted through the final day for casting ballots. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81115. List of Voters.
Note     •     History

(a) At a date established by the Board, the employer shall file with the regional office a list of names of all employees included in the voting unit as of the cutoff date for voter eligibility. Unless otherwise directed by the Board, the voter list for an on-site election shall be in alphabetical order by assigned polling site and shall include the job title or classification, work location and home address of each eligible voter. Unless otherwise directed by the Board, the voter list for a mailed ballot election shall be in alphabetical order and include the job title and home address of each eligible voter, and shall be accompanied by two sets of name and home address labels for each eligible voter. 
(b) A list of eligible voters which meets the requirements of subsection (a) above but which contains in lieu of the home address a mailing address for each eligible voter shall be concurrently served by the employer on each other party to the election. Proof of service shall be filed with the regional office. For purposes of this subsection, mailing address means the home address of each eligible voter, except in the case where the release of the home address of the employee is prohibited by law, or if the Board shall determine that the release of home addresses is likely to be harmful to the employees. 
(c) Any party which receives the mailing addresses of eligible voters pursuant to this section shall keep these addresses confidential and shall neither distribute them to any other organization or individual nor utilize them for any other purpose. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81120. Voter Eligibility.
Note     •     History

Unless otherwise directed by the Board, to be eligible to vote in an election employees must be employed in the voting unit as of the cutoff date for voter eligibility and still employed on the date they cast their ballots in the election. Employees who are ill, on vacation, on leave of absence or sabbatical, or temporarily laid off, and employees who are in the military service of the United States shall be eligible to vote. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81125. Observers.
Note     •     History

Each party shall be allowed to station an authorized observer selected from the employees of the employer at each polling site during an on-site election to assist in the conduct of the election and to challenge the eligibility of voters. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81130. Challenges.
Note     •     History

(a) In an on-site election, a Board agent or an authorized observer may challenge, for good cause, the eligibility of a voter. A person so challenged shall be permitted to cast a challenged ballot. 
(b) In a mailed ballot election, a Board agent or an authorized agent of any party to the election may challenge, for good cause, the eligibility of a voter. Such challenges shall be made prior to the tally of the ballots. 
(c) When sufficient in number to affect the outcome of the election, unresolved challenges shall be resolved by the Board. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81135. Tally of Ballots.
Note     •     History

(a) Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
(b) At the conclusion of the counting of ballots, the Board shall serve a tally of the ballots on each party. 
(c) Unless otherwise authorized by statute, a majority of the valid votes cast shall determine the outcome of the election. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81140. Resolution of Challenges.
Note     •     History

When the tally of ballots discloses that the challenged ballots are sufficient in number to affect the outcome of the election, the Board agent shall conduct an investigation and, where appropriate, conduct a hearing or take such other action as deemed necessary to determine the eligibility of the challenged voters. Any determination made by a Board agent pursuant to this Section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 2 or 3 of these regulations, as appropriate. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81145. Runoff Elections.
Note     •     History

In a representation election, the Board shall direct a runoff election when a valid election results in none of the choices receiving a majority of the valid votes cast. The ballot for the runoff election shall provide for a selection between the two ballot entries receiving the largest and second largest number of valid votes cast in the election. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81150. Objections.
Note     •     History

(a) Within 10 days following the service of the tally of ballots, any party to the election may file with the regional office objections to the conduct of the election. Any objections must be filed within the 10 day time period whether or not a runoff election is necessary or challenged ballots are sufficient in number to affect the results of the election. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections shall be entertained by the Board only on the following grounds: 
(1) The conduct complained of interfered with the employees' right to freely choose a representative, or 
(2) Serious irregularity in the conduct of the election. 
(d) The statement of the objections must contain specific facts which, if true, would establish that the election result should be set aside, and must also describe with specificity how the alleged facts constitute objectionable conduct within the meaning of subsection (c) above. 
(e) No party may allege as grounds for setting aside an election its own conduct or the conduct of its agents. 
(f) At the direction of the Board, facts alleged as supportive of the election conduct objected to shall be supported by declarations. Such declarations must be within the personal knowledge of the declarant, or must otherwise be admissible in a PERB election objections hearing. The declarations shall specify the details of each occurrence; identify the person(s) alleged to have engaged in the allegedly objectionable conduct; state their relationship to the parties; state where and when the allegedly objectionable conduct occurred; and give a detailed description of the allegedly objectionable conduct. All declarations shall state the date and place of execution and shall be signed by the declarant and certified by him or her to be true under penalty of perjury. 
(g) The Board agent shall dismiss objections that fail to satisfy the requirements of subsections (a) through (d). The objecting party may appeal the dismissal to the Board itself in accordance with Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81155. Powers and Duties of Board Agent Concerning Objections.
Note     •     History

Concerning objections, the Board agent has the power to: 
(a) Direct any party to submit evidence through declarations or documents; 
(b) Order the inspection of documents by Board agents or the parties; 
(c) Direct any party to submit an offer of proof; 
(d) Obtain declarations from witnesses based on personal knowledge; 
(e) Conduct investigatory conferences with the parties to explore and resolve factual or legal issues; 
(f) Dismiss any objections which, after investigation, do not warrant setting aside the election. Any such dismissal is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(g) Issue a written determination setting aside the election when, after investigation, it appears that such action is warranted, and that no material factual disputes exist. Such determination shall be in writing and served on the parties. Any such determination is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(h) Schedule a hearing when substantial and material factual disputes exist. Any hearing shall be limited to the issues set forth in the notice of hearing. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81160. Withdrawal of Objections.
Note     •     History

Any party may withdraw its objections to an election prior to a final decision by the Board. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81165. Hearings on Objections and Challenges.
Note     •     History

Objections to the conduct of an election which have not been dismissed pursuant to Section 81155(f) or unresolved challenged ballots sufficient in number to affect the outcome of the election may be resolved through the hearing procedures described in Chapter 1, Subchapter 3. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81170. Exception to Decision on Objections or Challenges.
Note     •     History

Exceptions to a Board agent's proposed decision on objections to the conduct of the election or challenged ballots may be taken in accordance with the procedures set forth in Chapter 1, Subchapter 4, Article 2 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81175. Revised Tally of Ballots.
Note     •     History

Should a ruling on challenged ballots direct that any such ballots be voided or opened and counted, the Board shall serve a revised tally of ballots on each party at the conclusion of the counting and/or voiding of such ballots. Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code.
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81180. Objections to Revised Tally of Ballots.
Note     •     History

(a) Within 10 days following the service of a revised tally of ballots, any party may file with the regional office objections to the revised tally. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections to a revised tally of ballots shall be entertained by the Board only on the grounds of serious irregularity in the conduct of the challenged ballot count or issuance of the revised tally. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81185. Certification of Results of Election or Certification of Exclusive Representative.
Note     •     History

Except in the case of elections conducted pursuant to either Article 4 or 7 of this Chapter, the Board shall certify the results of the election or issue a certification of an exclusive representative if the results of the election are conclusive and no timely objections are filed. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81190. Stay of Election.
Note     •     History

The Board may stay an election pending the resolution of an unfair practice charge relating to the voting unit upon an investigation and a finding that alleged unlawful conduct would so affect the election process as to prevent the employees from exercising free choice. Any determination to stay an election made by the Board pursuant to this section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81200. Bar to Conducting Election.
Note     •     History

The Board shall dismiss a petition requiring a representation election if it determines (a) there is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by a petition requiring an election, unless the petition is filed less than 120 days but more than 90 days prior to the expiration of such memorandum, provided that if a memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (b) that a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of section, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 3. Petition for Certification
§81210. Petition for Certification.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are not included in an established unit represented by an exclusive representative. The petition shall be filed with the appropriate regional office; be signed by an authorized agent of the employee organization; and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit. 
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Section 81020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 3 (sections 81210-81270) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 81210-81270) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81220. Posting Notice of Petition for Certification.
Note     •     History

(a) The employer shall post a notice of the petition, as provided by the Board, as soon as possible but in no event later than 10 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed. 
(c) The notice shall remain posted for 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81240. Determination of Proof of Support.
Note     •     History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the final determination as to sufficiency or lack thereof regarding the proof of support. The Board's determination shall also indicate whether proof of majority support has been established. The petition shall be dismissed if the Board determines that the petition lacks at least 30 percent proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81250. Employer Response Regarding Petition for Certification.
Note     •     History

(a) Within 15 days following service of a Board determination finding sufficient proof submitted in support of the petition, the employer shall file a written response with the regional office. 
(b) Service and proof of service of the response pursuant to Section 32140 are required. 
(c) The employer shall use the following format for its response regarding a petition for certification: 
(1) Name, address and telephone number of the employer and name, address and telephone number of the employer's agent to be contacted; 
(2) Attach a copy of the petition for certification; 
(3) Employer position regarding the petition for certification: 
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute? 
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81260. Amendment of Petition for Certification.
Note     •     History

(a) A petition for certification may be amended to correct technical errors or to add or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing. The amendment shall be filed with the regional office and provide the information required in Section 81210(a). Service and proof of service of the amendment pursuant to Section 32140 are required. 
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following: 
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment. 
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses set forth in Section 81250. 
(c) Amendments to correct technical errors or to add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the Board agent. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81270. Board Investigation.
Note     •     History

Whenever a petition for certification is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 4. Petition for Amendment of Certification
§81300. Petition.
Note     •     History

(a) An employee organization may file with the regional office a petition to amend its certification or recognition in the event of a merger, amalgamation, affiliation or transfer of jurisdiction, or in the event of a change in the name or jurisdiction of the employer. 
(b) The petition shall be in writing, signed by an authorized agent of the employee organization and shall contain the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) A brief description and the title of the established unit; 
(4) A clear and concise statement of the nature of the merger, amalgamation, affiliation or other change in jurisdiction and the new name of the employee organization and/or employer. 
(c) Service and proof of service of the petition pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 4 (sections 81300-81320) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 81300-81320) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81310. Employer Response.
Note     •     History

The employer may file a responding statement to the petition filed pursuant to Section 81300. The statement shall be filed with the regional office within 15 days following the date of service of the petition. Service and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81320. Board Investigation.
Note     •     History

(a) Upon receipt of a petition filed pursuant to Section 81300, the Board shall conduct such inquiries and investigations or hold such hearings as deemed necessary and/or conduct a representation election in order to decide the questions raised by the petition. 
(b) The Board may dismiss the petition if the petitioner has no standing to petition for the action requested or if the petition is improperly filed. The Board may deny a petition based on the investigation conducted pursuant to subsection (a) above. 
(c) Upon approval of a petition, the Board shall issue a certification reflecting the new identity of the exclusive representative and/or employer. Such certification shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 81200 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 5. Decertification Petition
§81350. Petition.
Note     •     History

(a) A petition for an election to decertify an existing exclusive representative in an established unit may be filed by a group of employees within the unit or an employee organization. The petition shall be filed with the regional office and include the following information: 
(1) The name, address and telephone number of the petitioning employee organization, if any, and/or the name, address and telephone number of the agent to be contacted on behalf of a petitioning employee organization or group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The date on which the exclusive representative was recognized or certified; 
(7) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(b) The petition shall be accompanied by proof that at least 30 percent of the employees in the established unit either: 
(1) No longer desire to be represented by the incumbent exclusive representative; or 
(2) Wish to be represented by another employee organization. 
Proof of support is defined in Section 81020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 5 (sections 81350-81380) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 81350-81380) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81360. Posting Notice of Decertification Petition.
Note     •     History

(a) The employer shall post a notice of the decertification petition, as provided by the Board. as soon as possible but in no event later than 15 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the established unit are employed. 
(c) The notice shall remain posted for a minimum of 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81370. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of the date the decertification petition is filed with the regional office, the employer shall file with the regional office a description of the established unit and an alphabetical list, including job titles or classifications, of employees in the established unit as of the last date of the payroll period immediately preceding the date the decertification petition was filed, unless otherwise directed by the Board. 
(b) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81380. Board Investigation/Election.
Note     •     History

(a) Upon receipt of a petition for decertification, the Board shall investigate and, where appropriate, conduct a hearing and/or an election or take such other action as necessary. 
(b) The petition shall be dismissed if the existing exclusive representative files a valid disclaimer of interest in representing employees in the unit within 20 days of the date the petition is filed with the regional office. 
(c) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of the employees covered by a petition, unless the petition is filed during the window period defined in Section 81010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the unit. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 6. Severance Petition
§81400. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a petition for certification in accordance with the provisions of Article 3 of this Chapter. Such a petition shall include the following information: 
(1) The name, address and telephone number of the petitioning employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(6) The approximate number of employees in the proposed appropriate unit; 
(7) The date on which the exclusive representative was recognized or certified; 
(8) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit. 
(b) Whenever a memorandum of understanding exists, a severance petition or an amendment to a severance petition must be filed during the “window period” defined by Section 81010. 
(c) Concurrent with the filing of a severance petition and any amendment to a severance petition, the employee organization shall serve a copy of the petition or amendment, excluding any proof of support, on the employer and the exclusive representative. Proof of service pursuant to Section 32140 is required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 6 (sections 81400-81420) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 81400-81420) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81410. Response to Severance Petition.
Note     •     History

(a) The public agency and the exclusive representative of the established unit may file responding statements supporting or opposing the severance petition. Such response shall be filed with the regional office within 20 days following the date of service of the severance petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) A copy of the severance petition; 
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted; 
(3) A statement confirming or refuting the information contained in the severance petition regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current memorandum of understanding covering employees in the established unit; and, 
(4) A concise statement setting forth the basis for support of or opposition to the unit proposed by the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81420. Board Investigation.
Note     •     History

(a) Whenever a severance petition is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
(b) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of any employees covered by a petition, unless the petition is filed during the window period defined in Section 81010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 7. Petition for Unit Modification
§81450. Petition.
Note     •     History

Absent agreement of the parties to modify a unit, an exclusive representative, an employer, or both must file a petition for unit modification in accordance with this section. Parties who wish to obtain Board certification of a unit modification may file a petition in accordance with the provisions of this section. 
(a) An exclusive representative may file with the regional office a petition for modification of its unit(s): 
(1) To add to the unit unrepresented classifications or positions; 
(2) To divide the existing unit into two or more appropriate units; 
(3) To consolidate two or more of its established units into one appropriate unit. 
(b) An exclusive representative, an employer, or both jointly may file with the regional office a petition for unit modification: 
(1) To delete classifications or positions which by virtue of change in circumstances are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by the Trial Court Act or otherwise prohibited by statute or local rule from inclusion in the unit; 
(2) To make technical changes to clarify or update the unit description; 
(3) To resolve a dispute as to unit placement or designation of a new classification or position; 
(4) To delete classifications or positions not subject to (1) above which are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by the Trial Court Act or otherwise prohibited by statute or local rule from inclusion in the unit, provided that: 
(A) The petition is filed jointly by the employer and the exclusive representative, or 
(B) There is not in effect a lawful written agreement or memorandum of understanding, or 
(C) The petition is filed during the “window period” of a lawful memorandum of understanding as defined in these regulations in Section 81010. 
(c) All affected exclusive representatives may jointly file with the regional office a petition to transfer classifications or positions from one represented established unit to another. 
(d) The petition shall be signed by an authorized agent of each petitioning party and include the following information: 
(1) The name, address and telephone number of the exclusive representative(s) of the unit(s) affected by the petition; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title(s) of the established unit(s); 
(4) The approximate number of employees in the established unit; 
(5) The approximate number of employees covered by the petition; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit; 
(7) A description of the modification(s) sought by the petition; 
(8) The name and address of any other employee organization known to have an interest in representing employees covered by the petition; 
(9) A statement of the reasons for the modification(s). 
(e)(1) If the petition requests the addition of classifications or positions to an established unit, and the proposed addition would increase the size of the established unit by ten percent or more, the Board shall require proof of majority support of persons employed in the classifications or positions to be added. 
(2) If the petition requests the addition of classifications or positions to an established unit and the classifications or positions are also included in a proposed appropriate unit in a pending request for recognition or petition for certification, the Board shall require proof of at least thirty percent support of persons employed in the classifications or positions to be added.
(3) Proof of support is defined in Section 81020 of these regulations. 
(f) A copy of a petition filed solely by an exclusive representative or an employer shall be concurrently served on the other party, and on any additional interested party. Proof of service pursuant to Section 32140 is required. Proof of support, if required, shall be filed only with the regional office. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New article 7 (sections 81450-81480) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 81450-81480) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (e)(1) and new subsections (e)(2)-(3) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
5. Amendment of subsection (f) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§81460. Response to Petition.
Note     •     History

(a) Unless otherwise notified by the Board, a party or interested party may file a response to a petition filed solely by an exclusive representative or an employer. Such response shall be filed with the regional office within 20 days following the date of service of the petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) The name, address and telephone number of the petitioner(s); 
(2) The name, address and telephone number of the respondent and the name, address and telephone number of the agent to be contacted; 
(3) A statement confirming or refuting information contained in the petition regarding the size and description of the established unit(s), the date(s) of recognition or certification, the approximate number of employees involved in the modification request and the identity of any other employee organization known to claim to represent affected employees; 
(4) A concise statement setting forth the reasons for support of or opposition to the unit modification proposed by the petitioner(s). 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81470. Board Determination Regarding Proof of Support.
Note     •     History

(a) If proof of support has been filed pursuant to section 81450(e)(1) or (2), the employer shall, within 20 days of the date the support was filed, file with the regional office an alphabetical list, including job titles or classifications, of all employees proposed to be added to the unit as of the last date of the payroll period immediately preceding the date the petition was filed with PERB, unless otherwise directed by the Board. 
(b) The Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency of the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (a) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§81480. Disposition of Petitions.
Note     •     History

(a) Upon receipt of a petition for unit modification, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary in order to decide the questions raised by the petition and to ensure full compliance with the provisions of the law. 
(b) The Board shall dismiss a petition if (1) it is found to be improperly or not timely filed; or, (2) if proof of support submitted falls short of the required level of support; or, (3) if a representation election result has been certified within the 12 months immediately preceding the date of filing of the petition which covers any employees proposed to be added to the unit; or, (4) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof. 
(c) Board Order of Unit Modification. 
(1) The Board shall issue an order of unit modification whenever the disposition of a petition filed under this Article results in the modification of a unit. 
(2) The order shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 81200. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71636, 71636.3, 71637, 71637.1 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (b) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
Article 8. Rescission of Agency Shop Agreement or Provision
§81600. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an existing agency shop agreement or provision pursuant to Government Code Section 71632.5(b). 
(b) The petition shall be signed by an authorized representative of the group of employees and shall include the following information: 
(1) The name, address and telephone number of the agent to be contacted on behalf of a petitioning group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing agency shop provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 81020(b), (c), (d)(3), (e) and (f). 
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636 and 71639.1, Government Code. 
HISTORY

1. New article 8 (sections 81600-81630) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 8 (sections 81600-81630) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81610. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an agency shop agreement or provision, the trial court shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81620. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article 8, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 81600, a rescission election among the employees in the established unit shall be conducted under procedures established by the Board and in accordance with election procedures described in these regulations. 
(b) The agency shop agreement or provision shall be rescinded if a majority of the employees in the negotiating unit covered by the provision vote to rescind the agreement. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, 71636 and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§81630. Bar to Rescission.
Note     •     History

The Board shall dismiss any petition to rescind the existing agency shop agreement or provision if the results of a prior rescission election concerning the agreement or provision in the same unit were certified during the term of the same memorandum of understanding. 
NOTE

Authority cited: Sections 3541.3(g) and 71639.1(b), Government Code. Reference: Sections 3541.3, 71632.5, and 71639.1, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Chapter 8. Trial Court Interpreter Employment and Labor Relations Act
Article 1. General Provisions
§91000. Application of Regulations.
Note     •     History

Except as otherwise ordered pursuant to Chapter 1, the Board will conduct representation proceedings and/or agency fee rescission elections under the Court Interpreter Act in accordance with the applicable provisions of this Chapter only where a regional committee has not adopted local rules in accordance with Government Code Section 71823. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New chapter 8  (articles 1-8), article 1 (sections 91000-91090) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New chapter 8  (articles 1-8), article 1 (sections 91000-91090) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91005. Parties.
Note     •     History

“Parties” means the trial court, regional committee, the employee organization that is the exclusive or majority representative of any employee covered by a petition, any employee organization known to have an interest in representing any employees as demonstrated by having filed a pending petition, and/or any group of trial court employees which has filed a pending petition pursuant to Government Code Section 71814(b) or 71823. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of section, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91010. Window Period.
Note     •     History

“Window period” means the 29-day period which is less than 120 days but more than 90 days prior to the expiration date of a lawful memorandum of understanding negotiated by the public agency and the exclusive representative. Expiration date means the last effective date of the memorandum. Notwithstanding the provisions of Section 32130, the date on which the memorandum of understanding expires shall not be counted for the purpose of computing the window period.
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of Note, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
§91020. Proof of Support.
Note     •     History

(a)(1) Proof of employee support for representation petitions, including decertification petitions, petitions for certification, requests for recognition, severance requests or petitions, and unit modification petitions, shall clearly demonstrate that the employee desires to be represented by the employee organization for the purpose of meeting and conferring on wages, hours and other terms and conditions of employment. 
(2) Proof of employee support for a decertification petition filed pursuant to section 91350(b)(1) shall clearly demonstrate that the employee no longer desires to be represented by the exclusive representative.
(3) Proof of employee support for a rescission petition filed pursuant to section 91600 shall clearly demonstrate that the employee desires a vote to rescind the existing organizational security arrangement.
(b) The proof of support shall indicate each employee's printed name, signature, job title or classification and the date on which each individual's signature was obtained. An undated signature or a signature dated more than one calendar year prior to the filing of the petition requiring employee support shall be invalid for the purpose of calculating proof of support. Any signature meeting the requirements of this section shall be considered valid even though the signatory has executed authorizations for more than one employee organization. 
(c) Any proof of support validly obtained within one year immediately prior to the date the petition or amendment requiring employee support is filed shall remain valid and may be used as proof of support to qualify for appearance on the ballot in an election, provided the employee's job classification is included in the unit in which the election is to be conducted. 
(d) Subject to subsections (a), (b) and (c) of this section, proof of support may consist of any one of the following original documents or a combination thereof: 
(1) Current dues deduction authorization forms; 
(2) Membership applications; 
(3) Authorization cards or petitions signed by employees. The purpose of the petition shall be clearly stated on each page thereof; 
(4) A notarized membership list, provided it is accompanied by the date of each member's signature on an enrollment form, membership application, or designation card or cards, supported by a declaration under penalty of perjury that the employee organization has on file the aforementioned documents which indicate the employee's desire to be represented by the employee organization. A sample of such signed forms shall accompany the list. 
(5) Other evidence as determined by the Board. 
(e) Documents submitted to the board as proof of employee support shall remain confidential and not be disclosed by the board to any party other than the petitioner, except to indicate whether the proof of support is sufficient. 
(f) Any party which contends that proof of employee support was obtained by fraud or coercion, or that the signatures on such support documents are not genuine, shall file with the regional office evidence in the form of declarations under penalty of perjury supporting such contention within 20 days after the filing of the petition which the proof of support accompanied. The Board shall refuse to consider any evidence not timely submitted, absent a showing of good cause for late submission. When prima facie evidence is submitted to the Board supporting a claim that proof of support was tainted by such misconduct, the Board shall conduct further investigations. If, as a result of such investigation, the Board determines that the proof of support is inadequate because of such misconduct, the petition shall be dismissed. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment designating and amending former subsection (a) as subsection (a)(1), new subsections (a)(2)-(a)(3) and amendment of subsection (e) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§91030. Withdrawal of a Petition.
Note     •     History

Any petition may be withdrawn by the petitioner in writing at any time prior to a final decision by the Board. Service and proof of service of the withdrawal pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91040. Informal Conference.
Note     •     History

(a) A Board agent may conduct an informal conference to clarify the issues and explore settlement of the case. No record shall be made at such a conference. 
(b) A Board agent shall give reasonable notice of such conference to each party directed to attend. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91050. Notice of Hearing.
Note     •     History

If the Board determines that a hearing is necessary, the Board shall serve a notice of hearing on each party. The notice shall state the date, time and place of the hearing. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91055. Conduct of Hearing; Issuance of Proposed Decision.
Note     •     History

Hearings shall be conducted and proposed decisions shall be issued pursuant to procedures set forth in Chapter 1, Subchapter 3 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91060. Administrative Decision.
Note     •     History

Any determination rendered without a hearing shall be issued in accordance with Section 32350 and may be appealed pursuant to Section 32360 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91065. Elections in Consent Units.
Note     •     History

At any time prior to a final decision of the Board regarding an appropriate unit, the parties may mutually agree upon an appropriate unit and request the Board to conduct a consent election. The conduct of an election in a consent unit should not be interpreted to mean that the Board would find the unit in question to be an appropriate unit in a disputed case. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91070. Decisions of the Board Itself.
Note     •     History

Procedures before the Board itself shall be in accordance with Chapter 1, Subchapter 4, Articles 1 through 4 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91075. Notice of Decision.
Note     •     History

When the Board itself issues a decision or when a hearing officer decision becomes final, the Board shall serve the decision and a notice of decision on the parties. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91080. Conduct of Elections; Eligibility to Appear on Ballot.
Note     •     History

(a) If the Board determines that a Board-conducted election is necessary, the election shall be conducted in accordance with Article 2 of this Chapter. 
(b) Any employee organization which filed a valid petition or which became a party to a representation case may appear on the election ballot, provided that the organization has evidenced to the satisfaction of the Board at least 30 percent support in the appropriate unit. If an election is directed by a PERB decision, each eligible employee organization shall have 15 workdays from the date of service of the decision in which to demonstrate at least 30 percent support in the unit found to be appropriate by the Board. 
(c) The Board shall determine the sufficiency of the proof of support in accordance with the provisions of Section 91020 of these Regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91090. Recognition.
Note     •     History

If only one employee organization qualifies to appear on the ballot and the organization has demonstrated proof of majority support in the appropriate unit, the regional committee shall grant recognition. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2005 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 2. Elections
§91100. Authority to Conduct Elections.
Note     •     History

An election shall be conducted when the Board issues a decision directing an election or approves an agreement for a consent election pursuant to the provisions of this Chapter. The Board shall determine the date, time, place and manner of the election absent an approved agreement of the parties. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New article 2 (sections 91100-91200) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 91100-91200) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91105. Ballot.
Note     •     History

(a) All elections shall be conducted by secret ballot under the supervision of the Board. 
(b) Ballots shall be prepared under the supervision of the Board. The order of voting choices and the wording of each ballot entry shall be determined by the Board absent an approved agreement of the parties. 
(c) Except in the case of a runoff election, in which the ballot entries are determined pursuant to Section 91145, or an election conducted pursuant to either Article 4 or 7 of this Chapter, the ballot entry of “No Representation” shall appear on each ballot in a representation election. 
(d) At any time prior to issuance of the notice of election (pursuant to Section 91110), an employee organization may file a request with the regional office to have its name removed from the ballot. The request shall disclaim any interest in representing the employees in the described unit. Service and proof of service of the request pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91110. Directed Election Order/Consent Election Agreement; Notice of Election.
Note     •     History

(a) When the Board has determined that an election is required, the Board shall serve on the employer and the parties a Directed Election Order containing specific instructions regarding the conduct of the election. The Board may approve a Consent Election Agreement of the parties regarding the conduct of an election. 
(b) Thereafter, the Board shall serve a notice of election on the parties. The notice shall contain a sample ballot, a description of the voting unit, and information regarding the balloting process. Unless otherwise directed by the Board, the employer shall post such notice conspicuously on all employee bulletin boards in each facility of the employer in which members of the described unit are employed. 
(c) The Board shall supply the employer with sufficient copies of the notice for posting. The posting shall be accomplished by the date specified in the Consent Election Agreement or the Directed Election Order. The notice shall remain posted through the final day for casting ballots. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91115. List of Voters.
Note     •     History

(a) At a date established by the Board, the employer shall file with the regional office a list of names of all employees included in the voting unit as of the cutoff date for voter eligibility. Unless otherwise directed by the Board, the voter list for an on-site election shall be in alphabetical order by assigned polling site and shall include the job title or classification, work location and home address of each eligible voter. Unless otherwise directed by the Board, the voter list for a mailed ballot election shall be in alphabetical order and include the job title and home address of each eligible voter, and shall be accompanied by two sets of name and home address labels for each eligible voter. 
(b) A list of eligible voters which meets the requirements of subsection (a) above but which contains in lieu of the home address a mailing address for each eligible voter shall be concurrently served by the employer on each other party to the election. Proof of service shall be filed with the regional office. For purposes of this subsection, mailing address means the home address of each eligible voter, except in the case where the release of the home address of the employee is prohibited by law, or if the Board shall determine that the release of home addresses is likely to be harmful to the employees. 
(c) Any party which receives the mailing addresses of eligible voters pursuant to this section shall keep these addresses confidential and shall neither distribute them to any other organization or individual nor utilize them for any other purpose. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91120. Voter Eligibility.
Note     •     History

Unless otherwise directed by the Board, to be eligible to vote in an election employees must be employed in the voting unit as of the cutoff date for voter eligibility and still employed on the date they cast their ballots in the election. Employees who are ill, on vacation, on leave of absence or sabbatical, or temporarily laid off, and employees who are in the military service of the United States shall be eligible to vote. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91125. Observers.
Note     •     History

Each party shall be allowed to station an authorized observer selected from the employees of the employer at each polling site during an on-site election to assist in the conduct of the election and to challenge the eligibility of voters. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91130. Challenges.
Note     •     History

(a) In an on-site election, a Board agent or an authorized observer may challenge, for good cause, the eligibility of a voter. A person so challenged shall be permitted to cast a challenged ballot. 
(b) In a mailed ballot election, a Board agent or an authorized agent of any party to the election may challenge, for good cause, the eligibility of a voter. Such challenges shall be made prior to the tally of the ballots. 
(c) When sufficient in number to affect the outcome of the election, unresolved challenges shall be resolved by the Board. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91135. Tally of Ballots.
Note     •     History

(a) Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
(b) At the conclusion of the counting of ballots, the Board shall serve a tally of the ballots on each party. 
(c) Unless otherwise authorized by statute, a majority of the valid votes cast shall determine the outcome of the election. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91140. Resolution of Challenges.
Note     •     History

When the tally of ballots discloses that the challenged ballots are sufficient in number to affect the outcome of the election, the Board agent shall conduct an investigation and, where appropriate, conduct a hearing or take such other action as deemed necessary to determine the eligibility of the challenged voters. Any determination made by a Board agent pursuant to this Section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 2 or 3 of these regulations, as appropriate. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91145. Runoff Elections.
Note     •     History

In a representation election, the Board shall direct a runoff election when a valid election results in none of the choices receiving a majority of the valid votes cast. The ballot for the runoff election shall provide for a selection between the two ballot entries receiving the largest and second largest number of valid votes cast in the election. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91150. Objections.
Note     •     History

(a) Within 10 days following the service of the tally of ballots, any party to the election may file with the regional office objections to the conduct of the election. Any objections must be filed within the 10 day time period whether or not a runoff election is necessary or challenged ballots are sufficient in number to affect the results of the election. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections shall be entertained by the Board only on the following grounds: 
(1) The conduct complained of interfered with the employees' right to freely choose a representative, or 
(2) Serious irregularity in the conduct of the election. 
(d) The statement of the objections must contain specific facts which, if true, would establish that the election result should be set aside, and must also describe with specificity how the alleged facts constitute objectionable conduct within the meaning of subsection (c) above. 
(e) No party may allege as grounds for setting aside an election its own conduct or the conduct of its agents. 
(f) At the direction of the Board, facts alleged as supportive of the election conduct objected to shall be supported by declarations. Such declarations must be within the personal knowledge of the declarant, or must otherwise be admissible in a PERB election objections hearing. The declarations shall specify the details of each occurrence; identify the person(s) alleged to have engaged in the allegedly objectionable conduct; state their relationship to the parties; state where and when the allegedly objectionable conduct occurred; and give a detailed description of the allegedly objectionable conduct. All declarations shall state the date and place of execution and shall be signed by the declarant and certified by him or her to be true under penalty of perjury. 
(g) The Board agent shall dismiss objections that fail to satisfy the requirements of subsections (a) through (d). The objecting party may appeal the dismissal to the Board itself in accordance with Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91155. Powers and Duties of Board Agent Concerning Objections.
Note     •     History

Concerning objections, the Board agent has the power to: 
(a) Direct any party to submit evidence through declarations or documents; 
(b) Order the inspection of documents by Board agents or the parties; 
(c) Direct any party to submit an offer of proof; 
(d) Obtain declarations from witnesses based on personal knowledge; 
(e) Conduct investigatory conferences with the parties to explore and resolve factual or legal issues; 
(f) Dismiss any objections which, after investigation, do not warrant setting aside the election. Any such dismissal is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(g) Issue a written determination setting aside the election when, after investigation, it appears that such action is warranted, and that no material factual disputes exist. Such determination shall be in writing and served on the parties. Any such determination is appealable to the Board itself pursuant to Chapter 1, Subchapter 4, Article 3 of these regulations. 
(h) Schedule a hearing when substantial and material factual disputes exist. Any hearing shall be limited to the issues set forth in the notice of hearing. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91160. Withdrawal of Objections.
Note     •     History

Any party may withdraw its objections to an election prior to a final decision by the Board. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91165. Hearings on Objections and Challenges.
Note     •     History

Objections to the conduct of an election which have not been dismissed pursuant to Section 91155(f) or unresolved challenged ballots sufficient in number to affect the outcome of the election may be resolved through the hearing procedures described in Chapter 1, Subchapter 3. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91170. Exception to Decision on Objections or Challenges.
Note     •     History

Exceptions to a Board agent's proposed decision on objections to the conduct of the election or challenged ballots may be taken in accordance with the procedures set forth in Chapter 1, Subchapter 4, Article 2 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91175. Revised Tally of Ballots.
Note     •     History

Should a ruling on challenged ballots direct that any such ballots be voided or opened and counted, the Board shall serve a revised tally of ballots on each party at the conclusion of the counting and/or voiding of such ballots. Each party shall be allowed to station an authorized agent at the ballot count to verify the tally of ballots. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91180. Objections to Revised Tally of Ballots.
Note     •     History

(a) Within 10 days following the service of a revised tally of ballots, any party may file with the regional office objections to the revised tally. 
(b) Service and proof of service of the objections pursuant to Section 32140 are required. 
(c) Objections to a revised tally of ballots shall be entertained by the Board only on the grounds of serious irregularity in the conduct of the challenged ballot count or issuance of the revised tally. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91185. Certification of Results of Election or Certification of Exclusive Representative.
Note     •     History

Except in the case of elections conducted pursuant to either Article 4 or 7 of this Chapter, the Board shall certify the results of the election or issue a certification of an exclusive representative if the results of the election are conclusive and no timely objections are filed. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91190. Stay of Election.
Note     •     History

The Board may stay an election pending the resolution of an unfair practice charge relating to the voting unit upon an investigation and a finding that alleged unlawful conduct would so affect the election process as to prevent the employees from exercising free choice. Any determination to stay an election made by the Board pursuant to this section may be appealed to the Board itself in accordance with the provisions of Chapter 1, Subchapter 4, Article 3 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91200. Bar to Conducting Election.
Note     •     History

The Board shall dismiss a petition requiring a representation election if it determines (a) there is currently in effect a memorandum of understanding between the employer and another employee organization recognized or certified as the exclusive representative of any employees covered by a petition requiring an election, unless the petition is filed less than 120 days but more than 90 days prior to the expiration of such memorandum, provided that if a memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (b) that a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order, including amendment of section, transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 3. Petition for Certification
§91210. Petition for Certification.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are not included in an established unit represented by an exclusive representative. The petition shall be filed with the appropriate regional office; be signed by an authorized agent of the employee organization; and include the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(4) The approximate number of employees in the proposed appropriate unit; 
(5) The name and address of any other employee organization, if any, known to have an interest in representing the employees covered by the unit. 
(b) The petition shall be accompanied by proof of at least 30 percent support of the employees in the unit claimed to be appropriate. Proof of support is defined in Section 91020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New article 3 (sections 91210-91270) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 91210-91270) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91220. Posting Notice of Petition for Certification.
Note     •     History

(a) The employer shall post a notice of the petition, as provided by the Board, as soon as possible but in no event later than 10 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the unit claimed to be appropriate are employed. 
(c) The notice shall remain posted for 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91240. Determination of Proof of Support.
Note     •     History

(a) Within 20 days of the date of service of a copy of the petition for certification, the employer shall file with the regional office an alphabetical list, including job titles or classifications, of the employees employed in the claimed unit as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the final determination as to sufficiency or lack thereof regarding the proof of support. The Board's determination shall also indicate whether proof of majority support has been established. The petition shall be dismissed if the Board determines that the petition lacks at least 30 percent proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91250. Employer Response Regarding Petition for Certification.
Note     •     History

(a) Within 15 days following service of a Board determination finding sufficient proof submitted in support of the petition, the employer shall file a written response with the regional office. 
(b) Service and proof of service of the response pursuant to Section 32140 are required. 
(c) The employer shall use the following format for its response regarding a petition for certification: 
(1) Name, address and telephone number of the employer and name, address and telephone number of the employer's agent to be contacted; 
(2) Attach a copy of the petition for certification; 
(3) Employer position regarding the petition for certification: 
(A) Does the employer reasonably doubt the appropriateness of the unit proposed by the petitioner? If so, what classifications or positions remain in dispute? What is the employer's position regarding the dispute? 
(B) Does the employer believe that there are other reasons why a representation election should not be held in the proposed unit? If so, please fully explain. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91260. Amendment of Petition for Certification.
Note     •     History

(a) A petition for certification may be amended to correct technical errors or to add or delete job classifications from the proposed unit at any time prior to the issuance of a notice of hearing. The amendment shall be filed with the regional office and provide the information required in Section 91210(a). Service and proof of service of the amendment pursuant to Section 32140 are required. 
(b) In addition, amendments to add new job classifications to a proposed unit shall be subject to the following: 
(1) Additional proof of support, if needed to maintain standing as a petitioner, shall be filed with the regional office concurrently with the amendment. 
(2) An employer response to the amended petition shall be filed with the regional office within 15 days following the service of the Board determination of adequacy of proof submitted in support of the petition, unless otherwise directed by the Board. The response shall conform to the requirements for employer responses set forth in Section 91250. 
(c) Amendments to correct technical errors or to add or delete job classifications from a party's proposed unit which are requested after the issuance of the notice of hearing are subject to approval by the hearing officer. The hearing officer may grant the requested amendment, so long as it will not serve to unduly impede the hearing and provided that sufficient proof of support is evidenced to support any request for addition of job classifications. Posting of any such amendments shall be at the discretion of the Board agent. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91270. Board Investigation.
Note     •     History

Whenever a petition for certification is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 4. Petition for Amendment of Certification
§91300. Petition.
Note     •     History

(a) An employee organization may file with the regional office a petition to amend its certification or recognition in the event of a merger, amalgamation, affiliation or transfer of jurisdiction, or in the event of a change in the name or jurisdiction of the employer. 
(b) The petition shall be in writing, signed by an authorized agent of the employee organization and shall contain the following information: 
(1) The name, address and telephone number of the employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer; 
(3) A brief description and the title of the established unit; 
(4) A clear and concise statement of the nature of the merger, amalgamation, affiliation or other change in jurisdiction and the new name of the employee organization and/or employer. 
(c) Service and proof of service of the petition pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New article 4 (sections 91300-91320) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 91300-91320) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91310. Employer Response.
Note     •     History

The employer may file a responding statement to the petition filed pursuant to Section 91300. The statement shall be filed with the regional office within 15 days following the date of service of the petition. Service and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91320. Board Investigation.
Note     •     History

(a) Upon receipt of a petition filed pursuant to Section 91300, the Board shall conduct such inquiries and investigations or hold such hearings as deemed necessary and/or conduct a representation election in order to decide the questions raised by the petition. 
(b) The Board may dismiss the petition if the petitioner has no standing to petition for the action requested or if the petition is improperly filed. The Board may deny a petition based on the investigation conducted pursuant to subsection (a) above. 
(c) Upon approval of a petition, the Board shall issue a certification reflecting the new identity of the exclusive representative and/or employer. Such certification shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 91200 of these regulations. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 5. Decertification Petition
§91350. Petition.
Note     •     History

(a) A petition for an election to decertify an existing exclusive representative in an established unit may be filed by a group of employees within the unit or an employee organization. The petition shall be filed with the regional office and include the following information: 
(1) The name, address and telephone number of the petitioning employee organization, if any, and/or the name, address and telephone number of the agent to be contacted on behalf of a petitioning employee organization or group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The date on which the exclusive representative was recognized or certified; 
(7) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(b) The petition shall be accompanied by proof that at least 30 percent of the employees in the established unit either: 
(1) No longer desire to be represented by the incumbent exclusive representative; or 
(2) Wish to be represented by another employee organization. 
Proof of support is defined in Section 91020 of these regulations. 
(c) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New article 5 (sections 91350-91380) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 91350-91380) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91360. Posting Notice of Decertification Petition.
Note     •     History

(a) The employer shall post a notice of the decertification petition, as provided by the Board. as soon as possible but in no event later than 15 days following service of a copy of the petition. 
(b) The notice shall be posted conspicuously on all employee bulletin boards in each facility of the employer in which members of the established unit are employed. 
(c) The notice shall remain posted for a minimum of 15 workdays. 
(d) The employer shall inform the regional office and the parties in writing of the locations and date of posting of the notice. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91370. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days of the date the decertification petition is filed with the regional office, the employer shall file with the regional office a description of the established unit and an alphabetical list, including job titles or classifications, of employees in the established unit as of the last date of the payroll period immediately preceding the date the decertification petition was filed, unless otherwise directed by the Board. 
(b) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91380. Board Investigation/Election.
Note     •     History

(a) Upon receipt of a petition for decertification, the Board shall investigate and, where appropriate, conduct a hearing and/or an election or take such other action as necessary. 
(b) The petition shall be dismissed if the existing exclusive representative files a valid disclaimer of interest in representing employees in the unit within 20 days of the date the petition is filed with the regional office. 
(c) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of the employees covered by a petition, unless the petition is filed during the window period defined in Section 91010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the unit. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 6. Severance Petition
§91400. Severance Petition.
Note     •     History

(a) An employee organization may file a petition to become the exclusive representative of an appropriate unit consisting of a group of employees who are already members of a larger established unit represented by an incumbent exclusive representative by filing a petition for certification in accordance with the provisions of Article 3 of this Chapter. Such a petition shall include the following information: 
(1) The name, address and telephone number of the petitioning employee organization and the name, address and telephone number of the agent to be contacted; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) A description of the proposed appropriate unit, including the classifications and positions to be included and those to be excluded; 
(6) The approximate number of employees in the proposed appropriate unit; 
(7) The date on which the exclusive representative was recognized or certified; 
(8) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit. 
(b) Whenever a memorandum of understanding exists, a severance petition or an amendment to a severance petition must be filed during the “window period” defined by Section 91010. 
(c) Concurrent with the filing of a severance petition and any amendment to a severance petition, the employee organization shall serve a copy of the petition or amendment, excluding any proof of support, on the employer and the exclusive representative. Proof of service pursuant to Section 32140 is required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New article 6 (sections 91400-91420) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 91400-91420) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91410. Response to Severance Petition.
Note     •     History

(a) The public agency and the exclusive representative of the established unit may file responding statements supporting or opposing the severance petition. Such response shall be filed with the regional office within 20 days following the date of service of the severance petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) A copy of the severance petition; 
(2) The name, address and telephone number of the respondent, and the name, address and telephone number of the respondent agent to be contacted; 
(3) A statement confirming or refuting the information contained in the severance petition regarding the date the incumbent exclusive representative was recognized or certified, and the effective date and the expiration date of any current memorandum of understanding covering employees in the established unit; and, 
(4) A concise statement setting forth the basis for support of or opposition to the unit proposed by the petition. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91420. Board Investigation.
Note     •     History

(a) Whenever a severance petition is filed with the Board, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary to decide the questions raised by the petition. 
(b) The petition shall be dismissed (1) whenever there is currently in effect a memorandum of understanding between the employer and the exclusive representative of any employees covered by a petition, unless the petition is filed during the window period defined in Section 91010 of these regulations, provided that if such memorandum has been in effect for three years or more, there shall be no restriction as to time of filing the petition; or, (2) whenever a representation election result has been certified affecting the described unit or a subdivision thereof within the 12 months immediately preceding the date of filing of the petition, or, (3) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
Article 7. Petition for Unit Modification
§91450. Petition.
Note     •     History

Absent agreement of the parties to modify a unit, an exclusive representative, an employer, or both must file a petition for unit modification in accordance with this section. Parties who wish to obtain Board certification of a unit modification may file a petition in accordance with the provisions of this section. 
(a) An exclusive representative may file with the regional office a petition for modification of its unit(s): 
(1) To add to the unit unrepresented classifications or positions; 
(2) To divide the existing unit into two or more appropriate units; 
(3) To consolidate two or more of its established units into one appropriate unit. 
(b) An exclusive representative, an employer, or both jointly may file with the regional office a petition for unit modification: 
(1) To delete classifications or positions which by virtue of change in circumstances are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by the Court Interpreter Act or otherwise prohibited by statute or local rule from inclusion in the unit; 
(2) To make technical changes to clarify or update the unit description; 
(3) To resolve a dispute as to unit placement or designation of a new classification or position; 
(4) To delete classifications or positions not subject to (1) above which are no longer appropriate to the established unit because said classification(s) or position(s) are not covered by the Court Interpreter Act or otherwise prohibited by statute or local rule from inclusion in the unit, provided that: 
(A) The petition is filed jointly by the employer and the exclusive representative, or 
(B) There is not in effect a lawful written agreement or memorandum of understanding, or 
(C) The petition is filed during the “window period” of a lawful memorandum of understanding as defined in these regulations in Section 91010. 
(c) All affected exclusive representatives may jointly file with the regional office a petition to transfer classifications or positions from one represented established unit to another. 
(d) The petition shall be signed by an authorized agent of each petitioning party and include the following information: 
(1) The name, address and telephone number of the exclusive representative(s) of the unit(s) affected by the petition; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title(s) of the established unit(s); 
(4) The approximate number of employees in the established unit; 
(5) The approximate number of employees covered by the petition; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the established unit; 
(7) A description of the modification(s) sought by the petition; 
(8) The name and address of any other employee organization known to have an interest in representing employees covered by the petition; 
(9) A statement of the reasons for the modification(s). 
(e)(1) If the petition requests the addition of classifications or positions to an established unit, and the proposed addition would increase the size of the established unit by ten percent or more, the Board shall require proof of majority support of persons employed in the classifications or positions to be added. 
(2) If the petition requests the addition of classifications or positions to an established unit and the classifications or positions are also included in a proposed appropriate unit in a pending request for recognition or petition for certification, the Board shall require proof of at least thirty percent support of persons employed in the classifications or positions to be added.
(3) Proof of support is defined in Section 91020 of these regulations. 
(f) A copy of a petition filed solely by an exclusive representative or an employer shall be concurrently served on the other party, and on any additional interested party. Proof of service pursuant to Section 32140 is required. Proof of support, if required, shall be filed only with the regional office. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New article 7 (sections 91450-91480) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 91450-91480) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (e)(1) and new subsections (e)(2)-(3) filed 4-11-2006; operative 5-11-2006 (Register 2006, No. 15).
5. Amendment of subsection (f) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§91460. Response to Petition.
Note     •     History

(a) Unless otherwise notified by the Board, a party or interested party may file a response to a petition filed solely by an exclusive representative or an employer. Such response shall be filed with the regional office within 20 days following the date of service of the petition. Service and proof of service of the response pursuant to Section 32140 are required. 
(b) The response shall be in writing, signed by an authorized agent of the responding party and contain the following information: 
(1) The name, address and telephone number of the petitioner(s); 
(2) The name, address and telephone number of the respondent and the name, address and telephone number of the agent to be contacted; 
(3) A statement confirming or refuting information contained in the petition regarding the size and description of the established unit(s), the date(s) of recognition or certification, the approximate number of employees involved in the modification request and the identity of any other employee organization known to claim to represent affected employees; 
(4) A concise statement setting forth the reasons for support of or opposition to the unit modification proposed by the petitioner(s). 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91470. Board Determination Regarding Proof of Support.
Note     •     History

(a) If proof of support has been filed pursuant to section 91450(e)(1) or (2), the employer shall, within 20 days of the date the support was filed, file with the regional office an alphabetical list, including job titles or classifications, of all employees proposed to be added to the unit as of the last date of the payroll period immediately preceding the date the petition was filed with PERB, unless otherwise directed by the Board. 
(b) The Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency of the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (a) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
§91480. Disposition of Petitions.
Note     •     History

(a) Upon receipt of a petition for unit modification, the Board shall investigate and, where appropriate, conduct a hearing and/or a representation election, or take such other action as deemed necessary in order to decide the questions raised by the petition and to ensure full compliance with the provisions of the law. 
(b) The Board shall dismiss a petition if (1) it is found to be improperly or not timely filed; or, (2) if proof of support submitted falls short of the required level of support; or, (3) if a representation election result has been certified within the 12 months immediately preceding the date of filing of the petition which covers any employees proposed to be added to the unit; or, (4) whenever the employer has, within the previous 12 months, lawfully recognized the exclusive representative in the described unit or a subdivision thereof. 
(c) Board Order of Unit Modification. 
(1) The Board shall issue an order of unit modification whenever the disposition of a petition filed under this Article results in the modification of a unit. 
(2) The order shall not be considered to be a new certification for the purpose of computing time limits pursuant to Section 91200. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
4. Amendment of subsection (b) filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
Article 8. Rescission of Agency Shop Agreement or Provision
§91600. Employee Petition.
Note     •     History

(a) A group of employees in an established unit may file with the regional office a petition to rescind an existing agency shop agreement or provision pursuant to Government Code Section 71814(b). 
(b) The petition shall be signed by an authorized representative of the group of employees and shall include the following information: 
(1) The name, address and telephone number of the agent to be contacted on behalf of a petitioning group of employees; 
(2) The name, address and telephone number of the employer and the name, address and telephone number of the agent to be contacted; 
(3) A brief description and the title of the established unit; 
(4) The name, address and telephone number of the exclusive representative of the established unit and the name, address and telephone number of the agent to be contacted; 
(5) The approximate number of employees in the established unit; 
(6) The effective and expiration dates of the current memorandum of understanding, if any, covering employees in the unit. 
(c) Proof that at least 30 percent of the employees in the unit desire a vote to rescind the existing agency shop provision shall be filed with the regional office concurrent with the petition. Proof of support shall conform to the requirements of Section 91020(b), (c), (d)(3), (e) and (f). 
(d) Service of the petition, excluding the proof of at least 30 percent support, and proof of service pursuant to Section 32140 are required. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New article 8 (sections 91600-91630) and section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 8 (sections 91600-91630) and section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91610. Board Determination Regarding Proof of Support.
Note     •     History

(a) Within 20 days following the filing of the petition to rescind an agency shop agreement or provision, the regional committee shall file with the regional office an alphabetical list containing the names and job titles or classifications of the persons employed in the unit described in the petition as of the last date of the payroll period immediately preceding the date the petition was filed, unless otherwise directed by the Board. 
(b) If after initial determination the proof of support is insufficient, the Board may allow up to 10 days to perfect the proof of support. 
(c) Upon completion of the review of the proof of support, the Board shall inform the parties in writing of the determination as to sufficiency or lack thereof regarding the proof of support. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91620. Employee Vote.
Note     •     History

(a) Provided the rescission petition is timely and properly filed pursuant to this Article 8, and the proof submitted in support of the petition is determined to be adequate pursuant to Section 91600, a rescission election among the employees in the established unit shall be conducted under procedures established by the Board and in accordance with election procedures described in these regulations. 
(b) The agency shop agreement or provision shall be rescinded if a majority of the employees in the negotiating unit covered by the provision vote to rescind the agreement. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, 71823 and 71825, Government Code. 
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).
§91630. Bar to Rescission.
Note     •     History

The Board shall dismiss any petition to rescind the existing agency shop agreement or provision if the results of a prior rescission election concerning the agreement or provision in the same unit were certified during the term of the same memorandum of understanding. 
NOTE

Authority cited: Sections 3541.3(g) and 71825(b), Government Code. Reference: Sections 3541.3, 71814, and 71825, Government Code.
HISTORY

1. New section filed 8-30-2004 as an emergency; operative 8-30-2004 (Register 2004, No. 36). A Certificate of Compliance must be transmitted to OAL by 12-28-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-27-2004 as an emergency; operative 12-29-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-28-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-27-2004 order transmitted to OAL 4-26-2005 and filed 5-31-2005 (Register 2005, No. 22).